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

November 10, 2011

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

Monthly 105(a) Report

October 2011

Table of Contents

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

7

Credit Market Programs…………………….……………………………………………………………………….…………………………..

16

Small Business Administration (SBA) 7(a) Securities Portfolio

16

Public-Private Investment Program (PPIP)

17

Other Investment Programs ……………………………………………………………………………………………………………………
American International Group (AIG)

18
18

Housing Programs………………………………………………………………………………………………………………………………..

19

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

21

More information is available at FinancialStability.gov.

Where are the TARP Funds?

Monthly 105(a) Report

October 2011

The Troubled Asset Relief Program (TARP) was established pursuant to the Emergency Economic Stabilization Act of 2008 (EESA). Three
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. As of today, taxpayers have recovered nearly $258 billion from
TARP’s bank programs through repayments, dividends, interest, and other income -- almost $13 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 the 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.
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
                                                            
1

 

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

 

 

 

 

1 

Monthly 105(a) Report

October 2011

Daily TARP Update

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.
Figure 1: Daily TARP Update for November 1, 2011 (through October 31, 2011)
Principal/Investment

Income/Revenue
Gain / Other 
Warrants Sold2 Total Income
Income2

Total Cash Back4

$                  
‐

$                 
‐

$                
7.53

$              
17.81

$                  177.41

$                  
‐

$                 
‐

$                
0.01

$                
0.03

$                       
0.03

$                 
0.93

$                  
‐

$               
6.85

$                
0.05

$                
7.84

$                    32.84

$                         
‐

$                 
1.44

$                  
‐

$                 
‐

$                
1.24

$                
2.67

$                    22.67

$                         
‐

$                 
1.57

$                  
‐

$                 
‐

$                
0.19

$                
1.76

$                    21.76

Repayments

 Refinancing 
to SBLF1

Write‐offs

Realized Loss2

Outstanding

Dividends3

$             
179.54

$                   
159.60

$            
2.21

$                
2.58

$               
0.09

$                     
17.27

$               
10.27

$                 
0.36

$                        
0.36

$                  
‐

$                 
‐

$                         
‐

$                 
0.03

$               
25.00

$               
25.00 $                      
25.00

$                  
‐

$                 
‐

$                         
‐

     Bank Of America

$               
20.00

$               
20.00 $                      
20.00

$                  
‐

$                 
‐

     Citigroup

$               
20.00

$               
20.00 $                      
20.00

$                  
‐

$                 
‐

(*Dollars in Billions*) 
Obligated

Disbursed

     Preferred & Other Securities

$             
179.54

     Preferred & Other Securities ‐ Exchanges from CPP to CDCI

$                 
0.36

     Citigroup Common

Interest3

Bank Support Programs
Capital Purchase Program (CPP)5

Targeted Investment Program (TIP)

Asset Guarantee Program (AGP)
     Bank Of America

$                   
‐

$                   
‐

$                          
‐

$                  
‐

$                 
‐

$                         
‐

$                   
‐

$                  
‐

$               
0.28

$                  
‐

$                
0.28

$                       
0.28

     Citigroup6

$                 
5.00

$                   
‐

$                          
‐

$                  
‐

$                 
‐

$                         
‐

$                 
0.44

$                  
‐

$               
2.25

$                
0.07

$                
2.76

$                       
2.76

$                 
0.36

$                 
0.36

$                          
‐

$                  
‐

$                 
‐

$                         
‐

$                   
‐

$                  
‐

$                 
‐

$                  
‐

$                  
‐

$                         
‐

$                 
0.21

$                 
0.21

$                        
0.00

$                  
‐

$                 
‐

$                       
0.57

$                 
0.01

$                  
‐

$                 
‐

$                  
‐

$                
0.01

$                       
0.01

$             
250.46

$            
245.10

$                   
224.60

$                     
17.84

$              
14.69

$                  
‐

$               
9.37

$                
9.08 $              
33.16

$                  
257.76

$                       
1.12

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

8

$            
2.21 $                
2.58 $               
0.09

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

$                 
7.51

$                 
6.03

$                        
0.16

$                  
‐

$                 
‐

$                       
5.88

$                 
0.97

$                  
‐

$               
0.00

$                  
‐

$                
0.97

     Debt

$               
14.35

$               
11.63 $                        
1.18

$                  
‐

$                 
‐

$                     
10.46

$                   
‐

$                
0.19

$                 
‐

$                  
‐

$                
0.19

$                       
1.37

Term Asset Backed Securities Loan Facility (TALF)

$                 
4.30

$                 
0.10

$                          
‐

$                  
‐

$                 
‐

$                       
0.10

$                   
‐

$                  
‐

$                 
‐

$                  
‐

$                  
‐

$                         
‐

Purchase SBA 7(a) Securities (SBA)
Credit Market Program Totals

$                 
0.37

$                 
0.37

$                        
0.30

$                  
‐

$                 
‐

$                       
0.07

$                   
‐

$                
0.01

$               
0.00

$                  
‐

$                
0.01

$                       
0.31

$               
26.52

$               
18.13 $                        
1.63

$                  
‐

$                 
‐

$                     
16.50

$                 
0.97 $                
0.20

$               
0.00

$                  
‐

$                
1.17

$                      
2.80

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 $                      
11.21

$                  
‐

$                 
‐

$                       
9.09

$                 
0.25

$                  
‐

$               
0.17

$                  
‐

$                
0.41

$                    11.62

AIG Totals

$               
67.84

$               
67.84

$                  
‐

$               
1.92

$                     
50.88

$                 
0.25

$                  
‐

$               
0.17

$                  
‐

$                
0.41

$                    
15.45

$                     
15.03

Automotive Industry Financing Program (AIFP)
11

     GM

$               
51.03

$               
51.03 $                      
23.18

$                  
‐

$               
4.44

$                     
23.42

$                   
‐

$                
0.77

$               
0.10

$                  
‐

$                
0.86

$                    24.04

     Chrysler

$               
12.37

$               
12.37 $                        
9.44

$                
1.60

$               
1.33

$                         
‐

$                   
‐

$                
1.19

$               
0.49

$                  
‐

$                
1.68

$                    11.12

     Ally (GMAC)

$               
16.29

$               
16.29 $                        
2.54

$                 
‐

$                     
13.75

$                 
2.47

$                  
‐

$               
0.13

$                  
‐

$                
2.60

$                       
5.14

AIFP Totals

$               
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

$                     
50.19

$                
1.60 $               
7.68

$                     
88.05

$                 
2.72 $                
1.95

$               
0.88

$                  
‐

$                
5.55

$                    
55.74

Making Homes Affordable

$               
29.88

$                 
1.94

HFA Hardest‐Hit Fund

$                 
7.60

$                 
0.66

$                 
8.12

$                 
0.06

Housing Totals

$               
45.60

$                 
2.65

Grand Totals

$             
470.12

$            
413.42

$                   
276.42

$                
4.18 $               
7.77

$                   
122.40

$              
18.37 $                
2.16

$             
10.26

$                
9.08 $              
39.88

$                  
316.30

Other Programs Totals

Treasury Housing Programs Under TARP

FHA Refinance

 

12

 

 

 

 

2 

Daily TARP Update

Monthly 105(a) Report

October 2011

Notes to Daily TARP Update
1/ This represents the portion of the repayments that were received from refinancing to SBLF. This column is not used to calculate the
outstanding amount.
2/ Amounts of "Realized Loss", "Gain / Other Income", and "Warrants Sold" reflect net cash receipts.
3/ For equity programs, all dividend and interest payments are classified in the “Dividends” category. For direct loan programs, all
dividend and interest payments are classified in the “Interest” category. These classifications are consistent with the accounting
treatment used to produce OFS’ financial statements.
4/ This column represents the sum of repayments plus income/revenue. All returned TARP funds are paid into the general fund of the
Treasury for the reduction of the public debt. 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” columns.
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 pre-funded 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.

 

 

 

 

 

3 

Treasury Estimates of Impact on the Federal Budget

Monthly 105(a) Report

October 2011

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

Obligation/
Commitment

Disbursed as
of
October 31

Outstanding
Investment
Balance as of
October 31

Estimated
Lifetime Cost as
of
September 301,2

Bank Support Programs:
Capital Purchase Program (CPP):
Citigroup

$

Other banks with assets $10 billion or greater
Banks with assets less than $10 billion3
Total

25.00

$

25.00

$

0.00

$

(6.46)

165.33

165.33

8.87

(10.16)

14.57

14.57

8.40

3.63

$

204.89

$

204.89

$

17.27

$

(13.00)

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)
(3.68)

$

0.57

$

0.57

$

0.57

$

0.18

$

$

$

5.88
10.46
16.33

$

$

6.03
11.63
17.66

$

$

7.51
14.35
21.86

$

(2.71)
0.27
(2.44)

$

4.30

$

0.10

$

0.10

$

0.37

$

0.37

$

0.07

$
$

(0.42)
(0.00)

$

20.29
47.54

$

20.29
47.54

$

9.09
41.80

$

24.31

$

67.84

$

67.84

$

50.88

$

24.31

Automotive Industry Financing Program (AIFP)

$

79.69

$

79.69

$

37.17

$

23.60

Sub-total for Investment Programs

$

424.51

$

410.76

$

122.40

$

24.56

$

45.60

$

2.65

$

-

$

45.60

$

470.12

$

413.41

$

122.40

$

70.16

n/a

$

(12.83)

122.40

$

57.33

 

 

 

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

 

 

n/a

$

470.12

n/a

$

413.41

$

 

4 

Treasury Estimates of Impact on the Federal Budget

Monthly 105(a) Report

October 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 September 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 September 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
October 31, 2011 and the corresponding effect on estimated cost assuming no other changes.
9/30/2011 
Market Value

Outstanding Investment

AIG Common Stock 
GM Common Stock
Additional  AIG Common Shares

 $          21.08 
$          10.09 
$          10.86 

Increase 
(Decrease) in 
Cost

10/31/2011 
Market Value

In billions
 $              23.71 
$              12.93 
$              12.22 

 $            (2.63)
$            (2.84)
$            (1.36)

3/ The law creating the Small Business Lending Fund (SBLF) provided that banks could refinance securities issued under the CPP and
CDCI programs with securities issued under SBLF. A total of 137 CPP recipients refinanced under the SBLF, resulting in repayment
of $2.21 billion in 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.

 

 

 

 

 

5 

Program Updates – Bank Support Programs

Monthly 105(a) Report

October 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 had 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
approximately $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 October 31, 2011

Amount Invested:
Largest Investment:
Smallest Investment:

CPP Cumulative Investments
$204.94 billion
$25.00 billion
$301,000.00

CPP Institutions (Banks in 48 states, D.C and Puerto Rico)
Total Institutions Funded:
707
Full Repayments:
130
SBLF Repayments:
137
CDCI Conversions:
28
Partial Repayments:
12
Sold Investments:
12
In Bankruptcy/Receivership:
14
Merged Institutions:
2
3
Currently in Common
6
Total Remaining Institutions:

384

CPP Income to Treasury
1
Total Amount of Repayments :

Total Dividends, Interest, & Fee Income:
$11.23 billion
Oct. Dividends and Interest:
$28.49 million
Citigroup Gain:

$6.85 billion
2

Total Warrant Income :

$7.65 billion

Total CPP Income:

$210.69 billion  

 
 
 

 

 

$184.96 billion

 

 

 

6 

Program Updates – Bank Support Programs

Monthly 105(a) Report

October 2011

Notes to Capital Purchase Program Snapshot as of October 31, 2011:
1/ Includes repayment of $25 billion from completed Citigroup common stock conversion, $335,724,000 from CDCI conversions and
$2,206,699,000 from SBLF refinancings. Also see footnote 3 on page 5.
2/ Gross proceeds excluding commissions paid. Includes proceeds from exercised warrants.
3/ Institutions where Treasury has converted its original investment, at a discount, into shares of common stock in the institution.
Repayments
In October, a total of 5 institutions repurchased all or part of their outstanding CPP preferred shares from Treasury’s investments in those
institutions, for total proceeds of $19.65 million.


OSB Financial Services, Inc.; Pascack Bancorp, Inc.; MS Financial, Inc.; and Colonial American Bank repurchased all outstanding CPP
preferred shares from Treasury’s investment in each institution, for a total of $18.15 million.



Beach Business Bank made a partial repayment of $1.5 million of Treasury’s investment in that institution. Treasury’s remaining
investment is $3 million.

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 October 7, 2011, 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 32,941,797 shares of common stock of First BanCorp. Treasury received all accrued and
previously unpaid dividends on the MCP at the time of the conversion.



On October 21, 2011, Treasury completed the exchange of all FNB United Corp. ("FNB United") Preferred Stock and Warrants held by
Treasury for 108,555,303 shares of FNB United Common Stock and an Amended and Restated Warrant, pursuant to the terms of the
agreement between Treasury and FNB United entered into on August 12, 2011.



On October 21, 2011, Treasury completed the sale of all Santa Lucia Bancorp Preferred Stock and Warrants held by Treasury to CCI
One Acquisition Corporation ("CCI") for an aggregate purchase price of $2,800,000, pursuant to the terms of the agreement between
Treasury and CCI entered into on October 20, 2011.

 

 

 

 

 

7 

Monthly 105(a) Report

October 2011

Program Updates – Bank Support Programs

Warrant Repurchases
In October, Treasury disposed of warrant positions in nine 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 $5.2 million from
Treasury’s investments in banks beyond any dividend or interest payments.


OSB Financial Services, Inc; Pascack Bancorp, Inc.; MS Financial, Inc.; and Colonial American Bank repurchased preferred shares
and/or subordinated debentures from exercised warrants from Treasury for a total of $908,000.



Treasury also completed the sale of warrants issued by Central Bancorp, Inc.; Community Bank Shares of Indiana, Inc.; Bank of
Commerce Holdings; Stewardship Financial Corporation; and Community Partners Bancorp for a total of more than $4.3 million, as part
of each institution’s purchase of all preferred stock held by Treasury.

Dividends and Interest
In October, Treasury received dividends and interest income from CPP investments of approximately $28.5 million. Cumulative
dividends, interest and fee income received from Capital Purchase Program investments is approximately $11.2 billion.
Bank Closures


On October 14, 2011, Country Bank, Aledo, Illinois, the banking subsidiary of CB Holding Corp., was closed by the Illinois Department
of Financial and Professional Regulation - Division of Banking, which appointed the Federal Deposit Insurance Corporation as receiver.

Community Development Capital Initiative
In order to provide lower cost capital to community development financial institutions, Treasury established the Community Development
Capital Initiative. In total, Treasury invested approximately $570 million in 84 community development financial institutions, which includes
approximately $363 million exchanged by 28 financial institutions from the Capital Purchase Program.


On October 28, 2011, Treasury completed the exchange of all Carver Bancorp, Inc. ("Carver") preferred stock held by Treasury for
2,321,286 shares of Carver common stock, pursuant to the terms of the agreement between Treasury and Carver entered into on June
29, 2011. Accrued and previously unpaid dividends were paid on the date of the exchange.

Capital Purchase Program Density Maps and Regional Snapshots
Following is a detailed breakdown of remaining institutions with outstanding investments under the Capital Purchase Program. The
locations of remaining institutions’ headquarters are mapped nationwide and regionally to provide a visual overview of outstanding
investments. The regional maps are shown with a list of the Top 15 largest outstanding investments in that region, and a state by state
snapshot is provided for further detail. The maps and regional snapshots will provide monthly overviews of outstanding CPP investments
as TARP continues to wind down its investments. A full list of remaining CPP investments is contained in the appendix to this report.

 

 

 

 

 

8 

Monthly 105(a) Report

October 2011

Program Updates – Bank Support Programs

Nationwide CPP Institution Density Map*  as of October 31, 2011

Total Remaining Institutions
384
*For purposes of the maps showing the location of CPP institutions, CPP banks are deemed to be located in the state in which they maintain their headquarters.

 

 

 

 

 

9 

Monthly 105(a) Report

October 2011

Program Updates – Bank Support Programs

Southeast CPP Institutions as of October 31, 2011
Largest 15 Investments in the Southeast

Regional Density Map

Bank

State

Regions Financial Corp.
Synovus Financial Corp.
Popular, Inc.
First Bancorp*
United Community Banks, Inc.
Pinnacle Financial Partners, Inc.
First Financial Holdings Inc.
NewBridge Bancorp
Ameris Bancorp
FNB United Corp.*
U.S. Century Bank
BancTrust Financial Group, Inc.
Seacoast Banking Corporation of Florida
Yadkin Valley Financial Corporation
Fidelity Southern Corporation
Top 15 Total
Region Total
*For purposes of the maps showing the location of CPP institutions, CPP banks are deemed to be located in
the state in which they maintain their headquarters.

Investment
Amount
($ Millions)

AL
GA
PR
PR
GA
TN
SC
NC
GA
NC
FL
AL
FL
NC
GA

3,500
968
935
424
180
95
65
52
52
52
50
50
50
49
48
$
$

6,571
7,420

*This institution's original investment has been converted into shares of common stock in the
institution. Amount shown reflects the original investment amount.

State/Territory Snapshot
PR
Number of CPP Institutions
Investment Amount ($ Millions)

 

2
$ 1,359

FL
$

15
195

 

GA
19
$ 1,393

SC
$

15
195

NC
$

21
420

TN
$

14
262

AL
7
$ 3,585

MS
3
$

 

10

 

 

10 

Program Updates – Bank Support Programs

Monthly 105(a) Report

October 2011

Mid Atlantic and Northeast  CPP Institutions as of October 31, 2011
Largest 15 Investments in the Northeast

Regional Density Map

Bank

Investment
Amount
($ Millions)

State

M&T Bank Corporation
New York Private Bank & Trust Corp.
S&T Bancorp
Hampton Roads Bankshares, Inc.*
Virginia Commerce Bancorp
WSFS Financial Corporation
State Bancorp, Inc.
Union First Market Bankshares
Parkvale Financial Corporation
Royal Bancshares of Pennsylvania, Inc.
First United Corporation
VIST Financial Corp.
Intervest Bancshares Corporation
Eastern Virginia Bankshares, Inc.
Severn Bancorp, Inc.

NY
NY
PA
VA
VA
DE
NY
VA
PA
PA
MD
PA
NY
VA
MD

382
267
109
80
71
53
37
36
32
30
30
25
25
24
23

Top 15 Total
Region Total
*For purposes of the maps showing the location of CPP institutions, CPP banks are deemed to be located in
the state in which they maintain their headquarters.

$
$

1,223
1,706

*This institution's original investment has been converted into shares of common stock in the
institution. Amount shown reflects the original investment amount.

State Snapshot
VA
Number of CPP Institutions
Investment Amount ($ Millions)

 

WV

MD

DE

PA

NJ

NY

CT

RI

MA

NH

VT

16
$ 364

1

10
$ 112

1

13
$ 277

9

5
$ 732

1

1

2

1

0

$

22

 

$

53

$

97

$

5

 

$

1

 

$

24

 

$

2

$

ME
2
-

$

17

11 

Monthly 105(a) Report

October 2011

Program Updates – Bank Support Programs

Southwest and South Central CPP Institutions as of October 31, 2011
Largest 15 Investments in the Southwest

Regional Density Map*

Bank

State

International Bancshares Corporation
Southwest Bancorp, Inc.
MetroCorp Bancshares, Inc.
Trinity Capital Corporation
Spirit Bank
Patriot Bancshares, Inc.
Rogers Bancshares, Inc.
Central Bancorp, Inc.
Central Community Corporation
Chambers Bancshares, Inc.
First Trust Corporation
OneFinancial Corporation
White River Bancshares Company
Community First Bancshares, Inc.
TCB Holding Company, Texas Community Bank
Top 15 Total
Region Total

Investment
Amount
($ Millions)

TX
OK
TX
NM
OK
TX
AR
TX
TX
AR
LA
AR
AR
AR
TX

216
70
45
36
30
26
25
23
22
20
18
17
17
13
12
$
$

588
645

*For purposes of the maps showing the location of CPP institutions, CPP banks are deemed to be located in
the state in which they maintain their headquarters.

State Snapshot
LA
Number of CPP Institutions
Investment Amount ($ Millions)

 

AR

4
$

OK

7
28

$

93

 

$

2
100

TX
$

11
368

NM

AZ

3
$

3
48

$

8

 

 

 

12 

Monthly 105(a) Report

October 2011

Program Updates – Bank Support Programs

Mountain West and Plains States CPP Institutions as of October 31, 2011
Largest 15 Investments in the Mountian West

Regional Density Map*

Bank

State

Zions Bancorporation
Alpine Banks of Colorado
Fidelity Financial Corporation
Intermountain Community Bancorp
Blue Valley Ban Corp
First Western Financial, Inc.
BNCCORP, Inc.
First Community Bancshares, Inc
Bankers' Bank of the West Bancorp, Inc.
Farmers Enterprises, Inc.
Security State Bank Holding-Company
ColoEast Bankshares, Inc.
Syringa Bancorp
First Gothenburg Bancshares, Inc.
Country Bank Shares, Inc.

Investment
Amount
($ Millions)

UT
CO
KS
ID
KS
CO
ND
KS
CO
KS
ND
CO
ID
NE
NE

Top 15 Total
Region Total

1,400
70
36
27
22
20
20
15
13
12
11
10
8
8
8
$
$

1,679
1,741

*For purposes of the maps showing the location of CPP institutions, CPP banks are deemed to be located in
the state in which they maintain their headquarters.

State Snapshot
ND
Number of CPP Institutions
Investment Amount ($ Millions)

 

SD

2
$

NE

0
31

KS

6

$

-

 

$

CO

9
32

$

95

$

9
135

WY

MT

1
$

ID
3

0
3

$

-

$

 

UT
1
$ 1,400

42

 

NV
1
$

 

3

13 

Monthly 105(a) Report

October 2011

Program Updates – Bank Support Programs

Midwest CPP Institutions as of October 31, 2011
Largest 15 Investments in the Midwest

Regional Density Map*

Bank

State

Citizens Republic Bancorp, Inc.
First Banks, Inc.
Flagstar Bancorp, Inc.
PrivateBancorp, Inc.
MB Financial Inc.
First Midwest Bancorp, Inc.
Dickinson Financial Corporation II
Anchor BanCorp Wisconsin, Inc.
Taylor Capital Group
Park National Corporation
Metropolitan Bank Group, Inc.
Independent Bank Corporation
Old Second Bancorp, Inc.
First Place Financial Corp.
Standard Bancshares, Inc.

Investment
Amount
($ Millions)

MI
MO
MI
IL
IL
IL
MO
WI
IL
OH
IL
MI
IL
OH
IL
Top 15 Total
Region Total

300
295
267
244
196
193
146
110
105
100
82
74
73
73
60
$
$

2,318
3,688

*For purposes of the maps showing the location of CPP institutions, CPP banks are deemed to be located in
the state in which they maintain their headquarters.

State Snapshot
KY
Number of CPP Institutions
Investment Amount ($ Millions)

 

$

10
160

OH
$

10
293

 

MI
$

9
737

IN
$

8
116

IL
27
$ 1,250

MO
$

23
747

WI
$

12
222

MN
$

 

13
118

IA
5
$

 

46

 

14 

Monthly 105(a) Report

October 2011

Program Updates – Bank Support Programs

Western Region CPP Institutions as of October 31, 2011
Largest 15 Investments in the West

Regional Density Map*

Bank

State

Sterling Financial Corporation*
Cathay General Bancorp
Pacific Capital Bancorp*
Central Pacific Financial Corp.*
Banner Corporation
Nara Bancorp, Inc.
Wilshire Bancorp, Inc.
Center Financial Corporation
Exchange Bank
Premierwest Bancorp
Heritage Commerce Corp.
Fremont Bancorporation
Heritage Oaks Bancorp
Timberland Bancorp, Inc.
Pacific City Financial Corporation

WA
CA
CA
HI
WA
CA
CA
CA
CA
OR
CA
CA
CA
WA
CA
Top 15 Total
Region Total

*For purposes of the maps showing the location of CPP institutions, CPP banks are deemed to be located in
the state in which they maintain their headquarters.

Investment
Amount
($ Millions)
303
258
181
135
124
67
62
55
43
41
40
35
21
17
16
$
$

1,398
1,589

*This institution's original investment has been converted into shares of common stock in the
institution. Amount shown reflects the original investment amount.

State Snapshot
WA
Number of CPP Institutions
Investment Amount ($ Millions)

 

OR

CA

AK

HI

8
$ 483

3

34
$ 918

1

1
$ 135

$

49

 

$

5

 

 

 

15 

Monthly 105(a) Report

October 2011

Program Updates – Credit Market Programs

Credit Market Programs
Small Business Administration (SBA) 7(a) Securities Portfolio
Small businesses play an important role in generating new jobs and growth in our economy. To ensure that credit flows to entrepreneurs
and small business owners, Treasury took measures to complement the Obama Administration’s actions to help small businesses recover
and grow, including a program to purchase SBA guaranteed securities. Treasury purchased the securities in order to help restart the flow
of credit to small businesses. Purchasing securities from participating “pool assemblers” enabled them to purchase additional small
business loans from loan originators. Since Treasury began purchasing SBA 7(a) securities, the SBA 7(a) market has recovered, as
exhibited by new pool issuance volumes returning to pre-crisis levels.
Treasury originally invested in 31 SBA 7(a) securities with a value of approximately $368 million. Those securities were comprised of 1,001
loans from 17 different industries, including retail, food services, manufacturing, scientific and technical services, healthcare, educational
services, and others.


 

Progress was made towards the disposition of these securities in October through the sale of seven SBA 7(a) securities executed
through a Bid Wanted in Competition (BWIC) for approximately $58.0 million, representing an overall gain of approximately $1.3 million.
Including this transaction, Treasury has now sold a total of 23 securities for approximately $271.7 million, representing an overall gain
of approximately $7.5 million. Treasury continues to hold eight SBA 7(a) securities.

 

 

 

 

16 

Monthly 105(a) Report

October 2011

Program Updates – Credit Market Programs

Public-Private Investment Program (PPIP)
On October 21, 2011, Treasury released its quarterly report for the period ending September 30, 2011 on the Legacy Securities PublicPrivate Investment Program. This is the eighth 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 September 30, 2011:


The Public Private Investment Funds (PPIFs) have drawn-down approximately $23.1 billion of the total capital committed (78.5% of
total purchasing power), which has been invested in Eligible Assets and cash equivalents pending investment, as compared to $22.2
billion of total capital drawn-down as of June 30, 2011. Among the individual PPIFs, RLJ Western had drawn the most (100% of its total
purchasing power) and Oaktree had drawn the least (29.3% of its total purchasing power).d



Treasury has received approximately $887 million in net cumulative equity distributions, approximately $179 million in cumulative
interest payments and approximately $940 million in cumulative debt principal payments from the PPIFs. Net internal rates of return for
individual PPIFs ranged from -3.3% for Wellington to 19.5% for Invesco.



The total market value of Non-Agency residential mortgage-backed securities (RMBS) and commercial mortgage-backed securities
(CMBS) held by all PPIFs was approximately $20.6 billion with approximately 77% of the portfolio holdings as Non-Agency RMBS and
23% as CMBS.

PPIFs are now two years into their three-year investment periods and performance to date may be disproportionately impacted by 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. It should be noted that the current and past performance of a PPIF is
not indicative of its future performance.

 

 

 

 

 

17 

Monthly 105(a) Report

October 2011

Program Updates – Other Investment Programs

Other Investment Programs
American International Group
On November 1, 2011 Treasury received an additional repayment from American International Group (AIG) of $972 million2. The payment
was funded through the scheduled release of escrowed proceeds from AIG’s sale of its American Life Insurance Co., or ALICO, subsidiary
to MetLife, Inc. 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 totaled approximately $182 billion. After this repayment, the U.S.
Government’s remaining outstanding investment in AIG through Treasury, including common and preferred interests, is $50 billion. In
addition, the Federal Reserve Bank of New York has loans to Maiden Lane II and III of $17.5 billion, including principal and accrued
interest outstanding. These Federal Reserve Bank of New York loans are collateralized by assets with a current value of approximately
$30.7 billion, well in excess of the outstanding loan balances.

                                                            
2

 

 This repayment is not reflected in Figures 1 and 2, as those cover the period from October 1‐31, 2011.   

 

 

 

 

18 

Monthly 105(a) Report

October 2011

Program Updates – Housing Programs

Housing Programs
Making Home Affordable Program Performance Report
On November 3, 2011, the U.S. Department of the Treasury released the Making Home Affordable (MHA) Program Performance
Report through September 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 September 2011, MHA servicers reported more than 40,000, new
permanent HAMP modifications. This includes activity from previous months which servicers were able to report as a result of an
enhancement to the HAMP system of record. To date, more than 850,000 homeowners have received a HAMP permanent
modification, having saved an estimated $8.8 billion in monthly mortgage payments. Homeowners in HAMP active first lien permanent
modifications save a median of $526 per month – more than one-third of the median before-modification payment.



Eighty percent of eligible homeowners entering a HAMP trial modification since June 1, 2010 received a HAMP permanent
modification, with an average trial period of 3.5 months.



Permanent modifications are continuing to perform well over time. After 6 months in the program, more than 94 percent of homeowners
remain in permanent modifications, with just 10.1 percent of homeowners 60+ days delinquent. For modifications seasoned 18 months,
12.9 percent of modifications with a monthly payment reduction greater than 50 percent have been disqualified from the program due to
missing three consecutive payments, compared to a disqualification rate of more than 35 percent where the payment had been cut by
20 percent or less.

Second Lien, HAFA and PRA Program Results


The Second Lien Modification Program (2MP) enables homeowners in a HAMP first lien permanent modification to modify eligible
second lien mortgages held by a participating servicer. To date, over 45,000 homeowners in a HAMP first lien permanent modification
have received assistance through 2MP. Since homeowners with HAMP first lien permanent mortgage modifications become
automatically eligible when their second lien servicer participates in 2MP, this number will likely continue to grow.



Approximately 32,000 homeowners have reached agreements with their servicer to exit their home gracefully and transition to a more
affordable living situation under the Home Affordable Foreclosure Alternatives (HAFA) Program through a short sale or deed-in-lieu of
foreclosure.



Almost 19,000 homeowners have completed a short sale or deed-in-lieu under HAFA, which provides $3,000 for relocation assistance
after a homeowner exits the home.



The Principal Reduction Alternative (PRA) requires participating 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.
Over 47,000 modifications have been started through PRA, with approximately 29,000 of those permanently modified to date. The
median principal amount reduced for those active permanent modifications is $65,200 or 31.4% of the existing principal balance.

 

 

 

 

 

19 

Program Updates – Housing Programs

Monthly 105(a) Report

October 2011

Hardest Hit Fund
The Hardest Hit Fund provides funding to 18 states and the District of Columbia to provide assistance to struggling homeowners through
locally-tailored programs administered by each respective Housing Finance Agency (HFA). $7.6 billion has been allocated. These areas
were chosen because they have experienced steep home price declines or unemployment in the economic downturn. States have
developed principal reduction, reinstatement, short sale/transition assistance, modification assistance, 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.



$8 million was drawn down by 1 HFA in October; a total of $663 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 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.



All HFAs are now up and fully operational. Although states take time to refine processes and build volume, a number of states that
have been up and running for longer periods are starting to show substantial growth in the number of borrowers assisted (e.g.
Michigan, Ohio, North Carolina, Oregon, California, and Florida). Treasury is working to identify best practices, share lessons learned
between states, and develop other ways to provide technical assistance to states with lower participation volumes.



Treasury recently approved changes to programs in California, Nevada and the District of Columbia designed to increase homeowner
participation, enhance assistance, and simplify the review process in their programs. 

 

 

 

 

 

20 

Appendix Table of Contents

Monthly 105(a) Report

October 2011
EESA Requirement3

Page

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

Section 105(a)(2)

22

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

Section 105(a)(3)(A)

23

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

Section 105(a)(3)(B)

28

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

Section 105(a)(3)(C,D,G)

Appendix Section

29

Investment Programs

29

Home Affordable Modification Program

55

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

Section 105(a)(3)(E)

99

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

Section 105(a)(3)(F)

100

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

Section 105(a)(3)(H)

101

Remaining CPP Portfolio………………………………………………………………………………..

Additional Information

102

                                                            
3

 

 Section 105(a)(1) is covered by the body of this report. 

 

 

 

 

21 

United States Department of the Treasury
Office of Financial Stability

Report of Administrative Obligations and Expenditures

For Period Ending
October 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
76,888,989
76,888,989
1,477,833
11,960
753,957
402
191,300,101
1,323,999
253,286
142
195,121,680

272,010,668

$
$
$

$

$

Expenditures
76,720,329
76,720,329
1,415,652
11,960
679,194
402
144,316,369
1,294,025
239,080
142
147,956,824

224,677,153

For Period Ending
November 30, 2011

$
$
$

$

$

Projected
Obligations
79,034,000
79,034,000
1,543,000
12,000
754,000
500
196,286,000
1,334,000
254,000
150
200,183,650

279,217,650

$
$
$

$

$

Projected
Expenditures
78,877,000
78,877,000
1,479,000
12,000
680,000
500
148,017,000
1,301,000
240,000
150
151,729,650

230,606,650

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

22

U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Agreements Under TARP [Section 105(a)(3)(A)]
For Period October 2011

Date Approved

Type of Transaction

10/10/2008
10/11/2008
10/14/2008
10/16/2008
10/17/2008
10/18/2008
10/29/2008
10/29/2008
10/31/2008
11/7/2008
11/9/2008
11/17/2008
11/25/2008
12/3/2008
12/5/2008
12/10/2008
12/10/2008
12/15/2008
12/16/2008
12/22/2008
12/24/2008
1/6/2009
1/7/2009
1/27/2009
1/27/2009
1/30/2009
2/2/2009
2/3/2009

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

Vendor
Simpson Thacher & Bartlett Mnp LLP
Ennis Knupp & Associates Inc
The Bank of New York Mellon
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
Internal Revenue Service

Purpose
Legal Advisory
Investment and Advisory Services
Custodian and Cash Management
Accounting/Internal Controls
Archive Services
Accounting/Internal Controls
Legal Advisory
Legal Advisory
Human Resources Services
Legal Advisory
Detailee
Information Technology
Administrative Support
Information Technology
Administrative Support
Legal Advisory
Legal Advisory
Detailee
Detailee
Detailees
Administrative Support
Detailee
Parking
Legal Advisory
Office Machines
Detailee
Oversight Services
Detailees

23

Date Approved

Type of Transaction

2/9/2009
2/12/2009
2/18/2009
2/18/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/26/2009
2/27/2009
3/6/2009
3/16/2009
3/23/2009
3/30/2009
3/30/2009
3/30/2009
3/30/2009
3/30/2009
3/31/2009
4/3/2009
4/3/2009
4/17/2009
4/17/2009
4/21/2009
4/21/2009
4/21/2009
4/30/2009
5/5/2009
5/13/2009
5/14/2009
5/15/2009
5/20/2009
5/22/2009
5/26/2009
5/26/2009
6/9/2009
6/29/2009

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

Vendor
Pat Taylor & Assoc Inc.*
Locke Lord Bissell & Liddell LLP
Fannie Mae
Freddie Mac
Financial Clerk U.S. Senate
Office of Thrift Supervision
Simpson Thacher & Bartlett Mnp LLP
Venable LLP-1
Securities and Exchange Commission
Pension Benefit Guaranty Corp.
The Boston Consulting Group Inc
EARNEST Partners*
Heery International Inc.*
Bingham Mccutchen LLP
Cadwalader Wickersham & Taft LLP
Haynes and Boone LLP
Mckee Nelson LLP***
Sonnenschein Nath & Rosenthal LLP
FI Consulting Inc.*
American Furniture Rentals*
The Boston Consulting Group Inc
Bureau of Engraving and Printing
Herman Miller Inc.
AllianceBernstein L.P.
FSI Group, LLC
Piedmont Investment Advisors, LLC*
State Department
Federal Reserve Board
Department of Treasury - US Mint
Knowledgebank Inc.*
Phacil Inc.
Securities and Exchange Commission
Department of Justice - ATF
Anderson Mc Coy & Orta*
Simpson Thacher & Bartlett Mnp LLP
Financial Management Service - Gartner, Inc.
Department of Interior

Purpose
Administrative Support
Legal Advisory
Homeownership Program
Homeownership Program
Oversight Services
Detailees
Legal Advisory
Legal Advisory
Detailee
Legal Services
Financial Advisory
Small Business Assistance Program
Architectural Services
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Accounting/Internal Controls
Administrative Support
Financial Advisory
Detailee
Facilities Support
Asset Management Services
Asset Management Services
Asset Management Services
Detailee
Detailee
Administrative Support
Administrative Support
FOIA Support Services
Detailee
Detailee
Legal Advisory
Legal Advisory
Information Technology
Information Technology

24

Date Approved

Type of Transaction

7/15/2009
7/17/2009
7/30/2009
7/30/2009
7/30/2009
8/10/2009
8/10/2009
8/18/2009
8/25/2009
9/2/2009
9/10/2009
9/11/2009
9/18/2009
9/30/2009
9/30/2009
9/30/2009
9/30/2009
11/9/2009
12/16/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
1/14/2010
1/15/2010
2/16/2010
2/16/2010
2/18/2010
3/8/2010
3/22/2010
3/26/2010
3/29/2010
4/2/2010
4/8/2010

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

Vendor
Judicial Watch
Korn/Ferry International
Cadwalader Wickersham & Taft LLP
Debevoise & Plimpton, LLP
Fox Hefter Swibel Levin & Carol, LLP
Department of Justice
NASA
Mercer (US) Inc.
Department of Justice
Knowledge Mosaic Inc.*
Equilar Inc.*
PricewaterhouseCoopers LLP-1
Bureau of the Public Debt - ARC
IMMIXTECHNOLOGY INC.
IMMIXTECHNOLOGY INC.
NNA Inc.
SNL Financial LC
Department of the Treasury - Departmental Offices
Internal Revenue Service
Avondale Investments, LLC*
Bell Rock Capital, LLC*
Howe Barnes Hoefer & Arnett, Inc.*
Hughes Hubbard & Reed LLP
KBW Asset Management, Inc.*
Lombardia Capital Partners, LLC*
Paradigm Asset Management Co., LLC*
Government Accountability Office
Association of Govt Accountants
Internal Revenue Service
The Mitre Corporation
Bureau of the Public Debt - ARC
Qualx Corporation*
Financial Management Services - Gartner, Inc.
Federal Maritime Commission (FMC)
Morgan Stanley & Co. Incorporated
Financial Clerk U.S. Senate
Squire Sanders & Dempsey LLP

Purpose
Legal Advisory
Administrative Support
Legal Advisory
Legal Advisory
Legal Advisory
Detailee
Detailee
Subscription Services
Detailee
Administrative Support
Subscription Services
Accounting/Internal Controls
Administrative Support
Information Technology
Information Technology
Administrative Support
Subscription Services
Administrative Support
Detailee
Asset Management Services
Asset Management Services
Asset Management Services
Legal Advisory
Asset Management Services
Asset Management Services
Asset Management Services
Oversight Services
Administrative Support
Detailee
Information Technology
Information Technology
FOIA Support Services
Information Technology
Detailee
Disposition Agent Services
Oversight Services
Legal Advisory

25

Date Approved

Type of Transaction

4/12/2010
4/22/2010
4/22/2010
4/23/2010
5/4/2010
5/17/2010
6/24/2010
6/30/2010
7/21/2010
7/21/2010
7/22/2010
7/22/2010
7/22/2010
7/27/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/12/2010
8/30/2010
9/1/2010
9/17/2010
9/27/2010
9/30/2010
10/1/2010
10/8/2010
10/14/2010
10/26/2010
11/8/2010
11/18/2010
12/2/2010

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

Vendor
Ennis Knupp & Associates Inc
Digital Management Inc.*
Microlink Llc
RDA Corporation*
Internal Revenue Service
Lazard Fréres & Co. LLC
Reed Elsevier Inc (dba LexisNexis)
The George Washington University
Navigant Consulting Inc.
Regis & Associates PC*
Ernst & Young LLP
PricewaterhouseCoopers LLP-1
Schiff Hardin LLP
West Publishing Corporation
Alston & Bird LLP
Cadwalader Wickersham & Taft LLP
Fox Hefter Swibel Levin & Carol, LLP
Haynes and Boone LLP
Hughes Hubbard & Reed LLP
Love & Long LLP*
Orrick Herrington Sutcliffe LLP
Paul Weiss Rfknd Whrtn & Grrsn LLP
Perkins Coie LLP
Seyfarth Shaw LLP
Shulman Rgrs Gndl Pordy & Ecker Pa
Sullivan Cove Reign Enterprises JV*
Venable LLP-1
Knowledge Mosaic Inc.*
Department of Housing and Urban Development
CQ-Roll Call Inc.
Bingham Mccutchen LLP
Davis Audrey Robinette*
CCH Incorporated
Financial Clerk U.S. Senate
Management Concepts Inc****
Hispanic Assoc Of Coll & Univ*
Government Accountability Office
The Mitre Corporation*
Greenhill & Co., LLC
Addx Corporation*

Purpose
Financial Advisory
Information Technology
Information Technology
Information Technology
Administrative Support
Transaction Structuring Services
Subscription Services
Administrative Support
Compliance
Compliance
Compliance
Compliance
Legal Advisory
Administrative Support
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Administrative Support
Detailee
Administrative Support
Legal Advisory
Administrative Support
Administrative Support
Oversight Services
Administrative Support
Detailees
Oversight Services
Information Technology
Structuring and Disposition Services
Acquisition Support Services

26

Date Approved

Type of Transaction

12/29/2010
1/5/2011
1/18/2011
1/24/2011
1/26/2011
2/24/2011
2/28/2011
3/3/2011
3/10/2011
3/22/2011
3/28/2011
4/20/2011
4/26/2011
4/27/2011
4/27/2011
4/27/2011
4/27/2011
4/27/2011
4/27/2011
4/28/2011
4/28/2011
4/28/2011
5/31/2011
5/31/2011
6/9/2011
6/9/2011
6/17/2011
7/28/2011
9/9/2011
9/12/2011
9/15/2011
9/29/2011
9/29/2011
10/20/2011
10/4/2011

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

Vendor
Reed Elsevier Inc (dba LexisNexis)
Canon U.S.A. Inc.
Perella Weinberg Partners & Co.
Bureau of the Public Debt - ARC
Association of Govt Accountants
ESI International Inc.
Department of the Treasury - Departmental Offices
Equilar Inc.*
Mercer (US) Inc.
Harrison Scott Publications
Fox News Network LLC
Federal Reserve Bank of New York
PricewaterhouseCoopers LLP-1
Oculus Group Inc.*
MorganFranklin Corporation
Lani Eko & Company CPAs LLC*
FI Consulting Inc.*
Ernst & Young LLP
ASR Analytics LLC*
Booz Allen Hamilton Inc.
KPMG LLP
Office of Personnel Management
Reed Elsevier Inc (dba LexisNexis)
West Publishing Corporation
CQ-Roll Call Inc.
ESI International Inc.
Winvale Group LLC
Internal Revenue Service
Financial Management Service
ADC LTD NM
ABMI - All Business Machines, Inc.*****
Knowledge Mosaic Inc.*
Department of Interior
ABMI - All Business Machines, Inc.*****
Internal Revenue Service

Purpose
Subscription Services
Administrative Support
Structuring and Disposition Services
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Subscription Services
Litigation Settlement
Financial Reporting
Financial Services
Financial Services
Financial Services
Financial Services
Financial Services
Financial Services
Financial Services
Financial Services
Financial Services
Training
Subscription Services
Subscription Services
Subscription Services
Administrative Support
Subscription Services
Legal Services
Interns
Legal Services
Administrative Support
Administrative Support
Information Technology
Administrative Support
Detailee

* 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.
***** Service Disabled Veteran; HubZone business

27

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

28

Troubled Asset Relief Program
Transactions Report - Investment Programs
For Period Ending October 28, 2011
CAPITAL PURCHASE PROGRAM

Seller

Footnote
1b
11, 23 5/26/2010

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

Purchase Details

City
Charlotte
New York

State
NC
NY

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

Investment Amount
$
$

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

Pricing
Mechanism
Par
Par

14

10/28/2008

Citigroup Inc.

