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U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Transactions Report - Investment Programs
For Period Ending July 5, 2013
CAPITAL PURCHASE PROGRAM
Footnote
Seller
Purchase Details
Name of Institution
1b
11, 23 5/26/2010
49
14
3a, 72 2/10/2012
119, 225
Purchase Date
10/28/2008 Bank of America Corporation
10/28/2008 The Bank of New York Mellon Corporation
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
12/9/2009
6/17/2009
Charlotte
New York
NC
NY
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
15,000,000,000
3,000,000,000
Par
Par
Citigroup Inc.
New York
NY
Common Stock w/ Warrants
$
25,000,000,000
Par
10/28/2008
10/28/2008
10/28/2008
10/28/2008
10/28/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
The Goldman Sachs Group, Inc.
JPMorgan Chase & Co.
Morgan Stanley
State Street Corporation
Wells Fargo & Company
Bank of Commerce Holdings
1st FS Corporation
UCBH Holdings, Inc.
Northern Trust Corporation
SunTrust Banks, Inc.
New York
New York
New York
Boston
San Francisco
Redding
Hendersonville
San Francisco
Chicago
Atlanta
NY
NY
NY
MA
CA
CA
NC
CA
IL
GA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
10,000,000,000
25,000,000,000
10,000,000,000
2,000,000,000
25,000,000,000
17,000,000
16,369,000
298,737,000
1,576,000,000
3,500,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
11/14/2008
Broadway Financial Corporation
Los Angeles
CA
Preferred Stock
$
9,000,000
Par
11/14/2008
11/14/2008
Washington Federal, Inc.
BB&T Corp.
M&T Bank Corporation (Provident Bancshares
Corp.)
Umpqua Holdings Corp.
Comerica Inc.
Regions Financial Corporation
Capital One Financial Corporation
First Horizon National Corporation
Huntington Bancshares
KeyCorp
Seattle
Winston-Salem
WA
NC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
200,000,000
3,133,640,000
Baltimore
MD
Preferred Stock w/ Warrants
$
Portland
Dallas
Birmingham
McLean
Memphis
Columbus
Cleveland
OR
TX
AL
VA
TN
OH
OH
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
11/14/2008
11/14/2008
11/14/2008
49
State
10/28/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
44 5/16/2011
City
Capital Repayment Details
Valley National Bancorp
Zions Bancorporation
Wayne
Salt Lake City
NJ
UT
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
**
6/17/2009
6/17/2009
6/17/2009
6/17/2009
12/23/2009
9/27/2011
4
Capital Repayment
Amount 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
$
$
15,000,000,000
3,000,000,000
$
$
0
0
Warrants
Warrants
3/3/2010
8/5/2009
Warrants
Warrants
23
$
25,000,000,000
$
0
Warrants
1/25/2011
4
$
$
$
$
$
$
10,000,000,000
25,000,000,000
10,000,000,000
2,000,000,000
25,000,000,000
17,000,000
$
$
$
$
$
$
0
0
0
0
0
0
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
$
$
1,576,000,000
3,500,000,000
$
$
0
0
$
$
200,000,000
3,133,640,000
$
$
4
4
4
5
4
49
A $
R $
183,547,824
136,000,000
Warrants
A $
54,621,849
7/22/2009
12/10/2009
8/12/2009
7/8/2009
5/20/2010
10/26/2011
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
R
A
R
R
A
R
Warrants
Warrants
8/26/2009
9/22/2011
0
0
Warrants
Warrants
$
$
$
$
$
$
1,100,000,000
936,063,469
950,000,000
60,000,000
840,374,892
125,000
Warrants
Warrants
R $
A $
87,000,000
14,069,763
3/9/2010
7/22/2009
Warrants
Warrants
A $
R $
15,388,874
67,010,402
$
19,047,077
$
$
$
$
$
$
$
4,500,000
181,102,043
45,000,000
146,500,065
79,700,000
49,100,000
70,000,000
4
Par
Par
5/27/2009
6/17/2009
4
151,500,000
Par
8/17/2012
119
$
151,500,000
$
0
Common Stock
3/19/2013
Common Stock
225
214,181,000
2,250,000,000
3,500,000,000
3,555,199,000
866,540,000
1,398,071,000
2,500,000,000
Par
Par
Par
Par
Par
Par
Par
2/17/2010
3/17/2010
4/4/2012
6/17/2009
12/22/2010
12/22/2010
3/30/2011
5
$
$
$
$
$
$
$
214,181,000
2,250,000,000
3,500,000,000
3,555,199,000
866,540,000
1,398,071,000
2,500,000,000
$
$
$
$
$
$
$
0
0
0
0
0
0
0
3/31/2010
5/6/2010
5/2/2012
12/3/2009
3/9/2011
1/19/2011
4/20/2011
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
9
6/3/2009
4
$
75,000,000
$
225,000,000
9/23/2009
4
$
125,000,000
$
100,000,000
5/18/2010
Warrants
A $
5,421,615
12/23/2009
4
$
100,000,000
$
3/28/2012
4
$
700,000,000
$
12/5/2012
Warrants
P $
7,666,419
9/26/2012
4
$
700,000,000
$
0
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
44
R $
3,250,000
9
R
A
R
R
R
300,000,000
1,400,000,000
Par
Par
4
4
4
4
4
4
4
4
0
700,000,000
Marshall & Ilsley Corporation
Milwaukee
WI
Preferred Stock w/ Warrants
$
1,715,000,000
Par
7/5/2011
44
$
1,715,000,000
$
0
Warrants
7/5/2011
Warrants
11/14/2008
11/14/2008
11/21/2008
11/21/2008
11/21/2008
U.S. Bancorp
TCF Financial Corporation
First Niagara Financial Group
HF Financial Corp.
Centerstate Banks of Florida Inc.
Minneapolis
Wayzata
Lockport
Sioux Falls
Davenport
MN
MN
NY
SD
FL
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
6,599,000,000
361,172,000
184,011,000
25,000,000
27,875,000
Par
Par
Par
Par
Par
6/17/2009
4/22/2009
5/27/2009
6/3/2009
9/30/2009
4
$
$
$
$
$
6,599,000,000
361,172,000
184,011,000
25,000,000
27,875,000
$
$
$
$
$
0
0
0
0
0
7/15/2009
12/15/2009
6/24/2009
6/30/2009
10/28/2009
Warrants
Warrants
Warrants
Warrants
Warrants
City National Corporation
Beverly Hills
CA
Preferred Stock w/ Warrants
$
400,000,000
Par
12/30/2009
4
11/21/2008
$
200,000,000
$
4/7/2010
3/3/2010
7/8/2009
9/27/2011
4
$
$
$
200,000,000
41,500,000
140,000,000
$
$
$
Warrants
Warrants
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
11/21/2008
First Community Bancshares Inc.
Western Alliance Bancorporation
Webster Financial Corporation
Bluefield
Las Vegas
Waterbury
VA
NV
CT
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
9
6/17/2009
3/30/2011
11/14/2008
11/21/2008
11/21/2008
1b
Final Disposition
Proceeds
41,500,000
140,000,000
400,000,000
Par
Par
Par
4
5
4
5
5
49
200,000,000
0
0
0
3/3/2010
4
$
100,000,000
$
300,000,000
10/13/2010
4
$
100,000,000
$
200,000,000
12/29/2010
4
$200,000,000
$
0
R
A
R
A
R
R
R
$
$
$
$
$
139,000,000
9,449,981
2,700,000
650,000
212,000
Warrants
R $
18,500,000
11/18/2011
11/18/2011
Warrants
Warrants
P $
P $
30,600
415,000
6/2/2011
Warrants
A $
20,388,842
9
Page 1 of 43
Footnote
29
85 06/13/2012
74 3/28/2012
47 6/30/2011
Seller
Name of Institution
Purchase Date
11/21/2008 Pacific Capital Bancorp
11/21/2008 Heritage Commerce Corp.
14, 20
232
50
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Santa Barbara
San Jose
CA
CA
Common Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
195,045,000
40,000,000
Par
Par
11/30/2012
3/7/2012
4
6/13/2012
89 06/13/2012
75 3/28/2012
17, 54
12
130
120
$
$
0
0
Warrants
Warrants
11/30/2012
6/12/2013
Warrants
Warrants
R $
P $
393,121
140,000
85
$
47,665,332
$
0
Warrants
8/22/2012
Warrants
R $
2,670,000
P $
134,201
Preferred Stock w/ Warrants
$
52,000,000
Par
11/21/2008
Porter Bancorp Inc.
Louisville
KY
Preferred Stock w/ Warrants
$
35,000,000
Par
11/21/2008
Banner Corporation
Walla Walla
WA
Preferred Stock w/ Warrants
$
124,000,000
Par
3/28/2012
74
$
108,071,915
$
0
Warrants
6/12/2013
Warrants
11/21/2008
Cascade Financial Corporation
Everett
WA
Preferred Stock w/ Warrants
$
38,970,000
Par
6/30/2011
47
$
16,250,000
$
0
N/A
N/A
N/A
47
11/21/2008
11/21/2008
11/21/2008
11/21/2008
Columbia Banking System, Inc.
Heritage Financial Corporation
First PacTrust Bancorp, Inc.
Severn Bancorp, Inc.
Tacoma
Olympia
Chula Vista
Annapolis
WA
WA
CA
MD
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
76,898,000
24,000,000
19,300,000
23,393,000
Par
Par
Par
Par
8/11/2010
12/22/2010
12/15/2010
4
$
$
$
76,898,000
24,000,000
19,300,000
$
$
$
0
0
0
Warrants
Warrants
Warrants
9/1/2010
8/17/2011
1/5/2011
Warrants
Warrants
Warrants
9
Boston Private Financial Holdings, Inc.
Boston
MA
Preferred Stock w/ Warrants
$
154,000,000
Par
1/13/2010
4
11/21/2008
$
50,000,000
$
2/1/2011
6/16/2010
4
$
104,000,000
$
4/6/2011
4
$
262,500,000
$
9/14/2011
4
$
262,500,000
$
0
Warrants
4
$
$
215,000,000
10,987,794
$
$
0
0
Green Bay
WI
Preferred Stock w/ Warrants
$
525,000,000
4
4
104,000,000
0
262,500,000
Par
-
N/A
R $
R $
R $
3,301,647
450,000
1,003,227
Warrants
A $
6,202,523
11/30/2011
Warrants
A $
3,435,006
Warrants
Warrants
12/30/2009
11/1/2012
Warrants
Warrants
R $
R $
10,000,000
297,500
Preferred Stock w/
Warrants
Warrants
Preferred Stock w/
Warrants
9
11/21/2008
11/21/2008
Trustmark Corporation
First Community Corporation
Jackson
Lexington
MS
SC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
215,000,000
11,350,000
Par
Par
12/9/2009
8/23/2012
11/21/2008
Taylor Capital Group
Rosemont
IL
Preferred Stock w/ Warrants
$
104,823,000
Par
6/13/2012
86
$
92,254,460
$
0
Warrants
7/18/2012
Warrants
R $
9,839,273
11/21/2008
BBCN Bancorp, Inc.
(Nara Bancorp, Inc.)
Los Angeles
CA
Preferred Stock w/ Warrants
$
67,000,000
Par
6/27/2012
4
$
67,000,000
$
0
Warrants
8/8/2012
Warrants
R $
2,189,317
12/5/2008
Midwest Banc Holdings, Inc.
Melrose Park
IL
$
89,388,000
Par
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
MB Financial Inc.
First Midwest Bancorp, Inc.
United Community Banks, Inc.
WesBanco, Inc.
Encore Bancshares Inc.
Manhattan Bancorp
Iberiabank Corporation
Chicago
Itasca
Blairsville
Wheeling
Houston
El Segundo
Lafayette
$
$
$
$
$
$
$
196,000,000
193,000,000
180,000,000
75,000,000
34,000,000
1,700,000
90,000,000
Par
Par
Par
Par
Par
Par
Par
3/14/2012
11/23/2011
3/28/2013
9/9/2009
9/27/2011
9/16/2009
3/31/2009
4
$
$
$
$
$
$
$
196,000,000
193,000,000
171,517,500
75,000,000
34,000,000
1,700,000
90,000,000
$
$
$
$
$
$
$
0
0
0
0
0
0
0
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
5/2/2012
12/21/2011
6/12/2013
12/23/2009
11/18/2011
10/14/2009
5/20/2009
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
R
R
P
R
P
R
R
$
$
$
$
$
$
$
1,518,072
900,000
6,677
950,000
637,071
63,364
1,200,000
11/18/2011
Warrants
P $
2,794,422
2/23/2011
Warrants
R $
4,450,000
Warrants
Warrants
Warrants
R $
R $
R $
99,000
225,647
14,500,000
R $
400,000
R $
6,436,364
12/5/2008
131
165,983,272
40,000,000
GA
Associated Banc-Corp
Final Disposition
Proceeds
$
$
4
Moultrie
12/5/2008
26 9/30/2010
50
Final Disposition
Disposition
Investment
15
Description
Ameris Bancorp
IL
IL
GA
WV
TX
CA
LA
Mandatorily Convertible Preferred Stock w/
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
49
198, 217
Capital Repayment
Amount 6
Final
Disposition
Date
11/21/2008
11/21/2008
122
86 06/13/2012
66 11/30/2011
Purchase Details
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Eagle Bancorp, Inc.
Sandy Spring Bancorp, Inc.
Bethesda
Olney
MD
MD
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
38,235,000
83,094,000
122
4
232
4
50
4
5
12/23/2009
5
$
15,000,000
$
7/14/2011
49
$
23,235,000
$
7/21/2010
4
$
41,547,000
$
12/15/2010
4
$
41,547,000
$
0
Preferred Stock w/
Warrants
Warrants
217
$
9,408,213
$
0
Warrants
23,235,000
Par
Par
0
41,547,000
Warrants
12/5/2008
Coastal Banking Company, Inc.
Fernandina Beach
FL
Preferred Stock w/ Warrants
$
9,950,000
Par
12/5/2008
East West Bancorp
Pasadena
CA
Preferred Stock w/ Warrants
$
306,546,000
Par
12/29/2010
4
$
306,546,000
$
0
Warrants
4/10/22013
6/12/2013
1/26/2011
12/5/2008
South Financial Group, Inc.
Greenville
SC
Preferred Stock w/ Warrants
$
347,000,000
Par
9/30/2010
26
$
130,179,219
$
0
Warrants
9/30/2010
Warrants
12/5/2008
12/5/2008
12/5/2008
Great Southern Bancorp
Cathay General Bancorp
Southern Community Financial Corp.
Springfield
Los Angeles
Winston-Salem
MO
CA
NC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
58,000,000
258,000,000
42,750,000
Par
Par
Par
8/18/2011
3/20/2013
10/1/2012
50
$
$
$
58,000,000
129,000,000
42,750,000
$
$
$
0
129,000,000
0
9/21/2011
Warrants
N/A
N/A
12/5/2008
CVB Financial Corp
Ontario
CA
Preferred Stock w/ Warrants
$
130,000,000
Par
$
97,500,000
$
32,500,000
10/28/2009
Warrants
3/11/2013
8/26/2009
4
9/2/2009
4
$
32,500,000 $
0
Warrants
Warrants
N/A
Preferred Stock w/
Warrants
Warrants
4
131
9
9
26
9
N/A
R $
1,307,000
12/5/2008
First Defiance Financial Corp.
Defiance
OH
Preferred Stock w/ Warrants
$
37,000,000
Par
6/13/2012
89
$
35,084,144
$
0
Warrants
12/5/2008
First Financial Holdings Inc.
Charleston
SC
Preferred Stock w/ Warrants
$
65,000,000
Par
3/28/2012
75
$
55,926,478
$
0
Warrants
5/22/2013
Warrants
R $
1,400,000
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
Superior Bancorp Inc.
Southwest Bancorp, Inc.
Popular, Inc.
Blue Valley Ban Corp
Central Federal Corporation
Bank of Marin Bancorp
BNC Bancorp
Birmingham
Stillwater
San Juan
Overland Park
Fairlawn
Novato
Thomasville
AL
OK
PR
KS
OH
CA
NC
Trust Preferred Securities w/ Warrants
Preferred Stock w/ Warrants
Trust Preferred Securities w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
69,000,000
70,000,000
935,000,000
21,750,000
7,225,000
28,000,000
31,260,000
Par
Par
Par
Par
Par
Par
Par
8/8/2012
4
$
70,000,000
$
0
Warrants
5/29/2013
Warrants
R $
2,287,197
130
$
$
$
3,000,000
28,000,000
28,365,685
$
$
$
0
0
0
N/A
Warrants
Warrants
N/A
11/18/2011
9/19/2012
N/A
Warrants
Warrants
P $
R $
N/A
1,703,984
939,920
9/26/2012
3/31/2009
8/23/2012
4
120
130
Page 2 of 43
Footnote
50
49
Seller
Name of Institution
Purchase Date
12/5/2008
Central Bancorp, Inc.
12/5/2008
Southern Missouri Bancorp, Inc.
Purchase Details
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Somerville
Poplar Bluff
MA
MO
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
10,000,000
9,550,000
Par
Par
8/25/2011
7/21/2011
50
49
Capital Repayment
Amount 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
$
$
10,000,000
9,550,000
$
$
0
0
Warrants
Warrants
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
10/19/2011
Warrants
Final Disposition
Proceeds
R $
2,525,000
R $
40,000
68 - 1/1/2012
12/5/2008
Valley National Bancorp (State Bancorp, Inc.)
Wayne
NJ
Preferred Stock w/ Warrants
$
36,842,000
Par
12/14/2011
4
$
36,842,000
$
0
Warrants
32 9/30/2010
12/5/2008
TIB Financial Corp
Naples
FL
Preferred Stock w/ Warrants
$
37,000,000
Par
9/30/2010
32
$
12,119,637
$
0
Warrants
9/30/2010
Warrants
5/15/2013
4
$
10,324,000
$
7/3/2013
7/15/2009
4
$
$
10,325,000
7,000,000
$
$
0
0
Preferred Stock w/
Warrants
Warrants
Warrants
9/2/2009
Warrants
R $
225,000
$
$
$
$
$
$
113,338,081
13,500,000
100,000,000
41,279,000
6,500,000
235,000,000
$
$
$
$
$
$
0
0
0
0
0
0
Warrants
Warrants
Warrants
N/A
Warrants
Warrants
9/19/2012
9/28/2011
5/8/2009
N/A
Warrants
Warrants
Warrants
N/A
R $
R $
R $
-
825,000
560,000
1,200,000
N/A
6/16/2010
Warrants
R $
6,820,000
7/18/2012
Warrants
R $
860,326
1/19/2011
Warrants
R $
5,269,179
3/10/2010
1/16/2013
Warrants
Warrants
A $
R $
11,150,940
256,257
9/12/2012
11/24/2009
Warrants
Warrants
R $
R $
1,800,000
2,650,000
R
A
R
R
$
$
$
$
7,778,783
2,857,915
4,753,985
1,500,000
12/5/2008
55
24, 118
50
35
208
88 06/13/2012
43 5/13/2011
176
181
70
206
20,649,000
Par
4
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Common Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
7,000,000
5,800,000
303,000,000
13,500,000
100,000,000
41,279,000
6,500,000
235,000,000
Par
Par
Par
Par
Par
Par
Par
Par
8/14/2012
8/11/2011
3/31/2009
1/28/2011
2/15/2013
12/23/2009
118
12/12/2008
LNB Bancorp Inc.
Lorain
OH
Preferred Stock w/ Warrants
$
25,223,000
Par
6/13/2012
88
$
21,594,229
$
0
Warrants
12/12/2008
M&T Bank Corporation (Wilmington Trust
Corporation)
Wilmington
DE
Preferred Stock w/ Warrants
$
330,000,000
Par
5/13/2011
43
$
330,000,000
$
0
Warrants
4/21/2010
4
$
200,000,000
$
4
$
$
$
100,000,000
120,000,000
18,400,000
$
$
$
0
0
0
Preferred Stock w/
Warrants
Warrants
Warrants
Warrants
Susquehanna Bancshares, Inc
12/12/2008
12/12/2008
12/12/2008
12/12/2008
Signature Bank
HopFed Bancorp
FirstMerit Corporation
(Citizens Republic Bancorp, Inc.)
Indiana Community Bancorp
Bank of the Ozarks, Inc.
BBCN Bancorp, Inc.
(Center Financial Corporation)
NewBridge Bancorp
Sterling Bancshares, Inc.
The Bancorp, Inc.
TowneBank
12/12/2008
Wilshire Bancorp, Inc.
12/12/2008
12/12/2008
12/12/2008
12/12/2008
50
$
MD
FL
WA
CA
IN
NC
WA
CA
12/12/2008
22
Preferred Stock w/ Warrants
Bowie
Port St. Lucie
Spokane
Oakdale
Evansville
Raleigh
Seattle
Santa Clara
12/12/2008
12/12/2008
50
76 3/28/2012
NJ
Old Line Bancshares, Inc.
FPB Bancorp, Inc.
Sterling Financial Corporation
Oak Valley Bancorp
Old National Bancorp
Capital Bank Corporation
Pacific International Bancorp
SVB Financial Group
12/12/2008
12/12/2008
66 11/30/2011
237
Clinton
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
214
Unity Bancorp, Inc.
10,325,000
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
Valley Financial Corporation
Independent Bank Corporation
Pinnacle Financial Partners, Inc.
First Litchfield Financial Corporation
National Penn Bancshares, Inc.
Northeast Bancorp
Citizens South Banking Corporation
Virginia Commerce Bancorp
WesBanco, Inc. (Fidelity Bancorp, Inc.)
LSB Corporation
Intermountain Community Bancorp
Community West Bancshares
Synovus Financial Corp.
Tennessee Commerce Bancorp, Inc.
Community Bankers Trust Corporation
BancTrust Financial Group, Inc.
Enterprise Financial Services Corp.
Lititz
PA
Preferred Stock w/ Warrants
$
300,000,000
Par
50
4
35
208
5
100,000,000
32
35
9
New York
Hopkinsville
NY
KY
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
120,000,000
18,400,000
Par
Par
12/22/2010
3/31/2009
12/19/2012
Flint
MI
Preferred Stock w/ Warrants
$
300,000,000
Par
4/12/2013
214
$
300,000,000
$
0
Warrants
Columbus
Little Rock
IN
AR
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
21,500,000
75,000,000
Par
Par
9/12/2012
11/4/2009
4
$
$
21,500,000
75,000,000
$
$
0
0
Warrants
Warrants
Los Angeles
CA
Preferred Stock w/ Warrants
$
55,000,000
Par
6/27/2012
4
$
55,000,000
$
0
Warrants
Greensboro
Houston
Wilmington
Portsmouth
NC
TX
DE
VA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
52,372,000
125,198,000
45,220,000
76,458,000
Par
Par
Par
Par
4/29/2013
5/5/2009
3/10/2010
9/22/2011
237
$
$
$
$
50,837,239
125,198,000
45,220,000
76,458,000
$
$
$
$
0
0
0
0
Warrants
Warrants
Warrants
Warrants
5/15/2013
6/9/2010
9/8/2010
5/15/2013
Warrants
Warrants
Warrants
Warrants
Los Angeles
CA
Preferred Stock w/ Warrants
$
62,158,000
Par
3/28/2012
76
$
57,766,994
$
0
Warrants
6/20/2012
Warrants
R $
760,000
11/14/2012
4
$
1,600,000
$
14,419,000
2/20/2013
4
$
1,600,000
$
12,819,000
5/15/2013
4
$
1,600,000
$
11,219,000
12/28/2011
4
$
23,750,000
$
71,250,000
7/18/2012
Warrants
R $
755,000
6/20/2012
4
$
71,250,000
$
0
Warrants
4/7/2010
3/16/2011
11/28/2012
9/22/2011
12/11/2012
11/30/2012
11/18/2009
4
$
$
$
$
$
$
$
10,000,000
150,000,000
4,227,000
20,500,000
71,000,000
7,000,000
15,000,000
$
$
$
$
$
$
$
0
0
0
0
0
0
0
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
4/7/2010
4/13/2011
12/28/2012
11/9/2011
Warrants
Warrants
Warrants
Warrants
12/16/2009
$
11,181,456
$
0
Warrants
$
$
50,000,000
35,000,000
$
$
0
0
Warrants
Warrants
Roanoke
Ionia
Nashville
Litchfield
Boyertown
Lewiston
Gastonia
Arlington
Wheeling
North Andover
Sandpoint
Goleta
Columbus
Franklin
Glen Allen
Mobile
St. Louis
VA
MI
TN
CT
PA
ME
NC
VA
WV
MA
ID
CA
GA
TN
VA
AL
MO
Preferred Stock w/ Warrants
$
Mandatorily Convertible Preferred Stock w/
$
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
16,019,000
74,426,000
95,000,000
10,000,000
150,000,000
4,227,000
20,500,000
71,000,000
7,000,000
15,000,000
27,000,000
15,600,000
967,870,000
30,000,000
17,680,000
50,000,000
35,000,000
Par
4
4
4
4
5
50
9
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
4
4
50
4
176
4
12/11/2012
2/15/2013
11/7/2012
206
4
Preferred Stock w/
Warrants
$
$
$
$
1,488,046
1,000,000
95,000
225,157
Warrants
R $
560,000
6/12/2013
Warrants
P $
698,351
2/15/2013
1/9/2013
Warrants
Warrants
R $
R $
15,000
1,006,100
9
206
R
R
R
R
Page 3 of 43
Footnote
49
117 8/1/2012
45 - 6/3/2011
81 4/19/2012
50
64 10/21/2011
77 3/28/2012
50
92 6/27/2012
194
50
50
30 9/29/2010
18
49
50
Seller
Name of Institution
Purchase Date
12/19/2008 Mid Penn Bancorp, Inc.
12/19/2008 Summit State Bank
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Millersburg
Santa Rosa
PA
CA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
10,000,000
8,500,000
Par
Par
12/28/2012
8/4/2011
4
Capital Repayment
Amount 6
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
$
$
10,000,000
8,500,000
$
$
0
0
Warrants
Warrants
1/23/2013
9/14/2011
Warrants
Warrants
116
$
25,000,000
$
0
Warrants
8/1/2012
Warrants
4
$
22,000,000
$
0
Warrants
12/16/2009
Warrants
$
300,000,000
$
0
Warrants
6/3/2011
Warrants
49
Final Disposition
Proceeds
R $
R $
58,479
315,000
R $
1,189,813
R $
568,700
45
R $
6,900,000
81
R $
792,783
P $
143,677
116
12/19/2008
VIST Financial Corp.
Wyomissing
PA
Preferred Stock w/ Warrants
$
25,000,000
Par
8/1/2012
12/19/2008
Wainwright Bank & Trust Company
Boston
MA
Preferred Stock w/ Warrants
$
22,000,000
Par
11/24/2009
12/19/2008
Whitney Holding Corporation
New Orleans
LA
Preferred Stock w/ Warrants
$
300,000,000
Par
6/3/2011
12/19/2008
The Connecticut Bank and Trust Company
Hartford
CT
Preferred Stock w/ Warrants
$
5,448,000
Par
4/19/2012
81
$
5,448,000
$
0
Warrants
4/19/2012
Warrants
12/19/2008
CoBiz Financial Inc.
Denver
CO
Preferred Stock w/ Warrants
$
64,450,000
Par
9/8/2011
50
$
64,450,000
$
0
Warrants
11/18/2011
Warrants
12/19/2008
Santa Lucia Bancorp
Atascadero
CA
Preferred Stock w/ Warrants
$
4,000,000
Par
10/21/2011
64
$
2,800,000
$
0
N/A
N/A
N/A
12/19/2008
Seacoast Banking Corporation of Florida
Stuart
FL
Preferred Stock w/ Warrants
$
50,000,000
Par
3/28/2012
77
$
40,404,700
$
0
Warrants
5/30/2012
Warrants
R $
55,000
Horizon Bancorp
Michigan City
IN
Preferred Stock w/ Warrants
$
25,000,000
Par
11/10/2010
8/25/2011
4
12/19/2008
$
$
6,250,000
18,750,000
$
$
Warrants
11/18/2011
Warrants
P $
1,750,551
12/19/2008
Fidelity Southern Corporation
Atlanta
GA
Preferred Stock w/ Warrants
$
48,200,000
Par
6/27/2012
92
$
42,757,786
$
0
Warrants
12/19/2008
12/19/2008
12/19/2008
12/19/2008
Community Financial Corporation
Berkshire Hills Bancorp, Inc.
First California Financial Group, Inc
AmeriServ Financial, Inc
Staunton
Pittsfield
Westlake Village
Johnstown
VA
MA
CA
PA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
12,643,000
40,000,000
25,000,000
21,000,000
Par
Par
Par
Par
1/9/2013
5/27/2009
7/14/2011
8/11/2011
194
$
$
$
$
12,643,000
40,000,000
25,000,000
21,000,000
$
$
$
$
0
0
0
0
Warrants
Warrants
Warrants
Warrants
6/24/2009
8/24/2011
11/2/2011
Warrants
Warrants
Warrants
R $
R $
R $
1,040,000
599,042
825,000
12/19/2008
Security Federal Corporation
Aiken
SC
Preferred Stock w/ Warrants
$
18,000,000
Par
9/29/2010
4
$
18,000,000
$
0
Warrants
12/19/2008
12/19/2008
12/19/2008
Wintrust Financial Corporation
Flushing Financial Corporation
Monarch Financial Holdings, Inc.
Lake Forest
Lake Success
Chesapeake
IL
NY
VA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
250,000,000
70,000,000
14,700,000
Par
Par
Par
12/22/2010
10/28/2009
12/23/2009
4
$
$
$
250,000,000
70,000,000
14,700,000
$
$
$
0
0
0
2/8/2011
12/30/2009
2/10/2010
Warrants
Warrants
Warrants
9
A $
R $
R $
25,600,564
900,000
260,000
StellarOne Corporation
Charlottesville
VA
Preferred Stock w/ Warrants
$
30,000,000
Par
4/13/2011
4
12/19/2008
$
7,500,000
$
12/28/2011
4
$
22,500,000
$
0
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
9
R $
450,000
12/19/2008
12/19/2008
Union First Market Bankshares Corporation
(Union Bankshares Corporation)
Tidelands Bancshares, Inc
Bancorp Rhode Island, Inc.
12/19/2008
Hawthorn Bancshares, Inc.
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
2, 170
2, 49
2, 49
2, 3
2
2
2, 102
2, 103
2
2
2, 104
2
2
2, 50
Purchase Details
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/23/2008
12/23/2008
The Elmira Savings Bank, FSB
Alliance Financial Corporation
Heartland Financial USA, Inc.
Citizens First Corporation
FFW Corporation
Plains Capital Corporation
Tri-County Financial Corporation
OneUnited Bank
Patriot Bancshares, Inc.
Pacific City Financial Corporation
Marquette National Corporation
Exchange Bank
Monadnock Bancorp, Inc.
Bridgeview Bancorp, Inc.
Fidelity Financial Corporation
Patapsco Bancorp, Inc.
NCAL Bancorp
FCB Bancorp, Inc.
First Financial Bancorp
Bridge Capital Holdings
50
4
50
50
5
5
18,750,000
0
22,500,000
64
9
-
N/A
Bowling Green
VA
Preferred Stock w/ Warrants
$
59,000,000
Par
11/18/2009
5
$
59,000,000
$
0
Warrants
12/23/2009
Warrants
Mount Pleasant
Providence
SC
RI
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
14,448,000
30,000,000
Par
Par
8/5/2009
4
$
30,000,000
$
0
9/30/2009
Warrants
R $
1,400,000
MO
Preferred Stock w/ Warrants
$
30,255,000
Par
5/9/2012
4
Lee's Summit
$
12,000,000
$
6/12/2013
Warrants
R $
540,000
5/15/2013
8/25/2011
5/13/2009
9/15/2011
4
$
$
$
$
18,255,000
9,090,000
26,918,000
81,698,000
$
$
$
$
6/17/2009
9/28/2011
Warrants
Warrants
R $
R $
900,000
1,800,000
11/30/2012
9/27/2011
9/22/2011
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
P $
R $
R $
358,558
4,382,000
777,000
P $
P $
R $
1,450,171
2,054,215
92,000
Elmira
Syracuse
Dubuque
Bowling Green
Wabash
Dallas
Waldorf
Boston
Houston
Los Angeles
Chicago
Santa Rosa
Peterborough
Bridgeview
Wichita
Dundalk
Los Angeles
Louisville
Cincinnati
San Jose
NY
NY
IA
KY
IN
TX
MD
MA
TX
CA
IL
CA
NH
IL
KS
MD
CA
KY
OH
CA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
9,090,000
26,918,000
81,698,000
8,779,000
7,289,000
87,631,000
15,540,000
12,063,000
26,038,000
16,200,000
35,500,000
43,000,000
1,834,000
38,000,000
36,282,000
6,000,000
10,000,000
9,294,000
80,000,000
23,864,000
Par
Par
Par
2/16/2011
4
$
2,212,308
$
6,566,692
2/13/2013
4
$
3,300,904
$
3,265,788
11/30/2012
9/27/2011
9/22/2011
170
$
$
$
6,515,426
87,631,000
15,540,000
$
$
$
0
0
0
Warrants
Preferred Stock w/
Warrants
Warrants
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Preferred Stock 2
Preferred Stock 2
2
Preferred Stock
7/27/2012
7/27/2012
12/28/2012
102
$
$
$
25,313,186
37,259,393
1,834,000
$
$
$
0
0
0
Preferred Stock 2
2
Preferred Stock
Preferred Stock 2
7/27/2012
7/27/2012
12/28/2012
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
7/27/2012
104
$
32,013,328
$
0
Preferred Stock 2
7/27/2012
Preferred Stock
2, 7
P $
1,725,103
9/22/2011
2/24/2010
50
$
$
9,294,000
80,000,000
$
$
0
0
Preferred Stock 2
Warrants
9/22/2011
6/2/2010
Preferred Stock
Warrants
2, 7
R $
A $
465,000
2,966,288
2/23/2011
4
$
15,000,000
$
Preferred Stock w/
Warrants
4/20/2011
Warrants
R $
1,395,000
3/16/2011
4
$
8,864,000
$
49
4
50
18,255,000
0
0
0
0
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
49
49
103
4
5
8,864,000
0
2, 7
2, 7
2, 7
2, 7
9
Warrants
Page 4 of 43
Footnote
Seller
Name of Institution
Purchase Date
12/23/2008
178
119
49
59 - 9/7/2011
Purchase Details
International Bancshares Corporation
City
Laredo
State
TX
Capital Repayment Details
Investment Amount
Preferred Stock w/ Warrants
$
216,000,000
Pricing
Mechanism
Par
12/23/2008
First Sound Bank
Seattle
WA
Preferred Stock w/ Warrants
$
7,400,000
Par
12/23/2008
M&T Bank Corporation
Buffalo
NY
Preferred Stock w/ Warrants
$
600,000,000
Par
12/23/2008
12/23/2008
Emclaire Financial Corp.
Park National Corporation
Emlenton
Newark
PA
OH
12/23/2008
Green Bankshares, Inc.
Greeneville
TN
12/23/2008
Cecil Bancorp, Inc.
Elkton
MD
12/23/2008
Financial Institutions, Inc.
Warsaw
NY
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Capital
Repayment Date
Capital Repayment
Amount 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
5/18/2011
4
$
370,000,000
$
119
$
$
$
230,000,000
7,500,000
100,000,000
$
$
$
0
0
0
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
N/A
Preferred Stock w/
Warrants
Warrants
Warrants
Warrants
0
N/A
7/11/2011
4
$
40,000,000
$
176,000,000
11/1/2012
4
$
45,000,000
$
131,000,000
11/28/2012
2/20/2013
4
$
$
131,000,000
3,700,000
$
$
178
0
0
230,000,000
$
$
7,500,000
100,000,000
Par
Par
8/17/2012
8/18/2011
4/25/2012
$
72,278,000
Par
9/7/2011
59
$
68,700,000
$
$
11,560,000
Par
2/23/2011
4
$
12,505,000
$
3/30/2011
4
$
25,010,000
$
0
Warrants
$
37,515,000
Final
Disposition
Date
49
4
25,010,000
Par
Preferred Stock w/
Warrants
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
6/12/2013
Warrants
P $
N/A
N/A
12/17/2012
Warrants
P $
31,838,761
12/7/2011
5/2/2012
Warrants
Warrants
R $
R $
51,113
2,842,400
N/A
N/A
5/11/2011
Warrants
R $
2,079,963
9/8/2010
Warrants
R $
10,800,000
R $
R $
900,194
1,442,000
4,018,511
N/A
59
-
N/A
12/23/2008
Fulton Financial Corporation
Lancaster
PA
Preferred Stock w/ Warrants
$
376,500,000
Par
7/14/2010
4
$
376,500,000
$
0
Warrants
30 - 9/3/2010
12/23/2008
United Bancorporation of Alabama, Inc.
Atmore
AL
Preferred Stock w/ Warrants
$
10,300,000
Par
9/3/2010
4
$
10,300,000
$
0
Warrants
50
12/23/2008
12/23/2008
12/23/2008
MutualFirst Financial, Inc.
