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*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
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)
In full – all of Treasury’s investment amount
In part – part of the investment is no longer held by Treasury, but some remains
Troubled Asset Relief Program
Transactions Report - Investment Programs
For Period Ending December 22, 2016
CAPITAL PURCHASE PROGRAM
Warrants outstanding – Treasury’s warrant to purchase additional stock is still outstanding, including any exercised warrants
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
Capital Repayment / Disposition / Auction3,5
Footnote
11
8,14,18,44
102
11
8,11,14
8,14,44
8,14
104
11
14,15
8
8,14
8,14,45
8,14,44
11
8,11,14
8,11,14
45
14,15
94
11,90
11
8,17
8,14,44
11
8,44
8,17,44
11
8,11,14
8,14
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 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
AB&T FINANCIAL CORPORATION
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.
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. / F.N.B. CORPORATION
ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION
ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION
ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION
ASSOCIATED BANC-CORP
ASSOCIATED BANC-CORP
ASSOCIATED BANC-CORP
ASSOCIATED BANC-CORP
ATLANTIC BANCSHARES, INC.
ATLANTIC BANCSHARES, INC.
ATLANTIC BANCSHARES, INC.
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.
City
CRANBURY
CRANBURY
CRANBURY
LOS ANGELES
LOS ANGELES
LOS ANGELES
HENDERSONVILLE
HENDERSONVILLE
SOUTH BEND
SOUTH BEND
SOUTH BEND
BOCA RATON
BOCA RATON
GASTONIA
GASTONIA
GASTONIA
GASTONIA
GASTONIA
OGALLALA
OGALLALA
OCALA
OCALA
OCALA
OCALA
JUNEAU
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
ANNAPOLIS
ANNAPOLIS
GREEN BAY
GREEN BAY
GREEN BAY
GREEN BAY
BLUFFTON
BLUFFTON
BLUFFTON
BLUFFTON
NASHVILLE
NASHVILLE
PALO ALTO
PALO ALTO
PALO ALTO
SHEFFIELD
SHEFFIELD
OAK BROOK
OAK BROOK
PROVIDENCE
PROVIDENCE
PROVIDENCE
RIDGELAND
RIDGELAND
FESTUS
FESTUS
FESTUS
FESTUS
State
NJ
NJ
NJ
CA
CA
CA
NC
NC
IN
IN
IN
FL
FL
NC
NC
NC
NC
NC
NE
NE
FL
FL
FL
FL
AK
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
MD
MD
WI
WI
WI
WI
SC
SC
SC
SC
TN
TN
CA
CA
CA
AL
AL
IL
IL
RI
RI
RI
MS
MS
MO
MO
MO
MO
Date
12/23/2008
10/27/2010
11/22/2011
2/13/2009
12/11/2009
9/1/2011
11/14/2008
12/31/2013
1/23/2009
12/29/2010
3/9/2011
3/13/2009
11/18/2009
1/23/2009
11/19/2013
1/6/2014
2/10/2014
3/19/2014
1/30/2009
7/21/2011
1/23/2009
7/19/2013
7/22/2013
9/12/2013
2/6/2009
11/28/2012
11/29/2012
1/11/2013
3/26/2013
4/1/2014
6/26/2009
3/27/2013
3/28/2013
4/9/2013
12/19/2008
5/13/2009
6/17/2009
6/26/2009
2/6/2013
2/7/2013
3/26/2013
4/24/2009
3/27/2009
9/18/2012
9/19/2012
9/20/2012
11/16/2012
1/30/2009
9/22/2011
3/6/2009
9/15/2011
1/9/2009
6/17/2009
7/29/2009
5/29/2009
1/26/2011
1/9/2009
11/2/2011
11/21/2008
6/19/2012
8/22/2012
12/19/2008
8/11/2011
11/2/2011
8/21/2009
3/26/2013
3/27/2013
3/28/2013
4/9/2013
1/30/2009
9/27/2013
1/30/2009
4/18/2012
3/6/2013
5/28/2015
11/21/2008
4/6/2011
9/14/2011
12/6/2011
12/29/2009
2/7/2014
2/10/2014
3/19/2014
2/27/2009
9/15/2011
1/30/2009
7/31/2013
8/28/2013
3/13/2009
7/14/2011
7/10/2009
8/18/2011
12/19/2008
8/5/2009
9/30/2009
2/20/2009
9/29/2010
4/3/2009
4/26/2013
4/29/2013
5/31/2013
Original Investment Type1
Preferred Stock w/ Warrants
Original Investment Amount
$12,000,000.00
Outstanding Investment
$0.00
Total Cash Back2
Investment Status*
$13,433,242.67 Redeemed, in full; warrants not outstanding
Amount
(Fee)4
$12,000,000.00
Shares
12,000
Warrant Proceeds
Avg. Price
(Realized Loss) / (Write-off)
Gain5
Wt Amount
Wt Shares
$1,000.00
$326,576.00
$4,400,000.00
$6,000,000.00
$0.00
231,782
$220,000.00
220
$3,750,000.00
Preferred Stock w/ Warrants
837,947
$500,000.00
500
$11,748,156.44 Redeemed, in full; warrants not outstanding
$10,400,000.00
$0.00
$0.00
111,000
$1,000.00
10,000
$1,000.00
2,964
$275.00
($2,148,900.00)
($385,378.64)
$125,480,000.00 Redeemed, in full; warrants not outstanding
$10,000,000.00
$488.73
$10,000,000.00
$0.00
$111,000,000.00
16,369
$111,000,000.00
$16,369,000.00
Preferred Stock w/ Warrants
$1,000.00
$8,000,000.00
Preferred Stock w/ Warrants
10,400
$10,870,902.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$3,500,000.00
$0.00
$9,229,948.97 Sold, in full; warrants not outstanding
($8,369,000.00)
$1,274,909.59 Sold, in full; warrants outstanding
$815,100.00
($50,000.00)
536
$281.01
$12,720,000.00
12,720
$1,000.00
$877,729.70
$5,524,880.90
893
5,621
$982.90
$982.90
($15,270.30)
($96,119.10)
234
4,547
$892.61
$892.61
($25,129.26)
($488,302.33)
$150,621.36
($1,506.21)
Preferred Stock w/ Exercised Warrants
$12,720,000.00
$0.00
$15,071,769.00 Redeemed, in full; warrants not outstanding
$6,514,000.00
$0.00
$636,000.00
636
$337,363.35
326
$2,370,908.26
Preferred Stock w/ Exercised Warrants
175,772
($129,562.54)
$94,153.69
$44,746.31
101
48
$7,674,004.73 Sold, in full; warrants not outstanding
($64,026.11)
Preferred Stock w/ Warrants
$4,781,000.00
$0.00
$7,501,881.70 Sold, in full; warrants not 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
$956.61
$26,918,000.00
26,918
$1,000.00
$900,000.00
173,069
$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
$814.29
$814.29
$814.29
($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
$1,800,000.00
1,800
$1,000.00
$90,000.00
90
$6,000,000.00
6,000
$1,000.00
$300,000.00
300
($25,000.00)
Preferred Stock w/ Warrants
$26,918,000.00
$0.00
Subordinated Debentures w/ Exercised Warrants
$12,000,000.00
$0.00
$28,356,360.00 Redeemed, in full; warrants not outstanding
$9,806,136.60 Sold, in full; warrants not outstanding
($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 Full investment outstanding; warrants outstanding
$73,129,160.69 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
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$3,674,000.00
$2,492,000.00
$3,388,890,000.00
$0.00
$0.00
$0.00
$4,387,576.45 Redeemed, in full; warrants not outstanding
$2,960,021.33 Redeemed, in full; warrants not outstanding
$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
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$0.00
$7,220,141.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$52,000,000.00
$0.00
$59,637,438.67 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$21,000,000.00
$0.00
$24,601,666.66 Redeemed, in full; warrants not outstanding
$48,391,200.00
($725,868.00)
52,000
$930.60
21,000
$1,000.00
($3,608,800.00)
$2,670,000.00
$0.00
$259,875.00
250,000
367,916
$3,435,005.65
$5,000,000.00
1,312,500
$3,735,577.67
Subordinated Debentures w/ Exercised Warrants
698,554
$825,000.00
$21,000,000.00
3,983,308
$95,031.02
$10,798.98
88
10
$6,523,255.00 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
$4,076,000.00
4,076
4,076
$1,000.00
$1,000.00
$262,500,000.00
$262,500,000.00
262,500
262,500
$1,000.00
$1,000.00
$1,950,000.00
$50,000.00
1,950
50
$1,150.00
$1,150.00
($48,000.00)
Preferred Stock w/ Warrants
$110,000,000.00
$0.00
$6,000,000.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$8,152,000.00
$0.00
$13,378,714.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$525,000,000.00
$0.00
$596,539,172.32 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,000,000.00
$0.00
$2,503,554.78 Sold, in full; warrants not outstanding
$292,500.00
$7,500.00
($25,000.00)
Preferred Stock w/ Exercised Warrants
$7,400,000.00
$0.00
$8,798,415.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$6,000,000.00
$0.00
$7,563,057.15 Redeemed, in full; warrants not outstanding
$7,400,000.00
Preferred Stock w/ Exercised Warrants
$21,100,000.00
$0.00
$0.00
$1,000.00
370
81,670
1,055
$24,841,411.03 Redeemed, in full; warrants not outstanding
$13,669,000.00
$1,000.00
6,000
$370,000.00
$190,781.12
Preferred Stock w/ Exercised Warrants
7,400
$6,000,000.00
$15,595,736.93 Redeemed, in full; warrants not outstanding
$21,100,000.00
$0.00
$1,055,000.00
$1,000.00
$410,000.00
410
30,000
$1,000.00
$1,400,000.00
$30,000,000.00
$1,000.00
13,669
$30,000,000.00
Preferred Stock w/ Warrants
21,100
$13,669,000.00
192,967
$2,400,000.00
2,400
$426,338.55
430
$32,341,666.66 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
Preferred Stock w/ Exercised Warrants
$8,600,000.00
$0.00
$10,701,460.58 Sold, in full; warrants not outstanding
$48,000,000.00
48,000
$1,000.00
$98,267.00
$8,352,695.00
100
8,500
$982.67
$982.67
($84,509.62)
($1,733.00)
($147,305.00)
Footnote
83
8,14
6,7,11
8,14
44
8
11
11
105
11
8,106
8,14,44
8,14
8,14,44
12,16
11
8,112
11
8,11,14
8,11,14
11
8,14,44
8,14,18
15,17
8
8,14
8,14
8,64,97
8
8,14,44
8
8,14,44
14,15
11
11
Institution Name
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 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 CAROLINAS CORPORATION
BANK OF THE OZARKS, INC.
BANK OF THE OZARKS, INC.
BANK OF THE OZARKS, INC.
BANKERS' BANK OF THE WEST BANCORP, 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.
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 HILLS BANCORP, INC.
BERKSHIRE HILLS BANCORP, INC.
BERKSHIRE HILLS BANCORP, INC.
BERN BANCSHARES, INC.
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
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.
BNCCORP, INC.
BNCCORP, 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
City
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
LAS VEGAS
NOVATO
NOVATO
NOVATO
NEW YORK
NEW YORK
NEW YORK
MOCKSVILLE
MOCKSVILLE
LITTLE ROCK
LITTLE ROCK
LITTLE ROCK
DENVER
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
THEODORE
BALTIMORE
BALTIMORE
BALTIMORE
MANHATTAN BEACH
MANHATTAN BEACH
MANHATTAN BEACH
MANHATTAN BEACH
MANHATTAN BEACH
MANHATTAN BEACH
PHOENIXVILLE
PHOENIXVILLE
PITTSFIELD
PITTSFIELD
PITTSFIELD
BERN
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
OVERLAND PARK
OVERLAND PARK
NEW YORK
NEW YORK
THOMASVILLE
THOMASVILLE
THOMASVILLE
NEW CANAAN
NEW CANAAN
BISMARCK
BISMARCK
BISMARCK
BISMARCK
HOUSTON
HOUSTON
BOSCOBEL
BOSCOBEL
BOSCOBEL
BOSCOBEL
BOSTON
BOSTON
BOSTON
BOSTON
SAN JOSE
SAN JOSE
SAN JOSE
SAN JOSE
State
AL
AL
MN
MN
MN
MN
MN
NC
NC
NC
NC
NC
NC
NC
CA
CA
CA
NV
NV
NV
CA
CA
CA
NY
NY
NY
NC
NC
AR
AR
AR
CO
CO
MS
MS
SC
SC
SC
SC
WA
WA
WA
NE
NE
ME
ME
ME
NC
NC
NC
AL
AL
MD
MD
MD
CA
CA
CA
CA
CA
CA
PA
PA
MA
MA
MA
KS
KS
MI
MI
MI
FL
FL
FL
FL
WI
WI
WI
WI
ND
ND
ND
MO
MO
MO
MO
IN
IN
KS
KS
KS
KS
KS
NY
NY
NC
NC
NC
CT
CT
ND
ND
ND
ND
TX
TX
WI
WI
WI
WI
MA
MA
MA
MA
CA
CA
CA
CA
Date
12/19/2008
2/15/2013
8/14/2009
12/19/2012
12/20/2012
1/11/2013
3/26/2013
10/28/2008
1/9/2009
12/9/2009
3/9/2010
1/16/2009
11/30/2012
1/11/2013
11/14/2008
9/27/2011
10/26/2011
3/13/2009
10/21/2013
1/6/2014
12/5/2008
3/31/2009
11/23/2011
10/28/2008
6/17/2009
8/5/2009
4/17/2009
7/16/2014
12/12/2008
11/4/2009
11/24/2009
1/30/2009
4/24/2014
1/23/2009
9/8/2011
2/13/2009
11/9/2012
1/11/2013
3/26/2013
11/21/2008
4/3/2012
6/12/2013
2/6/2009
7/28/2011
1/16/2009
2/24/2010
7/28/2010
11/14/2008
6/17/2009
7/22/2009
4/3/2009
7/1/2014
12/23/2008
1/26/2011
4/19/2013
1/30/2009
7/6/2011
10/19/2011
3/7/2012
6/6/2012
6/27/2012
6/12/2009
12/28/2011
12/19/2008
5/27/2009
6/24/2009
2/13/2009
9/1/2011
4/24/2009
12/18/2009
7/28/2011
6/19/2009
2/7/2013
2/8/2013
3/26/2013
3/13/2009
10/29/2012
10/31/2012
1/11/2013
5/22/2009
6/27/2012
9/12/2012
3/6/2009
10/29/2012
10/31/2012
1/11/2013
3/6/2009
2/10/2012
12/5/2008
10/18/2013
10/21/2013
1/6/2014
1/7/2015
4/17/2009
8/30/2013
12/5/2008
8/29/2012
9/19/2012
2/27/2009
8/4/2011
1/16/2009
3/14/2014
3/17/2014
4/25/2014
3/6/2009
7/14/2011
5/15/2009
3/8/2013
3/11/2013
4/9/2013
11/21/2008
1/13/2010
6/16/2010
2/7/2011
12/23/2008
2/23/2011
3/16/2011
4/20/2011
Original Investment Type
Preferred Stock w/ Warrants
1
Original Investment Amount
$50,000,000.00
Outstanding Investment
$0.00
$1,004,000.00
$0.00
2
Total Cash Back
Investment Status*
$60,451,155.74 Redeemed, in full; warrants not outstanding
Amount
4
(Fee)
Shares
Avg. Price
(Realized Loss) / (Write-off)
5
Gain
Wt Amount
Wt Shares
$50,000,000.00
50,000
$1,000.00
$451,600.92
$481,335.96
486
518
$929.22
$929.22
$25,000,000,000.00
1,000,000
$25,000.00
$2,502,000.00
$15,000.00
730,994
$23,500.00
50
$305,913,040.28
121,792,790
$100,100.00
150
$125,000.00
3,000
$834.00
17,000
$1,000.00
2,672
$357.50
$28,000,000.00
28,000
$1,000.00
$3,000,000,000.00
405,405
$23,709.00
134
$1,703,984.00
3,000,000
$1,000.00
$3,294,750.00
154,908
$136,000,000.00
13,179
$250.00
$75,000,000.00
75,000
$1,000.00
$12,639,000.00
14,516,129
$2,650,000.00
12,639
$1,000.00
$632,000.00
632
$15,500,000.00
15,500
$1,000.00
$775,000.00
775
1,000
$900.00
($100,000.00)
$21,880.50
50
($14,282,320.00)
$134,201.00
Preferred Stock w/ Exercised Warrants
379,811
243,998
$40,000.00
4
$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
Preferred Stock w/ Exercised Warrants
$15,000,000,000.00
$10,000,000,000.00
$0.00
$26,599,663,040.28 Redeemed, in full; warrants not outstanding
$3,000,000.00
$0.00
$3,087,573.33 Sold, in full; warrants not outstanding
($498,000.00)
($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
$1,233,940.00 Sold, in full; warrants not outstanding
$955,240.00
($1,716,760.00)
($25,000.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$28,000,000.00
$3,000,000,000.00
$0.00
$0.00
$30,155,095.11 Redeemed, in full; warrants not outstanding
$3,231,416,666.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$13,179,000.00
$0.00
Preferred Stock w/ Warrants
$75,000,000.00
$0.00
$81,004,166.67 Redeemed, in full; warrants not outstanding
$4,334,427.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,639,000.00
$0.00
$17,097,990.60 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$15,500,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$1,000,000.00
$0.00
$1,100,653.50 Sold, in full; warrants not outstanding
$124,000,000.00
$0.00
$129,079,862.47 Sold, in full; warrants not outstanding
$795,000.00
$0.00
($9,884,250.00)
$18,492,469.25 Redeemed, in full; warrants not outstanding
$900,000.00
($9,000.00)
($16,000.00)
Preferred Stock w/ Warrants
$109,717,680.00
$0.00
$1,000.00
18,751
$1,000.00
$3,133,640,000.00
$18,751,000.00
$884.82
795
$18,751,000.00
Preferred Stock w/ Warrants
124,000
$795,000.00
Preferred Stock w/ Exercised Warrants
($1,645,765.20)
3,134
$1,000,000.00
$942,411.42 Redeemed, in full; warrants not outstanding
$20,037,514.11 Redeemed, in full; warrants not outstanding
$250,000.00
Preferred Stock w/ Exercised Warrants
$3,133,640,000.00
$0.00
52,455
$67,010,401.86
Preferred Stock w/ Warrants
13,902,573
$3,293,353,918.53 Redeemed, in full; warrants not outstanding
$1,706,000.00
$0.00
$2,315,853.14 Redeemed, in full; warrants not outstanding
$10,800,000.00
$0.00
$13,371,500.00 Redeemed, in full; warrants not outstanding
$1,706,000.00
$6,000,000.00
$0.00
$1,000.00
10,800
$85,000.00
85
$1,442,000.00
Preferred Stock w/ Exercised Warrants
1,706
$10,800,000.00
Preferred Stock w/ Warrants
$1,000.00
183,465
$7,263,316.66 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
300
$145,000.00
145
40,000
$1,000.00
226,330
985
$1,000.00
$50,000.00
5
$3,379,000.00
3,379
$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
$2,250,000.00
$2,750,000.00
2,250
2,750
$1,000.00
$1,000.00
$250,000.00
250
$19,630.00
$9,040,370.00
26
11,974
$755.00
$755.00
$541,793.34
600
3,250
18,500
$977.61
$977.61
$3,056.00
130,977
7,500
$1,000.00
31,260
$921.23
$3,444,478.21 Redeemed, in full; warrants not outstanding
$0.00
$300,000.00
$1,040,000.00
$0.00
$1,000.00
$985,000.00
$2,892,000.00
$40,000,000.00
2,892
$40,000,000.00
Preferred Stock w/ Warrants
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$2,892,000.00
Preferred Stock w/ Exercised Warrants
1,500
1,500
1,500
1,200
300
$41,917,777.78 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$985,000.00
$0.00
$1,172,062.50 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,635,000.00
$1,744,000.00
$0.00
$3,803,022.67 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$6,400,000.00
$0.00
$8,271,975.28 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$11,459,461.11 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,000,000.00
$0.00
$2,532,140.00
$3,700,820.00
($62,329.60)
$186,550.00
$8,913,450.00
($91,000.00)
Preferred Stock w/ Exercised Warrants
$12,000,000.00
$0.00
$6,127,326.35 Redeemed, in full; warrants not outstanding
$11,938,437.34 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
$21,750,000.00
$0.00
$529,105.00 Currently Not Collectible
($5,000,000.00)
Preferred Stock w/ Warrants
$21,264,901.65 Sold, in full; warrants not outstanding
$3,177,232.50
$18,085,785.00
($72,767.50)
($414,215.00)
($212,630.18)
Preferred Stock w/ Exercised Warrants
$7,500,000.00
$0.00
$31,260,000.00
$0.00
$9,776,051.62 Redeemed, in full; warrants not outstanding
$7,500,000.00
$4,797,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$20,093,000.00
$0.00
375
543,337
$35,140,666.12 Sold, in full; warrants not outstanding
$28,797,649.80
Preferred Stock w/ Exercised Warrants
$375,000.00
$939,920.00
Preferred Stock w/ Warrants
($431,964.75)
($2,462,350.20)
$5,673,920.75 Redeemed, in full; warrants not outstanding
$4,797,000.00
4,797
$1,000.00
$143,000.00
$19,950,000.00
143
19,950
$1,001.08
$1,001.08
$10,000,000.00
10,000
$1,000.00
$5,586,000.00
5,586,000
$1.11
$50,000,000.00
$104,000,000.00
50,000
104,000
$1,000.00
$1,000.00
$15,000,000.00
$8,864,000.00
15,000
8,864
$1,000.00
$1,000.00
$240,000.00
240
$154.44
$21,546.00
$29,737.13
$966,456.56
30
975
$500,000.00
500
$592,730.46
$232,180.54
$129,709.80
179,000
100,000
$6,202,523.25
2,887,500
$1,395,000.00
396,412
$26,941,865.35 Sold, in full; warrants not outstanding
($201,147.00)
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants
$10,000,000.00
$5,586,000.00
$0.00
$0.00
$11,783,777.44 Redeemed, in full; warrants not outstanding
$6,947,457.50 Sold, in full; warrants not outstanding
($61,787.30)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$154,000,000.00
$23,864,000.00
$0.00
$0.00
$171,224,745.48 Redeemed, in full; warrants not outstanding
$27,872,582.22 Redeemed, in full; warrants not outstanding
Footnote
Institution Name
BRIDGEVIEW BANCORP, INC.
BRIDGEVIEW BANCORP, INC.
BRIDGEVIEW BANCORP, INC.
9,10,18,65,96,99,136 BROADWAY FINANCIAL CORPORATION
BROADWAY FINANCIAL CORPORATION
BROADWAY FINANCIAL CORPORATION
14,15
BROGAN BANKSHARES, INC.
BROGAN BANKSHARES, INC.
BROGAN BANKSHARES, INC.
BROGAN BANKSHARES, INC.
8,14,44
BROTHERHOOD BANCSHARES, INC.
BROTHERHOOD BANCSHARES, INC.
8,11,14
BUSINESS BANCSHARES, INC.
BUSINESS BANCSHARES, INC.
BUSINESS BANCSHARES, INC.
BUSINESS BANCSHARES, INC.
8,11,14
BUTLER POINT, INC.
BUTLER POINT, INC.
11
C&F FINANCIAL CORPORATION
C&F FINANCIAL CORPORATION
C&F FINANCIAL CORPORATION
C&F FINANCIAL CORPORATION
8,14,18,44
CACHE VALLEY BANKING COMPANY
CACHE VALLEY BANKING COMPANY
CACHE VALLEY BANKING COMPANY
125
CADENCE FINANCIAL CORPORATION
CADENCE FINANCIAL CORPORATION
8,14,44
CALIFORNIA BANK OF COMMERCE
CALIFORNIA BANK OF COMMERCE
8,11,14
CALIFORNIA OAKS STATE BANK
CALIFORNIA OAKS STATE BANK
8
CALVERT FINANCIAL CORPORATION
CALVERT FINANCIAL CORPORATION
8,130
CALWEST BANCORP
CALWEST BANCORP
8,11,14
CAPITAL BANCORP, INC.
CAPITAL BANCORP, INC.
39
CAPITAL BANK CORPORATION
CAPITAL BANK CORPORATION
8,128
CAPITAL COMMERCE BANCORP, INC.
CAPITAL COMMERCE BANCORP, INC.
11
CAPITAL ONE FINANCIAL CORP
CAPITAL ONE FINANCIAL CORP
CAPITAL ONE FINANCIAL CORP
8,14
CAPITAL PACIFIC BANCORP
CAPITAL PACIFIC BANCORP
CAPITAL PACIFIC BANCORP
CAPITAL PACIFIC BANCORP
14,15,45
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
11
CARROLLTON BANCORP
CARROLLTON BANCORP
9,11,36
CARVER BANCORP, INC.
CARVER BANCORP, INC.
CASCADE FINANCIAL CORPORATION
CASCADE FINANCIAL CORPORATION
11
CATHAY GENERAL BANCORP
CATHAY GENERAL BANCORP
CATHAY GENERAL BANCORP
CATHAY GENERAL BANCORP
8,14,18,44
CATSKILL HUDSON BANCORP, INC.
CATSKILL HUDSON BANCORP, INC.
CATSKILL HUDSON BANCORP, INC.
8,57,97
CB HOLDING CORP.
CB HOLDING CORP.
8,18
CBB BANCORP
CBB BANCORP
CBB BANCORP
CBB BANCORP
CBB BANCORP
CBB BANCORP
8,14
CBS BANC-CORP.
CBS BANC-CORP.
CBS BANC-CORP.
CBS BANC-CORP.
CBS BANC-CORP.
CECIL BANCORP, INC.
8
CEDARSTONE BANK
CEDARSTONE BANK
44
CENTER BANCORP, INC.
CENTER BANCORP, INC.
CENTER BANCORP, INC.
11,59
CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC.
CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC.
CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC.
8,14
CENTERBANK
CENTERBANK
CENTERBANK
CENTERBANK
CENTERBANK
12,16
CENTERSTATE BANKS OF FLORIDA INC.
CENTERSTATE BANKS OF FLORIDA INC.
CENTERSTATE BANKS OF FLORIDA INC.
8,11,14
CENTRA FINANCIAL HOLDINGS, INC.
CENTRA FINANCIAL HOLDINGS, INC.
CENTRA FINANCIAL HOLDINGS, INC.
45
CENTRAL BANCORP, INC. (MA)
CENTRAL BANCORP, INC. (MA)
CENTRAL BANCORP, INC. (MA)
8,113
CENTRAL BANCORP, INC. (TX)
CENTRAL BANCORP, INC. (TX)
8,11,14
CENTRAL BANCSHARES, INC.
CENTRAL BANCSHARES, INC.
8,14
CENTRAL COMMUNITY CORPORATION
CENTRAL COMMUNITY CORPORATION
CENTRAL COMMUNITY CORPORATION
CENTRAL COMMUNITY CORPORATION
CENTRAL FEDERAL CORPORATION
8
City
BRIDGEVIEW
BRIDGEVIEW
BRIDGEVIEW
LOS ANGELES
LOS ANGELES
LOS ANGELES
KAUKAUNA
KAUKAUNA
KAUKAUNA
KAUKAUNA
KANSAS CITY
KANSAS CITY
CLAYTON
CLAYTON
CLAYTON
CLAYTON
CATLIN
CATLIN
WEST POINT
WEST POINT
WEST POINT
WEST POINT
LOGAN
LOGAN
LOGAN
STARKVILLE
STARKVILLE
LAFAYETTE
LAFAYETTE
THOUSAND OAKS
THOUSAND OAKS
ASHLAND
ASHLAND
RANCHO SANTA MARGARITA
RANCHO SANTA MARGARITA
ROCKVILLE
ROCKVILLE
RALEIGH
RALEIGH
MILWAUKEE
MILWAUKEE
MCLEAN
MCLEAN
MCLEAN
PORTLAND
PORTLAND
PORTLAND
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
LOS ANGELES
MILFORD
MILFORD
MILFORD
MILFORD
MILFORD
DAVENPORT
DAVENPORT
DAVENPORT
MORGANTOWN
MORGANTOWN
MORGANTOWN
SOMERVILLE
SOMERVILLE
SOMERVILLE
GARLAND
GARLAND
HOUSTON
HOUSTON
TEMPLE
TEMPLE
TEMPLE
TEMPLE
FAIRLAWN
State
IL
IL
IL
CA
CA
CA
WI
WI
WI
WI
KS
KS
MO
MO
MO
MO
IL
IL
VA
VA
VA
VA
UT
UT
UT
MS
MS
CA
CA
CA
CA
MO
MO
CA
CA
MD
MD
NC
NC
WI
WI
VA
VA
VA
OR
OR
OR
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
CA
OH
OH
OH
OH
OH
FL
FL
FL
WV
WV
WV
MA
MA
MA
TX
TX
TX
TX
TX
TX
TX
TX
OH
Date
12/19/2008
11/19/2013
1/6/2014
11/14/2008
12/4/2009
12/22/2016
5/15/2009
4/26/2013
4/29/2013
5/31/2013
7/17/2009
9/15/2011
4/24/2009
5/23/2012
1/9/2013
4/24/2013
3/13/2009
11/2/2011
1/9/2009
7/27/2011
4/11/2012
5/14/2014
12/23/2008
12/18/2009
7/14/2011
1/9/2009
3/4/2011
2/27/2009
9/15/2011
1/23/2009
12/8/2010
1/23/2009
2/17/2016
1/23/2009
12/23/2015
12/23/2008
12/30/2010
12/12/2008
1/28/2011
4/10/2009
10/2/2015
11/14/2008
6/17/2009
12/9/2009
12/23/2008
11/8/2012
11/9/2012
1/11/2013
10/23/2009
9/8/2011
1/9/2009
2/20/2013
2/21/2013
3/26/2013
4/19/2013
2/6/2009
11/30/2012
1/11/2013
3/26/2013
6/11/2013
2/13/2009
4/19/2013
1/16/2009
8/27/2010
11/21/2008
6/30/2011
12/5/2008
3/20/2013
9/30/2013
12/9/2013
2/27/2009
12/22/2009
7/21/2011
5/29/2009
10/14/2011
2/20/2009
12/29/2009
11/28/2012
11/29/2012
1/11/2013
3/26/2013
3/27/2009
8/7/2012
8/9/2012
8/10/2012
9/11/2012
12/23/2008
2/6/2009
11/20/2013
1/9/2009
9/15/2011
12/7/2011
12/12/2008
6/27/2012
5/27/2015
5/1/2009
10/29/2012
11/1/2012
1/11/2013
3/26/2013
11/21/2008
9/30/2009
10/28/2009
1/16/2009
3/31/2009
4/15/2009
12/5/2008
8/25/2011
10/19/2011
2/27/2009
8/29/2014
1/30/2009
7/6/2011
2/20/2009
12/10/2012
12/11/2012
1/11/2013
12/5/2008
Original Investment Type
Preferred Stock w/ Exercised Warrants
1
Original Investment Amount
$38,000,000.00
Outstanding Investment
$0.00
2
Total Cash Back
Investment Status*
$13,447,811.37 Sold, in full; warrants not outstanding
Amount
4
(Fee)
$10,450,000.00
Shares
38,000
Avg. Price
$275.00
(Realized Loss) / (Write-off)
5
Gain
($27,550,000.00)
Wt Amount
Wt Shares
$709,155.81
1,900
($104,500.00)
Preferred Stock w/ Warrants
$9,000,000.00
$6,000,000.00
$8,047,220.58
Subordinated Debentures w/ Exercised Warrants
$2,400,000.00
$0.00
$8,287,964.07 Sold, in part; warrants not outstanding
$6,952,779.42
4,702,860
$1.59
$524,767.98
$60,000.00
$2,340,000.00
60,000
2,340,000
$1.05
$1.05
$3,000.60
$117,023.40
$125,135.60
120,000
$11,000,000.00
11,000
$1,000.00
$550,000.00
550
$6,000,000.00
$2,500,000.00
$6,500,000.00
6,000
2,500
6,500
$1,000.00
$1,000.00
$1,000.00
$750,000.00
750
$607,000.00
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
$2,303,180.00
167,504
$9,407,000.00
9,407
$1,000.00
$238,000.00
238
$38,000,000.00
44,000
$863.64
$3,022,879.60 Sold, in full; warrants not outstanding
($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
$11,000,000.00
$15,000,000.00
$0.00
$0.00
$12,845,586.01 Redeemed, in full; warrants not outstanding
$18,707,708.84 Redeemed, in full; warrants not outstanding
$607,000.00
$0.00
$724,123.53 Redeemed, in full; warrants not outstanding
$20,000,000.00
$0.00
$25,205,957.78 Redeemed, in full; warrants not outstanding
$4,767,000.00
$4,640,000.00
$44,000,000.00
$0.00
$0.00
$10,674,333.80 Redeemed, in full; warrants not outstanding
$41,984,062.50 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$4,755,899.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,300,000.00
$0.00
$3,802,219.25 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,037,000.00
$0.00
($6,000,000.00)
$1,604,019.48 Redeemed, in full; warrants not outstanding
$4,000,000.00
$0.00
$3,555,199,000.00
$0.00
$1,000.00
$52,000.00
52
$0.20
$235,000.00
235
12,657,960
$45,252,104.25 Redeemed, in full; warrants not outstanding
$0.00
1,037
24,445,000
$5,285,163.67 Sold, in full; warrants not outstanding
$5,100,000.00
165
$5,452,281.19 Redeemed, in full; warrants not outstanding
$41,279,000.00
200
$165,000.00
$146,500,064.55
$0.00
$0.00
$200,000.00
$1,000.00
$4,656,000.00
$4,656,000.00
$4,700,000.00
$1,000.00
3,300
$1,037,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
4,000
$3,300,000.00
$4,700,000.00
Preferred Stock w/ Exercised Warrants
4,700
$1,000.00
$41,279,000.00
Preferred Stock w/ Warrants
41,279
$233,000.00
$1,000.00
$2,764,934.40 Sold, in full; warrants not outstanding
$2,455,328.00
264
3,736
$938.36
$938.36
6,251,000
$1.00
15,534
466
$935.10
$935.10
($1,008,156.60)
($30,243.40)
4,000
$853.00
($588,000.00)
9,201
$1,000.00
$18,980,000.00
18,980
$1,000.00
$16,250,000.00
38,970
$416.99
$129,000,000.00
$129,000,000.00
129,000
129,000
$1,000.00
$1,000.00
$6,500,000.00
$0.00
$1,000.00
$9,201,000.00
$4,000,000.00
$2.00
3,555,199
$247,727.04
$3,505,712.96
Preferred Stock w/ Exercised Warrants
1,227,664
$3,555,199,000.00
Preferred Stock w/ Warrants
($2,644,672.00)
6,500
$1,000.00
$3,806,873,702.13 Redeemed, in full; warrants not outstanding
$4,742,850.89 Sold, in full; warrants not outstanding
($16,272.96)
($230,287.04)
$169,042.00
200
$313,000.00
313,000
$1,800,000.00
357,675
($25,000.00)
Subordinated Debentures w/ Exercised Warrants
$6,251,000.00
$0.00
$7,547,479.56 Redeemed, in full; warrants not outstanding
$6,251,000.00
Preferred Stock w/ Warrants
$16,000,000.00
$0.00
$19,941,788.94 Sold, in full; warrants not outstanding
$14,525,843.40
$435,756.60
($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
($34,120.00)
($15,880.00)
$19,132.00
$9,201,000.00
$0.00
$18,980,000.00
$0.00
$38,970,000.00
$0.00
1,846,374
$263,000.00
263
$20,511,580.55 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
86,957
205,379
$11,388,958.51 Redeemed, in full; warrants not outstanding
Preferred Stock
$213,594.16
$13,107,778.30
Preferred Stock w/ Warrants
$17,678,900.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$258,000,000.00
$3,000,000.00
$3,500,000.00
$0.00
$0.00
Preferred Stock w/ Exercised Warrants
$4,114,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$2,644,000.00
$1,753,000.00
$0.00
($22,720,000.00)
$329,874,444.96 Redeemed, in full; warrants not outstanding
$7,448,071.47 Redeemed, in full; warrants not outstanding
$271,579.53 Currently Not Collectible
($4,114,000.00)
$4,982,141.86 Sold, in full; warrants not outstanding
$1,268,825.60
$2,831,259.86
1,360
3,037
$932.96
$932.26
($91,174.40)
($205,740.14)
$115,861.34
132
1,020
23,280
$905.20
$905.20
($96,696.00)
($2,206,944.00)
$287,213.85
$689,313.24
$131,297.76
315
756
144
($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
($219,963.60)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$11,560,000.00
$3,564,000.00
$11,560,000.00
$0.00
$516,988.89 Full investment outstanding; warrants outstanding
$4,672,098.50 Redeemed, in full; warrants not outstanding
$3,564,000.00
$0.00
$2,250,000.00
$0.00
$1,000.00
350,767
$84,057.43
113
125,413
$11,586,666.67 Redeemed, in full; warrants not outstanding
$65,855,083.33 Redeemed, in full; warrants not outstanding
$55,000,000.00
55,000
$1,000.00
$24,750.00
$1,831,500.00
30
2,220
$825.00
$825.00
$27,875,000.00
27,875
$1,000.00
$15,000,000.00
15,000
$1,000.00
$10,000,000.00
Preferred Stock w/ Exercised Warrants
178
$212,000.00
$55,000,000.00
$1,000.00
10,000
86,705
$1,115,500.00
Preferred Stock w/ Warrants
$0.00
$178,000.00
$245,000.00
$10,000,000.00
3,564
$10,000,000.00
Preferred Stock w/ Warrants
10,000
$1,000.00
$2,344,662.43 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
Preferred Stock w/ Exercised Warrants
$15,000,000.00
$0.00
$15,922,937.50 Redeemed, in full; warrants not outstanding
$750,000.00
$10,000,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$22,500,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$5,800,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$22,000,000.00
$0.00
750
$2,525,000.00
Preferred Stock w/ Warrants
234,742
1,125
$13,886,111.11 Redeemed, in full; warrants not outstanding
$31,086,221.13 Redeemed, in full; warrants not outstanding
$22,500,000.00
22,500
$1,000.00
$1,125,000.00
$5,800,000.00
5,800
$1,000.00
$290,000.00
290
$5,333,059.60
$15,043,340.40
5,758
16,242
$926.20
$926.20
$1,058,725.80
1,100
$6,859,176.83 Redeemed, in full; warrants not outstanding
$25,797,528.80 Sold, in full; warrants not outstanding
($203,764.00)
Preferred Stock w/ Warrants
$7,225,000.00
$0.00
$3,612,118.06 Sold, in full; warrants not outstanding
($424,940.40)
($1,198,659.60)
Footnote
11
40
45
93
8,17,44
8,14,44
14,15
15
8
23
19,30
11
8,55,97
8,14
9,11,36
8
8
8,14,44
11
86
45
8,9,124
11
8,14
82
8,17
45
44
8,14
8,11,14
11,16
8,14,44
11
11
14,15
Institution Name
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
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
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.
CHAMBERS BANCSHARES, INC.
CHICAGO SHORE CORPORATION
CHICAGO SHORE CORPORATION
CHICAGO SHORE CORPORATION
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 BANK & TRUST COMPANY, ESTABLISHED 1945
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 FIRST CORPORATION
CITIZENS FIRST CORPORATION
CITIZENS REPUBLIC BANCORP, INC. / FIRSTMERIT CORPORATION
CITIZENS REPUBLIC BANCORP, INC. / FIRSTMERIT CORPORATION
CITIZENS REPUBLIC BANCORP, INC. / FIRSTMERIT CORPORATION
CITIZENS SOUTH BANKING CORPORATION
CITIZENS SOUTH BANKING CORPORATION
CITIZENS SOUTH BANKING CORPORATION
CITY NATIONAL BANCSHARES CORPORATION
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.
