Full text of Transactions Report (Troubled Asset Relief Program) : Transactions Report for Period Ending October 27, 2010

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U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Transactions Report
For Period Ending October 27, 2010
CAPITAL PURCHASE PROGRAM

Seller

Footnote
1b
11, 23 5/26/2010

14

3a 11/24/2009

Purchase Details

Name of Institution

Purchase Date

City

Investment Amount

Pricing
Mechanism

Bank of America Corporation
The Bank of New York Mellon Corporation

10/28/2008

Citigroup Inc.

New York

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

11/14/2008

Broadway Financial Corporation

Los Angeles

CA

Preferred Stock

$

9,000,000

Par

11/14/2008
11/14/2008

Seattle
Winston-Salem

WA
NC

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

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

Par
Par

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

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

Baltimore
Portland
Dallas
Birmingham
McLean
Memphis
Columbus
Cleveland

MD
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
Preferred Stock w/ Warrants

$
$
$
$
$
$
$
$

151,500,000
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
Par

11/14/2008

Valley National Bancorp

Wayne

NJ

Preferred Stock w/ Warrants

$

300,000,000

Par

Zions Bancorporation
Marshall & Ilsley Corporation
U.S. Bancorp
TCF Financial Corporation
First Niagara Financial Group
HF Financial Corp.
Centerstate Banks of Florida Inc.

Salt Lake City
Milwaukee
Minneapolis
Wayzata
Lockport
Sioux Falls
Davenport

NC
NY

Investment Description

10/28/2008
10/28/2008

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

Charlotte
New York

State

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

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

NY

Common Stock w/ Warrants

$

25,000,000,000

Par

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

UT
WI
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
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$
$
$
$
$
$

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

1,400,000,000
1,715,000,000
6,599,000,000
361,172,000
184,011,000
25,000,000
27,875,000

Par
Par

Par
Par
Par
Par
Par
Par
Par

Capital
Repayment Date
12/9/2009
6/17/2009
**

4
4

Capital Repayment
Amount (Loss) 6

Remaining Capital
Amount

29 9/24/2010

City National Corporation

Beverly Hills

CA

Preferred Stock w/ Warrants

$

400,000,000

Par

11/21/2008
11/21/2008

First Community Bankshares Inc.
Western Alliance Bancorporation

Bluefield
Las Vegas

VA
NV

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

41,500,000
140,000,000

Par
Par

11/21/2008

Webster Financial Corporation

Waterbury

CT

Preferred Stock w/ Warrants

$

400,000,000

Par

11/21/2008

Pacific Capital Bancorp

Santa Barbara

CA

Common Stock w/ Warrants

$

195,045,000

Par

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

Heritage Commerce Corp.
Ameris Bancorp
Porter Bancorp Inc.
Banner Corporation
Cascade Financial Corporation
Columbia Banking System, Inc.
Heritage Financial Corporation

San Jose
Moultrie
Louisville
Walla Walla
Everett
Tacoma
Olympia

CA
GA
KY
WA
WA
WA
WA

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

$
$
$
$
$
$
$

40,000,000
52,000,000
35,000,000
124,000,000
38,970,000
76,898,000
24,000,000

Par
Par
Par
Par
Par
Par
Par

Final Disposition
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

$
$
$
$
$

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

$
$
$
$
$

0
0
0
0
0

Warrants
Warrants
Warrants
Warrants
Warrants

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

Warrants
Warrants
Warrants
Warrants
Warrants

15
1b

Final Disposition
Proceeds

A $
R $

186,342,969
136,000,000

23

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

4

6/17/2009

4

$

1,576,000,000

$

0

Warrants

8/26/2009

5/27/2009
6/17/2009

4

$
$

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

$
$

0
0

Warrants
Warrants

2/17/2010
3/17/2010

5

$
$

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

$
$

0
0

6/17/2009

4

$

3,555,199,000

$

0

6/3/2009

4

$

75,000,000

$

225,000,000

9/23/2009

4

$

125,000,000

$

100,000,000

12/23/2009

4

$

100,000,000

$

0

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

$

200,000,000

$

4
4
5
4

4

4

4
5
4
5
4

11/21/2008

Remaining
Investment
Description

12/30/2009

200,000,000

3/3/2010

4

$

200,000,000

$

0

7/8/2009

5

$

41,500,000

$

0

3/3/2010

4

$

100,000,000

$

300,000,000

10/13/2010

4

$

100,000,000

$

200,000,000

8/11/2010

4

$

76,898,000

$

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

Warrants

12/3/2009

Warrants

A $

148,731,030

Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants

5/18/2010

Warrants

A $

5,571,592

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

Warrants
Warrants
Warrants
Warrants
Warrants

R
A
R
R
R

4/7/2010

Warrants

9/1/2010

Warrants

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

9

9

9

9

R
A
R
R
A

$
$
$
$
$

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

R $

18,500,000

R $

3,301,647

Preferred Stock w/
Warrants
Preferred Stock w/
Warrants

Warrants

9

Page 1 of 46

Seller

Footnote

14, 20

26 9/30/2010

Purchase Date

Purchase Details

Name of Institution

City

State

Investment Description

Investment Amount

Pricing
Mechanism

11/21/2008
11/21/2008

First PacTrust Bancorp, Inc.
Severn Bancorp, Inc.

Chula Vista
Annapolis

CA
MD

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

19,300,000
23,393,000

Par
Par

11/21/2008

Boston Private Financial Holdings, Inc.

Boston

MA

Preferred Stock w/ Warrants

$

154,000,000

Par

Green Bay
Jackson
Lexington
Rosemont
Los Angeles

WI
MS
SC
IL
CA

Midwest Banc Holdings, Inc.

Melrose Park

IL

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

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

Associated Banc-Corp
Trustmark Corporation
First Community Corporation
Taylor Capital Group
Nara Bancorp, Inc.

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

IL
IL
GA
WV
TX
CA
LA

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

$
$
$
$
$

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

525,000,000
215,000,000
11,350,000
104,823,000
67,000,000

Par
Par
Par
Par
Par

Capital
Repayment Date

Capital Repayment
Amount (Loss) 6

Remaining Capital
Amount

12

32 9/30/2010

24

Final Disposition
Proceeds

$

50,000,000

$

4

$

104,000,000

$

0

Preferred Stock w/
Warrants
Warrants

12/9/2009

4

$

215,000,000

$

0

Warrants

12/30/2009

Warrants

R $

10,000,000

R $

950,000

104,000,000

$

89,388,000

Par

$
$
$
$
$
$
$

196,000,000
193,000,000
180,000,000
75,000,000
34,000,000
1,700,000
90,000,000

Par
Par
Par
Par
Par
Par
Par

9/9/2009

4

$

75,000,000

$

0

Warrants

12/23/2009

Warrants

9/16/2009
3/31/2009

4
5

$
$

1,700,000
90,000,000

$
$

0
0

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

10/14/2009
5/20/2009

Warrants
Warrants

9

R $
R $

63,364
1,200,000

Warrants

9/30/2010

Warrants

26

R $

400,000

10/28/2009

Warrants

R $

1,307,000

R $

40,000

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

$

41,547,000

$

41,547,000

12/5/2008
12/5/2008

Coastal Banking Company, Inc.
East West Bancorp

Fernandina Beach
Pasadena

FL
CA

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

9,950,000
306,546,000

Par
Par
9/30/2010

26

$

130,179,219

$

$

12/5/2008

South Financial Group, Inc.

Greenville

SC

Preferred Stock w/ Warrants

$

347,000,000

Par

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

12/5/2008

CVB Financial Corp

Ontario

CA

Preferred Stock w/ Warrants

$

130,000,000

Par

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

15

4

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.

Disposition
Investment
Description

6/16/2010

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
12/5/2008

Final Disposition
Final
Disposition
Date

1/13/2010

0

4

17

Remaining
Investment
Description

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

Clinton
Bowie
Port St. Lucie
Spokane
Oakdale
Evansville
Raleigh
Seattle
Santa Clara
Lorain
Wilmington
Lititz
New York
Hopkinsville
Flint
Columbus
Little Rock
Los Angeles
Greensboro
Houston
Wilmington
Portsmouth
Los Angeles
Roanoke

NJ
MD
FL
WA
CA
IN
NC
WA
CA
OH
DE
PA
NY
KY
MI
IN
AR
CA
NC
TX
DE
VA
CA
VA

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
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

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

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
330 000 000
330,000,000
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
45,220,000
76,458,000
62,158,000
16,019,000

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

9

$

97,500,000

9/2/2009

4

$

32,500,000 $

0

Preferred Stock w/
Warrants
Warrants

3/31/2009

4

$

28,000,000

$

0

Warrants

9/30/2010

32

$

12,119,637

$

0

Warrants

9/30/2010

Warrants

7/15/2009

4

$

7,000,000

$

0

Warrants

9/2/2009

Warrants

R $

225,000

3/31/2009

4

$

100,000,000

$

0

Warrants

5/8/2009

Warrants

R $

1,200,000

12/23/2009

5

$

235,000,000

$

0

Warrants

6/16/2010

Warrants

R $

6,820,000

4/21/2010
3/31/2009

4

$
$

200,000,000
120,000,000

$
$

Warrants
Warrants

3/10/2010

Warrants

A $

11,320,751

11/4/2009

4

$

75,000,000

$

0

Warrants

11/24/2009

Warrants

R $

2,650,000

5/5/2009
3/10/2010

4

$
$

125,198,000
45,220,000

$
$

0
0

Warrants
Warrants

6/9/2010
9/8/2010

Warrants
Warrants

A $
R $

3,007,891
4,753,985

8/26/2009

4

5

32,500,000

100,000,000
0

32

Page 2 of 46

Seller

Purchase Details

Name of Institution

City

State

Investment Description

Footnote

Purchase Date

22

12/12/2008

Independent Bank Corporation

Ionia

MI

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

Pinnacle Financial Partners, Inc.
First Litchfield Financial Corporation
National Penn Bancshares, Inc.
Northeast Bancorp
Citizens South Banking Corporation
Virginia Commerce Bancorp
Fidelity Bancorp, Inc.
LSB Corporation
Intermountain Community Bancorp
Community West Bancshares
Synovus Financial Corp.
Tennessee Commerce Bancorp, Inc.
Community Bankers Trust Corporation
BancTrust Financial Group, Inc.
Enterprise Financial Services Corp.
Mid Penn Bancorp, Inc.
Summit State Bank
VIST Financial Corp.
Wainwright Bank & Trust Company
Whitney Holding Corporation
The Connecticut Bank and Trust Company
CoBiz Financial Inc.
Santa Lucia Bancorp
Seacoast Banking Corporation of Florida
Horizon Bancorp
Fidelity Southern Corporation
Community Financial Corporation
Berkshire Hills Bancorp, Inc.
First California Financial Group, Inc
AmeriServ Financial, Inc

Nashville
Litchfield
Boyertown
Lewiston
Gastonia
Arlington
Pittsburgh
North Andover
Sandpoint
Goleta
Columbus
Franklin
Glen Allen
Mobile
St. Louis
Millersburg
Santa Rosa
Wyomissing
Boston
New Orleans
Hartford
Denver
Atascadero
Stuart
Michigan City
Atlanta
Staunton
Pittsfield
Westlake Village
Johnstown

TN
CT
PA
ME
NC
VA
PA
MA
ID
CA
GA
TN
VA
AL
MO
PA
CA
PA
MA
LA
CT
CO
CA
FL
IN
GA
VA
MA
CA
PA

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
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

Security Federal Corporation

Aiken

SC

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.
Citizens First Corporation
FFW Corporation
Plains Capital Corporation
Tri-County Financial Corporation
OneUnited Bank
Patriot Bancshares, Inc.
Pacific City Financial Corporation
Marquette National Corporation
Exchange Bank
Monadnock Bancorp, Inc.
Bridgeview
B id
i
Bancorp,
B
Inc.
I
Fidelity Financial Corporation
Patapsco Bancorp, Inc.
NCAL Bancorp
FCB Bancorp, Inc.
First Financial Bancorp
Bridge Capital Holdings
International Bancshares Corporation
First Sound Bank
M&T Bank Corporation
Emclaire Financial Corp.
Park National Corporation
Green Bankshares, Inc.

Lake Forest
Lake Success
Chesapeake
Charlottesville

30 9/29/2010

18

2
2
2
2, 3
2
2
2
2
2
2
2
2
2
2

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

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

Investment Amount

Pricing
Mechanism

$

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
300,000,000
5,448,000
64,450,000
4,000,000
50 000 000
50,000,000
25,000,000
48,200,000
12,643,000
40,000,000
25,000,000
21,000,000

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

Preferred Stock w/ Warrants

$

18,000,000

IL
NY
VA
VA

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

$
$
$
$

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

Bowling Green

VA

Preferred Stock w/ Warrants

$

Mt. Pleasant
Providence
Lee's Summit
Elmira
Syracuse
Dubuque
Bowling Green
Wabash
Dallas
Waldorf
Boston
Houston
Los Angeles
Chicago
Santa Rosa
Peterborough
Bridgeview
B id
i
Wichita
Dundalk
Los Angeles
Louisville
Cincinnati
San Jose
Laredo
Seattle
Buffalo
Emlenton
Newark
Greeneville

SC
RI
MO
NY
NY
IA
KY
IN
TX
MD
MA
TX
CA
IL
CA
NH
IL
KS
MD
CA
KY
OH
CA
TX
WA
NY
PA
OH
TN

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
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
P
Preferred
f
d Stock
St k w// Exercised
E
i d Warrants
W
t
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

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

Capital
Repayment Date

Capital Repayment
Amount (Loss) 6

Remaining Capital
Amount

Final Disposition

Remaining
Investment
Description

Final
Disposition
Date

Disposition
Investment
Description

15

Final Disposition
Proceeds

4/7/2010

4

$

10,000,000

$

0

Warrants

4/7/2010

Warrants

R $

1,488,046

11/18/2009

4

$

15,000,000

$

0

Warrants

12/16/2009

Warrants

R $

560,000

11/24/2009

4

$

22,000,000

$

0

Warrants

12/16/2009

Warrants

R $

568,700

5/27/2009

4

$

40,000,000

$

0

Warrants

6/24/2009

Warrants

R $

1,040,000

Par

9/29/2010

4

$

18,000,000

$

0

Warrants

Par
Par
Par
Par

10/28/2009
12/23/2009

5

$
$

70,000,000
14,700,000

$
$

0
0

Warrants
Warrants

12/30/2009
2/10/2010

Warrants
Warrants

9

5

9

R $
R $

900,000
260,000

59,000,000

Par

11/18/2009

5

$

59,000,000

$

0

Warrants

12/23/2009

Warrants

9

R $

450,000

14,448,000
30,000,000
30,255,000
9,090,000
26,918,000
81,698,000
8,779,000
7,289,000
87,631,000
15,540,000
12,063,000
26,038,000
16,200,000
35,500,000
43,000,000
1,834,000
38,000,000
38 000 000
36,282,000
6,000,000
10,000,000
9,294,000
80,000,000
23,864,000
216,000,000
7,400,000
600,000,000
7,500,000
100,000,000
72,278,000

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
P
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

8/5/2009

4

$

30,000,000

$

0

Warrants

9/30/2009

Warrants

R $

1,400,000

5/13/2009

4

$

26,918,000

$

0

Warrants

6/17/2009

Warrants

R $

900,000

2/24/2010

5

$

80,000,000

$

0

Warrants

6/2/2010

Warrants

A $

3,116,284

9

Page 3 of 46

Seller

Footnote

30 9/3/2010

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

31 9/30/2010
16
2
1a, 1b

Purchase Date

Purchase Details

Name of Institution

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

Final Disposition

Remaining
Investment
Description

Final
Disposition
Date

9/8/2010

Warrants

N/A

N/A

Disposition
Investment
Description

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

Cecil Bancorp, Inc.
Financial Institutions, Inc.
Fulton Financial Corporation

Elkton
Warsaw
Lancaster

MD
NY
PA

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

$
$
$

11,560,000
37,515,000
376,500,000

Par
Par
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
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
12/23/2008

MutualFirst Financial, Inc.
BCSB Bancorp, Inc.
HMN Financial, Inc.
First Community Bank Corporation of America
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

Muncie
Baltimore
Rochester
Pinellas Park
New York
New York
Newton
Monroeville
Hoquiam
Cranbury
Oakhurst
Monmouth
Westminster
Portland
Albemarle

IN
MD
MN
FL
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/ 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

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

32,382,000
10,800,000
26,000,000
10,685,000
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
Par
Par
Par
Par

10/27/2010

4

$

12,000,000

$

0

Warrants

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

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
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/31/2008
12/31/2008
12/31/2008

The Little Bank, Incorporated
Pacific Commerce Bank
Citizens Community Bank
Seacoast Commerce Bank
TCNB Financial Corp.
Leader Bancorp, Inc.
Nicolet Bankshares, Inc.
Magna Bank
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

Kinston
Los Angeles
South Hill
Chula Vista
Dayton
Arlington
Green Bay
Memphis
Palm Desert
Bucyrus
Rockville
Logan
Nevada City
Oak Ridge
San Francisco
Atlanta
Pittsburgh
Cincinnati

NC
CA
VA
CA
OH
MA
WI
TN
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/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised 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

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

7,500,000
4,060,000
3,000,000
1,800,000
2,000,000
5,830,000
14,964,000
13,795,000
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
Par
Par
Par
Par
Par
Par
Par
Par

11/24/2009

4

$

3,455,000

$

2/10/2010

4

$

7,579,200,000

$

0

Warrants

4/29/2010

Warrants

2/8/2010

16

$

$

0

N/A

N/A

N/A

12/9/2009
4/22/2009

4

$
$

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

$
$

0
0

Warrants
Warrants

3/3/2010
5/27/2009

Warrants
Warrants

10,340,000

12/31/2008

Hampton Roads Bankshares, Inc.

Norfolk

VA

Common Stock w/ Warrants

$

80,347,000

Par

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

1/9/2009

Peapack-Gladstone Financial Corporation

Gladstone

NJ

Preferred Stock w/ Warrants

$

28,685,000

Par

1/6/2010

$

7,172,000

$

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

Commerce National Bank
The First Bancorp, Inc.
Sun Bancorp, Inc.
Crescent Financial Corporation
American Express Company
Central Pacific Financial Corp.
Centrue Financial Corporation
Eastern Virginia Bankshares, Inc.
Colony Bankcorp, Inc.
Independent Bank Corp.
Cadence Financial Corporation
LCNB Corp.
Center Bancorp, Inc.
F.N.B. Corporation
C&F Financial Corporation
North Central Bancshares, Inc.
Carolina Bank Holdings, Inc.
First Bancorp
First Financial Service Corporation
Codorus Valley Bancorp, Inc.

Newport Beach
Damariscotta
Vineland
Cary
New York
Honolulu
St Louis
St.
Tappahannock
Fitzgerald
Rockland
Starkville
Lebanon
Union
Hermitage
West Point
Fort Dodge
Greensboro
Troy
Elizabethtown
York

CA
ME
NJ
NC
NY
HI
MO
VA
GA
MA
MS
OH
NJ
PA
VA
IA
NC
NC
KY
PA

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

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

5,000,000
25,000,000
89,310,000
24,900,000
3,388,890,000
135,000,000
32 668 000
32,668,000
24,000,000
28,000,000
78,158,000
44,000,000
13,400,000
10,000,000
100,000,000
20,000,000
10,200,000
16,000,000
65,000,000
20,000,000
16,500,000

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

10/7/2009

4

$

5,000,000

$

0

Preferred Stock w/
Warrants
Warrants

4/8/2009

4

$

89,310,000

$

0

Warrants

5/27/2009

6/17/2009

4

$

3,388,890,000

$

0

Warrants

4/22/2009

4

$

78,158,000

$

0

Warrants

10/21/2009

4

$

13,400,000

$

0

Warrants

9/9/2009

4

$

100,000,000

$

0

Warrants

4

4

21,513,000

Final Disposition
Proceeds

R $

10,800,000

-

N/A

Preferred Stock 2

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

0

15

A $

324,195,686

N/A

1b

A $
R $

124,228,646
5,025,000

Warrants

R $

2,100,000

7/29/2009

Warrants

R $

340,000,000

5/27/2009

Warrants

R $

2,200,000

Page 4 of 46

Seller

Footnote

2
2
2
2
2
3
2
2
2
2
2
2
2
2
2
2

28 7/20/2010

3, 30 8/27/2010

2
2
2
2
2, 19
3, 30 9/29/2010
2
2
2
2
2
2
2
2
2
2
2
3, 30 8/6/2010
2
2

2
2, 13 12/4/2009

Name of Institution

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

Purchase Details

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 B
Bancorp
ECB Bancorp, Inc.

