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Troubled Asset Relief Program (TARP)
Monthly 105(a) Report – August 2011

September 12, 2011

This report to Congress is pursuant to Section 105(a) of the Emergency Economic Stabilization Act of 2008.

Monthly 105(a) Report

August 2011

Section

Page

Where are the TARP Funds?.....………………………………………………………………………………………………………………..

1

Daily TARP Update

3

Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal Budget

5

Program Updates…………………….…………………………………………………………………………………………………..............

7

Bank Support Programs…………………….…………………………………………………………………………………………………...

7

Capital Purchase Program
Credit Market Programs…………………….……………………………………………………………………….…………………………..

10

Public-Private Investment Program
Other Programs……………….……………………………………………………………………………………………...............................

11

American International Group
Housing Programs……………………………………………………………………………………...........................................................

12

Appendix – Financial Statements….…………………………………………………………………………………………………………..

14

More information is available at FinancialStability.gov.

Monthly 105(a) Report

August 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 U.S. government had made
investments in banks representing approximately 75 percent of U.S. bank holding companies by assets. Today, banks that have not yet
repaid Treasury for its investments represent only about 8 percent of bank holding companies by assets. Moreover, as of today, taxpayers
have recovered more than $255 billion from TARP’s bank programs through repayments, dividends, interest, and other income -- over $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.

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.
Figure 1: 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.
The Daily Tarp Update is also available on FinancialStability.gov and is updated after every business day.
http://www.treasury.gov/initiatives/financial-stability/briefing-room/reports/tarp-daily-summary-report/Pages/default.aspx.
Figure 2: 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.

1

Numbers in text and tables in this report may not add because of rounding.

1

Monthly 105(a) Report

August 2011

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:

August 2011

Daily TARP Update for September 1, 2011 (through August 31, 2011)

Daily TARP Update for 09/01/2011
Principal/Investment
(*Dollars in Billions*)

Obligated

Disbursed

Repayments

Refinancing
to SBLF1

Income/Revenue

Write-offs

Realized Loss2

Dividends3

Outstanding

Interest3

Gain / Other
Income2

Warrants Sold2 Total Income

Total Cash Back4

Bank Support Programs
Capital Purchase Program (CPP)5
Preferred & Other Securities

$

179.54

$

179.54

$

157.90

$

2.58

$

0.08

$

18.98

$

10.24

$

-

$

-

$

7.46

$

17.69

$

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

$

0.86

175.60

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

$

5.00

$

-

$

-

$

-

$

-

$

-

$

0.44

$

-

$

2.25

$

0.07

$

2.76

$

2.76

$

0.36

$

0.36

$

-

$

-

$

-

$

-

$

-

$

-

$

-

$

-

$

-

$

-

$

-

$

0.21

$

0.21

$

-

$

-

$

-

$

-

$

0.57

$

0.01

$

-

$

-

$

-

$

0.01

$

0.01

$

250.46

$

245.10

$

222.90

$

0.08

$

19.55

$

14.65

$

-

$

9.37

$

9.01 $

33.04

$

255.95

Asset Guarantee Program (AGP)
Bank Of America
6

Citigroup

Community Development Capital Initiative (CDCI)7
Exchanges From CPP to CDCI
Not From Exchanges
Bank Program Totals

8

0.86 $

2.58 $

Credit Market Programs
Public-Private Investment Program (PPIP)
Equity

$

7.51

$

5.94

$

0.16

$

-

$

-

$

5.79

$

0.88

$

-

$

0.00

$

-

$

0.88

$

1.04

Debt

$

14.90

$

11.46

$

1.14

$

-

$

-

$

10.32

$

-

$

0.17

$

-

$

-

$

0.17

$

1.31

Term Asset Backed Securities Loan Facility (TALF)

$

4.30

$

0.10

$

-

$

-

$

-

$

0.10

$

-

$

-

$

-

$

-

$

-

$

-

Purchase SBA 7(a) Securities (SBA)

$

0.37

$

0.37

$

0.18

$

-

$

-

$

0.19

$

-

$

0.01

$

0.00

$

-

$

0.01

$

0.19

$

27.07

$

17.87 $

1.47

$

-

$

-

$

16.40

$

0.88 $

0.18

$

0.00

$

-

$

1.06

$

2.53

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 $

11.17

$

-

$

-

$

9.12

$

0.23

$

-

$

0.17

$

-

$

0.39

$

11.56

$

67.84

$

67.84

$

15.00

$

-

$

1.92

$

50.92

$

0.23

$

-

$

0.17

$

-

$

0.39

$

15.39

23.18

$

-

$

4.44

$

23.42

$

-

$

0.77

$

0.10

$

-

$

0.86

$

24.04

9.44

$

1.60

$

1.33

$

-

$

-

$

1.19

$

0.49

$

-

$

1.68

$

11.12

$

AIG Totals
Automotive Industry Financing Program (AIFP)
GM11

$

51.03

$

51.03 $

Chrysler

$

12.37

$

12.37

$

Ally (GMAC)

$

16.29

$

16.29

$

2.54

-

$

13.75

$

2.47

-

$

0.13

$

-

$

2.60

$

5.14

$

79.69

$

79.69

$

35.16

$

1.60 $

5.77

$

37.17

$

2.47 $

1.95

$

0.72

$

-

$

5.14

$

40.30

$

147.53

$

147.53

$

50.15

$

1.60 $

7.68

$

88.09

$

2.70 $

1.95

$

0.88

$

-

$

5.53

$

55.69

Making Homes Affordable

$

29.88

$

1.63

HFA Hardest-Hit Fund

$

7.60

$

0.54

$

8.12

$

0.05

Housing Totals

$

45.60

$

2.23

Grand Totals

$

470.67

$

412.73

$

274.53

$

4.18 $

7.77

$

124.04

$

18.23 $

2.13

$

10.26

$

9.01 $

39.64

$

314.17

AIFP Totals
Other Programs Totals

$

Treasury Housing Programs Under TARP

12

FHA Refinance

3

Monthly 105(a) Report

August 2011

Notes to Daily TARP Update
1/ This represents the portion of the repayments that were received from refinancing to the Small Business Lending Fund (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

August 2011

Figure 2: Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal Budget
Programs
as of August 31, 2011
(dollar amounts in billions)

Outstanding
Estimated
Investment
Balance as Lifetime Cost
of August 31 as of Jun 301,2

Obligation/
Commitment

Disbursed
as of
August 31

$ 25.00

$ 25.00

165.33

165.33

9.13

(10.89)

14.57

14.57

9.85

3.20

Bank Support Programs:
Capital Purchase Program (CPP):
Citigroup
Other banks with assets $10 billion or greater
Banks with assets less than $10 billion3
Total

$

0.00

$

(6.46)

$ 204.89

$ 204.89

$ 18.98

$

(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

7.51
14.90
$ 22.41

$

5.94
11.46
$ 17.40

$

5.79
10.32
$ 16.11

$

(2.48)
0.47

$

(2.01)

$

4.30

$

0.10

$

0.10

$

0.37

$

0.37

$

0.19

$
$

(0.34)
0.00

$ 20.29
47.54

$ 20.29
47.54

$

9.12
41.80

$

17.30

$ 67.84

$ 67.84

$ 50.92

$

17.30

Automotive Industry Financing Program (AIFP)

$ 79.69

$ 79.69

37.17

$

14.33

Sub-total for Investment Programs

$ 425.06

$ 410.50

$124.04

$

7.57

$ 45.60

$

$

-

$

45.60

$ 470.67

$ 412.73

$124.04

$

53.17

n/a

n/a

n/a

$ 470.67

$ 412.73

$124.04

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

Treasury Housing Programs Under TARP

Total for TARP Programs
Additional AIG Common Shares Held by Treasury5

Total for TARP Programs and Additional AIG Shares

2.23

(16.48)

$

36.69

5

Monthly 105(a) Report

August 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 August
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

8/31/2011
Market
Value

In billions
$
24.32
$
12.02
$
12.53

Increase
(Decrease)
in Cost

$
$
$

3.83
3.16
1.98

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

August 2011

Program Updates
Bank Support Programs
In early October 2008, Treasury launched a series of programs to stabilize the nation’s banking institutions. 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. 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.
Figure 3:

Capital Purchase Program Snapshot as of August 31, 2011

Amount Invested:
Largest Investment:
Smallest Investment:

CPP Cumulative Investments
$204.9 billion
$25 billion
$301,000.00

CPP Institutions (Banks in 48 states, D.C and Puerto Rico)
Total Institutions Funded:
707
Full Repayments:
126
SBLF Repayments:
65
CDCI Conversions:
28
Partial Repayments:
13
Sold Investments:
10
In Bankruptcy/Receivership:
12
Merged Institutions:
2
Total Remaining Institutions:
464

CPP Income to Treasury
Total Amount of Repayments1:

$183.26 billion

Total Dividends, Interest, & Fee Income:
$11.2 billion
August Dividends and Interest:
$201.5 million
Citigroup Gain:
$6.85 billion
Total Warrant Income2:

$7.57 billion

Total CPP Income:

$208.9 billion

7

Monthly 105(a) Report

August 2011

Notes to Capital Purchase Program Snapshot as of August 31, 2011:
1/ Includes repayment of $25 billion from completed Citigroup common stock conversion, $335,724,000 from CDCI conversions and
$856,739,000 from SBLF refinancings.
2/ Gross proceeds excluding commissions paid. Includes proceeds from exercised warrants.
Repayments
In August, a total of 45 institutions repurchased all or part of their outstanding CPP preferred shares from Treasury’s investments in those
institutions for total proceeds of $614,225,000.
•

In 41 of those cases, all or part of the funds came from the Small Business Lending Fund. The portion of repayments that are due to
refinancing under SBLF is shown on the TARP Daily Update (Figure 1).

Exchanges and Sales
In limited cases, in order to protect the taxpayers’ interest in the value of a CPP investment and to promote the objectives of EESA,
Treasury may exchange the CPP preferred stock for other securities. Treasury evaluates whether to participate in an exchange of the CPP
preferred stock on the basis of enabling the bank to (i) get new investors to provide additional capital, (ii) conduct a capital restructuring or
(iii) strengthen its capital position and financial condition. Exchanges made on this basis may be at a rate less than par, and sales by
Treasury to a new investor may be made at a discount.
•

On 8/12/2011, Treasury entered into an agreement with FNB United Corp. to exchange Treasury’s $51,500,000 of preferred stock for
common stock. The exchange is subject to the fulfillment by FNB United Corp. of certain conditions, including the satisfactory
completion of a capital plan.

Warrant Repurchases
In August, Treasury disposed of warrant positions in thirty 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 $13.4 million from
Treasury’s investments in banks beyond any dividend or interest payments.
•

Twenty seven institutions repurchased preferred shares from exercised warrants from Treasury for a total of $11,655,000.

•

Treasury also completed the sale of three warrants for First California Financial Group Inc., Heritage Financial Corporation and West
Bancorporation, Inc. for a total of $1,749,042 as part of each institution’s purchase of all preferred stock held by Treasury.

•

On August 25, Treasury released the latest TARP Warrant Disposition Report including data during the six months ending June 30,
2011. During that period, Treasury received more than $886 million in gross proceeds from the disposition of 20 warrant positions
through repurchases and auctions of institutions in the Capital Purchase Program (CPP), the Targeted Investment Program (TIP) and
the Asset Guarantee Program (AGP). Since the TARP’s inception, Treasury has received more than $9 billion in gross proceeds from

8

Monthly 105(a) Report

August 2011

the disposition of warrants associated with investments made through CPP, TIP and AGP. As of June 30, 2011, Treasury held warrants
to purchase common stock in 19 financial institutions that have fully repaid their CPP investments and in 171 publicly traded companies
in which the CPP investment is still outstanding. Treasury intends to continue to execute a consistent and transparent disposition
process that achieves fair market values and protects taxpayer interests.
Dividends and Interest
In August, Treasury received dividends and interest income from CPP investments of approximately $201.5 million. Cumulative
dividends, interest and fee income received from Capital Purchase Program investments is approximately $11.2 billion.
Figure 4:

1
2
3
4
5
6
7
8
9
10
11
12
13

Top 25 Remaining Capital Purchase Program Investments (as of August 31, 2011)

Institution

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

14
15
16
17
18
19
20
21
22
23
24
25

Institution

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.

9

Monthly 105(a) Report

August 2011

Credit Market Programs
Public-Private Investment Program (PPIP)
On July 22, 2011, Treasury released its quarterly report for the period ending June 30, 2011 on the Legacy Securities Public-Private
Investment Program. This is the seventh quarterly report on PPIP and includes a summary of PPIP capital activity, portfolio holdings and
current pricing, and program and fund performance. Treasury is committed to transparency and accountability in its programs and will
provide additional information as the program continues to mature in subsequent quarterly reports. The report can be found at:
http://www.treasury.gov/initiatives/financial-stability/programs/Credit%20Market%20Programs/ppip/Pages/publicprivatefund.aspx
As of June 30, 2011: – $4.4 Billion
•

The PPIFs have drawn-down approximately $22.2 billion of the total capital committed (75.6% of total purchasing power), which has
been invested in Eligible Assets and cash equivalents pending investment, as compared to $20.9 billion of total capital drawn-down as
of March 31, 2011. Among the individual PPIFs, RLJ Western had drawn the most (100% of its total purchasing power) and Oaktree
had drawn the least (15.8% of its total purchasing power).d

•

Treasury has received approximately $714 million in net cumulative equity distributions, approximately $147 million in cumulative
interest payments and approximately $777 million in cumulative debt principal payments from the PPIFs. Net internal rates of return for
individual PPIFs ranged from 8.3% for Wellington to 32.2% for Angelo Gordon.

•

The total market value of Non-Agency RMBS and CMBS held by all PPIFs was approximately $21.3 billion with approximately 79% of
the portfolio holdings as Non-Agency RMBS and 21% as CMBS.

PPIFs are now more than halfway through their three-year investment periods and performance to date may be disproportionately
impacted by structuring and transaction costs and the pace of capital deployment by each PPIF. Because of this, industry practice
counsels that, at this stage, any performance analysis done on these funds would not generate meaningful results and it would be
premature to draw any long-term conclusions about the performance of individual PPIFs or PPIP in general from the data reported to date.
For example, if the market value of the PPIFs were to remain at current levels going forward, then the net rates of return on Treasury’s
equity investment would decrease simply due to the passage of time. It should be noted that the current and past performance of a PPIF is
not indicative of its future performance.

10

Monthly 105(a) Report

August 2011

Other Programs
American International Group (AIG)
On August 18, 2011, Treasury announced that it had received an additional repayment from American International Group (AIG) of $2.15
billion funded through the proceeds from the previously announced sale of AIG’s Nan Shan life insurance subsidiary. The proceeds were
used to pay back the U.S. taxpayers’ investment in AIG through the redemption of an equal portion of Treasury’s preferred equity interests
in AIA Aurora LLC, a subsidiary of AIG.
During the financial crisis, the U.S. Government's support for AIG, including both $69.8 billion in TARP assistance and $112.5 from the
Federal Reserve, totaled approximately $180 billion. After this repayment, the U.S. Government’s remaining outstanding investment in AIG
through Treasury is $51 billion. Treasury currently owns approximately 1.455 billion shares of AIG common stock and $9.3 billion of
preferred interests in a subsidiary of AIG. In addition, as of August 31, 2011, the Federal Reserve Bank of New York has loans to Maiden
Lane II and III ($18.85 billion, including principal and accrued interest outstanding). These Federal Reserve Bank of New York loans are
collateralized by assets with value well in excess of the outstanding loan balances ($31.4 billion).

11

Monthly 105(a) Report

August 2011

Housing Programs
Making Home Affordable Program Performance Report
On September 1, 2011, the U.S. Department Treasury released the Making Home Affordable (MHA) Program Performance Report
through July 2011: http://www.treasury.gov/initiatives/financial-stability/results/MHA-Reports/Pages/default.aspx. Highlights from this
report include:
•

The MHA program continues to assist more Americans. In July, more than 28,000 additional homeowners received a permanent
modification through the Administration's Home Affordable Modification Program (HAMP). To date, more than 790,000 homeowners
across the country have now received a HAMP permanent modification.

•

The conversion rate for homeowners entering trial modifications since June 1, 2010 continues to improve. Of homeowners eligible to
convert, 75% 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 $525 each month, or 37% of the median before-modification
payment. To date, homeowners in permanent modifications have realized aggregate savings in monthly mortgage payments of
approximately $7.8 billion.

Servicer Assessments

The Obama Administration continues its commitment to transparency with the release of the second installment of quarterly Servicer
Assessments. For the second quarter of 2011:
•

Two servicers, Bank of America and J.P. Morgan Chase Bank, have been determined to need substantial improvement. These
servicers were also in need of substantial improvement in the first quarter, and their servicer incentives will continue to be withheld.

•

Three servicers met the established benchmarks for program compliance, indicating that they require just minor improvement on the
areas reviewed for the second quarter. Five servicers were found to need moderate improvement.

Second Lien, HAFA and PRA 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 37,000 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 25,000 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.

•

Nearly 13,000 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
•

August 2011

The Principal Reduction Alternative (PRA) requires servicers of non-GSE loans to evaluate the benefit of principal reduction for
mortgages with a loan-to-value ratio of 115% or greater when evaluating a homeowner for a HAMP first lien modification. Almost
30,000 modifications have been started through the Principal Reduction Alternative (PRA), with more than 9,000 of those permanently
modified to date. The median principal amount reduced for those active permanent modifications is $67,735 or 30%.

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, loan purchase and mortgage
payment programs.
•

There are now 55 programs across 19 HFAs. 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 7/25/2011).

•

$62 million was drawn down by 5 HFAs in August; a total of $541 million has been drawn down from Treasury from the 18 states and
DC. Each state draws down funds as they are needed.

•

All 19 eligible entities have created extensive infrastructures to operate these programs, including selecting and training networks of
housing counselors to assist with applications, creating homeowner portals to aid homeowners in applying 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,
primarily in mortgage payment assistance and reinstatement; several states have over a hundred participating servicers.

•

Fannie Mae and Freddie Mac, the Federal Housing Administration, the U.S. Department of Veterans Affairs, and the U.S. Department
of Agriculture have issued guidance strongly encouraging servicers servicing their loans to participate in unemployment programs
under the Hardest Hit Fund.

•

Although many states need time to get their programs started, those states that have been up and running for longer periods are
starting to show substantial growth in the number of borrowers assisted (Ohio, North Carolina, Oregon, California); Treasury is working
on sharing lessons learned between states, and developing other ways to provide technical assistance to states with lower participation
volumes.

•

Treasury recently approved changes to three states (Arizona, New Jersey and South Carolina) designed to increase homeowner
participation in their programs.

13

Monthly 105(a) Report

August 2011

Appendix Section

Page

Administrative Obligations and Expenditures……………………………………………………………………………………………….

15

Agreements under TARP………………………………………………………………………………………………………………………...

16

Insurance Contracts………………………………………………………………………………………………………….............................

22

Transactions Report…………...…………………………………………………………………………………………….............................

23

Investment Programs

23

Home Affordable Modification Program

50

Projected Costs and Liabilities…………………………………………………………………………………………….............................

86

Programmatic Operating Expenses……………………………………………………………………………………….............................

87

Description of Vehicles Established…………………………………………………………………………………………………………..

88

14

United States Department of the Treasury
Office of Financial Stability

Report of Administrative Obligations and Expenditures

For Period Ending
August 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: $

Obligations
72,599,872
72,599,872
1,338,148
11,960
753,957
402
171,254,039
1,088,336
244,067
133
174,691,041

247,290,913

$
$
$

$

$

Expenditures
72,407,671
72,407,671
1,286,217
11,960
672,194
402
137,730,117
833,197
234,688
133
140,768,908

213,176,579

For Period Ending
September 30, 2011

$
$
$

$

$

Projected
Obligations
75,021,000
75,021,000
1,397,000
12,000
754,000
500
174,053,000
876,000
245,000
140
177,337,640

252,358,640

$
$
$

$

$

Projected
Expenditures
74,844,000
74,844,000
1,345,000
12,000
680,000
500
141,619,000
840,000
235,000
140
144,731,640

219,575,640

Note: The amounts presented above are cumulative from the initiation of the TARP.

15

Agreements Under TARP [Section 105(a)(3)(A)]
For Period August 2011

Date Approved

Type of Transaction

10/10/2008

Contract

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

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

Vendor

Purpose

Simpson Thacher & Bartlett Mnp LLP

Legal Advisory

Ennis Knupp & Associates Inc
The Bank of New York Mellon
PricewaterhouseCoopers 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

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

16

Date Approved

Type of Transaction

2/3/2009
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

Interagency Agreement
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

Vendor
Internal Revenue Service
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.*

Purpose
Detailees
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

17

Date Approved

Type of Transaction

5/15/2009
5/20/2009
5/22/2009
5/26/2009
5/26/2009
6/9/2009
6/29/2009
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

Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
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

Vendor
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
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.*

Purpose
FOIA Support Services
Detailee
Detailee
Legal Advisory
Legal Advisory
Information Technology
Information Technology
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

18

Date Approved

Type of Transaction

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
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

Financial Agent
Financial Agent
Interagency Agreement
Contract
Interagency Agreement
Contract
Interagency Agreement
Contract
Interagency Agreement
Interagency Agreement
Financial Agent
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Financial Agent
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract

Vendor
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
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

Purpose
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
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

19

Date Approved

Type of Transaction

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
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

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
Contract
Interagency Agreement
Financial Agent
Interagency Agreement
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement

Vendor
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*
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

Purpose
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
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

20

Date Approved

Type of Transaction

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
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Interagency Agreement

Vendor
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

Purpose
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

* 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.

21

U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Insurance Contracts [Section 105(a)(3)(B)]
For Period Ending August 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.

22

Transactions Report - Investment Programs
For Period Ending August 31, 2011
CAPITAL PURCHASE PROGRAM

Seller

Footnote
1b
11, 23 5/26/2010

14

3a 11/24/2009

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

Investment Description

Investment Amount

NC
NY

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

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

Par
Par

Citigroup Inc.

New York

NY

Common Stock w/ Warrants

$

25,000,000,000

Par

The Goldman Sachs Group, Inc.
JPMorgan Chase & Co.
Morgan Stanley
State Street Corporation
Wells Fargo & Company
Bank of Commerce Holdings
1st FS Corporation
UCBH Holdings, Inc.
Northern Trust Corporation
SunTrust Banks, Inc.

New York
New York
New York
Boston
San Francisco
Redding
Hendersonville
San Francisco
Chicago
Atlanta

NY
NY
NY
MA
CA
CA
NC
CA
IL
GA

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

$
$
$
$
$
$
$
$
$
$

10,000,000,000
25,000,000,000
10,000,000,000
2,000,000,000
25,000,000,000
17,000,000
16,369,000
298,737,000
1,576,000,000
3,500,000,000

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

11/14/2008

Broadway Financial Corporation

Los Angeles

CA

Preferred Stock

$

9,000,000

Par

11/14/2008
11/14/2008

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

Seattle
Winston-Salem

WA
NC

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

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

Par
Par

11/14/2008

47 6/30/2011

State

Pricing
Mechanism

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

29 9/24/2010

City
Charlotte
New York

Capital Repayment Details

10/28/2008

11/14/2008

44 5/16/2011

Purchase Details

Valley National Bancorp

w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants

Baltimore

MD

Preferred Stock w/ Warrants

$

151,500,000

Par

Portland
Dallas
Birmingham
McLean
Memphis
Columbus
Cleveland

OR
TX
AL
VA
TN
OH
OH

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

$
$
$
$
$
$
$

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

Wayne

NJ

w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants

Preferred Stock w/ Warrants

$

300,000,000

Par

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

Capital Repayment
Amount (Loss) 6
4
4

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

Final Disposition
Final
Disposition
Date

$
$

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

$
$

0
0

Warrants
Warrants

3/3/2010
8/5/2009

Disposition
Investment
Description
Warrants
Warrants

15
1b

Final Disposition
Proceeds

A $
R $

23

$

25,000,000,000

$

0

Warrants

1/25/2011

Warrants

A $

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

4

$
$
$
$
$

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

$
$
$
$
$

0
0
0
0
0

Warrants
Warrants
Warrants
Warrants
Warrants

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

6/3/2009

4

$

75,000,000

$

225,000,000

9/23/2009

4

$

125,000,000

$

100,000,000

12/23/2009

4

$

100,000,000

$

**

4
4
5
4

4

4

4

4
4
4

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

Warrants

R $

87,000,000

3/9/2010
7/22/2009

Warrants
Warrants

A $
R $

15,623,222
67,010,402

Warrants
Warrants

3/31/2010
5/6/2010

Warrants
Warrants

R $
A $

4,500,000
183,673,472

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

Warrants
Warrants
Warrants
Warrants

A
R
R
R

$
$
$
$

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

5/18/2010

Warrants

A $

5,571,592

0

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

Zions Bancorporation

Salt Lake City

UT

Preferred Stock w/ Warrants

$

1,400,000,000

Par

11/14/2008

Marshall & Ilsley Corporation

Milwaukee

WI

Preferred Stock w/ Warrants

$

1,715,000,000

Par

7/5/2011

44

$

1,715,000,000

$

0

Warrants

7/5/2011

Warrants

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

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

Minneapolis
Wayzata
Lockport
Sioux Falls
Davenport

MN
MN
NY
SD
FL

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants

$
$
$
$
$

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

Par
Par
Par
Par
Par

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

4

$
$
$
$
$

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

$
$
$
$
$

0
0
0
0
0

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

Warrants
Warrants
Warrants
Warrants
Warrants

City National Corporation

Beverly Hills

CA

Preferred Stock w/ Warrants

$

400,000,000

Par

12/30/2009

4

11/21/2008

$

200,000,000

$

4/7/2010

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

3/3/2010
7/8/2009

4

11/21/2008
11/21/2008

$
$

200,000,000
41,500,000

$
$

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

3/3/2010

4

$

100,000,000

$

300,000,000

11/21/2008

Webster Financial Corporation

Waterbury

CT

Preferred Stock w/ Warrants

$

400,000,000

Par

10/13/2010

4

$

200,000,000

6/2/2011

12/29/2010

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

9

9

44

R $
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

9

11/21/2008

Pacific Capital Bancorp

Santa Barbara

CA

Common Stock w/ Warrants

$

195,045,000

Par

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

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

San Jose
Moultrie
Louisville
Walla Walla

CA
GA
KY
WA

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants

$
$
$
$

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

Par
Par
Par
Par

11/21/2008

Cascade Financial Corporation

Everett

WA

Preferred Stock w/ Warrants

$

38,970,000

Par

6/30/2011

47

$

16,250,000

$

0

N/A

N/A

N/A

47

-

11/21/2008
11/21/2008

Columbia Banking System, Inc.
Heritage Financial Corporation

Tacoma
Olympia

WA
WA

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

76,898,000
24,000,000

Par
Par

8/11/2010
12/22/2010

4

$
$

76,898,000
24,000,000

$
$

0
0

Warrants
Warrants

9/1/2010
8/17/2011

Warrants
Warrants

9

R $
R $

4

54,621,849

$
$
$
$
$

11/14/2008

4

186,342,969
136,000,000

9

3,301,647
450,000

23

Seller

Footnote

Purchase Date
11/21/2008
11/21/2008

14, 20

49

26 9/30/2010
50

17, 54
12

50
49
32 9/30/2010

55
24
50
35

43 5/13/2011

Purchase Details

Name of Institution
First PacTrust Bancorp, Inc.
Severn Bancorp, Inc.

City
Chula Vista
Annapolis

State
CA
MD

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

Capital Repayment Details

Investment Amount
$
$

19,300,000
23,393,000

Pricing
Mechanism
Par
Par

Capital
Repayment
Date

Capital Repayment
Amount (Loss) 6

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

12/15/2010

4

$

19,300,000

$

1/13/2010

4

$

50,000,000

$

0
104,000,000

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

Final Disposition
Final
Disposition
Date

Disposition
Investment
Description

15

Final Disposition
Proceeds

1/5/2011

Warrants

R $

1,003,227

2/1/2011

Warrants

A $

6,352,500

12/30/2009

Warrants

R $

10,000,000

11/21/2008

Boston Private Financial Holdings, Inc.

