The full text on this page is automatically extracted from the file linked above and may contain errors and inconsistencies.
*Investment Status Definition Key
U.S. Treasury Department
Office of Financial Stability
Full investment outstanding: Treasury's full investment is still outstanding
Redeemed – institution has repaid Treasury’s investment
Sold – by auction, an offering, or through a restructuring
Troubled Asset Relief Program
Exited bankruptcy/receivership - Treasury has no outstanding investment
Currently not collectible - investment is currently not collectible; therefore there is no outstanding investment and a
corresponding (Realized Loss) / (Write-off)
Transactions Report - Investment Programs
In full – all of Treasury’s investment amount
For Period Ending December 12, 2013
In part – part of the investment is no longer held by Treasury, but some remains
Warrants outstanding – Treasury’s warrant to purchase additional stock is still outstanding, including any exercised
warrants
CAPITAL PURCHASE PROGRAM
Warrants not outstanding – Treasury has disposed of its warrant to purchase additional stock through various
means as described in the Warrant Report (such as sale back to company and auctions) or Treasury did not receive a
warrant to purchase additional stock
FootNote
11
8,14,18,44
11
11,8,14
44,8,14
8,14
11
15,14
8
8,14
45,8,14
44,8,14
11
11,8,14
11,8,14
45
15,14
94
11,90
Institution Name
1ST CONSTITUTION BANCORP
1ST CONSTITUTION BANCORP
1ST CONSTITUTION BANCORP
1ST ENTERPRISE BANK
1ST ENTERPRISE BANK
1ST ENTERPRISE BANK
1ST FINANCIAL SERVICES CORPORATION
1ST SOURCE CORPORATION
1ST SOURCE CORPORATION
1ST SOURCE CORPORATION
1ST UNITED BANCORP, INC.
1ST UNITED BANCORP, INC.
AB&T FINANCIAL CORPORATION
AB&T FINANCIAL CORPORATION
ADBANC, INC.
ADBANC, INC.
ALARION FINANCIAL SERVICES, INC.
ALARION FINANCIAL SERVICES, INC.
ALARION FINANCIAL SERVICES, INC.
ALARION FINANCIAL SERVICES, INC.
ALASKA PACIFIC BANCSHARES, INC.
ALASKA PACIFIC BANCSHARES, INC.
ALASKA PACIFIC BANCSHARES, INC.
ALASKA PACIFIC BANCSHARES, INC.
ALASKA PACIFIC BANCSHARES, INC.
ALLIANCE BANCSHARES, INC.
ALLIANCE BANCSHARES, INC.
ALLIANCE BANCSHARES, INC.
ALLIANCE BANCSHARES, INC.
ALLIANCE FINANCIAL CORPORATION
ALLIANCE FINANCIAL CORPORATION
ALLIANCE FINANCIAL CORPORATION
ALLIANCE FINANCIAL SERVICES, INC.
ALLIANCE FINANCIAL SERVICES, INC.
ALLIANCE FINANCIAL SERVICES, INC.
ALLIANCE FINANCIAL SERVICES, INC.
ALLIED FIRST BANCORP, INC.
ALPINE BANKS OF COLORADO
ALPINE BANKS OF COLORADO
ALPINE BANKS OF COLORADO
ALPINE BANKS OF COLORADO
ALPINE BANKS OF COLORADO
AMB FINANCIAL CORPORATION
AMB FINANCIAL CORPORATION
AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKLAHOMA
AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKLAHOMA
AMERICAN EXPRESS COMPANY
AMERICAN EXPRESS COMPANY
AMERICAN EXPRESS COMPANY
AMERICAN PREMIER BANCORP
AMERICAN PREMIER BANCORP
AMERICAN STATE BANCSHARES, INC.
AMERICAN STATE BANCSHARES, INC.
AMERIS BANCORP
AMERIS BANCORP
AMERIS BANCORP
AMERISERV FINANCIAL, INC.
AMERISERV FINANCIAL, INC.
AMERISERV FINANCIAL, INC.
AMFIRST FINANCIAL SERVICES, INC
AMFIRST FINANCIAL SERVICES, INC
AMFIRST FINANCIAL SERVICES, INC
AMFIRST FINANCIAL SERVICES, INC
AMFIRST FINANCIAL SERVICES, INC
ANCHOR BANCORP WISCONSIN, INC.
ANCHOR BANCORP WISCONSIN, INC.
ANNAPOLIS BANCORP, INC.
ANNAPOLIS BANCORP, INC.
City
CRANBURY
CRANBURY
CRANBURY
LOS ANGELES
LOS ANGELES
LOS ANGELES
HENDERSONVILLE
SOUTH BEND
SOUTH BEND
SOUTH BEND
BOCA RATON
BOCA RATON
GASTONIA
GASTONIA
OGALLALA
OGALLALA
OCALA
OCALA
OCALA
OCALA
JUNEAU
JUNEAU
JUNEAU
JUNEAU
JUNEAU
DALTON
DALTON
DALTON
DALTON
SYRACUSE
SYRACUSE
SYRACUSE
SAINT PAUL
SAINT PAUL
SAINT PAUL
SAINT PAUL
OSWEGO
GLENWOOD SPRINGS
GLENWOOD SPRINGS
GLENWOOD SPRINGS
GLENWOOD SPRINGS
GLENWOOD SPRINGS
MUNSTER
MUNSTER
COLLINSVILLE
COLLINSVILLE
NEW YORK
NEW YORK
NEW YORK
ARCADIA
ARCADIA
GREAT BEND
GREAT BEND
MOULTRIE
MOULTRIE
MOULTRIE
JOHNSTOWN
JOHNSTOWN
JOHNSTOWN
MCCOOK
MCCOOK
MCCOOK
MCCOOK
MCCOOK
MADISON
MADISON
ANNAPOLIS
ANNAPOLIS
State
NJ
NJ
NJ
CA
CA
CA
NC
IN
IN
IN
FL
FL
NC
NC
NE
NE
FL
FL
FL
FL
AK
AK
AK
AK
AK
GA
GA
GA
GA
NY
NY
NY
MN
MN
MN
MN
IL
CO
CO
CO
CO
CO
IN
IN
OK
OK
NY
NY
NY
CA
CA
KS
KS
GA
GA
GA
PA
PA
PA
NE
NE
NE
NE
NE
WI
WI
MD
MD
Date
23-Dec-08
27-Oct-10
22-Nov-11
13-Feb-09
11-Dec-09
1-Sep-11
14-Nov-08
23-Jan-09
29-Dec-10
9-Mar-11
13-Mar-09
18-Nov-09
23-Jan-09
19-Nov-13
30-Jan-09
21-Jul-11
23-Jan-09
19-Jul-13
22-Jul-13
12-Sep-13
6-Feb-09
28-Nov-12
29-Nov-12
11-Jan-13
26-Mar-13
26-Jun-09
27-Mar-13
28-Mar-13
9-Apr-13
19-Dec-08
13-May-09
17-Jun-09
26-Jun-09
6-Feb-13
7-Feb-13
26-Mar-13
24-Apr-09
27-Mar-09
18-Sep-12
19-Sep-12
20-Sep-12
16-Nov-12
30-Jan-09
22-Sep-11
6-Mar-09
15-Sep-11
9-Jan-09
17-Jun-09
29-Jul-09
29-May-09
26-Jan-11
9-Jan-09
2-Nov-11
21-Nov-08
19-Jun-12
22-Aug-12
19-Dec-08
11-Aug-11
2-Nov-11
21-Aug-09
26-Mar-13
27-Mar-13
28-Mar-13
9-Apr-13
30-Jan-09
27-Sep-13
30-Jan-09
18-Apr-12
1
Original Investment Type
Preferred Stock w/ Warrants
Original Investment
Amount
$12,000,000.00
Outstanding
Investment
2
Total Cash Back
Investment Status*
Capital Repayment / Disposition / Auction
Amount
$0.00
$13,433,242.67
(Fee)4
Shares
3,5
Avg. Price
(Realized Loss) /
(Write-off)
Gain
5
Warrant Proceeds
Amount
Shares
Redeemed, in full; warrants not outstanding
$12,000,000.00
12,000
$1,000.00
$326,576.00
$0.00
$11,748,156.44
$10,400,000.00
Preferred Stock w/ Exercised Warrants
$16,369,000.00
$111,000,000.00
$10,000,000.00
$16,369,000.00
$0.00
$0.00
$1,229,948.97
$125,480,000.00
$10,870,902.67
10,400
111,000
$636,000.00
$1,000.00
2,964
$275.00
12,720
$1,000.00
$877,729.70
$5,524,880.90
$1,175,794.44
10,000
$12,720,000.00
$536,000.00
636
$337,363.35
326
$94,153.69
$44,746.31
101
48
173,069
Redeemed, in full; warrants not outstanding
$815,100.00
$3,500,000.00
500
$1,000.00
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$10,000,000.00
Preferred Stock w/ Warrants
837,947
$500,000.00
$1,000.00
$111,000,000.00
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
220
$900,000.00
$4,400,000.00
$6,000,000.00
$220,000.00
$3,750,000.00
Preferred Stock w/ Warrants
231,782
Redeemed, in full; warrants not outstanding
893
5,621
$982.90
$982.90
($15,270.30)
($96,119.10)
234
4,547
$892.60
$892.60
($25,129.26)
($488,302.33)
Sold, in part; warrants outstanding
Preferred Stock w/ Exercised Warrants
$12,720,000.00
$0.00
$15,071,769.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,514,000.00
$0.00
$7,674,004.73
($2,148,900.00)
Sold, in full; warrants not outstanding
($64,026.11)
Preferred Stock w/ Warrants
$4,781,000.00
$0.00
$5,130,973.44
Sold, in full; warrants outstanding
$208,870.74
$4,058,697.67
($42,675.67)
($7,324.33)
Preferred Stock w/ Exercised Warrants
$2,986,000.00
$0.00
$3,581,397.27
Sold, in full; warrants not outstanding
$2,856,437.46
2,986
$956.60
26,918
($129,562.54)
$1,000.00
($25,000.00)
Preferred Stock w/ Warrants
$26,918,000.00
$0.00
$28,356,360.00
Redeemed, in full; warrants not outstanding
$26,918,000.00
Subordinated Debentures w/ Exercised Warrants
$12,000,000.00
$0.00
$9,806,136.60
Sold, in full; warrants not outstanding
$3,375,945.00
$5,626,575.00
4,500,000
7,500,000
$0.75
$0.75
($1,124,055.00)
($1,873,425.00)
$504,900.00
600,000
344
8,056
61,600
$814.30
$814.30
$814.30
($63,884.24)
($1,496,079.76)
($11,439,736.00)
$3,291,750.00
3,500
$3,674,000.00
3,674
$1,000.00
$184,000.00
184
$2,492,000.00
2,492
$1,000.00
$125,000.00
125
$3,388,890,000.00
3,388,890
$1,000.00
$340,000,000.00
24,264,129
($90,025.20)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$3,652,000.00
$70,000,000.00
$3,652,000.00
$0.00
$409,753.00
$73,129,160.69
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
$280,115.76
$6,559,920.24
$50,160,264.00
($570,003.00)
Preferred Stock w/ Exercised Warrants
$3,674,000.00
$0.00
$4,387,576.45
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,492,000.00
$0.00
$2,960,021.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$3,388,890,000.00
$0.00
$3,803,257,308.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,800,000.00
$0.00
$2,052,682.49
Redeemed, in full; warrants not outstanding
$7,220,141.67
Redeemed, in full; warrants not outstanding
$1,800,000.00
$0.00
$59,637,438.67
90
6,000
$1,000.00
$300,000.00
300
52,000
$930.60
698,554
$825,000.00
$52,000,000.00
$0.00
$90,000.00
$2,670,000.00
Preferred Stock w/ Warrants
$6,000,000.00
$1,000.00
$6,000,000.00
Preferred Stock w/ Exercised Warrants
1,800
1,312,500
$259,875.00
250,000
Sold, in full; warrants not outstanding
$48,391,200.00
Preferred Stock w/ Warrants
$21,000,000.00
$0.00
$24,601,666.66
($725,868.00)
Redeemed, in full; warrants not outstanding
$21,000,000.00
Subordinated Debentures w/ Exercised Warrants
$5,000,000.00
$0.00
$6,523,255.00
($3,608,800.00)
21,000
$1,000.00
Sold, in full; warrants not outstanding
$359,040.00
$2,112,000.00
$2,328,960.00
374,000
2,200,000
2,426,000
$0.96
$0.96
$0.96
($14,960.00)
($88,000.00)
($97,040.00)
$6,000,000.00
60,000,000
$0.10
($104,000,000.00)
$4,076,000.00
4,076
$1,000.00
($48,000.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$110,000,000.00
$8,152,000.00
$0.00
$0.00
$6,000,000.00
$9,643,136.33
Exited bankruptcy/receivership
Redeemed, in full; warrants outstanding
FootNote
11
8,17
44,8,14
11
8,44
8,17,44
11
11,8,14
8,14
83
8,14
6,7,11
8,14
44
8
11
11
11
8
44,8,14
8,14
44,8,14
12,16
11
8
11
11,8,14
11,14,8
11
44,8,14
Institution Name
ANNAPOLIS BANCORP, INC.
ASSOCIATED BANC-CORP
ASSOCIATED BANC-CORP
ASSOCIATED BANC-CORP
ASSOCIATED BANC-CORP
ATLANTIC BANCSHARES, INC.
AVENUE FINANCIAL HOLDINGS
AVENUE FINANCIAL HOLDINGS
AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO.
AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO.
AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO.
BANCINDEPENDENT, INCORPORATED
BANCINDEPENDENT, INCORPORATED
BANCORP FINANCIAL, INC.
BANCORP FINANCIAL, INC.
BANCORP RHODE ISLAND, INC.
BANCORP RHODE ISLAND, INC.
BANCORP RHODE ISLAND, INC.
BANCPLUS CORPORATION
BANCPLUS CORPORATION
BANCSTAR, INC.
BANCSTAR, INC.
BANCSTAR, INC.
BANCSTAR, INC.
BANCTRUST FINANCIAL GROUP, INC.
BANCTRUST FINANCIAL GROUP, INC.
BANK FINANCIAL SERVICES, INC.
BANK FINANCIAL SERVICES, INC.
BANK FINANCIAL SERVICES, INC.
BANK FINANCIAL SERVICES, INC.
BANK FINANCIAL SERVICES, INC.
BANK OF AMERICA
BANK OF AMERICA
BANK OF AMERICA
BANK OF AMERICA
BANK OF COMMERCE
BANK OF COMMERCE
BANK OF COMMERCE
BANK OF COMMERCE HOLDINGS
BANK OF COMMERCE HOLDINGS
BANK OF COMMERCE HOLDINGS
BANK OF GEORGE
BANK OF GEORGE
BANK OF MARIN BANCORP
BANK OF MARIN BANCORP
BANK OF MARIN BANCORP
BANK OF NEW YORK MELLON
BANK OF NEW YORK MELLON
BANK OF NEW YORK MELLON
BANK OF THE CAROLINAS CORPORATION
BANK OF THE OZARKS, INC.
BANK OF THE OZARKS, INC.
BANK OF THE OZARKS, INC.
BANKERS' BANK OF THE WEST BANCORP, INC.
BANKFIRST CAPITAL CORPORATION
BANKFIRST CAPITAL CORPORATION
BANKGREENVILLE FINANCIAL CORPORATION
BANKGREENVILLE FINANCIAL CORPORATION
BANKGREENVILLE FINANCIAL CORPORATION
BANKGREENVILLE FINANCIAL CORPORATION
BANNER CORPORATION/BANNER BANK
BANNER CORPORATION/BANNER BANK
BANNER CORPORATION/BANNER BANK
BANNER COUNTY BAN CORPORATION
BANNER COUNTY BAN CORPORATION
BAR HARBOR BANKSHARES
BAR HARBOR BANKSHARES
BAR HARBOR BANKSHARES
BB&T CORP.
BB&T CORP.
BB&T CORP.
BCB HOLDING COMPANY, INC.
BCSB BANCORP, INC.
BCSB BANCORP, INC.
BCSB BANCORP, INC.
BEACH BUSINESS BANK
BEACH BUSINESS BANK
BEACH BUSINESS BANK
BEACH BUSINESS BANK
BEACH BUSINESS BANK
BEACH BUSINESS BANK
BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC.
BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC.
BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC.
BERKSHIRE HILLS BANCORP, INC.
BERKSHIRE HILLS BANCORP, INC.
BERKSHIRE HILLS BANCORP, INC.
BERN BANCSHARES, INC.
City
ANNAPOLIS
GREEN BAY
GREEN BAY
GREEN BAY
GREEN BAY
BLUFFTON
NASHVILLE
NASHVILLE
PALO ALTO
PALO ALTO
PALO ALTO
SHEFFIELD
SHEFFIELD
OAK BROOK
OAK BROOK
PROVIDENCE
PROVIDENCE
PROVIDENCE
RIDGELAND
RIDGELAND
FESTUS
FESTUS
FESTUS
FESTUS
MOBILE
MOBILE
EDEN PRAIRIE
EDEN PRAIRIE
EDEN PRAIRIE
EDEN PRAIRIE
EDEN PRAIRIE
CHARLOTTE
CHARLOTTE
CHARLOTTE
CHARLOTTE
CHARLOTTE
CHARLOTTE
CHARLOTTE
REDDING
REDDING
REDDING
LAS VEGAS
LAS VEGAS
NOVATO
NOVATO
NOVATO
NEW YORK
NEW YORK
NEW YORK
MOCKSVILLE
LITTLE ROCK
LITTLE ROCK
LITTLE ROCK
DENVER
MACON
MACON
GREENVILLE
GREENVILLE
GREENVILLE
GREENVILLE
WALLA WALLA
WALLA WALLA
WALLA WALLA
HARRISBURG
HARRISBURG
BAR HARBOR
BAR HARBOR
BAR HARBOR
WINSTON-SALEM
WINSTON-SALEM
WINSTON-SALEM
THEODORE
BALTIMORE
BALTIMORE
BALTIMORE
MANHATTAN BEACH
MANHATTAN BEACH
MANHATTAN BEACH
MANHATTAN BEACH
MANHATTAN BEACH
MANHATTAN BEACH
PHOENIXVILLE
PHOENIXVILLE
PHOENIXVILLE
PITTSFIELD
PITTSFIELD
PITTSFIELD
BERN
State
MD
WI
WI
WI
WI
SC
TN
TN
CA
CA
CA
AL
AL
IL
IL
RI
RI
RI
MS
MS
MO
MO
MO
MO
AL
AL
MN
MN
MN
MN
MN
NC
NC
NC
NC
NC
NC
NC
CA
CA
CA
NV
NV
CA
CA
CA
NY
NY
NY
NC
AR
AR
AR
CO
MS
MS
SC
SC
SC
SC
WA
WA
WA
NE
NE
ME
ME
ME
NC
NC
NC
AL
MD
MD
MD
CA
CA
CA
CA
CA
CA
PA
PA
PA
MA
MA
MA
KS
Date
6-Mar-13
21-Nov-08
6-Apr-11
14-Sep-11
6-Dec-11
29-Dec-09
27-Feb-09
15-Sep-11
30-Jan-09
31-Jul-13
28-Aug-13
13-Mar-09
14-Jul-11
10-Jul-09
18-Aug-11
19-Dec-08
5-Aug-09
30-Sep-09
20-Feb-09
29-Sep-10
3-Apr-09
26-Apr-13
29-Apr-13
31-May-13
19-Dec-08
15-Feb-13
14-Aug-09
19-Dec-12
20-Dec-12
11-Jan-13
26-Mar-13
28-Oct-08
9-Jan-09
9-Dec-09
9-Mar-10
16-Jan-09
30-Nov-12
11-Jan-13
14-Nov-08
27-Sep-11
26-Oct-11
13-Mar-09
21-Oct-13
5-Dec-08
31-Mar-09
23-Nov-11
28-Oct-08
17-Jun-09
5-Aug-09
17-Apr-09
12-Dec-08
4-Nov-09
24-Nov-09
30-Jan-09
23-Jan-09
8-Sep-11
13-Feb-09
9-Nov-12
11-Jan-13
26-Mar-13
21-Nov-08
3-Apr-12
12-Jun-13
6-Feb-09
28-Jul-11
16-Jan-09
24-Feb-10
28-Jul-10
14-Nov-08
17-Jun-09
22-Jul-09
3-Apr-09
23-Dec-08
26-Jan-11
19-Apr-13
30-Jan-09
6-Jul-11
19-Oct-11
7-Mar-12
6-Jun-12
27-Jun-12
12-Jun-09
19-Sep-11
28-Dec-11
19-Dec-08
27-May-09
24-Jun-09
13-Feb-09
Original Investment Type1
Original Investment
Amount
Outstanding
Investment
Total Cash Back2
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
(Fee)4
Shares
Avg. Price
$4,076,000.00
$525,000,000.00
$0.00
$596,539,172.32
262,500
262,500
Gain5
Warrant Proceeds
Amount
Shares
$1,000.00
$262,500,000.00
$262,500,000.00
Preferred Stock w/ Warrants
4,076
(Realized Loss) /
(Write-off)
$1,000.00
$1,000.00
Redeemed, in full; warrants not outstanding
$3,435,005.65
$2,000,000.00
$7,400,000.00
$2,000,000.00
$0.00
$122,724.78
$8,798,415.33
$7,563,057.15
Preferred Stock w/ Exercised Warrants
$21,100,000.00
$0.00
$0.00
81,670
Redeemed, in full; warrants not outstanding
$24,841,411.03
7,400
$1,000.00
$6,000,000.00
$6,000,000.00
370
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$7,400,000.00
Preferred Stock w/ Warrants
$370,000.00
$190,781.12
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
3,983,308
6,000
$1,000.00
Redeemed, in full; warrants not outstanding
$21,100,000.00
30,000
$1,000.00
192,967
$2,400,000.00
2,400
$426,338.55
430
$15,000.00
730,994
$23,500.00
50
121,792,790
$100,100.00
150
405,405
$48,709.00
134
154,908
$136,000,000.00
14,516,129
$2,650,000.00
379,811
$775,000.00
775
$21,880.50
50
$134,201.00
243,998
$40,000.00
4
$250,000.00
52,455
$67,010,401.86
13,902,573
$1,442,000.00
$32,341,666.66
410
$1,703,984.00
$0.00
$410,000.00
$125,000.00
$30,000,000.00
$1,000.00
183,465
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
13,669
$305,913,040.28
$15,595,736.93
1,055
$1,400,000.00
$0.00
$1,055,000.00
$30,000,000.00
$13,669,000.00
$1,000.00
$13,669,000.00
Preferred Stock w/ Exercised Warrants
21,100
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$48,000,000.00
$0.00
$54,607,399.33
Redeemed, in full; warrants not outstanding
$10,701,460.58
Sold, in full; warrants not outstanding
$48,000,000.00
$982.70
$982.70
50,000
$1,000.00
$451,600.92
$481,335.96
$0.00
100
8,500
$50,000,000.00
$8,600,000.00
$1,000.00
$98,267.00
$8,352,695.00
Preferred Stock w/ Exercised Warrants
48,000
486
518
$929.20
$929.20
1,000,000
$25,000.00
($1,733.00)
($147,305.00)
($84,509.62)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$50,000,000.00
$1,004,000.00
$0.00
$0.00
$60,451,155.74
Redeemed, in full; warrants not outstanding
$1,114,680.76
Sold, in full; warrants not outstanding
($34,399.08)
($36,664.04)
($9,329.37)
($15,670.63)
Preferred Stock w/ Warrants
$15,000,000,000.00
$10,000,000,000.00
$0.00
$26,599,663,040.28
Redeemed, in full; warrants not outstanding
$25,000,000,000.00
Preferred Stock w/ Exercised Warrants
$3,000,000.00
$0.00
$3,087,573.33
Sold, in full; warrants not outstanding
$2,502,000.00
3,000
$834.00
17,000
($498,000.00)
$1,000.00
($25,000.00)
Preferred Stock w/ Warrants
$17,000,000.00
$0.00
$19,564,027.78
Redeemed, in full; warrants not outstanding
$17,000,000.00
Preferred Stock w/ Exercised Warrants
$2,672,000.00
$0.00
$1,283,940.00
Sold, in full; warrants not outstanding
$955,240.00
Preferred Stock w/ Warrants
$28,000,000.00
$3,000,000,000.00
$0.00
$0.00
$30,155,095.11
$3,231,416,666.67
$357.50
$28,000,000.00
Preferred Stock w/ Warrants
2,672
28,000
$1,000.00
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$3,000,000,000.00
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$13,179,000.00
$75,000,000.00
$13,179,000.00
$0.00
$1,039,677.00
$81,004,166.67
3,000,000
$12,639,000.00
$15,500,000.00
$12,639,000.00
$0.00
$1,000.00
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$75,000,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
($1,716,760.00)
$3,425,858.35
$18,492,469.25
$1,000.00
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$1,100,653.50
75,000
Sold, in full; warrants not outstanding
$15,500,000.00
$1,000,000.00
$0.00
$1,000.00
$900,000.00
Preferred Stock w/ Exercised Warrants
15,500
1,000
$900.00
($100,000.00)
124,000
$884.80
($14,282,320.00)
($9,000.00)
($16,000.00)
Preferred Stock w/ Warrants
$124,000,000.00
$0.00
$129,079,862.47
Sold, in full; warrants not outstanding
$109,717,680.00
Preferred Stock w/ Exercised Warrants
$795,000.00
$0.00
$942,411.42
($1,645,765.20)
Redeemed, in full; warrants not outstanding
$795,000.00
Preferred Stock w/ Warrants
$18,751,000.00
$3,133,640,000.00
$0.00
$0.00
$20,037,514.11
$3,293,353,918.53
$1,000.00
$18,751,000.00
Preferred Stock w/ Warrants
795
18,751
$1,000.00
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$3,133,640,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$1,706,000.00
$10,800,000.00
$1,706,000.00
$0.00
$173,507.50
$13,371,500.00
$6,000,000.00
$0.00
$7,263,316.66
$1,000,000.00
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$10,800,000.00
Preferred Stock w/ Exercised Warrants
3,134
10,800
$1,000.00
Redeemed, in full; warrants not outstanding
$1,500,000.00
$1,500,000.00
$1,500,000.00
$1,200,000.00
$300,000.00
$985,000.00
$0.00
$0.00
$3,444,478.21
$41,917,777.78
$1,172,062.50
300
2,892
2,892
$1,000.00
$1,000.00
$145,000.00
145
40,000
$1,000.00
$1,040,000.00
Preferred Stock w/ Exercised Warrants
$40,000,000.00
$0.00
$300,000.00
$40,000,000.00
Preferred Stock w/ Warrants
$2,892,000.00
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$0.00
$2,892,000.00
Preferred Stock w/ Exercised Warrants
1,500
1,500
1,500
1,200
300
226,330
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
FootNote
8,14,18,44
15,17
8,14
14,8,14
8,14
8,64,97
8
44,8,14
8
44,8,14
15,14
11
11
8
9,10,18,65,96,99
15,14
8,44,14
11,8,14
11,8,14
11
8,14,18,44
44,8,14
11,8,14
8
8
11,8,14
39
8
11
8,14
Institution Name
City
State
Date
BERN BANCSHARES, INC.
BIRMINGHAM BLOOMFIELD BANCSHARES, INC.
BIRMINGHAM BLOOMFIELD BANCSHARES, INC.
BIRMINGHAM BLOOMFIELD BANCSHARES, INC.
BISCAYNE BANCSHARES, INC.
BISCAYNE BANCSHARES, INC.
BISCAYNE BANCSHARES, INC.
BISCAYNE BANCSHARES, INC.
BLACKHAWK BANCORP, INC.
BLACKHAWK BANCORP, INC.
BLACKHAWK BANCORP, INC.
BLACKHAWK BANCORP, INC.
BLACKRIDGE FINANCIAL, INC.
BLACKRIDGE FINANCIAL, INC.
BLACKRIDGE FINANCIAL, INC.
BLUE RIDGE BANCSHARES, INC.
BLUE RIDGE BANCSHARES, INC.
BLUE RIDGE BANCSHARES, INC.
BLUE RIDGE BANCSHARES, INC.
BLUE RIVER BANCSHARES, INC.
BLUE RIVER BANCSHARES, INC.
BLUE VALLEY BAN CORP
BLUE VALLEY BAN CORP
BLUE VALLEY BAN CORP
BNB FINANCIAL SERVICES CORPORATION
BNB FINANCIAL SERVICES CORPORATION
BNC BANCORP
BNC BANCORP
BNC BANCORP
BNC FINANCIAL GROUP, INC.
BNC FINANCIAL GROUP, INC.
BNCCORP, INC.
BOH HOLDINGS, INC.
BOH HOLDINGS, INC.
BOSCOBEL BANCORP, INC.
BOSCOBEL BANCORP, INC.
BOSCOBEL BANCORP, INC.
BOSCOBEL BANCORP, INC.
BOSTON PRIVATE FINANCIAL HOLDINGS INC.
BOSTON PRIVATE FINANCIAL HOLDINGS INC.
BOSTON PRIVATE FINANCIAL HOLDINGS INC.
BOSTON PRIVATE FINANCIAL HOLDINGS INC.
BRIDGE CAPITAL HOLDINGS
BRIDGE CAPITAL HOLDINGS
BRIDGE CAPITAL HOLDINGS
BRIDGE CAPITAL HOLDINGS
BRIDGEVIEW BANCORP, INC.
BRIDGEVIEW BANCORP, INC.
BERN
BIRMINGHAM
BIRMINGHAM
BIRMINGHAM
COCONUT GROVE
COCONUT GROVE
COCONUT GROVE
COCONUT GROVE
BELOIT
BELOIT
BELOIT
BELOIT
FARGO
FARGO
FARGO
INDEPENDENCE
INDEPENDENCE
INDEPENDENCE
INDEPENDENCE
SHELBYVILLE
SHELBYVILLE
OVERLAND PARK
OVERLAND PARK
OVERLAND PARK
NEW YORK
NEW YORK
THOMASVILLE
THOMASVILLE
THOMASVILLE
NEW CANAAN
NEW CANAAN
BISMARCK
HOUSTON
HOUSTON
BOSCOBEL
BOSCOBEL
BOSCOBEL
BOSCOBEL
BOSTON
BOSTON
BOSTON
BOSTON
SAN JOSE
SAN JOSE
SAN JOSE
SAN JOSE
BRIDGEVIEW
BRIDGEVIEW
KS
MI
MI
MI
FL
FL
FL
FL
WI
WI
WI
WI
ND
ND
ND
MO
MO
MO
MO
IN
IN
KS
KS
KS
NY
NY
NC
NC
NC
CT
CT
ND
TX
TX
WI
WI
WI
WI
MA
MA
MA
MA
CA
CA
CA
CA
IL
IL
1-Sep-11
24-Apr-09
18-Dec-09
28-Jul-11
19-Jun-09
7-Feb-13
8-Feb-13
26-Mar-13
13-Mar-09
29-Oct-12
31-Oct-12
11-Jan-13
22-May-09
27-Jun-12
12-Sep-12
6-Mar-09
29-Oct-12
31-Oct-12
11-Jan-13
6-Mar-09
10-Feb-12
5-Dec-08
18-Oct-13
21-Oct-13
17-Apr-09
30-Aug-13
5-Dec-08
29-Aug-12
19-Sep-12
27-Feb-09
4-Aug-11
16-Jan-09
6-Mar-09
14-Jul-11
15-May-09
8-Mar-13
11-Mar-13
9-Apr-13
21-Nov-08
13-Jan-10
16-Jun-10
7-Feb-11
23-Dec-08
23-Feb-11
16-Mar-11
20-Apr-11
19-Dec-08
19-Nov-13
BROADWAY FINANCIAL CORPORATION
BROADWAY FINANCIAL CORPORATION
BROGAN BANKSHARES, INC.
BROGAN BANKSHARES, INC.
BROGAN BANKSHARES, INC.
BROGAN BANKSHARES, INC.
BROTHERHOOD BANCSHARES, INC.
BROTHERHOOD BANCSHARES, INC.
BUSINESS BANCSHARES, INC.
BUSINESS BANCSHARES, INC.
BUSINESS BANCSHARES, INC.
BUSINESS BANCSHARES, INC.
BUTLER POINT, INC.
BUTLER POINT, INC.
C&F FINANCIAL CORPORATION
C&F FINANCIAL CORPORATION
C&F FINANCIAL CORPORATION
CACHE VALLEY BANKING COMPANY
CACHE VALLEY BANKING COMPANY
CACHE VALLEY BANKING COMPANY
CADENCE FINANCIAL CORPORATION
CADENCE FINANCIAL CORPORATION
CALIFORNIA BANK OF COMMERCE
CALIFORNIA BANK OF COMMERCE
CALIFORNIA OAKS STATE BANK
CALIFORNIA OAKS STATE BANK
CALVERT FINANCIAL CORPORATION
CALWEST BANCORP
CAPITAL BANCORP, INC.
CAPITAL BANCORP, INC.
CAPITAL BANK CORPORATION
CAPITAL BANK CORPORATION
CAPITAL COMMERCE BANCORP, INC.
CAPITAL ONE FINANCIAL CORP
CAPITAL ONE FINANCIAL CORP
CAPITAL ONE FINANCIAL CORP
CAPITAL PACIFIC BANCORP
CAPITAL PACIFIC BANCORP
CAPITAL PACIFIC BANCORP
LOS ANGELES
CA
LOS ANGELES
CA
KAUKAUNA
WI
KAUKAUNA
WI
KAUKAUNA
WI
KAUKAUNA
WI
KANSAS CITY
KS
KANSAS CITY
KS
CLAYTON
MO
CLAYTON
MO
CLAYTON
MO
CLAYTON
MO
CATLIN
IL
CATLIN
IL
WEST POINT
VA
WEST POINT
VA
WEST POINT
VA
LOGAN
UT
LOGAN
UT
LOGAN
UT
STARKVILLE
MS
STARKVILLE
MS
LAFAYETTE
CA
LAFAYETTE
CA
THOUSAND OAKS
CA
THOUSAND OAKS
CA
ASHLAND
MO
RANCHO SANTA MARGARIT CA
ROCKVILLE
MD
ROCKVILLE
MD
RALEIGH
NC
RALEIGH
NC
MILWAUKEE
WI
MCLEAN
VA
MCLEAN
VA
MCLEAN
VA
PORTLAND
OR
PORTLAND
OR
PORTLAND
OR
14-Nov-08
4-Dec-09
15-May-09
26-Apr-13
29-Apr-13
31-May-13
17-Jul-09
15-Sep-11
24-Apr-09
23-May-12
9-Jan-13
24-Apr-13
13-Mar-09
2-Nov-11
9-Jan-09
27-Jul-11
11-Apr-12
23-Dec-08
18-Dec-09
14-Jul-11
9-Jan-09
4-Mar-11
27-Feb-09
15-Sep-11
23-Jan-09
8-Dec-10
23-Jan-09
23-Jan-09
23-Dec-08
30-Dec-10
12-Dec-08
28-Jan-11
10-Apr-09
14-Nov-08
17-Jun-09
9-Dec-09
23-Dec-08
8-Nov-12
9-Nov-12
Original Investment Type1
Original Investment
Amount
Outstanding
Investment
Total Cash Back2
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
(Fee)4
Shares
Avg. Price
(Realized Loss) /
(Write-off)
Gain5
Warrant Proceeds
Amount
Shares
$985,000.00
$1,000.00
$82,000.00
82
2,600,000
3,800,000
$0.97
$0.97
($67,860.00)
($99,180.00)
$64,158.97
$140,347.75
64,000
140,000
205
9,795
$910.00
$910.00
($18,450.00)
($881,550.00)
$470,250.00
500
2,250
2,750
$1,000.00
$1,000.00
$250,000.00
250
26
11,974
$755.00
$755.00
$541,793.34
600
$375,000.00
375
$939,920.00
$8,271,975.28
3,379
$19,630.00
$9,040,370.00
$0.00
$3,803,022.67
5
$2,250,000.00
$2,750,000.00
$6,400,000.00
$0.00
$50,000.00
$2,532,140.00
$3,700,820.00
Subordinated Debentures w/ Exercised Warrants
$1,635,000.00
$1,744,000.00
$1,000.00
$3,379,000.00
Preferred Stock w/ Exercised Warrants
985
543,337
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($62,329.60)
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$11,459,461.11
Sold, in full; warrants not outstanding
$186,550.00
$8,913,450.00
($91,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$5,000,000.00
$12,000,000.00
$0.00
$0.00
$6,127,326.35
$11,938,437.34
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($6,370.00)
($2,933,630.00)
($90,600.00)
Preferred Stock w/ Exercised Warrants
$5,000,000.00
$0.00
$529,105.00
Currently not collectible
Preferred Stock w/ Warrants
$21,750,000.00
$0.00
$21,474,475.83
Sold, in full; warrants outstanding
($5,000,000.00)
$3,177,232.50
$18,085,785.00
Preferred Stock w/ Warrants
$7,500,000.00
$31,260,000.00
$0.00
$0.00
$9,776,051.62
7,500
$1,000.00
31,260
$921.20
Sold, in full; warrants not outstanding
$28,797,649.80
Preferred Stock w/ Exercised Warrants
$4,797,000.00
$0.00
($72,767.50)
($414,215.00)
Redeemed, in full; warrants not outstanding
$35,140,666.12
$977.60
$977.60
$7,500,000.00
Preferred Stock w/ Exercised Warrants
3,250
18,500
$5,673,920.75
($431,964.75)
($2,462,350.20)
Redeemed, in full; warrants not outstanding
$4,797,000.00
$0.00
$5,589,559.22
$11,783,777.44
$6,947,457.50
240
10,000
$1,000.00
$500,000.00
500
5,586,000
$1.11
$232,180.54
$129,709.80
179,000
100,000
50,000
104,000
$1,000.00
$1,000.00
2,887,500
$1,395,000.00
$5,586,000.00
$20,093,000.00
$0.00
$240,000.00
$6,202,523.25
Subordinated Debentures w/ Exercised Warrants
$20,093,000.00
$10,000,000.00
$1,000.00
$10,000,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
4,797
396,412
$716,319.00
1,900
$125,135.60
120,000
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$5,586,000.00
$592,730.46
($61,787.30)
Preferred Stock w/ Warrants
$154,000,000.00
$0.00
$171,224,745.48
Redeemed, in full; warrants not outstanding
$50,000,000.00
$104,000,000.00
Preferred Stock w/ Warrants
$23,864,000.00
$0.00
$27,872,582.22
Redeemed, in full; warrants not outstanding
$15,000,000.00
$8,864,000.00
Preferred Stock w/ Exercised Warrants
$38,000,000.00
$0.00
$13,559,474.56
15,000
8,864
$1,000.00
$1,000.00
Sold, in full; warrants not outstanding
$10,450,000.00
$1,000.00
$550,000.00
550
6,000
2,500
6,500
$1,000.00
$1,000.00
$1,000.00
$750,000.00
750
607
$1,000.00
$30,000.00
30
$10,000,000.00
$10,000,000.00
10,000
10,000
$1,000.00
$1,000.00
$9,407,000.00
9,407
$1,000.00
$238,000.00
238
$38,000,000.00
44,000
$863.60
$4,000,000.00
4,000
$1,000.00
$200,000.00
200
$3,300,000.00
3,300
$1,000.00
$165,000.00
165
$4,700,000.00
4,700
$1,000.00
$235,000.00
235
$41,279,000.00
41,279
$1,000.00
$3,555,199,000.00
3,555,199
$1,000.00
$146,500,064.55
$3,022,879.60
($27,550,000.00)
12,657,960
$169,042.00
200
Full investment outstanding; warrants not outstanding
$0.00
11,000
$607,000.00
$810,416.67
$1.05
$1.05
$6,000,000.00
$2,500,000.00
$6,500,000.00
$15,000,000.00
60,000
2,340,000
$11,000,000.00
Subordinated Debentures w/ Exercised Warrants
$9,000,000.00
$6,000,000.00
$2,400,000.00
$275.00
$60,000.00
$2,340,000.00
Preferred Stock w/ Warrants
38,000
Sold, in full; warrants not outstanding
$3,000.60
$117,023.40
($25,000.00)
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/ 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/ Warrants
Preferred Stock w/ Exercised Warrants
$11,000,000.00
$15,000,000.00
$607,000.00
$20,000,000.00
$4,767,000.00
$4,640,000.00
$44,000,000.00
$4,000,000.00
$3,300,000.00
$1,037,000.00
$4,656,000.00
$4,700,000.00
$41,279,000.00
$5,100,000.00
$3,555,199,000.00
$4,000,000.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$1,037,000.00
$4,656,000.00
$0.00
$0.00
$5,100,000.00
$0.00
$0.00
$12,845,586.01
$18,707,708.84
$724,123.53
$22,902,777.78
$10,674,333.80
$41,984,062.50
$4,755,899.67
$3,802,219.25
$215,442.61
$396,163.67
$5,452,281.19
$45,252,104.25
$304,973.00
$3,806,873,702.13
$4,742,850.89
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($6,000,000.00)
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Full investment outstanding; warrants outstanding
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$247,727.04
$3,505,712.96
264
3,736
$938.40
$938.40
($16,272.96)
($230,287.04)
FootNote
15,45,14
11
11,9,36
11
8,18,14,44
8,57,97
8,18,18
8,14
8
44
11,59,85
8,14
12,16
11,8,14
45
8
11,8,14
8,14
11
40
45
93
8,17,44
44,8,14
Institution Name
CAPITAL PACIFIC BANCORP
CARDINAL BANCORP II, INC.
CARDINAL BANCORP II, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA TRUST BANK
CAROLINA TRUST BANK
CAROLINA TRUST BANK
CAROLINA TRUST BANK
CAROLINA TRUST BANK
CARROLLTON BANCORP
CARROLLTON BANCORP
CARVER BANCORP, INC.
CARVER BANCORP, INC.
CASCADE FINANCIAL CORPORATION
CASCADE FINANCIAL CORPORATION
CATHAY GENERAL BANCORP
CATHAY GENERAL BANCORP
CATHAY GENERAL BANCORP
CATHAY GENERAL BANCORP
CATSKILL HUDSON BANCORP, INC.
CATSKILL HUDSON BANCORP, INC.
CATSKILL HUDSON BANCORP, INC.
CB HOLDING CORP.
CB HOLDING CORP.
CBB BANCORP
CBB BANCORP
CBB BANCORP
CBB BANCORP
CBB BANCORP
CBB BANCORP
CBS BANC-CORP.
CBS BANC-CORP.
CBS BANC-CORP.
CBS BANC-CORP.
CBS BANC-CORP.
CECIL BANCORP, INC.
CEDARSTONE BANK
CEDARSTONE BANK
CENTER BANCORP, INC.
CENTER BANCORP, INC.
CENTER BANCORP, INC.
CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC.
CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC.
CENTERBANK
CENTERBANK
CENTERBANK
CENTERBANK
CENTERBANK
CENTERSTATE BANKS OF FLORIDA INC.
CENTERSTATE BANKS OF FLORIDA INC.
CENTERSTATE BANKS OF FLORIDA INC.
CENTRA FINANCIAL HOLDINGS, INC.
CENTRA FINANCIAL HOLDINGS, INC.
CENTRA FINANCIAL HOLDINGS, INC.
CENTRAL BANCORP, INC. (MA)
CENTRAL BANCORP, INC. (MA)
CENTRAL BANCORP, INC. (MA)
CENTRAL BANCORP, INC. (TX)
CENTRAL BANCSHARES, INC.
CENTRAL BANCSHARES, INC.
CENTRAL COMMUNITY CORPORATION
CENTRAL COMMUNITY CORPORATION
CENTRAL COMMUNITY CORPORATION
CENTRAL COMMUNITY CORPORATION
CENTRAL FEDERAL CORPORATION
CENTRAL FEDERAL CORPORATION
CENTRAL JERSEY BANCORP
CENTRAL JERSEY BANCORP
CENTRAL JERSEY BANCORP
CENTRAL PACIFIC FINANCIAL CORP.
CENTRAL PACIFIC FINANCIAL CORP.
CENTRAL PACIFIC FINANCIAL CORP.
CENTRAL PACIFIC FINANCIAL CORP.
CENTRAL VALLEY COMMUNITY BANCORP
CENTRAL VALLEY COMMUNITY BANCORP
CENTRAL VALLEY COMMUNITY BANCORP
CENTRAL VIRGINIA BANKSHARES, INC.
CENTRAL VIRGINIA BANKSHARES, INC.