City

State

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
I di
Engelhard

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

Texas Capital Bancshares, Inc.
Yadkin Valley Financial Corporation

Dallas
Elkin

TX
NC

Investment Description
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
P f
d Stock
St k w// Warrants
W
t
Preferred Stock w/ Warrants
Mandatorily Convertible Preferred Stock w/
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

Investment Amount

Pricing
Mechanism

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

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
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
P
Par
Par

$

424,174,000

Par

$
$

75,000,000
36,000,000

Capital
Repayment Date

Capital Repayment
Amount (Loss) 6

Remaining Capital
Amount

Remaining
Investment
Description

Final Disposition
Final
Disposition
Date

Disposition
Investment
Description

4/15/2009

4

$

25,000,000

$

0

Warrants

5/19/2010

4

$

3,981,000

$

0

Preferred Stock 2

5/19/2010

Preferred Stock

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

5

$
$
$

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

$
$
$

0
0
0

Warrants
Warrants
Warrants

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

Par
Par

5/13/2009

4

$

75,000,000

$

0

Warrants

3/11/2010

4
4

199,000

Warrants
Warrants
Warrants

R $
R $
R $

250,000
275,000
1,400,000

Warrants

A $

6,709,061

1/16/2009

Carver Bancorp, Inc

New York

NY

Preferred Stock

$

18,980,000

Par

8/27/2010

4

$

18,980,000

$

0

N/A

N/A

N/A

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

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

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

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

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

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

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

8/4/2010

4

$

26,440,000

$

0

Warrants

9/1/2010

Warrants

12/30/2009

5

$

38,263,000

$

0

Warrants

2/3/2010

Warrants

3/31/2009

4

$

15,000,000

$

0

Preferred Stock 2

4/15/2009

Preferred Stock

2/11/2010

19

$

$

0

N/A

N/A

N/A

1/16/2009

Community Bank of the Bay

Oakland

CA

Preferred Stock

$

1,747,000

Par

9/29/2010

4

$

1,747,000

$

0

N/A

N/A

N/A

1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
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
State Bankshares, Inc.
BNCCORP,
BNCCORP IInc.
First Manitowoc Bancorp, Inc.

Eureka
Boise
Boise
Bellevue
Vienna
Kansas City
Baraboo
Charlotte
Fargo
Bismarck
Bi
k
Manitowoc

CA
ID
ID
WA
VA
MO
WI
NC
ND
ND
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 w/ Exercised Warrants
Preferred
P f
d Stock
St k w// Exercised
E
i d Warrants
W
t
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
50,000,000
20,093,000
20 093 000
12,000,000

Par
Par
Par
Par
Par
Par
Par
Par
Par
P
Par
Par

8/12/2009

4

$

12,500,000

$

5/27/2009

4

$

12,000,000

$

0

Preferred Stock 2

5/27/2009

Preferred Stock

1/16/2009

Southern Bancorp, Inc.

Arkadelphia

AR

Preferred Stock

$

11,000,000

Par

8/6/2010

4

$

11,000,000

$

0

N/A

N/A

N/A

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

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

Merriam
Austin
South Bend
Princeton
Gastonia
Sandusky
Wilmington
Los Angeles

KS
TX
IN
IL
NC
OH
DE
CA

Preferred Stock w/ Exercised Warrants
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/ 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

Par

1/23/2009

37,500,000

2, 7

Final Disposition
Proceeds

R $

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

0

15

-

N/A

R $

400,000

9

R $

430,797

2, 7

R $

750,000
N/A

-

N/A

Preferred Stock 2
2, 7

R $
-

600,000
N/A

Page 5 of 46

Seller

Name of Institution

Footnote

Purchase Date

2

1/23/2009

CalWest Bancorp

2
2
2
2
2
2
2
2
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
2
2
2
2
2
2
2
2
2
2
2, 13 10/30/2009
2
2
2
2
2
2
2

30 9/29/2010

Purchase Details

City

State

Investment Description

Investment Amount

Pricing
Mechanism

CA

Preferred Stock w/ Exercised Warrants

$

4,656,000

Par

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

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

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
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
1/30/2009

West Chester
Marietta
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

PA
OH
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/ 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
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

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

10,973,000
39,000,000
110,000,000
16,288,000
11,385,000
266,657,000
22,000,000
6,000,000
243 815 000
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
Par
Par

Reston

VA

Preferred Stock w/ Exercised Warrants

$

6,633,000

Par

1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
2/6/2009

Stonebridge Financial Corp.
Peoples Bancorp Inc.
Anchor BanCorp Wisconsin Inc.
Parke Bancorp, Inc.
Central Virginia Bankshares, Inc.
Flagstar Bancorp, Inc.
Middleburg Financial Corporation
Peninsula Bank Holding Co.
PrivateBancorp Inc
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
F & M Bancshares, Inc.
First Resource Bank
MidWestOne Financial Group, Inc.

Houston
Summit
Berlin
Bethesda
Doraville
Trezevant
Exton
Iowa City

TX
NJ
NH
MD
GA
TN
PA
IA

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

$
$
$
$
$
$
$
$

5,800,000
4,000,000
10,000,000
4,734,000
7,700,000
4,609,000
2,600,000
16,000,000

Par
Par
Par
Par
Par
Par
Par
Par

2/6/2009

Lakeland Bancorp, Inc.

Oak Ridge

NJ

Preferred Stock w/ Warrants

$

59,000,000

Par

1/30/2009

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

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

Capital
Repayment Date

Capital Repayment
Amount (Loss) 6

Remaining Capital
Amount

4/22/2009

4

12/23/2009

4

$

10,189,000

$

12/16/2009
6/16/2010

4

$
$

1,000,000
2,240,000

$
$

12/23/2009

5

$

22,000,000

$

0

Warrants

6/16/2010

4

$

10,900,000

$

0

4/21/2010

4

$

4,000,000

$

0

8/4/2010

4

$

20,000,000

$

9/29/2010

4

$

5,000,000

$

4

$

4,900,000

$

Final Disposition

Remaining
Investment
Description

Final
Disposition
Date

0

Preferred Stock 2

0

2

2,240,000
0

39,000,000

0

Disposition
Investment
Description

15

Final Disposition
Proceeds

Preferred Stock

2, 7

R $

245,000

12/23/2009

Preferred Stock

2, 7

R $

509,000

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

4/21/2010

Preferred Stock

2, 7

R $

200,000

Preferred Stock

Preferred Stock 2
Preferred Stock 2

4/22/2009

Preferred Stock w/
Warrants
Warrants

Page 6 of 46

Seller

Footnote
3, 30 8/13/2010
2
2
2
2
2
2
3, 30 9/24/2010
2

Purchase Date

18

2/6/2009

2
2
2
2
2
2
2
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

Purchase Details

Name of Institution

City

2/6/2009

PGB Holdings, Inc.

Chicago

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

The Freeport State Bank
Stockmens Financial Corporation
US Metro Bank
First Express of Nebraska, Inc.
Mercantile Capital Corp.
Citizens Commerce Bancshares, Inc.

Harper
Rapid City
Garden Grove
Gering
Boston
Versailles

2/6/2009

Liberty Financial Services, Inc.

2/6/2009

2/6/2009
2/13/2009

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

2/13/2009

Westamerica Bancorporation

2/6/2009

State
IL

Investment Description

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

Investment Amount

Pricing
Mechanism

Preferred Stock

$

3,000,000

Par

KS
SD
CA
NE
MA
KY

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

$
$
$
$
$
$

301,000
15,568,000
2,861,000
5,000,000
3,500,000
6,300,000

Par
Par
Par
Par
Par
Par

New Orleans

LA

Preferred Stock

$

5,645,000

Par

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
M li
Moline

CO
IL

Preferred Stock w/ Exercised Warrants
P f
Preferred
d Stock
St k w// Warrants
W
t

$
$

8,559,000
38 237 000
38,237,000

Par
P
Par

San Rafael

CA

Preferred Stock w/ Warrants

$

83,726,000

Par

Capital
Repayment Date

Capital Repayment
Amount (Loss) 6

Remaining Capital
Amount

8/13/2010

4

$

3,000,000

$

9/24/2010

4

$

5,645,000

$

0

0

4

2
2
2
2
2, 30 9/29/2010
2
2
2
2
2
2
2
2
2, 30 9/24/2010
2
2
2
2
2
2
2
2
2

27

2, 25
2
2
2, 30 9/29/2010
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

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

Crestview Hills
Medford
Baltimore
Asheboro
Neenah
Los Angeles
Horn Lake
Waynesville

KY
OR
MD
NC
WI
CA
MS
MO

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

$
$
$
$
$
$
$
$

34,000,000
41,400,000
9,201,000
51,500,000
4,797,000
4,400,000
1,173,000
2,152,000

Par
Par
Par
Par
Par
Par
Par
Par

2/13/2009

State Capital Corporation

Greenwood

MS

Preferred Stock w/ Exercised Warrants

$

15,000,000

Par

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

BankGreenville
Corning Savings and Loan Association
Financial Security Corporation
ColoEast Bankshares, Inc.
Santa Clara Valley Bank, N.A.
Reliance Bancshares, Inc.
Regional Bankshares, Inc.
Peoples Bancorp

Greenville
Corning
Basin
Lamar
Santa Paula
Frontenac
Hartsville
Lynden

SC
AR
WY
CO
CA
MO
SC
WA

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

$
$
$
$
$
$
$
$

1,000,000
638,000
5,000,000
10,000,000
2,900,000
40,000,000
1,500,000
18,000,000

Par
Par
Par
Par
Par
Par
Par
Par

2/13/2009

First Choice Bank

Cerritos

CA

Preferred Stock w/ Exercised Warrants

$

2,200,000

Par

2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/20/2009

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

Ozark
Corbin
Festus
Bern
Spokane
Springfield
Clarksville
Devon
Lakewood
Narberth

MO
KY
MO
KS
WA
MO
TN
PA
WA
PA

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

825,000
1,900,000
700,000
985,000
10,500,000
21,900,000
17,243,000
6,200,000
1,992,000
30,407,000
69,600,000
46,400,000
17,211,000
8,653,000
6,920,000
5,450,000

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

9/2/2009

41,863,000

Final Disposition

Remaining
Investment
Description

Final
Disposition
Date

N/A

N/A

N/A

Disposition
Investment
Description

15

Final Disposition
Proceeds

N/A

-

N/A

N/A

N/A

-

N/A

Preferred Stock w/
Warrants
Warrants

$

41,863,000

$

11/18/2009

4

$

41,863,000

$

9/29/2010

4

$

15,000,000

$

0

Preferred Stock 2

9/29/2010

Preferred Stock

9/24/2010

4

$

2,200,000

$

0

N/A

9/24/2010

Preferred Stock

11/10/2009

4

$

700,000

$

Preferred Stock 2

11/10/2009

Preferred Stock

9/29/2010

4

$

1,998,000

$

Preferred Stock 2

9/29/2010

Preferred Stock

0

2, 7,
30a

R $

750,000

R $

110,000

R $

35,000

R $

100,000

2, 7,

2/20/2009

First Merchants Corporation

Muncie

IN

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

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

Waukegan
Sonoma
Woodsville
Los Angeles

IL
CA
NH
CA

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

2/20/2009

Lafayette Bancorp, Inc.

Oxford

MS

Preferred Stock w/ Exercised Warrants

$

1,998,000

Par

2/20/2009
2/20/2009

Liberty Shares, Inc.
White River Bancshares Company

Hinesville
Fayetteville

GA
AR

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

$
$

17,280,000
16,800,000

Par
Par

0

30a

2, 7

2, 7,

0

30a

Page 7 of 46

Seller

Purchase Details

Name of Institution

City

State

Investment Description

Investment Amount

Pricing
Mechanism

Capital
Repayment Date

Capital Repayment
Amount (Loss) 6

Footnote

Purchase Date

2
2
2
2
2
2
2
2
2, 30 9/29/2010

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

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

San Mateo
Buffalo
Malvern
Medford
New Market
Oneonta
Charleston
Cartersville

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

$
$
$
$
$
$
$
$

8,700,000
3,100,000
4,579,000
10,000,000
2,060,000
3,250,000
12,500,000
2,644,000

Par
Par
Par
Par
Par
Par
Par
Par

2/20/2009

BancPlus Corporation

Ridgeland

MS

Preferred Stock w/ Exercised Warrants

$

48,000,000

Par

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

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

Temple
Paris
Riverside
Tampa
Hoschton
Warsaw

TX
IL
CA
FL
GA
IN

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

$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par

6/9/2010

5

$

56,044,000

2/27/2009

First M&F Corporation

Kosciusko

MS

Preferred Stock w/ Warrants

$

30,000,000

Par

9/29/2010

4

$

30,000,000

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

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

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

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

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

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

17,299,000
83,586,000
17,806,000
4,797,000
4,000,000
2,260,000
24,664,000
731 000
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

4/14/2010

4

$

7/14/2010

4

2/27/2009

PSB Financial Corporation

Many

LA

Preferred Stock w/ Exercised Warrants

$

9,270,000

Par

9/29/2010

4

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

Nashville
Ellicott City
South San Francisco

TN
MD
CA

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

$
$
$

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

Par
Par
Par

Limerick

PA

Preferred Stock w/ Exercised Warrants

$

541,000

Par

2/27/2009
2/27/2009
3/6/2009
3/6/2009
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
First Federal Bancshares of Arkansas, Inc.

Rock Hill
Atlanta
Loris
Urbana
Harrison

NY
GA
SC
IL
AR

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

$
$
$
$
$

3,000,000
5,222,000
12,895,000
100,000,000
16,500,000

Par
Par
Par
Par
Par

3/6/2009

Citizens Bancshares Corporation

Atlanta

GA

Preferred Stock

$

7,462,000

Par

8/13/2010

4

3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/13/2009

ICB Financial
First Texas BHC, Inc.
Farmers & Merchants Bancshares, Inc.
Blue Ridge Bancshares, Inc.
First Reliance Bancshares, Inc.
Merchants
M h t and
d Planters
Pl t
Bancshares,
B
h
Inc.
I
First Southwest Bancorporation, Inc.
Germantown Capital Corporation, Inc.
BOH Holdings, Inc.
AmeriBank Holding Company
Highlands Independent Bancshares, Inc.
Pinnacle Bank Holding Company, Inc.
Blue River Bancshares, Inc.
Marine Bank & Trust Company
Community Bancshares of Kansas, Inc.
Regent Bancorp, Inc.
Park Bancorporation, Inc.
PeoplesSouth Bancshares, Inc.
First Place Financial Corp.

Ontario
Fort Worth
Houston
Independence
Florence
Toone
T
Alamosa
Germantown
Houston
Collinsville
Sebring
Orange City
Shelbyville
Vero Beach
Goff
Davie
Madison
Colquitt
Warren

CA
TX
TX
MO
SC
TN
CO
TN
TX
OK
FL
FL
IN
FL
KS
FL
WI
GA
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
P f
d Stock
St k w// Exercised
E
i d Warrants
W
t
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised 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

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

6,000,000
13,533,000
11,000,000
12,000,000
15,349,000
1,881,000
1 881 000
5,500,000
4,967,000
10,000,000
2,492,000
6,700,000
4,389,000
5,000,000
3,000,000
500,000
9,982,000
23,200,000
12,325,000
72,927,000

Par
Par
Par
Par
Par
P
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

2
2
2
2
2
30 9/29/2010

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

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

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

Remaining Capital
Amount

Final Disposition

Remaining
Investment
Description

Final
Disposition
Date

Preferred Stock 2

9/29/2010

Preferred Stock

Disposition
Investment
Description

15

Final Disposition
Proceeds

2, 7,

9/29/2010

4

$

48,000,000

$

0

$

0

30a

R $

2,400,000

Warrants
Warrants

$

0

731 000
731,000

$

0

Preferred Stock 2

4/14/2010

Preferred Stock

2,, 7

R $

37
37,000
000

$

651,000

$

0

Preferred Stock 2

7/14/2010

Preferred Stock

2, 7

R $

33,000

$

9,270,000

$

Preferred Stock 2

9/29/2010

Preferred Stock

R $

464,000

$

7,462,000

$

N/A

N/A

N/A

2, 7,

2/27/2009

0

0

30a

-

N/A

Page 8 of 46

Seller

Footnote

Purchase Date

Purchase Details

Name of Institution

City

State

Investment Description

Investment Amount

Pricing
Mechanism

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

Salisbury Bancorp, Inc.
First Northern Community Bancorp
Discover Financial Services
Provident Community Bancshares, Inc.

Lakeville
Dixon
Riverwoods
Rock Hill

CT
CA
IL
SC

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

$
$
$
$

8,816,000
17,390,000
1,224,558,000
9,266,000

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

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

2

3/27/2009

Colonial American Bank

West Conshohocken

PA

Preferred Stock w/ Exercised Warrants

$

574,000

Par

2
2
2
2
2
2
2
2

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

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

Kingwood
Frontenac
Glenwood Springs
Naples
Russellville
Irving
Bristow
Towson
Glen Ellen

TX
MO
CO
FL
AL
TX
OK
MD
VA

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

$
$
$
$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par
Par
Par
Par

4/3/2009

Tri-State Bank of Memphis

Memphis

TN

Preferred Stock

$

2,795,000

Par

4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/10/2009
4/10/2009
4/10/2009
4/10/2009
4/10/2009
4/17/2009
4/17/2009
4/17/2009
4/17/2009
4/17/2009
4/17/2009
4/24/2009

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.
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

Arnold
Festus
Titonka
Edwards
Kingsport
Olathe
Harrison
Theodore
Newark
San Diego
Sterling
Milwaukee
Chicago
Mocksville
Wayne
Tifton
Patterson
New York
Lakewood
Manistique

MO
MO
IA
CO
TN
KS
AR
AL
NJ
CA
IL
WI
IL
NC
PA
GA
LA
NY
CO
MI

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

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

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
2,040,000
13,179,000
9,960,000
3,800,000
3,690,000
7,500,000
2,816,000
11,000,000

Par
Par
Par
Par
Par
Par
Par
Par
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
2
2
2
2
2
2

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

Par
Par
Par
Par

Capital
Repayment Date

Capital Repayment
Amount (Loss) 6

Remaining Capital
Amount

Final Disposition

Remaining
Investment
Description

Final
Disposition
Date

Disposition
Investment
Description

15

Final Disposition
Proceeds

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

11/18/2009

4

$

10,000,000

$

0

Preferred Stock 2

11/18/2009

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

R $
-

2, 7

R $

172,000,000
N/A

500,000

Page 9 of 46

Seller

Purchase Details

Name of Institution

City

State

Investment Description

Investment Amount

Pricing
Mechanism

Footnote

Purchase Date

2
2
2
2
2
2
2
2
2
2

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

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.

Birmingham
Richardson
Salem
Easley
Dana
Clayton
Hickory Hills
York
Tulsa
Oswego

MI
TX
OR
SC
IN
MO
IL
PA
OK
IL

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

$
$
$
$
$
$
$
$
$
$

1,635,000
1,500,000
3,216,000
12,660,000
1,312,000
15,000,000
60,000,000
4,871,000
4,000,000
3,652,000

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

8

4/24/2009

Frontier Bancshares, Inc.

Austin

TX

Subordinated Debentures w/ Exercised
Warrants

$

3,000,000

Par

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

8

5/1/2009

OSB Financial Services, Inc.

Orange

TX

8

5/1/2009

Security State Bank Holding-Company

Jamestown

ND

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

Vernon
Atlanta
Ringgold
Freeport

2
2
2
2

2, 13 8/31/2010
2
2

5/8/2009
5/8/2009
5/8/2009

VA
OH
GA
NC
IL

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

$
$
$
$
$

NJ
GA
GA

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

IL

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

$

6,100,000

Par

$

10,750,000

Par

Preferred Stock w/ Exercised Warrants

$

3,091,000

Par

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

$
$

5,500,000
6 000 000
6,000,000

Par
Par

$

3,000,000

Par

$

4,000,000

Par

$

13,644,000

Par

5/8/2009

Premier Bancorp, Inc.

Wilmette

Subordinated Debentures

$

6,784,000

Par

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

Grand Rapids
Closter
Medina
Glen Ellyn
Huntsville
Overland Park
Cleveland
Rockford

MI
NJ
OH
IL
AL
KS
TN
IL

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

$
$
$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par
Par
Par

5/15/2009

IBC Bancorp, Inc.

Chicago

IL

Subordinated Debentures

$

4,205,000

Par

$

5,586,000

Par

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.
Illi
Illinois
i State
St t Bancorp,
B
Inc.
I
Universal Bancorp
Franklin Bancorp, Inc.