Boston

MA

Preferred Stock w/ Warrants

$

154,000,000

Par

6/16/2010

4

$

104,000,000

$

11/21/2008

Associated Banc-Corp

Green Bay

WI

Preferred Stock w/ Warrants

$

525,000,000

Par

4/6/2011

4

$

262,500,000

$

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

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

Jackson
Lexington
Rosemont
Los Angeles

MS
SC
IL
CA

$
$
$
$

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

Par
Par
Par
Par

12/9/2009

4

$

215,000,000

$

0

$

89,388,000

Par

$
$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par
Par

9/9/2009

4

$

75,000,000

$

0

Warrants

12/23/2009

Warrants

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

$

38,235,000

Par

Warrants
Warrants
Preferred Stock w/
Warrants

2/23/2011

Warrants

R $

4,450,000

12/5/2008

Midwest Banc Holdings, Inc.

Melrose Park

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

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

Chicago
Itasca
Blairsville
Wheeling
Houston
El Segundo
Lafayette

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

Eagle Bancorp, Inc.

Bethesda

MD

Preferred Stock w/ Warrants

IL

5

0
262,500,000

12/23/2009

5

$

15,000,000

$

7/14/2011

49

$

23,235,000

$

7/21/2010

4

$

41,547,000

$

12/15/2010

4

$

41,547,000

$

0

23,235,000
0
41,547,000

9

Warrants
Preferred Stock w/
Warrants
Warrants

12/5/2008

Sandy Spring Bancorp, Inc.

Olney

MD

Preferred Stock w/ Warrants

$

83,094,000

Par

12/5/2008
12/5/2008

Coastal Banking Company, Inc.
East West Bancorp

Fernandina Beach
Pasadena

FL
CA

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

9,950,000
306,546,000

Par
Par

12/29/2010

4

$

306,546,000

$

0

Warrants

1/26/2011

Warrants

9

R $

14,500,000

12/5/2008

South Financial Group, Inc.

Greenville

SC

Preferred Stock w/ Warrants

$

347,000,000

Par

9/30/2010

26

$

130,179,219

$

0

Warrants

9/30/2010

Warrants

26

R $

400,000

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

Great Southern Bancorp
Cathay General Bancorp
Southern Community Financial Corp.

Springfield
Los Angeles
Winston-Salem

MO
CA
NC

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

$
$
$

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

Par
Par
Par

8/18/2011

50

$

58,000,000

$

0

Warrants

CVB Financial Corp

Ontario

CA

Preferred Stock w/ Warrants

$

130,000,000

Par

8/26/2009

4

12/5/2008

$

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

3/31/2009

4

$

28,000,000

$

0

Warrants

8/25/2011
7/21/2011

50

$
$

10,000,000
9,550,000

$
$

0
0

Warrants
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

8/11/2011
3/31/2009
1/28/2011

50

$
$
$

13,500,000
100,000,000
41,279,000

$
$
$

0
0
0

Warrants
Warrants
N/A

5/8/2009
N/A

Warrants
N/A

R $
-

1,200,000
N/A

12/23/2009

5

$

235,000,000

$

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

11/24/2009

Warrants

R $

2,650,000

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

Lititz

PA

Preferred Stock w/ Warrants

$

300,000,000

Par

NY
KY
MI
IN
AR
CA
NC

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

$
$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par
Par

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

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

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

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

Susquehanna Bancshares, Inc

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

New York
Hopkinsville
Flint
Columbus
Little Rock
Los Angeles
Greensboro

12/12/2008

w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants

49

4
35

32,500,000

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

4

0
100,000,000

35

9

Warrants

24

Seller

Footnote

Purchase Date
12/12/2008

Purchase Details

Name of Institution
Sterling Bancshares, Inc.

City
Houston

State
TX

Investment Description
Preferred Stock w/ Warrants

Capital Repayment Details

Investment Amount
$

125,198,000

Pricing
Mechanism
Par

Capital
Repayment
Date
5/5/2009

Capital Repayment
Amount (Loss) 6
4

$

125,198,000

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
$

0

Warrants

Final Disposition
Final
Disposition
Date
6/9/2010

Disposition
Investment
Description
Warrants

15

Final Disposition
Proceeds

A $

3,007,891

25

Seller

Footnote

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

22

49

45 - 6/3/2011

50

50
50
30 9/29/2010

18

49

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

Purchase Details

Name of Institution
The Bancorp, Inc.
TowneBank
Wilshire Bancorp, Inc.
Valley Financial Corporation

City

State

Investment Amount

12/12/2008

Independent Bank Corporation

Ionia

MI

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

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

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

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

12/19/2008

Whitney Holding Corporation

New Orleans

LA

Preferred Stock w/ Warrants

$

300,000,000

Par

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

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
Preferred Stock
Preferred Stock
Preferred Stock

$
$
$
$

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

Par
Par
Par
Par

w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants

$
$
$
$

Pricing
Mechanism

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

Wilmington
Portsmouth
Los Angeles
Roanoke

DE
VA
CA
VA

Investment Description

Capital Repayment Details

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

Par
Par
Par
Par

$

74,426,000

Par

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

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

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

12/19/2008

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
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants

$
$
$
$
$

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

Par
Par
Par
Par
Par

12/19/2008

Security Federal Corporation

Aiken

SC

Preferred Stock w/ Warrants

$

18,000,000

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

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

Lake Forest
Lake Success
Chesapeake
Charlottesville

IL
NY
VA
VA

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants

$
$
$
$

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

Bowling Green

VA

Preferred Stock w/ Warrants

$

Mt. Pleasant
Providence
Lee's Summit
Elmira
Syracuse
Dubuque

SC
RI
MO
NY
NY
IA

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

$
$
$
$
$
$

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

w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants

Capital
Repayment
Date

Capital Repayment
Amount (Loss) 6

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

3/10/2010

$

45,220,000

$

0

Warrants

9/8/2010

Warrants

4/7/2010
3/16/2011

4

$
$

10,000,000
150,000,000

$
$

0
0

Warrants
Warrants

4/7/2010
4/13/2011

Warrants
Warrants

11/18/2009

4

$

15,000,000

$

0

Warrants

12/16/2009

Warrants

8/4/2011

49

$

8,500,000

$

0

Warrants

11/24/2009

4

$

22,000,000

$

0

Warrants

12/16/2009

Warrants

$

300,000,000

$

0

Warrants

6/3/2011

Warrants

$
$

6,250,000
18,750,000

$
$

$
$
$

40,000,000
25,000,000
21,000,000

$
$
$

0
0
0

Warrants
Warrants
Warrants

6/24/2009
8/24/2011

Warrants
Warrants

0

Warrants
Warrants
Warrants
Warrants
Warrants

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

Warrants
Warrants
Warrants

4

6/3/2011

11/10/2010
8/25/2011

4
50

4

Par

9/29/2010

4

$

18,000,000

$

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

$
$
$
$

59,000,000

Par

11/18/2009

5

$

59,000,000

$

0

Warrants

12/23/2009

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

8/25/2011
5/13/2009

49

$
$

9,090,000
26,918,000

$
$

0
0

Warrants
Warrants

$

2,212,308

$

50

5
5
4

4

Citizens First Corporation

Bowling Green

KY

Preferred Stock w/ Warrants

$

8,779,000

Par

2/16/2011

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
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

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

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

$

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

15
9

9

45

Final Disposition
Proceeds

R $

4,753,985

R $
R $

1,488,046
1,000,000

R $

560,000

R $

568,700

R $

6,900,000

R $
R $

1,040,000
599,042

A $
R $
R $

25,964,061
900,000
260,000

Warrants
Warrants

50

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

18,750,000
0

5/27/2009
7/14/2011
8/11/2011

12/19/2008

w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Warrants

Disposition
Investment
Description

5

4

w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants

Final Disposition
Final
Disposition
Date

9
9

9

R $

450,000

Warrants

R $

1,400,000

6/17/2009

Warrants

R $

900,000

Warrants

6/2/2010

Warrants

A $

3,116,284

Preferred Stock w/
Warrants

4/20/2011

Warrants

R $

1,395,000

Preferred Stock w/
Warrants

9

26

Seller

Footnote

Purchase Date

Name of Institution

Purchase Details

City

State

Investment Description

Investment Amount

Capital Repayment Details
Pricing
Mechanism

Capital
Repayment
Date
3/16/2011

Capital Repayment
Amount (Loss) 6
4

$

8,864,000

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
$

0

Final Disposition
Final
Disposition
Date

Disposition
Investment
Description

15

Final Disposition
Proceeds

Warrants

27

Seller

Footnote

49

Purchase Details

Name of Institution

Purchase Date

City

State

Investment Description

Capital Repayment Details

Investment Amount

Pricing
Mechanism

Capital
Repayment
Date

Capital Repayment
Amount (Loss) 6

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

12/23/2008
12/23/2008

International Bancshares Corporation
First Sound Bank

Laredo
Seattle

TX
WA

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

216,000,000
7,400,000

12/23/2008

M&T Bank Corporation

Buffalo

NY

Preferred Stock w/ Warrants

$

600,000,000

Par

5/18/2011

4

$

370,000,000

$

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

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

Emlenton
Newark
Greeneville
Elkton

PA
OH
TN
MD

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants

$
$
$
$

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

Par
Par
Par
Par

8/18/2011

49

$

7,500,000

$

2/23/2011

4

$

12,505,000

$

12/23/2008

Financial Institutions, Inc.

Warsaw

NY

Preferred Stock w/ Warrants

$

37,515,000

Par
3/30/2011

4

$

25,010,000

$

Final Disposition
Final
Disposition
Date

Disposition
Investment
Description

15

Final Disposition
Proceeds

Par
Par
230,000,000
0

25,010,000
0

Preferred Stock w/
Warrants
Warrants

Preferred Stock w/
Warrants

5/11/2011

Warrants

R $

2,079,963

9/8/2010

Warrants

R $

10,800,000

-

N/A

Warrants

12/23/2008

Fulton Financial Corporation

Lancaster

PA

Preferred Stock w/ Warrants

$

376,500,000

Par

7/14/2010

4

$

376,500,000

$

0

Warrants

30 - 9/3/2010

12/23/2008

United Bancorporation of Alabama, Inc.

Atmore

AL

Preferred Stock w/ Warrants

$

10,300,000

Par

9/3/2010

4

$

10,300,000

$

0

Warrants

50

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

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

Muncie
Baltimore
Rochester

IN
MD
MN

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

$
$
$

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

Par
Par
Par

8/25/2011
1/26/2011

50

$
$

32,382,000
10,800,000

$
$

0
0

Warrants
Warrants

12/23/2008

First Community Bank Corporation of America

Pinellas Park

FL

Preferred Stock w/ Warrants

$

10,685,000

Par

5/31/2011

39

$

7,754,267

$

0

N/A

N/A

N/A

12/23/2008
12/23/2008
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
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

$
$
$
$
$
$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

4/27/2011

4

$

42,000,000

$

0

Warrants

5/18/2011

Warrants

R $

945,775

10/27/2010
11/24/2010

4

$
$

12,000,000
11,300,000

$
$

0
0

Warrants
Warrants

12/1/2010

Warrants

R $

319,659

12/23/2008

Mission Valley Bancorp

Sun Valley

CA

Preferred Stock

$

5,500,000

Par

8/20/2010

4

$

5,500,000

$

0

N/A

N/A

N/A

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

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

Kinston
Los Angeles
South Hill
Chula Vista
Dayton
Arlington
Green Bay

NC
CA
VA
CA
OH
MA
WI

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

$
$
$
$
$
$
$

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

7/28/2011

49

$

3,000,000

$

0

8/3/2011
11/24/2010

4

12/23/2008

Magna Bank

Memphis

TN

$

13,795,000

Par

393/11/2011

2
2
2
2
3, 30 8/20/2010
2
2
2, 49
2
2
2
2
2, 49
2
2
2
2, 49
2
2
2, 50

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

w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants

w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants

Preferred Stock w/ Exercised Warrants

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
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

12/31/2008

Hampton Roads Bankshares, Inc.

Norfolk

VA

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

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

New York
West Des Moines
Clayton
Charlotte
Akron
Frankfort

Peapack-Gladstone Financial Corporation

Gladstone

w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Warrants
w/ Warrants
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

Common Stock w/ Warrants

$

80,347,000

Par

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

NJ

Preferred Stock w/ Warrants

$

28,685,000

Par

11/24/2009
6/8/2011
8/18/2011

12/30/2010
7/14/2011

4

4

4

4
4
49

4
49

0
0

150,000

8/3/2011
11/24/2010

Preferred Stock
Preferred Stock

2, 7

R $
R $

100,000
292,000

Preferred Stock
Preferred Stock
Preferred Stock

2

8/18/2011

Preferred Stock

2, 7

R $

690,000

12/30/2010
7/14/2011

Preferred Stock
Preferred Stock

2, 7

R $
R $

235,000
238,000

7/28/2011

Preferred Stock

2, 7

4/29/2010
3/16/2011

$
$

4,700,000
4,767,000

$
$

0
0

Preferred Stock
Preferred Stock

2

$
$
$
$

11,600,000
1,350,000,000
7,579,200,000
3,408,000,000

$
$
$
$

0
0
0
0

Preferred Stock
Warrants
Warrants
Warrants

2

$
$

0
36,000,000

$
$

0
0

N/A
Warrants

$
$

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

$
$

0
0

4

1/6/2010

4

$

7,172,000

$

21,513,000

3/2/2011

4

$

7,172,000

$

14,341,000

4

R $

Preferred Stock
Preferred Stock

$
$
$

12/9/2009
4/22/2009

4

2, 7

3,455,000
3,455,000
6,885,000

16

4

Preferred Stock

$
$
$

2/8/2010
6/29/2011

4

7/28/2011

2

$
$

50
4

2

2,000,000
5,830,000

7/28/2011
3/30/2011
2/10/2010
2/2/2011

2

2

2

580,000

Warrants
Warrants

A $
R $

324,195,686
280,025,936

N/A
8/31/2011

N/A
Warrants

R $

N/A
700,000

Warrants
Warrants

3/3/2010
5/27/2009

Warrants
Warrants

A $
R $

124,228,646
5,025,000

5/27/2009

Warrants

R $

2,100,000

7/29/2009

Warrants

R $

340,000,000

Commerce National Bank

Newport Beach

CA

Preferred Stock w/ Warrants

$

5,000,000

Par

10/7/2009

4

$

5,000,000

$

1/9/2009

The First Bancorp, Inc.

Damariscotta

ME

Preferred Stock w/ Warrants

$

25,000,000

Par

8/24/2011

4

$

12,500,000

$

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

Sun Bancorp, Inc.
Crescent Financial Corporation
American Express Company

Vineland
Cary
New York

NJ
NC
NY

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

$
$
$

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

Par
Par
Par

4/8/2009

4

$

89,310,000

$

0

6/17/2009

4

$

3,388,890,000

$

0

Warrants

0

2, 7

R $

1/9/2009

12,500,000

2, 7

2

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

1/9/2009

N/A

Preferred Stock

$
$

10,340,000
6,885,000
0

-

1b

28

Seller

Purchase Details

Name of Institution

City

State

Investment Description

Capital Repayment Details

Investment Amount

Pricing
Mechanism

Capital
Repayment
Date

Footnote

Purchase Date

37, 46 6/17/2011

1/9/2009

Central Pacific Financial Corp.

Honolulu

Common Stock w/ Warrants

$

135,000,000

Par

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

Centrue Financial Corporation
Eastern Virginia Bankshares, Inc.
Colony Bankcorp, Inc.
Independent Bank Corp.
Cadence Financial Corporation
LCNB Corp.
Center Bancorp, Inc.
F.N.B. Corporation

St. Louis
Tappahannock
Fitzgerald
Rockland
Starkville
Lebanon
Union
Hermitage

MO
VA
GA
MA
MS
OH
NJ
PA

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants

$
$
$
$
$
$
$
$

32,668,000
24,000,000
28,000,000
78,158,000
44,000,000
13,400,000
10,000,000
100,000,000

Par
Par
Par
Par
Par
Par
Par
Par

1/9/2009

C&F Financial Corporation

West Point

VA

Preferred Stock w/ Warrants

$

20,000,000

Par

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

$

424,174,000

Par

$
$

75,000,000
36,000,000

Par
Par

5/13/2009

$

18,980,000

Par

33

49
49

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

49

28 7/20/2010

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

2
2
2
2
2, 19
3, 30 9/29/2010
2, 49
2
2
2, 49
2

HI

1/16/2009

First BanCorp

San Juan

PR

1/16/2009
1/16/2009

Texas Capital Bancshares, Inc.
Yadkin Valley Financial Corporation

Dallas
Elkin

TX
NC

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

Carver Bancorp, Inc

New York

NY

Preferred Stock

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

1/16/2009

Community Bank of the Bay

Oakland

CA

Preferred Stock

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.

Eureka
Boise
Boise
Bellevue
Vienna

CA
ID
ID
WA
VA

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

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
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

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

Capital Repayment
Amount (Loss) 6

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

6/17/2011

46

$

35,883,281

$

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

4
33

$
$
$

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

$
$
$

4

99,116,719

Final Disposition
Final
Disposition
Date

Disposition
Investment
Description

15

Final Disposition
Proceeds

Warrants

0
0
0

Warrants
N/A
Warrants

0

Warrants
Preferred Stock w/
Warrants

5/27/2009
N/A

Warrants
N/A

R $

2,200,000
N/A

9/9/2009

4

$

100,000,000

$

7/27/2011

4

$

10,000,000

$

8/18/2011
8/25/2011

49

$
$

16,500,000
20,000,000

$
$

0
0

Warrants
Warrants

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

8/18/2011
12/29/2010

49

$
$

2,995,000
2,000,000

$
$

0
0

Preferred Stock
Preferred Stock

2

8/18/2011
12/29/2010

Preferred Stock
Preferred Stock

2, 7

R $
R $

150,000
100,000

49

4

10,000,000

2

2, 7

7/6/2011

49

$

24,000,000

$

0

Preferred Stock

2

7/6/2011

Preferred Stock

2, 7

R $

1,200,000

5/19/2010

4

$

3,981,000

$

0

Preferred Stock

2

5/19/2010

Preferred Stock

2, 7

R $

199,000

7/6/2011
1/12/2011
8/25/2011
2/24/2010
5/20/2009
5/20/2009

4

$
$
$
$
$
$

50,000,000
26,380,000
10,000,000
18,751,000
7,414,000
64,779,000

$
$
$
$
$
$

0
0
0
0
0
0

Warrants
Warrants
Warrants
Warrants
Warrants
Warrants

7/27/2011
3/2/2011

Warrants
Warrants

R $
R $

1,300,000
1,625,000

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

Warrants
Warrants
Warrants

R $
R $
R $

250,000
275,000
1,400,000

4

$

75,000,000

$

0

Warrants

3/11/2010

Warrants

A $

6,709,061

8/27/2010

4

$

18,980,000

$

0

N/A

N/A

N/A

8/4/2010

4

$

26,440,000

$

0

Warrants

9/1/2010

Warrants

12/30/2009

5

$

38,263,000

$

0

Warrants

2/3/2010

Warrants

3/31/2009

4

$

15,000,000

$

0

4/15/2009

Preferred Stock

2/11/2010

19

$

$

0

N/A

N/A

4
49
5
4
4

w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants

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

1,747,000

Par

9/29/2010

4

$

1,747,000

$

0

w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants

$
$
$
$
$

3,800,000
8,000,000
6,900,000
4,500,000
5,658,000

Par
Par
Par
Par
Par

7/21/2011

49

$

3,800,000

$

0

8/11/2011
12/15/2010

49

$
$

4,500,000
3,000,000

$
$

4

0

0
2,658,000

Preferred Stock

2

N/A

9

9

-

N/A

R $

400,000

9

R $

430,797

2, 7

R $

750,000
N/A

N/A

N/A

Preferred Stock

2

7/21/2011

Preferred Stock

2, 7

R $

190,000

Preferred Stock
Preferred Stock

2

8/11/2011

Preferred Stock

2, 7

R $

225,000

N/A

-

N/A

2

29

Seller

Footnote

Purchase Date

2
2
2

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

Purchase Details

Name of Institution
Dickinson Financial Corporation II
The Baraboo Bancorporation
Bank of Commerce

City
Kansas City
Baraboo
Charlotte

State
MO
WI
NC

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

Capital Repayment Details

Investment Amount
$
$
$

146,053,000
20,749,000
3,000,000

Pricing
Mechanism

Capital
Repayment
Date

Capital Repayment
Amount (Loss) 6

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

Final Disposition
Final
Disposition
Date

1/16/2009

State Bankshares, Inc.

Fargo

ND

$

50,000,000

Par

8/12/2009
6/29/2011

4

2

1/16/2009
1/16/2009

BNCCORP, Inc.
First Manitowoc Bancorp, Inc.

Bismarck
Manitowoc

ND
WI

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

$
$

20,093,000
12,000,000

Par
Par

5/27/2009

4

$

12,000,000

$

0

1/16/2009

Southern Bancorp, Inc.

Arkadelphia

AR

Preferred Stock

$

11,000,000

Par

8/6/2010

4

$

11,000,000

$

0

1/16/2009
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
Warrants
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

$
$
$
$
$
$
$
$

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
Warrants
Warrants

2

36

w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Exercised Warrants

4/22/2009

4

$

4,900,000

$

0

Preferred Stock

2

12/23/2009

4

$

10,189,000

$

0

Preferred Stock

2

12/8/2010

4

$

3,300,000

$

0

Preferred Stock

7/21/2011

50

$

57,500,000

$

0

8/25/2011
12/16/2009
6/16/2010

49

$
$
$

5,000,000
1,000,000
2,240,000

$
$
$

0
2,240,000
0

2/2/2011

4

$

21,000,000

$

18,000,000

12/23/2009

5

$

22,000,000

$

0

Warrants

8/18/2011

50

$

7,000,000

$

0

Warrants

8/11/2011

49

$

9,000,000

$

0

Warrants

8/4/2011

49

$

11,750,000

$

0

Warrants

7/21/2011
7/6/2011

49

$
$

12,720,000
1,500,000

$
$

$

10,900,000

$

2
2, 13 12/4/2009

FL

Preferred Stock w/ Exercised Warrants

$

5,677,000

Par

CA

Preferred Stock w/ Exercised Warrants

$

4,656,000

Par

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

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

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

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
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

Par

1/30/2009

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

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.

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

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

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

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

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

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

1/23/2009

2

1/23/2009

CalWest Bancorp

2
2
2
2
2
2
2
2, 51
2
2, 50
2
2
2, 49

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

50

49

49
2
2
2
2, 49
2
3, 53
2
2
2, 49
2
2, 49
2
2
2
2

w/ Exercised Warrants

Orlando

w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants

15

Final Disposition
Proceeds

Par
Par
Par

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

Preferred Stock w/ Exercised Warrants

Disposition
Investment
Description

4

4
4

4

$
$

12,500,000
37,500,000

$
$

37,500,000
0

0
4,500,000

Preferred Stock
Preferred Stock

2

Preferred Stock

2

Preferred Stock

2, 7

R $

5/27/2009

Preferred Stock

2, 7

R $

N/A

N/A

7/20/2011

Preferred Stock

3/9/2011

Warrants

4/22/2009

Preferred Stock

12/23/2009

2

Preferred Stock

2

Preferred Stock
Preferred Stock
Preferred Stock

2

2

N/A

2

2, 7

2,500,000

600,000
N/A

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

7/21/2011

Preferred Stock

2, 7

R $

2,875,000

8/25/2011

Preferred Stock

2, 7

R $

250,000

6/16/2010

Preferred Stock

2, 7

R $

162,000

7/21/2011

Preferred Stock

2, 7

R $

636,000

6/16/2010

Preferred Stock

2, 7

R $

545,000

R $

522,000

R $

450,000

2

Preferred Stock w/
Warrants

Preferred Stock
Preferred Stock

2

Preferred Stock

2

8/18/2011

Preferred Stock

2, 7

8/11/2011

Preferred Stock

2, 7

2

6/16/2010

4

8/18/2011

49

$

10,449,000

$

0

Preferred Stock

2

8/11/2011

49

$

8,950,000

$

0

Preferred Stock

2

0

6/29/2011

30

Seller

Footnote
2, 49
2, 13 10/30/2009,
49
2
2
2
2, 49
2
2
2

30 9/29/2010

3, 30 8/13/2010
2

Purchase Date

Purchase Details

Name of Institution

City

State

Investment Amount

Pricing
Mechanism

Capital Repayment
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

1/30/2009

Equity Bancshares, Inc.

Wichita

KS

Preferred Stock w/ Exercised Warrants

$

8,750,000

Par

8/11/2011

49

$

8,750,000

$

0

Preferred Stock

2

8/11/2011

Preferred Stock

2, 7

R $

438,000

1/30/2009

WashingtonFirst Bankshares, Inc.
(WashingtonFirst Bank)

Reston

VA

Preferred Stock w/ Exercised Warrants

$

6,633,000

Par

8/4/2011

49

$

6,633,000

$

0

Preferred Stock

2

8/4/2011

Preferred Stock

2, 7

R $

332,000

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

Central Bancshares, Inc.
Hilltop Community Bancorp, Inc.
Northway Financial, Inc.
Monument Bank
Metro City Bank
F & M Bancshares, Inc.
First Resource Bank
MidWestOne Financial Group, Inc.

Houston
Summit
Berlin
Bethesda
Doraville
Trezevant
Exton
Iowa City

TX
NJ
NH
MD
GA
TN
PA
IA

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

$
$
$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par
Par
Par

7/6/2011
4/21/2010

4

$
$

5,800,000
4,000,000

$
$

0
0

Preferred Stock
Preferred Stock

2

7/6/2011
4/21/2010

Preferred Stock
Preferred Stock

2, 7

R $
R $

290,000
200,000

8/11/2011

49

$

4,734,000

$

0

Preferred Stock

2

8/11/2011

Preferred Stock

2, 7

R $

237,000

7/6/2011

4

$

16,000,000

$

7/27/2011

Warrants

R $

1,000,000

8/4/2010

4

$

20,000,000

$

39,000,000

3/16/2011

4

$

20,000,000

$

19,000,000

9/29/2010

4

$

5,000,000

$

0

Warrants

8/13/2010

4

$

3,000,000

$

0

N/A

N/A

N/A

1/14/2011
3/16/2011

4

3/16/2011

Preferred Stock

2, 7

R $

778,000

8/4/2011

8/4/2011

Preferred Stock

2, 7

R $

175,000

N/A

N/A

7/28/2011
7/28/2011

Preferred Stock
Preferred Stock

2, 7

2/16/2011
7/21/2011

Preferred Stock
Preferred Stock

2, 7

N/A

N/A

34

9/29/2010

Preferred Stock

NJ

w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Warrants

2/6/2009

Lakeland Bancorp, Inc.

Oak Ridge

Preferred Stock w/ Warrants

$

59,000,000

Par

2/6/2009

Monarch Community Bancorp, Inc.

Coldwater

MI

Preferred Stock w/ Warrants

$

6,785,000

Par

2/6/2009

The First Bancshares, Inc.

Hattiesburg

MS

Preferred Stock w/ Warrants

$

5,000,000

Par

2/6/2009
2/6/2009

Carolina Trust Bank
Alaska Pacific Bancshares, Inc.

Lincolnton
Juneau

NC
AK

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

4,000,000
4,781,000

Par
Par

2/6/2009

PGB Holdings, Inc.

Chicago

IL

Preferred Stock

$

3,000,000

Par

2/6/2009

The Freeport State Bank

Harper

KS

Preferred Stock w/ Exercised Warrants

$

301,000

Par

2

2/6/2009

Stockmens Financial Corporation

Rapid City

SD

2
2
2, 49
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
Preferred Stock
Preferred Stock
Preferred Stock

w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants

$

15,568,000

Par

$
$
$
$

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

Par
Par
Par
Par

2/6/2009

Liberty Financial Services, Inc.

