Full text of Transactions Report (Troubled Asset Relief Program) : Transactions Report for Period Ending July 6, 2011

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U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Transactions Report - Investment Programs
For Period Ending July 6, 2011
CAPITAL PURCHASE PROGRAM

Seller

Footnote
1b
11, 23 5/26/2010

Name of Institution
Purchase Date
10/28/2008 Bank of America Corporation
10/28/2008 The Bank of New York Mellon Corporation

Purchase Details

City

State

Investment Description

Investment Amount

Pricing
Mechanism

Charlotte
New York

NC
NY

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

15,000,000,000
3,000,000,000

Par
Par

3a 11/24/2009

10/28/2008

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

Washington Federal, Inc.
BB&T Corp.
M&T Bank Corporation (Provident Bancshares
Corp.)
Umpqua Holdings Corp.
Comerica Inc.
Regions Financial Corporation
Capital One Financial Corporation
First Horizon National Corporation
Huntington Bancshares
KeyCorp

Seattle
Winston-Salem

WA
NC

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

200,000,000
3,133,640,000

Par
Par

Baltimore

MD

Preferred Stock w/ Warrants

$

151,500,000

OR
TX
AL
VA
TN
OH
OH

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$
$
$
$
$
$

214,181,000
2,250,000,000
3,500,000,000
3,555,199,000
866,540,000
1,398,071,000
2,500,000,000

Par
Par
Par
Par
Par
Par
Par

12/9/2009
6/17/2009

4

Remaining Capital
Amount

Remaining
Investment
Description

Final
Disposition
Date

Disposition
Investment
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

6/17/2009
6/17/2009
6/17/2009
6/17/2009
12/23/2009

4

$
$
$
$
$

10,000,000,000
25,000,000,000
10,000,000,000
2,000,000,000
25,000,000,000

$
$
$
$
$

0
0
0
0
0

Warrants
Warrants
Warrants
Warrants
Warrants

6/17/2009
3/30/2011

4

$
$

1,576,000,000
3,500,000,000

$
$

0
0

5/27/2009
6/17/2009

4

$
$

200,000,000
3,133,640,000

$
$

11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008

2/17/2010
3/17/2010

5

$
$

214,181,000
2,250,000,000

6/17/2009
12/22/2010
12/22/2010
3/30/2011

4

$
$
$
$

**

4

186,342,969
136,000,000

Warrants

A $

54,621,849

4

7/22/2009
12/10/2009
8/12/2009
7/8/2009
5/20/2010

Warrants
Warrants
Warrants
Warrants
Warrants

R
A
R
R
A

4
5
4

4

Warrants
Warrants

8/26/2009

4

0
0

Warrants
Warrants

$
$

0
0

4

3,555,199,000
866,540,000
1,398,071,000
2,500,000,000

$
$
$
$

0
0
0
0

$
$
$
$
$

1,100,000,000
950,318,243
950,000,000
60,000,000
849,014,998

Warrants

R $

87,000,000

3/9/2010
7/22/2009

Warrants
Warrants

A $
R $

15,623,222
67,010,402

Warrants
Warrants

3/31/2010
5/6/2010

Warrants
Warrants

R $
A $

4,500,000
183,673,472

12/3/2009
3/9/2011
1/19/2011
4/20/2011

Warrants
Warrants
Warrants
Warrants

A
R
R
R

$
$
$
$

148,731,030
79,700,000
49,100,000
70,000,000

Valley National Bancorp

Wayne

NJ

Preferred Stock w/ Warrants

$

300,000,000

Par

5/18/2010

Warrants

A $

5,571,592

44

R $

3,250,000

9

R
A
R
R
R

4

$

75,000,000

$

225,000,000

9/23/2009

4

$

125,000,000

$

100,000,000

12/23/2009

11/14/2008

4

$

100,000,000

$

0

Warrants
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants

4
4
4

11/14/2008

Zions Bancorporation

Salt Lake City

UT

Preferred Stock w/ Warrants

$

1,400,000,000

11/14/2008

Marshall & Ilsley Corporation

Milwaukee

WI

Preferred Stock w/ Warrants

$

1,715,000,000

Par

7/5/2011

44

$

1,715,000,000

$

0

Warrants

7/5/2011

Warrants

U.S. Bancorp
TCF Financial Corporation
First Niagara Financial Group
HF Financial Corp.
Centerstate Banks of Florida Inc.

Minneapolis
Wayzata
Lockport
Sioux Falls
Davenport

MN
MN
NY
SD
FL

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$
$
$
$

6,599,000,000
361,172,000
184,011,000
25,000,000
27,875,000

Par
Par
Par
Par
Par

6/17/2009
4/22/2009
5/27/2009
6/3/2009
9/30/2009

4

$
$
$
$
$

6,599,000,000
361,172,000
184,011,000
25,000,000
27,875,000

$
$
$
$
$

0
0
0
0
0

7/15/2009
12/15/2009
6/24/2009
6/30/2009
10/28/2009

Warrants
Warrants
Warrants
Warrants
Warrants

City National Corporation

Beverly Hills

CA

Preferred Stock w/ Warrants

$

400,000,000

Par

12/30/2009

4

11/21/2008

$

200,000,000

$

4/7/2010

3/3/2010
7/8/2009

4

$
$

200,000,000
41,500,000

$
$

Warrants
Warrants
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
Warrants

3/3/2010

4

$

100,000,000

$

300,000,000

10/13/2010

4

$

100,000,000

$

200,000,000

12/29/2010

4

$200,000,000

$

0

Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants

9

9

Par

11/14/2008
11/14/2008
11/21/2008
11/21/2008
11/21/2008

11/21/2008
11/21/2008

11/21/2008

29 9/24/2010

1b

Final Disposition
Proceeds

A $
R $

6/3/2009

44 5/16/2011

15

Par

Portland
Dallas
Birmingham
McLean
Memphis
Columbus
Cleveland

Capital
Repayment Date

Capital Repayment
Amount (Loss) 6

Final Disposition

Par

11/14/2008
11/14/2008

14

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

First Community Bankshares 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

$
$

$

41,500,000
140,000,000

400,000,000

Par
Par

Par

4
5
4
5

5

200,000,000
0
0

$
$
$
$
$

139,000,000
9,599,964
2,700,000
650,000
212,000

Warrants

R $

18,500,000

6/2/2011

Warrants

A $

20,678,339

N/A

9

Pacific Capital Bancorp

Santa Barbara

CA

Common Stock w/ Warrants

$

195,045,000

Par

11/21/2008
11/21/2008
11/21/2008
11/21/2008
47 6/30/2011

11/21/2008

Heritage Commerce Corp.
Ameris Bancorp
Porter Bancorp Inc.
Banner Corporation

San Jose
Moultrie
Louisville
Walla Walla

CA
GA
KY
WA

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$
$
$

40,000,000
52,000,000
35,000,000
124,000,000

Par
Par
Par
Par

11/21/2008

Cascade Financial Corporation

Everett

WA

Preferred Stock w/ Warrants

$

38,970,000

Par

6/30/2011

47

$

16,250,000

$

0

N/A

N/A

N/A

47

-

11/21/2008
11/21/2008

Columbia Banking System, Inc.
Heritage Financial Corporation

Tacoma
Olympia

WA
WA

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

76,898,000
24,000,000

Par
Par

8/11/2010
12/22/2010

4

$
$

76,898,000
24,000,000

$
$

0
0

Warrants
Warrants

9/1/2010

Warrants

9

R $

4

3,301,647

Page 1 of 13

Seller

Footnote

Purchase Details

Name of Institution

Purchase Date
11/21/2008 First PacTrust Bancorp, Inc.
11/21/2008 Severn Bancorp, Inc.

City

State

Investment Description

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

Investment Amount

Pricing
Mechanism

Capital
Repayment Date

Capital Repayment
Amount (Loss) 6

Remaining Capital
Amount

CA
MD

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

19,300,000
23,393,000

Par
Par

12/15/2010

4

$

19,300,000

$

1/13/2010

4

$

50,000,000

$

6/16/2010

Chula Vista
Annapolis

4

$

104,000,000

$

0

Final Disposition

Remaining
Investment
Description

Final
Disposition
Date

Warrants

1/5/2011

Warrants

R $

1,003,227

Disposition
Investment
Description

11/21/2008

Associated Banc-Corp

Green Bay

WI

Preferred Stock w/ Warrants

$

525,000,000

Par

4/6/2011

4

$

262,500,000

$

11/21/2008
11/21/2008
11/21/2008
11/21/2008

Trustmark Corporation
First Community Corporation
Taylor Capital Group
Nara Bancorp, Inc.

Jackson
Lexington
Rosemont
Los Angeles

MS
SC
IL
CA

$
$
$
$

215,000,000
11,350,000
104,823,000
67,000,000

Par
Par
Par
Par

12/9/2009

4

$

215,000,000

$

0

12/5/2008

Midwest Banc Holdings, Inc.

Melrose Park

IL

$

89,388,000

MB Financial Inc.
First Midwest Bancorp, Inc.
United Community Banks, Inc.
WesBanco, Inc.
Encore Bancshares Inc.
Manhattan Bancorp
Iberiabank Corporation

Chicago
Itasca
Blairsville
Wheeling
Houston
El Segundo
Lafayette

IL
IL
GA
WV
TX
CA
LA

$
$
$
$
$
$
$

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

9/9/2009

4

$

75,000,000

$

0

Warrants

12/23/2009

Warrants

9/16/2009
3/31/2009

4

$
$

1,700,000
90,000,000

$
$

0
0

10/14/2009
5/20/2009

Warrants
Warrants

12/5/2008

Eagle Bancorp, Inc.

Bethesda

MD

Preferred Stock w/ Warrants

$

38,235,000

Par

12/23/2009

5

$

15,000,000

$

23,235,000

Sandy Spring Bancorp, Inc.

Olney

MD

Preferred Stock w/ Warrants

$

83,094,000

Par

7/21/2010

4

12/5/2008

$

41,547,000

$

41,547,000

2/23/2011

Warrants

12/15/2010

4

$

41,547,000

$

0

Warrants
Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants

11/21/2008

14, 20

Final Disposition
Proceeds

Par

12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Mandatorily Convertible Preferred Stock w/
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

Preferred Stock w/
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants

15

Boston Private Financial Holdings, Inc.

Boston

MA

Preferred Stock w/ Warrants

$

154,000,000

Par

5

104,000,000
0
262,500,000

2/1/2011

Warrants

A $

6,352,500

12/30/2009

Warrants

R $

10,000,000

R $

950,000

R $
R $

63,364
1,200,000

R $

4,450,000

9

12/5/2008
12/5/2008

Fernandina Beach
Pasadena

FL
CA

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

9,950,000
306,546,000

Par
Par

12/29/2010

4

$

306,546,000

$

0

Warrants

1/26/2011

Warrants

9

R $

14,500,000

12/5/2008

South Financial Group, Inc.

Greenville

SC

Preferred Stock w/ Warrants

$

347,000,000

Par

9/30/2010

26

$

130,179,219

$

0

Warrants

9/30/2010

Warrants

26

R $

400,000

12/5/2008
12/5/2008
12/5/2008

Great Southern Bancorp
Cathay General Bancorp
Southern Community Financial Corp.

Springfield
Los Angeles
Winston-Salem

MO
CA
NC

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$
$

58,000,000
258,000,000
42,750,000

Par
Par
Par
8/26/2009

4

$

97,500,000

$

Warrants

9

R $

1,307,000

4

$

32,500,000 $

0

Preferred Stock w/
Warrants
Warrants

10/28/2009

9/2/2009

26 9/30/2010

Coastal Banking Company, Inc.
East West Bancorp

3/31/2009

4

$

28,000,000

$

0

Warrants

9/30/2010

32

$

12,119,637

$

0

Warrants

9/30/2010

Warrants

32

R $

40,000

7/15/2009

4

$

7,000,000

$

0

Warrants

9/2/2009

Warrants

R $

225,000

3/31/2009
1/28/2011

4

$
$

100,000,000
41,279,000

$
$

0
0

Warrants
N/A

5/8/2009
N/A

Warrants
N/A

R $
-

1,200,000
N/A

6/16/2010

Warrants

R $

6,820,000

12/5/2008

17, 25
12

32 9/30/2010

24

35

43 5/13/2011

CVB Financial Corp

Ontario

CA

Preferred Stock w/ Warrants

$

130,000,000

Par

12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008

First Defiance Financial Corp.
First Financial Holdings Inc.
Superior Bancorp Inc.
Southwest Bancorp, Inc.
Popular, Inc.
Blue Valley Ban Corp
Central Federal Corporation
Bank of Marin Bancorp
BNC Bancorp
Central Bancorp, Inc.
Southern Missouri Bancorp, Inc.
State Bancorp, Inc.

Defiance
Charleston
Birmingham
Stillwater
San Juan
Overland Park
Fairlawn
Novato
Thomasville
Somerville
Poplar Bluff
Jericho

OH
SC
AL
OK
PR
KS
OH
CA
NC
MA
MO
NY

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Trust Preferred Securities w/ Warrants
Preferred Stock w/ Warrants
Trust Preferred Securities w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$
$
$
$
$
$
$
$
$
$
$

37,000,000
65,000,000
69,000,000
70,000,000
935,000,000
21,750,000
7,225,000
28,000,000
31,260,000
10,000,000
9,550,000
36,842,000

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

12/5/2008

TIB Financial Corp

Naples

FL

Preferred Stock w/ Warrants

$

37,000,000

Par

12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008

Unity Bancorp, Inc.
Old Line Bancshares, Inc.
FPB Bancorp, Inc.
Sterling Financial Corporation
Oak Valley Bancorp
Old National Bancorp
Capital Bank Corporation
Pacific International Bancorp
SVB Financial Group
LNB Bancorp Inc.
M&T Bank Corporation (Wilmington Trust
Corporation)

Clinton
Bowie
Port St. Lucie
Spokane
Oakdale
Evansville
Raleigh
Seattle
Santa Clara
Lorain

NJ
MD
FL
WA
CA
IN
NC
WA
CA
OH

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Common Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$
$
$
$
$
$
$
$
$

20,649,000
7,000,000
5,800,000
303,000,000
13,500,000
100,000,000
41,279,000
6,500,000
235,000,000
25,223,000

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

Wilmington

DE

Preferred Stock w/ Warrants

$

330,000,000

Par

12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008

Susquehanna Bancshares, Inc
Signature Bank
HopFed Bancorp
Citizens Republic Bancorp, Inc.
Indiana Community Bancorp
Bank of the Ozarks, Inc.
Center Financial Corporation
NewBridge Bancorp
Sterling Bancshares, Inc.

Lititz
New York
Hopkinsville
Flint
Columbus
Little Rock
Los Angeles
Greensboro
Houston

PA
NY
KY
MI
IN
AR
CA
NC
TX

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$
$
$
$
$
$
$
$

300,000,000
120,000,000
18,400,000
300,000,000
21,500,000
75,000,000
55,000,000
52,372,000
125,198,000

Par
Par
Par
Par
Par
Par
Par
Par
Par

35

32,500,000

12/23/2009

5

$

235,000,000

$

0

Warrants

5/13/2011

43

$

330,000,000

$

0

Warrants

4/21/2010

4

$

200,000,000

$

12/22/2010
3/31/2009

4

$
$

100,000,000
120,000,000

$
$

11/4/2009

4

$

75,000,000

5/5/2009

4

$

125,198,000

35

4

9

1/19/2011

Warrants

R $

5,269,179

0
0

Preferred Stock w/
Warrants
Warrants
Warrants

3/10/2010

Warrants

A $

11,320,751

$

0

Warrants

11/24/2009

Warrants

R $

2,650,000

$

0

Warrants

6/9/2010

Warrants

A $

3,007,891

100,000,000

Page 2 of 13

Seller

Footnote

Purchase Date
12/12/2008
12/12/2008
12/12/2008
12/12/2008

Purchase Details

Name of Institution

City

State

Investment Description

Investment Amount

Pricing
Mechanism

Capital
Repayment Date

Disposition
Investment
Description

$

0

Warrants

9/8/2010

Warrants

4/7/2010
3/16/2011

4

$
$

10,000,000
150,000,000

$
$

0
0

Warrants
Warrants

4/7/2010
4/13/2011

Warrants
Warrants

11/18/2009

4

$

15,000,000

$

0

Warrants

12/16/2009

11/24/2009

4

$

22,000,000

$

0

Warrants

$

300,000,000

$

0

Warrants

4

$

6,250,000

$

5/27/2009

4

$

40,000,000

$

0

Warrants

Par

9/29/2010

4

$

18,000,000

$

0

Par
Par
Par
Par

12/22/2010
10/28/2009
12/23/2009
4/13/2011

4

$
$
$
$

250,000,000
70,000,000
14,700,000
7,500,000

$
$
$
$

$

59,000,000

Par

11/18/2009

5

$

59,000,000

$

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$
$
$
$
$

14,448,000
30,000,000
30,255,000
9,090,000
26,918,000
81,698,000

Par
Par
Par
Par
Par
Par

8/5/2009

4

$

30,000,000

5/13/2009

4

$

KY

Preferred Stock w/ Warrants

$

8,779,000

Par

2/16/2011

4

Wabash
Dallas
Waldorf
Boston
Houston
Los Angeles
Chicago
Santa Rosa
Peterborough
Bridgeview
Wichita
Dundalk
Los Angeles
Louisville
Cincinnati

IN
TX
MD
MA
TX
CA
IL
CA
NH
IL
KS
MD
CA
KY
OH

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

7,289,000
87,631,000
15,540,000
12,063,000
26,038,000
16,200,000
35,500,000
43,000,000
1,834,000
38,000,000
36,282,000
6,000,000
10,000,000
9,294,000
80,000,000

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

2/24/2010

San Jose

CA

Preferred Stock w/ Warrants

$

23,864,000

Par

9

Final Disposition
Proceeds

Warrants

250,000,000
70,000,000
14,700,000
30,000,000

15

DE
VA
CA
VA

12/12/2008

Independent Bank Corporation

Ionia

MI

Pinnacle Financial Partners, Inc.
First Litchfield Financial Corporation
National Penn Bancshares, Inc.
Northeast Bancorp
Citizens South Banking Corporation
Virginia Commerce Bancorp
Fidelity Bancorp, Inc.
LSB Corporation
Intermountain Community Bancorp
Community West Bancshares
Synovus Financial Corp.
Tennessee Commerce Bancorp, Inc.
Community Bankers Trust Corporation
BancTrust Financial Group, Inc.
Enterprise Financial Services Corp.
Mid Penn Bancorp, Inc.
Summit State Bank
VIST Financial Corp.
Wainwright Bank & Trust Company