Columbia
Coon Rapids
Fort Lee
Fargo
Chicago
Chi
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

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

5/29/2009
5/29/2009

Community Bank Shares of Indiana, Inc.
American Premier Bancorp

New Albany
Arcadia

IN
CA

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
P f
d Stock
St k w// Exercised
E
i d Warrants
W
t
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants

Capital
Repayment Date

Capital Repayment
Amount (Loss) 6

Remaining Capital
Amount

11/24/2009

4

$

1,600,000

$

10/6/2010

4

$

1,400,000

$

0

4

$

6,784,000

$

0

4

$

4,205,000 $

1,400,000

Final Disposition

Remaining
Investment
Description

Final
Disposition
Date

Subordinated
Debentures 8
Subordinated
Debentures 9

10/6/2010

Subordinated
Debentures 8

N/A

N/A

N/A

-

N/A

N/A

N/A

N/A

-

N/A

Disposition
Investment
Description

15

7

Final Disposition
Proceeds

R $

150,000

Par
Par
Par
Par
Par

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

5/15/2009

IL

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

$

2,400,000

Par

$

1,100,000

Par

$

2,639,000

Par

$

20,300,000

Par

$
$
$
$
$
$
$

15,000,000
1,177,000
1,300,000
5,000,000
6,272,000
6 272 000
9,900,000
5,097,000

Par
Par
Par
Par
P
Par
Par
Par
Par

$

20,400,000

$

6,349,000

Par

$

2,993,000

Par

$

20,445,000

Par

$

14,400,000

Par

$
$

19,468,000
1,800,000

Par
Par

8/13/2010

9/10/2010

0

Page 10 of 46

Seller

Purchase Details

Name of Institution

City

State

Investment Description

Footnote

Purchase Date

2
2
2
2

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

CB Holding Corp.
Citizens Bancshares Co.
Grand Mountain Bancshares, Inc.
Two Rivers Financial Group

Aledo
Chillicothe
Granby
Burlington

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
2, 10, 30 9/29/2010

6/12/2009

Berkshire Bancorp, Inc.

Wyomissing

PA

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

6/12/2009

First Vernon Bancshares, Inc.

Vernon

AL

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

2
2, 10
2

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

8, 10

6/19/2009

Biscayne Bancshares, Inc.

Coconut Grove

FL

8

6/19/2009

Duke Financial Group, Inc.

Minneapolis

MN

8

6/19/2009

Farmers Enterprises, Inc.

Great Bend

KS

8

6/19/2009

Century Financial Services Corporation

Santa Fe

NM

8

6/19/2009

NEMO Bancshares Inc.

Madison

MO

3, 8, 30 7/30/2010

6/19/2009

University Financial Corp, Inc.

St. Paul

MN

2
2, 10
2
2, 10, 30 9/29/2010
2
2
2, 10
2, 3, 10, 30 8/20/2010
2
2
2

Investment Amount

Pricing
Mechanism

$
$
$
$

4,114,000
24,990,000
3,076,000
12,000,000

Par
Par
Par
Par

$

3,942,000

Par

$

19,817,000

Par

$

5,000,000

Par

$

17,969,000

Par

$

17,300,000

Par

$

2,892,000

Par

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
S b di t d D
Subordinated
Debentures
b t
w// E
Exercised
i d
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

Capital
Repayment Date

Capital Repayment
Amount (Loss) 6

Final Disposition

Remaining
Investment
Description

Final
Disposition
Date

0

Preferred Stock 2

9/29/2010

Preferred Stock

Remaining Capital
Amount

Disposition
Investment
Description

15

Final Disposition
Proceeds

2, 7,

8, 10

8

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

IL

Subordinated Debentures

$

3,756,000

Par

$

15,000,000

Par

$
$

3,510,000
8,900,000

Par
Par

$

2,639,000

Par

$

6,400,000

Par

$

12,000,000

Par

$

12,000,000

Par

$

10,000,000

Par

$

2,330,000

Par

$

11,926,000

Par

$

15,000,000

Par

$
$
$
$

3,400,000,000
3,000,000
5,625,000
21,042,000

Par
Par
Par
Par

6/19/2009

Suburban Illinois Bancorp, Inc.

Elmhurst

IL

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

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

Hartford
Plano
Waukesha
Houston

CT
TX
WI
TX

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

6/26/2009

Security Capital Corporation

Batesville

MS

Preferred Stock w/ Exercised Warrants

$

17,388,000

Par

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

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

Cordova
Stuart
Gold Canyon

TN
FL
AZ

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

$
$
$

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

Par
Par
Par

6/26/2009

M&F Bancorp, Inc.

Durham

NC

Preferred Stock

$

11,735,000

Par

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

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

Chicago
Chicago
Dalton

IL
IL
GA

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

$
$
$

71,526,000
6,880,000
2,986,000

Par
Par
Par
Par

9/29/2010

4

$

6,000,000 $

4

$

11,926,000

$

0

N/A

N/A

N/A

3/31/2010

4

$

3,400,000,000

$

0

Warrants

9/21/2010

Warrants

9/29/2010

4

$

17,388,000 $

0

Preferred Stock 2

9/29/2010

Preferred Stock

8/20/2010

4

$

11,735,000 $

0

N/A

N/A

N/A

6/30/2010

4

$

Warrants

9/16/2010

Warrants

7/30/2010

30a

R $

-

245,000

N/A

A $

713,687,430

R $

522,000

2, 7,

$

24,900,000

$

1,700,000

Par

$

35,000,000

Par

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

$

12,000,000

Par

7/10/2009

Lincoln National Corporation

Radnor

PA

Preferred Stock w/ Warrants

$

950,000,000

Par

2, 10
2
2
2, 3

7/10/2009
7/17/2009
7/17/2009
7/17/2009

Bancorp Financial, Inc.
Brotherhood Bancshares, Inc.
SouthCrest Financial Group, Inc.
Harbor Bankshares Corporation

Oak Brook
Kansas City
Fayetteville
Baltimore

IL
KS
GA
MD

$
$
$
$

13,669,000
11,000,000
12,900,000
6,800,000

Par
Par
Par
Par

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

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

$

50,000,000

Par

$

8,400,000

Par

$

2,500,000

Par

950,000,000

$

0

30a

-

A $

N/A

216,620,887

Page 11 of 46

Seller

Footnote

Purchase Date

2, 10
2

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

8

7/24/2009

2

7/31/2009

8, 10

7/31/2009

2
2
2
2

Purchase Details

Name of Institution

State

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

9/11/2009

Community Bancshares of Mississippi, Inc.

Brandon

MS

9/11/2009
9/11/2009

Heartland Bancshares, Inc.
PFSB Bancorporation, Inc.

Franklin
Pigeon Falls

IN
WI

9/11/2009

First
Eagle
Bancshares,
Inc.
Fi t E
l B
h
I

Hanover P
Park
H
k

IL

9/18/2009
9/18/2009
9/25/2009
9/25/2009

IA Bancorp, Inc.
HomeTown Bankshares Corporation
Heritage Bankshares, Inc.
Mountain Valley Bancshares, Inc.

Iselin
Roanoke
Norfolk
Cleveland

NJ
VA
VA
GA

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

Elkin
Kingman
Tampa

NC
AZ
FL

First American Bank Corporation

Elk Grove Village

IL

Chicago Shore Corporation

Chicago

IL

Financial Services of Winger, Inc.

Winger

MN

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

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

2, 30 9/29/2010

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

City

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

Investment Amount

Pricing
Mechanism

$
$
$

13,312,000
3,872,000
20,471,000

Par
Par
Par

$

50,000,000

Par

$

7,000,000

Par

$

3,742,000

Par

$
$
$
$

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

Par
Par
Par
Par

$

5,000,000

Par

$
$
$

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

Par
Par
Par

$

9,720,000

Par

$

1,697,000

Par

$

6,771,000

Par

Preferred Stock w/ Exercised Warrants

$

52,000,000

Par

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

$
$

7,000,000
1,500,000

Par
Par

$

7
7,500,000
500 000

Par
P

$
$
$
$

5,976,000
10,000,000
10,103,000
3,300,000

Par
Par
Par
Par

Capital
Repayment Date

Capital Repayment
Amount (Loss) 6

Remaining Capital
Amount

Final Disposition

Remaining
Investment
Description

Final
Disposition
Date

Disposition
Investment
Description

15

Final Disposition
Proceeds

2, 7,

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

9/25/2009

Grand Financial Corporation

Hattiesburg

MS

$

2,443,320

Par

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

9/25/2009

Guaranty Capital Corporation

Belzoni

MS

Subordinated Debentures

$

14,000,000

Par

9/25/2009

GulfSouth Private Bank

Destin

FL

$

7,500,000

Par

8, 10

9/25/2009

Steele Street Bank Corporation

Denver

CO

$

11,019,000

Par

2, 10
2, 10

10/2/2009
10/2/2009
10/23/2009

Premier Financial Bancorp, Inc.
Providence Bank
Regents Bancshares, Inc.

Huntington
Rocky Mount
Vancouver

WV
NC
WA

Preferred Stock 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
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

$
$
$

22,252,000
4,000,000
12,700,000

Par
Par
Par

$

6,251,000

Par

$
$
$
$

6,229,000
6,842,000
3,535,000
6,657,000

Par
Par
Par
Par

$

4,400,000

Par

$
$
$
$
$
$
$
$
$

5,000,000
10,800,000
6,000,000
2,348,000
6,000,000
9,000,000
6,500,000
22,000,000
12 000 000
12,000,000

Par
Par
Par
Par
Par
Par
Par
Par
P
Par

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
2,

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.
W h
Wachusett
tt Financial
Fi
i l Services,
S i
IInc.

Chicago
San Francisco
Shorewood
Chicago
Los Angeles
Delmar
Fort Worth
Joliet
Cli t
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

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

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

Greenville
Los Angeles
Exton
Denver
Devon
Limerick
San Diego
Milwaukee
Harrisburg
Saginaw
Logan

SC
CA
PA
CO
PA
PA
CA
WI
PA
MI
UT

VA
TN
IN

IL
CA
MN
IL

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

$

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

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

9/29/2010

4

9/17/2010

7/30/2010

$

52,000,000 $

0

Preferred Stock 2

9/29/2010

Preferred Stock

4

$

7
7,500,000
500 000 $

0

Subordinated
Debentures 8

9/17/2010

Subordinated
Debentures 8

4

$

0

N/A

N/A

N/A

14,000,000

$

30a

30a

R $

2,600,000

R $

375
375,000
000

-

N/A

Page 12 of 46

Seller

Purchase Details

Name of Institution

City

State

Investment Description

Investment Amount

Footnote

Purchase Date

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

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

Birmingham Bloomfield Bancshares, Inc
First Priority Financial Corp.
Northern State Bank
Union Bank & Trust Company
First Freedom Bancshares, Inc.

Birmingham
Malvern
Closter
Oxford
Lebanon

MI
PA
NJ
NC
TN

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

$
$
$
$
$

1,744,000
4,596,000
1,230,000
2,997,000
8,700,000

12/22/2009

First Choice Bank

Cerritos

Pricing
Mechanism

CA

Preferred Stock

$

2,836,000

Par

Vernon

NJ

Preferred Stock

$

2,359,000

Par

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

Salt Lake City
Rock Hill
Kingsport
Bluffton
Albuquerque
Ebensburg

UT
NY
TN
SC
NM
PA

$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par

8, 10

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
2, 10a

12/29/2009
12/29/2009

Western Illinois Bancshares Inc.
DeSoto County Bank

Monmouth
Horn Lake

IL
MS

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

$
$

4,567,000
1,508,000

Par
Par

12/29/2009

Lafayette Bancorp, Inc.

Oxford

MS

Preferred Stock

$

2,453,000

Par

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

Private Bancorporation, Inc.
CBB Bancorp
Illinois State Bancorp, Inc.

Minneapolis
Cartersville
Chicago

MN
GA
IL

Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants

$
$
$

3,262,000
1,753,000
4,000,000

Par
Par
Par

$

204,940,341,320

Total Purchase Amount *

Capital
Repayment Date

Capital Repayment
Amount (Loss) 6

Remaining Capital
Amount

Final Disposition

Remaining
Investment
Description

Final
Disposition
Date

Disposition
Investment
Description

15

Final Disposition
Proceeds

Par
Par
Par
Par
Par

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

12/22/2009

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

9/24/2010

4

$

2,836,000

$

0

N/A

N/A

N/A

-

N/A

9/29/2010

4

$

2,453,000

$

0

N/A

N/A

N/A

-

N/A

Total Repaid **

$

152,903,792,391

Losses***

$

(2,575,821,144)

$

49,460,727,785

TOTAL TREASURY CAPITAL PURCHASE PROGRAM (CPP) OUTSTANDING INVESTMENT AMOUNT

Total Warrant Proceeds****

$

6,904,224,066

* Total purchase amount includes the capitalization of accrued dividends referred to in Notes 20, 22 and 28.
** Total repaid includes (i) the amount of $13,354,158,535 applied as repayment under the Capital Purchase Program from the total proceeds of $16,368,709,569 received pursuant to the sales of Citigroup, Inc. common stock as of September 30, 2010 (see Note 23 and "Capital Purchase Program - Citigroup Common Stock Disposition" on following pages)
and (ii) the amount of $363,290,000 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 and 32), 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 46

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
1b/ The warrant disposition proceeds amount are stated pro rata in respect of the CPP investments in Bank of America Corporation that occurred on 10/28/2008 and 1/9/2009. The total gross disposition proceeds from CPP warrants on 3/3/2010 was $310,571,615, consisting of $186,342,969 and $124,228,646. Proceeds from the disposition of TIP
warrants on 3/3/2010 appear on a following page of this report.
2/ Privately-held qualified financial institution; Treasury received a warrant to purchase additional shares of preferred stock (unless the institution is a CDFI), which it exercised immediately.
3/ To promote community development financial institutions (CDFIs), Treasury does not require warrants as part of its investment in certified CDFIs when the size of the investment is $50 million or less.
3a/ Treasury cancelled the warrants received from this institution due to its designation as a CDFI.
4/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009.
5/ Redemption pursuant to a qualified equity offering.
6/ This amount does not include accrued and unpaid dividends, which must be paid at the time of capital repayment.
7/ The proceeds associated with the disposition of this investment do not include accrued and unpaid dividends.
8/ Subchapter S corporation; Treasury received a warrant to purchase additional subordinated debentures (unless the institution is a CDFI), which it exercised immediately.
9/ In its qualified equity offering, this institution raised more capital than Treasury’s original investment, therefore, the number of Treasury’s shares underlying the warrant was reduced by half.
10/ This institution participated in the expansion of CPP for small banks.
10a/ This institution received an additional investment through the expansion of CPP for small banks.
11/ Treasury made three separate investments in Citigroup Inc. (Citigroup) under the CPP, Targeted Investment Program (TIP), and Asset Guarantee Program (AGP) for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange up to $25 billion of Treasury's investment in Fixed Rate Cumulative Perpetual
Preferred Stock, Series H (CPP Shares) "dollar for dollar" in Citigroup's Private and Public Exchange Offerings. On 7/23/2009 and 7/30/2009, Treasury exchanged a total of $25 billion of the CPP shares for Series M Common Stock Equivalent (“Series M”) and a warrant to purchase shares of Series M. On 9/11/2009, Series M automatically converted
to 7,692,307,692 shares of common stock and the associated warrant terminated on receipt of certain shareholder approvals.
12/ On 8/24/2009, Treasury exchanged its Series C Preferred Stock issued by Popular, Inc. for a like amount of non tax-deductible Trust Preferred Securities issued by Popular Capital Trust III, administrative trustee for Popular, Inc. Popular, Inc. paid a $13 million exchange fee in connection with this transaction.
13/ This institution converted to a bank holding company structure and Treasury exchanged its securities for a like amount of securities that comply with the CPP terms applicable to bank holding companies. The institution in which Treasury's original investment was made is shown in parentheses.
14/ As of the date of this report, this institution is in bankruptcy proceedings.
15/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution, and "A" represents the proceeds to Treasury, before underwriting fees and selling expenses, from a sale by Treasury in a registered public offering of the warrants issued by the financial institution.
16/ On 12/10/2009, the bankruptcy reorganization plan of CIT Group Inc. became effective and Treasury's preferred stock and warrant investment were extinguished and replaced by Contingent Value Rights (CVRs). On 2/8/2010, the CVRs expired without value as the terms and conditions for distribution of common shares to holders of CVRs were
17/ On 12/11/2009, Treasury exchanged its Series A Preferred Stock issued by Superior Bancorp, Inc. for a like amount of non tax-deductible Trust Preferred Securities issued by Superior Capital Trust II, administrative trustee for Superior Bancorp.
18/ On 2/1/2010, following the acquisition of First Market Bank (First Market) by Union Bankshares Corporation (the acquiror), the preferred stock and exercised warrants issued by First Market on 2/6/2009 were exchanged for a like amount of securities of the acquiror in a single series but with a blended dividend rate equivalent to those of Treasury's
19/ On 2/11/2010, Pacific Coast National Bancorp dismissed its bankruptcy proceedings with no recovery to any creditors or investors, including Treasury, and the investment was extinguished.
20/ On 3/8/2010, Treasury exchanged its $84,784,000 of Preferred Stock in Midwest Banc Holdings, Inc. (MBHI) for $89,388,000 of Mandatory Convertible Preferred Stock (MCP), which is equivalent to the initial investment amount of $84,784,000, plus $4,604,000 of capitalized previously accrued and unpaid dividends. Subject to the fulfillment by
MBHI of the conditions related to its capital plan, the MCP may be converted to common stock.
21/ On 3/30/2010, Treasury exchanged its $7,500,000 of Subordinated Debentures in GulfSouth Private Bank for an equivalent amount of Preferred Stock, in connection with its conversion from a Subchapter S-Corporation, that comply with the CPP terms applicable to privately held qualified financial institutions.
22/ On 4/16/2010, Treasury exchanged its $72,000,000 of Preferred Stock in Independent Bank Corporation (Independent) for $74,426,000 of Mandatory Convertible Preferred Stock (MCP), which is equivalent to the initial investment amount of $72,000,000, plus $2,426,000 of capitalized previously accrued and unpaid dividends. Subject to the
fulfillment by Independent of the conditions related to its capital plan, the MCP may be converted to common stock.
23/ Treasury received Citigroup common stock pursuant to the June 2009 Exchange Agreement between Treasury and Citigroup which provided for the exchange into common shares of the preferred stock that Treasury purchased in connection with Citigroup's participation in the Capital Purchase Program (see note 11). On April 26, 2010, Treasury
gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on May 26, 2010. On
May 26, 2010, Treasury again gave Morgan Stanley discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on June 30, 2010. On July
23, 2010, Treasury again gave Morgan Stanley discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on September 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on September 30, 2010.
On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common stock from time to time during the period ending on December 31, 2010 (or upon completion of the sale). All such sales were generally made
at the market price. 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 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.
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.

Page 14 of 46

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 12/31/2010

Pricing Mechanism
1
2
3

5

Number of Shares

Proceeds

6

$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

Total Proceeds:

$16,368,709,569

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
30, 2010 (or upon completion of the sale)
sale). Completion of the sale under this authority occurred on May 26
26, 2010
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).
5/ 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.
6/ Amount represents the gross proceeds to Treasury.

Page 15 of 46

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

Purchase Details

City

State

Guaranty Capital Corporation
University Financial Corp, Inc.
Southern Bancorp, Inc.
Premier Bancorp, Inc.
Citizens Bancshares Corporation

Belzoni
St. Paul
Arkadelphia
Wilmette
Atlanta

MS
MN
AR
IL
GA

PGB Holdings, Inc.
First American International Corp.
Tri-State Bank of Memphis
Mission Valley Bancorp

Chicago
Brooklyn
Memphis
Sun Valley

IL
NY
TN
CA

M&F Bancorp, Inc.
Carver Bancorp, Inc
Kilmichael Bancorp, Inc.
United Bancorporation of Alabama, Inc.
IBW Financial Corporation
IBC Bancorp, Inc.
CFBanc Corporation
American Bancorp of Illinois, Inc.
Hope Federal Credit Union
Genesee Co-op Federal Credit Union
First Eagle Bancshares, Inc.
Liberty Financial Services, Inc.
First Choice Bank
Bainbridge Bancshares, Inc.
Virginia Community Capital, Inc.
Lower East Side People's Federal Credit Union
Atlantic City Federal Credit Union
Neighborhood Trust Federal Credit Union
Gateway Community Federal Credit Union
Union Baptist Church Federal Credit Union
Buffalo Cooperative Federal Credit Union
Tulane-Loyola Federal Credit Union
Alternatives Federal Credit Union
Liberty County Teachers Federal Credit Union
UNO Federal Credit Union
Butte Federal Credit Union
Thurston Union of Low-Income People (TULIP) Cooperative Credit Union
Phenix Pride Federal Credit Union
Pyramid Federal Credit Union
Cooperative Center Federal Credit Union
Prince Kuhio Federal Credit Union
Community First Guam Federal Credit Union
Brewery Credit Union
Tongass Federal Credit Union
Santa Cruz Community Credit Union
Northeast Community Federal Credit Union
Fairfax County Federal Credit Union
Security Federal Corporation
Community Bank of the Bay
The First Bancshares, Inc.
BancPlus Corporation
First M&F Corporation
State Capital Corporation
Lafayette Bancorp, Inc.
PSB Financial Corporation
Community Bancshares of Mississippi, Inc.
First Vernon Bancshares, Inc.

