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Troubled Asset Relief Program (TARP)
Monthly Report to Congress – May 2012
June 11, 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
May 2012
Section
Page
Highlights………………………....………………………………………………………………………………………………………………..
1
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
Investment in AIG…………………………………………………………………………………………………………………………………
17
Auto Programs…………………………………………………………………………………………………………………………………….
18
Housing Programs………………………………………………………………………………………………………………………………..
19
Appendix – Financial Statements….…………………………………………………………………………………………………………..
23
More information is available at http://www.treasury.gov/initiatives/financial-stability.
Where are the TARP Funds?
Monthly 105(a) Report
May 2012
The Troubled Asset Relief Program (TARP) was established pursuant to the Emergency Economic Stabilization Act of 2008 (EESA). Three
and a half years after the establishment of the TARP, we are making substantial progress in winding down 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
assistance and replace public support with private capital. To date, taxpayers have recovered almost $264 billion from TARP’s bank
programs through repayments, dividends, interest, and other income – approximately $19 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
May 2012
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 June 1, 2012 (through May 31, 2012)
Principal/Investment
Income/Revenue
(*Dollars in Billions*)
Obligated
Disbursed
Repayments
to SBLF
1
Gain / Other
Realized
Refinancing
Write‐offs
Loss
2
Outstanding
Dividends
3
3
Income
Interest
Warrants
2
2
Sold
Total Income
4
Total Cash Back
Bank Support Programs
Capital Purchase Program (CPP)
5
Banks with Assets $10 Billion or Greater
$
165.33
$
165.33
$
158.31 $
Banks with Assets Less Than $10 Billion
$
14.57
$
14.57
$
6.93 $
Citigroup Common
$
25.00
$
25.00 $
25.00
$
2.55 $
2.21 $
‐
0.03 $
$
‐
$
$
4.47
$
9.29 $
‐
$
$
7.43 $
16.72
$
0.17 $
‐
7.09
$
1.46 $
‐
$
0.00
$
0.19
$
1.64
$
8.57
‐
$
0.93 $
‐
$
6.85
$
0.05
$
7.84
$
32.84
‐
$
‐
175.02
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
$
‐
$
‐
$
‐
$
‐
$
‐
$
$
$
5.00
$
‐
$
‐
$
‐
$
‐
$
‐
$
Exchanges From CPP to CDCI
$
0.36
$
0.36
$
‐
$
‐
$
‐
$
‐
$
Not From Exchanges
$
0.21
$
0.21
$
0.00
$
‐
$
‐
$
0.57
$
$
250.46
$
245.10
$
230.24 $
$
12.13
$
15.14 $
0.65 $
6
Citigroup
Community Development Capital Initiative (CDCI)
‐
$
‐
$
0.28
$
0.44 $
‐
‐
$
2.25
$
‐
$
‐
$
‐
$
‐
$
0.02 $
‐
$
‐
$
‐
$
0.02
$
0.02
‐
$
9.38
9.16 $
33.68
$
263.92
$
0.08
0.07
$
0.28
$
0.28
$
2.76
$
2.76
7
8
Bank Program Totals
2.21 $
2.58 $
0.17
‐
$
‐
$
‐
Credit Market Programs
Public‐Private Investment Program (PPIP)
9
Equity
$
7.51
$
6.22
$
1.14
$
‐
$
‐
$
5.08
$
Debt
$
14.35
$
12.19
$
2.70
$
‐
$
‐
$
9.49
$
‐
$
Term Asset Backed Securities Lending Facility
$
4.30
$
0.10
$
$
‐
$
‐
$
0.10
$
‐
$
Purchase SBA 7(a) Securities (SBA)
$
0.37
$
0.37
$
0.36
$
‐
$
‐
$
0.00
$
‐
$
0.01
$
0.00
$
26.52
$
18.87
$
4.20
$
‐
$
‐
$
14.67
$
0.65 $
0.28
$
0.08
Credit Market Program Totals
‐
‐
0.27
‐
$
$
$
‐
$
0.73
$
1.87
‐
$
‐
$
0.27
$
2.96
‐
$
‐
$
$
‐
$
0.01
$
0.38
$
‐
$
1.01
$
5.21
‐
$
‐
Other Programs
American International Group (AIG)
Common
10
11
$
47.54
$
47.54 $
11.58
$
‐
$
$
20.29
$
20.29 $
20.29
$
‐
$
$
67.84
$
67.84 $
31.87
$
‐
$
GM
$
51.03
$
51.03 $
23.20
$
‐
$
Chrysler
$
12.37
$
12.37
$
9.44
$
1.60 $
Preferred
AIG Totals
5.52
$
30.44
$
$
‐
$
$
‐
$
$
11.58
$
‐
$
0.64 $
‐
$
0.29
$
‐
$
0.93
$
21.23
5.52
$
30.44
$
0.64 $
‐
$
0.29
$
‐
$
0.93
$
32.81
4.44
$
23.39
$
‐
$
0.77
$
0.10
$
‐
$
0.86
$
24.07
‐
$
‐
$
1.19
$
0.50
$
‐
$
1.69
$
11.13
‐
‐
‐
‐
Automotive Industry Financing Program (AIFP)
12
Ally (GMAC)
$
16.29
$
16.29
$
2.54
$
79.69
$
79.69 $
35.18
$
1.60 $
$
147.53
$
147.53 $
67.06
$
1.60
Making Homes Affordable
$
29.88
$
3.23
HFA Hardest‐Hit Fund
$
7.60
$
0.94
$
8.12
$
0.06
Housing Totals
$
45.60
$
4.23
Grand Totals
$
470.12
$
415.73
301.49
$
4.18
AIFP Totals
Other Programs Totals
$
1.33 $
$
13.75
$
2.87 $
$
0.13
$
‐
$
3.00
$
5.54
5.77
‐
$
37.14
$
2.87 $
1.95
‐
$
0.73
$
‐
$
5.55
$
40.73
$
11.29
$
67.58
$
3.51 $
1.95
$
1.02
$
‐
$
6.49
$
73.54
$
11.46
$
94.39
$
19.31 $
2.23
$
10.48
$
9.16 $
41.18
$
342.67
Treasury Housing Programs Under TARP
FHA Refinance
13
$
2
Daily TARP Update
Monthly 105(a) Report
May 2012
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/ Allocation of Public-Private Investment Program (PPIP) Equity receipts between repayments and income are subject to reclassification.
10/ TARP’s investment in AIG was originally made in the form of preferred stock, some of which was converted to common stock in the
recapitalization in January 2011. For convenience of the reader, the amount converted into common stock is listed under the
“obligated” and “disbursed” columns.
11/ Treasury has sold a total of 595 million AIG common shares at an average price of $29.47 per share, consisting of 392.92 million TARP
shares and 202.50 million 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 $ 5.97 billion 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.
12/ 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.
13/ 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
May 2012
Figure 2: Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal Budget
Programs
as of May 31, 2012
(dollar amounts in billions)
Bank Support Programs:
Obligation/
Commitment
Disbursed as of
May 31
Outstanding
Investment
Balance as of
May 31
$
$
$
Estimated
Lifetime Cost as
of
February 29
Capital Purchase Program (CPP):
Citigroup
Other banks with assets $10 billion or greater
Banks with assets less than $10 billion3
25.00
165.33
25.00
165.33
14.57
14.57
0.00
$
(6.46)
4.47
$
(12.62)
7.09
4.36
Total
$
204.89
$
204.89
$
11.56
$
(14.72)
Targeted Investment Program (TIP)
$
40.00
$
40.00
$
0.00
$
(4.00)
Asset Guarantee Program (AGP)4
$
5.00
$
0.00
$
0.00
$
(3.72)
Community Development Capital Initiative (CDCI)
$
0.57
$
0.57
$
0.57
$
0.17
Equity
Debt
$
7.51
14.35
$
6.22
12.19
$
5.08
9.49
$
(2.74)
0.27
Total
$
21.86
$
18.41
$
14.57
$
(2.47)
Term Asset Backed Securities Lending Facility (TALF)
$
4.30
$
0.10
$
0.10
$
(0.43)
Purchase SBA 7(a) Securities (SBA)
$
0.37
$
0.37
$
0.00
$
(0.00)
Preferred Stock
Common Stock
$
20.29
47.54
$
20.29
47.54
$
30.44
$
17.62
Total
$
67.84
$
67.84
$
30.44
$
17.62
Automotive Industry Financing Program (AIFP)
$
79.69
$
79.69
$
37.14
$
21.70
Sub-total for Investment Programs
$
424.51
$
411.51
$
94.38
$
14.15
Treasury Housing Programs Under TARP
$
45.60
$
4.23
$
-
$
45.60
$
470.12
$
415.74
$
94.38
$
59.76
Credit Market Programs:
Public-Private Investment Program (PPIP):
Other Programs:
American International Group (AIG):
Total for TARP Programs
Additional AIG Common Shares Held by Treasury5
Total for TARP Programs and Additional AIG Shares
n/a
$
470.12
n/a
$
415.74
n/a
$
94.38
(16.43)
$
43.33
4
Treasury Estimates of Impact on the Federal Budget
Monthly 105(a) Report
May 2012
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 February 29, 2012.
2/ Estimated lifetime cost figures shown above are currently updated quarterly in conjunction with the Office of Management and Budget.
The value of outstanding investments in publicly-traded securities is calculated by using the aggregate value of the investments at
market prices as of May 31, 2012. 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 shares outstanding as of May 31, 2012. The amounts include the market value of
the outstanding AIG shares and the proceeds from the sale of AIG common stock in March.
Outstanding Investment
AIG Common Stock
GM Common Stock
Additional AIG Common Shares
02/29/2012
Market Value
$
$
$
28.06
13.01
14.46
05/31/2012
Market Value
In billions
$
28.16
$
11.10
$
14.51
Increase
(Decrease) in Cost
$
$
$
(0.10)
1.91
(0.05)
Note: For the period ending 02/29/2012, the share price for AIG was $29.22 and for GM was $26.02. For the period ending 05/31/2012,
the share price for AIG was $29.18 and for GM was $22.20.
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 the SBLF. A total of 137 CPP banks refinanced under the SBLF resulting in repayments 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/ As discussed in note 11 to the Daily TARP Update, Treasury’s investment in AIG common shares consisted of shares acquired in
exchange for preferred stock purchased with TARP funds (“TARP shares”) and shares received from the trust created by the FRBNY
for the benefit of Treasury as a result of its loan to AIG. Treasury manages the TARP shares and non-TARP shares together, and
disposes of them pro-rata in proportion to its holdings. Only the TARP shares are included under “Other Programs—AIG” and the
lifetime cost estimate shows a loss based on Treasury’s cost basis in the TARP shares alone. However, a gain is shown for the nonTARP shares in the line entitled “Additional AIG Common Shares Held by Treasury” because Treasury’s cost basis in such shares is
deemed to be zero. When the TARP shares and non-TARP shares are considered together, Treasury’s cost on a cash basis is $28.73
per shares and there is currently an estimated loss of $1.19 billion overall, which reflects proceeds of sales to date (at an average price
of $29.47 per share), the closing price of AIG common shares on February 29, 2012 of $29.22, and the financing costs associated with
Treasury borrowings from the time of initial investment through the reporting period.
5
Program Updates – Bank Support Programs
Monthly 105(a) Report
May 2012
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 31, 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). For additional details on how Treasury intends to wind down its
remaining bank investments under the Capital Purchase Program, see: http://www.treasury.gov/connect/blog/Pages/Winding-DownTARPs-Bank-Programs.aspx
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 May 31, 2012
Amount Invested:
Largest Investment:
Smallest Investment:
CPP Cumulative Investments
$204.9 billion
$25 billion
$301,000.00
CPP Institutions (Banks in 48 states, D.C and Puerto Rico)
Total Institutions Funded:
707
Full Repayments:
160
SBLF Repayments:
137
CDCI Conversions:
28
Partial Repayments:
16
Sold Investments:
19
In Bankruptcy/Recievership:
17
Merged Institutions:
3
1
Currently in Common
5
Total Remaining Institutions:
343
CPP Income to Treasury
2
Total Amount of Repayments :
$190.59 billion
Total Dividends, Interest, & Fee Income:
$11.68 billion
May Dividends and Interest:
$91.7 million
Citigroup Gain:
$6.85 billion
3
Total Warrant Income :
Total CPP Income:
$7.68 billion
$216.79 billion
6
Program Updates – Bank Support Programs
Monthly 105(a) Report
May 2012
Notes to Capital Purchase Program Snapshot as of May 31, 2012:
1/ Institutions where Treasury has converted its original investment at a discount, into shares of common stock in the institution.
2/ Includes repayment of $25 billion from completed Citigroup common stock conversion, $335.7 million from CDCI conversions and
$2.2 billion from SBLF refinancings. Also see footnote 3 on page 6.
3/ Net proceeds; includes proceeds from exercised warrants.
Repayments
In May, two institutions repurchased part of their outstanding CPP preferred shares or subordinated debentures from Treasury’s
investments in those institutions, for total proceeds of $18 million.
On May 9, Hawthorn Bancshares, Inc. made a partial repayment of $12 million of its outstanding CPP investment, resulting in $18.3
million in outstanding CPP investment remaining.
On May 23, Business Bancshares, Inc. made a partial repayment of $6 million of its outstanding CPP investment, resulting in $9 million
in outstanding CPP investment remaining.
Warrant Repurchases/Dispositions
In May, 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 $49.4 million from Treasury’s investments in banks beyond any
dividend or interest payments.
On May 2, Treasury sold warrants issued by Regions Financial Corp. for a total of $45 million.
In May, Treasury also sold warrants issued by MB Financial, Inc.; Park National Corporation; and Seacoast Banking Corporation of
Florida for a total of $4.4 million.
Dividends and Interest
In May, Treasury received dividends and interest income from CPP investments of approximately $91.7 million. Cumulative dividends,
interest and fee income received from Capital Purchase Program investments is approximately $11.7 billion.
Exit Strategy
On May 3, Treasury provided additional details on how it intends to wind down its remaining bank investments under the Capital Purchase
Program. In a blog post published on the Treasury website, http://www.treasury.gov/connect/blog/Pages/Winding-Down-TARPs-BankPrograms.aspx, Timothy Massad, Assistant Secretary for Financial Stability, outlined Treasury’s strategy, which will include repayments,
restructurings, and sales. The extent to which Treasury employs each of the individual options will depend on market conditions and other
factors.
7
Program Updates – Bank Support Programs
Monthly 105(a) Report
May 2012
Figure 4:
Top 25 Remaining Capital Purchase Program Investments as of May 31, 2012
A list of all remaining CPP investments can be found in the appendix to this report.
1
2
3
4
5
6
7
8
9
10
11
12
13
Institution
City, State
Synovus Financial Corp.
Popular, Inc.
Zions Bancorporation
a
First BanCorp
Columbus, GA
Hato Rey, PR
Salt Lake City, UT
San Juan, PR
Buffalo, NY
Spokane, WA
Flint, MI
Clayton, MO
New York, NY
Troy, MI
El Monte, CA
Chicago, IL
Laredo, TX
M&T Bank Corporation
b
Sterling Financial Corporation
Citizens Republic Bancorp, Inc.
First Banks, Inc.
New York Private Bank & Trust Corp.
Flagstar Bancorp, Inc.
Cathay General Bancorp
PrivateBancorp, Inc.
International Bancshares Corporation
Outstanding
Investment
($millions)
$
$
$
$
$
$
$
$
$
$
$
$
$
967.9
935.0
700.0
400.0
381.5
303.0
300.0
295.4
267.3
266.7
258.0
243.8
216.0
Institution
14
15
16
17
18
19
20
21
22
23
24
25
City, State
c
Pacific Capital Bancorp
United Community Banks, Inc.
Dickinson Financial Corporation II
BBCN Bancorp, Inc.
Anchor BanCorp Wisconsin, Inc.
Taylor Capital Group
d
Hampton Roads Bankshares, Inc.
Metropolitan Bank Group, Inc.
Old Second Bancorp, Inc.
First Place Financial Corp.
Independent Bank Corporation
Pinnacle Financial Partners, Inc.
Total
Santa Barbara, CA
Blairsville, GA
Kansas City, MO
Los Angeles, CA
Madison, WI
Rosemont, IL
Norfolk, VA
Chicago, IL
Aurora, IL
Warren, OH
Ionia, MI
Nashville, TN
Outstanding
Investment
($millions)
$
180.6
$
180.0
$
146.1
$
122.0
$
110.0
$
104.8
$
80.3
$
78.4
$
73.0
$
72.9
$
72.0
$
71.3
$6.8 billion
Notes to Top 25 Remaining Capital Purchase Program Investments as of May 31, 2012:
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 and
Treasury's MCP was converted into 378,750,000 shares of common stock. Treasury currently holds 5,738,637 shares of Sterling
common stock following a reverse stock split.
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. Treasury currently
holds 3,608,332 shares of Pacific Capital common stock following a reverse stock split.
d/ Treasury exchanged its preferred stock for mandatorily convertible preferred stock (MCP). Hampton Roads fulfilled the conversion
conditions and Treasury's MCP was converted into 52,225,550 shares of common stock. Treasury currently holds 2,089,022 shares of
Hampton common stock following a reverse stock split.
8
Program Updates – Bank Support Programs
Monthly 105(a) Report
May 2012
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 maps and regional snapshots will provide monthly overviews of outstanding CPP investments as TARP continues to wind
down its 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 regional maps also indicate which of the top 15 institutions in each region have outstanding payments due
to Treasury. A full list of remaining CPP investments, including more detail about those banks with outstanding payments including the
number of payments they have missed, is contained in the appendix to this report. This information is also available in the Dividends and
Interest Report published monthly at http://www.treasury.gov/initiatives/financial-stability/briefing-room/reports/dividendsinterest/Pages/default.aspx.
9
Program Updates – Bank Support Programs
Monthly 105(a) Report
Nationwide CPP Institution Density Map*
May 2012
as of May 31, 2012
Total Remaining Institutions
343
*Fo r purpo ses o f the maps sho wing the lo catio n o f CP P institutio ns, CP P banks are deemed to be lo cated in the state in which they maintain their headquarters.
10
Program Updates – Bank Support Programs
Monthly 105(a) Report
May 2012
Southeast CPP Institutions as of May 31, 2012
Largest 15 Investments in the Southeast
Regional Density Map*
Synovus Financial Corp.
GA
Investment
Amount
($ Millions)
968
Popular, Inc.
PR
935
First BanCorp*
PR
400
United Community Banks, Inc.
GA
180
Pinnacle Financial Partners, Inc.
TN
71
NewBridge Bancorp
NC
52
Ameris Bancorp
GA
52
FNB United Corp.*
NC
52
U.S. Century Bank
FL
50
Bank
*Fo r purpo ses o f the maps sho wing the lo catio n o f CP P institutio ns, CP P banks are deemed to be lo cated in the state
in which they maintain their headquarters.
BancTrust Financial Group, Inc.
AL
50
Yadk in Valley Financial Corporation
NC
49
Fidelity Southern Corporation
GA
48
Southern Community Financial Corp.
NC
43
First South Bancorp, Inc.
TN
37
First Security Group, Inc.
TN
33
Top 15 Total
$
3,020
Region Total
$
3,714
No te: Italic red text indicates institutio ns that have missed dividend payments. M o re details can be fo und in
the appendix to this repo rt and in the Dividends and Interest Repo rt published mo nthly at
www.treasury.go v/initiatives/financial-stability/briefing-ro o m/repo rts/dividends-interest/P ages/default.aspx
*This institutio n’ s o riginal investment has been co nverted into shares o f co mmo n sto ck in the institutio n.
A mo unt sho wn reflects the o riginal investment amo unt less sale pro ceeds as applicable. M o re info rmatio n
can be fo und in the Transactio n Repo rt lo cated in the appendix.
State/Territory Snapshot
Number of CPP Institutions
Investment Amount ($ Millions)
State
AL
FL
GA
MS
NC
PR
SC
TN
6
$85
14
$145
19
$1,391
3
$10
21
$407
2
$1,335
13
$117
14
$224
11
Program Updates – Bank Support Programs
Monthly 105(a) Report
May 2012
Mid Atlantic and Northeast
CPP Institutions as of May 31, 2012
Largest 15 Investments in the Northeast
Regional Density Map*
M&T Bank Corporation
NY
Investment
Amount
($ Millions)
382
New York Private Bank & Trust Corporation
NY
267
Bank
*Fo r purpo ses o f the maps sho wing the lo catio n o f CP P institutio ns, CP P banks are deemed to be lo cated in the state
in which they maintain their headquarters.
Hampton Roads Bankshares, Inc.*
VA
80
Virginia Commerce Bancorp
VA
71
Royal Bancshares of Pennsylvania, Inc.
PA
30
First United Corporation
MD
30
VIST Financial Corp.
PA
25
Intervest Bancshares Corporation
NY
25
Eastern Virginia Bank shares, Inc.
VA
24
Severn Bancorp, Inc.
MD
23
TriState Capital Holdings, Inc.
PA
23
Premier Financial Bancorp, Inc.
WV
22
Unity Bancorp, Inc.
NJ
21
Community Bank ers Trust Corporation
VA
18
Parke Bancorp, Inc.
NJ
16
Top 15 Total
$
1,058
Region Total
$
1,330
No te: Italic red text indicates institutio ns that have missed dividend payments. M o re details can be fo und in
the appendix to this repo rt and in the Dividends and Interest Repo rt published mo nthly at
www.treasury.go v/initiatives/financial-stability/briefing-ro o m/repo rts/dividends-interest/P ages/default.aspx
*This institutio n’ s o riginal investment has been co nverted into shares o f co mmo n sto ck in the institutio n.
A mo unt sho wn reflects the o riginal investment amo unt less sale pro ceeds as applicable. M o re info rmatio n
can be fo und in the Transactio n Repo rt lo cated in the appendix.
State Snapshot
Number of CPP Institutions
Investment Amount ($ Millions)
State
CT
DE
MA
MD
ME
NH
NJ
NY
PA
RI
VA
VT
WV
0
$0
0
$0
2
$21
10
$108
2
$17
1
$2
4
$52
4
$681
9
$130
1
$1
13
$296
0
$0
1
$22
12
Program Updates – Bank Support Programs
Monthly 105(a) Report
May 2012
Southwest and South Central CPP Institutions as of May 31, 2012
Largest 15 Investments in the Southwest
Regional Density Map*
International Bancshares Corporation
TX
Investment
Amount
($ Millions)
216
Southwest Bancorp, Inc.
OK
70
Bank
*Fo r purpo ses o f the maps sho wing the lo catio n o f CP P institutio ns, CP P banks are deemed to be lo cated in the state
in which they maintain their headquarters.
State
MetroCorp Bancshares, Inc.
TX
45
Trinity Capital Corporation
NM
36
Spirit Bank Corp, Inc.
OK
30
Patriot Bancshares, Inc.
TX
26
Rogers Bancshares, Inc.
AR
25
Central Bancorp, Inc.
TX
23
Central Community Corporation
TX
22
FC Holdings, Inc.
TX
21
Chambers Bancshares, Inc.
AR
20
First Trust Corporation
LA
18
OneFinancial Corporation
AR
17
White River Bancshares Company
AR
17
Community First Bancshares, Inc.
AR
13
Top 15 Total
$
598
Region Total
$
666
No te: Italic red text indicates institutio ns that have missed dividend payments. M o re details can be fo und in
the appendix to this repo rt and in the Dividends and Interest Repo rt published mo nthly at
www.treasury.go v/initiatives/financial-stability/briefing-ro o m/repo rts/dividends-interest/P ages/default.aspx
State Snapshot
Number of CPP Institutions
Investment Amount ($ Millions)
AR
AZ
LA
NM
OK
TX
7
$93
3
$8
4
$28
3
$48
2
$100
12
$389
13
Program Updates – Bank Support Programs
Monthly 105(a) Report
May 2012
Mountain West and Plains States CPP Institutions as of May 31, 2012
Largest 15 Investments in the Mountain West
Regional Density Map*
Zions Bancorporation
UT
Investment
Amount
($ Millions)
700
Alpine Banks of Colorado
CO
70
Fidelity Financial Corporation
KS
36
Intermountain Community Bancorp
ID
27
Blue Valley Ban Corp
KS
22
First Western Financial, Inc.
CO
20
BNCCORP, Inc.
ND
20
First Community Bancshares, Inc
KS
15
Bank ers' Bank of the West Bancorp, Inc.
CO
13
Farmers Enterprises, Inc.
KS
12
Security State Bank Holding-Company
ND
11
ColoEast Bank shares, Inc.
CO
10
Bank
*Fo r purpo ses o f the maps sho wing the lo catio n o f CP P institutio ns, CP P banks are deemed to be lo cated in the state
in which they maintain their headquarters.
State
Syringa Bancorp
ID
8
First Gothenburg Bancshares, Inc.
NE
8
Country Bank Shares, Inc.
NE
8
Top 15 Total
$
979
Region Total
$
1,028
No te: Italic red text indicates institutio ns that have missed dividend payments. M o re details can be fo und in
the appendix to this repo rt and in the Dividends and Interest Repo rt published mo nthly at
www.treasury.go v/initiatives/financial-stability/briefing-ro o m/repo rts/dividends-interest/P ages/default.aspx
State Snapshot
Number of CPP Institutions
Investment Amount ($ Millions)
CO
ID
KS
MT
ND
NE
NV
SD
UT
WY
8
$132
3
$42
8
$89
0
$0
3
$36
4
$24
1
$3
0
$0
1
$700
1
$3
14
Program Updates – Bank Support Programs
Monthly 105(a) Report
May 2012
Midwest CPP Institutions as of May 31, 2012
Largest 15 Investments in the Midwest
Regional Density Map*
Citizens Republic Bancorp, Inc.
MI
Investment
Amount
($ Millions)
300
First Bank s, Inc.
MO
295
Flagstar Bancorp, Inc.
MI
267
PrivateBancorp, Inc.
IL
244
Dick inson Financial Corporation II
MO
146
Anchor BanCorp Wisconsin Inc.
WI
110
Taylor Capital Group
IL
105
Metropolitan Bank Group, Inc.
IL
78
Bank
*Fo r purpo ses o f the maps sho wing the lo catio n o f CP P institutio ns, CP P banks are deemed to be lo cated in the state
in which they maintain their headquarters.
State
Old Second Bancorp, Inc.
IL
73
First Place Financial Corp.
OH
73
Independent Bank Corporation
MI
72
Standard Bancshares, Inc.
IL
60
Reliance Bancshares, Inc.
MO
40
Bridgeview Bancorp, Inc.
IL
38
First Defiance Financial Corp.
OH
37
Top 15 Total
$
1,938
Region Total
$
2,991
No te: Italic red text indicates institutio ns that have missed dividend payments. M o re details can be fo und in
the appendix to this repo rt and in the Dividends and Interest Repo rt published mo nthly at
www.treasury.go v/initiatives/financial-stability/briefing-ro o m/repo rts/dividends-interest/P ages/default.aspx
State Snapshot
Number of CPP Institutions
Investment Amount ($ Millions)
IA
IL
IN
KY
MI
MN
MO
OH
WI
3
$33
23
$835
6
$54
10
$146
9
$724
11
$88
22
$714
8
$175
12
$222
15
Program Updates – Bank Support Programs
Monthly 105(a) Report
May 2012
Western Region CPP Institutions as of May 31, 2012
Largest 15 Investments in the West
Regional Density Map*
*Fo r purpo ses o f the maps sho wing the lo catio n o f CP P institutio ns, CP P banks are deemed to be lo cated in the state
in which they maintain their headquarters.
State
Sterling Financial Corporation*
WA
Investment
Amount
($ Millions)
303
Cathay General Bancorp
CA
258
Pacific Capital Bancorp*
CA
181
BBCN Bancorp, Inc.
CA
122
Exchange Bank
CA
43
PremierWest Bancorp
OR
41
Fremont Bancorporation
CA
35
Heritage Oaks Bancorp
CA
21
Timberland Bancorp, Inc.
WA
17
Pacific City Financial Corporation
CA
16
Community West Bancshares
CA
16
Broadway Financial Corporation
CA
15
Plumas Bancorp
CA
12
Presidio Bank
CA
11
Northwest Bancorporation, Inc.
WA
11
Top 15 Total
$
1,101
Region Total
$
1,216
No te: Italic red text indicates institutio ns that have missed dividend payments. M o re details can be fo und in
the appendix to this repo rt and in the Dividends and Interest Repo rt published mo nthly at
www.treasury.go v/initiatives/financial-stability/briefing-ro o m/repo rts/dividends-interest/P ages/default.aspx
*This institutio n’ s o riginal investment has been co nverted into shares o f co mmo n sto ck in the institutio n.
A mo unt sho wn reflects the o riginal investment amo unt less sale pro ceeds as applicable. M o re info rmatio n
can be fo und in the Transactio n Repo rt lo cated in the appendix.
State Snapshot
Number of CPP Institutions
Investment Amount ($ Millions)
Bank
AK
CA
HI
OR
WA
1
$5
30
$817
0
$0
3
$49
6
$346
16
Program Updates – Investment in AIG
Monthly 105(a) Report
May 2012
Investment in American International Group, Inc. (AIG)
On May 6, Treasury priced an offering of approximately 163.9 million shares of its American International Group (AIG) common stock at
$30.50 per share in an underwritten public offering2. On May 7, the underwriters exercised their over-allotment option to purchase an
additional $750 million of AIG common stock from Treasury. The exercise of the over-allotment option increased Treasury’s proceeds from
the public offering to approximately $5.8 billion and total number of shares sold in the offering to approximately 188.5 million. Overall, the
offering reduced Treasury’s remaining investment in AIG to $30 billion, consisting of approximately 1.06 billion shares of common stock;
and reduced Treasury’s percentage ownership of AIG’s outstanding shares of common stock from 70 percent to 61 percent.
2
As part of Treasury’s offering, AIG agreed to purchase approximately 65.6 million shares at the public offering price of $30.50 per share – representing $2.0 billion of
Treasury’s expected proceeds from the sale.
17
Program Updates – Auto Programs
Monthly 105(a) Report
May 2012
Auto Programs
Ally Financial
In May 2012, Residential Capital, LLC (ResCap) filed to enter into a Chapter 11 reorganization process. ResCap is a residential mortgage
company owned by Ally Financial. It is a separate and distinct company from Ally that has its own board of directors and creditors. And it is
about one-tenth the size of Ally based on assets. Treasury does not hold any equity, debt, or other direct investment in ResCap. While it is
unfortunate that a Chapter 11 filing became necessary for ResCap, we believe that this action puts taxpayers in a stronger position to
continue recovering their investment in Ally Financial.
A blog post by Assistant Secretary Timothy G. Massad discussing Treasury’s view of the Chapter 11 filing is available on the Treasury
website at: http://www.treasury.gov/connect/blog/Pages/Putting-Taxpayers-in-a-Stronger-Position-to-Continue-Recovering-TheirInvestment-in-Ally-Financial.aspx.
18
Program Updates – Housing Programs
Monthly 105(a) Report
May 2012
Housing Programs
Making Home Affordable Program Performance Report
On June 6, 2012, the U.S. Department of the Treasury released the Making Home Affordable (MHA) Program Performance Report
through April 2012: http://www.treasury.gov/initiatives/financial-stability/results/MHA-Reports/Pages/default.aspx. Highlights from this
month include:
In total, more than 1.1 million homeowner assistance actions have been granted through MHA, consisting of first and second lien
permanent modifications, Home Affordable Foreclosure Alternatives (HAFA) transactions, and Unemployment Program (UP)
forbearance plans.
More than 1,000,000 homeowners have been granted permanent modifications since the start of the program. Approximately 15,000
new permanent modifications and 19,000 trial modification starts have been reported since the March report.
To date, homeowners in permanent modifications have saved an estimated $12.7 billion in monthly mortgage payments. Homeowners
in active first lien permanent modifications are currently saving a median of $535 per month – more than one-third of the median
before-modification payment.
For homeowners currently in HAMP permanent modifications with the Principal Reduction Alternative feature, the median amount of
principal reduced is $68,267. This totals nearly $4.7 billion in principal reductions. To date, homeowners in PRA are further underwater
and more homeowners are seriously delinquent at trial start than the overall population of HAMP participants. 88% of homeowners in
the PRA program are at least 60 days delinquent at trial start (compared to 80% of the overall HAMP population) with a beforemodification loan-to-value ratio of 157% (compared to 120% for the overall HAMP population).
On January 27, 2012, Treasury announced program enhancements to expand HAMP eligibility to “Tier 2”. HAMP Tier 2 is designed to
provide help for borrowers with a financial hardship whose debt-to-income ratio is below 31 percent, who have properties occupied by a
tenant or who have vacant properties that the borrower is trying to rent. As of June 1, 2012, servicers have informed Treasury that they
have begun accepting HAMP Tier 2 modification requests from borrowers. For more detail, please refer to page 3 of the MHA Program
Performance Report through April 2012.
Servicer Assessments
Included in MHA Program Performance Report through April 2012 are detailed assessments for the largest mortgage servicers
participating in the MHA Program with results from the first quarter of 2012. In addition to providing greater transparency about servicer
performance in the program, the servicer assessments – first introduced in June 2011 and published quarterly – are intended to set a new
industry benchmark for disclosure around servicer efforts to assist struggling homeowners, while prompting them to correct identified
deficiencies.
For the first quarter of 2012, three servicers were found to need minor improvement on the areas reviewed, while six servicers were
found to need moderate improvement. All servicers will need to continue to demonstrate progress in areas identified in follow-up
program reviews.
19
Program Updates – Housing Programs
Monthly 105(a) Report
May 2012
2MP and HAFA Program Results
The Second Lien Modification Program (2MP) enables homeowners in a permanent first lien modification under HAMP to modify
eligible second lien mortgages serviced by a participating servicer. To date, more than 80,000 homeowners in a permanent first lien
modification under HAMP have received assistance through 2MP. Since homeowners with permanent first lien modifications under
HAMP become automatically eligible when their second lien servicer participates in 2MP, this number will likely continue to grow.
Over 68,000 homeowners have reached agreements with their servicer to exit their home and transition to a more affordable living
situation under the HAFA Program through a short sale or deed-in-lieu of foreclosure. Over 44,000 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.
Hardest Hit Fund
The Hardest Hit Fund provides $7.6 billion 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). These areas were chosen because
they have experienced steep home price declines or severe unemployment in the economic downturn. States are experimenting with a
number of different programs to help homeowners, including principal reduction, reinstatement, short sale/transition assistance,
modification assistance, loan purchase and mortgage payment programs.
There are now 55 programs across the 19 HFAs. Approximately 70 percent of total program funds are being targeted to help
unemployed borrowers, primarily through reinstatement and programs that help homeowners pay their mortgage while looking for work.
All 19 HFAs 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 (Bank of America, GMAC, JPMorgan Chase, Citibank, and Wells Fargo) are participating in all states,
primarily in mortgage payment assistance and reinstatement programs; several states have over one hundred participating servicers.
All HFAs are 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 of time are starting to show substantial growth in the number of borrowers assisted (e.g.
California, Florida, Illinois, Michigan, North Carolina, Ohio and South Carolina). 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 program changes in Florida. The changes to Florida’s programs are designed to make them more flexible,
expand the eligible population of homeowners, and offer deeper levels of assistance to enable particularly hard hit homeowners to
recover from unemployment or achieve a more sustainable mortgage payment.
Two HFAs drew a total of $17.6 million in May; over the life of the program, a total of $941million has been drawn down by the 18
states and the District of Columbia. Each HFA draws down funds as they are needed. (See Figure 6) HFAs have until December 31,
2017 to expend funds, and must have no more than 5 percent of their allocation on hand before they can draw down additional funds.
20
Program Updates – Housing Programs
Monthly 105(a) Report
May 2012
Each state submits a quarterly report on the progress of its programs. Direct links to each state’s most recent performance report can
be found at http://www.treasury.gov/initiatives/financial-stability/programs/housing-programs/hhf/Pages/default.aspx and below in
Figure 5.
Figure 5:
Programs Available Through the Hardest Hit Fund
AL
AZ
CA
Statewide
Launch
2/2/11
9/20/10
1/10/11
DC
4/19/11
FL
GA
IL
IN
KY
MI
MS
NC
NJ
NV
OH
OR
4/18/11
4/1/11
7/25/11
5/10/11
4/1/11
7/12/10
5/16/11
12/1/10
5/8/11
2/21/11
9/27/10
12/10/10
RI
12/1/10
SC
TN
1/20/11
3/1/11
State
Reporting Link
Program Information Link
http://www.hardesthitalabama.com/TreasuryHHA.html
http://www.azhousing.gov/ShowPage.aspx?ID=405&CID=11
http://www.keepyourhomecalifornia.org/reports.htm
http://www.dchfa.org/DCHFAHome/Homebuyers/ForeclosurePrevention/QuarterlyRepor
ts/tabid/219/Default.aspx
http://www.hardesthitalabama.com
https://www.savemyhomeaz.gov/
www.keepyourhomecalifornia.org
http://apps.floridahousing.org/StandAlone/FHFC_ECM/ContentPage.aspx?PAGE=0277
http://www.dca.state.ga.us/housing/homeownership/programs/treasuryReports.asp
http://www.illinoishardesthit.org/spv-7.aspx
http://www.877gethope.org/news/indianas-hardest-hit-funding-update
http://www.kyhousing.org/page.aspx?id=3165
http://www.michigan.gov/mshda/0,1607,7-141-45866_47905-250571--,00.html
http://www.mshomecorp.com/about%20mhc/disclosures.htm
http://www.ncforeclosureprevention.gov/hardest_hit_funds.aspx
http://www.njhomekeeper.gov/performance.htm
http://www.nahac.org/
http://www.ohiohome.org/restoringstability/reports.aspx
http://www.oregonhomeownerhelp.org/en/reporting
http://www.hhfri.org/HHFRI_Dynamic_Content.aspx?id=10737418256&ekmensel=c580f
a7b_10737418238_10737418240_btnlink
http://www.scmortgagehelp.com/reports.html
https://www.keepmytnhome.org/
https://www.homesaverdc.org/
https://www.flhardesthithelp.org/
https://www.homesafegeorgia.com
https://www.illinoishardesthit.org/
http://www.877gethope.org/
http://www.ProtectMyKYHome.org
http://www.stepforwardmichigan.org
http://www.mshomesaver.com
http://www.ncforeclosureprevention.gov/
http://www.njhomekeeper.gov
http://www.nahac.org/
http://www.savethedream.ohio.gov/
http://www.oregonhomeownerhelp.org/
http://www.hhfri.org/
http://www.scmortgagehelp.com/
http://www.keepmytnhome.org
21
Program Updates – Housing Programs
Monthly 105(a) Report
Figure 6:
May 2012
Hardest Hit Fund as of May 31, 2012
State (% Cap Disbursed)
Alabama (17.2%)
$0.0
$500,000,000.0
$1,000,000,000.0
$1,500,000,000.0
$2,000,000,000.0
$28,000,000
Arizona (7.9%)
$21,255,000
California (11%)
Washington D.C. (29.2%)
$217,490,000
$6,034,860
Florida (6%)
$63,350,000
Georgia (11.3%)
$38,200,000
Illinois (10.4%)
Indiana (9.9%)
Kentucky (16.1%)
$46,500,000
$22,000,000
$24,000,000
Michigan (9.5%)
Mississippi (7.5%)
$47,317,776
$7,641,624
North Carolina (26.5%)
$128,000,000
New Jersey (2.5%)
Nevada (9.2%)
$7,513,704
$17,922,000
Ohio (16.8%)
Oregon (37.9%)
Rhode Island (32.8%)
South Carolina (13.5%)
Tennessee (9.3%)
$96,100,000
$83,501,070
$26,000,000
$40,000,000
$20,315,593
Funds Remaining
Paid to Date (Amount Shown)
22
Table of Contents – Appendix
Monthly 105(a) Report
May 2012
Appendix Section
Statutory Requirement3
Remaining CPP Institutions……………………………………………………………………………..
Additional Information
24
Administrative Obligations and Expenditures…………………………….…………………………
EESA §105(a)(2)
32
Agreements under TARP………………………………………………………….……………………..
EESA §105(a)(3)(A)
33
Insurance Contracts……………………………………………………………….……………………..
EESA §105(a)(3)(B)
39
Transactions Report…………………………………………………………….………………………..
EESA §105(a)(3)(C,D,G)
40
Page
Investment Programs
40
Home Affordable Modification Program
71
Projected Costs and Liabilities………………………………………………………………………....
EESA §105(a)(3)(E)
115
Programmatic Operating Expenses……………………………………………………………………
EESA §105(a)(3)(F)
116
Description of Vehicles Established…………………………………………………………...……...
EESA §105(a)(3)(H)
117
HAMP Application Activity by Servicer………………………………………………………..……...
Dodd-Frank §1483(b)
118
3
§105(a)(1) is covered by the body of this report. EESA (Emergency Economic Stabilization Act of 2008). Dodd-Frank (Dodd-Frank Wall Street Reform
and Consumer Protection Act).
23
Remaining CPP Institutions
Name
Synovus Financial Corp.
Popular, Inc.
Zions Bancorporation
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
Pacific Capital Bancorp*
United Community Banks, Inc.
Dickinson Financial Corporation II
BBCN Bancorp, Inc.
Anchor BanCorp Wisconsin Inc.
Taylor Capital Group
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
Standard Bancshares, Inc.
NewBridge Bancorp
Ameris Bancorp
FNB United Corp.*
U.S. Century Bank
BancTrust Financial Group, Inc.
Yadkin Valley Financial Corporation
Fidelity Southern Corporation
MetroCorp Bancshares, Inc.
Exchange Bank
Southern Community Financial Corp.
PremierWest Bancorp
Reliance Bancshares, Inc.
Bridgeview Bancorp, Inc.
Location
Columbus, GA
San Juan, PR
Salt Lake City, UT
San Juan, PR
Buffalo, NY
Spokane, WA
Flint, MI
Clayton, MO
New York, NY
Troy, MI
Los Angeles, CA
Chicago, IL
Laredo, TX
Santa Barbara, CA
Blairsville, GA
Kansas City, MO
Los Angeles, CA
Madison, WI
Rosemont, IL
Norfolk, VA
Chicago, IL
Aurora, IL
Warren, OH
Ionia, MI
Nashville, TN
Arlington, VA
Stillwater, OK
Glenwood Springs, CO
Hickory Hills, IL
Greensboro, NC
Moultrie, GA
Asheboro, NC
Miami, FL
Mobile, AL
Elkin, NC
Atlanta, GA
Houston, TX
Santa Rosa, CA
Winston-Salem, NC
Medford, OR
Frontenac, MO
Bridgeview, IL
Public/Private
Public
Public
Public
Public
Public
Public
Public
Private
Private
Public
Public
Public
Public
Public
Public
Private
Public
Public
Public
Public
Private
Public
Public
Public
Public
Public
Public
Private
Private
Public
Public
Public
Private
Public
Public
Public
Public
Public
Public
Public
Public
Private
Amount
Outstanding
$
967,870,000
$
935,000,000
$
700,000,000
$
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
$
180,634,000
$
180,000,000
$
146,053,000
$
122,000,000
$
110,000,000
$
104,823,000
$
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
$
60,000,000
$
52,372,000
$
52,000,000
$
51,500,000
$
50,236,000
$
50,000,000
$
49,312,000
$
48,200,000
$
45,000,000
$
43,000,000
$
42,750,000
$
41,400,000
$
40,000,000
$
38,000,000
24
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
BNC Bancorp
Royal Bancshares of Pennsylvania, Inc.
Farmers Capital Bank Corporation
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.
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.
Heritage Oaks Bancorp
The Baraboo Bancorporation
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
Thomasville, NC
Narberth, PA
Frankfort, KY
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
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
Paso Robles, CA
Baraboo, WI
Public
Private
Private
Private
Public
Public
Public
Private
Private
Public
Public
Public
Public
Public
Public
Public
Public
Private
Public
Public
Private
Public
Public
Public
Public
Public
Public
Private
Private
Public
Public
Private
Public
Public
Private
Public
Private
Private
Public
Private
Public
Public
Public
Private
Public
Public
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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
31,260,000
30,407,000
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
24,664,000
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
20,749,000
25
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.
HopFed Bancorp
Hawthorn Bancshares, Inc.
First Trust Corporation
ECB Bancorp, Inc.
Community First Inc.
Community Bankers Trust Corporation
OneFinancial Corporation
Southern First Bancshares, Inc.
Liberty Shares, Inc.
F&M Financial Corporation
Northern States Financial Corporation
Guaranty Federal Bancshares, Inc.
F & M Financial Corporation
White River Bancshares Company
Timberland Bancorp, Inc.
1st FS Corporation
Parke Bancorp, Inc.
Pacific City Financial Corporation
Valley Financial Corporation
CoastalSouth Bancshares, Inc.
Carolina Bank Holdings, Inc.
Community West Bancshares
First Reliance Bancshares, Inc.
Broadway Financial Corporation
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
First National Corporation
Bank of the Carolinas Corporation
SouthCrest Financial Group, Inc.
HCSB Financial Corporation
Community First Bancshares, Inc.
Clinton, NJ
Tecumseh, MI
Tampa, FL
Washington, MO
Denver, CO
Louisville, KY
Mt. Vernon, IL
Bismarck, ND
Elizabethtown, KY
Danville, AR
Hopkinsville, KY
Lee's Summit, MO
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
Hilton Head Island, SC
Greensboro, NC
Goleta, CA
Florence, SC
Los Angeles, CA
Rockford, IL
Wausau, WI
Elmhurst, IL
Overland Park, KS
Midlothian, VA
Mount Pleasant, SC
Barnesville, GA
Strasburg, VA
Mocksville, NC
Fayetteville, GA
Loris, SC
Harrison, AR
Public
Public
Private
Private
Private
Private
Private
Public
Public
Private
Public
Public
Private
Public
Private
Public
Private
Public
Private
Private
Public
Public
Private
Private
Public
Public
Public
Public
Public
Private
Public
Public
Public
Private
Public
Private
Private
Private
Public
Public
Private
Public
Public
Public
Public
Private
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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
18,400,000
18,255,000
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
16,015,000
16,000,000
15,600,000
15,349,000
15,000,000
15,000,000
15,000,000
15,000,000
14,800,000
14,738,000
14,448,000
14,400,000
13,900,000
13,179,000
12,900,000
12,895,000
12,725,000
26
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.
Plumas Bancorp
TCB Holding Company, Texas Community Bank
Cecil Bancorp, Inc.
Western Illinois Bancshares Inc.
Central Virginia Bankshares, Inc.
First Community Corporation
Farmers & Merchants Bancshares, Inc.
Mackinac Financial Corporation
Stonebridge Financial Corp.
First Capital Bancorp, Inc.
Ridgestone Financial Services, Inc.
Presidio Bank
Security State Bank Holding-Company
Crosstown Holding Company
Mercantile Bank Corporation
Northwest Bancorporation, Inc.
Uwharrie Capital Corp
Mid Penn Bancorp, Inc.
NCAL Bancorp
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.
Business Bancshares, Inc.
Delmar Bancorp
Staunton, VA
Denver, CO
Devon, PA
Damariscotta, ME
Colquitt, GA
Boston, MA
Louisville, GA
Independence, MO
Minneapolis, MN
Great Bend, KS
Saint Paul, MN
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
Blaine, MN
Grand Rapids, MI
Spokane, WA
Albemarle, NC
Millersburg, PA
Los Angeles, CA
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
Clayton, MO
Delmar, MD
Public
Private
Private
Public
Private
Private
Private
Private
Private
Private
Private
Public
Private
Public
Private
Public
Public
Private
Public
Private
Public
Private
Public
Private
Private
Public
Public
Public
Public
Public
Private
Public
Public
Public
Private
Public
Public
Public
Private
Private
Private
Public
Public
Private
Private
Public
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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
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
10,650,000
10,500,000
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
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
27
HPK Financial Corporation
Wachusett Financial Services, Inc.
RCB Financial Corporation
Farmers Bank
First Freedom Bancshares, Inc.
United American Bank
BancStar, Inc.
Great River Holding Company
Private Bancorporation, Inc.
F & M Bancshares, Inc.
Syringa Bancorp
Commonwealth Business Bank
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
Western Community Bancshares, Inc.
FFW Corporation
Millennium Bancorp, Inc.
Central Federal Corporation
TriSummit Bank
Fidelity Bancorp, Inc.
Chicago Shore Corporation
Heartland Bancshares, Inc.
Community Financial Shares, Inc.
Idaho Bancorp
Harbor Bankshares Corporation
Monarch Community Bancorp, Inc.
Highlands Independent Bancshares, Inc.
Fidelity Federal Bancorp
Citizens First Corporation
Alarion Financial Services, Inc.
Pacific International Bancorp
Liberty Bancshares, Inc.
Biscayne Bancshares, Inc.
First Intercontinental Bank
Premier Financial Corp
Citizens Commerce Bancshares, Inc.
Randolph Bank & Trust Company
Patapsco Bancorp, Inc.
Peninsula Bank Holding Co.
