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Troubled Asset Relief Program (TARP)
Monthly 105(a) Report – July 2011
August 10, 2011
This report to Congress is pursuant to Section 105(a) of the Emergency Economic Stabilization Act of 2008.
Monthly 105(a) Report
July 2011
Section
Page
Highlights for July ……………………………………………………………………………………………………………………… 1
Where are the TARP Funds? ................................................................................................................................................. 2
•
Daily TARP Update
•
Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal
Budget
Program Updates:
Bank Support Programs ….…………………………………………………………………………………………………................. 7
•
Capital Purchase Program
Other Programs ……..…………………………………………………………………………………………………........................ 11
•
Automotive Industry Financing Program
Housing Programs
……..………………………………………………………………………………......................................... 12
Appendix 1 – Financial Statement
More information is available at FinancialStability.gov.
Monthly 105(a) Report
July 2011
Highlights for July 2011
The Troubled Asset Relief Program was established pursuant to the Emergency Economic Stabilization Act of 2008 (EESA). Two and a
half years after the establishment of the TARP, we are making substantial progress in unwinding the extraordinary assistance that had to
be provided during the crisis. Treasury has moved quickly to reduce the dependence of the financial system on emergency support and to
return our financial institutions to private hands as quickly as possible. When President Obama took office, the government had made
investments in financial institutions representing 75 percent of the assets of the entire banking system. Today, the government’s remaining
investments in banks represent only about 10 percent of the assets of the banking system. Moreover, as of today, taxpayers have
recovered approximately $255 billion from TARP’s bank programs through repayments, dividends, interest, and other income -approximately $10 billion more than the $245 billion invested in banks.
By any objective standards, the Troubled Asset Relief Program has worked: it helped stop widespread financial panic, it helped prevent
what could have been a devastating collapse of our financial system, and it did so at a cost that is far less than what most people expected
at the time the law was passed.
On July 21, 2011, Treasury made significant progress toward its goal of exiting the government’s investments in private companies as
quickly as practicable. Treasury completed the sale of its remaining 6 percent equity stake in Chrysler Group LLC to Fiat for $500 million.
In addition, Fiat paid $60 million to Treasury for its rights under an agreement with the UAW retirement trust pertaining to the trust's shares
in Chrysler. With this transaction, Treasury has now fully exited its investment in Chrysler Group under the Troubled Asset Relief Program
(TARP). In a press release announcing the sale, Assistant Secretary for Financial Stability Tim Massad said “This is a major
accomplishment and further evidence of the success of the Administration’s actions to assist the US auto industry, which helped save a
million jobs during the worst economic crisis since the Great Depression.”
Where are TARP Funds? 1
This report contains two charts that provide a complete picture of how TARP funds have been used, the extent to which they have been
returned, and how much the program will cost.
Daily TARP Update
The first chart shows for each TARP program the amount of funds obligated, the amount actually disbursed, the repayments and
income received and any losses. Thus, a reader can quickly see how much cash was disbursed under a particular program and how
much cash has come back to Treasury. These amounts do not represent lifetime cost estimates, which are shown in the next chart.
This chart is also available on FinancialStability.gov and is updated after every business day.
1
Numbers in text and tables in this report may not add because of rounding.
1
Monthly 105(a) Report
July 2011
Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal Budget
The second chart provides for each program within TARP the amount obligated, the amount disbursed, the outstanding balance, and
the estimated lifetime cost. Estimated lifetime cost represents Treasury’s best estimate of what the program will ultimately cost the
taxpayer. Estimated lifetime cost is calculated quarterly in conjunction with the Office of Management and Budget. Because some of
the TARP investments are in publicly traded securities, we also provide additional information to help readers know the current value of
those investments. This chart also shows the estimated lifetime cost of the additional investment by Treasury in AIG separate and apart
from the TARP investment.
This chart utilizes the methodology that TARP has consistently used to estimate these lifetime costs including the requirement to use a
discount rate that reflects market risk as required by EESA for future cash flows. Over time, market conditions and the performance of
specific investments will be critical determinants of TARP’s lifetime cost. The methodology used adheres to government budgeting
guidance and includes investments and other disbursements expected to be made in the future and includes assumptions regarding
future events, which are inherently uncertain. These estimates do not necessarily reflect official Administration budgetary estimates of
the deficit impact of TARP and may differ from the official estimates presented in the President’s Budget, the Midsession Review of the
Budget, and the report required in 2013 under Section 134 of EESA.
2
Monthly 105(a) Report
Figure 1:
July 2011
Daily TARP Update as of August 1, 2011 (through July 31, 2011)
Principal/Investment
(*Dollars in Billions*)
Obligated
Disbursed
Repayments
Refinancing
to SBLF1
Income/Revenue
Write-offs
Realized Loss
2
Outstanding
Dividends
3
3
Interest
Gain / Other
2
Income2
Warrants Sold Total Income
Total Cash Back
4
Bank Support Programs
Capital Purchase Program (CPP)
5
Preferred & Other Securities
$
179.54
$
0.08
$
19.59
$
10.04 $
-
$
-
$
7.44 $
17.48
$
Preferred & Other Securities - Exchanges from CPP to CDCI
$
0.36
$
0.36 $
0.36
$
-
$
-
$
-
$
0.03 $
-
$
-
$
0.01 $
0.03
$
0.03
Citigroup Common
$
25.00
$
25.00 $
25.00
$
-
$
-
$
-
$
0.93 $
-
$
6.85
$
0.05 $
7.84
$
32.84
179.54
$
157.29 $
0.28 $
2.58 $
174.77
Targeted Investment Program (TIP)
Bank Of America
$
20.00
$
20.00 $
20.00
$
-
$
-
$
-
$
1.44 $
-
$
-
$
1.24 $
2.67
$
22.67
Citigroup
$
20.00
$
20.00 $
20.00
$
-
$
-
$
-
$
1.57 $
-
$
-
$
0.19 $
1.76
$
21.76
$
-
$
0.28
$
$
0.28
$
0.28
0.44 $
-
$
2.25
$
0.07 $
2.76
$
2.76
Asset Guarantee Program (AGP)
Bank Of America
$
-
$
-
$
-
$
-
$
-
$
-
$
Citigroup6
$
5.00
$
-
$
-
$
-
$
-
$
-
$
Exchanges From CPP to CDCI
$
0.36
$
0.36 $
-
$
-
$
-
$
-
$
-
$
$
-
$
-
$
-
$
-
$
-
Not From Exchanges
$
0.21
$
0.21 $
-
$
-
$
-
$
-
$
0.57
$
0.01 $
-
$
-
$
-
$
0.01
$
0.01
$
250.46
$
0.08 $
20.16
$
14.45 $
-
$
9.37
$
8.99 $
32.83
$
255.11
0.86 $
-
$
0.00
$
-
$
0.86
$
1.02
0.16
$
-
$
-
$
0.16
$
1.28
-
-
Community Development Capital Initiative (CDCI)7
Bank Program Totals
8
245.10
$
222.29 $
0.28 $
2.58 $
-
Credit Market Programs
Public-Private Investment Program (PPIP)
Equity
$
7.51
$
5.73 $
0.16
$
-
$
-
$
5.58
$
Debt
$
14.90
$
11.26 $
1.12
$
-
$
-
$
10.14
$
-
Term Asset Backed Securities Lending Facility
$
4.30
$
0.10 $
-
$
-
$
-
$
0.10
$
-
$
-
$
-
$
-
$
-
$
-
Purchase SBA 7(a) Securities (SBA)
$
0.37
$
0.37 $
0.17
$
-
$
-
$
0.20
$
-
$
0.01
$
0.00
$
-
$
0.01
$
0.18
$
27.07
$
17.46 $
1.45
$
-
$
-
$
16.01
$
0.86 $
0.17
$
0.00
$
-
$
1.03
$
2.48
Credit Market Program Totals
$
Other Programs
American International Group (AIG)9
Common10
$
47.54
$
47.54 $
3.83
$
-
$
1.92
$
41.80
$
$
-
$
-
$
-
$
-
$
3.83
Preferred
$
20.29
$
20.29 $
8.99
$
-
$
-
$
11.30
$
0.15 $
-
$
0.17
$
-
$
0.32
$
9.31
$
67.84
$
67.84
$
12.82
$
-
$
1.92 $
53.10
$
0.15 $
-
$
0.17
$
-
$
0.32
$
13.14
-
AIG Totals
-
Automotive Industry Financing Program (AIFP)
GM11
$
51.03
$
51.03 $
23.18
$
$
4.44
$
23.42
$
-
$
0.77
$
0.10
$
-
$
0.86
$
24.04
Chrysler
$
12.37
$
12.37 $
9.44
$
1.60 $
1.33
$
-
$
-
$
1.19
$
0.49
$
-
$
1.68
$
11.12
-
Ally (GMAC)
$
16.29
$
16.29 $
$
13.75
$
2.34 $
-
$
0.13
$
-
$
2.46
$
5.00
$
79.69
$
79.69
$
35.16
$
1.60 $
5.77 $
37.17
$
2.34 $
1.95
$
0.72
$
-
$
5.01
$
40.17
$
147.53
$
147.53
$
47.98
$
1.60 $
7.68 $
90.26
$
2.49 $
1.95
$
0.88
$
-
$
5.32
$
53.30
Making Homes Affordable
$
29.89
$
1.53
HFA Hardest-Hit Fund
$
7.60
$
0.48
FHA Refinance12
$
8.12
$
0.05
Housing Totals
$
45.60
$
2.06
Grand Totals
$
470.67
$
412.15
$
271.72
$
4.18 $
7.77 $
126.44
$
17.80 $
2.12 $
10.26
$
8.99 $
39.18
$
310.89
AIFP Totals
Other Programs Totals
2.54
$
Treasury Housing Programs Under TARP
3
Monthly 105(a) Report
July 2011
Notes to Daily TARP Update
1/ This represents the portion of the repayments that were received from refinancing to SBLF. This column is not used to calculate the Outstanding
amount.
2/ Amounts of "Realized Loss", "Gain / Other Income", and "Warrants Sold" reflect net cash receipts.
3/ For equity programs, all dividend and interest payments are classified in the “Dividends” category. For direct loan programs, all dividend and interest
payments are classified in the “Interest” category. These classifications are consistent with the accounting treatment used to produce OFS’ financial
statements.
4/ This column represents the sum of repayments plus income/revenue. These amounts do not represent lifetime cost estimates, which OFS provides
in a separate table.
5/ Citigroup CPP investment was originally in the form of preferred shares and was converted to common stock in September 2009.
6/ Gain / Other Income does not include the receivable for up to $800 million in trust preferred securities from the Federal Deposit Insurance
Corporation (FDIC).
7/ All CDCI collections are grouped in the "Not From Exchanges" row/category.
8/ The "Bank Program Totals" do not include the disbursements, repayments, or gain on warrants sold for the CPP to CDCI exchanges as they were
cashless.
9/ TARP’s investment in AIG was originally made in the form of preferred stock, some of which was converted to common stock in the recapitalization
in January, 2011. For convenience of the reader, the amount converted into common stock is listed under the “obligated” and “disbursed” column.
10/ On May 24, 2011, Treasury sold a total of 200 million AIG common shares at $29 per share, consisting of 131,981,246 TARP shares and 68,018,754
non-TARP shares based upon the Treasury’s pro-rata holding of those shares. The non-TARP shares are those received from the trust created by
the Federal Reserve Bank of New York for the benefit of the Treasury. Receipts for non-TARP common stock totaled $1,972,543,866 and are not
included in TARP collections. The realized loss reflects the price at which TARP sold common shares in AIG and the TARP’s cost basis of $43.53
per common share. However, the Treasury as a whole realized a gain on the sale of AIG shares as the combined basis for those shares is $28.73.
11/ Treasury’s investment in GM was originally made primarily in the form of loans, some of which were subsequently converted into common and
preferred stock. Treasury currently holds only common stock. The realized loss reflects the difference between the price at which Treasury sold
common shares in GM’s initial public offering and the Treasury’s cost basis ($43.52 per common share) for such shares. This calculation is not a
projection of current or expected losses with respect to dispositions of the remaining shares.
12/ Treasury has entered into a letter of credit (L/C) to fund the FHA Short Refinance Program. Pursuant to this L/C, a reserve account has been prefunded with $50 million in funds for any future loss claim payments. Treasury will be reimbursed for all unused amounts from this account. As of the
date hereof, no disbursements for loss claim payments under the FHA Short Refinance Program have been made.
4
Monthly 105(a) Report
July 2011
Figure 2: Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal Budget
Programs
as of July 31, 2011
(dollar amounts in billions)
Obligation/
Commitment
Disbursed
as of
July 31
Outstanding
Estimated
Investment
Balance as of Lifetime Cost
as of Jun 301,2
July 31
Bank Support Programs:
Capital Purchase Program (CPP):
Citigroup
$
Other banks with assets $10 billion or greater
3
Banks with assets less than $10 billion
Total
25.00
$
25.00
$
0.00
$
(6.46)
165.33
165.33
9.13
(10.89)
14.57
14.57
10.46
3.20
$ 204.89
$ 204.89
$ 19.59
$
(14.15)
Targeted Investment Program (TIP)
$
40.00
$
40.00
$
0.00
Asset Guarantee Program (AGP)4
Community Development Capital Initiative (CDCI)
$
5.00
$
0.00
$
0.00
$
$
(4.00)
(3.75)
$
0.57
$
0.57
$
0.57
$
0.19
$
$
5.58
10.14
$ 15.72
$
$
5.73
11.26
16.99
$
$
7.51
14.90
22.41
$
(2.48)
0.47
(2.01)
$
4.30
$
0.10
$
0.10
$
0.37
$
0.37
$
0.20
$
$
(0.34)
0.00
$
20.29
47.54
$
20.29
47.54
$ 11.30
41.80
$
17.30
$
67.84
$
67.83
$ 53.10
$
17.30
$
79.69
$
79.69
37.17
$
14.33
$ 425.06
$ 410.08
$ 126.44
$
7.57
$
$
$
-
$
45.60
$
53.17
Credit Market Programs:
Public-Private Investment Program (PPIP):
Equity
Debt
Total
Term Asset Backed Securities Lending Facility (TALF)
Purchase SBA 7(a) Securities (SBA)
Other Programs:
American International Group (AIG):
Preferred Stock
Common Stock
Total
Automotive Industry Financing Program (AIFP)
Sub-total for Investment Programs
Treasury Housing Programs Under TARP
Total for TARP Programs
Additional AIG Common Shares Held by Treasury5
Total for TARP Programs and Additional AIG Shares
45.60
2.06
$ 470.67
$ 412.14
$ 126.44
n/a
n/a
n/a
$ 470.67
$ 412.14
$ 126.44
(16.48)
$
36.69
5
Monthly 105(a) Report
July 2011
Notes to Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal Budget:
1/
Lifetime cost information is as of June 30, 2011.
2/ Estimated lifetime cost figures shown above are currently updated quarterly in conjunction with the Office of Management and Budget.
The value of outstanding investments in publicly-traded securities is calculated by using the aggregate value of the investments at
market prices as of June 30, 2011. The following common stock value information is provided for the convenience of the reader to
show the increase or decrease in aggregate value of the outstanding shares of the investments in light of market prices as of July 31,
2011 and the corresponding effect on estimated cost assuming no other changes.
Outstanding Investment
AIG Common Stock
GM Common Stock
Additional AIG Common Shares
3/
6/30/2011
Market
Value
$
$
$
28.15
15.18
14.51
7/31/2011
Market
Value
In billions
$
27.56
$
13.84
$
14.20
Increase
(Decrease)
in Cost
$
$
$
0.59
1.34
0.31
Some CPP banks will convert to the Small Business Lending Fund resulting in full repayment of associated CPP investments.
4/ Estimated lifetime costs for AGP includes $276 million for the termination fee Bank of America paid Treasury-OFS for the value
received from the announcement of the negotiations on the guarantee and share losses on a pool of assets.
5/ Represents additional 563 million shares of AIG common stock that was received from the trust created by the Federal Reserve Bank
of New York for the benefit of the Treasury, including $1.97 billion received from a sale of stock in May 2011.
6
Monthly 105(a) Report
July 2011
Program Updates
Bank Support Programs
In early October 2008, Treasury launched a series of programs to stabilize the nation’s banking institutions. The programs included the
Capital Purchase Program (CPP), the Capital Assistance Program (CAP), the Targeted Investment Program (TIP), the Asset Guarantee
Program (AGP) and the Community Development Capital Initiative (CDCI). A total of $245 billion was invested in banking institutions, and
as of March 30, 2011, Treasury has recovered more than 100% of that amount through repayments, dividends, interest, and other income.
CAP closed on November 9, 2009 with no investments having been made. TIP and AGP have both closed. The programs generated net
positive returns to the taxpayer totaling $4.0 and $3.8 billion, respectively. CPP closed to new investments in December 2009 and CDCI
was closed in September 2010. Treasury estimates the bank programs will result in a lifetime positive return for taxpayers of more than
$20 billion (see Figure 2).
Capital Purchase Program (CPP)
Treasury created the Capital Purchase Program in October 2008 to stabilize the financial system by providing capital to viable banks of all
sizes throughout the nation. Figure 3 shows the cumulative Capital Purchase Program activity since program inception. Every additional
dollar recovered from CPP participants represents a positive return for taxpayers.
Refinancing Through SBLF
In July, for the first time, a number of CPP banks received funding under the Small Business Lending Fund (SBLF). Enacted into law as
part of the Small Business Jobs Act of 2010, the SBLF is a $30 billion fund that encourages lending to small businesses by providing
capital to qualified community banks with assets of less than $10 billion. SBLF is not a TARP program and does not use TARP funds.
Congress provided in the law that recipients of CPP funds are eligible to refinance CPP investments if certain conditions are met. In order
to be eligible for SBLF funding, CPP recipients must meet all of the eligibility requirements that otherwise apply to Small Business Lending
Fund participants, plus the following additional requirements:
•
The institution must be in material compliance with all the terms, conditions, and covenants of its CPP agreement and financial
instrument;
•
The institution must not have missed more than one dividend payment under CPP (where a missed payment is defined as a payment
submitted more than 60 days after the due date);
•
The institution must pay, in immediately available funds, the amount of any unpaid dividends for the payment period prior to the SBLF
closing date, plus accrued and unpaid dividends as of the date of refinancing for the payment period that includes the closing date;
•
All outstanding CPP securities must be refinanced or repaid in full at the time of the refinancing. If the value of CPP securities is greater
than the maximum amount of permissible SBLF funding, the bank must redeem the additional CPP securities using its own funds on or
before the date it receives SBLF funding; and
7
Monthly 105(a) Report
•
July 2011
Any unexercised warrants that the bank has issued to Treasury under CPP will remain outstanding after CPP refinancing through the
Small Business Lending Fund, unless they are repurchased.
Appointments to CPP Bank Boards of Directors
On July 19, 2011, Treasury announced that it had, for the first time, exercised its right to elect members to the boards of directors of two
banks participating in the Capital Purchase Program. John S. Poelker and Guy Rounsaville, Jr. were elected to the First Banks, Inc. (First
Banks) board of directors and Gerard M. Thomchick was elected to the Royal Bancshares of Pennsylvania, Inc. (Royal Bancshares) board
of directors. As participants in Treasury’s Capital Purchase Program (CPP), First Banks and Royal Bancshares entered into securities
purchase agreements with Treasury that provide Treasury the contractual right to nominate up to two members to the board of a CPP
recipient in the event that an institution misses a sixth dividend or interest payment on the preferred stock issued to Treasury. Future
appointments to the boards of directors of CPP participants will be included in monthly TARP Dividend and Interest Reports, which are
available at: http://www.treasury.gov/initiatives/financial-stability/briefing-room/reports/dividends-interest/Pages/default.aspx
Figure 3:
Capital Purchase Program Snapshot as of July 31, 2011
CPP Cumulative Investments
Amount Invested:
$204.9 billion
Largest Investment:
$25 billion
Smallest Investment:
$301,000.00
CPP Institutions (Banks in 48 states, D.C and Puerto Rico)
CPP Income to Treasury
Total Institutions Funded:
Total Amount of Repayments1:
$182.64 billion
Total Dividends, Interest, & Fee Income:
$10.99 billion
707
Full Repayments:
123
SBLF Repayments:
24
CDCI Conversions:
28
Partial Repayments:
15
Sold Investments:
10
In Bankruptcy/Recievership:
12
Merged Institutions:
2
Total Remaining Institutions:
508
July Dividends and Interest:
$15.29 million
Citigroup Gain:
$6.85 billion
Total Warrant Income2:
$7.6 billion
Total CPP Income:
$208.05 billion
8
Monthly 105(a) Report
July 2011
Notes to Capital Purchase Program Snapshot as of July 31, 2011:
1/ Includes repayment of $25 billion from completed Citigroup common stock conversion, $335,724,000 from CDCI conversions and
$279,014,000 from SBLF refinancings.
2/ Gross proceeds excluding commissions paid. Includes proceeds from exercised warrants.
Repayments
•
On July 5, 2011, Treasury completed a transaction with Harris Financial Corp., a wholly-owned subsidiary of Bank of Montreal ("BMO"),
for the sale of (i) all Marshall & Ilsley Corporation ("M&I") Preferred Stock held by Treasury for a purchase price of $1,715,000,000 plus
accrued dividends and (ii) the Treasury-held M&I Warrant for an amount equal to $3,250,000, pursuant to the terms of the agreement
between Treasury and BMO entered into on May 16, 2011.
•
In July, a total of 28 institutions repurchased all or part of their outstanding CPP preferred shares from Treasury’s investments in those
institutions for a total of $363,814,000. In 24 of those cases, all or part of the funds came from the SBLF. The portion of repayments
that are due to refinancing under SBLF is shown on the TARP Daily Update (Figure 1).
•
Two institutions repurchased a portion of their outstanding CPP preferred shares for $11,500,000. Treasury’s remaining investment in
those two banks is $14,500,000.
Warrant Repurchases
In July, Treasury disposed of warrant positions in twenty six institutions that were received in consideration for investments made under the
Capital Purchase Program (CPP). These proceeds provide an additional return to the American taxpayer of more than $16.6 million from
Treasury’s investments in banks beyond any dividend or interest payments.
•
As described above, on July 5, 2011, Treasury completed the sale of a warrant for Marshall & Illsey Corporation (“M&I”) to Harris
Financial Corp. for $3,250,000, as part of Harris Financial Corp.’s purchase of all M&I preferred stock held by Treasury.
•
Twenty three institutions repurchased preferred shares from exercised warrants from Treasury for a total of $11,075,000.
•
Treasury also completed the sale of two warrants for MidWestOne Financial Group Inc. and Home Bancshares, Inc. for a total of
$2,300,000 as part of each institution’s purchase of all preferred stock held by Treasury.
Dividends and Interest
•
Cumulative dividends, interest and fee income received from Capital Purchase Program investments is approximately $10.99
billion. In July, Treasury received dividends and interest income from CPP investments of approximately $15.29 million.
9
Monthly 105(a) Report
July 2011
Bank Closures
During July, three recipients of CPP funding were closed by their regulators. The banks and amount of their CPP funding are as follows:
•
First Peoples Bank, Port Saint Lucie, Florida: $5,800,000
•
One Georgia Bank, Atlanta, GA: $5,500,000
•
Integra Bank National Association, Evansville, Indiana: $83,586,000
Figure 4:
Top 25 Remaining Capital Purchase Program Investments (as of June 30, 2011)
Institution
1
2
3
4
5
6
7
8
9
10
11
12
13
City, State
Regions Financial Corp.
Zions Bancorporation
Synovus Financial Corp.
Popular, Inc.
First Bancorp a
Birmingham, AL
Salt Lake City, UT
Columbus, GA
San Juan, PR
San Juan, PR
Buffalo, NY
Spokane, WA
Flint, MI
Clayton, MO
New York, NY
Troy, MI
Green Bay, WI
Los Angeles, CA
M&T Bank Corporation
Sterling Financial Corporation b
Citizens Republic Bancorp, Inc.
First Banks, Inc.
New York Private Bank & Trust Corp.
Flagstar Bancorp, Inc.
Associated Banc-Corp
Cathay General Bancorp
Investment
Amount
($millions)
$
3,500.0
$
1,400.0
$
967.9
$
935.0
$
424.2
$
381.5
$
303.0
$
300.0
$
295.4
$
267.3
$
266.7
$
262.5
$
258.0
Institution
14
15
16
17
18
19
20
21
22
23
24
25
City, State
PrivateBancorp, Inc.
International Bancshares Corporation
MB Financial Inc.
Pacific Capital Bancorp c
Chicago, IL
Laredo, TX
Chicago, IL
Santa Barbara, CA
Itasca, IL
Blairsville, GA
Kansas City, MO
Las Vegas, NV
Walla Walla, WA
Madison, WI
Spokane, WA
Indiana, PA
First Midwest Bancorp, Inc.
United Community Banks, Inc.
Dickinson Financial Corporation II
Western Alliance Bancorporation
Banner Corporation
Anchor BanCorp Wisconsin, Inc.
W.T.B. Financial Corporation
S&T Bancorp
Total
Investment
Amount
($ millions)
$
243.8
$
216.0
$
196.0
$
195.0
$
193.0
$
180.0
$
146.1
$
140.0
$
124.0
$
110.0
$
110.0
$
108.7
$11.5 billion
Figure 4 Footnotes
a/ Treasury exchanged its preferred stock for mandatorily convertible preferred stock (MCP) with capitalized 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.
b/ Treasury exchanged its preferred stock for mandatorily convertible preferred stock (MCP). Sterling fulfilled the conversion conditions,
including those related to its capital plan, and Treasury's MCP was converted into 378,750,000 shares of common stock.
c/ Treasury exchanged its preferred stock for mandatorily convertible preferred stock (MCP) with capitalized dividends. Pacific Capital
fulfilled the conversion conditions and Treasury's MCP was converted into 360,833,250 shares of common stock.
10
Monthly 105(a) Report
July 2011
Other Programs
Automotive Industry Financing Program (AIFP)
When President Obama took office, the American auto industry was on the brink of collapse. The President made the difficult decision to
provide support to General Motors (GM) and Chrysler on the condition that all stakeholders make the sacrifices necessary to achieve a
path to viability. By conservative estimates, providing this support saved more than 1 million American jobs. Moreover, the expected costs
of TARP’s support for the industry have come down dramatically over the last two years as the auto industry has continued to recover and
strengthen.
•
On July 21, 2011, Treasury received $500 million in proceeds from the sale of its remaining six percent equity stake in Chrysler Group
LLC to Fiat. In addition, Fiat paid $60 million to Treasury for its rights under an agreement with the UAW retirement trust pertaining to
the trust's shares in Chrysler. With this transaction, Treasury has now fully exited its investment in Chrysler Group under the Troubled
Asset Relief Program (TARP).
11
Monthly 105(a) Report
July 2011
Housing Programs
Making Home Affordable Program Performance Report
On August 5, 2011, the U.S. Department Treasury released the Making Home Affordable (MHA) Program Performance Report
through June 2011: http://www.treasury.gov/initiatives/financial-stability/results/MHA-Reports/Pages/default.aspx. Highlights from this
month’s report include:
•
The MHA program has shown steady entry to permanent modifications, averaging about 30,000 new permanent modifications each
month for the past twelve months and reaching a cumulative total of more than 760,000 permanent modifications started since
inception of the program.
•
The conversion rate for homeowners entering trial modifications since June 1, 2010 continues to improve. Of homeowners eligible to
convert, 74% were granted permanent modifications with an average time to convert of 3.5 months – a higher conversion rate and
shorter time to convert than earlier in the program.
•
Homeowners receiving permanent modifications save a median of $524 each month, or 37% of the median before-modification
payment. Program to date, homeowners in permanent modifications have realized aggregate savings in monthly mortgage payments of
approximately $7.3 billion.
•
Homeowners in HAMP modifications continue to perform well over time, with re-default rates lower than experienced for industry
modifications. At six months, more than 93% of homeowners remain in permanent modifications, with just 10.5% of homeowners 60+
days delinquent. At one year, more than 84% of homeowners remain in the program.
•
Payment reduction is strongly correlated with permanent modification sustainability. At one year, more than 91% of homeowners with a
payment reduction greater than 50% remain in the program, exceeding the performance of modifications with less substantial payment
reductions.
Second Lien and HAFA Program Results
•
The Second Lien Modification Program (2MP) provides assistance to homeowners in a first lien permanent modification who have an
eligible second lien with a participating servicer. To date, over 33,000 homeowners in a first-lien HAMP modification have received
assistance through 2MP. Since homeowners with first lien mortgage modifications under HAMP become automatically eligible when
their second lien servicer participates in 2MP, this number will likely continue to grow.
•
Over 21,000 homeowners have reached agreements with their servicer to exit their home gracefully under the Home Affordable
Foreclosure Alternatives (HAFA) Program through a potential short sale or deed-in-lieu of foreclosure transaction.
•
More than 10,000 homeowners have completed a short sale or deed-in-lieu under HAFA, which provides up to $3,000 for relocation
assistance after a homeowner exits the home.
12
Monthly 105(a) Report
July 2011
Hardest Hit Fund
The Hardest Hit Fund provides funding to 18 states and the District of Columbia to provide assistance to struggling homeowners through
locally-tailored programs administered by each respective Housing Finance Agency (HFA). $7.6 billion has been allocated. These areas
were chosen because they have experienced steep home price declines or unemployment in the economic downturn. States have
developed principal reduction, reinstatement, short sale/transition assistance, modification assistance and mortgage payment programs.
•
70% of funds are targeted to help unemployed borrowers, primarily through reinstatement and programs that help homeowners pay
their mortgage while looking for work.
•
All 19 HFAs are out of pilot and have begun offering assistance statewide (IL was the last state, which went statewide on July 25,
2011).
•
A total of $478 million has been drawn down from Treasury from the 18 states and DC. Each state has its own timeline for
implementation of their program and draws down funds as they are needed.
•
All 19 eligible entities have created extensive infrastructure to operate these programs, including selecting and training networks of
housing counselors to assist with applications, the creation of homeowner portals to apply for assistance, and the hiring of
underwriters and other staff to review and approve applications.
•
The five largest servicers (Ally Bank, Bank of America, J.P. Morgan Chase, Citibank, and Wells Fargo) are participating in all states.
•
In addition to discussions with large servicers, HFAs have had a great deal of success signing hundreds of smaller and mid-size
servicers onto their programs.
•
Fannie Mae and Freddie Mac (GSEs), the Federal Housing Administration (FHA), the U.S. Department of Veterans Affairs(VA) and
the U.S. Department of Agriculture (USDA) have issued guidance strongly encouraging servicers servicing their loans to participate
in unemployment programs under the Hardest Hit Fund.
•
Although most states have started out slowly, many states that have been up and running for several months are starting to show
substantial growth in the number of borrowers assisted (Ohio, North Carolina, Oregon, and California).
•
Treasury approved several new programs in July (bringing the total up to 55 programs), including a loan purchase model from
Illinois (the Mortgage Resolution Fund) and 3 programs from California aimed to help underwater borrowers.
13
Monthly 105(a) Report
July 2011
Appendix 1
Financial Statements
14
United States Department of the Treasury
Office of Financial Stability
Report of Administrative Obligations and Expenditures
For Period Ending
July 31, 2011
PERSONNEL SERVICES
NON-PERSONNEL
SERVICES
Budget
Object Class
(BOC)
Budget Object Class Title
1100 & 1200 PERSONNEL COMPENSATION & BENEFITS
PERSONNEL SERVICES Total:
2100
TRAVEL & TRANSPORTATION OF PERSONS
2200
TRANSPORTATION OF THINGS
2300
RENTS, COMMUNICATIONS, UTILITIES & MISC CHARGES
2400
PRINTING & REPRODUCTION
2500
OTHER SERVICES
2600
SUPPLIES AND MATERIALS
3100
EQUIPMENT
3200
LAND & STRUCTURES
4300
INTEREST & DIVIDENDS
NON-PERSONNEL SERVICES Total:
$
$
$
$
GRAND TOTAL: $
Note: The amounts presented above are cumulative from the initiation of the TARP.
Obligations
70,165,418
70,165,418
1,282,087
11,960
753,957
402
170,704,332
844,602
244,067
117
173,841,524
244,006,943
$
$
$
$
$
Expenditures
69,973,217
69,973,217
1,226,006
11,960
673,107
402
132,499,787
828,981
222,675
117
135,463,035
205,436,253
For Period Ending
August 31, 2011
$
$
$
$
$
Projected
Obligations
72,636,000
72,636,000
1,339,000
12,000
754,000
500
173,411,000
854,000
245,000
120
176,615,620
249,251,620
$
$
$
$
$
Projected
Expenditures
72,444,000
72,444,000
1,285,000
12,000
681,000
500
136,254,000
836,000
223,000
120
139,291,620
211,735,620
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Agreements Under TARP [Section 105(a)(3)(A)]
For Period July 31, 2011
Date Approved
Type of Transaction
10/10/2008
10/11/2008
10/14/2008
10/16/2008
10/17/2008
10/18/2008
10/29/2008
10/29/2008
10/31/2008
11/7/2008
11/9/2008
11/17/2008
11/25/2008
12/3/2008
12/5/2008
12/10/2008
12/10/2008
12/15/2008
12/16/2008
12/22/2008
12/24/2008
1/6/2009
1/7/2009
1/27/2009
1/27/2009
1/30/2009
2/2/2009
2/3/2009
Contract
Contract
Financial Agent
Contract
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Vendor
Simpson Thacher & Bartlett Mnp LLP
Ennis Knupp & Associates Inc
The Bank of New York Mellon
(No Suggestions) LLP-1
Turner Consulting Group, Inc.*
Ernst & Young LLP
Hughes Hubbard & Reed LLP
Squire Sanders & Dempsey LLP
Lindholm & Associates Inc.*
Sonnenschein Nath & Rosenthal LLP
Internal Revenue Service
Internal Revenue Service - CSC
Department of the Treasury - Departmental Offices
Trade and Tax Bureau - Treasury
Washington Post
Sonnenschein Nath & Rosenthal LLP
Thacher Proffitt & Wood**
Office of Thrift Supervision
Department of Housing and Urban Development
Office of Thrift Supervision
Cushman And Wakefield Of Va Inc
Securities and Exchange Commission
Colonial Parking Inc.
Cadwalader Wickersham & Taft LLP
Whitaker Brothers Bus Machines Inc.*
Office of the Controller of the Currency
Government Accountability Office
Internal Revenue Service
Purpose
Legal Advisory
Investment and Advisory Services
Custodian and Cash Management
Accounting/Internal Controls
Archive Services
Accounting/Internal Controls
Legal Advisory
Legal Advisory
Human Resources Services
Legal Advisory
Detailee
Information Technology
Administrative Support
Information Technology
Administrative Support
Legal Advisory
Legal Advisory
Detailee
Detailee
Detailees
Administrative Support
Detailee
Parking
Legal Advisory
Office Machines
Detailee
Oversight Services
Detailees
Date Approved
Type of Transaction
2/9/2009
2/12/2009
2/18/2009
2/18/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/26/2009
2/27/2009
3/6/2009
3/16/2009
3/23/2009
3/30/2009
3/30/2009
3/30/2009
3/30/2009
3/30/2009
3/31/2009
4/3/2009
4/3/2009
4/17/2009
4/17/2009
4/21/2009
4/21/2009
4/21/2009
4/30/2009
5/5/2009
5/13/2009
5/14/2009
5/15/2009
5/20/2009
5/22/2009
5/26/2009
5/26/2009
6/9/2009
6/29/2009
Contract
Contract
Financial Agent
Financial Agent
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Financial Agent
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Interagency Agreement
Contract
Financial Agent
Financial Agent
Financial Agent
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Vendor
Pat Taylor & Assoc Inc.*
Locke Lord Bissell & Liddell LLP
Fannie Mae
Freddie Mac
Financial Clerk U.S. Senate
Office of Thrift Supervision
Simpson Thacher & Bartlett Mnp LLP
Venable LLP-1
Securities and Exchange Commission
Pension Benefit Guaranty Corp.
The Boston Consulting Group Inc
EARNEST Partners*
Heery International Inc.*
Bingham Mccutchen LLP
Cadwalader Wickersham & Taft LLP
Haynes and Boone LLP
Mckee Nelson LLP***
Sonnenschein Nath & Rosenthal LLP
FI Consulting Inc.*
American Furniture Rentals*
The Boston Consulting Group Inc
Bureau of Engraving and Printing
Herman Miller Inc.
AllianceBernstein L.P.
FSI Group, LLC
Piedmont Investment Advisors, LLC*
State Department
Federal Reserve Board
Department of Treasury - US Mint
Knowledgebank Inc.*
Phacil Inc.
Securities and Exchange Commission
Department of Justice - ATF
Anderson Mc Coy & Orta*
Simpson Thacher & Bartlett Mnp LLP
Financial Management Service - Gartner, Inc.
Department of Interior
Purpose
Administrative Support
Legal Advisory
Homeownership Program
Homeownership Program
Oversight Services
Detailees
Legal Advisory
Legal Advisory
Detailee
Legal Services
Financial Advisory
Small Business Assistance Program
Architectural Services
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Accounting/Internal Controls
Administrative Support
Financial Advisory
Detailee
Facilities Support
Asset Management Services
Asset Management Services
Asset Management Services
Detailee
Detailee
Administrative Support
Administrative Support
FOIA Support Services
Detailee
Detailee
Legal Advisory
Legal Advisory
Information Technology
Information Technology
Date Approved
Type of Transaction
7/15/2009
7/17/2009
7/30/2009
7/30/2009
7/30/2009
8/10/2009
8/10/2009
8/18/2009
8/25/2009
9/2/2009
9/10/2009
9/11/2009
9/18/2009
9/30/2009
9/30/2009
9/30/2009
9/30/2009
11/9/2009
12/16/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
1/14/2010
1/15/2010
2/16/2010
2/16/2010
2/18/2010
3/8/2010
3/22/2010
3/26/2010
3/29/2010
4/2/2010
4/8/2010
Interagency Agreement
Contract
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Financial Agent
Financial Agent
Financial Agent
Contract
Financial Agent
Financial Agent
Financial Agent
Interagency Agreement
Contract
Interagency Agreement
Contract
Interagency Agreement
Contract
Interagency Agreement
Interagency Agreement
Financial Agent
Interagency Agreement
Contract
Vendor
Judicial Watch
Korn/Ferry International
Cadwalader Wickersham & Taft LLP
Debevoise & Plimpton, LLP
Fox Hefter Swibel Levin & Carol, LLP
Department of Justice
NASA
Mercer (US) Inc.