CENTRIC FINANCIAL CORPORATION
CENTRIC FINANCIAL CORPORATION
CENTRIX BANK & TRUST
CENTRIX BANK & TRUST
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
City
PORTLAND
WASHINGTON
WASHINGTON
GREENSBORO
GREENSBORO
GREENSBORO
GREENSBORO
GREENSBORO
LINCOLNTON
LINCOLNTON
LINCOLNTON
LINCOLNTON
LINCOLNTON
BALTIMORE
BALTIMORE
NEW YORK
NEW YORK
EVERETT
EVERETT
LOS ANGELES
LOS ANGELES
LOS ANGELES
LOS ANGELES
ROCK HILL
ROCK HILL
ROCK HILL
ALEDO
ALEDO
CARTERSVILLE
CARTERSVILLE
CARTERSVILLE
CARTERSVILLE
CARTERSVILLE
CARTERSVILLE
RUSSELLVILLE
RUSSELLVILLE
RUSSELLVILLE
RUSSELLVILLE
RUSSELLVILLE
ELKTON
LEBANON
LEBANON
UNION
UNION
UNION
LOS ANGELES
LOS ANGELES
MILFORD
MILFORD
MILFORD
MILFORD
MILFORD
DAVENPORT
DAVENPORT
DAVENPORT
MORGANTOWN
MORGANTOWN
MORGANTOWN
SOMERVILLE
SOMERVILLE
SOMERVILLE
GARLAND
HOUSTON
HOUSTON
TEMPLE
TEMPLE
TEMPLE
TEMPLE
FAIRLAWN
FAIRLAWN
OAKHURST
OAKHURST
OAKHURST
HONOLULU
HONOLULU
HONOLULU
HONOLULU
FRESNO
FRESNO
FRESNO
POWHATAN
POWHATAN
HARRISBURG
HARRISBURG
BEDFORD
BEDFORD
OTTAWA
OTTAWA
State
OR
MO
MO
NC
NC
NC
NC
NC
NC
NC
NC
NC
NC
MD
MD
NY
NY
WA
WA
CA
CA
CA
CA
NY
NY
NY
IL
IL
GA
GA
GA
GA
GA
GA
AL
AL
AL
AL
AL
MD
TN
TN
NJ
NJ
NJ
CA
CA
OH
OH
OH
OH
OH
FL
FL
FL
WV
WV
WV
MA
MA
MA
TX
TX
TX
TX
TX
TX
TX
OH
OH
NJ
NJ
NJ
HI
HI
HI
HI
CA
CA
CA
VA
VA
PA
PA
NH
NH
IL
IL
Date
11-Jan-13
23-Oct-09
8-Sep-11
9-Jan-09
20-Feb-13
21-Feb-13
26-Mar-13
19-Apr-13
6-Feb-09
30-Nov-12
11-Jan-13
26-Mar-13
11-Jun-13
13-Feb-09
19-Apr-13
16-Jan-09
27-Aug-10
21-Nov-08
30-Jun-11
5-Dec-08
20-Mar-13
30-Sep-13
9-Dec-13
27-Feb-09
22-Dec-09
21-Jul-11
29-May-09
14-Oct-11
20-Feb-09
29-Dec-09
28-Nov-12
29-Nov-12
11-Jan-13
26-Mar-13
27-Mar-09
7-Aug-12
9-Aug-12
10-Aug-12
11-Sep-12
23-Dec-08
6-Feb-09
20-Nov-13
9-Jan-09
15-Sep-11
7-Dec-11
12-Dec-08
27-Jun-12
1-May-09
29-Oct-12
1-Nov-12
11-Jan-13
26-Mar-13
21-Nov-08
30-Sep-09
28-Oct-09
16-Jan-09
31-Mar-09
15-Apr-09
5-Dec-08
25-Aug-11
19-Oct-11
27-Feb-09
30-Jan-09
6-Jul-11
20-Feb-09
10-Dec-12
11-Dec-12
11-Jan-13
5-Dec-08
26-Sep-12
23-Dec-08
24-Nov-10
1-Dec-10
9-Jan-09
22-Jun-11
4-Apr-12
11-Jun-13
30-Jan-09
18-Aug-11
28-Sep-11
30-Jan-09
1-Oct-13
18-Dec-09
14-Jul-11
6-Feb-09
28-Jul-11
9-Jan-09
25-Sep-13
Original Investment Type1
Original Investment
Amount
Outstanding
Investment
Total Cash Back2
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
(Fee)4
Shares
Avg. Price
(Realized Loss) /
(Write-off)
Gain5
Warrant Proceeds
Amount
Shares
($25,000.00)
Subordinated Debentures w/ Exercised Warrants
$6,251,000.00
$0.00
$7,547,479.56
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$16,000,000.00
$0.00
$19,941,788.94
Sold, in full; warrants not outstanding
$6,251,000.00
6,251,000
$1.00
$14,525,843.40
$435,756.60
15,534
466
$935.10
$935.10
$313,000.00
313,000
$1,800,000.00
357,675
$19,132.00
86,957
$213,594.16
205,379
$13,107,778.30
1,846,374
$263,000.00
263
($91,174.40)
($205,740.14)
$115,861.34
132
($96,696.00)
($2,206,944.00)
$287,213.85
$689,313.24
$131,297.76
315
756
144
$178,000.00
178
$245,000.00
86,705
$84,057.43
113
$212,000.00
125,413
$750,000.00
750
$2,525,000.00
234,742
$290,000.00
290
$1,058,725.80
1,100
$319,658.99
268,621
$751,888.00
79,288
$185,016.80
79,067
($1,008,156.60)
($30,243.40)
($149,616.00)
Preferred Stock w/ Warrants
$4,000,000.00
$0.00
$3,994,452.00
Sold, in full; warrants not outstanding
$3,412,000.00
4,000
$853.00
($588,000.00)
($34,120.00)
($15,880.00)
Preferred Stock w/ Warrants
$9,201,000.00
$0.00
$11,388,958.51
Redeemed, in full; warrants not outstanding
Preferred Stock
$18,980,000.00
$0.00
$20,511,580.55
Redeemed, in full; warrants not outstanding
$9,201,000.00
Preferred Stock w/ Exercised Warrants
$258,000,000.00
$3,000,000.00
$3,500,000.00
$0.00
$0.00
$17,678,900.00
$329,874,444.96
$1,000.00
38,970
$417.00
$129,000,000.00
$129,000,000.00
Preferred Stock w/ Warrants
$0.00
18,980
$16,250,000.00
$38,970,000.00
$1,000.00
$18,980,000.00
Preferred Stock w/ Warrants
9,201
129,000
129,000
$1,000.00
$1,000.00
Sold, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$7,448,071.47
Redeemed, in full; warrants not outstanding
$271,579.53
Currently not collectible
$6,500,000.00
Preferred Stock w/ Exercised Warrants
$4,114,000.00
$0.00
($22,720,000.00)
6,500
$1,000.00
($4,114,000.00)
Preferred Stock w/ Exercised Warrants
$2,644,000.00
$1,753,000.00
$0.00
$4,982,141.86
Sold, in full; warrants not outstanding
$1,268,825.60
$2,831,259.86
1,360
3,037
$932.05
$932.05
($32,969.92)
($363.42)
Preferred Stock w/ Exercised Warrants
$24,300,000.00
$0.00
$27,432,357.95
Sold, in full; warrants not outstanding
$923,304.00
$21,073,056.00
1,020
23,280
$905.20
$905.20
$3,564,000.00
3,564
$1,000.00
$10,000,000.00
10,000
$1,000.00
($219,963.60)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$11,560,000.00
$3,564,000.00
$10,000,000.00
$55,000,000.00
$11,560,000.00
$0.00
$0.00
$0.00
$516,988.89
$4,672,098.50
$11,586,666.67
$64,739,583.33
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants outstanding
$55,000,000.00
$2,250,000.00
$0.00
$2,344,662.43
$1,000.00
$24,750.00
$1,831,500.00
Preferred Stock w/ Exercised Warrants
55,000
30
2,220
$825.00
$825.00
27,875
$1,000.00
Sold, in full; warrants not outstanding
($5,250.00)
($388,500.00)
($18,562.50)
($6,437.50)
Preferred Stock w/ Warrants
$27,875,000.00
$0.00
$29,283,302.58
Redeemed, in full; warrants not outstanding
$27,875,000.00
Preferred Stock w/ Exercised Warrants
$15,000,000.00
$0.00
$15,922,937.50
Redeemed, in full; warrants not outstanding
$15,000,000.00
Preferred Stock w/ Warrants
$10,000,000.00
$0.00
$13,886,111.11
15,000
Redeemed, in full; warrants not outstanding
$10,000,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$22,500,000.00
$5,800,000.00
$22,500,000.00
$0.00
$2,411,625.00
$6,859,176.83
$1,000.00
10,000
$1,000.00
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$5,800,000.00
$25,797,528.80
$926.20
$926.20
($424,940.40)
($1,198,659.60)
7,225
$415.20
($4,225,000.00)
$11,300,000.00
$0.00
5,758
16,242
$3,000,000.00
$22,000,000.00
$1,000.00
$5,333,059.60
$15,043,340.40
Preferred Stock w/ Exercised Warrants
5,800
11,300
$1,000.00
Sold, in full; warrants not outstanding
($203,764.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$7,225,000.00
$11,300,000.00
$135,000,000.00
$0.00
$0.00
$0.00
$3,612,118.06
$12,704,145.10
$75,036,891.42
Sold, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$36,337,500.00
$36,427,038.55
Preferred Stock w/ Warrants
$7,000,000.00
$0.00
$8,077,516.47
$11,385,000.00
$0.00
$3,800,656.00
2,850,000
2,770,117
$12.75
$13.15
($32,121,928.87)
($30,113,532.58)
Redeemed, in full; warrants not outstanding
$7,000,000.00
Preferred Stock w/ Warrants
($454,218.75)
($387,816.38)
7,000
$1,000.00
Sold, in full; warrants not outstanding
$3,350,000.00
Preferred Stock w/ Warrants
$7,500,000.00
$32,668,000.00
$0.00
$0.00
$1,402,000.00
$6,739,821.89
6,056
$1,000.00
$182,000.00
182
$7,500,000.00
Preferred Stock w/ Exercised Warrants
$6,056,000.00
$294.20
$6,056,000.00
Preferred Stock w/ Exercised Warrants
11,385
($8,035,000.00)
7,500
$1,000.00
$375,000.00
375
$8,211,450.00
25,266
$325.00
Redeemed, in full; warrants not outstanding
$8,887,791.42
Redeemed, in full; warrants not outstanding
$10,651,025.50
Sold, in part; warrants outstanding
($17,054,550.00)
FootNote
15,14
15
8
23
19,30
11
8,55,97
8,14
11,9,36
8
8
44,8,14
11
86
45
8,9
11
8,14
82
8,17
45
44
8,14
11,8,14
11,16
44,8,14
11
11
15,14
Institution Name
City
State
Date
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTURY FINANCIAL SERVICES CORPORATION
CENTURY FINANCIAL SERVICES CORPORATION
CENTURY FINANCIAL SERVICES CORPORATION
CENTURY FINANCIAL SERVICES CORPORATION
CHAMBERS BANCSHARES, INC.
CHICAGO SHORE CORPORATION
CIT GROUP INC.
CIT GROUP INC.
CITIGROUP INC.
CITIGROUP INC.
CITIGROUP INC.
CITIZENS & NORTHERN CORPORATION
CITIZENS & NORTHERN CORPORATION
CITIZENS & NORTHERN CORPORATION
CITIZENS BANCORP
CITIZENS BANCORP
CITIZENS BANCSHARES CO.
CITIZENS BANCSHARES CO.
CITIZENS BANCSHARES CO.
CITIZENS BANCSHARES CO.
CITIZENS BANCSHARES CORPORATION
CITIZENS BANCSHARES CORPORATION
CITIZENS BANK & TRUST COMPANY, ESTABLISHED 1945
CITIZENS COMMERCE BANCSHARES, INC.
CITIZENS COMMUNITY BANK
CITIZENS COMMUNITY BANK
CITIZENS FIRST CORPORATION
CITIZENS FIRST CORPORATION
CITIZENS FIRST CORPORATION
CITIZENS REPUBLIC BANCORP, INC.
CITIZENS REPUBLIC BANCORP, INC.
CITIZENS SOUTH BANKING CORPORATION
CITIZENS SOUTH BANKING CORPORATION
CITIZENS SOUTH BANKING CORPORATION
OTTAWA
OTTAWA
SANTA FE
SANTA FE
SANTA FE
SANTA FE
DANVILLE
CHICAGO
NEW YORK
NEW YORK
NEW YORK
NEW YORK
NEW YORK
WELLSBORO
WELLSBORO
WELLSBORO
NEVADA CITY
NEVADA CITY
CHILLICOTHE
CHILLICOTHE
CHILLICOTHE
CHILLICOTHE
ATLANTA
ATLANTA
COVINGTON
VERSAILLES
SOUTH HILL
SOUTH HILL
BOWLING GREEN
BOWLING GREEN
BOWLING GREEN
FLINT
FLINT
GASTONIA
GASTONIA
GASTONIA
IL
IL
NM
NM
NM
NM
AR
IL
NY
NY
NY
NY
NY
PA
PA
PA
CA
CA
MO
MO
MO
MO
GA
GA
LA
KY
VA
VA
KY
KY
KY
MI
MI
NC
NC
NC
18-Oct-13
29-Oct-13
19-Jun-09
19-Dec-12
20-Dec-12
11-Jan-13
29-May-09
31-Jul-09
31-Dec-08
10-Dec-09
28-Oct-08
10-Dec-10
31-Jan-11
16-Jan-09
4-Aug-10
1-Sep-10
23-Dec-08
23-Sep-11
29-May-09
7-Feb-13
8-Feb-13
26-Mar-13
6-Mar-09
13-Aug-10
20-Mar-09
6-Feb-09
23-Dec-08
28-Jul-11
19-Dec-08
16-Feb-11
13-Feb-13
12-Dec-08
12-Apr-13
12-Dec-08
22-Sep-11
9-Nov-11
CITY NATIONAL BANCSHARES CORPORATION
CITY NATIONAL CORPORATION
CITY NATIONAL CORPORATION
CITY NATIONAL CORPORATION
CITY NATIONAL CORPORATION
CLOVER COMMUNITY BANKSHARES, INC.
CLOVER COMMUNITY BANKSHARES, INC.
CLOVER COMMUNITY BANKSHARES, INC.
CLOVER COMMUNITY BANKSHARES, INC.
COASTAL BANKING COMPANY, INC.
COASTAL BANKING COMPANY, INC.
COASTAL BANKING COMPANY, INC.
COASTAL BANKING COMPANY, INC.
COASTAL BANKING COMPANY, INC.
COASTAL BANKING COMPANY, INC.
COASTALSOUTH BANCHARES, INC.
COASTALSOUTH BANCHARES, INC.
COASTALSOUTH BANCHARES, INC.
COASTALSOUTH BANCHARES, INC.
COBIZ FINANCIAL INC.
COBIZ FINANCIAL INC.
COBIZ FINANCIAL INC.
CODORUS VALLEY BANCORP, INC.
CODORUS VALLEY BANCORP, INC.
CODORUS VALLEY BANCORP, INC.
COLOEAST BANKSHARES, INC.
COLOEAST BANKSHARES, INC.
COLOEAST BANKSHARES, INC.
COLOEAST BANKSHARES, INC.
COLONIAL AMERICAN BANK
COLONIAL AMERICAN BANK
COLONY BANKCORP, INC.
COLONY BANKCORP, INC.
COLONY BANKCORP, INC.
COLONY BANKCORP, INC.
COLONY BANKCORP, INC.
COLUMBIA BANKING SYSTEM, INC.
COLUMBIA BANKING SYSTEM, INC.
COLUMBIA BANKING SYSTEM, INC.
COLUMBINE CAPITAL CORP.
COLUMBINE CAPITAL CORP.
COMERICA INC.
COMERICA INC.
COMERICA INC.
COMMERCE NATIONAL BANK
COMMERCE NATIONAL BANK
COMMERCE NATIONAL BANK
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BANCSHARES, INC.
NEWARK
BEVERLY HILLS
BEVERLY HILLS
BEVERLY HILLS
BEVERLY HILLS
CLOVER
CLOVER
CLOVER
CLOVER
FERNANDINA BEACH
FERNANDINA BEACH
FERNANDINA BEACH
FERNANDINA BEACH
FERNANDINA BEACH
FERNANDINA BEACH
HILTON HEAD ISLAND
HILTON HEAD ISLAND
HILTON HEAD ISLAND
HILTON HEAD ISLAND
DENVER
DENVER
DENVER
YORK
YORK
YORK
LAMAR
LAMAR
LAMAR
LAMAR
WEST CONSHOHOCKEN
WEST CONSHOHOCKEN
FITZGERALD
FITZGERALD
FITZGERALD
FITZGERALD
FITZGERALD
TACOMA
TACOMA
TACOMA
BUENA VISTA
BUENA VISTA
DALLAS
DALLAS
DALLAS
NEWPORT BEACH
NEWPORT BEACH
NEWPORT BEACH
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOUISVILLE
NJ
CA
CA
CA
CA
SC
SC
SC
SC
FL
FL
FL
FL
FL
FL
SC
SC
SC
SC
CO
CO
CO
PA
PA
PA
CO
CO
CO
CO
PA
PA
GA
GA
GA
GA
GA
WA
WA
WA
CO
CO
TX
TX
TX
CA
CA
CA
KY
KY
KY
KY
10-Apr-09
21-Nov-08
30-Dec-09
3-Mar-10
7-Apr-10
27-Mar-09
28-Nov-12
29-Nov-12
11-Jan-13
5-Dec-08
8-Mar-13
11-Mar-13
9-Apr-13
10-Apr-13
12-Jun-13
28-Aug-09
8-Mar-13
11-Mar-13
9-Apr-13
19-Dec-08
8-Sep-11
23-Nov-11
9-Jan-09
18-Aug-11
28-Sep-11
13-Feb-09
19-Jul-13
22-Jul-13
12-Sep-13
27-Mar-09
26-Oct-11
9-Jan-09
7-Feb-13
8-Feb-13
26-Mar-13
12-Jun-13
21-Nov-08
11-Aug-10
1-Sep-10
27-Feb-09
22-Sep-11
14-Nov-08
17-Mar-10
12-May-10
9-Jan-09
7-Oct-09
1-Oct-13
22-May-09
7-Aug-12
8-Aug-12
9-Aug-12
Original Investment Type1
Original Investment
Amount
Outstanding
Investment
Total Cash Back2
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
(Fee)4
Shares
Avg. Price
(Realized Loss) /
(Write-off)
6,000
$325.00
$0.99
$0.99
Warrant Proceeds
Amount
($600.00)
($149,400.00)
Shares
($4,050,000.00)
40,000
9,960,000
$1,950,000.00
Gain5
($82,114.50)
Subordinated Debentures w/ Exercised Warrants
$10,000,000.00
$0.00
$13,186,960.25
Sold, in full; warrants not outstanding
$39,400.00
$9,810,600.00
$198,635.58
$297,953.37
200,000
300,000
$54,621,848.84
210,084,034
$400,000.00
194,794
$258,018.75
$387,028.12
500
750
$150,000.00
150
$225,157.00
450,314
$18,500,000.00
1,128,668
$114,021.50
150
$99,000.00
$225,647.45
60,000
145,579
$389,857.05
$25,990.47
450
30
$143,677.00
895,968
$526,604.00
263,859
$494,381.25
50
$29,000.00
29
$810,000.00
500,000
$3,301,647.00
398,023
$113,000.00
113
$181,102,043.40
11,479,592
$566,858.50
87,209
$792,990.00
900,000
($98,500.00)
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$19,817,000.00
$7,000,000.00
$2,330,000,000.00
$19,817,000.00
$7,000,000.00
$0.00
$5,754,674.98
$1,637,270.81
$43,687,500.00
Full investment outstanding; warrants outstanding
Full investment outstanding; warrants outstanding
Exited bankruptcy/receivership
($2,330,000,000.00)
Preferred Stock w/ Warrants
$25,000,000,000.00
$0.00
$32,839,267,986.44
Redeemed, in full; warrants not outstanding
$25,000,000,000.00
Preferred Stock w/ Warrants
$26,440,000.00
$0.00
$28,889,100.00
7,692,307,692
$10,400,000.00
$0.00
$223,571.11
$6,852,354,470.93
Redeemed, in full; warrants not outstanding
$26,440,000.00
Preferred Stock w/ Exercised Warrants
$4.14
26,440
$1,000.00
Currently not collectible
($10,400,000.00)
Preferred Stock w/ Exercised Warrants
$24,990,000.00
$0.00
$13,952,381.45
Sold, in full; warrants not outstanding
$6,657,375.00
$6,150,000.00
12,990
12,000
$512.50
$512.50
$7,462,000.00
7,462
$1,000.00
$3,000,000.00
3,000
$1,000.00
$2,212,308.00
$3,300,904.00
63
94
$35,116.00
$35,116.00
$300,000,000.00
300,000
$1,000.00
$20,500,000.00
20,500
($6,332,625.00)
($5,850,000.00)
$1,000.00
($128,073.75)
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$7,462,000.00
$2,400,000.00
$6,300,000.00
$3,000,000.00
$8,779,000.00
$0.00
$2,400,000.00
$6,300,000.00
$0.00
$3,265,788.00
$7,997,813.22
$445,083.00
$180,258.50
$3,574,645.84
$7,237,920.21
Redeemed, in full; warrants not outstanding
Full investment outstanding; warrants outstanding
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in part; warrants outstanding
Preferred Stock w/ Warrants
$300,000,000.00
$0.00
$369,245,436.64
Redeemed, in full; warrants outstanding
Preferred Stock w/ Warrants
$20,500,000.00
$0.00
$23,572,379.22
Redeemed, in full; warrants not outstanding
Preferred Stock
Preferred Stock w/ Warrants
$9,439,000.00
$400,000,000.00
$9,439,000.00
$0.00
$281,859.00
$442,416,666.67
Full investment outstanding; warrants not outstanding
Redeemed, in full; warrants not outstanding
$200,000,000.00
$200,000,000.00
Preferred Stock w/ Exercised Warrants
$3,000,000.00
$0.00
$3,318,585.05
200,000
200,000
$1,000.00
$1,000.00
Sold, in full; warrants not outstanding
$955,825.50
$1,662,874.50
1,095
1,905
$872.90
$872.90
($139,174.50)
($242,125.50)
3,950
6,000
$955.10
$955.10
($177,355.00)
($269,400.00)
($25,000.00)
Preferred Stock w/ Warrants
$9,950,000.00
$0.00
$11,166,897.79
Sold, in full; warrants not outstanding
$3,772,645.00
$5,730,600.00
($95,032.45)
Preferred Stock w/ Exercised Warrants
$16,015,000.00
$0.00
$14,257,487.71
Sold, in full; warrants not outstanding
$397,550.00
$12,335,976.50
500
15,515
$795.10
$795.10
64,450
($102,450.00)
($3,179,023.50)
$1,000.00
($127,335.27)
Preferred Stock w/ Warrants
$64,450,000.00
$0.00
$73,357,086.72
Redeemed, in full; warrants not outstanding
$64,450,000.00
Preferred Stock w/ Warrants
$16,500,000.00
$0.00
$19,178,479.00
Redeemed, in full; warrants not outstanding
$16,500,000.00
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$10,670,784.03
16,500
$1,000.00
Sold, in full; warrants not outstanding
$46,995.00
$8,990,505.00
52
9,948
$903.80
$903.80
$574,000.00
574
$1,000.00
$21,633,944.71
$265,135.29
27,661
339
$782.10
$782.10
($5,005.00)
($957,495.00)
($90,375.00)
Preferred Stock w/ Exercised Warrants
$574,000.00
$0.00
$668,142.53
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$28,000,000.00
$0.00
$26,480,089.20
Sold, in full; warrants not outstanding
($6,027,055.29)
($73,864.71)
($218,990.80)
Preferred Stock w/ Warrants
$76,898,000.00
$0.00
$86,821,419.22
Redeemed, in full; warrants not outstanding
$76,898,000.00
Preferred Stock w/ Exercised Warrants
$2,260,000.00
$0.00
$2,689,478.64
76,898
$1,000.00
Redeemed, in full; warrants not outstanding
$2,260,000.00
Preferred Stock w/ Warrants
$2,250,000,000.00
$5,000,000.00
$0.00
$0.00
$2,582,039,543.40
$5,602,969.61
$1,000.00
$2,250,000,000.00
Preferred Stock w/ Warrants
2,260
2,250,000
$1,000.00
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$5,000,000.00
Subordinated Debentures w/ Exercised Warrants
$20,400,000.00
$0.00
$21,575,016.54
5,000
$1,000.00
Sold, in full; warrants not outstanding
$130,500.00
$1,469,250.00
$13,100,250.00
174,000
1,959,000
17,467,000
$0.75
$0.75
$0.75
($43,500.00)
($489,750.00)
($4,366,750.00)
FootNote
8,14
11,8,14
11,8,14
11,8,14
8,17
11,9,36
44
11
8,14
81
74,8,14
8
44,8,14
8
8,67
8,14
44
15,17
44,8,14
53
8,14
8,14
8,14
8
8
8,14
8
11,16
44,8,14
15,44,14
8,14
8,18
Institution Name
City
COMMONWEALTH BANCSHARES, INC.
LOUISVILLE
COMMONWEALTH BANCSHARES, INC.
LOUISVILLE
COMMONWEALTH BUSINESS BANK
LOS ANGELES
COMMONWEALTH BUSINESS BANK
LOS ANGELES
COMMONWEALTH BUSINESS BANK
LOS ANGELES
COMMUNITY 1ST BANK
ROSEVILLE
COMMUNITY 1ST BANK
ROSEVILLE
COMMUNITY BANCSHARES OF KANSAS, INC.
GOFF
COMMUNITY BANCSHARES OF KANSAS, INC.
GOFF
COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY BANK OF MISS BRANDON
COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY BANK OF MISS BRANDON
COMMUNITY BANCSHARES, INC.
KINGMAN
COMMUNITY BANK OF THE BAY
OAKLAND
COMMUNITY BANK OF THE BAY
OAKLAND
COMMUNITY BANK SHARES OF INDIANA, INC.
NEW ALBANY
COMMUNITY BANK SHARES OF INDIANA, INC.
NEW ALBANY
COMMUNITY BANK SHARES OF INDIANA, INC.
NEW ALBANY
COMMUNITY BANKERS TRUST CORPORATION
GLEN ALLEN
COMMUNITY BANKERS TRUST CORPORATION
GLEN ALLEN
COMMUNITY BANKERS TRUST CORPORATION
GLEN ALLEN
COMMUNITY BUSINESS BANK
WEST SACRAMENTO
COMMUNITY BUSINESS BANK
WEST SACRAMENTO
COMMUNITY BUSINESS BANK
WEST SACRAMENTO
COMMUNITY FINANCIAL CORPORATION
STAUNTON
COMMUNITY FINANCIAL CORPORATION
STAUNTON
COMMUNITY FINANCIAL SHARES, INC.
GLEN ELLYN
COMMUNITY FINANCIAL SHARES, INC.
GLEN ELLYN
COMMUNITY FIRST BANCSHARES, INC. (AR)
HARRISON
COMMUNITY FIRST BANCSHARES, INC. (TN)
UNION CITY
COMMUNITY FIRST BANCSHARES, INC. (TN)
UNION CITY
COMMUNITY FIRST, INC.
COLUMBIA
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHABRANDON
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHABRANDON
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHABRANDON
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHABRANDON
COMMUNITY INVESTORS BANCORP, INC.
BUCYRUS
COMMUNITY INVESTORS BANCORP, INC.
BUCYRUS
COMMUNITY INVESTORS BANCORP, INC.
BUCYRUS
COMMUNITY INVESTORS BANCORP, INC.
BUCYRUS
COMMUNITY INVESTORS BANCORP, INC.
BUCYRUS
COMMUNITY PARTNERS BANCORP
MIDDLETOWN
COMMUNITY PARTNERS BANCORP
MIDDLETOWN
COMMUNITY PARTNERS BANCORP
MIDDLETOWN
COMMUNITY PRIDE BANK CORPORATION
HAM LAKE
COMMUNITY PRIDE BANK CORPORATION
HAM LAKE
COMMUNITY PRIDE BANK CORPORATION
HAM LAKE
COMMUNITY TRUST FINANCIAL CORPORATION
RUSTON
COMMUNITY TRUST FINANCIAL CORPORATION
RUSTON
COMMUNITY WEST BANCSHARES
GOLETA
COMMUNITY WEST BANCSHARES
GOLETA
COMMUNITY WEST BANCSHARES
GOLETA
COMMUNITY WEST BANCSHARES
GOLETA
COMMUNITY WEST BANCSHARES
GOLETA
COMMUNITYONE BANCORP / FNB UNITED CORP.
ASHEBORO
CONGAREE BANCSHARES, INC.
CAYCE
CONGAREE BANCSHARES, INC.
CAYCE
CONGAREE BANCSHARES, INC.
CAYCE
CONGAREE BANCSHARES, INC.
CAYCE
CORNING SAVINGS AND LOAN ASSOCIATION
CORNING
CORNING SAVINGS AND LOAN ASSOCIATION
CORNING
CORNING SAVINGS AND LOAN ASSOCIATION
CORNING
CORNING SAVINGS AND LOAN ASSOCIATION
CORNING
COUNTRY BANK SHARES, INC.
MILFORD
COUNTRY BANK SHARES, INC.
MILFORD
COUNTRY BANK SHARES, INC.
MILFORD
COUNTRY BANK SHARES, INC.
MILFORD
COVENANT FINANCIAL CORPORATION
CLARKSDALE
CRAZY WOMAN CREEK BANCORP INCORPORATED
BUFFALO
CROSSTOWN HOLDING COMPANY
BLAINE
CROSSTOWN HOLDING COMPANY
BLAINE
CROSSTOWN HOLDING COMPANY
BLAINE
CROSSTOWN HOLDING COMPANY
BLAINE
CSRA BANK CORP.
WRENS
CVB FINANCIAL CORP.
ONTARIO
CVB FINANCIAL CORP.
ONTARIO
CVB FINANCIAL CORP.
ONTARIO
CVB FINANCIAL CORP.
ONTARIO
D.L. EVANS BANCORP
BURLEY
D.L. EVANS BANCORP
BURLEY
DEERFIELD FINANCIAL CORPORATION
DEERFIELD
DEERFIELD FINANCIAL CORPORATION
DEERFIELD
DELMAR BANCORP
DELMAR
DELMAR BANCORP
DELMAR
DELMAR BANCORP
DELMAR
DELMAR BANCORP
DELMAR
DESOTO COUNTY BANK
HORN LAKE
DESOTO COUNTY BANK
HORN LAKE
DESOTO COUNTY BANK
HORN LAKE
State
KY
KY
CA
CA
CA
CA
CA
KS
KS
MS
MS
AZ
CA
CA
IN
IN
IN
VA
VA
VA
CA
CA
CA
VA
VA
IL
IL
AR
TN
TN
TN
MS
MS
MS
MS
OH
OH
OH
OH
OH
NJ
NJ
NJ
MN
MN
MN
LA
LA
CA
CA
CA
CA
CA
NC
SC
SC
SC
SC
AR
AR
AR
AR
NE
NE
NE
NE
MS
WY
MN
MN
MN
MN
GA
CA
CA
CA
CA
ID
ID
WI
WI
MD
MD
MD
MD
MS
MS
MS
Date
10-Aug-12
11-Sep-12
23-Jan-09
17-Jul-13
12-Sep-13
16-Jan-09
19-Dec-12
6-Mar-09
18-Jul-12
11-Sep-09
29-Sep-10
24-Jul-09
16-Jan-09
29-Sep-10
29-May-09
15-Sep-11
19-Oct-11
19-Dec-08
24-Jul-13
20-Nov-13
27-Feb-09
30-Nov-12
11-Jan-13
19-Dec-08
9-Jan-13
15-May-09
21-Dec-12
3-Apr-09
20-Mar-09
18-Aug-11
27-Feb-09
6-Feb-09
30-Nov-12
11-Jan-13
26-Mar-13
23-Dec-08
19-Dec-12
20-Dec-12
11-Jan-13
26-Mar-13
30-Jan-09
11-Aug-11
26-Oct-11
13-Nov-09
12-Aug-13
12-Sep-13
9-Jan-09
6-Jul-11
19-Dec-08
10-Dec-12
11-Dec-12
11-Jan-13
12-Jun-13
13-Feb-09
9-Jan-09
29-Oct-12
31-Oct-12
11-Jan-13
13-Feb-09
30-Nov-12
11-Jan-13
26-Mar-13
30-Jan-09
28-Nov-12
29-Nov-12
11-Jan-13
5-Jun-09
20-Feb-09
23-Jan-09
19-Jul-13
22-Jul-13
12-Sep-13
27-Mar-09
5-Dec-08
26-Aug-09
2-Sep-09
28-Oct-09
27-Feb-09
27-Sep-11
15-May-09
8-Sep-11
4-Dec-09
7-Feb-13
8-Feb-13
26-Mar-13
13-Feb-09
29-Dec-09
24-Sep-13
Original Investment Type1
Original Investment
Amount
Outstanding
Investment
Total Cash Back2
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
(Fee)4
Shares
Avg. Price
(Realized Loss) /
(Write-off)
Gain5
Warrant Proceeds
Amount
Shares
800,000
$0.75
($200,000.00)
$105,732.00
120,000
7,701
$951.00
($377,349.00)
$362,427.91
385
$2,550,000.00
2,550
$1,000.00
$128,000.00
128
$500,000.00
500
$1,000.00
$25,000.00
25
$52,000,000.00
52,000
$1,000.00
$2,600,000.00
2,600
$1,747,000.00
1,747
$1,000.00
$19,468,000.00
19,468
$1,000.00
$1,100,869.50
386,270
($258,440.00)
$167,035.00
199
($3,833,500.00)
$157,050.00
349
$1,000,000.00
1,000
$600,000.00
($153,000.00)
Preferred Stock w/ Exercised Warrants
$7,701,000.00
$0.00
$8,451,110.79
Sold, in full; warrants not outstanding
$7,323,651.00
($73,236.51)
Preferred Stock w/ Exercised Warrants
$2,550,000.00
$0.00
$2,899,659.67
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$500,000.00
$0.00
$616,741.75
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$52,000,000.00
$0.00
$57,575,699.54
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$3,872,000.00
$1,747,000.00
$19,468,000.00
$17,680,000.00
$3,872,000.00
$0.00
$0.00
$10,680,000.00
$879,138.70
$1,823,188.61
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$22,802,281.62
Redeemed, in full; warrants not outstanding
$11,360,819.12
Redeemed, in part; warrants outstanding
$4,500,000.00
$2,500,000.00
12,643
$1,000.00
6,970
$450.00
$20,000,000.00
20,000
$1,000.00
105
$9,550.00
($47,250.00)
$25,000.00
5
1,003
1,597
$950.00
$950.00
($50,150.00)
($79,850.00)
$105,000.00
130
9,000
$1,000.00
$460,000.00
311,972
$177,716.96
132,000
$1,200,000.00
1,200
$698,351.00
$4,674,050.16
$935.00
$3,136,500.00
$0.00
3,976
$12,643,000.00
$3,976,000.00
$1,000.00
$1,000.00
$3,717,560.00
Preferred Stock w/ Exercised Warrants
4,500
2,500
521,158
Sold, in full; warrants not outstanding
($25,000.00)
Preferred Stock w/ Warrants
$12,643,000.00
$0.00
$15,206,719.94
Redeemed, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$6,970,000.00
$0.00
$4,240,743.82
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$12,725,000.00
$20,000,000.00
$12,725,000.00
$0.00
$3,201,612.18
$23,628,111.33
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$17,806,000.00
$1,050,000.00
$17,806,000.00
$0.00
$1,908,453.00
$1,220,300.65
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
$1,002,750.00
($10,027.50)
($14,972.50)
Preferred Stock w/ Exercised Warrants
$2,600,000.00
$0.00
$3,115,616.28
Sold, in full; warrants not outstanding
$952,850.00
$1,517,150.00
($24,700.00)
($300.00)
Preferred Stock w/ Warrants
$9,000,000.00
$0.00
$10,598,750.00
Redeemed, in full; warrants not outstanding
$9,000,000.00
Subordinated Debentures w/ Exercised Warrants
$4,400,000.00
$0.00
$5,462,045.14
Sold, in full; warrants not outstanding
$4,400,000.00
4,400,000
$1.11
$24,000,000.00
24,000
$1,000.00
$2,172,000.00
$9,122,400.00
3,000
12,600
$724.00
$724.00
$484,924.00
($48,849.24)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$24,000,000.00
$15,600,000.00
$0.00
$0.00
$28,459,100.00
$14,341,140.33
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($828,000.00)
($3,477,600.00)
($112,944.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$51,500,000.00
$3,285,000.00
$51,500,000.00
$0.00
$2,589,305.00
$3,483,629.20
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
$23,932.54
$2,687,046.56
29
3,256
$825.30
$825.30
($5,067.46)
($568,953.44)
$106,364.00
164
638
$860.00
($89,320.00)
$3,960.00
32
777
6,748
$917.90
$917.90
($63,791.70)
($554,010.80)
$372,240.00
376
350
10,300
$982.30
$982.30
($6,205.50)
($182,619.00)
$531,210.67
533
97,500
32,500
$1,000.00
$1,000.00
$1,307,000.00
834,761
($25,000.00)
Preferred Stock w/ Exercised Warrants
$638,000.00
$0.00
$659,705.04
Sold, in full; warrants not outstanding
$548,680.00
($5,486.80)
($19,513.20)
Preferred Stock w/ Exercised Warrants
$7,525,000.00
$0.00
$8,781,205.02
Sold, in full; warrants not outstanding
$713,208.30
$6,193,989.20
($69,071.98)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$5,000,000.00
$3,100,000.00
$10,650,000.00
$5,000,000.00
$3,100,000.00
$0.00
$1,219,739.44
$800,165.97
$13,498,324.83
Full investment outstanding; warrants outstanding
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
$343,794.50
$10,117,381.00
($104,611.76)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$2,400,000.00
$130,000,000.00
$2,400,000.00
$0.00
$180,940.00
$136,046,583.33
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$97,500,000.00
$32,500,000.00
Preferred Stock w/ Exercised Warrants
$19,891,000.00
$0.00
$23,686,592.33
Redeemed, in full; warrants not outstanding
$19,891,000.00
$0.00
$3,283,338.96
$9,000,000.00
$0.00
$6,598,331.15
995
2,639,000
$1.00
$132,000.00
132,000
8,648
352
$612.10
$612.10
($3,354,472.72)
($136,537.28)
$311,943.55
450
366
$823.03
($64,571.42)
$40,563.34
59
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$995,000.00
$5,293,527.28
$215,462.72
$2,639,000.00
$1,000.00
$2,639,000.00
Subordinated Debentures w/ Exercised Warrants
19,891
Sold, in full; warrants not outstanding
($55,089.90)
Preferred Stock w/ Exercised Warrants
$1,173,000.00
$1,508,000.00
$0.00
$2,781,331.97
Sold, in full; warrants not outstanding
$301,428.58
FootNote
15,14
8,14
11
44
15
12,44
11,16
89
44
45
11
8,44,14
8,44,72
8,14
8,14,18
8,14
15,14
8,14
11
8
8,14
11,8
15,14
45,8,14
Institution Name
DESOTO COUNTY BANK
DESOTO COUNTY BANK
DIAMOND BANCORP, INC.
DIAMOND BANCORP, INC.
DIAMOND BANCORP, INC.
DIAMOND BANCORP, INC.
DIAMOND BANCORP, INC.
DICKINSON FINANCIAL CORPORATION II
DICKINSON FINANCIAL CORPORATION II
DICKINSON FINANCIAL CORPORATION II
DICKINSON FINANCIAL CORPORATION II
DISCOVER FINANCIAL SERVICES
DISCOVER FINANCIAL SERVICES
DISCOVER FINANCIAL SERVICES
DNB FINANCIAL CORPORATION
DNB FINANCIAL CORPORATION
DNB FINANCIAL CORPORATION
DUKE FINANCIAL GROUP, INC.
DUKE FINANCIAL GROUP, INC.
EAGLE BANCORP, INC.
EAGLE BANCORP, INC.
EAGLE BANCORP, INC.
EAGLE BANCORP, INC.
EAST WEST BANCORP, INC.
EAST WEST BANCORP, INC.
EAST WEST BANCORP, INC.
EASTERN VIRGINIA BANKSHARES, INC.
EASTERN VIRGINIA BANKSHARES, INC.
EASTERN VIRGINIA BANKSHARES, INC.
ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC.
EMCLAIRE FINANCIAL CORP.
EMCLAIRE FINANCIAL CORP.
EMCLAIRE FINANCIAL CORP.
ENCORE BANCSHARES INC.
ENCORE BANCSHARES INC.
ENCORE BANCSHARES INC.
ENTERPRISE FINANCIAL SERVICES CORP.
ENTERPRISE FINANCIAL SERVICES CORP.
ENTERPRISE FINANCIAL SERVICES CORP.
ENTERPRISE FINANCIAL SERVICES GROUP, INC.
ENTERPRISE FINANCIAL SERVICES GROUP, INC.
EQUITY BANCSHARES, INC.
EQUITY BANCSHARES, INC.
EXCHANGE BANK
EXCHANGE BANK
EXCHANGE BANK
EXCHANGE BANK
EXCHANGE BANK
EXCHANGE BANK
EXCHANGE BANK
F & M BANCSHARES, INC.
F & M BANCSHARES, INC.
F & M BANCSHARES, INC.
F & M BANCSHARES, INC.
F & M BANCSHARES, INC.
F & M BANCSHARES, INC.
F & M FINANCIAL CORPORATION (NC)
F & M FINANCIAL CORPORATION (NC)
F & M FINANCIAL CORPORATION (NC)
F & M FINANCIAL CORPORATION (NC)
F & M FINANCIAL CORPORATION (NC)
F&C BANCORP. INC.
F&C BANCORP. INC.
F&C BANCORP. INC.
F&C BANCORP. INC.
F&M FINANCIAL CORPORATION (TN)
F&M FINANCIAL CORPORATION (TN)
F&M FINANCIAL CORPORATION (TN)
F&M FINANCIAL CORPORATION (TN)
F&M FINANCIAL CORPORATION (TN)
F.N.B. CORPORATION
F.N.B. CORPORATION
F.N.B. CORPORATION
FARMERS & MERCHANTS BANCSHARES, INC.
FARMERS & MERCHANTS FINANCIAL CORPORATION
FARMERS & MERCHANTS FINANCIAL CORPORATION
FARMERS & MERCHANTS FINANCIAL CORPORATION
FARMERS BANK, WINDSOR, VIRGINIA
FARMERS BANK, WINDSOR, VIRGINIA
FARMERS CAPITAL BANK CORPORATION
FARMERS CAPITAL BANK CORPORATION
FARMERS CAPITAL BANK CORPORATION
FARMERS ENTERPRISES, INC.
FARMERS ENTERPRISES, INC.
FARMERS ENTERPRISES, INC.
FARMERS ENTERPRISES, INC.
FARMERS ENTERPRISES, INC.
FARMERS STATE BANKSHARES, INC.
City
HORN LAKE
HORN LAKE
WASHINGTON
WASHINGTON
WASHINGTON
WASHINGTON
WASHINGTON
KANSAS CITY
KANSAS CITY
KANSAS CITY
KANSAS CITY
RIVERWOODS
RIVERWOODS
RIVERWOODS
DOWNINGTOWN
DOWNINGTOWN
DOWNINGTOWN
MINNEAPOLIS
MINNEAPOLIS
BETHESDA
BETHESDA
BETHESDA
BETHESDA
PASADENA
PASADENA
PASADENA
TAPPAHANNOCK
TAPPAHANNOCK
TAPPAHANNOCK
ENGELHARD
EMLENTON
EMLENTON
EMLENTON
HOUSTON
HOUSTON
HOUSTON
ST. LOUIS
ST. LOUIS
ST. LOUIS
ALLISON PARK
ALLISON PARK
WICHITA
WICHITA
SANTA ROSA
SANTA ROSA
SANTA ROSA
SANTA ROSA
SANTA ROSA
SANTA ROSA
SANTA ROSA
TREZEVANT
TREZEVANT
TREZEVANT
TREZEVANT
TREZEVANT
TREZEVANT
SALISBURY
SALISBURY
SALISBURY
SALISBURY
SALISBURY
HOLDEN
HOLDEN
HOLDEN
HOLDEN
CLARKSVILLE
CLARKSVILLE
CLARKSVILLE
CLARKSVILLE
CLARKSVILLE
HERMITAGE
HERMITAGE
HERMITAGE
HOUSTON
ARGONIA
ARGONIA
ARGONIA
WINDSOR
WINDSOR
FRANKFORT
FRANKFORT
FRANKFORT
GREAT BEND
GREAT BEND
GREAT BEND
GREAT BEND
GREAT BEND
HOLTON
State
MS
MS
MO
MO
MO
MO
MO
MO
MO
MO
MO
IL
IL
IL
PA
PA
PA
MN
MN
MD
MD
MD
MD
CA
CA
CA
VA
VA
VA
NC
PA
PA
PA
TX
TX
TX
MO
MO
MO
PA
PA
KS
KS
CA
CA
CA
CA
CA
CA
CA
TN
TN
TN
TN
TN
TN
NC
NC
NC
NC
NC
MO
MO
MO
MO
TN
TN
TN
TN
TN
PA
PA
PA
TX
KS
KS
KS
VA
VA
KY
KY
KY
KS
KS
KS
KS
KS
KS
Date
25-Sep-13
29-Oct-13
22-May-09
8-Aug-12
9-Aug-12
10-Aug-12
11-Sep-12
16-Jan-09
7-Feb-13
8-Feb-13
26-Mar-13
13-Mar-09
21-Apr-10
7-Jul-10
30-Jan-09
4-Aug-11
21-Sep-11
19-Jun-09
27-Nov-13
5-Dec-08
23-Dec-09
14-Jul-11
23-Nov-11
5-Dec-08
29-Dec-10
26-Jan-11
9-Jan-09
18-Oct-13
21-Oct-13
16-Jan-09
23-Dec-08
18-Aug-11
7-Dec-11
5-Dec-08
27-Sep-11
23-Nov-11
19-Dec-08
7-Nov-12
9-Jan-13
12-Jun-09
25-Aug-11
30-Jan-09
11-Aug-11
19-Dec-08
3-Aug-12
8-Aug-12
9-Aug-12
10-Aug-12
13-Aug-12
11-Sep-12
30-Jan-09
6-Nov-09
6-Feb-13
7-Feb-13
8-Feb-13
26-Mar-13
6-Feb-09
18-Sep-12
19-Sep-12
20-Sep-12
16-Nov-12
22-May-09
8-Nov-12
13-Nov-12
11-Jan-13
13-Feb-09
19-Sep-12
20-Sep-12
21-Sep-12
16-Nov-12
9-Jan-09
9-Sep-09
23-Nov-11
6-Mar-09
20-Mar-09
24-Jun-13
26-Jul-13
23-Jan-09
9-Jan-13
9-Jan-09
19-Jun-12
18-Jul-12
19-Jun-09
8-Nov-12
9-Nov-12
13-Nov-12
11-Jan-13
20-Mar-09
Original Investment Type1
Original Investment
Amount
Outstanding
Investment
Total Cash Back2
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
(Fee)4
Shares
Avg. Price
(Realized Loss) /
(Write-off)
Gain5
Warrant Proceeds
Amount
Shares
2,315
$816.45
($419,532.41)
6,000,000
13,965,000
480,000
$0.73
$0.73
$0.73
($1,618,500.00)
($3,767,058.75)
($129,480.00)
$688,041.09
$91,535.40
902,000
120,000
14,523
131,530
$552.60
$552.60
($6,497,444.97)
($58,845,206.70)
$3,372.19
$4,922,044.87
5
7,298
1,224,558
$1,000.00
$172,000,000.00
20,500,413
$458,000.00
186,311
$2,794,422.00
770,868
$14,500,000.00
1,517,555
$51,113.00
50,111
$637,071.00
728,052
$1,006,100.00
$1,895,467.59
324,074
($33,333.34)
Subordinated Debentures w/ Exercised Warrants
$20,445,000.00
$0.00
$21,101,618.19
Sold, in full; warrants not outstanding
$4,381,500.00
$10,197,941.25
$350,520.00
($149,299.61)
Preferred Stock w/ Exercised Warrants
$146,053,000.00
$0.00
$87,459,858.69
Sold, in full; warrants not outstanding
$8,025,555.03
$72,684,793.30
($807,103.48)
Preferred Stock w/ Warrants
$1,224,558,000.00
$0.00
$1,464,248,844.00
Redeemed, in full; warrants not outstanding
$1,224,558,000.00
Preferred Stock w/ Warrants
$11,750,000.00
$0.00
$13,683,277.61
Redeemed, in full; warrants not outstanding
$11,750,000.00
Subordinated Debentures w/ Exercised Warrants
$12,000,000.00
$7,000,000.00
$9,599,206.37
11,750
$1,000.00
Redeemed, in part; warrants outstanding
$5,000,000.00
Preferred Stock w/ Warrants
$38,235,000.00
$306,546,000.00
$0.00
$0.00
$44,847,153.76
$352,722,420.00
$1.00
$15,000,000.00
$23,235,000.00
Preferred Stock w/ Warrants
5,000,000
15,000
23,235
$1,000.00
$1,000.00
Redeemed, in full; warrants outstanding
Redeemed, in full; warrants not outstanding
$306,546,000.00
Preferred Stock w/ Warrants
$24,000,000.00
$0.00
$28,718,640.00
306,546
$1,000.00
Sold, in full; warrants outstanding
$3,900,000.00
$20,100,000.00
Preferred Stock w/ Warrants
$17,949,000.00
$7,500,000.00
$34,000,000.00
$17,949,000.00
$0.00
$0.00
$4,335,182.58
$8,545,904.67
$39,415,959.89
$1,104.10
$1,104.10
$7,500,000.00
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
3,900
20,100
7,500
$1,000.00
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants outstanding
$34,000,000.00
Preferred Stock w/ Warrants
$35,000,000.00
$0.00
$42,801,933.33
34,000
$4,000,000.00
$0.00
$4,680,205.56
$1,000.00
Redeemed, in full; warrants not outstanding
$35,000,000.00
Preferred Stock w/ Exercised Warrants
$406,029.00
$2,092,611.00
35,000
$1,000.00
Redeemed, in full; warrants not outstanding
$4,000,000.00
$1,000.00
$438,000.00
438
550
20,000
9,969
481
12,000
$875.20
$875.20
$875.20
$875.20
$875.20
($68,612.50)
($2,495,000.00)
($1,243,632.75)
($60,004.75)
($1,497,000.00)
$1,910,898.00
$120,386.57
$22,930.78
2,000
126
24
5,090
2,901
153
$942.50
$942.50
$942.50
($292,675.00)
($166,807.50)
($8,797.50)
$222,007.50
230
150
2,805
14,195
$950.00
$950.00
($140,250.00)
($709,750.00)
$638,460.90
700
1,659,000
1,334,000
$0.96
$0.96
($68,400.57)
($55,000.82)
$125,000.00
150,000
112
$645,975.00
750
$690,100.00
$47,294,527.29
8,750
$96,465.60
$0.00
$10,394,872.56
200
$136,813.05
$43,000,000.00
$0.00
$200,000.00
$481,387.50
$17,505,000.00
$8,725,367.25
$420,995.25
$10,503,000.00
Preferred Stock w/ Exercised Warrants
$8,750,000.00
$1,000.00
$8,750,000.00
Preferred Stock w/ Exercised Warrants
4,000
651,042
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($376,357.50)
Preferred Stock w/ Exercised Warrants
$4,609,000.00
$3,535,000.00
$0.00
$9,405,391.28
Sold, in full; warrants not outstanding
$4,797,325.00
$2,734,192.50
$144,202.50
($76,757.21)
Preferred Stock w/ Exercised Warrants
$17,000,000.00
$0.00
$20,119,744.45
Sold, in full; warrants not outstanding
$2,664,750.00
$13,485,250.00
($161,500.00)
Subordinated Debentures w/ Exercised Warrants
$2,993,000.00
$0.00
$3,842,376.65
Sold, in full; warrants not outstanding
$1,590,599.43
$1,278,999.18
($25,000.00)
Preferred Stock w/ Exercised Warrants
$17,243,000.00
$0.00
$17,573,762.97
Sold, in full; warrants not outstanding
$157,500.00
$13,421,362.50
200
17,043
$787.50
$787.50
100,000
($42,500.00)
($3,621,637.50)
$1,000.00
($135,788.63)
Preferred Stock w/ Warrants
$100,000,000.00
$0.00
$104,023,433.33
Redeemed, in full; warrants not outstanding
$100,000,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$11,000,000.00
$442,000.00
$11,000,000.00
$0.00
$2,063,280.00
$500,199.14
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
$425,425.00
442
$962.50
3,063
$1,000.00
30,000
$739.90
($16,575.00)
($2,835.00)
22
($25,000.00)
Preferred Stock w/ Exercised Warrants
$8,752,000.00
$5,689,000.00
$5,227,818.72
Redeemed, in part; warrants outstanding
$3,063,000.00
Preferred Stock w/ Warrants
$30,000,000.00
$0.00
$27,105,349.50
Sold, in full; warrants not outstanding
$22,196,700.00
($332,950.50)
($7,803,300.00)
$75,000.00
Subordinated Debentures w/ Exercised Warrants
$12,000,000.00
$0.00
$15,452,669.34
$96,290.00
100,000
$11,458,510.00
11,900,000
($115,548.00)
Preferred Stock w/ Exercised Warrants
$700,000.00
$0.00
$830,173.67
223,992
$37,387.14
$552,936.00
38,000
562,000
Sold, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$0.96
$0.96
($3,710.00)
($441,490.00)
FootNote
15,17
8,14
45,8,14
8,14
15,11,14
77
8,17
8,14
11
11
45,8,14
15,17,44
8,14
8,14
15,11,14
11,9,36
45
34
8,11,14
45,8,14
45,8,14
8
45
8,14,18
45
Institution Name
City
FARMERS STATE BANKSHARES, INC.