BCSB Bancorp, Inc.
HMN Financial, Inc.
Muncie
Baltimore
Rochester
IN
MD
MN
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
32,382,000
10,800,000
26,000,000
Par
Par
Par
8/25/2011
1/26/2011
2/8/2013
50
$
$
$
32,382,000
10,800,000
18,571,410
$
$
$
0
0
0
Warrants
Warrants
Warrants
9/28/2011
4/19/2013
Warrants
Warrants
12/23/2008
First Community Bank Corporation of America
Pinellas Park
FL
Preferred Stock w/ Warrants
$
10,685,000
Par
5/31/2011
39
$
7,754,267
$
0
N/A
N/A
N/A
12/23/2008
12/23/2008
Sterling Bancorp
Intervest Bancshares Corporation
New York
New York
NY
NY
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
42,000,000
25,000,000
Par
Par
4/27/2011
6/24/2013
4
$
$
42,000,000
24,007,500
$
$
0
0
Warrants
Warrants
5/18/2011
Warrants
R $
945,775
12/23/2008
Peoples Bancorp of North Carolina, Inc.
Newton
NC
Preferred Stock w/ Warrants
$
25,054,000
Par
6/27/2012
93
$
23,033,635
$
0
Warrants
8/8/2012
Warrants
R $
425,000
6/12/2013
11/18/2011
12/1/2010
11/9/2012
Warrants
Warrants
Warrants
Preferred Stock
Preferred Stock 2
Preferred Stock 2
11/9/2012
Preferred Stock
204
393/11/2011
246
93 6/27/2012
67 12/29/2011
154
2, 155
2
2, 148
2
3, 30 8/20/2010
2, 143
2
2, 49
2, 49
2
2
2, 49
2, 49
31 9/30/2010
204
246
-
N/A
Hermitage
PA
Preferred Stock w/ Warrants
$
31,762,000
Par
1/3/2012
67
$
31,762,000
$
0
Warrants
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
F.N.B. Corporation (Parkvale Financial
Corporation)
Timberland Bancorp, Inc.
1st Constitution Bancorp
Central Jersey Bancorp
Western Illinois Bancshares Inc.
Saigon National Bank
Capital Pacific Bancorp
Uwharrie Capital Corp
Hoquiam
Cranbury
Oakhurst
Monmouth
Westminster
Portland
Albemarle
WA
NJ
NJ
IL
CA
OR
NC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
16,641,000
12,000,000
11,300,000
6,855,000
1,549,000
4,000,000
10,000,000
Par
Par
Par
Par
Par
Par
Par
11/13/2012
10/27/2010
11/24/2010
11/9/2012
154
$
$
$
$
14,209,334
12,000,000
11,300,000
6,398,944
$
$
$
$
0
0
0
0
Warrants
Warrants
Warrants
11/9/2012
4/3/2013
148
$
$
3,728,440
7,742,000
$
$
12/23/2008
Mission Valley Bancorp
Sun Valley
CA
Preferred Stock
$
5,500,000
Par
8/20/2010
4
$
5,500,000
$
0
N/A
N/A
N/A
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
The Little Bank, Incorporated
Pacific Commerce Bank
Citizens Community Bank
Seacoast Commerce Bank
TCNB Financial Corp.
Leader Bancorp, Inc.
Nicolet Bankshares, Inc.
Kinston
Los Angeles
South Hill
Chula Vista
Dayton
Arlington
Green Bay
NC
CA
VA
CA
OH
MA
WI
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
7,500,000
4,060,000
3,000,000
1,800,000
2,000,000
5,830,000
14,964,000
Par
Par
Par
Par
Par
Par
Par
10/31/2012
143
$
7,285,410
$
0
Preferred Stock 2
10/31/2012
Preferred Stock
2,7
R $
371,250
7/28/2011
9/1/2011
8/3/2011
11/24/2010
9/1/2011
11/24/2009
6/8/2011
8/18/2011
49
$
$
$
$
$
$
$
$
3,000,000
1,800,000
2,000,000
5,830,000
14,964,000
3,455,000
3,455,000
6,885,000
$
$
$
$
$
$
$
$
Preferred Stock
2
Preferred Stock
Preferred Stock 2
Preferred Stock 2
2
Preferred Stock
2
Preferred Stock
2
Preferred Stock
Preferred Stock 2
2
7/28/2011
9/1/2011
8/3/2011
11/24/2010
9/1/2011
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
R
R
R
R
R
$
$
$
$
$
150,000
90,000
100,000
292,000
748,000
8/18/2011
Preferred Stock
2, 7
R $
690,000
12/20/2012
12/30/2010
7/14/2011
189
$
$
$
2,445,000
4,700,000
4,767,000
$
$
$
0
0
0
Preferred Stock
Preferred Stock 2
Preferred Stock 2
2
12/20/2012
12/30/2010
7/14/2011
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
P $
R $
R $
105,000
235,000
238,000
4/29/2013
7/28/2011
3/30/2011
2/10/2010
2/2/2011
238
$
$
$
$
$
3,041,330
11,600,000
1,350,000,000
7,579,200,000
3,408,000,000
$
$
$
$
$
0
0
0
0
0
Preferred Stock
2
Preferred Stock
Warrants
Warrants
Warrants
4/29/2013
7/28/2011
9/22/2011
4/29/2010
3/16/2011
Preferred Stock
Preferred Stock
Warrants
Warrants
Warrants
2, 7
12/23/2008
12/23/2008
2
2, 189
2
2, 49
2, 61
2, 238
2, 50
4
Magna Bank
Memphis
TN
Preferred Stock w/ Exercised Warrants
$
13,795,000
Par
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/31/2008
12/31/2008
12/31/2008
Western Community Bancshares, Inc.
Community Investors Bancorp, Inc.
Capital Bancorp, Inc.
Cache Valley Banking Company
Citizens Bancorp
Tennessee Valley Financial Holdings, Inc.
Pacific Coast Bankers' Bancshares
SunTrust Banks, Inc.
The PNC Financial Services Group Inc.
Fifth Third Bancorp
Palm Desert
Bucyrus
Rockville
Logan
Nevada City
Oak Ridge
San Francisco
Atlanta
Pittsburgh
Cincinnati
CA
OH
MD
UT
CA
TN
CA
GA
PA
OH
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
7,290,000
2,600,000
4,700,000
4,767,000
10,400,000
3,000,000
11,600,000
1,350,000,000
7,579,200,000
3,408,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
12/31/2008
Hampton Roads Bankshares, Inc.
Norfolk
VA
Common Stock w/ Warrants
$
80,347,000
Par
4
4
155
4
49
4
4
49
4
4
49
4
49
50
4
4
4
0
2,258,000
0
0
0
0
0
10,340,000
6,885,000
0
Preferred Stock
2
2
2, 7
2, 7
P
P
R
P
$
$
$
$
1,301,856
326,576
319,659
335,417
P $
192,102
-
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
P
R
A
A
R
N/A
$
$
$
$
$
144,142
580,000
15,996,899
320,277,984
280,025,936
Page 5 of 43
Footnote
16
2
1a, 1b
87 06/13/2012
Seller
Purchase Date
12/31/2008
12/31/2008
12/31/2008
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
65 11/15/2011
37, 46 3/29/2012
199
33
49
2, 223
2
2, 49
2, 49
2, 152
3
2, 49
2
2
2
2
2, 49
2, 50
2
2, 140
2
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
CIT Group Inc.
West Bancorporation, Inc.
First Banks, Inc.
Bank of America Corporation
FirstMerit Corporation
New York
West Des Moines
Clayton
Charlotte
Akron
NY
IA
MO
NC
OH
Contingent Value Rights
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
2,330,000,000
36,000,000
295,400,000
10,000,000,000
125,000,000
Par
Par
Par
Par
Par
2/8/2010
6/29/2011
16
12/9/2009
4/22/2009
4
Farmers Capital Bank Corporation
Frankfort
KY
Preferred Stock w/ Warrants
$
30,000,000
Par
6/13/2012
Peapack-Gladstone Financial Corporation
Commerce National Bank
The First Bancorp, Inc.
Gladstone
Newport Beach
Damariscotta
NJ
CA
ME
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
28,685,000
5,000,000
25,000,000
Par
Par
Par
Vineland
NJ
Preferred Stock w/ Warrants
$
89,310,000
Par
Raleigh
NC
Preferred Stock w/ Warrants
$
24,900,000
Par
1/9/2009
Sun Bancorp, Inc.
Crescent Financial Bancshares, Inc.
(Crescent Financial Corporation)
American Express Company
New York
NY
Preferred Stock w/ Warrants
$
3,388,890,000
Par
1/9/2009
Central Pacific Financial Corp.
Honolulu
HI
$
135,000,000
Par
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
209
50
239
49
49
215
Purchase Details
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
Centrue Financial Corporation
Eastern Virginia Bankshares, Inc.
Colony Bankcorp, Inc.
Independent Bank Corp.
Cadence Financial Corporation
LCNB Corp.
Center Bancorp, Inc.
F.N.B. Corporation
C&F Financial Corporation
North Central Bancshares, Inc.
Carolina Bank Holdings, Inc.
First Bancorp
First Financial Service Corporation
Codorus Valley Bancorp, Inc.
MidSouth Bancorp, Inc.
First Security Group, Inc.
Shore Bancshares, Inc.
The Queensborough Company
American State Bancshares, Inc.
Security California Bancorp
Security Business Bancorp
Sound Banking Company
Mission Community Bancorp
Redwood Financial Inc.
Surrey Bancorp
Independence Bank
Valley Community Bank
Rising Sun Bancorp
Community Trust Financial Corporation
GrandSouth Bancorporation
Texas National Bancorporation
Congaree Bancshares, Inc.
New York Private Bank & Trust Corporation
St. Louis
Tappahannock
Fitzgerald
Rockland
Starkville
Lebanon
Union
Hermitage
West Point
Fort Dodge
Greensboro
Troy
Elizabethtown
York
Lafayette
Chattanooga
Easton
Louisville
Great Bend
Riverside
San Diego
Morehead City
San Luis Obispo
Redwood Falls
Mount Airy
East Greenwich
Pleasanton
Rising Sun
Ruston
Greenville
Jacksonville
Cayce
New York
MO
VA
GA
MA
MS
OH
NJ
PA
VA
IA
NC
NC
KY
PA
LA
TN
MD
GA
KS
CA
CA
NC
CA
MN
NC
RI
CA
MD
LA
SC
TX
SC
NY
Common Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
32,668,000
24,000,000
28,000,000
78,158,000
44,000,000
13,400,000
10,000,000
100,000,000
20,000,000
10,200,000
16,000,000
65,000,000
20,000,000
16,500,000
20,000,000
33,000,000
25,000,000
12,000,000
6,000,000
6,815,000
5,803,000
3,070,000
5,116,000
2,995,000
2,000,000
1,065,000
5,500,000
5,983,000
24,000,000
9,000,000
3,981,000
3,285,000
267,274,000
Par
Par
Par
Par
Par
Par
Par
Par
Capital Repayment
Amount 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final Disposition
Disposition
Investment
15
Description
$
$
0
36,000,000
$
$
0
0
N/A
Warrants
N/A
8/31/2011
N/A
Warrants
$
$
10,000,000,000
125,000,000
$
$
0
0
Warrants
Warrants
3/3/2010
5/27/2009
Warrants
Warrants
87
$
21,863,750
$
0
Warrants
7/18/2012
1/6/2010
4
$
7,172,000
$
21,513,000
3/2/2011
4
$
7,172,000
$
14,341,000
1/11/2012
10/7/2009
4
$
$
14,341,000
5,000,000
$
$
8/24/2011
4
$
12,500,000
$
12,500,000
3/27/2013
4
$
2,500,000
$
10,000,000
5/8/2013
4/8/2009
4
$
$
10,000,000
89,310,000
$
$
0
0
6/17/2009
4
$
3,388,890,000
$
0
6/17/2011
46
$
35,883,281
$
3/29/2012
46
$
36,039,222
$
0
Warrants
2/7/2013
4/22/2009
3/4/2011
10/21/2009
9/15/2011
9/9/2009
199
$
$
$
$
$
$
21,680,089
78,158,000
38,000,000
13,400,000
10,000,000
100,000,000
$
$
$
$
$
$
0
0
0
0
0
0
Warrants
Warrants
N/A
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
4
4
4
4
4
33
4
49
4
0
0
99,116,719
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
Warrants
Warrants
Common Stock w/
Warrants
7/27/2011
4
$
10,000,000
$
4/11/2012
4
$
10,000,000
$
0
Warrants
12/14/2011
2/20/2013
9/1/2011
4/29/2013
8/18/2011
8/25/2011
4/11/2013
4/15/2009
3/11/2013
11/2/2011
9/15/2011
7/14/2011
11/13/2012
12/28/2011
8/18/2011
12/29/2010
4
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
10,200,000
14,811,984
65,000,000
10,733,778
16,500,000
20,000,000
14,912,862
25,000,000
11,605,572
6,000,000
6,815,000
5,803,000
2,807,413
5,116,000
2,995,000
2,000,000
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
N/A
Warrants
$
$
$
$
24,000,000
9,000,000
3,981,000
2,685,979
$
$
$
$
0
0
0
0
10,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Final
Disposition
Date
7/6/2011
9/8/2011
5/19/2010
10/31/2012
209
50
239
49
49
215
4
223
4
49
49
152
4
49
4
49
50
4
140
2
Preferred Stock
2
Preferred Stock
2
Preferred Stock
Preferred Stock 2
Preferred Stock 2
N/A
Preferred Stock 2
Preferred Stock 2
2
Preferred Stock
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Final Disposition
Proceeds
R $
N/A
700,000
A $
R $
122,365,216
5,025,000
Warrants
R $
75,000
4/4/2012
Warrants
R $
110,000
5/27/2009
Warrants
R $
2,100,000
7/29/2009
Warrants
R $
340,000,000
6/12/2013
Warrants
P $
751,888
6/12/2013
5/27/2009
N/A
11/18/2011
12/7/2011
11/18/2011
Warrants
Warrants
N/A
Warrants
Warrants
Warrants
P $
R $
P $
R $
P $
810,000
2,200,000
N/A
602,557
245,000
690,100
1/11/2012
4/19/2013
11/18/2011
Warrants
Warrants
Warrants
R $
R $
P $
600,000
1,800,000
924,462
9/28/2011
11/18/2011
N/A
11/16/2011
3/11/2013
11/2/2011
9/15/2011
7/14/2011
11/13/2012
N/A
8/18/2011
12/29/2010
Warrants
Warrants
N/A
Warrants
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
N/A
Preferred Stock
Preferred Stock
7/6/2011
9/8/2011
5/19/2010
10/31/2012
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
1b
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2,7
R
P
R
P
R
R
R
P
R
R
$
$
$
$
526,604
206,557
N/A
25,000
576,774
300,000
341,000
290,000
147,918
N/A
150,000
100,000
R
R
R
R
$
$
$
$
1,200,000
450,000
199,000
106,364
$
$
$
$
$
$
Page 6 of 43
Footnote
49
Seller
Purchase Date
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
Purchase Details
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
7/6/2011
1/12/2011
8/25/2011
2/24/2010
5/20/2009
5/20/2009
12/7/2011
Home Bancshares, Inc.
Washington Banking Company
New Hampshire Thrift Bancshares, Inc.
Bar Harbor Bankshares
Somerset Hills Bancorp
SCBT Financial Corporation
S&T Bancorp
Crescent Financial Bancshares, Inc.
(ECB Bancorp, Inc.)
Conway
Oak Harbor
Newport
Bar Harbor
Bernardsville
Columbia
Indiana
AR
WA
NH
ME
NJ
SC
PA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
50,000,000
26,380,000
10,000,000
18,751,000
7,414,000
64,779,000
108,676,000
Par
Par
Par
Par
Par
Par
Par
Raleigh
NC
Preferred Stock w/ Warrants
$
17,949,000
Par
4
4
49
5
4
4
4
Capital Repayment
Amount 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
$
$
$
$
$
$
$
50,000,000
26,380,000
10,000,000
18,751,000
7,414,000
64,779,000
108,676,000
$
$
$
$
$
$
$
0
0
0
0
0
0
0
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
7/27/2011
3/2/2011
2/15/2012
7/28/2010
6/24/2009
6/24/2009
6/12/2013
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
9
9
R
R
R
R
R
R
P
Final Disposition
Proceeds
$
$
$
$
$
$
$
1,300,000
1,625,000
737,100
250,000
275,000
1,400,000
527,361
233
1/16/2009
28 10/07/2011
1/16/2009
First BanCorp
San Juan
PR
Common Stock w/ Warrants
$
424,174,000
Par
1/16/2009
Texas Capital Bancshares, Inc.
Yadkin Financial Corporation (Yadkin Valley
Financial Corporation)
Dallas
TX
Preferred Stock w/ Warrants
$
75,000,000
Par
5/13/2009
4
$
75,000,000
$
0
Warrants
3/11/2010
Warrants
A $
6,559,066
Elkin
NC
Preferred Stock w/ Warrants
$
36,000,000
Par
9/12/2012
124
$
31,843,080
$
0
Warrants
6/12/2013
Warrants
P $
20,000
124
1/16/2009
3, 30 8/27/2010
1/16/2009
Carver Bancorp, Inc
New York
NY
Preferred Stock
$
18,980,000
Par
8/27/2010
4
$
18,980,000
$
0
N/A
N/A
N/A
1/16/2009
Citizens & Northern Corporation
Wellsboro
PA
Preferred Stock w/ Warrants
$
26,440,000
Par
8/4/2010
4
$
26,440,000
$
0
Warrants
9/1/2010
Warrants
R $
400,000
1/16/2009
MainSource Financial Group, Inc.
Greensburg
IN
Preferred Stock w/ Warrants
$
57,000,000
Par
3/28/2012
78
$
52,277,171
$
0
Warrants
6/12/2013
Warrants
P $
1,512,177
1/16/2009
MetroCorp Bancshares, Inc.
Houston
TX
Preferred Stock w/ Warrants
$
45,000,000
Par
6/27/2012
95
$
43,490,360
$
0
Warrants
6/12/2013
Warrants
P $
2,087,368
1/16/2009
United Bancorp, Inc.
Tecumseh
MI
Preferred Stock w/ Warrants
$
20,600,000
Par
6/13/2012
91
$
16,750,221
$
0
Warrants
7/18/2012
Warrants
R $
38,000
3/11/2013
224
$
24,438,021
$
Preferred Stock w/
Warrants
6/12/2013
Warrants
P $
106,891
3/27/2013
227
$
1,109,298
$
0
Warrants
R $
1,100,000
R $
R $
430,797
128,000
R $
R $
750,000
500,000
N/A
-
N/A
78 3/28/2012
95 6/27/2012
91 06/13/2012
224, 227
1/16/2009
96 6/27/2012
2
2
2
2, 50
2, 19
3, 30 9/29/2010
2, 49
2
2
2, 49
2, 49
2, 201
2, 179
2, 162
2
2
2
3, 30 8/6/2010
2
2, 36
159
94 6/27/2012
79 3/28/2012
2
Old Second Bancorp, Inc.
Aurora
IL
Preferred Stock w/ Warrants
$
73,000,000
2,972,000
Par
-
N/A
1/16/2009
Pulaski Financial Corp
Creve Coeur
MO
Preferred Stock w/ Warrants
$
32,538,000
Par
6/27/2012
96
$
28,460,338
$
0
Warrants
8/8/2012
Warrants
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
OceanFirst Financial Corp.
Community 1st Bank
TCB Holding Company, Texas Community Bank
Centra Financial Holdings, Inc.
First Bankers Trustshares, Inc.
Pacific Coast National Bancorp
Toms River
Roseville
The Woodlands
Morgantown
Quincy
San Clemente
NJ
CA
TX
WV
IL
CA
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
38,263,000
2,550,000
11,730,000
15,000,000
10,000,000
4,120,000
Par
Par
Par
Par
Par
Par
12/30/2009
12/19/2012
5
$
$
38,263,000
2,550,000
$
$
0
0
Warrants
Preferred Stock
2/3/2010
12/19/2012
Warrants
Preferred Stock
3/31/2009
9/8/2011
2/11/2010
4
50
$
$
$
15,000,000
10,000,000
0
$
$
$
0
0
0
Preferred Stock 2
2
Preferred Stock
N/A
4/15/2009
9/8/2011
N/A
Preferred Stock
Preferred Stock
N/A
1/16/2009
Community Bank of the Bay
Oakland
CA
Preferred Stock
$
1,747,000
Par
9/29/2010
4
$
1,747,000
$
0
N/A
N/A
N/A
1/16/2009
1/16/2009
1/16/2009
1/16/2009
Redwood Capital Bancorp
Syringa Bancorp
Idaho Bancorp
Puget Sound Bank
Eureka
Boise
Boise
Bellevue
CA
ID
ID
WA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
3,800,000
8,000,000
6,900,000
4,500,000
Par
Par
Par
Par
7/21/2011
49
$
3,800,000
$
0
Preferred Stock 2
7/21/2011
Preferred Stock
2, 7
R $
190,000
8/11/2011
12/15/2010
9/15/2011
2/8/2013
12/11/2012
11/30/2012
8/12/2009
6/29/2011
49
$
$
$
$
$
$
$
$
4,500,000
3,000,000
2,658,000
79,903,245
13,399,227
2,477,000
12,500,000
37,500,000
$
$
$
$
$
$
$
$
Preferred Stock 2
Preferred Stock 2
2
Preferred Stock
2
Preferred Stock
Preferred Stock 2
Preferred Stock 2
2
Preferred Stock
2
Preferred Stock
8/11/2011
Preferred Stock
2, 7
R $
225,000
2,7
R $
283,000
P $
P $
P $
4,925,417
858,478
100,100
4
19
4
0
2,658,000
0
0
0
0
37,500,000
0
1/16/2009
United Financial Banking Companies, Inc.
Vienna
VA
Preferred Stock w/ Exercised Warrants
$
5,658,000
Par
1/16/2009
1/16/2009
1/16/2009
Dickinson Financial Corporation II
The Baraboo Bancorporation
Bank of Commerce
Kansas City
Baraboo
Charlotte
MO
WI
NC
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
146,053,000
20,749,000
3,000,000
Par
Par
Par
1/16/2009
State Bankshares, Inc.
Fargo
ND
$
50,000,000
Par
1/16/2009
1/16/2009
BNCCORP, Inc.
First Manitowoc Bancorp, Inc.
Bismarck
Manitowoc
ND
WI
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
20,093,000
12,000,000
Par
Par
5/27/2009
4
$
12,000,000
$
0
1/16/2009
Southern Bancorp, Inc.
Arkadelphia
AR
Preferred Stock
$
11,000,000
Par
8/6/2010
4
$
11,000,000
$
0
1/16/2009
Morrill Bancshares, Inc.
Merriam
KS
Preferred Stock w/ Exercised Warrants
$
13,000,000
Par
7/20/2011
2/15/2011
12/21/2012
12/29/2010
4
$
$
$
$
13,000,000
500,000
150,000
111,000,000
$
$
$
$
0
0
0
0
Preferred Stock w/ Exercised Warrants
49
162
4
36
2
9/15/2011
Preferred Stock
9
2, 7
2, 7
2, 7
2/8/2013
12/11/2012
11/30/2012
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
6/29/2011
Preferred Stock
2, 7
R $
2,500,000
Preferred Stock 2
5/27/2009
Preferred Stock
2, 7
R $
600,000
N/A
N/A
N/A
7/20/2011
Preferred Stock
3/9/2011
Preferred Stock
Warrants
N/A
Warrants
2
2, 7
2, 7
2, 7
N/A
R $
650,000
Warrants
R $
3,750,000
1/16/2009
Treaty Oak Bancorp, Inc.
Austin
TX
Warrants
$
3,268,000
Par
1/23/2009
1/23/2009
1/23/2009
1st Source Corporation
Princeton National Bancorp, Inc.
AB&T Financial Corporation
South Bend
Princeton
Gastonia
IN
IL
NC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
111,000,000
25,083,000
3,500,000
Par
Par
Par
1/23/2009
First Citizens Banc Corp
Sandusky
OH
Preferred Stock w/ Warrants
$
23,184,000
Par
6/27/2012
94
$
20,689,633
$
0
Warrants
9/5/2012
Warrants
R $
563,174
1/23/2009
WSFS Financial Corporation
Wilmington
DE
Preferred Stock w/ Warrants
$
52,625,000
Par
3/28/2012
79
$
47,435,299
$
0
Warrants
9/12/2012
Warrants
R $
1,800,000
1/23/2009
Commonwealth Business Bank
Los Angeles
CA
Preferred Stock w/ Exercised Warrants
$
7,701,000
Par
36
4
Page 7 of 43
Footnote
Seller
Purchase Date
Name of Institution
2, 13 12/4/2009,
153
1/23/2009
Three Shores Bancorporation, Inc. (Seaside
National Bank & Trust)
2
1/23/2009
CalWest Bancorp
2
2
2
2
2
1/23/2009
1/23/2009
1/23/2009
1/23/2009
Fresno First Bank
First ULB Corp.
Alarion Financial Services, Inc.
Midland States Bancorp, Inc.
2
2
2, 51
2
2, 50
2
2, 49
2, 49
2
2, 229
174
228
5
50
240
49
139
49
241
234
49
97 6/27/2012
2
2
2
2, 49
2
City
Orlando
Rancho Santa
Margarita
Fresno
Oakland
Ocala
Effingham
State
Capital Repayment Details
Investment Amount
11/9/2012
153
$
4,992,788
$
0
Preferred Stock
2
11/9/2012
Preferred Stock
2, 7
P $
282,285
11/1/2012
4/22/2009
49
$
$
1,968,000
4,900,000
$
$
0
0
Preferred Stock 2
2
Preferred Stock
11/1/2012
4/22/2009
Preferred Stock
Preferred Stock
2, 7
R $
R $
98,000
245,000
12/23/2009
4/25/2012
12/5/2012
1/9/2013
12/8/2010
4
$
$
$
$
$
10,189,000
1,100,000
5,116,000
3,063,000
3,300,000
$
$
$
$
$
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
2
Preferred Stock
2
Preferred Stock
12/23/2009
Preferred Stock
2, 7
R $
509,000
12/5/2012
Preferred Stock
2, 7
R $
311,000
12/8/2010
Preferred Stock
2, 7
R $
165,000
7/21/2011
50
$
57,500,000
$
Preferred Stock 2
7/21/2011
Preferred Stock
2, 7
R $
2,875,000
9/8/2011
8/25/2011
12/16/2009
6/16/2010
3/27/2013
49
$
$
$
$
$
15,500,000
5,000,000
1,000,000
2,240,000
1,879,145
$
$
$
$
$
0
0
2,240,000
0
0
9/8/2011
8/25/2011
Preferred Stock
Preferred Stock
2, 7
R $
R $
775,000
250,000
6/16/2010
Preferred Stock
2, 7
R $
162,000
3/27/2013
Preferred Stock
2, 7
P $
139,063
$
21,000,000
$
18,000,000
2/15/2012
Warrants
R $
1,200,724
FL
Preferred Stock w/ Exercised Warrants
$
5,677,000
Par
CA
Preferred Stock w/ Exercised Warrants
$
4,656,000
Par
CA
CA
FL
IL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
1,968,000
4,900,000
6,514,000
10,189,000
Par
Par
Par
Par
Moscow
TN
Preferred Stock w/ Exercised Warrants
$
6,216,000
Par
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
Farmers Bank
California Oaks State Bank
Pierce County Bancorp
Calvert Financial Corporation
Liberty Bancshares, Inc.
Crosstown Holding Company
BankFirst Capital Corporation
Southern Illinois Bancorp, Inc.
Windsor
Thousand Oaks
Tacoma
Ashland
Jonesboro
Blaine
Macon
Carmi
VA
CA
WA
MO
AR
MN
MS
IL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
8,752,000
3,300,000
6,800,000
1,037,000
57,500,000
10,650,000
15,500,000
5,000,000
Par
Par
Par
Par
Par
Par
Par
Par
1/23/2009
FPB Financial Corp.
Hammond
LA
Preferred Stock w/ Exercised Warrants
$
3,240,000
Par
1/23/2009
Stonebridge Financial Corp.
West Chester
PA
Preferred Stock w/ Exercised Warrants
$
10,973,000
Par
1/30/2009
Peoples Bancorp Inc.
Marietta
OH
Preferred Stock w/ Warrants
$
39,000,000
Par
Anchor BanCorp Wisconsin Inc.
Parke Bancorp, Inc.
Central Virginia Bankshares, Inc.
Flagstar Bancorp, Inc.
Middleburg Financial Corporation
Peninsula Bank Holding Co.
PrivateBancorp, Inc.
Central Valley Community Bancorp
Plumas Bancorp
Stewardship Financial Corporation
Oak Ridge Financial Services, Inc.
First United Corporation
Community Partners Bancorp
Madison
Sewell
Powhatan
Troy
Middleburg
Palo Alto
Chicago
Fresno
Quincy
Midland Park
Oak Ridge
Oakland
Middletown
WI
NJ
VA
MI
VA
CA
IL
CA
CA
NJ
NC
MD
NJ
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
110,000,000
16,288,000
11,385,000
266,657,000
22,000,000
6,000,000
243,815,000
7,000,000
11,949,000
10,000,000
7,700,000
30,000,000
9,000,000
Final Disposition
Disposition
Investment
15
Description
Capital
Repayment Date
Moscow Bancshares, Inc.
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
Final
Disposition
Date
Pricing
Mechanism
1/23/2009
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
1/30/2009
Guaranty Federal Bancshares, Inc.
Springfield
MO
Preferred Stock w/ Warrants
$
17,000,000
Par
1/30/2009
F.N.B. Corporation
(Annapolis Bancorp, Inc.)
Annapolis
MD
Preferred Stock w/ Warrants
$
8,152,000
Par
4
4
4
4
4
Capital Repayment
Amount 6
0
5,116,000
0
5,689,000
0
0
2, 7
Final Disposition
Proceeds
2/2/2011
4
12/28/2011
4
$
18,000,000
$
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
2
Preferred Stock
2
Preferred Stock
Preferred Stock w/
Warrants
Warrants
11/29/2012
174
$
11,595,735
$
0
Warrants
6/12/2013
Warrants
P $
1,650,288
3/27/2013
12/23/2009
228
$
$
240,627,277
22,000,000
$
$
0
0
Warrants
Warrants
6/12/2013
11/18/2011
Warrants
Warrants
P $
P $
12,905
301,001
10/24/2012
8/18/2011
4/29/2013
9/1/2011
10/31/2012
5
$
$
$
$
$
243,815,000
7,000,000
12,907,297
10,000,000
7,024,595
$
$
$
$
$
0
0
0
0
0
Warrants
Warrants
Warrants
Warrants
Warrants
11/14/2012
9/28/2011
5/22/2013
10/26/2011
2/6/2013
Warrants
Warrants
Warrants
Warrants
Warrants
R
R
R
R
R
$
$
$
$
$
1,225,000
185,017
234,500
107,398
122,888
$
$
$
9,000,000
5,000,000
11,493,900
$
$
$
0
12,000,000
0
10/26/2011
Warrants
R $
460,000
5/15/2013
Warrants
R $
2,003,250
4,076,000
8/11/2011
6/13/2012
4/29/2013
49
4
4
229
5
50
240
49
139
49
2, 7
4/18/2012
4
$
4,076,000
$
3/6/2013
4
$
4,076,000
$
0
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
$
11,750,000
$
0
Warrants
9/21/2011
Warrants
R $
458,000
R $
1,946,670
4
241
1/30/2009
DNB Financial Corporation
Downingtown
PA
Preferred Stock w/ Warrants
$
11,750,000
Par
8/4/2011
49
1/30/2009
Firstbank Corporation
Alma
MI
Preferred Stock w/ Warrants
$
33,000,000
Par
6/27/2012
97
$
30,587,530
$
0
Warrants
7/18/2012
Warrants
1/30/2009
1/30/2009
1/30/2009
1/30/2009
Valley Commerce Bancorp
Greer Bancshares Incorporated
Ojai Community Bank
Adbanc, Inc
Visalia
Greer
Ojai
Ogallala
CA
SC
CA
NE
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
7,700,000
9,993,000
2,080,000
12,720,000
Par
Par
Par
Par
3/21/2012
4
$
7,700,000
$
0
Preferred Stock 2
3/21/2012
Preferred Stock
2, 7
R $
385,000
7/21/2011
7/6/2011
10/19/2011
3/7/2012
6/6/2012
6/27/2012
49
$
$
$
$
$
$
12,720,000
1,500,000
1,500,000
1,500,000
1,200,000
300,000
$
$
$
$
$
$
Preferred Stock 2
Preferred Stock 2
2
Preferred Stock
2
Preferred Stock
2
Preferred Stock
Preferred Stock 2
7/21/2011
Preferred Stock
2, 7
R $
636,000
6/27/2012
Preferred Stock
2, 7
R $
300,000
6/16/2010
11/29/2012
8/18/2011
4
10,900,000
6,838,126
10,449,000
$
$
$
0
0
0
Preferred Stock
2
Preferred Stock
Preferred Stock 2
6/16/2010
11/29/2012
8/18/2011
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
169
$
$
$
R $
P $
R $
545,000
372,240
522,000
8/11/2011
49
$
8,950,000
$
0
Preferred Stock
8/11/2011
Preferred Stock
2, 7
R $
450,000
1/30/2009
3, 53
2
2, 169
2, 49
2, 253
2, 49
Purchase Details
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
Beach Business Bank
Legacy Bancorp, Inc.
First Southern Bancorp, Inc.
Country Bank Shares, Inc.
Katahdin Bankshares Corp.
Rogers Bancshares, Inc.
UBT Bancshares, Inc.
Manhattan Beach
Milwaukee
Boca Raton
Milford
Houlton
Little Rock
Marysville
CA
WI
FL
NE
ME
AR
KS
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
6,000,000
5,498,000
10,900,000
7,525,000
10,449,000
25,000,000
8,950,000
Par
Par
Par
Par
Par
Par
Par
4
4
4
4
4
49
0
4,500,000
3,000,000
1,500,000
300,000
0
2
2
2, 7
2, 7
Page 8 of 43
Footnote
2
2, 50
2, 50
2
2, 49, 145
2, 13 10/30/2009,
49
2
2
2, 49
2, 49
2, 141
2, 202
2, 50
Seller
Purchase Date
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
2
2
2, 49
2
3, 30 9/24/2010
2
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Bankers' Bank of the West Bancorp, Inc.
W.T.B. Financial Corporation
AMB Financial Corp.
Goldwater Bank, N.A.
Equity Bancshares, Inc.
Denver
Spokane
Munster
Scottsdale
Wichita
CO
WA
IN
AZ
KS
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
12,639,000
110,000,000
3,674,000
2,568,000
8,750,000
Par
Par
Par
Par
Par
1/30/2009
WashingtonFirst Bankshares, Inc.
(WashingtonFirst Bank)
Reston
VA
Preferred Stock w/ Exercised Warrants
$
6,633,000
Par
8/4/2011
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
2/6/2009
Central Bancshares, Inc.
Hilltop Community Bancorp, Inc.
Northway Financial, Inc.
Monument Bank
Metro City Bank
F & M Bancshares, Inc.
First Resource Bank
MidWestOne Financial Group, Inc.
Houston
Summit
Berlin
Bethesda
Doraville
Trezevant
Exton
Iowa City
TX
NJ
NH
MD
GA
TN
PA
IA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
5,800,000
4,000,000
10,000,000
4,734,000
7,700,000
4,609,000
2,600,000
16,000,000
Par
Par
Par
Par
Par
Par
Par
Par
7/6/2011
4/21/2010
9/15/2011
8/11/2011
10/31/2012
2/7/2013
9/15/2011
7/6/2011
2/6/2009
30 9/29/2010
163
161
3, 30 8/13/2010
2
2
Purchase Details
Lakeland Bancorp, Inc.
Oak Ridge
NJ
Preferred Stock w/ Warrants
$
59,000,000
Par
9/15/2011
9/22/2011
50
8/11/2011
49
Capital Repayment
Amount 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
2
Final Disposition
Disposition
Investment
15
Description
$
$
110,000,000
3,674,000
$
$
0
0
Preferred Stock
2
Preferred Stock
9/15/2011
9/22/2011
Preferred Stock
Preferred Stock
2, 7
$
8,750,000
$
0
Preferred Stock 2
8/11/2011
Preferred Stock
49
$
6,633,000
$
0
Preferred Stock 2
8/4/2011
4
$
$
$
$
$
$
$
$
5,800,000
4,000,000
10,000,000
4,734,000
6,861,462
4,300,543
2,600,000
16,000,000
$
$
$
$
$
$
$
$
0
0
0
0
0
0
0
0
50
R $
R $
5,500,000
184,000
2, 7
R $
438,000
Preferred Stock
2, 7
R $
332,000
7/6/2011
4/21/2010
9/15/2011
8/11/2011
1031/2012
2/7/2013
9/15/2011
7/27/2011
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Warrants
2, 7
R
R
R
R
R
P
R
R
2/29/2012
8/4/2010
4
$
20,000,000
$
39,000,000
3/16/2011
4
$
20,000,000
$
19,000,000
2/8/2012
4
$
19,000,000
$
0
4
$
5,000,000
$
0
Warrants
163
$
$
3,362,000
4,217,568
$
$
0
0
Warrants
Warrants
6/12/2013
Warrants
0
N/A
N/A
N/A
Preferred Stock 2
Preferred Stock 2
2
Preferred Stock
12/19/2012
Preferred Stock
2, 7
R $
15,000
3/16/2011
Preferred Stock
2, 7
R $
778,000
2, 7
R $
R $
250,000
175,000
4
49
49
141
202
50
4
$
$
$
$
$
$
$
$
290,000
200,000
500,000
237,000
369,948
222,008
130,000
1,000,000
Warrants
R $
2,800,000
P $
19,132
Monarch Community Bancorp, Inc.
