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Troubled Asset Relief Program (TARP)
Monthly Report to Congress – February 2013
March 11, 2013
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
February 2013
Section
Page
Highlights………………………....………………………………………………………………………………………………………………..
1
Where are the TARP Funds?.....………………………………………………………………………………………………………………..
1
Daily TARP Update
3
Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal Budget
5
Program Updates…………………….…………………………………………………………………………………………………..............
7
Bank Support Programs…………………….…………………………………………………………………………………………………...
7
Capital Purchase Program
7
Auto Industry Financing Program…………………………………………………………………………………………………………...
15
Investment in American International Group……………………………………………………………………………………………....
16
Housing Programs………………………………………………………………………………………………………………………………..
17
Appendix – Financial Statements….…………………………………………………………………………………………………………..
21
More information is available at http://www.treasury.gov/initiatives/financial-stability.
February
Where areHighlights
the TARP Funds?
Monthly 105(a) Report
February 2013
The Troubled Asset Relief Program (TARP) was established pursuant to the Emergency Economic Stabilization Act of 2008 (EESA). More
than four 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 continued to work to reduce the dependence of the financial system on emergency
assistance and replace public support with private capital. To date, taxpayers have recovered $393 billion – or 94 percent – of the $419
billion in TARP funds disbursed to date. And taxpayers have so far realized a $24 billion positive return on their investments through
TARP’s bank programs. Treasury has recovered more than $269 billion from TARP’s bank programs through repayments, dividends,
interest, and other income – compared to the $245 billion invested in those institutions.
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.
February Highlights
In February, Treasury held auctions for its outstanding preferred stock and subordinated debt in 15 financial institutions under the Capital
Purchase Program (CPP), for aggregate net proceeds of approximately $248.4 million. The auctions were part of the strategy Treasury
outlined in May 2012 for winding down its remaining bank investments in a way that protects taxpayer interests and preserves the strength
of our nation’s community banks.
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 (DTU)
The first chart shows for each TARP program the amount of funds obligated, the amount disbursed, repayments, 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
(DTU) is updated after every business day and is available at: http://www.treasury.gov/initiatives/financial-stability/reports/Pages/dailytarp-reports.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
1
Numbers in text and tables in this report may not add because of rounding.
1
Where are the TARP Funds?
Monthly 105(a) Report
February 2013
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 lifetime costs including the requirement to use a
discount rate that reflects market risk as required by EESA for future cash flows. Over time, market conditions and the performance of
specific investments will be critical determinants of TARP’s lifetime cost. The methodology used adheres to government budgeting
guidance and includes investments and other disbursements expected to be made in the future. It also includes assumptions regarding
future events, which are inherently uncertain. These estimates do not necessarily reflect official Administration budgetary estimates of
the deficit impact of TARP and may differ from the official estimates presented in the President’s Budget, the Midsession Review of the
Budget, and the report required in 2013 under Section 134 of EESA.
2
Daily TARP Update
Monthly 105(a) Report
February 2013
Figure 1: Daily TARP Update for March 1, 2013 (through February 28, 2013)
Principal/Investment
(*Dollars in Billions*)
Obligated
Disbursed
Refinancing to
SBLF1
Repayments
Income/Revenue
CPP Exchanges Into
CDCI2
Write-offs &
Realized Losses
Outstanding
Dividends
3
Interest3
Other Income
(Expenses)5
Warrants Sold4
6
Total Income
Total Cash Back
Bank Support Programs
Capital Purchase Program (CPP)
Banks with Assets $10 Billion or Greater
$
165.33
$
165.33
$
159.94
$
-
$
-
$
2.56
$
2.83
$
9.40
$
-
$
7.48
$
(0.00) $
16.88
$
176.82
Banks with Assets Less Than $10 Billion
$
14.57
$
14.57
$
9.42
$
2.21
$
0.36
$
0.71
$
4.07
$
1.57
$
-
$
0.27
$
(0.00) $
1.83
$
11.26
7
$
25.00
$
25.00 $
25.00
$
-
$
-
$
-
$
0.93
$
-
$
0.05
$
6.85
$
7.84
$
32.84
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
Citigroup Common
Targeted Investment Program (TIP)
Asset Guarantee Program (AGP)
Bank Of America
$
-
$
-
$
-
$
-
$
-
$
-
$
-
$
-
$
0.28
$
0.28
$
0.28
Citigroup
$
5.00
$
-
$
-
$
-
$
-
$
0.64
$
-
$
0.07
$
3.14
$
3.85
$
3.85
$
0.57
$
0.21
$
0.04
$
0.01
$
0.52
$
0.03
$
-
$
-
$
-
$
0.03
$
0.07
$
250.46
$
245.10
$
234.41
$
3.28 $
7.42
$
15.57
$
-
$
9.30
$
10.27
$
35.13
$
269.54
6.25
$
5.73
$
-
$
0.51
$
0.87
$
-
$
-
$
1.26
$
2.13
$
7.87
12.38 $
11.96
$
-
$
0.42
$
-
$
0.32
$
-
$
-
$
0.32
$
12.28
Community Development Capital Initiative (CDCI)
Bank Program Totals
(0.36) $
-
$
Credit Market Programs
Public-Private Investment Program (PPIP)
Equity
8
$
7.23
$
$
12.38
$
Term Asset Backed Securities Lending Facility
$
0.10
$
0.10
$
0.10
$
-
$
-
$
-
$
0.01
$
-
$
0.21
$
0.23
$
0.33
Purchase SBA 7(a) Securities (SBA)
$
0.37
$
0.37
$
0.36
$
-
$
0.00
$
-
$
0.01
$
-
$
0.00
$
0.01
$
0.38
$
20.08
$
19.09
$
18.15
$
-
$
0.94
$
0.87 $
0.34
$
-
$
1.47 $
2.69
$
20.84
Common
$
47.54
$
47.54 $
34.06
$
13.48
$
-
$
-
$
-
$
-
$
-
$
-
$
34.06
Preferred
$
20.29
$
20.29 $
20.29
$
-
$
-
$
0.64
$
-
$
-
$
0.29
$
0.93
$
21.23
$
67.84
$
67.84
$
54.35
$
13.48
$
-
$
0.64
$
-
$
-
$
0.29 $
0.93
$
55.28
29.35
$
7.89 $
(0.00) $
9.44
$
2.93
Debt
Credit Market Program Totals
Other Programs
American International Group (AIG)
9
AIG Totals
Automotive Industry Financing Program (AIFP)
GM
10
$
51.03
$
51.03 $
Chrysler
$
12.37
$
12.37
$
Ally (GMAC)
$
16.29
$
16.29
$
2.54
$
13.75
$
79.69
$
79.69
$
41.33
$
10.82
$
27.54
$
147.53
$
147.53
$
95.68
$
24.31
$
27.54
Making Homes Affordable
$
29.87
$
4.96
HFA Hardest-Hit Fund
$
7.60
$
1.96
$
8.12
$
0.06
Housing Totals
$
45.59
$
6.98
TARP Totals
$
463.66
$
418.70
$
348.24
$
27.58
$
35.91
AIFP Totals
Other Programs Totals
$
0.00 $
13.79
$
-
$
0.77
$
-
$
-
$
-
$
1.19
$
-
$
0.76
$
30.11
1.69
$
11.13
$
3.27
$
-
$
-
$
3.27 $
1.95
$
-
$
3.40
$
5.94
0.62 $
5.85
$
47.18
$
3.91 $
1.95
$
-
$
6.78
$
102.46
$
20.36 $
9.30
$
12.65
$
44.61
$
392.85
$
17.55 $
17.55
$
17.55
$
30.21
62.16
$
410.40
0.50
$
$
0.13
$
0.92 $
Treasury Housing Programs Under TARP
11
FHA Refinance
$
-
2.30 $
Additional Treasury Holdings
Additional AIG Common Shares Held by Treasury
9
Total for TARP Programs and Additional AIG Shares
$
463.66
$
418.70
$
348.24
$
-
$
27.58
$
35.91
$
20.36 $
2.30 $
9.30
$
3
Daily TARP Update
Monthly 105(a) Report
February 2013
Notes to Daily TARP Update
1/ This row represents the portion of CPP repayments that were received from refinancing to the Small Business Lending Fund (SBLF),
which is not a TARP program. The law creating the 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. This amount is included in total repayments and therefore, this column is not used to calculate the
"Outstanding" amount.
2/ This column represents non-cash exchanges out of CPP into CDCI. A total of 28 CPP banks, representing $355.7 million, converted
from CPP to CDCI. The total amount exchanged into CDCI, with converted warrants, was $363.3 million.
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/ Amount of "Warrants Sold" reflects net cash receipts.
5/ "Other Income (Expenses)" includes gains on sales, investment income, fees collected, and disposition expenses.
6/ 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 are detailed in Figure 2.
7/ Citigroup CPP investment was originally in the form of preferred shares and was converted to common stock in September 2009.
8/ Allocation of Public-Private Investment Program (PPIP) Equity receipts between repayments and income are subject to reclassification.
9/ 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
(non-TARP shares). Treasury managed the TARP shares and non-TARP shares together, and disposed of them pro-rata in proportion
to its holdings. Only the TARP shares are included under “Other Programs—AIG” and the "Write-offs & Realized Losses" column
shows a loss based on Treasury’s cost basis of $43.53 in the TARP shares alone. The non-TARP shares are shown at the bottom of
the page after the TARP Total under "Additional AIG Common Shares Held by Treasury." A gain in the "Other Income (Expenses)"
column is shown for the non-TARP shares 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 share. With the sale of all remaining
shares in December 2012, Treasury has recovered a total of $72.84 billion (including proceeds from the sale of the non-TARP shares),
compared to total TARP disbursements of $67.84 billion.
10/ 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 prices
at which Treasury has sold common shares in GM’s initial public offering and subsequent sales and the Treasury’s cost basis ($43.52
per common share) for such shares. Treasury is implementing a disposition strategy for its remaining shares, under a pre-arranged
written trading plan.
11/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.
4
Treasury Estimates of Impact on the Federal Budget
Monthly 105(a) Report
February 2013
Figure 2: Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal Budget
Obligation/
Commitment
Disbursed as of
February 28
Outstanding
Investment
Balance as of
February 28
Citigroup
$
25.00
$
25.00
$
0.00
$
(6.89)
Other banks with assets $10 billion or greater
$
165.33
$
165.33
$
2.83
$
(10.01)
Total
$
204.89
$
204.89
$
6.90
$
(15.12)
Targeted Investment Program (TIP)
$
40.00
$
40.00
$
0.00
$
(4.00)
Asset Guarantee Program (AGP)4
Community Development Capital Initiative (CDCI)
$
5.00
$
0.00
$
0.00
$
(3.88)
$
0.57
$
0.57
$
0.52
$
0.14
Debt
$
$
7.23
12.38
$
$
6.25
12.38
$
$
0.51
0.42
$
$
(2.52)
0.33
Total
$
19.61
$
18.63
$
0.94
$
(2.19)
Term Asset Backed Securities Lending Facility (TALF)
$
0.10
$
0.10
$
0.00
$
(0.54)
Purchase SBA 7(a) Securities (SBA)
$
0.37
$
0.37
$
0.00
$
(0.00)
Common Stock
$
$
20.29
47.54
$
$
20.29
47.54
$
$
-
$
$
15.22
Total
$
67.84
$
67.84
$
-
$
15.22
Automotive Industry Financing Program (AIFP)
$
79.69
$
79.69
$
27.54
$
20.26
Sub-total for Investment Programs
$
418.07
$
411.73
$
35.91
$
9.90
Making Homes Affordable
$
29.87
$
4.96
$
-
$
29.87
Hardest Hit Fund
FHA-Refinance
$
$
7.60
8.12
$
$
1.96
0.06
$
$
-
$
$
7.60
8.12
Sub-total for Housing Programs
$
45.59
$
6.98
$
-
$
45.59
$
463.66
$
418.70
$
35.91
$
55.48
n/a
$
(17.55)
35.91
$
37.93
Programs
as of February 28, 2013
(dollar amounts in billions)
Bank Support Programs:
Estimated Lifetime
Cost as of
December 31
1,2
Capital Purchase Program (CPP):
Banks with assets less than $10 billion
3
14.57
14.57
1.78
4.07
Credit Market Programs:
Public-Private Investment Program (PPIP):
Equity
Other Programs:
American International Group (AIG):
Preferred Stock
Total for TARP Programs
5
n/a
Additional AIG Common Shares Held by Treasury
Total for TARP Programs and Additional AIG Shares
$
463.66
n/a
$
418.70
$
5
Treasury Estimates of Impact on the Federal Budget
Monthly 105(a) Report
February 2013
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 December 31, 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 December 31, 2012. The following common stock value information is provided for the convenience of the reader to
show the increase or decrease in the aggregate value of the shares outstanding as of December 31, 2012, compared to the aggregate
value of shares outstanding as of February 28, 2013, including the shares sold during January and February, 2013.
Outstanding Investment
GM Common Stock
12/31/2012
Market Value
$
8.65
02/28/2013
Market Value
$
In billions
8.17
Increase
(Decrease) in Cost
$
0.48
Note: The share price for GM was $28.83 for the period ending December 31, 2012 and $27.15 for the period ending February 28,
2013.
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 9 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 (non-TARP shares). Treasury managed the TARP shares and non-TARP shares
together, and disposed 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
non-TARP shares in the line entitled “Additional AIG Common Shares Held by Treasury” because Treasury’s cost basis in such shares
was deemed to be zero. When the TARP shares and non-TARP shares are considered together, Treasury’s cost on a cash basis was
$28.73 per share. TARP estimates include financing costs (borrowing) from the time of initial investment through the reporting period.
6
Program Updates – Bank Support Programs
Monthly 105(a) Report
February 2013
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 percent of that amount through
repayments, dividends, interest, and other income. Treasury continues to recover additional funds and so far taxpayers have realized a
$24 billion positive return on their investments through TARP’s bank programs.
Capital Purchase Program (CPP)
Treasury created the Capital Purchase Program in October 2008 to stabilize the financial system by providing capital to viable banking
institutions of all sizes throughout the nation. Figure 3 shows the cumulative Capital Purchase Program activity since program inception.
Today, every additional dollar recovered from CPP participants represents a positive return for taxpayers.
Figure 3:
Capital Purchase Program Snapshot as of February 28, 2013
CPP Cumulative Investments
Amount Invested:
$204.9 billion
Largest Investment:
$25 billion
Smallest Investment:
$301,000.00
CPP Institutions (Banks in 48 states, D.C and Puerto Rico)
Total Institutions Funded:
707
Full Repayments:
201
SBLF Repayments:
137
CDCI Conversions:
28
Partial Repayments:
Sold Investments:
16
Auctioned Investments:
20
200
$199.79
150
100
50
105
In Bankruptcy/Receivership:
23
Merged Institutions:
Currently in Common1
3
Total Remaining Institutions:
CPP Proceeds to Treasury (in billions)
$1.77
$7.80
Total
Dividends,
Interest, &
Other Income
Warrant
Income⁴
0
Repayments²
Auctions³
3
190
$11.92
Total CPP Proceeds:
$221.29 billion
7
Program Updates – Bank Support Programs
Monthly 105(a) Report
February 2013
Notes to Capital Purchase Program Snapshot as of February 28, 2013:
1/ Institutions where Treasury has converted its original investment at a discount, into shares of common stock in the institution.
2/ Actual collections to date. Includes $2.21 billion in SBLF transfers, $0.36 billion in CDCI transfers and the gain of $6.85 billion on the
sale of Citi common.
3/ Includes proceeds from all auctions of CPP preferred, warrant preferred, note, and warrant note securities where cash has settled with
OFS as of 2/28/2013.
4/ Net proceeds; includes proceeds from exercised warrants.
Repayments at Par
In February, two institutions (Citizens First Corporation and Valley Financial Corporation) repurchased part of their outstanding CPP
preferred shares from Treasury’s investments in those institutions at par for total proceeds of $4.9 million, resulting in a total of $16.1
million in outstanding CPP investment remaining among those institutions.
Sales & Dispositions
•
On February 7 and 8, Treasury sold to private investors its preferred stock and subordinated debentures in 10 institutions (Alliance
Financial Services, Inc.; Biscayne Bancshares, Inc.; Citizens Bancshares Co.; Colony Bankcorp, Inc.; Delmar Bancorp; Dickinson
Financial Corporation II; F & M Bancshares, Inc.; First Priority Financial Corp.; HMN Financial, Inc.; and Waukesha Bankshares, Inc.)
for aggregate gross proceeds of approximately $174.1 million. More information can be found in Treasury’s Press Release here:
http://www.treasury.gov/press-center/press-releases/Pages/tg1834.aspx.
•
On February 15, Treasury sold its CPP preferred stock and warrant issued by BancTrust Financial Group, Inc. (BancTrust) pursuant to
an agreement with BancTrust and Trustmark Corporation entered into on February 11, 2013.
•
On February 15, pursuant to the terms of the merger of Pacific International Bancorp, Inc. (Pacific International) with BBCN Bancorp,
Inc. (BBCN), Treasury received $7.5 million (representing the par amount together with accrued and unpaid dividends thereon) in
respect of the preferred stock that had been issued to Treasury by Pacific International. Treasury exchanged its Pacific International
warrant for an equivalent warrant issued by BBCN.
•
On February 20, Treasury sold to private investors its preferred stock and subordinated debentures in five institutions (Carolina Bank
Holdings, Inc.; FC Holdings, Inc.; First Trust Corporation; National Bancshares, Inc.; and Ridgestone Financial Services, Inc.) for
aggregate gross proceeds of approximately $78.0 million. More information can be found in Treasury’s Press Release here:
http://www.treasury.gov/press-center/press-releases/Pages/tg1849.aspx.
Restructurings
In limited cases, in order to protect the taxpayers’ interest in the value of an investment and to promote the objectives of EESA, Treasury
may exchange the CPP preferred stock for other securities or may sell the preferred stock. Treasury evaluates whether to participate in an
exchange or sale on the basis of enabling the bank to (i) get new investors to provide additional capital, (ii) conduct a capital restructuring
8
Program Updates – Bank Support Programs
Monthly 105(a) Report
February 2013
or (iii) strengthen its capital and financial condition. Exchanges made on this basis may be at a rate less than par, and sales by Treasury to
a new investor may be made at a discount.
•
On February 12, Treasury entered into an agreement with Florida Bank Group, Inc. (FBG) pursuant to which Treasury agreed to sell its
CPP preferred stock back to FBG at a discount subject to the satisfaction of the conditions specified in the agreement.
•
On February 20, Treasury sold its CPP preferred stock and warrant issued by First Sound Bank (First Sound) back to First Sound for
an aggregate purchase price of $3,700,000, pursuant to the terms of the agreement between Treasury and First Sound entered into on
November 30, 2012.
•
On February 22, Treasury completed the exchange of its Standard Bancshares, Inc. preferred stock for common stock and immediately
sold the resulting Standard Bancshares, Inc. common stock, pursuant to agreements dated as of November 5, 2012.
•
On February 25, Treasury entered into an agreement with First Security Group, Inc. to exchange Treasury’s CPP warrant and
$33,000,000 of preferred stock for common stock. The exchange is subject to the fulfillment by First Security Group, Inc. of certain
conditions, including the satisfactory completion of a capital plan.
Warrant Repurchases
In addition to the transactions above, Treasury disposed of its warrant positions in three institutions in February that were received in
consideration for investments made under the CPP. These proceeds provided an additional return of $3.4 million to taxpayers from
Treasury’s investments in banks beyond any dividend or interest payment.
•
Treasury completed the sale of warrants issued by Oak Ridge Financial Services, Inc. and First Capital Bancorp, Inc. for a total of $0.4
million.
•
Standard Bancshares, Inc. repurchased preferred shares from exercised warrants from Treasury for a total of $3.0 million.
Dividends and Interest
In February, Treasury received dividends and interest income from CPP investments of approximately $54.2 million. Cumulative
dividends, interest and fee income received from Capital Purchase Program investments is approximately $11.9 billion.
9
Program Updates – Bank Support Programs
Monthly 105(a) Report
Figure 4:
February 2013
Top 25 Remaining Capital Purchase Program Investments as of February 28, 2013
A list of all remaining CPP investments can be found in the appendix to this report.
Outstanding
Investment
($millions)
Outstanding
Investment
($millions)
Institution
City, State
1
Synovus Financial Corp.
Columbus, GA
$
967.9
14 Independent Bank Corporation
Ionia, MI
$
72.0
2
San Jan, PR
$
935.0
$
52.4
San Juan, PR
$
400.0
15 NewBridge Bancorp
d
16 FNB United Corp.
Greensboro, NC
3
Popular, Inc.
First BanCorpa
Asheboro, NC
$
51.5
4
Citizens Republic Bancorp, Inc. b
Flint, MI
$
300.0
17 U.S. Century Bank
Miami, FL
$
50.2
Institution
City, State
5
First Banks, Inc.
Clayton, MO
$
295.4
18 PremierWest Bancorp
Medford, OR
$
41.4
6
New York Private Bank & Trust Corp.
New York, NY
$
267.3
19 Reliance Bancshares, Inc.
Frontenac, MO
$
40.0
7
Flagstar Bancorp, Inc.
Troy, MI
$
266.7
20 Bridgeview Bancorp, Inc.
Bridgeview, IL
$
38.0
8
Cathay General Bancorp
El Monte, CA
$
258.0
21 Porter Bancorp Inc.
Louisville, KY
$
35.0
9
United Community Banks, Inc.
Blairsville, GA
$
180.0
22 First Security Group, Inc.
Chattanooga, TN
$
33.0
10 Anchor BanCorp Wisconsin Inc.
c
11 Hampton Roads Bankshares, Inc.
Madison, WI
$
110.0
23 Centrue Financial Corporation
St. Louis, MO
$
32.7
Norfolk, VA
$
80.3
24 Royal Bancshares of Pennsylvania, Inc. Narberth, PA
$
30.4
12 Metropolitan Bank Group, Inc.
Chicago, IL
$
78.4
25 First United Corporation
$
30.0
13 Old Second Bancorp, Inc.
Aurora, IL
$
73.0
Total
Oakland, MD
$4.72 billion
Notes to Top 25 Remaining Capital Purchase Program Investments as of February 28, 2013:
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/ On February 21, 2013, Treasury entered into a securities purchase agreement with FirstMerit Corporation (FirstMerit) and Citizens
Republic Bancorp, Inc. (Citizens Republic) pursuant to which Treasury agreed, subject to certain conditions, to (i) sell its CPP preferred
in Citizens Republic to FirstMerit and (ii) exchange its existing warrant in Citizens Republic for a warrant issued by FirstMerit.
c/ Treasury exchanged its preferred stock for MCP. Hampton 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.
d/ Treasury exchanged its preferred stock for 108,555,303 shares of FNB United common stock. Treasury currently holds 1,085,553.03
shares of FNB common stock following a reverse stock split.
10
Program Updates – Bank Support Programs
Monthly 105(a) Report
February 2013
Capital Purchase Program 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 to provide a visual overview of outstanding investments. The regional
snapshots provide monthly overviews of outstanding CPP investments as TARP continues to wind down its investments.
The regional snapshots include a state-by-state breakdown showing how many institutions remain in the program; the outstanding
investment amount; and how many institutions in each state, if any, have outstanding payments due to Treasury. The regional snapshots
also show the Top 10 largest outstanding investments in that region; the total amount outstanding; the number of missed payments, if any;
and the amount owed in non-current dividends, if applicable.
A full list of remaining CPP investments, including more detail about those banks with outstanding payments, 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/dividends-interest/Pages/default.aspx.
11
Program Updates – Bank Support Programs
Monthly 105(a) Report
February 2013
Eastern Region CPP Institutions as of February 28, 2013
State by State Breakdown
State
Number of
Number of
Investment
Institutions
Institutions
Outstanding
with Missed
Outstanding
(millions)
Payments
Puerto Rico
2
0
$
1,335.00
13
8
$
1,236.08
New York
3
2
$
299.77
North Carolina
9
4
$
196.00
Virginia
8
4
$
171.36
Florida
7
7
$
101.29
Maryland
9
8
$
98.71
South Carolina
8
8
$
89.92
Georgia
Pennsylvania
3
2
$
53.92
New Jersey
3
2
$
36.06
Massachusetts
2
1
$
17.06
Maine
1
0
$
12.50
1.07
Rhode Island
1
0
$
Connecticut
-
-
$
-
Deleware
-
-
$
-
New Hampshire
-
-
$
-
Vermont
-
-
$
-
West Virginia
-
-
$
-
Top 10 Largest Institutions Outstanding Details
Synovus Financial Corp.