ICB Financial
Chicago, IL
Clinton, MA
Rome, GA
Windsor, VA
Lebanon, TN
San Mateo, CA
Festus, MO
Baxter, MN
Minneapolis, MN
Trezevant, TN
Boise, ID
Los Angeles, CA
Oak Ridge, NC
Doraville, GA
Gothenburg, NE
Milford, NE
Kinston, NC
New York, NY
Destin, FL
Seattle, WA
Palm Desert, CA
Wabash, IN
Edwards, CO
Fairlawn, OH
Kingsport, TN
Pittsburgh, PA
Chicago, IL
Franklin, IN
Glen Ellyn, IL
Boise, ID
Baltimore, MD
Coldwater, MI
Sebring, FL
Evansville, IN
Bowling Green, KY
Ocala, FL
Seattle, WA
Fort Worth, TX
Coconut Grove, FL
Doraville, GA
Dubuque, IA
Versailles, KY
Asheboro, NC
Dundalk, MD
Palo Alto, CA
Ontario, CA
Private
Private
Private
Private
Private
Public
Private
Private
Private
Private
Public
Public
Public
Private
Private
Private
Public
Private
Private
Public
Private
Public
Private
Public
Private
Public
Private
Public
Public
Public
Public
Public
Private
Public
Public
Private
Public
Private
Private
Public
Private
Public
Public
Public
Public
Public
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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
8,144,000
8,000,000
7,701,000
7,700,000
7,700,000
7,570,000
7,525,000
7,500,000
7,500,000
7,500,000
7,400,000
7,290,000
7,289,000
7,260,000
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
6,000,000
6,000,000
6,000,000
28
Rising Sun Bancorp
IA Bancorp, Inc.
Three Shores Bancorporation, Inc.
Waukesha Bankshares, Inc.
Boscobel Bancorp, Inc
Valley Community Bank
First Southwest Bancorporation, Inc.
Midtown Bank & Trust Company
Moscow Bancshares, Inc.
Capital Commerce Bancorp, Inc.
Franklin Bancorp, Inc.
Covenant Financial Corporation
Blackridge Financial, Inc.
AmFirst Financial Services, Inc.
Germantown Capital Corporation, Inc.
Alaska Pacific Bancshares, Inc.
Western Reserve Bancorp, Inc
Virginia Company Bank
CalWest Bancorp
Georgia Primary Bank
Community Pride Bank Corporation
CBB Bancorp
Pinnacle Bank Holding Company, Inc.
Metropolitan Capital Bancorp, Inc.
First Business Bank, N.A.
Northeast Bancorp
Annapolis Bancorp, Inc.
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
First BancTrust Corporation
Allied First Bancorp, Inc.
CedarStone Bank
AB&T Financial Corporation
Patterson Bancshares, Inc
First Alliance Bancshares, Inc.
Rising Sun, MD
Iselin, NJ
Orlando, FL
Waukesha, WI
Boscobel, WI
Pleasanton, CA
Alamosa, CO
Atlanta, GA
Moscow, TN
Milwaukee, WI
Washington, MO
Clarksdale, MS
Fargo, ND
McCook, NE
Germantown, TN
Juneau, AK
Medina, OH
Newport News, VA
Rancho Santa Margarita, CA
Atlanta, GA
Ham Lake, MN
Cartersville, GA
Orange City, FL
Chicago, IL
San Diego, CA
Lewiston, ME
Annapolis, MD
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
Paris, IL
Oswego, IL
Lebanon, TN
Gastonia, NC
Patterson, LA
Cordova, TN
Public
Private
Private
Private
Private
Public
Private
Private
Private
Private
Private
Private
Private
Private
Private
Public
Public
Public
Public
Private
Private
Private
Private
Private
Public
Public
Public
Public
Public
Private
Public
Public
Private
Private
Public
Public
Private
Private
Private
Private
Public
Public
Private
Private
Private
Private
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
5,983,000
5,976,000
5,677,000
5,625,000
5,586,000
5,500,000
5,500,000
5,222,000
5,116,000
5,100,000
5,097,000
5,000,000
5,000,000
5,000,000
4,967,000
4,781,000
4,700,000
4,700,000
4,656,000
4,500,000
4,400,000
4,397,000
4,389,000
4,388,000
4,243,000
4,227,000
4,076,000
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
3,675,000
3,652,000
3,564,000
3,500,000
3,440,000
3,422,000
29
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.
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.
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.
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.
Ojai Community Bank
Market Bancorporation, Inc.
Atlantic Bancshares, Inc.
Northwest Commercial Bank
Richmond, KY
Cleveland, GA
Cayce, SC
Oneonta, AL
Detroit, MI
Salem, OR
Buffalo, WY
Granby, CO
Houston, TX
Morehead City, NC
Oak Ridge, TN
Charlotte, NC
Clover, SC
St. Louis, MO
Vero Beach, FL
Freeport, IL
Milwaukee, WI
Holden, MO
Dalton, GA
Santa Paula, CA
Garden Grove, CA
Lakewood, CO
Olathe, KS
Sylacauga, AL
Huntsville, AL
Horn Lake, MS
Las Vegas, NV
Manhattan, IL
Bucyrus, OH
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
Ojai, CA
New Market, MN
Bluffton, SC
Lakewood, WA
Private
Private
Public
Private
Private
Public
Public
Private
Private
Public
Private
Public
Private
Private
Private
Private
Private
Private
Public
Public
Public
Private
Private
Public
Private
Private
Private
Private
Public
Private
Public
Private
Private
Private
Private
Private
Private
Private
Private
Private
Private
Private
Public
Private
Public
Public
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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
2,993,000
2,986,000
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
2,568,000
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
2,080,000
2,060,000
2,000,000
1,992,000
30
Fresno First Bank
Fresno, CA
Public
$
1,968,000
Hometown Bancshares, Inc.
Corbin, KY
Private
$
1,900,000
Monadnock Bancorp, Inc.
Peterborough, NH
Public
$
1,834,000
BCB Holding Company, Inc.
Theodore, AL
Private
$
1,706,000
Maryland Financial Bank
Towson, MD
Private
$
1,700,000
Gold Canyon Bank
Gold Canyon, AZ
Public
$
1,607,000
Hyperion Bank
Philadelphia, PA
Private
$
1,552,000
Saigon National Bank
Westminster, CA
Public
$
1,549,000
Beach Business Bank
Manhattan Beach, CA
Public
$
1,500,000
Regional Bankshares, Inc.
Hartsville, SC
Private
$
1,500,000
Vision Bank - Texas
Richardson, TX
Private
$
1,500,000
Indiana Bank Corp.
Dana, IN
Private
$
1,312,000
First Advantage Bancshares Inc.
Coon Rapids, MN
Private
$
1,177,000
Riverside Bancshares, Inc.
Little Rock, AR
Private
$
1,100,000
Independence Bank
East Greenwich, RI
Private
$
1,065,000
Community Holding Company of Florida, Inc.
Miramar Beach, FL
Private
$
1,050,000
Calvert Financial Corporation
Ashland, MO
Private
$
1,037,000
Bank Financial Services, Inc.
Eden Prairie, MN
Private
$
1,004,000
BankGreenville
Greenville, SC
Public
$
1,000,000
Gregg Bancshares, Inc.
Ozark, MO
Private
$
825,000
Corning Savings and Loan Association
Corning, AR
Private
$
638,000
Community Bancshares of Kansas, Inc.
Goff, KS
Private
$
500,000
Kirksville Bancorp, Inc.
Kirksville, MO
Private
$
470,000
Farmers & Merchants Financial Corporation
Argonia, KS
Private
$
442,000
The Freeport State Bank
Harper, KS
Private
$
301,000
*Original Investment has been converted at a discount into common stock in the institution. Amount shown is original
invesment amount
31
United States Department of the Treasury
Office of Financial Stability
Report of Administrative Obligations and Expenditures
For Period Ending
May 31, 2012
PERSONNEL SERVICES
NON-PERSONNEL
SERVICES
Budget
Object Class
(BOC)
1100 - 1300
2100
2200
2300
2400
2500
2600
3100
3200
4300
Budget Object Class Title
PERSONNEL COMPENSATION & BENEFITS
PERSONNEL SERVICES Total:
TRAVEL & TRANSPORTATION OF PERSONS
TRANSPORTATION OF THINGS
RENTS, COMMUNICATIONS, UTILITIES & MISC CHARGES
PRINTING & REPRODUCTION
OTHER SERVICES
SUPPLIES AND MATERIALS
EQUIPMENT
LAND & STRUCTURES
INTEREST & DIVIDENDS
NON-PERSONNEL SERVICES Total:
$
Obligations
92,531,706
92,531,706
1,849,650
11,960
762,812
434
208,714,650
1,362,603
253,286
634
212,956,029
GRAND TOTAL: $
305,487,735
$
$
$
For Period Ending
June 30, 2012
Expenditures
$
92,363,046
$
92,363,046
$
1,794,160
11,960
688,049
434
163,814,770
1,353,844
243,907
634
$
167,907,757
$
Projected
Obligations
94,762,000
94,762,000
1,915,000
12,000
763,000
500
211,970,000
1,367,000
254,000
640
216,282,140
$
$
311,044,140
260,270,803
$
$
$
Projected
Expenditures
$
94,593,000
$
94,593,000
$
1,855,000
12,000
689,000
500
166,628,000
1,359,000
244,000
640
$
170,788,140
$
265,381,140
Note: The amounts presented above are cumulative from the initiation of the TARP.
32
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Agreements Under TARP [Section 105(a)(3)(A)]
For Period May 2012
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
2/9/2009
2/12/2009
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
Contract
Contract
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
Pat Taylor & Assoc Inc.*
Locke Lord Bissell & Liddell LLP
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
Administrative Support
Legal Advisory
33
Date Approved
Type of Transaction
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
7/15/2009
7/17/2009
7/30/2009
7/30/2009
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
Interagency Agreement
Contract
Contract
Contract
Vendor
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
Judicial Watch
Korn/Ferry International
Cadwalader Wickersham & Taft LLP
Debevoise & Plimpton, LLP
Purpose
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
Legal Advisory
Administrative Support
Legal Advisory
Legal Advisory
34
Date Approved
Type of Transaction
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
4/12/2010
4/22/2010
4/22/2010
4/23/2010
5/4/2010
5/17/2010
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
Contract
Contract
Contract
Contract
Interagency Agreement
Financial Agent
Vendor
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
Ennis Knupp & Associates Inc
Digital Management Inc.*
Microlink Llc
RDA Corporation*
Internal Revenue Service
Lazard Fréres & Co. LLC
Purpose
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
Financial Advisory
Information Technology
Information Technology
Information Technology
Administrative Support
Transaction Structuring Services
35
Date Approved
Type of Transaction
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
12/29/2010
1/5/2011
1/18/2011
1/24/2011
1/26/2011
2/24/2011
2/28/2011
3/3/2011
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
Contract
Interagency Agreement
Financial Agent
Interagency Agreement
Contract
Contract
Interagency Agreement
Contract
Vendor
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*
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.*
Purpose
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
Subscription Services
Administrative Support
Structuring and Disposition Services
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Subscription Services
36
Date Approved
Type of Transaction
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
1/4/2012
1/5/2012
2/2/2012
2/14/2012
2/27/2012
2/7/2012
3/30/2012
3/6/2012
3/14/2012
5/10/2012
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
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Financial Agent
Contract
Contract
Interagency Agreement
Contract
Vendor
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
Government Accountability Office
Office of Personnel Management
Moody's Analytics Inc.
Association of Govt Accountants
Diversified Search LLC
Greenhill & Co., LLC
E‐Launch Multimedia, Inc.
Integrated Federal Solutions, Inc.*
Department of Interior
Equilar Inc.*
* Small or Women-, or Minority-Owned Small Business
**Contract responsibilities assumed by Sonnenschein Nath & Rosenthal via novation.
Purpose
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
Administrative Support
Training
Subscription Services
Administrative Support
Financial Advisory
Structuring and Disposition Services
Administrative Support
Acquisition Support Services
Information Technology
Subscription Services
37
Date Approved
Type of Transaction
Vendor
Purpose
***Contract responsibilities assumed by Bingham McCutchen, LLP via novation.
**** Previously listed separate contracts for various training.
***** Service Disabled Veteran; HubZone business
38
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Insurance Contracts [Section 105(a)(3)(B)]
For Period Ending May 31, 2012
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.
39
Troubled Asset Relief Program
Transactions Report - Investment Programs
For Period Ending May 30, 2012
CAPITAL PURCHASE PROGRAM
Seller
Footnote
1b
11, 23 5/26/2010
49
14
3a, 72 2/10/2012
Name of Institution
Purchase Date
10/28/2008 Bank of America Corporation
State
Investment Description
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
Charlotte
NC
Preferred Stock w/ Warrants
$
15,000,000,000
Par
12/9/2009
4
The Bank of New York Mellon Corporation
New York
NY
Preferred Stock w/ Warrants
$
3,000,000,000
Par
6/17/2009
4
10/28/2008
Citigroup Inc.
New York
NY
Common Stock w/ Warrants
$
10/28/2008
10/28/2008
The Goldman Sachs Group, Inc.
JPMorgan Chase & Co.
New York
New York
NY
NY
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
10,000,000,000
25,000,000,000
Par
Par
6/17/2009
6/17/2009
10/28/2008
10/28/2008
10/28/2008
11/14/2008
Morgan Stanley
State Street Corporation
Wells Fargo & Company
Bank of Commerce Holdings
New York
Boston
San Francisco
Redding
NY
MA
CA
CA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
10,000,000,000
2,000,000,000
25,000,000,000
17,000,000
Par
Par
Par
Par
6/17/2009
6/17/2009
12/23/2009
9/27/2011
4
11/14/2008
11/14/2008
11/14/2008
1st FS Corporation
UCBH Holdings, Inc.
Northern Trust Corporation
Hendersonville
San Francisco
Chicago
NC
CA
IL
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
16,369,000
298,737,000
1,576,000,000
Par
Par
Par
11/14/2008
SunTrust Banks, Inc.
Atlanta
GA
Preferred Stock w/ Warrants
$
3,500,000,000
Par
11/14/2008
Broadway Financial Corporation
Los Angeles
CA
Preferred Stock
$
9,000,000
Par
11/14/2008
11/14/2008
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
Par
11/14/2008
11/14/2008
11/14/2008
11/14/2008
Washington Federal, Inc.
BB&T Corp.
M&T Bank Corporation (Provident Bancshares
Corp.)
Umpqua Holdings Corp.
Comerica Inc.
Regions Financial Corporation
Capital One Financial Corporation
Portland
Dallas
Birmingham
McLean
OR
TX
AL
VA
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
11/14/2008
11/14/2008
First Horizon National Corporation
Huntington Bancshares
Memphis
Columbus
TN
OH
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
11/14/2008
KeyCorp
Cleveland
OH
Preferred Stock w/ Warrants
11/14/2008
Valley National Bancorp
Wayne
NJ
11/14/2008
Zions Bancorporation
Salt Lake City
11/14/2008
Marshall & Ilsley Corporation
Milwaukee
25,000,000,000
Par
**
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
$
$
15,000,000,000 $
3,000,000,000 $
0
0
23
$
25,000,000,000
$
4
$
10,000,000,000 $
4
$
$
$
$
25,000,000,000
10,000,000,000
2,000,000,000
25,000,000,000
5
4
0
Warrants
1/25/2011
Warrants
A $
54,621,849
0
Warrants
7/22/2009
Warrants
R $
1,100,000,000
$
$
$
$
0
0
0
0
Warrants
Warrants
Warrants
Warrants
12/10/2009
8/12/2009
7/8/2009
5/20/2010
Warrants
Warrants
Warrants
Warrants
A $
R $
R $
A $
936,063,469
950,000,000
60,000,000
840,374,892
17,000,000 $
0
Warrants
10/26/2011
Warrants
R $
125,000
6/17/2009
4
3/30/2011
4
$
$
1,576,000,000 $
3,500,000,000 $
0
0
Warrants
Warrants
8/26/2009
9/22/2011
Warrants
Warrants
R $
A $
87,000,000
14,069,763
5/27/2009
6/17/2009
4
$
200,000,000 $
0
Warrants
3/9/2010
Warrants
A $
15,388,874
4
$
3,133,640,000 $
0
Warrants
7/22/2009
Warrants
R $
67,010,402
Par
Par
Par
Par
2/17/2010
3/17/2010
4/4/2012
6/17/2009
5
$
$
$
214,181,000 $
2,250,000,000 $
3,500,000,000 $
0
0
0
Warrants
Warrants
Warrants
3/31/2010
5/6/2010
5/2/2012
Warrants
Warrants
Warrants
R $
A $
R $
4,500,000
181,102,043
45,000,000
866,540,000
1,398,071,000
Par
Par
12/22/2010
12/22/2010
4
$
$
3,555,199,000 $
866,540,000 $
0
0
Warrants
Warrants
12/3/2009
3/9/2011
Warrants
Warrants
A $
R $
146,500,065
79,700,000
$
2,500,000,000
Par
3/30/2011
4
$
$
1,398,071,000 $
2,500,000,000 $
0
0
1/19/2011
4/20/2011
Warrants
Warrants
R $
R $
49,100,000
70,000,000
6/3/2009
4
$
75,000,000 $
225,000,000
Preferred Stock w/ Warrants
$
300,000,000
Par
9/23/2009
4
$
125,000,000 $
100,000,000
5/18/2010
Warrants
A $
5,421,615
12/23/2009
4
$
100,000,000 $
UT
Preferred Stock w/ Warrants
$
1,400,000,000
Par
3/28/2012
4
$
700,000,000 $
Warrants
Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
Preferred Stock w/
Warrants
WI
Preferred Stock w/ Warrants
$
1,715,000,000
Par
7/5/2011
44
$
1,715,000,000 $
0
Warrants
7/5/2011
Warrants
$
$
6,599,000,000 $
361,172,000 $
0
0
Warrants
Warrants
7/15/2009
12/15/2009
Warrants
Warrants
$
$
184,011,000 $
25,000,000 $
0
0
Warrants
Warrants
6/24/2009
6/30/2009
Warrants
Warrants
0
10/28/2009
Warrants
4/7/2010
Warrants
11/18/2011
Warrants
P $
30,600
11/18/2011
Warrants
P $
415,000
4
4
4
4
0
700,000,000
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
6,599,000,000
361,172,000
184,011,000
Par
Par
Par
6/17/2009
4/22/2009
5/27/2009
11/21/2008
11/21/2008
HF Financial Corp.
Centerstate Banks of Florida Inc.
Sioux Falls
Davenport
SD
FL
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
25,000,000
27,875,000
Par
Par
6/3/2009
9/30/2009
4
5
$
27,875,000 $
12/30/2009
4
$
200,000,000 $
3/3/2010
7/8/2009
9/27/2011
4
$
$
200,000,000 $
41,500,000 $
0
0
Warrants
Preferred Stock w/
Warrants
Warrants
Warrants
$
140,000,000 $
0
Warrants
Bluefield
Las Vegas
9
183,547,824
136,000,000
$
MN
MN
NY
First Community Bancshares Inc.
Western Alliance Bancorporation
A $
R $
49
Minneapolis
Wayzata
Lockport
11/21/2008
11/21/2008
1b
Warrants
Warrants
U.S. Bancorp
TCF Financial Corporation
First Niagara Financial Group
Beverly Hills
Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
3/3/2010
8/5/2009
11/14/2008
11/14/2008
11/21/2008
City National Corporation
Final
Disposition
Date
Warrants
Warrants
4
11/21/2008
49
City
10/28/2008
11/14/2008
44 5/16/2011
Capital Repayment Details
Purchase Details
CA
VA
NV
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
400,000,000
41,500,000
140,000,000
Par
Par
Par
4
5
5
49
200,000,000
9
44
R $
3,250,000
R $
A $
139,000,000
9,449,981
9
R $
R $
2,700,000
650,000
9
R $
212,000
R $
18,500,000
40
Seller
Footnote
Purchase Date
11/21/2008
29 9/24/2010
74 3/28/2012
47 6/30/2011
14, 20
50
49
75 3/28/2012
17, 54
12
Waterbury
State
CT
Investment Description
Preferred Stock w/ Warrants
Investment Amount
$
400,000,000
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
Par
0
$
40,000,000 $
0
Warrants
74
$
108,071,915 $
0
Warrants
6/30/2011
47
$
16,250,000 $
0
N/A
N/A
N/A
47
-
8/11/2010
12/22/2010
12/15/2010
4
$
$
$
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 $
2/1/2011
Warrants
A $
6,202,523
6/16/2010
4
$
104,000,000 $
Preferred Stock w/
Warrants
Warrants
4/6/2011
4
$
262,500,000 $
11/30/2011
Warrants
A $
3,435,006
9/14/2011
4
$
262,500,000 $
0
Warrants
12/9/2009
4
$
215,000,000 $
0
Warrants
12/30/2009
Warrants
R $
10,000,000
4
$
$
196,000,000 $
193,000,000 $
0
0
Warrants
Warrants
5/2/2012
12/21/2011
Warrants
Warrants
R $
R $
1,518,072
900,000
0
0
0
0
Warrants
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
12/23/2009
11/18/2011
10/14/2009
5/20/2009
Warrants
Warrants
Warrants
Warrants
R
P
R
R
$
$
$
$
950,000
637,071
63,364
1,200,000
11/18/2011
Warrants
P $
2,794,422
2/23/2011
Warrants
R $
4,450,000
1/26/2011
Warrants
9
R $
14,500,000
26
R $
400,000
R $
6,436,364
R $
1,307,000
100,000,000 $
300,000,000
10/13/2010
4
$
100,000,000 $
200,000,000
12/29/2010
4
Common Stock w/ Warrants
$
195,045,000
Par
11/21/2008
11/21/2008
11/21/2008
Heritage Commerce Corp.
Ameris Bancorp
Porter Bancorp Inc.
San Jose
Moultrie
Louisville
CA
GA
KY
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
40,000,000
52,000,000
35,000,000
Par
Par
Par
3/7/2012
4
11/21/2008
Banner Corporation
Walla Walla
WA
Preferred Stock w/ Warrants
$
124,000,000
Par
3/28/2012
Everett
WA
Preferred Stock w/ Warrants
$
38,970,000
Par
11/21/2008
11/21/2008
11/21/2008
11/21/2008
Columbia Banking System, Inc.
Heritage Financial Corporation
First PacTrust Bancorp, Inc.
Severn Bancorp, Inc.
Tacoma
Olympia
Chula Vista
Annapolis
WA
WA
CA
MD
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
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
Associated Banc-Corp
Green Bay
WI
Preferred Stock w/ Warrants
$
525,000,000
Trustmark Corporation
Jackson
MS
Preferred Stock w/ Warrants
$
215,000,000
Par
11/21/2008
11/21/2008
First Community Corporation
Taylor Capital Group
BBCN Bancorp, Inc.
(Nara Bancorp, Inc.)
Lexington
Rosemont
SC
IL
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
11,350,000
104,823,000
Par
Par
Los Angeles
CA
Preferred Stock w/ Warrants
$
67,000,000
Par
11/21/2008
12/5/2008
Midwest Banc Holdings, Inc.
Melrose Park
12/5/2008
12/5/2008
12/5/2008
MB Financial Inc.
First Midwest Bancorp, Inc.
United Community Banks, Inc.
Chicago
Itasca
Blairsville
IL
IL
GA
Mandatorily Convertible Preferred Stock w/
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
12/5/2008
12/5/2008
12/5/2008
12/5/2008
WesBanco, Inc.
Encore Bancshares Inc.
Manhattan Bancorp
Iberiabank Corporation
Wheeling
Houston
El Segundo
Lafayette
WV
TX
CA
LA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
12/5/2008
Eagle Bancorp, Inc.
Sandy Spring Bancorp, Inc.
Bethesda
Olney
IL
MD
MD
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
89,388,000
Par
$
$
$
196,000,000
193,000,000
180,000,000
Par
Par
Par
3/14/2012
11/23/2011
$
$
$
$
75,000,000
34,000,000
1,700,000
90,000,000
Par
Par
Par
Par
9/9/2009
9/27/2011
9/16/2009
3/31/2009
$
$
38,235,000
83,094,000
4
4
104,000,000
0
262,500,000
Par
11/21/2008
4
4
12/5/2008
Coastal Banking Company, Inc.
Fernandina Beach
FL
Preferred Stock w/ Warrants
$
9,950,000
Par
12/5/2008
East West Bancorp
Pasadena
CA
Preferred Stock w/ Warrants
$
306,546,000
Par
12/23/2009
5
$
15,000,000 $
7/14/2011
49
$
23,235,000 $
7/21/2010
4
$
41,547,000 $
12/15/2010
4
$
41,547,000 $
0
Preferred Stock w/
Warrants
Warrants
12/29/2010
4
$
306,546,000 $
0
Warrants
$
130,179,219 $
0
Warrants
9/30/2010
Warrants
0
Warrants
9/21/2011
Warrants
10/28/2009
Warrants
5
23,235,000
0
41,547,000
12/5/2008
South Financial Group, Inc.
Greenville
SC
Preferred Stock w/ Warrants
$
347,000,000
Par
9/30/2010
12/5/2008
12/5/2008
Great Southern Bancorp
Cathay General Bancorp
Springfield
Los Angeles
MO
CA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
58,000,000
258,000,000
Par
Par
8/18/2011
50
$
58,000,000 $
12/5/2008
Southern Community Financial Corp.
Winston-Salem
NC
Preferred Stock w/ Warrants
$
42,750,000
Par
CVB Financial Corp
Ontario
CA
Preferred Stock w/ Warrants
$
130,000,000
Par
8/26/2009
4
12/5/2008
$
97,500,000 $
9/2/2009
4
$
32,500,000
$
0
Preferred Stock w/
Warrants
Warrants
3/28/2012
75
$
55,926,478 $
0
Warrants
First Defiance Financial Corp.
Defiance
OH
Preferred Stock w/ Warrants
$
37,000,000
Par
12/5/2008
First Financial Holdings Inc.
Charleston
SC
Preferred Stock w/ Warrants
$
65,000,000
Par
12/5/2008
12/5/2008
Superior Bancorp Inc.
Southwest Bancorp, Inc.
Birmingham
Stillwater
AL
OK
Trust Preferred Securities w/ Warrants
Preferred Stock w/ Warrants
$
$
69,000,000
70,000,000
Par
Par
12/5/2008
12/5/2008
Popular, Inc.
Blue Valley Ban Corp
San Juan
Overland Park
PR
KS
Trust Preferred Securities w/ Warrants
Preferred Stock w/ Warrants
$
$
935,000,000
21,750,000
Par
Par
32,500,000
9
9
A $
20,388,842
N/A
Warrants
26
12/5/2008
Warrants
75,000,000
34,000,000
1,700,000
90,000,000
4
$
$
$
$
Preferred Stock w/
Warrants
6/2/2011
$
$
$
$
50
Par
Par
Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
$200,000,000 $
$
CA
Cascade Financial Corporation
Final
Disposition
Date
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
4
Santa Barbara
11/21/2008
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
3/3/2010
Pacific Capital Bancorp
12/5/2008
26 9/30/2010
50
City
11/21/2008
11/21/2008
66 11/30/2011
Name of Institution
Webster Financial Corporation
Capital Repayment Details
Purchase Details
9
41
Seller
Capital Repayment Details
Purchase Details
Name of Institution
City
State
Investment Description
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
Footnote
Purchase Date
50
49
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
Central Federal Corporation
Bank of Marin Bancorp
BNC Bancorp
Central Bancorp, Inc.
Southern Missouri Bancorp, Inc.
Fairlawn
Novato
Thomasville
Somerville
Poplar Bluff
OH
CA
NC
MA
MO
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
7,225,000
28,000,000
31,260,000
10,000,000
9,550,000
Par
Par
Par
Par
Par
68 - 1/1/2012
12/5/2008
Valley National Bancorp (State Bancorp, Inc.)
Wayne
NJ
Preferred Stock w/ Warrants
$
36,842,000
Par
32 9/30/2010
55
24
50
35
43 5/13/2011
22
50
70
49
Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
3/31/2009
4
$
28,000,000 $
0
Warrants
11/18/2011
Warrants
P $
1,703,984
8/25/2011
7/21/2011
50
$
$
10,000,000 $
9,550,000 $
0
0
Warrants
Warrants
10/19/2011
Warrants
R $
2,525,000
R $
40,000
49
12/14/2011
4
$
36,842,000 $
0
Warrants
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
Warrants
R $
225,000
$
$
$
13,500,000 $
100,000,000 $
41,279,000 $
0
0
0
Warrants
Warrants
N/A
9/28/2011
5/8/2009
N/A
Warrants
Warrants
N/A
R $
R $
-
560,000
1,200,000
N/A
Warrants
6/16/2010
Warrants
R $
6,820,000
1/19/2011
Warrants
R $
5,269,179
3/10/2010
Warrants
A $
11,150,940
R $
2,650,000
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
Unity Bancorp, Inc.
Old Line Bancshares, Inc.
FPB Bancorp, Inc.
Sterling Financial Corporation
Oak Valley Bancorp
Clinton
Bowie
Port St. Lucie
Spokane
Oakdale
NJ
MD
FL
WA
CA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Common Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
20,649,000
7,000,000
5,800,000
303,000,000
13,500,000
Par
Par
Par
Par
Par
8/11/2011
50
12/12/2008
12/12/2008
12/12/2008
Old National Bancorp
Capital Bank Corporation
Pacific International Bancorp
Evansville
Raleigh
Seattle
IN
NC
WA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
100,000,000
41,279,000
6,500,000
Par
Par
Par
3/31/2009
1/28/2011
4
12/12/2008
12/12/2008
SVB Financial Group
LNB Bancorp Inc.
M&T Bank Corporation (Wilmington Trust
Corporation)
Santa Clara
Lorain
CA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
235,000,000
25,223,000
Par
Par
12/23/2009
5
$
235,000,000 $
0
OH
Wilmington
DE
Preferred Stock w/ Warrants
$
330,000,000
Par
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
Warrants
11/24/2009
Warrants
5/5/2009
3/10/2010
4
$
125,198,000 $
0
Warrants
6/9/2010
Warrants
5
$
$
45,220,000 $
76,458,000 $
0
0
Warrants
Warrants
9/8/2010
Warrants
0
Warrants
12/12/2008
Susquehanna Bancshares, Inc
Lititz
PA
Preferred Stock w/ Warrants
$
300,000,000
Par
12/12/2008
12/12/2008
12/12/2008
Signature Bank
HopFed Bancorp
Citizens Republic Bancorp, Inc.
New York
Hopkinsville
Flint
NY
KY
MI
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
120,000,000
18,400,000
300,000,000
Par
Par
Par
12/12/2008
12/12/2008
Indiana Community Bancorp
Bank of the Ozarks, Inc.
BBCN Bancorp, Inc.
(Center Financial Corporation)
NewBridge Bancorp
Sterling Bancshares, Inc.
The Bancorp, Inc.
Columbus
Little Rock
IN
AR
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
21,500,000
75,000,000
Par
Par
Los Angeles
CA
Preferred Stock w/ Warrants
$
55,000,000
Par
Greensboro
Houston
Wilmington
NC
TX
DE
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
52,372,000
125,198,000
45,220,000
Par
Par
Par
12/12/2008
12/12/2008
12/12/2008
12/12/2008
50
76 3/28/2012
Final
Disposition
Date
12/5/2008
12/12/2008
66 11/30/2011
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
35
4
100,000,000
32
35
9
Warrants
9
A $
2,857,915
R $
4,753,985
R $
R $
1,488,046
1,000,000
12/12/2008
TowneBank
Portsmouth
VA
Preferred Stock w/ Warrants
$
76,458,000
Par
9/22/2011
50
12/12/2008
Wilshire Bancorp, Inc.
Los Angeles
CA
Preferred Stock w/ Warrants
$
62,158,000
Par
3/28/2012
76
$
57,766,994 $
12/12/2008
Valley Financial Corporation
Roanoke
VA
$
16,019,000
Par
12/12/2008
Independent Bank Corporation
Ionia
MI
Preferred Stock w/ Warrants
Mandatorily Convertible Preferred Stock w/
Warrants
$
74,426,000
Par
12/12/2008
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
First Litchfield Financial Corporation
National Penn Bancshares, Inc.
Northeast Bancorp
Litchfield
Boyertown
Lewiston
CT
PA
ME
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
10,000,000
150,000,000
4,227,000
Par
Par
Par
4/7/2010
3/16/2011
4
$
$
10,000,000 $
150,000,000 $
0
0
Preferred Stock w/
Warrants
Warrants
Warrants
4/7/2010
4/13/2011
Warrants
Warrants
12/12/2008
12/12/2008
12/12/2008
Citizens South Banking Corporation
Virginia Commerce Bancorp
Fidelity Bancorp, Inc.
Gastonia
Arlington
Pittsburgh
NC
VA
PA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
20,500,000
71,000,000
7,000,000
Par
Par
Par
9/22/2011
50
$
20,500,000 $
0
Warrants
11/9/2011
Warrants
R $
225,157
12/12/2008
12/19/2008
12/19/2008
LSB Corporation
Intermountain Community Bancorp
Community West Bancshares
North Andover
Sandpoint
Goleta
MA
ID
CA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
15,000,000
27,000,000
15,600,000
Par
Par
Par
11/18/2009
4
$
15,000,000 $
0
Warrants
12/16/2009
Warrants
R $
560,000
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
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
Columbus
Franklin
Glen Allen
Mobile
St. Louis
Millersburg
Santa Rosa
GA
TN
VA
AL
MO
PA
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
$
$
$
$
$
$
$
967,870,000
30,000,000
17,680,000
50,000,000
35,000,000
10,000,000
8,500,000
Par
Par
Par
Par
Par
Par
Par
8/4/2011
49
$
$
0
Warrants
9/14/2011
Warrants
R $
315,000
12/19/2008
12/19/2008
VIST Financial Corp.
Wainwright Bank & Trust Company
Wyomissing
Boston
PA
MA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
25,000,000
22,000,000
Par
Par
11/24/2009
4
$
22,000,000 $
0
Warrants
12/16/2009
Warrants
R $
568,700
4
8,500,000
71,250,000
9
42
Seller
Footnote
Purchase Date
45 - 6/3/2011
12/19/2008
81 4/19/2012
50
64 10/21/2011
77 3/28/2012
50
50
50
30 9/29/2010
49
City
New Orleans
State
LA
Investment Description
Preferred Stock w/ Warrants
Investment Amount
$
300,000,000
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
Par
6/3/2011
$
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
300,000,000 $
12/19/2008
The Connecticut Bank and Trust Company
Hartford
CT
Preferred Stock w/ Warrants
$
5,448,000
Par
4/19/2012
81
12/19/2008
CoBiz Financial Inc.
Denver
CO
Preferred Stock w/ Warrants
$
64,450,000
Par
9/8/2011
50
$
12/19/2008
Santa Lucia Bancorp
Atascadero
CA
Preferred Stock w/ Warrants
$
4,000,000
Par
10/21/2011
64
$
12/19/2008
Seacoast Banking Corporation of Florida
Stuart
FL
Preferred Stock w/ Warrants
$
50,000,000
Par
3/28/2012
77
$
40,404,700 $
11/10/2010
8/25/2011
4
$
$
6,250,000 $
18,750,000 $
$
$
$
40,000,000 $
25,000,000 $
21,000,000 $
$
5,448,000
0
Final
Disposition
Date
Warrants
6/3/2011
R $
6,900,000
81
R $
792,783
0
Warrants
4/19/2012
Warrants
0
Warrants
11/18/2011
Warrants
0
N/A
N/A
N/A
0
Warrants
5/30/2012
Warrants
R $
55,000
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
A $
R $
R $
25,600,564
900,000
260,000
R $
450,000
2,800,000
$
18,750,000
0
P $
64
-
143,677
N/A
Horizon Bancorp
Michigan City
IN
Preferred Stock w/ Warrants
$
25,000,000
Par
12/19/2008
Fidelity Southern Corporation
Atlanta
GA
Preferred Stock w/ Warrants
$
48,200,000
Par
12/19/2008
12/19/2008
12/19/2008
12/19/2008
Community Financial Corporation
Berkshire Hills Bancorp, Inc.
First California Financial Group, Inc
AmeriServ Financial, Inc
Staunton
Pittsfield
Westlake Village
Johnstown
VA
MA
CA
PA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
12,643,000
40,000,000
25,000,000
21,000,000
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
Warrants
12/19/2008
12/19/2008
12/19/2008
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
2/8/2011
12/30/2009
2/10/2010
Warrants
Warrants
Warrants
9
4/13/2011
4
$
12/28/2011
4
$
22,500,000 $
0
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
0
Warrants
12/23/2009
Warrants
9
0
Warrants
Preferred Stock w/
Warrants
Warrants
9/30/2009
Warrants
R $
1,400,000
Warrants
Warrants
Preferred Stock w/
Warrants
6/17/2009
9/28/2011
Warrants
Warrants
R $
R $
900,000
1,800,000
9/27/2011
9/22/2011
Preferred Stock
Preferred Stock
2, 7
R $
R $
4,382,000
777,000
9/22/2011
6/2/2010
Preferred Stock
Warrants
2, 7
R $
A $
465,000
2,966,288
4/20/2011
Warrants
R $
1,395,000
12/7/2011
5/2/2012
Warrants
Warrants
R $
R $
51,113
2,842,400
N/A
N/A
StellarOne Corporation
Charlottesville
VA
Preferred Stock w/ Warrants
$
30,000,000
Par
50
4
50
5
5
7,500,000
$
Bowling Green
VA
Preferred Stock w/ Warrants
$
59,000,000
Par
11/18/2009
5
$
59,000,000 $
12/19/2008
12/19/2008
Union First Market Bankshares Corporation
(Union Bankshares Corporation)
Tidelands Bancshares, Inc
Bancorp Rhode Island, Inc.
Mount Pleasant
Providence
SC
RI
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
14,448,000
30,000,000
Par
Par
8/5/2009
4
$
30,000,000 $
12/19/2008
Hawthorn Bancshares, Inc.
Lee's Summit
MO
Preferred Stock w/ Warrants
$
30,255,000
Par
5/9/2012
4
$
12,000,000 $
12/19/2008
12/19/2008
The Elmira Savings Bank, FSB
Alliance Financial Corporation
Elmira
Syracuse
NY
NY
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
9,090,000
26,918,000
Par
Par
8/25/2011
5/13/2009
49
$
4
$
$
12/19/2008
9,090,000
0
0
0
22,500,000
18,255,000
$
0
26,918,000 $
81,698,000 $
0
0
Heartland Financial USA, Inc.
Dubuque
IA
Preferred Stock w/ Warrants
$
81,698,000
Par
9/15/2011
12/19/2008
Citizens First Corporation
Bowling Green
KY
Preferred Stock w/ Warrants
$
8,779,000
Par
2/16/2011
4
$
2
2, 49
2, 49
2, 3
12/19/2008
12/19/2008
12/19/2008
12/19/2008
FFW Corporation
Plains Capital Corporation
Tri-County Financial Corporation
OneUnited Bank
Wabash
Dallas
Waldorf
Boston
IN
TX
MD
MA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
$
$
$
$
7,289,000
87,631,000
15,540,000
12,063,000
Par
Par
Par
Par
9/27/2011
9/22/2011
49
$
$
87,631,000 $
15,540,000 $
0
0
Preferred Stock
Preferred Stock
2
2
2
2
2
2
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
Patriot Bancshares, Inc.
Pacific City Financial Corporation
Marquette National Corporation
Exchange Bank
Monadnock Bancorp, Inc.
Houston
Los Angeles
Chicago
Santa Rosa
Peterborough
TX
CA
IL
CA
NH
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
26,038,000
16,200,000
35,500,000
43,000,000
1,834,000
Par
Par
Par
Par
Par
2
2
2
2
12/19/2008
12/19/2008
12/19/2008
12/19/2008
Bridgeview Bancorp, Inc.
Fidelity Financial Corporation
Patapsco Bancorp, Inc.
NCAL Bancorp
Bridgeview
Wichita
Dundalk
Los Angeles
IL
KS
MD
CA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
38,000,000
36,282,000
6,000,000
10,000,000
Par
Par
Par
Par
2, 50
12/19/2008
12/23/2008
FCB Bancorp, Inc.
First Financial Bancorp
Louisville
Cincinnati
KY
OH
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$
$
9,294,000
80,000,000
Par
Par
9/22/2011
2/24/2010
50
$
$
9,294,000 $
80,000,000 $
0
0
Preferred Stock
Warrants
2
Bridge Capital Holdings
San Jose
CA
Preferred Stock w/ Warrants
$
23,864,000
Par
2/23/2011
4
12/23/2008
$
15,000,000 $
3/16/2011
4
$
8,864,000
5/18/2011
4
$
370,000,000 $
$
$
7,500,000 $
100,000,000 $
0
0
Preferred Stock w/
Warrants
Warrants
Warrants
$
68,700,000 $
0
N/A
59 - 9/7/2011
45
$
12/19/2008
49
Warrants
64,450,000 $
50
50
Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
12/19/2008
12/19/2008
18
Name of Institution
Whitney Holding Corporation
Capital Repayment Details
Purchase Details
12/23/2008
12/23/2008
International Bancshares Corporation
First Sound Bank
Laredo
Seattle
TX
WA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
216,000,000
7,400,000
Par
Par
12/23/2008
M&T Bank Corporation
Buffalo
NY
Preferred Stock w/ Warrants
$
600,000,000
Par
49
5
12/23/2008
12/23/2008
Emclaire Financial Corp.
Park National Corporation
Emlenton
Newark
PA
OH
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
7,500,000
100,000,000
Par
Par
8/18/2011
4/25/2012
49
12/23/2008
Green Bankshares, Inc.
Greeneville
TN
Preferred Stock w/ Warrants
$
72,278,000
Par
9/7/2011
59
12/23/2008
Cecil Bancorp, Inc.
Elkton
MD
Preferred Stock w/ Warrants
$
11,560,000
Par
4
2,212,308
$
$
6,566,692
8,864,000
0
230,000,000
2
Preferred Stock w/
Warrants
9
2, 7
9
Warrants
59
-
N/A
43
Seller
Footnote
Name of Institution
Purchase Date
12/23/2008
Financial Institutions, Inc.
Capital Repayment Details
Purchase Details
City
Warsaw
State
NY
Investment Description
Preferred Stock w/ Warrants
Investment Amount
$
37,515,000
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
Preferred Stock w/
Warrants
2/23/2011
4
$
12,505,000 $
3/30/2011
4
$
25,010,000 $
0
Warrants
25,010,000
Par
Final
Disposition
Date
Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
5/11/2011
Warrants
R $
2,079,963
9/8/2010
Warrants
R $
10,800,000
9/28/2011
Warrants
R $
900,194
12/23/2008
Fulton Financial Corporation
Lancaster
PA
Preferred Stock w/ Warrants
$
376,500,000
Par
7/14/2010
4
$
376,500,000 $
0
Warrants
30 - 9/3/2010
12/23/2008
United Bancorporation of Alabama, Inc.
Atmore
AL
Preferred Stock w/ Warrants
$
10,300,000
Par
9/3/2010
4
$
10,300,000 $
0
Warrants
50
12/23/2008
12/23/2008
12/23/2008
MutualFirst Financial, Inc.
BCSB Bancorp, Inc.
HMN Financial, Inc.
Muncie
Baltimore
Rochester
IN
MD
MN
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
32,382,000
10,800,000
26,000,000
Par
Par
Par
8/25/2011
1/26/2011
50
$
$
32,382,000 $
10,800,000 $
0
0
Warrants
Warrants
12/23/2008
First Community Bank Corporation of America
Pinellas Park
FL
Preferred Stock w/ Warrants
$
10,685,000
Par
5/31/2011
39
$
$
0
N/A
N/A
N/A
12/23/2008
12/23/2008
12/23/2008
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
Hermitage
PA
Preferred Stock w/ Warrants
$
31,762,000
Par
1/3/2012
67
$
31,762,000 $
0
Warrants
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
Sterling Bancorp
Intervest Bancshares Corporation
Peoples Bancorp of North Carolina, Inc.
F.N.B. Corporation (Parkvale Financial
Corporation)
Timberland Bancorp, Inc.
1st Constitution Bancorp
Central Jersey Bancorp
Western Illinois Bancshares Inc.
Saigon National Bank
Capital Pacific Bancorp
Hoquiam
Cranbury
Oakhurst
Monmouth
Westminster
Portland
WA
NJ
NJ
IL
CA
OR
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
$
$
$
$
$
$
16,641,000
12,000,000
11,300,000
6,855,000
1,549,000
4,000,000
Par
Par
Par
Par
Par
Par
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
12/23/2008
Par
N/A
N/A
N/A
393/11/2011
67 12/29/2011
2
2
2
12/23/2008
4
4
7,754,267
-
N/A
2
3, 30 8/20/2010
2
2
2, 49
2, 49
Uwharrie Capital Corp
Albemarle
NC
Preferred Stock w/ Exercised Warrants
$
10,000,000
12/23/2008
Mission Valley Bancorp
Sun Valley
CA
Preferred Stock
$
5,500,000
Par
8/20/2010
4
$
5,500,000
$
0
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
Kinston
Los Angeles
South Hill
Chula Vista
NC
CA
VA
CA
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
Par
Par
Par
Par
7/28/2011
9/1/2011
49
$
3,000,000
$
0
Preferred Stock
2
7/28/2011
Preferred Stock
2, 7
R $
150,000
49
TCNB Financial Corp.
Leader Bancorp, Inc.
Nicolet Bankshares, Inc.
Dayton
Arlington
Green Bay
OH
MA
WI
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
2,000,000
5,830,000
14,964,000
Par
Par
Par
8/3/2011
11/24/2010
9/1/2011
11/24/2009
4
$
$
$
$
$
0
0
0
0
10,340,000
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
9/1/2011
8/3/2011
11/24/2010
9/1/2011
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
12/23/2008
12/23/2008
12/23/2008
1,800,000
2,000,000
5,830,000
14,964,000
3,455,000
2
2
2
2, 49
$
$
$
$
$
R
R
R
R
$
$
$
$
90,000
100,000
292,000
748,000
$
$
3,455,000
6,885,000
$
$
6,885,000
0
Preferred Stock
Preferred Stock
2
8/18/2011
Preferred Stock
2, 7
R $
690,000
2, 49
12/23/2008
Magna Bank
Memphis
TN
Preferred Stock w/ Exercised Warrants
$
13,795,000
Par
2
2
12/23/2008
12/23/2008
Western Community Bancshares, Inc.
Community Investors Bancorp, Inc.
Palm Desert
Bucyrus
CA
OH
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
7,290,000
2,600,000
Par
Par
2
2, 49
12/23/2008
12/23/2008
Capital Bancorp, Inc.
Cache Valley Banking Company
Rockville
Logan
MD
UT
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
4,700,000
4,767,000
Par
Par
2, 61
12/23/2008
Citizens Bancorp
Nevada City
CA
Preferred Stock w/ Exercised Warrants
$
10,400,000
Par
2
2, 50
12/23/2008
12/23/2008
12/31/2008
Tennessee Valley Financial Holdings, Inc.
Pacific Coast Bankers' Bancshares
SunTrust Banks, Inc.
Oak Ridge
San Francisco
Atlanta
TN
CA
GA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$
$
$
3,000,000
11,600,000
1,350,000,000
Par
Par
Par
12/31/2008
12/31/2008
The PNC Financial Services Group Inc.
Fifth Third Bancorp
Pittsburgh
Cincinnati
PA
OH
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
7,579,200,000
3,408,000,000
Par
Par
12/31/2008
Hampton Roads Bankshares, Inc.
Norfolk
VA
Common Stock w/ Warrants
$
80,347,000
Par
12/31/2008
12/31/2008
CIT Group Inc.
West Bancorporation, Inc.
New York
West Des Moines
NY
IA
Contingent Value Rights
Preferred Stock w/ Warrants
$
$
2,330,000,000
36,000,000
Par
Par
2
12/31/2008
First Banks, Inc.
Clayton
MO
Preferred Stock w/ Exercised Warrants
$
295,400,000
Par
1a, 1b
1/9/2009
1/9/2009
1/9/2009
Bank of America Corporation
FirstMerit Corporation
Farmers Capital Bank Corporation
Charlotte
Akron
Frankfort
NC
OH
KY
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
10,000,000,000
125,000,000
30,000,000
Par
Par
Par
31 9/30/2010
16
6/8/2011
8/18/2011
4
49
4
4
49
2
2
2
-
2, 7
2, 7
2, 7
N/A
2
2
4
$
4,700,000
$
0
Preferred Stock
2
12/30/2010
Preferred Stock
2, 7
R $
235,000
49
$
4,767,000
$
0
Preferred Stock
2
7/14/2011
Preferred Stock
2, 7
R $
238,000
7/28/2011
3/30/2011
50
$
11,600,000 $
0
7/28/2011
Preferred Stock
2, 7
R $
580,000
2/10/2010
2/2/2011
4
$
$
$
1,350,000,000 $
7,579,200,000 $
3,408,000,000 $
0
0
0
Preferred Stock
Warrants
Warrants
Warrants
2
4
9/22/2011
4/29/2010
3/16/2011
Warrants
Warrants
Warrants
A $
A $
R $
15,996,899
320,277,984
280,025,936
2/8/2010
6/29/2011
16
$
0
$
0
N/A
N/A
N/A
4
$
36,000,000 $
0
Warrants
8/31/2011
Warrants
12/9/2009
4/22/2009
4
$
$
10,000,000,000 $
125,000,000 $
0
0
Warrants
Warrants
3/3/2010
5/27/2009
Warrants
Warrants
12/30/2010
7/14/2011
4
4
N/A
1b
R $
700,000
A $
R $
122,365,216
5,025,000
44
Seller
Footnote
1/9/2009
65 11/15/2011
33
49
Commerce National Bank
1/9/2009
1/9/2009
1/9/2009
City
Gladstone
State
NJ
Newport Beach
CA
The First Bancorp, Inc.
