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UNITED STATES DEPARTMENT OF THE TREASURY
SECTION 105(a) TROUBLED ASSETS RELIEF PROGRAM
REPORT TO CONGRESS
FOR THE PERIOD
FEBRUARY 1,2009 TO FEBRUARY 28, 2009
I. OVERVIEW
During this reporting period, Treasury eontinued to develop and implement programs under the
Troubled Assets Relief Program (TARP) designed to restore stability and liquidity to the U.S.
financial system while safeguarding taxpayer interests. On February 10.2009. Treasury
announced the framework of its Financial Stability Plan (FSP) that will further strengthen our
financial system, restore thc flow of credit to consumers and businesses, and support the U.S.
economy. Specifically, Treasury announced the following new measures:
•
•
•
Treasury established the Capital Assistance Program (CAP) to ensure that U.S. financial
institutions have sufficient capital to lend to creditworthy borrowers in a weaker than
expected economic environment. The CAP is a 2-pronged program that includes a
supervisory exercise by bank regulators to producc a more consistent and forwardlooking assessment of the risks on banks' balance sheets and their potential capital needs,
and a new capital access program for qualifying financial institutions;
Treasury and the Federal Reserve released further details on the Tenn Asset-Backed
Securities Loan Facility (TALF), a component of the newly established Consumer and
Business Lending Initiative. The TALF is a Federal Reserve facility that was initially
announced in November 2008 for the purpose of catalyzing the securitization markets, a
critical component of the financial system and source oflow cost credit to consumers and
businesses; and
Treasury announced a new framework of governance and oversight for financial
institutions that will receivc cxceptional assistance, including better transparency on how
taxpayer dollars are spent, and stronger conditions on lending, dividends, and executive
compensation.
On February 18, 2009. President Barack Obama announced his broad. comprehensive strategy to
stabilize the housing market and prcvent foreclosures. One of the program's key components is
a $75 billion loan modification plan, of which Treasury will fund approximately $50 billion
through the TARP and Fannie Mae and Freddie Mac will fund approximately $25 billion. The
TARP funded program involves providing servicers and investors with incentives to modify
loans.
As part of efforts to restore confidence in the domestic automotive industry, Treasury Secretary
Timothy Geithner and National Economic Council Director Larry Summers announced the
creation and members of the Presidential Task Foree on the Auto Industry on February 20, 2009.
The Task Foree is currently reviewing the restructuring reports that Treasury received from
Chrysler LLC (Chrysler) and General Motors Corporation (GM) on February 17,2009. Copies
of Chrysler's and GM's restructuring reports have been posted on Treasury's Web site at
http://www.treas.gov/press/releases/tg31.htm.
Treasury is committed to implementing the FSP with the highest degree of transparency and
accountability. Accordingly, on February 4, 2009, Treasury issued a new set of robust guidelines
on executive pay for financial institutions that are receiving assistance under the Emergency
Economic Stabilization Act of 2008 (EESA). Additional restrictions on executive compensation
were signed into law on February 17,2009, as part of the American Recovery and Reinvestment
Act of2009. Treasury is in the process of drafting new regulations on these new executive
compensation requirements.
In January 2008, Treasury launched a monthly bank lending survey as part of its commitment to
Congress and the public to greater communication and transparency about its programs to
stabilize the financial system. The survey captures data from the 20 largest recipients of funds
under the Capital Purchase Program (CPP) and helps the public easily assess the lending and
other intermediation activities of these banks during this unprecedented financial markets crisis
and economic downturn. On February 17,2009, Treasury published the results of this initial
survey in a Snapshot, covering the period between October and December 2008 (the first three
months of the CPP program). Treasury is conducting this survey on a monthly basis and will
publish monthly Snapshots on Treasury's Web site, reflecting data from thc previous month.
The Snapshot contains quantitative information on three major categories of lending - consumer,
commercial, and other activities - based on banks' internal reporting, as well as commentary to
explain changes in lending levels for each category. In addition, the Snapshot contains a
qualitative section that provides market color on lending demand and credit standards generally
to help Treasury and the public meaningfully and accurately intcrpret the quantitativc data. In
addition, efforts will be taken undcr the FSP to further enhance the public's understanding of
banks' lending by requiring companies receiving future government funds under new programs
to report to Treasury how the capital they receive preserves or generates new lending and their
plans to strengthen their lending capacity.
On February 27, 2009, Treasury announced its willingness to participate in exchange offerings
that Citigroup, Inc. (Citigroup) plans to conduct with all of its current preferred shareholders to
the extent Citigroup is able to reach agreements with these other preferred holders and certain
other conditions are met. Treasury would convert prior investments in Citigroup preferred shares
previously received under the CPP into a new security that will convert into eommon shares,
pending a shareholder vote to amend the Citigroup charter to allow for an inerease in the number
of authorized common shares. Treasury also would exchange Citigroup preferred shares
received under the Targeted Investment Program in December 2008, and under the Asset
Guarantee Program in January 2009, for a trust preferred security of greater structural seniority
with the same 8% cash dividend rate as the existing preferred shares. This transaction will not
increase the amount of Treasury's investment in Citigroup; however, it does increase the risk of
the investment to the government.
Complete details about these developments, including the Capital Assistance Program (CAP) and
the Homeowner Affordability and Stability Plan, are available on Treasury's Web site at
http://www.treas.gov/initiatives/eesai. In addition, Treasury is developing a Web site, which is
currently under construction, dedicated to information related to the Financial Stability Plan at
http://www.llnancialstability.gov/. Information on the Presidential Task Force on Auto Issucs is
2
available at http://www.treas.gov/press/releases/tg36.htm. Information on the bank lending
survey is available at http://www.treas.gov/press/releases/tg30.htm. Information on the
Citigroup announcement is available at http://www.treas.gov/press/releasesltg41.htm.
Information on the Term-Asset Backed Securities Lending Facility is available on the Federal
Reserve Bank of New York's Web site at http://www,newyorkfed.org/markets/talfhtml.
II. REPORTING REQUIREMENTS
This is Treasury's fourth Section 105(aj Troubled Assets Reli~fProgram Report to Congress
(TARP Report) required by the EESA. Treasury transmitted its third TARP Report to Congress
on February 3, 2009, covering activities between January I and January 31, 2009. This TARP
Report covers the following activities listed in EESA section 105(a) occurring through the end of
February:
•
•
•
An overview of actions taken by the Secretary, including the considerations required by
section 103 and the efforts under section 109.
The actual obligation and expenditure of the funds provided for administrative expenses
by section 118.
A dctailed financial statement with respect to the exercise of authority, including:
1. all agreements made or renewed;
2. all insurance contracts entered into pursuant to section 102;
3. all transactions occurring during the initial 60-day period, including the types of
parties involved;
4. the nature of the assets purchased;
5. all projected costs and liabilities;
6. operating expenses, including compensation for financial agents;
7. the valuation or pricing method used for each transaction; and
8. a description ofthe vehicles established to exercise such authority.