New Orleans

LA

Preferred Stock

$

5,645,000

Par

2/6/2009

Houston

TX

Preferred Stock w/ Exercised Warrants

$

3,072,000

Par

Bowling Green

VA

Preferred Stock

$

33,900,000

Par

Harrisburg
Bedford
Hopkinsville
Atlanta
Charleston
Salisbury
Moyock
Lebanon
Miramar Beach
Philadelphia

NE
NH
KY
GA
WV
NC
NC
TN
FL
PA

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants

$
$
$
$
$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

Westwood

NJ

Preferred Stock w/ Exercised Warrants

$

3,756,000

Par

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.

Denver
Moline

CO
IL

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

$
$

8,559,000
38,237,000

Par
Par

2/13/2009

Westamerica Bancorporation

San Rafael

CA

Preferred Stock w/ Warrants

$

83,726,000

Par

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

58 8/12/2011
2
2
2
2

Investment Description

Capital Repayment Details
Capital
Repayment
Date

2/6/2009

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

PremierWest Bancorp
Carrollton Bancorp

Medford
Baltimore

OR
MD

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

41,400,000
9,201,000

Par
Par

2/13/2009

FNB United Corp.

Asheboro

NC

Preferred Stock w/ Warrants

$

51,500,000

Par

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

First Menasha Bancshares, Inc.
1st Enterprise Bank
DeSoto County Bank
Security Bancshares of Pulaski County, Inc.

Neenah
Los Angeles
Horn Lake
Waynesville

WI
CA
MS
MO

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants

$
$
$
$

4,797,000
4,400,000
1,173,000
2,152,000

Par
Par
Par
Par

2, 30 9/29/2010

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
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

$
$
$
$
$
$
$
$

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

4

0

Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants

Preferred Stock
Preferred Stock

2

Preferred Stock

2

$
$

4,000,000
11,568,000

$
$

49

$

3,500,000

$

0

9/24/2010

4

$

5,645,000

$

0

7/28/2011
7/28/2011

49

$
$

795,000
7,500,000

$
$

0
0

Preferred Stock
Preferred Stock

2

$
$

8,700,000
3,345,000

$
$

0
0

Preferred Stock
Preferred Stock

2

$

0

2/16/2011
7/21/2011

4

49

4
50

12/3/2010

34

$

1,742,850

9/2/2009

4

$

41,863,000

$

11/18/2009

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

$

8/3/2011

4

$

18,000,000

$

11,568,000
0

2

41,863,000
0
17,000,000

2

N/A

2

2

N/A

2, 7

-

-

2, 7

2, 7

N/A

N/A

R $
R $

40,000
375,000

R $
R $

435,000
167,000

-

N/A

Preferred Stock w/
Warrants
Warrants
Preferred Stock w/
Warrants

2, 7,

w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants

Preferred Stock

2

0

Preferred Stock

2

7/21/2011

Preferred Stock

0

Preferred Stock

2

8/3/2011

Preferred Stock

0

R $

750,000

2, 7

R $

250,000

2, 7

R $

900,000

30a

31

Seller

Footnote
2, 30 9/24/2010

Purchase Date

Purchase Details

Name of Institution

City

State

Investment Description

Capital Repayment Details

Investment Amount

Pricing
Mechanism

0

4

$

700,000

$

0

Preferred Stock

8/18/2011

50

$

21,900,000

$

0

9/29/2010

4

$

1,998,000

$

Par

9/29/2010

4

$

48,000,000

$

Par
Par
Par
Par
Par
Par

4/13/2011
6/9/2010

4

$
$

7,000,000
56,044,000

9/29/2010

4

$

8/4/2011

49

4/14/2010

Preferred Stock w/ Exercised Warrants

$

2,200,000

Par

MO
KY
MO
KS
WA
MO
TN
PA
WA
PA

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

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

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

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

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

2, 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
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
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

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

2, 30 9/29/2010

2/20/2009

BancPlus Corporation

Ridgeland

MS

Preferred Stock w/ Exercised Warrants

$

48,000,000

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

$
$
$
$
$
$

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

2, 30 9/29/2010
2
2
2
2, 13 12/4/2009
2, 49
2
50

11/10/2009

$

CA

Ozark
Corbin
Festus
Bern
Spokane
Springfield
Clarksville
Devon
Lakewood
Narberth

14, 57
2
2, 49
2
2
2
2
2
2
2
2
2
2
2
2
2, 49
2
2, 49

4

2,200,000

Cerritos

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

30 9/29/2010

9/24/2010

$

First Choice Bank

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

2
2
2
2
2

Capital Repayment
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

2, 7,

2/13/2009

2
2
2
2
2
2, 50
2
2
2

Capital
Repayment
Date

N/A

9/24/2010

Preferred Stock

R $

110,000

2

11/10/2009

Preferred Stock

2, 7

R $

35,000

Preferred Stock

2

8/18/2011

Preferred Stock

2, 7

R $

1,095,000

Preferred Stock

2

9/29/2010

Preferred Stock

R $

100,000

0

Preferred Stock

2

9/29/2010

Preferred Stock

R $

2,400,000

$
$

0
0

Preferred Stock
Warrants

2

4/13/2011

Preferred Stock

2, 7

30,000,000

$

0

R $

350,000

$

4,797,000

$

0

Preferred Stock

2

8/4/2011

Preferred Stock

2, 7

R $

240,000

4

$

731,000

$

0

Preferred Stock

2

4/14/2010

Preferred Stock

2, 7

R $

37,000

7/14/2010

4

$

651,000

$

0

Preferred Stock

2

7/14/2010

Preferred Stock

2, 7

R $

33,000

$

2,655,000

$

0

Preferred Stock

2

7/21/2011

Preferred Stock

2, 7

R $

133,000

7/21/2011

Preferred Stock

2, 7

R $

590,000

9/29/2010

Preferred Stock

R $

464,000

7/21/2011

Preferred Stock

R $

150,000

30a

2, 7,

0

30a

2, 7,

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

w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Warrants

2/27/2009

First M&F Corporation

Kosciusko

MS

Preferred Stock w/ Warrants

$

30,000,000

Par

2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
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
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

w/ Warrants
w/ Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants

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

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

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

7/21/2011

49

7/21/2011

49

$

11,800,000

$

0

Preferred Stock

2

2/27/2009

PSB Financial Corporation

Many

LA

Preferred Stock w/ Exercised Warrants

$

9,270,000

Par

9/29/2010

4

$

9,270,000

$

0

Preferred Stock

2

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

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

Nashville
Ellicott City
South San Francisco

TN
MD
CA

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

$
$
$

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

Par
Par
Par

7/21/2011

49

$

3,000,000

$

0

Preferred Stock

2

8/25/2011

50

$

100,000,000

$

0

5

30a

Warrants

2, 7,

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

Limerick

PA

Preferred Stock w/ Exercised Warrants

$

541,000

Par

Rock Hill
Atlanta
Loris
Urbana

NY
GA
SC
IL

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

$
$
$
$

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

Par
Par
Par
Par

w/ Exercised Warrants
w/ Exercised Warrants
w/ Warrants
w/ Warrants

30a

2, 7

Warrants

32

Seller

Purchase Details

Name of Institution

City

State

Investment Description

Capital Repayment Details

Investment Amount

Pricing
Mechanism

Capital
Repayment
Date

Capital Repayment
Amount (Loss) 6

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

Final Disposition
Final
Disposition
Date

Disposition
Investment
Description

15

Footnote

Purchase Date

42 - 5/3/2011

3/6/2009

First Federal Bancshares of Arkansas, Inc.

Harrison

AR

Preferred Stock w/ Warrants

$

16,500,000

Par

5/3/2011

42

$

6,000,000

$

0

N/A

N/A

N/A

3/6/2009

Citizens Bancshares Corporation

Atlanta

GA

Preferred Stock

$

7,462,000

Par

8/13/2010

4

$

7,462,000

$

0

N/A

N/A

N/A

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

ICB Financial
First Texas BHC, Inc.
Farmers & Merchants Bancshares, Inc.
Blue Ridge Bancshares, Inc.
First Reliance Bancshares, Inc.
Merchants and Planters Bancshares, Inc.
First Southwest Bancorporation, Inc.
Germantown Capital Corporation, Inc.
BOH Holdings, Inc.
AmeriBank Holding Company
Highlands Independent Bancshares, Inc.
Pinnacle Bank Holding Company, Inc.
Blue River Bancshares, Inc.
Marine Bank & Trust Company
Community Bancshares of Kansas, Inc.
Regent Bancorp, Inc.
Park Bancorporation, Inc.
PeoplesSouth Bancshares, Inc.
First Place Financial Corp.
Salisbury Bancorp, Inc.
First Northern Community Bancorp
Discover Financial Services
Provident Community Bancshares, Inc.

Ontario
Fort Worth
Houston
Independence
Florence
Toone
Alamosa
Germantown
Houston
Collinsville
Sebring
Orange City
Shelbyville
Vero Beach
Goff
Davie
Madison
Colquitt
Warren
Lakeville
Dixon
Riverwoods
Rock Hill

CA
TX
TX
MO
SC
TN
CO
TN
TX
OK
FL
FL
IN
FL
KS
FL
WI
GA
OH
CT
CA
IL
SC

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

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

6,000,000
13,533,000
11,000,000
12,000,000
15,349,000
1,881,000
5,500,000
4,967,000
10,000,000
2,492,000
6,700,000
4,389,000
5,000,000
3,000,000
500,000
9,982,000
23,200,000
12,325,000
72,927,000
8,816,000
17,390,000
1,224,558,000
9,266,000

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

7/14/2011

49

$

10,000,000

$

0

7/14/2011

Preferred Stock

8/25/2011

49

$

8,816,000

$

0

Warrants

4/21/2010

4

$

1,224,558,000

$

0

Warrants

7/7/2010

Warrants

3/13/2009

First American International Corp.

Brooklyn

NY

Preferred Stock

$

17,000,000

Par

8/13/2010

4

$

17,000,000

$

0

N/A

N/A

N/A

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

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

Sheffield
Haviland
Boca Raton
Richmond
Strasburg
St. Louis
Beloit

AL
KS
FL
KY
VA
MO
WI

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

$
$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par
Par

7/14/2011
12/29/2010
11/18/2009

49

$
$
$

21,100,000
425,000
10,000,000

$
$
$

0
0
0

7/14/2011
12/29/2010
11/18/2009

Preferred Stock
Preferred Stock
Preferred Stock

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

2, 49
2, 49
2
2
2
2
2
2
2, 50
2, 49
2
2
2
2

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

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

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

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

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

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

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

8/18/2011
8/4/2011

49

$
$

20,000,000
17,836,000

$
$

0
0

Preferred Stock
Preferred Stock

2

8/18/2011
8/4/2011

Preferred Stock
Preferred Stock

2, 7

7/21/2011
8/11/2011

50

$
$

700,000
4,000,000

$
$

0
0

Preferred Stock
Preferred Stock

2

7/21/2011
8/11/2011

Preferred Stock
Preferred Stock

2, 7

2

3/27/2009

Colonial American Bank

West Conshohocken

PA

Preferred Stock w/ Exercised Warrants

$

574,000

Par

2
2
2
2
2
2
2
2

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

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

Kingwood
Frontenac
Glenwood Springs
Naples
Russellville
Irving
Bristow
Towson
Glen Ellen

TX
MO
CO
FL
AL
TX
OK
MD
VA

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

$
$
$
$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par
Par
Par
Par

3, 30 8/13/2010
2
2
2
2
2
2
2
2
2, 49
2
2
2
2
2
2
2
2
2
49

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

w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants
w/ Warrants

w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants

w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants

w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Warrants

4
4

49

49

Preferred Stock

Preferred Stock
Preferred Stock
Preferred Stock

2

2
2
2

N/A

2

2

Final Disposition
Proceeds
N/A

-

2, 7

R $

500,000

R $

172,000,000

2, 7
2, 7
2, 7

R $
R $
R $

-

2, 7

2, 7

N/A

N/A
1,055,000
21,000
500,000

N/A

R $
R $

1,000,000
892,000

R $
R $

40,000
200,000

33

Seller

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

Purchase Date

Purchase Details

Name of Institution

City

State

Investment Description

4/3/2009

Tri-State Bank of Memphis

Memphis

TN

Preferred Stock

Fortune Financial Corporation
BancStar, Inc.
Titonka Bancshares, Inc
Millennium Bancorp, Inc.
TriSummit Bank
Prairie Star Bancshares, Inc.
Community First Bancshares, Inc.
BCB Holding Company, Inc.
City National Bancshares Corporation
First Business Bank, N.A.
SV Financial, Inc.
Capital Commerce Bancorp, Inc.
Metropolitan Capital Bancorp, Inc.
Bank of the Carolinas Corporation
Penn Liberty Financial Corp.
Tifton Banking Company
Patterson Bancshares, Inc
BNB Financial Services Corporation
Omega Capital Corp.
Mackinac Financial Corporation
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.

Arnold
Festus
Titonka
Edwards
Kingsport
Olathe
Harrison
Theodore
Newark
San Diego
Sterling
Milwaukee
Chicago
Mocksville
Wayne
Tifton
Patterson
New York
Lakewood
Manistique
Birmingham
Richardson
Salem
Easley
Dana
Clayton
Hickory Hills
York
Tulsa
Oswego

MO
MO
IA
CO
TN
KS
AR
AL

2, 49
2
2
2
2
2
2
2, 50
2
2

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

NJ
CA
IL
WI
IL
NC
PA
GA
LA
NY
CO
MI
MI
TX
OR
SC
IN
MO
IL
PA
OK
IL

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

8

4/24/2009

Frontier Bancshares, Inc.

Austin

TX

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
8

w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants

Subordinated Debentures w/ Exercised
Warrants

Capital Repayment Details

Investment Amount

Pricing
Mechanism

$

2,795,000

Par

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

3,100,000
8,600,000
2,117,000
7,260,000
2,765,000
2,800,000
12,725,000
1,706,000
9,439,000
2,211,000
4,000,000
5,100,000
2,040,000
13,179,000
9,960,000
3,800,000
3,690,000
7,500,000
2,816,000
11,000,000
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
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

$

3,000,000

Par

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

$
$
$
$
$

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

Par
Par
Par
Par
Par

$

6,100,000

Par

$

10,750,000

Par

Vernon

NJ

Preferred Stock w/ Exercised Warrants

$

3,091,000

Par

5/8/2009
5/8/2009

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

Atlanta
Ringgold

GA
GA

5,500,000
6,000,000

Par
Par

Freeport Bancshares, Inc.

Freeport

IL

$

3,000,000

Par

8

5/8/2009

Investors Financial Corporation of Pettis County, Inc. Sedalia

MO

$

4,000,000

Par

8

5/8/2009

Sword Financial Corporation

Horicon

WI

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

$
$

5/8/2009

$

13,644,000

Par

3, 8, 30 8/13/2010

5/8/2009

Premier Bancorp, Inc.

Wilmette

IL

Subordinated Debentures

$

6,784,000

Par

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

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

Grand Rapids
Closter
Medina
Glen Ellyn
Huntsville
Overland Park
Cleveland
Rockford

MI
NJ
OH
IL
AL
KS
TN
IL

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

$
$
$
$
$
$
$
$

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

Subordinated Debentures

$

4,205,000

Par

$

5,586,000

Par

$

2,400,000

Par

$

1,100,000

Par

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

5/8/2009

5/15/2009

IBC Bancorp, Inc.

Chicago

IL

8

5/15/2009

Boscobel Bancorp, Inc

Boscobel

WI

8

5/15/2009

Brogan Bankshares, Inc.

Kaukauna

WI

8

5/15/2009

Riverside Bancshares, Inc.

Little Rock

AR

w/ Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants
w/ Exercised Warrants

Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants

Capital
Repayment
Date

Capital Repayment
Amount (Loss) 6

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

8/13/2010

4

$

2,795,000

$

0

8/31/2011

4

$

4,000,000

$

0

Preferred Stock

7/28/2011

49

$

1,635,000

$

0

7/14/2011

50

$

4,871,000

$

0

11/24/2009

4

$

1,600,000

$

10/6/2010

4

$

1,400,000

$

0

8/13/2010

4

$

6,784,000

$

9/10/2010

4

$

4,205,000 $

Final Disposition
Final
Disposition
Date

15

Final Disposition
Proceeds

-

N/A

N/A

N/A

2

8/31/2011

Preferred Stock

2, 7

R $

200,000

Preferred Stock

2

7/28/2011

Preferred Stock

2, 7

R $

82,000

Preferred Stock

2

7/14/2011

Preferred Stock

2, 7

R $

244,000

Subordinated
8
Debentures
Subordinated
Debentures 8

10/6/2010

Subordinated
8
Debentures

7

R $

150,000

0

N/A

N/A

N/A

-

N/A

0

N/A

N/A

N/A

-

N/A

1,400,000

N/A

Disposition
Investment
Description

34

Seller

Footnote

Purchase Date

Purchase Details

Name of Institution

City

State

Investment Description

Capital Repayment Details

Investment Amount

Pricing
Mechanism

Capital
Repayment
Date

Capital Repayment
Amount (Loss) 6

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

8

6/5/2009

First Trust Corporation

New Orleans

LA

8, 10

6/5/2009

OneFinancial Corporation

Little Rock

AR

2

6/12/2009

Berkshire Bancorp, Inc.

Wyomissing

PA

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

2, 10, 30 9/29/2010

6/12/2009

First Vernon Bancshares, Inc.

Vernon

AL

Preferred Stock w/ Exercised Warrants

$

6,000,000

Par

9/29/2010

4

2
2, 10
2, 49

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

Par
Par
Par

8/25/2011

49

$

4,000,000

$

0

8, 10

6/12/2009

First Financial Bancshares, Inc.

Lawrence

KS

$

3,756,000

Par

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

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
Subordinated Debentures

7/30/2010

4

$

11,926,000

$

0

8

5/15/2009

Deerfield Financial Corporation

Deerfield

WI

8

5/15/2009

Market Street Bancshares, Inc.

Mt. Vernon

IL

2, 49
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

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

$

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

$

2,993,000

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

Par

$

19,817,000

Par

$

5,000,000

Par

$

17,969,000

Par

$

17,300,000

Par

$

2,892,000

Par

Final Disposition
Final
Disposition
Date

Disposition
Investment
Description

Final Disposition
Proceeds

8/18/2011

49

$

15,000,000

$

0

Preferred Stock

2

8/18/2011

Preferred Stock

2, 7

R $

750,000

1/26/2011

4

$

1,800,000

$

0

Preferred Stock

2

1/26/2011

Preferred Stock

2, 7

R $

90,000

$

6,000,000 $

0

Preferred Stock

2

9/29/2010

Preferred Stock

R $

245,000

Preferred Stock

2

8/25/2011

Preferred Stock

R $

200,000

N/A

N/A

2, 7,

$

15,000,000

Par

$
$

3,510,000
8,900,000

Par
Par

$

2,639,000

Par

$

6,400,000

Par

$

12,000,000

Par

$

12,000,000

Par

$

10,000,000

Par

$

2,330,000

Par

$

11,926,000

Par

$

15,000,000

Par

8

6/19/2009

Manhattan Bancshares, Inc.

Manhattan

IL

8, 10

6/19/2009

Biscayne Bancshares, Inc.

Coconut Grove

FL

8

6/19/2009

Duke Financial Group, Inc.

Minneapolis

MN

8

6/19/2009

Farmers Enterprises, Inc.

Great Bend

KS

8

6/19/2009

Century Financial Services Corporation

Santa Fe

NM

8

6/19/2009

NEMO Bancshares Inc.

Madison

MO

3, 8, 30 7/30/2010

6/19/2009

University Financial Corp, Inc.

St. Paul

MN

8

6/19/2009

Suburban Illinois Bancorp, Inc.

Elmhurst

IL

6/26/2009

Hartford Financial Services Group, Inc.

Hartford

CT

Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants

$

3,400,000,000

Par

3/31/2010

4

$

3,400,000,000

$

0

9/21/2010

Warrants

6/26/2009

Veritex Holdings, Inc.
(Fidelity Resources Company)

Dallas

TX

Preferred Stock w/ Exercised Warrants

$

3,000,000

Par

8/25/2011

49

$

3,000,000

$

0

Preferred Stock

2

8/25/2011

Preferred Stock

6/26/2009
6/26/2009

Waukesha Bankshares, Inc.
FC Holdings, Inc.

Waukesha
Houston

WI
TX

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

$
$

5,625,000
21,042,000

Par
Par

2, 10, 30 9/29/2010

6/26/2009

Security Capital Corporation

Batesville

MS

Preferred Stock w/ Exercised Warrants

$

17,388,000

Par

9/29/2010

4

$

17,388,000 $

0

Preferred Stock

2

9/29/2010

Preferred Stock

2
2, 50
2, 10

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

8/18/2011

50

0

Preferred Stock

2

8/18/2011

Preferred Stock

2, 40 3/23/2011,
49
2, 10
2

15

N/A

Warrants

30a

2, 7

-

2, 7

N/A

A $

713,687,430

R $

150,000

R $

522,000

R $

375,000

2, 7,

$

7,500,000

$

30a

2, 7

35

Seller

Footnote
2, 3, 10, 30 8/20/2010
2, 41 3/30/2011
2, 41 3/30/2011
2

Purchase Date

Name of Institution

State

M&F Bancorp, Inc.

Durham

NC

6/26/2009

Metropolitan Bank Group, Inc.

Chicago

IL

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

8

6/26/2009

8
8

2, 10, 49
2
2
2, 3

City

6/26/2009

6/26/2009

8

Purchase Details

6/26/2009

Chicago

Investment Description

Capital Repayment Details

Investment Amount

Pricing
Mechanism

Preferred Stock

$

11,735,000

Par

Preferred Stock w/ Exercised Warrants

$

74,706,000

Par
Par

IL

Preferred Stock w/ Exercised Warrants

$

7,186,000

Dalton

GA

$

2,986,000

Par

Stearns Financial Services, Inc.

St. Cloud

MN

$

24,900,000

Par

6/26/2009

Signature Bancshares, Inc.

Dallas

TX

$

1,700,000

Par

6/26/2009

Fremont Bancorporation

Fremont

CA

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

$

35,000,000

Par
Par

Capital
Repayment
Date

Capital Repayment
Amount (Loss) 6

8/20/2010

4

$

12/15/2010

4

$

1,700,000

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

11,735,000 $

$

N/A

N/A

N/A

0

Subordinated
8
Debentures

12/15/2010

Subordinated
8
Debentures

Final Disposition
Proceeds

-

N/A

7

R $

85,000

6/26/2009

Alliance Financial Services Inc.

Saint Paul

MN

$

12,000,000

Lincoln National Corporation

Radnor

PA

Preferred Stock w/ Warrants

$

950,000,000

Par

6/30/2010

4

$

950,000,000

$

0

9/16/2010

Warrants

A $

216,620,887

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

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

Oak Brook
Kansas City
Fayetteville
Baltimore

IL
KS
GA
MD

$
$
$
$

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

Par
Par
Par
Par

8/18/2011

49

$

13,669,000

$

0

Preferred Stock

2

8/18/2011

Preferred Stock

2, 7

R $

410,000

$

50,000,000

Par

$

8,400,000

Par

$

2,500,000

Par

$
$
$

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

Par
Par
Par

$

50,000,000

Par

$

7,000,000

Par

$

3,742,000

Par

$
$
$
$

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

Par
Par
Par
Par

8/25/2011

49

$

20,000,000

$

0

Preferred Stock

2

8/25/2011

Preferred Stock

2, 7

R $

1,000,000

$

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
$

52,000,000 $

0

Preferred Stock

2

9/29/2010

Preferred Stock

R $

2,600,000

Preferred Stock
Subordinated
8
Debentures

2

8/25/2011

Preferred Stock
Subordinated
8
Debentures

8

8/21/2009

AmFirst Financial Services, Inc.

McCook

NE

2, 3
2
2, 10

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

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

Detroit
Hammond
Hilton Head Island

MI
LA
SC

8, 10

8/28/2009

TCB Corporation

Greenwood

SC

8, 10

9/4/2009

The State Bank of Bartley

Bartley

NE

9/11/2009

Pathfinder Bancorp, Inc.

Oswego

NY

9/11/2009

Community Bancshares of Mississippi, Inc.

Brandon

MS

Preferred Stock w/ Exercised Warrants

$

52,000,000

Par

9/29/2010

4

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

$
$

7,000,000
1,500,000

Par
Par

8/25/2011

50

$

1,500,000

$

0

$

7,500,000

Par

9/17/2010

4

$

7,500,000 $

0

$
$

5,976,000
10,000,000

Par
Par

10,103,000

Par

3/16/2011

4

$

$

2,606,000

$

8/11/2011

50

$

7,497,000

$

0

7/30/2010

4

$

14,000,000

$

0

8

7/17/2009

First South Bancorp, Inc.

Lexington

TN

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, 49
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

Warrants

2, 7,

2, 10
2, 10, 50
8, 30 9/17/2010
2, 10
2, 10

9/11/2009
9/11/2009

Heartland Bancshares, Inc.
PFSB Bancorporation, Inc.

Franklin
Pigeon Falls

IN
WI

9/11/2009

First Eagle Bancshares, Inc.

Hanover Park

IL

9/18/2009
9/18/2009

IA Bancorp, Inc.
HomeTown Bankshares Corporation

Iselin
Roanoke

NJ
VA

2, 10, 50

9/25/2009

Heritage Bankshares, Inc.

Norfolk

VA

2

9/25/2009

Mountain Valley Bancshares, Inc.

Cleveland

GA

8

9/25/2009

Grand Financial Corporation

Hattiesburg

MS

9/25/2009

Guaranty Capital Corporation

Belzoni

MS

9/25/2009

GulfSouth Private Bank

Destin

FL

9/25/2009

Steele Street Bank Corporation

Denver

CO

8, 10

15

7/10/2009

8

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

Disposition
Investment
Description

0

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

Final Disposition
Final
Disposition
Date

Preferred Stock w/ Exercised Warrants

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

$

3,300,000

Par

$

2,443,320

Par

Subordinated Debentures

$

14,000,000

Par

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

$

7,500,000

Par

$

11,019,000

Par

7,497,000

9/17/2010

Preferred Stock w/
Exercised Warrants
Preferred Stock

N/A

8/11/2011

Preferred Stock

N/A

N/A

30a

2, 7

R $

71,000

30a

R $

375,000

2, 7

R $

303,000

2

-

N/A

36

Seller

Purchase Details

Name of Institution

City

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

Investment Amount
$
$
$

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

Par
Par
Par

$

6,251,000

Par

$
$
$
$

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

Par
Par
Par
Par

$

4,400,000

Par

$
$
$
$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par
Par
Par
Par

$

2,000,000

Par

Oxford
Lebanon

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

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

8

10/23/2009

Cardinal Bancorp II, Inc.

Washington

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

8, 10

11/13/2009

Community Pride Bank Corporation

Ham Lake

2, 10a
2, 10
2, 50
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

8

12/11/2009

Nationwide Bankshares, Inc.

West Point

2, 10a
2, 10a
2, 10a
2, 10a
2, 10a
2, 10a
2, 10a
2
2, 10, 49
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

12/22/2009

First Choice Bank

Cerritos

CA

Preferred Stock

$

2,836,000

Par

Vernon

NJ

Preferred Stock

$

2,359,000

Par

Salt Lake City
Rock Hill
Kingsport
Bluffton
Albuquerque
Ebensburg

UT
NY
TN
SC
NM
PA

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

$
$
$
$
$
$

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

Par
Par

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

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

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

12/22/2009

Investment Description

Pricing
Mechanism

WV Preferred Stock w/ Warrants
NC Preferred Stock w/ Exercised Warrants
WA Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
MO
Warrants
NC Preferred Stock w/ Exercised Warrants
VA Preferred Stock
TN Preferred Stock
IN
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
MN
Warrants
IL
Preferred Stock w/ Exercised Warrants
CA Preferred Stock w/ Exercised Warrants
MN Preferred Stock w/ Exercised Warrants
IL
Preferred Stock
CA Preferred Stock
MD Preferred Stock w/ Exercised Warrants
TX Preferred Stock w/ Exercised Warrants
IL Preferred Stock w/ Exercised Warrants
MA Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
NE
Warrants
SC Preferred Stock
CA Preferred Stock
PA Preferred Stock
CO Preferred Stock
PA Preferred Stock
PA Preferred Stock w/ Exercised Warrants
CA Preferred Stock
WI Preferred Stock w/ Exercised Warrants
PA Preferred Stock w/ Exercised Warrants
MI Preferred Stock w/ Exercised Warrants
UT Preferred Stock
MI Preferred Stock
PA Preferred Stock
NJ Preferred Stock
NC Preferred Stock
TN Preferred Stock w/ Exercised Warrants

2
2, 10a, 49
2, 10a
2, 10

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

State

Capital Repayment Details

12/29/2009

Lafayette Bancorp, Inc.