New York

NY

Common Stock w/ Warrants

$

25,000,000,000

Par

10/28/2008
10/28/2008
10/28/2008
10/28/2008
10/28/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008

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

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

NY
NY
NY
MA
CA
CA
NC
CA
IL
GA

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

$
$
$
$
$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

11/14/2008

Broadway Financial Corporation

Los Angeles

CA

Preferred Stock

$

9,000,000

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

Seattle
Winston-Salem

WA
NC

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

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

Par
Par

Baltimore

MD

Preferred Stock w/ Warrants

$

151,500,000

OR
TX
AL
VA
TN
OH
OH

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

$
$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par
Par

**

Remaining Capital
Amount

Final Disposition
Final
Disposition
Date

Disposition
Investment
Description

11/14/2008

Warrants
Warrants

3/3/2010
8/5/2009

Warrants
Warrants

6/17/2009
6/17/2009
6/17/2009
6/17/2009
12/23/2009
9/27/2011

25,000,000,000

$

0

Warrants

1/25/2011

Warrants

A

$

54,621,849

10,000,000,000
25,000,000,000
10,000,000,000
2,000,000,000
25,000,000,000
17,000,000

$
$
$
$
$
$

0
0
0
0
0
0

Warrants
Warrants
Warrants
Warrants
Warrants
Warrants

7/22/2009
12/10/2009
8/12/2009
7/8/2009
5/20/2010
10/26/2011

Warrants
Warrants
Warrants
Warrants
Warrants
Warrants

R
A
R
R
A
R

$
$
$
$
$
$

1,100,000,000
950,318,243
950,000,000
60,000,000
849,014,998
125,000

$
$

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

$
$

0
0

Warrants
Warrants

8/26/2009
9/22/2011

Warrants
Warrants

R $
A $

87,000,000
14,269,536

$
$

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

$
$

0
0

Warrants
Warrants

3/9/2010
7/22/2009

Warrants
Warrants

A $
R $

15,623,222
67,010,402

$
$

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

$
$

0
0

Warrants
Warrants

3/31/2010
5/6/2010

Warrants
Warrants

R $
A $

4,500,000
183,673,472

$
$
$
$

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

$
$
$
$

0
0
0
0

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

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

Warrants
Warrants
Warrants
Warrants

A
R
R
R

$
$
$
$

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

5/18/2010

Warrants

A $

5,571,592

$

4

$
$
$
$
$
$

4
4
5
4
49

Valley National Bancorp

Wayne

NJ

Preferred Stock w/ Warrants

$

300,000,000

Par

6/17/2009
3/30/2011

4

5/27/2009
6/17/2009

4

2/17/2010
3/17/2010

5

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

4

4

$

75,000,000

$

225,000,000

9/23/2009

4

$

125,000,000

$

100,000,000

4

$

100,000,000

$

0

4

4

4

4
4
4

11/14/2008

Zions Bancorporation

Salt Lake City

UT

Preferred Stock w/ Warrants

$

1,400,000,000

Marshall & Ilsley Corporation

Milwaukee

WI

Preferred Stock w/ Warrants

$

1,715,000,000

Par

7/5/2011

44

$

1,715,000,000

$

0

Warrants

7/5/2011

Warrants

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

Minneapolis
Wayzata
Lockport
Sioux Falls
Davenport

MN
MN
NY
SD
FL

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

$
$
$
$
$

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

Par
Par
Par
Par
Par

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

4

$
$
$
$
$

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

$
$
$
$
$

0
0
0
0
0

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

Warrants
Warrants
Warrants
Warrants
Warrants

12/30/2009

4

$

200,000,000

$

4/7/2010

3/3/2010
7/8/2009
9/27/2011

4

$
$
$

200,000,000
41,500,000
140,000,000

$
$
$

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

6/2/2011

11/21/2008

City National Corporation

Beverly Hills

CA

Preferred Stock w/ Warrants

$

400,000,000

Par

11/21/2008
11/21/2008

First Community Bankshares Inc.
Western Alliance Bancorporation

Bluefield
Las Vegas

VA
NV

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

41,500,000
140,000,000

Par
Par

4
5
4
5

5
49

200,000,000
0
0
0

3/3/2010
Webster Financial Corporation

Waterbury

CT

Preferred Stock w/ Warrants

$

400,000,000

Par

Pacific Capital Bancorp

Santa Barbara

CA

Common Stock w/ Warrants

$

195,045,000

186,342,969
136,000,000

9

9

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

San Jose
Moultrie
Louisville
Walla Walla

CA
GA
KY
WA

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

$
$
$
$

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

$

100,000,000

$

300,000,000

4

$

100,000,000

$

200,000,000

4

$200,000,000

$

0

44

R $

9

R
A
R
R
R

3,250,000

$
$
$
$
$

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

Warrants

R $

18,500,000

Warrants

A $

20,678,339

N/A

9

Par

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

11/21/2008

4

10/13/2010
12/29/2010

11/21/2008

29 9/24/2010

A $
R $

Par

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

49

Final Disposition
Proceeds

0
0

12/23/2009

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

44 5/16/2011

15
1b

$
$

23

6/3/2009

3a 11/24/2009

Remaining
Investment
Description

Par

Portland
Dallas
Birmingham
McLean
Memphis
Columbus
Cleveland

Capital Repayment
Capital
Amount (Loss) 6
Repayment Date
4
12/9/2009
$
15,000,000,000
6/17/2009 4 $
3,000,000,000

Par

11/14/2008
11/14/2008

49

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

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

9

3,301,647
450,000

29

Seller

Footnote

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

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

Investment Amount
$
$

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

19,300,000
23,393,000

Pricing
Mechanism
Par
Par

Capital
Repayment Date
12/15/2010

4

Capital Repayment
Amount (Loss) 6
$

19,300,000

Remaining Capital
Amount
$

Boston Private Financial Holdings, Inc.

Boston

MA

Preferred Stock w/ Warrants

$

154,000,000

Par

1/13/2010

4

$

50,000,000

$

6/16/2010

11/21/2008

4

$

104,000,000

$

0

104,000,000
0

Final Disposition

Remaining
Investment
Description

Final
Disposition
Date

Warrants

1/5/2011

Warrants

R $

1,003,227

Preferred Stock w/
Warrants
Warrants

2/1/2011

Warrants

A $

6,352,500

Disposition
Investment
Description

15

Final Disposition
Proceeds

Preferred Stock w/
Warrants

4/6/2011
WI

11/21/2008
11/21/2008
11/21/2008
11/21/2008
14, 20

50

49

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

Jackson
Lexington
Rosemont
Los Angeles

MS
SC
IL
CA

12/5/2008

Midwest Banc Holdings, Inc.

Melrose Park

IL

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

12/5/2008

Eagle Bancorp, Inc.

Bethesda

IL
IL
GA
WV
TX
CA
LA
MD

Preferred Stock w/ Warrants

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

$

$
$
$
$

525,000,000

$

262,500,000

$

$

262,500,000

$

0

Warrants

12/9/2009

4

$

215,000,000

$

0

Warrants

12/30/2009

Warrants

R $

10,000,000

4

$
$
$
$

75,000,000
34,000,000
1,700,000
90,000,000

$
$
$
$

0
0
0
0

12/23/2009

Warrants

R $

950,000

10/14/2009
5/20/2009

Warrants
Warrants

R $
R $

63,364
1,200,000

12/23/2009

5

$

15,000,000

$

Warrants
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants

49

$

23,235,000

$

7/21/2010

4

$

41,547,000

$

Warrants

R $

4,450,000

4

$

41,547,000

$

0

Preferred Stock w/
Warrants
Warrants

2/23/2011

12/15/2010

Green Bay

4

7/14/2011

Associated Banc-Corp

4

9/14/2011

11/21/2008

14,500,000

262,500,000

Par

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

Par
Par
Par
Par

$

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

$

38,235,000

9/9/2009
9/27/2011
9/16/2009
3/31/2009

50
4
5

23,235,000

Par
0
41,547,000

9

Warrants

12/5/2008

50
49
32 9/30/2010

55
24
50
35

43 5/13/2011

Preferred Stock w/ Warrants

$

83,094,000

Par

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 $

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

9/21/2011

Warrants

R $

6,436,364

Ontario

CA

Preferred Stock w/ Warrants

$

130,000,000

Par

8/26/2009

4

CVB Financial Corp

$

97,500,000

$

Warrants

R $

1,307,000

4

$

32,500,000 $

0

Preferred Stock w/
Warrants
Warrants

10/28/2009

9/2/2009

12

MD

12/5/2008

17, 54

Olney

12/5/2008
12/5/2008
26 9/30/2010
50

Sandy Spring Bancorp, Inc.

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

10/19/2011

Warrants

R $

2,525,000

9/30/2010

32

$

12,119,637

$

0

Warrants

9/30/2010

Warrants

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

9/28/2011
5/8/2009
N/A

Warrants
Warrants
N/A

R $
R $
-

560,000
1,200,000
N/A

12/23/2009

5

$

235,000,000

$

0

Warrants

6/16/2010

Warrants

R $

6,820,000

5/13/2011

43

$

330,000,000

$

4/21/2010

4

$

200,000,000

$

1/19/2011

Warrants

R $

5,269,179

12/22/2010
3/31/2009

4

$
$

100,000,000
120,000,000

$
$

0
0

Preferred Stock w/
Warrants
Warrants
Warrants

3/10/2010

Warrants

A $

11,320,751

11/4/2009

4

$

75,000,000

$

0

Warrants

11/24/2009

Warrants

R $

2,650,000

5/5/2009

4

$

125,198,000

$

0

Warrants

6/9/2010

Warrants

A $

3,007,891

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

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

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

New York
Hopkinsville
Flint
Columbus
Little Rock
Los Angeles
Greensboro
Houston

NY
KY
MI
IN
AR
CA
NC
TX

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

$
$
$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par
Par
Par

49

4
35

4

32,500,000

0
100,000,000

9

32

35

9

Warrants

30

Seller

Footnote

Purchase Date

Purchase Details

Name of Institution

City

State

50

49

45 - 6/3/2011
50
64 10/21/2011
50

50
50
30 9/29/2010

Wilmington
Portsmouth
Los Angeles
Roanoke

$
$
$
$

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

Par
Par
Par
Par

$

74,426,000

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

12/19/2008

Whitney Holding Corporation

12/19/2008
12/19/2008

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

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

New Orleans

LA

Preferred Stock w/ Warrants

$

300,000,000

Par

The Connecticut Bank and Trust Company
CoBiz Financial Inc.

Hartford
Denver

CT
CO

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

5,448,000
64,450,000

Par
Par

9/8/2011

12/19/2008

Santa Lucia Bancorp

Atascadero

CA

Preferred Stock w/ Warrants

$

4,000,000

Par

10/21/2011

Seacoast Banking Corporation of Florida

Stuart

FL

Preferred Stock w/ Warrants

$

50,000,000

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

$
$
$
$
$

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

Par
Par
Par
Par
Par

12/19/2008

Security Federal Corporation

Aiken

SC

Preferred Stock w/ Warrants

$

18,000,000

Wintrust Financial Corporation
Flushing Financial Corporation
Monarch Financial Holdings, Inc.

Lake Forest
Lake Success
Chesapeake

IL
NY
VA

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

$
$
$

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

49
50

Remaining
Investment
Description

Final Disposition
Final
Disposition
Date

Disposition
Investment
Description

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

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.

45,220,000
76,458,000

$
$

0
0

Warrants
Warrants

9/8/2010

Warrants

$
$

10,000,000
150,000,000

$
$

0
0

Warrants
Warrants

4/7/2010
4/13/2011

Warrants
Warrants

15
9

Final Disposition
Proceeds

R $

4,753,985

R $
R $

1,488,046
1,000,000

4/7/2010
3/16/2011

4

9/22/2011

50

$

20,500,000

$

0

Warrants

11/18/2009

4

$

15,000,000

$

0

Warrants

12/16/2009

Warrants

R $

560,000

8/4/2011

49

$

8,500,000

$

0

Warrants

9/14/2011

Warrants

R $

315,000

11/24/2009

4

$

22,000,000

$

0

Warrants

12/16/2009

Warrants

R $

568,700

$

300,000,000

$

0

Warrants

6/3/2011

Warrants

45

R $

6,900,000

50

$

64,450,000

$

0

Warrants

64

$

2,800,000

$

0

N/A

N/A

N/A

64

-

4

$
$

6,250,000
18,750,000

$
$

$
$
$

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

$
$
$

0
0
0

6/24/2009
8/24/2011

Warrants
Warrants

4

6/3/2011

11/10/2010
8/25/2011

50

4

18,750,000
0

9

N/A

Warrants
Warrants

Par

9/29/2010

4

$

18,000,000

$

0

Warrants

Par
Par
Par

12/22/2010
10/28/2009
12/23/2009

4

$
$
$

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

$
$
$

0
0
0

Warrants
Warrants
Warrants
Preferred Stock w/
Warrants

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

Warrants
Warrants
Warrants

50

5
5

Warrants
Warrants
Warrants

R $
R $

9
9

1,040,000
599,042

A $
R $
R $

25,964,061
900,000
260,000

R $

450,000

Charlottesville

VA

Preferred Stock w/ Warrants

$

30,000,000

Par

4/13/2011

4

$

7,500,000

$

Bowling Green

VA

Preferred Stock w/ Warrants

$

59,000,000

Par

11/18/2009

5

$

59,000,000

$

0

Warrants

12/23/2009

Warrants

Mt. Pleasant
Providence
Lee's Summit
Elmira
Syracuse
Dubuque

SC
RI
MO
NY
NY
IA

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

$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par

8/5/2009

4

$

30,000,000

$

0

Warrants

9/30/2009

Warrants

R $

1,400,000

8/25/2011
5/13/2009
9/15/2011

49

$
$
$

9,090,000
26,918,000
81,698,000

$
$
$

0
0
0

6/17/2009
9/28/2011

Warrants
Warrants

R $
R $

900,000
1,800,000

2/16/2011

4

$

2,212,308

$

Warrants
Warrants
Warrants
Preferred Stock w/
Warrants

9/27/2011
9/22/2011

49

$
$

87,631,000
15,540,000

$
$

0
0

Preferred Stock 2
2
Preferred Stock

9/27/2011
9/22/2011

Preferred Stock
Preferred Stock

2, 7

R $
R $

4,382,000
777,000

9/22/2011
2/24/2010

50

$
$

9,294,000
80,000,000

$
$

0
0

Preferred Stock 2
Warrants

9/22/2011
6/2/2010

Preferred Stock
Warrants

2, 7

R $
A $

465,000
3,116,284

Preferred Stock w/
Warrants

4/20/2011

Warrants

R $

1,395,000

Citizens First Corporation

Bowling Green

KY

Preferred Stock w/ Warrants

$

8,779,000

Par

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

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

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

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

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

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

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

Bridge Capital Holdings

$
$

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

50

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

12/19/2008
2
2, 49
2, 49
2, 3
2
2
2
2
2
2
2
2
2
2, 50

Remaining Capital
Amount

Par

12/19/2008

3/10/2010
9/22/2011

5

Capital Repayment
Amount (Loss) 6

Par

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

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

12/19/2008
18

DE
VA
CA
VA

Capital
Repayment Date

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

22

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

Investment Amount

Pricing
Mechanism

12/19/2008

50

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

Investment Description

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

San Jose

CA

Preferred Stock w/ Warrants

$

23,864,000

Par

4
50

49

5

2/23/2011

4

$

15,000,000

$

3/16/2011

4

$

8,864,000

$

22,500,000

6,566,692

8,864,000
0

9

2, 7

9

Warrants

31

Seller

Footnote

Purchase Details

Name of Institution

Purchase Date

City

State

Investment Description

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

Investment Amount

Pricing
Mechanism

Capital
Repayment Date

Capital Repayment
Amount (Loss) 6

Remaining Capital
Amount

Final Disposition

Remaining
Investment
Description

Final
Disposition
Date

Disposition
Investment
Description

15

Final Disposition
Proceeds

-

N/A

12/23/2008
12/23/2008

Laredo
Seattle

TX
WA

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

216,000,000
7,400,000

Par
Par

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

Emclaire Financial Corp.
Park National Corporation

Emlenton
Newark

PA
OH

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

7,500,000
100,000,000

Par
Par

8/18/2011

49

$

7,500,000

$

0

Preferred Stock w/
Warrants
Warrants

9/7/2011

59

$

68,700,000

$

0

N/A

N/A

N/A

2/23/2011

4

$

12,505,000

$

Preferred Stock w/
Warrants

5/11/2011

Warrants

R $

2,079,963

3/30/2011

49

International Bancshares Corporation
First Sound Bank

4

$

25,010,000

$

0

Warrants
9/8/2010

Warrants

R $

10,800,000

9/28/2011

Warrants

R $

900,194

12/23/2008

Green Bankshares, Inc.

Greeneville

TN

Preferred Stock w/ Warrants

$

72,278,000

Par

12/23/2008

Cecil Bancorp, Inc.

Elkton

MD

Preferred Stock w/ Warrants

$

11,560,000

Financial Institutions, Inc.

Warsaw

NY

Preferred Stock w/ Warrants

$

37,515,000

Par

59

Par

12/23/2008

59 - 9/7/2011

230,000,000

25,010,000

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

393/11/2011

2
2
2
2
3, 30 8/20/2010
2
2
2, 49
2, 49
2
2
2, 49
2, 49
2
2
2
2, 49
2, 61
2
2, 50

4

12/23/2008

First Community Bank Corporation of America

Pinellas Park

FL

Preferred Stock w/ Warrants

$

10,685,000

Par

5/31/2011

39

$

7,754,267

$

0

N/A

N/A

N/A

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

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

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

NY
NY
NC
PA
WA
NJ
NJ
IL
CA
OR
NC

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

$
$
$
$
$
$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

4/27/2011

4

$

42,000,000

$

0

Warrants

5/18/2011

Warrants

R $

945,775

10/27/2010
11/24/2010

4

$
$

12,000,000
11,300,000

$
$

0
0

Warrants
Warrants

12/1/2010

Warrants

R $

319,659

12/23/2008

Mission Valley Bancorp

Sun Valley

CA

Preferred Stock

$

5,500,000

Par

8/20/2010

4

$

5,500,000

$

0

N/A

N/A

N/A

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

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

Kinston
Los Angeles
South Hill
Chula Vista
Dayton
Arlington
Green Bay

NC
CA
VA
CA
OH
MA
WI

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

$
$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par
Par

7/28/2011
9/1/2011
8/3/2011
11/24/2010
9/1/2011
11/24/2009
6/8/2011
8/18/2011

49

$
$
$
$
$
$
$
$

3,000,000
1,800,000
2,000,000
5,830,000
14,964,000
3,455,000
3,455,000
6,885,000

$
$
$
$
$
$
$
$

Preferred Stock
Preferred Stock 2
2
Preferred Stock
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
2
Preferred Stock
Preferred Stock 2

7/28/2011
9/1/2011
8/3/2011
11/24/2010
9/1/2011

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

2, 7

8/18/2011

Preferred Stock

$
$

4,700,000
4,767,000

$
$

0
0

Preferred Stock 2
2
Preferred Stock

12/30/2010
7/14/2011

$
$
$
$

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

$
$
$
$

0
0
0
0

Preferred Stock 2
Warrants
Warrants
Warrants

$
$

0
36,000,000

$
$

0
0

$
$

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

$
$

0
0

12/23/2008

Magna Bank

Memphis

TN

Preferred Stock w/ Exercised Warrants

$

13,795,000

Par

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

Western Community Bancshares, Inc.
Community Investors Bancorp, Inc.
Capital Bancorp, Inc.
Cache Valley Banking Company
Citizens Bancorp
Tennessee Valley Financial Holdings, Inc.
Pacific Coast Bankers' Bancshares
SunTrust Banks, Inc.
The PNC Financial Services Group Inc.
Fifth Third Bancorp

Palm Desert
Bucyrus
Rockville
Logan
Nevada City
Oak Ridge
San Francisco
Atlanta
Pittsburgh
Cincinnati

CA
OH
MD
UT
CA
TN
CA
GA
PA
OH

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

$
$
$
$
$
$
$
$
$
$

7,290,000
2,600,000
4,700,000
4,767,000
10,400,000
3,000,000
11,600,000
1,350,000,000
7,579,200,000
3,408,000,000

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

12/31/2008

Hampton Roads Bankshares, Inc.

Norfolk

VA

Common Stock w/ Warrants

$

80,347,000

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

New York
West Des Moines
Clayton
Charlotte
Akron
Frankfort

NY
IA
MO
NC
OH
KY

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

$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par

Peapack-Gladstone Financial Corporation

Gladstone

NJ

Preferred Stock w/ Warrants

$

28,685,000

49
4
4
49
4
4
49

0
0
0
0
0
10,340,000
6,885,000
0

Par

12/30/2010
7/14/2011

4
49

1/9/2009

50

2/8/2010
6/29/2011

16

12/9/2009
4/22/2009

4

4

$

7,172,000

$

21,513,000

3/2/2011

2
1a, 1b

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

1/6/2010

31 9/30/2010
16

4

$

7,172,000

$

14,341,000

4
4
4

4

4

1/9/2009

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
37, 46 6/17/2011

2

N/A

-

R
R
R
R
R

N/A

$
$
$
$
$

150,000
90,000
100,000
292,000
748,000

2, 7

R $

690,000

Preferred Stock
Preferred Stock

2, 7

R $
R $

235,000
238,000

7/28/2011
9/22/2011
4/29/2010
3/16/2011

Preferred Stock
Warrants
Warrants
Warrants

2, 7

N/A
Warrants

N/A
8/31/2011

N/A
Warrants

Warrants
Warrants

3/3/2010
5/27/2009

Warrants
Warrants

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

5/27/2009

Warrants

R $

2,100,000

7/29/2009

Warrants

R $

340,000,000

2, 7
2, 7
2, 7
2, 7

Par

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

4

-

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

1/9/2009

Central Pacific Financial Corp.

Honolulu

HI

Common Stock w/ Warrants

$

135,000,000

Par

6/17/2011

46

$

35,883,281

$

1/9/2009
1/9/2009

Centrue Financial Corporation
Eastern Virginia Bankshares, Inc.

St. Louis
Tappahannock

MO
VA

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

32,668,000
24,000,000

2, 7

R
A
A
R

580,000
16,224,035
324,195,686
280,025,936

R $
1b

$
$
$
$

N/A
700,000

A $
R $

124,228,646
5,025,000

Par
Par

0
12,500,000

99,116,719

Warrants
Common Stock w/
Warrants

32

Seller

Footnote

Purchase Details

Name of Institution

Purchase Date

City

State

Investment Description

Investment Amount

Pricing
Mechanism

Capital
Repayment Date

50
49
49

2
2
2, 49
2, 49
2
3
2, 49
2
2
2
2
2, 49
2, 50
2
2
2

49

28 10/07/2011

3, 30 8/27/2010

2
2
2
2, 50
2, 19
3, 30 9/29/2010
2, 49
2
2
2, 49

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

Fitzgerald
Rockland
Starkville
Lebanon
Union
Hermitage

GA
MA
MS
OH
NJ
PA

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

$
$
$
$
$
$

28,000,000
78,158,000
44,000,000
13,400,000
10,000,000
100,000,000

Par
Par
Par
Par
Par
Par

4/22/2009
3/4/2011
10/21/2009
9/15/2011
9/9/2009

C&F Financial Corporation

West Point

VA

Preferred Stock w/ Warrants

$

20,000,000

Par

7/27/2011

1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009

North Central Bancshares, Inc.
Carolina Bank Holdings, Inc.
First Bancorp
First Financial Service Corporation
Codorus Valley Bancorp, Inc.
MidSouth Bancorp, Inc.
First Security Group, Inc.
Shore Bancshares, Inc.
The Queensborough Company
American State Bancshares, Inc.
Security California Bancorp
Security Business Bancorp
Sound Banking Company
Mission Community Bancorp
Redwood Financial Inc.
Surrey Bancorp
Independence Bank
Valley Community Bank
Rising Sun Bancorp
Community Trust Financial Corporation
GrandSouth Bancorporation
Texas National Bancorporation
Congaree Bancshares, Inc.
New York Private Bank & Trust Corporation
Home Bancshares, Inc.
Washington Banking Company
New Hampshire Thrift Bancshares, Inc.
Bar Harbor Bankshares
Somerset Hills Bancorp
SCBT Financial Corporation
S&T Bancorp
ECB Bancorp, Inc.

Fort Dodge
Greensboro
Troy
Elizabethtown
York
Lafayette
Chattanooga
Easton
Louisville
Great Bend
Riverside
San Diego
Morehead City
San Luis Obispo
Redwood Falls
Mount Airy
East Greenwich
Pleasanton
Rising Sun
Ruston
Greenville
Jacksonville
Cayce
New York
Conway
Oak Harbor
Newport
Bar Harbor
Bernardsville
Columbia
Indiana
Engelhard

IA
NC
NC
KY
PA
LA
TN
MD
GA
KS
CA
CA
NC
CA
MN
NC
RI
CA
MD
LA
SC
TX
SC
NY
AR
WA
NH
ME
NJ
SC
PA
NC

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

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

10,200,000
16,000,000
65,000,000
20,000,000
16,500,000
20,000,000
33,000,000
25,000,000
12,000,000
6,000,000
6,815,000
5,803,000
3,070,000
5,116,000
2,995,000
2,000,000
1,065,000
5,500,000
5,983,000
24,000,000
9,000,000
3,981,000
3,285,000
267,274,000
50,000,000
26,380,000
10,000,000
18,751,000
7,414,000
64,779,000
108,676,000
17,949,000

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

1/16/2009

First BanCorp

San Juan

PR

Common Stock w/ Warrants

$

424,174,000

Texas Capital Bancshares, Inc.
Yadkin Valley Financial Corporation

Dallas
Elkin

TX
NC

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

75,000,000
36,000,000

Par
Par

5/13/2009

1/16/2009

Carver Bancorp, Inc

New York

NY

Preferred Stock

$

18,980,000

Par

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

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

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

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

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

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

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

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

Capital Repayment
Amount (Loss) 6

Remaining Capital
Amount

Final Disposition

Remaining
Investment
Description

Final
Disposition
Date

Warrants
N/A
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants

5/27/2009
N/A

Warrants
N/A

R $

2,200,000
N/A

9/28/2011

Warrants

R $

526,604

R $
R $

341,000
290,000

R $
R $

150,000
100,000

R $
R $
R $

1,200,000
450,000
199,000

R $
R $

1,300,000
1,625,000

R $
R $
R $

250,000
275,000
1,400,000

A $

6,709,061

Disposition
Investment
Description

15

Final Disposition
Proceeds

Par

1/16/2009
1/16/2009

49

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

33

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

4

$
$
$
$
$

78,158,000
38,000,000
13,400,000
10,000,000
100,000,000

$
$
$
$
$

4

$

10,000,000

$

9/1/2011

50

$

65,000,000

$

0

Warrants

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

9/15/2011
7/14/2011

49

$
$

6,815,000
5,803,000

$
$

0
0

Preferred Stock 2
Preferred Stock 2

9/15/2011
7/14/2011

Preferred Stock
Preferred Stock

2, 7

8/18/2011
12/29/2010

49

$
$

2,995,000
2,000,000

$
$

0
0

Preferred Stock 2
2
Preferred Stock

8/18/2011
12/29/2010

Preferred Stock
Preferred Stock

2, 7

7/6/2011
9/8/2011
5/19/2010

49

$
$
$

24,000,000
9,000,000
3,981,000

$
$
$

0
0
0

Preferred Stock 2
Preferred Stock 2
2
Preferred Stock

7/6/2011
9/8/2011
5/19/2010

Preferred Stock
Preferred Stock
Preferred Stock

$
$
$
$
$
$

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

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

Warrants
Warrants
Warrants

4

$

75,000,000

$

0

Warrants

3/11/2010

Warrants

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
9/8/2011
2/11/2010

4
50

$
$
$

15,000,000
10,000,000
0

$
$
$

0
0
0

Preferred Stock 2
2
Preferred Stock
N/A

4/15/2009
9/8/2011
N/A

Preferred Stock
Preferred Stock
N/A

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

33
4
49
4

49

49

4

50
4

4
4
49
5
4
4

19

0
0
0
0
0
10,000,000

2, 7

2, 7

2, 7
2, 7
2, 7

9

9

-

N/A

R $

400,000

9

R $

430,797

2, 7

R $
R $

750,000
500,000
N/A

-

N/A

2, 7

1/16/2009

Community Bank of the Bay

Oakland

CA

Preferred Stock

$

1,747,000

Par

9/29/2010

4

$

1,747,000

$

0

N/A

N/A

N/A

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

Redwood Capital Bancorp
Syringa Bancorp
Idaho Bancorp
Puget Sound Bank

Eureka
Boise
Boise
Bellevue

CA
ID
ID
WA

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

$
$
$
$

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

Par
Par
Par
Par

7/21/2011

49

$

3,800,000

$

0

Preferred Stock 2

7/21/2011

Preferred Stock

2, 7

Preferred Stock w/ Exercised Warrants

$

5,658,000

Par

0
2,658,000
0

Preferred Stock 2
Preferred Stock 2
Preferred Stock 2

225,000

VA

$
$
$

R $

Vienna

4,500,000
3,000,000
2,658,000

2, 7

United Financial Banking Companies, Inc.

$
$
$

Preferred Stock

1/16/2009

8/11/2011
12/15/2010
9/15/2011

49

2, 49

2,7

R $

283,000

2
2
2

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

Dickinson Financial Corporation II
The Baraboo Bancorporation
Bank of Commerce

Kansas City
Baraboo
Charlotte

MO
WI
NC

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

$
$
$

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

Par
Par
Par

1/16/2009

State Bankshares, Inc.

Fargo

ND

$

50,000,000

Par

8/12/2009
6/29/2011

4

2

$
$

12,500,000
37,500,000

$
$

37,500,000
0

Preferred Stock 2
Preferred Stock 2

6/29/2011

Preferred Stock

2, 7

R $

2,500,000

2
2

1/16/2009
1/16/2009

BNCCORP, Inc.
First Manitowoc Bancorp, Inc.

Bismarck
Manitowoc

ND
WI

$
$

20,093,000
12,000,000

Par
Par

5/27/2009

4

$

12,000,000

$

Preferred Stock 2

5/27/2009

Preferred Stock

2, 7

R $

600,000

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

4
49

0

8/11/2011
9/15/2011

Preferred Stock

R $

190,000

33

Seller

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

2
2, 13 12/4/2009

Purchase Date

Purchase Details

Name of Institution

City

State

Investment Description

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

Investment Amount

Pricing
Mechanism

Capital
Repayment Date

Capital Repayment
Amount (Loss) 6

Remaining Capital
Amount

Final Disposition

Remaining
Investment
Description

Final
Disposition
Date

Disposition
Investment
Description

15

Final Disposition
Proceeds

-

N/A

1/16/2009

Southern Bancorp, Inc.

Arkadelphia

AR

Preferred Stock

$

11,000,000

Par

8/6/2010

4

$

11,000,000

$

0

N/A

N/A

N/A

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

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

Merriam
Austin
South Bend
Princeton
Gastonia
Sandusky
Wilmington
Los Angeles

KS
TX
IN
IL
NC
OH
DE
CA

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

$
$
$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par
Par
Par

7/20/2011
2/15/2011
12/29/2010

4

$
$
$

13,000,000
500,000
111,000,000

$
$
$

0
0
0

Preferred Stock 2
Warrants
Warrants

7/20/2011

Preferred Stock

36

4/22/2009

4

$

4,900,000

$

0

Preferred Stock

2

4/22/2009

Preferred Stock

2, 7

R $

245,000

12/23/2009

4

$

10,189,000

$

0

Preferred Stock

2

12/23/2009

Preferred Stock

2, 7

R $

509,000

12/8/2010

4

$

3,300,000

$

0

Preferred Stock 2

12/8/2010

Preferred Stock

2, 7

R $

165,000

7/21/2011

50

$

57,500,000

$

0

Preferred Stock 2

7/21/2011

Preferred Stock

2, 7

R $

2,875,000

9/8/2011
8/25/2011
12/16/2009
6/16/2010

49

Preferred Stock
Preferred Stock

2, 7

R $
R $

775,000
250,000

6/16/2010

Preferred Stock

2, 7

R $

162,000

2/2/2011

1/23/2009

2

1/23/2009

CalWest Bancorp

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

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.

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

FL

Preferred Stock w/ Exercised Warrants

$

5,677,000

Preferred Stock w/ Exercised Warrants

$

4,656,000

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

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

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

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

Warrants

650,000

R $

3,750,000

Par

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

3/9/2011

R $

Par

CA

4

2, 7

2

FPB Financial Corp.

Hammond

LA

Preferred Stock w/ Exercised Warrants

$

3,240,000

Par

Stonebridge Financial Corp.

West Chester

PA

Preferred Stock w/ Exercised Warrants

$

10,973,000

Peoples Bancorp Inc.

Marietta

OH

Preferred Stock w/ Warrants

$

39,000,000

Par

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

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

Madison
Sewell
Powhatan
Troy
Middleburg
Palo Alto
Chicago
Fresno
Quincy
Midland Park
Oak Ridge
Oakland
Middletown
Springfield
Annapolis
Downingtown
Alma
Visalia
Greer
Ojai
Ogallala

WI
NJ
VA
MI
VA
CA
IL
CA
CA
NJ
NC
MD
NJ
MO
MD
PA
MI
CA
SC
CA
NE

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

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

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

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

0
0
2,240,000
0

Preferred Stock
2
Preferred Stock
Preferred Stock 2
2
Preferred Stock

4

$

21,000,000

$

18,000,000

Preferred Stock w/
Warrants

12/23/2009

5

$

22,000,000

$

0

Warrants

8/18/2011

50

$

7,000,000

$

0

Warrants

9/28/2011

Warrants

R $

185,017

9/1/2011

49

$

10,000,000

$

0

Warrants

10/26/2011

Warrants

R $

107,398

8/11/2011

49

$

9,000,000

$

0

Warrants

10/26/2011

Warrants

R $

460,000

8/4/2011

49

$

11,750,000

$

0

Warrants

9/21/2011

Warrants

R $

458,000

7/21/2011

49

$

12,720,000

$

0

Preferred Stock

2, 7

R $

636,000

$

1,500,000

$

4,500,000

4

$

1,500,000

$

3,000,000

Preferred Stock 2
Preferred Stock w/
Exercised Warrants
Preferred Stock w/
Exercised Warrants

7/21/2011

4

6/16/2010

4

$

10,900,000

$

0

Preferred Stock 2

6/16/2010

Preferred Stock

2, 7

R $

545,000

8/18/2011

49

$

10,449,000

$

0

Preferred Stock 2

8/18/2011

Preferred Stock

2, 7

R $

522,000

8/11/2011

49

$

8,950,000

$

0

Preferred Stock

2

8/11/2011

Preferred Stock

2, 7

R $

450,000

9/15/2011
9/22/2011

50

$
$

110,000,000
3,674,000

$
$

0
0

Preferred Stock 2
2
Preferred Stock

9/15/2011
9/22/2011

Preferred Stock
Preferred Stock

2, 7

R $
R $

5,500,000
184,000

$

8,750,000

$

0

Preferred Stock 2

8/11/2011

Preferred Stock

2, 7

R $

438,000

2

8/4/2011

Preferred Stock

2, 7

R $

332,000

7/6/2011
4/21/2010
9/15/2011

Preferred Stock
Preferred Stock
Preferred Stock

2, 7

R $
R $
R $

290,000
200,000
500,000

4

9/8/2011
8/25/2011

2, 7

Par

1/30/2009

$
$
$
$

10/19/2011

1/23/2009
1/23/2009

15,500,000
5,000,000
1,000,000
2,240,000

7/6/2011

2
2

$
$
$
$

49

50
49

49

49
2
2
2
2, 49
2

1/30/2009

Beach Business Bank

Manhattan Beach

CA

Preferred Stock w/ Exercised Warrants

$

6,000,000

Par

3, 53
2
2
2, 49
2
2, 49
2
2, 50
2, 50
2
2, 49

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

Legacy Bancorp, Inc.
First Southern Bancorp, Inc.
Country Bank Shares, Inc.
Katahdin Bankshares Corp.
Rogers Bancshares, Inc.
UBT Bancshares, Inc.
Bankers' Bank of the West Bancorp, Inc.
W.T.B. Financial Corporation
AMB Financial Corp.
Goldwater Bank, N.A.
Equity Bancshares, Inc.