HOLTON
FBHC HOLDING COMPANY
BOULDER
FBHC HOLDING COMPANY
BOULDER
FC HOLDINGS, INC.
HOUSTON
FC HOLDINGS, INC.
HOUSTON
FC HOLDINGS, INC.
HOUSTON
FCB BANCORP, INC.
LOUISVILLE
FCB BANCORP, INC.
LOUISVILLE
FFW CORPORATION
WABASH
FFW CORPORATION
WABASH
FFW CORPORATION
WABASH
FFW CORPORATION
WABASH
FIDELITY BANCORP, INC. (LA)
BATON ROUGE
FIDELITY BANCORP, INC. (LA)
BATON ROUGE
FIDELITY BANCORP, INC. (PA) / WESBANCO, INC.
PITTSBURGH
FIDELITY BANCORP, INC. (PA) / WESBANCO, INC.
PITTSBURGH
FIDELITY FEDERAL BANCORP
EVANSVILLE
FIDELITY FEDERAL BANCORP
EVANSVILLE
FIDELITY FEDERAL BANCORP
EVANSVILLE
FIDELITY FEDERAL BANCORP
EVANSVILLE
FIDELITY FINANCIAL CORPORATION
WICHITA
FIDELITY FINANCIAL CORPORATION
WICHITA
FIDELITY FINANCIAL CORPORATION
WICHITA
FIDELITY FINANCIAL CORPORATION
WICHITA
FIDELITY FINANCIAL CORPORATION
WICHITA
FIDELITY FINANCIAL CORPORATION
WICHITA
FIDELITY FINANCIAL CORPORATION
WICHITA
FIDELITY FINANCIAL CORPORATION
WICHITA
FIDELITY FINANCIAL CORPORATION
WICHITA
FIDELITY SOUTHERN CORPORATION
ATLANTA
FIDELITY SOUTHERN CORPORATION
ATLANTA
FIFTH THIRD BANCORP
CINCINNATI
FIFTH THIRD BANCORP
CINCINNATI
FIFTH THIRD BANCORP
CINCINNATI
FINANCIAL INSTITUTIONS, INC.
WARSAW
FINANCIAL INSTITUTIONS, INC.
WARSAW
FINANCIAL INSTITUTIONS, INC.
WARSAW
FINANCIAL INSTITUTIONS, INC.
WARSAW
FINANCIAL SECURITY CORPORATION
BASIN
FINANCIAL SECURITY CORPORATION
BASIN
FINANCIAL SERVICES OF WINGER, INC.
WINGER
FINANCIAL SERVICES OF WINGER, INC.
WINGER
FIRST ADVANTAGE BANCSHARES, INC.
COON RAPIDS
FIRST ADVANTAGE BANCSHARES, INC.
COON RAPIDS
FIRST ADVANTAGE BANCSHARES, INC.
COON RAPIDS
FIRST ADVANTAGE BANCSHARES, INC.
COON RAPIDS
FIRST ADVANTAGE BANCSHARES, INC.
COON RAPIDS
FIRST ALLIANCE BANCSHARES, INC.
CORDOVA
FIRST ALLIANCE BANCSHARES, INC.
CORDOVA
FIRST ALLIANCE BANCSHARES, INC.
CORDOVA
FIRST ALLIANCE BANCSHARES, INC.
CORDOVA
FIRST AMERICAN BANK CORPORATION
ELK GROVE VILLAGE
FIRST AMERICAN BANK CORPORATION
ELK GROVE VILLAGE
FIRST AMERICAN BANK CORPORATION
ELK GROVE VILLAGE
FIRST AMERICAN INTERNATIONAL CORP.
BROOKLYN
FIRST AMERICAN INTERNATIONAL CORP.
BROOKLYN
FIRST BANCORP (NC)
TROY
FIRST BANCORP (NC)
TROY
FIRST BANCORP (NC)
TROY
FIRST BANCORP (PR)
SAN JUAN
FIRST BANCORP (PR)
SAN JUAN
FIRST BANCORP (PR)
SAN JUAN
FIRST BANCTRUST CORPORATION
PARIS
FIRST BANCTRUST CORPORATION
PARIS
FIRST BANCTRUST CORPORATION
PARIS
FIRST BANK OF CHARLESTON, INC.
CHARLESTON
FIRST BANK OF CHARLESTON, INC.
CHARLESTON
FIRST BANKERS TRUSTSHARES, INC.
QUINCY
FIRST BANKERS TRUSTSHARES, INC.
QUINCY
FIRST BANKS, INC.
CLAYTON
FIRST BANKS, INC.
CLAYTON
FIRST BANKS, INC.
CLAYTON
FIRST BANKS, INC.
CLAYTON
FIRST BANKS, INC.
CLAYTON
FIRST BANKS, INC.
CLAYTON
FIRST BANKS, INC.
CLAYTON
FIRST BANKS, INC.
CLAYTON
FIRST BUSEY CORPORATION
URBANA
FIRST BUSEY CORPORATION
URBANA
FIRST BUSEY CORPORATION
URBANA
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFOSAN DIEGO
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFOSAN DIEGO
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFOSAN DIEGO
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFOSAN DIEGO
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFOSAN DIEGO
FIRST CALIFORNIA FINANCIAL GROUP, INC.
WESTLAKE VILLAGE
FIRST CALIFORNIA FINANCIAL GROUP, INC.
WESTLAKE VILLAGE
FIRST CALIFORNIA FINANCIAL GROUP, INC.
WESTLAKE VILLAGE
State
KS
CO
CO
TX
TX
TX
KY
KY
IN
IN
IN
IN
LA
LA
PA
PA
IN
IN
IN
IN
KS
KS
KS
KS
KS
KS
KS
KS
KS
GA
GA
OH
OH
OH
NY
NY
NY
NY
WY
WY
MN
MN
MN
MN
MN
MN
MN
TN
TN
TN
TN
IL
IL
IL
NY
NY
NC
NC
NC
PR
PR
PR
IL
IL
IL
WV
WV
IL
IL
MO
MO
MO
MO
MO
MO
MO
MO
IL
IL
IL
CA
CA
CA
CA
CA
CA
CA
CA
Date
21-Jul-11
29-Dec-09
9-Mar-11
26-Jun-09
20-Feb-13
26-Mar-13
19-Dec-08
22-Sep-11
19-Dec-08
28-Nov-12
30-Nov-12
11-Jan-13
29-May-09
27-Mar-13
12-Dec-08
30-Nov-12
13-Nov-09
19-Jul-13
22-Jul-13
12-Sep-13
19-Dec-08
1-Aug-12
2-Aug-12
3-Aug-12
7-Aug-12
8-Aug-12
9-Aug-12
10-Aug-12
11-Sep-12
19-Dec-08
3-Jul-12
31-Dec-08
2-Feb-11
16-Mar-11
23-Dec-08
23-Feb-11
30-Mar-11
11-May-11
13-Feb-09
21-Jul-11
31-Jul-09
1-Sep-11
22-May-09
10-Dec-12
11-Dec-12
11-Jan-13
26-Mar-13
26-Jun-09
20-Dec-12
11-Jan-13
26-Mar-13
24-Jul-09
21-Dec-11
11-Dec-12
13-Mar-09
13-Aug-10
9-Jan-09
1-Sep-11
23-Nov-11
16-Jan-09
16-Aug-13
13-Sep-13
20-Feb-09
18-Jan-12
24-Oct-12
6-Feb-09
21-Jul-11
16-Jan-09
8-Sep-11
31-Dec-08
8-Aug-13
9-Aug-13
12-Aug-13
12-Sep-13
24-Sep-13
25-Sep-13
29-Oct-13
6-Mar-09
25-Aug-11
23-Nov-11
10-Apr-09
11-Dec-09
19-Dec-12
20-Dec-12
11-Jan-13
19-Dec-08
14-Jul-11
24-Aug-11
Original Investment Type1
Original Investment
Amount
Outstanding
Investment
Total Cash Back2
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
(Fee)4
Shares
Avg. Price
(Realized Loss) /
(Write-off)
$700,000.00
$1,000.00
974
6,315
$902.90
$902.90
3,942,000
$1.00
7,000
$1,000.00
$439,000.00
$6,218,000.00
439
6,218
$1,058.90
$1,058.90
135
30
335
3,591
2,635
29,236
320
$891.30
$891.30
$891.30
$891.30
$891.30
$891.30
$891.30
($14,679.90)
($3,262.20)
($36,427.90)
($390,485.34)
($286,529.90)
($3,179,122.64)
($34,796.80)
48,200
$900.60
($4,791,080.00)
136,320
4
$994,613.40
1,052
$465,000.00
465
$358,558.20
364
$197,000.00
197,000
$242,302.50
200
$170,227.93
$167,374.94
$1,210,615.36
$176,884.89
179
176
1,273
186
$280,025,936.00
43,617,747
$2,079,962.50
$19,836,630.66
9,294
$7,000,000.00
$0.00
($2,167,326.00)
$3,942,000.00
$21,042,000.00
$40,000.00
$25,000.00
378,175
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$897.00
$879,424.60
$5,701,813.50
$804,592.16
21,042
Shares
($2,385,000.00)
$9,294,000.00
$0.00
$0.21
$18,874,674.00
$3,035,000.00
3,035,000
Warrant Proceeds
Amount
$1,000.00
$650,000.00
Subordinated Debentures w/ Exercised Warrants
700
Gain5
Sold, in full; warrants not outstanding
($188,746.74)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$9,294,000.00
$7,289,000.00
$0.00
$0.00
$11,156,234.25
Redeemed, in full; warrants not outstanding
$8,441,836.26
Sold, in full; warrants not outstanding
($94,575.40)
($613,186.50)
($65,812.38)
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$3,942,000.00
$7,000,000.00
$6,657,000.00
$0.00
$0.00
$0.00
$5,404,924.35
Redeemed, in full; warrants not outstanding
$8,388,333.33
Redeemed, in full; warrants outstanding
$7,220,908.83
Sold, in full; warrants not outstanding
$25,857.10
$366,240.20
($70,490.97)
Preferred Stock w/ Exercised Warrants
$36,282,000.00
$0.00
$40,966,780.82
Sold, in full; warrants not outstanding
$120,320.10
$26,737.80
$298,572.10
$3,200,514.66
$2,348,470.10
$26,056,877.36
$285,203.20
($323,366.95)
Preferred Stock w/ Warrants
$48,200,000.00
$0.00
$51,286,669.09
Sold, in full; warrants outstanding
$43,408,920.00
Preferred Stock w/ Warrants
$3,408,000,000.00
$0.00
$4,043,972,602.67
($651,133.80)
Redeemed, in full; warrants not outstanding
$3,408,000,000.00
Preferred Stock w/ Warrants
$37,515,000.00
$0.00
$43,787,611.61
Redeemed, in full; warrants not outstanding
$12,505,000.00
$25,010,000.00
Preferred Stock w/ Exercised Warrants
$5,000,000.00
$0.00
$5,914,597.33
2,501
5,002
$5,000.00
$5,000.00
Redeemed, in full; warrants not outstanding
$5,000,000.00
$1.00
$112,000.00
112,000
769
408
$898.20
$898.20
($78,276.51)
($41,530.32)
$2,979.49
$26,318.80
6
53
3,422
$700.10
($1,026,257.80)
$94,701.71
171
15,000,000
35,000,000
$1.00
$1.00
$2,500,000.00
2,500,000
17,000
$1,000.00
$65,000,000.00
65,000
$1,000.00
$924,462.00
$1,289,436.37
3,742,000
$17,000,000.00
$0.00
$4,487,322.46
250
$15,000,000.00
$35,000,000.00
$1,177,000.00
$0.00
$250,000.00
$690,723.49
$366,469.68
Preferred Stock w/ Exercised Warrants
$3,742,000.00
$1,000.00
$3,742,000.00
Subordinated Debentures w/ Exercised Warrants
5,000
616,308
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($10,571.93)
($14,428.07)
Preferred Stock w/ Exercised Warrants
$3,422,000.00
$0.00
$3,003,674.75
Sold, in full; warrants not outstanding
$2,395,742.20
($23,957.42)
($1,042.58)
Subordinated Debentures w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$50,000,000.00
$17,000,000.00
$65,000,000.00
$400,000,000.00
$0.00
$0.00
$0.00
$238,972,281.88
$65,558,530.56
Redeemed, in full; warrants not outstanding
$18,204,166.78
Redeemed, in full; warrants not outstanding
$74,518,906.44
Redeemed, in full; warrants not outstanding
$122,513,539.32
Sold, in part; warrants outstanding
$81,000,000.00
$8,514,153.00
368
3,345
$1,000.00
$167,000.00
167
10,000
$1,000.00
$500,000.00
500
300
34,777
248,654
$350.00
$350.00
$350.00
($195,000.00)
($22,605,050.00)
($161,625,100.00)
$2,430,181.71
$5,919,151.59
4,299
10,471
5,819
5,850
$551.60
$551.60
($2,609,297.79)
($2,623,198.50)
100,000
$1,000.00
$63,677.00
$3,960,105.00
$368,000.00
$105,000.00
$12,171,950.00
$87,028,900.00
$0.00
$9,050,516.50
$1,000.00
$1,000.00
$10,000,000.00
$3,345,000.00
$0.00
3,675
3,675
$3,345,000.00
Preferred Stock w/ Exercised Warrants
$7,350,000.00
$6.75
$6.75
$3,675,000.00
$3,675,000.00
Preferred Stock w/ Exercised Warrants
12,000,000
1,261,356
($64,711,540.92)
($6,802,024.20)
573,833
$90,461.65
111
$599,042.00
599,042
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$11,941,222.22
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$295,400,000.00
$0.00
$119,071,500.97
Sold, in full; warrants not outstanding
($993,058.50)
$3,209,702.21
$3,226,801.50
($64,365.04)
Preferred Stock w/ Warrants
$100,000,000.00
$0.00
$112,410,898.89
Redeemed, in full; warrants not outstanding
$100,000,000.00
Preferred Stock w/ Warrants
$2,211,000.00
$2,032,000.00
$0.00
$4,693,275.61
Sold, in full; warrants not outstanding
$1,373,084.00
$2,510,399.84
1,500
2,743
$916.70
$915.60
25,000
($126,916.00)
($232,600.16)
$1,000.00
($33,333.33)
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$28,810,847.55
Redeemed, in full; warrants not outstanding
$25,000,000.00
FootNote
8,11,14,18,36
44,8,14
12
8,72
8
15,36,11
11,8,14
12,16
15,17,44
9,17
8,14
8,14,44
11
8,9
8
11
11,36
11,8,14
11,25
44,8,14
33,44,45
11
8,14
44,8,14
12,16
Institution Name
City
FIRST CAPITAL BANCORP, INC.
GLEN ALLEN
FIRST CAPITAL BANCORP, INC.
GLEN ALLEN
FIRST CAPITAL BANCORP, INC.
GLEN ALLEN
FIRST CHOICE BANK
CERRITOS
FIRST CHOICE BANK
CERRITOS
FIRST CHOICE BANK
CERRITOS
FIRST CITIZENS BANC CORP
SANDUSKY
FIRST CITIZENS BANC CORP
SANDUSKY
FIRST CITIZENS BANC CORP
SANDUSKY
FIRST COLEBROOK BANCORP, INC.
COLEBROOK
FIRST COLEBROOK BANCORP, INC.
COLEBROOK
FIRST COMMUNITY BANCSHARES INC.
BLUEFIELD
FIRST COMMUNITY BANCSHARES INC.
BLUEFIELD
FIRST COMMUNITY BANCSHARES INC.
BLUEFIELD
FIRST COMMUNITY BANCSHARES, INC. / EQUITY BANCSHARES, INC.
WICHITA
FIRST COMMUNITY BANK CORPORATION OF AMERICA
PINELLAS PARK
FIRST COMMUNITY BANK CORPORATION OF AMERICA
PINELLAS PARK
FIRST COMMUNITY CORPORATION
LEXINGTON
FIRST COMMUNITY CORPORATION
LEXINGTON
FIRST COMMUNITY CORPORATION
LEXINGTON
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
JOLIET
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
JOLIET
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
JOLIET
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
JOLIET
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
JOLIET
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
JOLIET
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
JOLIET
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
JOLIET
FIRST DEFIANCE FINANCIAL CORP.
DEFIANCE
FIRST DEFIANCE FINANCIAL CORP.
DEFIANCE
FIRST EAGLE BANCSHARES, INC.
HANOVER PARK
FIRST EAGLE BANCSHARES, INC.
HANOVER PARK
FIRST EXPRESS OF NEBRASKA, INC.
GERING
FIRST EXPRESS OF NEBRASKA, INC.
GERING
FIRST FEDERAL BANCSHARES OF ARKANSAS, INC.
HARRISON
FIRST FEDERAL BANCSHARES OF ARKANSAS, INC.
HARRISON
FIRST FINANCIAL BANCORP
CINCINNATI
FIRST FINANCIAL BANCORP
CINCINNATI
FIRST FINANCIAL BANCORP
CINCINNATI
FIRST FINANCIAL BANCSHARES, INC.
LAWRENCE
FIRST FINANCIAL BANCSHARES, INC.
LAWRENCE
FIRST FINANCIAL HOLDINGS INC.
CHARLESTON
FIRST FINANCIAL HOLDINGS INC.
CHARLESTON
FIRST FINANCIAL HOLDINGS INC.
CHARLESTON
FIRST FINANCIAL SERVICE CORPORATION
ELIZABETHTOWN
FIRST FINANCIAL SERVICE CORPORATION
ELIZABETHTOWN
FIRST FINANCIAL SERVICE CORPORATION
ELIZABETHTOWN
FIRST FREEDOM BANCSHARES, INC.
LEBANON
FIRST FREEDOM BANCSHARES, INC.
LEBANON
FIRST FREEDOM BANCSHARES, INC.
LEBANON
FIRST GOTHENBURG BANCSHARES, INC.
GOTHENBURG
FIRST GOTHENBURG BANCSHARES, INC.
GOTHENBURG
FIRST GOTHENBURG BANCSHARES, INC.
GOTHENBURG
FIRST GOTHENBURG BANCSHARES, INC.
GOTHENBURG
FIRST GUARANTY BANCSHARES, INC.
HAMMOND
FIRST GUARANTY BANCSHARES, INC.
HAMMOND
FIRST HORIZON NATIONAL CORPORATION
MEMPHIS
FIRST HORIZON NATIONAL CORPORATION
MEMPHIS
FIRST HORIZON NATIONAL CORPORATION
MEMPHIS
FIRST INDEPENDENCE CORPORATION
DETROIT
FIRST INDEPENDENCE CORPORATION
DETROIT
FIRST INDEPENDENCE CORPORATION
DETROIT
FIRST INDEPENDENCE CORPORATION
DETROIT
FIRST INTERCONTINENTAL BANK
DORAVILLE
FIRST INTERCONTINENTAL BANK
DORAVILLE
FIRST INTERCONTINENTAL BANK
DORAVILLE
FIRST LITCHFIELD FINANCIAL CORPORATION
LITCHFIELD
FIRST LITCHFIELD FINANCIAL CORPORATION
LITCHFIELD
FIRST M&F CORPORATION
KOSCIUSKO
FIRST M&F CORPORATION
KOSCIUSKO
FIRST M&F CORPORATION
KOSCIUSKO
FIRST MANITOWOC BANCORP, INC.
MANITOWOC
FIRST MANITOWOC BANCORP, INC.
MANITOWOC
FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATIO RICHMOND
FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATIO RICHMOND
FIRST MENASHA BANCSHARES, INC.
NEENAH
FIRST MENASHA BANCSHARES, INC.
NEENAH
FIRST MERCHANTS CORPORATION
MUNCIE
FIRST MERCHANTS CORPORATION
MUNCIE
FIRST MERCHANTS CORPORATION
MUNCIE
FIRST MIDWEST BANCORP, INC.
ITASCA
FIRST MIDWEST BANCORP, INC.
ITASCA
FIRST MIDWEST BANCORP, INC.
ITASCA
FIRST NATIONAL CORPORATION
STRASBURG
FIRST NATIONAL CORPORATION
STRASBURG
FIRST NBC BANK HOLDING COMPANY
NEW ORLEANS
FIRST NBC BANK HOLDING COMPANY
NEW ORLEANS
FIRST NIAGARA FINANCIAL GROUP
LOCKPORT
State
VA
VA
VA
CA
CA
CA
OH
OH
OH
NH
NH
VA
VA
VA
KS
FL
FL
SC
SC
SC
IL
IL
IL
IL
IL
IL
IL
IL
OH
OH
IL
IL
NE
NE
AR
AR
OH
OH
OH
KS
KS
SC
SC
SC
KY
KY
KY
TN
TN
TN
NE
NE
NE
NE
LA
LA
TN
TN
TN
MI
MI
MI
MI
GA
GA
GA
CT
CT
MS
MS
MS
WI
WI
VA
VA
WI
WI
IN
IN
IN
IL
IL
IL
VA
VA
LA
LA
NY
Date
3-Apr-09
19-Jun-12
6-Feb-13
13-Feb-09
22-Dec-09
24-Sep-10
23-Jan-09
3-Jul-12
5-Sep-12
20-Mar-09
22-Sep-11
21-Nov-08
8-Jul-09
22-Nov-11
15-May-09
23-Dec-08
31-May-11
21-Nov-08
29-Aug-12
1-Nov-12
11-Dec-09
8-Aug-12
9-Aug-12
10-Aug-12
19-Sep-12
20-Sep-12
21-Sep-12
16-Nov-12
5-Dec-08
19-Jun-12
11-Sep-09
17-Sep-10
6-Feb-09
15-Feb-12
6-Mar-09
3-May-11
23-Dec-08
24-Feb-10
8-Jun-10
12-Jun-09
22-Sep-11
5-Dec-08
3-Apr-12
22-May-13
9-Jan-09
29-Apr-13
31-May-13
22-Dec-09
9-Nov-12
11-Jan-13
27-Feb-09
29-Oct-12
31-Oct-12
11-Jan-13
28-Aug-09
22-Sep-11
14-Nov-08
22-Dec-10
9-Mar-11
28-Aug-09
20-Dec-12
11-Jan-13
26-Mar-13
13-Mar-09
12-Aug-13
12-Sep-13
12-Dec-08
7-Apr-10
27-Feb-09
29-Sep-10
30-Aug-13
16-Jan-09
27-May-09
6-Feb-09
7-Dec-11
13-Feb-09
15-Sep-11
20-Feb-09
22-Sep-11
23-Nov-11
5-Dec-08
23-Nov-11
21-Dec-11
13-Mar-09
29-Aug-12
20-Mar-09
4-Aug-11
21-Nov-08
Original Investment Type1
Preferred Stock w/ Warrants
Original Investment
Amount
$10,958,000.00
Outstanding
Investment
Total Cash Back2
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
$0.00
$11,956,712.44
(Fee)4
Shares
Avg. Price
(Realized Loss) /
(Write-off)
Gain5
Warrant Proceeds
Amount
Shares
Sold, in full; warrants not outstanding
$10,082,565.38
($151,238.48)
10,958
$920.10
($875,434.62)
$266,041.78
$23,184,000.00
$0.00
$25,245,684.71
$4,500,000.00
$0.00
$5,339,487.75
5,036
$1,000.00
23,184
$906.00
($315,070.56)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$14,800,000.00
$10,685,000.00
$0.00
$14,800,000.00
$0.00
$42,839,002.78
$3,777,478.30
$8,499,249.92
4,500
$1,000.00
$41,500,000.00
$41,500,000.00
41,500
$11,350,000.00
$0.00
$13,425,979.36
$22,000,000.00
$0.00
$18,252,479.06
108
672
320
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
10,685
$725.70
($2,930,732.52)
11,350
$982.80
($194,879.50)
Sold, in full; warrants not outstanding
$11,155,120.50
Preferred Stock w/ Exercised Warrants
195,915
$1,000.00
Redeemed, in full; warrants not outstanding
$7,754,267.48
Preferred Stock w/ Warrants
88,273
($2,179,296.00)
Redeemed, in full; warrants not outstanding
$4,500,000.00
Preferred Stock w/ Warrants
225
Sold, in full; warrants not outstanding
$21,004,704.00
Preferred Stock w/ Exercised Warrants
$225,000.00
Redeemed, in full; warrants not outstanding
$5,036,000.00
Preferred Stock w/ Warrants
469,312
$70,727.58
$440,082.72
$209,563.20
$5,446,642.94
110
$297,500.00
$0.00
$110,000.00
$30,600.00
$2,200,000.00
$2,836,000.00
417,648
$563,174.00
Preferred Stock w/ Exercised Warrants
($167,326.81)
Sold, in full; warrants not outstanding
$326,250.00
$3,051,090.00
$10,977,660.00
500
4,676
16,824
$652.50
$652.50
$652.50
($173,750.00)
($1,624,910.00)
($5,846,340.00)
37,000
$962.70
($1,381,580.00)
$7,500,000.00
7,500,000
$1.00
$375,000.00
375,000
$5,000,000.00
5,000
$1,000.00
$250,000.00
250
$6,000,000.00
16,500
$363.60
$80,000,000.00
80,000
$1,000.00
$2,966,288.32
465,117
$113,000.00
113,000
$1,400,000.00
241,696
($143,550.00)
Preferred Stock w/ Warrants
$37,000,000.00
$0.00
$41,631,005.92
Sold, in full; warrants outstanding
$35,618,420.00
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Subordinated Debentures w/ Exercised Warrants
$7,500,000.00
$5,000,000.00
$16,500,000.00
$80,000,000.00
$3,756,000.00
$0.00
$0.00
$0.00
$0.00
$0.00
$8,514,738.21
Redeemed, in full; warrants not outstanding
$6,074,313.00
($534,276.30)
Redeemed, in full; warrants not outstanding
$6,570,625.00
$87,644,066.10
$4,563,280.34
Sold, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$3,756,000.00
Preferred Stock w/ Warrants
$65,000,000.00
$0.00
$68,141,972.19
$20,000,000.00
$0.00
$12,333,778.00
3,756,000
$1.00
65,000
$873.50
Sold, in full; warrants not outstanding
$56,778,150.00
Preferred Stock w/ Warrants
($10,500,000.00)
($851,672.25)
($8,221,850.00)
Sold, in full; warrants outstanding
$10,842,200.00
20,000
$542.10
($9,157,800.00)
8,700
$922.50
($674,250.00)
$256,118.75
261
29
7,541
$910.30
$910.30
($2,601.01)
($676,352.29)
$362,118.92
379
$20,699,000.00
2,070
$10,000.00
$1,030,000.00
103
$866,540,000.00
866,540
$1,000.00
$79,700,000.00
14,842,321
$139,320.00
320
$1,488,046.41
199,203
$4,089,510.61
513,113
$600,000.00
600
$240,000.00
240
$367,500.00
991,453
$900,000.00
1,305,230
$624,674.69
695
$892,000.00
892
($108,422.00)
Preferred Stock w/ Exercised Warrants
$8,700,000.00
$0.00
$9,522,346.17
Sold, in full; warrants not outstanding
$8,025,750.00
($80,257.50)
Preferred Stock w/ Exercised Warrants
$7,570,000.00
$0.00
$8,702,021.25
Sold, in full; warrants not outstanding
$26,398.99
$6,864,647.71
($68,910.46)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock
$20,699,000.00
$866,540,000.00
$3,223,000.00
$0.00
$0.00
$0.00
$24,059,476.66
Redeemed, in full; warrants not outstanding
$1,037,467,405.56
Redeemed, in full; warrants not outstanding
$2,820,256.96
Sold, in full; warrants not outstanding
$2,336,675.00
3,223
$725.00
($886,325.00)
6,398
$507.50
($3,150,887.04)
$10,000,000.00
10,000
$1,000.00
$30,000,000.00
30,000
$1,000.00
($23,366.75)
($26,633.25)
Preferred Stock w/ Exercised Warrants
$6,398,000.00
$0.00
$4,118,886.85
Sold, in full; warrants not outstanding
$3,247,112.96
($25,000.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$30,000,000.00
$12,000,000.00
$0.00
$0.00
$0.00
$12,147,768.63
Redeemed, in full; warrants not outstanding
$36,472,843.94
Redeemed, in full; warrants not outstanding
$12,837,983.33
Redeemed, in full; warrants not outstanding
$12,000,000.00
$40,834,859.35
$4,797,000.00
$0.00
$5,713,865.00
4,797
$1,000.00
116,000
$1,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,000.00
$116,000,000.00
$0.00
35,595
$4,797,000.00
$33,900,000.00
$1,000.00
$33,900,000.00
Preferred Stock w/ Warrants
12,000
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$116,000,000.00
$193,000,000.00
$0.00
$0.00
$131,383,055.11
$222,528,333.33
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$193,000,000.00
Preferred Stock w/ Exercised Warrants
$13,900,000.00
$0.00
$15,329,326.44
$1,695,000.00
193,000
$1,000.00
Sold, in full; warrants not outstanding
$12,266,750.00
Preferred Stock w/ Exercised Warrants
$17,836,000.00
$0.00
$21,033,989.56
$184,011,000.00
$0.00
$191,464,618.00
Redeemed, in full; warrants not outstanding
13,900
$882.50
17,836
$1,000.00
($1,633,250.00)
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
($184,001.25)
$17,836,000.00
FootNote
44
11
73,97
8,14,18
8,14
8,14,18,44,45
87
79
15,11,14
11,8,14
8,14
44,8,14
15,14
11,8,14
11,8,14,36
8,14,18
11
8,84
8,44,14
12,16
45,8,14
11,8,14
8,66,97
45,8,14
50,97
11,8,14
8,14
Institution Name
FIRST NIAGARA FINANCIAL GROUP
FIRST NIAGARA FINANCIAL GROUP
FIRST NORTHERN COMMUNITY BANCORP
FIRST NORTHERN COMMUNITY BANCORP
FIRST NORTHERN COMMUNITY BANCORP
FIRST PACTRUST BANCORP, INC.
FIRST PACTRUST BANCORP, INC.
FIRST PACTRUST BANCORP, INC.
FIRST PLACE FINANCIAL CORP.
FIRST PLACE FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST RELIANCE BANCSHARES, INC.
FIRST RELIANCE BANCSHARES, INC.
FIRST RELIANCE BANCSHARES, INC.
FIRST RESOURCE BANK
FIRST RESOURCE BANK
FIRST RESOURCE BANK
FIRST SECURITY GROUP, INC.
FIRST SECURITY GROUP, INC.
FIRST SOUND BANK
FIRST SOUND BANK
FIRST SOUTH BANCORP, INC.
FIRST SOUTH BANCORP, INC.
FIRST SOUTH BANCORP, INC.
FIRST SOUTHERN BANCORP, INC.
FIRST SOUTHERN BANCORP, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST TEXAS BHC, INC.
FIRST TEXAS BHC, INC.
FIRST TRUST CORPORATION
FIRST TRUST CORPORATION
FIRST TRUST CORPORATION
FIRST ULB CORP.
FIRST ULB CORP.
FIRST UNITED CORPORATION
FIRST VERNON BANCSHARES, INC.
FIRST VERNON BANCSHARES, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRSTBANK CORPORATION
FIRSTBANK CORPORATION
FIRSTBANK CORPORATION
FIRSTMERIT CORPORATION
FIRSTMERIT CORPORATION
FIRSTMERIT CORPORATION
FLAGSTAR BANCORP, INC.
FLAGSTAR BANCORP, INC.
FLAGSTAR BANCORP, INC.
FLAGSTAR BANCORP, INC.
FLAGSTAR BANCORP, INC.
FLAGSTAR BANCORP, INC.
FLORIDA BANK GROUP, INC.
FLORIDA BANK GROUP, INC.
FLORIDA BUSINESS BANCGROUP, INC.
FLORIDA BUSINESS BANCGROUP, INC.
FLUSHING FINANCIAL CORPORATION
FLUSHING FINANCIAL CORPORATION
FLUSHING FINANCIAL CORPORATION
FNB BANCORP
FNB BANCORP
FORESIGHT FINANCIAL GROUP, INC.
FORESIGHT FINANCIAL GROUP, INC.
FORT LEE FEDERAL SAVINGS BANK, FSB
FORT LEE FEDERAL SAVINGS BANK, FSB
FORTUNE FINANCIAL CORPORATION
FORTUNE FINANCIAL CORPORATION
FPB BANCORP, INC.
FPB BANCORP, INC.
FPB FINANCIAL CORP.
FPB FINANCIAL CORP.
FPB FINANCIAL CORP.
FRANKLIN BANCORP, INC.
FRANKLIN BANCORP, INC.
FRANKLIN BANCORP, INC.
FRANKLIN BANCORP, INC.
City
LOCKPORT
LOCKPORT
DIXON
DIXON
DIXON
CHULA VISTA
CHULA VISTA
CHULA VISTA
WARREN
WARREN
MALVERN
MALVERN
MALVERN
MALVERN
MALVERN
FLORENCE
FLORENCE
FLORENCE
EXTON
EXTON
EXTON
CHATTANOOGA
CHATTANOOGA
SEATTLE
SEATTLE
LEXINGTON
LEXINGTON
LEXINGTON
BOCA RATON
BOCA RATON
ALAMOSA
ALAMOSA
ALAMOSA
ALAMOSA
ALAMOSA
FORT WORTH
FORT WORTH
NEW ORLEANS
NEW ORLEANS
NEW ORLEANS
OAKLAND
OAKLAND
OAKLAND
VERNON
VERNON
DENVER
DENVER
DENVER
DENVER
DENVER
DENVER
DENVER
ALMA
ALMA
ALMA
AKRON
AKRON
AKRON
TROY
TROY
TROY
TROY
TROY
TROY
TAMPA
TAMPA
TAMPA
TAMPA
LAKE SUCCESS
LAKE SUCCESS
LAKE SUCCESS
SOUTH SAN FRANCISCO
SOUTH SAN FRANCISCO
ROCKFORD
ROCKFORD
FORT LEE
FORT LEE
ARNOLD
ARNOLD
PORT ST. LUCIE
PORT ST. LUCIE
HAMMOND
HAMMOND
HAMMOND
WASHINGTON
WASHINGTON
WASHINGTON
WASHINGTON
State
NY
NY
CA
CA
CA
CA
CA
CA
OH
OH
PA
PA
PA
PA
PA
SC
SC
SC
PA
PA
PA
TN
TN
WA
WA
TN
TN
TN
FL
FL
CO
CO
CO
CO
CO
TX
TX
LA
LA
LA
CA
CA
MD
AL
AL
CO
CO
CO
CO
CO
CO
CO
MI
MI
MI
OH
OH
OH
MI
MI
MI
MI
MI
MI
FL
FL
FL
FL
NY
NY
NY
CA
CA
IL
IL
NJ
NJ
MO
MO
FL
FL
LA
LA
LA
MO
MO
MO
MO
Date
27-May-09
24-Jun-09
13-Mar-09
15-Sep-11
16-Nov-11
21-Nov-08
15-Dec-10
5-Jan-11
13-Mar-09
29-Oct-12
20-Feb-09
18-Dec-09
7-Feb-13
8-Feb-13
26-Mar-13
6-Mar-09
11-Mar-13
9-Apr-13
30-Jan-09
11-Dec-09
15-Sep-11
9-Jan-09
11-Apr-13
23-Dec-08
20-Feb-13
17-Jul-09
28-Sep-11
28-Nov-12
30-Jan-09
16-Jun-10
6-Mar-09
26-Mar-13
27-Mar-13
28-Mar-13
9-Apr-13
6-Mar-09
15-Sep-11
5-Jun-09
20-Feb-13
26-Mar-13
23-Jan-09
22-Apr-09
30-Jan-09
12-Jun-09
29-Sep-10
6-Feb-09
11-Dec-09
9-Aug-12
10-Aug-12
11-Sep-12
24-Jun-13
26-Jul-13
30-Jan-09
3-Jul-12
18-Jul-12
9-Jan-09
22-Apr-09
27-May-09
30-Jan-09
26-Mar-13
27-Mar-13
28-Mar-13
9-Apr-13
12-Jun-13
24-Jul-09
14-Aug-13
20-Feb-09
22-Sep-11
19-Dec-08
28-Oct-09
30-Dec-09
27-Feb-09
15-Sep-11
15-May-09
11-Dec-12
22-May-09
20-Apr-12
3-Apr-09
15-Sep-11
5-Dec-08
15-Jul-11
23-Jan-09
16-Dec-09
16-Jun-10
22-May-09
9-Nov-12
13-Nov-12
11-Jan-13
Original Investment Type1
Original Investment
Amount
Outstanding
Investment
Total Cash Back2
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
(Fee)4
Shares
184,011
$184,011,000.00
Avg. Price
(Realized Loss) /
(Write-off)
Gain5
Warrant Proceeds
Amount
Shares
$1,000.00
$2,700,000.00
$375,000.00
$17,390,000.00
$0.00
$19,943,580.33
$17,390,000.00
Preferred Stock w/ Warrants
$19,300,000.00
$0.00
$22,297,560.34
17,390
$72,927,000.00
$0.00
$7,009,094.50
280,795
$1,000.00
Redeemed, in full; warrants not outstanding
$19,300,000.00
Preferred Stock w/ Warrants
352,977
$1,003,227.00
Preferred Stock w/ Warrants
953,096
Redeemed, in full; warrants not outstanding
19,300
$1,000.00
Currently not collectible
($72,927,000.00)
Preferred Stock w/ Exercised Warrants
$4,579,000.00
$4,596,000.00
$0.00
$9,948,069.58
Sold, in full; warrants not outstanding
$6,682,192.50
$1,410,831.60
7,575
1,600
$882.23
$882.05
($892,807.50)
($189,168.40)
$48,083.60
$176,633.62
49
180
15,349
$679.60
($4,917,666.11)
$624,632.45
767
$5,017,000.00
5,017
$1,000.00
$130,000.00
130
$14,912,862.00
9,941,908
$1.50
($18,087,138.00)
$3,700,000.00
7,400
$500.00
($3,700,000.00)
$13,125,000.00
$36,875,000.00
13,125,000
36,875,000
$1.00
$1.00
$2,500,000.00
2,500,000
$10,900,000.00
10,900
$1,000.00
$545,000.00
545
$315,007.00
$2,835,063.00
$1,800,040.00
350
3,150
2,000
$900.00
$900.00
$900.00
$206,048.21
$45,788.48
225
50
13,533
$1,000.00
$677,000.00
677
17,969,000
$0.77
$644,726.19
898,000
$4,900,000.00
4,900
$1,000.00
$245,000.00
245
$6,000,000.00
6,000
$1,000.00
$245,000.00
245
$6,138,000.00
$62,000.00
7,920
80
$775.00
$775.00
($1,782,000.00)
($18,000.00)
$311,681.70
$39,370.32
380
48
12,440
$874.81
($1,445,760.00)
33,000
$941.00
($1,946,670.00)
$1,946,670.00
578,947
$5,025,000.00
952,260
$12,905.00
645,138
$475,000.00
475
$900,000.00
375,806
($80,930.24)
Preferred Stock w/ Exercised Warrants
$15,349,000.00
$0.00
$12,994,059.00
Sold, in full; warrants not outstanding
$10,431,333.89
($104,313.34)
Preferred Stock w/ Exercised Warrants
$2,600,000.00
$2,417,000.00
$0.00
$5,731,793.60
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$33,000,000.00
$0.00
$16,315,362.00
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$7,400,000.00
$50,000,000.00
$10,900,000.00
$5,500,000.00
$0.00
$0.00
$0.00
$0.00
$4,030,944.44
$65,432,450.94
$12,263,468.31
$5,359,772.59
Sold, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($34,993.00)
($314,937.00)
($199,960.00)
($49,501.10)
Preferred Stock w/ Exercised Warrants
$13,533,000.00
$0.00
$16,072,389.00
Redeemed, in full; warrants not outstanding
$13,533,000.00
Subordinated Debentures w/ Exercised Warrants
$17,969,000.00
$0.00
$15,304,180.50
Sold, in full; warrants not outstanding
$13,750,058.49
($4,218,941.51)
($137,500.58)
Preferred Stock w/ Exercised Warrants
$4,900,000.00
$0.00
$5,211,020.69
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$30,000,000.00
$6,000,000.00
$30,000,000.00
$0.00
$2,312,500.00
$6,662,770.42
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$8,559,000.00
$11,881,000.00
$0.00
$21,142,314.80
Sold, in full; warrants not outstanding
($62,000.00)
$10,994,240.00
($109,942.41)
Preferred Stock w/ Warrants
$33,000,000.00
$0.00
$38,185,560.05
Sold, in full; warrants not outstanding
$31,053,330.00
Preferred Stock w/ Warrants
$125,000,000.00
$0.00
$131,813,194.44
($465,799.95)
Redeemed, in full; warrants not outstanding
$125,000,000.00
Preferred Stock w/ Warrants
$266,657,000.00
$0.00
$277,861,053.94
125,000
$1,000.00
Sold, in full; warrants not outstanding
$1,439,258.50
$228,401,847.00
$13,216,750.00
1,579
250,578
14,500
$911.50
$911.50
$911.50
($139,741.50)
($22,176,153.00)
($1,283,250.00)
($2,430,578.56)
Preferred Stock w/ Exercised Warrants
$20,471,000.00
$0.00
$9,180,793.08
Sold, in full; warrants not outstanding
$8,000,000.00
Preferred Stock w/ Exercised Warrants
$70,000,000.00
$12,000,000.00
$0.00
$0.00
$0.00
$11,309,750.50
$1,000.00
70,000
($12,471,000.00)
$1,000.00
Redeemed, in full; warrants not outstanding
$73,904,166.66
9,495
$70,000,000.00
Preferred Stock w/ Warrants
$9,495,000.00
$390.80
$9,495,000.00
Preferred Stock w/ Exercised Warrants
20,471
Redeemed, in full; warrants not outstanding
$14,267,700.00
Redeemed, in full; warrants not outstanding
$12,000,000.00
$15,000,000.00
$0.00
$18,670,291.67
$1,300,000.00
$0.00
$87,184.85
$600,000.00
600
15,000
$1,000.00
$750,000.00
750
$155,000.00
155
$162,000.00
162
$126,798.62
$45,188.88
188
67
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,000.00
$15,000,000.00
Preferred Stock w/ Exercised Warrants
12,000
Currently not collectible
($1,300,000.00)
Preferred Stock w/ Exercised Warrants
$3,100,000.00
$0.00
$3,668,927.67
Redeemed, in full; warrants not outstanding
$3,100,000.00
Preferred Stock w/ Warrants
$5,800,000.00
$0.00
$273,888.89
$3,240,000.00
$0.00
$3,623,721.50
$1,000.00
Currently not collectible
Preferred Stock w/ Exercised Warrants
3,100
Redeemed, in full; warrants not outstanding
($5,800,000.00)
$1,000,000.00
$2,240,000.00
Preferred Stock w/ Exercised Warrants
$5,097,000.00
$0.00
$4,336,183.67
1,000
2,240
$1,000.00
$1,000.00
$594,550.00
$2,629,302.50
940
4,157
$632.50
$632.50
Sold, in full; warrants not outstanding
($25,000.00)
($345,450.00)
($1,527,697.50)
FootNote
15
15,11,14
44,8,14
15,11,14
11
8,14
11,8,14
8
8,14
8,17,91,97
11
8
44,8,14
15
8
8,14,18,44
15
45
11,8,14
11,8,14
8
8,68,97
45,8,14
9,15,36
11
17,28,70,97
45,8,14
11,8,14
38
8,9
11,8,14
11
8,17
45
8,17,45
11
11,16
Institution Name
City
State
Date
FREEPORT BANCSHARES, INC.
FREMONT BANCORPORATION
FREMONT BANCORPORATION
FRESNO FIRST BANK
FRESNO FIRST BANK
FRONTIER BANCSHARES, INC
FRONTIER BANCSHARES, INC
FRONTIER BANCSHARES, INC
FULTON FINANCIAL CORPORATION
FULTON FINANCIAL CORPORATION
FULTON FINANCIAL CORPORATION
GATEWAY BANCSHARES, INC.
GATEWAY BANCSHARES, INC.
GEORGIA COMMERCE BANCSHARES, INC.
GEORGIA COMMERCE BANCSHARES, INC.
GEORGIA PRIMARY BANK
GERMANTOWN CAPITAL CORPORATION
GERMANTOWN CAPITAL CORPORATION
GERMANTOWN CAPITAL CORPORATION
GERMANTOWN CAPITAL CORPORATION
GOLD CANYON BANK
GOLD CANYON BANK
GOLDMAN SACHS GROUP, INC.
GOLDMAN SACHS GROUP, INC.
GOLDMAN SACHS GROUP, INC.
GOLDWATER BANK, N.A.
GRAND CAPITAL CORPORATION
GRAND CAPITAL CORPORATION
GRAND FINANCIAL CORPORATION
GRAND MOUNTAIN BANCSHARES, INC.
GRANDSOUTH BANCORPORATION
GRANDSOUTH BANCORPORATION
GRANDSOUTH BANCORPORATION
GREAT RIVER HOLDING COMPANY
GREAT SOUTHERN BANCORP
GREAT SOUTHERN BANCORP
GREAT SOUTHERN BANCORP
GREEN BANKSHARES, INC.
GREEN BANKSHARES, INC.
GREEN CIRCLE INVESTMENTS, INC.
GREEN CIRCLE INVESTMENTS, INC.
GREEN CIRCLE INVESTMENTS, INC.
GREEN CIRCLE INVESTMENTS, INC.
GREEN CITY BANCSHARES, INC.
GREEN CITY BANCSHARES, INC.
GREER BANCSHARES INCORPORATED
GREGG BANCSHARES, INC.
GREGG BANCSHARES, INC.
GUARANTY BANCORP, INC.
GUARANTY BANCORP, INC.
GUARANTY CAPITAL CORPORATION
GUARANTY CAPITAL CORPORATION
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GULFSOUTH PRIVATE BANK
GULFSOUTH PRIVATE BANK
GULFSTREAM BANCSHARES, INC.