Columbus
GA
Public
Number of
Missed
Payments
-
Popular, Inc.
San Juan
PR
Public
-
First BanCorp*
San Juan
PR
Public
-
$
-
$ 400,000,000
New York Private Bank & Trust Corporation New York
NY
Private
-
$
-
$ 267,274,000
Institution
City
State
Public/
Private
Non-Current
Dividends
Total Amount
Outstanding
$
-
$ 967,870,000
$
-
$ 935,000,000
United Community Banks, Inc.
Blairsville
GA
Public
-
$
-
$ 180,000,000
Hampton Roads Bankshares, Inc.*
Norfolk
VA
Public
-
$
-
$
80,347,000
NewBridge Bancorp
Greensboro
NC
Public
-
$
-
$
52,372,000
FNB United Corp.*
Asheboro
NC
Public
-
$
-
$
51,500,000
U.S. Century Bank
Miami
FL
Private
13
$
8,898,110 $
50,236,000
Royal Bancshares of Pennsylvania, Inc.
Narberth
PA
Public
15
$
5,701,313 $
30,407,000
*This institution's original investment has been converted into shares of common stock in the institution. Amount show n replects the original investment
amount less sale proceeds as applicable. More information can be found in the Transaction Report located in the appendix.
12
Program Updates – Bank Support Programs
Monthly 105(a) Report
February 2013
Central Region CPP Institutions as of February 28, 2013
State by State Breakdown
State
Number of
Number of
Investment
Institutions
Institutions
with Missed Outstanding
Outstanding
Payments
Michigan
4
4
$
645.44
Missouri
11
4
$
420.26
Illinois
9
6
$
239.66
Wisconsin
6
5
$
137.59
Arkansas
6
5
$
92.74
Kentucky
6
4
$
71.94
Tennessee
4
3
$
57.37
Minnesota
7
5
$
48.23
Indiana
3
2
$
17.87
Alabama
4
3
$
10.44
10.12
Mississippi
3
0
$
Louisiana
3
1
$
9.28
Iowa
2
1
$
7.15
Ohio
-
-
$
-
Top 10 Largest Institutions Outstanding Details
Institution
City
State
Public/
Private
Number of
Missed
Payments
Non-Current
Dividends
Total Amount
Outstanding
Citizens Republic Bancorp, Inc.
Flint
MI
Public
13
$
48,750,000 $ 300,000,000
First Banks, Inc.
Clayton
MO
Private
15
$
60,372,375 $ 295,400,000
Flagstar Bancorp, Inc.
Troy
MI
Public
5
$
16,666,063 $ 266,657,000
Anchor BanCorp Wisconsin Inc.
Madison
WI
Public
16
$
22,229,167 $ 110,000,000
Metropolitan Bank Group, Inc.
Chicago
IL
Private
8
$
8,392,538 $
78,406,000
Old Second Bancorp, Inc.
Aurora
IL
Public
10
$
9,125,000 $
73,000,000
Independent Bank Corporation
Ionia
MI
Public
12
$
10,533,346 $
72,000,000
Reliance Bancshares, Inc.
Frontenac
MO
Public
9
$
4,905,000 $
40,000,000
Bridgeview Bancorp, Inc.
Bridgeview
IL
Private
12
$
6,213,000 $
38,000,000
Porter Bancorp Inc.
Louisville
KY
Public
6
$
2,625,000 $
35,000,000
13
Program Updates – Bank Support Programs
Monthly 105(a) Report
February 2013
Western Region CPP Institutions as of February 28, 2013
State by State Breakdown
State
Number of
Number of
Investment
Institutions
Institutions
Outstanding
with Missed
Outstanding
(millions)
Payments
California
Texas
Colorado
Oregon
Idaho
Kansas
North Dakota
Oklahoma
Washington
Nebraska
Arizona
Wyoming
Nevada
New Mexico
Alaska
Hawaii
Montana
South Dakota
Utah
18
16
$
389.45
8
5
$
83.85
6
4
$
46.47
2
1
$
44.62
3
2
$
41.90
4
2
$
39.79
2
1
$
30.84
1
1
$
30.00
1
1
$
10.50
2
1
$
8.73
3
2
$
8.05
1
0
$
3.10
1
1
$
2.67
1
0
$
1.58
-
-
$
-
-
-
$
-
-
-
$
-
-
-
$
$
-
Top 10 Largest Institutions Outstanding Details
Cathay General Bancorp
Los Angeles
CA
Public
Number of
Missed
Payments
-
$
-
PremierWest Bancorp
Medford
OR
Public
14
$
7,245,000 $
41,400,000
Spirit BankCorp, Inc.
Bristow
OK
Private
10
$
4,087,500 $
30,000,000
Institution
City
State
Public/
Private
Non-Current
Dividends
Total Amount
Outstanding
$ 258,000,000
Intermountain Community Bancorp
Sandpoint
ID
Public
-
$
-
$
27,000,000
Patriot Bancshares, Inc.
Houston
TX
Private
9
$
3,192,930 $
26,038,000
22,500,000
Central Bancorp, Inc.
Garland
TX
Private
8
$
2,452,500 $
Blue Valley Ban Corp
Overland Park KS
Public
16
$
4,350,000 $
21,750,000
Heritage Oaks Bancorp
Paso Robles
Public
-
$
-
$
21,000,000
CA
BNCCORP, Inc.
Bismarck
ND
Public
-
$
-
$
20,093,000
Pacific City Financial Corporation
Los Angeles
CA
Public
15
$
3,310,875 $
16,200,000
14
Program Updates – Auto Industry Financing Program
Monthly 105(a) Report
February 2013
Auto Industry Financing Program
The Automotive Industry Financing Program (AIFP) was launched in December 2008 to prevent the uncontrolled liquidation of Chrysler
and General Motors (GM) and the collapse of the U.S. auto industry, because the potential for such a disruption at that time posed a
significant risk to financial market stability and threatened the overall economy.
Under AIFP, Treasury invested a total of $49.5 billion to help stabilize and restructure GM. In November 2010, GM completed an initial
public offering, which yielded $13.5 billion in net proceeds for Treasury and reduced its stake in GM to 500.1 million remaining shares of
GM common stock.
On December 19, 2012, as part of its continuing efforts to wind down TARP, Treasury announced its intent to fully exit its remaining
investment in GM within the following 12-15 months, subject to market conditions. As part of that announcement, GM agreed to purchase
200 million shares of GM common stock from Treasury at $27.50 per share – a transaction that closed on December 21, 2012.
In January 2013, the U.S. Department of the Treasury began the process of selling its shares into the market under a pre-arranged written
trading plan. At that time, Treasury also announced that there would be opportunities for smaller broker-dealers, including minority- and
women-owned broker-dealers, to participate in the sale of Treasury’s remaining GM common shares pursuant to the plan.
In February, Treasury’s brokers for GM stock sales informed Treasury that they had engaged six smaller broker-dealers, including minorityand women-owned broker-dealers, assist with Treasury’s sales of its GM common stock. The six smaller broker-dealers are:
o
Academy Securities
o
C.L. King & Associates
o
Lebenthal & Co., LLC
o
Loop Capital Markets
o
Ramirez & Company
o
The Williams Capital Group, L.P.
In February 2013, Treasury received total net proceeds of approximately $489.9 million from the sales of GM common stock 2. To date,
Treasury has recovered approximately $29.8 billion 3 of its investment in GM through repayments, sales of stock, dividends, interest, and
other income.
2
Additional details on the number of GM shares that Treasury sold and average price per share will be disclosed upon the completion of each pre-arranged trading plan
and provided in the Monthly Report to Congress that is issued subsequent to the sale.
3
This amount only includes what Treasury has recovered from Old GM. The total amount that Treasury has recovered, including the investment in Old GM, the loan to
GM to purchase GMAC rights, and loans for the Supplier and Warranty Programs is $30.11 billion.
15
Program Updates – Investment in AIG
Monthly 105(a) Report
February 2013
Investment in American International Group
During the financial crisis, Treasury and the Federal Reserve committed approximately $182 billion to prevent the collapse of AIG. That
amount included $70 billion that Treasury committed through TARP as well as $112 billion committed by the FRBNY. Since that time, AIG
has dramatically restructured, enabling it to fully repay taxpayers. The size of the company has been cut nearly in half as it sold non-core
assets and focused on its core insurance operations.
At its peak in January 2011, Treasury owned 1.655 billion shares of AIG common stock. Over the next 19 months, Treasury conducted six
public offerings of AIG common stock, selling all 1.655 billion shares (originally 92 percent of AIG’s outstanding common stock) at an
average price of $31.18 per share. As a result of the combined efforts of AIG, Treasury, and the Federal Reserve, the $182 billion
committed to stabilize the company has been fully recovered – plus an additional positive return of $22.7 billion. 4
On March 1, 2013, American International Group (AIG) repurchased warrants issued to Treasury in 2008 and 2009 for approximately $25
million. 5 Following this sale, Treasury has no residual interest in AIG.
4
5
Treasury realized a positive return of $5.0 billion (when including Treasury’s other interest in AIG) and the Federal Reserve has realized a positive return of $17.7 billion.
Because this sale took place after the end of the reporting period, it is not reflected in the charts in this report.
16
Program Updates – Housing Programs
Monthly 105(a) Report
February 2013
Housing Programs
Making Home Affordable Program Performance Report
On March 8, the U.S. Department of the Treasury released the Making Home Affordable (MHA) Program Performance Report through
January 2013. The report is available on the following page: http://www.treasury.gov/initiatives/financial-stability/reports/Pages/MakingHome-Affordable-Program-Performance-Report.aspx.
Highlights include:
•
More than 1.1 million homeowners have received a permanent modification since the start of the program. Approximately 15,000 new
permanent modifications and approximately 12,000 trial modification starts have been reported since the December report.
•
In total, more than 1.5 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.
•
To date, homeowners in permanent modifications have saved an estimated $17.9 billion in monthly mortgage payments. Homeowners
in active first lien permanent modifications are currently saving a median of $546 per month – more than one-third of their median
before-modification payment.
•
Homeowners currently in HAMP permanent modifications with some form of principal reduction have been granted an estimated $9.2
billion in principal reduction. Of all non-GSE loans eligible for principal reduction entering HAMP in January, 69% included a principal
reduction feature.
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 105,000 homeowners in a permanent first lien
modification under HAMP have received assistance through 2MP.
•
More than 114,000 homeowners have exited their homes through a short sale or deed-in-lieu of foreclosure with assistance from the
Home Affordable Alternatives Program (HAFA), which provides $3,000 for relocation assistance after a homeowner exits the home.
Servicer Assessments
Included in the MHA Program Performance Report through January 2013 are detailed assessments for the largest mortgage servicers
participating in the MHA Program with results from the fourth 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.
17
Program Updates – Housing Programs
Monthly 105(a) Report
February 2013
•
For the fourth quarter of 2012, two servicers were found to need only minor improvement on the areas reviewed for program
performance, while seven servicers were found to need moderate improvement. All servicers will need to continue to demonstrate
progress in areas identified in follow-up program reviews.
•
Servicers continue to focus attention on areas identified in previous program reviews and, as a result, are demonstrating considerable
improvement in program implementation:
o
Mortgage servicers continue to appropriately calculate homeowner income, which is used to determine a homeowner’s eligibility
and modified payment amount under the program. In fourth quarter of 2012, the average income calculation error rate for the
top servicers was less than two percent.
o
Servicers are more effectively evaluating homeowners under program eligibility criteria as evidenced in the “second look
disagree” category, which reflects the rate at which Treasury’s program reviews disagree with the servicers’ decision not to
assist a homeowner. In the fourth quarter of 2012, the average second look disagree percentage for the top servicers was less
than two percent.
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 58 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.
•
Treasury is working to identify best practices, share lessons learned between states and provide additional assistance and oversight to
struggling HFAs. In February, Treasury continued to participate in bi-weekly conference calls with the 19 HFAs and the large servicers
participating in the Hardest Hit Fund to discuss best practices in reaching the target population, ways to expand program eligibility and
promising new programs that can effectively utilize Hardest Hit Funds.
•
Treasury recently approved program changes for Alabama, Indiana and Illinois; these changes became final in early March. Typically,
program changes 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. In addition to expanding borrower eligibility for their respective unemployment assistance programs, Alabama will be
introducing short sale and loan modification programs, and Indiana will be implementing programs for transition assistance and
principal reduction with loan recast/modification.
18
Program Updates – Housing Programs
Monthly 105(a) Report
February 2013
•
Two HFAs drew a total of $64.12 million in February; over the life of the program, a total of $1.96 billion 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 exhausted at least 95 percent of their allocation before they can draw down additional funds.
•
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.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/
https://www.homesaverdc.org/
http://www.hhfri.org/
http://www.scmortgagehelp.com/
http://www.keepmytnhome.org
19
Program Updates – Housing Programs
Monthly 105(a) Report
Figure 6:
February 2013
Hardest Hit Fund as of February 28, 2013
20
Table of Contents – Appendix
Monthly 105(a) Report
February 2013
Appendix Section
Statutory Requirement 6
Remaining CPP Institutions……………………………………………………………………………..
Additional Information
22
Administrative Obligations and Expenditures…………………………….…………………………
EESA §105(a)(2)
27
Agreements under TARP………………………………………………………….……………………..
EESA §105(a)(3)(A)
28
Insurance Contracts……………………………………………………………….……………………..
EESA §105(a)(3)(B)
35
Transactions Report…………………………………………………………….………………………..
EESA §105(a)(3)(C,D,G)
36
Page
Investment Programs
36
Home Affordable Modification Program
75
Projected Costs and Liabilities………………………………………………………………………....
EESA §105(a)(3)(E)
112
Programmatic Operating Expenses……………………………………………………………………
EESA §105(a)(3)(F)
113
Description of Vehicles Established…………………………………………………………...……...
EESA §105(a)(3)(H)
114
HAMP Application Activity by Servicer………………………………………………………..……...
Dodd-Frank §1483(b)
115
6
§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).
21
U.S. Treasury Department
Office of Financial Stability
CPP Remaining Institutions
As of February 28, 2013
Name
Synovus Financial Corp.
Popular, Inc.
First BanCorp*
Citizens Republic Bancorp, Inc.
First Banks, Inc.
New York Private Bank & Trust Corporation
Flagstar Bancorp, Inc.
Cathay General Bancorp
United Community Banks, Inc.
Anchor BanCorp Wisconsin Inc.
Hampton Roads Bankshares, Inc.*
Metropolitan Bank Group, Inc.
Old Second Bancorp, Inc.
Independent Bank Corporation
NewBridge Bancorp
FNB United Corp.*
U.S. Century Bank
PremierWest Bancorp
Reliance Bancshares, Inc.
Bridgeview Bancorp, Inc.
Porter Bancorp Inc.
First Security Group, Inc.
Centrue Financial Corporation
Royal Bancshares of Pennsylvania, Inc.
First United Corporation
Spirit BankCorp, Inc.
Intermountain Community Bancorp
Patriot Bancshares, Inc.
Intervest Bancshares Corporation
Rogers Bancshares, Inc.
Crescent Financial Bancshares, Inc.
Eastern Virginia Bankshares, Inc.
Severn Bancorp, Inc.
Central Bancorp, Inc.
Location
Columbus, GA
San Juan, PR
San Juan, PR
Flint, MI
Clayton, MO
New York, NY
Troy, MI
Los Angeles, CA
Blairsville, GA
Madison, WI
Norfolk, VA
Chicago, IL
Aurora, IL
Ionia, MI
Greensboro, NC
Asheboro, NC
Miami, FL
Medford, OR
Frontenac, MO
Bridgeview, IL
Louisville, KY
Chattanooga, TN
St. Louis, MO
Narberth, PA
Oakland, MD
Bristow, OK
Sandpoint, ID
Houston, TX
New York, NY
Little Rock, AR
Cary, NC
Tappahannock, VA
Annapolis, MD
Garland, TX
Public/P
rivate
Public
Public
Public
Public
Private
Private
Public
Public
Public
Public
Public
Private
Public
Public
Public
Public
Private
Public
Public
Private
Public
Public
Public
Public
Public
Private
Public
Private
Public
Private
Public
Public
Public
Private
Amount
Outstanding
$
967,870,000
$
935,000,000
$
400,000,000
$
300,000,000
$
295,400,000
$
267,274,000
$
266,657,000
$
258,000,000
$
180,000,000
$
110,000,000
$
80,347,000
$
78,406,000
$
73,000,000
$
72,000,000
$
52,372,000
$
51,500,000
$
50,236,000
$
41,400,000
$
40,000,000
$
38,000,000
$
35,000,000
$
33,000,000
$
32,668,000
$
30,407,000
$
30,000,000
$
30,000,000
$
27,000,000
$
26,038,000
$
25,000,000
$
25,000,000
$
24,900,000
$
24,000,000
$
23,393,000
$
22,500,000
22
Blue Valley Ban Corp
Heritage Oaks Bancorp
Unity Bancorp, Inc.
Florida Bank Group, Inc.
BNCCORP, Inc.
First Financial Service Corporation
Chambers Bancshares, Inc.
Hawthorn Bancshares, Inc.
ECB Bancorp, Inc.
Community First Inc.
Community Bankers Trust Corporation
OneFinancial Corporation
Liberty Shares, Inc.
Northern States Financial Corporation
White River Bancshares Company
1st FS Corporation
Pacific City Financial Corporation
CoastalSouth Bancshares, Inc.
First Reliance Bancshares, Inc.
Broadway Financial Corporation
Suburban Illinois Bancorp, Inc.
Equity Bancshares, Inc.
Village Bank and Trust Financial Corp
Tidelands Bancshares, Inc
Bank of the Carolinas Corporation
SouthCrest Financial Group, Inc.
HCSB Financial Corporation
Valley Financial Corporation
Community First Bancshares, Inc.
Bankers' Bank of the West Bancorp, Inc.
Meridian Bank
The First Bancorp, Inc.
First Western Financial, Inc.
PeoplesSouth Bancshares, Inc.
OneUnited Bank
The Queensborough Company
Guaranty Federal Bancshares, Inc.
Duke Financial Group, Inc.
Plumas Bancorp
TCB Holding Company, Texas Community Bank
Cecil Bancorp, Inc.
Central Virginia Bankshares, Inc.
Farmers & Merchants Bancshares, Inc.
Stonebridge Financial Corp.
Security State Bank Holding-Company
Crosstown Holding Company
Overland Park, KS
Paso Robles, CA
Clinton, NJ
Tampa, FL
Bismarck, ND
Elizabethtown, KY
Danville, AR
Lee's Summit, MO
Engelhard, NC
Columbia, TN
Glen Allen, VA
Little Rock, AR
Hinesville, GA
Waukegan, IL
Fayetteville, AR
Hendersonville, NC
Los Angeles, CA
Hilton Head Island, SC
Florence, SC
Los Angeles, CA
Elmhurst, IL
Wichita, KS
Midlothian, VA
Mount Pleasant, SC
Mocksville, NC
Fayetteville, GA
Loris, SC
Roanoke, VA
Harrison, AR
Denver, CO
Devon, PA
Damariscotta, ME
Denver, CO
Colquitt, GA
Boston, MA
Louisville, GA
Springfield, MO
Minneapolis, MN
Quincy, CA
The Woodlands, TX
Elkton, MD
Powhatan, VA
Houston, TX
West Chester, PA
Jamestown, ND
Blaine, MN
Public
Public
Public
Private
Public
Public
Private
Public
Public
Private
Public
Private
Private
Public
Private
Public
Public
Private
Public
Private
Private
Private
Public
Public
Public
Public
Public
Public
Private
Private
Private
Public
Private
Private
Private
Private
Public
Private
Public
Private
Public
Public
Private
Private
Private
Private
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
21,750,000
21,000,000
20,649,000
20,471,000
20,093,000
20,000,000
19,817,000
18,255,000
17,949,000
17,806,000
17,680,000
17,300,000
17,280,000
17,211,000
16,800,000
16,369,000
16,200,000
16,015,000
15,349,000
15,000,000
15,000,000
14,800,000
14,738,000
14,448,000
13,179,000
12,900,000
12,895,000
12,819,000
12,725,000
12,639,000
12,535,000
12,500,000
12,440,000
12,325,000
12,063,000
12,000,000
12,000,000
12,000,000
11,949,000
11,730,000
11,560,000
11,385,000
11,000,000
10,973,000
10,750,000
10,650,000
23
Northwest Bancorporation, Inc.
Uwharrie Capital Corp
NCAL Bancorp
ColoEast Bankshares, Inc.
Mid-Wisconsin Financial Services, Inc.
Greer Bancshares Incorporated
Regent Bancorp, Inc.
Coastal Banking Company, Inc.**
Universal Bancorp
City National Bancshares Corporation
Provident Community Bancshares, Inc.
Carrollton Bancorp
RCB Financial Corporation
United American Bank
BancStar, Inc.
Great River Holding Company
Private Bancorporation, Inc.
Syringa Bancorp
Commonwealth Business Bank
BNB Financial Services Corporation
Western Community Bancshares, Inc.
Chicago Shore Corporation
Idaho Bancorp
Harbor Bankshares Corporation
Monarch Community Bancorp, Inc.
Highlands Independent Bancshares, Inc.
Fidelity Federal Bancorp
Alarion Financial Services, Inc.
Business Bancshares, Inc.
Liberty Bancshares, Inc.
First Intercontinental Bank
Premier Financial Corp
Citizens Commerce Bancshares, Inc.
Randolph Bank & Trust Company
Patapsco Bancorp, Inc.
Peninsula Bank Holding Co.
Rising Sun Bancorp
IA Bancorp, Inc.
Farmers Bank
Boscobel Bancorp, Inc
Valley Community Bank
First Southwest Bancorporation, Inc.
Midtown Bank & Trust Company
Capital Commerce Bancorp, Inc.
Covenant Financial Corporation
AmFirst Financial Services, Inc.
Spokane, WA
Albemarle, NC
Los Angeles, CA
Lamar, CO
Medford, WI
Greer, SC
Davie, FL
Beaufort, SC
Bloomfield, IN
Newark, NJ
Rock Hill, SC
Baltimore, MD
Rome, GA
San Mateo, CA
Festus, MO
Baxter, MN
Minneapolis, MN
Boise, ID
Los Angeles, CA
New York, NY
Palm Desert, CA
Chicago, IL
Boise, ID
Baltimore, MD
Coldwater, MI
Sebring, FL
Evansville, IN
Ocala, FL
Clayton, MO
Fort Worth, TX
Doraville, GA
Dubuque, IA
Versailles, KY
Asheboro, NC
Dundalk, MD
Palo Alto, CA
Rising Sun, MD
Iselin, NJ
Windsor, VA
Boscobel, WI
Pleasanton, CA
Alamosa, CO
Atlanta, GA
Milwaukee, WI
Clarksdale, MS
McCook, NE
Public
Public
Public
Private
Public
Public
Public
Public
Private
Private
Public
Public
Private
Public
Private
Private
Private
Public
Public
Private
Private
Private
Public
Public
Public
Private
Public
Private
Private
Private
Public
Private
Public
Public
Public
Public
Public
Private
Private
Private
Public
Private
Private
Private
Private
Private
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
10,500,000
10,000,000
10,000,000
10,000,000
10,000,000
9,993,000
9,982,000
9,950,000
9,900,000
9,439,000
9,266,000
9,201,000
8,900,000
8,700,000
8,600,000
8,400,000
8,222,000
8,000,000
7,701,000
7,500,000
7,290,000
7,000,000
6,900,000
6,800,000
6,785,000
6,700,000
6,657,000
6,514,000
6,500,000
6,500,000
6,398,000
6,349,000
6,300,000
6,229,000
6,000,000
6,000,000
5,983,000
5,976,000
5,689,000
5,586,000
5,500,000
5,500,000
5,222,000
5,100,000
5,000,000
5,000,000
24
Wachusett Financial Services, Inc.