City
FAIRLAWN
OAKHURST
OAKHURST
OAKHURST
HONOLULU
HONOLULU
HONOLULU
HONOLULU
FRESNO
FRESNO
FRESNO
POWHATAN
POWHATAN
HARRISBURG
HARRISBURG
BEDFORD
BEDFORD
OTTAWA
OTTAWA
OTTAWA
OTTAWA
OTTAWA
OTTAWA
OTTAWA
OTTAWA
SANTA FE
SANTA FE
SANTA FE
SANTA FE
DANVILLE
DANVILLE
CHICAGO
CHICAGO
CHICAGO
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
COVINGTON
COVINGTON
VERSAILLES
SOUTH HILL
SOUTH HILL
BOWLING GREEN
BOWLING GREEN
BOWLING GREEN
BOWLING GREEN
BOWLING GREEN
FLINT
FLINT
FLINT
GASTONIA
GASTONIA
GASTONIA
NEWARK
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
State
OH
NJ
NJ
NJ
HI
HI
HI
HI
CA
CA
CA
VA
VA
PA
PA
NH
NH
IL
IL
IL
IL
IL
IL
IL
IL
NM
NM
NM
NM
AR
AR
IL
IL
IL
IL
NY
NY
NY
NY
NY
PA
PA
PA
CA
CA
MO
MO
MO
MO
GA
GA
LA
LA
LA
KY
VA
VA
KY
KY
KY
KY
KY
MI
MI
MI
NC
NC
NC
NJ
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
Date
9/26/2012
12/23/2008
11/24/2010
12/1/2010
1/9/2009
6/22/2011
4/4/2012
6/11/2013
1/30/2009
8/18/2011
9/28/2011
1/30/2009
10/1/2013
12/18/2009
7/14/2011
2/6/2009
7/28/2011
1/9/2009
9/25/2013
10/18/2013
10/29/2013
1/6/2014
2/10/2014
3/19/2014
10/15/2014
6/19/2009
12/19/2012
12/20/2012
1/11/2013
5/29/2009
4/1/2015
7/31/2009
3/14/2014
3/17/2014
4/25/2014
12/31/2008
12/10/2009
10/28/2008
12/10/2010
1/31/2011
1/16/2009
8/4/2010
9/1/2010
12/23/2008
9/23/2011
5/29/2009
2/7/2013
2/8/2013
3/26/2013
3/6/2009
8/13/2010
3/20/2009
6/29/2015
8/6/2015
2/6/2009
12/23/2008
7/28/2011
12/19/2008
2/16/2011
2/13/2013
1/15/2014
4/15/2015
12/12/2008
4/12/2013
5/13/2015
12/12/2008
9/22/2011
11/9/2011
4/10/2009
8/7/2015
11/21/2008
12/30/2009
3/3/2010
4/7/2010
3/27/2009
11/28/2012
11/29/2012
1/11/2013
12/5/2008
3/8/2013
3/11/2013
4/9/2013
4/10/2013
6/12/2013
8/28/2009
3/8/2013
3/11/2013
4/9/2013
12/19/2008
9/8/2011
11/23/2011
1/9/2009
8/18/2011
9/28/2011
2/13/2009
7/19/2013
7/22/2013
9/12/2013
3/27/2009
10/26/2011
1/9/2009
2/7/2013
2/8/2013
3/26/2013
6/12/2013
11/21/2008
8/11/2010
9/1/2010
2/27/2009
9/22/2011
11/14/2008
3/17/2010
5/12/2010
1/9/2009
10/7/2009
10/1/2013
5/22/2009
8/7/2012
Original Investment Type
1
Preferred Stock w/ Warrants
Original Investment Amount
$11,300,000.00
Outstanding Investment
$0.00
Total Cash Back
2
Investment Status*
Amount
$3,000,000.00
4
(Fee)
Shares
7,225
Avg. Price
$415.22
11,300
2,850,000
2,770,117
$12.75
$13.15
7,000
(Realized Loss) / (Write-off)
($4,225,000.00)
5
$1,000.00
Gain
Wt Amount
Wt Shares
$1,000.00
$12,704,145.10 Redeemed, in full; warrants not outstanding
$11,300,000.00
$319,658.99
$0.00
$7,000,000.00
$0.00
($454,218.75)
($387,816.38)
Preferred Stock w/ Warrants
($32,121,928.87)
($30,113,532.58)
$8,077,516.47 Redeemed, in full; warrants not outstanding
$7,000,000.00
$11,385,000.00
$0.00
$3,800,656.00 Sold, in full; warrants not outstanding
$6,056,000.00
$0.00
$6,739,821.89 Redeemed, in full; warrants not outstanding
$7,500,000.00
$0.00
$32,668,000.00
$0.00
$3,350,000.00
Preferred Stock w/ Exercised Warrants
79,067
$75,036,891.42 Sold, in full; warrants not outstanding
$36,337,500.00
$36,427,038.55
Preferred Stock w/ Warrants
79,288
$185,016.80
$135,000,000.00
268,621
$751,888.00
Preferred Stock w/ Warrants
11,385
$294.25
($8,035,000.00)
$6,056,000.00
$1,000.00
$182,000.00
182
7,500
$1,000.00
$375,000.00
375
$8,211,450.00
$1,950,000.00
Preferred Stock w/ Warrants
6,056
$7,500,000.00
Preferred Stock w/ Exercised Warrants
25,266
6,000
$325.00
$325.00
($17,054,550.00)
($4,050,000.00)
1,402
$412.01
($824,361.98)
40,000
9,960,000
$0.99
$0.99
($600.00)
($149,400.00)
$8,887,791.42 Redeemed, in full; warrants not outstanding
$11,205,387.14 Sold, in full; warrants not outstanding
($82,114.50)
($19,500.00)
$577,638.02
($5,776.38)
$2,000.00
$0.00
508,320
200,000
300,000
$991,000.00
991,000
$347,193.00
350
210,084,034
$400,000.00
$10,000,000.00
$198,635.58
$297,953.37
$54,621,848.84
Subordinated Debentures w/ Exercised Warrants
194,794
($6,332,625.00)
($5,850,000.00)
$258,018.75
$387,028.12
500
750
($839,688.00)
$53,015.60
120
$150,000.00
150
$13,186,960.25 Sold, in full; warrants not outstanding
$39,400.00
$9,810,600.00
($98,500.00)
Subordinated Debentures w/ Exercised Warrants
$19,817,000.00
$0.00
$7,000,000.00
$0.00
$32,098,302.62 Redeemed, in full; warrants not outstanding
$19,817,000.00
19,817,000
$1.00
$257,660.00
$6,679,340.00
Preferred Stock w/ Exercised Warrants
260
6,740
$991.00
$991.00
$8,981,348.81 Sold, in full; warrants not outstanding
($2,340.00)
($60,660.00)
($69,370.00)
Preferred Stock w/ Warrants
$2,330,000,000.00
$0.00
$43,687,500.00 Exited bankruptcy/Receivership
($2,330,000,000.00)
Preferred Stock w/ Warrants
$25,000,000,000.00
$0.00
$32,839,267,986.46 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$26,440,000.00
$0.00
$28,889,100.00 Redeemed, in full; warrants not outstanding
$25,000,000,000.00
Preferred Stock w/ Exercised Warrants
$10,400,000.00
$0.00
7,692,307,692
$4.14
$26,440,000.00
26,440
$1,000.00
$6,852,354,470.95
$223,571.11 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
Preferred Stock
$7,462,000.00
$0.00
$7,997,813.22 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,400,000.00
$0.00
$2,353,330.60 Sold, in full; warrants not outstanding
$6,657,375.00
$6,150,000.00
12,990
12,000
$512.50
$512.50
7,462
$1,000.00
2,400
$650.13
($128,073.75)
$7,462,000.00
$1,560,312.00
($25,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$6,300,000.00
$3,000,000.00
$6,300,000.00
$0.00
Preferred Stock w/ Warrants
$8,779,000.00
$0.00
$180,258.50 Full investment outstanding; warrants outstanding
$3,574,645.84 Redeemed, in full; warrants not outstanding
$3,000,000.00
3,000
$1,000.00
$2,212,308.00
$3,300,904.00
$3,265,788.00
63
94
93
$35,116.00
$35,116.00
$35,116.00
$300,000,000.00
300,000
$1,000.00
$12,236,725.89 Redeemed, in full; warrants not outstanding
$1,705,802.78
$0.00
$9,439,000.00
$0.00
$3,000,000.00
$0.00
150
60,000
145,579
$389,857.05
$25,990.47
450
30
$1,000.00
9,439
$235.91
200,000
200,000
$1,000.00
$1,000.00
$955,825.50
$1,662,874.50
$0.00
20,500
$200,000,000.00
$200,000,000.00
Preferred Stock w/ Exercised Warrants
$400,000,000.00
1,128,668
$23,572,379.22 Redeemed, in full; warrants not outstanding
$2,226,750.00
Preferred Stock w/ Warrants
$114,021.50
$99,000.00
$225,647.45
$20,500,000.00
$381,395,557.08 Redeemed, in full; warrants not outstanding
$20,500,000.00
Preferred Stock
450,314
$18,500,000.00
$0.00
2,571,998
$225,157.00
Preferred Stock w/ Warrants
$300,000,000.00
254,218
$12,150,120.44
Preferred Stock w/ Warrants
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)
$2,508,609.00 Sold, in full; warrants not outstanding
($7,212,250.00)
$442,416,666.67 Redeemed, in full; warrants not outstanding
$3,318,585.05 Sold, in full; warrants not outstanding
($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
Preferred Stock w/ Warrants
$64,450,000.00
$0.00
$73,357,086.72 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$16,500,000.00
$0.00
$19,178,479.00 Redeemed, in full; warrants not outstanding
$397,550.00
$12,335,976.50
500
15,515
$795.10
$795.10
($102,450.00)
($3,179,023.50)
($127,335.27)
$64,450,000.00
64,450
$1,000.00
$16,500,000.00
16,500
$1,000.00
$143,677.00
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$574,000.00
$0.00
895,968
$526,604.00
263,859
$10,670,784.03 Sold, in full; warrants not outstanding
$46,995.00
$8,990,505.00
52
9,948
$903.75
$903.75
574
$1,000.00
27,661
339
$782.11
$782.11
$76,898,000.00
76,898
$1,000.00
$2,260,000.00
2,260
$1,000.00
$2,250,000,000.00
2,250,000
($5,005.00)
($957,495.00)
$1,000.00
$494,381.25
50
$29,000.00
29
$810,000.00
500,000
$3,301,647.00
398,023
($90,375.00)
$668,142.53 Redeemed, in full; warrants not outstanding
$574,000.00
Preferred Stock w/ Warrants
$28,000,000.00
$0.00
$26,480,089.20 Sold, in full; warrants not outstanding
$21,633,944.71
$265,135.29
($6,027,055.29)
($73,864.71)
($218,990.80)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$76,898,000.00
$0.00
$86,821,419.22 Redeemed, in full; warrants not outstanding
$2,260,000.00
$0.00
$2,689,478.64 Redeemed, in full; warrants not outstanding
$2,250,000,000.00
$0.00
$2,582,039,543.40 Redeemed, in full; warrants not outstanding
$5,000,000.00
$0.00
$20,400,000.00
$0.00
87,209
$5,602,969.61 Redeemed, in full; warrants not outstanding
$5,000,000.00
Subordinated Debentures w/ Exercised Warrants
113
11,479,592
$566,858.50
Preferred Stock w/ Warrants
$113,000.00
$181,102,043.40
Preferred Stock w/ Warrants
5,000
$1,000.00
$130,500.00
174,000
$0.75
$21,575,016.54 Sold, in full; warrants not outstanding
($43,500.00)
Footnote
8,14
8,11,14
8,11,14
8,11,14
8,17
9,11,36
44
11,101
8,14
81
8,14,76
8
8,14,44
8
8,67
8,14
44
15,17
8,14,44
53,110
8,14
8,14
8,14
8
8
58
8,14
8
11,16
8,14,44
14,15,44
8,14
8,18
14,15
8,14
Institution Name
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BUSINESS BANK
COMMONWEALTH BUSINESS BANK
COMMONWEALTH BUSINESS BANK
COMMUNITY 1ST BANK
COMMUNITY 1ST BANK
COMMUNITY BANCSHARES OF KANSAS, INC.
COMMUNITY BANCSHARES OF KANSAS, INC.
COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY BANK OF MISSISSIPPI
COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY BANK OF MISSISSIPPI
COMMUNITY BANCSHARES, INC.
COMMUNITY BANCSHARES, INC.
COMMUNITY BANK OF THE BAY
COMMUNITY BANK OF THE BAY
COMMUNITY BANK SHARES OF INDIANA, INC.
COMMUNITY BANK SHARES OF INDIANA, INC.
COMMUNITY BANK SHARES OF INDIANA, INC.
COMMUNITY BANKERS TRUST CORPORATION
COMMUNITY BANKERS TRUST CORPORATION
COMMUNITY BANKERS TRUST CORPORATION
COMMUNITY BANKERS TRUST CORPORATION
COMMUNITY BANKERS TRUST CORPORATION
COMMUNITY BUSINESS BANK
COMMUNITY BUSINESS BANK
COMMUNITY BUSINESS BANK
COMMUNITY FINANCIAL CORPORATION / CITY HOLDING COMPANY
COMMUNITY FINANCIAL CORPORATION / CITY HOLDING COMPANY
COMMUNITY FINANCIAL CORPORATION / CITY HOLDING COMPANY
COMMUNITY FINANCIAL SHARES, INC.
COMMUNITY FINANCIAL SHARES, INC.
COMMUNITY FIRST BANCSHARES, INC. (AR)
COMMUNITY FIRST BANCSHARES, INC. (AR)
COMMUNITY FIRST BANCSHARES, INC. (AR)
COMMUNITY FIRST BANCSHARES, INC. (AR)
COMMUNITY FIRST BANCSHARES, INC. (TN)
COMMUNITY FIRST BANCSHARES, INC. (TN)
COMMUNITY FIRST, INC.
COMMUNITY FIRST, INC.
COMMUNITY FIRST, INC.
COMMUNITY FIRST, INC.
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC.
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC.
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC.
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC.
COMMUNITY INVESTORS BANCORP, INC.
COMMUNITY INVESTORS BANCORP, INC.
COMMUNITY INVESTORS BANCORP, INC.
COMMUNITY INVESTORS BANCORP, INC.
COMMUNITY INVESTORS BANCORP, INC.
COMMUNITY PARTNERS BANCORP
COMMUNITY PARTNERS BANCORP
COMMUNITY PARTNERS BANCORP
COMMUNITY PRIDE BANK CORPORATION
COMMUNITY PRIDE BANK CORPORATION
COMMUNITY PRIDE BANK CORPORATION
COMMUNITY TRUST FINANCIAL CORPORATION
COMMUNITY TRUST FINANCIAL CORPORATION
COMMUNITY WEST BANCSHARES
COMMUNITY WEST BANCSHARES
COMMUNITY WEST BANCSHARES
COMMUNITY WEST BANCSHARES
COMMUNITY WEST BANCSHARES
COMMUNITYONE BANCORP / FNB UNITED CORP.
COMMUNITYONE BANCORP / FNB UNITED CORP.
COMMUNITYONE BANCORP / FNB UNITED CORP.
CONGAREE BANCSHARES, INC.
CONGAREE BANCSHARES, INC.
CONGAREE BANCSHARES, INC.
CONGAREE BANCSHARES, INC.
CORNING SAVINGS AND LOAN ASSOCIATION
CORNING SAVINGS AND LOAN ASSOCIATION
CORNING SAVINGS AND LOAN ASSOCIATION
CORNING SAVINGS AND LOAN ASSOCIATION
COUNTRY BANK SHARES, INC.
COUNTRY BANK SHARES, INC.
COUNTRY BANK SHARES, INC.
COUNTRY BANK SHARES, INC.
COVENANT FINANCIAL CORPORATION
COVENANT FINANCIAL CORPORATION
CRAZY WOMAN CREEK BANCORP INCORPORATED
CRAZY WOMAN CREEK BANCORP INCORPORATED
CRAZY WOMAN CREEK BANCORP INCORPORATED
CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancshares, Inc.
CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancshares, Inc.
CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancshares, Inc.
CROSSTOWN HOLDING COMPANY
CROSSTOWN HOLDING COMPANY
CROSSTOWN HOLDING COMPANY
CROSSTOWN HOLDING COMPANY
CSRA BANK CORP.
CSRA BANK CORP.
CSRA BANK CORP.
CVB FINANCIAL CORP.
CVB FINANCIAL CORP.
CVB FINANCIAL CORP.
CVB FINANCIAL CORP.
D.L. EVANS BANCORP
D.L. EVANS BANCORP
DEERFIELD FINANCIAL CORPORATION
DEERFIELD FINANCIAL CORPORATION
DELMAR BANCORP
DELMAR BANCORP
DELMAR BANCORP
DELMAR BANCORP
DESOTO COUNTY BANK
DESOTO COUNTY BANK
DESOTO COUNTY BANK
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
City
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOS ANGELES
LOS ANGELES
LOS ANGELES
ROSEVILLE
ROSEVILLE
GOFF
GOFF
BRANDON
BRANDON
KINGMAN
KINGMAN
OAKLAND
OAKLAND
NEW ALBANY
NEW ALBANY
NEW ALBANY
GLEN ALLEN
GLEN ALLEN
GLEN ALLEN
GLEN ALLEN
GLEN ALLEN
WEST SACRAMENTO
WEST SACRAMENTO
WEST SACRAMENTO
STAUNTON
STAUNTON
STAUNTON
GLEN ELLYN
GLEN ELLYN
HARRISON
HARRISON
HARRISON
HARRISON
UNION CITY
UNION CITY
COLUMBIA
COLUMBIA
COLUMBIA
COLUMBIA
BRANDON
BRANDON
BRANDON
BRANDON
BUCYRUS
BUCYRUS
BUCYRUS
BUCYRUS
BUCYRUS
MIDDLETOWN
MIDDLETOWN
MIDDLETOWN
HAM LAKE
HAM LAKE
HAM LAKE
RUSTON
RUSTON
GOLETA
GOLETA
GOLETA
GOLETA
GOLETA
ASHEBORO
ASHEBORO
ASHEBORO
CAYCE
CAYCE
CAYCE
CAYCE
CORNING
CORNING
CORNING
CORNING
MILFORD
MILFORD
MILFORD
MILFORD
CLARKSDALE
CLARKSDALE
BUFFALO
BUFFALO
BUFFALO
RALEIGH
RALEIGH
RALEIGH
BLAINE
BLAINE
BLAINE
BLAINE
WRENS
WRENS
WRENS
ONTARIO
ONTARIO
ONTARIO
ONTARIO
BURLEY
BURLEY
DEERFIELD
DEERFIELD
DELMAR
DELMAR
DELMAR
DELMAR
HORN LAKE
HORN LAKE
HORN LAKE
HORN LAKE
HORN LAKE
WASHINGTON
WASHINGTON
WASHINGTON
WASHINGTON
WASHINGTON
KANSAS CITY
State
KY
KY
KY
KY
CA
CA
CA
CA
CA
KS
KS
MS
MS
AZ
AZ
CA
CA
IN
IN
IN
VA
VA
VA
VA
VA
CA
CA
CA
VA
VA
VA
IL
IL
AR
AR
AR
AR
TN
TN
TN
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
NC
NC
SC
SC
SC
SC
AR
AR
AR
AR
NE
NE
NE
NE
MS
MS
WY
WY
WY
NC
NC
NC
MN
MN
MN
MN
GA
GA
GA
CA
CA
CA
CA
ID
ID
WI
WI
MD
MD
MD
MD
MS
MS
MS
MS
MS
MO
MO
MO
MO
MO
MO
Date
8/8/2012
8/9/2012
8/10/2012
9/11/2012
1/23/2009
7/17/2013
9/12/2013
1/16/2009
12/19/2012
3/6/2009
7/18/2012
9/11/2009
9/29/2010
7/24/2009
2/11/2015
1/16/2009
9/29/2010
5/29/2009
9/15/2011
10/19/2011
12/19/2008
7/24/2013
11/20/2013
4/23/2014
6/4/2014
2/27/2009
11/30/2012
1/11/2013
12/19/2008
1/9/2013
5/28/2015
5/15/2009
12/21/2012
4/3/2009
2/7/2014
2/10/2014
3/19/2014
3/20/2009
8/18/2011
2/27/2009
4/11/2014
4/14/2014
7/18/2014
2/6/2009
11/30/2012
1/11/2013
3/26/2013
12/23/2008
12/19/2012
12/20/2012
1/11/2013
3/26/2013
1/30/2009
8/11/2011
10/26/2011
11/13/2009
8/12/2013
9/12/2013
1/9/2009
7/6/2011
12/19/2008
12/10/2012
12/11/2012
1/11/2013
6/12/2013
2/13/2009
5/23/2014
5/27/2015
1/9/2009
10/29/2012
10/31/2012
1/11/2013
2/13/2009
11/30/2012
1/11/2013
3/26/2013
1/30/2009
11/28/2012
11/29/2012
1/11/2013
6/5/2009
4/30/2014
2/20/2009
1/8/2014
11/19/2014
1/9/2009
2/19/2014
6/11/2014
1/23/2009
7/19/2013
7/22/2013
9/12/2013
3/27/2009
6/29/2015
8/6/2015
12/5/2008
8/26/2009
9/2/2009
10/28/2009
2/27/2009
9/27/2011
5/15/2009
9/8/2011
12/4/2009
2/7/2013
2/8/2013
3/26/2013
2/13/2009
12/29/2009
9/24/2013
9/25/2013
10/29/2013
5/22/2009
8/8/2012
8/9/2012
8/10/2012
9/11/2012
1/16/2009
Original Investment Type
1
Original Investment Amount
Outstanding Investment
Total Cash Back
2
Investment Status*
Amount
$1,469,250.00
$13,100,250.00
$600,000.00
4
(Fee)
Shares
1,959,000
17,467,000
800,000
Avg. Price
$0.75
$0.75
$0.75
(Realized Loss) / (Write-off)
($489,750.00)
($4,366,750.00)
($200,000.00)
5
Gain
($377,349.00)
Wt Amount
Wt Shares
$792,990.00
$105,732.00
900,000
120,000
($153,000.00)
Preferred Stock w/ Exercised Warrants
$7,701,000.00
$0.00
$8,451,110.79 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,550,000.00
$0.00
$2,899,659.67 Redeemed, in full; warrants not outstanding
$7,323,651.00
7,701
$951.00
$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
$3,872,000.00
3,872
$1,000.00
$116,000.00
116
$1,747,000.00
1,747
$1,000.00
$19,468,000.00
19,468
$1,000.00
$1,100,869.50
386,270
$4,500,000.00
$2,500,000.00
$10,680,000.00
4,500
2,500
10,680
$1,000.00
$1,000.00
$1,000.00
$3,717,560.00
3,976
$935.00
$12,643,000.00
12,643
$1,000.00
$3,136,500.00
6,970
$450.00
($3,833,500.00)
$157,050.00
349
$3,705,037.50
$8,867,389.75
3,750
8,975
$988.01
$988.01
($44,962.50)
($107,610.25)
$85,157.88
$544,614.34
86
550
$20,000,000.00
20,000
$1,000.00
$1,000,000.00
1,000
$1,322,500.50
$4,028,202.50
4,401
13,405
$300.50
$300.50
($3,078,499.50)
($9,376,797.50)
$72,314.55
$387,399.37
140
750
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
$9,000,000.00
9,000
$1,000.00
$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
($828,000.00)
($3,477,600.00)
$10,149,929.90
1,085,554
$9.35
($41,350,070.10)
$23,932.54
$2,687,046.56
29
3,256
$825.26
$825.26
($5,067.46)
($568,953.44)
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
$5,000,000.00
5,000
$1,000.00
$250,000.00
250
$1,000,000.00
$2,100,000.00
1,000
2,100
$1,000.00
$1,000.00
$155,000.00
155
$24,900,000.00
24,900
$1,000.00
$1,681,000.00
833,705
$343,794.50
$10,117,381.00
350
10,300
$982.27
$982.27
2,400
$1,213.75
$97,500,000.00
$32,500,000.00
97,500
32,500
$1,000.00
$1,000.00
$19,891,000.00
19,891
$1,000.00
$995,000.00
995
$2,639,000.00
2,639,000
$1.00
$132,000.00
132,000
8,648
352
$612.11
$612.11
($3,354,472.72)
($136,537.28)
$311,943.55
450
366
2,315
$823.58
$818.78
($64,571.42)
($419,532.41)
$40,563.34
59
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
($73,236.51)
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
$3,872,000.00
$0.00
$5,197,157.57 Redeemed, in full; warrants not outstanding
Preferred Stock
$1,747,000.00
$0.00
$1,823,188.61 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$19,468,000.00
$0.00
$22,802,281.62 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$17,680,000.00
$0.00
$23,135,879.12 Redeemed, in full; warrants not outstanding
$780,000.00
$3,976,000.00
$0.00
780,000
$167,035.00
199
$873,485.00
Preferred Stock w/ Exercised Warrants
61,796
$4,674,050.16 Sold, in full; warrants not outstanding
($258,440.00)
($25,000.00)
Preferred Stock w/ Warrants
$12,643,000.00
$0.00
$16,080,204.94 Redeemed, in full; warrants not 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
$12,725,000.00
$0.00
$16,441,884.63 Sold, in full; warrants not outstanding
($125,724.27)
Preferred Stock w/ Exercised Warrants
$20,000,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$17,806,000.00
$0.00
$23,628,111.33 Redeemed, in full; warrants not outstanding
$7,665,362.89 Sold, in full; warrants not outstanding
($53,507.03)
Preferred Stock w/ Exercised Warrants
$1,050,000.00
$0.00
$1,220,300.65 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
Subordinated Debentures w/ Exercised Warrants
$4,400,000.00
$0.00
$10,598,750.00 Redeemed, in full; warrants not outstanding
$460,000.00
311,972
$177,716.96
132,000
$1,200,000.00
1,200
$698,351.00
521,158
$10,356.69
22,071
$106,364.00
164
$5,462,045.14 Sold, in full; warrants not outstanding
$484,924.00
($48,849.24)
Preferred Stock w/ Exercised Warrants
$24,000,000.00
$0.00
$28,459,100.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$15,600,000.00
$0.00
$14,341,140.33 Sold, in full; warrants not outstanding
($112,944.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$51,500,000.00
$3,285,000.00
$0.00
$0.00
$12,749,591.59 Sold, in full; warrants not outstanding
$3,483,629.20 Sold, in full; warrants not outstanding
($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
Preferred Stock w/ Exercised Warrants
$5,000,000.00
$0.00
$6,594,635.27 Redeemed, in full; warrants not outstanding
$713,208.30
$6,193,989.20
($69,071.98)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$3,100,000.00
$0.00
$4,225,732.08 Redeemed, in full; warrants not outstanding
$24,900,000.00
$0.00
$33,014,741.20 Redeemed, in full; warrants not outstanding
$10,650,000.00
$0.00
$13,498,324.83 Sold, in full; warrants not outstanding
($6,205.50)
($182,619.00)
$531,210.67
533
$141,815.60
120
$1,307,000.00
834,761
($104,611.76)
Preferred Stock w/ Exercised Warrants
$2,400,000.00
$0.00
$3,210,755.60 Sold, in full; warrants not outstanding
$2,400,000.00
$513,000.00
($25,000.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$130,000,000.00
$0.00
$136,046,583.33 Redeemed, in full; warrants not outstanding
$19,891,000.00
$0.00
$23,686,592.33 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$2,639,000.00
$0.00
$3,283,338.96 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$9,000,000.00
$0.00
$6,598,331.15 Sold, in full; warrants not outstanding
$5,293,527.28
$215,462.72
($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
$20,445,000.00
$0.00
$21,101,618.19 Sold, in full; warrants not outstanding
$301,428.58
$1,895,467.59
($33,333.34)
Subordinated Debentures w/ Exercised Warrants
$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
Footnote
11
44
15
12,44
11,16
89
44
45
11
8,14,44
8,44,73
8,14
8,14,18
8,14
14,15
8,14
11
8,120
8,14
8,11
14,15
8,14,45
15,17
8,14
8,14,45
8,14
11,15,44
77
8,17
8,14
Institution Name
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.
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.
EASTERN VIRGINIA BANKSHARES, INC.
EASTERN VIRGINIA BANKSHARES, INC.
ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancshares, Inc.
ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancshares, Inc.
ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth 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. / ALLEGIANCE BANCSHARES, INC.
FARMERS & MERCHANTS BANCSHARES, INC. / ALLEGIANCE BANCSHARES, INC.
FARMERS & MERCHANTS FINANCIAL CORPORATION
FARMERS & MERCHANTS FINANCIAL CORPORATION
FARMERS & MERCHANTS FINANCIAL CORPORATION
FARMERS BANK, WINDSOR, VIRGINIA
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.
FARMERS STATE BANKSHARES, INC.
FBHC HOLDING COMPANY
FBHC HOLDING COMPANY
FC HOLDINGS, INC.
FC HOLDINGS, INC.
FC HOLDINGS, INC.
FCB BANCORP, INC.
FCB BANCORP, INC.
FFW CORPORATION
FFW CORPORATION
FFW CORPORATION
FFW CORPORATION
FIDELITY BANCORP, INC. (LA)
FIDELITY BANCORP, INC. (LA)
FIDELITY BANCORP, INC. (PA) / WESBANCO, INC.
FIDELITY BANCORP, INC. (PA) / WESBANCO, INC.
FIDELITY BANCORP, INC. (PA) / WESBANCO, INC.
FIDELITY FEDERAL BANCORP
FIDELITY FEDERAL BANCORP
FIDELITY FEDERAL BANCORP
FIDELITY FEDERAL BANCORP
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
City
KANSAS CITY
KANSAS CITY
KANSAS CITY
RIVERWOODS
RIVERWOODS
RIVERWOODS
DOWNINGTOWN
DOWNINGTOWN
DOWNINGTOWN
MINNEAPOLIS
MINNEAPOLIS
MINNEAPOLIS
MINNEAPOLIS
BETHESDA
BETHESDA
BETHESDA
BETHESDA
PASADENA
PASADENA
PASADENA
TAPPAHANNOCK
TAPPAHANNOCK
TAPPAHANNOCK
TAPPAHANNOCK
TAPPAHANNOCK
ENGELHARD
ENGELHARD
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
HOUSTON
ARGONIA
ARGONIA
ARGONIA
WINDSOR
WINDSOR
WINDSOR
FRANKFORT
FRANKFORT
FRANKFORT
GREAT BEND
GREAT BEND
GREAT BEND
GREAT BEND
GREAT BEND
HOLTON
HOLTON
BOULDER
BOULDER
HOUSTON
HOUSTON
HOUSTON
LOUISVILLE
LOUISVILLE
WABASH
WABASH
WABASH
WABASH
BATON ROUGE
BATON ROUGE
PITTSBURGH
PITTSBURGH
PITTSBURGH
EVANSVILLE
EVANSVILLE
EVANSVILLE
EVANSVILLE
WICHITA
WICHITA
WICHITA
WICHITA
WICHITA
WICHITA
WICHITA
WICHITA
WICHITA
State
MO
MO
MO
IL
IL
IL
PA
PA
PA
MN
MN
MN
MN
MD
MD
MD
MD
CA
CA
CA
VA
VA
VA
VA
VA
NC
NC
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
TX
KS
KS
KS
VA
VA
VA
KY
KY
KY
KS
KS
KS
KS
KS
KS
KS
CO
CO
TX
TX
TX
KY
KY
IN
IN
IN
IN
LA
LA
PA
PA
PA
IN
IN
IN
IN
KS
KS
KS
KS
KS
KS
KS
KS
KS
Date
2/7/2013
2/8/2013
3/26/2013
3/13/2009
4/21/2010
7/7/2010
1/30/2009
8/4/2011
9/21/2011
6/19/2009
11/27/2013
3/5/2014
4/2/2014
12/5/2008
12/23/2009
7/14/2011
11/23/2011
12/5/2008
12/29/2010
1/26/2011
1/9/2009
10/18/2013
10/21/2013
1/6/2014
5/13/2015
1/16/2009
2/19/2014
6/11/2014
12/23/2008
8/18/2011
12/7/2011
12/5/2008
9/27/2011
11/23/2011
12/19/2008
11/7/2012
1/9/2013
6/12/2009
8/25/2011
1/30/2009
8/11/2011
12/19/2008
8/3/2012
8/8/2012
8/9/2012
8/10/2012
8/13/2012
9/11/2012
1/30/2009
11/6/2009
2/6/2013
2/7/2013
2/8/2013
3/26/2013
2/6/2009
9/18/2012
9/19/2012
9/20/2012
11/16/2012
5/22/2009
11/8/2012
11/13/2012
1/11/2013
2/13/2009
9/19/2012
9/20/2012
9/21/2012
11/16/2012
1/9/2009
9/9/2009
11/23/2011
3/6/2009
7/15/2015
3/20/2009
6/24/2013
7/26/2013
1/23/2009
1/9/2013
12/31/2013
1/9/2009
6/19/2012
7/18/2012
6/19/2009
11/8/2012
11/9/2012
11/13/2012
1/11/2013
3/20/2009
7/21/2011
12/29/2009
3/9/2011
6/26/2009
2/20/2013
3/26/2013
12/19/2008
9/22/2011
12/19/2008
11/28/2012
11/30/2012
1/11/2013
5/29/2009
3/27/2013
12/12/2008
11/30/2012
5/6/2015
11/13/2009
7/19/2013
7/22/2013
9/12/2013
12/19/2008
8/1/2012
8/2/2012
8/3/2012
8/7/2012
8/8/2012
8/9/2012
8/10/2012
9/11/2012
Original Investment Type
1
Original Investment Amount
Outstanding Investment
Total Cash Back
2
Investment Status*
Amount
$8,025,555.03
$72,684,793.30
4
(Fee)
Shares
14,523
131,530
Avg. Price
$552.61
$552.61
$1,224,558,000.00
1,224,558
11,750
5
$1,000.00
$11,750,000.00
(Realized Loss) / (Write-off)
($6,497,444.97)
($58,845,206.70)
Gain
Wt Amount
$3,372.19
$4,922,044.87
Wt Shares
$1,000.00
5
7,298
($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
Preferred Stock w/ Warrants
$11,750,000.00
$0.00
$13,683,277.61 Redeemed, in full; warrants not outstanding
$172,000,000.00
Subordinated Debentures w/ Exercised Warrants
$12,000,000.00
$0.00
$600,000.00
$1.00
$1.00
$1.00
15,000
23,235
600,000
$1,000.00
$1,000.00
$306,546,000.00
$0.00
5,000,000
2,000,000
5,000,000
$15,000,000.00
$23,235,000.00
$38,235,000.00
186,311
$17,424,285.82 Redeemed, in full; warrants not outstanding
$5,000,000.00
$2,000,000.00
$5,000,000.00
Preferred Stock w/ Warrants
20,500,413
$458,000.00
306,546
$1,000.00
$44,847,153.76 Redeemed, in full; warrants not outstanding
$2,794,422.00
$0.00
384,041
$871,000.00
$24,000,000.00
$0.00
1,517,555
$115,000.00
Preferred Stock w/ Warrants
$306,546,000.00
385,434
$14,500,000.00
Preferred Stock w/ Warrants
514,693
$352,722,420.00 Redeemed, in full; warrants not outstanding
$28,568,653.60 Sold, in full; warrants not outstanding
$3,900,000.00
$20,100,000.00
3,900
20,100
$1,104.11
$1,104.11
$17,949,000.00
17,949
$1,000.00
$7,500,000.00
7,500
$406,029.00
$2,092,611.00
$1,000.00
($264,986.40)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$17,949,000.00
$7,500,000.00
$0.00
$0.00
$23,397,494.08 Redeemed, in full; warrants not outstanding
$8,545,904.67 Redeemed, in full; warrants not outstanding
$51,113.00
$34,000,000.00
$0.00
364,026
$39,415,959.89 Redeemed, in full; warrants not outstanding
$34,000,000.00
Preferred Stock w/ Warrants
50,111
$637,071.00
Preferred Stock w/ Warrants
$35,000,000.00
$0.00
$0.00
$1,000.00
$42,801,933.33 Redeemed, in full; warrants not outstanding
$4,000,000.00
34,000
$4,680,205.56 Redeemed, in full; warrants not outstanding
$35,000,000.00
$0.00
200
8,750
$1,000.00
$438,000.00
438
550
20,000
9,969
481
12,000
$875.25
$875.25
$875.25
$875.25
$875.25
($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
$136,813.05
$43,000,000.00
$200,000.00
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
$10,394,872.56 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
324,074
$1,000.00
$481,387.50
$17,505,000.00
$8,725,367.25
$420,995.25
$10,503,000.00
$0.00
4,000
$8,750,000.00
$8,750,000.00
$1,000.00
$1,006,100.00
Preferred Stock w/ Exercised Warrants
35,000
$4,000,000.00
Preferred Stock w/ Exercised Warrants
$47,294,527.29 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
$96,465.60
200
17,043
$787.50
$787.50
750
651,042
$550,000.00
($42,500.00)
($3,621,637.50)
112
$645,975.00
$690,100.00
$157,500.00
$13,421,362.50
550
($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
$11,000,000.00
$442,000.00
$0.00
$0.00
100,000
$1,000.00
$11,000,000.00
Preferred Stock w/ Exercised Warrants
11,000
$1,000.00
442
$962.50
3,063
5,689
$1,000.00
$1,000.00
30,000
$739.89
$15,971,339.07 Redeemed, in full; warrants not outstanding
$500,199.14 Sold, in full; warrants not outstanding
$425,425.00
($16,575.00)
($2,835.00)
22
($25,000.00)
Preferred Stock w/ Exercised Warrants
$8,752,000.00
$0.00
$11,396,202.11 Redeemed, in full; warrants not outstanding
$3,063,000.00
$5,689,000.00
$30,000,000.00
$0.00
$12,000,000.00
$0.00
438
223,992
$37,387.14
$552,936.00
38,000
562,000
$40,000.00
4
$994,613.40
1,052
$465,000.00
465
$27,105,349.50 Sold, in full; warrants not outstanding
$22,196,700.00
Subordinated Debentures w/ Exercised Warrants
$438,000.00
$75,000.00
Preferred Stock w/ Warrants
($332,950.50)
($7,803,300.00)
$15,452,669.34 Sold, in full; warrants not outstanding
$96,290.00
100,000
$0.96
($3,710.00)
$11,458,510.00
11,900,000
$0.96
($441,490.00)
$700,000.00
700
$1,000.00
$650,000.00
3,035,000
$0.21
($2,385,000.00)
($2,167,326.00)
($115,548.00)
Preferred Stock w/ Exercised Warrants
$700,000.00
$0.00
$830,173.67 Redeemed, in full; warrants not outstanding
$3,035,000.00
$0.00
$804,592.16 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$21,042,000.00
$0.00
$19,836,630.66 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$9,294,000.00
$0.00
$11,156,234.25 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$18,874,674.00
21,042
$897.00
$9,294,000.00
9,294
$1,000.00
$879,424.60
$5,701,813.50
974
6,315
$902.90
$902.90
$3,942,000.00
3,942,000
$1.00
$7,000,000.00
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
$891.26
$891.26
$891.26
$891.26
$891.26
$891.26
$891.26
($188,746.74)
Preferred Stock w/ Exercised Warrants
$7,289,000.00
$0.00
$8,441,836.26 Sold, in full; warrants not outstanding
($94,575.40)
($613,186.50)
$358,558.20
364
$197,000.00
197,000
$2,246,531.00
101,321
$242,302.50
200
$170,227.93
$167,374.94
$1,210,615.36
$176,884.89
179
176
1,273
186
($65,812.38)
Subordinated Debentures w/ Exercised Warrants
$3,942,000.00
$0.00
Preferred Stock w/ Warrants
$7,000,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$6,657,000.00
$0.00
$5,404,924.35 Redeemed, in full; warrants not outstanding
$10,634,864.33 Redeemed, in full; warrants not 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)
($14,679.90)
($3,262.20)
($36,427.90)
($390,485.34)
($286,529.90)
($3,179,122.64)
($34,796.80)
Footnote
11
11
8,14,45
15,17,44
8,14
8,14
11,14,15
9,11,36
45
34,118,121
8,11,14
8,14,45
8,14,45
8
45
8,14,18
45
8,11,14,18,36
8,14,44
12
8,72
8
11,15,36
8,11,14
12,16
15,17,44
9,17
8,14
Institution Name
FIDELITY SOUTHERN CORPORATION
FIDELITY SOUTHERN CORPORATION
FIDELITY SOUTHERN CORPORATION
FIFTH THIRD BANCORP
FIFTH THIRD BANCORP
FIFTH THIRD BANCORP
FINANCIAL INSTITUTIONS, INC.
FINANCIAL INSTITUTIONS, INC.
FINANCIAL INSTITUTIONS, INC.