Oxford

MS

Preferred Stock

$

2,453,000

Par

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

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

Minneapolis
Cartersville
Chicago

MN
GA
IL

Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants

$
$
$

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

Par
Par
Par

$

204,943,827,320

Total Purchase Amount *

Capital
Repayment
Date

Capital Repayment
Amount (Loss) 6

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

8/4/2011

49

$

6,842,000

$

0

8/18/2011

50

$

6,000,000

$

0

Preferred Stock

12/29/2010

4

$

2,000,000

$

0

Subordinated
8
Debentures

7/14/2011

49

$

6,056,000

$

0

Preferred Stock

7/14/2011
7/28/2011

49

$
$

4,640,000
1,744,000

$
$

0
0

N/A
N/A

9/24/2010

4

$

2,836,000

$

0

N/A

7/21/2011
7/21/2011

49

$
$

9,698,000
3,500,000

$
$

0
0

38

$

650,000

$

0

4

$

2,453,000

$

0

3/9/2011

9/29/2010

49

49

Total Repaid **
Losses***

TOTAL TREASURY CAPITAL PURCHASE PROGRAM (CPP) OUTSTANDING INVESTMENT AMOUNT

$ 183,258,313,563
$

(2,613,704,294)

$

19,071,809,463

Final Disposition
Final
Disposition
Date

N/A

Disposition
Investment
Description

15

Final Disposition
Proceeds

-

N/A

N/A

N/A

8/18/2011

Preferred Stock

12/29/2010

Subordinated
8
Debentures

7/14/2011

Preferred Stock

N/A
N/A

N/A
N/A

-

N/A
N/A

N/A

N/A

-

N/A

7/21/2011
7/21/2011

Preferred Stock
Preferred Stock

N/A

N/A

N/A

N/A

N/A

N/A

Preferred Stock
Preferred Stock

2

2

2
2

2, 7

R $

300,000

7

R $

100,000

2, 7

R $

2, 7
2, 7

Total Warrant Proceeds****

R $
R $

182,000

55,000
113,000

N/A

-

N/A

$

7,569,084,595

* 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.

37

1a/ This transaction was included in previous Transaction Reports with Merrill Lynch & Co., Inc. listed as the qualifying institution and a 10/28/2008 transaction date, footnoted to indicate that settlement was deferred pending merger. The purchase of Merrill Lynch by Bank of America was completed on 1/1/2009, and this transaction under the CPP was
1b/ The warrant disposition proceeds amount are stated pro rata in respect of the CPP investments in Bank of America Corporation that occurred on 10/28/2008 and 1/9/2009. The total gross disposition proceeds from CPP warrants on 3/3/2010 was $310,571,615, consisting of $186,342,969 and $124,228,646. Proceeds from the disposition of TIP
warrants on 3/3/2010 appear on a following page of this report.
2/ Privately-held qualified financial institution; Treasury received a warrant to purchase additional shares of preferred stock (unless the institution is a CDFI), which it exercised immediately.
3/ To promote community development financial institutions (CDFIs), Treasury does not require warrants as part of its investment in certified CDFIs when the size of the investment is $50 million or less.
3a/ Treasury cancelled the warrants received from this institution due to its designation as a CDFI.
4/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009.
5/ Redemption pursuant to a qualified equity offering.
6/ This amount does not include accrued and unpaid dividends, which must be paid at the time of capital repayment.
7/ The proceeds associated with the disposition of this investment do not include accrued and unpaid dividends.
8/ Subchapter S corporation; Treasury received a warrant to purchase additional subordinated debentures (unless the institution is a CDFI), which it exercised immediately.
9/ In its qualified equity offering, this institution raised more capital than Treasury’s original investment, therefore, the number of Treasury’s shares underlying the warrant was reduced by half.
10/ This institution participated in the expansion of CPP for small banks.
10a/ This institution received an additional investment through the expansion of CPP for small banks.
11/ Treasury made three separate investments in Citigroup Inc. (Citigroup) under the CPP, Targeted Investment Program (TIP), and Asset Guarantee Program (AGP) for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange up to $25 billion of Treasury's investment in Fixed Rate Cumulative Perpetual
Preferred Stock, Series H (CPP Shares) "dollar for dollar" in Citigroup's Private and Public Exchange Offerings. On 7/23/2009 and 7/30/2009, Treasury exchanged a total of $25 billion of the CPP shares for Series M Common Stock Equivalent (“Series M”) and a warrant to purchase shares of Series M. On 9/11/2009, Series M automatically converted to
7,692,307,692 shares of common stock and the associated warrant terminated on receipt of certain shareholder approvals.
12/ On 8/24/2009, Treasury exchanged its Series C Preferred Stock issued by Popular, Inc. for a like amount of non tax-deductible Trust Preferred Securities issued by Popular Capital Trust III, administrative trustee for Popular, Inc. Popular, Inc. paid a $13 million exchange fee in connection with this transaction.
13/ This institution converted to a bank holding company structure and Treasury exchanged its securities for a like amount of securities that comply with the CPP terms applicable to bank holding companies. The institution in which Treasury's original investment was made is shown in parentheses.
14/ As of the date of this report, this institution is in bankruptcy proceedings.
15/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution, and "A" represents the proceeds to Treasury, before underwriting fees and selling expenses, from a sale by Treasury in a registered public offering of the warrants issued by the financial institution.
16/ On 12/10/2009, the bankruptcy reorganization plan of CIT Group Inc. became effective and Treasury's preferred stock and warrant investment were extinguished and replaced by Contingent Value Rights (CVRs). On 2/8/2010, the CVRs expired without value as the terms and conditions for distribution of common shares to holders of CVRs were not
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.

38

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.
58/ On 8/12/2011, Treasury entered into an agreement with FNB United Corp. to exchange Treasury’s $51,500,000 of preferred stock for common stock. The exchange is subject to the fulfillment by FNB United Corp. of certain conditions, including the satisfactory completion of a capital plan.

39

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

6

Pricing Mechanism

7

Number of Shares

Proceeds

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.

40

COMMUNITY DEVELOPMENT CAPITAL INITIATIVE

Seller

Footnote
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

Purchase
Date
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
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
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

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
Bay Springs
Okolona
Lakewood
New York
Bronx
Shreveport

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
MS
MS
NY
NY
NY
LA

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

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

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
7,922,000
3,297,000
1,709,000
14,000
502,000
2,646,000

Pricing
Mechanism

Date

Amount

Remaining Investment
Amount

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

41

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

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

Purchase Details

City

State

Amount from CPP

Investment Description

Disposition Details

Additional Investment

Investment Amount

Pricing
Mechanism

Springhill

LA

Subordinated Debentures

$

-

$

-

$

6,300,000

Par

New York

NY

Subordinated Debentures

$

-

$

-

$

57,000

Par

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

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

-

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

-

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

325,000
7,000
450,000
3,260,000
1,091,000
1,000,000
295,000
1,100,000
1,522,000
30,000
350,000
100,000
9,278,000
100,000
1,229,000
31,000
698,000
300,000

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

Total Purchase Amount $

570,073,000

Amount

Date

Total Capital Repayment Amount

TOTAL TREASURY COMMUNITY DEVELOPMENT INITIATIVE (CDCI) INVESTMENT AMOUNT

$

Remaining Investment
Amount

$0

570,073,000

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

42

AUTOMOTIVE INDUSTRY FINANCING PROGRAM

Exchange/Transfer/Other Details

Initial Investment

City, State

GMAC
(Ally)

Date

Transaction Type

12/29/2008

Purchase

GMAC

Seller

Description
Preferred Stock w/ Exercised
$
Warrants

5/21/2009

Purchase

GMAC

Convertible Preferred Stock
w/ Exercised Warrants

12/30/2009

Purchase

GMAC

12/30/2009

Purchase

GMAC

Detroit, MI

12/29/2008

Purchase

12/31/2008

Purchase

4/22/2009

Purchase

Pricing
Mechanism

Amount

Date

5,000,000,000

Par

$

7,500,000,000

Par

22

Convertible Preferred Stock
w/ Exercised Warrants

$

1,250,000,000

Par

22,
26

Trust Preferred Securities w/
Exercised Warrants

$

2,540,000,000

Par

General Motors
Corporation
General Motors
Corporation
General Motors
Corporation

$

884,024,131

Par

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

13,400,000,000

Par

2,000,000,000

Par

General Motors
Corporation

Debt Obligation w/ Additional
$
Note

Debt Obligation

12/30/2009

Obligor
GMAC (Ally)

GMAC (Ally)

3, 26

N/A

12/30/2009

Partial conversion of preferred
$
stock for common stock

3,000,000,000

N/A

12/30/2010

Partial conversion of preferred
$
stock for common stock

5,500,000,000

N/A

26

27 GMAC (Ally)

5/29/2009

7/10/2009

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

$

2,670,000,000

N/A

$

884,024,131

N/A

$

13,400,000,000

N/A

$

2,000,000,000

N/A

Description
Convertible
21, 22
Preferred Stock

5,000,000,000

7/10/2009
4

Pricing
Mechanism

Amount
$

3/1/2011
2

Type
Exchange for convertible
preferred stock

Amount/Equity %
$

5/20/2009

General
Motors

6/3/2009

1/16/2009

$

2,670,000,000

Par

5

7/10/2009

$

4,000,000,000

Purchase

Purchase

Purchase

General Motors
Corporation

Debt Obligation w/ Additional
$
Note

General Motors
Corporation

Debt Obligation w/ Additional
$
Note

Chrysler FinCo

Debt Obligation w/ Additional
$
Note

360,624,198

30,100,000,000

1,500,000,000

Par

Par

Par

6

8

7/10/2009

Exchange for preferred and
common stock in New GM

7/10/2009

Exchange for preferred and
common stock in New GM

7/10/2009
7/10/2009

$

360,624,198

7

N/A

N/A

N/A

$

22,041,706,310

Transfer of debt to New GM

$

7,072,488,605

N/A

Debt left at Old GM

$

985,805,085

N/A

1/2/2009

Purchase

Chrysler Holding

Purchase

Chrysler Holding

Purchase

Chrysler Holding

5/1/2009

Purchase

Old Chrysler

5/20/2009

Purchase

Old Chrysler

4/29/2009

Auburn
Hills, MI
5/27/2009

Purchase

New Chrysler

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

$

4,000,000,000

$

-

General Motors
Company

10,
Preferred Stock
11, 24

$

2,100,000,000

General Motors
Company

10,
Common Stock
11, 25

$

280,130,642

$

1,888,153,580

$

-

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

-

6/10/2009

Par

7

General Motors
Holdings LLC

11, 12 Debt Obligation

$

7,072,488,605

N/A

500,000,000

N/A

4/30/2010

17

6/10/2009

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

Issuance of equity in New
Chrysler

$

(1,888,153,580)

-

N/A

N/A

2,667,000,000

N/A

$

2,139,406,778

N/A

$

0

12/15/2010 Repayment

$

11/18/2010 Partial Disposition 25

$

11,743,303,903 Common Stock

11/26/2010 Partial Disposition 25

$

1,761,495,577 Common Stock

7/10/2009

Partial Repayment

$

360,624,198 Debt Obligation

$

6,711,864,407

12/18/2009 Partial Repayment

$

1,000,000,000 Debt Obligation

$

5,711,864,407

1/21/2010

Partial Repayment

$

35,084,421 Debt Obligation

$

5,676,779,986

3/31/2010

Partial Repayment

$

1,000,000,000 Debt Obligation

$

4,676,779,986

4/20/2010

Repayment

$

4,676,779,986

$

0

3/31/2011

Partial Repayment

$

50,000,000 Debt Obligation

$

935,805,085

4/5/2011

Partial Repayment

$

45,000,000 Debt Obligation

$

890,805,085

5/3/2011

Partial Repayment

$

15,887,795 Debt Obligation

$

874,917,290

3/17/2009

Partial Repayment

$

1,496,500,945

4/17/2009

Partial Repayment

$

1,464,690,823

5/18/2009

Partial Repayment

6/17/2009

Partial Repayment

0
36.9%

N/A

32.04%

9
9

Motors Liquidation
Company

19

Chrysler Holding

23 Old Carco
Liquidation Trust

Chrysler Group
LLC

Chrysler Group
LLC

Total Initial Investment Amount $

$

9

29

Debt Obligation

$

985,805,085

20

Debt obligation w/
additional note

$

3,500,000,000

15

18
6,642,000,000

$

3/2/2011 Disposition 28

23

19, 31 Debt obligation w/
additional note &
zero coupon note

30

81,344,932,551

Total Treasury Investment Amount $

Right to recover
proceeds

Common equity

N/A

$

7,142,000,000

6.6%

$
$
$
$

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

$

1,413,554,739

$

1,369,197,029

7/14/2009

Repayment

$

1,369,197,029

7/14/2009

Repayment*

$

15,000,000

N/A

-

5/14/2010

Termination and settlement
payment 20

$

1,900,000,000

N/A

-

N/A

14

16
-

Transfer of debt to New
Chrysler

Remaining
Investment
Amount/Equity %

60.8%

13

Par

Remaining
Investment
Description

7

Farmington
Hills, MI

4/29/2009

Chrysler

4,000,000,000

Amount/ Proceeds

3

Detroit, MI
5/27/2009

Chrysler
FinCo

Purchase

Type

73.8%

Common Stock

Trust Preferred
Securities

27

Date

5,937,500,000

7
Exchange for preferred and
common stock in New GM

Payment or Disposition1

Treasury Investment After Exchange/Transfer/Other

7/10/2009

Repayment

$

280,130,642

5/10/2010

Proceeds from sale of collateral

$

30,544,528

9/9/2010

$

Proceeds from sale of collateral

$
$

5/24/2011

$

5,076,460,000

5/24/2011

Termination of undrawn facility 31

$

2,065,540,000

5/24/2011

Repayment* - Additional Note

$

288,000,000

5/24/2011

Repayment* - Zero Coupon Note

$

100,000,000

7/21/2011

Disposition

$

560,000,000

Total Payments $

34,859,229,021

Additional Proceeds * $

403,000,000

N/A

N/A

0

$

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

12/29/2010 Proceeds from sale of collateral
Repayment - Principal

Additional Note

0
N/A
N/A
N/A

$

0

-

40,932,009,950

Footnotes appear on following page.

43

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

1. Payment amount does not include accrued and unpaid interest on a debt obligation, which must be paid at the time of principal repayment.
2. Treasury committed to lend General Motors Corporation up to $1,000,000,000. The ultimate funding was dependent upon the level of investor participation in GMAC LLC's rights offering. The amount has been updated to reflect the final level of funding.
3. Pursuant to its rights under the loan agreement with Old GM reported on 12/29/2008, Treasury exchanged its $884 million loan to Old GM for a portion of Old GM’s common equity interest in GMAC. Treasury held a 35.4% common equity interest in GMAC until the transactions reported on 12/30/2009. (See transactions marked by orange line in the table above and footnote 22.)
4. This transaction is an amendment to Treasury's 12/31/2008 agreement with Old GM (the "Old GM Loan"), which brought the total loan amount to $15,400,000,000.
5. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,400,000,000.
6. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,760,624,198. The $360,624,198 loan was used to capitalize GM Warranty LLC, a special purpose vehicle created by Old GM . On 7/10/2009, the principal amount was included in the $7.07 billion of debt assumed by the new GM, as explained in footnote 10.
7. On 7/10/2009, the principal amount outstanding under the Old GM Loan and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM. (See green lines in the table above.)
8. Under the terms of the $33.3 billion debtor-in-possession credit agreement dated 6/3/2009 with Old GM (the "GM DIP Loan"), Treasury's commitment amount was $30.1 billion. The remaining $2.2 billion of the financing was provided by Canadian government entities. As of 7/09/2009, $30.1 billion of funds had been disbursed by Treasury.
9. On 7/10/2009, Treasury and Old GM amended the GM DIP Loan, and the principal amount and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM, except for (i) $7.07 billion, which was assumed by New GM as a new obligation under the terms of a separate credit agreement between Treasury and New GM (see transactions marked by
green lines in table above) and (ii) $986 million, which remained a debt obligation of Old GM.
10. In total, for the exchange of the Old GM Loan and the GM DIP Loan (other than as explained in footnote 9), Treasury received $2.1 billion in preferred shares and 60.8% of the common shares of New GM. (See transactions marked by green lines in the table above.)
11. Pursuant to a corporate reorganization completed on or about 10/19/2009, the shareholders of New GM, including with respect to Treasury's preferred and common stock, became shareholders of General Motors Holding Company (the ultimate parent company of New GM), which was renamed "General Motors Company" on an equal basis to their shareholdings in New GM, and New GM was converted to
"General Motors LLC". General Motors LLC is a wholly owned subsidiary of General Motors Holdings LLC, and General Motors Holdings LLC is a wholly owned subsidiary of General Motors Company.
12. Pursuant to a corporate reorganization completed on 10/19/2009, Treasury's loan with New GM was assigned and assumed by General Motors Holdings LLC.
13. The loan was funded through Chrysler LB Receivables Trust, a special purpose vehicle created by Chrysler FinCo. The amount of $1,500,000,000 represents the maximum loan amount. The loan was incrementally funded until it reached the maximum amount of $1.5 billion on 4/9/2009.
14. This transaction was an amendment to Treasury's 1/2/2009 agreement with Chrysler Holding. As of 4/30/2009, Treasury's obligation to lend any funds committed under this amendment had terminated. No funds were disbursed.
15. The loan was used to capitalize Chrysler Warranty SPV LLC, a special purpose vehicle created by Old Chrysler.
16. This transaction was set forth in a credit agreement with Old Chrysler fully executed on 5/5/2009 following a term sheet executed on 5/1/2009 and made effective on 4/30/2009. Treasury's commitment was $3.04 billion of the total $4.1 billion debtor-in-possession credit facility (the "Chrysler DIP Loan"). As of 6/30/2009, Treasury's commitment to lend under the Chrysler DIP Loan had terminated. The remaining
principal amount reflects the final amount of funds disbursed under the Chrysler DIP Loan.
17. This transaction was an amendment to Treasury's commitment under the Chrysler DIP Loan, which increased Treasury's commitment by an amount $756,857,000 to a total of $3.8 billion under the Chrysler DIP Loan. As of 6/30/2009, Treasury's obligation to lend funds committed under the Chrysler DIP Loan had terminated.
18. This transaction, first reported based on a term sheet fully executed on 5/27/2009 for an amount up to $6.943 billion, was set forth in a credit agreement with New Chrysler fully executed on 6/10/2009. Under the terms of the credit agreement, Treasury made a new commitment to New Chrysler of up to $6.642 billion. The total loan amount is up to $7.142 billion including $500 million of debt assumed on
6/10/2009 from Chrysler Holding originally incurred under Treasury's 1/2/2009 credit agreement with Chrysler Holding. The debt obligations are secured by a first priority lien on the assets of New Chrysler. When the sale to new Chrysler was completed, Treasury acquired the rights to 9.85% of the common equity in new Chrysler.
19. Pursuant to the agreement explained in footnote 18, $500 million of this debt obligation was assumed by New Chrysler.
20. Under loan agreement, as amended on 7/23/2009, Treasury was entitled to proceeds Chrysler Holdco received from Chrysler FinCo equal to the greater of $1.375 billion or 40% of the equity value of Chrysler FinCo. Pursuant to a termination agreement dated 5/14/2010, Treasury agreed to accept a settlement payment of $1.9 billion as satisfaction in full of all existing debt obligations (including additional notes
and accrued and unpaid interest) of Chrysler Holdco, and upon receipt of such payment to terminate all such obligations.
21. Amount of the Treasury investment exchange includes the exercised warrants from Treasury's initial investments.
22. Under the terms of an agreement dated 12/30/2009, the convertible preferred shares will mandatorily convert to common stock under the conditions and the conversion price as set forth in the terms of the agreement.
23. On April 30, 2010, the Plan of Liquidation for the debtors of Old Chrysler approved by the respective bankruptcy court became effective (the “Liquidation Plan”). Under the Liquidation Plan, the loan Treasury had provided to Old Chrysler was extinguished without repayment, and all assets of Old Chrysler were transferred to a liquidation trust. Treasury retained the right to recover the proceeds from the liquidation
from time to time of the specified collateral security attached to such loan.
24. On October 27, 2010, Treasury accepted an offer by General Motors Company (GM) to repurchase all of the approximately $2.1 billion preferred stock at a price per share of $25.50, which is equal to 102% of the liquidation preference, subject to the closing of the proposed initial public offering of GM’s common stock. The repurchase was completed on 12/15/2010.
25. On 11/17/2010, Treasury agreed to sell 358,546,795 shares of common stock at $32.7525 per share (which represents the $33 public sale price less underwriting discounts and fees) pursuant to an underwriting agreement. Following settlement, the net proceeds to Treasury were $11,743,303,903. On 11/26/2010, the underwriters exercised their option to purchase an additional 53,782,019 shares of common
stock from Treasury at the same purchase price resulting in additional proceeds of $1,761,495,577. Treasury's aggregate net proceeds from the sale of common stock pursuant to the underwriting agreement total $13,504,799,480.
26. On 12/30/2010, Treasury converted $5,500,000,000 of the total convertible preferred stock then outstanding and held by Treasury (including exercised warrants) into 531,850 shares of common stock of Ally. Following this conversion, Treasury holds $5,937,500,000 of convertible preferred stock.
27. On 3/1/2011, Treasury entered into an agreement with Ally Financial, Inc. (Ally) and certain other parties to amend and restate the $2,667,000,000 in aggregate liquidation preference of its Ally trust preferred securities so to facilitate a public underwritten offering. At the time of amendment and restatement, Treasury received all outstanding accrued and unpaid dividends and a distribution fee of $28,170,000.
28. On 3/2/2011, Treasury entered into an underwritten offering for all of its Ally trust preferred securities, the proceeds of which were $2,638,830,000, which together with the distribution fee referred to in footnote 27, provided total disposition proceeds to Treasury of $2,667,000,000. This amount does not include the accumulated and unpaid dividends on the trust preferred securities from the date of the amendment
and restatement through but excluding the closing date that Treasury will receive separately at settlement.
29. On March 31, 2011, the Plan of Liquidation for Motors Liquidation Company (Old GM) became effective, Treasury’s $986 million loan to Old GM was converted to an administrative claim and the assets remaining with Old GM, including Treasury's liens on certain collateral and other rights attached to the loan, were transferred to liquidation trusts. 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
Adjustment Details
Adjustment
Adjusted or Final
Amount
Investment Amount

Seller
Footnote

Date

Name of Institution

City

State

Transaction Type

Investment
Description

Investment
Amount

Pricing Mechanism

Adjustment
Date

Date

4/9/2009

GM Supplier Receivables LLC

Wilmington

DE

Purchase

Debt Obligation w/
Additional Note

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

3

$ (1,000,000,000) $

6

2

4/9/2009

Chrysler Receivables SPV LLC

INITIAL TOTAL

$

5,000,000,000

Wilmington

DE

Purchase

ADJUSTED TOTAL

Debt Obligation w/
Additional Note

$

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

3

$

(500,000,000)

$

290,000,000

$

1,000,000,000

$

123,076,735

N/A
7

413,076,735

2,500,000,000

N/A

Total Repayments

$

413,076,735

Payment or Disposition4
Remaining Investment
Description

Amount

2/11/2010

Partial
repayment
Partial
repayment

3/4/2010

Repayment5

Additional Note

$

4/5/2010

Payment6

None

$

56,541,893

3/9/2010

Repayment5

Additional Note

$

123,076,735

Payment7

None

$

44,533,054

Total Proceeds from Additional Notes

$

101,074,947

11/20/2009
1

Type

4/7/2010

Debt Obligation w/ Additional Note

$

140,000,000

Debt Obligation w/ Additional Note

$

100,000,000
50,000,000

1/ The loan was funded through GM Supplier Receivables, LLC, a special purpose vehicle created by General Motors Corporation. The amount of $3,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/3/2009. General Motors Company assumed GM Supplier Receivables
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.

44

TARGETED INVESTMENT PROGRAM

Seller

Footnote
1

Date

Name of Institution

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

Treasury Investment Remaining After Capital
Repayment

Capital Repayment Details

City

State

Transaction
Type

New York

NY

Purchase

Charlotte

NC

Purchase

Investment Amount

Capital
Repayment Date

Pricing
Mechanism

Investment Description
Trust Preferred Securities
w/ Warrants
Preferred Stock w/
Warrants

$

20,000,000,000

Par

12/23/2009

$

20,000,000,000

Par

12/9/2009

TOTAL

$

Capital Repayment Remaining Capital
Amount
Amount
2

Final Disposition

Remaining Capital
Description

Final Disposition Date

3

Final Disposition
Description

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

1

3

Date

1/16/2009

Seller
Name of Institution

Citigroup Inc.

12/23/2009 Citigroup Inc.

City

New York

New York

State

NY

NY

Type

Guarantee

Termination

Premium
Description

Master Agreement

Termination Agreement
TOTAL

Guarantee Limit

$

$
$

5,000,000,000

Description

Preferred Stock
w/ Warrants

Amount

$

Exchange/Transfer/Other Details
Footnote

Date

2

6/9/2009

4

9/29/2010

4,034,000,000

Type

Payment or Disposition
Description

Amount

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

Trust Preferred Securities
w/ Warrants

$

Footnote

Date

Type

Amount

Remaining Premium
Description

Remaining
Premium

4,034,000,000

3

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

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

$2,234,000,000

2,246,000,000

5

9/30/2010 Disposition

$ 2,246,000,000 Warrants

$

0

1/25/2011 Warrant Auction

$

$

0

67,197,045 None

(5,000,000,000)
0

Total Proceeds

$ 2,313,197,045

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

45

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

Date

1

11/25/2008

2, 3

4/17/2009

Name of Institution
AIG

Purchase Details
City
New York

AIG

New York

State

Transaction
Type

NY

Purchase

Preferred Stock w/ Warrants
(Series D)

Purchase

Preferred Stock w/ Warrants
(Series F)

NY

Investment Description

Exchange/Transfer Details

Investment Amount
$

Pricing Mechanism

40,000,000,000

$

29,835,000,000

$

69,835,000,000

Par
Par

2

Date

Transaction Type

4/17/2009

Exchange

Investment Description
Preferred Stock w/ Warrants
(Series E)

1

Amount

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

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
Treasury Holdings Post-Recapitalization

Recapitalization

Note

Date

Investment Description

Transaction Type

Pricing Mechanism

Exchange

Par

Investment Description
Preferred Stock (Series G)

AIA Preferred Units
4

1/14/2011

Preferred Stock (Series F)

Exchange

Exchange
1/14/2011
1/14/2011

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

Exchange
Transfer

Date

Amount / Shares
$

$

2,000,000,000

16,916,603,568

7

N/A

ALICO Junior Preferred Interests

5
6

Final Disposition

$

3,375,328,432

7

Pricing
Mechanism

Proceeds 8

Transaction Type

5/27/2011

Cancellation

$

2/14/2011

Payment

$

185,726,192

Par

$

-

N/A

3/8/2011

Payment

5,511,067,614

Par

3/15/2011

Payment

$

55,833,333

Par

8/17/2011

Payment

$

97,008,351

Par

8/18/2011

Payment

$

2,153,520,000

Par

2/14/2011

Payment

$

2,009,932,072

Par

3/8/2011

Payment

$

1,383,888,037

Par

167,623,733
N/A

Common Stock

924,546,133
562,868,096

5/24/2011

Partial Disposition

$

5,800,000,000

N/A

Remaining Recap
Investment Amount,
Shares, or Equity %
$

$

-

8,913,448,077

$

0
1,455,037,962

10

8

8

9

77%
Total

$

17,196,975,599

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.