III. INDIVIDUAL PROGRAMS AND INITIATIVES
The Capital Purchase Program
The purpose of the Capital Purchase Program (CPP) is to stabilize the financial system by
building the capital base of healthy, viable U.S. financial institutions, which in turn will increase
the capacity of those institutions to lend to businesses and consumers and support the cconomy.
Undcr this program, Treasury is purchasing senior preferred shares from qualifying U.S.
controlled banks, savings associations, and certain bank and savings and loan holding
companies. Complete details about the CPP are available on Treasury's Web site at
http://www. treasury. govlinitiativesleesalapplication-documents.shtml.
Between February I and February 28, 2009, Treasury purchased $1.4 billion in senior preferred
shares from 108 financial institutions under the CPP. Since the launch of the CPP in October
2008 through February 28, 2009, Treasury has invested a total of $196.8 billion in senior
preferred shares in 467 financial institutions in 47 states and Puerto Rico. Treasury designed the
program to include cvery banking community in the country, and the 467 institutions Treasury
3
has funded under the CPP include small, community, regional, and national banks, as well as
Community Development Financial Institutions. The application deadline for publicly-held
institutions was November 14, 2008, the deadline for applications from eligible privately-held
financial institutions was December 8, 2008, and the application deadline for S corporations was
February 13,2009. The federal banking regulators are evaluating all submitted CPP applications
and continue to send qualifying applications to Treasury for final approval.
The Automotive Industry Financing Program
The objective of the Automotive Industry Financing Program (AIFP) is to prevent a significant
disruption of the American automotive industry, which would pose a systemic risk to financial
market stability and have a negative effect on the economy of the United States. Guidelines for
the AIFP are published on Treasury's Web site.
On February 17,2009, Treasury funded the remaining $4 billion of the $13.4 billion loan to
General Motors Corporation (GM) that was discussed in detail in Treasury's second TARP
Report to Congress. Treasury also amended the terms of both the GM loan and the Chrysler
loan.
Consumer and Business Lending Initiative
In carrying out the FSP, the Federal Reserve and Treasury released further details on the Telm
Asset-Backed Securities Loan Facility (TALF) in February, including program terms and
conditions, as well as questions and answers. The creation of the TALF was announced in
November 2008 as a Federal Reserve facility to which Treasury will provide $20 billion in
funding through the TARP; subsequently, standardized terms have been developed. The Federal
Reserve will lend on a non-recourse basis to holders of certain AAA-rated asset-backed
securities (ABS) secured by newly and recently originated consumer and small business loans.
TALF loans will have a term of3 years and will be secured solely by eligible collateral.
Haircuts (a percentage reduction used for collateral valuation) will be determined based on the
riskiness of each type of eligible collateral and the maturity of the eligible collateral pledged to
the Federal Reserve. The haircuts will provide additional protection to taxpayers by protecting
the Federal Government from loss.
To promote accountability and oversight for the current facility, the participating sponsor must
provide a certification to the eftect that the collateral supporting the ABS is cligible under TALF
and that an independent accounting firm registered with the Public Company Accounting
Oversight Board has attested to the sponsor's assessment of the eligible collateral.
As part of the Consumer and Business Lending Initiative announced by the Secretary on
February 10, 2009, Treasury and the Federal Reserve have agreed to include new eligible asset
categories under the TALF.
Homeowner At10rdability and Stability Plan
The Homeowner AtIordability and Stability Plan will ofter assistance to as many as 9 million
homeowners making a good-faith effort to stay current on their mortgage payments, while
4
attempting to prevent the destructive impact of foreclosures on families and communities. This
plan is being implemented pursuant to Sections 101 and 109 of the EESA.
Under this plan, eligible borrowers who are current on their mortgages but have been unable to
refinance to lower their interest rates because their homes have decreased in value, may have the
opportunity to refinance into a 30 or IS year, fixed rate loan. This lower-cost refinancing
program is limited to mortgage loans held in portfolio or securitized by Fannie Mae and Freddie
Mac. The amount due on the new mortgage loan (including any refinancing costs) will not
exceed 105% of the current market value of the mortgaged property.
The plan also includes a Homeowner Stability Initiative, wbich will operate through a
partnership between Treasury and mortgage lenders to help borrowers avoid foreclosure by
modifying at-risk loans to achieve a payment the borrovier ean afford. Borrowers must meet
several eligibility requirements, including that the mortgaged property is the borrower's primary
residence, the eurrent monthly mortgage loan payment is greater than 31 % of the bOlTower's
monthly gross ineome, and the mortgage loan amount does not exeeed eurrent Fannie Mae and
Freddie Mac conforming loan limits.
To eneourage foreclosure mitigation efforts, Treasury will provide mortgage loan servieers upfront and "pay for success" fees for eligiblc loan modifications made to borrowers on a timely
basis. Treasury also will pay a fee incentive to a bOlTower who continues to stay current on his
or her mortgage loan. Treasury plans to create a $10 billion insurance fund, designed to
discourage lenders from opting to foreclose on mortgaged properties located in a declining
housing market.
To protect taxpayers, the Homeowner Stability Initiative also will focus on sound modifications.
The Treasury is currently working closely with the Federal Deposit Insurance Corporation
(FDIC) and other bank agencies to develop uniform guidance for loan modifications across the
mortgage industry to bring order and consistency to foreclosure mitigation.
Complete details about the plan are available on Treasury's Web site at
http://www.treas.gov/press/releases/tg48.htm.
Capital Assistance Program
On February 10,2009, Treasury announced the Capital Assistance Program (CAP), which is
designed to ensure the continued ability of U.S. financial institutions to lend to creditworthy
borrowers in the face of a weaker than expected economic environment and larger than expected
potential losses. The CAP consists of 2 core elements aimed at restoring confidence in the
conditions of the U.S. banking system: a supervisory exercise and a new Treasury capital access
program for qualifying financial institutions.
The first element is a forward-looking supervisory exercise on the part of the four federal
banking regulators, who have long worked with the major banking organizations. The federal
banking or thrift supervisor will undertake a coordinated supervisory capital planning exercise or
5
"stress test" with each of 19 major U.S. banking organizations with assets in excess of$IOO
billion. The strcss test will dctennine whether major financial institutions have the additional
capital buffer necessary to continue lending and to absorb potential losses in a worse than
expected economic downturn. If the respective federal banking or thrift supervisor concludes
that there is a need to establish an additional capital buffer, the bank will have a 6-month window
to raise that capital privately or to access the capital made available by Treasury under the CAP.
Eligible U.S. financial institutions with consolidated assets below $100 billion may also apply
and obtain capital from the CAP.
The second component under the CAP is a new capital access program, under which Treasury
will purchase mandatory convertible preferred shares from qualified financial institutions. In
accordance with the considerations of the EESA, a broad spectrum of financial institutions is
eligible for the program: U.S. controlled banks, savings associations, and certain bank and
savings and loan holding eompanies. A recommendation on acceptance is received from the
institution's primary federal regulator or, in some cases, from a council of representatives from
each federal regulator. Treasury is responsible for final approval.