Nashville
Litchfield
Boyertown
Lewiston
Gastonia
Arlington
Pittsburgh
North Andover
Sandpoint
Goleta
Columbus
Franklin
Glen Allen
Mobile
St. Louis
Millersburg
Santa Rosa
Wyomissing
Boston

TN
CT
PA
ME
NC
VA
PA
MA
ID
CA
GA
TN
VA
AL
MO
PA
CA
PA
MA

12/19/2008

Whitney Holding Corporation

New Orleans

LA

The Connecticut Bank and Trust Company
CoBiz Financial Inc.
Santa Lucia Bancorp
Seacoast Banking Corporation of Florida

Hartford
Denver
Atascadero
Stuart

Horizon Bancorp

R $

4,753,985

R $
R $

1,488,046
1,000,000

Warrants

R $

560,000

12/16/2009

Warrants

R $

568,700

6/3/2011

Warrants

R $

6,900,000

6/24/2009

Warrants

R $

1,040,000

Warrants
Warrants
Warrants
Warrants

2/8/2011
12/30/2009
2/10/2010

Warrants
Warrants
Warrants

9

A $
R $
R $

25,964,061
900,000
260,000

0

Warrants

12/23/2009

Warrants

9

R $

450,000

$

0

Warrants

9/30/2009

Warrants

R $

1,400,000

26,918,000

$

0

Warrants

6/17/2009

Warrants

R $

900,000

$

2,212,308

$

5

$

80,000,000

$

Warrants

6/2/2010

Warrants

A $

3,116,284

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

$

$
$
$
$

45,220,000
76,458,000
62,158,000
16,019,000

Par
Par
Par
Par

$

74,426,000

Par

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

95,000,000
10,000,000
150,000,000
4,227,000
20,500,000
71,000,000
7,000,000
15,000,000
27,000,000
15,600,000
967,870,000
30,000,000
17,680,000
50,000,000
35,000,000
10,000,000
8,500,000
25,000,000
22,000,000

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

Preferred Stock w/ Warrants

$

300,000,000

Par

CT
CO
CA
FL

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$
$
$

5,448,000
64,450,000
4,000,000
50,000,000

Par
Par
Par
Par

Michigan City

IN

Preferred Stock w/ Warrants

$

25,000,000

Par

11/10/2010

Fidelity Southern Corporation
Community Financial Corporation
Berkshire Hills Bancorp, Inc.
First California Financial Group, Inc
AmeriServ Financial, Inc

Atlanta
Staunton
Pittsfield
Westlake Village
Johnstown

GA
VA
MA
CA
PA

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$
$
$
$

48,200,000
12,643,000
40,000,000
25,000,000
21,000,000

Par
Par
Par
Par
Par

12/19/2008

Security Federal Corporation

Aiken

SC

Preferred Stock w/ Warrants

$

18,000,000

12/19/2008
12/19/2008
12/19/2008
12/19/2008

Wintrust Financial Corporation
Flushing Financial Corporation
Monarch Financial Holdings, Inc.
StellarOne Corporation
Union First Market Bankshares Corporation
(Union Bankshares Corporation)
Tidelands Bancshares, Inc
Bancorp Rhode Island, Inc.
Hawthorn Bancshares, Inc.
The Elmira Savings Bank, FSB
Alliance Financial Corporation
Heartland Financial USA, Inc.

Lake Forest
Lake Success
Chesapeake
Charlottesville

IL
NY
VA
VA

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$
$
$

Bowling Green

VA

Preferred Stock w/ Warrants

12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008

Mt. Pleasant
Providence
Lee's Summit
Elmira
Syracuse
Dubuque

SC
RI
MO
NY
NY
IA

12/19/2008
2
2
2
2, 3
2
2
2
2
2
2
2
2
2
2

Final
Disposition
Date

45,220,000

12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008

18

Remaining
Investment
Description

$

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Mandatorily Convertible Preferred Stock w/
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

12/19/2008

30 9/29/2010

Remaining Capital
Amount

5

Wilmington
Portsmouth
Los Angeles
Roanoke

12/19/2008
12/19/2008
12/19/2008
12/19/2008

45 6/3/2011

Capital Repayment
Amount (Loss) 6

Final Disposition

3/10/2010

The Bancorp, Inc.
TowneBank
Wilshire Bancorp, Inc.
Valley Financial Corporation

12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008

22

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

Citizens First Corporation

Bowling Green

12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/23/2008

FFW Corporation
Plains Capital Corporation
Tri-County Financial Corporation
OneUnited Bank
Patriot Bancshares, Inc.
Pacific City Financial Corporation
Marquette National Corporation
Exchange Bank
Monadnock Bancorp, Inc.
Bridgeview Bancorp, Inc.
Fidelity Financial Corporation
Patapsco Bancorp, Inc.
NCAL Bancorp
FCB Bancorp, Inc.
First Financial Bancorp

12/23/2008

Bridge Capital Holdings

12/19/2008

4

6/3/2011

5
5
4

18,750,000

0
0
0
22,500,000

6,566,692

0
8,864,000
0

9

45

Preferred Stock w/
Warrants

9

Preferred Stock w/
Warrants

9

Warrants

Page 3 of 13

Seller

Footnote

Purchase Details

Name of Institution

Purchase Date
12/23/2008 International Bancshares Corporation
12/23/2008 First Sound Bank

City

State

Investment Description

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

Investment Amount

Pricing
Mechanism

Laredo
Seattle

TX
WA

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

216,000,000
7,400,000

Capital
Repayment Date

Capital Repayment
Amount (Loss) 6

Remaining Capital
Amount

Remaining
Investment
Description

Final Disposition
Final
Disposition
Date

Disposition
Investment
Description

15

Final Disposition
Proceeds

Par
Par

Buffalo

NY

Preferred Stock w/ Warrants

$

600,000,000

Par

12/23/2008
12/23/2008
12/23/2008
12/23/2008

Emclaire Financial Corp.
Park National Corporation
Green Bankshares, Inc.
Cecil Bancorp, Inc.

Emlenton
Newark
Greeneville
Elkton

PA
OH
TN
MD

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$
$
$

7,500,000
100,000,000
72,278,000
11,560,000

4

$

370,000,000

$

230,000,000

Preferred Stock w/
Warrants

4

$

12,505,000

$

25,010,000

Preferred Stock w/
Warrants

3/30/2011

M&T Bank Corporation

5/18/2011

2/23/2011

12/23/2008

4

$

25,010,000

$

0

Warrants

Par
Par
Par
Par

12/23/2008

Financial Institutions, Inc.

Warsaw

NY

Preferred Stock w/ Warrants

$

37,515,000

Par

5/11/2011

Warrants

R $

2,079,963

9/8/2010

Warrants

R $

10,800,000

-

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

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

12/23/2008
12/23/2008
12/23/2008

MutualFirst Financial, Inc.
BCSB Bancorp, Inc.
HMN Financial, Inc.

Muncie
Baltimore
Rochester

IN
MD
MN

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$
$

32,382,000
10,800,000
26,000,000

Par
Par
Par

1/26/2011

4

$

10,800,000

$

0

Warrants

12/23/2008

First Community Bank Corporation of America

Pinellas Park

FL

Preferred Stock w/ Warrants

$

10,685,000

Par

5/31/2011

39

$

7,754,267

$

0

N/A

N/A

N/A

12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008

Sterling Bancorp
Intervest Bancshares Corporation
Peoples Bancorp of North Carolina, Inc.
Parkvale Financial Corporation
Timberland Bancorp, Inc.
1st Constitution Bancorp
Central Jersey Bancorp
Western Illinois Bancshares Inc.
Saigon National Bank
Capital Pacific Bancorp
Uwharrie Capital Corp

New York
New York
Newton
Monroeville
Hoquiam
Cranbury
Oakhurst
Monmouth
Westminster
Portland
Albemarle

NY
NY
NC
PA
WA
NJ
NJ
IL
CA
OR
NC

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$
$
$
$
$
$
$
$
$
$
$

42,000,000
25,000,000
25,054,000
31,762,000
16,641,000
12,000,000
11,300,000
6,855,000
1,549,000
4,000,000
10,000,000

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

4/27/2011

4

$

42,000,000

$

0

Warrants

5/18/2011

Warrants

R $

945,775

10/27/2010
11/24/2010

4

$
$

12,000,000
11,300,000

$
$

0
0

Warrants
Warrants

12/1/2010

Warrants

R $

319,659

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

11/24/2010

4

$

5,830,000

$

0

Preferred Stock 2

11/24/2010

Preferred Stock

2, 7

R $

292,000

12/23/2008

Magna Bank

Memphis

TN

Preferred Stock w/ Exercised Warrants

$

13,795,000

Par

11/24/2009
6/8/2011

4

2

$
$

3,455,000
3,455,000

$
$

2
2
2
2
2
2
2

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

12/30/2010

4

$

4,700,000

$

0

Preferred Stock 2

12/30/2010

Preferred Stock

2, 7

R $

235,000

3/30/2011
2/10/2010
2/2/2011

4

$
$
$

1,350,000,000
7,579,200,000
3,408,000,000

$
$
$

0
0
0

Warrants
Warrants
Warrants

4/29/2010
3/16/2011

Warrants
Warrants

A $
R $

324,195,686
280,025,936

12/31/2008

Hampton Roads Bankshares, Inc.

Norfolk

VA

Common Stock w/ Warrants

$

80,347,000

Par

12/31/2008
12/31/2008
12/31/2008
1/9/2009
1/9/2009
1/9/2009

CIT Group Inc.
West Bancorporation, Inc.
First Banks, Inc.
Bank of America Corporation
FirstMerit Corporation
Farmers Capital Bank Corporation

New York
West Des Moines
Clayton
Charlotte
Akron
Frankfort

NY
IA
MO
NC
OH
KY

Contingent Value Rights
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$
$
$
$
$

2,330,000,000
36,000,000
295,400,000
10,000,000,000
125,000,000
30,000,000

Par
Par
Par
Par
Par
Par

$
$

0
36,000,000

$
$

0
0

N/A
Warrants

N/A

N/A

$
$

10,000,000,000
125,000,000

$
$

0
0

Warrants
Warrants

3/3/2010
5/27/2009

Warrants
Warrants

30 9/3/2010

393/11/2011

2
2
2
2
3, 30 8/20/2010
2
2
2
2
2
2
2

31 9/30/2010
16

4

4

4
4

10,340,000
6,885,000

Peapack-Gladstone Financial Corporation

Gladstone

1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
37, 46 6/17/2011

Commerce National Bank
The First Bancorp, Inc.
Sun Bancorp, Inc.
Crescent Financial Corporation
American Express Company

Newport Beach
Damariscotta
Vineland
Cary
New York

1/9/2009

Central Pacific Financial Corp.

Honolulu

1/9/2009
1/9/2009
1/9/2009

Centrue Financial Corporation
Eastern Virginia Bankshares, Inc.
Colony Bankcorp, Inc.

St. Louis
Tappahannock
Fitzgerald

NJ

Preferred Stock w/ Warrants

$

28,685,000

2/8/2010
6/29/2011

16

12/9/2009
4/22/2009

4

4

$

7,172,000

$

21,513,000

3/2/2011

1/9/2009

N/A

Preferred Stock 2
Preferred Stock 2

1/6/2010

2
1a, 1b

-

4

$

7,172,000

$

14,341,000

10/7/2009

4

$

5,000,000

$

0

Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants

4

4

Par

N/A

1b

A $
R $

124,228,646
5,025,000

CA
ME
NJ
NC
NY

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$
$
$
$

5,000,000
25,000,000
89,310,000
24,900,000
3,388,890,000

Par
Par
Par
Par
Par

4/8/2009

4

$

89,310,000

$

0

Warrants

5/27/2009

Warrants

R $

2,100,000

6/17/2009

4

$

3,388,890,000

$

0

Warrants

7/29/2009

Warrants

R $

340,000,000

HI

Common Stock w/ Warrants

$

135,000,000

Par

6/17/2011

46

$

35,883,281

$

MO
VA
GA

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$
$

32,668,000
24,000,000
28,000,000

Par
Par
Par

99,116,719

Warrants

Page 4 of 13

Seller

Footnote

Purchase Date
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009

Purchase Details

Name of Institution

City

State

2
2
2
2
2
3
2
2
2
2
2
2, 49
2
2
2
2

28 7/20/2010

3, 30 8/27/2010,
48 6/30/2011

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
Conway
Oak Harbor
Newport
Bar Harbor
Bernardsville
Columbia
Indiana
Engelhard

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
AR
WA
NH
ME
NJ
SC
PA
NC

1/16/2009

First BanCorp

San Juan

PR

1/16/2009
1/16/2009

33

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
Home Bancshares, Inc.
Washington Banking Company
New Hampshire Thrift Bancshares, Inc.
Bar Harbor Bankshares
Somerset Hills Bancorp
SCBT Financial Corporation
S&T Bancorp
ECB Bancorp, Inc.

Texas Capital Bancshares, Inc.
Yadkin Valley Financial Corporation

Dallas
Elkin

1/16/2009

Carver Bancorp, Inc

1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009

Investment Description

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

Investment Amount

Pricing
Mechanism

Capital
Repayment Date
4

Capital Repayment
Amount (Loss) 6

Remaining Capital
Amount

Final Disposition

Remaining
Investment
Description

Final
Disposition
Date
5/27/2009
N/A

Warrants
N/A

Disposition
Investment
Description

$
$
$

78,158,000
38,000,000
13,400,000

$
$
$

0
0
0

Warrants
N/A
Warrants

4

$

100,000,000

$

0

4

$

25,000,000

$

0

Warrants

12/29/2010

4

$

2,000,000

$

0

Preferred Stock 2

12/29/2010

Preferred Stock

7/6/2011

49

$

24,000,000

$

0

Preferred Stock 2

7/6/2011

5/19/2010

4

$

3,981,000

$

0

Preferred Stock 2

7/6/2011
1/12/2011

4

$
$

50,000,000
26,380,000

$
$

0
0

2/24/2010
5/20/2009
5/20/2009

5

$
$
$

18,751,000
7,414,000
64,779,000

$
$
$

Par
Par

5/13/2009

4

$

75,000,000

18,980,000

Par

8/27/2010

4

$

$
$
$
$
$
$
$
$
$
$
$
$

26,440,000
57,000,000
45,000,000
20,600,000
73,000,000
32,538,000
38,263,000
2,550,000
11,730,000
15,000,000
10,000,000
4,120,000

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

8/4/2010

4

12/30/2009

Final Disposition
Proceeds

Warrants

4/15/2009

15

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

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
50,000,000
26,380,000
10,000,000
18,751,000
7,414,000
64,779,000
108,676,000
17,949,000

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

$

424,174,000

$
$

75,000,000
36,000,000

New York

NY

Preferred Stock

$

Citizens & Northern Corporation
MainSource Financial Group, Inc.
MetroCorp Bancshares, Inc.
United Bancorp, Inc.
Old Second Bancorp, Inc.
Pulaski Financial Corp
OceanFirst Financial Corp.
Community 1st Bank
TCB Holding Company, Texas Community Bank
Centra Financial Holdings, Inc.
First Bankers Trustshares, Inc.
Pacific Coast National Bancorp

Wellsboro
Greensburg
Houston
Tecumseh
Aurora
Creve Coeur
Toms River
Roseville
The Woodlands
Morgantown
Quincy
San Clemente

PA
IN
TX
MI
IL
MO
NJ
CA
TX
WV
IL
CA

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

R $

2,200,000
N/A

2, 7

R $

100,000

Preferred Stock

2, 7

R $

1,200,000

5/19/2010

Preferred Stock

2, 7

R $

199,000

Warrants
Warrants

3/2/2011

Warrants

9

R $

1,625,000

0
0
0

Warrants
Warrants
Warrants

7/28/2010
6/24/2009
6/24/2009

Warrants
Warrants
Warrants

9

R $
R $
R $

250,000
275,000
1,400,000

$

0

Warrants

3/11/2010

Warrants

A $

6,709,061

18,980,000

$

0

N/A

N/A

N/A

$

26,440,000

$

0

Warrants

9/1/2010

Warrants

5

$

38,263,000

$

0

Warrants

2/3/2010

Warrants

3/31/2009

4

$

15,000,000

$

0

Preferred Stock 2

4/15/2009

Preferred Stock

2/11/2010

19

$

$

0

N/A

N/A

N/A

9/29/2010

4

$

1,747,000

$

0

N/A

N/A

N/A

12/15/2010

4

$

3,000,000

$

2,658,000

Preferred Stock 2

8/12/2009
6/29/2011

4

$
$

12,500,000
37,500,000

$
$

37,500,000
0

Preferred Stock 2
Preferred Stock 2

6/29/2011

Preferred Stock

2, 7

R $

2,500,000

5/27/2009

4

$

12,000,000

$

Preferred Stock 2

5/27/2009

Preferred Stock

2, 7

R $

600,000

Par

TX
NC

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Mandatorily Convertible Preferred Stock w/
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

2
2
2
2
2, 19
3, 30 9/29/2010
2
2
2
2
2
2
2
2

1/16/2009

Community Bank of the Bay

Oakland

CA

Preferred Stock

$

1,747,000

Par

1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009

Redwood Capital Bancorp
Syringa Bancorp
Idaho Bancorp
Puget Sound Bank
United Financial Banking Companies, Inc.
Dickinson Financial Corporation II
The Baraboo Bancorporation
Bank of Commerce

Eureka
Boise
Boise
Bellevue
Vienna
Kansas City
Baraboo
Charlotte

CA
ID
ID
WA
VA
MO
WI
NC

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$
$
$
$
$
$
$
$

3,800,000
8,000,000
6,900,000
4,500,000
5,658,000
146,053,000
20,749,000
3,000,000

Par
Par
Par
Par
Par
Par
Par
Par

2

1/16/2009

State Bankshares, Inc.

Fargo

ND

$

50,000,000

Par

2
2

1/16/2009
1/16/2009

BNCCORP, Inc.
First Manitowoc Bancorp, Inc.