46

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

$

20,000,000,000

TOTAL

$

4,300,000,000

Investment Amount

Pricing Mechanism

Adjusted Investment
Date
Amount
2

TALF LLC

Wilmington

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.

47

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

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

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

$

332,596,893

TBA or
Pricing Mechanism
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

PMF

Settlement Date

-

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

TOTAL INVESTMENT AMOUNT

Investment Amount

TBA or

2, 3

PMF3
-

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

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

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

Total Senior Security Proceeds $

183,555

$

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

Final Disposition
Senior Security
4
Proceeds

368,145,452 *

Purchase Face
3
Amount

Life-to-date
Principal
1, 8
Received

Current Face
6, 8
Amount

Disposition
5, 6
Amount

Trade Date

PMF6

6/21/2011

-

$

4,070,000

$

3,151,186

$

-

$

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

$
$
$
$
$
$
$

-

$
$
$
$
$
$
$

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

$

-

$

36,072,056

6/21/2011

-

$

6,004,156

$

5,656,049

$

-

$

6,051,772

6/21/2011

-

$

13,183,361

$

12,704,841

$

-

$

14,182,379

6/21/2011

-

$

9,719,455

$

9,531,446

$

-

$

10,223,264

Disposition Proceeds

$

TOTAL PROGRAM PROCEEDS TO DATE7 $

151,533,849 *

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.

48

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

Seller

Footnote

Date

1

9/30/2009

2

9/30/2009

Name of Institution
UST/TCW Senior Mortgage Securities Fund, L.P.

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

Adjusted Investment

City

State

Transaction
Type

Wilmington

DE

Purchase

Wilmington

DE

Purchase

Investment Description
Membership Interest

Debt Obligation w/ Contingent Proceeds

Pricing
Investment Amount Mechanism
$

$

1,111,111,111

2,222,222,222

Par

Par

Date
1/4/2010

1/4/2010

3

Amount
4 $

4 $

Final Investment Amount

Date

Amount
4

156,250,000

200,000,000

7

4

$

$

156,250,000

200,000,000

Capital Repayment Details
Repayment
Date
1/15/2010

1/11/2010
1/12/2010

1
2

1

9/30/2009
9/30/2009

10/1/2009

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

Wellington Management Legacy Securities PPIF Master Fund, LP

Wilmington
Wilmington

Wilmington

DE
DE

DE

Purchase
Purchase

Purchase

Membership Interest
Debt Obligation w/ Contingent Proceeds

Membership Interest

$
$

$

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

1,111,111,111

Par
Par

Par

3/22/2010 6 $ 1,244,437,500
3/22/2010 6 $ 2,488,875,000

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

7/16/2010
7/16/2010

7/16/2010

$
$

$

$

$
$

156,250,000

34,000,000
166,000,000

Amount
$

$
$

Description
0

Membership Interest

Distribution or Disposition

Date
5

Proceeds

5

Distribution

2/24/2010

Final Distribution

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

Description

1/29/2010

$
5

20,091,872

$

48,922

$

502,302

$

1,223

$

20,644,319

N/A
5

1/29/2010

Distribution

2/24/2010

Final Distribution

Contingent Proceeds

5

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

1,707,111,282

Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds

2/18/2010

$

4,888,718

$

4/15/2010

$

7,066,434

$

1,700,044,848

9/15/2010

$

60,022,674

$

1,640,022,174

11/15/2010

$

132,928,628

$

1,507,093,546

12/14/2010

$

31,689,230

$

1,475,404,316

1/14/2010

$

27,355,590

$

1,448,048,726

2/14/2011

$

92,300,138

$

1,355,748,588

3/14/2011

$

128,027,536

$

1,227,721,052

4/14/2011

$

155,409,286

$

1,072,311,766

5/20/2011

$

75,085,485

$

997,226,281

6/14/2011

$

18,259,513

$

978,966,768

7/15/2011

$

62,979,809

$

915,986,960

8/12/2011

$

20,762,532

$

895,224,428

5/16/2011 $

30,244,575

$

6/14/2011 $

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

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

Wilmington

DE

Purchase

Debt Obligation w/ Contingent Proceeds

$

2,222,222,222

Par

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

7/16/2010

$

2,486,550,000

1

11/4/2009

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

Wilmington

DE

Purchase

Membership Interest

$

1,111,111,111

Par

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

7/16/2010

$

620,578,258

2

11/4/2009

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

Wilmington

DE

Purchase

Debt Obligation w/ Contingent Proceeds

$

2,222,222,222

Par

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

7/16/2010

$

1,241,156,516

1

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

Wilmington

DE

Purchase

Membership Interest

$

1,111,111,111

Par

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

7/16/2010

$

474,550,000

2

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

Wilmington

DE

Purchase

Debt Obligation w/ Contingent Proceeds

$

2,222,222,222

Par

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

7/16/2010

$

949,100,000

1

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

Wilmington

DE

Purchase

Membership Interest

$

1,111,111,111

Par

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

7/16/2010

$

1,160,784,100

2

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

Wilmington

DE

Purchase

Debt Obligation w/ Contingent Proceeds

$

2,222,222,222

Par

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

7/16/2010

$

2,321,568,200

$

30,000,000,000

FINAL INVESTMENT AMOUNT

$

22,406,483,574

INITIAL INVESTMENT AMOUNT

Investment After Capital Repayment

Repayment
Amount

TOTAL CAPITAL REPAYMENT AMOUNT $

1,295,889,763

TOTAL PROCEEDS

Footnotes appear on following page.
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.

49

Transactions Report - Housing Programs
For Period Ending August 16, 2011

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

Date
4/13/2009

City

Select Portfolio Servicing

Salt Lake City

State

Transaction
Type

UT

Purchase

Investment Description
Financial Instrument for Home Loan Modifications

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

376,000,000

N/A

10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
4/13/2009

CitiMortgage, Inc.

O'Fallon
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722

MO

Purchase

Financial Instrument for Home Loan Modifications

$

2,071,000,000

N/A

Adjustment Details
Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

6/12/2009

$

284,590,000

$

Reason for Adjustment

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

9/30/2009

$

121,910,000

$

12/30/2009

$

131,340,000

$

3/26/2010

$

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

(355,530,000) $

(700,000) $
64,400,000

558,310,000 Updated portfolio data from servicer

750,107,784 Transfer of cap due to servicing transfer

$

814,507,784 Updated portfolio data from servicer

$

(639) $

814,507,145 Updated portfolio data from servicer

1/13/2011

$

(2,300,000) $

812,207,145 Transfer of cap due to servicing transfer

2/16/2011

$

100,000

$

812,307,145 Transfer of cap due to servicing transfer

3/16/2011

$

3,600,000

$

3/30/2011

$

(735) $

815,907,145 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
815,906,410 reallocation

4/13/2011

$

(100,000) $

5/13/2011

$

6/16/2011

$

(100,000) $

6/29/2011

$

(6,805) $

8/16/2011

$

(100,000) $

6/12/2009

$

(991,580,000) $

400,000

$

$

815,806,410 Transfer of cap due to servicing transfer
816,206,410 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
815,999,605 Transfer of cap due to servicing transfer
1,079,420,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
2,089,600,000 initial cap
Updated portfolio data from servicer & HAFA
1,984,190,000 initial cap
Updated portfolio data from servicer & 2MP
1,784,890,000 initial cap
Transfer of cap to Service One, Inc. due to
1,784,660,000 servicing transfer
Transfer of cap to Specialized Loan Servicing,
1,781,660,000 LLC due to servicing transfer
Transfer of cap to multiple servicers due to
1,769,380,000 servicing transfer

9/30/2009

$

1,010,180,000

12/30/2009

$

(105,410,000) $

3/26/2010

$

(199,300,000) $

4/19/2010

$

(230,000) $

5/14/2010

$

(3,000,000) $

6/16/2010

$

(12,280,000) $

7/14/2010

$

(757,680,000) $

7/16/2010

$

(7,110,000) $

8/13/2010

$

(6,300,000) $

9/15/2010

$

(8,300,000) $

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

9/30/2010

$

32,400,000

$

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

9/30/2010

$

101,287,484

$

1,123,677,484 Updated portfolio data from servicer

10/15/2010

$

(1,400,000) $

1,122,277,484 Transfer of cap due to servicing transfer

11/16/2010

$

(3,200,000) $

1,119,077,484 Transfer of cap due to servicing transfer

1/6/2011

$

(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) $

1,073,476,503 Transfer of cap due to servicing transfer

1,119,076,503 Updated portfolio data from servicer

50

Servicer Modifying Borrowers' Loans
Date

Name of Institution

City

State

Transaction
Type

Investment Description

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

10722
10722
10722
10722
10722
10722
10722
4/13/2009

Wells Fargo Bank, NA

Des Moines

IA

Purchase

Financial Instrument for Home Loan Modifications

$

2,873,000,000

N/A

10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
4/13/2009

GMAC Mortgage, Inc.

Ft. Washington
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315

PA

Purchase

Financial Instrument for Home Loan Modifications

$

633,000,000

N/A

Adjustment Details
Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

(1,031) $

Reason for Adjustment

Updated due to quarterly assessment and
1,073,475,472 reallocation

3/30/2011

$

4/13/2011

$

100,000

$

1,073,575,472 Transfer of cap due to servicing transfer

5/13/2011

$

(7,200,000) $

1,066,375,472 Transfer of cap due to servicing transfer

6/16/2011

$

(400,000) $

6/29/2011

$

(9,131) $

7/14/2011

$

(14,500,000) $

1,051,466,341 Transfer of cap due to servicing transfer

8/16/2011

$

(1,600,000) $

1,049,866,341 Transfer of cap due to servicing transfer

6/17/2009

$

(462,990,000) $

9/30/2009

$

65,070,000

$

12/30/2009

$

1,213,310,000

$

2/17/2010

$

2,050,236,344

$

3/12/2010

$

54,767

$

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
Transfer of cap (from Wachovia) due to
5,738,626,344 merger
Transfer of cap (from Wachovia) due to
5,738,681,110 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

$

1,065,975,472 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,065,966,341 reallocation

12/3/2010

$

8,413,225

$

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
Transfer of cap (from Wachovia) due to
5,116,764,397 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) $

5,128,950,914 Transfer of cap due to servicing transfer

5/13/2011

$

100,000

5,129,050,914 Transfer of cap due to servicing transfer

6/16/2011

$

(600,000) $

6/29/2011

$

(63,856) $

7/14/2011

$

(2,300,000) $

5,126,087,058 Transfer of cap due to servicing transfer

8/16/2011

$

(1,100,000) $

5,124,987,058 Transfer of cap due to servicing transfer

6/12/2009

$

384,650,000

$

9/30/2009

$

2,537,240,000

$

12/30/2009

$

(1,679,520,000) $

3/26/2010

$

190,180,000

$

5/14/2010

$

1,880,000

$

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

7/14/2010

$

(881,530,000) $

1,185,900,000 Updated portfolio data from servicer

8/13/2010

$

(3,700,000) $

9/30/2010

$

119,200,000

$

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

216,998,139

344,000,000

$

$

5,128,450,914 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,128,387,058 reallocation

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

9/30/2010

$

$

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

12/15/2010

$

(500,000) $

1,517,898,139 Updated portfolio data from servicer

1/6/2011

$

(1,734) $

1,517,896,405 Updated portfolio data from servicer

3/16/2011

$

(100,000) $

1,517,796,405 Transfer of cap due to servicing transfer

51

Servicer Modifying Borrowers' Loans
Date

Name of Institution

City

State

Transaction
Type

Investment Description

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

Adjustment Details
Note

10315
10315
10315
10315
10315
10315
4/13/2009

Saxon Mortgage Services, Inc.

Irving

TX

Purchase

Financial Instrument for Home Loan Modifications

$

407,000,000

N/A

10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
4/13/2009

Chase Home Finance, LLC

Iselin

NJ

Purchase

Financial Instrument for Home Loan Modifications

$

3,552,000,000

N/A

4/16/2009

Ocwen Financial Corporation, Inc.

West Palm Beach

FL

Purchase

Financial Instrument for Home Loan Modifications

$

659,000,000

N/A

10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500

2

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

(2,024) $

Reason for Adjustment

Updated due to quarterly assessment and
1,517,794,381 reallocation

3/30/2011

$

4/13/2011

$

(800,000) $

5/13/2011

$

(17,900,000) $

6/29/2011

$

(18,457) $

7/14/2011

$

(200,000) $

1,498,875,924 Transfer of cap due to servicing transfer

8/16/2011

$

3,400,000

$

1,502,275,924 Transfer of cap due to servicing transfer

6/17/2009

$

225,040,000

$

9/30/2009

$

254,380,000

$

12/30/2009

$

355,710,000

$

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

3/26/2010

$

(57,720,000) $

6/16/2010

$

(156,050,000) $

7/14/2010

$

(513,660,000) $

7/16/2010

$

(22,980,000) $

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

9/15/2010

$

1,800,000

$

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

9/30/2010

$

9,800,000

$

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

9/30/2010

$

116,222,668

$

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

3/16/2011

$

700,000

$

3/30/2011

$

631,542,112 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
631,541,458 reallocation

4/13/2011

$

6/29/2011

$

7/14/2011

$

$

633,835,314 Transfer of cap due to servicing transfer

8/16/2011

$

(100,000) $

633,735,314 Transfer of cap due to servicing transfer

7/31/2009

$

(3,552,000,000) $

6/12/2009

$

(105,620,000) $

(654) $
2,100,000

$

(6,144) $
200,000

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

1,184,410,000 Updated portfolio data from servicer
Transfer of cap to Ocwen Financial
1,028,360,000 Corporation, Inc. due to servicing transfer

633,641,458 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
633,635,314 reallocation

- 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

9/30/2009

$

102,580,000

$

12/30/2009

$

277,640,000

$

3/26/2010

$

46,860,000

$

6/16/2010

$

156,050,000

$

7/14/2010

$

(191,610,000) $

7/16/2010

$

23,710,000

$

944,900,000 Updated portfolio data from servicer
Transfer of cap from Saxon Mortgage
968,610,000 Services, Inc. due to servicing transfer

9/15/2010

$

100,000

$

968,710,000 Initial FHA-HAMP cap

9/30/2010

$

3,742,740

$

10/15/2010

$

170,800,000

$

1/6/2011

$

2/16/2011

$

(1,020) $

3/30/2011

$

(1,114) $

6/29/2011

$

(10,044) $

900,000

$

980,460,000 Updated portfolio data from servicer
Transfer of cap from Saxon Mortgage
1,136,510,000 Services, Inc. due to servicing transfer

972,452,740 Updated portfolio data from servicer
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

52

Servicer Modifying Borrowers' Loans
Date
4/17/2009 as
amended on
1/26/2010

Name of Institution

City

Bank of America, N.A.

Simi Valley

State

Transaction
Type

CA

Purchase

Investment Description
Financial Instrument for Home Loan Modifications

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

798,900,000

N/A

10512
10512
10512
10512
10512
10512
10512
10512
10512
10512
10512

4/17/2009 as
amended on
1/26/2010

Countrywide Home Loans Servicing LP

Simi Valley

CA

Purchase

Financial Instrument for Home Loan Modifications

$

1,864,000,000

N/A

1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832

4/20/2009

Home Loan Services, Inc.

Pittsburgh
10316
10316
10316
10316
10316
10316
10316

PA

Purchase

Financial Instrument for Home Loan Modifications

$

319,000,000

N/A

Adjustment Details
Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

6/12/2009

$

5,540,000

$

Reason for Adjustment

9/30/2009

$

162,680,000

$

12/30/2009

$

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

1/26/2010

$

800,390,000

$

2,433,020,000 Initial 2MP cap

3/26/2010

$

(829,370,000) $

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

7/14/2010

$

(366,750,000) $

9/30/2010

$

95,300,000

$

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

9/30/2010

$

222,941,084

$

1,555,141,084 Updated portfolio data from servicer

1/6/2011

$

(2,199) $

3/30/2011

$

(2,548) $

6/29/2011

$

(23,337) $

8/16/2011

$

(300,000) $

6/12/2009

$

3,318,840,000

9/30/2009

$

(717,420,000) $

12/30/2009

$

2,290,780,000

$

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

1/26/2010

$

450,100,000

$

7,206,300,000 Initial 2MP cap

3/26/2010

$

905,010,000

$

4/19/2010

$

10,280,000

$

6/16/2010

$

286,510,000

$

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

7/14/2010

$

(1,787,300,000) $

9/30/2010

$

105,500,000

$

$

(614,527,362) $

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
1,554,813,000 Transfer of cap due to servicing transfer

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

9/30/2010

$

12/15/2010

$

1/6/2011

$

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

$

(200,000) $

6,348,873,089 Transfer of cap due to servicing transfer

8/16/2011

$

(3,400,000) $

6,345,473,089 Transfer of cap due to servicing transfer

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

$

6,700,000

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

236,000,000

6,111,772,638 Updated portfolio data from servicer

$

6,347,772,638 Updated portfolio data from servicer

(8,012) $

6,347,764,626 Updated portfolio data from servicer

(9,190) $

$

6,349,155,436 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,349,073,089 reallocation

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

53

Servicer Modifying Borrowers' Loans
Date

Name of Institution

City

State

Transaction
Type

Investment Description

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

10316
10316
10316
10316
10316
10316
4/20/2009

Wilshire Credit Corporation

Beaverton

OR

Purchase

Financial Instrument for Home Loan Modifications

$

366,000,000

N/A

10205
10205
10205
10205
10205
10205
10205
10205
10205
10205
10205
10205
10205
4/24/2009

Green Tree Servicing LLC

Saint Paul

MN

Purchase

Financial Instrument for Home Loan Modifications

$

156,000,000

N/A

10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
4/27/2009

Carrington Mortgage Services, LLC

Santa Ana
10503
10503
10503

CA

Purchase

Financial Instrument for Home Loan Modifications

$

195,000,000

N/A

Adjustment Details
Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

1/6/2011

$

(233) $

2/16/2011

$

(1,900,000) $

3/16/2011

$

(400,000) $

3/30/2011

$

(278) $

5/13/2011

$

(400,000) $

6/29/2011

$

(2,625) $

6/12/2009

$

87,130,000

9/30/2009

$

(249,670,000) $

12/30/2009

$

119,700,000

$

3/26/2010

$

52,270,000

$

4/19/2010

$

5/14/2010

$

(1,880,000) $

6/16/2010

$

(286,510,000) $

7/14/2010

$

19,540,000

7/16/2010

$

8/13/2010

$

9/30/2010

$

$

(10,280,000) $

$

(210,000) $
(100,000) $
68,565,782

$

Reason for Adjustment

164,073,357 Updated portfolio data from servicer
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
Updated due to quarterly assessment and
161,370,454 reallocation
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
363,270,000 to servicing transfer
Transfer of cap to Countrywide Home Loans
76,760,000 due to servicing transfer
96,300,000 Updated portfolio data from servicer
Transfer of cap to Green Tree Servicing LLC
96,090,000 due to servicing transfer
95,990,000 Transfer of cap due to servicing transfer
164,555,782 Updated portfolio data from servicer

1/6/2011

$

(247) $

3/30/2011

$

(294) $

6/29/2011

$

(2,779) $

6/17/2009

$

(64,990,000) $

9/30/2009

$

130,780,000

12/30/2009

$

3/26/2010

$

$

118,120,000 Updated portfolio data from servicer

7/14/2010

$

(24,220,000) $

7/16/2010

$

210,000

$

93,900,000 Updated portfolio data from servicer
Transfer of cap from Wilshire Credit
94,110,000 Corporation due to servicing transfer

8/13/2010

$

2,200,000

$

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

$

(213) $

3/30/2011

$

(250) $

5/13/2011

$

1,200,000

$

148,294,627 Transfer of cap due to servicing transfer

6/16/2011

$

100,000

$

6/29/2011

$

148,394,627 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
148,392,325 reallocation

7/14/2011

$

6/17/2009

$

9/30/2009

$

90,990,000

$

12/30/2009

$

57,980,000

$

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

3/26/2010

$

74,520,000

$

354,510,000 Updated portfolio data from servicer

$

(116,750,000) $
13,080,000

(2,302) $
1,900,000

$

(63,980,000) $

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

96,310,000 Transfer of cap due to servicing transfer

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

54

Servicer Modifying Borrowers' Loans
Date

Name of Institution

City

State

Transaction
Type

Investment Description

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

10503
10503
10503
10503
10503
10503
10503
10503
10503
5/1/2009

Aurora Loan Services, LLC

Littleton

CO

Purchase

Financial Instrument for Home Loan Modifications

$

798,000,000

N/A

10231
10231
10231
10231
10231
10231
10231
10231
10231
10231
5/28/2009

Nationstar Mortgage LLC

Lewisville

TX

Purchase

Financial Instrument for Home Loan Modifications

$

101,000,000

N/A

10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
6/12/2009

Residential Credit Solutions

Fort Worth
10326
10326
10326
10326

TX

Purchase

Financial Instrument for Home Loan Modifications

$

19,400,000

N/A

Adjustment Details
Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

7/14/2010

$

(75,610,000) $

8/13/2010

$

1,100,000

$

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

9/30/2010

$

3,763,685

$

283,763,685 Updated portfolio data from servicer

12/15/2010

$

300,000

$

284,063,685 Updated portfolio data from servicer

1/6/2011

$

(325) $

284,063,360 Updated portfolio data from servicer

1/13/2011

$

3/30/2011

$

6/29/2011

$

8/16/2011

$

1,800,000

6/17/2009

$

(338,450,000) $
(11,860,000) $

2,400,000

$

(384) $
(3,592) $
$

278,900,000 Updated portfolio data from servicer

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
288,259,384 Transfer of cap due to servicing transfer

9/30/2009

$

12/30/2009

$

21,330,000

$

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

3/26/2010

$

9,150,000

$

478,170,000 Updated portfolio data from servicer

7/14/2010

$

(76,870,000) $

401,300,000 Updated portfolio data from servicer

9/1/2010

$

400,000

9/30/2010

$

(8,454,269) $

1/6/2011

$

(342) $

3/30/2011

$

(374) $

5/13/2011

$

6/29/2011

$

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

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

12/15/2010

$

1,700,000

$

352,501,486 Updated portfolio data from servicer

1/6/2011

$

(363) $

352,501,123 Updated portfolio data from servicer

2/16/2011

$

900,000

$

353,401,123 Transfer of cap due to servicing transfer

3/16/2011

$

29,800,000

$

3/30/2011

$

383,201,123 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
383,200,695 reallocation

5/26/2011

$

6/29/2011

$

(428) $
20,077,503

$

(4,248) $

9/30/2009

$

(1,860,000) $

12/30/2009

$

27,920,000

3/26/2010

$

(1,390,000) $

7/14/2010

$

(13,870,000) $

9/30/2010

$

400,000

$

$

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
30,200,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap,
30,600,000 and initial 2MP cap

55

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

State

Transaction
Type

Investment Description

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

Adjustment Details
Note

10326
10326
10326
10326
10326
6/17/2009

CCO Mortgage

Glen Allen

VA

Purchase

Financial Instrument for Home Loan Modifications

$

16,520,000

N/A

10052
10052
10052
10052
10052
10052
10052
6/17/2009

RG Mortgage Corporation

San Juan

PR

Purchase

Financial Instrument for Home Loan Modifications

$

57,000,000

N/A

10131
10131
10131
10131
10131
10131
10131
10131
10131
6/19/2009

6/19/2009

First Federal Savings and Loan

Wescom Central Credit Union

Port Angeles

Anaheim

WA

CA

Purchase

Purchase

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

$

$

770,000

540,000

N/A

N/A

Wescom Central Credit Union
12
6/26/2009

Citizens First Wholesale Mortgage Company

The Villages

FL

Purchase

Financial Instrument for Home Loan Modifications

$

30,000

N/A

Adjustment
Date

Cap Adjustment Amount

9/30/2010

$

586,954

Adjusted Cap
$

1/6/2011

$

(34) $

3/30/2011

$

(37) $

4/13/2011

$

6/29/2011

$

100,000

$

(329) $

Reason for Adjustment

31,186,954 Updated portfolio data from servicer
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

9/30/2009

$

13,070,000

$

12/30/2009

$

145,510,000

$

3/26/2010

$

(116,950,000) $

58,150,000 Updated portfolio data from servicer

7/14/2010

$

(23,350,000) $

34,800,000 Updated portfolio data from servicer

9/30/2010

$

7,846,346

42,646,346 Updated portfolio data from servicer

1/6/2011

$

(46) $

3/30/2011

$

(55) $

6/29/2011

$

(452) $

9/30/2009

$

(11,300,000) $

12/30/2009

$

(42,210,000) $

3/26/2010

$

$

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

1/6/2011

$

(51) $

3/30/2011

$

(65) $

65,640,000

$

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

6/29/2011

$

12/30/2009

$

2,020,000

$

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

$

11,370,000

$

14,160,000 Updated portfolio data from servicer

5/26/2010

$

(14,160,000) $

9/30/2009

$

330,000

$

12/30/2009

$

16,490,000

$

3/26/2010

$

(14,260,000) $

3,100,000 Updated portfolio data from servicer

7/14/2010

$

(1,800,000) $

1,300,000 Updated portfolio data from servicer

7/30/2010

$

1,500,000

$

2,800,000 Updated portfolio data from servicer

9/30/2010

$

1,551,668

$

4,351,668 Updated portfolio data from servicer

1/6/2011

$

(2) $

3/30/2011

$

(2) $

5/13/2011

$

(1,800,000) $

6/3/2011

$

(1,872,787) $

9/30/2009

$

(10,000) $

12/30/2009

$

3/26/2010

$

(580,000) $

30,000 Updated portfolio data from servicer

7/14/2010

$

70,000

$

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056

$

145,056 Updated portfolio data from servicer

(616) $

590,000

$

- 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

56

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

State

Transaction
Type

Investment Description

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

Adjustment Details
Note

Adjustment
Date
2/17/2011

6/26/2009

San Jose

Technology Credit Union

CA

Purchase

Financial Instrument for Home Loan Modifications

$

70,000

N/A

10014
10014
10014
10014
10014
10014
6/26/2009

Miamisburg

National City Bank

OH

Purchase

Financial Instrument for Home Loan Modifications

$

294,980,000

N/A

10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
7/1/2009

Wachovia Mortgage, FSB

Des Moines

IA

Purchase

Financial Instrument for Home Loan Modifications

$

634,010,000

N/A

3
7/1/2009

Bayview Loan Servicing, LLC

Coral Gables

FL

Purchase

Financial Instrument for Home Loan Modifications

$

44,260,000

N/A

1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
7/10/2009

Lake National Bank

Mentor
10355

OH

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

Cap Adjustment Amount
$

Adjusted Cap

(145,056) $
2,180,000

$

Reason for Adjustment

- Termination of SPA
Updated portfolio data from servicer & HAFA
2,250,000 initial cap

12/30/2009

$

3/26/2010

$

(720,000) $

1,530,000 Updated portfolio data from servicer

7/14/2010

$

(430,000) $

1,100,000 Updated portfolio data from servicer

9/30/2010

$

60,445

1,160,445 Updated portfolio data from servicer

1/6/2011

$

(1) $

3/30/2011

$

(1) $

6/29/2011

$

9/30/2009

$

315,170,000

$

12/30/2009

$

90,280,000

$

3/26/2010

$

(18,690,000) $

7/14/2010

$

(272,640,000) $

9/30/2010

$

80,600,000

$

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

$

71,230,004

$

560,930,004 Updated portfolio data from servicer

1/6/2011

$

(828) $

560,929,176 Updated portfolio data from servicer

2/16/2011

$

3/16/2011

$

(100,000) $

3/30/2011

$

(981) $

4/13/2011

$

(2,300,000) $

558,728,195 Transfer of cap due to servicing transfer

5/13/2011

$

(200,000) $

558,528,195 Transfer of cap due to servicing transfer

6/16/2011

$

(200,000) $

6/29/2011

$

(9,197) $

558,328,195 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
558,318,998 reallocation

8/16/2011

$

-

$

9/30/2009

$

723,880,000

$

12/30/2009

$

692,640,000

$

2/17/2010

$

(2,050,236,344) $

3/12/2010

$

9/30/2009

$

23,850,000

$

12/30/2009

$

43,590,000

$

3/26/2010

$

34,540,000

$

146,240,000 Updated portfolio data from servicer

5/7/2010

$

1,010,000

$

147,250,000 Initial 2MP cap

7/14/2010

$

(34,250,000) $

9/30/2010

$

600,000

9/30/2010

$

(15,252,303) $

1/6/2011

$

(70) $

3/30/2011

$

(86) $

4/13/2011

$

400,000

$

98,747,541 Transfer of cap due to servicing transfer

5/13/2011

$

100,000

$

6/29/2011

$

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

$

(12) $

200,000

$

(54,767) $

$

(771) $

9/30/2009

$

150,000

$

12/30/2009

$

130,000

$

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

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

558,318,998 Transfer of cap due to servicing transfer
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

57

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

State

Transaction
Type

Investment Description

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

Adjustment Details
Note

10355
10355
10355
10355
10355
10355
7/10/2009

IBM Southeast Employees' Federal Credit Union

Delray Beach

FL

Purchase

Financial Instrument for Home Loan Modifications

$

870,000

N/A

10029
10029
10029
10029
10029
10029
10029
7/17/2009

MorEquity, Inc.