GULFSTREAM BANCSHARES, INC.
HAMILTON STATE BANCSHARES, INC.
HAMILTON STATE BANCSHARES, INC.
HAMPTON ROADS BANKSHARES, INC.
FREEPORT
FREMONT
FREMONT
FRESNO
FRESNO
AUSTIN
AUSTIN
AUSTIN
LANCASTER
LANCASTER
LANCASTER
RINGGOLD
RINGGOLD
ATLANTA
ATLANTA
ATLANTA
GERMANTOWN
GERMANTOWN
GERMANTOWN
GERMANTOWN
GOLD CANYON
GOLD CANYON
NEW YORK
NEW YORK
NEW YORK
SCOTTSDALE
TULSA
TULSA
HATTIESBURG
GRANBY
GREENVILLE
GREENVILLE
GREENVILLE
BAXTER
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
GREENEVILLE
GREENEVILLE
CLIVE
CLIVE
CLIVE
CLIVE
GREEN CITY
GREEN CITY
GREER
OZARK
OZARK
WOODSVILLE
WOODSVILLE
BELZONI
BELZONI
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
DESTIN
DESTIN
STUART
STUART
HOSCHTON
HOSCHTON
NORFOLK
IL
CA
CA
CA
CA
TX
TX
TX
PA
PA
PA
GA
GA
GA
GA
GA
TN
TN
TN
TN
AZ
AZ
NY
NY
NY
AZ
OK
OK
MS
CO
SC
SC
SC
MN
MO
MO
MO
TN
TN
IA
IA
IA
IA
MO
MO
SC
MO
MO
NH
NH
MS
MS
MO
MO
MO
MO
MO
MO
FL
FL
FL
FL
GA
GA
VA
8-May-09
26-Jun-09
25-Jul-12
23-Jan-09
1-Nov-12
24-Apr-09
24-Nov-09
6-Oct-10
23-Dec-08
14-Jul-10
8-Sep-10
8-May-09
13-Apr-12
6-Feb-09
16-Feb-11
1-May-09
6-Mar-09
29-Oct-12
31-Oct-12
11-Jan-13
26-Jun-09
5-Apr-13
28-Oct-08
17-Jun-09
22-Jul-09
30-Jan-09
24-Apr-09
8-Sep-11
25-Sep-09
29-May-09
9-Jan-09
11-Dec-09
8-Sep-11
17-Jul-09
5-Dec-08
18-Aug-11
21-Sep-11
23-Dec-08
7-Sep-11
27-Feb-09
14-Nov-12
23-Jan-13
24-Apr-13
27-Feb-09
14-Jul-10
30-Jan-09
13-Feb-09
13-Jul-12
20-Feb-09
15-Sep-11
25-Sep-09
30-Jul-10
30-Jan-09
13-Jun-12
26-Apr-13
29-Apr-13
15-May-13
31-May-13
25-Sep-09
19-Oct-12
26-Jun-09
18-Aug-11
20-Feb-09
13-Apr-11
31-Dec-08
HARBOR BANKSHARES CORPORATION
HAVILAND BANCSHARES, INC.
HAVILAND BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HCSB FINANCIAL CORPORATION
HEARTLAND BANCSHARES, INC.
HEARTLAND BANCSHARES, INC.
HEARTLAND FINANCIAL USA, INC.
HEARTLAND FINANCIAL USA, INC.
HEARTLAND FINANCIAL USA, INC.
HERITAGE BANKSHARES, INC.
HERITAGE BANKSHARES, INC.
HERITAGE BANKSHARES, INC.
HERITAGE COMMERCE CORP.
HERITAGE COMMERCE CORP.
HERITAGE COMMERCE CORP.
HERITAGE FINANCIAL CORPORATION
HERITAGE FINANCIAL CORPORATION
HERITAGE FINANCIAL CORPORATION
BALTIMORE
HAVILAND
HAVILAND
LEE'S SUMMIT
LEE'S SUMMIT
LEE'S SUMMIT
LEE'S SUMMIT
LORIS
FRANKLIN
FRANKLIN
DUBUQUE
DUBUQUE
DUBUQUE
NORFOLK
NORFOLK
NORFOLK
SAN JOSE
SAN JOSE
SAN JOSE
OLYMPIA
OLYMPIA
OLYMPIA
MD
KS
KS
MO
MO
MO
MO
SC
IN
IN
IA
IA
IA
VA
VA
VA
CA
CA
CA
WA
WA
WA
17-Jul-09
13-Mar-09
29-Dec-10
19-Dec-08
9-May-12
15-May-13
12-Jun-13
6-Mar-09
11-Sep-09
17-Jul-12
19-Dec-08
15-Sep-11
28-Sep-11
25-Sep-09
16-Mar-11
11-Aug-11
21-Nov-08
7-Mar-12
10-Jun-13
21-Nov-08
22-Dec-10
17-Aug-11
Original Investment Type1
Original Investment
Amount
Outstanding
Investment
Total Cash Back2
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
Subordinated Debentures w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants
$3,000,000.00
$35,000,000.00
$3,000,000.00
$0.00
$1,137,543.45
$45,796,066.36
$1,968,000.00
$0.00
$2,437,100.33
Shares
Avg. Price
Gain5
Warrant Proceeds
Amount
Shares
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
(Fee)4
(Realized Loss) /
(Write-off)
Redeemed, in full; warrants not outstanding
$35,000,000.00
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$0.00
$0.00
$416,635,625.00
$7,260,794.87
1,968
$1,000.00
$98,000.00
98
1,600,000
1,400,000
$1.00
$1.00
$150,000.00
150,000
376,500
$1,000.00
$10,800,000.00
$376,500,000.00
$3,408,191.65
1,750,000
$376,500,000.00
Preferred Stock w/ Warrants
$0.00
$1,750,000.00
$1,600,000.00
$1,400,000.00
$3,000,000.00
$1.00
$1,968,000.00
Subordinated Debentures w/ Exercised Warrants
35,000,000
5,509,756
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$6,000,000.00
$10,096,470.83
$4,500,000.00
$4,967,000.00
$4,500,000.00
$0.00
$0.00
$5,699,100.75
8,700
$1,000.00
$435,000.00
435
29
4,938
$910.10
$910.10
$214,595.28
248
12,205,045
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
300
$1,100,000,000.00
$0.00
$300,000.00
$26,393.77
$4,494,221.94
$8,700,000.00
$1,000.00
$8,700,000.00
Preferred Stock w/ Exercised Warrants
6,000
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
($2,606.23)
($443,778.06)
($25,000.00)
Preferred Stock w/ Exercised Warrants
$1,607,000.00
$0.00
$53,859.52
Currently not collectible
($1,607,000.00)
Preferred Stock w/ Warrants
$10,000,000,000.00
$0.00
$11,418,055,555.44
Redeemed, in full; warrants not outstanding
$10,000,000,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$2,568,000.00
$4,000,000.00
$2,568,000.00
$0.00
$145,750.00
$4,717,144.78
10,000,000
$1,000.00
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$4,000,000.00
$848,353.79
$0.00
$17,625,917.08
$8,400,000.00
$58,000,000.00
$8,400,000.00
$0.00
$759,575.46
$72,274,419.56
15,319
$1,000.00
$450,000.00
450
58,000
$1,000.00
909,091
Full investment outstanding; warrants outstanding
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
200
$6,436,364.00
$2,443,320.00
$3,076,000.00
$0.00
$200,000.00
$58,000,000.00
$2,443,320.00
$3,076,000.00
$9,000,000.00
$6,319,000.00
$1,000.00
$15,319,000.00
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
4,000
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$72,278,000.00
$0.00
$74,642,857.78
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,400,000.00
$0.00
$3,036,021.12
Redeemed, in full; warrants not outstanding
$68,700,000.00
$733,037.33
$9,993,000.00
$825,000.00
$9,993,000.00
$0.00
$975,831.00
$45,190.00
($3,578,000.00)
$120,000.00
120
651
$1,000.00
$33,000.00
33
$346,000.00
346
459,459
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$1,000.00
$1,000.00
$1,000.00
$2,003,250.00
$0.00
800
800
800
$651,000.00
$651,000.00
$950.50
$800,000.00
$800,000.00
$800,000.00
Preferred Stock w/ Exercised Warrants
72,278
Full investment outstanding; warrants outstanding
Currently not collectible
($825,000.00)
Preferred Stock w/ Exercised Warrants
$6,920,000.00
$0.00
$8,235,040.33
Redeemed, in full; warrants not outstanding
$14,913,299.33
Redeemed, in full; warrants not outstanding
$6,920,000.00
$17,000,000.00
$0.00
$0.00
$21,887,871.44
14,000,000
$1.00
$5,000,000.00
$96,750.00
$11,513,250.00
Preferred Stock w/ Warrants
$14,000,000.00
$1,000.00
$14,000,000.00
Subordinated Debentures
6,920
5,000
100
11,900
$1,000.00
$967.50
$967.50
Sold, in full; warrants not outstanding
($3,250.00)
($386,750.00)
($116,100.00)
Preferred Stock w/ Exercised Warrants
$7,500,000.00
$0.00
$757,380.08
Currently not collectible
($7,500,000.00)
Preferred Stock w/ Exercised Warrants
$7,500,000.00
$0.00
$8,751,541.63
Redeemed, in full; warrants not outstanding
$8,169,165.89
Redeemed, in full; warrants not outstanding
$7,500,000.00
$2,510,844.25
$6,800,000.00
$425,000.00
$6,800,000.00
$0.00
$282,744.47
$487,524.22
35
425
$1,000.00
$21,000.00
21
12,000
18,255
$1,000.00
$1,000.00
287,134
$248,000.00
248
609,687
$303,000.00
303
462,963
$450,000.00
138,037
Full investment outstanding; warrants outstanding
Preferred Stock
Preferred Stock w/ Exercised Warrants
$350,000.00
$140,000.00
$80,347,000.00
$25,000.00
$1,800,000.00
$80,347,000.00
280
$540,000.00
Preferred Stock w/ Warrants
375
$12,000,000.00
$18,255,000.00
$0.00
$375,000.00
$425,000.00
$7,000,000.00
$1,000.00
$7,000,000.00
Preferred Stock w/ Exercised Warrants
7,500
Full investment outstanding; warrants not outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$30,255,000.00
$12,895,000.00
$7,000,000.00
$0.00
$12,895,000.00
$0.00
$36,849,504.67
$1,090,702.00
$8,321,471.08
Redeemed, in full; warrants not outstanding
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$7,000,000.00
Preferred Stock w/ Exercised Warrants
$81,698,000.00
$10,103,000.00
$0.00
$0.00
$94,686,087.22
$11,353,284.46
$1,000.00
$81,698,000.00
Preferred Stock w/ Warrants
7,000
81,698
$1,000.00
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$2,606,000.00
$7,497,000.00
Preferred Stock w/ Warrants
$40,000,000.00
$24,000,000.00
$0.00
$0.00
$46,901,266.80
$26,953,333.33
$1,000.00
$1,000.00
$40,000,000.00
Preferred Stock w/ Warrants
2,606
7,497
40,000
$1,000.00
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$24,000,000.00
24,000
$1,000.00
FootNote
11
11
8,18,21,44
8
11,8,14
11
8
8,14
8,17
11
11,45
44,8,14
8,11,14,18
11
8,14
8,17
9,15,36
12,16
8,14
11,8,10
44,8,14
8
8,14,18,44
8
11
29
8,22,92,97
11
22,52,97
11
15,71,97
Institution Name
HERITAGE OAKS BANCORP
HERITAGE OAKS BANCORP
HERITAGE OAKS BANCORP
HF FINANCIAL CORP.
HF FINANCIAL CORP.
HF FINANCIAL CORP.
HIGHLANDS BANCORP, INC.
HIGHLANDS BANCORP, INC.
HIGHLANDS BANCORP, INC.
HIGHLANDS INDEPENDENT BANCSHARES, INC.
HILLTOP COMMUNITY BANCORP, INC.
HILLTOP COMMUNITY BANCORP, INC.
HMN FINANCIAL, INC.
HMN FINANCIAL, INC.
HMN FINANCIAL, INC.
HMN FINANCIAL, INC.
HOME BANCSHARES, INC.
HOME BANCSHARES, INC.
HOME BANCSHARES, INC.
HOMETOWN BANCORP OF ALABAMA, INC.
HOMETOWN BANCORP OF ALABAMA, INC.
HOMETOWN BANCSHARES, INC.
HOMETOWN BANCSHARES, INC.
HOMETOWN BANCSHARES, INC.
HOMETOWN BANCSHARES, INC.
HOMETOWN BANCSHARES, INC.
HOMETOWN BANKSHARES CORPORATION
HOMETOWN BANKSHARES CORPORATION
HOMETOWN BANKSHARES CORPORATION
HOPFED BANCORP
HOPFED BANCORP
HOPFED BANCORP
HORIZON BANCORP
HORIZON BANCORP
HORIZON BANCORP
HORIZON BANCORP
HOWARD BANCORP, INC.
HOWARD BANCORP, INC.
HPK FINANCIAL CORPORATION
HPK FINANCIAL CORPORATION
HPK FINANCIAL CORPORATION
HUNTINGTON BANCSHARES
HUNTINGTON BANCSHARES
HUNTINGTON BANCSHARES
HYPERION BANK
HYPERION BANK
HYPERION BANK
HYPERION BANK
IA BANCORP, INC / INDUS AMERICAN BANK
IBC BANCORP, INC.
IBC BANCORP, INC.
IBERIABANK CORPORATION
IBERIABANK CORPORATION
IBERIABANK CORPORATION
IBT BANCORP, INC.
IBT BANCORP, INC.
IBW FINANCIAL CORPORATION
IBW FINANCIAL CORPORATION
ICB FINANCIAL
ICB FINANCIAL
IDAHO BANCORP
ILLINOIS STATE BANCORP, INC.
ILLINOIS STATE BANCORP, INC.
ILLINOIS STATE BANCORP, INC.
INDEPENDENCE BANK
INDEPENDENCE BANK
INDEPENDENT BANK CORP.
INDEPENDENT BANK CORP.
INDEPENDENT BANK CORP.
INDEPENDENT BANK CORPORATION
INDEPENDENT BANK CORPORATION
INDIANA BANK CORP.
INDIANA BANK CORP.
INDIANA COMMUNITY BANCORP
INDIANA COMMUNITY BANCORP
INTEGRA BANK CORPORATION
INTEGRA BANK CORPORATION
INTERMOUNTAIN COMMUNITY BANCORP
INTERMOUNTAIN COMMUNITY BANCORP
INTERNATIONAL BANCSHARES CORPORATION
INTERNATIONAL BANCSHARES CORPORATION
INTERNATIONAL BANCSHARES CORPORATION
INTERNATIONAL BANCSHARES CORPORATION
INTERNATIONAL BANCSHARES CORPORATION
INTERVEST BANCSHARES CORPORATION
INTERVEST BANCSHARES CORPORATION
INTERVEST BANCSHARES CORPORATION
INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY, INC.
City
PASO ROBLES
PASO ROBLES
PASO ROBLES
SIOUX FALLS
SIOUX FALLS
SIOUX FALLS
VERNON
VERNON
VERNON
SEBRING
SUMMIT
SUMMIT
ROCHESTER
ROCHESTER
ROCHESTER
ROCHESTER
CONWAY
CONWAY
CONWAY
ONEONTA
ONEONTA
CORBIN
CORBIN
CORBIN
CORBIN
CORBIN
ROANOKE
ROANOKE
ROANOKE
HOPKINSVILLE
HOPKINSVILLE
HOPKINSVILLE
MICHIGAN CITY
MICHIGAN CITY
MICHIGAN CITY
MICHIGAN CITY
ELLICOTT CITY
ELLICOTT CITY
CHICAGO
CHICAGO
CHICAGO
COLUMBUS
COLUMBUS
COLUMBUS
PHILADELPHIA
PHILADELPHIA
PHILADELPHIA
PHILADELPHIA
ISELIN
CHICAGO
CHICAGO
LAFAYETTE
LAFAYETTE
LAFAYETTE
IRVING
IRVING
WASHINGTON
WASHINGTON
ONTARIO
ONTARIO
BOISE
CHICAGO
CHICAGO
CHICAGO
EAST GREENWICH
EAST GREENWICH
ROCKLAND
ROCKLAND
ROCKLAND
IONIA
IONIA
DANA
DANA
COLUMBUS
COLUMBUS
EVANSVILLE
EVANSVILLE
SANDPOINT
SANDPOINT
LAREDO
LAREDO
LAREDO
LAREDO
LAREDO
NEW YORK
NEW YORK
NEW YORK
SEDALIA
State
CA
CA
CA
SD
SD
SD
NJ
NJ
NJ
FL
NJ
NJ
MN
MN
MN
MN
AR
AR
AR
AL
AL
KY
KY
KY
KY
KY
VA
VA
VA
KY
KY
KY
IN
IN
IN
IN
MD
MD
IL
IL
IL
OH
OH
OH
PA
PA
PA
PA
NJ
IL
IL
LA
LA
LA
TX
TX
DC
DC
CA
CA
ID
IL
IL
IL
RI
RI
MA
MA
MA
MI
MI
IN
IN
IN
IN
IN
IN
ID
ID
TX
TX
TX
TX
TX
NY
NY
NY
MO
Date
20-Mar-09
17-Jul-13
7-Aug-13
21-Nov-08
3-Jun-09
30-Jun-09
8-May-09
22-Dec-09
22-Sep-11
6-Mar-09
30-Jan-09
21-Apr-10
23-Dec-08
7-Feb-13
8-Feb-13
26-Mar-13
16-Jan-09
6-Jul-11
27-Jul-11
20-Feb-09
28-Aug-13
13-Feb-09
28-Nov-12
30-Nov-12
11-Jan-13
26-Mar-13
18-Sep-09
31-Oct-12
11-Jan-13
12-Dec-08
19-Dec-12
16-Jan-13
19-Dec-08
10-Nov-10
25-Aug-11
23-Nov-11
27-Feb-09
22-Sep-11
1-May-09
13-Nov-09
11-Dec-12
14-Nov-08
22-Dec-10
19-Jan-11
6-Feb-09
20-Dec-12
11-Jan-13
26-Mar-13
18-Sep-09
15-May-09
10-Sep-10
5-Dec-08
31-Mar-09
20-May-09
27-Mar-09
12-Jun-13
13-Mar-09
3-Sep-10
6-Mar-09
1-Nov-12
16-Jan-09
22-May-09
29-Dec-09
22-Sep-11
9-Jan-09
16-Oct-13
9-Jan-09
22-Apr-09
27-May-09
12-Dec-08
30-Aug-13
24-Apr-09
9-Apr-13
12-Dec-08
12-Sep-12
27-Feb-09
29-Jul-11
19-Dec-08
20-Nov-13
23-Dec-08
11-Jul-12
1-Nov-12
28-Nov-12
11-Jun-13
23-Dec-08
24-Jun-13
26-Jul-13
8-May-09
Original Investment Type1
Preferred Stock w/ Warrants
Original Investment
Amount
$21,000,000.00
Outstanding
Investment
Total Cash Back2
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
$0.00
$27,241,335.26
(Fee)4
Shares
Avg. Price
(Realized Loss) /
(Write-off)
Gain5
Warrant Proceeds
Amount
Shares
Redeemed, in full; warrants not outstanding
$21,000,000.00
21,000
$1,000.00
$1,575,000.00
$25,000,000.00
$0.00
$26,316,666.67
611,650
$650,000.00
Preferred Stock w/ Warrants
302,419
Redeemed, in full; warrants not outstanding
$25,000,000.00
Preferred Stock w/ Exercised Warrants
$3,091,000.00
$2,359,000.00
$0.00
$6,211,926.79
$6,700,000.00
$4,000,000.00
$6,700,000.00
$0.00
$617,712.00
$4,467,049.67
$1,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
25,000
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$5,450,000.00
$21,034,187.78
155
4,000
$1,000.00
$200,000.00
200
3,550
22,450
$721.50
$721.50
50,000
$1,000.00
$1,300,000.00
$0.00
$155,000.00
$2,561,325.00
$16,197,675.00
$26,000,000.00
$1,000.00
$4,000,000.00
Preferred Stock w/ Warrants
5,450
158,472
$163,000.00
163
Sold, in full; warrants outstanding
($988,675.00)
($6,252,325.00)
($187,590.00)
Preferred Stock w/ Warrants
$50,000,000.00
$0.00
$57,480,555.56
Redeemed, in full; warrants not outstanding
$50,000,000.00
Preferred Stock w/ Exercised Warrants
$3,250,000.00
$0.00
$4,214,202.31
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,900,000.00
$0.00
$2,229,801.03
Sold, in full; warrants not outstanding
$3,250,000.00
3,250
$1,000.00
$608,170.50
$1,183,339.50
645
1,255
$942.90
$942.90
($36,829.50)
($71,660.50)
$70,095.00
95
10,000
$918.50
($815,000.00)
$315,461.52
374
18,400
$1,000.00
$256,257.00
253,666
$1,750,551.00
212,188
($17,915.11)
($7,084.89)
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$11,111,011.94
Sold, in full; warrants not outstanding
$9,185,000.00
($91,850.00)
Preferred Stock w/ Warrants
$18,400,000.00
$0.00
$22,354,145.89
Redeemed, in full; warrants not outstanding
$18,400,000.00
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$29,857,321.83
Redeemed, in full; warrants not outstanding
$6,250,000.00
$18,750,000.00
Preferred Stock w/ Exercised Warrants
$5,983,000.00
$0.00
$7,119,793.05
$1,000.00
$1,000.00
Redeemed, in full; warrants not outstanding
$10,940,554.65
6,250
18,750
Redeemed, in full; warrants not outstanding
$5,983,000.00
$1,552,000.00
$0.00
$1,594,356,808.56
$1,337,166.22
9,000
$1,000.00
$344,000.00
344
1,398,071
$1,000.00
23,562,994
$25,700.00
78
$1,200,000.00
Preferred Stock w/ Exercised Warrants
$0.00
299
$49,100,000.00
$1,398,071,000.00
$0.00
$299,000.00
$1,398,071,000.00
Preferred Stock w/ Warrants
$4,000,000.00
$5,000,000.00
$1,000.00
$9,000,000.00
Preferred Stock w/ Exercised Warrants
5,983
138,490
$115,000.00
115
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$1,008,800.00
1,552
$650.00
$4,205,000.00
4,205,000
$1.00
$90,000,000.00
90,000
($543,200.00)
$1,000.00
($10,088.00)
($14,912.00)
Preferred Stock w/ Exercised Warrants
Subordinated Debentures
$5,976,000.00
$4,205,000.00
$5,976,000.00
$0.00
$916,227.47
$4,632,216.32
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$90,000,000.00
$0.00
$92,650,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,295,000.00
$0.00
$2,936,462.50
Redeemed, in full; warrants not outstanding
$6,453,067.00
Redeemed, in full; warrants not outstanding
$2,295,000.00
$0.00
$81,476,093.61
$83,430,000.00
300
10,272
$1,000.00
$406,000.00
406
1,065
$1,000.00
$53,000.00
53
78,158
$1,000.00
481,664
$1,800,000.00
188,707
$4,018,511.00
$72,000,000.00
$0.00
$1,394,723.17
$300,000.00
$2,200,000.00
Preferred Stock w/ Warrants
$78,158,000.00
$0.00
$124,305.92
$11,836,113.40
$1,000.00
$78,158,000.00
Preferred Stock w/ Warrants
$1,065,000.00
$6,900,000.00
$0.00
$7,494,458.33
6,000
$1,065,000.00
Preferred Stock w/ Exercised Warrants
$6,900,000.00
$6,272,000.00
$4,000,000.00
$0.00
$1,000.00
$10,272,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$0.00
6,000
$6,000,000.00
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$1,000.00
$6,000,000.00
Preferred Stock w/ Warrants
2,295
1,326,238
Redeemed, in full; warrants not outstanding
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$72,000,000.00
Preferred Stock w/ Exercised Warrants
$1,312,000.00
$0.00
$165,139.00
72,000
$1,000.00
$2,426,000.00
Currently not collectible
($1,312,000.00)
Preferred Stock w/ Warrants
$21,500,000.00
$0.00
$27,331,250.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$83,586,000.00
$0.00
$1,950,340.00
Currently not collectible
$21,500,000.00
21,500
$1,000.00
($83,586,000.00)
Preferred Stock w/ Warrants
$27,000,000.00
$0.00
$33,944,884.23
Redeemed, in full; warrants outstanding
$27,000,000.00
Preferred Stock w/ Warrants
$216,000,000.00
$25,000,000.00
$0.00
$0.00
$261,538,649.89
$30,035,555.56
$1,000.00
$40,000,000.00
$45,000,000.00
$131,000,000.00
Preferred Stock w/ Warrants
27,000
40,000
45,000
131,000
$1,000.00
$1,000.00
$1,000.00
Redeemed, in full; warrants not outstanding
Sold, in full; warrants outstanding
$24,250,000.00
25,000
($242,500.00)
Subordinated Debentures w/ Exercised Warrants
$4,000,000.00
$0.00
$174,324.60
Currently not collectible
$970.00
($750,000.00)
FootNote
11
44,8,14
11
8
8,14
8,11,14,18,36
11
12
8,14
11
11,8,14
9,48,97
45,8,14
45,8,14
8,17
11,9,36
8
11
8
11
8,9,17
11
8
44,11,8
8,14
11
15,14
8
8
15,14
8,14
Institution Name
INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY, INC.
JPMORGAN CHASE & CO.
JPMORGAN CHASE & CO.
JPMORGAN CHASE & CO.
KATAHDIN BANKSHARES CORP.
KATAHDIN BANKSHARES CORP.
KEYCORP
KEYCORP
KEYCORP
KIRKSVILLE BANCORP, INC.
KS BANCORP, INC
KS BANCORP, INC
KS BANCORP, INC
LAFAYETTE BANCORP, INC.
LAFAYETTE BANCORP, INC.
LAFAYETTE BANCORP, INC.
LAKELAND BANCORP, INC.
LAKELAND BANCORP, INC.
LAKELAND BANCORP, INC.
LAKELAND BANCORP, INC.
LAKELAND BANCORP, INC.
LAKELAND FINANCIAL CORPORATION
LAKELAND FINANCIAL CORPORATION
LAKELAND FINANCIAL CORPORATION
LAYTON PARK FINANCIAL GROUP, INC.
LAYTON PARK FINANCIAL GROUP, INC.
LAYTON PARK FINANCIAL GROUP, INC.
LAYTON PARK FINANCIAL GROUP, INC.
LCNB CORP.
LCNB CORP.
LCNB CORP.
LEADER BANCORP, INC.
LEADER BANCORP, INC.
LEGACY BANCORP, INC.
LEGACY BANCORP, INC.
LIBERTY BANCSHARES, INC. (AR)
LIBERTY BANCSHARES, INC. (AR)
LIBERTY BANCSHARES, INC. (MO)
LIBERTY BANCSHARES, INC. (MO)
LIBERTY BANCSHARES, INC. (TX)
LIBERTY FINANCIAL SERVICES, INC.
LIBERTY FINANCIAL SERVICES, INC.
LIBERTY SHARES, INC.
LINCOLN NATIONAL CORPORATION
LINCOLN NATIONAL CORPORATION
LINCOLN NATIONAL CORPORATION
LNB BANCORP, INC.
LNB BANCORP, INC.
LNB BANCORP, INC.
LONE STAR BANK
LSB CORPORATION
LSB CORPORATION
LSB CORPORATION
M&F BANCORP, INC.
M&F BANCORP, INC.
M&T BANK CORPORATION
M&T BANK CORPORATION
M&T BANK CORPORATION
M&T BANK CORPORATION
MACKINAC FINANCIAL CORPORATION
MACKINAC FINANCIAL CORPORATION
MACKINAC FINANCIAL CORPORATION
MADISON FINANCIAL CORPORATION
MADISON FINANCIAL CORPORATION
MAGNA BANK
MAGNA BANK
MAGNA BANK
MAGNA BANK
MAINLINE BANCORP, INC.
MAINLINE BANCORP, INC.
MAINSOURCE FINANCIAL GROUP, INC.
MAINSOURCE FINANCIAL GROUP, INC.
MAINSOURCE FINANCIAL GROUP, INC.
MANHATTAN BANCORP
MANHATTAN BANCORP
MANHATTAN BANCORP
MANHATTAN BANCSHARES, INC.
MANHATTAN BANCSHARES, INC.
MANHATTAN BANCSHARES, INC.
MANHATTAN BANCSHARES, INC.
MARINE BANK & TRUST COMPANY
MARKET BANCORPORATION, INC.
MARKET STREET BANCSHARES, INC.
MARKET STREET BANCSHARES, INC.
MARKET STREET BANCSHARES, INC.
MARKET STREET BANCSHARES, INC.
MARQUETTE NATIONAL CORPORATION
MARQUETTE NATIONAL CORPORATION
City
SEDALIA
NEW YORK
NEW YORK
NEW YORK
HOULTON
HOULTON
CLEVELAND
CLEVELAND
CLEVELAND
KIRKSVILLE
SMITHFIELD
SMITHFIELD
SMITHFIELD
OXFORD
OXFORD
OXFORD
OAK RIDGE
OAK RIDGE
OAK RIDGE
OAK RIDGE
OAK RIDGE
WARSAW
WARSAW
WARSAW
MILWAUKEE
MILWAUKEE
MILWAUKEE
MILWAUKEE
LEBANON
LEBANON
LEBANON
ARLINGTON
ARLINGTON
MILWAUKEE
MILWAUKEE
JONESBORO
JONESBORO
SPRINGFIELD
SPRINGFIELD
FORT WORTH
NEW ORLEANS
NEW ORLEANS
HINESVILLE
RADNOR
RADNOR
RADNOR
LORAIN
LORAIN
LORAIN
HOUSTON
NORTH ANDOVER
NORTH ANDOVER
NORTH ANDOVER
DURHAM
DURHAM
BUFFALO
BUFFALO
BUFFALO
BUFFALO
MANISTIQUE
MANISTIQUE
MANISTIQUE
RICHMOND
RICHMOND
MEMPHIS
MEMPHIS
MEMPHIS
MEMPHIS
EBENSBURG
EBENSBURG
GREENSBURG
GREENSBURG
GREENSBURG
EL SEGUNDO
EL SEGUNDO
EL SEGUNDO
MANHATTAN
MANHATTAN
MANHATTAN
MANHATTAN
VERO BEACH
NEW MARKET
MT. VERNON
MT. VERNON
MT. VERNON
MT. VERNON
CHICAGO
CHICAGO
State
MO
NY
NY
NY
ME
ME
OH
OH
OH
MO
NC
NC
NC
MS
MS
MS
NJ
NJ
NJ
NJ
NJ
IN
IN
IN
WI
WI
WI
WI
OH
OH
OH
MA
MA
WI
WI
AR
AR
MO
MO
TX
LA
LA
GA
PA
PA
PA
OH
OH
OH
TX
MA
MA
MA
NC
NC
NY
NY
NY
NY
MI
MI
MI
KY
KY
TN
TN
TN
TN
PA
PA
IN
IN
IN
CA
CA
CA
IL
IL
IL
IL
FL
MN
IL
IL
IL
IL
IL
IL
Date
19-Oct-12
28-Oct-08
17-Jun-09
16-Dec-09
30-Jan-09
18-Aug-11
14-Nov-08
30-Mar-11
20-Apr-11
20-Mar-09
21-Aug-09
30-Nov-12
11-Jan-13
20-Feb-09
29-Dec-09
29-Sep-10
6-Feb-09
4-Aug-10
16-Mar-11
8-Feb-12
29-Feb-12
27-Feb-09
9-Jun-10
22-Nov-11
18-Dec-09
29-Nov-12
11-Jan-13
26-Mar-13
9-Jan-09
21-Oct-09
22-Nov-11
23-Dec-08
24-Nov-10
30-Jan-09
11-Mar-11
23-Jan-09
21-Jul-11
13-Feb-09
18-Aug-11
4-Dec-09
6-Feb-09
24-Sep-10
20-Feb-09
10-Jul-09
30-Jun-10
22-Sep-10
12-Dec-08
19-Jun-12
18-Jul-12
6-Feb-09
12-Dec-08
18-Nov-09
16-Dec-09
26-Jun-09
20-Aug-10
23-Dec-08
18-May-11
21-Aug-12
17-Dec-12
24-Apr-09
29-Aug-12
19-Dec-12
13-Mar-09
19-Nov-13
23-Dec-08
24-Nov-09
8-Jun-11
18-Aug-11
29-Dec-09
9-Mar-12
16-Jan-09
3-Apr-12
11-Jun-13
5-Dec-08
16-Sep-09
14-Oct-09
19-Jun-09
10-Dec-12
11-Dec-12
11-Jan-13
6-Mar-09
20-Feb-09
15-May-09
9-Aug-12
10-Aug-12
11-Sep-12
19-Dec-08
7-Aug-12
Original Investment Type1
Original Investment
Amount
Outstanding
Investment
Total Cash Back2
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
(Fee)4
Shares
Avg. Price
(Realized Loss) /
(Write-off)
Gain5
Warrant Proceeds
Amount
Shares
($4,000,000.00)
Preferred Stock w/ Warrants
$25,000,000,000.00
$0.00
$26,731,202,358.00
Redeemed, in full; warrants not outstanding
$25,000,000,000.00
2,500,000
$10,000.00
$936,063,469.11
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$470,000.00
$4,000,000.00
$0.00
$470,000.00
$0.00
$2,867,222,222.22
$119,390.00
$4,137,336.64
10,449
$100,000.00
100
997,050
198,269
$104,375.00
150
217,063
$292,000.00
$1,000.00
$2,500,000,000.00
$2,500,000,000.00
200
292
Redeemed, in full; warrants not outstanding
$10,449,000.00
Preferred Stock w/ Warrants
$140,400.00
$602,557.00
$12,423,046.75
35,244,361
$877,557.00
$0.00
522
$2,800,000.00
$10,449,000.00
$522,000.00
$70,000,000.00
Preferred Stock w/ Exercised Warrants
88,401,697
25,000
$100,000.00
Redeemed, in full; warrants not outstanding
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
$3,308,000.00
4,000
$827.00
$4,451,000.00
4,451
$1,000.00
$20,000,000.00
$20,000,000.00
$19,000,000.00
20,000
20,000
19,000
($692,000.00)
$1,000.00
$1,000.00
$1,000.00
($25,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$1,998,000.00
$2,453,000.00
$59,000,000.00
$56,044,000.00
$0.00
$0.00
$0.00
$4,818,134.50
$68,260,833.33
$60,517,713.33
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$56,044,000.00
Preferred Stock w/ Exercised Warrants
$3,000,000.00
$0.00
$2,932,162.50
56,044
$1,000.00
Sold, in full; warrants not outstanding
$2,370,930.00
3,000
$790.30
13,400
($629,070.00)
$1,000.00
($23,709.29)
($1,290.71)
Preferred Stock w/ Warrants
$13,400,000.00
$0.00
$14,527,390.33
Redeemed, in full; warrants not outstanding
$13,400,000.00
Preferred Stock w/ Exercised Warrants
$5,830,000.00
$0.00
$6,731,961.06
Redeemed, in full; warrants not outstanding
Preferred Stock
$5,498,000.00
$0.00
$355,079.00
Currently not collectible
$5,830,000.00
5,830
$1,000.00
($5,498,000.00)
Preferred Stock w/ Exercised Warrants
$57,500,000.00
$0.00
$68,191,965.77
Redeemed, in full; warrants not outstanding
$57,500,000.00
5,645
$1,000.00
950,000
$1,000.00
13,049,451
561,343
209,497
$31,838,761.34
1,218,522
$1,300,000.00
$1,352,476.22
$6,106,008.58
1,095
$560,000.00
$6,500,000.00
$0.00
$1,095,000.00
$860,326.00
$6,500,000.00
$5,645,000.00
$1,000.00
398,734
$207,878.45
169
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock
21,900
$213,671,319.20
$25,995,452.08
2,875
$950,000,000.00
$0.00
$2,875,000.00
$5,645,000.00
$21,900,000.00
$1,000.00
$21,900,000.00
Preferred Stock w/ Exercised Warrants
57,500
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$17,280,000.00
$950,000,000.00
$25,223,000.00
$17,280,000.00
$0.00
$0.00
$1,399,560.00
$1,209,851,873.70
$26,893,046.60
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$21,923,074.91
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$3,072,000.00
$15,000,000.00
$3,072,000.00
$0.00
$0.00
$16,260,000.00
($328,846.12)
$11,735,000.00
$0.00
$12,409,762.50
$869.20
15,000
$1,000.00
Redeemed, in full; warrants not outstanding
$11,735,000.00
Preferred Stock w/ Warrants
$600,000,000.00
$11,000,000.00
$0.00
$0.00
$718,392,161.34
$13,521,828.15
11,735
$1,000.00
$370,000,000.00
$230,000,000.00
Preferred Stock w/ Warrants
370,000
230,000
$1,000.00
$1,000.00
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$10,538,990.00
Preferred Stock w/ Exercised Warrants
$3,370,000.00
$0.00
$3,823,495.65
($3,299,925.09)
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$15,000,000.00
Preferred Stock
25,223
($158,084.85)
11,000
$958.10
($461,010.00)
Sold, in full; warrants not outstanding
$3,370,000.00
$0.00
$5,263,187.50
$62,949,121.28
$690,000.00
690
4,500
$1,000.00
$225,000.00
225
57,000
$931.10
571,906
$63,363.90
$57,000,000.00
$0.00
$16,146,467.87
$1,000.00
$1,000.00
$1,000.00
$1,512,177.00
Preferred Stock w/ Warrants
$4,500,000.00
$0.00
3,455
3,455
6,885
$4,500,000.00
Preferred Stock w/ Exercised Warrants
$13,795,000.00
$1,022.60
$3,455,000.00
$3,455,000.00
$6,885,000.00
Preferred Stock w/ Exercised Warrants
3,370
29,480
14,000
118,000
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$53,073,270.00
Preferred Stock w/ Warrants
$1,700,000.00
$0.00
$1,829,711.12
($796,099.05)
$2,639,000.00
$0.00
$3,438,793.11
($3,926,730.00)
Redeemed, in full; warrants not outstanding
$1,700,000.00
Subordinated Debentures w/ Exercised Warrants
$76,195.70
1,700
$1,000.00
Sold, in full; warrants not outstanding
2,639,000
$0.98
($52,595.27)
19,931,000
369,000
$2,586,404.73
$11,385.02
$95,959.50
$0.90
$0.90
($2,011,037.90)
($37,232.10)
$727,225.54
$97,505.10
895,000
120,000
3,514
$720.20
($983,041.50)
$142,974.56
175
($25,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants
$3,000,000.00
$2,060,000.00
$20,300,000.00
$3,000,000.00
$2,060,000.00
$0.00
$235,713.00
$138,778.00
$24,429,245.84
Full investment outstanding; warrants outstanding
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
$17,919,962.10
$331,767.90
($182,517.30)
Preferred Stock w/ Exercised Warrants
$35,500,000.00
$0.00
$33,835,943.42
Sold, in full; warrants not outstanding
$2,530,958.50
FootNote
43
8
11
8,45,14
8,14,18,44
11
44,8,14
56,8,14
8,44,14
8,18
8,14
8,42
8,18
11
12
11,8,14
44
8
22,27,97
11,8,14
11
11,8,14
8
11,9
11,9,36
11,8,14
98
12,16
45,8,14
44,8,14
11
11,8,14
11,8,14
8,14
11,8,14
Institution Name
MARQUETTE NATIONAL CORPORATION
MARQUETTE NATIONAL CORPORATION
MARQUETTE NATIONAL CORPORATION
MARSHALL & ILSLEY CORPORATION
MARSHALL & ILSLEY CORPORATION
MARYLAND FINANCIAL BANK
MB FINANCIAL INC.
MB FINANCIAL INC.
MB FINANCIAL INC.
MCLEOD BANCSHARES, INC.
MCLEOD BANCSHARES, INC.
MEDALLION BANK
MEDALLION BANK
MEDALLION BANK
MERCANTILE BANK CORPORATION
MERCANTILE BANK CORPORATION
MERCANTILE BANK CORPORATION
MERCANTILE BANK CORPORATION
MERCANTILE CAPITAL CORPORATION
MERCANTILE CAPITAL CORPORATION
MERCHANTS & PLANTERS BANCSHARES, INC.
MERCHANTS & PLANTERS BANCSHARES, INC.
MERCHANTS AND MANUFACTURERS BANK CORPORATION
MERCHANTS AND MANUFACTURERS BANK CORPORATION
MERIDIAN BANK
MERIDIAN BANK
METRO CITY BANK
METRO CITY BANK
METRO CITY BANK
METRO CITY BANK
METROCORP BANCSHARES, INC.
METROCORP BANCSHARES, INC.
METROCORP BANCSHARES, INC.
METROPOLITAN BANK GROUP, INC.
METROPOLITAN BANK GROUP, INC.
METROPOLITAN CAPITAL BANCORP, INC.
METROPOLITAN CAPITAL BANCORP, INC.
MID PENN BANCORP, INC./MID PENN BANK
MID PENN BANCORP, INC./MID PENN BANK
MID PENN BANCORP, INC./MID PENN BANK
MIDDLEBURG FINANCIAL CORPORATION
MIDDLEBURG FINANCIAL CORPORATION
MIDDLEBURG FINANCIAL CORPORATION
MIDLAND STATES BANCORP, INC.
MIDLAND STATES BANCORP, INC.
MIDSOUTH BANCORP, INC.
MIDSOUTH BANCORP, INC.
MIDSOUTH BANCORP, INC.
MIDTOWN BANK & TRUST COMPANY
MIDTOWN BANK & TRUST COMPANY
MIDWEST BANC HOLDINGS, INC.
MIDWEST BANC HOLDINGS, INC.
MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE
MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE
MIDWESTONE FINANCIAL GROUP, INC.
MIDWESTONE FINANCIAL GROUP, INC.
MIDWESTONE FINANCIAL GROUP, INC.
MID-WISCONSIN FINANCIAL SERVICES, INC.
MID-WISCONSIN FINANCIAL SERVICES, INC.
MILLENNIUM BANCORP, INC.
MILLENNIUM BANCORP, INC.
MISSION COMMUNITY BANCORP
MISSION COMMUNITY BANCORP
MISSION VALLEY BANCORP
MISSION VALLEY BANCORP
MONADNOCK BANCORP, INC.
MONADNOCK BANCORP, INC.
MONARCH COMMUNITY BANCORP, INC.
MONARCH COMMUNITY BANCORP, INC.
MONARCH FINANCIAL HOLDINGS, INC.
MONARCH FINANCIAL HOLDINGS, INC.
MONARCH FINANCIAL HOLDINGS, INC.
MONEYTREE CORPORATION
MONEYTREE CORPORATION
MONUMENT BANK
MONUMENT BANK
MORGAN STANLEY
MORGAN STANLEY
MORGAN STANLEY
MORRILL BANCSHARES, INC.
MORRILL BANCSHARES, INC.
MOSCOW BANCSHARES, INC.
MOSCOW BANCSHARES, INC.
MOSCOW BANCSHARES, INC.
MOUNTAIN VALLEY BANCSHARES, INC.
MOUNTAIN VALLEY BANCSHARES, INC.
MOUNTAIN VALLEY BANCSHARES, INC.
MS FINANCIAL, INC.