Coldwater
MI
Preferred Stock w/ Warrants
$
6,785,000
Par
2/6/2009
The First Bancshares, Inc.
Hattiesburg
MS
Preferred Stock w/ Warrants
$
5,000,000
Par
9/29/2010
2/6/2009
2/6/2009
Carolina Trust Bank
Alaska Pacific Bancshares, Inc.
Lincolnton
Juneau
NC
AK
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
4,000,000
4,781,000
Par
Par
11/30/2012
11/29/2012
2/6/2009
PGB Holdings, Inc.
Chicago
IL
Preferred Stock
$
3,000,000
Par
8/13/2010
4
$
3,000,000
$
2/6/2009
The Freeport State Bank
Harper
KS
Preferred Stock w/ Exercised Warrants
$
301,000
Par
12/19/2012
1/14/2011
3/16/2011
4
$
$
$
301,000
4,000,000
11,568,000
$
$
$
4
$
$
5,000,000
3,500,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
2/15/2012
8/4/2011
Preferred Stock
Preferred Stock
Stockmens Financial Corporation
Rapid City
SD
2/6/2009
2/6/2009
2/6/2009
2/6/2009
US Metro Bank
First Express of Nebraska, Inc.
Mercantile Capital Corp.
Citizens Commerce Bancshares, Inc.
Garden Grove
Gering
Boston
Versailles
CA
NE
MA
KY
2/6/2009
Liberty Financial Services, Inc.
New Orleans
2/6/2009
Lone Star Bank
Union First Market Bankshares Corporation
(First Market Bank, FSB)
Banner County Ban Corporation
Centrix Bank & Trust
Todd Bancshares, Inc.
Georgia Commerce Bancshares, Inc.
First Bank of Charleston, Inc.
F & M Financial Corporation
The Bank of Currituck
CedarStone Bank
Community Bancshares of Mississippi, Inc.
(Community Holding Company of Florida, Inc.)
Hyperion Bank
Pascack Bancorp, Inc.
(Pascack Community Bank)
161
4
0
11,568,000
0
2, 7
2, 7
2, 7
2,7
2,7
2, 7
-
N/A
$
15,568,000
Par
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
2,861,000
5,000,000
3,500,000
6,300,000
Par
Par
Par
Par
2/15/2012
8/4/2011
LA
Preferred Stock
$
5,645,000
Par
9/24/2010
4
$
5,645,000
$
0
N/A
N/A
N/A
-
N/A
Houston
TX
Preferred Stock w/ Exercised Warrants
$
3,072,000
Par
Bowling Green
VA
Preferred Stock
$
33,900,000
Par
12/7/2011
4
$
35,595,000
$
0
N/A
N/A
N/A
-
N/A
Harrisburg
Bedford
Hopkinsville
Atlanta
Charleston
Salisbury
Moyock
Lebanon
NE
NH
KY
GA
WV
NC
NC
TN
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
795,000
7,500,000
4,000,000
8,700,000
3,345,000
17,000,000
4,021,000
3,564,000
Par
Par
Par
Par
Par
Par
Par
Par
7/28/2011
7/28/2011
49
$
$
795,000
7,500,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
7/28/2011
7/28/2011
Preferred Stock
Preferred Stock
$
$
$
$
8,700,000
3,345,000
15,988,500
1,742,850
$
$
$
$
0
0
0
0
Preferred Stock
Preferred Stock 2
Preferred Stock 2
N/A
2
2/16/2011
7/21/2011
9/12/2012
N/A
Preferred Stock
Preferred Stock
Preferred Stock
N/A
2, 7
Brandon
MS
Preferred Stock w/ Exercised Warrants
$
1,050,000
Par
11/30/2012
166
$
977,750
$
0
Preferred Stock
2
11/30/2012
Preferred Stock
Philadelphia
PA
Preferred Stock w/ Exercised Warrants
$
1,552,000
Par
12/20/2012
192
$
983,800
$
0
Preferred Stock
2
12/20/2012
Westwood
NJ
Preferred Stock w/ Exercised Warrants
$
3,756,000
Par
10/19/2011
4
$
3,756,000
$
0
Preferred Stock
2
Preferred Stock w/ Exercised Warrants
$
8,559,000
Par
6/24/2013
250
$
7,647,253
$
0
Preferred Stock
2
9/15/2011
49
$
38,237,000
$
0
9/2/2009
4
$
41,863,000
$
11/18/2009
4
$
41,863,000
$
12/22/2010
4
$
17,000,000
$
11/23/2011
4
$
17,000,000
$
Warrants
Preferred Stock w/
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
Preferred Stock w/ Exercised Warrants
18
2/6/2009
2, 49
2, 49
2
2
2, 50
2, 126
2, 34
2
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2, 101, 166
2/6/2009
2, 192
2, 13 2/10/2010
2/6/2009
2, 105, 250
2/6/2009
First Western Financial, Inc.
Denver
CO
49
2/13/2009
QCR Holdings, Inc.
Moline
IL
Preferred Stock w/ Warrants
$
38,237,000
Par
2/13/2009
Westamerica Bancorporation
San Rafael
CA
Preferred Stock w/ Warrants
$
83,726,000
Par
2/6/2009
2, 7
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
2
Preferred Stock
2
Preferred Stock
Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
2/6/2009
2/6/2009
Final Disposition
Proceeds
2/16/2011
7/21/2011
9/12/2012
12/3/2010
4
49
49
4
50
126
34
2, 7
2, 7
R $
R $
40,000
375,000
R $
R $
P $
-
435,000
167,000
775,274
N/A
2, 7
P $
25,000
Preferred Stock
2, 7
P $
25,700
10/19/2011
Preferred Stock
2, 7
R $
188,000
7/27/2012
Preferred Stock
P $
351,052
11/16/2011
Warrants
R $
1,100,000
11/18/2011
Warrants
P $
878,256
5/29/2013
Warrants
R $
2,150,649
2, 7
2, 7
2, 7
34
2, 7,
2/13/2009
The Bank of Kentucky Financial Corporation
Crestview Hills
KY
Preferred Stock w/ Warrants
$
34,000,000
Par
41,863,000
0
17,000,000
0
105
Page 9 of 43
Footnote
186
58 10/21/2011
2, 49
2, 49
2
2, 185
2, 30 9/29/2010
2, 147
2, 168
2, 50
2
2, 221
2
2, 151
2, 62
2, 30 9/24/2010
2, 115
2, 171
2
2, 49
2, 220
2, 50
2, 127
2
2
27, 49, 50
2, 25
2, 50
2, 49
2, 30 9/29/2010
2
2
2
2
2, 203
2
2
2
2, 49
2, 164
2, 30 9/29/2010
2, 180
2, 4, 7
2
2, 49
2
30 9/29/2010
Seller
Name of Institution
Purchase Date
2/13/2009
PremierWest Bancorp
2/13/2009
Carrollton Bancorp
Purchase Details
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
4/9/2013
4/19/2013
186
9/15/2011
9/1/2011
49
Medford
Baltimore
OR
MD
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
41,400,000
9,201,000
Par
Par
2/13/2009
FNB United Corp.
Asheboro
NC
Common Stock w/ Warrants
$
51,500,000
Par
2/13/2009
2/13/2009
2/13/2009
2/13/2009
First Menasha Bancshares, Inc.
1st Enterprise Bank
DeSoto County Bank
Security Bancshares of Pulaski County, Inc.
Neenah
Los Angeles
Horn Lake
Waynesville
WI
CA
MS
MO
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
4,797,000
4,400,000
1,173,000
2,152,000
Par
Par
Par
Par
4
49
12/11/2012
Capital Repayment
Amount 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
$
$
41,400,000
9,201,000
$
$
0
0
N/A
Warrants
N/A
4/19/2013
N/A
Warrants
$
$
4,797,000
4,400,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
9/15/2011
9/1/2011
Preferred Stock
Preferred Stock
2, 7
$
1,465,497
$
0
Preferred Stock 2
12/11/2012
Preferred Stock
2, 7
2, 7
Final Disposition
Proceeds
R $
N/A
213,594
R $
R $
240,000
220,000
P $
93,245
R $
750,000
P $
P $
R $
46,412
3,960
250,000
2, 7,
4
2/13/2009
State Capital Corporation
Greenwood
MS
Preferred Stock w/ Exercised Warrants
$
15,000,000
Par
9/29/2010
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
BankGreenville
Corning Savings and Loan Association
Financial Security Corporation
ColoEast Bankshares, Inc.
Santa Clara Valley Bank, N.A.
Reliance Bancshares, Inc.
Regional Bankshares, Inc.
Peoples Bancorp
Greenville
Corning
Basin
Lamar
Santa Paula
Frontenac
Hartsville
Lynden
SC
AR
WY
CO
CA
MO
SC
WA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
1,000,000
638,000
5,000,000
10,000,000
2,900,000
40,000,000
1,500,000
18,000,000
Par
Par
Par
Par
Par
Par
Par
Par
11/9/2012
11/30/2012
7/21/2011
168
3/11/2013
2/13/2009
First Choice Bank
Cerritos
CA
Preferred Stock w/ Exercised Warrants
$
2,200,000
Par
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/20/2009
Gregg Bancshares, Inc.
Hometown Bancshares, Inc.
Midwest Regional Bancorp, Inc.
Bern Bancshares, Inc.
Northwest Bancorporation, Inc.
Liberty Bancshares, Inc.
F&M Financial Corporation
Meridian Bank
Northwest Commercial Bank
Royal Bancshares of Pennsylvania, Inc.
Ozark
Corbin
Festus
Bern
Spokane
Springfield
Clarksville
Devon
Lakewood
Narberth
MO
KY
MO
KS
WA
MO
TN
PA
WA
PA
2/20/2009
First Merchants Corporation
Muncie
IN
2/20/2009
2/20/2009
2/20/2009
2/20/2009
Northern States Financial Corporation
Sonoma Valley Bancorp
Guaranty Bancorp, Inc.
The Private Bank of California
Waukegan
Sonoma
Woodsville
Los Angeles
IL
CA
NH
CA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Trust Preferred Securities
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
825,000
1,900,000
700,000
985,000
10,500,000
21,900,000
17,243,000
6,200,000
1,992,000
30,407,000
69,600,000
46,400,000
17,211,000
8,653,000
6,920,000
5,450,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
2/20/2009
Lafayette Bancorp, Inc.
Oxford
MS
Preferred Stock w/ Exercised Warrants
$
1,998,000
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
Liberty Shares, Inc.
White River Bancshares Company
United American Bank
Crazy Woman Creek Bancorp, Inc.
First Priority Financial Corp.
Mid-Wisconsin Financial Services, Inc.
Market Bancorporation, Inc.
Hometown Bancorp of Alabama, Inc.
Security State Bancshares, Inc.
CBB Bancorp
Hinesville
Fayetteville
San Mateo
Buffalo
Malvern
Medford
New Market
Oneonta
Charleston
Cartersville
GA
AR
CA
WY
PA
WI
MN
AL
MO
GA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
2/20/2009
BancPlus Corporation
Ridgeland
MS
Preferred Stock w/ Exercised Warrants
2/20/2009
Central Community Corporation
Temple
TX
Preferred Stock w/ Exercised Warrants
Preferred Stock 2
9/29/2010
Preferred Stock
0
0
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
11/9/2012
11/30/2012
7/21/2011
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
$
0
Preferred Stock 2
3/11/2013
Preferred Stock
2, 7
P $
98,251
1,362,500
18,000,000
$
$
0
0
Preferred Stock
2
Preferred Stock
2
11/9/2012
8/3/2011
Preferred Stock
Preferred Stock
2, 7
P $
R $
74,250
900,000
$
2,200,000
$
0
N/A
9/24/2010
Preferred Stock
R $
110,000
$
$
$
$
$
$
1,766,510
700,000
985,000
10,728,783
21,900,000
13,443,074
$
$
$
$
$
$
0
0
0
0
0
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
2
Preferred Stock
2
Preferred Stock
11/30/2012
11/10/2009
9/1/2011
3/11/2013
8/18/2011
9/12/2012
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
2. 7
$
15,000,000
$
$
$
$
891,000
523,680
5,000,000
$
$
$
221
$
2,440,029
11/9/2012
8/3/2011
151
$
$
9/24/2010
4
147
50
62
0
30a
2, 7
2, 7
2, 7
2, 7,
11/30/2012
11/10/2009
9/1/2011
3/11/2013
8/18/2011
9/12/2012
171
4
49
220
50
127
30a
2, 7
2, 7
2, 7
2, 7
2, 7
P
R
R
P
R
P
$
$
$
$
$
$
70,095
35,000
50,000
587,635
1,095,000
742,441
R $
100,000
P $
367,500
R $
R $
346,000
273,000
R $
100,000
P $
R $
224,717
500,000
R $
P $
625,000
115,861
R $
2,400,000
1/9/2013
4
$
1,992,000
$
0
Preferred Stock 2
1/9/2013
Preferred Stock
9/22/2011
9/22/2011
50
$
$
69,600,000
46,400,000
$
$
0
0
Warrants
11/18/2011
Warrants
9/15/2011
9/1/2011
50
$
$
6,920,000
5,450,000
$
$
0
0
Preferred Stock
Preferred Stock 2
9/15/2011
9/1/2011
Preferred Stock
Preferred Stock
Par
9/29/2010
4
$
1,998,000
$
2
9/29/2010
Preferred Stock
17,280,000
16,800,000
8,700,000
3,100,000
4,579,000
10,000,000
2,060,000
3,250,000
12,500,000
2,644,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
2/8/2013
4/26/2013
203
$
$
4,002,371
10,000,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
2/8/2013
4/26/2013
Preferred Stock
Preferred Stock
2, 7
9/22/2011
11/29/2012
49
$
$
12,500,000
2,453,094
$
$
0
0
Preferred Stock 2
Preferred Stock 2
9/22/2011
11/29/2012
Preferred Stock
Preferred Stock
2, 7
$
48,000,000
Par
9/29/2010
$
48,000,000
$
0
Preferred Stock
9/29/2010
Preferred Stock
$
22,000,000
Par
12/11/2012
1/18/2012
10/24/2012
$
$
$
20,172,636
3,675,000
3,675,000
$
$
$
12/11/2012
Preferred Stock
2, 7
P $
1,058,726
10/24/2012
Preferred Stock
2,7
R $
368,000
$
$
$
9,495,000
7,000,000
56,044,000
$
$
$
0
0
0
Preferred Stock
Preferred Stock 2
Warrants
9/22/2011
4/13/2011
11/18/2011
Preferred Stock
Preferred Stock
Warrants
2, 7
R $
R $
P $
475,000
350,000
877,557
$
30,000,000
$
0
Warrants
49
49
2
2, 7
2, 7
2, 7,
4
164
0
Preferred Stock
30a
2, 7
2, 7
2, 7,
2/20/2009
First BancTrust Corporation
Paris
2/20/2009
2/20/2009
2/20/2009
2/27/2009
Premier Service Bank
Florida Business BancGroup, Inc.
Hamilton State Bancshares
Lakeland Financial Corporation
2/27/2009
First M&F Corporation
4
4
IL
Preferred Stock w/ Exercised Warrants
$
7,350,000
Par
Riverside
Tampa
Hoschton
Warsaw
CA
FL
GA
IN
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$
$
$
$
4,000,000
9,495,000
7,000,000
56,044,000
Par
Par
Par
Par
9/22/2011
4/13/2011
6/9/2010
49
Kosciusko
MS
Preferred Stock w/ Warrants
$
30,000,000
Par
9/29/2010
4
4
4
5
0
3,675,000
0
2
Preferred Stock 2
Preferred Stock 2
2
Preferred Stock
2
30a
2, 7
Page 10 of 43
Footnote
Seller
Purchase Date
98 6/27/2012
14, 57
2
2, 49
2, 49
2, 49
2, 212
2
2, 213
2, 167
2, 49
2
2
2, 135
2
2, 30 9/29/2010
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
6/27/2012
98
$
15,403,722
$
8/4/2011
9/15/2011
9/22/2011
2/20/2013
4/14/2010
2/20/2013
11/30/2012
9/27/2011
9/26/2012
7/14/2010
10/31/2012
11/14/2012
1/23/2013
4/24/2013
49
$
$
$
$
$
$
$
$
$
$
$
$
$
$
4,797,000
4,000,000
2,260,000
18,318,148
731,000
8,876,677
3,692,560
19,891,000
23,000,000
651,000
6,822,136
800,000
800,000
800,000
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2/27/2009
Southern First Bancshares, Inc.
Greenville
SC
Preferred Stock w/ Warrants
$
17,299,000
Par
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
Integra Bank Corporation
Community First Inc.
BNC Financial Group, Inc.
California Bank of Commerce
Columbine Capital Corp.
National Bancshares, Inc.
First State Bank of Mobeetie
Ridgestone Financial Services, Inc.
Community Business Bank
D.L. Evans Bancorp
TriState Capital Holdings, Inc.
Green City Bancshares, Inc.
First Gothenburg Bancshares, Inc.
Evansville
Columbia
New Canaan
Lafayette
Buena Vista
Bettendorf
Mobeetie
Brookfield
West Sacramento
Burley
Pittsburgh
Green City
Gothenburg
IN
TN
CT
CA
CO
IA
TX
WI
CA
ID
PA
MO
NE
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
83,586,000
17,806,000
4,797,000
4,000,000
2,260,000
24,664,000
731,000
10,900,000
3,976,000
19,891,000
23,000,000
651,000
7,570,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
2/27/2009
2
2, 49
2
2, 49
Purchase Details
2/27/2009
2/27/2009
2/27/2009
2/27/2009
Green Circle Investments, Inc.
Private Bancorporation, Inc.
Regent Capital Corporation
Central Bancorp, Inc.
Medallion Bank
Clive
Minneapolis
Nowata
Garland
Salt Lake City
IA
MN
OK
TX
UT
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
2,400,000
4,960,000
2,655,000
22,500,000
11,800,000
Par
Par
Par
Par
Par
49
49
212
4
213
167
49
4
4
135
4
4
4
0
0
0
0
0
0
0
0
0
0
0
0
1,600,000
800,000
0
Final Disposition
Disposition
Investment
15
Description
Warrants
7/25/2012
Warrants
Preferred Stock 2
Preferred Stock 2
2
Preferred Stock
Preferred Stock 2
2
Preferred Stock
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Warrants
Preferred Stock 2
Preferred Stock 2
8/4/2011
9/15/2011
9/22/2011
2/20/2013
4/14/2010
2/20/2013
11/30/2012
9/27/2011
9/26/2012
7/14/2010
10/31/2012
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Warrants
Preferred Stock
Preferred Stock
Preferred Stock2
4/24/2013
Preferred Stock
Final Disposition
Proceeds
R $
1,100,000
R
R
R
P
R
P
P
R
R
R
R
$
$
$
$
$
$
$
$
$
$
$
240,000
200,000
113,000
845,448
37,000
476,207
167,035
995,000
1,150,000
33,000
362,119
2,7
R $
120,000
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2,7
49
$
2,655,000
$
0
Preferred Stock 2
7/21/2011
Preferred Stock
2, 7
R $
133,000
7/21/2011
49
$
11,800,000
$
0
Preferred Stock 2
7/21/2011
Preferred Stock
2, 7
R $
590,000
R $
464,000
R $
R $
R $
370,000
299,000
600,000
2, 7,
PSB Financial Corporation
Many
LA
Preferred Stock w/ Exercised Warrants
$
9,270,000
Par
9/29/2010
4
2/27/2009
2/27/2009
2/27/2009
Avenue Financial Holdings, Inc.
Howard Bancorp, Inc.
FNB Bancorp
Nashville
Ellicott City
South San Francisco
TN
MD
CA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
7,400,000
5,983,000
12,000,000
Par
Par
Par
9/15/2011
9/22/2011
9/15/2011
49
2/27/2009
The Victory Bancorp, Inc.
(The Victory Bank)
Limerick
PA
Preferred Stock w/ Exercised Warrants
$
541,000
Par
9/22/2011
50
2/27/2009
2/27/2009
3/6/2009
3/6/2009
Catskill Hudson Bancorp, Inc
Midtown Bank & Trust Company
HCSB Financial Corporation
First Busey Corporation
Rock Hill
Atlanta
Loris
Urbana
NY
GA
SC
IL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
3,000,000
5,222,000
12,895,000
100,000,000
Par
Par
Par
Par
42 - 5/3/2011
3/6/2009
First Federal Bancshares of Arkansas, Inc.
Harrison
AR
Preferred Stock w/ Warrants
$
16,500,000
3/6/2009
Citizens Bancshares Corporation
Atlanta
GA
Preferred Stock
$
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
ICB Financial
First Texas BHC, Inc.
Farmers & Merchants Bancshares, Inc.
Blue Ridge Bancshares, Inc.
First Reliance Bancshares, Inc.
Merchants and Planters Bancshares, Inc.
First Southwest Bancorporation, Inc.
Germantown Capital Corporation, Inc.
BOH Holdings, Inc.
AmeriBank Holding Company
Highlands Independent Bancshares, Inc.
Pinnacle Bank Holding Company, Inc.
Blue River Bancshares, Inc.
Marine Bank & Trust Company
Community Bancshares of Kansas, Inc.
Regent Bancorp, Inc.
Park Bancorporation, Inc.
PeoplesSouth Bancshares, Inc.
First Place Financial Corp.
Salisbury Bancorp, Inc.
First Northern Community Bancorp
Discover Financial Services
Provident Community Bancshares, Inc.
Ontario
Fort Worth
Houston
Independence
Florence
Toone
Alamosa
Germantown
Houston
Collinsville
Sebring
Orange City
Shelbyville
Vero Beach
Goff
Davie
Madison
Colquitt
Warren
Lakeville
Dixon
Riverwoods
Rock Hill
CA
TX
TX
MO
SC
TN
CO
TN
TX
OK
FL
FL
IN
FL
KS
FL
WI
GA
OH
CT
CA
IL
SC
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
3, 30 8/13/2010
2
2, 49
2
2, 134
2, 219
2, 62
2, 226
2, 137
2, 49
2, 49
2
2, 116
2, 71
2
2
2
2, 106
2
146
49
49
Capital Repayment
Amount 6
Final
Disposition
Date
7/21/2011
2/27/2009
2, 49
2, 49
2, 50
2, 13 12/4/2009,
49
2, 49
2
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
$
9,270,000
$
0
Preferred Stock 2
9/29/2010
Preferred Stock
$
$
$
7,400,000
5,983,000
12,000,000
$
$
$
0
0
0
Preferred Stock 2
2
Preferred Stock
Preferred Stock 2
9/15/2011
9/22/2011
9/15/2011
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
49
$
541,000
$
0
Preferred Stock 2
9/22/2011
Preferred Stock
2, 7
R $
27,000
7/21/2011
49
$
3,000,000
$
0
Preferred Stock
2
7/21/2011
Preferred Stock
2, 7
R $
150,000
8/25/2011
50
$
100,000,000
$
0
Warrants
11/18/2011
Warrants
P $
63,677
Par
5/3/2011
42
$
6,000,000
$
0
N/A
N/A
N/A
7,462,000
Par
8/13/2010
4
$
7,462,000
$
0
N/A
N/A
N/A
6,000,000
13,533,000
11,000,000
12,000,000
15,349,000
1,881,000
5,500,000
4,967,000
10,000,000
2,492,000
6,700,000
4,389,000
5,000,000
3,000,000
500,000
9,982,000
23,200,000
12,325,000
72,927,000
8,816,000
17,390,000
1,224,558,000
9,266,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
11/1/2012
9/15/2011
49
$
$
6,000,000
13,533,000
$
$
0
0
Preferred Stock
Preferred Stock 2
2, 7
9/15/2011
Preferred Stock
Preferred Stock
10/31/2012
3/11/2013
9/7/2011
3/27/2013
10/31/2012
7/14/2011
9/15/2011
134
$
$
$
$
$
$
$
8,969,400
10,327,021
1,881,000
4,900,609
4,495,616
10,000,000
2,492,000
$
$
$
$
$
$
$
0
0
0
0
0
0
0
Preferred Stock
2
Preferred Stock
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
2
Preferred Stock
2
Preferred Stock
10/31/2012
3/11/2013
9/7/2011
3/27/2013
10/31/2012
7/14/2011
9/15/2011
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
2,7
49
50
49
219
62
226
137
49
49
2
2
30a
2, 7
2, 7
N/A
2, 7
2,7
2, 7
2, 7
2,7
2, 7
2, 7
N/A
R $
R $
300,000
677,000
R
P
R
P
R
R
R
$
$
$
$
$
$
$
541,793
624,632
94,000
251,837
214,595
500,000
125,000
7/18/2012
4
$
500,000
$
0
Preferred Stock 2
7/18/2012
Preferred Stock
2, 7
R $
25,000
7/27/2012
106
$
16,772,382
$
0
Preferred Stock
2
7/27/2012
Preferred Stock
2, 7
P $
896,039
8/25/2011
9/15/2011
4/21/2010
49
$
$
$
8,816,000
17,390,000
1,224,558,000
$
$
$
0
0
0
11/2/2011
11/16/2011
7/7/2010
Warrants
Warrants
Warrants
R $
R $
R $
205,000
375,000
172,000,000
49
4
Warrants
Warrants
Warrants
Page 11 of 43
Footnote
Seller
Purchase Date
3, 30 8/13/2010
2, 49
2
2
2
2, 123
2
2, 136
2, 3a 11/13/2009
30 - 9/3/2010
2
2
2, 50
2, 49
2
2, 49
2, 49
2, 49
2
2, 142
2, 14
2
2, 245
2, 50
2, 49
2
2, 107
2, 165
2, 247
2
2
2, 49
2, 128
2, 99 7/12/2012
2, 108
2
2
2
90 06/13/2012
2, 3, 30 8/13/2010
2, 50
2, 242
2
2, 84
2, 175
2
2
2
2, 3
Purchase Details
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Capital Repayment
Amount 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
3/13/2009
First American International Corp.
Brooklyn
NY
Preferred Stock
$
17,000,000
Par
8/13/2010
4
$
17,000,000
$
0
N/A
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
BancIndependent, Inc.
Haviland Bancshares, Inc.
1st United Bancorp, Inc.
Madison Financial Corporation
First National Corporation
St. Johns Bancshares, Inc.
Blackhawk Bancorp, Inc.
Sheffield
Haviland
Boca Raton
Richmond
Strasburg
St. Louis
Beloit
AL
KS
FL
KY
VA
MO
WI
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
21,100,000
425,000
10,000,000
3,370,000
13,900,000
3,000,000
10,000,000
Par
Par
Par
Par
Par
Par
Par
7/14/2011
12/29/2010
11/18/2009
49
$
$
$
21,100,000
425,000
10,000,000
$
$
$
0
0
0
Preferred Stock
Preferred Stock 2
Preferred Stock 2
8/23/2012
123
$
12,082,749
$
0
Preferred Stock
10/31/2012
136
$
9,009,000
$
0
Preferred Stock
3/13/2009
IBW Financial Corporation
Washington
DC
Preferred Stock
$
6,000,000
Par
9/3/2010
4
$
6,000,000
$
0
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
Butler Point, Inc.
Bank of George
Moneytree Corporation
Sovereign Bancshares, Inc.
First Intercontinental Bank
Heritage Oaks Bancorp
Community First Bancshares Inc.
First NBC Bank Holding Company
First Colebrook Bancorp, Inc.
Kirksville Bancorp, Inc.
Peoples Bancshares of TN, Inc
Premier Bank Holding Company
Citizens Bank & Trust Company
Farmers & Merchants Financial Corporation
Farmers State Bankshares, Inc.
SBT Bancorp, Inc.
CSRA Bank Corp.
Trinity Capital Corporation
Clover Community Bankshares, Inc.
Pathway Bancorp
Colonial American Bank
MS Financial, Inc.
Triad Bancorp, Inc.
Alpine Banks of Colorado
Catlin
Las Vegas
Lenoir City
Dallas
Doraville
Paso Robles
Union City
New Orleans
Colebrook
Kirksville
Madisonville
Tallahassee
Covington
Argonia
Holton
Simsbury
Wrens
Los Alamos
Clover
Cairo
West Conshohocken
Kingwood
Frontenac
Glenwood Springs
IL
NV
TN
TX
GA
CA
TN
LA
NH
MO
TN
FL
LA
KS
KS
CT
GA
NM
SC
NE
PA
TX
MO
CO
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
607,000
2,672,000
9,516,000
18,215,000
6,398,000
21,000,000
20,000,000
17,836,000
4,500,000
470,000
3,900,000
9,500,000
2,400,000
442,000
700,000
4,000,000
2,400,000
35,539,000
3,000,000
3,727,000
574,000
7,723,000
3,700,000
70,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
11/2/2011
4
$
607,000
$
9/15/2011
9/22/2011
50
$
$
9,516,000
18,215,000
8/18/2011
8/4/2011
9/22/2011
49
$
$
$
10/31/2012
142
6/24/2013
7/21/2011
8/11/2011
245
7/27/2012
11/29/2012
6/24/2013
10/26/2011
10/19/2011
9/22/2011
9/12/2012
107
3/27/2009
Naples Bancorp, Inc.
Naples
FL
Preferred Stock w/ Exercised Warrants
$
4,000,000
Par
7/12/2012
3/27/2009
3/27/2009
3/27/2009
3/27/2009
CBS Banc-Corp.
IBT Bancorp, Inc.
Spirit BankCorp, Inc.
Maryland Financial Bank
Russellville
Irving
Bristow
Towson
AL
TX
OK
MD
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
24,300,000
2,295,000
30,000,000
1,700,000
Par
Par
Par
Par
4/3/2009
First Capital Bancorp, Inc.
Glen Allen
VA
Preferred Stock w/ Warrants
$
10,958,000
4/3/2009
Tri-State Bank of Memphis
Memphis
TN
Preferred Stock
$
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/10/2009
Fortune Financial Corporation
BancStar, Inc.
Titonka Bancshares, Inc
Millennium Bancorp, Inc.
TriSummit Bank
Prairie Star Bancshares, Inc.
Community First Bancshares, Inc.
BCB Holding Company, Inc.
City National Bancshares Corporation
Bank of Southern California, N.A. (First Business
Bank, N.A.)
SV Financial, Inc.
Capital Commerce Bancorp, Inc.
Metropolitan Capital Bancorp, Inc.
Arnold
Festus
Titonka
Edwards
Kingsport
Olathe
Harrison
Theodore
Newark
MO
MO
IA
CO
TN
KS
AR
AL
NJ
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
San Diego
CA
Sterling
Milwaukee
Chicago
IL
WI
IL
2, 188
4/10/2009
2
2
2
4/10/2009
4/10/2009
4/10/2009
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
N/A
N/A
7/14/2011
12/29/2010
11/18/2009
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
2
8/23/2012
Preferred Stock
2
10/31/2012
Preferred Stock
N/A
N/A
N/A
0
Preferred Stock 2
11/2/2011
Preferred Stock
2, 7
R $
30,000
$
$
0
0
Preferred Stock
Preferred Stock 2
2
9/15/2011
9/22/2011
Preferred Stock
Preferred Stock
2, 7
R $
R $
476,000
911,000
20,000,000
17,836,000
4,500,000
$
$
$
0
0
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
8/18/2011
8/4/2011
9/22/2011
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
R $
R $
R $
1,000,000
892,000
225,000
$
2,919,500
$
0
Preferred Stock
10/31/2012
Preferred Stock
2,7
R $
122,225
$
$
$
400,425
700,000
4,000,000
$
$
$
0
0
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
6/24/2013
7/21/2011
8/11/2011
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
P $
R $
R $
(2,835)
40,000
200,000
$
$
$
$
$
$
$
26,396,503
2,593,700
4,324,446
574,000
7,723,000
3,700,000
56,430,297
$
$
$
$
$
$
$
0
0
0
0
0
0
0
Preferred Stock 2
Preferred Stock 2
2
Preferred Stock
2
Preferred Stock
2
Preferred Stock
Preferred Stock 2
Preferred Stock 2
7/27/2012
11/29/2012
6/24/2013
10/26/2011
10/19/2011
9/22/2011
9/12/2012
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
99
$
600,000
$
0
N/A
N/A
N/A
7/27/2012
6/12/2013
108
$
$
21,776,396
2,295,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
7/27/2012
6/12/2013
Preferred Stock
Preferred Stock
Par
6/13/2012
90
$
9,931,327
$
0
Warrants
2/6/2013
Warrants
2,795,000
Par
8/13/2010
4
$
2,795,000
$
0
N/A
N/A
N/A
$
$
$
$
$
$
$
$
$
3,100,000
8,600,000
2,117,000
7,260,000
2,765,000
2,800,000
12,725,000
1,706,000
9,439,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
9/15/2011
4/29/2013
4/4/2012
8/14/2012
11/29/2012
50
$
$
$
$
$
3,100,000
8,366,452
2,117,000
2,904,000
2,053,013
$
$
$
$
$
0
0
0
0
0
Preferred Stock 2
2
Preferred Stock
2
Preferred Stock
Preferred Stock 2
Preferred Stock 2
9/15/2011
4/29/2013
4/4/2012
8/14/2012
11/29/2012
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants
$
2,211,000
Par
12/20/2012
188
$
2,017,453
$
0
Preferred Stock
2
12/20/2012
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
4,000,000
5,100,000
2,040,000
Par
Par
Par
8/31/2011
4
$
4,000,000
$
0
Preferred Stock 2
8/31/2011
Preferred Stock
4
4
49
49
49
50
49
165
247
4
4
49
128
242
4
84
175
2
2
-
N/A
R $
R $
R $
1,055,000
21,000
500,000
2, 7
P $
624,675
2,7
R $
470,250
2, 7
2, 7
-
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
P
P
P
R
R
R
P
N/A
$
$
$
$
$
$
$
1,655,787
114,022
226,565
29,000
386,000
185,000
3,291,750
N/A
2, 7
2, 7
P $
R $
1,107,825
115,000
R $
266,042
2, 7
N/A
R $
P $
R $
$
P $
155,000
426,339
106,000
124,666
2, 7
P $
90,462
2, 7
R $
200,000
2, 7
2, 7
2, 84
2, 7
Page 12 of 43
Footnote
2, 49
2, 52
2
Seller
Name of Institution
Purchase Date
4/17/2009
Bank of the Carolinas Corporation
4/17/2009
Penn Liberty Financial Corp.
4/17/2009
Tifton Banking Company
4/17/2009
2
2
121
2, 49
2
2
4/17/2009
4/17/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
Patterson Bancshares, Inc
BNB Financial Services Corporation
Omega Capital Corp.
Mackinac Financial Corporation
Birmingham Bloomfield Bancshares, Inc
Vision Bank - Texas
Oregon Bancorp, Inc.
Purchase Details
City
Mocksville
Wayne
Tifton
Patterson
New York
Lakewood
Manistique
Birmingham
Richardson
Salem
State
NC
PA
GA
LA
NY
CO
MI
MI
TX
OR
Capital Repayment Details
Investment Amount
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
13,179,000
9,960,000
3,800,000
3,690,000
7,500,000
2,816,000
11,000,000
1,635,000
1,500,000
3,216,000
Pricing
Mechanism
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Capital
Repayment Date
Capital Repayment
Amount 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
9/1/2011
49
$
9,960,000
$
3/7/2012
8/22/2012
12/5/2012
4
5/8/2013
6/5/2013
4
$
$
$
$
$
250,000
250,000
250,000
500,000
2,440,000
$
$
$
$
$
3,440,000
3,190,000
2,940,000
2,440,000
0
$
$
$
10,380,905
1,635,000
787,500
$
$
$
0
0
712,500
4
4
4
8/23/2012
7/28/2011
12/28/2012
121
4/24/2012
83
5/23/2012
1/9/2013
4/24/2013
2/22/2013
7/14/2011
9/8/2011
4
49
4
0
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
Preferred Stock 2
9/1/2011
Preferred Stock
2, 7
R $
498,000
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
2
Preferred Stock
2
Preferred Stock
6/5/2013
Preferred Stock
2, 7
R $
185,000
12/19/2012
7/28/2011
Warrants
Preferred Stock
R $
R $
1,300,000
82,000
R $
633,000
Warrants
2
Preferred Stock
Preferred Stock 2
2, 7
2, 7,
2, 83
4/24/2009
Peoples Bancorporation, Inc.
