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Troubled Asset Relief Program (TARP)
Monthly 105(a) Report – December 2011
January 10, 2012
This report to Congress is pursuant to Section 105(a) of the Emergency Economic Stabilization Act of 2008.
Table of Contents
Monthly 105(a) Report
December 2011
Section
Page
Where are the TARP Funds?.....………………………………………………………………………………………………………………..
1
Daily TARP Update
2
Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal Budget
4
Program Updates…………………….…………………………………………………………………………………………………..............
6
Bank Support Programs…………………….…………………………………………………………………………………………………...
6
Capital Purchase Program
6
Other Investment Programs………………………………………………………………………………………………………………….....
Automotive Industry Financing Program
17
17
Housing Programs………………………………………………………………………………………………………………………………..
18
Appendix – Financial Statements….…………………………………………………………………………………………………………..
20
More information is available at FinancialStability.gov.
Where are the TARP Funds?
Monthly 105(a) Report
December 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 over $258 billion from
TARP’s bank programs through repayments, dividends, interest, and other income – over $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
specific investments will be critical determinants of TARP’s lifetime cost. The methodology used adheres to government budgeting
1
Numbers in text and tables in this report may not add because of rounding.
1
Daily TARP Update
Monthly 105(a) Report
December 2011
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 January 1, 2011 (through December 31, 2011)
Principal/Investment
Repayments
Refinancing
1
to SBLF
$
2.21
(*Dollars in Billions*)
Obligated
Disbursed
Write‐offs
Income/Revenue
2
3
Realized Loss
Outstanding
Dividends
Interest
3
Gain / Other
2
2
Warrants Sold
Income
Total Income
Total Cash Back
4
Bank Support Programs
Capital Purchase Program (CPP)5
Preferred & Other Securities
$
179.54
$
179.54
$
160.10
$
2.58
$
0.09
$
16.78
$
10.44
$
‐
$
0.00
$
7.55
$
17.99
$ 178.09
Preferred & Other Securities ‐ Exchanges from CPP to CDCI
$
0.36
$
0.36
$
0.36
$
‐
$
‐
$
‐
$
0.03
$
‐
$
‐
$
0.01
$
0.03
$
0.03
Citigroup Common
$
25.00
$
25.00 $
25.00
$
‐
$
‐
$
‐
$
0.93
$
‐
$
6.85
$
0.05
$
7.84
$ 32.84
Targeted Investment Program (TIP)
Bank Of America
$
20.00
$
20.00 $
20.00
$
‐
$
‐
$
‐
$
1.44
$
‐
$
‐
$
1.24
$
2.67
$ 22.67
Citigroup
$
20.00
$
20.00 $
20.00
$
‐
$
‐
$
‐
$
1.57
$
‐
$
‐
$
0.19
$
1.76
$ 21.76
Asset Guarantee Program (AGP)
Bank Of America
Citigroup
$
‐
$
‐
$
‐
$
‐
$
‐
$
‐
$
‐
$
‐
$
0.28
$
‐
$
0.28
$
0.28
$
5.00
6
Community Development Capital Initiative (CDCI)
$
‐
$
‐
$
‐
$
‐
$
‐
$
0.44
$
‐
$
2.25
$
0.07
$
2.76
$
2.76
7
Exchanges From CPP to CDCI
$
0.36
8
Bank Program Totals
$
0.36
$
‐
$
‐
$
‐
$
‐
$
‐
$
‐
$
‐
$
‐
$
‐
$
‐
$
0.21
Not From Exchanges
$
0.21
$
0.00
$
‐
$
‐
$
0.57
$
0.01
$
‐
$
‐
$
‐
$
0.01
$
0.01
$
250.46
$
245.10
$
225.10
$
17.35
$
14.86
$
‐
$
9.38
$
9.10 $
33.35
$
258.44
$
2.21 $
2.58 $
0.09
Credit Market Programs
Public‐Private Investment Program (PPIP)
Equity
$
7.51
$
6.03
$
0.16
$
‐
$
‐
$
5.88
$
1.00
$
‐
$
0.00
$
‐
$
1.00
$
1.15
Debt
$
14.35
$
11.63
$
1.18
$
‐
$
‐
$
10.45
$
‐
$
0.21
$
‐
$
‐
$
0.21
$
1.40
Term Asset Backed Securities Loan Facility (TALF)
$
4.30
$
0.10
$
‐
$
‐
$
‐
$
0.10
$
‐
$
‐
$
‐
$
‐
$
‐
$
‐
Purchase SBA 7(a) Securities (SBA)
$
0.37
$
0.37
$
0.30
$
‐
$
‐
$
0.07
$
‐
$
0.01
$
0.00
$
‐
$
0.01
$
0.31
$
26.52
$
18.13 $
1.64
$
‐
$
‐
$
16.49
$
1.00 $
0.22
$
0.00
$
‐
$
1.22
$
2.86
Credit Market Program Totals
Other Programs
American International Group (AIG)
9
Common10
$
47.54
$
47.54
$
3.83
$
‐
$
1.92
$
41.80
$
‐
$
‐
$
‐
$
‐
$
‐
$
3.83
Preferred
$
20.29
$
20.29 $
12.14
$
‐
$
‐
$
8.15
$
0.29
$
‐
$
0.17
$
‐
$
0.45
$ 12.59
AIG Totals
$
67.84
$
67.84
$
‐
$
1.92
$
49.95
$
0.29
$
‐
$
0.17
$
‐
$
0.45
$
16.42
$
15.97
Automotive Industry Financing Program (AIFP)
11
GM
$
51.03
$
51.03 $
23.20
$
‐
$
4.44
$
23.40
$
‐
$
0.77
$
0.10
$
‐
$
0.86
$ 24.06
Chrysler
$
12.37
$
12.37
$
9.44
$
1.60
$
1.33
$
‐
$
‐
$
1.19
$
0.49
$
‐
$
1.68
$ 11.12
$
‐
$
5.27
Ally (GMAC)
$
16.29
$
16.29
$
2.54
$
13.75
$
2.60
$
0.13
$
‐
$
2.73
AIFP Totals
$
79.69
$
79.69
$
35.18
$
1.60 $
5.77
$
37.15
$
2.60 $
1.95
$
0.72
$
‐
$
5.28
$
40.45
$
147.53
$
147.53
$
51.14
$
1.60 $
7.68
$
87.10
$
2.89 $
1.95
$
0.88
$
‐
$
5.73
$
56.87
Making Homes Affordable
$
29.88
$
2.26
HFA Hardest‐Hit Fund
$
7.60
$
0.72
$
277.88
$
4.18 $
7.77
$
120.95
$
18.74 $
2.18
$
10.26
$
9.10 $
40.29
$
318.17
Other Programs Totals
$
‐
Treasury Housing Programs Under TARP
FHA Refinance
12
$
0.06
Housing Totals
$
45.60
$
3.03
Grand Totals
$
8.12
$
470.12
$
413.80
2
Daily TARP Update
Monthly 105(a) Report
December 2011
Notes to Daily TARP Update
1/ This represents the portion of the repayments that were received from refinancing to the Small Business Lending Fund (SBLF), a
program established by law outside of TARP. 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 Capital Purchase Program (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 Community Development Capital Initiative (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 American International Group, Inc. (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
December 2011
Figure 2: Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal Budget
Programs
as of December 31, 2011
(dollar amounts in billions)
Obligation/
Commitment
Disbursed as
of
December 31
Outstanding
Investment
Balance as of
December 31
Estimated
Lifetime Cost as
of
November 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
25.00
$
165.33
14.57
Total
25.00
$
165.33
0.00
$
(6.46)
8.87
14.57
(11.03)
7.91
4.01
$
204.89
$
204.89
$
16.78
$
(13.48)
$
40.00
$
40.00
$
0.00
$
5.00
$
0.00
$
0.00
$
$
(4.00)
(3.67)
$
0.57
$
0.57
$
0.57
$
0.15
$
$
$
5.88
10.45
16.32
$
$
6.03
11.63
17.66
$
$
7.51
14.35
21.86
$
(2.74)
0.27
(2.47)
$
4.30
$
0.10
$
0.10
$
0.37
$
0.37
$
0.07
$
$
(0.43)
(0.00)
$
20.29
47.54
$
20.29
47.54
$
8.15
41.80
$
22.35
$
67.84
$
67.84
$
49.95
$
22.35
Automotive Industry Financing Program (AIFP)
$
79.69
$
79.69
$
37.15
$
23.77
Sub-total for Investment Programs
$
424.51
$
410.76
$
120.95
$
22.22
$
45.60
$
3.03
$
-
$
45.60
$
470.12
$
413.80
$
120.95
$
67.82
Targeted Investment Program (TIP)
4
Asset Guarantee Program (AGP)
Community Development Capital Initiative (CDCI)
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
5
Additional AIG Common Shares Held by Treasury
Total for TARP Programs and Additional AIG Shares
n/a
$
470.12
n/a
$
413.80
n/a
$
120.95
(13.51)
$
54.31
4
Treasury Estimates of Impact on the Federal Budget
Monthly 105(a) Report
December 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 November 30, 2011.
2/ Estimated lifetime cost figures shown in figure 2 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 December 31, 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 December 31, 2011 and the corresponding effect on estimated cost assuming no other changes.
11/30/2011
Market Value
Outstanding Investment
Increase
(Decrease) in
Cost
12/31/2011
Market Value
In billions
$ 22.38
$ 22.28
$ 0.10
AIG Common Stock
$ 10.65
$ 10.14
$ 0.51
GM Common Stock
$ 11.53
$ 11.48
$ 0.05
Additional AIG Common Shares
Note: For the period ending 11/30/2011, the share price for AIG was $23.31 and for GM was $21.29. For the period ending 12/31/2011,
the share price for AIG was $23.20 and for GM was $20.27
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
December 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 continues to recover additional funds and estimates that the bank programs will result in a
lifetime positive return for taxpayers of more than $20 billion (see Figure 2).
Capital Purchase Program (CPP)
Treasury created the Capital Purchase Program in October 2008 to stabilize the financial system by providing capital to viable banks of all
sizes throughout the nation. Figure 3 shows the cumulative Capital Purchase Program activity since program inception. Every additional
dollar recovered from CPP participants represents a positive return for taxpayers.
Figure 3:
Capital Purchase Program Snapshot as of December 31, 2011
CPP Cumulative Investments
$204.9 billion
$25 billion
$301,000.00
Amount Invested:
Largest Investment:
Smallest Investment:
CPP Income to Treasury
1
Total Amount of Repayments :
CPP Institutions (Banks in 48 states, D.C and Puerto Rico)
Total Institutions Funded:
707
Full Repayments:
142
SBLF Repayments:
137
CDCI Conversions:
28
Partial Repayments:
13
Sold Investments:
12
In Bankruptcy/Receivership:
14
Merged Institutions:
3
3
Currently in Common
6
Total Remaining Institutions:
Total Dividends, Interest, & Fee Income:
$11.40 billion
Dec. Dividends and Interest:
$1.18 million
Citigroup Gain:
$6.85 billion
2
Total Warrant Income :
371
$7.67 billion
Total CPP Income:
$211.37 billion
$185.45 billion
6
Program Updates – Bank Support Programs
Monthly 105(a) Report
December 2011
Notes to Capital Purchase Program Snapshot as of December 31, 2011:
1/ Includes repayment of $25 billion from completed Citigroup common stock conversion, $335.72 million from CDCI conversions and
$2.21 billion 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 into shares of common stock in the institution.
Repayments
In December, a total of 10 institutions repurchased all or part of their outstanding CPP preferred shares or subordinated debentures from
Treasury’s investments in those institutions, for total proceeds of $278.57 million.
Union First Market Bancshares Corporation; S&T Bancorp; North Central Bancshares, Inc.; State Bancorp, Inc.; Peoples Bancorp, Inc.;
Mission Community Bancorp; StellarOne Corporation; and Customers Bancorp, Inc. repurchased all outstanding CPP investments in
that institution for a total of $239.82 million.
First American Bank Corporation and Pinnacle Financial Partners, Inc. made partial repayments of their outstanding CPP subordinated
debentures and preferred shares, respectively, for a total of $38.75 million. Treasury’s remaining investment in both institutions totals
$106.25 million.
Warrant Repurchases
In December, Treasury disposed of warrant positions in four institutions that were received in consideration for investments made under
the CPP. These proceeds provided an additional return to the American taxpayer of $1.34 million from Treasury’s investments in banks
beyond any dividend or interest payments.
Treasury completed the sale of warrants issued by Emclaire Financial Corp.; Center Bancorp, Inc.; and First Midwest Bancorp, Inc. for
a total of $1.20 million, as part of each institutions purchase of all preferred stock held by Treasury.
Customers Bancorp, Inc. repurchased preferred shares and/or subordinated debentures from exercised warrants from Treasury for a
total of $145,000.
Dividends and Interest
In December, Treasury received dividends and interest income from CPP investments of approximately $1.18 million. Cumulative
dividends, interest and fee income received from Capital Purchase Program investments is approximately $11.40 billion.
7
Program Updates – Bank Support Programs
Monthly 105(a) Report
December 2011
Board of Directors Appointments
In December, Treasury exercised its right to elect members to the board of directors of one institution participating in CPP.
Mary Carryer was elected to the board of directors of PremierWest Bancorp (Medford, OR).
As a participant in CPP, each institution entered into securities purchase agreements with Treasury that provide Treasury the contractual
right to nominate up to two members to the board of a CPP recipient in the event that the institution misses a sixth dividend or interest
payments on the preferred stock issued to Treasury. This appointment brings the total number of Treasury elected board of director
members to eleven at seven CPP institutions.
Figure 4:
Top 25 Remaining Capital Purchase Program Investments (as of December 31, 2011)
A list of all remaining CPP investments can be found in the appendix to this report.
Outstanding
Investment
($millions)
Institution
1
2
3
4
5
6
7
8
9
10
11
12
13
City, State
Regions Financial Corp.
Zions Bancorporation
Synovus Financial Corp.
Popular, Inc.
a
First Bancorp
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
M&T Bank Corporation
b
Sterling Financial Corporation
Citizens Republic Bancorp, Inc.
First Banks, Inc.
New York Private Bank & Trust Corp.
Flagstar Bancorp, Inc.
Cathay General Bancorp
PrivateBancorp, Inc.
$
$
$
$
$
$
$
$
$
$
$
$
$
3,500.0
1,400.0
967.9
935.0
400.0
381.5
303.0
300.0
295.4
267.3
266.7
258.0
243.8
Institution
14
15
16
17
18
19
20
21
22
23
24
25
City, State
International Bancshares Corporation
MB Financial Inc.
c
Pacific Capital Bancorp
Laredo, TX
Chicago, IL
Santa Barbara, CA
Blairsville, GA
Kansas City, MO
Walla Walla, WA
Los Angeles, CA
Madison, WI
Rosemont, IL
Newark, OH
Honolulu, HI
Norfolk, VA
United Community Banks, Inc.
Dickinson Financial Corporation II
Banner Corporation
BBCN Bancorp, Inc.
Anchor BanCorp Wisconsin, Inc.
Taylor Capital Group
Park National Corporation
d
Central Pacific Financial Corp.
e
Hampton Roads Bankshares, Inc.
Total
Outstanding
Investment
($millions)
$
216.0
$
196.0
$
180.6
$
180.0
$
146.1
$
124.0
$
122.0
$
110.0
$
104.8
$
100.0
$
98.7
$
80.3
$11.2 billion
8
Program Updates – Bank Support Programs
Monthly 105(a) Report
December 2011
Notes to Top 25 Remaining Capital Purchase Program Investments (as of December 31, 2011):
a/ Treasury exchanged its preferred stock for mandatorily convertible preferred stock (MCP) with capitalized dividends. First Bancorp
fulfilled the conversion conditions and Treasury's MCP was converted into 32,941,797 shares of common stock.
b/ Treasury exchanged its preferred stock for mandatorily convertible preferred stock (MCP). Sterling fulfilled the conversion conditions,
including those related to its capital plan, and Treasury's MCP was converted into 378,750,000 shares of common stock.
c/ Treasury exchanged its preferred stock for mandatorily convertible preferred stock (MCP) with capitalized dividends. Pacific Capital
fulfilled the conversion conditions and Treasury's MCP was converted into 360,833,250 shares of common stock.
d/ Treasury exchanged its preferred stock for mandatorily convertible preferred stock (MCP) with capitalized dividends. Central Pacific
fulfilled the conversion conditions and Treasury's MCP was converted into 5,620,117 shares of common stock of which 2,850,000 has
been sold.
e/ Treasury exchanged its preferred stock for mandatorily convertible preferred stock (MCP). Hampton fulfilled the conversion conditions
and Treasury's MCP was converted into 52,225,550 shares of common stock.
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.
9
Program Updates – Bank Support Programs
Monthly 105(a) Report
December 2011
Nationwide CPP Institution Density Map* as of December 31, 2011
Total Remaining Institutions
371
*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.
10
Program Updates – Bank Support Programs
Monthly 105(a) Report
December 2011
Southeast CPP Institutions as of December 31, 2011
Largest 15 Investments in the Southeast
Regional Density Map*
Bank
State
Regions Financial Corporation
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
400
180
71
65
52
52
52
50
50
50
49
48
$
$
6,523
7,379
*This institution’s original investment has been converted into shares of common stock in the
institution. Amount shown reflects the original investment amount less sale proceeds as
applicable. More information can be found in the Transaction Report located in the appendix.
State/Territory Snapshot
PR
Number of CPP Institutions
Investment Amount ($ Millions)
FL
GA
SC
NC
TN
AL
MS
2
$ 1,335
15
$ 195
20
$ 1,397
15
$ 195
21
$ 407
15
$ 255
7
$ 3,585
3
$
10
11
Program Updates – Bank Support Programs
Monthly 105(a) Report
December 2011
Mid Atlantic and Northeast CPP Institutions as of December 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 Corporation
Hampton Roads Bankshares, Inc.*
Virginia Commerce Bancorp
WSFS Financial Corporation
Parkvale Financial Corporation
Royal Bancshares of Pennsylvania, Inc.
First United Corporation
VIST Financial Corp.
Intervest Bancshares Corporation
Eastern Virginia Bankshares, Inc.
Severn Bancorp, Inc.
TriState Capital Holdings, Inc.
Premier Financial Bancorp, Inc.
Unity Bancorp, Inc.
NY
NY
VA
VA
DE
PA
PA
MD
PA
NY
VA
MD
PA
WV
NJ
382
267
80
71
53
32
30
30
25
25
24
23
23
22
21
Top 15 Total
Region Total
$
$
1,108
1,479
*This institution’s original investment has been converted into shares of common stock in the
institution. Amount shown reflects the original investment amount less sale proceeds as
applicable. More information can be found in the Transaction Report located in the appendix.
*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
VA
Number of CPP Institutions
Investment Amount ($ Millions)
WV
MD
DE
PA
NJ
NY
CT
RI
MA
NH
VT
14
$ 306
1
10
$ 112
1
11
$ 166
8
4
$ 681
1
1
2
1
0
$
22
$
53
$
90
$
5
$
1
$
24
$
2
$
ME
2
-
$
12
17
Program Updates – Bank Support Programs
Monthly 105(a) Report
December 2011
Southwest and South Central CPP Institutions as of December 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 BankCorp, Inc.
Patriot Bancshares, Inc.
Rogers Bancshares, Inc.
Central Bancorp, Inc.
Central Community Corporation
FC Holdings, Inc.
Chambers Bancshares, Inc.
First Trust Corporation
OneFinancial Corporation
White River Bancshares Company
Community First Bancshares, Inc.
Investment
Amount
($ Millions)
TX
OK
TX
NM
OK
TX
AR
TX
TX
TX
AR
LA
AR
AR
AR
Top 15 Total
Region Total
216
70
45
36
30
26
25
23
22
21
20
18
17
17
13
$
$
598
666
*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
OK
TX
NM
AZ
4
7
2
$ 100
12
$ 389
3
3
28
$
93
$
48
$
8
13
Program Updates – Bank Support Programs
Monthly 105(a) Report
December 2011
Mountain West and Plains States CPP Institutions as of December 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
1,733
*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
NE
KS
CO
WY
MT
ID
UT
NV
3
0
5
8
8
$ 132
1
0
3
1
$ 1,400
1
36
$
-
$
29
$
89
$
3
$
-
$
42
$
3
14
Program Updates – Bank Support Programs
Monthly 105(a) Report
December 2011
Midwest CPP Institutions as of December 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.
Dickinson Financial Corporation II
Anchor BanCorp Wisconsin Inc.
Taylor Capital Group
Park National Corporation
Metropolitan Bank Group, Inc.
Old Second Bancorp, Inc.
First Place Financial Corp.
Independent Bank Corporation
Standard Bancshares, Inc.
MainSource Financial Group, Inc.
Investment
Amount
($ Millions)
MI
MO
MI
IL
IL
MO
WI
IL
OH
IL
IL
OH
MI
IL
IN
Top 15 Total
Region Total
300
295
267
244
196
146
110
105
100
78
73
73
72
60
57
$
$
2,176
3,408
*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)
OH
MI
IN
IL
MO
WI
MN
IA
10
$ 146
9
$ 275
9
$ 734
8
$ 116
24
$ 1,035
22
$ 732
12
$ 222
12
$ 113
4
$
36
15
Program Updates – Bank Support Programs
Monthly 105(a) Report
December 2011
Western Region CPP Institutions as of December 31, 2011
Largest 15 Investments in the West
Regional Density Map*
Bank
State
Sterling Financial Corporation*
Cathay General Bancorp
Pacific Capital Bancorp*
Banner Corporation
BBCN Bancorp, Inc.
Central Pacific Financial Corp.*
Wilshire Bancorp, Inc.
Exchange Bank
PremierWest Bancorp
Heritage Commerce Corp.
Fremont Bancorporation
Heritage Oaks Bancorp
Timberland Bancorp, Inc.
Pacific City Financial Corporation
Community West Bancshares
Investment
Amount
($ Millions)
WA
CA
CA
WA
CA
HI
CA
CA
OR
CA
CA
CA
WA
CA
CA
Top 15 Total
Region Total
303
258
181
124
122
99
62
43
41
40
35
21
17
16
16
$
$
1,377
1,563
*This institution’s original investment has been converted into shares of common stock in the
institution. Amount shown reflects the original investment amount less sale proceeds as
applicable. More information can be found in the Transaction Report located in the appendix.
*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
WA
Number of CPP Institutions
Investment Amount ($ Millions)
OR
CA
AK
HI
8
$ 483
3
33
$ 928
1
1
$
49
$
5
$
99
16
Program Updates – Other Investment Programs
Monthly 105(a) Report
December 2011
Other Investment Programs
Automotive Industry Financing Program (AIFP)
When President Obama took office, the American auto industry was on the brink of collapse. The President made the difficult decision to
provide support to General Motors (GM) and Chrysler on the condition that all stakeholders make the sacrifices necessary to achieve a
path to viability. By conservative estimates, providing this support saved more than one million American jobs. Moreover, the expected
costs of TARP’s support for the industry have come down dramatically over the last two years as the auto industry has continued to
recover and strengthen.
On December 16 and December 23, 2011, Treasury received payments of $144.4 thousand and $18.9 million respectively, from
Motors Liquidation Company (Old GM) 2.These payments were made in connection with the dissolution of Old GM on December 15,
2011, as required by the Plan of Liquidation. The Plan of Liquidation for Old GM became effective on March 31, 2011, and
converted Treasury’s $986 million loan to Old GM 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. Treasury retained
the right to recover additional proceeds; however, any additional recovery is dependent on actual liquidation proceeds and pending
litigation.
2
General Motors Corporation (GM) filed for bankruptcy on June 1, 2009. A newly formed entity, General Motors Company (New GM), purchased most
of the assets of GM under a sale pursuant to Section 363 of the bankruptcy code (363 Sale). Approximately $986 million remained with GM (now known
as “Motors Liquidation Company” or “Old GM”) for wind-down costs associated with its liquidation.
17
Program Updates – Housing Programs
Monthly 105(a) Report
December 2011
Housing Programs
Making Home Affordable Program Performance Report
On January 9, 2012, the U.S. Department of the Treasury released the Making Home Affordable (MHA) Program Performance Report
through November 2011: http://www.treasury.gov/initiatives/financial-stability/results/MHA-Reports/Pages/default.aspx. Highlights from
this report include:
More than 26,000 new permanent modifications have been reported since the last public report through October, 2011.
An additional 19,059 trial modification starts were reported during the same period.
More than 909,000 homeowners have been granted permanent modifications since the start of the program.
To date, homeowners in permanent modifications have saved an estimated $9.9 billion in monthly mortgage payments. Homeowners in
active first lien permanent modifications are currently saving a median of $530 per month.
Eighty-three percent of eligible homeowners entering a HAMP trial modification since June 1, 2010 received a permanent modification,
with an average trial period of 3.5 months.
2MP and HAFA Program Results
This month, the MHA Program performance Report contains additional detail on the Second Lien Modification Program (2MP),
including servicer-level detail on eligible second liens.
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. Homeowners in 2MP save a median of $163 per month on their second
mortgage, in addition to the savings realized from the modification of their first mortgage under HAMP.
To date, more than 54,000 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.
Over one-third of 2MP borrowers reside in California, followed by Florida (9%) and New York (6%).
More than 38,000 homeowners have reached agreements with their servicer to exit their home 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.
More than 24,000 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.
18
Program Updates – Housing Programs
Monthly 105(a) Report
December 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). To date, $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. Seventy percent of funds are targeted to help unemployed borrowers, primarily through
reinstatement and programs that help homeowners pay their mortgage while looking for work.
$50 million was drawn down by four HFAs in December; a total of $722 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 Illinois, New Jersey, and Rhode Island designed to increase homeowner participation, enhance
assistance, and simplify the review process in their programs.
Treasury held several working group sessions following up on topics that were raised at the November 15th summit with HFAs, the
largest servicers, the GSEs, FHFA, and HUD. The working groups focused on challenges in short sale programs as well as those to
enable a modification. Treasury will continue to facilitate working group sessions in January with the goal of identifying solutions for
increasing uptake for these two program types.
19
Appendix Table of Appendix
Table of Contents –Contents
Monthly 105(a) Report
December 2011
EESA Requirement3
Page
Administrative Obligations and Expenditures………………………………………………………
Section 105(a)(2)
21
Agreements under TARP………………………………………………………………………………..
Section 105(a)(3)(A)
22
Insurance Contracts……………………………………………………………………………………..
Section 105(a)(3)(B)
28
Transactions Report……………………………………………………………………………………..
Section 105(a)(3)(C,D,G)
29
Appendix Section
Investment Programs
29
Home Affordable Modification Program
59
Projected Costs and Liabilities………………………………………………………………………....
Section 105(a)(3)(E)
105
Programmatic Operating Expenses……………………………………………………………………
Section 105(a)(3)(F)
106
Description of Vehicles Established…………………………………………………………………...
Section 105(a)(3)(H)
107
Remaining CPP Institutions……………………………………………………………………………..
Additional Information
108
3
Section 105(a)(1) is covered by the body of this report.
20
United States Department of the Treasury
Office of Financial Stability
Report of Administrative Obligations and Expenditures
For Period Ending
December 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
81,602,676
81,602,676
1,560,498
11,960
818,132
402
194,260,517
1,334,222
253,286
142
198,239,159
279,841,835
$
$
$
$
$
Expenditures
81,434,016
81,434,016
1,523,370
11,960
680,970
402
149,485,872
1,326,722
239,080
142
153,268,517
234,702,534
For Period Ending
January 31, 2012
$
$
$
$
$
Projected
Obligations
83,885,000
83,885,000
1,621,000
12,000
819,000
500
196,573,000
3,192,000
254,000
150
202,471,650
286,356,650
$
$
$
$
$
Projected
Expenditures
83,716,000
83,716,000
1,582,000
12,000
681,000
500
152,678,000
1,408,000
240,000
150
156,601,650
240,317,650
Note: The amounts presented above are cumulative from the initiation of the TARP.
21
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Agreements Under TARP [Section 105(a)(3)(A)]
For Period December 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
22
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
23
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
24
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
25
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
10/4/2011
10/20/2011
11/18/2011
11/29/2011
12/20/2011
12/30/2011
12/30/2011
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
Interagency Agreement
Contract
Contract
Financial Agent
Contract
Interagency Agreement
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
Internal Revenue Service
ABMI - All Business Machines, Inc.*****
Qualx Corporation*
Houlihan Lokey, Inc.
Allison Group LLC*
Department of the Treasury - Departmental Offices
Bureau of the Public Debt - ARC
* Small or Women-, or Minority-Owned Small Business
**Contract responsibilities assumed by Sonnenschein Nath & Rosenthal via novation.
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
Detailee
Administrative Support
FOIA Support Services
Transaction Structuring Services
Training
Administrative Support
Administrative Support
26
Date Approved
Type of Transaction
Vendor
Purpose
***Contract responsibilities assumed by Bingham McCutchen, LLP via novation.
**** Previously listed separate contracts for various training.
27
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Insurance Contracts [Section 105(a)(3)(B)]
For Period Ending December 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
Transactions Report - Investment Programs
For Period Ending December 31, 2011
CAPITAL PURCHASE PROGRAM
Seller
Footnote
1b
11, 23 5/26/2010
Name of Institution
Purchase Date
10/28/2008 Bank of America Corporation
10/28/2008 The Bank of New York Mellon Corporation
Purchase Details
City
State
Investment Description
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Charlotte
New York
NC
NY
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
15,000,000,000
3,000,000,000
Par
Par
14
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
$
$
0
0
Warrants
Warrants
3/3/2010
8/5/2009
Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
1b
A $
Warrants
186,342,969
R $
Warrants
136,000,000
23
$
25,000,000,000
$
0
Warrants
1/25/2011
Warrants
A $
4
$
$
$
$
$
$
10,000,000,000
25,000,000,000
10,000,000,000
2,000,000,000
25,000,000,000
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
$
$
1,576,000,000
3,500,000,000
$
$
0
0
Warrants
Warrants
8/26/2009
9/22/2011
$
$
200,000,000
3,133,640,000
$
$
0
0
Warrants
Warrants
$
$
214,181,000
2,250,000,000
$
$
0
0
$
$
$
$
3,555,199,000
866,540,000
1,398,071,000
2,500,000,000
$
$
$
$
0
0
0
0
Par
Portland
Dallas
Birmingham
McLean
Memphis
Columbus
Cleveland
Final
Disposition
Date
Par
11/14/2008
11/14/2008
49
10/28/2008
Capital Repayment
Capital
Amount (Loss) 6
Repayment Date
12/9/2009 4 $
15,000,000,000
3,000,000,000
6/17/2009 4 $
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
**
6/17/2009
6/17/2009
6/17/2009
6/17/2009
12/23/2009
9/27/2011
4
4
5
4
49
1,100,000,000
950,318,243
950,000,000
60,000,000
849,014,998
125,000
Warrants
Warrants
R $
A $
87,000,000
14,269,536
3/9/2010
7/22/2009
Warrants
Warrants
A $
R $
15,623,222
67,010,402
Warrants
Warrants
3/31/2010
5/6/2010
Warrants
Warrants
R $
A $
4,500,000
183,673,472
12/3/2009
3/9/2011
1/19/2011
4/20/2011
Warrants
Warrants
Warrants
Warrants
A
R
R
R
$
$
$
$
148,731,030
79,700,000
49,100,000
70,000,000
11/14/2008
Wayne
NJ
Preferred Stock w/ Warrants
$
300,000,000
Par
11/14/2008
44 5/16/2011
Valley National Bancorp
5/18/2010
Warrants
A $
5,571,592
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
11/14/2008
11/14/2008
11/21/2008
11/21/2008
11/21/2008
11/21/2008
U.S. Bancorp
TCF Financial Corporation
First Niagara Financial Group
HF Financial Corp.
Centerstate Banks of Florida Inc.
City National Corporation
Minneapolis
Wayzata
Lockport
Sioux Falls
Davenport
Beverly Hills
MN
MN
NY
SD
FL
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
$
$
$
$
$
$
6,599,000,000
361,172,000
184,011,000
25,000,000
27,875,000
400,000,000
Par
Par
Par
Par
Par
Par
11/21/2008
11/21/2008
First Community Bancshares Inc.
Western Alliance Bancorporation
Bluefield
Las Vegas
VA
NV
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
41,500,000
140,000,000
Par
Par
11/21/2008
49
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
Warrants
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
7/5/2011
44
$
1,715,000,000
$
0
Warrants
7/5/2011
Warrants
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
4
4
4
4
4
Webster Financial Corporation
Waterbury
CT
Preferred Stock w/ Warrants
$
400,000,000
Par
4
5
4
5
5
49
200,000,000
0
0
0
3/3/2010
11/21/2008
Pacific Capital Bancorp
Santa Barbara
CA
Common Stock w/ Warrants
$
195,045,000
4
$
100,000,000
$
300,000,000
10/13/2010
4
$
100,000,000
$
200,000,000
12/29/2010
29 9/24/2010
9
9
Par
11/14/2008
5/27/2009
6/17/2009
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
4
6/3/2009
3a 11/24/2009
6/17/2009
3/30/2011
4
54,621,849
$
$
$
$
$
$
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
11/18/2011
11/18/2011
Warrants
Warrants
P $
P $
30,600
415,000
6/2/2011
Warrants
A $
20,678,339
9
Par
29
Seller
Footnote
Purchase Date
Purchase Details
Name of Institution
City
State
Investment Description
Capital Repayment Details
Investment Amount
Pricing
Mechanism
11/21/2008
11/21/2008
11/21/2008
11/21/2008
47 6/30/2011
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
Cascade Financial Corporation
Everett
WA
Preferred Stock w/ Warrants
$
38,970,000
Par
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
Par
Par
Par
Par
11/21/2008
Capital
Repayment Date
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
76,898,000
24,000,000
19,300,000
23,393,000
Par
Par
Par
Par
11/21/2008
Boston Private Financial Holdings, Inc.
Boston
MA
Preferred Stock w/ Warrants
$
154,000,000
Par
11/21/2008
11/21/2008
11/21/2008
11/21/2008
66 11/30/2011
14, 20
50
49
11/21/2008
Associated Banc-Corp
Trustmark Corporation
First Community Corporation
Taylor Capital Group
BBCN Bancorp, Inc.
(Nara Bancorp, Inc.)
Green Bay
Jackson
Lexington
Rosemont
MS
SC
IL
Los Angeles
CA
12/5/2008
Midwest Banc Holdings, Inc.
Melrose Park
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
MB Financial Inc.
First Midwest Bancorp, Inc.
United Community Banks, Inc.
WesBanco, Inc.
Encore Bancshares Inc.
Manhattan Bancorp
Iberiabank Corporation
Chicago
Itasca
Blairsville
Wheeling
Houston
El Segundo
Lafayette
12/5/2008
12/5/2008
Eagle Bancorp, Inc.
Sandy Spring Bancorp, Inc.