Evansville

IN

Purchase

Financial Instrument for Home Loan Modifications

$

23,480,000

N/A

11
7/17/2009

PNC Bank, National Association

Pittsburgh

PA

Purchase

Financial Instrument for Home Loan Modifications

$

54,470,000

N/A

1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
7/17/2009

7/17/2009

Farmers State Bank

West Salem

ShoreBank

Chicago
10257

OH

IL

Purchase

Purchase

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

$

$

170,000

1,410,000

N/A

N/A

Adjustment
Date

Cap Adjustment Amount
50,000

Adjusted Cap

Reason for Adjustment

3/26/2010

$

$

430,000 Updated portfolio data from servicer

7/14/2010

$

9/30/2010

$

(30,000) $

400,000 Updated portfolio data from servicer

1/6/2011

$

(1) $

3/30/2011

$

(1) $

6/29/2011

$

(6) $

9/30/2009

$

(10,000) $

12/30/2009

$

250,000

3/26/2010

$

(10,000) $

1,100,000 Updated portfolio data from servicer

7/14/2010

$

(400,000) $

700,000 Updated portfolio data from servicer

9/30/2010

$

1/6/2011

$

(1) $

3/30/2011

$

(1) $

6/29/2011

$

9/30/2009

$

18,530,000

$

12/30/2009

$

24,510,000

$

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

3/26/2010

$

18,360,000

$

84,880,000 Updated portfolio data from servicer

7/14/2010

$

(22,580,000) $

62,300,000 Updated portfolio data from servicer

9/30/2010

$

(8,194,261) $

54,105,739 Updated portfolio data from servicer

1/6/2011

$

(37) $

54,105,702 Updated portfolio data from servicer

3/16/2011

$

(29,400,000) $

3/30/2011

$

(34) $

5/26/2011

$

(20,077,503) $

9/30/2009

$

(36,240,000) $

12/30/2009

$

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

3/26/2010

$

2,470,000

$

39,980,000 Updated portfolio data from servicer

7/14/2010

$

(17,180,000) $

22,800,000 Updated portfolio data from servicer

9/30/2010

$

35,500,000

$

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

9/30/2010

$

23,076,191

$

81,376,191 Updated portfolio data from servicer

1/6/2011

$

(123) $

3/30/2011

$

(147) $

5/13/2011

$

(100,000) $

6/29/2011

$

(1,382) $
(90,000) $

35,167

170,334

$

$

$

(12) $

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

870,334 Updated portfolio data from servicer

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

9/30/2009

$

12/30/2009

$

50,000

$

3/26/2010

$

100,000

$

230,000 Updated portfolio data from servicer

7/14/2010

$

(130,000) $

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056

145,056 Updated portfolio data from servicer

5/20/2011

$

(145,056) $

9/30/2009

$

890,000

$

12/30/2009

$

1,260,000

$

$

- 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

58

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

State

Transaction
Type

Investment Description

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

10257
10257
10257
10257
10257
10257
10257
7/22/2009

American Home Mortgage Servicing, Inc

Coppell

TX

Purchase

Financial Instrument for Home Loan Modifications

$

1,272,490,000

N/A

10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
7/22/2009

Mortgage Center, LLC

Southfield

MI

Purchase

Financial Instrument for Home Loan Modifications

$

4,210,000

N/A

10439
10439
10439
10439
10439
10439
10439
7/22/2009

Mission Federal Credit Union

San Diego

CA

Purchase

Financial Instrument for Home Loan Modifications

$

860,000

N/A

1000455
1000455
1000455
1000455
1000455
1000455
7/29/2009

First Bank

St. Louis
10455
10455
10455
10455
10455
10455

MO

Purchase

Financial Instrument for Home Loan Modifications

$

6,460,000

N/A

Adjustment Details
Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

3/26/2010

$

(20,000) $

3,540,000 Updated portfolio data from servicer

7/14/2010

$

(240,000) $

3,300,000 Updated portfolio data from servicer

9/30/2010

$

1/6/2011

$

(3) $

3/30/2011

$

(4) $

4/13/2011

$

(1,100,000) $

6/29/2011

$

(38) $

471,446

$

3,771,446 Updated portfolio data from servicer
3,771,443 Updated portfolio data from servicer
Updated due to quarterly assessment and
3,771,439 reallocation

9/30/2009

$

(53,670,000) $

12/30/2009

$

250,450,000

$

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

$

124,820,000

$

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

7/14/2010

$

(289,990,000) $

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

9/30/2010

$

1,690,508

$

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

10/15/2010

$

300,000

$

1,306,090,508 Transfer of cap due to servicing transfer

11/16/2010

$

(100,000) $

1,305,990,508 Transfer of cap due to servicing transfer

1/6/2011

$

(1,173) $

2/16/2011

$

(500,000) $

3/30/2011

$

(1,400) $

4/13/2011

$

6/29/2011

$

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

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

$

1/6/2011

$

(12) $

3/30/2011

$

(14) $

6/29/2011

$

(129) $

9/30/2009

$

(490,000) $

12/30/2009

$

3/26/2010

$

(6,340,000) $

780,000 Updated portfolio data from servicer

7/14/2010

$

(180,000) $

600,000 Updated portfolio data from servicer

9/30/2010

$

3/30/2011

$

6/29/2011

$

(4) $

9/30/2009

$

(1,530,000) $

12/30/2009

$

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

3/26/2010

$

2,460,000

$

8,070,000 Updated portfolio data from servicer

7/14/2010

$

(2,470,000) $

5,600,000 Updated portfolio data from servicer

9/30/2010

$

1/6/2011

$

(2) $

3/30/2011

$

(2) $

2,658,280

6,750,000

125,278

$

$

$

(1) $

2,523,114

$

8,558,280 Updated portfolio data from servicer
8,558,268 Updated portfolio data from servicer
Updated due to quarterly assessment and
8,558,254 reallocation
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

8,123,114 Updated portfolio data from servicer
8,123,112 Updated portfolio data from servicer
Updated due to quarterly assessment and
8,123,110 reallocation

59

Servicer Modifying Borrowers' Loans
Date

Name of Institution

City

State

Transaction
Type

Investment Description

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

10455
7/29/2009

Purdue Employees Federal Credit Union

West Lafayette

IN

Purchase

Financial Instrument for Home Loan Modifications

$

1,090,000

N/A

1000505
1000505
1000505
1000505
1000505
1000505

7/31/2009

Wachovia Bank, N.A.

Charlotte

J.P. Morgan Chase Bank, NA

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

10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
7/31/2009

EMC Mortgage Corporation

Lewisville
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020

Adjustment
Date

TX

Purchase

Financial Instrument for Home Loan Modifications

$

707,380,000

N/A

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

9/30/2009

$

12/30/2009

$

1,260,000

$

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

$

2,070,000

$

4,360,000 Updated portfolio data from servicer

7/14/2010

$

(3,960,000) $

400,000 Updated portfolio data from servicer

9/30/2010

$

180,222

580,222 Updated portfolio data from servicer

1/6/2011

$

(1) $

3/30/2011

$

(1) $

6/29/2011

$

(8) $

9/30/2009

$

(37,700,000) $

12/30/2009

$

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

3/26/2010

$

9,820,000

$

83,300,000 Updated portfolio data from servicer

7/14/2010

$

(46,200,000) $

37,100,000 Updated portfolio data from servicer

9/30/2010

$

(28,686,775) $

8,413,225 Updated portfolio data from servicer

12/3/2010

$

(8,413,225) $

9/30/2009

$

(14,850,000) $

12/30/2009

$

1,178,180,000

$

3/26/2010

$

1,006,580,000

$

7/14/2010

$

(1,934,230,000) $

9/30/2010

$

72,400,000

$

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

9/30/2010

$

215,625,536

$

3,223,425,536 Updated portfolio data from servicer

1/6/2011

$

(3,636) $

3,223,421,900 Updated portfolio data from servicer

3/16/2011

$

(100,000) $

3/30/2011

$

(3,999) $

4/13/2011

$

5/13/2011

$

6/29/2011

$

7/14/2011

$

8/16/2011

$

(400,000) $

9/30/2009

$

(10,000) $

12/30/2009

$

3/26/2010

$

(134,560,000) $

7/14/2010

$

(392,140,000) $

7/16/2010

$

(630,000) $

9/30/2010

$

13,100,000

9/30/2010

$

(8,006,457) $

10/15/2010

$

(100,000) $

12/15/2010

$

(4,400,000) $

683,063,543 Updated portfolio data from servicer

1/6/2011

$

(802) $

683,062,741 Updated portfolio data from servicer

2/16/2011

$

(900,000) $

682,162,741 Transfer of cap due to servicing transfer

3/16/2011

$

(4,000,000) $

678,162,741 Transfer of cap due to servicing transfer

6/29/2011

1000505

7/29/2009

Adjustment Details
Note

$

(15) $
(60,000) $

$

(200,000) $
122,700,000

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

(34,606) $

3,345,817,901 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,345,783,295 reallocation

600,000

3,346,383,295 Transfer of cap due to servicing transfer

502,430,000

$

- 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
Updated portfolio data from servicer & 2MP
4,869,630,000 initial cap

$

$

$

3,345,983,295 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

60

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

State

Transaction
Type

Investment Description

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

Adjustment Details
Note

1001020
1001020
1001020
1001020
8/5/2009

Lake City Bank

Warsaw

IN

Purchase

Financial Instrument for Home Loan Modifications

$

420,000

N/A

1000840
1000840
1000840
1000840
1000840
8/5/2009

Oakland Municipal Credit Union

Oakland

CA

Purchase

Financial Instrument for Home Loan Modifications

$

140,000

N/A

12
8/5/2009

HomEq Servicing

North Highlands

CA

Purchase

Financial Instrument for Home Loan Modifications

$

674,000,000

N/A

10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
8/12/2009

Litton Loan Servicing LP

Houston
10438
10438
10438
10438
10438
10438
10438
10438
10438

TX

Purchase

Financial Instrument for Home Loan Modifications

$

774,900,000

N/A

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

3/30/2011

$

(925) $

5/13/2011

$

(122,900,000) $

6/29/2011

$

(8,728) $

7/14/2011

$

(600,000) $

9/30/2009

$

12/30/2009

$

3/26/2010

$

7/14/2010

$

9/30/2010

$

6/29/2011

$

180,000

$

(350,000) $
20,000

Reason for Adjustment

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

$

270,000 Updated portfolio data from servicer

(70,000) $

200,000 Updated portfolio data from servicer

90,111

$

9/30/2009

$

290,000

$

12/30/2009

$

210,000

$

290,111 Updated portfolio data from servicer
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

$

170,000

$

810,000 Updated portfolio data from servicer

7/14/2010

$

(10,000) $

800,000 Updated portfolio data from servicer

9/30/2010

$

(74,722) $

725,278 Updated portfolio data from servicer

1/6/2011

$

(1) $

3/30/2011

$

(1) $

4/13/2011

$

(200,000) $

6/29/2011

$

(7) $

7/22/2011

$

(515,201) $

9/30/2009

$

(121,190,000) $

12/30/2009

$

(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

3/26/2010

$

199,320,000

$

715,840,000 Updated portfolio data from servicer

7/14/2010

$

(189,040,000) $

526,800,000 Updated portfolio data from servicer

9/30/2010

$

38,626,728

565,426,728 Updated portfolio data from servicer

10/15/2010

$

(170,800,000) $

12/15/2010

$

(22,200,000) $

372,426,728 Updated portfolio data from servicer

1/6/2011

$

(549) $

372,426,179 Updated portfolio data from servicer

2/16/2011

$

(900,000) $

3/30/2011

$

(653) $

6/29/2011

$

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) $

12/15/2010

$

1/6/2011

$

(3) $

$

(6,168) $

800,000

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

394,626,728 Transfer of cap due to servicing transfer

1,050,782,764 Updated portfolio data from servicer
1,049,982,764 Transfer of cap due to servicing transfer

$

1,050,782,764 Updated portfolio data from servicer

(1,286) $

1,050,781,478 Updated portfolio data from servicer

61

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

State

Transaction
Type

Investment Description

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

10438
10438
10438
10438
10438
10438
10438
8/12/2009

PennyMac Loan Services, LLC

Calasbasa

CA

Purchase

Financial Instrument for Home Loan Modifications

$

6,210,000

N/A

1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
8/12/2009

Servis One, Inc.

Titusville
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454

PA

Purchase

Financial Instrument for Home Loan Modifications

$

29,730,000

N/A

Adjustment Details
Note

Adjustment
Date

Cap Adjustment Amount
8,800,000

Adjusted Cap
$

Reason for Adjustment

3/16/2011

$

3/30/2011

$

(1,470) $

4/13/2011

$

(3,300,000) $

1,056,280,008 Transfer of cap due to servicing transfer

5/13/2011

$

(300,000) $

1,055,980,008 Transfer of cap due to servicing transfer

6/16/2011

$

(700,000) $

6/29/2011

$

(13,097) $

1,055,280,008 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,055,266,911 reallocation

7/14/2011

$

(200,000) $

9/30/2009

$

(1,200,000) $

12/30/2009

$

30,800,000

$

3/26/2010

$

23,200,000

$

6/16/2010

$

2,710,000

$

7/14/2010

$

(18,020,000) $

7/16/2010

$

6,680,000

$

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

8/13/2010

$

2,600,000

$

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

9/15/2010

$

(100,000) $

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

9/30/2010

$

200,000

9/30/2010

$

(1,423,197) $

11/16/2010

$

1,400,000

12/15/2010

$

(100,000) $

52,956,803 Updated portfolio data from servicer

1/6/2011

$

(72) $

52,956,731 Updated portfolio data from servicer

1/13/2011

$

4,100,000

$

57,056,731 Transfer of cap due to servicing transfer

2/16/2011

$

(100,000) $

56,956,731 Transfer of cap due to servicing transfer

3/16/2011

$

4,000,000

3/30/2011

$

60,956,731 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
60,956,637 reallocation

4/13/2011

$

(100,000) $

60,856,637 Transfer of cap due to servicing transfer

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

$

9/30/2009

$

12/30/2009

$

520,000

$

3/26/2010

$

4,330,000

$

4/19/2010

$

230,000

$

5/19/2010

$

850,000

$

7/14/2010

$

9/15/2010

$

100,000

$

9/30/2010

$

100,000

$

9/30/2010

$

16,755,064

$

26,255,064 Updated portfolio data from servicer

10/15/2010

$

100,000

$

26,355,064 Transfer of cap due to servicing transfer

12/15/2010

$

100,000

$

26,455,064 Updated portfolio data from servicer

1/6/2011

$

(40) $

26,455,024 Updated portfolio data from servicer

$

$

$

(94) $

(812) $
2,500,000

$

(25,510,000) $

(850,000) $

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

53,080,000 Initial FHA-HAMP cap and 2MP initial cap
51,656,803 Updated portfolio data from servicer
53,056,803 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
Transfer of cap from CitiMortgage, Inc. due to
9,300,000 servicing transfer
10,150,000 Initial 2MP cap
9,300,000 Updated portfolio data from servicer
9,400,000 Transfer of cap to due to servicing transfer
9,500,000 Initial FHA-HAMP cap

62

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

State

Transaction
Type

Investment Description

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

10454
10454
10454
10454
10454
10454
10454
10454
10454
8/28/2009

OneWest Bank

Pasadena

CA

Purchase

Financial Instrument for Home Loan Modifications

$

668,440,000

N/A

10008
10008
10008
10008
10008
10008
10008
10008
8/28/2009

8/28/2009

Stanford Federal Credit Union

Palo Alto

RoundPoint Mortgage Servicing Corporation

Charlotte

CA

NC

Purchase

Purchase

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

$

$

300,000

570,000

N/A

N/A

1001011
1001011
1001011
1001011
1001011
1001011
1001011
1001011
1001011
9/2/2009

Horicon Bank

Horicon
1001018
1001018
1001018
1001018
1001018
1001018

WI

Purchase

Financial Instrument for Home Loan Modifications

$

560,000

N/A

Adjustment Details
Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

1/13/2011

$

300,000

$

26,755,024 Transfer of cap due to servicing transfer

2/16/2011
3/16/2011

$

100,000

$

26,855,024 Transfer of cap due to servicing transfer

$

2,200,000

$

3/30/2011

$

29,055,024 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
29,054,972 reallocation

4/13/2011

$

1,500,000

$

30,554,972 Transfer of cap due to servicing transfer

5/13/2011

$

1,000,000

$

31,554,972 Transfer of cap due to servicing transfer

6/16/2011

$

100,000

$

6/29/2011

$

31,654,972 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
31,654,438 reallocation

8/16/2011

$

700,000

$

10/2/2009

$

145,800,000

$

12/30/2009

$

1,355,930,000

$

814,240,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
2,170,170,000 initial cap

3/26/2010

$

121,180,000

$

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

7/14/2010

$

(408,850,000) $

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

9/30/2010

$

5,500,000

9/30/2010

$

(51,741,163) $

1/6/2011

$

(2,282) $

3/30/2011

$

(2,674) $

6/29/2011

$

(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) $

10/2/2009

$

12/30/2009

$

(310,000) $

3/26/2010

$

2,110,000

$

2,500,000 Updated portfolio data from servicer

7/14/2010

$

8,300,000

$

10,800,000 Updated portfolio data from servicer

9/30/2010

$

5,301,172

$

16,101,172 Updated portfolio data from servicer

1/6/2011

$

(22) $

16,101,150 Updated portfolio data from servicer

3/16/2011

$

(400,000) $

3/30/2011

$

(25) $

4/13/2011

$

-

6/29/2011

$

(232) $

(52) $

(534) $

130,000

$

$

$

10/2/2009

$

130,000

$

12/30/2009

$

1,040,000

$

3/26/2010

$

5/12/2010

$

7/14/2010
9/30/2010
9/30/2010

$

(1,680,000) $
1,260,000

32,354,438 Transfer of cap due to servicing transfer

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
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
15,701,125 Transfer of cap due to servicing transfer
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

$

1,310,000 Updated portfolio data from servicer

$

(1,110,000) $

200,000 Updated portfolio data from servicer

$

100,000

$

(9,889) $

300,000 Initial RD-HAMP
290,111 Updated portfolio data from servicer

63

Servicer Modifying Borrowers' Loans
Date

Name of Institution

City

State

Transaction
Type

Investment Description

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

Adjustment Details
Note

1001018
9/2/2009 as
amended on
8/27/2010

Vantium Capital, Inc.dba Acqura Loan Services

6/29/2011
Plano

TX

Purchase

Financial Instrument for Home Loan Modifications

$

6,000,000

N/A

10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354

9/9/2009

Central Florida Educators Federal Credit Union

Lake Mary

FL

Purchase

Financial Instrument for Home Loan Modifications

$

1,250,000

N/A

1000890
1000890
1000890
1000890
1000890
1000890
1000890
9/9/2009

U.S. Bank National Association

Owensboro

KY

Purchase

Financial Instrument for Home Loan Modifications

$

114,220,000

N/A

10305
10305
10305
10305
10305
10305
10305
9/9/2009

CUC Mortgage Corporation

Albany

NY

Purchase

Financial Instrument for Home Loan Modifications

$

4,350,000

N/A

1000483
1000483
1000483
1000483
1000483
1000483
1000483
9/11/2009

ORNL Federal Credit Union

Adjustment
Date

Oak Ridge

TN

Purchase

Financial Instrument for Home Loan Modifications

$

2,070,000

N/A

10

Cap Adjustment Amount
$

Adjusted Cap

(3) $
1,310,000

$

Reason for Adjustment

Updated due to quarterly assessment and
290,108 reallocation

10/2/2009

$

12/30/2009

$

3/26/2010

$

$

4,330,000 Updated portfolio data from servicer

7/14/2010

$

(730,000) $

3,600,000 Updated portfolio data from servicer

9/15/2010

$

4,700,000

$

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

9/30/2010

$

117,764

$

8,417,764 Updated portfolio data from servicer

11/16/2010

$

800,000

$

12/15/2010

$

2,700,000

$

11,917,764 Updated portfolio data from servicer

(17) $

11,917,747 Updated portfolio data from servicer

(3,390,000) $
410,000

7,310,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
3,920,000 initial cap

9,217,764 Transfer of cap due to servicing transfer

1/6/2011

$

1/13/2011

$

700,000

$

12,617,747 Transfer of cap due to servicing transfer

2/16/2011

$

1,800,000

$

3/30/2011

$

14,417,747 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,417,728 reallocation

4/13/2011

$

6/29/2011

$

8/16/2011

$

300,000

$

10/2/2009

$

280,000

$

12/30/2009

$

3/26/2010

$

7/14/2010

$

9/30/2010

$

1/6/2011

$

(1) $

3/30/2011

$

(1) $

6/29/2011

$

10/2/2009

$

24,920,000

$

12/30/2009

$

49,410,000

$

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

3/26/2010

$

41,830,000

$

230,380,000 Updated portfolio data from servicer

7/14/2010

$

(85,780,000) $

144,600,000 Updated portfolio data from servicer

9/30/2010

$

1/6/2011

$

(160) $

3/30/2011

$

(172) $

6/29/2011

$

10/2/2009

$

950,000

$

12/30/2009

$

5,700,000

$

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

3/26/2010

$

740,000

$

11,740,000 Updated portfolio data from servicer

7/14/2010

$

(1,440,000) $

10,300,000 Updated portfolio data from servicer

9/30/2010

$

(6,673,610) $

3,626,390 Updated portfolio data from servicer

1/6/2011

$

(5) $

3/30/2011

$

(6) $

6/29/2011

$

10/2/2009

$

(19) $
300,000

$

(189) $

(750,000) $
120,000

14,717,728 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,717,539 reallocation
15,017,539 Transfer of cap due to servicing transfer
1,530,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
780,000 initial cap

$

900,000 Updated portfolio data from servicer

(300,000) $

600,000 Updated portfolio data from servicer

270,334

$

(5) $

36,574,444

$

(1,431) $

(52) $
460,000

$

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
870,327 reallocation

181,174,444 Updated portfolio data from servicer
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

64

Servicer Modifying Borrowers' Loans
Date

Name of Institution

City

State

Transaction
Type

Investment Description

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

1000467
1000467
1000467
1000467
1000467
1000467
1000467
9/11/2009

Allstate Mortgage Loans & Investments, Inc.

Ocala

FL

Purchase

Financial Instrument for Home Loan Modifications

$

250,000

N/A

1001029
1001029
1001029
1001029
1001029
9/11/2009

9/11/2009

Metropolitan National Bank

Little Rock

Franklin Credit Management Corporation

Jersey City

AR

NJ

Purchase

Purchase

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

$

$

280,000

27,510,000

N/A

N/A

1000955
1000955
1000955
1000955
1000955
1000955
1000955
1000955
9/16/2009

Bay Federal Credit Union

Capitola

CA

Purchase

Financial Instrument for Home Loan Modifications

$

410,000

N/A

1001037
1001037
1001037
1001037
1001037
1001037
1001037
9/23/2009

AMS Servicing, LLC

Buffalo
1001184
1001184
1001184

NY

Purchase

Financial Instrument for Home Loan Modifications

$

4,390,000

N/A

Adjustment Details
Note

Adjustment
Date

Cap Adjustment Amount

12/30/2009

$

3/26/2010

$

7/14/2010

$

9/30/2010

$

1,817,613

6,817,613 Updated portfolio data from servicer

1/6/2011

$

(10) $

3/30/2011

$

(12) $

6/29/2011

$

10/2/2009

$

12/30/2009

$

3/26/2010

$

7/14/2010

$

9/30/2010

$

45,056

6/29/2011

$

Adjusted Cap

Reason for Adjustment

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

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

$

(115) $
60,000

$

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

(80,000) $

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

280,000

$

510,000 Updated portfolio data from servicer

(410,000) $

100,000 Updated portfolio data from servicer

$

(1) $

145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation

10/2/2009

$

70,000

$

12/30/2009

$

620,000

$

3/26/2010

$

100,000

$

1,070,000 Updated portfolio data from servicer

7/14/2010

$

(670,000) $

400,000 Updated portfolio data from servicer

9/30/2010

$

35,167

$

435,167 Updated portfolio data from servicer

1/6/2011

$

(1) $

435,166 Updated portfolio data from servicer

1/26/2011

$

(435,166) $

10/2/2009

$

6,010,000

12/30/2009

$

(19,750,000) $

3/26/2010

$

(4,780,000) $

8,990,000 Updated portfolio data from servicer

7/14/2010

$

(2,390,000) $

6,600,000 Updated portfolio data from servicer

9/30/2010

$

1/6/2011

2,973,670

$

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

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

$

9,573,670 Updated portfolio data from servicer

$

(3) $

9,573,667 Updated portfolio data from servicer

2/16/2011

$

(1,800,000) $

3/30/2011

$

(6) $

6/29/2011

$

10/2/2009

$

90,000

$

12/30/2009

$

1,460,000

$

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

3/26/2010

$

160,000

$

2,120,000 Updated portfolio data from servicer

7/14/2010

$

(120,000) $

2,000,000 Updated portfolio data from servicer

9/30/2010

$

(1,419,778) $

580,222 Updated portfolio data from servicer

1/6/2011

$

(1) $

3/30/2011

$

(1) $

6/29/2011

$

10/2/2009

$

960,000

12/30/2009

$

(3,090,000) $

3/26/2010

$

230,000

$

2,490,000 Updated portfolio data from servicer

7/14/2010

$

5,310,000

$

7,800,000 Updated portfolio data from servicer

(61) $

(8) $
$

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

65

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

State

Transaction
Type

Investment Description

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

1001184
1001184
1001184
1001184
1001184
1001184
1001184
9/23/2009

Schools Financial Credit Union

Sacramento

CA

Purchase

Financial Instrument for Home Loan Modifications

$

390,000

N/A

1001045
1001045
1001045
1001045
1001045
1001045
1001045
9/23/2009

Glass City Federal Credit Union

Maumee

OH

Purchase

Financial Instrument for Home Loan Modifications

$

230,000

N/A

10716
10716
10716
10716
10716
9/23/2009

9/23/2009

Central Jersey Federal Credit Union

Woodbridge

Yadkin Valley Bank

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

1001000
1001000
1001000
1001000
1001000
1001000
9/25/2009

SEFCU

Albany

NY

Purchase

Financial Instrument for Home Loan Modifications

$

440,000

N/A

1000924
1000924
1000924
1000924
1000924
10/14/2009

Great Lakes Credit Union

North Chicago

IL

Purchase

Financial Instrument for Home Loan Modifications

$

570,000

N/A

Adjustment Details
Note

Adjustment
Date

Cap Adjustment Amount

9/30/2010

$

323,114

Adjusted Cap

Reason for Adjustment

$

8,123,114 Updated portfolio data from servicer

(12) $

8,123,102 Updated portfolio data from servicer

1/6/2011

$

3/16/2011

$

3/30/2011

$

4/13/2011

$

200,000

$

8,923,086 Transfer of cap due to servicing transfer

5/13/2011

$

100,000

$

6/29/2011

$

9,023,086 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
9,022,933 reallocation