The investment limit under the CAP is between I % and 2% of total risk-weighted assets, plus
any amount of CAP convertible preferred shares to the extent the proceeds are used to redeem
preferred shares sold under the CPP and, if applicable, Treasury's Targeted Investment Program.
The convertible preferred shares mandatorily convert to common stock after 7 years at a
speeified conversion price. Standardized tenns have been developed for institutions that are
organized as publicly traded institutions; terms applieable to privately held institutions, S
corporations, and mutual organizations are still under consideration. The standardized terms also
impose provisions (such as the issuance of warrants) that will enable the taxpayer to benefit from
the future appreciation of the financial institution. Additionally, finns must agree to comply with
enhanced restrictions with respect to executive compensation, transparency, aceountability, and
monitoring.
Details about the Capital Assistance Program are available on Treasury's Web site at
http://www.treas. gov!initiatives!eesa!.
Citigroup
On February 27, 2009, Treasury announeed its willingness to participate in exchange offerings
that Citigroup, Inc. (Citigroup) would conduct with all of its current preferred shareholders.
Citigroup plans to exchange a significant portion of its preferred securities to common equity in
order to increase its tangible common equity. Citigroup will commence the exchange offerings
after reaching agreements with its other prcferred holders.
Treasury agreed to participate in Citigroup's exchange offerings if certain conditions are met.
Treasury would convert only the amount of Citigroup preferred shares that Citigroup's other
preferred shareholders are willing to convert in these exchange offerings and must receive the
most favorable terms and price offered to any other preferred holder through this exchange.
Under the exchange offerings, Treasury would convert up to S25 billion of its preferred stock
issued in aecordance with the CPP into a new security that will convert into common shares,
6
pending a shareholder vote to amend the Citigroup eharter to allow for an inerease in the number
of authorized common shares. Treasury also would exehange its $20 billion investment in
Ci tigroup preferred shares received under the Targeted Investment Program on Deeember 31,
2008 (discussed in Treasury's second TARP Report to Congress), and the Citigroup preferred
shares received by Treasury under the Asset Guarantee Program on January 16, 2009 (discussed
in Treasury's third TARP Report to Congress), for trust preferred shares of greater structural
seniority with the same 8% cash dividend rate as the existing preferred shares.
7
IV. Certification
As the Interim Assistant Secretary for the Office of Financial Stability at the United States
Department of the Treasury, I am the official with delegated authority to approve purchases of
troubled assets under the Troubled Assets Relief Program. I certifY to the Congress that each
decision of my office to approve purchases of troubled assets, from the beginning of the program
until the end of this reporting period, was based on my office's evaluation of the facts and
circumstances of each proposed investment~ including recommendations from regulators,
in order to promote financial stability and the other purposes of the Emergency Economic
Stabilization Act of 2008.
Neel Kashkari
Interim Assistant Secretary
Office of Financial Stability
8
V. TARP ADMINISTRATIVE EXPENSES
United States Department of Treasury
Office of Financial Stability
Report of Administrative Obligations and Expenditures
& BENEFITS
_ ,2190
220(,), ,
,£~99
_
?~q9__
.??OQ
____,__ ~~gQ9
____?JQO
3200
P.l~J!'JJiNG &:_f{_E_PRQPl.!gJI9~_
9IfjRfL$f;;R.'\,Ilfg,.
. _~l_!fE_~!!'oJl_~~q_M_~ISB!6~~
gqY1f:M;NI.
_
LAND &
9
VI. DETAILED FINANCIAL STATEMENTS
Section lOS(a)(3)(A)
Troubled Asset Relief Program
Agreements Under TARP [Section 105(a)(3)(A)]
For Period Ending February 28, 2009
Date
Approved
or Renewed
Type of
Transaction
Vendor
10/10/2008
BPA
Simpson, Thacher & Bartlett
SPA
EnnisKnupp
1011112008
1011412008 Financial Agent Bank of New York Mellon
BPA
PricewaterhouseCoopers
1011612008
BPA
Ernst & Young
10118/2008
1M
GSA - Turner ConsUlting*
10123/2008
BPA
Hughes Hubbard & Reed
10/29/2008
BPA
Squire Sanders & Dempsey
10/29/2008
Contract
Lindholm & Associates*
10/31/2008
BPA
Thacher Proffitt & Wood**
11/7/2008
IAA
Securities and Exchange Commission
11/14/2008
1M
Trade and Tax Bureau - Treasury
12/3/2008
1M
Department of Housing and Urban Development
12/5/2008
12/5/2008 Procurement Washington Post
BPA
Thacher Proffitt & Wood**
12/1012008
1M
Office of Thrift Supervision
12/1512008
12/2412008 Procurement Cushman and Wakefield of VA, Inc.
1M
Office of the Controller of the Currency
116/2009
11712009 Procurement Colonial Parking
1M
Internal Revenue Service
11912009
112712009
BPA
Cadwalader Wickersham & Taft, llP
112712009 Procurement Whitaker Brothers Bus. Machines
1M
Government Accountability Office
2/2/2009
Contract
Pat Taylor and Associates, Inc*
2/9/2009
locke lord Bissell & Lidell llP
Contract
2112/2009
2/18/2009 Financial Agent Freddie Mac
2/18/2009 Financial Agent Fannie Mae
1M
Congressional Oversight Panel
2120/2009
Contract
Simpson, Thacher & Bartlett
2120/2009
Contract
Venable llP
2122/2009
* Small or Women-, or Minority-Owned Small Business
**Contract responsiblities assumed by Sonnenschein Nath & Rosenthal via novation.
10
Purpose
legal Services
Investment and Advisory Services
Custodian and Cash Mangement
Internal Control Services
Accounting Services
Archiving Services
legal Services
legal Services
Human Resources Services
legal Services
Detailees
IT Services
Detailees
Vacancy Announcement
legal Services
Detailees
Painting
Detailees
Parking
Detailees
legal Services
Office Equipment
Oversight
Temporary Employee Services
legal Services
Home Ownership Program
Home Ownership Program
Oversight
legal Services
legal Services
VI. DETAILED FINANCIAL STATEMENTS CONTINUED
Section l05(a)(3)(B)
U.s. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Insurance Contracts [Section 105(a)(3«B)J
For Period Ending February 28, 2009
Amount
Name
$5,000,000,000
Citigroup
Section l05(a)(3)(F)
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Programmatic Operating Expenses [Section 105(a)(3)(F)J
For Period Ending February 28, 2009
Type of Expense
Amount
Compensation for financial agents
and legal firms
$13,978,033
Section l05(a)(3)(H)
II
VI. DETAILED FINANCIAL STATEMENTS CONTINUED
Section lOS(a)(3)(H)
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Description of Vehicles Established [Section 105(a)(3«H)]
For Period Ending February 28, 2009
Date
Vehicle
Description
None
12
VII. TRANSACTION REPORT - CAPITAL PURCHASE PROGRAM
Section l05(a)(3)(C), (D), and (G)
U.S, Treasury Department
Qffiee of Financial Stability
Troubled Asset R"Utlt Program
TransiI<:tions Report
For Period Ending February 27, 21111S
CAPITAL PURCHASE PROGRAM
SeUer
Foot!