Bismarck
Manitowoc

ND
WI

$
$

20,093,000
12,000,000

Par
Par

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

4/22/2009
3/4/2011
10/21/2009

33

9/9/2009

4

4

4
4

0

0

-

N/A

R $

400,000

9

R $

430,797

2, 7

R $

750,000
N/A

-

N/A

Page 5 of 13

Seller

Footnote
3, 30 8/6/2010
2
2, 36

2
2, 13 12/4/2009

Purchase Date

Purchase Details

Name of Institution

City

State

Investment Description

Investment Amount

Pricing
Mechanism

1/16/2009

Southern Bancorp, Inc.

Arkadelphia

AR

Preferred Stock

$

11,000,000

Par

1/16/2009
1/16/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009

Morrill Bancshares, Inc.
Treaty Oak Bancorp, Inc.
1st Source Corporation
Princeton National Bancorp, Inc.
AB&T Financial Corporation
First Citizens Banc Corp
WSFS Financial Corporation
Commonwealth Business Bank
Three Shores Bancorporation, Inc. (Seaside
National Bank & Trust)

Merriam
Austin
South Bend
Princeton
Gastonia
Sandusky
Wilmington
Los Angeles

KS
TX
IN
IL
NC
OH
DE
CA

Preferred Stock w/ Exercised Warrants
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants

$
$
$
$
$
$
$
$

13,000,000
3,268,000
111,000,000
25,083,000
3,500,000
23,184,000
52,625,000
7,701,000

Par
Par
Par
Par
Par
Par
Par
Par

Orlando

FL

Preferred Stock w/ Exercised Warrants

$

5,677,000

Capital
Repayment Date

Capital Repayment
Amount (Loss) 6

Remaining Capital
Amount

Final Disposition

Remaining
Investment
Description

Final
Disposition
Date

Disposition
Investment
Description

8/6/2010

4

$

11,000,000

$

0

N/A

N/A

36

$
$

500,000
111,000,000

$
$

0
0

Warrants
Warrants

3/9/2011

Warrants

4/22/2009

4

$

4,900,000

$

0

Preferred Stock 2

4/22/2009

Preferred Stock

12/23/2009

4

$

10,189,000

$

0

Preferred Stock 2

12/23/2009

12/8/2010

4

$

3,300,000

$

0

Preferred Stock 2

12/16/2009
6/16/2010

4

$
$

1,000,000
2,240,000

$
$

2,240,000
0

Preferred Stock 2
Preferred Stock 2

2/2/2011

4

$

21,000,000

$

18,000,000

5

$

22,000,000

$

7/6/2011

4

$

1,500,000

$

6/16/2010

4

$

10,900,000

$

0

7/6/2011
4/21/2010

4

$
$

5,800,000
4,000,000

$
$

0
0

N/A

Preferred Stock w/
Warrants

12/23/2009

Final Disposition
Proceeds

-

N/A

2/15/2011
12/29/2010

15

Par

1/23/2009

CA

Preferred Stock w/ Exercised Warrants

$

4,656,000

CA
CA
FL
IL
TN
VA
CA
WA
MO
AR
MN
MS
IL

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$
$
$
$
$
$
$
$
$
$
$
$
$

1,968,000
4,900,000
6,514,000
10,189,000
6,216,000
8,752,000
3,300,000
6,800,000
1,037,000
57,500,000
10,650,000
15,500,000
5,000,000

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

1/23/2009

FPB Financial Corp.

Hammond

LA

Preferred Stock w/ Exercised Warrants

$

3,240,000

Par

1/23/2009

Stonebridge Financial Corp.

West Chester

PA

Preferred Stock w/ Exercised Warrants

$

10,973,000

Peoples Bancorp Inc.

Marietta

OH

Preferred Stock w/ Warrants

$

39,000,000

Par

1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009

Anchor BanCorp Wisconsin Inc.
Parke Bancorp, Inc.
Central Virginia Bankshares, Inc.
Flagstar Bancorp, Inc.
Middleburg Financial Corporation
Peninsula Bank Holding Co.
PrivateBancorp, Inc.
Central Valley Community Bancorp
Plumas Bancorp
Stewardship Financial Corporation
Oak Ridge Financial Services, Inc.
First United Corporation
Community Partners Bancorp
Guaranty Federal Bancshares, Inc.
Annapolis Bancorp, Inc.
DNB Financial Corporation
Firstbank Corporation
Valley Commerce Bancorp
Greer Bancshares Incorporated
Ojai Community Bank
Adbanc, Inc
Beach Business Bank
Legacy Bancorp, Inc.
First Southern Bancorp, Inc.
Country Bank Shares, Inc.
Katahdin Bankshares Corp.
Rogers Bancshares, Inc.
UBT Bancshares, Inc.
Bankers' Bank of the West Bancorp, Inc.
W.T.B. Financial Corporation
AMB Financial Corp.
Goldwater Bank, N.A.
Equity Bancshares, Inc.
WashingtonFirst Bankshares, Inc. (WashingtonFirst
Bank)
Central Bancshares, Inc.
Hilltop Community Bancorp, Inc.
Northway Financial, Inc.
Monument Bank
Metro City Bank

Madison
Sewell
Powhatan
Troy
Middleburg
Palo Alto
Chicago
Fresno
Quincy
Midland Park
Oak Ridge
Oakland
Middletown
Springfield
Annapolis
Downingtown
Alma
Visalia
Greer
Ojai
Ogallala
Manhattan Beach
Milwaukee
Boca Raton
Milford
Houlton
Little Rock
Marysville
Denver
Spokane
Munster
Scottsdale
Wichita

WI
NJ
VA
MI
VA
CA
IL
CA
CA
NJ
NC
MD
NJ
MO
MD
PA
MI
CA
SC
CA
NE
CA
WI
FL
NE
ME
AR
KS
CO
WA
IN
AZ
KS

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

110,000,000
16,288,000
11,385,000
266,657,000
22,000,000
6,000,000
243,815,000
7,000,000
11,949,000
10,000,000
7,700,000
30,000,000
9,000,000
17,000,000
8,152,000
11,750,000
33,000,000
7,700,000
9,993,000
2,080,000
12,720,000
6,000,000
5,498,000
10,900,000
7,525,000
10,449,000
25,000,000
8,950,000
12,639,000
110,000,000
3,674,000
2,568,000
8,750,000

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

Reston

VA

Preferred Stock w/ Exercised Warrants

$

6,633,000

TX
NJ
NH
MD
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

$
$
$
$
$

5,800,000
4,000,000
10,000,000
4,734,000
7,700,000

Par
Par
Par
Par
Par

3,750,000

2, 7

R $

245,000

Preferred Stock

2, 7

R $

509,000

12/8/2010

Preferred Stock

2, 7

R $

165,000

6/16/2010

Preferred Stock

2, 7

R $

162,000

Preferred Stock 2

6/16/2010

Preferred Stock

2, 7

R $

545,000

Preferred Stock 2
Preferred Stock 2

7/6/2011
4/21/2010

Preferred Stock
Preferred Stock

2, 7

R $
R $

290,000
200,000

Par

Houston
Summit
Berlin
Bethesda
Doraville

R $

Par

1/30/2009

4

Par

Fresno First Bank
First ULB Corp.
Alarion Financial Services, Inc.
Midland States Bancorp, Inc.
Moscow Bancshares, Inc.
Farmers Bank
California Oaks State Bank
Pierce County Bancorp
Calvert Financial Corporation
Liberty Bancshares, Inc.
Crosstown Holding Company
BankFirst Capital Corporation
Southern Illinois Bancorp, Inc.

Rancho Santa
Margarita
Fresno
Oakland
Ocala
Effingham
Moscow
Windsor
Thousand Oaks
Tacoma
Ashland
Jonesboro
Blaine
Macon
Carmi

2

1/23/2009

CalWest Bancorp

2
2
2
2
2
2
2
2, 25
2
2
2
2
2

1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009

2
2

2
2
2
2
2
3, 25
2
2
2
2
2
2
2
2
2
2
2, 13 10/30/2009
2
2
2
2
2

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009

4

4

0

4,500,000

Warrants

Preferred Stock 2

2, 7

Page 6 of 13

Seller

Footnote
2
2

Purchase Details

Name of Institution

Purchase Date
1/30/2009
F & M Bancshares, Inc.
1/30/2009
First Resource Bank
2/6/2009
MidWestOne Financial Group, Inc.

City
Trezevant
Exton
Iowa City

State
TN
PA
IA

Investment Description
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

Investment Amount
$
$
$

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

4,609,000
2,600,000
16,000,000

Pricing
Mechanism
Par
Par
Par

Capital
Repayment Date

Capital Repayment
Amount (Loss) 6

Remaining Capital
Amount

Remaining
Investment
Description

Final Disposition
Final
Disposition
Date

Disposition
Investment
Description

15

Final Disposition
Proceeds

NJ

Preferred Stock w/ Warrants

$

59,000,000

-

N/A

16,000,000

$

4

$

20,000,000

$

39,000,000

4

$

20,000,000

$

19,000,000

9/29/2010

4

$

5,000,000

$

0

Warrants

8/13/2010

4

$

3,000,000

$

0

N/A

N/A

N/A

1/14/2011
3/16/2011

4

$
$

4,000,000
11,568,000

$
$

Preferred Stock 2
Preferred Stock 2

3/16/2011

Preferred Stock

9/24/2010

4

$

5,645,000

$

0

N/A

N/A

N/A

2/16/2011

4

$

8,700,000

$

0

Preferred Stock 2

2/16/2011

Preferred Stock

2, 7

R $

12/3/2010

34

$

1,742,850

$

0

N/A

N/A

N/A

34

-

9/2/2009

4

$

41,863,000

$

11/18/2009

Oak Ridge

$

3/16/2011

Lakeland Bancorp, Inc.

4

8/4/2010
2/6/2009

7/6/2011

4

$

41,863,000

$

12/22/2010

4

$

17,000,000

$

9/29/2010

4

$

15,000,000 $

Preferred Stock 2

9/29/2010

Preferred Stock

9/24/2010

4

11/10/2009

4

0

Par

2/6/2009

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

2/6/2009
2/6/2009

Carolina Trust Bank
Alaska Pacific Bancshares, Inc.

Lincolnton
Juneau

NC
AK

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

4,000,000
4,781,000

Par
Par

2/6/2009

PGB Holdings, Inc.

Chicago

IL

Preferred Stock

$

3,000,000

Par

2/6/2009

The Freeport State Bank

Harper

KS

Preferred Stock w/ Exercised Warrants

$

301,000

Par

2

2/6/2009

Stockmens Financial Corporation

Rapid City

SD

$

15,568,000

Par

2
2
2
2
3, 30 9/24/2010
2

2/6/2009
2/6/2009
2/6/2009
2/6/2009

US Metro Bank
First Express of Nebraska, Inc.
Mercantile Capital Corp.
Citizens Commerce Bancshares, Inc.

Garden Grove
Gering
Boston
Versailles

CA
NE
MA
KY

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$
$
$
$

2,861,000
5,000,000
3,500,000
6,300,000

Par
Par
Par
Par

2/6/2009

Liberty Financial Services, Inc.

New Orleans

LA

Preferred Stock

$

5,645,000

Par

2/6/2009

Lone Star Bank
Union First Market Bankshares Corporation
(First Market Bank, FSB)
Banner County Ban Corporation
Centrix Bank & Trust
Todd Bancshares, Inc.
Georgia Commerce Bancshares, Inc.
First Bank of Charleston, Inc.
F & M Financial Corporation
The Bank of Currituck
CedarStone Bank
Community Holding Company of Florida, Inc.
Hyperion Bank
Pascack Bancorp, Inc.
(Pascack
Community Bank)
First Western Financial, Inc.
QCR Holdings, Inc.

Houston

TX

Preferred Stock w/ Exercised Warrants

$

3,072,000

Par

Bowling Green

VA

Preferred Stock

$

33,900,000

Par

Harrisburg
Bedford
Hopkinsville
Atlanta
Charleston
Salisbury
Moyock
Lebanon
Miramar Beach
Philadelphia

NE
NH
KY
GA
WV
NC
NC
TN
FL
PA

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$
$
$
$
$
$
$
$
$
$

795,000
7,500,000
4,000,000
8,700,000
3,345,000
17,000,000
4,021,000
3,564,000
1,050,000
1,552,000

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

Westwood

NJ

Preferred Stock w/ Exercised Warrants

$

3,756,000

Par

Denver
Moline

CO
IL

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

$
$

8,559,000
38,237,000

Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants

Par
Par

30 9/29/2010

3, 30 8/13/2010
2

18

2/6/2009

2
2
2
2
2
2
2, 34
2
2
2
2, 13 2/10/2010
2

2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/13/2009
2/13/2009

Westamerica Bancorporation

San Rafael

CA

Preferred Stock w/ Exercised Warrants

Preferred Stock w/ Warrants

$

83,726,000

Par

2/13/2009

The Bank of Kentucky Financial Corporation

Crestview Hills

KY

Preferred Stock w/ Warrants

$

34,000,000

Par

2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009

PremierWest Bancorp
Carrollton Bancorp
FNB United Corp.
First Menasha Bancshares, Inc.
1st Enterprise Bank
DeSoto County Bank
Security Bancshares of Pulaski County, Inc.

Medford
Baltimore
Asheboro
Neenah
Los Angeles
Horn Lake
Waynesville

OR
MD
NC
WI
CA
MS
MO

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

$
$
$
$
$
$
$

41,400,000
9,201,000
51,500,000
4,797,000
4,400,000
1,173,000
2,152,000

2/13/2009

State Capital Corporation

Greenwood

MS

Preferred Stock w/ Exercised Warrants

$

15,000,000

Par

2
2
2
2
2
2
2
2

2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
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

2/13/2009

First Choice Bank

Cerritos

CA

Preferred Stock w/ Exercised Warrants

$

2,200,000

Par

2
2
2
2
2
2
2
2
2

2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009

Gregg Bancshares, Inc.
Hometown Bancshares, Inc.
Midwest Regional Bancorp, Inc.
Bern Bancshares, Inc.
Northwest Bancorporation, Inc.
Liberty Bancshares, Inc.
F&M Financial Corporation
Meridian Bank
Northwest Commercial Bank

Ozark
Corbin
Festus
Bern
Spokane
Springfield
Clarksville
Devon
Lakewood

MO
KY
MO
KS
WA
MO
TN
PA
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
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

Par
Par
Par
Par
Par
Par
Par
Par
Par

0

R $

-

778,000

N/A

435,000

N/A

Preferred Stock w/
Warrants
Warrants
Preferred Stock w/
Warrants

Par
Par
Par
Par
Par
Par
Par
Par

2, 30 9/24/2010

41,863,000

2, 7

Par
Par
Par
Par
Par
Par
Par

2, 30 9/29/2010

4

11,568,000
0

2
2
2
2

17,000,000

2, 7,

0

30a

R $

750,000

R $

110,000

R $

35,000

2, 7,

$

2,200,000

$

0

N/A

9/24/2010

Preferred Stock

$

700,000

$

0

Preferred Stock 2

11/10/2009

Preferred Stock

30a

2, 7

Page 7 of 13

Seller

Footnote

Purchase Details

Name of Institution

Purchase Date
2/20/2009
Royal Bancshares of Pennsylvania, Inc.

City

State

27

2/20/2009

First Merchants Corporation

Muncie

IN

2, 25
2
2

2/20/2009
2/20/2009
2/20/2009
2/20/2009

Northern States Financial Corporation
Sonoma Valley Bancorp
Guaranty Bancorp, Inc.
The Private Bank of California

Waukegan
Sonoma
Woodsville
Los Angeles

IL
CA
NH
CA

2, 30 9/29/2010

2/20/2009

Lafayette Bancorp, Inc.

Oxford

MS

Preferred Stock w/ Exercised Warrants

$

1,998,000

Par

2
2
2
2
2
2
2
2
2
2

2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009

Liberty Shares, Inc.
White River Bancshares Company
United American Bank
Crazy Woman Creek Bancorp, Inc.
First Priority Financial Corp.
Mid-Wisconsin Financial Services, Inc.
Market Bancorporation, Inc.
Hometown Bancorp of Alabama, Inc.
Security State Bancshares, Inc.
CBB Bancorp

Hinesville
Fayetteville
San Mateo
Buffalo
Malvern
Medford
New Market
Oneonta
Charleston
Cartersville

GA
AR
CA
WY
PA
WI
MN
AL
MO
GA

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$
$
$
$
$
$
$
$
$
$

17,280,000
16,800,000
8,700,000
3,100,000
4,579,000
10,000,000
2,060,000
3,250,000
12,500,000
2,644,000

2, 30 9/29/2010

2/20/2009

BancPlus Corporation

Ridgeland

MS

Preferred Stock w/ Exercised Warrants

$

48,000,000

2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/27/2009

Central Community Corporation
First BancTrust Corporation
Premier Service Bank
Florida Business BancGroup, Inc.
Hamilton State Bancshares
Lakeland Financial Corporation

Temple
Paris
Riverside
Tampa
Hoschton
Warsaw

TX
IL
CA
FL
GA
IN

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

$
$
$
$
$
$

2/27/2009

First M&F Corporation

Kosciusko

MS

Preferred Stock w/ Warrants

2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009

Southern First Bancshares, Inc.
Integra Bank Corporation
Community First Inc.
BNC Financial Group, Inc.
California Bank of Commerce
Columbine Capital Corp.
National Bancshares, Inc.
First State Bank of Mobeetie
Ridgestone Financial Services, Inc.
Community Business Bank
D.L. Evans Bancorp
TriState Capital Holdings, Inc.
Green City Bancshares, Inc.
First Gothenburg Bancshares, Inc.
Green Circle Investments, Inc.
Private Bancorporation, Inc.
Regent Capital Corporation
Central Bancorp, Inc.
Medallion Bank

Greenville
Evansville
Columbia
New Canaan
Lafayette
Buena Vista
Bettendorf
Mobeetie
Brookfield
West Sacramento
Burley
Pittsburgh
Green City
Gothenburg
Clive
Minneapolis
Nowata
Garland
Salt Lake City

SC
IN
TN
CT
CA
CO
IA
TX
WI
CA
ID
PA
MO
NE
IA
MN
OK
TX
UT

2/27/2009

PSB Financial Corporation

Many

2/27/2009
2/27/2009
2/27/2009

2/27/2009
2/27/2009
3/6/2009
3/6/2009

Avenue Financial Holdings, Inc.
Howard Bancorp, Inc.
FNB Bancorp
The Victory Bancorp, Inc.
(The Victory Bank)
Catskill Hudson Bancorp, Inc
Midtown Bank & Trust Company
HCSB Financial Corporation
First Busey Corporation

3/6/2009

2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2, 30 9/29/2010
2
2
2
2, 13 12/4/2009
2
2

42 5/3/2011
3, 30 8/13/2010
2
2
2
2
2
2
2
2
2

$
$
$
$
$
$
$

30,407,000
69,600,000
46,400,000
17,211,000
8,653,000
6,920,000
5,450,000

Capital
Repayment Date

Capital Repayment
Amount (Loss) 6

Remaining Capital
Amount

Final Disposition

Remaining
Investment
Description

Final
Disposition
Date

Preferred Stock 2

9/29/2010

Preferred Stock

2

9/29/2010

Preferred Stock

4/13/2011

Preferred Stock

Disposition
Investment
Description

15

Final Disposition
Proceeds

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

30 9/29/2010

PA

Investment Amount

Pricing
Mechanism

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Trust Preferred Securities w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

2
2
2
2
2

Narberth

Investment Description

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

Par
Par
Par
Par
Par
Par
Par
2, 7,

9/29/2010

4

Par

9/29/2010

4

22,000,000
7,350,000
4,000,000
9,495,000
7,000,000
56,044,000

Par
Par
Par
Par
Par
Par

4/13/2011
6/9/2010

4

$

30,000,000

Par

9/29/2010

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

17,299,000
83,586,000
17,806,000
4,797,000
4,000,000
2,260,000
24,664,000
731,000
10,900,000
3,976,000
19,891,000
23,000,000
651,000
7,570,000
2,400,000
4,960,000
2,655,000
22,500,000
11,800,000

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

LA

Preferred Stock w/ Exercised Warrants

$

9,270,000

Par

Nashville
Ellicott City
South San Francisco

TN
MD
CA

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$
$
$

7,400,000
5,983,000
12,000,000

Par
Par
Par

Limerick

PA

Preferred Stock w/ Exercised Warrants

$

541,000

Par

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

First Federal Bancshares of Arkansas, Inc.