Easley
SC
Preferred Stock w/ Exercised Warrants
$
12,660,000
Par
2, 14, 236
2
4/24/2009
Indiana Bank Corp.
Dana
IN
Preferred Stock w/ Exercised Warrants
$
1,312,000
Par
4/24/2009
2, 158
2, 50
2, 49
2
4/24/2009
4/24/2009
4/24/2009
4/24/2009
Business Bancshares, Inc.
Standard Bancshares, Inc.
York Traditions Bank
Grand Capital Corporation
Allied First Bancorp, Inc.
Clayton
Hickory Hills
York
Tulsa
Oswego
MO
IL
PA
OK
IL
8
4/24/2009
Frontier Bancshares, Inc.
Austin
TX
2, 138
2
2, 50
2
5/1/2009
5/1/2009
5/1/2009
5/1/2009
5/1/2009
Village Bank and Trust Financial Corp
CenterBank
Georgia Primary Bank
Union Bank & Trust Company
HPK Financial Corporation
Midlothian
Milford
Atlanta
Oxford
Chicago
VA
OH
GA
NC
IL
8
5/1/2009
OSB Financial Services, Inc.
Orange
TX
8, 248
5/1/2009
Security State Bank Holding-Company
Jamestown
ND
5/8/2009
Highlands Bancorp, Inc.
(Highlands State Bank)
Vernon
5/8/2009
5/8/2009
One Georgia Bank
Gateway Bancshares, Inc.
8
5/8/2009
Freeport Bancshares, Inc.
8, 133
5/8/2009
Investors Financial Corporation of Pettis County, IncSedalia
MO
8, 49
5/8/2009
Sword Financial Corporation
Horicon
WI
3, 8, 30 8/13/2010
5/8/2009
Premier Bancorp, Inc.
Wilmette
IL
2, 13 8/31/2010,
49
2, 56
2, 80
5/15/2009
2
2, 177
2, 158
2, 249
2, 145
2, 50
2
3, 8, 30 9/10/2010
Mercantile Bank Corporation
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
$
$
$
$
$
15,000,000
60,000,000
4,871,000
4,000,000
3,652,000
Par
Par
Par
Par
Par
11/24/2009
$
3,000,000
4
4
158
50
49
4
$
12,660,000
$
0
$
$
$
$
$
$
6,000,000
2,500,000
6,500,000
60,000,000
4,871,000
4,000,000
$
$
$
$
$
$
9,000,000
6,500,000
0
0
0
0
$
1,600,000
$
1,400,000
Par
Preferred Stock
2
Preferred Stock
4/24/2012
Preferred Stock
2
4/24/2013
Preferred Stock
2, 7
R $
750,000
Preferred Stock
Preferred Stock 2
Preferred Stock 2
2
2/22/2013
7/14/2011
9/8/2011
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
R $
R $
R $
3,000,000
244,000
200,000
Subordinated
Debentures 8
Subordinated
Debentures 8
10/6/2010
Subordinated
8
Debentures
7
R $
150,000
83
2, 7
2, 7
4
$
1,400,000
$
0
10/31/2012
138
$
1,831,250
$
0
Preferred Stock 2
10/31/2012
Preferred Stock
2,7
R $
84,057
9/22/2011
12/11/2012
50
$
$
3,194,000
4,000,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
Subordinated
Debentures 8
Subordinated
Debentures 8
9/22/2011
12/11/2012
Preferred Stock
Preferred Stock
Subordinated
Debentures 8
Subordinated
Debentures 8
2, 7
R $
R $
160,000
200,000
7
R $
305,000
7
P $
720,369
10/6/2010
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
$
$
$
$
$
14,738,000
2,250,000
4,500,000
3,194,000
4,000,000
Par
Par
Par
Par
Par
$
6,100,000
Par
10/5/2011
4
$
6,100,000
$
0
$
10,750,000
Par
6/24/2013
248
$
12,409,261
$
0
NJ
Preferred Stock w/ Exercised Warrants
$
3,091,000
Par
9/22/2011
49
$
3,091,000
$
0
Preferred Stock
2
9/22/2011
Preferred Stock
2, 7
R $
155,000
Atlanta
Ringgold
GA
GA
$
$
5,500,000
6,000,000
Par
Par
4/13/2012
80
$
6,000,000
$
0
Preferred Stock
2
4/13/2012
Preferred Stock
2, 7
R $
300,000
Freeport
IL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
$
3,000,000
Par
$
4,000,000
Par
$
13,644,000
Par
9/15/2011
49
$
13,644,000
$
0
Subordinated
Debentures 8
9/15/2011
Subordinated
Debentures 8
7
R $
682,000
$
6,784,000
Par
8/13/2010
4
$
6,784,000
$
0
N/A
N/A
N/A
4/4/2012
4
$
10,500,000
$
Preferred Stock w/
Warrants
7/3/2012
Warrants
6/6/2012
4
$
10,500,000
$
0
Warrants
4
$
$
$
$
1,341,000
4,700,000
3,136,500
2,318,851
$
$
$
$
0
0
0
0
Preferred Stock
2
Preferred Stock
Preferred Stock 2
Preferred Stock 2
3/28/2012
11/30/2012
12/21/2012
6/24/2013
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
$
$
4,862,000
15,000,000
$
$
0
0
Preferred Stock
Preferred Stock 2
2
9/8/2011
12/11/2012
Preferred Stock
Preferred Stock
4,205,000 $
0
N/A
N/A
N/A
Grand Rapids
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
Northern State Bank
Closter
Western Reserve Bancorp, Inc
Medina
Community Financial Shares, Inc.
Glen Ellyn
Worthington Financial Holdings, Inc.
Huntsville
Equity Bancshares, Inc. [First Community BancshareWichita
Southern Heritage Bancshares, Inc.
Cleveland
Foresight Financial Group, Inc.
Rockford
5/15/2009
IBC Bancorp, Inc.
Chicago
MI
NJ
OH
IL
AL
KS
TN
IL
IL
Subordinated Debentures
Preferred Stock w/ Warrants
$
21,000,000
Par
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
1,341,000
4,700,000
6,970,000
2,720,000
14,800,000
4,862,000
15,000,000
Par
Par
Par
Par
Par
Par
Par
3/28/2012
11/30/2012
12/21/2012
6/24/2013
Subordinated Debentures
$
4,205,000
Par
9/10/2010
9/8/2011
12/11/2012
4
4
158
249
4
4
$
10,500,000
2
10/5/2011
6/24/2013
2, 7
-
N/A
R $
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
R
R
P
P
7,465,100
$
$
$
$
67,000
235,000
157,050
90,940
R $
R $
243,000
750,000
-
N/A
Page 13 of 43
Footnote
Seller
Purchase Date
Purchase Details
Name of Institution
City
State
Investment Amount
MO
MN
NJ
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Fargo
ND
Illinois State Bancorp, Inc.
Universal Bancorp
Franklin Bancorp, Inc.
Chicago
Bloomfield
Washington
IL
IN
MO
5/22/2009
Commonwealth Bancshares, Inc.
Louisville
KY
8
5/22/2009
Premier Financial Corp
Dubuque
IA
8, 156
5/22/2009
F & C Bancorp, Inc.
Holden
MO
8, 111
5/22/2009
Diamond Bancorp, Inc.
Washington
MO
8
5/22/2009
United Bank Corporation
Barnesville
GA
49
2
2, 63
2, 197
2
2, 49
5/29/2009
5/29/2009
5/29/2009
5/29/2009
5/29/2009
5/29/2009
Community Bank Shares of Indiana, Inc.
American Premier Bancorp
CB Holding Corp.
Citizens Bancshares Co.
Grand Mountain Bancshares, Inc.
Two Rivers Financial Group
New Albany
Arcadia
Aledo
Chillicothe
Granby
Burlington
IN
CA
IL
MO
CO
IA
8
5/29/2009
Fidelity Bancorp, Inc
Baton Rouge
LA
8
5/29/2009
Chambers Bancshares, Inc.
Danville
AR
2
6/5/2009
Covenant Financial Corporation
Clarksdale
MS
8, 211
6/5/2009
First Trust Corporation
New Orleans
LA
8, 10
6/5/2009
OneFinancial Corporation
Little Rock
AR
6/12/2009
Customers Bancorp, Inc.
(Berkshire Bancorp, Inc.)
Phoenixville
6/12/2009
First Vernon Bancshares, Inc.
6/12/2009
6/12/2009
6/12/2009
6/12/2009
Capital Repayment
Amount 6
Subordinated
Debentures 8
Subordinated
8
Debentures
Par
3/11/2013
216
$
6,116,943
$
0
$
2,400,000
Par
4/29/2013
243
$
2,495,024
$
0
$
1,100,000
Par
$
2,639,000
Par
9/8/2011
49
$
2,639,000
$
0
$
20,300,000
Par
7/27/2012
109
$
18,069,213
$
0
$
$
$
15,000,000
1,177,000
1,300,000
Par
Par
Par
8/18/2011
12/11/2012
49
$
$
15,000,000
1,032,193
$
$
0
0
$
5,000,000
Par
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
$
$
$
6,272,000
9,900,000
5,097,000
Par
Par
Par
6/27/2012
9/12/2012
9/22/2011
4
Preferred Stock w/ Exercised Warrants
$
$
$
2,250,000
2,750,000
6,272,000
$
$
$
11/13/2012
150
$
3,198,853
$
0
$
20,400,000
Par
7/27/2012
110
$
15,147,000
$
0
$
6,349,000
Par
$
2,993,000
Par
11/13/2012
156
$
2,844,599
$
0
$
20,445,000
Par
7/27/2012
111
$
14,780,662
$
0
$
14,400,000
Par
7/3/2012
4
$
14,400,000
$
0
$
$
$
$
$
$
19,468,000
1,800,000
4,114,000
24,990,000
3,076,000
12,000,000
Par
Par
Par
Par
Par
Par
9/15/2011
1/26/2011
49
$
$
19,468,000
1,800,000
$
$
0
0
Preferred Stock
2/8/2013
197
$
12,679,301
$
0
9/1/2011
49
$
12,000,000
$
0
$
3,942,000
Par
3/27/2013
4
$
3,942,000
$
0
$
19,817,000
Par
$
5,000,000
Par
$
17,969,000
Par
2/20/2013
211
$
13,612,558
$
0
Subordinated
Debentures 8
$
17,300,000
Par
PA
Preferred Stock w/ Exercised Warrants
$
2,892,000
Par
12/28/2011
4
$
2,892,000
$
0
Preferred Stock
Vernon
AL
Preferred Stock w/ Exercised Warrants
$
6,000,000
Par
9/29/2010
4
$
6,000,000 $
0
Preferred Stock
SouthFirst Bancshares, Inc.
Virginia Company Bank
Enterprise Financial Services Group, Inc.
Sylacauga
Newport News
Allison Park
AL
VA
PA
$
$
$
2,760,000
4,700,000
4,000,000
Par
Par
Par
8/25/2011
49
$
4,000,000
$
0
First Financial Bancshares, Inc.
Lawrence
KS
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
$
3,756,000
Par
9/22/2011
49
$
3,756,000
$
0
6/6/2012
4
$
10,500,000
$
Preferred Stock
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
8
Debentures
Preferred Stock 2
Boscobel Bancorp, Inc
Boscobel
WI
8, 243
5/15/2009
Brogan Bankshares, Inc.
Kaukauna
WI
8
5/15/2009
Riverside Bancshares, Inc.
Little Rock
AR
8, 49
5/15/2009
Deerfield Financial Corporation
Deerfield
WI
8, 109
5/15/2009
Market Street Bancshares, Inc.
Mt. Vernon
IL
2, 49
2, 182
2, 82
2
5/22/2009
5/22/2009
5/22/2009
The Landrum Company
First Advantage Bancshares Inc.
Fort Lee Federal Savings Bank
Columbia
Coon Rapids
Fort Lee
5/22/2009
Blackridge Financial, Inc.
2, 49
2
2, 150
5/22/2009
5/22/2009
5/22/2009
8, 110
8
Capital
Repayment Date
5,586,000
5/15/2009
8, 10, 49
Pricing
Mechanism
Final
Disposition
Date
$
8, 216
2, 60 09/19/2011
2, 10, 30 9/29/2010
2
2, 10
2, 49
Capital Repayment Details
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
4
49
4
2,750,000
0
0
3/11/2013
4/29/2013
Subordinated
Debentures 8
Subordinated
8
Debentures
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock
Subordinated
Debentures 8
2
8/18/2011
12/11/2012
Subordinated
Debentures 8
Subordinated
8
Debentures
Preferred Stock
Preferred Stock
9/12/2012
Preferred Stock
2, 7
R $
250,000
9/22/2011
Preferred Stock
2, 7
R $
314,000
11/13/2012
Preferred Stock
Subordinated
Debentures 8
2, 7
P $
195,018
7
P $
898,722
7
P $
148,500
7
P $
779,576
7
R $
720,000
R $
R $
1,100,870
90,000
9/8/2011
7/27/2012
7/27/2012
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
Warrants
Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
Subordinated
7
P $
361,890
Debentures 8
Subordinated
7
P $
125,136
Debentures 8
7
R $
132,000
7
P $
824,731
2, 7
R $
P $
750,000
53,755
2, 7
10/19/2011
1/26/2011
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
Warrants
Preferred Stock
Preferred Stock 2
2/8/2013
Preferred Stock
2, 7
P $
645,047
Preferred Stock 2
Subordinated
Debentures 8
9/1/2011
Preferred Stock
Subordinated
Debentures 8
2, 7
R $
600,000
7
R $
197,000
11/13/2012
7/27/2012
7/3/2012
2
3/27/2013
2, 7
2/20/2013
Subordinated
Debentures 8
7
P $
644,726
2
12/28/2011
Preferred Stock
2, 7
R $
145,000
2
9/29/2010
Preferred Stock
R $
245,000
8/25/2011
Preferred Stock
Subordinated
Debentures 8
2, 7
R $
200,000
7
R $
113,000
2, 7,
6/12/2009
River Valley Bancorporation, Inc.
Wausau
WI
2, 49
2, 10
6/19/2009
6/19/2009
Merchants and Manufacturers Bank Corporation
RCB Financial Corporation
Joliet
Rome
IL
GA
8, 183
6/19/2009
Manhattan Bancshares, Inc.
Manhattan
IL
8, 10, 196
6/19/2009
Biscayne Bancshares, Inc.
Coconut Grove
FL
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
$
15,000,000
4,500,000
Par
5/15/2013
4
$
4,500,000
$
0
49
$
3,510,000
$
0
$
2,561,405
$
0
$
6,170,630
$
0
$
$
3,510,000
8,900,000
Par
Par
9/8/2011
$
2,639,000
Par
12/11/2012
$
6,400,000
Par
2/8/2013
196
2
Subordinated
8
Debentures
Subordinated
8
Debentures
9/22/2011
30a
5/15/2013
Subordinated
Debentures 8
7
R $
750,000
9/8/2011
Preferred Stock
2, 7
R $
176,000
7
P $
131,021
7
P $
204,507
12/11/2012
2/8/2013
Subordinated
8
Debentures
Subordinated
Debentures 8
Page 14 of 43
Footnote
Seller
Purchase Date
Purchase Details
Name of Institution
City
State
8
6/19/2009
Duke Financial Group, Inc.
Minneapolis
MN
8, 157
6/19/2009
Farmers Enterprises, Inc.
Great Bend
KS
8, 193
6/19/2009
Century Financial Services Corporation
Santa Fe
NM
8
6/19/2009
NEMO Bancshares Inc.
Madison
MO
3, 8, 30 7/30/2010
6/19/2009
University Financial Corp, Inc.
St. Paul
MN
8
6/19/2009
Suburban Illinois Bancorp, Inc.
Elmhurst
IL
6/26/2009
Hartford Financial Services Group, Inc.
Hartford
6/26/2009
Veritex Holdings, Inc.
(Fidelity Resources Company)
6/26/2009
6/26/2009
Capital Repayment Details
Investment Amount
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures
Pricing
Mechanism
Capital
Repayment Date
Capital Repayment
Amount 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
$
12,000,000
Par
$
12,000,000
Par
11/13/2012
157
$
11,439,252
$
0
$
10,000,000
Par
12/20/2012
193
$
9,751,500
$
0
$
2,330,000
Par
4/24/2013
4
$
2,330,000
$
0
$
11,926,000
Par
7/30/2010
4
$
11,926,000
$
0
N/A
N/A
N/A
Warrants
9/21/2010
Warrants
Subordinated
8
Debentures
Subordinated
Debentures 8
Subordinated
Debentures 8
11/13/2012
12/20/2012
4/24/2013
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
Final Disposition
Proceeds
7
P $
590,323
7
P $
496,589
7
R $
117,000
-
N/A
$
15,000,000
Par
CT
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
$
3,400,000,000
Par
3/31/2010
4
$
3,400,000,000
$
0
Dallas
TX
Preferred Stock w/ Exercised Warrants
$
3,000,000
Par
8/25/2011
49
$
3,000,000
$
0
Preferred Stock
2
8/25/2011
Preferred Stock
Waukesha Bankshares, Inc.
FC Holdings, Inc.
Waukesha
Houston
WI
TX
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
5,625,000
21,042,000
Par
Par
2/7/2013
2/20/2013
205
$
$
5,161,674
18,685,927
$
$
0
0
Preferred Stock 2
Preferred Stock 2
2/7/2013
2/20/2013
Preferred Stock
Preferred Stock
6/26/2009
Security Capital Corporation
Batesville
MS
Preferred Stock w/ Exercised Warrants
$
17,388,000
Par
9/29/2010
4
$
17,388,000 $
0
Preferred Stock
2
9/29/2010
Preferred Stock
6/26/2009
6/26/2009
6/26/2009
First Alliance Bancshares, Inc.
Gulfstream Bancshares, Inc.
Gold Canyon Bank
Cordova
Stuart
Gold Canyon
TN
FL
AZ
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
3,422,000
7,500,000
1,607,000
Par
Par
Par
12/20/2012
8/18/2011
$
$
0
0
Preferred Stock 2
Preferred Stock 2
12/20/2012
8/18/2011
Preferred Stock
Preferred Stock
6/26/2009
M&F Bancorp, Inc.
Durham
NC
Preferred Stock
$
11,735,000
Par
8/20/2010
4
$
11,735,000 $
0
N/A
N/A
N/A
6/26/2009
Metropolitan Bank Group, Inc.
Chicago
IL
Preferred Stock w/ Exercised Warrants
$
74,706,000
Par
6/28/2013
252
$
23,718,542
$
0
N/A
N/A
N/A
N/A
6/26/2009
Metropolitan Bank Group, Inc.
(NC Bancorp, Inc.)
Chicago
IL
Preferred Stock w/ Exercised Warrants
$
7,186,000
Par
6/28/2013
252
$
2,281,458
$
0
N/A
N/A
N/A
N/A
6/26/2009
Alliance Bancshares, Inc.
Dalton
GA
$
2,986,000
Par
3/28/2013
230
$
2,831,437
$
0
3/28/2013
8
6/26/2009
Stearns Financial Services, Inc.
St. Cloud
MN
$
24,900,000
Par
1/18/2012
4
$
24,900,000
$
0
8
6/26/2009
Signature Bancshares, Inc.
Dallas
TX
$
1,700,000
Par
12/15/2010
4
$
1,700,000
$
0
8
6/26/2009
Fremont Bancorporation
Fremont
CA
$
35,000,000
Par
7/25/2012
4
$
35,000,000
$
0
8, 195
6/26/2009
Alliance Financial Services Inc.
Saint Paul
MN
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
$
12,000,000
Par
2/7/2013
195
$
8,912,495
$
0
Preferred Stock
Subordinated
Debentures 8
Subordinated
8
Debentures
Subordinated
8
Debentures
Subordinated
Debentures 8
7/10/2009
Lincoln National Corporation
Radnor
PA
Preferred Stock w/ Warrants
$
950,000,000
Par
6/30/2010
4
$
950,000,000
$
0
Warrants
9/16/2010
Warrants
7/10/2009
7/17/2009
7/17/2009
7/17/2009
Bancorp Financial, Inc.
Brotherhood Bancshares, Inc.
SouthCrest Financial Group, Inc.
Harbor Bankshares Corporation
Oak Brook
Kansas City
Fayetteville
Baltimore
IL
KS
GA
MD
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
$
$
$
$
13,669,000
11,000,000
12,900,000
6,800,000
Par
Par
Par
Par
8/18/2011
9/15/2011
3/11/2013
49
$
$
$
13,669,000
11,000,000
11,587,256
$
$
$
0
0
0
Preferred Stock 2
Preferred Stock 2
2
Preferred Stock
8/18/2011
9/15/2011
3/11/2013
Preferred Stock
Preferred Stock
Preferred Stock
$
13,125,000
$
Subordinated
Debentures 8
Subordinated
Debentures 8
11/28/2012
Subordinated
8
Debentures
2, 40 3/23/2011,
49
2, 10, 205
2, 210
2, 10, 30 9/29/2010
2, 190
2, 50
2, 10, 235
2, 3, 10, 30 8/20/2010
2, 41 3/30/2011,
252
2, 41 3/30/2011,
252
2, 230
2, 10, 49
2, 49
2, 222
2, 3
706,264,560
2, 7
R $
150,000
2, 7
P $
P $
165,839
994,613
R $
522,000
P $
R $
94,702
375,000
2, 7
2, 7,
8
7/17/2009
First South Bancorp, Inc.
Lexington
TN
8
7/17/2009
Great River Holding Company
Baxter
MN
8, 10, 244
7/17/2009
Plato Holdings Inc.
Saint Paul
MN
125
7/24/2009
Elkin
NC
2, 10
2, 207
7/24/2009
7/24/2009
Kingman
Tampa
AZ
FL
Yadkin Financial Corporation (Yadkin Valley
Financial Corporation)
Community Bancshares, Inc.
Florida Bank Group, Inc.
8
7/24/2009
2
210
A $
7/31/2009
First American Bank Corporation
Chicago Shore Corporation
Elk Grove Village
Chicago
IL
IL
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
9/28/2011
$
50,000,000
190
50
49
222
4
$
$
2,370,742
7,500,000
36,875,000
Par
11/28/2012
4
$
36,875,000
$
0
Preferred Stock
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
2
1/18/2012
12/15/2010
7/25/2012
2/7/2013
$
8,400,000
Par
$
2,500,000
Par
4/29/2013
244
$
2,478,750
$
0
Subordinated
Debentures 8
4/29/2013
Subordinated
Debentures 8
Preferred Stock w/ Warrants
$
13,312,000
Par
9/12/2012
125
$
11,643,740
$
0
Warrants
6/12/2013
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
3,872,000
20,471,000
Par
Par
4
$
15,000,000
$
Subordinated
Debentures 8
Subordinated
8
Debentures
12/11/2012
Subordinated
Debentures 8
12/21/2011
Subordinated Debentures w/ Exercised
Warrants
$
Preferred Stock w/ Exercised Warrants
$
50,000,000
Par
12/11/2012
7,000,000
35,000,000
4
$
35,000,000
$
0
30a
2, 7
2, 7
-
N/A
2, 7
P $
138,900
7
R $
1,245,000
7
R $
85,000
7
R $
1,750,000
7
P $
504,900
A $
213,671,319
R $
R $
P $
410,000
550,000
588,264
7
R $
2,500,000
7
P $
90,582
P $
55,677
R $
2,500,000
2, 7
2, 7
2, 7
7
Par
Page 15 of 43
Footnote
Seller
Purchase Date
Purchase Details
Name of Institution
City
State
8, 10, 49
7/31/2009
Financial Services of Winger, Inc.
Winger
MN
2, 49
2
2, 187
2, 172
8/7/2009
8/7/2009
8/14/2009
8/21/2009
The ANB Corporation
U.S. Century Bank
Bank Financial Services, Inc.
KS Bancorp, Inc.
Terrell
Miami
Eden Prairie
Smithfield
TX
FL
MN
NC
8, 231
8/21/2009
AmFirst Financial Services, Inc.
McCook
NE
2, 3, 191
2, 49
2, 10, 218
8/28/2009
8/28/2009
8/28/2009
First Independence Corporation
First Guaranty Bancshares, Inc.
CoastalSouth Bancshares, Inc.
Detroit
Hammond
Hilton Head Island
MI
LA
SC
8, 10, 50
8/28/2009
TCB Corporation
Greenwood
SC
8, 10, 49
9/4/2009
The State Bank of Bartley
Bartley
NE
49
9/11/2009
Pathfinder Bancorp, Inc.
Oswego
NY
2, 30 9/29/2010
2, 10, 100 7/17/2012
2, 10, 50
8, 30 9/17/2010
2, 10
2, 10, 144
2, 10, 50
Capital Repayment Details
Investment Amount
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
Pricing
Mechanism
Capital
Repayment Date
Capital Repayment
Amount 6
$
3,742,000
Par
9/1/2011
49
$
3,742,000
$
0
$
$
$
$
20,000,000
50,236,000
1,004,000
4,000,000
Par
Par
Par
Par
8/25/2011
49
$
20,000,000
$
0
12/20/2012
11/30/2012
187
$
$
907,937
3,283,000
$
$
0
0
$
5,000,000
Par
3/28/2013
231
$
4,752,000
$
0
$
$
$
3,223,000
20,699,000
16,015,000
Par
Par
Par
12/20/2012
9/22/2011
3/11/2013
191
$
$
$
2,286,675
20,699,000
12,606,191
$
$
$
0
0
0
$
9,720,000
Par
9/8/2011
50
$
9,720,000
$
0
$
1,697,000
Par
9/22/2011
49
$
1,697,000
$
0
$
6,771,000
Par
9/1/2011
49
$
6,771,000
$
0
172
49
218
Final
Disposition
Date
Subordinated
Debentures 8
2
Preferred Stock
Preferred Stock 2
Preferred Stock 2
Subordinated
Debentures 8
N/A
2
Preferred Stock
Preferred Stock 2
Subordinated
Debentures 8
Subordinated
Debentures 8
Warrants
9/1/2011
8/25/2011
12/20/2012
11/30/2012
3/28/2013
N/A
9/22/2011
3/11/2013
9/8/2011
9/22/2011
2/1/2012
Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
Subordinated
7
R $
112,000
Debentures 8
Preferred Stock 2, 7 R $
1,000,000
Preferred Stock
Preferred Stock
Subordinated
Debentures 8
N/A
Preferred Stock
Preferred Stock
Subordinated
Debentures 8
Subordinated
Debentures 8
Warrants
2, 7
P $
P $
23,500
140,400
P $
259,875
R $
P $
N/A
1,030,000
415,848
7
R $
292,000
7
R $
51,000
R $
537,633
R $
2,600,000
2, 7
7
2, 7
2, 7
2, 7,
9/11/2009
Community Bancshares of Mississippi, Inc.
Brandon
MS
Preferred Stock w/ Exercised Warrants
$
52,000,000
Par
9/29/2010
4
9/11/2009
Heartland Bancshares, Inc.
Franklin
IN
Preferred Stock w/ Exercised Warrants
$
7,000,000
Par
7/17/2012
100
$
7,000,000
9/11/2009
PFSB Bancorporation, Inc.
Pigeon Falls
WI
$
1,500,000
Par
8/25/2011
50
$
1,500,000
9/11/2009
First Eagle Bancshares, Inc.
Hanover Park
IL
$
7,500,000
Par
9/17/2010
4
$
9/18/2009
9/18/2009
IA Bancorp, Inc.
HomeTown Bankshares Corporation
Iselin
Roanoke
NJ
VA
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
5,976,000
10,000,000
Par
Par
9/25/2009
Heritage Bankshares, Inc.
Norfolk
VA
$
10,103,000
Par
2
9/25/2009
Mountain Valley Bancshares, Inc.
Cleveland
GA
$
3,300,000
Par
8
9/25/2009
Grand Financial Corporation
Hattiesburg
MS
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
$
2,443,320
Par
9/25/2009
Guaranty Capital Corporation
Belzoni
MS
Subordinated Debentures
$
14,000,000
Par
9/25/2009
GulfSouth Private Bank
Destin
FL
$
7,500,000
Par
8, 10, 50
9/25/2009
Steele Street Bank Corporation
Denver
CO
$
11,019,000
112
2, 10, 49
10/2/2009
10/2/2009
Premier Financial Bancorp, Inc.
Providence Bank
Huntington
Rocky Mount
WV
NC
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$
$
22,252,000
4,000,000
3, 8, 30 7/30/2010
10, 21, 132
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Preferred Stock w/ Exercised Warrants
$
10/31/2012 ## $
3/16/2011 4 $
0
Preferred Stock 2
9/29/2010
Preferred Stock
$
0
Preferred Stock 2
7/17/2012
Preferred Stock
2, 7
$
248,000
$
0
8/25/2011
R $
71,000
0
Preferred Stock
Subordinated
Debentures 8
2, 7
7,500,000 $
Preferred Stock 2
Subordinated
Debentures 8
30a
R $
375,000
10/31/2012
Preferred Stock 2,7 R $
315,462
8/11/2011
Preferred Stock
N/A
N/A
9/1/2011
Subordinated
8
Debentures
7
R $
331,000
9/15/2011
Preferred Stock
2, 7
R $
175,000
R $
381,000
R $
313,000
52,000,000 $
9,093,150
2,606,000
$
$
0
7,497,000
Preferred Stock 2
2
Preferred Stock
8/11/2011
50
$
7,497,000
$
0
Preferred Stock 2
7/30/2010
4
$
14,000,000
$
0
N/A
Par
9/1/2011
50
$
11,019,000
$
0
Par
Par
7/27/2012
9/15/2011
112
$
$
19,849,222
4,000,000
$
$
0
0
49
Subordinated
Debentures 8
Warrants
Preferred Stock 2
9/17/2010
30a
2, 7
R $
-
303,000
N/A
2, 7,
2, 10, 69 1/27/2012
10/23/2009
Regents Bancshares, Inc.
Vancouver
WA
8, 50
10/23/2009
Cardinal Bancorp II, Inc.
Washington
MO
2
2, 10a, 49
2, 10a, 202
2, 10
10/30/2009
10/30/2009
11/6/2009
11/13/2009
Randolph Bank & Trust Company
WashingtonFirst Bankshares, Inc.
F & M Bancshares, Inc.
Fidelity Federal Bancorp
Asheboro
Reston
Trezevant
Evansville
NC
8, 10
11/13/2009
Community Pride Bank Corporation
Ham Lake
MN
2, 10a
2, 10, 184
2, 50
2, 10a
11/13/2009
11/20/2009
11/20/2009
11/20/2009
HPK Financial Corporation
Presidio Bank
McLeod Bancshares, Inc.
Metropolitan Capital Bancorp, Inc.
Chicago
San Francisco
Shorewood
Chicago
3, 10a, 72 2/10/2012
12/4/2009
Broadway Financial Corporation
Los Angeles
CA
2, 200
2, 10
12/4/2009
12/4/2009
Delmar Bancorp
Liberty Bancshares, Inc.
Delmar
Fort Worth
2, 113, 129
12/11/2009
First Community Financial Partners, Inc.
Joliet
$
12,700,000
Par
1/27/2012
69
$
6,251,000
Par
9/8/2011
$
$
$
$
6,229,000
6,842,000
3,535,000
6,657,000
Par
Par
Par
Par
8/4/2011
2/7/2013
$
4,400,000
Par
$
$
$
$
5,000,000
10,800,000
6,000,000
2,348,000
Par
Par
Par
Par
Preferred Stock
$
6,000,000
Par
MD
TX
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
9,000,000
6,500,000
Par
Par
2/7/2013
IL
Preferred Stock w/ Exercised Warrants
$
22,000,000
Par
9/12/2012
VA
TN
IN
IL
CA
MN
IL
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
12/11/2012
12/11/2012
8/18/2011
$
12,700,000
$
0
Preferred Stock 2
1/27/2012
Preferred Stock
50
$
6,251,000
$
0
Subordinated
Debentures 8
9/8/2011
Subordinated
Debentures 8
49
$
$
6,842,000
3,298,420
$
$
0
0
N/A
N/A
N/A
N/A
N/A
N/A
$
$
$
5,000,000
9,058,369
6,000,000
$
$
$
0
0
0
Preferred Stock 2
2
Preferred Stock
2
Preferred Stock
12/11/2012
12/11/2012
8/18/2011
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
200
$
5,453,900
$
0
Preferred Stock 2
2/7/2013
Preferred Stock
2, 7
129
$
14,211,450
$
0
Preferred Stock 2
7/27/2012
Preferred Stock
202
4
50
69
7
-
2, 7
2, 7
N/A
N/A
R $
P $
R $
144,000
278,381
300,000
P $
311,944
P $
720,374
2, 7,
2, 10
12/11/2009
Wachusett Financial Services, Inc.
Clinton
MA
Preferred Stock w/ Exercised Warrants
$
12,000,000
4/4/2012
4
$
3,000,000
$
9,000,000
1/30/2013
4
$
4,000,000
$
5,000,000
Par
113
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Page 16 of 43
Footnote
Seller
Purchase Date
Purchase Details
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock
Preferred Stock
Preferred Stock
Pricing
Mechanism
Capital
Repayment Date
Capital Repayment
Amount 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
$
2,000,000
Par
12/29/2010
4
$
2,000,000
$
$
$
$
6,319,000
6,000,000
2,417,000
Par
Par
Par
49
Preferred Stock
$
11,881,000
Par
9/8/2011
9/1/2011
9/15/2011
7/27/2012
6/24/2013
$
$
$
$
$
6,319,000
6,000,000
2,417,000
6,138,000
3,237,045
$
$
$
$
$
PA
PA
Preferred Stock
Preferred Stock w/ Exercised Warrants
$
$
6,335,000
1,505,000
Par
Par
9/22/2011
49
$
1,505,000
$
0
San Diego
CA
Preferred Stock
$
2,032,000
Par
12/20/2012
188
$
1,832,697
$
0
Milwaukee
Harrisburg
Saginaw
Logan
Birmingham
Malvern
Closter
Oxford
Lebanon
WI
PA
MI
UT
MI
PA
NJ
NC
TN
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
3,000,000
6,056,000
1,300,000
4,640,000
1,744,000
4,596,000
1,230,000
2,997,000
8,700,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
11/29/2012
7/14/2011
9/22/2011
7/14/2011
7/28/2011
2/8/2013
3/28/2012
9/22/2011
11/9/2012
173
$
$
$
$
$
$
$
$
$
2,345,930
6,056,000
1,300,000
4,640,000
1,744,000
4,009,723
1,230,000
2,997,000
7,945,493
$
$
$
$
$
$
$
$
$
First Choice Bank
Cerritos
CA
Preferred Stock
$
2,836,000
Par
9/24/2010
4
$
2,836,000
12/22/2009
Highlands Bancorp, Inc.
(Highlands State Bank)
Vernon
NJ
Preferred Stock
$
2,359,000
Par
9/22/2011
49
$
12/22/2009
12/22/2009
12/22/2009
12/29/2009
12/29/2009
Medallion Bank
Catskill Hudson Bancorp, Inc
TriSummit Bank
Atlantic Bancshares, Inc.
Union Financial Corporation
Salt Lake City
Rock Hill
Kingsport
Bluffton
Albuquerque
UT
NY
TN
SC
NM
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
9,698,000
3,500,000
4,237,000
2,000,000
2,179,000
Par
Par
Par
Par
Par
7/21/2011
7/21/2011
11/29/2012
49
7/25/2012
12/29/2009
Mainline Bancorp, Inc.
Ebensburg
PA
Preferred Stock w/ Exercised Warrants
$
4,500,000
Par
3/9/2012
12/29/2009
FBHC Holding Company
Boulder
CO
Subordinated Debentures w/ Exercised
Warrants
$
3,035,000
Par
8
12/11/2009
Nationwide Bankshares, Inc.
West Point
NE
2, 10a, 49
2, 10a, 49
2, 10a, 49
2, 10a, 114,
251
12/11/2009
12/11/2009
12/11/2009
GrandSouth Bancorporation
1st Enterprise Bank
First Resource Bank
Greenville
Los Angeles
Exton
SC
CA
PA
12/11/2009
First Western Financial, Inc.
Denver
2, 10a
2, 10a, 49
12/11/2009
12/11/2009
Devon
Limerick
2, 10a, 188
12/11/2009
2, 173
2, 10, 49
2, 49
2, 10a, 49
2, 10a, 49
2, 10a, 203
2, 10a
2, 10a, 49
2, 10, 149
2, 10a, 30 9/24/2010
2, 10a, 13 8/31/2010,
49
2, 10a, 49
2, 10a, 49
2, 10a, 175
2, 10
2, 10
2, 73 3/9/2012
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/22/2009
Meridian Bank
The Victory Bancorp, Inc.
Bank of Southern California, N.A. (First Business
Bank, N.A.)