. note
Name of Institution
Date
. 10/28!2QOS'Bank of America Cor oration
10/2812008 Bank of New York Melion Co oration
10/2812008 Citl reu inc
10/2812008 The Goldman Sachs Groll
10/2812008 JPMor an Chi:lse & Co
10/2812008 Mor an Stania
Cor oration
10128i20
&Com an
1
merce HOld,n s
11/14/
11/14/
ration
11/14/2
'"'
I
11114/2
11/1412
, 11/14120
eaawav FinanCiai Corporation
ashin ton Federal Inc
11/1412008 BB&T Co
11114/2008 Provident Bancshares Co
11f14f2008 Um ua Ho!din s Cor
11/14f2008 Cometica inc
11f14/20Q8 Re ions Financial Co
11/1412008 Ca iial One Financial Co oration
11/1412008 First Horizon Naticnal Ccrporation
11114/2008 Huntin~ton Bancshares
11/14/2008 Ke Co.
11/1412008 Valle National Banco
11/1412008 Zions 8ancor oration
1111412008 Marshali & lisle Cor oration
11/14/2008 U,S, Bancor
11/1412008 TCF Financial Co oration
11/2112008 Firsl Nia era Financial Groll
11/21120C8 HF Financial Co
I 11/2112008 Centerstate Banks of Florida Inc
I 11/21/2008 Cit National Co oration
11/2112008 First Communit 8ankshares Inc
11f2112008 Western Ailiance Banco- oration
1112112008 Webster FinanCial Co oration
11121/2008 Pacific Cn ital Banco
11/2112008 Herlla e Commerce Cor
11/2112008 Ameris Bar<cor
11/2112008 Porter Bancoro Inc
11121/2008 Banfler Cor oration
11/21/2008 Cascade Financiai Cor oration
11/2112008 Columbia Bankin S stem Icc
1112112008 Herita e FinanCial Co oration
11121/2008 First PacTrust Ban
foe
11/21f2008 Severn Bancor fc,
11/21/2008 Boston Private Financial Holdin s. Inc
11/21/2008 Associated Banc~Co
1112112008 Trustmark Co oration
11/2112008 Firsi Communi! Co oration
1112112008 Tavlor Ca ital Grou')
11/21f2008 Nara Bancor , inc
, 11114120
I
i
State
City
NO
NY
Charlot!e
New York
NY
New York
New York
NY
New York
NY
'New York
Boston
San FranciSCO
Reddin
!Hendersonviile
San Francisco
Chica 0
AMnia
Los An eles
Seattle
Winston-Salem
Baltimore
Portland
Dallas
Birmin hBm
McLean
Mem his
Columbus
Cleveland
Wa ne
Salt Lake Cit
Milwaukee
Minnea olis
Na zata
Lockeer!
ux Falls
Daven ort
Bevert Hills
Bluefield
Las Ve as
WaterbU
Santa Barbara
San Jose
Moultrie
LouisviHe
Walla Walla
EvereU
Tacoma
'01 m ia
Chula Vista
Anna olis
Boston
Green Ba
Jackson
Lexin ien
t'l:ostimont
Los An aies
13
NY
MA
CA
CA
NC
CA
"CA
GA
WA
NC
MD
OR
TX
AU
VA
TN
OH
OH
NJ
UT
WI
MN
MN
NY
SD
FL
CA
VA
NV
OT
CA
CA
GA
KY
WA
WA
WA
WA
CA
MO
MA
WI
MS
SC
Il
CA
Transaction
Type
Description
Purchase
Purchase
Purchase
Purchase
Preferred Stock w/VI/errants
Preferred Stoc\<. wl\Narrants
Preferred Stod<: wlWarrants
PurChase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
PurChase
Purchase
Purchase
Purchase
Purchase
PurchBse
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Preferred Stock w/Warrants
Preferred Stock wlVVarrants
Preferred Stock wANarrants
Preferred Stock wlVVarrants
Preferred Slock wNvarrants
Preferred Slock wANarrants
Preferred Stock wANammts
Preferred Slock wfWarrants
Preferred Stock wlWarrants
Preferred Stock wlWi.lrrants
Preferred Steck wr';;arrants
Preferred Stock wANarrants
Preferred Stock wANam:mts
Preferred Stock wNVarrants
Preferred Stock wlWarrants
Preferred Stock w/Warrenls
Preferred Stoel< wANarrants
Preferred Stock wNVarrants
Praferred Stock wANarrants
Preferred Stock wlWarrants
Preferred Stock w/....Varrants
Preferred Stock wfWarrants
Preferred Stock wlWarrants
Preferred Stock wNvarrants
Preferred Stock w/Warrants
Preferred Stock wl\Varrants
Preferred Slod<. w/Warrants
Preferred Stock wANarrants
Preferred Stock wf';;arrants
Preferred Stock wfWarrants
Preferred Stock wNVarrants
Preferred Stock wlWarrants
Pref$-rred Stock wlWarrants
Preferred Stock wNVarrants
Preferred Stock wlWarranls
Preferred Stock wANarrants
Preferred Stock w/Warrants
Preferred Stock wlWarranls
Preferred Stock wlWarrants
Preferred Slod wfWarrants
Preferred Stock wlWarrants
Preferred Stock wiWarrants
Preferred StocK wlWarrants
Preferred Stock wlWarrants
Preferred Stock wANarrants
Preferred St6ck wfv'Varrants
Preferred Stock wfvVarrants
Preferred Stock wfWarrants
Preferred Slock wNVarrants
Pricing
Price Paid
Mechanism
15000.000.000 Par
3.000.000 000 Par
25,000,000 000
10000,000000
25000000 000
10,000,000
2,000.000
25mOOOO,
11.000
1
1
3
Po;
Par
Par
Par
0;
P"
Po;
Par
Par
Par
o Par
9000,000 Po;
200,000000 Po;
3,133640000 Po;
151500000 Po;
214.181000 Po;
2250,000,000 Po;
3,500,000,000 Po;
3555.199000 Pat
866.540000 Par
1,398.071 000 Pac
2 50Q 000 000 Po;
300 000 000 Pac
1.400,000,000 Po;
1715,000000 Pac
6599,000 000 Par
3611nOOO
Pac
184011000 Pac
25,000,000 Par
27.875,000 Pac
400.000,000 Po;
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12/5/2008 MB Financial Inc
12/512008 First Midwest Banco , Inc
12/512008 United Communi Banks me
121512008 Wesbanco Bank Inc
12f512008'Eflcore Bancshares Inc
1215/2008 Manhalian Banco
1215/2008 Iberiabank Co. oration
12/5/2008 Ea Ie Bance ,Inc
12/512008 Sand Sprin Banco , !ric
12/5/2008 Coastal Bankin Com
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1215/2008 East West Bancer
l2!512008 South Financial Grou . Inc
12/512008 Grea! Southem Bancmo
12/512008 Catha General Banco
121512008 Southem Communit financial Cor
12/5/2008 CVB Financial Co
121512008 Firsl Defiance Financiat Co
12/5/2008 i"irst Financial Ho!din s I()c
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12/5/200B Bank of Marin Bancor
12/512006 Bank of North CaroJina
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12/512008 Central Banco, , Inc
121512008 Southern Missouri Bancor , inc
12/5/2008 State Banco,
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1215/2008 TiB Flnanciai Co