Milwaukee
Boca Raton
Milford
Houlton
Little Rock
Marysville
Denver
Spokane
Munster
Scottsdale
Wichita

WI
FL
NE
ME
AR
KS
CO
WA
IN
AZ
KS

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

$
$
$
$
$
$
$
$
$
$
$

5,498,000
10,900,000
7,525,000
10,449,000
25,000,000
8,950,000
12,639,000
110,000,000
3,674,000
2,568,000
8,750,000

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

1/30/2009

WashingtonFirst Bankshares, Inc. (WashingtonFirst
Reston
Bank)

VA

Preferred Stock w/ Exercised Warrants

$

6,633,000

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

Central Bancshares, Inc.
Hilltop Community Bancorp, Inc.
Northway Financial, Inc.

TX
NJ
NH

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

$
$
$

5,800,000
4,000,000
10,000,000

4

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

Houston
Summit
Berlin

50

8/11/2011

49

Par

8/4/2011

49

$

6,633,000

$

0

Preferred Stock

Par
Par
Par

7/6/2011
4/21/2010
9/15/2011

4

$
$
$

5,800,000
4,000,000
10,000,000

$
$
$

0
0
0

Preferred Stock 2
Preferred Stock 2
2
Preferred Stock

4
49

2, 7

2, 7
2, 7

34

Seller

Footnote
2, 49
2
2
2, 50

Purchase Date

Purchase Details

Name of Institution

City

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

Monument Bank
Metro City Bank
F & M Bancshares, Inc.
First Resource Bank
MidWestOne Financial Group, Inc.

Bethesda
Doraville
Trezevant
Exton
Iowa City

2/6/2009

Lakeland Bancorp, Inc.

Oak Ridge

State
MD
GA
TN
PA
IA

Investment Description

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

Investment Amount

Pricing
Mechanism

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

$
$
$
$
$

4,734,000
7,700,000
4,609,000
2,600,000
16,000,000

Par
Par
Par
Par
Par

Preferred Stock w/ Warrants

$

59,000,000

Capital
Repayment Date

Capital Repayment
Amount (Loss) 6

Remaining Capital
Amount

Final Disposition

Remaining
Investment
Description

Final
Disposition
Date

Disposition
Investment
Description

15

Final Disposition
Proceeds

8/11/2011

49

$

4,734,000

$

0

Preferred Stock 2

8/11/2011

Preferred Stock

2, 7

R $

237,000

9/15/2011
7/6/2011

50

$
$

2,600,000
16,000,000

$
$

0
0

Preferred Stock 2
Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants

9/15/2011
7/27/2011

Preferred Stock
Warrants

2, 7

R $
R $

130,000
1,000,000

Par

4

8/4/2010

2/6/2009

Coldwater

MI

Preferred Stock w/ Warrants

$

6,785,000

2/6/2009

The First Bancshares, Inc.

Hattiesburg

MS

Preferred Stock w/ Warrants

$

5,000,000

Par

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

$

20,000,000

$

39,000,000

4

$

20,000,000

$

19,000,000

9/29/2010

4

$

5,000,000

$

0

Warrants

8/13/2010

4

$

3,000,000

$

0

N/A

N/A

N/A

1/14/2011
3/16/2011

4

$
$

4,000,000
11,568,000

$
$

Preferred Stock 2
2
Preferred Stock

3/16/2011

Preferred Stock

2, 7

R $

778,000

8/4/2011

49

$

3,500,000

$

0

Preferred Stock 2

8/4/2011

Preferred Stock

2, 7

R $

175,000

9/24/2010

4

$

5,645,000

$

0

N/A

N/A

N/A

7/28/2011
7/28/2011

49

$
$

795,000
7,500,000

$
$

0
0

Preferred Stock 2
2
Preferred Stock

7/28/2011
7/28/2011

Preferred Stock
Preferred Stock

2, 7

$
$

8,700,000
3,345,000

$
$

0
0

Preferred Stock
2
Preferred Stock

2

2/16/2011
7/21/2011

Preferred Stock
Preferred Stock

2, 7

Par

2/6/2009
2/6/2009

30 9/29/2010

Monarch Community Bancorp, Inc.

4

3/16/2011

NJ

Par
Par

3, 30 8/13/2010
2

2/6/2009

PGB Holdings, Inc.

Chicago

IL

Preferred Stock

$

3,000,000

Par

2/6/2009

The Freeport State Bank

Harper

KS

Preferred Stock w/ Exercised Warrants

$

301,000

Par

2

2/6/2009

Stockmens Financial Corporation

Rapid City

SD

$

15,568,000

Par

2
2
2, 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 w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$
$
$
$

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

Par
Par
Par
Par

2/6/2009

Liberty Financial Services, Inc.

New Orleans

LA

Preferred Stock

$

5,645,000

Par

2/6/2009

Houston

TX

Preferred Stock w/ Exercised Warrants

$

3,072,000

Par

Bowling Green

VA

Preferred Stock

$

33,900,000

Par

Harrisburg
Bedford
Hopkinsville
Atlanta
Charleston
Salisbury
Moyock
Lebanon
Miramar Beach
Philadelphia

NE
NH
KY
GA
WV
NC
NC
TN
FL
PA

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

$
$
$
$
$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

Westwood

NJ

Preferred Stock w/ Exercised Warrants

$

3,756,000

Par

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

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

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

$
$
$
$

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

2/13/2009

State Capital Corporation

Greenwood

MS

Preferred Stock w/ Exercised Warrants

$

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

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

Greenville
Corning
Basin
Lamar
Santa Paula
Frontenac
Hartsville
Lynden

SC
AR
WY
CO
CA
MO
SC
WA

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

2/13/2009

First Choice Bank

Cerritos

CA

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

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

Ozark
Corbin
Festus
Bern
Spokane
Springfield
Clarksville
Devon

MO
KY
MO
KS
WA
MO
TN
PA

18

2/6/2009

2, 49
2, 49
2
2
2, 50
2
2, 34
2
2
2
2, 13 2/10/2010
2
49

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

Preferred Stock w/ Exercised Warrants

2/16/2011
7/21/2011

4

49

4
50

11,568,000
0

-

N/A

-

2, 7

2, 7

N/A

R $
R $

40,000
375,000

R $
R $

435,000
167,000

58 10/21/2011
2, 49
2, 49
2
2
2, 30 9/29/2010
2
2
2, 50
2
2
2
2
2, 62
2, 30 9/24/2010
2
2
2
2, 49
2
2, 50
2
2

34

$

1,742,850

$

0

N/A

N/A

N/A

34

-

10/19/2011

4

$

3,756,000

$

0

Preferred Stock 2

10/19/2011

Preferred Stock

2, 7

R $

188,000

9/15/2011

49

$

38,237,000

$

0

9/2/2009

4

$

41,863,000

$

11/18/2009

2/6/2009

12/3/2010

4

$

41,863,000

$

12/22/2010

4

$

17,000,000

$

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

Par
Par
Par
Par

9/15/2011
9/1/2011

49

$
$

4,797,000
4,400,000

$
$

Preferred Stock 2
Preferred Stock 2

9/15/2011
9/1/2011

Preferred Stock
Preferred Stock

2, 7

R $
R $

240,000
220,000

15,000,000

Par

9/29/2010

4

$

15,000,000

$

Preferred Stock 2

9/29/2010

Preferred Stock

R

$

750,000

$
$
$
$
$
$
$
$

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

7/21/2011

50

$

5,000,000

$

0

Preferred Stock 2

7/21/2011

Preferred Stock

R $

250,000

8/3/2011

62

$

18,000,000

$

0

Preferred Stock 2

8/3/2011

Preferred Stock

R $

900,000

Preferred Stock w/ Exercised Warrants

$

2,200,000

Par

4

$

2,200,000

$

0

N/A

9/24/2010

Preferred Stock

R

$

110,000

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

$
$
$
$
$
$
$
$

825,000
1,900,000
700,000
985,000
10,500,000
21,900,000
17,243,000
6,200,000

Par
Par
Par
Par
Par
Par
Par
Par

$
$

700,000
985,000

$
$

0
0

Preferred Stock 2
Preferred Stock 2

11/10/2009
9/1/2011

Preferred Stock
Preferred Stock

2, 7

R $
R $

35,000
50,000

$

21,900,000

$

0

Preferred Stock 2

8/18/2011

Preferred Stock

2, 7

R $

1,095,000

49

41,863,000
0
17,000,000

0
0

2, 7

N/A

2, 7,

0

30a

2, 7

2, 7
2, 7,

9/24/2010

11/10/2009
9/1/2011
8/18/2011

4
49

50

30a

2, 7

35

Seller

Purchase Details

Name of Institution

City

State

Footnote

Purchase Date

2

2/13/2009
2/20/2009

Northwest Commercial Bank
Royal Bancshares of Pennsylvania, Inc.

Lakewood
Narberth

27, 49, 50

2/20/2009

First Merchants Corporation

Muncie

IN

2, 25
2, 50
2, 49

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

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

Waukegan
Sonoma
Woodsville
Los Angeles

IL
CA
NH
CA

2, 30 9/29/2010
2
2
2
2
2
2
2
2
2, 49
2
2, 30 9/29/2010
2
2
2
2, 49
2
30 9/29/2010
14, 57
2
2, 49
2, 49
2, 49
2
2
2
2
2, 49
2
2
2
2
2
2, 49
2
2, 49
2, 30 9/29/2010
2, 49
2, 49
2, 50
2, 13 12/4/2009,
49
2, 49
2

WA
PA

Investment Description
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

Investment Amount
$
$
$
$
$
$
$
$

1,992,000
30,407,000
69,600,000
46,400,000
17,211,000
8,653,000
6,920,000
5,450,000

Pricing
Mechanism
Par
Par
Par
Par
Par
Par
Par
Par

Capital
Repayment Date

9/22/2011
9/22/2011

50

9/15/2011
9/1/2011

50

49

49

Capital Repayment
Amount (Loss) 6

Remaining Capital
Amount

Final Disposition

Remaining
Investment
Description

Final
Disposition
Date

$
$

69,600,000
46,400,000

$
$

0
0

6,920,000
5,450,000

$
$

0
0

Preferred Stock 2
2
Preferred Stock

15

Final Disposition
Proceeds

Warrants
Warrants

$
$

Disposition
Investment
Description

9/15/2011
9/1/2011

Preferred Stock
Preferred Stock

2, 7
2, 7

R $
R $

346,000
273,000

R

$

100,000

R $

625,000

2, 7,

2/20/2009

Lafayette Bancorp, Inc.

Oxford

MS

Preferred Stock w/ Exercised Warrants

$

1,998,000

Par

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

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

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

GA
AR
CA
WY
PA
WI
MN
AL
MO
GA

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

$
$
$
$
$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

9/29/2010

4

9/22/2011

49

$

1,998,000

$

$

12,500,000

$

0

0

Preferred Stock

2

Preferred Stock

2

9/29/2010

Preferred Stock

9/22/2011

Preferred Stock

30a

2, 7

2, 7,

2/20/2009

BancPlus Corporation

Ridgeland

MS

Preferred Stock w/ Exercised Warrants

$

48,000,000

Par

9/29/2010

4

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

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

Temple
Paris
Riverside
Tampa
Hoschton
Warsaw

TX
IL
CA
FL
GA
IN

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

$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par

9/22/2011
4/13/2011
6/9/2010

49

2/27/2009

First M&F Corporation

Kosciusko

MS

Preferred Stock w/ Warrants

$

30,000,000

Par

9/29/2010

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

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

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

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

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

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

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

2/27/2009

PSB Financial Corporation

Many

LA

Preferred Stock w/ Exercised Warrants

$

9,270,000

Par

$

48,000,000

$

0

Preferred Stock 2

9/29/2010

Preferred Stock

$
$
$

9,495,000
7,000,000
56,044,000

$
$
$

0
0
0

Preferred Stock
Preferred Stock 2
Warrants

2

9/22/2011
4/13/2011

Preferred Stock
Preferred Stock

2, 7

4

$

30,000,000

$

0

Warrants

8/4/2011
9/15/2011
9/22/2011

49

$
$
$

4,797,000
4,000,000
2,260,000

$
$
$

0
0
0

Preferred Stock 2
Preferred Stock 2
Preferred Stock 2

8/4/2011
9/15/2011
9/22/2011

Preferred Stock
Preferred Stock
Preferred Stock

2, 7

4/14/2010

4

$

731,000

$

0

Preferred Stock 2

4/14/2010

Preferred Stock

9/27/2011

49

$

19,891,000

$

0

Preferred Stock 2

9/27/2011

7/14/2010

4

$

651,000

$

0

Preferred Stock

2

7/21/2011

49

$

2,655,000

$

0

7/21/2011

49

$

11,800,000

$

0

Preferred Stock

9/29/2010

4

$

9,270,000

$

4
5

49
49

$

2,400,000

R $
R $

475,000
350,000

R $
R $
R $

240,000
200,000
113,000

2, 7

R $

37,000

Preferred Stock

2, 7

R $

995,000

7/14/2010

Preferred Stock

2, 7

R $

33,000

Preferred Stock 2

7/21/2011

Preferred Stock

2, 7

R $

133,000

2

7/21/2011

Preferred Stock

2, 7

R $

590,000

0

Preferred Stock 2

9/29/2010

Preferred Stock

R

$

464,000

0
0
0

2

Preferred Stock
Preferred Stock 2
2
Preferred Stock

9/15/2011
9/22/2011
9/15/2011

Preferred Stock
Preferred Stock
Preferred Stock

2, 7

R $
R $
R $

370,000
299,000
600,000

Preferred Stock

2

9/22/2011

Preferred Stock

2, 7

R $

27,000

Preferred Stock

2

7/21/2011

Preferred Stock

2, 7

R $

150,000

30a

2, 7

2, 7
2, 7

R

2, 7,
30a

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

Par
Par
Par

9/15/2011
9/22/2011
9/15/2011

49

$

541,000

Par

9/22/2011

49

$

541,000

$

0

$
$
$
$

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

Par
Par
Par
Par

7/21/2011

49

$

3,000,000

$

0

8/25/2011

50

$

100,000,000

$

0

Warrants

Preferred Stock w/ Warrants

$

16,500,000

Par

5/3/2011

42

$

6,000,000

$

0

N/A

N/A

N/A

GA

Preferred Stock

$

7,462,000

Par

8/13/2010

4

$

7,462,000

$

0

N/A

N/A

N/A

CA
TX
TX
MO
SC
TN
CO
TN
TX

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

$
$
$
$
$
$
$
$
$

6,000,000
13,533,000
11,000,000
12,000,000
15,349,000
1,881,000
5,500,000
4,967,000
10,000,000

Par
Par
Par
Par
Par
Par
Par
Par
Par

9/15/2011

49

$

13,533,000

$

0

Preferred Stock 2

9/15/2011

Preferred Stock

2, 7

R $

677,000

9/7/2011

62

$

1,881,000

$

0

Preferred Stock 2

9/7/2011

Preferred Stock

2, 7

R $

94,000

7/14/2011

49

$

10,000,000

$

0

Preferred Stock 2

7/14/2011

Preferred Stock

2, 7

R $

500,000

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

Avenue Financial Holdings, Inc.
Howard Bancorp, Inc.
FNB Bancorp

Nashville
Ellicott City
South San Francisco

TN
MD
CA

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

$
$
$

2/27/2009

The Victory Bancorp, Inc.
(The Victory Bank)

Limerick

PA

Preferred Stock w/ Exercised Warrants

50

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

Catskill Hudson Bancorp, Inc
Midtown Bank & Trust Company
HCSB Financial Corporation
First Busey Corporation

Rock Hill
Atlanta
Loris
Urbana

NY
GA
SC
IL

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

42 - 5/3/2011

3/6/2009

First Federal Bancshares of Arkansas, Inc.

Harrison

AR

3/6/2009

Citizens Bancshares Corporation

Atlanta

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

ICB Financial
First Texas BHC, Inc.
Farmers & Merchants Bancshares, Inc.
Blue Ridge Bancshares, Inc.
First Reliance Bancshares, Inc.
Merchants and Planters Bancshares, Inc.
First Southwest Bancorporation, Inc.
Germantown Capital Corporation, Inc.
BOH Holdings, Inc.

Ontario
Fort Worth
Houston
Independence
Florence
Toone
Alamosa
Germantown
Houston

3, 30 8/13/2010
2
2, 49
2
2
2
2, 62
2
2
2, 49

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

49
50

$
$
$

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

$
$
$

2, 7
2, 7

N/A
-

N/A

36

Seller

Footnote
2, 49
2
2
2
2
2
2
2
2
49
49

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

Purchase Date
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009

Purchase Details

Name of Institution
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.

City

State

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

OK
FL
FL
IN
FL
KS
FL
WI
GA
OH
CT
CA
IL
SC

Investment Description

Investment Amount

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

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

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

2,492,000
6,700,000
4,389,000
5,000,000
3,000,000
500,000
9,982,000
23,200,000
12,325,000
72,927,000
8,816,000
17,390,000
1,224,558,000
9,266,000

Pricing
Mechanism
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

Capital
Repayment Date

Capital Repayment
Amount (Loss) 6

Remaining Capital
Amount

Final Disposition

Remaining
Investment
Description

Final
Disposition
Date

Disposition
Investment
Description

9/15/2011

49

$

2,492,000

$

0

Preferred Stock 2

9/15/2011

Preferred Stock

8/25/2011
9/15/2011
4/21/2010

49

$
$
$

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

$
$
$

0
0
0

Warrants
Warrants
Warrants

7/7/2010

15

Warrants

49
4

2, 7

Final Disposition
Proceeds

R $

125,000

R $

172,000,000

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

$
$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par
Par

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

49

$
$
$

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

$
$
$

0
0
0

Preferred Stock
2
Preferred Stock
Preferred Stock 2

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

N/A

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

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

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

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

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

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

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

9/15/2011
9/22/2011

50

$
$

9,516,000
18,215,000

$
$

0
0

Preferred Stock 2
2
Preferred Stock

9/15/2011
9/22/2011

Preferred Stock
Preferred Stock

2, 7

2, 49
2, 49
2, 49
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

8/18/2011
8/4/2011
9/22/2011

49

$
$
$

20,000,000
17,836,000
4,500,000

$
$
$

0
0
0

Preferred Stock 2
2
Preferred Stock
Preferred Stock 2

8/18/2011
8/4/2011
9/22/2011

Preferred Stock
Preferred Stock
Preferred Stock

2, 7

7/21/2011
8/11/2011

50

$
$

700,000
4,000,000

$
$

0
0

Preferred Stock 2
2
Preferred Stock

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

10/26/2011

4

$

574,000

$

0

Preferred Stock 2

10/26/2011

Preferred Stock

2, 7

R $

29,000

2
2, 49
2
2
2
2
2
2

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

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

Kingwood
Frontenac
Glenwood Springs
Naples
Russellville
Irving
Bristow
Towson
Glen Ellen

TX
MO
CO
FL
AL
TX
OK
MD
VA

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

$
$
$
$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par
Par
Par
Par

10/19/2011
9/22/2011

4

$
$

7,723,000
3,700,000

$
$

0
0

Preferred Stock 2
2
Preferred Stock

10/19/2011
9/22/2011

Preferred Stock
Preferred Stock

2, 7

R $
R $

386,000
185,000

4/3/2009

Tri-State Bank of Memphis

Memphis

TN

Preferred Stock

$

2,795,000

Par

8/13/2010

4

$

2,795,000

$

0

N/A

N/A

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

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

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

MO
MO
IA
CO
TN
KS
AR
AL

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

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

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

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

9/15/2011

50

$

3,100,000

$

0

Preferred Stock

2

9/15/2011

Preferred Stock

2, 7

R $

155,000

8/31/2011

4

$

4,000,000

$

0

Preferred Stock 2

8/31/2011

Preferred Stock

2, 7

R $

200,000

2, 3a 11/13/2009
30 - 9/3/2010
2
2
2, 50
2, 49
2

2, 3, 30 8/13/2010
2, 50
2
2
2
2
2
2
2
2, 3
2
2
2
2

NJ
CA
IL
WI
IL
NC

4
4

49

49
49

49

49

2

N/A

2, 7
2, 7
2, 7

R $
R $
R $

-

2, 7

2, 7
2, 7

2, 7

2, 7

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

N/A

R $
R $

476,000
911,000

R $
R $
R $

1,000,000
892,000
225,000

R $
R $

40,000
200,000

-

N/A

37

Seller

Footnote
2, 49
2, 52
2
2
2

Purchase Date

Purchase Details

Name of Institution

City

State

Investment Description

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

Investment Amount

Pricing
Mechanism

Capital
Repayment Date

Capital Repayment
Amount (Loss) 6

Remaining Capital
Amount

Final Disposition

Remaining
Investment
Description

Final
Disposition
Date

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

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

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

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

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

8

4/24/2009

Frontier Bancshares, Inc.

Austin

TX

Subordinated Debentures w/ Exercised
Warrants

$

3,000,000

$
$
$
$
$

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

Par
Par
Par
Par
Par

$

6,100,000

Par

9,960,000

$

0

Preferred Stock 2

9/1/2011

7/28/2011

49

$

1,635,000

$

0

Preferred Stock 2

7/14/2011
9/8/2011

50

$
$

4,871,000
4,000,000

$
$

0
0

4

$

1,600,000

$

4

$

1,400,000

$

0

9/22/2011

50

$

3,194,000

$

10/5/2011

4

$

6,100,000

9/22/2011

49

$

49

15

Final Disposition
Proceeds

Preferred Stock

2, 7

R $

498,000

7/28/2011

Preferred Stock

2, 7

R $

82,000

Preferred Stock 2
Preferred Stock 2

7/14/2011
9/8/2011

Preferred Stock
Preferred Stock

2, 7

R $
R $

244,000
200,000

Subordinated
8
Debentures
Subordinated
Debentures 8

10/6/2010

Subordinated
Debentures 8

7

R $

150,000

0

Preferred Stock 2

9/22/2011

Preferred Stock

2, 7

R $

160,000

$

0

Subordinated
Debentures 8

10/5/2011

Subordinated
Debentures 8

7

R $

305,000

3,091,000

$

0

Preferred Stock 2

9/22/2011

Preferred Stock

2, 7

R $

155,000

7

R $

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

$

10/6/2010

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.

9/1/2011

11/24/2009

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

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

49

Disposition
Investment
Description

1,400,000

2
2
2, 50
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

$

10,750,000

Par

5/8/2009

Highlands Bancorp, Inc.
(Highlands State Bank)

Vernon

NJ

Preferred Stock w/ Exercised Warrants

$

3,091,000

Par

5/8/2009
5/8/2009

One Georgia Bank
Gateway Bancshares, Inc.

Atlanta
Ringgold

GA
GA

$
$

5,500,000
6,000,000

Par
Par

Freeport

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

$

3,000,000

Par

$

4,000,000

Par

$

13,644,000

Par

9/15/2011

49

$

13,644,000

$

0

Subordinated
Debentures 8

9/15/2011

Subordinated
Debentures 8

Subordinated Debentures

$

6,784,000

Par

8/13/2010

4

$

6,784,000

$

0

N/A

N/A

N/A

MI
NJ
OH
IL
AL
KS
TN
IL

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

$
$
$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par
Par
Par

$

4,862,000

$

0

9/8/2011

Preferred Stock

Subordinated Debentures

$

4,205,000

Par

4

$

4,205,000 $

0

N/A

N/A

N/A

$

5,586,000

Par

$

2,400,000

Par

$

1,100,000

Par

$

2,639,000

Par

9/8/2011

49

$

2,639,000

$

0

Subordinated
8
Debentures

9/8/2011

Subordinated
8
Debentures

$

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

8/18/2011

49

$

15,000,000

$

0

Preferred Stock 2

8/18/2011

9/22/2011

49

$

6,272,000

$

0

Preferred Stock 2

9/22/2011

$

20,400,000

Par

$

6,349,000

Par

$

2,993,000

Par

$

20,445,000

2, 7

Par

2, 13 8/31/2010,
49
2, 56
2
8

5/8/2009

Freeport Bancshares, Inc.

8

5/8/2009

Investors Financial Corporation of Pettis County, Inc. Sedalia

MO

8, 49

5/8/2009

Sword Financial Corporation

Horicon

WI

3, 8, 30 8/13/2010

5/8/2009

Premier Bancorp, Inc.

Wilmette

IL

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

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

Grand Rapids
Closter
Medina
Glen Ellyn
Huntsville
Overland Park
Cleveland
Rockford

2
2
2
2
2
2, 50
2
3, 8, 30 9/10/2010

IL

5/15/2009

IBC Bancorp, Inc.

Chicago

IL

8

5/15/2009

Boscobel Bancorp, Inc

Boscobel

WI

8

5/15/2009

Brogan Bankshares, Inc.

Kaukauna

WI

8

5/15/2009

Riverside Bancshares, Inc.

Little Rock

AR

8, 49

5/15/2009

Deerfield Financial Corporation

Deerfield

WI

8

5/15/2009

Market Street Bancshares, Inc.

Mt. Vernon

2, 49
2
2
2
2, 49
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

IL

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

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

9/8/2011

9/10/2010

Preferred Stock

2

-

2, 7

R $

-

682,000
N/A

243,000

N/A

7

R $

132,000

Preferred Stock

2, 7

R $

750,000

Preferred Stock

2, 7

R $

314,000

38

Seller

Footnote

Purchase Date

Purchase Details

Name of Institution

City

State

8

5/22/2009

United Bank Corporation

Barnesville

GA

49
2
2, 63
2
2
2, 49

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

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

New Albany
Arcadia
Aledo
Chillicothe
Granby
Burlington

IN
CA
IL
MO
CO
IA

8

5/29/2009

Fidelity Bancorp, Inc

Baton Rouge

LA

8

5/29/2009

Chambers Bancshares, Inc.

Danville

AR

2

6/5/2009

Covenant Financial Corporation

Clarksdale

MS

8

6/5/2009

First Trust Corporation

New Orleans

LA

Investment Description
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

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

Investment Amount

Pricing
Mechanism

$

14,400,000
19,468,000
1,800,000
4,114,000
24,990,000
3,076,000
12,000,000

Par
Par
Par
Par
Par
Par

$

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

Final
Disposition
Date

Disposition
Investment
Description

15

Final Disposition
Proceeds

Par

$

Final Disposition

Remaining
Investment
Description

Par

$

Remaining Capital
Amount

Par

$

Capital Repayment
Amount (Loss) 6

Par

$
$
$
$
$
$

Capital
Repayment Date

Par

9/15/2011
1/26/2011

49

9/1/2011

$
$

19,468,000
1,800,000

$
$

0
0

Preferred Stock

49

$

12,000,000

$

0

$

6,000,000 $

0

Preferred Stock

Preferred Stock 2
Subordinated
8
Debentures

4

10/19/2011
1/26/2011

Warrants
Preferred Stock

Preferred Stock 2

9/1/2011

Preferred Stock

2

9/29/2010

Preferred Stock

8/25/2011

Preferred Stock
Subordinated
8
Debentures

9/8/2011

Preferred Stock

N/A

N/A

9/21/2010

Warrants

Warrants

6/5/2009

OneFinancial Corporation

Little Rock

AR

$

17,300,000

Customers Bancorp, Inc.
(Berkshire Bancorp, Inc.)

Phoenixville

PA

Preferred Stock w/ Exercised Warrants

$

2,892,000

First Vernon Bancshares, Inc.

Vernon

AL

Preferred Stock w/ Exercised Warrants

$

6,000,000

Par

9/29/2010

4

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, 49

6/12/2009

First Financial Bancshares, Inc.

Lawrence

KS

$

3,756,000

Par

9/22/2011

49

$

3,756,000

$

0

8

6/12/2009

River Valley Bancorporation, Inc.

Wausau

WI

$

15,000,000

6/19/2009
6/19/2009

Merchants and Manufacturers Bank Corporation
RCB Financial Corporation

Joliet
Rome

IL
GA

$
$

3,510,000
8,900,000

Par
Par

9/8/2011

49

$

3,510,000

$

0

$

2,639,000
6,400,000
12,000,000
12,000,000
10,000,000
2,330,000

$

11,926,000

Par

4

$

11,926,000

$

0

N/A

$

15,000,000
3,400,000,000

Par

3/31/2010

4

$

3,400,000,000

$

0

Warrants

8/25/2011

49

$

$

200,000

R $

113,000

2, 7

R $

176,000

Par

$

R $

7

Par

Subordinated Debentures

2, 7

Par

$

245,000

Par

$

$

Par

$

R

Par

$

600,000

Par

$

R $

2, 7

Par

2, 49
2, 10

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

1,100,870
90,000

Par

6/12/2009

R $
R $

2, 7

Par

6/12/2009

2

8, 10
2, 60 09/19/2011
2, 10, 30 9/29/2010
2
2, 10
2, 49

2, 7,

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

6/26/2009

Veritex Holdings, Inc.
(Fidelity Resources Company)

Dallas

TX

Preferred Stock w/ Exercised Warrants

$

3,000,000

Par

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

Security Capital Corporation

Batesville

MS

Preferred Stock w/ Exercised Warrants

$

17,388,000

Par

9/29/2010

4

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

$

8/20/2010

4

$

12/15/2010

4

$

1,700,000

2

Par
Par

6/26/2009

Preferred Stock

9/22/2011

30a

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

Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants

7/30/2010

$

0

Preferred Stock

2

17,388,000 $

0

Preferred Stock

2

$

0

Preferred Stock

2

11,735,000 $

0

N/A

N/A

0

Subordinated
Debentures 8

12/15/2010

Subordinated
Debentures 8

3,000,000

8/25/2011

Preferred Stock

9/29/2010

Preferred Stock

8/18/2011

Preferred Stock

N/A

A $
2, 7

N/A

$

-

713,687,430

R $

150,000

R

$

522,000

R $

375,000

2, 7,

2, 10, 30 9/29/2010
2
2, 50
2, 10
2, 3, 10, 30 8/20/2010
2, 41 3/30/2011
2, 41 3/30/2011
2

6/26/2009

M&F Bancorp, Inc.

Durham

NC

Preferred Stock

$

11,735,000

Par

6/26/2009

Metropolitan Bank Group, Inc.

Chicago

IL

Preferred Stock w/ Exercised Warrants

$

74,706,000

Par

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

Par

6/26/2009

8

6/26/2009

8

IL

Preferred Stock w/ Exercised Warrants

$

7,186,000

Dalton

GA

$

2,986,000

Chicago

St. Cloud

MN

$

24,900,000

Signature Bancshares, Inc.

Dallas

TX

$

1,700,000

Par

8

6/26/2009

Fremont Bancorporation

Fremont

CA

$

35,000,000

6/26/2009

Alliance Financial Services Inc.

Saint Paul

MN

$

12,000,000

Par

7/10/2009

Lincoln National Corporation

Radnor

PA

Preferred Stock w/ Warrants

$

950,000,000

Par

6/30/2010

4

$

950,000,000

$

0

Warrants

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

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

$
$
$
$

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

Par
Par
Par
Par

8/18/2011
9/15/2011

49

$
$

13,669,000
11,000,000

$
$

0
0

Preferred Stock
Preferred Stock 2

N/A

Par

8

-

Par

6/26/2009

2, 7

Par

Stearns Financial Services, Inc.

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

2, 10, 49
2, 49
2
2, 3

6/26/2009

7,500,000

30a

49

9/16/2010
2

Preferred Stock
Preferred Stock

R $

85,000

A $

216,620,887

2, 7

R $
R $

410,000
550,000

Warrants

8/18/2011
9/15/2011

7

2, 7

39

Seller

Purchase Details

Name of Institution

City

State

Footnote

Purchase Date

8

7/17/2009

First South Bancorp, Inc.

Lexington

TN

8

7/17/2009

Great River Holding Company

Baxter

MN

8, 10

7/17/2009

Plato Holdings Inc.

Saint Paul

MN

2, 10
2

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

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

Elkin
Kingman
Tampa

NC
AZ
FL

8

7/24/2009

First American Bank Corporation

Elk Grove Village

IL

2

7/31/2009

Chicago Shore Corporation

Chicago

IL

8, 10, 49

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

8

8/21/2009

AmFirst Financial Services, Inc.

McCook

NE

2, 3
2, 49
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

Investment Description
Subordinated Debentures w/ Exercised
Warrants

8, 10, 50

8/28/2009

TCB Corporation

Greenwood

SC

8, 10, 49

9/4/2009

The State Bank of Bartley

Bartley

NE

49

9/11/2009

Pathfinder Bancorp, Inc.

Oswego

NY

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

9/11/2009

Community Bancshares of Mississippi, Inc.

Brandon

MS

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

9/25/2009

Heritage Bankshares, Inc.

Norfolk

VA

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

Investment Amount

Pricing
Mechanism

Capital
Repayment Date

Capital Repayment
Amount (Loss) 6

9/28/2011

4

$

Par

9/1/2011

49

Par
Par
Par
Par

8/25/2011

49

9/22/2011

49

$

50,000,000

Par

$

8,400,000
2,500,000
13,312,000
3,872,000
20,471,000
50,000,000
7,000,000
3,742,000

$
$
$
$

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

$

5,000,000
3,223,000
20,699,000
16,015,000

Par
Par
Par

Subordinated
Debentures w/
Exercised Warrants

Par

$
$
$

13,125,000

$

$

3,742,000

$

0

$

20,000,000

$

0

Subordinated
Debentures 8
Preferred Stock 2

8/25/2011

Subordinated
Debentures 8
Preferred Stock

$

20,699,000

$

0

Preferred Stock 2

9/22/2011

Preferred Stock

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

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

9/25/2009

GulfSouth Private Bank

9/25/2009

Steele Street Bank Corporation

8, 10, 50

9,720,000

Par

9/8/2011

50

$

9,720,000

$

0

$

1,697,000

Par

9/22/2011

49

$

1,697,000

$

0

$

6,771,000

Par

9/1/2011

49

$

6,771,000

$

0

Preferred Stock w/ Exercised Warrants

$

52,000,000

Par

9/29/2010

4

$

52,000,000 $

0

Preferred Stock 2

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

3/16/2011

4

10,103,000

$

2,606,000

$

50

$

7,497,000

$

0

7/30/2010

4

$

14,000,000

$

0

9/1/2011

50

$

11,019,000

$

0

R $

112,000

R $

1,000,000

2, 7

R $

1,030,000

7

R $

292,000

7

R $

51,000

Preferred Stock 2

9/8/2011
9/22/2011

Subordinated
Debentures 8
Subordinated
8
Debentures

7
2, 7

Par
Par

$

9/1/2011

2, 7,

2

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

$

Subordinated
Debentures 8
Subordinated
8
Debentures
Warrants

8/11/2011

2, 30 9/29/2010
2, 10
2, 10, 50

Final Disposition
Proceeds

Par

$

15

Par

$

Disposition
Investment
Description

Par
Par
Par

$

Final Disposition
Final
Disposition
Date

Par

$
$
$

36,875,000

Remaining
Investment
Description

Par

$

Remaining Capital
Amount

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

$

3,300,000

$

2,443,320

Subordinated Debentures

$

14,000,000

Par

Destin

FL

$

7,500,000

CO

$

11,019,000

Par

Preferred Stock
Subordinated
Debentures 8

8/11/2011

Preferred Stock

N/A

N/A

9/1/2011

Subordinated
Debentures 8

R

$

2,600,000

2, 7

R $

30a

R

$

375,000

2, 7

R $

303,000

N/A

Subordinated
Debentures 8

30a

71,000

Par

Denver

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

Preferred Stock w/
Exercised Warrants

8/25/2011
9/17/2010

Preferred Stock

Par

MS

7,497,000

Preferred Stock 2
Subordinated
Debentures 8

9/29/2010

Par

-

7

R $

N/A

331,000

40

Seller

Footnote

Purchase Date

2, 10, 49
2, 10

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

Purchase Details

Name of Institution
Premier Financial Bancorp, Inc.
Providence Bank
Regents Bancshares, Inc.

City
Huntington
Rocky Mount
Vancouver

State
WV
NC
WA

8, 50

10/23/2009

Cardinal Bancorp II, Inc.

Washington

MO

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

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

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

Asheboro
Reston
Trezevant
Evansville

NC

8, 10

11/13/2009

Community Pride Bank Corporation

Ham Lake

MN

2, 10a
2, 10
2, 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

CA
MD
TX
IL
MA

8

12/11/2009

Nationwide Bankshares, Inc.

West Point

NE

2, 10a, 49
2, 10a, 49
2, 10a, 49
2, 10a
2, 10a
2, 10a, 49
2, 10a
2
2, 10, 49
2, 49
2, 10a, 49
2, 10a, 49
2, 10a
2, 10a
2, 10a, 49
2, 10
2, 10a, 30 9/24/2010
2, 10a, 13 8/31/2010,
49
2, 10a, 49
2, 10a, 49
2, 10a
2, 10
2, 10
2

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

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

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

VA
TN
IN

IL
CA
MN
IL

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

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

Investment Amount
$
$
$

Treasury Investment Remaining
After Capital Repayment

Capital Repayment Details

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

Pricing
Mechanism
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
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

9/15/2011

49

Capital Repayment
Amount (Loss) 6
$

4,000,000

$

Final Disposition

Remaining
Investment
Description

Final
Disposition
Date

0

Preferred Stock 2

9/15/2011

Preferred Stock

9/8/2011

Subordinated
8
Debentures

Remaining Capital
Amount

Disposition
Investment
Description

9/8/2011

50

$

6,251,000

$

0

Subordinated
8
Debentures

8/4/2011

49

$

6,842,000

$

0

N/A

N/A

50

$

6,000,000

$

0

Preferred Stock 2

8/18/2011

Preferred Stock

12/29/2010

4

$

2,000,000

$

0

9/8/2011
9/1/2011
9/15/2011

49

$
$
$

6,319,000
6,000,000
2,417,000

$
$
$

0
0
0

Subordinated
Debentures 8
N/A
N/A
N/A

9/22/2011

49

$

1,505,000

$

0

7/14/2011
9/22/2011
7/14/2011
7/28/2011

49

$
$
$
$

6,056,000
1,300,000
4,640,000
1,744,000

$
$
$
$

9/22/2011

49

$

2,997,000

9/24/2010

4

$

Final Disposition
Proceeds

2, 7

R $

175,000

7

R $

313,000

N/A

8/18/2011

15

Par

$
$
$
$
$
$
$
$
$

Capital
Repayment Date

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

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
2,836,000

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

-

N/A

2, 7

R $

7

R $

N/A
N/A
N/A

Subordinated
Debentures 8
N/A
N/A
N/A

Preferred Stock 2

9/22/2011

Preferred Stock

2, 7

R $

0
0
0
0

Preferred Stock 2
2
Preferred Stock
N/A
N/A

7/14/2011
9/22/2011
N/A
N/A

Preferred Stock
Preferred Stock
N/A
N/A

2, 7

R $
R $
-

$

0

N/A

N/A

N/A

2,836,000

$

0

N/A

N/A

N/A

$

2,359,000

$

0

N/A

N/A

N/A

$
$

9,698,000
3,500,000

$
$

0
0

Preferred Stock 2
2
Preferred Stock

7/21/2011
7/21/2011

Preferred Stock
Preferred Stock

38

$

650,000

$

0

N/A

N/A

N/A

N/A

N/A

N/A

9/22/2011

Preferred Stock

300,000

49
49

49
49
49

12/22/2009

First Choice Bank

12/22/2009

Highlands Bancorp, Inc.
(Highlands State Bank)

Vernon

NJ

Preferred Stock

$

2,359,000

Par

9/22/2011

49

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

Medallion Bank
Catskill Hudson Bancorp, Inc
TriSummit Bank
Atlantic Bancshares, Inc.
Union Financial Corporation
Mainline Bancorp, Inc.