Durham
New York
Kilmichael
Atmore
Washington
Chicago
Washington
Oak Brook
Jackson
Rochester
Hanover Park
New Orleans
Cerritos
Bainbridge
Christiansburg
New York
Lander
New York
Missoula
Fort Wayne
Buffalo
New Orleans
Ithaca
Liberty
New Orleans
Biggs
Olympia
Phenix City
Tucson
Berkeley
Honolulu
Hagatna
Milwaukee
Ketchikan
Santa Cruz
San Francisco
Fairfax
Aiken
Oakland
Hattiesburg
Ridgeland
Kosciusko
Greenwood
Oxford
Many
Brandon
Vernon

NC
NY
MS
AL
DC
IL
DC
IL
MS
NY
IL
LA
CA
GA
VA
NY
WY
NY
MT
IN
NY
LA
NY
TX
LA
CA
WA
AL
AZ
CA
HI
GU
WI
AK
CA
CA
VA
SC
CA
MS
MS
MS
MS
MS
LA
MS
AL

Investment Description
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Subordinated Debentures
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
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 16 of 46

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

Name of Institution
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
Workers United Federal Credit Union
North Side Community Federal Credit Union
East End Baptist Tabernacle Federal Credit Union
Community Plus Federal Credit Union
Border Federal Credit Union
Opportunities Credit Union
First Legacy Community Credit Union
Union Settlement Federal Credit Union
Southside Credit Union
D.C. Federal Credit Union
Faith Based Federal Credit Union
Greater Kinston Credit Union
Hill District Federal Credit Union
Freedom First Federal Credit Union
Episcopal Community Federal Credit Union
Vigo County Federal Credit Union
Renaissance Community Development Credit Union
Independent Employers Group Federal Credit Union
Brooklyn Cooperative Federal Credit Union

Purchase Details

City
Batesville
Palisades Park
Bay Springs
Okolona
Lakewood
New York
Bronx
Shreveport
Springhill
New York
Chicago
Bridgeport
Rantoul
Del Rio
Burlington
Charlotte
New York
San Antonio
Washington
Oceanside
Kinston
ttsbu g
Pittsburgh
Roanoke
Los Angeles
Terre Haute
Somerset
Hilo
Brooklyn

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

Investment Description
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
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures

Amount from CPP
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

17,910,000
-

Disposition Details

Additional Investment
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

-

Investment Amount
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

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

Total Purchase Amount $

570,073,000

Pricing
Mechanism

Amount

Date

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
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 17 of 46

AUTOMOTIVE INDUSTRY FINANCING PROGRAM

Initial Investment

City, State

Date

Transaction Type

12/29/2008

Purchase

5/21/2009
GMAC

Purchase

Seller
GMAC

GMAC

Exchange/Transfer/Other Details

Description
Preferred Stock w/ Exercised
$
Warrants
Convertible Preferred Stock
w/ Exercised Warrants

$

Pricing
Mechanism

Amount
5,000,000,000

7,500,000,000

Date

Par

Par

12/30/2009

22

12/30/2009

Type
Exchange for convertible
preferred stock
Partial exchange for common
stock

Pricing
Mechanism

Amount
$

5,000,000,000

N/A

Obligor
GMAC
GMAC

$

3,000,000,000

N/A

Purchase

GMAC

Purchase

GMAC

12/29/2008

Purchase

12/31/2008

Purchase

4/22/2009

Purchase

5/20/2009

Purchase

General Motors
Corporation
General Motors
Corporation
General Motors
Corporation
General Motors
Corporation

Trust Preferred Securities w/
Exercised Warrants
Convertible Preferred Stock
w/ Exercised Warrants
Debt Obligation

$

2,540,000,000

Par

$

1,250,000,000

Par

$

884,024,131

Par

Debt Obligation w/ Additional
$ 13,400,000,000
Note
Debt Obligation w/ Additional
$ 2,000,000,000
Note
Debt Obligation w/ Additional
$ 4,000,000,000
Note

Par

$

5,250,000,000

$

4,875,000,000

Date

3

Detroit, MI
5/27/2009

6/3/2009

1/16/2009

Chrysler
FinCo

Purchase

Purchase

General Motors
Corporation

General Motors
Corporation

Chrysler FinCo

Debt Obligation w/ Additional
$
Note

360,624,198

Debt Obligation w/ Additional
$ 30,100,000,000
Note

Debt Obligation w/ Additional
$
Note

1,500,000,000

Par

Par

Par

4/29/2009
4/29/2009
Auburn Hills,
MI

Purchase

Chrysler Holding

Purchase

Chrysler Holding

Purchase

Chrysler Holding

5/1/2009

Purchase

Old Chrysler

5/20/2009

Purchase

Old Chrysler

5/27/2009

Purchase

New Chrysler

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

Total Initial Investment
Amount

$

4,000,000,000

$

-

2

5/29/2009
7/10/2009

4
5

6

8

7/10/2009
7/10/2009

Exchange for equity interest in
GMAC
Exchange for preferred and
common stock in New GM
Exchange for preferred and
common stock in New GM
Exchange for preferred and
common stock in New GM

$

884,024,131

N/A

$

280,130,642

$

1,888,153,580

$

-

$

6,642,000,000

Par

$

13,400,000,000

N/A

$

2,000,000,000

N/A

$

4,000,000,000

N/A

3

7
7

General Motors
Company
General Motors
Company

10, 11,
Preferred Stock
24
10, 11
Common Stock

$

2,100,000,000
60.8%

7/10/2009

Exchange for preferred and
common stock in New GM

$

360,624,198

N/A

7/10/2009

Exchange for preferred and
common stock in New GM

$

22,041,706,310

N/A

7/10/2009

Transfer of debt to New GM

$

7,072,488,605

N/A

7/10/2009

Debt left at Old GM

$

985,805,085

N/A

7

General Motors
Holdings LLC

11, 12 Debt Obligation

$

7,072,488,605

6/10/2009

N/A

Transfer of debt to New
Chrysler

$

500,000,000

N/A

Partial repayment

$

360,624,198 Debt Obligation

$

12/18/2009 Partial repayment

$

1,000,000,000 Debt Obligation

$

5,711,864,407

1/21/2010

$

35,084,421 Debt Obligation

$

5,676,779,986

3/31/2010

Partial repayment

$

1,000,000,000 Debt Obligation

$

4,676,779,986

Repayment

$

4 676 779 986
4,676,779,986

$

0

3/17/2009

Partial repayment

$

1,496,500,945

4/17/2009

Partial repayment

$

1,464,690,823

5/18/2009

Partial repayment

$

1,413,554,739

6/17/2009

Partial repayment

$

1,369,197,029

7/14/2009

Repayment

$

1,369,197,029

7/14/2009

Repayment*

$

15,000,000

None

-

5/14/2010

Termination and
settlement
payment 20

$

1,900,000,000

None

-

$

280,130,642

None

$

30,544,528

9
9

Motors Liquidation
Company

Debt Obligation

$

985,805,085

19

Chrysler Holding

20

Debt obligation w/
additional note

$

3,500,000,000

7/10/2009

17
18

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

23

Old Carco
Liquidation Trust

23

Right to recover
proceeds

N/A

5/10/2010
9/9/2010

$

-

N/A

Chrysler Group
LLC
Chrysler Group
LLC

19

Debt obligation w/
additional note
Common equity

$

Repayment
Proceeds from
sale of collateral
Proceeds from
sale of collateral

$
$
$

$

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

Right to recover
proceeds
Right to recover
9,666,784
proceeds

$

0

$

0
N/A
N/A

9.9%

Additional Note Proceeds *
$

$

7,142,000,000

Total Payments

$ 81,344,932,551

Total Treasury Investment
Amount

None

9

15
4/30/2010

Partial repayment

6,711,864,407

4/20/2010

14

16
-

Remaining
Investment
Amount/Equity %

7

13

Par
-

Remaining
Investment
Description

56.3%

Farmington
Hills, MI

1/2/2009

Chrysler

Purchase

Amount/ Proceeds

Common Stock

7/10/2009
General
Motors

Type

22

Par
Par

Amount/Equity %

Common Stock

GMAC

12/30/2009

Description
Convertible
21, 22
Preferred Stock
Convertible
21, 22
Preferred Stock

GMAC

Detroit, MI

12/30/2009

Payment or Disposition1

Treasury Investment After Exchange/Transfer/Other

$

10,792,830,559

$

15,000,000

67,063,948,412

Footnotes appear on following page.

Page 18 of 46

As used in this table and its footnotes:
"GMAC" refers to GMAC Inc., formerly known as GMAC LLC.
"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,
Holdco and upon receipt of such payment to terminate all such obligations
obligations.
21. Amount of the Treasury investment after exchange includes the exercised warrants from Treasury's initial investment.
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. GM will consummate its purchase of the preferred stock on the first dividend payment date
that occurs after the proposed initial public offering.
AUTOMOTIVE SUPPLIER SUPPORT PROGRAM
Adjustment Details

Seller

Footnote

1

Date

4/9/2009

Name of Institution

GM Supplier Receivables LLC

City

Wilmington

State

DE

Transaction Type

Purchase

Investment
Description

Debt Obligation w/
Additional Note

Investment
Amount

Pricing Mechanism

7/8/2009
$ 3,500,000,000

Adjustment
Amount

Adjustment
Date

3

$ (1,000,000,000) $

2

4/9/2009

Chrysler Receivables SPV LLC

INITIAL TOTAL

$

5,000,000,000

Wilmington

DE

Purchase

ADJUSTED TOTAL

$

7/8/2009
$ 1,500,000,000

3

$

$

290,000,000

(500,000,000) $

1,000,000,000

$

123,076,735

N/A
7

413,076,735

Total Repayments

$

413,076,735

Date

Amount

11/20/2009

Partial
repayment

Debt Obligation w/
Additional Note

$

140,000,000

2/11/2010

Partial
repayment

Debt Obligation w/
Additional Note

$

100,000,000

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

2,500,000,000

N/A

6

Debt Obligation w/
Additional Note

Adjusted or Final
Investment Amount

Payment or Disposition4
Remaining
Type
Investment
Description

1/ The loan was funded through GM Supplier Receivables, LLC, a special purpose vehicle created by General Motors Corporation. The amount of $3,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/3/2009. General Motors Company assumed GM Supplier
2/ The loan was funded through Chrysler Receivables SPV LLC, a special purpose vehicle created by Chrysler LLC. The amount of $1,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/7/2009. Chrysler Group LLC assumed Chrysler Receivables SPV LLC on
3/ Treasury issued notice to the institution of the permanent reduced commitment on 7/8/2009; the reduction was effective on 7/1/2009.
4/ Does not include accrued and unpaid interest due on the amount of principal repayment, which interest must be paid at the time of principal repayment.
5/ All outstanding principal drawn under the credit agreement was repaid.
6/ Treasury's commitment was $2.5 billion (see note 3). As of 4/5/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under the loan, all of which have been repaid.
7/ Treasury's
Treasury s commitment was $1 billion (see note 3)
3). As of 4/7/2010
4/7/2010, Treasury's
Treasury s commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note
Note. The final investment amount reflects the total funds disbursed under the loan,
loan all of which have been repaid
repaid.

Page 19 of 46

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

Par

12/9/2009

2

Capital Repayment
Amount

Remaining
Capital Amount

Remaining Capital
Description

$

20,000,000,000

$

0

Warrants

$

20,000,000,000

$

0

Warrants

$

40,000,000,000

Final Disposition
Final
Disposition
Final Disposition Date 3
Description

Final Disposition
Proceeds

2

AMOUNT

TOTAL TREASURY TIP INVESTMENT AMOUNT

$

3/3/2010

A

Warrants

Total Warrant Proceeds

$

1,255,639,099

$

1,255,639,099

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 Prefer
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
Premium

Initial Investment
Footnote

1

Date

Seller
Name of Institution

1/16/2009 Citigroup Inc.

City

State

Type

New York

NY

Guarantee

Description

Master Agreement

Guarantee Limit

$

5,000,000,000

Description
Preferred Stock
w/ Warrants

Amount

$

Exchange/Transfer/Other Details
Footnote

Date

2

6/9/2009

4,034,000,000
4

3

12/23/2009 Citigroup Inc.

New York

NY

Termination

Termination Agreement
TOTAL

$
$

9/29/2010

Type
Exchange preferred stock
for trust preferred securities
Exchange trust preferred
securities for trust preferred
securities

Payment or Disposition
Amount

Description
Trust Preferred
Securities w/ Warrants
Trust Preferred
Securities w/ Warrants

$

Footnote

Date

Type

Amount

Remaining
Premium

Remaining Premium
Description

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

(5,000,000,000)
0

Total Proceeds

$ 2,246,000,000

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.

Page 20 of 46

CONSUMER AND BUSINESS LENDING INITIATIVE INVESTMENT PROGRAM
Seller
Footnote

Date

1

3/3/2009

Name of Institution

City

State

Transaction
Type

DE

Purchase

Investment Amount

Investment Description

Adjusted Investment
Amount
Date

Pricing Mechanism

2

TALF LLC

Wilmington

Debt Obligation w/ Additional Note
TOTAL

$

20,000,000,000

$

4,300,000,000

7/19/2010

N/A

$

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.

AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM
(formerly referred to as Systemically Significant Failing Institutions)
Seller
Footnote

Date

3

11/25/2008
4/17/2009

Name of Institution
AIG
AIG

Purchase Details
City

New York
New York

State

Transaction
Type

NY
NY

Purchase
Purchase

Investment Description
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
TOTAL

Exchange Details

Investment Amount
$
$

40,000,000,000
29,835,000,000

$

69,835,000,000

Pricing Mechanism
Par
Par

Date
4/17/2009

Transaction Type
Exchange

Investment Description
Preferred Stock w/ Warrants

1

Investment
Amount

Pricing
Mechanism

$ 40,000,000,000

Par

2

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 has 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 price reflects 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 scheduled to be paid from its operating income in three equal installments over the five-year life of the facility.

Page 21 of 46

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

Date

3/19/2010
3/19/2010
3/19/2010
4/8/2010
4/8/2010
5/11/2010
5/11/2010
5/11/2010
5/25/2010
5/25/2010
6/17/2010
6/17/2010
7/14/2010
7/14/2010
7/14/2010
7/29/2010
7/29/2010
8/17/2010
8/17/2010
8/17/2010
8/31/2010
8/31/2010
8/31/2010
9/14/2010
9/14/2010
9/14/2010
9/14/2010
9/28/2010
9/28/2010
9/28/2010
9/28/2010

1

Investment Description
Floating Rate SBA 7a security due 2025
Floating Rate SBA 7a security due 2022
Floating Rate SBA 7a security due 2022
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2016
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2035
Floating Rate SBA 7a security due 2033
Floating Rate SBA 7a security due 2029
Floating Rate SBA 7a security due 2033
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2025
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2017
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2019
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2024
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2028
Floating Rate SBA 7a security due 2025
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2033
Floating Rate SBA 7a security due 2033
Floating Rate SBA 7a security due 2033
Total Purchase Face Amount

Settlement Details
Purchase Face
Amount 3
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

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

$

324,870,228

Pricing Mechanism

TBA or
PMF3

Investment Amount
Settlement Date

107.75
109
108.875
110.502
107.5
106.806
109.42
110.798
110.125
109.553
110.785
112.028
106.625
108.505
111.86
108.4375
106.75
110.198
110.088
110.821
110.515
112.476
105.875
111.584
110.93
106.5
110.5
110.875
113.875
113.875
114.15625

TBA
TBA
TBA
TBA
TBA
TBA
TBA
TBA

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

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

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
6,364,946
9,962,039
7,786,810
5,334,063
5,539,399
3,334,285
11,420,447
14,845,639
14,882,516

TOTAL INVESTMENT
AMOUNT

$

359,553,565 *

2, 3

TBA or
3
PMF
TBA*
TBA*
TBA
TBA*
TBA*
TBA*
TBA*
TBA*
TBA*

Final Disposition
Senior Security
Proceeds 4
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

Trade Date

Life-to-date
Principal Received

1

Current Face
Amount

Disposition Amount 5

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
3,176
4,966
3,882
2,662
2,762
1,663
5,693
7,401
7,420
Total Senior Security Proceeds $

179,271 *

Total Disposition
Proceeds

$

-

* 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 giving effect to factor and, if applicable, the purchase of accrued principal and interest.
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 giving effect, if applicable, to sale of accrued principal and interest.

Page 22 of 46

LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)
(Revised as of July 16, 2010)

Seller

Footnote
1

2

Date

Name of Institution

9/30/2009 UST/TCW Senior Mortgage Securities Fund, L.P.

9/30/2009 UST/TCW Senior Mortgage Securities Fund, L.P.

Adjusted Investment

City
Wilmington

Wilmington

Transaction
Type
State
DE

DE

Purchase

Purchase

1

9/30/2009 Invesco Legacy Securities Master Fund, L.P.

Wilmington

DE

Purchase

2

9/30/2009 Invesco Legacy Securities Master Fund, L.P.

Wilmington

DE

Purchase

Wilmington

DE

Purchase

Investment Description
Membership Interest

Debt Obligation w/ Contingent Proceeds

Membership Interest
Debt Obligation w/ Contingent Proceeds

Membership Interest

Pricing
Investment Amount Mechanism
$

$

1,111,111,111

2,222,222,222

Par

Par

Date
1/4/2010

1/4/2010

3

Amount
4 $

4 $

Final Investment Amount

Date

156,250,000

Amount
4 $

200,000,000

7

4 $

156,250,000

200,000,000

$

1,111,111,111

Par

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

7/16/2010

$

856,000,000

$

2,222,222,222

Par

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

7/16/2010

$

1,712,000,000

1

10/1/2009 Wellington Management Legacy Securities PPIF Master Fund, LP

2

10/1/2009 Wellington Management Legacy Securities PPIF Master Fund, LP

Wilmington

DE

Purchase

Debt Obligation w/ Contingent Proceeds

$

2,222,222,222

Par

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

7/16/2010

$

2,298,974,000

1

10/2/2009 AllianceBernstein Legacy Securities Master Fund, L.P.

Wilmington

DE

Purchase

Membership Interest

$

1,111,111,111

Par

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

7/16/2010

$

1,150,423,500

2

10/2/2009 AllianceBernstein Legacy Securities Master Fund, L.P.

Wilmington

DE

Purchase

Debt Obligation w/ Contingent Proceeds

$

2,222,222,222

Par

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

7/16/2010

$

2,300,847,000

1

10/2/2009 Blackrock PPIF, L.P.

Wilmington

DE

Purchase

Membership Interest

$

1,111,111,111

Par

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

7/16/2010

$

694,980,000

2

10/2/2009 Blackrock PPIF, L.P.

Wilmington

DE

Purchase

Debt Obligation w/ Contingent Proceeds

$

2,222,222,222

Par

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

7/16/2010

$

1,389,960,000

1

10/30/2009 AG GECC PPIF Master Fund, L.P.

Wilmington

DE

Purchase

Membership Interest

$

1,111,111,111

Par

3/22/2010 6 $ 1,271,337,500

7/16/2010

$

1,243,275,000

2

10/30/2009 AG GECC PPIF Master Fund, L.P.

Wilmington

DE

Purchase

Debt Obligation w/ Contingent Proceeds

$

2,222,222,222

Par

3/22/2010 6 $ 2,542,675,000

7/16/2010

$

2,486,550,000

1

11/4/2009 RLJ Western Asset Public/Private Master Fund, L.P.

Wilmington

DE

Purchase

Membership Interest

$

1,111,111,111

Par

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

7/16/2010

$

620,578,258

2

11/4/2009 RLJ Western Asset Public/Private Master Fund, L.P.

Wilmington

DE

Purchase

Debt Obligation w/ Contingent Proceeds

$

2,222,222,222

Par

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

7/16/2010

$

1,241,156,516

1

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

Wilmington

DE

Purchase

Membership Interest

$

1,111,111,111

Par

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

7/16/2010

$

474,550,000

2

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

Wilmington

DE

Purchase

Debt Obligation w/ Contingent Proceeds

$

2,222,222,222

Par

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

7/16/2010

$

949,100,000

1

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

Wilmington

DE

Purchase

Membership Interest

$

1,111,111,111

Par

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

7/16/2010

$

1,160,784,100

2

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

Wilmington

DE

Purchase

Debt Obligation w/ Contingent Proceeds

$

2,222,222,222

Par

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

7/16/2010

$

2,321,568,200

$

30,000,000,000

INITIAL INVESTMENT AMOUNT

$

1,111,111,111

Par

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

7/16/2010

FINAL INVESTMENT AMOUNT

$

Capital Repayment Details
Repayment
Date
1/15/2010

Investment After Capital Repayment

Repayment
Amount
$

156,250,000

Amount
$

1/11/2010

$

34,000,000

$

1/12/2010

$

166,000,000

$

2/18/2010

$

4,888,718

$

4/15/2010

$

7,066,434

$

9/15/2010

$

60,022,674

$

Description
0

Membership Interest

Distribution or Disposition

Date
5

Proceeds

5

Distribution

2/24/2010

Final Distribution

Debt Obligation w/
166,000,000 Contingent Proceeds
0

Description

1/29/2010

5

$

20,091,872

$

48,922

N/A
5

1/29/2010

Distribution

2/24/2010

Final Distribution

$

502,302

5 $

1,223

$

20,644,319

Contingent Proceeds

Debt Obligation w/
1,707,111,282 Contingent Proceeds
Debt Obligation w/
1,700,044,848 Contingent Proceeds
Debt Obligation w/
1,640,022,174 Contingent Proceeds

1,149,487,000

$ 22,406,483,574

TOTAL CAPITAL REPAYMENT AMOUNT $

428,227,826

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.