Harrison

AR

Preferred Stock w/ Warrants

$

16,500,000

Par

5/3/2011

3/6/2009

Citizens Bancshares Corporation

Atlanta

GA

Preferred Stock

$

7,462,000

Par

8/13/2010

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

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.

Ontario
Fort Worth
Houston
Independence
Florence
Toone
Alamosa
Germantown
Houston

CA
TX
TX
MO
SC
TN
CO
TN
TX

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

$
$
$
$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par
Par
Par
Par

$

1,998,000

$

0

$

48,000,000

$

0

Preferred Stock

$
$

7,000,000
56,044,000

$
$

0
0

Preferred Stock 2
Warrants

4

$

30,000,000

$

0

Warrants

4/14/2010

4

$

731,000

$

0

Preferred Stock 2

4/14/2010

7/14/2010

4

$

651,000

$

0

Preferred Stock 2

9/29/2010

4

$

9,270,000

$

0

2

42

$

6,000,000

$

0

4

$

7,462,000

$

0

R $

100,000

R $

2,400,000

2, 7

R $

350,000

Preferred Stock

2, 7

R $

37,000

7/14/2010

Preferred Stock

2, 7

R $

33,000

9/29/2010

Preferred Stock

R $

464,000

N/A

N/A

N/A

N/A

N/A

N/A

30a

2, 7,

5

30a

2, 7,

2/27/2009

Preferred Stock

30a

N/A
-

N/A

Page 8 of 13

Seller

Footnote
2
2
2
2
2
2
2
2
2

Purchase Date
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

Purchase Details

Name of Institution

City

State

Investment Description

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

Investment Amount

Pricing
Mechanism

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.

Collinsville
Sebring
Orange City
Shelbyville
Vero Beach
Goff
Davie
Madison
Colquitt
Warren
Lakeville
Dixon
Riverwoods
Rock Hill

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/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$
$
$
$
$
$
$
$
$
$
$
$
$

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

3/13/2009

First American International Corp.

Brooklyn

NY

Preferred Stock

$

17,000,000

Par

3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009

BancIndependent, Inc.
Haviland Bancshares, Inc.
1st United Bancorp, Inc.
Madison Financial Corporation
First National Corporation
St. Johns Bancshares, Inc.
Blackhawk Bancorp, Inc.

Sheffield
Haviland
Boca Raton
Richmond
Strasburg
St. Louis
Beloit

AL
KS
FL
KY
VA
MO
WI

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$
$
$
$
$
$
$

21,100,000
425,000
10,000,000
3,370,000
13,900,000
3,000,000
10,000,000

Par
Par
Par
Par
Par
Par
Par

3/13/2009

IBW Financial Corporation

Washington

DC

Preferred Stock

$

6,000,000

Par

2
2
2
2
2
2
2
2
2
2
2
2
2
2

3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009

Butler Point, Inc.
Bank of George
Moneytree Corporation
Sovereign Bancshares, Inc.
First Intercontinental Bank
Heritage Oaks Bancorp
Community First Bancshares Inc.
First NBC Bank Holding Company
First Colebrook Bancorp, Inc.
Kirksville Bancorp, Inc.
Peoples Bancshares of TN, Inc
Premier Bank Holding Company
Citizens Bank & Trust Company
Farmers & Merchants Financial Corporation
Farmers State Bankshares, Inc.
SBT Bancorp, Inc.
CSRA Bank Corp.
Trinity Capital Corporation
Clover Community Bankshares, Inc.
Pathway Bancorp

Catlin
Las Vegas
Lenoir City
Dallas
Doraville
Paso Robles
Union City
New Orleans
Colebrook
Kirksville
Madisonville
Tallahassee
Covington
Argonia
Holton
Simsbury
Wrens
Los Alamos
Clover
Cairo

IL
NV
TN
TX
GA
CA
TN
LA
NH
MO
TN
FL
LA
KS
KS
CT
GA
NM
SC
NE

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

607,000
2,672,000
9,516,000
18,215,000
6,398,000
21,000,000
20,000,000
17,836,000
4,500,000
470,000
3,900,000
9,500,000
2,400,000
442,000
700,000
4,000,000
2,400,000
35,539,000
3,000,000
3,727,000

3/27/2009

Colonial American Bank

West Conshohocken

PA

Preferred Stock w/ Exercised Warrants

$

574,000

3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
4/3/2009

MS Financial, Inc.
Triad Bancorp, Inc.
Alpine Banks of Colorado
Naples Bancorp, Inc.
CBS Banc-Corp.
IBT Bancorp, Inc.
Spirit BankCorp, Inc.
Maryland Financial Bank
First Capital Bancorp, Inc.

Kingwood
Frontenac
Glenwood Springs
Naples
Russellville
Irving
Bristow
Towson
Glen Ellen

TX
MO
CO
FL
AL
TX
OK
MD
VA

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

$
$
$
$
$
$
$
$
$

7,723,000
3,700,000
70,000,000
4,000,000
24,300,000
2,295,000
30,000,000
1,700,000
10,958,000

Tri-State Bank of Memphis

Memphis

TN

Preferred Stock

$

2,795,000

Par

4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/10/2009
4/10/2009
4/10/2009
4/10/2009

Fortune Financial Corporation
BancStar, Inc.
Titonka Bancshares, Inc
Millennium Bancorp, Inc.
TriSummit Bank
Prairie Star Bancshares, Inc.
Community First Bancshares, Inc.
BCB Holding Company, Inc.
City National Bancshares Corporation
First Business Bank, N.A.
SV Financial, Inc.
Capital Commerce Bancorp, Inc.

Arnold
Festus
Titonka
Edwards
Kingsport
Olathe
Harrison
Theodore
Newark
San Diego
Sterling
Milwaukee

MO
MO
IA
CO
TN
KS
AR
AL
NJ
CA
IL
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
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$
$
$
$
$
$
$
$
$
$
$
$

3,100,000
8,600,000
2,117,000
7,260,000
2,765,000
2,800,000
12,725,000
1,706,000
9,439,000
2,211,000
4,000,000
5,100,000

Remaining
Investment
Description

Final
Disposition
Date

Disposition
Investment
Description

15

Final Disposition
Proceeds

Par
Par
Par
Par
Par
Par
Par
Par
Par

4/3/2009

Remaining Capital
Amount

Par

2
2
2
2
2
2
2
2

Capital Repayment
Amount (Loss) 6

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

2

Capital
Repayment Date

Final Disposition

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

3, 30 8/13/2010
2
2
2
2
2
2
2
2, 3a 11/13/2009
30 9/3/2010
2
2
2
2
2

2, 3, 30 8/13/2010
2
2
2
2
2
2
2
2
2, 3
2
2
2

4/21/2010

4

$

1,224,558,000

$

0

Warrants

7/7/2010

Warrants

8/13/2010

4

$

17,000,000

$

0

N/A

N/A

N/A

12/29/2010
11/18/2009

4

$
$

425,000
10,000,000

$
$

0
0

Preferred Stock 2
Preferred Stock 2

12/29/2010
11/18/2009

Preferred Stock
Preferred Stock

9/3/2010

4

$

6,000,000

$

0

N/A

N/A

N/A

-

N/A

8/13/2010

4

$

2,795,000

$

0

N/A

N/A

N/A

-

N/A

4

R $

2, 7
2, 7

R $
R $

172,000,000

N/A

21,000
500,000

Page 9 of 13

Seller

Footnote
2
2
2, 25a
2
2
2
2
2
2
2
2
2
2
2
2
2

8

Purchase Date
4/10/2009
4/17/2009
4/17/2009
4/17/2009
4/17/2009
4/17/2009
4/17/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009

4/24/2009

Purchase Details

Name of Institution
Metropolitan Capital Bancorp, Inc.
Bank of the Carolinas Corporation
Penn Liberty Financial Corp.
Tifton Banking Company
Patterson Bancshares, Inc
BNB Financial Services Corporation
Omega Capital Corp.
Mackinac Financial Corporation
Birmingham Bloomfield Bancshares, Inc
Vision Bank - Texas
Oregon Bancorp, Inc.
Peoples Bancorporation, Inc.
Indiana Bank Corp.
Business Bancshares, Inc.
Standard Bancshares, Inc.
York Traditions Bank
Grand Capital Corporation
Allied First Bancorp, Inc.

Frontier Bancshares, Inc.

City
Chicago
Mocksville
Wayne
Tifton
Patterson
New York
Lakewood
Manistique
Birmingham
Richardson
Salem
Easley
Dana
Clayton
Hickory Hills
York
Tulsa
Oswego

Austin

State
IL
NC
PA
GA
LA
NY
CO
MI
MI
TX
OR
SC
IN
MO
IL
PA
OK
IL

TX

2
2
2
2

5/1/2009
5/1/2009
5/1/2009
5/1/2009
5/1/2009

Village Bank and Trust Financial Corp
CenterBank
Georgia Primary Bank
Union Bank & Trust Company
HPK Financial Corporation

Midlothian
Milford
Atlanta
Oxford
Chicago

VA
OH
GA
NC
IL

8

5/1/2009

OSB Financial Services, Inc.

Orange

TX

8

5/1/2009

Security State Bank Holding-Company

Jamestown

ND

Vernon

2, 13 8/31/2010
2
2

Subordinated Debentures w/ Exercised
Warrants

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

2,040,000
13,179,000
9,960,000
3,800,000
3,690,000
7,500,000
2,816,000
11,000,000
1,635,000
1,500,000
3,216,000
12,660,000
1,312,000
15,000,000
60,000,000
4,871,000
4,000,000
3,652,000

Capital
Repayment Date

11/24/2009
$

3,000,000

Capital Repayment
Amount (Loss) 6

Remaining Capital
Amount

Final Disposition

Remaining
Investment
Description

Final
Disposition
Date

Subordinated
Debentures 8
Subordinated
Debentures 8

10/6/2010

Subordinated
Debentures 8

Disposition
Investment
Description

15

Final Disposition
Proceeds

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
4

$

1,600,000

$

1,400,000

Par

7

R $

150,000

10/6/2010
$
$
$
$
$

14,738,000
2,250,000
4,500,000
3,194,000
4,000,000

$

6,100,000
10,750,000

Preferred Stock w/ Exercised Warrants

$

3,091,000

GA
GA

$
$

5,500,000
6,000,000

IL

$

3,000,000
4,000,000
13,644,000

$

6,784,000

Par

Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$
$
$
$
$
$
$
$

21,000,000
1,341,000
4,700,000
6,970,000
2,720,000
14,800,000
4,862,000
15,000,000

$

4,205,000

Par

$

5,586,000
2,400,000
1,100,000
2,639,000
20,300,000
15,000,000
1,177,000
1,300,000
5,000,000
6,272,000
9,900,000
5,097,000
20,400,000
6,349,000

N/A

9/10/2010

4

$

4,205,000 $

0

N/A

N/A

N/A

-

N/A

Par

$

-

Par
Par
Par
Par
Par
Par
Par

$

N/A

Par

$
$
$
$
$
$
$

N/A

Par

$

N/A

Par

$

0

Par

$

$

Par

$

6,784,000

Par
Par
Par
Par
Par
Par
Par
Par

Subordinated Debentures

$

Par

Subordinated Debentures

4

Par

$

8/13/2010

Par

$

0

Par
Par

Freeport

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

$

Par

Atlanta
Ringgold

1,400,000

Par

NJ

$

Par

$

4

Par
Par
Par
Par
Par

Par

5/8/2009
5/8/2009

8

5/8/2009

Freeport Bancshares, Inc.

8

5/8/2009

Investors Financial Corporation of Pettis County, Inc. Sedalia

MO

8

5/8/2009

Sword Financial Corporation

Horicon

WI

3, 8, 30 8/13/2010

5/8/2009

Premier Bancorp, Inc.

Wilmette

IL

5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009

Mercantile Bank Corporation
Northern State Bank
Western Reserve Bancorp, Inc
Community Financial Shares, Inc.
Worthington Financial Holdings, Inc.
First Community Bancshares, Inc
Southern Heritage Bancshares, Inc.
Foresight Financial Group, Inc.

Grand Rapids
Closter
Medina
Glen Ellyn
Huntsville
Overland Park
Cleveland
Rockford

5/15/2009

IBC Bancorp, Inc.

Chicago

IL

8

5/15/2009

Boscobel Bancorp, Inc

Boscobel

WI

8

5/15/2009

Brogan Bankshares, Inc.

Kaukauna

WI

8

5/15/2009

Riverside Bancshares, Inc.

Little Rock

AR

8

5/15/2009

Deerfield Financial Corporation

Deerfield

WI

8

5/15/2009

Market Street Bancshares, Inc.

Mt. Vernon

IL

2
2
2
2
2
2
2

5/22/2009
5/22/2009
5/22/2009
5/22/2009
5/22/2009
5/22/2009
5/22/2009

The Landrum Company
First Advantage Bancshares Inc.
Fort Lee Federal Savings Bank
Blackridge Financial, Inc.
Illinois State Bancorp, Inc.
Universal Bancorp
Franklin Bancorp, Inc.

Columbia
Coon Rapids
Fort Lee
Fargo
Chicago
Bloomfield
Washington

MO
MN
NJ
ND
IL
IN
MO

8

5/22/2009

Commonwealth Bancshares, Inc.

Louisville

KY

8

5/22/2009

Premier Financial Corp

Dubuque

IA

2
2
2
2
2
2
2
3, 8, 30 9/10/2010

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

Investment Amount

Pricing
Mechanism

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

Highlands Bancorp, Inc.
(Highlands State Bank)
One Georgia Bank
Gateway Bancshares, Inc.

5/8/2009

Investment Description

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

MI
NJ
OH
IL
AL
KS
TN
IL

Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants

Page 10 of 13

Seller

Purchase Details

Name of Institution

City

State

Investment Description

Footnote

Purchase Date

8

5/22/2009

F & C Bancorp, Inc.

Holden

MO

8

5/22/2009

Diamond Bancorp, Inc.

Washington

MO

8

5/22/2009

United Bank Corporation

Barnesville

GA

2
2
2
2
2

5/29/2009
5/29/2009
5/29/2009
5/29/2009
5/29/2009
5/29/2009

Community Bank Shares of Indiana, Inc.
American Premier Bancorp
CB Holding Corp.
Citizens Bancshares Co.
Grand Mountain Bancshares, Inc.
Two Rivers Financial Group

New Albany
Arcadia
Aledo
Chillicothe
Granby
Burlington

IN
CA
IL
MO
CO
IA

8

5/29/2009

Fidelity Bancorp, Inc

Baton Rouge

LA

8

5/29/2009

Chambers Bancshares, Inc.

Danville

AR

2

6/5/2009

Covenant Financial Corporation

Clarksdale

MS

8

6/5/2009

First Trust Corporation

New Orleans

LA

8, 10

6/5/2009

OneFinancial Corporation

Little Rock

AR

2

6/12/2009

Berkshire Bancorp, Inc.

Wyomissing

PA

Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants

2, 10, 30 9/29/2010

6/12/2009

First Vernon Bancshares, Inc.

Vernon

AL

2
2, 10
2

6/12/2009
6/12/2009
6/12/2009

SouthFirst Bancshares, Inc.
Virginia Company Bank
Enterprise Financial Services Group, Inc.

Sylacauga
Newport News
Allison Park

AL
VA
PA

8, 10

6/12/2009

First Financial Bancshares, Inc.

Lawrence

KS

8

6/12/2009

River Valley Bancorporation, Inc.

Wausau

WI

2
2, 10

6/19/2009
6/19/2009

Merchants and Manufacturers Bank Corporation
RCB Financial Corporation

Joliet
Rome

IL
GA

8

6/19/2009

Manhattan Bancshares, Inc.

Manhattan

IL

8, 10

6/19/2009

Biscayne Bancshares, Inc.

Coconut Grove

FL

8

6/19/2009

Duke Financial Group, Inc.

Minneapolis

MN

8

6/19/2009

Farmers Enterprises, Inc.

Great Bend

KS

8

6/19/2009

Century Financial Services Corporation

Santa Fe

NM

8

6/19/2009

NEMO Bancshares Inc.

Madison

MO

3, 8, 30 7/30/2010

6/19/2009

University Financial Corp, Inc.

St. Paul

MN

8

6/19/2009

Suburban Illinois Bancorp, Inc.

Elmhurst

IL

6/26/2009

Hartford

CT

Dallas

TX

6/26/2009
6/26/2009

Hartford Financial Services Group, Inc.
Veritex Holdings, Inc.
(Fidelity Resources Company)
Waukesha Bankshares, Inc.
FC Holdings, Inc.

Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants

Waukesha
Houston

6/26/2009

Security Capital Corporation

6/26/2009
6/26/2009
6/26/2009

2, 40 3/23/2011
2, 10
2
2, 10, 30 9/29/2010
2
2
2, 10
2, 3, 10, 30 8/20/2010
2, 41 3/30/2011
2, 41 3/30/2011
2

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

Investment Amount

Pricing
Mechanism

$

2,993,000
20,445,000
14,400,000
19,468,000
1,800,000
4,114,000
24,990,000
3,076,000
12,000,000

Par
Par
Par
Par
Par
Par

$

3,942,000
19,817,000
5,000,000
17,969,000
17,300,000

Par

$

2,892,000

Par

Preferred Stock w/ Exercised Warrants

$

6,000,000

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
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants

$
$
$

2,760,000
4,700,000
4,000,000

Par
Par
Par

$

3,756,000

Par

$

15,000,000

Par

$
$

3,510,000
8,900,000

Par
Par

$

2,639,000

Par

$

6,400,000

Par

$

12,000,000

Par

$

12,000,000

Par

$

10,000,000

Par

$

2,330,000

Par

Subordinated Debentures

$

11,926,000

Par

$

15,000,000

Par

$

3,400,000,000

Par

Preferred Stock w/ Exercised Warrants

$

3,000,000

Par

WI
TX

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$
$

5,625,000
21,042,000

Par
Par

Batesville

MS

Preferred Stock w/ Exercised Warrants

$

17,388,000

Par

First Alliance Bancshares, Inc.
Gulfstream Bancshares, Inc.
Gold Canyon Bank

Cordova
Stuart
Gold Canyon

TN
FL
AZ

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$
$
$

3,422,000
7,500,000
1,607,000

Par
Par
Par

6/26/2009

M&F Bancorp, Inc.

Durham

NC

Preferred Stock

$

11,735,000

Par

6/26/2009

Metropolitan Bank Group, Inc.

Chicago

IL

Preferred Stock w/ Exercised Warrants

$

74,706,000

Par

Chicago

IL

Preferred Stock w/ Exercised Warrants

$

7,186,000

Par

Dalton

GA

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

$

2,986,000

Par

$

24,900,000

Par

$

1,700,000

Par

$

35,000,000

Par

$

12,000,000

Final Disposition
Proceeds

Par

$

15

Par

$

Disposition
Investment
Description

Par

$

Final
Disposition
Date

Par

$

Remaining
Investment
Description

Par

$
$
$
$
$
$

Remaining Capital
Amount

Par

$

Capital Repayment
Amount (Loss) 6

Par

$

Capital
Repayment Date

Final Disposition

Par

1/26/2011

4

$

1,800,000

$

0

Preferred Stock 2

1/26/2011

Preferred Stock

9/29/2010

4

$

6,000,000 $

0

Preferred Stock 2

9/29/2010

Preferred Stock

7/30/2010

4

$

11,926,000

$

0

N/A

N/A

N/A

3/31/2010

4

$

3,400,000,000

$

0

Warrants

9/21/2010

Warrants

9/29/2010

4

$

17,388,000 $

0

9/29/2010

Preferred Stock

8/20/2010

4

$

11,735,000 $

0

N/A

N/A

N/A

12/15/2010

4

$

1,700,000

$

0

Subordinated
Debentures 8

12/15/2010

Subordinated
Debentures 8

6/30/2010

4

$

950,000,000

$

0

Warrants

9/16/2010

Warrants

2, 7

R $

90,000

R $

245,000

2, 7,

6/26/2009

30a

-

N/A

A $

713,687,430

R $

522,000

2, 7,

6/26/2009

Metropolitan Bank Group, Inc.
(NC Bancorp, Inc.)
Alliance Bancshares, Inc.

8

6/26/2009

Stearns Financial Services, Inc.

St. Cloud

MN

8

6/26/2009

Signature Bancshares, Inc.

Dallas

TX

8

6/26/2009

Fremont Bancorporation

Fremont

CA

8

6/26/2009

Alliance Financial Services Inc.

Saint Paul

MN

7/10/2009

Lincoln National Corporation

Radnor

PA

Preferred Stock w/ Warrants

$

950,000,000

Par

7/10/2009

Bancorp Financial, Inc.

Oak Brook

IL

Preferred Stock w/ Exercised Warrants

$

13,669,000

Preferred Stock

2

30a

-

N/A

Par

2, 10

6/26/2009

7

R $

85,000

A $

216,620,887

Page 11 of 13

Seller

Footnote
2
2
2, 3

Purchase Details

Name of Institution

Purchase Date
7/17/2009
Brotherhood Bancshares, Inc.
7/17/2009
SouthCrest Financial Group, Inc.
7/17/2009
Harbor Bankshares Corporation

City

State
KS
GA
MD

Investment Amount

Pricing
Mechanism

8

7/17/2009

First South Bancorp, Inc.

Lexington

TN

8

7/17/2009

Great River Holding Company

Baxter

MN

8, 10

7/17/2009

Plato Holdings Inc.

Saint Paul

MN

2, 10
2

7/24/2009
7/24/2009
7/24/2009

Yadkin Valley Financial Corporation
Community Bancshares, Inc.
Florida Bank Group, Inc.

Elkin
Kingman
Tampa

NC
AZ
FL

8

7/24/2009

First American Bank Corporation

Elk Grove Village

IL

2

7/31/2009

Chicago Shore Corporation

Chicago

IL

8, 10

7/31/2009

Financial Services of Winger, Inc.

Winger

MN

2
2
2
2

8/7/2009
8/7/2009
8/14/2009
8/21/2009

The ANB Corporation
U.S. Century Bank
Bank Financial Services, Inc.
KS Bancorp, Inc.

Terrell
Miami
Eden Prarie
Smithfield

TX
FL
MN
NC

8

8/21/2009

AmFirst Financial Services, Inc.

McCook

NE

2, 3
2
2, 10

8/28/2009
8/28/2009
8/28/2009

First Independence Corporation
First Guaranty Bancshares, Inc.
CoastalSouth Bancshares, Inc.

Detroit
Hammond
Hilton Head Island

MI
LA
SC

8, 10

8/28/2009

TCB Corporation

Greenwood

SC

8, 10

9/4/2009

The State Bank of Bartley

Bartley

NE

9/11/2009

Pathfinder Bancorp, Inc.

Oswego

NY

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants

9/11/2009

Community Bancshares of Mississippi, Inc.

Brandon

MS

Preferred Stock w/ Exercised Warrants

$

52,000,000

Par

$
$

7,000,000
1,500,000

$
$
$

11,000,000
12,900,000
6,800,000
50,000,000
8,400,000
2,500,000
13,312,000
3,872,000
20,471,000
50,000,000
7,000,000
3,742,000

Par

$
$
$
$

20,000,000
50,236,000
1,004,000
4,000,000

Par
Par
Par
Par

$

5,000,000

Par

$
$
$

3,223,000
20,699,000
16,015,000

Par
Par
Par

$

9,720,000

Par

$

1,697,000

Par

$

6,771,000

$

7,500,000

Par

$
$

5,976,000
10,000,000

Final Disposition
Proceeds

Par

$

15

Par

$

Disposition
Investment
Description

Par
Par
Par

$

Final
Disposition
Date

Par

$
$
$

Remaining
Investment
Description

Par

$

Remaining Capital
Amount

Par

$

Capital Repayment
Amount (Loss) 6

Par
Par
Par

$

Capital
Repayment Date

Final Disposition

Par
Par

Par
Par

2, 30 9/29/2010

Kansas City
Fayetteville
Baltimore

Investment Description

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

Par
2, 7,

2, 10
2, 10
8, 30 9/17/2010
2, 10
2, 10

9/11/2009
9/11/2009

Heartland Bancshares, Inc.
PFSB Bancorporation, Inc.

Franklin
Pigeon Falls

IN
WI

9/11/2009

First Eagle Bancshares, Inc.

Hanover Park

IL

9/18/2009
9/18/2009

IA Bancorp, Inc.
HomeTown Bankshares Corporation

Iselin
Roanoke

NJ
VA

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

2, 10

9/25/2009

Heritage Bankshares, Inc.

Norfolk

VA

Preferred Stock w/ Exercised Warrants

$

10,103,000

Par

2

9/25/2009

Mountain Valley Bancshares, Inc.

Cleveland

GA

$

3,300,000

9/25/2009

Grand Financial Corporation

Hattiesburg

MS

$

2,443,320

Guaranty Capital Corporation

Belzoni

MS

Subordinated Debentures

$

14,000,000

Par

9/25/2009

GulfSouth Private Bank

Destin

FL

$

7,500,000

Steele Street Bank Corporation

Denver

CO

$

11,019,000

52,000,000 $

0

Preferred Stock 2

9/29/2010

Preferred Stock

9/17/2010

4

$

7,500,000 $

0

Subordinated
Debentures 8

9/17/2010

Subordinated
Debentures 8

3/16/2011

4

$

2,606,000

7/30/2010

4

$

14,000,000

N/A

N/A

30a

R $

2,600,000

R $

375,000

Par

9/25/2009

Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants

$

Par

9/25/2009

4

Par

8

Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants

9/29/2010

Par

3, 8, 30 7/30/2010
10, 21
8, 10

$7,497,000

$

0

30a

Preferred Stock w/
Warrants

N/A

-

N/A

Page 12 of 13

Seller

Footnote

Purchase Details

Name of Institution

Purchase Date
10/2/2009
Premier Financial Bancorp, Inc.
10/2/2009
Providence Bank
10/23/2009 Regents Bancshares, Inc.

City

State
WV
NC
WA

Investment Amount

Pricing
Mechanism

8

10/23/2009

Cardinal Bancorp II, Inc.

Washington

MO

2
2, 10a
2, 10a
2, 10

10/30/2009
10/30/2009
11/6/2009
11/13/2009

Randolph Bank & Trust Company
WashingtonFirst Bankshares, Inc.
F & M Bancshares, Inc.
Fidelity Federal Bancorp

Asheboro
Reston
Trezevant
Evansville

NC

8, 10

11/13/2009

Community Pride Bank Corporation

Ham Lake

MN

2, 10a
2, 10
2
2, 10a
3, 10a
2
2, 10
2
2, 10

11/13/2009
11/20/2009
11/20/2009
11/20/2009
12/4/2009
12/4/2009
12/4/2009
12/11/2009
12/11/2009

HPK Financial Corporation
Presidio Bank
McLeod Bancshares, Inc.
Metropolitan Capital Bancorp, Inc.
Broadway Financial Corporation
Delmar Bancorp
Liberty Bancshares, Inc.
First Community Financial Partners, Inc.
Wachusett Financial Services, Inc.

Chicago
San Francisco
Shorewood
Chicago
Los Angeles
Delmar
Fort Worth
Joliet
Clinton

CA
MD
TX
IL
MA

8

12/11/2009

Nationwide Bankshares, Inc.

West Point

NE

2, 10a
2, 10a
2, 10a
2, 10a
2, 10a
2, 10a
2, 10a
2
2, 10
2
2, 10a
2, 10a
2, 10a
2, 10a
2, 10a
2, 10
2, 10a, 30 9/24/2010
2, 10a, 13 8/31/2010
2, 10a
2, 10a
2, 10a
2, 10
2, 10
2

12/11/2009
12/11/2009
12/11/2009
12/11/2009
12/11/2009
12/11/2009
12/11/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/22/2009

GrandSouth Bancorporation
1st Enterprise Bank
First Resource Bank
First Western Financial, Inc.
Meridian Bank
The Victory Bancorp, Inc.
First Business Bank, N.A.
Layton Park Financial Group
Centric Financial Corporation
Valley Financial Group, Ltd., 1st State Bank
Cache Valley Banking Company
Birmingham Bloomfield Bancshares, Inc
First Priority Financial Corp.
Northern State Bank
Union Bank & Trust Company
First Freedom Bancshares, Inc.

Greenville
Los Angeles
Exton
Denver
Devon
Limerick
San Diego
Milwaukee
Harrisburg
Saginaw
Logan
Birmingham
Malvern
Closter
Oxford
Lebanon

SC
CA
PA
CO
PA
PA
CA
WI
PA
MI
UT
MI
PA
NJ
NC
TN

Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants

12/22/2009

First Choice Bank

Cerritos

CA

Preferred Stock

$

2,836,000

Par

2, 10
2, 10

Huntington
Rocky Mount
Vancouver

Investment Description

VA
TN
IN

IL
CA
MN
IL

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

$
$
$

22,252,000
4,000,000
12,700,000
6,251,000
6,229,000
6,842,000
3,535,000
6,657,000
4,400,000
5,000,000
10,800,000
6,000,000
2,348,000
6,000,000
9,000,000
6,500,000
22,000,000
12,000,000
2,000,000

Par

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

6,319,000
6,000,000
2,417,000
11,881,000
6,335,000
1,505,000
2,032,000
3,000,000
6,056,000
1,300,000
4,640,000
1,744,000
4,596,000
1,230,000
2,997,000
8,700,000

Disposition
Investment
Description

15

Final Disposition
Proceeds

Par
Par
Par
Par
Par
Par
Par
Par
Par

$

Final
Disposition
Date

Par

$
$
$
$
$
$
$
$
$

Remaining
Investment
Description

Par
Par
Par
Par

$

Remaining Capital
Amount

Par

$
$
$
$

Capital Repayment
Amount (Loss) 6

Par
Par
Par

$

Capital
Repayment Date

Final Disposition

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

NJ

Preferred Stock

$

2,359,000

UT
NY
TN
SC
NM
PA

$
$
$
$
$
$

9,698,000
3,500,000
4,237,000
2,000,000
2,179,000
4,500,000

12/29/2009

FBHC Holding Company

Boulder

CO

$

3,035,000

Par

2, 10a
2, 10a
2, 10a, 30 9/29/2010
2, 10a
2, 10a

12/29/2009
12/29/2009

Western Illinois Bancshares Inc.
DeSoto County Bank

Monmouth
Horn Lake

IL
MS

$
$

4,567,000
1,508,000

Lafayette Bancorp, Inc.

Oxford

MS

Preferred Stock

$

2,453,000

Par

12/29/2009
12/29/2009

Private Bancorporation, Inc.
CBB Bancorp

Minneapolis
Cartersville

MN
GA

Preferred Stock
Preferred Stock

$
$

3,262,000
1,753,000

12/29/2009

Illinois State Bancorp, Inc.

Chicago

Preferred Stock w/ Exercised Warrants

$

4,000,000
204,943,827,320

Subordinated
Debentures 8

12/29/2010

Subordinated
Debentures 8

9/24/2010

4

$

2,836,000

$

0

N/A

N/A

N/A

38

$

650,000

$

0

N/A

N/A

N/A

4

$

2,453,000

$

0

N/A

N/A

N/A

Total Repaid **

$

182,366,074,563

$

(2,613,704,294)

$

19,964,048,463

7

R $

-

100,000

N/A

Par

$

0

Par
Par

2, 10a

$

Par
Par

12/29/2009

2,000,000

Par
Par
Par
Par
Par
Par

8, 10, 38

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock
Preferred Stock

$

Par

Salt Lake City
Rock Hill
Kingsport
Bluffton
Albuquerque
Ebensburg

4

Losses***

Vernon

12/22/2009
12/22/2009
12/22/2009
12/29/2009
12/29/2009
12/29/2009

Highlands Bancorp, Inc.
(Highlands State Bank)
Medallion Bank
Catskill Hudson Bancorp, Inc
TriSummit Bank
Atlantic Bancshares, Inc.
Union Financial Corporation
Mainline Bancorp, Inc.

12/29/2010

12/22/2009

IL

Total Purchase Amount *

3/9/2011

9/29/2010

TOTAL TREASURY CAPITAL PURCHASE PROGRAM (CPP) OUTSTANDING INVESTMENT AMOUNT

Total Warrant Proceeds****

N/A

-

N/A

$

7,543,795,553

* Total purchase amount includes the capitalization of accrued dividends referred to in Notes 20, 22, 28 and 29.
** Total repaid includes (i) the amount of $25 billion applied as repayment under the Capital Purchase Program from the total proceeds of $31.85 billion received pursuant to the sales of Citigroup, Inc. common stock as of December 6, 2010 (see Note 23 and "Capital Purchase Program - Citigroup Common Stock Disposition" on following pages) and (ii) the
amount of $355,724,000 repaid by institutions that have completed exchanges for investments under the Community Development Capital Initiative (see Note 30 and "Community Development Capital Initiative" on following pages).
*** Losses include (i) the investment amount for institutions that have completed bankruptcy proceedings (see Notes 16 and 19) and (ii) the investment amount less the amount of final proceeds for institutions where Treasury has completed a sale (see Notes 26, 32 and 34), but excludes investment amounts for institutions that have pending receivership or
bankruptcy proceedings (see Notes 14 and 25).
**** Total warrant proceeds includes $7,566,000, which represents the total amount of warrants that were included in nine institutions' exchange into the CDCI program (see Note 30a).
Notes appear on the following page.