12/512008 Unit Bancor . Inc
1215/200$ Old Line Baneshares, inc
12/512008 FPB Sancor , Inc
1215/2008 Stert'rn f'inanc;al Cor oration
12/512008 Oak Valie Bancom
12/12/2008 Old National Bancor
1211212008 Ca itai Bank Co oration
12/12/2008 Pacific International Banco
12/12/2008 SVB FinanCial Grou
12/12/2008 LNg 8ancor inc
12/12/2008 Wilmln ton Trust Co orahon
12/12/2008 Sus ueharma Bancsharas I"
12/12/2008 SI nature Bank
1211212008 Ho Fed Banco
12112/2008 Citizens Re ubilc Banco
Inc
12/1212008 Indiima Communit Banco1P__
12/1212008 Bank of the Ozarks, Inc
12112/2008 Center Financial Co oration
12/12/2008 New8rid e 8ancor
1211212008 Sterlin Bancshares I"
12f12/20ba The Banco,
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12/12/2008 TowneBank
1211212008 Wilshire Banco
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12/1212008 Valie Financial CorporatiOn
12/12/2008 !nde endent Bank Cor oration
12/12/2008 Pinnade Financial Partners, inc
12/12/2008 Firs! Litchfield Financial Corporation
12/12/2008 NatioNll Penn Baneshares inc
12/12/2008 Northeast Bancor
,2112/2008 Citizens South Bankin Cor oration
12/1212008 Vir inia Commerce Bancor
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12/12/2008 Fldelit Banco
12/12/2008 lSB Comoration
12119/2008 Intermountain Ccmmunit Bancor
12/19/2008 Communi! West 8ancshares
1211912008 S novus Financial Co
12/1912008 Tennessee Commerce Banco
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12r-19/2008 Communi: Bankers Trust Co oration
12/19/2008 BancTrust FinanCial Grow Inc
12/19/2008 Enterprise Financial Services Cor
12/1912008 Mid Penn Bancorp, Inc
12/19/2008 SLim mit State B"nk
12/19/2008 VI$T Financial Cor
12/1912008 Wainwri ht Bank & Trust Com
12/19/2008 Whitne Holdin Corporation
1211912008 The Connecticut Bank and Trust Corr-Dan
12119/2008 CoBlz Financial Inc
12/19/2008 Santa lucia Banco
12/19/2008 Seacoast Bankin Cor oration of Florida
1 119f2008 Horiz.on Banco
12/1912008 Fidelrt Southern Co oration
1211912008 Communlt Financial Cor oration
12/19f2008 Berkshire Hills Bancor 100
12/19/2008 First California Finandal Grou Inc
12/19/2008 AmeriServ Flnandal, inc
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IL
Chica 0
IL
Itasca
IL
Blairsville
GA
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WV
TX
Houston
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CA
Lafa ette
LA
Bethesda
MD
O!ne
MD
Femandina Beach FL
Pasadena
CA
Greenville
SC
S eln fle!d
MO
los An eies
CA
Winston-Salem
NC
Ontario
CA
Defiance
OH
Charieston
SC
Birmln ham
AL
Stillwater
OK
San Juan
PR
Overland Park
KS
Fairiawn
OH
Novato
CA
Thomasville
NO
MA
Somervllie
Po lar Bluff
MO
NY
Jericho
Na les
FL
Clinton
NJ
Bowie
MD
F'
Port SI LuCie
S okane
WA
CA
Oakdale
Evansville
IN
Raile h
NC
WA
Seattle
Santa Clara
CA
Lorain
OH
Wilmin ton
DE
Lititz
PA
NY
New York
Ho kinsville
KY
MI
Flint
Columbus
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AR
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Greensboro
NC
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TX
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DE
Po!ismouth
VA
Los An eles
CA
VA
Roanoke
Ionia
MI
Nashville
TN
Litchfield
CT
Boertown
PA
LeWiston
ME
Gastonia
NC
Arlin ton
VA
Pittsbu h
PA
North Andover
MA
Sand oint
10
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CA
Columbus
GA
Franklin
TN
Glen Alien
VA
Mobile
AL
St Louis
MO
Millersbur
PA
Santa Rosa
CA
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PA
Boston
MA
New Orleans
LA
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CT
Denver
CO
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CA
Stuart
FL
Michi an Cit
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GA
Staunton
VA
Pittsfield
MA
Westlake Vil,a
CA
Johnstown
PA
14
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196.000000 p"
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12/23/2008 First Communit Bank Co oration of AmerIca
12/2312008 SterJin Banco
1212312008 Imervest Bancshares Co oration
1212312008 Peo les Bancor of North Carolina Inc.
, 12/2312008 Parkvale Financial Cor oration
12f2312008 Timberland Bi.mcor , Inc
1212312008 1st Constitution.Bancor
1212312008 Central Jerse Saneer
12/2312008 Western Illinois Bancshares Inc
12/2312008 Salon National Bank
12/23/2008 Ca ital Pacific Bancor
12/23/2008 Uwharrie Ca ital Cor
1212312008 Mission Valle Bancor
12/2312008'The Uttle Bank Inco orated
12/2312008 Pacific Commerce Bank
12/2312008 Citizens Communit Bank
1212312008 Seacoast Commerce Bank
12/23/2008 TCNB Financial Cor
121231200$ Leader Banco
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1212312008 Nicolet Bankshares
1212312008 Ma na Bank
12123/2008 Western Communlt Bancshares Inc
12/23/2008 Communi Investors Bancor inC
12/2312008 Ga ital Bancor , Inc
12/23/2008 Cache Valle Bankin Com an
12123/2008 Citizens Banco
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! 1212312008 M&T Bank Co oration
1212312008 Emclaire Financiai Cor
1212312008 Parl-; National Co oration
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1212312008 Fulton FInancial COrPoration
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12/19/2008
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12/1912008 Union Bankshares Co orahon
12/1912008 Tidelands Bancshares, inc
1211912008 Banco Rhode island, Inc
12f19f2008 Hawthorn Sencshare.s Inc
12i19/2008 The Elmira Savin s Bank FSB
I 12{19/2008 Alliance Financial Cor
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1211912008 Heartland F:nancial USA Inc