Layton Park Financial Group
Centric Financial Corporation
Valley Financial Group, Ltd., 1st State Bank
Cache Valley Banking Company
Birmingham Bloomfield Bancshares, Inc
First Priority Financial Corp.
Northern State Bank
Union Bank & Trust Company
First Freedom Bancshares, Inc.
12/22/2009
8, 10, 38
CO
49
49
114
0
0
0
0
3,881,000
0
Final
Disposition
Date
Subordinated
Debentures 8
N/A
N/A
N/A
12/29/2010
N/A
N/A
N/A
N/A
N/A
9/22/2011
Preferred Stock
N/A
N/A
N/A
0
0
0
0
0
0
0
0
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
N/A
N/A
N/A
N/A
N/A
Preferred Stock 2
11/29/2012
7/14/2011
9/22/2011
N/A
N/A
N/A
N/A
N/A
11/9/2012
Preferred Stock
Preferred Stock
Preferred Stock
N/A
N/A
N/A
N/A
N/A
Preferred Stock
$
0
N/A
N/A
N/A
2,359,000
$
0
N/A
N/A
N/A
$
$
$
9,698,000
3,500,000
3,145,973
$
$
$
0
0
0
Preferred Stock 2
Preferred Stock 2
N/A
7/21/2011
7/21/2011
N/A
Preferred Stock
Preferred Stock
N/A
4
$
600,000
$
73
$
4,500,000
$
0
3/9/2012
Preferred Stock
$
650,000
$
0
N/A
N/A
251
49
49
49
49
203
4
49
149
49
175
1,579,000
N/A
Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
Subordinated
7
R $
100,000
Debentures 8
N/A
N/A
N/A
N/A
N/A
N/A
Preferred Stock
2
-
2, 7
N/A
R $
34,000
N/A
2, 7
2, 7
2, 7
2, 7
P $
R $
R $
P $
-
104,375
182,000
65,000
N/A
N/A
N/A
N/A
N/A
256,119
N/A
N/A
2, 7
R
2, 7
R
$
$
N/A
55,000
113,000
R
$
225,000
Preferred Stock 2
2, 7,
3/9/2011
38
Preferred Stock
N/A
2
73
N/A
Page 17 of 43
Footnote
Name of Institution
Purchase Date
2, 10a, 155
12/29/2009 Western Illinois Bancshares Inc.
2, 10a
12/29/2009 DeSoto County Bank
2, 10a, 30 12/29/2009 Lafayette Bancorp, Inc.
9/29/2010
2, 10a
12/29/2009 Private Bancorporation, Inc.
2, 10a, 164
12/29/2009 CBB Bancorp
2, 10a, 49
12/29/2009 Illinois State Bancorp, Inc.
Seller
Purchase Details
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Capital Repayment
Amount 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Monmouth
Horn Lake
IL
MS
Preferred Stock
Preferred Stock
$
$
4,567,000
1,508,000
Par
Par
11/9/2012
155
$
4,217,361
$
0
N/A
N/A
N/A
Oxford
MS
Preferred Stock
$
2,453,000
Par
9/29/2010
4
$
2,453,000
$
0
N/A
N/A
N/A
Minneapolis
Cartersville
Chicago
MN
GA
IL
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants
$
$
$
3,262,000
1,753,000
4,000,000
Par
Par
Par
11/29/2012
9/22/2011
164
$
$
1,613,658
4,000,000
$
$
0
0
N/A
N/A
9/22/2011
N/A
Preferred Stock
$
204,943,827,320
Total Purchase Amount *
49
Total Repaid **
Losses***
TOTAL TREASURY CAPITAL PURCHASE PROGRAM (CPP) OUTSTANDING INVESTMENT AMOUNT
$ 196,015,390,209
$
(3,486,315,340)
$
5,442,121,771
Preferred Stock
2
Final Disposition
Proceeds
N/A
-
2, 7
Total Warrant Proceeds****
N/A
N/A
R $
$
92,000
7,874,131,974
* Total purchase amount includes the capitalization of accrued dividends referred to in Notes 20, 22, 28 and 29.
** Total repaid includes (i) the amount of $25 billion applied as repayment under the Capital Purchase Program from the total proceeds of $31.85 billion received pursuant to the sales of Citigroup, Inc. common stock as of December 6, 2010 (see Note 23 and "Capital Purchase Program - Citigroup Common Stock Disposition" on following pages) and (ii) the
amount of $355,724,000 repaid by institutions that have completed exchanges for investments under the Community Development Capital Initiative (see Note 30 and "Community Development Capital Initiative" on following pages).
*** Losses include (i) the investment amount for institutions that have completed bankruptcy proceedings and (ii) the investment amount less the amount of final proceeds for institutions where Treasury has completed a sale, but excludes investment amounts for institutions that have pending receivership or bankruptcy proceedings.
**** Total warrant proceeds includes $7,566,000, which represents the total amount of warrants that were included in nine institutions' exchange into the CDCI program (see Note 30a). Beginning with the Transactions Report for the period ending April 20, 2012, disposition amounts for warrant sales by Treasury in a registered public offering ("A") are
displayed after underwriting fees (net) as oppose to before underwriting fees and selling expenses (gross).
Notes appear on the following page.
Page 18 of 43
1a/ This transaction was included in previous Transaction Reports with Merrill Lynch & Co., Inc. listed as the qualifying institution and a 10/28/2008 transaction date, footnoted to indicate that settlement was deferred pending merger. The purchase of Merrill Lynch by Bank of America was completed on 1/1/2009, and this transaction under the
1b/ The warrant disposition proceeds amount are stated pro rata in respect of the CPP investments in Bank of America Corporation that occurred on 10/28/2008 and 1/9/2009. The total 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.
2/ Privately-held qualified financial institution; Treasury received a warrant to purchase additional shares of preferred stock (unless the institution is a CDFI), which it exercised immediately.
3/ To promote community development financial institutions (CDFIs), Treasury does not require warrants as part of its investment in certified CDFIs when the size of the investment is $50 million or less.
3a/ Treasury cancelled the warrants received from this institution due to its designation as a CDFI.
4/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009.
5/ Redemption pursuant to a qualified equity offering.
6/ This amount does not include accrued and unpaid dividends, which must be paid at the time of capital repayment.
7/ The proceeds associated with the disposition of this investment do not include accrued and unpaid dividends.
8/ Subchapter S corporation; Treasury received a warrant to purchase additional subordinated debentures (unless the institution is a CDFI), which it exercised immediately.
9/ In its qualified equity offering, this institution raised more capital than Treasury’s original investment, therefore, the number of Treasury’s shares underlying the warrant was reduced by half.
10/ This institution participated in the expansion of CPP for small banks.
10a/ This institution received an additional investment through the expansion of CPP for small banks.
11/ Treasury made three separate investments in Citigroup Inc. (Citigroup) under the CPP, Targeted Investment Program (TIP), and Asset Guarantee Program (AGP) for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange up to $25 billion of Treasury's investment in Fixed Rate Cumulative Perpetual
Preferred Stock, Series H (CPP Shares) "dollar for dollar" in Citigroup's Private and Public Exchange Offerings. On 7/23/2009 and 7/30/2009, Treasury exchanged a total of $25 billion of the CPP shares for Series M Common Stock Equivalent (“Series M”) and a warrant to purchase shares of Series M. On 9/11/2009, Series M automatically
converted to 7,692,307,692 shares of common stock and the associated warrant terminated on receipt of certain shareholder approvals.
12/ On 8/24/2009, Treasury exchanged its series C preferred stock issued by Popular, Inc. for a like amount of non tax-deductible trust preferred securities issued by Popular Capital Trust III, administrative trustee for Popular, Inc. Popular, Inc. paid a $13 million exchange fee in connection with this transaction.
13/ This institution converted to a bank holding company structure and Treasury exchanged its securities for a like amount of securities that comply with the CPP terms applicable to bank holding companies. The institution in which Treasury's original investment was made is shown in parentheses.
14/ As of the date of this report, this institution is in bankruptcy proceedings.
15/ For final and partial disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution in a negotiated sale pursuant to the terms of the related securities purchase agreement, "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, and "P" represents the proceeds to Treasury from a sale by Treasury in a private auction principally involving qualified institutional buyers.
16/ On 12/10/2009, the bankruptcy reorganization plan of CIT Group Inc. became effective and Treasury's preferred stock and warrant investment were extinguished and replaced by contingent value rights (CVRs). On 2/8/2010, the CVRs expired without value as the terms and conditions for distribution of common shares to holders of CVRs
17/ On 12/11/2009, Treasury exchanged its series A preferred stock issued by Superior Bancorp, Inc. for a like amount of non tax-deductible Trust Preferred Securities issued by Superior Capital Trust II, administrative trustee for Superior Bancorp.
18/ On 2/1/2010, following the acquisition of First Market Bank (First Market) by Union Bankshares Corporation (the acquiror), the preferred stock and exercised warrants issued by First Market on 2/6/2009 were exchanged for a like amount of securities of the acquiror in a single series but with a blended dividend rate equivalent to those of
19/ On 2/11/2010, Pacific Coast National Bancorp dismissed its bankruptcy proceedings with no recovery to any creditors or investors, including Treasury, and the investment was extinguished.
20/ On 3/8/2010, Treasury exchanged its $84,784,000 of preferred stock in Midwest Banc Holdings, Inc. (MBHI) for $89,388,000 of mandatory convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $84,784,000, plus $4,604,000 of capitalized previously accrued and unpaid dividends. Subject to the fulfillment
by MBHI of the conditions related to its capital plan, the MCP may be converted to common stock.
21/ On 3/30/2010, Treasury exchanged its $7,500,000 of subordinated debentures in GulfSouth Private Bank for an equivalent amount of preferred stock, in connection with its conversion from a Subchapter S-Corporation, that comply with the CPP terms applicable to privately held qualified financial institutions.
22/ On 4/16/2010, Treasury exchanged its $72,000,000 of preferred stock in Independent Bank Corporation (Independent) for $74,426,000 of mandatory convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $72,000,000, plus $2,426,000 of capitalized previously accrued and unpaid dividends. Subject to the
fulfillment by Independent of the conditions related to its capital plan, the MCP may be converted to common stock.
23/ Treasury received Citigroup common stock pursuant to the June 2009 Exchange Agreement between Treasury and Citigroup which provided for the exchange into common shares of the preferred stock that Treasury purchased in connection with Citigroup's participation in the Capital Purchase Program (see note 11). On April 26, 2010,
Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on
May 26, 2010. On May 26, 2010, Treasury again gave Morgan Stanley discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on
June 30, 2010. On July 23, 2010, Treasury again gave Morgan Stanley discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on September 30, 2010 (or on completion of the sale). Completion of the sale under this authority
occurred on September 30, 2010. On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common stock from time to time during the period ending on December 31, 2010 (or upon completion of the
sale), which plan was terminated on December 6, 2010. All such sales were generally made at the market price. On December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. See "Capital Purchase Program - Citigroup, Inc., Common Stock Disposition" on following page for the actual
number of shares sold by Morgan Stanley, the weighted average price per share and the total proceeds to Treasury from all such sales during those periods.
24/ On 8/26/2010, Treasury completed the exchange of its $303,000,000 of preferred stock in Sterling Financial Corporation (Sterling) for a like amount of mandatorily convertible preferred Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Sterling entered into on 4/29/2010. Since Sterling also fulfilled the
conversion conditions set forth in the Certificate of Designations for the MCP, including those related to its capital plan, Treasury’s $303,000,000 of MCP was subsequently, as of 8/26/2010, converted into 378,750,000 shares of common stock.
25/ On 8/20/2010, Sonoma Valley Bank, Sonoma, CA, the banking subsidiary of Sonoma Valley Bancorp, was closed by the California Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
26/ On 9/30/2010, Treasury completed the sale of all preferred stock and warrants issued by South Financial Group, Inc. to Toronto-Dominion Bank (TD) at an aggregate purchase price of $130,179,218.75 for the preferred stock and $400,000 for the warrants, pursuant to the terms of the agreement between Treasury and TD entered into on
5/18/2010.
27/ On 6/30/2010, Treasury exchanged $46,400,000 of its series A preferred stock in First Merchants Corporation for a like amount of non tax-deductible Trust Preferred Securities issued by First Merchants Capital Trust III.
28/ On 7/20/2010, Treasury completed the exchange of its $400,000,000 of preferred stock in First BanCorp for $424,174,000 of mandatorily convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $400,000,000, plus $24,174,000 of capitalized previously accrued and unpaid dividends. 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.
29/ On 8/31/2010, following the completion of the conditions related to Pacific Capital Bancorp's (Pacific Capital) capital plan, Treasury exchanged its $180,634,000 of preferred stock in Pacific Capital for $195,045,000 of mandatorily convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $180,634,000, plus
$14,411,000 of capitalized previously accrued and unpaid dividends. On 9/27/2010, following the completion of the conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was converted into 360,833,250 shares of common stock of Pacific Capital. 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.
30/ This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has completed an exchange of its Capital Purchase Program investment for an investment under the terms of the CDCI program. See "Community Development Capital Initiative" below.
30a/ At the time of this institution’s exchange into the CDCI program, the warrant preferreds were included in the total amount of preferred stock exchanged for Treasury’s CDCI investment. Therefore this disposition amount does not represent cash proceeds to Treasury.
31/ On 9/30/2010, Treasury completed the exchange of its $80,347,000 of preferred stock in Hampton Roads Bankshares, Inc. (Hampton) for a like amount of mandatorily convertible preferred Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Hampton entered into on 8/12/2010. Since Hampton also fulfilled
the conversion conditions set forth in the Certificate of Designations for the MCP, Treasury’s $80,347,000 of MCP was subsequently converted into 52,225,550 shares of common stock.
32/ On 9/30/2010, Treasury completed the sale of all preferred stock and warrants issued by TIB Financial Corp. to North American Financial Holdings, Inc. (NAFH) at an aggregate purchase price of $12,119,637.37 for the preferred stock and $40,000 for the warrants, pursuant to the terms of the agreement between Treasury and NAFH
entered into on 9/24/2010.
33/ On 3/4/2011, Treasury completed the sale to Community Bancorp LLC (“CBC”) of all preferred stock and warrants issued by Cadence Financial Corporation (“Cadence”) to Treasury for an aggregate purchase price of $39,014,062.50, pursuant to the terms of the agreement between Treasury and CBC entered into on 10/29/2010.
34/ On 12/3/2010, Treasury completed the sale of all preferred stock (including the preferred stock received upon the exercise of warrants) issued by The Bank of Currituck (“Currituck”) to Treasury for an aggregate purchase price of $1,742,850, pursuant to the terms of the agreement between Treasury and Currituck entered into on 11/5/2010.
35/ Treasury entered into an agreement on 1/28/2011 with North American Financial Holdings, Inc. for the sale of all preferred stock and warrants issued by Capital Bank Corporation to Treasury for an aggregate purchase price of $41,279,000. Since the conditions to closing of the sale were satisfied, the closing of the sale also occurred on
1/28/2011.
36/ On 2/15/2011, Treasury completed the sale of all preferred stock (including the preferred stock received upon the exercise of warrants) issued by Treaty Oak Bancorp (“Treaty Oak”) to Treasury for (i) a cash payment of $500,000, (ii) the right to receive up to $150,000 in principal payments on a note payable by Carlile Bancshares, Inc. in
favor of Treaty Oak, and (iii) a newly issued warrant to purchase 3,098,341 shares of Treaty Oak common stock, pursuant to the terms of the agreement between Treasury and Treaty Oak entered into on 2/15/2011.
37/ On 2/18/11, Treasury completed the exchange of its $135,000,000 of preferred stock (including accrued and unpaid dividends thereon) in Central Pacific Financial Corp. for not less than 5,620,117 shares of common stock, pursuant to an exchange agreement dated 2/17/2011.
38/ On 3/9/2011, Treasury completed the sale of all subordinated debentures (including the subordinated debentures received upon the exercise of warrants) issued by FBHC Holding Company ("FBHC") to Treasury for an aggregate purchase price of $650,000, pursuant to the terms of the agreement between Treasury and FBHC entered into
on 3/9/2011.
39/ On 5/31/2011, Treasury completed the sale of all preferred stock and warrants issued by First Community Bank Corporation of America (FCBCA) for an aggregate purchase price of (i) $7.20 million plus (ii) 72% of the remaining cash assets after giving effect to the payment of defined acquisition expenses, debts, liabilities and distributions to
Page 19 of 43
y
p
p
y
y
p
(
)
gg g
p
p
()
p
( )
g
g g
p y
q
p
other classes of security holders, pursuant to the terms of the agreement between Treasury and FCBCA entered into on 3/11/2011.
40/ As a result of the acquisition of Fidelity Resources Company (the acquired company) by Veritex Holdings, Inc. (the acquiror), the preferred stock and exercised warrants issued by the acquired company on 6/26/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the terms of an agreement among Treasury, the
acquired company and the acquiror entered into on 3/23/2011.
41/ As a result of the acquisition of NC Bancorp, Inc. (the acquired company) by Metropolitan Bank Group, Inc. (the acquiror), Treasury exchanged $6,880,000 of its preferred stock in NC Bancorp, Inc. and $71,526,000 of its preferred stock in Metropolitan Bank Group, Inc. for $81,892,000 of a new series of preferred stock in Metropolitan Bank
Group, Inc., which is equivalent to the combined initial investment amount of $78,406,000 plus $3,486,000 of capitalized previously accrued and unpaid dividends, pursuant to the terms of an agreement among Treasury, the acquired company and the acquiror entered into on 3/30/2011. Exercised warrants were also exchanged at the time of the
agreement.
42/ On 5/3/2011, Treasury completed the sale of all First Federal Bancshares of Arkansas, Inc. preferred stock and warrants held by Treasury to Bear State Financial Holdings, LLC (“Bear State”) for an aggregate purchase price of $6,000,000.00, pursuant to the terms of the agreement between Treasury and Bear State entered into on
05/03/2011
43/ On 5/13/2011, Treasury completed the sale of all Wilmington Trust Corporation preferred stock held by Treasury to M&T Bank Corporation ("M&T") for an aggregate purchase price of $330,000,000.00 plus accrued dividends and exchanged its Wilmington Trust Corporation warrant for an equivalent warrant issued by M&T Bank Corporation,
pursuant to the terms of the agreement between Treasury and M&T entered into on 5/13/2011.
44/ On 7/5/2011, Treasury completed a transaction with Harris Financial Corp., a wholly-owned subsidiary of Bank of Montreal ("BMO"), for the sale of (i) all Marshall & Ilsley Corporation ("M&I") Preferred Stock held by Treasury for a purchase price of $1,715,000,000 plus accrued dividends and (ii) the Treasury-held M&I Warrant for an amount
equal to $3,250,000, pursuant to the terms of the agreement between Treasury and BMO entered into on 05/16/2011.
45/ On 6/3/2011, Treasury completed the sale of all Whitney Holding Corporation preferred stock and the related warrant held by Treasury to Hancock Holding Company ("HHC") for an aggregate purchase price equal to (i) the par amount of the preferred stock ($300,000,000) plus accrued and unpaid dividends thereon and (ii) $6,900,000 for the
warrant, pursuant to the terms of the agreement between Treasury and HHC entered into on 6/3/2011.
46/ On 06/22/2011, Treasury completed the sale of 2,850,000 shares of common stock at $12.590625 per share (which represents the $12.75 public offering price less underwriting discounts) for net proceeds of $35,883,281.25 pursuant to an underwriting agreement executed on 06/17/2011. On 4/4/2012, Treasury completed the sale of all of
Treasury’s remaining 2,770,117 shares of Central Pacific Financial Corp. common stock at $13.01 per share (which represents the $13.15 public offering price less underwriting discounts) for net proceeds of $36,039,222.17, pursuant to an underwriting agreement executed on 03/29/2012.
47/ On 6/30/2011, Treasury completed the sale of all Cascade Financial Corporation preferred stock held by Treasury and the related warrant to Opus Acquisition, Inc. ("Opus") for an aggregate purchase price of $16,250,000.00, pursuant to the terms of the agreement between Treasury and Opus entered into on 06/28/2011.
49/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 using proceeds received in connection with the institution’s participation in the Small Business Lending Fund.
50/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 - part of the repayment amount obtained from proceeds received in connection with the institution’s participation in the Small Business Lending Fund.
51 / On 11/5/2010, Pierce Commercial Bank, Tacoma, WA, the banking subsidiary of Pierce County Bancorp, was closed by the Washington Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
52/ On 11/12/2010, Tifton Banking Company, Tifton, GA, was closed by the Georgia Department of Banking & Finance, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
53/ On 3/11/2011, Legacy Bank, Milwaukee, WI, the banking subsidiary of Legacy Bancorp, Inc., was closed by the State of Wisconsin Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
54/ On 4/15/2011, Superior Bank, Birmingham, AL, the banking subsidiary of Superior Bancorp Inc., was closed by the Office of Thrift Supervision, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
55/ On 7/15/2011, First Peoples Bank, Port Saint Lucie, Florida, the banking subsidiary of FPB Bancorp, Inc., was closed by the Florida Office of Financial Regulation, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
56/ On 7/15/2011, One Georgia Bank, Atlanta, GA was closed by the State of Georgia Department of Banking & Finance, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
57/ On 7/29/2011, Integra Bank, National Association, Evansville, Indiana, the banking subsidiary of Integra Bank Corporation, was closed by the Office of the Comptroller of the Currency, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
58/ On 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.
59/ On 9/7/2011, Treasury completed the sale of all Green Bankshares, Inc. preferred stock held by Treasury and the related Warrant to North American Financial Holdings, Inc. ("NAFH") for an aggregate purchase price of $68,700,000.00, pursuant to the terms of the agreement between Treasury and NAFH entered into on 9/6/2011.
60/ 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.
61/ 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.
62/ 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.
63/ 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.
64/ On 10/21/2011, Treasury completed the sale of all Santa Lucia Bancorp preferred stock and warrants held by Treasury to CCI One Acquisition Corporation ("CCI") for an aggregate purchase price of $2,800,000.00, pursuant to the terms of the agreement between Treasury and CCI entered into on 10/20/2011.
65/ 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.
66/ 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.
67/ 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.
68/ 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.
69/ 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.
70/ 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.
71/ 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.
72/ 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.
73/ On 3/9/2012, Treasury completed the sale of all Mainline Bancorp, Inc. preferred stock and exercised warrants held by Treasury to 9th Street Holdings, Inc., a subsidiary of S&T Bancorp, Inc., for an aggregate purchase price of $4,725,000 plus accrued and unpaid dividends, pursuant to the terms of an agreement among Treasury, 9th Street
Holdings, Inc., and S&T Bancorp, Inc. entered into on 3/8/2012.
74/ On 4/3/2012, Treasury completed the sale of 124,000 shares of Banner Corporation preferred stock at $884.82 per share (less underwriting discounts) for net proceeds of $108,071,914.80 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.
75/ On 4/3/2012, Treasury completed the sale of 65,000 shares of First Financial Holdings, Inc. preferred stock at $873.51 per share (less underwriting discounts) for net proceeds of $55,926,477.75 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.
76/ On 4/3/2012, Treasury completed the sale of 62,158 shares of Wilshire Bancorp, Inc. preferred stock at $943.51 per share (less underwriting discounts) for net proceeds of $57,766,994.16 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.
77/ On 4/3/2012, Treasury completed the sale of 2,000 shares of Seacoast Banking Corporation of Florida preferred stock at $20,510.00 per share (less underwriting discounts) for net proceeds of $40,404,700.00 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.
78/ On 4/3/2012, Treasury completed the sale of 57,000 shares of MainSource Financial Group, Inc. preferred stock at $931.11 per share (less underwriting discounts) for net proceeds of $52,277,170.95 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.
79/ On 4/3/2012, Treasury completed the sale of 52,625 shares of WSFS Financial Corporation preferred stock at $915.11 per share (less underwriting discounts) for net proceeds of $47,435,298.79 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.
80/ On 4/13/2012, Treasury completed the sale of all Gateway Bancshares, Inc. preferred stock held by Treasury to First Volunteer Corporation ("First Volunteer") for an aggregate purchase price of $6,300,000.00 plus accrued and unpaid dividends, pursuant to the terms of the agreement between Treasury and First Volunteer entered into on
4/13/2012.
81/ On 4/20/2012, Treasury completed the sale of all The Connecticut Bank and Trust Company preferred stock held by Treasury to Berkshire Bank for an aggregate purchase price of $6,289,966.33 consisting of (a) (i) $5,448,000.00 for the preferred stock plus (ii) all accrued and unpaid dividends and (b) $792,783.00 for the Warrant, pursuant
to the terms of the agreement by and among Treasury, The Connecticut Bank and Trust Company, and Berkshire Bank entered into on 4/19/2012.
82/ 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.
83/ On 4/24/2012, Treasury completed the sale of all Peoples Bancorporation, Inc. ("Peoples") preferred stock held by Treasury to SCBT Financial Corporation ("SCBT") for an aggregate purchase price of $13,293,000 plus accrued and unpaid dividends, pursuant to the terms of the agreement by and among Treasury, Peoples, and SCBT
entered into on 4/24/2012.
84/ On 8/14/2012, Treasury completed the sale of all Millennium Bancorp, Inc. (Millennium) Preferred Stock held by Treasury to CIC Bancshares, Inc. (CIC) for an aggregate purchase price of (i) $2.904 million plus (ii) accrued and unpaid dividends on the Preferred Stock as of the closing date, pursuant to an agreement by and amount Treasury,
CIC, and Millennium entered into on 4/20/2012.
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85/ On 6/19/2012, Treasury completed the sale of 52,000 shares of Ameris Bancorp preferred stock at $930.60 per share (less underwriting discounts) for net proceeds of $47,665,332.00 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
86/ On 6/19/2012, Treasury completed the sale of 104,823 shares of Taylor Capital Group preferred stock at $893.50 per share (less underwriting discounts) for net proceeds of $92,254,460.24 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
87/ On 6/19/2012, Treasury completed the sale of 30,000 shares of Farmers Capital Bank Corporation preferred stock at $869.17 per share (less underwriting discounts) for net proceeds of $21,594,228.79 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
88/ On 6/19/2012, Treasury completed the sale of 25,223 shares of LNB Bancorp Inc. preferred stock at $739.89 per share (less underwriting discounts) for net proceeds of $21,863,749.50 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
89/ On 6/19/2012, Treasury completed the sale of 37,000 shares of First Defiance Financial Corp. preferred stock at $962.66 per share (less underwriting discounts) for net proceeds of $35,084,143.70 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
90/ On 6/19/2012, Treasury completed the sale of 10,958 shares of First Capital Bancorp, Inc. preferred stock at $920.11 per share (less underwriting discounts) for net proceeds of $9,931,326.90 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
91/ On 6/19/2012, Treasury completed the sale of 20,600 shares of United Bancorp, Inc. preferred stock at $825.50 per share (less underwriting discounts) for net proceeds of $16,750,220.50 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
92/ On 7/3/2012, Treasury completed the sale of 48,200 shares of Fidelity Southern Corporation preferred stock at $900.60 per share (less underwriting discounts) for net proceeds of $42,757,786.20 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
93/ On 7/3/2012, Treasury completed the sale of 25,054 shares of Peoples Bancorp of North Carolina, Inc. preferred stock at $933.36 per share (less underwriting discounts) for net proceeds of $23,033,635.42 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
94/ On 7/3/2012, Treasury completed the sale of 23,184 shares of First Citizens Banc Corp preferred stock at $906.00 per share (less underwriting discounts) for net proceeds of $20,689,633.44 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
95/ On 7/3/2012, Treasury completed the sale of 45,000 shares of MetroCorp Bancshares, Inc. preferred stock at $981.17 per share (less underwriting discounts) for net proceeds of $43,490,360.25 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
96/ On 7/3/2012, Treasury completed the sale of 32,538 shares of Pulaski Financial Corp preferred stock at $888.00 per share (less underwriting discounts) for net proceeds of $28,460,337.84 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
97/ On 7/3/2012, Treasury completed the sale of 33,000 shares of Firstbank Corporation preferred stock at $941.01 per share (less underwriting discounts) for net proceeds of $30,587,530.05 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
98/ On 7/3/2012, Treasury completed the sale of 17,299 shares of Southern First Bancshares, Inc. preferred stock at $904.00 per share (less underwriting discounts) for net proceeds of $15,403,721.56 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
99/ On 7/12/2012, Treasury completed the sale of all Naples Bancorp, Inc. ("Naples Bancorp") preferred stock held by Treasury to Naples Bancorp for an aggregate purchase price of $600,000.00, pursuant to the terms of the agreement between Treasury and Naples Bancorp entered into on 7/12/2012.
100/ On 7/17/2012, Treasury completed the sale of all Heartland Bancshares, Inc. ("Heartland") preferred stock held by Treasury to Horizon Bancorp for an aggregate purchase price of $7,248,000 plus accrued and unpaid dividends, pursuant to the terms of the agreement by and among Treasury, Heartland, and Horizon Bancorp entered into on
7/17/2012.
101/ 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.
102/ On 8/10/2012, Treasury completed the sale of 35,500 shares of Marquette National Corporation preferred stock at $720.25 per share (less a placement agent fee) for net proceeds of $25,313,186.25 and 1,775 shares of Marquette National Corporation preferred stock received upon the exercise of warrants at $825.25 per share (less a
placement agent fee) for net proceeds of $1,450,170.56, pursuant to a placement agency agreement executed on 7/23/2012.
103/ On 8/13/2012, Treasury completed the sale of 43,000 shares of Exchange Bank preferred stock at $875.25 per share (less a placement agent fee) for net proceeds of $37,259,392.50 and 2,150 shares of Exchange Bank preferred stock received upon the exercise of warrants at $965.10 per share (less a placement agent fee) for net
proceeds of $2,054,215.35, pursuant to a placement agency agreement executed on 7/23/2012.
104/ On 8/9/2012, Treasury completed the sale of 36,282 shares of Fidelity Financial Corporation preferred stock at $891.26 per share (less a placement agent fee) for net proceeds of $32,013,328.37 and 1,814 shares of Fidelity Financial Corporation preferred stock received upon the exercise of warrants at $960.60 per share (less a placement
agent fee) for net proceeds of $1,725,103.12, pursuant to a placement agency agreement executed on 7/23/2012.
105/ On 8/9/2012, Treasury completed the sale of 428 shares of First Western Financial, Inc. preferred stock received upon the exercise of warrants at $828.50 per share (less a placement agent fee) for net proceeds of $351,052.02, pursuant to a placement agency agreement executed on 7/23/2012.
106/ On 8/10/2012, Treasury completed the sale of 23,200 shares of Park Bancorporation, Inc. preferred stock at $730.25 per share (less a placement agent fee) for net proceeds of $16,772,382.00 and 1,160 shares of Park Bancorporation, Inc. preferred stock received upon the exercise of warrants at $780.25 per share (less a placement
agent fee) for net proceeds of $896,039.10, pursuant to a placement agency agreement executed on 7/23/2012.
107/ On 8/10/2012, Treasury completed the sale of 35,539 shares of Trinity Capital Corporation preferred stock at $750.25 per share (less a placement agent fee) for net proceeds of $26,396,503.40 and 1,777 shares of Trinity Capital Corporation preferred stock received upon the exercise of warrants at $941.20 per share (less a placement
agent fee) for net proceeds of $1,655,787.28, pursuant to a placement agency agreement executed on 7/23/2012.
108/ On 8/10/2012, Treasury completed the sale of 24,300 shares of CBS Banc-Corp. preferred stock at $905.20 per share (less a placement agent fee) for net proceeds of $21,776,396.40 and 1,215 shares of CBS Banc-Corp. preferred stock received upon the exercise of warrants at $921.00 per share (less a placement agent fee) for net
proceeds of $1,107,824.85, pursuant to a placement agency agreement executed on 7/23/2012.
109/ On 8/9/2012, Treasury completed the sale of its Market Street Bancshares, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $18,069,212.70 and its Market Street Bancshares, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $824,730.64,
pursuant to a placement agency agreement executed on 7/23/2012.
110/ On 8/9/2012, Treasury completed the sale of its Commonwealth Bancshares, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $15,147,000.00 and its Commonwealth Bancshares, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of
$898,722.00, pursuant to a placement agency agreement executed on 7/23/2012.
111/ On 8/9/2012, Treasury completed the sale of its Diamond Bancorp, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $14,780,661.64 and its Diamond Bancorp, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $779,576.49, pursuant to a
placement agency agreement executed on 7/23/2012.
112/ On 8/10/2012, Treasury completed the sale of 22,252 shares of Premier Financial Bancorp, Inc. preferred stock at $901.03 per share (less a placement agent fee) for net proceeds of $19,849,222.36, pursuant to a placement agency agreement executed on 7/23/2012.
113/ On 8/10/2012, Treasury completed the sale of 1,100 shares of First Community Financial Partners, Inc. preferred stock received upon the exercise of warrants at $661.50 per share (less a placement agent fee) for net proceeds of $720,373.50, pursuant to a placement agency agreement executed on 7/23/2012.
114/ On 8/9/2012, Treasury completed the sale of 8,000 shares of First Western Financial, Inc. preferred stock at $775.00 per share (less a placement agent fee) for net proceeds of $6,138,000.00, pursuant to a placement agency agreement executed on 7/23/2012.
115/ 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.
116/ 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.
117/ On 8/1/2012, Treasury completed the sale of all VIST Financial Corp. ("VIST") preferred stock and the related warrant held by Treasury to Tompkins Financial Corporation ("Tompkins") for an aggregate purchase price equal to (i) the par amount of the preferred stock ($25,000,000) plus accrued and unpaid dividends thereon and (ii)
$1,189,813 for the warrant, pursuant to the terms of the agreement by and among Treasury, VIST, and Tompkins entered into on 8/1/2012.
118/ On 8/20/2012, Treasury completed the sale of 5,738,637 split adjusted shares of Sterling Financial Corporation common stock at $20.00 per share (less underwriting discounts) for net proceeds of $113,338,080.75, pursuant to an underwriting agreement executed on 8/14/2012.
119/ On 8/21/2012, Treasury completed the sale of 230,000 shares of M&T Bank Corporation Series A Preferred Shares and 151,500 shares of M&T Bank Corporation Series C Preferred Shares at $1,000.00 per share plus accrued dividends for proceeds of $381,500,000.00 plus accrued dividends, pursuant to an underwriting agreement
120/ On 8/29/2012, Treasury completed the sale of 31,260 shares of BNC Bancorp preferred stock at $921.23 per share (less underwriting discounts) for net proceeds of $28,365,685.05 plus accrued dividends, pursuant to an underwriting agreement executed on 8/23/2012.
121/ On 8/29/2012, Treasury completed the sale of 11,000 shares of Mackinac Financial Corporation preferred stock at $958.09 per share (less underwriting discounts) for net proceeds of $10,380,905.15 plus accrued dividends, pursuant to an underwriting agreement executed on 8/23/2012.
122/ On 8/29/2012 Treasury completed the sale of 11,350 shares of First Community Corporation preferred stock at $982.83 per share (less underwriting discounts) for net proceeds of $10,987,793.69 plus accrued dividends, pursuant to an underwriting agreement executed on 8/23/2012.
123/ On 8/29/2012, Treasury completed the sale of 13,900 shares of First National Corporation preferred stock at $882.50 per share (less underwriting discounts) for net proceeds of $12,082,748.75 plus accrued dividends and 695 shares of First National Corporation preferred stock (held as a result of warrant exercise) at $912.50 per share
(less underwriting discounts) for net proceeds of $624,674.69 plus accrued dividends, pursuant to an underwriting agreement executed on 8/23/2012.
124/ On 9/18/2012, Treasury completed the sale of 36,000 shares of Yadkin Valley Financial Corporation Series T preferred stock at $884.82 per share (less underwriting discounts) for net proceeds of $31,843,080.00 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 9/12/2012.
125/ On 9/18/2012, Treasury completed the sale of 13,312 shares of Yadkin Valley Financial Corporation Series T-ACB preferred stock at $880.00 per share (less underwriting discounts) for net proceeds of $11,643,740.16 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 9/12/2012.
126/ On 9/20/2012, Treasury completed the sale of 17,000 shares of F&M Financial Corporation (NC) preferred stock at $950.00 per share (less a placement agent fee) for net proceeds of $15,988,500.00 and 850 shares of F&M Financial Corporation (NC) preferred stock received upon the exercise of warrants at $921.30 per share (less a
placement agent fee) for net proceeds of $775,273.95, pursuant to a placement agency agreement executed on 9/12/2012.
127/ On 9/21/2012, Treasury completed the sale of 17,243 shares of F&M Financial Corporation (TN) preferred stock at $787.50 per share (less a placement agent fee) for net proceeds of $13,443,073.87 and 862 shares of F&M Financial Corporation (TN) preferred stock received upon the exercise of warrants at $870.00 per share (less a
placement agent fee) for net proceeds of $742,440.60, pursuant to a placement agency agreement executed on 9/12/2012.