WI
Bethesda
Olney
IL
IL
IL
GA
WV
TX
CA
LA
MD
MD
Preferred Stock w/ Warrants
$
525,000,000
N/A
N/A
N/A
47
-
8/11/2010
12/22/2010
12/15/2010
$
$
$
76,898,000
24,000,000
19,300,000
$
$
$
0
0
0
Warrants
Warrants
Warrants
9/1/2010
8/17/2011
1/5/2011
Warrants
Warrants
Warrants
9
R $
R $
R $
3,301,647
450,000
1,003,227
1/13/2010
4
$
50,000,000
$
Warrants
A $
6,352,500
$
104,000,000
$
Preferred Stock w/
Warrants
Warrants
2/1/2011
4
4
$
262,500,000
$
11/30/2011
Warrants
A $
3,584,977
4
$
262,500,000
$
0
Warrants
12/9/2009
4
$
215,000,000
$
0
Warrants
12/30/2009
Warrants
R $
10,000,000
11/23/2011
4
$
193,000,000
$
0
Warrants
12/21/2011
Warrants
R $
900,000
9/9/2009
9/27/2011
9/16/2009
3/31/2009
4
$
$
$
$
75,000,000
34,000,000
1,700,000
90,000,000
$
$
$
$
0
0
0
0
12/23/2009
11/18/2011
10/14/2009
5/20/2009
Warrants
Warrants
Warrants
Warrants
R
P
R
R
5
$
15,000,000
$
Warrants
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
11/18/2011
49
$
23,235,000
$
7/21/2010
4
$
41,547,000
$
12/15/2010
$
$
$
$
0
7/14/2011
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
12/23/2009
WA
WA
CA
MD
16,250,000
9/14/2011
Tacoma
Olympia
Chula Vista
Annapolis
$
4
4/6/2011
Columbia Banking System, Inc.
Heritage Financial Corporation
First PacTrust Bancorp, Inc.
Severn Bancorp, Inc.
47
6/16/2010
11/21/2008
11/21/2008
11/21/2008
11/21/2008
6/30/2011
4
$
41,547,000
$
0
Preferred Stock w/
Warrants
Warrants
4
4
104,000,000
0
262,500,000
Par
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
215,000,000
11,350,000
104,823,000
Par
Par
Par
Preferred Stock w/ Warrants
$
67,000,000
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
Preferred Stock w/
Warrants
9
N/A
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
$
$
38,235,000
83,094,000
50
4
5
23,235,000
Par
Par
0
41,547,000
$
$
$
$
950,000
637,071
63,364
1,200,000
Warrants
P $
2,794,422
2/23/2011
Warrants
R $
4,450,000
14,500,000
9
Warrants
12/5/2008
12/5/2008
12
50
49
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
17, 54
Fernandina Beach
Pasadena
12/5/2008
26 9/30/2010
50
Coastal Banking Company, Inc.
East West Bancorp
3/31/2009
4
$
28,000,000
$
0
Warrants
11/18/2011
Warrants
P $
1,703,984
8/25/2011
7/21/2011
12/14/2011
50
$
$
$
10,000,000
9,550,000
36,842,000
$
$
$
0
0
0
Warrants
Warrants
Warrants
10/19/2011
Warrants
R $
2,525,000
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
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
49
4
32,500,000
9
30
Seller
Footnote
32 9/30/2010
55
24
50
35
43 5/13/2011
Purchase Date
Purchase Details
Name of Institution
City
State
Investment Description
Capital Repayment Details
Investment Amount
Pricing
Mechanism
12/5/2008
TIB Financial Corp
Naples
FL
Preferred Stock w/ Warrants
$
37,000,000
Par
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
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)
Clinton
Bowie
Port St. Lucie
Spokane
Oakdale
Evansville
Raleigh
Seattle
Santa Clara
Lorain
NJ
MD
FL
WA
CA
IN
NC
WA
CA
OH
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Common Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
20,649,000
7,000,000
5,800,000
303,000,000
13,500,000
100,000,000
41,279,000
6,500,000
235,000,000
25,223,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Wilmington
DE
Preferred Stock w/ Warrants
$
330,000,000
Par
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
Susquehanna Bancshares, Inc
50
22
50
49
45 - 6/3/2011
50
64 10/21/2011
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
PA
Preferred Stock w/ Warrants
$
300,000,000
Par
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
9/30/2010
32
$
12,119,637
$
0
Warrants
9/30/2010
Warrants
7/15/2009
4
$
7,000,000
$
0
Warrants
9/2/2009
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
12/23/2009
5
$
235,000,000
$
0
Warrants
5/13/2011
43
$
330,000,000
$
0
4/21/2010
4
$
200,000,000
$
12/22/2010
3/31/2009
4
$
$
100,000,000
120,000,000
$
$
0
0
Preferred Stock w/
Warrants
Warrants
Warrants
11/4/2009
4
$
75,000,000
$
0
5/5/2009
3/10/2010
9/22/2011
4
$
$
$
125,198,000
45,220,000
76,458,000
$
$
$
0
0
0
4
35
4
100,000,000
32
Final Disposition
Proceeds
R $
40,000
Warrants
R $
225,000
9/28/2011
5/8/2009
N/A
Warrants
Warrants
N/A
R $
R $
-
560,000
1,200,000
N/A
6/16/2010
Warrants
R $
6,820,000
1/19/2011
Warrants
R $
5,269,179
3/10/2010
Warrants
A $
11,320,751
Warrants
11/24/2009
Warrants
R $
2,650,000
Warrants
Warrants
Warrants
6/9/2010
9/8/2010
Warrants
Warrants
A $
R $
3,007,891
4,753,985
4/7/2010
4/13/2011
Warrants
Warrants
R $
R $
1,488,046
1,000,000
35
9
Warrants
New York
Hopkinsville
Flint
Columbus
Little Rock
NY
KY
MI
IN
AR
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
Par
Par
Par
Par
Par
Los Angeles
CA
Preferred Stock w/ Warrants
$
55,000,000
Par
Greensboro
Houston
Wilmington
Portsmouth
Los Angeles
Roanoke
NC
TX
DE
VA
CA
VA
$
$
$
$
$
$
52,372,000
125,198,000
45,220,000
76,458,000
62,158,000
16,019,000
Par
Par
Par
Par
Par
Par
Independent Bank Corporation
Ionia
MI
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Mandatorily Convertible Preferred Stock w/
Warrants
$
74,426,000
Par
12/12/2008
66 11/30/2011
Signature Bank
HopFed Bancorp
Citizens Republic Bancorp, Inc.
Indiana Community Bancorp
Bank of the Ozarks, Inc.
BBCN Bancorp, Inc.
(Center Financial Corporation)
NewBridge Bancorp
Sterling Bancshares, Inc.
The Bancorp, Inc.
TowneBank
Wilshire Bancorp, Inc.
Valley Financial Corporation
Lititz
Capital
Repayment Date
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
Pinnacle Financial Partners, Inc.
Nashville
TN
Preferred Stock w/ Warrants
$
95,000,000
Par
12/28/2011
4
$
23,750,000
$
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
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
Litchfield
Boyertown
Lewiston
Gastonia
Arlington
Pittsburgh
North Andover
Sandpoint
Goleta
Columbus
Franklin
Glen Allen
Mobile
St. Louis
Millersburg
Santa Rosa
Wyomissing
Boston
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
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
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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
4/7/2010
3/16/2011
4
$
$
10,000,000
150,000,000
$
$
0
0
Preferred Stock w/
Warrants
Warrants
Warrants
9/22/2011
50
$
20,500,000
$
0
Warrants
11/9/2011
Warrants
R $
225,157
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
12/19/2008
Whitney Holding Corporation
New Orleans
LA
Preferred Stock w/ Warrants
$
300,000,000
Par
6/3/2011
$
300,000,000
$
0
Warrants
6/3/2011
Warrants
12/19/2008
12/19/2008
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
50
$
64,450,000
$
0
Warrants
11/18/2011
Warrants
12/19/2008
Santa Lucia Bancorp
Atascadero
CA
Preferred Stock w/ Warrants
$
4,000,000
Par
10/21/2011
64
$
2,800,000
$
0
N/A
N/A
N/A
12/19/2008
Seacoast Banking Corporation of Florida
Stuart
FL
Preferred Stock w/ Warrants
$
50,000,000
Par
12/12/2008
5
50
4
71,250,000
9
9
R $
45
568,700
R $
6,900,000
P $
64
143,677
-
N/A
31
Seller
Purchase Details
Name of Institution
City
State
Investment Description
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
11/10/2010
8/25/2011
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
Footnote
Purchase Date
50
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
5/27/2009
7/14/2011
8/11/2011
50
12/19/2008
Security Federal Corporation
Aiken
SC
Preferred Stock w/ Warrants
$
18,000,000
Par
9/29/2010
4
$
18,000,000
$
0
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
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
StellarOne Corporation
Charlottesville
VA
Preferred Stock w/ Warrants
$
30,000,000
Par
4/13/2011
4
12/19/2008
$
7,500,000
$
12/28/2011
4
$
22,500,000
$
11/18/2009
5
$
59,000,000
$
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
Warrants
12/19/2008
12/19/2008
12/19/2008
Final
Disposition
Date
50
50
30 9/29/2010
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.
4
50
4
50
5
5
$
$
6,250,000
18,750,000
$
$
$
$
$
40,000,000
25,000,000
21,000,000
$
$
$
18,750,000
0
Warrants
11/18/2011
Warrants
P $
1,750,551
Warrants
Warrants
Warrants
6/24/2009
8/24/2011
11/2/2011
Warrants
Warrants
Warrants
R $
R $
R $
1,040,000
599,042
825,000
2/8/2011
12/30/2009
2/10/2010
Warrants
Warrants
Warrants
9
A $
R $
R $
25,964,061
900,000
260,000
0
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
0
Warrants
12/23/2009
Warrants
9
R $
450,000
9/30/2009
Warrants
R $
1,400,000
6/17/2009
9/28/2011
Warrants
Warrants
R $
R $
900,000
1,800,000
R $
R $
4,382,000
777,000
R $
A $
465,000
3,116,284
0
0
0
22,500,000
9
Preferred Stock w/ Warrants
$
59,000,000
Par
Mount 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
8/25/2011
5/13/2009
9/15/2011
49
$
$
$
9,090,000
26,918,000
81,698,000
$
$
$
0
0
0
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
Preferred Stock 2
9/27/2011
9/22/2011
Preferred Stock
Preferred Stock
2, 7
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
2/23/2011
4
$
15,000,000
$
Preferred Stock w/
Warrants
4/20/2011
Warrants
R $
1,395,000
4
$
8,864,000
$
5/18/2011
4
$
370,000,000
$
Par
Par
8/18/2011
49
$
7,500,000
$
0
Preferred Stock w/
Warrants
Warrants
12/7/2011
Warrants
R $
51,113
9/7/2011
59
$
68,700,000
$
0
N/A
N/A
N/A
4
$
12,505,000
$
5/11/2011
Warrants
R $
2,079,963
3/30/2011
50
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
VA
2/23/2011
49
12/19/2008
Bowling Green
3/16/2011
18
4
$
25,010,000
$
0
Warrants
9/8/2010
Warrants
R $
10,800,000
12/19/2008
Citizens First Corporation
Bowling Green
KY
Preferred Stock w/ Warrants
$
8,779,000
Par
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/23/2008
FFW Corporation
Plains Capital Corporation
Tri-County Financial Corporation
OneUnited Bank
Patriot Bancshares, Inc.
Pacific City Financial Corporation
Marquette National Corporation
Exchange Bank
Monadnock Bancorp, Inc.
Bridgeview Bancorp, Inc.
Fidelity Financial Corporation
Patapsco Bancorp, Inc.
NCAL Bancorp
FCB Bancorp, Inc.
First Financial Bancorp
Wabash
Dallas
Waldorf
Boston
Houston
Los Angeles
Chicago
Santa Rosa
Peterborough
Bridgeview
Wichita
Dundalk
Los Angeles
Louisville
Cincinnati
IN
TX
MD
MA
TX
CA
IL
CA
NH
IL
KS
MD
CA
KY
OH
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
7,289,000
87,631,000
15,540,000
12,063,000
26,038,000
16,200,000
35,500,000
43,000,000
1,834,000
38,000,000
36,282,000
6,000,000
10,000,000
9,294,000
80,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
12/23/2008
2
2, 49
2, 49
2, 3
2
2
2
2
2
2
2
2
2
2, 50
Bridge Capital Holdings
San Jose
CA
Preferred Stock w/ Warrants
$
23,864,000
Par
12/23/2008
12/23/2008
Laredo
Seattle
TX
WA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
216,000,000
7,400,000
M&T Bank Corporation
Buffalo
NY
Preferred Stock w/ Warrants
$
600,000,000
Par
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
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
49
5
6,566,692
8,864,000
0
9
Warrants
Financial Institutions, Inc.
Warsaw
NY
Preferred Stock w/ Warrants
$
37,515,000
230,000,000
Par
25,010,000
Preferred Stock w/
Warrants
12/23/2008
30 - 9/3/2010
2, 7
59
Par
12/23/2008
59 - 9/7/2011
50
Par
Par
12/23/2008
49
International Bancshares Corporation
First Sound Bank
4
Fulton Financial Corporation
Lancaster
PA
Preferred Stock w/ Warrants
$
376,500,000
Par
7/14/2010
4
$
376,500,000
$
0
Warrants
12/23/2008
United Bancorporation of Alabama, Inc.
Atmore
AL
Preferred Stock w/ Warrants
$
10,300,000
Par
9/3/2010
4
$
10,300,000
$
0
-
N/A
Warrants
32
Seller
Purchase Details
Name of Institution
City
State
Investment Description
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
Footnote
Purchase Date
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
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
Sterling Bancorp
Intervest Bancshares Corporation
Peoples Bancorp of North Carolina, Inc.
New York
New York
Newton
NY
NY
NC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
42,000,000
25,000,000
25,054,000
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
11/18/2011
12/1/2010
Warrants
Warrants
P $
R $
326,576
319,659
8/20/2010
4
$
5,500,000
$
0
N/A
N/A
N/A
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 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
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
Preferred Stock 2
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
$
21,513,000
14,341,000
393/11/2011
67 12/29/2011
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
12/23/2008
Parkvale Financial Corporation
Monroeville
PA
Preferred Stock w/ Warrants
$
31,762,000
Timberland Bancorp, Inc.
1st Constitution Bancorp
Central Jersey Bancorp
Western Illinois Bancshares Inc.
Saigon National Bank
Capital Pacific Bancorp
Uwharrie Capital Corp
Hoquiam
Cranbury
Oakhurst
Monmouth
Westminster
Portland
Albemarle
WA
NJ
NJ
IL
CA
OR
NC
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
$
$
$
$
$
$
$
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
12/23/2008
Mission Valley Bancorp
Sun Valley
CA
Preferred Stock
$
5,500,000
Par
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
The Little Bank, Incorporated
Pacific Commerce Bank
Citizens Community Bank
Seacoast Commerce Bank
TCNB Financial Corp.
Leader Bancorp, Inc.
Nicolet Bankshares, Inc.
Kinston
Los Angeles
South Hill
Chula Vista
Dayton
Arlington
Green Bay
NC
CA
VA
CA
OH
MA
WI
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
7,500,000
4,060,000
3,000,000
1,800,000
2,000,000
5,830,000
14,964,000
Par
Par
Par
Par
Par
Par
Par
$
$
32,382,000
10,800,000
12/23/2008
Magna Bank
Memphis
TN
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/31/2008
12/31/2008
12/31/2008
Western Community Bancshares, Inc.
Community Investors Bancorp, Inc.
Capital Bancorp, Inc.
Cache Valley Banking Company
Citizens Bancorp
Tennessee Valley Financial Holdings, Inc.
Pacific Coast Bankers' Bancshares
SunTrust Banks, Inc.
The PNC Financial Services Group Inc.
Fifth Third Bancorp
12/31/2008
Hampton Roads Bankshares, Inc.
Norfolk
VA
Common Stock w/ Warrants
12/31/2008
12/31/2008
12/31/2008
1/9/2009
1/9/2009
1/9/2009
CIT Group Inc.
West Bancorporation, Inc.
First Banks, Inc.
Bank of America Corporation
FirstMerit Corporation
Farmers Capital Bank Corporation
New York
West Des Moines
Clayton
Charlotte
Akron
Frankfort
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
Peapack-Gladstone Financial Corporation
Gladstone
NJ
Preferred Stock w/ Warrants
$
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
$
$
$
$
$
$
$
$
$
$
13,795,000
Par
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
$
80,347,000
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
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
7/28/2011
3/30/2011
2/10/2010
2/2/2011
50
2/8/2010
6/29/2011
16
12/9/2009
4/22/2009
4
4
$
7,172,000
3/2/2011
2
1a, 1b
0
0
Warrants
Warrants
R $
Warrants
900,194
-
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
4
4
7/28/2011
9/22/2011
4/29/2010
3/16/2011
Preferred Stock
Warrants
Warrants
Warrants
2, 7
4
4
4
N/A
Warrants
N/A
8/31/2011
N/A
Warrants
4
Warrants
Warrants
3/3/2010
5/27/2009
Warrants
Warrants
5/27/2009
7/29/2009
$
7,172,000
$
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
Sun Bancorp, Inc.
Crescent Financial Bancshares, Inc.
(Crescent Financial Corporation)
American Express Company
Vineland
NJ
Preferred Stock w/ Warrants
$
89,310,000
Par
4/8/2009
4
$
89,310,000
$
0
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
Cary
NC
Preferred Stock w/ Warrants
$
24,900,000
2, 7
2, 7
2, 7
2, 7
New York
NY
Preferred Stock w/ Warrants
$
3,388,890,000
Par
6/17/2009
4
$
3,388,890,000
$
0
Warrants
2, 7
R
A
A
R
$
$
$
$
580,000
16,224,035
324,195,686
280,025,936
R $
N/A
700,000
A $
R $
124,228,646
5,025,000
Warrants
R $
2,100,000
Warrants
R $
340,000,000
1b
Par
1/9/2009
65 11/15/2011
9/28/2011
Par
$
$
$
$
$
$
4
1/6/2010
31 9/30/2010
16
$
$
Par
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
4
1/9/2009
1/9/2009
0
12,500,000
33
Seller
Footnote
37, 46 6/17/2011
Purchase Details
Name of Institution
Purchase Date
City
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
Honolulu
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
Centrue Financial Corporation
Eastern Virginia Bankshares, Inc.
Colony Bankcorp, Inc.
Independent Bank Corp.
Cadence Financial Corporation
LCNB Corp.
Center Bancorp, Inc.
F.N.B. Corporation
Investment Description
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
46
$
35,883,281
$
4
$
$
$
$
$
78,158,000
38,000,000
13,400,000
10,000,000
100,000,000
$
$
$
$
$
4
$
10,000,000
$
12/14/2011
4
$
10,200,000
$
9/1/2011
50
$
65,000,000
8/18/2011
8/25/2011
49
$
$
4/15/2009
4
11/2/2011
9/15/2011
7/14/2011
4
49
12/28/2011
8/18/2011
12/29/2010
49
HI
Common Stock w/ Warrants
$
135,000,000
Par
6/17/2011
St. Louis
Tappahannock
Fitzgerald
Rockland
Starkville
Lebanon
Union
Hermitage
MO
VA
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
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
32,668,000
24,000,000
28,000,000
78,158,000
44,000,000
13,400,000
10,000,000
100,000,000
Par
Par
Par
Par
Par
Par
Par
Par
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
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
Wellsboro
Greensburg
Houston
Tecumseh
Aurora
Creve Coeur
Toms River
Roseville
PA
IN
TX
MI
IL
MO
NJ
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
$
$
$
$
$
$
$
$
26,440,000
57,000,000
45,000,000
20,600,000
73,000,000
32,538,000
38,263,000
2,550,000
Par
Par
Par
Par
Par
Par
Par
Par
99,116,719
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
Common Stock w/
Warrants
Par
1/16/2009
1/16/2009
49
Central Pacific Financial Corp.
1/9/2009
33
1/9/2009
State
Capital Repayment Details
5/27/2009
N/A
11/18/2011
12/7/2011
11/18/2011
Warrants
N/A
Warrants
Warrants
Warrants
R $
P $
R $
P $
2,200,000
N/A
602,557
245,000
690,100
0
Warrants
N/A
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
$
0
Warrants
11/18/2011
Warrants
P $
924,462
16,500,000
20,000,000
$
$
0
0
Warrants
Warrants
9/28/2011
11/18/2011
Warrants
Warrants
R $
P $
526,604
206,557
$
25,000,000
$
0
Warrants
11/16/2011
Warrants
R $
25,000
$
$
$
6,000,000
6,815,000
5,803,000
$
$
$
0
0
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
11/2/2011
9/15/2011
7/14/2011
Preferred Stock
Preferred Stock
Preferred Stock
R $
R $
R $
300,000
341,000
290,000
$
$
$
5,116,000
2,995,000
2,000,000
$
$
$
0
0
0
N/A
Preferred Stock 2
Preferred Stock 2
N/A
8/18/2011
12/29/2010
N/A
Preferred Stock
Preferred Stock
R $
R $
N/A
150,000
100,000
$
$
$
24,000,000
9,000,000
3,981,000
$
$
$
0
0
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
7/6/2011
9/8/2011
5/19/2010
Preferred Stock
Preferred Stock
Preferred Stock
R $
R $
R $
1,200,000
450,000
199,000
$
$
$
$
$
$
$
50,000,000
26,380,000
10,000,000
18,751,000
7,414,000
64,779,000
108,676,000
$
$
$
$
$
$
$
0
0
0
0
0
0
0
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
7/27/2011
3/2/2011
Warrants
Warrants
R $
R $
1,300,000
1,625,000
7/28/2010
6/24/2009
6/24/2009
Warrants
Warrants
Warrants
R $
R $
R $
250,000
275,000
1,400,000
4
$
75,000,000
$
0
Warrants
3/11/2010
Warrants
A $
6,709,061
8/27/2010
4
$
18,980,000
$
0
N/A
N/A
N/A
8/4/2010
4
$
26,440,000
$
0
Warrants
9/1/2010
Warrants
12/30/2009
5
$
38,263,000
$
0
Warrants
2/3/2010
Warrants
33
4
49
4
49
49
4
4
7/6/2011
9/8/2011
5/19/2010
49
7/6/2011
1/12/2011
8/25/2011
2/24/2010
5/20/2009
5/20/2009
12/7/2011
4
50
4
4
49
5
4
4
4
0
0
0
0
0
10,000,000
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
9
9
-
N/A
R $
9
400,000
R $
430,797
34
Seller
Purchase Details
Name of Institution
City
State
Investment Description
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Footnote
Purchase Date
2
2
2, 50
2, 19
3, 30 9/29/2010
2, 49
2
2
2, 49
1/16/2009
1/16/2009
1/16/2009
1/16/2009
TCB Holding Company, Texas Community Bank
Centra Financial Holdings, Inc.
First Bankers Trustshares, Inc.
Pacific Coast National Bancorp
The Woodlands
Morgantown
Quincy
San Clemente
TX
WV
IL
CA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
11,730,000
15,000,000
10,000,000
4,120,000
Par
Par
Par
Par
3/31/2009
9/8/2011
2/11/2010
1/16/2009
Community Bank of the Bay
Oakland
CA
Preferred Stock
$
1,747,000
Par
9/29/2010
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
4
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
Preferred Stock 2
Preferred Stock 2
N/A
Final
Disposition
Date
2, 7
Final Disposition
Proceeds
$
$
$
15,000,000
10,000,000
0
$
$
$
0
0
0
4
$
1,747,000
$
0
N/A
N/A
N/A
7/21/2011
49
$
3,800,000
$
0
Preferred Stock 2
7/21/2011
Preferred Stock
2, 7
R $
190,000
8/11/2011
12/15/2010
9/15/2011
49
$
$
$
4,500,000
3,000,000
2,658,000
$
$
$
0
2,658,000
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
8/11/2011
Preferred Stock
2, 7
R $
225,000
2,7
R $
283,000
8/12/2009
6/29/2011
4
$
$
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, 7
R $
50
19
4
4/15/2009
9/8/2011
N/A
Final Disposition
Disposition
Investment
15
Description
9/15/2011
Preferred Stock
Preferred Stock
N/A
2, 49
1/16/2009
United Financial Banking Companies, Inc.
Vienna
VA
Preferred Stock w/ Exercised Warrants
$
5,658,000
Par
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
1/16/2009
State Bankshares, Inc.
Fargo
ND
$
50,000,000
Par
2
2
3, 30 8/6/2010
2
2, 36
1/16/2009
1/16/2009
BNCCORP, Inc.
First Manitowoc Bancorp, Inc.
Bismarck
Manitowoc
ND
WI
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
20,093,000
12,000,000
Par
Par
5/27/2009
4
$
12,000,000
$
0
Preferred Stock 2
5/27/2009
Preferred Stock
1/16/2009
Southern Bancorp, Inc.
Arkadelphia
AR
Preferred Stock
$
11,000,000
Par
8/6/2010
4
$
11,000,000
$
0
N/A
N/A
N/A
1/16/2009
1/16/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
Morrill Bancshares, Inc.
Treaty Oak Bancorp, Inc.
1st Source Corporation
Princeton National Bancorp, Inc.
AB&T Financial Corporation
First Citizens Banc Corp
WSFS Financial Corporation
Commonwealth Business Bank
Three Shores Bancorporation, Inc. (Seaside
National Bank & Trust)
Merriam
Austin
South Bend
Princeton
Gastonia
Sandusky
Wilmington
Los Angeles
KS
TX
IN
IL
NC
OH
DE
CA
Preferred Stock w/ Exercised Warrants
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
13,000,000
3,268,000
111,000,000
25,083,000
3,500,000
23,184,000
52,625,000
7,701,000
Par
Par
Par
Par
Par
Par
Par
Par
7/20/2011
2/15/2011
12/29/2010
4
$
$
$
13,000,000
500,000
111,000,000
$
$
$
0
0
0
Preferred Stock 2
Warrants
Warrants
7/20/2011
Preferred Stock
36
3/9/2011
Warrants
Orlando
FL
Preferred Stock w/ Exercised Warrants
$
5,677,000
4
$
4,900,000
$
0
Preferred Stock 2
4/22/2009
Preferred Stock
12/23/2009
4
$
10,189,000
$
0
Preferred Stock 2
12/23/2009
12/8/2010
4
$
3,300,000
$
0
Preferred Stock 2
7/21/2011
50
$
57,500,000
$
0
9/8/2011
8/25/2011
12/16/2009
6/16/2010
49
$
$
$
$
15,500,000
5,000,000
1,000,000
2,240,000
$
$
$
$
0
0
2,240,000
0
2/2/2011
4
$
21,000,000
$
18,000,000
12/28/2011
4
$
18,000,000
$
0
Preferred Stock w/
Warrants
Warrants
12/23/2009
5
$
22,000,000
$
0
Warrants
N/A
Par
4/22/2009
750,000
500,000
N/A
Par
Par
Par
2
R $
R $
-
2, 7
2
2, 13 12/4/2009
1/23/2009
Preferred Stock w/ Exercised Warrants
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.
Rancho Santa
Margarita
Fresno
Oakland
Ocala
Effingham
Moscow
Windsor
Thousand Oaks
Tacoma
Ashland
Jonesboro
Blaine
Macon
Carmi
2
1/23/2009
FPB Financial Corp.
Hammond
LA
Preferred Stock w/ Exercised Warrants
$
3,240,000
Par
2
1/23/2009
Stonebridge Financial Corp.
West Chester
PA
Preferred Stock w/ Exercised Warrants
$
10,973,000
Peoples Bancorp Inc.
Marietta
OH
Preferred Stock w/ Warrants
$
39,000,000
Par
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
Anchor BanCorp Wisconsin Inc.
Parke Bancorp, Inc.
Central Virginia Bankshares, Inc.
Flagstar Bancorp, Inc.
Middleburg Financial Corporation
Peninsula Bank Holding Co.
Madison
Sewell
Powhatan
Troy
Middleburg
Palo Alto
WI
NJ
VA
MI
VA
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
$
$
$
$
$
$
110,000,000
16,288,000
11,385,000
266,657,000
22,000,000
6,000,000
Par
Par
Par
Par
Par
Par
4
Preferred Stock
600,000
2, 7
N/A
R $
650,000
R $
3,750,000
2, 7
R $
245,000
Preferred Stock
2, 7
R $
509,000
12/8/2010
Preferred Stock
2, 7
R $
165,000
Preferred Stock 2
7/21/2011
Preferred Stock
2, 7
R $
2,875,000
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
9/8/2011
8/25/2011
Preferred Stock
Preferred Stock
2, 7
R $
R $
775,000
250,000
6/16/2010
Preferred Stock
2, 7
R $
162,000
11/18/2011
Warrants
P $
301,001
Par
1/30/2009
49
CA
Preferred Stock w/ Exercised Warrants
$
4,656,000
Par
CA
CA
FL
IL
TN
VA
CA
WA
MO
AR
MN
MS
IL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
1,968,000
4,900,000
6,514,000
10,189,000
6,216,000
8,752,000
3,300,000
6,800,000
1,037,000
57,500,000
10,650,000
15,500,000
5,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
49
4
4
2, 7
35
Seller
Footnote
Purchase Date
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
Purchase Details
Name of Institution
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
City
Chicago
Fresno
Quincy
Midland Park
Oak Ridge
Oakland
Middletown
Springfield
Annapolis
Downingtown
Alma
Visalia
Greer
Ojai
Ogallala
State
IL
CA
CA
NJ
NC
MD
NJ
MO
MD
PA
MI
CA
SC
CA
NE
Investment Description
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
Capital Repayment Details
Investment Amount
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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
Pricing
Mechanism
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Capital
Repayment Date
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
49
49
2
2
2
2, 49
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
10/19/2011
49
8/18/2011
7/6/2011
50
6/16/2010
4
$
10,900,000
$
0
Preferred Stock 2
6/16/2010
Preferred Stock
2, 7
R $
545,000
$
10,449,000
$
0
Preferred Stock
2
8/18/2011
Preferred Stock
2, 7
R $
522,000
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
2, 13 10/30/2009,
49
2
2
2, 49
2, 49
2
2
2, 50
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
8/18/2011
49
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
Preferred Stock 2
9/15/2011
9/22/2011
Preferred Stock
Preferred Stock
2, 7
R $
R $
5,500,000
184,000
8/11/2011
49
$
8,750,000
$
0
Preferred Stock 2
8/11/2011
Preferred Stock
2, 7
R $
438,000
1/30/2009
WashingtonFirst Bankshares, Inc.
(WashingtonFirst Bank)
Reston
VA
Preferred Stock w/ Exercised Warrants
$
6,633,000
Par
8/4/2011
49
$
6,633,000
$
0
Preferred Stock 2
8/4/2011
Preferred Stock
2, 7
R $
332,000
7/6/2011
4/21/2010
9/15/2011
8/11/2011
4
2
2, 7
R
R
R
R
$
$
$
$
290,000
200,000
500,000
237,000
R $
R $
130,000
1,000,000
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
2/6/2009
Central Bancshares, Inc.
Hilltop Community Bancorp, Inc.
Northway Financial, Inc.
Monument Bank
Metro City Bank
F & M Bancshares, Inc.
First Resource Bank
MidWestOne Financial Group, Inc.
Houston
Summit
Berlin
Bethesda
Doraville
Trezevant
Exton
Iowa City
TX
NJ
NH
MD
GA
TN
PA
IA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
5,800,000
4,000,000
10,000,000
4,734,000
7,700,000
4,609,000
2,600,000
16,000,000
Par
Par
Par
Par
Par
Par
Par
Par
2/6/2009
Lakeland Bancorp, Inc.
Oak Ridge
Preferred Stock w/ Warrants
$
59,000,000
2/6/2009
Monarch Community Bancorp, Inc.
Coldwater
MI
$
6,785,000
2/6/2009
The First Bancshares, Inc.
Hattiesburg
MS
Preferred Stock w/ Warrants
2/6/2009
2/6/2009
Carolina Trust Bank
Alaska Pacific Bancshares, Inc.
Lincolnton
Juneau
NC
AK
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
5,000,000
Par
4,000,000
4,781,000
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
2
2/6/2009
Stockmens Financial Corporation
Rapid City
SD
15,568,000
Par
2
2
2, 49
2/6/2009
2/6/2009
2/6/2009
US Metro Bank
First Express of Nebraska, Inc.
Mercantile Capital Corp.
Garden Grove
Gering
Boston
CA
NE
MA
$
$
$
2,861,000
5,000,000
3,500,000
Par
Par
Par
0
0
0
0
Preferred Stock
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
7/6/2011
4/21/2010
9/15/2011
8/11/2011
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
$
$
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
Par
$
$
$
$
$
Par
Par
$
5,800,000
4,000,000
10,000,000
4,734,000
2, 7
Par
$
$
$
$
$
$
Par
Preferred Stock w/ Warrants
50
4
49
49
2, 7
2, 7
2, 7
3, 30 8/13/2010
2
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
4
$
20,000,000
$
39,000,000
3/16/2011
30 9/29/2010
50
8/4/2010
NJ
9/15/2011
7/6/2011
4
$
20,000,000
$
19,000,000
9/29/2010
4
$
5,000,000
$
0
Warrants
8/13/2010
4
$
3,000,000
$
0
N/A
N/A
N/A
1/14/2011
3/16/2011
4
$
$
4,000,000
11,568,000
$
$
Preferred Stock 2
Preferred Stock 2
3/16/2011
Preferred Stock
2, 7
R $
778,000
8/4/2011
49
$
3,500,000
$
Preferred Stock 2
8/4/2011
Preferred Stock
2, 7
R $
175,000
4
4
11,568,000
0
0
2, 7
-
N/A
36
Seller
Purchase Details
Name of Institution
City
State
Investment Description
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Footnote
Purchase Date
2
3, 30 9/24/2010
2
2/6/2009
Citizens Commerce Bancshares, Inc.
Versailles
KY
Preferred Stock w/ Exercised Warrants
$
6,300,000
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
18
2/6/2009
Bowling Green
VA
Preferred Stock
$
33,900,000
Par
12/7/2011
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
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
7/28/2011
7/28/2011
Westwood
NJ
Preferred Stock w/ Exercised Warrants
$
3,756,000
Denver
Moline
CO
IL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$
$
8,559,000
38,237,000
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
Par
2, 49
2, 49
2
2
2, 50
2
2, 34
2
2
2
2, 13 2/10/2010
2
49
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.