Damariscotta
Sun Bancorp, Inc.
Crescent Financial Bancshares, Inc.
(Crescent Financial Corporation)
American Express Company
Vineland
Investment Description
Preferred Stock w/ Warrants
Investment Amount
$
Colony Bankcorp, Inc.
Independent Bank Corp.
Fitzgerald
Rockland
1/9/2009
1/9/2009
1/9/2009
Cadence Financial Corporation
LCNB Corp.
Center Bancorp, Inc.
Starkville
Lebanon
Union
$
14,341,000
$
$
14,341,000 $
5,000,000 $
Warrants
R $
110,000
5/27/2009
Warrants
R $
2,100,000
7/29/2009
Warrants
R $
340,000,000
R $
2,200,000
N/A
602,557
4
$
12,500,000 $
4
$
89,310,000 $
Preferred Stock w/ Warrants
$
24,900,000
Par
Preferred Stock w/ Warrants
$
3,388,890,000
Par
6/17/2009
4
$
3,388,890,000 $
6/17/2011
46
$
35,883,281 $
3/29/2012
46
$
36,039,222 $
0
Warrants
$
$
$
78,158,000 $
38,000,000 $
13,400,000 $
0
0
0
Warrants
N/A
Warrants
5/27/2009
N/A
11/18/2011
Warrants
N/A
Warrants
P $
$
$
10,000,000 $
100,000,000 $
0
0
Warrants
Warrants
Preferred Stock w/
Warrants
12/7/2011
11/18/2011
Warrants
Warrants
R $
245,000
P $
690,100
Common Stock w/ Warrants
4
0
0
12,500,000
0
0
99,116,719
Warrants
Common Stock w/
Warrants
$
135,000,000
Par
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
32,668,000
24,000,000
Par
Par
GA
MA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
28,000,000
78,158,000
Par
Par
4/22/2009
4
MS
OH
NJ
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
44,000,000
13,400,000
10,000,000
Par
Par
Par
3/4/2011
10/21/2009
9/15/2011
33
9/9/2009
4
7/27/2011
4
$
10,000,000 $
4/11/2012
4
$
10,000,000 $
0
Warrants
12/14/2011
4
$
10,200,000 $
0
Warrants
1/11/2012
Warrants
R $
600,000
9/1/2011
50
$
65,000,000 $
0
Warrants
11/18/2011
Warrants
P $
924,462
8/18/2011
49
8/25/2011
49
$
$
16,500,000 $
20,000,000 $
0
0
Warrants
Warrants
9/28/2011
11/18/2011
Warrants
Warrants
R $
P $
526,604
206,557
4/15/2009
4
$
25,000,000 $
0
Warrants
11/16/2011
Warrants
R $
25,000
4
R $
R $
300,000
341,000
290,000
Hermitage
PA
Preferred Stock w/ Warrants
$
100,000,000
Par
1/9/2009
C&F Financial Corporation
West Point
VA
Preferred Stock w/ Warrants
$
20,000,000
Par
IA
NC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
10,200,000
16,000,000
Par
Par
First Bancorp
First Financial Service Corporation
Codorus Valley Bancorp, Inc.
Troy
Elizabethtown
York
NC
KY
PA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
65,000,000
20,000,000
16,500,000
Par
Par
Par
49
1/9/2009
1/9/2009
1/9/2009
MidSouth Bancorp, Inc.
First Security Group, Inc.
Shore Bancshares, Inc.
Lafayette
Chattanooga
Easton
LA
TN
MD
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
20,000,000
33,000,000
25,000,000
Par
Par
Par
2
1/9/2009
The Queensborough Company
Louisville
GA
Preferred Stock w/ Exercised Warrants
$
12,000,000
Par
2
2, 49
2, 49
1/9/2009
1/9/2009
1/9/2009
American State Bancshares, Inc.
Security California Bancorp
Security Business Bancorp
Great Bend
Riverside
San Diego
KS
CA
CA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
6,000,000
6,815,000
5,803,000
Par
Par
Par
11/2/2011
9/15/2011
7/14/2011
2
3
2, 49
1/9/2009
1/9/2009
1/9/2009
Sound Banking Company
Mission Community Bancorp
Redwood Financial Inc.
Morehead City
San Luis Obispo
Redwood Falls
NC
CA
MN
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
$
$
$
3,070,000
5,116,000
2,995,000
Par
Par
Par
12/28/2011
8/18/2011
4
49
10,000,000
$
$
6,000,000
6,815,000
$
$
0
0
Preferred Stock
Preferred Stock
2
49
$
5,803,000
$
0
Preferred Stock
4
$
5,116,000
$
0
49
$
$
2,995,000
2,000,000
$
$
0
0
$
$
$
24,000,000 $
9,000,000 $
3,981,000 $
0
0
0
49
11/2/2011
9/15/2011
Preferred Stock
Preferred Stock
2, 7
2
7/14/2011
Preferred Stock
2, 7
R $
N/A
N/A
Preferred Stock
Preferred Stock
2
8/18/2011
12/29/2010
Preferred Stock
Preferred Stock
2, 7
R $
R $
150,000
100,000
Preferred Stock
Preferred Stock
Preferred Stock
2
7/6/2011
9/8/2011
5/19/2010
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
R $
R $
R $
1,200,000
450,000
199,000
2
N/A
12/29/2010
4
Par
Par
Par
Par
Par
Par
Par
7/6/2011
9/8/2011
5/19/2010
49
50,000,000
26,380,000
Par
Par
7/6/2011
1/12/2011
4
$
50,000,000 $
0
Warrants
7/27/2011
Warrants
4
$
$
$
$
10,000,000
18,751,000
7,414,000
64,779,000
Par
Par
Par
Par
8/25/2011
2/24/2010
5/20/2009
5/20/2009
49
$
$
$
$
26,380,000
10,000,000
18,751,000
7,414,000
0
0
0
0
Warrants
Warrants
Warrants
Warrants
3/2/2011
2/15/2012
7/28/2010
6/24/2009
Warrants
Warrants
Warrants
Warrants
4
$
64,779,000 $
0
Warrants
6/24/2009
Warrants
Preferred Stock w/ Warrants
$
108,676,000
Par
12/7/2011
4
$
108,676,000 $
0
Warrants
Preferred Stock w/ Warrants
$
17,949,000
Par
2
2
1/9/2009
1/9/2009
Surrey Bancorp
Independence Bank
Mount Airy
East Greenwich
NC
RI
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
2,000,000
1,065,000
Par
Par
2
2
2, 49
2, 50
2
2
2
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
Valley Community Bank
Rising Sun Bancorp
Community Trust Financial Corporation
GrandSouth Bancorporation
Texas National Bancorporation
Congaree Bancshares, Inc.
New York Private Bank & Trust Corporation
Pleasanton
Rising Sun
Ruston
Greenville
Jacksonville
Cayce
New York
CA
MD
LA
SC
TX
SC
NY
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
5,500,000
5,983,000
24,000,000
9,000,000
3,981,000
3,285,000
267,274,000
1/16/2009
1/16/2009
Home Bancshares, Inc.
Washington Banking Company
Conway
Oak Harbor
AR
WA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
1/16/2009
1/16/2009
1/16/2009
1/16/2009
New Hampshire Thrift Bancshares, Inc.
Bar Harbor Bankshares
Somerset Hills Bancorp
SCBT Financial Corporation
Newport
Bar Harbor
Bernardsville
Columbia
NH
ME
NJ
SC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
1/16/2009
S&T Bancorp
Indiana
PA
1/16/2009
ECB Bancorp, Inc.
Engelhard
NC
49
4/4/2012
4/8/2009
1/9/2009
1/9/2009
1/9/2009
49
7,172,000
8/24/2011
F.N.B. Corporation
Fort Dodge
Greensboro
$
Par
1/9/2009
North Central Bancshares, Inc.
Carolina Bank Holdings, Inc.
4
Par
NY
1/9/2009
1/9/2009
3/2/2011
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
25,000,000
New York
MO
VA
21,513,000
89,310,000
NC
St. Louis
Tappahannock
$
$
Cary
Centrue Financial Corporation
Eastern Virginia Bankshares, Inc.
7,172,000
$
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
1/9/2009
1/9/2009
$
1/11/2012
10/7/2009
NJ
HI
4
Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
Par
ME
Honolulu
Par
1/6/2010
Final
Disposition
Date
5,000,000
$
Central Pacific Financial Corp.
28,685,000
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
4
Preferred Stock w/ Warrants
1/9/2009
1/9/2009
1/9/2009
50
Peapack-Gladstone Financial Corporation
1/9/2009
1/9/2009
37, 46 3/29/2012
Name of Institution
Purchase Date
Capital Repayment Details
Purchase Details
50
4
5
4
$
$
$
$
2
2
2
2, 7
2, 7
2, 7
2, 7
9
9
N/A
R $
1,300,000
R
R
R
R
$
$
$
$
1,625,000
737,100
250,000
275,000
R $
1,400,000
45
Seller
Footnote Purchase Date
28 1/16/2009
10/07/2011
1/16/2009
1/16/2009
3, 30 1/16/2009
8/27/2010
1/16/2009
78 1/16/2009
3/28/2012
1/16/2009
1/16/2009
1/16/2009
Capital Repayment Details
Purchase Details
Name of Institution
City
State
Investment Description
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
First BanCorp
San Juan
PR
Common Stock w/ Warrants
$
424,174,000
Par
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
4
$
75,000,000 $
0
Final
Disposition
Date
Warrants
3/11/2010
Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
Warrants
A $
6,559,066
Carver Bancorp, Inc
New York
NY
Preferred Stock
$
18,980,000
Par
8/27/2010
4
$
18,980,000 $
0
N/A
N/A
N/A
Citizens & Northern Corporation
Wellsboro
PA
Preferred Stock w/ Warrants
$
26,440,000
Par
8/4/2010
4
$
26,440,000 $
0
Warrants
9/1/2010
Warrants
MainSource Financial Group, Inc.
Greensburg
IN
Preferred Stock w/ Warrants
$
57,000,000
Par
3/28/2012
78
$
52,277,171 $
0
Warrants
MetroCorp Bancshares, Inc.
United Bancorp, Inc.
Old Second Bancorp, Inc.
Houston
Tecumseh
Aurora
TX
MI
IL
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
45,000,000
20,600,000
73,000,000
Par
Par
Par
Pulaski Financial Corp
OceanFirst Financial Corp.
Community 1st Bank
Creve Coeur
Toms River
Roseville
MO
NJ
CA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
32,538,000
38,263,000
2,550,000
Par
Par
Par
12/30/2009
5
$
38,263,000 $
0
Warrants
2/3/2010
Warrants
2
1/16/2009
1/16/2009
1/16/2009
2
2
2, 50
1/16/2009
1/16/2009
1/16/2009
TCB Holding Company, Texas Community Bank
Centra Financial Holdings, Inc.
First Bankers Trustshares, Inc.
The Woodlands
Morgantown
Quincy
TX
WV
IL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
11,730,000
15,000,000
10,000,000
Par
Par
Par
4
$
$
15,000,000 $
10,000,000 $
0
0
4/15/2009
9/8/2011
Preferred Stock
Preferred Stock
2, 19
3, 30 9/29/2010
2, 49
2
2
1/16/2009
Pacific Coast National Bancorp
San Clemente
CA
Preferred Stock w/ Exercised Warrants
$
4,120,000
Par
2/11/2010
19
$
$
0
N/A
N/A
1/16/2009
Community Bank of the Bay
Oakland
CA
Preferred Stock
$
1,747,000
Par
9/29/2010
4
$
1,747,000
$
0
N/A
N/A
1/16/2009
1/16/2009
1/16/2009
Redwood Capital Bancorp
Syringa Bancorp
Idaho Bancorp
Eureka
Boise
Boise
CA
ID
ID
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
3,800,000
8,000,000
6,900,000
Par
Par
Par
7/21/2011
49
$
3,800,000
$
0
Preferred Stock
2
7/21/2011
Preferred Stock
2, 7
R $
190,000
2, 49
1/16/2009
Puget Sound Bank
Bellevue
WA
Preferred Stock w/ Exercised Warrants
$
4,500,000
Par
8/11/2011
12/15/2010
49
$
$
4,500,000
3,000,000
$
$
Preferred Stock
Preferred Stock
2
8/11/2011
Preferred Stock
2, 7
R $
225,000
2,7
9/15/2011
49
$
2,658,000
$
Preferred Stock
2
R $
283,000
8/12/2009
6/29/2011
4
$
$
12,500,000 $
37,500,000 $
Preferred Stock
Preferred Stock
2
2,500,000
Preferred Stock
2
2, 49
1/16/2009
United Financial Banking Companies, Inc.
Vienna
VA
Preferred Stock w/ Exercised Warrants
$
5,658,000
Par
2
2
1/16/2009
1/16/2009
Dickinson Financial Corporation II
The Baraboo Bancorporation
Kansas City
Baraboo
MO
WI
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
146,053,000
20,749,000
Par
Par
Preferred Stock w/ Exercised Warrants
$
3,000,000
Par
$
50,000,000
Par
3/31/2009
9/8/2011
50
4
0
0
2,658,000
0
Preferred Stock
Preferred Stock
N/A
2
1/16/2009
Bank of Commerce
Charlotte
NC
1/16/2009
State Bankshares, Inc.
Fargo
ND
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
1/16/2009
Southern Bancorp, Inc.
Arkadelphia
AR
Preferred Stock
$
11,000,000
Par
8/6/2010
4
$
11,000,000 $
0
1/16/2009
1/16/2009
1/23/2009
Morrill Bancshares, Inc.
Treaty Oak Bancorp, Inc.
1st Source Corporation
Merriam
Austin
South Bend
KS
TX
IN
Preferred Stock w/ Exercised Warrants
Warrants
Preferred Stock w/ Warrants
$
$
$
13,000,000
3,268,000
111,000,000
Par
Par
Par
7/20/2011
2/15/2011
12/29/2010
4
36
$
$
13,000,000 $
500,000 $
0
0
4
$
111,000,000 $
0
Warrants
1/23/2009
1/23/2009
Princeton National Bancorp, Inc.
AB&T Financial Corporation
Princeton
Gastonia
IL
NC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
25,083,000
3,500,000
Par
Par
1/23/2009
3/28/2012
79
$
47,435,299 $
0
Warrants
4/22/2009
4
$
12/23/2009
4
4/25/2012
4
$
$
12/8/2010
4
$
7/21/2011
50
$
9/8/2011
49
First Citizens Banc Corp
Sandusky
OH
Preferred Stock w/ Warrants
$
23,184,000
Par
79 3/28/2012
2
2, 13 12/4/2009
1/23/2009
WSFS Financial Corporation
Wilmington
DE
Preferred Stock w/ Warrants
$
52,625,000
Par
1/23/2009
Commonwealth Business Bank
Three Shores Bancorporation, Inc. (Seaside
National Bank & Trust)
Los Angeles
CA
Preferred Stock w/ Exercised Warrants
$
7,701,000
Par
2
1/23/2009
CalWest Bancorp
2
2
2
2
1/23/2009
1/23/2009
1/23/2009
1/23/2009
2
2
2
2, 51
2
2, 50
2
2, 49
1/23/2009
Orlando
FL
Preferred Stock w/ Exercised Warrants
$
5,677,000
Par
CA
Preferred Stock w/ Exercised Warrants
$
4,656,000
Par
Fresno First Bank
First ULB Corp.
Alarion Financial Services, Inc.
Midland States Bancorp, Inc.
Rancho Santa
Margarita
Fresno
Oakland
Ocala
Effingham
CA
CA
FL
IL
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
Par
Par
Par
Par
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
Moscow Bancshares, Inc.
Farmers Bank
California Oaks State Bank
Pierce County Bancorp
Calvert Financial Corporation
Liberty Bancshares, Inc.
Moscow
Windsor
Thousand Oaks
Tacoma
Ashland
Jonesboro
TN
VA
CA
WA
MO
AR
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
6,216,000
8,752,000
3,300,000
6,800,000
1,037,000
57,500,000
Par
Par
Par
Par
Par
Par
1/23/2009
1/23/2009
Crosstown Holding Company
BankFirst Capital Corporation
Blaine
Macon
MN
MS
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
10,650,000
15,500,000
Par
Par
$
4,900,000
$
10,189,000 $
1,100,000 $
37,500,000
0
0
0
5,116,000
2
N/A
2
Preferred Stock w/ Exercised Warrants
2
N/A
400,000
9
R $
430,797
2, 7
R $
R $
750,000
500,000
2, 7
N/A
-
N/A
2
2
N/A
Preferred Stock
Warrants
R $
2
9/15/2011
Preferred Stock
6/29/2011
Preferred Stock
2, 7
R $
5/27/2009
Preferred Stock
2, 7
R $
N/A
N/A
7/20/2011
Preferred Stock
3/9/2011
Warrants
2, 7
600,000
N/A
R $
650,000
R $
3,750,000
Preferred Stock
2
4/22/2009
Preferred Stock
2, 7
R $
245,000
Preferred Stock
Preferred Stock
2
12/23/2009
Preferred Stock
2, 7
R $
509,000
2
$
0
Preferred Stock
2
12/8/2010
Preferred Stock
2, 7
R $
165,000
57,500,000 $
0
Preferred Stock
2
7/21/2011
Preferred Stock
2, 7
R $
2,875,000
Preferred Stock
2
Preferred Stock
2, 7
R $
775,000
3,300,000
15,500,000 $
0
9/8/2011
46
Seller
Footnote
Purchase Date
2, 49
1/23/2009
Name of Institution
Southern Illinois Bancorp, Inc.
Capital Repayment Details
Purchase Details
City
Carmi
State
IL
Investment Description
Preferred Stock w/ Exercised Warrants
Investment Amount
$
5,000,000
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
Par
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
Par
1/30/2009
Peoples Bancorp Inc.
Marietta
OH
Preferred Stock w/ Warrants
$
39,000,000
Par
50
49
49
49
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.
Madison
Sewell
Powhatan
Troy
WI
NJ
VA
MI
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
Par
Par
Par
Par
1/30/2009
1/30/2009
Middleburg Financial Corporation
Peninsula Bank Holding Co.
Middleburg
Palo Alto
VA
CA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
22,000,000
6,000,000
Par
Par
1/30/2009
1/30/2009
1/30/2009
PrivateBancorp, Inc.
Central Valley Community Bancorp
Plumas Bancorp
Chicago
Fresno
Quincy
IL
CA
CA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
243,815,000
7,000,000
11,949,000
Par
Par
Par
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
Stewardship Financial Corporation
Oak Ridge Financial Services, Inc.
First United Corporation
Community Partners Bancorp
Guaranty Federal Bancshares, Inc.
Midland Park
Oak Ridge
Oakland
Middletown
Springfield
NJ
NC
MD
NJ
MO
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
10,000,000
7,700,000
30,000,000
9,000,000
17,000,000
Par
Par
Par
Par
Par
1/30/2009
Annapolis Bancorp, Inc.
Annapolis
MD
Preferred Stock w/ Warrants
$
8,152,000
Par
2
1/30/2009
1/30/2009
1/30/2009
DNB Financial Corporation
Firstbank Corporation
Valley Commerce Bancorp
Downingtown
Alma
Visalia
PA
MI
CA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
11,750,000
33,000,000
7,700,000
Par
Par
Par
2
1/30/2009
Greer Bancshares Incorporated
Greer
SC
Preferred Stock w/ Exercised Warrants
$
9,993,000
Par
2
2, 49
1/30/2009
1/30/2009
Ojai Community Bank
Adbanc, Inc
Ojai
Ogallala
CA
NE
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
2,080,000
12,720,000
Par
Par
2
3, 53
2
2
1/30/2009
1/30/2009
1/30/2009
1/30/2009
Beach Business Bank
Legacy Bancorp, Inc.
First Southern Bancorp, Inc.
Country Bank Shares, Inc.
Manhattan Beach
Milwaukee
Boca Raton
Milford
CA
WI
FL
NE
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
6,000,000
5,498,000
10,900,000
7,525,000
Par
Par
Par
Par
8/25/2011
12/16/2009
6/16/2010
49
2/2/2011
4
12/28/2011
4
12/23/2009
2/15/2012
Warrants
R $
1,200,724
0
Preferred Stock w/
Warrants
Warrants
0
Warrants
11/18/2011
Warrants
P $
301,001
$
0
Warrants
9/28/2011
Warrants
R $
185,017
10,000,000 $
0
Warrants
10/26/2011
Warrants
R $
107,398
0
Warrants
10/26/2011
Warrants
R $
460,000
0
Preferred Stock w/
Warrants
Warrants
9/21/2011
Warrants
R $
458,000
0
Preferred Stock
2
3/21/2012
Preferred Stock
2, 7
R $
385,000
0
4,500,000
3,000,000
Preferred Stock
Preferred Stock
Preferred Stock
2
7/21/2011
Preferred Stock
2, 7
R $
636,000
1,500,000
Preferred Stock
2
Preferred Stock
2
6/16/2010
Preferred Stock
2, 7
R $
545,000
0
Preferred Stock
2
8/18/2011
Preferred Stock
2, 7
R $
522,000
$
0
Preferred Stock
2
8/11/2011
Preferred Stock
2, 7
R $
450,000
$
$
110,000,000 $
3,674,000 $
0
0
Preferred Stock
Preferred Stock
2
9/15/2011
9/22/2011
Preferred Stock
Preferred Stock
2, 7
R $
R $
5,500,000
184,000
$
8,750,000
0
Preferred Stock
2
8/11/2011
Preferred Stock
2, 7
R $
438,000
Preferred Stock
2
Preferred Stock
2, 7
R $
332,000
7/6/2011
Preferred Stock
2, 7
R $
290,000
4/21/2010
9/15/2011
8/11/2011
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
R $
R $
R $
200,000
500,000
237,000
9/15/2011
Preferred Stock
R $
130,000
7/27/2011
Warrants
R $
1,000,000
2/29/2012
Warrants
R $
2,800,000
18,000,000 $
5
$
22,000,000 $
8/18/2011
50
$
9/1/2011
49
$
8/11/2011
49
$
9,000,000
$
4/18/2012
4
$
4,076,000
$
8/4/2011
49
$
3/21/2012
4
$
7/21/2011
7/6/2011
10/19/2011
49
$
$
$
3/7/2012
4
$
6/16/2010
4
$
8/18/2011
49
$
8/11/2011
49
$
8,950,000
4
4
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
10,449,000
25,000,000
8,950,000
12,639,000
110,000,000
Par
Par
Par
Par
Par
9/15/2011
50
2, 50
2
1/30/2009
1/30/2009
AMB Financial Corp.
Goldwater Bank, N.A.
Munster
Scottsdale
IN
AZ
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
3,674,000
2,568,000
Par
Par
9/22/2011
50
2, 49
2, 13 10/30/2009,
49
1/30/2009
Equity Bancshares, Inc.
Wichita
KS
Preferred Stock w/ Exercised Warrants
$
8,750,000
Par
8/11/2011
49
1/30/2009
WashingtonFirst Bankshares, Inc.
(WashingtonFirst Bank)
8/4/2011
49
Par
162,000
$
ME
AR
KS
CO
WA
6,633,000
R $
18,000,000
Houlton
Little Rock
Marysville
Denver
Spokane
$
250,000
Preferred Stock
21,000,000 $
Katahdin Bankshares Corp.
Rogers Bancshares, Inc.
UBT Bancshares, Inc.
Bankers' Bank of the West Bancorp, Inc.
W.T.B. Financial Corporation
Preferred Stock w/ Exercised Warrants
R $
6/16/2010
$
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
VA
2, 7
$
$
$
$
5,000,000
1,000,000
2,240,000
7,000,000
11,750,000 $
7,700,000
$
12,720,000 $
1,500,000 $
1,500,000 $
1,500,000
$
10,900,000 $
10,449,000 $
6,633,000
$
$
4,076,000
0
0
2
2
1/30/2009
1/30/2009
Central Bancshares, Inc.
Hilltop Community Bancorp, Inc.
Houston
Summit
TX
NJ
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
5,800,000
4,000,000
Par
Par
7/6/2011
4/21/2010
4
2, 49
2, 49
2
2
2, 50
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
2/6/2009
Northway Financial, Inc.
Monument Bank
Metro City Bank
F & M Bancshares, Inc.
First Resource Bank
MidWestOne Financial Group, Inc.
Berlin
Bethesda
Doraville
Trezevant
Exton
Iowa City
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/ Warrants
$
$
$
$
$
$
10,000,000
4,734,000
7,700,000
4,609,000
2,600,000
16,000,000
Par
Par
Par
Par
Par
Par
9/15/2011
8/11/2011
49
9/15/2011
7/6/2011
50
$
4
$
8/4/2010
4
$
20,000,000 $
39,000,000
2/6/2009
Lakeland Bancorp, Inc.
Oak Ridge
NJ
Preferred Stock w/ Warrants
$
59,000,000
Par
3/16/2011
4
$
20,000,000 $
19,000,000
2/8/2012
4
$
19,000,000 $
2/6/2009
Monarch Community Bancorp, Inc.
Coldwater
MI
Preferred Stock w/ Warrants
$
6,785,000
$
4
$
$
$
49
Preferred Stock
Preferred Stock
Preferred Stock
2
Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
2, 7
0
2,240,000
0
4
Final
Disposition
Date
Preferred Stock
$
$
$
4
2, 49
2
2, 49
2
2, 50
Reston
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
2
2
2
2
$
0
Preferred Stock
2
4,000,000 $
10,000,000 $
4,734,000 $
0
0
0
Preferred Stock
Preferred Stock
Preferred Stock
2
$
0
16,000,000 $
0
Preferred Stock
Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
5,800,000
2,600,000
0
8/25/2011
2
2
2
2
8/4/2011
2, 7
2, 7
2, 7
2, 7
Warrants
Par
47
Seller
Footnote
30 9/29/2010
Name of Institution
Purchase Date
Capital Repayment Details
Purchase Details
City
State
Investment Description
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
2/6/2009
The First Bancshares, Inc.
Hattiesburg
MS
Preferred Stock w/ Warrants
$
5,000,000
Par
2/6/2009
2/6/2009
Carolina Trust Bank
Alaska Pacific Bancshares, Inc.
Lincolnton
Juneau
NC
AK
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
4,000,000
4,781,000
Par
Par
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
9/29/2010
4
$
5,000,000
$
0
Warrants
8/13/2010
4
$
3,000,000
$
0
N/A
4
$
4,000,000
$
4
$
4
$
$
5,000,000
3,500,000
4
$
5,645,000
Final
Disposition
Date
3, 30 8/13/2010
2
2/6/2009
PGB Holdings, Inc.
Chicago
IL
Preferred Stock
$
3,000,000
Par
2/6/2009
The Freeport State Bank
Harper
KS
Preferred Stock w/ Exercised Warrants
$
301,000
Par
2
2/6/2009
Stockmens Financial Corporation
Rapid City
SD
$
15,568,000
Par
1/14/2011
3/16/2011
2
2
2, 49
2
3, 30 9/24/2010
2
2/6/2009
2/6/2009
2/6/2009
2/6/2009
US Metro Bank
First Express of Nebraska, Inc.
Mercantile Capital Corp.
Citizens Commerce Bancshares, Inc.
Garden Grove
Gering
Boston
Versailles
CA
NE
MA
KY
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
2,861,000
5,000,000
3,500,000
6,300,000
Par
Par
Par
Par
2/15/2012
8/4/2011
2/6/2009
Liberty Financial Services, Inc.
New Orleans
LA
Preferred Stock
$
5,645,000
Par
9/24/2010
2/6/2009
Houston
TX
Preferred Stock w/ Exercised Warrants
$
3,072,000
Par
Bowling Green
VA
Preferred Stock
$
33,900,000
Par
12/7/2011
4
$
Harrisburg
Bedford
Hopkinsville
NE
NH
KY
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
795,000
7,500,000
4,000,000
Par
Par
Par
7/28/2011
7/28/2011
49
$
$
795,000
7,500,000
$
$
0
0
Preferred Stock
Preferred Stock
2
GA
$
$
$
$
$
$
8,700,000
3,345,000
17,000,000
4,021,000
3,564,000
1,050,000
Par
Par
Par
Par
Par
Par
2/16/2011
7/21/2011
$
$
8,700,000
3,345,000
$
$
0
0
Preferred Stock
2
Preferred Stock
2
Preferred Stock w/ Exercised Warrants
18
2/6/2009
2, 49
2, 49
2
2/6/2009
2/6/2009
2/6/2009
Lone Star Bank
Union First Market Bankshares Corporation
(First Market Bank, FSB)
Banner County Ban Corporation
Centrix Bank & Trust
Todd Bancshares, Inc.
2
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
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.
Atlanta
Charleston
Salisbury
Moyock
Lebanon
Miramar Beach
WV
NC
NC
TN
FL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
2/6/2009
Hyperion Bank
Pascack Bancorp, Inc.
(Pascack Community Bank)
First Western Financial, Inc.
QCR Holdings, Inc.
Philadelphia
PA
Preferred Stock w/ Exercised Warrants
$
1,552,000
Par
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
2, 50
2
2, 34
2
2
2
2, 13 2/10/2010
2
49
2/6/2009
2/6/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
58 10/21/2011
2, 49
2, 49
2
Westamerica Bancorporation
The Bank of Kentucky Financial Corporation
PremierWest Bancorp
Carrollton Bancorp
San Rafael
Crestview Hills
CA
KY
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
83,726,000
34,000,000
49
49
4
50
Preferred Stock
Preferred Stock
2
0
$
$
0
0
Preferred Stock
Preferred Stock
2
$
0
35,595,000 $
0
11,568,000 $
11,568,000
2
2
N/A
N/A
2
Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
N/A
N/A
3/16/2011
Preferred Stock
2, 7
R $
778,000
2/15/2012
8/4/2011
Preferred Stock
Preferred Stock
2, 7
R $
R $
250,000
175,000
N/A
N/A
2/16/2011
7/21/2011
Preferred Stock
Preferred Stock
2, 7
N/A
N/A
34
-
10/19/2011
Preferred Stock
2, 7
R $
188,000
11/16/2011
Warrants
R $
1,100,000
11/18/2011
Warrants
P $
878,256
9/15/2011
9/1/2011
Preferred Stock
Preferred Stock
R $
R $
240,000
220,000
9/29/2010
Preferred Stock
R $
750,000
2, 7
R $
250,000
2, 7
R $
900,000
R $
110,000
R $
35,000
0
Par
10/19/2011
4
$
3,756,000
$
0
Preferred Stock
Par
Par
9/15/2011
49
$
38,237,000 $
0
9/2/2009
4
$
41,863,000 $
11/18/2009
4
$
41,863,000 $
12/22/2010
4
$
17,000,000 $
11/23/2011
4
$
17,000,000 $
0
Warrants
Preferred Stock w/
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
9/15/2011
9/1/2011
49
$
$
4,797,000
4,400,000
$
$
0
0
Preferred Stock
Preferred Stock
2
9/29/2010
4
$
15,000,000
$
0
Preferred Stock
2
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
Par
Medford
Baltimore
OR
MD
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
41,400,000
9,201,000
Par
Par
2/13/2009
FNB United Corp.
Asheboro
NC
Common Stock w/ Warrants
$
51,500,000
Par
2/13/2009
2/13/2009
2/13/2009
First Menasha Bancshares, Inc.
1st Enterprise Bank
DeSoto County Bank
Neenah
Los Angeles
Horn Lake
WI
CA
MS
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
4,797,000
4,400,000
1,173,000
Par
Par
Par
2
2/13/2009
Security Bancshares of Pulaski County, Inc.
Waynesville
MO
Preferred Stock w/ Exercised Warrants
$
2,152,000
Par
2, 30 9/29/2010
2/13/2009
State Capital Corporation
Greenwood
MS
Preferred Stock w/ Exercised Warrants
$
15,000,000
Par
2
2/13/2009
BankGreenville
Greenville
SC
Preferred Stock w/ Exercised Warrants
$
1,000,000
Par
2
2, 50
2
2/13/2009
2/13/2009
2/13/2009
Corning Savings and Loan Association
Financial Security Corporation
ColoEast Bankshares, Inc.
Corning
Basin
Lamar
AR
WY
CO
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
638,000
5,000,000
10,000,000
Par
Par
Par
2
2
2
2, 62
2/13/2009
2/13/2009
2/13/2009
2/13/2009
Santa Clara Valley Bank, N.A.
Reliance Bancshares, Inc.
Regional Bankshares, Inc.
Peoples Bancorp
Santa Paula
Frontenac
Hartsville
Lynden
CA
MO
SC
WA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
2,900,000
40,000,000
1,500,000
18,000,000
Par
Par
Par
Par
49
17,000,000
2
N/A
2, 7
$
0
-
N/A
1,742,850
Par
N/A
Preferred Stock
Preferred Stock
$
41,863,000
-
N/A
34
2
2, 7
N/A
7/28/2011
7/28/2011
12/3/2010
N/A
-
2, 7
2, 7
2, 7
2, 7
R $
R $
40,000
375,000
R $
R $
435,000
167,000
N/A
2, 7,
30a
2, 7,
2, 30 9/24/2010
2/13/2009
First Choice Bank
Cerritos
CA
Preferred Stock w/ Exercised Warrants
$
2,200,000
Par
9/24/2010
4
2
2
2
2/13/2009
2/13/2009
2/13/2009
Gregg Bancshares, Inc.
Hometown Bancshares, Inc.
Midwest Regional Bancorp, Inc.
Ozark
Corbin
Festus
MO
KY
MO
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
825,000
1,900,000
700,000
Par
Par
Par
11/10/2009
4
$
2,200,000
$
0
$
700,000
$
0
N/A
Preferred Stock
2
9/24/2010
Preferred Stock
11/10/2009
Preferred Stock
30a
2, 7
48
Seller
Capital Repayment Details
Purchase Details
Name of Institution
City
State
Footnote
Purchase Date
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
2/20/2009
Bern Bancshares, Inc.
Northwest Bancorporation, Inc.
Liberty Bancshares, Inc.
F&M Financial Corporation
Meridian Bank
Northwest Commercial Bank
Royal Bancshares of Pennsylvania, Inc.
Bern
Spokane
Springfield
Clarksville
Devon
Lakewood
Narberth
KS
WA
MO
TN
PA
WA
PA
27, 49, 50
2/20/2009
First Merchants Corporation
Muncie
IN
2/20/2009
Northern States Financial Corporation
Waukegan
2, 25
2, 50
2, 49
2/20/2009
2/20/2009
2/20/2009
Sonoma Valley Bancorp
Guaranty Bancorp, Inc.
The Private Bank of California
2, 30 9/29/2010
2/20/2009
2
2
2
2
2
Investment Description
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
9/1/2011
49
8/18/2011
50
$
21,900,000 $
0
9/22/2011
9/22/2011
50
$
$
69,600,000 $
46,400,000 $
0
0
Par
Par
Par
9/15/2011
9/1/2011
50
1,998,000
Par
9/29/2010
4
$
$
$
$
$
17,280,000
16,800,000
8,700,000
3,100,000
4,579,000
Par
Par
Par
Par
Par
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
10,000,000
2,060,000
3,250,000
12,500,000
2,644,000
Par
Par
Par
Par
Par
9/22/2011
49
MS
Preferred Stock w/ Exercised Warrants
$
9/29/2010
4
Temple
TX
Preferred Stock w/ Exercised Warrants
$
22,000,000
Par
First BancTrust Corporation
Premier Service Bank
Florida Business BancGroup, Inc.
Hamilton State Bancshares
Paris
Riverside
Tampa
Hoschton
IL
CA
FL
GA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
7,350,000
4,000,000
9,495,000
7,000,000
Par
Par
Par
Par
1/18/2012
2/27/2009
Lakeland Financial Corporation
Warsaw
IN
Preferred Stock w/ Warrants
$
56,044,000
2/27/2009
First M&F Corporation
Kosciusko
MS
Preferred Stock w/ Warrants
$
14, 57
2
2, 49
2, 49
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
Greenville
Evansville
Columbia
New Canaan
Lafayette
SC
IN
TN
CT
CA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
2, 49
2
2/27/2009
2/27/2009
Columbine Capital Corp.
National Bancshares, Inc.
Buena Vista
Bettendorf
CO
IA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
2
2
2/27/2009
2/27/2009
First State Bank of Mobeetie
Ridgestone Financial Services, Inc.
Mobeetie
Brookfield
TX
WI
2
2, 49
2
2
2/27/2009
2/27/2009
2/27/2009
2/27/2009
Community Business Bank
D.L. Evans Bancorp
TriState Capital Holdings, Inc.
Green City Bancshares, Inc.
West Sacramento
Burley
Pittsburgh
Green City
2
2/27/2009
First Gothenburg Bancshares, Inc.
2
2
2, 49
2
2, 49
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
Green Circle Investments, Inc.
Private Bancorporation, Inc.
Regent Capital Corporation
Central Bancorp, Inc.
Medallion Bank
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/ Warrants
Preferred Stock w/ Warrants
Trust Preferred Securities
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
985,000
10,500,000
21,900,000
17,243,000
6,200,000
1,992,000
30,407,000
69,600,000
46,400,000
17,211,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Sonoma
Woodsville
Los Angeles
CA
NH
CA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
8,653,000
6,920,000
5,450,000
Lafayette Bancorp, Inc.
Oxford
MS
Preferred Stock w/ Exercised Warrants
$
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.
Hinesville
Fayetteville
San Mateo
Buffalo
Malvern
GA
AR
CA
WY
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
2
2
2
2, 49
2
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
Mid-Wisconsin Financial Services, Inc.
Market Bancorporation, Inc.
Hometown Bancorp of Alabama, Inc.
Security State Bancshares, Inc.
CBB Bancorp
Medford
New Market
Oneonta
Charleston
Cartersville
WI
MN
AL
MO
GA
2, 30 9/29/2010
2/20/2009
BancPlus Corporation
Ridgeland
2
2/20/2009
Central Community Corporation
2
2
2, 49
2
2/20/2009
2/20/2009
2/20/2009
2/20/2009
30 9/29/2010
49
$
985,000
$
0
Final
Disposition
Date
Preferred Stock
2
Preferred Stock
2
Warrants
Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
Preferred Stock
2, 7
R $
50,000
8/18/2011
Preferred Stock
2, 7
R $
1,095,000
11/18/2011
Warrants
P $
367,500
9/15/2011
9/1/2011
Preferred Stock
Preferred Stock
R $
R $
346,000
273,000
9/29/2010
Preferred Stock
R $
100,000
R $
625,000
R $
2,400,000
9/1/2011
$
$
6,920,000
5,450,000
$
$
0
0
Preferred Stock
2
Preferred Stock
2
$
1,998,000
$
0
Preferred Stock
2
$
12,500,000 $
0
Preferred Stock
2
9/22/2011
Preferred Stock
$
48,000,000
$
0
Preferred Stock
2
9/29/2010
Preferred Stock
4
$
3,675,000
$
Preferred Stock
2
9/22/2011
4/13/2011
49
$
9,495,000
$
0
Preferred Stock
2
9/22/2011
Preferred Stock
2, 7
R $
475,000
4
5
0
0
Preferred Stock
Warrants
4/13/2011
11/18/2011
Preferred Stock
Warrants
2, 7
6/9/2010
7,000,000 $
56,044,000 $
2
Par
$
$
R $
P $
350,000
877,557
Par
9/29/2010
4
$
30,000,000
$
0
17,299,000
83,586,000
17,806,000
4,797,000
4,000,000
Par
Par
Par
Par
Par
8/4/2011
9/15/2011
49
$
4,797,000
$
0
Preferred Stock
2
8/4/2011
Preferred Stock
2, 7
R $
240,000
49
Par
Par
9/22/2011
49
$
$
0
0
Preferred Stock
Preferred Stock
9/15/2011
9/22/2011
Preferred Stock
Preferred Stock
2, 7
2,260,000
24,664,000
4,000,000
2,260,000
2
$
$
$
$
R $
R $
200,000
113,000
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
731,000
10,900,000
Par
Par
4/14/2010
4
$
731,000
$
0
Preferred Stock
2
4/14/2010
Preferred Stock
2, 7
R $
37,000
CA
ID
PA
MO
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
3,976,000
19,891,000
23,000,000
651,000
Par
Par
Par
Par
9/27/2011
49
$
19,891,000 $
0
Preferred Stock
2
9/27/2011
Preferred Stock
2, 7
R $
995,000
7/14/2010
4
$
651,000
$
0
Preferred Stock
2
7/14/2010
Preferred Stock
2, 7
R $
33,000
Gothenburg
NE
Preferred Stock w/ Exercised Warrants
$
7,570,000
Par
Clive
Minneapolis
Nowata
Garland
Salt Lake City
IA
MN
OK
TX
UT
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
2,400,000
4,960,000
2,655,000
22,500,000
11,800,000
Par
Par
Par
Par
Par
7/21/2011
49
$
2,655,000
$
0
Preferred Stock
2
7/21/2011
Preferred Stock
2, 7
R $
133,000
7/21/2011
49
$
11,800,000 $
0
Preferred Stock
2
7/21/2011
Preferred Stock
2, 7
R $
590,000
49
2, 7
2, 7
2, 7,
30a
2, 7
2, 7,
48,000,000
30,000,000
Par
3,675,000
30a
Warrants
2
2, 7
2, 7,
2, 30 9/29/2010
2/27/2009
PSB Financial Corporation
Many
LA
Preferred Stock w/ Exercised Warrants
$
9,270,000
Par
9/29/2010
4
$
9,270,000
$
0
Preferred Stock
2
9/29/2010
Preferred Stock
R $
464,000
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
$
7,400,000
$
0
Preferred Stock
2
9/15/2011
Preferred Stock
2, 7
R $
370,000
49
$
$
5,983,000 $
12,000,000 $
0
0
Preferred Stock
2
2
9/22/2011
9/15/2011
Preferred Stock
Preferred Stock
2, 7
Preferred Stock
R $
R $
299,000
600,000
50
30a
2, 7
49
Seller
Footnote
2, 13 12/4/2009,
49
2, 49
Purchase Date
2
Name of Institution
City
State
Investment Description
The Victory Bancorp, Inc.
(The Victory Bank)
Limerick
PA
Preferred Stock w/ Exercised Warrants
2/27/2009
Catskill Hudson Bancorp, Inc
Rock Hill
NY
50
2/27/2009
3/6/2009
3/6/2009
Midtown Bank & Trust Company
HCSB Financial Corporation
First Busey Corporation
Atlanta
Loris
Urbana
GA
SC
IL
42 - 5/3/2011
3/6/2009
First Federal Bancshares of Arkansas, Inc.
Harrison
3, 30 8/13/2010
2
2, 49
2
2
2
3/6/2009
Citizens Bancshares Corporation
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
ICB Financial
First Texas BHC, Inc.
Farmers & Merchants Bancshares, Inc.
Blue Ridge Bancshares, Inc.
First Reliance Bancshares, Inc.
2, 62
2
2
2, 49
2, 49
2
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
2/27/2009
Capital Repayment Details
Purchase Details
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
Final
Disposition
Date
Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
Par
9/22/2011
49
$
541,000
$
0
Preferred Stock
2
9/22/2011
Preferred Stock
2, 7
R $
27,000
3,000,000
Par
7/21/2011
49
$
3,000,000
$
0
Preferred Stock
2
7/21/2011
Preferred Stock
2, 7
R $
150,000
5,222,000
12,895,000
100,000,000
Par
Par
Par
8/25/2011
50
$
100,000,000 $
0
Warrants
11/18/2011
Warrants
$
16,500,000
Par
5/3/2011
42
$
6,000,000
$
0
N/A
N/A
N/A
Preferred Stock
$
7,462,000
Par
8/13/2010
4
$
7,462,000
$
0
N/A
N/A
N/A
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
6,000,000
13,533,000
11,000,000
12,000,000
15,349,000
Par
Par
Par
Par
Par
9/15/2011
49
$
13,533,000 $
0
Preferred Stock
2
9/15/2011
Preferred Stock
2, 7
R $
677,000
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
1,881,000
5,500,000
4,967,000
10,000,000
2,492,000
6,700,000
Par
Par
Par
Par
Par
Par
9/7/2011
62
$
$
0
Preferred Stock
2
9/7/2011
Preferred Stock
2, 7
R $
94,000
CO
TN
TX
OK
FL
7/14/2011
9/15/2011
49
$
$
10,000,000 $
2,492,000 $
0
0
Preferred Stock
Preferred Stock
2
7/14/2011
9/15/2011
Preferred Stock
Preferred Stock
2, 7
R $
R $
500,000
125,000
$
$
$
8,816,000 $
17,390,000 $
1,224,558,000 $
0
0
0
11/2/2011
11/16/2011
7/7/2010
Warrants
Warrants
Warrants
R $
R $
R $
205,000
375,000
172,000,000
$
541,000
Preferred Stock w/ Exercised Warrants
$
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
AR
Preferred Stock w/ Warrants
Atlanta
GA
Ontario
Fort Worth
Houston
Independence
Florence
CA
TX
TX
MO
SC
Merchants and Planters Bancshares, Inc.
First Southwest Bancorporation, Inc.
Germantown Capital Corporation, Inc.
BOH Holdings, Inc.
AmeriBank Holding Company
Highlands Independent Bancshares, Inc.
Toone
Alamosa
Germantown
Houston
Collinsville
Sebring
TN
49
1,881,000
2
P $
63,677
N/A
-
2, 7
N/A
2
3/6/2009
Pinnacle Bank Holding Company, Inc.
2, 71
2
2
2
3/6/2009
3/6/2009
3/6/2009
3/6/2009
Blue River Bancshares, Inc.
Marine Bank & Trust Company
Community Bancshares of Kansas, Inc.
Regent Bancorp, Inc.
Orange City
Shelbyville
Vero Beach
Goff
Davie
FL
IN
FL
KS
FL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
4,389,000
5,000,000
3,000,000
500,000
9,982,000
Par
Par
Par
Par
Par
2
2
3/6/2009
3/6/2009
3/13/2009
3/13/2009
Park Bancorporation, Inc.
PeoplesSouth Bancshares, Inc.
First Place Financial Corp.
Salisbury Bancorp, Inc.
Madison
Colquitt
Warren
Lakeville
WI
GA
OH
CT
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
23,200,000
12,325,000
72,927,000
8,816,000
Par
Par
Par
Par
8/25/2011
49
3/13/2009
3/13/2009
3/13/2009
First Northern Community Bancorp
Discover Financial Services
Provident Community Bancshares, Inc.
Dixon
Riverwoods
Rock Hill
CA
IL
SC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
17,390,000
1,224,558,000
9,266,000
Par
Par
Par
9/15/2011
4/21/2010
49
3/13/2009
First American International Corp.
Brooklyn
NY
Preferred Stock
$
Par
8/13/2010
4
$
17,000,000 $
0
N/A
N/A
7/14/2011
12/29/2010
49
$
21,100,000 $
0
Preferred Stock
2
7/14/2011
Preferred Stock
2, 7
R $
1,055,000
4
425,000 $
10,000,000 $
0
0
Preferred Stock
Preferred Stock
12/29/2010
11/18/2009
Preferred Stock
Preferred Stock
2, 7
11/18/2009
$
$
2
4
R $
R $
21,000
500,000
N/A
N/A
49
49
3, 30 8/13/2010
2, 49
2
3/13/2009
3/13/2009
BancIndependent, Inc.
Haviland Bancshares, Inc.
Sheffield
Haviland
AL
KS
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
17,000,000
21,100,000
425,000
Par
Par
4
Warrants
Warrants
Warrants
N/A
2
-
2, 7
N/A
2
2
2
3/13/2009
3/13/2009
3/13/2009
1st United Bancorp, Inc.
Madison Financial Corporation
First National Corporation
Boca Raton
Richmond
Strasburg
FL
KY
VA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
10,000,000
3,370,000
13,900,000
Par
Par
Par
2
2
3/13/2009
3/13/2009
St. Johns Bancshares, Inc.
Blackhawk Bancorp, Inc.
St. Louis
Beloit
MO
WI
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
3,000,000
10,000,000
Par
Par
2, 3a 11/13/2009
30 - 9/3/2010
3/13/2009
IBW Financial Corporation
Washington
DC
Preferred Stock
$
6,000,000
Par
9/3/2010
4
$
6,000,000
$
0
2
2
3/13/2009
3/13/2009
Butler Point, Inc.