600,000

$

(16) $

(153) $

10/2/2009

$

90,000

$

12/30/2009

$

940,000

$

3/26/2010

$

(980,000) $

7/14/2010

$

(140,000) $

9/30/2010

$

1,150,556

$

1/6/2011

$

(2) $

3/30/2011

$

(2) $

6/29/2011

$

10/2/2009

$

12/30/2009

$

3/26/2010

$

7/14/2010

$

9/30/2010

$

(9,889) $

6/29/2011

$

(3) $

(22) $
60,000

$

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
440,000 Updated portfolio data from servicer
300,000 Updated portfolio data from servicer
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
1,450,530 reallocation

(10,000) $

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

130,000

$

410,000 Updated portfolio data from servicer

(110,000) $

300,000 Updated portfolio data from servicer
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
290,108 reallocation

10/2/2009

$

10,000

$

12/30/2009

$

120,000

$

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

3/26/2010

$

10,000

$

170,000 Updated portfolio data from servicer

7/14/2010

$

(70,000) $

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056

10/29/2010

$

(145,056) $

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

9/30/2010

$

235,167

435,167 Updated portfolio data from servicer

1/6/2011

$

(1) $

6/29/2011

$

(4) $

$

$

145,056 Updated portfolio data from servicer
- Termination of SPA
300,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
650,000 initial cap

435,166 Updated portfolio data from servicer
Updated due to quarterly assessment and
435,162 reallocation

10/2/2009

$

100,000

$

12/30/2009

$

20,000

$

3/26/2010

$

(290,000) $

270,000 Updated portfolio data from servicer

7/14/2010

$

(70,000) $

200,000 Updated portfolio data from servicer

9/30/2010

$

(54,944) $

6/29/2011

$

(1) $

12/30/2009

$

1,030,000

$

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

66

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

State

Transaction
Type

Investment Description

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

1001122
1001122
1001122
1001122
1001122
1001122
10/14/2009

10/21/2009

Mortgage Clearing Corporation

Tulsa

United Bank Mortgage Corporation

Grand Rapids

OK

MI

Purchase

Purchase

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

$

$

4,860,000

410,000

N/A

N/A

1000073
1000073
1000073
1000073
1000073
1000073
10/23/2009

Bank United

Miami Lakes

FL

Purchase

Financial Instrument for Home Loan Modifications

$

93,660,000

N/A

10048
10048
10048
10048
10048
10048
10048
10/23/2009

IC Federal Credit Union

Fitchburg

MA

Purchase

Financial Instrument for Home Loan Modifications

$

760,000

N/A

1000740
1000740
1000740
1000740
1000740
1000740
1000740
10/28/2009

Harleysville National Bank & Trust Company

Harleysville

PA

Purchase

Financial Instrument for Home Loan Modifications

$

1,070,000

N/A

10/28/2009

Members Mortgage Company, Inc

Woburn

MA

Purchase

Financial Instrument for Home Loan Modifications

$

510,000

N/A

10/30/2009

DuPage Credit Union

Naperville

IL

Purchase

Financial Instrument for Home Loan Modifications

$

70,000

N/A

1000585
1000585
1000585
1000585

Adjustment Details
Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

3/26/2010

$

(880,000) $

720,000 Updated portfolio data from servicer

7/14/2010

$

(320,000) $

400,000 Updated portfolio data from servicer

9/30/2010

$

1/6/2011

$

(1) $

3/30/2011

$

(1) $

180,222

$

580,222 Updated portfolio data from servicer
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

6/29/2011

$

(8) $

12/30/2009

$

(2,900,000) $

3/26/2010

$

(1,600,000) $

360,000 Updated portfolio data from servicer

7/14/2010

$

(260,000) $

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056

145,056 Updated portfolio data from servicer

3/9/2011

$

(145,056) $

1/22/2010

$

20,000

$

430,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

400,000

$

830,000 Updated portfolio data from servicer

7/14/2010

$

(430,000) $

400,000 Updated portfolio data from servicer

9/30/2010

$

1/6/2011

$

(1) $

3/30/2011

$

(1) $

6/29/2011

$

1/22/2010

$

4,370,000

$

3/26/2010

$

23,880,000

$

121,910,000 Updated portfolio data from servicer

7/14/2010

$

(16,610,000) $

105,300,000 Updated portfolio data from servicer

9/30/2010

$

1,751,033

$

107,051,033 Updated portfolio data from servicer

1/6/2011

$

(77) $

107,050,956 Updated portfolio data from servicer

3/16/2011

$

(9,900,000) $

3/30/2011

$

(88) $

6/29/2011

$

1/22/2010

$

40,000

3/26/2010

$

(760,000) $

5/12/2010

$

2,630,000

$

2,670,000 Updated portfolio data from servicer

7/14/2010

$

(770,000) $

1,900,000 Updated portfolio data from servicer

9/30/2010

$

1/6/2011

$

(4) $

3/30/2011

$

(4) $

6/29/2011

$

(40) $

4/21/2010

$

(1,070,000) $

4/21/2010

$

(510,000) $

1/22/2010

$

10,000

$

3/26/2010

$

10,000

$

90,000 Updated portfolio data from servicer

7/14/2010

$

10,000

$

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056

$

6/29/2011

$

145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation

180,222

$

$

(5) $

(773) $

565,945

$

$

(1) $

- Termination of SPA

580,222 Updated portfolio data from servicer
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

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

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
- Termination of SPA
- Termination of SPA
80,000 Updated HPDP cap & HAFA initial cap

67

Servicer Modifying Borrowers' Loans
Name of Institution

Date
11/6/2009

City

Los Alamos National Bank

Los Alamos

State

Transaction
Type

NM

Purchase

Investment Description
Financial Instrument for Home Loan Modifications

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

700,000

N/A

1000676
1000676
1000676
1000676
1000676
1000676
11/18/2009

Quantum Servicing Corporation

Tampa

FL

Purchase

Financial Instrument for Home Loan Modifications

$

18,960,000

N/A

1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
11/18/2009

Hillsdale County National Bank

Hillsdale

MI

Purchase

Financial Instrument for Home Loan Modifications

$

1,670,000

N/A

1000443
1000443
1000443
1000443
1000443
1000443
11/18/2009

QLending, Inc.

Coral Gables

FL

Purchase

Financial Instrument for Home Loan Modifications

$

20,000

N/A

1001304
1001304
1001304
1001304
11/25/2009

Marix Servicing, LLC

Phoenix
10412
10412
10412
10412
10412
10412
10412

AZ

Purchase

Financial Instrument for Home Loan Modifications

$

20,360,000

N/A

Adjustment Details
Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

1/22/2010

$

40,000

$

3/26/2010

$

50,000

$

790,000 Updated portfolio data from servicer

7/14/2010

$

1,310,000

$

2,100,000 Updated portfolio data from servicer

9/30/2010

$

75,834

$

2,175,834 Updated portfolio data from servicer

1/6/2011

$

(3) $

3/30/2011

$

(4) $

6/29/2011

$

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

$

1/6/2011

$

1/13/2011

$

1,600,000

$

32,061,630 Transfer of cap due to servicing transfer

2/16/2011

$

1,400,000

$

3/30/2011

$

33,461,630 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
33,461,572 reallocation

4/13/2011

$

100,000

$

33,561,572 Transfer of cap due to servicing transfer

5/13/2011

$

100,000

$

33,661,572 Transfer of cap due to servicing transfer

6/16/2011

$

800,000

$

6/29/2011

$

34,461,572 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
34,461,013 reallocation

7/14/2011

$

300,000

$

34,761,013 Transfer of cap due to servicing transfer

8/16/2011

$

200,000

$

34,961,013 Transfer of cap due to servicing transfer

1/22/2010

$

80,000

$

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

3/26/2010

$

330,000

$

2,080,000 Updated portfolio data from servicer

7/14/2010

$

(1,080,000) $

1,000,000 Updated portfolio data from servicer

9/30/2010

$

160,445

1,160,445 Updated portfolio data from servicer

1/6/2011

$

(1) $

3/30/2011

$

(2) $

6/29/2011

$

(16) $

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

1/22/2010

$

-

20,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

7/14/2010

$

90,000

$

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056

$

6/29/2011

$

145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation

(35) $

9,661,676

740,000 Updated HPDP cap & HAFA initial cap

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

$

30,461,676 Updated portfolio data from servicer

(46) $

30,461,630 Updated portfolio data from servicer

(58) $

(559) $

$

$

(10,000) $

(1) $

10,000 Updated portfolio data from servicer

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

$

$

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

68

Servicer Modifying Borrowers' Loans
Date

Name of Institution

City

State

Transaction
Type

Investment Description

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

Adjustment Details
Note

10412
10412
10412
10412
10412
10412
10412
10412
11/25/2009

Home Financing Center, Inc

Coral Gables

FL

Purchase

Financial Instrument for Home Loan Modifications

$

230,000

N/A

11/25/2009

First Keystone Bank

Media

PA

Purchase

Financial Instrument for Home Loan Modifications

$

1,280,000

N/A

12
12/4/2009

Community Bank & Trust Company

Clarks Summit

PA

Purchase

Financial Instrument for Home Loan Modifications

$

380,000

N/A

1000978
1000978
1000978
1000978
12/4/2009

Idaho Housing and Finance Association

Boise

ID

Purchase

Financial Instrument for Home Loan Modifications

$

9,430,000

N/A

10223
10223
10223
10223
10223
12/9/2009

12/9/2009

Spirit of Alaska Federal Credit Union

Fairbanks

American Eagle Federal Credit Union

East Hartford
1001228
1001228
1001228
1001228

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

Adjustment
Date

Cap Adjustment Amount
5,700,000

Adjusted Cap
$

Reason for Adjustment

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

$

6/29/2011

$

19,857,161 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
19,857,007 reallocation

7/14/2011

$

100,000

$

19,957,007 Transfer of cap due to servicing transfer

8/16/2011

$

300,000

$

20,257,007 Transfer of cap due to servicing transfer

4/21/2010

$

1/22/2010

$

50,000

$

1,330,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

1,020,000

$

2,350,000 Updated portfolio data from servicer

7/14/2010

$

(950,000) $

1,400,000 Updated portfolio data from servicer

9/30/2010

$

50,556

1,450,556 Updated portfolio data from servicer

1/6/2011

$

(2) $

3/30/2011

$

(2) $

6/16/2011

$

(100,000) $

6/29/2011

$

(21) $

7/22/2011

$

(1,335,614) $

1/22/2010

$

10,000

$

390,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

520,000

$

910,000 Updated portfolio data from servicer

7/14/2010

$

(810,000) $

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056

6/29/2011

$

(6) $

(154) $

(230,000) $

$

$

(1) $

11,357,167 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
11,357,161 reallocation

- Termination of SPA

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

1/22/2010

$

440,000

$

3/26/2010

$

14,480,000

$

24,350,000 Updated portfolio data from servicer

5/26/2010

$

(24,200,000) $

150,000 Updated portfolio data from servicer

7/14/2010

$

150,000

300,000 Updated portfolio data from servicer

9/30/2010

$

(9,889) $

6/29/2011

$

(3) $

$

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

1/22/2010

$

10,000

$

3/26/2010

$

850,000

$

1,220,000 Updated portfolio data from servicer

7/14/2010

$

(120,000) $

1,100,000 Updated portfolio data from servicer

9/30/2010

$

100,000

$

1,200,000 Initial FHA-HAMP cap

9/30/2010

$

105,500

$

1,305,500 Updated portfolio data from servicer

1/6/2011

$

(2) $

1,305,498 Updated portfolio data from servicer

2/17/2011

$

(1,305,498) $

1/22/2010

$

70,000

3/26/2010

$

(290,000) $

1,370,000 Updated portfolio data from servicer

7/14/2010

$

(570,000) $

800,000 Updated portfolio data from servicer

9/30/2010

$

70,334

$

870,334 Updated portfolio data from servicer

1/6/2011

$

(1) $

870,333 Updated portfolio data from servicer

$

370,000 Updated HPDP cap & HAFA initial cap

- Termination of SPA
1,660,000 Updated HPDP cap & HAFA initial cap

69

Servicer Modifying Borrowers' Loans
Date

Name of Institution

City

State

Transaction
Type

Investment Description

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

1001228
1001228
12/9/2009

Silver State Schools Credit Union

Las Vegas

NV

Purchase

Financial Instrument for Home Loan Modifications

$

1,880,000

N/A

1001075
1001075
1001075
1001075
1001075
1001075
12/9/2009

Fidelity Homestead Savings Bank

New Orleans

LA

Purchase

Financial Instrument for Home Loan Modifications

$

2,940,000

N/A

1001269
1001269
1001269
1001269
1001269
1001269
12/9/2009

12/9/2009

Bay Gulf Credit Union

Tampa

The Golden 1 Credit Union

Sacramento

FL

CA

Purchase

Purchase

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

$

$

230,000

6,160,000

N/A

N/A

1001226
1001226
1001226
1001226
1001226
1001226
12/9/2009

Sterling Savings Bank

Spokane

WA

Purchase

Financial Instrument for Home Loan Modifications

$

2,250,000

N/A

1000638
1000638
1000638
1000638
1000638
1000638
12/11/2009

Manteno

HomeStar Bank & Financial Services
10125
10125
10125
10125
10125

IL

Purchase

Financial Instrument for Home Loan Modifications

$

310,000

N/A

Adjustment Details
Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

(1) $

Reason for Adjustment

Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,319 reallocation

3/30/2011

$

6/29/2011

$

1/22/2010

$

90,000

$

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

3/26/2010

$

1,110,000

$

3,080,000 Updated portfolio data from servicer

7/14/2010

$

(1,180,000) $

1,900,000 Updated portfolio data from servicer

9/30/2010

$

275,834

2,175,834 Updated portfolio data from servicer

1/6/2011

$

(2) $

3/30/2011

$

(3) $

6/29/2011

$

1/22/2010

$

140,000

$

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

3/26/2010

$

6,300,000

$

9,380,000 Updated portfolio data from servicer

7/14/2010

$

(1,980,000) $

7,400,000 Updated portfolio data from servicer

9/30/2010

$

(6,384,611) $

1,015,389 Updated portfolio data from servicer

1/6/2011

$

(1) $

3/30/2011

$

(2) $

6/29/2011

$

1/22/2010

$

10,000

$

240,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

440,000

$

680,000 Updated portfolio data from servicer

7/14/2010

$

(80,000) $

600,000 Updated portfolio data from servicer

9/30/2010

$

(19,778) $

580,222 Updated portfolio data from servicer

10/15/2010

$

(580,222) $

1/22/2010

$

3/26/2010
7/14/2010

(13) $

$

(26) $

(16) $

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

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

9/30/2010

$

606,612

4,206,612 Updated portfolio data from servicer

1/6/2011

$

(4) $

3/30/2011

$

(4) $

6/29/2011

$

1/22/2010

$

3/26/2010

$

(740,000) $

7/14/2010

$

(710,000) $

9/30/2010

$

$

(35) $
100,000

550,556

$

$

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
1,610,000 Updated portfolio data from servicer
900,000 Updated portfolio data from servicer
1,450,556 Updated portfolio data from servicer

1/6/2011

$

(1) $

3/30/2011

$

(1) $

6/29/2011

$

1/22/2010

$

20,000

$

3/26/2010

$

820,000

$

1,150,000 Updated portfolio data from servicer

7/14/2010

$

(350,000) $

800,000 Updated portfolio data from servicer

9/30/2010

$

70,334

870,334 Updated portfolio data from servicer

1/6/2011

$

(1) $

3/30/2011

$

(1) $

(11) $

$

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

870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation

70

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

State

Transaction
Type

Investment Description

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

Adjustment Details
Note

10125
12/11/2009

12/11/2009

12/11/2009

6/29/2011
Glenview

Glenview State Bank

Seattle

Verity Credit Union

Hartford

Hartford Savings Bank

IL

WA

WI

Purchase

Purchase

Purchase

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

$

$

$

370,000

600,000

630,000

N/A

N/A

N/A

1000753
1000753
1000753
1000753
1000753
1000753
12/11/2009

Bryn Mawr

The Bryn Mawr Trust Co.

PA

Purchase

Financial Instrument for Home Loan Modifications

$

150,000

N/A
9

1000631
12/16/2009

Spring Valley

Citizens 1st National Bank

IL

Purchase

Financial Instrument for Home Loan Modifications

$

620,000

N/A

1000438
1000438
1000438
1000438
1000438
1000438
12/16/2009

Garden City

Golden Plains Credit Union

KS

Purchase

Financial Instrument for Home Loan Modifications

$

170,000

N/A

12/16/2009

First Federal Savings and Loan Association of Lakewood

Lakewood

OH

Purchase

Financial Instrument for Home Loan Modifications

$

3,460,000

N/A

12/16/2009

Sound Community Bank

Seattle

WA

Purchase

Financial Instrument for Home Loan Modifications

$

440,000

N/A

12/16/2009

Michigan City

Horizon Bank, NA
1000825
1000825
1000825

Adjustment
Date

IN

Purchase

Financial Instrument for Home Loan Modifications

$

700,000

N/A

Cap Adjustment Amount
$

Adjusted Cap

(13) $

Reason for Adjustment

Updated due to quarterly assessment and
870,319 reallocation

1/22/2010

$

20,000

$

3/26/2010

$

1,250,000

$

5/26/2010

$

(1,640,000) $

1/22/2010

$

30,000

$

3/26/2010

$

400,000

$

1,030,000 Updated portfolio data from servicer

7/14/2010

$

(330,000) $

700,000 Updated portfolio data from servicer

9/30/2010

$

25,278

$

725,278 Updated portfolio data from servicer

1/6/2011

$

(1) $

725,277 Updated portfolio data from servicer

2/17/2011

$

(725,277) $

1/22/2010

$

30,000

$

3/26/2010

$

800,000

$

1,460,000 Updated portfolio data from servicer

7/14/2010

$

(360,000) $

1,100,000 Updated portfolio data from servicer

9/30/2010

$

60,445

1,160,445 Updated portfolio data from servicer

1/6/2011

$

(2) $

3/30/2011

$

(2) $

6/29/2011

$

(18) $

4/21/2010

$

(150,000) $

6/16/2011

$

$

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

- Termination of SPA
660,000 Updated HPDP cap & HAFA initial cap

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

100,000

$

100,000 Transfer of cap due to servicing transfer

$

650,000 Updated HPDP cap & HAFA initial cap

1/22/2010

$

30,000

3/26/2010

$

(580,000) $

7/14/2010

$

1,430,000

$

1,500,000 Updated portfolio data from servicer

9/30/2010

$

95,612

$

1,595,612 Updated portfolio data from servicer

1/6/2011

$

(2) $

3/30/2011

$

(3) $

6/29/2011

$

1/22/2010

$

10,000

$

180,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

30,000

$

210,000 Updated portfolio data from servicer

7/14/2010

$

(10,000) $

200,000 Updated portfolio data from servicer

9/30/2010

$

90,111

2/17/2011

$

(290,111) $

1/22/2010

$

160,000

4/21/2010

$

(3,620,000) $

1/22/2010

$

20,000

$

3/26/2010

$

1,430,000

$

1,890,000 Updated portfolio data from servicer

7/14/2010

$

(390,000) $

1,500,000 Updated portfolio data from servicer

9/8/2010

$

(1,500,000) $

1/22/2010

$

30,000

$

3/26/2010

$

1,740,000

$

7/14/2010

$

(1,870,000) $

9/30/2010

$

850,556

(24) $

$

$

$

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

290,111 Updated portfolio data from servicer
- 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
2,470,000 Updated portfolio data from servicer
600,000 Updated portfolio data from servicer
1,450,556 Updated portfolio data from servicer

71

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

State

Transaction
Type

Investment Description

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

Adjustment Details
Note

1000825
1000825
1000825
12/16/2009

Solon

Park View Federal Savings Bank

OH

Purchase

Financial Instrument for Home Loan Modifications

$

760,000

N/A

10025
10025
10025
10025
10025
10025
12/23/2009

Sarasota

Iberiabank

FL

Purchase

Financial Instrument for Home Loan Modifications

$

4,230,000

N/A

Iberiabank
12
12/23/2009

North Grafton

Grafton Suburban Credit Union

MA

Purchase

Financial Instrument for Home Loan Modifications

$

340,000

N/A

1001192
1001192
1001192
1001192
1001192
1001192
12/23/2009

12/23/2009

1/13/2010

Eaton

Eaton National Bank & Trust Company

Tempe

Tempe Schools Credit Union

Fresno

Fresno County Federal Credit Union
10507
10507
10507
10507
10507

OH

AZ

CA

Purchase

Purchase

Purchase

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

$

$

$

60,000

110,000

260,000

N/A

N/A

N/A

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

1/6/2011

$

(2) $

3/30/2011

$

(2) $

6/29/2011

$

(23) $

Reason for Adjustment

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

1/22/2010

$

40,000

$

800,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

140,000

$

940,000 Updated portfolio data from servicer

7/14/2010

$

(140,000) $

800,000 Updated portfolio data from servicer

9/30/2010

$

70,334

870,334 Updated portfolio data from servicer

1/6/2011

$

(1) $

3/30/2011

$

(1) $

6/29/2011

$

1/22/2010

$

200,000

3/26/2010

$

(1,470,000) $

2,960,000 Updated portfolio data from servicer

7/14/2010

$

(1,560,000) $

1,400,000 Updated portfolio data from servicer

9/30/2010

$

1/6/2011

$

(11) $

3/30/2011

$

(13) $

4/13/2011

$

(300,000) $

6/3/2011

$

(6,927,254) $

1/22/2010

$

20,000

3/26/2010

$

(320,000) $

7/14/2010

$

760,000

$

800,000 Updated portfolio data from servicer

9/30/2010

$

(74,722) $

725,278 Updated portfolio data from servicer

1/6/2011

$

(1) $

3/30/2011

$

(1) $

6/29/2011

$

(11) $

1/22/2010

$

-

$

3/26/2010

$

90,000

$

150,000 Updated portfolio data from servicer

7/14/2010

$

50,000

$

200,000 Updated portfolio data from servicer

9/30/2010

$

(54,944) $

145,056 Updated portfolio data from servicer

5/20/2011

$

(145,056) $

1/22/2010

$

3/26/2010

$

7/14/2010

$

9/30/2010
12/8/2010
3/26/2010

$

7/14/2010
9/30/2010

$

(12) $

5,852,780

-

$

$

$

$

(20,000) $

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

7,252,780 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

10,000

$

100,000 Updated portfolio data from servicer

$

45,056

$

145,056 Updated portfolio data from servicer

$

(145,056) $
480,000

- Termination of SPA

$

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

1/6/2011

$

(1) $

3/30/2011

$

(1) $

6/29/2011

$

(8) $

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

72

Servicer Modifying Borrowers' Loans
Name of Institution

Date
1/13/2010

1/13/2010

1/13/2010

City
Roebling

Roebling Bank

Grant Park

First National Bank of Grant Park

Highlands Ranch

Specialized Loan Servicing, LLC

State

Transaction
Type

NJ

Purchase

IL

CO

Purchase

Purchase

Investment Description
Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

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

$

$

240,000

140,000

64,150,000

N/A

N/A

N/A

1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1/13/2010

Carson City

Greater Nevada Mortgage Services

NV

Purchase

Financial Instrument for Home Loan Modifications

$

770,000

N/A

10517
10517
10517
10517
10517
1/15/2010

1/29/2010

Marlborough

Digital Federal Credit Union

San Diego

iServe Residential Lending, LLC
1001415
1001415
1001415
1001415
1001415

MA

CA

Purchase

Purchase

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

$

$

3,050,000

960,000

N/A

N/A

Adjustment Details
Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

3/26/2010

$

610,000

$

850,000 Updated portfolio data from servicer

7/14/2010

$

50,000

$

900,000 Updated portfolio data from servicer

9/30/2010

$

(29,666) $

870,334 Updated portfolio data from servicer

1/6/2011

$

(1) $

870,333 Updated portfolio data from servicer

3/23/2011

$

(870,333) $

3/26/2010

$

150,000

$

290,000 Updated portfolio data from servicer

7/14/2010

$

10,000

$

300,000 Updated portfolio data from servicer

9/30/2010

$

(9,889) $

290,111 Updated portfolio data from servicer

1/26/2011

$

(290,111) $

3/26/2010

$

(51,240,000) $

5/14/2010

$

3,000,000

$

6/16/2010

$

4,860,000

$

7/14/2010

$

3,630,000

$

7/16/2010

$

330,000

$

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

8/13/2010

$

700,000

$

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

9/15/2010

$

200,000

$

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

9/30/2010

$

(1,695,826) $

11/16/2010

$

200,000

1/6/2011

$

1/13/2011

$

1,500,000

$

25,634,142 Transfer of cap due to servicing transfer

3/16/2011

$

7,100,000

$

3/30/2011

$

32,734,142 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
32,734,106 reallocation

4/13/2011

$

1,000,000

$

33,734,106 Transfer of cap due to servicing transfer

5/13/2011

$

100,000

$

33,834,106 Transfer of cap due to servicing transfer

6/16/2011

$

300,000

$

6/29/2011

$

34,134,106 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
34,133,774 reallocation

8/16/2011

$

100,000

$

3/26/2010

$

8,680,000

$

9,450,000 Updated portfolio data from servicer

7/14/2010

$

(8,750,000) $

700,000 Updated portfolio data from servicer

9/30/2010

$

170,334

870,334 Updated portfolio data from servicer

1/6/2011

$

(1) $

3/30/2011

$

(1) $

6/29/2011

$

3/26/2010

$

5/14/2010

$

(15,240,000) $

3/26/2010

$

(730,000) $

7/14/2010

$

370,000

$

600,000 Updated portfolio data from servicer

9/30/2010

$

200,000

$

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

9/30/2010

$

11/16/2010

$

1/6/2011

$

$

(32) $

(36) $

(332) $

$

(8) $
12,190,000

$

(364,833) $
100,000

$

(1) $

- 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

34,233,774 Transfer of cap due to servicing transfer

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
230,000 Updated portfolio data from servicer

435,167 Updated portfolio data from servicer
535,167 Transfer of cap due to servicing transfer
535,166 Updated portfolio data from servicer

73

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

State

Transaction
Type

Investment Description

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

Adjustment Details
Note

1001415
1001415
1/29/2010

Griffin

United Bank

GA

Purchase

Financial Instrument for Home Loan Modifications

$

540,000

N/A

1000893
1000893
1000893
1000893
3/3/2010

3/5/2010

Lake Mary

Urban Trust Bank

Irving

iServe Servicing, Inc.

FL

TX

Purchase

Purchase

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

$

$

1,060,000

28,040,000

N/A

N/A

1001384
1001384
1001384
1001384
1001384
1001384
1001384
3/10/2010

Vienna

Navy Federal Credit Union

VA

Purchase

Financial Instrument for Home Loan Modifications

$

60,780,000

N/A

1000494
1000494
1000494
1000494
3/10/2010

Wyomissing

Vist Financial Corp

PA

Purchase

Financial Instrument for Home Loan Modifications

$

300,000

N/A

1000468
1000468
1000468
1000468
4/14/2010

4/14/2010

Elmwood Park

Midwest Bank and Trust Co.

Beaverton

Wealthbridge Mortgage Corp

IL

OR

Purchase

Purchase

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

$

$

300,000

6,550,000

N/A

N/A

1000657
1000657
1000657
1000657
1000657
1000657
5/21/2010

Aurora Financial Group, Inc.