Department of Justice
Knowledge Mosaic Inc.*
Equilar Inc.*
PricewaterhouseCoopers LLP-1
Bureau of the Public Debt - ARC
IMMIXTECHNOLOGY INC.
IMMIXTECHNOLOGY INC.
NNA Inc.
SNL Financial LC
Department of the Treasury - Departmental Offices
Internal Revenue Service
Avondale Investments, LLC*
Bell Rock Capital, LLC*
Howe Barnes Hoefer & Arnett, Inc.*
Hughes Hubbard & Reed LLP
KBW Asset Management, Inc.*
Lombardia Capital Partners, LLC*
Paradigm Asset Management Co., LLC*
Government Accountability Office
Association of Govt Accountants
Internal Revenue Service
The Mitre Corporation
Bureau of the Public Debt - ARC
Qualx Corporation*
Financial Management Services - Gartner, Inc.
Federal Maritime Commission (FMC)
Morgan Stanley & Co. Incorporated
Financial Clerk U.S. Senate
Squire Sanders & Dempsey LLP
Purpose
Legal Advisory
Administrative Support
Legal Advisory
Legal Advisory
Legal Advisory
Detailee
Detailee
Subscription Services
Detailee
Administrative Support
Subscription Services
Accounting/Internal Controls
Administrative Support
Information Technology
Information Technology
Administrative Support
Subscription Services
Administrative Support
Detailee
Asset Management Services
Asset Management Services
Asset Management Services
Legal Advisory
Asset Management Services
Asset Management Services
Asset Management Services
Oversight Services
Administrative Support
Detailee
Information Technology
Information Technology
FOIA Support Services
Information Technology
Detailee
Disposition Agent Services
Oversight Services
Legal Advisory
Date Approved
Type of Transaction
4/12/2010
4/22/2010
4/22/2010
4/23/2010
5/4/2010
5/17/2010
6/24/2010
6/30/2010
7/21/2010
7/21/2010
7/22/2010
7/22/2010
7/22/2010
7/27/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/12/2010
8/30/2010
9/1/2010
9/17/2010
9/27/2010
9/30/2010
10/1/2010
10/8/2010
10/14/2010
10/26/2010
11/8/2010
11/18/2010
12/2/2010
Contract
Contract
Contract
Contract
Interagency Agreement
Financial Agent
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Interagency Agreement
Contract
Financial Agent
Contract
Vendor
Ennis Knupp & Associates Inc
Digital Management Inc.*
Microlink Llc
RDA Corporation*
Internal Revenue Service
Lazard Fréres & Co. LLC
Reed Elsevier Inc (dba LexisNexis)
The George Washington University
Navigant Consulting Inc.
Regis & Associates PC*
Ernst & Young LLP
PricewaterhouseCoopers LLP-1
Schiff Hardin LLP
West Publishing Corporation
Alston & Bird LLP
Cadwalader Wickersham & Taft LLP
Fox Hefter Swibel Levin & Carol, LLP
Haynes and Boone LLP
Hughes Hubbard & Reed LLP
Love & Long LLP*
Orrick Herrington Sutcliffe LLP
Paul Weiss Rfknd Whrtn & Grrsn LLP
Perkins Coie LLP
Seyfarth Shaw LLP
Shulman Rgrs Gndl Pordy & Ecker Pa
Sullivan Cove Reign Enterprises JV*
Venable LLP-1
Knowledge Mosaic Inc.*
Department of Housing and Urban Development
CQ-Roll Call Inc.
Bingham Mccutchen LLP
Davis Audrey Robinette*
CCH Incorporated
Financial Clerk U.S. Senate
Management Concepts Inc****
Hispanic Assoc Of Coll & Univ*
Government Accountability Office
The Mitre Corporation*
Greenhill & Co., LLC
Addx Corporation*
Purpose
Financial Advisory
Information Technology
Information Technology
Information Technology
Administrative Support
Transaction Structuring Services
Subscription Services
Administrative Support
Compliance
Compliance
Compliance
Compliance
Legal Advisory
Administrative Support
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Administrative Support
Detailee
Administrative Support
Legal Advisory
Administrative Support
Administrative Support
Oversight Services
Administrative Support
Detailees
Oversight Services
Information Technology
Structuring and Disposition Services
Acquisition Support Services
Date Approved
Type of Transaction
12/29/2010
1/5/2011
1/18/2011
1/24/2011
1/26/2011
2/24/2011
2/28/2011
3/3/2011
3/10/2011
3/22/2011
3/28/2011
4/20/2011
4/26/2011
4/27/2011
4/27/2011
4/27/2011
4/27/2011
4/27/2011
4/27/2011
4/28/2011
4/28/2011
4/28/2011
5/31/2011
5/31/2011
6/9/2011
6/17/2020
6/9/2011
7/28/2011
Contract
Interagency Agreement
Financial Agent
Interagency Agreement
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Vendor
Reed Elsevier Inc (dba LexisNexis)
Canon U.S.A. Inc.
Perella Weinberg Partners & Co.
Bureau of the Public Debt - ARC
Association of Govt Accountants
ESI International Inc.
Department of the Treasury - Departmental Offices
Equilar Inc.*
Mercer (US) Inc.
Harrison Scott Publications
Fox News Network LLC
Federal Reserve Bank of New York
PricewaterhouseCoopers LLP-1
Oculus Group Inc.*
MorganFranklin Corporation
Lani Eko & Company CPAs LLC*
FI Consulting Inc.*
Ernst & Young LLP
ASR Analytics LLC*
Booz Allen Hamilton Inc.
KPMG LLP
Office of Personnel Management
Reed Elsevier Inc (dba LexisNexis)
West Publishing Corporation
CQ-Roll Call Inc.
Winvale Group LLC
ESI International Inc.
Internal Revenue Service
* Small or Women-, or Minority-Owned Small Business
**Contract responsibilities assumed by Sonnenschein Nath & Rosenthal via novation.
***Contract responsibilities assumed by Bingham McCutchen, LLP via novation.
**** Previously listed separate contracts for various training.
Purpose
Subscription Services
Administrative Support
Structuring and Disposition Services
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Subscription Services
Litigation Settlement
Financial Reporting
Financial Services
Financial Services
Financial Services
Financial Services
Financial Services
Financial Services
Financial Services
Financial Services
Financial Services
Training
Subscription Services
Subscription Services
Subscription Services
Subscription Services
Administrative Support
Legal Services
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Insurance Contracts [Section 105(a)(3)(B)]
For Period Ending July 31, 2011
Name
Amount
Termination of the $5,000,000,000 Master Agreement
between Citigroup and the UST, and FDIC occurred on
December 23, 2009 due to the improvement of Citigroup's
financial condition and financial market stability.
Troubled Asset Relief Program
Transactions Report - Investment Programs
For Period Ending July 31, 2011
CAPITAL PURCHASE PROGRAM
Seller
Footnote
1b
11, 23 5/26/2010
Name of Institution
Purchase Date
10/28/2008 Bank of America Corporation
10/28/2008 The Bank of New York Mellon Corporation
Purchase Details
City
Charlotte
New York
State
NC
NY
Investment Description
Capital Repayment Details
Investment Amount
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
15,000,000,000
3,000,000,000
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
Par
12/9/2009 4 $ 15,000,000,000
Par
6/17/2009 4 $
3,000,000,000
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
$
$
0
0
Final Disposition
Final
Disposition
Date
Warrants
Warrants
3/3/2010
8/5/2009
Disposition
Investment
Description
Warrants
Warrants
15
1b
Final Disposition
Proceeds
A $
R $
NY
Common Stock w/ Warrants
$
25,000,000,000
Par
New York
New York
New York
Boston
San Francisco
Redding
Hendersonville
San Francisco
Chicago
Atlanta
NY
NY
NY
MA
CA
CA
NC
CA
IL
GA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
10,000,000,000
25,000,000,000
10,000,000,000
2,000,000,000
25,000,000,000
17,000,000
16,369,000
298,737,000
1,576,000,000
3,500,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
11/14/2008
Broadway Financial Corporation
Los Angeles
CA
Preferred Stock
$
9,000,000
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
11/14/2008
11/14/2008
44 5/16/2011
$
25,000,000,000
$
0
Warrants
1/25/2011
Warrants
A $
4
$
$
$
$
$
10,000,000,000
25,000,000,000
10,000,000,000
2,000,000,000
25,000,000,000
$
$
$
$
$
0
0
0
0
0
Warrants
Warrants
Warrants
Warrants
Warrants
7/22/2009
12/10/2009
8/12/2009
7/8/2009
5/20/2010
Warrants
Warrants
Warrants
Warrants
Warrants
R
A
R
R
A
6/17/2009
3/30/2011
4
$
$
1,576,000,000
3,500,000,000
$
$
0
0
Warrants
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
12/22/2010
12/22/2010
3/30/2011
4
$
$
$
$
3,555,199,000
866,540,000
1,398,071,000
2,500,000,000
$
$
$
$
0
0
0
0
4
$
75,000,000
$
225,000,000
9/23/2009
4
$
125,000,000
$
100,000,000
4
$
100,000,000
$
0
$
1,715,000,000
$
0
Warrants
7/5/2011
Warrants
$
$
$
$
$
6,599,000,000
361,172,000
184,011,000
25,000,000
27,875,000
$
$
$
$
$
0
0
0
0
0
Warrants
Warrants
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
Warrants
7/15/2009
12/15/2009
6/24/2009
6/30/2009
10/28/2009
Warrants
Warrants
Warrants
Warrants
Warrants
4/7/2010
6/2/2011
Par
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
23
12/23/2009
New York
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.
6/17/2009
6/17/2009
6/17/2009
6/17/2009
12/23/2009
6/3/2009
3a 11/24/2009
Citigroup Inc.
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
11/14/2008
11/14/2008
14
10/28/2008
Valley National Bancorp
Zions Bancorporation
Baltimore
MD
Preferred Stock w/ Warrants
$
151,500,000
OR
TX
AL
VA
TN
OH
OH
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
214,181,000
2,250,000,000
3,500,000,000
3,555,199,000
866,540,000
1,398,071,000
2,500,000,000
Par
Par
Par
Par
Par
Par
Par
4
4
5
4
4
4
Wayne
Salt Lake City
NJ
UT
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
300,000,000
1,400,000,000
Par
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
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
12/3/2009
3/9/2011
1/19/2011
4/20/2011
Warrants
Warrants
Warrants
Warrants
A
R
R
R
$
$
$
$
148,731,030
79,700,000
49,100,000
70,000,000
5/18/2010
Warrants
A $
5,571,592
9
4
4
4
4
9
Par
11/14/2008
Marshall & Ilsley Corporation
Milwaukee
WI
Preferred Stock w/ Warrants
$
1,715,000,000
Par
7/5/2011
44
U.S. Bancorp
TCF Financial Corporation
First Niagara Financial Group
HF Financial Corp.
Centerstate Banks of Florida Inc.
Minneapolis
Wayzata
Lockport
Sioux Falls
Davenport
MN
MN
NY
SD
FL
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
6,599,000,000
361,172,000
184,011,000
25,000,000
27,875,000
Par
Par
Par
Par
Par
6/17/2009
4/22/2009
5/27/2009
6/3/2009
9/30/2009
4
12/30/2009
4
$
200,000,000
$
3/3/2010
7/8/2009
4
$
$
200,000,000
41,500,000
$
$
3/3/2010
4
$
100,000,000
$
300,000,000
10/13/2010
4
$
200,000,000
12/29/2010
4
11/21/2008
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
Heritage Commerce Corp.
Ameris Bancorp
Porter Bancorp Inc.
Banner Corporation
San Jose
Moultrie
Louisville
Walla Walla
CA
GA
KY
WA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
40,000,000
52,000,000
35,000,000
124,000,000
4
5
4
5
5
200,000,000
0
0
100,000,000
$
$200,000,000
$
0
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
44
R $
9
R
A
R
R
R
3,250,000
$
$
$
$
$
139,000,000
9,599,964
2,700,000
650,000
212,000
Warrants
R $
18,500,000
Warrants
A $
20,678,339
N/A
9
Par
11/21/2008
11/21/2008
11/21/2008
11/21/2008
47 6/30/2011
54,621,849
$
$
$
$
$
Par
Portland
Dallas
Birmingham
McLean
Memphis
Columbus
Cleveland
**
11/14/2008
11/14/2008
11/21/2008
11/21/2008
11/21/2008
29 9/24/2010
186,342,969
136,000,000
Par
Par
Par
Par
11/21/2008
Cascade Financial Corporation
Everett
WA
Preferred Stock w/ Warrants
$
38,970,000
Par
6/30/2011
47
$
16,250,000
$
0
N/A
N/A
N/A
47
-
11/21/2008
11/21/2008
Columbia Banking System, Inc.
Heritage Financial Corporation
Tacoma
Olympia
WA
WA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
76,898,000
24,000,000
Par
Par
8/11/2010
12/22/2010
4
$
$
76,898,000
24,000,000
$
$
0
0
Warrants
Warrants
9/1/2010
Warrants
9
R $
4
3,301,647
Seller
Footnote
Purchase Date
Purchase Details
Name of Institution
City
State
Investment Description
Capital Repayment Details
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
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
12/15/2010
4
$
1/13/2010
4
6/16/2010
11/21/2008
11/21/2008
4
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
19,300,000
$
$
50,000,000
$
$
104,000,000
$
0
Warrants
Final Disposition
Final
Disposition
Date
Disposition
Investment
Description
15
Final Disposition
Proceeds
1/5/2011
Warrants
R $
1,003,227
11/21/2008
Green Bay
WI
Preferred Stock w/ Warrants
$
525,000,000
Par
4/6/2011
4
$
262,500,000
$
Trustmark Corporation
First Community Corporation
Taylor Capital Group
Nara Bancorp, Inc.
Jackson
Lexington
Rosemont
Los Angeles
MS
SC
IL
CA
215,000,000
11,350,000
104,823,000
67,000,000
Par
Par
Par
Par
12/9/2009
4
$
215,000,000
$
0
12/5/2008
Midwest Banc Holdings, Inc.
Melrose Park
IL
MB Financial Inc.
First Midwest Bancorp, Inc.
United Community Banks, Inc.
WesBanco, Inc.
Encore Bancshares Inc.
Manhattan Bancorp
Iberiabank Corporation
Chicago
Itasca
Blairsville
Wheeling
Houston
El Segundo
Lafayette
IL
IL
GA
WV
TX
CA
LA
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
$
$
$
$
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
14, 20
Associated Banc-Corp
11/21/2008
11/21/2008
11/21/2008
11/21/2008
Preferred Stock w/
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
9/9/2009
4
$
75,000,000
$
0
Warrants
12/23/2009
Warrants
R $
950,000
9/16/2009
3/31/2009
4
$
$
1,700,000
90,000,000
$
$
0
0
10/14/2009
5/20/2009
Warrants
Warrants
R $
R $
63,364
1,200,000
12/5/2008
Eagle Bancorp, Inc.
Bethesda
MD
Preferred Stock w/ Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
2/23/2011
Warrants
R $
4,450,000
$
89,388,000
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
$
38,235,000
0
262,500,000
Par
5
12/23/2009
5
$
15,000,000
$
7/14/2011
49
$
23,235,000
$
7/21/2010
4
$
41,547,000
$
12/15/2010
49
2/1/2011
Warrants
A $
6,352,500
12/30/2009
Warrants
R $
10,000,000
Par
$
$
$
$
$
$
$
104,000,000
4
$
41,547,000
$
0
Preferred Stock w/
Warrants
Warrants
23,235,000
0
41,547,000
9
Warrants
12/5/2008
49
32 9/30/2010
55
24
35
43 5/13/2011
Preferred Stock w/ Warrants
$
83,094,000
Par
FL
CA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
9,950,000
306,546,000
Par
Par
12/29/2010
4
$
306,546,000
$
0
Warrants
1/26/2011
Warrants
9
R $
14,500,000
12/5/2008
South Financial Group, Inc.
Greenville
SC
Preferred Stock w/ Warrants
$
347,000,000
Par
9/30/2010
26
$
130,179,219
$
0
Warrants
9/30/2010
Warrants
26
R $
400,000
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
Ontario
CA
Preferred Stock w/ Warrants
$
130,000,000
Par
8/26/2009
4
CVB Financial Corp
$
97,500,000
$
Warrants
9
R $
1,307,000
4
$
32,500,000 $
0
Preferred Stock w/
Warrants
Warrants
10/28/2009
9/2/2009
12
MD
Fernandina Beach
Pasadena
12/5/2008
17, 54
Olney
Coastal Banking Company, Inc.
East West Bancorp
12/5/2008
12/5/2008
12/5/2008
26 9/30/2010
Sandy Spring Bancorp, Inc.
12/5/2008
12/5/2008
3/31/2009
4
$
28,000,000
$
0
Warrants
7/21/2011
49
$
9,550,000
$
0
Warrants
9/30/2010
32
$
12,119,637
$
0
Warrants
9/30/2010
Warrants
32
R $
40,000
7/15/2009
4
$
7,000,000
$
0
Warrants
9/2/2009
Warrants
R $
225,000
4
$
$
100,000,000
41,279,000
$
$
0
0
Warrants
N/A
5/8/2009
N/A
Warrants
N/A
R $
-
1,200,000
N/A
0
Warrants
6/16/2010
Warrants
R $
6,820,000
1/19/2011
Warrants
R $
5,269,179
3/10/2010
Warrants
A $
11,320,751
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
First Defiance Financial Corp.
First Financial Holdings Inc.
Superior Bancorp Inc.
Southwest Bancorp, Inc.
Popular, Inc.
Blue Valley Ban Corp
Central Federal Corporation
Bank of Marin Bancorp
BNC Bancorp
Central Bancorp, Inc.
Southern Missouri Bancorp, Inc.
State Bancorp, Inc.
Defiance
Charleston
Birmingham
Stillwater
San Juan
Overland Park
Fairlawn
Novato
Thomasville
Somerville
Poplar Bluff
Jericho
12/5/2008
TIB Financial Corp
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
Unity Bancorp, Inc.
Old Line Bancshares, Inc.
FPB Bancorp, Inc.
Sterling Financial Corporation
Oak Valley Bancorp
Old National Bancorp
Capital Bank Corporation
Pacific International Bancorp
SVB Financial Group
LNB Bancorp Inc.
M&T Bank Corporation (Wilmington Trust
Corporation)
12/12/2008
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
Naples
FL
Preferred Stock w/ Warrants
$
37,000,000
Par
Clinton
Bowie
Port St. Lucie
Spokane
Oakdale
Evansville
Raleigh
Seattle
Santa Clara
Lorain
NJ
MD
FL
WA
CA
IN
NC
WA
CA
OH
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Common Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
20,649,000
7,000,000
5,800,000
303,000,000
13,500,000
100,000,000
41,279,000
6,500,000
235,000,000
25,223,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Wilmington
DE
Preferred Stock w/ Warrants
$
330,000,000
Par
12/12/2008
Susquehanna Bancshares, Inc
Lititz
PA
Preferred Stock w/ Warrants
$
300,000,000
Par
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
Signature Bank
HopFed Bancorp
Citizens Republic Bancorp, Inc.
Indiana Community Bancorp
Bank of the Ozarks, Inc.
Center Financial Corporation
NewBridge Bancorp
Sterling Bancshares, Inc.
New York
Hopkinsville
Flint
Columbus
Little Rock
Los Angeles
Greensboro
Houston
NY
KY
MI
IN
AR
CA
NC
TX
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
120,000,000
18,400,000
300,000,000
21,500,000
75,000,000
55,000,000
52,372,000
125,198,000
Par
Par
Par
Par
Par
Par
Par
Par
3/31/2009
1/28/2011
35
32,500,000
35
12/23/2009
5
$
235,000,000
$
5/13/2011
43
$
330,000,000
$
4/21/2010
4
$
200,000,000
$
12/22/2010
3/31/2009
4
$
$
100,000,000
120,000,000
$
$
0
0
Preferred Stock w/
Warrants
Warrants
Warrants
11/4/2009
4
$
75,000,000
$
0
Warrants
11/24/2009
Warrants
R $
2,650,000
5/5/2009
4
$
125,198,000
$
0
Warrants
6/9/2010
Warrants
A $
3,007,891
4
0
100,000,000
9
Warrants
Seller
Footnote
Purchase Date
Purchase Details
Name of Institution
City
Capital Repayment Details
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
State
Investment Description
DE
VA
CA
VA
$
74,426,000
95,000,000
10,000,000
150,000,000
4,227,000
20,500,000
71,000,000
7,000,000
15,000,000
27,000,000
15,600,000
967,870,000
30,000,000
17,680,000
50,000,000
35,000,000
10,000,000
8,500,000
25,000,000
22,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
6/3/2011
12/12/2008
Independent Bank Corporation
Ionia
MI
Pinnacle Financial Partners, Inc.
First Litchfield Financial Corporation
National Penn Bancshares, Inc.
Northeast Bancorp
Citizens South Banking Corporation
Virginia Commerce Bancorp
Fidelity Bancorp, Inc.
LSB Corporation
Intermountain Community Bancorp
Community West Bancshares
Synovus Financial Corp.
Tennessee Commerce Bancorp, Inc.
Community Bankers Trust Corporation
BancTrust Financial Group, Inc.
Enterprise Financial Services Corp.
Mid Penn Bancorp, Inc.
Summit State Bank
VIST Financial Corp.
Wainwright Bank & Trust Company
Nashville
Litchfield
Boyertown
Lewiston
Gastonia
Arlington
Pittsburgh
North Andover
Sandpoint
Goleta
Columbus
Franklin
Glen Allen
Mobile
St. Louis
Millersburg
Santa Rosa
Wyomissing
Boston
TN
CT
PA
ME
NC
VA
PA
MA
ID
CA
GA
TN
VA
AL
MO
PA
CA
PA
MA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Mandatorily Convertible Preferred Stock w/
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
12/19/2008
Whitney Holding Corporation
New Orleans
LA
Preferred Stock w/ Warrants
$
300,000,000
Par
The Connecticut Bank and Trust Company
CoBiz Financial Inc.
Santa Lucia Bancorp
Seacoast Banking Corporation of Florida
Hartford
Denver
Atascadero
Stuart
CT
CO
CA
FL
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
5,448,000
64,450,000
4,000,000
50,000,000
Disposition
Investment
Description
15
Final Disposition
Proceeds
$
$
$
$
45,220,000
76,458,000
62,158,000
16,019,000
Par
Par
Par
Par
Horizon Bancorp
Michigan City
IN
Preferred Stock w/ Warrants
$
25,000,000
Par
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
Fidelity Southern Corporation
Community Financial Corporation
Berkshire Hills Bancorp, Inc.
First California Financial Group, Inc
AmeriServ Financial, Inc
Atlanta
Staunton
Pittsfield
Westlake Village
Johnstown
GA
VA
MA
CA
PA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
48,200,000
12,643,000
40,000,000
25,000,000
21,000,000
Par
Par
Par
Par
Par
3/10/2010
5
$
45,220,000
$
0
Warrants
9/8/2010
Warrants
9
4/7/2010
3/16/2011
4
$
$
10,000,000
150,000,000
$
$
0
0
Warrants
Warrants
4/7/2010
4/13/2011
Warrants
Warrants
11/18/2009
4
$
15,000,000
$
0
Warrants
12/16/2009
Warrants
11/24/2009
4
$
22,000,000
$
0
Warrants
12/16/2009
Warrants
$
300,000,000
$
0
Warrants
6/3/2011
Warrants
4
$
6,250,000
$
4
$
$
40,000,000
25,000,000
$
$
0
0
Warrants
Warrants
6/24/2009
Warrants
0
Warrants
Warrants
Warrants
Warrants
Warrants
2/8/2011
12/30/2009
2/10/2010
Warrants
Warrants
Warrants
9
9
Par
Par
Par
Par
12/19/2008
30 9/29/2010
Wilmington
Portsmouth
Los Angeles
Roanoke
12/19/2008
12/19/2008
12/19/2008
12/19/2008
50
The Bancorp, Inc.
TowneBank
Wilshire Bancorp, Inc.
Valley Financial Corporation
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
45 6/3/2011
Final Disposition
Final
Disposition
Date
Par
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
12/12/2008
12/12/2008
12/12/2008
12/12/2008
22
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
11/10/2010
5/27/2009
7/14/2011
4
50
18,750,000
4,753,985
R $
R $
1,488,046
1,000,000
R $
9
R $
560,000
R $
568,700
R $
6,900,000
R $
45
1,040,000
A $
R $
R $
25,964,061
900,000
260,000
R $
450,000
Preferred Stock w/
Warrants
18
12/19/2008
Security Federal Corporation
Aiken
SC
Preferred Stock w/ Warrants
$
18,000,000
Par
9/29/2010
4
$
18,000,000
$
12/19/2008
12/19/2008
12/19/2008
12/19/2008
Wintrust Financial Corporation
Flushing Financial Corporation
Monarch Financial Holdings, Inc.
StellarOne Corporation
Union First Market Bankshares Corporation
(Union Bankshares Corporation)
Tidelands Bancshares, Inc
Bancorp Rhode Island, Inc.
Hawthorn Bancshares, Inc.
The Elmira Savings Bank, FSB
Alliance Financial Corporation
Heartland Financial USA, Inc.
Lake Forest
Lake Success
Chesapeake
Charlottesville
IL
NY
VA
VA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
250,000,000
70,000,000
14,700,000
30,000,000
Par
Par
Par
Par
12/22/2010
10/28/2009
12/23/2009
4/13/2011
4
$
$
$
$
250,000,000
70,000,000
14,700,000
7,500,000
$
$
$
$
Bowling Green
VA
Preferred Stock w/ Warrants
$
59,000,000
Par
11/18/2009
5
$
59,000,000
$
0
Warrants
12/23/2009
Warrants
Mt. Pleasant
Providence
Lee's Summit
Elmira
Syracuse
Dubuque
SC
RI
MO
NY
NY
IA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
14,448,000
30,000,000
30,255,000
9,090,000
26,918,000
81,698,000
Par
Par
Par
Par
Par
Par
8/5/2009
4
$
30,000,000
$
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
Warrants
6/2/2010
Warrants
Preferred Stock w/
Warrants
4/20/2011
Warrants
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
5
5
4
12/19/2008
2
2
2
2, 3
2
2
2
2
2
2
2
2
2
2
Citizens First Corporation
Bowling Green
KY
Preferred Stock w/ Warrants
$
8,779,000
Par
2/16/2011
4
$
2,212,308
$
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/23/2008
FFW Corporation
Plains Capital Corporation
Tri-County Financial Corporation
OneUnited Bank
Patriot Bancshares, Inc.
Pacific City Financial Corporation
Marquette National Corporation
Exchange Bank
Monadnock Bancorp, Inc.
Bridgeview Bancorp, Inc.
Fidelity Financial Corporation
Patapsco Bancorp, Inc.
NCAL Bancorp
FCB Bancorp, Inc.
First Financial Bancorp
Wabash
Dallas
Waldorf
Boston
Houston
Los Angeles
Chicago
Santa Rosa
Peterborough
Bridgeview
Wichita
Dundalk
Los Angeles
Louisville
Cincinnati
IN
TX
MD
MA
TX
CA
IL
CA
NH
IL
KS
MD
CA
KY
OH
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
7,289,000
87,631,000
15,540,000
12,063,000
26,038,000
16,200,000
35,500,000
43,000,000
1,834,000
38,000,000
36,282,000
6,000,000
10,000,000
9,294,000
80,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
2/24/2010
5
$
80,000,000
$
2/23/2011
4
$
15,000,000
$
3/16/2011
4
$
8,864,000
$
12/23/2008
Bridge Capital Holdings
San Jose
CA
Preferred Stock w/ Warrants
$
23,864,000
Par
0
0
0
22,500,000
6,566,692
0
8,864,000
0
9
Preferred Stock w/
Warrants
Warrants
9
A $
3,116,284
R $
1,395,000
Seller
Footnote
Purchase Details
Name of Institution
Purchase Date
12/23/2008
12/23/2008
International Bancshares Corporation
First Sound Bank
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
City
State
Investment Description
Capital Repayment Details
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
Laredo
Seattle
TX
WA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
216,000,000
7,400,000
Buffalo
NY
Preferred Stock w/ Warrants
$
600,000,000
Par
Emclaire Financial Corp.
Park National Corporation
Green Bankshares, Inc.
Cecil Bancorp, Inc.
Emlenton
Newark
Greeneville
Elkton
PA
OH
TN
MD
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
7,500,000
100,000,000
72,278,000
11,560,000
Warsaw
NY
Preferred Stock w/ Warrants
$
37,515,000
Par
5/18/2011
4
$
370,000,000
$
230,000,000
4
$
12,505,000
$
25,010,000
Preferred Stock w/
Warrants
3/30/2011
4
$
25,010,000
$
0
Fulton Financial Corporation
Lancaster
PA
Preferred Stock w/ Warrants
$
376,500,000
Par
7/14/2010
4
$
376,500,000
$
0
Warrants
12/23/2008
United Bancorporation of Alabama, Inc.
Atmore
AL
Preferred Stock w/ Warrants
$
10,300,000
Par
9/3/2010
4
$
10,300,000
$
0
5/11/2011
Warrants
R $
2,079,963
9/8/2010
Warrants
R $
10,800,000
-
N/A
Warrants
12/23/2008
12/23/2008
12/23/2008
2
2
2
2
3, 30 8/20/2010
2
2
2, 49
2
2
2
2
Final Disposition
Proceeds
Warrants
12/23/2008
393/11/2011
15
Preferred Stock w/
Warrants
2/23/2011
30 9/3/2010
Disposition
Investment
Description
Par
Par
Par
Par
Financial Institutions, Inc.
Final Disposition
Final
Disposition
Date
Par
Par
M&T Bank Corporation
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
MutualFirst Financial, Inc.
BCSB Bancorp, Inc.
HMN Financial, Inc.
Muncie
Baltimore
Rochester
IN
MD
MN
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
32,382,000
10,800,000
26,000,000
Par
Par
Par
1/26/2011
4
$
10,800,000
$
0
Warrants
12/23/2008
First Community Bank Corporation of America
Pinellas Park
FL
Preferred Stock w/ Warrants
$
10,685,000
Par
5/31/2011
39
$
7,754,267
$
0
N/A
N/A
N/A
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
Sterling Bancorp
Intervest Bancshares Corporation
Peoples Bancorp of North Carolina, Inc.
Parkvale Financial Corporation
Timberland Bancorp, Inc.
1st Constitution Bancorp
Central Jersey Bancorp
Western Illinois Bancshares Inc.
Saigon National Bank
Capital Pacific Bancorp
Uwharrie Capital Corp
New York
New York
Newton
Monroeville
Hoquiam
Cranbury
Oakhurst
Monmouth
Westminster
Portland
Albemarle
NY
NY
NC
PA
WA
NJ
NJ
IL
CA
OR
NC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
42,000,000
25,000,000
25,054,000
31,762,000
16,641,000
12,000,000
11,300,000
6,855,000
1,549,000
4,000,000
10,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
4/27/2011
4
$
42,000,000
$
0
Warrants
5/18/2011
Warrants
R $
945,775
10/27/2010
11/24/2010
4
$
$
12,000,000
11,300,000
$
$
0
0
Warrants
Warrants
12/1/2010
Warrants
R $
319,659
8/20/2010
4
$
5,500,000
$
0
N/A
N/A
N/A
7/28/2011
49
$
3,000,000
$
0
Preferred Stock 2
7/28/2011
Preferred Stock
2, 7
R $
150,000
11/24/2010
4
$
5,830,000
$
0
Preferred Stock 2
11/24/2010
Preferred Stock
2, 7
R $
292,000
11/24/2009
6/8/2011
4
$
$
3,455,000
3,455,000
$
$
$
$
4,700,000
4,767,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
12/30/2010
7/14/2011
Preferred Stock
Preferred Stock
2, 7
R $
R $
235,000
238,000
$
$
$
$
11,600,000
1,350,000,000
7,579,200,000
3,408,000,000
$
$
$
$
0
0
0
0
Preferred Stock 2
Warrants
Warrants
Warrants
7/28/2011
Preferred Stock
2, 7
4/29/2010
3/16/2011
Warrants
Warrants
$
$
0
36,000,000
$
$
0
0
N/A
Warrants
N/A
N/A
$
$
10,000,000,000
125,000,000
$
$
0
0
Warrants
Warrants
3/3/2010
5/27/2009
Warrants
Warrants
$
21,513,000
14,341,000
12/23/2008
Mission Valley Bancorp
Sun Valley
CA
Preferred Stock
$
5,500,000
Par
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
The Little Bank, Incorporated
Pacific Commerce Bank
Citizens Community Bank
Seacoast Commerce Bank
TCNB Financial Corp.
Leader Bancorp, Inc.
Nicolet Bankshares, Inc.
Kinston
Los Angeles
South Hill
Chula Vista
Dayton
Arlington
Green Bay
NC
CA
VA
CA
OH
MA
WI
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
7,500,000
4,060,000
3,000,000
1,800,000
2,000,000
5,830,000
14,964,000
Par
Par
Par
Par
Par
Par
Par
2
12/23/2008
Magna Bank
Memphis
TN
Preferred Stock w/ Exercised Warrants
$
13,795,000
Par
2
2
2
2, 49
2
2
2, 50
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/31/2008
12/31/2008
12/31/2008
Western Community Bancshares, Inc.
Community Investors Bancorp, Inc.
Capital Bancorp, Inc.
Cache Valley Banking Company
Citizens Bancorp
Tennessee Valley Financial Holdings, Inc.
Pacific Coast Bankers' Bancshares
SunTrust Banks, Inc.
The PNC Financial Services Group Inc.
Fifth Third Bancorp
Palm Desert
Bucyrus
Rockville
Logan
Nevada City
Oak Ridge
San Francisco
Atlanta
Pittsburgh
Cincinnati
CA
OH
MD
UT
CA
TN
CA
GA
PA
OH
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
7,290,000
2,600,000
4,700,000
4,767,000
10,400,000
3,000,000
11,600,000
1,350,000,000
7,579,200,000
3,408,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
12/31/2008
Hampton Roads Bankshares, Inc.
Norfolk
VA
Common Stock w/ Warrants
$
80,347,000
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
Peapack-Gladstone Financial Corporation
Gladstone
NJ
Preferred Stock w/ Warrants
$
28,685,000
10,340,000
6,885,000
Par
-
N/A
Preferred Stock 2
Preferred Stock 2
Par
12/31/2008
12/31/2008
12/31/2008
1/9/2009
1/9/2009
1/9/2009
4
12/30/2010
7/14/2011
4
4
49
2
1a, 1b
50
2/8/2010
6/29/2011
16
12/9/2009
4/22/2009
4
1/6/2010
31 9/30/2010
16
7/28/2011
3/30/2011
2/10/2010
2/2/2011
4
$
7,172,000
4
4
4
4
4
2, 7
R $
580,000
A $
R $
324,195,686
280,025,936
N/A
1b
A $
R $
124,228,646
5,025,000
3/2/2011
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
37, 46 6/17/2011
Commerce National Bank
The First Bancorp, Inc.
Sun Bancorp, Inc.
Crescent Financial Corporation
American Express Company
Newport Beach
Damariscotta
Vineland
Cary
New York
1/9/2009
Central Pacific Financial Corp.
Honolulu
1/9/2009
1/9/2009
1/9/2009
Centrue Financial Corporation
Eastern Virginia Bankshares, Inc.
Colony Bankcorp, Inc.
St. Louis
Tappahannock
Fitzgerald
CA
ME
NJ
NC
NY
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
5,000,000
25,000,000
89,310,000
24,900,000
3,388,890,000
4
$
7,172,000
$
Par
Par
Par
Par
Par
10/7/2009
4
$
5,000,000
$
0
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
4/8/2009
4
$
89,310,000
$
0
Warrants
5/27/2009
Warrants
R $
2,100,000
6/17/2009
4
$
3,388,890,000
$
0
Warrants
7/29/2009
Warrants
R $
340,000,000
6/17/2011
46
$
35,883,281
$
HI
Common Stock w/ Warrants
$
135,000,000
Par
MO
VA
GA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
32,668,000
24,000,000
28,000,000
Par
Par
Par
99,116,719
Warrants
Seller
Footnote
Purchase Details
Name of Institution
Purchase Date
City
State
Investment Description
Capital Repayment Details
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
4
28 7/20/2010
3, 30 8/27/2010,
48 6/30/2011
Independent Bank Corp.
Cadence Financial Corporation
LCNB Corp.
Center Bancorp, Inc.
F.N.B. Corporation
Rockland
Starkville
Lebanon
Union
Hermitage
MA
MS
OH
NJ
PA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
78,158,000
44,000,000
13,400,000
10,000,000
100,000,000
Par
Par
Par
Par
Par
4/22/2009
3/4/2011
10/21/2009
33
9/9/2009
C&F Financial Corporation
West Point
VA
Preferred Stock w/ Warrants
$
20,000,000
Par
7/27/2011
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
North Central Bancshares, Inc.
Carolina Bank Holdings, Inc.
First Bancorp
First Financial Service Corporation
Codorus Valley Bancorp, Inc.
MidSouth Bancorp, Inc.
First Security Group, Inc.
Shore Bancshares, Inc.
The Queensborough Company
American State Bancshares, Inc.
Security California Bancorp
Security Business Bancorp
Sound Banking Company
Mission Community Bancorp
Redwood Financial Inc.
Surrey Bancorp
Independence Bank
Valley Community Bank
Rising Sun Bancorp
Community Trust Financial Corporation
GrandSouth Bancorporation
Texas National Bancorporation
Congaree Bancshares, Inc.
New York Private Bank & Trust Corporation
Home Bancshares, Inc.
Washington Banking Company
New Hampshire Thrift Bancshares, Inc.
Bar Harbor Bankshares
Somerset Hills Bancorp
SCBT Financial Corporation
S&T Bancorp
ECB Bancorp, Inc.