Salt Lake City
Rock Hill
Kingsport
Bluffton
Albuquerque
Ebensburg

UT
NY
TN
SC
NM
PA

$
$
$
$
$
$

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

Par
Par
Par
Par
Par
Par

7/21/2011
7/21/2011

49

$

3,035,000

Par

$
$

4,567,000
1,508,000

12/29/2010

-

2, 7

100,000
N/A
N/A
N/A

34,000

182,000
65,000
N/A
N/A

N/A

Par
Par

8, 10, 38

12/29/2009

FBHC Holding Company

Boulder

CO

2, 10a
2, 10a
2, 10a, 30 9/29/2010
2, 10a
2, 10a
2, 10a, 49

12/29/2009
12/29/2009

Western Illinois Bancshares Inc.
DeSoto County Bank

Monmouth
Horn Lake

IL
MS

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

12/29/2009

Lafayette Bancorp, Inc.

Oxford

MS

Preferred Stock

$

2,453,000

Par

9/29/2010

4

$

2,453,000

$

0

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

$
$
$

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

Par
Par
Par

9/22/2011

49

$

4,000,000

$

0

$

204,943,827,320

Total Repaid **

$

184,957,051,563

Losses***

$

N/A
N/A

2, 7

R $
R $

55,000
113,000

(2,618,482,294)

$

-

17,368,293,463

Preferred Stock w/ Exercised Warrants
Total Purchase Amount *

3/9/2011

TOTAL TREASURY CAPITAL PURCHASE PROGRAM (CPP) OUTSTANDING INVESTMENT AMOUNT

49

Preferred Stock

2

2, 7

N/A

-

N/A

2, 7

R $

92,000

Total Warrant Proceeds****

$

7,645,109,613

* 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.

41

1a/ This transaction was included in previous Transaction Reports with Merrill Lynch & Co., Inc. listed as the qualifying institution and a 10/28/2008 transaction date, footnoted to indicate that settlement was deferred pending merger. The purchase of Merrill Lynch by Bank of America was completed on 1/1/2009, and this transaction under the CPP
1b/ The warrant disposition proceeds amount are stated pro rata in respect of the CPP investments in Bank of America Corporation that occurred on 10/28/2008 and 1/9/2009. The total gross disposition proceeds from CPP warrants on 3/3/2010 was $310,571,615, consisting of $186,342,969 and $124,228,646. Proceeds from the disposition of TIP
warrants on 3/3/2010 appear on a following page of this report.
2/ Privately-held qualified financial institution; Treasury received a warrant to purchase additional shares of preferred stock (unless the institution is a CDFI), which it exercised immediately.
3/ To promote community development financial institutions (CDFIs), Treasury does not require warrants as part of its investment in certified CDFIs when the size of the investment is $50 million or less.
3a/ Treasury cancelled the warrants received from this institution due to its designation as a CDFI.
4/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009.
5/ Redemption pursuant to a qualified equity offering.
6/ This amount does not include accrued and unpaid dividends, which must be paid at the time of capital repayment.
7/ The proceeds associated with the disposition of this investment do not include accrued and unpaid dividends.
8/ Subchapter S corporation; Treasury received a warrant to purchase additional subordinated debentures (unless the institution is a CDFI), which it exercised immediately.
9/ In its qualified equity offering, this institution raised more capital than Treasury’s original investment, therefore, the number of Treasury’s shares underlying the warrant was reduced by half.
10/ This institution participated in the expansion of CPP for small banks.
10a/ This institution received an additional investment through the expansion of CPP for small banks.
11/ Treasury made three separate investments in Citigroup Inc. (Citigroup) under the CPP, Targeted Investment Program (TIP), and Asset Guarantee Program (AGP) for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange up to $25 billion of Treasury's investment in Fixed Rate Cumulative Perpetual
Preferred Stock, Series H (CPP Shares) "dollar for dollar" in Citigroup's Private and Public Exchange Offerings. On 7/23/2009 and 7/30/2009, Treasury exchanged a total of $25 billion of the CPP shares for Series M Common Stock Equivalent (“Series M”) and a warrant to purchase shares of Series M. On 9/11/2009, Series M automatically converted
to 7,692,307,692 shares of common stock and the associated warrant terminated on receipt of certain shareholder approvals.
12/ On 8/24/2009, Treasury exchanged its series C preferred stock issued by Popular, Inc. for a like amount of non tax-deductible trust preferred securities issued by Popular Capital Trust III, administrative trustee for Popular, Inc. Popular, Inc. paid a $13 million exchange fee in connection with this transaction.
13/ This institution converted to a bank holding company structure and Treasury exchanged its securities for a like amount of securities that comply with the CPP terms applicable to bank holding companies. The institution in which Treasury's original investment was made is shown in parentheses.
14/ As of the date of this report, this institution is in bankruptcy proceedings.
15/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution, and "A" represents the proceeds to Treasury, before underwriting fees and selling expenses, from a sale by Treasury in a registered public offering of the warrants issued by the financial institution.
16/ On 12/10/2009, the bankruptcy reorganization plan of CIT Group Inc. became effective and Treasury's preferred stock and warrant investment were extinguished and replaced by contingent value rights (CVRs). On 2/8/2010, the CVRs expired without value as the terms and conditions for distribution of common shares to holders of CVRs were
17/ On 12/11/2009, Treasury exchanged its series A preferred stock issued by Superior Bancorp, Inc. for a like amount of non tax-deductible Trust Preferred Securities issued by Superior Capital Trust II, administrative trustee for Superior Bancorp.
18/ On 2/1/2010, following the acquisition of First Market Bank (First Market) by Union Bankshares Corporation (the acquiror), the preferred stock and exercised warrants issued by First Market on 2/6/2009 were exchanged for a like amount of securities of the acquiror in a single series but with a blended dividend rate equivalent to those of Treasury's
19/ On 2/11/2010, Pacific Coast National Bancorp dismissed its bankruptcy proceedings with no recovery to any creditors or investors, including Treasury, and the investment was extinguished.
20/ On 3/8/2010, Treasury exchanged its $84,784,000 of preferred stock in Midwest Banc Holdings, Inc. (MBHI) for $89,388,000 of mandatory convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $84,784,000, plus $4,604,000 of capitalized previously accrued and unpaid dividends. Subject to the fulfillment by
MBHI of the conditions related to its capital plan, the MCP may be converted to common stock.
21/ On 3/30/2010, Treasury exchanged its $7,500,000 of subordinated debentures in GulfSouth Private Bank for an equivalent amount of preferred stock, in connection with its conversion from a Subchapter S-Corporation, that comply with the CPP terms applicable to privately held qualified financial institutions.
22/ On 4/16/2010, Treasury exchanged its $72,000,000 of preferred stock in Independent Bank Corporation (Independent) for $74,426,000 of mandatory convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $72,000,000, plus $2,426,000 of capitalized previously accrued and unpaid dividends. Subject to the
fulfillment by Independent of the conditions related to its capital plan, the MCP may be converted to common stock.
23/ Treasury received Citigroup common stock pursuant to the June 2009 Exchange Agreement between Treasury and Citigroup which provided for the exchange into common shares of the preferred stock that Treasury purchased in connection with Citigroup's participation in the Capital Purchase Program (see note 11). On April 26, 2010, Treasury
gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on May 26, 2010. On
May 26, 2010, Treasury again gave Morgan Stanley discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on June 30, 2010. On July
23, 2010, Treasury again gave Morgan Stanley discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on September 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on September 30, 2010.
On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common stock from time to time during the period ending on December 31, 2010 (or upon completion of the sale), which plan was terminated on
December 6, 2010. All such sales were generally made at the market price. On December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. See "Capital Purchase Program - Citigroup, Inc., Common Stock Disposition" on following page for the actual number of shares sold by Morgan Stanley, the
weighted average price per share and the total proceeds to Treasury from all such sales during those periods.
24/ On 8/26/2010, Treasury completed the exchange of its $303,000,000 of preferred stock in Sterling Financial Corporation (Sterling) for a like amount of mandatorily convertible preferred Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Sterling entered into on 4/29/2010. Since Sterling also fulfilled the
conversion conditions set forth in the Certificate of Designations for the MCP, including those related to its capital plan, Treasury’s $303,000,000 of MCP was subsequently, as of 8/26/2010, converted into 378,750,000 shares of common stock.
25/ On 8/20/2010, Sonoma Valley Bank, Sonoma, CA, the banking subsidiary of Sonoma Valley Bancorp, was closed by the California Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
26/ On 9/30/2010, Treasury completed the sale of all preferred stock and warrants issued by South Financial Group, Inc. to Toronto-Dominion Bank (TD) at an aggregate purchase price of $130,179,218.75 for the preferred stock and $400,000 for the warrants, pursuant to the terms of the agreement between Treasury and TD entered into on
5/18/2010.
27/ On 6/30/2010, Treasury exchanged $46,400,000 of its series A preferred stock in First Merchants Corporation for a like amount of non tax-deductible Trust Preferred Securities issued by First Merchants Capital Trust III.
28/ On 7/20/2010, Treasury completed the exchange of its $400,000,000 of preferred stock in First BanCorp for $424,174,000 of mandatorily convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $400,000,000, plus $24,174,000 of capitalized previously accrued and unpaid dividends. On 10/07/2011, 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 32,941,797 shares of common stock of First BanCorp. Treasury received all accrued and previously unpaid dividends on the MCP at the time of the conversion. First BanCorp has agreed to have a Treasury
observer 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.

42

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.
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 10/21/2011, Treasury completed the exchange of all FNB United Corp. ("FNB United") preferred stock and warrants held by Treasury for 108,555,303 shares of FNB United common stock and an amended and restated warrant, pursuant to the terms of the agreement between Treasury and FNB United entered into on 08/12/2011.
59/ On 9/7/2011, Treasury completed the sale of all Green Bankshares, Inc. preferred stock held by Treasury and the related Warrant to North American Financial Holdings, Inc. ("NAFH") for an aggregate purchase price of $68,700,000.00, pursuant to the terms of the agreement between Treasury and NAFH entered into on 9/6/2011.
60/ As a result of the acquisition of Berkshire Bancorp, Inc. (the acquired company) by Customers Bancorp, Inc. (the acquiror), the preferred stock and exercised warrants issued by the acquired company on 6/12/2009 were exchanged for a like amount of securities of the acquiror plus accrued and previously unpaid dividends, pursuant to the terms of
an agreement among Treasury, the acquired company and the acquiror entered into on 9/16/2011.
61/ On 9/23/2011, Citizens Bank of Northern California, Nevada City, California, the banking subsidiary of Citizens Bancorp, was closed by the California Department of Financial Institutions, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
62/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 in connection with the institution’s participation in the Small Business Lending Fund, which occurred at a later date.
63/ On 10/14/2011, Country Bank, Aledo, Illinois, the banking subsidiary of CB Holding Corp., was closed by the Illinois Department of Financial and Professional Regulation - Division of Banking, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
64/ On 10/21/2011, Treasury completed the sale of all Santa Lucia Bancorp preferred stock and warrants held by Treasury to CCI One Acquisition Corporation ("CCI") for an aggregate purchase price of $2,800,000.00, pursuant to the terms of the agreement between Treasury and CCI entered into on 10/20/2011.

43

CAPITAL PURCHASE PROGRAM - CITIGROUP, INC.
COMMON STOCK DISPOSITION

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

Pricing Mechanism

6

Number of Shares

Proceeds

7

1

$4.1217

1,500,000,000

$

6,182,493,158

$3.8980

1,108,971,857

$

4,322,726,825

$3.9090

1,500,000,000

$

5,863,489,587

$4.2609

1,165,928,228

$

4,967,921,811

$4.3500

2,417,407,607

$

10,515,723,090

2
3
4
5

12/6/2010

Total Proceeds:

$31,852,354,471

1/ On April 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occurred on May 26, 2010.
2/ On May 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occurred on June 30, 2010.
3/ On July 23, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on September 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occured on September 30, 2010.
4/ On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of
common stock from time to time during the period ending on December 31, 2010 (or upon completion of the sale), which plan was terminated on December 6, 2010.
5/ On December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. Closing of the offering is subject to the fulfillment of certain closing conditions.
6/ The price set forth is the weighted average price for all sales of Citigroup, Inc. common stock made by Treasury over the course of the corresponding period.
7/ Amount represents the gross proceeds to Treasury.

44

COMMUNITY DEVELOPMENT CAPITAL INITIATIVE

Seller

Footnote Purchase Date
1
1, 2
1, 2
1
1
2a
1
1
1
1
2a
1
1, 3
1
1
1, 2

1
1, 2
1

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

7/30/2010
7/30/2010
8/6/2010
8/13/2010
8/13/2010
9/17/2010
8/13/2010
8/13/2010
8/13/2010
8/20/2010
9/24/2010
8/20/2010
8/27/2010
9/3/2010
9/3/2010
9/3/2010
9/10/2010
9/17/2010
9/17/2010
9/17/2010
9/17/2010
9/17/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010

Name of Institution

Purchase Details

City

State

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

Belzoni
St. Paul
Arkadelphia
Wilmette
Atlanta

MS
MN
AR
IL
GA

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

Chicago
Brooklyn
Memphis
Sun Valley

IL
NY
TN
CA

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

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

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

Amount from CPP

Investment Description
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Subordinated Debentures
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Common Stock
Subordinated Debentures
Preferred Stock
Preferred Stock
Subordinated Debentures
Preferred Stock
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Preferred Stock
Preferred Stock
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

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

14,000,000
11,926,000
11,000,000
6,784,000
7,462,000
3,000,000
17,000,000
2,795,000
5,500,000
11,735,000
18,980,000
10,300,000
6,000,000
4,205,000
7,875,000
5,645,000
5,146,000
18,000,000
1,747,000
5,000,000
50,400,000
30,000,000
15,750,000
4,551,000
9,734,000
54,600,000
6,245,000
17,910,000
-

Disposition Details

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

10,189,000
22,800,000
4,379,000
4,836,000
3,881,000
5,689,000
4,000,000
2,313,000
12,123,000
30,514,000
-

Investment Amount
$
$
$
$

14,000,000
22,115,000
33,800,000
6,784,000

$
$
$
$

11,841,000
3,000,000
17,000,000
2,795,000

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

10,336,000
11,735,000
18,980,000
3,154,000
10,300,000
6,000,000
8,086,000
5,781,000
5,457,000
4,520,000
300,000
7,875,000
11,334,000
5,146,000
3,372,000
1,915,000
898,000
2,500,000
283,000
1,657,000
10,000
145,000
424,000
2,234,000
435,000
743,000
1,000,000
75,000
153,000
2,500,000
2,799,000
273,000
2,650,000
1,096,000
1,600,000
2,828,000
350,000
8,044,000
22,000,000
4,060,000
17,123,000
80,914,000
30,000,000
15,750,000
4,551,000
9,734,000
54,600,000
6,245,000
17,910,000
5,250,000

Pricing
Mechanism

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

45

Seller

Footnote Purchase Date
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010

Name of Institution

City

State

Amount from CPP

Investment Description

Disposition Details

Additional Investment

Investment Amount

Bay Springs
Okolona
Lakewood
New York
Bronx
Shreveport
Springhill

MS
MS
NY
NY
NY
LA
LA

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

$
$
$
$
$
$
$

-

$
$
$
$
$
$
$

-

$
$
$
$
$
$
$

New York

NY

Subordinated Debentures

$

-

$

-

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

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

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

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

-

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

-

Pricing
Mechanism

7,922,000
3,297,000
1,709,000
14,000
502,000
2,646,000
6,300,000

$

57,000
325,000
7,000
450,000
3,260,000
1,091,000
1,000,000
295,000
1,100,000
1,522,000
30,000
350,000
100,000
9,278,000
100,000
1,229,000
31,000
698,000
300,000

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

570,073,000

Remaining Investment
Amount

Par

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

Amount

Date

Par
Par
Par
Par
Par
Par
Par

Total Purchase Amount $

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

The Magnolia State Corporation
Bancorp of Okolona, Inc.
Southern Chautauqua Federal Credit Union
Fidelis Federal Credit Union
Bethex Federal Credit Union
Shreveport Federal Credit Union
Carter Federal Credit Union
UNITEHERE Federal Credit Union
(Workers United Federal Credit Union)
North Side Community Federal Credit Union
East End Baptist Tabernacle Federal Credit Union
Community Plus Federal Credit Union
Border Federal Credit Union
Opportunities Credit Union
First Legacy Community Credit Union
Union Settlement Federal Credit Union
Southside Credit Union
D.C. Federal Credit Union
Faith Based Federal Credit Union
Greater Kinston Credit Union
Hill District Federal Credit Union
Freedom First Federal Credit Union
Episcopal Community Federal Credit Union
Vigo County Federal Credit Union
Renaissance Community Development Credit Union
Independent Employers Group Federal Credit Union
Brooklyn Cooperative Federal Credit Union

Purchase Details

Total Capital Repayment Amount

TOTAL TREASURY COMMUNITY DEVELOPMENT INITIATIVE (CDCI) INVESTMENT AMOUNT

$

$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.
3/ On 10/28/2011, Treasury completed the exchange of all Carver Bancorp, Inc. ("Carver") preferred stock held by Treasury for 2,321,286 shares of Carver common stock, pursuant to the terms of the agreement between Treasury and Carver entered into on 06/29/2011. Accrued and previously unpaid dividends were paid on the date of the
exchange.

46

AUTOMOTIVE INDUSTRY FINANCING PROGRAM

Exchange/Transfer/Other Details

Initial Investment

City, State

Date

Transaction Type

12/29/2008

Purchase

Seller

Description
Preferred Stock w/
Exercised Warrants

GMAC

Pricing
Mechanism

Amount
$

5,000,000,000

Par

$

7,500,000,000

Par

22

12/30/2009

22,
26

12/30/2010

5/21/2009

Purchase

GMAC

Convertible Preferred Stock
w/ Exercised Warrants

12/30/2009

Purchase

GMAC

Convertible Preferred Stock
w/ Exercised Warrants

$

1,250,000,000

Par

12/30/2009

Purchase

GMAC

Trust Preferred Securities w/
$
Exercised Warrants

2,540,000,000

Purchase

$

884,024,131

Par

12/31/2008

Purchase

$

13,400,000,000

Par

4/22/2009

Purchase

$

2,000,000,000

Par

12/30/2009

Par

12/29/2008

GMAC
(Ally)

Date

Detroit, MI

General Motors
Corporation
General Motors
Corporation
General Motors
Corporation

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

3/1/2011
2

5/29/2009
7/10/2009

4

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

Payment or Disposition1

Treasury Investment After Exchange/Transfer/Other

Pricing
Mechanism

Amount

Obligor

$

5,000,000,000

N/A

$

3,000,000,000

5,500,000,000

N/A

2,670,000,000

N/A

27 GMAC (Ally)

$

884,024,131

N/A

$ 13,400,000,000

N/A

$

N/A

Convertible
Preferred Stock

Date

Type

Amount/ Proceeds

Remaining
Investment
Description

Remaining
Investment
Amount/Equity %

$ 5,937,500,000

26

$

Amount/Equity %

N/A

$

Description

GMAC (Ally)

21, 22

GMAC (Ally)

3, 26

73.8%

Common Stock

Trust Preferred
Securities

$ 2,670,000,000

General Motors
Company

10,
Preferred Stock
11, 24

$ 2,100,000,000

General Motors
Company

10,
Common Stock
11, 25

27

3/2/2011 Disposition 28

$

2,667,000,000

N/A

$

2,139,406,778

N/A

$

0

3
7
7

6/3/2009

Purchase

Purchase

General Motors
Corporation

General Motors
Corporation

Debt Obligation w/
Additional Note

Debt Obligation w/
Additional Note

$

$

360,624,198

30,100,000,000

Par

Par

6

8

7/10/2009

Exchange for preferred and
common stock in New GM

Exchange for preferred and
common stock in New GM

360,624,198

$ 22,041,706,310

N/A

N/A

7/10/2009

1/16/2009

Chrysler
FinCo

Purchase

Debt Obligation w/
Additional Note

Chrysler FinCo

$

1,500,000,000

Par

Transfer of debt to New GM

$

7,072,488,605

N/A

7/10/2009

Debt left at Old GM

$

985,805,085

N/A

7

General Motors
Holdings LLC

11, 12 Debt Obligation

$ 7,072,488,605

4/29/2009

Purchase

Chrysler Holding

Purchase

Chrysler Holding

Purchase

Chrysler Holding

5/1/2009

Purchase

Old Chrysler

5/20/2009

Purchase

Old Chrysler

4/29/2009

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

$

4,000,000,000

$

-

$

280,130,642

$

1,888,153,580

$

-

-

6/10/2009

Par

Transfer of debt to New
Chrysler

$

500,000,000

N/A

$

5,711,864,407

35,084,421 Debt Obligation

$

5,676,779,986

Partial Repayment

$

1,000,000,000 Debt Obligation

$

4,676,779,986

Repayment

$

4,676,779,986

3/31/2011

Partial Repayment

$

50,000,000 Debt Obligation

$

935,805,085

Partial Repayment

$

45,000,000 Debt Obligation

$

890,805,085

Partial Repayment

$

15,887,795 Debt Obligation

$

874,917,290

Partial Repayment

$

1,496,500,945

Partial Repayment

$

1,464,690,823

Partial Repayment

$

1,413,554,739

Partial Repayment

$

1,369,197,029

Repayment
Repayment*

5/14/2010

Termination and settlement
20
payment

Motors
Liquidation

29

Debt Obligation

$

985,805,085

19

Chrysler Holding

20

Debt obligation w/
additional note

$ 3,500,000,000

5/10/2010

14
15
16

4/30/2010

17

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

$ (1,888,153,580)

N/A

23 Old Carco
Liquidation Trust

23

Right to recover
proceeds

N/A

$
$
$
$

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

Purchase

New Chrysler

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

18
$

6,642,000,000

N/A

6/10/2009

Issuance of equity in New
Chrysler

$

-

N/A

Chrysler Group
LLC

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

$ 7,142,000,000

-

$

1,900,000,000

N/A

-

Repayment

$

280,130,642

N/A

Proceeds from sale of collateral

$

30,544,528

Total Treasury Investment Amount $

6.6%

$

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

Proceeds from sale of collateral

$
$

5/24/2011

Repayment - Principal

$

Termination of undrawn facility 31

$

2,065,540,000

Repayment* - Additional Note

$

0
N/A

5,076,460,000

288,000,000

Repayment* - Zero Coupon Note

$

Disposition

$

560,000,000

N/A

N/A
N/A

$

0

100,000,000

7/21/2011

Total Payments $

81,344,932,551

Common equity

0

N/A

34,859,229,021

Additional Proceeds * $

Total Initial Investment Amount $

30

$

15,000,000

5/24/2011
Chrysler Group
LLC

Additional Note

1,369,197,029

5/24/2011

5/27/2009

0

$

5/24/2011

Chrysler

$

$

12/29/2010 Proceeds from sale of collateral

Auburn
Hills, MI

-

N/A

9
9

13

Par

1,000,000,000 Debt Obligation

$

32.04%

9

Farmington
Hills, MI

1/2/2009

$

9/9/2010

$

Partial Repayment

7/10/2009

7/10/2009

0
36.9%

60.8%

Detroit, MI
5/27/2009

1/21/2010

7/14/2009

N/A

6,711,864,407

7/14/2009

4,000,000,000

$

6/17/2009

$

360,624,198 Debt Obligation

3/17/2009

7/10/2009

1,761,495,577 Common Stock

5/18/2009

5

$

4/17/2009

Par

$

5/3/2011

4,000,000,000

Partial Repayment

4/5/2011

$

Exchange for preferred and
common stock in New GM

11,743,303,903 Common Stock

4/20/2010

General
Motors

Purchase

Debt Obligation w/
Additional Note

$

3/31/2010

5/20/2009

General Motors
Corporation

$

11/26/2010 Partial Disposition 25

7

12/15/2010 Repayment

12/18/2009 Partial Repayment

2,000,000,000

11/18/2010 Partial Disposition 25

7/10/2009

7/10/2009

403,000,000

N/A

-

40,932,009,950

Footnotes appear on following page.

47

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

1. Payment amount does not include accrued and unpaid interest on a debt obligation, which must be paid at the time of principal repayment.
2. Treasury committed to lend General Motors Corporation up to $1,000,000,000. The ultimate funding was dependent upon the level of investor participation in GMAC LLC's rights offering. The amount has been updated to reflect the final level of funding.
3. Pursuant to its rights under the loan agreement with Old GM reported on 12/29/2008, Treasury exchanged its $884 million loan to Old GM for a portion of Old GM’s common equity interest in GMAC. Treasury held a 35.4% common equity interest in GMAC until the transactions reported on 12/30/2009. (See transactions marked by orange line in the table above and footnote 22.)
4. This transaction is an amendment to Treasury's 12/31/2008 agreement with Old GM (the "Old GM Loan"), which brought the total loan amount to $15,400,000,000.
5. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,400,000,000.
6. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,760,624,198. The $360,624,198 loan was used to capitalize GM Warranty LLC, a special purpose vehicle created by Old GM . On 7/10/2009, the principal amount was included in the $7.07 billion of debt assumed by the new GM, as explained in footnote 10.
7. On 7/10/2009, the principal amount outstanding under the Old GM Loan and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM. (See green lines in the table above.)
8. Under the terms of the $33.3 billion debtor-in-possession credit agreement dated 6/3/2009 with Old GM (the "GM DIP Loan"), Treasury's commitment amount was $30.1 billion. The remaining $2.2 billion of the financing was provided by Canadian government entities. As of 7/09/2009, $30.1 billion of funds had been disbursed by Treasury.
9. On 7/10/2009, Treasury and Old GM amended the GM DIP Loan, and the principal amount and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM, except for (i) $7.07 billion, which was assumed by New GM as a new obligation under the terms of a separate credit agreement between Treasury and New GM (see transactions
marked by green lines in table above) and (ii) $986 million, which remained a debt obligation of Old GM.
10. In total, for the exchange of the Old GM Loan and the GM DIP Loan (other than as explained in footnote 9), Treasury received $2.1 billion in preferred shares and 60.8% of the common shares of New GM. (See transactions marked by green lines in the table above.)
11. Pursuant to a corporate reorganization completed on or about 10/19/2009, the shareholders of New GM, including with respect to Treasury's preferred and common stock, became shareholders of General Motors Holding Company (the ultimate parent company of New GM), which was renamed "General Motors Company" on an equal basis to their shareholdings in New GM, and New GM was converted
to "General Motors LLC". General Motors LLC is a wholly owned subsidiary of General Motors Holdings LLC, and General Motors Holdings LLC is a wholly owned subsidiary of General Motors Company.
12. Pursuant to a corporate reorganization completed on 10/19/2009, Treasury's loan with New GM was assigned and assumed by General Motors Holdings LLC.
13. The loan was funded through Chrysler LB Receivables Trust, a special purpose vehicle created by Chrysler FinCo. The amount of $1,500,000,000 represents the maximum loan amount. The loan was incrementally funded until it reached the maximum amount of $1.5 billion on 4/9/2009.
14. This transaction was an amendment to Treasury's 1/2/2009 agreement with Chrysler Holding. As of 4/30/2009, Treasury's obligation to lend any funds committed under this amendment had terminated. No funds were disbursed.
15. The loan was used to capitalize Chrysler Warranty SPV LLC, a special purpose vehicle created by Old Chrysler.
16. This transaction was set forth in a credit agreement with Old Chrysler fully executed on 5/5/2009 following a term sheet executed on 5/1/2009 and made effective on 4/30/2009. Treasury's commitment was $3.04 billion of the total $4.1 billion debtor-in-possession credit facility (the "Chrysler DIP Loan"). As of 6/30/2009, Treasury's commitment to lend under the Chrysler DIP Loan had terminated. The
remaining principal amount reflects the final amount of funds disbursed under the Chrysler DIP Loan.
17. This transaction was an amendment to Treasury's commitment under the Chrysler DIP Loan, which increased Treasury's commitment by an amount $756,857,000 to a total of $3.8 billion under the Chrysler DIP Loan. As of 6/30/2009, Treasury's obligation to lend funds committed under the Chrysler DIP Loan had terminated.
18. This transaction, first reported based on a term sheet fully executed on 5/27/2009 for an amount up to $6.943 billion, was set forth in a credit agreement with New Chrysler fully executed on 6/10/2009. Under the terms of the credit agreement, Treasury made a new commitment to New Chrysler of up to $6.642 billion. The total loan amount is up to $7.142 billion including $500 million of debt assumed
on 6/10/2009 from Chrysler Holding originally incurred under Treasury's 1/2/2009 credit agreement with Chrysler Holding. The debt obligations are secured by a first priority lien on the assets of New Chrysler. When the sale to new Chrysler was completed, Treasury acquired the rights to 9.85% of the common equity in new Chrysler.
19. Pursuant to the agreement explained in footnote 18, $500 million of this debt obligation was assumed by New Chrysler.
20. Under loan agreement, as amended on 7/23/2009, Treasury was entitled to proceeds Chrysler Holdco received from Chrysler FinCo equal to the greater of $1.375 billion or 40% of the equity value of Chrysler FinCo. Pursuant to a termination agreement dated 5/14/2010, Treasury agreed to accept a settlement payment of $1.9 billion as satisfaction in full of all existing debt obligations (including
additional notes and accrued and unpaid interest) of Chrysler Holdco, and upon receipt of such payment to terminate all such obligations.
21. Amount of the Treasury investment exchange includes the exercised warrants from Treasury's initial investments.
22. Under the terms of an agreement dated 12/30/2009, the convertible preferred shares will mandatorily convert to common stock under the conditions and the conversion price as set forth in the terms of the agreement.
23. On April 30, 2010, the Plan of Liquidation for the debtors of Old Chrysler approved by the respective bankruptcy court became effective (the “Liquidation Plan”). Under the Liquidation Plan, the loan Treasury had provided to Old Chrysler was extinguished without repayment, and all assets of Old Chrysler were transferred to a liquidation trust. Treasury retained the right to recover the proceeds from the
liquidation from time to time of the specified collateral security attached to such loan.
24. On October 27, 2010, Treasury accepted an offer by General Motors Company (GM) to repurchase all of the approximately $2.1 billion preferred stock at a price per share of $25.50, which is equal to 102% of the liquidation preference, subject to the closing of the proposed initial public offering of GM’s common stock. The repurchase was completed on 12/15/2010.
25. On 11/17/2010, Treasury agreed to sell 358,546,795 shares of common stock at $32.7525 per share (which represents the $33 public sale price less underwriting discounts and fees) pursuant to an underwriting agreement. Following settlement, the net proceeds to Treasury were $11,743,303,903. On 11/26/2010, the underwriters exercised their option to purchase an additional 53,782,019 shares of
common stock from Treasury at the same purchase price resulting in additional proceeds of $1,761,495,577. Treasury's aggregate net proceeds from the sale of common stock pursuant to the underwriting agreement total $13,504,799,480.
26. On 12/30/2010, Treasury converted $5,500,000,000 of the total convertible preferred stock then outstanding and held by Treasury (including exercised warrants) into 531,850 shares of common stock of Ally. Following this conversion, Treasury holds $5,937,500,000 of convertible preferred stock.
27. On 3/1/2011, Treasury entered into an agreement with Ally Financial, Inc. (Ally) and certain other parties to amend and restate the $2,667,000,000 in aggregate liquidation preference of its Ally trust preferred securities so to facilitate a public underwritten offering. At the time of amendment and restatement, Treasury received all outstanding accrued and unpaid dividends and a distribution fee of
28. On 3/2/2011, Treasury entered into an underwritten offering for all of its Ally trust preferred securities, the proceeds of which were $2,638,830,000, which together with the distribution fee referred to in footnote 27, provided total disposition proceeds to Treasury of $2,667,000,000. This amount does not include the accumulated and unpaid dividends on the trust preferred securities from the date of the
amendment and restatement through but excluding the closing date that Treasury will receive separately at settlement.
29. On March 31, 2011, the Plan of Liquidation for Motors Liquidation Company (Old GM) became effective, Treasury’s $986 million loan to Old GM was converted to an administrative claim and the assets remaining with Old GM, including Treasury's liens on certain collateral and other rights attached to the loan, were transferred to liquidation trusts. Under the Plan of Liquidation, Treasury retained the
right to recover additional proceeds; however, any additional recovery is dependent on actual liquidation proceeds and pending litigation.
30. In June 2009, Treasury provided a $6.6 billion loan commitment to Chrysler Group LLC and received a 9.9 percent equity ownership in Chrysler Group LLC (Chrysler). In January and April 2011, Chrysler met the first and second of three performance related milestones. As a result, Fiat’s ownership automatically increased from 20% to 30%, and Treasury’s ownership was reduced to 8.6%. On May 24,
2011, Fiat, through the exercise of an equity call option, purchased an incremental 16% fully diluted ownership interest in Chrysler for $1.268 billion, reducing Treasury’s ownership to 6.6% (or 6.0% on a fully diluted basis). On July 21, 2011, Fiat, through the exercise of an equity call option, purchased Treasury’s ownership interest for $500 million. In addition, Fiat paid $60 million to Treasury for its rights
under an agreement with the UAW retirement trust pertaining to the trust's shares in Chrysler.
31 On May 24, 2011, Chrysler Group LLC terminated its ability to draw on the remaining $2.066 billion outstanding under this loan facility.

AUTOMOTIVE SUPPLIER SUPPORT PROGRAM
Seller
Footnote

Date

Name of Institution

City

State

Transaction Type

Investment
Description

Investment
Amount

Pricing Mechanism

Adjustment
Date

Adjustment Details
Adjustment
Adjusted or Final
Amount
Investment Amount

Date

Payment or Disposition4
Remaining Investment
Description

Type

2/11/2010

Partial
repayment
Partial
repayment

3/4/2010

Repayment5

4/5/2010

Payment

3/9/2010

Repayment

4/7/2010

Payment7

11/20/2009
1

4/9/2009

GM Supplier Receivables LLC

Wilmington

DE

Purchase

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

7/8/2009

3

$ (1,000,000,000) $

$

2

4/9/2009

Chrysler Receivables SPV LLC

INITIAL TOTAL

$

5,000,000,000

Wilmington

DE

Purchase

ADJUSTED TOTAL

$

413,076,735

7/8/2009

3

$ (500,000,000)

290,000,000

$

1,000,000,000

$

6

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

2,500,000,000

N/A

123,076,735

N/A
7

Total Repayments

$

413,076,735

Amount

Debt Obligation w/ Additional Note

5

140,000,000

$

100,000,000

Additional Note

$

50,000,000

None

6

$

Debt Obligation w/ Additional Note

$

56,541,893

Additional Note

$

123,076,735

None

$

44,533,054

Total Proceeds from Additional Notes

$

101,074,947

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

48

TARGETED INVESTMENT PROGRAM

Seller

Footnote

Date

Name of Institution

City

State

Transaction
Type

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

New York

NY

Purchase

Charlotte

NC

Purchase

Investment Amount

Pricing
Mechanism

Capital
Repayment Date

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

$

20,000,000,000

Par

12/23/2009

$

20,000,000,000

Par

$

Capital Repayment
Amount

12/9/2009

TOTAL

1

Treasury Investment Remaining After Capital
Repayment

Capital Repayment Details

2

Remaining
Capital Amount

Remaining Capital
Description

Final Disposition
Final
Disposition
Description
Final Disposition Date 3

Final Disposition
Proceeds

$

20,000,000,000

$

0

Warrants

1/25/2011

A

Warrants

$

190,386,428

$

20,000,000,000

$

0

Warrants

3/3/2010

A

Warrants

$

1,255,639,099

$

40,000,000,000

$

1,446,025,527

2

40,000,000,000

TOTAL CAPITAL REPAYMENT

TOTAL TREASURY TIP INVESTMENT AMOUNT

$

Total Warrant Proceeds

0

1/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock,
Series I (TIP Shares) “dollar for dollar” for Trust Preferred Securities.
2/ Repayment pursuant to Title VII, Section 7001 of the American Recovery and Reinvestment Act of 2009.
3/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution, and "A" represents the proceeds to Treasury, before underwriting fees and selling expenses, from a sale by Treasury in a registered public offering of the warrants issued by the financial institution.
ASSET GUARANTEE PROGRAM
Initial Investment
Footnote

Date

Seller
Name of Institution

City

State

Type

New York

NY

Guarantee

Premium

3

12/23/2009 Citigroup Inc.

New York

NY

Termination

Master Agreement

Termination Agreement
TOTAL

$

$
$

5,000,000,000

Description

Preferred Stock
w/ Warrants

Amount

Exchange/Transfer/Other Details

$

Date
6/9/2009

4,034,000,000
4

9/29/2010

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

Payment or Disposition

Exchange trust preferred
securities for trust preferred
securities

Trust Preferred
Securities w/ Warrants

Amount

Footnote

Date

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

$2,234,000,000

$

0

$

0

$

4,034,000,000

3

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

$

2,246,000,000

5

9/30/2010 Disposition

$ 2,246,000,000

1/25/2011 Warrant Auction

1/16/2009 Citigroup Inc.

Guarantee Limit

Footnote
2

1

Description

$

Remaining
Premium

Amount

Warrants

67,197,045 None

(5,000,000,000)
0

Total Proceeds

$ 2,313,197,045

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

49

AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM
(formerly referred to as Systemically Significant Failing Institutions Program)
Seller
Note
1

11/25/2008

Name of Institution

Date

2, 3

4/17/2009

AIG

Purchase Details
City
New York

AIG

New York

Transaction
Type
State
NY
NY

Purchase
Purchase

Exchange/Transfer Details

Investment Amount

Investment Description
Preferred Stock w/ Warrants
(Series D)

$

Preferred Stock w/ Warrants
(Series F)

40,000,000,000

$

Date

Par

29,835,000,000

Par

2

Transaction Type

4/17/2009

Pricing Mechanism

Exchange

Amount

Investment Description
Preferred Stock w/ Warrants
(Series E)

1

Pricing
Mechanism

$ 40,000,000,000

Par

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

TOTAL

$

Date

69,835,000,000

Pricing
Mechanism

Proceeds

Transaction Type

Investment
Warrants (Series E)
Warrants (Series F)

Total

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

AIG POST-RECAPITALIZATION
Recapitalization

Note

Date

Investment Description

Treasury Holdings Post-Recapitalization

Transaction Type

Pricing Mechanism

Exchange

Par

Final Disposition

Investment Description

Date

Amount / Shares

Transaction Type

Proceeds

Pricing
Mechanism

8

$

2,000,000,000

5/27/2011

Cancellation

$

2/14/2011

Preferred Stock (Series G)

Payment

$

185,726,192

-

N/A

4

1/14/2011

Preferred Stock (Series F)

Exchange

16,916,603,568

7

N/A

Payment

$

5,511,067,614

Payment

$

55,833,333

Par

Payment

$

97,008,351

Par

Exchange
5
6

1/14/2011
1/14/2011

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

Exchange
Transfer

7

$

2,153,520,000

Payment

$

55,885,302

Payment

$

2,009,932,072

Par

Payment

$

1,383,888,037

Common Stock

924,546,133
562,868,096

5/24/2011

Partial Disposition

$

5,800,000,000

N/A

8

$

8

Par

167,623,733
N/A

$ 8,857,562,775

Par

2/14/2011
3/8/2011

3,375,328,432

Payment

9/2/2011
$

10

Par

8/18/2011

ALICO Junior Preferred Interests

-

Par

3/15/2011
8/17/2011

$

$

Par

3/8/2011
AIA Preferred Units

Remaining Recap
Investment Amount,
Shares, or Equity %

0
1,455,037,962
77%

Total

$

17,252,860,902

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.