Page 23 of 46

HOME AFFORDABLE MODIFICATION PROGRAM
Servicer Modifying Borrowers' Loans
Name of Institution

Date
4/13/2009

4/13/2009

4/13/2009

4/13/2009

Select Portfolio Servicing

CitiMortgage, Inc.

Wells Fargo Bank, NA

GMAC Mortgage, Inc.

City
Salt Lake City

O'Fallon

Des Moines

Ft. Washington

Transaction
State
Type
UT

MO

IA

PA

Purchase

Purchase

Purchase

Purchase

Investment Description
Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
$

$

$

$

376,000,000

2,071,000,000

2,873,000,000

633,000,000

Adjustment Details
Pricing
Mechanism Note
N/A

N/A

N/A

N/A

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

6/12/2009

$

284,590,000 $

9/30/2009

$

121,910,000 $

660,590,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
782,500,000 initial cap
Updated portfolio data from servicer & HAFA
913,840,000 initial cap

12/30/2009

$

131,340,000 $

3/26/2010

$

(355,530,000) $

558,310,000 Updated portfolio data from servicer

7/14/2010

$

128,690,000 $

687,000,000 Updated portfolio data from servicer

9/30/2010

$

4,000,000 $

9/30/2010

$

59,807,784 $

6/12/2009

$

(991,580,000) $

691,000,000 Initial FHA-HAMP cap and initial FHA-2LP cap
750,807,784 Updated portfolio data from servicer
1,079,420,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
2,089,600,000 initial cap
Updated portfolio data from servicer & HAFA
1,984,190,000 initial cap
Updated portfolio data from servicer & 2MP
1,784,890,000 initial cap
Transfer of cap to Service One, Inc. due to
1,784,660,000 servicing transfer
Transfer of cap to Specialized Loan Servicing,
1,781,660,000 LLC due to servicing transfer
Transfer of cap to multiple servicers due to
1,769,380,000 servicing transfer

9/30/2009

$

1,010,180,000 $

12/30/2009

$

(105,410,000) $

3/26/2010

$

(199,300,000) $

4/19/2010

$

(230,000) $

5/14/2010

$

(3,000,000) $

6/16/2010

$

(12,280,000) $

7/14/2010

$

(757,680,000) $

7/16/2010

$

(7,110,000) $

8/13/2010

$

(6,300,000) $

9/15/2010

$

(8,300,000) $

1,011,700,000 Updated portfolio data from servicer
Transfer of cap to multiple servicers due to
1,004,590,000 servicing transfer
Transfer of cap to multiple servicers due to
998,290,000 servicing transfer
Transfer of cap to multiple servicers due to
989,990,000 servicing transfer

9/30/2010

$

32,400,000 $

1,022,390,000 Initial FHA-HAMP cap and initial FHA-2LP cap

9/30/2010

$

101,287,484 $

10/15/2010

$

(1,400,000) $

6/17/2009

$

(462,990,000) $

9/30/2009

$

65,070,000 $

12/30/2009

$

1,213,310,000 $

2,410,010,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
2,475,080,000 initial cap
Updated portfolio data from servicer & HAFA
3,688,390,000 initial cap

2/17/2010

$

2,050,236,344 $

5,738,626,344 Transfer of cap (from Wachovia) due to merger

3/12/2010

$

54,767 $

5,738,681,110 Transfer of cap (from Wachovia) due to merger

3/19/2010

$

668,108,890 $

6,406,790,000 Initial 2MP cap

3/26/2010

$

683,130,000 $

7,089,920,000 Updated portfolio data from servicer

7/14/2010

$

(2,038,220,000) $

5,051,700,000 Updated portfolio data from servicer

9/30/2010

$

(287,348,828) $

9/30/2010

$

344,000,000 $

4,764,351,172 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
5,108,351,172 initial RD-HAMP

6/12/2009

$

384,650,000 $

1,017,650,000 Updated portfolio data from servicer

1,123,677,484 Updated portfolio data from servicer
1,122,277,484 Transfer of cap due to servicing transfer

Page 24 of 46

Servicer Modifying Borrowers' Loans
Date

4/13/2009

Name of Institution

Saxon Mortgage Services, Inc.

City

Irving

Transaction
State
Type

TX

Purchase

Investment Description

Financial Instrument for Home Loan Modifications

Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &

$

407,000,000

Adjustment Details
Pricing
Mechanism Note

N/A

4/13/2009

Chase Home Finance, LLC

Iselin

NJ

Purchase

Financial Instrument for Home Loan Modifications

$

3,552,000,000

N/A

4/16/2009

Ocwen Financial Corporation, Inc.

West Palm Beach

FL

Purchase

Financial Instrument for Home Loan Modifications

$

659,000,000

N/A

4/17/2009 as Bank of America, N.A.
amended on
1/26/2010

Simi Valley

CA

Purchase

Financial Instrument for Home Loan Modifications

$

798,900,000

N/A

2

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

Updated portfolio data from servicer & HPDP
3,554,890,000 initial cap
Updated portfolio data from servicer & HAFA
1,875,370,000 initial cap

9/30/2009

$

2,537,240,000 $

12/30/2009

$

(1,679,520,000) $

3/26/2010

$

190,180,000 $

5/14/2010

$

1,880,000 $

7/14/2010

$

(881,530,000) $

8/13/2010

$

(3,700,000) $

9/30/2010

$

119,200,000 $

1,182,200,000 Transfer of cap due to servicing transfer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
1,301,400,000 initial 2MP cap

9/30/2010

$

216,998,139 $

1,518,398,139 Updated portfolio data from servicer

6/17/2009

$

225,040,000 $

9/30/2009

$

254,380,000 $

12/30/2009

$

355,710,000 $

632,040,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
886,420,000 initial cap
Updated portfolio data from servicer & HAFA
1,242,130,000 initial cap

3/26/2010

$

(57,720,000) $

6/16/2010
6/
6/ 0 0

$

((156,050,000)
56,050,000) $

7/14/2010

$

(513,660,000) $

7/16/2010

$

(22,980,000) $

514,700,000 Updated portfolio data from servicer
Transfer of cap due to multiple servicing
491,720,000 transfers

9/15/2010

$

1,800,000 $

493,520,000 Transfer of cap due to servicing transfer

9/30/2010

$

9,800,000 $

503,320,000 Initial FHA-HAMP cap and initial FHA-2LP cap

9/30/2010

$

116,222,668 $

10/15/2010

$

100,000 $

7/31/2009

$

(3,552,000,000) $

6/12/2009

$

(105,620,000) $

9/30/2009

$

102,580,000 $

12/30/2009

$

277,640,000 $

3/26/2010

$

46,860,000 $

6/16/2010

$

156,050,000 $

7/14/2010

$

(191,610,000) $

7/16/2010

$

23,710,000 $

9/15/2010

$

100,000 $

9/30/2010

$

3,742,740 $

10/15/2010

$

170,800,000 $

6/12/2009

$

5,540,000 $

9/30/2009

$

162,680,000 $

12/30/2009

$

665,510,000 $

2,065,550,000 Updated portfolio data from servicer
Transfer of cap from Wilshire Credit Corporation
2,067,430,000 due to servicing transfer
1,185,900,000 Updated portfolio data from servicer

1,184,410,000 Updated portfolio data from servicer
Transfer of cap to Ocwen Financial Corporation,
1,028,360,000
,0 8,360,000 Inc.
c due to se
servicing
c g ttransfer
a se

619,542,668 Updated portfolio data from servicer
619,642,668 Transfer of cap due to servicing transfer
- Termination of SPA
553,380,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
655,960,000 initial cap
Updated portfolio data from servicer & HAFA
933,600,000 initial cap
980,460,000 Updated portfolio data from servicer
Transfer of cap from Saxon Mortgage Services,
1,136,510,000 Inc. due to servicing transfer
944,900,000 Updated portfolio data from servicer
Transfer of cap from Saxon Mortgage Services,
968,610,000 Inc. due to servicing transfer
968,710,000 Initial FHA-HAMP cap
972,452,740 Updated portfolio data from servicer
1,143,252,740 Transfer of cap due to servicing transfer
804,440,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
967,120,000 initial cap
Updated portfolio data from servicer & HAFA
1,632,630,000 initial cap
Page 25 of 46

Servicer Modifying Borrowers' Loans
Date

Name of Institution

4/17/2009 as Countrywide Home Loans Servicing LP
amended on
1/26/2010

4/20/2009

4/20/2009

Home Loan Services, Inc.

Wilshire Credit Corporation

City

Simi Valley

Pittsburgh

Beaverton

Transaction
State
Type

CA

PA

OR

Purchase

Purchase

Purchase

Investment Description

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &

$

$

$

1,864,000,000

319,000,000

366,000,000

Adjustment Details
Pricing
Mechanism Note

N/A

N/A

N/A

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

1/26/2010

$

800,390,000 $

2,433,020,000 Initial 2MP cap

3/26/2010

$

(829,370,000) $

1,603,650,000 Updated portfolio data from servicer

7/14/2010

$

(366,750,000) $

9/30/2010

$

95,300,000 $

1,236,900,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
1,332,200,000 initial RD-HAMP

9/30/2010

$

222,941,084 $

6/12/2009

$

3,318,840,000 $

9/30/2009

$

(717,420,000) $

12/30/2009

$

2,290,780,000 $

1/26/2010

$

450,100,000 $

7,206,300,000 Initial 2MP cap

3/26/2010

$

905,010,000 $

4/19/2010

$

10,280,000 $

6/16/2010

$

286,510,000 $

8,111,310,000 Updated portfolio data from servicer
Transfer of cap from Wilshire Credit Corporation
8,121,590,000 due to servicing transfer
Transfer of cap from Wilshire Credit Corporation
8,408,100,000 due to servicing transfer

7/14/2010
/ / 0 0

$

((1,787,300,000)
, 8 ,300,000) $

9/30/2010

$

105,500,000 $

9/30/2010

$

(614,527,362) $

6/12/2009

$

128,300,000 $

9/30/2009

$

46,730,000 $

12/30/2009

$

145,820,000 $

447,300,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
494,030,000 initial cap
Updated portfolio data from servicer & HAFA
639,850,000 initial cap

3/26/2010

$

(17,440,000) $

622,410,000 Updated portfolio data from servicer

7/14/2010

$

(73,010,000) $

549,400,000 Updated portfolio data from servicer

9/30/2010

$

6,700,000 $

9/30/2010

$

(77,126,410) $

6/12/2009

$

87,130,000 $

9/30/2009

$

(249,670,000) $

12/30/2009

$

119,700,000 $

3/26/2010

$

52,270,000 $

4/19/2010

$

(10,280,000) $

5/14/2010

$

(1,880,000) $

6/16/2010

$

(286,510,000) $

7/14/2010

$

19,540,000 $

7/16/2010

$

(210,000) $

96,300,000 Updated portfolio data from servicer
Transfer of cap to Green Tree Servicing LLC
96,090,000 due to servicing transfer

8/13/2010

$

(100,000) $

95,990,000 Transfer of cap due to servicing transfer

9/30/2010

$

68,565,782 $

1,555,141,084 Updated portfolio data from servicer
5,182,840,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
4,465,420,000 initial cap
Updated portfolio data from servicer & HAFA
6,756,200,000 initial cap

6,6
6,620,800,000
0,800,000 Updated po
portfolio
t o o data from
o se
servicer
ce
Initial FHA-HAMP cap, initial FHA-2LP cap, and
6,726,300,000 initial RD-HAMP
6,111,772,638 Updated portfolio data from servicer

556,100,000 Initial FHA-2LP cap
478,973,590 Updated portfolio data from servicer
453,130,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
203,460,000 initial cap
Updated portfolio data from servicer & HAFA
323,160,000 initial cap
375,430,000 Updated portfolio data from servicer
Transfer of cap to Countrywide Home Loans
365,150,000 due to servicing transfer
Transfer of cap to GMAC Mortgage, Inc. due to
363,270,000 servicing transfer
Transfer of cap to Countrywide Home Loans
76,760,000 due to servicing transfer

164,555,782 Updated portfolio data from servicer
Page 26 of 46

Servicer Modifying Borrowers' Loans
Date
4/24/2009

4/27/2009

5/1/2009

5/28/2009

Name of Institution
Green Tree Servicing LLC

Carrington Mortgage Services, LLC

Aurora Loan Services, LLC

Nationstar Mortgage LLC

City
Saint Paul

Santa Ana

Littleton

Lewisville

Transaction
State
Type
MN

CA

CO

TX

Purchase

Purchase

Purchase

Purchase

Investment Description
Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
$

$

$

$

156,000,000

195,000,000

798,000,000

101,000,000

Adjustment Details
Pricing
Mechanism Note
N/A

N/A

N/A

N/A

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

6/17/2009

$

(64,990,000) $

91,010,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
221,790,000 initial cap
Updated portfolio data from servicer & HAFA
105,040,000 initial cap

9/30/2009

$

130,780,000 $

12/30/2009

$

(116,750,000) $

3/26/2010

$

13,080,000 $

7/14/2010

$

(24,220,000) $

7/16/2010

$

210,000 $

8/13/2010

$

2,200,000 $

9/10/2010

$

34,600,000 $

9/30/2010

$

5,600,000 $

136,510,000 Initial FHA-2LP cap and FHA-HAMP

9/30/2010

$

10,185,090 $

146,695,090 Updated portfolio data from servicer

10/15/2010

$

400,000 $

6/17/2009

$

(63,980,000) $

118,120,000 Updated portfolio data from servicer
93,900,000 Updated portfolio data from servicer
Transfer of cap from Wilshire Credit Corporation
94,110,000 due to servicing transfer
96,310,000 Transfer of cap due to servicing transfer
130,910,000 Initial 2MP cap

147,095,090 Transfer of cap due to servicing transfer

9/30/2009
9/30/
009

$

90,990,000 $

12/30/2009

$

57,980,000 $

131,020,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
222,010,000
,0 0,000 initial
t a cap
Updated portfolio data from servicer & HAFA
279,990,000 initial cap

3/26/2010

$

74,520,000 $

354,510,000 Updated portfolio data from servicer

7/14/2010

$

(75,610,000) $

278,900,000 Updated portfolio data from servicer

8/13/2010

$

1,100,000 $

280,000,000 Transfer of cap due to servicing transfer

9/30/2010

$

3,763,685 $

283,763,685 Updated portfolio data from servicer

6/17/2009

$

(338,450,000) $

9/30/2009

$

(11,860,000) $

12/30/2009

$

21,330,000 $

3/26/2010

$

9,150,000 $

478,170,000 Updated portfolio data from servicer

7/14/2010

$

(76,870,000) $

401,300,000 Updated portfolio data from servicer

9/1/2010

$

400,000 $

9/30/2010

$

(8,454,269) $

393,245,731 Updated portfolio data from servicer

6/12/2009

$

16,140,000 $

9/30/2009

$

134,560,000 $

12/30/2009

$

80,250,000 $

117,140,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
251,700,000 initial cap
Updated portfolio data from servicer & HAFA
331,950,000 initial cap

3/26/2010

$

67,250,000 $

399,200,000 Updated portfolio data from servicer

7/14/2010

$

(85,900,000) $

313,300,000 Updated portfolio data from servicer

8/13/2010

$

100,000 $

9/30/2010

$

2,900,000 $

9/30/2010

$

33,801,486 $

459,550,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
447,690,000 initial cap
Updated portfolio data from servicer & HAFA
469,020,000 initial cap

401,700,000 Initial FHA-HAMP cap

313,400,000 Transfer of cap due to servicing transfer
Initial FHA-HAMP cap, initial FHA-2LP cap,
316,300,000 initial RD-HAMP, and initial 2MP cap
350,101,486 Updated portfolio data from servicer
Page 27 of 46

Servicer Modifying Borrowers' Loans
Name of Institution

Date
6/12/2009

6/17/2009

6/17/2009

6/19/2009

6/19/2009

6/26/2009

6/26/2009

Residential Credit Solutions

CCO Mortgage

RG Mortgage Corporation

First Federal Savings and Loan

Wescom Central Credit Union

Citizens First Wholesale Mortgage Company

Technology Credit Union

City
Fort Worth

Glen Allen

San Juan

Port Angeles

Anaheim

The Villages

San Jose

Transaction
State
Type
TX

VA

PR

WA

CA

FL

CA

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Investment Description
Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
$

$

$

$

$

$

$

19,400,000

16,520,000

57,000,000

770,000

540,000

30,000

70,000

Adjustment Details
Pricing
Mechanism Note
N/A

N/A

N/A

N/A

N/A

N/A

N/A

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

9/30/2009

$

(1,860,000) $

12/30/2009

$

27,920,000 $

Updated portfolio data from servicer & HPDP
17,540,000 initial cap
Updated portfolio data from servicer & HAFA
45,460,000 initial cap

3/26/2010

$

(1,390,000) $

44,070,000 Updated portfolio data from servicer

7/14/2010

$

(13,870,000) $

9/30/2010

$

400,000 $

9/30/2010

$

586,954 $

9/30/2009

$

13,070,000 $

12/30/2009

$

145,510,000 $

3/26/2010

$

(116,950,000) $

58,150,000 Updated portfolio data from servicer

7/14/2010

$

(23,350,000) $

34,800,000 Updated portfolio data from servicer

9/30/2010

$

7,846,346 $

9/30/2009

$

(11,300,000) $

12/30/2009
/30/ 009

$

((42,210,000)
, 0,000) $

3/26/2010

$

65,640,000 $

69,130,000 Updated portfolio data from servicer

4/9/2010

$

(14,470,000) $

54,660,000 Updated portfolio data from servicer

7/14/2010

$

(8,860,000) $

45,800,000 Updated portfolio data from servicer

9/30/2010

$

(4,459,154) $

12/30/2009

$

2,020,000 $

41,340,846 Updated portfolio data from servicer
Updated portfolio data from servicer & HAFA
2,790,000 initial cap

3/26/2010

$

11,370,000 $

5/26/2010

$

(14,160,000) $

30,200,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
30,600,000 initial 2MP cap
31,186,954 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
29,590,000 initial cap
Updated portfolio data from servicer & HAFA
175,100,000 initial cap

42,646,346 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
45,700,000 initial cap
Updated portfolio data from servicer & HAFA
3,
3,490,000
90,000 initial
t a cap

14,160,000 Updated portfolio data from servicer
- Termination of SPA
Updated portfolio data from servicer & HPDP
870,000 initial cap
Updated portfolio data from servicer & HAFA
17,360,000 initial cap

9/30/2009

$

330,000 $

12/30/2009

$

16,490,000 $

3/26/2010

$

(14,260,000) $

3,100,000 Updated portfolio data from servicer

7/14/2010

$

(1,800,000) $

1,300,000 Updated portfolio data from servicer

7/30/2010

$

1,500,000 $

2,800,000 Updated portfolio data from servicer

9/30/2010

$

1,551,668 $

9/30/2009

$

(10,000) $

12/30/2009

$

590,000 $

4,351,668 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
20,000 initial cap
Updated portfolio data from servicer & HAFA
610,000 initial cap

3/26/2010

$

(580,000) $

30,000 Updated portfolio data from servicer

7/14/2010

$

70,000 $

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056 $

12/30/2009

$

2,180,000 $

145,056 Updated portfolio data from servicer
Updated portfolio data from servicer & HAFA
2,250,000 initial cap

3/26/2010

$

(720,000) $

1,530,000 Updated portfolio data from servicer
Page 28 of 46

Servicer Modifying Borrowers' Loans
Name of Institution

Date

6/26/2009

7/1/2009

National City Bank

Wachovia Mortgage, FSB

City

Miamisburg

Des Moines

Transaction
State
Type

OH

IA

Purchase

Purchase

Investment Description

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &

$

$

294,980,000

634,010,000

Adjustment Details
Pricing
Mechanism Note

N/A

N/A

3
7/1/2009

7/10/2009

7/10/2009

7/17/2009

Bayview Loan Servicing, LLC

Lake National Bank

IBM Southeast Employees' Federal Credit Union

MorEquity, Inc.