Fort Dodge
Greensboro
Troy
Elizabethtown
York
Lafayette
Chattanooga
Easton
Louisville
Great Bend
Riverside
San Diego
Morehead City
San Luis Obispo
Redwood Falls
Mount Airy
East Greenwich
Pleasanton
Rising Sun
Ruston
Greenville
Jacksonville
Cayce
New York
Conway
Oak Harbor
Newport
Bar Harbor
Bernardsville
Columbia
Indiana
Engelhard
IA
NC
NC
KY
PA
LA
TN
MD
GA
KS
CA
CA
NC
CA
MN
NC
RI
CA
MD
LA
SC
TX
SC
NY
AR
WA
NH
ME
NJ
SC
PA
NC
10,200,000
16,000,000
65,000,000
20,000,000
16,500,000
20,000,000
33,000,000
25,000,000
12,000,000
6,000,000
6,815,000
5,803,000
3,070,000
5,116,000
2,995,000
2,000,000
1,065,000
5,500,000
5,983,000
24,000,000
9,000,000
3,981,000
3,285,000
267,274,000
50,000,000
26,380,000
10,000,000
18,751,000
7,414,000
64,779,000
108,676,000
17,949,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
1/16/2009
First BanCorp
San Juan
PR
$
424,174,000
$
$
$
78,158,000
38,000,000
13,400,000
4
$
100,000,000
$
4
$
10,000,000
$
2,200,000
N/A
4/15/2009
4
$
25,000,000
$
0
Warrants
7/14/2011
49
$
5,803,000
$
0
Preferred Stock 2
7/14/2011
Preferred Stock
2, 7
R $
290,000
12/29/2010
4
$
2,000,000
$
0
Preferred Stock 2
12/29/2010
Preferred Stock
2, 7
R $
100,000
7/6/2011
49
$
24,000,000
$
0
Preferred Stock 2
7/6/2011
Preferred Stock
2, 7
R $
5/19/2010
4
$
3,981,000
$
0
1,200,000
Preferred Stock 2
5/19/2010
Preferred Stock
2, 7
R $
199,000
7/6/2011
1/12/2011
4
$
$
50,000,000
26,380,000
$
$
0
0
Warrants
Warrants
7/27/2011
3/2/2011
Warrants
Warrants
R $
R $
1,300,000
1,625,000
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
Warrants
Warrants
Warrants
R $
R $
R $
250,000
275,000
1,400,000
Dallas
Elkin
TX
NC
$
$
75,000,000
36,000,000
Par
Par
5/13/2009
4
$
75,000,000
$
0
Warrants
3/11/2010
Warrants
A $
6,709,061
1/16/2009
Carver Bancorp, Inc
New York
NY
Preferred Stock
$
18,980,000
Par
8/27/2010
4
8/4/2010
4
$
18,980,000
$
0
N/A
N/A
N/A
$
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
$
4
0
Final Disposition
Proceeds
R $
4
Warrants
N/A
Warrants
15
Warrants
N/A
4
0
0
0
Disposition
Investment
Description
5/27/2009
N/A
4
$
$
$
Final Disposition
Final
Disposition
Date
Par
Texas Capital Bancshares, Inc.
Yadkin Valley Financial Corporation
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Mandatorily Convertible Preferred Stock w/
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
1/16/2009
1/16/2009
2
2
2
2, 49
2
3
2
2
2
2
2
2, 49
2
2
2
2
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
33
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Warrants
Preferred Stock w/
Warrants
10,000,000
9
9
-
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
1/16/2009
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
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
Redwood Capital Bancorp
Syringa Bancorp
Idaho Bancorp
Puget Sound Bank
United Financial Banking Companies, Inc.
Dickinson Financial Corporation II
The Baraboo Bancorporation
Bank of Commerce
Eureka
Boise
Boise
Bellevue
Vienna
Kansas City
Baraboo
Charlotte
CA
ID
ID
WA
VA
MO
WI
NC
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
3,800,000
8,000,000
6,900,000
4,500,000
5,658,000
146,053,000
20,749,000
3,000,000
Par
Par
Par
Par
Par
Par
Par
Par
7/21/2011
49
$
3,800,000
$
0
Preferred Stock 2
7/21/2011
Preferred Stock
2, 7
R $
190,000
12/15/2010
4
$
3,000,000
$
2,658,000
Preferred Stock 2
1/16/2009
State Bankshares, Inc.
Fargo
ND
$
50,000,000
Par
8/12/2009
6/29/2011
4
2
$
$
12,500,000
37,500,000
$
$
37,500,000
0
Preferred Stock 2
Preferred Stock 2
6/29/2011
Preferred Stock
2, 7
R $
2,500,000
2
1/16/2009
BNCCORP, Inc.
Bismarck
ND
$
20,093,000
Par
2
2
2
2
2, 19
3, 30 9/29/2010
2, 49
2
2
2
2
2
2
2
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
0
R $
400,000
9
R $
430,797
2, 7
R $
750,000
N/A
-
N/A
Seller
Purchase Details
Name of Institution
City
State
Investment Description
Capital Repayment Details
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final Disposition
Final
Disposition
Date
Disposition
Investment
Description
Footnote
Purchase Date
2
3, 30 8/6/2010
2
2, 36
1/16/2009
First Manitowoc Bancorp, Inc.
Manitowoc
WI
Preferred Stock w/ Exercised Warrants
$
12,000,000
Par
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
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
7/20/2011
2/15/2011
12/29/2010
4
$
$
$
13,000,000
500,000
111,000,000
$
$
$
0
0
0
Preferred Stock 2
Warrants
Warrants
7/20/2011
Preferred Stock
36
3/9/2011
Warrants
4/22/2009
4
$
4,900,000
$
0
Preferred Stock 2
4/22/2009
Preferred Stock
12/23/2009
4
$
10,189,000
$
0
Preferred Stock 2
12/23/2009
12/8/2010
4
$
3,300,000
$
0
Preferred Stock 2
7/21/2011
50
$
57,500,000
$
0
12/16/2009
6/16/2010
4
$
$
1,000,000
2,240,000
$
$
2/2/2011
4
$
21,000,000
$
12/23/2009
5
$
22,000,000
$
7/21/2011
7/6/2011
49
$
$
12,720,000
1,500,000
$
$
6/16/2010
4
$
10,900,000
$
7/6/2011
4/21/2010
4
$
$
5,800,000
4,000,000
$
$
15
2
2, 13 12/4/2009
1/23/2009
FL
Preferred Stock w/ Exercised Warrants
$
5,677,000
CA
Preferred Stock w/ Exercised Warrants
$
4,656,000
CA
CA
FL
IL
TN
VA
CA
WA
MO
AR
MN
MS
IL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
1,968,000
4,900,000
6,514,000
10,189,000
6,216,000
8,752,000
3,300,000
6,800,000
1,037,000
57,500,000
10,650,000
15,500,000
5,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
1/23/2009
FPB Financial Corp.
Hammond
LA
Preferred Stock w/ Exercised Warrants
$
3,240,000
Par
1/23/2009
Stonebridge Financial Corp.
West Chester
PA
Preferred Stock w/ Exercised Warrants
$
10,973,000
Peoples Bancorp Inc.
Marietta
OH
Preferred Stock w/ Warrants
$
39,000,000
Par
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
Anchor BanCorp Wisconsin Inc.
Parke Bancorp, Inc.
Central Virginia Bankshares, Inc.
Flagstar Bancorp, Inc.
Middleburg Financial Corporation
Peninsula Bank Holding Co.
PrivateBancorp, Inc.
Central Valley Community Bancorp
Plumas Bancorp
Stewardship Financial Corporation
Oak Ridge Financial Services, Inc.
First United Corporation
Community Partners Bancorp
Guaranty Federal Bancshares, Inc.
Annapolis Bancorp, Inc.
DNB Financial Corporation
Firstbank Corporation
Valley Commerce Bancorp
Greer Bancshares Incorporated
Ojai Community Bank
Adbanc, Inc
Beach Business Bank
Legacy Bancorp, Inc.
First Southern Bancorp, Inc.
Country Bank Shares, Inc.
Katahdin Bankshares Corp.
Rogers Bancshares, Inc.
UBT Bancshares, Inc.
Bankers' Bank of the West Bancorp, Inc.
W.T.B. Financial Corporation
AMB Financial Corp.
Goldwater Bank, N.A.
Equity Bancshares, Inc.
WashingtonFirst Bankshares, Inc.
(WashingtonFirst Bank)
Central Bancshares, Inc.
Hilltop Community Bancorp, Inc.
Northway Financial, Inc.
Monument Bank
Madison
Sewell
Powhatan
Troy
Middleburg
Palo Alto
Chicago
Fresno
Quincy
Midland Park
Oak Ridge
Oakland
Middletown
Springfield
Annapolis
Downingtown
Alma
Visalia
Greer
Ojai
Ogallala
Manhattan Beach
Milwaukee
Boca Raton
Milford
Houlton
Little Rock
Marysville
Denver
Spokane
Munster
Scottsdale
Wichita
WI
NJ
VA
MI
VA
CA
IL
CA
CA
NJ
NC
MD
NJ
MO
MD
PA
MI
CA
SC
CA
NE
CA
WI
FL
NE
ME
AR
KS
CO
WA
IN
AZ
KS
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
110,000,000
16,288,000
11,385,000
266,657,000
22,000,000
6,000,000
243,815,000
7,000,000
11,949,000
10,000,000
7,700,000
30,000,000
9,000,000
17,000,000
8,152,000
11,750,000
33,000,000
7,700,000
9,993,000
2,080,000
12,720,000
6,000,000
5,498,000
10,900,000
7,525,000
10,449,000
25,000,000
8,950,000
12,639,000
110,000,000
3,674,000
2,568,000
8,750,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Reston
VA
Preferred Stock w/ Exercised Warrants
$
6,633,000
TX
NJ
NH
MD
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
5,800,000
4,000,000
10,000,000
4,734,000
Par
Par
Par
Par
R $
650,000
R $
3,750,000
2, 7
R $
245,000
Preferred Stock
2, 7
R $
509,000
12/8/2010
Preferred Stock
2, 7
R $
165,000
Preferred Stock 2
7/21/2011
Preferred Stock
2, 7
R $
2,875,000
2,240,000
0
Preferred Stock 2
Preferred Stock 2
6/16/2010
Preferred Stock
2, 7
R $
162,000
18,000,000
Preferred Stock w/
Warrants
Preferred Stock 2
Preferred Stock 2
7/21/2011
Preferred Stock
2, 7
R $
636,000
0
Preferred Stock 2
6/16/2010
Preferred Stock
2, 7
R $
545,000
0
0
Preferred Stock 2
Preferred Stock 2
7/6/2011
4/21/2010
Preferred Stock
Preferred Stock
2, 7
R $
R $
290,000
200,000
Par
Houston
Summit
Berlin
Bethesda
2
1/23/2009
CalWest Bancorp
2
2
2
2
2
2
2
2, 51
2
2, 50
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, 49
2
3, 53
2
2
2
2
2
2
2
2
2
2
2, 13 10/30/2009
2
2
2
2
2, 7
600,000
N/A
Par
1/30/2009
-
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.
R $
Par
Rancho Santa
Margarita
Fresno
Oakland
Ocala
Effingham
Moscow
Windsor
Thousand Oaks
Tacoma
Ashland
Jonesboro
Blaine
Macon
Carmi
4
2, 7
Final Disposition
Proceeds
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
Orlando
4
4
4
0
0
4,500,000
Warrants
2, 7
Seller
Footnote
Purchase Date
2
2
2
1/30/2009
1/30/2009
1/30/2009
2/6/2009
Purchase Details
Name of Institution
Metro City Bank
F & M Bancshares, Inc.
First Resource Bank
MidWestOne Financial Group, Inc.
City
Doraville
Trezevant
Exton
Iowa City
State
GA
TN
PA
IA
Investment Description
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Capital Repayment Details
Investment Amount
$
$
$
$
7,700,000
4,609,000
2,600,000
16,000,000
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
Par
Par
Par
Par
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
2/6/2009
30 9/29/2010
Oak Ridge
Monarch Community Bancorp, Inc.
Coldwater
NJ
MI
Preferred Stock w/ Warrants
$
59,000,000
$
6,785,000
16,000,000
$
$
20,000,000
$
39,000,000
4
$
20,000,000
$
19,000,000
9/29/2010
4
$
5,000,000
$
0
8/13/2010
4
$
3,000,000
$
0
1/14/2011
3/16/2011
4
$
$
4,000,000
11,568,000
$
$
9/24/2010
4
$
5,645,000
$
7/28/2011
7/28/2011
49
$
$
795,000
7,500,000
$
$
Disposition
Investment
Description
15
Final Disposition
Proceeds
Warrants
0
7/27/2011
Warrants
N/A
N/A
N/A
Preferred Stock 2
Preferred Stock 2
3/16/2011
Preferred Stock
0
N/A
N/A
N/A
$
$
0
0
Preferred Stock 2
Preferred Stock 2
7/28/2011
7/28/2011
Preferred Stock
Preferred Stock
2, 7
8,700,000
3,345,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
2/16/2011
7/21/2011
Preferred Stock
Preferred Stock
2, 7
$
0
N/A
N/A
N/A
34
Preferred Stock 2
9/29/2010
Preferred Stock
Par
Preferred Stock w/ Warrants
$
4
3/16/2011
Lakeland Bancorp, Inc.
4
8/4/2010
2/6/2009
7/6/2011
Final Disposition
Final
Disposition
Date
Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
R $
1,000,000
Par
2/6/2009
The First Bancshares, Inc.
Hattiesburg
MS
Preferred Stock w/ Warrants
$
5,000,000
Par
2/6/2009
2/6/2009
Carolina Trust Bank
Alaska Pacific Bancshares, Inc.
Lincolnton
Juneau
NC
AK
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
4,000,000
4,781,000
Par
Par
2/6/2009
PGB Holdings, Inc.
Chicago
IL
Preferred Stock
$
3,000,000
Par
2/6/2009
The Freeport State Bank
Harper
KS
Preferred Stock w/ Exercised Warrants
$
301,000
Par
2
2/6/2009
Stockmens Financial Corporation
Rapid City
SD
$
15,568,000
Par
2
2
2
2
3, 30 9/24/2010
2
2/6/2009
2/6/2009
2/6/2009
2/6/2009
US Metro Bank
First Express of Nebraska, Inc.
Mercantile Capital Corp.
Citizens Commerce Bancshares, Inc.
Garden Grove
Gering
Boston
Versailles
CA
NE
MA
KY
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
2,861,000
5,000,000
3,500,000
6,300,000
Par
Par
Par
Par
3, 30 8/13/2010
2
Preferred Stock w/ Exercised Warrants
2/6/2009
Liberty Financial Services, Inc.
New Orleans
LA
Preferred Stock
$
5,645,000
Par
2/6/2009
Houston
TX
Preferred Stock w/ Exercised Warrants
$
3,072,000
Bowling Green
VA
Preferred Stock
$
33,900,000
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
CO
IL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$
$
8,559,000
38,237,000
Westamerica Bancorporation
San Rafael
CA
Preferred Stock w/ Warrants
$
83,726,000
Par
778,000
Par
Par
2/13/2009
R $
Par
Denver
Moline
2, 7
Par
Harrisburg
Bedford
Hopkinsville
Atlanta
Charleston
Salisbury
Moyock
Lebanon
Miramar Beach
Philadelphia
11,568,000
0
N/A
Par
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 Holdings, Inc.
4
-
18
2/6/2009
2, 49
2, 49
2
2
2, 50
2
2, 34
2
2
2
2, 13 2/10/2010
2
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/16/2011
7/21/2011
49
4
50
12/3/2010
34
$
1,742,850
2/13/2009
The Bank of Kentucky Financial Corporation
Crestview Hills
KY
Preferred Stock w/ Warrants
$
34,000,000
Par
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
PremierWest Bancorp
Carrollton Bancorp
FNB United Corp.
First Menasha Bancshares, Inc.
1st Enterprise Bank
DeSoto County Bank
Security Bancshares of Pulaski County, Inc.
Medford
Baltimore
Asheboro
Neenah
Los Angeles
Horn Lake
Waynesville
OR
MD
NC
WI
CA
MS
MO
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
41,400,000
9,201,000
51,500,000
4,797,000
4,400,000
1,173,000
2,152,000
2/13/2009
State Capital Corporation
Greenwood
MS
Preferred Stock w/ Exercised Warrants
$
15,000,000
Par
2
2
2, 50
2
2
2
2
2
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
BankGreenville
Corning Savings and Loan Association
Financial Security Corporation
ColoEast Bankshares, Inc.
Santa Clara Valley Bank, N.A.
Reliance Bancshares, Inc.
Regional Bankshares, Inc.
Peoples Bancorp
Greenville
Corning
Basin
Lamar
Santa Paula
Frontenac
Hartsville
Lynden
SC
AR
WY
CO
CA
MO
SC
WA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
1,000,000
638,000
5,000,000
10,000,000
2,900,000
40,000,000
1,500,000
18,000,000
Par
Par
Par
Par
Par
Par
Par
Par
2, 30 9/24/2010
2/13/2009
First Choice Bank
Cerritos
CA
Preferred Stock w/ Exercised Warrants
$
2,200,000
Par
2
2
2
2
2
2
2
2
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
Gregg Bancshares, Inc.
Hometown Bancshares, Inc.
Midwest Regional Bancorp, Inc.
Bern Bancshares, Inc.
Northwest Bancorporation, Inc.
Liberty Bancshares, Inc.
F&M Financial Corporation
Meridian Bank
Ozark
Corbin
Festus
Bern
Spokane
Springfield
Clarksville
Devon
MO
KY
MO
KS
WA
MO
TN
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
$
$
$
$
$
$
$
$
825,000
1,900,000
700,000
985,000
10,500,000
21,900,000
17,243,000
6,200,000
Par
Par
Par
Par
Par
Par
Par
Par
2, 7
R $
R $
40,000
375,000
R $
R $
435,000
167,000
-
N/A
$
41,863,000
$
4
$
41,863,000
$
12/22/2010
4
$
17,000,000
$
9/29/2010
4
$
15,000,000
$
7/21/2011
50
$
5,000,000
$
0
Preferred Stock 2
7/21/2011
Preferred Stock
9/24/2010
4
$
2,200,000
$
0
N/A
9/24/2010
Preferred Stock
11/10/2009
4
$
700,000
$
0
Preferred Stock 2
11/10/2009
Preferred Stock
Par
Par
Par
Par
Par
Par
Par
2, 30 9/29/2010
4
0
2, 7
N/A
Preferred Stock w/
Warrants
Warrants
Preferred Stock w/
Warrants
9/2/2009
11/18/2009
41,863,000
-
2
2
2
2
17,000,000
2, 7,
0
30a
2, 7
R $
750,000
R $
250,000
R $
110,000
R $
35,000
2, 7,
30a
2, 7
Seller
Footnote
Purchase Date
2
2/13/2009
2/20/2009
Purchase Details
Name of Institution
State
Investment Amount
27
2/20/2009
First Merchants Corporation
Muncie
IN
2, 25
2
2
2/20/2009
2/20/2009
2/20/2009
2/20/2009
Northern States Financial Corporation
Sonoma Valley Bancorp
Guaranty Bancorp, Inc.
The Private Bank of California
Waukegan
Sonoma
Woodsville
Los Angeles
IL
CA
NH
CA
2, 30 9/29/2010
2/20/2009
Lafayette Bancorp, Inc.
Oxford
MS
Preferred Stock w/ Exercised Warrants
$
1,998,000
Par
2
2
2
2
2
2
2
2
2
2
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
Liberty Shares, Inc.
White River Bancshares Company
United American Bank
Crazy Woman Creek Bancorp, Inc.
First Priority Financial Corp.
Mid-Wisconsin Financial Services, Inc.
Market Bancorporation, Inc.
Hometown Bancorp of Alabama, Inc.
Security State Bancshares, Inc.
CBB Bancorp
Hinesville
Fayetteville
San Mateo
Buffalo
Malvern
Medford
New Market
Oneonta
Charleston
Cartersville
GA
AR
CA
WY
PA
WI
MN
AL
MO
GA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
17,280,000
16,800,000
8,700,000
3,100,000
4,579,000
10,000,000
2,060,000
3,250,000
12,500,000
2,644,000
2, 30 9/29/2010
2/20/2009
BancPlus Corporation
Ridgeland
MS
Preferred Stock w/ Exercised Warrants
$
48,000,000
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/27/2009
Central Community Corporation
First BancTrust Corporation
Premier Service Bank
Florida Business BancGroup, Inc.
Hamilton State Bancshares
Lakeland Financial Corporation
Temple
Paris
Riverside
Tampa
Hoschton
Warsaw
TX
IL
CA
FL
GA
IN
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
22,000,000
7,350,000
4,000,000
9,495,000
7,000,000
56,044,000
2/27/2009
First M&F Corporation
Kosciusko
MS
Preferred Stock w/ Warrants
$
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
Southern First Bancshares, Inc.
Integra Bank Corporation
Community First Inc.
BNC Financial Group, Inc.
California Bank of Commerce
Columbine Capital Corp.
National Bancshares, Inc.
First State Bank of Mobeetie
Ridgestone Financial Services, Inc.
Community Business Bank
D.L. Evans Bancorp
TriState Capital Holdings, Inc.
Green City Bancshares, Inc.
First Gothenburg Bancshares, Inc.
Green Circle Investments, Inc.
Private Bancorporation, Inc.
Regent Capital Corporation
Central Bancorp, Inc.
Medallion Bank
Greenville
Evansville
Columbia
New Canaan
Lafayette
Buena Vista
Bettendorf
Mobeetie
Brookfield
West Sacramento
Burley
Pittsburgh
Green City
Gothenburg
Clive
Minneapolis
Nowata
Garland
Salt Lake City
SC
IN
TN
CT
CA
CO
IA
TX
WI
CA
ID
PA
MO
NE
IA
MN
OK
TX
UT
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
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2/27/2009
PSB Financial Corporation
Many
LA
Preferred Stock w/ Exercised Warrants
$
9,270,000
Par
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
Limerick
PA
Preferred Stock w/ Exercised Warrants
$
541,000
NY
GA
SC
IL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
3,000,000
5,222,000
12,895,000
100,000,000
3/6/2009
First Federal Bancshares of Arkansas, Inc.
Harrison
AR
Preferred Stock w/ Warrants
$
3/6/2009
Citizens Bancshares Corporation
Atlanta
GA
Preferred Stock
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
ICB Financial
First Texas BHC, Inc.
Farmers & Merchants Bancshares, Inc.
Blue Ridge Bancshares, Inc.
First Reliance Bancshares, Inc.
Merchants and Planters Bancshares, Inc.
First Southwest Bancorporation, Inc.
Germantown Capital Corporation, Inc.
Ontario
Fort Worth
Houston
Independence
Florence
Toone
Alamosa
Germantown
CA
TX
TX
MO
SC
TN
CO
TN
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Disposition
Investment
Description
15
Final Disposition
Proceeds
Par
Rock Hill
Atlanta
Loris
Urbana
57
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2, 49
2
2, 49
2, 30 9/29/2010
2
2
2
2, 13 12/4/2009
2, 49
2
42 5/3/2011
3, 30 8/13/2010
2
2
2
2
2
2
2
2
1,992,000
30,407,000
69,600,000
46,400,000
17,211,000
8,653,000
6,920,000
5,450,000
Final Disposition
Final
Disposition
Date
Par
Par
Par
2/27/2009
2/27/2009
3/6/2009
3/6/2009
Avenue Financial Holdings, Inc.
Howard Bancorp, Inc.
FNB Bancorp
The Victory Bancorp, Inc.
(The Victory Bank)
Catskill Hudson Bancorp, Inc
Midtown Bank & Trust Company
HCSB Financial Corporation
First Busey Corporation
30 9/29/2010
$
$
$
$
$
$
$
$
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Lakewood
Narberth
WA
PA
Investment Description
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
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
2
2
2
2
Northwest Commercial Bank
Royal Bancshares of Pennsylvania, Inc.
City
Capital Repayment Details
Par
Par
Par
Par
Par
Par
Par
Par
2, 7,
9/29/2010
4
Preferred Stock 2
9/29/2010
Preferred Stock
Par
9/29/2010
4
0
Preferred Stock 2
9/29/2010
Preferred Stock
Par
Par
Par
Par
Par
Par
4/13/2011
6/9/2010
4
$
$
0
0
Preferred Stock 2
Warrants
4/13/2011
Preferred Stock
30,000,000
Par
9/29/2010
17,299,000
83,586,000
17,806,000
4,797,000
4,000,000
2,260,000
24,664,000
731,000
10,900,000
3,976,000
19,891,000
23,000,000
651,000
7,570,000
2,400,000
4,960,000
2,655,000
22,500,000
11,800,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
30,000,000
$
0
Warrants
$
731,000
$
0
Preferred Stock 2
4/14/2010
4
$
651,000
$
0
Preferred Stock 2
7/21/2011
49
$
2,655,000
$
0
7/21/2011
49
$
11,800,000
$
9/29/2010
4
$
9,270,000
Par
Par
Par
Par
7/21/2011
49
$
16,500,000
Par
5/3/2011
42
$
7,462,000
Par
8/13/2010
4
$
$
$
$
$
$
$
$
6,000,000
13,533,000
11,000,000
12,000,000
15,349,000
1,881,000
5,500,000
4,967,000
Par
Par
Par
Par
Par
Par
Par
Par
$
1,998,000
$
$
48,000,000
$
$
$
7,000,000
56,044,000
4
$
4/14/2010
4
7/14/2010
0
R $
100,000
R $
2,400,000
2, 7
R $
350,000
Preferred Stock
2, 7
R $
37,000
7/14/2010
Preferred Stock
2, 7
R $
33,000
Preferred Stock 2
7/21/2011
Preferred Stock
2, 7
R $
133,000
0
Preferred Stock 2
7/21/2011
Preferred Stock
2, 7
R $
590,000
$
0
Preferred Stock 2
9/29/2010
Preferred Stock
R $
464,000
3,000,000
$
0
Preferred Stock 2
7/21/2011
Preferred Stock
R $
150,000
$
6,000,000
$
0
N/A
N/A
N/A
$
7,462,000
$
0
N/A
N/A
N/A
30a
2, 7,
5
30a
2, 7,
2/27/2009
30a
2, 7
N/A
-
N/A
Seller
Footnote
Purchase Date
2, 49
2
2
2
2
2
2
2
2
2
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3, 30 8/13/2010
2, 49
2
2
2
2
2
2
2, 3a 11/13/2009
30 9/3/2010
2
2
2
2
2
2
2
2
2
2
2
2
2
2, 50
2
2
2
2
2
Name of Institution
BOH Holdings, Inc.
AmeriBank Holding Company
Highlands Independent Bancshares, Inc.
Pinnacle Bank Holding Company, Inc.
Blue River Bancshares, Inc.
Marine Bank & Trust Company
Community Bancshares of Kansas, Inc.
Regent Bancorp, Inc.
Park Bancorporation, Inc.
PeoplesSouth Bancshares, Inc.
First Place Financial Corp.
Salisbury Bancorp, Inc.
First Northern Community Bancorp
Discover Financial Services
Provident Community Bancshares, Inc.
Purchase Details
City
Houston
Collinsville
Sebring
Orange City
Shelbyville
Vero Beach
Goff
Davie
Madison
Colquitt
Warren
Lakeville
Dixon
Riverwoods
Rock Hill
State
TX
OK
FL
FL
IN
FL
KS
FL
WI
GA
OH
CT
CA
IL
SC
Investment Description
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised 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
Capital Repayment Details
Investment Amount
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
10,000,000
2,492,000
6,700,000
4,389,000
5,000,000
3,000,000
500,000
9,982,000
23,200,000
12,325,000
72,927,000
8,816,000
17,390,000
1,224,558,000
9,266,000
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final Disposition
Final
Disposition
Date
Disposition
Investment
Description
7/14/2011
49
$
10,000,000
$
0
Preferred Stock 2
7/14/2011
Preferred Stock
4/21/2010
4
$
1,224,558,000
$
0
Warrants
7/7/2010
Warrants
$
17,000,000
$
0
N/A
N/A
N/A
$
$
$
21,100,000
425,000
10,000,000
$
$
$
0
0
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
7/14/2011
12/29/2010
11/18/2009
Preferred Stock
Preferred Stock
Preferred Stock
15
3/13/2009
First American International Corp.
Brooklyn
NY
Preferred Stock
$
17,000,000
Par
8/13/2010
4
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
BancIndependent, Inc.
Haviland Bancshares, Inc.
1st United Bancorp, Inc.
Madison Financial Corporation
First National Corporation
St. Johns Bancshares, Inc.
Blackhawk Bancorp, Inc.
Sheffield
Haviland
Boca Raton
Richmond
Strasburg
St. Louis
Beloit
AL
KS
FL
KY
VA
MO
WI
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
21,100,000
425,000
10,000,000
3,370,000
13,900,000
3,000,000
10,000,000
Par
Par
Par
Par
Par
Par
Par
7/14/2011
12/29/2010
11/18/2009
49
3/13/2009
IBW Financial Corporation
Washington
DC
Preferred Stock
$
6,000,000
Par
9/3/2010
4
$
6,000,000
$
0
N/A
N/A
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
7/21/2011
50
$
700,000
$
0
Preferred Stock 2
7/21/2011
Preferred Stock
8/13/2010
4
$
2,795,000
$
0
N/A
N/A
N/A
2
3/27/2009
Colonial American Bank
West Conshohocken
PA
Preferred Stock w/ Exercised Warrants
$
574,000
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
4/3/2009
MS Financial, Inc.
Triad Bancorp, Inc.
Alpine Banks of Colorado
Naples Bancorp, Inc.
CBS Banc-Corp.
IBT Bancorp, Inc.
Spirit BankCorp, Inc.
Maryland Financial Bank
First Capital Bancorp, Inc.
Kingwood
Frontenac
Glenwood Springs
Naples
Russellville
Irving
Bristow
Towson
Glen Ellen
TX
MO
CO
FL
AL
TX
OK
MD
VA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
7,723,000
3,700,000
70,000,000
4,000,000
24,300,000
2,295,000
30,000,000
1,700,000
10,958,000
Tri-State Bank of Memphis
Memphis
TN
Preferred Stock
$
2,795,000
Par
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/10/2009
4/10/2009
4/10/2009
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.
Arnold
Festus
Titonka
Edwards
Kingsport
Olathe
Harrison
Theodore
Newark
San Diego
Sterling
MO
MO
IA
CO
TN
KS
AR
AL
NJ
CA
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
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
3,100,000
8,600,000
2,117,000
7,260,000
2,765,000
2,800,000
12,725,000
1,706,000
9,439,000
2,211,000
4,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
172,000,000
2, 7
2, 7
2, 7
R $
R $
R $
-
2, 7
N/A
1,055,000
21,000
500,000
N/A
R $
40,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
4/3/2009
4
500,000
Par
2
2
2
2
2
2
2
2
4
R $
R $
N/A
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
2, 7
Final Disposition
Proceeds
2, 3, 30 8/13/2010
2
2
2
2
2
2
2
2
2, 3
2
2
-
N/A
Seller
Purchase Details
Name of Institution
City
State
Investment Description
Capital Repayment Details
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
Footnote
Purchase Date
2
2
2, 49
2
2
2
2
2
2
2, 50
2
2
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
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
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
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.
Milwaukee
Chicago
Mocksville
Wayne
Tifton
Patterson
New York
Lakewood
Manistique
Birmingham
Richardson
Salem
Easley
Dana
Clayton
Hickory Hills
York
Tulsa
Oswego
WI
IL
NC
PA
GA
LA
NY
CO
MI
MI
TX
OR
SC
IN
MO
IL
PA
OK
IL
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
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
5,100,000
2,040,000
13,179,000
9,960,000
3,800,000
3,690,000
7,500,000
2,816,000
11,000,000
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
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
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Par
2
2, 52
2
2
2
2
2
2
2
5/1/2009
5/1/2009
5/1/2009
5/1/2009
5/1/2009
Village Bank and Trust Financial Corp
CenterBank
Georgia Primary Bank
Union Bank & Trust Company
HPK Financial Corporation
Midlothian
Milford
Atlanta
Oxford
Chicago
VA
OH
GA
NC
IL
8
5/1/2009
OSB Financial Services, Inc.
Orange
TX
8
5/1/2009
Security State Bank Holding-Company
Jamestown
ND
2, 13 8/31/2010
2, 56
2
5/8/2009
5/8/2009
5/8/2009
Highlands Bancorp, Inc.
(Highlands State Bank)
One Georgia Bank
Gateway Bancshares, Inc.
Disposition
Investment
Description
15
Final Disposition
Proceeds
$
$
$
$
$
14,738,000
2,250,000
4,500,000
3,194,000
4,000,000
49
$
1,635,000
$
0
Preferred Stock 2
7/28/2011
Preferred Stock
2, 7
R $
82,000
7/14/2011
50
$
4,871,000
$
0
Preferred Stock 2
7/14/2011
Preferred Stock
2, 7
R $
244,000
4
$
1,600,000
$
R $
150,000
$
1,400,000
$
0
Subordinated
Debentures 8
7
4
Subordinated
Debentures 8
Subordinated
Debentures 8
10/6/2010
10/6/2010
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
7/28/2011
11/24/2009
8/13/2010
4
$
6,784,000
$
0
N/A
N/A
N/A
-
N/A
9/10/2010
4
$
4,205,000
$
0
N/A
N/A
N/A
-
N/A
1,400,000
Par
Par
Par
Par
Par
$
6,100,000
Par
$
10,750,000
Par
Vernon
NJ
Preferred Stock w/ Exercised Warrants
$
3,091,000
Par
Atlanta
Ringgold
GA
GA
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
Par
Par
8
5/8/2009
Freeport Bancshares, Inc.
8
5/8/2009
Investors Financial Corporation of Pettis County, Inc. Sedalia
MO
Freeport
IL
8
5/8/2009
Sword Financial Corporation
Horicon
WI
3, 8, 30 8/13/2010
5/8/2009
Premier Bancorp, Inc.
Wilmette
IL
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
Mercantile Bank Corporation
Northern State Bank
Western Reserve Bancorp, Inc
Community Financial Shares, Inc.
Worthington Financial Holdings, Inc.
First Community Bancshares, Inc
Southern Heritage Bancshares, Inc.
Foresight Financial Group, Inc.
Grand Rapids
Closter
Medina
Glen Ellyn
Huntsville
Overland Park
Cleveland
Rockford
5/15/2009
IBC Bancorp, Inc.
Chicago
2
2
2
2
2
2
2
3, 8, 30 9/10/2010
Final Disposition
Final
Disposition
Date
$
3,000,000
Par
$
4,000,000
Par
$
13,644,000
Par
Subordinated Debentures
$
6,784,000
Par
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
IL
Subordinated Debentures
$
4,205,000
Par
8
5/15/2009
Boscobel Bancorp, Inc
Boscobel
WI
8
5/15/2009
Brogan Bankshares, Inc.
Kaukauna
WI
8
5/15/2009
Riverside Bancshares, Inc.
Little Rock
AR
8
5/15/2009
Deerfield Financial Corporation
Deerfield
WI
8
5/15/2009
Market Street Bancshares, Inc.
Mt. Vernon
IL
2
2
2
2
2
2
2
5/22/2009
5/22/2009
5/22/2009
5/22/2009
5/22/2009
5/22/2009
5/22/2009
The Landrum Company
First Advantage Bancshares Inc.
Fort Lee Federal Savings Bank
Blackridge Financial, Inc.
Illinois State Bancorp, Inc.
Universal Bancorp
Franklin Bancorp, Inc.
Columbia
Coon Rapids
Fort Lee
Fargo
Chicago
Bloomfield
Washington
MO
MN
NJ
ND
IL
IN
MO
8
5/22/2009
Commonwealth Bancshares, Inc.
Louisville
KY
8
5/22/2009
Premier Financial Corp
Dubuque
IA
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
$
5,586,000
Par
$
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
9,900,000
5,097,000
Par
Par
Par
Par
Par
Par
Par
$
20,400,000
Par
$
6,349,000
Par
Seller
Purchase Details
Name of Institution
City
State
Footnote
Purchase Date
8
5/22/2009
F & C Bancorp, Inc.
Holden
MO
8
5/22/2009
Diamond Bancorp, Inc.
Washington
MO
8
5/22/2009
United Bank Corporation
Barnesville
GA
2
2
2
2
2
5/29/2009
5/29/2009
5/29/2009
5/29/2009
5/29/2009
5/29/2009
Community Bank Shares of Indiana, Inc.
American Premier Bancorp
CB Holding Corp.
Citizens Bancshares Co.
Grand Mountain Bancshares, Inc.
Two Rivers Financial Group
New Albany
Arcadia
Aledo
Chillicothe
Granby
Burlington
IN
CA
IL
MO
CO
IA
8
5/29/2009
Fidelity Bancorp, Inc
Baton Rouge
LA
8
5/29/2009
Chambers Bancshares, Inc.
Danville
AR
2
6/5/2009
Covenant Financial Corporation
Clarksdale
MS
8
6/5/2009
First Trust Corporation
New Orleans
LA
8, 10
6/5/2009
OneFinancial Corporation
Little Rock
AR
Investment Description
Capital Repayment Details
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
2
6/12/2009
Berkshire Bancorp, Inc.
Wyomissing
PA
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
$
2,892,000
6/12/2009
First Vernon Bancshares, Inc.
Vernon
AL
Preferred Stock w/ Exercised Warrants
$
6,000,000
Par
2
2, 10
2
6/12/2009
6/12/2009
6/12/2009
SouthFirst Bancshares, Inc.
Virginia Company Bank
Enterprise Financial Services Group, Inc.
Sylacauga
Newport News
Allison Park
AL
VA
PA
$
$
$
2,760,000
4,700,000
4,000,000
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
Subordinated Debentures
Disposition
Investment
Description
15
Final Disposition
Proceeds
Par
Par
Par
8, 10
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Final Disposition
Final
Disposition
Date
Par
2, 10, 30 9/29/2010
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
8
6/19/2009
Manhattan Bancshares, Inc.
Manhattan
IL
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, 10, 30 9/29/2010
2
2
2, 10
2, 3, 10, 30 8/20/2010
2, 41 3/30/2011
2, 41 3/30/2011
2
Par
20,445,000
Par
$
14,400,000
Par
$
$
$
$
$
$
19,468,000
1,800,000
4,114,000
24,990,000
3,076,000
12,000,000
Par
Par
Par
Par
Par
Par
$
3,942,000
19,817,000
5,000,000
17,969,000
17,300,000
$
0
Preferred Stock 2
1/26/2011
Preferred Stock
9/29/2010
4
$
6,000,000
$
0
Preferred Stock 2
9/29/2010
Preferred Stock
7/30/2010
4
$
11,926,000
$
0
N/A
N/A
N/A
3/31/2010
4
$
3,400,000,000
$
0
Warrants
9/21/2010
Warrants
9/29/2010
4
$
17,388,000 $
0
Preferred Stock 2
9/29/2010
Preferred Stock
8/20/2010
4
$
11,735,000 $
0
N/A
N/A
N/A
12/15/2010
4
$
1,700,000
$
0
Subordinated
Debentures 8
12/15/2010
Subordinated
Debentures 8
6/30/2010
4
$
950,000,000
$
0
Warrants
9/16/2010
Warrants
2, 7
R $
90,000
R $
245,000
Par
$
3,756,000
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
30a
Par
$
Par
Elmhurst
IL
Hartford
CT
$
3,400,000,000
Par
Dallas
TX
Preferred Stock w/ Exercised Warrants
$
3,000,000
Waukesha
Houston
WI
TX
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
5,625,000
21,042,000
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
N/A
Par
Par
Security Capital Corporation
-
Par
6/19/2009
Suburban Illinois Bancorp, Inc.