50

9

CONSUMER AND BUSINESS LENDING INITIATIVE INVESTMENT PROGRAM
Seller
Footnote

Date

1

3/3/2009

Name of Institution

City

State

Transaction
Type

Investment Description

DE

Purchase

Debt Obligation w/ Additional Note

Investment Amount

Pricing Mechanism

Adjusted Investment
Date
Amount
2

TALF LLC

Wilmington

TOTAL

$

20,000,000,000

$

N/A

7/19/2010

$

4,300,000,000

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.

51

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

Date

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

1

Investment Description
Floating Rate SBA 7a security due 2025
Floating Rate SBA 7a security due 2022
Floating Rate SBA 7a security due 2022
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2016
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2035
Floating Rate SBA 7a security due 2033
Floating Rate SBA 7a security due 2029
Floating Rate SBA 7a security due 2033
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2025
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2017
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2019
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2024
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2021
Floating Rate SBA 7a security due 2029
Floating Rate SBA 7a security due 2026
Floating Rate SBA 7a security due 2035
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2035
Total Purchase Face Amount

Final Disposition

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

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

$

Investment Amount

Pricing Mechanism

TBA or
PMF3

Settlement Date

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

-

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

332,596,893

2, 3

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

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

$

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

Senior Security
Proceeds 4

Total Senior Security Proceeds $

TOTAL INVESTMENT AMOUNT

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

TBA or
PMF3
-

368,145,452 *

6

Purchase Face
Amount 3

Life-to-date
Principal
Received 1, 8

Current Face
Amount 6, 8

Disposition
Amount 5, 6

Trade Date

PMF

6/21/2011
10/19/2011
6/21/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
9/20/2011
6/21/2011
9/20/2011
6/21/2011
10/19/2011
6/21/2011

-

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

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

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

3,151,186
5,891,602
5,964,013
22,350,367
6,542,218
9,819,270
12,570,392
8,483,188
8,171,159
15,030,712
32,656,125
25,930,433
5,656,049
6,520,875
12,704,841

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

902,633
1,433,979
2,022,652
1,149,633
2,357,796
932,112
328,604
261,145
246,658
2,089,260
1,784,934
2,278,652
348,107
313,373
478,520

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

3,457,746
6,462,972
6,555,383
25,039,989
7,045,774
10,550,917
13,886,504
9,482,247
8,985,818
16,658,561
36,072,056
29,142,474
6,051,772
7,105,304
14,182,379

6/21/2011
9/20/2011
10/19/2011
10/19/2011
9/20/2011
10/19/2011

-

$
$
$
$
$
$

9,719,455
8,279,048
5,000,000
10,000,000
9,272,482
10,350,000

$
$
$
$
$
$

9,531,446
6,425,217
4,580,543
9,030,539
8,403,846
10,099,555

$
$
$
$
$
$

188,009
1,853,831
389,366
919,246
868,636
229,206

$
$
$
$
$
$

10,223,264
7,078,089
5,029,356
9,994,806
9,230,008
11,314,651

10/19/2011

-

$

3,450,000

$

3,367,168

$

75,197

$

3,698,411

10/19/2011

-

$

13,402,491

$

12,963,737

$

412,121

$

14,433,039

Disposition Proceeds

$

TOTAL PROGRAM PROCEEDS TO DATE7 $

271,681,517 *

309,844,252 *

* 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 for CUSIPs that were originally purchased as TBAs only after the applicable month's factor has been published and trailing principal & interest payments have been received.

52

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

Seller

Footnote

Date

1

9/30/2009

Name of Institution

Adjusted Investment

City

Transaction
State
Type
Purchase

Investment Description

Pricing
Investment Amount Mechanism

Date

3

Amount

Final Investment Amount

Date

7

Amount

2

9/30/2009

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

Wilmington

Wilmington

DE

DE

Purchase

Membership Interest

Debt Obligation w/ Contingent Proceeds

$

$

1,111,111,111

2,222,222,222

Par

Par

1/4/2010

1/4/2010

4

4

$

$

156,250,000

200,000,000

4 $

156,250,000

Investment After Capital Repayment

Repayment
Amount

Amount

Description

Distribution or Disposition

Date

200,000,000

1/15/2010

$

156,250,000

$

1/11/2010

$

34,000,000

$

1/12/2010

$

166,000,000

$

0

Membership Interest

5

Description
Distribution

Final Distribution

Debt Obligation w/
166,000,000 Contingent Proceeds

9/30/2009

Invesco Legacy Securities Master Fund, L.P.

Wilmington

DE

Purchase

2

9/30/2009

Invesco Legacy Securities Master Fund, L.P.

Wilmington

DE

Purchase

Membership Interest
Debt Obligation w/ Contingent Proceeds

$

1,111,111,111

Par

3/22/2010 6 $

$

2,222,222,222

Par

3/22/2010 6

1,244,437,500

$ 2,488,875,000

7/16/2010

$

1,161,920,000

27,355,590

$

$

92,300,138

$

$

128,027,536

$

$

155,409,286

$

$

75,085,485

$

$

18,259,513

$

$

62,979,809

$

$

20,762,532

$

$

37,384,574

$

5/16/2011 $

30,244,575

$

6/14/2011 $

$

$

$

10/17/2011
7/16/2010

31,689,230

8/12/2011

1,262,037,500

$

$

7/15/2011

3/22/2010 6 $

132,928,628

6/14/2011

Par

$

$

5/20/2011

1,111,111,111

$

60,022,674

4/14/2011

$

7,066,434

$

3/14/2011

Membership Interest

$

2/14/2011

Purchase

$

1/14/2010

DE

5

502,302

$

1,223

$

20,644,319

Debt Obligation w/
1,157,031,282 Contingent Proceeds
Debt Obligation w/
1,149,964,848 Contingent Proceeds
Debt Obligation w/
1,089,942,174 Contingent Proceeds
Debt Obligation w/
957,013,546 Contingent Proceeds
Debt Obligation w/
925,324,316 Contingent Proceeds
Debt Obligation w/
897,968,726 Contingent Proceeds
Debt Obligation w/
805,668,588 Contingent Proceeds
Debt Obligation w/
677,641,052 Contingent Proceeds
Debt Obligation w/
522,231,766 Contingent Proceeds
Debt Obligation w/
447,146,281 Contingent Proceeds
Debt Obligation w/
428,886,768 Contingent Proceeds
Debt Obligation w/
365,906,960 Contingent Proceeds
Debt Obligation w/
345,144,428 Contingent Proceeds
Debt Obligation w/
307,759,854 Contingent Proceeds

4,888,718

12/14/2010

Wilmington

Final Distribution

Contingent Proceeds

11/15/2010

Wellington Management Legacy Securities PPIF Master Fund, LP

$

9/15/2010

10/1/2009

2/18/2010
4/15/2010

1

48,922

856,000,000

9/26/2011 8 $

20,091,872

$

$

5

5

Distribution

2/24/2010
1

$

N/A
1/29/2010

0

Proceeds

5

1/29/2010
2/24/2010

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

4 $

Capital Repayment Details
Repayment
Date

88,087

$

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

5/13/2011 $

13,531,530

$

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

7/15/2011 $

79,000,000

$

Debt Obligation w/
2,242,568,200 Contingent Proceeds

1,149,487,000

2

10/1/2009

Wellington Management Legacy Securities PPIF Master Fund, LP

Wilmington

DE

Purchase

Debt Obligation w/ Contingent Proceeds

$

2,222,222,222

Par

3/22/2010 6 $

2,524,075,000

7/16/2010

$

2,298,974,000

1

10/2/2009

AllianceBernstein Legacy Securities Master Fund, L.P.

Wilmington

DE

Purchase

Membership Interest

$

1,111,111,111

Par

3/22/2010 6 $

1,244,437,500

7/16/2010

$

1,150,423,500

2

10/2/2009

AllianceBernstein Legacy Securities Master Fund, L.P.

Wilmington

DE

Purchase

Debt Obligation w/ Contingent Proceeds

$

2,222,222,222

Par

3/22/2010 6 $

2,488,875,000

7/16/2010

$

2,300,847,000

1

10/2/2009

Blackrock PPIF, L.P.

Wilmington

DE

Purchase

Membership Interest

$

1,111,111,111

Par

3/22/2010 6 $

1,244,437,500

7/16/2010

$

694,980,000

2

10/2/2009

Blackrock PPIF, L.P.

Wilmington

DE

Purchase

Debt Obligation w/ Contingent Proceeds

$

2,222,222,222

Par

3/22/2010 6 $

2,488,875,000

7/16/2010

$

1,389,960,000

1

10/30/2009

AG GECC PPIF Master Fund, L.P.                                              

Wilmington

DE

Purchase

Membership Interest

$

1,111,111,111

Par

3/22/2010 6 $

1,271,337,500

7/16/2010

$

1,243,275,000
2,486,550,000

2

10/30/2009

AG GECC PPIF Master Fund, L.P.                                              

Wilmington

DE

Purchase

Debt Obligation w/ Contingent Proceeds

$

2,222,222,222

Par

3/22/2010 6 $

2,542,675,000

7/16/2010

$

1

11/4/2009

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

Wilmington

DE

Purchase

Membership Interest

$

1,111,111,111

Par

3/22/2010 6 $

1,244,437,500

7/16/2010

$

620,578,258

2

11/4/2009

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

Wilmington

DE

Purchase

Debt Obligation w/ Contingent Proceeds

$

2,222,222,222

Par

3/22/2010 6 $

2,488,875,000

7/16/2010

$

1,241,156,516

1

11/25/2009

Marathon Legacy Securities Public-Private Investment Partnership, L.P.

Wilmington

DE

Purchase

Membership Interest

$

1,111,111,111

Par

3/22/2010 6 $

1,244,437,500

7/16/2010

$

474,550,000

2

11/25/2009

Marathon Legacy Securities Public-Private Investment Partnership, L.P.

Wilmington

DE

Purchase

Debt Obligation w/ Contingent Proceeds

$

2,222,222,222

Par

3/22/2010 6 $

2,488,875,000

7/16/2010

$

949,100,000

1

12/18/2009

Oaktree PPIP Fund, L.P.

Wilmington

DE

Purchase

Membership Interest

$

1,111,111,111

Par

3/22/2010 6 $

1,244,437,500

7/16/2010

$

1,160,784,100

2

12/18/2009

Oaktree PPIP Fund, L.P.

Wilmington

DE

Purchase

Debt Obligation w/ Contingent Proceeds

$

2,222,222,222

Par

3/22/2010 6 $

2,488,875,000

7/16/2010

$

2,321,568,200

$

30,000,000,000

FINAL INVESTMENT AMOUNT

$

21,856,403,574

INITIAL INVESTMENT AMOUNT

TOTAL CAPITAL REPAYMENT AMOUNT $

1,333,274,337

TOTAL PROCEEDS

Footnotes appear on following page.

53

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.
8/ On 09/26/2011, the General Partner notified Treasury that the Investment Period was terminated in accordance with the Limited Partnership Agreement. As a result, the Final Investment Amount, representing Treasury's debt obligation, has been reduced to the cumulative amount of debt funded.

54

U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Transactions Report - Housing Programs
For Period Ending October 19, 2011

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

Date
4/13/2009

City

Select Portfolio Servicing

Salt Lake City

Transaction
State
Type
UT

Purchase

Investment Description
Financial Instrument for Home Loan Modifications

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

376,000,000

N/A

10310

$

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

$

121,910,000

$

$

131,340,000

$

$

(355,530,000) $

558,310,000 Updated portfolio data from servicer

$

128,690,000

$

687,000,000 Updated portfolio data from servicer

$

4,000,000

$

691,000,000 Initial FHA-HAMP cap and initial FHA-2LP cap

59,807,784

$

750,807,784 Updated portfolio data from servicer

9/30/2010

$
$

12/15/2010

$

1/6/2011

10310

(700,000) $

10310
O'Fallon

MO

Purchase

Financial Instrument for Home Loan Modifications

$

2,071,000,000

N/A

$

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

3,600,000

$

$

(735) $

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

$

(100,000) $

815,806,410 Transfer of cap due to servicing transfer

$

400,000

816,206,410 Transfer of cap due to servicing transfer

$

(100,000) $

$

(6,805) $

$

(100,000) $

815,999,605 Transfer of cap due to servicing transfer

$

(200,000) $

815,799,605 Transfer of cap due to servicing transfer

10/14/2011

10310

100,000

$

9/15/2011

10310

$

8/16/2011

10310

(2,300,000) $

6/29/2011

10310

$

6/16/2011

10310

814,507,145 Updated portfolio data from servicer

5/13/2011

10310

(639) $

4/13/2011

10310

$

3/30/2011

10310

814,507,784 Updated portfolio data from servicer

3/16/2011

10310

$

2/16/2011

10310

64,400,000

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

1/13/2011

10310

10722

284,590,000

11/16/2010

10310

10722

$

9/30/2010

10310

10722

6/12/2009

Reason for Adjustment

7/14/2010

10310

10722

Adjusted Cap

3/26/2010

10310

10722

Cap Adjustment Amount

9/30/2009

10310

CitiMortgage, Inc.

Note

12/30/2009

10310

4/13/2009

Adjustment Details
Adjustment
Date

$

(100,000) $

815,699,605 Transfer of cap due to servicing transfer

6/12/2009

$

(991,580,000) $
1,010,180,000

$

9/30/2009

$

12/30/2009

$

(105,410,000) $

$

3/26/2010

$

(199,300,000) $

4/19/2010

$

(230,000) $

5/14/2010

$

(3,000,000) $

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

816,106,410 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
816,099,605 reallocation

1,079,420,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
2,089,600,000 cap
Updated portfolio data from servicer & HAFA initial
1,984,190,000 cap
Updated portfolio data from servicer & 2MP initial
1,784,890,000 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

55

Servicer Modifying Borrowers' Loans
Date

Name of Institution

City

Transaction
State
Type

Investment Description

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

10722

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

$

(1,400,000) $

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

$

(3,200,000) $

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

$

(981) $

$

(10,500,000) $

1,108,576,503 Transfer of cap due to servicing transfer

$

(4,600,000) $

1,103,976,503 Transfer of cap due to servicing transfer

$

(30,500,000) $

$
$

(1,031) $

1,073,476,503 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,073,475,472 reallocation

IA

Purchase

Financial Instrument for Home Loan Modifications

$

2,873,000,000

N/A

$

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

$

(7,200,000) $

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

$

(400,000) $

$

(9,131) $

$

(14,500,000) $

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

$

(1,600,000) $

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

$

700,000

$

1,050,566,341 Transfer of cap due to servicing transfer

10/14/2011
Des Moines

100,000

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

9/15/2011

10722

10423

$

8/16/2011

10722

10423

101,287,484

7/14/2011

10722

10423

$

6/29/2011

10722

10423

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

6/16/2011

10722

10423

$

5/13/2011

10722

10423

32,400,000

4/13/2011

10722

10423

$

3/30/2011

10722

(8,300,000) $

3/16/2011

10722

(6,300,000) $

$

2/16/2011

10722

$

1/13/2011

10722

(7,110,000) $

1/6/2011

10722

$

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

11/16/2010

10722

(757,680,000) $

10/15/2010

10722

$

9/30/2010

10722

(12,280,000) $

9/30/2010

10722

$

9/15/2010

10722

10423

Reason for Adjustment

Transfer of cap to multiple servicers due to
1,769,380,000 servicing transfer

8/13/2010

10722

10423

Adjusted Cap

7/16/2010

10722

10423

Cap Adjustment Amount

7/14/2010

10722

Wells Fargo Bank, NA

Note

6/16/2010

10722

4/13/2009

Adjustment Details
Adjustment
Date

$

15,200,000

$

1,065,766,341 Transfer of cap due to servicing transfer

6/17/2009

$

9/30/2009

$

65,070,000

$

12/30/2009

$

1,213,310,000

$

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

2/17/2010

$

2,050,236,344

$

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

3/12/2010

$

54,767

$

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

3/19/2010

$

668,108,890

$

6,406,790,000 Initial 2MP cap

3/26/2010

$

683,130,000

$

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

7/14/2010

$

(2,038,220,000) $

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

9/30/2010

$

(287,348,828) $

9/30/2010

$

344,000,000

$

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

12/3/2010

$

8,413,225

$

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

(462,990,000) $

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

56

Servicer Modifying Borrowers' Loans
Date

Name of Institution

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

10423
Ft. Washington

10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315

PA

Purchase

Financial Instrument for Home Loan Modifications

$

633,000,000

N/A

$

(100,000) $

$

(7,171) $

5,138,758,085 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,138,750,914 reallocation

$

(9,800,000) $

$

100,000

$

(600,000) $

$

(63,856) $

$

(2,300,000) $

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

$

(1,100,000) $

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

$

1,400,000

$

5,126,387,058 Transfer of cap due to servicing transfer

10/14/2011

10423

5,138,858,085 Transfer of cap due to servicing transfer

9/15/2011

10423

(100,000) $

8/16/2011

10423

$

7/14/2011

10423

5,138,958,085 Updated portfolio data from servicer

6/29/2011

10423

(6,312) $

6/16/2011

10423

$

5/13/2011

10423

5,138,964,397 Updated portfolio data from servicer

4/13/2011

10423

$

3/30/2011

10423

22,200,000

Reason for Adjustment

3/16/2011

10423

10315

$

Adjusted Cap

1/13/2011

10423

GMAC Mortgage, Inc.

Note

Cap Adjustment Amount

1/6/2011

Investment Description

10423

4/13/2009

Adjustment Details
Adjustment
Date
12/15/2010

City

Transaction
State
Type

$

200,000

$

5,126,587,058 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) $

1,017,650,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
3,554,890,000 cap
Updated portfolio data from servicer & HAFA initial
1,875,370,000 cap

3/26/2010

$

190,180,000

$

5/14/2010

$

1,880,000

$

7/14/2010

$

(881,530,000) $

8/13/2010

$

9/30/2010

$

119,200,000

$

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

9/30/2010

$

216,998,139

$

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

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) $

3/30/2011

$

(2,024) $

4/13/2011

$

(800,000) $

5/13/2011

$

(17,900,000) $

6/29/2011

$

(18,457) $

7/14/2011

$

8/16/2011

$

3,400,000

$

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

9/15/2011

$

200,000

$

1,502,475,924 Transfer of cap due to servicing transfer

10/14/2011

$

(800,000) $

1,501,675,924 Transfer of cap due to servicing transfer

$

(3,700,000) $

(200,000) $

5,128,950,914 Transfer of cap due to servicing transfer
5,129,050,914 Transfer of cap due to servicing transfer
5,128,450,914 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,128,387,058 reallocation

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

1,517,796,405 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,517,794,381 reallocation
1,516,994,381 Transfer of cap due to servicing transfer
1,499,094,381 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,499,075,924 reallocation
1,498,875,924 Transfer of cap due to servicing transfer

57

Servicer Modifying Borrowers' Loans
Date
4/13/2009

Name of Institution

City

Saxon Mortgage Services, Inc.

Irving

Transaction
State
Type
TX

Purchase

Investment Description
Financial Instrument for Home Loan Modifications

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

407,000,000

Adjustment Details
Note

N/A

(156,050,000) $

$

(513,660,000) $

$

(22,980,000) $

$

1,184,410,000 Updated portfolio data from servicer
Transfer of cap to Ocwen Financial Corporation,
1,028,360,000 Inc. due to servicing transfer
514,700,000 Updated portfolio data from servicer
491,720,000 Transfer of cap due to multiple servicing transfers

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

2

619,542,668 Updated portfolio data from servicer

$

100,000

$

619,642,668 Transfer of cap due to servicing transfer

$

8,900,000

$

628,542,668 Updated portfolio data from servicer

$

(556) $

628,542,112 Updated portfolio data from servicer

$

2,300,000

$

630,842,112 Transfer of cap due to servicing transfer

$

700,000

$

$

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

$
$
$

200,000

$

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

$

(100,000) $

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

9/15/2011

4/13/2009

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

$

8/16/2011

10458

$

116,222,668

7/14/2011

10458

9,800,000

$

6/29/2011

10458

$

4/13/2011

10458

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

3/30/2011

10458

$

3/16/2011

10458

1,800,000

1/13/2011

10458

10500

(57,720,000) $

$

1/6/2011

10458

10500

$

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

12/15/2010

10458

10500

$

Reason for Adjustment

10/15/2010

10458

10500

355,710,000

9/30/2010

10458

10500

$

9/30/2010

10458

10500

$

9/15/2010

10458

10500

254,380,000

7/16/2010

10458

$

7/14/2010

10458

$

6/16/2010

10458

225,040,000

3/26/2010

10458

$

12/30/2009

10458

10500

Adjusted Cap

9/30/2009

10458

10500

Cap Adjustment Amount

6/17/2009

10458

10500

Adjustment
Date

$

(700,000) $

633,035,314 Transfer of cap due to servicing transfer

7/31/2009

$

(3,552,000,000) $

6/12/2009

$

(105,620,000) $

9/30/2009

$

102,580,000

$

12/30/2009

$

277,640,000

$

3/26/2010

$

46,860,000

$

6/16/2010

$

156,050,000

$

7/14/2010

$

(191,610,000) $

7/16/2010

$

9/15/2010
9/30/2010

(654) $
2,100,000

$

(6,144) $

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 initial
655,960,000 cap
Updated portfolio data from servicer & HAFA initial
933,600,000 cap
980,460,000 Updated portfolio data from servicer
Transfer of cap from Saxon Mortgage Services,
1,136,510,000 Inc. due to servicing transfer

23,710,000

$

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

$

100,000

$

968,710,000 Initial FHA-HAMP cap

$

3,742,740

$

972,452,740 Updated portfolio data from servicer

10/15/2010

$

170,800,000

$

1/6/2011

$

(1,020) $

1,143,252,740 Transfer of cap due to servicing transfer
1,143,251,720 Updated portfolio data from servicer

58

Servicer Modifying Borrowers' Loans
Date

Name of Institution

City

Transaction
State
Type

Investment Description

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

10500

10512
10512
10512
10512
10512
10512
Countrywide Home Loans Servicing LP

Simi Valley
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832

CA

Purchase

Financial Instrument for Home Loan Modifications

$

1,864,000,000

N/A

$

$

665,510,000

$

$

800,390,000

$

2,433,020,000 Initial 2MP cap

$

(829,370,000) $

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

$

(366,750,000) $

$

95,300,000

$

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

$

222,941,084

$

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

$
$

(2,548) $

$

(23,337) $

$

(300,000) $

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

10/14/2011

10512

162,680,000

8/16/2011

10512

$

804,440,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
967,120,000 cap
Updated portfolio data from servicer & HAFA initial
1,632,630,000 cap

6/29/2011

10512

$

3/30/2011

10512

5,540,000

1/6/2011

10512

$

9/30/2010

10512

$

6/12/2009

9/30/2010

N/A

(10,044) $

7/14/2010

798,900,000

$

3/26/2010

$

(1,114) $

1/26/2010

Financial Instrument for Home Loan Modifications

$

12/30/2009

Purchase

$

9/30/2009

CA

$

Reason for Adjustment

10/14/2011
Simi Valley

900,000

Adjusted Cap

6/29/2011

10500

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

Cap Adjustment Amount

3/30/2011

10500

Bank of America, N.A.

Note

2/16/2011

10500

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

Adjustment Details
Adjustment
Date

$

(120,700,000) $

1,434,113,000 Transfer of cap due to servicing transfer

6/12/2009

$

9/30/2009

$

12/30/2009

$

2,290,780,000

$

5,182,840,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
4,465,420,000 cap
Updated portfolio data from servicer & HAFA initial
6,756,200,000 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 Corporation
8,121,590,000 due to servicing transfer
Transfer of cap from Wilshire Credit Corporation
8,408,100,000 due to servicing transfer

7/14/2010

$

9/30/2010

$

105,500,000

9/30/2010

$

(614,527,362) $

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

12/15/2010

$

236,000,000

$

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

1/6/2011

$

(8,012) $

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

2/16/2011

$

1,800,000

$

6,349,564,626 Transfer of cap due to servicing transfer

3/16/2011

$

100,000

$

3/30/2011

$

6,349,664,626 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,349,655,436 reallocation

4/13/2011

$

(100,000) $

(2,199) $

3,318,840,000

$

(717,420,000) $

(1,787,300,000) $
$

(9,190) $
200,000

$

1,144,151,720 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,144,150,606 reallocation
Updated due to quarterly assessment and
1,144,140,562 reallocation
1,144,040,562 Transfer of cap due to servicing transfer

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

6,620,800,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
6,726,300,000 initial RD-HAMP

6,349,855,436 Transfer of cap due to servicing transfer

59

Servicer Modifying Borrowers' Loans
Date

Name of Institution

City

Transaction
State
Type

Investment Description

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

Adjustment Details
Note

1000832

Adjustment
Date

Cap Adjustment Amount

(82,347) $

$

(200,000) $

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

$

(3,400,000) $

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

9/15/2011

$

(1,400,000) $

6,344,073,089 Transfer of cap due to servicing transfer

10/14/2011

$

120,600,000

$

10/19/2011

$

317,956,289

$

6/12/2009

$

128,300,000

$

9/30/2009

$

46,730,000

$

12/30/2009

$

145,820,000

$

3/26/2010

$

(17,440,000) $

622,410,000 Updated portfolio data from servicer

7/14/2010

$

(73,010,000) $

549,400,000 Updated portfolio data from servicer

9/30/2010

$

9/30/2010

$

(77,126,410) $

478,973,590 Updated portfolio data from servicer

12/15/2010

$

(314,900,000) $

164,073,590 Updated portfolio data from servicer

1/6/2011

$

(233) $

164,073,357 Updated portfolio data from servicer

2/16/2011

$

(1,900,000) $

3/16/2011

$

(400,000) $

3/30/2011

$

(278) $

5/13/2011

$

(400,000) $

6/29/2011

1000832

$

8/16/2011

1000832

(1,000,000) $

7/14/2011

1000832

$

6/29/2011

1000832

$

6/16/2011

1000832

$

Reason for Adjustment

5/13/2011

1000832

300,000

Adjusted Cap

$

(2,625) $

10/19/2011

$

(155,061,221) $

6/12/2009

$

9/30/2009

$

(249,670,000) $

12/30/2009

$

119,700,000

$

3/26/2010

$

52,270,000

$

4/19/2010

$

(10,280,000) $

5/14/2010

$

(1,880,000) $

6/16/2010

$

(286,510,000) $

7/14/2010

$

7/16/2010

$

(210,000) $

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

8/13/2010

$

(100,000) $

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

1000832
4/20/2009

Home Loan Services, Inc.

Pittsburgh

PA

Purchase

Financial Instrument for Home Loan Modifications

$

319,000,000

N/A

10316
10316
10316
10316
10316
10316
10316
10316
10316
10316
10316
10316
10316
10316
4/20/2009

Wilshire Credit Corporation

13
Beaverton

10205
10205
10205
10205
10205
10205
10205
10205
10205

OR

Purchase

Financial Instrument for Home Loan Modifications

$

366,000,000

N/A

6,700,000

87,130,000

19,540,000

$

$

$

6,350,155,436 Transfer of cap due to servicing transfer
6,349,155,436 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,349,073,089 reallocation

6,464,673,089 Transfer of cap due to servicing transfer
Transfer of cap from Home Loan Services, Inc.
and Wilshire Credit Corporation due to merger.
6,782,629,378
447,300,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
494,030,000 cap
Updated portfolio data from servicer & HAFA initial
639,850,000 cap

556,100,000 Initial FHA-2LP cap

162,173,357 Transfer of cap due to servicing transfer
161,773,357 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
161,773,079 reallocation
161,373,079 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
161,370,454 reallocation
6,309,233 Termination of SPA
453,130,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
203,460,000 cap
Updated portfolio data from servicer & HAFA initial
323,160,000 cap
375,430,000 Updated portfolio data from servicer
Transfer of cap to Countrywide Home Loans due
365,150,000 to servicing transfer
Transfer of cap to GMAC Mortgage, Inc. due to
363,270,000 servicing transfer
Transfer of cap to Countrywide Home Loans due
76,760,000 to servicing transfer

60

Servicer Modifying Borrowers' Loans
Date

Name of Institution

City

Transaction
State
Type

Investment Description

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

Adjustment Details
Note

10205

10309
10309
10309
Santa Ana

10503
10503
10503
10503

CA

Purchase

Financial Instrument for Home Loan Modifications

$

195,000,000

N/A

210,000

$

$

2,200,000

$

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

$

34,600,000

$

130,910,000 Initial 2MP cap

$

5,600,000

$

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

$

10,185,090

$

146,695,090 Updated portfolio data from servicer

$

400,000

$

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

$

(213) $

$

(250) $

$

1,200,000

$

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

$

100,000

$

$

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

$

1,900,000

$

150,292,325 Transfer of cap due to servicing transfer

$

200,000

$

150,492,325 Transfer of cap due to servicing transfer

10/14/2011

10309

$

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

9/15/2011

10309

(24,220,000) $

7/14/2011

10309

13,080,000

$

6/29/2011

10309

$

6/16/2011

10309

$

5/13/2011

10309

130,780,000

3/30/2011

10309

$

1/6/2011

10309

(64,990,000) $

10/15/2010

10309

$

9/30/2010

10309

6/17/2009

9/30/2010

10309

(162,895,068) $

9/10/2010

N/A

(2,779) $

$

8/13/2010

156,000,000

$

10/19/2011

7/16/2010

$

10309

10503

(294) $

7/14/2010

Financial Instrument for Home Loan Modifications

10309

10503

$

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

3/26/2010

Purchase

10309

10503

(247) $

12/30/2009

MN

10309

10503

$

164,555,782 Updated portfolio data from servicer

9/30/2009

13
Saint Paul

Carrington Mortgage Services, LLC

$

Reason for Adjustment

6/29/2011

10205

4/27/2009

$

3/30/2011

10205

68,565,782

Adjusted Cap

1/6/2011

10205

Green Tree Servicing LLC

Cap Adjustment Amount

9/30/2010

10205

4/24/2009

Adjustment
Date

$

200,000

$

150,692,325 Transfer of cap due to servicing transfer

6/17/2009

$

(63,980,000) $

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

3/26/2010

$

74,520,000

$

354,510,000 Updated portfolio data from servicer

7/14/2010

$

(75,610,000) $

278,900,000 Updated portfolio data from servicer

8/13/2010

$

1,100,000

$

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

9/30/2010

$

3,763,685

$

283,763,685 Updated portfolio data from servicer

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

$

(116,750,000) $
$

(2,302) $

1,657,394 Termination of SPA
91,010,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
221,790,000 cap
Updated portfolio data from servicer & HAFA initial
105,040,000 cap
118,120,000 Updated portfolio data from servicer

147,094,877 Updated portfolio data from servicer
Updated due to quarterly assessment and
147,094,627 reallocation

61

Servicer Modifying Borrowers' Loans
Date

Name of Institution

City

Transaction
State
Type

Investment Description

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

10503

10231
10231
10231
10231
10231
10231
Nationstar Mortgage LLC

Lewisville
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406

TX

Purchase

Financial Instrument for Home Loan Modifications

$

101,000,000

N/A

$

(338,450,000) $

$

(11,860,000) $

$

21,330,000

$

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

$

9,150,000

$

478,170,000 Updated portfolio data from servicer

$

(76,870,000) $

401,300,000 Updated portfolio data from servicer

$

400,000

$

(8,454,269) $

$

(342) $

$
$
$

(3,273) $

10/14/2011

10231

6/17/2009

6/29/2011

10231

288,359,384 Transfer of cap due to servicing transfer

5/13/2011

10231

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

$

3/30/2011

10231

$

100,000

1/6/2011

10231

1,800,000

$

9/30/2010

N/A

$

9/1/2010

798,000,000

(3,592) $

7/14/2010

$

$

3/26/2010

Financial Instrument for Home Loan Modifications

(384) $

12/30/2009

Purchase

$

9/30/2009

CO

$

9/15/2011
Littleton

$

Reason for Adjustment

8/16/2011

10503

2,400,000

Adjusted Cap

6/29/2011

10503

5/28/2009

Cap Adjustment Amount

3/30/2011

10503

Aurora Loan Services, LLC

Note

1/13/2011

10503

5/1/2009

Adjustment Details
Adjustment
Date

$

(200,000) $

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 initial
251,700,000 cap
Updated portfolio data from servicer & HAFA initial
331,950,000 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, initial
316,300,000 RD-HAMP, and initial 2MP cap

$

(374) $
18,000,000

$

286,463,360 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
286,462,976 reallocation
Updated due to quarterly assessment and
286,459,384 reallocation

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
411,041,742 Transfer of cap due to servicing transfer

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) $

403,278,198 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
403,273,950 reallocation

62

Servicer Modifying Borrowers' Loans
Name of Institution

Date
6/12/2009

City

Residential Credit Solutions

Fort Worth

Transaction
State
Type
TX

Purchase

Investment Description
Financial Instrument for Home Loan Modifications

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

19,400,000

N/A

10052
10052
10052
10052
10052

586,954

$

31,186,954 Updated portfolio data from servicer

$

(34) $

$

(37) $

$
$

(329) $

$

(1,900,000) $

9/30/2009

$

13,070,000

$

$

145,510,000

$

$

(116,950,000) $

58,150,000 Updated portfolio data from servicer

$

(23,350,000) $

34,800,000 Updated portfolio data from servicer

$
$

(46) $

$

(55) $

6/29/2011

N/A

$

3/30/2011

16,520,000

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

1/6/2011

$

$

9/30/2010

Financial Instrument for Home Loan Modifications

400,000

7/14/2010

Purchase

(13,870,000) $

$

3/26/2010

VA

$

12/30/2009

Glen Allen

(1,390,000) $

9/15/2011

10326

$

6/29/2011

10326

27,920,000

4/13/2011

10326

$

3/30/2011

10326

$

1/6/2011

10326

9/30/2009

9/30/2010

10326

(1,860,000) $

Reason for Adjustment

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

9/30/2010

10326

$

(452) $

100,000

7,846,346

$

$

$

44,070,000 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
29,386,554 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP initial
29,590,000 cap
Updated portfolio data from servicer & HAFA initial
175,100,000 cap

42,646,346 Updated portfolio data from servicer

Purchase

Financial Instrument for Home Loan Modifications

$

57,000,000

N/A

10131
10131
10131
10131
10131

$

(11,300,000) $
(42,210,000) $

$

65,640,000

$

69,130,000 Updated portfolio data from servicer

$

(14,470,000) $

54,660,000 Updated portfolio data from servicer

7/14/2010

PR

$

4/9/2010

San Juan

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 initial
45,700,000 cap
Updated portfolio data from servicer & HAFA initial
3,490,000 cap

3/26/2010

10052

9/30/2009
12/30/2009

10052

RG Mortgage Corporation

Adjusted Cap

7/14/2010

10326

6/17/2009

Cap Adjustment Amount

3/26/2010

10326

CCO Mortgage

Note

12/30/2009

10326

6/17/2009

Adjustment Details
Adjustment
Date

$

(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

$

(4,300,000) $

37,040,846 Updated portfolio data from servicer

1/6/2011

$

(51) $

3/30/2011

$

(65) $

6/29/2011

10131

$

12/15/2010

10131

$

(616) $

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

12/30/2009

$

2,020,000

$

$

11,370,000

$

14,160,000 Updated portfolio data from servicer

5/26/2010

10131

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 initial
2,790,000 cap

3/26/2010

10131

$

(14,160,000) $

9/30/2009

$

330,000

$

- Termination of SPA
Updated portfolio data from servicer & HPDP initial
870,000 cap

63

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

Transaction
State
Type

Investment Description

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

Adjustment Details
Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

12/30/2009

16,490,000

$

(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
12

$

3/26/2010

Wescom Central Credit Union

$

Reason for Adjustment

Updated portfolio data from servicer & HAFA initial
17,360,000 cap

$

(1,800,000) $

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

6/26/2009

Financial Instrument for Home Loan Modifications

$

70,000

N/A

10014
10014
10014
10014

10349
10349
10349
10349
10349
10349
10349
10349
10349

$
$
$

12/30/2009

$
$

(720,000) $

1,530,000 Updated portfolio data from servicer

$

(430,000) $

1,100,000 Updated portfolio data from servicer

$

30,000 Updated portfolio data from servicer

70,000

$

100,000 Updated portfolio data from servicer

45,056

$

145,056 Updated portfolio data from servicer

(145,056) $
2,180,000

60,445

$

$

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

1,160,445 Updated portfolio data from servicer

OH

Purchase

Financial Instrument for Home Loan Modifications

$

294,980,000

N/A

$

(1) $

$

(1) $

6/29/2011
Miamisburg

10349

(580,000) $

1/6/2011

10014
National City Bank

$

$

678,877 Termination of SPA
Updated portfolio data from servicer & HPDP initial
20,000 cap
Updated portfolio data from servicer & HAFA initial
610,000 cap

3/30/2011

10014

6/26/2009

590,000

9/30/2010

Purchase

N/A

$

7/14/2010

CA

30,000

(10,000) $

3/26/2010

San Jose

Technology Credit Union

$

(1,872,787) $

2/17/2011

Financial Instrument for Home Loan Modifications

$

9/30/2010

Purchase

$

7/14/2010

FL

6/3/2011

3/26/2010

The Villages

Citizens First Wholesale Mortgage Company

9/30/2009
12/30/2009

6/26/2009

$

(12) $

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, and
489,700,000 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

$

200,000

3/16/2011

$

(100,000) $

3/30/2011

$

(981) $

4/13/2011

$

(2,300,000) $

$

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 initial
610,150,000 cap
Updated portfolio data from servicer & HAFA initial
700,430,000 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
558,728,195 Transfer of cap due to servicing transfer

64

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

Transaction
State
Type

Investment Description

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

Adjustment Details
Note

10349

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

5/13/2011

10349

(200,000) $

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

$

(200,000) $

6/29/2011

10349

$

6/16/2011

10349

$

(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

Bayview Loan Servicing, LLC

1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667

7/10/2009

Lake National Bank

Mentor

OH

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

10355
10355
10355
10355
10355
10355
10355
7/10/2009

IBM Southeast Employees' Federal Credit Union

Delray Beach
10029

FL

Purchase

Financial Instrument for Home Loan Modifications

$

870,000

N/A

$

146,240,000 Updated portfolio data from servicer

$

1,010,000

$

147,250,000 Initial 2MP cap

$

(34,250,000) $

$

600,000

$

(15,252,303) $

$

(70) $

$

(86) $

$

400,000

$

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

$

100,000

$

$

98,847,541 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
98,846,770 reallocation

$

600,000

$

(18,900,000) $

9/30/2009

$

150,000

$

$

130,000

$

$

50,000

$

430,000 Updated portfolio data from servicer

$

(30,000) $

400,000 Updated portfolio data from servicer

$

35,167

435,167 Updated portfolio data from servicer

$

(1) $

$

(1) $

6/29/2011

1000667

34,540,000

3/30/2011

1000667

$

1/6/2011

1000667

$

9/30/2010

1000667

43,590,000

7/14/2010

N/A

$

3/26/2010

44,260,000

$

12/30/2009

$

23,850,000

9/15/2011

Financial Instrument for Home Loan Modifications

$

6/29/2011

Purchase

$

5/13/2011

FL

9/30/2009

4/13/2011

Coral Gables

3/12/2010

10/14/2011

7/1/2009

$

3/30/2011

3

$

1/6/2011

N/A

692,640,000

9/30/2010

634,010,000

$

9/30/2010

$

$

7/14/2010

Financial Instrument for Home Loan Modifications

723,880,000

5/7/2010

Purchase

$

3/26/2010

IA

$

12/30/2009

Des Moines

$

300,000

2/17/2010

Wachovia Mortgage, FSB

-

$

12/30/2009

7/1/2009

$

10/14/2011

10349

$

(6) $

9/30/2009

$

(10,000) $

12/30/2009

$

(2,050,236,344) $
(54,767) $

$

(771) $

250,000

$

$

$

558,318,998 Transfer of cap due to servicing transfer
558,618,998 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP initial
1,357,890,000 cap
Updated portfolio data from servicer & HAFA initial
2,050,530,000 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 initial
68,110,000 cap
Updated portfolio data from servicer & HAFA initial
111,700,000 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

99,446,770 Transfer of cap due to servicing transfer
80,546,770 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP initial
250,000 cap
Updated portfolio data from servicer & HAFA initial
380,000 cap

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

65

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

Transaction
State
Type

Investment Description

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

Adjustment Details
Note

10029

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

3/26/2010

10029

(10,000) $

1,100,000 Updated portfolio data from servicer

$

(400,000) $

700,000 Updated portfolio data from servicer

9/30/2010

10029

$

7/14/2010

10029

$

170,334

870,334 Updated portfolio data from servicer

$

1/6/2011

9/30/2009

7/17/2009

PNC Bank, National Association

54,470,000

N/A

1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834

62,300,000 Updated portfolio data from servicer

$

(8,194,261) $

54,105,739 Updated portfolio data from servicer

$

(37) $

54,105,702 Updated portfolio data from servicer

$

(29,400,000) $

$

(34) $

5/26/2011

$

(20,077,503) $

9/30/2009

$

(36,240,000) $

$

19,280,000

$

24,705,702 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
24,705,668 reallocation
Termination of SPA
4,628,165 (remaining cap equals distribution amount)
Updated portfolio data from servicer & HPDP initial
18,230,000 cap
Updated portfolio data from servicer & HAFA initial
37,510,000 cap

$

2,470,000

$

39,980,000 Updated portfolio data from servicer

$

(17,180,000) $

22,800,000 Updated portfolio data from servicer

$

35,500,000

$

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

$

23,076,191

$

81,376,191 Updated portfolio data from servicer

$

(123) $

$

(147) $

5/13/2011

$

84,880,000 Updated portfolio data from servicer

3/30/2011

Financial Instrument for Home Loan Modifications

$

(22,580,000) $

1/6/2011

Purchase

18,360,000

$

9/30/2010

PA

$

9/30/2010

Pittsburgh

$

7/14/2010

11

24,510,000

3/26/2010

N/A

$

12/30/2009

23,480,000

$

3/30/2011

$

18,530,000

3/16/2011

Financial Instrument for Home Loan Modifications

$

1/6/2011

Purchase

(12) $

9/30/2010

IN

$

7/14/2010

Evansville

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

3/26/2010

MorEquity, Inc.