Bank of George
Catlin
Las Vegas
IL
NV
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
607,000
2,672,000
Par
Par
11/2/2011
4
$
607,000
$
0
Preferred Stock
2
11/2/2011
Preferred Stock
2, 7
R $
30,000
2, 50
2, 49
2
Moneytree Corporation
Sovereign Bancshares, Inc.
First Intercontinental Bank
Heritage Oaks Bancorp
Community First Bancshares Inc.
First NBC Bank Holding Company
First Colebrook Bancorp, Inc.
Lenoir City
Dallas
Doraville
Paso Robles
Union City
New Orleans
Colebrook
TN
TX
GA
CA
TN
LA
NH
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
$
$
$
$
$
$
$
9,516,000
18,215,000
6,398,000
21,000,000
20,000,000
17,836,000
4,500,000
Par
Par
Par
Par
Par
Par
Par
9/15/2011
9/22/2011
50
$
$
9,516,000 $
18,215,000 $
0
0
Preferred Stock
Preferred Stock
2
9/15/2011
9/22/2011
Preferred Stock
Preferred Stock
2, 7
R $
R $
476,000
911,000
2, 49
2, 49
2, 49
3/13/2009
3/13/2009
3/13/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
8/18/2011
8/4/2011
9/22/2011
49
$
$
20,000,000 $
17,836,000 $
0
0
Preferred Stock
Preferred Stock
2
8/18/2011
8/4/2011
Preferred Stock
Preferred Stock
2, 7
R $
R $
1,000,000
892,000
0
Preferred Stock
2
9/22/2011
Preferred Stock
2, 7
R $
225,000
2
2
2
3/20/2009
3/20/2009
3/20/2009
Kirksville Bancorp, Inc.
Peoples Bancshares of TN, Inc
Premier Bank Holding Company
Kirksville
Madisonville
Tallahassee
MO
TN
FL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
470,000
3,900,000
9,500,000
Par
Par
Par
2
3/20/2009
Citizens Bank & Trust Company
Covington
LA
Preferred Stock w/ Exercised Warrants
$
2,400,000
Par
49
49
49
$
4,500,000
$
N/A
2
2
-
2, 7
2, 7
N/A
50
Seller
Capital Repayment Details
Purchase Details
Name of Institution
City
State
Investment Description
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
Footnote
Purchase Date
2
2, 50
2, 49
2
2
2
2
2
2
2, 49
2
3/20/2009
3/20/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
Farmers & Merchants Financial Corporation
Farmers State Bankshares, Inc.
SBT Bancorp, Inc.
CSRA Bank Corp.
Trinity Capital Corporation
Clover Community Bankshares, Inc.
Pathway Bancorp
Colonial American Bank
MS Financial, Inc.
Triad Bancorp, Inc.
Alpine Banks of Colorado
Argonia
Holton
Simsbury
Wrens
Los Alamos
Clover
Cairo
West Conshohocken
Kingwood
Frontenac
Glenwood Springs
KS
KS
CT
GA
NM
SC
NE
PA
TX
MO
CO
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
442,000
700,000
4,000,000
2,400,000
35,539,000
3,000,000
3,727,000
574,000
7,723,000
3,700,000
70,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
2
2
2
2
3/27/2009
3/27/2009
3/27/2009
3/27/2009
Naples Bancorp, Inc.
CBS Banc-Corp.
IBT Bancorp, Inc.
Spirit BankCorp, Inc.
Naples
Russellville
Irving
Bristow
FL
AL
TX
OK
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
4,000,000
24,300,000
2,295,000
30,000,000
Par
Par
Par
Par
2
3/27/2009
4/3/2009
Maryland Financial Bank
First Capital Bancorp, Inc.
Towson
Glen Allen
MD
VA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$
$
1,700,000
10,958,000
Par
Par
4/3/2009
Tri-State Bank of Memphis
Memphis
TN
Preferred Stock
$
2,795,000
Par
2, 3, 30 8/13/2010
2, 50
2
7/21/2011
8/11/2011
50
10/26/2011
4
10/19/2011
9/22/2011
4
49
49
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
Final
Disposition
Date
$
$
700,000
4,000,000
$
$
0
0
Preferred Stock
Preferred Stock
2
$
$
$
574,000
7,723,000
3,700,000
$
$
$
0
0
0
Preferred Stock
Preferred Stock
Preferred Stock
2
2
2
2
Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
7/21/2011
8/11/2011
Preferred Stock
Preferred Stock
2, 7
10/26/2011
10/19/2011
9/22/2011
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
2, 7
2, 7
2, 7
R $
R $
40,000
200,000
R $
R $
R $
29,000
386,000
185,000
8/13/2010
4
$
2,795,000
$
0
N/A
N/A
$
3,100,000
$
0
Preferred Stock
2
9/15/2011
Preferred Stock
2, 7
R $
155,000
N/A
-
N/A
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
3,100,000
8,600,000
Par
Par
9/15/2011
50
IA
Preferred Stock w/ Exercised Warrants
4
$
2,117,000
$
0
Preferred Stock
2
4/4/2012
Preferred Stock
2, 7
R $
106,000
7,260,000
2,765,000
2,800,000
Par
Par
Par
Par
4/4/2012
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
2,117,000
CO
TN
KS
AR
AL
NJ
CA
IL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
12,725,000
1,706,000
9,439,000
2,211,000
4,000,000
Par
Par
Par
Par
Par
8/31/2011
4
$
4,000,000
$
0
Preferred Stock
2
8/31/2011
Preferred Stock
2, 7
R $
200,000
Milwaukee
WI
Preferred Stock w/ Exercised Warrants
$
5,100,000
Par
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
Chicago
Mocksville
Wayne
Tifton
Patterson
New York
Lakewood
Manistique
IL
NC
PA
GA
LA
NY
CO
MI
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
$
$
$
$
$
$
$
$
2,040,000
13,179,000
9,960,000
3,800,000
3,690,000
7,500,000
2,816,000
11,000,000
Par
Par
Par
Par
Par
Par
Par
Par
9/1/2011
49
$
9,960,000
$
0
Preferred Stock
2
9/1/2011
Preferred Stock
2, 7
R $
498,000
3/7/2012
4
$
250,000
$
Preferred Stock
2
4/24/2009
Birmingham Bloomfield Bancshares, Inc
Birmingham
MI
Preferred Stock w/ Exercised Warrants
$
1,635,000
Par
7/28/2011
49
$
1,635,000
$
0
Preferred Stock
2
7/28/2011
Preferred Stock
2, 7
R $
82,000
4/24/2009
4/24/2009
Vision Bank - Texas
Oregon Bancorp, Inc.
Richardson
Salem
TX
OR
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
1,500,000
3,216,000
Par
Par
2, 83
4/24/2009
Peoples Bancorporation, Inc.
Easley
SC
Preferred Stock w/ Exercised Warrants
$
12,660,000
Par
4/24/2012
83
$
12,660,000 $
0
Preferred Stock
2
4/24/2012
Preferred Stock
R $
633,000
2
4/24/2009
Indiana Bank Corp.
Dana
IN
Preferred Stock w/ Exercised Warrants
$
1,312,000
Par
2
2
2, 50
2, 49
4/24/2009
4/24/2009
4/24/2009
4/24/2009
Business Bancshares, Inc.
Standard Bancshares, Inc.
York Traditions Bank
Grand Capital Corporation
Clayton
Hickory Hills
York
Tulsa
MO
IL
PA
OK
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
15,000,000
60,000,000
4,871,000
4,000,000
Par
Par
Par
Par
5/23/2012
4
$
6,000,000
$
Preferred Stock
2
7/14/2011
9/8/2011
50
$
4,871,000
$
0
Preferred Stock
2
7/14/2011
Preferred Stock
2, 7
R $
244,000
49
$
4,000,000
$
0
Preferred Stock
2
9/8/2011
Preferred Stock
2, 7
R $
200,000
2
4/24/2009
Allied First Bancorp, Inc.
Oswego
IL
Preferred Stock w/ Exercised Warrants
$
3,652,000
Par
4
$
1,600,000
$
4/24/2009
Frontier Bancshares, Inc.
Austin
TX
Subordinated Debentures w/ Exercised
Warrants
11/24/2009
8
$
3,000,000
Par
10/6/2010
R $
150,000
4
$
1,400,000
$
0
Subordinated
8
Debentures
7
10/6/2010
9/22/2011
50
$
3,194,000
$
0
9/22/2011
Preferred Stock
2, 7
R $
160,000
4/3/2009
4/3/2009
Fortune Financial Corporation
BancStar, Inc.
Arnold
Festus
4/3/2009
4/3/2009
4/3/2009
4/3/2009
Titonka Bancshares, Inc
Millennium Bancorp, Inc.
TriSummit Bank
Prairie Star Bancshares, Inc.
Titonka
2, 84
2
2
Edwards
Kingsport
Olathe
2
2
2, 3
2
2
4/3/2009
4/3/2009
4/10/2009
4/10/2009
4/10/2009
Community First Bancshares, Inc.
BCB Holding Company, Inc.
City National Bancshares Corporation
First Business Bank, N.A.
SV Financial, Inc.
Harrison
Theodore
Newark
San Diego
Sterling
2
4/10/2009
Capital Commerce Bancorp, Inc.
2
4/10/2009
4/17/2009
4/17/2009
4/17/2009
4/17/2009
4/17/2009
4/17/2009
4/24/2009
2, 49
2
2
2
2, 49
2, 52
2
2
2
MO
MO
3,440,000
2, 7,
2
2
2, 50
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
Midlothian
Milford
Atlanta
Oxford
2
5/1/2009
HPK Financial Corporation
Chicago
VA
OH
GA
NC
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
14,738,000
2,250,000
4,500,000
3,194,000
Par
Par
Par
Par
IL
Preferred Stock w/ Exercised Warrants
$
4,000,000
Par
9,000,000
1,400,000
Subordinated
Debentures 8
Subordinated
Debentures
83
8
Preferred Stock
2
51
Seller
Capital Repayment Details
Purchase Details
Name of Institution
City
State
Footnote
Purchase Date
8
5/1/2009
OSB Financial Services, Inc.
Orange
TX
8
5/1/2009
Security State Bank Holding-Company
Jamestown
ND
Investment Description
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
$
6,100,000
Par
$
10,750,000
Par
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
10/5/2011
4
$
6,100,000
$
0
Subordinated
Debentures 8
Final
Disposition
Date
Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
10/5/2011
Subordinated
Debentures 8
7
R $
305,000
2, 13 8/31/2010,
49
2, 56
2, 80
5/8/2009
Highlands Bancorp, Inc.
(Highlands State Bank)
Vernon
NJ
Preferred Stock w/ Exercised Warrants
$
3,091,000
Par
9/22/2011
49
$
3,091,000
$
0
Preferred Stock
2
9/22/2011
Preferred Stock
2, 7
R $
155,000
5/8/2009
5/8/2009
One Georgia Bank
Gateway Bancshares, Inc.
Atlanta
Ringgold
GA
GA
$
$
5,500,000
6,000,000
Par
Par
4/13/2012
80
$
6,000,000
$
0
Preferred Stock
2
4/13/2012
Preferred Stock
2, 7
R $
300,000
8
5/8/2009
Freeport Bancshares, Inc.
Freeport
IL
$
3,000,000
Par
8
5/8/2009
Investors Financial Corporation of Pettis County, Inc Sedalia
MO
$
4,000,000
Par
8, 49
5/8/2009
Sword Financial Corporation
Horicon
WI
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
$
13,644,000
Par
9/15/2011
49
$
13,644,000 $
0
Subordinated
Debentures 8
9/15/2011
Subordinated
Debentures 8
7
R $
3, 8, 30 8/13/2010
5/8/2009
Premier Bancorp, Inc.
Wilmette
IL
Subordinated Debentures
$
6,784,000
Par
8/13/2010
4
$
0
N/A
N/A
N/A
5/15/2009
Mercantile Bank Corporation
Grand Rapids
MI
Preferred Stock w/ Warrants
$
21,000,000
Par
4/4/2012
4
$
5/15/2009
5/15/2009
5/15/2009
5/15/2009
Northern State Bank
Western Reserve Bancorp, Inc
Community Financial Shares, Inc.
Worthington Financial Holdings, Inc.
Closter
Medina
Glen Ellyn
Huntsville
NJ
OH
IL
AL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
1,341,000
4,700,000
6,970,000
2,720,000
Par
Par
Par
Par
3/28/2012
4
$
1,341,000
$
0
Preferred Stock
2
3/28/2012
Preferred Stock
2, 7
R $
67,000
$
4,862,000
$
0
Preferred Stock
2
9/8/2011
Preferred Stock
2, 7
R $
243,000
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
7
R $
132,000
8/18/2011
49
$
15,000,000 $
0
Preferred Stock
2
8/18/2011
Preferred Stock
2, 7
R $
750,000
9/22/2011
49
$
$
0
Preferred Stock
2
9/22/2011
Preferred Stock
2, 7
R $
314,000
$
$
19,468,000 $
1,800,000 $
0
0
2
10/19/2011
1/26/2011
R $
Preferred Stock
Preferred Stock
2, 7
R $
1,100,870
90,000
$
12,000,000 $
0
Preferred Stock
2
9/1/2011
Preferred Stock
2, 7
R $
600,000
2
2
2
2
2
5/15/2009
First Community Bancshares, Inc
Overland Park
KS
Preferred Stock w/ Exercised Warrants
2, 50
2
3, 8, 30 9/10/2010
5/15/2009
5/15/2009
Southern Heritage Bancshares, Inc.
Foresight Financial Group, Inc.
Cleveland
Rockford
TN
IL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
14,800,000
4,862,000
15,000,000
Par
Par
Par
9/8/2011
5/15/2009
IBC Bancorp, Inc.
Chicago
IL
Subordinated Debentures
$
4,205,000
Par
9/10/2010
8
5/15/2009
Boscobel Bancorp, Inc
Boscobel
WI
8
5/15/2009
Brogan Bankshares, Inc.
Kaukauna
WI
8
5/15/2009
Riverside Bancshares, Inc.
Little Rock
AR
8, 49
5/15/2009
Deerfield Financial Corporation
Deerfield
WI
8
5/15/2009
Market Street Bancshares, Inc.
Mt. Vernon
2, 49
2
2, 82
5/22/2009
5/22/2009
5/22/2009
The Landrum Company
First Advantage Bancshares Inc.
Fort Lee Federal Savings Bank
Columbia
Coon Rapids
Fort Lee
MO
MN
NJ
IL
2
2, 49
2
2
5/22/2009
5/22/2009
5/22/2009
5/22/2009
Blackridge Financial, Inc.
Illinois State Bancorp, Inc.
Universal Bancorp
Franklin Bancorp, Inc.
Fargo
Chicago
Bloomfield
Washington
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
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
$
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
Par
Par
Par
$
$
$
$
5,000,000
6,272,000
9,900,000
5,097,000
Par
Par
Par
Par
$
20,400,000
Par
$
6,349,000
Par
$
2,993,000
Par
$
20,445,000
Par
$
14,400,000
Par
$
19,468,000
8
5/22/2009
United Bank Corporation
Barnesville
GA
49
5/29/2009
Community Bank Shares of Indiana, Inc.
New Albany
IN
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
Par
9/15/2011
49
2
2, 63
2
2
5/29/2009
5/29/2009
5/29/2009
5/29/2009
American Premier Bancorp
CB Holding Corp.
Citizens Bancshares Co.
Grand Mountain Bancshares, Inc.
Arcadia
Aledo
Chillicothe
Granby
CA
IL
MO
CO
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
1,800,000
4,114,000
24,990,000
3,076,000
Par
Par
Par
Par
1/26/2011
4
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
$
12,000,000
Par
9/1/2011
49
$
3,942,000
Par
2, 49
5/29/2009
Two Rivers Financial Group
Burlington
IA
8
5/29/2009
Fidelity Bancorp, Inc
Baton Rouge
LA
6,784,000
$
10,500,000 $
6,272,000
10,500,000
-
682,000
N/A
Preferred Stock w/
Warrants
Warrants
-
Warrants
N/A
52
Seller
Name of Institution
City
State
Footnote
Purchase Date
8
5/29/2009
Chambers Bancshares, Inc.
Danville
AR
2
6/5/2009
Covenant Financial Corporation
Clarksdale
MS
8
6/5/2009
First Trust Corporation
New Orleans
LA
8, 10
6/5/2009
OneFinancial Corporation
Little Rock
AR
6/12/2009
Customers Bancorp, Inc.
(Berkshire Bancorp, Inc.)
Phoenixville
PA
2, 60 09/19/2011
Capital Repayment Details
Purchase Details
Investment Description
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
$
19,817,000
$
5,000,000
Par
$
17,969,000
Par
$
17,300,000
Par
$
2,892,000
Par
12/28/2011
4
6/12/2009
First Vernon Bancshares, Inc.
Vernon
AL
Preferred Stock w/ Exercised Warrants
$
6,000,000
Par
9/29/2010
2
2, 10
2, 49
6/12/2009
6/12/2009
6/12/2009
SouthFirst Bancshares, Inc.
Virginia Company Bank
Enterprise Financial Services Group, Inc.
Sylacauga
Newport News
Allison Park
AL
VA
PA
$
$
$
2,760,000
4,700,000
4,000,000
Par
Par
Par
8/25/2011
8, 10, 49
6/12/2009
First Financial Bancshares, Inc.
Lawrence
KS
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
$
3,756,000
Par
9/22/2011
$
15,000,000
Par
$
3,510,000
Par
9/8/2011
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
$
8,900,000
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
Subordinated Debentures
$
8
6/12/2009
River Valley Bancorporation, Inc.
Wausau
WI
2, 49
6/19/2009
Merchants and Manufacturers Bank Corporation
Joliet
IL
2, 10
6/19/2009
RCB Financial Corporation
Rome
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
2, 10, 30 9/29/2010
$
2,892,000
$
0
2
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
6/26/2009
Veritex Holdings, Inc.
(Fidelity Resources Company)
Dallas
TX
6/26/2009
6/26/2009
Waukesha Bankshares, Inc.
FC Holdings, Inc.
Waukesha
Houston
6/26/2009
Security Capital Corporation
$
11,926,000
Par
$
6,000,000
$
0
Preferred Stock
49
$
4,000,000
$
0
$
3,756,000
$
0
Preferred Stock
Subordinated
Debentures 8
2
49
49
$
3,510,000
$
0
Preferred Stock
2
7/30/2010
4
12/28/2011
Preferred Stock
2, 7
R $
145,000
R $
245,000
$
11,926,000
$
0
9/29/2010
Preferred Stock
8/25/2011
Preferred Stock
Subordinated
Debentures 8
2, 7
R $
200,000
7
R $
113,000
9/8/2011
Preferred Stock
2, 7
R $
176,000
N/A
N/A
N/A
Warrants
9/21/2010
Warrants
9/22/2011
$
15,000,000
Par
$
3,400,000,000
Par
3/31/2010
4
$
3,400,000,000 $
0
Preferred Stock w/ Exercised Warrants
$
3,000,000
Par
8/25/2011
49
$
3,000,000
$
0
Preferred Stock
2
8/25/2011
Preferred Stock
WI
TX
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
5,625,000
21,042,000
Par
Par
Batesville
MS
Preferred Stock w/ Exercised Warrants
$
9/29/2010
4
$
17,388,000
$
0
Preferred Stock
2
9/29/2010
Preferred Stock
Preferred Stock
2
8/18/2011
Preferred Stock
N/A
N/A
30a
-
2, 7
N/A
A $
706,264,560
R $
150,000
R $
522,000
R $
375,000
2, 7,
17,388,000
Par
2
6/26/2009
First Alliance Bancshares, Inc.
Cordova
TN
Preferred Stock w/ Exercised Warrants
$
3,422,000
Par
6/26/2009
6/26/2009
Gulfstream Bancshares, Inc.
Gold Canyon Bank
Stuart
Gold Canyon
FL
AZ
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
7,500,000
1,607,000
Par
Par
8/18/2011
50
$
7,500,000
$
0
6/26/2009
M&F Bancorp, Inc.
Durham
NC
Preferred Stock
$
11,735,000
Par
8/20/2010
4
$
11,735,000
$
0
6/26/2009
Metropolitan Bank Group, Inc.
Chicago
1/18/2012
4
$
24,900,000 $
0
12/15/2010
4
IL
Preferred Stock w/ Exercised Warrants
$
74,706,000
Par
Chicago
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
6/26/2009
Stearns Financial Services, Inc.
St. Cloud
MN
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
$
24,900,000
Par
6/26/2009
8
6/26/2009
Signature Bancshares, Inc.
Dallas
TX
8
6/26/2009
Fremont Bancorporation
Fremont
CA
8
6/26/2009
Alliance Financial Services Inc.
Saint Paul
MN
7/10/2009
Lincoln National Corporation
Radnor
PA
2, 10, 49
Preferred Stock
2
2, 50
2, 10
2, 3, 10, 30 8/20/2010
2, 41 3/30/2011
2, 41 3/30/2011
2
8
Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
2, 7,
4
2, 40 3/23/2011,
49
2, 10
2
Final
Disposition
Date
Par
2, 10, 30 9/29/2010
8
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
7/10/2009
Bancorp Financial, Inc.
Oak Brook
IL
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$
1,700,000
Par
$
35,000,000
Par
$
12,000,000
Par
$
950,000,000
Par
$
13,669,000
Par
$
1,700,000
$
0
6/30/2010
4
$
950,000,000 $
0
8/18/2011
49
$
13,669,000 $
0
N/A
Subordinated
8
Debentures
Subordinated
Debentures 8
1/18/2012
12/15/2010
Warrants
Preferred Stock
2
Subordinated
8
Debentures
Subordinated
Debentures 8
9/16/2010
Warrants
8/18/2011
Preferred Stock
30a
2, 7
-
N/A
7
R $
1,245,000
7
R $
85,000
A $
213,671,319
2, 7
R $
410,000
53
Seller
Capital Repayment Details
Purchase Details
Name of Institution
City
State
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
8
7/17/2009
First South Bancorp, Inc.
Lexington
TN
8
7/17/2009
Great River Holding Company
Baxter
MN
8, 10
7/17/2009
Plato Holdings Inc.
Saint Paul
MN
2, 10
7/24/2009
7/24/2009
Yadkin Valley Financial Corporation
Community Bancshares, Inc.
Elkin
Kingman
NC
AZ
2
7/24/2009
Florida Bank Group, Inc.
Tampa
FL
8
7/24/2009
First American Bank Corporation
Elk Grove Village
IL
Investment Description
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
11,000,000
12,900,000
6,800,000
Par
Par
Par
9/15/2011
49
$
11,000,000 $
$
50,000,000
Par
9/28/2011
4
$
13,125,000 $
36,875,000
Subordinated
Debentures 8
$
8,400,000
Par
$
2,500,000
Par
$
$
13,312,000
3,872,000
Par
Par
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
$
20,471,000
Par
$
50,000,000
Par
12/21/2011
4
$
15,000,000 $
35,000,000
Subordinated
Debentures 8
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
$
7,000,000
Par
$
3,742,000
Par
9/1/2011
49
$
8/25/2011
49
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
8/7/2009
8/7/2009
The ANB Corporation
U.S. Century Bank
Terrell
Miami
TX
FL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
20,000,000
50,236,000
Par
Par
2
2
8/14/2009
8/21/2009
Bank Financial Services, Inc.
KS Bancorp, Inc.
Eden Prairie
Smithfield
MN
NC
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
$
$
1,004,000
4,000,000
Par
Par
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
Subordinated Debentures w/ Exercised
Warrants
0
Preferred Stock
Final
Disposition
Date
2
9/15/2011
Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
Preferred Stock
$
0
Subordinated
Debentures 8
$
20,000,000 $
0
Preferred Stock
2
8/25/2011
Subordinated
Debentures 8
Preferred Stock
20,699,000 $
0
Preferred Stock
2
9/22/2011
Preferred Stock
$
5,000,000
Par
$
$
$
3,223,000
20,699,000
16,015,000
Par
Par
Par
9/22/2011
49
$
$
9,720,000
Par
9/8/2011
50
$
3,742,000
9/1/2011
8, 10, 49
9/4/2009
The State Bank of Bartley
Bartley
NE
Subordinated Debentures w/ Exercised
Warrants
$
1,697,000
Par
9/22/2011
49
$
1,697,000
$
0
49
9/11/2009
Pathfinder Bancorp, Inc.
Oswego
NY
Preferred Stock w/ Warrants
$
6,771,000
Par
9/1/2011
49
$
6,771,000
$
0
Subordinated
Debentures 8
Subordinated
Debentures 8
Warrants
2, 30 9/29/2010
9/11/2009
Community Bancshares of Mississippi, Inc.
Brandon
MS
Preferred Stock w/ Exercised Warrants
$
52,000,000
Par
9/29/2010
4
$
52,000,000
$
0
Preferred Stock
2
2, 10
9/11/2009
Heartland Bancshares, Inc.
Franklin
IN
Preferred Stock w/ Exercised Warrants
$
7,000,000
Par
2, 10, 50
8, 30 9/17/2010
9/11/2009
PFSB Bancorporation, Inc.
Pigeon Falls
WI
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
$
1,500,000
Par
8/25/2011
50
$
1,500,000
$
0
9/17/2010
$
7,500,000
$
Preferred Stock
Subordinated
Debentures 8
2
4
3/16/2011
4
$
2,606,000
$
Preferred Stock
2
8/11/2011
50
$
7,497,000
$
Preferred Stock
2
9,720,000
$
0
2/1/2012
Subordinated
Debentures 8
Subordinated
Debentures 8
Warrants
9/29/2010
Preferred Stock
8/25/2011
Preferred Stock
Subordinated
Debentures 8
9/8/2011
9/22/2011
2, 7
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 $
537,633
R $
2,600,000
550,000
2, 7,
9/11/2009
First Eagle Bancshares, Inc.
Hanover Park
IL
2, 10
2, 10
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
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
$
7,500,000
Par
$
$
5,976,000
10,000,000
Par
Par
$
10,103,000
Par
$
3,300,000
Par
$
2,443,320
Par
0
7,497,000
0
9/17/2010
8/11/2011
Preferred Stock
30a
2, 7
R $
71,000
30a
R $
375,000
2, 7
R $
303,000
54
Seller
Capital Repayment Details
Purchase Details
Name of Institution
City
State
Investment Description
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
Footnote
3, 8, 30 7/30/2010
10, 21
Purchase Date
9/25/2009
Guaranty Capital Corporation
Belzoni
MS
Subordinated Debentures
$
14,000,000
Par
9/25/2009
GulfSouth Private Bank
Destin
FL
$
7,500,000
Par
8, 10, 50
9/25/2009
Steele Street Bank Corporation
Denver
CO
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
$
11,019,000
2, 10, 49
10/2/2009
10/2/2009
Premier Financial Bancorp, Inc.
Providence Bank
Huntington
Rocky Mount
WV
NC
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$
$
22,252,000
4,000,000
2, 10, 69 1/27/2012
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
Final
Disposition
Date
Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
7/30/2010
4
$
14,000,000 $
0
N/A
N/A
N/A
Par
9/1/2011
50
$
11,019,000 $
0
Subordinated
Debentures 8
9/1/2011
Subordinated
Debentures 8
Par
Par
9/15/2011
49
$
0
Preferred Stock
2
9/15/2011
Preferred Stock
1/27/2012
69
0
Preferred Stock
2
9/8/2011
50
$
6,251,000
$
8/4/2011
49
$
6,842,000
8/18/2011
50
$
4,000,000
$
-
N/A
7
R $
331,000
2, 7
R $
175,000
R $
381,000
R $
313,000
2, 7,
10/23/2009
Regents Bancshares, Inc.
Vancouver
WA
Preferred Stock w/ Exercised Warrants
$
12,700,000
Par
$
12,700,000 $
1/27/2012
Preferred Stock
0
Subordinated
Debentures 8
9/8/2011
Subordinated
Debentures 8
$
0
N/A
N/A
N/A
6,000,000
$
0
8/18/2011
Preferred Stock
8, 50
10/23/2009
Cardinal Bancorp II, Inc.
Washington
MO
Subordinated Debentures w/ Exercised
Warrants
$
6,251,000
Par
2
2, 10a, 49
10/30/2009
10/30/2009
Randolph Bank & Trust Company
WashingtonFirst Bankshares, Inc.
Asheboro
Reston
NC
Preferred Stock w/ Exercised Warrants
$
6,229,000
Par
VA
2, 10a
2, 10
11/6/2009
11/13/2009
F & M Bancshares, Inc.
Fidelity Federal Bancorp
Trezevant
Evansville
TN
$
$
$
6,842,000
3,535,000
6,657,000
Par
Par
Par
8, 10
11/13/2009
Community Pride Bank Corporation
Ham Lake
MN
$
4,400,000
Par
2, 10a
2, 10
11/13/2009
11/20/2009
HPK Financial Corporation
Presidio Bank
Chicago
San Francisco
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
$
5,000,000
2, 50
2, 10a
11/20/2009
11/20/2009
McLeod Bancshares, Inc.
Metropolitan Capital Bancorp, Inc.
Shorewood
Chicago
MN
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
$
$
$
10,800,000
6,000,000
2,348,000
Par
Par
Par
Par
3, 10a, 72 2/10/2012
12/4/2009
Broadway Financial Corporation
Los Angeles
CA
Preferred Stock
$
6,000,000
Par
2
2, 10
2
12/4/2009
12/4/2009
12/11/2009
Delmar Bancorp
Liberty Bancshares, Inc.
First Community Financial Partners, Inc.
Delmar
Fort Worth
Joliet
MD
TX
IL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
9,000,000
6,500,000
22,000,000
Par
Par
Par
2, 10
12/11/2009
Wachusett Financial Services, Inc.
Clinton
MA
Preferred Stock w/ Exercised Warrants
$
12,000,000
Par
4/4/2012
4
$
3,000,000
$
8
12/11/2009
Nationwide Bankshares, Inc.
West Point
NE
Subordinated Debentures w/ Exercised
Warrants
$
2,000,000
Par
12/29/2010
4
$
2,000,000
$
0
2, 10a, 49
2, 10a, 49
2, 10a, 49
12/11/2009
12/11/2009
12/11/2009
GrandSouth Bancorporation
1st Enterprise Bank
First Resource Bank
Greenville
Los Angeles
Exton
SC
CA
PA
Preferred Stock
Preferred Stock
Preferred Stock
$
$
$
6,319,000
6,000,000
2,417,000
Par
Par
Par
9/8/2011
9/1/2011
9/15/2011
49
$
$
6,319,000
6,000,000
$
$
49
$
2,417,000
2, 10a
2, 10a
12/11/2009
12/11/2009
First Western Financial, Inc.
Meridian Bank
Denver
Devon
CO
PA
Preferred Stock
Preferred Stock
$
$
11,881,000
6,335,000
Par
Par
2, 10a, 49
2, 10a
2
12/11/2009
12/11/2009
12/18/2009
The Victory Bancorp, Inc.
First Business Bank, N.A.
Layton Park Financial Group
Limerick
San Diego
Milwaukee
PA
CA
WI
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
$
$
$
1,505,000
2,032,000
3,000,000
Par
Par
Par
9/22/2011
49
$
2, 10, 49
2, 49
2, 10a, 49
2, 10a, 49
12/18/2009
12/18/2009
12/18/2009
12/18/2009
Centric Financial Corporation
Valley Financial Group, Ltd., 1st State Bank
Cache Valley Banking Company
Birmingham Bloomfield Bancshares, Inc
Harrisburg
Saginaw
Logan
Birmingham
PA
MI
UT
MI
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock
$
$
$
$
6,056,000
1,300,000
4,640,000
1,744,000
Par
Par
Par
Par
7/14/2011
9/22/2011
7/14/2011
7/28/2011
49
2, 10a
2, 10a
2, 10a, 49
2, 10
2, 10a, 30 9/24/2010
2, 10a, 13 8/31/2010,
49
2, 10a, 49
12/18/2009
12/18/2009
12/18/2009
12/22/2009
First Priority Financial Corp.
Northern State Bank
Union Bank & Trust Company
First Freedom Bancshares, Inc.
Malvern
Closter
Oxford
Lebanon
PA
NJ
NC
TN
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants
$
$
$
$
4,596,000
1,230,000
2,997,000
8,700,000
Par
Par
Par
Par
3/28/2012
9/22/2011
12/22/2009
First Choice Bank
Cerritos
CA
Preferred Stock
$
2,836,000
Par
9/24/2010
12/22/2009
Highlands Bancorp, Inc.
(Highlands State Bank)
Vernon
NJ
Preferred Stock
$
2,359,000
Par
12/22/2009
Medallion Bank
Salt Lake City
UT
Preferred Stock w/ Exercised Warrants
$
9,698,000
2, 10a, 49
2, 10a
2, 10
2, 10
12/22/2009
12/22/2009
12/29/2009
12/29/2009
Catskill Hudson Bancorp, Inc
TriSummit Bank
Atlantic Bancshares, Inc.
Union Financial Corporation
Rock Hill
Kingsport
Bluffton
Albuquerque
NY
TN
SC
NM
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
3,500,000
4,237,000
2,000,000
2,179,000
2, 73 3/9/2012
12/29/2009
Mainline Bancorp, Inc.
Ebensburg
PA
Preferred Stock w/ Exercised Warrants
$
4,500,000
IN
IL
CA
IL
Preferred Stock
2
69
7
-
2, 7
R $
7
R $
N/A
300,000
12/29/2010
0
0
Preferred Stock w/
Warrants
Subordinated
Debentures 8
N/A
N/A
N/A
N/A
Subordinated
Debentures 8
N/A
N/A
$
0
N/A
N/A
N/A
1,505,000
$
0
Preferred Stock
2
9/22/2011
Preferred Stock
2, 7
R $
34,000
$
$
$
6,056,000
1,300,000
4,640,000
$
$
$
0
0
0
Preferred Stock
Preferred Stock
N/A
2
7/14/2011
9/22/2011
N/A
Preferred Stock
Preferred Stock
N/A
2, 7
R $
R $
-
182,000
65,000
N/A
49
$
1,744,000
$
0
N/A
N/A
N/A
-
N/A
4
$
$
1,230,000
2,997,000
$
$
0
0
N/A
N/A
N/A
N/A
N/A
N/A
-
N/A
N/A
4
$
2,836,000
$
0
N/A
N/A
N/A
-
N/A
9/22/2011
49
$
2,359,000
$
0
N/A
N/A
N/A
Par
7/21/2011
49
$
9,698,000
$
0
Preferred Stock
2
7/21/2011
Preferred Stock
2, 7
R $
55,000
Par
Par
Par
Par
7/21/2011
49
$
3,500,000
$
0
Preferred Stock
2
7/21/2011
Preferred Stock
2, 7
R $
113,000
Par
3/9/2012
73
$
4,500,000
$
0
Preferred Stock
2
3/9/2012
Preferred Stock
R $
225,000
$
650,000
$
0
N/A
N/A
49
49
49
49
9,000,000
2
2, 7
100,000
-
N/A
N/A
-
N/A
N/A
2, 7,
8, 10, 38
12/29/2009
FBHC Holding Company
Boulder
2, 10a
12/29/2009
Western Illinois Bancshares Inc.
Monmouth
CO
IL
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock
$
3,035,000
Par
$
4,567,000
Par
3/9/2011
38
N/A
73
N/A
55
Seller
Footnote
2, 10a
2, 10a, 30 9/29/2010
2, 10a
2, 10a
2, 10a, 49
Name of Institution
Purchase Date
Capital Repayment Details
Purchase Details
City
State
Investment Description
Investment Amount
Pricing
Capital Repayment
Capital
Mechanism Repayment Date Amount (Loss) 6
12/29/2009
DeSoto County Bank
Horn Lake
MS
Preferred Stock
$
1,508,000
12/29/2009
Lafayette Bancorp, Inc.
Oxford
MS
Preferred Stock
$
2,453,000
Par
12/29/2009
12/29/2009
Private Bancorporation, Inc.
CBB Bancorp
Minneapolis
Cartersville
MN
GA
Preferred Stock
Preferred Stock
$
$
3,262,000
1,753,000
Par
Par
12/29/2009
Illinois State Bancorp, Inc.
Chicago
Preferred Stock w/ Exercised Warrants
$
4,000,000
Par
$
204,943,827,320
IL
Total Purchase Amount *
Treasury Investment Remaining
After Capital Repayment
Remaining
Investment
Remaining Capital
Description
Amount
Final
Disposition
Date
Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
Par
9/29/2010
4
$
2,453,000
$
0
9/22/2011
49
$
4,000,000
$
0
Total Repaid **
Losses***
TOTAL TREASURY CAPITAL PURCHASE PROGRAM (CPP) OUTSTANDING INVESTMENT AMOUNT
$ 190,586,951,341
$
(2,739,390,967)
$
11,617,485,012
N/A
Preferred Stock
2
N/A
N/A
9/22/2011
Preferred Stock
-
2, 7
Total Warrant Proceeds****
N/A
R $
92,000
$
7,676,440,194
* Total purchase amount includes the capitalization of accrued dividends referred to in Notes 20, 22, 28 and 29.
** Total repaid includes (i) the amount of $25 billion applied as repayment under the Capital Purchase Program from the total proceeds of $31.85 billion received pursuant to the sales of Citigroup, Inc. common stock as of December 6, 2010 (see Note 23 and "Capital Purchase Program - Citigroup Common Stock Disposition" on following pages) and (ii)
the amount of $355,724,000 repaid by institutions that have completed exchanges for investments under the Community Development Capital Initiative (see Note 30 and "Community Development Capital Initiative" on following pages).
*** Losses include (i) the investment amount for institutions that have completed bankruptcy proceedings (see Notes 16 and 19) and (ii) the investment amount less the amount of final proceeds for institutions where Treasury has completed a sale (see Notes 26, 32, 33, 34, 38, 39, 42, 46, 47, 59, 64, 74, 75, 76, 77, 78, 79), but excludes investment
amounts for institutions that have pending receivership or bankruptcy proceedings (see Notes 14, 25, 51, 52, 53, 54, 55, 56, 57, 61, 63, 70, 71, 82).
**** 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). Beginning with the Transactions Report for the period ending April 20, 2012, disposition amounts for warrant sales by Treasury in a registered public offering ("A") are
displayed after underwriting fees (net) as oppose to before underwriting fees and selling expenses (gross).
Notes appear on the following page.
56
1a/ This transaction was included in previous Transaction Reports with Merrill Lynch & Co., Inc. listed as the qualifying institution and a 10/28/2008 transaction date, footnoted to indicate that settlement was deferred pending merger. The purchase of Merrill Lynch by Bank of America was completed on 1/1/2009, and this transaction under the CPP was funded
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 net disposition proceeds from CPP warrants on 3/3/2010 was $305,913,040, consisting of $183,547,824 and $122,365,216. 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, after underwriting fees, 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 not met.
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 original
19/ On 2/11/2010, Pacific Coast National Bancorp dismissed its bankruptcy proceedings with no recovery to any creditors or investors, including Treasury, and the investment was extinguished.
20/ On 3/8/2010, Treasury exchanged its $84,784,000 of preferred stock in Midwest Banc Holdings, Inc. (MBHI) for $89,388,000 of mandatory convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $84,784,000, plus $4,604,000 of capitalized previously accrued and unpaid dividends. Subject to the fulfillment by MBHI of the
conditions related to its capital plan, the MCP may be converted to common stock.
21/ On 3/30/2010, Treasury exchanged its $7,500,000 of subordinated debentures in GulfSouth Private Bank for an equivalent amount of preferred stock, in connection with its conversion from a Subchapter S-Corporation, that comply with the CPP terms applicable to privately held qualified financial institutions.
22/ On 4/16/2010, Treasury exchanged its $72,000,000 of preferred stock in Independent Bank Corporation (Independent) for $74,426,000 of mandatory convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $72,000,000, plus $2,426,000 of capitalized previously accrued and unpaid dividends. Subject to the fulfillment by
Independent of the conditions related to its capital plan, the MCP may be converted to common stock.
23/ Treasury received Citigroup common stock pursuant to the June 2009 Exchange Agreement between Treasury and Citigroup which provided for the exchange into common shares of the preferred stock that Treasury purchased in connection with Citigroup's participation in the Capital Purchase Program (see note 11). On April 26, 2010, Treasury gave
Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on May 26, 2010. On May 26,
2010, Treasury again gave Morgan Stanley discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on June 30, 2010. On July 23, 2010,
Treasury again gave Morgan Stanley discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on September 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on September 30, 2010. On October 19,
2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common stock from time to time during the period ending on December 31, 2010 (or upon completion of the sale), which plan was terminated on December 6, 2010. All such
sales were generally made at the market price. On December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. See "Capital Purchase Program - Citigroup, Inc., Common Stock Disposition" on following page for the actual number of shares sold by Morgan Stanley, the weighted average price per share and
the total proceeds to Treasury from all such sales during those periods.
24/ On 8/26/2010, Treasury completed the exchange of its $303,000,000 of preferred stock in Sterling Financial Corporation (Sterling) for a like amount of mandatorily convertible preferred Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Sterling entered into on 4/29/2010. Since Sterling also fulfilled the conversion
conditions set forth in the Certificate of Designations for the MCP, including those related to its capital plan, Treasury’s $303,000,000 of MCP was subsequently, as of 8/26/2010, converted into 378,750,000 shares of common stock.
25/ On 8/20/2010, Sonoma Valley Bank, Sonoma, CA, the banking subsidiary of Sonoma Valley Bancorp, was closed by the California Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
26/ On 9/30/2010, Treasury completed the sale of all preferred stock and warrants issued by South Financial Group, Inc. to Toronto-Dominion Bank (TD) at an aggregate purchase price of $130,179,218.75 for the preferred stock and $400,000 for the warrants, pursuant to the terms of the agreement between Treasury and TD entered into on 5/18/2010.
27/ On 6/30/2010, Treasury exchanged $46,400,000 of its series A preferred stock in First Merchants Corporation for a like amount of non tax-deductible Trust Preferred Securities issued by First Merchants Capital Trust III.
28/ On 7/20/2010, Treasury completed the exchange of its $400,000,000 of preferred stock in First BanCorp for $424,174,000 of mandatorily convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $400,000,000, plus $24,174,000 of capitalized previously accrued and unpaid dividends. On 10/07/2011, following the completion
of the conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was converted into 32,941,797 shares of common stock of First BanCorp. Treasury received all accrued and previously unpaid dividends on the MCP at the time of the conversion. First BanCorp has agreed to have a Treasury observer attend board of
directors meetings.
29/ On 8/31/2010, following the completion of the conditions related to Pacific Capital Bancorp's (Pacific Capital) capital plan, Treasury exchanged its $180,634,000 of preferred stock in Pacific Capital for $195,045,000 of mandatorily convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $180,634,000, plus $14,411,000 of
capitalized previously accrued and unpaid dividends. On 9/27/2010, following the completion of the conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was converted into 360,833,250 shares of common stock of Pacific Capital. Pacific Capital has agreed to have Treasury observers attend board of directors
meetings.
30/ This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has completed an exchange of its Capital Purchase Program investment for an investment under the terms of the CDCI program. See "Community Development Capital Initiative" below.
30a/ At the time of this institution’s exchange into the CDCI program, the warrant preferreds were included in the total amount of preferred stock exchanged for Treasury’s CDCI investment. Therefore this disposition amount does not represent cash proceeds to Treasury.
31/ On 9/30/2010, Treasury completed the exchange of its $80,347,000 of preferred stock in Hampton Roads Bankshares, Inc. (Hampton) for a like amount of mandatorily convertible preferred Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Hampton entered into on 8/12/2010. Since Hampton also fulfilled the
conversion conditions set forth in the Certificate of Designations for the MCP, Treasury’s $80,347,000 of MCP was subsequently converted into 52,225,550 shares of common stock.
32/ On 9/30/2010, Treasury completed the sale of all preferred stock and warrants issued by TIB Financial Corp. to North American Financial Holdings, Inc. (NAFH) at an aggregate purchase price of $12,119,637.37 for the preferred stock and $40,000 for the warrants, pursuant to the terms of the agreement between Treasury and NAFH entered into on
9/24/2010.
33/ On 3/4/2011, Treasury completed the sale to Community Bancorp LLC (“CBC”) of all preferred stock and warrants issued by Cadence Financial Corporation (“Cadence”) to Treasury for an aggregate purchase price of $39,014,062.50, pursuant to the terms of the agreement between Treasury and CBC entered into on 10/29/2010.
34/ On 12/3/2010, Treasury completed the sale of all preferred stock (including the preferred stock received upon the exercise of warrants) issued by The Bank of Currituck (“Currituck”) to Treasury for an aggregate purchase price of $1,742,850, pursuant to the terms of the agreement between Treasury and Currituck entered into on 11/5/2010.
35/ Treasury entered into an agreement on 1/28/2011 with North American Financial Holdings, Inc. for the sale of all preferred stock and warrants issued by Capital Bank Corporation to Treasury for an aggregate purchase price of $41,279,000. Since the conditions to closing of the sale were satisfied, the closing of the sale also occurred on 1/28/2011.
36/ On 2/15/2011, Treasury completed the sale of all preferred stock (including the preferred stock received upon the exercise of warrants) issued by Treaty Oak Bancorp (“Treaty Oak”) to Treasury for (i) a cash payment of $500,000, (ii) the right to receive up to $150,000 in principal payments on a note payable by Carlile Bancshares, Inc. in favor of Treaty
Oak, and (iii) a newly issued warrant to purchase 3,098,341 shares of Treaty Oak common stock, pursuant to the terms of the agreement between Treasury and Treaty Oak entered into on 2/15/2011.
37/ On 2/18/11, Treasury completed the exchange of its $135,000,000 of preferred stock (including accrued and unpaid dividends thereon) in Central Pacific Financial Corp. for not less than 5,620,117 shares of common stock, pursuant to an exchange agreement dated 2/17/2011.
38/ On 3/9/2011, Treasury completed the sale of all subordinated debentures (including the subordinated debentures received upon the exercise of warrants) issued by FBHC Holding Company ("FBHC") to Treasury for an aggregate purchase price of $650,000, pursuant to the terms of the agreement between Treasury and FBHC entered into on 3/9/2011.
39/ On 5/31/2011, Treasury completed the sale of all preferred stock and warrants issued by First Community Bank Corporation of America (FCBCA) for an aggregate purchase price of (i) $7.20 million plus (ii) 72% of the remaining cash assets after giving effect to the payment of defined acquisition expenses, debts, liabilities and distributions to other classes
of security holders, pursuant to the terms of the agreement between Treasury and FCBCA entered into on 3/11/2011.
40/ As a result of the acquisition of Fidelity Resources Company (the acquired company) by Veritex Holdings, Inc. (the acquiror), the preferred stock and exercised warrants issued by the acquired company on 6/26/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the terms of an agreement among Treasury, the acquired
57
company and the acquiror entered into on 3/23/2011.
58
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. On 4/4/2012, Treasury completed the sale of all of Treasury’s
remaining 2,770,117 shares of Central Pacific Financial Corp. common stock at $13.01 per share (which represents the $13.15 public offering price less underwriting discounts) for net proceeds of $36,039,222.17, pursuant to an underwriting agreement executed on 03/29/2012.
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/ On 1/3/2012, Treasury completed (i) the sale to F.N.B. Corporation (“F.N.B.”) of all of the preferred stock that had been issued to Treasury by Parkvale Financial Corporation (“Parkvale”) for a purchase price of $31,762,000 plus accrued dividends and (ii) the exchange of the Parkvale warrant held by Treasury for a like F.N.B. warrant, pursuant to the terms
of the agreement between Treasury and F.N.B. entered into on 12/29/2011 in connection with the merger of Parkvale and F.N.B. effective 01/01/2012.
68/ As a result of the acquisition of State Bancorp, Inc. (the acquired company) by Valley National Bancorp (the acquiror), the warrant issued by the acquired company on 12/5/2008 was exchanged for a like security of the acquiror, pursuant to the terms of an agreement among Treasury, the acquired company and the acquiror entered into on 1/1/2012.
69/ On 1/27/2012, pursuant to the terms of the merger of Regents Bancshares, Inc. (“Regents”) with Grandpoint Capital, Inc., Treasury received $13,214,858.00 (representing the par amount together with accrued and unpaid dividends thereon) in respect of the preferred stock (including that received from the exercise of warrants) that had been issued to
Treasury by Regents.
70/ On 1/27/2012, Tennessee Commerce Bank, Franklin, TN, the banking subsidiary of Tennessee Commerce Bancorp, Inc., was closed by the Tennessee Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
71/ On 2/10/2012, SCB Bank, Shelbyville, Indiana, the banking subsidiary of Blue River Bancshares, Inc., was closed by the Office of the Comptroller of the Currency, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
72/ On 2/10/2012, Treasury entered into an agreement with Broadway Financial Corporation to exchange Treasury’s $15,000,000 of preferred stock for common stock. The exchange is subject to the fulfillment by Broadway Financial Corporation of certain conditions, including the satisfactory completion of a capital plan.
73/ On 3/9/2012, Treasury completed the sale of all Mainline Bancorp, Inc. preferred stock and exercised warrants held by Treasury to 9th Street Holdings, Inc., a subsidiary of S&T Bancorp, Inc., for an aggregate purchase price of $4,725,000 plus accrued and unpaid dividends, pursuant to the terms of an agreement among Treasury, 9th Street Holdings, Inc.
and S&T Bancorp, Inc. entered into on 3/8/2012.