6/26/2009
6/26/2009
Hartford Financial Services Group, Inc.
Veritex Holdings, Inc.
(Fidelity Resources Company)
Waukesha Bankshares, Inc.
FC Holdings, Inc.
6/26/2009
6/26/2009
A $
713,687,430
R $
522,000
2, 7,
6/26/2009
Metropolitan Bank Group, Inc.
Chicago
IL
Preferred Stock w/ Exercised Warrants
$
74,706,000
IL
Preferred Stock w/ Exercised Warrants
$
7,186,000
GA
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
$
2,986,000
24,900,000
Par
$
1,700,000
Par
$
35,000,000
N/A
Par
$
-
Par
Dalton
Par
Par
6/26/2009
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
7/10/2009
Lincoln National Corporation
Radnor
PA
Preferred Stock w/ Warrants
$
950,000,000
Par
7/10/2009
7/17/2009
Bancorp Financial, Inc.
Brotherhood Bancshares, Inc.
Oak Brook
Kansas City
IL
KS
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
13,669,000
11,000,000
Par
Par
6/26/2009
30a
Par
Chicago
Metropolitan Bank Group, Inc.
(NC Bancorp, Inc.)
Alliance Bancshares, Inc.
2, 10
2
1,800,000
Par
$
$
Par
$
4
Par
$
1/26/2011
Par
$
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
6/26/2009
2, 40 3/23/2011
2, 10
2
2,993,000
$
2, 7,
8, 10
8
$
7
R $
85,000
A $
216,620,887
Seller
Purchase Details
Name of Institution
City
State
Footnote
Purchase Date
2
2, 3
7/17/2009
7/17/2009
SouthCrest Financial Group, Inc.
Harbor Bankshares Corporation
Fayetteville
Baltimore
GA
MD
8
7/17/2009
First South Bancorp, Inc.
Lexington
TN
Investment Description
Capital Repayment Details
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
$
$
12,900,000
6,800,000
50,000,000
8,400,000
2,500,000
13,312,000
3,872,000
20,471,000
Par
Par
Par
$
50,000,000
Par
$
7,000,000
Final Disposition
Proceeds
Par
$
$
$
15
Par
$
Disposition
Investment
Description
Par
$
Final Disposition
Final
Disposition
Date
Par
Par
$
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Par
8
8/21/2009
AmFirst Financial Services, Inc.
McCook
NE
2, 3
2
2, 10
8/28/2009
8/28/2009
8/28/2009
First Independence Corporation
First Guaranty Bancshares, Inc.
CoastalSouth Bancshares, Inc.
Detroit
Hammond
Hilton Head Island
MI
LA
SC
8, 10
8/28/2009
TCB Corporation
Greenwood
SC
8, 10
9/4/2009
The State Bank of Bartley
Bartley
NE
9/11/2009
Pathfinder Bancorp, Inc.
Oswego
NY
Preferred Stock w/ Exercised Warrants
Preferred Stock
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
2, 30 9/29/2010
9/11/2009
Community Bancshares of Mississippi, Inc.
Brandon
MS
Preferred Stock w/ Exercised Warrants
$
52,000,000
Par
2, 10
2, 10
9/11/2009
9/11/2009
Heartland Bancshares, Inc.
PFSB Bancorporation, Inc.
Franklin
Pigeon Falls
IN
WI
$
$
7,000,000
1,500,000
Par
Par
9/11/2009
First Eagle Bancshares, Inc.
Hanover Park
IL
$
7,500,000
Par
9/18/2009
9/18/2009
IA Bancorp, Inc.
HomeTown Bankshares Corporation
Iselin
Roanoke
NJ
VA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
5,976,000
10,000,000
Par
Par
2, 10
9/25/2009
Heritage Bankshares, Inc.
Norfolk
VA
Preferred Stock w/ Exercised Warrants
$
10,103,000
Par
2
9/25/2009
Mountain Valley Bancshares, Inc.
Cleveland
GA
3,300,000
Par
9/25/2009
Grand Financial Corporation
Hattiesburg
MS
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
$
8
$
2,443,320
Par
8
7/17/2009
Great River Holding Company
Baxter
MN
8, 10
7/17/2009
Plato Holdings Inc.
Saint Paul
MN
2, 10
2
7/24/2009
7/24/2009
7/24/2009
Yadkin Valley Financial Corporation
Community Bancshares, Inc.
Florida Bank Group, Inc.
Elkin
Kingman
Tampa
NC
AZ
FL
8
7/24/2009
First American Bank Corporation
Elk Grove Village
IL
2
7/31/2009
Chicago Shore Corporation
Chicago
IL
8, 10
7/31/2009
Financial Services of Winger, Inc.
Winger
MN
2
2
2
2
8/7/2009
8/7/2009
8/14/2009
8/21/2009
The ANB Corporation
U.S. Century Bank
Bank Financial Services, Inc.
KS Bancorp, Inc.
Terrell
Miami
Eden Prarie
Smithfield
TX
FL
MN
NC
8, 30 9/17/2010
2, 10
2, 10
$
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
2, 7,
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
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
$
11,019,000
Par
9/29/2010
4
9/17/2010
4
$
7,500,000
3/16/2011
4
$
2,606,000
7/30/2010
4
$
14,000,000
$
52,000,000 $
0
Preferred Stock 2
9/29/2010
Preferred Stock
$
0
Subordinated
Debentures 8
9/17/2010
Subordinated
Debentures 8
N/A
N/A
$7,497,000
$
0
30a
30a
R $
2,600,000
R $
375,000
Preferred Stock w/
Warrants
N/A
-
N/A
Seller
Purchase Details
Name of Institution
City
State
Footnote
Purchase Date
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
8
10/23/2009
Cardinal Bancorp II, Inc.
Washington
MO
2
2, 10a
2, 10a
2, 10
10/30/2009
10/30/2009
11/6/2009
11/13/2009
Randolph Bank & Trust Company
WashingtonFirst Bankshares, Inc.
F & M Bancshares, Inc.
Fidelity Federal Bancorp
Asheboro
Reston
Trezevant
Evansville
NC
8, 10
11/13/2009
Community Pride Bank Corporation
Ham Lake
MN
2, 10a
2, 10
2
2, 10a
3, 10a
2
2, 10
2
2, 10
11/13/2009
11/20/2009
11/20/2009
11/20/2009
12/4/2009
12/4/2009
12/4/2009
12/11/2009
12/11/2009
HPK Financial Corporation
Presidio Bank
McLeod Bancshares, Inc.
Metropolitan Capital Bancorp, Inc.
Broadway Financial Corporation
Delmar Bancorp
Liberty Bancshares, Inc.
First Community Financial Partners, Inc.
Wachusett Financial Services, Inc.
Chicago
San Francisco
Shorewood
Chicago
Los Angeles
Delmar
Fort Worth
Joliet
Clinton
CA
MD
TX
IL
MA
8
12/11/2009
Nationwide Bankshares, Inc.
West Point
NE
2, 10a
2, 10a
2, 10a
2, 10a
2, 10a
2, 10a
2, 10a
2
2, 10, 49
2
2, 10a, 49
2, 10a, 49
2, 10a
2, 10a
2, 10a
2, 10
2, 10a, 30 9/24/2010
2, 10a, 13 8/31/2010
2, 10a, 49
2, 10a, 49
2, 10a
2, 10
2, 10
2
12/11/2009
12/11/2009
12/11/2009
12/11/2009
12/11/2009
12/11/2009
12/11/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/22/2009
GrandSouth Bancorporation
1st Enterprise Bank
First Resource Bank
First Western Financial, Inc.
Meridian Bank
The Victory Bancorp, Inc.
First Business Bank, N.A.
Layton Park Financial Group
Centric Financial Corporation
Valley Financial Group, Ltd., 1st State Bank
Cache Valley Banking Company
Birmingham Bloomfield Bancshares, Inc
First Priority Financial Corp.
Northern State Bank
Union Bank & Trust Company
First Freedom Bancshares, Inc.
Greenville
Los Angeles
Exton
Denver
Devon
Limerick
San Diego
Milwaukee
Harrisburg
Saginaw
Logan
Birmingham
Malvern
Closter
Oxford
Lebanon
SC
CA
PA
CO
PA
PA
CA
WI
PA
MI
UT
MI
PA
NJ
NC
TN
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/29/2009
12/29/2009
12/29/2009
First Choice Bank
Highlands Bancorp, Inc.
(Highlands State Bank)
Medallion Bank
Catskill Hudson Bancorp, Inc
TriSummit Bank
Atlantic Bancshares, Inc.
Union Financial Corporation
Mainline Bancorp, Inc.
VA
TN
IN
IL
CA
MN
IL
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
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants
Capital Repayment Details
Investment Amount
$
$
$
22,252,000
4,000,000
12,700,000
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final Disposition
Final
Disposition
Date
Disposition
Investment
Description
15
Final Disposition
Proceeds
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
Par
Par
Par
Par
Par
Par
Par
Par
Par
$
2,000,000
Par
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
6,319,000
6,000,000
2,417,000
11,881,000
6,335,000
1,505,000
2,032,000
3,000,000
6,056,000
1,300,000
4,640,000
1,744,000
4,596,000
1,230,000
2,997,000
8,700,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Cerritos
CA
Preferred Stock
$
2,836,000
Par
Vernon
NJ
Preferred Stock
$
2,359,000
UT
NY
TN
SC
NM
PA
$
$
$
$
$
$
9,698,000
3,500,000
4,237,000
2,000,000
2,179,000
4,500,000
Par
Par
Par
Par
Par
Par
$
3,035,000
Par
$
$
4,567,000
1,508,000
4
$
2,000,000
$
0
Subordinated
Debentures 8
12/29/2010
Subordinated
Debentures 8
7/14/2011
49
$
6,056,000
$
0
Preferred Stock 2
7/14/2011
Preferred Stock
7/14/2011
7/28/2011
49
$
$
4,640,000
1,744,000
$
$
0
0
N/A
N/A
N/A
N/A
N/A
N/A
-
N/A
N/A
9/24/2010
4
$
2,836,000
$
0
N/A
N/A
N/A
-
N/A
7/21/2011
7/21/2011
49
$
$
9,698,000
3,500,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
7/21/2011
7/21/2011
Preferred Stock
Preferred Stock
38
$
650,000
$
0
N/A
N/A
N/A
4
$
2,453,000
$
0
N/A
N/A
N/A
49
7
R $
100,000
2, 7
R $
182,000
Par
Salt Lake City
Rock Hill
Kingsport
Bluffton
Albuquerque
Ebensburg
12/29/2010
Par
Par
8, 10, 38
12/29/2009
FBHC Holding Company
Boulder
CO
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
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
MN
GA
IL
Preferred Stock
Preferred Stock
$
$
$
3,262,000
1,753,000
4,000,000
$
204,943,827,320
2, 7
R $
R $
55,000
113,000
Par
Par
Par
Chicago
Preferred Stock w/ Exercised Warrants
Total Purchase Amount *
3/9/2011
9/29/2010
49
Total Repaid **
Losses***
TOTAL TREASURY CAPITAL PURCHASE PROGRAM (CPP) OUTSTANDING INVESTMENT AMOUNT
$ 182,644,088,563
$
Total Warrant Proceeds****
N/A
-
N/A
$
7,555,680,553
(2,613,704,294)
$
2, 7
19,686,034,463
* Total purchase amount includes the capitalization of accrued dividends referred to in Notes 20, 22, 28 and 29.
** Total repaid includes (i) the amount of $25 billion applied as repayment under the Capital Purchase Program from the total proceeds of $31.85 billion received pursuant to the sales of Citigroup, Inc. common stock as of December 6, 2010 (see Note 23 and "Capital Purchase Program - Citigroup Common Stock Disposition" on following pages) and (ii)
the amount of $355,724,000 repaid by institutions that have completed exchanges for investments under the Community Development Capital Initiative (see Note 30 and "Community Development Capital Initiative" on following pages).
*** Losses include (i) the investment amount for institutions that have completed bankruptcy proceedings (see Notes 16 and 19) and (ii) the investment amount less the amount of final proceeds for institutions where Treasury has completed a sale (see Notes 26, 32 and 34), but excludes investment amounts for institutions that have pending receivership or
bankruptcy proceedings (see Notes 14 and 25).
**** Total warrant proceeds includes $7,566,000, which represents the total amount of warrants that were included in nine institutions' exchange into the CDCI program (see Note 30a).
Notes appear on the following page.
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
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), which plan was terminated on
December 6, 2010. All such sales were generally made at the market price. On December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. See "Capital Purchase Program - Citigroup, Inc., Common Stock Disposition" on following page for the actual number of shares sold by Morgan Stanley, the
weighted average price per share and the total proceeds to Treasury from all such sales during those periods.
24/ On 8/26/2010, Treasury completed the exchange of its $303,000,000 of Preferred Stock in Sterling Financial Corporation (Sterling) for a like amount of Mandatorily Convertible Preferred Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Sterling entered into on 4/29/2010. Since Sterling also fulfilled the
conversion conditions set forth in the Certificate of Designations for the MCP, including those related to its capital plan, Treasury’s $303,000,000 of MCP was subsequently, as of 8/26/2010, converted into 378,750,000 shares of common stock.
25/ On 8/20/2010, Sonoma Valley Bank, Sonoma, CA, the banking subsidiary of Sonoma Valley Bancorp, was closed by the California Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
26/ On 9/30/2010, Treasury completed the sale of all Preferred Stock and Warrants issued by South Financial Group, Inc. to Toronto-Dominion Bank (TD) at an aggregate purchase price of $130,179,218.75 for the Preferred Stock and $400,000 for the Warrants, pursuant to the terms of the agreement between Treasury and TD entered into on
5/18/2010.
27/ On 6/30/2010, Treasury exchanged $46,400,000 of its Series A Preferred Stock in First Merchants Corporation for a like amount of non tax-deductible Trust Preferred Securities issued by First Merchants Capital Trust III.
28/ On 7/20/2010, Treasury completed the exchange of its $400,000,000 of Preferred Stock in First BanCorp for $424,174,000 of Mandatorily Convertible Preferred Stock (MCP), which is equivalent to the initial investment amount of $400,000,000, plus $24,174,000 of capitalized previously accrued and unpaid dividends. Subject to the fulfillment by
First BanCorp of certain conditions, including those related to its capital plan, the MCP may be converted to common stock. First BanCorp has agreed to have Treasury observers attend board of directors meetings.
29/ On 8/31/2010, following the completion of the conditions related to Pacific Capital Bancorp's (Pacific Capital) capital plan, Treasury exchanged its $180,634,000 of Preferred Stock in Pacific Capital for $195,045,000 of Mandatorily Convertible Preferred Stock (MCP), which is equivalent to the initial investment amount of $180,634,000, plus
$14,411,000 of capitalized previously accrued and unpaid dividends. On 9/27/2010, following the completion of the conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was converted into 360,833,250 shares of common stock of Pacific Capital. Pacific Capital has agreed to have Treasury observers
attend board of directors meetings.
30/ This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has completed an exchange of its Capital Purchase Program investment for an investment under the terms of the CDCI program. See "Community Development Capital Initiative" below.
30a/ At the time of this institution’s exchange into the CDCI program, the warrant preferreds were included in the total amount of preferred stock exchanged for Treasury’s CDCI investment. Therefore this disposition amount does not represent cash proceeds to Treasury.
31/ On 9/30/2010, Treasury completed the exchange of its $80,347,000 of Preferred Stock in Hampton Roads Bankshares, Inc. (Hampton) for a like amount of Mandatorily Convertible Preferred Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Hampton entered into on 8/12/2010. Since Hampton also fulfilled the
conversion conditions set forth in the Certificate of Designations for the MCP, Treasury’s $80,347,000 of MCP was subsequently converted into 52,225,550 shares of common stock.
32/ On 9/30/2010, Treasury completed the sale of all Preferred Stock and Warrants issued by TIB Financial Corp. to North American Financial Holdings, Inc. (NAFH) at an aggregate purchase price of $12,119,637.37 for the Preferred Stock and $40,000 for the Warrants, pursuant to the terms of the agreement between Treasury and NAFH entered
into on 9/24/2010.
33/ On 3/4/2011, Treasury completed the sale to Community Bancorp LLC (“CBC”) of all Preferred Stock and Warrants issued by Cadence Financial Corporation (“Cadence”) to Treasury for an aggregate purchase price of $39,014,062.50, pursuant to the terms of the agreement between Treasury and CBC entered into on 10/29/2010.
34/ On 12/3/2010, Treasury completed the sale of all Preferred Stock (including the Preferred Stock received upon the exercise of warrants) issued by The Bank of Currituck (“Currituck”) to Treasury for an aggregate purchase price of $1,742,850, pursuant to the terms of the agreement between Treasury and Currituck entered into on 11/5/2010.
35/ Treasury entered into an agreement on 1/28/2011 with North American Financial Holdings, Inc. for the sale of all Preferred Stock and Warrants issued by Capital Bank Corporation to Treasury for an aggregate purchase price of $41,279,000. Since the conditions to closing of the sale were satisfied, the closing of the sale also occurred on
1/28/2011.
36/ On 2/15/2011, Treasury completed the sale of all Preferred Stock (including the Preferred Stock received upon the exercise of warrants) issued by Treaty Oak Bancorp (“Treaty Oak”) to Treasury for (i) a cash payment of $500,000, (ii) the right to receive up to $150,000 in principal payments on a note payable by Carlile Bancshares, Inc. in favor of
Treaty Oak, and (iii) a newly issued warrant to purchase 3,098,341 shares of Treaty Oak common stock, pursuant to the terms of the agreement between Treasury and Treaty Oak entered into on 2/15/2011.
37/ On 2/18/11, Treasury completed the exchange of its $135,000,000 of Preferred Stock (including accrued and unpaid dividends thereon) in Central Pacific Financial Corp.for not less than 5,620,117 shares of common stock, pursuant to an exchange agreement dated 2/17/2011.
38/ On 3/9/2011, Treasury completed the sale of all Subordinated Debentures (including the Subordinated Debentures received upon the exercise of warrants) issued by FBHC Holding Company ("FBHC") to Treasury for an aggregate purchase price of $650,000, pursuant to the terms of the agreement between Treasury and FBHC entered into on
3/9/2011.
39/ On 5/31/2011, Treasury completed the sale of all Preferred Stock and Warrants issued by First Community Bank Corporation of America (FCBCA) for an aggregate purchase price of (i) $7.20 million plus (ii) 72% of the remaining cash assets after giving effect to the payment of defined acquisition expenses, debts, liabilities and distributions to
other classes of security holders, pursuant to the terms of the agreement between Treasury and FCBCA entered into on 3/11/2011.
40/ As a result of the acquisition of Fidelity Resources Company (the acquired company) by Veritex Holdings, Inc. (the acquiror), the preferred stock and exercised warrants issued by the acquired company on 6/26/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the terms of an agreement among Treasury, the
acquired company and the acquiror entered into on 3/23/2011.
41/ As a result of the acquisition of NC Bancorp, Inc. (the acquired company) by Metropolitan Bank Group, Inc. (the acquiror), Treasury exchanged $6,880,000 of its preferred stock in NC Bancorp, Inc. and $71,526,000 of its preferred stock in Metropolitan Bank Group, Inc. for $81,892,000 of a new series of preferred stock in Metropolitan Bank Group,
Inc., which is equivalent to the combined initial investment amount of $78,406,000 plus $3,486,000 of capitalized previously accrued and unpaid dividends, pursuant to the terms of an agreement among Treasury, the acquired company and the acquiror entered into on 3/30/2011. Exercised warrants were also exchanged at the time of the agreement.
42/ On 5/3/2011, Treasury completed the sale of all First Federal Bancshares of Arkansas, Inc. Preferred Stock and Warrants held by Treasury to Bear State Financial Holdings, LLC (“Bear State”) for an aggregate purchase price of $6,000,000.00, pursuant to the terms of the agreement between Treasury and Bear State entered into on 05/03/2011.
43/ On 5/13/2011, Treasury completed the sale of all Wilmington Trust Corporation Preferred Stock held by Treasury to M&T Bank Corporation ("M&T") for an aggregate purchase price of $330,000,000.00 plus accrued dividends and exchanged its Wilmington Trust Corporation Warrant for an equivalent Warrant issued by M&T Bank Corporation,
pursuant to the terms of the agreement between Treasury and M&T entered into on 5/13/2011.
44/ On 7/5/2011, Treasury completed a transaction with Harris Financial Corp., a wholly-owned subsidiary of Bank of Montreal ("BMO"), for the sale of (i) all Marshall & Ilsley Corporation ("M&I") Preferred Stock held by Treasury for a purchase price of $1,715,000,000 plus accrued dividends and (ii) the Treasury-held M&I Warrant for an amount equal
to $3,250,000, pursuant to the terms of the agreement between Treasury and BMO entered into on 05/16/2011.
45/ On 6/3/2011, Treasury completed the sale of all Whitney Holding Corporation preferred stock and the related warrant held by Treasury to Hancock Holding Company ("HHC") for an aggregate purchase price equal to (i) the par amount of the preferred stock ($300,000,000) plus accrued and unpaid dividends thereon and (ii) $6,900,000 for the
warrant, pursuant to the terms of the agreement between Treasury and HHC entered into on 6/3/2011.
46/ On 06/22/2011, Treasury completed the sale of 2,850,000 shares of common stock at $12.590625 per share (which represents the $12.75 public offering price less underwriting discounts) for net proceeds of $35,883,281.25 pursuant to an underwriting agreement executed on 06/17/2011.
47/ On 6/30/2011, Treasury completed the sale of all Cascade Financial Corporation Preferred Stock held by Treasury and the related Warrant to Opus Acquisition, Inc. ("Opus") for an aggregate purchase price of $16,250,000.00, pursuant to the terms of the agreement between Treasury and Opus entered into on 06/28/2011.
48/ On 6/29/2011, Treasury entered into an agreement with Carver Bancorp, Inc. to exchange Treasury’s $18,980,000 of preferred stock for an equivalent amount of common stock. The exchange is subject to the fulfillment by Carver Bancorp, Inc. of certain conditions, including the satisfactory completion of a capital plan.
49/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 using proceeds received in connection with the institution’s participation in the Small Business Lending Fund.
50/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 - part of the repayment amount obtained from proceeds received in connection with the institution’s participation in the Small Business Lending Fund.
51 / On 11/5/2010, Pierce Commercial Bank, Tacoma, WA, the banking subsidiary of Pierce County Bancorp, was closed by the Washington Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
52/ On 11/12/2010, Tifton Banking Company, Tifton, GA, was closed by the Georgia Department of Banking & Finance, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
53/ On 3/11/2011, Legacy Bank, Milwaukee, WI, the banking subsidiary of Legacy Bancorp, Inc., was closed by the State of Wisconsin Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
54/ On 4/15/2011, Superior Bank, Birmingham, AL, the banking subsidiary of Superior Bancorp Inc., was closed by the Office of Thrift Supervision, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
55/ On 7/15/2011, First Peoples Bank, Port Saint Lucie, Florida, the banking subsidiary of FPB Bancorp, Inc., was closed by the Florida Office of Financial Regulation, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
56/ On 7/15/2011, One Georgia Bank, Atlanta, GA was closed by the State of Georgia Department of Banking & Finance, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
57/ On 7/29/2011, Integra Bank, National Association, Evansville, Indiana, the banking subsidiary of Integra Bank Corporation, was closed by the Office of the Comptroller of the Currency, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
CAPITAL PURCHASE PROGRAM - CITIGROUP, INC.
COMMON STOCK DISPOSITION
Date
4/26/2010 5/26/2010
5/26/2010 6/30/2010
7/23/2010 9/30/2010
10/19/2010 12/6/2010
Pricing Mechanism
6
Number of Shares
Proceeds
7
1
$4.1217
1,500,000,000
$
6,182,493,158
$3.8980
1,108,971,857
$
4,322,726,825
$3.9090
1,500,000,000
$
5,863,489,587
$4.2609
1,165,928,228
$
4,967,921,811
$4.3500
2,417,407,607
$
10,515,723,090
2
3
4
5
12/6/2010
Total Proceeds:
$31,852,354,471
1/ On April 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occurred on May 26, 2010.
2/ On May 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occurred on June 30, 2010.
3/ On July 23, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on September 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occured on September 30, 2010.
4/ On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of
common stock from time to time during the period ending on December 31, 2010 (or upon completion of the sale), which plan was terminated on December 6, 2010.
5/ On December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. Closing of the offering is subject to the fulfillment of certain closing conditions.
6/ The price set forth is the weighted average price for all sales of Citigroup, Inc. common stock made by Treasury over the course of the corresponding period.
7/ Amount represents the gross proceeds to Treasury.
COMMUNITY DEVELOPMENT CAPITAL INITIATIVE
Seller
Footnote Purchase Date
1
1, 2
1, 2
1
1
2a
1
1
1
1
2a
1
1
1
1
1, 2
1
1, 2
1
1, 2
1, 2
1, 2
1, 2
1
1
1
1
1
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
9/29/2010
9/29/2010
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.
Security Capital Corporation
BankAsiana
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
Batesville
Palisades Park
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
MS
NJ
Amount from CPP
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
Preferred Stock
Preferred Stock
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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
17,910,000
-
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
17,910,000
5,250,000
Pricing
Mechanism
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Date
Amount
Remaining Investment
Amount
Seller
Footnote Purchase Date
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
Name of Institution
City
State
Amount from CPP
Investment Description
Bay Springs
Okolona
Lakewood
New York
Bronx
Shreveport
Springhill
MS
MS
NY
NY
NY
LA
LA
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
New York
NY
Subordinated Debentures
Chicago
Bridgeport
Rantoul
Del Rio
Burlington
Charlotte
New York
San Antonio
Washington
Oceanside
Kinston
Pittsburgh
Roanoke
Los Angeles
Terre Haute
Somerset
Hilo
Brooklyn
IL
CT
IL
TX
VT
NC
NY
TX
DC
CA
NC
PA
VA
CA
IN
NJ
HI
NY
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
$
$
$
$
$
$
$
Disposition Details
Additional Investment
Investment Amount
-
$
$
$
$
$
$
$
-
$
$
$
$
$
$
$
$
-
$
-
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
-
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
-
Pricing
Mechanism
7,922,000
3,297,000
1,709,000
14,000
502,000
2,646,000
6,300,000
$
57,000
325,000
7,000
450,000
3,260,000
1,091,000
1,000,000
295,000
1,100,000
1,522,000
30,000
350,000
100,000
9,278,000
100,000
1,229,000
31,000
698,000
300,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
570,073,000
Remaining Investment
Amount
Par
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Amount
Date
Par
Par
Par
Par
Par
Par
Par
Total Purchase Amount $
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
The Magnolia State Corporation
Bancorp of Okolona, Inc.
Southern Chautauqua Federal Credit Union
Fidelis Federal Credit Union
Bethex Federal Credit Union
Shreveport Federal Credit Union
Carter Federal Credit Union
UNITEHERE Federal Credit Union
(Workers United Federal Credit Union)
North Side Community Federal Credit Union
East End Baptist Tabernacle Federal Credit Union
Community Plus Federal Credit Union
Border Federal Credit Union
Opportunities Credit Union
First Legacy Community Credit Union
Union Settlement Federal Credit Union
Southside Credit Union
D.C. Federal Credit Union
Faith Based Federal Credit Union
Greater Kinston Credit Union
Hill District Federal Credit Union
Freedom First Federal Credit Union
Episcopal Community Federal Credit Union
Vigo County Federal Credit Union
Renaissance Community Development Credit Union
Independent Employers Group Federal Credit Union
Brooklyn Cooperative Federal Credit Union
Purchase Details
Total Capital Repayment Amount
TOTAL TREASURY COMMUNITY DEVELOPMENT INITIATIVE (CDCI) INVESTMENT AMOUNT
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.
$
570,073,000
$0
AUTOMOTIVE INDUSTRY FINANCING PROGRAM
Exchange/Transfer/Other Details
Initial Investment
City, State
Date
Transaction Type
12/29/2008
Purchase
Seller
Description
Preferred Stock w/
Exercised Warrants
GMAC
Pricing
Mechanism
Amount
$
5,000,000,000
Par
$
7,500,000,000
Par
22
12/30/2009
22,
26
12/30/2010
5/21/2009
Purchase
GMAC
Convertible Preferred Stock
w/ Exercised Warrants
12/30/2009
Purchase
GMAC
Convertible Preferred Stock
w/ Exercised Warrants
$
1,250,000,000
Par
12/30/2009
Purchase
GMAC
Trust Preferred Securities w/
$
Exercised Warrants
2,540,000,000
Purchase
$
884,024,131
Par
12/31/2008
Purchase
$
13,400,000,000
Par
4/22/2009
Purchase
$
2,000,000,000
Par
12/30/2009
Par
12/29/2008
GMAC
(Ally)
Date
Detroit, MI
General Motors
Corporation
General Motors
Corporation
General Motors
Corporation
Debt Obligation
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
3/1/2011
2
5/29/2009
7/10/2009
4
Type
Exchange for convertible
preferred stock
Partial conversion of
preferred stock for common
stock
Partial conversion of
preferred stock for common
stock
Exchange for amended and
restated Trust Preferred
Securities
Exchange for equity interest in
GMAC
Exchange for preferred and
common stock in New GM
Exchange for preferred and
common stock in New GM
Payment or Disposition1
Treasury Investment After Exchange/Transfer/Other
Pricing
Mechanism
Amount
Obligor
$
5,000,000,000
N/A
$
3,000,000,000
5,500,000,000
N/A
2,670,000,000
N/A
27 GMAC (Ally)
$
884,024,131
N/A
$ 13,400,000,000
N/A
$
N/A
Convertible
Preferred Stock
Date
Type
Amount/ Proceeds
Remaining
Investment
Description
Remaining
Investment
Amount/Equity %
$ 5,937,500,000
26
$
Amount/Equity %
N/A
$
Description
GMAC (Ally)
21, 22
GMAC (Ally)
3, 26
73.8%
Common Stock
Trust Preferred
Securities
$ 2,670,000,000
General Motors
Company
10,
Preferred Stock
11, 24
$ 2,100,000,000
General Motors
Company
10,
Common Stock
11, 25
27
3/2/2011 Disposition 28
$
2,667,000,000
N/A
$
2,139,406,778
N/A
$
0
3
7
7
6/3/2009
Purchase
Purchase
General Motors
Corporation
General Motors
Corporation
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
$
$
360,624,198
30,100,000,000
Par
Par
6
8
7/10/2009
Exchange for preferred and
common stock in New GM
Exchange for preferred and
common stock in New GM
360,624,198
$ 22,041,706,310
N/A
N/A
7/10/2009
1/16/2009
Chrysler
FinCo
Purchase
Debt Obligation w/
Additional Note
Chrysler FinCo
$
1,500,000,000
Par
Transfer of debt to New GM
$
7,072,488,605
N/A
7/10/2009
Debt left at Old GM
$
985,805,085
N/A
7
General Motors
Holdings LLC
11, 12 Debt Obligation
$ 7,072,488,605
4/29/2009
Purchase
Chrysler Holding
Purchase
Chrysler Holding
Purchase
Chrysler Holding
5/1/2009
Purchase
Old Chrysler
5/20/2009
Purchase
Old Chrysler
4/29/2009
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
$
4,000,000,000
$
-
$
280,130,642
$
1,888,153,580
$
-
-
6/10/2009
Par
Transfer of debt to New
Chrysler
$
500,000,000
N/A
$
5,711,864,407
35,084,421 Debt Obligation
$
5,676,779,986
Partial Repayment
$
1,000,000,000 Debt Obligation
$
4,676,779,986
Repayment
$
4,676,779,986
3/31/2011
Partial Repayment
$
50,000,000 Debt Obligation
$
935,805,085
Partial Repayment
$
45,000,000 Debt Obligation
$
890,805,085
Partial Repayment
$
15,887,795 Debt Obligation
$
874,917,290
Partial Repayment
$
1,496,500,945
Partial Repayment
$
1,464,690,823
Partial Repayment
$
1,413,554,739
Partial Repayment
$
1,369,197,029
Repayment
Repayment*
5/14/2010
Termination and settlement
20
payment
Motors
Liquidation
29
Debt Obligation
$
985,805,085
19
Chrysler Holding
20
Debt obligation w/
additional note
$ 3,500,000,000
5/10/2010
14
15
16
4/30/2010
17
Completion of bankruptcy
proceeding; transfer of
collateral security to
liquidation trust
$ (1,888,153,580)
N/A
23 Old Carco
Liquidation Trust
23
Right to recover
proceeds
N/A
$
$
$
$
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
Purchase
New Chrysler
Debt Obligation w/
Additional Note, Zero
Coupon Note, Equity
18
$
6,642,000,000
N/A
6/10/2009
Issuance of equity in New
Chrysler
$
-
N/A
Chrysler Group
LLC
19, 31 Debt obligation w/
additional note &
zero coupon note
$ 7,142,000,000
-
$
1,900,000,000
N/A
-
Repayment
$
280,130,642
N/A
Proceeds from sale of collateral
$
30,544,528
Total Treasury Investment Amount $
Footnotes appear on following page.
40,932,009,950
6.6%
$
Right to recover
proceeds
Right to recover
9,666,784
proceeds
Right to recover
7,844,409
proceeds
Proceeds from sale of collateral
$
$
5/24/2011
Repayment - Principal
$
Termination of undrawn facility 31
$
2,065,540,000
Repayment* - Additional Note
$
0
N/A
5,076,460,000
288,000,000
Repayment* - Zero Coupon Note
$
Disposition
$
560,000,000
34,859,229,021
403,000,000
N/A
N/A
N/A
$
0
100,000,000
7/21/2011
Total Payments $
81,344,932,551
Common equity
0
N/A
Additional Proceeds * $
Total Initial Investment Amount $
30
$
15,000,000
5/24/2011
Chrysler Group
LLC
Additional Note
1,369,197,029
5/24/2011
5/27/2009
0
$
5/24/2011
Chrysler
$
$
12/29/2010 Proceeds from sale of collateral
Auburn
Hills, MI
-
N/A
9
9
13
Par
1,000,000,000 Debt Obligation
$
32.04%
9
Farmington
Hills, MI
1/2/2009
$
9/9/2010
$
Partial Repayment
7/10/2009
7/10/2009
0
36.9%
60.8%
Detroit, MI
5/27/2009
1/21/2010
7/14/2009
N/A
6,711,864,407
7/14/2009
4,000,000,000
$
6/17/2009
$
360,624,198 Debt Obligation
3/17/2009
7/10/2009
1,761,495,577 Common Stock
5/18/2009
5
$
4/17/2009
Par
$
5/3/2011
4,000,000,000
Partial Repayment
4/5/2011
$
Exchange for preferred and
common stock in New GM
11,743,303,903 Common Stock
4/20/2010
General
Motors
Purchase
Debt Obligation w/
Additional Note
$
3/31/2010
5/20/2009
General Motors
Corporation
$
11/26/2010 Partial Disposition 25
7
12/15/2010 Repayment
12/18/2009 Partial Repayment
2,000,000,000
11/18/2010 Partial Disposition 25
7/10/2009
7/10/2009
N/A
-
As used in this table and its footnotes:
GMAC refers to GMAC Inc., formerly known as GMAC LLC., and now known as Ally Financial, Inc. ("Ally").
"Old GM" refers to General Motors Corporation, which is now known as Motors Liquidation Company.
"New GM" refers to General Motors Company, the company that purchased Old GM's assets on 7/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code. See also footnote 11.
"Chrysler FinCo" refers to Chrysler Financial Services Americas LLC.
"Chrysler Holding" refers to CGI Holding LLC, the company formerly known as "Chrysler Holding LLC".
"Old Chrysler" refers to Old Carco LLC (fka Chrysler LLC).
"New Chrysler" refers to Chrysler Group LLC, the company that purchased Old Chrysler's assets on 6/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code.
1. Payment amount does not include accrued and unpaid interest on a debt obligation, which must be paid at the time of principal repayment.
2. Treasury committed to lend General Motors Corporation up to $1,000,000,000. The ultimate funding was dependent upon the level of investor participation in GMAC LLC's rights offering. The amount has been updated to reflect the final level of funding.
3. Pursuant to its rights under the loan agreement with Old GM reported on 12/29/2008, Treasury exchanged its $884 million loan to Old GM for a portion of Old GM’s common equity interest in GMAC. Treasury held a 35.4% common equity interest in GMAC until the transactions reported on 12/30/2009. (See transactions marked by orange line in the table above and footnote 22.)
4. This transaction is an amendment to Treasury's 12/31/2008 agreement with Old GM (the "Old GM Loan"), which brought the total loan amount to $15,400,000,000.
5. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,400,000,000.
6. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,760,624,198. The $360,624,198 loan was used to capitalize GM Warranty LLC, a special purpose vehicle created by Old GM . On 7/10/2009, the principal amount was included in the $7.07 billion of debt assumed by the new GM, as explained in footnote 10.
7. On 7/10/2009, the principal amount outstanding under the Old GM Loan and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM. (See green lines in the table above.)
8. Under the terms of the $33.3 billion debtor-in-possession credit agreement dated 6/3/2009 with Old GM (the "GM DIP Loan"), Treasury's commitment amount was $30.1 billion. The remaining $2.2 billion of the financing was provided by Canadian government entities. As of 7/09/2009, $30.1 billion of funds had been disbursed by Treasury.
9. On 7/10/2009, Treasury and Old GM amended the GM DIP Loan, and the principal amount and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM, except for (i) $7.07 billion, which was assumed by New GM as a new obligation under the terms of a separate credit agreement between Treasury and New GM (see transactions
marked by green lines in table above) and (ii) $986 million, which remained a debt obligation of Old GM.
10. In total, for the exchange of the Old GM Loan and the GM DIP Loan (other than as explained in footnote 9), Treasury received $2.1 billion in preferred shares and 60.8% of the common shares of New GM. (See transactions marked by green lines in the table above.)