FINANCIAL INSTITUTIONS, INC.
FINANCIAL SECURITY CORPORATION
FINANCIAL SECURITY CORPORATION
FINANCIAL SERVICES OF WINGER, INC.
FINANCIAL SERVICES OF WINGER, INC.
FIRST ADVANTAGE BANCSHARES, INC.
FIRST ADVANTAGE BANCSHARES, INC.
FIRST ADVANTAGE BANCSHARES, INC.
FIRST ADVANTAGE BANCSHARES, INC.
FIRST ADVANTAGE BANCSHARES, INC.
FIRST ALLIANCE BANCSHARES, INC.
FIRST ALLIANCE BANCSHARES, INC.
FIRST ALLIANCE BANCSHARES, INC.
FIRST ALLIANCE BANCSHARES, INC.
FIRST AMERICAN BANK CORPORATION
FIRST AMERICAN BANK CORPORATION
FIRST AMERICAN BANK CORPORATION
FIRST AMERICAN INTERNATIONAL CORP.
FIRST AMERICAN INTERNATIONAL CORP.
FIRST BANCORP (NC)
FIRST BANCORP (NC)
FIRST BANCORP (NC)
FIRST BANCORP (PR)
FIRST BANCORP (PR)
FIRST BANCORP (PR)
FIRST BANCORP (PR)
FIRST BANCORP (PR)
FIRST BANCTRUST CORPORATION
FIRST BANCTRUST CORPORATION
FIRST BANCTRUST CORPORATION
FIRST BANK OF CHARLESTON, INC.
FIRST BANK OF CHARLESTON, INC.
FIRST BANKERS TRUSTSHARES, INC.
FIRST BANKERS TRUSTSHARES, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BUSEY CORPORATION
FIRST BUSEY CORPORATION
FIRST BUSEY CORPORATION
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A.
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A.
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A.
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A.
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A.
FIRST CALIFORNIA FINANCIAL GROUP, INC.
FIRST CALIFORNIA FINANCIAL GROUP, INC.
FIRST CALIFORNIA FINANCIAL GROUP, INC.
FIRST CAPITAL BANCORP, INC.
FIRST CAPITAL BANCORP, INC.
FIRST CAPITAL BANCORP, INC.
FIRST CHOICE BANK
FIRST CHOICE BANK
FIRST CHOICE BANK
FIRST CITIZENS BANC CORP
FIRST CITIZENS BANC CORP
FIRST CITIZENS BANC CORP
FIRST COLEBROOK BANCORP, INC.
FIRST COLEBROOK BANCORP, INC.
FIRST COMMUNITY BANCSHARES INC.
FIRST COMMUNITY BANCSHARES INC.
FIRST COMMUNITY BANCSHARES INC.
FIRST COMMUNITY BANCSHARES, INC. / EQUITY BANCSHARES, INC.
FIRST COMMUNITY BANCSHARES, INC. / EQUITY BANCSHARES, INC.
FIRST COMMUNITY BANK CORPORATION OF AMERICA
FIRST COMMUNITY BANK CORPORATION OF AMERICA
FIRST COMMUNITY CORPORATION
FIRST COMMUNITY CORPORATION
FIRST COMMUNITY CORPORATION
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST DEFIANCE FINANCIAL CORP.
FIRST DEFIANCE FINANCIAL CORP.
FIRST DEFIANCE FINANCIAL CORP.
FIRST EAGLE BANCSHARES, INC.
FIRST EAGLE BANCSHARES, INC.
FIRST EXPRESS OF NEBRASKA, INC.
FIRST EXPRESS OF NEBRASKA, INC.
FIRST FEDERAL BANCSHARES OF ARKANSAS, INC.
FIRST FEDERAL BANCSHARES OF ARKANSAS, INC.
FIRST FINANCIAL BANCORP
FIRST FINANCIAL BANCORP
FIRST FINANCIAL BANCORP
FIRST FINANCIAL BANCSHARES, INC.
FIRST FINANCIAL BANCSHARES, INC.
FIRST FINANCIAL HOLDINGS INC.
FIRST FINANCIAL HOLDINGS INC.
FIRST FINANCIAL HOLDINGS INC.
FIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC.
FIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC.
FIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC.
FIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC.
FIRST FREEDOM BANCSHARES, INC.
FIRST FREEDOM BANCSHARES, INC.
FIRST FREEDOM BANCSHARES, INC.
FIRST GOTHENBURG BANCSHARES, INC.
FIRST GOTHENBURG BANCSHARES, INC.
FIRST GOTHENBURG BANCSHARES, INC.
City
ATLANTA
ATLANTA
ATLANTA
CINCINNATI
CINCINNATI
CINCINNATI
WARSAW
WARSAW
WARSAW
WARSAW
BASIN
BASIN
WINGER
WINGER
COON RAPIDS
COON RAPIDS
COON RAPIDS
COON RAPIDS
COON RAPIDS
CORDOVA
CORDOVA
CORDOVA
CORDOVA
ELK GROVE VILLAGE
ELK GROVE VILLAGE
ELK GROVE VILLAGE
BROOKLYN
BROOKLYN
TROY
TROY
TROY
SAN JUAN
SAN JUAN
SAN JUAN
SAN JUAN
SAN JUAN
PARIS
PARIS
PARIS
CHARLESTON
CHARLESTON
QUINCY
QUINCY
CLAYTON
CLAYTON
CLAYTON
CLAYTON
CLAYTON
CLAYTON
CLAYTON
CLAYTON
URBANA
URBANA
URBANA
SAN DIEGO
SAN DIEGO
SAN DIEGO
SAN DIEGO
SAN DIEGO
WESTLAKE VILLAGE
WESTLAKE VILLAGE
WESTLAKE VILLAGE
GLEN ALLEN
GLEN ALLEN
GLEN ALLEN
CERRITOS
CERRITOS
CERRITOS
SANDUSKY
SANDUSKY
SANDUSKY
COLEBROOK
COLEBROOK
BLUEFIELD
BLUEFIELD
BLUEFIELD
WICHITA
WICHITA
PINELLAS PARK
PINELLAS PARK
LEXINGTON
LEXINGTON
LEXINGTON
JOLIET
JOLIET
JOLIET
JOLIET
JOLIET
JOLIET
JOLIET
JOLIET
DEFIANCE
DEFIANCE
DEFIANCE
HANOVER PARK
HANOVER PARK
GERING
GERING
HARRISON
HARRISON
CINCINNATI
CINCINNATI
CINCINNATI
LAWRENCE
LAWRENCE
CHARLESTON
CHARLESTON
CHARLESTON
ELIZABETHTOWN
ELIZABETHTOWN
ELIZABETHTOWN
ELIZABETHTOWN
LEBANON
LEBANON
LEBANON
GOTHENBURG
GOTHENBURG
GOTHENBURG
State
GA
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
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
VA
VA
VA
CA
CA
CA
OH
OH
OH
NH
NH
VA
VA
VA
KS
KS
FL
FL
SC
SC
SC
IL
IL
IL
IL
IL
IL
IL
IL
OH
OH
OH
IL
IL
NE
NE
AR
AR
OH
OH
OH
KS
KS
SC
SC
SC
KY
KY
KY
KY
TN
TN
TN
NE
NE
NE
Date
12/19/2008
7/3/2012
5/28/2015
12/31/2008
2/2/2011
3/16/2011
12/23/2008
2/23/2011
3/30/2011
5/11/2011
2/13/2009
7/21/2011
7/31/2009
9/1/2011
5/22/2009
12/10/2012
12/11/2012
1/11/2013
3/26/2013
6/26/2009
12/20/2012
1/11/2013
3/26/2013
7/24/2009
12/21/2011
12/11/2012
3/13/2009
8/13/2010
1/9/2009
9/1/2011
11/23/2011
1/16/2009
8/16/2013
9/13/2013
12/5/2014
3/6/2015
2/20/2009
1/18/2012
10/24/2012
2/6/2009
7/21/2011
1/16/2009
9/8/2011
12/31/2008
8/8/2013
8/9/2013
8/12/2013
9/12/2013
9/24/2013
9/25/2013
10/29/2013
3/6/2009
8/25/2011
11/23/2011
4/10/2009
12/11/2009
12/19/2012
12/20/2012
1/11/2013
12/19/2008
7/14/2011
8/24/2011
4/3/2009
6/19/2012
2/6/2013
2/13/2009
12/22/2009
9/24/2010
1/23/2009
7/3/2012
9/5/2012
3/20/2009
9/22/2011
11/21/2008
7/8/2009
11/22/2011
5/15/2009
7/16/2014
12/23/2008
5/31/2011
11/21/2008
8/29/2012
11/1/2012
12/11/2009
8/8/2012
8/9/2012
8/10/2012
9/19/2012
9/20/2012
9/21/2012
11/16/2012
12/5/2008
6/19/2012
3/11/2015
9/11/2009
9/17/2010
2/6/2009
2/15/2012
3/6/2009
5/3/2011
12/23/2008
2/24/2010
6/8/2010
6/12/2009
9/22/2011
12/5/2008
4/3/2012
5/22/2013
1/9/2009
4/29/2013
5/31/2013
7/1/2015
12/22/2009
11/9/2012
1/11/2013
2/27/2009
10/29/2012
10/31/2012
Original Investment Type
Preferred Stock w/ Warrants
1
Original Investment Amount
$48,200,000.00
Outstanding Investment
$0.00
2
Total Cash Back
Investment Status*
$82,715,982.47 Sold, in full; warrants not outstanding
Amount
$43,408,920.00
4
(Fee)
($651,133.80)
Shares
48,200
Avg. Price
$900.60
(Realized Loss) / (Write-off)
5
Gain
Wt Amount
Wt Shares
($4,791,080.00)
$31,429,313.38
$0.00
43,617,747
$2,079,962.50
$3,408,000,000.00
2,693,747
$280,025,936.00
Preferred Stock w/ Warrants
378,175
$4,043,972,602.67 Redeemed, in full; warrants not outstanding
$3,408,000,000.00
$5,000.00
$5,000.00
5,000
$1,000.00
$250,000.00
250
$3,742,000.00
3,742,000
$1.00
$112,000.00
112,000
769
408
$898.21
$898.21
($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
$15,000,000.00
$35,000,000.00
15,000,000
35,000,000
$1.00
$1.00
$2,500,000.00
2,500,000
$17,000,000.00
17,000
$1,000.00
$65,000,000.00
65,000
$1,000.00
$924,462.00
616,308
$81,000,000.00
$8,514,153.00
$22,063,492.11
$29,708,351.90
$0.00
2,501
5,002
$5,000,000.00
$37,515,000.00
$25,000.00
$12,505,000.00
$25,010,000.00
Preferred Stock w/ Warrants
136,320
12,000,000
1,261,356
4,388,888
5,000,000
$6.75
$6.75
$5.03
$5.94
$43,787,611.61 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,000,000.00
$0.00
$5,914,597.33 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$3,742,000.00
$0.00
$4,487,322.46 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,177,000.00
$0.00
$1,289,436.37 Sold, in full; warrants not outstanding
$690,723.49
$366,469.68
($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
Subordinated Debentures w/ Exercised Warrants
$50,000,000.00
$0.00
$65,558,530.56 Redeemed, in full; warrants not outstanding
Preferred Stock
$17,000,000.00
$0.00
$18,204,166.78 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$65,000,000.00
$0.00
$74,518,906.44 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$400,000,000.00
$124,966,503.71
$2,395,742.20
($23,957.42)
($1,042.58)
Preferred Stock w/ Exercised Warrants
$7,350,000.00
$0.00
$174,125,772.24 Sold, in part; warrants outstanding
($74,611.09)
($85,000.00)
($64,711,540.92)
($6,802,024.20)
($31,229,144.01)
($31,004,790.15)
$9,050,516.50 Redeemed, in full; warrants not outstanding
$3,675,000.00
$3,675,000.00
Preferred Stock w/ Exercised Warrants
$295,400,000.00
$0.00
368
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
$551.59
$551.59
($2,609,297.79)
($2,623,198.50)
100,000
$1,000.00
$63,677.00
$0.00
$368,000.00
573,833
$1,373,084.00
$2,510,399.84
$10,000,000.00
$167,000.00
$100,000,000.00
Preferred Stock w/ Exercised Warrants
$1,000.00
$1,000.00
$1,000.00
$105,000.00
$12,171,950.00
$87,028,900.00
$0.00
3,345
$10,000,000.00
$3,345,000.00
3,675
3,675
$3,345,000.00
Preferred Stock w/ Exercised Warrants
1,500
2,743
$915.39
$915.20
$90,461.65
111
25,000
$1,000.00
10,958
$920.11
$3,960,105.00 Redeemed, in full; warrants not outstanding
$11,941,222.22 Redeemed, in full; warrants not outstanding
$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
Preferred Stock w/ Warrants
$100,000,000.00
$2,211,000.00
$2,032,000.00
$0.00
$0.00
$112,410,898.89 Redeemed, in full; warrants not outstanding
$4,693,275.61 Sold, in full; warrants not outstanding
($126,916.00)
($232,600.16)
($33,333.33)
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$28,810,847.55 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$10,958,000.00
$0.00
$11,956,712.44 Sold, in full; warrants not outstanding
$25,000,000.00
$599,042.00
Preferred Stock w/ Exercised Warrants
$2,200,000.00
$2,836,000.00
$0.00
$23,184,000.00
$0.00
($151,238.48)
599,042
$266,041.78
$10,082,565.38
417,648
($875,434.62)
$5,446,642.94 Redeemed, in full; warrants not outstanding
$5,036,000.00
$1,000.00
$906.00
110
469,312
$25,245,684.71 Sold, in full; warrants not outstanding
$21,004,704.00
Preferred Stock w/ Exercised Warrants
5,036
23,184
$110,000.00
$563,174.00
Preferred Stock w/ Warrants
$4,500,000.00
$0.00
$0.00
($2,179,296.00)
$5,339,487.75 Redeemed, in full; warrants not outstanding
$41,500,000.00
($315,070.56)
$42,839,002.78 Redeemed, in full; warrants not outstanding
$4,500,000.00
$0.00
$11,350,000.00
$0.00
$22,000,000.00
$0.00
740
195,915
108
672
320
$13,425,979.36 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,000.00
$8,499,249.92 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$740,000.00
$70,727.58
$440,082.72
$209,563.20
$0.00
$10,685,000.00
225
88,273
$297,500.00
$14,800,000.00
Preferred Stock w/ Warrants
$1,000.00
41,500
$225,000.00
$30,600.00
Preferred Stock w/ Exercised Warrants
4,500
$41,500,000.00
Preferred Stock w/ Warrants
$19,957,763.30 Redeemed, in full; warrants not outstanding
$18,252,479.06 Sold, in full; warrants not outstanding
$14,800,000.00
14,800
$1,000.00
$7,754,267.48
10,685
$725.72
($2,930,732.52)
11,350
$982.83
($194,879.50)
$11,155,120.50
($167,326.81)
$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)
($1,381,580.00)
($143,550.00)
Preferred Stock w/ Warrants
$37,000,000.00
$0.00
$7,500,000.00
$0.00
$53,610,300.92 Sold, in full; warrants not outstanding
$35,618,420.00
($534,276.30)
37,000
$962.66
7,500,000
$1.00
$5,000,000.00
5,000
$1,000.00
$6,000,000.00
16,500
$363.64
$80,000,000.00
80,000
$1,000.00
$3,756,000.00
3,756,000
$1.00
$11,979,295.00
Subordinated Debentures w/ Exercised Warrants
$7,500,000.00
Preferred Stock w/ Exercised Warrants
550,595
$375,000.00
375,000
$250,000.00
250
$8,514,738.21 Redeemed, in full; warrants not outstanding
$5,000,000.00
$0.00
$6,074,313.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$16,500,000.00
$0.00
Preferred Stock w/ Warrants
$80,000,000.00
$0.00
$87,644,066.10 Redeemed, in full; warrants not outstanding
$3,756,000.00
$0.00
$4,563,280.34 Redeemed, in full; warrants not outstanding
$6,570,625.00 Sold, in full; warrants not outstanding
($10,500,000.00)
$2,966,288.32
Preferred Stock w/ Warrants
$65,000,000.00
$0.00
$20,000,000.00
$0.00
113,000
241,696
$68,141,972.19 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
465,117
$113,000.00
$1,400,000.00
Subordinated Debentures w/ Exercised Warrants
$12,336,278.00 Sold, in full; warrants not outstanding
$56,778,150.00
($851,672.25)
65,000
$873.51
($8,221,850.00)
20,000
$542.11
($9,157,800.00)
$2,500.00
215,983
8,700
$10,842,200.00
$922.50
($674,250.00)
$256,118.75
261
29
7,541
$910.31
$910.31
($2,601.01)
($676,352.29)
$362,118.92
379
($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
Footnote
8,14,44
11
8,9
8
11
11,36
8,11,14
11,25
8,14,44
33,44,45
11
8,14
8,14,44
12,16
44
11
73,97
8,14,18
8,14
8,14,18,44,45
87
79
11,14,15
8,11,14
8,14
8,14,44
14,15
8,11,14
8,11,14,36
8,14,18
11
8,84
8,14,44
12,16
8,14,45
8,11,14
8,66,97
8,14,45
Institution Name
FIRST GOTHENBURG BANCSHARES, INC.
FIRST GUARANTY BANCSHARES, INC.
FIRST GUARANTY BANCSHARES, INC.
FIRST HORIZON NATIONAL CORPORATION
FIRST HORIZON NATIONAL CORPORATION
FIRST HORIZON NATIONAL CORPORATION
FIRST INDEPENDENCE CORPORATION
FIRST INDEPENDENCE CORPORATION
FIRST INDEPENDENCE CORPORATION
FIRST INDEPENDENCE CORPORATION
FIRST INTERCONTINENTAL BANK
FIRST INTERCONTINENTAL BANK
FIRST INTERCONTINENTAL BANK
FIRST LITCHFIELD FINANCIAL CORPORATION
FIRST LITCHFIELD FINANCIAL CORPORATION
FIRST M&F CORPORATION
FIRST M&F CORPORATION
FIRST M&F CORPORATION
FIRST MANITOWOC BANCORP, INC.
FIRST MANITOWOC BANCORP, INC.
FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATION
FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATION
FIRST MENASHA BANCSHARES, INC.
FIRST MENASHA BANCSHARES, INC.
FIRST MERCHANTS CORPORATION
FIRST MERCHANTS CORPORATION
FIRST MERCHANTS CORPORATION
FIRST MIDWEST BANCORP, INC.
FIRST MIDWEST BANCORP, INC.
FIRST MIDWEST BANCORP, INC.
FIRST NATIONAL CORPORATION
FIRST NATIONAL CORPORATION
FIRST NBC BANK HOLDING COMPANY
FIRST NBC BANK HOLDING COMPANY
FIRST NIAGARA FINANCIAL GROUP
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 UNITED CORPORATION
FIRST UNITED CORPORATION
FIRST UNITED CORPORATION
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
City
GOTHENBURG
HAMMOND
HAMMOND
MEMPHIS
MEMPHIS
MEMPHIS
DETROIT
DETROIT
DETROIT
DETROIT
DORAVILLE
DORAVILLE
DORAVILLE
LITCHFIELD
LITCHFIELD
KOSCIUSKO
KOSCIUSKO
KOSCIUSKO
MANITOWOC
MANITOWOC
RICHMOND
RICHMOND
NEENAH
NEENAH
MUNCIE
MUNCIE
MUNCIE
ITASCA
ITASCA
ITASCA
STRASBURG
STRASBURG
NEW ORLEANS
NEW ORLEANS
LOCKPORT
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
OAKLAND
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
State
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
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
MD
MD
MD
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
Date
1/11/2013
8/28/2009
9/22/2011
11/14/2008
12/22/2010
3/9/2011
8/28/2009
12/20/2012
1/11/2013
3/26/2013
3/13/2009
8/12/2013
9/12/2013
12/12/2008
4/7/2010
2/27/2009
9/29/2010
8/30/2013
1/16/2009
5/27/2009
2/6/2009
12/7/2011
2/13/2009
9/15/2011
2/20/2009
9/22/2011
11/23/2011
12/5/2008
11/23/2011
12/21/2011
3/13/2009
8/29/2012
3/20/2009
8/4/2011
11/21/2008
5/27/2009
6/24/2009
3/13/2009
9/15/2011
11/16/2011
11/21/2008
12/15/2010
1/5/2011
3/13/2009
10/29/2012
2/20/2009
12/18/2009
2/7/2013
2/8/2013
3/26/2013
3/6/2009
3/11/2013
4/9/2013
1/30/2009
12/11/2009
9/15/2011
1/9/2009
4/11/2013
12/23/2008
2/20/2013
7/17/2009
9/28/2011
11/28/2012
1/30/2009
6/16/2010
3/6/2009
3/26/2013
3/27/2013
3/28/2013
4/9/2013
3/6/2009
9/15/2011
6/5/2009
2/20/2013
3/26/2013
1/23/2009
4/22/2009
1/30/2009
12/3/2014
12/4/2014
1/9/2015
5/27/2015
6/12/2009
9/29/2010
2/6/2009
12/11/2009
8/9/2012
8/10/2012
9/11/2012
6/24/2013
7/26/2013
1/30/2009
7/3/2012
7/18/2012
1/9/2009
4/22/2009
5/27/2009
1/30/2009
3/26/2013
3/27/2013
3/28/2013
4/9/2013
6/12/2013
7/24/2009
8/14/2013
2/20/2009
9/22/2011
12/19/2008
10/28/2009
12/30/2009
2/27/2009
9/15/2011
5/15/2009
12/11/2012
5/22/2009
4/20/2012
4/3/2009
9/15/2011
Original Investment Type
1
Preferred Stock w/ Exercised Warrants
Original Investment Amount
$20,699,000.00
Outstanding Investment
$0.00
Total Cash Back
2
Investment Status*
Amount
4
(Fee)
($68,910.46)
Shares
Avg. Price
(Realized Loss) / (Write-off)
5
Gain
Wt Amount
Wt Shares
$24,059,476.66 Redeemed, in full; warrants not outstanding
$20,699,000.00
$3,223,000.00
$0.00
$0.00
$1,030,000.00
866,540
$1,000.00
3,223
$725.00
($886,325.00)
($3,150,887.04)
103
$79,700,000.00
Preferred Stock
$866,540,000.00
$10,000.00
$866,540,000.00
Preferred Stock w/ Warrants
2,070
14,842,321
$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
($23,366.75)
($26,633.25)
Preferred Stock w/ Exercised Warrants
$6,398,000.00
$0.00
$10,000,000.00
$0.00
$4,118,886.85 Sold, in full; warrants not outstanding
6,398
$507.52
$10,000,000.00
$3,247,112.96
10,000
$1,000.00
$30,000,000.00
30,000
$1,000.00
$12,000,000.00
12,000
$1,000.00
$33,900,000.00
35,595
$1,000.00
$139,320.00
320
$1,488,046.41
199,203
$4,089,510.61
513,113
$600,000.00
600
$240,000.00
240
($25,000.00)
Preferred Stock w/ Warrants
$12,147,768.63 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$30,000,000.00
$0.00
$36,472,843.94 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,000,000.00
$0.00
$12,837,983.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$33,900,000.00
$0.00
$40,834,859.35 Redeemed, in full; warrants not outstanding
$4,797,000.00
$0.00
$5,713,865.00 Redeemed, in full; warrants not outstanding
$116,000,000.00
$0.00
$131,383,055.11 Redeemed, in full; warrants not outstanding
$4,797,000.00
4,797
$1,000.00
$116,000,000.00
116,000
$1,000.00
$193,000,000.00
Preferred Stock w/ Warrants
193,000
$1,695,000.00
$1,000.00
$367,500.00
$193,000,000.00
$0.00
991,453
$900,000.00
Preferred Stock w/ Warrants
1,305,230
$624,674.69
695
$222,528,333.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$13,900,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$17,836,000.00
$0.00
$15,329,326.44 Sold, in full; warrants not outstanding
$21,033,989.56 Redeemed, in full; warrants not outstanding
$184,011,000.00
$0.00
$191,464,618.00 Redeemed, in full; warrants not outstanding
$12,266,750.00
13,900
$882.50
$17,836,000.00
17,836
$1,000.00
$184,011,000.00
($184,001.25)
184,011
($1,633,250.00)
$1,000.00
Preferred Stock w/ Warrants
$17,390,000.00
$0.00
$19,300,000.00
$0.00
892
953,096
$19,943,580.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$892,000.00
$2,700,000.00
Preferred Stock w/ Warrants
$22,297,560.34 Redeemed, in full; warrants not outstanding
$17,390,000.00
17,390
$1,000.00
$19,300,000.00
19,300
$1,000.00
$375,000.00
Preferred Stock w/ Warrants
$72,927,000.00
$0.00
352,977
$1,003,227.00
280,795
$7,009,094.50 Exited bankruptcy/Receivership
($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
Preferred Stock w/ Exercised Warrants
$15,349,000.00
$0.00
$12,994,059.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,600,000.00
$2,417,000.00
$0.00
Preferred Stock w/ Warrants
$33,000,000.00
$0.00
$16,315,362.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$7,400,000.00
$0.00
$4,030,944.44 Sold, in full; warrants not outstanding
$50,000,000.00
$0.00
$6,682,192.50
$1,410,831.60
7,575
1,600
$882.14
$881.77
($892,807.50)
($189,168.40)
$48,083.60
$176,633.62
49
180
15,349
$679.61
($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)
($80,930.24)
$10,431,333.89
($104,313.34)
$5,731,793.60 Redeemed, in full; warrants not outstanding
$3,700,000.00
$5,500,000.00
$0.00
$0.00
$1.00
$1.00
$2,500,000.00
2,500,000
10,900
$1,000.00
$545,000.00
545
$315,007.00
$2,835,063.00
$1,800,040.00
Preferred Stock w/ Exercised Warrants
$10,900,000.00
$500.00
13,125,000
36,875,000
$10,900,000.00
Preferred Stock w/ Exercised Warrants
7,400
$13,125,000.00
$36,875,000.00
Subordinated Debentures w/ Exercised Warrants
350
3,150
2,000
$900.02
$900.02
$900.02
($34,993.00)
($314,937.00)
($199,960.00)
$206,048.21
$45,788.48
225
50
13,533
$1,000.00
$677,000.00
677
17,969,000
$0.77
($4,218,941.51)
$644,726.19
898,000
$245,000.00
245
$65,432,450.94 Redeemed, in full; warrants not outstanding
$12,263,468.31 Redeemed, in full; warrants not outstanding
$5,359,772.59 Sold, in full; warrants not outstanding
($49,501.10)
Preferred Stock w/ Exercised Warrants
$13,533,000.00
$0.00
$16,072,389.00 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$17,969,000.00
$0.00
$15,304,180.50 Sold, in full; warrants not outstanding
$13,533,000.00
$13,750,058.49
($137,500.58)
Preferred Stock w/ Exercised Warrants
$4,900,000.00
$0.00
$30,000,000.00
$0.00
$5,211,020.69 Redeemed, in full; warrants not outstanding
$4,900,000.00
4,900
$1,000.00
$7,800,000.00
$22,200,000.00
Preferred Stock w/ Warrants
7,800
22,200
$1,002.01
$1,002.01
6,000
$1,000.00
$40,183,721.33 Sold, in full; warrants not outstanding
$15,678.00
$44,622.00
($300,603.00)
$117,162.42
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$0.00
$6,000,000.00
Preferred Stock w/ Warrants
$8,559,000.00
$11,881,000.00
$0.00
326,323
$245,000.00
245
$311,681.70
$39,370.32
380
48
$6,662,770.42 Redeemed, in full; warrants not outstanding
$21,142,314.80 Sold, in full; warrants not outstanding
$6,138,000.00
$62,000.00
7,920
80
$775.00
$775.00
($1,782,000.00)
($18,000.00)
12,440
$883.78
($1,445,760.00)
33,000
$941.01
($1,946,670.00)
125,000
$1,000.00
($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
($465,799.95)
$1,946,670.00
$0.00
$266,657,000.00
$0.00
645,138
$131,813,194.44 Redeemed, in full; warrants not outstanding
$125,000,000.00
Preferred Stock w/ Warrants
952,260
$12,905.00
$125,000,000.00
578,947
$5,025,000.00
Preferred Stock w/ Warrants
$277,861,053.94 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)
20,471
$390.80
($12,471,000.00)
$9,495,000.00
9,495
$1,000.00
$70,000,000.00
70,000
$1,000.00
($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
$9,495,000.00
$0.00
$11,309,750.50 Redeemed, in full; warrants not outstanding
$70,000,000.00
$0.00
$73,904,166.66 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,000,000.00
$0.00
$15,000,000.00
$0.00
$18,670,291.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,300,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$3,100,000.00
$0.00
475
375,806
$14,267,700.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$475,000.00
$900,000.00
Preferred Stock w/ Warrants
$12,000,000.00
12,000
$1,000.00
$600,000.00
600
$15,000,000.00
15,000
$1,000.00
$750,000.00
750
$155,000.00
155
$87,184.85 Exited bankruptcy/Receivership
($1,300,000.00)
$3,668,927.67 Redeemed, in full; warrants not outstanding
$3,100,000.00
3,100
$1,000.00
Footnote
50,97
8,11,14
8,14
15
11,14,15
8,14,44
11,14,15
11
8,14
8,11,14
8
8,14
8,17,91,97
11
8,127
8,14,44
15
8
8,14,18,44
15
45
8,11,14
8,11,14
8
8,68,97
8,14,45
9,15,36
11
17,28,70,97
8,14,45
8,11,14
38
8,9
8,11,14
11
131
8,17
45
8,17,45
11
11,16
11
11
8,18,21,44
Institution Name
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.
FREEPORT BANCSHARES, INC.
FREEPORT BANCSHARES, INC.
FREEPORT BANCSHARES, INC.
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
GEORGIA PRIMARY BANK
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.
GOLDWATER BANK, N.A.
GRAND CAPITAL CORPORATION
GRAND CAPITAL CORPORATION
GRAND FINANCIAL CORPORATION
GRAND FINANCIAL CORPORATION
GRAND MOUNTAIN BANCSHARES, INC.
GRANDSOUTH BANCORPORATION
GRANDSOUTH BANCORPORATION
GRANDSOUTH BANCORPORATION
GREAT RIVER HOLDING COMPANY
GREAT RIVER HOLDING COMPANY
GREAT RIVER HOLDING COMPANY
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
GREER BANCSHARES INCORPORATED
GREER BANCSHARES INCORPORATED
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.
HAMPTON ROADS BANKSHARES, INC.
HARBOR BANKSHARES CORPORATION
HAVILAND BANCSHARES, INC.
HAVILAND BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HCSB FINANCIAL CORPORATION
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
HERITAGE OAKS BANCORP
HERITAGE OAKS BANCORP
HERITAGE OAKS BANCORP
HF FINANCIAL CORP.
HF FINANCIAL CORP.
HF FINANCIAL CORP.
HIGHLANDS BANCORP, INC.
City
PORT ST. LUCIE
PORT ST. LUCIE
HAMMOND
HAMMOND
HAMMOND
WASHINGTON
WASHINGTON
WASHINGTON
WASHINGTON
FREEPORT
FREEPORT
FREEPORT
FREEPORT
FREMONT
FREMONT
FRESNO
FRESNO
AUSTIN
AUSTIN
AUSTIN
LANCASTER
LANCASTER
LANCASTER
RINGGOLD
RINGGOLD
ATLANTA
ATLANTA
ATLANTA
ATLANTA
ATLANTA
GERMANTOWN
GERMANTOWN
GERMANTOWN
GERMANTOWN
GOLD CANYON
GOLD CANYON
NEW YORK
NEW YORK
NEW YORK
SCOTTSDALE
SCOTTSDALE
TULSA
TULSA
HATTIESBURG
HATTIESBURG
GRANBY
GREENVILLE
GREENVILLE
GREENVILLE
BAXTER
BAXTER
BAXTER
BAXTER
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
GREENEVILLE
GREENEVILLE
CLIVE
CLIVE
CLIVE
CLIVE
GREEN CITY
GREEN CITY
GREER
GREER
GREER
GREER
OZARK
OZARK
WOODSVILLE
WOODSVILLE
BELZONI
BELZONI
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
DESTIN
DESTIN
STUART
STUART
HOSCHTON
HOSCHTON
NORFOLK
NORFOLK
BALTIMORE
HAVILAND
HAVILAND
LEE'S SUMMIT
LEE'S SUMMIT
LEE'S SUMMIT
LEE'S SUMMIT
LORIS
LORIS
FRANKLIN
FRANKLIN
DUBUQUE
DUBUQUE
DUBUQUE
NORFOLK
NORFOLK
NORFOLK
SAN JOSE
SAN JOSE
SAN JOSE
OLYMPIA
OLYMPIA
OLYMPIA
PASO ROBLES
PASO ROBLES
PASO ROBLES
SIOUX FALLS
SIOUX FALLS
SIOUX FALLS
VERNON
State
FL
FL
LA
LA
LA
MO
MO
MO
MO
IL
IL
IL
IL
CA
CA
CA
CA
TX
TX
TX
PA
PA
PA
GA
GA
GA
GA
GA
GA
GA
TN
TN
TN
TN
AZ
AZ
NY
NY
NY
AZ
AZ
OK
OK
MS
MS
CO
SC
SC
SC
MN
MN
MN
MN
MO
MO
MO
TN
TN
IA
IA
IA
IA
MO
MO
SC
SC
SC
SC
MO
MO
NH
NH
MS
MS
MO
MO
MO
MO
MO
MO
FL
FL
FL
FL
GA
GA
VA
VA
MD
KS
KS
MO
MO
MO
MO
SC
SC
IN
IN
IA
IA
IA
VA
VA
VA
CA
CA
CA
WA
WA
WA
CA
CA
CA
SD
SD
SD
NJ
Date
12/5/2008
7/15/2011
1/23/2009
12/16/2009
6/16/2010
5/22/2009
11/9/2012
11/13/2012
1/11/2013
5/8/2009
4/11/2014
4/14/2014
7/18/2014
6/26/2009
7/25/2012
1/23/2009
11/1/2012
4/24/2009
11/24/2009
10/6/2010
12/23/2008
7/14/2010
9/8/2010
5/8/2009
4/13/2012
2/6/2009
2/16/2011
5/1/2009
2/10/2014
3/19/2014
3/6/2009
10/29/2012
10/31/2012
1/11/2013
6/26/2009
4/5/2013
10/28/2008
6/17/2009
7/22/2009
1/30/2009
9/21/2015
4/24/2009
9/8/2011
9/25/2009
7/8/2015
5/29/2009
1/9/2009
12/11/2009
9/8/2011
7/17/2009
4/11/2014
4/14/2014
7/18/2014
12/5/2008
8/18/2011
9/21/2011
12/23/2008
9/7/2011
2/27/2009
11/14/2012
1/23/2013
4/24/2013
2/27/2009
7/14/2010
1/30/2009
3/19/2014
6/11/2014
7/23/2014
2/13/2009
7/13/2012
2/20/2009
9/15/2011
9/25/2009
7/30/2010
1/30/2009
6/13/2012
4/26/2013
4/29/2013
5/15/2013
5/31/2013
9/25/2009
10/19/2012
6/26/2009
8/18/2011
2/20/2009
4/13/2011
12/31/2008
4/14/2014
7/17/2009
3/13/2009
12/29/2010
12/19/2008
5/9/2012
5/15/2013
6/12/2013
3/6/2009
4/11/2016
9/11/2009
7/17/2012
12/19/2008
9/15/2011
9/28/2011
9/25/2009
3/16/2011
8/11/2011
11/21/2008
3/7/2012
6/10/2013
11/21/2008
12/22/2010
8/17/2011
3/20/2009
7/17/2013
8/7/2013
11/21/2008
6/3/2009
6/30/2009
5/8/2009
Original Investment Type
Preferred Stock w/ Warrants
1
2
Original Investment Amount
$5,800,000.00
Outstanding Investment
$0.00
Preferred Stock w/ Exercised Warrants
$3,240,000.00
$0.00
Total Cash Back
Investment Status*
$273,888.89 Currently Not Collectible
Preferred Stock w/ Exercised Warrants
$5,097,000.00
$0.00
Amount
4
(Fee)
Shares
Avg. Price
(Realized Loss) / (Write-off)
5
$3,623,721.50 Redeemed, in full; warrants not outstanding
Gain
Wt Amount
Wt Shares
$4,336,183.67 Sold, in full; warrants not outstanding
($5,800,000.00)
$1,000,000.00
$2,240,000.00
1,000
2,240
$1,000.00
$1,000.00
$594,550.00
$2,629,302.50
940
4,157
$632.50
$632.50
2,800,000
200,000
$1.01
$1.01
$162,000.00
162
$126,798.62
$45,188.88
($345,450.00)
($1,527,697.50)
188
67
$84,514.33
$42,257.17
100,000
50,000
1,750,000
($25,000.00)
Subordinated Debentures w/ Exercised Warrants
$3,000,000.00
$0.00
$4,363,022.95 Sold, in full; warrants not outstanding
$2,800,000.00
$200,000.00
$18,228.00
$1,302.00
($25,000.00)
Subordinated Debentures w/ Exercised Warrants
$35,000,000.00
$0.00
$45,796,066.36 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,968,000.00
$0.00
$2,437,100.33 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$3,000,000.00
$0.00
$3,408,191.65 Redeemed, in full; warrants not outstanding
$35,000,000.00
$150,000.00
150,000
376,500
$1,000.00
5,509,756
6,000
$1,000.00
$300,000.00
300
$8,700,000.00
Preferred Stock w/ Exercised Warrants
$1.00
$1.00
8,700
$1,000.00
$435,000.00
435
$416,635,625.00 Redeemed, in full; warrants not outstanding
$0.00
98
1,600,000
1,400,000
$10,800,000.00
$0.00
$6,000,000.00
$98,000.00
$6,000,000.00
$376,500,000.00
$1,750,000.00
$1,000.00
$376,500,000.00
Preferred Stock w/ Warrants
$1.00
1,968
$1,600,000.00
$1,400,000.00
Preferred Stock w/ Exercised Warrants
35,000,000
$1,968,000.00
$7,260,794.87 Redeemed, in full; warrants not outstanding
$8,700,000.00
$0.00
$10,096,470.83 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,500,000.00
$0.00
$1,576,457.50 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,967,000.00
$0.00
$5,699,100.75 Sold, in full; warrants not outstanding
$1,556,145.00
4,500
$345.81
($2,943,855.00)
$45,312.50
225
29
4,938
$910.13
$910.13
($2,606.23)
($443,778.06)
$214,595.28
248
$1,100,000,000.00
12,205,045
($25,000.00)
$26,393.77
$4,494,221.94
($25,000.00)
Preferred Stock w/ Exercised Warrants
$1,607,000.00
$0.00
$53,859.52 Exited bankruptcy/Receivership
($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
$2,568,000.00
$0.00
$1,493,750.00 Sold, in full; warrants not outstanding
$10,000,000,000.00
$1,000.00
$200,000.00
200
$1.00
$122,000.00
122,000
15,319
$1,000.00
4,800,000
3,600,000
$1.19
$1.19
$58,000,000.00
58,000
$1,000.00
$68,700,000.00
72,278
$950.50
$800,000.00
$800,000.00
$800,000.00
800
800
800
$651,000.00
$3,150,000.00
$1,980,000.00
$4,863,000.00
$0.00
4,000
$4,800,000.00
$3,600,000.00
$2,443,320.00
($1,220,000.00)
$4,717,144.78 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
2,443,320
$15,319,000.00
$0.00
$524.92
$4,000,000.00
$4,000,000.00
$1,000.00
2,568
$2,443,320.00
Preferred Stock w/ Exercised Warrants
10,000,000
$1,348,000.00
Preferred Stock w/ Exercised Warrants
$3,868,471.61 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$3,076,000.00
$9,000,000.00
$6,319,000.00
$3,076,000.00
$0.00
Subordinated Debentures w/ Exercised Warrants
$8,400,000.00
$0.00
$0.00 Full investment outstanding; warrants outstanding
$17,625,917.08 Redeemed, in full; warrants not outstanding
$450,000.00
450
$626,007.69
420,000
$6,436,364.00
909,091
$1,000.00
$1,000.00
$1,000.00
$120,000.00
120
651
$1,000.00
$33,000.00
33
3,150
1,980
4,863
$1,000.00
$1,000.00
$1,000.00
$500,000.00
500
$346,000.00
346
$2,003,250.00
459,459
$11,306,571.15 Sold, in full; warrants not outstanding
$926,400.00
$694,800.00
($100,212.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$58,000,000.00
$72,278,000.00
$0.00
$0.00
$72,274,419.56 Redeemed, in full; warrants not outstanding
$74,642,857.78 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,400,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$651,000.00
$0.00
$733,037.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$9,993,000.00
$0.00
($3,578,000.00)
$3,036,021.12 Redeemed, in full; warrants not outstanding
$13,693,111.07 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$825,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$6,920,000.00
$0.00
$8,235,040.33 Redeemed, in full; warrants not outstanding
$45,190.00 Currently Not Collectible
Subordinated Debentures
$14,000,000.00
$0.00
$14,913,299.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$17,000,000.00
$0.00
$21,887,871.44 Sold, in full; warrants not outstanding
($825,000.00)
$6,920,000.00
6,920
$1,000.00
$14,000,000.00
14,000,000
$1.00
$5,000,000.00
$96,750.00
$11,513,250.00
5,000
100
11,900
$1,000.00
$967.50
$967.50
($3,250.00)
($386,750.00)
($116,100.00)
Preferred Stock w/ Exercised Warrants
$7,500,000.00
$0.00
$757,380.08 Exited bankruptcy/Receivership
($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
Preferred Stock w/ Exercised Warrants
$7,000,000.00
$0.00
$8,169,165.89 Redeemed, in full; warrants not outstanding
$7,500,000.00
$0.00
$6,800,000.00
$425,000.00
$6,800,000.00
$0.00
$30,255,000.00
$0.00
$375,000.00
375
$25,000.00
$350,000.00
35
2,089,022
$1.57
$21,000.00
21
$540,000.00
$80,347,000.00
$1,000.00
280
$3,279,764.54
Preferred Stock w/ Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
7,500
$7,000,000.00
287,134
$5,790,608.79 Sold, in full; warrants outstanding
$425,000.00
$1,000.00
$1,000.00
12,895
$10.00
$7,000,000.00
7,000
$1,000.00
$81,698,000.00
Preferred Stock w/ Exercised Warrants
$1,000.00
12,000
18,255
$128,950.00
Preferred Stock w/ Warrants
425
$12,000,000.00
$18,255,000.00
Preferred Stock w/ Warrants
($77,067,235.46)
$282,744.47 Full investment outstanding; warrants not outstanding
$487,524.22 Redeemed, in full; warrants not outstanding
81,698
$1,000.00
$36,849,504.67 Redeemed, in full; warrants not outstanding
$12,895,000.00
$0.00
$1,219,652.00 Sold, in full; warrants not outstanding
$7,000,000.00
$0.00
$8,321,471.08 Redeemed, in full; warrants not outstanding
$81,698,000.00
$0.00
$94,686,087.22 Redeemed, in full; warrants not outstanding
($12,766,050.00)
$0.00
$40,000,000.00
$0.00
303
462,963
138,037
$11,353,284.46 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$303,000.00
$450,000.00
$10,103,000.00
248
609,687
$140,000.00
Preferred Stock w/ Exercised Warrants
$248,000.00
$1,800,000.00
Preferred Stock w/ Warrants
$46,901,266.80 Redeemed, in full; warrants not outstanding
$2,606,000.00
$7,497,000.00
Preferred Stock w/ Warrants
$21,000,000.00
$0.00
$0.00
40,000
$1,000.00
$24,000,000.00
$24,000,000.00
$1,000.00
$1,000.00
$40,000,000.00
Preferred Stock w/ Warrants
2,606
7,497
24,000
$1,000.00
$26,953,333.33 Redeemed, in full; warrants not outstanding
$27,241,335.26 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
$3,091,000.00
$0.00
302,419
$26,316,666.67 Redeemed, in full; warrants not outstanding
$25,000,000.00
Preferred Stock w/ Exercised Warrants
611,650
$650,000.00
Preferred Stock w/ Warrants
$6,211,926.79 Redeemed, in full; warrants not outstanding
25,000
$1,000.00
Footnote
8,111
8,11,14
11
8
8,14
8,17
11
11,45
8,14,44
8,11,14,18
11
8,14
8,17
9,15,36
12,16
8,14
8,10,11
8,14,44
8,108
8,14,18,44
8
11
29
8,22,92,97
11
22,52,97
115
11
15,71,97
11
8,14,44
11
8
8,14
8,11,14,18,36
11
12
8,14
Institution Name
HIGHLANDS BANCORP, INC.