City
CHICAGO
CHICAGO
CHICAGO
MILWAUKEE
MILWAUKEE
TOWSON
CHICAGO
CHICAGO
CHICAGO
SHOREWOOD
SHOREWOOD
SALT LAKE CITY
SALT LAKE CITY
SALT LAKE CITY
GRAND RAPIDS
GRAND RAPIDS
GRAND RAPIDS
GRAND RAPIDS
BOSTON
BOSTON
TOONE
TOONE
JOLIET
JOLIET
DEVON
DEVON
DORAVILLE
DORAVILLE
DORAVILLE
DORAVILLE
HOUSTON
HOUSTON
HOUSTON
CHICAGO
CHICAGO
CHICAGO
CHICAGO
MILLERSBURG
MILLERSBURG
MILLERSBURG
MIDDLEBURG
MIDDLEBURG
MIDDLEBURG
EFFINGHAM
EFFINGHAM
LAFAYETTE
LAFAYETTE
LAFAYETTE
ATLANTA
ATLANTA
MELROSE PARK
MELROSE PARK
FESTUS
FESTUS
IOWA CITY
IOWA CITY
IOWA CITY
MEDFORD
MEDFORD
EDWARDS
EDWARDS
SAN LUIS OBISPO
SAN LUIS OBISPO
SUN VALLEY
SUN VALLEY
PETERBOROUGH
PETERBOROUGH
COLDWATER
COLDWATER
CHESAPEAKE
CHESAPEAKE
CHESAPEAKE
LENOIR CITY
LENOIR CITY
BETHESDA
BETHESDA
NEW YORK
NEW YORK
NEW YORK
MERRIAM
MERRIAM
MOSCOW
MOSCOW
MOSCOW
CLEVELAND
CLEVELAND
CLEVELAND
KINGWOOD
State
IL
IL
IL
WI
WI
MD
IL
IL
IL
MN
MN
UT
UT
UT
MI
MI
MI
MI
MA
MA
TN
TN
IL
IL
PA
PA
GA
GA
GA
GA
TX
TX
TX
IL
IL
IL
IL
PA
PA
PA
VA
VA
VA
IL
IL
LA
LA
LA
GA
GA
IL
IL
MO
MO
IA
IA
IA
WI
WI
CO
CO
CA
CA
CA
CA
NH
NH
MI
MI
VA
VA
VA
TN
TN
MD
MD
NY
NY
NY
KS
KS
TN
TN
TN
GA
GA
GA
TX
Date
9-Aug-12
10-Aug-12
11-Sep-12
14-Nov-08
5-Jul-11
27-Mar-09
5-Dec-08
14-Mar-12
2-May-12
20-Nov-09
18-Aug-11
27-Feb-09
22-Dec-09
21-Jul-11
15-May-09
4-Apr-12
6-Jun-12
3-Jul-12
6-Feb-09
4-Aug-11
6-Mar-09
7-Sep-11
19-Jun-09
8-Sep-11
13-Feb-09
11-Dec-09
30-Jan-09
29-Oct-12
1-Nov-12
11-Jan-13
16-Jan-09
3-Jul-12
11-Jun-13
26-Jun-09
28-Jun-13
10-Apr-09
20-Nov-09
19-Dec-08
28-Dec-12
23-Jan-13
30-Jan-09
23-Dec-09
18-Nov-11
23-Jan-09
23-Dec-09
9-Jan-09
25-Aug-11
22-Nov-11
27-Feb-09
19-Nov-13
5-Dec-08
14-May-10
13-Feb-09
10-Nov-09
6-Feb-09
6-Jul-11
27-Jul-11
20-Feb-09
26-Apr-13
3-Apr-09
14-Aug-12
9-Jan-09
28-Dec-11
23-Dec-08
20-Aug-10
19-Dec-08
28-Dec-12
6-Feb-09
15-Nov-13
19-Dec-08
23-Dec-09
10-Feb-10
13-Mar-09
15-Sep-11
30-Jan-09
11-Aug-11
28-Oct-08
17-Jun-09
12-Aug-09
16-Jan-09
20-Jul-11
23-Jan-09
25-Apr-12
5-Dec-12
25-Sep-09
22-Jul-13
12-Sep-13
27-Mar-09
Original Investment Type1
Original Investment
Amount
Outstanding
Investment
Total Cash Back2
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
(Fee)4
Shares
Avg. Price
8,198
23,788
$720.20
$720.20
$1,715,000,000.00
1,715,000
$1,000.00
$196,000,000.00
196,000
(Realized Loss) /
(Write-off)
Warrant Proceeds
Amount
Shares
$1,000.00
$1,054,743.77
$252,452.23
1,291
309
$3,250,000.00
13,815,789
$1,518,072.00
$5,904,609.50
$17,133,307.00
($2,293,390.50)
($6,654,693.00)
Gain5
506,024
($255,688.75)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$1,715,000,000.00
$1,700,000.00
$196,000,000.00
$6,000,000.00
$0.00
$1,700,000.00
$0.00
$0.00
$1,944,772,916.66
$313,465.50
$229,613,072.00
$6,870,433.33
Redeemed, in full; warrants not outstanding
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$6,000,000.00
Preferred Stock w/ Exercised Warrants
$3,500,000.00
$0.00
$0.00
$24,460,674.81
21,498
$1,000.00
$645,000.00
645
10,500
10,500
$1,000.00
$1,000.00
616,438
Redeemed, in full; warrants not outstanding
$31,631,120.56
30
$7,465,100.00
$21,000,000.00
$0.00
$300,000.00
$10,500,000.00
$10,500,000.00
Preferred Stock w/ Warrants
$11,800,000.00
$9,698,000.00
$10,000.00
$21,498,000.00
Preferred Stock w/ Exercised Warrants
600
Redeemed, in full; warrants not outstanding
$4,150,815.03
Redeemed, in full; warrants not outstanding
$2,231,560.00
Redeemed, in full; warrants not outstanding
$3,500,000.00
$1,000.00
$94,000.00
94
3,510
$1,000.00
$176,000.00
176
29
7,671
$900.10
$900.10
($2,897.10)
($766,332.90)
$369,948.00
385
45,000
$981.20
($847,350.00)
771,429
$58,479.20
73,099
$301,001.00
104,101
$509,000.00
509
$206,557.00
104,384
$161,833.05
261
$35,000.00
35
$1,000,000.00
198,675
$500,000.00
500
$92,000.00
92
$260,000.00
$4,110,668.47
1,881
$2,087,368.00
Preferred Stock w/ Exercised Warrants
$6,200,000.00
$6,335,000.00
$7,700,000.00
$0.00
175
$26,102.90
$6,904,667.10
Preferred Stock w/ Exercised Warrants
$3,510,000.00
$0.00
$175,000.00
$3,510,000.00
Preferred Stock w/ Exercised Warrants
$1,881,000.00
$1,000.00
$1,881,000.00
Preferred Stock w/ Exercised Warrants
3,500
132,353
Redeemed, in full; warrants not outstanding
$12,535,000.00
$2,851,025.61
Full investment outstanding; warrants outstanding
$0.00
$8,806,297.80
Sold, in full; warrants not outstanding
($69,307.70)
Preferred Stock w/ Warrants
$45,000,000.00
$0.00
$53,406,628.25
Sold, in full; warrants not outstanding
$44,152,650.00
Preferred Stock w/ Exercised Warrants
$71,526,000.00
$0.00
$27,172,726.72
($662,289.75)
Sold, in full; warrants not outstanding
$23,718,541.95
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$2,040,000.00
$2,348,000.00
$10,000,000.00
$22,000,000.00
$4,388,000.00
$979,089.44
$12,070,979.20
10,000
($47,807,458.06)
$1,000.00
Full investment outstanding; warrants outstanding
$0.00
$331.60
$10,000,000.00
Preferred Stock w/ Warrants
71,526
Redeemed, in full; warrants not outstanding
$0.00
$23,287,945.11
Redeemed, in full; warrants not outstanding
$22,000,000.00
Preferred Stock w/ Exercised Warrants
$10,189,000.00
$0.00
$11,206,989.34
$20,000,000.00
$0.00
$22,834,334.78
$1,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
22,000
Redeemed, in full; warrants not outstanding
$10,189,000.00
$5,222,000.00
$0.00
$3,570,137.55
20,000
$1,000.00
Sold, in full; warrants not outstanding
$824,288.89
$1,000.00
$20,000,000.00
Preferred Stock w/ Exercised Warrants
10,189
Currently not collectible
$3,133,200.00
Preferred Stock w/ Warrants
$84,784,000.00
$0.00
5,222
$600.00
($2,088,800.00)
($84,784,000.00)
Preferred Stock w/ Exercised Warrants
$700,000.00
$0.00
$763,294.14
Redeemed, in full; warrants not outstanding
$700,000.00
Preferred Stock w/ Exercised Warrants
$16,000,000.00
$10,000,000.00
$0.00
$0.00
$18,933,333.33
$12,844,226.31
$1,000.00
$16,000,000.00
Preferred Stock w/ Warrants
700
16,000
$1,000.00
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$10,000,000.00
5,116
$1,000.00
5,500
$1,000.00
$1,834,000.00
1,834
$1,000.00
$4,545,202.00
2,272,601
$2.00
$14,700,000.00
$4,296,561.73
$400.00
$5,500,000.00
$0.00
7,260
$5,116,000.00
$7,260,000.00
$1,000.00
$2,904,000.00
Preferred Stock w/ Exercised Warrants
10,000
14,700
$1,000.00
Sold, in full; warrants not outstanding
Preferred Stock
$5,116,000.00
$0.00
$5,875,583.89
Redeemed, in full; warrants not outstanding
Preferred Stock
$5,500,000.00
$0.00
$5,956,041.66
($4,356,000.00)
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,834,000.00
$0.00
$2,339,348.60
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$6,785,000.00
$0.00
$4,808,121.00
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$14,700,000.00
$0.00
$15,703,166.66
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$9,516,000.00
$0.00
$11,291,481.00
Redeemed, in full; warrants not outstanding
$5,623,958.50
($2,239,798.00)
Redeemed, in full; warrants not outstanding
$9,516,000.00
$0.00
$11,268,055,555.11
476
4,734
$1,000.00
$237,000.00
237
10,000,000
$1,000.00
$950,000,000.00
$10,000,000,000.00
$0.00
$476,000.00
$10,000,000,000.00
Preferred Stock w/ Warrants
$4,734,000.00
$1,000.00
$4,734,000.00
Preferred Stock w/ Exercised Warrants
9,516
65,245,759
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$13,000,000.00
$0.00
$15,429,122.22
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,216,000.00
$0.00
$7,803,377.38
Redeemed, in full; warrants not outstanding
$13,000,000.00
$0.00
$4,069,975.55
$650,000.00
650
1,100
5,116
$1,000.00
$1,000.00
$311,000.00
311
$3,267,000.00
$3,300,000.00
$1,000.00
$1,100,000.00
$5,116,000.00
Preferred Stock w/ Exercised Warrants
13,000
3,300
$990.00
$140,034.65
165
Sold, in full; warrants not outstanding
($25,000.00)
Preferred Stock w/ Exercised Warrants
$7,723,000.00
$0.00
$9,206,289.90
Redeemed, in full; warrants not outstanding
($33,000.00)
FootNote
45
8
59,11
8,14
11,16
15,11,14
8,42
8
15,11,14
44
11,8,14
44,8,14
11
11
8,11,14,18
11
44,8,14
8,14
11,8,14
45
12,16
8
11
11
8,14
8,51,97
8,9
Institution Name
City
State
Date
MS FINANCIAL, INC.
MUTUALFIRST FINANCIAL, INC.
MUTUALFIRST FINANCIAL, INC.
MUTUALFIRST FINANCIAL, INC.
NAPLES BANCORP, INC.
NAPLES BANCORP, INC.
NARA BANCORP, INC.
NARA BANCORP, INC.
NARA BANCORP, INC.
NATIONAL BANCSHARES, INC.
NATIONAL BANCSHARES, INC.
NATIONAL BANCSHARES, INC.
NATIONAL BANCSHARES, INC.
NATIONAL PENN BANCSHARES, INC.
NATIONAL PENN BANCSHARES, INC.
NATIONAL PENN BANCSHARES, INC.
NATIONWIDE BANKSHARES, INC.
NATIONWIDE BANKSHARES, INC.
NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC.
NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC.
NCAL BANCORP
NEMO BANCSHARES, INC.
NEMO BANCSHARES, INC.
NEW HAMPSHIRE THRIFT BANCSHARES, INC.
NEW HAMPSHIRE THRIFT BANCSHARES, INC.
NEW HAMPSHIRE THRIFT BANCSHARES, INC.
NEW YORK PRIVATE BANK & TRUST CORPORATION
NEW YORK PRIVATE BANK & TRUST CORPORATION
NEWBRIDGE BANCORP
NEWBRIDGE BANCORP
NEWBRIDGE BANCORP
NEWBRIDGE BANCORP
NEWBRIDGE BANCORP
NICOLET BANKSHARES, INC.
NICOLET BANKSHARES, INC.
NORTH CENTRAL BANCSHARES, INC.
NORTH CENTRAL BANCSHARES, INC.
NORTH CENTRAL BANCSHARES, INC.
NORTHEAST BANCORP
NORTHEAST BANCORP
NORTHEAST BANCORP
NORTHERN STATE BANK
NORTHERN STATE BANK
NORTHERN STATE BANK
NORTHERN STATES FINANCIAL CORPORATION
NORTHERN TRUST CORPORATION
NORTHERN TRUST CORPORATION
NORTHERN TRUST CORPORATION
NORTHWAY FINANCIAL, INC.
NORTHWAY FINANCIAL, INC.
NORTHWEST BANCORPORATION, INC.
NORTHWEST BANCORPORATION, INC.
NORTHWEST BANCORPORATION, INC.
NORTHWEST BANCORPORATION, INC.
NORTHWEST COMMERCIAL BANK
NORTHWEST COMMERCIAL BANK
OAK RIDGE FINANCIAL SERVICES, INC.
OAK RIDGE FINANCIAL SERVICES, INC.
OAK RIDGE FINANCIAL SERVICES, INC.
OAK RIDGE FINANCIAL SERVICES, INC.
OAK VALLEY BANCORP
OAK VALLEY BANCORP
OAK VALLEY BANCORP
OCEANFIRST FINANCIAL CORP.
OCEANFIRST FINANCIAL CORP.
OCEANFIRST FINANCIAL CORP.
OJAI COMMUNITY BANK
OJAI COMMUNITY BANK
OLD LINE BANCSHARES, INC.
OLD LINE BANCSHARES, INC.
OLD LINE BANCSHARES, INC.
OLD NATIONAL BANCORP
OLD NATIONAL BANCORP
OLD NATIONAL BANCORP
OLD SECOND BANCORP, INC.
OLD SECOND BANCORP, INC.
OLD SECOND BANCORP, INC.
OLD SECOND BANCORP, INC.
OLD SECOND BANCORP, INC.
OLD SECOND BANCORP, INC.
OMEGA CAPITAL CORP.
OMEGA CAPITAL CORP.
OMEGA CAPITAL CORP.
OMEGA CAPITAL CORP.
ONE GEORGIA BANK
ONE GEORGIA BANK
KINGWOOD
MUNCIE
MUNCIE
MUNCIE
NAPLES
NAPLES
LOS ANGELES
LOS ANGELES
LOS ANGELES
BETTENDORF
BETTENDORF
BETTENDORF
BETTENDORF
BOYERTOWN
BOYERTOWN
BOYERTOWN
WEST POINT
WEST POINT
CHICAGO
CHICAGO
LOS ANGELES
MADISON
MADISON
NEWPORT
NEWPORT
NEWPORT
NEW YORK
NEW YORK
GREENSBORO
GREENSBORO
GREENSBORO
GREENSBORO
GREENSBORO
GREEN BAY
GREEN BAY
FORT DODGE
FORT DODGE
FORT DODGE
LEWISTON
LEWISTON
LEWISTON
CLOSTER
CLOSTER
CLOSTER
WAUKEGAN
CHICAGO
CHICAGO
CHICAGO
BERLIN
BERLIN
SPOKANE
SPOKANE
SPOKANE
SPOKANE
LAKEWOOD
LAKEWOOD
OAK RIDGE
OAK RIDGE
OAK RIDGE
OAK RIDGE
OAKDALE
OAKDALE
OAKDALE
TOMS RIVER
TOMS RIVER
TOMS RIVER
OJAI
OJAI
BOWIE
BOWIE
BOWIE
EVANSVILLE
EVANSVILLE
EVANSVILLE
AURORA
AURORA
AURORA
AURORA
AURORA
AURORA
LAKEWOOD
LAKEWOOD
LAKEWOOD
LAKEWOOD
ATLANTA
ATLANTA
TX
IN
IN
IN
FL
FL
CA
CA
CA
IA
IA
IA
IA
PA
PA
PA
NE
NE
IL
IL
CA
MO
MO
NH
NH
NH
NY
NY
NC
NC
NC
NC
NC
WI
WI
IA
IA
IA
ME
ME
ME
NJ
NJ
NJ
IL
IL
IL
IL
NH
NH
WA
WA
WA
WA
WA
WA
NC
NC
NC
NC
CA
CA
CA
NJ
NJ
NJ
CA
CA
MD
MD
MD
IN
IN
IN
IL
IL
IL
IL
IL
IL
CO
CO
CO
CO
GA
GA
19-Oct-11
23-Dec-08
25-Aug-11
28-Sep-11
27-Mar-09
12-Jul-12
21-Nov-08
27-Jun-12
8-Aug-12
27-Feb-09
19-Feb-13
20-Feb-13
26-Mar-13
12-Dec-08
16-Mar-11
13-Apr-11
11-Dec-09
29-Dec-10
26-Jun-09
28-Jun-13
19-Dec-08
19-Jun-09
24-Apr-13
16-Jan-09
25-Aug-11
15-Feb-12
9-Jan-09
24-Jul-13
12-Dec-08
26-Apr-13
29-Apr-13
15-May-13
31-May-13
23-Dec-08
1-Sep-11
9-Jan-09
14-Dec-11
11-Jan-12
12-Dec-08
28-Nov-12
28-Dec-12
15-May-09
18-Dec-09
28-Mar-12
20-Feb-09
14-Nov-08
17-Jun-09
26-Aug-09
30-Jan-09
15-Sep-11
13-Feb-09
8-Mar-13
11-Mar-13
9-Apr-13
13-Feb-09
9-Jan-13
30-Jan-09
31-Oct-12
11-Jan-13
6-Feb-13
5-Dec-08
11-Aug-11
28-Sep-11
16-Jan-09
30-Dec-09
3-Feb-10
30-Jan-09
25-Sep-13
5-Dec-08
15-Jul-09
2-Sep-09
12-Dec-08
31-Mar-09
8-May-09
16-Jan-09
11-Mar-13
26-Mar-13
27-Mar-13
9-Apr-13
11-Jun-13
17-Apr-09
19-Jul-13
22-Jul-13
12-Sep-13
8-May-09
15-Jul-11
ONE UNITED BANK
BOSTON
MA
19-Dec-08
Original Investment Type1
Original Investment
Amount
Outstanding
Investment
Investment Status*
Total Cash Back2
Capital Repayment / Disposition / Auction3,5
Amount
(Fee)4
Shares
Avg. Price
$7,723,000.00
Warrant Proceeds
Amount
Shares
$1,000.00
117,000
184,275
$13,364,000.00
13,364
2,567,255
$748,000.00
748
99,157
67,958
$67,000.00
67
3,824,624
$500,000.00
500
$587,634.55
525
$100,000.00
100
$122,887.50
163,830
$560,000.00
350,346
$430,797.00
190,427
$104,000.00
104
$225,000.00
141,892
$1,200,000.00
813,008
$106,891.00
$21,471,087.90
$117,000.00
$87,000,000.00
$0.00
100,000
$95,000.00
$24,664,000.00
$81,249,317.20
$100,000.00
$600,000.00
Preferred Stock w/ Exercised Warrants
$0.00
735,294
815,339
$159,886.25
141
Sold, in full; warrants not outstanding
4,000
$150.00
$67,000,000.00
$67,000,000.00
500
733
Redeemed, in full; warrants not outstanding
$600,000.00
Preferred Stock w/ Warrants
$342,841.95
$502,606.30
$7,778,782.65
$956,066.67
521,266
$737,100.00
$0.00
625,135
$1,000,000.00
$4,000,000.00
$37,608,789.00
386
$2,189,317.20
Preferred Stock w/ Exercised Warrants
$0.00
$386,000.00
$900,194.00
$32,382,000.00
32,382
Gain5
$1,000.00
$32,382,000.00
Preferred Stock w/ Warrants
7,723
(Realized Loss) /
(Write-off)
67,000
($3,400,000.00)
$1,000.00
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$2,438,182.50
$16,064,996.94
3,250
21,414
$750.20
$750.20
150,000
($811,817.50)
($5,349,003.06)
$1,000.00
($185,031.79)
Preferred Stock w/ Warrants
$150,000,000.00
$0.00
$167,958,333.33
Redeemed, in full; warrants not outstanding
$150,000,000.00
Subordinated Debentures w/ Exercised Warrants
$2,000,000.00
$0.00
$2,276,190.00
Redeemed, in full; warrants not outstanding
$2,000,000.00
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$267,274,000.00
$10,000,000.00
$0.00
$0.00
$0.00
$2,613,714.23
2,330,000
$1.00
10,000
$1,000.00
Sold, in full; warrants not outstanding
$1,311,027.78
$3,199,347.39
$331.60
$10,000,000.00
Preferred Stock w/ Warrants
$10,000,000.00
$2,330,000.00
$0.00
6,880
$2,330,000.00
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants
$6,880,000.00
$1.00
$2,281,458.05
Preferred Stock w/ Warrants
2,000,000
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$12,041,266.67
$346,794,005.83
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$267,274,000.00
$52,372,000.00
$0.00
$70,087,060.35
267,274
$1,000.00
$2,709,121.50
$48,641,624.50
Preferred Stock w/ Warrants
($4,598,541.95)
2,763
49,609
$980.50
$980.50
Sold, in full; warrants not outstanding
($53,878.50)
($967,375.50)
($513,507.46)
Preferred Stock w/ Exercised Warrants
$14,964,000.00
$0.00
$17,904,842.66
Redeemed, in full; warrants not outstanding
$14,964,000.00
Preferred Stock w/ Warrants
$10,200,000.00
$4,227,000.00
$0.00
$0.00
$12,294,583.33
$5,159,181.33
$1,000.00
$10,200,000.00
Preferred Stock w/ Warrants
14,964
10,200
$1,000.00
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$4,227,000.00
Preferred Stock w/ Warrants
$1,341,000.00
$1,230,000.00
$0.00
$2,987,782.33
$1,000.00
Redeemed, in full; warrants not outstanding
$418,322.50
$1,709,623,333.35
4,227
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$2,571,000.00
Preferred Stock w/ Exercised Warrants
$17,211,000.00
$1,576,000,000.00
$10,000,000.00
$17,211,000.00
$0.00
$0.00
$11,930,624.67
1,576,000
$1,000.00
Redeemed, in full; warrants not outstanding
$11,891,847.50
$1,000.00
$1,576,000,000.00
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
2,571
Sold, in full; warrants not outstanding
$10,000,000.00
$1,032.10
$1,032.10
1,992
$1,000.00
$7,095,550.00
$0.00
2,000
8,500
$1,992,000.00
$10,500,000.00
$1,000.00
$2,000,000.00
$8,500,000.00
Preferred Stock w/ Exercised Warrants
10,000
7,700
$921.50
$64,220.00
$272,935.00
($108,371.55)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$1,992,000.00
$7,700,000.00
$0.00
$0.00
$2,380,393.00
Redeemed, in full; warrants not outstanding
$8,592,336.00
Sold, in full; warrants not outstanding
($604,450.00)
($70,955.50)
Preferred Stock w/ Warrants
$13,500,000.00
$0.00
$15,871,250.00
Redeemed, in full; warrants not outstanding
$13,500,000.00
Preferred Stock w/ Warrants
$38,263,000.00
$0.00
$40,521,918.61
13,500
Redeemed, in full; warrants not outstanding
$38,263,000.00
Preferred Stock w/ Exercised Warrants
$2,080,000.00
$0.00
$1,000.00
$2,654,758.89
$1,000.00
Redeemed, in full; warrants not outstanding
$7,438,888.89
38,263
Redeemed, in full; warrants not outstanding
$2,080,000.00
Preferred Stock w/ Warrants
$7,000,000.00
$100,000,000.00
$0.00
$0.00
$102,713,888.89
$1,000.00
$7,000,000.00
Preferred Stock w/ Warrants
2,080
7,000
$1,000.00
Redeemed, in full; warrants not outstanding
$100,000,000.00
Preferred Stock w/ Warrants
$73,000,000.00
$0.00
$31,423,238.49
100,000
$1,000.00
Sold, in full; warrants not outstanding
$24,684,870.00
$452,424.00
$668,079.44
70,028
1,200
1,772
$352.50
$377.00
$377.00
($45,343,130.00)
($747,576.00)
($1,103,920.56)
($258,053.73)
Preferred Stock w/ Exercised Warrants
$2,816,000.00
$0.00
$3,403,603.15
Sold, in full; warrants not outstanding
$1,239,000.00
$1,577,000.00
1,239
1,577
$1,142.90
$1,142.90
$177,053.10
$225,353.30
($25,000.00)
Preferred Stock w/ Exercised Warrants
$5,500,000.00
$0.00
$0.00
Currently not collectible
($5,500,000.00)
Preferred Stock
$12,063,000.00
$12,063,000.00
$93,823.33
Full investment outstanding; warrants not outstanding
FootNote
15,17
8
15,11,14
35,11
8
45,8,14
8,26
8
85
8,14
11
60
8,21,11
8
44
8,14
8
8,11,14
11
44,8,14
11
56,8,14
8,14
8,14
8
8,17,45
11,9,36
8,46,97
8,69
11
44,8,14
15,17
Institution Name
ONEFINANCIAL CORPORATION
OREGON BANCORP, INC.
OREGON BANCORP, INC.
OREGON BANCORP, INC.
OSB FINANCIAL SERVICES, INC.
OSB FINANCIAL SERVICES, INC.
PACIFIC CAPITAL BANCORP
PACIFIC CAPITAL BANCORP
PACIFIC CAPITAL BANCORP
PACIFIC CITY FINANCIAL CORPORATION
PACIFIC CITY FINANCIAL CORPORATION
PACIFIC COAST BANKERS' BANCSHARES
PACIFIC COAST BANKERS' BANCSHARES
PACIFIC COAST NATIONAL BANCORP
PACIFIC COAST NATIONAL BANCORP
PACIFIC COMMERCE BANK
PACIFIC INTERNATIONAL BANCORP
PACIFIC INTERNATIONAL BANCORP
PARK BANCORPORATION, INC.
PARK BANCORPORATION, INC.
PARK BANCORPORATION, INC.
PARK BANCORPORATION, INC.
PARK BANCORPORATION, INC.
PARK NATIONAL CORPORATION
PARK NATIONAL CORPORATION
PARK NATIONAL CORPORATION
PARKE BANCORP, INC.
PARKE BANCORP, INC.
PARKE BANCORP, INC.
PARKE BANCORP, INC.
PARKE BANCORP, INC.
PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION
PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION
PASCACK BANCORP, INC.
PASCACK BANCORP, INC.
PATAPSCO BANCORP, INC.
PATHFINDER BANCORP, INC.
PATHFINDER BANCORP, INC.
PATHFINDER BANCORP, INC.
PATHWAY BANCORP
PATHWAY BANCORP
PATHWAY BANCORP
PATRIOT BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PEAPACK-GLADSTONE FINANCIAL CORPORATION
PEAPACK-GLADSTONE FINANCIAL CORPORATION
PEAPACK-GLADSTONE FINANCIAL CORPORATION
PEAPACK-GLADSTONE FINANCIAL CORPORATION
PEAPACK-GLADSTONE FINANCIAL CORPORATION
PENN LIBERTY FINANCIAL CORP.
PENN LIBERTY FINANCIAL CORP.
PEOPLES BANCORP (OH)
PEOPLES BANCORP (OH)
PEOPLES BANCORP (OH)
PEOPLES BANCORP (OH)
PEOPLES BANCORP (WA)
PEOPLES BANCORP (WA)
PEOPLES BANCORP OF NORTH CAROLINA, INC.
PEOPLES BANCORP OF NORTH CAROLINA, INC.
PEOPLES BANCORP OF NORTH CAROLINA, INC.
PEOPLES BANCORPORATION, INC.
PEOPLES BANCORPORATION, INC.
PEOPLES BANCSHARES OF TN, INC.
PEOPLES BANCSHARES OF TN, INC.
PEOPLES BANCSHARES OF TN, INC.
PEOPLESSOUTH BANCSHARES, INC.
PEOPLESSOUTH BANCSHARES, INC.
PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK
PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK
PGB HOLDINGS, INC.
PGB HOLDINGS, INC.
PIERCE COUNTY BANCORP
PIERCE COUNTY BANCORP
PINNACLE BANK HOLDING COMPANY, INC.
PINNACLE FINANCIAL PARTNERS, INC.
PINNACLE FINANCIAL PARTNERS, INC.
PINNACLE FINANCIAL PARTNERS, INC.
PINNACLE FINANCIAL PARTNERS, INC.
PLAINS CAPITAL CORPORATION
PLAINS CAPITAL CORPORATION
PLATO HOLDINGS INC.
PLATO HOLDINGS INC.
PLATO HOLDINGS INC.
City
LITTLE ROCK
SALEM
SALEM
SALEM
ORANGE
ORANGE
SANTA BARBARA
SANTA BARBARA
SANTA BARBARA
LOS ANGELES
LOS ANGELES
SAN FRANCISCO
SAN FRANCISCO
SAN CLEMENTE
SAN CLEMENTE
LOS ANGELES
SEATTLE
SEATTLE
MADISON
MADISON
MADISON
MADISON
MADISON
NEWARK
NEWARK
NEWARK
SEWELL
SEWELL
SEWELL
SEWELL
SEWELL
MONROEVILLE
MONROEVILLE
WESTWOOD
WESTWOOD
DUNDALK
OSWEGO
OSWEGO
OSWEGO
CAIRO
CAIRO
CAIRO
HOUSTON
PATTERSON
PATTERSON
PATTERSON
PATTERSON
PATTERSON
PATTERSON
GLADSTONE
GLADSTONE
GLADSTONE
GLADSTONE
GLADSTONE
WAYNE
WAYNE
MARIETTA
MARIETTA
MARIETTA
MARIETTA
LYNDEN
LYNDEN
NEWTON
NEWTON
NEWTON
EASLEY
EASLEY
MADISONVILLE
MADISONVILLE
MADISONVILLE
COLQUITT
COLQUITT
PIGEON FALLS
PIGEON FALLS
CHICAGO
CHICAGO
TACOMA
TACOMA
ORANGE CITY
NASHVILLE
NASHVILLE
NASHVILLE
NASHVILLE
DALLAS
DALLAS
SAINT PAUL
SAINT PAUL
SAINT PAUL
State
AR
OR
OR
OR
TX
TX
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
WA
WA
WI
WI
WI
WI
WI
OH
OH
OH
NJ
NJ
NJ
NJ
NJ
PA
PA
NJ
NJ
MD
NY
NY
NY
NE
NE
NE
TX
LA
LA
LA
LA
LA
LA
NJ
NJ
NJ
NJ
NJ
PA
PA
OH
OH
OH
OH
WA
WA
NC
NC
NC
SC
SC
TN
TN
TN
GA
GA
WI
WI
IL
IL
WA
WA
FL
TN
TN
TN
TN
TX
TX
MN
MN
MN
Date
5-Jun-09
24-Apr-09
18-Oct-13
21-Oct-13
1-May-09
5-Oct-11
21-Nov-08
23-Feb-11
30-Nov-12
19-Dec-08
19-Nov-13
23-Dec-08
28-Jul-11
16-Jan-09
11-Feb-10
23-Dec-08
12-Dec-08
15-Feb-13
6-Mar-09
7-Aug-12
9-Aug-12
10-Aug-12
11-Sep-12
23-Dec-08
25-Apr-12
2-May-12
30-Jan-09
28-Nov-12
29-Nov-12
11-Jan-13
12-Jun-13
23-Dec-08
3-Jan-12
6-Feb-09
19-Oct-11
19-Dec-08
11-Sep-09
1-Sep-11
1-Feb-12
27-Mar-09
24-Jun-13
26-Jul-13
19-Dec-08
17-Apr-09
7-Mar-12
22-Aug-12
5-Dec-12
8-May-13
5-Jun-13
9-Jan-09
6-Jan-10
2-Mar-11
11-Jan-12
4-Apr-12
17-Apr-09
1-Sep-11
30-Jan-09
2-Feb-11
28-Dec-11
15-Feb-12
13-Feb-09
3-Aug-11
23-Dec-08
3-Jul-12
8-Aug-12
24-Apr-09
24-Apr-12
20-Mar-09
31-Oct-12
11-Jan-13
6-Mar-09
18-Sep-13
11-Sep-09
25-Aug-11
6-Feb-09
13-Aug-10
23-Jan-09
5-Nov-10
6-Mar-09
12-Dec-08
28-Dec-11
20-Jun-12
18-Jul-12
19-Dec-08
27-Sep-11
17-Jul-09
26-Apr-13
29-Apr-13
Original Investment Type1
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Original Investment
Amount
$17,300,000.00
$3,216,000.00
Outstanding
Investment
Total Cash Back2
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
$17,300,000.00
$0.00
$3,782,990.59
$4,166,801.92
(Fee)4
Shares
Avg. Price
(Realized Loss) /
(Write-off)
Gain5
Warrant Proceeds
Amount
Shares
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
$100,000.00
$3,116,000.00
305,000
1
3,608,332
$29.50
$46.00
$393,120.78
15,120
16,200
$1,215.20
$1,168,319.70
810
11,600
$1,000.00
$580,000.00
580
$88,059.01
$482,779.69
$325,200.40
114
625
421
227,376
438,906
$188,000.00
188
$537,633.00
154,354
$226,565.00
186
$185,000.00
185
$110,000.00
150,296
$498,000.00
498
$1,200,724.15
313,505
$900,000.00
900
$425,000.00
$13,821,963.89
$305,000.00
$1,650,288.00
$0.00
$21,212,138.70
$1.00
$2,842,400.00
$11,600,000.00
$0.00
$168,483,804.20
6,100,000
$11,600,000.00
Preferred Stock w/ Exercised Warrants
$16,200,000.00
$0.00
$7,662,314.53
11
150
$16,200,000.00
Preferred Stock w/ Exercised Warrants
$180,634,000.00
$0.00
$11,167.20
$152,280.00
$14.75
$165,983,272.00
Preferred Stock w/ Warrants
$6,100,000.00
$1,000.00
$1,000.00
$6,100,000.00
Subordinated Debentures w/ Exercised Warrants
100
3,116
357,234
$633,000.00
633
$122,225.00
195
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($10.28)
($14,650,702.97)
Sold, in full; warrants not outstanding
$3,485,754.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,120,000.00
$0.00
$18,087.94
Exited bankruptcy/receivership
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$4,060,000.00
$6,500,000.00
$4,060,000.00
$0.00
$387,222.50
$7,937,744.97
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants outstanding
($4,120,000.00)
$6,500,000.00
$23,200,000.00
$0.00
$22,020,064.10
$1,000.00
$1,676,654.00
$4,048,506.00
$11,216,640.00
Preferred Stock w/ Exercised Warrants
6,500
2,296
5,544
15,360
$730.20
$730.20
$730.20
100,000
$1,000.00
Sold, in full; warrants not outstanding
($619,346.00)
($1,495,494.00)
($4,143,360.00)
($169,418.00)
Preferred Stock w/ Warrants
$100,000,000.00
$0.00
$119,536,844.44
Redeemed, in full; warrants not outstanding
$100,000,000.00
Preferred Stock w/ Warrants
$16,288,000.00
$0.00
$16,365,554.76
Sold, in full; warrants not outstanding
$394,072.28
$11,318,791.40
548
15,740
$719.10
$719.10
($153,927.72)
($4,421,208.60)
($117,128.64)
Preferred Stock w/ Warrants
$31,762,000.00
$0.00
$36,570,413.89
Redeemed, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$3,756,000.00
$0.00
$4,497,312.67
Redeemed, in full; warrants not outstanding
$31,762,000.00
Preferred Stock w/ Exercised Warrants
$3,727,000.00
$6,000,000.00
$0.00
$0.00
$377,866.67
$7,976,328.84
$4,628,862.77
3,756
$1,000.00
$6,771,000.00
$6,000,000.00
$6,771,000.00
$1,000.00
$3,756,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
31,762
6,771
$1,000.00
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$3,727,000.00
3,727
$1,167.00
$250,000.00
$250,000.00
$250,000.00
$500,000.00
$2,440,000.00
250
250
250
500
2,440
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$7,172,000.00
$7,172,000.00
$14,341,000.00
7,172
7,172
14,341
$622,446.27
$1,000.00
$1,000.00
$1,000.00
($25,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$26,038,000.00
$3,690,000.00
$28,685,000.00
$9,960,000.00
$26,038,000.00
$0.00
$0.00
$0.00
$2,704,135.78
$4,692,022.77
$32,075,739.67
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$11,745,689.33
Redeemed, in full; warrants not outstanding
$44,926,557.48
Redeemed, in full; warrants not outstanding
$9,960,000.00
Preferred Stock w/ Exercised Warrants
$39,000,000.00
$18,000,000.00
$0.00
$0.00
$21,325,250.00
21,000
18,000
$1,000.00
$1,000.00
Redeemed, in full; warrants not outstanding
$27,877,966.16
$1,000.00
$21,000,000.00
$18,000,000.00
Preferred Stock w/ Warrants
9,960
Sold, in full; warrants not outstanding
$18,000,000.00
Preferred Stock w/ Warrants
$25,054,000.00
$0.00
$23,384,401.44
Preferred Stock w/ Exercised Warrants
$12,660,000.00
$0.00
$15,362,909.75
18,000
($350,766.02)
$1,000.00
25,054
$933.40
($1,669,598.56)
Redeemed, in full; warrants not outstanding
$12,660,000.00
12,325
$1,000.00
$616,000.00
616
1,500
$1,000.00
$71,000.00
71
3,000
$1,000.00
$755,000.00
$3,809,874.42
$755.00
$3,000,000.00
$0.00
3,900
$1,500,000.00
$3,900,000.00
$1,000.00
$12,325,000.00
Preferred Stock w/ Exercised Warrants
12,660
267,455
$4,382,000.00
4,382
$90,582.47
107,000
Sold, in full; warrants not outstanding
$2,944,500.00
($955,500.00)
($25,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
$12,325,000.00
$1,500,000.00
$3,000,000.00
$6,800,000.00
$0.00
$0.00
$0.00
$0.00
$15,985,994.66
Redeemed, in full; warrants not outstanding
$1,730,162.66
Redeemed, in full; warrants not outstanding
$3,227,916.67
Redeemed, in full; warrants not outstanding
$207,947.78
Currently not collectible
($6,800,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$4,389,000.00
$95,000,000.00
$4,389,000.00
$0.00
$284,999.00
$111,918,194.45
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$23,750,000.00
$71,250,000.00
Preferred Stock w/ Exercised Warrants
$87,631,000.00
$0.00
$105,252,939.77
23,750
71,250
$1,000.00
$1,000.00
Redeemed, in full; warrants not outstanding
$87,631,000.00
Subordinated Debentures w/ Exercised Warrants
$2,500,000.00
$0.00
$3,103,618.40
87,631
$1,000.00
$120,000.00
$2,380,000.00
120,000
2,380,000
$1.00
$1.00
Sold, in full; warrants not outstanding
$180.00
$3,570.00
FootNote
20
8
9,15,36
8,22,97
15,14
8
80
8,17
75,97
8,18
12
8,17,44
88
11,8,14
44,8,14
44
8
8,17
44,8,14
44,8,14
8
44,8,14
8,17,62
8,14
11
8
8,14
8
15,11,14
15
8,95,97
11
Institution Name
PLATO HOLDINGS INC.
PLUMAS BANCORP
PLUMAS BANCORP
PLUMAS BANCORP
PLUMAS BANCORP
POPULAR, INC.
PORTER BANCORP, INC.(PBI) LOUISVILLE, KY
PRAIRIE STAR BANCSHARES, INC.
PREMIER BANCORP, INC.
PREMIER BANCORP, INC.
PREMIER BANK HOLDING COMPANY
PREMIER BANK HOLDING COMPANY
PREMIER FINANCIAL BANCORP, INC.
PREMIER FINANCIAL BANCORP, INC.
PREMIER FINANCIAL BANCORP, INC.
PREMIER FINANCIAL BANCORP, INC.
PREMIER FINANCIAL BANCORP, INC.
PREMIER FINANCIAL CORP.
PREMIER FINANCIAL CORP.
PREMIER FINANCIAL CORP.
PREMIER SERVICE BANK
PREMIERWEST BANCORP
PREMIERWEST BANCORP
PRESIDIO BANK
PRESIDIO BANK
PRESIDIO BANK
PRESIDIO BANK
PRINCETON NATIONAL BANCORP, INC.
PRINCETON NATIONAL BANCORP, INC.
PRIVATE BANCORPORATION, INC.
PRIVATE BANCORPORATION, INC.
PRIVATEBANCORP, INC.
PRIVATEBANCORP, INC.
PRIVATEBANCORP, INC.
PROVIDENCE BANK
PROVIDENCE BANK
PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION
PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION
PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION
PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION
PROVIDENT COMMUNITY BANCSHARES, INC.
PSB FINANCIAL CORPORATION
PSB FINANCIAL CORPORATION
PUGET SOUND BANK
PUGET SOUND BANK
PULASKI FINANCIAL CORP.
PULASKI FINANCIAL CORP.
PULASKI FINANCIAL CORP.
QCR HOLDINGS, INC.
QCR HOLDINGS, INC.
QCR HOLDINGS, INC.
RANDOLPH BANK & TRUST COMPANY
RANDOLPH BANK & TRUST COMPANY
RCB FINANCIAL CORPORATION
RCB FINANCIAL CORPORATION
RCB FINANCIAL CORPORATION
REDWOOD CAPITAL BANCORP
REDWOOD CAPITAL BANCORP
REDWOOD FINANCIAL, INC.
REDWOOD FINANCIAL, INC.
REGENT BANCORP, INC.
REGENT CAPITAL CORPORATION, INC. / REGENT BANK
REGENT CAPITAL CORPORATION, INC. / REGENT BANK
REGENTS BANCSHARES, INC.
REGENTS BANCSHARES, INC.
REGIONAL BANKSHARES, INC.
REGIONAL BANKSHARES, INC.
REGIONAL BANKSHARES, INC.
REGIONAL BANKSHARES, INC.
REGIONAL BANKSHARES, INC.
REGIONS FINANCIAL CORPORATION
REGIONS FINANCIAL CORPORATION
REGIONS FINANCIAL CORPORATION
RELIANCE BANCSHARES, INC.
RELIANCE BANCSHARES, INC.
RELIANCE BANCSHARES, INC.
RIDGESTONE FINANCIAL SERVICES, INC.
RIDGESTONE FINANCIAL SERVICES, INC.
RIDGESTONE FINANCIAL SERVICES, INC.
RISING SUN BANCORP
RIVER VALLEY BANCORPORATION, INC.
RIVER VALLEY BANCORPORATION, INC.
RIVER VALLEY BANCORPORATION, INC.
RIVERSIDE BANCSHARES, INC.
ROGERS BANCSHARES, INC.
ROGERS BANCSHARES, INC.
ROYAL BANCSHARES OF PENNSYLVANIA, INC.
S&T BANCORP, INC.
City
SAINT PAUL
QUINCY
QUINCY
QUINCY
QUINCY
SAN JUAN
LOUISVILLE
OLATHE
WILMETTE
WILMETTE
TALLAHASSEE
TALLAHASSEE
HUNTINGTON
HUNTINGTON
HUNTINGTON
HUNTINGTON
HUNTINGTON
DUBUQUE
DUBUQUE
DUBUQUE
RIVERSIDE
MEDFORD
MEDFORD
SAN FRANCISCO
SAN FRANCISCO
SAN FRANCISCO
SAN FRANCISCO
PRINCETON
PRINCETON
MINNEAPOLIS
MINNEAPOLIS
CHICAGO
CHICAGO
CHICAGO
ROCKY MOUNT
ROCKY MOUNT
BALTIMORE
BALTIMORE
BALTIMORE
BALTIMORE
ROCK HILL
MANY
MANY
BELLEVUE
BELLEVUE
CREVE COEUR
CREVE COEUR
CREVE COEUR
MOLINE
MOLINE
MOLINE
ASHEBORO
ASHEBORO
ROME
ROME
ROME
EUREKA
EUREKA
REDWOOD FALLS
REDWOOD FALLS
DAVIE
NOWATA
NOWATA
VANCOUVER
VANCOUVER
HARTSVILLE
HARTSVILLE
HARTSVILLE
HARTSVILLE
HARTSVILLE
BIRMINGHAM
BIRMINGHAM
BIRMINGHAM
FRONTENAC
FRONTENAC
FRONTENAC
BROOKFIELD
BROOKFIELD
BROOKFIELD
RISING SUN
WAUSAU
WAUSAU
WAUSAU
LITTLE ROCK
LITTLE ROCK
LITTLE ROCK
NARBERTH
INDIANA
State
MN
CA
CA
CA
CA
PR
KY
KS
IL
IL
FL
FL
WV
WV
WV
WV
WV
IA
IA
IA
CA
OR
OR
CA
CA
CA
CA
IL
IL
MN
MN
IL
IL
IL
NC
NC
MD
MD
MD
MD
SC
LA
LA
WA
WA
MO
MO
MO
IL
IL
IL
NC
NC
GA
GA
GA
CA
CA
MN
MN
FL
OK
OK
WA
WA
SC
SC
SC
SC
SC
AL
AL
AL
MO
MO
MO
WI
WI
WI
MD
WI
WI
WI
AR
AR
AR
PA
PA
Date
31-May-13
30-Jan-09
29-Apr-13
22-May-13
31-May-13
5-Dec-08
21-Nov-08
3-Apr-09
8-May-09
13-Aug-10
20-Mar-09
14-Aug-12
2-Oct-09
8-Aug-12
9-Aug-12
10-Aug-12
11-Sep-12
22-May-09
22-Jul-13
12-Sep-13
20-Feb-09
13-Feb-09
9-Apr-13
20-Nov-09
10-Dec-12
11-Dec-12
11-Jan-13
23-Jan-09
2-Nov-12
27-Feb-09
29-Dec-09
30-Jan-09
24-Oct-12
14-Nov-12
2-Oct-09
15-Sep-11
14-Nov-08
21-Aug-12
20-Mar-13
25-Mar-13
13-Mar-09
27-Feb-09
29-Sep-10
16-Jan-09
11-Aug-11
16-Jan-09
3-Jul-12
8-Aug-12
13-Feb-09
15-Sep-11
16-Nov-11
30-Oct-09
30-Sep-13
19-Jun-09
25-Sep-13
29-Oct-13
16-Jan-09
21-Jul-11
9-Jan-09
18-Aug-11
6-Mar-09
27-Feb-09
21-Jul-11
23-Oct-09
26-Jan-12
13-Feb-09
8-Nov-12
9-Nov-12
11-Jan-13
26-Mar-13
14-Nov-08
4-Apr-12
2-May-12
13-Feb-09
25-Sep-13
29-Oct-13
27-Feb-09
20-Feb-13
26-Mar-13
9-Jan-09
12-Jun-09
6-Jun-12
15-May-13
15-May-09
30-Jan-09
5-Jul-13
20-Feb-09
16-Jan-09
Original Investment Type1
Original Investment
Amount
Outstanding
Investment
Total Cash Back2
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
(Fee)4
Shares
Avg. Price
(Realized Loss) /
(Write-off)
Gain5
Warrant Proceeds
Amount
Shares
($25,000.00)
Preferred Stock w/ Warrants
$11,949,000.00
$0.00
$13,764,140.41
Sold, in full; warrants not outstanding
$11,949,000.00
11,949
$1,091.10
$1,088,673.39
$234,500.00
237,712
$478,590.75
317,000
$83,086.12
$195,295.20
97
228
$1,225,000.00
645,013
$175,000.00
175
($130,376.73)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures
$935,000,000.00
$35,000,000.00
$2,800,000.00
$6,784,000.00
$935,000,000.00
$35,000,000.00
$2,800,000.00
$0.00
$231,296,527.78
$4,783,333.33
$132,253.00
$7,444,215.12
Full investment outstanding; warrants outstanding
Full investment outstanding; warrants outstanding
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$6,784,000.00
Preferred Stock w/ Exercised Warrants
$9,500,000.00
$0.00
$467,412.50
6,784,000
$1.00
Currently not collectible
($9,500,000.00)
Preferred Stock w/ Warrants
$22,252,000.00
$0.00
$23,052,240.29
Sold, in full; warrants outstanding
$1,678,618.89
$8,575,102.51
$9,795,998.16
1,863
9,517
10,872
$901.00
$901.00
$901.00
6,349,000
$1.24
$41,400,000.00
41,400
$1,000.00
$262,635.10
$8,887,232.90
310
10,490
$847.20
$847.20
($184,381.11)
($941,897.49)
($1,076,001.84)
($200,497.20)
Subordinated Debentures w/ Exercised Warrants
$6,349,000.00
$0.00
$8,778,669.11
Sold, in full; warrants not outstanding
$6,349,000.00
$1,507,379.58
($78,563.80)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$41,400,000.00
$10,800,000.00
$4,000,000.00
$0.00
$0.00
$54,500.00
$42,446,500.00
$11,077,694.89
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($47,364.90)
($1,602,767.10)
($91,498.68)
Preferred Stock w/ Warrants
$25,083,000.00
$0.00
$2,271,405.00
Currently not collectible
($25,083,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$4,960,000.00
$3,262,000.00
$243,815,000.00
$8,222,000.00
$498,859.56
Full investment outstanding; warrants outstanding
$0.00
$290,552,132.92
Redeemed, in full; warrants not outstanding
$243,815,000.00
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$4,596,311.80
243,815
$1,000.00
Redeemed, in full; warrants not outstanding
$4,000,000.00
$151,500,000.00
$0.00
$199,100,113.41
$1,000.00
$151,500,000.00
Preferred Stock w/ Warrants
4,000
151,500
$1,000.00
Sold, in full; warrants not outstanding
$71.62
$19,047,005.12
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$9,266,000.00
$9,270,000.00
$9,266,000.00
$0.00
$543,091.00
$10,536,802.00
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$9,270,000.00
$5,355,156.75
$32,538,000.00
$0.00
$35,195,847.13
4,500
$1,000.00
$225,000.00
225
32,538
$888.00
778,421
521,888
$311,000.00
311
$253,383.25
268
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
464
$1,100,000.00
$0.00
$464,000.00
$1,100,000.00
$4,500,000.00
$1,000.00
$4,500,000.00
Preferred Stock w/ Exercised Warrants
9,270
Sold, in full; warrants not outstanding
$28,893,744.00
Preferred Stock w/ Warrants
$38,237,000.00
$0.00
$44,286,567.33
($433,406.16)
Redeemed, in full; warrants not outstanding
$38,237,000.00
Preferred Stock w/ Exercised Warrants
$6,229,000.00
$0.00
$7,190,593.33
($3,644,256.00)
38,237
$1,000.00
Redeemed, in full; warrants not outstanding
$6,229,000.00
3,800
$1,000.00
$190,000.00
190
2,995
$1,000.00
$150,000.00
150
$2,655,000.00
2,655
$1,000.00
$133,000.00
133
$12,700,000.00
12,700
$1,000.00
$381,000.00
381
$246,975.00
$1,140,525.00
267
1,233
$925.00
$925.00
$50,000.00
75
3,500,000
$1,000.00
$45,000,000.00
$9,139,863.61
$907.10
$2,995,000.00
$0.00
8,900
$3,800,000.00
$8,900,000.00
$1,000.00
$8,073,279.00
Preferred Stock w/ Exercised Warrants
6,229
48,253,677
$2,199,799.80
2,000
$476,206.83
545
$750,000.00
750,000
Sold, in full; warrants not outstanding
($826,721.00)
($80,732.79)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$3,800,000.00
$2,995,000.00
$0.00
$0.00
$4,510,626.39
$3,570,810.92
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$9,982,000.00
$2,655,000.00
$9,982,000.00
$0.00
$784,281.50
$3,135,328.00
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,700,000.00
$0.00
$14,594,338.99
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,500,000.00
$0.00
$1,718,159.50
Sold, in full; warrants not outstanding
($20,025.00)
($92,475.00)
($13,875.00)
($11,125.00)
Preferred Stock w/ Warrants
$3,500,000,000.00
$0.00
$4,138,055,555.55
Redeemed, in full; warrants not outstanding
$3,500,000,000.00
Preferred Stock w/ Exercised Warrants
$40,000,000.00
$0.00
$45,820,950.80
Sold, in full; warrants not outstanding
$40,000,000.00
40,000
$1,004.90
10,900
$822.60
10,500,000
4,500,000
$196,000.00
$1.00
$1.00
($401,960.00)
Preferred Stock w/ Exercised Warrants
$10,900,000.00
$0.00
$9,630,106.93
Sold, in full; warrants not outstanding
$8,966,340.00
($1,933,660.00)
($89,663.40)
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants
$5,983,000.00
$15,000,000.00
$5,983,000.00
$0.00
$195,637.00
$19,928,275.00
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$10,500,000.00
$4,500,000.00
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$1,100,000.00
$25,000,000.00
$1,100,000.00
$0.00
$369,160.00
$738,021.00
Full investment outstanding; warrants outstanding
Currently not collectible
$358,971.00
$124,916,099.34
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
($25,000,000.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$30,407,000.00
$108,676,000.00
$30,407,000.00
$0.00
FootNote
8
44
11,44
8,14
44,8,14
11
44,8,14
8,14
44,8,14
44,8,14
11,8,14,36
11,36
44,8,14
15,14
11
15,11,14
11
11
8,32,97
8,14
8,14
11,9,36
8,45,14
44,8,14
44
8
11
44,8,14
Institution Name
S&T BANCORP, INC.