11. Pursuant to a corporate reorganization completed on or about 10/19/2009, the shareholders of New GM, including with respect to Treasury's preferred and common stock, became shareholders of General Motors Holding Company (the ultimate parent company of New GM), which was renamed "General Motors Company" on an equal basis to their shareholdings in New GM, and New GM was converted
to "General Motors LLC". General Motors LLC is a wholly owned subsidiary of General Motors Holdings LLC, and General Motors Holdings LLC is a wholly owned subsidiary of General Motors Company.
12. Pursuant to a corporate reorganization completed on 10/19/2009, Treasury's loan with New GM was assigned and assumed by General Motors Holdings LLC.
13. The loan was funded through Chrysler LB Receivables Trust, a special purpose vehicle created by Chrysler FinCo. The amount of $1,500,000,000 represents the maximum loan amount. The loan was incrementally funded until it reached the maximum amount of $1.5 billion on 4/9/2009.
14. This transaction was an amendment to Treasury's 1/2/2009 agreement with Chrysler Holding. As of 4/30/2009, Treasury's obligation to lend any funds committed under this amendment had terminated. No funds were disbursed.
15. The loan was used to capitalize Chrysler Warranty SPV LLC, a special purpose vehicle created by Old Chrysler.
16. This transaction was set forth in a credit agreement with Old Chrysler fully executed on 5/5/2009 following a term sheet executed on 5/1/2009 and made effective on 4/30/2009. Treasury's commitment was $3.04 billion of the total $4.1 billion debtor-in-possession credit facility (the "Chrysler DIP Loan"). As of 6/30/2009, Treasury's commitment to lend under the Chrysler DIP Loan had terminated. The
remaining principal amount reflects the final amount of funds disbursed under the Chrysler DIP Loan.
17. This transaction was an amendment to Treasury's commitment under the Chrysler DIP Loan, which increased Treasury's commitment by an amount $756,857,000 to a total of $3.8 billion under the Chrysler DIP Loan. As of 6/30/2009, Treasury's obligation to lend funds committed under the Chrysler DIP Loan had terminated.
18. This transaction, first reported based on a term sheet fully executed on 5/27/2009 for an amount up to $6.943 billion, was set forth in a credit agreement with New Chrysler fully executed on 6/10/2009. Under the terms of the credit agreement, Treasury made a new commitment to New Chrysler of up to $6.642 billion. The total loan amount is up to $7.142 billion including $500 million of debt assumed
on 6/10/2009 from Chrysler Holding originally incurred under Treasury's 1/2/2009 credit agreement with Chrysler Holding. The debt obligations are secured by a first priority lien on the assets of New Chrysler. When the sale to new Chrysler was completed, Treasury acquired the rights to 9.85% of the common equity in new Chrysler.
19. Pursuant to the agreement explained in footnote 18, $500 million of this debt obligation was assumed by New Chrysler.
20. Under loan agreement, as amended on 7/23/2009, Treasury was entitled to proceeds Chrysler Holdco received from Chrysler FinCo equal to the greater of $1.375 billion or 40% of the equity value of Chrysler FinCo. Pursuant to a termination agreement dated 5/14/2010, Treasury agreed to accept a settlement payment of $1.9 billion as satisfaction in full of all existing debt obligations (including
additional notes and accrued and unpaid interest) of Chrysler Holdco, and upon receipt of such payment to terminate all such obligations.
21. Amount of the Treasury investment exchange includes the exercised warrants from Treasury's initial investments.
22. Under the terms of an agreement dated 12/30/2009, the convertible preferred shares will mandatorily convert to common stock under the conditions and the conversion price as set forth in the terms of the agreement.
23. On April 30, 2010, the Plan of Liquidation for the debtors of Old Chrysler approved by the respective bankruptcy court became effective (the “Liquidation Plan”). Under the Liquidation Plan, the loan Treasury had provided to Old Chrysler was extinguished without repayment, and all assets of Old Chrysler were transferred to a liquidation trust. Treasury retained the right to recover the proceeds from the
liquidation from time to time of the specified collateral security attached to such loan.
24. On October 27, 2010, Treasury accepted an offer by General Motors Company (GM) to repurchase all of the approximately $2.1 billion preferred stock at a price per share of $25.50, which is equal to 102% of the liquidation preference, subject to the closing of the proposed initial public offering of GM’s common stock. The repurchase was completed on 12/15/2010.
25. On 11/17/2010, Treasury agreed to sell 358,546,795 shares of common stock at $32.7525 per share (which represents the $33 public sale price less underwriting discounts and fees) pursuant to an underwriting agreement. Following settlement, the net proceeds to Treasury were $11,743,303,903. On 11/26/2010, the underwriters exercised their option to purchase an additional 53,782,019 shares of
common stock from Treasury at the same purchase price resulting in additional proceeds of $1,761,495,577. Treasury's aggregate net proceeds from the sale of common stock pursuant to the underwriting agreement total $13,504,799,480.
26. On 12/30/2010, Treasury converted $5,500,000,000 of the total convertible preferred stock then outstanding and held by Treasury (including exercised warrants) into 531,850 shares of common stock of Ally. Following this conversion, Treasury holds $5,937,500,000 of convertible preferred stock.
27. On 3/1/2011, Treasury entered into an agreement with Ally Financial, Inc. (Ally) and certain other parties to amend and restate the $2,667,000,000 in aggregate liquidation preference of its Ally trust preferred securities so to facilitate a public underwritten offering. At the time of amendment and restatement, Treasury received all outstanding accrued and unpaid dividends and a distribution fee of
28. On 3/2/2011, Treasury entered into an underwritten offering for all of its Ally trust preferred securities, the proceeds of which were $2,638,830,000, which together with the distribution fee referred to in footnote 27, provided total disposition proceeds to Treasury of $2,667,000,000. This amount does not include the accumulated and unpaid dividends on the trust preferred securities from the date of the
amendment and restatement through but excluding the closing date that Treasury will receive separately at settlement.
29. On March 31, 2011, the Plan of Liquidation for Motors Liquidation Company (Old GM) became effective, Treasury’s $986 million loan to Old GM was converted to an administrative claim and the assets remaining with Old GM, including Treasury's liens on certain collateral and other rights attached to the loan, were transferred to liquidation trusts. Under the Plan of Liquidation, Treasury retained the
right to recover additional proceeds; however, any additional recovery is dependent on actual liquidation proceeds and pending litigation.
30. In June 2009, Treasury provided a $6.6 billion loan commitment to Chrysler Group LLC (as of March 31, 2011, $2.1 billion remained undrawn), and received a 9.9 percent equity ownership in Chrysler Group LLC (Chrysler). In January and April 2011, Chrysler met the first and second of three performance related milestones. As a result, Fiat’s ownership automatically increased from 20% to 30%, and
Treasury’s ownership was reduced to 8.6%. On May 24, 2011, Fiat, through the exercise of an equity call option, purchased an incremental 16% fully diluted ownership interest in Chrysler for $1.268 billion, reducing Treasury’s ownership to 6.6% (or 6.0% on a fully diluted basis). On July 21, 2011, Fiat, through the exercise of an equity call option, purchased Treasury’s ownership interest for $500 million.
In addition, Fiat paid $60 million to Treasury for its rights under an agreement with the UAW retirement trust pertaining to the trust's shares in Chrysler.
31 On May 24, 2011, Chrysler Group LLC terminated its ability to draw on the remaining $2.066 billion outstanding under this loan facility.
AUTOMOTIVE SUPPLIER SUPPORT PROGRAM
Seller
Footnote
Date
Name of Institution
City
State
Transaction Type
Investment
Description
Investment
Amount
Pricing Mechanism
Adjustment
Date
Adjustment Details
Adjustment
Adjusted or Final
Amount
Investment Amount
Date
Payment or Disposition4
Remaining Investment
Description
Type
2/11/2010
Partial
repayment
Partial
repayment
3/4/2010
Repayment5
4/5/2010
Payment
3/9/2010
Repayment
4/7/2010
Payment7
11/20/2009
1
4/9/2009
GM Supplier Receivables LLC
Wilmington
DE
Purchase
Debt Obligation w/
$ 3,500,000,000
Additional Note
7/8/2009
3
$ (1,000,000,000) $
$
2
4/9/2009
Chrysler Receivables SPV LLC
INITIAL TOTAL
$
5,000,000,000
Wilmington
DE
Purchase
ADJUSTED TOTAL
$
413,076,735
7/8/2009
3
$ (500,000,000)
290,000,000
$
1,000,000,000
$
6
Debt Obligation w/
$ 1,500,000,000
Additional Note
2,500,000,000
N/A
123,076,735
N/A
7
Total Repayments
$
413,076,735
Amount
Debt Obligation w/ Additional Note
5
140,000,000
$
100,000,000
Additional Note
$
50,000,000
None
6
$
Debt Obligation w/ Additional Note
$
56,541,893
Additional Note
$
123,076,735
None
$
44,533,054
Total Proceeds from Additional Notes
$
101,074,947
1/ The loan was funded through GM Supplier Receivables, LLC, a special purpose vehicle created by General Motors Corporation. The amount of $3,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/3/2009. General Motors Company assumed GM Supplier
2/ The loan was funded through Chrysler Receivables SPV LLC, a special purpose vehicle created by Chrysler LLC. The amount of $1,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/7/2009. Chrysler Group LLC assumed Chrysler Receivables SPV LLC on
3/ Treasury issued notice to the institution of the permanent reduced commitment on 7/8/2009; the reduction was effective on 7/1/2009.
4/ Does not include accrued and unpaid interest due on the amount of principal repayment, which interest must be paid at the time of principal repayment.
5/ All outstanding principal drawn under the credit agreement was repaid.
6/ Treasury's commitment was $2.5 billion (see note 3). As of 4/5/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under the loan, all of which have been repaid.
7/ Treasury's commitment was $1 billion (see note 3). As of 4/7/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under the loan, all of which have been repaid.
TARGETED INVESTMENT PROGRAM
Seller
Footnote
Date
Name of Institution
City
State
Transaction
Type
12/31/2008 Citigroup Inc.
Bank of America
1/16/2009 Corporation
New York
NY
Purchase
Charlotte
NC
Purchase
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Investment Description
Trust Preferred Securities
w/ Warrants
Preferred Stock w/
Warrants
$
20,000,000,000
Par
12/23/2009
$
20,000,000,000
Par
$
Capital Repayment
Amount
12/9/2009
TOTAL
1
Treasury Investment Remaining After Capital
Repayment
Capital Repayment Details
2
Remaining
Capital Amount
Remaining Capital
Description
Final Disposition
Final
Disposition
Description
Final Disposition Date 3
Final Disposition
Proceeds
$
20,000,000,000
$
0
Warrants
1/25/2011
A
Warrants
$
190,386,428
$
20,000,000,000
$
0
Warrants
3/3/2010
A
Warrants
$
1,255,639,099
$
40,000,000,000
$
1,446,025,527
2
40,000,000,000
TOTAL CAPITAL REPAYMENT
TOTAL TREASURY TIP INVESTMENT AMOUNT
$
Total Warrant Proceeds
0
1/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock,
Series I (TIP Shares) “dollar for dollar” for Trust Preferred Securities.
2/ Repayment pursuant to Title VII, Section 7001 of the American Recovery and Reinvestment Act of 2009.
3/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution, and "A" represents the proceeds to Treasury, before underwriting fees and selling expenses, from a sale by Treasury in a registered public offering of the warrants issued by the financial institution.
ASSET GUARANTEE PROGRAM
Initial Investment
Footnote
Date
Seller
Name of Institution
City
State
Type
New York
NY
Guarantee
Premium
3
12/23/2009 Citigroup Inc.
New York
NY
Termination
Master Agreement
Termination Agreement
TOTAL
$
$
$
5,000,000,000
Description
Preferred Stock
w/ Warrants
Amount
Exchange/Transfer/Other Details
$
Date
6/9/2009
4,034,000,000
4
9/29/2010
Type
Description
Exchange preferred stock for Trust Preferred
trust preferred securities
Securities w/ Warrants
Payment or Disposition
Exchange trust preferred
securities for trust preferred
securities
Trust Preferred
Securities w/ Warrants
Amount
Footnote
Date
Remaining Premium
Description
Trust Preferred
$ (1,800,000,000) Securities w/ Warrants
$2,234,000,000
$
0
$
0
$
4,034,000,000
3
Type
Partial cancellation for early
12/23/2009 termination of guarantee
$
2,246,000,000
5
9/30/2010 Disposition
$ 2,246,000,000
1/25/2011 Warrant Auction
1/16/2009 Citigroup Inc.
Guarantee Limit
Footnote
2
1
Description
$
Remaining
Premium
Amount
Warrants
67,197,045 None
(5,000,000,000)
0
Total Proceeds
$ 2,313,197,045
1/ In consideration for the guarantee, Treasury received $4.03 billion of preferred stock, which pays 8% interest.
2/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock Series G (AGP Shares), received as premium with the AGP agreement, “dollar for dollar” for Trust Preferred
Securities.
3/ On 12/23/2009, Treasury entered into a Termination Agreement with the other parties to the Master Agreement which served to terminate Treasury’s guarantee and obligations under the Master Agreement. In connection with the early termination of the guarantee, Treasury agreed to cancel $1.8 billion of the AGP Trust Preferred Securities, and the Federal Deposit Insurance Corporation (FDIC) and Treasury agreed that, subject to the
conditions set out in the Termination Agreement, the FDIC may transfer $800 million of Trust Preferred Securities to Treasury at the close of Citigroup’s participation in the FDIC’s Temporary Liquidity Guarantee Program.
4/ On 9/29/2010, Treasury entered into an agreement with Citigroup Inc. to exchange $2,234,000,000 in aggregate liquidation preference of its trust preferred securities for $2,246,000,000 in aggregate liquidation preference of trust preferred securities with certain modified terms. At the time of exchange, Citigroup Inc. paid the outstanding accrued and unpaid dividends.
5/ On 9/30/2010, Treasury entered into underwritten offering of the trust preferred securities, the gross proceeds of which do not include accumulated and unpaid distributions from the date of the exchange through the closing date.
AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM
(formerly referred to as Systemically Significant Failing Institutions Program)
Seller
Note
1
11/25/2008
Name of Institution
Date
2, 3
4/17/2009
AIG
Purchase Details
City
New York
AIG
New York
Transaction
Type
State
NY
NY
Purchase
Purchase
Exchange/Transfer Details
Investment Amount
Investment Description
Preferred Stock w/ Warrants
(Series D)
$
Preferred Stock w/ Warrants
(Series F)
40,000,000,000
$
Date
Par
29,835,000,000
Par
2
Transaction Type
4/17/2009
Pricing Mechanism
Exchange
Amount
Investment Description
Preferred Stock w/ Warrants
(Series E)
1
Pricing
Mechanism
$ 40,000,000,000
Par
See table below for exchange/transfer details in connection with the recapitalization conducted on 1/14/2011.
Final Disposition
TOTAL
$
Date
69,835,000,000
Pricing
Mechanism
Proceeds
Transaction Type
Investment
Warrants (Series E)
Warrants (Series F)
Total
1/ On 4/17/2009, Treasury exchanged its Series D Fixed Rate Cumulative Preferred Shares for Series E Fixed Rate Non-Cumulative Preferred Shares with no change to Treasury's initial investment amount. In addition, in order for AIG to fully redeem the Series E Preferred Shares, it had an additional obligation to Treasury of $1,604,576,000 to reflect the
cumulative unpaid dividends for the Series D Preferred Shares due to Treasury through and including the exchange date.
2/ The investment amount reflected Treasury's commitment to invest up to $30 billion less a reduction of $165 million representing retention payments AIG Financial Products made to its employees in March 2009.
3/ This transaction does not include AIG's commitment fee of an additional $165 million paid from its operating income over the life of the facility. A $55 million payment was received by Treasury on 12/17/2010. The remaining $110 million payment was received by Treasury on 05/27/2011.
AIG POST-RECAPITALIZATION
Recapitalization
Note
Date
Investment Description
Treasury Holdings Post-Recapitalization
Transaction Type
Pricing Mechanism
Exchange
Par
Final Disposition
Investment Description
Date
Amount / Shares
Transaction Type
Proceeds
Pricing
Mechanism
8
AIA Preferred Units
$
$
2,000,000,000
16,916,603,568
7
5/27/2011
Cancellation
$
2/14/2011
Preferred Stock (Series G)
Payment
$
185,726,192
-
N/A
1/14/2011
Preferred Stock (Series F)
Exchange
ALICO Junior Preferred Interests
Exchange
5
6
1/14/2011
1/14/2011
Preferred Stock (Series E)
Common Stock (non-TARP)
Exchange
Transfer
$
3,375,328,432
7
3/8/2011
Payment
$
5,511,067,614
Par
3/15/2011
N/A
Payment
$
55,833,333
Common Stock
924,546,133
562,868,096
-
10
2/14/2011
Payment
$
2,009,932,072
Par
Payment
$
1,383,888,037
Partial Disposition
$
5,800,000,000
N/A
8
$
8
Par
5/24/2011
$ 11,163,976,429
Par
167,623,733
N/A
$
Par
3/8/2011
4
Remaining Recap
Investment Amount,
Shares, or Equity %
0
1,455,037,962
77%
Total
$
14,946,447,248
4/ On 1/14/2011, (A) Treasury exchanged $27,835,000,000 of Treasury's investment in AIG's Fixed Rate Non-Cumulative Perpetual Preferred Stock (Series F) which is equal to the amount funded (including amounts drawn at closing) under the Series F equity capital facility, for (i) the transferred SPV preferred interests and (ii) 167,623,733 shares of AIG
Common Stock, and (B) Treasury exchanged $2,000,000,000 of undrawn Series F for 20,000 shares of preferred stock under the new Series G Cumulative Mandatory Convertible Preferred Stock equity capital facility under which AIG has the right to draw up to $2,000,000,000.
5/ On 1/14/2011, Treasury exchanged an amount equivalent to the $40 billion initial investment plus capitalized interest from the April 2009 exchange (see note 1 above) of Fixed Rate Non-Cumulative Perpetual Preferred Stock (Series E) for 924,546,133 shares of AIG Common Stock.
6/ On 1/14/2011, Treasury received 562,868,096 shares of AIG Common Stock from the AIG Credit Facility Trust, which trust was established in connection with the credit facility between AIG and the Federal Reserve Bank of New York. This credit facility was repaid and terminated pursuant to this recapitalization transaction. The trust had received
562,868,096 shares of AIG common stock in exchange for AIG's Series C Perpetual, Convertible Participating Preferred Stock, which was previously held by the trust for the benefit of the U.S. Treasury.
7/ The amount of Treasury's AIA Preferred Units and ALICO Junior Preferred Interests holdings do not reflect preferred returns on the securities that accrue quarterly.
8/ Proceeds include amounts applied to pay (i) accrued preferred returns and (ii) redeem the outstanding liquidation amount.
9/ On 5/27/2011, Treasury completed the sale of 200,000,000 shares of common stock at $29.00 per share for an aggregate amount equal to $5,800,000,000, pursuant to an underwriting agreement executed on 05/24/2011.
10/ On 5/27/2011, pursuant to the terms of the agreements governing the Preferred Stock (Series G), the available amount of the Preferred Stock (Series G) was reduced to $0 as a result of AIG’s primary offering of its common stock and the Preferred Stock (Series G) was cancelled.
9
CONSUMER AND BUSINESS LENDING INITIATIVE INVESTMENT PROGRAM
Seller
Footnote
Date
1
3/3/2009
Name of Institution
City
State
Transaction
Type
Investment Description
DE
Purchase
Debt Obligation w/ Additional Note
Investment Amount
Pricing Mechanism
Adjusted Investment
Date
Amount
2
TALF LLC
Wilmington
TOTAL
$
20,000,000,000
$
N/A
7/19/2010
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.
$
4,300,000,000
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 2021
Floating Rate SBA 7a security due 2029
Floating Rate SBA 7a security due 2026
Floating Rate SBA 7a security due 2035
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2035
Total Purchase Face Amount
Final Disposition
Settlement Details
Purchase Face
3
Amount
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
4,070,000
7,617,617
8,030,000
23,500,000
8,900,014
10,751,382
12,898,996
8,744,333
8,417,817
17,119,972
34,441,059
28,209,085
6,004,156
6,860,835
13,183,361
2,598,386
9,719,455
8,279,048
5,000,000
10,000,000
9,272,482
10,350,000
6,900,000
8,902,230
8,050,000
5,750,000
5,741,753
3,450,000
11,482,421
13,402,491
14,950,000
$
Investment Amount
Pricing Mechanism
TBA or
PMF3
Settlement Date
107.75
109
108.875
110.502
107.5
106.806
109.42
110.798
110.125
109.553
110.785
112.028
106.625
108.505
111.86
108.4375
106.75
110.198
110.088
110.821
110.515
112.476
105.875
111.584
110.759
106.5
110.5
110.875
113.838
113.9
114.006
-
3/24/2010
3/24/2010
3/24/2010
5/28/2010
4/30/2010
6/30/2010
6/30/2010
6/30/2010
7/30/2010
7/30/2010
8/30/2010
8/30/2010
9/30/2010
9/30/2010
9/30/2010
9/30/2010
10/29/2010
9/30/2010
10/29/2010
10/29/2010
9/29/2010
10/29/2010
11/30/2010
10/29/2010
11/30/2010
11/30/2010
11/30/2010
11/30/2010
12/30/2010
11/30/2010
12/30/2010
332,596,893
2, 3
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2,184
4,130
4,348
12,983
4,783
5,741
7,057
4,844
4,635
9,377
19,077
15,801
3,200
3,722
7,373
1,408
5,187
4,561
2,752
5,541
5,123
5,820
3,652
4,966
4,458
3,061
3,172
1,912
6,535
7,632
8,521
183,555
$
4,377,249
8,279,156
8,716,265
26,041,643
9,598,523
11,511,052
14,151,229
9,717,173
9,294,363
18,801,712
38,273,995
31,693,810
6,416,804
7,462,726
14,789,302
2,826,678
10,394,984
9,150,989
5,520,652
11,115,031
10,277,319
11,672,766
7,319,688
9,962,039
8,940,780
6,134,172
6,361,173
3,834,428
13,109,070
15,308,612
17,092,069
Senior Security
Proceeds 4
Total Senior Security Proceeds $
TOTAL INVESTMENT AMOUNT
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
TBA or
PMF3
-
368,145,452 *
Trade Date
6
PMF
Purchase Face
Amount 3
Life-to-date
Principal
Received 1, 8
Current Face
Amount 6, 8
Disposition
Amount 5, 6
6/21/2011
-
$
4,070,000
$
3,151,186
$
902,633
$
3,457,746
6/21/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
-
$
$
$
$
$
$
$
8,030,000
23,500,000
8,900,014
10,751,382
12,898,996
8,744,333
8,417,817
$
$
$
$
$
$
$
5,964,013
22,350,367
6,542,218
9,819,270
12,570,392
8,483,188
8,171,159
$
$
$
$
$
$
$
2,022,652
1,149,633
2,357,796
932,112
328,604
261,145
246,658
$
$
$
$
$
$
$
6,555,383
25,039,989
7,045,774
10,550,917
13,886,504
9,482,247
8,985,818
6/21/2011
-
$
34,441,059
$
32,656,125
$
1,784,934
$
36,072,056
6/21/2011
-
$
6,004,156
$
5,656,049
$
348,107
$
6,051,772
6/21/2011
-
$
13,183,361
$
12,704,841
$
478,520
$
14,182,379
6/21/2011
-
$
9,719,455
$
9,531,446
$
188,009
$
10,223,264
Disposition Proceeds
$
TOTAL PROGRAM PROCEEDS TO DATE7 $
183,558,935 *
* Subject to adjustment
1/ The amortizing principal and interest payments are reported on the monthly Dividends and Interest Report available at www.FinancialStability.gov.
2/ Investment Amount is stated after applying the appropriate month's factor and includes accrued interest paid at settlement, if applicable.
3/ If a purchase is listed as TBA, or To-Be-Announced, the underlying loans in the SBA Pool have yet to come to market, and the TBA pricing mechanism, purchase face amount, investment amount and senior security proceeds will be adjusted within the variance permitted under the program terms.
If a purchase is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security and senior security are priced according to the prior-month's factor. The PMF investment amount and senior security proceeds will be adjusted
after publication of the applicable month's factor (on or about the 11th business day of each month).
4/ In order to satisfy the requirements under Section 113 of the Emergency Economic Stabilization Act of 2008, Treasury will acquire a senior indebtedness instrument (a Senior Security) from the seller of each respective SBA 7a Security. Each Senior Security will (i) have an aggregate principal
amount equal to the product of (A) 0.05% and (B) the Investment Amount (excluding accrued interest) paid by Treasury for the respective SBA 7a Security, and (ii) at the option of the respective seller, may be redeemed at par value immediately upon issuance, or remain outstanding with the terms
and conditions as set forth in the Master Purchase Agreement.
5/ Disposition Amount is stated after applying the appropriate month's factor and includes accrued interest received at settlement, if applicable. If the disposition is listed as PMF, the disposition amount will be adjusted after publication of the applicable month's factor.
6/ If a disposition is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security is priced according to the prior-month's factor. The PMF disposition amount will be adjusted after publication of the applicable month's factor
(on or about the 11th business day of each month).
7/ Total Program Proceeds To Date includes life-to-date disposition proceeds, life-to-date principal received, life-to-date interest received, and senior security proceeds (excluding accruals).
8/ The sum of Current Face Amount and Life-to-date Principal Received will equal Purchase Face Amount only after the applicable month's factor has been published and trailing principal & interest payments have been received.
151,533,849 *
LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)
Seller
Footnote
Date
1
9/30/2009
Name of Institution
Adjusted Investment
City
Transaction
State
Type
Purchase
Investment Description
Pricing
Investment Amount Mechanism
Date
3
Amount
2
9/30/2009
UST/TCW Senior Mortgage Securities Fund, L.P.
Wilmington
Wilmington
DE
DE
Purchase
Membership Interest
Debt Obligation w/ Contingent Proceeds
$
$
1,111,111,111
2,222,222,222
Par
Par
1/4/2010
1/4/2010
4
Date
Amount
4 $
4
$
156,250,000
7
200,000,000
4 $
156,250,000
Capital Repayment Details
Repayment
Date
Investment After Capital Repayment
Repayment
Amount
Amount
Description
Distribution or Disposition
Date
200,000,000
1/15/2010
$
156,250,000
$
1/11/2010
$
34,000,000
$
1/12/2010
$
166,000,000
$
0
Membership Interest
5
Description
Distribution
Final Distribution
Debt Obligation w/
166,000,000 Contingent Proceeds
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
Membership Interest
1,111,111,111
Par
3/22/2010 6 $
1,244,437,500
7/16/2010
$
$
2,222,222,222
Par
3/22/2010 6
$ 2,488,875,000
7/16/2010
$
1,712,000,000
7/16/2010
$
31,689,230
$
$
27,355,590
$
$
92,300,138
$
$
128,027,536
$
$
155,409,286
$
$
75,085,485
$
$
18,259,513
$
$
62,979,809
$
5/16/2011 $
30,244,575
$
6/14/2011 $
1,262,037,500
$
$
7/15/2011
3/22/2010 6 $
132,928,628
6/14/2011
Par
$
$
5/20/2011
1,111,111,111
$
60,022,674
4/14/2011
$
7,066,434
$
3/14/2011
Membership Interest
$
2/14/2011
Purchase
$
1/14/2010
DE
5
502,302
$
1,223
$
$
20,644,319
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
Debt Obligation w/
1,507,093,546 Contingent Proceeds
Debt Obligation w/
1,475,404,316 Contingent Proceeds
Debt Obligation w/
1,448,048,726 Contingent Proceeds
Debt Obligation w/
1,355,748,588 Contingent Proceeds
Debt Obligation w/
1,227,721,052 Contingent Proceeds
Debt Obligation w/
1,072,311,766 Contingent Proceeds
Debt Obligation w/
997,226,281 Contingent Proceeds
Debt Obligation w/
978,966,768 Contingent Proceeds
Debt Obligation w/
915,986,960 Contingent Proceeds
4,888,718
12/14/2010
Wilmington
Final Distribution
Contingent Proceeds
11/15/2010
Wellington Management Legacy Securities PPIF Master Fund, LP
2/18/2010
9/15/2010
10/1/2009
48,922
856,000,000
4/15/2010
1
Debt Obligation w/ Contingent Proceeds
$
20,091,872
$
$
5
5
Distribution
2/24/2010
1
$
N/A
1/29/2010
0
Proceeds
5
1/29/2010
2/24/2010
UST/TCW Senior Mortgage Securities Fund, L.P.
$
Final Investment Amount
88,087
$
Debt Obligation w/
2,270,602,425 Contingent Proceeds
Debt Obligation w/
2,270,514,339 Contingent Proceeds
5/13/2011 $
13,531,530
$
Debt Obligation w/
1,227,624,986 Contingent Proceeds
7/15/2011 $
79,000,000
$
Debt Obligation w/
2,242,568,200 Contingent Proceeds
1,149,487,000
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
2,486,550,000
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
$
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
FINAL INVESTMENT AMOUNT
$
22,406,483,574
INITIAL INVESTMENT AMOUNT
TOTAL CAPITAL REPAYMENT AMOUNT $
1,275,127,231
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.
HOME AFFORDABLE MODIFICATION PROGRAM
Servicer Modifying Borrowers' Loans
Name of Institution
Date
4/13/2009
Select Portfolio Servicing
City
Salt Lake City
State
Transaction
Type
UT
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
$
376,000,000
N/A
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
6/12/2009
$
284,590,000
$
9/30/2009
$
121,910,000
$
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
$
691,000,000 Initial FHA-HAMP cap and initial FHA-2LP cap
9/30/2010
$
59,807,784
$
750,807,784 Updated portfolio data from servicer
11/16/2010
$
12/15/2010
$
1/6/2011
(700,000) $
750,107,784 Transfer of cap due to servicing transfer
2,071,000,000
N/A
$
100,000
$
812,307,145 Transfer of cap due to servicing transfer
$
3,600,000
$
$
(735) $
815,907,145 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
815,906,410 reallocation
$
(100,000) $
815,806,410 Transfer of cap due to servicing transfer
$
400,000
816,206,410 Transfer of cap due to servicing transfer
$
(100,000) $
6/29/2011
$
(2,300,000) $
6/16/2011
Financial Instrument for Home Loan Modifications
$
5/13/2011
Purchase
814,507,145 Updated portfolio data from servicer
4/13/2011
MO
(639) $
3/30/2011
O'Fallon
$
3/16/2011
CitiMortgage, Inc.
814,507,784 Updated portfolio data from servicer
2/16/2011
4/13/2009
$
1/13/2011
Select Portfolio Servicing
64,400,000
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
$
(6,805) $
6/12/2009
$
9/30/2009
$
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
$
1,123,677,484 Updated portfolio data from servicer
$
(991,580,000) $
1,010,180,000
$
812,207,145 Transfer of cap due to servicing transfer
816,106,410 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
816,099,605 reallocation
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
Servicer Modifying Borrowers' Loans
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
(1,400,000) $
1,122,277,484 Transfer of cap due to servicing transfer
$
(3,200,000) $
1,119,077,484 Transfer of cap due to servicing transfer
$
(981) $
1/13/2011
$
(10,500,000) $
1,108,576,503 Transfer of cap due to servicing transfer
2/16/2011
$
(4,600,000) $
1,103,976,503 Transfer of cap due to servicing transfer
3/16/2011
$
(30,500,000) $
3/30/2011
$
(1,031) $
4/13/2011
$
5/13/2011
Note
$
1/6/2011
Investment Description
Cap Adjustment Amount
11/16/2010
City
Adjustment
Date
10/15/2010
Name of Institution
Date
Transaction
State
Type
Reason for Adjustment
1,119,076,503 Updated portfolio data from servicer
1,073,476,503 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,073,475,472 reallocation
Wells Fargo Bank, NA
IA
Purchase
Financial Instrument for Home Loan Modifications
$
2,873,000,000
N/A
$
(7,200,000) $
1,066,375,472 Transfer of cap due to servicing transfer
$
(400,000) $
$
(9,131) $
7/14/2011
Des Moines
1,073,575,472 Transfer of cap due to servicing transfer
6/29/2011
4/13/2009
$
6/16/2011
CitiMortgage, Inc.
100,000
Adjusted Cap
$
(14,500,000) $
6/17/2009
$
(462,990,000) $
1,065,975,472 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,065,966,341 reallocation
1,051,466,341 Transfer of cap due to servicing transfer
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,
5,108,351,172 and initial RD-HAMP
12/3/2010
$
8,413,225
$
5,116,764,397 Transfer of cap (from Wachovia) due to merger
12/15/2010
$
22,200,000
$
5,138,964,397 Updated portfolio data from servicer
1/6/2011
$
(6,312) $
5,138,958,085 Updated portfolio data from servicer
1/13/2011
$
(100,000) $
5,138,858,085 Transfer of cap due to servicing transfer
3/16/2011
$
(100,000) $
3/30/2011
$
(7,171) $
5,138,758,085 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,138,750,914 reallocation
4/13/2011
$
(9,800,000) $
5/13/2011
$
100,000
6/16/2011
$
(600,000) $
6/29/2011
$
(63,856) $
$
5,128,950,914 Transfer of cap due to servicing transfer
5,129,050,914 Transfer of cap due to servicing transfer
5,128,450,914 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,128,387,058 reallocation
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Wells Fargo Bank, NA
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
$
407,000,000
N/A
1,880,000
$
$
(881,530,000) $
1,185,900,000 Updated portfolio data from servicer
$
(3,700,000) $
$
119,200,000
$
1,182,200,000 Transfer of cap due to servicing transfer
Initial FHA-HAMP cap, initial FHA-2LP cap,
1,301,400,000 and initial 2MP cap
$
216,998,139
$
1,518,398,139 Updated portfolio data from servicer
$
(500,000) $
1,517,898,139 Updated portfolio data from servicer
$
(1,734) $
1,517,896,405 Updated portfolio data from servicer
$
(100,000) $
$
(2,024) $
$
(800,000) $
$
(17,900,000) $
$
(18,457) $
7/14/2011
Financial Instrument for Home Loan Modifications
$
2,065,550,000 Updated portfolio data from servicer
Transfer of cap from Wilshire Credit
2,067,430,000 Corporation due to servicing transfer
6/29/2011
Purchase
$
5/13/2011
TX
190,180,000
4/13/2011
Irving
$
3/30/2011
Saxon Mortgage Services, Inc.
(1,679,520,000) $
3/16/2011
4/13/2009
$
1/6/2011
GMAC Mortgage, Inc.
$
12/15/2010
N/A
2,537,240,000
9/30/2010
633,000,000
$
9/30/2010
$
$
8/13/2010
Financial Instrument for Home Loan Modifications
384,650,000
7/14/2010
Purchase
$
5/14/2010
PA
6/12/2009
3/26/2010
Ft. Washington
$
12/30/2009
GMAC Mortgage, Inc.
7/14/2011
9/30/2009
4/13/2009
(2,300,000) $
Reason for Adjustment
5,126,087,058 Transfer of cap due to servicing transfer
$
(200,000) $
6/17/2009
$
225,040,000
$
9/30/2009
$
254,380,000
$
12/30/2009
$
355,710,000
$
3/26/2010
$
(57,720,000) $
6/16/2010
$
(156,050,000) $
7/14/2010
$
(513,660,000) $
7/16/2010
$
(22,980,000) $
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
1,017,650,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
3,554,890,000 initial cap
Updated portfolio data from servicer & HAFA
1,875,370,000 initial cap
1,517,796,405 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,517,794,381 reallocation
1,516,994,381 Transfer of cap due to servicing transfer
1,499,094,381 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,499,075,924 reallocation
1,498,875,924 Transfer of cap due to servicing transfer
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
1,184,410,000 Updated portfolio data from servicer
Transfer of cap to Ocwen Financial
1,028,360,000 Corporation, Inc. due to servicing transfer
514,700,000 Updated portfolio data from servicer
Transfer of cap due to multiple servicing
491,720,000 transfers
9/30/2010
$
116,222,668
$
619,542,668 Updated portfolio data from servicer
10/15/2010
$
100,000
$
619,642,668 Transfer of cap due to servicing transfer
12/15/2010
$
8,900,000
$
628,542,668 Updated portfolio data from servicer
1/6/2011
$
(556) $
628,542,112 Updated portfolio data from servicer
1/13/2011
$
2,300,000
$
630,842,112 Transfer of cap due to servicing transfer
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
3/16/2011
West Palm Beach
FL
Purchase
Financial Instrument for Home Loan Modifications
$
659,000,000
N/A
$
102,580,000
$
$
277,640,000
$
$
46,860,000
$
$
156,050,000
$
$
(191,610,000) $
$
9/30/2010
Ocwen Financial Corporation, Inc.
(105,620,000) $
9/15/2010
4/16/2009
2
$
7/16/2010
N/A
6/12/2009
7/14/2010
3,552,000,000
(3,552,000,000) $
6/16/2010
$
$
3/26/2010
Financial Instrument for Home Loan Modifications
7/31/2009
12/30/2009
Purchase
$
9/30/2009
NJ
$
7/14/2011
Iselin
$
6/29/2011
Chase Home Finance, LLC
$
4/13/2011
4/13/2009
$
3/30/2011
Saxon Mortgage Services, Inc.
700,000
Adjusted Cap
$
(654) $
2,100,000
$
(6,144) $
200,000
$
Reason for Adjustment
631,542,112 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
631,541,458 reallocation
633,641,458 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
633,635,314 reallocation
633,835,314 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
1,136,510,000 Services, Inc. due to servicing transfer
$
1,864,000,000
N/A
(10,044) $
6/12/2009
$
5,540,000
$
$
162,680,000
$
$
665,510,000
$
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
$
800,390,000
$
2,433,020,000 Initial 2MP cap
$
(829,370,000) $
1,603,650,000 Updated portfolio data from servicer
$
(366,750,000) $
$
95,300,000
$
1,236,900,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap,
1,332,200,000 and initial RD-HAMP
$
222,941,084
$
1,555,141,084 Updated portfolio data from servicer
$
(2,199) $
$
(2,548) $
6/29/2011
Financial Instrument for Home Loan Modifications
$
3/30/2011
Purchase
(1,114) $
1/6/2011
CA
$
9/30/2010
Simi Valley
$
9/30/2010
4/17/2009 as Countrywide Home Loans Servicing LP
amended on
$
7/14/2010
Bank of America, N.A.