Page 13 of 13

1a/ This transaction was included in previous Transaction Reports with Merrill Lynch & Co., Inc. listed as the qualifying institution and a 10/28/2008 transaction date, footnoted to indicate that settlement was deferred pending merger. The purchase of Merrill Lynch by Bank of America was completed on 1/1/2009, and this transaction under the CPP was funded
1b/ The warrant disposition proceeds amount are stated pro rata in respect of the CPP investments in Bank of America Corporation that occurred on 10/28/2008 and 1/9/2009. The total gross disposition proceeds from CPP warrants on 3/3/2010 was $310,571,615, consisting of $186,342,969 and $124,228,646. Proceeds from the disposition of TIP warrants
on 3/3/2010 appear on a following page of this report.
2/ Privately-held qualified financial institution; Treasury received a warrant to purchase additional shares of preferred stock (unless the institution is a CDFI), which it exercised immediately.
3/ To promote community development financial institutions (CDFIs), Treasury does not require warrants as part of its investment in certified CDFIs when the size of the investment is $50 million or less.
3a/ Treasury cancelled the warrants received from this institution due to its designation as a CDFI.
4/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009.
5/ Redemption pursuant to a qualified equity offering.
6/ This amount does not include accrued and unpaid dividends, which must be paid at the time of capital repayment.
7/ The proceeds associated with the disposition of this investment do not include accrued and unpaid dividends.
8/ Subchapter S corporation; Treasury received a warrant to purchase additional subordinated debentures (unless the institution is a CDFI), which it exercised immediately.
9/ In its qualified equity offering, this institution raised more capital than Treasury’s original investment, therefore, the number of Treasury’s shares underlying the warrant was reduced by half.
10/ This institution participated in the expansion of CPP for small banks.
10a/ This institution received an additional investment through the expansion of CPP for small banks.
11/ Treasury made three separate investments in Citigroup Inc. (Citigroup) under the CPP, Targeted Investment Program (TIP), and Asset Guarantee Program (AGP) for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange up to $25 billion of Treasury's investment in Fixed Rate Cumulative Perpetual Preferred
Stock, Series H (CPP Shares) "dollar for dollar" in Citigroup's Private and Public Exchange Offerings. On 7/23/2009 and 7/30/2009, Treasury exchanged a total of $25 billion of the CPP shares for Series M Common Stock Equivalent (“Series M”) and a warrant to purchase shares of Series M. On 9/11/2009, Series M automatically converted to 7,692,307,692
shares of common stock and the associated warrant terminated on receipt of certain shareholder approvals.
12/ On 8/24/2009, Treasury exchanged its Series C Preferred Stock issued by Popular, Inc. for a like amount of non tax-deductible Trust Preferred Securities issued by Popular Capital Trust III, administrative trustee for Popular, Inc. Popular, Inc. paid a $13 million exchange fee in connection with this transaction.
13/ This institution converted to a bank holding company structure and Treasury exchanged its securities for a like amount of securities that comply with the CPP terms applicable to bank holding companies. The institution in which Treasury's original investment was made is shown in parentheses.
14/ As of the date of this report, this institution is in bankruptcy proceedings.
15/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution, and "A" represents the proceeds to Treasury, before underwriting fees and selling expenses, from a sale by Treasury in a registered public offering of the warrants issued by the financial institution.
16/ On 12/10/2009, the bankruptcy reorganization plan of CIT Group Inc. became effective and Treasury's preferred stock and warrant investment were extinguished and replaced by Contingent Value Rights (CVRs). On 2/8/2010, the CVRs expired without value as the terms and conditions for distribution of common shares to holders of CVRs were not met.
17/ On 12/11/2009, Treasury exchanged its Series A Preferred Stock issued by Superior Bancorp, Inc. for a like amount of non tax-deductible Trust Preferred Securities issued by Superior Capital Trust II, administrative trustee for Superior Bancorp.
18/ On 2/1/2010, following the acquisition of First Market Bank (First Market) by Union Bankshares Corporation (the acquiror), the preferred stock and exercised warrants issued by First Market on 2/6/2009 were exchanged for a like amount of securities of the acquiror in a single series but with a blended dividend rate equivalent to those of Treasury's original
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/ As of the date of this report, the banking subsidiary of this institution has been placed in receivership and the subsidiary's assets and liabilities were ordered to be sold to another bank.
25a/ As of the date of this report, this institution has been placed in receivership and the assets and liabilities were ordered to be sold to another bank.
26/ On 9/30/2010, Treasury completed the sale of all Preferred Stock and Warrants issued by South Financial Group, Inc. to Toronto-Dominion Bank (TD) at an aggregate purchase price of $130,179,218.75 for the Preferred Stock and $400,000 for the Warrants, pursuant to the terms of the agreement between Treasury and TD entered into on 5/18/2010.
27/ On 6/30/2010, Treasury exchanged $46,400,000 of its Series A Preferred Stock in First Merchants Corporation for a like amount of non tax-deductible Trust Preferred Securities issued by First Merchants Capital Trust III.
28/ On 7/20/2010, Treasury completed the exchange of its $400,000,000 of Preferred Stock in First BanCorp for $424,174,000 of Mandatorily Convertible Preferred Stock (MCP), which is equivalent to the initial investment amount of $400,000,000, plus $24,174,000 of capitalized previously accrued and unpaid dividends. Subject to the fulfillment by First
BanCorp of certain conditions, including those related to its capital plan, the MCP may be converted to common stock. First BanCorp has agreed to have Treasury observers attend board of directors meetings.
29/ On 8/31/2010, following the completion of the conditions related to Pacific Capital Bancorp's (Pacific Capital) capital plan, Treasury exchanged its $180,634,000 of Preferred Stock in Pacific Capital for $195,045,000 of Mandatorily Convertible Preferred Stock (MCP), which is equivalent to the initial investment amount of $180,634,000, plus $14,411,000 of
capitalized previously accrued and unpaid dividends. On 9/27/2010, following the completion of the conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was converted into 360,833,250 shares of common stock of Pacific Capital. Pacific Capital has agreed to have Treasury observers attend board of directors
meetings.
30/ This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has completed an exchange of its Capital Purchase Program investment for an investment under the terms of the CDCI program. See "Community Development Capital Initiative" below.
30a/ At the time of this institution’s exchange into the CDCI program, the warrant preferreds were included in the total amount of preferred stock exchanged for Treasury’s CDCI investment. Therefore this disposition amount does not represent cash proceeds to Treasury.
31/ On 9/30/2010, Treasury completed the exchange of its $80,347,000 of Preferred Stock in Hampton Roads Bankshares, Inc. (Hampton) for a like amount of Mandatorily Convertible Preferred Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Hampton entered into on 8/12/2010. Since Hampton also fulfilled the
conversion conditions set forth in the Certificate of Designations for the MCP, Treasury’s $80,347,000 of MCP was subsequently converted into 52,225,550 shares of common stock.
32/ On 9/30/2010, Treasury completed the sale of all Preferred Stock and Warrants issued by TIB Financial Corp. to North American Financial Holdings, Inc. (NAFH) at an aggregate purchase price of $12,119,637.37 for the Preferred Stock and $40,000 for the Warrants, pursuant to the terms of the agreement between Treasury and NAFH entered into on
9/24/2010.
33/ On 3/4/2011, Treasury completed the sale to Community Bancorp LLC (“CBC”) of all Preferred Stock and Warrants issued by Cadence Financial Corporation (“Cadence”) to Treasury for an aggregate purchase price of $39,014,062.50, pursuant to the terms of the agreement between Treasury and CBC entered into on 10/29/2010.
34/ On 12/3/2010, Treasury completed the sale of all Preferred Stock (including the Preferred Stock received upon the exercise of warrants) issued by The Bank of Currituck (“Currituck”) to Treasury for an aggregate purchase price of $1,742,850, pursuant to the terms of the agreement between Treasury and Currituck entered into on 11/5/2010.
35/ Treasury entered into an agreement on 1/28/2011 with North American Financial Holdings, Inc. for the sale of all Preferred Stock and Warrants issued by Capital Bank Corporation to Treasury for an aggregate purchase price of $41,279,000. Since the conditions to closing of the sale were satisfied, the closing of the sale also occurred on 1/28/2011.
36/ On 2/15/2011, Treasury completed the sale of all Preferred Stock (including the Preferred Stock received upon the exercise of warrants) issued by Treaty Oak Bancorp (“Treaty Oak”) to Treasury for (i) a cash payment of $500,000, (ii) the right to receive up to $150,000 in principal payments on a note payable by Carlile Bancshares, Inc. in favor of Treaty
Oak, and (iii) a newly issued warrant to purchase 3,098,341 shares of Treaty Oak common stock, pursuant to the terms of the agreement between Treasury and Treaty Oak entered into on 2/15/2011.
37/ On 2/18/11, Treasury completed the exchange of its $135,000,000 of Preferred Stock (including accrued and unpaid dividends thereon) in Central Pacific Financial Corp.for not less than 5,620,117 shares of common stock, pursuant to an exchange agreement dated 2/17/2011.
38/ On 3/9/2011, Treasury completed the sale of all Subordinated Debentures (including the Subordinated Debentures received upon the exercise of warrants) issued by FBHC Holding Company ("FBHC") to Treasury for an aggregate purchase price of $650,000, pursuant to the terms of the agreement between Treasury and FBHC entered into on 3/9/2011.
39/ On 5/31/2011, Treasury completed the sale of all Preferred Stock and Warrants issued by First Community Bank Corporation of America (FCBCA) for an aggregate purchase price of (i) $7.20 million plus (ii) 72% of the remaining cash assets after giving effect to the payment of defined acquisition expenses, debts, liabilities and distributions to other classes
of security holders, pursuant to the terms of the agreement between Treasury and FCBCA entered into on 3/11/2011.
40/ As a result of the acquisition of Fidelity Resources Company (the acquired company) by Veritex Holdings, Inc. (the acquiror), the preferred stock and exercised warrants issued by the acquired company on 6/26/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the terms of an agreement among Treasury, the acquired
company and the acquiror entered into on 3/23/2011.

Page 1 of 2

41/ As a result of the acquisition of NC Bancorp, Inc. (the acquired company) by Metropolitan Bank Group, Inc. (the acquiror), Treasury exchanged $6,880,000 of its preferred stock in NC Bancorp, Inc. and $71,526,000 of its preferred stock in Metropolitan Bank Group, Inc. for $81,892,000 of a new series of preferred stock in Metropolitan Bank Group, Inc.,
which is equivalent to the combined initial investment amount of $78,406,000 plus $3,486,000 of capitalized previously accrued and unpaid dividends, pursuant to the terms of an agreement among Treasury, the acquired company and the acquiror entered into on 3/30/2011. Exercised warrants were also exchanged at the time of the agreement.
42/ On 5/3/2011, Treasury completed the sale of all First Federal Bancshares of Arkansas, Inc. Preferred Stock and Warrants held by Treasury to Bear State Financial Holdings, LLC (“Bear State”) for an aggregate purchase price of $6,000,000.00, pursuant to the terms of the agreement between Treasury and Bear State entered into on 05/03/2011.
43/ On 5/13/2011, Treasury completed the sale of all Wilmington Trust Corporation Preferred Stock held by Treasury to M&T Bank Corporation ("M&T") for an aggregate purchase price of $330,000,000.00 plus accrued dividends and exchanged its Wilmington Trust Corporation Warrant for an equivalent Warrant issued by M&T Bank Corporation, pursuant to
the terms of the agreement between Treasury and M&T entered into on 5/13/2011.
44/ On 7/5/2011, Treasury completed a transaction with Harris Financial Corp., a wholly-owned subsidiary of Bank of Montreal ("BMO"), for the sale of (i) all Marshall & Ilsley Corporation ("M&I") Preferred Stock held by Treasury for a purchase price of $1,715,000,000 plus accrued dividends and (ii) the Treasury-held M&I Warrant for an amount equal to
$3,250,000, pursuant to the terms of the agreement between Treasury and BMO entered into on 05/16/2011.
45/ On 6/3/2011, Treasury completed the sale of all Whitney Holding Corporation preferred stock and the related warrant held by Treasury to Hancock Holding Company ("HHC") for an aggregate purchase price equal to (i) the par amount of the preferred stock ($300,000,000) plus accrued and unpaid dividends thereon and (ii) $6,900,000 for the warrant,
pursuant to the terms of the agreement between Treasury and HHC entered into on 6/3/2011.
46/ On 06/22/2011, Treasury completed the sale of 2,850,000 shares of common stock at $12.590625 per share (which represents the $12.75 public offering price less underwriting discounts) for net proceeds of $35,883,281.25 pursuant to an underwriting agreement executed on 06/17/2011.
47/ On 6/30/2011, Treasury completed the sale of all Cascade Financial Corporation Preferred Stock held by Treasury and the related Warrant to Opus Acquisition, Inc. ("Opus") for an aggregate purchase price of $16,250,000.00, pursuant to the terms of the agreement between Treasury and Opus entered into on 06/28/2011.
48/ On 6/29/2011, Treasury entered into an agreement with Carver Bancorp, Inc. to exchange Treasury’s $18,980,000 of preferred stock for an equivalent amount of common stock. The exchange is subject to the fulfillment by Carver Bancorp, Inc. of certain conditions, including the satisfactory completion of a capital plan.
49/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 using proceeds received in connection with the institution’s participation in the Small Business Lending Fund.

Page 2 of 2

CAPITAL PURCHASE PROGRAM - CITIGROUP, INC.
COMMON STOCK DISPOSITION

Date
4/26/2010 5/26/2010
5/26/2010 6/30/2010
7/23/2010 9/30/2010
10/19/2010 12/6/2010
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 1 of 1

COMMUNITY DEVELOPMENT CAPITAL INITIATIVE

Seller

Footnote

Purchase Date

1
1, 2
1, 2
1
1
2a
1
1
1
1
2a
1
1

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

1, 2
1, 2
1, 2
1, 2
1
1
1
1
1
1

Name of Institution
Guaranty Capital Corporation
University Financial Corp, Inc.
Southern Bancorp, Inc.
Premier Bancorp, Inc.
Citizens Bancshares Corporation
PGB Holdings, Inc.
First American International Corp.
Tri-State Bank of Memphis
Mission Valley Bancorp
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.

Purchase Details

City
Belzoni
St. Paul
Arkadelphia
Wilmette
Atlanta
Chicago
Brooklyn
Memphis
Sun Valley
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

State
MS
MN
AR
IL
GA
IL
NY
TN
CA
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
Preferred Stock
Subordinated Debentures
Preferred Stock
Preferred Stock
Subordinated Debentures
Preferred Stock
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Preferred Stock
Preferred Stock
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

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

Date

Amount

Remaining Investment
Amount

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

Page 1 of 2

Seller

Footnote

Purchase Date

1

9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010

Name of Institution

City

State

Investment Description

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
Preferred Stock
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures

$
$
$
$
$
$
$
$
$

New York

NY

Subordinated Debentures

$

9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/30/2010

Chicago
Bridgeport
Rantoul
Del Rio
Burlington
Charlotte
New York
San Antonio
Washington
Oceanside
Kinston
Pittsburgh
Roanoke
Los Angeles
Terre Haute
Somerset
Hilo
Brooklyn

IL
CT
IL
TX
VT
NC
NY
TX
DC
CA
NC
PA
VA
CA
IN
NJ
HI
NY

Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

17,910,000
-

Disposition Details

Additional Investment

Investment Amount

Pricing
Mechanism

$
$
$
$
$
$
$
$
$

-

$
$
$
$
$
$
$
$
$

17,910,000
5,250,000
7,922,000
3,297,000
1,709,000
14,000
502,000
2,646,000
6,300,000

-

$

-

$

57,000

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

-

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

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

570,073,000

Remaining Investment
Amount

Par

-

Amount

Date

Par
Par
Par
Par
Par
Par
Par
Par
Par

Total Purchase Amount $

9/29/2010

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

Total Capital Repayment Amount

TOTAL TREASURY COMMUNITY DEVELOPMENT INITIATIVE (CDCI) INVESTMENT AMOUNT

$

$0

570,073,000

1/ This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has exchanged its Capital Purchase Program investment for an equivalent amount of investment with Treasury under the CDCI program terms.
2/ Treasury made an additional investment in this institution at the time it entered the CDCI program.
2a/ Treasury made an additional investment in this institution after the time it entered the CDCI program.

Page 2 of 2

AUTOMOTIVE INDUSTRY FINANCING PROGRAM

Initial Investment

City, State

Date

Transaction Type

Seller

12/29/2008

Purchase

GMAC

5/21/2009

Purchase

12/30/2009

Description
Preferred Stock w/
Exercised Warrants

Exchange/Transfer/Other Details
Pricing
Mechanism

Amount

Date

5,000,000,000

Par

GMAC

Convertible Preferred Stock
$
w/ Exercised Warrants

7,500,000,000

Par

22

12/30/2009

Purchase

GMAC

Convertible Preferred Stock
$
w/ Exercised Warrants

1,250,000,000

Par

22,
26

12/30/2010

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

5/20/2009

GMAC
(Ally)

$

Purchase

$

4,000,000,000

Par

Detroit, MI

12/30/2009

Type
Exchange for convertible
preferred stock
Partial conversion of
preferred stock for common
stock
Partial conversion of
preferred stock for common
stock
Exchange for amended and
restated Trust Preferred
Securities
Exchange for equity interest
in GMAC
Exchange for preferred and
common stock in New GM
Exchange for preferred and
common stock in New GM

Payment or Disposition1

Treasury Investment After Exchange/Transfer/Other
Pricing
Mechanism

Amount

Obligor

$

5,000,000,000

N/A

$

3,000,000,000

5,500,000,000

N/A

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

N/A

Convertible
Preferred Stock

Date

Type

Amount/ Proceeds

$ 5,937,500,000

26

$

Amount/Equity %

Remaining
Investment
Amount/Equity %

N/A

$

Description

Remaining
Investment
Description

GMAC (Ally)

21, 22

GMAC (Ally)

3, 26

Common Stock

73.8%

Trust Preferred
Securities

$ 2,670,000,000

3/2/2011 Disposition

10,
Preferred Stock
11, 24

$ 2,100,000,000

7/10/2009

Exchange for preferred and
common stock in New GM

10,
Common Stock
11, 25

60.8%

Purchase

General Motors
Corporation

360,624,198

Par

6

8

7/10/2009

Exchange for preferred and
common stock in New GM

$

360,624,198

N/A

1/16/2009

Purchase

Chrysler FinCo

Debt Obligation w/
Additional Note

$

$

30,100,000,000

1,500,000,000

Par

Par

7/10/2009

Exchange for preferred and
common stock in New GM

$ 22,041,706,310

N/A

Transfer of debt to New GM

$

7,072,488,605

N/A

7/10/2009

Purchase

Debt Obligation w/
Additional Note

$

7/10/2009

6/3/2009

General Motors
Corporation

Debt Obligation w/
Additional Note

Debt left at Old GM

$

985,805,085

N/A

$

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%

Partial Repayment

$

360,624,198 Debt Obligation

$

6,711,864,407

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

Partial Repayment

$

1,000,000,000 Debt Obligation

$

4,676,779,986

Repayment

$

4,676,779,986

$

0

3/31/2011

Partial Repayment

$

50,000,000 Debt Obligation

$

935,805,085

Partial Repayment

$

45,000,000 Debt Obligation

$

890,805,085

Partial Repayment

$

15,887,795 Debt Obligation

$

874,917,290

$

1,496,500,945

$

1,464,690,823

$

1,413,554,739

$

1,369,197,029

$

0

28

3
7
7 General Motors
Company
7
General Motors
Company

Detroit, MI
5/27/2009

12/15/2010 Repayment

5/3/2011

5

7/10/2009

0

4/5/2011

4

$

4/20/2010

7/10/2009

N/A

12/18/2009

Debt Obligation w/
Additional Note

5/29/2009

2,667,000,000

3/31/2010

General
Motors

General Motors
Corporation

Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note

2

27

$

7/10/2009

General Motors
Corporation
General Motors
Corporation
General Motors
Corporation

3/1/2011

7

General Motors
Holdings LLC

11, 12 Debt Obligation

$ 7,072,488,605

9
9
9 Motors
Liquidation

29

Debt Obligation

$

985,805,085

13

3/17/2009 Partial Repayment
4/17/2009 Partial Repayment

Chrysler
FinCo

N/A

5/18/2009 Partial Repayment

Farmington
Hills, MI

6/17/2009 Partial Repayment
7/14/2009 Repayment

$
$
$
$

Debt Obligation w/
3,499,055 Additional Note
Debt Obligation w/
31,810,122 Additional Note
Debt Obligation w/
51,136,084 Additional Note
Debt Obligation w/
44,357,710 Additional Note