Virginia Company Bank
CalWest Bancorp
Georgia Primary Bank
River Valley Bancorporation, Inc.
Community Pride Bank Corporation
Pinnacle Bank Holding Company, Inc.
Metropolitan Capital Bancorp, Inc.
Annapolis Bancorp, Inc.
Pacific Commerce Bank
Todd Bancshares, Inc.
Premier Service Bank
Fidelity Bancorp, Inc
Community Bancshares, Inc.
Pathway Bancorp
Allied First Bancorp, Inc.
CedarStone Bank
AB&T Financial Corporation
Madison Financial Corporation
Mountain Valley Bancshares, Inc.
Citizens First Corporation
Hometown Bancorp of Alabama, Inc.
Oregon Bancorp, Inc.
Crazy Woman Creek Bancorp, Inc.
Grand Mountain Bancshares, Inc.
Lone Star Bank
Tennessee Valley Financial Holdings, Inc.
St. Johns Bancshares, Inc.
Marine Bank & Trust Company
Freeport Bancshares, Inc.
Alliance Bancshares, Inc.
Patterson 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
Goldwater Bank, N.A.
Plato Holdings Inc.
Grand Financial Corporation
CSRA Bank Corp.
Brogan Bankshares, Inc.
Citizens Bank & Trust Company
Clinton, MA
Newport News, VA
Rancho Santa Margarita, CA
Atlanta, GA
Wausau, WI
Ham Lake, MN
Orange City, FL
Chicago, IL
Annapolis, MD
Los Angeles, CA
Hopkinsville, KY
Riverside, CA
Baton Rouge, LA
Kingman, AZ
Cairo, NE
Oswego, IL
Lebanon, TN
Gastonia, NC
Richmond, KY
Cleveland, GA
Bowling Green, KY
Oneonta, AL
Salem, OR
Buffalo, WY
Granby, CO
Houston, TX
Oak Ridge, TN
St. Louis, MO
Vero Beach, FL
Freeport, IL
Dalton, GA
Patterson, LA
Santa Paula, CA
Garden Grove, CA
Lakewood, CO
Olathe, KS
Sylacauga, AL
Huntsville, AL
Horn Lake, MS
Las Vegas, NV
Scottsdale, AZ
Saint Paul, MN
Hattiesburg, MS
Wrens, GA
Kaukauna, WI
Covington, LA
Private
Public
Public
Private
Private
Private
Private
Private
Public
Public
Private
Public
Private
Private
Private
Public
Private
Private
Private
Private
Public
Private
Public
Public
Private
Private
Private
Private
Private
Private
Public
Private
Public
Public
Private
Private
Public
Private
Private
Private
Private
Private
Private
Private
Private
Private
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
5,000,000
4,700,000
4,656,000
4,500,000
4,500,000
4,400,000
4,389,000
4,388,000
4,076,000
4,060,000
4,000,000
4,000,000
3,942,000
3,872,000
3,727,000
3,652,000
3,564,000
3,500,000
3,370,000
3,300,000
3,265,788
3,250,000
3,216,000
3,100,000
3,076,000
3,072,000
3,000,000
3,000,000
3,000,000
3,000,000
2,986,000
2,940,000
2,900,000
2,861,000
2,816,000
2,800,000
2,760,000
2,720,000
2,681,000
2,672,000
2,568,000
2,500,000
2,443,320
2,400,000
2,400,000
2,400,000
25
NEMO Bancshares Inc.
IBT Bancorp, Inc.
Ojai Community Bank
Market Bancorporation, Inc.
Atlantic Bancshares, Inc.
BCB Holding Company, Inc.
Maryland Financial Bank
Gold Canyon Bank
Union Financial Corporation
Saigon National Bank
Indiana Bank Corp.
Riverside Bancshares, Inc.
Independence Bank
Calvert Financial Corporation
Green Circle Investments, Inc.
Vision Bank - Texas
Kirksville Bancorp, Inc.
Farmers & Merchants Financial Corporation
Madison, MO
Irving, TX
Ojai, CA
New Market, MN
Bluffton, SC
Theodore, AL
Towson, MD
Gold Canyon, AZ
Albuquerque, NM
Westminster, CA
Dana, IN
Little Rock, AR
East Greenwich, RI
Ashland, MO
Clive, IA
Richardson, TX
Kirksville, MO
Argonia, KS
Private
Private
Public
Private
Public
Private
Private
Public
Private
Public
Private
Private
Private
Private
Private
Private
Private
Private
$
2,330,000
$
2,295,000
$
2,080,000
$
2,060,000
$
2,000,000
$
1,706,000
$
1,700,000
$
1,607,000
$
1,579,000
$
1,549,000
$
1,312,000
$
1,100,000
$
1,065,000
$
1,037,000
$
800,000
$
712,500
$
470,000
$
442,000
190
$ 6,158,364,608
*Original Investment has been converted at a discount into common stock in the institution. Amount shown is
original invesment amount
26
United States Department of the Treasury
Office of Financial Stability
Report of Administrative Obligations and Expenditures
As of February 28, 2013
For Period Ending
February 28, 2013
PERSONNEL SERVICES
NON-PERSONNEL
SERVICES
Budget
Object Class (BOC)
Budget Object Class Title
1100, 1200 & 1300 PERSONNEL COMPENSATION & BENEFITS
PERSONNEL SERVICES Total:
2100
TRAVEL & TRANSPORTATION OF PERSONS
2200
TRANSPORTATION OF THINGS
2300
RENTS, COMMUNICATIONS, UTILITIES & MISC CHARGES
2400
PRINTING & REPRODUCTION
2500
OTHER SERVICES
2600
SUPPLIES AND MATERIALS
3100
3200
4200
4300
Projected
Obligations
$
111,785,000
$
111,785,000
$
2,279,000
12,000
769,000
500
250,754,000
1,593,000
Projected
Expenditures
$
111,720,000
$
111,720,000
$
2,234,000
12,000
694,000
500
194,008,000
1,589,000
$
244,000
640
198,782,140
$
310,502,140
$
$
$
$
$
$
$
$
Obligations
109,998,712
109,998,712
2,242,916
11,960
768,040
402
248,350,589
1,588,455
$
$
$
$
$
253,286
634
253,216,282
$
$
$
$
$
243,907
634
196,253,512
$
254,000
640
255,662,140
GRAND TOTAL: $
363,214,995
$
306,187,430
$
367,447,140
EQUIPMENT
LAND & STRUCTURES
INSURANCE CLAIMS & INDEMNITIES
INTEREST & DIVIDENDS
NON-PERSONNEL SERVICES Total:
Expenditures
$
109,933,918
$
109,933,918
$
2,200,381
$
11,960
$
693,277
$
402
$
191,518,681
$
1,584,270
For Period Ending
March 31, 2013
Note: The amounts presented above are cumulative from the initiation of the TARP.
27
U.S. Treasury Department
Office of Financial Stability
Agreements Under TARP [Section 105(a)(3)(A)]
Program Start - February, 28 2013
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
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
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
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
28
Date Approved
Type of Transaction
2/2/2009
2/3/2009
2/9/2009
2/12/2009
2/18/2009
2/18/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/26/2009
2/27/2009
3/6/2009
3/16/2009
3/23/2009
3/30/2009
3/30/2009
3/30/2009
3/30/2009
3/30/2009
3/31/2009
4/3/2009
4/3/2009
4/17/2009
4/17/2009
4/21/2009
4/21/2009
4/21/2009
4/30/2009
5/5/2009
5/13/2009
5/14/2009
5/15/2009
Interagency Agreement
Interagency Agreement
Contract
Contract
Financial Agent
Financial Agent
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Financial Agent
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Interagency Agreement
Contract
Financial Agent
Financial Agent
Financial Agent
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Vendor
Government Accountability Office
Internal Revenue Service
Pat Taylor & Assoc Inc.*
Locke Lord Bissell & Liddell LLP
Fannie Mae
Freddie Mac
Financial Clerk U.S. Senate
Office of Thrift Supervision
Simpson Thacher & Bartlett Mnp LLP
Venable LLP-1
Securities and Exchange Commission
Pension Benefit Guaranty Corp.
The Boston Consulting Group Inc.
EARNEST Partners*
Heery International Inc.*
Bingham Mccutchen LLP
Cadwalader Wickersham & Taft LLP
Haynes and Boone LLP
McKee Nelson LLP***
Sonnenschein Nath & Rosenthal LLP
FI Consulting Inc.*
American Furniture Rentals*
The Boston Consulting Group Inc.
Bureau of Engraving and Printing
Herman Miller Inc.
Alliance Bernstein L.P.
FSI Group, LLC
Piedmont Investment Advisors, LLC*
State Department
Federal Reserve Board
Department of Treasury - US Mint
Knowledgebank Inc.*
Phacil Inc.
Purpose
Oversight Services
Detailees
Administrative Support
Legal Advisory
Homeownership Program
Homeownership Program
Oversight Services
Detailees
Legal Advisory
Legal Advisory
Detailee
Legal Services
Financial Advisory
Small Business Assistance Program
Architectural Services
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Accounting/Internal Controls
Administrative Support
Financial Advisory
Detailee
Facilities Support
Asset Management Services
Asset Management Services
Asset Management Services
Detailee
Detailee
Administrative Support
Administrative Support
FOIA Support Services
29
Date Approved
Type of Transaction
5/20/2009
5/22/2009
5/26/2009
5/26/2009
6/9/2009
6/29/2009
7/15/2009
7/17/2009
7/30/2009
7/30/2009
7/30/2009
8/10/2009
8/10/2009
8/18/2009
8/25/2009
9/2/2009
9/10/2009
9/11/2009
9/18/2009
9/30/2009
9/30/2009
9/30/2009
9/30/2009
11/9/2009
12/16/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
1/14/2010
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Financial Agent
Financial Agent
Financial Agent
Contract
Financial Agent
Financial Agent
Financial Agent
Interagency Agreement
Vendor
Securities and Exchange Commission
Department of Justice - ATF
Anderson Mc Coy & Orta*
Simpson Thacher & Bartlett Mnp LLP
Financial Management Service - Gartner, Inc.
Department of Interior
Judicial Watch
Korn/Ferry International
Cadwalader Wickersham & Taft LLP
Debevoise & Plimpton, LLP
Fox Hefter Swibel Levin & Carol, LLP
Department of Justice
NASA
Mercer (US) Inc.
Department of Justice
Knowledge Mosaic Inc.*
Equilar Inc.*
PricewaterhouseCoopers LLP-1
Bureau of the Public Debt - ARC
IMMIXTECHNOLOGY INC.
IMMIXTECHNOLOGY INC.
NNA Inc.
SNL Financial LC
Department of the Treasury - Departmental Offices
Internal Revenue Service
Avondale Investments, LLC*
Bell Rock Capital, LLC*
Howe Barnes Hoefer & Arnett, Inc.*
Hughes Hubbard & Reed LLP
KBW Asset Management, Inc.*
Lombardia Capital Partners, LLC*
Paradigm Asset Management Co., LLC*
Government Accountability Office
Purpose
Detailee
Detailee
Legal Advisory
Legal Advisory
Information Technology
Information Technology
Legal Advisory
Administrative Support
Legal Advisory
Legal Advisory
Legal Advisory
Detailee
Detailee
Subscription Services
Detailee
Administrative Support
Subscription Services
Accounting/Internal Controls
Administrative Support
Information Technology
Information Technology
Administrative Support
Subscription Services
Administrative Support
Detailee
Asset Management Services
Asset Management Services
Asset Management Services
Legal Advisory
Asset Management Services
Asset Management Services
Asset Management Services
Oversight Services
30
Date Approved
Type of Transaction
1/15/2010
2/16/2010
2/16/2010
2/18/2010
3/8/2010
3/22/2010
3/26/2010
3/29/2010
4/2/2010
4/8/2010
4/12/2010
4/22/2010
4/22/2010
4/23/2010
5/4/2010
5/17/2010
6/24/2010
6/30/2010
7/21/2010
7/21/2010
7/22/2010
7/22/2010
7/22/2010
7/27/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
Contract
Interagency Agreement
Contract
Interagency Agreement
Contract
Interagency Agreement
Interagency Agreement
Financial Agent
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Financial Agent
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Vendor
Association of Govt Accountants
Internal Revenue Service
The Mitre Corporation
Bureau of the Public Debt - ARC
Qualx Corporation*
Financial Management Services - Gartner, Inc.
Federal Maritime Commission (FMC)
Morgan Stanley & Co. Incorporated
Financial Clerk U.S. Senate
Squire Sanders & Dempsey LLP
Ennis Knupp & Associates Inc.
Digital Management Inc.*
Microlink Llc
RDA Corporation*
Internal Revenue Service
Lazard Fréres & Co. LLC
Reed Elsevier Inc. (dba LexisNexis)
The George Washington University
Navigant Consulting Inc.
Regis & Associates PC*
Ernst & Young LLP
PricewaterhouseCoopers LLP-1
Schiff Hardin LLP
West Publishing Corporation
Alston & Bird LLP
Cadwalader Wickersham & Taft LLP
Fox Hefter Swibel Levin & Carol, LLP
Haynes and Boone LLP
Hughes Hubbard & Reed LLP
Love & Long LLP*
Orrick Herrington Sutcliffe LLP
Paul Weiss Rfknd Whrtn & Grrsn LLP
Perkins Coie LLP
Purpose
Administrative Support
Detailee
Information Technology
Information Technology
FOIA Support Services
Information Technology
Detailee
Disposition Agent Services
Oversight Services
Legal Advisory
Financial Advisory
Information Technology
Information Technology
Information Technology
Administrative Support
Transaction Structuring Services
Subscription Services
Administrative Support
Compliance
Compliance
Compliance
Compliance
Legal Advisory
Administrative Support
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
31
Date Approved
Type of Transaction
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/12/2010
8/30/2010
9/1/2010
9/17/2010
9/27/2010
9/30/2010
10/1/2010
10/8/2010
10/14/2010
10/26/2010
11/8/2010
11/18/2010
12/2/2010
12/29/2010
1/5/2011
1/18/2011
1/24/2011
1/26/2011
2/24/2011
2/28/2011
3/3/2011
3/10/2011
3/22/2011
3/28/2011
4/20/2011
4/26/2011
4/27/2011
4/27/2011
4/27/2011
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Interagency Agreement
Contract
Financial Agent
Contract
Contract
Interagency Agreement
Financial Agent
Interagency Agreement
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Contract
Vendor
Seyfarth Shaw LLP
Shulman Rgrs Gndl Pordy & Ecker Pa
Sullivan Cove Reign Enterprises JV*
Venable LLP-1
Knowledge Mosaic Inc.*
Department of Housing and Urban Development
CQ-Roll Call Inc.
Bingham Mccutchen LLP
Davis Audrey Robinette*
CCH Incorporated
Financial Clerk U.S. Senate
Management Concepts Inc.****
Hispanic Assoc Of Coll & Univ*
Government Accountability Office
The Mitre Corporation*
Greenhill & Co., LLC
Addx Corporation*
Reed Elsevier Inc. (dba LexisNexis)
Canon U.S.A. Inc.
Perella Weinberg Partners & Co.
Bureau of the Public Debt - ARC
Association of Govt Accountants
ESI International Inc.
Department of the Treasury - Departmental Offices
Equilar Inc.*
Mercer (US) Inc.
Harrison Scott Publications
Fox News Network LLC
Federal Reserve Bank of New York
PricewaterhouseCoopers LLP-1
Oculus Group Inc.*
MorganFranklin Corporation
Lani Eko & Company CPAs LLC*
Purpose
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
Administrative Support
Subscription Services
Litigation Settlement
Financial Reporting
Financial Services
Financial Services
Financial Services
Financial Services
32
Date Approved
Type of Transaction
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
2/7/2012
2/14/2012
2/27/2012
3/6/2012
3/14/2012
3/30/2012
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
Financial Agent
Contract
Contract
Contract
Interagency Agreement
Contract
Vendor
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.
Greenhill & Co., LLC
Association of Govt Accountants
Diversified Search LLC
Integrated Federal Solutions, Inc.*
Department of Interior
E-Launch Multimedia, Inc.
Purpose
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
Structuring and Disposition Services
Administrative Support
Financial Advisory
Acquisition Support Services
Information Technology
Administrative Support
33
Date Approved
Type of Transaction
5/10/2012
6/12/2012
6/15/2012
6/30/2012
7/26/2012
8/1/2012
8/3/2012
9/8/2012
9/26/2012
11/19/2012
12/13/2012
12/19/2012
1/1/2013
1/1/2013
2/13/2013
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Financial Agent
Financial Agent
Contract
Vendor
Equilar Inc.*
Department of Justice
Qualx Corporation*
West Publishing Corporation
Knowledge Mosaic Inc.*
Internal Revenue Service
Harrison Scott Publications
SNL Financial LC
Bureau of the Public Debt - ARC
Government Accountability Office
Association of Govt Accountants
Department of the Treasury - Departmental Offices
Lazard Fréres & Co. LLC
Lazard Fréres & Co. LLC
Mercer (US) Inc.
Purpose
Subscription Services
Legal Services
Administrative Support
Subscription Services
Administrative Support
Training
Subscription Services
Subscription Services
Administrative Support
Oversight Services
Administrative Support
Administrative Support
Transaction Structuring Services
Transaction Structuring Services
Administrative Support
* Small or Women-, or Minority-Owned Small Business
**Contract responsibilities assumed by Sonnenschein Nath & Rosenthal via novation.
***Contract responsibilities assumed by Bingham McCutchen, LLP via novation.
**** Previously listed separate contracts for various training.
***** Service Disabled Veteran; HubZone business
34
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Insurance Contracts [Section 105(a)(3)(B)]
For Period Ending February 28, 2013
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.
35
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Transactions Report - Investment Programs
Program Start - February 28, 2013
CAPITAL PURCHASE PROGRAM
Seller
Footnote
1b
11, 23 5/26/2010
49
14
3a, 72 2/10/2012
119
Name of Institution
Purchase Date
10/28/2008 Bank of America Corporation
10/28/2008 The Bank of New York Mellon Corporation
Charlotte
New York
State
Investment Amount
NC
NY
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
15,000,000,000
3,000,000,000
Pricing
Mechanism
Par
Par
Citigroup Inc.
New York
NY
Common Stock w/ Warrants
$
25,000,000,000
Par
10/28/2008
10/28/2008
10/28/2008
10/28/2008
10/28/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
The Goldman Sachs Group, Inc.
JPMorgan Chase & Co.
Morgan Stanley
State Street Corporation
Wells Fargo & Company
Bank of Commerce Holdings
1st FS Corporation
UCBH Holdings, Inc.
Northern Trust Corporation
SunTrust Banks, Inc.
New York
New York
New York
Boston
San Francisco
Redding
Hendersonville
San Francisco
Chicago
Atlanta
NY
NY
NY
MA
CA
CA
NC
CA
IL
GA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
10,000,000,000
25,000,000,000
10,000,000,000
2,000,000,000
25,000,000,000
17,000,000
16,369,000
298,737,000
1,576,000,000
3,500,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Capital
Repayment Date
12/9/2009 4
6/17/2009 4
**
6/17/2009
6/17/2009
6/17/2009
6/17/2009
12/23/2009
9/27/2011
Capital Repayment
Amount (Loss) 6
$
$
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
$
$
0
0
Warrants
Warrants
3/3/2010
8/5/2009
$
25,000,000,000
$
0
Warrants
1/25/2011
Warrants
A $
4
$
$
$
$
$
$
10,000,000,000
25,000,000,000
10,000,000,000
2,000,000,000
25,000,000,000
17,000,000
$
$
$
$
$
$
0
0
0
0
0
0
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
7/22/2009
12/10/2009
8/12/2009
7/8/2009
5/20/2010
10/26/2011
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
R
A
R
R
A
R
$
$
1,576,000,000
3,500,000,000
$
$
0
0
Warrants
Warrants
8/26/2009
9/22/2011
$
$
200,000,000
3,133,640,000
$
$
0
0
Warrants
Warrants
4
4
5
4
49
6/17/2009
3/30/2011
4
4
Broadway Financial Corporation
Los Angeles
CA
Preferred Stock
$
9,000,000
Par
Washington Federal, Inc.
BB&T Corp.
M&T Bank Corporation (Provident Bancshares
Corp.)
Umpqua Holdings Corp.
Comerica Inc.
Regions Financial Corporation
Capital One Financial Corporation
First Horizon National Corporation
Huntington Bancshares
KeyCorp
Seattle
Winston-Salem
WA
NC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
200,000,000
3,133,640,000
Par
Par
5/27/2009
6/17/2009
4
Baltimore
MD
Preferred Stock w/ Warrants
$
151,500,000
Par
8/17/2012
119
$
151,500,000
$
0
Warrants
Portland
Dallas
Birmingham
McLean
Memphis
Columbus
Cleveland
OR
TX
AL
VA
TN
OH
OH
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
214,181,000
2,250,000,000
3,500,000,000
3,555,199,000
866,540,000
1,398,071,000
2,500,000,000
Par
Par
Par
Par
Par
Par
Par
2/17/2010
3/17/2010
4/4/2012
6/17/2009
12/22/2010
12/22/2010
3/30/2011
5
$
$
$
$
$
$
$
214,181,000
2,250,000,000
3,500,000,000
3,555,199,000
866,540,000
1,398,071,000
2,500,000,000
$
$
$
$
$
$
$
0
0
0
0
0
0
0
6/3/2009
4
$
75,000,000
$
225,000,000
9/23/2009
4
$
125,000,000
$
100,000,000
12/23/2009
4
$
100,000,000
$
3/28/2012
4
$
700,000,000
$
9/26/2012
4
$
700,000,000
$
0
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
7/5/2011
44
$
1,715,000,000
$
0
6/17/2009
4/22/2009
5/27/2009
6/3/2009
9/30/2009
4
$
$
$
$
$
6,599,000,000
361,172,000
184,011,000
25,000,000
27,875,000
$
$
$
$
$
0
0
0
0
0
12/30/2009
4
$
200,000,000
$
3/3/2010
7/8/2009
9/27/2011
4
$
$
$
200,000,000
41,500,000
140,000,000
$
$
$
11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/21/2008
11/21/2008
11/21/2008
11/21/2008
11/21/2008
11/21/2008
Valley National Bancorp
Zions Bancorporation
Marshall & Ilsley Corporation
U.S. Bancorp
TCF Financial Corporation
First Niagara Financial Group
HF Financial Corp.
Centerstate Banks of Florida Inc.
City National Corporation
First Community Bancshares Inc.
Western Alliance Bancorporation
Wayne
Salt Lake City
Milwaukee
Minneapolis
Wayzata
Lockport
Sioux Falls
Davenport
Beverly Hills
Bluefield
Las Vegas
NJ
UT
WI
MN
MN
NY
SD
FL
CA
VA
NV
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
$
300,000,000
1,400,000,000
1,715,000,000
6,599,000,000
361,172,000
184,011,000
25,000,000
27,875,000
400,000,000
41,500,000
140,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
1b
A $
Warrants
183,547,824
R $
Warrants
136,000,000
23
11/14/2008
11/14/2008
Final
Disposition
Date
15,000,000,000
3,000,000,000
11/14/2008
11/14/2008
11/14/2008
49
City
Capital Repayment Details
10/28/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
44 5/16/2011
Purchase Details
4
4
4
4
4
4
4
4
5
4
5
5
49
0
700,000,000
200,000,000
0
0
0
54,621,849
$
$
$
$
$
$
1,100,000,000
936,063,469
950,000,000
60,000,000
840,374,892
125,000
Warrants
Warrants
R $
A $
87,000,000
14,069,763
3/9/2010
7/22/2009
Warrants
Warrants
A $
R $
15,388,874
67,010,402
3/31/2010
5/6/2010
5/2/2012
12/3/2009
3/9/2011
1/19/2011
4/20/2011
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
5/18/2010
9
9
R
A
R
A
R
R
R
$
$
$
$
$
$
$
4,500,000
181,102,043
45,000,000
146,500,065
79,700,000
49,100,000
70,000,000
Warrants
A $
5,421,615
12/5/2012
Warrants
P $
7,666,419
Warrants
7/5/2011
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
Warrants
Warrants
7/15/2009
12/15/2009
6/24/2009
6/30/2009
10/28/2009
Warrants
Warrants
Warrants
Warrants
Warrants
4/7/2010
11/18/2011
11/18/2011
44
R $
R
A
R
R
R
3,250,000
$
$
$
$
$
139,000,000
9,449,981
2,700,000
650,000
212,000
Warrants
R $
18,500,000
Warrants
Warrants
P $
P $
30,600
415,000
9
9
36
Seller
Footnote
Purchase Date
11/21/2008
29
85 06/13/2012
74 3/28/2012
47 6/30/2011
14, 20
50
49
26 9/30/2010
50
131
Waterbury
State
CT
Investment Amount
Preferred Stock w/ Warrants
$
400,000,000
Par
Capital
Repayment Date
Capital Repayment
Amount (Loss) 6
3/3/2010
4
$
100,000,000
$
300,000,000
10/13/2010
4
$
100,000,000
$
200,000,000
$
$
$200,000,000
165,983,272
40,000,000
$
$
$
0
29,061,728
0
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
Warrants
Warrants
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
6/2/2011
Warrants
A $
20,388,842
11/30/2012
Warrants
R $
393,121
8/22/2012
Warrants
R $
2,670,000
Pacific Capital Bancorp
Heritage Commerce Corp.