128/ On 9/20/2012, Treasury completed the sale of 70,000 shares of Alpine Banks of Colorado preferred stock at $814.29 per share (less a placement agent fee) for net proceeds of $56,430,297.00 and 3,500 shares of Alpine Banks of Colorado preferred stock received upon the exercise of warrants at $950.00 per share (less a placement
agent fee) for net proceeds of $3,291,750.00, pursuant to a placement agency agreement executed on 9/12/2012.
129/ On 9/21/2012, Treasury completed the sale of 22,000 shares of First Community Financial Partners, Inc. preferred stock at $652.50 per share (less a placement agent fee) for net proceeds of $14,211,450.00, pursuant to a placement agency agreement executed on 9/12/2012.
130/ On 9/26/2012, Treasury completed the sale of all Central Federal Corporation preferred stock and the related warrant held by UST for an aggregate purchase price of $3,000,000, pursuant to the terms of the agreement entered into on 9/12/2012.
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131/ On 10/1/2012, Treasury completed the sale of all Southern Community Financial Corp. preferred stock and the related warrant held by UST for an aggregate purchase price of $42,750,000, plus accrued and unpaid dividends, pursuant to the terms of the agreement entered into on 10/1/2012.
132/ 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.
133/ 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.
134/ On 10/31/2012, Treasury completed the sale of 12,000 shares of Blue Ridge Bancshares, Inc. preferred stock at $755.00 per share (less a placement agent fee) for net proceeds of $8,969,400.00 and 600 shares of Blue Ridge Bancshares, Inc. preferred stock received upon the exercise of warrants at $912.11 per share (less a placement
agent fee) for net proceeds of $541,793.34, pursuant to a placement agency agreement executed on 10/22/2012.
135/ On 10/31/2012, Treasury completed the sale of 7,570 shares of First Gothenburg Bancshares, Inc. preferred stock at $910.31 per share (less a placement agent fee) for net proceeds of $6,822,136.23 and 379 shares of First Gothenburg Bancshares, Inc. preferred stock received upon the exercise of warrants at $965.11 per share (less a
placement agent fee) for net proceeds of $362,118.92, pursuant to a placement agency agreement executed on 10/22/2012.
136/ On 10/31/2012, Treasury completed the sale of 10,000 shares of Blackhawk Bancorp Inc. preferred stock at $910.00 per share (less a placement agent fee) for net proceeds of $9,009,000.00 and 500 shares of Blackhawk Bancorp Inc. preferred stock received upon the exercise of warrants at $950.00 per share (less a placement agent
fee) for net proceeds of $470,250.00, pursuant to a placement agency agreement executed on 10/22/2012.
137/ On 10/31/2012, Treasury completed the sale of 4,967 shares of Germantown Capital Corporation, Inc. preferred stock at $910.13 per share (less a placement agent fee) for net proceeds of $4,495,615.71 and 248 shares of Germantown Capital Corporation, Inc. preferred stock received upon the exercise of warrants at $966.11 per share
(less a placement agent fee) for net proceeds of $214,595.28, pursuant to a placement agency agreement executed on 10/22/2012.
138/ On 10/31/2012, Treasury completed the sale of 2,250 shares of CenterBank preferred stock at $825.00 per share (less a placement agent fee) for net proceeds of $1,831,250.00 and 113 shares of CenterBank preferred stock received upon the exercise of warrants at $965.11 per share (less a placement agent fee) for net proceeds of
$84,057.43, pursuant to a placement agency agreement executed on 10/22/2012.
139/ On 10/31/2012, Treasury completed the sale of 7,700 shares of Oak Ridge Financial Services, Inc. preferred stock at $921.50 per share (less a placement agent fee) for net proceeds of $7,024,594.50, pursuant to a placement agency agreement executed on 10/22/2012.
140/ On 10/31/2012, Treasury completed the sale of 3,285 shares of Congaree Bancshares Inc. preferred stock at $825.26 per share (less a placement agent fee) for net proceeds of $2,685,979.10 and 164 shares of Congaree Bancshares Inc. preferred stock received upon the exercise of warrants at $801.00 per share (less a placement agent
fee) for net proceeds of $106,364.00, pursuant to a placement agency agreement executed on 10/22/2012.
141/ On 10/31/2012, Treasury completed the sale of 7,700 shares of Metro City Bank preferred stock at $900.10 per share (less a placement agent fee) for net proceeds of $6,861,462.30 and 385 shares of Metro City Bank preferred stock received upon the exercise of warrants at $970.61 per share (less a placement agent fee) for net proceeds
of $369,948.00, pursuant to a placement agency agreement executed on 10/22/2012.
142/ On 10/31/2012, Treasury completed the sale of 3,900 shares of Peoples Bancshares of TN, Inc. preferred stock at $755.00 per share (less a placement agent fee) for net proceeds of $2,919,500.00 and 195 shares of Peoples Bancshares of TN, Inc. preferred stock received upon the exercise of warrants at $755.00 per share (less a
placement agent fee) for net proceeds of $122,225.00, pursuant to a placement agency agreement executed on 10/22/2012.
143/ On 10/31/2012, Treasury completed the sale of 7,500 shares of The Little Bank, Incorporated preferred stock at $981.20 per share (less a placement agent fee) for net proceeds of $7,285,410.00 and 375 shares of The Little Bank, Incorporated preferred stock received upon the exercise of warrants at $1,000.00 per share (less a placement
agent fee) for net proceeds of $371,250.00, pursuant to a placement agency agreement executed on 10/22/2012.
144/ On 10/31/2012, Treasury completed the sale of 10,000 shares of HomeTown Bankshares Corporation preferred stock at $918.50 per share (less a placement agent fee) for net proceeds of $9,093,150.00 and 374 shares of HomeTown Bankshares Corporation preferred stock received upon the exercise of warrants at $852.00 per share
(less a placement agent fee) for net proceeds of $315,461.52, pursuant to a placement agency agreement executed on 10/22/2012.
145/ 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.
146/ On 10/29/2012, First Place Financial Corp. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Delaware.
147/ On 11/9/2012, Treasury completed the sale of 1,000 shares of BankGreenville Financial Corp. preferred stock at $900.00 per share (less a placement agent fee) for net proceeds of $891,000.00 and 50 shares of BankGreenville Financial Corp. preferred stock received upon the exercise of warrants at $937.61 per share (less a placement
agent fee) for net proceeds of $46,411.70, pursuant to a placement agency agreement executed on 11/1/2012.
148/ On 11/9/2012, Treasury completed the sale of 4,000 shares of Capital Pacific Bancorp preferred stock at $938.36 per share (less a placement agent fee) for net proceeds of $3,715,905.60 and 200 shares of Capital Pacific Bancorp preferred stock received upon the exercise of warrants at $970.21 per share (less a placement agent fee) for
net proceeds of $192,101.58, pursuant to a placement agency agreement executed on 11/1/2012.
149/ On 11/9/2012, Treasury completed the sale of 8,700 shares of First Freedom Bancshares, Inc. preferred stock at $922.50 per share (less a placement agent fee) for net proceeds of $7,945,492.50 and 261 shares of First Freedom Bancshares, Inc. preferred stock received upon the exercise of warrants at $991.21 per share (less a
placement agent fee) for net proceeds of $256,118.75, pursuant to a placement agency agreement executed on 11/1/2012.
150/ On 11/13/2012, Treasury completed the sale of 5,097 shares of Franklin Bancorp, Inc. preferred stock at $632.50 per share (less a placement agent fee) for net proceeds of $3,191,613.98 and 255 shares of Franklin Bancorp, Inc. preferred stock received upon the exercise of warrants at $772.50 per share (less a placement agent fee) for
net proceeds of $195,017.63, pursuant to a placement agency agreement executed on 11/1/2012.
151/ On 11/9/2012, Treasury completed the sale of 1,500 shares of Regional Bankshares Inc. preferred stock at $925.00 per share (less a placement agent fee) for net proceeds of $1,373,625.00 and 75 shares of Regional Bankshares Inc. preferred stock received upon the exercise of warrants at $1,000 per share (less a placement agent fee)
for net proceeds of $74,250.00, pursuant to a placement agency agreement executed on 11/1/2012.
152/ On 11/13/2012, Treasury completed the sale of 3,070 shares of Sound Banking Co. preferred stock at $922.61 per share (less a placement agent fee) for net proceeds of $2,804,088.57 and 154 shares of Sound Banking Co. preferred stock received upon the exercise of warrants at $970.21 per share (less a placement agent fee) for net
proceeds of $147,918.22, pursuant to a placement agency agreement executed on 11/1/2012.
153/ On 11/9/2012, Treasury completed the sale of 5,677 shares of Three Shores Bancorporation, Inc. preferred stock at $888.36 per share (less a placement agent fee) for net proceeds of $4,992,787.52 and 284 shares of Three Shores Bancorporation, Inc. preferred stock received upon the exercise of warrants at $1,004.00 per share (less a
placement agent fee) for net proceeds of $282,284.64, pursuant to a placement agency agreement executed on 11/1/2012.
154/ On 11/13/2012, Treasury completed the sale of 16,641 shares of Timberland Bancorp, Inc. preferred stock at $862.50 per share (less a placement agent fee) for net proceeds of $14,209,333.88, pursuant to a placement agency agreement executed on 11/1/2012.
155/ On 11/9/2012, Treasury completed the sale of 6,855 shares of Western Illinois Bancshares, Inc. Series A preferred stock at $942.90 per share (less a placement agent fee) for net proceeds of $6,398,943.71; 4,567 shares of Western Illinois Bancshares, Inc. Series C preferred stock at $932.77 per share (less a placement agent fee) for net
proceeds of $4,217,360.98; and 343 shares of Western Illinois Bancshares, Inc. preferred stock received upon the exercise of warrants at $987.77 per share (less a placement agent fee) for net proceeds of $335,417.06, pursuant to a placement agency agreement executed on 11/1/2012.
156/ On 11/13/2012, Treasury completed the sale of its F&C Bancorp. Inc. subordinated debentures (less a placement agent fee) for net proceeds of $2,840,902.62 and its F&C Bancorp. Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $148,500.00, pursuant to a placement
agency agreement executed on 11/1/2012.
157/ On 11/13/2012, Treasury completed the sale of its Farmers Enterprises, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $11,439,252.00 and its Farmers Enterprises, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $590,323.14, pursuant
to a placement agency agreement executed on 11/1/2012.
158/ 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.
159/ 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.
160/ 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.
161/ On 11/29/2012, Treasury completed the sale of 4,781 shares of Alaska Pacific Bancshares, Inc. preferred stock at $892.61 per share (less a placement agent fee) for net proceeds of $4,217,568.41, pursuant to a placement agency agreement executed on 11/19/2012.
162/ On 11/30/2012, Treasury completed the sale of 3,000 shares of Bank of Commerce preferred stock at $834.00 per share (less a placement agent fee) for net proceeds of $2,477,000.00 and 150 shares of Bank of Commerce preferred stock received upon the exercise of warrants at $834.00 per share (less a placement agent fee) for net
proceeds of $100,100.00, pursuant to a placement agency agreement executed on 11/19/2012.
163/ On 11/30/2012, Treasury completed the sale of 4,000 shares of Carolina Trust Bank preferred stock at $853.00 per share (less a placement agent fee) for net proceeds of $3,362,000.00, pursuant to a placement agency agreement executed on 11/19/2012.
164/ On 11/29/2012, Treasury completed the sale of 2,644 shares of CBB Bancorp Series A preferred stock at $934.10 per share (less a placement agent fee) for net proceeds of $2,453,093; 1,753 shares of CBB Bancorp Series C preferred stock at $930.02 per share (less a placement agent fee) for net proceeds of $1,613,658.39; and 132
shares of CBB Bancorp Series B preferred stock received upon the exercise of warrants at $1,004.00 per share (less a placement agent fee) for net proceeds of $115,861.33, pursuant to a placement agency agreement executed on 11/19/2012.
165/ On 11/29/2012, Treasury completed the sale of 3,000 shares of Clover Community Bankshares, Inc. preferred stock at $872.90 per share (less a placement agent fee) for net proceeds of $2,593,700.00 and 150 shares of Clover Community Bankshares, Inc. preferred stock received upon the exercise of warrants at $926.81 per share (less
a placement agent fee) for net proceeds of $114,021.50, pursuant to a placement agency agreement executed on 11/19/2012.
166/ On 11/30/2012, Treasury completed the sale of 105 shares of Community Bancshares of Mississippi, Inc. preferred stock at $9,550.00 per share (less a placement agent fee) for net proceeds of $977,750.00 and 5 shares of Community Bancshares of Mississippi, Inc. preferred stock received upon the exercise of warrants at $10,000.00 per
share (less a placement agent fee) for net proceeds of $25,000.00, pursuant to a placement agency agreement executed on 11/19/2012.
167/ On 11/30/2012, Treasury completed the sale of 3,976 shares of Community Business Bank preferred stock at $935.00 per share (less a placement agent fee) for net proceeds of $3,692,560.00 and 199 shares of Community Business Bank preferred stock received upon the exercise of warrants at $965.00 per share (less a placement agent
fee) for net proceeds of $167,035.00, pursuant to a placement agency agreement executed on 11/19/2012.
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168/ On 11/30/2012, Treasury completed the sale of 638 shares of Corning Savings and Loan Association preferred stock at $860.00 per share (less a placement agent fee) for net proceeds of $523,680.00 and 32 shares of Corning Savings and Loan Association preferred stock received upon the exercise of warrants at $905.00 per share (less
a placement agent fee) for net proceeds of $3,960.00, pursuant to a placement agency agreement executed on 11/19/2012.
169/ On 11/29/2012, Treasury completed the sale of 7,525 shares of Country Bank Shares, Inc. preferred stock at $917.90 per share (less a placement agent fee) for net proceeds of $6,838,125.53 and 376 shares of Country Bank Shares, Inc. preferred stock received upon the exercise of warrants at $1,000.00 per share (less a placement
agent fee) for net proceeds of $372,240.00, pursuant to a placement agency agreement executed on 11/19/2012.
170/ On 11/30/2012, Treasury completed the sale of 7,289 shares of FFW Corporation preferred stock at $902.90 per share (less a placement agent fee) for net proceeds of $6,515,425.72 and 364 shares of FFW Corporation preferred stock received upon the exercise of warrants at $995.00 per share (less a placement agent fee) for net
proceeds of $358,558.20, pursuant to a placement agency agreement executed on 11/19/2012.
171/ On 11/30/2012, Treasury completed the sale of 1,900 shares of Hometown Bancshares, Inc. preferred stock at $942.90 per share (less a placement agent fee) for net proceeds of $1,766,510.00 and 95 shares of Hometown Bancshares, Inc. preferred stock received upon the exercise of warrants at $1,001.00 per share (less a placement
agent fee) for net proceeds of $70,095.00, pursuant to a placement agency agreement executed on 11/19/2012.
172/ On 11/30/2012, Treasury completed the sale of 4,000 shares of KS Bancorp, Inc. preferred stock at $827.00 per share (less a placement agent fee) for net proceeds of $3,283,000 and 200 shares of KS Bancorp, Inc. preferred stock received upon the exercise of warrants at $827.00 per share (less a placement agent fee) for net proceeds
of $140,400.00, pursuant to a placement agency agreement executed on 11/19/2012.
173/ On 11/29/2012, Treasury completed the sale of 3,000 shares of Layton Park Financial Group, Inc. preferred stock at $790.31 per share (less a placement agent fee) for net proceeds of $2,345,930.00 and 150 shares of Layton Park Financial Group, Inc. preferred stock received upon the exercise of warrants at $862.50 per share (less a
placement agent fee) for net proceeds of $104,375.00, pursuant to a placement agency agreement executed on 11/19/2012.
174/ On 11/29/2012, Treasury completed the sale of 16,288 shares of Parke Bancorp, Inc. preferred stock at $719.11 per share (less a placement agent fee) for net proceeds of $11,595,735.04, pursuant to a placement agency agreement executed on 11/19/2012.
175/ On 11/29/2012, Treasury completed the sale of 2,765 shares of TriSummit Bank Series B preferred stock at $750.00 per share (less a placement agent fee) for net proceeds of $2,053,012.50; 4,237 shares of TriSummit Bank Series D preferred stock at $750.00 per share (less a placement agent fee) for net proceeds of $3,145,972.50; and
138 shares of TriSummit Bank Series C preferred stock received upon the exercise of warrants at $912.50 per share (less a placement agent fee) for net proceeds of $124,665.75, pursuant to a placement agency agreement executed on 11/19/2012.
176/ 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.
177/ 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.
178/ 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.
179/ On 12/11/2012, Treasury completed the sale of 20,749 shares of The Baraboo Bancorporation, Inc. preferred stock at $652.30 per share (less a placement agent fee) for net proceeds of $13,399,226.97 and 1,037 shares of The Baraboo Bancorporation, Inc. preferred stock received upon the exercise of warrants at $836.21 per share (less
a placement agent fee) for net proceeds of $858,478.27, pursuant to a placement agency agreement executed on 12/3/2012.
180/ On 12/11/2012, Treasury completed the sale of 22,000 shares of Central Community Corporation preferred stock at $926.20 per share (less a placement agent fee) for net proceeds of $20,172,636.00 and 1,100 shares of Central Community Corporation preferred stock received upon the exercise of warrants at $972.20 per share (less a
placement agent fee) for net proceeds of $1,058,725.80, pursuant to a placement agency agreement executed on 12/3/2012.
181/ On 12/11/2012, Treasury completed the sale of 15,600 shares of Community West Bancshares, Inc. preferred stock at $724.00 per share (less a placement agent fee) for net proceeds of $11,181,456.00, pursuant to a placement agency agreement executed on 12/3/2012.
182/ On 12/11/2012, Treasury completed the sale of 1,177 shares of First Advantage Bancshares, Inc. preferred stock at $898.21 per share (less a placement agent fee) for net proceeds of $1,046,621.24 and 59 shares of First Advantage Bancshares, Inc. preferred stock received upon the exercise of warrants at $920.31 per share (less a
placement agent fee) for net proceeds of $53,755.31, pursuant to a placement agency agreement executed on 12/3/2012.
183/ On 12/11/2012, Treasury completed the sale of its Manhattan Bancshares, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $2,560,540.68 and its Manhattan Bancshares, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $131,021.07,
pursuant to a placement agency agreement executed on 12/3/2012.
184/ On 12/11/2012, Treasury completed the sale of 10,800 shares of Presidio Bank preferred stock at $847.21 per share (less a placement agent fee) for net proceeds of $9,058,369.32 and 325 shares of Presidio Bank preferred stock received upon the exercise of warrants at $865.21 per share (less a placement agent fee) for net proceeds of
$278,381.32, pursuant to a placement agency agreement executed on 12/3/2012.
185/ On 12/11/2012, Treasury completed the sale of 2,152 shares of Security Bancshares of Pulaski County, Inc. preferred stock at $692.61 per share (less a placement agent fee) for net proceeds of $1,475,591.75 and 108 shares of Security Bancshares of Pulaski County, Inc. preferred stock received upon the exercise of warrants at $872.10
per share (less a placement agent fee) for net proceeds of $93,244.93, pursuant to a placement agency agreement executed on 12/3/2012.
186/ 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.
187/ On 12/20/2012, Treasury completed the sale of 1,004 shares of Bank Financial Services, Inc. preferred stock at $929.22 per share (less a placement agent fee) for net proceeds of $907,936.88 and 50 shares of Bank Financial Services, Inc. preferred stock received upon the exercise of warrants at $970.00 per share (less a placement
agent fee) for net proceeds of $23,500.00, pursuant to a placement agency agreement executed on 12/11/2012.
188/ On 12/20/2012, Treasury completed the sale of 2,211 shares of Bank of Southern California, N.A. Series A preferred stock at $920.00 per share (less a placement agent fee) for net proceeds of $2,017,453.33; 2,032 shares of Bank of Southern California, N.A. Series C preferred stock at $910.12 per share (less a placement agent fee) for
net proceeds of $1,832,697.18; and 111 shares of Bank of Southern California, N.A. preferred stock received upon the exercise of warrants at $965.12 per share (less a placement agent fee) for net proceeds of $90,461.65, pursuant to a placement agency agreement executed on 12/11/2012.
189/ On 12/20/2012, Treasury completed the sale of 2,600 shares of Community Investors Bancorp, Inc. preferred stock at $950.00 per share (less a placement agent fee) for net proceeds of $2,445,000.00 and 130 shares of Community Investors Bancorp, Inc. preferred stock received upon the exercise of warrants at $1,000.00 per share (less
a placement agent fee) for net proceeds of $105,000.00, pursuant to a placement agency agreement executed on 12/11/2012.
190/ On 12/20/2012, Treasury completed the sale of 3,422 shares of First Alliance Bancshares, Inc. preferred stock at $700.10 per share (less a placement agent fee) for net proceeds of $2,370,742.20 and 171 shares of First Alliance Bancshares, Inc. preferred stock received upon the exercise of warrants at $700.01 per share (less a
placement agent fee) for net proceeds of $94,701.71, pursuant to a placement agency agreement executed on 12/11/2012.
191/ On 12/20/2012, Treasury completed the sale of 3,223 shares of First Independence Corporation preferred stock at $725.00 per share (less a placement agent fee) for net proceeds of $2,286,675.00, pursuant to a placement agency agreement executed on 12/11/2012.
192/ On 12/20/2012, Treasury completed the sale of 1,552 shares of Hyperion Bank preferred stock at $650.00 per share (less a placement agent fee) for net proceeds of $983,800.00 and 78 shares of Hyperion Bank preferred stock received upon the exercise of warrants at $650.00 per share (less a placement agent fee) for net proceeds of
$25,700.00, pursuant to a placement agency agreement executed on 12/11/2012.
193/ On 12/20/2012, Treasury completed the sale of its Century Financial Services Corporation subordinated debentures (less a placement agent fee) for net proceeds of $9,751,500.00 and its Century Financial Services Corporation subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds
of $496,588.95, pursuant to a placement agency agreement executed on 12/11/2012.
194/ 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.
195/ On 2/7/2013, Treasury completed the sale of its Alliance Financial Services, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $8,912,494.80 and its Alliance Financial Services, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $504,900.00,
pursuant to a placement agency agreement executed on 12/11/2012.
196/ On 2/8/2013, Treasury completed the sale of its Biscayne Bancshares, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $6,170,630.40 and its Biscayne Bancshares, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $204,506.72, pursuant to
a placement agency agreement executed on 1/29/2013.
197/ On 2/8/2013, Treasury completed the sale of 24,990 shares of Citizens Bancshares Co. preferred stock at $512.50 per share (less a placement agent fee) for net proceeds of $12,679,301.25 and 1,250 shares of Citizens Bancshares Co. preferred stock received upon the exercise of warrants at $521.25 per share (less a placement agent
fee) for net proceeds of $645,046.87, pursuant to a placement agency agreement executed on 1/29/2013.
198/ 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.
199/ On 2/7/2013, Treasury completed the sale of 28,000 shares of Colony Bankcorp, Inc. preferred stock at $782.11 per share (less a placement agent fee) for net proceeds of $21,680,089.20, pursuant to a placement agency agreement executed on 1/29/2013.
200/ On 2/7/2013, Treasury completed the sale of 9,000 shares of Delmar Bancorp preferred stock at $612.11 per share (less a placement agent fee) for net proceeds of $5,453,900.10 and 450 shares of Delmar Bancorp preferred stock received upon the exercise of warrants at $700.21 per share (less a placement agent fee) for net proceeds
of $311,943.55, pursuant to a placement agency agreement executed on 1/29/2013.
201/ On 2/8/2013, Treasury completed the sale of 146,053 shares of Dickinson Financial Corporation II preferred stock at $552.61 per share (less a placement agent fee) for net proceeds of $79,903,244.85 and 7,303 shares of Dickinson Financial Corporation II preferred stock received upon the exercise of warrants at $681.25 per share (less a
placement agent fee) for net proceeds of $4,925,417.06, pursuant to a placement agency agreement executed on 1/29/2013.
202/ On 2/7/2013, Treasury completed the sale of 4,609 shares of F & M Bancshares, Inc. Series A preferred stock at $942.50 per share (less a placement agent fee) for net proceeds of $4,300,542.67; 3,535 shares of F & M Bancshares, Inc. Series C preferred stock at $942.50 per share (less a placement agent fee) for net proceeds of
$3,298,420.12; and 230 shares of F & M Bancshares, Inc. Series B preferred stock received upon the exercise of warrants at $975.00 per share (less a placement agent fee) for net proceeds of $222,007.50, pursuant to a placement agency agreement executed on 1/29/2013.
203/ On 2/8/2013, Treasury completed the sale of 4,579 shares of First Priority Financial Corp. Series A preferred stock at $882.90 per share (less a placement agent fee) for net proceeds of $4,002,371.11; 4,596 shares of First Priority Financial Corp. Series C preferred stock at $881.25 per share (less a placement agent fee) for net proceeds
of $4,009,722.75; and 229 shares of First Priority Financial Corp. Series B preferred stock received upon the exercise of warrants at $991.21 per share (less a placement agent fee) for net proceeds of $224,717.22, pursuant to a placement agency agreement executed on 1/29/2013.
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204/ On 2/8/2013, Treasury completed the sale of 26,000 shares of HMN Financial, Inc. preferred stock at $721.50 per share (less a placement agent fee) for net proceeds of $18,571,410.00, pursuant to a placement agency agreement executed on 1/29/2013.
205/ On 2/7/2013, Treasury completed the sale of 5,625 shares of Waukesha Bankshares, Inc. preferred stock at $926.90 per share (less a placement agent fee) for net proceeds of $5,161,674.37 and 169 shares of Waukesha Bankshares, Inc. preferred stock received upon the exercise of warrants at $991.21 per share (less a placement
agent fee) for net proceeds of $165,839.35, pursuant to a placement agency agreement executed on 1/29/2013.
206/ 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.
207/ On 2/12/13, Treasury entered into an agreement with Florida Bank Group, Inc. (“FBG”) pursuant to which Treasury agreed to sell its CPP preferred stock back to FBG at a discount subject to the satisfaction of the conditions specified in the agreement.
208/ 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.
209/ On 2/20/2013, Treasury completed the sale of 16,000 shares of Carolina Bank Holdings, Inc. preferred stock at $935.10 per share (less a placement agent fee) for net proceeds of $14,811,984.00, pursuant to a placement agency agreement executed on 2/6/2013.
210/ On 2/20/2013, Treasury completed the sale of 21,042 shares of FC Holdings, Inc. preferred stock at $897.00 per share (less a placement agent fee) for net proceeds of $18,685,927.26 and 1,052 shares of FC Holdings, Inc. preferred stock received upon the exercise of warrants at $955.00 per share (less a placement agent fee) for net
proceeds of $994,613.40, pursuant to a placement agency agreement executed on 2/6/2013.
211/ On 2/20/2013, Treasury completed the sale of its First Trust Corporation subordinated debentures (less a placement agent fee) for net proceeds of $13,612,557.91 and its First Trust Corporation subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $644,726.19, pursuant to a
placement agency agreement executed on 12/11/2012.
212/ On 2/20/2013, Treasury completed the sale of 24,664 shares of National Bancshares, Inc. preferred stock at $750.21 per share (less a placement agent fee) for net proceeds of $18,318,147.65 and 1,233 shares of National Bancshares, Inc. preferred stock received upon the exercise of warrants at $692.61 per share (less a placement
agent fee) for net proceeds of $845,448.25, pursuant to a placement agency agreement executed on 2/6/2013.
213/ On 2/20/2013, Treasury completed the sale of 10,900 shares of Ridgestone Financial Services, Inc. preferred stock at $822.60 per share (less a placement agent fee) for net proceeds of $8,876,676.60 and 545 shares of Ridgestone Financial Services, Inc. preferred stock received upon the exercise of warrants at $882.60 per share (less a
placement agent fee) for net proceeds of $476,206.83, pursuant to a placement agency agreement executed on 2/6/2013.
214/ 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.
215/ 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
216/ On 3/11/2013, Treasury completed the sale of its Boscobel Bancorp, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $6,116,943.16 and its Boscobel Bancorp, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $361,890.34, pursuant to a
placement agency agreement executed on 2/25/2013.
217/ On 3/11/2013, Treasury completed the sale of 9,950 shares of Coastal Banking Company, Inc. preferred stock at $955.10 per share (less a placement agent fee) for net proceeds of $9,408,212.55, pursuant to a placement agency agreement executed on 2/25/2013.
218/ On 3/11/2013, Treasury completed the sale of 16,015 shares of CoastalSouth Bancshares, Inc. preferred stock at $795.10 per share (less a placement agent fee) for net proceeds of $12,606,191.23 and 480 shares of CoastalSouth Bancshares, Inc. preferred stock received upon the exercise of warrants at $875.10 per share (less a
placement agent fee) for net proceeds of $415,847.52, pursuant to a placement agency agreement executed on 2/25/2013.
219/ On 3/11/2013, Treasury completed the sale of 15,349 shares of First Reliance Bancshares, Inc. preferred stock at $679.61 per share (less a placement agent fee) for net proceeds of $10,327,020.55 and 767 shares of First Reliance Bancshares, Inc. preferred stock received upon the exercise of warrants at $822.61 per share (less a
placement agent fee) for net proceeds of $624,632.45, pursuant to a placement agency agreement executed on 2/25/2013.
220/ On 3/11/2013, Treasury completed the sale of 10,500 shares of Northwest Bancorporation, Inc. preferred stock at $1,032.11 per share (less a placement agent fee) for net proceeds of $10,728,783.45 and 525 shares of Northwest Bancorporation, Inc. preferred stock received upon the exercise of warrants at $1,130.61 per share (less a
placement agent fee) for net proceeds of $587,634.55, pursuant to a placement agency agreement executed on 2/25/2013.
221/ On 3/11/2013, Treasury completed the sale of 2,900 shares of Santa Clara Valley Bank, N.A. preferred stock at $850.01 per share (less a placement agent fee) for net proceeds of $2,440,029.00 and 145 shares of Santa Clara Valley Bank, N.A. preferred stock received upon the exercise of warrants at $850.01 per share (less a placement
agent fee) for net proceeds of $98,251.45, pursuant to a placement agency agreement executed on 2/25/2013.
222/ On 3/11/2013, Treasury completed the sale of 12,900 shares of SouthCrest Financial Group, Inc. preferred stock at $907.31 per share (less a placement agent fee) for net proceeds of $11,587,256.01 and 645 shares of SouthCrest Financial Group, Inc. preferred stock received upon the exercise of warrants at $921.25 per share (less a
placement agent fee) for net proceeds of $588,264.19, pursuant to a placement agency agreement executed on 2/25/2013.
223/ On 3/11/2013, Treasury completed the sale of 12,000 shares of The Queensborough Company preferred stock at $976.90 per share (less a placement agent fee) for net proceeds of $11,605,572.00 and 600 shares of The Queensborough Company preferred stock received upon the exercise of warrants at $971.00 per share (less a
placement agent fee) for net proceeds of $576,774.00, pursuant to a placement agency agreement executed on 2/25/2013.
224/ On 3/11/2013, Treasury completed the sale of 70,028 shares of Old Second Bancorp, Inc. preferred stock at $352.50 per share (less a placement agent fee) for net proceeds of $24,438,021.30, pursuant to a placement agency agreement executed on 2/25/2013.
225/ 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.
226/ On 3/27/2013, Treasury completed the sale of 5,500 shares of First Southwest Bancorporation, Inc. preferred stock at $900.02 per share (less a placement agent fee) for net proceeds of $4,900,608.90 and 275 shares of First Southwest Bancorporation, Inc. preferred stock received upon the exercise of warrants at $925.02 per share (less
a placement agent fee) for net proceeds of $251,836.69, pursuant to a placement agency agreement executed on 3/11/2013.
227/ On 3/27/2013, Treasury completed the sale of 2,972 shares of Old Second Bancorp, Inc. preferred stock at $377.02 per share (less a placement agent fee) for net proceeds of $1,109,298.41, pursuant to a placement agency agreement executed on 3/11/2013.
228/ On 3/27/2013, Treasury completed the sale of 266,657 shares of Flagstar Bancorp, Inc. preferred stock at $911.50 per share (less a placement agent fee) for net proceeds of $240,627,276.94, pursuant to a placement agency agreement executed on 3/11/2013.
229/ On 3/27/2013, Treasury completed the sale of 10,973 shares of Stonebridge Financial Corp. preferred stock at $173.53 per share (less a placement agent fee) for net proceeds of $1,879,144.69 and 549 shares of Stonebridge Financial Corp. preferred stock received upon the exercise of warrants at $298.84 per share (less a placement
agent fee) for net proceeds of $139,063.16, pursuant to a placement agency agreement executed on 3/11/2013.
230/ On 3/28/2013, Treasury completed the sale of 2,986 shares of Alliance Bancshares, Inc. preferred stock at $956.61 per share (less a placement agent fee) for net proceeds of $2,831,437.46 and 149 shares of Alliance Bancshares, Inc. preferred stock received upon the exercise of warrants at $1,100.00 per share (less a placement agent
fee) for net proceeds of $138,900.00, pursuant to a placement agency agreement executed on 3/11/2013.
231/ On 3/28/2013, Treasury completed the sale of its AmFirst Financial Services, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $4,752,000.00 and its AmFirst Financial Services, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $259,875.00,
pursuant to a placement agency agreement executed on 3/11/2013.
232/ On 3/28/2013, Treasury completed the sale of 180,000 shares of United Commercial Banks, Inc. preferred stock at $962.50 per share (less a placement agent fee) for net proceeds of $171,517,500.00, pursuant to a placement agency agreement executed on 3/11/2013.
233/ 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.
234/ 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.
235/ 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.
236/ On 04/09/2013, Indiana Bank Corp. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the Southern District of Indiana.
237/ On 4/29/2013, Treasury completed the sale of 52,372 shares of NewBridge Bancorp preferred stock at $980.50 per share (less a placement agent fee) for net proceeds of $50,837,238.54, pursuant to a placement agency agreement executed on 4/15/2013.
238/ On 4/29/2013, Treasury completed the sale of 3,000 shares of Tennessee Valley Financial Holdings, Inc. preferred stock at $1,022.11 per share (less a placement agent fee) for net proceeds of $3,041,330.00 and 150 shares of Tennessee Valley Financial Holdings, Inc. preferred stock received upon the exercise of warrants at $1,127.61
per share (less a placement agent fee) for net proceeds of $144,141.50, pursuant to a placement agency agreement executed on 4/15/2013.
239/ On 4/29/2013, Treasury completed the sale of 20,000 shares of First Financial Service Corporation preferred stock at $542.11 per share (less a placement agent fee) for net proceeds of $10,733,778.00, pursuant to a placement agency agreement executed on 4/15/2013.
240/ On 4/29/2013, Treasury completed the sale of 11,949 shares of Plumas Bancorp preferred stock at $1,091.11 per share (less a placement agent fee) for net proceeds of $12,907,296.66, pursuant to a placement agency agreement executed on 4/15/2013.
241/ On 4/29/2013, Treasury completed the sale of 12,000 shares of Guaranty Federal Bancshares, Inc. preferred stock at $967.50 per share (less a placement agent fee) for net proceeds of $11,493,900.00, pursuant to a placement agency agreement executed on 4/15/2013.
242/ On 4/29/2013, Treasury completed the sale of 8,600 shares of BancStar, Inc. preferred stock at $982.67 per share (less a placement agent fee) for net proceeds of $8,366,452.38 and 430 shares of BancStar, Inc. preferred stock received upon the exercise of warrants at $1,001.50 per share (less a placement agent fee) for net proceeds of
$426,338.55, pursuant to a placement agency agreement executed on 4/15/2013.
243/ On 4/29/2013, Treasury completed the sale of its Brogan Bankshares, Inc. subordinated debentures for net proceeds of $2,495,024.00 and its Brogan Bankshares, Inc. subordinated debentures received upon the exercise of warrants for net proceeds of $125,135.60, pursuant to a placement agency agreement executed on 4/15/2013.
244/ On 4/29/2013, Treasury completed the sale of its Plato Holdings Inc. subordinated debentures for net proceeds of $2,478,750.00 and its Plato Holdings Inc. subordinated debentures received upon the exercise of warrants for net proceeds of $90,582.47, pursuant to a placement agency agreement executed on 4/15/2013.
Page 24 of 43
245/ On 6/24/2013, Treasury completed the sale of 442 shares of Farmer & Merchants Financial Corporation preferred stock at $962.50 per share (less a placement agent fee) for net proceeds of $400,425.00 and 22 shares of Farmer & Merchants Financial Corporation preferred stock received upon the exercise of warrants at $1,007.50 per
share (less a placement agent fee) for net proceeds of -$2,835.00, pursuant to a placement agency agreement executed on 6/14/2013.
246/ On 6/24/2013, Treasury completed the sale of 25,000 shares of Intervest Bancshares Corp preferred stock at $970.00 per share (less a placement agent fee) for net proceeds of $24,007,500.00 , pursuant to a placement agency agreement executed on 6/14/2013.
247/ On 6/24/2013, Treasury completed the sale of 3,727 shares of Pathway Bancorp preferred stock at $1,167.01 per share (less a placement agent fee) for net proceeds of $4,324,446.27 and 186 shares of Pathway Bancorp preferred stock received upon the exercise of warrants at $1,352.50 per share (less a placement agent fee) for net
proceeds of $226,565.00, pursuant to a placement agency agreement executed on 6/14/2013.