$

1,369,197,029

Additional Note

7/14/2009

Chrysler Holding

Purchase

Chrysler Holding

5/1/2009

Purchase

Old Chrysler

5/20/2009

Purchase

Old Chrysler

4/29/2009
4/29/2009

Chrysler

Auburn
Hills, MI
5/27/2009

Purchase

New Chrysler

Debt Obligation w/
Additional Note, Zero
Coupon Note, Equity

$

4,000,000,000

$

-

$

280,130,642

$

1,888,153,580

$

-

Par
Par

6,642,000,000

N/A

19

Chrysler Holding

4/30/2010

17

6/10/2009

Completion of bankruptcy
proceeding; transfer of
collateral security to
liquidation trust

Issuance of equity in New
Chrysler

$ (1,888,153,580)

$

-

N/A

N/A

23 Old Carco
Liquidation Trust

Chrysler Group
LLC

Chrysler Group
LLC

Total Initial Investment Amount $

20

Debt obligation w/
$ 3,500,000,000
additional note

$

1,900,000,000

N/A

-

Repayment

$

280,130,642

N/A

5/10/2010

Proceeds from sale of collateral

$

30,544,528

Proceeds from sale of collateral

$
$

5/24/2011

Repayment - Principal

$

5,076,460,000

Repayment* - Additional Note

$

288,000,000

Repayment* - Zero Coupon Note

$

100,000,000

Total Payments $

N/A

15

18
$

500,000,000

Termination and settlement
payment 20

9/9/2010

$

34,299,229,021
403,000,000

14

16
-

Transfer of debt to New
Chrysler

5/14/2010

7/10/2009

6/10/2009

-

Additional Proceeds * $

Purchase

Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note

N/A

5/24/2011

Chrysler Holding

15,000,000

5/24/2011

Purchase

$

12/29/2010 Proceeds from sale of collateral

1/2/2009

Repayment*

23

N/A

19, 31 Debt obligation w/
additional note & $ 7,142,000,000
zero coupon note

30

81,344,932,551

Total Treasury Investment Amount $

Right to recover
proceeds

Common equity

$

Right to recover
proceeds
Right to recover
9,666,784
proceeds
Right to recover
7,844,409
proceeds

N/A

0
N/A
N/A
N/A

$

0

6.6%

43,557,549,950

Footnotes appear on following page.

Page 1 of 2

As used in this table and its footnotes:
GMAC refers to GMAC Inc., formerly known as GMAC LLC., and now known as Ally Financial, Inc. ("Ally").
"Old GM" refers to General Motors Corporation, which is now known as Motors Liquidation Company.
"New GM" refers to General Motors Company, the company that purchased Old GM's assets on 7/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code. See also footnote 11.
"Chrysler FinCo" refers to Chrysler Financial Services Americas LLC.
"Chrysler Holding" refers to CGI Holding LLC, the company formerly known as "Chrysler Holding LLC".
"Old Chrysler" refers to Old Carco LLC (fka Chrysler LLC).
"New Chrysler" refers to Chrysler Group LLC, the company that purchased Old Chrysler's assets on 6/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code.

1. Payment amount does not include accrued and unpaid interest on a debt obligation, which must be paid at the time of principal repayment.
2. Treasury committed to lend General Motors Corporation up to $1,000,000,000. The ultimate funding was dependent upon the level of investor participation in GMAC LLC's rights offering. The amount has been updated to reflect the final level of funding.
3. Pursuant to its rights under the loan agreement with Old GM reported on 12/29/2008, Treasury exchanged its $884 million loan to Old GM for a portion of Old GM’s common equity interest in GMAC. Treasury held a 35.4% common equity interest in GMAC until the transactions reported on 12/30/2009. (See transactions marked by orange line in the table above and footnote 22.)
4. This transaction is an amendment to Treasury's 12/31/2008 agreement with Old GM (the "Old GM Loan"), which brought the total loan amount to $15,400,000,000.
5. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,400,000,000.
6. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,760,624,198. The $360,624,198 loan was used to capitalize GM Warranty LLC, a special purpose vehicle created by Old GM . On 7/10/2009, the principal amount was included in the $7.07 billion of debt assumed by the new GM, as explained in footnote 10.
7. On 7/10/2009, the principal amount outstanding under the Old GM Loan and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM. (See green lines in the table above.)
8. Under the terms of the $33.3 billion debtor-in-possession credit agreement dated 6/3/2009 with Old GM (the "GM DIP Loan"), Treasury's commitment amount was $30.1 billion. The remaining $2.2 billion of the financing was provided by Canadian government entities. As of 7/09/2009, $30.1 billion of funds had been disbursed by Treasury.
9. On 7/10/2009, Treasury and Old GM amended the GM DIP Loan, and the principal amount and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM, except for (i) $7.07 billion, which was assumed by New GM as a new obligation under the terms of a separate credit agreement between Treasury and New GM (see
transactions marked by green lines in table above) and (ii) $986 million, which remained a debt obligation of Old GM.
10. In total, for the exchange of the Old GM Loan and the GM DIP Loan (other than as explained in footnote 9), Treasury received $2.1 billion in preferred shares and 60.8% of the common shares of New GM. (See transactions marked by green lines in the table above.)
11. Pursuant to a corporate reorganization completed on or about 10/19/2009, the shareholders of New GM, including with respect to Treasury's preferred and common stock, became shareholders of General Motors Holding Company (the ultimate parent company of New GM), which was renamed "General Motors Company" on an equal basis to their shareholdings in New GM, and New GM
was converted to "General Motors LLC". General Motors LLC is a wholly owned subsidiary of General Motors Holdings LLC, and General Motors Holdings LLC is a wholly owned subsidiary of General Motors Company.
12. Pursuant to a corporate reorganization completed on 10/19/2009, Treasury's loan with New GM was assigned and assumed by General Motors Holdings LLC.
13. The loan was funded through Chrysler LB Receivables Trust, a special purpose vehicle created by Chrysler FinCo. The amount of $1,500,000,000 represents the maximum loan amount. The loan was incrementally funded until it reached the maximum amount of $1.5 billion on 4/9/2009.
14. This transaction was an amendment to Treasury's 1/2/2009 agreement with Chrysler Holding. As of 4/30/2009, Treasury's obligation to lend any funds committed under this amendment had terminated. No funds were disbursed.
15. The loan was used to capitalize Chrysler Warranty SPV LLC, a special purpose vehicle created by Old Chrysler.
16. This transaction was set forth in a credit agreement with Old Chrysler fully executed on 5/5/2009 following a term sheet executed on 5/1/2009 and made effective on 4/30/2009. Treasury's commitment was $3.04 billion of the total $4.1 billion debtor-in-possession credit facility (the "Chrysler DIP Loan"). As of 6/30/2009, Treasury's commitment to lend under the Chrysler DIP Loan had
terminated. The remaining principal amount reflects the final amount of funds disbursed under the Chrysler DIP Loan.
17. This transaction was an amendment to Treasury's commitment under the Chrysler DIP Loan, which increased Treasury's commitment by an amount $756,857,000 to a total of $3.8 billion under the Chrysler DIP Loan. As of 6/30/2009, Treasury's obligation to lend funds committed under the Chrysler DIP Loan had terminated.
18. This transaction, first reported based on a term sheet fully executed on 5/27/2009 for an amount up to $6.943 billion, was set forth in a credit agreement with New Chrysler fully executed on 6/10/2009. Under the terms of the credit agreement, Treasury made a new commitment to New Chrysler of up to $6.642 billion. The total loan amount is up to $7.142 billion including $500 million of debt
assumed on 6/10/2009 from Chrysler Holding originally incurred under Treasury's 1/2/2009 credit agreement with Chrysler Holding. The debt obligations are secured by a first priority lien on the assets of New Chrysler. When the sale to new Chrysler was completed, Treasury acquired the rights to 9.85% of the common equity in new Chrysler.
19. Pursuant to the agreement explained in footnote 18, $500 million of this debt obligation was assumed by New Chrysler.
20. Under loan agreement, as amended on 7/23/2009, Treasury was entitled to proceeds Chrysler Holdco received from Chrysler FinCo equal to the greater of $1.375 billion or 40% of the equity value of Chrysler FinCo. Pursuant to a termination agreement dated 5/14/2010, Treasury agreed to accept a settlement payment of $1.9 billion as satisfaction in full of all existing debt obligations
(including additional notes and accrued and unpaid interest) of Chrysler Holdco, and upon receipt of such payment to terminate all such obligations.
21. Amount of the Treasury investment exchange includes the exercised warrants from Treasury's initial investments.
22. Under the terms of an agreement dated 12/30/2009, the convertible preferred shares will mandatorily convert to common stock under the conditions and the conversion price as set forth in the terms of the agreement.
23. On April 30, 2010, the Plan of Liquidation for the debtors of Old Chrysler approved by the respective bankruptcy court became effective (the “Liquidation Plan”). Under the Liquidation Plan, the loan Treasury had provided to Old Chrysler was extinguished without repayment, and all assets of Old Chrysler were transferred to a liquidation trust. Treasury retained the right to recover the proceeds
from the liquidation from time to time of the specified collateral security attached to such loan.
24. On October 27, 2010, Treasury accepted an offer by General Motors Company (GM) to repurchase all of the approximately $2.1 billion preferred stock at a price per share of $25.50, which is equal to 102% of the liquidation preference, subject to the closing of the proposed initial public offering of GM’s common stock. The repurchase was completed on 12/15/2010.
25. On 11/17/2010, Treasury agreed to sell 358,546,795 shares of common stock at $32.7525 per share (which represents the $33 public sale price less underwriting discounts and fees) pursuant to an underwriting agreement. Following settlement, the net proceeds to Treasury were $11,743,303,903. On 11/26/2010, the underwriters exercised their option to purchase an additional 53,782,019
shares of common stock from Treasury at the same purchase price resulting in additional proceeds of $1,761,495,577. Treasury's aggregate net proceeds from the sale of common stock pursuant to the underwriting agreement total $13,504,799,480.
26. On 12/30/2010, Treasury converted $5,500,000,000 of the total convertible preferred stock then outstanding and held by Treasury (including exercised warrants) into 531,850 shares of common stock of Ally. Following this conversion, Treasury holds $5,937,500,000 of convertible preferred stock.
27. On 3/1/2011, Treasury entered into an agreement with Ally Financial, Inc. (Ally) and certain other parties to amend and restate the $2,667,000,000 in aggregate liquidation preference of its Ally trust preferred securities so to facilitate a public underwritten offering. At the time of amendment and restatement, Treasury received all outstanding accrued and unpaid dividends and a distribution fee
28. On 3/2/2011, Treasury entered into an underwritten offering for all of its Ally trust preferred securities, the proceeds of which were $2,638,830,000, which together with the distribution fee referred to in footnote 27, provided total disposition proceeds to Treasury of $2,667,000,000. This amount does not include the accumulated and unpaid dividends on the trust preferred securities from the
date of the amendment and restatement through but excluding the closing date that Treasury will receive separately at settlement.
29. On March 31, 2011, the Plan of Liquidation for Motors Liquidation Company (Old GM) became effective, Treasury’s $986 million loan to Old GM was converted to an administrative claim and the assets remaining with Old GM, including Treasury's liens on certain collateral and other rights attached to the loan, were transferred to liquidation trusts. Under the Plan of Liquidation, Treasury
retained the right to recover additional proceeds; however, any additional recovery is dependent on actual liquidation proceeds and pending litigation.
30. In June 2009, Treasury provided a $6.6 billion loan commitment to Chrysler Group LLC (as of March 31, 2011, $2.1 billion remained undrawn), and received a 9.9 percent equity ownership in Chrysler Group LLC (Chrysler). In January and April 2011, Chrysler met the first and second of three performance related milestones and Fiat’s ownership automatically increased from 20% to 30%. As a
result, 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. Currently, Treasury’s ownership stands at 6.6%.
31 On May 24, 2011, Chrysler Group LLC terminated its ability to draw on the remaining $2.066 billion outstanding under this loan facility.

AUTOMOTIVE SUPPLIER SUPPORT PROGRAM
Seller
Footnote

Date

Name of Institution

City

State

Transaction Type

Investment
Description

Investment
Amount

Pricing Mechanism

Adjustment
Date

Adjustment Details
Adjustment
Adjusted or Final
Amount
Investment Amount

Date

Type

Payment or Disposition4
Remaining Investment
Description
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note

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

Repayment5

Additional Note

$

123,076,735

4/7/2010

Payment7

None

$

44,533,054

Total Proceeds from Additional Notes

$

101,074,947

11/20/2009
1

4/9/2009

GM Supplier Receivables LLC

Wilmington

DE

Purchase

Debt Obligation
$ 3,500,000,000
w/ Additional Note

7/8/2009

3

$ (1,000,000,000) $

6

2

4/9/2009

Chrysler Receivables SPV LLC

INITIAL TOTAL

$

5,000,000,000

Wilmington

DE

Purchase

ADJUSTED TOTAL

Debt Obligation
$ 1,500,000,000
w/ 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

N/A
7

Total Repayments

$

413,076,735

$

140,000,000

$

100,000,000

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
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
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 2 of 2

TARGETED INVESTMENT PROGRAM

Seller

Footnote
1

Date

Name of Institution

12/31/2008 Citigroup Inc.
Bank of America
1/16/2009 Corporation

Treasury Investment Remaining After Capital
Repayment

Capital Repayment Details

City

State

Transaction
Type

New York

NY

Purchase

Charlotte

NC

Purchase

Investment Description Investment Amount
Trust Preferred Securities
w/ Warrants
$
20,000,000,000
Preferred Stock w/
Warrants
$
20,000,000,000
TOTAL

$

40,000,000,000

Pricing
Mechanism

Capital
Repayment Date

Par

12/23/2009

Final Disposition
Proceeds

Capital Repayment
Amount
2

Remaining Capital
Description

Final Disposition
Final
Disposition
Description
Final Disposition Date 3

Remaining
Capital Amount

$

20,000,000,000

$

0

Warrants

1/25/2011

A

Warrants

$

190,386,428

$

20,000,000,000

$

0

Warrants

3/3/2010

A

Warrants

$

1,255,639,099

$

40,000,000,000

$

1,446,025,527

2

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, before underwriting fees and selling expenses, from a sale by Treasury in a registered public offering of the warrants issued by the financial institution.
ASSET GUARANTEE PROGRAM
Initial Investment
Footnote

Date

Seller
Name of Institution

City

State

Type

Premium
Description

Guarantee Limit

Description

Amount

Exchange/Transfer/Other Details
Footnote

Date

2

6/9/2009

Type

Payment or Disposition
Description

Footnote

Date

Type

Amount

Remaining
Premium

3

1/16/2009 Citigroup Inc.

12/23/2009 Citigroup Inc.

New York

New York

NY

NY

Guarantee

Termination

Master Agreement

Termination Agreement
TOTAL

$

$
$

5,000,000,000

Preferred Stock
w/ Warrants

$

4,034,000,000
4

9/29/2010

Exchange trust preferred
securities for trust preferred
securities

Trust Preferred
Securities w/ Warrants

$

4,034,000,000

3

Partial cancellation for early
12/23/2009 termination of guarantee

Trust Preferred
$ (1,800,000,000) Securities w/ Warrants

$2,234,000,000

$

2,246,000,000

5

9/30/2010 Disposition

$ 2,246,000,000 Warrants

$

0

1/25/2011 Warrant Auction

1

Exchange preferred stock
Trust Preferred
for trust preferred securities Securities w/ Warrants

Amount

Remaining Premium
Description

$

$

0

67,197,045 None

(5,000,000,000)
0

Total Proceeds

$ 2,313,197,045

1/ In consideration for the guarantee, Treasury received $4.03 billion of preferred stock, which pays 8% interest.
2/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock Series G (AGP Shares), received as premium with the AGP agreement, “dollar for dollar” for Trust
Preferred Securities.
3/ On 12/23/2009, Treasury entered into a Termination Agreement with the other parties to the Master Agreement which served to terminate Treasury’s guarantee and obligations under the Master Agreement. In connection with the early termination of the guarantee, Treasury agreed to cancel $1.8 billion of the AGP Trust Preferred Securities, and the Federal Deposit Insurance Corporation (FDIC) and Treasury agreed that,
subject to the conditions set out in the Termination Agreement, the FDIC may transfer $800 million of Trust Preferred Securities to Treasury at the close of Citigroup’s participation in the FDIC’s Temporary Liquidity Guarantee Program.
4/ On 9/29/2010, Treasury entered into an agreement with Citigroup Inc. to exchange $2,234,000,000 in aggregate liquidation preference of its trust preferred securities for $2,246,000,000 in aggregate liquidation preference of trust preferred securities with certain modified terms. At the time of exchange, Citigroup Inc. paid the outstanding accrued and unpaid dividends.
5/ On 9/30/2010, Treasury entered into underwritten offering of the trust preferred securities, the gross proceeds of which do not include accumulated and unpaid distributions from the date of the exchange through the closing date.