74/ On 4/3/2012, Treasury completed the sale of 124,000 shares of Banner Corporation preferred stock at $884.82 per share (less underwriting discounts) for net proceeds of $108,071,914.80 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.
75/ On 4/3/2012, Treasury completed the sale of 65,000 shares of First Financial Holdings, Inc. preferred stock at $873.51 per share (less underwriting discounts) for net proceeds of $55,926,477.75 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.
76/ On 4/3/2012, Treasury completed the sale of 62,158 shares of Wilshire Bancorp, Inc. preferred stock at $943.51 per share (less underwriting discounts) for net proceeds of $57,766,994.16 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.
77/ On 4/3/2012, Treasury completed the sale of 2,000 shares of Seacoast Banking Corporation of Florida preferred stock at $20,510.00 per share (less underwriting discounts) for net proceeds of $40,404,700.00 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.
78/ On 4/3/2012, Treasury completed the sale of 57,000 shares of MainSource Financial Group, Inc. preferred stock at $931.11 per share (less underwriting discounts) for net proceeds of $52,277,170.95 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.
79/ On 4/3/2012, Treasury completed the sale of 52,625 shares of WSFS Financial Corporation preferred stock at $915.11 per share (less underwriting discounts) for net proceeds of $47,435,298.79 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.
80/ On 4/13/2012, Treasury completed the sale of all Gateway Bancshares, Inc. preferred stock held by Treasury to First Volunteer Corporation ("First Volunteer") for an aggregate purchase price of $6,300,000.00 plus accrued and unpaid dividends, pursuant to the terms of the agreement between Treasury and First Volunteer entered into on 4/13/2012.
81/ On 4/20/2012, Treasury completed the sale of all The Connecticut Bank and Trust Company preferred stock held by Treasury to Berkshire Bank for an aggregate purchase price of $6,289,966.33 consisting of (a) (i) $5,448,000.00 for the preferred stock plus (ii) all accrued and unpaid dividends and (b) $792,783.00 for the Warrant, pursuant to the terms of
the agreement by and among Treasury, The Connecticut Bank and Trust Company, and Berkshire Bank entered into on 4/19/2012.
82/ On 4/20/2012, Fort Lee Federal Savings Bank, FSB, Fort Lee, New Jersey, was closed by the Office of the Comptroller of the Currency, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
83/ On 4/24/2012, Treasury completed the sale of all Peoples Bancorporation, Inc. ("Peoples") preferred stock held by Treasury to SCBT Financial Corporation ("SCBT") for an aggregate purchase price of $13,293,000 plus accrued and unpaid dividends, pursuant to the terms of the agreement by and among Treasury, Peoples, and SCBT entered into on
4/24/2012.
84/ On 4/20/2012, Treasury entered into an agreement with CIC Bancshares, Inc. (CIC) pursuant to which Treasury agreed to sell to CIC all Preferred Stock issued by Millennium Bancorp, Inc. (Millennium) to Treasury for an aggregate purchase price of (i) $2.904 million plus (ii) accrued and unpaid dividends on the Preferred Stock as of the closing date.
Closing of the sale is subject to certain conditions including completion of the acquisition and merger of Millennium by CIC.
59
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
12/6/2010
Pricing Mechanism
1
2
3
4
5
6
Number of Shares
Proceeds
7
$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
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.
59
COMMUNITY DEVELOPMENT CAPITAL INITIATIVE
Seller
Footnote
Purchase Date
Purchase Details
Name of Institution
City
State
Investment Description
Amount from CPP
Disposition Details
Investment Amount
Additional Investment
1
7/30/2010
Guaranty Capital Corporation
Belzoni
MS
Subordinated Debentures
$
14,000,000
$
$
14,000,000
Par
1, 2
7/30/2010
University Financial Corp, Inc.
St. Paul
MN
$
11,926,000
$
10,189,000
$
22,115,000
Par
1, 2
8/6/2010
Southern Bancorp, Inc.
Arkadelphia
AR
Subordinated Debentures
Preferred Stock
$
11,000,000
$
22,800,000
$
33,800,000
Par
1, 4
8/13/2010
Premier Bancorp, Inc.
Wilmette
IL
Subordinated Debentures
$
6,784,000
$
-
$
6,784,000
1
8/13/2010
Citizens Bancshares Corporation
Atlanta
GA
Preferred Stock
$
7,462,000
$
-
2a
9/17/2010
Preferred Stock
$
$
11,841,000
1
8/13/2010
PGB Holdings, Inc.
Chicago
IL
Preferred Stock
$
3,000,000
$
-
$
3,000,000
Par
1
8/13/2010
First American International Corp.
Brooklyn
NY
Preferred Stock
$
17,000,000
$
-
$
17,000,000
Par
$
2,795,000
-
$
-
Pricing
Mechanism
4,379,000
Par
8/13/2010
Tri-State Bank of Memphis
Memphis
TN
Preferred Stock
$
2,795,000
$
-
8/20/2010
Mission Valley Bancorp
Sun Valley
CA
Preferred Stock
$
5,500,000
$
-
2a
9/24/2010
Preferred Stock
$
$
10,336,000
1
8/20/2010
M&F Bancorp, Inc.
Durham
NC
Preferred Stock
$
11,735,000
$
-
$
11,735,000
Par
1, 3
8/27/2010
Carver Bancorp, Inc
New York
NY
Common Stock
$
18,980,000
$
-
$
18,980,000
Par
9/3/2010
Kilmichael Bancorp, Inc.
Kilmichael
MS
Subordinated Debentures
$
$
-
$
3,154,000
Par
1
9/3/2010
United Bancorporation of Alabama, Inc.
Atmore
AL
Preferred Stock
$
10,300,000
$
-
$
10,300,000
Par
1
9/3/2010
IBW Financial Corporation
Washington
DC
Preferred Stock
$
6,000,000
$
-
$
6,000,000
Par
1, 2
9/10/2010
IBC Bancorp, Inc.
Chicago
Subordinated Debentures
$
4,205,000
$
$
8,086,000
Par
1
IL
-
4,836,000
3,881,000
Par
Par
Par
9/17/2010
CFBanc Corporation
Washington
DC
Preferred Stock
$
-
$
-
$
5,781,000
Par
9/17/2010
American Bancorp of Illinois, Inc.
Oak Brook
IL
Subordinated Debentures
$
-
$
-
$
5,457,000
Par
9/17/2010
Hope Federal Credit Union
Jackson
MS
Subordinated Debentures
$
-
$
-
$
4,520,000
Par
9/17/2010
Genesee Co-op Federal Credit Union
Rochester
NY
Subordinated Debentures
$
-
$
-
$
300,000
Par
9/17/2010
First Eagle Bancshares, Inc.
Hanover Park
IL
Subordinated Debentures
$
7,875,000
$
-
$
7,875,000
Par
Par
5,689,000
Remaining Investment
Amount
Par
1
$
Amount
Par
1
-
Date
1, 2
9/24/2010
Liberty Financial Services, Inc.
New Orleans
LA
Preferred Stock
$
5,645,000
$
$
11,334,000
1
9/24/2010
First Choice Bank
Cerritos
CA
Preferred Stock
$
5,146,000
$
-
$
5,146,000
Par
9/24/2010
Bainbridge Bancshares, Inc.
Bainbridge
GA
Preferred Stock
$
-
$
-
$
3,372,000
Par
9/24/2010
Virginia Community Capital, Inc.
Christiansburg
VA
Subordinated Debentures
$
-
$
-
$
1,915,000
Par
9/24/2010
Lower East Side People's Federal Credit Union
New York
NY
Subordinated Debentures
$
-
$
-
$
898,000
Par
9/24/2010
Atlantic City Federal Credit Union
Lander
WY
Subordinated Debentures
$
-
$
-
$
2,500,000
Par
9/24/2010
Neighborhood Trust Federal Credit Union
New York
NY
Subordinated Debentures
$
-
$
-
$
283,000
Par
9/24/2010
Gateway Community Federal Credit Union
Missoula
MT
Subordinated Debentures
$
-
$
-
$
1,657,000
Par
9/24/2010
Union Baptist Church Federal Credit Union
Fort Wayne
IN
Subordinated Debentures
$
-
$
-
$
10,000
Par
9/24/2010
Buffalo Cooperative Federal Credit Union
Buffalo
NY
Subordinated Debentures
$
-
$
-
$
145,000
Par
9/24/2010
Tulane-Loyola Federal Credit Union
New Orleans
LA
Subordinated Debentures
$
-
$
-
$
424,000
Par
9/24/2010
Alternatives Federal Credit Union
Ithaca
NY
Subordinated Debentures
$
-
$
-
$
2,234,000
Par
9/24/2010
Liberty County Teachers Federal Credit Union
Liberty
TX
Subordinated Debentures
$
-
$
-
$
435,000
Par
9/24/2010
UNO Federal Credit Union
New Orleans
LA
Subordinated Debentures
$
-
$
-
$
743,000
Par
9/24/2010
Butte Federal Credit Union
Biggs
CA
Subordinated Debentures
$
-
$
-
$
1,000,000
Par
9/24/2010
Thurston Union of Low-Income People (TULIP) Cooperative Credit Union
Olympia
WA
Subordinated Debentures
$
-
$
-
$
75,000
Par
9/24/2010
Phenix Pride Federal Credit Union
Phenix City
AL
Subordinated Debentures
$
-
$
-
$
153,000
Par
9/24/2010
Pyramid Federal Credit Union
Tucson
AZ
Subordinated Debentures
$
-
$
-
$
2,500,000
Par
9/24/2010
Cooperative Center Federal Credit Union
Berkeley
CA
Subordinated Debentures
$
-
$
-
$
2,799,000
Par
9/24/2010
Prince Kuhio Federal Credit Union
Honolulu
HI
Subordinated Debentures
$
-
$
-
$
273,000
Par
9/24/2010
Community First Guam Federal Credit Union
Hagatna
GU
Subordinated Debentures
$
-
$
-
$
2,650,000
Par
9/24/2010
Brewery Credit Union
Milwaukee
WI
Subordinated Debentures
$
-
$
-
$
1,096,000
Par
9/24/2010
Tongass Federal Credit Union
Ketchikan
AK
Subordinated Debentures
$
-
$
-
$
1,600,000
Par
9/24/2010
Santa Cruz Community Credit Union
Santa Cruz
CA
Subordinated Debentures
$
-
$
-
$
2,828,000
Par
9/24/2010
Northeast Community Federal Credit Union
San Francisco
CA
Subordinated Debentures
$
-
$
-
$
350,000
Par
9/24/2010
Fairfax County Federal Credit Union
Fairfax
VA
$
-
$
-
$
8,044,000
Par
1, 2
9/29/2010
Security Federal Corporation
Aiken
SC
Subordinated Debentures
Preferred Stock
$
18,000,000
$
4,000,000
$
22,000,000
Par
1, 2
9/29/2010
Community Bank of the Bay
Oakland
CA
Preferred Stock
$
1,747,000
$
2,313,000
$
4,060,000
Par
1, 2
9/29/2010
The First Bancshares, Inc.
Hattiesburg
MS
Preferred Stock
$
5,000,000
$
12,123,000
$
17,123,000
Par
30,514,000
1, 2
9/29/2010
BancPlus Corporation
Ridgeland
MS
Preferred Stock
$
50,400,000
$
$
80,914,000
Par
1
9/29/2010
First M&F Corporation
Kosciusko
MS
Preferred Stock
$
30,000,000
$
-
$
30,000,000
Par
1
9/29/2010
State Capital Corporation
Greenwood
MS
Preferred Stock
$
15,750,000
$
-
$
15,750,000
Par
1
9/29/2010
Lafayette Bancorp, Inc.
Oxford
MS
Preferred Stock
$
4,551,000
$
-
$
4,551,000
Par
1
9/29/2010
PSB Financial Corporation
Many
LA
Preferred Stock
$
9,734,000
$
-
$
9,734,000
Par
1
9/29/2010
Community Bancshares of Mississippi, Inc.
Brandon
MS
Preferred Stock
$
54,600,000
$
-
$
54,600,000
Par
1
9/29/2010
First Vernon Bancshares, Inc.
Vernon
AL
Preferred Stock
$
6,245,000
$
-
$
6,245,000
Par
60
Seller
Purchase Details
Name of Institution
City
State
Investment Description
Amount from CPP
Disposition Details
Investment Amount
Additional Investment
Pricing
Mechanism
Footnote
Purchase Date
1
9/29/2010
Security Capital Corporation
Batesville
MS
Preferred Stock
$
$
-
$
17,910,000
Par
9/29/2010
BankAsiana
Palisades Park
NJ
Preferred Stock
$
-
$
-
$
5,250,000
Par
9/29/2010
The Magnolia State Corporation
Bay Springs
MS
Subordinated Debentures
$
-
$
-
$
7,922,000
Par
9/29/2010
Bancorp of Okolona, Inc.
Okolona
MS
Subordinated Debentures
$
-
$
-
$
3,297,000
Par
9/29/2010
Southern Chautauqua Federal Credit Union
Lakewood
NY
Subordinated Debentures
$
-
$
-
$
1,709,000
Par
9/29/2010
Fidelis Federal Credit Union
New York
NY
Subordinated Debentures
$
-
$
-
$
14,000
Par
9/29/2010
Bethex Federal Credit Union
Bronx
NY
Subordinated Debentures
$
-
$
-
$
502,000
Par
9/29/2010
Shreveport Federal Credit Union
Shreveport
LA
Subordinated Debentures
$
-
$
-
$
2,646,000
Par
9/29/2010
Carter Federal Credit Union
UNITEHERE Federal Credit Union
(Workers United Federal Credit Union)
Springhill
LA
Subordinated Debentures
$
-
$
-
$
6,300,000
Par
New York
NY
Subordinated Debentures
$
-
$
-
$
57,000
Par
9/29/2010
North Side Community Federal Credit Union
Chicago
IL
Subordinated Debentures
$
-
$
-
$
325,000
Par
9/29/2010
East End Baptist Tabernacle Federal Credit Union
Bridgeport
CT
Subordinated Debentures
$
-
$
-
$
7,000
Par
9/29/2010
Community Plus Federal Credit Union
Rantoul
IL
Subordinated Debentures
$
-
$
-
$
450,000
Par
9/29/2010
Border Federal Credit Union
Del Rio
TX
Subordinated Debentures
$
-
$
-
$
3,260,000
Par
9/29/2010
Opportunities Credit Union
Burlington
VT
Subordinated Debentures
$
-
$
-
$
1,091,000
Par
9/29/2010
First Legacy Community Credit Union
Charlotte
NC
Subordinated Debentures
$
-
$
-
$
1,000,000
Par
9/29/2010
Union Settlement Federal Credit Union
New York
NY
Subordinated Debentures
$
-
$
-
$
295,000
Par
9/29/2010
Southside Credit Union
San Antonio
TX
Subordinated Debentures
$
-
$
-
$
1,100,000
Par
9/29/2010
D.C. Federal Credit Union
Washington
DC
Subordinated Debentures
$
-
$
-
$
1,522,000
Par
9/29/2010
Faith Based Federal Credit Union
Oceanside
CA
Subordinated Debentures
$
-
$
-
$
30,000
Par
9/29/2010
Greater Kinston Credit Union
Kinston
NC
Subordinated Debentures
$
-
$
-
$
350,000
Par
9/29/2010
Hill District Federal Credit Union
Pittsburgh
PA
Subordinated Debentures
$
-
$
-
$
100,000
Par
9/29/2010
Freedom First Federal Credit Union
Roanoke
VA
Subordinated Debentures
$
-
$
-
$
9,278,000
Par
9/29/2010
Episcopal Community Federal Credit Union
Los Angeles
CA
Subordinated Debentures
$
-
$
-
$
100,000
Par
9/29/2010
Vigo County Federal Credit Union
Terre Haute
IN
Subordinated Debentures
$
-
$
-
$
1,229,000
Par
9/29/2010
Renaissance Community Development Credit Union
Somerset
NJ
Subordinated Debentures
$
-
$
-
$
31,000
Par
9/29/2010
9/30/2010
Independent Employers Group Federal Credit Union
Brooklyn Cooperative Federal Credit Union
Hilo
Brooklyn
HI
NY
Subordinated Debentures
Subordinated Debentures
$
$
-
$
$
-
$
$
698,000
300,000
Par
Par
Total Purchase Amount $
570,073,000
9/29/2010
5
17,910,000
Amount
Date
4/10/2012
5
Remaining Investment
Amount
$350,000
Total Capital Repayment Amount
TOTAL TREASURY COMMUNITY DEVELOPMENT INITIATIVE (CDCI) INVESTMENT AMOUNT
$
$0
$350,000
569,723,000
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.
4/ On 3/23/2012, Premier Bank, Wilmette, IL, the banking subsidiary of Premier Bancorp, Inc., was closed by the Illinois Department of Financial and Professional Regulation - Division of Banking, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
5/ Repayment pursuant to Section 5.2 of the CDCI Securities Purchase Agreement
61
AUTOMOTIVE INDUSTRY FINANCING PROGRAM
Initial Investment
City, State
GMAC
(Ally)
Date
Transaction Type
12/29/2008
Purchase
Pricing
Mechanism
Amount
$
5,000,000,000
Purchase
GMAC
12/30/2009
Purchase
GMAC
Convertible Preferred Stock w/
$
Exercised Warrants
1,250,000,000
Par
12/30/2009
Purchase
GMAC
Trust Preferred Securities w/
Exercised Warrants
$
2,540,000,000
Par
12/29/2008
Purchase
Debt Obligation
$
884,024,131
Par
12/31/2008
Purchase
$
13,400,000,000
Par
4/22/2009
Purchase
$
2,000,000,000
Par
Detroit, MI
Purchase
General Motors
Corporation
General Motors
Corporation
General Motors
Corporation
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
General Motors
Corporation
Debt Obligation w/ Additional
Note
$
Date
Par
5/21/2009
Par
22
22,
26
4,000,000,000
Par
5,000,000,000
N/A
12/30/2009
$
3,000,000,000
N/A
12/30/2010
Partial conversion of preferred
stock for common stock
$
5,500,000,000
N/A
26
$
2,670,000,000
N/A
27 GMAC (Ally)
$
884,024,131
N/A
$
13,400,000,000
N/A
$
2,000,000,000
N/A
5/29/2009
7/10/2009
4
5
Obligor
$
3/1/2011
2
Pricing
Mechanism
Amount
Partial conversion of preferred
stock for common stock
12/30/2009
7,500,000,000
Type
Exchange for convertible
preferred stock
7/10/2009
7/10/2009
Exchange for amended and
restated Trust Preferred
Securities
Exchange for equity interest in
GMAC
Exchange for preferred and
common stock in New GM
Exchange for preferred and
common stock in New GM
Exchange for preferred and
common stock in New GM
$
6/3/2009
1/16/2009
Purchase
Purchase
Purchase
General Motors
Corporation
General Motors
Corporation
Chrysler FinCo
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
$
$
$
360,624,198
30,100,000,000
1,500,000,000
Par
Par
Par
6
8
7/10/2009
Exchange for preferred and
common stock in New GM
$
4,000,000,000
N/A
Description
GMAC (Ally)
21, 22
GMAC (Ally)
3, 26,
32
Convertible
Preferred Stock
Amount/Equity %
$
360,624,198
N/A
7/10/2009
Exchange for preferred and
common stock in New GM
$
22,041,706,310
N/A
7/10/2009
Transfer of debt to New GM
$
7,072,488,605
N/A
7/10/2009
Debt left at Old GM
$
985,805,085
N/A
Purchase
Chrysler Holding
Purchase
Chrysler Holding
Purchase
Chrysler Holding
5/1/2009
Purchase
Old Chrysler
5/20/2009
Purchase
Old Chrysler
4/29/2009
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
6/10/2009
$
2,670,000,000
10, 11,
Preferred Stock
24
$
2,100,000,000
500,000,000
N/A
3/2/2011 Disposition 28
$
7 General Motors
Company
7
General Motors
Company
10, 11,
Common Stock
25
5/27/2009
Purchase
New Chrysler
6,642,000,000
N/A
7
General Motors
Holdings LLC
81,344,932,551
$
2,139,406,778
N/A
$
0
11, 12 Debt Obligation
$
$
11,743,303,903 Common Stock
0
11/26/2010 Partial Disposition25
$
1,761,495,577 Common Stock
7/10/2009
$
360,624,198 Debt Obligation
$
6,711,864,407
12/18/2009 Partial Repayment
$
1,000,000,000 Debt Obligation
$
5,711,864,407
1/21/2010
Partial Repayment
$
35,084,421 Debt Obligation
$
5,676,779,986
3/31/2010
Partial Repayment
$
1,000,000,000 Debt Obligation
$
4,676,779,986
4/20/2010
Repayment
$
4,676,779,986
$
3/31/2011
Partial Repayment
$
50,000,000 Debt Obligation
$
935,805,085
4/5/2011
Partial Repayment
$
45,000,000 Debt Obligation
$
890,805,085
5/3/2011
Partial Repayment
$
15,887,795 Debt Obligation
$
874,917,290
12/16/2011 Partial Repayment
$
144,444 Debt Obligation
$
874,772,846
12/23/2011 Partial Repayment
$
18,890,294 Debt Obligation
$
855,882,552
$
6,713,489 Debt Obligation
$
849,169,063
$
1,496,500,945
$
1,464,690,823
$
1,413,554,739
$
1,369,197,029
36.9%
60.8%
$
7,072,488,605
Partial Repayment
N/A
32.04%
0
9
9
9 Motors Liquidation
Company
19
Chrysler Holding
29
Debt Obligation
$
985,805,085
20
Debt obligation w/
additional note
$
3,500,000,000
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
6/10/2009
Issuance of equity in New
Chrysler
$
-
N/A
Chrysler Group
LLC
Chrysler Group
Total Initial Investment Amount $
N/A
1/11/2012
Partial Repayment
3/17/2009
Partial Repayment
4/17/2009
Partial Repayment
5/18/2009
Partial Repayment
6/17/2009
Partial Repayment
7/14/2009
Repayment
7/14/2009
Repayment*
5/14/2010
$
$
$
$
Termination and settlement payment
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
Additional Note
$
0
$
1,369,197,029
$
15,000,000
N/A
-
$
1,900,000,000
N/A
-
N/A
20
18
$
2,667,000,000
12/15/2010 Repayment
23
Right to recover
proceeds
N/A
7/10/2009
Repayment
$
280,130,642
5/10/2010
Proceeds from sale of collateral
$
30,544,528
9/9/2010
Proceeds from sale of collateral
$
19, 31 Debt obligation w/
additional note &
zero coupon note
30
Common equity
$
7,142,000,000
6.6%
0
N/A
N/A
$
N/A
Right to recover
9,302,185
proceeds
N/A
4/30/2012
Proceeds from sale of collateral
$
5/24/2011
Repayment - Principal
$
5,076,460,000
2,065,540,000
288,000,000
31
$
Right to recover
proceeds
Right to recover
9,666,784
proceeds
Right to recover
7,844,409
proceeds
Auburn Hills,
MI
Debt Obligation w/ Additional
Note, Zero Coupon Note,
Equity
Remaining
Investment
Amount/Equity %
11/18/2010 Partial Disposition25
12/29/2010 Proceeds from sale of collateral
Chrysler
Remaining
Investment
Description
7
14
16
-
Transfer of debt to New Chrysler $
Amount/ Proceeds
3
13
Par
Type
73.8%
Common Stock
Trust Preferred
Securities
27
Date
5,937,500,000
Farmington
Hills, MI
1/2/2009
Payment or Disposition1
Treasury Investment After Exchange/Transfer/Other
Detroit, MI
5/27/2009
Chrysler
FinCo
GMAC
Description
Preferred Stock w/ Exercised
Warrants
Convertible Preferred Stock w/
$
Exercised Warrants
5/20/2009
General
Motors
Seller
Exchange/Transfer/Other Details
5/24/2011
Termination of undrawn facility
$
5/24/2011
Repayment* - Additional Note
$
5/24/2011
Repayment* - Zero Coupon Note
$
100,000,000
7/21/2011
Disposition
$
560,000,000
Total Payments $
34,894,279,433
Additional Proceeds * $
403,000,000
N/A
N/A
$
0
-
62
Total Treasury Investment Amoun $
40,896,959,538
Footnotes appear on following page.
63
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 Mot
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 principa
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
Adjustment Details
Adjustment
Adjusted or Final
Amount
Investment Amount
Seller
Footnote
Date
Name of Institution
City
State
Transaction Type
Investment
Description
Investment
Amount
Pricing Mechanism
Adjustment
Date
Payment or Disposition4
Date
1
4/9/2009
GM Supplier Receivables LLC
Wilmington
DE
Purchase
7/8/2009
$ 3,500,000,000
3
$ (1,000,000,000) $
N/A
6
2
4/9/2009
Chrysler Receivables SPV LLC
INITIAL TOTAL
$
5,000,000,000
Wilmington
DE
Purchase
ADJUSTED TOTAL
Debt Obligation w/
Additional Note
$
$ 1,500,000,000
N/A
7/8/2009
3
$
$
290,000,000
(500,000,000) $
1,000,000,000
$
123,076,735
7
413,076,735
2,500,000,000
Total Repayments
$
413,076,735
Remaining Investment Description
Amount
2/11/2010
Partial
repayment
Partial
repayment
3/4/2010
Repayment5
Additional Note
$
4/5/2010
Payment6
None
$
56,541,893
3/9/2010
4/7/2010
Repayment5
Payment7
Additional Note
None
$
$
123,076,735
44,533,054
$
101,074,947
11/20/2009
Debt Obligation w/
Additional Note
Type
Debt Obligation w/ Additional Note
$
140,000,000
Debt Obligation w/ Additional Note
$
100,000,000
50,000,000
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 Receivables LLC on
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 6/10/2009.
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.
64
TARGETED INVESTMENT PROGRAM
Seller
Footnote
1
Date
Name of Institution
12/31/2008 Citigroup Inc.
Bank of America
1/16/2009 Corporation
Treasury Investment Remaining After Capital
Repayment
Capital Repayment Details
City
State
Transaction
Type
New York
NY
Purchase
Charlotte
NC
Purchase
Investment Description
Investment Amount
Trust Preferred Securities
w/ Warrants
$
20,000,000,000
Preferred Stock w/
Warrants
$
20,000,000,000
TOTAL
$
40,000,000,000
Pricing
Mechanism
Capital
Repayment Date
Par
12/23/2009
Par
12/9/2009
2
Remaining Capital
Description
Final Disposition
Final
Disposition
Final Disposition Date 3
Description
Capital Repayment
Amount
Remaining
Capital Amount
$
20,000,000,000
$
0
Warrants
1/25/2011
A
Warrants
$
190,386,428
$
20,000,000,000
$
0
Warrants
3/3/2010
A
Warrants
$
1,236,804,513
$
40,000,000,000
$
1,427,190,941
Final Disposition
Proceeds
2
AMOUNT
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 Prefer
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, after underwriting fees, from a sale by Treasury in a registered public offering of the warrants issued by the financial institution.
ASSET GUARANTEE PROGRAM
Premium
Initial Investment
Footnote
1
3
Date
Seller
Name of Institution
1/16/2009 Citigroup Inc.
12/23/2009 Citigroup Inc.
City
New York
New York
State
NY
NY
Type
Guarantee
Termination
Description
Master Agreement
Termination Agreement
TOTAL
Guarantee Limit
$
$
$
Description
Preferred Stock
5,000,000,000
w/ Warrants
Amount
$
Exchange/Transfer/Other Details
Footnote
Date
2
6/9/2009
4,034,000,000
4
9/29/2010
Type
Payment or Disposition
Description
Exchange preferred stock
Trust Preferred
for trust preferred securities Securities w/ Warrants
Exchange trust preferred
Trust Preferred
securities for trust preferred
Securities w/ Warrants
securities
Amount
Footnote
Date
Type
Amount
Remaining Premium
Description
Remaining
Premium
$
4,034,000,000
3
Partial cancellation for early
12/23/2009 termination of guarantee
Trust Preferred
$ (1,800,000,000) Securities w/ Warrants
$2,234,000,000
$
2,246,000,000
5
9/30/2010 Disposition
$ 2,246,000,000 Warrants
$
0
1/25/2011 Warrant Auction
$
$
0
67,197,045 None
(5,000,000,000)
0
Total Proceeds
$ 2,313,197,045
1/ In consideration for the guarantee, Treasury received $4.03 billion of preferred stock, which pays 8% interest.
2/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock Series G (AGP Shares), received as premium with the AGP agreement, “dollar for dollar” for Trust
Preferred Securities.
3/ On 12/23/2009, Treasury entered into a Termination Agreement with the other parties to the Master Agreement which served to terminate Treasury’s guarantee and obligations under the Master Agreement. In connection with the early termination of the guarantee, Treasury agreed to cancel $1.8 billion of the AGP Trust Preferred Securities, and the Federal Deposit Insurance Corporation (FDIC) and Treasury agreed that, subject
to the conditions set out in the Termination Agreement, the FDIC may transfer $800 million of Trust Preferred Securities to Treasury at the close of Citigroup’s participation in the FDIC’s Temporary Liquidity Guarantee Program.
4/ On 9/29/2010, Treasury entered into an agreement with Citigroup Inc. to exchange $2,234,000,000 in aggregate liquidation preference of its trust preferred securities for $2,246,000,000 in aggregate liquidation preference of trust preferred securities with certain modified terms. At the time of exchange, Citigroup Inc. paid the outstanding accrued and unpaid dividends.
5/ On 9/30/2010, Treasury entered into underwritten offering of the trust preferred securities, the gross proceeds of which do not include accumulated and unpaid distributions from the date of the exchange through the closing date.
64
AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM
(formerly referred to as Systemically Significant Failing Institutions Program)
Seller
Name of Institution
Note
Date
1
11/25/2008
AIG
2, 3
4/17/2009
AIG
Purchase Details
Exchange/Transfer Details
State
Transaction
Type
New York
NY
Purchase
Preferred Stock w/ Warrants
(Series D)
$
40,000,000,000
Par
New York
NY
Purchase
Preferred Stock w/ Warrants
(Series F)
$
29,835,000,000
Par
City
Investment Description
Pricing Mechanism
Investment Amount
2
Date
Transaction Type
4/17/2009
Exchange
Investment Description
Preferred Stock w/ Warrants
(Series E)
1
Amount
Pricing
Mechanism
$ 40,000,000,000
Par
See table below for exchange/transfer details in connection with the recapitalization conducted on 1/14/2011.
Final Disposition
TOTAL
$
Date
69,835,000,000
Investment
Pricing
Mechanism
Proceeds
Transaction Type
Warrants (Series E)
Warrants (Series F)
Total
1/ On 4/17/2009, Treasury exchanged its Series D Fixed Rate Cumulative Preferred Shares for Series E Fixed Rate Non-Cumulative Preferred Shares with no change to Treasury's initial investment amount. In addition, in order for AIG to fully redeem the Series E Preferred Shares, it had an additional obligation to Treasury of $1,604,576,000 to reflect the
cumulative unpaid dividends for the Series D Preferred Shares due to Treasury through and including the exchange date.
2/ The investment amount reflected Treasury's commitment to invest up to $30 billion less a reduction of $165 million representing retention payments AIG Financial Products made to its employees in March 2009.
3/ This transaction does not include AIG's commitment fee of an additional $165 million paid from its operating income over the life of the facility. A $55 million payment was received by Treasury on 12/17/2010. The remaining $110 million payment was received by Treasury on 05/27/2011.
AIG POST-RECAPITALIZATION
Recapitalization
Note
Date
Investment Description
Treasury Holdings Post-Recapitalization
Transaction Type
Exchange
Pricing Mechanism
Par
Investment Description
Preferred Stock (Series G)
AIA Preferred Units
4
1/14/2011
Preferred Stock (Series F)
Exchange
Exchange
1/14/2011
Preferred Stock (Series E)
1/14/2011
Common Stock (non-TARP)
$
2,000,000,000
16,916,603,568
$
3,375,328,432
167,623,733
Exchange
N/A
6
Transfer
Date
Amount / Shares
$
7
N/A
ALICO Junior Preferred Interests
5
Final Disposition
Common Stock
924,546,133
562,868,096
7
Transaction Type
Proceeds
Remaining Recap
Investment Amount,
Pricing Mechanism Shares, or Equity %
8
5/27/2011
Cancellation
$
2/14/2011
Payment
$
185,726,192
-
N/A
3/8/2011
Payment
$
5,511,067,614
Par
3/15/2011
Payment
$
55,833,333
Par
8/17/2011
Payment
$
97,008,351
Par
8/18/2011
Payment
$
2,153,520,000
Par
9/2/2011
Payment
$
55,885,302
Par
11/1/2011
Payment
$
971,506,765
Par
3/8/2012
Payment
$
5,576,121,382
Par
3/15/2012
Payment
$
1,521,632,096
Par
3/22/2012
Payment
$
1,493,250,339
Par
2/14/2011
Payment
$
2,009,932,072
Par
3/8/2011
Payment
$
1,383,888,037
Par
3/15/2012
Payment
$
44,941,843
Par
5/24/2011
Partial Disposition
$
5,800,000,000
N/A
3/8/2012
Partial Disposition
$
6,000,000,008
N/A
5/6/2012
Partial Disposition
$
4,999,999,993
N/A
5/7/2012
Partial Disposition
$
749,999,972
N/A
$
38,610,313,300
Total
$
0
10
$
0
8
$
0
8
Par
1,455,037,962
9
77%
1,248,141,410
11
70%
1,084,206,984
12
63%
1,059,616,821
61%
Footnotes appear on following page.
65
12
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 total proceeds of $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.
11/ On 3/13/2012, Treasury completed the sale of 206,896,552 shares of common stock at $29.00 per share for total proceeds of $6,000,000,008, pursuant to an underwriting agreement executed on 3/8/2012.
12/ On 5/10/2012, Treasury completed the sale of 188,524,589 shares of common stock at $30.50 per share for total proceeds of $5,749,999,965, pursuant to an underwriting agreement executed on 5/6/2012.
66
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
Date
Amount
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.
67
SMALL BUSINESS AND COMMUNITY LENDING INITIATIVE
SBA 7a Securities Purchase Program
Purchase Details
Date
3/19/2010
3/19/2010
3/19/2010
4/8/2010
4/8/2010
5/11/2010
5/11/2010
5/11/2010
5/25/2010
5/25/2010
6/17/2010
6/17/2010
7/14/2010
7/14/2010
7/14/2010
7/29/2010
7/29/2010
8/17/2010
8/17/2010
8/17/2010
8/31/2010
8/31/2010
8/31/2010
9/14/2010
9/14/2010
9/14/2010
9/14/2010
9/28/2010
9/28/2010
9/28/2010
9/28/2010
1
Investment Description
Floating Rate SBA 7a security due 2025
Floating Rate SBA 7a security due 2022
Floating Rate SBA 7a security due 2022
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2016
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2035
Floating Rate SBA 7a security due 2033
Floating Rate SBA 7a security due 2029
Floating Rate SBA 7a security due 2033
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2025
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2017
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2019
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2024
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2021
Floating Rate SBA 7a security due 2029
Floating Rate SBA 7a security due 2026
Floating Rate SBA 7a security due 2035
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2035
Total Purchase Face Amount
Settlement Details
Purchase Face
Amount 3
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
4,070,000
7,617,617
8,030,000
23,500,000
8,900,014
10,751,382
12,898,996
8,744,333
8,417,817
17,119,972
34,441,059
28,209,085
6,004,156
6,860,835
13,183,361
2,598,386
9,719,455
8,279,048
5,000,000
10,000,000
9,272,482
10,350,000
6,900,000
8,902,230
8,050,000
5,750,000
5,741,753
3,450,000
11,482,421
13,402,491
14,950,000
$
332,596,893
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
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
Total Senior Security Proceeds $
183,555
TOTAL INVESTMENT AMOUNT $
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
TBA or
3
PMF
-
Final Disposition
Senior Security
Proceeds 4
368,145,452
Trade Date
PMF6
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
1/24/2012
6/21/2011
9/20/2011
10/19/2011
10/19/2011
9/20/2011
10/19/2011
1/24/2012
1/24/2012
1/24/2012
1/24/2012
1/24/2012
10/19/2011
1/24/2012
10/19/2011
1/24/2012
-
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
Life-to-date
Principal
Received 1, 8
Current Face
Amount 6, 8
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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
1,903,407
9,531,446
6,425,217
4,580,543
9,030,539
8,403,846
10,099,555
6,236,800
7,503,681
7,053,867
5,473,724
4,307,881
3,367,168
10,592,775
12,963,737
14,562,161
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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
2,052,702
10,223,264
7,078,089
5,029,356
9,994,806
9,230,008
11,314,651
6,556,341
8,269,277
7,703,610
5,764,858
4,693,918
3,698,411
11,818,944
14,433,039
16,383,544
Disposition Proceeds $
334,924,711
TOTAL PROGRAM PROCEEDS TO DATE7 $
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
694,979
188,009
1,853,831
419,457
969,461
868,636
250,445
663,200
1,398,549
996,133
276,276
1,433,872
82,832
889,646
438,754
387,839
Disposition
Amount 5, 6
376,748,302
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.
68
LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)
Preliminary Adjusted
Seller
Footnote
Date
1
9/30/2009
2
1
2
9/30/2009
9/30/2009
9/30/2009
Name of Institution
UST/TCW Senior Mortgage Securities Fund, L.P.
UST/TCW Senior Mortgage Securities Fund, L.P.
Invesco Legacy Securities Master Fund, L.P.
Invesco Legacy Securities Master Fund, L.P.
Commitment
City
Wilmington
Wilmington
Wilmington
Wilmington
Transaction
Type
State
DE
DE
DE
DE
Purchase
Purchase
Purchase
Purchase
Commitment
Amount
Investment Description
Membership Interest
Debt Obligation w/ Contingent Proceeds
Membership Interest
Debt Obligation w/ Contingent Proceeds
$
$
$
$
1,111,111,111
2,222,222,222
1,111,111,111
2,222,222,222
Pricing
Mechanism
Date
Par
1/4/2010
Par
Par
Par
1/4/2010
3
Amount
4 $
4 $
156,250,000
200,000,000
3/22/2010 6 $ 1,244,437,500
3/22/2010 6 $ 2,488,875,000
Final Investment
Final Commitment Amount
Date
1/4/2010
1/4/2010
7/16/2010
7
Amount
Amount
4 $
4 $
$
9/26/2011 8 $
156,250,000
200,000,000
856,000,000
1,161,920,000
9
Amount
$
$
$
$
156,250,000
200,000,000
580,960,000
1,161,920,000
Capital Repayment Details
Repayment
Date
1/15/2010
Investment After Capital Repayment
Repayment
Amount
$
156,250,000
Amount
$
1/11/2010
$
34,000,000
$
1/12/2010
$
166,000,000
$
2/18/2010
$
4/15/2010
9/15/2010
Description
0
Distribution or Disposition
Date
Membership Interest
Description
Proceeds
5
1/29/2010
Distribution
2/24/2010
Final Distribution
5
$
20,091,872
$
48,922
$
502,302
$
1,223
$
56,390,209
$
3,434,460
Debt Obligation w/
166,000,000 Contingent Proceeds
0
2,444,347
$
578,515,653 Membership Interest
$
3,533,199
$
574,982,454 Membership Interest
$
30,011,187
$
544,971,267 Membership Interest
11/15/2010
$
66,463,982
$
478,507,285 Membership Interest
12/14/2010
$
15,844,536
$
462,662,749 Membership Interest
1/14/2011
$
13,677,726
$
448,985,023 Membership Interest
2/14/2011
$
48,523,845
$
400,461,178 Membership Interest
3/14/2011
$
68,765,544
$
331,695,634 Membership Interest
4/14/2011
$
77,704,254
$
253,991,380 Membership Interest
5/20/2011
$
28,883,733
$
225,107,647 Membership Interest
6/14/2011
$
9,129,709
$
215,977,938 Membership Interest
7/15/2011
$
31,061,747
$
184,916,192 Membership Interest
8/12/2011
$
10,381,214
$
174,534,977 Membership Interest
10/17/2011
$
6,230,731
$
168,304,246 Membership Interest
12/14/2011
$
1,183,959
$
167,120,288 Membership Interest
1/17/2012
$
1,096,185
$
166,024,103 Membership Interest
2/14/2012
$
1,601,688
$
164,422,415 Membership Interest
3/14/2012
$
3,035,546
$
161,386,870 Membership Interest
3/29/2012
$
161,386,870
$
2/18/2010
$
4,888,718
$
4/15/2010
$
7,066,434
$
1,149,964,848
9/15/2010
$
60,022,674
$
1,089,942,174
11/15/2010
$
132,928,628
$
957,013,546
12/14/2010
$
31,689,230
$
925,324,316
1/14/2010
$
27,355,590
$
897,968,726
2/14/2011
$
92,300,138
$
805,668,588
3/14/2011
$
128,027,536
$
677,641,052
4/14/2011
$
155,409,286
$
522,231,766
5/20/2011
$
75,085,485
$
447,146,281
6/14/2011
$
18,259,513
$
428,886,768
7/15/2011
$
62,979,809
$
365,906,960
8/12/2011
$
20,762,532
$
345,144,428
10/17/2011
$
37,384,574
$
307,759,854
12/14/2011
$
7,103,787
$
300,656,067
1/17/2012
$
6,577,144
$
294,078,924
2/14/2012
$
9,610,173
$
284,468,750
3/14/2012
$
284,468,750
$
0
1,157,031,282
0
5
1/29/2010
Distribution
2/24/2010
Final Distribution
3/29/2012
Distribution
3/29/2012
Distribution
Contingent Proceeds
Membership Interest
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Contingent Proceeds
5
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
5
5
69
Preliminary Adjusted
Seller
Commitment
Transaction
Type
State
Footnote
Date
1
10/1/2009
Wellington Management Legacy Securities PPIF Master Fund, LP
2
10/1/2009
Wellington Management Legacy Securities PPIF Master Fund, LP
Wilmington
DE
1
10/2/2009
AllianceBernstein Legacy Securities Master Fund, L.P.
Wilmington
DE
2
1
10/2/2009
10/2/2009
Name of Institution
AllianceBernstein Legacy Securities Master Fund, L.P.
City
Wilmington
Wilmington
DE
DE
Purchase
Commitment
Amount
Investment Description
Membership Interest
$
Purchase
Debt Obligation w/ Contingent Proceeds
Purchase
Membership Interest
Purchase
Debt Obligation w/ Contingent Proceeds
Blackrock PPIF, L.P.
Wilmington
DE
Purchase
Membership Interest
Pricing
Mechanism
Date
3
Amount
Final Investment
Final Commitment Amount
Date
7
Amount
1,111,111,111
Par
3/22/2010 6 $ 1,262,037,500
7/16/2010
$
1,149,487,000
$
2,222,222,222
Par
3/22/2010 6 $ 2,524,075,000
7/16/2010
$
2,298,974,000
$
1,111,111,111
Par
3/22/2010 6 $ 1,244,437,500
7/16/2010
$
1,150,423,500
$
2,222,222,222
$
1,111,111,111
Par
Par
3/22/2010 6 $ 2,488,875,000
3/22/2010 6 $ 1,244,437,500
7/16/2010
7/16/2010
$
$
2,300,847,000
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
1
10/30/2009
11/4/2009
AG GECC PPIF Master Fund, L.P.
RLJ Western Asset Public/Private Master Fund, L.P.
Wilmington
Wilmington
DE
DE
Purchase
Purchase
Debt Obligation w/ Contingent Proceeds
Membership Interest
2
11/4/2009
RLJ Western Asset Public/Private Master Fund, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
1
11/25/2009
Marathon Legacy Securities Public-Private Investment Partnership, L.P.
Wilmington
DE
Purchase
2
11/25/2009
Marathon Legacy Securities Public-Private Investment Partnership, L.P.
Wilmington
DE
Purchase
1
12/18/2009
Oaktree PPIP Fund, L.P.
Wilmington
DE
Purchase
2
12/18/2009
Oaktree PPIP Fund, L.P.
Wilmington
DE
Purchase
$
$
2,222,222,222
1,111,111,111
Par
Par
3/22/2010 6 $ 1,244,437,500
$
2,222,222,222
Membership Interest
$
1,111,111,111
Par
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $ 1,244,437,500
Debt Obligation w/ Contingent Proceeds
INITIAL COMMITMENT AMOUNT
$
$
2,222,222,222
30,000,000,000
Par
3/22/2010 6 $ 2,542,675,000
Par
3/22/2010 6 $ 2,488,875,000
7/16/2010
7/16/2010
$
$
2,486,550,000
620,578,258
7/16/2010
$
3/22/2010 6 $ 1,244,437,500
7/16/2010
$
474,550,000
3/22/2010 6 $ 2,488,875,000
7/16/2010
$
949,100,000
7/16/2010
$
1,160,784,100
3/22/2010 6 $ 2,488,875,000
7/16/2010
FINAL COMMITMENT AMOUNT
$
$
9
Amount
Investment After Capital Repayment
Capital Repayment Details
Repayment
Date
Repayment
Amount
Amount
Description
1/15/2010
$
44,043
$
1,150,379,457 Membership Interest
2/14/2011
$
712,284
$
1,149,667,172 Membership Interest
3/14/2011
$
6,716,327
$
1,142,950,845 Membership Interest
4/14/2011
$
7,118,388
$
1,135,832,457 Membership Interest
5/14/2012
$
39,999,800
$
5/16/2011
$
30,244,575
$
6/14/2011
$
88,087
$
5/3/2012
$
80,000,000
$
5/14/2012
$
30,000,000
$
5/23/2012
$
500,000,000
$
1,095,832,657 Membership Interest
Debt Obligation w/
2,270,602,425 Contingent Proceeds
Debt Obligation w/
2,270,514,339 Contingent Proceeds
Debt Obligation w/
2,190,514,339 Contingent Proceeds
Debt Obligation w/
2,160,514,339 Contingent Proceeds
Debt Obligation w/
1,660,514,339 Contingent Proceeds
2/14/2012
$
87,099,565
$
1,156,175,436 Membership Interest
3/14/2012
$
99,462,003
$
1,056,713,433 Membership Interest
5/14/2012
$
74,999,625
$
2/14/2012
$
174,200,000
$
3/14/2012
$
198,925,000
$
5/14/2012
$
150,000,000
$
981,713,808 Membership Interest
Debt Obligation w/
2,312,350,000 Contingent Proceeds
Debt Obligation w/
2,113,425,000 Contingent Proceeds
Debt Obligation w/
1,963,425,000 Contingent Proceeds
3/14/2011
$
1,202,957
$
619,375,301 Membership Interest
4/14/2011
$
3,521,835
$
5/13/2011
$
13,531,530
$
615,853,465 Membership Interest
Debt Obligation w/
1,227,624,986 Contingent Proceeds
7/15/2011
$
39,499,803
$
1,121,284,298 Membership Interest
3/14/2012
$
39,387,753
$
7/15/2011
$
79,000,000
$
3/14/2012
$
78,775,901
$
1,081,896,544 Membership Interest
Debt Obligation w/
2,242,568,200 Contingent Proceeds
Debt Obligation w/
2,163,792,299 Contingent Proceeds
Distribution or Disposition
Date
Description
Proceeds
10
10
10
10
10
694,980,000
2
2
Amount
1,241,156,516
2,321,568,200
10
10
10
10
10
10
10
TOTAL DISTRIBUTIONS 5
21,856,403,574
TOTAL CAPITAL REPAYMENT AMOUNT $
$
80,468,989
3,833,659,476
1/ The equity amount may be incrementally funded. Commitment 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. Commitment 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/ Distributions after capital repayments will be considered profit and are paid pro rata (subject to prior distribution of Contingent Proceeds to Treasury) to the fund's partners, including Treasury, in proportion to their membership interests. These figures exclude pro-rata distributions to Treasury of gross investment proceeds (reported on the Dividends & Interest report), which may be made from time to time in accordance with the terms of the fund's Limited Partnership
Agreement.
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
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.
9/ Cumulative capital drawn at end of the Investment Period.
10/ The Amount is adjusted to reflect pro-rata equity distributions that have been deemed to be capital repayments to Treasury.
70
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Transactions Report - Housing Programs
For Period Ending May 16, 2012
MAKING HOME AFFORDABLE PROGRAM
Servicer Modifying Borrowers' Loans
Name of Institution
Date
4/13/2009
City
Select Portfolio Servicing
Salt Lake City
Transaction
State
Type
UT
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
$
376,000,000
Adjustment Details
Pricing
Mechanism
N/A
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
4/13/2009
CitiMortgage, Inc.