Marlton

NJ

Purchase

Financial Instrument for Home Loan Modifications

$

10,000

N/A

4, 8

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

(1) $

Reason for Adjustment

Updated due to quarterly assessment and
535,165 reallocation
Updated due to quarterly assessment and
535,158 reallocation

3/30/2011

$

6/29/2011

$

3/26/2010

$

160,000

$

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) $

6/29/2011

$

7/14/2010

$

9/24/2010

$

(5,500,000) $

5/26/2010

$

120,000

7/14/2010

$

(12,660,000) $

9/30/2010

$

100,000

9/30/2010

$

(3,125,218) $

11/16/2010

$

800,000

1/6/2011

$

(20) $

3/30/2011

$

(24) $

6/29/2011

$

(221) $

7/14/2010

$

(44,880,000) $

15,900,000 Updated portfolio data from servicer

9/30/2010

$

1,071,505

16,971,505 Updated portfolio data from servicer

1/6/2011

$

(23) $

3/30/2011

$

(26) $

6/29/2011

$

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) $

6/29/2011

$

7/14/2010

$

300,000

$

600,000 Updated portfolio data from servicer

9/30/2010

$

(19,778) $

580,222 Updated portfolio data from servicer

1/6/2011

$

(1) $

3/30/2011

$

(1) $

6/29/2011

$

(8) $

7/14/2011

$

(580,212) $

7/14/2010

$

(150,000) $

6,400,000 Updated portfolio data from servicer

9/15/2010

$

1,600,000

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

9/30/2010

$

(4,352,173) $

1/6/2011

$

(5) $

3/30/2011

$

(6) $

4/13/2011

$

(3,000,000) $

6/29/2011

$

(9) $

5/26/2010

$

(7) $

(11) $
4,440,000

$

$

$

$

$

(238) $

(11) $

30,000

$

$

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

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

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

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

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

74

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

State

Transaction
Type

Investment Description

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

Adjustment Details
Note

10425
10425
6/16/2010

Houston

Selene Finance LP

TX

Transfer

Financial Instrument for Home Loan Modifications

$

-

N/A

9

1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
8/4/2010

Albuquerque

Suburban Mortgage Company of New Mexico

NM

Purchase

Financial Instrument for Home Loan Modifications

$

880,000

N/A

1000602
1000602
1000602
8/20/2010

8/25/2010

Cincinanati

Bramble Savings Bank

Oswego

Pathfinder Bank

OH

NY

Purchase

Purchase

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

$

$

700,000

1,300,000

N/A

N/A

1001240
1001240
1001240
8/27/2010

Terre Haute

First Financial Bank, N.A.

ID

Purchase

Financial Instrument for Home Loan Modifications

$

4,300,000

N/A

1000951
1000951
1000951
9/1/2010

Raleigh

RBC Bank (USA)

NC

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

1001421
1001421
1001421
9/3/2010

Chicago

Fay Servicing, LLC

IL

Purchase

Financial Instrument for Home Loan Modifications

$

3,100,000

N/A

1001727
1001727
1001727
1001727
9/15/2010

Oklahoma City

Vericrest Financial, Inc.
1001557
1001557

OK

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

9/30/2010

$

250,111

$

6/29/2011

$

59,889

$

6/16/2010

$

3,680,000

$

8/13/2010

$

3,300,000

$

9/30/2010

$

3,043,831

$

10,023,831 Updated portfolio data from servicer

10/15/2010

$

1,400,000

$

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

1/6/2011

$

3/16/2011

$

3/30/2011

$

4/13/2011

$

2,900,000

6/16/2011

$

(200,000) $

6/29/2011

$

(273) $

9/30/2010

$

1/6/2011

$

(4) $

3/30/2011

$

(4) $

6/29/2011

$

9/30/2010

$

1/6/2011

$

(2) $

3/30/2011

$

(3) $

6/29/2011

$

(28) $

8/10/2011

$

(1,740,634) $

9/30/2010

$

(17) $
2,100,000

$

(24) $

1,585,945

$

$

(40) $
1,040,667

2,181,334

$

$

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

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
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
- Termination of SPA
3,481,334 Updated portfolio data from servicer

1/6/2011

$

(5) $

3/30/2011

$

(6) $

6/29/2011

$

9/30/2010

$

1/6/2011

$

(17) $

3/30/2011

$

(20) $

6/29/2011

$

9/30/2010

$

45,056

$

145,056 Updated portfolio data from servicer

1/6/2011

$

34,944

$

3/30/2011

$

40,000

$

6/29/2011

$

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

9/30/2010

$

5,168,169

$

1/6/2011

$

(12) $

3/30/2011

$

(15) $

4/13/2011

$

6/29/2011

$

(58) $
7,014,337

$

(192) $

400,000

$

(143) $

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

9/15/2010

$

1,000,000

$

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

9/30/2010

$

450,556

$

1,450,556 Updated portfolio data from servicer

1/6/2011

$

(2) $

1,450,554 Updated portfolio data from servicer

75

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

State

Transaction
Type

Investment Description

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

Adjustment Details
Note

1001557
1001557
1001557
1001557
1001557
9/15/2010

Freeport

Midwest Community Bank

IL

Purchase

Financial Instrument for Home Loan Modifications

$

400,000

N/A

1000879
1000879
1000879
9/24/2010

9/24/2010

Pasadena

American Finance House LARIBA

Ottawa

Centrue Bank

CA

IL

Purchase

Purchase

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

$

$

100,000

1,900,000

N/A

N/A

9/30/2010

AgFirst Farm Credit Bank

Columbia

SC

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

9/30/2010

Amarillo National Bank

Amarillo

TX

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

9/30/2010

American Financial Resources Inc.

Parsippany

NJ

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

1000478

1001726
9/30/2010

San Juan

Banco Popular de Puerto Rico

PR

Purchase

Financial Instrument for Home Loan Modifications

$

1,700,000

N/A

4, 5, 8

1000509
1000509
1000509
9/30/2010

Coral Gables

Capital International Financial, Inc.

FL

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

1001930
9/24/2010

9/30/2010

Freeburg

Citizens Community Bank

Rockledge

Community Credit Union of Florida

IL

FL

Purchase

Purchase

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

$

$

800,000

2,000,000

N/A

N/A

6

8
8
8
9/30/2010

New Brighton

CU Mortgage Services, Inc.

MN

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

10616
9/30/2010

Lake City

First Federal Bank of Florida

FL

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

10364
9/30/2010

Diamond Bar

First Mortgage Coporation

CA

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

26-Jan
9/30/2010

First Safety Bank

Cincinnati

OH

Purchase

Financial Instrument for Home Loan Modifications

$

400,000

N/A

4, 8

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

2/16/2011

$

3,000,000

$

4,450,554 Transfer of cap due to servicing transfer

3/16/2011

$

10,200,000

$

3/30/2011

$

6/29/2011

$

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

7/14/2011

$

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

1/6/2011

$

(1) $

3/30/2011

$

(1) $

6/29/2011

$

9/30/2010

$

45,056

2/2/2011

$

(145,056) $

9/30/2010

$

1/6/2011
3/9/2011

(24) $
(227) $

(8) $

856,056

$

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
145,056 Updated portfolio data from servicer
- Termination of SPA

$

2,756,056 Updated portfolio data from servicer

$

(4) $

2,756,052 Updated portfolio data from servicer

$

(2,756,052) $

9/30/2010

$

45,056

3/23/2011

$

(145,056) $

9/30/2010

$

45,056

6/29/2011

$

9/30/2010

$

6/29/2011

$

9/30/2010

$

1/6/2011

$

(3) $

3/30/2011

$

(4) $

6/29/2011

$

9/30/2010

$

6/29/2011

$

9/30/2010

$

$

1,160,445 Updated portfolio data from servicer

1/6/2011

$

(2) $

1,160,443 Updated portfolio data from servicer

3/23/2011

$

(1,160,443) $

9/30/2010

$

901,112

$

$

(1) $
45,056

$

(1) $
765,945

$

(36) $
45,056

$

(1) $
360,445

$

1/6/2011

$

(4) $

3/30/2011

$

(5) $

6/29/2011

$

9/30/2010

$

6/29/2011

$

9/30/2010

$

6/29/2011

$

9/30/2010

$

6/29/2011

$

9/30/2010

$

1/6/2011

$

(48) $
45,056

$

(1) $
45,056

$

(1) $
45,056

$

(1) $
180,222

- 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

- 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

(1) $

580,221 Updated portfolio data from servicer

76

Servicer Modifying Borrowers' Loans
Name of Institution

Date

9/30/2010

City

Troy

Flagstar Capital Markets Corporation

State

MI

Transaction
Type

Purchase

Investment Description

Financial Instrument for Home Loan Modifications

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

$

800,000

N/A

Adjustment Details
Note

7, 8

10228
10228
10228
9/30/2010

Cincinnati

Franklin Savings

OH

Purchase

Financial Instrument for Home Loan Modifications

$

1,700,000

N/A

4

1000773
1000773
1000773
9/30/2010

Tulsa

Gateway Mortgage Group, LLC

OK

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

1001744
9/30/2010

Gardner

GFA Federal Credit Union

9/30/2010

Guaranty Bank

9/24/2010

James B. Nutter & Company

MA

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

Saint Paul

MN

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

Kansas City

MO

Purchase

Financial Instrument for Home Loan Modifications

$

300,000

N/A

4, 8

10350

1000492
1000492
1000492
9/30/2010

New Orleans

Liberty Bank and Trust Co

LA

Purchase

Financial Instrument for Home Loan Modifications

$

1,000,000

N/A

1001010
1001010
1001010
9/30/2010

Buffalo

M&T Bank

NY

Purchase

Financial Instrument for Home Loan Modifications

$

700,000

N/A

4, 8

10529
10529
10529
9/30/2010

Germantown

Magna Bank

TN

Purchase

Financial Instrument for Home Loan Modifications

$

1,400,000

N/A

5

1000645
1000645
1000645
9/30/2010

Lexena

Mainstreet Credit Union

9/30/2010

Marsh Associates, Inc.

9/30/2010

Midland Mortgage Company

KS

Purchase

Financial Instrument for Home Loan Modifications

$

500,000

N/A

Charlotte

NC

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

Oklahoma City

OK

Purchase

Financial Instrument for Home Loan Modifications

$

43,500,000

N/A

4, 5

1001907

10457
10457
10457

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

(580,221) $

Reason for Adjustment

3/23/2011

$

9/30/2010

$

1/6/2011

$

(2) $

3/30/2011

$

(2) $

6/29/2011

$

9/30/2010

$

1/6/2011

$

(4) $

3/30/2011

$

(4) $

6/29/2011

$

9/30/2010

$

6/29/2011

$

9/30/2010

$

45,056

3/23/2011

$

(145,056) $

9/30/2010

$

45,056

6/29/2011

$

9/30/2010

$

1/6/2011

$

(1) $

3/30/2011

$

(1) $

6/29/2011

$

9/30/2010

$

1/6/2011

$

(2) $

3/30/2011

$

(2) $

6/29/2011

$

9/30/2010

$

1/6/2011

$

(1) $

3/30/2011

$

(1) $

6/29/2011

$

9/30/2010

$

1/6/2011

$

(3) $

3/30/2011

$

(3) $

6/29/2011

$

9/30/2010

$

$

725,278 Updated portfolio data from servicer

1/6/2011

$

(1) $

725,277 Updated portfolio data from servicer

3/9/2011

$

(725,277) $

9/30/2010

$

45,056

6/29/2011

$

9/30/2010

$

1/6/2011

$

(125) $

3/30/2011

$

(139) $

6/29/2011

$

(1,223) $

360,445

$

(18) $
765,945

$

(40) $
45,056

$

(1) $
$

$

(1) $
135,167

$

(6) $
450,556

$

(23) $
315,389

$

(11) $
630,778

$

(33) $
225,278

$

(1) $
49,915,806

$

- 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
Updated due to quarterly assessment and
2,030,739 reallocation

- Termination of SPA
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

77

Servicer Modifying Borrowers' Loans
Date
9/30/2010

Name of Institution

City
Rocky River

Schmidt Mortgage Company

State

Transaction
Type

OH

Purchase

Investment Description
Financial Instrument for Home Loan Modifications

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

100,000

N/A

Adjustment Details
Note
4, 8

1001163
9/30/2010

Miles City

Stockman Bank of Montana

MT

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

1000818
9/30/2010

Salt Lake City

University First Federal Credit Union

9/30/2010

Weststar Mortgage, Inc.

12/15/2010

Statebridge Company, LLC

UT

Purchase

Financial Instrument for Home Loan Modifications

$

600,000

N/A

Woodbridge

VA

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

Denver

CO

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

1001893

1001754
1001754
1001754
1001754
1001754
12/15/2010

San Juan

Scotiabank de Puerto Rico

PR

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

1000991
1000991
4/13/2011

AmTrust Bank, A Division of New York Community Bank

Cleveland

OH

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

10151
10151
10151
10151
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

4/13/2011

Western Federal Credit Union

Hawthorne

CA

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

1001970

1001231
5/13/2011

Anaheim Hills

FCI Lender Services, Inc.

CA

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

100265
100265
100265
7/14/2011

Gregory Funding, LLC

Beaverton

OR

Purchase

Financial Instrument for Home Loan Modifications

$

Total Initial Cap

$

23,831,570,000
TOTAL CAP

N/A

9

Adjustment
Date

Cap Adjustment Amount
45,056

Adjusted Cap
$

Reason for Adjustment

9/30/2010

$

6/29/2011

$

9/30/2010

$

6/29/2011

$

9/30/2010

$

$

870,334 Updated portfolio data from servicer

1/6/2011

$

(1) $

870,333 Updated portfolio data from servicer

2/17/2011

$

(870,333) $

9/30/2010

$

45,056

(1) $
45,056

$

(1) $
270,334

$

(1) $

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

- Termination of SPA
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation

6/29/2011

$

12/15/2010

$

1/6/2011

$

2/16/2011

$

500,000

$

5,499,993 Transfer of cap due to servicing transfer

3/16/2011

$

100,000

$

3/30/2011

$

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

5,000,000

$

5,000,000 Updated portfolio data from servicer

(7) $

4,999,993 Updated portfolio data from servicer

(9) $

6/29/2011

$

12/15/2010

$

1/6/2011

$

(4) $

6/29/2011

$

(5) $

4/13/2011

$

200,000

$

200,000 Transfer of cap due to servicing transfer

5/13/2011

$

100,000

$

300,000 Transfer of cap due to servicing transfer

6/16/2011

$

300,000

$

6/29/2011

$

600,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
599,991 reallocation

8/16/2011

$

200,000

$

4/13/2011

$

100,000

$

100,000 Transfer of cap due to servicing transfer

4/13/2011

$

1,000,000

$

6/29/2011

$

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

$

6/29/2011

$

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

6/16/2011

$

100,000

$

6/29/2011

$

600,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
599,991 reallocation

7/14/2011

$

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

$

6,052,054,458

$

29,883,624,458

Total Cap Adjustments

(85) $
4,300,000

$

(9) $

(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

799,991 Transfer of cap due to servicing transfer

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.

78

Servicer Modifying Borrowers' Loans
Date

Name of Institution

City

State

Transaction
Type

Investment Description

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

Adjustment Details
Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

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

79

Supplemental Information [Not Required by EESA §114(a)]
Home Affordable Modification Program
Non-GSE Incentive Payments (through August 2011)
Name of Institution
Allstate Mortgage Loans & Investments, Inc.
American Home Mortgage Servicing, Inc.
AmTrust Bank, A Division of New York Community Ba
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

Borrowers
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

1,623.05
14,987,530.40
9,305.44
5,872,869.66
31,248,899.79
3,197,676.46
1,686,440.34
2,023,625.06
2,478,742.93
557,750.61
20,023.09
18,200,185.94
2,750.00
11,881.16
1,000.00
7,569,459.20
5,666.68
246,152.34
2,775.62
139,976.87
1,000.00
2,000.00
12,979,388.17
3,916.67
15,416.67
287,135.29
916.67
6,059.59
169,857.80
1,333.33
2,515.13
3,916.67

Lenders/Investors
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

5,739.17
56,261,889.60
2,764.30
20,390,850.53
94,684,372.20
16,377,680.50
6,029,401.89
5,449,698.76
8,422,782.47
1,691,380.70
42,774.59
62,181,842.02
9,043.12
41,192.25
10,701.75
11,592,937.05
17,760.44
582.20
635,052.88
3,423.27
317,672.86
5,976.17
1,995.25
45,192,690.59
4,199.03
43,974.01
833,716.45
10,957.61
2,440,767.73
3,036,319.34
3,249.83
5,568.53
10,502.00
11,731.52

Servicer
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

4,623.05
43,824,727.45
9,472.10
15,392,154.05
69,527,720.99
10,427,438.92
4,600,488.75
4,825,257.21
6,717,596.38
1,402,920.21
57,740.94
45,998,998.20
10,916.67
40,848.96
3,500.00
16,279,383.05
5,750.01
643,025.44
8,717.90
448,099.67
5,000.00
4,000.00
35,239,924.13
4,500.00
39,750.01
1,061,522.11
1,000.00
22,704.84
3,698,606.99
5,272,500.00
4,833.34
5,569.53
15,000.00
11,000.00

Total Payments
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

11,985.27
115,074,147.45
2,764.30
18,777.54
41,655,874.24
195,460,992.98
30,002,795.88
12,316,330.98
12,298,581.03
17,619,121.78
3,652,051.52
120,538.62
126,381,026.16
22,709.79
93,922.37
15,201.75
35,441,779.30
29,177.13
582.20
1,524,230.66
14,916.79
905,749.40
11,976.17
7,995.25
93,412,002.89
12,615.70
99,140.69
2,182,373.85
1,916.67
39,722.04
6,309,232.52
8,308,819.34
9,416.50
13,653.19
25,502.00
26,648.19

80

Name of Institution
IC Federal Credit Union
Idaho Housing and Finance Association
JPMorgan Chase Bank, NA

Borrowers
$
$
$

4,666.67
5,844.16
57,303,214.11

Lenders/Investors
$
$
$

9,459.34
4,178.90
85,147,007.48

Servicer
$
$
$

12,000.00
8,844.16
85,393,684.63

Total Payments
$
$
$

26,126.01
18,867.22
227,843,906.22

81

Name of Institution
Lake City Bank
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

Borrowers
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

833.33
2,000.00
9,693,109.17
3,537.50
15,318.84
170,073.89
504,667.25
14,500.01
345,841.21
32,657.60
498,048.69
5,178,261.66
23,833.34
18,486,506.10
10,946,943.89
2,000.00
5,000.00
916.67
640,390.89
12,833.34
15,578.31
317,887.38
164,852.94
37,538.99
15,644,149.01
3,000.00
44,646.17
16,856,529.06
6,750.00
4,000.00
49,915.10
11,677.95
345,720.05
20,533.95
11,416.67
3,717.90
45,079.68
2,497,125.20

Lenders/Investors
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

1,585.07
2,544.95
26,021,081.15
4,983.49
502,000.96
12,707.90
272.64
43,805.58
2,305,003.00
81,557.71
2,054,618.26
12,774,635.88
158,525.67
3,568.11
48,100,618.47
39,959,309.77
1,389.18
15,620.91
1,049.80
1,019,249.44
48,604.54
1,045.60
877,981.62
227,582.28
114,720.08
27,076,943.20
19,607.51
163,044.29
43,940,506.84
16,911.75
15,387.95
153,906.17
69,291.71
997,993.61
50,457.01
52,239.28
4,204.96
217,151.75
9,508,698.77

Servicer
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

6,000.00
3,000.00
21,872,578.51
11,793.00
15,735.51
507,658.33
574,399.90
1,000.00
35,000.00
1,977,320.74
102,825.21
1,510,323.06
12,013,593.64
156,833.34
6,500.00
42,402,779.83
26,419,657.64
4,000.00
12,000.00
1,916.67
1,254,561.33
111,500.00
2,000.00
15,661.64
884,490.70
401,333.81
125,496.44
33,858,379.22
13,500.00
65,057.55
38,963,555.15
6,500.00
27,500.00
143,165.10
38,844.62
865,540.00
68,117.28
27,416.67
3,717.90
164,496.34
8,241,281.76

Total Payments
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

8,418.40
7,544.95
57,586,768.83
20,313.99
31,054.35
1,179,733.18
1,091,775.05
1,272.64
93,305.59
4,628,164.95
217,040.52
4,062,990.01
29,966,491.18
339,192.35
10,068.11
108,989,904.40
77,325,911.30
7,389.18
32,620.91
3,883.14
2,914,201.66
172,937.88
3,045.60
31,239.95
2,080,359.70
793,769.03
277,755.51
76,579,471.43
36,107.51
272,748.01
99,760,591.05
30,161.75
46,887.95
346,986.37
119,814.28
2,209,253.66
139,108.24
91,072.62
11,640.76
426,727.77
20,247,105.73

82

Name of Institution

Borrowers

Lenders/Investors

Servicer

Total Payments

United Bank
United Bank Mortgage Corporation
Urban Partnership Bank
Vantium Capital, Inc. d/b/a Acqura Loan Services
Vericrest Financial, Inc.
Wachovia Mortgage, FSB
Wells Fargo Bank, N.A.
Wescom Central Credit Union
Western Federal Credit Union
Wilshire Credit Corporation
Yadkin Valley Bank

$
$
$
$
$
$
$
$
$
$
$

14,468.08
31,006.96
59,184.15
26,386.01
37,986,827.62
93,545.55
1,000.00
2,000.00

$
$
$
$
$
$
$
$
$
$
$

131.18
29,116.88
57,507.44
110,548.22
59,735.87
76,889.58
97,476,175.44
374,718.56
9,719.68
490,394.10
4,396.14

$
$
$
$
$
$
$
$
$
$
$

1,000.00
33,089.81
30,665.77
64,715.25
44,719.34
162,000.00
70,215,277.37
210,612.54
4,000.00
1,167,000.00
15,000.00

$
$
$
$
$
$
$
$
$
$
$

1,131.18
76,674.77
119,180.17
234,447.62
130,841.22
238,889.58
205,678,280.43
678,876.65
14,719.68
1,657,394.10
21,396.14

Totals

$

279,923,326

$

736,241,576

$

615,894,931

$

1,632,059,833

83

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

Date

Name of Institution

6/23/2010 Nevada Affordable Housing Assistance Corporation

City
Reno

State

Transaction
Type

NV

Purchase

Financial Instrument for HHF Program

Investment Description

Initial Investment
Amount
$

102,800,000

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

2

9/23/2010

Purchase

Financial Instrument for HHF Program

-

$

34,056,581

3

9/29/2010

Purchase

Financial Instrument for HHF Program

-

$

57,169,659

Purchase

Financial Instrument for HHF Program

6/23/2010 CalHFA Mortgage Assistance Corporation

Sacramento

CA

$

699,600,000

-

2

9/23/2010

Purchase

Financial Instrument for HHF Program

-

$

476,257,070

3

9/29/2010

Purchase

Financial Instrument for HHF Program

-

$

799,477,026

Purchase

Financial Instrument for HHF Program

6/23/2010 Florida Housing Finance Corporation

Tallahassee

FL

$

418,000,000

-

2

9/23/2010

Purchase

Financial Instrument for HHF Program

-

$

238,864,755

3

9/29/2010

Purchase

Financial Instrument for HHF Program

-

$

400,974,381

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

Phoenix

AZ

Lansing

MI

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

$

125,100,000

$

154,500,000

3

9/29/2010

$

142,666,006

Purchase

Financial Instrument for HHF Program

2

9/23/2010

Purchase

Financial Instrument for HHF Program

-

$

128,461,559

3

9/29/2010

Purchase

Financial Instrument for HHF Program

-

$

215,644,179

Purchase

Financial Instrument for HHF Program

6/23/2010 Michigan Homeowner Assistance Nonprofit Housing Corporation

8/3/2010

North Carolina Housing Finance Agency

Raleigh

NC

-

-

$

-

159,000,000

-

2

9/23/2010

Purchase

Financial Instrument for HHF Program

-

$

120,874,221

3

9/29/2010

Purchase

Financial Instrument for HHF Program

-

$

202,907,565

Purchase

Financial Instrument for HHF Program

8/3/2010

Ohio Homeowner Assistance LLC

Columbus

OH

$

172,000,000

-

2

9/23/2010

Purchase

Financial Instrument for HHF Program

-

$

148,728,864

3

9/29/2010

Purchase

Financial Instrument for HHF Program

-

$

249,666,235

Purchase

Financial Instrument for HHF Program

8/3/2010

Oregon Affordable Housing Assistance Corporation

Salem

OR

$

88,000,000

-

2

9/23/2010

Purchase

Financial Instrument for HHF Program

-

$

49,294,215

3

9/29/2010

Purchase

Financial Instrument for HHF Program

-

$

82,748,571

8/3/2010

1,057,839,136

$

267,766,006

N/A

$

498,605,738

N/A

N/A
N/A
N/A
N/A
N/A
N/A

$

482,781,786

N/A
N/A
N/A

$

570,395,099

N/A
N/A
N/A

$

220,042,786

$

79,351,573

N/A
N/A
N/A

Financial Instrument for HHF Program

-

$

13,570,770

N/A

3

9/29/2010

Purchase

Financial Instrument for HHF Program

-

$

22,780,803

N/A

Purchase

Financial Instrument for HHF Program

2

9/23/2010

Purchase

Financial Instrument for HHF Program

-

$

58,772,347

3

9/29/2010

Purchase

Financial Instrument for HHF Program

-

$

98,659,200

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

9/23/2010 Alabama Housing Finance Authority
3

Atlanta

GA

Indianapolis

IN

Chicago

IL

Trenton

NJ

Washington

DC

Nashville

TN

9/29/2010
9/23/2010 New Jersey Housing and Mortgage Finance Agency

3

MS

9/29/2010
9/23/2010 Illinois Housing Development Authority

3

Jackson

9/29/2010
9/23/2010 Indiana Housing and Community Development Authority

3

KY

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
9/23/2010 District of Columbia Housing Finance Agency

3

9/29/2010

3

9/23/2010 Tennessee Housing Development Agency
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

Purchase

Financial Instrument for HHF Program

Purchase
Purchase

Financial Instrument for HHF Program
Financial Instrument for HHF Program

$

-

N/A
$

Financial Instrument for HHF Program

$

43,000,000

N/A

Purchase
SC

$

N/A

Purchase

Columbia

RI

1,975,334,096

9/23/2010
SC Housing Corp

Providence

N/A
$

2

8/3/2010

Rhode Island Housing and Mortgage Finance Corporation

N/A

138,000,000

-

60,672,471
-

$

55,588,050

$

38,036,950

$

126,650,987

$

82,762,859

$

166,352,726

$

112,200,637

$

7,726,678

$

81,128,260
-

-

$

$

148,901,875

N/A

$

101,888,323

$

339,255,819

N/A

$

221,694,139

N/A

$

445,603,557

N/A

$

300,548,144

N/A

$

20,697,198

N/A

$

217,315,593

$

7,600,000,000

N/A
N/A

N/A
N/A
N/A

188,347,507
-

$

12,970,520

$

136,187,333

TOTAL INVESTMENT AMOUNT

N/A
N/A

279,250,831
-

$

N/A

138,931,280
-

$

162,521,345

212,604,832
-

$

N/A
$

63,851,373
-

$

N/A
N/A

93,313,825
-

$

295,431,547

101,848,874
-

$

$

N/A

N/A
N/A
N/A
N/A

1/ The purchase will be incrementally funded up to the investment amount.
2/ On 9/23/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.
3/ On 9/29/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.

84

FHA SHORT REFINANCE PROGRAM
Seller
Footnote

Date

1

9/3/2010

Name

Citigroup, Inc.

City

New York

State

Transaction
Type

NY

Purchase

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

Investment Amount

$

8,117,000,000

TOTAL

$

8,117,000,000

Pricing Mechanism

N/A

1/ On September 3, 2010, the U.S. Department of the Treasury and Citibank, N.A. entered into a facility purchase agreement (the 'L/C Facility Agreement"), which 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.

85

U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Projected Costs and Liabilities [Section 105(a)(3)(E)]
For Period Ending August 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.

86

U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Programmatic Operating Expenses [Section 105(a)(3)(F)]
For Period Ending August 31, 2011

Type of Expense
Compensation for financial agents
and legal firms

Amount

$532,995,234

87

U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Description of Vehicles Established [Section 105(a)(3)(H)]
For Period Ending August 31, 2011

Date

Vehicle

Description

None

88