HIGHLANDS BANCORP, INC.
HIGHLANDS INDEPENDENT BANCSHARES, 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.
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
IA BANCORP, INC / INDUS AMERICAN BANK
IA BANCORP, INC / INDUS AMERICAN 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
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
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
INTERVEST BANCSHARES CORPORATION
INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY, INC.
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.
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.
City
VERNON
VERNON
SEBRING
SEBRING
SUMMIT
SUMMIT
ROCHESTER
ROCHESTER
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
ISELIN
ISELIN
ISELIN
CHICAGO
CHICAGO
LAFAYETTE
LAFAYETTE
LAFAYETTE
IRVING
IRVING
WASHINGTON
WASHINGTON
ONTARIO
ONTARIO
BOISE
BOISE
CHICAGO
CHICAGO
CHICAGO
EAST GREENWICH
EAST GREENWICH
ROCKLAND
ROCKLAND
ROCKLAND
IONIA
IONIA
DANA
DANA
COLUMBUS
COLUMBUS
EVANSVILLE
EVANSVILLE
SANDPOINT
SANDPOINT
SANDPOINT
LAREDO
LAREDO
LAREDO
LAREDO
LAREDO
NEW YORK
NEW YORK
NEW YORK
NEW YORK
SEDALIA
SEDALIA
NEW YORK
NEW YORK
NEW YORK
HOULTON
HOULTON
CLEVELAND
CLEVELAND
CLEVELAND
KIRKSVILLE
KIRKSVILLE
SMITHFIELD
SMITHFIELD
SMITHFIELD
OXFORD
OXFORD
OXFORD
OAK RIDGE
OAK RIDGE
OAK RIDGE
OAK RIDGE
OAK RIDGE
WARSAW
WARSAW
WARSAW
MILWAUKEE
MILWAUKEE
MILWAUKEE
State
NJ
NJ
FL
FL
NJ
NJ
MN
MN
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
NJ
NJ
NJ
IL
IL
LA
LA
LA
TX
TX
DC
DC
CA
CA
ID
ID
IL
IL
IL
RI
RI
MA
MA
MA
MI
MI
IN
IN
IN
IN
IN
IN
ID
ID
ID
TX
TX
TX
TX
TX
NY
NY
NY
NY
MO
MO
NY
NY
NY
ME
ME
OH
OH
OH
MO
MO
NC
NC
NC
MS
MS
MS
NJ
NJ
NJ
NJ
NJ
IN
IN
IN
WI
WI
WI
Date
12/22/2009
9/22/2011
3/6/2009
10/24/2014
1/30/2009
4/21/2010
12/23/2008
2/7/2013
2/8/2013
3/26/2013
5/26/2015
5/28/2015
1/16/2009
7/6/2011
7/27/2011
2/20/2009
8/28/2013
2/13/2009
11/28/2012
11/30/2012
1/11/2013
3/26/2013
9/18/2009
10/31/2012
1/11/2013
12/12/2008
12/19/2012
1/16/2013
12/19/2008
11/10/2010
8/25/2011
11/23/2011
2/27/2009
9/22/2011
5/1/2009
11/13/2009
12/11/2012
11/14/2008
12/22/2010
1/19/2011
2/6/2009
12/20/2012
1/11/2013
3/26/2013
9/18/2009
3/14/2014
3/17/2014
4/25/2014
5/15/2009
9/10/2010
12/5/2008
3/31/2009
5/20/2009
3/27/2009
6/12/2013
3/13/2009
9/3/2010
3/6/2009
11/1/2012
1/16/2009
4/24/2014
5/22/2009
12/29/2009
9/22/2011
1/9/2009
10/16/2013
1/9/2009
4/22/2009
5/27/2009
12/12/2008
8/30/2013
4/24/2009
4/9/2013
12/12/2008
9/12/2012
2/27/2009
7/29/2011
12/19/2008
11/20/2013
10/31/2014
12/23/2008
7/11/2012
11/1/2012
11/28/2012
6/11/2013
12/23/2008
6/24/2013
7/26/2013
9/3/2014
5/8/2009
10/19/2012
10/28/2008
6/17/2009
12/16/2009
1/30/2009
8/18/2011
11/14/2008
3/30/2011
4/20/2011
3/20/2009
3/19/2014
8/21/2009
11/30/2012
1/11/2013
2/20/2009
12/29/2009
9/29/2010
2/6/2009
8/4/2010
3/16/2011
2/8/2012
2/29/2012
2/27/2009
6/9/2010
11/22/2011
12/18/2009
11/29/2012
1/11/2013
Original Investment Type
1
Original Investment Amount
$2,359,000.00
Outstanding Investment
Total Cash Back
2
Investment Status*
Amount
4
(Fee)
Shares
Avg. Price
(Realized Loss) / (Write-off)
5
Gain
Wt Amount
Wt Shares
$5,450,000.00
4,000
$1,000.00
$721.50
$721.50
50,000
$1,000.00
$3,250,000.00
$200,000.00
200
277,778
555,555
$1,300,000.00
3,250
$1,000.00
$608,170.50
$1,183,339.50
645
1,255
$942.90
$942.90
10,000
$918.50
$18,400,000.00
18,400
$1,000.00
$6,250,000.00
$18,750,000.00
158,472
$163,000.00
163
($36,829.50)
($71,660.50)
$70,095.00
95
($815,000.00)
$315,461.52
374
$256,257.00
6,250
18,750
$1,000.00
$1,000.00
$5,983,000.00
253,666
$1,750,551.00
5,983
$1,000.00
$299,000.00
299
$9,000,000.00
9,000
$1,000.00
$344,000.00
344
$1,398,071,000.00
1,398,071
$1,000.00
$49,100,000.00
23,562,994
$1,008,800.00
1,552
$650.00
($543,200.00)
$25,700.00
78
2,770
3,206
$981.11
$981.11
($52,325.30)
($60,561.34)
$186,513.52
179
$4,205,000.00
4,205,000
$1.00
$90,000,000.00
90,000
$1,000.00
$1,200,000.00
138,490
$2,295,000.00
2,295
$1,000.00
$115,000.00
115
$6,000,000.00
6,000
$1,000.00
$6,000,000.00
$0.00
3,550
22,450
212,188
6,000
$1,000.00
$300,000.00
300
406
$4,467,049.67 Redeemed, in full; warrants not outstanding
$26,000,000.00
155
$1,843,194.00
$3,686,388.00
$0.00
$828.00
$50,000,000.00
$4,000,000.00
$155,000.00
$6,165,312.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
6,700
$4,000,000.00
$0.00
$1,000.00
$2,561,325.00
$16,197,675.00
$6,700,000.00
5,450
$5,547,600.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
($1,152,400.00)
$26,563,769.78 Sold, in full; warrants not 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
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
($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
Preferred Stock w/ Warrants
$18,400,000.00
$0.00
$22,354,145.89 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$29,857,321.83 Redeemed, in full; warrants not outstanding
$9,185,000.00
($91,850.00)
Preferred Stock w/ Exercised Warrants
$5,983,000.00
$0.00
$7,119,793.05 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$5,000,000.00
$0.00
$10,940,554.65 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$1,398,071,000.00
$0.00
$1,552,000.00
$0.00
$1,594,356,808.56 Redeemed, in full; warrants not outstanding
$1,337,166.22 Sold, in full; warrants not outstanding
($10,088.00)
($14,912.00)
Preferred Stock w/ Exercised Warrants
$5,976,000.00
$0.00
$6,907,223.22 Sold, in full; warrants not outstanding
Subordinated Debentures
$4,205,000.00
$0.00
$4,632,216.32 Redeemed, in full; warrants not outstanding
$2,717,674.70
$3,145,438.66
($58,631.13)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$90,000,000.00
$0.00
$92,650,000.00 Redeemed, in full; warrants not outstanding
$2,295,000.00
$0.00
$2,936,462.50 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$6,000,000.00
$0.00
$6,453,067.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$0.00
$7,494,458.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,900,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$6,272,000.00
$4,000,000.00
$0.00
$11,836,113.40 Redeemed, in full; warrants not outstanding
$555,673.08 Exited bankruptcy/Receivership
Preferred Stock w/ Exercised Warrants
$1,065,000.00
$0.00
$1,394,723.17 Redeemed, in full; warrants not outstanding
($6,900,000.00)
$10,272,000.00
$21,500,000.00
$0.00
481,664
$1,800,000.00
188,707
65,323
1,326,238
691,882
$936,063,469.11
$0.00
$1,000.00
$2,892,066.00
$0.00
$1,312,000.00
53
78,158
$4,018,511.00
$72,000,000.00
$53,000.00
$10,635.00
Preferred Stock w/ Warrants
$0.00
$406,000.00
$1,000.00
$2,200,000.00
$78,158,000.00
$1,000.00
1,065
$78,158,000.00
Preferred Stock w/ Warrants
10,272
$1,065,000.00
88,401,697
$81,476,093.61 Redeemed, in full; warrants not outstanding
$83,430,000.00 Redeemed, in full; warrants not outstanding
$72,000,000.00
Preferred Stock w/ Exercised Warrants
72,000
$1,000.00
$2,426,000.00
$165,139.00 Exited bankruptcy/Receivership
($1,312,000.00)
Preferred Stock w/ Warrants
$27,331,250.00 Redeemed, in full; warrants not outstanding
$21,500,000.00
Preferred Stock w/ Warrants
$83,586,000.00
$0.00
Preferred Stock w/ Warrants
$27,000,000.00
$0.00
Preferred Stock w/ Warrants
$216,000,000.00
$0.00
21,500
$1,000.00
$33,955,519.23 Redeemed, in full; warrants not outstanding
$1,950,340.00 Currently Not Collectible
$261,538,649.89 Redeemed, in full; warrants not outstanding
($83,586,000.00)
$27,000,000.00
$25,000,000.00
$0.00
$1,000.00
40,000
45,000
131,000
$1,000.00
$1,000.00
$1,000.00
$24,250,000.00
Preferred Stock w/ Warrants
27,000
$40,000,000.00
$45,000,000.00
$131,000,000.00
25,000
$970.00
$32,927,621.56 Sold, in full; warrants not outstanding
($750,000.00)
($242,500.00)
Subordinated Debentures w/ Exercised Warrants
$4,000,000.00
$0.00
$174,324.60 Currently Not Collectible
$25,000,000,000.00
$0.00
$26,731,202,358.00 Redeemed, in full; warrants not outstanding
$10,449,000.00
$0.00
$12,423,046.75 Redeemed, in full; warrants not outstanding
($4,000,000.00)
Preferred Stock w/ Warrants
$25,000,000,000.00
2,500,000
$10,000.00
$10,449,000.00
10,449
$1,000.00
$2,500,000,000.00
Preferred Stock w/ Exercised Warrants
$2,500,000,000.00
$0.00
25,000
$100,000.00
Preferred Stock w/ Exercised Warrants
$470,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$522,000.00
522
$70,000,000.00
Preferred Stock w/ Warrants
35,244,361
$2,867,222,222.22 Redeemed, in full; warrants not outstanding
$622,228.44 Redeemed, in full; warrants not outstanding
$470,000.00
470
$1,000.00
4,000
$827.00
$24,000.00
24
$140,400.00
200
$100,000.00
100
$4,137,336.64 Sold, in full; warrants not outstanding
$3,308,000.00
($692,000.00)
($25,000.00)
Preferred Stock w/ Exercised Warrants
$1,998,000.00
$2,453,000.00
$0.00
$4,818,134.50 Redeemed, in full; warrants not outstanding
$59,000,000.00
$0.00
$68,260,833.33 Redeemed, in full; warrants not outstanding
$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
$1,000.00
$1,000.00
$1,000.00
$56,044,000.00
Preferred Stock w/ Warrants
56,044
$1,000.00
$2,800,000.00
Preferred Stock w/ Exercised Warrants
$56,044,000.00
$3,000,000.00
$0.00
$0.00
997,050
$877,557.00
Preferred Stock w/ Warrants
198,269
$104,375.00
150
$60,517,713.33 Redeemed, in full; warrants not outstanding
$2,932,162.50 Sold, in full; warrants not outstanding
$2,370,930.00
3,000
($23,709.29)
$790.31
($629,070.00)
Footnote
11
8,11,14
9,48,97
8,14,45
8,14,45
8,17
9,11,36
8,133
11
8
11
8,9,17
11
8
8,11,44
8,14
11
14,15
8
8
14,15
8,14
43
8
11
8,14,45
8,14,18,44
11
8,14,44
8,14,56
8,14,44
8,18
8,14
8,42
8,18
11
Institution Name
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 BANCSHARES, INC. (TX)
LIBERTY FINANCIAL SERVICES, INC.
LIBERTY FINANCIAL SERVICES, INC.
LIBERTY SHARES, 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
LONE STAR BANK
LONE STAR BANK
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
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
MARINE BANK & TRUST COMPANY
MARINE BANK & TRUST COMPANY
MARINE BANK & TRUST COMPANY
MARINE BANK & TRUST COMPANY
MARKET BANCORPORATION, INC.
MARKET BANCORPORATION, INC.
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
MARQUETTE NATIONAL CORPORATION
MARQUETTE NATIONAL CORPORATION
MARQUETTE NATIONAL CORPORATION
MARSHALL & ILSLEY CORPORATION
MARSHALL & ILSLEY CORPORATION
MARYLAND FINANCIAL BANK
MARYLAND FINANCIAL BANK
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
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.
METROPOLITAN CAPITAL BANCORP, INC.
METROPOLITAN CAPITAL BANCORP, INC.
MID PENN BANCORP, INC./MID PENN BANK
MID PENN BANCORP, INC./MID PENN BANK
City
MILWAUKEE
LEBANON
LEBANON
LEBANON
ARLINGTON
ARLINGTON
MILWAUKEE
MILWAUKEE
JONESBORO
JONESBORO
SPRINGFIELD
SPRINGFIELD
FORT WORTH
FORT WORTH
NEW ORLEANS
NEW ORLEANS
HINESVILLE
HINESVILLE
RADNOR
RADNOR
RADNOR
LORAIN
LORAIN
LORAIN
HOUSTON
HOUSTON
HOUSTON
HOUSTON
NORTH ANDOVER
NORTH ANDOVER
NORTH ANDOVER
DURHAM
DURHAM
BUFFALO
BUFFALO
BUFFALO
BUFFALO
MANISTIQUE
MANISTIQUE
MANISTIQUE
RICHMOND
RICHMOND
RICHMOND
MEMPHIS
MEMPHIS
MEMPHIS
MEMPHIS
EBENSBURG
EBENSBURG
GREENSBURG
GREENSBURG
GREENSBURG
EL SEGUNDO
EL SEGUNDO
EL SEGUNDO
MANHATTAN
MANHATTAN
MANHATTAN
MANHATTAN
VERO BEACH
VERO BEACH
VERO BEACH
VERO BEACH
VERO BEACH
NEW MARKET
NEW MARKET
NEW MARKET
MT. VERNON
MT. VERNON
MT. VERNON
MT. VERNON
CHICAGO
CHICAGO
CHICAGO
CHICAGO
CHICAGO
MILWAUKEE
MILWAUKEE
TOWSON
TOWSON
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
DEVON
DEVON
DORAVILLE
DORAVILLE
DORAVILLE
DORAVILLE
HOUSTON
HOUSTON
HOUSTON
CHICAGO
CHICAGO
CHICAGO
CHICAGO
CHICAGO
CHICAGO
MILLERSBURG
MILLERSBURG
State
WI
OH
OH
OH
MA
MA
WI
WI
AR
AR
MO
MO
TX
TX
LA
LA
GA
GA
PA
PA
PA
OH
OH
OH
TX
TX
TX
TX
MA
MA
MA
NC
NC
NY
NY
NY
NY
MI
MI
MI
KY
KY
KY
TN
TN
TN
TN
PA
PA
IN
IN
IN
CA
CA
CA
IL
IL
IL
IL
FL
FL
FL
FL
FL
MN
MN
MN
IL
IL
IL
IL
IL
IL
IL
IL
IL
WI
WI
MD
MD
MD
IL
IL
IL
MN
MN
UT
UT
UT
MI
MI
MI
MI
MA
MA
TN
TN
IL
IL
PA
PA
PA
PA
GA
GA
GA
GA
TX
TX
TX
IL
IL
IL
IL
IL
IL
PA
PA
Date
3/26/2013
1/9/2009
10/21/2009
11/22/2011
12/23/2008
11/24/2010
1/30/2009
3/11/2011
1/23/2009
7/21/2011
2/13/2009
8/18/2011
12/4/2009
1/14/2015
2/6/2009
9/24/2010
2/20/2009
6/30/2016
7/10/2009
6/30/2010
9/22/2010
12/12/2008
6/19/2012
7/18/2012
2/6/2009
12/3/2014
12/4/2014
1/9/2015
12/12/2008
11/18/2009
12/16/2009
6/26/2009
8/20/2010
12/23/2008
5/18/2011
8/21/2012
12/17/2012
4/24/2009
8/29/2012
12/19/2012
3/13/2009
11/19/2013
1/6/2014
12/23/2008
11/24/2009
6/8/2011
8/18/2011
12/29/2009
3/9/2012
1/16/2009
4/3/2012
6/11/2013
12/5/2008
9/16/2009
10/14/2009
6/19/2009
12/10/2012
12/11/2012
1/11/2013
3/6/2009
7/1/2014
7/2/2014
7/3/2014
9/26/2014
2/20/2009
7/2/2014
9/26/2014
5/15/2009
8/9/2012
8/10/2012
9/11/2012
12/19/2008
8/7/2012
8/9/2012
8/10/2012
9/11/2012
11/14/2008
7/5/2011
3/27/2009
7/2/2014
9/26/2014
12/5/2008
3/14/2012
5/2/2012
11/20/2009
8/18/2011
2/27/2009
12/22/2009
7/21/2011
5/15/2009
4/4/2012
6/6/2012
7/3/2012
2/6/2009
8/4/2011
3/6/2009
9/7/2011
6/19/2009
9/8/2011
2/13/2009
12/11/2009
3/17/2014
4/25/2014
1/30/2009
10/29/2012
11/1/2012
1/11/2013
1/16/2009
7/3/2012
6/11/2013
6/26/2009
6/28/2013
4/10/2009
11/20/2009
6/29/2015
8/6/2015
12/19/2008
12/28/2012
Original Investment Type
1
Preferred Stock w/ Warrants
Original Investment Amount
$13,400,000.00
Outstanding Investment
$0.00
Total Cash Back
2
Investment Status*
Amount
4
(Fee)
($1,290.71)
Shares
Avg. Price
(Realized Loss) / (Write-off)
5
Gain
Wt Amount
Wt Shares
$14,527,390.33 Redeemed, in full; warrants not outstanding
$13,400,000.00
13,400
$1,000.00
$5,830,000.00
5,830
$1,000.00
$602,557.00
Preferred Stock w/ Exercised Warrants
Preferred Stock
$5,830,000.00
$0.00
217,063
$292,000.00
292
$6,731,961.06 Redeemed, in full; warrants not outstanding
$5,498,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$57,500,000.00
$0.00
$68,191,965.77 Redeemed, in full; warrants not outstanding
$355,079.00 Currently Not Collectible
Preferred Stock w/ Exercised Warrants
$21,900,000.00
$0.00
$25,995,452.08 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,500,000.00
$0.00
$8,447,271.11 Redeemed, in full; warrants not outstanding
Preferred Stock
$5,645,000.00
$0.00
$6,106,008.58 Redeemed, in full; warrants not outstanding
$17,280,000.00
$0.00
$4,999,560.00 Sold, in full; warrants not outstanding
$950,000,000.00
$0.00
($5,498,000.00)
$57,500,000.00
$1,000.00
$2,875,000.00
2,875
21,900
$1,000.00
$1,095,000.00
1,095
$6,500,000.00
6,500
$1,000.00
$196,000.00
196
$5,645,000.00
5,645
$1,000.00
$213,671,319.20
13,049,451
$860,326.00
561,343
$67,401.54
154
$560,000.00
209,497
$31,838,761.34
1,218,522
$1,300,000.00
Preferred Stock w/ Exercised Warrants
57,500
$21,900,000.00
398,734
$182,878.45
169
$3,600,000.00
Preferred Stock w/ Warrants
$25,223,000.00
$0.00
480,000
$7.50
$950,000,000.00
Preferred Stock w/ Warrants
950,000
$1,000.00
25,223
$869.17
$26,893,046.60 Sold, in full; warrants not outstanding
$21,923,074.91
Preferred Stock w/ Exercised Warrants
$3,072,000.00
$0.00
($13,680,000.00)
$1,209,851,873.70 Redeemed, in full; warrants not outstanding
($328,846.12)
($3,299,925.09)
$1,950,881.54 Sold, in full; warrants not outstanding
$1,195,906.25
$712,573.75
1,925
1,147
$621.25
$621.25
$15,000,000.00
15,000
$1,000.00
$11,735,000.00
11,735
$1,000.00
$370,000,000.00
$230,000,000.00
370,000
230,000
$1,000.00
$1,000.00
11,000
$958.09
($729,093.75)
($434,426.25)
($25,000.00)
Preferred Stock w/ Warrants
Preferred Stock
$15,000,000.00
$0.00
$16,260,000.00 Redeemed, in full; warrants not outstanding
$11,735,000.00
$0.00
$12,409,762.50 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$600,000,000.00
$0.00
$718,392,161.34 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$11,000,000.00
$0.00
$13,521,828.15 Sold, in full; warrants not outstanding
$10,538,990.00
Preferred Stock w/ Exercised Warrants
$3,370,000.00
$0.00
($158,084.85)
($461,010.00)
$3,773,495.65 Sold, in full; warrants not outstanding
$3,370,000.00
3,370
$1,022.61
$76,195.70
$3,455,000.00
$3,455,000.00
$6,885,000.00
3,455
3,455
6,885
$1,000.00
$1,000.00
$1,000.00
$690,000.00
690
$4,500,000.00
4,500
$1,000.00
$225,000.00
225
$1,512,177.00
571,906
($25,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$13,795,000.00
$0.00
$4,500,000.00
$0.00
Preferred Stock w/ Warrants
$57,000,000.00
$0.00
Preferred Stock w/ Warrants
$1,700,000.00
$0.00
$16,146,467.87 Redeemed, in full; warrants not outstanding
$5,263,187.50 Redeemed, in full; warrants not outstanding
$62,949,121.28 Sold, in full; warrants not outstanding
$53,073,270.00
($796,099.05)
57,000
$931.11
1,700
$1,000.00
($3,926,730.00)
$1,829,711.12 Redeemed, in full; warrants not outstanding
$1,700,000.00
$63,363.90
Subordinated Debentures w/ Exercised Warrants
$2,639,000.00
$0.00
29,480
$3,438,793.11 Sold, in full; warrants not outstanding
2,639,000
$0.98
($52,595.27)
$11,385.02
$95,959.50
14,000
118,000
2,246
722
32
$2,586,404.73
$670.00
$670.00
$670.00
($741,180.00)
($238,260.00)
($10,560.00)
$55,870.00
$19,126.67
$503.33
111
38
1
($25,000.00)
Preferred Stock w/ Exercised Warrants
$3,000,000.00
$0.00
$2,296,213.00 Sold, in full; warrants not outstanding
$1,504,820.00
$483,740.00
$21,440.00
($25,000.00)
Preferred Stock w/ Exercised Warrants
$2,060,000.00
$0.00
$2,714,911.32 Sold, in full; warrants not outstanding
$20,300,000.00
$0.00
$24,429,245.84 Sold, in full; warrants not outstanding
$2,060,000.00
2,060
$1,210.03
$108,471.52
103
19,931,000
369,000
$0.90
$0.90
($2,011,037.90)
($37,232.10)
$432,661.80
$727,225.54
$97,505.10
895,000
120,000
3,514
8,198
23,788
$720.25
$720.25
$720.25
($983,041.50)
($2,293,390.50)
($6,654,693.00)
$142,974.56
$1,054,743.77
$252,452.23
175
1,291
309
1,715,000
$1,000.00
$3,250,000.00
13,815,789
1,700
$310.00
$1,775.00
85
$196,000,000.00
196,000
$1,000.00
$1,518,072.00
506,024
$6,000,000.00
600
$10,000.00
$300,000.00
30
$21,498,000.00
21,498
$1,000.00
$645,000.00
645
$10,500,000.00
$10,500,000.00
10,500
10,500
$1,000.00
$1,000.00
$7,465,100.00
616,438
$3,500,000.00
3,500
$1,000.00
$175,000.00
175
$1,881,000.00
1,881
$1,000.00
$94,000.00
94
$3,510,000.00
3,510
$1,000.00
$176,000.00
176
($25,000.00)
Subordinated Debentures w/ Exercised Warrants
$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
$5,904,609.50
$17,133,307.00
($255,688.75)
Preferred Stock w/ Warrants
$1,715,000,000.00
$0.00
$1,944,772,916.66 Redeemed, in full; warrants not outstanding
$1,700,000.00
$0.00
$817,240.50 Sold, in full; warrants not outstanding
$1,715,000,000.00
Preferred Stock w/ Exercised Warrants
$527,000.00
($1,173,000.00)
($25,000.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$196,000,000.00
$6,000,000.00
$11,800,000.00
$9,698,000.00
$0.00
$0.00
$0.00
$229,613,072.00 Redeemed, in full; warrants not outstanding
$6,870,433.33 Redeemed, in full; warrants not outstanding
$24,460,674.81 Redeemed, in full; warrants not outstanding
$21,000,000.00
$0.00
$31,631,120.56 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,500,000.00
$0.00
$4,150,815.03 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,881,000.00
$0.00
$2,231,560.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,510,000.00
$0.00
$4,110,668.47 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,200,000.00
$6,335,000.00
$0.00
$13,582,165.84 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$7,700,000.00
$0.00
$8,806,297.80 Sold, in full; warrants not outstanding
$10,328,152.35
12,535
$823.95
($2,206,847.65)
$262,399.50
310
29
7,671
$900.10
$900.10
($2,897.10)
($766,332.90)
$369,948.00
385
45,000
$981.17
($847,350.00)
$2,087,368.00
771,429
71,526
$331.61
($47,807,458.05)
4,388
$942.49
($252,344.76)
$84,445.94
102
10,000
$1,000.00
($103,281.52)
$26,102.90
$6,904,667.10
($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 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,040,000.00
$2,348,000.00
$0.00
$5,663,197.28 Sold, in full; warrants not outstanding
$10,000,000.00
$0.00
($662,289.75)
$23,718,541.95
$4,135,655.24
($33,333.34)
Preferred Stock w/ Warrants
$12,070,979.20 Redeemed, in full; warrants not outstanding
$10,000,000.00
Footnote
12
8,11,14
44
8
22,27,97
8,11,14
11
8,11,14
8
9,11
9,11,36
8,11,14
98
12,16
8,14,45
8,14,44
11
8,11,14
8,11,14
8,14
8,11,14
45
8
11,59
8,14
11,16
11,14,15
8,42
8,119
11,14,15
44
8,11,14
8,14,44
11
11
8,11,14,18
109
11
8,14,44
8,14
8,11,14
45
12,16
Institution Name
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
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.
MS FINANCIAL, INC.
MUTUALFIRST FINANCIAL, INC.
MUTUALFIRST FINANCIAL, INC.
MUTUALFIRST FINANCIAL, INC.
NAPLES BANCORP, INC.
NAPLES BANCORP, INC.
NARA BANCORP, INC. / BBCN BANCORP, INC.
NARA BANCORP, INC. / BBCN BANCORP, INC.
NARA BANCORP, INC. / BBCN 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
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 / FIRST COMMERCE BANK
NORTHERN STATE BANK / FIRST COMMERCE BANK
NORTHERN STATE BANK / FIRST COMMERCE BANK
NORTHERN STATES FINANCIAL CORPORATION
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.
City
MILLERSBURG
MIDDLEBURG
MIDDLEBURG
MIDDLEBURG
EFFINGHAM
EFFINGHAM
LAFAYETTE
LAFAYETTE
LAFAYETTE
ATLANTA
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
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
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
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
State
PA
VA
VA
VA
IL
IL
LA
LA
LA
GA
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
TX
IN
IN
IN
FL
FL
CA
CA
CA
IA
IA
IA
IA
PA
PA
PA
NE
NE
IL
IL
CA
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
IL
NH
NH
WA
WA
WA
WA
WA
WA
NC
NC
NC
NC
CA
CA
CA
NJ
NJ
NJ
Date
1/23/2013
1/30/2009
12/23/2009
11/18/2011
1/23/2009
12/23/2009
1/9/2009
8/25/2011
11/22/2011
2/27/2009
11/19/2013
1/6/2014
12/5/2008
5/14/2010
2/13/2009
11/10/2009
2/6/2009
7/6/2011
7/27/2011
2/20/2009
4/26/2013
4/3/2009
8/14/2012
1/9/2009
12/28/2011
12/23/2008
8/20/2010
12/19/2008
12/28/2012
2/6/2009
11/15/2013
12/19/2008
12/23/2009
2/10/2010
3/13/2009
9/15/2011
1/30/2009
8/11/2011
10/28/2008
6/17/2009
8/12/2009
1/16/2009
7/20/2011
1/23/2009
4/25/2012
12/5/2012
9/25/2009
7/22/2013
9/12/2013
3/27/2009
10/19/2011
12/23/2008
8/25/2011
9/28/2011
3/27/2009
7/12/2012
11/21/2008
6/27/2012
8/8/2012
2/27/2009
2/19/2013
2/20/2013
3/26/2013
12/12/2008
3/16/2011
4/13/2011
12/11/2009
12/29/2010
6/26/2009
6/28/2013
12/19/2008
12/10/2014
6/19/2009
4/24/2013
1/16/2009
8/25/2011
2/15/2012
1/9/2009
7/24/2013
12/12/2008
4/26/2013
4/29/2013
5/15/2013
5/31/2013
12/23/2008
9/1/2011
1/9/2009
12/14/2011
1/11/2012
12/12/2008
11/28/2012
12/28/2012
5/15/2009
12/18/2009
3/28/2012
2/20/2009
4/30/2014
11/14/2008
6/17/2009
8/26/2009
1/30/2009
9/15/2011
2/13/2009
3/8/2013
3/11/2013
4/9/2013
2/13/2009
1/9/2013
1/30/2009
10/31/2012
1/11/2013
2/6/2013
12/5/2008
8/11/2011
9/28/2011
1/16/2009
12/30/2009
2/3/2010
Original Investment Type
1
Original Investment Amount
$22,000,000.00
Outstanding Investment
$0.00
Total Cash Back
2
Investment Status*
Amount
4
(Fee)
Shares
Avg. Price
Wt Amount
$58,479.20
Wt Shares
73,099
104,101
$1,000.00
10,189
$1,000.00
$20,000,000.00
$0.00
22,000
$10,189,000.00
$10,189,000.00
Gain
$23,287,945.11 Redeemed, in full; warrants not outstanding
$22,000,000.00
Preferred Stock w/ Exercised Warrants
(Realized Loss) / (Write-off)
5
$301,001.00
Preferred Stock w/ Warrants
20,000
$1,000.00
$11,206,989.34 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$20,000,000.00
$0.00
$5,222,000.00
$0.00
$84,784,000.00
$0.00
509
$206,557.00
Preferred Stock w/ Warrants
$509,000.00
104,384
$136,833.05
261
$22,834,334.78 Redeemed, in full; warrants not outstanding
$3,520,137.55 Sold, in full; warrants not outstanding
$3,133,200.00
5,222
$600.00
($2,088,800.00)
($25,000.00)
Preferred Stock w/ Warrants
$824,288.89 Exited bankruptcy/Receivership
($84,784,000.00)
Preferred Stock w/ Exercised Warrants
$700,000.00
$0.00
$763,294.14 Redeemed, in full; warrants not outstanding
$16,000,000.00
$0.00
$18,933,333.33 Redeemed, in full; warrants not outstanding
$700,000.00
$10,000,000.00
$0.00
$7,260,000.00
$0.00
$5,116,000.00
$0.00
$5,500,000.00
$0.00
$500,000.00
500
$92,000.00
92
132,353
$5,875,583.89 Redeemed, in full; warrants not outstanding
Preferred Stock
$1,000.00
$4,296,561.73 Sold, in full; warrants not outstanding
Preferred Stock
35
198,675
$260,000.00
Preferred Stock w/ Exercised Warrants
$1,000.00
16,000
$35,000.00
$1,000,000.00
Preferred Stock w/ Exercised Warrants
700
$16,000,000.00
Preferred Stock w/ Warrants
$12,844,226.31 Redeemed, in full; warrants not outstanding
$5,956,041.66 Redeemed, in full; warrants not outstanding
$10,000,000.00
10,000
$1,000.00
$2,904,000.00
7,260
$400.00
$5,116,000.00
Preferred Stock w/ Exercised Warrants
$1,834,000.00
$0.00
$6,785,000.00
$0.00
$14,700,000.00
$0.00
$15,703,166.66 Redeemed, in full; warrants not outstanding
$9,516,000.00
$0.00
$1,000.00
$4,808,121.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$1,000.00
5,500
$2,339,348.60 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
5,116
$5,500,000.00
($4,356,000.00)
$11,291,481.00 Redeemed, in full; warrants not outstanding
$1,834,000.00
$237,000.00
237
10,000,000
$1,000.00
65,245,759
13,000
$1,000.00
$650,000.00
650
$1,100,000.00
$5,116,000.00
1,100
5,116
$1,000.00
$1,000.00
$311,000.00
311
3,300
$990.00
$140,034.65
165
$7,723,000.00
7,723
$1,000.00
$32,382,000.00
Preferred Stock w/ Exercised Warrants
$1,000.00
$950,000,000.00
Preferred Stock w/ Exercised Warrants
$0.00
476
4,734
32,382
$1,000.00
$11,268,055,555.11 Redeemed, in full; warrants not outstanding
$13,000,000.00
$476,000.00
$13,000,000.00
$0.00
$1,000.00
($2,239,798.00)
$5,623,958.50 Redeemed, in full; warrants not outstanding
$10,000,000,000.00
$1,000.00
9,516
$10,000,000,000.00
Preferred Stock w/ Exercised Warrants
$0.00
14,700
$4,734,000.00
Preferred Stock w/ Warrants
$4,734,000.00
$2.00
$9,516,000.00
Preferred Stock w/ Exercised Warrants
$1,000.00
2,272,601
$14,700,000.00
Preferred Stock w/ Exercised Warrants
1,834
$4,545,202.00
$15,429,122.22 Redeemed, in full; warrants not outstanding
$6,216,000.00
$3,300,000.00
$0.00
$0.00
$7,803,377.38 Redeemed, in full; warrants not outstanding
$4,069,975.55 Sold, in full; warrants not outstanding
$3,267,000.00
($33,000.00)
($25,000.00)
Preferred Stock w/ Exercised Warrants
$7,723,000.00
$0.00
$9,206,289.90 Redeemed, in full; warrants not outstanding
100,000
$117,000.00
117,000
184,275
$13,364,000.00
$150.00
13,364
2,567,255
$1,000.00
3,250
21,414
$750.21
$750.21
$150,000,000.00
150,000
$1,000.00
$2,000,000.00
2,000,000
$1.00
$2,281,458.05
$0.00
4,000
67,000
$2,438,182.50
$16,064,996.94
$24,664,000.00
735,294
$100,000.00
$956,066.67 Sold, in full; warrants not outstanding
$600,000.00
Preferred Stock w/ Exercised Warrants
500
733
$7,778,782.65
$0.00
$0.00
521,266
$737,100.00
$4,000,000.00
$67,000,000.00
$37,608,789.00 Redeemed, in full; warrants not outstanding
$67,000,000.00
Preferred Stock w/ Warrants
$342,841.95
$502,606.30
$1,000,000.00
$0.00
625,135
$2,189,317.20
Preferred Stock w/ Exercised Warrants
$32,382,000.00
386
$900,194.00
Preferred Stock w/ Warrants
$386,000.00
($3,400,000.00)
6,880
$331.61
($4,598,541.95)
($6,100,000.00)
$81,249,317.20 Redeemed, in full; warrants not outstanding
$21,471,087.90 Sold, in full; warrants not outstanding
($811,817.50)
($5,349,003.06)
($185,031.79)
Preferred Stock w/ Warrants
$150,000,000.00
$0.00
$167,958,333.33 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$2,000,000.00
$0.00
$2,276,190.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$6,880,000.00
$0.00
$2,613,714.23 Sold, in full; warrants not outstanding
$10,000,000.00
$0.00
$5,211,027.78 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,900,000.00
Preferred Stock w/ Exercised Warrants
$0.00
$390.00
$1.00
10,000
$1,000.00
$3,199,347.39 Redeemed, in full; warrants not outstanding
$0.00
2,330,000
$10,000,000.00
$2,330,000.00
$10,000,000.00
10,000
$2,330,000.00
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
$12,041,266.67 Redeemed, in full; warrants not outstanding
$267,274,000.00
$0.00
$52,372,000.00
$0.00
$346,794,005.83 Redeemed, in full; warrants not outstanding
$267,274,000.00
267,274
$1,000.00
$2,709,121.50
$48,641,624.50
Preferred Stock w/ Warrants
2,763
49,609
$980.50
$980.50
$70,087,060.35 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
Preferred Stock w/ Warrants
$10,200,000.00
$0.00
$12,294,583.33 Redeemed, in full; warrants not outstanding
$14,964,000.00
$4,227,000.00
$0.00
$1,341,000.00
$1,230,000.00
$0.00
$1,000.00
748
99,157
$5,159,181.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$1,000.00
10,200
$748,000.00
$600,000.00
Preferred Stock w/ Warrants
14,964
$10,200,000.00
$2,987,782.33 Redeemed, in full; warrants not outstanding
$4,227,000.00
4,227
$1,000.00
$2,571,000.00
2,571
$1,000.00
$6,023,850.00
20,079,500
$0.30
$1,576,000,000.00
1,576,000
$1,000.00
$10,000,000.00
10,000
$1,000.00
$2,000,000.00
$8,500,000.00
2,000
8,500
$1,032.11
$1,032.11
1,992
$1,000.00
7,700
$921.50
13,500
$1,000.00
$95,000.00
$17,211,000.00
$0.00
Preferred Stock w/ Warrants
$1,576,000,000.00
$0.00
$0.00
3,824,624
$1,709,623,333.35 Redeemed, in full; warrants not outstanding
$10,000,000.00
67
$87,000,000.00
Preferred Stock w/ Warrants
67,958
$67,000.00
$11,930,624.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,442,172.50 Sold, in full; warrants not outstanding
($11,187,150.00)
$10,500,000.00
$0.00
$500,000.00
500
$587,634.55
525
$100,000.00
100
$122,887.50
Preferred Stock w/ Exercised Warrants
163,830
$11,891,847.50 Sold, in full; warrants not outstanding
$64,220.00
$272,935.00
($108,371.55)
Preferred Stock w/ Exercised Warrants
$1,992,000.00
$0.00
$2,380,393.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$7,700,000.00
$0.00
$8,592,336.00 Sold, in full; warrants not outstanding
$1,992,000.00
$7,095,550.00
($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
$560,000.00
Preferred Stock w/ Warrants
$38,263,000.00
$0.00
350,346
$430,797.00
190,427
$40,521,918.61 Redeemed, in full; warrants not outstanding
$38,263,000.00
38,263
$1,000.00
Footnote
8
11
11
8,14
8,51,97
8,9
15,17,129,135
8
11,14,15
11,35
8
8,14,45
8,26
8
85
8,14
11
60
8,11,21
8,126
44
8,14
8
8,11,14
11
8,14,44
11
8,14,56
8,14
8,14
8
8,17,45
9,11,36
8,46,97
8,69
11
8,14,44
15,17
Institution Name
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
ONE UNITED BANK
ONEFINANCIAL CORPORATION
OREGON BANCORP, INC.