S&T BANCORP, INC.
SAIGON NATIONAL BANK
SALISBURY BANCORP, INC.
SALISBURY BANCORP, INC.
SALISBURY BANCORP, INC.
SANDY SPRING BANCORP, INC.
SANDY SPRING BANCORP, INC.
SANDY SPRING BANCORP, INC.
SANDY SPRING BANCORP, INC.
SANTA CLARA VALLEY BANK, N.A
SANTA CLARA VALLEY BANK, N.A
SANTA CLARA VALLEY BANK, N.A
SANTA LUCIA BANCORP
SANTA LUCIA BANCORP
SBT BANCORP, INC.
SBT BANCORP, INC.
SCBT FINANCIAL CORPORATION
SCBT FINANCIAL CORPORATION
SCBT FINANCIAL CORPORATION
SEACOAST BANKING CORPORATION OF FLORIDA
SEACOAST BANKING CORPORATION OF FLORIDA
SEACOAST BANKING CORPORATION OF FLORIDA
SEACOAST COMMERCE BANK
SEACOAST COMMERCE BANK
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BUSINESS BANCORP
SECURITY BUSINESS BANCORP
SECURITY CALIFORNIA BANCORP
SECURITY CALIFORNIA BANCORP
SECURITY CAPITAL CORPORATION
SECURITY CAPITAL CORPORATION
SECURITY FEDERAL CORPORATION
SECURITY FEDERAL CORPORATION
SECURITY FEDERAL CORPORATION
SECURITY STATE BANCSHARES, INC.
SECURITY STATE BANCSHARES, INC.
SECURITY STATE BANK HOLDING COMPANY
SECURITY STATE BANK HOLDING COMPANY
SECURITY STATE BANK HOLDING COMPANY
SEVERN BANCORP, INC.
SEVERN BANCORP, INC.
SEVERN BANCORP, INC.
SHORE BANCSHARES, INC.
SHORE BANCSHARES, INC.
SHORE BANCSHARES, INC.
SIGNATURE BANCSHARES, INC.
SIGNATURE BANCSHARES, INC.
SIGNATURE BANK
SIGNATURE BANK
SIGNATURE BANK
SOMERSET HILLS BANCORP
SOMERSET HILLS BANCORP
SOMERSET HILLS BANCORP
SONOMA VALLEY BANCORP
SONOMA VALLEY BANCORP
SOUND BANKING COMPANY
SOUND BANKING COMPANY
SOUND BANKING COMPANY
SOUTH FINANCIAL GROUP, INC./ CAROLINA FIRST BANK
SOUTH FINANCIAL GROUP, INC./ CAROLINA FIRST BANK
SOUTHCREST FINANCIAL GROUP, INC.
SOUTHCREST FINANCIAL GROUP, INC.
SOUTHCREST FINANCIAL GROUP, INC.
SOUTHCREST FINANCIAL GROUP, INC.
SOUTHERN BANCORP, INC.
SOUTHERN BANCORP, INC.
SOUTHERN COMMUNITY FINANCIAL CORP.
SOUTHERN COMMUNITY FINANCIAL CORP.
SOUTHERN FIRST BANCSHARES, INC.
SOUTHERN FIRST BANCSHARES, INC.
SOUTHERN FIRST BANCSHARES, INC.
SOUTHERN HERITAGE BANCSHARES, INC.
SOUTHERN HERITAGE BANCSHARES, INC.
SOUTHERN ILLINOIS BANCORP, INC.
SOUTHERN ILLINOIS BANCORP, INC.
SOUTHERN MISSOURI BANCORP, INC.
SOUTHERN MISSOURI BANCORP, INC.
SOUTHFIRST BANCSHARES, INC.
SOUTHWEST BANCORP, INC.
SOUTHWEST BANCORP, INC.
SOUTHWEST BANCORP, INC.
SOVEREIGN BANCSHARES, INC.
SOVEREIGN BANCSHARES, INC.
City
INDIANA
INDIANA
WESTMINSTER
LAKEVILLE
LAKEVILLE
LAKEVILLE
OLNEY
OLNEY
OLNEY
OLNEY
SANTA PAULA
SANTA PAULA
SANTA PAULA
ATASCADERO
ATASCADERO
SIMSBURY
SIMSBURY
COLUMBIA
COLUMBIA
COLUMBIA
STUART
STUART
STUART
CHULA VISTA
CHULA VISTA
WAYNESVILLE
WAYNESVILLE
WAYNESVILLE
WAYNESVILLE
WAYNESVILLE
SAN DIEGO
SAN DIEGO
RIVERSIDE
RIVERSIDE
BATESVILLE
BATESVILLE
AIKEN
AIKEN
AIKEN
CHARLESTON
CHARLESTON
JAMESTOWN
JAMESTOWN
JAMESTOWN
ANNAPOLIS
ANNAPOLIS
ANNAPOLIS
EASTON
EASTON
EASTON
DALLAS
DALLAS
NEW YORK
NEW YORK
NEW YORK
BERNARDSVILLE
BERNARDSVILLE
BERNARDSVILLE
SONOMA
SONOMA
MOREHEAD CITY
MOREHEAD CITY
MOREHEAD CITY
GREENVILLE
GREENVILLE
FAYETTEVILLE
FAYETTEVILLE
FAYETTEVILLE
FAYETTEVILLE
ARKADELPHIA
ARKADELPHIA
WINSTON-SALEM
WINSTON-SALEM
GREENVILLE
GREENVILLE
GREENVILLE
CLEVELAND
CLEVELAND
CARMI
CARMI
POPLAR BLUFF
POPLAR BLUFF
SYLACAUGA
STILLWATER
STILLWATER
STILLWATER
DALLAS
DALLAS
State
PA
PA
CA
CT
CT
CT
MD
MD
MD
MD
CA
CA
CA
CA
CA
CT
CT
SC
SC
SC
FL
FL
FL
CA
CA
MO
MO
MO
MO
MO
CA
CA
CA
CA
MS
MS
SC
SC
SC
MO
MO
ND
ND
ND
MD
MD
MD
MD
MD
MD
TX
TX
NY
NY
NY
NJ
NJ
NJ
CA
CA
NC
NC
NC
SC
SC
GA
GA
GA
GA
AR
AR
NC
NC
SC
SC
SC
TN
TN
IL
IL
MO
MO
AL
OK
OK
OK
TX
TX
Date
7-Dec-11
11-Jun-13
23-Dec-08
13-Mar-09
25-Aug-11
2-Nov-11
5-Dec-08
21-Jul-10
15-Dec-10
23-Feb-11
13-Feb-09
8-Mar-13
9-Apr-13
19-Dec-08
21-Oct-11
27-Mar-09
11-Aug-11
16-Jan-09
20-May-09
24-Jun-09
19-Dec-08
3-Apr-12
30-May-12
23-Dec-08
1-Sep-11
13-Feb-09
10-Dec-12
11-Dec-12
11-Jan-13
26-Mar-13
9-Jan-09
14-Jul-11
9-Jan-09
15-Sep-11
26-Jun-09
29-Sep-10
19-Dec-08
29-Sep-10
31-Jul-13
20-Feb-09
22-Sep-11
1-May-09
24-Jun-13
26-Jul-13
21-Nov-08
25-Sep-13
29-Oct-13
9-Jan-09
15-Apr-09
16-Nov-11
26-Jun-09
15-Dec-10
12-Dec-08
31-Mar-09
16-Mar-10
16-Jan-09
20-May-09
24-Jun-09
20-Feb-09
20-Aug-10
9-Jan-09
13-Nov-12
11-Jan-13
5-Dec-08
30-Sep-10
17-Jul-09
8-Mar-13
11-Mar-13
9-Apr-13
16-Jan-09
6-Aug-10
5-Dec-08
1-Oct-12
27-Feb-09
3-Jul-12
25-Jul-12
15-May-09
8-Sep-11
23-Jan-09
25-Aug-11
5-Dec-08
21-Jul-11
12-Jun-09
5-Dec-08
8-Aug-12
29-May-13
13-Mar-09
22-Sep-11
Original Investment Type1
Original Investment
Amount
Outstanding
Investment
Total Cash Back2
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
(Fee)4
Shares
108,676
$108,676,000.00
Avg. Price
(Realized Loss) /
(Write-off)
Gain5
Warrant Proceeds
Amount
Shares
$1,000.00
$527,361.00
$205,000.00
$0.00
$10,100,960.44
$8,816,000.00
Preferred Stock w/ Warrants
$83,094,000.00
$0.00
$95,137,868.33
8,816
$2,900,000.00
$0.00
$2,697,208.51
145
$200,000.00
200
303,083
589,623
$90,000.00
90
$69,186.80
108
$1,000.00
Redeemed, in full; warrants not outstanding
$41,547,000.00
$41,547,000.00
Preferred Stock w/ Exercised Warrants
$98,251.45
$55,000.00
$1,549,000.00
$0.00
651,547
$1,400,000.00
$1,549,000.00
$8,816,000.00
57,671
$4,450,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
517,012
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
41,547
41,547
$1,000.00
$1,000.00
Sold, in full; warrants not outstanding
$2,465,029.00
2,900
$850.00
($434,971.00)
$2,800,000.00
4,000
$700.00
($1,200,000.00)
$4,000,000.00
4,000
$1,000.00
$64,779,000.00
64,779
$1,000.00
($25,000.00)
Preferred Stock w/ Warrants
$4,000,000.00
$0.00
$3,131,111.11
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$4,717,144.78
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$64,779,000.00
$50,000,000.00
$0.00
$0.00
$67,294,638.84
$49,045,470.38
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$41,020,000.00
Preferred Stock w/ Exercised Warrants
$1,800,000.00
$0.00
$2,153,780.00
($615,300.00)
2,000
$20,510.00
($8,980,000.00)
Redeemed, in full; warrants not outstanding
$1,800,000.00
5,803
$1,000.00
$290,000.00
290
6,815
$1,000.00
$341,000.00
341
$17,388,000.00
17,388
$1,000.00
$522,000.00
522
$18,000,000.00
18,000
$1,000.00
$50,000.00
137,966
$625,000.00
625
$720,368.55
538,000
$25,000.00
172,970
$85,000.00
85,000
$11,150,939.74
595,829
$275,000.00
$1,983,756.24
$692.60
$692.60
$6,815,000.00
$0.00
252
1,900
$5,803,000.00
$2,152,000.00
$1,000.00
$174,537.72
$1,315,959.00
Preferred Stock w/ Exercised Warrants
1,800
163,065
Sold, in full; warrants not outstanding
($77,462.28)
($584,041.00)
($14,904.97)
($10,095.03)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$5,803,000.00
$6,815,000.00
$17,388,000.00
$18,000,000.00
$12,500,000.00
$0.00
$0.00
$0.00
$0.00
$0.00
$6,888,017.86
Redeemed, in full; warrants not outstanding
$8,152,698.33
Redeemed, in full; warrants not outstanding
$19,063,111.00
$19,650,000.00
$14,888,679.86
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$12,500,000.00
$10,750,000.00
$0.00
$14,543,635.13
$1,000.00
$10,750,000.00
Subordinated Debentures w/ Exercised Warrants
12,500
10,750,000
$1.17
23,393
$998.90
25,000
$1,000.00
Sold, in full; warrants not outstanding
$1,784,607.50
($125,346.08)
Preferred Stock w/ Warrants
$23,393,000.00
$0.00
$26,915,463.85
Sold, in full; warrants outstanding
$23,367,267.70
($25,732.30)
($233,672.68)
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$25,358,333.33
Redeemed, in full; warrants not outstanding
$25,000,000.00
Subordinated Debentures w/ Exercised Warrants
$1,700,000.00
$0.00
$1,994,587.59
Redeemed, in full; warrants not outstanding
$1,700,000.00
Preferred Stock w/ Warrants
$120,000,000.00
$7,414,000.00
$0.00
$0.00
$132,967,606.41
$7,816,685.55
$1.00
$120,000,000.00
Preferred Stock w/ Warrants
1,700,000
120,000
$1,000.00
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$7,414,000.00
Preferred Stock w/ Exercised Warrants
$8,653,000.00
$0.00
$347,164.00
7,414
$1,000.00
Currently not collectible
($8,653,000.00)
Preferred Stock w/ Exercised Warrants
$3,070,000.00
$0.00
$3,575,224.44
Sold, in full; warrants not outstanding
$2,832,412.70
3,070
$922.60
($237,587.30)
$124,412.34
154
$130,179,218.75
130,179
$1,000.00
($216,820,781.25)
$400,000.00
10,106,796
$1,814,620.00
$9,889,679.00
2,000
10,900
$907.30
$907.30
($185,380.00)
($1,010,321.00)
$588,264.19
645
$11,000,000.00
11,000
$1,000.00
$42,750,000.00
42,750
$1,000.00
17,299
$904.00
$1,100,000.00
399,970
($25,000.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$347,000,000.00
$12,900,000.00
$0.00
$0.00
$146,965,329.86
$13,109,014.25
Sold, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($117,042.99)
Preferred Stock
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$11,000,000.00
$42,750,000.00
$17,299,000.00
$0.00
$0.00
$0.00
$11,855,555.56
$51,088,046.14
$19,401,361.89
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$15,638,296.00
Preferred Stock w/ Exercised Warrants
$4,862,000.00
$0.00
$5,718,111.14
($234,574.44)
($1,660,704.00)
Redeemed, in full; warrants not outstanding
$4,862,000.00
Preferred Stock w/ Exercised Warrants
$18,215,000.00
$2,760,000.00
$0.00
$0.00
$1,000.00
$250,000.00
250
9,550
$1,000.00
70,000
$1,000.00
703,753
$911,000.00
911
Redeemed, in full; warrants not outstanding
$10,804,763.89
5,000
$2,287,197.00
$2,760,000.00
$70,000,000.00
$0.00
$5,955,472.22
243
$70,000,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$9,550,000.00
$0.00
$243,000.00
$9,550,000.00
Preferred Stock w/ Warrants
$5,000,000.00
$1,000.00
$5,000,000.00
Preferred Stock w/ Exercised Warrants
4,862
Redeemed, in full; warrants outstanding
$364,796.34
$85,247,569.91
$21,632,668.61
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$18,215,000.00
18,215
$1,000.00
FootNote
8
8
74,8,14
11,61
15,17,44
8,11
8,36,11
12,16
15,11,14
15,17,45
11
11
11
31
44
11,8,14
8,14
15
44
11
11
24,49,97
11,8,14
11
11,8,14
12,16
15,44,14
11
8
15,17,45
8
11
11,8,14
63,97
8,14
Institution Name
SPIRIT BANKCORP, INC.
SPIRIT BANKCORP, INC.
ST. JOHNS BANCSHARES, INC.
STANDARD BANCSHARES, INC.
STANDARD BANCSHARES, INC.
STATE BANCORP, INC. / VALLEY NATIONAL BANCORP
STATE BANCORP, INC. / VALLEY NATIONAL BANCORP
STATE BANK OF BARTLEY, THE
STATE BANK OF BARTLEY, THE
STATE BANKSHARES, INC.
STATE BANKSHARES, INC.
STATE BANKSHARES, INC.
STATE CAPITAL CORP.
STATE CAPITAL CORP.
STATE STREET CORPORATION
STATE STREET CORPORATION
STATE STREET CORPORATION
STEARNS FINANCIAL SERVICES, INC.
STEARNS FINANCIAL SERVICES, INC.
STEELE STREET BANK CORPORATION
STEELE STREET BANK CORPORATION
STELLARONE CORPORATION
STELLARONE CORPORATION
STELLARONE CORPORATION
STERLING BANCORP
STERLING BANCORP
STERLING BANCORP
STERLING BANCSHARES, INC.
STERLING BANCSHARES, INC.
STERLING BANCSHARES, INC.
STERLING FINANCIAL CORPORATION
STERLING FINANCIAL CORPORATION
STERLING FINANCIAL CORPORATION
STEWARDSHIP FINANCIAL CORPORATION
STEWARDSHIP FINANCIAL CORPORATION
STEWARDSHIP FINANCIAL CORPORATION
STOCKMENS FINANCIAL CORPORATION
STOCKMENS FINANCIAL CORPORATION
STOCKMENS FINANCIAL CORPORATION
STONEBRIDGE FINANCIAL CORP.
STONEBRIDGE FINANCIAL CORP.
STONEBRIDGE FINANCIAL CORP.
STONEBRIDGE FINANCIAL CORP.
SUBURBAN ILLINOIS BANCORP, INC.
SUMMIT STATE BANK
SUMMIT STATE BANK
SUMMIT STATE BANK
SUN BANCORP, INC.
SUN BANCORP, INC.
SUN BANCORP, INC.
SUNTRUST BANKS, INC.
SUNTRUST BANKS, INC.
SUNTRUST BANKS, INC.
SUNTRUST BANKS, INC.
SUPERIOR BANCORP INC.
SUPERIOR BANCORP INC.
SURREY BANCORP
SURREY BANCORP
SUSQUEHANNA BANCSHARES, INC.
SUSQUEHANNA BANCSHARES, INC.
SUSQUEHANNA BANCSHARES, INC.
SUSQUEHANNA BANCSHARES, INC.
SV FINANCIAL, INC.
SV FINANCIAL, INC.
SVB FINANCIAL GROUP
SVB FINANCIAL GROUP
SVB FINANCIAL GROUP
SWORD FINANCIAL CORPORATION
SWORD FINANCIAL CORPORATION
SYNOVUS FINANCIAL CORP.
SYNOVUS FINANCIAL CORP.
SYRINGA BANCORP
TAYLOR CAPITAL GROUP
TAYLOR CAPITAL GROUP
TAYLOR CAPITAL GROUP
TCB CORPORATION/COUNTY BANK
TCB CORPORATION/COUNTY BANK
TCB HOLDING COMPANY
TCF FINANCIAL CORPORATION
TCF FINANCIAL CORPORATION
TCF FINANCIAL CORPORATION
TCNB FINANCIAL CORP
TCNB FINANCIAL CORP
TENNESSEE COMMERCE BANCORP, INC.
TENNESSEE COMMERCE BANCORP, INC.
TENNESSEE VALLEY FINANCIAL HOLDINGS, INC.
TENNESSEE VALLEY FINANCIAL HOLDINGS, INC.
TENNESSEE VALLEY FINANCIAL HOLDINGS, INC.
City
BRISTOW
BRISTOW
ST. LOUIS
HICKORY HILLS
HICKORY HILLS
JERICHO
JERICHO
BARTLEY
BARTLEY
FARGO
FARGO
FARGO
GREENWOOD
GREENWOOD
BOSTON
BOSTON
BOSTON
ST. CLOUD
ST. CLOUD
DENVER
DENVER
CHARLOTTESVILLE
CHARLOTTESVILLE
CHARLOTTESVILLE
NEW YORK
NEW YORK
NEW YORK
HOUSTON
HOUSTON
HOUSTON
SPOKANE
SPOKANE
SPOKANE
MIDLAND PARK
MIDLAND PARK
MIDLAND PARK
RAPID CITY
RAPID CITY
RAPID CITY
WEST CHESTER
WEST CHESTER
WEST CHESTER
WEST CHESTER
ELMHURST
SANTA ROSA
SANTA ROSA
SANTA ROSA
VINELAND
VINELAND
VINELAND
ATLANTA
ATLANTA
ATLANTA
ATLANTA
BIRMINGHAM
BIRMINGHAM
MOUNT AIRY
MOUNT AIRY
LITITZ
LITITZ
LITITZ
LITITZ
STERLING
STERLING
SANTA CLARA
SANTA CLARA
SANTA CLARA
HORICON
HORICON
COLUMBUS
COLUMBUS
BOISE
ROSEMONT
ROSEMONT
ROSEMONT
GREENWOOD
GREENWOOD
THE WOODLANDS
WAYZATA
WAYZATA
WAYZATA
DAYTON
DAYTON
FRANKLIN
FRANKLIN
OAK RIDGE
OAK RIDGE
OAK RIDGE
State
OK
OK
MO
IL
IL
NY
NY
NE
NE
ND
ND
ND
MS
MS
MA
MA
MA
MN
MN
CO
CO
VA
VA
VA
NY
NY
NY
TX
TX
TX
WA
WA
WA
NJ
NJ
NJ
SD
SD
SD
PA
PA
PA
PA
IL
CA
CA
CA
NJ
NJ
NJ
GA
GA
GA
GA
AL
AL
NC
NC
PA
PA
PA
PA
IL
IL
CA
CA
CA
WI
WI
GA
GA
ID
IL
IL
IL
SC
SC
TX
MN
MN
MN
OH
OH
TN
TN
TN
TN
TN
Date
27-Mar-09
21-Oct-13
13-Mar-09
24-Apr-09
22-Feb-13
5-Dec-08
14-Dec-11
4-Sep-09
22-Sep-11
16-Jan-09
12-Aug-09
29-Jun-11
13-Feb-09
29-Sep-10
28-Oct-08
17-Jun-09
8-Jul-09
26-Jun-09
18-Jan-12
25-Sep-09
1-Sep-11
19-Dec-08
13-Apr-11
28-Dec-11
23-Dec-08
27-Apr-11
18-May-11
12-Dec-08
5-May-09
15-Jun-10
5-Dec-08
20-Aug-12
19-Sep-12
30-Jan-09
1-Sep-11
26-Oct-11
6-Feb-09
12-Jan-11
16-Mar-11
23-Jan-09
26-Mar-13
27-Mar-13
9-Apr-13
19-Jun-09
19-Dec-08
4-Aug-11
14-Sep-11
9-Jan-09
8-Apr-09
27-May-09
14-Nov-08
31-Dec-08
30-Mar-11
28-Sep-11
5-Dec-08
15-Apr-11
9-Jan-09
29-Dec-10
12-Dec-08
21-Apr-10
22-Dec-10
19-Jan-11
10-Apr-09
31-Aug-11
12-Dec-08
23-Dec-09
16-Jun-10
8-May-09
15-Sep-11
19-Dec-08
26-Jul-13
16-Jan-09
21-Nov-08
19-Jun-12
18-Jul-12
28-Aug-09
8-Sep-11
16-Jan-09
14-Nov-08
22-Apr-09
21-Dec-09
23-Dec-08
3-Aug-11
19-Dec-08
27-Jan-12
23-Dec-08
26-Apr-13
29-Apr-13
Original Investment Type1
Preferred Stock w/ Exercised Warrants
Original Investment
Amount
$30,000,000.00
Outstanding
Investment
Total Cash Back2
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
$0.00
$11,900,075.00
Shares
Avg. Price
Gain5
Warrant Proceeds
Amount
Shares
Sold, in full; warrants not outstanding
$763,908.00
$75,757,163.03
(Fee)4
(Realized Loss) /
(Write-off)
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$9,000,000.00
$638,325.00
1,500
$1.00
$51,000.00
51,000
12,500
37,500
$1,000.00
$1,000.00
$2,500,000.00
250
$15,000,000.00
15,000
$1,000.00
$750,000.00
750
$2,000,000,000.00
20,000
$100,000.00
$60,000,000.00
$42,414,352.50
36,842
$1,000.00
1,697,000
$12,500,000.00
$37,500,000.00
$0.00
$1,432.56
$1,697,000.00
$36,842,000.00
$3,000,000.00
$0.00
12,903,226
$36,842,000.00
Preferred Stock w/ Warrants
$3,000,000.00
$60,000,000.00
$300.00
$60,000,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
30,000
($21,000,000.00)
2,788,104
$3,000,000.00
Redeemed, in full; warrants outstanding
Subordinated Debentures w/ Exercised Warrants
$1,697,000.00
$0.00
$2,030,299.18
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$50,000,000.00
$0.00
$58,008,472.23
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Subordinated Debentures w/ Exercised Warrants
$15,000,000.00
$2,000,000,000.00
$24,900,000.00
$0.00
$0.00
$0.00
$17,080,708.67
Redeemed, in full; warrants not outstanding
$2,123,611,111.12
Redeemed, in full; warrants not outstanding
$31,495,442.29
Redeemed, in full; warrants not outstanding
$24,900,000.00
7,500
22,500
$1,000.00
$1,000.00
42,000
$1,000.00
516,817
2,615,557
97,541
$107,398.00
133,475
$778,000.00
778
$130,704.17
$8,358.99
516
33
$315,000.00
239,212
$2,100,000.00
1,620,545
$30,066,661.40
17,900,182
$100,000.00
100
$5,269,179.36
3,028,264
$200,000.00
200
$6,820,000.00
354,058
$682,000.00
682,000
$9,839,273.00
1,462,647
$292,000.00
292,000
$9,449,980.56
$34,271,875.00
331,000
$825,000.00
$0.00
$331,000.00
$2,857,914.52
$30,000,000.00
$1.00
3,199,988
$100,000.00
100
$19,218.87
$124,922.63
20
130
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
11,019,000
$945,775.00
$13,078,672.60
1,245,000
$42,000,000.00
$0.00
$1,245,000.00
$7,500,000.00
$22,500,000.00
$11,019,000.00
$1.00
$11,019,000.00
Subordinated Debentures w/ Exercised Warrants
24,900,000
Redeemed, in full; warrants outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$42,000,000.00
$125,198,000.00
$0.00
$0.00
$47,869,108.33
$130,542,485.91
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$125,198,000.00
Preferred Stock w/ Warrants
$303,000,000.00
$0.00
$121,757,209.63
$10,000,000.00
$0.00
$11,400,453.22
($1,434,659.25)
$15,568,000.00
$0.00
$18,101,553.84
5,738,637
$20.00
10,000
$1,000.00
Redeemed, in full; warrants not outstanding
$4,000,000.00
$11,568,000.00
$10,973,000.00
$0.00
$2,652,816.96
4,000
11,568
$1,000.00
$1,000.00
$1,796,209.03
$107,935.66
Preferred Stock w/ Exercised Warrants
($188,227,260.00)
Redeemed, in full; warrants not outstanding
$10,000,000.00
Preferred Stock w/ Exercised Warrants
$1,000.00
Sold, in full; warrants not outstanding
$114,772,740.00
Preferred Stock w/ Warrants
125,198
10,351
622
$173.50
$173.50
8,500
$1,000.00
Sold, in full; warrants not outstanding
($8,554,790.97)
($514,064.34)
($25,000.00)
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
$15,000,000.00
$8,500,000.00
$15,000,000.00
$0.00
$2,083,520.25
$9,930,625.00
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$8,500,000.00
Preferred Stock w/ Warrants
$89,310,000.00
$0.00
$92,513,970.83
Redeemed, in full; warrants not outstanding
$89,310,000.00
Preferred Stock w/ Warrants
$3,500,000,000.00
$1,350,000,000.00
$0.00
$5,448,052,772.51
89,310
Redeemed, in full; warrants not outstanding
$4,850,000,000.00
Preferred Stock w/ Warrants
$69,000,000.00
$0.00
$1,000.00
$4,983,333.33
$100,000.00
Currently not collectible
$2,314,972.22
48,500
Redeemed, in full; warrants not outstanding
($69,000,000.00)
Preferred Stock w/ Exercised Warrants
$2,000,000.00
$0.00
$2,000,000.00
Preferred Stock w/ Exercised Warrants
$300,000,000.00
$4,000,000.00
$0.00
$0.00
$328,991,401.58
$4,721,382.89
$1,000.00
$200,000,000.00
$100,000,000.00
Preferred Stock w/ Warrants
2,000
200,000
100,000
$1,000.00
$1,000.00
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$4,000,000.00
$235,000,000.00
$0.00
$253,929,027.78
$1,000.00
$235,000,000.00
Preferred Stock w/ Warrants
4,000
235,000
$1,000.00
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$13,644,000.00
$0.00
$17,019,233.91
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$967,870,000.00
$0.00
$1,190,614,526.39
Redeemed, in full; warrants outstanding
$13,644,000.00
$8,000,000.00
$104,823,000.00
$8,000,000.00
$0.00
$253,122.22
$120,845,170.80
$1.00
$967,870,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
13,644,000
967,870
$1,000.00
104,823
$893.50
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
$93,659,350.50
Subordinated Debentures w/ Exercised Warrants
$9,720,000.00
$0.00
$11,611,381.34
($1,404,890.26)
Redeemed, in full; warrants not outstanding
$9,720,000.00
Preferred Stock w/ Exercised Warrants
$11,730,000.00
$361,172,000.00
$2,000,000.00
$11,730,000.00
$0.00
$0.00
$690,832.08
$378,547,699.45
$2,384,611.11
9,720,000
$1.00
$361,172,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
361,172
$1,000.00
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$2,000,000.00
Preferred Stock w/ Warrants
$30,000,000.00
$0.00
$3,233,333.33
($11,163,649.50)
2,000
$1,000.00
Currently not collectible
($30,000,000.00)
Preferred Stock w/ Exercised Warrants
$3,000,000.00
$0.00
$3,331,713.17
Sold, in full; warrants not outstanding
$298,000.00
$2,702,000.00
298
2,702
$1,022.10
$1,022.10
$6,588.78
$59,741.22
FootNote
11
11,8,14
44,8,14
12,16
8
11
8,14
44
11
11,36
11,8,14
11,8,14
11
8,44,14
8,14
11
44,8,14
8,14
8,18,21,44
8,21
8,47,97
11,8,14
8
45
8
44,8,14
44,8,14
8,14
Institution Name
TENNESSEE VALLEY FINANCIAL HOLDINGS, INC.
TEXAS CAPITAL BANCSHARES, INC.
TEXAS CAPITAL BANCSHARES, INC.
TEXAS CAPITAL BANCSHARES, INC.
TEXAS NATIONAL BANCORPORATION INC.
TEXAS NATIONAL BANCORPORATION INC.
THE ANB CORPORATION
THE ANB CORPORATION
THE BANCORP, INC.
THE BANCORP, INC.
THE BANCORP, INC.
THE BANK OF CURRITUCK
THE BANK OF CURRITUCK
THE BANK OF KENTUCKY FINANCIAL CORPORATION
THE BANK OF KENTUCKY FINANCIAL CORPORATION
THE BANK OF KENTUCKY FINANCIAL CORPORATION
THE BANK OF KENTUCKY FINANCIAL CORPORATION
THE BARABOO BANCORPORATION, INC.
THE BARABOO BANCORPORATION, INC.
THE BARABOO BANCORPORATION, INC.
THE BARABOO BANCORPORATION, INC.
THE CONNECTICUT BANK AND TRUST COMPANY
THE CONNECTICUT BANK AND TRUST COMPANY
THE ELMIRA SAVINGS BANK, FSB
THE ELMIRA SAVINGS BANK, FSB
THE FIRST BANCORP, INC.
THE FIRST BANCORP, INC.
THE FIRST BANCORP, INC.
THE FIRST BANCORP, INC.
THE FIRST BANCSHARES, INC.
THE FIRST BANCSHARES, INC.
THE FIRST STATE BANK OF MOBEETIE
THE FIRST STATE BANK OF MOBEETIE
THE FREEPORT STATE BANK
THE FREEPORT STATE BANK
THE HARTFORD FINANCIAL SERVICES GROUP, INC.
THE HARTFORD FINANCIAL SERVICES GROUP, INC.
THE HARTFORD FINANCIAL SERVICES GROUP, INC.
THE LANDRUM COMPANY
THE LANDRUM COMPANY
THE LITTLE BANK, INCORPORATED
THE LITTLE BANK, INCORPORATED
THE LITTLE BANK, INCORPORATED
THE PNC FINANCIAL SERVICES GROUP, INC.
THE PNC FINANCIAL SERVICES GROUP, INC.
THE PNC FINANCIAL SERVICES GROUP, INC.
THE PRIVATE BANK OF CALIFORNIA
THE PRIVATE BANK OF CALIFORNIA
THE QUEENSBOROUGH COMPANY
THE QUEENSBOROUGH COMPANY
THE QUEENSBOROUGH COMPANY
THE QUEENSBOROUGH COMPANY
THE VICTORY BANCORP, INC.
THE VICTORY BANCORP, INC.
THE VICTORY BANCORP, INC.
THREE SHORES BANCORPORATION, INC.
THREE SHORES BANCORPORATION, INC.
THREE SHORES BANCORPORATION, INC.
THREE SHORES BANCORPORATION, INC.
TIB FINANCIAL CORP
TIB FINANCIAL CORP
TIDELANDS BANCSHARES, INC.
TIFTON BANKING COMPANY
TIFTON BANKING COMPANY
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TITONKA BANCSHARES, INC.
TITONKA BANCSHARES, INC.
TODD BANCSHARES, INC.
TODD BANCSHARES, INC.
TOWNEBANK
TOWNEBANK
TOWNEBANK
TREATY OAK BANCORP, INC.
TREATY OAK BANCORP, INC.
TREATY OAK BANCORP, INC.
TRIAD BANCORP, INC.
TRIAD BANCORP, INC.
TRI-COUNTY FINANCIAL CORPORATION
TRI-COUNTY FINANCIAL CORPORATION
TRINITY CAPITAL CORPORATION
TRINITY CAPITAL CORPORATION
TRINITY CAPITAL CORPORATION
TRINITY CAPITAL CORPORATION
City
OAK RIDGE
DALLAS
DALLAS
DALLAS
JACKSONVILLE
JACKSONVILLE
TERRELL
TERRELL
WILMINGTON
WILMINGTON
WILMINGTON
MOYOCK
MOYOCK
CRESTVIEW HILLS
CRESTVIEW HILLS
CRESTVIEW HILLS
CRESTVIEW HILLS
BARABOO
BARABOO
BARABOO
BARABOO
HARTFORD
HARTFORD
ELMIRA
ELMIRA
DAMARISCOTTA
DAMARISCOTTA
DAMARISCOTTA
DAMARISCOTTA
HATTIESBURG
HATTIESBURG
MOBEETIE
MOBEETIE
HARPER
HARPER
HARTFORD
HARTFORD
HARTFORD
COLUMBIA
COLUMBIA
KINSTON
KINSTON
KINSTON
PITTSBURGH
PITTSBURGH
PITTSBURGH
LOS ANGELES
LOS ANGELES
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOUISVILLE
LIMERICK
LIMERICK
LIMERICK
ORLANDO
ORLANDO
ORLANDO
ORLANDO
NAPLES
NAPLES
MT. PLEASANT
TIFTON
TIFTON
HOQUIAM
HOQUIAM
HOQUIAM
HOQUIAM
HOQUIAM
HOQUIAM
TITONKA
TITONKA
HOPKINSVILLE
HOPKINSVILLE
PORTSMOUTH
PORTSMOUTH
PORTSMOUTH
AUSTIN
AUSTIN
AUSTIN
FRONTENAC
FRONTENAC
WALDORF
WALDORF
LOS ALAMOS
LOS ALAMOS
LOS ALAMOS
LOS ALAMOS
State
TN
TX
TX
TX
TX
TX
TX
TX
DE
DE
DE
NC
NC
KY
KY
KY
KY
WI
WI
WI
WI
CT
CT
NY
NY
ME
ME
ME
ME
MS
MS
TX
TX
KS
KS
CT
CT
CT
MO
MO
NC
NC
NC
PA
PA
PA
CA
CA
GA
GA
GA
GA
PA
PA
PA
FL
FL
FL
FL
FL
FL
SC
GA
GA
WA
WA
WA
WA
WA
WA
IA
IA
KY
KY
VA
VA
VA
TX
TX
TX
MO
MO
MD
MD
NM
NM
NM
NM
Date
31-May-13
16-Jan-09
13-May-09
17-Mar-10
9-Jan-09
19-May-10
7-Aug-09
25-Aug-11
12-Dec-08
10-Mar-10
8-Sep-10
6-Feb-09
3-Dec-10
13-Feb-09
22-Dec-10
23-Nov-11
29-May-13
16-Jan-09
10-Dec-12
11-Dec-12
11-Jan-13
19-Dec-08
19-Apr-12
19-Dec-08
25-Aug-11
9-Jan-09
24-Aug-11
27-Mar-13
8-May-13
6-Feb-09
29-Sep-10
27-Feb-09
14-Apr-10
6-Feb-09
19-Dec-12
26-Jun-09
31-Mar-10
27-Sep-10
22-May-09
18-Aug-11
23-Dec-08
31-Oct-12
11-Jan-13
31-Dec-08
10-Feb-10
5-May-10
20-Feb-09
1-Sep-11
9-Jan-09
8-Mar-13
11-Mar-13
9-Apr-13
27-Feb-09
11-Dec-09
22-Sep-11
23-Jan-09
8-Nov-12
9-Nov-12
11-Jan-13
5-Dec-08
30-Sep-10
19-Dec-08
17-Apr-09
12-Nov-10
23-Dec-08
8-Nov-12
9-Nov-12
13-Nov-12
11-Jan-13
11-Jun-13
3-Apr-09
4-Apr-12
6-Feb-09
25-Sep-13
12-Dec-08
22-Sep-11
15-May-13
16-Jan-09
15-Feb-11
21-Dec-12
27-Mar-09
22-Sep-11
19-Dec-08
22-Sep-11
27-Mar-09
7-Aug-12
9-Aug-12
10-Aug-12
Original Investment Type1
Original Investment
Amount
Outstanding
Investment
Total Cash Back2
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
(Fee)4
Shares
Avg. Price
(Realized Loss) /
(Write-off)
Gain5
Warrant Proceeds
Amount
Shares
($25,000.00)
Preferred Stock w/ Warrants
$75,000,000.00
$0.00
$82,777,816.21
Redeemed, in full; warrants not outstanding
$75,000,000.00
75,000
$1,000.00
$6,559,066.21
Preferred Stock w/ Exercised Warrants
$3,981,000.00
$0.00
$4,475,307.67
758,086
Redeemed, in full; warrants not outstanding
$3,981,000.00
$4,021,000.00
$0.00
$1,000.00
$1,000,000.00
1,000
45,220
$1,000.00
980,203
276,078
$403,161.92
$455,316.35
487
550
$792,783.00
175,742
Redeemed, in full; warrants not outstanding
$52,787,673.44
20,000
$2,150,648.55
Preferred Stock w/ Exercised Warrants
$0.00
$23,234,499.98
199
$4,753,984.55
$45,220,000.00
$0.00
$199,000.00
$45,220,000.00
Preferred Stock w/ Warrants
$20,000,000.00
$1,000.00
$20,000,000.00
Preferred Stock w/ Exercised Warrants
3,981
Redeemed, in full; warrants not outstanding
$1,912,684.00
Sold, in full; warrants not outstanding
$1,742,850.00
Preferred Stock w/ Exercised Warrants
$34,000,000.00
$20,749,000.00
$0.00
$0.00
$40,091,342.55
$18,023,831.85
$433.40
$17,000,000.00
$17,000,000.00
Preferred Stock w/ Warrants
4,021
17,000
17,000
($2,278,150.00)
$1,000.00
$1,000.00
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$1,956,900.00
$11,577,672.70
3,000
17,749
$652.30
$652.30
($1,043,100.00)
($6,171,327.30)
$5,448,000.00
5,448
$1,000.00
$9,090,000.00
9,090
$1,000.00
$12,500,000.00
$2,500,000.00
$10,000,000.00
12,500
2,500
10,000
$1,000.00
$1,000.00
$1,000.00
$5,000,000.00
5,000
$1,000.00
$731,000.00
731
$1,000.00
$37,000.00
37
$301,000.00
301
$1,000.00
$15,000.00
15
$3,400,000,000.00
3,400,000
$1,000.00
$706,264,559.89
52,093,973
$750,000.00
750
$371,250.00
375
$320,372,284.16
16,885,192
$273,000.00
273
$4,806.45
$571,967.55
5
595
$61,000.00
61
($135,345.73)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$5,448,000.00
$9,090,000.00
$25,000,000.00
$5,000,000.00
$0.00
$0.00
$0.00
$0.00
$6,902,866.33
$10,309,575.00
$29,332,986.11
$5,411,805.56
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants outstanding
Redeemed, in full; warrants outstanding
Redeemed, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$731,000.00
$0.00
$813,086.56
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$301,000.00
$0.00
$379,458.89
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$3,400,000,000.00
$15,000,000.00
$0.00
$0.00
$4,236,125,671.00
$17,580,291.55
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$15,000,000.00
$7,500,000.00
$0.00
$9,232,652.17
$1,000.00
$7,359,000.00
Preferred Stock w/ Exercised Warrants
15,000
7,500
$981.20
75,792
$100,000.00
Sold, in full; warrants not outstanding
($141,000.00)
($73,590.00)
Preferred Stock w/ Warrants
$7,579,200,000.00
$0.00
$8,320,638,950.83
Redeemed, in full; warrants not outstanding
$7,579,200,000.00
Preferred Stock w/ Exercised Warrants
$5,450,000.00
$0.00
$6,474,752.14
Redeemed, in full; warrants not outstanding
$5,450,000.00
2,046
$1,000.00
1,312
4,365
$888.40
$888.40
($146,471.68)
($487,308.60)
$282,284.64
284
12,120
$1,000.00
($24,880,362.63)
$40,000.00
1,106,389
$1,301,856.00
$13,065,246.00
$976.90
$976.90
$1,165,528.32
$3,877,691.40
$0.00
250
11,750
$2,046,000.00
$12,000,000.00
$1,000.00
$244,225.00
$11,478,575.00
Preferred Stock w/ Exercised Warrants
5,450
370,899
Sold, in full; warrants not outstanding
($5,775.00)
($271,425.00)
($117,228.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$541,000.00
$1,505,000.00
$5,677,000.00
$0.00
$0.00
$2,322,183.20
$6,449,130.64
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($50,432.20)
Preferred Stock w/ Warrants
$37,000,000.00
$0.00
$13,444,359.59
Sold, in full; warrants not outstanding
$12,119,637.37
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$14,448,000.00
$3,800,000.00
$14,448,000.00
$0.00
$1,195,973.33
$223,208.00
Full investment outstanding; warrants outstanding
Currently not collectible
($3,800,000.00)
Preferred Stock w/ Warrants
$16,641,000.00
$0.00
$18,857,818.52
Sold, in full; warrants not outstanding
$3,290,437.50
$1,580,962.50
$9,481,462.50
3,815
1,833
10,993
$862.50
$862.50
$862.50
($524,562.50)
($252,037.50)
($1,511,537.50)
($143,528.63)
Preferred Stock w/ Exercised Warrants
$2,117,000.00
$0.00
$2,569,490.36
Redeemed, in full; warrants not outstanding
$2,117,000.00
Preferred Stock w/ Warrants
$3,268,000.00
$0.00
$0.00
$5,210,672.22
4,000
$1,000.00
$200,000.00
200
76,458
$1,000.00
554,330
Redeemed, in full; warrants not outstanding
$88,577,166.67
106
$1,500,000.00
$76,458,000.00
$0.00
$106,000.00
$76,458,000.00
Preferred Stock w/ Warrants
$4,000,000.00
$1,000.00
$4,000,000.00
Preferred Stock w/ Exercised Warrants
2,117
Redeemed, in full; warrants not outstanding
$842,415.03
Sold, in full; warrants outstanding
$500,000.00
$150,000.00
Preferred Stock w/ Exercised Warrants
$15,540,000.00
$35,539,000.00
$0.00
$0.00
$0.00
$4,386,324.64
$18,653,115.75
$34,644,476.74
3,700
$1,000.00
$185,000.00
185
$15,540,000.00
Preferred Stock w/ Exercised Warrants
$3,700,000.00
$155.47
$1.00
$3,700,000.00
Preferred Stock w/ Exercised Warrants
3,118
150,000
($2,618,000.00)
15,540
$1,000.00
$777,000.00
777
$2,639,379.50
$7,038,845.50
$16,984,909.75
3,518
9,382
22,639
$750.20
$750.20
$750.20
$163,062.90
$1,300,776.05
$191,948.33
175
1,396
206
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($878,620.50)
($2,343,154.50)
($5,654,090.25)
FootNote
11,8,9
11,8
8,14,18
11
44,8,14
11
8
44,8,14
22,97
12,16
8,14,18,44,45
8,17,11
12,16,25
8
11,36
15,11,14
44,11,8
11
8
11,9,15
8
11,8
11,8,14
8
11
8,44,14
11
58
8,41,44
Institution Name
City
TRINITY CAPITAL CORPORATION
LOS ALAMOS
TRI-STATE BANK OF MEMPHIS
MEMPHIS
TRI-STATE BANK OF MEMPHIS
MEMPHIS
TRISTATE CAPITAL HOLDINGS, INC.
PITTSBURGH
TRISTATE CAPITAL HOLDINGS, INC.
PITTSBURGH
TRISUMMIT BANK
KINGSPORT
TRISUMMIT BANK
KINGSPORT
TRISUMMIT BANK
KINGSPORT
TRISUMMIT BANK
KINGSPORT
TRUSTMARK CORPORATION
JACKSON
TRUSTMARK CORPORATION
JACKSON
TRUSTMARK CORPORATION
JACKSON
TWO RIVERS FINANCIAL GROUP, INC.
BURLINGTON
TWO RIVERS FINANCIAL GROUP, INC.
BURLINGTON
U.S. BANCORP
MINNEAPOLIS
U.S. BANCORP
MINNEAPOLIS
U.S. BANCORP
MINNEAPOLIS
U.S. CENTURY BANK
MIAMI
UBT BANCSHARES, INC.
MARYSVILLE
UBT BANCSHARES, INC.
MARYSVILLE
UCBH HOLDINGS INC.
SAN FRANCISCO
UCBH HOLDINGS INC.
SAN FRANCISCO
UMPQUA HOLDINGS CORP.
PORTLAND
UMPQUA HOLDINGS CORP.
PORTLAND
UMPQUA HOLDINGS CORP.
PORTLAND
UNION BANK & TRUST COMPANY
OXFORD
UNION BANK & TRUST COMPANY
OXFORD
UNION BANK & TRUST COMPANY
OXFORD
UNION FINANCIAL CORPORATION
ALBUQUERQUE
UNION FINANCIAL CORPORATION
ALBUQUERQUE
UNION FINANCIAL CORPORATION
ALBUQUERQUE
UNION FIRST MARKET BANKSHARES CORPORATION
BOWLING GREEN
UNION FIRST MARKET BANKSHARES CORPORATION
BOWLING GREEN
UNION FIRST MARKET BANKSHARES CORPORATION
BOWLING GREEN
UNITED AMERICAN BANK
SAN MATEO
UNITED BANCORP, INC.
TECUMSEH
UNITED BANCORP, INC.
TECUMSEH
UNITED BANCORP, INC.
TECUMSEH
UNITED BANCORPORATION OF ALABAMA, INC.
ATMORE
UNITED BANCORPORATION OF ALABAMA, INC.
ATMORE
UNITED BANK CORPORATION
BARNESVILLE
UNITED BANK CORPORATION
BARNESVILLE
UNITED COMMUNITY BANKS, INC.
BLAIRSVILLE
UNITED COMMUNITY BANKS, INC.
BLAIRSVILLE
UNITED COMMUNITY BANKS, INC.
BLAIRSVILLE
UNITED COMMUNITY BANKS, INC.
BLAIRSVILLE
UNITED COMMUNITY BANKS, INC.