Santa Barbara
San Jose
CA
CA
Common Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
195,045,000
40,000,000
Par
Par
12/29/2010
11/30/2012
3/7/2012
11/21/2008
Ameris Bancorp
Moultrie
GA
Preferred Stock w/ Warrants
$
52,000,000
Par
6/13/2012
85
$
47,665,332
$
0
Warrants
11/21/2008
Porter Bancorp Inc.
Louisville
KY
Preferred Stock w/ Warrants
$
35,000,000
Par
11/21/2008
Banner Corporation
Walla Walla
WA
Preferred Stock w/ Warrants
$
124,000,000
Par
3/28/2012
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
4
$
$
215,000,000
10,987,794
$
$
0
0
Warrants
Warrants
12/30/2009
11/1/2012
Warrants
Warrants
R $
R $
10,000,000
297,500
11/21/2008
Cascade Financial Corporation
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
4
4
4
4
104,000,000
0
262,500,000
Par
Preferred Stock w/
Warrants
9
N/A
11/21/2008
11/21/2008
Trustmark Corporation
First Community Corporation
Jackson
Lexington
MS
SC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
215,000,000
11,350,000
Par
Par
12/9/2009
8/23/2012
11/21/2008
Taylor Capital Group
Rosemont
IL
Preferred Stock w/ Warrants
$
104,823,000
Par
6/13/2012
86
$
92,254,460
$
0
Warrants
7/18/2012
Warrants
R $
9,839,273
11/21/2008
BBCN Bancorp, Inc.
(Nara Bancorp, Inc.)
Los Angeles
CA
Preferred Stock w/ Warrants
$
67,000,000
Par
6/27/2012
4
$
67,000,000
$
0
Warrants
8/8/2012
Warrants
R $
2,189,317
$
89,388,000
Par
$
$
$
$
$
$
$
196,000,000
193,000,000
180,000,000
75,000,000
34,000,000
1,700,000
90,000,000
Par
Par
Par
Par
Par
Par
Par
3/14/2012
11/23/2011
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
$
$
$
$
75,000,000
34,000,000
1,700,000
90,000,000
$
$
$
$
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
12/5/2008
Midwest Banc Holdings, Inc.
Melrose Park
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
MB Financial Inc.
First Midwest Bancorp, Inc.
United Community Banks, Inc.
WesBanco, Inc.
Encore Bancshares Inc.
Manhattan Bancorp
Iberiabank Corporation
Chicago
Itasca
Blairsville
Wheeling
Houston
El Segundo
Lafayette
12/5/2008
12/5/2008
12/5/2008
Eagle Bancorp, Inc.
Sandy Spring Bancorp, Inc.
Coastal Banking Company, Inc.
East West Bancorp
Bethesda
Olney
Fernandina Beach
Pasadena
IL
IL
IL
GA
WV
TX
CA
LA
MD
MD
FL
CA
Mandatorily Convertible Preferred Stock w/
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
38,235,000
83,094,000
9,950,000
306,546,000
9/9/2009
9/27/2011
9/16/2009
3/31/2009
122
4
4
50
4
5
12/23/2009
5
$
15,000,000
$
7/14/2011
49
$
23,235,000
$
7/21/2010
4
$
41,547,000
$
12/15/2010
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
0
N/A
N/A
23,235,000
Par
Par
Par
Par
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
12/5/2008
Great Southern Bancorp
Cathay General Bancorp
Southern Community Financial Corp.
Springfield
Los Angeles
Winston-Salem
MO
CA
NC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
58,000,000
258,000,000
42,750,000
Par
Par
Par
8/18/2011
50
$
58,000,000
$
10/1/2012
131
$
42,750,000
$
8/26/2009
4
$
97,500,000
$
9/2/2009
4
$
32,500,000 $
0
N/A
Preferred Stock w/
Warrants
Warrants
6/13/2012
89
$
35,084,144
$
0
Warrants
3/28/2012
75
$
55,926,478
$
0
Warrants
12/5/2008
CVB Financial Corp
First Defiance Financial Corp.
Ontario
Defiance
CA
OH
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
130,000,000
37,000,000
Par
Par
12/5/2008
First Financial Holdings Inc.
Charleston
SC
Preferred Stock w/ Warrants
$
65,000,000
Par
12/5/2008
Superior Bancorp Inc.
Birmingham
AL
Trust Preferred Securities w/ Warrants
$
69,000,000
Par
32,500,000
9
Warrants
26
12/5/2008
89 06/13/2012
75 3/28/2012
17, 54
Webster Financial Corporation
City
Pricing
Mechanism
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
11/21/2008
11/21/2008
12/5/2008
198
Name of Institution
Capital Repayment Details
4
11/21/2008
122
86 06/13/2012
66 11/30/2011
Purchase Details
10/28/2009
Warrants
9
N/A
R $
1,307,000
37
Seller
Footnote
Purchase Date
Purchase Details
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
4
$
70,000,000
$
0
Warrants
130
$
$
$
$
$
3,000,000
28,000,000
28,365,685
10,000,000
9,550,000
$
$
$
$
$
0
0
0
0
0
N/A
Warrants
Warrants
Warrants
Warrants
4
$
36,842,000
$
0
Warrants
9/30/2010
32
$
12,119,637
$
0
7/15/2009
4
$
7,000,000
$
8/14/2012
8/11/2011
3/31/2009
1/28/2011
2/15/2013
12/23/2009
118
$
$
$
$
$
$
113,338,081
13,500,000
100,000,000
41,279,000
6,500,000
235,000,000
$
120
50
49
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
Southwest Bancorp, Inc.
Popular, Inc.
Blue Valley Ban Corp
Central Federal Corporation
Bank of Marin Bancorp
BNC Bancorp
Central Bancorp, Inc.
Southern Missouri Bancorp, Inc.
Stillwater
San Juan
Overland Park
Fairlawn
Novato
Thomasville
Somerville
Poplar Bluff
OK
PR
KS
OH
CA
NC
MA
MO
Preferred Stock w/ Warrants
Trust Preferred Securities w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
70,000,000
935,000,000
21,750,000
7,225,000
28,000,000
31,260,000
10,000,000
9,550,000
Par
Par
Par
Par
Par
Par
Par
Par
9/26/2012
3/31/2009
8/23/2012
8/25/2011
7/21/2011
68 - 1/1/2012
12/5/2008
Valley National Bancorp (State Bancorp, Inc.)
Wayne
NJ
Preferred Stock w/ Warrants
$
36,842,000
Par
12/14/2011
12
130
32 9/30/2010
55
24, 118
50
35
208
88 06/13/2012
43 5/13/2011
12/5/2008
TIB Financial Corp
Naples
FL
Preferred Stock w/ Warrants
$
37,000,000
Par
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
Unity Bancorp, Inc.
Old Line Bancshares, Inc.
FPB Bancorp, Inc.
Sterling Financial Corporation
Oak Valley Bancorp
Old National Bancorp
Capital Bank Corporation
Pacific International Bancorp
SVB Financial Group
Clinton
Bowie
Port St. Lucie
Spokane
Oakdale
Evansville
Raleigh
Seattle
Santa Clara
NJ
MD
FL
WA
CA
IN
NC
WA
CA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Common Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
20,649,000
7,000,000
5,800,000
303,000,000
13,500,000
100,000,000
41,279,000
6,500,000
235,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
12/12/2008
LNB Bancorp Inc.
12/12/2008
M&T Bank Corporation (Wilmington Trust
Corporation)
12/12/2008
214
66 11/30/2011
50
76 3/28/2012
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
Signature Bank
HopFed Bancorp
Citizens Republic Bancorp, Inc.
Indiana Community Bancorp
Bank of the Ozarks, Inc.
BBCN Bancorp, Inc.
(Center Financial Corporation)
NewBridge Bancorp
Sterling Bancshares, Inc.
The Bancorp, Inc.
TowneBank
12/12/2008
Wilshire Bancorp, Inc.
12/12/2008
12/12/2008
22
50
176
181
Susquehanna Bancshares, Inc
Valley Financial Corporation
4
120
50
49
50
4
35
208
5
P $
R $
R $
N/A
1,703,984
939,920
2,525,000
Warrants
9/30/2010
Warrants
32
R $
40,000
0
Warrants
9/2/2009
Warrants
R $
225,000
$
$
$
$
$
$
0
0
0
0
0
0
Warrants
Warrants
Warrants
N/A
Warrants
Warrants
9/19/2012
9/28/2011
5/8/2009
N/A
Warrants
Warrants
Warrants
N/A
R $
R $
R $
-
825,000
560,000
1,200,000
N/A
6/16/2010
Warrants
R $
6,820,000
21,594,229
$
0
Warrants
7/18/2012
Warrants
R $
860,326
0
1/19/2011
Warrants
R $
5,269,179
3/10/2010
1/16/2013
Warrants
Warrants
A $
R $
11,150,940
256,257
9/12/2012
11/24/2009
Warrants
Warrants
R $
R $
1,800,000
2,650,000
A $
R $
2,857,915
4,753,985
$
25,223,000
Par
6/13/2012
Wilmington
DE
Preferred Stock w/ Warrants
$
330,000,000
Par
5/13/2011
43
$
330,000,000
$
4/21/2010
4
$
200,000,000
$
12/22/2010
3/31/2009
12/19/2012
4
$
$
$
100,000,000
120,000,000
18,400,000
$
$
$
0
0
0
Preferred Stock w/
Warrants
Warrants
Warrants
Warrants
9/12/2012
11/4/2009
4
$
$
21,500,000
75,000,000
$
$
0
0
Warrants
Warrants
Preferred Stock w/ Warrants
$
300,000,000
Par
4
Final Disposition
Proceeds
130
Preferred Stock w/ Warrants
PA
Final Disposition
Disposition
Investment
15
Description
N/A
Warrants
Warrants
Warrants
OH
Lititz
Final
Disposition
Date
N/A
11/18/2011
9/19/2012
10/19/2011
Lorain
100,000,000
35
9
Warrants
NY
KY
MI
IN
AR
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
120,000,000
18,400,000
300,000,000
21,500,000
75,000,000
Par
Par
Par
Par
Par
Los Angeles
CA
Preferred Stock w/ Warrants
$
55,000,000
Par
6/27/2012
4
$
55,000,000
$
0
Warrants
Greensboro
Houston
Wilmington
Portsmouth
NC
TX
DE
VA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
52,372,000
125,198,000
45,220,000
76,458,000
Par
Par
Par
Par
5/5/2009
3/10/2010
9/22/2011
4
$
$
$
125,198,000
45,220,000
76,458,000
$
$
$
0
0
0
Warrants
Warrants
Warrants
6/9/2010
9/8/2010
Warrants
Warrants
Los Angeles
CA
Preferred Stock w/ Warrants
$
62,158,000
Par
3/28/2012
76
$
57,766,994
$
0
Warrants
6/20/2012
Warrants
R $
760,000
11/14/2012
4
$
1,600,000
$
14,419,000
2/20/2013
4
$
1,600,000
$
12,819,000
12/28/2011
4
$
23,750,000
$
71,250,000
7/18/2012
Warrants
R $
755,000
6/20/2012
4
$
71,250,000
$
0
Warrants
4/7/2010
3/16/2011
11/28/2012
9/22/2011
12/11/2012
11/30/2012
11/18/2009
4
$
$
$
$
$
$
$
10,000,000
150,000,000
4,227,000
20,500,000
71,000,000
7,000,000
15,000,000
$
$
$
$
$
$
$
0
0
0
0
0
0
0
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
4/7/2010
4/13/2011
12/28/2012
11/9/2011
Warrants
Warrants
Warrants
Warrants
12/16/2009
Warrants
$
11,181,456
$
0
Warrants
New York
Hopkinsville
Flint
Columbus
Little Rock
Roanoke
VA
Preferred Stock w/ Warrants
12/12/2008
Independent Bank Corporation
Ionia
MI
12/12/2008
Pinnacle Financial Partners, Inc.
Nashville
TN
Preferred Stock w/ Warrants
First Litchfield Financial Corporation
National Penn Bancshares, Inc.
Northeast Bancorp
Citizens South Banking Corporation
Virginia Commerce Bancorp
WesBanco, Inc. (Fidelity Bancorp, Inc.)
LSB Corporation
Intermountain Community Bancorp
Community West Bancshares
Synovus Financial Corp.
8/8/2012
88
Mandatorily Convertible Preferred Stock w/
Warrants
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/19/2008
12/19/2008
12/19/2008
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Litchfield
Boyertown
Lewiston
Gastonia
Arlington
Wheeling
North Andover
Sandpoint
Goleta
Columbus
CT
PA
ME
NC
VA
WV
MA
ID
CA
GA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
16,019,000
74,426,000
Par
$
95,000,000
Par
10,000,000
150,000,000
4,227,000
20,500,000
71,000,000
7,000,000
15,000,000
27,000,000
15,600,000
967,870,000
4
5
50
Par
$
$
$
$
$
$
$
$
$
$
$
4
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
12/11/2012
4
4
50
4
176
4
9
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
9
R
R
R
R
$
$
$
$
1,488,046
1,000,000
95,000
225,157
R $
560,000
38
Seller
Purchase Details
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Footnote
Purchase Date
70
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
Tennessee Commerce Bancorp, Inc.
Community Bankers Trust Corporation
BancTrust Financial Group, Inc.
Enterprise Financial Services Corp.
Mid Penn Bancorp, Inc.
Summit State Bank
Franklin
Glen Allen
Mobile
St. Louis
Millersburg
Santa Rosa
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
$
$
$
$
$
$
30,000,000
17,680,000
50,000,000
35,000,000
10,000,000
8,500,000
Par
Par
Par
Par
Par
Par
2/15/2013
11/7/2012
12/28/2012
8/4/2011
206
12/19/2008
VIST Financial Corp.
Wyomissing
PA
Preferred Stock w/ Warrants
$
25,000,000
Par
8/1/2012
206
49
117 8/1/2012
45 - 6/3/2011
81 4/19/2012
50
64 10/21/2011
77 3/28/2012
50
92 6/27/2012
194
50
50
30 9/29/2010
49
50
2, 170
2, 49
2, 49
2, 3
2
2
2, 102
2, 103
2
2
2, 104
2
2
2, 50
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
$
$
$
$
50,000,000
35,000,000
10,000,000
8,500,000
$
$
$
$
0
0
0
0
Warrants
Warrants
Warrants
Warrants
2/15/2013
1/9/2013
1/23/2013
9/14/2011
Warrants
Warrants
Warrants
Warrants
206
R
R
R
R
$
$
$
$
15,000
1,006,100
58,479
315,000
116
$
25,000,000
$
0
Warrants
8/1/2012
Warrants
116
R $
1,189,813
4
$
22,000,000
$
0
Warrants
12/16/2009
Warrants
$
300,000,000
$
0
Warrants
6/3/2011
Warrants
4
4
49
12/19/2008
Wainwright Bank & Trust Company
Boston
MA
Preferred Stock w/ Warrants
$
22,000,000
Par
11/24/2009
12/19/2008
Whitney Holding Corporation
New Orleans
LA
Preferred Stock w/ Warrants
$
300,000,000
Par
6/3/2011
12/19/2008
The Connecticut Bank and Trust Company
Hartford
CT
Preferred Stock w/ Warrants
$
5,448,000
Par
4/19/2012
81
$
5,448,000
$
0
Warrants
4/19/2012
Warrants
$
64,450,000
$
0
Warrants
11/18/2011
Warrants
$
2,800,000
$
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
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
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
$
4
Par
11/10/2010
8/25/2011
$
$
6,250,000
18,750,000
$
$
$
42,757,786
$
0
Warrants
$
$
$
$
12,643,000
40,000,000
25,000,000
21,000,000
$
$
$
$
0
0
0
0
Warrants
Warrants
Warrants
Warrants
12/19/2008
Horizon Bancorp
Michigan City
IN
Preferred Stock w/ Warrants
$
25,000,000
50
18,750,000
0
R $
568,700
45
R $
6,900,000
81
R $
792,783
P $
64
143,677
-
N/A
12/19/2008
Fidelity Southern Corporation
Atlanta
GA
Preferred Stock w/ Warrants
$
48,200,000
Par
6/27/2012
92
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
1/9/2013
5/27/2009
7/14/2011
8/11/2011
194
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
4/13/2011
4
$
7,500,000
$
12/28/2011
4
$
22,500,000
$
0
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
0
Warrants
12/23/2009
Warrants
0
9/30/2009
Warrants
R $
1,400,000
6/17/2009
9/28/2011
Warrants
Warrants
R $
R $
900,000
1,800,000
11/30/2012
9/27/2011
9/22/2011
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
P $
R $
R $
358,558
4,382,000
777,000
P $
P $
R $
1,450,171
2,054,215
92,000
1,725,103
12/19/2008
18
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
StellarOne Corporation
Charlottesville
VA
Preferred Stock w/ Warrants
$
30,000,000
Par
4
50
50
5
5
22,500,000
9
9
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
12/19/2008
The Elmira Savings Bank, FSB
Alliance Financial Corporation
Heartland Financial USA, Inc.
Elmira
Syracuse
Dubuque
NY
NY
IA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
9,090,000
26,918,000
81,698,000
Par
Par
Par
8/25/2011
5/13/2009
9/15/2011
49
$
$
$
9,090,000
26,918,000
81,698,000
$
$
$
2/16/2011
4
$
2,212,308
$
6,566,692
12/19/2008
Citizens First Corporation
Bowling Green
KY
Preferred Stock w/ Warrants
$
8,779,000
Par
2/13/2013
4
$
3,300,904
$
3,265,788
11/30/2012
9/27/2011
9/22/2011
170
$
$
$
6,515,426
87,631,000
15,540,000
$
$
$
0
0
0
Warrants
Preferred Stock w/
Warrants
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
7/27/2012
7/27/2012
12/28/2012
102
$
$
$
25,313,186
37,259,393
1,834,000
$
$
$
0
0
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
7/27/2012
7/27/2012
12/28/2012
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
7/27/2012
104
$
32,013,328
$
0
Preferred Stock 2
7/27/2012
Preferred Stock
2, 7
P $
9/22/2011
50
$
9,294,000
$
0
Preferred Stock 2
9/22/2011
Preferred Stock
2, 7
R $
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
FFW Corporation
Plains Capital Corporation
Tri-County Financial Corporation
OneUnited Bank
Patriot Bancshares, Inc.
Pacific City Financial Corporation
Marquette National Corporation
Exchange Bank
Monadnock Bancorp, Inc.
Bridgeview Bancorp, Inc.
Fidelity Financial Corporation
Patapsco Bancorp, Inc.
NCAL Bancorp
FCB Bancorp, Inc.
Wabash
Dallas
Waldorf
Boston
Houston
Los Angeles
Chicago
Santa Rosa
Peterborough
Bridgeview
Wichita
Dundalk
Los Angeles
Louisville
IN
TX
MD
MA
TX
CA
IL
CA
NH
IL
KS
MD
CA
KY
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
7,289,000
87,631,000
15,540,000
12,063,000
26,038,000
16,200,000
35,500,000
43,000,000
1,834,000
38,000,000
36,282,000
6,000,000
10,000,000
9,294,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
4
50
49
49
103
4
18,255,000
0
0
0
9
2, 7
2, 7
2, 7
2, 7
465,000
39
Seller
Footnote
12/23/2008
12/23/2008
178
119
49
59 - 9/7/2011
Name of Institution
Purchase Date
12/23/2008
12/23/2008
12/23/2008
Purchase Details
First Financial Bancorp
Bridge Capital Holdings
International Bancshares Corporation
First Sound Bank
M&T Bank Corporation
City
Cincinnati
San Jose
Laredo
Seattle
Buffalo
State
OH
CA
TX
WA
NY
12/23/2008
12/23/2008
Emclaire Financial Corp.
Park National Corporation
Emlenton
Newark
PA
OH
12/23/2008
Green Bankshares, Inc.
Greeneville
TN
12/23/2008
Cecil Bancorp, Inc.
Elkton
12/23/2008
Financial Institutions, Inc.
Warsaw
Capital Repayment Details
Investment Amount
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
80,000,000
23,864,000
216,000,000
7,400,000
600,000,000
7,500,000
100,000,000
Pricing
Mechanism
Capital
Repayment Date
Par
2/24/2010
Par
5
Capital Repayment
Amount (Loss) 6
$
80,000,000
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
$
0
2/23/2011
4
$
15,000,000
$
3/16/2011
4
$
8,864,000
$
7/11/2011
4
$
40,000,000
$
176,000,000
11/1/2012
4
$
45,000,000
$
131,000,000
11/28/2012
2/20/2013
4
$
$
131,000,000
3,700,000
$
$
8,864,000
0
Final
Disposition
Date
Warrants
6/2/2010
Warrants
4/20/2011
Warrants
N/A
N/A
12/17/2012
Warrants
P $
31,838,761
12/7/2011
5/2/2012
Warrants
Warrants
R $
R $
51,113
2,842,400
N/A
N/A
5/11/2011
Warrants
R $
2,079,963
9/8/2010
Warrants
R $
10,800,000
9/28/2011
Warrants
R $
900,194
5/18/2011
4
$
370,000,000
$
119
Par
Par
8/17/2012
8/18/2011
4/25/2012
$
$
$
230,000,000
7,500,000
100,000,000
$
$
$
0
0
0
9/7/2011
59
$
68,700,000
$
0
N/A
2/23/2011
4
$
12,505,000
$
3/30/2011
4
$
25,010,000
$
0
Warrants
Par
Par
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
72,278,000
Par
MD
Preferred Stock w/ Warrants
$
11,560,000
Par
NY
Preferred Stock w/ Warrants
$
37,515,000
Par
178
49
4
0
0
230,000,000
25,010,000
9
Final Disposition
Proceeds
Preferred Stock w/
Warrants
Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
N/A
Preferred Stock w/
Warrants
Warrants
Warrants
Warrants
Par
Final Disposition
Disposition
Investment
15
Description
Preferred Stock w/
Warrants
A $
2,966,288
R $
1,395,000
N/A
59
-
N/A
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
2/8/2013
50
$
$
$
32,382,000
10,800,000
18,571,410
$
$
$
12/23/2008
First Community Bank Corporation of America
Pinellas Park
FL
Preferred Stock w/ Warrants
$
10,685,000
Par
5/31/2011
39
$
7,754,267
$
0
N/A
N/A
N/A
12/23/2008
12/23/2008
Sterling Bancorp
Intervest Bancshares Corporation
New York
New York
NY
NY
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
42,000,000
25,000,000
Par
Par
4/27/2011
4
$
42,000,000
$
0
Warrants
5/18/2011
Warrants
R $
945,775
12/23/2008
Peoples Bancorp of North Carolina, Inc.