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
Par
9/24/2010
2/16/2011
7/21/2011
4
$
5,645,000
4
$
35,595,000
49
$
$
795,000
7,500,000
$
$
8,700,000
3,345,000
49
4
50
$
0
N/A
$
0
N/A
$
$
0
0
$
$
N/A
N/A
-
-
N/A
N/A
Preferred Stock
Preferred Stock 2
7/28/2011
7/28/2011
Preferred Stock
Preferred Stock
2, 7
0
0
Preferred Stock 2
Preferred Stock 2
2/16/2011
7/21/2011
Preferred Stock
Preferred Stock
2, 7
2
2, 7
2, 7
N/A
N/A
R $
R $
40,000
375,000
R $
R $
435,000
167,000
2/13/2009
2/13/2009
2/13/2009
58 10/21/2011
2, 49
2, 49
2
2
Westamerica Bancorporation
The Bank of Kentucky Financial Corporation
PremierWest Bancorp
Carrollton Bancorp
San Rafael
Crestview Hills
CA
KY
Medford
Baltimore
OR
MD
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
83,726,000
34,000,000
$
$
41,400,000
9,201,000
$
1,742,850
$
0
N/A
N/A
N/A
34
-
Par
10/19/2011
4
$
3,756,000
$
0
Preferred Stock 2
10/19/2011
Preferred Stock
2, 7
R $
188,000
Par
Par
9/15/2011
49
$
38,237,000
$
0
Warrants
R $
1,100,000
4
$
41,863,000
$
11/18/2011
Warrants
P $
878,256
4
$
41,863,000
$
12/22/2010
4
$
17,000,000
$
4
$
17,000,000
$
0
Warrants
Preferred Stock w/
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
11/16/2011
9/2/2009
11/23/2011
2/13/2009
34
11/18/2009
2/6/2009
2/6/2009
2/13/2009
12/3/2010
$
$
4,797,000
4,400,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
9/15/2011
9/1/2011
Preferred Stock
Preferred Stock
R $
R $
240,000
220,000
$
15,000,000
$
Preferred Stock 2
9/29/2010
Preferred Stock
R $
750,000
2, 7
R $
250,000
2, 7
R $
900,000
R $
110,000
R $
R $
35,000
50,000
R $
1,095,000
P $
367,500
Par
Par
41,863,000
0
17,000,000
N/A
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
Par
Par
Par
Par
9/15/2011
9/1/2011
49
2, 30 9/29/2010
2/13/2009
State Capital Corporation
Greenwood
MS
Preferred Stock w/ Exercised Warrants
$
15,000,000
Par
9/29/2010
4
2
2
2, 50
2
2
2
2
2, 62
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
BankGreenville
Corning Savings and Loan Association
Financial Security Corporation
ColoEast Bankshares, Inc.
Santa Clara Valley Bank, N.A.
Reliance Bancshares, Inc.
Regional Bankshares, Inc.
Peoples Bancorp
Greenville
Corning
Basin
Lamar
Santa Paula
Frontenac
Hartsville
Lynden
SC
AR
WY
CO
CA
MO
SC
WA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
1,000,000
638,000
5,000,000
10,000,000
2,900,000
40,000,000
1,500,000
18,000,000
Par
Par
Par
Par
Par
Par
Par
Par
7/21/2011
50
$
5,000,000
$
0
Preferred Stock 2
7/21/2011
Preferred Stock
8/3/2011
62
$
18,000,000
$
0
Preferred Stock 2
8/3/2011
Preferred Stock
2, 30 9/24/2010
49
2, 7
2, 7
2, 7,
0
30a
2, 7,
2/13/2009
First Choice Bank
Cerritos
CA
Preferred Stock w/ Exercised Warrants
$
2,200,000
Par
2
2
2
2, 49
2
2, 50
2
2
2
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/20/2009
Gregg Bancshares, Inc.
Hometown Bancshares, Inc.
Midwest Regional Bancorp, Inc.
Bern Bancshares, Inc.
Northwest Bancorporation, Inc.
Liberty Bancshares, Inc.
F&M Financial Corporation
Meridian Bank
Northwest Commercial Bank
Royal Bancshares of Pennsylvania, Inc.
Ozark
Corbin
Festus
Bern
Spokane
Springfield
Clarksville
Devon
Lakewood
Narberth
MO
KY
MO
KS
WA
MO
TN
PA
WA
PA
27, 49, 50
2/20/2009
First Merchants Corporation
Muncie
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Trust Preferred Securities
$
$
$
$
$
$
$
$
$
$
$
$
825,000
1,900,000
700,000
985,000
10,500,000
21,900,000
17,243,000
6,200,000
1,992,000
30,407,000
69,600,000
46,400,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
IN
9/24/2010
11/10/2009
9/1/2011
4
4
49
$
2,200,000
$
0
N/A
9/24/2010
Preferred Stock
$
$
700,000
985,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
11/10/2009
9/1/2011
Preferred Stock
Preferred Stock
2, 7
2, 7
8/18/2011
50
$
21,900,000
$
0
Preferred Stock 2
8/18/2011
Preferred Stock
9/22/2011
9/22/2011
50
$
$
69,600,000
46,400,000
$
$
0
0
Warrants
11/18/2011
Warrants
49
30a
2, 7
37
Seller
Purchase Details
Name of Institution
City
State
Investment Description
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Footnote
Purchase Date
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
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
17,211,000
8,653,000
6,920,000
5,450,000
Par
Par
Par
Par
9/15/2011
9/1/2011
50
2, 30 9/29/2010
2/20/2009
Lafayette Bancorp, Inc.
Oxford
MS
Preferred Stock w/ Exercised Warrants
$
1,998,000
Par
9/29/2010
4
2
2
2
2
2
2
2
2
2, 49
2
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
Liberty Shares, Inc.
White River Bancshares Company
United American Bank
Crazy Woman Creek Bancorp, Inc.
First Priority Financial Corp.
Mid-Wisconsin Financial Services, Inc.
Market Bancorporation, Inc.
Hometown Bancorp of Alabama, Inc.
Security State Bancshares, Inc.
CBB Bancorp
Hinesville
Fayetteville
San Mateo
Buffalo
Malvern
Medford
New Market
Oneonta
Charleston
Cartersville
GA
AR
CA
WY
PA
WI
MN
AL
MO
GA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
17,280,000
16,800,000
8,700,000
3,100,000
4,579,000
10,000,000
2,060,000
3,250,000
12,500,000
2,644,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
9/22/2011
2, 30 9/29/2010
2/20/2009
BancPlus Corporation
Ridgeland
MS
Preferred Stock w/ Exercised Warrants
$
48,000,000
Par
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/27/2009
Central Community Corporation
First BancTrust Corporation
Premier Service Bank
Florida Business BancGroup, Inc.
Hamilton State Bancshares
Lakeland Financial Corporation
Temple
Paris
Riverside
Tampa
Hoschton
Warsaw
TX
IL
CA
FL
GA
IN
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
22,000,000
7,350,000
4,000,000
9,495,000
7,000,000
56,044,000
2/27/2009
First M&F Corporation
Kosciusko
MS
Preferred Stock w/ Warrants
$
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
Southern First Bancshares, Inc.
Integra Bank Corporation
Community First Inc.
BNC Financial Group, Inc.
California Bank of Commerce
Columbine Capital Corp.
National Bancshares, Inc.
First State Bank of Mobeetie
Ridgestone Financial Services, Inc.
Community Business Bank
D.L. Evans Bancorp
TriState Capital Holdings, Inc.
Green City Bancshares, Inc.
First Gothenburg Bancshares, Inc.
Green Circle Investments, Inc.
Private Bancorporation, Inc.
Regent Capital Corporation
Central Bancorp, Inc.
Medallion Bank
Greenville
Evansville
Columbia
New Canaan
Lafayette
Buena Vista
Bettendorf
Mobeetie
Brookfield
West Sacramento
Burley
Pittsburgh
Green City
Gothenburg
Clive
Minneapolis
Nowata
Garland
Salt Lake City
SC
IN
TN
CT
CA
CO
IA
TX
WI
CA
ID
PA
MO
NE
IA
MN
OK
TX
UT
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2
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
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
9/15/2011
9/1/2011
Preferred Stock
Preferred Stock
Preferred Stock 2
9/29/2010
Preferred Stock
0
Preferred Stock 2
9/22/2011
Preferred Stock
$
0
Preferred Stock 2
9/29/2010
Preferred Stock
9,495,000
7,000,000
56,044,000
$
$
$
0
0
0
Preferred Stock 2
Preferred Stock 2
Warrants
9/22/2011
4/13/2011
11/18/2011
Preferred Stock
Preferred Stock
Warrants
2, 7
$
30,000,000
$
0
Warrants
$
$
$
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
$
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
$
$
9,270,000
$
$
$
7,400,000
5,983,000
12,000,000
$
$
6,920,000
5,450,000
$
$
$
1,998,000
$
49
$
12,500,000
$
9/29/2010
4
$
48,000,000
Par
Par
Par
Par
Par
Par
9/22/2011
4/13/2011
6/9/2010
49
$
$
$
30,000,000
Par
9/29/2010
4
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
8/4/2011
9/15/2011
9/22/2011
49
4/14/2010
49
0
0
R $
R $
346,000
273,000
R $
100,000
R $
625,000
R $
2,400,000
R $
R $
P $
475,000
350,000
877,557
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
0
Preferred Stock 2
7/21/2011
Preferred Stock
2, 7
R $
590,000
$
0
Preferred Stock
2
9/29/2010
Preferred Stock
$
$
$
0
0
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
9/15/2011
9/22/2011
9/15/2011
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
4
5
49
49
2, 7
30a
2, 7
2, 7
2, 7
2, 7,
2/27/2009
PSB Financial Corporation
Many
LA
Preferred Stock w/ Exercised Warrants
$
9,270,000
Par
9/29/2010
2, 49
2, 49
2, 50
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
$
$
$
7,400,000
5,983,000
12,000,000
Par
Par
Par
9/15/2011
9/22/2011
9/15/2011
49
2/27/2009
The Victory Bancorp, Inc.
(The Victory Bank)
Limerick
PA
Preferred Stock w/ Exercised Warrants
$
541,000
Par
9/22/2011
49
$
541,000
$
0
Preferred Stock 2
9/22/2011
Preferred Stock
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
$
$
$
$
3,000,000
5,222,000
12,895,000
100,000,000
Par
Par
Par
Par
7/21/2011
49
$
3,000,000
$
0
Preferred Stock 2
7/21/2011
Preferred Stock
8/25/2011
50
$
100,000,000
$
0
Warrants
11/18/2011
Warrants
50
30a
2, 7,
4
2, 49
2
2, 7
2, 7,
0
2, 30 9/29/2010
2, 13 12/4/2009, 49
2, 7
Preferred Stock 2
Preferred Stock 2
Final Disposition
Proceeds
49
50
R $
464,000
R $
R $
R $
370,000
299,000
600,000
2, 7
R $
27,000
2, 7
R $
150,000
P $
63,677
30a
2, 7
2, 7
38
Seller
Footnote
Purchase Date
42 - 5/3/2011
3/6/2009
3, 30 8/13/2010
2
2, 49
2
2
2
2, 62
2
2
2, 49
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
2, 3a 11/13/2009
30 - 9/3/2010
2
2
2, 50
2, 49
2
2, 49
2, 49
2, 49
2
2
2
2
2
2, 50
2, 49
2
2
Purchase Details
Name of Institution
First Federal Bancshares of Arkansas, Inc.
City
Harrison
State
AR
Investment Description
Preferred Stock w/ Warrants
Capital Repayment Details
Investment Amount
$
16,500,000
Pricing
Mechanism
Par
3/6/2009
Citizens Bancshares Corporation
Atlanta
GA
Preferred Stock
$
7,462,000
Par
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
ICB Financial
First Texas BHC, Inc.
Farmers & Merchants Bancshares, Inc.
Blue Ridge Bancshares, Inc.
First Reliance Bancshares, Inc.
Merchants and Planters Bancshares, Inc.
First Southwest Bancorporation, Inc.
Germantown Capital Corporation, Inc.
BOH Holdings, Inc.
AmeriBank Holding Company
Highlands Independent Bancshares, Inc.
Pinnacle Bank Holding Company, Inc.
Blue River Bancshares, Inc.
Marine Bank & Trust Company
Community Bancshares of Kansas, Inc.
Regent Bancorp, Inc.
Park Bancorporation, Inc.
PeoplesSouth Bancshares, Inc.
First Place Financial Corp.
Salisbury Bancorp, Inc.
First Northern Community Bancorp
Discover Financial Services
Provident Community Bancshares, Inc.
Ontario
Fort Worth
Houston
Independence
Florence
Toone
Alamosa
Germantown
Houston
Collinsville
Sebring
Orange City
Shelbyville
Vero Beach
Goff
Davie
Madison
Colquitt
Warren
Lakeville
Dixon
Riverwoods
Rock Hill
CA
TX
TX
MO
SC
TN
CO
TN
TX
OK
FL
FL
IN
FL
KS
FL
WI
GA
OH
CT
CA
IL
SC
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised 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
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
6,000,000
13,533,000
11,000,000
12,000,000
15,349,000
1,881,000
5,500,000
4,967,000
10,000,000
2,492,000
6,700,000
4,389,000
5,000,000
3,000,000
500,000
9,982,000
23,200,000
12,325,000
72,927,000
8,816,000
17,390,000
1,224,558,000
9,266,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
3/13/2009
First American International Corp.
Brooklyn
NY
Preferred Stock
$
17,000,000
Par
Capital
Repayment Date
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
5/3/2011
42
$
6,000,000
$
0
N/A
N/A
N/A
8/13/2010
4
$
7,462,000
$
0
N/A
N/A
N/A
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
9/15/2011
49
$
$
10,000,000
2,492,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
7/14/2011
9/15/2011
Preferred Stock
Preferred Stock
2, 7
R $
R $
500,000
125,000
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
11/2/2011
11/16/2011
7/7/2010
Warrants
Warrants
Warrants
R $
R $
R $
205,000
375,000
172,000,000
49
49
4
8/13/2010
4
$
17,000,000
$
0
N/A
N/A
21,100,000
425,000
10,000,000
$
$
$
0
0
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
7/14/2011
12/29/2010
11/18/2009
Preferred Stock
Preferred Stock
Preferred Stock
-
2, 7
N/A
$
$
$
N/A
N/A
-
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
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
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
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
Catlin
Las Vegas
Lenoir City
Dallas
Doraville
Paso Robles
Union City
New Orleans
Colebrook
Kirksville
Madisonville
Tallahassee
Covington
Argonia
Holton
Simsbury
Wrens
Los Alamos
IL
NV
TN
TX
GA
CA
TN
LA
NH
MO
TN
FL
LA
KS
KS
CT
GA
NM
Preferred Stock w/ Exercised 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
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
11/2/2011
4
$
607,000
$
0
Preferred Stock 2
11/2/2011
Preferred Stock
2, 7
R $
30,000
9/15/2011
9/22/2011
50
$
$
9,516,000
18,215,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
9/15/2011
9/22/2011
Preferred Stock
Preferred Stock
2, 7
R $
R $
476,000
911,000
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
Preferred Stock 2
Preferred Stock 2
8/18/2011
8/4/2011
9/22/2011
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
R $
R $
R $
1,000,000
892,000
225,000
7/21/2011
8/11/2011
50
$
$
700,000
4,000,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
7/21/2011
8/11/2011
Preferred Stock
Preferred Stock
2, 7
R $
R $
40,000
200,000
4
4
49
49
49
49
2, 7
N/A
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
49
2, 7
2, 7
R $
R $
R $
1,055,000
21,000
500,000
-
2, 7
2, 7
2, 7
2, 7
N/A
39
Seller
Purchase Details
Name of Institution
City
State
Investment Description
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Footnote
Purchase Date
2
2
3/27/2009
3/27/2009
Clover Community Bankshares, Inc.
Pathway Bancorp
Clover
Cairo
SC
NE
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
3,000,000
3,727,000
3/27/2009
Colonial American Bank
West Conshohocken
PA
Preferred Stock w/ Exercised Warrants
$
574,000
Par
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
Par
Par
2
Capital
Repayment Date
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
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 Allen
4/3/2009
Tri-State Bank of Memphis
2, 49
2
2
2
2
2
2
2, 50
2, 49
2
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/10/2009
4/10/2009
4/10/2009
4/10/2009
4/10/2009
4/17/2009
4/17/2009
4/17/2009
4/17/2009
4/17/2009
4/17/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
Fortune Financial Corporation
BancStar, Inc.
Titonka Bancshares, Inc
Millennium Bancorp, Inc.
TriSummit Bank
Prairie Star Bancshares, Inc.
Community First Bancshares, Inc.
BCB Holding Company, Inc.
City National Bancshares Corporation
First Business Bank, N.A.
SV Financial, Inc.
Capital Commerce Bancorp, Inc.
Metropolitan Capital Bancorp, Inc.
Bank of the Carolinas Corporation
Penn Liberty Financial Corp.
Tifton Banking Company
Patterson Bancshares, Inc
BNB Financial Services Corporation
Omega Capital Corp.
Mackinac Financial Corporation
Birmingham Bloomfield Bancshares, Inc
Vision Bank - Texas
Oregon Bancorp, Inc.
Peoples Bancorporation, Inc.
Indiana Bank Corp.
Business Bancshares, Inc.
Standard Bancshares, Inc.
York Traditions Bank
Grand Capital Corporation
Allied First Bancorp, Inc.
8
4/24/2009
Frontier Bancshares, Inc.
2, 3, 30 8/13/2010
2, 50
2
2
2
2
2
2
2
2, 3
2
2
2
2
2, 49
2, 52
2
2
2
10/26/2011
4
4
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
Memphis
TN
Preferred Stock
$
2,795,000
Par
8/13/2010
Arnold
Festus
Titonka
Edwards
Kingsport
Olathe
Harrison
Theodore
Newark
San Diego
Sterling
Milwaukee
Chicago
Mocksville
Wayne
Tifton
Patterson
New York
Lakewood
Manistique
Birmingham
Richardson
Salem
Easley
Dana
Clayton
Hickory Hills
York
Tulsa
Oswego
MO
MO
IA
CO
TN
KS
AR
AL
NJ
CA
IL
WI
IL
NC
PA
GA
LA
NY
CO
MI
MI
TX
OR
SC
IN
MO
IL
PA
OK
IL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
3,100,000
8,600,000
2,117,000
7,260,000
2,765,000
2,800,000
12,725,000
1,706,000
9,439,000
2,211,000
4,000,000
5,100,000
2,040,000
13,179,000
9,960,000
3,800,000
3,690,000
7,500,000
2,816,000
11,000,000
1,635,000
1,500,000
3,216,000
12,660,000
1,312,000
15,000,000
60,000,000
4,871,000
4,000,000
3,652,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
9/15/2011
8/31/2011
Austin
TX
Subordinated Debentures w/ Exercised
Warrants
$
3,000,000
$
574,000
$
0
Preferred Stock 2
2
Par
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
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
10/26/2011
2, 7
R $
29,000
Preferred Stock
Preferred Stock
2, 7
R $
R $
386,000
185,000
Par
Par
Par
Par
Par
$
6,100,000
Par
$
10,750,000
$
$
0
0
Preferred Stock
Preferred Stock 2
4
$
2,795,000
$
0
N/A
N/A
N/A
50
$
3,100,000
$
0
Preferred Stock
2
9/15/2011
Preferred Stock
2, 7
R $
155,000
4
$
4,000,000
$
0
Preferred Stock 2
8/31/2011
Preferred Stock
2, 7
R $
200,000
9/1/2011
49
$
9,960,000
$
0
Preferred Stock 2
9/1/2011
Preferred Stock
2, 7
R $
498,000
7/28/2011
49
$
1,635,000
$
0
Preferred Stock 2
7/28/2011
Preferred Stock
2, 7
R $
82,000
7/14/2011
9/8/2011
50
$
$
4,871,000
4,000,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
7/14/2011
9/8/2011
Preferred Stock
Preferred Stock
2, 7
R $
R $
244,000
200,000
4
$
1,600,000
$
R $
150,000
$
1,400,000
$
0
Subordinated
Debentures 8
7
4
Subordinated
Debentures 8
Subordinated
Debentures 8
10/6/2010
10/6/2010
14,738,000
2,250,000
4,500,000
3,194,000
4,000,000
7,723,000
3,700,000
11/24/2009
$
$
$
$
$
$
$
9/22/2011
50
$
3,194,000
$
0
Preferred Stock 2
9/22/2011
Preferred Stock
2, 7
R $
160,000
10/5/2011
4
$
6,100,000
$
0
Subordinated
Debentures 8
10/5/2011
Subordinated
Debentures 8
7
R $
305,000
49
49
1,400,000
10/19/2011
9/22/2011
Preferred Stock
2, 7
-
2, 7
N/A
Par
40
Seller
Purchase Details
Name of Institution
City
State
Investment Description
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Footnote
Purchase Date
2, 13 8/31/2010, 49
5/8/2009
Highlands Bancorp, Inc.
(Highlands State Bank)
Vernon
NJ
Preferred Stock w/ Exercised Warrants
$
3,091,000
Par
2, 56
2
5/8/2009
5/8/2009
One Georgia Bank
Gateway Bancshares, Inc.
Atlanta
Ringgold
GA
GA
$
$
5,500,000
6,000,000
5/8/2009
Freeport Bancshares, Inc.
Freeport
IL
$
3,000,000
5/8/2009
Investors Financial Corporation of Pettis County, Inc. Sedalia
MO
$
4,000,000
5/8/2009
Sword Financial Corporation
Horicon
WI
$
13,644,000
Final Disposition
Proceeds
Par
8, 49
Final Disposition
Disposition
Investment
15
Description
Par
8
Final
Disposition
Date
Par
Par
8
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
Capital
Repayment Date
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
3, 8, 30 8/13/2010
2
2
2
2
2
2, 50
2
3, 8, 30 9/10/2010
IL
9/22/2011
49
$
3,091,000
$
0
Preferred Stock 2
9/22/2011
Preferred Stock
2, 7
R $
155,000
Par
9/15/2011
49
$
13,644,000
$
0
Subordinated
Debentures 8
9/15/2011
Subordinated
Debentures 8
7
R $
682,000
8/13/2010
4
$
6,784,000
$
0
N/A
N/A
N/A
$
4,862,000
$
0
Preferred Stock 2
9/8/2011
Preferred Stock
4
$
4,205,000 $
0
N/A
N/A
N/A
9/8/2011
49
$
2,639,000
$
0
Subordinated
Debentures 8
9/8/2011
Subordinated
Debentures 8
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
9/15/2011
1/26/2011
49
$
$
19,468,000
1,800,000
$
$
0
0
Warrants
9/1/2011
49
$
12,000,000
$
0
5/8/2009
Premier Bancorp, Inc.
Wilmette
Subordinated Debentures
$
6,784,000
Par
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
Mercantile Bank Corporation
Northern State Bank
Western Reserve Bancorp, Inc
Community Financial Shares, Inc.
Worthington Financial Holdings, Inc.
First Community Bancshares, Inc
Southern Heritage Bancshares, Inc.
Foresight Financial Group, Inc.
Grand Rapids
Closter
Medina
Glen Ellyn
Huntsville
Overland Park
Cleveland
Rockford
MI
NJ
OH
IL
AL
KS
TN
IL
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
21,000,000
1,341,000
4,700,000
6,970,000
2,720,000
14,800,000
4,862,000
15,000,000
Par
Par
Par
Par
Par
Par
Par
Par
5/15/2009
IBC Bancorp, Inc.
Chicago
IL
Subordinated Debentures
$
4,205,000
Par
$
5,586,000
Par
$
2,400,000
Par
$
1,100,000
Par
$
2,639,000
Par
$
20,300,000
Par
$
$
$
$
$
$
$
15,000,000
1,177,000
1,300,000
5,000,000
6,272,000
9,900,000
5,097,000
Par
Par
Par
Par
Par
Par
Par
$
20,400,000
Par
$
6,349,000
Par
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
IL
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
8
5/22/2009
Commonwealth Bancshares, Inc.
Louisville
KY
8
5/22/2009
Premier Financial Corp
Dubuque
IA
8
5/22/2009
F & C Bancorp, Inc.
Holden
MO
8
5/22/2009
Diamond Bancorp, Inc.
Washington
MO
8
5/22/2009
United Bank Corporation
Barnesville
GA
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
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
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
$
2,993,000
20,445,000
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
N/A
7
R $
132,000
Preferred Stock
2, 7
R $
750,000
9/22/2011
Preferred Stock
2, 7
R $
314,000
Preferred Stock 2
10/19/2011
1/26/2011
Warrants
Preferred Stock
R $
R $
1,100,870
90,000
Preferred Stock 2
9/1/2011
Preferred Stock
R $
600,000
Par
5,000,000
-
Par
$
243,000
Par
$
$
$
$
$
$
R $
Par
$
9/10/2010
2, 7
N/A
Par
$
9/8/2011
-
Par
4
2, 7
2, 7
41
Seller
Purchase Details
Name of Institution
City
State
Footnote
Purchase Date
8
6/5/2009
First Trust Corporation
New Orleans
LA
8, 10
6/5/2009
OneFinancial Corporation
Little Rock
AR
6/12/2009
Customers Bancorp, Inc.
(Berkshire Bancorp, Inc.)
Phoenixville
PA
2, 60 09/19/2011
2, 10, 30 9/29/2010
2
2, 10
2, 49
Investment Description
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Capital Repayment Details
Investment Amount
Pricing
Mechanism
$
17,969,000
17,300,000
2,892,000
Par
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
Par
$
Final
Disposition
Date
Par
$
Capital
Repayment Date
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
12/28/2011
4
$
2,892,000
$
0
Preferred Stock 2
12/28/2011
Preferred Stock
2, 7
R $
145,000
R $
245,000
2, 7,
6/12/2009
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
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
$
$
$
2,760,000
4,700,000
4,000,000
Par
Par
Par
8/25/2011
Subordinated Debentures
8, 10, 49
6/12/2009
First Financial Bancshares, Inc.
Lawrence
KS
8
6/12/2009
River Valley Bancorporation, Inc.
Wausau
WI
2, 49
2, 10
6/19/2009
6/19/2009
Merchants and Manufacturers Bank Corporation
RCB Financial Corporation
Joliet
Rome
IL
GA
8
6/19/2009
Manhattan Bancshares, Inc.
Manhattan
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
$
6,000,000 $
0
Preferred Stock
49
$
4,000,000
$
0
9/22/2011
49
$
3,756,000
$
0
9/8/2011
49
$
3,510,000
$
7/30/2010
4
$
11,926,000
2
9/29/2010
Preferred Stock
Preferred Stock 2
Subordinated
Debentures 8
8/25/2011
Preferred Stock
Subordinated
Debentures 8
2, 7
R $
200,000
7
R $
113,000
0
Preferred Stock 2
9/8/2011
Preferred Stock
2, 7
R $
176,000
$
0
N/A
N/A
N/A
$
3,756,000
Par
9/22/2011
$
15,000,000
Par
$
$
3,510,000
8,900,000
Par
Par
$
2,639,000
Par
$
6,400,000
Par
$
12,000,000
Par
$
12,000,000
Par
$
10,000,000
Par
$
2,330,000
Par
$
11,926,000
Par
$
15,000,000
Par
$
3,400,000,000
Par
3/31/2010
4
$
3,400,000,000
$
0
Warrants
9/21/2010
Warrants
8/25/2011
49
$
3,000,000
$
0
Preferred Stock 2
8/25/2011
Preferred Stock
$
17,388,000 $
0
Preferred Stock 2
9/29/2010
Preferred Stock
$
0
Preferred Stock 2
8/18/2011
Preferred Stock
11,735,000 $
0
N/A
N/A
N/A
Subordinated
Debentures 8
12/15/2010
Subordinated
Debentures 8
30a
6/19/2009
Suburban Illinois Bancorp, Inc.
Elmhurst
IL
6/26/2009
Hartford Financial Services Group, Inc.
Hartford
CT
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
2, 40 3/23/2011, 49
6/26/2009
Veritex Holdings, Inc.
(Fidelity Resources Company)
Dallas
TX
Preferred Stock w/ Exercised Warrants
$
3,000,000
Par
2, 10
2
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
6/26/2009
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
$
6/26/2009
M&F Bancorp, Inc.
Durham
NC
Preferred Stock
$
11,735,000
Par
8/20/2010
4
$
6/26/2009
Metropolitan Bank Group, Inc.
Chicago
IL
Preferred Stock w/ Exercised Warrants
$
74,706,000
Par
IL
Preferred Stock w/ Exercised Warrants
$
7,186,000
Par
6/26/2009
Metropolitan Bank Group, Inc.
(NC Bancorp, Inc.)
Alliance Bancshares, Inc.
Dalton
GA
$
2,986,000
Par
8
6/26/2009
Stearns Financial Services, Inc.
St. Cloud
MN
$
24,900,000
Par
8
6/26/2009
Signature Bancshares, Inc.
Dallas
TX
$
1,700,000
Par
12/15/2010
4
$
1,700,000
$
0
8
6/26/2009
Fremont Bancorporation
Fremont
CA
$
35,000,000
Par
8
6/26/2009
Alliance Financial Services Inc.
Saint Paul
MN
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
$
12,000,000
Par
7/10/2009
Lincoln National Corporation
Radnor
PA
$
950,000,000
Par
6/30/2010
4
$
950,000,000
$
0
Warrants
9/16/2010
Warrants
8/18/2011
49
$
13,669,000
$
0
Preferred Stock 2
8/18/2011
Preferred Stock
N/A
Par
Par
2, 10, 30 9/29/2010
-
8
2
2, 50
2, 10
2, 3, 10, 30 8/20/2010
2, 41 3/30/2011
2, 41 3/30/2011
2
2, 10, 49
A $
2, 7
713,687,430
R $
150,000
R $
522,000
R $
375,000
2, 7,
6/26/2009
7/10/2009
Bancorp Financial, Inc.
Chicago
Oak Brook
IL
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$
13,669,000
Par
7,500,000
30a
2, 7
-
N/A
7
R $
85,000
A $
216,620,887
2, 7
R $
410,000
42
Seller
Purchase Details
Name of Institution
City
State
Investment Description
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
Footnote
Purchase Date
2, 49
2
2, 3
7/17/2009
7/17/2009
7/17/2009
Brotherhood Bancshares, Inc.
SouthCrest Financial Group, Inc.
Harbor Bankshares Corporation
Kansas City
Fayetteville
Baltimore
KS
GA
MD
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
$
$
$
11,000,000
12,900,000
6,800,000
Par
Par
Par
9/15/2011
49
$
11,000,000
$
8
7/17/2009
First South Bancorp, Inc.
Lexington
TN
Subordinated Debentures w/ Exercised
Warrants
$
50,000,000
Par
9/28/2011
4
$
13,125,000
$
36,875,000
7/17/2009
Great River Holding Company
Baxter
MN
$
8,400,000
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
12/21/2011
4
$
15,000,000
$
35,000,000
Final Disposition
Proceeds
Par
8, 10
Final Disposition
Disposition
Investment
15
Description
Subordinated
Debentures w/
Exercised Warrants
8
Final
Disposition
Date
Subordinated
Debentures w/
Exercised Warrants
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 Prairie
Smithfield
TX
FL
MN
NC
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
8, 10, 49
9/4/2009
The State Bank of Bartley
Bartley
NE
49
9/11/2009
Pathfinder Bancorp, Inc.
Oswego
NY
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
2, 30 9/29/2010
9/11/2009
Community Bancshares of Mississippi, Inc.
Brandon
MS
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
8, 10, 50
8/28/2009
TCB Corporation
Greenwood
SC
$
2,500,000
13,312,000
3,872,000
20,471,000
50,000,000
Par
9/15/2011
Preferred Stock
R $
7
R $
112,000
2, 7
R $
1,000,000
2, 7
R $
1,030,000
7
R $
292,000
7
R $
51,000
R $
2,600,000
550,000
$
7,000,000
Par
$
3,742,000
Par
9/1/2011
49
$
3,742,000
$
0
$
$
$
$
20,000,000
50,236,000
1,004,000
4,000,000
Par
Par
Par
Par
8/25/2011
49
$
20,000,000
$
$
5,000,000
Par
$
$
$
3,223,000
20,699,000
16,015,000
Par
Par
Par
9/22/2011
49
$
20,699,000
$
9,720,000
Par
9/8/2011
50
$
9,720,000
0
Subordinated
Debentures 8
Preferred Stock 2
8/25/2011
Subordinated
Debentures 8
Preferred Stock
$
0
Preferred Stock 2
9/22/2011
Preferred Stock
$
0
9/1/2011
$
1,697,000
Par
9/22/2011
49
$
1,697,000
$
0
$
6,771,000
Par
9/1/2011
49
$
6,771,000
$
0
Subordinated
Debentures 8
Subordinated
Debentures 8
Warrants
Preferred Stock w/ Exercised Warrants
$
52,000,000
Par
9/29/2010
4
$
52,000,000 $
0
Preferred Stock 2
9/29/2010
Preferred Stock
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
8/25/2011
$
7,500,000
Par
9/17/2010
4
$
7,500,000 $
0
Preferred Stock 2
Subordinated
Debentures 8
Preferred Stock
Subordinated
Debentures 8
$
$
5,976,000
10,000,000
Par
Par
10,103,000
Par
3/16/2011
4
$
$
2,606,000
$
8/11/2011
50
$
7,497,000
$
0
Preferred Stock 2
7/30/2010
4
$
14,000,000
$
0
9/8/2011
9/22/2011
Subordinated
Debentures 8
Subordinated
Debentures 8
2, 7,
2, 10
2, 10, 50
8, 30 9/17/2010
2, 10
2, 10
9/11/2009
9/11/2009
Heartland Bancshares, Inc.
PFSB Bancorporation, Inc.
Franklin
Pigeon Falls
IN
WI
9/11/2009
First Eagle Bancshares, Inc.
Hanover Park
IL
9/18/2009
9/18/2009
IA Bancorp, Inc.
HomeTown Bankshares Corporation
Iselin
Roanoke
NJ
VA
2, 10, 50
9/25/2009
Heritage Bankshares, Inc.
Norfolk
VA
2
9/25/2009
Mountain Valley Bancshares, Inc.
Cleveland
GA
8
9/25/2009
Grand Financial Corporation
Hattiesburg
MS
9/25/2009
Guaranty Capital Corporation
Belzoni
9/25/2009
GulfSouth Private Bank
Destin
8, 10, 50
9/25/2009
Steele Street Bank Corporation
Denver
CO
2, 10, 49
2, 10
10/2/2009
10/2/2009
10/23/2009
Premier Financial Bancorp, Inc.
Providence Bank
Regents Bancshares, Inc.
Huntington
Rocky Mount
Vancouver
WV
NC
WA
8, 50
10/23/2009
Cardinal Bancorp II, Inc.
Washington
MO
2
2, 10a, 49
10/30/2009
10/30/2009
Randolph Bank & Trust Company
WashingtonFirst Bankshares, Inc.
Asheboro
Reston
NC
3, 8, 30 7/30/2010
10, 21
2, 7
Par
Par
Par
$
Preferred Stock 2
Par
$
$
$
0
Preferred Stock w/ Exercised Warrants
7,497,000
Preferred Stock w/
Exercised Warrants
9/17/2010
8/11/2011
Preferred Stock
N/A
N/A
30a
2, 7
R $
71,000
30a
R $
375,000
2, 7
R $
303,000
N/A
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
$
3,300,000
Par
$
2,443,320
Par
MS
Subordinated Debentures
$
14,000,000
Par
FL
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
$
7,500,000
Par
$
11,019,000
Par
9/1/2011
50
$
11,019,000
$
0
Subordinated
Debentures 8
9/1/2011
Subordinated
Debentures 8
$
$
$
22,252,000
4,000,000
12,700,000
Par
Par
Par
9/15/2011
49
$
4,000,000
$
0
Preferred Stock 2
9/15/2011
Preferred Stock
$
6,251,000
Par
9/8/2011
50
$
6,251,000
$
0
Subordinated
Debentures 8
9/8/2011
Subordinated
Debentures 8
$
$
6,229,000
6,842,000
Par
Par
8/4/2011
49
$
6,842,000
$
0
N/A
N/A
N/A
VA
-
N/A
7
R $
331,000
2, 7
R $
175,000
7
R $
313,000
-
N/A
43
Seller
Purchase Details
Name of Institution
City
State
Footnote
Purchase Date
2, 10a
2, 10
11/6/2009
11/13/2009
F & M Bancshares, Inc.