BLAIRSVILLE
UNITED COMMUNITY BANKS, INC.
BLAIRSVILLE
UNITED FINANCIAL BANKING COMPANIES, INC.
VIENNA
UNITED FINANCIAL BANKING COMPANIES, INC.
VIENNA
UNITED FINANCIAL BANKING COMPANIES, INC.
VIENNA
UNITY BANCORP, INC.
CLINTON
UNITY BANCORP, INC.
CLINTON
UNITY BANCORP, INC.
CLINTON
UNITY BANCORP, INC.
CLINTON
UNIVERSAL BANCORP
BLOOMFIELD
UNIVERSAL BANCORP
BLOOMFIELD
UNIVERSAL BANCORP
BLOOMFIELD
UNIVERSAL BANCORP
BLOOMFIELD
UNIVERSITY FINANCIAL CORP.
ST. PAUL
UNIVERSITY FINANCIAL CORP.
ST. PAUL
US METRO BANK
GARDEN GROVE
UWHARRIE CAPITAL CORP
ALBEMARLE
UWHARRIE CAPITAL CORP
ALBEMARLE
UWHARRIE CAPITAL CORP
ALBEMARLE
VALLEY COMMERCE BANCORP
VISALIA
VALLEY COMMERCE BANCORP
VISALIA
VALLEY COMMUNITY BANK
PLEASANTON
VALLEY COMMUNITY BANK
PLEASANTON
VALLEY FINANCIAL CORPORATION
ROANOKE
VALLEY FINANCIAL CORPORATION
ROANOKE
VALLEY FINANCIAL CORPORATION
ROANOKE
VALLEY FINANCIAL CORPORATION
ROANOKE
VALLEY FINANCIAL CORPORATION
ROANOKE
VALLEY FINANCIAL CORPORATION
ROANOKE
VALLEY FINANCIAL CORPORATION
ROANOKE
VALLEY FINANCIAL GROUP, LTD.
SAGINAW
VALLEY FINANCIAL GROUP, LTD.
SAGINAW
VALLEY NATIONAL BANCORP
WAYNE
VALLEY NATIONAL BANCORP
WAYNE
VALLEY NATIONAL BANCORP
WAYNE
VALLEY NATIONAL BANCORP
WAYNE
VALLEY NATIONAL BANCORP
WAYNE
VANTAGESOUTH BANK / CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT RALEIGH
VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY)
DALLAS
VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY)
DALLAS
VILLAGE BANK AND TRUST FINANCIAL CORP.
MIDLOTHIAN
VILLAGE BANK AND TRUST FINANCIAL CORP.
MIDLOTHIAN
State
NM
TN
TN
PA
PA
TN
TN
TN
TN
MS
MS
MS
IA
IA
MN
MN
MN
FL
KS
KS
CA
CA
OR
OR
OR
NC
NC
NC
NM
NM
NM
VA
VA
VA
CA
MI
MI
MI
AL
AL
GA
GA
GA
GA
GA
GA
GA
GA
VA
VA
VA
NJ
NJ
NJ
NJ
IN
IN
IN
IN
MN
MN
CA
NC
NC
NC
CA
CA
CA
CA
VA
VA
VA
VA
VA
VA
VA
MI
MI
NJ
NJ
NJ
NJ
NJ
NC
TX
TX
VA
VA
Date
11-Sep-12
3-Apr-09
13-Aug-10
27-Feb-09
26-Sep-12
3-Apr-09
22-Dec-09
29-Nov-12
11-Jan-13
21-Nov-08
9-Dec-09
30-Dec-09
29-May-09
1-Sep-11
14-Nov-08
17-Jun-09
15-Jul-09
7-Aug-09
30-Jan-09
11-Aug-11
14-Nov-08
6-Nov-09
14-Nov-08
17-Feb-10
31-Mar-10
1-May-09
18-Dec-09
22-Sep-11
29-Dec-09
25-Jul-12
2-Oct-13
19-Dec-08
18-Nov-09
23-Dec-09
20-Feb-09
16-Jan-09
19-Jun-12
18-Jul-12
23-Dec-08
3-Sep-10
22-May-09
3-Jul-12
5-Dec-08
26-Mar-13
27-Mar-13
28-Mar-13
9-Apr-13
10-Jun-13
16-Jan-09
15-Dec-10
15-Sep-11
5-Dec-08
15-May-13
3-Jul-13
28-Aug-13
22-May-09
8-Aug-13
12-Aug-13
12-Sep-13
19-Jun-09
30-Jul-10
6-Feb-09
23-Dec-08
3-Apr-13
16-Oct-13
30-Jan-09
21-Mar-12
9-Jan-09
21-Oct-13
12-Dec-08
14-Nov-12
20-Feb-13
15-May-13
14-Aug-13
16-Oct-13
13-Nov-13
18-Dec-09
22-Sep-11
14-Nov-08
3-Jun-09
23-Sep-09
23-Dec-09
24-May-10
9-Jan-09
26-Jun-09
25-Aug-11
1-May-09
19-Nov-13
Original Investment Type1
Original Investment
Amount
Outstanding
Investment
Total Cash Back2
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
(Fee)4
Shares
Avg. Price
(Realized Loss) /
(Write-off)
Gain5
Warrant Proceeds
Amount
Shares
($266,631.35)
Preferred Stock
$2,795,000.00
$0.00
$2,985,215.11
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$23,000,000.00
$0.00
$28,642,402.33
Redeemed, in full; warrants not outstanding
$2,795,000.00
2,795
$1,000.00
$23,000,000.00
23,000
$1,000.00
$5,251,500.00
7,002
$750.00
$6,496,417.16
215,000
$1,000.00
138
1,647,931
$600,000.00
60
32,679,102
$450,000.00
45
$4,500,000.00
$0.00
$124,665.75
$139,000,000.00
$2,765,000.00
$4,237,000.00
1,150
$10,000,000.00
Preferred Stock w/ Warrants
$1,150,000.00
1,110,898
Sold, in full; warrants not outstanding
($1,750,500.00)
($52,515.00)
Preferred Stock w/ Warrants
$215,000,000.00
$0.00
$236,287,500.00
Redeemed, in full; warrants not outstanding
$215,000,000.00
Preferred Stock w/ Exercised Warrants
$12,000,000.00
$0.00
$14,075,133.27
Redeemed, in full; warrants not outstanding
$6,933,220,416.67
Redeemed, in full; warrants not outstanding
$12,000,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$6,599,000,000.00
$50,236,000.00
$8,950,000.00
$0.00
$50,236,000.00
$0.00
$745,311.72
$10,634,911.78
6,599,000
$1,000.00
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$7,509,920.07
$1,000.00
$6,599,000,000.00
Preferred Stock w/ Warrants
12,000
Currently not collectible
$8,950,000.00
Preferred Stock w/ Warrants
$298,737,000.00
$0.00
8,950
$1,000.00
($298,737,000.00)
Preferred Stock w/ Warrants
$214,181,000.00
$0.00
$232,156,554.58
Redeemed, in full; warrants not outstanding
$214,181,000.00
Preferred Stock w/ Warrants
$3,194,000.00
$2,997,000.00
$0.00
$7,031,291.65
214,181
$1,000.00
Redeemed, in full; warrants not outstanding
$6,191,000.00
$0.00
$20,315,924.72
$65,000.00
65
59,000
$1,000.00
211,318
311,492
$720,000.00
720,000
219,908
$283,000.00
283
$2,707,314.00
$8,700,000.00
$0.00
$1,000.00
$1,000.00
$6,677.00
$8,700,000.00
$20,600,000.00
$62,145,972.22
600
1,579
$38,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$0.00
$2,639,873.33
160
$450,000.00
$59,000,000.00
$0.00
$160,000.00
$59,000,000.00
Preferred Stock w/ Warrants
$2,179,000.00
$1,000.00
$600,000.00
$1,579,000.00
Preferred Stock w/ Exercised Warrants
6,191
764,778
$476,573.62
495
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
$17,005,300.00
Preferred Stock w/ Warrants
$10,300,000.00
$0.00
$11,172,638.89
($255,079.50)
20,600
$825.50
Redeemed, in full; warrants outstanding
$10,300,000.00
$180,000,000.00
$0.00
$0.00
$18,882,079.62
$210,367,527.00
$1,000.00
14,400,000
$1.00
$1,516,900.00
$12,587,575.00
$159,145,525.00
Preferred Stock w/ Warrants
$14,400,000.00
10,300
$14,400,000.00
Subordinated Debentures w/ Exercised Warrants
($3,594,700.00)
1,576
13,078
165,346
$962.50
$962.50
$962.50
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($59,100.00)
($490,425.00)
($6,200,475.00)
($1,732,500.00)
Preferred Stock w/ Exercised Warrants
$5,658,000.00
$0.00
$6,649,963.92
Redeemed, in full; warrants not outstanding
$3,000,000.00
$2,658,000.00
Preferred Stock w/ Exercised Warrants
$20,649,000.00
$9,900,000.00
$0.00
$0.00
$28,013,814.50
$12,066,668.65
$1,000.00
$1,000.00
$10,324,000.00
$10,325,000.00
Preferred Stock w/ Warrants
3,000
2,658
10,324
10,325
$1,000.00
$1,000.00
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$237,527.50
$9,168,561.50
250
9,650
$950.10
$950.10
($12,472.50)
($481,438.50)
$11,926,000.00
11,926,000
$1.00
$7,742,000.00
$2,258,000.00
7,742
2,258
$1,000.00
$1,000.00
$500,000.00
500
$7,700,000.00
7,700
$1,000.00
$385,000.00
385
$2,296,800.00
5,500
$417.60
$70,815.25
275
$1,600,000.00
$1,600,000.00
$1,600,000.00
$1,600,000.00
$9,619,000.00
1,600
1,600
1,600
1,600
9,619
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$1,547,891.58
344,742
$65,000.00
65
$5,421,615.27
2,532,542
$150,000.00
150
($94,060.89)
Subordinated Debentures
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$11,926,000.00
$2,861,000.00
$10,000,000.00
$7,700,000.00
$0.00
$2,861,000.00
$0.00
$0.00
$12,948,886.40
$432,678.00
$12,916,040.83
$9,403,400.50
Redeemed, in full; warrants not outstanding
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,500,000.00
$0.00
$2,997,090.75
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$16,019,000.00
$0.00
$21,311,670.48
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,300,000.00
$0.00
$1,489,774.73
Redeemed, in full; warrants not outstanding
$1,300,000.00
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$300,000,000.00
$24,900,000.00
$3,000,000.00
$0.00
$24,900,000.00
$0.00
$318,400,781.94
1,300
$1,000.00
$75,000,000.00
$125,000,000.00
$100,000,000.00
Preferred Stock w/ Warrants
75,000
125,000
100,000
$1,000.00
$1,000.00
$1,000.00
Redeemed, in full; warrants not outstanding
$6,097,591.20
$3,503,795.81
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$6,990,593.66
Sold, in full; warrants outstanding
$3,000,000.00
Preferred Stock w/ Warrants
$14,738,000.00
$0.00
($3,203,200.00)
3,000
$1,000.00
$5,672,361.44
14,738
$384.90
($9,065,638.56)
FootNote
11
8,17
11,8,14
45,8,14
8,17,11
11
11,16
11
8,18,21,44
8,17
11
11
11
11
11
44
8
8,14,18
8,78,11
8
11
11
8,14
45,8,14
11
Institution Name
VIRGINIA COMMERCE BANCORP
VIRGINIA COMMERCE BANCORP
VIRGINIA COMPANY BANK
VIRGINIA COMPANY BANK
VIRGINIA COMPANY BANK
VIRGINIA COMPANY BANK
VISION BANK - TEXAS
VISION BANK - TEXAS
VISION BANK - TEXAS
VIST FINANCIAL CORP.
VIST FINANCIAL CORP.
W.T.B. FINANCIAL CORPORATION
W.T.B. FINANCIAL CORPORATION
WACHUSETT FINANCIAL SERVICES, INC.
WACHUSETT FINANCIAL SERVICES, INC.
WACHUSETT FINANCIAL SERVICES, INC.
WAINWRIGHT BANK & TRUST COMPANY
WAINWRIGHT BANK & TRUST COMPANY
WAINWRIGHT BANK & TRUST COMPANY
WASHINGTON BANKING COMPANY
WASHINGTON BANKING COMPANY
WASHINGTON BANKING COMPANY
WASHINGTON FEDERAL, INC.
WASHINGTON FEDERAL, INC.
WASHINGTON FEDERAL, INC.
WASHINGTONFIRST BANKSHARES, INC.
WASHINGTONFIRST BANKSHARES, INC.
WASHINGTONFIRST BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WEBSTER FINANCIAL CORPORATION
WEBSTER FINANCIAL CORPORATION
WEBSTER FINANCIAL CORPORATION
WEBSTER FINANCIAL CORPORATION
WEBSTER FINANCIAL CORPORATION
WELLS FARGO & CO.
WELLS FARGO & CO.
WELLS FARGO & CO.
WESBANCO, INC.
WESBANCO, INC.
WESBANCO, INC.
WEST BANCORPORATION, INC.
WEST BANCORPORATION, INC.
WEST BANCORPORATION, INC.
WESTAMERICA BANCORPORATION
WESTAMERICA BANCORPORATION
WESTAMERICA BANCORPORATION
WESTAMERICA BANCORPORATION
WESTERN ALLIANCE BANCORPORATION
WESTERN ALLIANCE BANCORPORATION
WESTERN ALLIANCE BANCORPORATION
WESTERN COMMUNITY BANCSHARES, INC.
WESTERN ILLINOIS BANCSHARES, INC.
WESTERN ILLINOIS BANCSHARES, INC.
WESTERN ILLINOIS BANCSHARES, INC.
WESTERN ILLINOIS BANCSHARES, INC.
WESTERN ILLINOIS BANCSHARES, INC.
WESTERN RESERVE BANCORP, INC.
WESTERN RESERVE BANCORP, INC.
WHITE RIVER BANCSHARES COMPANY
WHITNEY HOLDING CORPORATION
WHITNEY HOLDING CORPORATION
WILMINGTON TRUST CORPORATION
WILMINGTON TRUST CORPORATION
WILSHIRE BANCORP, INC.
WILSHIRE BANCORP, INC.
WILSHIRE BANCORP, INC.
WINTRUST FINANCIAL CORPORATION
WINTRUST FINANCIAL CORPORATION
WINTRUST FINANCIAL CORPORATION
WORTHINGTON FINANCIAL HOLDINGS, INC.
WORTHINGTON FINANCIAL HOLDINGS, INC.
WORTHINGTON FINANCIAL HOLDINGS, INC.
WSFS FINANCIAL CORPORATION
WSFS FINANCIAL CORPORATION
WSFS FINANCIAL CORPORATION
YADKIN VALLEY FINANCIAL CORPORATION
YADKIN VALLEY FINANCIAL CORPORATION
YADKIN VALLEY FINANCIAL CORPORATION
YADKIN VALLEY FINANCIAL CORPORATION
YADKIN VALLEY FINANCIAL CORPORATION
YORK TRADITIONS BANK
YORK TRADITIONS BANK
ZIONS BANCORPORATION
ZIONS BANCORPORATION
City
ARLINGTON
ARLINGTON
NEWPORT NEWS
NEWPORT NEWS
NEWPORT NEWS
NEWPORT NEWS
RICHARDSON
RICHARDSON
RICHARDSON
WYOMISSING
WYOMISSING
SPOKANE
SPOKANE
CLINTON
CLINTON
CLINTON
BOSTON
BOSTON
BOSTON
OAK HARBOR
OAK HARBOR
OAK HARBOR
SEATTLE
SEATTLE
SEATTLE
RESTON
RESTON
RESTON
WAUKESHA
WAUKESHA
WAUKESHA
WAUKESHA
WAUKESHA
WATERBURY
WATERBURY
WATERBURY
WATERBURY
WATERBURY
MINNEAPOLIS
MINNEAPOLIS
MINNEAPOLIS
WHEELING
WHEELING
WHEELING
WEST DES MOINES
WEST DES MOINES
WEST DES MOINES
SAN RAFAEL
SAN RAFAEL
SAN RAFAEL
SAN RAFAEL
LAS VEGAS
LAS VEGAS
LAS VEGAS
PALM DESERT
MONMOUTH
MONMOUTH
MONMOUTH
MONMOUTH
MONMOUTH
MEDINA
MEDINA
FAYETTEVILLE
NEW ORLEANS
NEW ORLEANS
WILMINGTON
WILMINGTON
LOS ANGELES
LOS ANGELES
LOS ANGELES
LAKE FOREST
LAKE FOREST
LAKE FOREST
HUNTSVILLE
HUNTSVILLE
HUNTSVILLE
WILMINGTON
WILMINGTON
WILMINGTON
ELKIN
ELKIN
ELKIN
ELKIN
ELKIN
YORK
YORK
SALT LAKE CITY
SALT LAKE CITY
State
VA
VA
VA
VA
VA
VA
TX
TX
TX
PA
PA
WA
WA
MA
MA
MA
MA
MA
MA
WA
WA
WA
WA
WA
WA
VA
VA
VA
WI
WI
WI
WI
WI
CT
CT
CT
CT
CT
MN
MN
MN
WV
WV
WV
IA
IA
IA
CA
CA
CA
CA
NV
NV
NV
CA
IL
IL
IL
IL
IL
OH
OH
AR
LA
LA
DE
DE
CA
CA
CA
IL
IL
IL
AL
AL
AL
DE
DE
DE
NC
NC
NC
NC
NC
PA
PA
UT
UT
Date
12-Dec-08
11-Dec-12
12-Jun-09
8-Aug-13
12-Aug-13
12-Sep-13
24-Apr-09
28-Dec-12
10-Jul-13
19-Dec-08
1-Aug-12
30-Jan-09
15-Sep-11
11-Dec-09
4-Apr-12
30-Jan-13
19-Dec-08
24-Nov-09
16-Dec-09
16-Jan-09
12-Jan-11
2-Mar-11
14-Nov-08
27-May-09
15-Mar-10
30-Jan-09
30-Oct-09
4-Aug-11
26-Jun-09
6-Feb-13
7-Feb-13
8-Feb-13
26-Mar-13
21-Nov-08
3-Mar-10
13-Oct-10
29-Dec-10
8-Jun-11
28-Oct-08
23-Dec-09
26-May-10
5-Dec-08
9-Sep-09
23-Dec-09
31-Dec-08
29-Jun-11
31-Aug-11
13-Feb-09
2-Sep-09
18-Nov-09
21-Nov-11
21-Nov-08
27-Sep-11
23-Nov-11
23-Dec-08
23-Dec-08
29-Dec-09
8-Nov-12
9-Nov-12
11-Jan-13
15-May-09
30-Nov-12
20-Feb-09
19-Dec-08
3-Jun-11
12-Dec-08
13-May-11
12-Dec-08
3-Apr-12
20-Jun-12
19-Dec-08
22-Dec-10
14-Feb-11
15-May-09
24-Jun-13
26-Jul-13
23-Jan-09
3-Apr-12
12-Sep-12
16-Jan-09
24-Jul-09
18-Sep-12
10-Jun-13
11-Jun-13
24-Apr-09
14-Jul-11
14-Nov-08
28-Mar-12
Original Investment Type1
Preferred Stock w/ Warrants
Original Investment
Amount
$71,000,000.00
Outstanding
Investment
Total Cash Back2
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
$0.00
$85,190,138.89
Shares
Avg. Price
Amount
Shares
$1,000.00
533
4,167
$610.40
$610.40
$787,500.00
$712,500.00
788
713
$25,000,000.00
$0.00
71,000
$325,353.86
$2,543,620.14
$4,700,000.00
Warrant Proceeds
Sold, in full; warrants not outstanding
$71,000,000.00
Preferred Stock w/ Exercised Warrants
Gain5
Redeemed, in full; warrants outstanding
$3,694,442.50
(Fee)4
(Realized Loss) /
(Write-off)
($207,646.14)
($1,623,379.86)
$63,481.25
143
$1,000.00
$1,000.00
$75,000.00
75
25,000
$1,000.00
$1,189,813.00
367,984
$110,000,000.00
110,000
$1,000.00
$5,500,000.00
5,500
$3,000,000.00
$4,000,000.00
3,000
4,000
$1,000.00
$1,000.00
$22,000,000.00
22,000
$1,000.00
$568,700.00
390,071
$1,625,000.00
246,082
$15,388,874.07
1,707,456
$332,000.00
332
$18,644.66
$147,194.69
19
150
$20,388,842.06
3,282,276
$840,374,891.73
110,261,688
$950,000.00
439,282
$700,000.00
474,100
$878,256.00
246,698
$415,000.00
787,107
$335,417.06
343
($25,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$1,500,000.00
$25,000,000.00
$110,000,000.00
$12,000,000.00
$22,000,000.00
$26,380,000.00
$0.00
$0.00
$0.00
$5,000,000.00
$0.00
$0.00
$1,898,258.59
$30,710,646.33
$131,236,874.33
$9,125,223.01
$23,592,311.11
$30,628,344.45
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in part; warrants outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$26,380,000.00
Preferred Stock w/ Warrants
$200,000,000.00
$0.00
$220,749,985.18
26,380
Redeemed, in full; warrants not outstanding
$200,000,000.00
Preferred Stock w/ Warrants
$6,633,000.00
$6,842,000.00
$0.00
$15,317,317.86
$1,000.00
200,000
$1,000.00
Redeemed, in full; warrants not outstanding
$13,475,000.00
$5,625,000.00
$0.00
$6,398,893.44
$1,000.00
$4,831,002.80
$92,690.00
$290,119.70
Preferred Stock w/ Exercised Warrants
13,475
5,212
100
313
$926.90
$926.90
$926.90
100,000
100,000
200,000
$1,000.00
$1,000.00
$1,000.00
Sold, in full; warrants not outstanding
($380,997.20)
($7,310.00)
($22,880.30)
($52,138.13)
Preferred Stock w/ Warrants
$400,000,000.00
$0.00
$457,333,286.51
Redeemed, in full; warrants not outstanding
$100,000,000.00
$100,000,000.00
$200,000,000.00
Preferred Stock w/ Warrants
$25,000,000,000.00
$0.00
$27,281,347,113.95
Redeemed, in full; warrants not outstanding
$25,000,000,000.00
Preferred Stock w/ Warrants
$75,000,000.00
$0.00
$78,804,166.67
25,000
Redeemed, in full; warrants not outstanding
$75,000,000.00
Preferred Stock w/ Warrants
$36,000,000.00
$0.00
$41,195,000.00
$75,000.00
$83,726,000.00
$0.00
$87,360,236.61
36,000
$140,000,000.00
$0.00
$160,365,000.00
41,863
41,863
$7,290,000.00
$6,855,000.00
$4,567,000.00
$7,290,000.00
$0.00
$554,083.00
$13,053,910.87
$1,000.00
$1,000.00
Redeemed, in full; warrants not outstanding
$140,000,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$1,000.00
Redeemed, in full; warrants not outstanding
$41,863,000.00
$41,863,000.00
Preferred Stock w/ Warrants
$1,000.00
Redeemed, in full; warrants not outstanding
$36,000,000.00
Preferred Stock w/ Warrants
$1,000,000.00
140,000
$1,000.00
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
$1,050,524.72
$9,673,015.37
1,117
10,305
$940.38
$939.53
($66,475.28)
($631,984.63)
$4,700,000.00
4,700
$1,000.00
$235,000.00
235
$300,000,000.00
300,000
$1,000.00
$6,900,000.00
2,631,579
$330,000,000.00
330,000
$1,000.00
62,158
$943.50
$760,000.00
949,460
$25,600,564.15
1,643,295
$90,940.00
136
$1,800,000.00
175,105
$55,677.00
$20,000.00
91,178
128,663
$244,000.00
244
($107,235.41)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$4,700,000.00
$16,800,000.00
$300,000,000.00
$330,000,000.00
$62,158,000.00
$0.00
$16,800,000.00
$0.00
$0.00
$0.00
$5,842,197.92
Redeemed, in full; warrants not outstanding
$1,589,583.00
$343,733,333.33
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$369,920,833.33
$68,809,170.52
Redeemed, in full; warrants outstanding
Sold, in full; warrants not outstanding
$58,646,694.58
Preferred Stock w/ Warrants
$250,000,000.00
$0.00
$300,704,730.81
($879,700.42)
Redeemed, in full; warrants not outstanding
$250,000,000.00
Preferred Stock w/ Exercised Warrants
$2,720,000.00
$0.00
$2,780,391.21
($3,511,305.42)
250,000
$1,000.00
Sold, in full; warrants not outstanding
$2,343,851.20
2,720
$861.70
($376,148.80)
52,625
$915.10
($4,467,336.25)
($24,999.99)
Preferred Stock w/ Warrants
$52,625,000.00
$0.00
$57,640,856.64
Sold, in full; warrants not outstanding
$48,157,663.75
Preferred Stock w/ Warrants
$36,000,000.00
$13,312,000.00
$0.00
$52,383,419.85
Sold, in full; warrants not outstanding
$44,149,056.00
Preferred Stock w/ Exercised Warrants
$4,871,000.00
$0.00
($722,364.96)
$5,705,022.14
49,312
$893.00
Redeemed, in full; warrants not outstanding
$4,871,000.00
Preferred Stock w/ Warrants
$1,400,000,000.00
$0.00
($5,162,944.00)
Redeemed, in full; warrants not outstanding
$1,661,027,529.62
($662,235.84)
4,871
$1,000.00
$700,000,000.00
700,000
$1,000.00
FootNote
Institution Name
ZIONS BANCORPORATION
ZIONS BANCORPORATION
City
SALT LAKE CITY
SALT LAKE CITY
State
UT
UT
Date
Original Investment
Amount
Original Investment Type1
Outstanding
Investment
Total Cash Back2
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
26-Sep-12
5-Dec-12
(Fee)4
700,000
$700,000,000.00
TOTALS
$204,894,726,320.00
$2,127,842,389.88
$224,893,089,005.08
$198,072,410,920.28
Shares
($34,476,930.50)
Avg. Price
(Realized Loss) /
(Write-off)
Gain5
Warrant Proceeds
Amount
Shares
$1,000.00
($4,694,473,009.86)
$6,892,181,661.26
$7,666,418.51
$7,909,426,277.74
5,789,909
Footnote Description
All pricing is at par.
Total Cash Back includes net capital repayments, interest and dividends, warrant proceeds, and other income (less expenses).
Capital Repayments includes gross capital repayments, gross auction proceeds, exchanges into CDCI, and SBLF fundings.
Includes: (i) placement fees in private auctions of a CPP issuer’s securities where Treasury pays placement fees to the placement agents in an amount equal to a minimum of $50,000
(per issuer) or 1.00% of gross aggregate proceeds for each security and (ii) unreimbursed underwriting fees in public offerings. Placement fees in private auctions are paid
approximately one month after settlement.
5 Net proceeds from sales and auctions can be calculated by adding the “Amount” and “(Fee)” columns under the "Capital Repayment / Disposition / Auction" plus any amount in the
"Gain" column. Note that "(Fee)" is a negative number.
6 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 was funded on
1/9/2009.
7 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 net
disposition proceeds from CPP warrants on 3/3/2010 was $305,913,040, consisting of $183,547,824 and $122,365,216. Proceeds from the disposition of TIP warrants on 3/3/2010
appear on a following page of this report.
8
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.
Footnote
1
2
3
4
9 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.
10 Treasury cancelled the warrants received from this institution due to its designation as a CDFI.
11 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009.
12 Redemption pursuant to a qualified equity offering.
13 This amount does not include accrued and unpaid dividends, which must be paid at the time of capital repayment.
14 The proceeds associated with the disposition of this investment do not include accrued and unpaid dividends.
15 Subchapter S corporation; Treasury received a warrant to purchase additional subordinated debentures (unless the institution is a CDFI), which it exercised immediately.
16 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.
17 This institution participated in the expansion of CPP for small banks.
18 This institution received an additional investment through the expansion of CPP for small banks.
19 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.
20 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.
21 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.
22 As of the date of this report, this institution is in bankruptcy proceedings.
Footnote
23
Footnote Description
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 not met.
24 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.
25 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 original
investment.
26 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.
27 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.
28 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.
29
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. On 7/26/13, Treasury entered into a
securities purchase agreement with Independent pursuant to which Treasury agreed to sell to Independent the MCP and the warrant issued by Independent, subject to the conditions
specified in such agreement. On 8/30/13, Treasury completed the sale of the MCP and warrant to Independent pursuant to the terms of such agreement.
30
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.
31 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.
Footnote Description
Footnote
32 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.
33 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.
34 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. On 10/07/2011, 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 32,941,797 shares of common stock of First BanCorp. Treasury
received all accrued and previously unpaid dividends on the MCP at the time of the conversion. First BanCorp has agreed to have a Treasury observer attend board of directors
meetings.
35
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. Following a reverse stock split effective 12/28/10, Treasury held 3,608,332 shares of Pacific Capital
common stock. Effective 11/30/12, Pacific Capital merged with and into UnionBanCal Corporation and each outstanding share of common stock of the Company was converted into the
right to receive $46.00 per share in cash, and Treasury received $165,983,272 in respect of its common stock and $393,121 in respect of its warrant.
36 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.
37 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.
38
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.
39
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.
40 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.
41 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.
42
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.
Footnote Description
Footnote
43 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.
44 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.
45 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.
46 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.
47 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.
48 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.
49 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.
50 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.
51 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.
52 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.
53 On 10/21/2011, Treasury completed the exchange of all FNB United Corp. ("FNB United") preferred stock and warrants held by Treasury for 108,555,303 shares of FNB United common
stock and an amended and restated warrant, pursuant to the terms of the agreement between Treasury and FNB United entered into on 08/12/2011.
54 As a result of the acquisition of Berkshire Bancorp, Inc. (the acquired company) by Customers Bancorp, Inc. (the acquiror), the preferred stock and exercised warrants issued by the
acquired company on 6/12/2009 were exchanged for a like amount of securities of the acquiror plus accrued and previously unpaid dividends, pursuant to the terms of an agreement
among Treasury, the acquired company and the acquiror entered into on 9/16/2011.
55 On 9/23/2011, Citizens Bank of Northern California, Nevada City, California, the banking subsidiary of Citizens Bancorp, was closed by the California Department of Financial
Institutions, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
56 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 in connection with the institution’s participation in the Small Business Lending
Fund, which occurred at a later date.
57 On 10/14/2011, Country Bank, Aledo, Illinois, the banking subsidiary of CB Holding Corp., was closed by the Illinois Department of Financial and Professional Regulation - Division of
Banking, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
58
As a result of a reincorporation transaction whereby Crescent Financial Corporation (CFC) was merged into Crescent Financial Bancshares, Inc. (CFB), the preferred stock and warrant
issued by CFC on 1/9/2009 were exchanged for a like amount of securities of CFB, pursuant to the terms of an agreement among Treasury, CFC and CFB entered into on 11/15/2011.
59 As a result of the acquisition of Center Financial Corporation by BBCN Bancorp, Inc. (formerly Nara Bancorp, Inc.), the preferred stock and warrant issued by Center Financial
Corporation were exchanged for a like amount of securities of BBCN Bancorp, Inc., pursuant to the terms of an agreement among Treasury, Center Financial Corporation, and BBCN
Bancorp, Inc. entered into on 11/30/2011.
Footnote Description
Footnote
60 On 1/3/2012, Treasury completed (i) the sale to F.N.B. Corporation (“F.N.B.”) of all of the preferred stock that had been issued to Treasury by Parkvale Financial Corporation
(“Parkvale”) for a purchase price of $31,762,000 plus accrued dividends and (ii) the exchange of the Parkvale warrant held by Treasury for a like F.N.B. warrant, pursuant to the terms of
the agreement between Treasury and F.N.B. entered into on 12/29/2011 in connection with the merger of Parkvale and F.N.B. effective 01/01/2012.
61
As a result of the acquisition of State Bancorp, Inc. (the acquired company) by Valley National Bancorp (the acquiror), the warrant issued by the acquired company on 12/5/2008 was
exchanged for a like security of the acquiror, pursuant to the terms of an agreement among Treasury, the acquired company and the acquiror entered into on 1/1/2012.
62 On 1/27/2012, pursuant to the terms of the merger of Regents Bancshares, Inc. (“Regents”) with Grandpoint Capital, Inc., Treasury received $13,214,858.00 (representing the par
amount together with accrued and unpaid dividends thereon) in respect of the preferred stock (including that received from the exercise of warrants) that had been issued to Treasury by
Regents.
63 On 1/27/2012, Tennessee Commerce Bank, Franklin, TN, the banking subsidiary of Tennessee Commerce Bancorp, Inc., was closed by the Tennessee Department of Financial
Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
64 On 2/10/2012, SCB Bank, Shelbyville, Indiana, the banking subsidiary of Blue River Bancshares, Inc., was closed by the Office of the Comptroller of the Currency, which appointed the
Federal Deposit Insurance Corporation (FDIC) as receiver.
65 On 2/10/2012, Treasury entered into an agreement with Broadway Financial Corporation to exchange Treasury’s $15,000,000 of preferred stock for common stock. The exchange is
subject to the fulfillment by Broadway Financial Corporation of certain conditions, including the satisfactory completion of a capital plan.
66 On 4/20/2012, Fort Lee Federal Savings Bank, FSB, Fort Lee, New Jersey, was closed by the Office of the Comptroller of the Currency, which appointed the Federal Deposit Insurance
Corporation (FDIC) as receiver.
67 As a result of the acquisition of Community Holding Company of Florida, Inc. (the acquired company) by Community Bancshares of Mississippi, Inc. (the acquiror), the preferred stock
and exercised warrants issued by the acquired company on 2/6/2009 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 7/19/2012.
68 On 7/13/2012, Glasgow Savings Bank, Glasgow, MO, the banking subsidiary of Gregg Bancshares, Inc. , was closed by the Missouri Division of Finance, which appointed the Federal
Deposit Insurance Corporation (FDIC) as receiver.
69 On 7/27/2012, Treasury entered into an agreement with Pinnacle Bank Holding Company, Inc. (“Pinnacle”) pursuant to which Treasury agreed to sell its CPP preferred stock back to
Pinnacle at a discount subject to the satisfaction of the conditions specified in the agreement.
70 On 10/19/2012, GulfSouth Private Bank, Destin, Florida, was closed by the Florida Office of Financial Regulation, which appointed the Federal Deposit Insurance Corporation (FDIC) as
receiver.
71 On 10/19/2012, Excel Bank, Sedalia, Missouri, the banking subsidiary of Investors Financial Corporation of Pettis County, Inc., was closed by the Missouri Division of Finance, which
appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
72 On 10/25/2012, pursuant to the terms of the merger of First Community Bancshares, Inc. ("First Community") and Equity Bancshares, Inc. ("Equity"), Treasury received a like amount of
preferred stock and exercised warrants from Equity in exchange for Treasury's original investment in First Community, plus accrued and unpaid dividends, pursuant to a placement
agency agreement executed on 10/23/2012.
73 On 10/29/2012, First Place Financial Corp. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Delaware.
74
On 2/22/2013, Treasury completed the exchange of its Standard Bancshares, Inc. preferred stock for common stock, pursuant to an exchange agreement, dated as of 11/5/2012, with
Standard Bancshares, Inc., and immediately sold the resulting Standard Bancshares, Inc. common stock, pursuant to securities purchase agreements, each dated as of 11/5/2012, with
W Capital Partners II, L.P., Trident SBI Holdings, LLC, PEPI Capital, LP, LCB Investment, LLC, Cohesive Capital Partners, L.P., and Athena Select Private Investment Fund LLC.
75 On 11/2/2012, Citizens First National Bank, Princeton, IL, the banking subsidiary of Princeton National Bancorp, was closed by the Office of the Comptroller of the Currency, and the
Federal Deposit Insurance Corporation (FDIC) was named Receiver.
Footnote Description
Footnote
76 On 11/13/2012, Treasury entered into an agreement with Community Financial Shares, Inc. (“CFS”) pursuant to which Treasury agreed to sell its CPP preferred stock back to CFS at a
discount subject to the satisfaction of the conditions specified in the agreement.
77 In connection with the merger of Fidelity Bancorp, Inc. (“Fidelity”) and WesBanco, Inc. (“WesBanco”) effective 01/01/2012, Treasury (i) sold to WesBanco all of the preferred stock that
had been issued by Fidelity to Treasury for a purchase price of $7,000,000 plus accrued dividends and (ii) exchanged the Fidelity warrant held by Treasury for a like WesBanco warrant,
pursuant to the terms of an agreement among Treasury and WesBanco entered into on 11/28/2012.
78 On 11/30/12, Western Reserve Bancorp, Inc. was acquired by an affiliate of Westfield Bancorp, Inc. Pursuant to the terms of the merger, each outstanding share of Series A and Series
B preferred stock issued to Treasury was redeemed for the respective principal amount together with accrued and unpaid dividends thereon.
79 On 2/20/2013, Treasury sold its CPP preferred stock and warrant issued by First Sound Bank (“First Sound”) back to First Sound for an aggregate purchase price of $3,700,000,
pursuant to the terms of the agreement between Treasury and First Sound entered into on 11/30/2012.
80 On 4/9/2013, Treasury sold its CPP preferred stock and warrant issued by PremierWest Bancorp (“PremierWest”) pursuant to an agreement with PremierWest and Starbuck
Bancshares, Inc. (“Starbuck”) entered into on 12/11/2012.
81
In connection with the merger of Community Financial Corporation (“Community Financial”) and City Holding Company (“City Holding”) effective 1/09/13, Treasury (i) sold to City Holding
all of the preferred stock that had been issued by Community Financial to Treasury for a purchase price of $12,643,000 plus accrued dividends and (ii) exchanged the Community
Financial warrant held by Treasury for a like City Holding warrant, pursuant to the terms of an agreement among Treasury and City Holding entered into on 1/09/13.
82
On 1/29/2013, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 9,950 shares of Coastal Banking Company, Inc. Preferred stock at $815.00
per share (less a placement agent fee) for net proceeds of $8,028,157.50. On 2/6/2013, the placement agent notified Coastal Banking Company, Inc. that, pursuant to the placement
agency agreement, it was terminating the transaction and, therefore, Treasury did not receive any proceeds or pay any fees in connection with the transaction.
83 On 2/15/2013, Treasury sold its CPP preferred stock and warrant issued by BancTrust Financial Group, Inc. (“BancTrust”) pursuant to an agreement with BancTrust and Trustmark
Corporation (“Trustmark”) entered into on 02/11/2013.
84 On 8/14/2013, Treasury sold its CPP preferred stock issued by Florida Bank Group, Inc. (“FBG”) back to FBG for an aggregate purchase price of $8,000,000, pursuant to the terms of
the agreement between Treasury and FBG entered into on 2/12/13.
85 On 2/15/2013, pursuant to the terms of the merger of Pacific International Bancorp, Inc. (“Pacific International”) with BBCN Bancorp, Inc. (“BBCN”), Treasury received $7,474,619.97
(representing the par amount together with accrued and unpaid dividends thereon) in respect of the preferred stock that had been issued to Treasury by Pacific International. Treasury
exchanged its Pacific International warrant for an equivalent warrant issued by BBCN.
86
On 4/12/2013, Treasury completed (i) the sale of its CPP preferred in Citizens Republic Bancorp, Inc. (Citizens Republic) to FirstMerit Corporation (FirstMerit) and (ii) the exchange of its
warrant in Citizens Republic for a warrant issued by FirstMerit, pursuant to a securities purchase agreement, dated as of 2/19/13, among Treasury, FirstMerit and Citizens Republic.
87 On 4/11/2013, Treasury completed the exchange of its First Security Group, Inc. (FSGI) preferred stock for common stock, pursuant to an exchange agreement, dated as of 2/25/2013,
between Treasury and FSGI, and sold the resulting FSGI common stock, pursuant to securities purchase agreements, each dated as of 4/9/2013, between Treasury and the purchasers
party thereto.
88 On 3/19/2013, Treasury exercised its warrant on a cashless basis and received (i) 186,589 shares of common stock and (ii) $71.62 in cash in lieu of fractional shares. Treasury sold
such shares of common stock on 3/19/2013.
89 As a result of the acquisition of ECB Bancorp, Inc. by Crescent Financial Bancshares, Inc., the preferred stock and warrant issued by ECB Bancorp, Inc. were exchanged for a like
amount of securities of Crescent Financial Bancshares, Inc., pursuant to the terms of an agreement among Treasury, ECB Bancorp, Inc., and Crescent Financial Bancshares, Inc.
entered into on 4/1/2013.
90 As a result of the merger of Annapolis Bancorp, Inc. into F.N.B. Corporation, the warrant issued by Annapolis Bancorp, Inc. was exchanged for a like warrant issued by F.N.B.
Corporation, pursuant to the terms of an agreement among Treasury, Annapolis Bancorp, Inc., and F.N.B. Corporation entered into on 4/6/2013.
Footnote Description
Footnote
91 On 04/05/2013, Gold Canyon Bank, Gold Canyon, Arizona was closed by the Arizona Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was
named Receiver.
92 On 04/09/2013, Indiana Bank Corp. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the Southern District of Indiana.
93
On 7/17/13, Treasury entered into a securities purchase agreement with Central Virginia Bankshares, Inc. (CVB) and C&F Financial Corporation (C&F) pursuant to which Treasury
agreed to sell to C&F the CPP preferred stock and warrant issued by CVB, subject to the conditions specified in such agreement. The sale was completed on 10/01/2013.
94
On 8/12/2013, Anchor BanCorp Wisconsin Inc. ( “Anchor”) filed a voluntary petition for Chapter 11 protection in the U.S. Bankruptcy Court for the Western District of Wisconsin to
implement a “pre-packaged” Plan of Reorganization in order to facilitate the restructuring of Anchor. On 9/27/ 2013, the Plan of Reorganization became effective in accordance with its
terms, pursuant to which (i) Treasury’s preferred stock was exchanged for 60,000,000 shares of common stock (the “Common Stock”) and (ii) Treasury’s warrant was cancelled. On
9/27/2013, Treasury sold the Common Stock to purchasers pursuant to securities purchase agreements entered into on 9/19/2013.
95 On 7/5/2013, Rogers Bancshares, Inc. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the Eastern District of Arkansas.
96 On 8/22/2013, Treasury exchanged its preferred stock in Broadway Financial Corporation for 10,146 shares of common stock equivalent representing (i) 50% of the liquidation
preference of the preferred stock, plus (ii) 100% of previously accrued and unpaid dividends on the preferred stock ($2,646,000). The common stock equivalent will be converted to
common stock upon the receipt of certain shareholder approvals.
97 This institution has entered into bankruptcy or receivership. For a full list of institutions that have entered bankruptcy or receivership and Treasury's remaining investments, reference
appendices B and C in the section titled “Capital Purchase Program Institutions” in the most recent report to congress found on Treasury’s website:
http://www.treasury.gov/initiatives/financial-stability/reports/Pages/Monthly-Report-to-Congress.aspx.
98 On 10/30/2013, Treasury entered into an agreement with Monarch Community Bancorp, Inc. (Monarch) to exchange Treasury’s CPP warrant and $6,785,000 of preferred stock for
common stock. The exchange was subject to the fulfillment by Monarch of certain conditions, including the satisfactory completion of a capital plan. On 11/15/2013, the exchange of the
CPP warrant and preferred stock for common stock was completed and Treasury sold such common stock to purchasers pursuant to securities purchase agreements dated as of
11/15/2013.
99 On 12/5/2013, Treasury's 10,146 shares of common stock equivalent in Broadway Financial converted to 10,146,000 shares of common stock.
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
12/6/2010
Pricing Mechanism
1
2
3
4
5
6
Number of Shares
Proceeds
7
$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
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 31 of 48
COMMUNITY DEVELOPMENT CAPITAL INITIATIVE
Seller
Footnote
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
Name of Institution
Purchase Date
1
1, 2
1, 2
1, 4
1
2a
1
1
1
1
2a
1
1, 3
1
1
1, 2
1
1, 2
1, 7
6
6
6
6
1, 2
1, 2
1, 2
1, 2
1
1
1
1, 7
1
1
Purchase Details
City
State
Guaranty Capital Corporation
University Financial Corp, Inc.
Southern Bancorp, Inc.
Premier Bancorp, Inc.
Belzoni
St. Paul
Arkadelphia
Wilmette
MS
MN
AR
IL
Citizens Bancshares Corporation
Atlanta
GA
PGB Holdings, Inc.
First American International Corp.
Tri-State Bank of Memphis
Chicago
Brooklyn
Memphis
IL
NY
TN
Mission Valley Bancorp
Sun Valley
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.
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
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
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
Common 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
Amount from CPP
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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
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
Pricing
Mechanism
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
Amount
Date
Remaining Investment
Amount
11/28/2012
6
$22,115,000
$0
1/29/2013
4
$79,900
$0
5/1/2013
7
$5,146,000
$0
9/26/2012
6
$2,500,000
$0
10/17/2012
6
$1,657,000
$0
9/4/2013
6
$743,000
$0
10/3/2012
6
$1,096,000
$0
8/30/2013
7
$30,000,000
$0
12/28/2012
7
$9,734,000
$0
Page 32 of 48
Seller
Footnote
Purchase Date
1
6
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
6
9/29/2010
Name of Institution
City
State
Investment Description
Preferred Stock
Amount from CPP
Batesville
Palisades Park
Bay Springs
Okolona
Lakewood
New York
Bronx
Shreveport
Springhill
MS
NJ
MS
MS
NY
NY
NY
LA
LA
Preferred Stock
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
$
$
$
$
$
$
$
$
$
New York
NY
Subordinated Debentures
$
6
6
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
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
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
17,910,000
-
Disposition Details
Additional Investment
Investment Amount
Pricing
Mechanism
$
$
$
$
$
$
$
$
$
-
$
$
$
$
$
$
$
$
$
17,910,000
5,250,000
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
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 $
8
Security Capital Corporation
BankAsiana
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
570,073,000
Amount
Date
Remaining Investment
Amount
10/1/2013
6
$5,250,000
$0
3/13/2013
6
$3,297,000
$0
2/6/2013
6
$2,500,000
$3,800,000
3/20/2013
6
$57,000
$0
10/30/2013
6
$1,100,000
$0
4/10/2012
6
$350,000
$0
6/12/2013
6
$9,278,000
$0
Total Capital Repayment Amount
TOTAL TREASURY COMMUNITY DEVELOPMENT INITIATIVE (CDCI) INVESTMENT AMOUNT
$
$94,902,900
468,466,000
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.
3/ On 10/28/2011, Treasury completed the exchange of all Carver Bancorp, Inc. ("Carver") preferred stock held by Treasury for 2,321,286 shares of Carver common stock, pursuant to the terms of the agreement between Treasury and Carver entered into on 06/29/2011. Accrued and previously unpaid dividends were paid on the date of the exchange.
4/ On 3/23/2012, Premier Bank, Wilmette, IL, the banking subsidiary of Premier Bancorp, Inc., was closed by the Illinois Department of Financial and Professional Regulation - Division of Banking, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver. On 1/29/2013, UST received $79,900 representing the total amount of
distributions paid to creditors as a result of the liquidation of Premier Bancorp, Inc.
5/ Repayment pursuant to Section 5 of the CDCI Certificate of Designation.
6/ Repayment pursuant to Section 6.10 of the CDCI Securities Purchase Agreement
7/ Repayment pursuant to Section 5 of the CDCI Exchange Agreement.
8/ Repayment pursuant to Section 6.11 of the CDCI Securities Purchase Agreement.
9/ Repayment pursuant to Section 5.11 of the CDCI Exchange Agreement.