Newton
NC
Preferred Stock w/ Warrants
$
25,054,000
Par
6/27/2012
93
$
23,033,635
$
0
Warrants
8/8/2012
Warrants
R $
425,000
Hermitage
PA
Preferred Stock w/ Warrants
$
31,762,000
Par
1/3/2012
67
$
31,762,000
$
0
Warrants
Hoquiam
Cranbury
Oakhurst
Monmouth
Westminster
Portland
Albemarle
WA
NJ
NJ
IL
CA
OR
NC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
16,641,000
12,000,000
11,300,000
6,855,000
1,549,000
4,000,000
10,000,000
Par
Par
Par
Par
Par
Par
Par
11/13/2012
10/27/2010
11/24/2010
11/9/2012
154
$
$
$
$
14,209,334
12,000,000
11,300,000
6,398,944
$
$
$
$
0
0
0
0
Warrants
Warrants
Warrants
Preferred Stock
11/18/2011
12/1/2010
11/9/2012
Warrants
Warrants
Preferred Stock
P $
R $
P $
326,576
319,659
335,417
11/9/2012
148
$
3,715,906
$
0
Preferred Stock 2
11/9/2012
Preferred Stock
2, 7
P $
192,102
Sun Valley
CA
Preferred Stock
$
5,500,000
Par
8/20/2010
4
$
5,500,000
$
0
N/A
N/A
N/A
Kinston
Los Angeles
South Hill
Chula Vista
Dayton
Arlington
Green Bay
NC
CA
VA
CA
OH
MA
WI
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
7,500,000
4,060,000
3,000,000
1,800,000
2,000,000
5,830,000
14,964,000
Par
Par
Par
Par
Par
Par
Par
10/31/2012
143
$
7,285,410
$
0
Preferred Stock
2,7
R $
371,250
7/28/2011
9/1/2011
8/3/2011
11/24/2010
9/1/2011
11/24/2009
6/8/2011
8/18/2011
49
R
R
R
R
R
$
$
$
$
$
150,000
90,000
100,000
292,000
748,000
12/20/2012
12/30/2010
7/14/2011
189
204
393/11/2011
93 6/27/2012
67 12/29/2011
154
2, 155
2
2, 148
2
3, 30 8/20/2010
2, 143
2
2, 49
2, 49
2
2
2, 49
2, 49
2
2, 189
2
2, 49
2, 61
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
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
Uwharrie Capital Corp
12/23/2008
Mission Valley Bancorp
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
The Little Bank, Incorporated
Pacific Commerce Bank
Citizens Community Bank
Seacoast Commerce Bank
TCNB Financial Corp.
Leader Bancorp, Inc.
Nicolet Bankshares, Inc.
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
Magna Bank
Western Community Bancshares, Inc.
Community Investors Bancorp, Inc.
Capital Bancorp, Inc.
Cache Valley Banking Company
Citizens Bancorp
Memphis
Palm Desert
Bucyrus
Rockville
Logan
Nevada City
TN
CA
OH
MD
UT
CA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
13,795,000
7,290,000
2,600,000
4,700,000
4,767,000
10,400,000
Par
Par
Par
Par
Par
Par
4
204
4
4
155
49
4
4
49
4
4
49
4
49
$
$
$
$
$
$
$
$
3,000,000
1,800,000
2,000,000
5,830,000
14,964,000
3,455,000
3,455,000
6,885,000
$
$
$
$
$
$
$
$
$
$
$
2,445,000
4,700,000
4,767,000
$
$
$
0
0
7,428,590
0
0
0
0
0
10,340,000
6,885,000
0
0
0
0
Warrants
Warrants
Warrants
Preferred Stock
2
2
10/31/2012
-
2, 7
N/A
-
N/A
Preferred Stock
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
7/28/2011
9/1/2011
8/3/2011
11/24/2010
9/1/2011
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
8/18/2011
Preferred Stock
2, 7
R $
690,000
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
12/20/2012
12/30/2010
7/14/2011
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
P $
R $
R $
105,000
235,000
238,000
2
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
40
Seller
Purchase Details
Name of Institution
City
Footnote
Purchase Date
2
2, 50
12/23/2008
12/23/2008
12/31/2008
12/31/2008
12/31/2008
Tennessee Valley Financial Holdings, Inc.
Pacific Coast Bankers' Bancshares
SunTrust Banks, Inc.
The PNC Financial Services Group Inc.
Fifth Third Bancorp
12/31/2008
Hampton Roads Bankshares, Inc.
12/31/2008
12/31/2008
12/31/2008
1/9/2009
1/9/2009
CIT Group Inc.
West Bancorporation, Inc.
First Banks, Inc.
Bank of America Corporation
FirstMerit Corporation
Farmers Capital Bank Corporation
Frankfort
31 9/30/2010
16
2
1a, 1b
87 06/13/2012
65 11/15/2011
1/9/2009
199
33
49
209
50
49
49
215
2
2
2, 49
2, 49
2, 152
3
2, 49
2
2
2
Investment Amount
3,000,000
11,600,000
1,350,000,000
7,579,200,000
3,408,000,000
Capital
Repayment Date
Par
Par
Par
Par
Par
7/28/2011
3/30/2011
2/10/2010
2/2/2011
50
TN
CA
GA
PA
OH
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Norfolk
VA
Common Stock w/ Warrants
$
80,347,000
Par
New York
West Des Moines
Clayton
Charlotte
Akron
NY
IA
MO
NC
OH
Contingent Value Rights
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
2,330,000,000
36,000,000
295,400,000
10,000,000,000
125,000,000
Par
Par
Par
Par
Par
2/8/2010
6/29/2011
16
12/9/2009
4/22/2009
4
KY
Preferred Stock w/ Warrants
$
30,000,000
Par
6/13/2012
87
Oak Ridge
San Francisco
Atlanta
Pittsburgh
Cincinnati
$
$
$
$
$
Pricing
Mechanism
4
4
4
4
4
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
$
$
$
$
0
0
0
0
Preferred Stock 2
Warrants
Warrants
Warrants
7/28/2011
9/22/2011
4/29/2010
3/16/2011
Preferred Stock
Warrants
Warrants
Warrants
$
$
0
36,000,000
$
$
0
0
N/A
Warrants
N/A
8/31/2011
N/A
Warrants
$
$
10,000,000,000
125,000,000
$
$
0
0
Warrants
Warrants
3/3/2010
5/27/2009
Warrants
Warrants
$
21,863,750
$
0
Warrants
7/18/2012
4
$
7,172,000
$
21,513,000
3/2/2011
4
$
7,172,000
$
14,341,000
$
$
14,341,000
5,000,000
$
$
Peapack-Gladstone Financial Corporation
Gladstone
NJ
Preferred Stock w/ Warrants
$
28,685,000
Par
Commerce National Bank
Newport Beach
CA
Preferred Stock w/ Warrants
$
5,000,000
Par
1/11/2012
10/7/2009
4
1/9/2009
1/9/2009
The First Bancorp, Inc.
Damariscotta
ME
Preferred Stock w/ Warrants
$
25,000,000
Par
8/24/2011
4
$
12,500,000
$
1/9/2009
Sun Bancorp, Inc.
Crescent Financial Bancshares, Inc.
(Crescent Financial Corporation)
American Express Company
Vineland
NJ
Preferred Stock w/ Warrants
$
89,310,000
Par
4/8/2009
4
$
89,310,000
$
Cary
NC
Preferred Stock w/ Warrants
$
24,900,000
Par
New York
NY
Preferred Stock w/ Warrants
$
3,388,890,000
Par
1/9/2009
1/9/2009
Central Pacific Financial Corp.
Honolulu
HI
Common Stock w/ Warrants
$
135,000,000
Centrue Financial Corporation
Eastern Virginia Bankshares, Inc.
Colony Bankcorp, Inc.
Independent Bank Corp.
Cadence Financial Corporation
LCNB Corp.
Center Bancorp, Inc.
F.N.B. Corporation
St. Louis
Tappahannock
Fitzgerald
Rockland
Starkville
Lebanon
Union
Hermitage
MO
VA
GA
MA
MS
OH
NJ
PA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
32,668,000
24,000,000
28,000,000
78,158,000
44,000,000
13,400,000
10,000,000
100,000,000
Par
Par
Par
Par
Par
Par
Par
Par
1/9/2009
C&F Financial Corporation
West Point
VA
Preferred Stock w/ Warrants
$
20,000,000
Par
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
North Central Bancshares, Inc.
Carolina Bank Holdings, Inc.
First Bancorp
First Financial Service Corporation
Codorus Valley Bancorp, Inc.
MidSouth Bancorp, Inc.
First Security Group, Inc.
Shore Bancshares, Inc.
The Queensborough Company
American State Bancshares, Inc.
Security California Bancorp
Security Business Bancorp
Sound Banking Company
Mission Community Bancorp
Redwood Financial Inc.
Surrey Bancorp
Independence Bank
Valley Community Bank
Fort Dodge
Greensboro
Troy
Elizabethtown
York
Lafayette
Chattanooga
Easton
Louisville
Great Bend
Riverside
San Diego
Morehead City
San Luis Obispo
Redwood Falls
Mount Airy
East Greenwich
Pleasanton
IA
NC
NC
KY
PA
LA
TN
MD
GA
KS
CA
CA
NC
CA
MN
NC
RI
CA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
10,200,000
16,000,000
65,000,000
20,000,000
16,500,000
20,000,000
33,000,000
25,000,000
12,000,000
6,000,000
6,815,000
5,803,000
3,070,000
5,116,000
2,995,000
2,000,000
1,065,000
5,500,000
0
0
12,500,000
0
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
6/17/2009
4
$
3,388,890,000
$
6/17/2011
46
$
35,883,281
$
3/29/2012
46
$
36,039,222
$
0
Warrants
2/7/2013
4/22/2009
3/4/2011
10/21/2009
9/15/2011
9/9/2009
199
$
$
$
$
$
$
21,680,089
78,158,000
38,000,000
13,400,000
10,000,000
100,000,000
$
$
$
$
$
$
0
0
0
0
0
0
Warrants
Warrants
N/A
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
0
99,116,719
Par
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
4
33
4
49
4
Final Disposition
Disposition
Investment
15
Description
11,600,000
1,350,000,000
7,579,200,000
3,408,000,000
1/6/2010
4
Final
Disposition
Date
$
$
$
$
1/9/2009
1/9/2009
37, 46 3/29/2012
State
Capital Repayment Details
Warrants
Common Stock w/
Warrants
2, 7
R
A
A
R
Final Disposition
Proceeds
$
$
$
$
580,000
15,996,899
320,277,984
280,025,936
R $
N/A
700,000
A $
R $
122,365,216
5,025,000
Warrants
R $
75,000
4/4/2012
Warrants
R $
110,000
5/27/2009
Warrants
R $
2,100,000
7/29/2009
Warrants
R $
340,000,000
5/27/2009
N/A
11/18/2011
12/7/2011
11/18/2011
Warrants
N/A
Warrants
Warrants
Warrants
R $
P $
R $
P $
2,200,000
N/A
602,557
245,000
690,100
1b
7/27/2011
4
$
10,000,000
$
4/11/2012
4
$
10,000,000
$
0
Warrants
12/14/2011
2/20/2013
9/1/2011
4
$
$
$
10,200,000
14,811,984
65,000,000
$
$
$
0
0
0
Warrants
Warrants
Warrants
1/11/2012
Warrants
R $
600,000
11/18/2011
Warrants
P $
924,462
$
$
16,500,000
20,000,000
$
$
0
0
Warrants
Warrants
9/28/2011
11/18/2011
Warrants
Warrants
R $
P $
526,604
206,557
R $
25,000
209
50
10,000,000
8/18/2011
8/25/2011
49
4/15/2009
4
$
25,000,000
$
0
Warrants
11/16/2011
Warrants
4
$
$
$
$
$
$
$
6,000,000
6,815,000
5,803,000
2,804,089
5,116,000
2,995,000
2,000,000
$
$
$
$
$
$
$
0
0
0
0
0
0
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
N/A
11/2/2011
9/15/2011
7/14/2011
11/13/2012
N/A
8/18/2011
12/29/2010
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
N/A
Preferred Stock
Preferred Stock
11/2/2011
9/15/2011
7/14/2011
11/13/2012
12/28/2011
8/18/2011
12/29/2010
49
49
49
152
4
49
4
Preferred Stock 2
Preferred Stock 2
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
R
R
R
P
R
R
$
$
$
$
300,000
341,000
290,000
147,918
N/A
150,000
100,000
$
$
41
Seller
Purchase Details
Name of Institution
City
State
Footnote
Purchase Date
2
2, 49
2, 50
2
2, 140
2
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
Rising Sun Bancorp
Community Trust Financial Corporation
GrandSouth Bancorporation
Texas National Bancorporation
Congaree Bancshares, Inc.
New York Private Bank & Trust Corporation
Home Bancshares, Inc.
Washington Banking Company
New Hampshire Thrift Bancshares, Inc.
Bar Harbor Bankshares
Somerset Hills Bancorp
SCBT Financial Corporation
S&T Bancorp
ECB Bancorp, Inc.
Rising Sun
Ruston
Greenville
Jacksonville
Cayce
New York
Conway
Oak Harbor
Newport
Bar Harbor
Bernardsville
Columbia
Indiana
Engelhard
MD
LA
SC
TX
SC
NY
AR
WA
NH
ME
NJ
SC
PA
NC
1/16/2009
First BanCorp
San Juan
1/16/2009
1/16/2009
Texas Capital Bancshares, Inc.
Yadkin Valley Financial Corporation
1/16/2009
49
28 10/07/2011
124
3, 30 8/27/2010
78 3/28/2012
95 6/27/2012
91 06/13/2012
96 6/27/2012
2
2
2
2, 50
2, 19
3, 30 9/29/2010
2, 49
2
2
2, 49
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
5,983,000
24,000,000
9,000,000
3,981,000
3,285,000
267,274,000
50,000,000
26,380,000
10,000,000
18,751,000
7,414,000
64,779,000
108,676,000
17,949,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
PR
Common Stock w/ Warrants
$
424,174,000
Par
Dallas
Elkin
TX
NC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
75,000,000
36,000,000
Par
Par
5/13/2009
9/12/2012
Carver Bancorp, Inc
New York
NY
Preferred Stock
$
18,980,000
Par
8/27/2010
1/16/2009
Citizens & Northern Corporation
Wellsboro
PA
Preferred Stock w/ Warrants
$
26,440,000
Par
1/16/2009
MainSource Financial Group, Inc.
Greensburg
IN
Preferred Stock w/ Warrants
$
57,000,000
1/16/2009
MetroCorp Bancshares, Inc.
Houston
TX
Preferred Stock w/ Warrants
$
1/16/2009
United Bancorp, Inc.
Tecumseh
MI
Preferred Stock w/ Warrants
1/16/2009
Old Second Bancorp, Inc.
Aurora
IL
1/16/2009
Pulaski Financial Corp
Creve Coeur
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
OceanFirst Financial Corp.
Community 1st Bank
TCB Holding Company, Texas Community Bank
Centra Financial Holdings, Inc.
First Bankers Trustshares, Inc.
Pacific Coast National Bancorp
Toms River
Roseville
The Woodlands
Morgantown
Quincy
San Clemente
1/16/2009
Community Bank of the Bay
1/16/2009
1/16/2009
1/16/2009
1/16/2009
Redwood Capital Bancorp
Syringa Bancorp
Idaho Bancorp
Puget Sound Bank
49
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
2, 7
Final Disposition
Proceeds
$
$
$
$
24,000,000
9,000,000
3,981,000
2,685,979
$
$
$
$
0
0
0
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
7/6/2011
9/8/2011
5/19/2010
10/31/2012
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
$
$
$
$
$
$
$
50,000,000
26,380,000
10,000,000
18,751,000
7,414,000
64,779,000
108,676,000
$
$
$
$
$
$
$
0
0
0
0
0
0
0
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
7/27/2011
3/2/2011
2/15/2012
7/28/2010
6/24/2009
6/24/2009
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
$
$
75,000,000
31,843,080
$
$
0
0
Warrants
Warrants
3/11/2010
Warrants
4
$
18,980,000
$
0
N/A
N/A
N/A
8/4/2010
4
$
26,440,000
$
0
Warrants
9/1/2010
Warrants
R $
400,000
Par
3/28/2012
78
$
52,277,171
$
0
Warrants
45,000,000
Par
6/27/2012
95
$
43,490,360
$
0
Warrants
$
20,600,000
Par
6/13/2012
91
$
16,750,221
$
0
Warrants
7/18/2012
Warrants
R $
38,000
Preferred Stock w/ Warrants
$
73,000,000
Par
MO
Preferred Stock w/ Warrants
$
32,538,000
Par
6/27/2012
96
$
28,460,338
$
0
Warrants
8/8/2012
Warrants
R $
1,100,000
NJ
CA
TX
WV
IL
CA
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
$
$
$
$
$
$
38,263,000
2,550,000
11,730,000
15,000,000
10,000,000
4,120,000
Par
Par
Par
Par
Par
Par
12/30/2009
12/19/2012
5
$
$
38,263,000
2,550,000
$
$
0
0
Warrants
Preferred Stock 2
2/3/2010
12/19/2012
Warrants
Preferred Stock
R $
R $
430,797
128,000
$
$
$
15,000,000
10,000,000
0
$
$
$
0
0
0
Preferred Stock 2
Preferred Stock 2
N/A
4/15/2009
9/8/2011
N/A
Preferred Stock
Preferred Stock
N/A
R $
R $
750,000
500,000
N/A
Oakland
CA
Preferred Stock
$
1,747,000
Par
9/29/2010
4
$
1,747,000
$
0
N/A
N/A
N/A
-
N/A
Eureka
Boise
Boise
Bellevue
CA
ID
ID
WA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
3,800,000
8,000,000
6,900,000
4,500,000
Par
Par
Par
Par
7/21/2011
49
$
3,800,000
$
0
Preferred Stock 2
7/21/2011
Preferred Stock
2, 7
R $
190,000
8/11/2011
12/15/2010
9/15/2011
2/8/2013
12/11/2012
11/30/2012
8/12/2009
6/29/2011
49
$
$
$
$
$
$
$
$
4,500,000
3,000,000
2,658,000
79,903,245
13,399,227
2,477,000
12,500,000
37,500,000
$
$
$
$
$
$
$
$
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
8/11/2011
Preferred Stock
2, 7
R $
225,000
2,7
R $
283,000
P $
P $
P $
4,925,417
858,478
100,100
2,500,000
2, 49
1/16/2009
United Financial Banking Companies, Inc.
Vienna
VA
Preferred Stock w/ Exercised Warrants
$
5,658,000
Par
2, 201
2, 179
2, 162
1/16/2009
1/16/2009
1/16/2009
Dickinson Financial Corporation II
The Baraboo Bancorporation
Bank of Commerce
Kansas City
Baraboo
Charlotte
MO
WI
NC
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
146,053,000
20,749,000
3,000,000
Par
Par
Par
2
1/16/2009
State Bankshares, Inc.
Fargo
ND
2
2
3, 30 8/6/2010
2
1/16/2009
1/16/2009
BNCCORP, Inc.
First Manitowoc Bancorp, Inc.
Bismarck
Manitowoc
ND
WI
1/16/2009
Southern Bancorp, Inc.
Arkadelphia
AR
1/16/2009
Morrill Bancshares, Inc.
Merriam
2, 36
1/16/2009
Treaty Oak Bancorp, Inc.
159
1/23/2009
1/23/2009
1/23/2009
1st Source Corporation
Princeton National Bancorp, Inc.
AB&T Financial Corporation
Preferred Stock w/ Exercised Warrants
7/6/2011
9/8/2011
5/19/2010
10/31/2012
7/6/2011
1/12/2011
8/25/2011
2/24/2010
5/20/2009
5/20/2009
12/7/2011
3/31/2009
9/8/2011
2/11/2010
50
4
140
4
4
49
5
4
4
4
4
124
4
4
50
19
4
49
162
4
0
2,658,000
0
0
0
0
37,500,000
0
9/15/2011
Preferred Stock
9
9
1,200,000
450,000
199,000
106,364
R
R
R
R
R
R
$
$
$
$
$
$
1,300,000
1,625,000
737,100
250,000
275,000
1,400,000
A $
6,559,066
-
9
2, 7
2, 7
2, 7
2, 7
6/29/2011
Preferred Stock
2, 7
R $
2, 7
R $
Par
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
20,093,000
12,000,000
Par
Par
5/27/2009
4
$
12,000,000
$
0
Preferred Stock 2
5/27/2009
Preferred Stock
Preferred Stock
$
11,000,000
Par
8/6/2010
4
$
11,000,000
$
0
N/A
N/A
N/A
KS
Preferred Stock w/ Exercised Warrants
$
13,000,000
Par
Austin
3,268,000
Par
South Bend
Princeton
Gastonia
IN
IL
NC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
111,000,000
25,083,000
3,500,000
Par
Par
Par
13,000,000
500,000
150,000
111,000,000
$
$
$
$
0
0
0
0
Preferred Stock 2
Warrants
N/A
Warrants
Preferred Stock
$
$
$
$
$
7/20/2011
Warrants
7/20/2011
2/15/2011
12/21/2012
12/29/2010
4
TX
3/9/2011
Warrants
4
2,7
$
$
$
$
Preferred Stock
Preferred Stock
Preferred Stock
50,000,000
36
2, 7
R
R
R
R
2/8/2013
12/11/2012
11/30/2012
$
36
2, 7
2, 7
2, 7
N/A
600,000
2, 7
N/A
R $
650,000
R $
3,750,000
42
Seller
Footnote
94 6/27/2012
79 3/28/2012
2
2, 13 12/4/2009,
153
Purchase Date
1/23/2009
Purchase Details
Name of Institution
First Citizens Banc Corp
City
Sandusky
State
OH
Capital Repayment Details
Investment Amount
Preferred Stock w/ Warrants
$
23,184,000
Par
6/27/2012
94
$
20,689,633
$
0
Warrants
9/5/2012
Warrants
R $
563,174
3/28/2012
79
$
47,435,299
$
0
Warrants
9/12/2012
Warrants
R $
1,800,000
11/9/2012
153
$
4,992,788
$
0
Preferred Stock
2
11/9/2012
Preferred Stock
2, 7
P $
282,285
11/1/2012
4/22/2009
49
$
$
1,968,000
4,900,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
11/1/2012
4/22/2009
Preferred Stock
Preferred Stock
2, 7
R $
R $
98,000
245,000
12/23/2009
4/25/2012
12/5/2012
1/9/2013
12/8/2010
4
$
$
$
$
$
10,189,000
1,100,000
5,116,000
3,063,000
3,300,000
$
$
$
$
$
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
12/23/2009
Preferred Stock
2, 7
R $
509,000
12/5/2012
Preferred Stock
2, 7
R $
311,000
12/8/2010
Preferred Stock
2, 7
R $
165,000
7/21/2011
50
$
57,500,000
$
Preferred Stock 2
7/21/2011
Preferred Stock
2, 7
R $
2,875,000
9/8/2011
8/25/2011
12/16/2009
6/16/2010
49
$
$
$
$
15,500,000
5,000,000
1,000,000
2,240,000
$
$
$
$
0
0
2,240,000
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
9/8/2011
8/25/2011
Preferred Stock
Preferred Stock
2, 7
R $
R $
775,000
250,000
6/16/2010
Preferred Stock
2, 7
R $
162,000
2/2/2011
4
$
21,000,000
$
18,000,000
2/15/2012
Warrants
R $
1,200,724
12/28/2011
4
$
18,000,000
$
0
Preferred Stock w/
Warrants
Warrants
11/29/2012
174
$
11,595,735
$
0
Warrants
12/23/2009
5
$
22,000,000
$
0
Warrants
11/18/2011
Warrants
P $
301,001
5
$
$
243,815,000
7,000,000
$
$
0
0
Warrants
Warrants
11/14/2012
9/28/2011
Warrants
Warrants
R $
R $
1,225,000
185,017
$
$
10,000,000
7,024,595
$
$
0
0
Warrants
Warrants
10/26/2011
2/6/2013
Warrants
Warrants
R $
R $
107,398
122,888
$
$
9,000,000
5,000,000
$
$
0
12,000,000
10/26/2011
Warrants
R $
460,000
4,076,000
WSFS Financial Corporation
Wilmington
DE
Preferred Stock w/ Warrants
$
52,625,000
Par
Commonwealth Business Bank
Los Angeles
CA
Preferred Stock w/ Exercised Warrants
$
7,701,000
Par
1/23/2009
Three Shores Bancorporation, Inc. (Seaside
National Bank & Trust)
Orlando
FL
Preferred Stock w/ Exercised Warrants
$
5,677,000
Par
CA
Preferred Stock w/ Exercised Warrants
$
4,656,000
Par
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
2
1/23/2009
CalWest Bancorp
2
2
2
2
1/23/2009
1/23/2009
1/23/2009
1/23/2009
Fresno First Bank
First ULB Corp.