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 CITY FINANCIAL CORPORATION
PACIFIC COAST BANKERS' BANCSHARES
PACIFIC COAST BANKERS' BANCSHARES
PACIFIC COAST NATIONAL BANCORP
PACIFIC COAST NATIONAL BANCORP
PACIFIC COMMERCE BANK
PACIFIC COMMERCE BANK
PACIFIC COMMERCE BANK
PACIFIC INTERNATIONAL BANCORP / BBCN BANCORP, INC.
PACIFIC INTERNATIONAL BANCORP / BBCN BANCORP, INC.
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
PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION
PASCACK BANCORP, INC.
PASCACK BANCORP, INC.
PATAPSCO BANCORP, INC.
PATAPSCO BANCORP, INC.
PATHFINDER BANCORP, INC.
PATHFINDER BANCORP, INC.
PATHFINDER BANCORP, INC.
PATHWAY BANCORP
PATHWAY BANCORP
PATHWAY BANCORP
PATRIOT BANCSHARES, INC.
PATRIOT BANCSHARES, INC.
PATRIOT BANCSHARES, INC.
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
OJAI
OJAI
BOWIE
BOWIE
BOWIE
EVANSVILLE
EVANSVILLE
EVANSVILLE
AURORA
AURORA
AURORA
AURORA
AURORA
AURORA
LAKEWOOD
LAKEWOOD
LAKEWOOD
LAKEWOOD
ATLANTA
ATLANTA
BOSTON
LITTLE ROCK
SALEM
SALEM
SALEM
SALEM
ORANGE
ORANGE
SANTA BARBARA
SANTA BARBARA
SANTA BARBARA
LOS ANGELES
LOS ANGELES
LOS ANGELES
SAN FRANCISCO
SAN FRANCISCO
SAN CLEMENTE
SAN CLEMENTE
LOS ANGELES
LOS ANGELES
LOS ANGELES
SEATTLE
SEATTLE
MADISON
MADISON
MADISON
MADISON
MADISON
NEWARK
NEWARK
NEWARK
SEWELL
SEWELL
SEWELL
SEWELL
SEWELL
MONROEVILLE
MONROEVILLE
MONROEVILLE
WESTWOOD
WESTWOOD
DUNDALK
DUNDALK
OSWEGO
OSWEGO
OSWEGO
CAIRO
CAIRO
CAIRO
HOUSTON
HOUSTON
HOUSTON
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
CA
CA
MD
MD
MD
IN
IN
IN
IL
IL
IL
IL
IL
IL
CO
CO
CO
CO
GA
GA
MA
AR
OR
OR
OR
OR
TX
TX
CA
CA
CA
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
PA
NJ
NJ
MD
MD
NY
NY
NY
NE
NE
NE
TX
TX
TX
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
1/30/2009
9/25/2013
12/5/2008
7/15/2009
9/2/2009
12/12/2008
3/31/2009
5/8/2009
1/16/2009
3/11/2013
3/26/2013
3/27/2013
4/9/2013
6/11/2013
4/17/2009
7/19/2013
7/22/2013
9/12/2013
5/8/2009
7/15/2011
12/19/2008
6/5/2009
4/24/2009
10/18/2013
10/21/2013
1/6/2014
5/1/2009
10/5/2011
11/21/2008
2/23/2011
11/30/2012
12/19/2008
11/19/2013
1/6/2014
12/23/2008
7/28/2011
1/16/2009
2/11/2010
12/23/2008
2/10/2014
3/19/2014
12/12/2008
2/15/2013
3/6/2009
8/7/2012
8/9/2012
8/10/2012
9/11/2012
12/23/2008
4/25/2012
5/2/2012
1/30/2009
11/28/2012
11/29/2012
1/11/2013
6/12/2013
12/23/2008
1/3/2012
5/27/2015
2/6/2009
10/19/2011
12/19/2008
8/28/2015
9/11/2009
9/1/2011
2/1/2012
3/27/2009
6/24/2013
7/26/2013
12/19/2008
4/11/2014
4/14/2014
7/18/2014
4/17/2009
3/7/2012
8/22/2012
12/5/2012
5/8/2013
6/5/2013
1/9/2009
1/6/2010
3/2/2011
1/11/2012
4/4/2012
4/17/2009
9/1/2011
1/30/2009
2/2/2011
12/28/2011
2/15/2012
2/13/2009
8/3/2011
12/23/2008
7/3/2012
8/8/2012
4/24/2009
4/24/2012
3/20/2009
10/31/2012
1/11/2013
3/6/2009
9/18/2013
9/11/2009
8/25/2011
2/6/2009
8/13/2010
1/23/2009
11/5/2010
3/6/2009
12/12/2008
12/28/2011
6/20/2012
7/18/2012
12/19/2008
9/27/2011
7/17/2009
4/26/2013
4/29/2013
Original Investment Type
Preferred Stock w/ Exercised Warrants
1
2
Original Investment Amount
$2,080,000.00
Outstanding Investment
$0.00
Total Cash Back
Investment Status*
$2,654,758.89 Redeemed, in full; warrants not outstanding
$7,000,000.00
$0.00
Amount
4
(Fee)
Shares
Avg. Price
Wt Amount
Wt Shares
$0.00
$73,000,000.00
$0.00
104
141,892
$1,200,000.00
$100,000,000.00
$104,000.00
$225,000.00
Preferred Stock w/ Warrants
7,000
Gain
$1,000.00
$7,000,000.00
Preferred Stock w/ Warrants
2,080
(Realized Loss) / (Write-off)
5
$7,438,888.89 Redeemed, in full; warrants not outstanding
$2,080,000.00
Preferred Stock w/ Warrants
$1,000.00
813,008
$102,713,888.89 Redeemed, in full; warrants not outstanding
$100,000,000.00
100,000
$1,000.00
$24,684,870.00
$452,424.00
$668,079.44
70,028
1,200
1,772
$352.50
$377.02
$377.02
1,239
1,577
$1,142.90
$1,142.90
$31,423,238.49 Sold, in full; warrants not outstanding
($45,343,130.00)
($747,576.00)
($1,103,920.56)
($258,053.73)
$106,891.00
$2,816,000.00
$0.00
815,339
$159,886.25
141
$9,459.13
$128,988.07
11
150
$305,000.00
305,000
$393,120.78
15,120
$1,156,636.50
810
$580,000.00
580
($1,540,039.20)
$109,487.50
203
($619,346.00)
($1,495,494.00)
($4,143,360.00)
$88,059.01
$482,779.69
$325,200.40
114
625
421
$2,842,400.00
Preferred Stock w/ Exercised Warrants
227,376
$3,403,603.15 Sold, in full; warrants not outstanding
$1,239,000.00
$1,577,000.00
$177,053.10
$225,353.30
($25,000.00)
Preferred Stock w/ Exercised Warrants
$5,500,000.00
$0.00
$0.00 Exited bankruptcy/Receivership
($5,500,000.00)
Preferred Stock
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$12,063,000.00
$17,300,000.00
$3,216,000.00
$12,063,000.00
$17,300,000.00
$0.00
$93,823.33 Full investment outstanding; warrants not outstanding
$7,662,990.59 Full investment outstanding; warrants outstanding
$4,116,801.92 Sold, in full; warrants not outstanding
$100,000.00
$3,116,000.00
100
3,116
$1,000.00
$1,000.00
($25,000.00)
Subordinated Debentures w/ Exercised Warrants
$6,100,000.00
$0.00
$180,634,000.00
$0.00
$7,662,314.53 Redeemed, in full; warrants not outstanding
$6,100,000.00
Preferred Stock w/ Exercised Warrants
$16,200,000.00
$0.00
6,100,000
$1.00
$14.75
$165,983,272.00
Preferred Stock w/ Warrants
1
3,608,332
$29.50
$46.00
16,200
$1,215.17
11,600
$1,000.00
$168,483,804.20 Sold, in full; warrants not outstanding
($10.28)
($14,650,702.97)
$21,003,597.96 Sold, in full; warrants not outstanding
$16,200,000.00
$3,485,754.00
($196,857.54)
Preferred Stock w/ Exercised Warrants
$11,600,000.00
$0.00
$13,821,963.89 Redeemed, in full; warrants not outstanding
$11,600,000.00
Preferred Stock w/ Exercised Warrants
$4,120,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$4,060,000.00
$0.00
$2,991,670.80 Sold, in full; warrants not outstanding
$18,087.94 Exited bankruptcy/Receivership
Preferred Stock w/ Warrants
$6,500,000.00
$0.00
$7,937,744.97 Redeemed, in full; warrants outstanding
($4,120,000.00)
4,060
$620.68
$6,500,000.00
$2,519,960.80
6,500
$1,000.00
$1,676,654.00
$4,048,506.00
$11,216,640.00
2,296
5,544
15,360
$730.25
$730.25
$730.25
$100,000,000.00
100,000
$1,000.00
$394,072.28
$11,318,791.40
548
15,740
$719.11
$719.11
31,762
$1,000.00
($25,000.00)
Preferred Stock w/ Exercised Warrants
$23,200,000.00
$0.00
$22,020,064.10 Sold, in full; warrants not outstanding
($169,418.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$100,000,000.00
$16,288,000.00
$0.00
$0.00
$119,536,844.44 Redeemed, in full; warrants not outstanding
$16,365,554.76 Sold, in full; warrants not outstanding
($153,927.72)
($4,421,208.60)
($117,128.64)
$1,650,288.00
$31,762,000.00
$0.00
438,906
$6,025,649.70
Preferred Stock w/ Warrants
819,640
$42,596,063.59 Redeemed, in full; warrants not outstanding
$31,762,000.00
Preferred Stock w/ Exercised Warrants
$3,756,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$0.00
$4,497,312.67 Redeemed, in full; warrants not outstanding
$9,260,824.26 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$6,771,000.00
$0.00
$7,976,328.84 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,727,000.00
$0.00
$4,628,862.77 Sold, in full; warrants not outstanding
$3,756,000.00
3,756
$1,000.00
$188,000.00
188
$6,000,000.00
6,000
$1,000.00
$300,000.00
300
$6,771,000.00
6,771
$1,000.00
$537,633.00
154,354
3,727
$1,167.01
$622,446.27
$226,565.00
186
12,000
14,038
$1,142.03
$1,142.03
$1,704,360.00
$1,993,817.14
$1,035,834.25
$645,781.95
802
500
$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
$185,000.00
185
$7,172,000.00
$7,172,000.00
$14,341,000.00
7,172
7,172
14,341
$1,000.00
$1,000.00
$1,000.00
$110,000.00
150,296
$9,960,000.00
9,960
$1,000.00
$498,000.00
498
$21,000,000.00
$18,000,000.00
21,000
18,000
$1,000.00
$1,000.00
$1,200,724.15
313,505
$18,000,000.00
18,000
$1,000.00
25,054
$933.36
$3,727,000.00
($25,000.00)
Preferred Stock w/ Exercised Warrants
$26,038,000.00
$0.00
$33,824,567.35 Sold, in full; warrants not outstanding
$12,000,000.00
$14,038,000.00
($297,361.77)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$3,690,000.00
$28,685,000.00
$9,960,000.00
$39,000,000.00
$0.00
$0.00
$0.00
$0.00
$4,692,022.77 Redeemed, in full; warrants not outstanding
$32,075,739.67 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
Preferred Stock w/ Exercised Warrants
$18,000,000.00
$0.00
$21,325,250.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$25,054,000.00
$0.00
$27,877,966.16 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,660,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$3,900,000.00
$0.00
($350,766.02)
900
$425,000.00
$23,384,401.44
$900,000.00
357,234
$633,000.00
633
($1,669,598.56)
$15,362,909.75 Redeemed, in full; warrants not outstanding
$12,660,000.00
12,660
$1,000.00
3,900
$755.00
12,325
$3,809,874.42 Sold, in full; warrants not outstanding
$2,944,500.00
($955,500.00)
$122,225.00
195
$1,000.00
$616,000.00
616
$71,000.00
71
$755,000.00
267,455
($25,000.00)
Preferred Stock w/ Exercised Warrants
$12,325,000.00
$0.00
$15,985,994.66 Redeemed, in full; warrants not outstanding
$12,325,000.00
Preferred Stock w/ Exercised Warrants
$1,500,000.00
$0.00
$1,730,162.66 Redeemed, in full; warrants not outstanding
Preferred Stock
$3,000,000.00
$0.00
$3,227,916.67 Redeemed, in full; warrants not outstanding
$1,500,000.00
$0.00
$4,389,000.00
$0.00
$1,000.00
23,750
71,250
$1,000.00
$1,000.00
$87,631,000.00
$6,800,000.00
$4,389,000.00
$95,000,000.00
$1,000.00
3,000
$23,750,000.00
$71,250,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
1,500
$3,000,000.00
87,631
$1,000.00
$120,000.00
$2,380,000.00
120,000
2,380,000
$1.00
$1.00
$207,947.78 Currently Not Collectible
($6,800,000.00)
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants
$87,631,000.00
$0.00
$2,500,000.00
$0.00
$284,999.00 Full investment outstanding; warrants outstanding
$111,918,194.45 Redeemed, in full; warrants not outstanding
$105,252,939.77 Redeemed, in full; warrants not outstanding
$4,382,000.00
4,382
$90,582.47
107,000
$3,103,618.40 Sold, in full; warrants not outstanding
$180.00
$3,570.00
Footnote
20
8
9,15,36
8,22,97
14,15
8
80
8,17
75,97
8,18
12
8,17,44
88
107
8,11,14
8,14,44
44
8
8,17
8,14,44
8,14,44
8,114
8,14,44
8,17,62
8,14
11
8
8,14
8,116
11,14,15
15
8,95,97
11
8
44
11,44
8,14
Institution Name
PLATO HOLDINGS INC.
PLUMAS BANCORP
PLUMAS BANCORP
PLUMAS BANCORP
PLUMAS BANCORP
POPULAR, INC.
POPULAR, INC.
POPULAR, INC.
PORTER BANCORP, INC.(PBI) LOUISVILLE, KY
PORTER BANCORP, INC.(PBI) LOUISVILLE, KY
PORTER BANCORP, INC.(PBI) LOUISVILLE, KY
PORTER BANCORP, INC.(PBI) LOUISVILLE, KY
PRAIRIE STAR BANCSHARES, INC.
PRAIRIE STAR BANCSHARES, INC.
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 BANCORP, INC.
PREMIER FINANCIAL CORP.
PREMIER FINANCIAL CORP.
PREMIER FINANCIAL CORP.
PREMIER SERVICE BANK
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.
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.
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 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
RISING SUN BANCORP
RIVER VALLEY BANCORPORATION, INC.
RIVER VALLEY BANCORPORATION, INC.
RIVER VALLEY BANCORPORATION, INC.
RIVERSIDE BANCSHARES, INC.
RIVERSIDE BANCSHARES, INC.
ROGERS BANCSHARES, INC.
ROGERS BANCSHARES, INC.
ROYAL BANCSHARES OF PENNSYLVANIA, INC.
ROYAL BANCSHARES OF PENNSYLVANIA, INC.
ROYAL BANCSHARES OF PENNSYLVANIA, INC.
ROYAL BANCSHARES OF PENNSYLVANIA, INC.
S&T BANCORP, INC.
S&T BANCORP, INC.
S&T BANCORP, INC.
SAIGON NATIONAL BANK / CALIFORNIA INTERNATIONAL BANK, N.A.
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
City
SAINT PAUL
QUINCY
QUINCY
QUINCY
QUINCY
SAN JUAN
SAN JUAN
SAN JUAN
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOUISVILLE
OLATHE
OLATHE
OLATHE
WILMETTE
WILMETTE
TALLAHASSEE
TALLAHASSEE
HUNTINGTON
HUNTINGTON
HUNTINGTON
HUNTINGTON
HUNTINGTON
HUNTINGTON
DUBUQUE
DUBUQUE
DUBUQUE
RIVERSIDE
RIVERSIDE
MEDFORD
MEDFORD
SAN FRANCISCO
SAN FRANCISCO
SAN FRANCISCO
SAN FRANCISCO
PRINCETON
PRINCETON
MINNEAPOLIS
MINNEAPOLIS
MINNEAPOLIS
CHICAGO
CHICAGO
CHICAGO
ROCKY MOUNT
ROCKY MOUNT
BALTIMORE
BALTIMORE
BALTIMORE
BALTIMORE
ROCK HILL
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
DAVIE
NOWATA
NOWATA
VANCOUVER
VANCOUVER
HARTSVILLE
HARTSVILLE
HARTSVILLE
HARTSVILLE
HARTSVILLE
BIRMINGHAM
BIRMINGHAM
BIRMINGHAM
FRONTENAC
FRONTENAC
FRONTENAC
BROOKFIELD
BROOKFIELD
BROOKFIELD
RISING SUN
RISING SUN
WAUSAU
WAUSAU
WAUSAU
LITTLE ROCK
LITTLE ROCK
LITTLE ROCK
LITTLE ROCK
NARBERTH
NARBERTH
NARBERTH
NARBERTH
INDIANA
INDIANA
INDIANA
WESTMINSTER
LAKEVILLE
LAKEVILLE
LAKEVILLE
OLNEY
OLNEY
OLNEY
OLNEY
SANTA PAULA
SANTA PAULA
SANTA PAULA
State
MN
CA
CA
CA
CA
PR
PR
PR
KY
KY
KY
KY
KS
KS
KS
IL
IL
FL
FL
WV
WV
WV
WV
WV
WV
IA
IA
IA
CA
CA
OR
OR
CA
CA
CA
CA
IL
IL
MN
MN
MN
IL
IL
IL
NC
NC
MD
MD
MD
MD
SC
SC
LA
LA
WA
WA
MO
MO
MO
IL
IL
IL
NC
NC
GA
GA
GA
CA
CA
MN
MN
FL
FL
OK
OK
WA
WA
SC
SC
SC
SC
SC
AL
AL
AL
MO
MO
MO
WI
WI
WI
MD
MD
WI
WI
WI
AR
AR
AR
AR
PA
PA
PA
PA
PA
PA
PA
CA
CT
CT
CT
MD
MD
MD
MD
CA
CA
CA
Date
5/31/2013
1/30/2009
4/29/2013
5/22/2013
5/31/2013
12/5/2008
7/2/2014
7/23/2014
11/21/2008
12/3/2014
12/4/2014
1/9/2015
4/3/2009
6/29/2015
8/6/2015
5/8/2009
8/13/2010
3/20/2009
8/14/2012
10/2/2009
8/8/2012
8/9/2012
8/10/2012
9/11/2012
5/6/2015
5/22/2009
7/22/2013
9/12/2013
2/20/2009
1/31/2014
2/13/2009
4/9/2013
11/20/2009
12/10/2012
12/11/2012
1/11/2013
1/23/2009
11/2/2012
2/27/2009
12/29/2009
6/25/2014
1/30/2009
10/24/2012
11/14/2012
10/2/2009
9/15/2011
11/14/2008
8/21/2012
3/20/2013
3/25/2013
3/13/2009
4/30/2014
2/27/2009
9/29/2010
1/16/2009
8/11/2011
1/16/2009
7/3/2012
8/8/2012
2/13/2009
9/15/2011
11/16/2011
10/30/2009
9/30/2013
6/19/2009
9/25/2013
10/29/2013
1/16/2009
7/21/2011
1/9/2009
8/18/2011
3/6/2009
10/17/2014
2/27/2009
7/21/2011
10/23/2009
1/26/2012
2/13/2009
11/8/2012
11/9/2012
1/11/2013
3/26/2013
11/14/2008
4/4/2012
5/2/2012
2/13/2009
9/25/2013
10/29/2013
2/27/2009
2/20/2013
3/26/2013
1/9/2009
10/17/2014
6/12/2009
6/6/2012
5/15/2013
5/15/2009
5/14/2014
1/30/2009
7/5/2013
2/20/2009
7/1/2014
7/2/2014
9/26/2014
1/16/2009
12/7/2011
6/11/2013
12/23/2008
3/13/2009
8/25/2011
11/2/2011
12/5/2008
7/21/2010
12/15/2010
2/23/2011
2/13/2009
3/8/2013
4/9/2013
Original Investment Type
1
Preferred Stock w/ Warrants
Original Investment Amount
$11,949,000.00
Outstanding Investment
$0.00
Total Cash Back
2
Investment Status*
Amount
4
(Fee)
($25,000.00)
Shares
Avg. Price
(Realized Loss) / (Write-off)
5
Gain
Wt Amount
Wt Shares
$13,764,140.41 Sold, in full; warrants not outstanding
$11,949,000.00
11,949
$1,091.11
$1,088,673.39
$234,500.00
237,712
$3,000,000.00
2,093,284
$164,018.20
140
($130,376.73)
Preferred Stock w/ Warrants
$935,000,000.00
$0.00
Preferred Stock w/ Warrants
$35,000,000.00
$0.00
$1,220,280,000.00 Redeemed, in full; warrants not outstanding
$935,000,000.00
935,000
$1,000.00
$2,693,800.00
$806,200.00
26,938
8,062
$100.00
$100.00
$8,233,333.33 Sold, in full; warrants outstanding
($24,244,200.00)
($7,255,800.00)
($50,000.00)
Preferred Stock w/ Exercised Warrants
$2,800,000.00
$0.00
$3,596,579.20 Sold, in full; warrants not outstanding
$2,800,000.00
2,800
$1,187.61
$6,784,000.00
6,784,000
$1.00
$1,678,618.89
$8,575,102.51
$9,795,998.16
1,863
9,517
10,872
$901.03
$901.03
$901.03
6,349,000
$525,308.00
$1.24
($25,000.00)
Subordinated Debentures
Preferred Stock w/ Exercised Warrants
$6,784,000.00
$0.00
$9,500,000.00
$0.00
$22,252,000.00
$0.00
$7,444,215.12 Redeemed, in full; warrants not outstanding
$467,412.50 Exited bankruptcy/Receivership
($9,500,000.00)
Preferred Stock w/ Warrants
$28,727,240.29 Sold, in full; warrants not outstanding
($184,381.11)
($941,897.49)
($1,076,001.84)
($200,497.20)
$5,675,000.00
Subordinated Debentures w/ Exercised Warrants
$6,349,000.00
$0.00
636,378
$478,590.75
317,000
$200,000.00
200
$83,086.12
$195,295.20
97
228
$8,778,669.11 Sold, in full; warrants not outstanding
$6,349,000.00
$1,507,379.58
($78,563.80)
$4,000,000.00
$0.00
$4,300,522.22 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$41,400,000.00
$0.00
$42,446,500.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,800,000.00
$0.00
$11,077,694.89 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$25,083,000.00
$0.00
$4,960,000.00
$3,262,000.00
$0.00
$4,000,000.00
4,000
$1,000.00
$41,400,000.00
41,400
$1,000.00
310
10,490
$847.21
$847.21
$8,222,000.00
8,222
$1,000.00
$243,815,000.00
243,815
$1,000.00
$262,635.10
$8,887,232.90
($47,364.90)
($1,602,767.10)
($91,498.68)
$2,271,405.00 Currently Not Collectible
($25,083,000.00)
Preferred Stock w/ Exercised Warrants
$10,836,280.71 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$243,815,000.00
$0.00
$4,000,000.00
$0.00
$151,500,000.00
$0.00
248
645,013
$175,000.00
175
$290,552,132.92 Redeemed, in full; warrants not outstanding
$4,596,311.80 Redeemed, in full; warrants not outstanding
$4,000,000.00
4,000
$1,000.00
$151,500,000.00
Preferred Stock w/ Warrants
$248,000.00
$1,225,000.00
Preferred Stock w/ Warrants
151,500
$1,000.00
$199,100,113.41 Sold, in full; warrants not outstanding
$71.62
$19,047,005.12
Preferred Stock w/ Warrants
$9,266,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$9,270,000.00
$0.00
$10,536,802.00 Redeemed, in full; warrants not outstanding
$5,639,391.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,500,000.00
$0.00
$5,355,156.75 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$32,538,000.00
$0.00
$35,195,847.13 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$38,237,000.00
$0.00
$44,286,567.33 Redeemed, in full; warrants not outstanding
$5,096,300.00
9,266
$550.00
$9,270,000.00
9,270
$1,000.00
$464,000.00
464
$4,500,000.00
4,500
$1,000.00
$225,000.00
225
$1,100,000.00
778,421
$1,100,000.00
521,888
$28,893,744.00
($433,406.16)
Preferred Stock w/ Exercised Warrants
$6,229,000.00
$0.00
$8,900,000.00
$0.00
$888.00
$1,000.00
($3,644,256.00)
$7,190,593.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
32,538
38,237
$38,237,000.00
($4,169,700.00)
$9,139,863.61 Sold, in full; warrants not outstanding
$6,229,000.00
6,229
$1,000.00
$8,073,279.00
8,900
$907.11
$311,000.00
311
$253,383.25
($826,721.00)
268
($80,732.79)
Preferred Stock w/ Exercised Warrants
$3,800,000.00
$0.00
$4,510,626.39 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,995,000.00
$0.00
$3,570,810.92 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$9,982,000.00
$0.00
$8,755,019.00 Sold, in full; warrants not outstanding
$3,800,000.00
$5.50
2,655
$1,000.00
$133,000.00
133
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
$3,500,000,000.00
3,500,000
$1,000.00
$45,000,000.00
48,253,677
$40,000,000.00
$0.00
1,449,225
40,000
$1,004.90
$2,199,799.80
2,000
10,900
$822.60
$476,206.83
545
($2,011,262.50)
$3,135,328.00 Redeemed, in full; warrants not outstanding
$1,500,000.00
150
$14,594,338.99 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
190
$150,000.00
$12,700,000.00
$0.00
$0.00
$190,000.00
$1,000.00
$2,655,000.00
$2,655,000.00
$12,700,000.00
$1,000.00
2,995
$7,970,737.50
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
3,800
$2,995,000.00
$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
Preferred Stock w/ Exercised Warrants
$3,500,000,000.00
$0.00
$40,000,000.00
$0.00
$4,138,055,555.55 Redeemed, in full; warrants not outstanding
$45,820,950.80 Sold, in full; warrants not outstanding
$196,000.00
($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
$5,983,000.00
$0.00
$195,637.00 Currently Not Collectible
($5,983,000.00)
Subordinated Debentures w/ Exercised Warrants
$15,000,000.00
$0.00
$19,928,275.00 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$1,100,000.00
$0.00
$1,622,708.57 Redeemed, in full; warrants not outstanding
$10,500,000.00
$4,500,000.00
Preferred Stock w/ Warrants
$30,407,000.00
$0.00
Preferred Stock w/ Warrants
$108,676,000.00
$0.00
$1,549,000.00
$8,816,000.00
$1,549,000.00
$0.00
$750,000.00
750,000
$55,000.00
55,000
517,012
57,671
$4,450,000.00
$0.00
$1.00
$205,000.00
$25,000,000.00
$1.00
$1.00
1,100,000
$527,361.00
Preferred Stock w/ Exercised Warrants
10,500,000
4,500,000
$1,100,000.00
651,547
$98,251.45
145
$738,021.00 Currently Not Collectible
($25,000,000.00)
$36,696,518.83 Sold, in full; warrants outstanding
$9,000,000.00
$21,407,000.00
9,000
21,407
$1,207.11
$1,207.11
$108,676,000.00
108,676
$1,000.00
$8,816,000.00
8,816
$1,000.00
$41,547,000.00
$41,547,000.00
41,547
41,547
$1,000.00
$1,000.00
2,900
$850.01
$1,863,990.00
$4,433,603.77
($367,045.94)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$83,094,000.00
$2,900,000.00
$0.00
$0.00
$124,916,099.34 Redeemed, in full; warrants not outstanding
$0.00 Full investment outstanding; warrants outstanding
$10,100,960.44 Redeemed, in full; warrants not outstanding
$95,137,868.33 Redeemed, in full; warrants not outstanding
$2,697,208.51 Sold, in full; warrants not outstanding
$2,465,029.00
($25,000.00)
($434,971.00)
Footnote
8,14,44
11
8,14,44
8,14
8,14,44
8,14,44
8,14,36,111
11,36
8,14,44
14,15
11
11,14,15
11
11
8,32,97,132
8,14
8,14
9,11,36
8,14,45
8,14,44
44
8
11
8,14,44
8
8
8,14,74
11,61
15,17,44
8,11
8,11,36
12,16
11,14,15
15,17,45
11
11
11
31
44
8,11,14
Institution Name
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.
SOUTHERN MISSOURI BANCORP, INC.
SOUTHFIRST BANCSHARES, INC.
SOUTHFIRST BANCSHARES, INC.
SOUTHFIRST BANCSHARES, INC.
SOUTHWEST BANCORP, INC.
SOUTHWEST BANCORP, INC.
SOUTHWEST BANCORP, INC.
SOVEREIGN BANCSHARES, INC.
SOVEREIGN BANCSHARES, INC.
SPIRIT BANKCORP, INC.
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 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
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
City
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
POPLAR BLUFF
SYLACAUGA
SYLACAUGA
SYLACAUGA
STILLWATER
STILLWATER
STILLWATER
DALLAS
DALLAS
BRISTOW
BRISTOW
BRISTOW
ST. LOUIS
HICKORY HILLS
HICKORY HILLS
JERICHO
JERICHO
JERICHO
BARTLEY
BARTLEY
FARGO
FARGO
FARGO
GREENWOOD
GREENWOOD
BOSTON
BOSTON
BOSTON
ST. CLOUD
ST. CLOUD
DENVER
DENVER
CHARLOTTESVILLE
CHARLOTTESVILLE
CHARLOTTESVILLE
CHARLOTTESVILLE
NEW YORK
NEW YORK
NEW YORK
HOUSTON
HOUSTON
HOUSTON
SPOKANE
SPOKANE
SPOKANE
MIDLAND PARK
MIDLAND PARK
MIDLAND PARK
RAPID CITY
State
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
MO
AL
AL
AL
OK
OK
OK
TX
TX
OK
OK
OK
MO
IL
IL
NY
NY
NY
NE
NE
ND
ND
ND
MS
MS
MA
MA
MA
MN
MN
CO
CO
VA
VA
VA
VA
NY
NY
NY
TX
TX
TX
WA
WA
WA
NJ
NJ
NJ
SD
Date
12/19/2008
10/21/2011
3/27/2009
8/11/2011
1/16/2009
5/20/2009
6/24/2009
12/19/2008
4/3/2012
5/30/2012
12/23/2008
9/1/2011
2/13/2009
12/10/2012
12/11/2012
1/11/2013
3/26/2013
1/9/2009
7/14/2011
1/9/2009
9/15/2011
6/26/2009
9/29/2010
12/19/2008
9/29/2010
7/31/2013
2/20/2009
9/22/2011
5/1/2009
6/24/2013
7/26/2013
11/21/2008
9/25/2013
10/29/2013
1/9/2009
4/15/2009
11/16/2011
6/26/2009
12/15/2010
12/12/2008
3/31/2009
3/16/2010
1/16/2009
5/20/2009
6/24/2009
2/20/2009
8/20/2010
1/9/2009
11/13/2012
1/11/2013
12/5/2008
9/30/2010
7/17/2009
3/8/2013
3/11/2013
4/9/2013
1/16/2009
8/6/2010
12/5/2008
10/1/2012
2/27/2009
7/3/2012
7/25/2012
5/15/2009
9/8/2011
1/23/2009
8/25/2011
12/5/2008
7/21/2011
5/13/2015
6/12/2009
6/29/2015
8/6/2015
12/5/2008
8/8/2012
5/29/2013
3/13/2009
9/22/2011
3/27/2009
10/21/2013
1/6/2014
3/13/2009
4/24/2009
2/22/2013
12/5/2008
12/14/2011
5/27/2015
9/4/2009
9/22/2011
1/16/2009
8/12/2009
6/29/2011
2/13/2009
9/29/2010
10/28/2008
6/17/2009
7/8/2009
6/26/2009
1/18/2012
9/25/2009
9/1/2011
12/19/2008
4/13/2011
12/28/2011
12/18/2013
12/23/2008
4/27/2011
5/18/2011
12/12/2008
5/5/2009
6/15/2010
12/5/2008
8/20/2012
9/19/2012
1/30/2009
9/1/2011
10/26/2011
2/6/2009
Original Investment Type
Preferred Stock w/ Warrants
1
2
Original Investment Amount
$4,000,000.00
Outstanding Investment
$0.00
$4,000,000.00
$0.00
Total Cash Back
Investment Status*
$3,131,111.11 Sold, in full; warrants not outstanding
$64,779,000.00
$0.00
Amount
4
(Fee)
Shares
Avg. Price
$67,294,638.84 Redeemed, in full; warrants not outstanding
$700.00
$4,000,000.00
4,000
64,779
$20,510.00
Wt Amount
Wt Shares
$1,000.00
2,000
Gain
$1,000.00
$64,779,000.00
Preferred Stock w/ Warrants
4,000
(Realized Loss) / (Write-off)
5
$4,717,144.78 Redeemed, in full; warrants not outstanding
$2,800,000.00
Preferred Stock w/ Exercised Warrants
($1,200,000.00)
$200,000.00
200
$1,400,000.00
$50,000,000.00
$0.00
303,083
$55,000.00
Preferred Stock w/ Warrants
589,623
$49,045,470.38 Sold, in full; warrants not outstanding
$41,020,000.00
Preferred Stock w/ Exercised Warrants
$1,800,000.00
$0.00
$2,152,000.00
$0.00
($8,980,000.00)
$2,153,780.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
($615,300.00)
$1,983,756.24 Sold, in full; warrants not outstanding
$1,800,000.00
1,800
$1,000.00
$174,537.72
$1,315,959.00
252
1,900
$692.61
$692.61
$90,000.00
90
$69,186.80
($77,462.28)
($584,041.00)
108
($14,904.97)
($10,095.03)
Preferred Stock w/ Exercised Warrants
$5,803,000.00
$0.00
$6,888,017.86 Redeemed, in full; warrants not outstanding
$5,803,000.00
17,388
$1,000.00
$522,000.00
522
18,000
$1,000.00
$50,000.00
$0.00
290
341
137,966
$12,500,000.00
$18,000,000.00
$290,000.00
$341,000.00
12,500
$1,000.00
10,750,000
$1.17
$8,152,698.33 Redeemed, in full; warrants not outstanding
$19,063,111.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$1,000.00
$1,000.00
$18,000,000.00
$0.00
$0.00
6,815
$17,388,000.00
$6,815,000.00
$17,388,000.00
5,803
$6,815,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$19,650,000.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,500,000.00
$0.00
$14,888,679.86 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$10,750,000.00
$0.00
$14,543,635.13 Sold, in full; warrants not outstanding
$1,784,607.50
625
$720,368.55
538,000
$25,000.00
$10,750,000.00
$625,000.00
172,970
($125,346.08)
Preferred Stock w/ Warrants
$23,393,000.00
$0.00
$26,915,463.85 Sold, in full; warrants outstanding
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$25,358,333.33 Redeemed, in full; warrants not outstanding
23,393
$998.90
$25,000,000.00
$23,367,267.70
25,000
$1,000.00
$1,700,000.00
1,700,000
$1.00
$120,000,000.00
120,000
($25,732.30)
$1,000.00
($233,672.68)
Subordinated Debentures w/ Exercised Warrants
$1,700,000.00
$0.00
$1,994,587.59 Redeemed, in full; warrants not outstanding
$120,000,000.00
$0.00
$132,967,606.41 Redeemed, in full; warrants not outstanding
$7,414,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$8,653,000.00
$0.00
85,000
595,829
$275,000.00
Preferred Stock w/ Warrants
$85,000.00
$11,150,939.74
Preferred Stock w/ Warrants
163,065
$7,816,685.55 Redeemed, in full; warrants not outstanding
$7,414,000.00
7,414
$1,000.00
$497,164.00 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
$347,000,000.00
$0.00
$146,965,329.86 Sold, in full; warrants not outstanding
$2,832,412.70
3,070
$922.61
($237,587.30)
$124,412.34
154
130,179
$1,000.00
($216,820,781.25)
$400,000.00
10,106,796
2,000
10,900
$907.31
$907.31
($185,380.00)
($1,010,321.00)
$588,264.19
645
11,000
$1,000.00
42,750
$1,000.00
($25,000.00)
Preferred Stock w/ Warrants
$130,179,218.75
Preferred Stock w/ Exercised Warrants
$12,900,000.00
$0.00
$13,109,014.25 Sold, in full; warrants not outstanding
Preferred Stock
$11,000,000.00
$0.00
$11,855,555.56 Redeemed, in full; warrants not outstanding
$1,814,620.00
$9,889,679.00
($117,042.99)
$11,000,000.00
Preferred Stock w/ Warrants
$42,750,000.00
$0.00
$51,088,046.14 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$17,299,000.00
$0.00
$19,401,361.89 Sold, in full; warrants not outstanding
$42,750,000.00
$15,638,296.00
$2,760,000.00
$0.00
$70,000,000.00
$0.00
243
5,000
$1,000.00
$250,000.00
250
9,550
$1,000.00
231,891
$140,617.94
138
$2,287,197.00
Preferred Stock w/ Exercised Warrants
$0.00
$243,000.00
$2,700,000.00
$9,550,000.00
$0.00
$1,000.00
$9,550,000.00
Preferred Stock w/ Warrants
$5,000,000.00
399,970
4,862
$5,000,000.00
Preferred Stock w/ Exercised Warrants
$0.00
$904.00
$1,100,000.00
$4,862,000.00
17,299
$4,862,000.00
Preferred Stock w/ Exercised Warrants
($234,574.44)
($1,660,704.00)
703,753
$5,718,111.14 Redeemed, in full; warrants not outstanding
$5,955,472.22 Redeemed, in full; warrants not outstanding
$13,504,763.89 Redeemed, in full; warrants not outstanding
$3,202,464.28 Sold, in full; warrants not outstanding
2,760
$986.25
$70,000,000.00
$2,722,050.00
70,000
$1,000.00
$18,215,000.00
18,215
$1,000.00
30,000
$300.00
($37,950.00)
($25,000.00)
Preferred Stock w/ Warrants
$85,247,569.91 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$18,215,000.00
$0.00
$21,632,668.61 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$30,000,000.00
$0.00
$11,803,691.75 Sold, in full; warrants not outstanding
$9,000,000.00
$911,000.00
911
$631,941.75
($21,000,000.00)
1,500
($90,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$3,000,000.00
$60,000,000.00
$3,000,000.00
$0.00
Preferred Stock w/ Warrants
$36,842,000.00
$0.00
$1,554,408.00 Full investment outstanding; warrants outstanding
$75,757,163.03 Redeemed, in full; warrants not outstanding
$60,000,000.00
488,847
1,697,000
$1.00
$51,000.00
51,000
$12,500,000.00
$37,500,000.00
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
Preferred Stock w/ Warrants
$1,000.00
$100,566.69
Preferred Stock w/ Exercised Warrants
$4.65
36,842
$1,697,000.00
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
12,903,226
$36,842,000.00
$3,000,000.00
2,788,104
$42,514,919.19 Redeemed, in full; warrants not outstanding
$1,697,000.00
$0.00
$2,030,299.18 Redeemed, in full; warrants not outstanding
$50,000,000.00
$0.00
$58,008,472.23 Redeemed, in full; warrants not outstanding
$15,000,000.00
$0.00
$17,080,708.67 Redeemed, in full; warrants not outstanding
$2,000,000,000.00
$0.00
$2,123,611,111.12 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$24,900,000.00
$0.00
Subordinated Debentures w/ Exercised Warrants
$11,019,000.00
$0.00
$31,495,442.29 Redeemed, in full; warrants not outstanding
$13,078,672.60 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$30,000,000.00
$0.00
$37,191,875.00 Redeemed, in full; warrants not outstanding
$24,900,000.00
1,245,000
$331,000.00
331,000
7,500
22,500
$1,000.00
$1,000.00
$2,920,000.00
302,623
42,000
$1,000.00
$125,198,000.00
$0.00
$1,245,000.00
$1.00
$42,000,000.00
$42,000,000.00
$1.00
11,019,000
$7,500,000.00
$22,500,000.00
Preferred Stock w/ Warrants
24,900,000
$11,019,000.00
125,198
$1,000.00
$47,869,108.33 Redeemed, in full; warrants not outstanding
$945,775.00
$125,198,000.00
$0.00
Preferred Stock w/ Warrants
$303,000,000.00
$0.00
Preferred Stock w/ Warrants
$10,000,000.00
$0.00
516,817
$2,857,914.52
Preferred Stock w/ Warrants
2,615,557
$130,542,485.91 Redeemed, in full; warrants not outstanding
$121,757,209.63 Sold, in full; warrants not outstanding
$114,772,740.00
($1,434,659.25)
5,738,637
$20.00
10,000
$1,000.00
($188,227,260.00)
$825,000.00
$10,000,000.00
Preferred Stock w/ Exercised Warrants
$15,568,000.00
$0.00
97,541
$107,398.00
133,475
$11,400,453.22 Redeemed, in full; warrants not outstanding
$18,101,553.84 Redeemed, in full; warrants not outstanding
Footnote
8,14
15,123
44
11
11
24,49,97
8,11,14
11
8,11,14
12,16
14,15,44
11
8,103
15,17,45
8,97,100
11
8,11,14
63,97
8,14
11
8,11,14
8,14,44
12,16
8
11
8,14
44
11
11,36
8,11,14
8,11,14
11
8,14,44
8,14
11
8,14,44
8,14
8,18,21,44
8,21
Institution Name
STOCKMENS FINANCIAL CORPORATION
STOCKMENS FINANCIAL CORPORATION
STONEBRIDGE FINANCIAL CORP.