12119/2006!Citizens First Cor oration
I 12/1912008 FFW CorPoration
' 12/1912008 Plains Ca ital COl oration
1211912008 Tn-Count Financial Co oration
1211912008 OneUnited Bank
1211912008 Patriot Bancshares, Inc.
1211912008 Pacific Cit Finacial Co oration
12i1Bf2008 Mar uette National Co orallon
12f1912008 Exchan e Bank
12/19/2008 Monadnock Bancoro. Inc
12/1912C08 Brid eView Bancor 100
12/19/2008 Fideht nnancial Co oration
12/1912008 Pata sco Banco
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12/19/2008 NCAlBancor
12/23120
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lake Forest
lake Success
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Trust Banks inc
PNC FinanCial Services Grow Inc
Fifth Third Bancor
Ham (on Roads Bankshares, inc
CIT Grou
West Banco oration, Inc
First Banks, Inc
Bank of America Co oration
FirstMent Co oration
Farmers Ca ital Bank Co oration
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MD
MA
TX
CA
Il
CA
NH
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KS
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KY
OH
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WA
NY
PA
OH
TN
MD
NY
PA
Al
IN
MD
MN
Fe
NY
NY
NC
PA
WA
NJ
NJ
Il
CA
OR
NC
CA
NC
CA
VA
CA
OH
MA
W'
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CA
OH
Rockville
MD
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UT
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TN
San Francisco
CA
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PA
Cincinnati
DH
Norfolk
VA
New York
NY
West Des Moines iA
CIa' ton
MO
Chariolte
NO
Akron
CH
Frankfort
KY
15
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1/9/2009 lnde endance Bank
2
1/9/2009 Valle Communit Bank
2
11912009 Rism Sun Bar.c
2
1/S12009 Communit Trust Financial Co oration
2
119/2009 GrandSowth Banco oration
2
119/2009 Texas National Banco, ration
2
1/9/2 9 Con aree Bancshares Inc
2
119/2009 New York Private Bank & Trust Co oration
2
111$/2009 Home Bancshares, Inc
111612009 Washin ton Bankin Com an I Whidbe Island Bank
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111612009 Bar Harbor BanksharesJBar Harbor Bank & Trust
1116/2009 Somerset Hills Bandor
1116/2009 SCaT Financial Co oration
111612009 S&T Bancor
111612009 ECa Banco
mcJEast Caronna Bank
1116/2009 First BanCo
111612009 Texas Ca itai Bancshares, Inc
1116/20 9 Yadkin Valle Financial Co. oration
1/1612009 Carver Banco Inc
111612 9 Citizens & Northem Cor ·oration
1116/2009 MainSource Financial Grou Inc
1/16/2009 MetroCor Bancshares, Inc
1/1612009 United Bancor ,Inc
1/1612009 Old Second Bancor Inc
1116/2009 PUlaski Financial Co
1/16/2009 OceanFirst Financial Co
2
1/16/2009 CommWni! 1st BaFlk
2
111612009 TCB Holdin Com im Texas CommuFlit Bank
2
1I16i2009 Centra Financial HOldin s Inc/Centra Bank. Inc
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1116/2009 First Bankers Trustshares, Inc
2
1116/2009 Pacific Coast National Bane
3
1116/2009 Communit Bar;.k of the Ba
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1/1612009 Redwood Gaonal Banco
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1/16/2009 S rin a Bancor
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1116/2009 Idaho Banco
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1/16/2009 Bank QfCommerce
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1/16/2009 BNCCORP Inc
2
1/1612009 First Manitowoc Bancorp Inc
3
1/16i20D9 Southern Bance Inc
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1/16/2009 Merri!! Bancsha;6s Inc
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1/16/2009 Treat Oak Banco
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1123/2009 1st Source Co oration
2
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New York
NJ
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NJ
Union
1/9/2
2
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NJ
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Gladstone
New crt Beach
Damariscotta
Vineland
VA
IA
NO
NO
Elizabethtown
York
.lafa ette
Chattano a
Easton
louisv,lle
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Riverside
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WV
IL
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NO
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NO
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First Citizens Banc Co
WSFS Financial Co oration
Commonwealth Business Bank
Seaside National Bank & Trust
112312009 CalWest BancofP
112312009 Fresno First Bank
1123/2009 First ULB Co
1123/2009,Alarion Financial Services, Inc
1/2312009 Midland Slales Banco . In:::
1/2312009 Moscow Bancshares Inc,
1/2312009 Farmers Bank
1123.12009'Calffomia Oaks State Bank
112312009 P'lerce Coun oancom
1/2312009 Calvert Financial Co oration
1i2312009 Libert Bancshares. Ire
112312009 Crosstown Hoidin Com an
112312009 BankFirst Ca ital Corporation
1.12312009 Southem Illinois Banco
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1130/2009 Anchor BanCo Wisconsin Inc
1/30/2009. Parke Banco
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1/30/2009!Central Vi inia Bankshares, inc
t/3012009 Fia star Bancor , Inc.