(1) $

12/30/2009

7/17/2009

(1) $

$

6/29/2011

10029

$

3/30/2011

10029

$

(100,000) $

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

ShoreBank

Chicago

IL

Purchase

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

$

$

170,000

1,410,000

N/A

N/A

$

(90,000) $

$

50,000

$

$

100,000

$

230,000 Updated portfolio data from servicer

$

(130,000) $

100,000 Updated portfolio data from servicer

$

5/20/2011
7/17/2009

Purchase

9/30/2009

9/30/2010

OH

(300,000) $

7/14/2010

West Salem

(1,382) $

$

3/26/2010

Farmers State Bank

$

12/30/2009

7/17/2009

6/29/2011
10/14/2011

$

9/30/2009

$

45,056

$

(145,056) $
890,000

$

80,974,539 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP initial
80,000 cap
Updated portfolio data from servicer & HAFA initial
130,000 cap

145,056 Updated portfolio data from servicer
- Termination of SPA
Updated portfolio data from servicer & HPDP initial
2,300,000 cap

66

Servicer Modifying Borrowers' Loans
Date

Name of Institution

City

Transaction
State
Type

Investment Description

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

10257

3,300,000 Updated portfolio data from servicer

$

471,446

3,771,446 Updated portfolio data from servicer

$

(3) $

$

(4) $

$

(1,100,000) $

$

(38) $

$

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

4,210,000

N/A

10439
10439
10439
10439
10439
10439
10439
San Diego

CA

Purchase

Financial Instrument for Home Loan Modifications

$

860,000

N/A

$

300,000

$

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

$

(100,000) $

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

$

(1,173) $

$

(500,000) $

$

(1,400) $

$
$

(12,883) $

$

(1,000,000) $

$

(100,000) $

9/30/2009

$

1,780,000

$

$

2,840,000

$

$

2,800,000

$

11,630,000 Updated portfolio data from servicer

$

(5,730,000) $

5,900,000 Updated portfolio data from servicer

$

2,658,280

8,558,280 Updated portfolio data from servicer

$

(12) $

$

(14) $

6/29/2011

$

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

3/30/2011

Financial Instrument for Home Loan Modifications

$

1/6/2011

Purchase

1,690,508

9/30/2010

MI

$

7/14/2010

Southfield

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

3/26/2010

10727

(289,990,000) $

12/30/2009

10727

$

10/14/2011

10727

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

9/15/2011

10727

$

6/29/2011

10727

124,820,000

4/13/2011

10727

$

3/30/2011

10727

$

2/16/2011

10727

250,450,000

1/6/2011

10727

$

11/16/2010

N/A

$

10/15/2010

1,272,490,000

9/30/2009

9/30/2010

$

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

7/14/2010

Financial Instrument for Home Loan Modifications

10727

1000455

(240,000) $

3/26/2010

Purchase

10727

1000455

$

12/30/2009

TX

10727

Mission Federal Credit Union

3,540,000 Updated portfolio data from servicer

6/29/2011
Coppell

10727

7/22/2009

(20,000) $

4/13/2011

10257

Mortgage Center, LLC

$

3/30/2011

10257

$

1/6/2011

10257

$

Reason for Adjustment

Updated portfolio data from servicer & HAFA initial
3,560,000 cap

9/30/2010

10257

1,260,000

Adjusted Cap

7/14/2010

10257

7/22/2009

Cap Adjustment Amount

3/26/2010

10257

American Home Mortgage Servicing, Inc

Note

12/30/2009

10257

7/22/2009

Adjustment Details
Adjustment
Date

$

(129) $

9/30/2009

$

(490,000) $

12/30/2009

$

6,750,000

3/26/2010

$

(6,340,000) $

(53,670,000) $

3,100,000

$

$

$

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
1,307,575,052 Transfer of cap due to servicing transfer
1,307,475,052 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP initial
5,990,000 cap
Updated portfolio data from servicer & HAFA initial
8,830,000 cap

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 initial
370,000 cap
Updated portfolio data from servicer & HAFA initial
7,120,000 cap
780,000 Updated portfolio data from servicer

67

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

Transaction
State
Type

Investment Description

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

1000455

Adjustment Details
Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

7/14/2010

IN

Purchase

Financial Instrument for Home Loan Modifications

$

1,090,000

N/A

1000505
1000505
1000505
1000505
1000505
1000505
1000505
7/29/2009

7/31/2009

Wachovia Bank, N.A.

Charlotte

J.P. Morgan Chase Bank, NA

Lewisville
10706
10706
10706
10706
10706
10706

NC

TX

Purchase

Purchase

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

$

$

85,020,000

2,699,720,000

N/A

N/A

2,523,114

8,123,114 Updated portfolio data from servicer

$

(2) $

$

(2) $

$

(15) $

9/30/2009

$

(60,000) $

$

1,260,000

$

8,123,112 Updated portfolio data from servicer
Updated due to quarterly assessment and
8,123,110 reallocation
Updated due to quarterly assessment and
8,123,095 reallocation
Updated portfolio data from servicer & HPDP initial
1,030,000 cap
Updated portfolio data from servicer & HAFA initial
2,290,000 cap

$

2,070,000

$

4,360,000 Updated portfolio data from servicer

$

(3,960,000) $

400,000 Updated portfolio data from servicer

$
$

(1) $

$

(1) $

$

(8) $

9/30/2009

$

(37,700,000) $

$

26,160,000

$

580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
Updated portfolio data from servicer & HPDP initial
47,320,000 cap
Updated portfolio data from servicer & HAFA initial
73,480,000 cap

$

9,820,000

$

83,300,000 Updated portfolio data from servicer

$

(46,200,000) $

37,100,000 Updated portfolio data from servicer

$

(28,686,775) $

8,413,225 Updated portfolio data from servicer

12/3/2010

West Lafayette

$

9/30/2010

Purdue Employees Federal Credit Union

5,600,000 Updated portfolio data from servicer

7/14/2010

7/29/2009

(2,470,000) $

6/29/2011

10455

$

3/30/2011

10455

8,070,000 Updated portfolio data from servicer

1/6/2011

10455

$

9/30/2010

10455

2,460,000

7/14/2010

10455

$

3/26/2010

10455

$

12/30/2009

10455

680,000

6/29/2011

N/A

$

3/30/2011

6,460,000

(4) $

1/6/2011

$

(1,530,000) $

9/30/2010

Financial Instrument for Home Loan Modifications

$

7/14/2010

Purchase

$

3/26/2010

MO

9/30/2009
12/30/2009

St. Louis

$

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

3/26/2010

First Bank

125,278

12/30/2009

7/29/2009

$

6/29/2011

1000455

(180,000) $

3/30/2011

1000455

$

9/30/2010

1000455

$

(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, and
3,007,800,000 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

$

(1) $

180,222

$

$

600,000 Updated portfolio data from servicer

580,222 Updated portfolio data from servicer

- Termination of SPA
Updated portfolio data from servicer & HPDP initial
2,684,870,000 cap
Updated portfolio data from servicer & HAFA initial
3,863,050,000 cap
Updated portfolio data from servicer & 2MP initial
4,869,630,000 cap

68

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

Transaction
State
Type

Investment Description

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

Adjustment Details
Note

10706

1001020
1001020
1001020
1001020
1001020
1001020

$

200,000

$

3,346,083,295 Transfer of cap due to servicing transfer

$

519,211,309

$

$
$

502,430,000

$

(134,560,000) $

3,865,294,604 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP initial
707,370,000 cap
Updated portfolio data from servicer & HAFA initial
1,209,800,000 cap
Updated portfolio data from servicer & 2MP initial
1,075,240,000 cap

$

(392,140,000) $

$

(630,000) $

$

13,100,000

$

(8,006,457) $

$

(100,000) $

$

(4,400,000) $

683,063,543 Updated portfolio data from servicer
683,062,741 Updated portfolio data from servicer

(10,000) $
$

$

683,100,000 Updated portfolio data from servicer
682,470,000 Transfer of cap to Saxon Mortgage Services, 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

14
Warsaw

IN

Purchase

Financial Instrument for Home Loan Modifications

$

420,000

N/A

(900,000) $

$

(4,000,000) $

$

(925) $

$

(122,900,000) $

$

(8,728) $

7/14/2011

1001020

(802) $

$

6/29/2011

1001020

$

5/13/2011

1001020

1000840

3,345,883,295 Transfer of cap due to servicing transfer

3/30/2011

1001020

1000840

(100,000) $

3/16/2011

1001020

1000840

$

$

3,223,117,901 Transfer of cap due to servicing transfer

1/6/2011

1001020

1000840

3,345,983,295 Transfer of cap due to servicing transfer

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

2/16/2011

1001020

1000840

(400,000) $

12/15/2010

1001020

$

10/15/2010

1001020

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

9/30/2010

1001020

$

9/30/2009

N/A

600,000

9/30/2010

707,380,000

$

7/16/2010

$

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

7/14/2010

Financial Instrument for Home Loan Modifications

(34,606) $

3/26/2010

Purchase

$

12/30/2009

TX

$

10/19/2011
Lewisville

(200,000) $

10/14/2011

10706

$

9/15/2011

10706

(3,999) $

8/16/2011

10706

$

7/14/2011

10706

(100,000) $

6/29/2011

10706

$

5/13/2011

10706

Lake City Bank

Reason for Adjustment

4/13/2011

10706

8/5/2009

Adjusted Cap

3/30/2011

10706

EMC Mortgage Corporation

Cap Adjustment Amount

3/16/2011

10706

7/31/2009

Adjustment
Date

$

(600,000) $

10/19/2011

$

(519,211,309) $

9/30/2009

$

12/30/2009

$

3/26/2010

$

20,000

$

270,000 Updated portfolio data from servicer

7/14/2010

$

(70,000) $

200,000 Updated portfolio data from servicer

9/30/2010

$

90,111

6/29/2011

$

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

180,000

$

(350,000) $

$

(3) $

682,162,741 Transfer of cap due to servicing transfer
678,162,741 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
678,161,816 reallocation
555,261,816 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
555,253,088 reallocation
554,653,088 Transfer of cap due to servicing transfer
35,441,779 Termination of SPA
Updated portfolio data from servicer & HPDP initial
600,000 cap
Updated portfolio data from servicer & HAFA initial
250,000 cap

69

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

Transaction
State
Type

Investment Description

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

Adjustment Details
Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

8/5/2009

HomEq Servicing

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
10438
10438

TX

Purchase

Financial Instrument for Home Loan Modifications

$

774,900,000

N/A

(1) $

$

(1) $

$

(200,000) $

$

(7) $

7/22/2011

$

(515,201) $

9/30/2009

$

(121,190,000) $

$

(36,290,000) $

10,068 Termination of SPA
Updated portfolio data from servicer & HPDP initial
552,810,000 cap
Updated portfolio data from servicer & HAFA initial
516,520,000 cap

$

199,320,000

$

715,840,000 Updated portfolio data from servicer

$

(189,040,000) $

526,800,000 Updated portfolio data from servicer

$
$

(170,800,000) $

$

(22,200,000) $

372,426,728 Updated portfolio data from servicer

$

(549) $

372,426,179 Updated portfolio data from servicer

$

(900,000) $

$

(653) $

6/29/2011

10717

$

3/30/2011

N/A

725,278 Updated portfolio data from servicer

2/16/2011

674,000,000

800,000 Updated portfolio data from servicer

(74,722) $

1/6/2011

$

(10,000) $

$

12/15/2010

Financial Instrument for Home Loan Modifications

$

10/15/2010

Purchase

810,000 Updated portfolio data from servicer

9/30/2010

CA

$

7/14/2010

North Highlands

170,000

3/26/2010

12

$

12/30/2009

N/A

$

6/29/2011

140,000

210,000

4/13/2011

$

$

3/30/2011

Financial Instrument for Home Loan Modifications

$

1/6/2011

Purchase

290,000

9/30/2010

CA

$

7/14/2010

Oakland

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

3/26/2010

Oakland Municipal Credit Union

9/30/2009
12/30/2009

8/5/2009

$

(6,168) $

9/30/2009

$

313,050,000

$

12/30/2009

$

275,370,000

$

371,526,179 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
371,525,526 reallocation
Updated due to quarterly assessment and
371,519,358 reallocation
Updated portfolio data from servicer & HPDP initial
1,087,950,000 cap
Updated portfolio data from servicer & HAFA initial
1,363,320,000 cap

3/26/2010

$

278,910,000

$

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

7/14/2010

$

(474,730,000) $

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

8/13/2010

$

(700,000) $

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

9/15/2010

$

(1,000,000) $

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

9/30/2010

$

(115,017,236) $

10/15/2010

$

(800,000) $

1,049,982,764 Transfer of cap due to servicing transfer

12/15/2010

$

800,000

$

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

1/6/2011

$

(1,286) $

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

3/16/2011

$

3/30/2011

$

38,626,728

8,800,000

$

$

(1,470) $

725,277 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,276 reallocation
525,276 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
525,269 reallocation

565,426,728 Updated portfolio data from servicer
394,626,728 Transfer of cap due to servicing transfer

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

1,059,581,478 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,059,580,008 reallocation

70

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

Transaction
State
Type

Investment Description

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

10438

1000744
1000744
1000744
1000744
1000744
1000744
1000744

(2,900,000) $

1,052,166,911 Transfer of cap due to servicing transfer

$

(300,000) $

9/30/2009

$

(1,200,000) $

$

30,800,000

$

$

23,200,000

$

$

2,710,000

$

$
$

6,680,000

$

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

$

2,600,000

$

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

$

(100,000) $

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

$

200,000

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

$

(1,423,197) $

51,656,803 Updated portfolio data from servicer

$

1,400,000

53,056,803 Transfer of cap due to servicing transfer

12/15/2010

1000744

$

11/16/2010

1000744

1,055,066,911 Transfer of cap due to servicing transfer

9/30/2010

1000744

(200,000) $

9/30/2010

1000744

(13,097) $

$

9/15/2010

1000744

$

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

8/13/2010

N/A

(700,000) $

7/16/2010

6,210,000

$

7/14/2010

$

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

6/16/2010

Financial Instrument for Home Loan Modifications

(300,000) $

3/26/2010

Purchase

$

12/30/2009

CA

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

10/14/2011
Calasbasa

(3,300,000) $

9/15/2011

10438

$

7/14/2011

10438

$

(18,020,000) $

$

$

1,051,866,911 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP initial
5,010,000 cap
Updated portfolio data from servicer & HAFA initial
35,810,000 cap
59,010,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
61,720,000 servicing transfer

(100,000) $

52,956,803 Updated portfolio data from servicer

(72) $

52,956,731 Updated portfolio data from servicer

1/6/2011

1000744

$

66,656,637 Transfer of cap due to servicing transfer

$

600,000

$

$

67,256,637 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
67,255,825 reallocation

7/14/2011

1000744

5,800,000

6/29/2011

1000744

$

6/16/2011

1000744

$

5/13/2011

1000744

$

4/13/2011

1000744

$

3/30/2011

1000744

$

3/16/2011

1000744

$

2/16/2011

1000744

$

1/13/2011

1000744

$

2,500,000

$

69,755,825 Transfer of cap due to servicing transfer

4,100,000

$

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

(100,000) $

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

4,000,000

$

(94) $
(100,000) $

(812) $

60,956,731 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
60,956,637 reallocation
60,856,637 Transfer of cap due to servicing transfer

9/15/2011

Titusville

PA

Purchase

Financial Instrument for Home Loan Modifications

$

29,730,000

N/A

$

2,800,000

$

72,555,825 Transfer of cap due to servicing transfer

10/14/2011

1000744

10454

Reason for Adjustment

6/29/2011

10438

Servis One, Inc.

Adjusted Cap

6/16/2011

10438

8/12/2009

Cap Adjustment Amount

5/13/2011

10438

PennyMac Loan Services, LLC

Note

4/13/2011

10438

8/12/2009

Adjustment Details
Adjustment
Date

$

300,000

$

9/30/2009

$

(25,510,000) $

12/30/2009

$

520,000

72,855,825 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP initial
4,220,000 cap
Updated portfolio data from servicer & HAFA initial
4,740,000 cap

$

71

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

Transaction
State
Type

Investment Description

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

10454

Reason for Adjustment

100,000

$

9,500,000 Initial FHA-HAMP cap

$

16,755,064

$

26,255,064 Updated portfolio data from servicer

$

100,000

$

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

$

100,000

$

26,455,064 Updated portfolio data from servicer

$

(40) $

26,455,024 Updated portfolio data from servicer

$

300,000

$

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

$

100,000

$

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

$

2,200,000

$

$

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

$

1,500,000

$

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

$

1,000,000

$

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

$

100,000

$

$

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

8/16/2011

10454

$

6/29/2011

10454

9,400,000 Transfer of cap to due to servicing transfer

6/16/2011

10454

$

5/13/2011

10454

9,300,000 Updated portfolio data from servicer

100,000

4/13/2011

10454

(850,000) $

$

3/30/2011

10454

$

3/16/2011

10454

$

2/16/2011

10454

850,000

1/13/2011

10454

$

1/6/2011

10454

$

12/15/2010

10454

230,000

10/15/2010

10454

$

9/30/2010

10454

$

9/30/2010

10454

4,330,000

9/15/2010

10454

$

7/14/2010

10454

$

(52) $

(534) $
700,000

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

$

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

(600,000) $

31,754,438 Transfer of cap due to servicing transfer

9/15/2011

10008
10008
10008
10008
10008
10008
10008
Palo Alto

CA

Purchase

Financial Instrument for Home Loan Modifications

$

300,000

N/A

$

1,355,930,000

$

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

$

121,180,000

$

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

$

(408,850,000) $

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

$

5,500,000

$

(51,741,163) $

$

(2,282) $

$

(2,674) $

6/29/2011

10008

$

3/30/2011

N/A

145,800,000

1/6/2011

668,440,000

$

9/30/2010

$

10/2/2009

9/30/2010

Financial Instrument for Home Loan Modifications

$

7/14/2010

Purchase

4,000,000

3/26/2010

CA

$

12/30/2009

Pasadena

$

10/14/2011

10454

Stanford Federal Credit Union

Adjusted Cap

5/19/2010

10454

8/28/2009

Cap Adjustment Amount

4/19/2010

10454

OneWest Bank

Note

3/26/2010

10454

8/28/2009

Adjustment Details
Adjustment
Date

$

(24,616) $

10/2/2009

$

70,000

$

12/30/2009

$

2,680,000

$

370,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
3,050,000 cap

3/26/2010

$

350,000

$

3,400,000 Updated portfolio data from servicer

$

35,754,438 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

72

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

Transaction
State
Type

Investment Description

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

Adjustment Details
Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

7/14/2010

Charlotte

NC

Purchase

Financial Instrument for Home Loan Modifications

$

570,000

N/A

WI

Purchase

Financial Instrument for Home Loan Modifications

$

560,000

N/A

$

10,800,000 Updated portfolio data from servicer

$

5,301,172

$

16,101,172 Updated portfolio data from servicer
16,101,150 Updated portfolio data from servicer

(22) $

$

(400,000) $

$

(25) $

$

-

$

(232) $

$

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

TX

Purchase

Financial Instrument for Home Loan Modifications

$

6,000,000

N/A

10

$

$

(1,680,000) $

$

1,260,000

$

1,310,000 Updated portfolio data from servicer

$

(1,110,000) $

200,000 Updated portfolio data from servicer

$
$

(9,889) $

6/29/2011
Plano

$

9/30/2010

1001018

130,000
1,040,000

9/30/2010

1001018

$
$

7/14/2010

1001018

10354

8,300,000

5/12/2010

1001018

10354

$

3/26/2010

1001018

10354

2,500,000 Updated portfolio data from servicer

10/2/2009

1001018

10354

$

$

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

12/30/2009

1001018

10354

2,110,000

6/29/2011
Horicon

10354

$

4/13/2011

1001011

10354

$

(310,000) $

3/30/2011

1001011

10354

$

1/6/2011

1001011

10354

130,000

- Termination of SPA

$

3/16/2011

1001011

10354

(290,111) $

9/30/2010

1001011

10354

$

7/14/2010

1001011

Vantium Capital, Inc.dba Acqura Loan Services

290,111 Updated portfolio data from servicer

3/26/2010

1001011

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

(1,209,889) $

10/2/2009

1001011

Horicon Bank

$

12/30/2009

1001011

9/2/2009

1,500,000 Updated portfolio data from servicer

3/23/2010
RoundPoint Mortgage Servicing Corporation

(1,900,000) $

9/30/2010

8/28/2009

$

$

(3) $

10/2/2009

$

12/30/2009

$

3/26/2010

$

7/14/2010

$

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

$

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

12/15/2010

$

2,700,000

$

11,917,764 Updated portfolio data from servicer

(17) $

11,917,747 Updated portfolio data from servicer

100,000

1,310,000

$

$

(3,390,000) $
410,000

690,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
1,730,000 cap
50,000 Updated portfolio data from servicer

300,000 Initial RD-HAMP
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
290,108 reallocation
7,310,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
3,920,000 cap

$

4,330,000 Updated portfolio data from servicer

(730,000) $

3,600,000 Updated portfolio data from servicer

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

(19) $

73

Servicer Modifying Borrowers' Loans
Date

Name of Institution

City

Transaction
State
Type

Investment Description

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

10354

1000890
Owensboro

KY

Purchase

Financial Instrument for Home Loan Modifications

$

114,220,000

N/A

100,000

$

15,117,539 Transfer of cap due to servicing transfer

$

100,000

$

15,217,539 Transfer of cap due to servicing transfer

10/2/2009

$

280,000

$

$

(750,000) $

$

120,000

$

900,000 Updated portfolio data from servicer

$

(300,000) $

600,000 Updated portfolio data from servicer

$

270,334

870,334 Updated portfolio data from servicer

$

(1) $

$

(1) $

6/29/2011

N/A

$

3/30/2011

1,250,000

1000890

$

(5) $

$

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

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

1000483
1000483
1000483
1000483
1000483
1000483
1000483
Oak Ridge

TN

Purchase

Financial Instrument for Home Loan Modifications

$

2,070,000

N/A

36,574,444

181,174,444 Updated portfolio data from servicer

$
$

(172) $

$

(1,431) $

10/2/2009

$

950,000

$

$

5,700,000

$

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

$

740,000

$

11,740,000 Updated portfolio data from servicer

$

(1,440,000) $

10,300,000 Updated portfolio data from servicer

$

(6,673,610) $

3,626,390 Updated portfolio data from servicer

$

(5) $

$

(6) $

6/29/2011

N/A

$

3/30/2011

4,350,000

144,600,000 Updated portfolio data from servicer

1/6/2011

$

(85,780,000) $

9/30/2010

Financial Instrument for Home Loan Modifications

$

7/14/2010

Purchase

230,380,000 Updated portfolio data from servicer

3/26/2010

NY

$

12/30/2009

Albany

41,830,000

6/29/2011

10305

$

3/30/2011

10305

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

1/6/2011

10305

$
$

9/30/2010

10305

24,920,000
49,410,000

7/14/2010

10305

$
$

3/26/2010

10305

10/2/2009
12/30/2009

10305

1000467

15,017,539 Transfer of cap due to servicing transfer

1/6/2011

$

1000890

1000467

$

9/30/2010

Financial Instrument for Home Loan Modifications

1000890

1000467

300,000

7/14/2010

Purchase

1000890

ORNL Federal Credit Union

$

3/26/2010

FL

1000890

9/11/2009

$

(189) $

14,717,728 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,717,539 reallocation

12/30/2009

Lake Mary

CUC Mortgage Corporation

$

9/15/2011

1000890

9/9/2009

$

Reason for Adjustment

10/14/2011

10354

U.S. Bank National Association

300,000

Adjusted Cap

8/16/2011

10354

9/9/2009

Cap Adjustment Amount

6/29/2011

10354

Central Florida Educators Federal Credit Union

Note

4/13/2011

10354

9/9/2009

Adjustment Details
Adjustment
Date

$

(52) $

$

(160) $

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

10/2/2009

$

460,000

$

12/30/2009

$

2,730,000

$

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

3/26/2010

$

13,280,000

$

18,540,000 Updated portfolio data from servicer

7/14/2010

$

(13,540,000) $

5,000,000 Updated portfolio data from servicer

74

Servicer Modifying Borrowers' Loans
Date

Name of Institution

City

Transaction
State
Type

Investment Description

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

1000467

Adjustment Details
Note

Adjustment
Date

Cap Adjustment Amount

1001029
1001029
1001029
9/11/2009

Metropolitan National Bank

Little Rock

AR

Purchase

Financial Instrument for Home Loan Modifications

$

280,000

N/A

280,000

$

510,000 Updated portfolio data from servicer

$

(410,000) $

100,000 Updated portfolio data from servicer

$
$

10/2/2009

$

70,000

$

$

620,000

$

$

100,000

$

1,070,000 Updated portfolio data from servicer

$

(670,000) $

400,000 Updated portfolio data from servicer

$

1/6/2011

1001029

$

9/30/2010

1001029

(80,000) $

7/14/2010

N/A

$

6/29/2011

250,000

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

9/30/2010

$

$

7/14/2010

Financial Instrument for Home Loan Modifications

$

3/26/2010

Purchase

10/2/2009
12/30/2009

FL

(12) $

6/29/2011
Ocala

$

3/26/2010

Allstate Mortgage Loans & Investments, Inc.

(10) $

12/30/2009

9/11/2009

$

3/30/2011

1000467

$

1/6/2011

1000467

$

Reason for Adjustment

9/30/2010

1000467

1,817,613

Adjusted Cap

(115) $
60,000

45,056

$

$

(1) $

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

145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
350,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
970,000 cap

Franklin Credit Management Corporation

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

Bay Federal Credit Union

Capitola
1001037
1001037
1001037
1001037
1001037

CA

Purchase

Financial Instrument for Home Loan Modifications

$

410,000

N/A

$

(19,750,000) $

$

(4,780,000) $

8,990,000 Updated portfolio data from servicer

$

(2,390,000) $

6,600,000 Updated portfolio data from servicer

$

2,973,670

$

9,573,670 Updated portfolio data from servicer

$

(3) $

9,573,667 Updated portfolio data from servicer

$

(1,800,000) $

$

(6) $

$

(61) $

10/14/2011

1000955

$

6/29/2011

1000955

10/2/2009

3/30/2011

N/A

(435,166) $

2/16/2011

27,510,000

$

1/6/2011

$

435,166 Updated portfolio data from servicer

9/30/2010

Financial Instrument for Home Loan Modifications

(1) $

7/14/2010

Purchase

$

3/26/2010

NJ

435,167 Updated portfolio data from servicer

12/30/2009

Jersey City

$

1/26/2011
9/11/2009

35,167

6,817,613 Updated portfolio data from servicer

$

(100,000) $

10/2/2009

$

90,000

$

12/30/2009

$

1,460,000

$

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

580,221 Updated portfolio data from servicer

6,010,000

$

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

7,773,667 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
7,773,661 reallocation
Updated due to quarterly assessment and
7,773,600 reallocation
7,673,600 Transfer of cap due to servicing transfer

75

Servicer Modifying Borrowers' Loans
Date

Name of Institution

City

Transaction
State
Type

Investment Description

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

1001037

AMS Servicing, LLC

Purchase

Financial Instrument for Home Loan Modifications

$

390,000

N/A

1001045
1001045
1001045
1001045
1001045

$

7,800,000 Updated portfolio data from servicer

$

323,114

$

8,123,114 Updated portfolio data from servicer

$

(12) $

8,123,102 Updated portfolio data from servicer

$
$
$

200,000

$

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

$

100,000

$

$

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

$

100,000

$

9,122,933 Transfer of cap due to servicing transfer

10/2/2009

$

90,000

$

$

940,000

$

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

$

(980,000) $

440,000 Updated portfolio data from servicer

$

(140,000) $

300,000 Updated portfolio data from servicer

$

600,000

$

(16) $

(153) $

1,150,556

$

1/6/2011

Financial Instrument for Home Loan Modifications

$

230,000

N/A

$

(22) $

10/2/2009

$
$

7/14/2010

Purchase

(2) $

3/26/2010

OH

(2) $

$

12/30/2009

Maumee

$

6/29/2011

1001045

10716
10716
10716
Woodbridge

NJ

Purchase

Financial Instrument for Home Loan Modifications

$

30,000

N/A

$

8,723,102 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
8,723,086 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
1,450,530 reallocation

(10,000) $

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

$

130,000

$

410,000 Updated portfolio data from servicer

$

(110,000) $

300,000 Updated portfolio data from servicer

$

(9,889) $

6/29/2011

10716

60,000

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

9/30/2010

10716

Central Jersey Federal Credit Union

5,310,000

$

3/30/2011

1001045

9/23/2009

$

9/30/2010

CA

2,490,000 Updated portfolio data from servicer

7/14/2010

Sacramento

$

3/26/2010

1001184

230,000

12/30/2009

1001184

(3,090,000) $

$

9/15/2011

1001184

$

6/29/2011

1001184

960,000

5/13/2011

1001184

$

4/13/2011

1001184

10/2/2009

3/30/2011

1001184

(8) $

3/16/2011

N/A

$

1/6/2011

4,390,000

(1) $

9/30/2010

$

$

7/14/2010

Financial Instrument for Home Loan Modifications

1001184

Glass City Federal Credit Union

Reason for Adjustment

Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation

3/26/2010

Purchase

1001184

9/23/2009

Adjusted Cap

12/30/2009

NY

1001184

Schools Financial Credit Union

Cap Adjustment Amount

6/29/2011
Buffalo

1001184

9/23/2009

Note

3/30/2011

1001037
9/23/2009

Adjustment Details
Adjustment
Date

$

(3) $

10/2/2009

$

10,000

$

12/30/2009

$

120,000

$

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

3/26/2010

$

10,000

$

170,000 Updated portfolio data from servicer

7/14/2010

$

(70,000) $

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056

145,056 Updated portfolio data from servicer

$

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

76

Servicer Modifying Borrowers' Loans

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

Adjustment Details

9/23/2009

Yadkin Valley Bank

240,000

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

$

$

350,000

$

$

1,360,000

$

2,010,000 Updated portfolio data from servicer

$

(1,810,000) $

200,000 Updated portfolio data from servicer

$
$

(1) $

6/29/2011

$

60,000

1/6/2011

Financial Instrument for Home Loan Modifications

$

9/30/2010

Purchase

10/2/2009

7/14/2010

NC

Note

$

3/26/2010

Elkin

Investment Description

Cap Adjustment Amount

12/30/2009

City

Adjustment
Date
10/29/2010

Name of Institution

Date

Transaction
State
Type

$

(4) $

Adjusted Cap

(145,056) $

235,167

$

Reason for Adjustment
- Termination of SPA

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

435,167 Updated portfolio data from servicer
435,166 Updated portfolio data from servicer
Updated due to quarterly assessment and
435,162 reallocation

1000924

$

20,000

$

$

(290,000) $

270,000 Updated portfolio data from servicer

$

(70,000) $

200,000 Updated portfolio data from servicer

9/30/2010

1000924

100,000

7/14/2010

1000924

$
$

3/26/2010

1000924

10/2/2009
12/30/2009

1000924

$

(54,944) $

145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated portfolio data from servicer & HAFA initial
1,600,000 cap

6/29/2011

1001122
1001122
1001122
1001122
1001122
10/14/2009

10/21/2009

Mortgage Clearing Corporation

Tulsa

United Bank Mortgage Corporation

Grand Rapids
1000073
1000073
1000073
1000073
1000073
1000073

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

$

180,222

580,222 Updated portfolio data from servicer

$

(1) $

$

(1) $

$

(8) $

12/30/2009

$

(2,900,000) $

$

(1,600,000) $

360,000 Updated portfolio data from servicer

$

(260,000) $

100,000 Updated portfolio data from servicer

$

3/9/2011

1001122

400,000 Updated portfolio data from servicer

9/30/2010

N/A

(320,000) $

6/29/2011

570,000

$

3/30/2011

$

720,000 Updated portfolio data from servicer

1/6/2011

Financial Instrument for Home Loan Modifications

(880,000) $

9/30/2010

Purchase

$

7/14/2010

IL

$

3/26/2010

North Chicago

$

7/14/2010

Great Lakes Credit Union

12/30/2009

3/26/2010

10/14/2009

(1) $

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

$

1/22/2010

$

20,000

$

430,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

400,000

$

830,000 Updated portfolio data from servicer

7/14/2010

$

(430,000) $

400,000 Updated portfolio data from servicer

9/30/2010

$

180,222

580,222 Updated portfolio data from servicer

1,030,000

45,056

$

$

$

(145,056) $

$

1/6/2011

$

(1) $

3/30/2011

$

(1) $

6/29/2011

$

(5) $

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 initial
1,960,000 cap

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

580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,215 reallocation

77

Servicer Modifying Borrowers' Loans
Name of Institution

Date
10/23/2009

City

Bank United

Miami Lakes

Transaction
State
Type
FL

Purchase

Investment Description
Financial Instrument for Home Loan Modifications

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

93,660,000

N/A

10048

$

$

23,880,000

$

121,910,000 Updated portfolio data from servicer

$

(16,610,000) $

105,300,000 Updated portfolio data from servicer

$

1,751,033

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

$

107,051,033 Updated portfolio data from servicer
107,050,956 Updated portfolio data from servicer

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
Los Alamos

NM

Purchase

Financial Instrument for Home Loan Modifications

$

700,000

N/A

2,670,000 Updated portfolio data from servicer

(770,000) $

1,900,000 Updated portfolio data from servicer

$

565,945

2,465,945 Updated portfolio data from servicer

$

(4) $

$

(4) $

$

(40) $

4/21/2010

$

(1,070,000) $

4/21/2010

$

(510,000) $

1/22/2010

$

10,000

$

80,000 Updated HPDP cap & HAFA initial cap

$

10,000

$

90,000 Updated portfolio data from servicer

$

10,000

$

100,000 Updated portfolio data from servicer

$

45,056

$

$

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

1/22/2010

$

7/14/2010

10/28/2009

$

$

3/26/2010

1000740

$

6/29/2011

1000740

$

9/30/2010

1000740

$

7/14/2010

1000740

1/22/2010

3/26/2010

1000740

(773) $

6/29/2011

1000740

$

3/30/2011

N/A

(88) $

1/6/2011

760,000

$

9/30/2010

$

(9,900,000) $

7/14/2010

Financial Instrument for Home Loan Modifications

(77) $

$

5/12/2010

Purchase

$

3/26/2010

MA

1000740

40,000

$

(760,000) $
2,630,000

$

(1) $

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

2,465,941 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

1000676
1000676
Tampa

FL

Purchase

Financial Instrument for Home Loan Modifications

$

18,960,000

N/A

50,000

$

790,000 Updated portfolio data from servicer

$

1,310,000

$

2,100,000 Updated portfolio data from servicer

$

75,834

$

2,175,834 Updated portfolio data from servicer

$

(3) $

$

(4) $

6/29/2011

1000676

$

3/30/2011

1000676

$

1/6/2011

1000676

40,000

9/30/2010

1000676

1001271

4,370,000

6/29/2011
Fitchburg

1001271

$

3/30/2011

10048

Quantum Servicing Corporation

1/22/2010

1/6/2011

10048

11/18/2009

Reason for Adjustment

3/16/2011

10048

Los Alamos National Bank

Adjusted Cap

9/30/2010

10048

11/6/2009

Cap Adjustment Amount

7/14/2010

10048

IC Federal Credit Union

Note

3/26/2010

10048

10/23/2009

Adjustment Details
Adjustment
Date

740,000 Updated HPDP cap & HAFA initial cap

$

(35) $

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

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

78

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

Transaction
State
Type

Investment Description

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

1001271

1000443
1000443
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
10412

AZ

Purchase

Financial Instrument for Home Loan Modifications

$

20,360,000

N/A

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

$

800,000

$

$

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

$

300,000

$

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

$

200,000

$

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

$

100,000

$

35,061,013 Transfer of cap due to servicing transfer

1/22/2010

$

80,000

$

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

$

330,000

$

2,080,000 Updated portfolio data from servicer

$

(1,080,000) $

1,000,000 Updated portfolio data from servicer

$
$

(1) $

$

(2) $

$

(16) $

1,160,444 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

$

(10,000) $

$

90,000

$

100,000 Updated portfolio data from servicer

$

45,056

$

6/29/2011

1000443

$

9/30/2010

1000443

100,000

7/14/2010

1000443

$

3/26/2010

1000443

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

6/29/2011

N/A

$

3/30/2011

1,670,000

100,000

1/6/2011

$

$

9/30/2010

Financial Instrument for Home Loan Modifications

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

7/14/2010

Purchase

$

3/26/2010

MI

1,400,000

$

9/15/2011
Hillsdale

$

8/16/2011

1001271

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

7/14/2011

1001271

$

6/29/2011

1001271

1,600,000

6/16/2011

1001271

$

5/13/2011

1001271

$

4/13/2011

1001271

$

3/30/2011

1001271

QLending, Inc.