Fidelity Federal Bancorp
Trezevant
Evansville
TN
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
Investment Description
12/11/2009
12/11/2009
12/11/2009
12/11/2009
12/11/2009
12/11/2009
12/11/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/22/2009
GrandSouth Bancorporation
1st Enterprise Bank
First Resource Bank
First Western Financial, Inc.
Meridian Bank
The Victory Bancorp, Inc.
First Business Bank, N.A.
Layton Park Financial Group
Centric Financial Corporation
Valley Financial Group, Ltd., 1st State Bank
Cache Valley Banking Company
Birmingham Bloomfield Bancshares, Inc
First Priority Financial Corp.
Northern State Bank
Union Bank & Trust Company
First Freedom Bancshares, Inc.
Greenville
Los Angeles
Exton
Denver
Devon
Limerick
San Diego
Milwaukee
Harrisburg
Saginaw
Logan
Birmingham
Malvern
Closter
Oxford
Lebanon
SC
CA
PA
CO
PA
PA
CA
WI
PA
MI
UT
MI
PA
NJ
NC
TN
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
12/22/2009
First Choice Bank
Cerritos
CA
12/22/2009
Highlands Bancorp, Inc.
(Highlands State Bank)
Vernon
NJ
IN
IL
CA
MN
IL
2, 10a, 49
2, 10a, 49
2, 10a
2, 10
2, 10
2
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
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
12/29/2009
Lafayette Bancorp, Inc.
12/29/2009
12/29/2009
12/29/2009
Private Bancorporation, Inc.
CBB Bancorp
Illinois State Bancorp, Inc.
Capital Repayment Details
Investment Amount
Pricing
Mechanism
$
$
3,535,000
6,657,000
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
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
Par
$
$
$
$
$
$
$
$
$
Final
Disposition
Date
Par
Par
$
Capital
Repayment Date
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
8/18/2011
50
$
6,000,000
$
0
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
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
6,319,000
6,000,000
2,417,000
11,881,000
6,335,000
1,505,000
2,032,000
3,000,000
6,056,000
1,300,000
4,640,000
1,744,000
4,596,000
1,230,000
2,997,000
8,700,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Preferred Stock
$
2,836,000
Par
9/24/2010
4
$
Preferred Stock
$
2,359,000
Par
9/22/2011
49
$
7/21/2011
7/21/2011
49
$
$
$
$
$
$
9,698,000
3,500,000
4,237,000
2,000,000
2,179,000
4,500,000
Par
Par
Par
Par
Par
Par
$
3,035,000
Par
IL
MS
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock
Preferred Stock
$
$
4,567,000
1,508,000
MS
Preferred Stock
$
2,453,000
Par
Minneapolis
Cartersville
Chicago
MN
GA
IL
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants
$
$
$
3,262,000
1,753,000
4,000,000
Par
Par
Par
$
204,943,827,320
49
49
49
49
8/18/2011
Preferred Stock
2, 7
R $
300,000
7
R $
100,000
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 $
34,000
0
0
0
0
Preferred Stock 2
Preferred Stock 2
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 $
-
182,000
65,000
N/A
N/A
$
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
12/29/2010
2
-
2, 7
N/A
N/A
N/A
N/A
-
N/A
N/A
2, 7
Par
Par
Oxford
49
Preferred Stock 2
9,698,000
3,500,000
$
$
0
0
Preferred Stock
Preferred Stock 2
7/21/2011
7/21/2011
Preferred Stock
Preferred Stock
38
$
650,000
$
0
N/A
N/A
N/A
9/29/2010
4
$
2,453,000
$
0
N/A
N/A
N/A
9/22/2011
49
$
4,000,000
$
0
Preferred Stock 2
9/22/2011
Preferred Stock
Total Repaid **
$
185,452,229,563
Losses***
Total Purchase Amount *
$
$
$
(2,618,482,294)
$
16,873,115,463
3/9/2011
TOTAL TREASURY CAPITAL PURCHASE PROGRAM (CPP) OUTSTANDING INVESTMENT AMOUNT
49
2, 7
R $
R $
55,000
113,000
N/A
-
2, 7
Total Warrant Proceeds****
N/A
R $
92,000
$
7,665,834,408
* Total purchase amount includes the capitalization of accrued dividends referred to in Notes 20, 22, 28 and 29.
44
Seller
Footnote
Purchase Date
Name of Institution
Purchase Details
City
State
Investment Description
Investment Amount
Capital Repayment Details
Pricing
Mechanism
Capital
Repayment Date
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
** 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.
45
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 in a negotiated sale pursuant to the terms of the related securities purchase agreement, "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, and "P" represents the proceeds to Treasury, before placement expenses, from a sale by Treasury in a private auction principally involving qualified institutional buyers.
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
46
acquired company and the acquiror entered into on 3/23/2011.
41/ As a result of the acquisition of NC Bancorp, Inc. (the acquired company) by Metropolitan Bank Group, Inc. (the acquiror), Treasury exchanged $6,880,000 of its preferred stock in NC Bancorp, Inc. and $71,526,000 of its preferred stock in Metropolitan Bank Group, Inc. for $81,892,000 of a new series of preferred stock in Metropolitan Bank
Group, Inc., which is equivalent to the combined initial investment amount of $78,406,000 plus $3,486,000 of capitalized previously accrued and unpaid dividends, pursuant to the terms of an agreement among Treasury, the acquired company and the acquiror entered into on 3/30/2011. Exercised warrants were also exchanged at the time of the
agreement.
42/ On 5/3/2011, Treasury completed the sale of all First Federal Bancshares of Arkansas, Inc. preferred stock and warrants held by Treasury to Bear State Financial Holdings, LLC (“Bear State”) for an aggregate purchase price of $6,000,000.00, pursuant to the terms of the agreement between Treasury and Bear State entered into on 05/03/2011.
43/ On 5/13/2011, Treasury completed the sale of all Wilmington Trust Corporation preferred stock held by Treasury to M&T Bank Corporation ("M&T") for an aggregate purchase price of $330,000,000.00 plus accrued dividends and exchanged its Wilmington Trust Corporation warrant for an equivalent warrant issued by M&T Bank Corporation,
pursuant to the terms of the agreement between Treasury and M&T entered into on 5/13/2011.
44/ On 7/5/2011, Treasury completed a transaction with Harris Financial Corp., a wholly-owned subsidiary of Bank of Montreal ("BMO"), for the sale of (i) all Marshall & Ilsley Corporation ("M&I") Preferred Stock held by Treasury for a purchase price of $1,715,000,000 plus accrued dividends and (ii) the Treasury-held M&I Warrant for an amount equal
to $3,250,000, pursuant to the terms of the agreement between Treasury and BMO entered into on 05/16/2011.
45/ On 6/3/2011, Treasury completed the sale of all Whitney Holding Corporation preferred stock and the related warrant held by Treasury to Hancock Holding Company ("HHC") for an aggregate purchase price equal to (i) the par amount of the preferred stock ($300,000,000) plus accrued and unpaid dividends thereon and (ii) $6,900,000 for the
warrant, pursuant to the terms of the agreement between Treasury and HHC entered into on 6/3/2011.
46/ On 06/22/2011, Treasury completed the sale of 2,850,000 shares of common stock at $12.590625 per share (which represents the $12.75 public offering price less underwriting discounts) for net proceeds of $35,883,281.25 pursuant to an underwriting agreement executed on 06/17/2011.
47/ On 6/30/2011, Treasury completed the sale of all Cascade Financial Corporation preferred stock held by Treasury and the related warrant to Opus Acquisition, Inc. ("Opus") for an aggregate purchase price of $16,250,000.00, pursuant to the terms of the agreement between Treasury and Opus entered into on 06/28/2011.
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.
65/ As a result of a reincorporation transaction whereby Crescent Financial Corporation (CFC) was merged into Crescent Financial Bancshares, Inc. (CFB), the preferred stock and warrant issued by CFC on 1/9/2009 were exchanged for a like amount of securities of CFB, pursuant to the terms of an agreement among Treasury, CFC and CFB
entered into on 11/15/2011.
66/ As a result of the acquisition of Center Financial Corporation by BBCN Bancorp, Inc. (formerly Nara Bancorp, Inc.), the preferred stock and warrant issued by Center Financial Corporation were exchanged for a like amount of securities of BBCN Bancorp, Inc., pursuant to the terms of an agreement among Treasury, Center Financial Corporation,
and BBCN Bancorp, Inc. entered into on 11/30/2011.
67/ In connection with the merger of Parkvale Financial Corporation (“Parkvale”) and F.N.B. Corporation (“F.N.B.”) effective 01/01/2012, Treasury entered into an agreement with F.N.B. on 12/29/2011 to (i) sell to F.N.B. all of the preferred stock that had been issued by Parkvale to Treasury for a purchase price of $31,762,000 plus accrued dividends
and (ii) exchange the Parkvale warrant held by Treasury for a like F.N.B. warrant. The sale and exchange is subject to the fulfillment by F.N.B. of certain closing conditions.
47
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.
48
COMMUNITY DEVELOPMENT CAPITAL INITIATIVE
Seller
Footnote
Purchase Date
1
1, 2
1, 2
1
1
2a
1
1
1
1
2a
1
1, 3
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
1
1
1, 2
1
1, 2
1
1, 2
1, 2
1, 2
1, 2
1
Name of Institution
Purchase Details
City
State
Guaranty Capital Corporation
University Financial Corp, Inc.
Southern Bancorp, Inc.
Premier Bancorp, Inc.
Citizens Bancshares Corporation
Belzoni
St. Paul
Arkadelphia
Wilmette
Atlanta
MS
MN
AR
IL
GA
PGB Holdings, Inc.
First American International Corp.
Tri-State Bank of Memphis
Mission Valley Bancorp
Chicago
Brooklyn
Memphis
Sun Valley
IL
NY
TN
CA
M&F Bancorp, Inc.
Carver Bancorp, Inc
Kilmichael Bancorp, Inc.
United Bancorporation of Alabama, Inc.
IBW Financial Corporation
IBC Bancorp, Inc.
CFBanc Corporation
American Bancorp of Illinois, Inc.
Hope Federal Credit Union
Genesee Co-op Federal Credit Union
First Eagle Bancshares, Inc.
Liberty Financial Services, Inc.
First Choice Bank
Bainbridge Bancshares, Inc.
Virginia Community Capital, Inc.
Lower East Side People's Federal Credit Union
Atlantic City Federal Credit Union
Neighborhood Trust Federal Credit Union
Gateway Community Federal Credit Union
Union Baptist Church Federal Credit Union
Buffalo Cooperative Federal Credit Union
Tulane-Loyola Federal Credit Union
Alternatives Federal Credit Union
Liberty County Teachers Federal Credit Union
UNO Federal Credit Union
Butte Federal Credit Union
Thurston Union of Low-Income People (TULIP) Cooperative Credit Union
Phenix Pride Federal Credit Union
Pyramid Federal Credit Union
Cooperative Center Federal Credit Union
Prince Kuhio Federal Credit Union
Community First Guam Federal Credit Union
Brewery Credit Union
Tongass Federal Credit Union
Santa Cruz Community Credit Union
Northeast Community Federal Credit Union
Fairfax County Federal Credit Union
Security Federal Corporation
Community Bank of the Bay
The First Bancshares, Inc.
BancPlus Corporation
First M&F Corporation
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
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
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
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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
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
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
49
Seller
Footnote
Purchase Date
1
1
1
1
1
1
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
Name of Institution
City
State
Amount from CPP
Investment Description
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Greenwood
Oxford
Many
Brandon
Vernon
Batesville
Palisades Park
Bay Springs
Okolona
Lakewood
New York
Bronx
Shreveport
Springhill
MS
MS
LA
MS
AL
MS
NJ
MS
MS
NY
NY
NY
LA
LA
Preferred Stock
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
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
15,750,000
4,551,000
9,734,000
54,600,000
6,245,000
17,910,000
-
Disposition Details
Additional Investment
Investment Amount
$
$
$
$
$
$
$
$
$
$
$
$
$
$
-
$
$
$
$
$
$
$
$
$
$
$
$
$
$
-
$
-
-
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
-
Pricing
Mechanism
15,750,000
4,551,000
9,734,000
54,600,000
6,245,000
17,910,000
5,250,000
7,922,000
3,297,000
1,709,000
14,000
502,000
2,646,000
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
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
State Capital Corporation
Lafayette Bancorp, Inc.
PSB Financial Corporation
Community Bancshares of Mississippi, Inc.
First Vernon Bancshares, Inc.
Security Capital Corporation
BankAsiana
The Magnolia State Corporation
Bancorp of Okolona, Inc.
Southern Chautauqua Federal Credit Union
Fidelis Federal Credit Union
Bethex Federal Credit Union
Shreveport Federal Credit Union
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.
50
AUTOMOTIVE INDUSTRY FINANCING PROGRAM
Exchange/Transfer/Other Details
Initial Investment
City, State
Description
Preferred Stock w/
Exercised Warrants
Pricing
Mechanism
Transaction Type
Purchase
GMAC
$
5,000,000,000
Par
$
5,000,000,000
N/A
5/21/2009
Purchase
GMAC
Convertible Preferred Stock
w/ Exercised Warrants
$
7,500,000,000
Par
22
12/30/2009
Partial conversion of preferred
$
stock for common stock
3,000,000,000
12/30/2009
Purchase
GMAC
Convertible Preferred Stock
w/ Exercised Warrants
$
1,250,000,000
Par
22,
26
12/30/2010
Partial conversion of preferred
$
stock for common stock
5,500,000,000
N/A
26
12/30/2009
Purchase
GMAC
Trust Preferred Securities w/
Exercised Warrants
$
2,540,000,000
Par
$
2,670,000,000
N/A
27 GMAC (Ally)
Debt Obligation
$
884,024,131
Par
$
884,024,131
N/A
$
13,400,000,000
Par
$ 13,400,000,000
N/A
$
2,000,000,000
Par
$
N/A
12/29/2008
Purchase
12/31/2008
Purchase
4/22/2009
Purchase
General Motors
Corporation
General Motors
Corporation
General Motors
Corporation
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
Date
12/30/2009
3/1/2011
2
5/29/2009
7/10/2009
4
7/10/2009
Type
Exchange for convertible
preferred stock
Amount
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
Obligor
Description
GMAC (Ally)
21, 22
GMAC (Ally)
3, 26,
32
Amount/Equity %
Convertible
Preferred Stock
Type
Amount/ Proceeds
Remaining
Investment
Amount/Equity %
$ 5,937,500,000
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
Date
Remaining
Investment
Description
N/A
Detroit, MI
Amount
Pricing
Mechanism
Date
12/29/2008
GMAC
(Ally)
Seller
Payment or Disposition1
Treasury Investment After Exchange/Transfer/Other
3/2/2011 Disposition 28
$
2,667,000,000
N/A
$
2,139,406,778
N/A
$
0
3
7
7
$
4,000,000,000
N/A
Purchase
General Motors
Corporation
Debt Obligation w/
Additional Note
Par
6
8
7/10/2009
Exchange for preferred and
common stock in New GM
$
360,624,198
N/A
1/16/2009
Purchase
Chrysler FinCo
Debt Obligation w/
Additional Note
$
Exchange for preferred and
common stock in New GM
$ 22,041,706,310
N/A
Transfer of debt to New GM
$
7,072,488,605
N/A
Debt left at Old GM
$
985,805,085
N/A
General Motors
Holdings LLC
11, 12 Debt Obligation
$ 7,072,488,605
$
1,000,000,000 Debt Obligation
$
5,711,864,407
1/21/2010
Partial Repayment
$
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
$
0
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
$
144,444 Debt Obligation
$
874,772,846
$
18,890,294 Debt Obligation
$
855,882,552
$
1,496,500,945
$
1,464,690,823
$
1,413,554,739
$
1,369,197,029
9
9
Motors Liquidation
Company
29
Debt Obligation
$
985,805,085
13
3/17/2009
Partial Repayment
Partial Repayment
5/18/2009
Partial Repayment
6/17/2009
Partial Repayment
Repayment
7/14/2009
Par
$ 3,500,000,000
5/14/2010
N/A
9/9/2010
Farmington
Hills, MI
1/2/2009
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
$
-
Par
-
$
$
$
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
Transfer of debt to New
Chrysler
$
500,000,000
N/A
19
Chrysler Holding
20
Debt obligation w/
additional note
15
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
Auburn
Hills, MI
Purchase
New Chrysler
Debt Obligation w/
Additional Note, Zero
C
N t E it
$
6,642,000,000
N/A
18
0
Repayment*
$
15,000,000
N/A
-
Termination and settlement
payment 20
$
1,900,000,000
N/A
-
Repayment
$
280,130,642
N/A
5/10/2010
Proceeds from sale of collateral
$
30,544,528
Proceeds from sale of collateral
$
6/10/2009
Issuance of equity in New
Chrysler
$
-
N/A
Chrysler Group
LLC
19, 31 Debt obligation w/
additional note &
t
$ 7,142,000,000
$
5/24/2011
Repayment - Principal
$
Total Treasury Investment Amount
$
$
2,065,540,000
$
Repayment* - Zero Coupon Note
$
100,000,000
7/21/2011
Disposition
$
560,000,000
N/A
288,000,000
Total Payments $
6.6%
Termination of undrawn facility 31
Repayment* - Additional Note
34,878,263,759
Additional Proceeds * $
81,344,932,551
Common equity
N/A
5,076,460,000
5/24/2011
30
0
N/A
Right to recover
7,844,409
proceeds
5/24/2011
Chrysler Group
$
Right to recover
proceeds
Right to recover
9,666,784
proceeds
5/24/2011
Total Initial Investment Amount $
$
1,369,197,029
12/29/2010 Proceeds from sale of collateral
5/27/2009
Additional Note
$
14
16
$
7/10/2009
6/10/2009
Par
N/A
32.04%
9
7/14/2009
Chrysler
1,500,000,000
Par
7
6,711,864,407
4/17/2009
Chrysler
FinCo
$
30,100,000,000
7/10/2009
7/10/2009
Purchase
Debt Obligation w/
Additional Note
360,624,198
7/10/2009
6/3/2009
General Motors
Corporation
$
$
0
36.9%
60.8%
Detroit, MI
5/27/2009
360,624,198 Debt Obligation
12/23/2011 Partial Repayment
7/10/2009
1,761,495,577 Common Stock
12/16/2011 Partial Repayment
5
$
5/3/2011
Par
$
4/5/2011
4,000,000,000
Partial Repayment
4/20/2010
$
Exchange for preferred and
common stock in New GM
11,743,303,903 Common Stock
3/31/2010
General
Motors
Purchase
Debt Obligation w/
Additional Note
$
12/18/2009 Partial Repayment
5/20/2009
General Motors
Corporation
$
11/26/2010 Partial Disposition 25
7
12/15/2010 Repayment
11/18/2010 Partial Disposition 25
7/10/2009
2,000,000,000
403,000,000
N/A
N/A
$
0
-
40,912,975,212
Footnotes appear on following page.
51
As used in this table and its footnotes:
GMAC refers to GMAC Inc., formerly known as GMAC LLC., and now known as Ally Financial, Inc. ("Ally").
"Old GM" refers to General Motors Corporation, which is now known as Motors Liquidation Company.
"New GM" refers to General Motors Company, the company that purchased Old GM's assets on 7/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code. See also footnote 11.
"Chrysler FinCo" refers to Chrysler Financial Services Americas LLC.
"Chrysler Holding" refers to CGI Holding LLC, the company formerly known as "Chrysler Holding LLC".
"Old Chrysler" refers to Old Carco LLC (fka Chrysler LLC).
"New Chrysler" refers to Chrysler Group LLC, the company that purchased Old Chrysler's assets on 6/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code.
1. Payment amount does not include accrued and unpaid interest on a debt obligation, which must be paid at the time of principal repayment.
2. Treasury committed to lend General Motors Corporation up to $1,000,000,000. The ultimate funding was dependent upon the level of investor participation in GMAC LLC's rights offering. The amount has been updated to reflect the final level of funding.
3. Pursuant to its rights under the loan agreement with Old GM reported on 12/29/2008, Treasury exchanged its $884 million loan to Old GM for a portion of Old GM’s common equity interest in GMAC. Treasury held a 35.4% common equity interest in GMAC until the transactions reported on 12/30/2009. (See transactions marked by orange line in the table above and footnote 22.)
4. This transaction is an amendment to Treasury's 12/31/2008 agreement with Old GM (the "Old GM Loan"), which brought the total loan amount to $15,400,000,000.
5. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,400,000,000.
6. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,760,624,198. The $360,624,198 loan was used to capitalize GM Warranty LLC, a special purpose vehicle created by Old GM . On 7/10/2009, the principal amount was included in the $7.07 billion of debt assumed by the new GM, as explained in footnote 10.
7. On 7/10/2009, the principal amount outstanding under the Old GM Loan and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM. (See green lines in the table above.)
8. Under the terms of the $33.3 billion debtor-in-possession credit agreement dated 6/3/2009 with Old GM (the "GM DIP Loan"), Treasury's commitment amount was $30.1 billion. The remaining $2.2 billion of the financing was provided by Canadian government entities. As of 7/09/2009, $30.1 billion of funds had been disbursed by Treasury.
9. On 7/10/2009, Treasury and Old GM amended the GM DIP Loan, and the principal amount and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM, except for (i) $7.07 billion, which was assumed by New GM as a new obligation under the terms of a separate credit agreement between Treasury and New GM (see transactions marked by
green lines in table above) and (ii) $986 million, which remained a debt obligation of Old GM.
10. In total, for the exchange of the Old GM Loan and the GM DIP Loan (other than as explained in footnote 9), Treasury received $2.1 billion in preferred shares and 60.8% of the common shares of New GM. (See transactions marked by green lines in the table above.)
11. Pursuant to a corporate reorganization completed on or about 10/19/2009, the shareholders of New GM, including with respect to Treasury's preferred and common stock, became shareholders of General Motors Holding Company (the ultimate parent company of New GM), which was renamed "General Motors Company" on an equal basis to their shareholdings in New GM, and New GM was converted to
"General Motors LLC". General Motors LLC is a wholly owned subsidiary of General Motors Holdings LLC, and General Motors Holdings LLC is a wholly owned subsidiary of General Motors Company.
12. Pursuant to a corporate reorganization completed on 10/19/2009, Treasury's loan with New GM was assigned and assumed by General Motors Holdings LLC.
13. The loan was funded through Chrysler LB Receivables Trust, a special purpose vehicle created by Chrysler FinCo. The amount of $1,500,000,000 represents the maximum loan amount. The loan was incrementally funded until it reached the maximum amount of $1.5 billion on 4/9/2009.
14. This transaction was an amendment to Treasury's 1/2/2009 agreement with Chrysler Holding. As of 4/30/2009, Treasury's obligation to lend any funds committed under this amendment had terminated. No funds were disbursed.
15. The loan was used to capitalize Chrysler Warranty SPV LLC, a special purpose vehicle created by Old Chrysler.
16. This transaction was set forth in a credit agreement with Old Chrysler fully executed on 5/5/2009 following a term sheet executed on 5/1/2009 and made effective on 4/30/2009. Treasury's commitment was $3.04 billion of the total $4.1 billion debtor-in-possession credit facility (the "Chrysler DIP Loan"). As of 6/30/2009, Treasury's commitment to lend under the Chrysler DIP Loan had terminated. The
remaining principal amount reflects the final amount of funds disbursed under the Chrysler DIP Loan.
17. This transaction was an amendment to Treasury's commitment under the Chrysler DIP Loan, which increased Treasury's commitment by an amount $756,857,000 to a total of $3.8 billion under the Chrysler DIP Loan. As of 6/30/2009, Treasury's obligation to lend funds committed under the Chrysler DIP Loan had terminated.
18. This transaction, first reported based on a term sheet fully executed on 5/27/2009 for an amount up to $6.943 billion, was set forth in a credit agreement with New Chrysler fully executed on 6/10/2009. Under the terms of the credit agreement, Treasury made a new commitment to New Chrysler of up to $6.642 billion. The total loan amount is up to $7.142 billion including $500 million of debt assumed on
6/10/2009 from Chrysler Holding originally incurred under Treasury's 1/2/2009 credit agreement with Chrysler Holding. The debt obligations are secured by a first priority lien on the assets of New Chrysler. When the sale to new Chrysler was completed, Treasury acquired the rights to 9.85% of the common equity in new Chrysler.
19. Pursuant to the agreement explained in footnote 18, $500 million of this debt obligation was assumed by New Chrysler.
20. Under loan agreement, as amended on 7/23/2009, Treasury was entitled to proceeds Chrysler Holdco received from Chrysler FinCo equal to the greater of $1.375 billion or 40% of the equity value of Chrysler FinCo. Pursuant to a termination agreement dated 5/14/2010, Treasury agreed to accept a settlement payment of $1.9 billion as satisfaction in full of all existing debt obligations (including additional
notes and accrued and unpaid interest) of Chrysler Holdco, and upon receipt of such payment to terminate all such obligations.
21. Amount of the Treasury investment exchange includes the exercised warrants from Treasury's initial investments.
22. Under the terms of an agreement dated 12/30/2009, the convertible preferred shares will mandatorily convert to common stock under the conditions and the conversion price as set forth in the terms of the agreement.
23. On April 30, 2010, the Plan of Liquidation for the debtors of Old Chrysler approved by the respective bankruptcy court became effective (the “Liquidation Plan”). Under the Liquidation Plan, the loan Treasury had provided to Old Chrysler was extinguished without repayment, and all assets of Old Chrysler were transferred to a liquidation trust. Treasury retained the right to recover the proceeds from the
liquidation from time to time of the specified collateral security attached to such loan.
24. On October 27, 2010, Treasury accepted an offer by General Motors Company (GM) to repurchase all of the approximately $2.1 billion preferred stock at a price per share of $25.50, which is equal to 102% of the liquidation preference, subject to the closing of the proposed initial public offering of GM’s common stock. The repurchase was completed on 12/15/2010.
25. On 11/17/2010, Treasury agreed to sell 358,546,795 shares of common stock at $32.7525 per share (which represents the $33 public sale price less underwriting discounts and fees) pursuant to an underwriting agreement. Following settlement, the net proceeds to Treasury were $11,743,303,903. On 11/26/2010, the underwriters exercised their option to purchase an additional 53,782,019 shares of
common stock from Treasury at the same purchase price resulting in additional proceeds of $1,761,495,577. Treasury's aggregate net proceeds from the sale of common stock pursuant to the underwriting agreement total $13,504,799,480.
26. On 12/30/2010, Treasury converted $5,500,000,000 of the total convertible preferred stock then outstanding and held by Treasury (including exercised warrants) into 531,850 shares of common stock of Ally. Following this conversion, Treasury holds $5,937,500,000 of convertible preferred stock.
27. On 3/1/2011, Treasury entered into an agreement with Ally Financial, Inc. (Ally) and certain other parties to amend and restate the $2,667,000,000 in aggregate liquidation preference of its Ally trust preferred securities so to facilitate a public underwritten offering. At the time of amendment and restatement, Treasury received all outstanding accrued and unpaid dividends and a distribution fee of $28,170,000.
28. On 3/2/2011, Treasury entered into an underwritten offering for all of its Ally trust preferred securities, the proceeds of which were $2,638,830,000, which together with the distribution fee referred to in footnote 27, provided total disposition proceeds to Treasury of $2,667,000,000. This amount does not include the accumulated and unpaid dividends on the trust preferred securities from the date of the
amendment and restatement through but excluding the closing date that Treasury will receive separately at settlement.
29. On March 31, 2011, the Plan of Liquidation for Motors Liquidation Company (Old GM) became effective, Treasury’s $986 million loan to Old GM was converted to an administrative claim and the assets remaining with Old GM, including Treasury's liens on certain collateral and other rights attached to the loan, were transferred to liquidation trusts. On December 15, 2011, Old GM was dissolved, as required by
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.
32. On November 1, 2011, Treasury received a $201,345.42 pro-rata tax distribution on its common stock from Ally Financial, Inc. pursuant to the terms of the Sixth Amended and Restated Limited Liability Company Operating Agreement of GMAC LLC dated May 22, 2009.
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
Payment or Disposition4
Date
Type
2/11/2010
Partial
repayment
Partial
repayment
3/4/2010
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) $
$
4/9/2009
Chrysler Receivables SPV LLC
INITIAL TOTAL
$
5,000,000,000
Wilmington
DE
Purchase
ADJUSTED TOTAL
Debt Obligation w/
$ 1,500,000,000
Additional Note
$
413,076,735
N/A
7/8/2009
3
$ (500,000,000)
7
Total Repayments
$
413,076,735
290,000,000
$
1,000,000,000
$
6
2
2,500,000,000
N/A
123,076,735
Remaining Investment
Description
Amount
Debt Obligation w/ Additional Note
$
140,000,000
Debt Obligation w/ Additional Note
$
100,000,000
Repayment5
Additional Note
$
50,000,000
4/5/2010
Payment6
None
$
56,541,893
3/9/2010
4/7/2010
Repayment5
Payment7
Additional Note
None
$
$
123,076,735
44,533,054
$
101,074,947
Total Proceeds from Additional Notes
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.
52
TARGETED INVESTMENT PROGRAM
Seller
Footnote
Date
Name of Institution
State
Transaction
Type
New York
NY
Purchase
Charlotte
NC
Purchase
City
12/31/2008 Citigroup Inc.
Bank of America
1/16/2009 Corporation
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
$
20,000,000,000
$
$
20,000,000,000
$
$
Final Disposition
Remaining Capital
Description
Final Disposition Date
0
Warrants
1/25/2011
A
Warrants
$
190,386,428
0
Warrants
3/3/2010
A
Warrants
$
1,255,639,099
40,000,000,000
$
1,446,025,527
3
Final Disposition
Description
Final Disposition
Proceeds
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
1
1/16/2009
Seller
Name of Institution
City
State
Type
New York
NY
Guarantee
Premium
3
12/23/2009 Citigroup Inc.
New York
NY
Termination
Termination Agreement
TOTAL
$
$
$
5,000,000,000
Description
Exchange/Transfer/Other Details
Preferred Stock
w/ Warrants
Amount
$
Date
6/9/2009
4,034,000,000
4
9/29/2010
Description
Type
Exchange preferred stock for Trust Preferred Securities
trust preferred 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
Remaining
Premium
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 Warrants
$
0
1/25/2011 Warrant Auction
Master Agreement
Guarantee Limit
Footnote
2
Citigroup Inc.
Description
Amount
$
$
0
67,197,045 None
$ 2,234,000,000
(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.
53
AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM
(formerly referred to as Systemically Significant Failing Institutions Program)
Seller
Note
Date
1
11/25/2008
Name of Institution
2, 3
4/17/2009
AIG
Purchase Details
City
New York
AIG
New York
State
Transaction
Type
NY
Purchase
Preferred Stock w/ Warrants
(Series D)
Purchase
Preferred Stock w/ Warrants
(Series F)
NY
Investment Description
Exchange/Transfer Details
Investment Amount
$
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
Treasury Holdings Post-Recapitalization
Date
Investment Description
Transaction Type
Pricing Mechanism
Exchange
Note
Par
Final Disposition
Investment Description
Date
Amount / Shares
4
1/14/2011
Preferred Stock (Series F)
Exchange
16,916,603,568
7
N/A
$
185,726,192
5,511,067,614
Payment
$
55,833,333
Par
8/17/2011
Payment
$
97,008,351
Par
Payment
$
2,153,520,000
Par
Par
9/2/2011
Exchange
5
6
1/14/2011
1/14/2011
Preferred Stock (Series E)
Common Stock (non-TARP)
Exchange
Transfer
$
3,375,328,432
$
55,885,302
Payment
$
971,506,765
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
7,886,056,010
8
Par
167,623,733
N/A
$
-
Par
2/14/2011
3/8/2011
ALICO Junior Preferred Interests
7
Payment
11/1/2011
$
10
Par
-
N/A
Remaining Recap
Investment Amount,
Shares, or Equity %
Par
$
8/18/2011
$
Payment
Payment
3/15/2011
AIA Preferred Units
2,000,000,000
$
3/8/2011
$
Cancellation
2/14/2011
Preferred Stock (Series G)
5/27/2011
Pricing
Mechanism
Proceeds 8
Transaction Type
$
0
1,455,037,962
77%
Total
$
18,224,367,667
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.
54
8
9
CONSUMER AND BUSINESS LENDING INITIATIVE INVESTMENT PROGRAM
Seller
Footnote
Date
1
3/3/2009
Name of Institution
City
State
Transaction
Type
DE
Purchase
Investment Description
Investment Amount
Pricing Mechanism
Adjusted Investment
Amount
Date
2
TALF LLC
Wilmington
Debt Obligation w/ Additional Note
TOTAL
$
20,000,000,000
$
4,300,000,000
N/A
7/19/2010
$
4,300,000,000
1/ The loan was funded through TALF LLC, a special purpose vehicle created by The Federal Reserve Bank of New York ("FRBNY"). The amount of $20,000,000,000 represents the maximum loan amount. The loan will be incrementally funded.
2/ On 7/19/2010, Treasury, the FRBNY and TALF LLC entered into an amendment of the credit agreement previously entered into on 3/3/2009, which amendment reduced Treasury's maximum loan amount to $4,300,000,000.
55
SMALL BUSINESS AND COMMUNITY LENDING INITIATIVE
SBA 7a Securities Purchase Program
Purchase Details 1
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
Investment Description
Floating Rate SBA 7a security due 2025
Floating Rate SBA 7a security due 2022
Floating Rate SBA 7a security due 2022
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2016
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2035
Floating Rate SBA 7a security due 2033
Floating Rate SBA 7a security due 2029
Floating Rate SBA 7a security due 2033
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2025
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2017
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2019
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2024
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2021
Floating Rate SBA 7a security due 2029
Floating Rate SBA 7a security due 2026
Floating Rate SBA 7a security due 2035
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2035
Total Purchase Face Amount
Settlement Details
Purchase Face
Amount 3
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
4,070,000
7,617,617
8,030,000
23,500,000
8,900,014
10,751,382
12,898,996
8,744,333
8,417,817
17,119,972
34,441,059
28,209,085
6,004,156
6,860,835
13,183,361
2,598,386
9,719,455
8,279,048
5,000,000
10,000,000
9,272,482
10,350,000
6,900,000
8,902,230
8,050,000
5,750,000
5,741,753
3,450,000
11,482,421
13,402,491
14,950,000
$
Pricing Mechanism
TBA or
PMF3
Investment Amount
Settlement Date
107.75
109
108.875
110.502
107.5
106.806
109.42
110.798
110.125
109.553
110.785
112.028
106.625
108.505
111.86
108.4375
106.75
110.198
110.088
110.821
110.515
112.476
105.875
111.584
110.759
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
-
Final Disposition
368,145,452 *
Purchase Face
Amount 3
Current Face
Amount 6, 8
Life-to-date
Principal Received
Disposition
Amount 5, 6
Trade Date
PMF6
1, 8
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
1,685,710
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
339,960
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
419,457
969,461
868,636
250,445
$
$
$
$
$
$
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
$
82,832 $
3,698,411
10/19/2011
-
$
13,402,491
$
12,963,737
$
438,754 $
14,433,039
Disposition Proceeds
TOTAL PROGRAM PROCEEDS TO DATE7 $
$
271,681,517 *
311,686,230 *
* 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.