248/ On 6/24/2013, Treasury completed the sale of its Security State Bank Holding Company subordinated debentures for net proceeds of $12,409,261.43 and its Security State Bank Holding Company subordinated debentures received upon the exercise of warrants for proceeds of $720,368.55, pursuant to a placement agency agreement
executed on 6/14/2013.
249/ On 6/24/2013, Treasury completed the sale of 2,720 shares of Worthington Financial Holdings, Inc. preferred stock at $861.71 per share (less a placement agent fee) for net proceeds of $2,318,851.2 and 136 shares of Worthington Financial Holdings, Inc. preferred stock received upon the exercise of warrants at $852.50 per share (less a
placement agent fee) for proceeds of $90,940.00, pursuant to a placement agency agreement executed on 6/14/2013.
250/ On 6/24/2013, Treasury completed the sale of 8,559 shares of First Western Financial, Inc. preferred stock at $902.50 per share (less a placement agent fee) for net proceeds of $7,647,252.53 , pursuant to a placement agency agreement executed on 6/14/2013.
251/ On 6/24/2013, Treasury completed the sale of 3,881 shares of First Western Financial, Inc. preferred stock at $842.50 per share (less a placement agent fee) for net proceeds of $3,237,045.08, pursuant to a placement agency agreement executed on 6/14/2013.
252/ On 6/28/2013, Treasury completed the sale to MBG Investors I, L.P. of all preferred stock (including the preferred stock received upon the exercise of warrants) issued by Metropolitan Bank Group, Inc. to Treasury for an aggregate purchase price of $26,000,000.00, pursuant to the terms of the agreement among Treasury, MBG Investors I,
L.P. and Metropolitan Bank Group, Inc. entered into on 6/26/2013.
253/ On 7/5/2013, Rogers Bancshares, Inc. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the Eastern District of Arkansas.
Page 25 of 43
CAPITAL PURCHASE PROGRAM - CITIGROUP, INC.
COMMON STOCK DISPOSITION
Date
4/26/2010 5/26/2010
5/26/2010 6/30/2010
7/23/2010 9/30/2010
10/19/2010 12/6/2010
12/6/2010
Pricing Mechanism
1
2
3
4
5
6
Number of Shares
Proceeds
7
$4.1217
1,500,000,000 $
6,182,493,158
$3.8980
1,108,971,857 $
4,322,726,825
$3.9090
1,500,000,000 $
5,863,489,587
$4.2609
1,165,928,228 $
4,967,921,811
$4.3500
2,417,407,607 $
10,515,723,090
Total Proceeds:
$31,852,354,471
1/ On April 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occurred on May 26, 2010.
2/ On May 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occurred on June 30, 2010.
3/ On July 23, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on September 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occured on September 30, 2010.
4/ On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of
common stock from time to time during the period ending on December 31, 2010 (or upon completion of the sale), which plan was terminated on December 6, 2010.
5/ On December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. Closing of the offering is subject to the fulfillment of certain closing conditions.
6/ The price set forth is the weighted average price for all sales of Citigroup, Inc. common stock made by Treasury over the course of the corresponding period.
7/ Amount represents the gross proceeds to Treasury.
Page 26 of 43
COMMUNITY DEVELOPMENT CAPITAL INITIATIVE
Seller
Footnote
Purchase Date
1
1, 2
1, 2
1, 4
1
2a
1
1
1
1
2a
1
1, 3
7/30/2010
7/30/2010
8/6/2010
8/13/2010
8/13/2010
9/17/2010
8/13/2010
8/13/2010
8/13/2010
8/20/2010
9/24/2010
8/20/2010
8/27/2010
9/3/2010
9/3/2010
9/3/2010
9/10/2010
9/17/2010
9/17/2010
9/17/2010
9/17/2010
9/17/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
1
1
1, 2
1
1, 2
1, 7
6
6
6
1, 2
1, 2
1, 2
1, 2
1
1
1
1, 7
1
1
Purchase Details
Name of Institution
City
State
Guaranty Capital Corporation
University Financial Corp, Inc.
Southern Bancorp, Inc.
Premier Bancorp, Inc.
Belzoni
St. Paul
Arkadelphia
Wilmette
MS
MN
AR
IL
Citizens Bancshares Corporation
Atlanta
GA
PGB Holdings, Inc.
First American International Corp.
Tri-State Bank of Memphis
Chicago
Brooklyn
Memphis
IL
NY
TN
Mission Valley Bancorp
Sun Valley
CA
M&F Bancorp, Inc.
Carver Bancorp, Inc
Kilmichael Bancorp, Inc.
United Bancorporation of Alabama, Inc.
IBW Financial Corporation
IBC Bancorp, Inc.
CFBanc Corporation
American Bancorp of Illinois, Inc.
Hope Federal Credit Union
Genesee Co-op Federal Credit Union
First Eagle Bancshares, Inc.
Liberty Financial Services, Inc.
First Choice Bank
Bainbridge Bancshares, Inc.
Virginia Community Capital, Inc.
Lower East Side People's Federal Credit Union
Atlantic City Federal Credit Union
Neighborhood Trust Federal Credit Union
Gateway Community Federal Credit Union
Union Baptist Church Federal Credit Union
Buffalo Cooperative Federal Credit Union
Tulane-Loyola Federal Credit Union
Alternatives Federal Credit Union
Liberty County Teachers Federal Credit Union
UNO Federal Credit Union
Butte Federal Credit Union
Thurston Union of Low-Income People (TULIP) Cooperative Credit Union
Phenix Pride Federal Credit Union
Pyramid Federal Credit Union
Cooperative Center Federal Credit Union
Prince Kuhio Federal Credit Union
Community First Guam Federal Credit Union
Brewery Credit Union
Tongass Federal Credit Union
Santa Cruz Community Credit Union
Northeast Community Federal Credit Union
Fairfax County Federal Credit Union
Security Federal Corporation
Community Bank of the Bay
The First Bancshares, Inc.
BancPlus Corporation
First M&F Corporation
State Capital Corporation
Lafayette Bancorp, Inc.
PSB Financial Corporation
Community Bancshares of Mississippi, Inc.
First Vernon Bancshares, Inc.
Durham
New York
Kilmichael
Atmore
Washington
Chicago
Washington
Oak Brook
Jackson
Rochester
Hanover Park
New Orleans
Cerritos
Bainbridge
Christiansburg
New York
Lander
New York
Missoula
Fort Wayne
Buffalo
New Orleans
Ithaca
Liberty
New Orleans
Biggs
Olympia
Phenix City
Tucson
Berkeley
Honolulu
Hagatna
Milwaukee
Ketchikan
Santa Cruz
San Francisco
Fairfax
Aiken
Oakland
Hattiesburg
Ridgeland
Kosciusko
Greenwood
Oxford
Many
Brandon
Vernon
NC
NY
MS
AL
DC
IL
DC
IL
MS
NY
IL
LA
CA
GA
VA
NY
WY
NY
MT
IN
NY
LA
NY
TX
LA
CA
WA
AL
AZ
CA
HI
GU
WI
AK
CA
CA
VA
SC
CA
MS
MS
MS
MS
MS
LA
MS
AL
Investment Description
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Subordinated Debentures
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Common Stock
Subordinated Debentures
Preferred Stock
Preferred Stock
Subordinated Debentures
Preferred Stock
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Preferred Stock
Preferred Stock
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Amount from CPP
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
14,000,000
11,926,000
11,000,000
6,784,000
7,462,000
3,000,000
17,000,000
2,795,000
5,500,000
11,735,000
18,980,000
10,300,000
6,000,000
4,205,000
7,875,000
5,645,000
5,146,000
18,000,000
1,747,000
5,000,000
50,400,000
30,000,000
15,750,000
4,551,000
9,734,000
54,600,000
6,245,000
Disposition Details
Additional Investment
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
10,189,000
22,800,000
4,379,000
4,836,000
3,881,000
5,689,000
4,000,000
2,313,000
12,123,000
30,514,000
-
Investment Amount
$
$
$
$
14,000,000
22,115,000
33,800,000
6,784,000
$
$
$
$
11,841,000
3,000,000
17,000,000
2,795,000
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
10,336,000
11,735,000
18,980,000
3,154,000
10,300,000
6,000,000
8,086,000
5,781,000
5,457,000
4,520,000
300,000
7,875,000
11,334,000
5,146,000
3,372,000
1,915,000
898,000
2,500,000
283,000
1,657,000
10,000
145,000
424,000
2,234,000
435,000
743,000
1,000,000
75,000
153,000
2,500,000
2,799,000
273,000
2,650,000
1,096,000
1,600,000
2,828,000
350,000
8,044,000
22,000,000
4,060,000
17,123,000
80,914,000
30,000,000
15,750,000
4,551,000
9,734,000
54,600,000
6,245,000
Pricing
Mechanism
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Amount
Date
Remaining Investment
Amount
11/28/2012
6
$22,115,000
$0
1/29/2013
4
$79,900
$0
5/1/2013
7
$5,146,000
$0
9/26/2012
6
$2,500,000
$0
10/17/2012
6
$1,657,000
$0
10/3/2012
6
$1,096,000
$0
12/28/2012
7
$9,734,000
$0
Page 27 of 43
Seller
Footnote
Purchase Date
1
6
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
6
9/29/2010
8
6
6
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/30/2010
Name of Institution
Security Capital Corporation
BankAsiana
The Magnolia State Corporation
Bancorp of Okolona, Inc.
Southern Chautauqua Federal Credit Union
Fidelis Federal Credit Union
Bethex Federal Credit Union
Shreveport Federal Credit Union
Carter Federal Credit Union
UNITEHERE Federal Credit Union
(Workers United Federal Credit Union)
North Side Community Federal Credit Union
East End Baptist Tabernacle Federal Credit Union
Community Plus Federal Credit Union
Border Federal Credit Union
Opportunities Credit Union
First Legacy Community Credit Union
Union Settlement Federal Credit Union
Southside Credit Union
D.C. Federal Credit Union
Faith Based Federal Credit Union
Greater Kinston Credit Union
Hill District Federal Credit Union
Freedom First Federal Credit Union
Episcopal Community Federal Credit Union
Vigo County Federal Credit Union
Renaissance Community Development Credit Union
Independent Employers Group Federal Credit Union
Brooklyn Cooperative Federal Credit Union
Purchase Details
City
State
Investment Description
Preferred Stock
Amount from CPP
Batesville
Palisades Park
Bay Springs
Okolona
Lakewood
New York
Bronx
Shreveport
Springhill
MS
NJ
MS
MS
NY
NY
NY
LA
LA
Preferred Stock
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
$
$
$
$
$
$
$
$
$
New York
NY
Subordinated Debentures
$
Chicago
Bridgeport
Rantoul
Del Rio
Burlington
Charlotte
New York
San Antonio
Washington
Oceanside
Kinston
Pittsburgh
Roanoke
Los Angeles
Terre Haute
Somerset
Hilo
Brooklyn
IL
CT
IL
TX
VT
NC
NY
TX
DC
CA
NC
PA
VA
CA
IN
NJ
HI
NY
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
17,910,000
-
Disposition Details
Additional Investment
Investment Amount
Pricing
Mechanism
$
$
$
$
$
$
$
$
$
-
$
$
$
$
$
$
$
$
$
17,910,000
5,250,000
7,922,000
3,297,000
1,709,000
14,000
502,000
2,646,000
6,300,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
-
$
-
$
57,000
Par
-
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
-
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
325,000
7,000
450,000
3,260,000
1,091,000
1,000,000
295,000
1,100,000
1,522,000
30,000
350,000
100,000
9,278,000
100,000
1,229,000
31,000
698,000
300,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Total Purchase Amount $
570,073,000
Amount
Date
Remaining Investment
Amount
3/13/2013
6
$3,297,000
$0
2/6/2013
6
$2,500,000
$3,800,000
3/20/2013
6
$57,000
$0
4/10/2012
6
$350,000
$0
6/12/2013
6
$9,278,000
$0
Total Capital Repayment Amount
TOTAL TREASURY COMMUNITY DEVELOPMENT INITIATIVE (CDCI) INVESTMENT AMOUNT
$
$57,809,900
512,263,100
1/ This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has exchanged its Capital Purchase Program investment for an equivalent amount of investment with Treasury under the CDCI program terms.
2/ Treasury made an additional investment in this institution at the time it entered the CDCI program.
2a/ Treasury made an additional investment in this institution after the time it entered the CDCI program.
3/ On 10/28/2011, Treasury completed the exchange of all Carver Bancorp, Inc. ("Carver") preferred stock held by Treasury for 2,321,286 shares of Carver common stock, pursuant to the terms of the agreement between Treasury and Carver entered into on 06/29/2011. Accrued and previously unpaid dividends were paid on the date of the exchange.
4/ On 3/23/2012, Premier Bank, Wilmette, IL, the banking subsidiary of Premier Bancorp, Inc., was closed by the Illinois Department of Financial and Professional Regulation - Division of Banking, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver. On 1/29/2013, UST received $79,900 representing the total amount of
distributions paid to creditors as a result of the liquidation of Premier Bancorp, Inc.
5/ Repayment pursuant to Section 5 of the CDCI Certificate of Designation.
6/ Repayment pursuant to Section 6.10 of the CDCI Securities Purchase Agreement
7/ Repayment pursuant to Section 5 of the CDCI Exchange Agreement.
8/ Repayment pursuant to Section 6.11 of the CDCI Securities Purchase Agreement.
9/ Repayment pursuant to Section 5.11 of the CDCI Exchange Agreement.
Page 28 of 43
AUTOMOTIVE INDUSTRY FINANCING PROGRAM
Initial Investment
City, State
GMAC
(Ally)
Date
Transaction Type
12/29/2008
Purchase
GMAC
5/21/2009
Purchase
GMAC
Detroit, MI
Convertible Preferred Stock
w/ Exercised Warrants
Pricing
Mechanism
Amount
$
5,000,000,000
Par
$
7,500,000,000
Par
Purchase
GMAC
Convertible Preferred Stock
w/ Exercised Warrants
$
1,250,000,000
Par
12/30/2009
Purchase
GMAC
Trust Preferred Securities w/
Exercised Warrants
$
2,540,000,000
Par
12/29/2008
Purchase
Debt Obligation
$
884,024,131
Par
12/31/2008
Purchase
13,400,000,000
Par
4/22/2009
Purchase
2,000,000,000
Par
Purchase
General Motors
Corporation
General Motors
Corporation
General Motors
Corporation
General Motors
Corporation
Debt Obligation w/ Additional
$
Note
Debt Obligation w/ Additional
$
Note
Debt Obligation w/ Additional
$
Note
4,000,000,000
Par
Date
12/30/2009
22
22,
26
12/30/2009
12/30/2010
3/1/2011
2
5/29/2009
7/10/2009
4
5
7/10/2009
7/10/2009
Type
Exchange for convertible
preferred stock
Amount
Treasury Investment After Exchange/Transfer/Other
Pricing
Mechanism
$
5,000,000,000
N/A
Partial conversion of preferred
$
stock for common stock
3,000,000,000
N/A
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
Exchange for preferred and
common stock in New GM
$
Obligor
GMAC (Ally)
21, 22
GMAC (Ally)
3, 26,
32
5,500,000,000
N/A
26
2,670,000,000
N/A
27 GMAC (Ally)
884,024,131
N/A
13,400,000,000
N/A
2,000,000,000
N/A
4,000,000,000
Description
Convertible
Preferred Stock
Amount/Equity %
$
Date
Type
1
Amount/ Proceeds
Remaining
Investment
Description
Remaining
Investment
Amount/Equity %
5,937,500,000
73.8%
Common Stock
Trust Preferred
Securities
$
2,670,000,000
10, 11,
Preferred Stock
24
$
2,100,000,000
27
Payment or Disposition
3/2/2011 Disposition 28
$
2,667,000,000
N/A
$
0
12/15/2010 Repayment
$
2,139,406,778
N/A
$
0
11/18/2010 Partial Disposition 25
$
11,743,303,903 Common Stock
36.9%
11/26/2010 Partial Disposition 25
$
1,761,495,577 Common Stock
32.04%
12/21/2012 Partial Disposition 33
$
5,500,000,000 Common Stock
21.97%
4/11/2013
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%
7/10/2009
Partial Repayment
$
360,624,198 Debt Obligation
$
6,711,864,407
12/18/2009 Partial Repayment
$
1,000,000,000 Debt Obligation
$
5,711,864,407
1/21/2010
Partial Repayment
$
35,084,421 Debt Obligation
$
5,676,779,986
3/31/2010
Partial Repayment
$
1,000,000,000 Debt Obligation
$
4,676,779,986
4/20/2010
Repayment
$
4,676,779,986
3/31/2011
Partial Repayment
$
50,000,000 Debt Obligation
$
935,805,085
4/5/2011
Partial Repayment
$
45,000,000 Debt Obligation
$
890,805,085
5/3/2011
Partial Repayment
$
15,887,795 Debt Obligation
$
874,917,290
12/16/2011 Partial Repayment
$
144,444 Debt Obligation
$
874,772,846
12/23/2011 Partial Repayment
$
18,890,294 Debt Obligation
$
855,882,552
1/11/2012
Partial Repayment
$
6,713,489 Debt Obligation
$
849,169,063
10/23/2012 Partial Repayment
$
435,097 Debt Obligation
$
848,733,966
5/22/2013
Partial Repayment
$
10,048,968 Debt Obligation
$
838,684,999
3/17/2009
Partial Repayment
$
1,496,500,945
4/17/2009
Partial Repayment
$
1,464,690,823
5/18/2009
Partial Repayment
$
1,413,554,739
6/17/2009
Partial Repayment
$
1,369,197,029
7/14/2009
Repayment
7/14/2009
Repayment*
3
7
7 General Motors
Company
7
General Motors
Company
N/A
10, 11,
25
60.8%
Common Stock
Detroit, MI
5/27/2009
6/3/2009
1/16/2009
Chrysler
FinCo
Description
Preferred Stock w/
Exercised Warrants
12/30/2009
5/20/2009
General
Motors
Seller
Exchange/Transfer/Other Details
Purchase
Purchase
Purchase
General Motors
Corporation
General Motors
Corporation
Chrysler FinCo
Debt Obligation w/ Additional
$
Note
Debt Obligation w/ Additional
$
Note
Debt Obligation w/ Additional
$
Note
360,624,198
30,100,000,000
1,500,000,000
Par
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
4/29/2009
4/29/2009
5/1/2009
Purchase
Chrysler Holding
Purchase
Chrysler Holding
Purchase
Chrysler Holding
Purchase
Old Chrysler
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
$
4,000,000,000
$
-
$
280,130,642
$
1,888,153,580
Par
6/10/2009
Transfer of debt to New
Chrysler
$
500,000,000
N/A
9 Motors Liquidation
Company
29
Debt Obligation
$
985,805,085
19
Chrysler Holding
20
Debt obligation w/
additional note
$
3,500,000,000
5/14/2010
14
15
16
4/30/2010
Completion of bankruptcy
proceeding; transfer of
$
(1,888,153,580)
N/A
0
9
13
Par
$
9
Farmington
Hills, MI
1/2/2009
N/A
23 Old Carco
Liquidation Trust
23
Right to recover
proceeds
N/A
Termination and settlement
20
payment
$
$
$
$
Debt Obligation w/
3,499,055 Additional Note
Debt Obligation w/
31,810,122 Additional Note
Debt Obligation w/
51,136,084 Additional Note
Debt Obligation w/
44,357,710 Additional Note
Additional Note
$
0
$
1,369,197,029
$
15,000,000
N/A
-
$
1,900,000,000
N/A
-
N/A
7/10/2009
Repayment
$
280,130,642
5/10/2010
Proceeds from sale of collateral
$
30,544,528
Right to recover
proceeds
$
0
N/A
Page 29 of 43
5/20/2009
Chrysler
Purchase
Old Chrysler
Debt Obligation w/ Additional
$
Note
-
-
collateral security to liquidation
trust
17
Proceeds from sale of collateral
$
9,666,784
Right to recover
proceeds
N/A
12/29/2010 Proceeds from sale of collateral
$
7,844,409
Right to recover
proceeds
N/A
4/30/2012
Proceeds from sale of collateral
$
9,302,185
Right to recover
proceeds
N/A
5/24/2011
Repayment - Principal
$
5,076,460,000
5/24/2011
Termination of undrawn facility 31
$
2,065,540,000
5/24/2011
Repayment* - Additional Note
$
288,000,000
5/24/2011
Repayment* - Zero Coupon Note
$
100,000,000
7/21/2011
Disposition
$
560,000,000
Total Payments $
43,074,303,341
Additional Proceeds * $
403,000,000
9/9/2010
Auburn Hills,
MI
5/27/2009
Purchase
New Chrysler
Debt Obligation w/ Additional
Note, Zero Coupon Note,
$
Equity
18
6,642,000,000
N/A
6/10/2009
Issuance of equity in New
Chrysler
$
-
N/A
Chrysler Group
LLC
Chrysler Group
LLC
Total Initial Investment Amount $
19, 31 Debt obligation w/
additional note &
zero coupon note
30
81,344,932,551
Total Treasury Investment Amount $
Common equity
$
7,142,000,000
6.6%
N/A
N/A
$
0
-
32,716,935,630
Footnotes appear on following page.
As used in this table and its footnotes:
GMAC refers to GMAC Inc., formerly known as GMAC LLC., and now known as Ally Financial, Inc. ("Ally").
"Old GM" refers to General Motors Corporation, which is now known as Motors Liquidation Company.
"New GM" refers to General Motors Company, the company that purchased Old GM's assets on 7/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code. See also footnote 11.
"Chrysler FinCo" refers to Chrysler Financial Services Americas LLC.
"Chrysler Holding" refers to CGI Holding LLC, the company formerly known as "Chrysler Holding LLC".
"Old Chrysler" refers to Old Carco LLC (fka Chrysler LLC).
"New Chrysler" refers to Chrysler Group LLC, the company that purchased Old Chrysler's assets on 6/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code.
1. Payment amount does not include accrued and unpaid interest on a debt obligation, which must be paid at the time of principal repayment.
2. Treasury committed to lend General Motors Corporation up to $1,000,000,000. The ultimate funding was dependent upon the level of investor participation in GMAC LLC's rights offering. The amount has been updated to reflect the final level of funding.
3. Pursuant to its rights under the loan agreement with Old GM reported on 12/29/2008, Treasury exchanged its $884 million loan to Old GM for a portion of Old GM’s common equity interest in GMAC. Treasury held a 35.4% common equity interest in GMAC until the transactions reported on 12/30/2009. (See transactions marked by orange line in the table above and footnote 22.)
4. This transaction is an amendment to Treasury's 12/31/2008 agreement with Old GM (the "Old GM Loan"), which brought the total loan amount to $15,400,000,000.
5. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,400,000,000.
6. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,760,624,198. The $360,624,198 loan was used to capitalize GM Warranty LLC, a special purpose vehicle created by Old GM . On 7/10/2009, the principal amount was included in the $7.07 billion of debt assumed by the new GM, as explained in footnote 10.
7. On 7/10/2009, the principal amount outstanding under the Old GM Loan and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM. (See green lines in the table above.)
8. Under the terms of the $33.3 billion debtor-in-possession credit agreement dated 6/3/2009 with Old GM (the "GM DIP Loan"), Treasury's commitment amount was $30.1 billion. The remaining $2.2 billion of the financing was provided by Canadian government entities. As of 7/09/2009, $30.1 billion of funds had been disbursed by Treasury.
9. On 7/10/2009, Treasury and Old GM amended the GM DIP Loan, and the principal amount and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM, except for (i) $7.07 billion, which was assumed by New GM as a new obligation under the terms of a separate credit agreement between Treasury and New GM (see transactions marked
by green lines in table above) and (ii) $986 million, which remained a debt obligation of Old GM.
10. In total, for the exchange of the Old GM Loan and the GM DIP Loan (other than as explained in footnote 9), Treasury received $2.1 billion in preferred shares and 60.8% of the common shares of New GM. (See transactions marked by green lines in the table above.)
11. Pursuant to a corporate reorganization completed on or about 10/19/2009, the shareholders of New GM, including with respect to Treasury's preferred and common stock, became shareholders of General Motors Holding Company (the ultimate parent company of New GM), which was renamed "General Motors Company" on an equal basis to their shareholdings in New GM, and New GM was converted to
"General Motors LLC". General Motors LLC is a wholly owned subsidiary of General Motors Holdings LLC, and General Motors Holdings LLC is a wholly owned subsidiary of General Motors Company.
12. Pursuant to a corporate reorganization completed on 10/19/2009, Treasury's loan with New GM was assigned and assumed by General Motors Holdings LLC.
13. The loan was funded through Chrysler LB Receivables Trust, a special purpose vehicle created by Chrysler FinCo. The amount of $1,500,000,000 represents the maximum loan amount. The loan was incrementally funded until it reached the maximum amount of $1.5 billion on 4/9/2009.
14. This transaction was an amendment to Treasury's 1/2/2009 agreement with Chrysler Holding. As of 4/30/2009, Treasury's obligation to lend any funds committed under this amendment had terminated. No funds were disbursed.
15. The loan was used to capitalize Chrysler Warranty SPV LLC, a special purpose vehicle created by Old Chrysler.
16. This transaction was set forth in a credit agreement with Old Chrysler fully executed on 5/5/2009 following a term sheet executed on 5/1/2009 and made effective on 4/30/2009. Treasury's commitment was $3.04 billion of the total $4.1 billion debtor-in-possession credit facility (the "Chrysler DIP Loan"). As of 6/30/2009, Treasury's commitment to lend under the Chrysler DIP Loan had terminated. The
remaining principal amount reflects the final amount of funds disbursed under the Chrysler DIP Loan.
17. This transaction was an amendment to Treasury's commitment under the Chrysler DIP Loan, which increased Treasury's commitment by an amount $756,857,000 to a total of $3.8 billion under the Chrysler DIP Loan. As of 6/30/2009, Treasury's obligation to lend funds committed under the Chrysler DIP Loan had terminated.
18. This transaction, first reported based on a term sheet fully executed on 5/27/2009 for an amount up to $6.943 billion, was set forth in a credit agreement with New Chrysler fully executed on 6/10/2009. Under the terms of the credit agreement, Treasury made a new commitment to New Chrysler of up to $6.642 billion. The total loan amount is up to $7.142 billion including $500 million of debt assumed on
6/10/2009 from Chrysler Holding originally incurred under Treasury's 1/2/2009 credit agreement with Chrysler Holding. The debt obligations are secured by a first priority lien on the assets of New Chrysler. When the sale to new Chrysler was completed, Treasury acquired the rights to 9.85% of the common equity in new Chrysler.
19. Pursuant to the agreement explained in footnote 18, $500 million of this debt obligation was assumed by New Chrysler.
20. Under loan agreement, as amended on 7/23/2009, Treasury was entitled to proceeds Chrysler Holdco received from Chrysler FinCo equal to the greater of $1.375 billion or 40% of the equity value of Chrysler FinCo. Pursuant to a termination agreement dated 5/14/2010, Treasury agreed to accept a settlement payment of $1.9 billion as satisfaction in full of all existing debt obligations (including additional
notes and accrued and unpaid interest) of Chrysler Holdco, and upon receipt of such payment to terminate all such obligations.
21. Amount of the Treasury investment exchange includes the exercised warrants from Treasury's initial investments.
22. Under the terms of an agreement dated 12/30/2009, the convertible preferred shares will mandatorily convert to common stock under the conditions and the conversion price as set forth in the terms of the agreement.
23. On April 30, 2010, the Plan of Liquidation for the debtors of Old Chrysler approved by the respective bankruptcy court became effective (the “Liquidation Plan”). Under the Liquidation Plan, the loan Treasury had provided to Old Chrysler was extinguished without repayment, and all assets of Old Chrysler were transferred to a liquidation trust. Treasury retained the right to recover the proceeds from the
liquidation from time to time of the specified collateral security attached to such loan.
24. On October 27, 2010, Treasury accepted an offer by General Motors Company (GM) to repurchase all of the approximately $2.1 billion preferred stock at a price per share of $25.50, which is equal to 102% of the liquidation preference, subject to the closing of the proposed initial public offering of GM’s common stock. The repurchase was completed on 12/15/2010.
25. On 11/17/2010, Treasury agreed to sell 358,546,795 shares of common stock at $32.7525 per share (which represents the $33 public sale price less underwriting discounts and fees) pursuant to an underwriting agreement. Following settlement, the net proceeds to Treasury were $11,743,303,903. On 11/26/2010, the underwriters exercised their option to purchase an additional 53,782,019 shares of
common stock from Treasury at the same purchase price resulting in additional proceeds of $1,761,495,577. Treasury's aggregate net proceeds from the sale of common stock pursuant to the underwriting agreement total $13,504,799,480.
26. On 12/30/2010, Treasury converted $5,500,000,000 of the total convertible preferred stock then outstanding and held by Treasury (including exercised warrants) into 531,850 shares of common stock of Ally. Following this conversion, Treasury holds $5,937,500,000 of convertible preferred stock.
27. On 3/1/2011, Treasury entered into an agreement with Ally Financial, Inc. (Ally) and certain other parties to amend and restate the $2,667,000,000 in aggregate liquidation preference of its Ally trust preferred securities so to facilitate a public underwritten offering. At the time of amendment and restatement, Treasury received all outstanding accrued and unpaid dividends and a distribution fee of $28,170,000.
28. On 3/2/2011, Treasury entered into an underwritten offering for all of its Ally trust preferred securities, the proceeds of which were $2,638,830,000, which together with the distribution fee referred to in footnote 27, provided total disposition proceeds to Treasury of $2,667,000,000. This amount does not include the accumulated and unpaid dividends on the trust preferred securities from the date of the
amendment and restatement through but excluding the closing date that Treasury will receive separately at settlement.
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.
Page 30 of 43
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.
AUTOMOTIVE SUPPLIER SUPPORT PROGRAM
Adjustment Details
Adjustment
Adjusted or Final
Amount
Investment Amount
Seller
Footnote
Date
Name of Institution
City
State
Transaction Type
Investment
Description
Investment
Amount
Pricing Mechanism
Adjustment
Date
Payment or Disposition
Date
Type
1
4/9/2009
GM Supplier Receivables LLC
Wilmington
DE
Purchase
7/8/2009
3
$ (1,000,000,000) $
N/A
6
2
4/9/2009
Chrysler Receivables SPV LLC
INITIAL TOTAL
$
5,000,000,000
Wilmington
DE
Purchase
ADJUSTED TOTAL
Debt Obligation w/
$ 1,500,000,000
Additional Note
$
413,076,735
2,500,000,000
N/A
7/8/2009
3
$
$
290,000,000
(500,000,000) $
1,000,000,000
$
123,076,735
7
Total Repayments
$
413,076,735
Remaining Investment
Description
Amount
2/11/2010
Partial
repayment
Partial
repayment
3/4/2010
Repayment5
Additional Note
$
50,000,000
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
Debt Obligation w/
$ 3,500,000,000
Additional Note
4
Debt Obligation w/ Additional Note
$
140,000,000
Debt Obligation w/ Additional Note
$
100,000,000
Total Proceeds from Additional Notes
1/ The loan was funded through GM Supplier Receivables, LLC, a special purpose vehicle created by General Motors Corporation. The amount of $3,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/3/2009. General Motors Company assumed GM Supplier
2/ The loan was funded through Chrysler Receivables SPV LLC, a special purpose vehicle created by Chrysler LLC. The amount of $1,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/7/2009. Chrysler Group LLC assumed Chrysler Receivables SPV LLC on
3/ Treasury issued notice to the institution of the permanent reduced commitment on 7/8/2009; the reduction was effective on 7/1/2009.
4/ Does not include accrued and unpaid interest due on the amount of principal repayment, which interest must be paid at the time of principal repayment.
5/ All outstanding principal drawn under the credit agreement was repaid.
6/ Treasury's commitment was $2.5 billion (see note 3). As of 4/5/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under the loan, all of which have been repaid.
7/ Treasury's commitment was $1 billion (see note 3). As of 4/7/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under the loan, all of which have been repaid.
Page 31 of 43
AUTOMOTIVE INDUSTRY FINANCING PROGRAM - GENERAL MOTORS COMPANY
COMMON STOCK DISPOSITION
Date
01/18/13 –
04/17/13
3
Pricing Mechanism1
Number of Shares
$28.0490
58,392,078
Total Proceeds:
Proceeds2
$
1,637,839,844
$1,637,839,844
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.
TARGETED INVESTMENT PROGRAM
Seller
Footnote
1
Date
Name of Institution
12/31/2008 Citigroup Inc.
Bank of America
1/16/2009 Corporation
Treasury Investment Remaining After Capital
Repayment
Capital Repayment Details
City
State
Transaction
Type
New York
NY
Purchase
Charlotte
NC
Purchase
Investment Description Investment Amount
Trust Preferred
$
20,000,000,000
Securities w/ Warrants
Preferred Stock w/
$
20,000,000,000
Warrants
TOTAL
$
40,000,000,000
Pricing
Mechanism
Capital
Repayment Date
Par
12/23/2009
2
Remaining Capital
Description
Final Disposition
Final
Disposition
Final Disposition Date 3
Description
Capital Repayment
Amount
Remaining
Capital Amount
Final Disposition
Proceeds
$
20,000,000,000
$
0
Warrants
1/25/2011
A
Warrants
$
190,386,428
$
20,000,000,000
$
0
Warrants
3/3/2010
A
Warrants
$
1,236,804,513
$
40,000,000,000
$
1,427,190,941
2
Par
12/9/2009
AMOUNT
TOTAL TREASURY TIP INVESTMENT AMOUNT
$
Total Warrant Proceeds
0
1/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual
Preferred Stock, Series I (TIP Shares) “dollar for dollar” for Trust Preferred Securities.
2/ Repayment pursuant to Title VII, Section 7001 of the American Recovery and Reinvestment Act of 2009.
3/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution, and "A" represents the proceeds to Treasury, after underwriting fees, from a sale by Treasury in a registered public offering of the warrants issued by the financial institution.
ASSET GUARANTEE PROGRAM
Initial Investment
Footnote
1
Date
Seller
Name of Institution
1/16/2009 Citigroup Inc.
City
New York
State
NY
Type
Guarantee
Premium
Description
Master Agreement
Guarantee Limit
$
5,000,000,000
Description
Preferred Stock
$
w/ Warrants
Amount
Exchange/Transfer/Other Details
Footnote
Date
2
6/9/2009
Exchange preferred stock
Trust Preferred
for trust preferred securities Securities w/ Warrants
9/29/2010
Exchange trust preferred
Trust Preferred
securities for trust preferred
Securities w/ Warrants
securities
4,034,000,000
4
12/23/2009 Citigroup Inc.
New York
NY
Termination
Termination Agreement
$
$
Description
Amount
$
$
4,034,000,000
Remaining Premium
Description
Remaining
Premium
Trust Preferred
Securities w/ Warrants
$2,234,000,000
Footnote
Date
Type
Amount
3
12/23/2009
Partial cancellation for early
termination of guarantee
$ (1,800,000,000)
5
9/30/2010 Disposition
$ 2,246,000,000 Warrants
$
0
1/25/2011 Warrant Auction
$
67,197,045 None
$
0
$894,000,000.00 None
$
0
2,246,000,000
(5,000,000,000)
3
TOTAL
Type
Payment or Disposition
0
6
12/28/2012
7
2/4/2013
Trust preferred securities
received from the FDIC
Exchange Trust preferred
securities for subordinated
note
Trust Preferred
Securities
$ 800,000,000.00
Subordinated Note
$ 894,000,000.00
8
2/8/2013 Disposition
Total Proceeds
$ 3,207,197,045
1/ In consideration for the guarantee, Treasury received $4.03 billion of preferred stock, which pays 8% interest.
2/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock Series G (AGP Shares), received as premium with the AGP agreement, “dollar for dollar” for
Trust Preferred Securities.
3/ On 12/23/2009, Treasury entered into a Termination Agreement with the other parties to the Master Agreement which served to terminate Treasury’s guarantee and obligations under the Master Agreement. In connection with the early termination of the guarantee, Treasury agreed to cancel $1.8 billion of the AGP Trust Preferred Securities, and the Federal Deposit Insurance Corporation (FDIC) and Treasury agreed
that, subject to the conditions set out in the Termination Agreement, the FDIC may transfer $800 million of Trust Preferred Securities to Treasury at the close of Citigroup’s participation in the FDIC’s Temporary Liquidity Guarantee Program.
4/ On 9/29/2010, Treasury entered into an agreement with Citigroup Inc. to exchange $2,234,000,000 in aggregate liquidation preference of its trust preferred securities for $2,246,000,000 in aggregate liquidation preference of trust preferred securities with certain modified terms. At the time of exchange, Citigroup Inc. paid the outstanding accrued and unpaid dividends.