Page 1 of 1

AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM
(formerly referred to as Systemically Significant Failing Institutions Program)
Purchase Details

Seller
Name of Institution

City

Transaction
Type
State

Investment Description

Exchange/Transfer Details
Date

Date

1

11/25/2008

AIG

New York

NY

Purchase

Preferred Stock w/ Warrants
(Series D)

$

40,000,000,000

Par

2, 3

4/17/2009

AIG

New York

NY

Purchase

Preferred Stock w/ Warrants
(Series F)

$

29,835,000,000

Par

2

Transaction Type

4/17/2009

Pricing Mechanism

Investment Amount

Note

Exchange

Amount

Investment Description
Preferred Stock w/ Warrants
(Series E)

1

Pricing
Mechanism

$ 40,000,000,000

Par

See table below for exchange/transfer details in connection with the recapitalization conducted on 1/14/2011.
Final Disposition

TOTAL

$

Date

69,835,000,000

Investment

Pricing
Mechanism

Proceeds

Transaction Type

Warrants (Series E)
Warrants (Series F)

Total

1/ On 4/17/2009, Treasury exchanged its Series D Fixed Rate Cumulative Preferred Shares for Series E Fixed Rate Non-Cumulative Preferred Shares with no change to Treasury's initial investment amount. In addition, in order for AIG to fully redeem the Series E Preferred Shares, it had an additional obligation to Treasury of $1,604,576,000 to
reflect the cumulative unpaid dividends for the Series D Preferred Shares due to Treasury through and including the exchange date.
2/ The investment amount reflected Treasury's commitment to invest up to $30 billion less a reduction of $165 million representing retention payments AIG Financial Products made to its employees in March 2009.
3/ This transaction does not include AIG's commitment fee of an additional $165 million paid from its operating income over the life of the facility. A $55 million payment was received by Treasury on 12/17/2010. The remaining $110 million payment was received by Treasury on 05/27/2011.

AIG POST-RECAPITALIZATION
Treasury Holdings Post-Recapitalization

Recapitalization

Note

Date

Investment Description

Transaction Type

Pricing Mechanism

Exchange

Par

Final Disposition

Investment Description

Date

Amount / Shares

Pricing
Mechanism

Proceeds 8

Transaction Type

1/14/2011

Preferred Stock (Series F)

Exchange

N/A
ALICO Junior Preferred Interests

Exchange
5
6

1/14/2011
1/14/2011

Preferred Stock (Series E)
Common Stock (non-TARP)

Exchange
Transfer

16,916,603,568

7

$

3,375,328,432

7

$

Payment

$

185,726,192

3/8/2011

Payment

$

5,511,067,614

Par

Payment

$

55,833,333

Par

2/14/2011

Payment

$

2,009,932,072

Par

Payment

$

1,383,888,037

Par

5/24/2011

Partial Disposition

$

5,800,000,000

N/A

-

N/A

167,623,733
N/A

Common Stock

924,546,133
562,868,096

$

-

10

Par

3/8/2011

4

$

2,000,000,000

Cancellation

3/15/2011

AIA Preferred Units

$

5/27/2011
2/14/2011

Preferred Stock (Series G)

Remaining Recap
Investment Amount,
Shares, or Equity %

$ 11,163,976,429

8

$

8

0
1,455,037,962

9

77%
Total

$

14,946,447,248

4/ On 1/14/2011, (A) Treasury exchanged $27,835,000,000 of Treasury's investment in AIG's Fixed Rate Non-Cumulative Perpetual Preferred Stock (Series F) which is equal to the amount funded (including amounts drawn at closing) under the Series F equity capital facility, for (i) the transferred SPV preferred interests and (ii) 167,623,733 shares of
AIG Common Stock, and (B) Treasury exchanged $2,000,000,000 of undrawn Series F for 20,000 shares of preferred stock under the new Series G Cumulative Mandatory Convertible Preferred Stock equity capital facility under which AIG has the right to draw up to $2,000,000,000.
5/ On 1/14/2011, Treasury exchanged an amount equivalent to the $40 billion initial investment plus capitalized interest from the April 2009 exchange (see note 1 above) of Fixed Rate Non-Cumulative Perpetual Preferred Stock (Series E) for 924,546,133 shares of AIG Common Stock.
6/ On 1/14/2011, Treasury received 562,868,096 shares of AIG Common Stock from the AIG Credit Facility Trust, which trust was established in connection with the credit facility between AIG and the Federal Reserve Bank of New York. This credit facility was repaid and terminated pursuant to this recapitalization transaction. The trust had received
562,868,096 shares of AIG common stock in exchange for AIG's Series C Perpetual, Convertible Participating Preferred Stock, which was previously held by the trust for the benefit of the U.S. Treasury.
7/ The amount of Treasury's AIA Preferred Units and ALICO Junior Preferred Interests holdings do not reflect preferred returns on the securities that accrue quarterly.
8/ Proceeds include amounts applied to pay (i) accrued preferred returns and (ii) redeem the outstanding liquidation amount.
9/ On 5/27/2011, Treasury completed the sale of 200,000,000 shares of common stock at $29.00 per share for an aggregate amount equal to $5,800,000,000, pursuant to an underwriting agreement executed on 05/24/2011.
10/ On 5/27/2011, pursuant to the terms of the agreements governing the Preferred Stock (Series G), the available amount of the Preferred Stock (Series G) was reduced to $0 as a result of AIG’s primary offering of its common stock and the Preferred Stock (Series G) was cancelled.

Page 1 of 1

CONSUMER AND BUSINESS LENDING INITIATIVE INVESTMENT PROGRAM
Seller
Footnote

Date

Name of Institution

City

State

Transaction
Type

Investment Amount

Investment Description

Pricing Mechanism

Adjusted Investment
Date
Amount
2

1

3/3/2009

TALF LLC

Wilmington

DE

Purchase

Debt Obligation w/ Additional Note
TOTAL

$

20,000,000,000

$

N/A

7/19/2010

$

4,300,000,000

4,300,000,000

1/ The loan was funded through TALF LLC, a special purpose vehicle created by The Federal Reserve Bank of New York ("FRBNY"). The amount of $20,000,000,000 represents the maximum loan amount. The loan will be incrementally funded.
2/ On 7/19/2010, Treasury, the FRBNY and TALF LLC entered into an amendment of the credit agreement previously entered into on 3/3/2009, which amendment reduced Treasury's maximum loan amount to $4,300,000,000.

Page 1 of 1

SMALL BUSINESS AND COMMUNITY LENDING INITIATIVE
SBA 7a Securities Purchase Program
Purchase Details 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
3
Amount
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

4,070,000
7,617,617
8,030,000
23,500,000
8,900,014
10,751,382
12,898,996
8,744,333
8,417,817
17,119,972
34,441,059
28,209,085
6,004,156
6,860,835
13,183,361
2,598,386
9,719,455
8,279,048
5,000,000
10,000,000
9,272,482
10,350,000
6,900,000
8,902,230
8,050,000
5,750,000
5,741,753
3,450,000
11,482,421
13,402,491
14,950,000

$

Investment Amount

Pricing Mechanism

TBA or
3
PMF

Settlement Date

107.75
109
108.875
110.502
107.5
106.806
109.42
110.798
110.125
109.553
110.785
112.028
106.625
108.505
111.86
108.4375
106.75
110.198
110.088
110.821
110.515
112.476
105.875
111.584
110.759
106.5
110.5
110.875
113.838
113.9
114.006

-

3/24/2010
3/24/2010
3/24/2010
5/28/2010
4/30/2010
6/30/2010
6/30/2010
6/30/2010
7/30/2010
7/30/2010
8/30/2010
8/30/2010
9/30/2010
9/30/2010
9/30/2010
9/30/2010
10/29/2010
9/30/2010
10/29/2010
10/29/2010
9/29/2010
10/29/2010
11/30/2010
10/29/2010
11/30/2010
11/30/2010
11/30/2010
11/30/2010
12/30/2010
11/30/2010
12/30/2010

332,596,893

2, 3

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

2,184
4,130
4,348
12,983
4,783
5,741
7,057
4,844
4,635
9,377
19,077
15,801
3,200
3,722
7,373
1,408
5,187
4,561
2,752
5,541
5,123
5,820
3,652
4,966
4,458
3,061
3,172
1,912
6,535
7,632
8,521
183,555

$

4,377,249
8,279,156
8,716,265
26,041,643
9,598,523
11,511,052
14,151,229
9,717,173
9,294,363
18,801,712
38,273,995
31,693,810
6,416,804
7,462,726
14,789,302
2,826,678
10,394,984
9,150,989
5,520,652
11,115,031
10,277,319
11,672,766
7,319,688
9,962,039
8,940,780
6,134,172
6,361,173
3,834,428
13,109,070
15,308,612
17,092,069

Senior Security
Proceeds 4

Total Senior Security Proceeds $

TOTAL INVESTMENT AMOUNT

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

TBA or
PMF3
-

Final Disposition

368,145,452 *

6

Purchase Face
Amount 3

Life-to-date
Principal
Received 1, 8

Current Face
Amount 6, 8

Disposition
Amount 5, 6

Trade Date

PMF

6/21/2011

-

$

4,070,000

$

3,151,186

$

6/21/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011

-

$
$
$
$
$
$
$

8,030,000
23,500,000
8,900,014
10,751,382
12,898,996
8,744,333
8,417,817

$
$
$
$
$
$
$

5,964,013
22,350,367
6,542,218
9,819,270
12,570,392
8,483,188
8,171,159

$
$
$
$
$
$
$

1,985,470
1,103,935
2,250,945
869,055
300,770
243,669
223,899

$
$
$
$
$
$
$

6,555,383
25,039,989
7,045,774
10,550,917
13,886,504
9,482,247
8,985,818

6/21/2011

-

$

34,441,059

$

32,656,125

$

1,603,564 $

36,072,056

6/21/2011

-

$

6,004,156

$

5,656,049

$

309,031 $

6,051,772

6/21/2011

-

$

13,183,361

$

12,704,841

$

208,960 $

14,182,379

6/21/2011

-

$

9,719,455

$

9,531,446

$

164,331 $

10,223,264

888,622 $

Disposition Proceeds

TOTAL PROGRAM PROCEEDS TO DATE7 $

$

3,457,746

151,533,849 *

181,051,291 *

* Subject to adjustment
1/ The amortizing principal and interest payments are reported on the monthly Dividends and Interest Report available at www.FinancialStability.gov.
2/ Investment Amount is stated after applying the appropriate month's factor and includes accrued interest paid at settlement, if applicable.
3/ If a purchase is listed as TBA, or To-Be-Announced, the underlying loans in the SBA Pool have yet to come to market, and the TBA pricing mechanism, purchase face amount, investment amount and senior security proceeds will be adjusted within the variance permitted under the program terms.
If a purchase is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security and senior security are priced according to the prior-month's factor. The PMF investment amount and senior security proceeds will be adjusted
after publication of the applicable month's factor (on or about the 11th business day of each month).
4/ In order to satisfy the requirements under Section 113 of the Emergency Economic Stabilization Act of 2008, Treasury will acquire a senior indebtedness instrument (a Senior Security) from the seller of each respective SBA 7a Security. Each Senior Security will (i) have an aggregate principal
amount equal to the product of (A) 0.05% and (B) the Investment Amount (excluding accrued interest) paid by Treasury for the respective SBA 7a Security, and (ii) at the option of the respective seller, may be redeemed at par value immediately upon issuance, or remain outstanding with the terms
and conditions as set forth in the Master Purchase Agreement.
5/ Disposition Amount is stated after applying the appropriate month's factor and includes accrued interest received at settlement, if applicable. If the disposition is listed as PMF, the disposition amount will be adjusted after publication of the applicable month's factor.
6/ If a disposition is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security is priced according to the prior-month's factor. The PMF disposition amount will be adjusted after publication of the applicable month's factor
(on or about the 11th business day of each month).
7/ Total Program Proceeds To Date includes life-to-date disposition proceeds, life-to-date principal received, life-to-date interest received, and senior security proceeds (excluding accruals).
8/ The sum of Current Face Amount and Life-to-date Principal Received will equal Purchase Face Amount only after the applicable month's factor has been published and trailing principal & interest payments have been received.

Page 1 of 1

LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)

Seller

Footnote

Date

1

9/30/2009

Name of Institution

City

9/30/2009

UST/TCW Senior Mortgage Securities Fund, L.P.

Wilmington

Transaction
Type
State

Wilmington

DE

Purchase

Investment Description

DE

Purchase

Membership Interest

Pricing
Investment Amount Mechanism

Debt Obligation w/ Contingent Proceeds

$

$

1,111,111,111

2,222,222,222

Par

Date

Par

1/4/2010

3

Amount

1/4/2010

4 $

Final Investment Amount

Date

4 $

156,250,000

7

Amount
4 $

200,000,000

4 $

156,250,000

Capital Repayment Details
Repayment
Date

Investment After Capital Repayment

Repayment
Amount

Amount

Description

Distribution or Disposition

Date

Description

200,000,000

1/15/2010

1/11/2010

$

$

156,250,000

34,000,000

$

$

0

Membership Interest

5

Distribution

Final Distribution

Debt Obligation w/
166,000,000 Contingent Proceeds

5

1
2

9/30/2009
9/30/2009

Invesco Legacy Securities Master Fund, L.P.
Invesco Legacy Securities Master Fund, L.P.

Wilmington
Wilmington

DE
DE

Purchase
Purchase

Membership Interest
Debt Obligation w/ Contingent Proceeds

$
$

1,111,111,111
2,222,222,222

Par
Par

3/22/2010 6 $ 1,244,437,500

7/16/2010

3/22/2010 6 $ 2,488,875,000 7/16/2010

$
$

166,000,000

$

0

Distribution

2/24/2010

$

$

20,091,872

$

48,922

$

502,302

5 $

1,223

$

20,644,319

5

N/A
1/29/2010

1/12/2010

Proceeds

5

1/29/2010
2/24/2010

2

UST/TCW Senior Mortgage Securities Fund, L.P.

Adjusted Investment

Final Distribution

Contingent Proceeds

856,000,000
1,712,000,000

3/22/2010 6 $ 1,262,037,500

7/16/2010

$

10/1/2009

Wellington Management Legacy Securities PPIF Master Fund, LP

Wilmington

DE

Purchase

Debt Obligation w/ Contingent Proceeds

$

2,222,222,222

Par

3/22/2010 6 $ 2,524,075,000

7/16/2010

$

10/2/2009

AllianceBernstein Legacy Securities Master Fund, L.P.

Wilmington

DE

Purchase

Membership Interest

$

1,111,111,111

Par

3/22/2010 6 $ 1,244,437,500

7/16/2010

$

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

132,928,628

$

1,507,093,546

31,689,230

$

1,475,404,316

$

27,355,590

$

1,448,048,726

$

92,300,138

$

1,355,748,588

$

128,027,536

$

1,227,721,052

$

155,409,286

$

1,072,311,766

$

75,085,485

$

997,226,281

$

18,259,513

$

978,966,768

1,150,423,500

2

1,640,022,174

2,298,974,000

1

$

1,149,487,000

2

60,022,674

6/14/2011
Par

$

5/20/2011

1,111,111,111

1,700,044,848

4/14/2011

$

$

3/14/2011

Membership Interest

7,066,434

2/14/2011

Purchase

$

1/14/2010

DE

1,707,111,282

12/14/2010 $

Wilmington

$

11/15/2010 $

Wellington Management Legacy Securities PPIF Master Fund, LP

4,888,718

9/15/2010

10/1/2009

$

4/15/2010

1

2/18/2010

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
Debt Obligation w/
Contingent Proceeds

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

$

10/2/2009

Blackrock PPIF, L.P.

Wilmington

DE

Purchase

Debt Obligation w/ Contingent Proceeds

$

2,222,222,222

Par

3/22/2010 6 $ 2,488,875,000

7/16/2010

$

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

$

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

$

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

$

11/4/2009

RLJ Western Asset Public/Private Master Fund, L.P.

Wilmington

DE

Purchase

Debt Obligation w/ Contingent Proceeds

$

2,222,222,222

Par

3/22/2010 6 $ 2,488,875,000

7/16/2010

$

1,241,156,516

1

11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P.

Wilmington

DE

Purchase

Membership Interest

$

1,111,111,111

Par

3/22/2010 6 $ 1,244,437,500

7/16/2010

$

474,550,000

2

11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P.

Wilmington

DE

Purchase

Debt Obligation w/ Contingent Proceeds

$

2,222,222,222

Par

3/22/2010 6 $ 2,488,875,000

7/16/2010

$

949,100,000

1

12/18/2009 Oaktree PPIP Fund, L.P.

Wilmington

DE

Purchase

Membership Interest

$

1,111,111,111

Par

3/22/2010 6 $ 1,244,437,500

7/16/2010

$

1,160,784,100

2

12/18/2009 Oaktree PPIP Fund, L.P.

Wilmington

DE

Purchase

Debt Obligation w/ Contingent Proceeds

$

2,222,222,222

Par

3/22/2010 6 $ 2,488,875,000

7/16/2010

$

2,321,568,200

$

30,000,000,000

$

620,578,258

2

Debt Obligation w/
1,227,624,986 Contingent Proceeds

2,486,550,000

1

$

1,243,275,000

2

88,087

1,389,960,000

1

$

694,980,000

2

30,244,575

6/14/2011 $
1

5/16/2011 $

Debt Obligation w/
2,270,602,425 Contingent Proceeds
Debt Obligation w/
2,270,514,339 Contingent Proceeds

INITIAL INVESTMENT AMOUNT

FINAL INVESTMENT AMOUNT

$ 22,406,483,574

5/13/2011 $

13,531,530

TOTAL CAPITAL REPAYMENT AMOUNT $

1,133,147,423

TOTAL PROCEEDS

1/ The equity amount may be incrementally funded. Investment amount represents Treasury's maximum obligation if the limited partners other than Treasury fund their maximum equity capital obligations.
2/ The loan may be incrementally funded. Investment amount represents Treasury's maximum obligation if Treasury and the limited partners other than Treasury fund 100% of their maximum equity obligations.
3/ Adjusted to show Treasury's maximum obligations to a fund.
4/ On 1/4/2010, Treasury and the fund manager entered into a Winding-Up and Liquidation Agreement.
5/ Profit after capital repayments will be paid pro rata (subject to prior distribution of Contingent Proceeds to Treasury) to the fund's partners, including Treasury, in respect of their membership interests.
6/ Following termination of the TCW fund, the $3.33 billion of obligations have been reallocated to the remaining eight funds pursuant to consent letters from Treasury dated as of 3/22/2010. $133 million of maximum equity capital obligation and $267 million of maximum debt obligation were reallocated per fund, after adjustment for the $17.6 million and $26.9 million equity capital reallocations from private investors in
the TCW fund to the Wellington fund and the AG GECC fund, respectively. The $356 million of final investment in the TCW fund will remain a part of Treasury's total maximum S-PPIP investment amount.
7/ Amount adjusted to show Treasury's final capital commitment (membership interest) and the maximum amount of Treasury's debt obligation that may be drawn down in accordance with the Loan Agreement.

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