56
LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)
Seller
Footnote
Date
1
9/30/2009
Name of Institution
Adjusted Investment
City
Transaction
Type
State
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
48,922
Final Distribution
Contingent Proceeds
5
502,302
$
1,223
$
20,644,319
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
9/15/2010
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
Debt Obligation w/
300,656,067 Contingent Proceeds
$
1,111,111,111
Par
3/22/2010 6 $
1,262,037,500
7/16/2010
$
2,222,222,222
Par
3/22/2010 6 $
2,524,075,000
7/16/2010
$
92,300,138
$
$
128,027,536
$
$
155,409,286
$
$
75,085,485
$
$
18,259,513
$
$
62,979,809
$
$
20,762,532
$
$
37,384,574
$
$
7,103,787
$
5/16/2011 $
30,244,575
$
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
$
$
6/14/2011 $
Membership Interest
$
12/14/2011
Debt Obligation w/ Contingent Proceeds
27,355,590
10/17/2011
Purchase
$
$
8/12/2011
Purchase
31,689,230
7/15/2011
DE
$
$
6/14/2011
DE
132,928,628
5/20/2011
Wilmington
$
$
4/14/2011
Wilmington
$
60,022,674
3/14/2011
Wellington Management Legacy Securities PPIF Master Fund, LP
7,066,434
$
2/14/2011
Wellington Management Legacy Securities PPIF Master Fund, LP
$
1/14/2010
10/1/2009
$
12/14/2010
10/1/2009
4,888,718
11/15/2010
1
$
4/15/2010
2
2/18/2010
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 $
1,340,378,124
TOTAL PROCEEDS
Footnotes appear on following page.
57
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.
58
Transactions Report - Housing Programs
For Period Ending December 15, 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
Pricing
and to Servicers &
Mechanism
$
376,000,000
N/A
10310
121,910,000
$
$
131,340,000
$
$
$
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
$
$
$
(355,530,000) $
(700,000) $
558,310,000 Updated portfolio data from servicer
750,107,784 Transfer of cap due to servicing transfer
MO
Purchase
Financial Instrument for Home Loan Modifications
$
2,071,000,000
N/A
$
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) $
$
$
$
(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
$
(100,000) $
815,699,605 Transfer of cap due to servicing transfer
11/16/2011
O'Fallon
812,307,145 Transfer of cap due to servicing transfer
10/14/2011
10310
$
9/15/2011
10310
812,207,145 Transfer of cap due to servicing transfer
100,000
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
660,590,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
782,500,000 initial cap
Updated portfolio data from servicer & HAFA
913,840,000 initial cap
1/13/2011
10310
10722
$
1/6/2011
10310
10722
$
12/15/2010
10310
10722
284,590,000
9/30/2010
10310
10722
$
11/16/2010
10310
10722
6/12/2009
9/30/2010
10310
10722
Reason for Adjustment
7/14/2010
10310
10722
Adjusted Cap
3/26/2010
10310
10722
Cap Adjustment Amount
12/30/2009
10310
CitiMortgage, Inc.
Note
9/30/2009
10310
4/13/2009
Adjustment Details
Adjustment
Date
$
(100,000) $
815,599,605 Transfer of cap due to servicing transfer
6/12/2009
$
(991,580,000) $
9/30/2009
$
1,010,180,000
12/30/2009
$
(105,410,000) $
3/26/2010
$
(199,300,000) $
4/19/2010
$
(230,000) $
5/14/2010
$
(3,000,000) $
6/16/2010
$
(12,280,000) $
7/14/2010
$
(757,680,000) $
7/16/2010
$
(7,110,000) $
400,000
$
(100,000) $
$
815,806,410 Transfer of cap due to servicing transfer
816,206,410 Transfer of cap due to servicing transfer
816,106,410 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
816,099,605 reallocation
1,079,420,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
2,089,600,000 initial cap
Updated portfolio data from servicer & HAFA
1,984,190,000 initial cap
Updated portfolio data from servicer & 2MP 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
Transfer of cap to multiple servicers due to
1,769,380,000 servicing transfer
1,011,700,000 Updated portfolio data from servicer
Transfer of cap to multiple servicers due to
1,004,590,000 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
Pricing
and to Servicers &
Mechanism
10722
10423
10423
10423
10423
10423
10423
10423
10423
10423
IA
Purchase
Financial Instrument for Home Loan Modifications
$
2,873,000,000
N/A
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) $
$
100,000
$
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
$
15,200,000
$
1,065,766,341 Transfer of cap due to servicing transfer
$
(2,900,000) $
1,062,866,341 Transfer of cap due to servicing transfer
12/15/2011
Des Moines
(3,200,000) $
$
11/16/2011
10722
$
10/14/2011
10722
1,122,277,484 Transfer of cap due to servicing transfer
9/15/2011
10722
(1,400,000) $
8/16/2011
10722
$
7/14/2011
10722
1,123,677,484 Updated portfolio data from servicer
6/29/2011
10722
$
6/16/2011
10722
101,287,484
5/13/2011
10722
$
4/13/2011
10722
1,022,390,000 Initial FHA-HAMP cap and initial FHA-2LP cap
3/30/2011
10722
$
3/16/2011
10722
32,400,000
2/16/2011
10722
(8,300,000) $
$
1/13/2011
10722
$
1/6/2011
10722
(6,300,000) $
11/16/2010
10722
$
10/15/2010
10722
10423
Reason for Adjustment
Transfer of cap to multiple servicers due to
998,290,000 servicing transfer
Transfer of cap to multiple servicers due to
989,990,000 servicing transfer
9/30/2010
10722
10423
Adjusted Cap
9/30/2010
10722
10423
Cap Adjustment Amount
9/15/2010
10722
Wells Fargo Bank, NA
Note
8/13/2010
10722
4/13/2009
Adjustment Details
Adjustment
Date
$
(5,000,000) $
1,057,866,341 Transfer of cap due to servicing transfer
6/17/2009
$
(462,990,000) $
9/30/2009
$
65,070,000
$
12/30/2009
$
1,213,310,000
$
2,410,010,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
2,475,080,000 initial cap
Updated portfolio data from servicer & HAFA
3,688,390,000 initial cap
2/17/2010
$
2,050,236,344
$
5,738,626,344 Transfer of cap (from Wachovia) due to merger
3/12/2010
$
54,767
$
5,738,681,110 Transfer of cap (from Wachovia) due to merger
3/19/2010
$
668,108,890
$
6,406,790,000 Initial 2MP cap
3/26/2010
$
683,130,000
$
7,089,920,000 Updated portfolio data from servicer
7/14/2010
$
(2,038,220,000) $
5,051,700,000 Updated portfolio data from servicer
9/30/2010
$
(287,348,828) $
9/30/2010
$
344,000,000
$
4,764,351,172 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
5,108,351,172 initial RD-HAMP
12/3/2010
$
8,413,225
$
5,116,764,397 Transfer of cap (from Wachovia) due to merger
12/15/2010
$
22,200,000
$
5,138,964,397 Updated portfolio data from servicer
1/6/2011
$
(6,312) $
5,138,958,085 Updated portfolio data from servicer
1,119,076,503 Updated portfolio data from servicer
1,073,476,503 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,073,475,472 reallocation
1,065,975,472 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,065,966,341 reallocation
60
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
10423
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
(9,800,000) $
5,128,950,914 Transfer of cap due to servicing transfer
$
100,000
5,129,050,914 Transfer of cap due to servicing transfer
$
(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
$
200,000
$
5,126,587,058 Transfer of cap due to servicing transfer
$
(200,000) $
5,126,387,058 Transfer of cap due to servicing transfer
12/15/2011
Ft. Washington
$
11/16/2011
10423
5,138,758,085 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,138,750,914 reallocation
10/14/2011
10423
(7,171) $
9/15/2011
10423
(100,000) $
$
8/16/2011
10423
$
7/14/2011
10423
5,138,858,085 Transfer of cap due to servicing transfer
6/29/2011
10423
(100,000) $
6/16/2011
10423
$
5/13/2011
10423
10315
Reason for Adjustment
4/13/2011
10423
10315
Adjusted Cap
3/30/2011
10423
10315
Cap Adjustment Amount
3/16/2011
10423
GMAC Mortgage, Inc.
Note
1/13/2011
10423
4/13/2009
Adjustment Details
Adjustment
Date
$
(200,000) $
5,126,187,058 Transfer of cap due to servicing transfer
6/12/2009
$
384,650,000
$
9/30/2009
$
2,537,240,000
$
12/30/2009
$
(1,679,520,000) $
3/26/2010
$
190,180,000
$
5/14/2010
$
1,880,000
$
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
1,517,896,405 Updated portfolio data from servicer
$
(3,700,000) $
5,128,450,914 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,128,387,058 reallocation
1,017,650,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
3,554,890,000 initial cap
Updated portfolio data from servicer & HAFA
1,875,370,000 initial cap
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
1/6/2011
$
(1,734) $
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
$
(200,000) $
1,498,875,924 Transfer of cap due to servicing transfer
8/16/2011
$
3,400,000
$
1,502,275,924 Transfer of cap due to servicing transfer
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
11/16/2011
$
(200,000) $
1,501,475,924 Transfer of cap due to servicing transfer
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
61
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
Adjustment Details
Note
10315
4/13/2009
Saxon Mortgage Services, Inc.
10458
10458
4/13/2009
Chase Home Finance, LLC
Iselin
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
3,552,000,000
N/A
4/16/2009
Ocwen Financial Corporation, Inc.
West Palm Beach
FL
Purchase
Financial Instrument for Home Loan Modifications
$
659,000,000
N/A
10500
10500
10500
10500
10500
2
1,800,000
$
493,520,000 Transfer of cap due to servicing transfer
$
9,800,000
$
503,320,000 Initial FHA-HAMP cap and initial FHA-2LP cap
$
116,222,668
$
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
$
$
$
$
633,835,314 Transfer of cap due to servicing transfer
$
(100,000) $
633,735,314 Transfer of cap due to servicing transfer
$
(700,000) $
633,035,314 Transfer of cap due to servicing transfer
12/15/2011
10458
$
9/15/2011
10458
(22,980,000) $
8/16/2011
10458
$
7/14/2011
10458
(513,660,000) $
6/29/2011
10458
(156,050,000) $
$
4/13/2011
10458
$
3/30/2011
10458
(57,720,000) $
3/16/2011
10458
$
1/13/2011
10458
$
1/6/2011
10458
355,710,000
12/15/2010
10458
$
632,040,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
886,420,000 initial cap
Updated portfolio data from servicer & HAFA
1,242,130,000 initial cap
10/15/2010
10458
$
9/30/2010
10458
$
254,380,000
9/30/2010
10458
225,040,000
$
9/15/2010
10458
$
7/16/2010
10458
1,504,075,924 Transfer of cap due to servicing transfer
6/17/2009
N/A
$
7/14/2010
407,000,000
2,600,000
6/16/2010
$
$
3/26/2010
Financial Instrument for Home Loan Modifications
10458
10500
Reason for Adjustment
12/30/2009
Purchase
10458
10500
Adjusted Cap
9/30/2009
TX
10458
10500
Cap Adjustment Amount
12/15/2011
Irving
10500
Adjustment
Date
$
17,500,000
7/31/2009
$
(3,552,000,000) $
6/12/2009
$
(105,620,000) $
9/30/2009
$
102,580,000
$
12/30/2009
$
277,640,000
$
3/26/2010
$
46,860,000
$
6/16/2010
$
156,050,000
$
7/14/2010
$
(191,610,000) $
7/16/2010
$
23,710,000
$
944,900,000 Updated portfolio data from servicer
Transfer of cap from Saxon Mortgage Services,
968,610,000 Inc. due to servicing transfer
9/15/2010
$
100,000
$
968,710,000 Initial FHA-HAMP cap
9/30/2010
$
3,742,740
$
972,452,740 Updated portfolio data from servicer
10/15/2010
$
170,800,000
$
(654) $
2,100,000
$
(6,144) $
200,000
$
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
633,641,458 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
633,635,314 reallocation
650,535,314 Transfer of cap due to servicing transfer
- Termination of SPA
553,380,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
655,960,000 initial cap
Updated portfolio data from servicer & HAFA
933,600,000 initial cap
980,460,000 Updated portfolio data from servicer
Transfer of cap from Saxon Mortgage Services,
1,136,510,000 Inc. due to servicing transfer
1,143,252,740 Transfer of cap due to servicing transfer
62
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
10500
10512
10512
10512
10512
10512
10512
Simi Valley
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
$
804,440,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
967,120,000 initial cap
Updated portfolio data from servicer & HAFA
1,632,630,000 initial cap
$
800,390,000
$
2,433,020,000 Initial 2MP cap
$
(829,370,000) $
1,603,650,000 Updated portfolio data from servicer
$
(366,750,000) $
$
95,300,000
$
1,236,900,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
1,332,200,000 initial RD-HAMP
$
222,941,084
$
1,555,141,084 Updated portfolio data from servicer
$
(2,199) $
$
(2,548) $
$
(23,337) $
$
(300,000) $
1,554,813,000 Transfer of cap due to servicing transfer
$
(120,700,000) $
1,434,113,000 Transfer of cap due to servicing transfer
11/16/2011
10512
$
162,680,000
10/14/2011
10512
5,540,000
$
8/16/2011
10512
$
6/29/2011
10512
6/12/2009
3/30/2011
10512
1,144,040,562 Transfer of cap due to servicing transfer
1/6/2011
10512
(100,000) $
9/30/2010
10512
$
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
$
10/14/2011
Simi Valley
(1,020) $
Reason for Adjustment
6/29/2011
10500
Countrywide Home Loans Servicing LP
Adjusted Cap
3/30/2011
10500
4/17/2009 as
amended on
1/26/2010
Cap Adjustment Amount
2/16/2011
10500
Bank of America, N.A.
Note
1/6/2011
10500
4/17/2009 as
amended on
1/26/2010
Adjustment Details
Adjustment
Date
$
(900,000) $
1,433,213,000 Transfer of cap due to servicing transfer
6/12/2009
$
3,318,840,000
9/30/2009
$
(717,420,000) $
12/30/2009
$
2,290,780,000
$
5,182,840,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
4,465,420,000 initial cap
Updated portfolio data from servicer & HAFA
6,756,200,000 initial cap
1/26/2010
$
450,100,000
$
7,206,300,000 Initial 2MP cap
3/26/2010
$
905,010,000
$
4/19/2010
$
10,280,000
$
6/16/2010
$
286,510,000
$
8,111,310,000 Updated portfolio data from servicer
Transfer of cap from Wilshire Credit 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
$
(1,787,300,000) $
9/30/2010
$
105,500,000
9/30/2010
$
12/15/2010
$
900,000
$
$
$
(614,527,362) $
236,000,000
1,143,251,720 Updated portfolio data from servicer
1,144,151,720 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,144,150,606 reallocation
Updated due to quarterly assessment and
1,144,140,562 reallocation
1,555,138,885 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,555,136,337 reallocation
Updated due to quarterly assessment and
1,555,113,000 reallocation
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
6,111,772,638 Updated portfolio data from servicer
$
6,347,772,638 Updated portfolio data from servicer
(8,012) $
6,347,764,626 Updated portfolio data from servicer
1/6/2011
$
2/16/2011
$
1,800,000
$
6,349,564,626 Transfer of cap due to servicing transfer
3/16/2011
$
100,000
$
3/30/2011
$
6,349,664,626 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,349,655,436 reallocation
(9,190) $
63
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
Adjustment Details
Note
1000832
6/16/2011
Pittsburgh
PA
Purchase
Financial Instrument for Home Loan Modifications
$
319,000,000
10316
(3,400,000) $
6,345,473,089 Transfer of cap due to servicing transfer
$
(1,400,000) $
6,344,073,089 Transfer of cap due to servicing transfer
$
120,600,000
$
$
317,956,289
$
6,464,673,089 Transfer of cap due to servicing transfer
and Wilshire Credit Corporation due to merger.
6,782,629,378
$
800,000
$
6,783,429,378 Transfer of cap due to servicing transfer
$
(17,600,000) $
6,765,829,378 Transfer of cap due to servicing transfer
$
128,300,000
$
447,300,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
494,030,000 initial cap
Updated portfolio data from servicer & HAFA
639,850,000 initial cap
$
46,730,000
$
$
145,820,000
$
$
(17,440,000) $
622,410,000 Updated portfolio data from servicer
$
(73,010,000) $
549,400,000 Updated portfolio data from servicer
$
6,700,000
$
(77,126,410) $
478,973,590 Updated portfolio data from servicer
12/15/2010
10316
$
(314,900,000) $
164,073,590 Updated portfolio data from servicer
164,073,357 Updated portfolio data from servicer
$
1/6/2011
10316
13
Beaverton
OR
Purchase
Financial Instrument for Home Loan Modifications
$
366,000,000
N/A
(400,000) $
$
(278) $
$
(400,000) $
6/29/2011
10316
$
5/13/2011
10316
(1,900,000) $
3/30/2011
10316
(233) $
$
3/16/2011
10316
$
2/16/2011
10316
10205
$
9/30/2010
10316
10205
6,348,873,089 Transfer of cap due to servicing transfer
9/30/2010
10316
10205
(200,000) $
7/14/2010
10316
10205
$
3/26/2010
10316
10205
(82,347) $
9/30/2009
10316
10205
$
6,349,155,436 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,349,073,089 reallocation
12/30/2009
10316
10205
6,350,155,436 Transfer of cap due to servicing transfer
6/12/2009
N/A
$
(1,000,000) $
12/15/2011
1000832
300,000
$
11/16/2011
1000832
$
10/19/2011
1000832
6,349,855,436 Transfer of cap due to servicing transfer
10/14/2011
1000832
$
9/15/2011
1000832
200,000
8/16/2011
1000832
Wilshire Credit Corporation
Reason for Adjustment
7/14/2011
1000832
4/20/2009
Adjusted Cap
6/29/2011
1000832
$
5/13/2011
1000832
Home Loan Services, Inc.
Cap Adjustment Amount
4/13/2011
1000832
4/20/2009
Adjustment
Date
$
(2,625) $
10/19/2011
$
(155,061,221) $
6/12/2009
$
87,130,000
9/30/2009
$
(249,670,000) $
12/30/2009
$
119,700,000
$
3/26/2010
$
52,270,000
$
4/19/2010
$
(10,280,000) $
5/14/2010
$
(1,880,000) $
6/16/2010
$
(286,510,000) $
7/14/2010
$
19,540,000
$
$
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
203,460,000 initial cap
Updated portfolio data from servicer & HAFA
323,160,000 initial cap
375,430,000 Updated portfolio data from servicer
Transfer of cap to Countrywide Home Loans 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
96,300,000 Updated portfolio data from servicer
64
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
Adjustment Details
Note
10205
13
Saint Paul
MN
Purchase
Financial Instrument for Home Loan Modifications
$
156,000,000
N/A
10309
(2,779) $
$
(162,895,068) $
6/17/2009
$
(64,990,000) $
CA
Purchase
Financial Instrument for Home Loan Modifications
$
195,000,000
N/A
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
$
$
$
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
$
200,000
$
150,692,325 Transfer of cap due to servicing transfer
11/16/2011
Santa Ana
$
10/14/2011
10309
96,310,000 Transfer of cap due to servicing transfer
9/15/2011
10309
$
7/14/2011
10309
$
2,200,000
6/29/2011
10309
210,000
$
6/16/2011
10309
$
93,900,000 Updated portfolio data from servicer
Transfer of cap from Wilshire Credit Corporation
94,110,000 due to servicing transfer
5/13/2011
10309
$
3/30/2011
10309
13,080,000
1/6/2011
10309
$
10/15/2010
10309
(116,750,000) $
9/30/2010
10309
$
$
9/30/2010
10309
$
91,010,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
221,790,000 initial cap
Updated portfolio data from servicer & HAFA
105,040,000 initial cap
9/10/2010
10309
130,780,000
1,657,394 Termination of SPA
8/13/2010
10309
10503
$
10/19/2011
7/16/2010
10309
10503
(294) $
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
7/14/2010
10309
10503
$
95,990,000 Transfer of cap due to servicing transfer
164,555,782 Updated portfolio data from servicer
3/26/2010
10309
10503
(247) $
$
9/30/2009
10309
10503
$
(100,000) $
68,565,782
Reason for Adjustment
Transfer of cap to Green Tree Servicing LLC due
96,090,000 to servicing transfer
12/30/2009
10309
10503
(210,000) $
6/29/2011
10205
Carrington Mortgage Services, LLC
$
3/30/2011
10205
$
1/6/2011
10205
$
9/30/2010
10205
4/27/2009
Adjusted Cap
8/13/2010
10205
Green Tree Servicing LLC
Cap Adjustment Amount
7/16/2010
10205
4/24/2009
Adjustment
Date
$
400,000
$
151,092,325 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
222,010,000 initial cap
Updated portfolio data from servicer & HAFA
279,990,000 initial cap
3/26/2010
$
74,520,000
$
354,510,000 Updated portfolio data from servicer
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
$
(24,220,000) $
(213) $
(250) $
(2,302) $
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
65
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
10503
10231
10231
10231
10231
10231
10231
10406
10406
10406
1,000,000
$
289,359,384 Transfer of cap due to servicing transfer
6/17/2009
$
(338,450,000) $
$
(11,860,000) $
$
21,330,000
$
459,550,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
447,690,000 initial cap
Updated portfolio data from servicer & HAFA
469,020,000 initial cap
$
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) $
$
401,700,000 Initial FHA-HAMP cap
393,245,731 Updated portfolio data from servicer
TX
Purchase
Financial Instrument for Home Loan Modifications
$
101,000,000
N/A
$
(342) $
$
(374) $
$
$
10/14/2011
Lewisville
10406
$
6/29/2011
10231
10406
288,359,384 Transfer of cap due to servicing transfer
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
5/13/2011
10231
10406
288,259,384 Transfer of cap due to servicing transfer
$
$
1/6/2011
10231
10406
$
100,000
2,400,000
3/30/2011
10231
10406
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
10231
10406
284,063,360 Updated portfolio data from servicer
$
11/16/2011
Littleton
10406
(325) $
$
9/15/2011
10503
10406
284,063,685 Updated portfolio data from servicer
8/16/2011
10503
10406
$
6/29/2011
10503
10406
300,000
Reason for Adjustment
3/30/2011
10503
Nationstar Mortgage LLC
$
Adjusted Cap
1/6/2011
10503
5/28/2009
Cap Adjustment Amount
1/13/2011
10503
Aurora Loan Services, LLC
Note
12/15/2010
10503
5/1/2009
Adjustment Details
Adjustment
Date
$
6/12/2009
$
16,140,000
$
9/30/2009
$
134,560,000
$
12/30/2009
$
80,250,000
$
117,140,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
251,700,000 initial cap
Updated portfolio data from servicer & HAFA
331,950,000 initial cap
3/26/2010
$
67,250,000
$
399,200,000 Updated portfolio data from servicer
7/14/2010
$
(85,900,000) $
313,300,000 Updated portfolio data from servicer
8/13/2010
$
100,000
$
9/30/2010
$
2,900,000
$
313,400,000 Transfer of cap due to servicing transfer
Initial FHA-HAMP cap, initial FHA-2LP cap, initial
316,300,000 RD-HAMP, and initial 2MP cap
9/30/2010
$
33,801,486
$
350,101,486 Updated portfolio data from servicer
11/16/2010
$
700,000
$
350,801,486 Transfer of cap due to servicing transfer
12/15/2010
$
1,700,000
$
352,501,486 Updated portfolio data from servicer
(363) $
352,501,123 Updated portfolio data from servicer
18,000,000
$
(3,273) $
(200,000) $
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
1/6/2011
$
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
(428) $
66
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
10406
10326
10326
10326
10326
Glen Allen
VA
Purchase
Financial Instrument for Home Loan Modifications
$
16,520,000
N/A
(1,390,000) $
$
(13,870,000) $
$
400,000
$
30,200,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
30,600,000 initial 2MP cap
$
586,954
$
31,186,954 Updated portfolio data from servicer
$
(34) $
$
(37) $
$
$
(329) $
$
(1,900,000) $
$
100,000
$
$
2,800,000
$
403,373,950 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
17,540,000 initial cap
Updated portfolio data from servicer & HAFA
45,460,000 initial cap
44,070,000 Updated portfolio data from servicer
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
32,186,554 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
29,590,000 initial cap
Updated portfolio data from servicer & HAFA
175,100,000 initial cap
San Juan
PR
Purchase
Financial Instrument for Home Loan Modifications
$
57,000,000
N/A
$
(116,950,000) $
58,150,000 Updated portfolio data from servicer
$
(23,350,000) $
34,800,000 Updated portfolio data from servicer
$
7,846,346
42,646,346 Updated portfolio data from servicer
$
(46) $
$
(55) $
6/29/2011
10052
$
3/30/2011
10052
$
1/6/2011
10052
13,070,000
145,510,000
9/30/2010
10052
$
$
7/14/2010
10052
9/30/2009
3/26/2010
10052
$
(452) $
$
10131
$
(11,300,000) $
$
(42,210,000) $
3/26/2010
10131
9/30/2009
12/30/2009
10131
$
65,640,000
42,646,300 Updated portfolio data from servicer
Updated due to quarterly assessment and
42,646,245 reallocation
Updated due to quarterly assessment and
42,645,793 reallocation
Updated portfolio data from servicer & HPDP
45,700,000 initial cap
Updated portfolio data from servicer & HAFA
3,490,000 initial cap
$
69,130,000 Updated portfolio data from servicer
4/9/2010
10131
54,660,000 Updated portfolio data from servicer
(8,860,000) $
45,800,000 Updated portfolio data from servicer
$
(4,459,154) $
41,340,846 Updated portfolio data from servicer
12/15/2010
10131
(14,470,000) $
$
9/30/2010
10131
$
7/14/2010
10131
$
(4,300,000) $
37,040,846 Updated portfolio data from servicer
1/6/2011
Port Angeles
WA
Purchase
Financial Instrument for Home Loan Modifications
$
770,000
N/A
(51) $
$
(65) $
6/29/2011
10131
$
3/30/2011
10131
First Federal Savings and Loan
$
$
12/30/2009
10052
6/19/2009
27,920,000
11/16/2011
10326
$
9/15/2011
10326
(1,860,000) $
6/29/2011
10326
$
4/13/2011
10326
9/30/2009
3/30/2011
N/A
100,000
1/6/2011
19,400,000
$
9/30/2010
$
$
9/30/2010
Financial Instrument for Home Loan Modifications
(4,248) $
403,278,198 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
403,273,950 reallocation
7/14/2010
Purchase
10326
RG Mortgage Corporation
$
3/26/2010
TX
10326
6/17/2009
20,077,503
Reason for Adjustment
12/30/2009
Fort Worth
CCO Mortgage
$
Adjusted Cap
6/29/2011
10326
6/17/2009
Cap Adjustment Amount
11/16/2011
10406
Residential Credit Solutions
Note
5/26/2011
10406
6/12/2009
Adjustment Details
Adjustment
Date
$
(616) $
12/30/2009
$
2,020,000
$
37,040,795 Updated portfolio data from servicer
Updated due to quarterly assessment and
37,040,730 reallocation
Updated due to quarterly assessment and
37,040,114 reallocation
Updated portfolio data from servicer & HAFA
2,790,000 initial cap
67
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
Adjustment Details
Note
10224
Wescom Central Credit Union
N/A
10126
10126
10126
10126
12
The Villages
FL
Purchase
Financial Instrument for Home Loan Modifications
$
30,000
N/A
1,300,000 Updated portfolio data from servicer
1,500,000
$
2,800,000 Updated portfolio data from servicer
$
1,551,668
$
4,351,668 Updated portfolio data from servicer
(2) $
$
(2) $
$
(1,800,000) $
6/3/2011
$
(1,872,787) $
4,351,666 Updated portfolio data from servicer
Updated due to quarterly assessment and
4,351,664 reallocation
2,551,664 Transfer of cap due to servicing transfer
678,877 Termination of SPA
Updated portfolio data from servicer & HPDP
20,000 initial cap
Updated portfolio data from servicer & HAFA
610,000 initial cap
N/A
10014
10014
10014
Miamisburg
OH
Purchase
Financial Instrument for Home Loan Modifications
$
294,980,000
N/A
(10,000) $
590,000
$
(580,000) $
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) $
12/30/2009
$
2,180,000
$
(720,000) $
1,530,000 Updated portfolio data from servicer
$
(430,000) $
1,100,000 Updated portfolio data from servicer
$
60,445
1,160,445 Updated portfolio data from servicer
$
$
(1) $
6/29/2011
70,000
$
$
3/30/2011
$
9/30/2009
1/6/2011
Financial Instrument for Home Loan Modifications
10014
10349
(1,800,000) $
$
9/30/2010
Purchase
10014
10349
$
7/14/2010
CA
10014
10349
3,100,000 Updated portfolio data from servicer
3/26/2010
San Jose
10349
(14,260,000) $
2/17/2011
10002
10349
$
9/30/2010
10002
10349
$
7/14/2010
10002
10349
16,490,000
- Termination of SPA
Updated portfolio data from servicer & HPDP
870,000 initial cap
Updated portfolio data from servicer & HAFA
17,360,000 initial cap
3/26/2010
10002
10349
$
$
14,160,000 Updated portfolio data from servicer
12/30/2009
10002
National City Bank
$
5/13/2011
10126
6/26/2009
330,000
1/6/2011
10126
Technology Credit Union
$
3/30/2011
10126
6/26/2009
(14,160,000) $
9/30/2010
540,000
$
7/30/2010
$
$
9/30/2009
7/14/2010
Financial Instrument for Home Loan Modifications
$
3/26/2010
Purchase
11,370,000
Reason for Adjustment
12/30/2009
CA
10126
Citizens First Wholesale Mortgage Company
Adjusted Cap
5/26/2010
Anaheim
10126
6/26/2009
Cap Adjustment Amount
3/26/2010
10224
6/19/2009
Adjustment
Date
$
(12) $
9/30/2009
$
12/30/2009
$
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
$
3/16/2011
$
$
$
$
(1) $
315,170,000
$
90,280,000
$
200,000
- Termination of SPA
Updated portfolio data from servicer & HAFA
2,250,000 initial cap
1,160,444 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,160,443 reallocation
Updated due to quarterly assessment and
1,160,431 reallocation
Updated portfolio data from servicer & HPDP
610,150,000 initial cap
Updated portfolio data from servicer & HAFA
700,430,000 initial cap
681,740,000 Updated portfolio data from servicer
$
561,129,176 Transfer of cap due to servicing transfer
(100,000) $
561,029,176 Transfer of cap due to servicing transfer
68
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
Adjustment Details
Note
10349
IA
Purchase
Financial Instrument for Home Loan Modifications
$
634,010,000
N/A
Coral Gables
FL
Purchase
Financial Instrument for Home Loan Modifications
$
44,260,000
N/A
1000667
$
$
$
- $
300,000
$
(300,000) $
$
723,880,000
$
$
692,640,000
$
$
(2,050,236,344) $
3/12/2010
$
(54,767) $
558,318,998 Transfer of cap due to servicing transfer
558,618,998 Transfer of cap due to servicing transfer
558,318,998 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
1,357,890,000 initial cap
Updated portfolio data from servicer & HAFA
2,050,530,000 initial cap
Transfer of cap (to Wells Fargo Bank) due to
293,656 merger
Transfer of cap (to Wells Fargo Bank) due to
238,890 merger
Updated portfolio data from servicer & HPDP
68,110,000 initial cap
Updated portfolio data from servicer & HAFA
111,700,000 initial cap
9/30/2009
$
23,850,000
$
$
43,590,000
$
$
34,540,000
$
146,240,000 Updated portfolio data from servicer
$
147,250,000 Initial 2MP cap
5/7/2010
1000667
(34,250,000) $
$
600,000
9/30/2010
1000667
1,010,000
$
9/30/2010
1000667
$
7/14/2010
1000667
$
(15,252,303) $
$
113,000,000 Updated portfolio data from servicer
113,600,000 Initial FHA-2LP cap
98,347,697 Updated portfolio data from servicer
1/6/2011
Mentor
OH
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
$
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
10/14/2011
1000667
400,000
9/15/2011
1000667
$
6/29/2011
1000667
(86) $
5/13/2011
1000667
(70) $
$
4/13/2011
1000667
$
3/30/2011
1000667
10355
(9,197) $
3/26/2010
1000667
10355
$
558,328,195 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
558,318,998 reallocation
12/30/2009
1000667
10355
(200,000) $
2/17/2010
3
1000642
10355
$
9/30/2009
1000642
10355
558,528,195 Transfer of cap due to servicing transfer
12/30/2009
1000642
10355
558,728,195 Transfer of cap due to servicing transfer
(200,000) $
11/16/2011
Des Moines
10355
(2,300,000) $
$
8/16/2011
10349
Lake National Bank
$
10/14/2011
10349
7/10/2009
(981) $
6/29/2011
10349
$
6/16/2011
10349
Bayview Loan Servicing, LLC
Reason for Adjustment
Updated due to quarterly assessment and
561,028,195 reallocation
5/13/2011
10349
7/1/2009
Adjusted Cap
4/13/2011
10349
Wachovia Mortgage, FSB
Cap Adjustment Amount
3/30/2011
10349
7/1/2009
Adjustment
Date
$
(18,900,000) $
(771) $
$
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
250,000 initial cap
Updated portfolio data from servicer & HAFA
380,000 initial cap
9/30/2009
$
150,000
$
12/30/2009
$
130,000
$
3/26/2010
$
50,000
$
430,000 Updated portfolio data from servicer
7/14/2010
$
(30,000) $
400,000 Updated portfolio data from servicer
9/30/2010
$
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(6) $
35,167
$
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
69
Servicer Modifying Borrowers' Loans
Name of Institution
Date
7/10/2009
City
IBM Southeast Employees' Federal Credit Union
Delray Beach
Transaction
State
Type
FL
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
$
870,000
Adjustment Details
Note
N/A
700,000 Updated portfolio data from servicer
$
170,334
$
9/30/2009
Purchase
Financial Instrument for Home Loan Modifications
$
54,470,000
N/A
1000834
1000834
1000834
1000834
1000834
1000834
$
84,880,000 Updated portfolio data from servicer
$
(22,580,000) $
62,300,000 Updated portfolio data from servicer
$
(8,194,261) $
54,105,739 Updated portfolio data from servicer
$
(37) $
54,105,702 Updated portfolio data from servicer
$
(29,400,000) $
$
(34) $
5/26/2011
$
(20,077,503) $
9/30/2009
$
(36,240,000) $
$
$
35,500,000
$
58,300,000 Initial FHA-2LP cap and initial 2MP cap
9/30/2010
PA
18,360,000
9/30/2010
Pittsburgh
$
7/14/2010
11
1000957
$
3/26/2010
1000957
$
24,510,000
12/30/2009
1000957
18,530,000
3/30/2011
1000957
$
$
3/16/2011
N/A
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,320 reallocation
Updated portfolio data from servicer & HPDP
42,010,000 initial cap
Updated portfolio data from servicer & HAFA
66,520,000 initial cap
1/6/2011
23,480,000
$
(1) $
$
(1) $
$
(12) $
870,334 Updated portfolio data from servicer
9/30/2010
$
1000957
$
23,076,191
$
81,376,191 Updated portfolio data from servicer
19,280,000
$
24,705,702 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
24,705,668 reallocation
Termination of SPA
4,628,165 (remaining cap equals distribution amount)
Updated portfolio data from servicer & HPDP
18,230,000 initial cap
Updated portfolio data from servicer & HAFA
37,510,000 initial cap
$
2,470,000
$
39,980,000 Updated portfolio data from servicer
$
(17,180,000) $
22,800,000 Updated portfolio data from servicer
1/6/2011
1000834
(123) $
$
(147) $
5/13/2011
1000834
$
3/30/2011
1000834
$
(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
6/29/2011
West Salem
OH
Purchase
Financial Instrument for Home Loan Modifications
$
170,000
N/A
$
(1,382) $
10/14/2011
1000834
10612
(400,000) $
7/14/2010
Financial Instrument for Home Loan Modifications
1000957
10612
$
3/26/2010
Purchase
1000957
10612
1,100,000 Updated portfolio data from servicer
$
12/30/2009
IN
1000957
10612
(10,000) $
6/29/2011
Evansville
10612
250,000
$
1/6/2011
10029
Farmers State Bank
$
3/30/2011
10029
7/17/2009
(10,000) $
9/30/2010
10029
$
7/14/2010
10029
PNC Bank, National Association
Reason for Adjustment
Updated portfolio data from servicer & HPDP
860,000 initial cap
Updated portfolio data from servicer & HAFA
1,110,000 initial cap
3/26/2010
10029
7/17/2009
Adjusted Cap
12/30/2009
10029
MorEquity, Inc.