O'Fallon
10722
10722
10722
10722
10722
MO
Purchase
Financial Instrument for Home Loan Modifications
$
2,071,000,000
N/A
Note
Adjustment
Date
6/12/2009
Cap Adjustment Amount
$
Adjusted Cap
284,590,000 $
Reason for Adjustment
9/30/2009
$
121,910,000 $
12/30/2009
$
131,340,000 $
660,590,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
782,500,000 cap
Updated portfolio data from servicer & HAFA initial
913,840,000 cap
3/26/2010
$
(355,530,000) $
558,310,000 Updated portfolio data from servicer
7/14/2010
$
128,690,000 $
687,000,000 Updated portfolio data from servicer
9/30/2010
$
4,000,000 $
9/30/2010
$
59,807,784 $
691,000,000 Initial FHA-HAMP cap and initial FHA-2LP cap
750,807,784 Updated portfolio data from servicer
11/16/2010
$
(700,000) $
12/15/2010
$
64,400,000 $
814,507,784 Updated portfolio data from servicer
750,107,784 Transfer of cap due to servicing transfer
1/6/2011
$
(639) $
814,507,145 Updated portfolio data from servicer
1/13/2011
$
(2,300,000) $
2/16/2011
$
100,000 $
3/16/2011
$
3,600,000 $
3/30/2011
$
(735) $
4/13/2011
$
(100,000) $
815,806,410 Transfer of cap due to servicing transfer
5/13/2011
$
400,000 $
816,206,410 Transfer of cap due to servicing transfer
6/16/2011
$
(100,000) $
6/29/2011
$
(6,805) $
816,106,410 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
816,099,605 reallocation
8/16/2011
$
(100,000) $
812,207,145 Transfer of cap due to servicing transfer
812,307,145 Transfer of cap due to servicing transfer
815,907,145 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
815,906,410 reallocation
815,999,605 Transfer of cap due to servicing transfer
9/15/2011
$
(200,000) $
815,799,605 Transfer of cap due to servicing transfer
10/14/2011
$
(100,000) $
815,699,605 Transfer of cap due to servicing transfer
11/16/2011
$
(100,000) $
815,599,605 Transfer of cap due to servicing transfer
1/13/2012
$
200,000 $
815,799,605 Transfer of cap due to servicing transfer
3/15/2012
$
24,800,000 $
840,599,605 Transfer of cap due to servicing transfer
4/16/2012
$
1,900,000 $
842,499,605 Transfer of cap due to servicing transfer
5/16/2012
$
80,000 $
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) $
842,579,605 Transfer of cap due to servicing transfer
1,079,420,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
2,089,600,000 cap
Updated portfolio data from servicer & HAFA initial
1,984,190,000 cap
Updated portfolio data from servicer & 2MP initial
1,784,890,000 cap
Transfer of cap to Service One, Inc. due to
1,784,660,000 servicing transfer
Transfer of cap to Specialized Loan Servicing, LLC
1,781,660,000 due to servicing transfer
71
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
4/13/2009
Wells Fargo Bank, NA
Des Moines
10423
10423
10423
10423
10423
10423
10423
10423
IA
Purchase
Financial Instrument for Home Loan Modifications
$
2,873,000,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
Transfer of cap to multiple servicers due to
1,769,380,000 servicing transfer
6/16/2010
$
(12,280,000) $
7/14/2010
$
(757,680,000) $
7/16/2010
$
(7,110,000) $
8/13/2010
$
(6,300,000) $
9/15/2010
$
(8,300,000) $
1,011,700,000 Updated portfolio data from servicer
Transfer of cap to multiple servicers due to
1,004,590,000 servicing transfer
Transfer of cap to multiple servicers due to
998,290,000 servicing transfer
Transfer of cap to multiple servicers due to
989,990,000 servicing transfer
9/30/2010
$
32,400,000 $
1,022,390,000 Initial FHA-HAMP cap and initial FHA-2LP cap
9/30/2010
$
101,287,484 $
10/15/2010
$
(1,400,000) $
1,123,677,484 Updated portfolio data from servicer
1,122,277,484 Transfer of cap due to servicing transfer
11/16/2010
$
(3,200,000) $
1,119,077,484 Transfer of cap due to servicing transfer
1/6/2011
$
(981) $
1/13/2011
$
(10,500,000) $
1,108,576,503 Transfer of cap due to servicing transfer
1,119,076,503 Updated portfolio data from servicer
2/16/2011
$
(4,600,000) $
1,103,976,503 Transfer of cap due to servicing transfer
3/16/2011
$
(30,500,000) $
3/30/2011
$
(1,031) $
4/13/2011
$
100,000 $
1,073,575,472 Transfer of cap due to servicing transfer
5/13/2011
$
(7,200,000) $
1,066,375,472 Transfer of cap due to servicing transfer
6/16/2011
$
(400,000) $
6/29/2011
$
(9,131) $
7/14/2011
$
(14,500,000) $
1,051,466,341 Transfer of cap due to servicing transfer
8/16/2011
$
(1,600,000) $
1,049,866,341 Transfer of cap due to servicing transfer
9/15/2011
$
700,000 $
1,050,566,341 Transfer of cap due to servicing transfer
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
10/14/2011
$
15,200,000 $
1,065,766,341 Transfer of cap due to servicing transfer
11/16/2011
$
(2,900,000) $
1,062,866,341 Transfer of cap due to servicing transfer
12/15/2011
$
(5,000,000) $
1,057,866,341 Transfer of cap due to servicing transfer
1/13/2012
$
(900,000) $
1,056,966,341 Transfer of cap due to servicing transfer
2/16/2012
$
(1,100,000) $
1,055,866,341 Transfer of cap due to servicing transfer
3/15/2012
$
(1,700,000) $
1,054,166,341 Transfer of cap due to servicing transfer
4/16/2012
$
(600,000) $
1,053,566,341 Transfer of cap due to servicing transfer
5/16/2012
$
(340,000) $
6/17/2009
$
(462,990,000) $
1,053,226,341 Transfer of cap due to servicing transfer
9/30/2009
$
65,070,000 $
12/30/2009
$
1,213,310,000 $
2,410,010,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
2,475,080,000 cap
Updated portfolio data from servicer & HAFA initial
3,688,390,000 cap
2/17/2010
$
2,050,236,344 $
5,738,626,344 Transfer of cap (from Wachovia) due to merger
3/12/2010
$
54,767 $
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) $
4,764,351,172 Updated portfolio data from servicer
5,738,681,110 Transfer of cap (from Wachovia) due to merger
72
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
4/13/2009
GMAC Mortgage, Inc.
Ft. Washington
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
PA
Purchase
Financial Instrument for Home Loan Modifications
$
633,000,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
9/30/2010
$
12/3/2010
$
344,000,000 $
8,413,225 $
12/15/2010
$
22,200,000 $
Reason for Adjustment
Initial FHA-HAMP cap, initial FHA-2LP cap, and
5,108,351,172 initial RD-HAMP
5,116,764,397 Transfer of cap (from Wachovia) due to merger
5,138,964,397 Updated portfolio data from servicer
1/6/2011
$
(6,312) $
1/13/2011
$
(100,000) $
5,138,858,085 Transfer of cap due to servicing transfer
5,138,958,085 Updated portfolio data from servicer
3/16/2011
$
(100,000) $
3/30/2011
$
(7,171) $
5,138,758,085 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,138,750,914 reallocation
4/13/2011
$
(9,800,000) $
5,128,950,914 Transfer of cap due to servicing transfer
5/13/2011
$
100,000 $
5,129,050,914 Transfer of cap due to servicing transfer
6/16/2011
$
(600,000) $
6/29/2011
$
(63,856) $
5,128,450,914 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,128,387,058 reallocation
7/14/2011
$
(2,300,000) $
5,126,087,058 Transfer of cap due to servicing transfer
8/16/2011
$
(1,100,000) $
5,124,987,058 Transfer of cap due to servicing transfer
9/15/2011
$
1,400,000 $
5,126,387,058 Transfer of cap due to servicing transfer
10/14/2011
$
200,000 $
5,126,587,058 Transfer of cap due to servicing transfer
11/16/2011
$
(200,000) $
5,126,387,058 Transfer of cap due to servicing transfer
12/15/2011
$
(200,000) $
5,126,187,058 Transfer of cap due to servicing transfer
1/13/2012
$
(300,000) $
5,125,887,058 Transfer of cap due to servicing transfer
2/16/2012
$
(200,000) $
5,125,687,058 Transfer of cap due to servicing transfer
3/15/2012
$
(1,000,000) $
5,124,687,058 Transfer of cap due to servicing transfer
4/16/2012
$
(800,000) $
5,123,887,058 Transfer of cap due to servicing transfer
5/16/2012
$
(610,000) $
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
$
(3,700,000) $
9/30/2010
$
119,200,000 $
1,182,200,000 Transfer of cap due to servicing transfer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
1,301,400,000 initial 2MP cap
5,123,277,058 Transfer of cap due to servicing transfer
1,017,650,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
3,554,890,000 cap
Updated portfolio data from servicer & HAFA initial
1,875,370,000 cap
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
9/30/2010
$
216,998,139 $
1,518,398,139 Updated portfolio data from servicer
12/15/2010
$
(500,000) $
1,517,898,139 Updated portfolio data from servicer
1/6/2011
$
(1,734) $
1,517,896,405 Updated portfolio data from servicer
3/16/2011
$
(100,000) $
3/30/2011
$
(2,024) $
4/13/2011
$
(800,000) $
5/13/2011
$
(17,900,000) $
6/29/2011
$
(18,457) $
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
73
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
Note
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
4/13/2009
Saxon Mortgage Services, Inc.
Irving
TX
Purchase
Financial Instrument for Home Loan Modifications
$
407,000,000
N/A
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
4/13/2009
Chase Home Finance, LLC
Iselin
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
3,552,000,000
N/A
4/16/2009
Ocwen Financial Corporation, Inc.
West Palm Beach
FL
Purchase
Financial Instrument for Home Loan Modifications
$
659,000,000
N/A
2
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
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
12/15/2011
$
2,600,000 $
1,504,075,924 Transfer of cap due to servicing transfer
1/13/2012
$
(1,600,000) $
1,502,475,924 Transfer of cap due to servicing transfer
3/15/2012
$
(400,000) $
1,502,075,924 Transfer of cap due to servicing transfer
4/16/2012
$
(100,000) $
1,501,975,924 Transfer of cap due to servicing transfer
5/16/2012
$
(800,000) $
1,501,175,924 Transfer of cap due to servicing transfer
6/17/2009
$
225,040,000 $
9/30/2009
$
254,380,000 $
12/30/2009
$
355,710,000 $
3/26/2010
$
(57,720,000) $
6/16/2010
$
(156,050,000) $
7/14/2010
$
(513,660,000) $
7/16/2010
$
(22,980,000) $
9/15/2010
$
1,800,000 $
9/30/2010
$
9,800,000 $
9/30/2010
$
116,222,668 $
10/15/2010
$
100,000 $
12/15/2010
$
8,900,000 $
1/6/2011
$
(556) $
1/13/2011
$
2,300,000 $
3/16/2011
$
700,000 $
3/30/2011
$
(654) $
4/13/2011
$
2,100,000 $
6/29/2011
$
(6,144) $
7/14/2011
$
200,000 $
633,835,314 Transfer of cap due to servicing transfer
8/16/2011
$
(100,000) $
633,735,314 Transfer of cap due to servicing transfer
632,040,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
886,420,000 cap
Updated portfolio data from servicer & HAFA initial
1,242,130,000 cap
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
493,520,000 Transfer of cap due to servicing transfer
503,320,000 Initial FHA-HAMP cap and initial FHA-2LP cap
619,542,668 Updated portfolio data from servicer
619,642,668 Transfer of cap due to servicing transfer
628,542,668 Updated portfolio data from servicer
628,542,112 Updated portfolio data from servicer
630,842,112 Transfer of cap due to servicing transfer
631,542,112 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
631,541,458 reallocation
633,641,458 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
633,635,314 reallocation
9/15/2011
$
(700,000) $
633,035,314 Transfer of cap due to servicing transfer
12/15/2011
$
17,500,000 $
650,535,314 Transfer of cap due to servicing transfer
2/16/2012
$
(100,000) $
650,435,314 Transfer of cap due to servicing transfer
3/15/2012
$
100,000 $
650,535,314 Transfer of cap due to servicing transfer
4/16/2012
$
(17,500,000) $
633,035,314 Transfer of cap due to servicing transfer
5/16/2012
$
(760,000) $
632,275,314 Transfer of cap due to servicing transfer
7/31/2009
$
(3,552,000,000) $
6/12/2009
$
(105,620,000) $
- Termination of SPA
553,380,000 Updated portfolio data from servicer
74
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
4/17/2009 as amended
on 1/26/2010
Bank of America, N.A.
Simi Valley
CA
Purchase
Financial Instrument for Home Loan Modifications
$
798,900,000
N/A
10512
10512
10512
10512
10512
10512
10512
10512
10512
10512
10512
10512
10512
10512
4/17/2009 as amended
on 1/26/2010
Countrywide Home Loans Servicing LP (BAC Home Loans SSimi Valley
1000832
1000832
1000832
1000832
CA
Purchase
Financial Instrument for Home Loan Modifications
$
1,864,000,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
9/30/2009
$
102,580,000 $
12/30/2009
$
277,640,000 $
3/26/2010
$
46,860,000 $
6/16/2010
$
156,050,000 $
7/14/2010
$
(191,610,000) $
7/16/2010
$
23,710,000 $
9/15/2010
$
100,000 $
9/30/2010
$
3,742,740 $
10/15/2010
$
170,800,000 $
1/6/2011
$
(1,020) $
2/16/2011
$
900,000 $
3/30/2011
$
(1,114) $
Reason for Adjustment
Updated portfolio data from servicer & HPDP initial
655,960,000 cap
Updated portfolio data from servicer & HAFA initial
933,600,000 cap
980,460,000 Updated portfolio data from servicer
Transfer of cap from Saxon Mortgage Services,
1,136,510,000 Inc. due to servicing transfer
944,900,000 Updated portfolio data from servicer
Transfer of cap from Saxon Mortgage Services,
968,610,000 Inc. due to servicing transfer
968,710,000 Initial FHA-HAMP cap
972,452,740 Updated portfolio data from servicer
1,143,252,740 Transfer of cap due to servicing transfer
1,143,251,720 Updated portfolio data from servicer
1,144,151,720 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,144,150,606 reallocation
Updated due to quarterly assessment and
1,144,140,562 reallocation
6/29/2011
$
(10,044) $
10/14/2011
$
(100,000) $
1,144,040,562 Transfer of cap due to servicing transfer
1/13/2012
$
194,800,000 $
1,338,840,562 Transfer of cap due to servicing transfer
2/16/2012
$
400,000 $
1,339,240,562 Transfer of cap due to servicing transfer
3/15/2012
$
100,000 $
1,339,340,562 Transfer of cap due to servicing transfer
5/16/2012
$
123,530,000 $
1,462,870,562 Transfer of cap due to servicing transfer
6/12/2009
$
5,540,000 $
9/30/2009
$
162,680,000 $
12/30/2009
$
665,510,000 $
1/26/2010
$
800,390,000 $
2,433,020,000 Initial 2MP cap
3/26/2010
$
(829,370,000) $
1,603,650,000 Updated portfolio data from servicer
7/14/2010
$
(366,750,000) $
9/30/2010
$
95,300,000 $
1,236,900,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
1,332,200,000 initial RD-HAMP
9/30/2010
$
222,941,084 $
1/6/2011
$
(2,199) $
3/30/2011
$
(2,548) $
6/29/2011
$
(23,337) $
8/16/2011
$
(300,000) $
1,554,813,000 Transfer of cap due to servicing transfer
10/14/2011
$
(120,700,000) $
1,434,113,000 Transfer of cap due to servicing transfer
11/16/2011
$
(900,000) $
1,433,213,000 Transfer of cap due to servicing transfer
5/16/2012
$
(200,000) $
1,433,013,000 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 $
1/26/2010
$
450,100,000 $
7,206,300,000 Initial 2MP cap
3/26/2010
$
905,010,000 $
8,111,310,000 Updated portfolio data from servicer
804,440,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
967,120,000 cap
Updated portfolio data from servicer & HAFA initial
1,632,630,000 cap
1,555,141,084 Updated portfolio data from servicer
1,555,138,885 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,555,136,337 reallocation
Updated due to quarterly assessment and
1,555,113,000 reallocation
5,182,840,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
4,465,420,000 cap
Updated portfolio data from servicer & HAFA initial
6,756,200,000 cap
75
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
4/20/2009
Home Loan Services, Inc.
Pittsburgh
10316
10316
10316
10316
10316
10316
10316
10316
10316
10316
10316
10316
PA
Purchase
Financial Instrument for Home Loan Modifications
$
319,000,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
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
4/19/2010
$
10,280,000 $
6/16/2010
$
286,510,000 $
7/14/2010
$
(1,787,300,000) $
9/30/2010
$
105,500,000 $
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
9/30/2010
$
(614,527,362) $
6,111,772,638 Updated portfolio data from servicer
12/15/2010
$
236,000,000 $
6,347,772,638 Updated portfolio data from servicer
1/6/2011
$
(8,012) $
2/16/2011
$
1,800,000 $
3/16/2011
$
100,000 $
3/30/2011
$
(9,190) $
4/13/2011
$
200,000 $
6,349,855,436 Transfer of cap due to servicing transfer
5/13/2011
$
300,000 $
6,350,155,436 Transfer of cap due to servicing transfer
6/16/2011
$
(1,000,000) $
6/29/2011
$
(82,347) $
7/14/2011
$
(200,000) $
6,348,873,089 Transfer of cap due to servicing transfer
8/16/2011
$
(3,400,000) $
6,345,473,089 Transfer of cap due to servicing transfer
9/15/2011
$
(1,400,000) $
10/14/2011
$
120,600,000 $
10/19/2011
$
317,956,289 $
11/16/2011
$
800,000 $
6,783,429,378 Transfer of cap due to servicing transfer
12/15/2011
$
(17,600,000) $
6,765,829,378 Transfer of cap due to servicing transfer
2/16/2012
$
(2,100,000) $
6,763,729,378 Transfer of cap due to servicing transfer
3/15/2012
$
(23,900,000) $
6,739,829,378 Transfer of cap due to servicing transfer
4/16/2012
$
(63,800,000) $
6,676,029,378 Transfer of cap due to servicing transfer
5/16/2012
$
20,000 $
6,676,049,378 Transfer of cap due to servicing transfer
6/12/2009
$
128,300,000 $
9/30/2009
$
46,730,000 $
12/30/2009
$
145,820,000 $
3/26/2010
$
(17,440,000) $
622,410,000 Updated portfolio data from servicer
7/14/2010
$
(73,010,000) $
549,400,000 Updated portfolio data from servicer
9/30/2010
$
6,700,000 $
9/30/2010
$
(77,126,410) $
478,973,590 Updated portfolio data from servicer
12/15/2010
$
(314,900,000) $
164,073,590 Updated portfolio data from servicer
1/6/2011
$
(233) $
2/16/2011
$
(1,900,000) $
3/16/2011
$
(400,000) $
3/30/2011
$
(278) $
5/13/2011
$
(400,000) $
6,347,764,626 Updated portfolio data from servicer
6,349,564,626 Transfer of cap due to servicing transfer
6,349,664,626 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,349,655,436 reallocation
6,349,155,436 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,349,073,089 reallocation
6,344,073,089 Transfer of cap due to servicing transfer
6,464,673,089 Transfer of cap due to servicing transfer
and Wilshire Credit Corporation due to merger.
6,782,629,378
447,300,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
494,030,000 cap
Updated portfolio data from servicer & HAFA initial
639,850,000 cap
556,100,000 Initial FHA-2LP cap
164,073,357 Updated portfolio data from servicer
162,173,357 Transfer of cap due to servicing transfer
161,773,357 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
161,773,079 reallocation
161,373,079 Transfer of cap due to servicing transfer
76
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
Note
10316
10316
4/20/2009
Wilshire Credit Corporation
13
Beaverton
OR
Purchase
Financial Instrument for Home Loan Modifications
$
366,000,000
N/A
10205
10205
10205
10205
10205
10205
10205
10205
10205
10205
10205
10205
10205
10205
4/24/2009
Green Tree Servicing LLC
13
Saint Paul
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
MN
Purchase
Financial Instrument for Home Loan Modifications
$
156,000,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
6/29/2011
$
(2,625) $
10/19/2011
$
(155,061,221) $
6/12/2009
$
87,130,000 $
Reason for Adjustment
Updated due to quarterly assessment and
161,370,454 reallocation
6,309,233 Termination of SPA
453,130,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
203,460,000 cap
Updated portfolio data from servicer & HAFA initial
323,160,000 cap
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 $
7/16/2010
$
(210,000) $
96,300,000 Updated portfolio data from servicer
Transfer of cap to Green Tree Servicing LLC due
96,090,000 to servicing transfer
8/13/2010
$
(100,000) $
95,990,000 Transfer of cap due to servicing transfer
9/30/2010
$
68,565,782 $
1/6/2011
$
(247) $
3/30/2011
$
(294) $
6/29/2011
$
(2,779) $
10/19/2011
$
(162,895,068) $
6/17/2009
$
(64,990,000) $
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
164,555,782 Updated portfolio data from servicer
164,555,535 Updated portfolio data from servicer
Updated due to quarterly assessment and
164,555,241 reallocation
Updated due to quarterly assessment and
164,552,462 reallocation
1,657,394 Termination of SPA
91,010,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
221,790,000 cap
Updated portfolio data from servicer & HAFA initial
105,040,000 cap
9/30/2009
$
130,780,000 $
12/30/2009
$
(116,750,000) $
3/26/2010
$
13,080,000 $
7/14/2010
$
(24,220,000) $
7/16/2010
$
210,000 $
8/13/2010
$
2,200,000 $
9/10/2010
$
34,600,000 $
9/30/2010
$
5,600,000 $
136,510,000 Initial FHA-2LP cap and FHA-HAMP
9/30/2010
$
10,185,090 $
146,695,090 Updated portfolio data from servicer
10/15/2010
$
400,000 $
1/6/2011
$
(213) $
3/30/2011
$
(250) $
5/13/2011
$
1,200,000 $
6/16/2011
$
100,000 $
6/29/2011
$
(2,302) $
7/14/2011
$
1,900,000 $
9/15/2011
$
200,000 $
150,492,325 Transfer of cap due to servicing transfer
10/14/2011
$
200,000 $
150,692,325 Transfer of cap due to servicing transfer
11/16/2011
$
400,000 $
151,092,325 Transfer of cap due to servicing transfer
2/16/2012
$
900,000 $
151,992,325 Transfer of cap due to servicing transfer
118,120,000 Updated portfolio data from servicer
93,900,000 Updated portfolio data from servicer
Transfer of cap from Wilshire Credit Corporation
94,110,000 due to servicing transfer
96,310,000 Transfer of cap due to servicing transfer
130,910,000 Initial 2MP cap
147,095,090 Transfer of cap due to servicing transfer
147,094,877 Updated portfolio data from servicer
Updated due to quarterly assessment and
147,094,627 reallocation
148,294,627 Transfer of cap due to servicing transfer
148,394,627 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
148,392,325 reallocation
150,292,325 Transfer of cap due to servicing transfer
77
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
10309
10309
4/27/2009
Carrington Mortgage Services, LLC
Santa Ana
CA
Purchase
Financial Instrument for Home Loan Modifications
$
195,000,000
N/A
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
5/1/2009
Aurora Loan Services, LLC
Littleton
CO
Purchase
Financial Instrument for Home Loan Modifications
$
798,000,000
N/A
10231
10231
10231
10231
10231
10231
10231
10231
10231
10231
10231
10231
10231
5/28/2009
Nationstar Mortgage LLC
Lewisville
10406
10406
10406
TX
Purchase
Financial Instrument for Home Loan Modifications
$
101,000,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
3/15/2012
$
100,000 $
152,092,325 Transfer of cap due to servicing transfer
5/16/2012
$
3,260,000 $
155,352,325 Transfer of cap due to servicing transfer
6/17/2009
$
(63,980,000) $
9/30/2009
$
90,990,000 $
12/30/2009
$
57,980,000 $
131,020,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
222,010,000 cap
Updated portfolio data from servicer & HAFA initial
279,990,000 cap
3/26/2010
$
74,520,000 $
354,510,000 Updated portfolio data from servicer
7/14/2010
$
(75,610,000) $
278,900,000 Updated portfolio data from servicer
8/13/2010
$
1,100,000 $
280,000,000 Transfer of cap due to servicing transfer
9/30/2010
$
3,763,685 $
283,763,685 Updated portfolio data from servicer
12/15/2010
$
300,000 $
284,063,685 Updated portfolio data from servicer
1/6/2011
$
(325) $
1/13/2011
$
2,400,000 $
3/30/2011
$
(384) $
6/29/2011
$
(3,592) $
8/16/2011
$
1,800,000 $
284,063,360 Updated portfolio data from servicer
286,463,360 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
286,462,976 reallocation
Updated due to quarterly assessment and
286,459,384 reallocation
288,259,384 Transfer of cap due to servicing transfer
9/15/2011
$
100,000 $
288,359,384 Transfer of cap due to servicing transfer
11/16/2011
$
1,000,000 $
289,359,384 Transfer of cap due to servicing transfer
2/16/2012
$
1,100,000 $
290,459,384 Transfer of cap due to servicing transfer
4/16/2012
$
100,000 $
290,559,384 Transfer of cap due to servicing transfer
5/16/2012
$
850,000 $
6/17/2009
$
(338,450,000) $
291,409,384 Transfer of cap due to servicing transfer
459,550,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
447,690,000 cap
Updated portfolio data from servicer & HAFA initial
469,020,000 cap
9/30/2009
$
(11,860,000) $
12/30/2009
$
21,330,000 $
3/26/2010
$
9,150,000 $
478,170,000 Updated portfolio data from servicer
7/14/2010
$
(76,870,000) $
401,300,000 Updated portfolio data from servicer
9/1/2010
$
400,000 $
9/30/2010
$
(8,454,269) $
1/6/2011
$
(342) $
3/30/2011
$
(374) $
5/13/2011
$
18,000,000 $
401,700,000 Initial FHA-HAMP cap
393,245,731 Updated portfolio data from servicer
393,245,389 Updated portfolio data from servicer
Updated due to quarterly assessment and
393,245,015 reallocation
411,245,015 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
411,241,742 reallocation
6/29/2011
$
(3,273) $
10/14/2011
$
(200,000) $
411,041,742 Transfer of cap due to servicing transfer
3/15/2012
$
100,000 $
411,141,742 Transfer of cap due to servicing transfer
4/16/2012
$
(500,000) $
6/12/2009
$
16,140,000 $
9/30/2009
$
134,560,000 $
12/30/2009
$
80,250,000 $
117,140,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
251,700,000 cap
Updated portfolio data from servicer & HAFA initial
331,950,000 cap
3/26/2010
$
67,250,000 $
399,200,000 Updated portfolio data from servicer
410,641,742 Transfer of cap due to servicing transfer
78
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
6/12/2009
Residential Credit Solutions
Fort Worth
TX
Purchase
Financial Instrument for Home Loan Modifications
$
19,400,000
N/A
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
6/17/2009
CCO Mortgage
Glen Allen
VA
Purchase
Financial Instrument for Home Loan Modifications
$
16,520,000
N/A
10052
10052
10052
10052
10052
10052
10052
6/17/2009
RG Mortgage Corporation
San Juan
10131
PR
Purchase
Financial Instrument for Home Loan Modifications
$
57,000,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
7/14/2010
$
(85,900,000) $
8/13/2010
$
100,000 $
9/30/2010
$
2,900,000 $
9/30/2010
$
33,801,486 $
11/16/2010
$
700,000 $
12/15/2010
$
1,700,000 $
Reason for Adjustment
313,300,000 Updated portfolio data from servicer
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
350,101,486 Updated portfolio data from servicer
350,801,486 Transfer of cap due to servicing transfer
352,501,486 Updated portfolio data from servicer
1/6/2011
$
(363) $
2/16/2011
$
900,000 $
3/16/2011
$
29,800,000 $
3/30/2011
$
(428) $
5/26/2011
$
20,077,503 $
6/29/2011
$
(4,248) $
11/16/2011
$
100,000 $
403,373,950 Transfer of cap due to servicing transfer
3/15/2012
$
(100,000) $
403,273,950 Transfer of cap due to servicing transfer
5/16/2012
$
90,000 $
9/30/2009
$
(1,860,000) $
12/30/2009
$
27,920,000 $
3/26/2010
$
(1,390,000) $
352,501,123 Updated portfolio data from servicer
353,401,123 Transfer of cap due to servicing transfer
383,201,123 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
383,200,695 reallocation
403,278,198 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
403,273,950 reallocation
403,363,950 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP initial
17,540,000 cap
Updated portfolio data from servicer & HAFA initial
45,460,000 cap
44,070,000 Updated portfolio data from servicer
7/14/2010
$
(13,870,000) $
9/30/2010
$
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
9/30/2010
$
586,954 $
31,186,954 Updated portfolio data from servicer
1/6/2011
$
(34) $
3/30/2011
$
(37) $
31,186,920 Updated portfolio data from servicer
Updated due to quarterly assessment and
31,186,883 reallocation
4/13/2011
$
100,000 $
6/29/2011
$
(329) $
9/15/2011
$
(1,900,000) $
29,386,554 Transfer of cap due to servicing transfer
11/16/2011
$
2,800,000 $
32,186,554 Transfer of cap due to servicing transfer
31,286,883 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
31,286,554 reallocation
32,606,554 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP initial
29,590,000 cap
Updated portfolio data from servicer & HAFA initial
175,100,000 cap
5/16/2012
$
420,000 $
9/30/2009
$
13,070,000 $
12/30/2009
$
145,510,000 $
3/26/2010
$
(116,950,000) $
58,150,000 Updated portfolio data from servicer
7/14/2010
$
(23,350,000) $
34,800,000 Updated portfolio data from servicer
9/30/2010
$
7,846,346 $
42,646,346 Updated portfolio data from servicer
1/6/2011
$
(46) $
3/30/2011
$
(55) $
6/29/2011
$
(452) $
9/30/2009
$
(11,300,000) $
12/30/2009
$
(42,210,000) $
42,646,300 Updated portfolio data from servicer
Updated due to quarterly assessment and
42,646,245 reallocation
Updated due to quarterly assessment and
42,645,793 reallocation
Updated portfolio data from servicer & HPDP initial
45,700,000 cap
Updated portfolio data from servicer & HAFA initial
3,490,000 cap
79
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
Note
10131
10131
10131
10131
10131
10131
10131
10131
6/19/2009
First Federal Savings and Loan
Port Angeles
WA
Purchase
Financial Instrument for Home Loan Modifications
$
770,000
N/A
10224
10224
6/19/2009
Wescom Central Credit Union
Anaheim
CA
Purchase
Financial Instrument for Home Loan Modifications
$
540,000
N/A
10126
10126
10126
10126
10126
10126
10126
10126
10126
6/26/2009
Citizens First Wholesale Mortgage Company
12
The Villages
FL
Purchase
Financial Instrument for Home Loan Modifications
$
30,000
N/A
10002
10002
10002
10002
10002
6/26/2009
Technology Credit Union
San Jose
CA
Purchase
Financial Instrument for Home Loan Modifications
$
70,000
N/A
10014
10014
10014
10014
10014
10014
6/26/2009
National City Bank
Miamisburg
10349
10349
10349
OH
Purchase
Financial Instrument for Home Loan Modifications
$
294,980,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
3/26/2010
$
65,640,000 $
69,130,000 Updated portfolio data from servicer
4/9/2010
$
(14,470,000) $
54,660,000 Updated portfolio data from servicer
7/14/2010
$
(8,860,000) $
45,800,000 Updated portfolio data from servicer
9/30/2010
$
(4,459,154) $
41,340,846 Updated portfolio data from servicer
12/15/2010
$
(4,300,000) $
37,040,846 Updated portfolio data from servicer
1/6/2011
$
(51) $
3/30/2011
$
(65) $
6/29/2011
$
(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 initial
2,790,000 cap
3/26/2010
$
11,370,000 $
14,160,000 Updated portfolio data from servicer
5/26/2010
$
(14,160,000) $
9/30/2009
$
330,000 $
12/30/2009
$
16,490,000 $
- Termination of SPA
Updated portfolio data from servicer & HPDP initial
870,000 cap
Updated portfolio data from servicer & HAFA initial
17,360,000 cap
3/26/2010
$
(14,260,000) $
3,100,000 Updated portfolio data from servicer
7/14/2010
$
(1,800,000) $
1,300,000 Updated portfolio data from servicer
7/30/2010
$
1,500,000 $
2,800,000 Updated portfolio data from servicer
9/30/2010
$
1,551,668 $
1/6/2011
$
(2) $
3/30/2011
$
(2) $
5/13/2011
$
(1,800,000) $
6/3/2011
$
(1,872,787) $
(10,000) $
9/30/2009
$
12/30/2009
$
590,000 $
3/26/2010
$
(580,000) $
4,351,668 Updated portfolio data from servicer
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 initial
20,000 cap
Updated portfolio data from servicer & HAFA initial
610,000 cap
30,000 Updated portfolio data from servicer
7/14/2010
$
70,000 $
100,000 Updated portfolio data from servicer
9/30/2010
$
45,056 $
145,056 Updated portfolio data from servicer
2/17/2011
$
(145,056) $
12/30/2009
$
2,180,000 $
3/26/2010
$
(720,000) $
1,530,000 Updated portfolio data from servicer
7/14/2010
$
(430,000) $
1,100,000 Updated portfolio data from servicer
9/30/2010
$
60,445 $
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(12) $
9/30/2009
$
315,170,000 $
12/30/2009
$
90,280,000 $
- Termination of SPA
Updated portfolio data from servicer & HAFA initial
2,250,000 cap
1,160,445 Updated portfolio data from servicer
1,160,444 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,160,443 reallocation
Updated due to quarterly assessment and
1,160,431 reallocation
Updated portfolio data from servicer & HPDP initial
610,150,000 cap
Updated portfolio data from servicer & HAFA initial
700,430,000 cap
3/26/2010
$
(18,690,000) $
681,740,000 Updated portfolio data from servicer
7/14/2010
$
(272,640,000) $
409,100,000 Updated portfolio data from servicer
80
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
Note
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
7/1/2009
Wachovia Mortgage, FSB
Des Moines
IA
Purchase
Financial Instrument for Home Loan Modifications
$
634,010,000
N/A
1000642
1000642
1000642
7/1/2009
Bayview Loan Servicing, LLC
3
Coral Gables
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
FL
Purchase
Financial Instrument for Home Loan Modifications
$
44,260,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
9/30/2010
$
80,600,000 $
Initial FHA-HAMP cap, Initial FHA-2LP cap, and
489,700,000 initial 2MP cap
9/30/2010
$
71,230,004 $
560,930,004 Updated portfolio data from servicer
1/6/2011
$
(828) $
560,929,176 Updated portfolio data from servicer
2/16/2011
$
200,000 $
561,129,176 Transfer of cap due to servicing transfer
3/16/2011
$
(100,000) $
3/30/2011
$
(981) $
561,029,176 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
561,028,195 reallocation
4/13/2011
$
(2,300,000) $
558,728,195 Transfer of cap due to servicing transfer
5/13/2011
$
(200,000) $
558,528,195 Transfer of cap due to servicing transfer
6/16/2011
$
(200,000) $
6/29/2011
$
(9,197) $
558,328,195 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
558,318,998 reallocation
8/16/2011
$
- $
558,318,998 Transfer of cap due to servicing transfer
10/14/2011
$
300,000 $
558,618,998 Transfer of cap due to servicing transfer
11/16/2011
$
(300,000) $
558,318,998 Transfer of cap due to servicing transfer
1/13/2012
$
200,000 $
558,518,998 Transfer of cap due to servicing transfer
2/16/2012
$
(100,000) $
558,418,998 Transfer of cap due to servicing transfer
3/15/2012
$
200,000 $
9/30/2009
$
723,880,000 $
12/30/2009
$
692,640,000 $
2/17/2010
$
(2,050,236,344) $
3/12/2010
$
(54,767) $
9/30/2009
$
23,850,000 $
12/30/2009
$
43,590,000 $
3/26/2010
$
34,540,000 $
5/7/2010
$
1,010,000 $
7/14/2010
$
(34,250,000) $
9/30/2010
$
600,000 $
9/30/2010
$
(15,252,303) $
558,618,998 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP initial
1,357,890,000 cap
Updated portfolio data from servicer & HAFA initial
2,050,530,000 cap
Transfer of cap (to Wells Fargo Bank) due to
293,656 merger
Transfer of cap (to Wells Fargo Bank) due to
238,890 merger
Updated portfolio data from servicer & HPDP initial
68,110,000 cap
Updated portfolio data from servicer & HAFA initial
111,700,000 cap
146,240,000 Updated portfolio data from servicer
147,250,000 Initial 2MP cap
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
$
(70) $
3/30/2011
$
(86) $
98,347,627 Updated portfolio data from servicer
Updated due to quarterly assessment and
98,347,541 reallocation
4/13/2011
$
400,000 $
98,747,541 Transfer of cap due to servicing transfer
5/13/2011
$
100,000 $
6/29/2011
$
(771) $
98,847,541 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
98,846,770 reallocation
9/15/2011
$
600,000 $
99,446,770 Transfer of cap due to servicing transfer
10/14/2011
$
(18,900,000) $
80,546,770 Transfer of cap due to servicing transfer
1/13/2012
$
900,000 $
81,446,770 Transfer of cap due to servicing transfer
2/16/2012
$
2,400,000 $
83,846,770 Transfer of cap due to servicing transfer
3/15/2012
$
(100,000) $
83,746,770 Transfer of cap due to servicing transfer
4/16/2012
$
200,000 $
83,946,770 Transfer of cap due to servicing transfer
81
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
State
Transaction
Type
OH
Purchase
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
Note
1000667
7/10/2009
Lake National Bank
Mentor
Financial Instrument for Home Loan Modifications
$
100,000
N/A
10355
10355
10355
10355
10355
10355
10355
7/10/2009
IBM Southeast Employees' Federal Credit Union
Delray Beach
FL
Purchase
Financial Instrument for Home Loan Modifications
$
870,000
N/A
10029
10029
10029
10029
10029
10029
10029
7/17/2009
MorEquity, Inc.
Evansville
IN
Purchase
Financial Instrument for Home Loan Modifications
$
23,480,000
N/A
1000957
1000957
1000957
1000957
1000957
1000957
1000957
1000957
7/17/2009
PNC Bank, National Association
11
Pittsburgh
PA
Purchase
Financial Instrument for Home Loan Modifications
$
54,470,000
N/A
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
7/17/2009
Farmers State Bank
West Salem
OH
Purchase
Financial Instrument for Home Loan Modifications
$
170,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
5/16/2012
$
30,000 $
9/30/2009
$
150,000 $
12/30/2009
$
130,000 $
Reason for Adjustment
83,976,770 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP initial
250,000 cap
Updated portfolio data from servicer & HAFA initial
380,000 cap
3/26/2010
$
50,000 $
430,000 Updated portfolio data from servicer
7/14/2010
$
(30,000) $
400,000 Updated portfolio data from servicer
9/30/2010
$
35,167 $
435,167 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(1) $
9/30/2009
$
(10,000) $
12/30/2009
$
250,000 $
435,166 Updated portfolio data from servicer
Updated due to quarterly assessment and
435,165 reallocation
Updated due to quarterly assessment and
435,159 reallocation
Updated portfolio data from servicer & HPDP initial
860,000 cap
Updated portfolio data from servicer & HAFA initial
1,110,000 cap
6/29/2011
$
(6) $
3/26/2010
$
(10,000) $
1,100,000 Updated portfolio data from servicer
7/14/2010
$
(400,000) $
700,000 Updated portfolio data from servicer
9/30/2010
$
170,334 $
870,334 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(12) $
9/30/2009
$
18,530,000 $
12/30/2009
$
24,510,000 $
3/26/2010
$
18,360,000 $
84,880,000 Updated portfolio data from servicer
7/14/2010
$
(22,580,000) $
62,300,000 Updated portfolio data from servicer
9/30/2010
$
(8,194,261) $
54,105,739 Updated portfolio data from servicer
1/6/2011
$
(37) $
3/16/2011
$
(29,400,000) $
3/30/2011
$
(34) $
5/26/2011
$
(20,077,503) $
9/30/2009
$
(36,240,000) $
12/30/2009
$
19,280,000 $
3/26/2010
$
2,470,000 $
39,980,000 Updated portfolio data from servicer
7/14/2010
$
(17,180,000) $
22,800,000 Updated portfolio data from servicer
9/30/2010
$
35,500,000 $
58,300,000 Initial FHA-2LP cap and initial 2MP cap
9/30/2010
$
23,076,191 $
81,376,191 Updated portfolio data from servicer
1/6/2011
$
(123) $
3/30/2011
$
(147) $
5/13/2011
$
(100,000) $
6/29/2011
$
(1,382) $
10/14/2011
$
(300,000) $
9/30/2009
$
(90,000) $
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,320 reallocation
Updated portfolio data from servicer & HPDP initial
42,010,000 cap
Updated portfolio data from servicer & HAFA initial
66,520,000 cap
54,105,702 Updated portfolio data from servicer
24,705,702 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
24,705,668 reallocation
Termination of SPA
4,628,165 (remaining cap equals distribution amount)
Updated portfolio data from servicer & HPDP initial
18,230,000 cap
Updated portfolio data from servicer & HAFA initial
37,510,000 cap
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
80,974,539 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP initial
80,000 cap
82
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
10612
10612
10612
10612
10612
7/17/2009
ShoreBank
Chicago
IL
Purchase
Financial Instrument for Home Loan Modifications
$
1,410,000
N/A
10257
10257
10257
10257
10257
10257
10257
10257
7/22/2009
American Home Mortgage Servicing, Inc
Coppell
TX
Purchase
Financial Instrument for Home Loan Modifications
$
1,272,490,000
N/A
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
7/22/2009
Mortgage Center, LLC
Southfield
10439
10439
10439
10439
10439
10439
10439
MI
Purchase
Financial Instrument for Home Loan Modifications
$
4,210,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
Updated portfolio data from servicer & HAFA initial
130,000 cap
12/30/2009
$
50,000 $
3/26/2010
$
100,000 $
230,000 Updated portfolio data from servicer
7/14/2010
$
(130,000) $
100,000 Updated portfolio data from servicer
145,056 Updated portfolio data from servicer
9/30/2010
$
45,056 $
5/20/2011
$
(145,056) $
9/30/2009
$
890,000 $
12/30/2009
$
1,260,000 $
3/26/2010
$
(20,000) $
3,540,000 Updated portfolio data from servicer
7/14/2010
$
(240,000) $
3,300,000 Updated portfolio data from servicer
9/30/2010
$
471,446 $
1/6/2011
$
(3) $
3/30/2011
$
(4) $
4/13/2011
$
(1,100,000) $
6/29/2011
$
(38) $
9/30/2009
$
(53,670,000) $
12/30/2009
$
250,450,000 $
3/26/2010
$
124,820,000 $
1,594,090,000 Updated portfolio data from servicer
7/14/2010
$
(289,990,000) $
1,304,100,000 Updated portfolio data from servicer
1,305,790,508 Updated portfolio data from servicer
- Termination of SPA
Updated portfolio data from servicer & HPDP initial
2,300,000 cap
Updated portfolio data from servicer & HAFA initial
3,560,000 cap
3,771,446 Updated portfolio data from servicer
3,771,443 Updated portfolio data from servicer
Updated due to quarterly assessment and
3,771,439 reallocation
2,671,439 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
2,671,401 reallocation
Updated portfolio data from servicer & HPDP initial
1,218,820,000 cap
Updated portfolio data from servicer & HAFA initial
1,469,270,000 cap
9/30/2010
$
1,690,508 $
10/15/2010
$
300,000 $
1,306,090,508 Transfer of cap due to servicing transfer
11/16/2010
$
(100,000) $
1,305,990,508 Transfer of cap due to servicing transfer
1/6/2011
$
(1,173) $
2/16/2011
$
(500,000) $
1,305,989,335 Updated portfolio data from servicer
3/30/2011
$
(1,400) $
4/13/2011
$
3,100,000 $
6/29/2011
$
(12,883) $
9/15/2011
$
(1,000,000) $
10/14/2011
$
(100,000) $
1,307,475,052 Transfer of cap due to servicing transfer
11/16/2011
$
(1,100,000) $
1,306,375,052 Transfer of cap due to servicing transfer
5/16/2012
$
(10,000) $
1,305,489,335 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,305,487,935 reallocation
1,308,587,935 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,308,575,052 reallocation
1,307,575,052 Transfer of cap due to servicing transfer
1,306,365,052 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP initial
5,990,000 cap
Updated portfolio data from servicer & HAFA initial
8,830,000 cap
9/30/2009
$
1,780,000 $
12/30/2009
$
2,840,000 $
3/26/2010
$
2,800,000 $
11,630,000 Updated portfolio data from servicer
7/14/2010
$
(5,730,000) $
5,900,000 Updated portfolio data from servicer
9/30/2010
$
2,658,280 $
1/6/2011
$
(12) $
3/30/2011
$
(14) $
6/29/2011
$
(129) $
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
83
Servicer Modifying Borrowers' Loans
Name of Institution
Date
7/22/2009
City
Mission Federal Credit Union
San Diego
State
Transaction
Type
CA
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
$
860,000
Adjustment Details
Pricing
Mechanism
N/A
1000455
1000455
1000455
1000455
1000455
1000455
7/29/2009
First Bank
St. Louis
MO
Purchase
Financial Instrument for Home Loan Modifications
$
6,460,000
N/A
10455
10455
10455
10455
10455
10455
10455
7/29/2009
Purdue Employees Federal Credit Union
West Lafayette
IN
Purchase
Financial Instrument for Home Loan Modifications
$
1,090,000
N/A
1000505
1000505
1000505
1000505
1000505
1000505
1000505
7/29/2009
Wachovia Bank, N.A.
Charlotte
NC
Purchase
Financial Instrument for Home Loan Modifications
$
85,020,000
N/A
1000902
1000902
1000902
1000902
1000902
7/31/2009
J.P. Morgan Chase Bank, NA
Lewisville
10706
10706
10706
10706
10706
10706
10706
10706
TX
Purchase
Financial Instrument for Home Loan Modifications
$
2,699,720,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
Updated portfolio data from servicer & HPDP initial
370,000 cap
Updated portfolio data from servicer & HAFA initial
7,120,000 cap
9/30/2009
$
(490,000) $
12/30/2009
$
6,750,000 $
3/26/2010
$
(6,340,000) $
780,000 Updated portfolio data from servicer
7/14/2010
$
(180,000) $
600,000 Updated portfolio data from servicer
9/30/2010
$
125,278 $
3/30/2011
$
(1) $
6/29/2011
$
(4) $
9/30/2009
$
(1,530,000) $
12/30/2009
$
680,000 $
725,278 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,277 reallocation
Updated due to quarterly assessment and
725,273 reallocation
Updated portfolio data from servicer & HPDP initial
4,930,000 cap
Updated portfolio data from servicer & HAFA initial
5,610,000 cap
3/26/2010
$
2,460,000 $
8,070,000 Updated portfolio data from servicer
7/14/2010
$
(2,470,000) $
5,600,000 Updated portfolio data from servicer
9/30/2010
$
2,523,114 $
8,123,114 Updated portfolio data from servicer
1/6/2011
$
(2) $
3/30/2011
$
(2) $
9/30/2009
$
(60,000) $
12/30/2009
$
1,260,000 $
8,123,112 Updated portfolio data from servicer
Updated due to quarterly assessment and
8,123,110 reallocation
Updated due to quarterly assessment and
8,123,095 reallocation
Updated portfolio data from servicer & HPDP initial
1,030,000 cap
Updated portfolio data from servicer & HAFA initial
2,290,000 cap
6/29/2011
$
(15) $
3/26/2010
$
2,070,000 $
4,360,000 Updated portfolio data from servicer
7/14/2010
$
(3,960,000) $
400,000 Updated portfolio data from servicer
9/30/2010
$
180,222 $
580,222 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(8) $
9/30/2009
$
(37,700,000) $
12/30/2009
$
26,160,000 $
3/26/2010
$
9,820,000 $
83,300,000 Updated portfolio data from servicer
7/14/2010
$
(46,200,000) $
37,100,000 Updated portfolio data from servicer
9/30/2010
$
(28,686,775) $
8,413,225 Updated portfolio data from servicer
12/3/2010
$
(8,413,225) $
9/30/2009
$
(14,850,000) $
12/30/2009
$
1,178,180,000 $
3/26/2010
$
1,006,580,000 $
7/14/2010
$
(1,934,230,000) $
9/30/2010
$
72,400,000 $
9/30/2010
$
215,625,536 $
3,223,425,536 Updated portfolio data from servicer
1/6/2011
$
(3,636) $
3,223,421,900 Updated portfolio data from servicer
3/16/2011
$
(100,000) $
3/30/2011
$
(3,999) $
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
Updated portfolio data from servicer & HPDP initial
47,320,000 cap
Updated portfolio data from servicer & HAFA initial
73,480,000 cap
- Termination of SPA
Updated portfolio data from servicer & HPDP initial
2,684,870,000 cap
Updated portfolio data from servicer & HAFA initial
3,863,050,000 cap
Updated portfolio data from servicer & 2MP initial
4,869,630,000 cap
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
3,223,321,900 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,223,317,901 reallocation
84
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
Note
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
7/31/2009
EMC Mortgage Corporation
Lewisville
TX
Purchase
Financial Instrument for Home Loan Modifications
$
707,380,000
N/A
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020
8/5/2009
Lake City Bank
14
Warsaw
IN
Purchase
Financial Instrument for Home Loan Modifications
$
420,000
N/A
1000840
1000840
1000840
1000840
1000840
8/5/2009
Oakland Municipal Credit Union
Oakland
1000609
1000609
CA
Purchase
Financial Instrument for Home Loan Modifications
$
140,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
4/13/2011
$
(200,000) $
5/13/2011
$
122,700,000 $
3,223,117,901 Transfer of cap due to servicing transfer
6/29/2011
$
(34,606) $
7/14/2011
$
600,000 $
3,346,383,295 Transfer of cap due to servicing transfer
8/16/2011
$
(400,000) $
3,345,983,295 Transfer of cap due to servicing transfer
9/15/2011
$
(100,000) $
3,345,883,295 Transfer of cap due to servicing transfer
10/14/2011
$
200,000 $
3,346,083,295 Transfer of cap due to servicing transfer
10/19/2011
$
519,211,309 $
3,865,294,604 Transfer of cap due to servicing transfer
11/16/2011
$
(2,800,000) $
3,862,494,604 Transfer of cap due to servicing transfer
1/13/2012
$
(100,000) $
3,862,394,604 Transfer of cap due to servicing transfer
2/16/2012
$
(100,000) $
5/16/2012
$
(126,080,000) $
3,345,817,901 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,345,783,295 reallocation
3,862,294,604 Transfer of cap due to servicing transfer
3,736,214,604 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP initial
707,370,000 cap
Updated portfolio data from servicer & HAFA initial
1,209,800,000 cap
Updated portfolio data from servicer & 2MP initial
1,075,240,000 cap
9/30/2009
$
(10,000) $
12/30/2009
$
502,430,000 $
3/26/2010
$
(134,560,000) $
7/14/2010
$
(392,140,000) $
7/16/2010
$
(630,000) $
9/30/2010
$
13,100,000 $
695,570,000 Initial FHA-HAMP cap and initial FHA-2LP cap
687,563,543 Updated portfolio data from servicer
9/30/2010
$
(8,006,457) $
10/15/2010
$
(100,000) $
12/15/2010
$
(4,400,000) $
1/6/2011
$
(802) $
2/16/2011
$
(900,000) $
3/16/2011
$
(4,000,000) $
3/30/2011
$
(925) $
5/13/2011
$
(122,900,000) $
6/29/2011
$
(8,728) $
683,100,000 Updated portfolio data from servicer
682,470,000 Transfer of cap to Saxon Mortgage Services, Inc.