STONEBRIDGE FINANCIAL CORP.
STONEBRIDGE FINANCIAL CORP.
STONEBRIDGE FINANCIAL CORP.
SUBURBAN ILLINOIS BANCORP, INC.
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
SYRINGA BANCORP
TAYLOR CAPITAL GROUP
TAYLOR CAPITAL GROUP
TAYLOR CAPITAL GROUP
TCB CORPORATION/COUNTY BANK
TCB CORPORATION/COUNTY BANK
TCB HOLDING COMPANY
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.
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 ELMIRA SAVINGS BANK, FSB
THE FIRST BANCORP, INC.
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 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
City
RAPID CITY
RAPID CITY
WEST CHESTER
WEST CHESTER
WEST CHESTER
WEST CHESTER
ELMHURST
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
BOISE
ROSEMONT
ROSEMONT
ROSEMONT
GREENWOOD
GREENWOOD
THE WOODLANDS
THE WOODLANDS
WAYZATA
WAYZATA
WAYZATA
DAYTON
DAYTON
FRANKLIN
FRANKLIN
OAK RIDGE
OAK RIDGE
OAK RIDGE
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
ELMIRA
DAMARISCOTTA
DAMARISCOTTA
DAMARISCOTTA
DAMARISCOTTA
DAMARISCOTTA
HATTIESBURG
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
State
SD
SD
PA
PA
PA
PA
IL
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
ID
IL
IL
IL
SC
SC
TX
TX
MN
MN
MN
OH
OH
TN
TN
TN
TN
TN
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
NY
ME
ME
ME
ME
ME
MS
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
Date
1/12/2011
3/16/2011
1/23/2009
3/26/2013
3/27/2013
4/9/2013
6/19/2009
7/16/2015
12/19/2008
8/4/2011
9/14/2011
1/9/2009
4/8/2009
5/27/2009
11/14/2008
12/31/2008
3/30/2011
9/28/2011
12/5/2008
4/15/2011
1/9/2009
12/29/2010
12/12/2008
4/21/2010
12/22/2010
1/19/2011
4/10/2009
8/31/2011
12/12/2008
12/23/2009
6/16/2010
5/8/2009
9/15/2011
12/19/2008
7/26/2013
1/16/2009
1/31/2014
11/21/2008
6/19/2012
7/18/2012
8/28/2009
9/8/2011
1/16/2009
12/13/2013
11/14/2008
4/22/2009
12/21/2009
12/23/2008
8/3/2011
12/19/2008
1/27/2012
12/23/2008
4/26/2013
4/29/2013
5/31/2013
1/16/2009
5/13/2009
3/17/2010
1/9/2009
5/19/2010
8/7/2009
8/25/2011
12/12/2008
3/10/2010
9/8/2010
2/6/2009
12/3/2010
2/13/2009
12/22/2010
11/23/2011
5/29/2013
1/16/2009
12/10/2012
12/11/2012
1/11/2013
12/19/2008
4/19/2012
12/19/2008
8/25/2011
5/6/2015
1/9/2009
8/24/2011
3/27/2013
5/8/2013
5/28/2015
2/6/2009
9/29/2010
5/13/2015
2/27/2009
4/14/2010
2/6/2009
12/19/2012
6/26/2009
3/31/2010
9/27/2010
5/22/2009
8/18/2011
12/23/2008
10/31/2012
1/11/2013
12/31/2008
2/10/2010
5/5/2010
2/20/2009
9/1/2011
1/9/2009
3/8/2013
3/11/2013
4/9/2013
2/27/2009
12/11/2009
9/22/2011
1/23/2009
11/8/2012
11/9/2012
1/11/2013
12/5/2008
9/30/2010
Original Investment Type
1
Preferred Stock w/ Exercised Warrants
Original Investment Amount
$10,973,000.00
Outstanding Investment
$0.00
Total Cash Back
2
Investment Status*
Amount
$4,000,000.00
$11,568,000.00
4
(Fee)
Shares
4,000
11,568
Avg. Price
$1,000.00
$1,000.00
10,351
622
$173.53
$173.53
(Realized Loss) / (Write-off)
5
Gain
Wt Amount
Wt Shares
$778,000.00
778
$130,704.17
$8,358.99
516
33
$2,652,816.96 Sold, in full; warrants not outstanding
$1,796,209.03
$107,935.66
($8,554,790.97)
($514,064.34)
($25,000.00)
Subordinated Debentures w/ Exercised Warrants
$15,000,000.00
$0.00
$24,929,429.70 Redeemed, in full; warrants not outstanding
$8,500,000.00
$0.00
$9,930,625.00 Redeemed, in full; warrants not outstanding
$15,000,000.00
17,900,182
$100,000.00
100
$5,269,179.36
$0.00
$1,000.00
3,028,264
$92,513,970.83 Redeemed, in full; warrants not outstanding
$0.00
1,620,545
$30,066,661.40
$89,310,000.00
$3,500,000,000.00
$1,350,000,000.00
750,000
239,212
$2,100,000.00
Preferred Stock w/ Warrants
$1.00
8,500
$750,000.00
$315,000.00
Preferred Stock w/ Warrants
15,000,000
$8,500,000.00
Preferred Stock w/ Warrants
$5,448,052,772.51 Redeemed, in full; warrants not outstanding
$89,310,000.00
$69,000,000.00
$0.00
$0.00
$0.00
$100,000.00
$2,314,972.22 Redeemed, in full; warrants not outstanding
$300,000,000.00
48,500
$4,983,333.33 Currently Not Collectible
$2,000,000.00
$1,000.00
$4,850,000,000.00
Preferred Stock w/ Warrants
89,310
$328,991,401.58 Redeemed, in full; warrants not outstanding
($69,000,000.00)
Preferred Stock w/ Exercised Warrants
$2,000,000.00
$0.00
4,000
$1,000.00
235,000
$1,000.00
$4,721,382.89 Redeemed, in full; warrants not outstanding
$0.00
$1,000.00
$1,000.00
$235,000,000.00
$4,000,000.00
$235,000,000.00
$1,000.00
200,000
100,000
$4,000,000.00
Preferred Stock w/ Exercised Warrants
2,000
$200,000,000.00
$100,000,000.00
Preferred Stock w/ Warrants
$253,929,027.78 Redeemed, in full; warrants not outstanding
$0.00
$8,000,000.00
$0.00
$104,823,000.00
$0.00
1,462,647
$292,000.00
292,000
3,199,988
$100,000.00
100
$19,218.87
$124,922.63
20
130
758,086
$17,019,233.91 Redeemed, in full; warrants not outstanding
$13,644,000.00
Preferred Stock w/ Exercised Warrants
682,000
$6,559,066.21
$0.00
$682,000.00
$9,449,980.56
$13,644,000.00
$967,870,000.00
13,644,000
$1.00
$967,870,000.00
Preferred Stock w/ Warrants
200
354,058
$9,839,273.00
Subordinated Debentures w/ Exercised Warrants
$200,000.00
$6,820,000.00
Preferred Stock w/ Warrants
967,870
$1,000.00
104,823
$893.50
9,720,000
$1.00
$1,190,614,526.39 Redeemed, in full; warrants outstanding
$253,122.22 Currently Not Collectible
($8,000,000.00)
Preferred Stock w/ Warrants
$120,845,170.80 Sold, in full; warrants not outstanding
$93,659,350.50
Subordinated Debentures w/ Exercised Warrants
$9,720,000.00
$0.00
$11,730,000.00
$0.00
$361,172,000.00
$0.00
$11,611,381.34 Redeemed, in full; warrants not outstanding
$0.00
$2,384,611.11 Redeemed, in full; warrants not outstanding
$9,720,000.00
Preferred Stock w/ Exercised Warrants
($11,163,649.50)
$378,547,699.45 Redeemed, in full; warrants not outstanding
$2,000,000.00
($1,404,890.26)
$690,832.08 Currently Not Collectible
($11,730,000.00)
Preferred Stock w/ Warrants
$361,172,000.00
Preferred Stock w/ Warrants
$30,000,000.00
$0.00
$0.00
$0.00
$82,777,816.21 Redeemed, in full; warrants not outstanding
$3,981,000.00
$0.00
$1,000.00
$3,331,713.17 Sold, in full; warrants not outstanding
$75,000,000.00
$1,000.00
2,000
$3,233,333.33 Currently Not Collectible
$3,000,000.00
361,172
$2,000,000.00
Preferred Stock w/ Exercised Warrants
$4,475,307.67 Redeemed, in full; warrants not outstanding
($30,000,000.00)
Preferred Stock w/ Exercised Warrants
$298,000.00
$2,702,000.00
298
2,702
$1,022.11
$1,022.11
$6,588.78
$59,741.22
($25,000.00)
Preferred Stock w/ Warrants
$75,000,000.00
45,220
$1,000.00
980,203
4,021
$433.44
17,000
17,000
$1,000.00
$1,000.00
$2,150,648.55
276,078
$1,956,900.00
$11,577,672.70
3,000
17,749
$652.30
$652.30
$403,161.92
$455,316.35
487
550
$5,448,000.00
5,448
$1,000.00
$9,090,000.00
$0.00
1,000
9,090
$1,000.00
$52,787,673.44 Redeemed, in full; warrants not outstanding
$4,021,000.00
199
$1,000,000.00
$17,000,000.00
$17,000,000.00
$0.00
$1,000.00
$4,753,984.55
$45,220,000.00
20,000
$23,234,499.98 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$199,000.00
$1,742,850.00
$0.00
$1,000.00
$45,220,000.00
$20,000,000.00
$1,000.00
3,981
$20,000,000.00
Preferred Stock w/ Exercised Warrants
75,000
$3,981,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$1,912,684.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$34,000,000.00
$0.00
$40,091,342.55 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$20,749,000.00
$0.00
($2,278,150.00)
$18,023,831.85 Sold, in full; warrants not outstanding
($1,043,100.00)
($6,171,327.30)
($135,345.73)
Preferred Stock w/ Warrants
$5,448,000.00
$0.00
$6,902,866.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$9,090,000.00
$0.00
$11,795,867.07 Redeemed, in full; warrants not outstanding
$0.00
151,030
226,819
$302,410.00
$25,000,000.00
175,742
$389,077.67
Preferred Stock w/ Warrants
$792,783.00
$1,486,292.07
54,705
$29,722,063.78 Redeemed, in full; warrants not outstanding
$12,500,000.00
$2,500,000.00
$10,000,000.00
$1,000.00
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
$15,000,000.00
15,000
$1,000.00
$750,000.00
750
7,500
$981.20
$371,250.00
375
$7,579,200,000.00
75,792
$100,000.00
$320,372,284.16
16,885,192
$5,450,000.00
5,450
$1,000.00
$273,000.00
273
$244,225.00
$11,478,575.00
250
11,750
$976.90
$976.90
($5,775.00)
($271,425.00)
$4,806.45
$571,967.55
5
595
$2,046,000.00
2,046
$1,000.00
$61,000.00
61
$1,165,528.32
$3,877,691.40
$0.00
5,000
$731,000.00
$5,000,000.00
$1,000.00
$1,000.00
$1,000.00
$5,000,000.00
Preferred Stock w/ Warrants
12,500
2,500
10,000
1,312
4,365
$888.36
$888.36
($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
$5,714,215.56 Redeemed, in full; warrants not 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
$3,400,000,000.00
$0.00
$4,236,125,671.00 Redeemed, in full; warrants not outstanding
$15,000,000.00
$0.00
$17,580,291.55 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$7,500,000.00
$0.00
$9,232,652.17 Sold, in full; warrants not outstanding
$7,359,000.00
($141,000.00)
($73,590.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$7,579,200,000.00
$5,450,000.00
$12,000,000.00
$0.00
$0.00
$0.00
$8,320,638,950.83 Redeemed, in full; warrants not outstanding
$6,474,752.14 Redeemed, in full; warrants not outstanding
$13,065,246.00 Sold, in full; warrants not outstanding
($117,228.00)
Preferred Stock w/ Exercised Warrants
$541,000.00
$1,505,000.00
$0.00
$2,322,183.20 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,677,000.00
$0.00
$6,449,130.64 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
Footnote
134
8,47,97
8,11,14
8
45
8
8,14,44
8,14,44
8,14
8,9,11
8,11
8,14,18
11
8,14,44
11
8,122
8,14,44
22,97
12,16
8,14,18,44,45
8,11,17
12,16,25
8
11,36
11,14,15
8,11,44
11
8
9,11,15
8
8,11
8,11,14
8
11
8,14,44
11
Institution Name
TIDELANDS BANCSHARES, INC.
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.
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
TRINITY CAPITAL CORPORATION
TRI-STATE BANK OF MEMPHIS
TRI-STATE BANK OF MEMPHIS
TRISTATE CAPITAL HOLDINGS, INC.
TRISTATE CAPITAL HOLDINGS, INC.
TRISUMMIT BANK
TRISUMMIT BANK
TRISUMMIT BANK
TRISUMMIT BANK
TRUSTMARK CORPORATION
TRUSTMARK CORPORATION
TRUSTMARK CORPORATION
TWO RIVERS FINANCIAL GROUP, INC.
TWO RIVERS FINANCIAL GROUP, INC.
U.S. BANCORP
U.S. BANCORP
U.S. BANCORP
U.S. CENTURY BANK
U.S. CENTURY BANK
UBT BANCSHARES, INC.
UBT BANCSHARES, INC.
UCBH HOLDINGS INC.
UCBH HOLDINGS INC.
UMPQUA HOLDINGS CORP.
UMPQUA HOLDINGS CORP.
UMPQUA HOLDINGS CORP.
UNION BANK & TRUST COMPANY
UNION BANK & TRUST COMPANY
UNION BANK & TRUST COMPANY
UNION FINANCIAL CORPORATION
UNION FINANCIAL CORPORATION
UNION FINANCIAL CORPORATION
UNION FIRST MARKET BANKSHARES CORPORATION
UNION FIRST MARKET BANKSHARES CORPORATION
UNION FIRST MARKET BANKSHARES CORPORATION
UNITED AMERICAN BANK
UNITED AMERICAN BANK
UNITED AMERICAN BANK
UNITED BANCORP, INC.
UNITED BANCORP, INC.
UNITED BANCORP, INC.
UNITED BANCORPORATION OF ALABAMA, INC.
UNITED BANCORPORATION OF ALABAMA, INC.
UNITED BANCORPORATION OF ALABAMA, INC.
UNITED BANK CORPORATION
UNITED BANK CORPORATION
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED FINANCIAL BANKING COMPANIES, INC.
UNITED FINANCIAL BANKING COMPANIES, INC.
UNITED FINANCIAL BANKING COMPANIES, INC.
UNITY BANCORP, INC.
UNITY BANCORP, INC.
UNITY BANCORP, INC.
UNITY BANCORP, INC.
UNIVERSAL BANCORP
UNIVERSAL BANCORP
UNIVERSAL BANCORP
UNIVERSAL BANCORP
UNIVERSITY FINANCIAL CORP.
UNIVERSITY FINANCIAL CORP.
US METRO BANK
US METRO BANK
UWHARRIE CAPITAL CORP
UWHARRIE CAPITAL CORP
UWHARRIE CAPITAL CORP
VALLEY COMMERCE BANCORP
VALLEY COMMERCE BANCORP
VALLEY COMMUNITY BANK
VALLEY COMMUNITY BANK
VALLEY COMMUNITY BANK
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL GROUP, LTD.
VALLEY FINANCIAL GROUP, LTD.
VALLEY NATIONAL BANCORP
VALLEY NATIONAL BANCORP
VALLEY NATIONAL BANCORP
VALLEY NATIONAL BANCORP
VALLEY NATIONAL BANCORP
City
MT. PLEASANT
MT. PLEASANT
TIFTON
TIFTON
HOQUIAM
HOQUIAM
HOQUIAM
HOQUIAM
HOQUIAM
HOQUIAM
TITONKA
TITONKA
HOPKINSVILLE
HOPKINSVILLE
PORTSMOUTH
PORTSMOUTH
PORTSMOUTH
AUSTIN
AUSTIN
AUSTIN
AUSTIN
FRONTENAC
FRONTENAC
WALDORF
WALDORF
LOS ALAMOS
LOS ALAMOS
LOS ALAMOS
LOS ALAMOS
LOS ALAMOS
MEMPHIS
MEMPHIS
PITTSBURGH
PITTSBURGH
KINGSPORT
KINGSPORT
KINGSPORT
KINGSPORT
JACKSON
JACKSON
JACKSON
BURLINGTON
BURLINGTON
MINNEAPOLIS
MINNEAPOLIS
MINNEAPOLIS
MIAMI
MIAMI
MARYSVILLE
MARYSVILLE
SAN FRANCISCO
SAN FRANCISCO
PORTLAND
PORTLAND
PORTLAND
OXFORD
OXFORD
OXFORD
ALBUQUERQUE
ALBUQUERQUE
ALBUQUERQUE
BOWLING GREEN
BOWLING GREEN
BOWLING GREEN
SAN MATEO
SAN MATEO
SAN MATEO
TECUMSEH
TECUMSEH
TECUMSEH
ATMORE
ATMORE
ATMORE
BARNESVILLE
BARNESVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
VIENNA
VIENNA
VIENNA
CLINTON
CLINTON
CLINTON
CLINTON
BLOOMFIELD
BLOOMFIELD
BLOOMFIELD
BLOOMFIELD
ST. PAUL
ST. PAUL
GARDEN GROVE
GARDEN GROVE
ALBEMARLE
ALBEMARLE
ALBEMARLE
VISALIA
VISALIA
PLEASANTON
PLEASANTON
PLEASANTON
ROANOKE
ROANOKE
ROANOKE
ROANOKE
ROANOKE
ROANOKE
ROANOKE
SAGINAW
SAGINAW
WAYNE
WAYNE
WAYNE
WAYNE
WAYNE
State
SC
SC
GA
GA
WA
WA
WA
WA
WA
WA
IA
IA
KY
KY
VA
VA
VA
TX
TX
TX
TX
MO
MO
MD
MD
NM
NM
NM
NM
NM
TN
TN
PA
PA
TN
TN
TN
TN
MS
MS
MS
IA
IA
MN
MN
MN
FL
FL
KS
KS
CA
CA
OR
OR
OR
NC
NC
NC
NM
NM
NM
VA
VA
VA
CA
CA
CA
MI
MI
MI
AL
AL
AL
GA
GA
GA
GA
GA
GA
GA
GA
VA
VA
VA
NJ
NJ
NJ
NJ
IN
IN
IN
IN
MN
MN
CA
CA
NC
NC
NC
CA
CA
CA
CA
CA
VA
VA
VA
VA
VA
VA
VA
MI
MI
NJ
NJ
NJ
NJ
NJ
Date
12/19/2008
7/1/2016
4/17/2009
11/12/2010
12/23/2008
11/8/2012
11/9/2012
11/13/2012
1/11/2013
6/11/2013
4/3/2009
4/4/2012
2/6/2009
9/25/2013
12/12/2008
9/22/2011
5/15/2013
1/16/2009
2/15/2011
12/21/2012
8/6/2015
3/27/2009
9/22/2011
12/19/2008
9/22/2011
3/27/2009
8/7/2012
8/9/2012
8/10/2012
9/11/2012
4/3/2009
8/13/2010
2/27/2009
9/26/2012
4/3/2009
12/22/2009
11/29/2012
1/11/2013
11/21/2008
12/9/2009
12/30/2009
5/29/2009
9/1/2011
11/14/2008
6/17/2009
7/15/2009
8/7/2009
3/17/2015
1/30/2009
8/11/2011
11/14/2008
11/6/2009
11/14/2008
2/17/2010
3/31/2010
5/1/2009
12/18/2009
9/22/2011
12/29/2009
7/25/2012
10/2/2013
12/19/2008
11/18/2009
12/23/2009
2/20/2009
7/2/2014
9/26/2014
1/16/2009
6/19/2012
7/18/2012
12/23/2008
9/3/2010
5/13/2015
5/22/2009
7/3/2012
12/5/2008
3/26/2013
3/27/2013
3/28/2013
4/9/2013
6/10/2013
1/16/2009
12/15/2010
9/15/2011
12/5/2008
5/15/2013
7/3/2013
8/28/2013
5/22/2009
8/8/2013
8/12/2013
9/12/2013
6/19/2009
7/30/2010
2/6/2009
3/23/2016
12/23/2008
4/3/2013
10/16/2013
1/30/2009
3/21/2012
1/9/2009
10/21/2013
1/6/2014
12/12/2008
11/14/2012
2/20/2013
5/15/2013
8/14/2013
10/16/2013
11/13/2013
12/18/2009
9/22/2011
11/14/2008
6/3/2009
9/23/2009
12/23/2009
5/24/2010
Original Investment Type
Preferred Stock w/ Warrants
1
Original Investment Amount
$14,448,000.00
Outstanding Investment
$0.00
$3,800,000.00
$0.00
$16,641,000.00
$0.00
2
Total Cash Back
Investment Status*
$10,180,200.33 Sold, in full; warrants not outstanding
Amount
4
(Fee)
Shares
Avg. Price
(Realized Loss) / (Write-off)
5
Gain
Wt Amount
Wt Shares
$8,984,227.00
14,448
$621.83
$3,290,437.50
$1,580,962.50
$9,481,462.50
3,815
1,833
10,993
$862.50
$862.50
$862.50
$2,117,000.00
2,117
$1,000.00
$106,000.00
106
$4,000,000.00
4,000
$1,000.00
$200,000.00
200
$76,458,000.00
76,458
$1,000.00
$1,500,000.00
554,330
$500,000.00
$150,000.00
3,118
150,000
$160.36
$1.00
$3,700,000.00
3,700
$1,000.00
$185,000.00
185
$15,540,000.00
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
$750.25
$750.25
$750.25
$163,062.90
$1,300,776.05
$191,948.33
175
1,396
206
$1,150,000.00
1,150
$124,665.75
138
$10,000,000.00
1,647,931
$600,000.00
60
$139,000,000.00
Preferred Stock w/ Exercised Warrants
($5,463,773.00)
32,679,102
$586,953.92
2,512
$450,000.00
45
$223,208.00 Exited bankruptcy/Receivership
($3,800,000.00)
Preferred Stock w/ Warrants
$18,857,818.52 Sold, in full; warrants not outstanding
($524,562.50)
($252,037.50)
($1,511,537.50)
($143,528.63)
$1,301,856.00
Preferred Stock w/ Exercised Warrants
$2,117,000.00
$0.00
$4,000,000.00
$0.00
$5,210,672.22 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$76,458,000.00
$0.00
$88,577,166.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$3,268,000.00
$0.00
370,899
$2,569,490.36 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,412,702.03 Sold, in full; warrants outstanding
($2,618,000.00)
$1,570,287.00
Preferred Stock w/ Exercised Warrants
$3,700,000.00
$0.00
$4,386,324.64 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$15,540,000.00
$0.00
$18,653,115.75 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$35,539,000.00
$0.00
$34,644,476.74 Sold, in full; warrants not outstanding
($878,620.50)
($2,343,154.50)
($5,654,090.25)
($266,631.35)
Preferred Stock
$2,795,000.00
$0.00
$2,985,215.11 Redeemed, in full; warrants not outstanding
$23,000,000.00
$0.00
$28,642,402.33 Redeemed, in full; warrants not outstanding
$2,765,000.00
$4,237,000.00
$0.00
$2,795,000.00
$1,000.00
23,000
$1,000.00
$5,251,500.00
7,002
$750.00
$215,000,000.00
215,000
$1,000.00
$12,000,000.00
12,000
$1,000.00
$6,599,000,000.00
6,599,000
$1,000.00
$11,738,143.76
50,236
$233.66
$8,950,000.00
Preferred Stock w/ Warrants
2,795
$23,000,000.00
Preferred Stock w/ Exercised Warrants
8,950
$1,000.00
$6,496,417.16 Sold, in full; warrants not outstanding
($1,750,500.00)
($52,515.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$215,000,000.00
$0.00
$236,287,500.00 Redeemed, in full; warrants not outstanding
$12,000,000.00
$0.00
$14,075,133.27 Redeemed, in full; warrants not outstanding
$6,599,000,000.00
$0.00
$6,933,220,416.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$50,236,000.00
$0.00
$13,070,409.40 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$8,950,000.00
$0.00
$10,634,911.78 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$298,737,000.00
$0.00
Preferred Stock w/ Warrants
$214,181,000.00
$0.00
$232,156,554.58 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$3,194,000.00
$2,997,000.00
$0.00
$7,031,291.65 Redeemed, in full; warrants not outstanding
($38,497,856.24)
$7,509,920.07 Currently Not Collectible
($298,737,000.00)
$214,181,000.00
$4,500,000.00
Preferred Stock w/ Exercised Warrants
$0.00
$160,000.00
160
600
1,579
$1,000.00
$1,000.00
$65,000.00
65
59,000
$1,000.00
$450,000.00
$59,000,000.00
$1,000.00
$59,000,000.00
Preferred Stock w/ Warrants
$0.00
1,110,898
6,191
$600,000.00
$1,579,000.00
$2,179,000.00
$1,000.00
$6,191,000.00
Preferred Stock w/ Exercised Warrants
214,181
211,318
$138,607.85
435
$2,639,873.33 Redeemed, in full; warrants not outstanding
$62,145,972.22 Redeemed, in full; warrants not outstanding
$8,700,000.00
$0.00
$3,432,657.85 Sold, in full; warrants not outstanding
$20,600,000.00
$0.00
$20,315,924.72 Sold, in full; warrants not outstanding
$3,319,050.00
8,700
$381.50
($5,380,950.00)
20,600
$825.50
($3,594,700.00)
10,300
$1,000.00
($25,000.00)
Preferred Stock w/ Warrants
$17,005,300.00
($255,079.50)
$38,000.00
$10,300,000.00
$0.00
Subordinated Debentures w/ Exercised Warrants
$14,400,000.00
$0.00
$180,000,000.00
$0.00
111,258
$720,000.00
720,000
$11,182,763.89 Redeemed, in full; warrants not outstanding
$10,300,000.00
$18,882,079.62 Redeemed, in full; warrants not outstanding
$14,400,000.00
14,400,000
$1.00
$1,516,900.00
$12,587,575.00
$159,145,525.00
1,576
13,078
165,346
$962.50
$962.50
$962.50
$3,000,000.00
$2,658,000.00
3,000
2,658
$1,000.00
$1,000.00
$10,324,000.00
$10,325,000.00
10,324
10,325
$1,000.00
$1,000.00
$237,527.50
$9,168,561.50
Preferred Stock w/ Warrants
311,492
$10,125.00
Preferred Stock w/ Warrants
250
9,650
$950.11
$950.11
11,926,000
$1.00
$210,367,527.00 Sold, in full; warrants not outstanding
($59,100.00)
($490,425.00)
($6,200,475.00)
($1,732,500.00)
$6,677.00
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$5,658,000.00
$20,649,000.00
$9,900,000.00
$0.00
$0.00
$0.00
219,908
$283,000.00
283
$2,707,314.00
Preferred Stock w/ Exercised Warrants
764,778
$476,573.62
495
143
$6,649,963.92 Redeemed, in full; warrants not outstanding
$28,013,814.50 Redeemed, in full; warrants not outstanding
$12,066,668.65 Sold, in full; warrants not outstanding
($12,472.50)
($481,438.50)
($94,060.89)
Subordinated Debentures
$11,926,000.00
$0.00
$12,948,886.40 Redeemed, in full; warrants not outstanding
$11,926,000.00
Preferred Stock w/ Exercised Warrants
$2,861,000.00
$0.00
$3,465,216.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$12,916,040.83 Redeemed, in full; warrants not outstanding
$2,861,000.00
$1,000.00
$385,000.00
385
5,500
$417.60
$45,815.25
275
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
$0.00
500
7,700
344,742
1,300
$1,000.00
$65,000.00
65
$75,000,000.00
$125,000,000.00
$100,000,000.00
75,000
125,000
100,000
$1,000.00
$1,000.00
$1,000.00
$5,421,615.27
2,532,542
$9,403,400.50 Redeemed, in full; warrants not outstanding
$2,947,090.75 Sold, in full; warrants not outstanding
$16,019,000.00
$500,000.00
$1,300,000.00
$0.00
$0.00
$143,000.00
$1,000.00
$1,000.00
$1,600,000.00
$1,600,000.00
$1,600,000.00
$1,600,000.00
$9,619,000.00
$7,700,000.00
$5,500,000.00
$1,000.00
7,742
2,258
$7,700,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
2,861
$7,742,000.00
$2,258,000.00
$2,296,800.00
($3,203,200.00)
($25,000.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$21,311,670.48 Redeemed, in full; warrants not outstanding
$1,300,000.00
$0.00
$1,489,774.73 Redeemed, in full; warrants not outstanding
$300,000,000.00
$0.00
$318,400,781.94 Redeemed, in full; warrants not outstanding
Footnote
8,41,44
11
8,17
8,11,14
8,14,45
8,11,17
11
11,16
11
8,18,21,44
8,17
11
11
11
11
11
44
8,117
8,14,18
8,11,78
8
11
11
8,14
8,14,45
11
Institution Name
VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY)
VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY)
VILLAGE BANK AND TRUST FINANCIAL CORP.
VILLAGE BANK AND TRUST FINANCIAL CORP.
VILLAGE BANK AND TRUST FINANCIAL CORP.
VIRGINIA COMMERCE BANCORP, INC.
VIRGINIA COMMERCE BANCORP, INC.
VIRGINIA COMMERCE BANCORP, INC.
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.
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 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
WHITE RIVER BANCSHARES COMPANY
WHITE RIVER BANCSHARES COMPANY
WHITE RIVER BANCSHARES COMPANY
WHITNEY HOLDING CORPORATION
WHITNEY HOLDING CORPORATION
WILMINGTON TRUST CORPORATION / M&T BANK CORPORATION
WILMINGTON TRUST CORPORATION / M&T BANK 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 FINANCIAL CORPORATION
YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION
YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION
YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION
YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION
YORK TRADITIONS BANK
YORK TRADITIONS BANK
ZIONS BANCORPORATION
ZIONS BANCORPORATION
ZIONS BANCORPORATION
ZIONS BANCORPORATION
City
DALLAS
DALLAS
MIDLOTHIAN
MIDLOTHIAN
MIDLOTHIAN
ARLINGTON
ARLINGTON
ARLINGTON
NEWPORT NEWS
NEWPORT NEWS
NEWPORT NEWS
NEWPORT NEWS
RICHARDSON
RICHARDSON
RICHARDSON
WYOMISSING
WYOMISSING
SPOKANE
SPOKANE
CLINTON
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
PALM DESERT
MONMOUTH
MONMOUTH
MONMOUTH
MONMOUTH
MONMOUTH
MEDINA
MEDINA
FAYETTEVILLE
FAYETTEVILLE
FAYETTEVILLE
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
SALT LAKE CITY
SALT LAKE CITY
State
TX
TX
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
TX
TX
TX
PA
PA
WA
WA
MA
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
CA
IL
IL
IL
IL
IL
OH
OH
AR
AR
AR
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
UT
UT
Date
6/26/2009
8/25/2011
5/1/2009
11/19/2013
1/6/2014
12/12/2008
12/11/2012
1/31/2014
6/12/2009
8/8/2013
8/12/2013
9/12/2013
4/24/2009
12/28/2012
7/10/2013
12/19/2008
8/1/2012
1/30/2009
9/15/2011
12/11/2009
4/4/2012
1/30/2013
4/23/2014
12/19/2008
11/24/2009
12/16/2009
1/16/2009
1/12/2011
3/2/2011
11/14/2008
5/27/2009
3/15/2010
1/30/2009
10/30/2009
8/4/2011
6/26/2009
2/6/2013
2/7/2013
2/8/2013
3/26/2013
11/21/2008
3/3/2010
10/13/2010
12/29/2010
6/8/2011
10/28/2008
12/23/2009
5/26/2010
12/5/2008
9/9/2009
12/23/2009
12/31/2008
6/29/2011
8/31/2011
2/13/2009
9/2/2009
11/18/2009
11/21/2011
11/21/2008
9/27/2011
11/23/2011
12/23/2008
11/7/2014
12/23/2008
12/29/2009
11/8/2012
11/9/2012
1/11/2013
5/15/2009
11/30/2012
2/20/2009
7/1/2014
7/2/2014
9/26/2014
12/19/2008
6/3/2011
12/12/2008
5/13/2011
12/12/2008
4/3/2012
6/20/2012
12/19/2008
12/22/2010
2/14/2011
5/15/2009
6/24/2013
7/26/2013
1/23/2009
4/3/2012
9/12/2012
1/16/2009
7/24/2009
9/18/2012
6/10/2013
6/11/2013
4/24/2009
7/14/2011
11/14/2008
3/28/2012
9/26/2012
12/5/2012
Original Investment Type
Preferred Stock w/ Exercised Warrants
1
Original Investment Amount
$3,000,000.00
Outstanding Investment
$0.00
$14,738,000.00
$0.00
2
Total Cash Back
Investment Status*
$3,503,795.81 Redeemed, in full; warrants not outstanding
Amount
4
(Fee)
$3,000,000.00
Shares
Avg. Price
(Realized Loss) / (Write-off)
5
Gain
Wt Amount
Wt Shares
3,000
$1,000.00
14,738
$384.88
$71,000,000.00
71,000
$1,000.00
$325,353.86
$2,543,620.14
$150,000.00
150
$33,263,000.00
533
4,167
$610.42
$610.42
$787,500.00
$712,500.00
788
713
$1,000.00
$1,000.00
$75,000.00
75
$25,000,000.00
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
$5,000,000.00
3,000
4,000
5,000
$1,000.00
$1,000.00
$1,000.00
$478,000.00
478
$22,000,000.00
22,000
$1,000.00
$568,700.00
390,071
$26,380,000.00
Preferred Stock w/ Warrants
2,696,203
$63,481.25
143
26,380
$1,000.00
$6,933,870.05 Sold, in full; warrants outstanding
$5,672,361.44
($9,065,638.56)
($56,723.61)
Preferred Stock w/ Warrants
$71,000,000.00
$0.00
$4,700,000.00
Preferred Stock w/ Exercised Warrants
$0.00
$118,453,138.89 Redeemed, in full; warrants not outstanding
$3,694,442.50 Sold, in full; warrants not outstanding
($207,646.14)
($1,623,379.86)
($25,000.00)
Preferred Stock w/ Exercised Warrants
$1,500,000.00
Preferred Stock w/ Warrants
$0.00
$1,898,258.59 Redeemed, in full; warrants not outstanding
$25,000,000.00
$0.00
$30,710,646.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$110,000,000.00
$0.00
$131,236,874.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,000,000.00
$0.00
$14,731,826.23 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$22,000,000.00
Preferred Stock w/ Warrants
$26,380,000.00
$0.00
$0.00
$23,592,311.11 Redeemed, in full; warrants not outstanding
$30,628,344.45 Redeemed, in full; warrants not outstanding
$1,625,000.00
$200,000,000.00
$0.00
$6,633,000.00
$6,842,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$5,625,000.00
$0.00
1,707,456
$220,749,985.18 Redeemed, in full; warrants not outstanding
$200,000,000.00
Preferred Stock w/ Warrants
246,082
$15,388,874.07
Preferred Stock w/ Warrants
200,000
$1,000.00
$15,317,317.86 Redeemed, in full; warrants not outstanding
$13,475,000.00
13,475
$1,000.00
$4,831,002.80
$92,690.00
$290,119.70
5,212
100
313
$926.90
$926.90
$926.90
$100,000,000.00
$100,000,000.00
$200,000,000.00
100,000
100,000
200,000
$1,000.00
$1,000.00
$1,000.00
$25,000,000,000.00
25,000
$1,000,000.00
$75,000,000.00
75,000
$332,000.00
332
$18,644.66
$147,194.69
19
150
$20,388,842.06
3,282,276
$1,000.00
$840,374,891.73
110,261,688
$950,000.00
439,282
$700,000.00
474,100
$6,398,893.44 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
Preferred Stock w/ Warrants
$25,000,000,000.00
Preferred Stock w/ Warrants
$75,000,000.00
Preferred Stock w/ Warrants
$36,000,000.00
$0.00
$0.00
$0.00
$0.00
$457,333,286.51 Redeemed, in full; warrants not outstanding
$27,281,347,113.95 Redeemed, in full; warrants not outstanding
$78,804,166.67 Redeemed, in full; warrants not outstanding
$41,195,000.00 Redeemed, in full; warrants not outstanding
$36,000,000.00
Preferred Stock w/ Warrants
$83,726,000.00
$0.00
36,000
$1,000.00
$87,360,236.61 Redeemed, in full; warrants not outstanding
$41,863,000.00
$41,863,000.00
41,863
41,863
$1,000.00
$1,000.00
$140,000,000.00
140,000
$1,000.00
$878,256.00
$140,000,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$7,290,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$6,855,000.00
$4,567,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$4,700,000.00
$0.00
246,698
$415,000.00
Preferred Stock w/ Warrants
787,107
$335,417.06
343
$160,365,000.00 Redeemed, in full; warrants not outstanding
$554,083.00 Currently Not Collectible
($7,290,000.00)
$13,053,910.87 Sold, in full; warrants not outstanding
$1,050,524.72
$9,673,015.37
1,117
10,305
$940.49
$938.67
$4,700,000.00
4,700
$1,000.00
$1,300,000.00
$15,500,000.00
1,300
15,500
($66,475.28)
($631,984.63)
$1,063.21
$1,063.21
($107,235.41)
Preferred Stock w/ Exercised Warrants
$16,800,000.00
$0.00
$5,842,197.92 Redeemed, in full; warrants not outstanding
$235,000.00
235
$1,002,535.38
840
$6,900,000.00
2,631,579
$20,275,427.10 Sold, in full; warrants not outstanding
$82,173.00
$979,755.00
($178,619.28)
Preferred Stock w/ Warrants
$300,000,000.00
$0.00
$343,733,333.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$330,000,000.00
$0.00
$369,920,833.33 Redeemed, in full; warrants outstanding
Preferred Stock w/ Warrants
$62,158,000.00
$0.00
Preferred Stock w/ Warrants
$250,000,000.00
$0.00
$300,000,000.00
300,000
$1,000.00
$330,000,000.00
330,000
$1,000.00
$68,809,170.52 Sold, in full; warrants not outstanding
$58,646,694.58
($879,700.42)
62,158
$943.51
250,000
$1,000.00
($3,511,305.42)
$760,000.00
1,643,295
$90,940.00
136
$1,800,000.00
$250,000,000.00
Preferred Stock w/ Exercised Warrants
949,460
$25,600,564.15
175,105
$300,704,730.81 Redeemed, in full; warrants not outstanding
$2,720,000.00
$0.00
$2,780,391.21 Sold, in full; warrants not outstanding
$52,625,000.00
$0.00
$57,640,856.64 Sold, in full; warrants not outstanding
2,720
$861.71
($376,148.80)
$48,157,663.75
$2,343,851.20
($722,364.96)
52,625
$915.11
($4,467,336.25)
$44,149,056.00
($662,235.84)
49,312
$895.30
($5,162,944.00)
$4,871,000.00
4,871
$1,000.00
$700,000,000.00
$700,000,000.00
700,000
700,000
$1,000.00
$1,000.00
($24,999.99)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$36,000,000.00
$13,312,000.00
$0.00
$52,383,419.85 Sold, in full; warrants not outstanding
$55,677.00
$20,000.00
Preferred Stock w/ Exercised Warrants
$4,871,000.00
Preferred Stock w/ Warrants
$1,400,000,000.00
TOTALS
$204,894,726,320.00
$0.00
$0.00
$202,702,724.29
91,178
128,663
$244,000.00
244
$7,666,418.51
$8,065,534,497.60
5,789,909
$5,705,022.14 Redeemed, in full; warrants not outstanding
$1,661,027,529.62 Redeemed, in full; warrants not outstanding
$226,676,679,102.83
$199,590,616,290.79
($38,027,858.19)
($5,101,407,304.92) $6,907,490,828.42
Footnote
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.