Coral Gables

Mentor

Delray Beach

Evansville

FL

OH

FL

IN

Purchase

Purchase

Purchase

Purchase

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

$

$

$

$

44,260,000

100,000

870,000

23,480,000

N/A

N/A

N/A

N/A

Adjustment
Date

Cap Adjustment Amount

7/14/2010

$

(430,000) $

9/30/2010

$

60,445 $

9/30/2009

$

315,170,000 $

12/30/2009

$

90,280,000 $

3/26/2010

$

(18,690,000) $

7/14/2010

$

(272,640,000) $

9/30/2010

$

80,600,000 $

9/30/2010

$

71,230,004 $

9/30/2009

$

723,880,000 $

12/30/2009

$

692,640,000 $

2/17/2010

$

(2,050,236,344) $

3/12/2010

$

(54,767) $

Adjusted Cap

Reason for Adjustment

1,100,000 Updated portfolio data from servicer
1,160,445 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
610,150,000 initial cap
Updated portfolio data from servicer & HAFA
700,430,000 initial cap
681,740,000 Updated portfolio data from servicer
409,100,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, Initial FHA-2LP cap, and
489,700,000 initial 2MP cap
560,930,004 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
1,357,890,000 initial cap
Updated portfolio data from servicer & HAFA
2,050,530,000 initial cap
Transfer of cap (to Wells Fargo Bank) due to
293,656 merger
Transfer of cap (to Wells Fargo Bank) due to
238,890 merger
Updated portfolio data from servicer & HPDP
68,
68,110,000
0,000 initial
t a cap
Updated portfolio data from servicer & HAFA
111,700,000 initial cap

9/30/2009
9/30/ 009

$

23,850,000
3,850,000 $

12/30/2009

$

43,590,000 $

3/26/2010

$

34,540,000 $

5/7/2010

$

1,010,000 $

7/14/2010

$

(34,250,000) $

9/30/2010

$

600,000 $

9/30/2010

$

(15,252,303) $

9/30/2009

$

150,000 $

12/30/2009

$

130,000 $

3/26/2010

$

50,000 $

430,000 Updated portfolio data from servicer

7/14/2010

$

(30,000) $

400,000 Updated portfolio data from servicer

9/30/2010

$

35,167 $

9/30/2009

$

(10,000) $

12/30/2009

$

250,000 $

435,167 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
860,000 initial cap
Updated portfolio data from servicer & HAFA
1,110,000 initial cap

3/26/2010

$

(10,000) $

1,100,000 Updated portfolio data from servicer

7/14/2010

$

(400,000) $

700,000 Updated portfolio data from servicer

9/30/2010

$

170,334 $

9/30/2009

$

18,530,000 $

12/30/2009

$

24,510,000 $

870,334 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
42,010,000 initial cap
Updated portfolio data from servicer & HAFA
66,520,000 initial cap

3/26/2010

$

18,360,000 $

84,880,000 Updated portfolio data from servicer

7/14/2010

$

(22,580,000) $

62,300,000 Updated portfolio data from servicer

146,240,000 Updated portfolio data from servicer
147,250,000 Initial 2MP cap
113,000,000 Updated portfolio data from servicer
113,600,000 Initial FHA-2LP cap
98,347,697 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
250,000 initial cap
Updated portfolio data from servicer & HAFA
380,000 initial cap

Page 29 of 46

Servicer Modifying Borrowers' Loans
Name of Institution

Date

7/17/2009

7/17/2009

7/17/2009

7/22/2009

7/22/2009

7/22/2009

PNC Bank, National Association

Farmers State Bank

ShoreBank

American Home Mortgage Servicing, Inc

Mortgage Center, LLC

Mission Federal Credit Union

City

Pittsburgh

West Salem

Chicago

Coppell

Southfield

San Diego

Transaction
State
Type

PA

OH

IL

TX

MI

CA

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Investment Description

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &

$

$

$

$

$

$

54,470,000

170,000

1,410,000

1,272,490,000

4,210,000

860,000

Adjustment Details
Pricing
Mechanism Note

N/A

N/A

N/A

N/A

N/A

N/A

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

9/30/2010

$

(8,194,261) $

54,105,739 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
18,230,000 initial cap
Updated portfolio data from servicer & HAFA
37,510,000 initial cap

9/30/2009

$

(36,240,000) $

12/30/2009

$

19,280,000 $

3/26/2010

$

2,470,000 $

39,980,000 Updated portfolio data from servicer

7/14/2010

$

(17,180,000) $

22,800,000 Updated portfolio data from servicer

9/30/2010

$

35,500,000 $

58,300,000 Initial FHA-2LP cap and initial 2MP cap

9/30/2010

$

23,076,191 $

9/30/2009

$

(90,000) $

12/30/2009

$

50,000 $

81,376,191 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
80,000 initial cap
Updated portfolio data from servicer & HAFA
130,000 initial cap

3/26/2010

$

100,000 $

230,000 Updated portfolio data from servicer

7/14/2010

$

(130,000) $

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056 $

145,056 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
2,300,000
,300,000 initial
t a cap
Updated portfolio data from servicer & HAFA
3,560,000 initial cap

9/30/2009
9/30/
009

$

890,000 $

12/30/2009

$

1,260,000 $

3/26/2010

$

(20,000) $

3,540,000 Updated portfolio data from servicer

7/14/2010

$

(240,000) $

3,300,000 Updated portfolio data from servicer

9/30/2010

$

471,446 $

9/30/2009

$

(53,670,000) $

12/30/2009

$

250,450,000 $

3,771,446 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
1,218,820,000 initial cap
Updated portfolio data from servicer & HAFA
1,469,270,000 initial cap

3/26/2010

$

124,820,000 $

1,594,090,000 Updated portfolio data from servicer

7/14/2010

$

(289,990,000) $

1,304,100,000 Updated portfolio data from servicer

9/30/2010

$

1,690,508 $

1,305,790,508 Updated portfolio data from servicer

10/15/2010

$

300,000 $

9/30/2009

$

1,780,000 $

12/30/2009

$

2,840,000 $

3/26/2010

$

2,800,000 $

11,630,000 Updated portfolio data from servicer

7/14/2010

$

(5,730,000) $

5,900,000 Updated portfolio data from servicer

9/30/2010

$

2,658,280 $

9/30/2009

$

(490,000) $

12/30/2009

$

6,750,000 $

3/26/2010

$

(6,340,000) $

780,000 Updated portfolio data from servicer

7/14/2010

$

(180,000) $

600,000 Updated portfolio data from servicer

9/30/2010

$

125,278 $

725,278 Updated portfolio data from servicer

1,306,090,508 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
5,990,000 initial cap
Updated portfolio data from servicer & HAFA
8,830,000 initial cap

8,558,280 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
370,000 initial cap
Updated portfolio data from servicer & HAFA
7,120,000 initial cap

Page 30 of 46

Servicer Modifying Borrowers' Loans
Name of Institution

Date
7/29/2009

7/29/2009

7/29/2009

7/31/2009

7/31/2009

8/5/2009

First Bank

Purdue Employees Federal Credit Union

Wachovia Bank, N.A.

J.P.Morgan Chase Bank, NA

EMC Mortgage Corporation

Lake City Bank

City
St. Louis

West Lafayette

Charlotte

Lewisville

Lewisville

Warsaw

Transaction
State
Type
MO

IN

NC

TX

TX

IN

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Investment Description
Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
$

$

$

$

$

$

6,460,000

1,090,000

85,020,000

2,699,720,000

707,380,000

420,000

Adjustment Details
Pricing
Mechanism Note
N/A

N/A

N/A

N/A

N/A

N/A

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

Updated portfolio data from servicer & HPDP
4,930,000 initial cap
Updated portfolio data from servicer & HAFA
5,610,000 initial cap

9/30/2009

$

(1,530,000) $

12/30/2009

$

680,000 $

3/26/2010

$

2,460,000 $

8,070,000 Updated portfolio data from servicer

7/14/2010

$

(2,470,000) $

5,600,000 Updated portfolio data from servicer

9/30/2010

$

2,523,114 $

9/30/2009

$

(60,000) $

12/30/2009

$

1,260,000 $

8,123,114 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
1,030,000 initial cap
Updated portfolio data from servicer & HAFA
2,290,000 initial cap

3/26/2010

$

2,070,000 $

4,360,000 Updated portfolio data from servicer

7/14/2010

$

(3,960,000) $

400,000 Updated portfolio data from servicer

9/30/2010

$

180,222 $

9/30/2009

$

(37,700,000) $

12/30/2009

$

26,160,000 $

3/26/2010
3/
6/ 0 0

$

9,820,000
9,8 0,000 $

83,300,000 Updated po
portfolio
t o o data from
o se
servicer
ce

7/14/2010

$

(46,200,000) $

37,100,000 Updated portfolio data from servicer

9/30/2010

$

(28,686,775) $

9/30/2009

$

(14,850,000) $

12/30/2009

$

1,178,180,000 $

3/26/2010

$

1,006,580,000 $

7/14/2010

$

(1,934,230,000) $

9/30/2010

$

72,400,000 $

9/30/2010

$

215,625,536 $

9/30/2009

$

(10,000) $

12/30/2009

$

502,430,000 $

3/26/2010

$

(134,560,000) $

7/14/2010

$

(392,140,000) $

7/16/2010

$

(630,000) $

9/30/2010

$

13,100,000 $

580,222 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
47,320,000 initial cap
Updated portfolio data from servicer & HAFA
73,480,000 initial cap

8,413,225 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
2,684,870,000 initial cap
Updated portfolio data from servicer & HAFA
3,863,050,000 initial cap
Updated portfolio data from servicer & 2MP
4,869,630,000 initial cap
2,935,400,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, Initial FHA-2LP cap, and
3,007,800,000 initial RD-HAMP
3,223,425,536 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
707,370,000 initial cap
Updated portfolio data from servicer & HAFA
1,209,800,000 initial cap
Updated portfolio data from servicer & 2MP
1,075,240,000 initial cap
683,100,000 Updated portfolio data from servicer
Transfer of cap to Saxon Mortgage Services,
682,470,000 Inc.
695,570,000 Initial FHA-HAMP cap and initial FHA-2LP cap

9/30/2010

$

(8,006,457) $

10/15/2010

$

(100,000) $

687,563,543 Updated portfolio data from servicer

9/30/2009

$

180,000 $

12/30/2009

$

(350,000) $

3/26/2010

$

20,000 $

270,000 Updated portfolio data from servicer

7/14/2010

$

(70,000) $

200,000 Updated portfolio data from servicer

687,463,543 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
600,000 initial cap
Updated portfolio data from servicer & HAFA
250,000 initial cap

Page 31 of 46

Servicer Modifying Borrowers' Loans
Name of Institution

Date

8/5/2009

8/5/2009

8/12/2009

8/12/2009

8/12/2009

Oakland Municipal Credit Union

HomEq Servicing

Litton Loan Servicing LP

PennyMac Loan Services, LLC

Servis One, Inc.

City

Oakland

North Highlands

Houston

Calasbasa

Titusville

Transaction
State
Type

CA

CA

TX

CA

PA

Purchase

Purchase

Purchase

Purchase

Purchase

Investment Description

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &

$

$

$

$

$

140,000

674,000,000

774,900,000

6,210,000

29,730,000

Adjustment Details
Pricing
Mechanism Note

N/A

N/A

N/A

N/A

N/A

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

9/30/2010

$

90,111 $

9/30/2009

$

290,000 $

12/30/2009

$

210,000 $

290,111 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
430,000 initial cap
Updated portfolio data from servicer & HAFA
640,000 initial cap

3/26/2010

$

170,000 $

810,000 Updated portfolio data from servicer

7/14/2010

$

(10,000) $

800,000 Updated portfolio data from servicer

9/30/2010

$

(74,722) $

9/30/2009

$

(121,190,000) $

12/30/2009

$

(36,290,000) $

725,278 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
552,810,000 initial cap
Updated portfolio data from servicer & HAFA
516,520,000 initial cap

3/26/2010

$

199,320,000 $

715,840,000 Updated portfolio data from servicer

7/14/2010

$

(189,040,000) $

526,800,000 Updated portfolio data from servicer

9/30/2010

$

38,626,728 $

565,426,728 Updated portfolio data from servicer

10/15/2010

$

(170,800,000) $

9/30/2009
9/30/
009

$

313,050,000
3 3,050,000 $

12/30/2009

$

275,370,000 $

394,626,728 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
1,087,950,000
,08 ,950,000 initial
t a cap
Updated portfolio data from servicer & HAFA
1,363,320,000 initial cap

3/26/2010

$

278,910,000 $

1,642,230,000 Updated portfolio data from servicer

7/14/2010

$

(474,730,000) $

1,167,500,000 Updated portfolio data from servicer

8/13/2010

$

(700,000) $

1,166,800,000 Transfer of cap to due to servicing transfer

9/15/2010

$

(1,000,000) $

1,165,800,000 Transfer of cap to due to servicing transfer

9/30/2010

$

(115,017,236) $

10/15/2010

$

(800,000) $

1,050,782,764 Updated portfolio data from servicer
1,049,982,764 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
5,010,000 initial cap
Updated portfolio data from servicer & HAFA
35,810,000 initial cap

9/30/2009

$

(1,200,000) $

12/30/2009

$

30,800,000 $

3/26/2010

$

23,200,000 $

6/16/2010

$

2,710,000 $

7/14/2010

$

(18,020,000) $

7/16/2010

$

6,680,000 $

43,700,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
50,380,000 servicing transfer

8/13/2010

$

2,600,000 $

52,980,000 Transfer of cap to due to servicing transfer

9/15/2010

$

(100,000) $

52,880,000 Transfer of cap to due to servicing transfer

9/30/2010

$

200,000 $

53,080,000 Initial FHA-HAMP cap and 2MP initial cap

9/30/2010

$

(1,423,197) $

9/30/2009

$

(25,510,000) $

12/30/2009

$

520,000 $

3/26/2010

$

4,330,000 $

59,010,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
61,720,000 servicing transfer

51,656,803 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
4,220,000 initial cap
Updated portfolio data from servicer & HAFA
4,740,000 initial cap
9,070,000 Updated portfolio data from servicer
Page 32 of 46

Servicer Modifying Borrowers' Loans
Name of Institution

Date

8/28/2009

8/28/2009

8/28/2009

9/2/2009

OneWest Bank

Stanford Federal Credit Union

RoundPoint Mortgage Servicing Corporation

Horicon Bank

9/2/2009 as Vantium Capital, Inc.dba Acqura Loan Services
amended on
8/27/2010

City

Pasadena

Palo Alto

Charlotte

Horicon

Plano

Transaction
State
Type

CA

CA

NC

WI

TX

Purchase

Purchase

Purchase

Purchase

Purchase

Investment Description

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &

$

$

$

$

$

668,440,000

300,000

570,000

560,000

6,000,000

Adjustment Details
Pricing
Mechanism Note

N/A

N/A

N/A

N/A

N/A

10

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

Transfer of cap from CitiMortgage, Inc. due to
9,300,000 servicing transfer

4/19/2010

$

230,000 $

5/19/2010

$

850,000 $

7/14/2010

$

(850,000) $

9/15/2010

$

100,000 $

9/30/2010

$

100,000 $

9/30/2010

$

16,755,064 $

10/15/2010

$

100,000 $

10/2/2009

$

145,800,000 $

12/30/2009

$

1,355,930,000 $

3/26/2010

$

121,180,000 $

2,291,350,000 Updated portfolio data from servicer

7/14/2010

$

(408,850,000) $

1,882,500,000 Updated portfolio data from servicer

9/30/2010

$

5,500,000 $

9/30/2010
9/30/
0 0

$

(5
(51,741,163)
,
, 63) $

10/2/2009

$

70,000 $

12/30/2009

$

2,680,000 $

3/26/2010

$

350,000 $

3,400,000 Updated portfolio data from servicer

7/14/2010

$

(1,900,000) $

1,500,000 Updated portfolio data from servicer

9/30/2010

$

(1,209,889) $

290,111 Updated portfolio data from servicer

10/2/2009

$

130,000 $

12/30/2009

$

(310,000) $

3/26/2010

$

2,110,000 $

2,500,000 Updated portfolio data from servicer

7/14/2010

$

8,300,000 $

10,800,000 Updated portfolio data from servicer

9/30/2010

$

5,301,172 $

16,101,172 Updated portfolio data from servicer

10/2/2009

$

130,000 $

12/30/2009

$

1,040,000 $

3/26/2010

$

(1,680,000) $

50,000 Updated portfolio data from servicer

5/12/2010

$

1,260,000 $

1,310,000 Updated portfolio data from servicer

7/14/2010

$

(1,110,000) $

200,000 Updated portfolio data from servicer

9/30/2010

$

100,000 $

9/30/2010

$

(9,889) $

10/2/2009

$

1,310,000 $

12/30/2009

$

(3,390,000) $

3/26/2010

$

410,000 $

10,150,000 Initial 2MP cap
9,300,000 Updated portfolio data from servicer
9,400,000 Transfer of cap to due to servicing transfer
9,500,000 Initial FHA-HAMP cap
26,255,064 Updated portfolio data from servicer
26,355,064 Transfer of cap due to servicing transfer
814,240,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
2,170,170,000 initial cap

1,888,000,000 2MP initial cap
1,836,258,837
,836, 58,83 Updated po
portfolio
t o o data from
o se
servicer
ce
370,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
3,050,000 initial cap

700,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
390,000 initial cap

690,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
1,730,000 initial cap

300,000 Initial RD-HAMP
290,111 Updated portfolio data from servicer
7,310,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
3,920,000 initial cap
4,330,000 Updated portfolio data from servicer
Page 33 of 46

Servicer Modifying Borrowers' Loans
Date

9/9/2009

9/9/2009

9/9/2009

9/11/2009

9/11/2009

9/11/2009

Name of Institution

Central Florida Educators Federal Credit Union

U.S. Bank National Association

CUC Mortgage Corporation

ORNL Federal Credit Union

Allstate Mortgage Loans & Investments, Inc.

Metropolitan National Bank

City

Lake Mary

Owensboro

Albany

Oak Ridge

Ocala

Little Rock

Transaction
State
Type

FL

KY

NY

TN

FL

AR

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Investment Description

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &

$

$

$

$

$

$

1,250,000

114,220,000

4,350,000

2,070,000

250,000

280,000

Adjustment Details
Pricing
Mechanism Note

N/A

N/A

N/A

N/A

N/A

N/A

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

7/14/2010

$

(730,000) $

3,600,000 Updated portfolio data from servicer

9/15/2010

$

4,700,000 $

8,300,000 Transfer of cap due to servicing transfer

9/30/2010

$

117,764 $

8,417,764 Updated portfolio data from servicer

10/2/2009

$

280,000 $

12/30/2009

$

(750,000) $

1,530,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
780,000 initial cap

3/26/2010

$

120,000 $

900,000 Updated portfolio data from servicer

7/14/2010

$

(300,000) $

600,000 Updated portfolio data from servicer

9/30/2010

$

270,334 $

870,334 Updated portfolio data from servicer

10/2/2009

$

24,920,000 $

12/30/2009

$

49,410,000 $

139,140,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
188,550,000 initial cap

3/26/2010

$

41,830,000 $

230,380,000 Updated portfolio data from servicer

7/14/2010

$

(85,780,000) $

144,600,000 Updated portfolio data from servicer

9/30/2010
9/30/
0 0

$

36,574,444
$
36,5 ,

181,174,444
Updated po
8 ,
,
portfolio
t o o data from
o se
servicer
ce

10/2/2009

$

950,000 $

12/30/2009

$

5,700,000 $

3/26/2010

$

740,000 $

11,740,000 Updated portfolio data from servicer

7/14/2010

$

(1,440,000) $

10,300,000 Updated portfolio data from servicer

9/30/2010

$

(6,673,610) $

3,626,390 Updated portfolio data from servicer

10/2/2009

$

460,000 $

12/30/2009

$

2,730,000 $

3/26/2010

$

13,280,000 $

18,540,000 Updated portfolio data from servicer

7/14/2010

$

(13,540,000) $

5,000,000 Updated portfolio data from servicer

9/30/2010

$

1,817,613 $

6,817,613 Updated portfolio data from servicer

10/2/2009

$

60,000 $

12/30/2009

$

(80,000) $

310,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
230,000 initial cap

3/26/2010

$

280,000 $

510,000 Updated portfolio data from servicer

7/14/2010

$

(410,000) $

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056 $

145,056 Updated portfolio data from servicer

10/2/2009

$

70,000 $

12/30/2009

$

620,000 $

350,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
970,000 initial cap

3/26/2010

$

100,000 $

1,070,000 Updated portfolio data from servicer

7/14/2010

$

(670,000) $

400,000 Updated portfolio data from servicer

9/30/2010

$

35,167 $

435,167 Updated portfolio data from servicer

5,300,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
11,000,000 initial cap

2,530,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
5,260,000 initial cap

Page 34 of 46

Servicer Modifying Borrowers' Loans
Name of Institution

Date
9/11/2009

9/16/2009

9/23/2009

9/23/2009

9/23/2009

9/23/2009

9/23/2009

Franklin Credit Management Corporation

Bay Federal Credit Union

AMS Servicing, LLC

Schools Financial Credit Union

Glass City Federal Credit Union

Central Jersey Federal Credit Union

Yadkin Valley Bank

City
Jersey City

Capitola

Buffalo

Sacramento

Maumee

Woodbridge

Elkin

Transaction
State
Type
NJ

CA

NY

CA

OH

NJ

NC

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Investment Description
Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
$

$

$

$

$

$

$

27,510,000

410,000

4,390,000

390,000

230,000

30,000

240,000

Adjustment Details
Pricing
Mechanism Note
N/A

N/A

N/A

N/A

N/A

N/A

N/A

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

10/2/2009

$

6,010,000 $

33,520,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
13,770,000 initial cap