Reason for Adjustment

2/16/2011

1001271

9,661,676

Adjusted Cap

1/13/2011

1001271

11/18/2009

Cap Adjustment Amount

1/6/2011

1001271

Hillsdale County National Bank

Note

9/30/2010

1001271

11/18/2009

Adjustment Details
Adjustment
Date

$

30,461,676 Updated portfolio data from servicer

(46) $

30,461,630 Updated portfolio data from servicer

$

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

1/22/2010

$

950,000

3/26/2010

$

(17,880,000) $

6/16/2010

$

1,030,000

7/14/2010

$

(1,160,000) $

8/13/2010

$

800,000

$

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

9/30/2010

$

200,000

$

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

9/30/2010

$

1,357,168

$

5,657,168 Updated portfolio data from servicer

1/6/2011

$

(1) $

5,657,167 Updated portfolio data from servicer

3/16/2011

$

(58) $

(559) $

160,445

$

$

(1) $

5,700,000

$

$

$

1,160,445 Updated portfolio data from servicer

10,000 Updated portfolio data from servicer

21,310,000 Updated HPDP cap & HAFA initial cap
3,430,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
4,460,000 servicing transfer
3,300,000 Updated portfolio data from servicer

11,357,167 Transfer of cap due to servicing transfer

79

Servicer Modifying Borrowers' Loans
Date

Name of Institution

City

Transaction
State
Type

Investment Description

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

Adjustment Details
Note

10412

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

3/30/2011

1/22/2010

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

Spirit of Alaska Federal Credit Union

Fairbanks

AK

Purchase

Financial Instrument for Home Loan Modifications

$

360,000

N/A

(230,000) $

$

50,000

$

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

$

1,020,000

$

2,350,000 Updated portfolio data from servicer

$

(950,000) $

1,400,000 Updated portfolio data from servicer

$
$

(2) $

$

(2) $

$

(100,000) $

$

(21) $

7/22/2011

$

(1,335,614) $

1/22/2010

$

10,000

$

390,000 Updated HPDP cap & HAFA initial cap

$

520,000

$

910,000 Updated portfolio data from servicer

$

(810,000) $

100,000 Updated portfolio data from servicer

$
$

1/22/2010

$

440,000

$

$

14,480,000

$

24,350,000 Updated portfolio data from servicer

$

(24,200,000) $

150,000 Updated portfolio data from servicer

$

150,000

300,000 Updated portfolio data from servicer

$

(9,889) $

6/29/2011

1,280,000

$

9/30/2010

$

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

7/14/2010

Financial Instrument for Home Loan Modifications

$

5/26/2010

Purchase

300,000

3/26/2010

PA

$

6/29/2011

Media

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

9/30/2010

First Keystone Bank

$

7/14/2010

11/25/2009

100,000

4/21/2010

N/A

$

3/26/2010

230,000

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

6/29/2011

$

$

6/16/2011

Financial Instrument for Home Loan Modifications

900,000

$

3/30/2011

Purchase

$

1/6/2011

FL

18,957,161 Transfer of cap due to servicing transfer

9/30/2010

Coral Gables

$

7/14/2010

Home Financing Center, Inc

300,000

3/26/2010

11/25/2009

$

8/16/2011

10412

18,657,161 Transfer of cap due to servicing transfer

7/14/2011

10412

$

6/29/2011

10412

7,300,000

6/16/2011

10412

$

5/13/2011

10412

$

4/13/2011

10412

(6) $

Reason for Adjustment

Updated due to quarterly assessment and
11,357,161 reallocation

$

(3) $

1/22/2010

$

3/26/2010
7/14/2010

(154) $

50,556

45,056

$

$

(1) $

$

- Termination of SPA

1,450,556 Updated portfolio data from servicer
1,450,554 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,552 reallocation
1,350,552 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,350,531 reallocation
14,917 Termination of SPA

145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
9,870,000 Updated HPDP cap & HAFA initial cap

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

10,000

$

370,000 Updated HPDP cap & HAFA initial cap

$

850,000

$

1,220,000 Updated portfolio data from servicer

$

(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

80

Servicer Modifying Borrowers' Loans
Date

Name of Institution

City

Transaction
State
Type

Investment Description

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

Adjustment Details
Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

1/6/2011

American Eagle Federal Credit Union

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

$

(1) $

$

(1) $

$

(13) $

1/22/2010

$

$
$

(2) $

$

(3) $

6/29/2011

1001228

800,000 Updated portfolio data from servicer

3/30/2011

1001228

(570,000) $

$

1/6/2011

1001228

$

9/30/2010

1001228

1,370,000 Updated portfolio data from servicer

7/14/2010

1001228

(290,000) $

3/26/2010

N/A

$

6/29/2011

1,590,000

70,000

3/30/2011

$

$

1/6/2011

Financial Instrument for Home Loan Modifications

1/22/2010

9/30/2010

Purchase

(1,305,498) $

7/14/2010

CT

$

3/26/2010

East Hartford

(2) $

2/17/2011
12/9/2009

$

$

(26) $

70,334

$

$

1,305,498 Updated portfolio data from servicer
- Termination of SPA
1,660,000 Updated HPDP cap & HAFA initial cap

870,334 Updated portfolio data from servicer
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,319 reallocation

90,000

$

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

$

1,110,000

$

3,080,000 Updated portfolio data from servicer

$

(1,180,000) $

1,900,000 Updated portfolio data from servicer

275,834

$

2,175,834 Updated portfolio data from servicer
2,175,832 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,175,829 reallocation
Updated due to quarterly assessment and
2,175,803 reallocation

The Golden 1 Credit Union

Sacramento
1001226
1001226
1001226
1001226

CA

Purchase

Purchase

Financial Instrument for Home Loan Modifications

Financial Instrument for Home Loan Modifications

$

$

230,000

6,160,000

N/A

N/A

$

(6,384,611) $

1,015,389 Updated portfolio data from servicer

$

(1) $

$

(2) $

$

(16) $

1/22/2010

$

10,000

$

240,000 Updated HPDP cap & HAFA initial cap

$

440,000

$

680,000 Updated portfolio data from servicer

$

(80,000) $

600,000 Updated portfolio data from servicer

$

(19,778) $

580,222 Updated portfolio data from servicer

10/15/2010
12/9/2009

FL

7,400,000 Updated portfolio data from servicer

9/30/2010

Tampa

(1,980,000) $

7/14/2010

Bay Gulf Credit Union

$

3/26/2010

12/9/2009

9,380,000 Updated portfolio data from servicer

6/29/2011

1001269

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

$

3/30/2011

1001269

$

1/6/2011

1001269

140,000
6,300,000

9/30/2010

1001269

$
$

7/14/2010

1001269

1/22/2010
3/26/2010

1001269

$

(580,222) $

1/22/2010

$

3/26/2010
7/14/2010
9/30/2010

$

1/6/2011

$

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

606,612

$

4,206,612 Updated portfolio data from servicer

(4) $

4,206,608 Updated portfolio data from servicer

81

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

Transaction
State
Type

Investment Description

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

1001226

Sterling Savings Bank

Financial Instrument for Home Loan Modifications

$

310,000

N/A

10125
10125
10125
10125
10125
10125
Glenview

Glenview State Bank

IL

Purchase

Financial Instrument for Home Loan Modifications

$

370,000

N/A

550,556

$

(1) $

$

(1) $

$

(11) $

1/22/2010

$

$
$

(1) $

$

(1) $

6/29/2011

Purchase

(710,000) $

$

3/30/2011

IL

$

1/6/2011

Manteno

(740,000) $

9/30/2010

1000638

$

7/14/2010

1000638

$

3/26/2010

1000638

1/22/2010

6/29/2011

N/A

(35) $

3/30/2011

2,250,000

$

1/6/2011

$

(4) $

9/30/2010

Financial Instrument for Home Loan Modifications

$

7/14/2010

Purchase

1000638

12/11/2009

Adjusted Cap

3/26/2010

WA

1000638

HomeStar Bank & Financial Services

Cap Adjustment Amount

6/29/2011
Spokane

1000638

12/11/2009

Note

3/30/2011

1001226
12/9/2009

Adjustment Details
Adjustment
Date

$

(13) $

100,000

$

$

Reason for Adjustment

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
1,450,555 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

20,000

$

$

820,000

$

1,150,000 Updated portfolio data from servicer

$

(350,000) $

800,000 Updated portfolio data from servicer

70,334

$

330,000 Updated HPDP cap & HAFA initial cap

870,334 Updated portfolio data from servicer
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,319 reallocation

Financial Instrument for Home Loan Modifications

$

600,000

N/A

$

$

(1,640,000) $

1/22/2010

$

30,000

$

$

400,000

$

1,030,000 Updated portfolio data from servicer

$

(330,000) $

700,000 Updated portfolio data from servicer

9/30/2010

Purchase

$

7/14/2010

WA

20,000
1,250,000

3/26/2010

Seattle

Verity Credit Union

$
$

5/26/2010
12/11/2009

1/22/2010
3/26/2010

$

25,278

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

$

725,278 Updated portfolio data from servicer
725,277 Updated portfolio data from servicer

1/6/2011

12/11/2009

Financial Instrument for Home Loan Modifications

$

630,000

N/A

1000753
1000753
1000753
1000753

30,000

$

$

800,000

$

1,460,000 Updated portfolio data from servicer

$

(360,000) $

1,100,000 Updated portfolio data from servicer

$

60,445

$

1/6/2011

Bryn Mawr

PA

Purchase

Financial Instrument for Home Loan Modifications

$

150,000

N/A

$

(2) $

$

(2) $

6/29/2011

1000753
The Bryn Mawr Trust Co.

$

3/30/2011

1000753

12/11/2009

1/22/2010

9/30/2010

Purchase

(725,277) $

7/14/2010

WI

(1) $

$

3/26/2010

Hartford

Hartford Savings Bank

$

2/17/2011

$

(18) $

4/21/2010

$

(150,000) $

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

1,160,445 Updated portfolio data from servicer
1,160,443 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,160,441 reallocation
Updated due to quarterly assessment and
1,160,423 reallocation
- Termination of SPA

82

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

Transaction
State
Type

Investment Description

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

Adjustment Details
Note
9

1000631

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

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

1,430,000

$

1,500,000 Updated portfolio data from servicer

$

95,612

$

1,595,612 Updated portfolio data from servicer

$

(2) $

$

(3) $

$

(24) $

1/22/2010

$

10,000

$

180,000 Updated HPDP cap & HAFA initial cap

$

30,000

$

210,000 Updated portfolio data from servicer

$

(10,000) $

200,000 Updated portfolio data from servicer

$

90,111

290,111 Updated portfolio data from servicer

$

1/22/2010

$

160,000

$

(3,620,000) $

1/22/2010

$

20,000

$

$

1,430,000

$

1,890,000 Updated portfolio data from servicer

7/14/2010

1000438

$

3/26/2010

1000438

$

4/21/2010

1000438

650,000 Updated HPDP cap & HAFA initial cap

2/17/2011

1000438

$

9/30/2010

1000438

30,000

7/14/2010

N/A

$

6/29/2011

620,000

1/22/2010

3/30/2011

$

100,000 Transfer of cap due to servicing transfer

1/6/2011

Financial Instrument for Home Loan Modifications

$

9/30/2010

Purchase

100,000

7/14/2010

IL

$

3/26/2010

Spring Valley

Citizens 1st National Bank

6/16/2011

3/26/2010

12/16/2009

$

(390,000) $

1,500,000 Updated portfolio data from servicer

(580,000) $

$

(290,111) $
$

70,000 Updated portfolio data from servicer

1,595,610 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,595,607 reallocation
Updated due to quarterly assessment and
1,595,583 reallocation

- Termination of SPA
3,620,000 Updated HPDP cap & HAFA initial cap
- Termination of SPA
460,000 Updated HPDP cap & HAFA initial cap

9/8/2010
12/16/2009

N/A

1000825
1000825
1000825
1000825
1000825
1000825
12/16/2009

Solon

Park View Federal Savings Bank
10025
10025
10025
10025
10025
10025

OH

Purchase

Financial Instrument for Home Loan Modifications

$

760,000

N/A

$

$

1,740,000

$

2,470,000 Updated portfolio data from servicer

$

(1,870,000) $

600,000 Updated portfolio data from servicer

$
$
$

(2) $

6/29/2011

700,000

30,000

3/30/2011

$

(1,500,000) $

1/6/2011

Financial Instrument for Home Loan Modifications

$

9/30/2010

Purchase

$

7/14/2010

IN

1/22/2010
3/26/2010

Michigan City

Horizon Bank, NA

$

(23) $

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

$

850,556

$

(2) $

70,334

$

1/6/2011

$

(1) $

3/30/2011

$

(1) $

6/29/2011

$

(12) $

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

1,450,556 Updated portfolio data from servicer
1,450,554 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,552 reallocation
Updated due to quarterly assessment and
1,450,529 reallocation

870,334 Updated portfolio data from servicer
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,320 reallocation

83

Servicer Modifying Borrowers' Loans
Name of Institution

Date
12/23/2009

City
Sarasota

Iberiabank

Transaction
State
Type
FL

Purchase

Investment Description
Financial Instrument for Home Loan Modifications

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

4,230,000

Adjustment Details
Note

N/A

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap
$

Reason for Adjustment

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

$

5,852,780

7,252,780 Updated portfolio data from servicer

$

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

1/6/2011

12/23/2009

12/23/2009

1/13/2010

Tempe

Tempe Schools Credit Union

Fresno

Fresno County Federal Credit Union

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

10507
10507
10507

(1) $

$

(1) $

$

(11) $

1/22/2010

$

-

$

$

90,000

$

150,000 Updated portfolio data from servicer

$

50,000

$

200,000 Updated portfolio data from servicer

$

(54,944) $

145,056 Updated portfolio data from servicer

$

(145,056) $

1/22/2010

$
$

(20,000) $

$

10,000

$

100,000 Updated portfolio data from servicer

$

45,056

$

145,056 Updated portfolio data from servicer

$

(145,056) $

3/26/2010

$

480,000

$

740,000 Updated portfolio data from servicer

$

(140,000) $

600,000 Updated portfolio data from servicer

$

(19,778) $

580,222 Updated portfolio data from servicer

-

$

6,952,756 Transfer of cap due to servicing transfer
25,502 Termination of SPA
360,000 Updated HPDP cap & HAFA initial cap
40,000 Updated portfolio data from servicer

725,277 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,276 reallocation
Updated due to quarterly assessment and
725,265 reallocation
60,000 Updated HPDP cap & HAFA initial cap

- Termination of SPA
110,000 Updated HPDP cap & HAFA initial cap
90,000 Updated portfolio data from servicer

- Termination of SPA

1/6/2011

Roebling

NJ

Purchase

Financial Instrument for Home Loan Modifications

$

240,000

N/A

$

(1) $

$

(1) $

6/29/2011

10507
Roebling Bank

$

$

7,252,769 Updated portfolio data from servicer
Updated due to quarterly assessment and
7,252,756 reallocation

3/30/2011

10507

1/13/2010

725,278 Updated portfolio data from servicer

9/30/2010

Eaton

Eaton National Bank & Trust Company

800,000 Updated portfolio data from servicer

7/14/2010

1001192

$

(74,722) $

12/8/2010

1001192

760,000

$

9/30/2010

1001192

$

7/14/2010

1001192

(320,000) $

3/26/2010

1001192

$

5/20/2011

1001192

20,000

9/30/2010

N/A

$

7/14/2010

340,000

1/22/2010

6/29/2011

$

(6,927,254) $

3/30/2011

Financial Instrument for Home Loan Modifications

$

1/6/2011

Purchase

6/3/2011

9/30/2010

MA

(300,000) $

7/14/2010

North Grafton

Grafton Suburban Credit Union

$

3/26/2010

12/23/2009

(13) $

3/26/2010

12

(11) $

$

4/13/2011

Iberiabank

$

3/30/2011

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

$

(8) $

3/26/2010

$

610,000

$

850,000 Updated portfolio data from servicer

7/14/2010

$

50,000

$

900,000 Updated portfolio data from servicer

84

Servicer Modifying Borrowers' Loans
Date

Name of Institution

City

Transaction
State
Type

Investment Description

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

Adjustment Details
Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

9/30/2010

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

Carson City

Greater Nevada Mortgage Services
10517
10517
10517
10517
10517

NV

Purchase

Financial Instrument for Home Loan Modifications

$

770,000

N/A

$

$

4,860,000

$

$

3,630,000

$

$

330,000

$

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

$

700,000

$

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

$

200,000

$

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

$
$
$
$

1,500,000

$

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

$

7,100,000

$

$

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

$

1,000,000

$

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

$

100,000

$

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

$

300,000

$

$

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

$

100,000

$

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

$

300,000

$

34,533,774 Transfer of cap due to servicing transfer

10/14/2011

1000635

3,000,000

9/15/2011

1000635

$

8/16/2011

1000635

(51,240,000) $

6/29/2011

1000635

$

6/16/2011

1000635

3/26/2010

5/13/2011

1000635

(290,111) $

4/13/2011

1000635

$

3/30/2011

1000635

290,111 Updated portfolio data from servicer

3/16/2011

1000635

(9,889) $

1/13/2011

1000635

$

1/6/2011

1000635

300,000 Updated portfolio data from servicer

11/16/2010

1000635

290,000 Updated portfolio data from servicer

$

9/30/2010

N/A

$

10,000

9/15/2010

64,150,000

150,000

$

8/13/2010

$

$

7/16/2010

Financial Instrument for Home Loan Modifications

3/26/2010

7/14/2010

Purchase

N/A

(870,333) $

6/16/2010

CO

140,000

$

5/14/2010

Highlands Ranch

Specialized Loan Servicing, LLC

$

870,333 Updated portfolio data from servicer

1/26/2011
1/13/2010

Financial Instrument for Home Loan Modifications

(1) $

9/30/2010

Purchase

$

7/14/2010

IL

870,334 Updated portfolio data from servicer

3/23/2011
Grant Park

First National Bank of Grant Park

(29,666) $

1/6/2011

1/13/2010

$

$

300,000

$

34,833,774 Transfer of cap due to servicing transfer

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

$

1/6/2011

$

(1) $

3/30/2011

$

(1) $

6/29/2011

$

(8) $

(1,695,826) $
200,000

$

(32) $

(36) $

(332) $

170,334

$

- Termination of SPA

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

23,934,174 Updated portfolio data from servicer
24,134,174 Transfer of cap due to servicing transfer
24,134,142 Updated portfolio data from servicer

870,334 Updated portfolio data from servicer
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,324 reallocation

85

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

Transaction
State
Type

Investment Description

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

1/15/2010

Digital Federal Credit Union

Marlborough

MA

Purchase

Financial Instrument for Home Loan Modifications

$

3,050,000

N/A

1/29/2010

iServe Residential Lending, LLC

San Diego

CA

Purchase

Financial Instrument for Home Loan Modifications

$

960,000

N/A

Adjustment Details
Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

540,000

N/A

1000893
1000893
1000893
1000893
3/3/2010

Urban Trust Bank

Lake Mary

FL

Purchase

Financial Instrument for Home Loan Modifications

$

1,060,000

N/A

3/5/2010

iServe Servicing, Inc.

Irving

TX

Purchase

Financial Instrument for Home Loan Modifications

$

28,040,000

N/A

1001384

$

100,000

535,167 Transfer of cap due to servicing transfer

$

(1) $

$

(1) $

$

(7) $

3/26/2010

$

160,000

$

700,000 Updated portfolio data from servicer

$

25,278

$

725,278 Updated portfolio data from servicer

$

(1) $

$

(1) $

$

(11) $

7/14/2010

$

4,440,000

$

(5,500,000) $

$

5/26/2010

$

120,000

$

(12,660,000) $

$

$

100,000

$
$

$

(3,125,218) $
800,000

$

- Termination of SPA

535,166 Updated portfolio data from servicer
Updated due to quarterly assessment and
535,165 reallocation
Updated due to quarterly assessment and
535,158 reallocation

725,277 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,276 reallocation
Updated due to quarterly assessment and
725,265 reallocation
5,500,000 Updated portfolio data from servicer
- Termination of SPA
28,160,000 Initial 2MP cap
15,500,000 Updated portfolio data from servicer
15,600,000 Initial FHA-HAMP cap
12,474,782 Updated portfolio data from servicer
13,274,782 Transfer of cap due to servicing transfer

1/6/2011

$

60,780,000

N/A

1000494
1000494
1000494
1000494
Wyomissing

PA

Purchase

Financial Instrument for Home Loan Modifications

$

300,000

N/A

(221) $

7/14/2010

$

(44,880,000) $

$
$
$

(26) $

6/29/2011

Financial Instrument for Home Loan Modifications

$

3/30/2011

Purchase

(24) $

1/6/2011

VA

(20) $

$

9/30/2010

Vienna

$

6/29/2011

1001384

1000468

435,167 Updated portfolio data from servicer

$

15,240,000 Updated portfolio data from servicer

3/30/2011

1001384

1000468

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

11/16/2010

1001384

Vist Financial Corp

$

(364,833) $

9/30/2010

1001384

3/10/2010

200,000

$

9/30/2010

1001384

Navy Federal Credit Union

$

7/14/2010

1001384

3/10/2010

600,000 Updated portfolio data from servicer

6/29/2011

$

$

3/30/2011

Financial Instrument for Home Loan Modifications

370,000

1/6/2011

Purchase

$

9/30/2010

GA

230,000 Updated portfolio data from servicer

6/29/2011
Griffin

United Bank

(730,000) $

9/24/2010

1/29/2010

$

3/30/2011

1001415

3/26/2010

1/6/2011

1001415

(15,240,000) $

11/16/2010

1001415

$

9/30/2010

1001415

12,190,000

9/30/2010

1001415

$

7/14/2010

1001415

3/26/2010
5/14/2010

1001415

$

Reason for Adjustment

$

(238) $

7/14/2010

$

400,000

$

700,000 Updated portfolio data from servicer

9/30/2010

$

25,278

$

725,278 Updated portfolio data from servicer

1/6/2011

$

(1) $

725,277 Updated portfolio data from servicer

1,071,505

$

(23) $

13,274,762 Updated portfolio data from servicer
Updated due to quarterly assessment and
13,274,738 reallocation
Updated due to quarterly assessment and
13,274,517 reallocation
15,900,000 Updated portfolio data from servicer
16,971,505 Updated portfolio data from servicer
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

86

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

Transaction
State
Type

Investment Description

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

Adjustment Details
Note

1000468

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

Updated due to quarterly assessment and
725,276 reallocation
Updated due to quarterly assessment and
725,265 reallocation

3/30/2011

7/14/2010

1000657
5/21/2010

Marlton

Aurora Financial Group, Inc.

NJ

Purchase

Financial Instrument for Home Loan Modifications

$

10,000

N/A

4, 8

10425
10425
6/16/2010

Houston

Selene Finance LP

TX

Transfer

Financial Instrument for Home Loan Modifications

$

-

N/A

1001460
1001460
1001460
1001460

$

(5) $

$

(6) $

$

(3,000,000) $

$

(9) $

5/26/2010

$

30,000

$

$

250,111

$

$

59,889

$

6/16/2010

$

3,680,000

$

290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
350,000 reallocation
Transfer of cap from CitiMortgage, Inc. due to
3,680,000 servicing transfer

$

3,300,000

$

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

$

3,043,831

$

10,023,831 Updated portfolio data from servicer

$

1,400,000

$

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

$
$
$
$

6/16/2011

1001460

$

$

(17) $
2,100,000

$

(24) $
2,900,000

$

(200,000) $

6/29/2011

Albuquerque

NM

Purchase

Financial Instrument for Home Loan Modifications

$

880,000

N/A

$

10/14/2011

1001460

1000602

(4,352,173) $

4/13/2011

1001460

1000602

1,600,000

$

3/30/2011

1001460

1000602

$

1/6/2011

1001460

Suburban Mortgage Company of New Mexico

(150,000) $

3/16/2011

1001460

8/4/2010

9

$

10/15/2010

1000657

(580,212) $

9/30/2010

1000657

$

8/13/2010

1000657

(8) $

6/29/2011

1000657

$

9/30/2010

1000657

(1) $

7/14/2010

N/A

$

6/29/2011

6,550,000

580,222 Updated portfolio data from servicer

(1) $

4/13/2011

$

(19,778) $

$

3/30/2011

Financial Instrument for Home Loan Modifications

$

1/6/2011

Purchase

N/A

600,000 Updated portfolio data from servicer

9/30/2010

OR

300,000

$

9/15/2010

Beaverton

Wealthbridge Mortgage Corp

$

300,000

7/14/2011
4/14/2010

Financial Instrument for Home Loan Modifications

$

6/29/2011

Purchase

(11) $

3/30/2011

IL

$

1/6/2011

Elmwood Park

Midwest Bank and Trust Co.

(1) $

9/30/2010

4/14/2010

$

6/29/2011

1000468

$

100,000

(273) $
$

9/30/2010

$

1,585,945

$

1/6/2011

$

(4) $

3/30/2011

$

(4) $

6/29/2011

$

(40) $

580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
- Termination of SPA
6,400,000 Updated portfolio data from servicer
8,000,000 Transfer of cap due to servicing transfer
3,647,827 Updated portfolio data from servicer
3,647,822 Updated portfolio data from servicer
Updated due to quarterly assessment and
3,647,816 reallocation
647,816 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
647,807 reallocation
40,000 Updated FHA-HAMP cap

11,423,814 Updated portfolio data from servicer
13,523,814 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
13,523,790 reallocation
16,423,790 Transfer of cap due to servicing transfer
16,223,790 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
16,223,517 reallocation
16,323,517 Transfer of cap due to servicing transfer
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

87

Servicer Modifying Borrowers' Loans
Name of Institution

Date
8/20/2010

City
Cincinanati

Bramble Savings Bank

Transaction
State
Type
OH

Purchase

Investment Description
Financial Instrument for Home Loan Modifications

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

700,000

Adjustment Details
Note

N/A

Adjustment
Date

Cap Adjustment Amount

Purchase

Financial Instrument for Home Loan Modifications

$

1,300,000

1001240

Financial Instrument for Home Loan Modifications

$

4,300,000

NC

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

3,481,334 Updated portfolio data from servicer

$

(5) $

$

(6) $

$

(58) $

$
$

(17) $

$

(20) $

$

(192) $

9/30/2010

$

45,056

$

145,056 Updated portfolio data from servicer
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

7,014,337

$

3,100,000

1001727
1001727
1001727
1001727

50,000

$

9/30/2010

N/A

$
$

5,168,169

$

$

(12) $

$

(15) $

$

6/29/2011

$

$

4/13/2011

Financial Instrument for Home Loan Modifications

$

40,000

3/30/2011

Purchase

34,944

$

1/6/2011

IL

$

6/29/2011
Chicago

1001727

$

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

9/15/2011

1001557
1001557
1001557
1001557
1001557
1001557
1001557
Freeport

IL

Purchase

Financial Instrument for Home Loan Modifications

$

400,000

N/A

9

1,000,000

$

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

$

450,556

$

1,450,556 Updated portfolio data from servicer

$

(2) $

1,450,554 Updated portfolio data from servicer

$

3,000,000

$

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

$

10,200,000

$

$

(24) $

$

(227) $

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

N/A

$

6/29/2011

-

9/15/2010

3/30/2011

$

9,467,999 Transfer of cap due to servicing transfer

3/16/2011

Financial Instrument for Home Loan Modifications

9,367,999 Transfer of cap due to servicing transfer

$

2/16/2011

Purchase

$

100,000

1/6/2011

OK

700,000

$

9/30/2010

Oklahoma City

$

10/14/2011

1001727

Midwest Community Bank

$

1/6/2011

1001421

9/15/2010

2,181,334

3/30/2011

1001421

Vericrest Financial, Inc.

$

- Termination of SPA

9/30/2010

N/A

1001421

9/15/2010

(1,740,634) $

6/29/2011
Raleigh

Fay Servicing, LLC

$

3/30/2011

Purchase

1000951

9/3/2010

(28) $

1/6/2011

ID

1000951

RBC Bank (USA)

$

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

6/29/2011
Terre Haute

1000951

9/1/2010

(3) $

1,740,667 Updated portfolio data from servicer

1/6/2011

1001240
First Financial Bank, N.A.

$

Reason for Adjustment

3/30/2011

1001240

8/27/2010

$

9/30/2010

N/A

(2) $

8/10/2011
NY

$

6/29/2011

Oswego

$

3/30/2011

Pathfinder Bank

9/30/2010
1/6/2011

8/25/2010

1,040,667

Adjusted Cap

$

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

88

Servicer Modifying Borrowers' Loans
Name of Institution

Date

City

Transaction
State
Type

Investment Description

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

Adjustment Details
Note

1000879

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

1/6/2011

9/30/2010

9/30/2010

Ottawa

IL

Purchase

Financial Instrument for Home Loan Modifications

$

1,900,000

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

Parsippany

NJ

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

San Juan

PR

Purchase

Financial Instrument for Home Loan Modifications

$

1,700,000

N/A

4, 5, 8

1000478
9/30/2010

American Financial Resources Inc.
1001726

9/30/2010

Banco Popular de Puerto Rico
1000509
1000509
1000509

9/30/2010

Coral Gables

FL

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

Freeburg

Capital International Financial, Inc.

IL

Purchase

Financial Instrument for Home Loan Modifications

$

800,000

4, 8

N/A

1001930
9/24/2010

Citizens Community Bank

$

2,756,056 Updated portfolio data from servicer
2,756,052 Updated portfolio data from servicer

$

(2,756,052) $

$

45,056

$

9/30/2010

$
$

9/30/2010

$
$

9/30/2010

$
$

(3) $

$

(4) $

$

(36) $

9/30/2010

$
$

9/30/2010

N/A

(4) $

6/29/2011

Centrue Bank

856,056

6/29/2011

9/24/2010

$

9/30/2010

N/A

$

3/30/2011

100,000

(145,056) $

1/6/2011

$

$

6/29/2011

Financial Instrument for Home Loan Modifications

$

6/29/2011

Purchase

(8) $

3/23/2011

CA

$

3/9/2011

Pasadena

(1) $

1/6/2011

American Finance House LARIBA

$

2/2/2011

9/24/2010

(1) $

6/29/2011

1000879

$

3/30/2011

1000879

$

45,056

$

$

(145,056) $
45,056

$

(1) $
45,056

$

(1) $
765,945

45,056

$

$

(1) $
360,445

2,000,000

N/A

6

8
8
8
9/30/2010

New Brighton

MN

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

Lake City

CU Mortgage Services, Inc.

FL

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

10616
9/30/2010

First Federal Bank of Florida
10364

9/30/2010

Diamond Bar

First Mortgage Coporation
26-Jan

CA

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

$
$

(4) $

$

(5) $

$

(48) $

9/30/2010

$
$

9/30/2010

$

6/29/2011

$

9/30/2010

6/29/2011

Financial Instrument for Home Loan Modifications

(1,160,443) $

6/29/2011

Purchase

(2) $

$

3/30/2011

FL

$

9/30/2010

$

6/29/2011

$

901,112

45,056

$

$

(1) $
45,056

$

(1) $
45,056

- 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

1,160,443 Updated portfolio data from servicer

$

1/6/2011

Rockledge

- Termination of SPA

1,160,445 Updated portfolio data from servicer

1/6/2011

Community Credit Union of Florida

145,056 Updated portfolio data from servicer

$

3/23/2011
9/30/2010

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

$

(1) $

- 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

89

Servicer Modifying Borrowers' Loans
Name of Institution

Date
9/30/2010

City
Cincinnati

First Safety Bank

Transaction
State
Type
OH

Purchase

Investment Description
Financial Instrument for Home Loan Modifications

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

400,000

Adjustment Details
Note

N/A

Adjustment
Date

Cap Adjustment Amount

9/30/2010

Financial Instrument for Home Loan Modifications

$

1,700,000

N/A

1000773
1000773
1000773
9/30/2010

Tulsa

OK

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

Gardner

Gateway Mortgage Group, LLC

MA

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

4, 8

N/A

1001744
9/30/2010

9/30/2010

GFA Federal Credit Union

Saint Paul

MN

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

Kansas City

Guaranty Bank

MO

Purchase

Financial Instrument for Home Loan Modifications

$

300,000

N/A

4, 8

10350
9/24/2010

James B. Nutter & Company
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

1000645

(4) $

$

(40) $

9/30/2010

$
$
$
$

9/30/2010

$
$

9/30/2010

$
$

(1) $

$

(1) $

$

(6) $

$

45,056

$

(1) $
45,056

$

(145,056) $
45,056

$

(1) $
135,167

450,556

$

$

Financial Instrument for Home Loan Modifications

$

700,000

N/A

4, 8

TN

Purchase

Financial Instrument for Home Loan Modifications

$

1,400,000

N/A

5

$

(2) $

$

(2) $

$

(23) $

9/30/2010

$
$

(1) $

$

(1) $

6/29/2011
Germantown

1000645

$

3/30/2011

Purchase

10529

1000645

(4) $

$

1/6/2011

NY

10529

Magna Bank

$

765,945

6/29/2011
Buffalo

10529

9/30/2010

$

(2) $

1/6/2011

1001010
M&T Bank

9/30/2010

$

3/30/2011

1001010

9/30/2010

(18) $

9/30/2010

4

(2) $

$

6/29/2011

Purchase

$

3/30/2011

OH

$

1/6/2011

Cincinnati

Franklin Savings

360,445

6/29/2011

10228

$

3/23/2011

10228

9/30/2010

9/30/2010

10228

(580,221) $

6/29/2011

7, 8

$

6/29/2011

N/A

580,221 Updated portfolio data from servicer

3/30/2011

800,000

(1) $

1/6/2011

$

$

6/29/2011

Financial Instrument for Home Loan Modifications

580,222 Updated portfolio data from servicer

3/30/2011

Purchase

$

1/6/2011

MI

180,222

Reason for Adjustment

3/23/2011
Troy

Flagstar Capital Markets Corporation

$

1/6/2011

9/30/2010

9/30/2010

Adjusted Cap

$

(11) $

9/30/2010

$

315,389

630,778

$

$

1/6/2011

$

(3) $

3/30/2011

$

(3) $

6/29/2011

$

(33) $

- 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

90

Servicer Modifying Borrowers' Loans
Date
9/30/2010

Name of Institution

City
Lexena

Mainstreet Credit Union

Transaction
State
Type
KS

Purchase

Investment Description
Financial Instrument for Home Loan Modifications

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

500,000

Adjustment Details
Note

N/A

Adjustment
Date

Cap Adjustment Amount

Midland Mortgage Company

9/30/2010

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

Miles City

MT

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

Salt Lake City

UT

Purchase

Financial Instrument for Home Loan Modifications

$

600,000

N/A

1001163
9/30/2010

Stockman Bank of Montana
1000818

9/30/2010

9/30/2010

University First Federal Credit Union

Woodbridge

VA

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

Denver

Weststar Mortgage, Inc.

CO

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

1001893
12/15/2010

Statebridge Company, LLC
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

45,056

$

9/30/2010

$
$
$

$

870,334 Updated portfolio data from servicer

$

(1) $

870,333 Updated portfolio data from servicer

$

(870,333) $

9/30/2010

$
$

12/15/2010

$
$
$

500,000

$

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

$

100,000

$

$

(9) $

$

(85) $

5,599,993 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,599,984 reallocation
Updated due to quarterly assessment and
5,599,899 reallocation

12/15/2010

$
$

(4) $

$

(5) $

4/13/2011

$

200,000

$

200,000 Transfer of cap due to servicing transfer

$

100,000

$

300,000 Transfer of cap due to servicing transfer

$

300,000

$

$

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

8/16/2011

OH

$

6/29/2011

Rocky River

Schmidt Mortgage Company

9/30/2010

6/16/2011

10457

(1,223) $

5/13/2011

10457

$

6/29/2011

10457

(139) $

1/6/2011

4, 5

$

6/29/2011

N/A

(125) $

3/30/2011

43,500,000

$

3/16/2011

$

$

2/16/2011

Financial Instrument for Home Loan Modifications

9/30/2010

1/6/2011

Purchase

$

6/29/2011

OK

$

2/17/2011

9/30/2010

9/30/2010

1/6/2011

Oklahoma City

1001907

(725,277) $

9/30/2010

4, 8

$

6/29/2011

N/A

725,277 Updated portfolio data from servicer

6/29/2011

100,000

(1) $

6/29/2011

$

$

3/30/2011

Financial Instrument for Home Loan Modifications

725,278 Updated portfolio data from servicer

1/6/2011

Purchase

$

6/29/2011

NC

225,278

Reason for Adjustment

3/9/2011
Charlotte

Marsh Associates, Inc.

$

1/6/2011

9/30/2010

9/30/2010

Adjusted Cap

$

200,000

$

799,991 Transfer of cap due to servicing transfer

4/13/2011

$

100,000

$

100,000 Transfer of cap due to servicing transfer

45,056

$

(1) $
49,915,806

$

$

(1) $
45,056

$

(1) $
270,334

45,056

$

(1) $
5,000,000

- Termination of SPA
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
93,415,806 Updated portfolio data from servicer
93,415,681 Updated portfolio data from servicer
Updated due to quarterly assessment and
93,415,542 reallocation
Updated due to quarterly assessment and
93,414,319 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation

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

$

5,000,000 Updated portfolio data from servicer

(7) $

4,999,993 Updated portfolio data from servicer

4,300,000

$

(9) $

4,300,000 Updated portfolio data from servicer
4,299,996 Updated portfolio data from servicer
Updated due to quarterly assessment and
4,299,991 reallocation

91

Servicer Modifying Borrowers' Loans
Date
4/13/2011

Name of Institution

City

Transaction
State
Type

Investment Description

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

Adjustment Details
Note

Chicago

IL

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

Hawthorne

CA

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

Anaheim Hills

Urban Partnership Bank

Western Federal Credit Union

CA

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

FCI Lender Services, Inc.