Alarion Financial Services, Inc.
Midland States Bancorp, Inc.
2
1/23/2009
Moscow Bancshares, Inc.
Moscow
TN
Preferred Stock w/ Exercised Warrants
$
6,216,000
Par
2
2
2, 51
2
2, 50
2
2, 49
2, 49
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
Farmers Bank
California Oaks State Bank
Pierce County Bancorp
Calvert Financial Corporation
Liberty Bancshares, Inc.
Crosstown Holding Company
BankFirst Capital Corporation
Southern Illinois Bancorp, Inc.
Windsor
Thousand Oaks
Tacoma
Ashland
Jonesboro
Blaine
Macon
Carmi
VA
CA
WA
MO
AR
MN
MS
IL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
8,752,000
3,300,000
6,800,000
1,037,000
57,500,000
10,650,000
15,500,000
5,000,000
Par
Par
Par
Par
Par
Par
Par
Par
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
174
5
50
49
139
49
49
97 6/27/2012
2
2
2
2, 49
2
3, 53
2
Final Disposition
Disposition
Investment
15
Description
Capital
Repayment Date
1/23/2009
Rancho Santa
Margarita
Fresno
Oakland
Ocala
Effingham
Final
Disposition
Date
Pricing
Mechanism
1/23/2009
4
4
4
4
4
49
4
4
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
Anchor BanCorp Wisconsin Inc.
Parke Bancorp, Inc.
Central Virginia Bankshares, Inc.
Flagstar Bancorp, Inc.
Middleburg Financial Corporation
Peninsula Bank Holding Co.
PrivateBancorp, Inc.
Central Valley Community Bancorp
Plumas Bancorp
Stewardship Financial Corporation
Oak Ridge Financial Services, Inc.
First United Corporation
Community Partners Bancorp
Guaranty Federal Bancshares, Inc.
Madison
Sewell
Powhatan
Troy
Middleburg
Palo Alto
Chicago
Fresno
Quincy
Midland Park
Oak Ridge
Oakland
Middletown
Springfield
WI
NJ
VA
MI
VA
CA
IL
CA
CA
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
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
110,000,000
16,288,000
11,385,000
266,657,000
22,000,000
6,000,000
243,815,000
7,000,000
11,949,000
10,000,000
7,700,000
30,000,000
9,000,000
17,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
10/24/2012
8/18/2011
1/30/2009
Annapolis Bancorp, Inc.
Annapolis
MD
Preferred Stock w/ Warrants
$
8,152,000
Par
4/18/2012
4
$
4,076,000
$
$
11,750,000
$
9/1/2011
10/31/2012
8/11/2011
6/13/2012
50
49
139
49
0
5,116,000
0
5,689,000
0
0
2, 7
2, 7
Final Disposition
Proceeds
1/30/2009
DNB Financial Corporation
Downingtown
PA
Preferred Stock w/ Warrants
$
11,750,000
Par
8/4/2011
49
0
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
9/21/2011
Warrants
R $
458,000
1/30/2009
Firstbank Corporation
Alma
MI
Preferred Stock w/ Warrants
$
33,000,000
Par
6/27/2012
97
$
30,587,530
$
0
Warrants
7/18/2012
Warrants
R $
1,946,670
1/30/2009
1/30/2009
1/30/2009
1/30/2009
Valley Commerce Bancorp
Greer Bancshares Incorporated
Ojai Community Bank
Adbanc, Inc
Visalia
Greer
Ojai
Ogallala
CA
SC
CA
NE
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
7,700,000
9,993,000
2,080,000
12,720,000
Par
Par
Par
Par
3/21/2012
4
$
7,700,000
$
0
Preferred Stock 2
3/21/2012
Preferred Stock
2, 7
R $
385,000
7/21/2011
7/6/2011
10/19/2011
3/7/2012
6/6/2012
6/27/2012
49
$
$
$
$
$
$
12,720,000
1,500,000
1,500,000
1,500,000
1,200,000
300,000
$
$
$
$
$
$
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
7/21/2011
Preferred Stock
2, 7
R $
636,000
6/27/2012
Preferred Stock
2, 7
R $
300,000
6/16/2010
4
$
10,900,000
$
6/16/2010
Preferred Stock
2, 7
R $
1/30/2009
1/30/2009
1/30/2009
Beach Business Bank
Legacy Bancorp, Inc.
First Southern Bancorp, Inc.
Manhattan Beach
Milwaukee
Boca Raton
CA
WI
FL
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
$
$
$
6,000,000
5,498,000
10,900,000
Par
Par
Par
4
4
4
4
4
4
0
4,500,000
3,000,000
1,500,000
300,000
0
0
Preferred Stock 2
545,000
43
Seller
Name of Institution
Footnote
Purchase Date
2, 169
2, 49
2
2, 49
2
2, 50
2, 50
2
2, 49, 145
2, 13 10/30/2009,
49
2
2
2, 49
2, 49
2, 141
2, 202
2, 50
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
Country Bank Shares, Inc.
Katahdin Bankshares Corp.
Rogers Bancshares, Inc.
UBT Bancshares, Inc.
Bankers' Bank of the West Bancorp, Inc.
W.T.B. Financial Corporation
AMB Financial Corp.
Goldwater Bank, N.A.
Equity Bancshares, Inc.
1/30/2009
WashingtonFirst Bankshares, Inc.
(WashingtonFirst Bank)
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
2/6/2009
2/6/2009
30 9/29/2010
163
161
3, 30 8/13/2010
2
Purchase Details
Central Bancshares, Inc.
Hilltop Community Bancorp, Inc.
Northway Financial, Inc.
Monument Bank
Metro City Bank
F & M Bancshares, Inc.
First Resource Bank
MidWestOne Financial Group, Inc.
Lakeland Bancorp, Inc.
2/6/2009
Monarch Community Bancorp, Inc.
City
Milford
Houlton
Little Rock
Marysville
Denver
Spokane
Munster
Scottsdale
Wichita
Reston
Houston
Summit
Berlin
Bethesda
Doraville
Trezevant
Exton
Iowa City
Oak Ridge
State
NE
ME
AR
KS
CO
WA
IN
AZ
KS
VA
TX
NJ
NH
MD
GA
TN
PA
IA
NJ
Capital Repayment Details
Investment Amount
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised 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
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
7,525,000
10,449,000
25,000,000
8,950,000
12,639,000
110,000,000
3,674,000
2,568,000
8,750,000
6,633,000
5,800,000
4,000,000
10,000,000
4,734,000
7,700,000
4,609,000
2,600,000
16,000,000
59,000,000
Pricing
Mechanism
Capital
Repayment Date
Par
Par
Par
Par
Par
Par
Par
Par
Par
11/29/2012
8/18/2011
169
8/11/2011
49
9/15/2011
9/22/2011
50
8/11/2011
49
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Coldwater
MI
Preferred Stock w/ Warrants
$
6,785,000
Par
8/4/2011
7/6/2011
4/21/2010
9/15/2011
8/11/2011
10/31/2012
2/7/2013
9/15/2011
7/6/2011
49
50
49
4
4
49
49
141
202
50
4
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
6,838,126
10,449,000
$
$
0
0
Preferred Stock
Preferred Stock 2
11/29/2012
8/18/2011
Preferred Stock
Preferred Stock
$
8,950,000
$
0
Preferred Stock 2
8/11/2011
Preferred Stock
2
$
8,750,000
$
0
Preferred Stock 2
8/11/2011
Preferred Stock
2, 7
R $
438,000
0
2
Preferred Stock
2, 7
R $
332,000
7/6/2011
4/21/2010
9/15/2011
8/11/2011
1031/2012
2/7/2013
9/15/2011
7/27/2011
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Warrants
2, 7
R
R
R
R
R
P
R
R
2/29/2012
Warrants
$
6,633,000
$
$
$
$
$
$
$
$
$
5,800,000
4,000,000
10,000,000
4,734,000
6,861,462
4,300,543
2,600,000
16,000,000
$
$
$
$
$
$
$
$
$
20,000,000
$
19,000,000
2/8/2012
4
$
19,000,000
$
0
Warrants
4
$
5,000,000
$
0
Warrants
163
$
$
3,362,000
4,217,568
$
$
0
0
Warrants
Warrants
0
Preferred Stock w/ Warrants
$
5,000,000
Par
9/29/2010
NC
AK
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
4,000,000
4,781,000
Par
Par
11/30/2012
11/29/2012
2/6/2009
PGB Holdings, Inc.
Chicago
IL
Preferred Stock
$
3,000,000
Par
8/13/2010
4
$
3,000,000
$
2/6/2009
The Freeport State Bank
Harper
KS
Preferred Stock w/ Exercised Warrants
$
301,000
Par
4
2
2/6/2009
Stockmens Financial Corporation
Rapid City
SD
$
15,568,000
Par
12/19/2012
1/14/2011
3/16/2011
$
$
$
301,000
4,000,000
11,568,000
$
$
$
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
$
$
5,000,000
3,500,000
$
$
2/6/2009
Liberty Financial Services, Inc.
New Orleans
LA
Preferred Stock
$
5,645,000
Par
9/24/2010
4
$
5,645,000
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.
Georgia Commerce Bancshares, Inc.
First Bank of Charleston, Inc.
F & M Financial Corporation
The Bank of Currituck
CedarStone Bank
Houston
TX
Preferred Stock w/ Exercised Warrants
$
3,072,000
Par
Bowling Green
VA
Preferred Stock
$
33,900,000
Par
12/7/2011
4
$
7/28/2011
7/28/2011
49
$
$
2, 192
2, 13 2/10/2010
2/6/2009
2, 105
2/6/2009
49
2/13/2009
2/6/2009
Preferred Stock
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
3/16/2011
MS
2/6/2009
2
39,000,000
Hattiesburg
2, 101, 166
0
0
0
0
0
0
0
0
Preferred Stock
$
Lincolnton
Juneau
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
8/4/2011
R $
2,800,000
2, 7
R $
15,000
3/16/2011
Preferred Stock
2, 7
R $
778,000
0
0
Preferred Stock 2
Preferred Stock 2
2/15/2012
8/4/2011
Preferred Stock
Preferred Stock
2, 7
R $
R $
250,000
175,000
$
0
N/A
N/A
N/A
35,595,000
$
0
N/A
N/A
N/A
795,000
7,500,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
7/28/2011
7/28/2011
Preferred Stock
Preferred Stock
2, 7
$
$
$
$
8,700,000
3,345,000
15,988,500
1,742,850
$
$
$
$
0
0
0
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
N/A
2/16/2011
7/21/2011
9/12/2012
N/A
Preferred Stock
Preferred Stock
Preferred Stock
N/A
2, 7
Brandon
MS
Preferred Stock w/ Exercised Warrants
$
1,050,000
Par
11/30/2012
166
$
977,750
$
0
Preferred Stock 2
11/30/2012
Preferred Stock
Philadelphia
PA
Preferred Stock w/ Exercised Warrants
$
1,552,000
Par
12/20/2012
192
$
983,800
$
0
Preferred Stock
2
12/20/2012
Westwood
NJ
Preferred Stock w/ Exercised Warrants
$
3,756,000
Par
10/19/2011
4
$
3,756,000
$
0
Preferred Stock 2
10/19/2011
First Western Financial, Inc.
Denver
CO
Preferred Stock w/ Exercised Warrants
$
8,559,000
Par
7/27/2012
Preferred Stock
QCR Holdings, Inc.
Moline
IL
Preferred Stock w/ Warrants
$
38,237,000
Par
11/16/2011
Warrants
Community Bancshares of Mississippi, Inc.
(Community Holding Company of Florida, Inc.)
Hyperion Bank
Pascack Bancorp, Inc.
(Pascack Community Bank)
2,7
2, 7
N/A
Par
Par
Par
Par
Par
Par
Par
Par
34
2,7
290,000
200,000
500,000
237,000
369,948
222,008
130,000
1,000,000
Preferred Stock
795,000
7,500,000
4,000,000
8,700,000
3,345,000
17,000,000
4,021,000
3,564,000
126
2, 7
$
$
$
$
$
$
$
$
N/A
$
$
$
$
$
$
$
$
4
2, 7
12/19/2012
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
50
2, 7
N/A
NE
NH
KY
GA
WV
NC
NC
TN
2/16/2011
7/21/2011
9/12/2012
12/3/2010
2, 7
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
0
11,568,000
0
Harrisburg
Bedford
Hopkinsville
Atlanta
Charleston
Salisbury
Moyock
Lebanon
49
5,500,000
184,000
Preferred Stock
Preferred Stock
Carolina Trust Bank
Alaska Pacific Bancshares, Inc.
2, 49
2, 49
2
2
2, 50
2, 126
2, 34
2
R $
R $
9/15/2011
9/22/2011
The First Bancshares, Inc.
2/6/2009
450,000
Preferred Stock
Preferred Stock 2
2/6/2009
18
R $
0
0
20,000,000
4
2, 7
$
$
$
49
372,240
522,000
110,000,000
3,674,000
4
4
P $
R $
2, 7
$
$
4
4
2, 7
Final Disposition
Proceeds
2, 7
2/6/2009
2/6/2009
Preferred Stock w/ Exercised Warrants
2
Final Disposition
Disposition
Investment
15
Description
$
$
8/4/2010
161
Final
Disposition
Date
-
2, 7
N/A
-
N/A
-
N/A
R $
R $
40,000
375,000
R $
R $
P $
-
435,000
167,000
775,274
N/A
2, 7
P $
25,000
Preferred Stock
2, 7
P $
25,700
Preferred Stock
2, 7
R $
188,000
2, 7
2, 7
2, 7
34
2, 7,
9/15/2011
49
$
38,237,000
$
0
Warrants
105
P $
351,052
R $
1,100,000
44
Seller
Footnote
Purchase Date
2/13/2009
2/13/2009
186
58 10/21/2011
2, 49
2, 49
2
2, 185
2/13/2009
2/13/2009
Purchase Details
Name of Institution
Westamerica Bancorporation
The Bank of Kentucky Financial Corporation
PremierWest Bancorp
Carrollton Bancorp
City
San Rafael
Crestview Hills
State
CA
KY
Capital Repayment Details
Investment Amount
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
83,726,000
34,000,000
Pricing
Mechanism
Par
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
2/13/2009
First Menasha Bancshares, Inc.
1st Enterprise Bank
DeSoto County Bank
Security Bancshares of Pulaski County, Inc.
Neenah
Los Angeles
Horn Lake
Waynesville
WI
CA
MS
MO
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
4,797,000
4,400,000
1,173,000
2,152,000
Par
Par
Par
Par
Capital
Repayment Date
Final
Disposition
Date
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
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
$
1,475,592
$
0
49
12/11/2012
41,863,000
0
17,000,000
Final Disposition
Disposition
Investment
15
Description
11/18/2011
Warrants
Preferred Stock 2
Preferred Stock 2
9/15/2011
9/1/2011
Preferred Stock
Preferred Stock
Preferred Stock 2
12/11/2012
Preferred Stock
2, 7
2, 7
2, 7
Final Disposition
Proceeds
P $
878,256
R $
R $
240,000
220,000
P $
93,245
R $
750,000
P $
P $
R $
46,412
3,960
250,000
P $
R $
74,250
900,000
R $
110,000
P $
R $
R $
70,095
35,000
50,000
R $
P $
1,095,000
742,441
R $
100,000
P $
367,500
R $
R $
346,000
273,000
R $
100,000
2, 7,
2, 30 9/29/2010
2/13/2009
State Capital Corporation
Greenwood
MS
Preferred Stock w/ Exercised Warrants
$
15,000,000
Par
9/29/2010
2, 147
2, 168
2, 50
2
2
2
2, 151
2, 62
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
BankGreenville
Corning Savings and Loan Association
Financial Security Corporation
ColoEast Bankshares, Inc.
Santa Clara Valley Bank, N.A.
Reliance Bancshares, Inc.
Regional Bankshares, Inc.
Peoples Bancorp
Greenville
Corning
Basin
Lamar
Santa Paula
Frontenac
Hartsville
Lynden
SC
AR
WY
CO
CA
MO
SC
WA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
1,000,000
638,000
5,000,000
10,000,000
2,900,000
40,000,000
1,500,000
18,000,000
Par
Par
Par
Par
Par
Par
Par
Par
2, 30 9/24/2010
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
4
$
11/9/2012
11/30/2012
7/21/2011
147
$
$
$
891,000
523,680
5,000,000
$
$
$
0
0
0
11/9/2012
8/3/2011
151
$
$
1,373,625
18,000,000
$
$
0
0
168
50
62
15,000,000 $
0
2
9/29/2010
Preferred Stock
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
11/9/2012
11/30/2012
7/21/2011
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
Preferred Stock 2
Preferred Stock 2
11/9/2012
8/3/2011
Preferred Stock
Preferred Stock
2, 7
Preferred Stock
30a
2, 7
2, 7
2, 7
2, 7,
2/13/2009
First Choice Bank
Cerritos
CA
Preferred Stock w/ Exercised Warrants
$
2,200,000
Par
9/24/2010
2, 115
2, 171
2
2, 49
2
2, 50
2, 127
2
2
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/20/2009
Gregg Bancshares, Inc.
Hometown Bancshares, Inc.
Midwest Regional Bancorp, Inc.
Bern Bancshares, Inc.
Northwest Bancorporation, Inc.
Liberty Bancshares, Inc.
F&M Financial Corporation
Meridian Bank
Northwest Commercial Bank
Royal Bancshares of Pennsylvania, Inc.
Ozark
Corbin
Festus
Bern
Spokane
Springfield
Clarksville
Devon
Lakewood
Narberth
MO
KY
MO
KS
WA
MO
TN
PA
WA
PA
27, 49, 50
2/20/2009
First Merchants Corporation
Muncie
IN
2, 25
2, 50
2, 49
2/20/2009
2/20/2009
2/20/2009
2/20/2009
Northern States Financial Corporation
Sonoma Valley Bancorp
Guaranty Bancorp, Inc.
The Private Bank of California
Waukegan
Sonoma
Woodsville
Los Angeles
IL
CA
NH
CA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised 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
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
825,000
1,900,000
700,000
985,000
10,500,000
21,900,000
17,243,000
6,200,000
1,992,000
30,407,000
69,600,000
46,400,000
17,211,000
8,653,000
6,920,000
5,450,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
2, 30 9/29/2010
2/20/2009
Lafayette Bancorp, Inc.
Oxford
MS
Preferred Stock w/ Exercised Warrants
$
1,998,000
Par
2
2
2
2
2, 203
2
2
2
2, 49
2, 164
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
Liberty Shares, Inc.
White River Bancshares Company
United American Bank
Crazy Woman Creek Bancorp, Inc.
First Priority Financial Corp.
Mid-Wisconsin Financial Services, Inc.
Market Bancorporation, Inc.
Hometown Bancorp of Alabama, Inc.
Security State Bancshares, Inc.
CBB Bancorp
Hinesville
Fayetteville
San Mateo
Buffalo
Malvern
Medford
New Market
Oneonta
Charleston
Cartersville
GA
AR
CA
WY
PA
WI
MN
AL
MO
GA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
17,280,000
16,800,000
8,700,000
3,100,000
4,579,000
10,000,000
2,060,000
3,250,000
12,500,000
2,644,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
9/22/2011
11/29/2012
2, 30 9/29/2010
2/20/2009
BancPlus Corporation
Ridgeland
MS
Preferred Stock w/ Exercised Warrants
$
48,000,000
Par
9/29/2010
2, 180
2/20/2009
Central Community Corporation
Temple
TX
Preferred Stock w/ Exercised Warrants
$
22,000,000
Par
12/11/2012
11/30/2012
11/10/2009
9/1/2011
8/18/2011
9/12/2012
1/9/2013
9/22/2011
9/22/2011
4
$
2,200,000
$
0
N/A
9/24/2010
Preferred Stock
$
$
$
1,766,510
700,000
985,000
$
$
$
0
0
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
11/30/2012
11/10/2009
9/1/2011
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
$
$
21,900,000
13,443,074
$
$
0
0
Preferred Stock 2
Preferred Stock 2
8/18/2011
9/12/2012
Preferred Stock
Preferred Stock
2, 7
4
$
1,992,000
$
0
Preferred Stock 2
1/9/2013
Preferred Stock
2. 7
50
$
$
69,600,000
46,400,000
$
$
0
0
Warrants
11/18/2011
Warrants
$
$
6,920,000
5,450,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
9/15/2011
9/1/2011
Preferred Stock
Preferred Stock
$
1,998,000 $
Preferred Stock 2
9/29/2010
Preferred Stock
203
$
4,002,371
$
0
Preferred Stock 2
2/8/2013
Preferred Stock
2, 7
P $
224,717
49
$
$
12,500,000
2,453,094
$
$
0
0
Preferred Stock 2
Preferred Stock 2
9/22/2011
11/29/2012
Preferred Stock
Preferred Stock
2, 7
R $
P $
625,000
115,861
$
48,000,000
$
0
Preferred Stock 2
9/29/2010
Preferred Stock
R $
2,400,000
$
20,172,636
$
0
Preferred Stock 2
12/11/2012
Preferred Stock
P $
1,058,726
171
4
49
50
127
49
9/15/2011
9/1/2011
50
9/29/2010
4
49
30a
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7,
2/8/2013
164
0
30a
2, 7
2, 7,
4
30a
2, 7
45
Seller
Purchase Details
Name of Institution
City
Footnote
Purchase Date
2, 4, 7
2/20/2009
First BancTrust Corporation
Paris
2
2, 49
2
2/20/2009
2/20/2009
2/20/2009
2/27/2009
Premier Service Bank
Florida Business BancGroup, Inc.
Hamilton State Bancshares
Lakeland Financial Corporation
2/27/2009
First M&F Corporation
30 9/29/2010
98 6/27/2012
14, 57
2
2, 49
2, 49
2, 49
2, 212
2
2, 213
2, 167
2, 49
2
2
2, 135
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
1/18/2012
10/24/2012
4
$
$
$
$
$
9,495,000
7,000,000
56,044,000
$
$
$
4
$
30,000,000
6/27/2012
98
$
8/4/2011
9/15/2011
9/22/2011
2/20/2013
4/14/2010
2/20/2013
11/30/2012
9/27/2011
9/26/2012
7/14/2010
10/31/2012
11/14/2012
1/23/2013
49
$
7,350,000
Par
Riverside
Tampa
Hoschton
Warsaw
CA
FL
GA
IN
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$
$
$
$
4,000,000
9,495,000
7,000,000
56,044,000
Par
Par
Par
Par
9/22/2011
4/13/2011
6/9/2010
49
Kosciusko
MS
Preferred Stock w/ Warrants
$
30,000,000
Par
9/29/2010
Southern First Bancshares, Inc.
Greenville
SC
Preferred Stock w/ Warrants
$
17,299,000
Par
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
Integra Bank Corporation
Community First Inc.
BNC Financial Group, Inc.
California Bank of Commerce
Columbine Capital Corp.
National Bancshares, Inc.
First State Bank of Mobeetie
Ridgestone Financial Services, Inc.
Community Business Bank
D.L. Evans Bancorp
TriState Capital Holdings, Inc.
Green City Bancshares, Inc.
First Gothenburg Bancshares, Inc.
Evansville
Columbia
New Canaan
Lafayette
Buena Vista
Bettendorf
Mobeetie
Brookfield
West Sacramento
Burley
Pittsburgh
Green City
Gothenburg
IN
TN
CT
CA
CO
IA
TX
WI
CA
ID
PA
MO
NE
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
83,586,000
17,806,000
4,797,000
4,000,000
2,260,000
24,664,000
731,000
10,900,000
3,976,000
19,891,000
23,000,000
651,000
7,570,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
2/27/2009
Green Circle Investments, Inc.