687,463,543 Transfer of cap due to servicing transfer
683,063,543 Updated portfolio data from servicer
683,062,741 Updated portfolio data from servicer
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
7/14/2011
$
(600,000) $
10/19/2011
$
(519,211,309) $
554,653,088 Transfer of cap due to servicing transfer
9/30/2009
$
180,000 $
12/30/2009
$
(350,000) $
3/26/2010
$
20,000 $
270,000 Updated portfolio data from servicer
7/14/2010
$
(70,000) $
200,000 Updated portfolio data from servicer
9/30/2010
$
90,111 $
6/29/2011
$
(3) $
9/30/2009
$
290,000 $
12/30/2009
$
210,000 $
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
290,108 reallocation
Updated portfolio data from servicer & HPDP initial
430,000 cap
Updated portfolio data from servicer & HAFA initial
640,000 cap
3/26/2010
$
170,000 $
810,000 Updated portfolio data from servicer
35,441,779 Termination of SPA
Updated portfolio data from servicer & HPDP initial
600,000 cap
Updated portfolio data from servicer & HAFA initial
250,000 cap
85
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
Note
1000609
1000609
1000609
1000609
1000609
1000609
1000609
8/5/2009
HomEq Servicing
12
North Highlands
CA
Purchase
Financial Instrument for Home Loan Modifications
$
674,000,000
N/A
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
8/12/2009
Litton Loan Servicing LP
Houston
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
TX
Purchase
Financial Instrument for Home Loan Modifications
$
774,900,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
7/14/2010
$
(10,000) $
800,000 Updated portfolio data from servicer
9/30/2010
$
(74,722) $
725,278 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(1) $
4/13/2011
$
(200,000) $
6/29/2011
$
(7) $
7/22/2011
$
(515,201) $
9/30/2009
$
(121,190,000) $
12/30/2009
$
(36,290,000) $
3/26/2010
$
199,320,000 $
715,840,000 Updated portfolio data from servicer
7/14/2010
$
(189,040,000) $
526,800,000 Updated portfolio data from servicer
9/30/2010
$
38,626,728 $
565,426,728 Updated portfolio data from servicer
10/15/2010
$
(170,800,000) $
12/15/2010
$
(22,200,000) $
372,426,728 Updated portfolio data from servicer
1/6/2011
$
(549) $
372,426,179 Updated portfolio data from servicer
2/16/2011
$
(900,000) $
3/30/2011
$
(653) $
6/29/2011
$
(6,168) $
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
10,068 Termination of SPA
Updated portfolio data from servicer & HPDP initial
552,810,000 cap
Updated portfolio data from servicer & HAFA initial
516,520,000 cap
394,626,728 Transfer of cap due to servicing transfer
9/30/2009
$
313,050,000 $
12/30/2009
$
275,370,000 $
371,526,179 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
371,525,526 reallocation
Updated due to quarterly assessment and
371,519,358 reallocation
Updated portfolio data from servicer & HPDP initial
1,087,950,000 cap
Updated portfolio data from servicer & HAFA initial
1,363,320,000 cap
3/26/2010
$
278,910,000 $
1,642,230,000 Updated portfolio data from servicer
1,167,500,000 Updated portfolio data from servicer
7/14/2010
$
(474,730,000) $
8/13/2010
$
(700,000) $
1,166,800,000 Transfer of cap to due to servicing transfer
9/15/2010
$
(1,000,000) $
1,165,800,000 Transfer of cap to due to servicing transfer
9/30/2010
$
(115,017,236) $
10/15/2010
$
(800,000) $
1,050,782,764 Updated portfolio data from servicer
1,049,982,764 Transfer of cap due to servicing transfer
12/15/2010
$
800,000 $
1,050,782,764 Updated portfolio data from servicer
1/6/2011
$
(1,286) $
3/16/2011
$
8,800,000 $
1,050,781,478 Updated portfolio data from servicer
3/30/2011
$
(1,470) $
4/13/2011
$
(3,300,000) $
1,056,280,008 Transfer of cap due to servicing transfer
5/13/2011
$
(300,000) $
1,055,980,008 Transfer of cap due to servicing transfer
6/16/2011
$
(700,000) $
6/29/2011
$
(13,097) $
1,055,280,008 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,055,266,911 reallocation
7/14/2011
$
(200,000) $
1,055,066,911 Transfer of cap due to servicing transfer
9/15/2011
$
(2,900,000) $
1,052,166,911 Transfer of cap due to servicing transfer
10/14/2011
$
(300,000) $
1,051,866,911 Transfer of cap due to servicing transfer
11/16/2011
$
(500,000) $
1,051,366,911 Transfer of cap due to servicing transfer
1,059,581,478 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,059,580,008 reallocation
86
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
10438
10438
10438
8/12/2009
PennyMac Loan Services, LLC
Calasbasa
CA
Purchase
Financial Instrument for Home Loan Modifications
$
6,210,000
N/A
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
8/12/2009
Servis One, Inc.
Titusville
10454
10454
10454
10454
10454
PA
Purchase
Financial Instrument for Home Loan Modifications
$
29,730,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
12/15/2011
$
(2,600,000) $
1,048,766,911 Transfer of cap due to servicing transfer
1/13/2012
$
(194,800,000) $
853,966,911 Transfer of cap due to servicing transfer
2/16/2012
$
(400,000) $
853,566,911 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP initial
5,010,000 cap
Updated portfolio data from servicer & HAFA initial
35,810,000 cap
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 $
53,080,000 Initial FHA-HAMP cap and 2MP initial cap
59,010,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
61,720,000 servicing transfer
9/30/2010
$
(1,423,197) $
51,656,803 Updated portfolio data from servicer
11/16/2010
$
1,400,000 $
53,056,803 Transfer of cap due to servicing transfer
12/15/2010
$
(100,000) $
52,956,803 Updated portfolio data from servicer
1/6/2011
$
(72) $
1/13/2011
$
4,100,000 $
57,056,731 Transfer of cap due to servicing transfer
52,956,731 Updated portfolio data from servicer
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) $
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
$
(812) $
7/14/2011
$
2,500,000 $
69,755,825 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
1/13/2012
$
200,000 $
74,755,825 Transfer of cap due to servicing transfer
3/15/2012
$
1,900,000 $
76,655,825 Transfer of cap due to servicing transfer
4/16/2012
$
200,000 $
9/30/2009
$
(25,510,000) $
12/30/2009
$
520,000 $
3/26/2010
$
4,330,000 $
4/19/2010
$
230,000 $
5/19/2010
$
850,000 $
7/14/2010
$
(850,000) $
60,956,731 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
60,956,637 reallocation
67,256,637 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
67,255,825 reallocation
76,855,825 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP initial
4,220,000 cap
Updated portfolio data from servicer & HAFA initial
4,740,000 cap
9,070,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
9,300,000 servicing transfer
10,150,000 Initial 2MP cap
9,300,000 Updated portfolio data from servicer
87
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
8/28/2009
OneWest Bank
Pasadena
CA
Purchase
Financial Instrument for Home Loan Modifications
$
668,440,000
N/A
10008
10008
10008
10008
10008
10008
10008
10008
8/28/2009
Stanford Federal Credit Union
Palo Alto
1000576
1000576
1000576
1000576
CA
Purchase
Financial Instrument for Home Loan Modifications
$
300,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
9/15/2010
$
100,000 $
9/30/2010
$
100,000 $
9,400,000 Transfer of cap to due to servicing transfer
9/30/2010
$
16,755,064 $
10/15/2010
$
100,000 $
26,355,064 Transfer of cap due to servicing transfer
12/15/2010
$
100,000 $
26,455,064 Updated portfolio data from servicer
1/6/2011
$
(40) $
26,455,024 Updated portfolio data from servicer
1/13/2011
$
300,000 $
2/16/2011
$
100,000 $
3/16/2011
$
2,200,000 $
3/30/2011
$
(52) $
4/13/2011
$
1,500,000 $
30,554,972 Transfer of cap due to servicing transfer
5/13/2011
$
1,000,000 $
31,554,972 Transfer of cap due to servicing transfer
6/16/2011
$
100,000 $
6/29/2011
$
(534) $
8/16/2011
$
700,000 $
9,500,000 Initial FHA-HAMP cap
26,255,064 Updated portfolio data from servicer
26,755,024 Transfer of cap due to servicing transfer
26,855,024 Transfer of cap due to servicing transfer
29,055,024 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
29,054,972 reallocation
31,654,972 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
31,654,438 reallocation
32,354,438 Transfer of cap due to servicing transfer
9/15/2011
$
(600,000) $
31,754,438 Transfer of cap due to servicing transfer
10/14/2011
$
4,000,000 $
35,754,438 Transfer of cap due to servicing transfer
11/16/2011
$
600,000 $
36,354,438 Transfer of cap due to servicing transfer
12/15/2011
$
200,000 $
36,554,438 Transfer of cap due to servicing transfer
1/13/2012
$
100,000 $
36,654,438 Transfer of cap due to servicing transfer
2/16/2012
$
1,300,000 $
37,954,438 Transfer of cap due to servicing transfer
3/15/2012
$
1,100,000 $
39,054,438 Transfer of cap due to servicing transfer
4/16/2012
$
800,000 $
39,854,438 Transfer of cap due to servicing transfer
5/16/2012
$
(1,080,000) $
38,774,438 Transfer of cap due to servicing transfer
10/2/2009
$
145,800,000 $
12/30/2009
$
1,355,930,000 $
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) $
814,240,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
2,170,170,000 cap
1,888,000,000 2MP initial cap
1,836,258,837 Updated portfolio data from servicer
1,836,256,555 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,836,253,881 reallocation
Updated due to quarterly assessment and
1,836,229,265 reallocation
10/2/2009
$
70,000 $
12/30/2009
$
2,680,000 $
370,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
3,050,000 cap
3/26/2010
$
350,000 $
3,400,000 Updated portfolio data from servicer
7/14/2010
$
(1,900,000) $
1,500,000 Updated portfolio data from servicer
9/30/2010
$
(1,209,889) $
290,111 Updated portfolio data from servicer
88
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
State
Transaction
Type
NC
Purchase
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
Note
1000576
8/28/2009
RoundPoint Mortgage Servicing Corporation
Charlotte
Financial Instrument for Home Loan Modifications
$
570,000
N/A
1001011
1001011
1001011
1001011
1001011
1001011
1001011
1001011
1001011
9/2/2009
Horicon Bank
Horicon
WI
Purchase
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
TX
Purchase
Financial Instrument for Home Loan Modifications
$
6,000,000
N/A
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
9/9/2009
Central Florida Educators Federal Credit Union
Lake Mary
1000890
FL
Purchase
Financial Instrument for Home Loan Modifications
$
1,250,000
N/A
10
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
3/23/2010
$
(290,111) $
10/2/2009
$
130,000 $
- Termination of SPA
12/30/2009
$
(310,000) $
3/26/2010
$
2,110,000 $
2,500,000 Updated portfolio data from servicer
7/14/2010
$
8,300,000 $
10,800,000 Updated portfolio data from servicer
9/30/2010
$
5,301,172 $
16,101,172 Updated portfolio data from servicer
700,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
390,000 cap
1/6/2011
$
(22) $
3/16/2011
$
(400,000) $
16,101,150 Updated portfolio data from servicer
3/30/2011
$
(25) $
4/13/2011
$
- $
6/29/2011
$
(232) $
10/2/2009
$
130,000 $
12/30/2009
$
1,040,000 $
3/26/2010
$
(1,680,000) $
50,000 Updated portfolio data from servicer
5/12/2010
$
1,260,000 $
1,310,000 Updated portfolio data from servicer
7/14/2010
$
(1,110,000) $
200,000 Updated portfolio data from servicer
9/30/2010
$
100,000 $
9/30/2010
$
(9,889) $
6/29/2011
$
(3) $
10/2/2009
$
1,310,000 $
12/30/2009
$
(3,390,000) $
3/26/2010
$
410,000 $
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 $
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 initial
1,730,000 cap
300,000 Initial RD-HAMP
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
290,108 reallocation
7,310,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
3,920,000 cap
8,300,000 Transfer of cap due to servicing transfer
9/30/2010
$
117,764 $
8,417,764 Updated portfolio data from servicer
11/16/2010
$
800,000 $
9,217,764 Transfer of cap due to servicing transfer
12/15/2010
$
2,700,000 $
11,917,764 Updated portfolio data from servicer
11,917,747 Updated portfolio data from servicer
1/6/2011
$
(17) $
1/13/2011
$
700,000 $
2/16/2011
$
1,800,000 $
3/30/2011
$
(19) $
4/13/2011
$
300,000 $
6/29/2011
$
(189) $
8/16/2011
$
300,000 $
9/15/2011
$
100,000 $
15,117,539 Transfer of cap due to servicing transfer
10/14/2011
$
100,000 $
15,217,539 Transfer of cap due to servicing transfer
10/2/2009
$
280,000 $
12/30/2009
$
(750,000) $
12,617,747 Transfer of cap due to servicing transfer
14,417,747 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,417,728 reallocation
14,717,728 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,717,539 reallocation
15,017,539 Transfer of cap due to servicing transfer
1,530,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
780,000 cap
89
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
1000890
1000890
1000890
1000890
1000890
1000890
9/9/2009
U.S. Bank National Association
Owensboro
KY
Purchase
Financial Instrument for Home Loan Modifications
$
114,220,000
N/A
10305
10305
10305
10305
10305
10305
10305
9/9/2009
CUC Mortgage Corporation
Albany
NY
Purchase
Financial Instrument for Home Loan Modifications
$
4,350,000
N/A
1000483
1000483
1000483
1000483
1000483
1000483
1000483
9/11/2009
ORNL Federal Credit Union
Oak Ridge
TN
Purchase
Financial Instrument for Home Loan Modifications
$
2,070,000
N/A
1000467
1000467
1000467
1000467
1000467
1000467
1000467
9/11/2009
Allstate Mortgage Loans & Investments, Inc.
Ocala
FL
Purchase
Financial Instrument for Home Loan Modifications
$
250,000
N/A
1001029
1001029
1001029
1001029
1001029
9/11/2009
Metropolitan National Bank
Little Rock
1000747
AR
Purchase
Financial Instrument for Home Loan Modifications
$
280,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
3/26/2010
$
120,000 $
900,000 Updated portfolio data from servicer
7/14/2010
$
(300,000) $
600,000 Updated portfolio data from servicer
9/30/2010
$
270,334 $
870,334 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(5) $
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
10/2/2009
$
24,920,000 $
12/30/2009
$
49,410,000 $
139,140,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
188,550,000 cap
3/26/2010
$
41,830,000 $
230,380,000 Updated portfolio data from servicer
7/14/2010
$
(85,780,000) $
144,600,000 Updated portfolio data from servicer
9/30/2010
$
36,574,444 $
181,174,444 Updated portfolio data from servicer
1/6/2011
$
(160) $
3/30/2011
$
(172) $
6/29/2011
$
(1,431) $
10/2/2009
$
950,000 $
12/30/2009
$
5,700,000 $
3/26/2010
$
740,000 $
11,740,000 Updated portfolio data from servicer
7/14/2010
$
(1,440,000) $
10,300,000 Updated portfolio data from servicer
9/30/2010
$
(6,673,610) $
1/6/2011
$
(5) $
3/30/2011
$
(6) $
6/29/2011
$
(52) $
10/2/2009
$
460,000 $
12/30/2009
$
2,730,000 $
3/26/2010
$
13,280,000 $
18,540,000 Updated portfolio data from servicer
7/14/2010
$
(13,540,000) $
5,000,000 Updated portfolio data from servicer
9/30/2010
$
1,817,613 $
6,817,613 Updated portfolio data from servicer
1/6/2011
$
(10) $
3/30/2011
$
(12) $
6/29/2011
$
(115) $
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
5,300,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
11,000,000 cap
3,626,390 Updated portfolio data from servicer
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 initial
5,260,000 cap
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
10/2/2009
$
60,000 $
12/30/2009
$
(80,000) $
310,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
230,000 cap
3/26/2010
$
280,000 $
510,000 Updated portfolio data from servicer
7/14/2010
$
(410,000) $
100,000 Updated portfolio data from servicer
9/30/2010
$
45,056 $
6/29/2011
$
(1) $
10/2/2009
$
70,000 $
12/30/2009
$
620,000 $
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
350,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
970,000 cap
90
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
1000747
1000747
1000747
1000747
1000747
9/11/2009
Franklin Credit Management Corporation
Jersey City
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
27,510,000
N/A
1000955
1000955
1000955
1000955
1000955
1000955
1000955
1000955
1000955
9/16/2009
Bay Federal Credit Union
Capitola
CA
Purchase
Financial Instrument for Home Loan Modifications
$
410,000
N/A
1001037
1001037
1001037
1001037
1001037
1001037
1001037
1001037
9/23/2009
AMS Servicing, LLC
Buffalo
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
NY
Purchase
Financial Instrument for Home Loan Modifications
$
4,390,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
3/26/2010
$
100,000 $
1,070,000 Updated portfolio data from servicer
7/14/2010
$
(670,000) $
400,000 Updated portfolio data from servicer
9/30/2010
$
35,167 $
435,167 Updated portfolio data from servicer
435,166 Updated portfolio data from servicer
1/6/2011
$
(1) $
1/26/2011
$
(435,166) $
10/2/2009
$
6,010,000 $
12/30/2009
$
(19,750,000) $
3/26/2010
$
(4,780,000) $
8,990,000 Updated portfolio data from servicer
7/14/2010
$
(2,390,000) $
6,600,000 Updated portfolio data from servicer
9/30/2010
$
2,973,670 $
9,573,670 Updated portfolio data from servicer
1/6/2011
$
(3) $
9,573,667 Updated portfolio data from servicer
2/16/2011
$
(1,800,000) $
3/30/2011
$
(6) $
6/29/2011
$
(61) $
10/14/2011
$
(100,000) $
- Termination of SPA
33,520,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
13,770,000 cap
7,773,667 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
7,773,661 reallocation
Updated due to quarterly assessment and
7,773,600 reallocation
7,673,600 Transfer of cap due to servicing transfer
10/2/2009
$
90,000 $
12/30/2009
$
1,460,000 $
500,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
1,960,000 cap
3/26/2010
$
160,000 $
2,120,000 Updated portfolio data from servicer
7/14/2010
$
(120,000) $
2,000,000 Updated portfolio data from servicer
9/30/2010
$
(1,419,778) $
580,222 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(8) $
1/25/2012
$
(580,212) $
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
10/2/2009
$
960,000 $
12/30/2009
$
(3,090,000) $
5,350,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
2,260,000 cap
3/26/2010
$
230,000 $
2,490,000 Updated portfolio data from servicer
7/14/2010
$
5,310,000 $
7,800,000 Updated portfolio data from servicer
9/30/2010
$
323,114 $
8,123,114 Updated portfolio data from servicer
1/6/2011
$
(12) $
8,123,102 Updated portfolio data from servicer
3/16/2011
$
600,000 $
3/30/2011
$
(16) $
4/13/2011
$
200,000 $
8,923,086 Transfer of cap due to servicing transfer
5/13/2011
$
100,000 $
6/29/2011
$
(153) $
9,023,086 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
9,022,933 reallocation
9/15/2011
$
100,000 $
11/16/2011
$
100,000 $
9,222,933 Transfer of cap due to servicing transfer
4/16/2012
$
1,100,000 $
10,322,933 Transfer of cap due to servicing transfer
8,723,102 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
8,723,086 reallocation
9,122,933 Transfer of cap due to servicing transfer
91
Servicer Modifying Borrowers' Loans
Name of Institution
Date
9/23/2009
City
Schools Financial Credit Union
Sacramento
State
Transaction
Type
CA
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
$
390,000
Adjustment Details
Pricing
Mechanism
N/A
1001045
1001045
1001045
1001045
1001045
1001045
1001045
9/23/2009
Glass City Federal Credit Union
Maumee
OH
Purchase
Financial Instrument for Home Loan Modifications
$
230,000
N/A
10716
10716
10716
10716
10716
9/23/2009
Central Jersey Federal Credit Union
Woodbridge
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
30,000
N/A
10149
10149
10149
10149
10149
9/23/2009
Yadkin Valley Bank
Elkin
NC
Purchase
Financial Instrument for Home Loan Modifications
$
240,000
N/A
1001000
1001000
1001000
1001000
1001000
1001000
9/25/2009
SEFCU
Albany
NY
Purchase
Financial Instrument for Home Loan Modifications
$
440,000
N/A
1000924
1000924
1000924
1000924
1000924
1000924
10/14/2009
Great Lakes Credit Union
North Chicago
1001122
1001122
1001122
IL
Purchase
Financial Instrument for Home Loan Modifications
$
570,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
10/2/2009
$
90,000 $
12/30/2009
$
940,000 $
480,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
1,420,000 cap
3/26/2010
$
(980,000) $
7/14/2010
$
(140,000) $
300,000 Updated portfolio data from servicer
9/30/2010
$
1,150,556 $
1,450,556 Updated portfolio data from servicer
1/6/2011
$
(2) $
3/30/2011
$
(2) $
6/29/2011
$
(22) $
10/2/2009
$
60,000 $
12/30/2009
$
(10,000) $
3/26/2010
$
130,000 $
410,000 Updated portfolio data from servicer
7/14/2010
$
(110,000) $
300,000 Updated portfolio data from servicer
9/30/2010
$
(9,889) $
6/29/2011
$
(3) $
10/2/2009
$
10,000 $
12/30/2009
$
120,000 $
3/26/2010
$
10,000 $
170,000 Updated portfolio data from servicer
7/14/2010
$
(70,000) $
100,000 Updated portfolio data from servicer
145,056 Updated portfolio data from servicer
440,000 Updated portfolio data from servicer
1,450,554 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,552 reallocation
Updated due to quarterly assessment and
1,450,530 reallocation
290,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
280,000 cap
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
290,108 reallocation
40,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
160,000 cap
9/30/2010
$
45,056 $
10/29/2010
$
(145,056) $
10/2/2009
$
60,000 $
12/30/2009
$
350,000 $
3/26/2010
$
1,360,000 $
2,010,000 Updated portfolio data from servicer
7/14/2010
$
(1,810,000) $
200,000 Updated portfolio data from servicer
9/30/2010
$
235,167 $
435,167 Updated portfolio data from servicer
1/6/2011
$
(1) $
6/29/2011
$
(4) $
- Termination of SPA
300,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
650,000 cap
435,166 Updated portfolio data from servicer
Updated due to quarterly assessment and
435,162 reallocation
10/2/2009
$
100,000 $
12/30/2009
$
20,000 $
540,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
560,000 cap
3/26/2010
$
(290,000) $
270,000 Updated portfolio data from servicer
7/14/2010
$
(70,000) $
200,000 Updated portfolio data from servicer
9/30/2010
$
(54,944) $
6/29/2011
$
(1) $
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
4/11/2012
$
(145,055) $
12/30/2009
$
1,030,000 $
- Termination of SPA
Updated portfolio data from servicer & HAFA initial
1,600,000 cap
3/26/2010
$
(880,000) $
720,000 Updated portfolio data from servicer
7/14/2010
$
(320,000) $
400,000 Updated portfolio data from servicer
9/30/2010
$
180,222 $
580,222 Updated portfolio data from servicer
92
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
1001122
1001122
1001122
10/14/2009
Mortgage Clearing Corporation
Tulsa
OK
Purchase
Financial Instrument for Home Loan Modifications
$
4,860,000
N/A
1001180
1001180
1001180
1001180
10/21/2009
United Bank Mortgage Corporation
Grand Rapids
MI
Purchase
Financial Instrument for Home Loan Modifications
$
410,000
N/A
1000073
1000073
1000073
1000073
1000073
1000073
10/23/2009
Bank United
Miami Lakes
FL
Purchase
Financial Instrument for Home Loan Modifications
$
93,660,000
N/A
10048
10048
10048
10048
10048
10048
10048
10048
10/23/2009
IC Federal Credit Union
Fitchburg
MA
Purchase
Financial Instrument for Home Loan Modifications
$
760,000
N/A
1000740
1000740
1000740
1000740
1000740
1000740
1000740
10/28/2009
Harleysville National Bank & Trust Company
Harleysville
PA
Purchase
Financial Instrument for Home Loan Modifications
$
1,070,000
N/A
10/28/2009
Members Mortgage Company, Inc
Woburn
MA
Purchase
Financial Instrument for Home Loan Modifications
$
510,000
N/A
10/30/2009
DuPage Credit Union
Naperville
IL
Purchase
Financial Instrument for Home Loan Modifications
$
70,000
N/A
1000585
1000585
1000585
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
1/6/2011
$
(1) $
3/30/2011
$
(1) $
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
Updated portfolio data from servicer & HAFA initial
1,960,000 cap
6/29/2011
$
(8) $
12/30/2009
$
(2,900,000) $
3/26/2010
$
(1,600,000) $
360,000 Updated portfolio data from servicer
7/14/2010
$
(260,000) $
100,000 Updated portfolio data from servicer
9/30/2010
$
45,056 $
145,056 Updated portfolio data from servicer
3/9/2011
$
(145,056) $
1/22/2010
$
20,000 $
430,000 Updated HPDP cap & HAFA initial cap
3/26/2010
$
400,000 $
830,000 Updated portfolio data from servicer
7/14/2010
$
(430,000) $
400,000 Updated portfolio data from servicer
9/30/2010
$
180,222 $
580,222 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(5) $
1/22/2010
$
4,370,000 $
3/26/2010
$
23,880,000 $
121,910,000 Updated portfolio data from servicer
- Termination of SPA
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,215 reallocation
98,030,000 Updated HPDP cap & HAFA initial cap
7/14/2010
$
(16,610,000) $
105,300,000 Updated portfolio data from servicer
9/30/2010
$
1,751,033 $
107,051,033 Updated portfolio data from servicer
1/6/2011
$
(77) $
107,050,956 Updated portfolio data from servicer
3/16/2011
$
(9,900,000) $
3/30/2011
$
(88) $
6/29/2011
$
(773) $
3/15/2012
$
(1,400,000) $
1/22/2010
$
40,000 $
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
95,750,095 Transfer of cap due to servicing transfer
800,000 Updated HPDP cap & HAFA initial cap
3/26/2010
$
(760,000) $
40,000 Updated portfolio data from servicer
5/12/2010
$
2,630,000 $
2,670,000 Updated portfolio data from servicer
7/14/2010
$
(770,000) $
1,900,000 Updated portfolio data from servicer
9/30/2010
$
565,945 $
1/6/2011
$
(4) $
3/30/2011
$
(4) $
6/29/2011
$
(40) $
4/21/2010
$
(1,070,000) $
- Termination of SPA
4/21/2010
$
(510,000) $
- Termination of SPA
2,465,945 Updated portfolio data from servicer
2,465,941 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,465,937 reallocation
Updated due to quarterly assessment and
2,465,897 reallocation
1/22/2010
$
10,000 $
3/26/2010
$
10,000 $
90,000 Updated portfolio data from servicer
80,000 Updated HPDP cap & HAFA initial cap
7/14/2010
$
10,000 $
100,000 Updated portfolio data from servicer
9/30/2010
$
45,056 $
145,056 Updated portfolio data from servicer
93
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
1000585
11/6/2009
Los Alamos National Bank
Los Alamos
NM
Purchase
Financial Instrument for Home Loan Modifications
$
700,000
N/A
1000676
1000676
1000676
1000676
1000676
1000676
11/18/2009
Quantum Servicing Corporation
Tampa
FL
Purchase
Financial Instrument for Home Loan Modifications
$
18,960,000
N/A
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
11/18/2009
Hillsdale County National Bank
Hillsdale
MI
Purchase
Financial Instrument for Home Loan Modifications
$
1,670,000
N/A
1000443
1000443
1000443
1000443
1000443
1000443
11/18/2009
QLending, Inc.
Coral Gables
FL
Purchase
Financial Instrument for Home Loan Modifications
$
20,000
N/A
1001304
1001304
1001304
1001304
11/25/2009
Marix Servicing, LLC
Phoenix
10412
AZ
Purchase
Financial Instrument for Home Loan Modifications
$
20,360,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
Updated due to quarterly assessment and
145,055 reallocation
6/29/2011
$
(1) $
1/22/2010
$
40,000 $
3/26/2010
$
50,000 $
790,000 Updated portfolio data from servicer
7/14/2010
$
1,310,000 $
2,100,000 Updated portfolio data from servicer
9/30/2010
$
75,834 $
2,175,834 Updated portfolio data from servicer
1/6/2011
$
(3) $
3/30/2011
$
(4) $
6/29/2011
$
(35) $
740,000 Updated HPDP cap & HAFA initial cap
2,175,831 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,175,827 reallocation
Updated due to quarterly assessment and
2,175,792 reallocation
1/22/2010
$
890,000 $
3/26/2010
$
3,840,000 $
23,690,000 Updated portfolio data from servicer
7/14/2010
$
(2,890,000) $
20,800,000 Updated portfolio data from servicer
9/30/2010
$
9,661,676 $
30,461,676 Updated portfolio data from servicer
1/6/2011
$
(46) $
1/13/2011
$
1,600,000 $
32,061,630 Transfer of cap due to servicing transfer
2/16/2011
$
1,400,000 $
3/30/2011
$
(58) $
33,461,630 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
33,461,572 reallocation
4/13/2011
$
100,000 $
33,561,572 Transfer of cap due to servicing transfer
5/13/2011
$
100,000 $
33,661,572 Transfer of cap due to servicing transfer
6/16/2011
$
800,000 $
6/29/2011
$
(559) $
34,461,572 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
34,461,013 reallocation
7/14/2011
$
300,000 $
34,761,013 Transfer of cap due to servicing transfer
8/16/2011
$
200,000 $
34,961,013 Transfer of cap due to servicing transfer
9/15/2011
$
100,000 $
35,061,013 Transfer of cap due to servicing transfer
1/13/2012
$
100,000 $
35,161,013 Transfer of cap due to servicing transfer
1/22/2010
$
80,000 $
1,750,000 Updated HPDP cap & HAFA initial cap
3/26/2010
$
330,000 $
2,080,000 Updated portfolio data from servicer
7/14/2010
$
(1,080,000) $
1,000,000 Updated portfolio data from servicer
9/30/2010
$
160,445 $
1,160,445 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(2) $
6/29/2011
$
(16) $
19,850,000 Updated HPDP cap & HAFA initial cap
30,461,630 Updated portfolio data from servicer
1,160,444 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,160,442 reallocation
Updated due to quarterly assessment and
1,160,426 reallocation
1/22/2010
$
- $
3/26/2010
$
(10,000) $
10,000 Updated portfolio data from servicer
20,000 Updated HPDP cap & HAFA initial cap
7/14/2010
$
90,000 $
100,000 Updated portfolio data from servicer
9/30/2010
$
45,056 $
6/29/2011
$
(1) $
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) $
21,310,000 Updated HPDP cap & HAFA initial cap
3,430,000 Updated portfolio data from servicer
94
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
Note
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
11/25/2009
Home Financing Center, Inc
Coral Gables
FL
Purchase
Financial Instrument for Home Loan Modifications
$
230,000
N/A
11/25/2009
First Keystone Bank
Media
PA
Purchase
Financial Instrument for Home Loan Modifications
$
1,280,000
N/A
10519
10519
10519
10519
10519
10519
10519
10519
12/4/2009
Community Bank & Trust Company
12
Clarks Summit
PA
Purchase
Financial Instrument for Home Loan Modifications
$
380,000
N/A
1000978
1000978
1000978
1000978
12/4/2009
Idaho Housing and Finance Association
Boise
10223
10223
10223
10223
10223
ID
Purchase
Financial Instrument for Home Loan Modifications
$
9,430,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
6/16/2010
$
1,030,000 $
Transfer of cap from CitiMortgage, Inc. due to
4,460,000 servicing transfer
7/14/2010
$
(1,160,000) $
3,300,000 Updated portfolio data from servicer
8/13/2010
$
800,000 $
9/30/2010
$
200,000 $
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
$
5,700,000 $
3/30/2011
$
(6) $
4/13/2011
$
7,300,000 $
18,657,161 Transfer of cap due to servicing transfer
5/13/2011
$
300,000 $
18,957,161 Transfer of cap due to servicing transfer
6/16/2011
$
900,000 $
6/29/2011
$
(154) $
19,857,161 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
19,857,007 reallocation
7/14/2011
$
100,000 $
8/16/2011
$
300,000 $
20,257,007 Transfer of cap due to servicing transfer
1/13/2012
$
(1,500,000) $
18,757,007 Transfer of cap due to servicing transfer
2/16/2012
$
(2,100,000) $
16,657,007 Transfer of cap due to servicing transfer
4/16/2012
$
(1,300,000) $
15,357,007 Transfer of cap due to servicing transfer
4,100,000 Transfer of cap due to servicing transfer
4,300,000 Initial FHA-HAMP cap and initial RD-HAMP
11,357,167 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
11,357,161 reallocation
19,957,007 Transfer of cap due to servicing transfer
4/21/2010
$
(230,000) $
1/22/2010
$
50,000 $
- Termination of SPA
3/26/2010
$
1,020,000 $
2,350,000 Updated portfolio data from servicer
7/14/2010
$
(950,000) $
1,400,000 Updated portfolio data from servicer
9/30/2010
$
50,556 $
1/6/2011
$
(2) $
3/30/2011
$
(2) $
6/16/2011
$
(100,000) $
6/29/2011
$
(21) $
7/22/2011
$
(1,335,614) $
1/22/2010
$
10,000 $
390,000 Updated HPDP cap & HAFA initial cap
3/26/2010
$
520,000 $
910,000 Updated portfolio data from servicer
7/14/2010
$
(810,000) $
100,000 Updated portfolio data from servicer
9/30/2010
$
45,056 $
6/29/2011
$
(1) $
1/22/2010
$
440,000 $
3/26/2010
$
14,480,000 $
1,330,000 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
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
24,350,000 Updated portfolio data from servicer
5/26/2010
$
(24,200,000) $
150,000 Updated portfolio data from servicer
7/14/2010
$
150,000 $
300,000 Updated portfolio data from servicer
9/30/2010
$
(9,889) $
6/29/2011
$
(3) $
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
290,108 reallocation
95
Servicer Modifying Borrowers' Loans
Date
12/9/2009
Name of Institution
City
Spirit of Alaska Federal Credit Union
Fairbanks
State
Transaction
Type
AK
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
$
360,000
Adjustment Details
Pricing
Mechanism
N/A
1000475
1000475
1000475
1000475
1000475
1000475
12/9/2009
American Eagle Federal Credit Union
East Hartford
CT
Purchase
Financial Instrument for Home Loan Modifications
$
1,590,000
N/A
1001228
1001228
1001228
1001228
1001228
1001228
1001228
12/9/2009
Silver State Schools Credit Union
Las Vegas
NV
Purchase
Financial Instrument for Home Loan Modifications
$
1,880,000
N/A
1001075
1001075
1001075
1001075
1001075
1001075
12/9/2009
Fidelity Homestead Savings Bank
New Orleans
LA
Purchase
Financial Instrument for Home Loan Modifications
$
2,940,000
N/A
1001269
1001269
1001269
1001269
1001269
1001269
12/9/2009
Bay Gulf Credit Union
Tampa
FL
Purchase
Financial Instrument for Home Loan Modifications
$
230,000
N/A
10141
10141
10141
10141
12/9/2009
The Golden 1 Credit Union
Sacramento
1001226
1001226
1001226
CA
Purchase
Financial Instrument for Home Loan Modifications
$
6,160,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
1/22/2010
$
10,000 $
3/26/2010
$
850,000 $
1,220,000 Updated portfolio data from servicer
370,000 Updated HPDP cap & HAFA initial cap
7/14/2010
$
(120,000) $
1,100,000 Updated portfolio data from servicer
9/30/2010
$
100,000 $
1,200,000 Initial FHA-HAMP cap
9/30/2010
$
105,500 $
1,305,500 Updated portfolio data from servicer
1,305,498 Updated portfolio data from servicer
1/6/2011
$
(2) $
2/17/2011
$
(1,305,498) $
1/22/2010
$
70,000 $
3/26/2010
$
(290,000) $
1,370,000 Updated portfolio data from servicer
7/14/2010
$
(570,000) $
800,000 Updated portfolio data from servicer
9/30/2010
$
70,334 $
870,334 Updated portfolio data from servicer
- Termination of SPA
1,660,000 Updated HPDP cap & HAFA initial cap
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(13) $
1/25/2012
$
(870,319) $
1/22/2010
$
90,000 $
3/26/2010
$
1,110,000 $
3,080,000 Updated portfolio data from servicer
7/14/2010
$
(1,180,000) $
1,900,000 Updated portfolio data from servicer
9/30/2010
$
275,834 $
2,175,834 Updated portfolio data from servicer
1/6/2011
$
(2) $
3/30/2011
$
(3) $
6/29/2011
$
(26) $
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
- Termination of SPA
1,970,000 Updated HPDP cap & HAFA initial cap
2,175,832 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,175,829 reallocation
Updated due to quarterly assessment and
2,175,803 reallocation
1/22/2010
$
140,000 $
3/26/2010
$
6,300,000 $
3,080,000 Updated HPDP cap & HAFA initial cap
9,380,000 Updated portfolio data from servicer
7/14/2010
$
(1,980,000) $
7,400,000 Updated portfolio data from servicer
9/30/2010
$
(6,384,611) $
1/6/2011
$
(1) $
3/30/2011
$
(2) $
6/29/2011
$
(16) $
1/22/2010
$
10,000 $
240,000 Updated HPDP cap & HAFA initial cap
1,015,389 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
3/26/2010
$
440,000 $
680,000 Updated portfolio data from servicer
7/14/2010
$
(80,000) $
600,000 Updated portfolio data from servicer
9/30/2010
$
(19,778) $
580,222 Updated portfolio data from servicer
10/15/2010
$
(580,222) $
1/22/2010
$
290,000 $
3/26/2010
$
40,000 $
6,490,000 Updated portfolio data from servicer
7/14/2010
$
(2,890,000) $
3,600,000 Updated portfolio data from servicer
9/30/2010
$
606,612 $
4,206,612 Updated portfolio data from servicer
- Termination of SPA
6,450,000 Updated HPDP cap & HAFA initial cap
96
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
Note
1001226
1001226
1001226
12/9/2009
Sterling Savings Bank
Spokane
WA
Purchase
Financial Instrument for Home Loan Modifications
$
2,250,000
N/A
1000638
1000638
1000638
1000638
1000638
1000638
12/11/2009
HomeStar Bank & Financial Services
Manteno
IL
Purchase
Financial Instrument for Home Loan Modifications
$
310,000
N/A
10125
10125
10125
10125
10125
10125
12/11/2009
Glenview State Bank
Glenview
IL
Purchase
Financial Instrument for Home Loan Modifications
$
370,000
N/A
1000558
1000558
12/11/2009
Verity Credit Union
Seattle
WA
Purchase
Financial Instrument for Home Loan Modifications
$
600,000
N/A
10139
10139
10139
10139
10139
12/11/2009
Hartford Savings Bank
Hartford
WI
Purchase
Financial Instrument for Home Loan Modifications
$
630,000
N/A
1000753
1000753
1000753
1000753
1000753
1000753
12/11/2009
The Bryn Mawr Trust Co.
Bryn Mawr
PA
Purchase
Financial Instrument for Home Loan Modifications
$
150,000
N/A
1000631
12/16/2009
Citizens 1st National Bank
9
Spring Valley
1000438
1000438
IL
Purchase
Financial Instrument for Home Loan Modifications
$
620,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
1/6/2011
$
(4) $
3/30/2011
$
(4) $
6/29/2011
$
(35) $
Reason for Adjustment
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
1/22/2010
$
100,000 $
2,350,000 Updated HPDP cap & HAFA initial cap
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
9/30/2010
$
550,556 $
1,450,556 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(11) $
1/22/2010
$
20,000 $
3/26/2010
$
820,000 $
1,150,000 Updated portfolio data from servicer
7/14/2010
$
(350,000) $
800,000 Updated portfolio data from servicer
9/30/2010
$
70,334 $
870,334 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(13) $
1,450,555 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,554 reallocation
Updated due to quarterly assessment and
1,450,543 reallocation
330,000 Updated HPDP cap & HAFA initial cap
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,319 reallocation
1/22/2010
$
20,000 $
3/26/2010
$
1,250,000 $
390,000 Updated HPDP cap & HAFA initial cap
5/26/2010
$
(1,640,000) $
1/22/2010
$
30,000 $
3/26/2010
$
400,000 $
1,030,000 Updated portfolio data from servicer
1,640,000 Updated portfolio data from servicer
- Termination of SPA
630,000 Updated HPDP cap & HAFA initial cap
7/14/2010
$
(330,000) $
700,000 Updated portfolio data from servicer
9/30/2010
$
25,278 $
725,278 Updated portfolio data from servicer
1/6/2011
$
(1) $
725,277 Updated portfolio data from servicer
2/17/2011
$
(725,277) $
1/22/2010
$
30,000 $
3/26/2010
$
800,000 $
1,460,000 Updated portfolio data from servicer
7/14/2010
$
(360,000) $
1,100,000 Updated portfolio data from servicer
9/30/2010
$
60,445 $
1,160,445 Updated portfolio data from servicer
- Termination of SPA
660,000 Updated HPDP cap & HAFA initial cap
1/6/2011
$
(2) $
3/30/2011
$
(2) $
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
6/29/2011
$
(18) $
4/21/2010
$
(150,000) $
6/16/2011
$
100,000 $
1/22/2010
$
30,000 $
3/26/2010
$
(580,000) $
70,000 Updated portfolio data from servicer
7/14/2010
$
1,430,000 $
1,500,000 Updated portfolio data from servicer
- Termination of SPA
100,000 Transfer of cap due to servicing transfer
650,000 Updated HPDP cap & HAFA initial cap
97
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
Note
1000438
1000438
1000438
1000438
12/16/2009
Golden Plains Credit Union
Garden City
KS
Purchase
Financial Instrument for Home Loan Modifications
$
170,000
N/A
1001397
1001397
1001397
1001397
12/16/2009
First Federal Savings and Loan Association of Lakewood
12/16/2009
Sound Community Bank
Lakewood
OH
Purchase
Financial Instrument for Home Loan Modifications
$
3,460,000
N/A
Seattle
WA
Purchase
Financial Instrument for Home Loan Modifications
$
440,000
N/A
1000828
10524
10524
10524
12/16/2009
Horizon Bank, NA
Michigan City
IN
Purchase
Financial Instrument for Home Loan Modifications
$
700,000
N/A
1000825
1000825
1000825
1000825
1000825
1000825
12/16/2009
Park View Federal Savings Bank
Solon
OH
Purchase
Financial Instrument for Home Loan Modifications
$
760,000
N/A
10025
10025
10025
10025
10025
10025
12/23/2009
Iberiabank
Sarasota
FL
Purchase
Financial Instrument for Home Loan Modifications
$
4,230,000
N/A
1001411
1001411
1001411
1001411
1001411
1001411
1001411
12/23/2009
Grafton Suburban Credit Union
12
North Grafton
MA
Purchase
Financial Instrument for Home Loan Modifications
$
340,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
9/30/2010
$
95,612 $
1/6/2011
$
(2) $
1,595,612 Updated portfolio data from servicer
3/30/2011
$
(3) $
6/29/2011
$
(24) $
1/22/2010
$
10,000 $
3/26/2010
$
30,000 $
210,000 Updated portfolio data from servicer
7/14/2010
$
(10,000) $
200,000 Updated portfolio data from servicer
9/30/2010
$
90,111 $
290,111 Updated portfolio data from servicer
2/17/2011
$
(290,111) $
1/22/2010
$
160,000 $
4/21/2010
$
(3,620,000) $
1,595,610 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,595,607 reallocation
Updated due to quarterly assessment and
1,595,583 reallocation
180,000 Updated HPDP cap & HAFA initial cap
- Termination of SPA
3,620,000 Updated HPDP cap & HAFA initial cap
- Termination of SPA
1/22/2010
$
20,000 $
3/26/2010
$
1,430,000 $
1,890,000 Updated portfolio data from servicer
7/14/2010
$
(390,000) $
1,500,000 Updated portfolio data from servicer
9/8/2010
$
(1,500,000) $
1/22/2010
$
30,000 $
3/26/2010
$
1,740,000 $
7/14/2010
$
(1,870,000) $
600,000 Updated portfolio data from servicer
9/30/2010
$
850,556 $
1,450,556 Updated portfolio data from servicer
1/6/2011
$
(2) $
3/30/2011
$
(2) $
6/29/2011
$
(23) $
460,000 Updated HPDP cap & HAFA initial cap
- Termination of SPA
730,000 Updated HPDP cap & HAFA initial cap
2,470,000 Updated portfolio data from servicer
1,450,554 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,552 reallocation
Updated due to quarterly assessment and
1,450,529 reallocation
1/22/2010
$
40,000 $
800,000 Updated HPDP cap & HAFA initial cap
3/26/2010
$
140,000 $
940,000 Updated portfolio data from servicer
7/14/2010
$
(140,000) $
800,000 Updated portfolio data from servicer
9/30/2010
$
70,334 $
870,334 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(12) $
1/22/2010
$
200,000 $
3/26/2010
$
(1,470,000) $
2,960,000 Updated portfolio data from servicer
7/14/2010
$
(1,560,000) $
1,400,000 Updated portfolio data from servicer
9/30/2010
$
5,852,780 $
7,252,780 Updated portfolio data from servicer
1/6/2011
$
(11) $
3/30/2011
$
(13) $
4/13/2011
$
(300,000) $
6/3/2011
$
(6,927,254) $
1/22/2010
$
20,000 $
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,320 reallocation
4,430,000 Updated HPDP cap & HAFA initial cap
7,252,769 Updated portfolio data from servicer
Updated due to quarterly assessment and
7,252,756 reallocation
6,952,756 Transfer of cap due to servicing transfer
25,502 Termination of SPA
360,000 Updated HPDP cap & HAFA initial cap
98
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
1001192
1001192
1001192
1001192
1001192
1001192
1001192
12/23/2009
Eaton National Bank & Trust Company
Eaton
OH
Purchase
Financial Instrument for Home Loan Modifications
$
60,000
N/A
1001078
1001078
1001078
1001078
12/23/2009
Tempe Schools Credit Union
Tempe
AZ
Purchase
Financial Instrument for Home Loan Modifications
$
110,000
N/A
1000703
1000703
1000703
1000703
1/13/2010
Fresno County Federal Credit Union
Fresno
CA
Purchase
Financial Instrument for Home Loan Modifications
$
260,000
N/A
10507
10507
10507
10507
10507
1/13/2010
Roebling Bank
Roebling
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
240,000
N/A
1001235
1001235
1001235
1001235
1/13/2010
First National Bank of Grant Park
Grant Park
IL
Purchase
Financial Instrument for Home Loan Modifications
$
140,000
N/A
1000901
1000901
1000901
1/13/2010
Specialized Loan Servicing, LLC
Highlands Ranch
1000635
1000635
1000635
1000635
1000635
CO
Purchase
Financial Instrument for Home Loan Modifications
$
64,150,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
3/26/2010
$
(320,000) $
40,000 Updated portfolio data from servicer
7/14/2010
$
760,000 $
800,000 Updated portfolio data from servicer
9/30/2010
$
(74,722) $
725,278 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(11) $
1/25/2012
$
(725,265) $
1/22/2010
$
- $
3/26/2010
$
90,000 $
150,000 Updated portfolio data from servicer
7/14/2010
$
50,000 $
200,000 Updated portfolio data from servicer
9/30/2010
$
(54,944) $
145,056 Updated portfolio data from servicer
5/20/2011
$
(145,056) $
1/22/2010
$
- $
3/26/2010
$
(20,000) $
90,000 Updated portfolio data from servicer
7/14/2010
$
10,000 $
100,000 Updated portfolio data from servicer
9/30/2010
$
45,056 $
145,056 Updated portfolio data from servicer
12/8/2010
$
(145,056) $
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
- Termination of SPA
60,000 Updated HPDP cap & HAFA initial cap
- Termination of SPA
110,000 Updated HPDP cap & HAFA initial cap
- Termination of SPA
3/26/2010
$
480,000 $
740,000 Updated portfolio data from servicer
7/14/2010
$
(140,000) $
600,000 Updated portfolio data from servicer
9/30/2010
$
(19,778) $
580,222 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(8) $
3/26/2010
$
610,000 $
850,000 Updated portfolio data from servicer
7/14/2010
$
50,000 $
900,000 Updated portfolio data from servicer
9/30/2010
$
(29,666) $
870,334 Updated portfolio data from servicer
1/6/2011
$
(1) $
870,333 Updated portfolio data from servicer
3/23/2011
$
(870,333) $
3/26/2010
$
150,000 $
290,000 Updated portfolio data from servicer
7/14/2010
$
10,000 $
300,000 Updated portfolio data from servicer
9/30/2010
$
(9,889) $
290,111 Updated portfolio data from servicer
1/26/2011
$
(290,111) $
3/26/2010
$
(51,240,000) $
5/14/2010
$
3,000,000 $
6/16/2010
$
4,860,000 $
7/14/2010
$
3,630,000 $
7/16/2010
$
330,000 $
24,400,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
24,730,000 servicing transfer
8/13/2010
$
700,000 $
25,430,000 Transfer of cap due to servicing transfer
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
- Termination of SPA
12,910,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
15,910,000 servicing transfer
Transfer of cap from CitiMortgage, Inc. due to
20,770,000 servicing transfer
99
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
9/15/2010
$
200,000 $
9/30/2010
$
(1,695,826) $
11/16/2010
$
200,000 $
Reason for Adjustment
25,630,000 Transfer of cap due to servicing transfer
23,934,174 Updated portfolio data from servicer
24,134,174 Transfer of cap due to servicing transfer
1/6/2011
$
(32) $
1/13/2011
$
1,500,000 $
25,634,142 Transfer of cap due to servicing transfer
24,134,142 Updated portfolio data from servicer
3/16/2011
$
7,100,000 $
3/30/2011
$
(36) $
32,734,142 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
32,734,106 reallocation
4/13/2011
$
1,000,000 $
33,734,106 Transfer of cap due to servicing transfer
100
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1/13/2010
Greater Nevada Mortgage Services
Carson City
NV
Purchase
Financial Instrument for Home Loan Modifications
$
770,000
N/A
10517
10517
10517
10517
10517
1/15/2010
Digital Federal Credit Union
Marlborough
MA
Purchase
Financial Instrument for Home Loan Modifications
$
3,050,000
N/A
10416
1/29/2010
iServe Residential Lending, LLC
San Diego
CA
Purchase
Financial Instrument for Home Loan Modifications
$
960,000
N/A
1001415
1001415
1001415
1001415
1001415
1001415
1001415
1/29/2010
United Bank
Griffin
GA
Purchase
Financial Instrument for Home Loan Modifications
$
540,000
N/A
1000893
1000893
1000893
1000893
3/3/2010
Urban Trust Bank
Lake Mary
FL
Purchase
Financial Instrument for Home Loan Modifications
$
1,060,000
N/A
Irving
TX
Purchase
Financial Instrument for Home Loan Modifications
$
28,040,000
N/A
1001435
3/5/2010
iServe Servicing, Inc.