Cap Adjustment Amount
9/30/2009
10029
7/17/2009
Adjustment
Date
$
(300,000) $
9/30/2009
$
(90,000) $
12/30/2009
$
3/26/2010
$
7/14/2010
$
9/30/2010
$
45,056
145,056 Updated portfolio data from servicer
5/20/2011
$
(145,056) $
80,974,539 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
80,000 initial cap
Updated portfolio data from servicer & HAFA
130,000 initial cap
50,000
$
100,000
$
230,000 Updated portfolio data from servicer
(130,000) $
100,000 Updated portfolio data from servicer
$
- Termination of SPA
70
Servicer Modifying Borrowers' Loans
Name of Institution
Date
7/17/2009
City
ShoreBank
Chicago
Transaction
State
Type
IL
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
$
1,410,000
N/A
10257
890,000
$
$
1,260,000
$
$
(20,000) $
3,540,000 Updated portfolio data from servicer
$
(240,000) $
3,300,000 Updated portfolio data from servicer
$
471,446
$
3,771,446 Updated portfolio data from servicer
MI
Purchase
Financial Instrument for Home Loan Modifications
$
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) $
1,307,575,052 Transfer of cap due to servicing transfer
$
(100,000) $
1,307,475,052 Transfer of cap due to servicing transfer
$
(1,100,000) $
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
$
$
$
(14) $
6/29/2011
Southfield
1,305,790,508 Updated portfolio data from servicer
3/30/2011
10727
$
1/6/2011
10727
1,304,100,000 Updated portfolio data from servicer
1,690,508
9/30/2010
10727
(289,990,000) $
$
7/14/2010
10727
$
3/26/2010
10727
1,594,090,000 Updated portfolio data from servicer
12/30/2009
10727
$
11/16/2011
10727
124,820,000
10/14/2011
10727
$
9/15/2011
10727
$
6/29/2011
10727
250,450,000
4/13/2011
10727
$
3/30/2011
10727
(53,670,000) $
2/16/2011
10727
(38) $
$
1/6/2011
10727
$
11/16/2010
N/A
9/30/2009
10/15/2010
1,272,490,000
2,671,439 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
2,671,401 reallocation
Updated portfolio data from servicer & HPDP
1,218,820,000 initial cap
Updated portfolio data from servicer & HAFA
1,469,270,000 initial cap
9/30/2010
$
(1,100,000) $
7/14/2010
Financial Instrument for Home Loan Modifications
$
3/26/2010
Purchase
(4) $
12/30/2009
TX
(3) $
$
6/29/2011
Coppell
$
4/13/2011
10257
1000455
$
1/6/2011
10257
Mission Federal Credit Union
9/30/2009
3/30/2011
10257
7/22/2009
Reason for Adjustment
Updated portfolio data from servicer & HPDP
2,300,000 initial cap
Updated portfolio data from servicer & HAFA
3,560,000 initial cap
9/30/2010
10257
Mortgage Center, LLC
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
$
3,100,000
2,658,280
$
$
(12) $
6,750,000
$
3,771,443 Updated portfolio data from servicer
Updated due to quarterly assessment and
3,771,439 reallocation
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
1,306,375,052 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
5,990,000 initial cap
Updated portfolio data from servicer & HAFA
8,830,000 initial cap
8,558,280 Updated portfolio data from servicer
8,558,268 Updated portfolio data from servicer
Updated due to quarterly assessment and
8,558,254 reallocation
Updated due to quarterly assessment and
8,558,125 reallocation
Updated portfolio data from servicer & HPDP
370,000 initial cap
Updated portfolio data from servicer & HAFA
7,120,000 initial cap
71
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
1000455
(4) $
$
8,070,000 Updated portfolio data from servicer
$
(2,470,000) $
5,600,000 Updated portfolio data from servicer
$
$
(2) $
$
(2) $
$
(15) $
9/30/2009
$
(60,000) $
$
$
$
$
180,222
580,222 Updated portfolio data from servicer
$
(1) $
$
(1) $
$
(8) $
9/30/2009
$
(37,700,000) $
$
3/26/2010
7/14/2010
1000505
2,460,000
12/30/2009
1000505
$
6/29/2011
1000505
$
3/30/2011
N/A
680,000
1/6/2011
1,090,000
(1,530,000) $
9/30/2010
$
$
$
7/14/2010
Financial Instrument for Home Loan Modifications
9/30/2009
3/26/2010
Purchase
1000505
125,278
2,523,114
$
$
8,123,114 Updated portfolio data from servicer
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
1,030,000 initial cap
Updated portfolio data from servicer & HAFA
2,290,000 initial cap
2,070,000
$
4,360,000 Updated portfolio data from servicer
(3,960,000) $
400,000 Updated portfolio data from servicer
$
Charlotte
NC
Purchase
Financial Instrument for Home Loan Modifications
$
85,020,000
N/A
1000902
1000902
1000902
1000902
1000902
Lewisville
TX
Purchase
Financial Instrument for Home Loan Modifications
$
2,699,720,000
N/A
26,160,000
$
$
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
1000505
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
Updated portfolio data from servicer & HPDP
47,320,000 initial cap
Updated portfolio data from servicer & HAFA
73,480,000 initial cap
9/30/2010
1000505
10706
$
12/30/2009
IN
1000505
10706
(1) $
6/29/2011
West Lafayette
10706
$
725,278 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,277 reallocation
Updated due to quarterly assessment and
725,273 reallocation
Updated portfolio data from servicer & HPDP
4,930,000 initial cap
Updated portfolio data from servicer & HAFA
5,610,000 initial cap
3/30/2011
N/A
10455
10706
600,000 Updated portfolio data from servicer
1/6/2011
6,460,000
10455
10706
(180,000) $
$
9/30/2010
$
10455
10706
$
7/14/2010
Financial Instrument for Home Loan Modifications
10455
J.P. Morgan Chase Bank, NA
780,000 Updated portfolio data from servicer
3/26/2010
Purchase
10455
7/31/2009
(6,340,000) $
12/30/2009
MO
10455
Wachovia Bank, N.A.
$
6/29/2011
St. Louis
10455
7/29/2009
Reason for Adjustment
3/30/2011
1000455
Purdue Employees Federal Credit Union
Adjusted Cap
9/30/2010
1000455
7/29/2009
Cap Adjustment Amount
7/14/2010
1000455
First Bank
Note
3/26/2010
1000455
7/29/2009
Adjustment Details
Adjustment
Date
$
(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
- Termination of SPA
Updated portfolio data from servicer & HPDP
2,684,870,000 initial cap
Updated portfolio data from servicer & HAFA
3,863,050,000 initial cap
Updated portfolio data from servicer & 2MP initial
4,869,630,000 cap
72
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
Adjustment Details
Note
10706
1001020
1001020
1001020
1001020
1001020
1001020
14
Warsaw
1000840
1000840
1000840
1000840
1000840
$
(392,140,000) $
$
$
13,100,000
$
(8,006,457) $
$
(100,000) $
$
(4,400,000) $
683,063,543 Updated portfolio data from servicer
$
(802) $
683,062,741 Updated portfolio data from servicer
$
(900,000) $
$
(4,000,000) $
$
(925) $
$
(122,900,000) $
$
(8,728) $
122,700,000
IN
Purchase
Financial Instrument for Home Loan Modifications
$
420,000
N/A
3,223,321,900 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,223,317,901 reallocation
3,223,117,901 Transfer of cap due to servicing transfer
(34,606) $
3,345,817,901 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,345,783,295 reallocation
600,000
$
3,346,383,295 Transfer of cap due to servicing transfer
(400,000) $
3,345,983,295 Transfer of cap due to servicing transfer
502,430,000
$
$
(630,000) $
$
7/14/2011
1001020
Lake City Bank
(134,560,000) $
6/29/2011
1001020
$
5/13/2011
1001020
$
3/30/2011
1001020
(10,000) $
3/16/2011
1001020
$
2/16/2011
1001020
(2,800,000) $
1/6/2011
1001020
$
12/15/2010
1001020
3,865,294,604 Transfer of cap due to servicing transfer
10/15/2010
1001020
3,346,083,295 Transfer of cap due to servicing transfer
$
9/30/2010
1001020
$
519,211,309
9/30/2009
N/A
200,000
$
9/30/2010
707,380,000
$
7/16/2010
$
3,345,883,295 Transfer of cap due to servicing transfer
7/14/2010
Financial Instrument for Home Loan Modifications
(100,000) $
3/26/2010
Purchase
$
12/30/2009
TX
$
11/16/2011
Lewisville
$
10/19/2011
10706
$
10/14/2011
10706
$
9/15/2011
10706
(200,000) $
8/16/2011
10706
(3,999) $
$
7/14/2011
10706
$
6/29/2011
10706
$
5/13/2011
10706
(100,000) $
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
$
7/14/2010
$
9/30/2010
$
6/29/2011
$
180,000
$
(350,000) $
20,000
3,862,494,604 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
707,370,000 initial cap
Updated portfolio data from servicer & HAFA
1,209,800,000 initial cap
Updated portfolio data from servicer & 2MP initial
1,075,240,000 cap
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
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
600,000 initial cap
Updated portfolio data from servicer & HAFA
250,000 initial cap
$
270,000 Updated portfolio data from servicer
(70,000) $
200,000 Updated portfolio data from servicer
90,111
$
(3) $
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
290,108 reallocation
73
Servicer Modifying Borrowers' Loans
Name of Institution
Date
8/5/2009
City
Oakland Municipal Credit Union
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
Adjustment Details
Note
$
140,000
9/30/2009
N/A
1000609
1000609
(74,722) $
725,278 Updated portfolio data from servicer
10717
Houston
TX
Purchase
Financial Instrument for Home Loan Modifications
$
774,900,000
N/A
(1) $
$
(1) $
$
(200,000) $
$
(7) $
7/22/2011
$
(515,201) $
9/30/2009
$
(121,190,000) $
$
(36,290,000) $
10,068 Termination of SPA
Updated portfolio data from servicer & HPDP
552,810,000 initial cap
Updated portfolio data from servicer & HAFA
516,520,000 initial cap
$
199,320,000
$
715,840,000 Updated portfolio data from servicer
$
(189,040,000) $
526,800,000 Updated portfolio data from servicer
$
38,626,728
565,426,728 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
10717
10438
$
2/16/2011
10717
10438
800,000 Updated portfolio data from servicer
1/6/2011
N/A
10717
10438
(10,000) $
12/15/2010
674,000,000
10717
10438
$
10/15/2010
$
10717
10438
810,000 Updated portfolio data from servicer
9/30/2010
Financial Instrument for Home Loan Modifications
10717
10438
$
7/14/2010
Purchase
10717
10438
$
170,000
3/26/2010
CA
10717
10438
210,000
$
12/30/2009
North Highlands
10438
$
6/29/2011
12
1000609
10438
$
4/13/2011
1000609
10438
290,000
1/6/2011
1000609
10438
$
3/30/2011
1000609
Litton Loan Servicing LP
Reason for Adjustment
9/30/2010
Financial Instrument for Home Loan Modifications
Updated portfolio data from servicer & HPDP
430,000 initial cap
Updated portfolio data from servicer & HAFA
640,000 initial cap
7/14/2010
Purchase
1000609
8/12/2009
Adjusted Cap
3/26/2010
CA
1000609
HomEq Servicing
Cap Adjustment Amount
12/30/2009
Oakland
1000609
8/5/2009
Adjustment
Date
$
(6,168) $
9/30/2009
$
313,050,000
$
12/30/2009
$
275,370,000
$
371,526,179 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
371,525,526 reallocation
Updated due to quarterly assessment and
371,519,358 reallocation
Updated portfolio data from servicer & HPDP
1,087,950,000 initial cap
Updated portfolio data from servicer & HAFA
1,363,320,000 initial cap
3/26/2010
$
278,910,000
$
1,642,230,000 Updated portfolio data from servicer
7/14/2010
$
(474,730,000) $
1,167,500,000 Updated portfolio data from servicer
8/13/2010
$
(700,000) $
1,166,800,000 Transfer of cap to due to servicing transfer
9/15/2010
$
(1,000,000) $
1,165,800,000 Transfer of cap to due to servicing transfer
9/30/2010
$
(115,017,236) $
10/15/2010
$
(800,000) $
12/15/2010
$
800,000
$
725,277 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,276 reallocation
525,276 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
525,269 reallocation
394,626,728 Transfer of cap due to servicing transfer
1,050,782,764 Updated portfolio data from servicer
1,049,982,764 Transfer of cap due to servicing transfer
$
1,050,782,764 Updated portfolio data from servicer
(1,286) $
1,050,781,478 Updated portfolio data from servicer
1/6/2011
$
3/16/2011
$
3/30/2011
$
(1,470) $
4/13/2011
$
(3,300,000) $
8,800,000
$
1,059,581,478 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,059,580,008 reallocation
1,056,280,008 Transfer of cap due to servicing transfer
74
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
10438
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
CA
Purchase
Financial Instrument for Home Loan Modifications
$
6,210,000
N/A
$
(700,000) $
$
(13,097) $
1,055,280,008 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,055,266,911 reallocation
$
(200,000) $
1,055,066,911 Transfer of cap due to servicing transfer
$
(2,900,000) $
1,052,166,911 Transfer of cap due to servicing transfer
$
(300,000) $
1,051,866,911 Transfer of cap due to servicing transfer
$
(500,000) $
1,051,366,911 Transfer of cap due to servicing transfer
12/15/2011
Calasbasa
1,055,980,008 Transfer of cap due to servicing transfer
11/16/2011
10438
(300,000) $
10/14/2011
10438
$
9/15/2011
10438
1000744
Reason for Adjustment
7/14/2011
10438
1000744
Adjusted Cap
6/29/2011
10438
1000744
Cap Adjustment Amount
6/16/2011
10438
PennyMac Loan Services, LLC
Note
5/13/2011
10438
8/12/2009
Adjustment Details
Adjustment
Date
$
(2,600,000) $
1,048,766,911 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
5,010,000 initial cap
Updated portfolio data from servicer & HAFA
35,810,000 initial cap
9/30/2009
$
(1,200,000) $
12/30/2009
$
30,800,000
$
3/26/2010
$
23,200,000
$
6/16/2010
$
2,710,000
$
7/14/2010
$
(18,020,000) $
7/16/2010
$
6,680,000
$
43,700,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
50,380,000 servicing transfer
8/13/2010
$
2,600,000
$
52,980,000 Transfer of cap to due to servicing transfer
9/15/2010
$
(100,000) $
52,880,000 Transfer of cap to due to servicing transfer
9/30/2010
$
200,000
9/30/2010
$
(1,423,197) $
11/16/2010
$
1,400,000
12/15/2010
$
(100,000) $
52,956,803 Updated portfolio data from servicer
1/6/2011
$
(72) $
52,956,731 Updated portfolio data from servicer
1/13/2011
$
4,100,000
$
57,056,731 Transfer of cap due to servicing transfer
2/16/2011
$
(100,000) $
56,956,731 Transfer of cap due to servicing transfer
3/16/2011
$
4,000,000
3/30/2011
$
(94) $
60,956,731 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
60,956,637 reallocation
4/13/2011
$
(100,000) $
60,856,637 Transfer of cap due to servicing transfer
5/13/2011
$
5,800,000
$
66,656,637 Transfer of cap due to servicing transfer
6/16/2011
$
600,000
$
6/29/2011
$
67,256,637 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
67,255,825 reallocation
7/14/2011
$
2,500,000
$
69,755,825 Transfer of cap due to servicing transfer
$
$
$
(812) $
59,010,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
61,720,000 servicing transfer
53,080,000 Initial FHA-HAMP cap and 2MP initial cap
51,656,803 Updated portfolio data from servicer
53,056,803 Transfer of cap due to servicing transfer
9/15/2011
$
2,800,000
$
72,555,825 Transfer of cap due to servicing transfer
10/14/2011
$
300,000
$
72,855,825 Transfer of cap due to servicing transfer
11/16/2011
$
900,000
$
73,755,825 Transfer of cap due to servicing transfer
12/15/2011
$
800,000
$
74,555,825 Transfer of cap due to servicing transfer
75
Servicer Modifying Borrowers' Loans
Name of Institution
Date
8/12/2009
City
Servis One, Inc.
Titusville
Transaction
State
Type
PA
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
$
29,730,000
N/A
10454
$
$
850,000
$
$
$
100,000
$
9,400,000 Transfer of cap to due to servicing transfer
$
100,000
$
9,500,000 Initial FHA-HAMP cap
(850,000) $
10,150,000 Initial 2MP cap
9,300,000 Updated portfolio data from servicer
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
$
6/29/2011
$
31,654,972 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
31,654,438 reallocation
8/16/2011
$
9/15/2011
10454
$
6/16/2011
10454
26,355,064 Transfer of cap due to servicing transfer
5/13/2011
10454
26,255,064 Updated portfolio data from servicer
$
4/13/2011
10454
$
100,000
3/30/2011
10454
16,755,064
$
3/16/2011
10454
$
2/16/2011
10454
(52) $
(534) $
10454
Pasadena
CA
Purchase
Financial Instrument for Home Loan Modifications
$
668,440,000
N/A
$
(600,000) $
31,754,438 Transfer of cap due to servicing transfer
$
4,000,000
$
35,754,438 Transfer of cap due to servicing transfer
$
600,000
$
36,354,438 Transfer of cap due to servicing transfer
12/15/2011
10454
32,354,438 Transfer of cap due to servicing transfer
11/16/2011
10454
$
10/14/2011
10454
10008
230,000
1/13/2011
10454
10008
$
9,070,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
9,300,000 servicing transfer
1/6/2011
10454
10008
$
12/15/2010
10454
10008
$
4,330,000
9/30/2010
10454
10008
520,000
$
10/15/2010
10454
10008
$
9/30/2010
10454
$
9/15/2010
10454
9/30/2009
7/14/2010
10454
(25,510,000) $
Reason for Adjustment
Updated portfolio data from servicer & HPDP
4,220,000 initial cap
Updated portfolio data from servicer & HAFA
4,740,000 initial cap
5/19/2010
10454
10008
Adjusted Cap
4/19/2010
10454
10008
Cap Adjustment Amount
3/26/2010
10454
OneWest Bank
Note
12/30/2009
10454
8/28/2009
Adjustment Details
Adjustment
Date
700,000
$
200,000
$
36,554,438 Transfer of cap due to servicing transfer
10/2/2009
$
145,800,000
$
12/30/2009
$
1,355,930,000
$
814,240,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
2,170,170,000 initial cap
3/26/2010
$
121,180,000
$
2,291,350,000 Updated portfolio data from servicer
7/14/2010
$
(408,850,000) $
1,882,500,000 Updated portfolio data from servicer
9/30/2010
$
5,500,000
9/30/2010
$
(51,741,163) $
1/6/2011
$
(2,282) $
3/30/2011
$
(2,674) $
6/29/2011
$
(24,616) $
$
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
76
Servicer Modifying Borrowers' Loans
Name of Institution
Date
8/28/2009
City
Stanford Federal Credit Union
Palo Alto
Transaction
State
Type
CA
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
$
300,000
Adjustment Details
Note
N/A
Financial Instrument for Home Loan Modifications
$
560,000
N/A
1001018
1001018
1001018
1001018
1001018
1001018
1001018
9/2/2009 as
amended on
8/27/2010
Vantium Capital, Inc.dba Acqura Loan Services
Plano
10354
10354
10354
10354
10354
10354
10354
10354
10354
TX
Purchase
Financial Instrument for Home Loan Modifications
$
6,000,000
N/A
10
$
2,500,000 Updated portfolio data from servicer
8,300,000
$
10,800,000 Updated portfolio data from servicer
$
5,301,172
$
16,101,172 Updated portfolio data from servicer
$
(22) $
16,101,150 Updated portfolio data from servicer
$
(400,000) $
$
(25) $
$
- $
$
$
130,000
$
$
1,040,000
$
$
$
$
1,310,000 Updated portfolio data from servicer
$
(1,110,000) $
200,000 Updated portfolio data from servicer
$
100,000
$
6/29/2011
Purchase
2,110,000
$
9/30/2010
WI
$
9/30/2010
Horicon
(310,000) $
7/14/2010
1001011
$
5/12/2010
1001011
(290,111) $
$
3/26/2010
1001011
$
12/30/2009
1001011
290,111 Updated portfolio data from servicer
10/2/2009
1001011
(1,209,889) $
6/29/2011
1001011
$
4/13/2011
1001011
1,500,000 Updated portfolio data from servicer
3/30/2011
1001011
(1,900,000) $
3/16/2011
1001011
$
10/2/2009
N/A
3,400,000 Updated portfolio data from servicer
1/6/2011
570,000
$
9/30/2010
$
$
350,000
7/14/2010
Financial Instrument for Home Loan Modifications
2,680,000
$
3/26/2010
Purchase
$
370,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
3,050,000 initial cap
12/30/2009
NC
$
3/23/2010
Charlotte
70,000
9/30/2010
1000576
$
7/14/2010
1000576
Horicon Bank
Reason for Adjustment
3/26/2010
1000576
9/2/2009
Adjusted Cap
12/30/2009
1000576
RoundPoint Mortgage Servicing Corporation
Cap Adjustment Amount
10/2/2009
1000576
8/28/2009
Adjustment
Date
$
10/2/2009
$
12/30/2009
$
3/26/2010
$
$
4,330,000 Updated portfolio data from servicer
7/14/2010
$
(730,000) $
3,600,000 Updated portfolio data from servicer
9/15/2010
$
4,700,000
$
8,300,000 Transfer of cap due to servicing transfer
9/30/2010
$
117,764
$
8,417,764 Updated portfolio data from servicer
11/16/2010
$
800,000
$
12/15/2010
$
2,700,000
$
11,917,764 Updated portfolio data from servicer
1/6/2011
$
(17) $
11,917,747 Updated portfolio data from servicer
1/13/2011
$
130,000
$
(232) $
(1,680,000) $
1,260,000
$
(9,889) $
(3) $
1,310,000
$
(3,390,000) $
410,000
700,000
$
- Termination of SPA
700,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
390,000 initial cap
15,701,150 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,701,125 reallocation
15,701,125 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,700,893 reallocation
690,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
1,730,000 initial cap
50,000 Updated portfolio data from servicer
300,000 Initial RD-HAMP
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
290,108 reallocation
7,310,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
3,920,000 initial cap
9,217,764 Transfer of cap due to servicing transfer
12,617,747 Transfer of cap due to servicing transfer
77
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
10354
300,000
$
15,017,539 Transfer of cap due to servicing transfer
(189) $
14,717,728 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,717,539 reallocation
1,250,000
N/A
1000890
$
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
$
$
$
$
9/30/2010
$
1000890
$
(750,000) $
120,000
900,000 Updated portfolio data from servicer
(300,000) $
600,000 Updated portfolio data from servicer
270,334
$
1/6/2011
Owensboro
KY
Purchase
Financial Instrument for Home Loan Modifications
$
114,220,000
N/A
$
(1) $
$
(1) $
6/29/2011
1000890
1,530,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
780,000 initial cap
$
3/30/2011
1000890
$
(5) $
870,334 Updated portfolio data from servicer
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,327 reallocation
Albany
NY
Purchase
Financial Instrument for Home Loan Modifications
$
4,350,000
N/A
$
41,830,000
$
230,380,000 Updated portfolio data from servicer
$
(85,780,000) $
144,600,000 Updated portfolio data from servicer
$
$
(160) $
$
(172) $
6/29/2011
10305
139,140,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
188,550,000 initial cap
3/30/2011
10305
$
1/6/2011
10305
$
49,410,000
9/30/2010
10305
24,920,000
7/14/2010
10305
$
$
3/26/2010
10305
10/2/2009
12/30/2009
10305
$
(1,431) $
36,574,444
$
181,174,444 Updated portfolio data from servicer
181,174,284 Updated portfolio data from servicer
Updated due to quarterly assessment and
181,174,112 reallocation
Updated due to quarterly assessment and
181,172,681 reallocation
Oak Ridge
TN
Purchase
Financial Instrument for Home Loan Modifications
$
2,070,000
N/A
$
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
1000483
5,300,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
11,000,000 initial cap
3/30/2011
1000483
$
1/6/2011
1000483
$
9/30/2010
1000483
950,000
5,700,000
7/14/2010
1000483
$
$
3/26/2010
1000483
10/2/2009
12/30/2009
1000483
1000467
$
$
7/14/2010
Financial Instrument for Home Loan Modifications
1000890
1000467
$
(19) $
3/26/2010
Purchase
1000890
ORNL Federal Credit Union
$
12/30/2009
FL
1000890
9/11/2009
$
300,000
14,417,747 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,417,728 reallocation
9/15/2011
Lake Mary
CUC Mortgage Corporation
$
10/14/2011
10354
9/9/2009
$
8/16/2011
10354
1,800,000
Reason for Adjustment
6/29/2011
10354
U.S. Bank National Association
Adjusted Cap
4/13/2011
10354
9/9/2009
Cap Adjustment Amount
3/30/2011
10354
Central Florida Educators Federal Credit Union
Note
2/16/2011
10354
9/9/2009
Adjustment Details
Adjustment
Date
$
10/2/2009
$
460,000
$
12/30/2009
$
2,730,000
$
3/26/2010
$
13,280,000
$
(52) $
3,626,385 Updated portfolio data from servicer
Updated due to quarterly assessment and
3,626,379 reallocation
Updated due to quarterly assessment and
3,626,327 reallocation
2,530,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
5,260,000 initial cap
18,540,000 Updated portfolio data from servicer
78
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
1000467
FL
Purchase
Financial Instrument for Home Loan Modifications
$
250,000
N/A
$
(115) $
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
27,510,000
N/A
1000955
1000955
1000955
1000955
1000955
510,000 Updated portfolio data from servicer
$
(410,000) $
100,000 Updated portfolio data from servicer
$
45,056
$
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
$
35,167
$
435,167 Updated portfolio data from servicer
$
(1) $
435,166 Updated portfolio data from servicer
$
(435,166) $
10/2/2009
$
6,010,000
$
(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
9/30/2010
Jersey City
$
7/14/2010
1000747
280,000
3/26/2010
1000747
$
12/30/2009
1000747
310,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
230,000 initial cap
1/26/2011
N/A
(80,000) $
1/6/2011
280,000
$
$
9/30/2010
$
10/2/2009
7/14/2010
Financial Instrument for Home Loan Modifications
1000747
60,000
$
$
$
(1) $
2,973,670
$
- Termination of SPA
33,520,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
13,770,000 initial cap
9,573,667 Updated portfolio data from servicer
$
(3) $
$
(1,800,000) $
3/30/2011
1000955
350,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
970,000 initial cap
9,573,670 Updated portfolio data from servicer
1/6/2011
1000955
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
$
2/16/2011
1000955
$
(6) $
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
6/29/2011
Capitola
CA
Purchase
Financial Instrument for Home Loan Modifications
$
410,000
N/A
$
(61) $
10/14/2011
1000955
1001037
(12) $
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
3/26/2010
Purchase
1000747
1001037
$
$
12/30/2009
AR
1000747
1001037
6,817,613 Updated portfolio data from servicer
(10) $
6/29/2011
Little Rock
1001037
1,817,613
$
9/30/2010
1001029
1001037
$
7/14/2010
1001029
Bay Federal Credit Union
5,000,000 Updated portfolio data from servicer
3/26/2010
1001029
9/16/2009
(13,540,000) $
12/30/2009
1001029
Franklin Credit Management Corporation
$
6/29/2011
Ocala
1001029
9/11/2009
Reason for Adjustment
3/30/2011
1000467
Metropolitan National Bank
Adjusted Cap
1/6/2011
1000467
9/11/2009
Cap Adjustment Amount
9/30/2010
1000467
Allstate Mortgage Loans & Investments, Inc.
Note
7/14/2010
1000467
9/11/2009
Adjustment Details
Adjustment
Date
$
(100,000) $
10/2/2009
$
90,000
$
12/30/2009
$
1,460,000
$
500,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
1,960,000 initial cap
3/26/2010
$
160,000
$
2,120,000 Updated portfolio data from servicer
7/14/2010
$
(120,000) $
2,000,000 Updated portfolio data from servicer
9/30/2010
$
(1,419,778) $
580,222 Updated portfolio data from servicer
1/6/2011
$
(1) $
580,221 Updated portfolio data from servicer
7,673,600 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
Pricing
and to Servicers &
Mechanism
1001037
AMS Servicing, LLC
1001184
1001184
1001184
Sacramento
CA
Purchase
Financial Instrument for Home Loan Modifications
$
390,000
N/A
$
(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
$
100,000
$
9,222,933 Transfer of cap due to servicing transfer
480,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
1,420,000 initial cap
600,000
$
(16) $
(153) $
8,723,102 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
8,723,086 reallocation
Maumee
OH
Purchase
Financial Instrument for Home Loan Modifications
$
230,000
N/A
10/2/2009
$
90,000
$
$
940,000
$
$
(980,000) $
440,000 Updated portfolio data from servicer
$
(140,000) $
300,000 Updated portfolio data from servicer
$
1,150,556
$
(2) $
$
(2) $
6/29/2011
1001045
$
(22) $
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
Woodbridge
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
30,000
N/A
(10,000) $
290,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
280,000 initial cap
$
130,000
$
410,000 Updated portfolio data from servicer
$
(110,000) $
300,000 Updated portfolio data from servicer
$
(9,889) $
6/29/2011
10716
$
$
9/30/2010
10716
10/2/2009
7/14/2010
10716
$
(3) $
10/2/2009
$
10,000
$
12/30/2009
$
120,000
$
40,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
160,000 initial cap
3/26/2010
$
10,000
$
170,000 Updated portfolio data from servicer
7/14/2010
$
(70,000) $
100,000 Updated portfolio data from servicer
9/30/2010
$
45,056
$
1,450,556 Updated portfolio data from servicer
3/26/2010
10716
60,000
$
12/30/2009
10716
10149
8,123,114 Updated portfolio data from servicer
3/30/2011
1001045
10149
7,800,000 Updated portfolio data from servicer
$
1/6/2011
1001045
10149
$
323,114
9/30/2010
1001045
10149
5,310,000
$
5,350,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
2,260,000 initial cap
7/14/2010
1001045
Central Jersey Federal Credit Union
$
$
3/26/2010
1001045
9/23/2009
2,490,000 Updated portfolio data from servicer
(8) $
12/30/2009
1001045
Glass City Federal Credit Union
$
11/16/2011
1001184
230,000
9/15/2011
1001184
$
6/29/2011
1001184
(3,090,000) $
5/13/2011
1001184
$
4/13/2011
1001184
960,000
3/30/2011
1001184
$
3/16/2011
N/A
$
1/6/2011
4,390,000
10/2/2009
9/30/2010
$
$
7/14/2010
Financial Instrument for Home Loan Modifications
(1) $
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
$
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
290,108 reallocation
145,056 Updated portfolio data from servicer
80
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
10149
9/23/2009
Yadkin Valley Bank
NC
Purchase
Financial Instrument for Home Loan Modifications
$
240,000
N/A
NY
Purchase
Financial Instrument for Home Loan Modifications
$
440,000
N/A
$
1,360,000
$
2,010,000 Updated portfolio data from servicer
$
(1,810,000) $
200,000 Updated portfolio data from servicer
$
235,167
435,167 Updated portfolio data from servicer
$
(1) $
$
(4) $
$
300,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
650,000 initial cap
435,166 Updated portfolio data from servicer
Updated due to quarterly assessment and
435,162 reallocation
Tulsa
OK
Purchase
Financial Instrument for Home Loan Modifications
$
4,860,000
N/A
1001180
1001180
1001180
1001180
Grand Rapids
MI
Purchase
Financial Instrument for Home Loan Modifications
$
410,000
N/A
1000073
1000073
1000073
1000073
12/30/2009
$
1,030,000
$
(880,000) $
720,000 Updated portfolio data from servicer
$
(320,000) $
400,000 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
$
45,056
145,056 Updated portfolio data from servicer
$
(145,056) $
1/22/2010
$
20,000
$
430,000 Updated HPDP cap & HAFA initial cap
$
400,000
$
830,000 Updated portfolio data from servicer
$
(430,000) $
400,000 Updated portfolio data from servicer
9/30/2010
1001122
(1) $
7/14/2010
1001122
(54,944) $
$
3/26/2010
1001122
$
3/9/2011
1001122
200,000 Updated portfolio data from servicer
9/30/2010
1001122
(70,000) $
7/14/2010
1001122
$
3/26/2010
N/A
270,000 Updated portfolio data from servicer
6/29/2011
570,000
(290,000) $
3/30/2011
$
$
1/6/2011
Financial Instrument for Home Loan Modifications
$
9/30/2010
Purchase
$
20,000
7/14/2010
IL
100,000
3/26/2010
North Chicago
$
$
6/29/2011
1000924
10/2/2009
9/30/2010
1000924
$
180,222
180,222
$
$
$
$
1/6/2011
Miami Lakes
FL
Purchase
Financial Instrument for Home Loan Modifications
$
93,660,000
N/A
(1) $
$
(1) $
6/29/2011
1000073
$
3/30/2011
1000073
Bank United
$
7/14/2010
1000924
10/23/2009
$
3/26/2010
1000924
United Bank Mortgage Corporation
60,000
350,000
12/30/2009
1000924
10/21/2009
$
$
6/29/2011
Albany
10/2/2009
1/6/2011
1001000
Mortgage Clearing Corporation
- Termination of SPA
9/30/2010
1001000
10/14/2009
(145,056) $
Reason for Adjustment
7/14/2010
1001000
Great Lakes Credit Union
$
Adjusted Cap
3/26/2010
1001000
10/14/2009
Cap Adjustment Amount
12/30/2009
1001000
SEFCU
Note
10/29/2010
Elkin
1001000
9/25/2009
Adjustment Details
Adjustment
Date
$
(5) $
1/22/2010
$
4,370,000
$
540,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
560,000 initial cap
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated portfolio data from servicer & HAFA
1,600,000 initial cap
580,222 Updated portfolio data from servicer
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
Updated portfolio data from servicer & HAFA
1,960,000 initial cap
- Termination of SPA
580,222 Updated portfolio data from servicer
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,215 reallocation
98,030,000 Updated HPDP cap & HAFA initial cap
81
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
10048
1/6/2011
1000740
1000740
1000740
10/28/2009
Harleysville National Bank & Trust Company
Harleysville
PA
Purchase
Financial Instrument for Home Loan Modifications
$
1,070,000
N/A
10/28/2009
Members Mortgage Company, Inc
Woburn
MA
Purchase
Financial Instrument for Home Loan Modifications
$
510,000
N/A
10/30/2009
DuPage Credit Union
Naperville
IL
Purchase
Financial Instrument for Home Loan Modifications
$
70,000
N/A
1000585
1000585
1000585
1000585
Los Alamos
NM
Purchase
Financial Instrument for Home Loan Modifications
$
700,000
N/A
1000676
40,000
$
(760,000) $
$
2,630,000
$
2,670,000 Updated portfolio data from servicer
$
(770,000) $
1,900,000 Updated portfolio data from servicer
$
$
$
(4) $
$
(40) $
4/21/2010
$
(1,070,000) $
- Termination of SPA
4/21/2010
$
(510,000) $
- Termination of SPA
1/22/2010
$
10,000
$
$
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
565,945
$
$
(4) $
(1) $
800,000 Updated HPDP cap & HAFA initial cap
40,000 Updated portfolio data from servicer
2,465,945 Updated portfolio data from servicer
2,465,941 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,465,937 reallocation
Updated due to quarterly assessment and
2,465,897 reallocation
80,000 Updated HPDP cap & HAFA initial cap
1/22/2010
$
40,000
$
740,000 Updated HPDP cap & HAFA initial cap
$
50,000
$
790,000 Updated portfolio data from servicer
$
1,310,000
$
2,100,000 Updated portfolio data from servicer
$
75,834
$
2,175,834 Updated portfolio data from servicer
FL
Purchase
Financial Instrument for Home Loan Modifications
$
18,960,000
N/A
$
(3) $
$
(4) $
6/29/2011
Tampa
1001271
$
1/6/2011
1000676
1001271
1/22/2010
3/30/2011
1000676
1001271
(773) $
9/30/2010
1000676
1001271
(88) $
$
7/14/2010
1000676
Quantum Servicing Corporation
$
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
3/26/2010
1000676
11/18/2009
(9,900,000) $
6/29/2011
1000740
$
9/30/2010
1000740
107,050,956 Updated portfolio data from servicer
7/14/2010
1000740
(77) $
3/26/2010
1000740
$
6/29/2011
N/A
107,051,033 Updated portfolio data from servicer
3/30/2011
760,000
$
1/6/2011
$
105,300,000 Updated portfolio data from servicer
1,751,033
9/30/2010
Financial Instrument for Home Loan Modifications
(16,610,000) $
$
7/14/2010
Purchase
$
5/12/2010
MA
121,910,000 Updated portfolio data from servicer
3/26/2010
Fitchburg
$
6/29/2011
10048
23,880,000
Reason for Adjustment
3/30/2011
10048
Los Alamos National Bank
Adjusted Cap
3/16/2011
10048
$
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
$
(35) $
1/22/2010
$
3/26/2010
$
7/14/2010
$
9/30/2010
$
1/6/2011
$
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
890,000
$
19,850,000 Updated HPDP cap & HAFA initial cap
3,840,000
$
23,690,000 Updated portfolio data from servicer
(2,890,000) $
20,800,000 Updated portfolio data from servicer
9,661,676
$
30,461,676 Updated portfolio data from servicer
(46) $
30,461,630 Updated portfolio data from servicer
82
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
1001271
1000443
1000443
Coral Gables
FL
Purchase
Financial Instrument for Home Loan Modifications
$
20,000
N/A
1001304
1001304
1001304
1001304
Marix Servicing, LLC
Phoenix
10412
10412
10412
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
$
160,445
1,160,445 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
$
$
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
11/25/2009
Reason for Adjustment
4/13/2011
1001271
QLending, Inc.