Clive
IA
Preferred Stock w/ Exercised Warrants
$
2,400,000
Par
2
2, 49
2
2, 49
2/27/2009
2/27/2009
2/27/2009
2/27/2009
Private Bancorporation, Inc.
Regent Capital Corporation
Central Bancorp, Inc.
Medallion Bank
Minneapolis
Nowata
Garland
Salt Lake City
MN
OK
TX
UT
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
4,960,000
2,655,000
22,500,000
11,800,000
Par
Par
Par
Par
2, 30 9/29/2010
2/27/2009
PSB Financial Corporation
Many
LA
Preferred Stock w/ Exercised Warrants
$
9,270,000
Par
4
4
5
49
49
212
4
213
167
49
4
4
135
4
4
3,675,000
0
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
2
Final Disposition
Proceeds
Preferred Stock
Preferred Stock 2
10/24/2012
Preferred Stock
2,7
R $
368,000
0
0
0
Preferred Stock 2
Preferred Stock 2
Warrants
9/22/2011
4/13/2011
11/18/2011
Preferred Stock
Preferred Stock
Warrants
2, 7
R $
R $
P $
475,000
350,000
877,557
$
0
Warrants
15,403,722
$
0
Warrants
7/25/2012
Warrants
R $
1,100,000
$
$
$
$
$
$
$
$
$
$
$
$
$
4,797,000
4,000,000
2,260,000
18,318,148
731,000
8,876,677
3,692,560
19,891,000
23,000,000
651,000
6,822,136
800,000
800,000
$
$
$
$
$
$
$
$
$
$
$
$
$
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Warrants
8/4/2011
9/15/2011
9/22/2011
2/20/2013
4/14/2010
2/20/2013
11/30/2012
9/27/2011
9/26/2012
7/14/2010
10/31/2012
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Warrants
Preferred Stock
Preferred Stock
2, 7
R
R
R
P
R
P
P
R
R
R
R
$
$
$
$
$
$
$
$
$
$
$
240,000
200,000
113,000
845,448
37,000
476,207
167,035
995,000
1,150,000
33,000
362,119
$
2,655,000
$
7/21/2011
Preferred Stock
2, 7
R $
133,000
7/21/2011
49
7/21/2011
49
$
11,800,000
9/29/2010
4
$
9,270,000
0
0
0
0
0
0
0
0
0
0
0
1,600,000
800,000
Preferred Stock 2
Preferred Stock 2
Preferred Stock2
Preferred Stock2
0
Preferred Stock 2
$
0
Preferred Stock 2
7/21/2011
Preferred Stock
$
0
2
9/29/2010
Preferred Stock
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2,7
2, 7
R $
590,000
R $
464,000
R $
R $
R $
370,000
299,000
600,000
2, 7,
2/27/2009
2/27/2009
2/27/2009
Avenue Financial Holdings, Inc.
Howard Bancorp, Inc.
FNB Bancorp
Nashville
Ellicott City
South San Francisco
TN
MD
CA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
7,400,000
5,983,000
12,000,000
Par
Par
Par
9/15/2011
9/22/2011
9/15/2011
49
2/27/2009
The Victory Bancorp, Inc.
(The Victory Bank)
Limerick
PA
Preferred Stock w/ Exercised Warrants
$
541,000
Par
9/22/2011
49
$
3,000,000
49
50
Preferred Stock
30a
$
$
$
7,400,000
5,983,000
12,000,000
$
$
$
0
0
0
Preferred Stock
Preferred Stock 2
Preferred Stock 2
9/15/2011
9/22/2011
9/15/2011
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
$
541,000
$
0
Preferred Stock 2
9/22/2011
Preferred Stock
2, 7
R $
27,000
$
0
2
7/21/2011
Preferred Stock
2, 7
R $
150,000
Warrants
11/18/2011
Warrants
N/A
N/A
N/A
2
2, 7
2, 7
Rock Hill
Atlanta
Loris
Urbana
NY
GA
SC
IL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
3,000,000
5,222,000
12,895,000
100,000,000
Par
Par
Par
Par
7/21/2011
49
8/25/2011
50
$
100,000,000
$
0
First Federal Bancshares of Arkansas, Inc.
Harrison
AR
Preferred Stock w/ Warrants
$
16,500,000
Par
5/3/2011
42
$
6,000,000
$
0
3/6/2009
Citizens Bancshares Corporation
Atlanta
GA
Preferred Stock
$
7,462,000
Par
8/13/2010
4
$
7,462,000
$
0
N/A
N/A
N/A
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
ICB Financial
First Texas BHC, Inc.
Farmers & Merchants Bancshares, Inc.
Blue Ridge Bancshares, Inc.
First Reliance Bancshares, Inc.
Merchants and Planters Bancshares, Inc.
First Southwest Bancorporation, Inc.
Germantown Capital Corporation, Inc.
BOH Holdings, Inc.
AmeriBank Holding Company
Highlands Independent Bancshares, Inc.
Pinnacle Bank Holding Company, Inc.
Blue River Bancshares, Inc.
Marine Bank & Trust Company
Ontario
Fort Worth
Houston
Independence
Florence
Toone
Alamosa
Germantown
Houston
Collinsville
Sebring
Orange City
Shelbyville
Vero Beach
CA
TX
TX
MO
SC
TN
CO
TN
TX
OK
FL
FL
IN
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
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
6,000,000
13,533,000
11,000,000
12,000,000
15,349,000
1,881,000
5,500,000
4,967,000
10,000,000
2,492,000
6,700,000
4,389,000
5,000,000
3,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
11/1/2012
9/15/2011
49
$
$
6,000,000
13,533,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
2, 7
9/15/2011
Preferred Stock
Preferred Stock
10/31/2012
134
$
8,969,400
$
0
Preferred Stock 2
10/31/2012
Preferred Stock
9/7/2011
62
$
1,881,000
$
0
Preferred Stock 2
9/7/2011
Preferred Stock
10/31/2012
7/14/2011
9/15/2011
137
$
$
$
4,495,616
10,000,000
2,492,000
$
$
$
0
0
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
10/31/2012
7/14/2011
9/15/2011
Preferred Stock
Preferred Stock
Preferred Stock
50
2/27/2009
2/27/2009
3/6/2009
3/6/2009
Catskill Hudson Bancorp, Inc
Midtown Bank & Trust Company
HCSB Financial Corporation
First Busey Corporation
42 - 5/3/2011
3/6/2009
3, 30 8/13/2010
2
2, 49
2
2, 134
2
2, 62
2
2, 137
2, 49
2, 49
2
2, 116
2, 71
2
3,675,000
3,675,000
Preferred Stock w/ Exercised Warrants
2
2, 49
2, 49
2, 50
2, 13 12/4/2009,
49
2, 49
2
$
$
IL
2/27/2009
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
49
49
49
Preferred Stock
P $
63,677
N/A
-
N/A
R $
R $
300,000
677,000
2,7
R $
541,793
2, 7
R $
94,000
2,7
R $
R $
R $
214,595
500,000
125,000
2, 7
2, 7
2, 7
46
Seller
Purchase Details
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Pricing
Mechanism
Capital
Repayment Date
Final Disposition
Proceeds
Par
Par
Par
Par
Par
Par
Par
Par
Par
7/18/2012
4
$
500,000
$
0
Preferred Stock
2
7/18/2012
Preferred Stock
2, 7
R $
25,000
7/27/2012
106
$
16,772,382
$
0
Preferred Stock 2
7/27/2012
Preferred Stock
2, 7
P $
896,039
8/25/2011
9/15/2011
4/21/2010
49
$
$
$
8,816,000
17,390,000
1,224,558,000
$
$
$
0
0
0
Warrants
Warrants
Warrants
11/2/2011
11/16/2011
7/7/2010
Warrants
Warrants
Warrants
R $
R $
R $
205,000
375,000
172,000,000
Footnote
Purchase Date
2
2
2, 106
2
146
49
49
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
Community Bancshares of Kansas, Inc.
Regent Bancorp, Inc.
Park Bancorporation, Inc.
PeoplesSouth Bancshares, Inc.
First Place Financial Corp.
Salisbury Bancorp, Inc.
First Northern Community Bancorp
Discover Financial Services
Provident Community Bancshares, Inc.
Goff
Davie
Madison
Colquitt
Warren
Lakeville
Dixon
Riverwoods
Rock Hill
KS
FL
WI
GA
OH
CT
CA
IL
SC
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
3/13/2009
First American International Corp.
Brooklyn
NY
Preferred Stock
$
17,000,000
Par
8/13/2010
4
$
17,000,000
$
0
N/A
N/A
N/A
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
BancIndependent, Inc.
Haviland Bancshares, Inc.
1st United Bancorp, Inc.
Madison Financial Corporation
First National Corporation
St. Johns Bancshares, Inc.
Blackhawk Bancorp, Inc.
Sheffield
Haviland
Boca Raton
Richmond
Strasburg
St. Louis
Beloit
AL
KS
FL
KY
VA
MO
WI
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
21,100,000
425,000
10,000,000
3,370,000
13,900,000
3,000,000
10,000,000
Par
Par
Par
Par
Par
Par
Par
7/14/2011
12/29/2010
11/18/2009
49
$
$
$
21,100,000
425,000
10,000,000
$
$
$
0
0
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
7/14/2011
12/29/2010
11/18/2009
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
8/23/2012
123
$
12,082,749
$
0
Preferred Stock 2
8/23/2012
Preferred Stock
10/31/2012
136
$
9,009,000
$
0
Preferred Stock 2
10/31/2012
Preferred Stock
3/13/2009
IBW Financial Corporation
Washington
DC
Preferred Stock
$
6,000,000
Par
9/3/2010
4
$
6,000,000
$
0
N/A
N/A
N/A
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
Butler Point, Inc.
Bank of George
Moneytree Corporation
Sovereign Bancshares, Inc.
First Intercontinental Bank
Heritage Oaks Bancorp
Community First Bancshares Inc.
First NBC Bank Holding Company
First Colebrook Bancorp, Inc.
Kirksville Bancorp, Inc.
Peoples Bancshares of TN, Inc
Premier Bank Holding Company
Citizens Bank & Trust Company
Farmers & Merchants Financial Corporation
Farmers State Bankshares, Inc.
SBT Bancorp, Inc.
CSRA Bank Corp.
Trinity Capital Corporation
Clover Community Bankshares, Inc.
Pathway Bancorp
Colonial American Bank
MS Financial, Inc.
Triad Bancorp, Inc.
Alpine Banks of Colorado
Catlin
Las Vegas
Lenoir City
Dallas
Doraville
Paso Robles
Union City
New Orleans
Colebrook
Kirksville
Madisonville
Tallahassee
Covington
Argonia
Holton
Simsbury
Wrens
Los Alamos
Clover
Cairo
West Conshohocken
Kingwood
Frontenac
Glenwood Springs
IL
NV
TN
TX
GA
CA
TN
LA
NH
MO
TN
FL
LA
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/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
607,000
2,672,000
9,516,000
18,215,000
6,398,000
21,000,000
20,000,000
17,836,000
4,500,000
470,000
3,900,000
9,500,000
2,400,000
442,000
700,000
4,000,000
2,400,000
35,539,000
3,000,000
3,727,000
574,000
7,723,000
3,700,000
70,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
11/2/2011
4
$
607,000
$
0
Preferred Stock 2
11/2/2011
Preferred Stock
2, 7
R $
30,000
9/15/2011
9/22/2011
50
$
$
9,516,000
18,215,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
9/15/2011
9/22/2011
Preferred Stock
Preferred Stock
2, 7
R $
R $
476,000
911,000
8/18/2011
8/4/2011
9/22/2011
49
$
$
$
20,000,000
17,836,000
4,500,000
$
$
$
0
0
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
8/18/2011
8/4/2011
9/22/2011
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
R $
R $
R $
1,000,000
892,000
225,000
10/31/2012
142
$
2,919,500
$
0
Preferred Stock 2
10/31/2012
Preferred Stock
2,7
R $
122,225
50
$
$
700,000
4,000,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
7/21/2011
8/11/2011
Preferred Stock
Preferred Stock
2, 7
R $
R $
40,000
200,000
$
$
26,396,503
2,593,700
$
$
0
0
Preferred Stock 2
Preferred Stock 2
7/27/2012
11/29/2012
Preferred Stock
Preferred Stock
2, 7
P $
P $
1,655,787
114,022
$
$
$
$
574,000
7,723,000
3,700,000
56,430,297
$
$
$
$
0
0
0
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
10/26/2011
10/19/2011
9/22/2011
9/12/2012
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
R
R
R
P
29,000
386,000
185,000
3,291,750
3, 30 8/13/2010
2, 49
2
2
2
2, 123
2
2, 136
2, 3a 11/13/2009
30 - 9/3/2010
2
2
2, 50
2, 49
2
2, 49
2, 49
2, 49
2
2, 142
2
2
2
2, 50
2, 49
2
2, 107
2, 165
2
2
2
2, 49
2, 128
2, 99 7/12/2012
2, 108
2
2
2
90 06/13/2012
2, 3, 30 8/13/2010
2, 50
2
2
500,000
9,982,000
23,200,000
12,325,000
72,927,000
8,816,000
17,390,000
1,224,558,000
9,266,000
7/21/2011
8/11/2011
49
4
4
4
49
49
49
49
7/27/2012
11/29/2012
107
10/26/2011
10/19/2011
9/22/2011
9/12/2012
4
165
4
49
128
3/27/2009
Naples Bancorp, Inc.
Naples
FL
Preferred Stock w/ Exercised Warrants
$
4,000,000
Par
7/12/2012
99
$
600,000
$
0
N/A
N/A
N/A
3/27/2009
3/27/2009
3/27/2009
3/27/2009
CBS Banc-Corp.
IBT Bancorp, Inc.
Spirit BankCorp, Inc.
Maryland Financial Bank
Russellville
Irving
Bristow
Towson
AL
TX
OK
MD
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
24,300,000
2,295,000
30,000,000
1,700,000
Par
Par
Par
Par
7/27/2012
108
$
21,776,396
$
0
Preferred Stock 2
7/27/2012
Preferred Stock
4/3/2009
First Capital Bancorp, Inc.
Glen Allen
VA
Preferred Stock w/ Warrants
$
10,958,000
Par
6/13/2012
90
$
9,931,327
$
0
Warrants
2/6/2013
Warrants
-
N/A
R $
R $
R $
1,055,000
21,000
500,000
2, 7
P $
624,675
2,7
R $
470,250
2, 7
2, 7
-
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
N/A
$
$
$
$
N/A
2, 7
P $
1,107,825
R $
266,042
4/3/2009
Tri-State Bank of Memphis
Memphis
TN
Preferred Stock
$
2,795,000
Par
8/13/2010
4
$
2,795,000
$
0
N/A
N/A
N/A
4/3/2009
4/3/2009
4/3/2009
Fortune Financial Corporation
BancStar, Inc.
Titonka Bancshares, Inc
Arnold
Festus
Titonka
MO
MO
IA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
3,100,000
8,600,000
2,117,000
Par
Par
Par
9/15/2011
50
$
3,100,000
$
0
Preferred Stock 2
9/15/2011
Preferred Stock
2, 7
R $
155,000
4/4/2012
4
$
2,117,000
$
0
Preferred Stock 2
4/4/2012
Preferred Stock
2, 7
R $
106,000
-
N/A
47
Seller
Footnote
Purchase Date
2, 84
2, 175
2
2
2
2, 3
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/10/2009
2, 188
4/10/2009
2
2
2
2, 49
2, 52
4/10/2009
4/10/2009
4/10/2009
4/17/2009
4/17/2009
4/17/2009
Purchase Details
Name of Institution
Millennium Bancorp, Inc.
TriSummit Bank
Prairie Star Bancshares, Inc.
Community First Bancshares, Inc.
BCB Holding Company, Inc.
City National Bancshares Corporation
Bank of Southern California, N.A. (First Business
Bank, N.A.)
SV Financial, Inc.
Capital Commerce Bancorp, Inc.
Metropolitan Capital Bancorp, Inc.
Bank of the Carolinas Corporation
Penn Liberty Financial Corp.
Tifton Banking Company
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Edwards
Kingsport
Olathe
Harrison
Theodore
Newark
CO
TN
KS
AR
AL
NJ
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
$
$
$
$
$
$
7,260,000
2,765,000
2,800,000
12,725,000
1,706,000
9,439,000
Par
Par
Par
Par
Par
Par
8/14/2012
11/29/2012
San Diego
CA
Preferred Stock w/ Exercised Warrants
$
2,211,000
Par
12/20/2012
Sterling
Milwaukee
Chicago
Mocksville
Wayne
Tifton
IL
WI
IL
NC
PA
GA
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
$
$
$
$
$
$
4,000,000
5,100,000
2,040,000
13,179,000
9,960,000
3,800,000
Par
Par
Par
Par
Par
Par
2
4/17/2009
Patterson Bancshares, Inc
Patterson
LA
Preferred Stock w/ Exercised Warrants
$
3,690,000
Par
2
2
121
2, 49
2
2
4/17/2009
4/17/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009
BNB Financial Services Corporation
Omega Capital Corp.
Mackinac Financial Corporation
Birmingham Bloomfield Bancshares, Inc
Vision Bank - Texas
Oregon Bancorp, Inc.
New York
Lakewood
Manistique
Birmingham
Richardson
Salem
NY
CO
MI
MI
TX
OR
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
$
$
$
$
$
$
7,500,000
2,816,000
11,000,000
1,635,000
1,500,000
3,216,000
Par
Par
Par
Par
Par
Par
2, 83
4/24/2009
Peoples Bancorporation, Inc.
Easley
SC
Preferred Stock w/ Exercised Warrants
$
12,660,000
Par
2
4/24/2009
Indiana Bank Corp.
Dana
IN
Preferred Stock w/ Exercised Warrants
$
1,312,000
Par
2
4/24/2009
Business Bancshares, Inc.
Clayton
MO
Preferred Stock w/ Exercised Warrants
$
15,000,000
Par
84
175
188
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
2,904,000
2,053,013
$
$
0
0
Preferred Stock
Preferred Stock 2
8/14/2012
11/29/2012
Preferred Stock
Preferred Stock
2, 84
$
2,017,453
$
0
Preferred Stock
2
12/20/2012
Preferred Stock
2, 7
P $
90,462
2
8/31/2011
Preferred Stock
2, 7
R $
200,000
9/1/2011
Preferred Stock
2, 7
R $
498,000
12/19/2012
7/28/2011
Warrants
Preferred Stock
R $
R $
1,300,000
82,000
4/24/2012
Preferred Stock
R $
633,000
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
2/22/2013
7/14/2011
9/8/2011
Preferred Stock
Preferred Stock
Preferred Stock
R $
R $
R $
3,000,000
244,000
200,000
Subordinated
Debentures 8
Subordinated
Debentures 8
10/6/2010
Subordinated
Debentures 8
7
R $
150,000
10/31/2012
Preferred Stock
2,7
R $
84,057
Preferred Stock
Preferred Stock
Subordinated
Debentures 8
2, 7
R $
R $
160,000
200,000
7
R $
305,000
2
8/31/2011
$
4,000,000
$
0
Preferred Stock
9/1/2011
49
$
9,960,000
$
0
Preferred Stock 2
3/7/2012
8/22/2012
12/5/2012
4
4
8/23/2012
7/28/2011
12/28/2012
121
4/24/2012
83
5/23/2012
1/9/2013
2/22/2013
7/14/2011
9/8/2011
4
49
4
Final Disposition
Proceeds
$
$
4
4
Final Disposition
Disposition
Investment
15
Description
2, 7
$
P $
124,666
2
$
$
$
250,000
250,000
250,000
$
$
$
3,440,000
3,190,000
2,940,000
Preferred Stock
Preferred Stock 2
Preferred Stock 2
$
$
$
10,380,905
1,635,000
787,500
$
$
$
0
0
712,500
Preferred Stock 2
Preferred Stock 2
$
12,660,000
$
$
$
$
$
$
6,000,000
2,500,000
60,000,000
4,871,000
4,000,000
$
$
$
$
$
9,000,000
6,500,000
0
0
0
1,400,000
Warrants
2, 7
2, 7,
2, 158
2, 50
2, 49
2
4/24/2009
4/24/2009
4/24/2009
4/24/2009
Standard Bancshares, Inc.
York Traditions Bank
Grand Capital Corporation
Allied First Bancorp, Inc.
Hickory Hills
York
Tulsa
Oswego
IL
PA
OK
IL
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
60,000,000
4,871,000
4,000,000
3,652,000
Par
Par
Par
Par
8
4/24/2009
Frontier Bancshares, Inc.
Austin
TX
Subordinated Debentures w/ Exercised
Warrants
$
3,000,000
Par
2, 138
2
2, 50
2
5/1/2009
5/1/2009
5/1/2009
5/1/2009
5/1/2009
Village Bank and Trust Financial Corp
CenterBank
Georgia Primary Bank
Union Bank & Trust Company
HPK Financial Corporation
Midlothian
Milford
Atlanta
Oxford
Chicago
VA
OH
GA
NC
IL
8
5/1/2009
OSB Financial Services, Inc.
Orange
TX
8
5/1/2009
Security State Bank Holding-Company
Jamestown
ND
4
158
50
49
0
Preferred Stock 2
Preferred Stock
2
11/24/2009
4
$
1,600,000
$
10/6/2010
4
$
1,400,000
$
0
$
1,831,250
$
0
Preferred Stock 2
2
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
$
$
$
$
$
14,738,000
2,250,000
4,500,000
3,194,000
4,000,000
Par
Par
Par
Par
Par
10/31/2012
138
9/22/2011
12/11/2012
50
$
6,100,000
Par
10/5/2011
$
10,750,000
Par
$
$
3,194,000
4,000,000
$
$
0
0
4
$
6,100,000
$
0
4
83
Preferred Stock
Preferred Stock 2
Subordinated
Debentures 8
9/22/2011
12/11/2012
10/5/2011
2, 7
2, 7
2, 7
2, 7
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, 133
5/8/2009
Investors Financial Corporation of Pettis County, Inc Sedalia
MO
$
4,000,000
Par
8, 49
5/8/2009
Sword Financial Corporation
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 $
682,000
8/13/2010
4
$
6,784,000
$
0
N/A
N/A
N/A
3, 8, 30 8/13/2010
5/8/2009
Premier Bancorp, Inc.
Horicon
Wilmette
IL
Subordinated Debentures
$
6,784,000
Par
-
N/A
48
Seller
Footnote
Purchase Date
5/15/2009
2
2, 177
2, 158
2
2, 145
2, 50
2
3, 8, 30 9/10/2010
Purchase Details
Name of Institution
Mercantile Bank Corporation
City
Grand Rapids
State
MI
Investment Amount
Preferred Stock w/ Warrants
Par
$
10,500,000
$
6/6/2012
4
$
10,500,000
$
0
Warrants
4
$
$
$
1,341,000
4,700,000
3,136,500
$
$
$
0
0
0
$
$
4,862,000
15,000,000
$
$
$
$
$
$
$
$
$
1,341,000
4,700,000
6,970,000
2,720,000
14,800,000
4,862,000
15,000,000
Par
Par
Par
Par
Par
Par
Par
3/28/2012
11/30/2012
12/21/2012
5/15/2009
IBC Bancorp, Inc.
IL
Subordinated Debentures
$
4,205,000
Par
9/10/2010
$
5,586,000
Par
$
2,400,000
Par
$
1,100,000
Par
$
2,639,000
Par
$
20,300,000
Par
2, 49
2, 182
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
2
5/22/2009
Blackridge Financial, Inc.
Fargo
ND
2, 49
2
2, 150
5/22/2009
5/22/2009
5/22/2009
Illinois State Bancorp, Inc.
Universal Bancorp
Franklin Bancorp, Inc.
Chicago
Bloomfield
Washington
IL
IN
MO
8, 110
5/22/2009
Commonwealth Bancshares, Inc.
Louisville
KY
8
5/22/2009
Premier Financial Corp
Dubuque
IA
8, 156
5/22/2009
F & C Bancorp, Inc.
Holden
Boscobel Bancorp, Inc
Boscobel
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, 109
5/15/2009
Market Street Bancshares, Inc.