113012009 Middiebu Financial Co oration
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1/3012009 'Anna olis Sanco
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113012009 Katahdin Bahkshares Co
1/3012009 R ers Banoshares Inc
1130/2009 UBr Bancshares leo
113012009 Bankers' Bank 0/ the West Bancor , Inc
t13012009 W.T,B. Financial Corooration
_!f30/2009 AMB Financial Corp
113012009iGoidwater Bank. NA
113012009 E uit 8ancshares Inc
1130/2009 Washlt1 tonFirst Bank
113012009 Central Bancshares, Inc
113012009:Hililo Communil Banco
lno
1130/2009 Norihwa Financial, Inc
1/3012009 Monument Sank
1/30/2009 MelroCit Bank
113012009 F & M 8ancshares, inc
113012009 First Resource Bank
2/6/200S MidWestOne Financial Grou Inc
21612009 Lakeland BancofP, inc
216/2009 Monarch Communit Sanco , inc
21612009 The First Bancshares, Inc
216/2009 Carolina Trust Bank
2/612009 Aiaska Pacific BanCShares, leo
21612009 PGB Holdin s. Inc
21612009 The Free ort State Bank
21612009 Stoekmens Financial Corooration
21612009 US Metro Bank
2/612009 First Ex ress of Nebrasila, inc
21612009 Mercantile Ca ita! Co
21612009 Citizens Commerce Bancshares Inc
21612009 Libert Financial Services, Inc
21612009 Lone Star Bank
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CO
WA
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NH
MD
GA
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IL
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Richmond
KY
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2120/2009 First Merchants Co oration
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212012009 First Priori! Financlal Cor
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212012009 Market Banco oration. Inc
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212012009 Securi State 8ancshares Inc
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212012009 BancPlus Co Of<'ltion
2120/2009 Central Communit Cor oration
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2/2012009 Premier Service Bank
2/2012009 Florida Business BancGrou
2/2012009 Hamilton State Bancshares
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212712C-G9 California Bank of Commerce
2/2712009 Columbine Caoital Cor
212712009 National Bancshares Inc
2127/2009 First Stale Bank of Mobeetie
2127/2009 Rid estone Financiill Services ;nc
2127/2009 Communit Business Bank
2127/2009 D. L. Evans Banco
2/27/2009 TriState Catal Ho/din s inc
212712009 Green Cit Bancshares inc
212712009 First Gothenbur Bancshares Inc
'"
NC
NC
TN
FL
PA
NJ
CO
Moline
IL
San Rafael
Crestview Hilis
Medford
Baltimore
Asheboro
NeeMah
los An eles
Hom.Lake
Wa nesvitle
Greenwood
GreenVille
COmin
Basin
Lamar
Santa Paula
Frontenac
HartSvilla
l ndM
Cerritos
Ozark
COrbin
f:estus
Bern
S kane
S rin field
Clarksviile
Devon
lakewood
Narberth
Mu(\cie
Wauke an
Sonoma
Woodsville
los A eles
Oxford
Hinesville
Fa etleviile
San Mateo
Buffelo
Malvern
Medford
New Market
Oneonta
Charleston
Cartersville
Rid eland
Temole
Paris
RiverSide
Tam a
Hoschton
Warsaw
Kosciusko
Greenville
EvanSville
Columbia
New Canaan
lafa elte
Buena Vista
Bettendorf
Mobeetie
Brookfield
West Sacramento
8urie
Pittsbur h
Green Cit
Gothenburq
CA
18
i('(
OR
MD
NC
WI
OA
MS
MO
MS
SO
AR
WY
CO
CA
MO
SC
WA
CA
MO
KY
MO
KS
WA
MO
TN
PA
WA
PA
IN
IL
CA
NH
CA
MS
GA
AR
CA
WY
PA
WI
MN
AL
MO
GA
MS
TX
IL
OA
FL
GA
IN
MS
SC
IN
TN
CT
OA
CO
IA
TX
WI
CA
iO
PA
MO
NE
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
PurChase
Purchase
Purchase
Purchase
PurChase
Purchase
PurChase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purohase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Preferred Stock wI Exercised WarreNs
Preferred Stock. wi ExerCised Warrants
wi Exercised Warrants
wi Exercised Warrants
Preferred Slock
Preferred Stock
Preferred Stock
Preferred,Slock
wi Exercised Warrants
wi Exercised Warrants
Preferred Stock wI Exercised Warrants
Preferred Stock wI Exercised Warrants
Preferred Stodl wI Exercised Warrants
Preferred Stock wi Exercised Warrants
Preferred Stock wI Exercised WarrBnts
Preferrod Stoel\. wi ExerCised Warrants
Preferred Stock wfNarnmts
Preferred Stock wi'Narrants
Preferred Stock 'tifWarrants
Preferred Stocll wl'Narrants
Preferred Stocll wNJarrants
Preferred Stock wlWarrants
Preferred Stock wI Exercised Warrants
Preferred Stock wi ExerCised Warrants
Preferred Stock wi Exercised Warrants
Preferred Stock wi Exercised Warrants
Preferred Stock wI ExerCised Warrants
Preferred Stock wI Exercised Warrants
Preferred Stock wI ExerCised Warrants
Preferred Stock wI Exercised Warrants
Preferred Stock wi Exercised Warrants
Preferred Stock wI Exercised Warrants
Preferred Stock wi Exercised Warrants
Preferred Stock wI Exercised Warrams
Preferred Stock wI ExerCised Warrants
Preferred Stock wi Exercised Warrants
Preferred Stock wi fxercisect Warrants
Preferred StO"'vk wi Exercised: Warrants
Preferred Stock wI Exercised Warrants
Preferred Stock wI Exercised Warra(\ts
Preferred Stock wI Exercised Warrants
Preferred Stock wI Exercised Warrants
Preferred Stock wi ExerCised Warrants
Preferrod Stock wi Exercised Warrants
Preferred Stock wi Exercised Warrants
Preferred StOCk wlWarrants
Preferred Stock wlWamlnts
Preferred Stock wfWarrants
Preferred Stock wI Exercised Warrants
Preferred Stock wI Exercised Warrants
Preferred Stock wi Exercised Warrants
Preferred StOCk wi Exercised Warrants
Preferred Stock wi Exercised Warrants
Preferred Stock wi Exercised Warrants
Preferred Stock wI Exercised Warrants
Preferred StOCk wi Exercised Warrants
Preferred Stock wI Exercised Warrants
Preferred Stock wI Exercised Warrants
Preferred Stock wi Exercised Warrants
Preferred Stock wI Exercised Warrants
Preferred Stock wI Exercised Warrants
Preferred Stock wI Exercised Warrants
Preferred Stock wI Exercised Warrants
Preferred Stock wi ExerCised Warrants
Preferred Stock wI Exercised Warrants
Preferred Stock wI Exercised Warrants
Preferred Stock wi Exercised Warrants
Preferred Stock wi Exercised warrants
Preferred Stock wfWarrants
Preferred StOCk wlWarrants
Preferred Stock wlWarrants
Preferred Stock wfWarrants
Preferred Stock wi Exercised Warrants
Preferred Stock wi Exercised Warrants
Preferred Stock wi Exercised Warrants
Preferred Stock wi Exercised W
Preferred Stock wI Exercised Warrants
Preferred Stock wi Exercised Warrants
Preferred Stock wI Exercised Warrants
Preferred Stock wI Exercised Warrants
Preferred Stock wi Exercised Warrants
Preferred SioCk wI Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock wi ExerCised Warrants
795,OOOtPar
7.500000 p~
4.00000b Par
8,700.000 par
3345000 P~
17000000 p~
4.021.000 Par
3564 000 Pa'
1050 000 Pa,
1552.00C P~
3756000 Pat
8,559~OOO Par
38,237,000 Pa,
83726000 Par
34000000 Par
41400.000 Par
9201 000 Par
51 SOC OOOrpar
4,797000 p~
4,4000Ob P~
1173000 Par
2152000 Pa'
15 000 000' Par
1000 000 Par
638000 P~
5000 000 P~
10 OOO~OOQ Par
2900.000 P~
40 000 COO Pa,
1 500 000 Pac
18000000 p~
2200 000 Pa,
825000 Par
'900 000 Pac
700 000 Pa,
985,000 P~
10500000 p~
21 900000 Pac
17.243000 P~
6.200000 Pac
1 992000 Par
30.407000 Pa'
116.000000 Par
17 211,000 P~
8653000 Par
6920000 Pa,
5450,000 P~
1998 OOOIPar
E
16
1
000 Par
2.050 000 Par
3,250 000 Par
12 SOO OOO'Par
2644.000 P~
48,000,000 P~
22,000 000 Par
7,350000 p~
4,000.000 Par
9495000 P~
7000 000 Par
56 044.000 P~
30000 000 P~
17299000 Par
83586 000
p~
17,806000
4,797,000
4000.000
2260000
246$4.000
731,000
10900,000
3.976,000
19,891000
23000000
651000
7570,000
Pa'
Pa'
P~
Pac
P~
Pa,
Pa'
P~
Pac
",
p~
Pa'
2
2
2
2
2
2
2
2
2
2
2
2
2/27/2009 Green Circle Investments, Inc,
2/27/2009 Private Banco oration Inc.