5/ On 9/30/2010, Treasury entered into underwritten offering of the trust preferred securities, the gross proceeds of which do not include accumulated and unpaid distributions from the date of the exchange through the closing date.
6/ 12/28/2012, as contemplated by the Termination Agreement and the Letter Agreement dated 12/23/2009, between Treasury and the Federal Deposit Insurance Corporation (FDIC), Treasury received from the FDIC, Citigroup Inc. trust preferred securities in aggregate liquidation preference equal to $800 million and approximately $183 million in dividend and interest payments from those securities.
7/ On 2/4/2013, Treasury exchanged $800 million in Citigroup Capital XXXIII Trust Preferred Securities (TruPs) for $894 million in Citigroup subordinated notes pursuant to an agreement between Citigroup and Treasury executed on 2/4/2013. Accrued interest on the TruPs was received at the time of the exchange.
8/ On 2/8/2013, Treasury completed the sale of its Citigroup subordinated notes for $894 million plus accrued interest, pursuant to an underwriting agreement executed on 2/8/2012.
Page 33 of 43
AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM
(formerly referred to as Systemically Significant Failing Institutions Program)
Seller
Name of Institution
Purchase Details
City
State
Transaction
Type
Investment Description
Exchange/Transfer Details
Pricing Mechanism
Investment Amount
Note
Date
1
11/25/2008
AIG
New York
NY
Purchase
Preferred Stock w/ Warrants
(Series D)
$
40,000,000,000
Par
2, 3
4/17/2009
AIG
New York
NY
Purchase
Preferred Stock w/ Warrants
(Series F)
$
29,835,000,000
Par
2
Date
Transaction Type
4/17/2009
Exchange
Pricing
Mechanism
Amount
Investment Description
Preferred Stock w/ Warrants
(Series E)
1
$
40,000,000,000
Par
See table below for exchange/transfer details in connection with the recapitalization conducted on 1/14/2011.
Final Disposition
TOTAL
$
69,835,000,000
Date
Investment
Transaction Type
3/1/2013
Warrants (Series D)
Repurchase
$
25,150,923.10
3/1/2013
Warrants (Series F)
Repurchase
$
5,767.50
Total Warrant Proceeds
$
Proceeds
25,156,690.60
1/ On 4/17/2009, Treasury exchanged its Series D Fixed Rate Cumulative Preferred Shares for Series E Fixed Rate Non-Cumulative Preferred Shares with no change to Treasury's initial investment amount. In addition, in order for AIG to fully redeem the Series E Preferred Shares, it had an additional obligation to Treasury of $1,604,576,000 to reflect the
cumulative unpaid dividends for the Series D Preferred Shares due to Treasury through and including the exchange date.
2/ The investment amount reflected Treasury's commitment to invest up to $30 billion less a reduction of $165 million representing retention payments AIG Financial Products made to its employees in March 2009.
3/ This transaction does not include AIG's commitment fee of an additional $165 million paid from its operating income over the life of the facility. A $55 million payment was received by Treasury on 12/17/2010. The remaining $110 million payment was received by Treasury on 05/27/2011.
AIG POST-RECAPITALIZATION
Recapitalization
Note
Date
Investment Description
Treasury Holdings Post-Recapitalization
Transaction Type
Pricing Mechanism
Exchange
Par
Investment Description
Preferred Stock (Series G)
AIA Preferred Units
4
1/14/2011
Preferred Stock (Series F)
Exchange
Exchange
1/14/2011
Preferred Stock (Series E)
1/14/2011
Common Stock (non-TARP)
Exchange
Transfer
$
$
2,000,000,000
16,916,603,568
$
3,375,328,432
167,623,733
924,546,133
N/A
6
Date
Amount / Shares
7
N/A
ALICO Junior Preferred Interests
5
Final Disposition
Common Stock
562,868,096
7
Proceeds 8
Transaction Type
Pricing Mechanism
5/27/2011
Cancellation
$
2/14/2011
Payment
$
185,726,192
Par
3/8/2011
Payment
$
5,511,067,614
Par
3/15/2011
Payment
$
55,833,333
Par
8/17/2011
Payment
$
97,008,351
Par
8/18/2011
Payment
$
2,153,520,000
Par
9/2/2011
Payment
$
55,885,302
Par
11/1/2011
Payment
$
971,506,765
Par
3/8/2012
Payment
$
5,576,121,382
Par
3/15/2012
Payment
$
1,521,632,096
Par
3/22/2012
Payment
$
1,493,250,339
Par
2/14/2011
Payment
$
2,009,932,072
Par
3/8/2011
Payment
$
1,383,888,037
Par
3/15/2012
Payment
$
44,941,843
Par
5/24/2011
Partial Disposition
$
5,800,000,000
N/A
3/8/2012
Partial Disposition
$
6,000,000,008
N/A
5/6/2012
Partial Disposition
$
4,999,999,993
N/A
5/7/2012
Partial Disposition
$
749,999,972
N/A
8/3/2012
Partial Disposition
$
4,999,999,993
N/A
8/6/2012
Partial Disposition
$
750,000,002
N/A
9/10/2012
Partial Disposition
$
17,999,999,973
N/A
9/11/2012
Partial Disposition
$
2,699,999,965
N/A
12/14/2012
Final Disposition
$
7,610,497,570
N/A
-
N/A
Remaining Recap
Investment Amount,
Shares, or Equity %
$
0
10
$
0
8
$
0
8
1,455,037,962
9
77%
1,248,141,410
11
70%
1,084,206,984
12
63%
1,059,616,821
12
61%
895,682,395
13
55%
871,092,231
13
53%
317,246,078
14
22%
234,169,156
14
16%
234,169,156
15
0%
Footnotes appear on following page.
Page 34 of 43
4/ On 1/14/2011, (A) Treasury exchanged $27,835,000,000 of Treasury's investment in AIG's Fixed Rate Non-Cumulative Perpetual Preferred Stock (Series F) which is equal to the amount funded (including amounts drawn at closing) under the Series F equity capital facility, for (i) the transferred SPV preferred interests and (ii) 167,623,733 shares of AIG Common
Stock, and (B) Treasury exchanged $2,000,000,000 of undrawn Series F for 20,000 shares of preferred stock under the new Series G Cumulative Mandatory Convertible Preferred Stock equity capital facility under which AIG has the right to draw up to $2,000,000,000.
5/ On 1/14/2011, Treasury exchanged an amount equivalent to the $40 billion initial investment plus capitalized interest from the April 2009 exchange (see note 1 above) of Fixed Rate Non-Cumulative Perpetual Preferred Stock (Series E) for 924,546,133 shares of AIG Common Stock.
6/ On 1/14/2011, Treasury received 562,868,096 shares of AIG Common Stock from the AIG Credit Facility Trust, which trust was established in connection with the credit facility between AIG and the Federal Reserve Bank of New York. This credit facility was repaid and terminated pursuant to this recapitalization transaction. The trust had received 562,868,096
shares of AIG common stock in exchange for AIG's Series C Perpetual, Convertible Participating Preferred Stock, which was previously held by the trust for the benefit of the U.S. Treasury.
7/ The amount of Treasury's AIA Preferred Units and ALICO Junior Preferred Interests holdings do not reflect preferred returns on the securities that accrue quarterly.
8/ Proceeds include amounts applied to pay (i) accrued preferred returns and (ii) redeem the outstanding liquidation amount.
9/ On 5/27/2011, Treasury completed the sale of 200,000,000 shares of common stock at $29.00 per share for total proceeds of $5,800,000,000, pursuant to an underwriting agreement executed on 05/24/2011.
10/ On 5/27/2011, pursuant to the terms of the agreements governing the Preferred Stock (Series G), the available amount of the Preferred Stock (Series G) was reduced to $0 as a result of AIG’s primary offering of its common stock and the Preferred Stock (Series G) was cancelled.
11/ On 3/13/2012, Treasury completed the sale of 206,896,552 shares of common stock at $29.00 per share for total proceeds of $6,000,000,008, pursuant to an underwriting agreement executed on 3/8/2012.
12/ On 5/10/2012, Treasury completed the sale of 188,524,589 shares of common stock at $30.50 per share for total proceeds of $5,749,999,965, pursuant to an underwriting agreement executed on 5/6/2012.
13/ On 8/8/2012, Treasury completed the sale of 188,524,590 shares of common stock at $30.50 per share for total proceeds of $5,749,999,995, pursuant to an underwriting agreement executed on 8/3/2012.
14/ On 9/14/2012, Treasury completed the sale of 636,923,075 shares of common stock at $32.50 per share for total proceeds of $20,699,999,938, pursuant to an underwriting agreement executed on 9/10/2012.
15/ On 12/14/2012, Treasury completed the sale of 234,169,156 shares of common stock at $32.50 per share for total proceeds of $7,610,497,570, pursuant to an underwriting agreement executed on 12/10/2012.
Page 35 of 43
CREDIT MARKET PROGRAMS
TERM ASSET-BACKED SECURITIES LOAN FACILITY
Seller
Footnote
Date
Name of Institution
City
Transaction
State
Type
Investment Description
Investment Amount
Pricing Mechanism
Adjusted Investment
Date
Amount
2
7/19/2010
$ 4,300,000,000
6/28/2012
1
3/3/2009
TALF LLC
Wilmington
DE
Purchase
Debt Obligation w/ Additional Note
$
20,000,000,000
3
$
1,400,000,000
N/A
1/15/2013
Final Investment Amount
$
100,000,000
Total Investment Amount $
100,000,000
4
$
100,000,000
Date
Repayment 5
Description
Amount
2/6/2013
Principal Repayment
$
100,000,000
2/6/2013
3/6/2013
4/4/2013
5/6/2013
6/6/2013
7/5/2013
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
$
529,209,332
Total Repayment Amount
5
1/ The loan was funded through TALF LLC, a special purpose vehicle created by The Federal Reserve Bank of New York ("FRBNY"). The amount of $20,000,000,000 represents the maximum loan amount. The loan will be incrementally funded.
2/ On 7/19/2010, Treasury, the FRBNY and TALF LLC entered into an amendment of the credit agreement previously entered into on 3/3/2009, which amendment reduced Treasury's maximum loan amount to $4,300,000,000.
3/ On 6/28/2012, Treasury, the FRBNY and TALF LLC entered into an amendment of the credit agreement previously amended 7/19/2010, which reduced Treasury's maximum loan amount to $1,400,000,000.
4/ On 1/15/2013, Treasury, the FRBNY and TALF LLC entered into an amendment that stated that, due to the fact that the accumulated fees collected through TALF exceed the total principal amount of TALF loans outstanding, Treasury’s commitment of TARP funds to provide credit protection is no longer necessary.
5/ Repayment amounts do not include accrued interest proceeds received on 2/6/2013, which are reflected on the Dividends & Interest Report.
Page 36 of 43
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
$
332,596,893
Investment Amount
Pricing Mechanism
TBA or
3
PMF
Settlement Date
107.75
109
108.875
110.502
107.5
106.806
109.42
110.798
110.125
109.553
110.785
112.028
106.625
108.505
111.86
108.4375
106.75
110.198
110.088
110.821
110.515
112.476
105.875
111.584
110.759
106.5
110.5
110.875
113.838
113.9
114.006
-
3/24/2010
3/24/2010
3/24/2010
5/28/2010
4/30/2010
6/30/2010
6/30/2010
6/30/2010
7/30/2010
7/30/2010
8/30/2010
8/30/2010
9/30/2010
9/30/2010
9/30/2010
9/30/2010
10/29/2010
9/30/2010
10/29/2010
10/29/2010
9/29/2010
10/29/2010
11/30/2010
10/29/2010
11/30/2010
11/30/2010
11/30/2010
11/30/2010
12/30/2010
11/30/2010
12/30/2010
TOTAL INVESTMENT AMOUNT
2,
3
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Senior Security
4
Proceeds
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2,184
4,130
4,348
12,983
4,783
5,741
7,057
4,844
4,635
9,377
19,077
15,801
3,200
3,722
7,373
1,408
5,187
4,561
2,752
5,541
5,123
5,820
3,652
4,966
4,458
3,061
3,172
1,912
6,535
7,632
8,521
Total Senior Security Proceeds $
183,555
$
4,377,249
8,279,156
8,716,265
26,041,643
9,598,523
11,511,052
14,151,229
9,717,173
9,294,363
18,801,712
38,273,995
31,693,810
6,416,804
7,462,726
14,789,302
2,826,678
10,394,984
9,150,989
5,520,652
11,115,031
10,277,319
11,672,766
7,319,688
9,962,039
8,940,780
6,134,172
6,361,173
3,834,428
13,109,070
15,308,612
17,092,069
TBA or
3
PMF
-
Final Disposition
368,145,452
Trade Date
PMF
6/21/2011
10/19/2011
6/21/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
9/20/2011
6/21/2011
9/20/2011
6/21/2011
10/19/2011
6/21/2011
1/24/2012
6/21/2011
9/20/2011
10/19/2011
10/19/2011
9/20/2011
10/19/2011
1/24/2012
1/24/2012
1/24/2012
1/24/2012
1/24/2012
10/19/2011
1/24/2012
10/19/2011
1/24/2012
-
Purchase Face
3
Amount
6
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
4,070,000
7,617,617
8,030,000
23,500,000
8,900,014
10,751,382
12,898,996
8,744,333
8,417,817
17,119,972
34,441,059
28,209,085
6,004,156
6,860,835
13,183,361
2,598,386
9,719,455
8,279,048
5,000,000
10,000,000
9,272,482
10,350,000
6,900,000
8,902,230
8,050,000
5,750,000
5,741,753
3,450,000
11,482,421
13,402,491
14,950,000
Life-to-date
Principal Received
Current Face
Amount 6, 8
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Disposition
5, 6
Amount
1, 8
3,151,186
5,891,602
5,964,013
22,350,367
6,542,218
9,819,270
12,570,392
8,483,188
8,171,159
15,030,712
32,656,125
25,930,433
5,656,049
6,520,875
12,704,841
1,903,407
9,531,446
6,425,217
4,580,543
9,030,539
8,403,846
10,099,555
6,236,800
7,503,681
7,053,867
5,473,724
4,307,881
3,367,168
10,592,775
12,963,737
14,562,161
902,633
1,685,710
2,022,652
1,149,633
2,357,796
932,112
328,604
261,145
246,658
2,089,260
1,784,934
2,278,652
348,107
339,960
478,520
694,979
188,009
1,853,831
419,457
969,461
868,636
250,445
663,200
1,398,549
996,133
276,276
1,433,872
82,832
889,646
438,754
387,839
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
3,457,746
6,462,972
6,555,383
25,039,989
7,045,774
10,550,917
13,886,504
9,482,247
8,985,818
16,658,561
36,072,056
29,142,474
6,051,772
7,105,304
14,182,379
2,052,702
10,223,264
7,078,089
5,029,356
9,994,806
9,230,008
11,314,651
6,556,341
8,269,277
7,703,610
5,764,858
4,693,918
3,698,411
11,818,944
14,433,039
16,383,544
Disposition Proceeds
$
334,924,711
7
TOTAL PROGRAM PROCEEDS TO DATE
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
376,748,302
1/ The amortizing principal and interest payments are reported on the monthly Dividends and Interest Report available at www.FinancialStability.gov.
2/ Investment Amount is stated after applying the appropriate month's factor and includes accrued interest paid at settlement, if applicable.
3/ If a purchase is listed as TBA, or To-Be-Announced, the underlying loans in the SBA Pool have yet to come to market, and the TBA pricing mechanism, purchase face amount, investment amount and senior security proceeds will be adjusted within the variance permitted under the program terms. If a purchase
is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security and senior security are priced according to the prior-month's factor. The PMF investment amount and senior security proceeds will be adjusted after publication of the
applicable month's factor (on or about the 11th business day of each month).
4/ In order to satisfy the requirements under Section 113 of the Emergency Economic Stabilization Act of 2008, Treasury will acquire a senior indebtedness instrument (a Senior Security) from the seller of each respective SBA 7a Security. Each Senior Security will (i) have an aggregate principal amount equal to
the product of (A) 0.05% and (B) the Investment Amount (excluding accrued interest) paid by Treasury for the respective SBA 7a Security, and (ii) at the option of the respective seller, may be redeemed at par value immediately upon issuance, or remain outstanding with the terms and conditions as set forth in the
Master Purchase Agreement.
5/ Disposition Amount is stated after applying the appropriate month's factor and includes accrued interest received at settlement, if applicable. If the disposition is listed as PMF, the disposition amount will be adjusted after publication of the applicable month's factor.
6/ If a disposition is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security is priced according to the prior-month's factor. The PMF disposition amount will be adjusted after publication of the applicable month's factor (on or about
the 11th business day of each month).
7/ Total Program Proceeds To Date includes life-to-date disposition proceeds, life-to-date principal received, life-to-date interest received, and senior security proceeds (excluding accruals).
8/ The sum of Current Face Amount and Life-to-date Principal Received will equal Purchase Face Amount for CUSIPs that were originally purchased as TBAs only after the applicable month's factor has been published and trailing principal & interest payments have been received.
Page 37 of 43
CREDIT MARKET PROGRAMS
LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)
Preliminary Adjusted
Seller
Footnote
Date
1
9/30/2009
2
9/30/2009
Name of Institution
UST/TCW Senior Mortgage Securities Fund, L.P.
UST/TCW Senior Mortgage Securities Fund, L.P.
Commitment
City
Wilmington
Wilmington
Transaction
Type
State
DE
DE
Purchase
Purchase
Commitment
Amount
Investment Description
Membership Interest
Debt Obligation w/ Contingent Proceeds
$
$
1,111,111,111
2,222,222,222
Pricing
Mechanism
Date
Par
1/4/2010
Par
1/4/2010
3
Amount
4 $
4 $
156,250,000
200,000,000
Final Investment
Final Commitment Amount
Date
1/4/2010
1/4/2010
7
Amount
Amount
4 $
4 $
156,250,000
200,000,000
9
Amount
$
$
156,250,000
200,000,000
Capital Repayment Details
Repayment
Date
1/15/2010
1/11/2010
1/12/2010
1
9/30/2009
Invesco Legacy Securities Master Fund, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,244,437,500
7/16/2010
$
856,000,000
$
580,960,000
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
Repayment Amount
$
$
$
156,250,000
34,000,000
166,000,000
Amount
$
$
$
0
0
578,515,653 Membership Interest
4/15/2010
$
3,533,199
$
574,982,454 Membership Interest
9/15/2010
$
30,011,187
$
544,971,267 Membership Interest
11/15/2010
$
66,463,982
$
478,507,285 Membership Interest
12/14/2010
$
15,844,536
$
462,662,749 Membership Interest
1/14/2011
$
13,677,726
$
448,985,023 Membership Interest
2/14/2011
$
48,523,845
$
400,461,178 Membership Interest
3/14/2011
$
68,765,544
$
331,695,634 Membership Interest
4/14/2011
$
77,704,254
$
253,991,380 Membership Interest
5/20/2011
$
28,883,733
$
225,107,647 Membership Interest
6/14/2011
$
9,129,709
$
215,977,938 Membership Interest
7/15/2011
$
31,061,747
$
184,916,192 Membership Interest
8/12/2011
$
10,381,214
$
174,534,977 Membership Interest
10/17/2011
$
6,230,731
$
168,304,246 Membership Interest
12/14/2011
$
1,183,959
$
167,120,288 Membership Interest
1/17/2012
$
1,096,185
$
166,024,103 Membership Interest
2/14/2012
$
1,601,688
$
164,422,415 Membership Interest
3/14/2012
$
3,035,546
$
161,386,870 Membership Interest
2/18/2010
$
4,888,718
$
4/15/2010
$
7,066,434
$
9/15/2010
$
60,022,674
$
11/15/2010
$
132,928,628
$
12/14/2010
$
31,689,230
$
1/14/2010
$
27,355,590
$
2/14/2011
$
92,300,138
$
3/14/2011
$
128,027,536
$
4/14/2011
$
155,409,286
$
5/20/2011
$
75,085,485
$
6/14/2011
$
18,259,513
$
7/15/2011
$
62,979,809
$
8/12/2011
$
20,762,532
$
10/17/2011
$
37,384,574
$
12/14/2011
$
7,103,787
$
Proceeds
5
1/29/2010
Distribution
2/24/2010
Final Distribution
1/29/2010
Distribution
2/24/2010
Final Distribution
3/29/2012
Distribution
8/9/2012
Distribution
9/28/2012
Final Distribution
Adjusted
6/4/2013
Distribution
5
$
20,091,872
$
48,922
$
502,302
$
1,223
$
56,390,209
0
$
1,056,751
$
18,772
$
69,399
5
Contingent Proceeds
$
$
Description
Debt Obligation w/ Contingent
166,000,000 Proceeds
2,444,347
161,386,870
Date
Membership Interest
$
$
Distribution or Disposition
Description
2/18/2010
3/29/2012
2
Investment After Capital Repayment
5
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
Membership Interest
10
5
5
5, 13
5
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
Page 38 of 43
Preliminary Adjusted
Seller
Footnote
Date
Name of Institution
Commitment
City
Transaction
Type
State
Commitment
Amount
Investment Description
Pricing
Mechanism
Date
3
Amount
Final Investment
Final Commitment Amount
Date
7
Amount
Amount
9
Amount
Capital Repayment Details
Repayment
Date
2
1
10/1/2009
10/1/2009
10/2/2009
Wellington Management Legacy Securities PPIF Master Fund, LP
Wellington Management Legacy Securities PPIF Master Fund, LP
AllianceBernstein Legacy Securities Master Fund, L.P.
Wilmington
Wilmington
Wilmington
DE
DE
DE
Purchase
Purchase
Purchase
Membership Interest
Debt Obligation w/ Contingent Proceeds
Membership Interest
$
$
$
1,111,111,111
2,222,222,222
1,111,111,111
Par
Par
Par
3/22/2010 6 $
3/22/2010 6 $
3/22/2010 6 $
1,262,037,500
2,524,075,000
1,244,437,500
7/16/2010
7/16/2010
7/16/2010
$
$
$
1,149,487,000
2,298,974,000
1,150,423,500
$
$
$
1,149,487,000
2,298,974,000
1,064,141,738
10/2/2009
AllianceBernstein Legacy Securities Master Fund, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
7/16/2010
$
2,300,847,000 12 $
2,128,000,000
6,577,144
$
2/14/2012
$
9,610,173
$
10/2/2009
Blackrock PPIF, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,244,437,500
7/16/2010
$
694,980,000
$
528,184,800
$
284,468,750
$
Date
0
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
$
6/26/2012
$
125,000,000
$
2,173,974,000
9/17/2012
$
305,000,000
$
1,868,974,000
12/6/2012
$
800,000,000
$
1,068,974,000
12/21/2012
$
630,000,000
$
438,974,000
1/15/2013
$
97,494,310
$
341,479,690
1/24/2013
$
341,479,690
$
- Contingent Proceeds
1/15/2010
$
44,043 $
1,064,097,694 Membership Interest
10
2/14/2011
$
712,284 $
1,063,385,410 Membership Interest
10
3/14/2011
$
6,716,327 $
1,056,669,083 Membership Interest
10
4/14/2011
$
7,118,388 $
1,049,550,694 Membership Interest
10
5/14/2012
$
39,999,800 $
1,009,550,894 Membership Interest
10
6/14/2012
$
287,098,565 $
722,452,330 Membership Interest
10
7/16/2012
$
68,749,656 $
653,702,674 Membership Interest
10
8/14/2012
$
361,248,194 $
292,454,480 Membership Interest
10
-
$
30,244,575
$
2,097,755,425
6/14/2011
$
88,087
$
2,097,667,339
5/3/2012
$
80,000,000
$
2,017,667,339
5/14/2012
$
30,000,000
$
1,987,667,339
5/23/2012
$
500,000,000
$
1,487,667,339
6/14/2012
$
44,200,000
$
1,443,467,339
6/25/2012
$
120,000,000
$
1,323,467,339
7/16/2012
$
17,500,000
$
1,305,967,339
7/27/2012
$
450,000,000
$
855,967,339
8/14/2012
$
272,500,000
$
583,467,339
583,467,339
$
Distribution
8/9/2012
Distribution
9/28/2012
Final Distribution
Adjusted
6/4/2013
Distribution
3/13/2013
Distribution
4/17/2013
Distribution
8/30/2012
Distribution
9/12/2012
Distribution
9/19/2012
Distribution
10/1/2012
Distribution
12/21/2012
Distribution
10/3/2012
Distribution
-
12/21/2012
Distribution
$
3,434,460
$
40,556
$
469
$
1,735
$
479,509,240
$
16,195,771
$
75,278,664
$
79,071,633
$
106,300,357
$
25,909,972
$
678,683
$
12,012,957
$
16,967
5
5, 13
5
10
10
10
10
0
5/16/2011
$
5
3/29/2012
10
$
$
Proceeds
Contingent Proceeds
62,499,688
292,454,480
Description
Debt Obligation w/ Contingent
294,078,924 Proceeds
Debt Obligation w/ Contingent
284,468,750 Proceeds
$
$
Distribution or Disposition
Description
7/16/2012
8/22/2012
1
Amount
$
8/30/2012
2
Repayment Amount
1/17/2012
3/14/2012
1
Investment After Capital Repayment
Membership Interest
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Membership Interest
10
5
5, 11
5, 11
5, 11
5, 11
5, 11
5, 11
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Contingent Proceeds
8/14/2012
$
90,269,076
$
437,915,724 Membership Interest
9/17/2012
$
8,833,632
$
429,082,092 Membership Interest
5, 11
5, 11
10
10
Page 39 of 43
Preliminary Adjusted
Seller
Footnote
2
Date
10/2/2009
Name of Institution
Blackrock PPIF, L.P.
Commitment
City
Wilmington
Transaction
Type
State
DE
Purchase
Commitment
Amount
Investment Description
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Pricing
Mechanism
Par
Date
3/22/2010 6 $
3
Amount
2,488,875,000
Final Investment
Final Commitment Amount
Date
7/16/2010
7
Amount
Amount
$
1,389,960,000
9
Amount
$
1,053,000,000
Capital Repayment Details
Repayment
Date
10/30/2009 AG GECC PPIF Master Fund, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,271,337,500
7/16/2010
$
1,243,275,000
$
1,117,399,170
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
10,055,653
$
11/5/2012
$
419,026,439
$
11/4/2009
RLJ Western Asset Public/Private Master Fund, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,244,437,500
7/16/2010
$
620,578,258
$
620,578,258
419,026,439 Membership Interest
175,000,000
$
878,000,000
8/14/2012
$
5,539,055
$
872,460,945
8/31/2012
$
16,000,000
$
856,460,945
9/17/2012
$
1,667,352
$
854,793,592
9/28/2012
$
35,000,000
$
819,793,592
10/15/2012
$
25,334,218
$
794,459,374
794,459,374
$
87,099,565
$
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
$
2/14/2012
$
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
$
$
201,075,230
$
-
Proceeds
10
- Contingent Proceeds
$
6,862,425
Description
11/5/2012
Distribution
12/5/2012
Distribution
11/5/2012
Distribution
12/5/2012
Distribution
2/21/2013
Distribution
2/27/2013
Distribution
3/14/2013
Distribution
4/19/2013
Distribution
4/25/2013
Distribution
5/29/2013
Distribution
4/19/2013
Distribution
4/25/2013
Distribution
5/29/2013
Distribution
5, 11
5, 11
$
297,511,708
$
57,378,964
$
8,289,431
$
1,433,088
$
184,431,858
$
20,999,895
$
156,174,219
$
105,620,441
$
42,099,442
$
49,225,244
$
17,118,005
$
1,052,497
$
1,230,643
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
2/14/2012
$
Date
- Membership Interest 10
$
$
Distribution or Disposition
Description
7/31/2012
2/14/2013
1
Amount
$
2/21/2013
2
Repayment Amount
10/15/2012
10/18/2012
1
Investment After Capital Repayment
5, 11
5, 11
10
10
10
10
10
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
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
-
Contingent Proceeds
3/14/2011
$
1,202,957 $
619,375,301 Membership Interest
10
4/14/2011
$
3,521,835 $
615,853,465 Membership Interest
10
8/14/2012
$
104,959,251 $
510,894,215 Membership Interest
10
5, 11
5, 11
5, 11
Page 40 of 43
Preliminary Adjusted
Seller
Footnote
Date
Name of Institution
Commitment
City
Transaction
Type
State
Commitment
Amount
Investment Description
Pricing
Mechanism
Date
3
Amount
Final Investment
Final Commitment Amount
Date
7
Amount
Amount
9
Amount
Capital Repayment Details
Repayment
Date
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
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
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
10
9/28/2012
$
180,999,095 $
257,254,875 Membership Interest
10
10/15/2012
$
134,999,325 $
122,255,550 Membership Interest
10
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
122,255,550
$
-
5/13/2011
$
13,531,530
$
1,227,468,470
7/31/2012
$
618,750,000
$
608,718,470
8/9/2012
$
151,006,173
$
457,712,297
8/14/2012
$
11,008,652
$
446,703,645
8/23/2012
$
160,493,230
$
286,210,415
8/29/2012
$
103,706,836
$
182,503,579
9/17/2012
$
20,637,410
$
161,866,170
$
161,866,170
$
-
Membership Interest
74,499,628
$
400,050,373 Membership Interest
11/15/2012
$
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
30,369,198
$
-
9/17/2012
$
149,000,000
$
800,000,000
11/15/2012
$
119,575,516
$
680,424,484
11/20/2012
$
195,000,000
$
485,424,484
12/14/2012
$
47,755,767
$
437,668,717
1/15/2013
$
62,456,214
$
375,212,503
$
375,212,503
$
-
Distribution
10/19/2012
Distribution
11/2/2012
Distribution
12/21/2012
Distribution
3/25/2013
Distribution
4/16/2013
Distribution
5/16/2013
Distribution
4/16/2013
Distribution
5/16/2013
Distribution
6/3/2013
Distribution
6/14/2013
Distribution
5, 11
$
148,749,256
$
549,997
5, 11
$
6,789,287
5, 11
$
3,718,769
5, 11
$
13,750
$
164,629,827
$
71,462,104
$
38,536,072
$
7,143,340
$
963,411
$
46,575,750
$
54,999,725
10
10
Membership Interest
10
5, 11
5, 11
5, 11
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Contingent Proceeds
10
3/14/2012
$
39,387,753 $
477,017,077 Membership Interest
10
9/17/2012
$
22,111,961 $
454,905,116 Membership Interest
10
10/15/2012
$
32,496,972 $
422,408,144 Membership Interest
10
11/15/2012
$
111,539,536 $
310,868,608 Membership Interest
10
12/14/2012
$
55,540,026 $
255,328,581 Membership Interest
10
1/15/2013
$
14,849,910 $
240,478,671 Membership Interest
10
4/12/2013
$
18,268,328 $
222,210,343 Membership Interest
10
5/14/2013
$
70,605,973 $
151,604,370 Membership Interest
10
5/28/2013
$
119,769,362 $
31,835,008 Membership Interest
10
-
12/21/2012
5, 11
147,464,888
10
516,404,830 Membership Interest
$
Distribution
$
10
39,499,803 $
31 835 008
11/2/2012
5, 11
10
$
$
Distribution
Proceeds
10
7/15/2011
6/3/2013
10/19/2012
10
Contingent Proceeds
$
$
Description
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
9/17/2012
1/24/2013
1
Date
438,253,970 Membership Interest
$
Distribution or Disposition
Description
72,640,245 $
3/25/2013
2
Amount
$
9/21/2012
1
Repayment Amount
9/17/2012
10/19/2012
2
Investment After Capital Repayment
Membership Interest
10
5, 11
5, 11
5, 11
5, 11
Page 41 of 43
Preliminary Adjusted
Seller
Footnote
Date
Name of Institution
Commitment
City
Transaction
Type
State
Investment Description
Commitment
Amount
Pricing
Mechanism
Date
3
Amount
Final Investment
Final Commitment Amount
Date
Amount
7
Amount
9
Amount
Capital Repayment Details
Repayment
Date
6/3/2013
$
Repayment Amount
31,835,008
Investment After Capital Repayment
Amount
$
-
Description
Membership Interest
Distribution or Disposition
Date
Description
6/24/2013
Distribution
6/26/2013
Distribution
5, 11
5, 11
Proceeds
$
27,999,860
$
11,749,941
Page 42 of 43
Preliminary Adjusted
Seller
Footnote
2
Date
Name of Institution
12/18/2009 Oaktree PPIP Fund, L.P.
Commitment
City
Wilmington
Transaction
Type
State
DE
Purchase
Commitment
Amount
Investment Description
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Pricing
Mechanism
Par
Date
3
Amount
3/22/2010 6 $
2,488,875,000
Final Investment
Final Commitment Amount
Date
7/16/2010
7
Amount
Amount
$
9
Amount
2,321,568,200
$
1,111,000,000
Capital Repayment Details
Repayment
Date
30,000,000,000
FINAL COMMITMENT AMOUNT
$
Amount
Description
$
79,000,000
$
3/14/2012
$
78,775,901
$
Debt Obligation w/ Contingent
1,032,000,000 Proceeds
Debt Obligation w/ Contingent
953,224,099 Proceeds
9/17/2012
$
44,224,144
$
Debt Obligation w/ Contingent
908,999,956 Proceeds
10/15/2012
$
64,994,269
$
Debt Obligation w/ Contingent
844,005,687 Proceeds
$
Debt Obligation w/ Contingent
620,925,500 Proceeds
$
223,080,187
12/14/2012
$
111,080,608
$
Debt Obligation w/ Contingent
509,844,892 Proceeds
1/15/2013
$
89,099,906
$
Debt Obligation w/ Contingent
420,744,985 Proceeds
4/12/2013
$
109,610,516
$
Debt Obligation w/ Contingent
311,134,469 Proceeds
5/14/2013
$
Repayment Amount
7/15/2011
11/15/2012
INITIAL COMMITMENT AMOUNT
Investment After Capital Repayment
$
311,134,469
-
Contingent Proceeds
Date
Description
5/28/2013
Distribution
6/3/2013
Distribution
6/14/2013
Distribution
6/24/2013
Distribution
6/26/2013
Distribution
5, 11
5, 11
5, 11
5, 11
5, 11
TOTAL DISTRIBUTIONS 5
21,856,403,574
TOTAL CAPITAL REPAYMENT AMOUNT $
$
Distribution or Disposition
Proceeds
$
444,393
$
1,960,289
$
1,375,007
$
700,004
$
293,751
$
2,555,315,773
18,625,147,938
1/ The equity amount may be incrementally funded. Commitment amount represents Treasury's maximum obligation if the limited partners other than Treasury fund their maximum equity capital obligations.
2/ The loan may be incrementally funded. Commitment amount represents Treasury's maximum obligation if Treasury and the limited partners other than Treasury fund 100% of their maximum equity obligations.
3/ Adjusted to show Treasury's maximum obligations to a fund.
4/ On 1/4/2010, Treasury and the fund manager entered into a Winding-Up and Liquidation Agreement.
5/ Distributions after capital repayments will be considered profit and are paid pro rata (subject to prior distribution of Contingent Proceeds to Treasury) to the fund's partners, including Treasury, in proportion to their membership interests. These figures exclude pro-rata distributions to Treasury of gross investment proceeds (reported on the Dividends & Interest report), which may be made from time to time in accordance with the terms of the fund's Limited Partnership Agreement.
6/ Following termination of the TCW fund, the $3.33 billion of obligations have been reallocated to the remaining eight funds pursuant to consent letters from Treasury dated as of 3/22/2010. $133 million of maximum equity capital obligation and $267 million of maximum debt obligation were reallocated per fund, after adjustment for the $17.6 million and $26.9 million equity capital reallocations from private investors in the TCW fund to the Wellington fund and the AG GECC fund,
respectively. The $356 million of final investment in the TCW fund will remain a part of Treasury's total maximum S-PPIP investment amount.
7/ Amount adjusted to show Treasury's final capital commitment (membership interest) and the maximum amount of Treasury's debt obligation that may be drawn down in accordance with the Loan Agreement.
8/ On 09/26/2011, the General Partner notified Treasury that the Investment Period was terminated in accordance with the Limited Partnership Agreement. As a result, the Final Investment Amount, representing Treasury's debt obligation, has been reduced to the cumulative amount of debt funded.
9/ Cumulative capital drawn at end of the Investment Period.
10/ The Amount is adjusted to reflect pro-rata equity distributions that have been deemed to be capital repayments to Treasury.
11/ Distribution represents a gain on funded capital and is subject to revision pending any additional fundings of the outstanding commitment.
12/ On 08/23/2012, AllianceBernstein agreed to de-obligate its unused debt commitment. The Final Investment Amount represents the cumulative capital drawn as of the de-obligation.
13/ On, 6/5/2013, Invesco Mortgage Recovery Master Fund L.P. made a distribution to Treasury that is the result of adjustments made to positions previously held by the Invesco Legacy Securities Master Fund, L.P. “Partnership”, of which The U.S. Department of the Treasury is a Limited Partner. The adjusted distribution was made 18 months after the Final Distribution on 9/28/2012.
Page 43 of 43
@FedFRASER