1001384
1001384
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
5/13/2011
$
100,000 $
33,834,106 Transfer of cap due to servicing transfer
6/16/2011
$
300,000 $
6/29/2011
$
(332) $
34,134,106 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
34,133,774 reallocation
8/16/2011
$
100,000 $
9/15/2011
$
300,000 $
34,533,774 Transfer of cap due to servicing transfer
10/14/2011
$
300,000 $
34,833,774 Transfer of cap due to servicing transfer
12/15/2011
$
(1,700,000) $
33,133,774 Transfer of cap due to servicing transfer
1/13/2012
$
1,600,000 $
34,733,774 Transfer of cap due to servicing transfer
2/16/2012
$
100,000 $
34,833,774 Transfer of cap due to servicing transfer
3/15/2012
$
100,000 $
34,933,774 Transfer of cap due to servicing transfer
4/16/2012
$
77,600,000 $
112,533,774 Transfer of cap due to servicing transfer
5/16/2012
$
40,000 $
112,573,774 Transfer of cap due to servicing transfer
34,233,774 Transfer of cap due to servicing transfer
3/26/2010
$
8,680,000 $
9,450,000 Updated portfolio data from servicer
7/14/2010
$
(8,750,000) $
700,000 Updated portfolio data from servicer
9/30/2010
$
170,334 $
870,334 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(8) $
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
3/26/2010
$
12,190,000 $
5/14/2010
$
(15,240,000) $
15,240,000 Updated portfolio data from servicer
3/26/2010
$
(730,000) $
230,000 Updated portfolio data from servicer
7/14/2010
$
370,000 $
600,000 Updated portfolio data from servicer
9/30/2010
$
200,000 $
800,000 Initial FHA-HAMP cap and initial 2MP cap
- Termination of SPA
9/30/2010
$
(364,833) $
435,167 Updated portfolio data from servicer
11/16/2010
$
100,000 $
535,167 Transfer of cap due to servicing transfer
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(7) $
3/26/2010
$
160,000 $
700,000 Updated portfolio data from servicer
9/30/2010
$
25,278 $
725,278 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(11) $
7/14/2010
$
4,440,000 $
9/24/2010
$
(5,500,000) $
5/26/2010
$
120,000 $
7/14/2010
$
(12,660,000) $
9/30/2010
$
100,000 $
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
101
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
1001384
1001384
1001384
1001384
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
9/30/2010
$
(3,125,218) $
11/16/2010
$
800,000 $
1/6/2011
$
(20) $
3/30/2011
$
(24) $
Reason for Adjustment
12,474,782 Updated portfolio data from servicer
13,274,782 Transfer of cap due to servicing transfer
13,274,762 Updated portfolio data from servicer
Updated due to quarterly assessment and
13,274,738 reallocation
102
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
Note
1001384
3/10/2010
Navy Federal Credit Union
Vienna
VA
Purchase
Financial Instrument for Home Loan Modifications
$
60,780,000
N/A
1000494
1000494
1000494
1000494
3/10/2010
Vist Financial Corp
Wyomissing
PA
Purchase
Financial Instrument for Home Loan Modifications
$
300,000
N/A
1000468
1000468
1000468
1000468
4/14/2010
Midwest Bank and Trust Co.
Elmwood Park
IL
Purchase
Financial Instrument for Home Loan Modifications
$
300,000
N/A
1001521
1001521
1001521
1001521
1001521
4/14/2010
Wealthbridge Mortgage Corp
Beaverton
OR
Purchase
Financial Instrument for Home Loan Modifications
$
6,550,000
N/A
1000657
1000657
1000657
1000657
1000657
1000657
5/21/2010
Aurora Financial Group, Inc.
Marlton
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
10,000
N/A
4, 8
10425
10425
6/16/2010
Selene Finance LP
Houston
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
TX
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
Updated due to quarterly assessment and
13,274,517 reallocation
6/29/2011
$
(221) $
7/14/2010
$
(44,880,000) $
15,900,000 Updated portfolio data from servicer
9/30/2010
$
1,071,505 $
16,971,505 Updated portfolio data from servicer
1/6/2011
$
(23) $
3/30/2011
$
(26) $
6/29/2011
$
(238) $
7/14/2010
$
400,000 $
700,000 Updated portfolio data from servicer
9/30/2010
$
25,278 $
725,278 Updated portfolio data from servicer
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
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(11) $
7/14/2010
$
300,000 $
600,000 Updated portfolio data from servicer
9/30/2010
$
(19,778) $
580,222 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(8) $
7/14/2011
$
(580,212) $
7/14/2010
$
(150,000) $
9/15/2010
$
1,600,000 $
8,000,000 Transfer of cap due to servicing transfer
9/30/2010
$
(4,352,173) $
3,647,827 Updated portfolio data from servicer
1/6/2011
$
(5) $
3/30/2011
$
(6) $
4/13/2011
$
(3,000,000) $
6/29/2011
$
(9) $
5/26/2010
$
30,000 $
9/30/2010
$
250,111 $
6/29/2011
$
59,889 $
6/16/2010
$
3,680,000 $
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
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
- Termination of SPA
6,400,000 Updated portfolio data from servicer
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
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 $
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
$
(17) $
3/16/2011
$
2,100,000 $
3/30/2011
$
(24) $
4/13/2011
$
2,900,000 $
6/16/2011
$
(200,000) $
6/29/2011
$
(273) $
10/14/2011
$
100,000 $
6,980,000 Transfer of cap due to servicing transfer
11,423,814 Updated portfolio data from servicer
13,523,814 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
13,523,790 reallocation
16,423,790 Transfer of cap due to servicing transfer
16,223,790 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
16,223,517 reallocation
16,323,517 Transfer of cap due to servicing transfer
103
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
Note
1001460
1001460
1001460
8/4/2010
Suburban Mortgage Company of New Mexico
Albuquerque
NM
Purchase
Financial Instrument for Home Loan Modifications
$
880,000
N/A
1000602
1000602
1000602
8/20/2010
Bramble Savings Bank
Cincinanati
OH
Purchase
Financial Instrument for Home Loan Modifications
$
700,000
N/A
1001708
1001708
1001708
1001708
8/25/2010
Pathfinder Bank
Oswego
NY
Purchase
Financial Instrument for Home Loan Modifications
$
1,300,000
N/A
1001240
1001240
1001240
8/27/2010
First Financial Bank, N.A.
Terre Haute
ID
Purchase
Financial Instrument for Home Loan Modifications
$
4,300,000
N/A
1000951
1000951
1000951
9/1/2010
RBC Bank (USA)
Raleigh
NC
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1001421
1001421
1001421
1001421
9/3/2010
Fay Servicing, LLC
Chicago
IL
Purchase
Financial Instrument for Home Loan Modifications
$
3,100,000
N/A
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
9/15/2010
Vericrest Financial, Inc.
Oklahoma City
1001557
OK
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
11/16/2011
$
1,100,000 $
17,423,517 Transfer of cap due to servicing transfer
4/16/2012
$
200,000 $
17,623,517 Transfer of cap due to servicing transfer
5/16/2012
$
10,000 $
17,633,517 Transfer of cap due to servicing transfer
9/30/2010
$
1,585,945 $
1/6/2011
$
(4) $
3/30/2011
$
(4) $
6/29/2011
$
(40) $
9/30/2010
$
1,040,667 $
1/6/2011
$
(2) $
3/30/2011
$
(3) $
6/29/2011
$
(28) $
8/10/2011
$
(1,740,634) $
9/30/2010
$
2,181,334 $
2,465,945 Updated portfolio data from servicer
2,465,941 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,465,937 reallocation
Updated due to quarterly assessment and
2,465,897 reallocation
1,740,667 Updated portfolio data from servicer
1,740,665 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,740,662 reallocation
Updated due to quarterly assessment and
1,740,634 reallocation
- Termination of SPA
3,481,334 Updated portfolio data from servicer
1/6/2011
$
(5) $
3/30/2011
$
(6) $
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
6/29/2011
$
(58) $
9/30/2010
$
7,014,337 $
1/6/2011
$
(17) $
3/30/2011
$
(20) $
6/29/2011
$
(192) $
9/30/2010
$
45,056 $
145,056 Updated portfolio data from servicer
1/6/2011
$
34,944 $
3/30/2011
$
40,000 $
6/29/2011
$
50,000 $
180,000 Updated portfolio data from servicer
Updated due to quarterly assessment and
220,000 reallocation
Updated due to quarterly assessment and
270,000 reallocation
3/15/2012
$
(200,000) $
9/30/2010
$
5,168,169 $
1/6/2011
$
(12) $
3/30/2011
$
(15) $
4/13/2011
$
400,000 $
6/29/2011
$
(143) $
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
70,000 Transfer of cap due to servicing transfer
8,268,169 Updated portfolio data from servicer
8,268,157 Updated portfolio data from servicer
Updated due to quarterly assessment and
8,268,142 reallocation
8,668,142 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
8,667,999 reallocation
9/15/2011
$
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
12/15/2011
$
1,700,000 $
11,367,999 Transfer of cap due to servicing transfer
4/16/2012
$
1,600,000 $
12,967,999 Transfer of cap due to servicing transfer
5/16/2012
$
40,000 $
13,007,999 Transfer of cap due to servicing transfer
9/15/2010
$
1,000,000 $
1,000,000 Transfer of cap due to servicing transfer
9/30/2010
$
450,556 $
1,450,556 Updated portfolio data from servicer
104
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
Note
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
9/15/2010
Midwest Community Bank
Freeport
IL
Purchase
Financial Instrument for Home Loan Modifications
$
400,000
N/A
1000879
1000879
1000879
9/24/2010
American Finance House LARIBA
Pasadena
CA
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
Ottawa
IL
Purchase
Financial Instrument for Home Loan Modifications
$
1,900,000
N/A
1000704
9/24/2010
Centrue Bank
10204
10204
9/30/2010
AgFirst Farm Credit Bank
9/30/2010
Amarillo National Bank
9/30/2010
American Financial Resources Inc.
Columbia
SC
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
Amarillo
TX
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
Parsippany
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1001220
1000478
1001726
9/30/2010
Banco Popular de Puerto Rico
San Juan
PR
Purchase
Financial Instrument for Home Loan Modifications
$
1,700,000
N/A
4, 5, 8
1000509
1000509
1000509
9/30/2010
Capital International Financial, Inc.
Coral Gables
FL
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
Freeburg
IL
Purchase
Financial Instrument for Home Loan Modifications
$
800,000
N/A
4, 8
1001930
9/24/2010
Citizens Community Bank
1001848
1001848
9/30/2010
Community Credit Union of Florida
Rockledge
FL
Purchase
Financial Instrument for Home Loan Modifications
$
2,000,000
N/A
6
8
8
8
9/30/2010
CU Mortgage Services, Inc.
New Brighton
MN
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
1/6/2011
$
(2) $
2/16/2011
$
3,000,000 $
1,450,554 Updated portfolio data from servicer
4,450,554 Transfer of cap due to servicing transfer
3/16/2011
$
10,200,000 $
3/30/2011
$
(24) $
6/29/2011
$
(227) $
14,650,554 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,650,530 reallocation
Updated due to quarterly assessment and
14,650,303 reallocation
7/14/2011
$
12,000,000 $
26,650,303 Transfer of cap due to servicing transfer
12/15/2011
$
4,100,000 $
30,750,303 Transfer of cap due to servicing transfer
1/13/2012
$
900,000 $
31,650,303 Transfer of cap due to servicing transfer
4/16/2012
$
300,000 $
31,950,303 Transfer of cap due to servicing transfer
9/30/2010
$
180,222 $
580,222 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(8) $
9/30/2010
$
45,056 $
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
2/2/2011
$
(145,056) $
9/30/2010
$
856,056 $
2,756,056 Updated portfolio data from servicer
1/6/2011
$
(4) $
2,756,052 Updated portfolio data from servicer
3/9/2011
$
(2,756,052) $
9/30/2010
$
45,056 $
3/23/2011
$
(145,056) $
9/30/2010
$
45,056 $
6/29/2011
$
(1) $
9/30/2010
$
45,056 $
6/29/2011
$
(1) $
9/30/2010
$
765,945 $
1/6/2011
$
(3) $
- Termination of SPA
- Termination of SPA
145,056 Updated portfolio data from servicer
- Termination of SPA
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
2,465,945 Updated portfolio data from servicer
2,465,942 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,465,938 reallocation
Updated due to quarterly assessment and
2,465,902 reallocation
3/30/2011
$
(4) $
6/29/2011
$
(36) $
9/30/2010
$
45,056 $
6/29/2011
$
(1) $
9/30/2010
$
360,445 $
1,160,445 Updated portfolio data from servicer
1,160,443 Updated portfolio data from servicer
1/6/2011
$
(2) $
3/23/2011
$
(1,160,443) $
9/30/2010
$
901,112 $
1/6/2011
$
(4) $
3/30/2011
$
(5) $
6/29/2011
$
(48) $
9/30/2010
$
45,056 $
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
- Termination of SPA
2,901,112 Updated portfolio data from servicer
2,901,108 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,901,103 reallocation
Updated due to quarterly assessment and
2,901,055 reallocation
145,056 Updated portfolio data from servicer
105
Servicer Modifying Borrowers' Loans
Name of Institution
Date
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
Note
10616
9/30/2010
First Federal Bank of Florida
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
10364
9/30/2010
First Mortgage Coporation
10253
9/30/2010
First Safety Bank
1000487
1000487
9/30/2010
Flagstar Capital Markets Corporation
Troy
MI
Purchase
Financial Instrument for Home Loan Modifications
$
800,000
N/A
7, 8
10228
10228
10228
9/30/2010
Franklin Savings
Cincinnati
OH
Purchase
Financial Instrument for Home Loan Modifications
$
1,700,000
N/A
4
1000773
1000773
1000773
9/30/2010
Gateway Mortgage Group, LLC
Tulsa
OK
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
Gardner
MA
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
1001744
9/30/2010
GFA Federal Credit Union
1001637
4, 8
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
Updated due to quarterly assessment and
145,055 reallocation
6/29/2011
$
(1) $
9/30/2010
$
45,056 $
6/29/2011
$
(1) $
9/30/2010
$
45,056 $
6/29/2011
$
(1) $
9/30/2010
$
180,222 $
580,222 Updated portfolio data from servicer
1/6/2011
$
(1) $
580,221 Updated portfolio data from servicer
3/23/2011
$
(580,221) $
9/30/2010
$
360,445 $
1/6/2011
$
(2) $
3/30/2011
$
(2) $
6/29/2011
$
(18) $
9/30/2010
$
765,945 $
1/6/2011
$
(4) $
3/30/2011
$
(4) $
6/29/2011
$
(40) $
9/30/2010
$
45,056 $
6/29/2011
$
(1) $
9/30/2010
$
45,056 $
3/23/2011
$
(145,056) $
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
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
106
Servicer Modifying Borrowers' Loans
Name of Institution
Date
9/30/2010
City
Guaranty Bank
Saint Paul
State
Transaction
Type
MN
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
$
100,000
Adjustment Details
Pricing
Mechanism
Note
N/A
4, 8
10350
9/24/2010
James B. Nutter & Company
Kansas City
MO
Purchase
Financial Instrument for Home Loan Modifications
$
300,000
N/A
4, 8
1000492
1000492
1000492
9/30/2010
Liberty Bank and Trust Co
New Orleans
LA
Purchase
Financial Instrument for Home Loan Modifications
$
1,000,000
N/A
1001010
1001010
1001010
9/30/2010
M&T Bank
Buffalo
NY
Purchase
Financial Instrument for Home Loan Modifications
$
700,000
N/A
4, 8
10529
10529
10529
9/30/2010
Magna Bank
Germantown
TN
Purchase
Financial Instrument for Home Loan Modifications
$
1,400,000
N/A
5
1000645
1000645
1000645
9/30/2010
Mainstreet Credit Union
Lexena
KS
Purchase
Financial Instrument for Home Loan Modifications
$
500,000
N/A
1001636
1001636
9/30/2010
Marsh Associates, Inc.
9/30/2010
Midland Mortgage Company
Charlotte
NC
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
Oklahoma City
OK
Purchase
Financial Instrument for Home Loan Modifications
$
43,500,000
N/A
4, 5
1001907
10457
10457
10457
9/30/2010
Schmidt Mortgage Company
Rocky River
OH
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1001163
9/30/2010
Stockman Bank of Montana
Miles City
MT
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
Salt Lake City
UT
Purchase
Financial Instrument for Home Loan Modifications
$
600,000
N/A
1000818
9/30/2010
University First Federal Credit Union
1001721
1001721
4, 8
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
9/30/2010
$
45,056 $
6/29/2011
$
(1) $
9/30/2010
$
135,167 $
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(6) $
9/30/2010
$
450,556 $
1/6/2011
$
(2) $
3/30/2011
$
(2) $
6/29/2011
$
(23) $
9/30/2010
$
315,389 $
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(11) $
9/30/2010
$
630,778 $
Reason for Adjustment
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
435,167 Updated portfolio data from servicer
435,166 Updated portfolio data from servicer
Updated due to quarterly assessment and
435,165 reallocation
Updated due to quarterly assessment and
435,159 reallocation
1,450,556 Updated portfolio data from servicer
1,450,554 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,552 reallocation
Updated due to quarterly assessment and
1,450,529 reallocation
1,015,389 Updated portfolio data from servicer
1,015,388 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,015,387 reallocation
Updated due to quarterly assessment and
1,015,376 reallocation
2,030,778 Updated portfolio data from servicer
1/6/2011
$
(3) $
3/30/2011
$
(3) $
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
6/29/2011
$
(33) $
9/30/2010
$
225,278 $
725,278 Updated portfolio data from servicer
1/6/2011
$
(1) $
725,277 Updated portfolio data from servicer
3/9/2011
$
(725,277) $
9/30/2010
$
45,056 $
- Termination of SPA
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
6/29/2011
$
(1) $
9/30/2010
$
49,915,806 $
1/6/2011
$
(125) $
3/30/2011
$
(139) $
6/29/2011
$
(1,223) $
9/30/2010
$
45,056 $
6/29/2011
$
(1) $
9/30/2010
$
45,056 $
6/29/2011
$
(1) $
9/30/2010
$
270,334 $
870,334 Updated portfolio data from servicer
870,333 Updated portfolio data from servicer
1/6/2011
$
(1) $
2/17/2011
$
(870,333) $
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
107
Servicer Modifying Borrowers' Loans
Date
9/30/2010
Name of Institution
City
Weststar Mortgage, Inc.
Woodbridge
State
Transaction
Type
VA
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
$
100,000
Adjustment Details
Pricing
Mechanism
Note
N/A
4, 8
1001893
12/15/2010
Statebridge Company, LLC
Denver
CO
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1001754
1001754
1001754
1001754
1001754
1001754
1001754
12/15/2010
Scotiabank de Puerto Rico
San Juan
PR
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1000991
1000991
4/13/2011
AmTrust Bank, A Division of New York Community Bank
Cleveland
OH
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
10151
10151
10151
10151
4/13/2011
SunTrust Mortgage, Inc.
Richmond
VA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
4/13/2011
Urban Partnership Bank
Chicago
IL
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1001970
1001970
4/13/2011
Western Federal Credit Union
Hawthorne
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
Anaheim Hills
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1001231
5/13/2011
FCI Lender Services, Inc.
1002025
1002025
1002025
1002025
1002025
1002025
7/14/2011
Gregory Funding, LLC
Beaverton
OR
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1002041
1002041
9/15/2011
Bangor Savings Bank
Bangor
ME
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
9/15/2011
PHH Mortgage Corporation
Mt. Laurel
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
12/15/2011
Rushmore Loan Management Services LLC
Irvine
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1002097
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
9/30/2010
$
45,056 $
6/29/2011
$
(1) $
12/15/2010
$
5,000,000 $
5,000,000 Updated portfolio data from servicer
1/6/2011
$
(7) $
4,999,993 Updated portfolio data from servicer
2/16/2011
$
500,000 $
5,499,993 Transfer of cap due to servicing transfer
3/16/2011
$
100,000 $
3/30/2011
$
(9) $
6/29/2011
$
(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
11/16/2011
$
(2,500,000) $
3/15/2012
$
200,000 $
12/15/2010
$
4,300,000 $
1/6/2011
$
(4) $
6/29/2011
$
(5) $
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
3,099,899 Transfer of cap due to servicing transfer
3,299,899 Transfer of cap due to servicing transfer
4,300,000 Updated portfolio data from servicer
4,299,996 Updated portfolio data from servicer
Updated due to quarterly assessment and
4,299,991 reallocation
4/13/2011
$
200,000 $
200,000 Transfer of cap due to servicing transfer
5/13/2011
$
100,000 $
300,000 Transfer of cap due to servicing transfer
600,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
599,991 reallocation
6/16/2011
$
300,000 $
6/29/2011
$
(9) $
8/16/2011
$
200,000 $
4/13/2011
$
100,000 $
4/13/2011
$
1,000,000 $
799,991 Transfer of cap due to servicing transfer
100,000 Transfer of cap due to servicing transfer
6/29/2011
$
233,268 $
1,000,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,233,268 reallocation
11/16/2011
$
100,000 $
1,333,268 Transfer of cap due to servicing transfer
4/13/2011
$
200,000 $
6/29/2011
$
17,687 $
5/13/2011
$
500,000 $
500,000 Transfer of cap due to servicing transfer
600,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
599,991 reallocation
200,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
217,687 reallocation
6/16/2011
$
100,000 $
6/29/2011
$
(9) $
7/14/2011
$
200,000 $
9/15/2011
$
100,000 $
899,991 Transfer of cap due to servicing transfer
11/16/2011
$
2,500,000 $
3,399,991 Transfer of cap due to servicing transfer
799,991 Transfer of cap due to servicing transfer
5/16/2012
$
1,510,000 $
4,909,991 Transfer of cap due to servicing transfer
7/14/2011
$
200,000 $
200,000 Transfer of cap due to servicing transfer
11/16/2011
$
900,000 $
1,100,000 Transfer of cap due to servicing transfer
1/13/2012
$
100,000 $
1,200,000 Transfer of cap due to servicing transfer
9/15/2011
$
100,000 $
100,000 Transfer of cap due to servicing transfer
9/15/2011
$
1,300,000 $
1,300,000 Transfer of cap due to servicing transfer
12/15/2011
$
200,000 $
200,000 Transfer of cap due to servicing transfer
4/16/2012
$
600,000 $
800,000 Transfer of cap due to servicing transfer
108
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
Note
1/13/2012
Sun West Mortgage Company, Inc
Cerritos
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
3/15/2012
PrimeWest Mortgage Corporation
Lubbock
TX
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
Total Initial Cap
$
23,831,570,000
TOTAL CAP
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
1/13/2012
$
100,000 $
100,000 Transfer of cap due to servicing transfer
3/15/2012
$
100,000 $
100,000 Transfer of cap due to servicing transfer
Total Cap Adjustments
$
6,049,733,607
$
29,881,303,607.08
109
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments
on Behalf of Borrowers and
to Servicers &
Adjustment Details
Pricing
Mechanism
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
110
Supplemental Information [Not Required by EESA §114(a)]
Making Home Affordable Program
Non‐GSE Incentive Payments (through May 2012)
Name of Institution
Borrowers
Lenders/Investors
Servicer
Allstate Mortgage Loans & Investments, Inc.
$
3,329.43 $
7,180.61 $
6,329.43 $
American Home Mortgage Servicing, Inc.
$
30,119,884.74 $
95,824,325.52 $
Aurora Financial Group, Inc
Aurora Loan Services LLC
BAC Home Loans Servicing, LP
Bank of America, N.A.
BankUnited
Bayview Loan Servicing LLC
Carrington Mortgage Services, LLC.
CCO Mortgage, a division of RBS Citizens NA
Central Florida Educators Federal Credit Union
CitiMortgage Inc
Citizens First National Bank
CUC Mortgage Corporation
DuPage Credit Union
EMC Mortgage Corporation
Fay Servicing, LLC
FCI Lender Services, Inc.
FIRST BANK
First Keystone Bank
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
67,339,338.61 $
22,238.69 $
26,784,440.64 $
189,485,268.07 $
9,159,438.92 $
6,987,508.27 $
6,523,927.73 $
9,718,217.11 $
2,063,939.88 $
97,403.46 $
68,715,282.08 $
21,516.67 $
64,121.96 $
6,214.14 $
16,279,383.05 $
173,971.72 $
13,116.08 $
920,179.72 $
8,717.90 $
601,745.67 $
3,000.00 $
7,916.67 $
5,000.00 $
53,324,874.58 $
7,500.00 $
62,944.63 $
2,315,733.09 $
36,391.38 $
1,000.00 $
34,528.96 $
3,698,607 $
5,272,500.00 $
5,833.34 $
6,569.53 $
15,000.00 $
15,000.00 $
19,000.00 $
17,330.48 $
1,000.00 $
204,025,639.82 $
9,672.68 $
3,000.00 $
27,530,413.93 $
19,993.00 $
29,587.26 $
839,632.77 $
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
JPMorgan Chase Bank, NA
Lake City Bank
$
$
$
$
$
$
$
$
$
$
19,251.11
14,297,247.91
107,985,992.29
4,267,061.97
3,666,195.94
3,665,549.69
4,372,877.69
1,033,659.32
45,103.42
34,238,292.52
7,250.00
29,712.85
2,514.14
7,569,459.20
168,388.42
11,840.40
458,792.83
2,775.62
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
239,987.15 $
750.00
3,833.34
3,000.00
26,984,735.10
5,916.67
33,161.29
824,251.39
34,409.50
916.67
14,943.49
$
$
$
$
$
$
$
$
$
169,858 $
1,916.66
3,348.46
7,916.67
8,000.00
10,247.15
750.00
127,205,970.99
3,926.15
$
$
$
$
$
$
$
$
$
36,979,626.18
262,906,469.58
17,852,011.77
10,252,648.47
7,874,244.82
13,796,492.59
2,725,058.57
75,703.48
110,116,063.85
24,150.25
74,359.46
16,068.88
11,592,937.05
313,342.48
23,757.03
1,097,194.30
3,423.27
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
479,980.78 $
2,205.39
13,204.31
2,200.36
77,093,488.01
7,763.05
78,950.14
2,539,356.71
71,157.98
$
$
$
$
$
$
$
$
$
19,400.51 $
2,440,768 $
3,036,319.34
5,572.90
9,881.50
10,502.00
22,435.50
17,390.33
12,094.17
$
$
$
$
$
$
$
$
239,033,424.03 $
3,368.61 $
Lake National Bank
$
2,000.00 $
3,540.80 $
Litton Loan Servicing, LP
Los Alamos National Bank
M&T Bank
Marix Servicing LLC
$
$
$
$
13,441,220.42 $
6,537.50 $
27,356.89
352,195.77 $
35,353,125.99 $
12,952.72 $
$
970,196.74 $
Total Payments
16,839.47
193,283,548.87
41,489.80
78,061,314.73
560,377,729.94
31,278,512.66
20,906,352.68
18,063,722.24
27,887,587.39
5,822,657.77
218,210.36
213,069,638.45
52,916.92
168,194.27
24,797.16
35,441,779.30
655,702.62
48,713.51
2,476,166.85
14,916.79
1,321,713.60
5,955.39
24,954.32
10,200.36
157,403,097.69
21,179.72
175,056.06
5,679,341.19
141,958.86
1,916.67
68,872.96
6,309,233
8,308,819.34
13,322.90
19,799.49
25,502.00
45,352.17
44,390.33
39,671.80
1,750.00
570,265,034.84
16,967.44
8,540.80
76,324,760.34
39,483.22
56,944.15
2,162,025.28
110
Name of Institution
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
Purdue Employees Federal Credit Union
Quantum Servicing Corporation
Residential Credit Solutions, Inc.
RG Mortgage
RoundPoint Mortgage Servicing Corporation
Rushmore Loan Management Services LLC
Saxon Mortgage Services, Inc.
Borrowers
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2,793.04
1,406,090.11
1,000.00
27,583.35
345,841.21
70,313.09
1,116,265.31
9,700,942.51
115,248.82
6,000.00
34,649,695.65
24,723,644.67
3,583.33
11,000.00
916.67
2,575,150.52
18,312.52
1,000.00
123,560.02
542,526.86
164,852.94
76,796.62
8,750.01
Lenders/Investors
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
170,445.25
1,090.56
82,943.83
2,305,003.00
136,351.69
4,002,465.00
23,103,551.54
434,357.25
25,472.37
3,568.11
100,105,218.06
82,940,896.00
5,618.08
23,936.55
1,994.62
3,591,967.75
221,797.74
795.24
272,690.91
1,622,675.38
227,582.28
220,376.56
56,082.02
Servicer
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
3,057.36
1,776,871.20
2,000.00
61,716.67
1,977,320.74
159,285.52
2,591,168.04
18,391,524.60
330,915.48
14,200.00
6,500.00
74,884,624.05
45,759,591.00
10,600.00
19,000.00
1,916.67
3,368,724.24
210,000.00
2,000.00
170,984.09
1,255,951.81
401,333.81
180,337.40
19,250.03
$
19,743,877.20 $
42,109,621.81 $
39,754,447.52
Schools Financial Credit Union
Scotiabank de Puerto Rico
Select Portfolio Servicing, Inc.
Selene Finance LP
Servis One, Inc., dba BSI Financial Services, Inc.
ShoreBank
Silver State Schools Credit Union
Specialized Loan Servicing LLC
Sterling Savings Bank
Technology Credit Union
The Bryn Mawr Trust Company
The Golden 1 Credit Union
U.S. Bank National Association
United Bank
$
$
$
$
$
$
$
$
$
$
$
$
$
$
10,750.00
211,256.55
33,712,963.98
11,583.33
79,738.75
49,915.10
29,355.90
1,264,901.10
54,295.39
24,250.00
4,717.90
115,042.27
5,598,878.30
1,000.00
35,477.55
343,478.36
71,990,544.69
32,922.46
287,838.26
153,906.17
131,903.44
2,976,003.21
136,060.75
92,469.18
7,251.55
427,223.84
15,569,970.14
938.19
$
$
$
$
$
$
$
$
$
$
$
$
$
$
23,500.00
245,752.36
58,213,471.24
19,500.00
173,808.74
143,165.10
58,189.24
2,633,192.92
129,110.30
42,416.67
4,717.90
283,158.93
12,682,365.18
3,000.00
United Bank Mortgage Corporation
Urban Partnership Bank
$
$
44,623.65 $
162,447.75 $
42,407.17
76,406.17
Vantium Capital, Inc. d/b/a Acqura Loan Services
Vericrest Financial, Inc.
Wachovia Mortgage, FSB
Wells Fargo Bank, N.A.
Wescom Central Credit Union
Western Federal Credit Union
Wilshire Credit Corporation
Yadkin Valley Bank
$
$
$
$
$
$
$
$
Grand Total
$
$
$
$
$
$
$
$
$
$
$
$
$
$
22,535.44 $
72,211.13 $
181,201.55
207,034.14
83,701,756.00
93,545.55
7,416.67
10,634.02
602,253,056.07
$
$
$
$
$
$
$
$
359,009.57
650,461.35
76,889.58
211,945,163.93
374,718.56
23,242.81
490,394.10
13,328.50
1,500,787,106.95
$
$
$
$
$
$
$
$
309,456.66
760,813.40
162,000.00
156,767,442.66
210,612.54
10,916.67
1,167,000.00
27,884.02
1,127,843,577.01
Total Payments
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
5,850.40
3,353,406.56
4,090.56
172,243.85
4,628,164.95
365,950.30
7,709,898.35
51,196,018.65
880,521.55
45,672.37
10,068.11
209,639,537.76
153,424,131.67
19,801.41
53,936.55
4,827.96
9,535,842.51
450,110.26
3,795.24
567,235.02
3,421,154.05
793,769.03
477,510.58
84,082.06
101,607,946.53
69,727.55
800,487.27
163,916,979.91
64,005.79
541,385.75
346,986.37
219,448.58
6,874,097.23
319,466.44
159,135.85
16,687.35
825,425.04
33,851,213.62
4,938.19
109,566.26
311,065.05
849,667.78
1,618,308.89
238,889.58
452,414,362.59
678,876.65
41,576.15
1,657,394.10
51,846.54
3,230,883,740.03
111
Housing Finance Agency Innovation Fund for the Hardest Hit Housing Markets
Hardest Hit Funds (HHF) Program
Seller
Note
Date
2
9/23/2010
3
9/29/2010
Name of Institution
6/23/2010 Nevada Affordable Housing Assistance Corporation
6/23/2010 CalHFA Mortgage Assistance Corporation
2
9/23/2010
3
9/29/2010
6/23/2010 Florida Housing Finance Corporation
2
9/23/2010
3
9/29/2010
6/23/2010 Arizona (Home) Foreclosure Prevention Funding Corporation
3
City
Reno
Sacramento
Tallahassee
Transaction
Type
NV
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
-
$
34,056,581
Purchase
Financial Instrument for HHF Program
-
$
57,169,659
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
CA
FL
Investment Description
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Phoenix
AZ
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Lansing
MI
Purchase
Financial Instrument for HHF Program
9/29/2010
6/23/2010 Michigan Homeowner Assistance Nonprofit Housing Corporation
Investment Amount
Pricing
Additional
1
Investment Amount
Mechanism
$
194,026,240
102,800,000
N/A
State
Initial Investment
Amount
$
$
$
-
699,600,000
-
$
476,257,070
-
$
799,477,026
-
418,000,000
-
$
238,864,755
-
$
400,974,381
$
125,100,000
$
154,500,000
-
$
-
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
128,461,559
3
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
215,644,179
Purchase
Financial Instrument for HHF Program
North Carolina Housing Finance Agency
Raleigh
NC
$
-
159,000,000
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
120,874,221
3
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
202,907,565
Purchase
Financial Instrument for HHF Program
8/3/2010
Ohio Homeowner Assistance LLC
Columbus
OH
$
-
172,000,000
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
148,728,864
3
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
249,666,235
Purchase
Financial Instrument for HHF Program
8/3/2010
Oregon Affordable Housing Assistance Corporation
Salem
OR
$
88,000,000
-
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
49,294,215
3
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
82,748,571
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
8/3/2010
2
9/23/2010
3
9/29/2010
8/3/2010
2
9/23/2010
3
9/29/2010
Rhode Island Housing and Mortgage Finance Corporation
SC Housing Corp
9/23/2010 Alabama Housing Finance Authority
3
Columbia
Montgomery
RI
SC
AL
9/29/2010
9/23/2010 Kentucky Housing Corporation
3
Providence
3
9/29/2010
3
9/29/2010
9/23/2010 GHFA Affordable Housing, Inc.
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
Financial Instrument for HHF Program
Frankfort
KY
Purchase
Purchase
Financial Instrument for HHF Program
Jackson
MS
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
9/29/2010
9/23/2010 Mississippi Home Corporation
Purchase
Purchase
Atlanta
GA
$
$
$
-
$
13,570,770
-
$
22,780,803
138,000,000
-
-
$
58,772,347
-
$
98,659,200
60,672,471
-
$
55,588,050
$
38,036,950
$
-
43,000,000
$
$
63,851,373
-
$
212,604,832
-
N/A
N/A
N/A
$
1,057,839,136
N/A
N/A
N/A
$
267,766,006
N/A
$
498,605,738
N/A
N/A
N/A
N/A
$
482,781,786
N/A
N/A
N/A
$
570,395,099
N/A
N/A
N/A
$
220,042,786
N/A
N/A
N/A
$
79,351,573
N/A
N/A
N/A
$
295,431,547
N/A
N/A
N/A
$
162,521,345
N/A
$
148,901,875
N/A
$
101,888,323
N/A
93,313,825
-
126,650,987
1,975,334,096
101,848,874
-
$
N/A
$
142,666,006
2
8/3/2010
N/A
N/A
N/A
N/A
$
339,255,819
N/A
N/A
112
Seller
Note
Date
3
9/29/2010
Name of Institution
9/23/2010 Indiana Housing and Community Development Authority
9/23/2010 Illinois Housing Development Authority
3
Indianapolis
State
Transaction
Type
IN
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
IL
Purchase
Purchase
Financial Instrument for HHF Program
Trenton
NJ
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Washington
DC
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
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
Chicago
9/29/2010
9/23/2010 New Jersey Housing and Mortgage Finance Agency
3
City
Nashville
TN
Initial 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
279,250,831
-
$
$
138,931,280
-
N/A
188,347,507
-
7,726,678
-
$
Investment Amount
Pricing
Additional
1
Investment Amount
Mechanism
$
12,970,520
$
136,187,333
TOTAL INVESTMENT AMOUNT
N/A
N/A
N/A
$
217,315,593
$
7,600,000,000
N/A
N/A
1/ The purchase will be incrementally funded up to the investment amount.
2/ On 9/23/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.
3/ On 9/29/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.
113
FHA SHORT REFINANCE PROGRAM
Seller
Footnote
Date
1
9/3/2010
Name
Citigroup, Inc.
City
New York
State
Transaction
Type
NY
Purchase
Investment Amount
Investment Description
Facility Purchase Agreement, dated as of September
3, 2010, between the U.S. Department of the Treasury
and Citibank, N.A
$
8,117,000,000
TOTAL
$
8,117,000,000
Pricing Mechanism
N/A
1/ On September 3, 2010, the U.S. Department of the Treasury and Citibank, N.A. entered into a facility purchase agreement (the 'L/C Facility Agreement"), which allowed Treasury to demand from Citigroup the issuance of an
up to $8 billion, 10-year letter of credit (the "L/C"). Treasury will increase availability under the L/C incrementally in proportion to the dollar value of mortgages refinanced under the FHA Short Refinance program from time to
time during the first 2.5 years. At that time, the amount of the L/C will be capped at the then-current level. Under the terms of the L/C Facility Agreement, Treasury will incur fees for the availability and usage of the L/C up to a
maximum amount of $117 million.
114
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Projected Costs and Liabilities [Section 105(a)(3)(E)]
For Period Ending May 31, 2012
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.
115
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Programmatic Operating Expenses [Section 105(a)(3)(F)]
For Period Ending May 31, 2012
Type of Expense
Compensation for financial agents
and legal firms
Amount
$678,974,767
116
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Description of Vehicles Established [Section 105(a)(3)(H)]
For Period Ending May 31, 2012
Date
Vehicle
Description
None
117
HAMP Application Activity by Servicer 1
As of April 2012
Servicer Name
American Home Mortgage Servicing, Inc.
Aurora Loan Services LLC
Bank of America, NA6
BankUnited
Bayview Loan Servicing, LLC
Carrington Mortgage Services, LLC
CCO Mortgage, a division of RBS Citizens NA
CitiMortgage Inc
GMAC Mortgage, LLC
Green Tree Servicing LLC
HomEq7
iServe Residential Lending, LLC
iServe Servicing, Inc.
JPMorgan Chase Bank, NA8
Marix Servicing LLC
Midland Mortgage Co.
MorEquity7
National City Bank
Nationstar Mortgage LLC
Navy Federal Credit Union
Ocwen Loan Servicing, LLC9
OneWest Bank
ORNL Federal Credit Union
PennyMac Loan Services, LLC
PNC Bank, National Association
Quantum Servicing Corporation
Residential Credit Solutions, Inc.
RG Mortgage Corporation7
Saxon Mortgage Services, Inc.
# Requests
Received 2
2,519
453
19,339
385
898
1,044
0
11,679
5,224
3,173
0
0
0
16,690
7
4,814
0
400
15,819
430
10,691
2,697
19
125
14
12
201
0
1,553
Monthly
# Requests
# Requests
Processed 3
Approved 4
1,608
554
502
288
7,088
2,585
142
118
610
143
550
230
0
0
11,384
3,080
4,706
1,087
3,957
253
0
0
0
0
0
0
11,108
2,352
6
0
2,225
207
0
0
279
101
16,108
511
192
45
8,844
424
2,048
719
7
0
186
65
3
0
7
0
188
21
0
0
760
110
# Requests
Denied 5
1,054
214
4,503
24
467
320
0
8,304
3,619
3,704
0
0
0
8,756
6
2,018
0
178
15,597
147
8,420
1,329
7
121
3
7
167
0
650
# Requests
Received 2
130,193
76,928
1,051,206
16,275
13,831
34,922
9,880
265,945
256,769
57,706
1,339
4
70
1,007,349
1,886
74,919
3,473
30,347
127,859
4,009
314,294
151,857
468
5,036
1,215
1,439
9,189
489
86,699
Program-to-Date
# Requests
# Requests
Processed 3
Approved 4
76,974
44,935
74,889
55,185
817,307
539,396
4,687
3,901
11,562
6,256
19,005
6,635
5,358
2,945
265,475
205,146
243,575
87,003
45,122
19,244
1,339
1,339
3
1
29
13
571,419
360,939
1,102
459
32,310
3,437
3,221
1,820
26,994
25,895
124,168
40,836
1,930
1,013
221,588
97,597
108,330
78,857
142
25
4,718
2,013
423
22
685
85
7,894
1,841
489
489
71,109
45,168
# Requests
Denied 5
32,039
19,704
277,911
786
5,306
12,370
2,413
60,329
156,572
25,878
0
2
16
210,480
643
28,873
1,401
1,099
83,332
917
123,991
29,473
117
2,705
401
600
6,053
0
25,941
HAMP Application Activity by Servicer 1
As of April 2012
Servicer Name
Select Portfolio Servicing, Inc.
Specialized Loan Servicing LLC
U.S. Bank National Association
Wells Fargo Bank, NA10
Other Servicers7
TOTAL
# Requests
Received 2
2,210
625
1,615
20,236
0
122,872
Monthly
# Requests
# Requests
Processed 3
Approved 4
927
631
196
60
534
250
10,229
4,611
0
0
84,394
18,445
# Requests
Denied 5
296
136
284
5,618
0
65,949
# Requests
Received 2
101,690
12,544
80,370
759,240
1,281
4,690,721
Program-to-Date
# Requests
# Requests
Processed 3
Approved 4
76,455
71,340
3,634
1,423
41,430
18,573
433,296
301,179
1,281
1,281
3,297,943
2,026,291
# Requests
Denied 5
5,115
2,211
22,857
132,117
0
1,271,652
1
This report is sourced from the Monthly Servicer Survey of select servicers participating in MHA under a Servicer Participation Agreement through April 30, 2012. This report only contains data for servicers that provide this survey. This
survey is a cumulative survey, therefore, an estimate of monthly activity was calculated by taking the latest monthly survey and subtracting it from the previous month's survey. This calculation may at times result in negative numbers
due to servicing transfers or servicer corrections to prior reporting. Note that Requests Processed, Requests Approved, and Requests Denied in any given month may be related to Requests Received in prior months.
2
"Requests Received" is the total number of HAMP mortgage modification requests received, calculated as the sum of the following from the Monthly Servicer Survey: Initial Packages Received and Being Evaluated; Packages Evaluated,
Incomplete and Notice Sent; Packages Evaluated, Complete and Borrower Ineligible; and Packages Evaluated, Complete and Trial Offers Sent.
3
"Requests Processed" is the total number of the HAMP mortgage modifications approved or denied and communicated to the Borrower by the Servicer, calculated as the sum of the following from the Monthly Servicer Survey:
Packages Evaluated, Complete and Borrower Ineligible; and Packages Evaluated, Complete and Trial Offers Sent.
4
"Requests Approved" is the total number of HAMP mortgage modification requests approved, calculated as Packages Evaluated, Complete, and Trial Offers Sent. Note that all "Requests Approved" do not become Active Trials because
some borrowers do not accept the trial or fail to make the first trial payment.
5
"Requests Denied" is the total number of HAMP mortgage modification requests denied, calculated as Packages Evaluated, Complete and Borrower Ineligible.
6
Bank of America, NA includes Home Loan Services, Wilshire Credit Corporation and BAC Home Loans Servicing, LP.
7
Includes servicers that are no longer actively participating in the survey process or whose Servicer Participation Agreement has been terminated. These servicers no longer submit a survey, and their results only reflect previous periods
when the survey questions were not as extensive as current surveys (e.g. #Requests Denied was not a component of earlier surveys).
8
JPMorgan Chase Bank, NA includes EMC Mortgage Company.
9
Ocwen Loan Servicing, LLC includes Litton Loan Servicing LP.
10
Wells Fargo Bank, NA includes Wachovia Mortgage FSB.
@FedFRASER