1
2
3
4
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.
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.
Footnote
Footnote Description
22 As of the date of this report, this institution is in bankruptcy proceedings.
23 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.
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.
Footnote
Footnote Description
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.
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.
Footnote
Footnote Description
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.
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.
Footnote
Footnote Description
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.
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.
Footnote
Footnote Description
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.
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.
Footnote
Footnote Description
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/financialstability/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.
100 On 12/13/2013, Texas Community Bank, National Association, The Woodlands, Texas, the banking subsidiary of TCB Holding Company, was closed by the Office of the Comptroller of the
Currency, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
101 As a result of a reincorporation merger of Community Bankers Trust Corporation, a Delaware corporation (CBTC Delaware) into Community Bankers Trust Corporation, a Virginia corporation
(CBTC Virginia), the outstanding preferred stock and warrant issued by CBTC Delaware were exchanged for a like amount of securities issued by CBTC Virginia, pursuant to the terms of an
agreement among Treasury, CBTC Delaware and CBTC Virginia entered into on 1/1/14.
102 On 10/15/13, Treasury entered into a securities purchase agreement with First-Citizens Bank & Trust Company (FCBTC) and 1st Financial Services Corporation (FFSC) pursuant to which
Treasury agreed to sell to FCBTC the CPP preferred stock and warrant issued by FFSC, subject to the conditions specified in such agreement. The sale was completed on 12/31/2013.
103 On 1/31/2014, Syringa Bank, Boise, Idaho, the banking subsidiary of Syringa Bancorp, was closed by the Idaho Department of Finance, which appointed the Federal Deposit Insurance
Corporation (FDIC) as receiver.
104 On 4/1/2014, pursuant to the terms of the merger of Alaska Pacific Bancshares, Inc. with Northrim Bancorp, Inc., Treasury received $2,370,908.26 for the warrants that had been issued to
Treasury by Alaska Pacific Bancshares, Inc.
105 On 4/18/2014, Treasury entered into an agreement with Bank of the Carolinas Corporation (“BCAR”) pursuant to which Treasury agreed to sell its CPP preferred stock and warrant back to
BCAR at a discount subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 7/16/2014.
106 On 4/24/2014, Treasury sold all of its preferred stock issued by Bankers’ Bank of the West Bancorp, Inc. (BBW) to private investors for total proceeds of $13.5million, pursuant to securities
purchase agreements dated as of April 21, 2014. BBW paid all accrued and unpaid dividends on the preferred stock as of April 24, 2014.
107 On 4/25/2014, Treasury entered into a securities purchase agreement with Provident Community Bankshares, Inc. (PCBS) and Park Sterling Corporation (Park Sterling) pursuant to which
Treasury agreed to sell to Park Sterling the CPP preferred stock and warrant issued by PCBS, subject to the conditions specified in such agreement. The sale was completed on 4/30/2014.
108 On 4/24/2014, Idaho Bancorp filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Idaho. On 11/25/2014, the bankruptcy court for the District of Idaho confirmed
Idaho Bancorp’s amended plan of reorganization. On 8/5/2015 and 9/29/2015, UST received net distributions of $427,844.29 and $3,522.87, respectively, from Idaho Bancorp (after payment
to the Department of Justice of a 3% litigation fee).
Footnote Description
Footnote
109 On 4/30/2014, Treasury completed the exchange of its Northern States Financial Corporation preferred stock for common stock, pursuant to an exchange agreement, dated as of 4/29/2014,
with Northern States Financial Corporation, and immediately sold the resulting Northern States Financial Corporation common stock, pursuant to securities purchase agreements, each dated
as of 4/29/14, with Blue Pine Financial Opportunities Fund II, LP, EJF Sidecar Fund, Series LLC, Endeavour Regional Bank Opportunities Fund L.P., Endeavour Regional Bank Opportunities
Fund II L.P., Hot Creek Investors, L.P.,JCSD Partners, LP, and PRB Investors, LP.
110 On 5/23/2014 Treasury completed the sale of its CommunityOne Bancorp common stock in an underwritten public offering.
111 On 5/30/2014, Treasury entered into a securities purchase agreement with Highlands Independent Bancshares, Inc. ("Highlands") and HCBF Holding Company, Inc. ("HCBF") pursuant to
which Treasury agreed to sell to HCBF the CPP preferred stock issued by Highlands, subject to the conditions specified in such agreement. The sale was completed on 10/24/2014.
112 On 6/30/2014, BCB Holding Company, Inc. (the “Institution”) repurchased their preferred and warrant preferred shares from Treasury and funds were wired from the Institution to the Bank of
New York Mellon (BNYM) for the benefit of Treasury. The repurchase was finalized after the close of business on 6/30/14 and the funds were subsequently transferred from BNYM to
Treasury on 7/1/2014.
113 On 8/28/2014, Treasury entered into an agreement with Central Bancorp, Inc. and Hanmi Financial Corporation, in connection with a merger, pursuant to which Treasury agreed to sell its
Central Bancorp, Inc. CPP preferred stock (including warrant preferred stock) to Hanmi Financial Corporation for (i) $23,625,000, plus (ii) all accrued and unpaid dividends, subject to the
satisfaction of the conditions specified in the agreement. The sale was completed on 8/29/2014.
114 On 10/17/2014, Treasury completed the exchange of its Regent Bancorp, Inc. preferred stock and warrant-preferred stock for common stock, pursuant to an exchange agreement, dated as
of 10/16/2014, with Regent Bancorp, Inc., and immediately sold the resulting Regent Bancorp, Inc. common stock to purchasers pursuant to securities purchase agreements dated as of
10/16/2014.
115 On 10/30/2014, Treasury entered into an agreement with Columbia Banking System, Inc. (Columbia) pursuant to which Treasury agreed to sell its warrant in Intermountain Community
Bancorp to Columbia subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 10/31/2014.
116 The subsidiary bank of Rising Sun Bancorp, NBRS Financial, was closed by the Maryland Office of the Commissioner of Financial Regulation, and the FDIC was named Receiver on Friday,
10/17/2014.
117 The subsidiary bank of Western Community Bancshares, Inc., Frontier Bank, was closed by the Office of the Comptroller of the Currency, and the FDIC was named Receiver on Friday,
11/7/2014.
118 On 9/8/2014, Treasury gave Credit Suisse Securities (USA) LLC discretionary authority, as its sales agent, to sell subject to certain parameters shares of common stock from time to time
during the period ending on 12/7/2014. Completion of the sale under this authority occurred on December 5, 2014.
119 On 12/10/2014, Treasury sold all of its preferred stock issued by NCAL Bancorp to purchasers for total proceeds of $3.9 million, pursuant to a securities purchase agreement dated as of
November 25, 2014.
120 As a result of the merger of Farmers & Merchants Bancshares, Inc. into Allegiance Bancshares, Inc., the outstanding preferred stock and warrant preferred stock issued by Farmers &
Merchants Bancshares, Inc. was exchanged for a like amount of securities issued by Allegiance Bancshares, Inc., pursuant to the terms of an agreement among Treasury, Farmers &
Merchants Bancshares, Inc. and Allegiance Bancshares, Inc., entered into on 1/1/2015.
121 On 12/11/2014, Treasury gave Credit Suisse Securities (USA) LLC discretionary authority, as its sales agent, to sell subject to certain parameters shares of common stock from time to time
during the period ending on 3/8/2015. Completion of the sale under this authority occurred on 3/6/2015.
122 On 03/17/2015, Treasury sold all of its preferred stock issued by U.S. Century Bank to purchasers for total proceeds of $12.3 million, pursuant to a securities purchase agreement dated as of
March 17, 2015.
123 On 7/15/2015, Treasury entered into an agreement with Suburban Illinois Bancorp, Inc. (Suburban), pursuant to which Treasury agreed to sell its CPP senior subordinated securities to
Suburban for (i) $15,750,000, plus (ii) all accrued and unpaid dividends through 4/1/2015 subject to the conditions specified in such agreement. This transaction was in conjunction with a
merger between Suburban and Wintrust Financial Corporation. The sale was completed on 7/16/2015.
124 On 8/4/2015, Treasury entered into an agreement with City National Bancshares Corporation (the “Company”) pursuant to which Treasury agreed to sell its CPP preferred stock back to the
Company at a discount subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 8/7/2015.
Footnote Description
Footnote
125 On 3/4/2011, Treasury completed the sale to Community Bancorp LLC (“CBC”) of all Preferred Stock and Warrants issued by Cadence Financial Corporation (“Cadence”) to Treasury for an
aggregate purchase price of $39,014,062.50, pursuant to the terms of the agreement between Treasury and CBC entered into on 10/29/2010.
126 On 8/27/2015, Treasury entered into an agreement with Patapsco Bancorp, Inc. and Howard Bancorp, Inc., in connection with a merger pursuant to which Treasury agreed to sell its Patapsco
Bancorp, Inc. CPP preferred stock (including warrant preferred stock) to Howard Bancorp, Inc. for (i) $6,300,000, plus (ii) all accrued and unpaid dividends, subject to the satisfaction of the
conditions specified in the agreement. The sale was completed on 8/28/2015.
127 On 9/18/2015, Treasury entered into an agreement with Goldwater Bank, N.A. and Kent Wiechert, pursuant to which Treasury agreed to sell all of its CPP preferred stock issued by Goldwater
Bank, N.A.to Wiechert for total proceeds of $1,348,000 subject to the satisfaction of conditions specified in the agreement. The sale was completed on 9/21/2015.
128 On 10/2/2015, Treasury completed the exchange of its Capital Commerce Bancorp, Inc. preferred stock and warrant-preferred stock for common stock pursuant to an exchange agreement
of the same date with Capital Commerce Bancorp, Inc. The consideration for that exchange included accrued and unpaid dividends through June 30, 2015. As part of the exchange
transaction, Treasury immediately sold the resulting Capital Commerce Bancorp, Inc. common stock to purchasers pursuant to securities purchase agreements, each dated as of 10/2/2015,
with the purchaser parties thereto.
129 On 11/13/2015, Treasury received $3.88 million from the Department of Justice as a payment related to the United States’ $4.00 million False Claims Act action against the estate and trusts
of the late Layton P. Stuart, former owner, president, and Chief Executive Officer of One Financial Corporation.
130 On 12/23/2015, Treasury completed the exchange of its CalWest Bancorp preferred stock and warrant-preferred stock for common stock pursuant to an exchange agreement of the same
date with CalWest Bancorp. As part of that transaction, Treasury immediately sold the resulting CalWest Bancorp common stock to purchasers pursuant to securities purchase agreements,
each dated as of 12/23/2015, with the purchaser parties thereto.
131 On 2/29/2016, Treasury entered into an agreement with HCSB (the “Company”) pursuant to which Treasury agreed to sell its CPP preferred stock back to the Company at a discount subject
to the satisfaction of the conditions specified in the agreement. The sale was completed on 4/11/2016.
132 Sonoma Valley Bancorp was liquidated and dissolved pursuant to the provision of the California Corporations Code. As part of that liquidation and dissolution, UST received a distribution of
$150,000 from Sonoma Valley Bancorp on 6/15/2016.
133 On 6/30/2016, Treasury completed the exchange of its Liberty Shares, Inc. preferred stock and warrant-preferred stock for common stock pursuant to an exchange agreement of the same
date with Liberty Shares, Inc. As part of that transaction, Treasury immediately sold the resulting Liberty Shares, Inc. common stock to purchasers pursuant to securities purchase
agreements, each dated as of 6/30/2016, with the purchaser parties thereto.
134 On 7/1/2016, Treasury completed the sale to United Community Banks, Inc. (UCBI) of all of its CPP preferred stock and associated warrants issued by Tidelands Bancshares, Inc.
(Tidelands) to UCBI for total proceeds of $8,984,227 subject to the satisfaction of conditions specified in the agreement. This transaction was in conjunction with a merger between Tidelands
and UCBI.
135 On 6/28/2016, the United States completed a settlement of several lawsuits related to Treasury’s investment in One Financial Corporation (OFC). As a result of that settlement, it received
344,227 shares of OFC common stock on 6/23/2016.
136 On December 21, 2016, Treasury entered into an agreement with Broadway Financial Corporation, First Republic Bank, and Broadway Federal Bank, f.s.b Employee Ownership Trust,
pursuant to which Treasury agreed to sell part of its CPP common stock to the three entities for total proceeds of $7,477,547 subject to the satisfaction of conditions specified in the
agreement. The transaction was completed on December 22, 2016.
CAPITAL PURCHASE PROGRAM - CITIGROUP, INC.
COMMON STOCK DISPOSITION
Date
4/26/2010 5/26/2010
5/26/2010 6/30/2010
7/23/2010 9/30/2010
10/19/2010 12/6/2010
Pricing Mechanism
6
Number of Shares
Proceeds
7
1
$4.1217
1,500,000,000 $
6,182,493,158
$3.8980
1,108,971,857 $
4,322,726,825
$3.9090
1,500,000,000 $
5,863,489,587
$4.2609
1,165,928,228 $
4,967,921,811
$4.3500
2,417,407,607 $
10,515,723,090
2
3
4
5
12/6/2010
Total Proceeds:
$31,852,354,471
1/ On April 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occurred on May 26, 2010.
2/ On May 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occurred on June 30, 2010.
3/ On July 23, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common stock
from time to time during the period ending on September 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occured on September 30, 2010.
4/ On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on December 31, 2010 (or upon completion of the sale), which plan was terminated on December 6, 2010.
5/ On December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. Closing of the offering is subject to the fulfillment of certain closing conditions.
6/ The price set forth is the weighted average price for all sales of Citigroup, Inc. common stock made by Treasury over the course of the corresponding period.
7/ Amount represents the gross proceeds to Treasury.
*Investment Status Definition Key
COMMUNITY DEVELOPMENT CAPITAL INITIATIVE
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
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)
In full – all of Treasury’s investment amount
In part – part of the investment is no longer held by Treasury, but some remains
Capital Repayment / Disposition / Auction
Footnote
8
8
8
3,4,14
8,11
8
8
8
8,10
8
3,6
20
3,5
3,12
3,4
21
8
8
3
3,8
3,8
8
3,8
3,17
8
8
8
3,8
3,4
3
8
Institution Name
Alternatives Federal Credit Union
American Bancorp of Illinois, Inc.
Atlantic City Federal Credit Union
Atlantic City Federal Credit Union
Bainbridge Bancshares, Inc.
Bainbridge Bancshares, Inc.
Bainbridge Bancshares, Inc.
Bancorp of Okolona, Inc.
Bancorp of Okolona, Inc.
BancPlus Corporation
BancPlus Corporation
BankAsiana
BankAsiana
Bethex Federal Credit Union
Bethex Federal Credit Union
Border Federal Credit Union
Border Federal Credit Union
Brewery Credit Union
Brewery Credit Union
Brooklyn Cooperative Federal Credit Union
Buffalo Cooperative Federal Credit Union
Butte Federal Credit Union
Butte Federal Credit Union
Carter Federal Credit Union
Carter Federal Credit Union
Carver Bancorp, Inc
CFBanc Corporation
CFBanc Corporation
Citizens Bancshares Corporation
Citizens Bancshares Corporation
Community Bancshares of Mississippi, Inc.
Community Bancshares of Mississippi, Inc.
Community Bank of the Bay
Community First Guam Federal Credit Union
Community Plus Federal Credit Union
Community Plus Federal Credit Union
Cooperative Center Federal Credit Union
D.C. Federal Credit Union
East End Baptist Tabernacle Federal Credit Union
Episcopal Community Federal Credit Union
Fairfax County Federal Credit Union
Faith Based Federal Credit Union
Faith Based Federal Credit Union
Fidelis Federal Credit Union
Fidelis Federal Credit Union
First American International Corp.
First Choice Bank
First Choice Bank
First Eagle Bancshares, Inc.
First Eagle Bancshares, Inc.
First Legacy Community Credit Union
First Legacy Community Credit Union
First M&F Corporation
First M&F Corporation
First Vernon Bancshares, Inc.
First Vernon Bancshares, Inc.
Freedom First Federal Credit Union
Freedom First Federal Credit Union
Gateway Community Federal Credit Union
Gateway Community Federal Credit Union
Genesee Co-op Federal Credit Union
Greater Kinston Credit Union
Greater Kinston Credit Union
Guaranty Capital Corporation
Guaranty Capital Corporation
Hill District Federal Credit Union
Hope Federal Credit Union
IBC Bancorp, Inc.
IBW Financial Corporation
Independent Employers Group Federal Credit Union
Independent Employers Group Federal Credit Union
City
Ithaca
Oak Brook
Lander
Lander
Bainbridge
Bainbridge
Bainbridge
Okolona
Okolona
Ridgeland
Ridgeland
Palisades Park
Palisades Park
Bronx
Bronx
Del Rio
Del Rio
Milwaukee
Milwaukee
Brooklyn
Buffalo
Biggs
Biggs
Springhill
Springhill
New York
Washington
Washington
Atlanta
Atlanta
Brandon
Brandon
Oakland
Hagatna
Rantoul
Rantoul
Berkeley
Washington
Bridgeport
Los Angeles
Fairfax
Oceanside
Oceanside
New York
New York
Brooklyn
Cerritos
Cerritos
Hanover Park
Hanover Park
Charlotte
Charlotte
Kosciusko
Kosciusko
Vernon
Vernon
Roanoke
Roanoke
Missoula
Missoula
Rochester
Kinston
Kinston
Belzoni
Belzoni
Pittsburgh
Jackson
Chicago
Washington
Hilo
Hilo
State
NY
IL
WY
WY
GA
GA
GA
MS
MS
MS
MS
NJ
NJ
NY
NY
TX
TX
WI
WI
NY
NY
CA
CA
LA
LA
NY
DC
DC
GA
GA
MS
MS
CA
GU
IL
IL
CA
DC
CT
CA
VA
CA
CA
NY
NY
NY
CA
CA
IL
IL
NC
NC
MS
MS
AL
AL
VA
VA
MT
MT
NY
NC
NC
MS
MS
PA
MS
IL
DC
HI
HI
Date
9/24/2010
9/17/2010
9/24/2010
9/26/2012
9/24/2010
9/10/2014
1/7/2015
9/29/2010
3/13/2013
9/29/2010
10/18/2016
9/29/2010
10/1/2013
9/29/2010
11/18/2015
9/29/2010
10/15/2014
9/24/2010
10/3/2012
9/30/2010
9/24/2010
9/24/2010
12/31/2014
9/29/2010
2/6/2013
8/27/2010
9/17/2010
12/20/2016
8/13/2010
9/17/2010
9/29/2010
10/11/2016
9/29/2010
9/24/2010
9/29/2010
12/20/2016
9/24/2010
9/29/2010
9/29/2010
9/29/2010
9/24/2010
9/29/2010
8/19/2015
9/29/2010
10/14/2015
8/13/2010
9/24/2010
5/1/2013
9/17/2010
3/25/2016
9/29/2010
4/2/2014
9/29/2010
8/30/2013
9/29/2010
11/29/2016
9/29/2010
6/12/2013
9/24/2010
10/17/2012
9/17/2010
9/29/2010
4/10/2012
7/30/2010
12/21/2016
9/29/2010
9/17/2010
9/10/2010
9/3/2010
9/29/2010
11/18/2015
Original Investment Type1
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Exchange From CPP
Original Investment Amount
$2,234,000.00
$5,457,000.00
$2,500,000.00
Outstanding Investment
$2,234,000.00
$5,457,000.00
$0.00
$3,372,000.00
$0.00
Total Cash Back2
Investment Status*
$274,409.67 Full investment outstanding
$1,042,256.68 Full investment outstanding
$2,600,277.77 Redeemed, in Full
Amount
(Fee)
Shares
Avg. Price
$2,500,000.00
Subordinated Debentures
$3,297,000.00
$0.00
$30,514,000.00
$0.00
2,500,000
$1.00
$2,372,000.00
$1,000,000.00
Preferred Stock
2,372
1,000
$1,000.00
$1,000.00
$3,645,637.33 Redeemed, in Full
$3,547,974.96 Redeemed, in Full
$3,297,000.00
Preferred Stock
$5,250,000.00
$0.00
$1.00
80,914
$930.00
$5,250,000.00
$50,400,000.00
3,297,000
$75,250,020.00
Preferred Stock
(Realized Loss) / (Write-off)
5,250
$1,000.00
$85,045,109.22 Sold, in full
($5,663,980.00)
$5,565,583.34 Redeemed, in Full
Subordinated Debentures
$502,000.00
$0.00
$553,566.56 Redeemed, in Full
Subordinated Debentures
$3,260,000.00
$0.00
$3,523,697.78 Redeemed, in Full
$502,000.00
$3,800,000.00
Common Stock
Preferred Stock
$18,980,000.00
Preferred Stock
$7,462,000.00
$1.00
5,781
$960.00
($231,240.00)
54,600
$930.00
($3,822,000.00)
450,000
$0.92
($35,000.00)
$1,140,388.00 Redeemed, in Full
$36,750.00 Full investment outstanding
$17,810.83 Full investment outstanding
$1,085,388.88 Redeemed, in Full
$3,083,350.00 Redeemed, in part
$18,980,000.00
$0.00
$446,512.41 Full investment outstanding
$6,273,348.50 Sold, in full
$11,841,000.00
$5,781,000.00
$1.00
2,500,000
$415,000.00
$6,300,000.00
1,000,000
$50,778,000.00
Subordinated Debentures
$1.00
$5,549,760.00
$300,000.00
$145,000.00
$0.00
1,096,000
$2,500,000.00
$0.00
$300,000.00
$145,000.00
$1,000,000.00
$1.00
$1,000,000.00
$1,096,000.00
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
$1.00
3,260,000
$1,096,000.00
Subordinated Debentures
502,000
$3,260,000.00
$1,473,169.22 Full investment outstanding
$4,379,000.00
Preferred Stock
Preferred Stock
Subordinated Debentures
Subordinated Debentures
$54,600,000.00
$1,747,000.00
$0.00
$57,366,400.00 Sold, in full
$2,313,000.00
$2,650,000.00
$450,000.00
$4,060,000.00
$2,650,000.00
$0.00
$477,275.56 Full investment outstanding
$325,508.33 Full investment outstanding
$471,025.00 Sold, in full
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
$2,799,000.00
$1,522,000.00
$7,000.00
$100,000.00
$8,044,000.00
$30,000.00
$2,799,000.00
$1,522,000.00
$7,000.00
$100,000.00
$8,044,000.00
$0.00
$343,810.50
$186,529.56
$857.89
$12,255.56
$988,071.33
$32,933.34
Subordinated Debentures
$14,000.00
$0.00
Full investment outstanding
Full investment outstanding
Full investment outstanding
Full investment outstanding
Full investment outstanding
Redeemed, in Full
$30,000.00
Preferred Stock
$30,000,000.00
$0.00
$6,245,000.00
Subordinated Debentures
$0.00
$1.00
30,000
$1,000.00
6,245
$920.00
9,278,000
$1.00
1,657,000
$1.00
$2,142,975.79 Full investment outstanding
$5,413,877.89 Redeemed, in Full
$9,223,112.50 Redeemed, in Full
$1,070,166.67 Redeemed, in Full
$31,751,666.67 Redeemed, in Full
$0.00
$9,278,000.00
$1.00
$1,657,000.00
Preferred Stock
$1,000,000.00
1,000,000
$9,278,000.00
Subordinated Debentures
$1,000.00
$5,745,400.00
$0.00
5,146
$30,000,000.00
$7,875,000.00
7,875,000
$1,000,000.00
$17,000,000.00
$0.00
$1.00
$7,875,000.00
Subordinated Debentures
$17,000,000.00
$5,146,000.00
$1.00
14,000
$5,146,000.00
Preferred Stock
Preferred Stock
30,000
$14,000.00
$15,411.67 Redeemed, in Full
$6,528,523.06 Sold, in full
$0.00
$9,779,527.44 Redeemed, in Full
Subordinated Debentures
$1,657,000.00
$0.00
Subordinated Debentures
Subordinated Debentures
$300,000.00
$350,000.00
$300,000.00
$0.00
$1,725,397.27 Redeemed, in Full
$36,966.67 Full investment outstanding
$360,714.44 Redeemed, in Full
$350,000.00
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Subordinated Debentures
$14,000,000.00
$4,205,000.00
$6,000,000.00
$0.00
$100,000.00
$4,520,000.00
$3,881,000.00
$698,000.00
$100,000.00
$4,520,000.00
$8,086,000.00
$6,000,000.00
$0.00
350,000
$1.00
$14,000,000.00
Subordinated Debentures
14,000,000
$1.00
$698,000.00
698,000
$1.00
$16,773,983.33 Redeemed, in Full
$12,255.56
$556,964.44
$1,549,255.14
$744,000.00
$769,700.70
Full investment outstanding
Full investment outstanding
Full investment outstanding
Full investment outstanding
Redeemed, in Full
($499,600.00)
Gain
Footnote
8
3,8
8
3,4,22
3,23
3,5
3,24
3,7
8
3,8
8,16
3,8
3,4,15
3,4,18
25
8
3,13
3,4,19
8
3
9
3,8
8
3,4,8
8
8
8
Institution Name
Kilmichael Bancorp, Inc.
Kilmichael Bancorp, Inc.
Lafayette Bancorp, Inc.
Lafayette Bancorp, Inc.
Liberty County Teachers Federal Credit Union
Liberty County Teachers Federal Credit Union
Liberty County Teachers Federal Credit Union
Liberty County Teachers Federal Credit Union
Liberty Financial Services, Inc.
Liberty Financial Services, Inc.
Lower East Side People's Federal Credit Union
M&F Bancorp, Inc.
M&F Bancorp, Inc.
Mission Valley Bancorp
Mission Valley Bancorp
Neighborhood Trust Federal Credit Union
North Side Community Federal Credit Union
Northeast Community Federal Credit Union
Opportunities Credit Union
PGB Holdings, Inc.
PGB Holdings, Inc.
Phenix Pride Federal Credit Union
Premier Bancorp, Inc.
Premier Bancorp, Inc.
Prince Kuhio Federal Credit Union / Hawaii Federal Credit Union
Prince Kuhio Federal Credit Union / Hawaii Federal Credit Union
PSB Financial Corporation
PSB Financial Corporation
Pyramid Federal Credit Union
Pyramid Federal Credit Union
Pyramid Federal Credit Union
Renaissance Community Development Credit Union
Santa Cruz Community Credit Union
Security Capital Corporation
Security Capital Corporation
Security Capital Corporation
Security Capital Corporation
Security Federal Corporation
Security Federal Corporation
Shreveport Federal Credit Union
Southern Bancorp, Inc.
Southern Bancorp, Inc.
Southern Chautauqua Federal Credit Union
Southern Chautauqua Federal Credit Union
Southside Credit Union
Southside Credit Union
State Capital Corporation
State Capital Corporation
The First Bancshares, Inc.
The First Bancshares, Inc.
The Magnolia State Corporation
The Magnolia State Corporation
Thurston Union of Low-Income People (TULIP) Cooperative Credit Union
Tongass Federal Credit Union
Tri-State Bank of Memphis
Tulane-Loyola Federal Credit Union
Union Baptist Church Federal Credit Union
Union Settlement Federal Credit Union
United Bancorporation of Alabama, Inc.
United Bancorporation of Alabama, Inc.
UNITEHERE Federal Credit Union
(Workers United Federal Credit Union)
UNITEHERE Federal Credit Union
(Workers United Federal Credit Union)
University Financial Corp, Inc.
University Financial Corp, Inc.
UNO Federal Credit Union
UNO Federal Credit Union
Vigo County Federal Credit Union
Vigo County Federal Credit Union
Vigo County Federal Credit Union
Virginia Community Capital, Inc.
Virginia Community Capital, Inc.
City
Kilmichael
Kilmichael
Oxford
Oxford
Liberty
Liberty
Liberty
Liberty
New Orleans
New Orleans
New York
Durham
Durham
Sun Valley
Sun Valley
New York
Chicago
San Francisco
Burlington
Chicago
Chicago
Phenix City
Wilmette
Wilmette
Honolulu
Honolulu
Many
Many
Tucson
Tucson
Tucson
Somerset
Santa Cruz
Batesville
Batesville
Batesville
Batesville
Aiken
Aiken
Shreveport
Arkadelphia
Arkadelphia
Lakewood
Lakewood
San Antonio
San Antonio
Greenwood
Greenwood
Hattiesburg
Hattiesburg
Bay Springs
Bay Springs
Olympia
Ketchikan
Memphis
New Orleans
Fort Wayne
New York
Atmore
Atmore
New York
New York
St. Paul
St. Paul
New Orleans
New Orleans
Terre Haute
Terre Haute
Terre Haute
Christiansburg
Christiansburg
State
MS
MS
MS
MS
TX
TX
TX
TX
LA
LA
NY
NC
NC
CA
CA
NY
IL
CA
VT
IL
IL
AL
IL
IL
HI
HI
LA
LA
AZ
AZ
AZ
NJ
CA
MS
MS
MS
MS
SC
SC
LA
AR
AR
NY
NY
TX
TX
MS
MS
MS
MS
MS
MS
WA
AK
TN
LA
IN
NY
AL
AL
NY
NY
MN
MN
LA
LA
IN
IN
IN
VA
VA
Date
9/3/2010
11/2/2016
9/29/2010
1/27/2016
9/24/2010
4/2/2014
12/31/2014
12/16/2015
9/24/2010
12/20/2016
9/24/2010
8/20/2010
12/20/2016
8/20/2010
9/24/2010
9/24/2010
9/29/2010
9/24/2010
9/29/2010
8/13/2010
12/20/2016
9/24/2010
8/13/2010
1/29/2013
9/24/2010
9/9/2015
9/29/2010
12/28/2012
9/24/2010
3/9/2016
11/22/2016
9/29/2010
9/24/2010
9/29/2010
9/9/2015
3/23/2016
5/27/2016
9/29/2010
10/31/2016
9/29/2010
8/6/2010
11/29/2016
9/29/2010
12/20/2016
9/29/2010
10/30/2013
9/29/2010
10/11/2016
9/29/2010
12/6/2016
9/29/2010
12/17/2014
9/24/2010
9/24/2010
8/13/2010
9/24/2010
9/24/2010
9/29/2010
9/3/2010
11/16/2016
9/29/2010
3/20/2013
7/30/2010
11/28/2012
9/24/2010
9/4/2013
9/29/2010
2/25/2015
12/23/2015
9/24/2010
6/29/2016
Original Investment Type1
Subordinated Debentures
Exchange From CPP
Original Investment Amount
$3,154,000.00
Outstanding Investment
$0.00
Total Cash Back2
Investment Status*
$3,756,668.07 Redeemed, in Full
Amount
(Fee)
$3,154,000.00
Shares
Avg. Price
(Realized Loss) / (Write-off)
$800.00
($2,347,000.00)
3,000
$980.00
($60,000.00)
6,784,000
$0.01
($6,704,100.00)
273,000
$1.00
$122,350.16 Full investment outstanding
$10,874,433.34 Sold, in full
$10,336,000.00
$1,279,994.22 Full investment outstanding
$4,836,000.00
$283,000.00
$325,000.00
$350,000.00
$1,091,000.00
$3,000,000.00
$6,784,000.00
Preferred Stock
11,735
$79,900.00
$0.00
$898,000.00
$0.00
$5,500,000.00
$283,000.00
$325,000.00
$350,000.00
$1,091,000.00
$0.00
$153,000.00
$153,000.00
$0.00
$273,000.00
Subordinated Debentures
($742,377.00)
$273,000.00
$5,689,000.00
$11,735,000.00
Subordinated Debentures
Subordinated Debentures
$934.50
$305,026.83 Redeemed, in part
$898,000.00
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Preferred Stock
11,334
$2,940,000.00
Preferred Stock
$1.00
$1.00
$1.00
$9,388,000.00
$5,645,000.00
Subordinated Debentures
Preferred Stock
$1,000.00
$5,035,934.33 Redeemed, in Full
$174,000.00
87,000
87,000
87,000
$10,591,623.00
Preferred Stock
$0.00
$435,000.00
4,551
$87,000.00
$87,000.00
$87,000.00
$4,551,000.00
$0.00
$9,734,000.00
$0.00
$12,005,854.33 Sold, in full
$34,763.01
$39,830.56
$42,991.67
$133,708.11
$3,327,125.28
Full investment outstanding
Full investment outstanding
Full investment outstanding
Full investment outstanding
Sold, in full
$18,793.50 Full investment outstanding
$79,900.00 Sold, in full
$300,072.50
$10,171,489.22 Redeemed, in Full
$9,734,000.00
$5,000,000.00
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Preferred Stock
$7,922,000.00
$75,000.00
$1,600,000.00
$2,795,000.00
$424,000.00
$10,000.00
$295,000.00
$10,300,000.00
Subordinated Debentures
Subordinated Debentures
$57,000.00
$11,926,000.00
Subordinated Debentures
$10,189,000.00
$743,000.00
15,750
$936.51
($1,000,000.00)
17,123
$930.04
($1,198,000.00)
3,700,000
$1.00
10,300
$1,000.00
57,000
$1.00
22,115,000
$1.00
743,000
$1.00
491,600
245,800
$1.00
$1.00
1,915,000
$1.00
$2,716,972.22 Sold, in full
($70,000.00)
$3,799.22 Full investment outstanding
$347,372.67 Full investment outstanding
$19,794,559.99 Redeemed, in Full
$24,019,111.11 Sold, in full
$324,282.00 Full investment outstanding
$35,702,188.89 Sold, in full
$1,802,139.70 Sold, in full
$1,167,894.44 Redeemed, in Full
$0.00
$12,123,000.00
$1.00
$491,600.00
$245,800.00
$15,750,000.00
Preferred Stock
($119,630.00)
1,100,000
$743,000.00
Preferred Stock
$0.00
($2,366,000.00)
$0.93
$22,115,000.00
$1,100,000.00
$930.00
$57,000.00
Subordinated Debentures
33,800
1,709,000
$10,300,000.00
$0.00
($660,000.00)
$3,700,000.00
$1,709,000.00
Subordinated Debentures
$970.00
$15,925,000.00
$11,000,000.00
$2,646,000.00
$0.00
22,000
$14,750,000.00
$0.00
$2,646,000.00
$22,800,000.00
$1,000.00
$1,000.00
$1,000.00
$1,100,000.00
$4,000,000.00
9,250
3,000
5,660
$1,589,370.00
$18,000,000.00
Subordinated Debentures
Preferred Stock
$1.00
$0.93
$31,434,000.00
$17,910,000.00
$31,000.00
$2,828,000.00
$0.00
$1,000.00
$21,340,000.00
Preferred Stock
$31,000.00
$2,828,000.00
$0.00
1,500,000
1,000,000
$9,250,000.00
$3,000,000.00
$5,660,000.00
Subordinated Debentures
Subordinated Debentures
Preferred Stock
$2,500,000.00
9,734
$1,500,000.00
$930,000.00
Subordinated Debentures
Gain
$1.00
$4,551,000.00
Preferred Stock
Subordinated Debentures
3,154,000
$16,650,500.00 Sold, in full
$0.00
$18,043,495.61 Sold, in full
$4,222,000.00
$75,000.00
$1,600,000.00
$2,795,000.00
$424,000.00
$10,000.00
$295,000.00
$0.00
$0.00
$0.00
$0.00
$4,985,667.48 Redeemed, in part
$9,212.50
$196,533.33
$209,935.56
$52,081.33
$1,228.33
$24,124.45
$11,577,772.22
Full investment outstanding
Full investment outstanding
Full investment outstanding
Full investment outstanding
Full investment outstanding
Full investment outstanding
Redeemed, in Full
$59,821.50 Redeemed, in Full
$23,710,842.97 Redeemed, in Full
$786,754.45 Redeemed, in Full
Subordinated Debentures
$1,229,000.00
$491,600.00
$866,690.80 Redeemed, in part
Subordinated Debentures
$1,915,000.00
$0.00
$2,135,756.94 Redeemed, in Full
$206,783,000.00
$126,972,600.00
TOTALS
$363,290,000.00
$480,732,070.30
$1,915,000.00
$417,581,473.00
$0.00
($25,518,927.00)
$0.00
Footnote
Footnote Description
1 All pricing is at par.
2 Total Cash Back includes net capital repayments, interest and dividends, warrant proceeds, and other income (less expenses).