$
3/26/2010
N/A
170,800,000
1/26/2010
798,900,000
$
12/30/2009
$
972,452,740 Updated portfolio data from servicer
9/30/2009
Financial Instrument for Home Loan Modifications
968,710,000 Initial FHA-HAMP cap
$
6/29/2011
Purchase
$
3,742,740
3/30/2011
CA
100,000
$
2/16/2011
Simi Valley
$
1/6/2011
4/17/2009 as Bank of America, N.A.
amended on
1/26/2010
$
10/15/2010
Ocwen Financial Corporation, Inc.
23,710,000
944,900,000 Updated portfolio data from servicer
Transfer of cap from Saxon Mortgage
968,610,000 Services, Inc. due to servicing transfer
$
(23,337) $
6/12/2009
$
(1,020) $
900,000
3,318,840,000
$
$
1,143,252,740 Transfer of cap due to servicing transfer
1,143,251,720 Updated portfolio data from servicer
1,144,151,720 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,144,150,606 reallocation
Updated due to quarterly assessment and
1,144,140,562 reallocation
1,555,138,885 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,555,136,337 reallocation
Updated due to quarterly assessment and
1,555,113,000 reallocation
5,182,840,000 Updated portfolio data from servicer
Servicer Modifying Borrowers' Loans
Date
amended on
1/26/2010
Name of Institution
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
9/30/2009
12/30/2009
$
$
10,280,000
$
$
286,510,000
$
8,111,310,000 Updated portfolio data from servicer
Transfer of cap from Wilshire Credit
8,121,590,000 Corporation due to servicing transfer
Transfer of cap from Wilshire Credit
8,408,100,000 Corporation due to servicing transfer
$
(1,787,300,000) $
$
105,500,000
$
(614,527,362) $
6,111,772,638 Updated portfolio data from servicer
$
236,000,000
$
6,347,772,638 Updated portfolio data from servicer
$
(8,012) $
6,347,764,626 Updated portfolio data from servicer
2/16/2011
$
1,800,000
$
6,349,564,626 Transfer of cap due to servicing transfer
3/16/2011
$
100,000
$
3/30/2011
$
6,349,664,626 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,349,655,436 reallocation
4/13/2011
$
200,000
$
6,349,855,436 Transfer of cap due to servicing transfer
5/13/2011
$
300,000
$
6,350,155,436 Transfer of cap due to servicing transfer
6/16/2011
$
(1,000,000) $
6/29/2011
$
(82,347) $
7/14/2011
N/A
905,010,000
1/6/2011
319,000,000
$
12/15/2010
$
7,206,300,000 Initial 2MP cap
9/30/2010
Financial Instrument for Home Loan Modifications
$
9/30/2010
Purchase
450,100,000
7/14/2010
PA
$
6/16/2010
Pittsburgh
$
4/19/2010
Home Loan Services, Inc.
2,290,780,000
3/26/2010
4/20/2009
$
1/26/2010
Countrywide Home Loans Servicing LP
$
Updated portfolio data from servicer & HPDP
4,465,420,000 initial cap
Updated portfolio data from servicer & HAFA
6,756,200,000 initial cap
$
(200,000) $
6/12/2009
$
128,300,000
$
9/30/2009
$
46,730,000
$
12/30/2009
$
145,820,000
$
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
$
9/30/2010
$
(77,126,410) $
478,973,590 Updated portfolio data from servicer
12/15/2010
$
(314,900,000) $
164,073,590 Updated portfolio data from servicer
164,073,357 Updated portfolio data from servicer
(717,420,000) $
$
(9,190) $
6,700,000
$
1/6/2011
$
(233) $
2/16/2011
$
(1,900,000) $
3/16/2011
$
(400,000) $
3/30/2011
$
(278) $
5/13/2011
$
(400,000) $
6,620,800,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap,
6,726,300,000 and initial RD-HAMP
6,349,155,436 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,349,073,089 reallocation
6,348,873,089 Transfer of cap due to servicing transfer
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
556,100,000 Initial FHA-2LP cap
162,173,357 Transfer of cap due to servicing transfer
161,773,357 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
161,773,079 reallocation
161,373,079 Transfer of cap due to servicing transfer
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Home Loan Services, Inc.
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
$
(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
$
(100,000) $
95,990,000 Transfer of cap due to servicing transfer
$
$
$
(294) $
$
(2,779) $
6/17/2009
$
(64,990,000) $
$
130,780,000
$
$
13,080,000
$
118,120,000 Updated portfolio data from servicer
$
(24,220,000) $
$
210,000
$
93,900,000 Updated portfolio data from servicer
Transfer of cap from Wilshire Credit
94,110,000 Corporation due to servicing transfer
$
2,200,000
$
96,310,000 Transfer of cap due to servicing transfer
9/10/2010
$
34,600,000
$
130,910,000 Initial 2MP cap
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
$
147,095,090 Transfer of cap due to servicing transfer
1/6/2011
$
3/30/2011
$
5/13/2011
$
1,200,000
$
148,294,627 Transfer of cap due to servicing transfer
6/16/2011
$
100,000
$
6/29/2011
Green Tree Servicing LLC
$
8/13/2010
N/A
(286,510,000) $
7/16/2010
156,000,000
$
7/14/2010
$
(1,880,000) $
3/26/2010
Financial Instrument for Home Loan Modifications
$
12/30/2009
Purchase
(10,280,000) $
9/30/2009
MN
$
6/29/2011
Saint Paul
$
3/30/2011
Green Tree Servicing LLC
52,270,000
1/6/2011
4/24/2009
$
9/30/2010
Wilshire Credit Corporation
$
8/13/2010
N/A
119,700,000
7/16/2010
366,000,000
$
7/14/2010
$
(249,670,000) $
6/16/2010
Financial Instrument for Home Loan Modifications
$
5/14/2010
Purchase
$
4/19/2010
OR
6/12/2009
3/26/2010
Beaverton
$
12/30/2009
Wilshire Credit Corporation
6/29/2011
9/30/2009
4/20/2009
(2,625) $
Reason for Adjustment
Updated due to quarterly assessment and
161,370,454 reallocation
$
148,394,627 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
148,392,325 reallocation
7/14/2011
$
87,130,000
19,540,000
68,565,782
$
$
$
(247) $
$
(116,750,000) $
(213) $
(250) $
(2,302) $
1,900,000
$
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
164,555,535 Updated portfolio data from servicer
Updated due to quarterly assessment and
164,555,241 reallocation
Updated due to quarterly assessment and
164,552,462 reallocation
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
147,094,877 Updated portfolio data from servicer
Updated due to quarterly assessment and
147,094,627 reallocation
150,292,325 Transfer of cap due to servicing transfer
Servicer Modifying Borrowers' Loans
Date
4/27/2009
Name of Institution
Carrington Mortgage Services, LLC
City
Santa Ana
Transaction
State
Type
CA
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
$
195,000,000
N/A
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
74,520,000
$
354,510,000 Updated portfolio data from servicer
$
(75,610,000) $
278,900,000 Updated portfolio data from servicer
$
1,100,000
$
280,000,000 Transfer of cap due to servicing transfer
$
3,763,685
$
283,763,685 Updated portfolio data from servicer
$
300,000
$
284,063,685 Updated portfolio data from servicer
$
(325) $
284,063,360 Updated portfolio data from servicer
$
3/30/2011
$
(384) $
6/29/2011
N/A
$
1/13/2011
798,000,000
$
1/6/2011
$
57,980,000
12/15/2010
Financial Instrument for Home Loan Modifications
$
9/30/2010
Purchase
$
8/13/2010
CO
90,990,000
7/14/2010
Littleton
$
131,020,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
222,010,000 initial cap
Updated portfolio data from servicer & HAFA
279,990,000 initial cap
3/26/2010
Aurora Loan Services, LLC
$
12/30/2009
5/1/2009
6/17/2009
9/30/2009
Carrington Mortgage Services, LLC
(63,980,000) $
Reason for Adjustment
$
(3,592) $
6/17/2009
$
(338,450,000) $
2,400,000
$
286,463,360 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
286,462,976 reallocation
Updated due to quarterly assessment and
286,459,384 reallocation
9/30/2009
101,000,000
N/A
$
(76,870,000) $
401,300,000 Updated portfolio data from servicer
$
400,000
$
(8,454,269) $
$
(342) $
$
(374) $
$
6/29/2011
$
478,170,000 Updated portfolio data from servicer
5/13/2011
Financial Instrument for Home Loan Modifications
$
3/30/2011
Purchase
9,150,000
1/6/2011
TX
$
9/30/2010
Lewisville
$
9/1/2010
Nationstar Mortgage LLC
21,330,000
7/14/2010
5/28/2009
(11,860,000) $
$
3/26/2010
Aurora Loan Services, LLC
$
12/30/2009
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
$
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
$
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
9/30/2010
$
33,801,486
$
350,101,486 Updated portfolio data from servicer
11/16/2010
$
700,000
$
350,801,486 Transfer of cap due to servicing transfer
18,000,000
$
$
(3,273) $
401,700,000 Initial FHA-HAMP cap
393,245,731 Updated portfolio data from servicer
393,245,389 Updated portfolio data from servicer
Updated due to quarterly assessment and
393,245,015 reallocation
411,245,015 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
411,241,742 reallocation
Servicer Modifying Borrowers' Loans
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
19,400,000
N/A
$
383,201,123 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
383,200,695 reallocation
$
$
(4,248) $
9/30/2009
$
(1,860,000) $
$
27,920,000
$
(1,390,000) $
$
(13,870,000) $
$
400,000
$
30,200,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap,
30,600,000 and initial 2MP cap
9/30/2010
$
$
9/30/2010
Financial Instrument for Home Loan Modifications
29,800,000
7/14/2010
Purchase
$
3/26/2010
TX
353,401,123 Transfer of cap due to servicing transfer
6/29/2011
Fort Worth
$
12/30/2009
Residential Credit Solutions
900,000
5/26/2011
6/12/2009
$
3/30/2011
Nationstar Mortgage LLC
$
3/16/2011
Note
$
2/16/2011
Investment Description
Cap Adjustment Amount
1/6/2011
City
Adjustment
Date
12/15/2010
Name of Institution
Date
Transaction
State
Type
$
586,954
$
31,186,954 Updated portfolio data from servicer
1,700,000
Adjusted Cap
Reason for Adjustment
$
352,501,486 Updated portfolio data from servicer
(363) $
352,501,123 Updated portfolio data from servicer
(428) $
20,077,503
$
$
403,278,198 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
403,273,950 reallocation
Updated portfolio data from servicer & HPDP
17,540,000 initial cap
Updated portfolio data from servicer & HAFA
45,460,000 initial cap
44,070,000 Updated portfolio data from servicer
1/6/2011
6/29/2011
16,520,000
N/A
CCO Mortgage
6/17/2009
RG Mortgage Corporation
San Juan
PR
Purchase
Financial Instrument for Home Loan Modifications
$
57,000,000
N/A
$
$
145,510,000
$
$
(116,950,000) $
58,150,000 Updated portfolio data from servicer
$
(23,350,000) $
34,800,000 Updated portfolio data from servicer
$
$
(46) $
$
(55) $
6/29/2011
$
13,070,000
3/30/2011
Financial Instrument for Home Loan Modifications
$
1/6/2011
Purchase
9/30/2009
9/30/2010
VA
$
7/14/2010
Glen Allen
$
3/26/2010
CCO Mortgage
(37) $
12/30/2009
6/17/2009
(34) $
$
4/13/2011
Residential Credit Solutions
$
3/30/2011
$
(452) $
9/30/2009
$
(11,300,000) $
12/30/2009
$
(42,210,000) $
42,646,300 Updated portfolio data from servicer
Updated due to quarterly assessment and
42,646,245 reallocation
Updated due to quarterly assessment and
42,645,793 reallocation
Updated portfolio data from servicer & HPDP
45,700,000 initial cap
Updated portfolio data from servicer & HAFA
3,490,000 initial cap
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) $
41,340,846 Updated portfolio data from servicer
12/15/2010
$
(4,300,000) $
37,040,846 Updated portfolio data from servicer
100,000
$
(329) $
7,846,346
$
31,186,920 Updated portfolio data from servicer
Updated due to quarterly assessment and
31,186,883 reallocation
31,286,883 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
31,286,554 reallocation
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
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
1/6/2011
6/29/2011
12/30/2009
70,000
N/A
Technology Credit Union
6/26/2009
National City Bank
Miamisburg
OH
Purchase
Financial Instrument for Home Loan Modifications
$
294,980,000
N/A
3,100,000 Updated portfolio data from servicer
$
(1,800,000) $
1,300,000 Updated portfolio data from servicer
$
1,500,000
$
2,800,000 Updated portfolio data from servicer
$
1,551,668
$
4,351,668 Updated portfolio data from servicer
$
$
(2) $
$
(1,800,000) $
6/3/2011
$
(1,872,787) $
9/30/2009
$
(10,000) $
$
590,000
$
(580,000) $
$
70,000
$
100,000 Updated portfolio data from servicer
$
45,056
$
145,056 Updated portfolio data from servicer
$
12/30/2009
$
$
(720,000) $
1,530,000 Updated portfolio data from servicer
$
(430,000) $
1,100,000 Updated portfolio data from servicer
$
$
$
(1) $
6/29/2011
$
(14,260,000) $
3/30/2011
Financial Instrument for Home Loan Modifications
N/A
$
1/6/2011
Purchase
30,000
$
9/30/2010
CA
$
16,490,000
7/14/2010
San Jose
Financial Instrument for Home Loan Modifications
$
3/26/2010
Technology Credit Union
Purchase
$
2/17/2011
6/26/2009
FL
330,000
9/30/2010
The Villages
$
7/14/2010
Citizens First Wholesale Mortgage Company
(14,160,000) $
3/26/2010
6/26/2009
$
12/30/2009
12
14,160,000 Updated portfolio data from servicer
5/13/2011
Wescom Central Credit Union
$
9/30/2009
N/A
11,370,000
3/30/2011
540,000
N/A
$
1/6/2011
$
770,000
$
9/30/2010
Financial Instrument for Home Loan Modifications
$
2,020,000
7/30/2010
Purchase
Financial Instrument for Home Loan Modifications
$
7/14/2010
CA
Purchase
(616) $
3/26/2010
Anaheim
WA
$
12/30/2009
Wescom Central Credit Union
Port Angeles
(65) $
5/26/2010
6/19/2009
First Federal Savings and Loan
$
37,040,795 Updated portfolio data from servicer
Updated due to quarterly assessment and
37,040,730 reallocation
Updated due to quarterly assessment and
37,040,114 reallocation
Updated portfolio data from servicer & HAFA
2,790,000 initial cap
3/26/2010
6/19/2009
(51) $
3/30/2011
RG Mortgage Corporation
$
$
(12) $
9/30/2009
$
315,170,000
$
12/30/2009
$
90,280,000
$
3/26/2010
$
(18,690,000) $
(2) $
$
(145,056) $
2,180,000
60,445
$
$
(1) $
- Termination of SPA
Updated portfolio data from servicer & HPDP
870,000 initial cap
Updated portfolio data from servicer & HAFA
17,360,000 initial cap
4,351,666 Updated portfolio data from servicer
Updated due to quarterly assessment and
4,351,664 reallocation
2,551,664 Transfer of cap due to servicing transfer
678,877 Termination of SPA
Updated portfolio data from servicer & HPDP
20,000 initial cap
Updated portfolio data from servicer & HAFA
610,000 initial cap
30,000 Updated portfolio data from servicer
- Termination of SPA
Updated portfolio data from servicer & HAFA
2,250,000 initial cap
1,160,445 Updated portfolio data from servicer
1,160,444 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,160,443 reallocation
Updated due to quarterly assessment and
1,160,431 reallocation
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
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
7/14/2010
OH
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
$
(200,000) $
$
(9,197) $
$
723,880,000
$
$
692,640,000
$
$
(2,050,236,344) $
3/12/2010
$
(54,767) $
9/30/2009
$
23,850,000
$
$
43,590,000
$
$
34,540,000
$
146,240,000 Updated portfolio data from servicer
$
1,010,000
$
147,250,000 Initial 2MP cap
$
(34,250,000) $
$
600,000
$
(15,252,303) $
$
(70) $
$
(86) $
$
400,000
$
98,747,541 Transfer of cap due to servicing transfer
$
100,000
$
6/29/2011
Mentor
558,528,195 Transfer of cap due to servicing transfer
5/13/2011
Lake National Bank
(200,000) $
4/13/2011
7/10/2009
$
3/30/2011
Bayview Loan Servicing, LLC
558,728,195 Transfer of cap due to servicing transfer
1/6/2011
N/A
(2,300,000) $
9/30/2010
44,260,000
$
9/30/2010
$
(981) $
7/14/2010
Financial Instrument for Home Loan Modifications
$
5/7/2010
Purchase
(100,000) $
3/26/2010
FL
$
12/30/2009
Coral Gables
200,000
2/17/2010
Bayview Loan Servicing, LLC
$
12/30/2009
7/1/2009
560,929,176 Updated portfolio data from servicer
9/30/2009
3
(828) $
6/29/2011
N/A
$
6/16/2011
634,010,000
560,930,004 Updated portfolio data from servicer
5/13/2011
$
$
4/13/2011
Financial Instrument for Home Loan Modifications
71,230,004
3/30/2011
Purchase
$
3/16/2011
IA
$
2/16/2011
Des Moines
80,600,000
1/6/2011
Wachovia Mortgage, FSB
$
409,100,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, Initial FHA-2LP cap,
489,700,000 and initial 2MP cap
9/30/2010
7/1/2009
$
9/30/2010
National City Bank
(272,640,000) $
Reason for Adjustment
$
98,847,541 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
98,846,770 reallocation
Updated portfolio data from servicer & HPDP
250,000 initial cap
Updated portfolio data from servicer & HAFA
380,000 initial cap
$
$
(771) $
561,129,176 Transfer of cap due to servicing transfer
561,029,176 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
561,028,195 reallocation
558,328,195 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
558,318,998 reallocation
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
68,110,000 initial cap
Updated portfolio data from servicer & HAFA
111,700,000 initial cap
113,000,000 Updated portfolio data from servicer
113,600,000 Initial FHA-2LP cap
98,347,697 Updated portfolio data from servicer
98,347,627 Updated portfolio data from servicer
Updated due to quarterly assessment and
98,347,541 reallocation
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
435,167 Updated portfolio data from servicer
$
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
1/6/2011
6/29/2011
9/30/2009
Purchase
Financial Instrument for Home Loan Modifications
$
54,470,000
N/A
PNC Bank, National Association
7/17/2009
Farmers State Bank
West Salem
OH
Purchase
Financial Instrument for Home Loan Modifications
$
170,000
N/A
$
18,530,000
$
$
24,510,000
$
$
18,360,000
$
84,880,000 Updated portfolio data from servicer
$
(22,580,000) $
62,300,000 Updated portfolio data from servicer
$
(8,194,261) $
54,105,739 Updated portfolio data from servicer
$
(37) $
54,105,702 Updated portfolio data from servicer
$
(29,400,000) $
$
(34) $
5/26/2011
$
(20,077,503) $
9/30/2009
$
(36,240,000) $
$
19,280,000
$
24,705,702 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
24,705,668 reallocation
Termination of SPA
4,628,165 (remaining cap equals distribution amount)
Updated portfolio data from servicer & HPDP
18,230,000 initial cap
Updated portfolio data from servicer & HAFA
37,510,000 initial cap
$
2,470,000
$
39,980,000 Updated portfolio data from servicer
$
(17,180,000) $
22,800,000 Updated portfolio data from servicer
$
35,500,000
$
58,300,000 Initial FHA-2LP cap and initial 2MP cap
$
23,076,191
$
81,376,191 Updated portfolio data from servicer
$
$
(147) $
$
(100,000) $
6/29/2011
PA
(12) $
5/13/2011
Pittsburgh
$
3/30/2011
PNC Bank, National Association
(1) $
1/6/2011
7/17/2009
11
$
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,320 reallocation
Updated portfolio data from servicer & HPDP
42,010,000 initial cap
Updated portfolio data from servicer & HAFA
66,520,000 initial cap
9/30/2010
MorEquity, Inc.
(1) $
9/30/2010
N/A
$
7/14/2010
23,480,000
870,334 Updated portfolio data from servicer
3/26/2010
$
170,334
12/30/2009
Financial Instrument for Home Loan Modifications
$
3/30/2011
Purchase
700,000 Updated portfolio data from servicer
3/16/2011
IN
(400,000) $
1/6/2011
Evansville
$
9/30/2010
MorEquity, Inc.
1,100,000 Updated portfolio data from servicer
7/14/2010
7/17/2009
(10,000) $
3/26/2010
IBM Southeast Employees' Federal Credit Union
$
9/30/2009
N/A
250,000
12/30/2009
870,000
$
6/29/2011
$
(10,000) $
3/30/2011
Financial Instrument for Home Loan Modifications
$
1/6/2011
Purchase
(6) $
9/30/2010
FL
$
7/14/2010
Delray Beach
(1) $
3/26/2010
IBM Southeast Employees' Federal Credit Union
$
12/30/2009
7/10/2009
(1) $
3/30/2011
Lake National Bank
$
$
(1,382) $
9/30/2009
$
(90,000) $
12/30/2009
$
50,000
$
$
(123) $
$
435,166 Updated portfolio data from servicer
Updated due to quarterly assessment and
435,165 reallocation
Updated due to quarterly assessment and
435,159 reallocation
Updated portfolio data from servicer & HPDP
860,000 initial cap
Updated portfolio data from servicer & HAFA
1,110,000 initial cap
81,376,068 Updated portfolio data from servicer
Updated due to quarterly assessment and
81,375,921 reallocation
81,275,921 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
81,274,539 reallocation
Updated portfolio data from servicer & HPDP
80,000 initial cap
Updated portfolio data from servicer & HAFA
130,000 initial cap
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
3/26/2010
$
890,000
$
$
1,260,000
$
$
(20,000) $
3,540,000 Updated portfolio data from servicer
$
(240,000) $
3,300,000 Updated portfolio data from servicer
$
471,446
3,771,446 Updated portfolio data from servicer
$
(3) $
$
(4) $
4/13/2011
$
(1,100,000) $
6/29/2011
N/A
9/30/2009
3/30/2011
1,410,000
$
1/6/2011
$
$
9/30/2010
Financial Instrument for Home Loan Modifications
100,000 Updated portfolio data from servicer
7/14/2010
Purchase
(130,000) $
3/26/2010
IL
$
5/20/2011
Chicago
230,000 Updated portfolio data from servicer
12/30/2009
ShoreBank
$
9/30/2010
7/17/2009
100,000
7/14/2010
Farmers State Bank
$
$
(38) $
45,056
$
(145,056) $
$
145,056 Updated portfolio data from servicer
- Termination of SPA
Updated portfolio data from servicer & HPDP
2,300,000 initial cap
Updated portfolio data from servicer & HAFA
3,560,000 initial cap
3,771,443 Updated portfolio data from servicer
Updated due to quarterly assessment and
3,771,439 reallocation
7/22/2009
Mortgage Center, LLC
Southfield
MI
Purchase
Financial Instrument for Home Loan Modifications
$
4,210,000
N/A
1,594,090,000 Updated portfolio data from servicer
$
(289,990,000) $
1,304,100,000 Updated portfolio data from servicer
$
1,690,508
$
1,305,790,508 Updated portfolio data from servicer
$
300,000
$
1,306,090,508 Transfer of cap due to servicing transfer
$
(100,000) $
1,305,990,508 Transfer of cap due to servicing transfer
$
(1,173) $
$
(500,000) $
$
(1,400) $
$
6/29/2011
American Home Mortgage Servicing, Inc
$
4/13/2011
N/A
124,820,000
3/30/2011
1,272,490,000
$
2/16/2011
$
$
1/6/2011
Financial Instrument for Home Loan Modifications
(53,670,000) $
11/16/2010
Purchase
250,450,000
10/15/2010
TX
$
9/30/2010
Coppell
$
7/14/2010
American Home Mortgage Servicing, Inc
2,671,439 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
2,671,401 reallocation
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
7/22/2009
9/30/2009
12/30/2009
ShoreBank
$
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
8,558,280 Updated portfolio data from servicer
1/6/2011
$
(12) $
3/30/2011
$
(14) $
3,100,000
$
(12,883) $
$
1,305,989,335 Updated portfolio data from servicer
1,305,489,335 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,305,487,935 reallocation
1,308,587,935 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,308,575,052 reallocation
Updated portfolio data from servicer & HPDP
5,990,000 initial cap
Updated portfolio data from servicer & HAFA
8,830,000 initial cap
8,558,268 Updated portfolio data from servicer
Updated due to quarterly assessment and
8,558,254 reallocation
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Mortgage Center, LLC
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
Updated due to quarterly assessment and
8,558,125 reallocation
Updated portfolio data from servicer & HPDP
370,000 initial cap
Updated portfolio data from servicer & HAFA
7,120,000 initial cap
7/29/2009
First Bank
St. Louis
MO
Purchase
Financial Instrument for Home Loan Modifications
$
6,460,000
N/A
(6,340,000) $
780,000 Updated portfolio data from servicer
$
(180,000) $
600,000 Updated portfolio data from servicer
$
125,278
$
(1) $
$
(4) $
9/30/2009
$
(1,530,000) $
$
680,000
$
725,278 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,277 reallocation
Updated due to quarterly assessment and
725,273 reallocation
Updated portfolio data from servicer & HPDP
4,930,000 initial cap
Updated portfolio data from servicer & HAFA
5,610,000 initial cap
$
2,460,000
$
8,070,000 Updated portfolio data from servicer
$
(2,470,000) $
5,600,000 Updated portfolio data from servicer
9/30/2010
Mission Federal Credit Union
$
7/14/2010
N/A
6,750,000
3/26/2010
860,000
$
12/30/2009
$
(490,000) $
6/29/2011
Financial Instrument for Home Loan Modifications
$
3/30/2011
Purchase
9/30/2009
9/30/2010
CA
(129) $
7/14/2010
San Diego
$
3/26/2010
Mission Federal Credit Union
6/29/2011
12/30/2009
7/22/2009
$
2,523,114
8,123,114 Updated portfolio data from servicer
$
$
$
1/6/2011
J.P.Morgan Chase Bank, NA
Charlotte
Lewisville
NC
TX
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
85,020,000
2,699,720,000
N/A
N/A
2,070,000
$
4,360,000 Updated portfolio data from servicer
$
(3,960,000) $
400,000 Updated portfolio data from servicer
$
$
(1) $
$
(1) $
$
(8) $
9/30/2009
$
(37,700,000) $
$
26,160,000
$
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
Updated portfolio data from servicer & HPDP
47,320,000 initial cap
Updated portfolio data from servicer & HAFA
73,480,000 initial cap
$
9,820,000
$
83,300,000 Updated portfolio data from servicer
$
(46,200,000) $
37,100,000 Updated portfolio data from servicer
$
(28,686,775) $
8,413,225 Updated portfolio data from servicer
12/3/2010
7/31/2009
Wachovia Bank, N.A.
$
9/30/2010
7/29/2009
$
7/14/2010
Purdue Employees Federal Credit Union
1,260,000
3/26/2010
N/A
$
12/30/2009
1,090,000
(60,000) $
6/29/2011
$
$
3/30/2011
Financial Instrument for Home Loan Modifications
9/30/2009
1/6/2011
Purchase
(15) $
9/30/2010
IN
$
7/14/2010
West Lafayette
8,123,112 Updated portfolio data from servicer
Updated due to quarterly assessment and
8,123,110 reallocation
Updated due to quarterly assessment and
8,123,095 reallocation
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
Purdue Employees Federal Credit Union
(2) $
12/30/2009
7/29/2009
(2) $
$
6/29/2011
First Bank
$
3/30/2011
$
(8,413,225) $
9/30/2009
$
(14,850,000) $
12/30/2009
$
180,222
1,178,180,000
$
$
580,222 Updated portfolio data from servicer
- Termination of SPA
Updated portfolio data from servicer & HPDP
2,684,870,000 initial cap
Updated portfolio data from servicer & HAFA
3,863,050,000 initial cap
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
3/26/2010
$
$
(34,606) $
$
600,000
9/30/2009
$
$
502,430,000
$
(134,560,000) $
$
(392,140,000) $
$
(630,000) $
$
13,100,000
$
(8,006,457) $
$
(100,000) $
$
(4,400,000) $
683,063,543 Updated portfolio data from servicer
$
(802) $
683,062,741 Updated portfolio data from servicer
2/16/2011
$
(900,000) $
3/16/2011
$
(4,000,000) $
3/30/2011
$
(925) $
5/13/2011
$
(122,900,000) $
6/29/2011
$
(8,728) $
7/14/2011
N/A
(200,000) $
1/6/2011
420,000
$
12/15/2010
$
(3,999) $
10/15/2010
Financial Instrument for Home Loan Modifications
$
9/30/2010
Purchase
(100,000) $
9/30/2010
IN
$
7/16/2010
Warsaw
3,223,421,900 Updated portfolio data from servicer
7/14/2010
Lake City Bank
(3,636) $
3/26/2010
8/5/2009
$
12/30/2009
EMC Mortgage Corporation
3,223,425,536 Updated portfolio data from servicer
7/14/2011
N/A
$
6/29/2011
707,380,000
215,625,536
5/13/2011
$
$
4/13/2011
Financial Instrument for Home Loan Modifications
$
3/30/2011
Purchase
72,400,000
3/16/2011
TX
$
2,935,400,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, Initial FHA-2LP cap,
3,007,800,000 and initial RD-HAMP
1/6/2011
Lewisville
(1,934,230,000) $
9/30/2010
EMC Mortgage Corporation
$
9/30/2010
7/31/2009
1,006,580,000
7/14/2010
J.P.Morgan Chase Bank, NA
$
$
(600,000) $
122,700,000
$
Reason for Adjustment
Updated portfolio data from servicer & 2MP
4,869,630,000 initial cap
$
$
(10,000) $
180,000
$
$
$
3,223,321,900 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,223,317,901 reallocation
3,223,117,901 Transfer of cap due to servicing transfer
3,345,817,901 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,345,783,295 reallocation
3,346,383,295 Transfer of cap due to servicing transfer
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
687,563,543 Updated portfolio data from servicer
687,463,543 Transfer of cap due to servicing transfer
682,162,741 Transfer of cap due to servicing transfer
678,162,741 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
678,161,816 reallocation
555,261,816 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
555,253,088 reallocation
554,653,088 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
9/30/2009
$
12/30/2009
$
3/26/2010
$
20,000
$
270,000 Updated portfolio data from servicer
7/14/2010
$
(70,000) $
200,000 Updated portfolio data from servicer
9/30/2010
$
90,111
290,111 Updated portfolio data from servicer
(350,000) $
$
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
6/29/2011
N/A
HomEq Servicing
8/12/2009
Litton Loan Servicing LP
Houston
TX
Purchase
Financial Instrument for Home Loan Modifications
$
774,900,000
N/A
$
(1) $
$
(1) $
$
(200,000) $
$
(7) $
7/22/2011
$
(515,201) $
9/30/2009
$
(121,190,000) $
$
(36,290,000) $
10,068 Termination of SPA
Updated portfolio data from servicer & HPDP
552,810,000 initial cap
Updated portfolio data from servicer & HAFA
516,520,000 initial cap
$
199,320,000
$
715,840,000 Updated portfolio data from servicer
$
(189,040,000) $
526,800,000 Updated portfolio data from servicer
$
$
(170,800,000) $
$
(22,200,000) $
372,426,728 Updated portfolio data from servicer
$
(549) $
372,426,179 Updated portfolio data from servicer
$
(900,000) $
$
(653) $
6/29/2011
674,000,000
725,278 Updated portfolio data from servicer
3/30/2011
$
(74,722) $
2/16/2011
Financial Instrument for Home Loan Modifications
$
1/6/2011
Purchase
800,000 Updated portfolio data from servicer
12/15/2010
CA
(10,000) $
10/15/2010
North Highlands
$
9/30/2010
HomEq Servicing
810,000 Updated portfolio data from servicer
7/14/2010
8/5/2009
12
$
3/26/2010
Oakland Municipal Credit Union
170,000
12/30/2009
N/A
$
6/29/2011
140,000
$
4/13/2011
$
210,000
3/30/2011
Financial Instrument for Home Loan Modifications
$
1/6/2011
Purchase
$
9/30/2010
CA
290,000
7/14/2010
Oakland
Updated due to quarterly assessment and
290,108 reallocation
Updated portfolio data from servicer & HPDP
430,000 initial cap
Updated portfolio data from servicer & HAFA
640,000 initial cap
3/26/2010
Oakland Municipal Credit Union
$
12/30/2009
8/5/2009
$
9/30/2009
Lake City Bank
$
(6,168) $
9/30/2009
$
313,050,000
$
12/30/2009
$
275,370,000
$
371,526,179 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
371,525,526 reallocation
Updated due to quarterly assessment and
371,519,358 reallocation
Updated portfolio data from servicer & HPDP
1,087,950,000 initial 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) $
1,049,982,764 Transfer of cap due to servicing transfer
12/15/2010
$
800,000
$
1,050,782,764 Updated portfolio data from servicer
1/6/2011
$
(1,286) $
1,050,781,478 Updated portfolio data from servicer
(3) $
38,626,728
$
725,277 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,276 reallocation
525,276 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
525,269 reallocation
565,426,728 Updated portfolio data from servicer
394,626,728 Transfer of cap due to servicing transfer
1,050,782,764 Updated portfolio data from servicer
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
$
30,800,000
$
$
23,200,000
$
$
2,710,000
$
$
$
6,680,000
$
43,700,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
50,380,000 servicing transfer
$
2,600,000
$
52,980,000 Transfer of cap to due to servicing transfer
$
(100,000) $
52,880,000 Transfer of cap to due to servicing transfer
$
200,000
53,080,000 Initial FHA-HAMP cap and 2MP initial cap
$
(1,423,197) $
51,656,803 Updated portfolio data from servicer
$
1,400,000
53,056,803 Transfer of cap due to servicing transfer
$
(100,000) $
52,956,803 Updated portfolio data from servicer
$
(72) $
52,956,731 Updated portfolio data from servicer
1/13/2011
$
2/16/2011
$
3/16/2011
$
3/30/2011
$
(94) $
4/13/2011
$
(100,000) $
5/13/2011
$
5,800,000
$
66,656,637 Transfer of cap due to servicing transfer
6/16/2011
$
600,000
$
6/29/2011
$
67,256,637 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
67,255,825 reallocation
7/14/2011
N/A
(1,200,000) $
1/6/2011
29,730,000
$
12/15/2010
$
9/30/2009
11/16/2010
Financial Instrument for Home Loan Modifications
(200,000) $
9/30/2010
Purchase
$
9/30/2010
PA
(13,097) $
9/15/2010
Titusville
$
1,055,280,008 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,055,266,911 reallocation
8/13/2010
Servis One, Inc.
(700,000) $
7/16/2010
8/12/2009
$
7/14/2010
PennyMac Loan Services, LLC
1,055,980,008 Transfer of cap due to servicing transfer
6/16/2010
N/A
(300,000) $
3/26/2010
6,210,000
$
12/30/2009
$
1,056,280,008 Transfer of cap due to servicing transfer
7/14/2011
Financial Instrument for Home Loan Modifications
(3,300,000) $
6/29/2011
Purchase
$
6/16/2011
CA
(1,470) $
5/13/2011
Calasbasa
$
4/13/2011
PennyMac Loan Services, LLC
$
3/30/2011
8/12/2009
$
Reason for Adjustment
3/16/2011
Litton Loan Servicing LP
8,800,000
Adjusted Cap
$
9/30/2009
$
(25,510,000) $
12/30/2009
$
520,000
$
3/26/2010
$
4,330,000
$
(18,020,000) $
4,100,000
$
$
1,059,581,478 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,059,580,008 reallocation
1,055,066,911 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
59,010,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
61,720,000 servicing transfer
$
57,056,731 Transfer of cap due to servicing transfer
(100,000) $
56,956,731 Transfer of cap due to servicing transfer
4,000,000
$
(812) $
2,500,000
$
60,956,731 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
60,956,637 reallocation
60,856,637 Transfer of cap due to servicing transfer
69,755,825 Transfer of cap due to servicing transfer
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
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
Note
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
26,255,064 Updated portfolio data from servicer
$
100,000
$
26,355,064 Transfer of cap due to servicing transfer
$
100,000
$
26,455,064 Updated portfolio data from servicer
$
(40) $
26,455,024 Updated portfolio data from servicer
$
300,000
$
26,755,024 Transfer of cap due to servicing transfer
$
100,000
$
26,855,024 Transfer of cap due to servicing transfer
$
2,200,000
$
$
29,055,024 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
29,054,972 reallocation
$
1,500,000
$
30,554,972 Transfer of cap due to servicing transfer
$
1,000,000
$
31,554,972 Transfer of cap due to servicing transfer
$
100,000
$
$
31,654,972 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
31,654,438 reallocation
10/2/2009
$
145,800,000
$
$
1,355,930,000
$
814,240,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
2,170,170,000 initial cap
$
121,180,000
$
2,291,350,000 Updated portfolio data from servicer
$
(408,850,000) $
1,882,500,000 Updated portfolio data from servicer
9/30/2010
$
5,500,000
9/30/2010
$
(51,741,163) $
1/6/2011
$
(2,282) $
3/30/2011
$
(2,674) $
6/29/2011
N/A
$
7/14/2010
300,000
16,755,064
3/26/2010
$
$
12/30/2009
Financial Instrument for Home Loan Modifications
9,500,000 Initial FHA-HAMP cap
6/29/2011
Purchase
$
6/16/2011
CA
100,000
5/13/2011
Palo Alto
$
4/13/2011
Stanford Federal Credit Union
9,400,000 Transfer of cap to due to servicing transfer
3/30/2011
8/28/2009
$
3/16/2011
OneWest Bank
100,000
2/16/2011
N/A
$
1/13/2011
668,440,000
9,300,000 Updated portfolio data from servicer
1/6/2011
$
(850,000) $
12/15/2010
Financial Instrument for Home Loan Modifications
$
10/15/2010
Purchase
$
9/30/2010
CA
850,000
9/30/2010
Pasadena
$
9/15/2010
OneWest Bank
$
7/14/2010
8/28/2009
230,000
5/19/2010
Servis One, Inc.