2127/2009 Re ent Ca itai Co oration
2/2712009 Centra! Banco Inc.
2/2712009 Medallion Bank
2/27/2009 PSS Financial Cor oration
2i27/2oo9 Avenue Financial Holdin s, Inc.
2127/2009 Hovlard Banco Inc
2127/2009 FNB Banco
2/27/2009 The Victo Bank
2/27/2009 Catskill Hudson Banco Inc
2/27/2009 Midtown Bank & Trust Com an
Clive
Minnea olis
Nowata
Garland
Salt Lake Ci
Man
Nashville
ElficottC!
South San Franer
Umeiick
Rock Hlil
Atlanta
iA
MN
OK
TX
UT
LA
TN
MD
CA
PA
NY
GA
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
chase
chase
Purchase
Purchase
Purchase
Preferred
Preferred
Preferred
Preferred
Preferred
Preferred
Preferred
Preferred
Preferred
Preferred
Preferred
Preferred
Slock wI Exercised
Stock wI Exercised
Slock wi Exercised
Slock wf Exercised
Stock wI Exercised
Stock wi Exercised
Stoele. wI Exercised
Stock wI Exercised
Stock wi Exercised
Stock wi Exercised
Stock wi Exercised
Stoele. wi Exercised
Warrants
Warrants
Warrants
warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
TOTAL
1%.756,148.000
11 This IraMacuon was included in previous Transaction Reports with Manil, Lynch & Co, Inc. lisled as Ihe qualifying instilutklO and a 10/28/2008 transac1ion date. rootnoted to indicate that settlement was
deferred pending merger The purchase of Merrill Lynch by Bank of America was completed on 11112009, and Ihis transaction under the CPP was fW1ded on 11911009
21 Privately"held qualified Ijnancial in~titwtiorr: Trellsury received a warrant 10 purchase additional shares of preferred stock, which it exercised immediately
3/ To promote comm"rlity deveiopmem f,nancial institutions (CDFls). Treasury does not require warrants as part of ils irwesiml'.H'1 in certified CDFfs WIHln the size of Ihe inveslment is $50 million or less
SYSTEMICALLY SIGNIFICANT FAIUNG INSTITUTIONS
Seller
Foot
note
Date
Name of Institution
11/2512008 A!G
I
City
NewYorlt
I
State
NY
Transaction T
Purchase
•
Descriptlon
Preferred Stock wi Warrants
Price Paid
Pricing
Mechanism
$40 000 000 000 Poe
AUTOMOTIVE INDUSTRY FINANCING PROGRAM
I
Foot
note
Seller
D.,.
Name of Institution
12/29!2oo8 GMAC lLC
12/29/2.008 General Motors Comoralion
1213112008 General Motors Cor oration
11212009 eM sler Holdin lLC
1/161:2009 eM slar Flmmcial Services Americas LLC
Citv
Detroit
Detroit
Detroit
Auburn Hilis
F.,mi0 0n Hlllo
State
MI
MI
"'
MI
Ml
Transaction TVDe
Purchase
Purchase
PurChase
Purchase
Purchase
OescriDtion
Preferred
Dellt Obli
Debt Obli
Debt Obi!
Debt Obi!
Slack wi Exercised Warrants
ation
allon wi Warrants and AdditiOf'lal Note
alion wi Additional Note
stion wi Additional Note
TOTAL
Pricing
Mechanism
liquIdation
$5000,000,000 Preference
Amount
$884,024.131
$13400.000.000
$4,000,000 000
$1,500,000 000
NIA
NIA
NIA
NIA
$24,784,024,131
11 Treasury committed to lend Geneml Motors Corporation up to $1,000,000,000 The ultimate level of fUndi'1g was dependent upon the level of investor participation in GMAC LLC's rights offering
The Amount has been up<lated to reflect the final level of fending
2J The ioan was funded through Chrysler La Receivabies Trust, a special purpose vehicle created by Chrysler FinanciaL The Amount of $1,500,000,000 represents the maximum loan amount The loan
will be incrementally funded
TARGETEO lNVESTM ENT PROGRAM
Seller
Foot
note
Pricing
Date
Name of Institulion
12/3112008 Cill rOLl leo
1/1612009 Bank of America Corporation
CI",
New York
Charlotte
State
NY
NC
Trans-aotion Tyae
Purchase
Pur<;hasa
Description
Preferred $tock wi Warrants
Preferred Stock wi Warrants
TOTAL
Price Paid
$20 000 000 000
$20,000 000 000
,,,Mechanism
,,,
$40,000,000,000
ASSET GUARANTEE PROGRAM
Seller
Foot
",Ie
D'"
Name of Institution
111612009 Clti rouP Inc
CiN
York
State
NY
Transaction Type
Guarantee
Description
Second-Loss Guarantee on Asset Poo1
TOTAL
19
Premium
Received
Preferred Stock
$5 000 000 000 and Warrants
Guarantee limit
$5,000,000,000
VIII. PROJECTED COSTS AND LIABILITIES
Section lOS(a)(3)(E)
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Projected Costs and Liabilities [Section 105(a)(3(E)]
For Period Ending February 28, 2009
Type of Expense/Liability
Amount
None
Note: Treasury interprets this reporting requirement as
applicable to costs and liabilities related to insurance contracts
entered into under the provisions of section 102 of the EESA;
and the single insurance contract with Citigroup is structured
such that no costs are anticipated, I.e. the currently
anticipated cash inflows of the contract slightly exceed
anticipated cash outflows.
The subsidy rate for this insurance contract is determined to
be -0.25 percent Per EESA section 102(c)(3), premiums
shall be set at a level necessary to meet anticipated claims.
To ensure that the guarantee remains compliant with section
102(c)(3), the Master Agreement provides for post-signing
adjustments including additional Citigroup preferred stock, a
reduction of the covered asset pool, and/or an increased
Citigroup deductible (section 5.2 of the Master Agreement).
Under this section of the agreement, the subsidy rate will be
reassessed once the loan pools are finalized and details are
provided to Treasury (changes in the composition of assets
are expected). Citigroup must either transfer more preferred
stock or absorb more in first losses (it is unlikely the size of
the asset pool would be reduced), if it is found that the risks of
the assets in the loan pooi exceed those estimated today and
would not meet the requirements of EESA section 102(c)(3).
This "true-up" would occur over the next 8 months.
20
@FedFRASER