Adjusted Cap
3/30/2011
1001271
11/18/2009
Cap Adjustment Amount
2/16/2011
1001271
Hillsdale County National Bank
Note
1/13/2011
1001271
11/18/2009
Adjustment Details
Adjustment
Date
$
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
1/22/2010
$
950,000
3/26/2010
$
(17,880,000) $
6/16/2010
$
1,030,000
7/14/2010
$
(1,160,000) $
8/13/2010
$
800,000
$
4,100,000 Transfer of cap due to servicing transfer
9/30/2010
$
200,000
$
4,300,000 Initial FHA-HAMP cap and initial RD-HAMP
9/30/2010
$
1,357,168
$
5,657,168 Updated portfolio data from servicer
1/6/2011
$
(1) $
5,657,167 Updated portfolio data from servicer
3/16/2011
$
3/30/2011
$
4/13/2011
$
7,300,000
$
18,657,161 Transfer of cap due to servicing transfer
5/13/2011
$
300,000
$
18,957,161 Transfer of cap due to servicing transfer
(58) $
(559) $
$
$
(10,000) $
(1) $
5,700,000
$
$
$
(6) $
10,000 Updated portfolio data from servicer
21,310,000 Updated HPDP cap & HAFA initial cap
3,430,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
4,460,000 servicing transfer
3,300,000 Updated portfolio data from servicer
11,357,167 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
11,357,161 reallocation
83
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
Adjustment Details
Note
10412
Purchase
Financial Instrument for Home Loan Modifications
$
230,000
11/25/2009
First Keystone Bank
Media
PA
Purchase
Financial Instrument for Home Loan Modifications
$
1,280,000
10519
10519
10519
10519
$
$
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
$
50,556
1,450,556 Updated portfolio data from servicer
(230,000) $
$
- Termination of SPA
9,430,000
N/A
10223
10223
10223
10223
10223
Fairbanks
AK
Purchase
Financial Instrument for Home Loan Modifications
$
360,000
N/A
1000475
1000475
1000475
1000475
1000475
1000475
East Hartford
CT
Purchase
Financial Instrument for Home Loan Modifications
$
1,590,000
N/A
$
520,000
$
910,000 Updated portfolio data from servicer
$
(810,000) $
100,000 Updated portfolio data from servicer
$
45,056
$
1/22/2010
$
440,000
$
$
14,480,000
$
24,350,000 Updated portfolio data from servicer
$
(24,200,000) $
150,000 Updated portfolio data from servicer
$
150,000
300,000 Updated portfolio data from servicer
$
(9,889) $
$
(3) $
1/22/2010
$
$
$
$
100,000
$
1,200,000 Initial FHA-HAMP cap
$
105,500
$
1,305,500 Updated portfolio data from servicer
$
(2) $
1,305,498 Updated portfolio data from servicer
2/17/2011
$
390,000 Updated HPDP cap & HAFA initial cap
1/6/2011
Financial Instrument for Home Loan Modifications
$
9/30/2010
Purchase
10,000
9/30/2010
ID
(1,335,614) $
$
7/14/2010
Boise
$
1/22/2010
3/26/2010
1000978
7/22/2011
6/29/2011
1000978
(21) $
9/30/2010
1000978
$
7/14/2010
N/A
(100,000) $
5/26/2010
380,000
$
3/26/2010
$
(2) $
6/29/2011
Financial Instrument for Home Loan Modifications
(2) $
$
9/30/2010
Purchase
$
7/14/2010
PA
1000978
1001228
20,257,007 Transfer of cap due to servicing transfer
3/26/2010
12
Clarks Summit
American Eagle Federal Credit Union
$
6/29/2011
10519
12/9/2009
300,000
6/16/2011
10519
Spirit of Alaska Federal Credit Union
$
(154) $
19,857,161 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
19,857,007 reallocation
1/6/2011
10519
12/9/2009
$
3/30/2011
10519
Idaho Housing and Finance Association
19,957,007 Transfer of cap due to servicing transfer
1/22/2010
N/A
$
4/21/2010
N/A
100,000
9/30/2010
FL
$
7/14/2010
Coral Gables
$
3/26/2010
Home Financing Center, Inc
$
8/16/2011
11/25/2009
900,000
Reason for Adjustment
7/14/2011
10412
12/4/2009
Adjusted Cap
6/29/2011
10412
Community Bank & Trust Company
Cap Adjustment Amount
6/16/2011
10412
12/4/2009
Adjustment
Date
$
(1,305,498) $
1/22/2010
$
70,000
3/26/2010
$
(290,000) $
$
(1) $
$
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
$
850,000
$
1,220,000 Updated portfolio data from servicer
(120,000) $
1,100,000 Updated portfolio data from servicer
$
370,000 Updated HPDP cap & HAFA initial cap
- Termination of SPA
1,660,000 Updated HPDP cap & HAFA initial cap
1,370,000 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
Pricing
and to Servicers &
Mechanism
1001228
NV
Purchase
Financial Instrument for Home Loan Modifications
$
1,880,000
N/A
(1) $
$
(13) $
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
1/22/2010
$
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
$
FL
Purchase
Financial Instrument for Home Loan Modifications
$
230,000
N/A
10141
10141
10141
10141
Sacramento
CA
Purchase
Financial Instrument for Home Loan Modifications
$
6,160,000
N/A
1,015,389 Updated portfolio data from servicer
$
(1) $
$
(2) $
$
(16) $
1/22/2010
$
10,000
$
240,000 Updated HPDP cap & HAFA initial cap
$
440,000
$
680,000 Updated portfolio data from servicer
$
(80,000) $
600,000 Updated portfolio data from servicer
$
(19,778) $
580,222 Updated portfolio data from servicer
$
(580,222) $
1/22/2010
$
7/14/2010
Tampa
(6,384,611) $
3/26/2010
1001269
$
10/15/2010
1001269
$
9/30/2010
1001269
$
7/14/2010
1001269
$
3/26/2010
1001269
1/22/2010
6/29/2011
N/A
(26) $
3/30/2011
2,940,000
$
1/6/2011
$
(3) $
9/30/2010
Financial Instrument for Home Loan Modifications
(2) $
$
7/14/2010
Purchase
$
3/26/2010
LA
1001269
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
140,000
$
3,080,000 Updated HPDP cap & HAFA initial cap
6,300,000
$
9,380,000 Updated portfolio data from servicer
(1,980,000) $
7,400,000 Updated portfolio data from servicer
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
1001226
1001226
Spokane
WA
Purchase
Financial Instrument for Home Loan Modifications
$
2,250,000
N/A
$
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) $
6/29/2011
1001226
6,450,000 Updated HPDP cap & HAFA initial cap
3/30/2011
1001226
$
1/6/2011
1001226
290,000
9/30/2010
1001226
1000638
$
$
6/29/2011
New Orleans
1000638
870,334 Updated portfolio data from servicer
(1) $
1/6/2011
1001075
Sterling Savings Bank
70,334
$
3/30/2011
1001075
12/9/2009
$
9/30/2010
1001075
The Golden 1 Credit Union
800,000 Updated portfolio data from servicer
7/14/2010
1001075
12/9/2009
(570,000) $
3/26/2010
1001075
Bay Gulf Credit Union
$
6/29/2011
Las Vegas
1001075
12/9/2009
Reason for Adjustment
3/30/2011
1001228
Fidelity Homestead Savings Bank
Adjusted Cap
1/6/2011
1001228
12/9/2009
Cap Adjustment Amount
9/30/2010
1001228
Silver State Schools Credit Union
Note
7/14/2010
1001228
12/9/2009
Adjustment Details
Adjustment
Date
$
(35) $
1/22/2010
$
3/26/2010
$
(740,000) $
1,610,000 Updated portfolio data from servicer
7/14/2010
$
(710,000) $
900,000 Updated portfolio data from servicer
$
(4) $
100,000
$
4,206,608 Updated portfolio data from servicer
Updated due to quarterly assessment and
4,206,604 reallocation
Updated due to quarterly assessment and
4,206,569 reallocation
2,350,000 Updated HPDP cap & HAFA initial cap
85
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
Adjustment Details
Note
1000638
Glenview
IL
Purchase
Financial Instrument for Home Loan Modifications
$
370,000
N/A
1000558
1000558
Seattle
WA
Purchase
Financial Instrument for Home Loan Modifications
$
600,000
N/A
$
$
1,250,000
$
$
(1,640,000) $
390,000 Updated HPDP cap & HAFA initial cap
1,640,000 Updated portfolio data from servicer
- Termination of SPA
$
30,000
$
$
400,000
$
1,030,000 Updated portfolio data from servicer
630,000 Updated HPDP cap & HAFA initial cap
$
(330,000) $
700,000 Updated portfolio data from servicer
$
25,278
$
725,278 Updated portfolio data from servicer
725,277 Updated portfolio data from servicer
Bryn Mawr
PA
Purchase
Financial Instrument for Home Loan Modifications
$
150,000
N/A
9
1000631
Spring Valley
IL
Purchase
Financial Instrument for Home Loan Modifications
$
620,000
N/A
30,000
$
$
800,000
$
1,460,000 Updated portfolio data from servicer
$
(360,000) $
1,100,000 Updated portfolio data from servicer
$
60,445
1,160,445 Updated portfolio data from servicer
$
$
(2) $
$
(18) $
4/21/2010
1000753
$
6/29/2011
1000753
(725,277) $
1/22/2010
N/A
(1) $
$
3/30/2011
630,000
$
1/6/2011
$
1000753
1000438
20,000
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,319 reallocation
9/30/2010
Financial Instrument for Home Loan Modifications
1000753
1000438
$
(1) $
7/14/2010
Purchase
1000753
1000438
(13) $
800,000 Updated portfolio data from servicer
3/26/2010
WI
1000753
1000438
(1) $
$
1,150,000 Updated portfolio data from servicer
1/6/2011
Hartford
Citizens 1st National Bank
$
$
2/17/2011
10139
12/16/2009
$
820,000
(350,000) $
$
330,000 Updated HPDP cap & HAFA initial cap
9/30/2010
10139
The Bryn Mawr Trust Co.
870,334 Updated portfolio data from servicer
$
7/14/2010
10139
12/11/2009
70,334
20,000
1/22/2010
10139
Hartford Savings Bank
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
3/26/2010
10139
12/11/2009
$
5/26/2010
10125
$
3/26/2010
10125
$
1/22/2010
10125
$
6/29/2011
10125
(11) $
1/22/2010
N/A
$
3/30/2011
310,000
(1) $
1/6/2011
$
(1) $
$
9/30/2010
Financial Instrument for Home Loan Modifications
$
7/14/2010
Purchase
10125
Verity Credit Union
1,450,556 Updated portfolio data from servicer
3/26/2010
IL
10125
12/11/2009
$
6/29/2011
Manteno
Glenview State Bank
550,556
Reason for Adjustment
1/6/2011
1000638
12/11/2009
$
Adjusted Cap
3/30/2011
1000638
HomeStar Bank & Financial Services
Cap Adjustment Amount
9/30/2010
1000638
12/11/2009
Adjustment
Date
$
(150,000) $
6/16/2011
$
100,000
$
100,000 Transfer of cap due to servicing transfer
1/22/2010
$
30,000
$
650,000 Updated HPDP cap & HAFA initial cap
3/26/2010
$
(580,000) $
7/14/2010
$
1,430,000
$
1,500,000 Updated portfolio data from servicer
9/30/2010
$
95,612
$
1,595,612 Updated portfolio data from servicer
1/6/2011
$
(2) $
1,595,610 Updated portfolio data from servicer
$
(2) $
- Termination of SPA
660,000 Updated HPDP cap & HAFA initial cap
1,160,443 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,160,441 reallocation
Updated due to quarterly assessment and
1,160,423 reallocation
- Termination of SPA
70,000 Updated portfolio data from servicer
86
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
1000438
12/16/2009
Sound Community Bank
440,000
N/A
10524
10524
10524
12/16/2009
Michigan City
Horizon Bank, NA
IN
Purchase
Financial Instrument for Home Loan Modifications
$
700,000
N/A
1000825
1000825
1000825
1000825
1000825
1000825
12/16/2009
Solon
Park View Federal Savings Bank
OH
Purchase
Financial Instrument for Home Loan Modifications
$
760,000
N/A
10025
10025
10025
10025
10025
10025
12/23/2009
Sarasota
Iberiabank
1001411
1001411
1001411
1001411
1001411
1001411
FL
Purchase
Financial Instrument for Home Loan Modifications
$
4,230,000
N/A
1/22/2010
$
160,000
$
(3,620,000) $
1/22/2010
$
20,000
$
$
1,430,000
$
1,890,000 Updated portfolio data from servicer
$
(390,000) $
1,500,000 Updated portfolio data from servicer
$
(1,500,000) $
1/22/2010
$
30,000
$
$
1,740,000
$
2,470,000 Updated portfolio data from servicer
$
(1,870,000) $
600,000 Updated portfolio data from servicer
$
850,556
$
$
(2) $
$
(23) $
1/22/2010
$
40,000
$
800,000 Updated HPDP cap & HAFA initial cap
$
140,000
$
940,000 Updated portfolio data from servicer
$
(140,000) $
800,000 Updated portfolio data from servicer
$
70,334
870,334 Updated portfolio data from servicer
$
(1) $
$
(1) $
6/29/2011
$
(290,111) $
3/30/2011
Financial Instrument for Home Loan Modifications
90,111
$
1/6/2011
Purchase
$
9/30/2010
WA
200,000 Updated portfolio data from servicer
7/14/2010
Seattle
1000828
(10,000) $
3/26/2010
N/A
$
6/29/2011
3,460,000
210,000 Updated portfolio data from servicer
3/30/2011
$
$
1/6/2011
Financial Instrument for Home Loan Modifications
30,000
9/30/2010
Purchase
$
7/14/2010
OH
180,000 Updated HPDP cap & HAFA initial cap
3/26/2010
Lakewood
$
9/8/2010
1001397
10,000
7/14/2010
1001397
$
3/26/2010
N/A
$
4/21/2010
170,000
1/22/2010
2/17/2011
$
$
9/30/2010
Financial Instrument for Home Loan Modifications
(3) $
Reason for Adjustment
Updated due to quarterly assessment and
1,595,607 reallocation
Updated due to quarterly assessment and
1,595,583 reallocation
7/14/2010
Purchase
1001397
First Federal Savings and Loan Association of Lakewood
Adjusted Cap
3/26/2010
KS
1001397
12/16/2009
Cap Adjustment Amount
6/29/2011
Garden City
Golden Plains Credit Union
Note
3/30/2011
1000438
12/16/2009
Adjustment Details
Adjustment
Date
$
1/22/2010
$
200,000
3/26/2010
$
(1,470,000) $
2,960,000 Updated portfolio data from servicer
7/14/2010
$
(1,560,000) $
1,400,000 Updated portfolio data from servicer
9/30/2010
$
1/6/2011
$
(11) $
3/30/2011
$
(13) $
4/13/2011
$
(300,000) $
(24) $
$
$
$
(2) $
$
(12) $
5,852,780
$
$
290,111 Updated portfolio data from servicer
- Termination of SPA
3,620,000 Updated HPDP cap & HAFA initial cap
- Termination of SPA
460,000 Updated HPDP cap & HAFA initial cap
- Termination of SPA
730,000 Updated HPDP cap & HAFA initial cap
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
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,320 reallocation
4,430,000 Updated HPDP cap & HAFA initial cap
7,252,780 Updated portfolio data from servicer
7,252,769 Updated portfolio data from servicer
Updated due to quarterly assessment and
7,252,756 reallocation
6,952,756 Transfer of cap due to servicing transfer
87
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
Financial Instrument for Home Loan Modifications
$
340,000
N/A
1001192
1001192
$
800,000 Updated portfolio data from servicer
$
(74,722) $
725,278 Updated portfolio data from servicer
40,000 Updated portfolio data from servicer
$
110,000
N/A
1000703
Fresno
CA
Purchase
Financial Instrument for Home Loan Modifications
$
260,000
N/A
10507
10507
10507
$
(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
$
$
$
10,000
$
100,000 Updated portfolio data from servicer
$
45,056
$
145,056 Updated portfolio data from servicer
$
(145,056) $
3/26/2010
$
$
740,000 Updated portfolio data from servicer
$
(140,000) $
600,000 Updated portfolio data from servicer
9/30/2010
Financial Instrument for Home Loan Modifications
(1) $
7/14/2010
Purchase
(1) $
$
12/8/2010
AZ
$
9/30/2010
N/A
1000703
$
(19,778) $
580,222 Updated portfolio data from servicer
-
$
(20,000) $
480,000
725,277 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,276 reallocation
Updated due to quarterly assessment and
725,265 reallocation
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
1001235
1001235
1001235
1001235
Grant Park
IL
Purchase
Financial Instrument for Home Loan Modifications
$
140,000
N/A
1000901
1000901
1000901
Highlands Ranch
CO
Purchase
Financial Instrument for Home Loan Modifications
$
64,150,000
N/A
$
$
(1) $
870,333 Updated portfolio data from servicer
$
(870,333) $
3/26/2010
$
150,000
$
290,000 Updated portfolio data from servicer
$
10,000
$
300,000 Updated portfolio data from servicer
$
(9,889) $
290,111 Updated portfolio data from servicer
1/26/2011
N/A
$
9/30/2010
240,000
$
7/14/2010
$
3/26/2010
3/23/2011
Financial Instrument for Home Loan Modifications
(8) $
1/6/2011
Purchase
$
9/30/2010
NJ
(1) $
7/14/2010
Roebling
(1) $
$
6/29/2011
10507
$
3/30/2011
10507
Specialized Loan Servicing, LLC
760,000
7/14/2010
60,000
1000703
1/13/2010
(320,000) $
$
3/26/2010
Tempe
First National Bank of Grant Park
$
360,000 Updated HPDP cap & HAFA initial cap
5/20/2011
$
1000703
1/13/2010
20,000
9/30/2010
Financial Instrument for Home Loan Modifications
1001078
Roebling Bank
$
7/14/2010
Purchase
1001078
1/13/2010
1/22/2010
$
25,502 Termination of SPA
3/26/2010
OH
1001078
Fresno County Federal Credit Union
(6,927,254) $
6/29/2011
Eaton
1001078
1/13/2010
$
1/6/2011
1001192
Tempe Schools Credit Union
6/3/2011
3/30/2011
1001192
12/23/2009
Reason for Adjustment
9/30/2010
Purchase
1001192
Eaton National Bank & Trust Company
Adjusted Cap
7/14/2010
MA
1001192
12/23/2009
Cap Adjustment Amount
3/26/2010
North Grafton
Grafton Suburban Credit Union
Note
12
1001411
12/23/2009
Adjustment Details
Adjustment
Date
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
$
(290,111) $
3/26/2010
$
(51,240,000) $
610,000
$
850,000 Updated portfolio data from servicer
50,000
$
900,000 Updated portfolio data from servicer
(29,666) $
870,334 Updated portfolio data from servicer
- Termination of SPA
- Termination of SPA
12,910,000 Updated portfolio data from servicer
88
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
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
5/14/2010
$
3,000,000
$
6/16/2010
$
4,860,000
$
7/14/2010
$
3,630,000
$
7/16/2010
$
330,000
$
24,400,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
24,730,000 servicing transfer
8/13/2010
$
700,000
$
25,430,000 Transfer of cap due to servicing transfer
9/15/2010
$
200,000
$
25,630,000 Transfer of cap due to servicing transfer
9/30/2010
$
(1,695,826) $
11/16/2010
$
200,000
1/6/2011
$
1/13/2011
$
1,500,000
$
25,634,142 Transfer of cap due to servicing transfer
3/16/2011
$
7,100,000
$
3/30/2011
$
32,734,142 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
32,734,106 reallocation
4/13/2011
$
$
(32) $
(36) $
1,000,000
$
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
33,734,106 Transfer of cap due to servicing transfer
89
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
1000635
Purchase
Financial Instrument for Home Loan Modifications
$
770,000
N/A
$
3,050,000
N/A
CA
Purchase
Financial Instrument for Home Loan Modifications
$
960,000
N/A
1001415
1001415
1001415
300,000
$
34,533,774 Transfer of cap due to servicing transfer
$
300,000
$
34,833,774 Transfer of cap due to servicing transfer
$
(1,700,000) $
33,133,774 Transfer of cap due to servicing transfer
3/26/2010
$
8,680,000
$
9,450,000 Updated portfolio data from servicer
$
(8,750,000) $
700,000 Updated portfolio data from servicer
$
170,334
870,334 Updated portfolio data from servicer
$
(1) $
$
(1) $
$
3/26/2010
$
$
(15,240,000) $
3/26/2010
$
(730,000) $
$
$
$
$
$
(8) $
12,190,000
$
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,324 reallocation
15,240,000 Updated portfolio data from servicer
- Termination of SPA
230,000 Updated portfolio data from servicer
370,000
$
600,000 Updated portfolio data from servicer
200,000
$
800,000 Initial FHA-HAMP cap and initial 2MP cap
(364,833) $
100,000
$
435,167 Updated portfolio data from servicer
535,167 Transfer of cap due to servicing transfer
1/6/2011
540,000
N/A
1000893
1000893
1000893
1000893
Lake Mary
FL
Purchase
Financial Instrument for Home Loan Modifications
$
1,060,000
N/A
1001435
Irving
TX
Purchase
Financial Instrument for Home Loan Modifications
$
28,040,000
N/A
$
160,000
$
700,000 Updated portfolio data from servicer
$
25,278
$
725,278 Updated portfolio data from servicer
$
(1) $
$
(1) $
$
(11) $
7/14/2010
$
9/24/2010
$
3/26/2010
6/29/2011
Financial Instrument for Home Loan Modifications
(7) $
3/30/2011
Purchase
$
1/6/2011
GA
(1) $
9/30/2010
Griffin
(1) $
$
6/29/2011
1001415
$
3/30/2011
1001415
1001384
$
11/16/2010
Financial Instrument for Home Loan Modifications
1001415
1001384
34,233,774 Transfer of cap due to servicing transfer
9/30/2010
Purchase
1001415
1001384
$
9/30/2010
MA
San Diego
iServe Servicing, Inc.
100,000
7/14/2010
Marlborough
10416
3/5/2010
$
5/14/2010
10517
Urban Trust Bank
34,134,106 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
34,133,774 reallocation
6/29/2011
10517
3/3/2010
$
(332) $
3/30/2011
10517
United Bank
300,000
$
1/6/2011
10517
1/29/2010
$
9/30/2010
10517
iServe Residential Lending, LLC
33,834,106 Transfer of cap due to servicing transfer
7/14/2010
NV
$
12/15/2011
Carson City
100,000
10/14/2011
1000635
$
9/15/2011
1000635
1/29/2010
Reason for Adjustment
8/16/2011
1000635
Digital Federal Credit Union
Adjusted Cap
6/29/2011
1000635
1/15/2010
Cap Adjustment Amount
6/16/2011
1000635
Greater Nevada Mortgage Services
Note
5/13/2011
1000635
1/13/2010
Adjustment Details
Adjustment
Date
$
(5,500,000) $
5/26/2010
$
120,000
7/14/2010
$
(12,660,000) $
9/30/2010
$
100,000
9/30/2010
$
(3,125,218) $
4,440,000
$
$
$
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
90
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
1001384
1001384
1001384
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
800,000
Adjusted Cap
11/16/2010
$
$
1/6/2011
$
(20) $
3/30/2011
$
(24) $
Reason for Adjustment
13,274,782 Transfer of cap due to servicing transfer
13,274,762 Updated portfolio data from servicer
Updated due to quarterly assessment and
13,274,738 reallocation
91
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
Adjustment Details
Note
1001384
3/10/2010
7/14/2010
Financial Instrument for Home Loan Modifications
$
300,000
1000468
1000468
1000468
1000468
Elmwood Park
Midwest Bank and Trust Co.
IL
Purchase
Financial Instrument for Home Loan Modifications
$
300,000
N/A
1001521
1001521
$
(1) $
$
(11) $
$
300,000
$
600,000 Updated portfolio data from servicer
$
(19,778) $
580,222 Updated portfolio data from servicer
(1) $
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
Financial Instrument for Home Loan Modifications
$
10,000
N/A
4, 8
10425
Houston
TX
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
(1) $
$
(1) $
$
(8) $
$
(580,212) $
$
(150,000) $
6,400,000 Updated portfolio data from servicer
$
1,600,000
8,000,000 Transfer of cap due to servicing transfer
$
(4,352,173) $
$
(5) $
$
(6) $
$
(3,000,000) $
$
(9) $
5/26/2010
$
30,000
$
$
250,111
$
6/29/2011
Purchase
$
9/30/2010
NJ
10425
1001460
$
6/29/2011
Marlton
1001460
725,278 Updated portfolio data from servicer
7/14/2010
N/A
1000657
1001460
$
4/13/2011
6,550,000
1000657
1001460
25,278
3/30/2011
$
1000657
1001460
$
1/6/2011
Financial Instrument for Home Loan Modifications
1000657
1001460
700,000 Updated portfolio data from servicer
9/30/2010
Purchase
1000657
Selene Finance LP
$
(238) $
9/15/2010
OR
1000657
6/16/2010
400,000
7/14/2011
Beaverton
Aurora Financial Group, Inc.
$
6/29/2011
1001521
5/21/2010
$
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
1/6/2011
1001521
Wealthbridge Mortgage Corp
(26) $
$
3/30/2011
1001521
4/14/2010
$
7/14/2010
N/A
(23) $
9/30/2010
Purchase
$
6/29/2011
PA
16,971,505 Updated portfolio data from servicer
3/30/2011
Wyomissing
15,900,000 Updated portfolio data from servicer
1,071,505
1/6/2011
1000494
(44,880,000) $
$
7/14/2010
N/A
$
9/30/2010
60,780,000
(221) $
6/29/2011
$
$
3/30/2011
Financial Instrument for Home Loan Modifications
1000494
4/14/2010
Reason for Adjustment
Updated due to quarterly assessment and
13,274,517 reallocation
1/6/2011
Purchase
1000494
Vist Financial Corp
Adjusted Cap
9/30/2010
VA
1000494
3/10/2010
Cap Adjustment Amount
6/29/2011
Vienna
Navy Federal Credit Union
Adjustment
Date
$
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
8/13/2010
$
3,300,000
$
6,980,000 Transfer of cap due to servicing transfer
$
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
- Termination of SPA
3,647,827 Updated portfolio data from servicer
3,647,822 Updated portfolio data from servicer
Updated due to quarterly assessment and
3,647,816 reallocation
647,816 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
647,807 reallocation
40,000 Updated FHA-HAMP cap
9/30/2010
$
3,043,831
$
10,023,831 Updated portfolio data from servicer
10/15/2010
$
1,400,000
$
11,423,831 Transfer of cap due to servicing transfer
1/6/2011
$
3/16/2011
$
3/30/2011
$
(17) $
2,100,000
$
(24) $
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
92
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
Adjustment Details
Note
1001460
$
880,000
1000602
1000602
Cincinanati
Bramble Savings Bank
OH
Purchase
Financial Instrument for Home Loan Modifications
$
700,000
N/A
1001708
NY
Purchase
Financial Instrument for Home Loan Modifications
$
1,300,000
$
$
(2) $
$
(3) $
$
(28) $
$
(1,740,634) $
$
2,181,334
$
1,740,667 Updated portfolio data from servicer
1,740,665 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,740,662 reallocation
Updated due to quarterly assessment and
1,740,634 reallocation
- Termination of SPA
3,481,334 Updated portfolio data from servicer
NC
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
Chicago
IL
Purchase
Financial Instrument for Home Loan Modifications
$
3,100,000
N/A
4, 8
$
(5) $
$
(6) $
$
(58) $
9/30/2010
N/A
1001421
1001727
$
$
$
$
(20) $
$
(192) $
9/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
$
34,944
$
$
40,000
$
6/29/2011
4,300,000
1001421
1001727
(40) $
3/30/2011
$
1001421
1001727
$
1/6/2011
Raleigh
1001727
(4) $
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
6/29/2011
Financial Instrument for Home Loan Modifications
1000951
1001727
$
2,465,945 Updated portfolio data from servicer
3/30/2011
Purchase
1000951
1001727
$
(4) $
1/6/2011
ID
1000951
1001727
1,585,945
$
6/29/2011
Terre Haute
Fay Servicing, LLC
$
16,223,790 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
16,223,517 reallocation
1/6/2011
1001240
9/3/2010
17,423,517 Transfer of cap due to servicing transfer
1,040,667
16,423,790 Transfer of cap due to servicing transfer
3/30/2011
1001240
RBC Bank (USA)
$
9/30/2010
N/A
1001240
9/1/2010
1,100,000
8/10/2011
Oswego
First Financial Bank, N.A.
$
6/29/2011
1001708
8/27/2010
16,323,517 Transfer of cap due to servicing transfer
1/6/2011
1001708
Pathfinder Bank
$
3/30/2011
1001708
8/25/2010
100,000
9/30/2010
1000602
$
9/30/2010
N/A
(273) $
6/29/2011
Financial Instrument for Home Loan Modifications
(200,000) $
$
3/30/2011
Purchase
$
1/6/2011
NM
2,900,000
11/16/2011
Albuquerque
$
10/14/2011
1001460
$
Reason for Adjustment
6/29/2011
1001460
8/20/2010
Adjusted Cap
6/16/2011
1001460
Suburban Mortgage Company of New Mexico
Cap Adjustment Amount
4/13/2011
1001460
8/4/2010
Adjustment
Date
$
50,000
$
180,000 Updated portfolio data from servicer
Updated due to quarterly assessment and
220,000 reallocation
Updated due to quarterly assessment and
270,000 reallocation
9/30/2010
$
5,168,169
$
1/6/2011
$
(12) $
3/30/2011
$
(15) $
4/13/2011
$
6/29/2011
$
9/15/2011
$
700,000
$
9,367,999 Transfer of cap due to servicing transfer
10/14/2011
$
100,000
$
9,467,999 Transfer of cap due to servicing transfer
11/16/2011
$
200,000
$
9,667,999 Transfer of cap due to servicing transfer
7,014,337
$
(17) $
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
93
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
Adjustment Details
Note
1001727
9/15/2010
Financial Instrument for Home Loan Modifications
$
400,000
1000879
1000879
Pasadena
CA
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
Ottawa
American Finance House LARIBA
IL
Purchase
Financial Instrument for Home Loan Modifications
$
1,900,000
N/A
1000704
9/24/2010
Centrue Bank
N/A
TX
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
PR
Purchase
Financial Instrument for Home Loan Modifications
$
1,700,000
N/A
4, 5, 8
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
N/A
1001930
9/24/2010
Citizens Community Bank
1001848
1001848
$
12,000,000
$
26,650,303 Transfer of cap due to servicing transfer
$
4,100,000
$
30,750,303 Transfer of cap due to servicing transfer
$
180,222
$
580,222 Updated portfolio data from servicer
$
(1) $
$
(1) $
$
$
45,056
$
(145,056) $
$
(8) $
4, 8
856,056
$
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
145,056 Updated portfolio data from servicer
- Termination of SPA
$
2,756,056 Updated portfolio data from servicer
$
(4) $
2,756,052 Updated portfolio data from servicer
$
(2,756,052) $
$
45,056
$
(145,056) $
9/30/2010
$
45,056
$
9/30/2010
$
$
9/30/2010
$
$
$
(4) $
$
(36) $
9/30/2010
$
6/29/2011
100,000
San Juan
Banco Popular de Puerto Rico
(227) $
6/29/2011
$
1001726
9/30/2010
$
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
3/30/2011
Financial Instrument for Home Loan Modifications
Parsippany
American Financial Resources Inc.