$
$
(24,616) $
10/2/2009
$
70,000
$
12/30/2009
$
2,680,000
$
370,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
3,050,000 initial cap
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
3/23/2010
$
(290,111) $
(52) $
(534) $
$
10,150,000 Initial 2MP cap
1,888,000,000 2MP initial cap
1,836,258,837 Updated portfolio data from servicer
1,836,256,555 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,836,253,881 reallocation
Updated due to quarterly assessment and
1,836,229,265 reallocation
- Termination of SPA
Servicer Modifying Borrowers' Loans
Name of Institution
Date
8/28/2009
RoundPoint Mortgage Servicing Corporation
City
Charlotte
Transaction
State
Type
NC
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
$
570,000
Adjustment Details
Note
N/A
Adjustment
Date
Cap Adjustment Amount
$
$
(1,680,000) $
$
1,260,000
$
1,310,000 Updated portfolio data from servicer
$
(1,110,000) $
200,000 Updated portfolio data from servicer
$
$
(9,889) $
$
(3) $
10/2/2009
$
$
$
410,000
$
4,330,000 Updated portfolio data from servicer
$
(730,000) $
3,600,000 Updated portfolio data from servicer
$
4,700,000
$
8,300,000 Transfer of cap due to servicing transfer
$
117,764
$
8,417,764 Updated portfolio data from servicer
$
800,000
$
9,217,764 Transfer of cap due to servicing transfer
$
2,700,000
$
11,917,764 Updated portfolio data from servicer
$
(17) $
11,917,747 Updated portfolio data from servicer
$
700,000
$
12,617,747 Transfer of cap due to servicing transfer
$
1,800,000
$
$
14,417,747 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,417,728 reallocation
$
6/29/2011
N/A
1,040,000
4/13/2011
1,250,000
$
3/30/2011
$
$
2/16/2011
Financial Instrument for Home Loan Modifications
130,000
1/13/2011
Purchase
$
1/6/2011
FL
(232) $
12/15/2010
Lake Mary
$
11/16/2010
Central Florida Educators Federal Credit Union
(25) $
9/30/2010
9/9/2009
$
9/15/2010
Vantium Capital, Inc.dba Acqura Loan Services
(400,000) $
7/14/2010
10
$
3/26/2010
N/A
16,101,150 Updated portfolio data from servicer
12/30/2009
6,000,000
(22) $
6/29/2011
$
$
9/30/2010
Financial Instrument for Home Loan Modifications
16,101,172 Updated portfolio data from servicer
9/30/2010
Purchase
$
7/14/2010
TX
5,301,172
5/12/2010
Plano
$
3/26/2010
9/2/2009 as Vantium Capital, Inc.dba Acqura Loan Services
amended on
8/27/2010
10,800,000 Updated portfolio data from servicer
12/30/2009
Horicon Bank
$
10/2/2009
N/A
8,300,000
6/29/2011
560,000
$
3/30/2011
$
2,500,000 Updated portfolio data from servicer
3/16/2011
Financial Instrument for Home Loan Modifications
$
1/6/2011
Purchase
2,110,000
9/30/2010
WI
$
7/14/2010
Horicon
$
3/26/2010
Horicon Bank
$
12/30/2009
9/2/2009
$
Reason for Adjustment
10/2/2009
RoundPoint Mortgage Servicing Corporation
130,000
Adjusted Cap
$
10/2/2009
$
(310,000) $
100,000
1,310,000
$
$
(3,390,000) $
(19) $
300,000
$
(189) $
280,000
$
700,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
390,000 initial cap
15,701,150 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,701,125 reallocation
Updated due to quarterly assessment and
15,700,893 reallocation
690,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
1,730,000 initial cap
50,000 Updated portfolio data from servicer
300,000 Initial RD-HAMP
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
290,108 reallocation
7,310,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
3,920,000 initial cap
14,717,728 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,717,539 reallocation
1,530,000 HPDP initial cap
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
12/30/2009
$
2,070,000
N/A
ORNL Federal Credit Union
9/11/2009
Allstate Mortgage Loans & Investments, Inc.
Ocala
FL
Purchase
Financial Instrument for Home Loan Modifications
$
250,000
N/A
$
230,380,000 Updated portfolio data from servicer
$
(85,780,000) $
144,600,000 Updated portfolio data from servicer
$
36,574,444
181,174,444 Updated portfolio data from servicer
$
$
(172) $
$
(1,431) $
10/2/2009
$
950,000
$
$
5,700,000
$
5,300,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
11,000,000 initial cap
$
740,000
$
11,740,000 Updated portfolio data from servicer
$
(1,440,000) $
10,300,000 Updated portfolio data from servicer
$
(6,673,610) $
3,626,390 Updated portfolio data from servicer
$
(5) $
$
(6) $
$
(52) $
10/2/2009
$
460,000
$
$
2,730,000
$
$
13,280,000
$
18,540,000 Updated portfolio data from servicer
$
(13,540,000) $
5,000,000 Updated portfolio data from servicer
$
$
(10) $
$
(12) $
6/29/2011
Financial Instrument for Home Loan Modifications
41,830,000
3/30/2011
Purchase
$
1/6/2011
TN
$
9/30/2010
Oak Ridge
49,410,000
7/14/2010
ORNL Federal Credit Union
$
139,140,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
188,550,000 initial cap
3/26/2010
9/11/2009
$
12/30/2009
CUC Mortgage Corporation
24,920,000
6/29/2011
N/A
$
3/30/2011
4,350,000
10/2/2009
1/6/2011
$
(5) $
9/30/2010
Financial Instrument for Home Loan Modifications
$
7/14/2010
Purchase
(1) $
3/26/2010
NY
$
6/29/2011
Albany
(1) $
12/30/2009
CUC Mortgage Corporation
$
3/30/2011
9/9/2009
870,334 Updated portfolio data from servicer
1/6/2011
U.S. Bank National Association
270,334
9/30/2010
N/A
$
7/14/2010
114,220,000
600,000 Updated portfolio data from servicer
3/26/2010
$
(300,000) $
12/30/2009
Financial Instrument for Home Loan Modifications
$
6/29/2011
Purchase
900,000 Updated portfolio data from servicer
3/30/2011
KY
$
1/6/2011
Owensboro
120,000
9/30/2010
U.S. Bank National Association
$
7/14/2010
9/9/2009
(750,000) $
3/26/2010
Central Florida Educators Federal Credit Union
$
Updated portfolio data from servicer & HAFA
780,000 initial cap
$
(115) $
10/2/2009
$
$
$
(160) $
1,817,613
60,000
$
$
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,327 reallocation
181,174,284 Updated portfolio data from servicer
Updated due to quarterly assessment and
181,174,112 reallocation
Updated due to quarterly assessment and
181,172,681 reallocation
3,626,385 Updated portfolio data from servicer
Updated due to quarterly assessment and
3,626,379 reallocation
Updated due to quarterly assessment and
3,626,327 reallocation
2,530,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
5,260,000 initial cap
6,817,613 Updated portfolio data from servicer
6,817,603 Updated portfolio data from servicer
Updated due to quarterly assessment and
6,817,591 reallocation
Updated due to quarterly assessment and
6,817,476 reallocation
310,000 HPDP initial cap
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
12/30/2009
N/A
$
$
10/2/2009
$
70,000
$
$
620,000
$
$
100,000
$
1,070,000 Updated portfolio data from servicer
$
(670,000) $
400,000 Updated portfolio data from servicer
$
1/6/2011
280,000
100,000 Updated portfolio data from servicer
9/30/2010
$
(410,000) $
7/14/2010
Financial Instrument for Home Loan Modifications
$
3/26/2010
Purchase
510,000 Updated portfolio data from servicer
12/30/2009
AR
$
6/29/2011
Little Rock
280,000
9/30/2010
Metropolitan National Bank
$
7/14/2010
9/11/2009
(80,000) $
3/26/2010
Allstate Mortgage Loans & Investments, Inc.
$
Updated portfolio data from servicer & HAFA
230,000 initial cap
45,056
$
(1) $
350,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
970,000 initial cap
$
410,000
N/A
Bay Federal Credit Union
9/23/2009
AMS Servicing, LLC
Buffalo
NY
Purchase
Financial Instrument for Home Loan Modifications
$
4,390,000
N/A
6,600,000 Updated portfolio data from servicer
$
2,973,670
$
9,573,670 Updated portfolio data from servicer
$
(3) $
9,573,667 Updated portfolio data from servicer
$
(1,800,000) $
$
(6) $
$
(61) $
10/2/2009
$
90,000
$
$
1,460,000
$
500,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
1,960,000 initial cap
$
160,000
$
2,120,000 Updated portfolio data from servicer
$
(120,000) $
2,000,000 Updated portfolio data from servicer
$
(1,419,778) $
580,222 Updated portfolio data from servicer
$
(1) $
$
(1) $
6/29/2011
Financial Instrument for Home Loan Modifications
(2,390,000) $
3/30/2011
Purchase
$
1/6/2011
CA
8,990,000 Updated portfolio data from servicer
9/30/2010
Capitola
(4,780,000) $
7/14/2010
Bay Federal Credit Union
(19,750,000) $
$
3/26/2010
9/16/2009
$
12/30/2009
Franklin Credit Management Corporation
$
6/29/2011
N/A
10/2/2009
3/30/2011
27,510,000
(435,166) $
2/16/2011
$
$
1/6/2011
Financial Instrument for Home Loan Modifications
435,166 Updated portfolio data from servicer
9/30/2010
Purchase
(1) $
7/14/2010
NJ
$
3/26/2010
Jersey City
435,167 Updated portfolio data from servicer
12/30/2009
Franklin Credit Management Corporation
$
1/26/2011
9/11/2009
35,167
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
$
(8) $
10/2/2009
$
960,000
12/30/2009
$
(3,090,000) $
3/26/2010
$
6,010,000
230,000
$
$
$
- Termination of SPA
33,520,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
13,770,000 initial cap
7,773,667 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
7,773,661 reallocation
Updated due to quarterly assessment and
7,773,600 reallocation
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
5,350,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
2,260,000 initial cap
2,490,000 Updated portfolio data from servicer
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
7/14/2010
8,123,102 Updated portfolio data from servicer
$
$
$
200,000
$
8,923,086 Transfer of cap due to servicing transfer
$
100,000
$
$
9,023,086 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
9,022,933 reallocation
10/2/2009
$
90,000
$
$
940,000
$
$
(980,000) $
440,000 Updated portfolio data from servicer
7/14/2010
$
(140,000) $
300,000 Updated portfolio data from servicer
9/30/2010
N/A
(12) $
3/26/2010
390,000
$
12/30/2009
$
8,123,114 Updated portfolio data from servicer
6/29/2011
Financial Instrument for Home Loan Modifications
$
5/13/2011
Purchase
323,114
4/13/2011
CA
$
3/30/2011
Sacramento
7,800,000 Updated portfolio data from servicer
3/16/2011
Schools Financial Credit Union
$
1/6/2011
9/23/2009
5,310,000
9/30/2010
AMS Servicing, LLC
$
$
600,000
$
(16) $
(153) $
1,150,556
$
8,723,102 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
8,723,086 reallocation
480,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
1,420,000 initial cap
1,450,556 Updated portfolio data from servicer
1/6/2011
9/23/2009
9/23/2009
Central Jersey Federal Credit Union
Yadkin Valley Bank
Woodbridge
Elkin
NJ
NC
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
30,000
240,000
N/A
N/A
130,000
$
410,000 Updated portfolio data from servicer
$
(110,000) $
300,000 Updated portfolio data from servicer
$
(9,889) $
$
(3) $
10/2/2009
$
10,000
$
$
120,000
$
40,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
160,000 initial cap
$
10,000
$
170,000 Updated portfolio data from servicer
$
(70,000) $
100,000 Updated portfolio data from servicer
$
45,056
145,056 Updated portfolio data from servicer
10/29/2010
Glass City Federal Credit Union
$
9/30/2010
N/A
(10,000) $
7/14/2010
230,000
$
3/26/2010
$
290,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
280,000 initial cap
12/30/2009
Financial Instrument for Home Loan Modifications
$
6/29/2011
Purchase
10/2/2009
9/30/2010
OH
(22) $
7/14/2010
Maumee
$
3/26/2010
Glass City Federal Credit Union
(2) $
12/30/2009
9/23/2009
(2) $
$
6/29/2011
Schools Financial Credit Union
$
3/30/2011
$
10/2/2009
$
60,000
$
12/30/2009
$
350,000
$
3/26/2010
$
1,360,000
$
2,010,000 Updated portfolio data from servicer
7/14/2010
$
(1,810,000) $
200,000 Updated portfolio data from servicer
60,000
$
$
(145,056) $
1,450,554 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,552 reallocation
Updated due to quarterly assessment and
1,450,530 reallocation
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
290,108 reallocation
- Termination of SPA
300,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
650,000 initial cap
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
10/14/2009 Great Lakes Credit Union
North Chicago
IL
Purchase
Financial Instrument for Home Loan Modifications
$
570,000
N/A
$
20,000
$
$
(290,000) $
270,000 Updated portfolio data from servicer
$
(70,000) $
200,000 Updated portfolio data from servicer
$
(54,944) $
$
(1) $
12/30/2009
$
$
(880,000) $
720,000 Updated portfolio data from servicer
$
(320,000) $
400,000 Updated portfolio data from servicer
9/30/2010
SEFCU
$
7/14/2010
N/A
100,000
3/26/2010
440,000
$
6/29/2011
$
10/2/2009
9/30/2010
Financial Instrument for Home Loan Modifications
(4) $
7/14/2010
Purchase
$
3/26/2010
NY
(1) $
6/29/2011
Albany
$
12/30/2009
SEFCU
$
1/6/2011
9/25/2009
$
180,222
580,222 Updated portfolio data from servicer
1,030,000
$
Reason for Adjustment
9/30/2010
Yadkin Valley Bank
235,167
Adjusted Cap
$
$
435,167 Updated portfolio data from servicer
435,166 Updated portfolio data from servicer
Updated due to quarterly assessment and
435,162 reallocation
540,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
560,000 initial cap
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated portfolio data from servicer & HAFA
1,600,000 initial cap
1/6/2011
N/A
United Bank Mortgage Corporation
10/23/2009 Bank United
Miami Lakes
FL
Purchase
Financial Instrument for Home Loan Modifications
$
93,660,000
N/A
$
(260,000) $
100,000 Updated portfolio data from servicer
$
$
1/22/2010
$
20,000
$
430,000 Updated HPDP cap & HAFA initial cap
$
400,000
$
830,000 Updated portfolio data from servicer
$
(430,000) $
400,000 Updated portfolio data from servicer
$
180,222
580,222 Updated portfolio data from servicer
$
(1) $
$
(1) $
6/29/2011
410,000
360,000 Updated portfolio data from servicer
3/30/2011
$
(1,600,000) $
1/6/2011
Financial Instrument for Home Loan Modifications
N/A
$
9/30/2010
Purchase
4,860,000
(2,900,000) $
7/14/2010
MI
$
$
3/26/2010
Grand Rapids
Financial Instrument for Home Loan Modifications
12/30/2009
3/9/2011
10/21/2009 United Bank Mortgage Corporation
Purchase
(8) $
9/30/2010
OK
$
7/14/2010
Tulsa
(1) $
3/26/2010
10/14/2009 Mortgage Clearing Corporation
(1) $
$
6/29/2011
Great Lakes Credit Union
$
3/30/2011
$
(5) $
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
$
45,056
$
(145,056) $
1,751,033
$
$
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
Updated portfolio data from servicer & HAFA
1,960,000 initial cap
145,056 Updated portfolio data from servicer
- Termination of SPA
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,215 reallocation
98,030,000 Updated HPDP cap & HAFA initial cap
107,051,033 Updated portfolio data from servicer
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
1/6/2011
$
760,000
N/A
$
(773) $
1/22/2010
$
$
$
7/14/2010
Financial Instrument for Home Loan Modifications
(88) $
5/12/2010
Purchase
$
3/26/2010
MA
(9,900,000) $
6/29/2011
Fitchburg
$
3/30/2011
10/23/2009 IC Federal Credit Union
(77) $
3/16/2011
Bank United
$
40,000
$
(760,000) $
107,050,956 Updated portfolio data from servicer
97,150,956 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
97,150,868 reallocation
Updated due to quarterly assessment and
97,150,095 reallocation
800,000 Updated HPDP cap & HAFA initial cap
40,000 Updated portfolio data from servicer
$
510,000
N/A
10/30/2009 DuPage Credit Union
Naperville
IL
Purchase
Financial Instrument for Home Loan Modifications
$
70,000
N/A
DuPage Credit Union
11/6/2009
Los Alamos National Bank
Los Alamos
NM
Purchase
Financial Instrument for Home Loan Modifications
$
700,000
N/A
Los Alamos National Bank
11/18/2009 Quantum Servicing Corporation
Tampa
FL
Purchase
Financial Instrument for Home Loan Modifications
$
18,960,000
N/A
(40) $
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
$
10,000
$
90,000 Updated portfolio data from servicer
$
10,000
$
100,000 Updated portfolio data from servicer
$
45,056
$
$
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
1/22/2010
$
40,000
$
740,000 Updated HPDP cap & HAFA initial cap
$
50,000
$
790,000 Updated portfolio data from servicer
$
1,310,000
$
2,100,000 Updated portfolio data from servicer
$
75,834
$
2,175,834 Updated portfolio data from servicer
$
(3) $
$
(4) $
6/29/2011
Financial Instrument for Home Loan Modifications
$
3/30/2011
Purchase
(4) $
1/6/2011
MA
$
9/30/2010
Woburn
(4) $
7/14/2010
10/28/2009 Members Mortgage Company, Inc
$
3/26/2010
N/A
2,465,945 Updated portfolio data from servicer
6/29/2011
1,070,000
565,945
9/30/2010
$
$
7/14/2010
Financial Instrument for Home Loan Modifications
1,900,000 Updated portfolio data from servicer
3/26/2010
Purchase
(770,000) $
6/29/2011
PA
$
3/30/2011
Harleysville
2,670,000 Updated portfolio data from servicer
1/6/2011
10/28/2009 Harleysville National Bank & Trust Company
$
9/30/2010
IC Federal Credit Union
2,630,000
Reason for Adjustment
$
(35) $
1/22/2010
$
890,000
$
19,850,000 Updated HPDP cap & HAFA initial cap
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
1/6/2011
$
(46) $
30,461,630 Updated portfolio data from servicer
1/13/2011
$
$
(1) $
1,600,000
$
2,465,941 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,465,937 reallocation
Updated due to quarterly assessment and
2,465,897 reallocation
2,175,831 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,175,827 reallocation
Updated due to quarterly assessment and
2,175,792 reallocation
32,061,630 Transfer of cap due to servicing transfer
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
N/A
QLending, Inc.
11/25/2009 Marix Servicing, LLC
Phoenix
AZ
Purchase
Financial Instrument for Home Loan Modifications
$
20,360,000
N/A
300,000
$
34,761,013 Transfer of cap due to servicing transfer
1/22/2010
$
80,000
$
1,750,000 Updated HPDP cap & HAFA initial cap
$
330,000
$
2,080,000 Updated portfolio data from servicer
$
(1,080,000) $
1,000,000 Updated portfolio data from servicer
$
$
(1) $
$
(2) $
$
(16) $
1/22/2010
$
-
$
(10,000) $
$
90,000
$
100,000 Updated portfolio data from servicer
$
45,056
$
6/29/2011
20,000
$
9/30/2010
$
$
34,461,572 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
34,461,013 reallocation
7/14/2010
Financial Instrument for Home Loan Modifications
$
3/26/2010
Purchase
800,000
6/29/2011
FL
$
3/30/2011
Coral Gables
33,661,572 Transfer of cap due to servicing transfer
1/6/2011
11/18/2009 QLending, Inc.
$
9/30/2010
Hillsdale County National Bank
100,000
7/14/2010
N/A
$
3/26/2010
1,670,000
33,561,572 Transfer of cap due to servicing transfer
7/14/2011
$
$
6/29/2011
Financial Instrument for Home Loan Modifications
100,000
6/16/2011
Purchase
$
5/13/2011
MI
$
4/13/2011
Hillsdale
$
3/30/2011
11/18/2009 Hillsdale County National Bank
$
Reason for Adjustment
2/16/2011
Quantum Servicing Corporation
1,400,000
Adjusted Cap
$
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
1/22/2010
$
950,000
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
$
5,657,168 Updated portfolio data from servicer
1/6/2011
$
(1) $
5,657,167 Updated portfolio data from servicer
3/16/2011
$
3/30/2011
$
4/13/2011
$
7,300,000
$
18,657,161 Transfer of cap due to servicing transfer
5/13/2011
$
300,000
$
18,957,161 Transfer of cap due to servicing transfer
6/16/2011
$
900,000
$
19,857,161 Transfer of cap due to servicing transfer
(58) $
(559) $
160,445
$
$
(1) $
5,700,000
$
$
$
(6) $
33,461,630 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
33,461,572 reallocation
1,160,445 Updated portfolio data from servicer
1,160,444 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,160,442 reallocation
Updated due to quarterly assessment and
1,160,426 reallocation
20,000 Updated HPDP cap & HAFA initial cap
10,000 Updated portfolio data from servicer
21,310,000 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
11,357,167 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
11,357,161 reallocation
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
6/29/2011
4/21/2010
1/22/2010
Financial Instrument for Home Loan Modifications
$
380,000
N/A
Community Bank & Trust Company
12/4/2009
Idaho Housing and Finance Association
Boise
ID
Purchase
Financial Instrument for Home Loan Modifications
$
9,430,000
N/A
Idaho Housing and Finance Association
12/9/2009
12/9/2009
Spirit of Alaska Federal Credit Union
American Eagle Federal Credit Union
Fairbanks
East Hartford
AK
CT
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
360,000
1,590,000
N/A
N/A
(100,000) $
$
(21) $
7/22/2011
$
(1,335,614) $
1/22/2010
$
10,000
$
390,000 Updated HPDP cap & HAFA initial cap
$
520,000
$
910,000 Updated portfolio data from servicer
$
(810,000) $
100,000 Updated portfolio data from servicer
$
$
1/22/2010
$
440,000
$
$
14,480,000
$
24,350,000 Updated portfolio data from servicer
$
(24,200,000) $
150,000 Updated portfolio data from servicer
$
150,000
300,000 Updated portfolio data from servicer
$
(9,889) $
$
(3) $
1/22/2010
$
10,000
$
$
850,000
$
1,220,000 Updated portfolio data from servicer
$
(120,000) $
1,100,000 Updated portfolio data from servicer
$
100,000
$
1,200,000 Initial FHA-HAMP cap
$
105,500
$
1,305,500 Updated portfolio data from servicer
$
(2) $
1,305,498 Updated portfolio data from servicer
2/17/2011
Purchase
$
1/6/2011
PA
(2) $
9/30/2010
Clarks Summit
$
9/30/2010
Community Bank & Trust Company
(2) $
7/14/2010
12/4/2009
12
$
3/26/2010
First Keystone Bank
$
6/29/2011
N/A
1,400,000 Updated portfolio data from servicer
9/30/2010
1,280,000
2,350,000 Updated portfolio data from servicer
7/14/2010
$
$
5/26/2010
Financial Instrument for Home Loan Modifications
(950,000) $
3/26/2010
Purchase
1,020,000
6/29/2011
PA
$
9/30/2010
Media
$
7/14/2010
11/25/2009 First Keystone Bank
1,330,000 Updated HPDP cap & HAFA initial cap
3/26/2010
N/A
$
6/29/2011
230,000
50,000
6/16/2011
$
$
3/30/2011
Financial Instrument for Home Loan Modifications
(230,000) $
1/6/2011
Purchase
$
9/30/2010
FL
100,000
7/14/2010
Coral Gables
$
3/26/2010
11/25/2009 Home Financing Center, Inc
$
7/14/2011
Marix Servicing, LLC
(154) $
Reason for Adjustment
Updated due to quarterly assessment and
19,857,007 reallocation
$
(1,305,498) $
1/22/2010
$
70,000
3/26/2010
$
50,556
45,056
$
$
$
(1) $
$
$
(290,000) $
19,957,007 Transfer of cap due to servicing transfer
- Termination of SPA
1,450,556 Updated portfolio data from servicer
1,450,554 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,552 reallocation
1,350,552 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,350,531 reallocation
14,917 Termination of SPA
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
9,870,000 Updated HPDP cap & HAFA initial cap
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
290,108 reallocation
370,000 Updated HPDP cap & HAFA initial cap
- Termination of SPA
1,660,000 Updated HPDP cap & HAFA initial cap
1,370,000 Updated portfolio data from servicer
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
7/14/2010
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
230,000
6,160,000
N/A
N/A
The Golden 1 Credit Union
12/9/2009
Sterling Savings Bank
Spokane
WA
Purchase
Financial Instrument for Home Loan Modifications
$
2,250,000
N/A
$
(26) $
1/22/2010
$
140,000
$
3,080,000 Updated HPDP cap & HAFA initial cap
$
6,300,000
$
9,380,000 Updated portfolio data from servicer
$
(1,980,000) $
7,400,000 Updated portfolio data from servicer
$
(6,384,611) $
1,015,389 Updated portfolio data from servicer
$
(1) $
$
(2) $
$
(16) $
1/22/2010
$
10,000
$
240,000 Updated HPDP cap & HAFA initial cap
$
440,000
$
680,000 Updated portfolio data from servicer
$
(80,000) $
600,000 Updated portfolio data from servicer
$
(19,778) $
580,222 Updated portfolio data from servicer
$
(580,222) $
1/22/2010
$
290,000
$
6,450,000 Updated HPDP cap & HAFA initial cap
$
40,000
$
6,490,000 Updated portfolio data from servicer
$
(2,890,000) $
3,600,000 Updated portfolio data from servicer
$
$
(4) $
$
(4) $
6/29/2011
CA
Purchase
(3) $
3/30/2011
Sacramento
FL
$
1/6/2011
The Golden 1 Credit Union
Tampa
(2) $
9/30/2010
12/9/2009
Bay Gulf Credit Union
$
7/14/2010
12/9/2009
$
3/26/2010
Fidelity Homestead Savings Bank
1,900,000 Updated portfolio data from servicer
10/15/2010
N/A
(1,180,000) $
9/30/2010
2,940,000
$
7/14/2010
$
3,080,000 Updated portfolio data from servicer
3/26/2010
Financial Instrument for Home Loan Modifications
$
6/29/2011
Purchase
1,110,000
3/30/2011
LA
$
1/6/2011
New Orleans
1,970,000 Updated HPDP cap & HAFA initial cap
9/30/2010
Fidelity Homestead Savings Bank
$
7/14/2010
12/9/2009
90,000
3/26/2010
Silver State Schools Credit Union
$
6/29/2011
N/A
1/22/2010
3/30/2011
1,880,000
(13) $
1/6/2011
$
$
9/30/2010
Financial Instrument for Home Loan Modifications
(1) $
7/14/2010
Purchase
$
3/26/2010
NV
(1) $
6/29/2011
Las Vegas
$
3/30/2011
Silver State Schools Credit Union
$
1/6/2011
12/9/2009
$
9/30/2010
American Eagle Federal Credit Union
(570,000) $
Reason for Adjustment
$
(35) $
1/22/2010
$
70,334
275,834
606,612
100,000
$
$
$
$
800,000 Updated portfolio data from servicer
870,334 Updated portfolio data from servicer
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,319 reallocation
2,175,834 Updated portfolio data from servicer
2,175,832 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,175,829 reallocation
Updated due to quarterly assessment and
2,175,803 reallocation
1,015,388 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,015,386 reallocation
Updated due to quarterly assessment and
1,015,370 reallocation
- Termination of SPA
4,206,612 Updated portfolio data from servicer
4,206,608 Updated portfolio data from servicer
Updated due to quarterly assessment and
4,206,604 reallocation
Updated due to quarterly assessment and
4,206,569 reallocation
2,350,000 Updated HPDP cap & HAFA initial cap
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
3/26/2010
$
600,000
$
(350,000) $
800,000 Updated portfolio data from servicer
$
$
(1) $
$
(1) $
$
(13) $
$
20,000
$
$
1,250,000
$
$
(1,640,000) $
1/22/2010
N/A
1,150,000 Updated portfolio data from servicer
1/22/2010
N/A
$
$
30,000
$
$
400,000
$
1,030,000 Updated portfolio data from servicer
$
(330,000) $
700,000 Updated portfolio data from servicer
$
1/6/2011
Financial Instrument for Home Loan Modifications
370,000
820,000
9/30/2010
Purchase
$
$
7/14/2010
WA
Financial Instrument for Home Loan Modifications
$
3/26/2010
Seattle
Purchase
20,000
5/26/2010
12/11/2009 Verity Credit Union
IL
$
6/29/2011
Glenview
(11) $
3/26/2010
12/11/2009 Glenview State Bank
$
3/30/2011
HomeStar Bank & Financial Services
(1) $
1/22/2010
N/A
$
1/6/2011
310,000
(1) $
9/30/2010
$
$
7/14/2010
Financial Instrument for Home Loan Modifications
550,556
3/26/2010
Purchase
$
6/29/2011
IL
900,000 Updated portfolio data from servicer
3/30/2011
Manteno
1,610,000 Updated portfolio data from servicer
(710,000) $
1/6/2011
12/11/2009 HomeStar Bank & Financial Services
(740,000) $
$
9/30/2010
Sterling Savings Bank
$
7/14/2010
70,334
$
1,450,556 Updated portfolio data from servicer
1,450,555 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,554 reallocation
Updated due to quarterly assessment and
1,450,543 reallocation
330,000 Updated HPDP cap & HAFA initial cap
870,334 Updated portfolio data from servicer
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,319 reallocation
390,000 Updated HPDP cap & HAFA initial cap
1,640,000 Updated portfolio data from servicer
- Termination of SPA
630,000 Updated HPDP cap & HAFA initial cap
1/22/2010
Hartford Savings Bank
12/11/2009 The Bryn Mawr Trust Co.
Bryn Mawr
PA
Purchase
Financial Instrument for Home Loan Modifications
$
150,000
N/A
9
The Bryn Mawr Trust Co.
12/16/2009 Citizens 1st National Bank
Spring Valley
IL
Purchase
Financial Instrument for Home Loan Modifications
$
620,000
N/A
$
30,000
$
$
800,000
$
1,460,000 Updated portfolio data from servicer
$
(360,000) $
1,100,000 Updated portfolio data from servicer
$
$
(2) $
$
(2) $
$
(18) $
4/21/2010
N/A
(725,277) $
6/29/2011
630,000
$
3/30/2011
$
725,277 Updated portfolio data from servicer
1/6/2011
Financial Instrument for Home Loan Modifications
(1) $
9/30/2010
Purchase
$
7/14/2010
WI
725,278 Updated portfolio data from servicer
3/26/2010
Hartford
$
2/17/2011
12/11/2009 Hartford Savings Bank
25,278
$
$
(150,000) $
6/16/2011
$
100,000
$
100,000 Transfer of cap due to servicing transfer
1/22/2010
$
30,000
$
650,000 Updated HPDP cap & HAFA initial cap
60,445
$
- Termination of SPA
660,000 Updated HPDP cap & HAFA initial cap
1,160,445 Updated portfolio data from servicer
1,160,443 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,160,441 reallocation
Updated due to quarterly assessment and
1,160,423 reallocation
- Termination of SPA
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
3/26/2010
12/16/2009 Horizon Bank, NA
Michigan City
IN
Purchase
Financial Instrument for Home Loan Modifications
$
700,000
N/A
Horizon Bank, NA
12/16/2009 Park View Federal Savings Bank
Solon
OH
Purchase
Financial Instrument for Home Loan Modifications
$
760,000
N/A
Park View Federal Savings Bank
12/23/2009 Iberiabank
Sarasota
FL
Purchase
Financial Instrument for Home Loan Modifications
$
4,230,000
N/A
$
(10,000) $
200,000 Updated portfolio data from servicer
$
90,111
290,111 Updated portfolio data from servicer
$
1/22/2010
$
160,000
$
(3,620,000) $
1/22/2010
$
20,000
$
$
1,430,000
$
1,890,000 Updated portfolio data from servicer
$
(390,000) $
1,500,000 Updated portfolio data from servicer
$
(1,500,000) $
1/22/2010
$
30,000
$
$
1,740,000
$
2,470,000 Updated portfolio data from servicer
$
(1,870,000) $
600,000 Updated portfolio data from servicer
$
$
(2) $
$
(2) $
$
(23) $
1/22/2010
$
40,000
$
800,000 Updated HPDP cap & HAFA initial cap
$
140,000
$
940,000 Updated portfolio data from servicer
$
(140,000) $
800,000 Updated portfolio data from servicer
$
$
(1) $
$
(1) $
6/29/2011
N/A
210,000 Updated portfolio data from servicer
3/30/2011
440,000
$
1/6/2011
$
30,000
9/30/2010
Financial Instrument for Home Loan Modifications
$
7/14/2010
Purchase
180,000 Updated HPDP cap & HAFA initial cap
3/26/2010
WA
$
6/29/2011
Seattle
10,000
3/30/2011
12/16/2009 Sound Community Bank
$
1/6/2011
N/A
1/22/2010
9/30/2010
3,460,000
(24) $
7/14/2010
$
$
3/26/2010
Financial Instrument for Home Loan Modifications
(3) $
9/8/2010
Purchase
$
7/14/2010
OH
(2) $
3/26/2010
Lakewood
$
4/21/2010
12/16/2009 First Federal Savings and Loan Association of Lakewood
1,595,612 Updated portfolio data from servicer
2/17/2011
N/A
$
9/30/2010
170,000
95,612
7/14/2010
$
$
3/26/2010
Financial Instrument for Home Loan Modifications
1,500,000 Updated portfolio data from servicer
6/29/2011
Purchase
$
3/30/2011
KS
1,430,000
1/6/2011
Garden City
$
9/30/2010
12/16/2009 Golden Plains Credit Union
$
7/14/2010
Citizens 1st National Bank
(580,000) $
Reason for Adjustment
$
(12) $
1/22/2010
$
$
(290,111) $
850,556
70,334
200,000
$
$
$
$
70,000 Updated portfolio data from servicer
1,595,610 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,595,607 reallocation
Updated due to quarterly assessment and
1,595,583 reallocation
- Termination of SPA
3,620,000 Updated HPDP cap & HAFA initial cap
- Termination of SPA
460,000 Updated HPDP cap & HAFA initial cap
- Termination of SPA
730,000 Updated HPDP cap & HAFA initial cap
1,450,556 Updated portfolio data from servicer
1,450,554 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,552 reallocation
Updated due to quarterly assessment and
1,450,529 reallocation
870,334 Updated portfolio data from servicer
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,320 reallocation
4,430,000 Updated HPDP cap & HAFA initial cap
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
3/26/2010
Fresno County Federal Credit Union
CA
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
110,000
260,000
N/A
N/A
Fresno County Federal Credit Union
1/13/2010
Roebling Bank
Roebling
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
240,000
N/A
$
800,000 Updated portfolio data from servicer
$
(74,722) $
725,278 Updated portfolio data from servicer
$
(1) $
$
(1) $
$
(11) $
1/22/2010
$
-
$
$
90,000
$
150,000 Updated portfolio data from servicer
$
50,000
$
200,000 Updated portfolio data from servicer
$
(54,944) $
145,056 Updated portfolio data from servicer
$
(145,056) $
1/22/2010
$
$
(20,000) $
$
10,000
$
100,000 Updated portfolio data from servicer
$
45,056
$
145,056 Updated portfolio data from servicer
$
(145,056) $
3/26/2010
$
480,000
$
740,000 Updated portfolio data from servicer
$
(140,000) $
600,000 Updated portfolio data from servicer
$
(19,778) $
580,222 Updated portfolio data from servicer
$
(1) $
$
(1) $
6/29/2011
Fresno
AZ
760,000
3/30/2011
1/13/2010
Tempe
$
1/6/2011
12/23/2009 Tempe Schools Credit Union
(320,000) $
9/30/2010
Eaton National Bank & Trust Company
$
7/14/2010
N/A
20,000
12/8/2010
60,000
$
9/30/2010
$
1/22/2010
7/14/2010
Financial Instrument for Home Loan Modifications
(6,927,254) $
3/26/2010
Purchase
$
5/20/2011
OH
6/3/2011
9/30/2010
Eaton
(300,000) $
7/14/2010
12/23/2009 Eaton National Bank & Trust Company
$
3/26/2010
Grafton Suburban Credit Union
(13) $
6/29/2011
N/A
$
3/30/2011
340,000
(11) $
1/6/2011
$
$
9/30/2010
Financial Instrument for Home Loan Modifications
7,252,780 Updated portfolio data from servicer
7/14/2010
Purchase
5,852,780
3/26/2010
MA
$
4/13/2011
North Grafton
1,400,000 Updated portfolio data from servicer
3/30/2011
12/23/2009 Grafton Suburban Credit Union
2,960,000 Updated portfolio data from servicer
(1,560,000) $
1/6/2011
12
(1,470,000) $
$
9/30/2010
Iberiabank
$
7/14/2010
$
(8) $
3/26/2010
$
610,000
$
850,000 Updated portfolio data from servicer
7/14/2010
$
50,000
$
900,000 Updated portfolio data from servicer
-
$
$
$
7,252,769 Updated portfolio data from servicer
Updated due to quarterly assessment and
7,252,756 reallocation
6,952,756 Transfer of cap due to servicing transfer
25,502 Termination of SPA
360,000 Updated HPDP cap & HAFA initial cap
40,000 Updated portfolio data from servicer
725,277 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,276 reallocation
Updated due to quarterly assessment and
725,265 reallocation
60,000 Updated HPDP cap & HAFA initial cap
- Termination of SPA
110,000 Updated HPDP cap & HAFA initial cap
90,000 Updated portfolio data from servicer
- Termination of SPA
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
9/30/2010
Digital Federal Credit Union
MA
Purchase
Financial Instrument for Home Loan Modifications
$
3,050,000
N/A
3,000,000
$
$
4,860,000
$
$
3,630,000
$
$
330,000
$
24,400,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
24,730,000 servicing transfer
$
700,000
$
25,430,000 Transfer of cap due to servicing transfer
$
200,000
$
25,630,000 Transfer of cap due to servicing transfer
$
$
$
$
1,500,000
$
25,634,142 Transfer of cap due to servicing transfer
$
7,100,000
$
$
32,734,142 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
32,734,106 reallocation
$
1,000,000
$
33,734,106 Transfer of cap due to servicing transfer
$
100,000
$
33,834,106 Transfer of cap due to servicing transfer
$
300,000
$
$
34,134,106 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
34,133,774 reallocation
3/26/2010
$
8,680,000
$
9,450,000 Updated portfolio data from servicer
$
(8,750,000) $
700,000 Updated portfolio data from servicer
$
$
(1) $
$
(1) $
6/29/2011
Marlborough
$
3/30/2011
1/15/2010
(51,240,000) $
1/6/2011
Greater Nevada Mortgage Services
$
9/30/2010
N/A
3/26/2010
7/14/2010
770,000
(290,111) $
6/29/2011
$
$
6/16/2011
Financial Instrument for Home Loan Modifications
290,111 Updated portfolio data from servicer
5/13/2011
Purchase
(9,889) $
4/13/2011
NV
$
3/30/2011
Carson City
300,000 Updated portfolio data from servicer
3/16/2011
Greater Nevada Mortgage Services
$
1/13/2011
1/13/2010
10,000
1/6/2011
Specialized Loan Servicing, LLC
$
11/16/2010
N/A
290,000 Updated portfolio data from servicer
9/30/2010
64,150,000
$
9/15/2010
$
150,000
8/13/2010
Financial Instrument for Home Loan Modifications
$
7/16/2010
Purchase
N/A
3/26/2010
7/14/2010
CO
140,000
(870,333) $
6/16/2010
Highlands Ranch
$
$
5/14/2010
Specialized Loan Servicing, LLC
Financial Instrument for Home Loan Modifications
870,333 Updated portfolio data from servicer
1/26/2011
1/13/2010
Purchase
(1) $
9/30/2010
IL
$
7/14/2010
Grant Park
870,334 Updated portfolio data from servicer
3/23/2011
First National Bank of Grant Park
(29,666) $
1/6/2011
1/13/2010
$
$
(8) $
3/26/2010
$
12,190,000
5/14/2010
$
(15,240,000) $
(1,695,826) $
200,000
$
(32) $
(36) $
(332) $
170,334
$
$
- Termination of SPA
- Termination of SPA
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
23,934,174 Updated portfolio data from servicer
24,134,174 Transfer of cap due to servicing transfer
24,134,142 Updated portfolio data from servicer
870,334 Updated portfolio data from servicer
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,324 reallocation
15,240,000 Updated portfolio data from servicer
- Termination of SPA
Servicer Modifying Borrowers' Loans
Name of Institution
Date
1/29/2010
iServe Residential Lending, LLC
City
San Diego
Transaction
State
Type
CA
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
$
960,000
N/A
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
3/5/2010
iServe Servicing, Inc.