Adjusted Cap

Reason for Adjustment

7/14/2011

Gregory Funding, LLC

Beaverton

OR

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

9/15/2011

Bangor Savings Bank

Bangor

ME

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

9/15/2011

PHH Mortgage Corporation

Mt. Laurel

NJ

Purchase

Financial Instrument for Home Loan Modifications

$

N/A

9

Total Initial Cap

$

23,831,570,000
TOTAL CAP

$

233,268

$

4/13/2011

$

200,000

$

$

17,687

$

200,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
217,687 reallocation

5/13/2011

$

500,000

$

500,000 Transfer of cap due to servicing transfer

$

100,000

$

$

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

$

200,000

$

799,991 Transfer of cap due to servicing transfer

9/15/2011

1002025

$

7/14/2011

1002025

1,000,000

6/29/2011

1002025

$

6/16/2011

1002025

4/13/2011

6/29/2011

1001231
5/13/2011

Cap Adjustment Amount

6/29/2011

1001970
4/13/2011

Adjustment
Date

$

100,000

$

899,991 Transfer of cap due to servicing transfer

7/14/2011

$

200,000

$

200,000 Transfer of cap due to servicing transfer

9/15/2011

$

100,000

$

100,000 Transfer of cap due to servicing transfer

9/15/2011

$

1,300,000

$

1,300,000 Transfer of cap due to servicing transfer

$

6,052,054,458

$

29,883,624,458

Total Cap Adjustments

(9) $

1,000,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,233,268 reallocation

1/ The Cap of Incentive Payments represents the potential total amount allocated to each servicer and includes the maximum amount allotted for all payments on behalf of borrowers and payments to servicers and lenders/investors.
The Cap is subject to adjustment based on the total amount allocated to the program and individual servicer usage for borrower modifications. Each adjustment to the Cap is reflected under Adjustment Details.
2/ On July 31, 2009, the SPA with Chase Home Finance, LLC was terminated and superseded by new SPAs with J.P. Morgan Chase Bank, NA and EMC Mortgage Corporation.
3/ Wachovia Mortgage, FSB was merged with Wells Fargo Bank, NA, and the remaining Adjusted Cap stated above represents the amount previously paid to Wachovia Mortgage, FSB prior to such merger.  
4/ Initial cap amount includes FHA-HAMP.
5/ Initial cap amount includes RD-HAMP.
6/ Initial cap amount includes 2MP.
7/ Initial cap amount includes FHA-2LP.
8/ Initial cap does not include HAMP.
9/ This institution executed an Assignment and Assumption Agreement (a copy of which is available on www.FinancialStability.gov) with respect to all rights and obligations for the transferred loan modifications. The amount transferred is realized as a cap adjustment and not as initial cap.
10/ The amendment reflects a change in the legal name of the institution.
11/ MorEquity, Inc executed a subservicing agreement with Nationstar Mortgage, LLC, that took effect 02/01/2011. All mortgage loans including all HAMP loans were transferred to Nationstar. The remaining Adjusted Cap stated above represents the amount previously paid to MorEquity, Inc. prior to such agreement.  
12/ The remaining Adjusted Cap stated above represents the amount paid to servicer prior to SPA termination.  
13/ Home Loan Services, Inc. and Wilshire Credit Corporation were merged into BAC Home Loans Servicing, Inc. and the remaining Adjusted Cap stated above represents the amount previously paid to each servicer prior prior to such merger.  
14/ In April 2011, EMC Mortgage, an indirect subsidiary of JP Morgan Chase & Co, transferred the servicing of all loans to JP Morgan Chase Bank, NA. The remaining Adjusted Cap stated above represents the amount previously paid to EMC Mortgage prior to such transfer.  
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

92

Supplemental Information [Not Required by EESA §114(a)]
Home Affordable Modification Program
Non-GSE Incentive Payments (through October 2011)
Borrowers

Name of Institution
Allstate Mortgage Loans & Investments, Inc.
American Home Mortgage Servicing, Inc.
Aurora Financial Group, Inc
Aurora Loan Services LLC
BAC Home Loans Servicing, LP
Bank of America, N.A.
BANKUNITED
Bayview Loan Servicing LLC
Carrington Mortgage Services, LLC.
CCO Mortgage, a division of RBS Citizens NA
Central Florida Educators Federal Credit Union
CitiMortgage Inc
Citizens First National Bank
CUC Mortgage Corporation
DuPage Credit Union
EMC Mortgage Corporation
Fay Servicing, LLC
FCI Lender Services, Inc.
FIRST BANK
First Keystone Bank
Franklin Credit Management Corporation
Franklin Savings
Fresno County Federal Credit Union
Glass City Federal Credit Union
GMAC Mortgage, LLC
Great Lakes Credit Union
Greater Nevada Mortgage Services
Green Tree Servicing LLC
Guaranty Bank
Hillsdale County National Bank
Home Loan Services, Inc.
HomEqServicing
HomeStar Bank and Financial Services
Horicon Bank
Iberiabank
IBM Southeast Employees' Federal Credit Union
IC Federal Credit Union
Idaho Housing and Finance Association
JPMorgan Chase Bank, NA
Lake City Bank
Lake National Bank

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

2,329.43
19,155,025.76
11,305.44
7,750,011.80
41,186,994.61
3,991,317.21
1,953,664.80
2,384,122.82
2,980,394.54
659,523.11
23,505.57
23,565,205.46
2,750.00
14,881.16
2,000.00
7,569,459.20
12,833.36
273,672.87
2,775.62
177,464.71
1,000.00
3,000.00
16,636,429.34
3,916.67
19,416.67
397,254.27
916.67
8,976.26
169,857.80
1,333.33
2,515.13
6,916.67
4,666.67
5,844.16
70,219,982.31
1,668.23
2,000.00

Lenders/Investors
$
$

6,059.49
64,541,746.58

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

24,201,028.82
122,773,300.15
17,576,573.04
6,758,871.76
6,049,901.03
9,821,190.15
1,925,708.04
48,876.11
69,125,582.14
11,805.30
47,612.53
11,816.05
11,592,937.05
41,426.19
815.08
731,820.81
3,423.27
360,414.26
7,356.33
2,040.83
52,605,088.04
4,461.07
52,047.76
1,149,341.62

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

12,833.81
2,440,767.73
3,036,319.34
3,869.44
6,583.91
10,502.00
15,725.37
11,236.31
4,558.80
110,647,569.88
2,083.41
2,766.25

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

5,329.43
49,606,064.57
11,472.10
18,429,291.21
72,095,442.09
9,001,438.92
5,001,076.89
5,213,097.51
7,505,076.82
1,562,940.52
62,464.66
54,080,121.68
10,916.67
45,848.96
4,500.00
16,279,383.05
13,666.68
687,753.86
8,717.90
508,813.67
1,000.00
5,000.00
5,000.00
40,149,612.02
4,500.00
44,750.01
1,301,573.27
1,000.00
25,704.84
3,698,606.99
5,272,500.00
4,833.34
5,569.53
15,000.00
14,000.00
12,000.00
8,844.16
86,592,851.29
6,910.80
3,000.00

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

13,718.35
133,302,836.91
22,777.54
50,380,331.83
236,055,736.85
30,569,329.17
13,713,613.45
13,647,121.36
20,306,661.51
4,148,171.67
134,846.34
146,770,909.28
25,471.97
108,342.65
18,316.05
35,441,779.30
67,926.23
815.08
1,693,247.54
14,916.79
1,046,692.64
1,000.00
13,356.33
10,040.83
109,391,129.40
12,877.74
116,214.44
2,848,169.16
1,916.67
47,514.91
6,309,232.52
8,308,819.34
10,036.11
14,668.57
25,502.00
36,642.04
27,902.98
19,247.12
267,460,403.48
10,662.44
7,766.25

93

Name of Institution
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
New York Community Bank
Oakland Municipal Credit Union
Ocwen Loan Servicing, LLC
OneWest Bank
ORNL Federal Credit Union
Park View Federal Savings Bank
Pathfinder Bank
PennyMac Loan Services, LLC
PNC Bank, National Association
Quantum Servicing Corporation
RBC Bank (USA)
Residential Credit Solutions, Inc.
RG Mortgage
RoundPoint Mortgage Servicing Corporation
Saxon Mortgage Services, Inc.
Schools Financial Credit Union
Scotiabank de Puerto Rico
Select Portfolio Servicing, Inc.
Selene Finance LP
Servis One, Inc., dba BSI Financial Services, Inc.
ShoreBank
Silver State Schools Credit Union
Specialized Loan Servicing LLC
Sterling Savings Bank
Technology Credit Union
The Bryn Mawr Trust Company
The Golden 1 Credit Union
U.S. Bank National Association
United Bank
United Bank Mortgage Corporation
Urban Partnership Bank
Vantium Capital, Inc. d/b/a Acqura Loan Services
Vericrest Financial, Inc.
Wachovia Mortgage, FSB

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

11,377,554.58
3,537.50
15,735.51
226,094.06
611,086.14
14,500.01
345,841.21
36,612.82
634,622.48
6,544,344.28
31,833.34
1,000.00
21,142,201.38
13,036,966.32
2,000.00
5,000.00
916.67
1,008,962.89
12,833.34
2,000.00
17,328.31
333,637.36
164,852.94
49,705.66
17,373,858.05
4,833.33
111,503.26
23,486,641.72
6,750.00
5,750.00
49,915.10
12,677.95
411,747.21
23,450.62
11,416.67
3,717.90
55,735.33
2,972,855.47
15,301.41
42,764.46
89,781.32
48,136.01
-

Lenders/Investors
$
$

29,928,143.31
6,160.77

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

631,378.11
30,327.20
454.40
50,177.80
2,305,003.00
92,677.78
2,449,700.03
15,450,489.40
194,852.57
3,813.72
3,568.11
54,913,385.99
49,496,468.81
1,510.98
17,468.83
1,259.76
1,367,763.45
78,899.56
17,808.54

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

1,004,398.76
227,582.28
143,392.61
30,692,082.32
22,306.65
214,583.12
52,248,131.08
17,465.21
21,947.60
153,906.17
70,927.49
1,290,779.70
61,093.84
61,573.04
4,881.98
252,169.36
10,204,652.29
262.36
33,869.98
95,998.93
161,012.90
147,531.61
76,889.58

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

25,182,579.25
12,793.00
16,652.18
596,725.17
725,994.63
1,000.00
35,000.00
1,977,320.74
110,077.47
1,776,403.57
13,986,966.10
180,333.34
1,000.00
6,500.00
46,623,808.57
29,816,347.68
4,000.00
13,000.00
1,916.67
1,632,647.94
145,500.00
29,000.00
17,661.64
926,990.70
401,333.81
146,496.44
36,290,834.52
17,500.00
137,392.00
46,598,874.56
6,500.00
40,000.00
143,165.10
39,844.62
1,010,209.98
76,117.28
29,416.67
3,717.90
184,568.65
8,874,532.76
1,000.00
35,089.81
44,339.93
116,748.70
192,719.34
162,000.00

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

66,488,277.14
22,491.27
32,387.69
1,454,197.34
1,367,407.97
1,454.40
99,677.81
4,628,164.95
239,368.07
4,860,726.08
35,981,799.78
407,019.25
5,813.72
10,068.11
122,679,395.94
92,349,782.81
7,510.98
35,468.83
4,093.10
4,009,374.28
237,232.90
48,808.54
34,989.95
2,265,026.82
793,769.03
339,594.71
84,356,774.89
44,639.98
463,478.38
122,333,647.36
30,715.21
67,697.60
346,986.37
123,450.06
2,712,736.89
160,661.74
102,406.38
12,317.78
492,473.34
22,052,040.52
1,262.36
84,261.20
183,103.32
367,542.92
388,386.96
238,889.58

94

Name of Institution

Borrowers

Lenders/Investors

Servicer

Wells Fargo Bank, N.A.

$

48,311,152.08

$

121,233,485.33

$

108,015,639.39

Wescom Central Credit Union
Western Federal Credit Union
Wilshire Credit Corporation
Yadkin Valley Bank

$
$
$
$

93,546
3,583.33
2,000.00

$
$
$
$

374,719
12,952.19
490,394.10
6,076.42

$
$
$
$

210,613
7,000.00
1,167,000.00
17,000.00

Total Payments
$
$
$
$
$

277,560,276.80
678,877
23,535.52
1,657,394.10
25,076.42

95

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

Date

2

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

Transaction
Type

NV

Purchase

Financial Instrument for HHF Program
Financial Instrument for HHF Program

-

$

34,056,581

Purchase

Financial Instrument for HHF Program

-

$

57,169,659

Purchase

Financial Instrument for HHF Program

9/23/2010

3

City

State

Purchase

Name of Institution

9/29/2010

6/23/2010 Nevada Affordable Housing Assistance Corporation

6/23/2010 CalHFA Mortgage Assistance Corporation

Reno

Sacramento

CA

Investment Description

Initial Investment
Amount
$

$

699,600,000

-

2

9/23/2010

Purchase

Financial Instrument for HHF Program

-

$

9/29/2010

Purchase

Financial Instrument for HHF Program

-

$

Financial Instrument for HHF Program

1,975,334,096

799,477,026

Purchase

N/A
$

476,257,070

3

N/A

6/23/2010 Florida Housing Finance Corporation

Tallahassee

FL

$

418,000,000

-

2

9/23/2010

Purchase

Financial Instrument for HHF Program

-

$

9/29/2010

Purchase

Financial Instrument for HHF Program

-

$

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

N/A
$

1,057,839,136

400,974,381

Purchase

N/A

238,864,755

3

6/23/2010 Arizona (Home) Foreclosure Prevention Funding Corporation
3

Phoenix

AZ

Lansing

MI

9/29/2010
6/23/2010 Michigan Homeowner Assistance Nonprofit Housing Corporation

$

125,100,000

$

154,500,000

-

$

2

9/23/2010

Purchase

Financial Instrument for HHF Program

-

$

N/A
$

267,766,006

N/A

$

498,605,738

N/A

9/29/2010

Purchase

Financial Instrument for HHF Program

-

$

215,644,179

Purchase

Financial Instrument for HHF Program

N/A

128,461,559

3

8/3/2010

North Carolina Housing Finance Agency

Raleigh

NC

$

159,000,000

-

2

9/23/2010

Purchase

Financial Instrument for HHF Program

-

$

9/29/2010

Purchase

Financial Instrument for HHF Program

-

$

Financial Instrument for HHF Program

N/A
$

482,781,786

202,907,565

Purchase

N/A

120,874,221

3

8/3/2010

Ohio Homeowner Assistance LLC

Columbus

OH

$

172,000,000

-

2

9/23/2010

Purchase

Financial Instrument for HHF Program

-

$

9/29/2010

Purchase

Financial Instrument for HHF Program

-

$

Purchase

Financial Instrument for HHF Program

N/A
$

570,395,099

249,666,235

8/3/2010

Oregon Affordable Housing Assistance Corporation

Salem

OR

$

88,000,000

-

2

9/23/2010

Purchase

Financial Instrument for HHF Program

-

$

9/29/2010

Purchase

Financial Instrument for HHF Program

-

$

Purchase

Financial Instrument for HHF Program

N/A
$

220,042,786

82,748,571

8/3/2010

Rhode Island Housing and Mortgage Finance Corporation

Providence

RI

$

43,000,000

-

2

9/23/2010

Purchase

Financial Instrument for HHF Program

-

$

9/29/2010

Purchase

Financial Instrument for HHF Program

-

$

Purchase

Financial Instrument for HHF Program

N/A
$

79,351,573

22,780,803

8/3/2010

SC Housing Corp

Columbia

SC

$

138,000,000

-

2

9/23/2010

Purchase

Financial Instrument for HHF Program

-

$

9/29/2010

Purchase

Financial Instrument for HHF Program

-

$

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

N/A
$

295,431,547

98,659,200

9/23/2010 Alabama Housing Finance Authority
3

KY

Jackson

MS

Atlanta

GA

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

$

60,672,471

$

55,588,050

$

38,036,950

$

126,650,987

-

$
$
$

162,521,345

N/A

$

148,901,875

N/A

$

101,888,323

N/A

$

339,255,819

N/A

N/A
N/A

63,851,373
-

$

N/A
$

93,313,825
-

212,604,832

N/A
N/A

101,848,874
-

N/A
N/A

58,772,347

3

N/A
N/A

13,570,770

3

N/A
N/A

49,294,215

3

N/A
N/A

148,728,864

3

N/A
N/A

142,666,006
-

N/A

N/A
N/A

96

Seller
Note

Date

Name of Institution

9/23/2010 Indiana Housing and Community Development Authority
3

IN

Purchase

Financial Instrument for HHF Program
Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase

Financial Instrument for HHF Program

Purchase
Purchase

Financial Instrument for HHF Program
Financial Instrument for HHF Program

Chicago

IL

Trenton

NJ

Washington

DC

Nashville

TN

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

3

Transaction
Type

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

3

Indianapolis

State

Purchase

City

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

Investment Description

Initial Investment
Amount
$

Investment Amount
Pricing
Additional
1
Mechanism
Investment Amount

82,762,859
-

$

166,352,726

$

$

112,200,637

$

81,128,260
-

$

-

221,694,139

N/A

$

445,603,557

N/A

$

300,548,144

N/A

$

20,697,198

N/A

$

217,315,593

N/A
N/A

$

7,600,000,000

N/A

279,250,831
-

7,726,678

$

$

$

138,931,280

N/A

188,347,507
-

$

12,970,520

$

136,187,333

N/A

TOTAL INVESTMENT AMOUNT

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.

97

FHA SHORT REFINANCE PROGRAM
Seller
Footnote

Date

1

9/3/2010

Name

Citigroup, Inc.

City

New York

State

Transaction
Type

NY

Purchase

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

$

Investment Amount

8,117,000,000

Pricing Mechanism

N/A

8,117,000,000

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

98

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

99

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

Type of Expense
Compensation for financial agents
and legal firms

Amount

$571,878,343

100

Office of Financial Stability
Troubled Asset Relief Program
Description of Vehicles Established [Section 105(a)(3)(H)]
For Period Ending October 31, 2011

Date

Vehicle

Description

None

101

U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Remaining CPP Portfolio

Institution

City, State

Regions Financial Corp.
Zions Bancorporation
Synovus Financial Corp.
Popular, Inc.
First Bancorp*
M&T Bank Corporation
Sterling Financial Corporation*
Citizens Republic Bancorp, Inc.
First Banks, Inc.
New York Private Bank & Trust Corp.
Flagstar Bancorp, Inc.
Cathay General Bancorp
PrivateBancorp, Inc.
International Bancshares Corporation
MB Financial Inc.
First Midwest Bancorp, Inc.
Pacific Capital Bancorp*
United Community Banks, Inc.
Dickinson Financial Corporation II
Central Pacific Financial Corp.*
Banner Corporation
Anchor BanCorp Wisconsin, Inc.
S&T Bancorp
Taylor Capital Group
Park National Corporation
Pinnacle Financial Partners, Inc.
Metropolitan Bank Group, Inc.
Hampton Roads Bankshares, Inc.*
Independent Bank Corporation

Birmingham, AL
Salt Lake City, UT
Columbus, GA
Hato Rey, PR
San Juan, PR
Buffalo, NY
Spokane, WA
Flint, MI
Clayton, MO
New York, NY
Troy, MI
El Monte, CA
Chicago, IL
Laredo, TX
Chicago, IL
Itasca, IL
Santa Barbara, CA
Blairsville, GA
Kansas City, MO
Honolulu, HI
Walla Walla, WA
Madison, WI
Indiana, PA
Rosemont, IL
Newark, OH
Nashville, TN
Chicago, IL
Norfolk, VA
Ionia, MI

Investment
Amount
($Millions)
$ 3,500.000
$ 1,400.000
$ 967.870
$ 935.000
$ 424.174
$ 381.500
$ 303.000
$ 300.000
$ 295.400
$ 267.274
$ 266.657
$ 258.000
$ 243.815
$ 216.000
$ 196.000
$ 193.000
$ 180.634
$ 180.000
$ 146.053
$ 135.000
$ 124.000
$ 110.000
$ 108.676
$ 104.823
$ 100.000
$
95.000
$
81.892
$
80.347
$
74.426

102

Old Second Bancorp, Inc.
First Place Financial Corp.
Virginia Commerce Bancorp
Southwest Bancorp, Inc.
Alpine Banks of Colorado
Nara Bancorp, Inc.
First Financial Holdings Inc.
Wilshire Bancorp, Inc.
Standard Bancshares, Inc.
MainSource Financial Group, Inc.
Center Financial Corporation
WSFS Financial Corporation
NewBridge Bancorp
Ameris Bancorp
FNB United Corp.*
U.S. Century Bank
BancTrust Financial Group, Inc.
Seacoast Banking Corporation of Florida
First American Bank Corporation
Yadkin Valley Financial Corporation
Fidelity Southern Corporation
MetroCorp Bancshares, Inc.
Exchange Bank
Southern Community Financial Corp.
Premierwest Bancorp
Heritage Commerce Corp.
Reliance Bancshares, Inc.
Bridgeview Bancorp, Inc.
First Defiance Financial Corp.
First South Bancorp, Inc.
State Bancorp, Inc.
Fidelity Financial Corporation
Union First Market Bankshares
Trinity Capital Corporation
Marquette National Corporation
Porter Bancorp, Inc.
Enterprise Financial Services Corp.
Fremont Bancorporation
First Security Group, Inc.
Firstbank Corporation

Aurora, IL
Dublin, OH
Arlington, VA
Stillwater, OK
Glenwood Springs, CO
Los Angeles, CA
North Charleston, SC
Los Angeles, CA
Hickory Hills, IL
Greensburg, IN
Los Angeles, CA
Wilmington, DE
Greensboro, NC
Moultrie, GA
Asheboro, NC
Doral, FL
Mobile, AL
Stuart, FL
Elk Grove Village, IL
Elkin, NC
Atlanta, GA
Houston, TX
Santa Rosa, CA
Winston-Salem, NC
Medford, OR
San Jose, CA
Frontenac, MO
Bridgeview, IL
Defiance, OH
Lexington, TN
Jericho, NY
Wichita, KS
Richmond, VA
Los Alamos, NM
Chicago, IL
Louisville, KY
Clayton, MO
Fremont, CA
Chattanooga, TN
Alma, MI

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

73.000
72.927
71.000
70.000
70.000
67.000
65.000
62.158
60.000
57.000
55.000
52.625
52.372
52.000
51.500
50.236
50.000
50.000
50.000
49.312
48.200
45.000
43.000
42.750
41.400
40.000
40.000
38.000
37.000
36.875
36.842
36.282
35.595
35.539
35.500
35.000
35.000
35.000
33.000
33.000

103

Centrue Financial Corporation
Pulaski Financial Corp
Parkvale Financial Corporation
BNC Bancorp
Royal Bancshares of Pennsylvania, Inc.
Hawthorn Bancshares, Inc.
Farmers Capital Bank Corporation
Tennessee Commerce Bancorp, Inc.
First United Corporation
Spirit Bank
Colony Bankcorp, Inc.
Intermountain Community Bancorp
Patriot Bancshares, Inc.
HMN Financial, Inc.
LNB Bancorp Inc.
Princeton National Bancorp, Inc.
Peoples Bancorp of North Carolina, Inc.
VIST Financial Corp.
Intervest Bancshares Corporation
Rogers Bancshares, Inc.
CITIZENS BANCSHARES CO.
Crescent Financial Corporation
Stearns Financial Services, Inc.
National Bancshares, Inc.
CBS Banc-Corp
Eastern Virginia Bankshares, Inc.
Severn Bancorp, Inc.
Park Bancorporation, Inc
First Citizens Banc Corp
TriState Capital Holdings, Inc.
StellarOne Corporation
Central Bancorp, Inc.
Premier Financial Bancorp, Inc.
Central Community Corporation
First Community Financial Partners, Inc.
Blue Valley Ban Corp
Indiana Community Bancorp
Fc Holdings, Inc.
Mercantile Bank Corporation
Heritage Oaks Bancorp

Saint Louis, MO
Creve Coeur, MO
Monroeville, PA
High Point, NC
Narberth, PA
Lee's Summit, MO
Frankfort, KY
Franklin, TN
Oakland, MD
Bristow, OK
Fitzgerald, GA
Sandpoint, ID
Houston, TX
Rochester, MN
Lorain, OH
Princeton, IL
Newton, NC
Wyomissing, PA
New York, NY
Little Rock, AR
Chillicothe, MO
Cary, NC
Saint Cloud, MN
Bettendorf, IA
Russellville, AL
Tappahannock, VA
Annapolis, MD
Madison, WI
Sandusky, OH
Pittsburgh, PA
Charlottesville, VA
Garland, TX
Huntington, WV
Temple, TX
Joliet, IL
Overland Park, KS
Columbus, IN
New York, NY
Grand Rapids, MI
Paso Robles, CA

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

32.668
32.538
31.762
31.260
30.407
30.255
30.000
30.000
30.000
30.000
28.000
27.000
26.038
26.000
25.223
25.083
25.054
25.000
25.000
25.000
24.990
24.900
24.900
24.664
24.300
24.000
23.393
23.200
23.184
23.000
22.500
22.500
22.252
22.000
22.000
21.750
21.500
21.042
21.000
21.000

104

The Baraboo Bancorporation
TowneBank
United Bancorp, Inc.
Florida Bank Group, Inc.
DIAMOND BANCORP, INC.
First Western Financial, Inc.
COMMONWEALTH BANCSHARES, INC.
Market Street Bancshares, Inc.
BNCCORP, Inc.
First Financial Service Corporation
CHAMBERS BANCSHARES, INC.
Lakeland Bancorp Inc.
HopFed Bancorp
Peoples Bancorp, Inc.
FIRST TRUST CORPORATION
ECB Bancorp, Inc.
Community First Inc.
Community Bankers Trust Corporation
ONEFINANCIAL CORPORATION
Southern First Bancshares, Inc.
Liberty Shares, Inc.
F&M Financial Corporation
Northern States Financial Corporation
The Bank of Kentucky Financial Corporation
Guaranty Federal Bancshares, Inc.
F & M Financial Corporation
White River Bancshares Company
Timberland Bancorp, Inc.
1st FS Corporation
Parke Bancorp, Inc.
Pacific City Financial Corporation
Valley Financial Corporation
CoastalSouth Bancshares, Inc.
Carolina Bank Holdings, Inc.
COMMUNITY WEST BANCSHARES
First Reliance Bancshares, Inc.
Broadway Financial Corporation
Business Bancshares, Inc.
Foresight Financial Group, Inc.
River Valley Bancorporation, Inc.

Baraboo, WI
Clinton, NJ
Ann Arbor, MI
Tampa, FL
Washington, MO
Denver, CO
Louisville, KY
Mount Vernon, IL
Bismarck, ND
Elizabethtown, KY
Danville, AR
Oak Ridge, NJ
Hopkinsville, KY
Marietta, OH
New Orleans, LA
Engelhard, NC
Columbia, TN
Glen Allen, VA
Little Rock, AR
Greenville, SC
Hinesville, GA
Granite Quarry, NC
Waukegan, IL
Crestview Hills, KY
Springfield, MO
Granite Quarry, NC
Fayetteville, AR
Hoquiam, WA
Hendersonville, NC
Sewell, NJ
Los Angeles, CA
Roanoke, VA
Hilton Head Island, SC
Greensboro, NC
Goleta, CA
Florence, SC
Independence, MO
Clayton, MO
Rockford, IL
Wausau, WI

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

20.749
20.649
20.600
20.471
20.445
20.440
20.400
20.300
20.093
20.000
19.817
19.000
18.400
18.000
17.969
17.949
17.806
17.680
17.300
17.299
17.280
17.243
17.211
17.000
17.000
17.000
16.800
16.641
16.369
16.288
16.200
16.019
16.015
16.000
15.600
15.349
15.000
15.000
15.000
15.000

105

Suburban Illinois Bancorp, Inc.
First Community Bancshares, Inc
Village Bank and Trust Financial Corp
Tidelands Bancshares, Inc
UNITED BANK CORPORATION
Peapack-Gladstone Financial Corporation
First National Corporation
Bank of the Carolinas Corporation
SouthCrest Financial Group, Inc.
HCSB Financial Corporation
Community First Bancshares, Inc.
Regents Bancshares, Inc.
Peoples Bancorporation, Inc.
Community Financial Corporation
Bankers' Bank of the West Bancorp, Inc.
Meridian Bank
The First Bancorp, Inc.
PeoplesSouth Bancshares, Inc.
One United Bank
Queensborough Company, The
Blue Ridge Bancshares, Inc.
Duke Financial Group, Incorporated
Farmers Enterprises, Inc.
Alliance Financial Services, Inc.
Wachusett Financial Services, Inc.
Plumas Bancorp
TCB Holding Company, Texas Community Bank
Cecil Bancorp, Inc.
Western Illinois Bancshares Inc.
Central Virginia Bankshares, Inc.
First Community Corporation
Farmers & Merchants Bancshares, Inc.
Mackinac Financial Corporation
Stonebridge Financial Corp.
First Capital Bancorp, Inc.
Ridgestone Financial Services, Inc.
Presidio Bank
Security State Bank Holding-Company
Crosstown Holding Company
Northwest Bancorporation, Inc.

Elmhurst, IL
Overland Park, KS
Midlothian, VA
Mount Pleasant, SC
Zebulon, GA
Bedminster, NJ
Strasburg, VA
Mocksville, NC
Peachtree City, GA
Loris, SC
Harrison, AR
Vancouver, WA
Easley, SC
Staunton, VA
Denver, CO
Devon, PA
Damariscotta, ME
Colquitt, GA
Boston, MA
Louisville, GA
Independence, MO
Minneapolis, MN
Great Bend, KS
Saint Paul, MN
Clinton, MA
Quincy, CA
The Woodlands, TX
Elkton, MD
Monmouth, IL
Powhatan, VA
Lexington, SC
Houston, TX
Manistique, MI
West Chester, PA
Glen Allen, VA
Brookfield, WI
San Francisco, CA
Hannaford, ND
Loretto, MN
Spokane, WA

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

15.000
14.800
14.738
14.448
14.400
14.341
13.900
13.179
12.900
12.895
12.725
12.700
12.660
12.643
12.639
12.535
12.500
12.325
12.063
12.000
12.000
12.000
12.000
12.000
12.000
11.949
11.730
11.560
11.422
11.385
11.350
11.000
11.000
10.973
10.958
10.900
10.800
10.750
10.650
10.500

106

North Central Bancshares, Inc.
Uwharrie Capital Corp
Mid Penn Bancorp, Inc.
NCAL Bancorp
C&F Financial Corporation
ColoEast Bankshares, Inc.
Mid-Wisconsin Financial Services, Inc.
Blackhawk Bancorp, Inc.
HomeTown Bankshares Corporation
Century Financial Services Corporation
Greer Bancshares Incorporated
Regent Bancorp, Inc
Coastal Banking Company, Inc.
UNIVERSAL BANCORP
Premier Bank Holding Company
City National Bancshares Corporation
Provident Community Bancshares, Inc.
Carrollton Bancorp
First Priority Financial Corp.
Delmar Bancorp
HPK Financial Corporation
Rcb Financial Corporation
Farmers Bank
First Freedom Bancshares, Inc.
United American Bank
BancStar, Inc.
GREAT RIVER HOLDING COMPANY
Private Bancorporation, Inc.
Annapolis Bancorp, Inc.
F & M Bancshares, Inc.
Syringa Bancorp
Commonwealth Business Bank
Valley Commerce Bancorp
Oak Ridge Financial Services, Inc.
Metro City Bank
First Gothenburg Bancshares, Inc.
Country Bank Shares, Inc.
The Little Bank, Incorporated
BNB Financial Services Corporation
GulfSouth Private Bank

Fort Dodge, IA
Albemarle, NC
Millersburg, PA
Los Angeles, CA
West Point, VA
Lamar, CO
Medford, WI
Beloit, WI
Roanoke, VA
Santa Fe, NM
Greer, SC
Davie, FL
Fernandina Beach, FL
Bloomfield, IN
Tallahassee, FL
Newark, NJ
Rock Hill, SC
Columbia, MD
Malvern, PA
Salisbury, MD
Chicago, IL
Rome, GA
Windsor, VA
Lebanon, TN
San Mateo, CA
Festus, MO
Baxter, MN
Minneapolis, MN
Annapolis, MD
Trezevant, TN
Boise, ID
Los Angeles, CA
Visalia, CA
Oak Ridge, NC
Doraville, GA
Gothenburg, NE
Milford, NE
Kinston, NC
Fort Lee, NJ
Destin, FL

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

10.200
10.000
10.000
10.000
10.000
10.000
10.000
10.000
10.000
10.000
9.993
9.982
9.950
9.900
9.500
9.439
9.266
9.201
9.175
9.000
9.000
8.900
8.752
8.700
8.700
8.600
8.400
8.222
8.152
8.144
8.000
7.701
7.700
7.700
7.700
7.570
7.525
7.500
7.500
7.500

107

First Sound Bank
First BancTrust Corporation
Western Community Bancshares, Inc.
Crossroads Bank
Millennium Bancorp, Inc.
Central Federal Corporation
TriSummit Bank
Fidelity Bancorp, Inc.
Chicago Shore Corporation
Heartland Bancshares, Inc.
Community Financial Shares, Inc.
Idaho Bancorp
HARBOR BANKSHARES CORPORATION
Monarch Community Bancorp, Inc.
Highlands Independent Bancshares, Inc.
Fidelity Federal Bancorp
Citizens First Corporation
Alarion Financial Services, Inc.
Pacific International Bancorp
Liberty Bancshares, Inc.
Biscayne Bancshares, Inc.
First Intercontinental Bank
PREMIER FINANCIAL CORP.
Citizens Commerce Bancshares, Inc.
Randolph Bank & Trust Company
Moscow Bancshares, Inc.
American State Bancshares
Patapsco Bancorp, Inc.
Peninsula Bank Holding Co.
ICB Financial
Gateway Bancshares, Inc.
Rising Sun Bancorp
IA Bancorp, Inc
Seaside National Bank & Trust
Waukesha Bankshares, Inc.
Boscobel Bancorp, Inc
Valley Community Bank
First Southwest Bancorporation, Inc.
The Connecticut Bank and Trust Company
Midtown Bank & Trust Company

Seattle, WA
Paris, IL
Palm Desert, CA
Wabash, IN
Edwards, CO
Fairlawn, OH
Kingsport, TN
Pittsburgh, PA
Chicago, IL
Franklin, IN
Glen Ellyn, IL
Boise, ID
Baltimore, MD
Coldwater, MI
Sebring, FL
Evansville, IN
Bowling Green, KY
Ocala, FL
Seattle, WA
North Richland Hills, TX
Coconut Grove, FL
Doraville, GA
Dubuque, IA
Versailles, KY
Asheboro, NC
Moscow, TN
Great Bend, KS
Dundalk, MD
Palo Alto, CA
Ontario, CA
Ringgold, GA
Rising Sun, MD
Iselin, NJ
Orlando, FL
Waukesha, WI
Boscobel, WI
Pleasanton, CA
Alamosa, CO
Hartford, CT
Atlanta, GA

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

7.400
7.350
7.290
7.289
7.260
7.225
7.002
7.000
7.000
7.000
6.970
6.900
6.800
6.785
6.700
6.657
6.567
6.514
6.500
6.500
6.400
6.398
6.349
6.300
6.229
6.216
6.000
6.000
6.000
6.000
6.000
5.983
5.976
5.677
5.625
5.586
5.500
5.500
5.448
5.222

108

Mission Community Bancorp
Capital Commerce Bancorp, Inc.
FRANKLIN BANCORP, INC.
First Express of Nebraska, Inc.
COVENANT FINANCIAL CORPORATION
Blue River Bancshares, Inc.
BLACKRIDGE FINANCIAL, INC.
AmFirst Financial Services, Inc
Germantown Capital Corporation
Alaska Pacific Bancshares, Inc.
Western Reserve Bancorp, Inc
Virginia Company Bank
Calwest Bancorp
Georgia Primary Bank
Mainline Bancorp, Inc.
Community Pride Bank Corporation
CBB Bancorp
Pinnacle Bank Holding Company
Metropolitan Capital Bancorp, Inc.
First Business Bank, National Association
Northeast Bancorp
CB HOLDING CORP.
Pacific Commerce Bank
Capital Pacific Bancorp
Todd Bancshares, Inc.
Carolina Trust Bank
Premier Service Bank
Naples Bancorp Inc.
Investors Financial Corporation of Pettis County, Inc.
KS Bancorp, Inc.
Community Business Bank
FIDELITY BANCORP, INC.
Peoples Bancshares of TN, Inc
COMMUNITY BANCSHARES, INC.
Pathway Bancorp
Patterson Bancshares, Inc
Allied First Bancorp, Inc.
CedarStone Bank
AB&T Financial Corporation
First Alliance Bancshares, Inc.

San Luis Obispo, CA
Milwaukee, WI
Washington, MO
Gering, NE
Clarksdale, MS
Shelbyville, IN
Baxter, MN
McCook, NE
Germantown, TN
Juneau, AK
Medina, OH
Newport News, VA
Irvine, CA
Atlanta, GA
Ebensburg, PA
Isanti, MN
Cartersville, GA
Orange City, FL
Chicago, IL
San Diego, CA
Lewiston, ME
Aledo, IL
Los Angeles, CA
Portland, OR
Hopkinsville, KY
Lincolnton, NC
Riverside, CA
Naples, FL
Sedalia, MO
Smithfield, NC
West Sacramento, CA
Baton Rouge, LA
Madisonville, TN
Kingman, AZ
Cairo, NE
Patterson, LA
Oswego, IL
Lebanon, TN
Ogallala, NE
Cordova, TN

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

5.116
5.100
5.097
5.000
5.000
5.000
5.000
5.000
4.967
4.781
4.700
4.700
4.656
4.500
4.500
4.400
4.397
4.389
4.388
4.243
4.227
4.114
4.060
4.000
4.000
4.000
4.000
4.000
4.000
4.000
3.976
3.942
3.900
3.872
3.727
3.690
3.652
3.564
3.500
3.422

109

Madison Financial Corporation
Mountain Valley Bancshares, Inc.
Congaree Bancshares, Inc.
Hometown Bancorp of Alabama, Inc.
First Independence Corporation
Oregon Bancorp, Inc.
Crazy Woman Creek Bancorp, Inc.
GRAND MOUNTAIN BANCSHARES, INC.
Lone Star Bank
Sound Banking Company
Beach Business Bank
Tennessee Valley Financial Holdings, Inc.
Bank of Commerce
Clover Community Bankshares, Inc.
St. Johns Bancshares, Inc.
Marine Bank & Trust Company
Freeport Bancshares, Inc.
Layton Park Financial Group, Inc.
F&C BANCORP. INC.
Alliance Bancshares, Inc.
Santa Clara Valley Bank
Berkshire Bancorp, Inc.
US Metro Bank
Omega Capital Corp.
Prairie Star Bancshares, Inc.
SouthFirst Bancshares, Inc.
Worthington Financial Holdings, Inc.
DeSoto County Bank
Bank of George
Manhattan Bancshares, Inc.
Community Investors Bancorp, Inc.
Northern State Bank
Goldwater Bank, N.A.
Community 1st Bank
Plato Holdings Inc.
Grand Financial Corporation
CSRA Bank Corp.
Green Circle Investments, Inc.
Brogan Bankshares, Inc.
Citizens Bank & Trust Company

Chicago, IL
Walden, CO
Cayce, SC
Oneonta, AL
Detroit, MI
Salem, OR
Buffalo, WY
Granby, CO
Houston, TX
Morehead City, NC
Manhattan Beach, CA
Oak Ridge, TN
Charlotte, NC
Clover, SC
Saint Louis, MO
Vero Beach, FL
Freeport, IL
Milwaukee, WI
Holden, MO
Dalton, GA
Santa Paula, CA
Wyomissing, PA
Garden Grove, CA
Lakewood, CO
Olathe, KS
Sylacauga, AL
Huntsville, AL
Horn Lake, MS
Las Vegas, NV
Manhattan, IL
Bucyrus, OH
Lakewood, NJ
Scottsdale, AZ
Auburn, CA
Saint Paul, MN
Hattiesburg, MS
Wrens, GA
Clive, IA
Kaukauna, WI
Covington, LA

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

3.370
3.300
3.285
3.250
3.223
3.216
3.100
3.076
3.072
3.070
3.000
3.000
3.000
3.000
3.000
3.000
3.000
3.000
2.993
2.986
2.900
2.892
2.861
2.816
2.800
2.760
2.720
2.681
2.672
2.639
2.600
2.571
2.568
2.550
2.500
2.443
2.400
2.400
2.400
2.400

110

Nemo Bancshares. Inc.
IBT Bancorp, Inc.
CenterBank
Union Financial Corporation
Security Bancshares of Pulaski County, Inc.
Titonka Bancshares, Inc
Ojai Community Bank
Market Bancorporation, Inc.
Atlantic Bancshares, Inc.
Northwest Commercial Bank
Fresno First Bank
Hometown Bancshares, Inc.
Monadnock Bancorp, Inc.
BCB Holding Company, Inc.
Maryland Financial Bank
Gold Canyon Bank
Hyperion Bank
Saigon National Bank
Regional Bankshares, Inc.
Vision Bank - Texas
Indiana Bank Corp.
Fort Lee Federal Savings Bank, FSB
First Advantage Bancshares, Inc.
Riverside Bancshares, Inc.
Independence Bank
Community Holding Company of Florida, Inc.
Calvert Financial Corporation
Bank Financial Services, Inc.
BankGreenville
Gregg Bancshares, Inc.
Corning Savings and Loan Association

Madison, MO
Irving, TX
Milford, OH
Albuquerque, NM
Waynesville, MO
Titonka, IA
Ojai, CA
New Market, MN
Bluffton, SC
Lakewood, WA
Fresno, CA
Corbin, KY
Peterborough, NH
Mobile, AL
Towson, MD
Gold Canyon, AZ
Philadelphia, PA
Westminster, CA
Hartsville, SC
Richardson, TX
Dana, IN
Fort Lee, NJ
Coon Rapids, MN
Sparkman, AR
East Greenwich, RI
Miramar Beach, FL
Ashland, MO
Eden Prairie, MN
Greenville, SC
Glasgow, MO
Corning, AR

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

2.330
2.295
2.250
2.179
2.152
2.117
2.080
2.060
2.000
1.992
1.968
1.900
1.834
1.706
1.700
1.607
1.552
1.549
1.500
1.500
1.312
1.300
1.177
1.100
1.065
1.050
1.037
1.004
1.000
0.825
0.638

111