Page 33 of 48
AUTOMOTIVE INDUSTRY FINANCING PROGRAM
Initial Investment
City, State
Date
Transaction Type
Seller
12/29/2008
Purchase
GMAC
5/21/2009
Purchase
GMAC
Description
Preferred Stock w/
Exercised Warrants
Exchange/Transfer/Other Details
Amount
Pricing
Mechanism
$
5,000,000,000
Par
$
7,500,000,000
Par
Date
12/30/2009
Type
Exchange for convertible
preferred stock
Amount
Payment or Disposition1
Treasury Investment After Exchange/Transfer/Other
Pricing
Mechanism
$
5,000,000,000
N/A
Partial conversion of preferred
$
stock for common stock
3,000,000,000
Obligor
Description
Convertible
Preferred Stock
Amount/Equity %
Date
Type
Amount/ Proceeds
Remaining
Investment
Description
Remaining
Investment
Amount/Equity %
N/A
Debt Obligation
$
884,024,131
Par
12/31/2008
Purchase
13,400,000,000
Par
4/22/2009
Purchase
2,000,000,000
Par
5/20/2009
General
Motors
Purchase
General Motors
Corporation
General Motors
Corporation
General Motors
Corporation
General Motors
Corporation
Debt Obligation w/ Additional
$
Note
Debt Obligation w/ Additional
$
Note
Debt Obligation w/ Additional
$
Note
4,000,000,000
Par
2
5/29/2009
7/10/2009
4
5
7/10/2009
7/10/2009
Exchange for preferred and
common stock in New GM
$
2,670,000,000
N/A
27 GMAC (Ally)
884,024,131
N/A
13,400,000,000
N/A
2,000,000,000
N/A
4,000,000,000
Purchase
General Motors
Corporation
Par
6
8
7/10/2009
Exchange for preferred and
common stock in New GM
$
360,624,198
N/A
1/16/2009
Farmington
Hills, MI
Purchase
Chrysler FinCo
Debt Obligation w/ Additional
$
Note
30,100,000,000
1,500,000,000
Par
Par
13
7/10/2009
Exchange for preferred and
common stock in New GM
$
22,041,706,310
N/A
Transfer of debt to New GM
$
7,072,488,605
N/A
7/10/2009
Purchase
Debt Obligation w/ Additional
$
Note
360,624,198
Debt left at Old GM
$
985,805,085
N/A
11,743,303,903 Common Stock
36.9%
$
1,761,495,577 Common Stock
32.04%
$
5,500,000,000 Common Stock
21.97%
Partial Disposition 34
$
1,637,839,844 Common Stock
17.69%
6/12/2013
2,670,000,000
10, 11,
Preferred Stock
24
$
2,100,000,000
Partial Disposition 35
$
1,031,700,000 Common Stock
13.80%
Partial Disposition 36
$
3,822,724,832 Common Stock
7.32%
$
2,563,441,956 Common Stock
2.24%
Partial Disposition 39
$
1,208,249,982 Common Stock
0.00%
Partial Repayment
$
360,624,198 Debt Obligation
$
6,711,864,407
$
1,000,000,000 Debt Obligation
$
5,711,864,407
1/21/2010
Partial Repayment
$
35,084,421 Debt Obligation
$
5,676,779,986
Partial Repayment
$
1,000,000,000 Debt Obligation
$
4,676,779,986
Repayment
$
4,676,779,986
3/31/2011
Partial Repayment
$
50,000,000 Debt Obligation
$
935,805,085
Partial Repayment
$
45,000,000 Debt Obligation
$
890,805,085
Partial Repayment
$
15,887,795 Debt Obligation
$
874,917,290
$
144,444 Debt Obligation
$
874,772,846
$
18,890,294 Debt Obligation
$
855,882,552
Partial Repayment
$
6,713,489 Debt Obligation
$
849,169,063
$
435,097 Debt Obligation
$
848,733,966
Partial Repayment
$
10,048,968 Debt Obligation
$
838,684,999
Partial Repayment
$
11,832,877 Debt Obligation
$
826,852,122
3/17/2009
Partial Repayment
$
1,496,500,945
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*
3
7
7 General Motors
Company
7
General Motors
Company
N/A
7/10/2009
6/3/2009
General Motors
Corporation
Debt Obligation w/ Additional
$
Note
$
4/11/2013
$
10, 11,
25
Common Stock
60.8%
Detroit, MI
5/27/2009
Chrysler
FinCo
11/18/2010 Partial Disposition 25
63.45%
Trust Preferred
Securities
27
0
4/17/2009
Purchase
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
$
9/20/2013
12/29/2008
3/1/2011
N/A
5/22/2013
Par
Common Stock
2,139,406,778
10/23/2012 Partial Repayment
2,540,000,000
26
$
1/11/2012
$
N/A
12/15/2010 Repayment
12/23/2011 Partial Repayment
Trust Preferred Securities w/
Exercised Warrants
5,500,000,000
0
12/16/2011 Partial Repayment
GMAC
Partial conversion of preferred
$
stock for common stock
$
5/3/2011
Purchase
12/30/2010
N/A
4/5/2011
12/30/2009
22,
26
2,667,000,000
4/20/2010
Par
$
3/31/2010
1,250,000,000
3/2/2011 Disposition 28
12/18/2009 Partial Repayment
$
0
7/10/2009
Convertible Preferred Stock
w/ Exercised Warrants
$
12/9/2013
GMAC
3, 26,
32, 38
N/A
11/20/2013 Partial Disposition 37
Purchase
GMAC (Ally)
5,937,500,000
5,925,000,000
9/13/2013
12/30/2009
12/30/2009
$
$
12/21/2012 Partial Disposition 33
Detroit, MI
22
21, 22
11/20/2013 Disposition 38
11/26/2010 Partial Disposition 25
GMAC
(Ally)
Convertible Preferred Stock
w/ Exercised Warrants
GMAC (Ally)
7
General Motors
Holdings LLC
11, 12 Debt Obligation
$
7,072,488,605
N/A
$
0
9
9
9 Motors Liquidation
Company
29
Debt Obligation
$
985,805,085
$
$
$
$
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
$
1,369,197,029
$
15,000,000
Additional Note
N/A
$
0
-
Page 34 of 48
1/2/2009
Purchase
Chrysler Holding
Purchase
Chrysler Holding
Purchase
Chrysler Holding
5/1/2009
Purchase
Old Chrysler
5/20/2009
Purchase
Old Chrysler
4/29/2009
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
$
4,000,000,000
$
-
$
280,130,642
$
1,888,153,580
$
-
Par
Par
6/10/2009
Transfer of debt to New
Chrysler
$
500,000,000
N/A
19
Chrysler Holding
20
Debt obligation w/
additional note
$
3,500,000,000
5/14/2010
14
15
Termination and settlement
20
payment
$
1,900,000,000
N/A
N/A
-
Right to recover
proceeds
N/A
Auburn Hills,
MI
5/27/2009
Purchase
New Chrysler
Debt Obligation w/ Additional
Note, Zero Coupon Note,
$
Equity
18
6,642,000,000
N/A
6/10/2009
Issuance of equity in New
Chrysler
$
-
N/A
Chrysler Group
LLC
Chrysler Group
LLC
Total Initial Investment Amount $
19, 31 Debt obligation w/
additional note &
zero coupon note
30
81,344,932,551
Total Treasury Investment Amount $
Common equity
$
7,142,000,000
6.6%
30,544,528
Proceeds from sale of collateral
$
$
7,844,409
Right to recover
proceeds
N/A
Proceeds from sale of collateral
$
9,302,185
Right to recover
proceeds
N/A
5/24/2011
Repayment - Principal
$
5,076,460,000
Termination of undrawn facility 31
$
2,065,540,000
Repayment* - Additional Note
$
288,000,000
Repayment* - Zero Coupon Note
$
100,000,000
7/21/2011
Disposition
$
560,000,000
50,680,552,988
Additional Proceeds * $
23
$
Total Payments $
23 Old Carco
Liquidation Trust
Proceeds from sale of collateral
5/24/2011
N/A
5/10/2010
9/9/2010
(1,888,153,580)
280,130,642
5/24/2011
17
Completion of bankruptcy
$
proceeding; transfer of
collateral security to liquidation
trust
$
4/30/2012
-
4/30/2010
Repayment
5/24/2011
Chrysler
16
7/10/2009
12/29/2010 Proceeds from sale of collateral
4/29/2009
$
403,000,000
Right to recover
proceeds
Right to recover
9,666,784
proceeds
N/A
N/A
0
N/A
N/A
$
0
-
25,110,685,983
Footnotes appear on following page.
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 $28,170,000.
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.
Page 35 of 48
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. On December 15, 2011, Old GM was dissolved, as required
by 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 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.
32. On November 1, 2011, Treasury received a $201,345.42 pro-rata tax distribution on its common stock from Ally Financial, Inc. pursuant to the terms of the Sixth Amended and Restated Limited Liability Company Operating Agreement of GMAC LLC dated May 22, 2009.
33. On 12/21/2012, Treasury sold 200,000,000 shares of common stock at $27.50 per share pursuant to a letter agreement. Following settlement, the net proceeds to Treasury were $5,500,000,000.
34 On January 18, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 58,392,078 shares of common stock from time to time during the period ending on April 17, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on April 11, 2013.
35. On 6/12/2013, Treasury sold 30,000,000 shares of GM common stock in a registered public offering at $34.41 per share for net proceeds to Treasury of $ 1,031,700,000.
36. Pursuant to pre-arranged written trading plans dated May 6, 2013, as amended, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 142,814,136 shares of common stock from time to time during the period ending on September 13, 2013 (or upon completion of the sale). Completion of the sale
37. On September 26, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 70,214,460 shares of common stock from time to time during the period ending on December 20, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on November 20, 2013.
38. On November 20, 2013, Ally completed a private placement of an aggregate of 216,667 shares of its common stock for an aggregate price of approximately $1.3 billion and the repurchase of all outstanding shares of its Fixed Rate Cumulative Mandatorily Convertible Preferred Stock, Series F-2, held by Treasury, including payment for the elimination or relinquishment of any right to receive additional shares
of common stock to be issued (the “Share Adjustment Right”). Ally paid to Treasury a total of approximately $5.93 billion for the repurchase of the Series F-2 Preferred Stock and the elimination of the Share Adjustment Right. As a result of the private placement, Treasury's common stock ownership stake was diluted from 73.8 percent to 63.45 percent. Treasury continues to own 981,971 shares of common
stock in Ally.
39. On November 21, 2013, Treasury gave J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell, subject to certain parameters, the remaining shares of common stock, from time to time during the period ending on February 15, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on December 9, 2013.
AUTOMOTIVE SUPPLIER SUPPORT PROGRAM
Adjustment Details
Adjustment
Adjusted or Final
Amount
Investment Amount
Seller
Footnote
Date
Name of Institution
City
State
Transaction Type
Investment
Description
Investment
Amount
Pricing Mechanism
Adjustment
Date
Payment or Disposition4
Date
Remaining Investment
Description
Type
2/11/2010
Partial
repayment
Partial
repayment
3/4/2010
Repayment5
4/5/2010
Payment
3/9/2010
4/7/2010
Repayment5
7
Payment
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) $
N/A
6
2
4/9/2009
Chrysler Receivables SPV LLC
INITIAL TOTAL
$
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
$
$
290,000,000
(500,000,000) $
1,000,000,000
$
123,076,735
7
Total Repayments
$
413,076,735
6
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
None
$
$
123,076,735
44,533,054
$
101,074,947
Total Proceeds from Additional Notes
1/ 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
2/ 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
3/ Treasury issued notice to the institution of the permanent reduced commitment on 7/8/2009; the reduction was effective on 7/1/2009.
4/ 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.
5/ All outstanding principal drawn under the credit agreement was repaid.
6/ 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.
7/ 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 36 of 48
AUTOMOTIVE INDUSTRY FINANCING PROGRAM - GENERAL MOTORS COMPANY
COMMON STOCK DISPOSITION
Date
01/18/13 –
04/17/13
05/6/13 –
9/13/2013
9/26/13 –
11/20/13
11/21/2013 12/9/2013
Proceeds2
Pricing Mechanism1
3
4
5
6
Number of Shares
$28.0490
58,392,078
$
1,637,839,844
$34.6461
110,336,510
$
3,822,724,832
$36.5087
70,214,460
$
2,563,441,956
$38.8228
31,122,206
$
1,208,249,982
Total Proceeds:
$9,232,256,614
1/ The price set forth is the weighted average price for all sales of General Motors Company common stock made by Treasury over the course of the corresponding period.
2/ Amount represents the gross proceeds to Treasury.
3/ On January 18, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 58,392,078 shares of
common stock from time to time during the period ending on April 17, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on April 11, 2013.
4/ Pursuant to pre-arranged written trading plans dated May 6, 2013, as amended, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell
subject to certain parameters up to 142,814,136 shares of common stock from time to time during the period ending on September 13, 2013 (or upon completion of the sale). Completion of the sale under this
authority occurred on September 13, 2013.
5/ On September 26, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 70,214,460 shares
of common stock from time to time during the period ending on December 20, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on November 20, 2013.
6/ On November 21, 2013, Treasury gave J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell, subject to certain parameters, the remaining shares of common stock, from time to time
during the period ending on February 15, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on December 9, 2013.
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 Description Investment Amount
Trust Preferred
$
20,000,000,000
Securities w/ Warrants
Preferred Stock w/
$
20,000,000,000
Warrants
TOTAL
$
40,000,000,000
Pricing
Mechanism
Par
12/23/2009
Capital Repayment
Amount
Capital
Repayment Date
2
Remaining Capital
Description
Final Disposition
Final
Disposition
Final Disposition Date 3
Description
Remaining
Capital Amount
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
$
1,236,804,513
$
40,000,000,000
$
1,427,190,941
2
Par
12/9/2009
AMOUNT
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, after underwriting fees, from a sale by Treasury in a registered public offering of the warrants issued by the financial institution.
ASSET GUARANTEE PROGRAM
Initial Investment
Footnote
Date
Seller
Name of Institution
City
State
1/16/2009 Citigroup Inc.
New York
NY
Guarantee
Description
Master Agreement
Guarantee Limit
$
5,000,000,000
Description
Preferred Stock
$
w/ Warrants
Amount
Exchange/Transfer/Other Details
Footnote
Date
6/9/2009
Exchange preferred stock
Trust Preferred
for trust preferred securities Securities w/ Warrants
9/29/2010
Exchange trust preferred
Trust Preferred
securities for trust preferred
Securities w/ Warrants
securities
4,034,000,000
4
12/23/2009 Citigroup Inc.
New York
NY
Termination
Termination Agreement
$
6
0
12/28/2012
7
$
Description
Amount
Remaining Premium
Description
Remaining
Premium
Trust Preferred
Securities w/ Warrants
$2,234,000,000
Type
Amount
3
12/23/2009
Partial cancellation for early
termination of guarantee
$ (1,800,000,000)
9/30/2010 Disposition
$ 2,246,000,000 Warrants
$
0
1/25/2011 Warrant Auction
$
4,034,000,000
Date
5
$
Footnote
$
67,197,045 None
$
0
$894,000,000.00 None
$
0
2,246,000,000
(5,000,000,000)
3
TOTAL
Type
Payment or Disposition
2
1
Type
Premium
2/4/2013
Trust preferred securities
received from the FDIC
Exchange Trust preferred
securities for subordinated
note
Trust Preferred
Securities
$ 800,000,000.00
Subordinated Note
$ 894,000,000.00
8
2/8/2013 Disposition
Total Proceeds
$ 3,207,197,045
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.
6/ 12/28/2012, as contemplated by the Termination Agreement and the Letter Agreement dated 12/23/2009, between Treasury and the Federal Deposit Insurance Corporation (FDIC), Treasury received from the FDIC, Citigroup Inc. trust preferred securities in aggregate liquidation preference equal to $800 million and approximately $183 million in dividend and interest payments from those securities.
7/ On 2/4/2013, Treasury exchanged $800 million in Citigroup Capital XXXIII Trust Preferred Securities (TruPs) for $894 million in Citigroup subordinated notes pursuant to an agreement between Citigroup and Treasury executed on 2/4/2013. Accrued interest on the TruPs was received at the time of the exchange.
8/ On 2/8/2013, Treasury completed the sale of its Citigroup subordinated notes for $894 million plus accrued interest, pursuant to an underwriting agreement executed on 2/8/2012.
Page 38 of 48
AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM
(formerly referred to as Systemically Significant Failing Institutions Program)
Seller
Name of Institution
Purchase Details
City
State
Transaction
Type
Investment Description
Exchange/Transfer Details
Date
Note
Date
1
11/25/2008
AIG
New York
NY
Purchase
Preferred Stock w/ Warrants
(Series D)
$
40,000,000,000
Par
2, 3
4/17/2009
AIG
New York
NY
Purchase
Preferred Stock w/ Warrants
(Series F)
$
29,835,000,000
Par
2
Transaction Type
4/17/2009
Pricing Mechanism
Investment Amount
Exchange
Pricing
Mechanism
Amount
Investment Description
Preferred Stock w/ Warrants
(Series E)
1
$
40,000,000,000
Par
See table below for exchange/transfer details in connection with the recapitalization conducted on 1/14/2011.
Final Disposition
69,835,000,000
Investment
Transaction Type
Warrants (Series D)
Repurchase
$
25,150,923.10
3/1/2013
$
Date
3/1/2013
TOTAL
Warrants (Series F)
Repurchase
$
5,767.50
Total Warrant Proceeds
$
Proceeds
25,156,690.60
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
Recapitalization
Note
Date
Investment Description
Treasury Holdings Post-Recapitalization
Transaction Type
Pricing Mechanism
Exchange
Par
Final Disposition
Investment Description
Date
Amount / Shares
N/A
6
1/14/2011
Common Stock (non-TARP)
Transfer
Common Stock
562,868,096
8/18/2011
Payment
$
2,153,520,000
Par
Payment
$
55,885,302
$
971,506,765
$
5,576,121,382
$
1,521,632,096
$
1,493,250,339
$
2,009,932,072
Par
3/8/2011
Payment
$
1,383,888,037
Par
Payment
$
44,941,843
Par
5/24/2011
Partial Disposition
$
5,800,000,000
N/A
Partial Disposition
$
6,000,000,008
N/A
5/6/2012
Partial Disposition
$
4,999,999,993
N/A
Partial Disposition
$
749,999,972
N/A
Partial Disposition
$
4,999,999,993
N/A
Partial Disposition
$
750,000,002
N/A
9/10/2012
Partial Disposition
$
17,999,999,973
N/A
Partial Disposition
$
2,699,999,965
N/A
Final Disposition
$
7,610,497,570
N/A
8
Par
Payment
0
Par
Payment
$
Par
Payment
8
Par
Payment
0
Par
Payment
$
Par
8/3/2012
924,546,133
97,008,351
12/14/2012
Exchange
$
9/11/2012
Preferred Stock (Series E)
Payment
10
Par
8/6/2012
1/14/2011
167,623,733
55,833,333
5/7/2012
5
3,375,328,432
$
3/8/2012
Exchange
$
Payment
0
Par
3/15/2012
ALICO Junior Preferred Interests
5,511,067,614
2/14/2011
7
$
11/1/2011
N/A
Payment
-
N/A
$
Par
3/22/2012
Exchange
185,726,192
3/15/2012
Preferred Stock (Series F)
$
3/8/2012
1/14/2011
Payment
9/2/2011
4
7
$
8/17/2011
16,916,603,568
Cancellation
3/15/2011
$
5/27/2011
3/8/2011
AIA Preferred Units
2,000,000,000
Pricing Mechanism
2/14/2011
Preferred Stock (Series G)
$
Proceeds 8
Transaction Type
Remaining Recap
Investment Amount,
Shares, or Equity %
1,455,037,962
9
77%
1,248,141,410
11
70%
1,084,206,984
12
63%
1,059,616,821
12
61%
895,682,395
13
55%
871,092,231
13
53%
317,246,078
14
22%
234,169,156
14
16%
234,169,156
15
0%
Footnotes appear on following page.
Page 39 of 48
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 total proceeds of $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.
11/ On 3/13/2012, Treasury completed the sale of 206,896,552 shares of common stock at $29.00 per share for total proceeds of $6,000,000,008, pursuant to an underwriting agreement executed on 3/8/2012.
12/ On 5/10/2012, Treasury completed the sale of 188,524,589 shares of common stock at $30.50 per share for total proceeds of $5,749,999,965, pursuant to an underwriting agreement executed on 5/6/2012.
13/ On 8/8/2012, Treasury completed the sale of 188,524,590 shares of common stock at $30.50 per share for total proceeds of $5,749,999,995, pursuant to an underwriting agreement executed on 8/3/2012.
14/ On 9/14/2012, Treasury completed the sale of 636,923,075 shares of common stock at $32.50 per share for total proceeds of $20,699,999,938, pursuant to an underwriting agreement executed on 9/10/2012.
15/ On 12/14/2012, Treasury completed the sale of 234,169,156 shares of common stock at $32.50 per share for total proceeds of $7,610,497,570, pursuant to an underwriting agreement executed on 12/10/2012.
Page 40 of 48
CREDIT MARKET PROGRAMS
TERM ASSET-BACKED SECURITIES LOAN FACILITY
Seller
Footnote
Date
Name of Institution
City
Transaction
State
Type
Investment Description
Investment Amount
Pricing Mechanism
Adjusted Investment
Date
Amount
2
7/19/2010
$ 4,300,000,000
6/28/2012
1
3/3/2009
TALF LLC
Wilmington
DE
Purchase
Debt Obligation w/ Additional Note
$
20,000,000,000
3
$
Final Investment Amount
$
100,000,000
Total Investment Amount $
1/15/2013
100,000,000
4
$
Amount
2/6/2013
1,400,000,000
N/A
Date
Repayment 5
Description
100,000,000
Principal Repayment
$
100,000,000
2/6/2013
3/6/2013
4/4/2013
5/6/2013
6/6/2013
7/5/2013
8/6/2013
9/6/2013
10/4/2013
11/6/2013
12/5/2013
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
$
$
$
$
$
$
$
$
$
$
$
212,829,610
97,594,053
6,069,968
4,419,259
96,496,772
11,799,670
66,072,965
74,797,684
1,114,074
933,181
1,102,424
$
673,229,661
Total Repayment Amount
5
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.
3/ On 6/28/2012, Treasury, the FRBNY and TALF LLC entered into an amendment of the credit agreement previously amended 7/19/2010, which reduced Treasury's maximum loan amount to $1,400,000,000.
4/ On 1/15/2013, Treasury, the FRBNY and TALF LLC entered into an amendment that stated that, due to the fact that the accumulated fees collected through TALF exceed the total principal amount of TALF loans outstanding, Treasury’s commitment of TARP funds to provide credit protection is no longer necessary.
5/ Repayment amounts do not include accrued interest proceeds received on 2/6/2013, which are reflected on the Dividends & Interest Report.
Page 41 of 48
CREDIT MARKET PROGRAMS
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
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
$
Investment Amount
Pricing Mechanism
TBA or
3
PMF
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
332,596,893
2,
3
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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
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
Senior Security
4
Proceeds
Total Senior Security Proceeds $
TOTAL INVESTMENT AMOUNT
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
TBA or
3
PMF
-
Final Disposition
368,145,452
Trade Date
PMF
6/21/2011
10/19/2011
6/21/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
9/20/2011
6/21/2011
9/20/2011
6/21/2011
10/19/2011
6/21/2011
1/24/2012
6/21/2011
9/20/2011
10/19/2011
10/19/2011
9/20/2011
10/19/2011
1/24/2012
1/24/2012
1/24/2012
1/24/2012
1/24/2012
10/19/2011
1/24/2012
10/19/2011
1/24/2012
-
Purchase Face
3
Amount
6
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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
Life-to-date
Principal Received
Current Face
Amount 6, 8
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Disposition
5, 6
Amount
1, 8
3,151,186
5,891,602
5,964,013
22,350,367
6,542,218
9,819,270
12,570,392
8,483,188
8,171,159
15,030,712
32,656,125
25,930,433
5,656,049
6,520,875
12,704,841
1,903,407
9,531,446
6,425,217
4,580,543
9,030,539
8,403,846
10,099,555
6,236,800
7,503,681
7,053,867
5,473,724
4,307,881
3,367,168
10,592,775
12,963,737
14,562,161
902,633
1,685,710
2,022,652
1,149,633
2,357,796
932,112
328,604
261,145
246,658
2,089,260
1,784,934
2,278,652
348,107
339,960
478,520
694,979
188,009
1,853,831
419,457
969,461
868,636
250,445
663,200
1,398,549
996,133
276,276
1,433,872
82,832
889,646
438,754
387,839
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
3,457,746
6,462,972
6,555,383
25,039,989
7,045,774
10,550,917
13,886,504
9,482,247
8,985,818
16,658,561
36,072,056
29,142,474
6,051,772
7,105,304
14,182,379
2,052,702
10,223,264
7,078,089
5,029,356
9,994,806
9,230,008
11,314,651
6,556,341
8,269,277
7,703,610
5,764,858
4,693,918
3,698,411
11,818,944
14,433,039
16,383,544
Disposition Proceeds
$
334,924,711
7
TOTAL PROGRAM PROCEEDS TO DATE
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
376,748,302
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 for CUSIPs that were originally purchased as TBAs only after the applicable month's factor has been published and trailing principal & interest payments have been received.
Page 42 of 48
CREDIT MARKET PROGRAMS
LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)
Preliminary Adjusted
Seller
Footnote
Date
1
9/30/2009
Name of Institution
Commitment
City
Transaction
Type
State
Purchase
Commitment
Amount
Investment Description
Par
1/4/2010
Amount
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
1/4/2010
4 $
200,000,000
1/4/2010
4 $
200,000,000
$
$
156,250,000
Repayment Amount
Amount
Description
Distribution or Disposition
Date
Description
200,000,000
1/15/2010
1/11/2010
1/12/2010
1
9/30/2009
Invesco 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
$
856,000,000
$
580,960,000
$
$
$
156,250,000
34,000,000
166,000,000
$
$
$
0
Membership Interest
0
2,444,347
$
578,515,653 Membership Interest
4/15/2010
$
3,533,199
$
574,982,454 Membership Interest
9/15/2010
$
30,011,187
$
544,971,267 Membership Interest
11/15/2010
$
66,463,982
$
478,507,285 Membership Interest
12/14/2010
$
15,844,536
$
462,662,749 Membership Interest
1/14/2011
$
13,677,726
$
448,985,023 Membership Interest
2/14/2011
$
48,523,845
$
400,461,178 Membership Interest
3/14/2011
$
68,765,544
$
331,695,634 Membership Interest
4/14/2011
$
77,704,254
$
253,991,380 Membership Interest
5/20/2011
$
28,883,733
$
225,107,647 Membership Interest
6/14/2011
$
9,129,709
$
215,977,938 Membership Interest
7/15/2011
$
31,061,747
$
184,916,192 Membership Interest
8/12/2011
$
10,381,214
$
174,534,977 Membership Interest
10/17/2011
$
6,230,731
$
168,304,246 Membership Interest
12/14/2011
$
1,183,959
$
167,120,288 Membership Interest
1/17/2012
$
1,096,185
$
166,024,103 Membership Interest
2/14/2012
$
1,601,688
$
164,422,415 Membership Interest
3/14/2012
$
3,035,546
$
161,386,870 Membership Interest
2
9/30/2009
Invesco 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
9/26/2011 8 $
1,161,920,000
$
1,161,920,000
161,386,870
$
2/18/2010
$
4,888,718
$
4/15/2010
$
7,066,434
$
9/15/2010
$
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
$
10/17/2011
$
37,384,574
$
$
Final Distribution
Distribution
Final Distribution
Distribution
Distribution
9/28/2012
Final Distribution
Adjusted Distribution
Distribution
20,091,872
$
48,922
$
502,302
$
1,223
$
56,390,209
$
1,056,751
$
5
0
18,772
$
69,399
$
64,444
5
Contingent Proceeds
$
$
Distribution
Debt Obligation w/ Contingent
166,000,000 Proceeds
2/18/2010
3/29/2012
Proceeds
5
1/29/2010
7/8/2013
Purchase
156,250,000
Repayment
Date
Investment After Capital Repayment
6/4/2013
DE
4 $
Amount
Capital Repayment Details
8/9/2012
Wilmington
1/4/2010
Amount
9
3/29/2012
UST/TCW Senior Mortgage Securities Fund, L.P.
Membership Interest
156,250,000
Amount
2/24/2010
9/30/2009
DE
4 $
Date
7
1/29/2010
2
Wilmington
1,111,111,111
Date
Final Commitment Amount
2/24/2010
UST/TCW Senior Mortgage Securities Fund, L.P.
$
Pricing
Mechanism
3
Final Investment
Membership Interest
5
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
5
5
10
5, 14
5
5, 13
Debt Obligation w/ Contingent
1,157,031,282 Proceeds
Debt Obligation w/ Contingent
1,149,964,848 Proceeds
Debt Obligation w/ Contingent
1,089,942,174 Proceeds
Debt Obligation w/ Contingent
957,013,546 Proceeds
Debt Obligation w/ Contingent
925,324,316 Proceeds
Debt Obligation w/ Contingent
897,968,726 Proceeds
Debt Obligation w/ Contingent
805,668,588 Proceeds
Debt Obligation w/ Contingent
677,641,052 Proceeds
Debt Obligation w/ Contingent
522,231,766 Proceeds
Debt Obligation w/ Contingent
447,146,281 Proceeds
Debt Obligation w/ Contingent
428,886,768 Proceeds
Debt Obligation w/ Contingent
365,906,960 Proceeds
Debt Obligation w/ Contingent
345,144,428 Proceeds
Debt Obligation w/ Contingent
307,759,854 Proceeds
Page 43 of 48
Preliminary Adjusted
Seller
Footnote
Date
Name of Institution
Commitment
City
Transaction
Type
State
Commitment
Amount
Investment Description
Pricing
Mechanism
Date
3
Amount
Final Investment
Final Commitment Amount
Date
7
Amount
Amount
9
Amount
Capital Repayment Details
Repayment
Date
Investment After Capital Repayment
Repayment Amount
Amount
12/14/2011
$
7,103,787
$
1/17/2012
$
6,577,144
$
2/14/2012
$
9,610,173
$
Description
Distribution or Disposition
Date
Description
Debt Obligation w/ Contingent
300,656,067 Proceeds
Debt Obligation w/ Contingent
294,078,924 Proceeds
Debt Obligation w/ Contingent
284,468,750 Proceeds
5
3/29/2012
10/1/2009
Wellington Management Legacy Securities PPIF Master Fund, LP
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,262,037,500
7/16/2010
$
1,149,487,000
$
1,149,487,000
0
Contingent Proceeds
7/16/2012
$
62,499,688
$
1,086,987,313 Membership Interest
9/17/2012
$
152,499,238
$
934,488,075 Membership Interest
1/15/2013
$
254,581,112
$
679,906,963 Membership Interest
2/13/2013
$
436,447,818
$
243,459,145 Membership Interest
3/13/2013
$
243,459,145
$
0
Membership Interest
Final Distribution
Adjusted Distribution
Distribution
3/13/2013
1
$
9/28/2012
7/8/2013
284,468,750
Distribution
6/4/2013
$
Distribution
8/9/2012
3/14/2012
Distribution
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
$
2,298,974,000
6/26/2012
$
125,000,000
$
9/17/2012
$
305,000,000
$
12/6/2012
$
800,000,000
$
12/21/2012
$
630,000,000
$
1/15/2013
$
97,494,310
$
1/24/2013
$
341,479,690
$
$
$
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,244,437,500
7/16/2010
$
1,150,423,500
$
1,064,141,738
10
1/15/2010
$
44,043 $
1,064,097,694 Membership Interest
$
712,284 $
1,063,385,410 Membership Interest
Distribution
5, 11
$
6,716,327 $
1,056,669,083 Membership Interest
$
7,118,388 $
1,049,550,694 Membership Interest
5, 11
$
39,999,800 $
1,009,550,894 Membership Interest
287,098,565 $
722,452,330 Membership Interest
$
68,749,656 $
653,702,674 Membership Interest
$
361,248,194 $
292,454,480 Membership Interest
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
7/16/2010
$
2,300,847,000 12 $
2,128,000,000
Distribution
Distribution
Distribution
9/19/2012
Distribution
Distribution
Distribution
Distribution Refund
5, 11
$
69,932
$
75,278,664
$
79,071,633
$
106,300,357
$
25,909,972
$
678,683
$
(18,405)
10
10
8/30/2012
$
16,195,771
10
8/14/2012
Debt Obligation w/ Contingent Proceeds
$
10
$
Distribution
10
7/16/2012
Purchase
2,802,754
10
6/14/2012
DE
$
10
5/14/2012
Wilmington
479,509,240
10
4/14/2011
AllianceBernstein Legacy Securities Master Fund, L.P.
1,611
5
4/17/2013
- Contingent Proceeds
3/14/2011
10/2/2009
$
Debt Obligation w/ Contingent
2,173,974,000 Proceeds
Debt Obligation w/ Contingent
1,868,974,000 Proceeds
Debt Obligation w/ Contingent
1,068,974,000 Proceeds
Debt Obligation w/ Contingent
438,974,000 Proceeds
Debt Obligation w/ Contingent
341,479,690 Proceeds
2/14/2011
2
1,735
10
8/13/2013
Purchase
$
10
12/21/2012
DE
5, 13
10
10/1/2012
Wilmington
469
$
5, 14
9/12/2012
AllianceBernstein Legacy Securities Master Fund, L.P.
$
5
8/30/2012
10/2/2009
40,556
5
7/11/2013
1
3,434,460
10
7/11/2013
2
Proceeds
$
292,454,480
$
- Membership Interest
5/16/2011
$
30,244,575
$
2,097,755,425
6/14/2011
$
88,087
$
2,097,667,339
5/3/2012
$
80,000,000
$
2,017,667,339
5/14/2012
$
30,000,000
$
1,987,667,339
5/23/2012
$
500,000,000
$
1,487,667,339
6/14/2012
$
44,200,000
$
1,443,467,339
6/25/2012
$
120,000,000
$
1,323,467,339
7/16/2012
$
17,500,000
$
1,305,967,339
7/27/2012
$
450,000,000
$
855,967,339
10
5, 11
5, 11
5, 11
5, 11
5, 11
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Page 44 of 48
Preliminary Adjusted
Seller
Footnote
Date
Name of Institution
Commitment
City
Transaction
Type
State
Commitment
Amount
Investment Description
Pricing
Mechanism
Date
3
Amount
Final Investment
Final Commitment Amount
Date
7
Amount
Amount
9
Amount
Capital Repayment Details
Repayment
Date
8/14/2012
Investment After Capital Repayment
Repayment Amount
$
272,500,000
Amount
$
Description
Distribution or Disposition
Date
Description
Debt Obligation w/ Contingent
583,467,339 Proceeds
5, 11
10/3/2012
Par
3/22/2010 6 $
1,244,437,500
7/16/2010
$
694,980,000
$
528,184,800
8/14/2012
$
90,269,076
$
437,915,724 Membership Interest
9/17/2012
$
8,833,632
$
429,082,092 Membership Interest
10/15/2012
$
10,055,653
$
419,026,439 Membership Interest
11/5/2012
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
$
1,053,000,000
$
419,026,439
$
7/31/2012
$
175,000,000
$
8/14/2012
$
5,539,055
$
8/31/2012
$
16,000,000
$
9/17/2012
$
1,667,352
$
9/28/2012
$
35,000,000
$
10/15/2012
$
25,334,218
$
10/18/2012
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
$
1,117,399,170
$
794,459,374
$
$
1,030,299,606 Membership Interest
3/14/2012
$
99,462,003
$
930,837,603 Membership Interest
5/14/2012
$
74,999,625
$
855,837,978 Membership Interest
7/16/2012
$
18,749,906
$
837,088,072 Membership Interest
8/14/2012
$
68,399,658
$
768,688,414 Membership Interest
9/17/2012
$
124,999,375
$
643,689,039 Membership Interest
10/15/2012
$
240,673,797
$
403,015,242 Membership Interest
11/15/2012
$
45,764,825
$
357,250,417 Membership Interest
12/14/2012
$
24,588,926
$
332,661,491 Membership Interest
1/15/2013
$
30,470,429
$
302,191,061 Membership Interest
2/14/2013
$
295,328,636
$
6,862,425 Membership Interest
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
$
2,486,550,000
$
2,234,798,340
$
2/14/2012
$
174,200,000
$
3/14/2012
$
198,925,000
$
5/14/2012
$
150,000,000
$
7/16/2012
$
37,500,000
$
8/14/2012
$
136,800,000
$
9/17/2012
$
250,000,000
$
10/15/2012
$
481,350,000
$
11/15/2012
$
274,590,324
$
Distribution
Distribution
3/14/2013
Distribution
Distribution
Distribution
Distribution
$
16,967
$
(460)
10
10
- Contingent Proceeds
87,099,565
6,862,425
Distribution
12,012,957
5, 11
5, 11
$
297,511,708
$
57,378,964
$
1,609,739
$
8,289,431
$
1,433,088
$
141,894
$
184,431,858
$
20,999,895
$
156,174,219
$
105,620,441
$
42,099,442
$
49,225,244
Debt Obligation w/ Contingent
878,000,000 Proceeds
Debt Obligation w/ Contingent
872,460,945 Proceeds
Debt Obligation w/ Contingent
856,460,945 Proceeds
Debt Obligation w/ Contingent
854,793,592 Proceeds
Debt Obligation w/ Contingent
819,793,592 Proceeds
Debt Obligation w/ Contingent
794,459,374 Proceeds
$
$
Distribution 5, 11
5, 11
$
10
- Membership Interest 10
2/14/2012
2/21/2013
12/5/2012
5/29/2013
1,111,111,111
Distribution
4/25/2013
$
Distribution
4/19/2013
Membership Interest
Distribution 5, 11
2/27/2013
Purchase
12/5/2012
2/21/2013
DE
Distribution
12/6/2013
Wilmington
- Contingent Proceeds
Distribution Refund
11/5/2012
Blackrock PPIF, L.P.
$
Distribution
12/6/2013
10/2/2009
583,467,339
12/21/2012
11/5/2012
1
$
Distribution
8/13/2013
8/22/2012
Proceeds
- Membership Interest
5, 11
5, 11
10
10
10
10
10
10
10
10
10
10
10
10
5, 11
5, 11
5, 11
5, 11
5, 11
5, 11
Debt Obligation w/ Contingent
2,060,598,340 Proceeds
Debt Obligation w/ Contingent
1,861,673,340 Proceeds
Debt Obligation w/ Contingent
1,711,673,340 Proceeds
Debt Obligation w/ Contingent
1,674,173,340 Proceeds
Debt Obligation w/ Contingent
1,537,373,340 Proceeds
Debt Obligation w/ Contingent
1,287,373,340 Proceeds
Debt Obligation w/ Contingent
806,023,340 Proceeds
Debt Obligation w/ Contingent
531,433,016 Proceeds
Page 45 of 48
Preliminary Adjusted
Seller
Footnote
Date
Name of Institution
Commitment
City
Transaction
Type
State
Commitment
Amount
Investment Description
Pricing
Mechanism
Date
3
Amount
Final Investment
Final Commitment Amount
Date
7
Amount
Amount
9
Amount
Capital Repayment Details
Repayment
Date
Investment After Capital Repayment
Repayment Amount
Amount
12/14/2012
$
147,534,295
$
1/15/2013
$
182,823,491
$
Description
Distribution or Disposition
Date
Description
Debt Obligation w/ Contingent
383,898,721 Proceeds
Debt Obligation w/ Contingent
201,075,230 Proceeds
5, 11
4/19/2013
3/22/2010 6 $
1,244,437,500
7/16/2010
$
620,578,258
$
620,578,258
11/2/2012
$
1,202,957 $
619,375,301 Membership Interest
$
3,521,835 $
615,853,465 Membership Interest
$
104,959,251 $
510,894,215 Membership Interest
$
72,640,245 $
438,253,970 Membership Interest
$
180,999,095 $
257,254,875 Membership Interest
$
134,999,325 $
122,255,550 Membership Interest
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
$
1,241,000,000
$
122,255,550
$
- Membership Interest
5/13/2011
$
13,531,530
$
1,227,468,470
7/31/2012
$
618,750,000
$
608,718,470
8/9/2012
$
151,006,173
$
457,712,297
8/14/2012
$
11,008,652
$
446,703,645
8/23/2012
$
160,493,230
$
286,210,415
8/29/2012
$
103,706,836
$
182,503,579
9/17/2012
$
20,637,410
$
161,866,170
9/21/2012
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
$
474,550,000
$
161,866,170
$
- Contingent Proceeds
9/17/2012
$
74,499,628
$
400,050,373 Membership Interest
$
59,787,459
$
340,262,914 Membership Interest
12/14/2012
$
40,459,092
$
299,803,821 Membership Interest
1/15/2013
$
10,409,317
$
289,394,504 Membership Interest
1/30/2013
$
219,998,900
$
69,395,604 Membership Interest
2/25/2013
$
39,026,406
$
30,369,198 Membership Interest
3/25/2013
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
$
949,000,000
$
30,369,198
$
9/17/2012
$
149,000,000
$
11/15/2012
$
119,575,516
$
11/20/2012
$
195,000,000
$
12/14/2012
$
47,755,767
$
1/15/2013
$
62,456,214
$
1/24/2013
$
375 212 503
$
10
Distribution
Distribution
5/16/2013
Distribution
Distribution
Distribution
Distribution
5/16/2013
Distribution
$
148,749,256
$
549,997
$
75,372
$
6,789,287
$
3,718,769
$
5, 11
5, 11
5, 11
13,750
$
1,884
$
164,629,827
$
71,462,104
$
38,536,072
$
29,999,850
$
3,999,980
$
7,143,340
$
963,411
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
11/15/2012
2
Final Distribution
147,464,888
10
10/19/2012
2
$
10
10/15/2012
1,230,643
10
9/28/2012
$
5, 11
1,052,497
10
9/17/2012
$
5, 11
17,118,005
10
8/14/2012
$
10
4/14/2011
Distribution 5, 11
4/16/2013
3/14/2011
Distribution
9/5/2013
Par
Distribution
7/11/2013
1,111,111,111
Final Distribution
4/16/2013
$
Distribution 5, 11
3/25/2013
Membership Interest
Distribution
12/11/2013
Purchase
11/2/2012
12/21/2012
DE
Distribution
10/19/2012
Wilmington
- Contingent Proceeds
Distribution
12/11/2013
RLJ Western Asset Public/Private Master Fund, L.P.
$
Distribution
12/21/2012
11/4/2009
201,075,230
4/25/2013
10/19/2012
1
$
Distribution
5/29/2013
2/14/2013
Proceeds
5, 11
5, 11
5, 11
10
10
10
10
10
10
- Membership Interest 10
5, 11
5, 11
5, 11
5, 11
5, 11
Debt Obligation w/ Contingent
800,000,000 Proceeds
Debt Obligation w/ Contingent
680,424,484 Proceeds
Debt Obligation w/ Contingent
485,424,484 Proceeds
Debt Obligation w/ Contingent
437,668,717 Proceeds
Debt Obligation w/ Contingent
375,212,503 Proceeds
- Contingent Proceeds
5, 11
5, 11
Page 46 of 48
Preliminary Adjusted
Seller
Footnote
Date
Name of Institution
Commitment
City
Transaction
Type
State
Commitment
Amount
Investment Description
Pricing
Mechanism
Date
3
Amount
Final Investment
Final Commitment Amount
Date
7
Amount
Amount
9
Amount
Capital Repayment Details
Repayment
Date
1/24/2013
$
Repayment Amount
375,212,503
Investment After Capital Repayment
Amount
$
Description
- Contingent Proceeds
Distribution or Disposition
Date
Description
5, 11
7/11/2013
9/5/2013
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
$
555,904,633
39,499,803 $
516,404,830 Membership Interest
$
39,387,753 $
477,017,077 Membership Interest
$
22,111,961 $
454,905,116 Membership Interest
$
32,496,972 $
422,408,144 Membership Interest
$
111,539,536 $
310,868,608 Membership Interest
$
55,540,026 $
255,328,581 Membership Interest
$
14,849,910 $
240,478,671 Membership Interest
$
18,268,328 $
222,210,343 Membership Interest
$
70,605,973 $
151,604,370 Membership Interest
$
119,769,362 $
31,835,008 Membership Interest
6/24/2013
Distribution
6/26/2013
Distribution
7/9/2013
Distribution 5, 11
12/12/2013
Final Distribution
$
27,999,860
$
11,749,941
$
40,974,795
$
539,009
10
5/28/2013
54,999,725
10
5/14/2013
$
10
4/12/2013
Distribution
10
1/15/2013
46,575,750
10
12/14/2012
$
10
11/15/2012
100,001
10
10/15/2012
$
5, 11
750,004
10
9/17/2012
$
10
3/14/2012
Distribution
6/14/2013
$
Distribution
6/3/2013
7/15/2011
Distribution
Proceeds
10
6/3/2013
$
31,835,008
$
- Membership Interest
10
5, 11
5, 11
5, 11
5, 11
5, 11
Page 47 of 48
Preliminary Adjusted
Seller
Footnote
Date
Name of Institution
Commitment
City
Transaction
Type
State
Commitment
Amount
Investment Description
Pricing
Mechanism
Date
3
Amount
Final Investment
Final Commitment Amount
Date
7
Amount
Amount
9
Amount
Capital Repayment Details
Repayment
Date
Investment After Capital Repayment
Repayment Amount
Amount
Description
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
$
1,111,000,000
79,000,000
$
$
78,775,901
$
$
44,224,144
$
64,994,269
$
Debt Obligation w/ Contingent
620,925,500 Proceeds
11/15/2012
$
223,080,187
12/14/2012
$
111,080,608
$
Debt Obligation w/ Contingent
509,844,892 Proceeds
1/15/2013
$
89,099,906
$
Debt Obligation w/ Contingent
420,744,985 Proceeds
4/12/2013
$
109,610,516
$
Debt Obligation w/ Contingent
311,134,469 Proceeds
5, 11
5/28/2013
$
30,000,000,000
FINAL COMMITMENT AMOUNT
$
Distribution
Distribution 5, 11
Final Distribution
$
293,751
$
5, 11
700,004
$
5, 11
1,375,007
$
5, 11
1,960,289
$
5, 11
444,393
$
5, 11
TOTAL DISTRIBUTIONS 5
21,856,403,574
TOTAL CAPITAL REPAYMENT AMOUNT $
- Contingent Proceeds
Distribution
12/12/2013
$
6/24/2013
7/9/2013
311,134,469
Distribution
6/26/2013
$
Distribution
6/14/2013
5/14/2013
Distribution
6/3/2013
INITIAL COMMITMENT AMOUNT
Proceeds
Debt Obligation w/ Contingent
844,005,687 Proceeds
$
Description
Debt Obligation w/ Contingent
908,999,956 Proceeds
$
Date
Debt Obligation w/ Contingent
1,032,000,000 Proceeds
Debt Obligation w/ Contingent
953,224,099 Proceeds
10/15/2012
Wilmington
$
9/17/2012
12/18/2009 Oaktree PPIP Fund, L.P.
7/15/2011
3/14/2012
2
Distribution or Disposition
1,024,380
$
13,475
$
2,637,466,030
18,625,147,938
1/ The equity amount may be incrementally funded. Commitment 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. Commitment 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/ Distributions after capital repayments will be considered profit and are paid pro rata (subject to prior distribution of Contingent Proceeds to Treasury) to the fund's partners, including Treasury, in proportion to their membership interests. These figures exclude pro-rata distributions to Treasury of gross investment proceeds (reported on the Dividends & Interest report), which may be made from time to time in accordance with the terms of the fund's Limited Partnership Agreement.
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.
8/ On 09/26/2011, the General Partner notified Treasury that the Investment Period was terminated in accordance with the Limited Partnership Agreement. As a result, the Final Investment Amount, representing Treasury's debt obligation, has been reduced to the cumulative amount of debt funded.
9/ Cumulative capital drawn at end of the Investment Period.
10/ The Amount is adjusted to reflect pro-rata equity distributions that have been deemed to be capital repayments to Treasury.
11/ Distribution represents a gain on funded capital and is subject to revision pending any additional fundings of the outstanding commitment.
12/ On 08/23/2012, AllianceBernstein agreed to de-obligate its unused debt commitment. The Final Investment Amount represents the cumulative capital drawn as of the de-obligation.
13/ On, 6/5/2013, Invesco Mortgage Recovery Master Fund L.P. made a distribution to Treasury that is the result of adjustments made to positions previously held by the Invesco Legacy Securities Master Fund, L.P. “Partnership”, of which The U.S. Department of the Treasury is a Limited Partner. The adjusted distribution was made 18 months after the Final Distribution on 9/28/2012.
Page 48 of 48
@FedFRASER