Irving
TX
Purchase
Financial Instrument for Home Loan Modifications
$
28,040,000
N/A
iServe Servicing, Inc.
3/10/2010
Navy Federal Credit Union
Vienna
VA
Purchase
Financial Instrument for Home Loan Modifications
$
60,780,000
N/A
$
(7) $
3/26/2010
$
160,000
$
700,000 Updated portfolio data from servicer
$
25,278
$
725,278 Updated portfolio data from servicer
$
(1) $
$
(1) $
$
(11) $
7/14/2010
$
4,440,000
$
(5,500,000) $
5/26/2010
$
120,000
$
(12,660,000) $
$
100,000
$
$
$
(20) $
$
(24) $
$
(221) $
7/14/2010
$
(44,880,000) $
9/30/2010
N/A
(1) $
6/29/2011
1,060,000
$
3/30/2011
$
(1) $
1/6/2011
Financial Instrument for Home Loan Modifications
$
11/16/2010
Purchase
535,167 Transfer of cap due to servicing transfer
9/30/2010
FL
100,000
9/30/2010
Lake Mary
$
7/14/2010
Urban Trust Bank
435,167 Updated portfolio data from servicer
9/24/2010
3/3/2010
(364,833) $
6/29/2011
United Bank
$
3/30/2011
N/A
800,000 Initial FHA-HAMP cap and initial 2MP cap
1/6/2011
540,000
$
9/30/2010
$
200,000
6/29/2011
Financial Instrument for Home Loan Modifications
$
3/30/2011
Purchase
600,000 Updated portfolio data from servicer
1/6/2011
GA
$
11/16/2010
Griffin
230,000 Updated portfolio data from servicer
370,000
9/30/2010
United Bank
(730,000) $
$
9/30/2010
1/29/2010
$
7/14/2010
iServe Residential Lending, LLC
3/26/2010
$
$
$
$
$
(3,125,218) $
800,000
1,071,505
$
$
535,166 Updated portfolio data from servicer
Updated due to quarterly assessment and
535,165 reallocation
Updated due to quarterly assessment and
535,158 reallocation
725,277 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,276 reallocation
Updated due to quarterly assessment and
725,265 reallocation
5,500,000 Updated portfolio data from servicer
- Termination of SPA
28,160,000 Initial 2MP cap
15,500,000 Updated portfolio data from servicer
15,600,000 Initial FHA-HAMP cap
12,474,782 Updated portfolio data from servicer
13,274,782 Transfer of cap due to servicing transfer
13,274,762 Updated portfolio data from servicer
Updated due to quarterly assessment and
13,274,738 reallocation
Updated due to quarterly assessment and
13,274,517 reallocation
15,900,000 Updated portfolio data from servicer
16,971,505 Updated portfolio data from servicer
1/6/2011
3/10/2010
Vist Financial Corp
Wyomissing
PA
Purchase
Financial Instrument for Home Loan Modifications
$
300,000
N/A
(23) $
$
(26) $
6/29/2011
Navy Federal Credit Union
$
3/30/2011
16,971,482 Updated portfolio data from servicer
Updated due to quarterly assessment and
16,971,456 reallocation
Updated due to quarterly assessment and
16,971,218 reallocation
$
(238) $
7/14/2010
$
400,000
$
700,000 Updated portfolio data from servicer
9/30/2010
$
25,278
$
725,278 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(1) $
725,277 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,276 reallocation
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
Note
Vist Financial Corp
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
$
10,000
N/A
4, 8
Aurora Financial Group, Inc.
6/16/2010
Selene Finance LP
Houston
TX
Transfer
Financial Instrument for Home Loan Modifications
$
-
N/A
Selene Financial, L.P.
8/4/2010
Suburban Mortgage Company of New Mexico
Albuquerque
NM
Purchase
Financial Instrument for Home Loan Modifications
$
880,000
N/A
Suburban Mortgage Company of New Mexico
8/20/2010
Bramble Savings Bank
Cincinanati
OH
Purchase
Financial Instrument for Home Loan Modifications
$
700,000
N/A
9
(5) $
$
(6) $
$
(3,000,000) $
$
(9) $
5/26/2010
$
30,000
$
$
250,111
$
$
59,889
$
6/16/2010
$
3,680,000
$
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
350,000 reallocation
Transfer of cap from CitiMortgage, Inc. due to
3,680,000 servicing transfer
$
3,300,000
$
6,980,000 Transfer of cap due to servicing transfer
$
3,043,831
$
10,023,831 Updated portfolio data from servicer
$
1,400,000
$
11,423,831 Transfer of cap due to servicing transfer
$
$
$
$
$
(200,000) $
$
(273) $
9/30/2010
$
$
(4) $
$
(4) $
6/29/2011
Financial Instrument for Home Loan Modifications
$
3/30/2011
Purchase
(4,352,173) $
1/6/2011
NJ
$
6/29/2011
Marlton
1,600,000
6/16/2011
Aurora Financial Group, Inc.
$
4/13/2011
5/21/2010
(150,000) $
3/30/2011
Wealthbridge Mortgage Corp
$
3/16/2011
N/A
(580,212) $
1/6/2011
6,550,000
$
10/15/2010
$
(8) $
9/30/2010
Financial Instrument for Home Loan Modifications
$
8/13/2010
Purchase
(1) $
6/29/2011
OR
$
6/29/2011
Beaverton
(1) $
9/30/2010
Wealthbridge Mortgage Corp
$
4/13/2011
4/14/2010
580,222 Updated portfolio data from servicer
3/30/2011
Midwest Bank and Trust Co.
(19,778) $
7/14/2010
N/A
$
1/6/2011
300,000
600,000 Updated portfolio data from servicer
9/30/2010
$
$
9/15/2010
Financial Instrument for Home Loan Modifications
300,000
7/14/2011
Purchase
$
6/29/2011
IL
7/14/2010
3/30/2011
Elmwood Park
$
1/6/2011
Midwest Bank and Trust Co.
6/29/2011
9/30/2010
4/14/2010
(11) $
Reason for Adjustment
Updated due to quarterly assessment and
725,265 reallocation
$
(40) $
9/30/2010
$
$
(17) $
2,100,000
$
(24) $
2,900,000
1,585,945
1,040,667
$
$
$
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
- Termination of SPA
6,400,000 Updated portfolio data from servicer
8,000,000 Transfer of cap due to servicing transfer
3,647,827 Updated portfolio data from servicer
3,647,822 Updated portfolio data from servicer
Updated due to quarterly assessment and
3,647,816 reallocation
647,816 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
647,807 reallocation
40,000 Updated FHA-HAMP cap
11,423,814 Updated portfolio data from servicer
13,523,814 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
13,523,790 reallocation
16,423,790 Transfer of cap due to servicing transfer
16,223,790 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
16,223,517 reallocation
2,465,945 Updated portfolio data from servicer
2,465,941 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,465,937 reallocation
Updated due to quarterly assessment and
2,465,897 reallocation
1,740,667 Updated portfolio data from servicer
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
1/6/2011
6/29/2011
9/30/2010
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
RBC Bank (USA)
9/3/2010
Fay Servicing, LLC
Chicago
IL
Purchase
Financial Instrument for Home Loan Modifications
$
3,100,000
N/A
Fay Servicing, LLC
9/15/2010
Vericrest Financial, Inc.
Oklahoma City
OK
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
Vericrest Financial, Inc.
9/15/2010
Midwest Community Bank
Midwest Community Bank
Freeport
IL
Purchase
Financial Instrument for Home Loan Modifications
$
400,000
N/A
9
$
34,944
$
$
40,000
$
$
50,000
$
180,000 Updated portfolio data from servicer
Updated due to quarterly assessment and
220,000 reallocation
Updated due to quarterly assessment and
270,000 reallocation
$
5,168,169
$
$
(12) $
$
(15) $
$
$
9/15/2010
$
1,000,000
$
1,000,000 Transfer of cap due to servicing transfer
$
450,556
$
1,450,556 Updated portfolio data from servicer
$
(2) $
1,450,554 Updated portfolio data from servicer
$
3,000,000
$
4,450,554 Transfer of cap due to servicing transfer
$
10,200,000
$
$
$
14,650,554 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,650,530 reallocation
Updated due to quarterly assessment and
14,650,303 reallocation
$
12,000,000
$
26,650,303 Transfer of cap due to servicing transfer
9/30/2010
$
180,222
$
580,222 Updated portfolio data from servicer
$
(1) $
3/30/2011
NC
145,056 Updated portfolio data from servicer
7/14/2011
Raleigh
$
1/6/2011
RBC Bank (USA)
45,056
6/29/2011
9/1/2010
$
3/30/2011
First Financial Bank, N.A.
9/30/2010
9/30/2010
N/A
(192) $
3/16/2011
4,300,000
$
2/16/2011
$
(20) $
1/6/2011
Financial Instrument for Home Loan Modifications
$
9/30/2010
Purchase
(17) $
6/29/2011
ID
$
4/13/2011
Terre Haute
$
3/30/2011
First Financial Bank, N.A.
(58) $
1/6/2011
8/27/2010
$
6/29/2011
Pathfinder Bank
(6) $
9/30/2010
N/A
$
3/30/2011
1,300,000
(5) $
1/6/2011
$
$
6/29/2011
Financial Instrument for Home Loan Modifications
$
3/30/2011
Purchase
(28) $
1/6/2011
NY
$
6/29/2011
Oswego
(3) $
3/30/2011
Pathfinder Bank
$
1/6/2011
8/25/2010
(2) $
3/30/2011
Bramble Savings Bank
$
$
(1) $
6/29/2011
$
(8) $
2,181,334
7,014,337
400,000
$
$
$
(143) $
(24) $
(227) $
1,740,665 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,740,662 reallocation
Updated due to quarterly assessment and
1,740,634 reallocation
3,481,334 Updated portfolio data from servicer
3,481,329 Updated portfolio data from servicer
Updated due to quarterly assessment and
3,481,323 reallocation
Updated due to quarterly assessment and
3,481,265 reallocation
11,314,337 Updated portfolio data from servicer
11,314,320 Updated portfolio data from servicer
Updated due to quarterly assessment and
11,314,300 reallocation
Updated due to quarterly assessment and
11,314,108 reallocation
8,268,169 Updated portfolio data from servicer
8,268,157 Updated portfolio data from servicer
Updated due to quarterly assessment and
8,268,142 reallocation
8,668,142 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
8,667,999 reallocation
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
Servicer Modifying Borrowers' Loans
Name of Institution
Date
9/24/2010
American Finance House LARIBA
City
Pasadena
Transaction
State
Type
CA
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
$
100,000
Adjustment Details
Note
N/A
Adjustment
Date
Cap Adjustment Amount
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
Parsippany
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
San Juan
PR
Purchase
Financial Instrument for Home Loan Modifications
$
1,700,000
N/A
4, 5, 8
Amarillo National Bank
9/30/2010
American Financial Resources Inc.
American Financial Resources Inc.
9/30/2010
Banco Popular de Puerto Rico
Banco Popular de Puerto Rico
9/30/2010
Capital International Financial, Inc.
Coral Gables
FL
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
Freeburg
IL
Purchase
Financial Instrument for Home Loan Modifications
$
800,000
4, 8
N/A
Capital International Financial, Inc.
9/24/2010
Citizens Community Bank
$
(2,756,052) $
$
45,056
$
9/30/2010
$
$
9/30/2010
$
$
9/30/2010
$
$
(3) $
$
(4) $
$
(36) $
9/30/2010
$
$
$
1/6/2011
SC
2,756,052 Updated portfolio data from servicer
9/30/2010
Columbia
2,756,056 Updated portfolio data from servicer
6/29/2011
AgFirst Farm Credit Bank
$
(4) $
6/29/2011
9/30/2010
856,056
9/30/2010
N/A
$
3/30/2011
1,900,000
$
1/6/2011
$
9/30/2010
6/29/2011
Financial Instrument for Home Loan Modifications
(145,056) $
6/29/2011
Purchase
$
3/23/2011
IL
$
3/9/2011
Ottawa
9/30/2010
1/6/2011
Centrue Bank
$
Reason for Adjustment
2/2/2011
9/24/2010
45,056
Adjusted Cap
$
(145,056) $
45,056
$
(1) $
45,056
$
(1) $
765,945
45,056
$
$
(1) $
- Termination of SPA
- Termination of SPA
145,056 Updated portfolio data from servicer
- Termination of SPA
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
2,465,945 Updated portfolio data from servicer
2,465,942 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,465,938 reallocation
Updated due to quarterly assessment and
2,465,902 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
2,000,000
N/A
6
Community Credit Union of Florida
9/30/2010
CU Mortgage Services, Inc.
New Brighton
MN
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
Lake City
FL
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
Diamond Bar
CA
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
Cincinnati
OH
Purchase
Financial Instrument for Home Loan Modifications
$
400,000
N/A
CU Mortgage Services, Inc.
9/30/2010
First Federal Bank of Florida
First Federal Bank of Florida
9/30/2010
First Mortgage Coporation
First Mortgage Coporation
9/30/2010
First Safety Bank
(1,160,443) $
9/30/2010
$
$
(4) $
$
(5) $
$
(48) $
9/30/2010
$
$
9/30/2010
$
$
9/30/2010
$
6/29/2011
$
$
6/29/2011
Financial Instrument for Home Loan Modifications
1,160,443 Updated portfolio data from servicer
6/29/2011
Purchase
(2) $
6/29/2011
FL
$
3/30/2011
Rockledge
1,160,445 Updated portfolio data from servicer
1/6/2011
Community Credit Union of Florida
$
3/23/2011
9/30/2010
360,445
145,056 Updated portfolio data from servicer
$
9/30/2010
$
901,112
45,056
$
$
(1) $
45,056
$
(1) $
45,056
$
(1) $
180,222
$
- Termination of SPA
2,901,112 Updated portfolio data from servicer
2,901,108 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,901,103 reallocation
Updated due to quarterly assessment and
2,901,055 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
580,222 Updated portfolio data from servicer
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
1/6/2011
Franklin Savings
9/30/2010
Gateway Mortgage Group, LLC
Tulsa
OK
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
Gateway Mortgage Group, LLC
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
James B. Nutter & Company
9/30/2010
Liberty Bank and Trust Co
New Orleans
LA
Purchase
Financial Instrument for Home Loan Modifications
$
1,000,000
N/A
Liberty Bank and Trust Co
9/30/2010
M&T Bank
Buffalo
NY
Purchase
Financial Instrument for Home Loan Modifications
$
700,000
N/A
4, 8
M&T Bank
9/30/2010
Magna Bank
Germantown
TN
Purchase
Financial Instrument for Home Loan Modifications
$
1,400,000
N/A
5
$
$
$
$
9/30/2010
$
$
9/30/2010
$
$
(1) $
$
(1) $
$
(6) $
9/30/2010
4
9/30/2010
$
$
(2) $
$
(2) $
$
(23) $
9/30/2010
$
$
(1) $
$
(1) $
6/29/2011
N/A
(40) $
3/30/2011
1,700,000
$
1/6/2011
$
(4) $
6/29/2011
Financial Instrument for Home Loan Modifications
$
3/30/2011
Purchase
(4) $
1/6/2011
OH
$
6/29/2011
Cincinnati
$
3/30/2011
Franklin Savings
9/30/2010
1/6/2011
9/30/2010
(2) $
6/29/2011
Flagstar Capital Markets Corporation
(18) $
9/30/2010
7, 8
$
3/23/2011
N/A
$
6/29/2011
800,000
$
6/29/2011
$
360,445
3/30/2011
Financial Instrument for Home Loan Modifications
$
1/6/2011
Purchase
9/30/2010
6/29/2011
MI
(580,221) $
3/30/2011
Troy
$
1/6/2011
Flagstar Capital Markets Corporation
(1) $
3/23/2011
9/30/2010
$
$
(11) $
9/30/2010
$
1/6/2011
$
(3) $
3/30/2011
$
(3) $
$
(2) $
765,945
45,056
$
$
(1) $
45,056
$
(145,056) $
45,056
$
(1) $
135,167
450,556
315,389
630,778
$
$
$
$
Reason for Adjustment
580,221 Updated portfolio data from servicer
- Termination of SPA
1,160,445 Updated portfolio data from servicer
1,160,443 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,160,441 reallocation
Updated due to quarterly assessment and
1,160,423 reallocation
2,465,945 Updated portfolio data from servicer
2,465,941 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,465,937 reallocation
Updated due to quarterly assessment and
2,465,897 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
145,056 Updated portfolio data from servicer
- Termination of SPA
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
435,167 Updated portfolio data from servicer
435,166 Updated portfolio data from servicer
Updated due to quarterly assessment and
435,165 reallocation
Updated due to quarterly assessment and
435,159 reallocation
1,450,556 Updated portfolio data from servicer
1,450,554 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,552 reallocation
Updated due to quarterly assessment and
1,450,529 reallocation
1,015,389 Updated portfolio data from servicer
1,015,388 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,015,387 reallocation
Updated due to quarterly assessment and
1,015,376 reallocation
2,030,778 Updated portfolio data from servicer
2,030,775 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,030,772 reallocation
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
Note
Magna Bank
Adjustment
Date
Cap Adjustment Amount
Mainstreet Credit Union
6/29/2011
Lexena
KS
Purchase
Financial Instrument for Home Loan Modifications
$
500,000
9/30/2010
N/A
$
$
1/6/2011
9/30/2010
Adjusted Cap
(33) $
4, 8
9/30/2010
Midland Mortgage Company
Oklahoma City
OK
Purchase
Financial Instrument for Home Loan Modifications
$
43,500,000
N/A
4, 5
Midland Mortgage Company
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
Salt Lake City
UT
Purchase
Financial Instrument for Home Loan Modifications
$
600,000
N/A
Stockman Bank of Montana
9/30/2010
University First Federal Credit Union
$
$
9/30/2010
$
$
(125) $
$
(139) $
$
(1,223) $
9/30/2010
$
45,056
$
9/30/2010
$
$
$
1/6/2011
N/A
9/30/2010
9/30/2010
100,000
(725,277) $
6/29/2011
$
$
6/29/2011
Financial Instrument for Home Loan Modifications
725,277 Updated portfolio data from servicer
6/29/2011
Purchase
(1) $
3/30/2011
NC
$
1/6/2011
Charlotte
725,278 Updated portfolio data from servicer
6/29/2011
Marsh Associates, Inc.
$
3/9/2011
9/30/2010
225,278
Reason for Adjustment
Updated due to quarterly assessment and
2,030,739 reallocation
45,056
$
(1) $
49,915,806
$
$
(1) $
45,056
$
(1) $
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
93,415,806 Updated portfolio data from servicer
93,415,681 Updated portfolio data from servicer
Updated due to quarterly assessment and
93,415,542 reallocation
Updated due to quarterly assessment and
93,414,319 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
CO
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
Statebridge Company, LLC
12/15/2010 Scotiabank de Puerto Rico
San Juan
PR
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
Scotiabank de Puerto Rico
4/13/2011
AmTrust Bank, A Division of New York Community Bank
AmTrust Bank, A Division of New York Community Bank
Cleveland
OH
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
12/15/2010
$
$
$
500,000
$
5,499,993 Transfer of cap due to servicing transfer
$
100,000
$
$
(9) $
$
(85) $
5,599,993 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,599,984 reallocation
Updated due to quarterly assessment and
5,599,899 reallocation
12/15/2010
$
$
(4) $
$
(5) $
4/13/2011
$
200,000
$
200,000 Transfer of cap due to servicing transfer
$
100,000
$
300,000 Transfer of cap due to servicing transfer
6/16/2011
Denver
$
5/13/2011
4, 8
$
6/29/2011
N/A
9/30/2010
1/6/2011
100,000
(870,333) $
6/29/2011
$
$
3/30/2011
Financial Instrument for Home Loan Modifications
870,333 Updated portfolio data from servicer
3/16/2011
Purchase
(1) $
2/16/2011
VA
$
1/6/2011
12/15/2010 Statebridge Company, LLC
Woodbridge
870,334 Updated portfolio data from servicer
6/29/2011
Weststar Mortgage, Inc.
$
2/17/2011
9/30/2010
270,334
- Termination of SPA
$
300,000
$
6/29/2011
$
600,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
599,991 reallocation
45,056
$
(1) $
5,000,000
- Termination of SPA
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
$
5,000,000 Updated portfolio data from servicer
(7) $
4,999,993 Updated portfolio data from servicer
4,300,000
$
(9) $
4,300,000 Updated portfolio data from servicer
4,299,996 Updated portfolio data from servicer
Updated due to quarterly assessment and
4,299,991 reallocation
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
Pricing
to Servicers &
Mechanism
Adjustment Details
Note
4/13/2011
SunTrust Mortgage, Inc.
Richmond
VA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
4/13/2011
Urban Partnership Bank
Chicago
IL
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
Hawthorne
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
Anaheim Hills
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
5/13/2011
FCI Lender Services, Inc.
7/14/2011
Beaverton
OR
Purchase
Financial Instrument for Home Loan Modifications
$
Total Initial Cap
Gregory Funding, LLC
$
23,831,570,000
TOTAL CAP
N/A
9
4/13/2011
$
1,000,000
$
$
233,268
$
1,000,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,233,268 reallocation
4/13/2011
$
200,000
$
$
17,687
$
200,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
217,687 reallocation
5/13/2011
$
500,000
$
500,000 Transfer of cap due to servicing transfer
$
100,000
$
$
600,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
599,991 reallocation
7/14/2011
FCI Lender Services, Inc.
100,000 Transfer of cap due to servicing transfer
6/29/2011
Western Federal Credit Union
$
6/29/2011
Western Federal Credit Union
100,000
6/16/2011
4/13/2011
$
6/29/2011
Urban Partnership Bank
4/13/2011
$
200,000
$
799,991 Transfer of cap due to servicing transfer
7/14/2011
$
200,000
$
200,000 Transfer of cap due to servicing transfer
$
6,053,795,092
$
29,885,365,092
Total Cap Adjustments
(9) $
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.
11/ MorEquity, Inc executed a subservicing agreement with Nationstar Mortgage, LLC, that took effect 02/01/2011. All mortgage loans including all HAMP loans were transferred to Nationstar. The remaining Adjusted Cap stated above represents the amount previously paid to MorEquity, Inc. prior to such agreement.
12/ The remaining Adjusted Cap stated above represents the amount paid to servicer prior to SPA termination.
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
Supplemental Information [Not Required by EESA §114(a)]
Home Affordable Modification Program
Non-GSE Incentive Payments (through July 2011)
Borrowers
Name of Institution
Allstate Mortgage Loans & Investments, Inc.
American Home Mortgage Servicing, Inc.
Aurora Financial Group, Inc
Aurora Loan Services LLC
BAC Home Loans Servicing, LP
Bank of America, N.A.
BANKUNITED
Bayview Loan Servicing LLC
Carrington Mortgage Services, LLC.
CCO Mortgage, a division of RBS Citizens NA
Central Florida Educators Federal Credit Union
CitiMortgage Inc
Citizens First National Bank
CUC Mortgage Corporation
DuPage Credit Union
EMC Mortgage Corporation
Fay Servicing, LLC
FCI Lender Services, Inc.
FIRST BANK
First Keystone Bank
Franklin Credit Management Corporation
Fresno County Federal Credit Union
Glass City Federal Credit Union
GMAC Mortgage, LLC
Great Lakes Credit Union
Greater Nevada Mortgage Services
Green Tree Servicing LLC
Guaranty Bank
Hillsdale County National Bank
Home Loan Services, Inc.
HomEqServicing
HomeStar Bank and Financial Services
Horicon Bank
Iberiabank
IBM Southeast Employees' Federal Credit Union
IC Federal Credit Union
Idaho Housing and Finance Association
JPMorgan Chase Bank, NA
Lake City Bank
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
1,623.05
13,485,202.68
6,388.77
5,653,218.52
28,965,612.47
3,109,382.34
1,584,871.99
1,930,115.36
2,276,629.99
530,197.22
14,185.90
16,141,312.08
2,750.00
11,881.16
1,000.00
7,569,459.20
5,666.68
221,495.01
2,775.62
127,611.54
1,000.00
2,000.00
11,443,544.37
916.67
14,416.67
203,100.98
916.67
6,059.59
169,857.80
583.33
1,515.13
2,916.67
3,833.34
5,844.16
49,417,535.09
833.33
Lenders/Investors
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
5,579.01
52,941,224.46
18,970,433.34
85,716,598.22
14,994,830.72
5,721,085.75
5,144,512.31
7,993,495.26
1,603,706.24
38,483.49
56,765,199.16
7,662.03
37,982.11
10,144.60
11,592,937.05
15,496.17
349.32
589,898.26
3,423.27
296,263.96
5,286.09
1,972.46
41,663,785.95
2,133.16
40,514.28
655,466.12
10,058.61
2,440,767.73
3,036,319.34
2,914.13
5,060.84
10,502.00
10,772.93
8,660.22
3,988.95
76,420,465.14
1,335.90
Servicer
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
4,623.05
41,441,372.55
6,472.10
14,644,716.23
69,270,720.99
10,222,438.92
4,457,003.77
4,656,900.83
6,407,486.80
1,367,444.87
50,820.42
43,052,248.14
10,916.67
40,848.96
3,500.00
16,279,383.05
5,750.01
611,118.12
8,717.90
434,317.67
5,000.00
4,000.00
32,934,451.89
3,000.00
37,750.01
873,904.49
1,000.00
21,704.84
3,698,606.99
5,272,500.00
3,916.67
4,569.53
15,000.00
10,000.00
10,000.00
8,844.16
85,351,692.36
6,000.00
Total Payments
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
11,825.11
107,867,799.69
12,860.87
39,268,368.09
183,952,931.68
28,326,651.98
11,762,961.51
11,731,528.50
16,677,612.05
3,501,348.33
103,489.81
115,958,759.38
21,328.70
90,712.23
14,644.60
35,441,779.30
26,912.86
349.32
1,422,511.39
14,916.79
858,193.17
11,286.09
7,972.46
86,041,782.21
6,049.83
92,680.96
1,732,471.59
1,916.67
37,823.04
6,309,232.52
8,308,819.34
7,414.13
11,145.50
25,502.00
23,689.60
22,493.56
18,677.27
211,189,692.59
8,169.23
Name of Institution
Lake National Bank
Litton Loan Servicing, LP
Los Alamos National Bank
M&T Bank
Marix Servicing LLC
Midland Mortgage Co.
Midwest Community Bank
Mission Federal Credit Union
MorEquity, Inc.
Mortgage Center, LLC
National City Bank
Nationstar Mortgage LLC
Navy Federal Credit Union
Oakland Municipal Credit Union
Ocwen Loan Servicing, LLC
OneWest Bank
ORNL Federal Credit Union
Park View Federal Savings Bank
Pathfinder Bank
PennyMac Loan Services, LLC
PNC Bank, National Association
Quantum Servicing Corporation
RBC Bank (USA)
Residential Credit Solutions, Inc.
RG Mortgage
RoundPoint Mortgage Servicing Corporation
Saxon Mortgage Services, Inc.
Schools Financial Credit Union
Scotiabank de Puerto Rico
Select Portfolio Servicing, Inc.
Selene Finance LP
Servis One, Inc., dba BSI Financial Services, Inc.
ShoreBank
Silver State Schools Credit Union
Specialized Loan Servicing LLC
Sterling Savings Bank
Technology Credit Union
The Bryn Mawr Trust Company
The Golden 1 Credit Union
U.S. Bank National Association
United Bank
United Bank Mortgage Corporation
Urban Partnership Bank
Vantium Capital, Inc. d/b/a Acqura Loan Services
Vericrest Financial, Inc.
Wachovia Mortgage, FSB
Borrowers
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2,000.00
8,535,471.92
3,537.50
12,652.17
145,604.56
453,625.16
14,500.01
345,841.21
30,738.97
474,741.96
4,422,466.92
20,833.34
16,786,614.93
10,276,035.07
5,000.00
916.67
369,704.96
12,833.34
4,068.62
277,615.42
164,852.94
33,166.66
14,256,543.64
3,000.00
29,509.38
15,872,759.44
6,750.00
3,000.00
49,915.10
11,677.95
339,720.04
17,617.28
10,416.67
1,000.00
38,163.01
2,323,684.06
14,468.08
47,464.24
7,605.19
-
Lenders/Investors
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2,434.30
24,603,769.19
4,532.36
442,970.89
3,344.24
181.76
40,619.47
2,305,003.00
74,198.58
1,889,465.58
11,839,593.41
135,649.15
3,568.11
45,241,960.55
37,449,722.48
14,714.21
944.82
868,851.42
31,494.05
1,045.60
798,125.37
227,582.28
100,810.75
25,559,804.65
18,112.30
144,564.29
41,570,299.01
15,782.48
7,296.98
153,906.17
69,291.71
895,816.81
44,036.35
46,869.15
3,866.45
201,317.52
8,942,608.45
27,725.00
(1,500.00)
80,060.74
25,700.81
76,889.58
Servicer
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
3,000.00
20,413,560.65
11,793.00
12,818.84
457,171.44
515,534.68
1,000.00
35,000.00
1,977,320.74
99,231.41
1,384,933.00
10,973,262.30
137,833.34
6,500.00
39,537,119.87
25,394,358.10
2,000.00
12,000.00
1,916.67
975,654.93
47,500.00
1,000.00
4,068.62
811,454.66
401,333.81
115,000.00
31,953,418.10
12,500.00
48,337.43
37,691,138.03
6,500.00
10,000.00
143,165.10
38,844.62
833,540.00
61,117.28
26,416.67
1,000.00
151,996.34
7,827,335.56
1,000.00
33,089.81
(500.00)
52,006.64
22,938.52
162,000.00
Total Payments
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
7,434.30
53,552,801.76
19,862.86
25,471.01
1,045,746.89
972,504.08
1,181.76
90,119.48
4,628,164.95
204,168.96
3,749,140.54
27,235,322.63
294,315.83
10,068.11
101,565,695.35
73,120,115.65
2,000.00
31,714.21
3,778.16
2,214,211.31
91,827.39
2,045.60
8,137.24
1,887,195.45
793,769.03
248,977.41
71,769,766.39
33,612.30
222,411.10
95,134,196.48
29,032.48
20,296.98
346,986.37
119,814.28
2,069,076.85
122,770.91
83,702.49
5,866.45
391,476.87
19,093,628.07
1,000.00
75,282.89
(2,000.00)
179,531.62
56,244.52
238,889.58
Name of Institution
Borrowers
Lenders/Investors
Servicer
Total Payments
Wells Fargo Bank, N.A.
Wescom Central Credit Union
Western Federal Credit Union
Wilshire Credit Corporation
Yadkin Valley Bank
$
$
$
$
$
33,722,420.85
93,545.55
1,000.00
2,000.00
$
$
$
$
$
88,684,962.97
374,718.56
7,905.83
490,394.10
3,556.00
$
$
$
$
$
69,707,617.73
210,612.54
4,000.00
1,167,000.00
15,000.00
$
$
$
$
$
192,115,001.55
678,876.65
12,905.83
1,657,394.10
20,556.00
Totals
$
252,161,336
$
680,293,876
$
594,751,182
$
1,527,206,395
Housing Finance Agency Innovation Fund for the Hardest Hit Housing Markets
Hardest Hit Funds (HHF) Program
Seller
Note
Date
2
Investment Amount
Pricing
Additional
1
Investment Amount
Mechanism
$
194,026,240
102,800,000
N/A
Transaction
Type
NV
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
-
$
34,056,581
Purchase
Financial Instrument for HHF Program
-
$
57,169,659
Purchase
Financial Instrument for HHF Program
9/23/2010
3
City
State
Purchase
Name of Institution
9/29/2010
6/23/2010 Nevada Affordable Housing Assistance Corporation
6/23/2010 CalHFA Mortgage Assistance Corporation
Reno
Sacramento
CA
Investment Description
Initial Investment
Amount
$
$
699,600,000
-
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
Financial Instrument for HHF Program
1,975,334,096
799,477,026
Purchase
N/A
$
476,257,070
3
N/A
6/23/2010 Florida Housing Finance Corporation
Tallahassee
FL
$
418,000,000
-
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
N/A
$
1,057,839,136
400,974,381
Purchase
N/A
238,864,755
3
6/23/2010 Arizona (Home) Foreclosure Prevention Funding Corporation
3
Phoenix
AZ
9/29/2010
6/23/2010 Michigan Homeowner Assistance Nonprofit Housing Corporation
Lansing
MI
$
125,100,000
-
$
$
154,500,000
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
N/A
$
267,766,006
$
498,605,738
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
215,644,179
Purchase
Financial Instrument for HHF Program
8/3/2010
North Carolina Housing Finance Agency
Raleigh
NC
$
159,000,000
-
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
Purchase
Financial Instrument for HHF Program
N/A
$
482,781,786
202,907,565
8/3/2010
Ohio Homeowner Assistance LLC
Columbus
OH
$
172,000,000
-
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
Purchase
Financial Instrument for HHF Program
N/A
$
570,395,099
249,666,235
8/3/2010
Oregon Affordable Housing Assistance Corporation
Salem
OR
$
88,000,000
-
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
Purchase
Financial Instrument for HHF Program
N/A
$
220,042,786
82,748,571
8/3/2010
Rhode Island Housing and Mortgage Finance Corporation
Providence
RI
$
43,000,000
-
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
Purchase
Financial Instrument for HHF Program
N/A
$
79,351,573
22,780,803
8/3/2010
SC Housing Corp
Columbia
SC
$
138,000,000
-
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
9/29/2010
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
N/A
$
295,431,547
98,659,200
9/23/2010 Alabama Housing Finance Authority
3
KY
Jackson
MS
9/29/2010
9/23/2010 GHFA Affordable Housing, Inc.
3
Frankfort
9/29/2010
9/23/2010 Mississippi Home Corporation
3
AL
9/29/2010
9/23/2010 Kentucky Housing Corporation
3
Montgomery
9/29/2010
Atlanta
GA
$
60,672,471
-
$
$
$
126,650,987
-
162,521,345
$
148,901,875
$
101,888,323
$
339,255,819
212,604,832
N/A
N/A
N/A
N/A
63,851,373
-
$
N/A
$
93,313,825
-
N/A
N/A
101,848,874
-
38,036,950
-
$
$
55,588,050
-
$
-
N/A
N/A
58,772,347
3
N/A
N/A
13,570,770
3
N/A
N/A
49,294,215
3
N/A
N/A
148,728,864
3
N/A
N/A
120,874,221
3
N/A
N/A
128,461,559
3
N/A
N/A
142,666,006
-
N/A
N/A
N/A
N/A
N/A
Seller
Note
Date
Name of Institution
9/23/2010 Indiana Housing and Community Development Authority
3
IN
Purchase
Financial Instrument for HHF Program
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
Chicago
Financial Instrument for HHF Program
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
IL
9/29/2010
9/23/2010 New Jersey Housing and Mortgage Finance Agency
3
Transaction
Type
9/29/2010
9/23/2010 Illinois Housing Development Authority
3
Indianapolis
State
Purchase
City
Trenton
NJ
9/29/2010
9/23/2010 District of Columbia Housing Finance Agency
3
3
DC
9/29/2010
9/23/2010 Tennessee Housing Development Agency
9/29/2010
Washington
Nashville
TN
Investment Description
Initial Investment
Amount
$
82,762,859
-
$
$
81,128,260
-
$
445,603,557
$
300,548,144
-
$
20,697,198
$
$
217,315,593
$
$
7,600,000,000
N/A
N/A
N/A
N/A
12,970,520
136,187,333
N/A
N/A
188,347,507
TOTAL INVESTMENT AMOUNT
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.
3/ On 9/29/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.
221,694,139
279,250,831
-
7,726,678
-
$
$
$
138,931,280
-
112,200,637
-
$
$
166,352,726
-
$
Investment Amount
Pricing
Additional
1
Investment Amount
Mechanism
N/A
N/A
N/A
N/A
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
$
TOTAL
$
Investment Amount
8,117,000,000
Pricing Mechanism
N/A
8,117,000,000
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 allowed 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.
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Projected Costs and Liabilities [Section 105(a)(3)(E)]
For Period Ending July 31, 2011
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 was
terminated on December 23, 2009.
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Programmatic Operating Expenses [Section 105(a)(3)(F)]
For Period Ending July 31, 2011
Type of Expense
Compensation for financial agents
and legal firms
Amount
$510,638,265
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Description of Vehicles Established [Section 105(a)(3)(H)]
For Period Ending July 31, 2011
Date
Vehicle
None
Description
@FedFRASER