12/30/2009

$

(19,750,000) $

3/26/2010

$

(4,780,000) $

8,990,000 Updated portfolio data from servicer

7/14/2010

$

(2,390,000) $

6,600,000 Updated portfolio data from servicer

9/30/2010

$

2,973,670 $

9,573,670 Updated portfolio data from servicer

10/2/2009

$

90,000 $

12/30/2009

$

1,460,000 $

3/26/2010

$

160,000 $

2,120,000 Updated portfolio data from servicer

7/14/2010

$

(120,000) $

2,000,000 Updated portfolio data from servicer

9/30/2010

$

(1,419,778) $

580,222 Updated portfolio data from servicer

10/2/2009

$

960,000 $

12/30/2009

$

(3,090,000) $

3/26/2010
3/
6/ 0 0

$

230,000
30,000 $

2,490,000
, 90,000 Updated po
portfolio
t o o data from
o se
servicer
ce

7/14/2010

$

5,310,000 $

7,800,000 Updated portfolio data from servicer

9/30/2010

$

323,114 $

8,123,114 Updated portfolio data from servicer

10/2/2009

$

90,000 $

12/30/2009

$

940,000 $

3/26/2010

$

(980,000) $

440,000 Updated portfolio data from servicer

7/14/2010

$

(140,000) $

300,000 Updated portfolio data from servicer

9/30/2010

$

1,150,556 $

1,450,556 Updated portfolio data from servicer

500,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
1,960,000 initial cap

5,350,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
2,260,000 initial cap

480,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
1,420,000 initial cap

10/2/2009

$

60,000 $

12/30/2009

$

(10,000) $

290,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
280,000 initial cap

3/26/2010

$

130,000 $

410,000 Updated portfolio data from servicer

7/14/2010

$

(110,000) $

300,000 Updated portfolio data from servicer

9/30/2010

$

(9,889) $

290,111 Updated portfolio data from servicer

10/2/2009

$

10,000 $

12/30/2009

$

120,000 $

40,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
160,000 initial cap

3/26/2010

$

10,000 $

170,000 Updated portfolio data from servicer

7/14/2010

$

(70,000) $

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056 $

145,056 Updated portfolio data from servicer

10/2/2009

$

60,000 $

12/30/2009

$

350,000 $

300,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
650,000 initial cap

3/26/2010

$

1,360,000 $

2,010,000 Updated portfolio data from servicer
Page 35 of 46

Servicer Modifying Borrowers' Loans
Name of Institution

Date

9/25/2009

SEFCU

10/14/2009 Great Lakes Credit Union

10/14/2009 Mortgage Clearing Corporation

10/21/2009 United Bank Mortgage Corporation

10/23/2009 Bank United

10/23/2009 IC Federal Credit Union

City

Albany

North Chicago

Tulsa

Grand Rapids

Miami Lakes

Fitchburg

Transaction
State
Type

NY

IL

OK

MI

FL

MA

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Investment Description

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &

$

$

$

$

$

$

440,000

570,000

4,860,000

410,000

93,660,000

760,000

Adjustment Details
Pricing
Mechanism Note

N/A

N/A

N/A

N/A

N/A

N/A

10/28/2009 Harleysville National Bank & Trust Company

Harleysville

PA

Purchase

Financial Instrument for Home Loan Modifications

$

1,070,000

N/A

10/28/2009 Members Mortgage Company, Inc

Woburn

MA

Purchase

Financial Instrument for Home Loan Modifications

$

510,000

N/A

10/30/2009 DuPage Credit Union

Naperville

IL

Purchase

Financial Instrument for Home Loan Modifications

$

70,000

N/A

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

7/14/2010

$

(1,810,000) $

200,000 Updated portfolio data from servicer

9/30/2010

$

235,167 $

435,167 Updated portfolio data from servicer

10/2/2009

$

100,000 $

12/30/2009

$

20,000 $

540,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
560,000 initial cap

3/26/2010

$

(290,000) $

270,000 Updated portfolio data from servicer

7/14/2010

$

(70,000) $

200,000 Updated portfolio data from servicer

9/30/2010

$

(54,944) $

12/30/2009

$

1,030,000 $

3/26/2010

$

(880,000) $

720,000 Updated portfolio data from servicer

7/14/2010

$

(320,000) $

400,000 Updated portfolio data from servicer

9/30/2010

$

180,222 $

12/30/2009

$

(2,900,000) $

3/26/2010
3/
6/ 0 0

$

((1,600,000)
,600,000) $

360,000 Updated po
portfolio
t o o data from
o se
servicer
ce

7/14/2010

$

(260,000) $

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056 $

145,056 Updated portfolio data from servicer

1/22/2010

$

20,000 $

430,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

400,000 $

830,000 Updated portfolio data from servicer

7/14/2010

$

(430,000) $

400,000 Updated portfolio data from servicer

9/30/2010

$

180,222 $

580,222 Updated portfolio data from servicer

1/22/2010

$

4,370,000 $

3/26/2010

$

23,880,000 $

121,910,000 Updated portfolio data from servicer

7/14/2010

$

(16,610,000) $

105,300,000 Updated portfolio data from servicer

9/30/2010

$

1,751,033 $

107,051,033 Updated portfolio data from servicer

1/22/2010

$

40,000 $

3/26/2010

$

(760,000) $

40,000 Updated portfolio data from servicer

5/12/2010

$

2,630,000 $

2,670,000 Updated portfolio data from servicer

145,056 Updated portfolio data from servicer
Updated portfolio data from servicer & HAFA
1,600,000 initial cap

580,222 Updated portfolio data from servicer
Updated portfolio data from servicer & HAFA
1,960,000 initial cap

98,030,000 Updated HPDP cap & HAFA initial cap

800,000 Updated HPDP cap & HAFA initial cap

7/14/2010

$

(770,000) $

1,900,000 Updated portfolio data from servicer

9/30/2010

$

565,945 $

2,465,945 Updated portfolio data from servicer

4/21/2010

$

(1,070,000) $

- Termination of SPA

4/21/2010

$

(510,000) $

- Termination of SPA

1/22/2010

$

10,000 $

80,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

10,000 $

90,000 Updated portfolio data from servicer

Page 36 of 46

Servicer Modifying Borrowers' Loans
Name of Institution

Date

11/6/2009

Los Alamos National Bank

11/18/2009 Quantum Servicing Corporation

11/18/2009 Hillsdale County National Bank

11/18/2009 QLending, Inc.

11/25/2009 Marix Servicing, LLC

City

Los Alamos

Tampa

Hillsdale

Coral Gables

Phoenix

Transaction
State
Type

NM

FL

MI

FL

AZ

Purchase

Purchase

Purchase

Purchase

Purchase

Investment Description

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &

$

$

$

$

$

700,000

18,960,000

1,670,000

20,000

20,360,000

Adjustment Details
Pricing
Mechanism Note

N/A

N/A

N/A

N/A

N/A

11/25/2009 Home Financing Center, Inc

Coral Gables

FL

Purchase

Financial Instrument for Home Loan Modifications

$

230,000

N/A

11/25/2009 First Keystone Bank

Media

PA

Purchase

Financial Instrument for Home Loan Modifications

$

1,280,000

N/A

12/4/2009

Community Bank & Trust Company

Clarks Summit

PA

Purchase

Financial Instrument for Home Loan Modifications

$

380,000

N/A

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

7/14/2010

$

10,000 $

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056 $

145,056 Updated portfolio data from servicer

1/22/2010

$

40,000 $

740,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

50,000 $

790,000 Updated portfolio data from servicer

7/14/2010

$

1,310,000 $

2,100,000 Updated portfolio data from servicer

9/30/2010

$

75,834 $

2,175,834 Updated portfolio data from servicer

1/22/2010

$

890,000 $

3/26/2010

$

3,840,000 $

23,690,000 Updated portfolio data from servicer

7/14/2010

$

(2,890,000) $

20,800,000 Updated portfolio data from servicer

9/30/2010

$

9,661,676 $

30,461,676 Updated portfolio data from servicer

1/22/2010

$

80,000 $

3/26/2010

$

330,000 $

2,080,000 Updated portfolio data from servicer

7/14/2010

$

(1
(1,080,000)
080 000) $

1
1,000,000
000 000 Updated portfolio data from servicer

9/30/2010

$

160,445 $

1,160,445 Updated portfolio data from servicer

1/22/2010

$

- $

3/26/2010

$

(10,000) $

10,000 Updated portfolio data from servicer

7/14/2010

$

90,000 $

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056 $

145,056 Updated portfolio data from servicer

1/22/2010

$

950,000 $

21,310,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

(17,880,000) $

6/16/2010

$

1,030,000 $

7/14/2010

$

(1,160,000) $

8/13/2010

$

800,000 $

4,100,000 Transfer of cap due to servicing transfer

9/30/2010

$

200,000 $

4,300,000 Initial FHA-HAMP cap and initial RD-HAMP

9/30/2010

$

1,357,168 $

4/21/2010

$

(230,000) $

1/22/2010

$

50,000 $

3/26/2010

$

1,020,000 $

2,350,000 Updated portfolio data from servicer

7/14/2010

$

(950,000) $

1,400,000 Updated portfolio data from servicer

9/30/2010

$

50,556 $

1,450,556 Updated portfolio data from servicer

1/22/2010

$

10,000 $

3/26/2010

$

520,000 $

19,850,000 Updated HPDP cap & HAFA initial cap

1,750,000 Updated HPDP cap & HAFA initial cap

20,000 Updated HPDP cap & HAFA initial cap

3,430,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
4,460,000 servicing transfer
3,300,000 Updated portfolio data from servicer

5,657,168 Updated portfolio data from servicer
- Termination of SPA
1,330,000 Updated HPDP cap & HAFA initial cap

390,000 Updated HPDP cap & HAFA initial cap
910,000 Updated portfolio data from servicer

Page 37 of 46

Servicer Modifying Borrowers' Loans
Date

12/4/2009

12/9/2009

12/9/2009

12/9/2009

12/9/2009

12/9/2009

12/9/2009

Name of Institution

Idaho Housing and Finance Association

Spirit of Alaska Federal Credit Union

American Eagle Federal Credit Union

Silver State Schools Credit Union

Fidelity Homestead Savings Bank

Bay Gulf Credit Union

The Golden 1 Credit Union

City

Boise

Fairbanks

East Hartford

Las Vegas

New Orleans

Tampa

Sacramento

Transaction
State
Type

ID

AK

CT

NV

LA

FL

CA

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Investment Description

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &

$

$

$

$

$

$

$

9,430,000

360,000

1,590,000

1,880,000

2,940,000

230,000

6,160,000

Adjustment Details
Pricing
Mechanism Note

N/A

N/A

N/A

N/A

N/A

N/A

N/A

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

7/14/2010

$

(810,000) $

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056 $

145,056 Updated portfolio data from servicer

1/22/2010

$

440,000 $

9,870,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

14,480,000 $

24,350,000 Updated portfolio data from servicer

5/26/2010

$

(24,200,000) $

150,000 Updated portfolio data from servicer

7/14/2010

$

150,000 $

300,000 Updated portfolio data from servicer

9/30/2010

$

(9,889) $

290,111 Updated portfolio data from servicer

1/22/2010

$

10,000 $

370,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

850,000 $

7/14/2010

$

(120,000) $

9/30/2010

$

100,000 $

1,200,000 Initial FHA-HAMP cap

9/30/2010

$

105,500 $

1,305,500 Updated portfolio data from servicer

1/22/2010

$

70 000 $
70,000

3/26/2010

$

(290,000) $

1,370,000 Updated portfolio data from servicer

7/14/2010

$

(570,000) $

800,000 Updated portfolio data from servicer

9/30/2010

$

70,334 $

870,334 Updated portfolio data from servicer

1/22/2010

$

90,000 $

1,970,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

1,110,000 $

3,080,000 Updated portfolio data from servicer

7/14/2010

$

(1,180,000) $

1,900,000 Updated portfolio data from servicer

9/30/2010

$

275,834 $

2,175,834 Updated portfolio data from servicer

1/22/2010

$

140,000 $

3,080,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

6,300,000 $

9,380,000 Updated portfolio data from servicer

7/14/2010

$

(1,980,000) $

7,400,000 Updated portfolio data from servicer

9/30/2010

$

(6,384,611) $

1,015,389 Updated portfolio data from servicer

1/22/2010

$

10,000 $

3/26/2010

$

440,000 $

680,000 Updated portfolio data from servicer

7/14/2010

$

(80,000) $

600,000 Updated portfolio data from servicer

9/30/2010

$

(19,778) $

580,222 Updated portfolio data from servicer

10/15/2010

$

(580,222) $

1/22/2010

$

290,000 $

3/26/2010

$

40,000 $

6,490,000 Updated portfolio data from servicer

7/14/2010

$

(2,890,000) $

3,600,000 Updated portfolio data from servicer

1,220,000 Updated portfolio data from servicer
1,100,000 Updated portfolio data from servicer

1
1,660,000
660 000 Updated HPDP cap & HAFA initial cap

240,000 Updated HPDP cap & HAFA initial cap

- Termination of SPA
6,450,000 Updated HPDP cap & HAFA initial cap

Page 38 of 46

Servicer Modifying Borrowers' Loans
Name of Institution

Date

12/9/2009

Sterling Savings Bank

12/11/2009 HomeStar Bank & Financial Services

12/11/2009 Glenview State Bank

12/11/2009 Verityy Credit Union

12/11/2009 Hartford Savings Bank

City

Spokane

Manteno

Glenview

Seattle

Hartford

Transaction
State
Type

WA

IL

IL

WA

WI

Purchase

Purchase

Purchase

Purchase

Purchase

Investment Description

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &

$

$

$

$

$

2,250,000

310,000

370,000

600,000
,

630,000

Adjustment Details
Pricing
Mechanism Note

N/A

N/A

N/A

N/A

N/A

12/11/2009 The Bryn Mawr Trust Co.

Bryn Mawr

PA

Purchase

Financial Instrument for Home Loan Modifications

$

150,000

N/A

12/16/2009 Citizens 1st National Bank

Spring Valley

IL

Purchase

Financial Instrument for Home Loan Modifications

$

620,000

N/A

12/16/2009 Golden Plains Credit Union

Garden City

KS

Purchase

Financial Instrument for Home Loan Modifications

$

170,000

N/A

12/16/2009 First Federal Savings and Loan Association of Lakewood

Lakewood

OH

Purchase

Financial Instrument for Home Loan Modifications

$

3,460,000

N/A

12/16/2009 Sound Community Bank

Seattle

WA

Purchase

Financial Instrument for Home Loan Modifications

$

440,000

N/A

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

9/30/2010

$

606,612 $

4,206,612 Updated portfolio data from servicer

1/22/2010

$

100,000 $

2,350,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

(740,000) $

1,610,000 Updated portfolio data from servicer

7/14/2010

$

(710,000) $

900,000 Updated portfolio data from servicer

9/30/2010

$

550,556 $

1,450,556 Updated portfolio data from servicer

1/22/2010

$

20,000 $

3/26/2010

$

820,000 $

1,150,000 Updated portfolio data from servicer

7/14/2010

$

(350,000) $

800,000 Updated portfolio data from servicer

9/30/2010

$

70,334 $

870,334 Updated portfolio data from servicer

1/22/2010

$

20,000 $

390,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

1,250,000 $

5/26/2010

$

(1,640,000) $

330,000 Updated HPDP cap & HAFA initial cap

1,640,000 Updated portfolio data from servicer
- Termination of SPA

1/22/2010

$

30 000 $
30,000

3/26/2010

$

400,000 $

1,030,000 Updated portfolio data from servicer

630
630,000
000 Updated HPDP cap & HAFA initial cap

7/14/2010

$

(330,000) $

700,000 Updated portfolio data from servicer

9/30/2010

$

25,278 $

725,278 Updated portfolio data from servicer

1/22/2010

$

30,000 $

660,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

800,000 $

1,460,000 Updated portfolio data from servicer

7/14/2010

$

(360,000) $

1,100,000 Updated portfolio data from servicer

9/30/2010

$

60,445 $

1,160,445 Updated portfolio data from servicer

4/21/2010

$

(150,000) $

1/22/2010

$

30,000 $

3/26/2010

$

(580,000) $

70,000 Updated portfolio data from servicer

7/14/2010

$

1,430,000 $

1,500,000 Updated portfolio data from servicer

9/30/2010

$

95,612 $

1,595,612 Updated portfolio data from servicer

1/22/2010

$

10,000 $

180,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

,
30,000
$

,
p
p
210,000
Updated
portfolio
data from servicer

7/14/2010

$

(10,000) $

200,000 Updated portfolio data from servicer

9/30/2010

$

90,111 $

290,111 Updated portfolio data from servicer

1/22/2010

$

160,000 $

3,620,000 Updated HPDP cap & HAFA initial cap

4/21/2010

$

(3,620,000) $

1/22/2010

$

20,000 $

- Termination of SPA
650,000 Updated HPDP cap & HAFA initial cap

- Termination of SPA
460,000 Updated HPDP cap & HAFA initial cap

Page 39 of 46

Servicer Modifying Borrowers' Loans
Name of Institution

Date

12/16/2009 Horizon Bank, NA

12/16/2009 Park View Federal Savings Bank

12/23/2009 Iberiabank

12/23/2009 Grafton Suburban Credit Union

12/23/2009 Eaton National Bank & Trust Company

12/23/2009 Tempe Schools Credit Union

1/13/2010

1/13/2010

Fresno County Federal Credit Union

Roebling Bank

City

Michigan City

Solon

Sarasota

North Grafton

Eaton

Tempe

Fresno

Roebling

Transaction
State
Type

IN

OH

FL

MA

OH

AZ

CA

NJ

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Purchase

Investment Description

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &

$

$

$

$

$

$

$

$

700,000

760,000

4,230,000

340,000

60,000

110,000

260,000

240,000

Adjustment Details
Pricing
Mechanism Note

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

3/26/2010

$

1,430,000 $

1,890,000 Updated portfolio data from servicer

7/14/2010

$

(390,000) $

1,500,000 Updated portfolio data from servicer

9/8/2010

$

(1,500,000) $

1/22/2010

$

30,000 $

3/26/2010

$

1,740,000 $

2,470,000 Updated portfolio data from servicer

7/14/2010

$

(1,870,000) $

600,000 Updated portfolio data from servicer

9/30/2010

$

850,556 $

1,450,556 Updated portfolio data from servicer

1/22/2010

$

40,000 $

3/26/2010

$

140,000 $

940,000 Updated portfolio data from servicer

7/14/2010

$

(140,000) $

800,000 Updated portfolio data from servicer

9/30/2010

$

70,334 $

870,334 Updated portfolio data from servicer

1/22/2010

$

200,000 $

4,430,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

(1
(1,470,000)
470 000) $

2
2,960,000
960 000 Updated portfolio data from servicer

7/14/2010

$

(1,560,000) $

1,400,000 Updated portfolio data from servicer

9/30/2010

$

5,852,780 $

7,252,780 Updated portfolio data from servicer

1/22/2010

$

20,000 $

3/26/2010

$

(320,000) $

40,000 Updated portfolio data from servicer

7/14/2010

$

760,000 $

800,000 Updated portfolio data from servicer

9/30/2010

$

(74,722) $

725,278 Updated portfolio data from servicer

1/22/2010

$

- $

3/26/2010

$

90,000 $

150,000 Updated portfolio data from servicer

7/14/2010

$

50,000 $

200,000 Updated portfolio data from servicer

9/30/2010

$

(54,944) $

145,056 Updated portfolio data from servicer

1/22/2010

$

- $

3/26/2010

$

(20,000) $

90,000 Updated portfolio data from servicer

7/14/2010

$

10,000 $

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056 $

145,056 Updated portfolio data from servicer

3/26/2010

$

480,000 $

740,000 Updated portfolio data from servicer

7/14/2010

$

(140,000) $

600,000 Updated portfolio data from servicer

9/30/2010

$

(19,778) $

580,222 Updated portfolio data from servicer

3/26/2010

$

610,000 $

850,000 Updated portfolio data from servicer

7/14/2010

$

50,000 $

900,000 Updated portfolio data from servicer

- Termination of SPA
730,000 Updated HPDP cap & HAFA initial cap

800,000 Updated HPDP cap & HAFA initial cap

360,000 Updated HPDP cap & HAFA initial cap

60,000 Updated HPDP cap & HAFA initial cap

110,000 Updated HPDP cap & HAFA initial cap

Page 40 of 46

Servicer Modifying Borrowers' Loans
Name of Institution

Date

1/13/2010

1/13/2010

1/13/2010

First National Bank of Grant Park

Specialized Loan Servicing, LLC

Greater Nevada Mortgage Services

City

Grant Park

Highlands Ranch

Carson City

Transaction
State
Type

IL

CO

NV

Purchase

Purchase

Purchase

Investment Description

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &

$

$

$

140,000

64,150,000

770,000

Adjustment Details
Pricing
Mechanism Note

N/A

N/A

N/A

1/15/2010

Digital Federal Credit Union

Marlborough

MA

Purchase

Financial Instrument for Home Loan Modifications

$

3,050,000

N/A

1/29/2010

iServe Residential Lending, LLC

San Diego

CA

Purchase

Financial Instrument for Home Loan Modifications

$

960,000

N/A

1/29/2010

United Bank

Griffin

GA

Purchase

Financial Instrument for Home Loan Modifications

$

540,000

N/A

3/3/2010

Urban Trust Bank

Lake Mary

FL

Purchase

Financial Instrument for Home Loan Modifications

$

1,060,000

N/A

3/5/2010

iServe Servicing, Inc.