$
(24) $
1/6/2011
Purchase
1000478
9/30/2010
10,200,000
$
6/29/2011
SC
Amarillo
Amarillo National Bank
$
6/29/2011
Columbia
1001220
9/30/2010
4,450,554 Transfer of cap due to servicing transfer
3/23/2011
10204
AgFirst Farm Credit Bank
$
9/30/2010
10204
9/30/2010
3,000,000
9/30/2010
1000879
$
9/30/2010
N/A
1,450,554 Updated portfolio data from servicer
3/9/2011
Purchase
(2) $
1/6/2011
IL
$
2/2/2011
Freeport
1,450,556 Updated portfolio data from servicer
6/29/2011
1001557
1,000,000 Transfer of cap due to servicing transfer
$
3/30/2011
1001557
$
450,556
1/6/2011
1001557
1,000,000
$
9/30/2010
1001557
$
12/15/2011
1001557
9/15/2010
7/14/2011
9
11,367,999 Transfer of cap due to servicing transfer
6/29/2011
N/A
$
3/30/2011
-
1,700,000
3/16/2011
$
$
2/16/2011
Financial Instrument for Home Loan Modifications
1001557
9/24/2010
Reason for Adjustment
1/6/2011
Purchase
1001557
Midwest Community Bank
Adjusted Cap
9/30/2010
OK
1001557
9/15/2010
Cap Adjustment Amount
12/15/2011
Oklahoma City
Vericrest Financial, Inc.
Adjustment
Date
$
9/30/2010
$
1/6/2011
3/23/2011
$
$
(1) $
45,056
$
(1) $
765,945
$
(3) $
45,056
$
(1) $
360,445
- 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
$
1,160,445 Updated portfolio data from servicer
$
(2) $
1,160,443 Updated portfolio data from servicer
$
(1,160,443) $
- Termination of SPA
94
Servicer Modifying Borrowers' Loans
Name of Institution
Date
9/30/2010
City
Rockledge
Community Credit Union of Florida
Transaction
State
Type
FL
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
$
2,000,000
N/A
Adjustment Details
Note
6
$
100,000
N/A
4, 8
Lake City
FL
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
Diamond Bar
CA
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
Cincinnati
OH
Purchase
Financial Instrument for Home Loan Modifications
$
400,000
N/A
10616
First Federal Bank of Florida
10364
9/30/2010
First Mortgage Coporation
10253
9/30/2010
First Safety Bank
1000487
$
9/30/2010
$
$
$
45,056
$
(1) $
45,056
$
(1) $
180,222
7, 8
OH
Purchase
Financial Instrument for Home Loan Modifications
$
1,700,000
N/A
4
Tulsa
OK
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
1001744
Gardner
MA
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
(580,221) $
9/30/2010
$
$
(2) $
$
(2) $
$
9/30/2010
$
$
(4) $
$
(4) $
$
(40) $
9/30/2010
$
$
9/30/2010
$
45,056
3/23/2011
$
(145,056) $
$
(18) $
45,056
2,901,108 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,901,103 reallocation
Updated due to quarterly assessment and
2,901,055 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
580,221 Updated portfolio data from servicer
(1) $
$
765,945
2,901,112 Updated portfolio data from servicer
580,222 Updated portfolio data from servicer
$
360,445
Reason for Adjustment
$
6/29/2011
N/A
1000773
1001637
$
(1) $
6/29/2011
800,000
1000773
GFA Federal Credit Union
9/30/2010
$
3/30/2011
$
1000773
9/30/2010
$
45,056
1/6/2011
Cincinnati
Gateway Mortgage Group, LLC
$
6/29/2011
Financial Instrument for Home Loan Modifications
10228
9/30/2010
9/30/2010
3/30/2011
Purchase
10228
Franklin Savings
(48) $
(4) $
1/6/2011
MI
10228
9/30/2010
$
1/6/2011
Troy
Flagstar Capital Markets Corporation
901,112
3/23/2011
1000487
9/30/2010
(5) $
$
9/30/2010
Financial Instrument for Home Loan Modifications
$
6/29/2011
Purchase
$
6/29/2011
MN
$
6/29/2011
New Brighton
9/30/2010
6/29/2011
8
9/30/2010
Adjusted Cap
3/30/2011
8
CU Mortgage Services, Inc.
Cap Adjustment Amount
1/6/2011
8
9/30/2010
Adjustment
Date
$
$
(1) $
$
- 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
95
Servicer Modifying Borrowers' Loans
Name of Institution
Date
9/30/2010
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
Adjustment Details
Note
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
James B. Nutter & Company
New Orleans
LA
Purchase
Financial Instrument for Home Loan Modifications
$
1,000,000
1001010
N/A
TN
Purchase
Financial Instrument for Home Loan Modifications
$
1,400,000
N/A
5
KS
Purchase
Financial Instrument for Home Loan Modifications
$
500,000
N/A
(23) $
9/30/2010
$
$
$
(1) $
$
(11) $
9/30/2010
$
$
$
(3) $
$
(33) $
$
315,389
$
(1) $
630,778
$
(3) $
100,000
N/A
4, 8
OK
Purchase
Financial Instrument for Home Loan Modifications
$
43,500,000
N/A
4, 5
OH
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
1000818
225,278
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
$
725,278 Updated portfolio data from servicer
$
(1) $
725,277 Updated portfolio data from servicer
$
(725,277) $
9/30/2010
$
45,056
$
9/30/2010
$
$
$
(139) $
$
(1,223) $
9/30/2010
$
45,056
$
9/30/2010
$
6/29/2011
$
Rocky River
1001721
$
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
6/29/2011
Financial Instrument for Home Loan Modifications
10457
1001721
(2) $
1,450,556 Updated portfolio data from servicer
6/29/2011
Purchase
10457
University First Federal Credit Union
(2) $
$
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
3/30/2011
NC
10457
9/30/2010
$
435,167 Updated portfolio data from servicer
1/6/2011
Oklahoma City
Stockman Bank of Montana
$
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
6/29/2011
Charlotte
1001907
9/30/2010
450,556
Reason for Adjustment
3/9/2011
1001636
Schmidt Mortgage Company
$
9/30/2010
4, 8
1001636
9/30/2010
(6) $
1/6/2011
Lexena
Midland Mortgage Company
$
6/29/2011
700,000
1000645
9/30/2010
(1) $
3/30/2011
$
1000645
Marsh Associates, Inc.
$
$
1/6/2011
Financial Instrument for Home Loan Modifications
1000645
9/30/2010
(1) $
135,167
6/29/2011
Germantown
Mainstreet Credit Union
$
3/30/2011
Purchase
10529
9/30/2010
$
1/6/2011
NY
10529
Magna Bank
9/30/2010
(1) $
6/29/2011
Buffalo
10529
9/30/2010
$
1/6/2011
1001010
M&T Bank
45,056
3/30/2011
1001010
9/30/2010
$
9/30/2010
N/A
$
6/29/2011
1000492
9/30/2010
3/30/2011
1000492
Liberty Bank and Trust Co
Adjusted Cap
1/6/2011
1000492
9/30/2010
Cap Adjustment Amount
6/29/2011
10350
9/24/2010
Adjustment
Date
$
9/30/2010
$
$
870,334 Updated portfolio data from servicer
1/6/2011
$
(1) $
870,333 Updated portfolio data from servicer
2/17/2011
$
(870,333) $
$
(1) $
49,915,806
$
(125) $
$
(1) $
45,056
$
(1) $
270,334
- 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
96
Servicer Modifying Borrowers' Loans
Date
9/30/2010
Name of Institution
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
Adjustment Details
Note
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
Statebridge Company, LLC
San Juan
PR
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1000991
AmTrust Bank, A Division of New York Community Bank
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
$
(2,500,000) $
12/15/2010
$
4,999,993 Updated portfolio data from servicer
4,300,000
$
3,099,899 Transfer of cap due to servicing transfer
4,300,000 Updated portfolio data from servicer
-
N/A
9
4/13/2011
Urban Partnership Bank
Chicago
IL
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1001970
1001970
Hawthorne
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1001231
Anaheim Hills
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1002025
1002025
1002025
1002025
1002025
Beaverton
OR
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
-
N/A
9
N/A
9
1002041
9/15/2011
Bangor Savings Bank
Bangor
ME
Purchase
Financial Instrument for Home Loan Modifications
$
9/15/2011
PHH Mortgage Corporation
Mt. Laurel
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
-
$
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
$
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
4/13/2011
$
1,000,000
$
$
233,268
$
1,000,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,233,268 reallocation
$
100,000
$
1,333,268 Transfer of cap due to servicing transfer
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
$
100,000
$
899,991 Transfer of cap due to servicing transfer
$
2,500,000
$
3,399,991 Transfer of cap due to servicing transfer
7/14/2011
$
200,000
$
200,000 Transfer of cap due to servicing transfer
11/16/2011
$
200,000 Transfer of cap due to servicing transfer
11/16/2011
Financial Instrument for Home Loan Modifications
$
9/15/2011
Purchase
200,000
7/14/2011
VA
$
6/29/2011
Richmond
4/13/2011
6/16/2011
9
(5) $
6/29/2011
N/A
(4) $
$
11/16/2011
-
$
6/29/2011
$
SunTrust Mortgage, Inc.
Gregory Funding, LLC
$
5,000,000 Updated portfolio data from servicer
8/16/2011
Financial Instrument for Home Loan Modifications
4/13/2011
7/14/2011
500,000
$
(7) $
6/29/2011
Purchase
10151
FCI Lender Services, Inc.
$
5,000,000
6/16/2011
OH
10151
5/13/2011
$
5/13/2011
Cleveland
10151
Western Federal Credit Union
$
(1) $
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
1/6/2011
10151
4/13/2011
$
6/29/2011
1000991
4/13/2011
12/15/2010
11/16/2011
1001754
$
6/29/2011
1001754
$
3/30/2011
1001754
9/30/2010
3/16/2011
1001754
45,056
Reason for Adjustment
2/16/2011
1001754
Scotiabank de Puerto Rico
Adjusted Cap
1/6/2011
1001754
12/15/2010
Cap Adjustment Amount
6/29/2011
1001893
12/15/2010
Adjustment
Date
$
900,000
$
1,100,000 Transfer of cap due to servicing transfer
(9) $
(9) $
4,299,996 Updated portfolio data from servicer
Updated due to quarterly assessment and
4,299,991 reallocation
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
97
Servicer Modifying Borrowers' Loans
Date
12/15/2011
Name of Institution
Rushmore Loan Management Services LLC
City
Irvine
Transaction
State
Type
CA
Purchase
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
Financial Instrument for Home Loan Modifications
$
Total Initial Cap
$
23,831,570,000
TOTAL CAP
N/A
Adjustment Details
Note
9
Adjustment
Date
12/15/2011
Total Cap Adjustments
Cap Adjustment Amount
$
200,000
$
$
Reason for Adjustment
6,052,054,458
$
Adjusted Cap
200,000 Transfer of cap due to servicing transfer
29,883,624,458.08
98
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Transaction
State
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers
Pricing
and to Servicers &
Mechanism
Adjustment Details
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
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
99
Supplemental Information [Not Required by EESA §114(a)]
Home Affordable Modification Program
Non-GSE Incentive Payments (through December 2011)
Name of Institution
Borrowers
Lenders/Investors
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
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
3,329.43
23,705,701.01
13,462.07
9,749,218.68
56,179,923.05
4,097,413.18
2,265,059.39
2,781,502.48
3,487,311.53
804,259.36
27,153.59
27,855,387.59
3,750.00
19,879.51
2,000.00
7,569,459.20
$
$
6,379.81
76,956,780.50
$
$
$
$
$
$
$
$
$
$
$
$
$
Fay Servicing, LLC
FCI Lender Services, Inc.
$
$
25,833.36
6,108.56
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
$
$
$
$
$
$
$
$
$
$
Gregory Funding, 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
James B.Nutter and Company
Servicer
27,858,591.99
172,433,878.20
17,685,428.40
7,737,502.70
6,760,558.35
11,258,653.18
2,208,558.46
54,800.17
83,187,044.96
14,818.11
55,235.66
12,930.35
11,592,937.05
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
6,329.43
56,302,437.79
14,454.90
21,117,210.28
73,001,192.09
8,875,438.92
5,440,533.17
5,702,610.61
8,220,590.58
1,736,649.41
68,112.68
59,781,904.66
13,916.67
52,205.29
4,500.00
16,279,383.05
$
$
69,594.23
11,868.86
$
$
26,666.68
6,300.24
306,456.57
2,775.62
186,211.05
2,916.67
3,000.00
19,982,116.42
4,916.67
20,416.67
526,173.50
$
$
$
$
$
$
$
$
$
$
831,936.69
3,423.27
396,339.58
503.44
8,886.49
2,086.41
61,326,061.96
6,047.19
57,159.54
1,515,592.62
$
$
$
$
$
$
$
$
$
$
737,204.22
8,717.90
519,809.67
1,000.00
6,916.67
5,000.00
44,252,768.16
5,500.00
45,750.01
1,607,119.33
$
24,159.50
$
51,600.87
$
25,391.38
$
$
$
$
$
$
$
$
$
$
$
916.67
8,976.26
169,857.80
1,333.33
2,515.13
6,916.67
5,000.00
9,330.48
750.00
14,710.01
2,440,767.73
3,036,319.34
4,437.26
7,599.29
10,502.00
17,642.55
12,890.47
9,493.32
$
$
$
$
$
$
$
$
$
$
$
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
13,000.00
16,330.48
1,000.00
$
$
$
$
$
$
$
$
$
Total Payments
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
16,038.67
156,964,919.30
27,916.97
58,725,020.95
301,614,993.34
30,658,280.50
15,443,095.26
15,244,671.44
22,966,555.29
4,749,467.23
150,066.44
170,824,337.21
32,484.78
127,320.46
19,430.35
35,441,779.30
122,094.27
24,277.66
1,875,597.48
14,916.79
1,102,360.30
1,503.44
18,719.83
10,086.41
125,560,946.54
16,463.86
123,326.22
3,648,885.45
101,151.75
1,916.67
49,391.11
6,309,232.52
8,308,819.34
10,603.93
15,683.95
25,502.00
38,559.22
30,890.47
35,154.28
1,750.00
100
Name of Institution
JPMorgan Chase Bank, NA
Lake City Bank
Lake National Bank
Litton Loan Servicing, LP
Los Alamos National Bank
M&T Bank
Marix Servicing LLC
Marsh Associates, Inc.
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
Borrowers
Lenders/Investors
$
$
$
$
$
$
$
82,629,354.26
2,176.15
2,000.00
13,440,220.42
5,537.50
20,402.19
273,067.53
$
198.35
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
803,684.68
18,666.68
345,841.21
43,701.39
857,239.52
7,623,964.00
58,468.50
6,000.00
24,492,238.66
16,611,572.22
2,000.00
5,000.00
916.67
1,502,536.72
12,833.34
68,881.10
Servicer
$
$
$
$
$
$
$
Total Payments
$
$
$
$
$
143,898,022.95
2,450.61
2,987.55
35,346,385.68
8,177.05
88,388,777.72
7,672.68
3,000.00
27,529,413.93
15,793.00
21,318.86
673,926.39
$
768,052.19
$
238.02
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
56,660.41
636.16
58,122.61
2,305,003.00
104,091.72
2,985,680.49
17,886,158.70
259,939.80
23,504.92
3,568.11
65,890,611.86
60,996,250.41
2,660.82
19,316.75
1,469.72
1,821,888.45
111,529.55
199,173.52
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
976,019.42
1,000.00
45,916.67
1,977,320.74
120,582.71
2,068,092.11
15,599,543.04
220,468.50
13,000.00
6,500.00
51,477,929.76
34,779,230.80
6,000.00
13,000.00
1,916.67
2,101,681.50
151,500.00
109,340.18
RBC Bank (USA)
$
16,888
$
17,222
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.
$
$
$
$
$
$
$
391,736.92
164,852.94
60,039.00
18,360,682.56
5,833.33
184,416.30
26,715,645.24
$
$
$
$
$
$
$
1,184,811.75
227,582.28
168,310.82
34,451,144.10
28,267.25
251,733.10
58,781,941.96
$
$
$
$
$
$
$
1,038,357.29
401,333.81
157,496.44
37,707,306.16
18,500.00
217,029.00
50,232,512.48
Selene Finance LP
$
8,333.33
$
19,758.73
$
8,500.00
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
$
$
$
$
$
$
$
$
$
$
$
21,556.65
49,915.10
12,677.95
613,222.35
25,878.72
14,250.00
3,717.90
64,408.30
3,774,645.61
18,122.28
$
$
$
$
$
$
$
$
$
$
$
67,979.97
153,906.17
70,927.49
1,662,860.74
80,128.97
72,745.38
5,559.00
296,398.92
12,028,896.34
384.15
37,599.60
$
$
$
$
$
$
$
$
$
$
$
69,306.64
143,165.10
39,844.62
1,283,101.78
85,910.30
32,416.67
3,717.90
207,824.95
10,053,275.38
2,000.00
37,994.01
Urban Partnership Bank
$
53,755.40
$
121,593.70
$
55,830.87
Vantium Capital, Inc. d/b/a Acqura Loan Services
$
104,864.93
$
201,018.13
$
144,165.64
Vericrest Financial, Inc.
$
83,925.60
$
263,566.99
$
331,060.29
Wachovia Mortgage, FSB
Wells Fargo Bank, N.A.
Wescom Central Credit Union
Western Federal Credit Union
Wilshire Credit Corporation
Yadkin Valley Bank
$
$
$
$
$
$
57,171,935.38
93,545.55
5,500.00
6,885.14
$
$
$
$
$
$
76,889.58
144,539,526.31
374,718.56
15,789.51
490,394.10
7,984.96
$
$
$
$
$
$
162,000.00
120,371,327.48
210,612.54
8,916.67
1,167,000.00
21,885.14
$
416,715,226.99
$
1,076,094,322.60
$
763,471,954.58
Grand Total
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
314,916,154.93
12,299.44
7,987.55
76,316,020.03
29,507.55
41,721.05
1,715,046.11
436.37
1,836,364.51
1,636.16
122,705.96
4,628,164.95
268,375.82
5,911,012.12
41,109,665.74
538,876.80
42,504.92
10,068.11
141,860,780.28
112,387,053.43
10,660.82
37,316.75
4,303.06
5,426,106.67
275,862.89
377,394.80
34,110
2,614,905.96
793,769.03
385,846.26
90,519,132.82
52,600.58
653,178.40
135,730,099.68
36,592.06
158,843.26
346,986.37
123,450.06
3,559,184.87
191,917.99
119,412.05
12,994.80
568,632.17
25,856,817.33
2,384.15
93,715.89
231,179.97
450,048.70
678,552.88
238,889.58
322,082,789.17
678,876.65
30,206.18
1,657,394.10
36,755.24
2,256,281,504.17
101
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
102
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.
103
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.
104
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Projected Costs and Liabilities [Section 105(a)(3)(E)]
For Period Ending December 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.
105
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Programmatic Operating Expenses [Section 105(a)(3)(F)]
For Period Ending December 31, 2011
Type of Expense
Compensation for financial agents
and legal firms
Amount
$599,062,667
106
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Description of Vehicles Established [Section 105(a)(3)(H)]
For Period Ending December 31, 2011
Date
Vehicle
Description
None
107
Remaining CPP Institutions
Name
Regions Financial Corporation
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 Corporation
Flagstar Bancorp, Inc.
Cathay General Bancorp
PrivateBancorp, Inc.
International Bancshares Corporation
MB Financial Inc.
Pacific Capital Bancorp*
United Community Banks, Inc.
Dickinson Financial Corporation II
Banner Corporation
BBCN Bancorp, Inc.
Anchor BanCorp Wisconsin Inc.
Taylor Capital Group
Park National Corporation
Central Pacific Financial Corp.*
Hampton Roads Bankshares, Inc.*
Metropolitan Bank Group, Inc.
Old Second Bancorp, Inc.
First Place Financial Corp.
Independent Bank Corporation
Pinnacle Financial Partners, Inc.
Virginia Commerce Bancorp
Southwest Bancorp, Inc.
Alpine Banks of Colorado
First Financial Holdings Inc.
Wilshire Bancorp, Inc.
Standard Bancshares, Inc.
MainSource Financial Group, Inc.
WSFS Financial Corporation
NewBridge Bancorp
Ameris Bancorp
FNB United Corp.*
Location
Birmingham, AL
Salt Lake City, UT
Columbus, GA
San Juan, PR
San Juan, PR
Buffalo, NY
Spokane, WA
Flint, MI
Clayton, MO
New York, NY
Troy, MI
Los Angeles, CA
Chicago, IL
Laredo, TX
Chicago, IL
Santa Barbara, CA
Blairsville, GA
Kansas City, MO
Walla Walla, WA
Los Angeles, CA
Madison, WI
Rosemont, IL
Newark, OH
Honolulu, HI
Norfolk, VA
Chicago, IL
Aurora, IL
Warren, OH
Ionia, MI
Nashville, TN
Arlington, VA
Stillwater, OK
Glenwood Springs, CO
Charleston, SC
Los Angeles, CA
Hickory Hills, IL
Greensburg, IN
Wilmington, DE
Greensboro, NC
Moultrie, GA
Asheboro, NC
Current Amount
Outstanding
$
3,500,000,000
$
1,400,000,000
$
967,870,000
$
935,000,000
$
400,000,000
$
381,500,000
$
303,000,000
$
300,000,000
$
295,400,000
$
267,274,000
$
266,657,000
$
258,000,000
$
243,815,000
$
216,000,000
$
196,000,000
$
180,634,000
$
180,000,000
$
146,053,000
$
124,000,000
$
122,000,000
$
110,000,000
$
104,823,000
$
100,000,000
$
98,662,500
$
80,347,000
$
78,406,000
$
73,000,000
$
72,927,000
$
72,000,000
$
71,250,000
$
71,000,000
$
70,000,000
$
70,000,000
$
65,000,000
$
62,158,000
$
60,000,000
$
57,000,000
$
52,625,000
$
52,372,000
$
52,000,000
$
51,500,000
108
U.S. Century Bank
BancTrust Financial Group, Inc.
Seacoast Banking Corporation of Florida
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.
Fidelity Financial Corporation
Trinity Capital Corporation
Marquette National Corporation
Porter Bancorp Inc.
Enterprise Financial Services Corp.
Fremont Bancorporation
First American Bank Corporation
First Security Group, Inc.
Firstbank Corporation
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 BankCorp, Inc.
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 Bancshares, Inc.
Stearns Financial Services, Inc.
Miami, FL
Mobile, AL
Stuart, FL
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
Wichita, KS
Los Alamos, NM
Chicago, IL
Louisville, KY
St. Louis, MO
Fremont, CA
Elk Grove Village, IL
Chattanooga, TN
Alma, MI
St. Louis, MO
Creve Coeur, MO
Monroeville, PA
Thomasville, 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
St. Cloud, MN
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
50,236,000
50,000,000
50,000,000
49,312,000
48,200,000
45,000,000
43,000,000
42,750,000
41,400,000
40,000,000
40,000,000
38,000,000
37,000,000
36,875,000
36,282,000
35,539,000
35,500,000
35,000,000
35,000,000
35,000,000
35,000,000
33,000,000
33,000,000
32,668,000
32,538,000
31,762,000
31,260,000
30,407,000
30,255,000
30,000,000
30,000,000
30,000,000
30,000,000
28,000,000
27,000,000
26,038,000
26,000,000
25,223,000
25,083,000
25,054,000
25,000,000
25,000,000
25,000,000
24,990,000
24,900,000
24,900,000
109
National Bancshares, Inc.
CBS Banc-Corp.
Eastern Virginia Bankshares, Inc.
Severn Bancorp, Inc.
Park Bancorporation, Inc.
First Citizens Banc Corp
TriState Capital Holdings, Inc.
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
The Baraboo Bancorporation
Unity Bancorp, Inc.
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
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
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
Bettendorf, IA
Russellville, AL
Tappahannock, VA
Annapolis, MD
Madison, WI
Sandusky, OH
Pittsburgh, PA
Garland, TX
Huntington, WV
Temple, TX
Joliet, IL
Overland Park, KS
Columbus, IN
Houston, TX
Grand Rapids, MI
Paso Robles, CA
Baraboo, WI
Clinton, NJ
Tecumseh, MI
Tampa, FL
Washington, MO
Denver, CO
Louisville, KY
Mt. Vernon, IL
Bismarck, ND
Elizabethtown, KY
Danville, AR
Oak Ridge, NJ
Hopkinsville, KY
New Orleans, LA
Engelhard, NC
Columbia, TN
Glen Allen, VA
Little Rock, AR
Greenville, SC
Hinesville, GA
Clarksville, TN
Waukegan, IL
Springfield, MO
Salisbury, NC
Fayetteville, AR
Hoquiam, WA
Hendersonville, NC
Sewell, NJ
Los Angeles, CA
Roanoke, VA
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
24,664,000
24,300,000
24,000,000
23,393,000
23,200,000
23,184,000
23,000,000
22,500,000
22,252,000
22,000,000
22,000,000
21,750,000
21,500,000
21,042,000
21,000,000
21,000,000
20,749,000
20,649,000
20,600,000
20,471,000
20,445,000
20,440,000
20,400,000
20,300,000
20,093,000
20,000,000
19,817,000
19,000,000
18,400,000
17,969,000
17,949,000
17,806,000
17,680,000
17,300,000
17,299,000
17,280,000
17,243,000
17,211,000
17,000,000
17,000,000
16,800,000
16,641,000
16,369,000
16,288,000
16,200,000
16,019,000
110
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.
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.
OneUnited Bank
The Queensborough Company
Blue Ridge Bancshares, Inc.
Duke Financial Group, Inc.
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
Hilton Head Island, SC
Greensboro, NC
Goleta, CA
Florence, SC
Los Angeles, CA
Clayton, MO
Rockford, IL
Wausau, WI
Elmhurst, IL
Overland Park, KS
Midlothian, VA
Mount Pleasant, SC
Barnesville, GA
Gladstone, NJ
Strasburg, VA
Mocksville, NC
Fayetteville, 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
Jamestown, ND
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
16,015,000
16,000,000
15,600,000
15,349,000
15,000,000
15,000,000
15,000,000
15,000,000
15,000,000
14,800,000
14,738,000
14,448,000
14,400,000
14,341,000
13,900,000
13,179,000
12,900,000
12,895,000
12,725,000
12,700,000
12,660,000
12,643,000
12,639,000
12,535,000
12,500,000
12,325,000
12,063,000
12,000,000
12,000,000
12,000,000
12,000,000
12,000,000
12,000,000
11,949,000
11,730,000
11,560,000
11,422,000
11,385,000
11,350,000
11,000,000
11,000,000
10,973,000
10,958,000
10,900,000
10,800,000
10,750,000
111
Crosstown Holding Company
Northwest Bancorporation, 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
First Sound Bank
First BancTrust Corporation
Western Community Bancshares, Inc.
FFW Corporation
Millennium Bancorp, Inc.
Blaine, MN
Spokane, WA
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
Baltimore, MD
Malvern, PA
Delmar, 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
New York, NY
Destin, FL
Seattle, WA
Paris, IL
Palm Desert, CA
Wabash, IN
Edwards, CO
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
10,650,000
10,500,000
10,000,000
10,000,000
10,000,000
10,000,000
10,000,000
10,000,000
10,000,000
10,000,000
10,000,000
9,993,000
9,982,000
9,950,000
9,900,000
9,500,000
9,439,000
9,266,000
9,201,000
9,175,000
9,000,000
9,000,000
8,900,000
8,752,000
8,700,000
8,700,000
8,600,000
8,400,000
8,222,000
8,152,000
8,144,000
8,000,000
7,701,000
7,700,000
7,700,000
7,700,000
7,570,000
7,525,000
7,500,000
7,500,000
7,500,000
7,400,000
7,350,000
7,290,000
7,289,000
7,260,000
112
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.
Patapsco Bancorp, Inc.
Peninsula Bank Holding Co.
ICB Financial
Gateway Bancshares, Inc.
Rising Sun Bancorp
IA Bancorp, Inc.
Three Shores Bancorporation, Inc.
Waukesha Bankshares, Inc.
Boscobel Bancorp, Inc
Valley Community Bank
First Southwest Bancorporation, Inc.
The Connecticut Bank and Trust Company
Midtown Bank & Trust Company
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, Inc.
Alaska Pacific Bancshares, Inc.
Western Reserve Bancorp, Inc
Virginia Company Bank
CalWest Bancorp
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
Fort Worth, TX
Coconut Grove, FL
Doraville, GA
Dubuque, IA
Versailles, KY
Asheboro, NC
Moscow, TN
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
Milwaukee, WI
Washington, MO
Gering, NE
Clarksdale, MS
Shelbyville, IN
Fargo, ND
McCook, NE
Germantown, TN
Juneau, AK
Medina, OH
Newport News, VA
Rancho Santa Margarita, CA
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
7,225,000
7,002,000
7,000,000
7,000,000
7,000,000
6,970,000
6,900,000
6,800,000
6,785,000
6,700,000
6,657,000
6,566,692
6,514,000
6,500,000
6,500,000
6,400,000
6,398,000
6,349,000
6,300,000
6,229,000
6,216,000
6,000,000
6,000,000
6,000,000
6,000,000
5,983,000
5,976,000
5,677,000
5,625,000
5,586,000
5,500,000
5,500,000
5,448,000
5,222,000
5,100,000
5,097,000
5,000,000
5,000,000
5,000,000
5,000,000
5,000,000
4,967,000
4,781,000
4,700,000
4,700,000
4,656,000
113
Georgia Primary Bank
Mainline Bancorp, Inc.
Community Pride Bank Corporation
CBB Bancorp
Pinnacle Bank Holding Company, Inc.
Metropolitan Capital Bancorp, Inc.
First Business Bank, N.A.
Northeast Bancorp
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.
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
Tennessee Valley Financial Holdings, Inc.
Beach Business Bank
Bank of Commerce
Clover Community Bankshares, Inc.
St. Johns Bancshares, Inc.
Marine Bank & Trust Company
Freeport Bancshares, Inc.
Layton Park Financial Group
F & C Bancorp, Inc.
Alliance Bancshares, Inc.
Atlanta, GA
Ebensburg, PA
Ham Lake, MN
Cartersville, GA
Orange City, FL
Chicago, IL
San Diego, CA
Lewiston, ME
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
Gastonia, NC
Cordova, TN
Richmond, KY
Cleveland, GA
Cayce, SC
Oneonta, AL
Detroit, MI
Salem, OR
Buffalo, WY
Granby, CO
Houston, TX
Morehead City, NC
Oak Ridge, TN
Manhattan Beach, CA
Charlotte, NC
Clover, SC
St. Louis, MO
Vero Beach, FL
Freeport, IL
Milwaukee, WI
Holden, MO
Dalton, GA
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
4,500,000
4,500,000
4,400,000
4,397,000
4,389,000
4,388,000
4,243,000
4,227,000
4,060,000
4,000,000
4,000,000
4,000,000
4,000,000
4,000,000
4,000,000
4,000,000
3,976,000
3,942,000
3,900,000
3,872,000
3,727,000
3,690,000
3,652,000
3,564,000
3,500,000
3,422,000
3,370,000
3,300,000
3,285,000
3,250,000
3,223,000
3,216,000
3,100,000
3,076,000
3,072,000
3,070,000
3,000,000
3,000,000
3,000,000
3,000,000
3,000,000
3,000,000
3,000,000
3,000,000
2,993,000
2,986,000
114
Santa Clara Valley Bank, N.A.
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
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
First Advantage Bancshares Inc.
Riverside Bancshares, Inc.
Independence Bank
Community Holding Company of Florida, Inc.
Calvert Financial Corporation
Santa Paula, CA
Garden Grove, CA
Lakewood, CO
Olathe, KS
Sylacauga, AL
Huntsville, AL
Horn Lake, MS
Las Vegas, NV
Manhattan, IL
Bucyrus, OH
Closter, NJ
Scottsdale, AZ
Roseville, CA
Saint Paul, MN
Hattiesburg, MS
Wrens, GA
Clive, IA
Kaukauna, WI
Covington, LA
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
Theodore, AL
Towson, MD
Gold Canyon, AZ
Philadelphia, PA
Westminster, CA
Hartsville, SC
Richardson, TX
Dana, IN
Fort Lee, NJ
Coon Rapids, MN
Little Rock, AR
East Greenwich, RI
Miramar Beach, FL
Ashland, MO
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2,900,000
2,861,000
2,816,000
2,800,000
2,760,000
2,720,000
2,681,000
2,672,000
2,639,000
2,600,000
2,571,000
2,568,000
2,550,000
2,500,000
2,443,320
2,400,000
2,400,000
2,400,000
2,400,000
2,330,000
2,295,000
2,250,000
2,179,000
2,152,000
2,117,000
2,080,000
2,060,000
2,000,000
1,992,000
1,968,000
1,900,000
1,834,000
1,706,000
1,700,000
1,607,000
1,552,000
1,549,000
1,500,000
1,500,000
1,312,000
1,300,000
1,177,000
1,100,000
1,065,000
1,050,000
1,037,000
115
Bank Financial Services, Inc.
BankGreenville
Gregg Bancshares, Inc.
Corning Savings and Loan Association
Community Bancshares of Kansas, Inc.
Kirksville Bancorp, Inc.
Farmers & Merchants Financial Corporation
The Freeport State Bank
Eden Prairie, MN
Greenville, SC
Ozark, MO
Corning, AR
Goff, KS
Kirksville, MO
Argonia, KS
Harper, KS
Number of Institutions
$
$
$
$
$
$
$
$
1,004,000
1,000,000
825,000
638,000
500,000
470,000
442,000
301,000
371
*Original Investment has been converted at a discount into common stock in the institution. Amount shown is
original invesment amount
116
@FedFRASER