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
3 investment with Treasury under the CDCI program terms.
4 Treasury made an additional investment in this institution at the time it entered the CDCI program.
5 Treasury made an additional investment in this institution after the time it entered the CDCI program.
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
6 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.
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
7 a result of the liquidation of Premier Bancorp, Inc.
Repayment pursuant to one or more of the following, as appropriate: Section 5 of the CDCI Certificate of Designation, Section 6.10 or 6.11 of the CDCI Securities Purchase Agreement,
8 and/or Section 5.11 of the CDCI Exchange Agreement.
On 10/31/2014, in connection with the merger of Union Settlement Federal Credit Union (Union) with Lower East Side People’s Federal Credit Union (Lower East Side), Treasury exchanged
its $295,000 in aggregate principal amount of Union senior subordinated securities for a like amount of additional Lower East Side senior subordinated securities. Accrued dividends on the
9 Union senior subordinated securities were paid on the date of the exchange.
On 12/23/2014, in connection with the merger of Butte Federal Credit Union (Butte) with Self-Help Credit Union (SHFCU), Treasury exchanged its 1,000,000 in senior subordinated securities
10 for a like amount of SHFCU senior subordinated securities. Accrued and unpaid interest were paid on the date of the exchange.
On 10/1/2013, Treasury completed the sale to Wilshire Bancorp, Inc. (“Wilshire”) of all of the preferred stock that had been issued by BankAsiana (“BankAsiana”) to Treasury for a purchase
price of $5,250,000 plus accrued dividends, pursuant to the terms of the agreement between Treasury, Wilshire and BankAsiana entered into on 9/25/2013 in connection with the merger of
11 Wilshire and BankAsiana.
On 10/11/2016, Treasury entered into an agreement with Community Bancshares of Mississippi, Inc. (the “Company”) pursuant to which Treasury agreed to sell its CDCI preferred stock to
the Company for fair value of $50,778,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was
12 completed on 10/11/2016.
On 10/11/2016, Treasury entered into an agreement with State Capital Corp. (the “Company”) pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for fair
value of $14,750,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on
13 10/11/2016.
On 10/18/2016, Treasury entered into an agreement with BancPlus Corporation (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for fair
value of $75,250,020 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on
14 10/18/2016.
On 10/31/2016, Treasury entered into an agreement with Security Federal Corporation (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company
for fair value of $21,340,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on
15 10/31/2016.
On 11/22/2016, Treasury entered into an agreement with Pyramid Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated securities to
the Company for fair value of $930,000 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was
16 completed on 11/22/2016.
Footnote
17
18
19
20
21
22
23
24
25
Footnote Description
On 11/29/2016, Treasury entered into an agreement with First Vernon Bancshares, Inc. (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company
for fair value of $5,745,400 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on
11/29/2016.
On 11/29/2016, Treasury entered into an agreement with Southern Bancorp, Inc. (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for fair
value of $31,434,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on
11/29/2016.
On 12/06/2016, Treasury entered into an agreement with The First Bancshares, Inc. (“the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for
fair value of $15,925,000.00 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on
12/06/2016.
On 12/20/2016, Treasury entered into an agreement with CFBanc Corporation (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for fair
value of $5,549,760 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on
12/20/2016.
On 12/20/2016, Treasury entered into an agreement with Community Plus Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated
securities to the Company for fair value of $415,000 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale
was completed on 12/20/2016.
On 12/20/2016, Treasury entered into an agreement with Liberty Financial Services, Inc. (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company
for fair value of $10,591,623 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on
12/20/2016.
On 12/20/2016, Treasury entered into an agreement with M&F Bancorp, Inc. (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for fair
value of $9,388,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on
12/20/2016.
On 12/20/2016, Treasury entered into an agreement with PGB Holdings, Inc. (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for fair
value of $2,940,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on
12/20/2016.
On 12/20/2016, Treasury entered into an agreement with Southern Chautauqua Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior
subordinated securities to the Company for fair value of $1,589,370 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the
agreement. The sale was completed on 12/20/2016.
AUTOMOTIVE INDUSTRY FINANCING PROGRAM
Exchange/Transfer/Other Details
Initial Investment
City, State
Date
Transaction Type
Seller
12/29/2008
Purchase
GMAC
5/21/2009
Purchase
GMAC
Description
Preferred Stock w/ Exercised
Warrants
Amount
Pricing
Mechanism
$
5,000,000,000
Par
$
7,500,000,000
Par
Date
12/30/2009
Type
Exchange for convertible
preferred stock
1
Treasury Investment After Exchange/Transfer/Other
Amount
Pricing
Mechanism
$
5,000,000,000
N/A
$
3,000,000,000
Obligor
Description
Convertible
Preferred Stock
Amount/Equity %
N/A
Payment or Disposition
Date
Type
11/20/2013 Disposition 38
Amount/ Proceeds
Remaining
Investment
Description
Remaining
Investment
Amount/Equity %
12/30/2009
Purchase
Purchase
12/29/2008
Purchase
12/31/2008
Purchase
GMAC
GMAC
General Motors
Corporation
General Motors
Corporation
General Motors
Corporation
Convertible Preferred Stock
w/ Exercised Warrants
Trust Preferred Securities w/
Exercised Warrants
Debt Obligation
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
$
$
1,250,000,000
2,540,000,000
Par
22,
26
3/1/2011
Par
$
884,024,131
Par
$
13,400,000,000
12/30/2010
2
Par
5/29/2009
7/10/2009
4
Partial conversion of preferred
stock for common stock
Exchange for amended and
restated Trust Preferred
Securities
Exchange for equity interest in
GMAC
Exchange for preferred and
common stock in New GM
Exchange for preferred and
common stock in New GM
GMAC (Ally)
$
$
5,500,000,000
2,667,000,000
N/A
N/A
$
884,024,131
N/A
$
13,400,000,000
N/A
$
2,000,000,000
N/A
26
27 GMAC (Ally)
21, 22
3, 26,
32, 38
5,937,500,000
$
2,375,000,000 Common Stock
17.09%
$
181,141,750 Common Stock
15.60%
$
218,680,700 Common Stock
13.40%
$
245,492,605 Common Stock
11.40%
$
1,277,036,382 Common Stock
$
2,667,000,000
N/A
$
2,139,406,778
N/A
$
N/A
$
0
63.45%
Common Stock
Trust Preferred
Securities
$
2,667,000,000
10, 11,
Preferred Stock
24
$
2,100,000,000
27
36.96%
9/12/2014 Partial Disposition43
$
3,023,750,000 Common Stock
12/24/2014 Partial Disposition45
12/30/2009
GMAC (Ally)
$
10/16/2014 Partial Disposition44
Detroit, MI
Partial conversion of preferred
stock for common stock
1/23/2014 Partial Disposition40
5/14/2014 Partial Disposition42
GMAC
(Ally)
12/30/2009
5,925,000,000
4/15/2014 Partial Disposition
22
$
41
Convertible Preferred Stock
w/ Exercised Warrants
3/2/2011 Disposition 28
0.00%
0
3
7
7
General Motors Company
$
2,000,000,000
Par
7/10/2009
7
12/15/2010 Repayment
$
$
11,743,303,903 Common Stock
36.9%
$
1,761,495,577 Common Stock
32.04%
12/21/2012 Partial Disposition 33
Purchase
11/18/2010 Partial Disposition 25
11/26/2010 Partial Disposition 25
4/22/2009
$
5,500,000,000 Common Stock
21.97%
0
General
Motors
$
4,000,000,000
Par
5
7/10/2009
Exchange for preferred and
common stock in New GM
$
4,000,000,000
10, 11,
General Motors Company
25
N/A
Partial Disposition
34
$
1,637,839,844 Common Stock
17.69%
6/12/2013
Partial Disposition
35
$
1,031,700,000 Common Stock
13.80%
Partial Disposition
36
$
3,822,724,832 Common Stock
7.32%
11/20/2013 Partial Disposition 37
Purchase
Debt Obligation w/ Additional
Note
4/11/2013
9/13/2013
5/20/2009
General Motors
Corporation
$
2,563,441,956 Common Stock
2.24%
39
$
1,208,249,982 Common Stock
60.8%
Common Stock
Detroit, MI
0.00%
12/9/2013
7/10/2009
6/3/2009
Purchase
General Motors
Corporation
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
$
$
360,624,198
30,100,000,000
Par
Par
6
8
7/10/2009
Exchange for preferred and
common stock in New GM
$
360,624,198
N/A
7/10/2009
Exchange for preferred and
common stock in New GM
$
22,041,706,310
N/A
7/10/2009
Transfer of debt to New GM
$
7,072,488,605
N/A
7/10/2009
Debt left at Old GM
$
985,805,085
N/A
7
General Motors Holdings
LLC
11, 12 Debt Obligation
$
7,072,488,605
360,624,198 Debt Obligation
$
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
4/20/2010
General Motors
Corporation
$
3/31/2010
Purchase
Partial Repayment
12/18/2009 Partial Repayment
5/27/2009
Partial Disposition
Repayment
$
4,676,779,986
N/A
$
6,711,864,407
$
0
9
9
9
Motors Liquidation
Company
29
Debt Obligation
$
985,805,085
3/31/2011
Partial Repayment
$
50,000,000
4/5/2011
Partial Repayment
$
45,000,000
5/3/2011
Partial Repayment
$
15,887,795
12/16/2011 Partial Repayment
$
144,444
12/23/2011 Partial Repayment
$
18,890,294
1/11/2012
Partial Repayment
$
6,713,489
10/23/2012 Partial Repayment
$
435,097
5/22/2013
Partial Repayment
$
10,048,968
9/20/2013
Partial Repayment
$
11,832,877
12/27/2013 Partial Repayment
$
410,705
1/9/2014
Partial Repayment
$
470,269
5/22/2015
Partial Repayment
$
8,325,185
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
Partial Repayment
$
2,961,564
11/17/2016 Partial Repayment
$
5,033,898
8/1/2016
Chrysler FinCo
Debt Obligation w/ Additional
Note
1/2/2009
4/29/2009
4/29/2009
Purchase
Chrysler Holding
Purchase
Chrysler Holding
Purchase
Chrysler Holding
5/1/2009
Purchase
Old Chrysler
5/20/2009
Purchase
Old Chrysler
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
$
$
4,000,000,000
-
$
280,130,642
$
-
-
1,888,153,580
$
6/10/2009
Par
Par
$
500,000,000
N/A
19
20
Chrysler Holding
Debt obligation w/
additional note
$
3,500,000,000
Partial Repayment
Repayment
Repayment*
5/14/2010
Termination and settlement payment
$
3,499,055
$
31,810,122
$
$
51,136,084
44,357,710
Additional Note
N/A
N/A
$
1,496,500,945
$
1,464,690,823
$
1,413,554,739
$
1,369,197,029
$
0
$
1,369,197,029
$
15,000,000
N/A
-
$
1,900,000,000
N/A
-
N/A
20
14
15
16
-
Transfer of debt to New
Chrysler
Partial Repayment
7/14/2009
Farmington
Hills, MI
Partial Repayment
6/17/2009
Par
Partial Repayment
7/14/2009
Chrysler
FinCo
1,500,000,000
3/17/2009
5/18/2009
Purchase
$
13
4/17/2009
1/16/2009
Right to recover
proceeds
Right to recover
proceeds
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
7/10/2009
4/30/2010
17
Completion of bankruptcy
proceeding; transfer of
collateral security to liquidation
trust
(1,888,153,580)
N/A
23
Old Carco Liquidation Trust
23
Right to recover
proceeds
N/A
Repayment
$
280,130,642
5/10/2010
Proceeds from sale of collateral
$
30,544,528
9/9/2010
$
Proceeds from sale of collateral
$
$
Right to recover
proceeds
Right to recover
9,666,784
proceeds
12/29/2010 Proceeds from sale of collateral
$
$
9,302,185
N/A
Right to recover
7,844,409
proceeds
4/30/2012
Proceeds from sale of collateral
0
N/A
N/A
Right to recover
proceeds
N/A
Right to recover
93,871,306
proceeds
N/A
9/21/2015
Auburn Hills,
MI
Proceeds from sale of collateral
$
9/29/2015
Chrysler
Proceeds from sale of collateral
$
6,341,426
Right to recover
proceeds
N/A
Right to recover
2,000,000
proceeds
N/A
2/26/2016
New Chrysler
Debt Obligation w/ Additional
Note, Zero Coupon Note,
Equity
$
6,642,000,000
N/A
6/10/2009
Issuance of equity in New
Chrysler
$
-
N/A
Chrysler Group LLC
Debt obligation w/
additional note &
zero coupon note
$
7,142,000,000
$
5/24/2011
Repayment - Principal
$
5,076,460,000
Termination of undrawn facility 31
$
2,065,540,000
5/24/2011
Purchase
19, 31
Proceeds from sale of collateral
5/24/2011
5/27/2009
18
Repayment* - Additional Note
$
288,000,000
5/24/2011
Total Initial Investment Amount $
81,344,932,551
Total Treasury Investment Amount
Footnotes appear on following page.
$
11,745,170,194
Common equity
6.6%
Repayment* - Zero Coupon Note
$
$
560,000,000
64,046,068,777
403,000,000
$
0
100,000,000
Disposition
Total Payments $
30
7/21/2011
Additional Proceeds * $
Chrysler Group LLC
N/A
N/A
-
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.
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 under this authority occurred on
September 13, 2013.
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.
40. On January 23, 2014, Treasury sold 410,000 shares of Ally common stock in a private offering at $7,375 per share for gross proceeds of $3,023,750,000.
41. On April 15, 2014, Treasury sold 95,000,000 shares of Ally common stock in an IPO at $25.00 per share for net proceeds of $2,375,000,000.
42. On 5/14/2014, the underwriters partially exercised their option to purchase an additional 7,245,670 shares of Ally common stock from Treasury at $25.00 resulting in additional proceeds of $181,141,750.
43. On August 14, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 8,890,000 shares of common stock from time to time during the period ending on November 12, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on September 12, 2014.
44. 4/ On September 12, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 11,249,044 of common stock from time to time during the period ending on December 11, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on October 16, 2014.
45. On December 24, 2014, Treasury sold 54,926,296 shares of Ally common stock in an underwritten offering at $23.25 per share for net proceeds of $1,277,036,382.
AUTOMOTIVE SUPPLIER SUPPORT PROGRAM
4
Seller
Footnote
Date
Name of Institution
City
Payment or Disposition
Adjustment Details
State
Transaction Type
Investment
Description
Investment Amount
Pricing Mechanism
Adjustment
Date
Adjusted or Final
Investment Amount
Adjustment Amount
Date
Type
Remaining Investment
Description
Amount
2/11/2010
Partial
repayment
Partial
repayment
3/4/2010
Repayment5
Additional Note
$
4/5/2010
Payment6
None
$
56,541,893
3/9/2010
4/7/2010
Repayment5
Payment7
Additional Note
None
$
$
123,076,735
44,533,054
$
101,074,947
11/20/2009
1
4/9/2009
GM Supplier Receivables LLC
Wilmington
DE
Purchase
Debt Obligation w/
Additional Note
7/8/2009
$
3,500,000,000
3
$
(1,000,000,000) $
N/A
$
4/9/2009
Chrysler Receivables SPV LLC
INITIAL TOTAL
$
5,000,000,000
Wilmington
DE
Purchase
ADJUSTED TOTAL
Debt Obligation w/
Additional Note
$
$
1,500,000,000
N/A
7/8/2009
3
$
(500,000,000)
7
413,076,735
Total Repayments
$
413,076,735
290,000,000
$
1,000,000,000
$
6
2
2,500,000,000
123,076,735
Debt Obligation w/ Additional Note
$
140,000,000
Debt Obligation w/ Additional Note
$
100,000,000
50,000,000
Total Proceeds from Additional Notes
1/
2/
3/
4/
5/
6/
7/
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 Receivables LLC on 7/10/2009.
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 6/10/2009.
Treasury issued notice to the institution of the permanent reduced commitment on 7/8/2009; the reduction was effective on 7/1/2009.
Does not include accrued and unpaid interest due on the amount of principal repayment, which interest must be paid at the time of principal repayment.
All outstanding principal drawn under the credit agreement was repaid.
Treasury's commitment was $2.5 billion (see note 3). As of 4/5/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under the loan, all of which have been repaid.
Treasury's commitment was $1 billion (see note 3). As of 4/7/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under the loan, all of which have been repaid.
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
1
2
Pricing Mechanism
Number of Shares
Proceeds
$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
3
4
5
6
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.
AUTOMOTIVE INDUSTRY FINANCING PROGRAM - ALLY FINANCIAL, INC.
COMMON STOCK DISPOSITION
Date
08/14/14 –
09/12/14
09/12/14 10/16/14
1
2
Pricing Mechanism
Number of Shares
Proceeds
$24.5985
8,890,000
$
218,680,700
$21.8234
11,249,044
$
245,492,605
3
4
Total Proceeds:
$464,173,305
1/ The price set forth is the weighted average price for all sales of Ally Financial, Inc.(Ally) common stock made by Treasury over the course of the corresponding period.
2/ Amount represents the gross proceeds to Treasury.
3/ On August 14, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 8,890,000 shares of common stock from time to time during the period
ending on November 12, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on September 12, 2014.
4/ On September 12, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 11,249,044 of common stock from time to time during the period ending
on December 11, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on October 16, 2014.
TARGETED INVESTMENT PROGRAM
Seller
Footnote
Date
Name of Institution
State
Transaction
Type
New York
NY
Purchase
Charlotte
NC
Purchase
City
12/31/2008 Citigroup Inc.
Bank of America
1/16/2009 Corporation
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Investment Description
Trust Preferred Securities
w/ Warrants
Preferred Stock w/
Warrants
$
20,000,000,000
Par
12/23/2009
$
20,000,000,000
Par
$
Capital Repayment Remaining Capital
Amount
Amount
12/9/2009
TOTAL
1
Treasury Investment Remaining After Capital
Repayment
Capital Repayment Details
2
Final Disposition
Remaining Capital
Description
Final Disposition Date
3
Final Disposition
Description
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
40,000,000,000
TOTAL CAPITAL REPAYMENT
TOTAL TREASURY TIP INVESTMENT AMOUNT
$
Total Warrant Proceeds
0
1/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock,
Series I (TIP Shares) “dollar for dollar” for Trust Preferred Securities.
2/ Repayment pursuant to Title VII, Section 7001 of the American Recovery and Reinvestment Act of 2009.
3/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution, and "A" represents the proceeds to Treasury, 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
Citigroup Inc.
12/23/2009 Citigroup Inc.
New York
New York
NY
NY
Guarantee
Termination
Master Agreement
Termination Agreement
Guarantee Limit
$
$
Description
Exchange/Transfer/Other Details
Preferred Stock
5,000,000,000
w/ Warrants
Amount
$
6/9/2009
Exchange preferred stock for Trust Preferred Securities
$
trust preferred securities
w/ Warrants
4,034,000,000
9/29/2010
Exchange trust preferred
securities for trust preferred
securities
6
7
$
Amount
Footnote
Date
3
12/23/2009
5
Type
Remaining
Premium
$
$ (1,800,000,000)
Trust Preferred
Securities w/ Warrants
$ 2,234,000,000
9/30/2010 Disposition
$ 2,246,000,000
Warrants
1/25/2011 Warrant Auction
Trust Preferred Securities
w/ Warrants
Partial cancellation for early
termination of guarantee
Amount
$
$
0
67,197,045 None
$
0
$ 894,000,000.00 None
$
0
(5,000,000,000)
3
TOTAL
Description
Remaining Premium
Description
2,246,000,000
4,034,000,000
Type
Payment or Disposition
Date
4
1/16/2009
Description
Footnote
2
1
Type
Premium
0
12/28/2012
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.
AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM
(formerly referred to as Systemically Significant Failing Institutions Program)
Seller
Note
1
11/25/2008
Name of Institution
Date
2, 3
4/17/2009
AIG
Purchase Details
City
New York
AIG
New York
State
Transaction
Type
NY
Purchase
Preferred Stock w/ Warrants
(Series D)
Purchase
Preferred Stock w/ Warrants
(Series F)
NY
Investment Description
Exchange/Transfer Details
Investment Amount
$
40,000,000,000
$
Par
2
Transaction Type
4/17/2009
Par
29,835,000,000
$
Date
Pricing Mechanism
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.
69,835,000,000
Final Disposition
Date
Investment
Transaction Type
3/1/2013
Warrants (Series D)
Repurchase
$
25,150,923.10
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
Exchange
Pricing Mechanism
Final Disposition
Investment Description
Date
Amount / Shares
Preferred Stock (Series G)
2,000,000,000
Transaction Type
Proceeds
Pricing Mechanism
5/27/2011
Cancellation
$
2/14/2011
Par
$
8
Payment
$
185,726,192
3/8/2011
4
1/14/2011
Preferred Stock (Series F)
Exchange
7
N/A
5,511,067,614
55,833,333
$
97,008,351
Payment
$
2,153,520,000
Par
Payment
$
55,885,302
6
1/14/2011
Footnotes appear on following page.
Common Stock (non-TARP)
Transfer
Common Stock
562,868,096
0
8
Par
1,493,250,339
Par
Payment
$
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
12/14/2012
N/A
1,521,632,096
$
8/3/2012
924,546,133
$
Payment
9/11/2012
Exchange
Payment
8/6/2012
Preferred Stock (Series E)
$
Par
5/7/2012
1/14/2011
8
Par
3/8/2012
5
971,506,765
5,576,121,382
3/15/2012
167,623,733
$
$
2/14/2011
Exchange
Payment
Payment
3/22/2012
7
0
Par
3/15/2012
3,375,328,432
$
Par
8/18/2011
3/8/2012
$
10
Par
Payment
11/1/2011
ALICO Junior Preferred Interests
0
Par
$
9/2/2011
16,916,603,568
$
Payment
8/17/2011
$
Payment
3/15/2011
AIA Preferred Units
$
Par
-
N/A
Remaining Recap
Investment Amount,
Shares, or Equity %
Final Disposition
$
7,610,497,570
N/A
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
0%
15
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.
CREDIT MARKET PROGRAMS
TERM ASSET-BACKED SECURITIES LOAN FACILITY
Seller
Footnote
Date
Name of Institution
City
State
Transaction
Type
Investment Description
Investment Amount
Pricing Mechanism
Adjusted Investment
Date
Amount
2
7/19/2010
$
4,300,000,000
6/28/2012
1/15/2013
1
3/3/2009
DE
Purchase
Debt Obligation w/ Additional Note
$
20,000,000,000
4
$
1,400,000,000
$
100,000,000
$
100,000,000
100,000,000
N/A
Repayment 5
Description
Date
Amount
2/6/2013
Total Investment Amount $
TALF LLC
Wilmington
3
Final Investment Amount
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
1/7/2014
2/6/2014
3/6/2014
4/4/2014
5/6/2014
6/5/2014
7/7/2014
8/6/2014
9/5/2014
10/6/2014
11/6/2014
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
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
1,026,569
1,107,574
1,225,983
11,597,602
1,055,556
1,343,150
27,005,139
14,059,971
262,036
17,394,583
21,835,385
$
771,143,209
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.
CREDIT MARKET PROGRAMS
SBA 7a SECURITIES PURCHASE PROGRAM
Purchase Details 1
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
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
Amount 3
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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
$
Pricing Mechanism
TBA or
PMF3
Investment Amount
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
Proceeds 4
Total Senior Security Proceeds $
TOTAL INVESTMENT AMOUNT
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
TBA or
PMF3
-
Final Disposition
368,145,452
Trade Date
PMF6
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
Amount 3
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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
Current Face
Principal Received
Disposition
1, 8
Amount 6, 8
Amount 5, 6
$
3,151,186 $
902,633 $
3,457,746
$
5,891,602 $
1,685,710 $
6,462,972
$
5,964,013 $
2,022,652 $
6,555,383
$
22,350,367 $
1,149,633 $
25,039,989
$
6,542,218 $
2,357,796 $
7,045,774
$
9,819,270 $
932,112 $
10,550,917
$
12,570,392 $
328,604 $
13,886,504
$
8,483,188 $
261,145 $
9,482,247
$
8,171,159 $
246,658 $
8,985,818
$
15,030,712 $
2,089,260 $
16,658,561
$
32,656,125 $
1,784,934 $
36,072,056
$
25,930,433 $
2,278,652 $
29,142,474
$
5,656,049 $
348,107 $
6,051,772
$
6,520,875 $
339,960 $
7,105,304
$
12,704,841 $
478,520 $
14,182,379
$
1,903,407 $
694,979 $
2,052,702
$
9,531,446 $
188,009 $
10,223,264
$
6,425,217 $
1,853,831 $
7,078,089
$
4,580,543 $
419,457 $
5,029,356
$
9,030,539 $
969,461 $
9,994,806
$
8,403,846 $
868,636 $
9,230,008
$
10,099,555 $
250,445 $
11,314,651
$
6,236,800 $
663,200 $
6,556,341
$
7,503,681 $
1,398,549 $
8,269,277
$
7,053,867 $
996,133 $
7,703,610
$
5,473,724 $
276,276 $
5,764,858
$
4,307,881 $
1,433,872 $
4,693,918
$
3,367,168 $
82,832 $
3,698,411
$
10,592,775 $
889,646 $
11,818,944
$
12,963,737 $
438,754 $
14,433,039
$
14,562,161 $
387,839 $
16,383,544
Disposition Proceeds
TOTAL PROGRAM PROCEEDS TO DATE7 $
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.
$
334,924,711
CREDIT MARKET PROGRAMS
LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)
Preliminary Adjusted
Commitment
Seller
Footnote
Date
1
9/30/2009
Name of Institution
UST/TCW Senior Mortgage Securities Fund, L.P.
City
State
Transaction
Type
Wilmington
DE
Purchase
Investment Description
Membership Interest
Commitment
Amount
Date
Par
1/4/2010
Amount
9/30/2009
UST/TCW Senior Mortgage Securities Fund, L.P.
Wilmington
DE
Purchase
2,222,222,222
4
$
156,250,000
Date
1/4/2010
7
Amount
Amount
4 $
156,250,000
9
Amount
$
156,250,000
Capital Repayment Details
Repayment
Date
Investment After Capital Repayment
Repayment Amount
Amount
1/15/2010
$
156,250,000
$
Par
1/4/2010
4
$
200,000,000
1/4/2010
4 $
200,000,000
$
200,000,000
1/11/2010
$
34,000,000
$
1/12/2010
2
$
1,111,111,111
Final Investment
Final Commitment Amount
Description
Distribution or Disposition
Date
Description
$
166,000,000
$
0
Membership Interest
Distribution
Final Distribution
$
$
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,244,437,500
7/16/2010
$
856,000,000
$
580,960,000
2/18/2010
$
4/15/2010
9/15/2010
$
578,515,653 Membership Interest
$
3,533,199
$
574,982,454 Membership Interest
$
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
$
2/18/2010
$
4/15/2010
9/15/2010
161,386,870
$
4,888,718
$
$
7,066,434
$
$
60,022,674
$
11/15/2010
$
132,928,628
$
12/14/2010
$
31,689,230
$
1/14/2010
$
27,355,590
$
2/14/2011
$
92,300,138
$
3/14/2011
$
128,027,536
$
4/14/2011
$
155,409,286
$
5/20/2011
$
75,085,485
$
6/14/2011
$
18,259,513
$
7/15/2011
$
62,979,809
$
8/12/2011
$
20,762,532
$
10/17/2011
$
37,384,574
$
12/14/2011
$
7,103,787
$
0
9/28/2012
Final Distribution
Adjusted Distribution
Distribution
Contingent Proceeds
2,444,347
3/29/2012
Distribution
7/8/2013
Purchase
Distribution
6/4/2013
DE
502,302
$
1,223
5
Distribution
8/9/2012
Wilmington
0
Final Distribution
3/29/2012
Invesco Legacy Securities Master Fund, L.P.
48,922
Debt Obligation w/ Contingent
166,000,000 Proceeds
2/24/2010
9/30/2009
20,091,872
$
5
1/29/2010
1
Proceeds
5
1/29/2010
2/24/2010
Debt Obligation w/ Contingent Proceeds
$
Pricing
Mechanism
3
Membership Interest
5
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
5
10
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
Debt Obligation w/ Contingent
300,656,067 Proceeds
$
5, 14
5, 13
1,056,751
$
5
56,390,209
$
5
18,772
$
69,399
$
64,444
Preliminary Adjusted
Commitment
Seller
Footnote
Date
Name of Institution
City
State
Transaction
Type
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
1/17/2012
$
6,577,144
$
2/14/2012
$
9,610,173
$
Description
Distribution or Disposition
Date
Description
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
9/28/2012
Membership Interest
Final Distribution
Adjusted Distribution
7/8/2013
1
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
$
$
5
10
3/13/2013
Distribution
Distribution
5, 11
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
5, 11
4/17/2013
- Contingent Proceeds
1/15/2010
$
44,043
$
1,064,097,694 Membership Interest
$
712,284
$
1,063,385,410 Membership Interest
$
6,716,327
$
1,056,669,083 Membership Interest
$
7,118,388
$
1,049,550,694 Membership Interest
$
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
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
7/16/2010
$
2,300,847,000
12 $
2,128,000,000
Distribution
9/19/2012
Distribution
Distribution
Distribution
Distribution Refund
10/3/2012
Distribution
69,932
$
75,278,664
10
8/30/2012
Wilmington
Distribution
16,195,771
10
8/14/2012
$
$
10
7/16/2012
5, 11
10
6/14/2012
Distribution
10
5/14/2012
Distribution
10
4/14/2011
AllianceBernstein Legacy Securities Master Fund, L.P.
2,802,754
10
3/14/2011
10/2/2009
479,509,240
$
10
2/14/2011
2
1,611
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
8/13/2013
Purchase
$
5
12/21/2012
DE
1,735
10
10/1/2012
Wilmington
469
$
10
9/12/2012
AllianceBernstein Legacy Securities Master Fund, L.P.
5, 13
10
8/30/2012
10/2/2009
40,556
$
$
5, 14
7/11/2013
1
3,434,460
$
5
10
7/11/2013
2
Proceeds
Debt Obligation w/ Contingent
294,078,924 Proceeds
Debt Obligation w/ Contingent
284,468,750 Proceeds
5/16/2011
$
$
292,454,480
30,244,575
$
$
6/14/2011
$
88,087
$
5/3/2012
$
80,000,000
$
5/14/2012
$
30,000,000
$
5/23/2012
$
500,000,000
$
6/14/2012
$
44,200,000
$
6/25/2012
$
120,000,000
$
7/16/2012
$
17,500,000
$
7/27/2012
$
450,000,000
$
8/14/2012
$
272,500,000
$
- Membership Interest 10
5, 11
5, 11
5, 11
5, 11
5, 11
$
79,071,633
$
106,300,357
$
25,909,972
$
678,683
$
(18,405)
Debt Obligation w/ Contingent
2,097,755,425 Proceeds
Debt Obligation w/ Contingent
2,097,667,339 Proceeds
Debt Obligation w/ Contingent
2,017,667,339 Proceeds
Debt Obligation w/ Contingent
1,987,667,339 Proceeds
Debt Obligation w/ Contingent
1,487,667,339 Proceeds
Debt Obligation w/ Contingent
1,443,467,339 Proceeds
Debt Obligation w/ Contingent
1,323,467,339 Proceeds
Debt Obligation w/ Contingent
1,305,967,339 Proceeds
Debt Obligation w/ Contingent
855,967,339 Proceeds
Debt Obligation w/ Contingent
583,467,339 Proceeds
5, 11
$
12,012,957
Preliminary Adjusted
Commitment
Seller
Footnote
Date
Name of Institution
City
State
Transaction
Type
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
Distribution or Disposition
Date
Description
5, 11
3/22/2010 6 $
1,244,437,500
7/16/2010
$
694,980,000
$
528,184,800
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
$
437,915,724 Membership Interest
$
8,833,632
$
429,082,092 Membership Interest
$
10,055,653
$
419,026,439 Membership Interest
11/5/2012
Blackrock PPIF, L.P.
90,269,076
10/15/2012
10/2/2009
$
9/17/2012
2
8/14/2012
$
419,026,439
$
8/31/2012
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
5,539,055
$
$
16,000,000
$
$
1,667,352
$
$
35,000,000
$
$
25,334,218
$
10/18/2012
DE
$
10/15/2012
Wilmington
$
9/28/2012
AG GECC PPIF Master Fund, L.P.
175,000,000
9/17/2012
10/30/2009
$
8/14/2012
1
7/31/2012
$
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
$
12/14/2012
$
147,534,295
$
1/15/2013
$
182,823,491
$
4/19/2013
Distribution
Distribution
Distribution 5, 11
Final Distribution
16,967
(460)
10
10
- Contingent Proceeds
87,099,565
6,862,425
Distribution
$
5, 11
$
57,378,964
$
5, 11
297,511,708
$
1,609,739
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
Proceeds
$
10
- Membership Interest 10
2/14/2012
2/21/2013
Distribution
9/30/2014
Par
Distribution
5/29/2013
1,111,111,111
Distribution 5, 11
4/25/2013
$
Distribution
3/14/2013
Membership Interest
12/5/2012
2/27/2013
Purchase
Distribution
2/21/2013
DE
Contingent Proceeds
Distribution 5, 11
12/6/2013
Wilmington
-
Distribution
11/5/2012
Blackrock PPIF, L.P.
$
12/5/2012
12/6/2013
10/2/2009
583,467,339
Distribution Refund
11/5/2012
1
$
Distribution
8/13/2013
8/22/2012
12/21/2012
5, 11
$
1,433,088
$
141,894
$
5, 11
8,289,431
$
184,431,858
10
10
10
10
10
10
10
10
10
10
10
- Membership Interest 10
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
Debt Obligation w/ Contingent
383,898,721 Proceeds
Debt Obligation w/ Contingent
201,075,230 Proceeds
5, 11
5, 11
$
42,099,442
$
5, 11
105,620,441
$
5, 11
156,174,219
$
5, 11
20,999,895
$
5, 11
49,225,244
$
1,748,833
Preliminary Adjusted
Commitment
Seller
Footnote
Date
Name of Institution
City
State
Transaction
Type
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
Distribution or Disposition
Date
Description
5, 11
4/19/2013
620,578,258
$
620,578,258
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
$
8/14/2012
10/19/2012
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
5/13/2011
$
$
122,255,550
13,531,530
$
$
7/31/2012
$
618,750,000
$
8/9/2012
$
151,006,173
$
8/14/2012
$
11,008,652
$
8/23/2012
$
160,493,230
$
8/29/2012
$
103,706,836
$
9/17/2012
$
20,637,410
$
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
$
- Membership Interest 10
- 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
Distribution
Distribution
5/16/2013
Distribution
Distribution
Distribution
Distribution
4/16/2013
Distribution
41,556
$
147,464,888
$
148,749,256
$
549,997
$
75,372
$
61,767
$
6,789,287
$
3,718,769
$
$
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
$
5, 11
5, 11
5, 11
5, 11
5, 15
13,750
$
1,884
$
1,544
$
164,629,827
$
71,462,104
$
38,536,072
$
29,999,850
$
3,999,980
$
5,707,723
$
7,143,340
Debt Obligation w/ Contingent
1,227,468,470 Proceeds
Debt Obligation w/ Contingent
608,718,470 Proceeds
Debt Obligation w/ Contingent
457,712,297 Proceeds
Debt Obligation w/ Contingent
446,703,645 Proceeds
Debt Obligation w/ Contingent
286,210,415 Proceeds
Debt Obligation w/ Contingent
182,503,579 Proceeds
Debt Obligation w/ Contingent
161,866,170 Proceeds
11/15/2012
2
Distribution
$
10
3/14/2011
4/14/2011
2
1,230,643
10
10/15/2012
5, 11
1,052,497
$
10
9/28/2012
17,118,005
$
10
9/17/2012
5, 11
10
$
Proceeds
$
10
$
Final Distribution
12/27/2013
$
Distribution
9/5/2013
7/16/2010
12/21/2012
7/11/2013
1,244,437,500
Distribution
4/16/2013
3/22/2010 6 $
Distribution
3/25/2013
Par
Distribution
1/28/2015
1,111,111,111
Final Distribution
12/11/2013
$
Distribution
11/2/2012
Membership Interest
12/21/2012
10/19/2012
Purchase
Distribution
1/28/2015
DE
Distribution
12/11/2013
Wilmington
- Contingent Proceeds
Final Distribution
11/2/2012
RLJ Western Asset Public/Private Master Fund, L.P.
$
Distribution 5, 11
10/19/2012
11/4/2009
201,075,230
Distribution
9/30/2014
1
$
4/25/2013
5/29/2013
2/14/2013
Distribution
5, 11
5, 11
5, 11
5, 15
5, 11
10
10
10
10
10
10
- Membership Interest 10
5, 11
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
5, 11
Preliminary Adjusted
Commitment
Seller
Footnote
Date
Name of Institution
City
State
Transaction
Type
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
Distribution or Disposition
Date
Description
5/16/2013
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
375,212,503
$
-
Contingent Proceeds
7/15/2011
$
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
$
12/14/2012
$
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
5, 11
6/3/2013
$
2,321,568,200
$
1,111,000,000
7/15/2011
$
79,000,000
$
3/14/2012
$
78,775,901
$
9/17/2012
$
44,224,144
$
10/15/2012
$
64,994,269
$
11/15/2012
$
223,080,187
$
12/14/2012
$
111,080,608
$
1/15/2013
$
89,099,906
$
4/12/2013
$
109,610,516
$
5/14/2013
INITIAL COMMITMENT AMOUNT
$
30,000,000,000
FINAL COMMITMENT AMOUNT
$
$
311,134,469
$
Distribution
Distribution
6/24/2013
Distribution
Distribution
Distribution 5, 11
12/12/2013
7/16/2010
Distribution
7/9/2013
2,488,875,000
Final Distribution
6/26/2013
3/22/2010 6 $
Distribution 5, 11
6/14/2013
Par
Distribution
6/3/2013
2,222,222,222
- Membership Interest
Distribution
5/28/2013
$
$
10
6/24/2013
12/12/2013
31,835,008
Distribution
7/9/2013
$
Distribution
6/26/2013
6/3/2013
Debt Obligation w/ Contingent Proceeds
40,974,795
$
539,009
10
6/14/2013
Purchase
11,749,941
$
10
5/28/2013
DE
27,999,860
$
10
5/14/2013
Wilmington
54,999,725
$
10
4/12/2013
Oaktree PPIP Fund, L.P.
46,575,750
$
10
1/15/2013
12/18/2009
$
10
11/15/2012
2
142,168
10
310,868,608 Membership Interest
100,001
$
5, 11
750,004
$
5, 11
963,411
$
5, 11
10
10/15/2012
Distribution
Proceeds
$
10
9/17/2012
Distribution
5, 11
10
3/14/2012
Distribution
12/27/2013
$
7/11/2013
9/5/2013
1/24/2013
Distribution
Final Distribution
5, 11
5, 11
5, 11
5, 11
Debt Obligation w/ Contingent
1,032,000,000 Proceeds
Debt Obligation w/ Contingent
953,224,099 Proceeds
Debt Obligation w/ Contingent
908,999,956 Proceeds
Debt Obligation w/ Contingent
844,005,687 Proceeds
Debt Obligation w/ Contingent
620,925,500 Proceeds
Debt Obligation w/ Contingent
509,844,892 Proceeds
Debt Obligation w/ Contingent
420,744,985 Proceeds
Debt Obligation w/ Contingent
311,134,469 Proceeds
- Contingent Proceeds
5, 11
$
$
5, 11
5, 11
TOTAL CAPITAL REPAYMENT AMOUNT $
1,375,007
700,004
$
5, 11
293,751
$
TOTAL DISTRIBUTIONS 5
21,856,403,574
1,960,289
$
5, 11
444,393
$
5, 11
1,024,380
$
13,475
$
2,645,169,622
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.
14/ On 7/8/2013, Invesco Mortgage Recovery Master Fund L.P. made a distribution to Treasury arising from the Settlement Agreement between Jefferies LLC and Invesco Advisers, Inc. dated as of 3/20/2013.
15/ On 1/28/2015, Western Asset Management Company made a distribution to Treasury in respect of certain settlement proceeds.
@FedFRASER