Irving

TX

Purchase

Financial Instrument for Home Loan Modifications

$

28,040,000

N/A

3/10/2010

Navy Federal Credit Union

Vienna

VA

Purchase

Financial Instrument for Home Loan Modifications

$

60,780,000

N/A

3/10/2010

Vist Financial Corp

Wyomissing

PA

Purchase

Financial Instrument for Home Loan Modifications

$

300,000

N/A

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

9/30/2010

$

(29,666) $

870,334 Updated portfolio data from servicer

3/26/2010

$

150,000 $

290,000 Updated portfolio data from servicer

7/14/2010

$

10,000 $

300,000 Updated portfolio data from servicer

9/30/2010

$

(9,889) $

290,111 Updated portfolio data from servicer

3/26/2010

$

(51,240,000) $

5/14/2010

$

3,000,000 $

6/16/2010

$

4,860,000 $

7/14/2010

$

3,630,000 $

7/16/2010

$

330,000 $

24,400,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
24,730,000 servicing transfer

8/13/2010

$

700,000 $

25,430,000 Transfer of cap due to servicing transfer

9/15/2010

$

200,000 $

25,630,000 Transfer of cap due to servicing transfer

9/30/2010

$

(1,695,826) $

23,934,174 Updated portfolio data from servicer

3/26/2010

$

8
8,680,000
680 000 $

9
9,450,000
450 000 Updated portfolio data from servicer

7/14/2010

$

(8,750,000) $

700,000 Updated portfolio data from servicer

9/30/2010

$

170,334 $

870,334 Updated portfolio data from servicer

3/26/2010

$

12,190,000 $

15,240,000 Updated portfolio data from servicer

5/14/2010

$

(15,240,000) $

3/26/2010

$

(730,000) $

230,000 Updated portfolio data from servicer

7/14/2010

$

370,000 $

600,000 Updated portfolio data from servicer

9/30/2010

$

200,000 $

800,000 Initial FHA-HAMP cap and initial 2MP cap

9/30/2010

$

(364,833) $

435,167 Updated portfolio data from servicer

3/26/2010

$

160,000 $

700,000 Updated portfolio data from servicer

9/30/2010

$

25,278 $

725,278 Updated portfolio data from servicer

7/14/2010

$

4,440,000 $

5,500,000 Updated portfolio data from servicer

9/24/2010

$

(5,500,000) $

5/26/2010

$

120,000 $

7/14/2010

$

(12,660,000) $

9/30/2010

$

100,000 $

9/30/2010

$

(3,125,218) $

12,474,782 Updated portfolio data from servicer

7/14/2010

$

(44,880,000) $

15,900,000 Updated portfolio data from servicer

9/30/2010

$

1,071,505 $

16,971,505 Updated portfolio data from servicer

7/14/2010

$

400,000 $

700,000 Updated portfolio data from servicer

12,910,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
15,910,000 servicing transfer
Transfer of cap from CitiMortgage, Inc. due to
20,770,000 servicing transfer

- Termination of SPA

- Termination of SPA
28,160,000 Initial 2MP cap
15,500,000 Updated portfolio data from servicer
15,600,000 Initial FHA-HAMP cap

Page 41 of 46

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

4/14/2010

Midwest Bank and Trust Co.

Elmwood Park

4/14/2010

Wealthbridge Mortgage Corp

Beaverton

Transaction
State
Type

Investment Description

Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &

Adjustment Details
Pricing
Mechanism Note

IL

Purchase

Financial Instrument for Home Loan Modifications

$

300,000

N/A

OR

Purchase

Financial Instrument for Home Loan Modifications

$

6,550,000

N/A

5/21/2010

Aurora Financial Group, Inc.

Marlton

NJ

Purchase

Financial Instrument for Home Loan Modifications

$

10,000

N/A

4, 8

6/16/2010

Selene Financial, L.P.

Houston

TX

Transfer

Financial Instrument for Home Loan Modifications

$

-

N/A

9

8/4/2010

g g Company
p y of New Mexico
Suburban Mortgage

q q
Albuquerque

NM

Purchase

Financial Instrument for Home Loan Modifications

$

,
880,000

N/A

8/20/2010

Bramble Savings Bank

Cincinanati

OH

Purchase

Financial Instrument for Home Loan Modifications

$

700,000

N/A

8/25/2010

Pathfinder Bank

Oswego

NY

Purchase

Financial Instrument for Home Loan Modifications

$

1,300,000

N/A

8/27/2010

First Financial Bank, N.A.

Terre Haute

ID

Purchase

Financial Instrument for Home Loan Modifications

$

4,300,000

N/A

9/1/2010

RBC Bank (USA)

Raleigh

NC

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

9/3/2010

Fay Servicing, LLC

Chicago

IL

Purchase

Financial Instrument for Home Loan Modifications

$

3,100,000

N/A

9/15/2010

Vericret Financial, Inc.

Oklahoma City

OK

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9/15/2010

Midwest Community Bank

Freeport

IL

Purchase

Financial Instrument for Home Loan Modifications

$

400,000

N/A

9/24/2010

American Finance House LARIBA

Pasadena

CA

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

9/24/2010

Centrue Bank

Ottawa

IL

Purchase

Financial Instrument for Home Loan Modifications

$

1,900,000

N/A

9/30/2010

AgFirst Farm Credit Bank

Columbia

SC

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

9/30/2010

Amarillo National Bank

Amarillo

TX

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

9/30/2010

American Financial Resources Inc.

Parsippany

NJ

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

9/30/2010

Banco Popular de Puerto Rico

San Juan

PR

Purchase

Financial Instrument for Home Loan Modifications

$

1,700,000

N/A

4, 5, 8

9/30/2010

Capital International Financial, Inc.

Coral Gables

FL

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

9/24/2010

Citizens Community Bank

Freeburg

IL

Purchase

Financial Instrument for Home Loan Modifications

$

800,000

N/A

9/30/2010

Community Credit Union of Florida

Rockledge

FL

Purchase

Financial Instrument for Home Loan Modifications

$

2,000,000

N/A

6

9/30/2010

CU Mortgage Services, Inc.

New Brighton

MN

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

9/30/2010

First Federal Bank of Florida

Lake City

FL

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

4, 8

9

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

9/30/2010

$

25,278 $

725,278 Updated portfolio data from servicer

7/14/2010

$

300,000 $

600,000 Updated portfolio data from servicer

9/30/2010

$

(19,778) $

580,222 Updated portfolio data from servicer

7/14/2010

$

(150,000) $

6,400,000 Updated portfolio data from servicer

9/15/2010

$

1,600,000 $

8,000,000 Transfer of cap due to servicing transfer

9/30/2010

$

(4,352,173) $

5/26/2010

$

30,000 $

9/30/2010

$

250,111 $

6/16/2010

$

3,680,000

$

290,111 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
3,680,000 servicing transfer

8/13/2010

$

3,300,000

$

6,980,000 Transfer of cap due to servicing transfer

3,647,827 Updated portfolio data from servicer
40,000 Updated FHA-HAMP cap

9/30/2010

$

3,043,831 $

10,023,831 Updated portfolio data from servicer

10/15/2010

$

1,400,000 $

11,423,831 Transfer of cap due to servicing transfer

9/30/2010

$

1
1,585,945
585 945 $

2
2,465,945
465 945 Updated portfolio data from servicer

9/30/2010

$

1,040,667 $

1,740,667 Updated portfolio data from servicer

9/30/2010

$

2,181,334 $

3,481,334 Updated portfolio data from servicer

9/30/2010

$

7,014,337 $

11,314,337 Updated portfolio data from servicer

9/30/2010

$

45,056 $

145,056 Updated portfolio data from servicer

9/30/2010

$

5,168,169 $

8,268,169 Updated portfolio data from servicer

9/15/2010

$

1,000,000

1,000,000 Transfer of cap due to servicing transfer

9/30/2010

$

450,556 $

1,450,556 Updated portfolio data from servicer

9/30/2010

$

180,222 $

580,222 Updated portfolio data from servicer

9/30/2010

$

45,056 $

145,056 Updated portfolio data from servicer

9/30/2010

$

856,056 $

2,756,056 Updated portfolio data from servicer

9/30/2010

$

45,056 $

145,056 Updated portfolio data from servicer

9/30/2010

$

45,056 $

145,056 Updated portfolio data from servicer

9/30/2010

$

45,056 $

145,056 Updated portfolio data from servicer

9/30/2010

$

765
765,945
945 $

2
2,465,945
465 945 Updated portfolio data from servicer

9/30/2010

$

45,056 $

145,056 Updated portfolio data from servicer

9/30/2010

$

360,445 $

1,160,445 Updated portfolio data from servicer

9/30/2010

$

901,112 $

2,901,112 Updated portfolio data from servicer

9/30/2010

$

45,056 $

145,056 Updated portfolio data from servicer

9/30/2010

$

45,056 $

145,056 Updated portfolio data from servicer

$

Page 42 of 46

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

Transaction
State
Type

Investment Description

Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &

Adjustment Details
Pricing
Mechanism Note

9/30/2010

First Mortgage Coporation

Diamond Bar

CA

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

9/30/2010

First Safety Bank

Cincinnati

OH

Purchase

Financial Instrument for Home Loan Modifications

$

400,000

N/A

9/30/2010

Flagstar Capital Markets Corporation

Troy

MI

Purchase

Financial Instrument for Home Loan Modifications

$

800,000

N/A

7, 8

9/30/2010

Franklin Savings

Cincinnati

OH

Purchase

Financial Instrument for Home Loan Modifications

$

1,700,000

N/A

4

9/30/2010

Gateway Mortgage Group, LLC

Tulsa

OK

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

9/30/2010

GFA Federal Credit Union

Gardner

MA

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

9/30/2010

Guaranty Bank

Saint Paul

MN

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

9/24/2010

James B. Nutter & Company

Kansas City

MO

Purchase

Financial Instrument for Home Loan Modifications

$

300,000

N/A

4, 8

9/30/2010

Liberty Bank and Trust Co

New Orleans

LA

Purchase

Financial Instrument for Home Loan Modifications

$

1,000,000

N/A

9/30/2010

M&T Bank

Buffalo

NY

Purchase

Financial Instrument for Home Loan Modifications

$

700,000

N/A

4, 8

9/30/2010

Magna Bank

Germantown

TN

Purchase

Financial Instrument for Home Loan Modifications

$

1,400,000

N/A

5

9/30/2010

Mainstreet Credit Union

Lexena

KS

Purchase

Financial Instrument for Home Loan Modifications

$

500,000

N/A

9/30/2010

Marsh Associates
Associates, Inc.
Inc

Charlotte

NC

Purchase

Financial Instrument for Home Loan Modifications

$

100 000
100,000

N/A

4 8
4,

9/30/2010

Midland Mortgage Compnay

Oklahoma City

OK

Purchase

Financial Instrument for Home Loan Modifications

$

43,500,000

N/A

4, 5

9/30/2010

Schmidt Mortgage Company

Rocky River

OH

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

9/30/2010

Stockman Bank of Montana

Miles City

MT

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

9/30/2010

University First Federal Credit Union

Salt Lake City

UT

Purchase

Financial Instrument for Home Loan Modifications

$

600,000

N/A

9/30/2010

Weststar Mortgage, Inc.

Woodbridge

VA

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

Total Initial Cap

$

23,831,570,000
TOTAL CAP

4, 8

4, 8

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

9/30/2010

$

45,056 $

145,056 Updated portfolio data from servicer

9/30/2010

$

180,222 $

580,222 Updated portfolio data from servicer

9/30/2010

$

360,445 $

1,160,445 Updated portfolio data from servicer

9/30/2010

$

765,945 $

2,465,945 Updated portfolio data from servicer

9/30/2010

$

45,056 $

145,056 Updated portfolio data from servicer

9/30/2010

$

45,056 $

145,056 Updated portfolio data from servicer

9/30/2010

$

45,056 $

145,056 Updated portfolio data from servicer

9/30/2010

$

135,167 $

435,167 Updated portfolio data from servicer

9/30/2010

$

450,556 $

1,450,556 Updated portfolio data from servicer

9/30/2010

$

315,389 $

1,015,389 Updated portfolio data from servicer

9/30/2010

$

630,778 $

2,030,778 Updated portfolio data from servicer

9/30/2010

$

225,278 $

725,278 Updated portfolio data from servicer

9/30/2010

$

45,056 $

145,056 Updated portfolio data from servicer

9/30/2010

$

49,915,806 $

93,415,806 Updated portfolio data from servicer

9/30/2010

$

45,056 $

145,056 Updated portfolio data from servicer

9/30/2010

$

45,056 $

145,056 Updated portfolio data from servicer

9/30/2010

$

270,334 $

870,334 Updated portfolio data from servicer

9/30/2010

$

45,056 $

145,056 Updated portfolio data from servicer

Total Cap Adjustments

$

6,076,630,598

$

29,908,200,598

1/ The Cap of Incentive Payments represents the potential total amount allocated to each servicer and includes the maximum amount allotted for all payments on behalf of borrowers and payments to servicers and lenders/investors.
The Cap is subject to adjustment based on the total amount allocated to the program and individual servicer usage for borrower modifications. Each adjustment to the Cap is reflected under Adjustment Details.
2/ On July 31, 2009, the SPA with Chase Home Finance, LLC was terminated and superseded by new SPAs with J.P. Morgan Chase Bank, NA and EMC Mortgage Corporation.
3/ Wachovia Mortgage, FSB was merged with Wells Fargo Bank, NA, and the remaining Adjusted Cap stated above represents the amount previously paid to Wachovia Mortgage, FSB prior to such merger.
4/ Initial cap amount includes FHA-HAMP.
5/ Initial cap amount includes RD-HAMP.
6/ Initial cap amount includes 2MP.
7/ Initial cap amount includes FHA-2LP.
8/ Initial cap does not include HAMP.
9/ This institution executed an Assignment and Assumption Agreement (a copy of which is available on www.FinancialStability.gov) with respect to all rights and obligations for the transferred loan modifications. The amount transferred is realized as a cap adjustment and not as initial cap.
10/ The amendment reflects a change in the legal name of the institution.
As used in this table:
"HAFA" means the Home Affordable foreclosure Alternatives program.
"HPDP" means the Home Price Decline Protection program.
"2MP" means the Second Lien Modification Program.
"RD-HAMP" means the Rural Housing Service Home Affordable Modification Program.
"FHA-2LP" means the FHA Second Lien Program

Page 43 of 46

Housing Finance Agency Innovation Fund for the Hardest Hit Housing Markets
Hardest Hit Funds (HHF) Program
Seller
Note

Date

2

9/23/2010

3

9/29/2010

Name of Institution

6/23/2010 Nevada Affordable Housing Assistance Corporation

6/23/2010 CalHFA Mortgage Assistance Corporation
2

9/23/2010

3

9/29/2010
6/23/2010 Florida Housing Finance Corporation

2

9/23/2010

3

9/29/2010
6/23/2010 Arizona (Home) Foreclosure Prevention Funding Corporation

3

9/29/2010

2

9/23/2010

3

9/29/2010

6/23/2010 Michigan Homeowner Assistance Nonprofit Housing Corporation

8/3/2010
2

9/23/2010

3

9/29/2010
8/3/2010

2

9/23/2010

3

9/29/2010
8/3/2010

2

9/23/2010

3

9/29/2010
8/3/2010

2

9/23/2010

3

9/29/2010
8/3/2010

2

9/23/2010

3

9/29/2010

North Carolina Housing Finance Agency

Ohio Homeowner Assistance LLC

Oregon Affordable Housing Assistance Corporation

Rhode Island Housing and Mortgage Finance Corporation

SC Housing Corp

9/23/2010 Alabama Housing Finance Authority
3

9/29/2010

3

9/ 9/ 0 0
9/29/2010

3

9/29/2010

3

9/29/2010

9/23/2010 Kentucky Housing Corporation
9/23/2010 Mississippi Home Corporation
9/23/2010 GHFA Affordable Housing, Inc.

City
Reno

Sacramento

Tallahassee

Phoenix
Lansing

Raleigh

Columbus

Salem

Providence

Columbia

Montgomery
Frankfort
Jackson
Atlanta

Investment Amount
Pricing
Additional
1
Mechanism
Investment Amount
$
194,026,240
102,800,000
N/A

State

Transaction
Type

NV

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

-

$

34,056,581

Purchase

Financial Instrument for HHF Program

-

$

57,169,659

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

CA

FL

AZ
MI

NC

OH

OR

RI

SC

AL
KY
MS
GA

Investment Description

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

u c ase
Purchase

a c a Instrument
st u e t for
o HHF Program
og a
Financial

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Initial Investment
Amount
$

$

$

$

-

$

476,257,070

-

$

799,477,026

$

$

$

$

$

$

-

$

238,864,755

-

$

400,974,381

$

142,666,006

-

$

128,461,559

-

$

215,644,179

154,500,000

-

-

$

120,874,221

-

$

202,907,565
-

172,000,000
-

$

148,728,864

-

$

249,666,235

88,000,000

-

-

$

49,294,215

-

$

82,748,571
-

43,000,000
-

$

13,570,770

-

$

22,780,803

138,000,000

-

-

$

58,772,347

-

$

98,659,200

60,672,471

$

101,848,874

$

93,313,825
93,3
3,8 5

$

63,851,373

$

212,604,832

-

55,588,050
38,036,950
-

$

-

159,000,000

$

-

125,100,000

$

-

418,000,000

$

-

699,600,000

-

126,650,987
-

N/A
N/A
$

1,975,334,096

N/A
N/A
N/A

$

1,057,839,136

N/A
N/A
N/A

$

267,766,006

N/A
N/A

$

498,605,738

N/A
N/A
N/A

$

482,781,786

N/A
N/A
N/A

$

570,395,099

N/A
N/A
N/A

$

220,042,786

N/A
N/A
N/A

$

79,351,573

N/A
N/A
N/A

$

295,431,547

N/A
N/A
N/A

$

162,521,345

N/A
N/A

$

148,901,875

N/A
N/A
/

$

101,888,323

N/A
N/A

$

339,255,819

N/A
N/A

Page 44 of 46

Seller
Name of Institution

Note

Date

3

9/29/2010

3

9/29/2010

3

9/29/2010

3

9/29/2010

3

9/23/2010 Tennessee Housing Development Agency
9/29/2010

9/23/2010 Indiana Housing and Community Development Authority
9/23/2010 Illinois Housing Development Authority
9/23/2010 New Jersey Housing and Mortgage Finance Agency
9/23/2010 District of Columbia Housing Finance Agency

City

State

Transaction
Type

Indianapolis

IN

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase
Purchase

Financial Instrument for HHF Program
Financial Instrument for HHF Program

Chicago
Trenton
Washington
Nashville

IL
NJ
DC
TN

Investment Description

Initial Investment
Amount
$

82,762,859
-

$

$

279,250,831

$

188,347,507

$

12,970,520

$

136,187,333

-

7,726,678
-

$

138,931,280

112,200,637
-

$

$

166,352,726
-

$

Investment Amount
Pricing
Additional
1
Investment Amount
Mechanism

81,128,260
-

TOTAL INVESTMENT AMOUNT

$

221,694,139

N/A
N/A

$

445,603,557

N/A
N/A

$

300,548,144

N/A
N/A

$

20,697,198

N/A
N/A

$

217,315,593

$

7,600,000,000

N/A
N/A

1/ The purchase will be incrementally funded up to the investment amount.
2/ On 9/23/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.

Page 45 of 46

FHA SHORT REFINANCE PROGRAM
Seller
Footnote

Date

1

9/3/2010

Name

Citigroup, Inc.

City

New York

State

Transaction
Type

NY

Purchase

Investment Description
Facility Purchase Agreement, dated as of September
3, 2010, between the U.S. Department of the Treasury
and Citibank, N.A

Investment Amount

$

8,117,000,000

TOTAL

$

8,117,000,000

Pricing Mechanism

N/A

1/ On September 3, 2010, the U.S. Department of the Treasury and Citibank, N.A. entered into a facility purchase agreement (the 'L/C Facility Agreement"), which allows Treasury to demand from Citigroup the issuance of an
up to $8 billion, 10-year letter of credit (the "L/C"). Treasury will increase availability under the L/C incrementally in proportion to the dollar value of mortgages refinanced under the FHA Short Refinance program from time to
time during the first 2.5 years. At that time, the amount of the L/C will be capped at the then-current level. Under the terms of the L/C Facility Agreement, Treasury will incur fees for the availability and usage of the L/C up to a
maximum amount of $117 million.

Page 46 of 46