Mt. Vernon
IL
5/22/2009
Diamond Bancorp, Inc.
Washington
WI
MO
MO
8
5/22/2009
United Bank Corporation
Barnesville
GA
49
2
2, 63
2, 197
2
2, 49
5/29/2009
5/29/2009
5/29/2009
5/29/2009
5/29/2009
5/29/2009
Community Bank Shares of Indiana, Inc.
American Premier Bancorp
CB Holding Corp.
Citizens Bancshares Co.
Grand Mountain Bancshares, Inc.
Two Rivers Financial Group
New Albany
Arcadia
Aledo
Chillicothe
Granby
Burlington
IN
CA
IL
MO
CO
IA
8
5/29/2009
Fidelity Bancorp, Inc
Baton Rouge
LA
8
5/29/2009
Chambers Bancshares, Inc.
Danville
AR
2
6/5/2009
Covenant Financial Corporation
Clarksdale
MS
8, 211
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
$
$
$
15,000,000
1,177,000
1,300,000
Par
Par
Par
Preferred Stock w/ Exercised Warrants
$
5,000,000
Par
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
$
$
$
6,272,000
9,900,000
5,097,000
Par
Par
Par
$
20,400,000
Par
$
6,349,000
Par
$
2,993,000
Par
Preferred Stock w/ Exercised Warrants
$
20,445,000
Par
9/8/2011
12/11/2012
4
158
4
10,500,000
Warrants
Preferred Stock
2
Preferred Stock
Preferred Stock 2
3/28/2012
11/30/2012
12/21/2012
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
0
0
Preferred Stock 2
Preferred Stock 2
9/8/2011
12/11/2012
Preferred Stock
Preferred Stock
2, 7
N/A
N/A
N/A
$
4,205,000 $
0
9/8/2011
49
$
2,639,000
$
0
7/27/2012
109
$
18,069,213
$
0
8/18/2011
12/11/2012
49
6/27/2012
9/12/2012
9/22/2011
4
4
49
15,000,000
1,046,621
$
$
$
$
$
2,250,000
2,750,000
6,272,000
$
$
$
0
0
2,750,000
0
0
11/13/2012
150
$
3,191,614
$
0
7/27/2012
110
$
15,147,000
$
0
11/13/2012
156
$
2,840,903
$
0
7/27/2012
111
$
14,780,662
$
0
2
Subordinated
Debentures 8
Subordinated
Debentures 8
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock
Subordinated
Debentures 8
2
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
Warrants
Preferred Stock
314,000
Preferred Stock
Subordinated
Debentures 8
2, 7
P $
195,018
7
P $
898,722
7
P $
148,500
7
P $
779,576
7
R $
720,000
R $
R $
1,100,870
90,000
11/13/2012
P $
824,731
R $
P $
750,000
53,755
2, 7
9/1/2011
Preferred Stock
R $
600,000
Subordinated
Debentures 8
2/20/2013
Subordinated
Debentures 8
7
P $
644,726
Preferred Stock 2
12/28/2011
Preferred Stock
2, 7
R $
145,000
R $
245,000
9/1/2011
$
12,000,000
$
0
Preferred Stock 2
Par
$
19,817,000
Par
$
5,000,000
Par
$
17,969,000
Par
2/20/2013
211
$
13,612,558
$
0
$
17,300,000
Par
$
2,892,000
Par
4
$
2,892,000
$
0
12/28/2011
250,000
R $
7
2, 7
645,047
3,942,000
0
R $
2, 7
9/22/2011
132,000
P $
$
$
2, 7
R $
2, 7
49
12,679,301
Preferred Stock
7
2, 7
197
$
N/A
Preferred Stock
2/8/2013
0
0
-
2/8/2013
49
0
243,000
750,000
Preferred Stock 2
7/3/2012
9/15/2011
1/26/2011
$
$
R $
R $
Preferred Stock 2
Par
Par
Par
Par
Par
Par
Par
$
67,000
235,000
157,050
10/19/2011
1/26/2011
14,400,000
19,468,000
1,800,000
R $
R $
P $
9/12/2012
7/27/2012
19,468,000
1,800,000
4,114,000
24,990,000
3,076,000
12,000,000
14,400,000
2, 7
7,465,100
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
Warrants
Preferred Stock
$
$
$
2, 7
R $
8/18/2011
12/11/2012
7/27/2012
11/13/2012
$
$
$
$
$
$
$
2, 7
Final Disposition
Proceeds
Subordinated
Debentures 8
Subordinated
Debentures 8
Preferred Stock
Preferred Stock
9/8/2011
7/27/2012
4
4
Final Disposition
Disposition
Investment
15
Description
7/3/2012
4
$
$
Final
Disposition
Date
Preferred Stock w/
Warrants
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
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Chicago
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
4/4/2012
NJ
OH
IL
AL
KS
TN
IL
5/15/2009
2
2, 10
21,000,000
Capital
Repayment Date
Northern State Bank
Closter
Western Reserve Bancorp, Inc
Medina
Community Financial Shares, Inc.
Glen Ellyn
Worthington Financial Holdings, Inc.
Huntsville
Equity Bancshares, Inc. [First Community BancshareWichita
Southern Heritage Bancshares, Inc.
Cleveland
Foresight Financial Group, Inc.
Rockford
8
2, 60 09/19/2011
2, 10, 30 9/29/2010
$
Pricing
Mechanism
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
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
8, 111
Capital Repayment Details
7/3/2012
2, 7
2, 7,
6/12/2009
First Vernon Bancshares, Inc.
Vernon
AL
Preferred Stock w/ Exercised Warrants
$
6,000,000
Par
6/12/2009
6/12/2009
SouthFirst Bancshares, Inc.
Virginia Company Bank
Sylacauga
Newport News
AL
VA
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
2,760,000
4,700,000
Par
Par
9/29/2010
4
$
6,000,000 $
0
Preferred Stock
2
9/29/2010
Preferred Stock
30a
49
Seller
Footnote
Purchase Date
2, 49
6/12/2009
Purchase Details
Name of Institution
Enterprise Financial Services Group, Inc.
City
Allison Park
State
PA
8, 10, 49
6/12/2009
First Financial Bancshares, Inc.
Lawrence
KS
8
6/12/2009
River Valley Bancorporation, Inc.
Wausau
WI
2, 49
2, 10
6/19/2009
6/19/2009
Merchants and Manufacturers Bank Corporation
RCB Financial Corporation
Joliet
Rome
IL
GA
8, 183
6/19/2009
Manhattan Bancshares, Inc.
Manhattan
IL
8, 10, 196
6/19/2009
Biscayne Bancshares, Inc.
Coconut Grove
FL
8
6/19/2009
Duke Financial Group, Inc.
Minneapolis
MN
8, 157
6/19/2009
Farmers Enterprises, Inc.
Great Bend
KS
8, 193
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
Capital Repayment Details
Investment Amount
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures
$
4,000,000
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Pricing
Mechanism
Capital
Repayment Date
Par
8/25/2011
49
$
4,000,000
$
0
49
$
3,756,000
$
0
$
3,756,000
Par
9/22/2011
$
15,000,000
Par
6/6/2012
4
$
10,500,000
$
$
$
3,510,000
8,900,000
Par
Par
9/8/2011
49
$
3,510,000
$
0
$
2,639,000
Par
12/11/2012
$
2,560,541
$
0
$
6,400,000
Par
$
12,000,000
Par
$
12,000,000
Par
$
10,000,000
Par
$
2,330,000
Par
$
11,926,000
Par
$
15,000,000
Par
$
3,400,000,000
4,500,000
2/8/2013
196
$
6,170,630
$
0
11/13/2012
157
$
11,439,252
$
0
12/20/2012
193
Final
Disposition
Date
2
Preferred Stock
Subordinated
Debentures 8
Subordinated
Debentures 8
Preferred Stock 2
Subordinated
Debentures 8
Subordinated
Debentures 8
8/25/2011
9/22/2011
9/8/2011
12/11/2012
2/8/2013
Subordinated
Debentures 8
Subordinated
Debentures 8
11/13/2012
12/20/2012
Final Disposition
Disposition
Investment
15
Description
Preferred Stock
Subordinated
Debentures 8
2, 7
R $
200,000
7
R $
113,000
Preferred Stock
2, 7
R $
176,000
7
P $
131,021
7
P $
204,507
7
P $
590,323
7
P $
496,589
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
$
9,751,500
$
0
$
11,926,000
$
0
N/A
N/A
N/A
7/30/2010
4
Par
3/31/2010
4
$
3,400,000,000
$
0
Warrants
9/21/2010
Warrants
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
Preferred Stock w/ Exercised Warrants
$
3,000,000
Par
8/25/2011
49
$
3,000,000
$
0
Preferred Stock 2
8/25/2011
Preferred Stock
6/26/2009
6/26/2009
Waukesha Bankshares, Inc.
FC Holdings, Inc.
Waukesha
Houston
WI
TX
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
5,625,000
21,042,000
Par
Par
2/7/2013
2/20/2013
205
$
$
5,161,674
18,685,927
$
$
0
0
Preferred Stock 2
Preferred Stock 2
2/7/2013
2/20/2013
Preferred Stock
Preferred Stock
6/26/2009
Security Capital Corporation
Batesville
MS
Preferred Stock w/ Exercised Warrants
$
17,388,000
Par
9/29/2010
4
$
17,388,000 $
0
Preferred Stock
2
9/29/2010
Preferred Stock
6/26/2009
6/26/2009
6/26/2009
First Alliance Bancshares, Inc.
Gulfstream Bancshares, Inc.
Gold Canyon Bank
Cordova
Stuart
Gold Canyon
TN
FL
AZ
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
3,422,000
7,500,000
1,607,000
Par
Par
Par
12/20/2012
8/18/2011
190
$
$
$
$
0
0
Preferred Stock 2
Preferred Stock 2
12/20/2012
8/18/2011
Preferred Stock
Preferred Stock
6/26/2009
M&F Bancorp, Inc.
Durham
NC
Preferred Stock
$
11,735,000
Par
8/20/2010
4
$
11,735,000 $
0
N/A
N/A
N/A
6/26/2009
Metropolitan Bank Group, Inc.
Chicago
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
8
6/26/2009
Stearns Financial Services, Inc.
St. Cloud
MN
$
24,900,000
Par
1/18/2012
4
$
24,900,000
$
0
8
6/26/2009
Signature Bancshares, Inc.
Dallas
TX
$
1,700,000
Par
12/15/2010
4
$
1,700,000
$
0
8
6/26/2009
Fremont Bancorporation
Fremont
CA
$
35,000,000
Par
7/25/2012
4
$
35,000,000
$
0
8, 195
6/26/2009
Alliance Financial Services Inc.
Saint Paul
MN
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
$
12,000,000
Par
2/7/2013
195
$
8,912,495
$
0
7/10/2009
Lincoln National Corporation
Radnor
PA
Preferred Stock w/ Warrants
$
950,000,000
Par
6/30/2010
4
$
950,000,000
$
0
Warrants
9/16/2010
Warrants
2, 10, 49
2, 49
2
2, 3
7/10/2009
7/17/2009
7/17/2009
7/17/2009
Bancorp Financial, Inc.
Brotherhood Bancshares, Inc.
SouthCrest Financial Group, Inc.
Harbor Bankshares Corporation
Oak Brook
Kansas City
Fayetteville
Baltimore
IL
KS
GA
MD
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
$
$
$
$
13,669,000
11,000,000
12,900,000
6,800,000
Par
Par
Par
Par
8/18/2011
9/15/2011
49
$
$
13,669,000
11,000,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
8/18/2011
9/15/2011
Preferred Stock
Preferred Stock
4
$
13,125,000
$
7/17/2009
First South Bancorp, Inc.
Lexington
TN
Subordinated Debentures w/ Exercised
Warrants
9/28/2011
8
$
50,000,000
Par
11/28/2012
11/28/2012
4
$
36,875,000
$
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated Debentures w/ Exercised
Warrants
$
8
2, 40 3/23/2011,
49
2, 10, 205
2, 210
2, 10, 30 9/29/2010
2, 190
2, 50
2, 10
2, 3, 10, 30 8/20/2010
2, 41 3/30/2011
2, 41 3/30/2011
2
8
210
Final Disposition
Proceeds
-
N/A
A $
706,264,560
2, 7
R $
150,000
2, 7
P $
P $
165,839
994,613
R $
522,000
P $
R $
94,702
375,000
2, 7
2, 7,
6/26/2009
7/17/2009
Great River Holding Company
Baxter
MN
8,400,000
50
49
2,370,742
7,500,000
36,875,000
0
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
1/18/2012
12/15/2010
7/25/2012
2/7/2013
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
30a
2, 7
2, 7
-
N/A
7
R $
1,245,000
7
R $
85,000
7
R $
1,750,000
7
P $
504,900
A $
213,671,319
R $
R $
410,000
550,000
R $
2,500,000
2, 7
2, 7
7
Par
50
Seller
Purchase Details
Name of Institution
City
State
Footnote
Purchase Date
8, 10
7/17/2009
Plato Holdings Inc.
Saint Paul
MN
125
2, 10
2, 207
7/24/2009
7/24/2009
7/24/2009
Yadkin Valley Financial Corporation
Community Bancshares, Inc.
Florida Bank Group, Inc.
Elkin
Kingman
Tampa
NC
AZ
FL
8
7/24/2009
First American Bank Corporation
Elk Grove Village
IL
2
7/31/2009
Chicago Shore Corporation
Chicago
IL
8, 10, 49
7/31/2009
Financial Services of Winger, Inc.
Winger
MN
Investment Amount
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
8, 10, 49
9/4/2009
The State Bank of Bartley
Bartley
NE
49
9/11/2009
Pathfinder Bancorp, Inc.
Oswego
NY
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
9/11/2009
Community Bancshares of Mississippi, Inc.
Brandon
MS
2, 49
2
2, 187
2, 172
8/7/2009
8/7/2009
8/14/2009
8/21/2009
The ANB Corporation
U.S. Century Bank
Bank Financial Services, Inc.
KS Bancorp, Inc.
Terrell
Miami
Eden Prairie
Smithfield
TX
FL
MN
NC
8
8/21/2009
AmFirst Financial Services, Inc.
McCook
NE
2, 3, 191
2, 49
2, 10
8/28/2009
8/28/2009
8/28/2009
First Independence Corporation
First Guaranty Bancshares, Inc.
CoastalSouth Bancshares, Inc.
Detroit
Hammond
Hilton Head Island
MI
LA
SC
8, 10, 50
8/28/2009
TCB Corporation
Greenwood
SC
2, 30 9/29/2010
2, 10, 100 7/17/2012
2, 10, 50
8, 30 9/17/2010
2, 10
2, 10, 144
Capital Repayment Details
Pricing
Mechanism
$
2,500,000
Par
$
$
$
13,312,000
3,872,000
20,471,000
Par
Par
Par
$
50,000,000
Par
$
7,000,000
Par
$
3,742,000
Par
$
11,643,740
$
12/21/2011
4
$
15,000,000
$
12/11/2012
4
$
35,000,000
$
0
9/1/2011
49
$
3,742,000
$
0
8/25/2011
49
$
20,000,000
$
12/20/2012
11/30/2012
187
$
$
907,937
3,283,000
$
$
$
20,000,000
50,236,000
1,004,000
4,000,000
Par
Par
Par
Par
$
5,000,000
Par
$
$
$
3,223,000
20,699,000
16,015,000
Par
Par
Par
12/20/2012
9/22/2011
191
$
9,720,000
Par
9/8/2011
50
172
49
0
35,000,000
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
Warrants
Subordinated
Debentures 8
Subordinated
Debentures 8
12/11/2012
Subordinated
Debentures 8
0
Subordinated
Debentures 8
Preferred Stock 2
8/25/2011
Subordinated
Debentures 8
Preferred Stock
$
$
0
0
Preferred Stock 2
Preferred Stock 2
12/20/2012
11/30/2012
Preferred Stock
Preferred Stock
2,286,675
20,699,000
$
$
0
0
N/A
Preferred Stock 2
N/A
9/22/2011
N/A
Preferred Stock
9,720,000
$
0
$
1,697,000
Par
9/22/2011
49
$
1,697,000
$
0
$
6,771,000
Par
9/1/2011
49
$
6,771,000
$
0
Subordinated
Debentures 8
Subordinated
Debentures 8
Warrants
Preferred Stock w/ Exercised Warrants
$
52,000,000
Par
9/29/2010
4
$
52,000,000 $
0
Preferred Stock w/ Exercised Warrants
$
7,000,000
Par
7/17/2012
100
$
7,000,000
$
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
1,500,000
Par
8/25/2011
50
$
1,500,000
$
$
7,500,000
Par
9/17/2010
4
$
7,500,000 $
0
$
$
5,976,000
10,000,000
Par
Par
$
10,103,000
Par
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
$
3,300,000
Par
$
2,443,320
Par
9/1/2011
7
R $
2,500,000
7
R $
112,000
2, 7
R $
1,000,000
2, 7
P $
P $
23,500
140,400
2, 7
R $
N/A
1,030,000
7
R $
292,000
7
R $
51,000
R $
537,633
R $
2,600,000
248,000
2, 7
2/1/2012
Subordinated
Debentures 8
Subordinated
Debentures 8
Warrants
Preferred Stock 2
9/29/2010
Preferred Stock
0
Preferred Stock 2
7/17/2012
Preferred Stock
2, 7
$
0
2
8/25/2011
Preferred Stock
Subordinated
Debentures 8
2, 7
R $
71,000
30a
R $
375,000
2,7 R $
315,462
9/8/2011
9/22/2011
2, 7,
9/11/2009
Heartland Bancshares, Inc.
Franklin
IN
PFSB Bancorporation, Inc.
Pigeon Falls
WI
9/11/2009
First Eagle Bancshares, Inc.
Hanover Park
IL
9/18/2009
9/18/2009
IA Bancorp, Inc.
HomeTown Bankshares Corporation
Iselin
Roanoke
NJ
VA
2, 10, 50
9/25/2009
Heritage Bankshares, Inc.
Norfolk
VA
2
9/25/2009
Mountain Valley Bancshares, Inc.
Cleveland
GA
8
9/25/2009
Grand Financial Corporation
Hattiesburg
MS
9/25/2009
Guaranty Capital Corporation
Belzoni
MS
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
$
11,019,000
112
2, 10, 49
10/2/2009
10/2/2009
Premier Financial Bancorp, Inc.
Providence Bank
Huntington
Rocky Mount
WV
NC
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$
$
22,252,000
4,000,000
2, 10, 69 1/27/2012
125
9/12/2012
$
$
$
$
9/11/2009
3, 8, 30 7/30/2010
10, 21, 132
Capital
Repayment Date
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Preferred Stock w/ Exercised Warrants
10/31/2012 ## $
3/16/2011 4 $
9,093,150
2,606,000
$
$
0
7,497,000
Preferred Stock
Subordinated
Debentures 8
9/17/2010
Preferred Stock 2
Preferred Stock 2
8/11/2011
50
$
7,497,000
$
0
Preferred Stock 2
7/30/2010
4
$
14,000,000
$
0
N/A
Par
9/1/2011
50
$
11,019,000
$
0
Par
Par
7/27/2012
9/15/2011
112
$
$
19,849,222
4,000,000
$
$
0
0
1/27/2012
69
50
$
6,251,000
49
$
$
$
$
$
49
Subordinated
Debentures 8
Warrants
Preferred Stock 2
10/31/2012
Preferred Stock
8/11/2011
Preferred Stock
N/A
N/A
9/1/2011
Subordinated
Debentures 8
9/15/2011
Preferred Stock
30a
2, 7
R $
303,000
-
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
8, 50
10/23/2009
Cardinal Bancorp II, Inc.
Washington
MO
2
2, 10a, 49
2, 10a, 202
2, 10
10/30/2009
10/30/2009
11/6/2009
11/13/2009
Randolph Bank & Trust Company
WashingtonFirst Bankshares, Inc.
F & M Bancshares, Inc.
Fidelity Federal Bancorp
Asheboro
Reston
Trezevant
Evansville
NC
8, 10
11/13/2009
Community Pride Bank Corporation
Ham Lake
MN
2, 10a
2, 10, 184
2, 50
11/13/2009
11/20/2009
11/20/2009
HPK Financial Corporation
Presidio Bank
McLeod Bancshares, Inc.
Chicago
San Francisco
Shorewood
VA
TN
IN
IL
CA
MN
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
12,700,000
Par
$
6,251,000
Par
9/8/2011
$
$
$
$
6,229,000
6,842,000
3,535,000
6,657,000
Par
Par
Par
Par
8/4/2011
2/7/2013
$
4,400,000
Par
$
$
$
5,000,000
10,800,000
6,000,000
Par
Par
Par
12/11/2012
12/11/2012
8/18/2011
202
4
50
$
12,700,000
$
2
0
Preferred Stock
1/27/2012
Preferred Stock
$
0
Subordinated
Debentures 8
9/8/2011
Subordinated
Debentures 8
6,842,000
3,298,420
$
$
0
0
N/A
N/A
N/A
N/A
N/A
N/A
5,000,000
9,058,369
6,000,000
$
$
$
0
0
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
12/11/2012
12/11/2012
8/18/2011
Preferred Stock
Preferred Stock
Preferred Stock
69
7
-
2, 7
2, 7
2, 7
N/A
N/A
R $
P $
R $
144,000
278,381
300,000
51
Seller
Footnote
Purchase Date
Purchase Details
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
2, 10a
11/20/2009
Metropolitan Capital Bancorp, Inc.
Chicago
IL
Preferred Stock
$
2,348,000
Par
3, 10a, 72 2/10/2012
12/4/2009
Broadway Financial Corporation
Los Angeles
CA
Preferred Stock
$
6,000,000
Par
2, 200
2, 10
12/4/2009
12/4/2009
Delmar Bancorp
Liberty Bancshares, Inc.
Delmar
Fort Worth
MD
TX
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
9,000,000
6,500,000
Par
Par
2/7/2013
200
$
5,453,900
$
0
Preferred Stock 2
2/7/2013
Preferred Stock
2, 113, 129
12/11/2009
First Community Financial Partners, Inc.
Joliet
IL
Preferred Stock w/ Exercised Warrants
$
22,000,000
Par
9/12/2012
129
$
14,211,450
$
0
Preferred Stock 2
7/27/2012
Preferred Stock
2, 10
12/11/2009
Wachusett Financial Services, Inc.
Clinton
MA
Preferred Stock w/ Exercised Warrants
$
12,000,000
Par
2, 7
Final Disposition
Proceeds
P $
311,944
P $
720,374
2, 7,
8
2, 10a, 49
2, 10a, 49
2, 10a, 49
2, 10a, 114
2, 10a
2, 10a, 49
12/11/2009
12/11/2009
12/11/2009
12/11/2009
12/11/2009
12/11/2009
12/11/2009
2, 10a, 188
12/11/2009
2, 173
2, 10, 49
2, 49
2, 10a, 49
2, 10a, 49
2, 10a, 203
2, 10a
2, 10a, 49
2, 10, 149
2, 10a, 30 9/24/2010
2, 10a, 13 8/31/2010,
49
2, 10a, 49
2, 10a, 49
2, 10a, 175
2, 10
2, 10
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/22/2009
2, 73 3/9/2012
Nationwide Bankshares, Inc.
GrandSouth Bancorporation
1st Enterprise Bank
First Resource Bank
First Western Financial, Inc.
Meridian Bank
The Victory Bancorp, Inc.
Bank of Southern California, N.A. (First Business
Bank, N.A.)
Layton Park Financial Group
Centric Financial Corporation
Valley Financial Group, Ltd., 1st State Bank
Cache Valley Banking Company
Birmingham Bloomfield Bancshares, Inc
First Priority Financial Corp.
Northern State Bank
Union Bank & Trust Company
First Freedom Bancshares, Inc.
West Point
Greenville
Los Angeles
Exton
Denver
Devon
Limerick
NE
SC
CA
PA
CO
PA
PA
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
2,000,000
6,319,000
6,000,000
2,417,000
11,881,000
6,335,000
1,505,000
Par
Par
Par
Par
Par
Par
Par
4/4/2012
4
$
3,000,000
$
9,000,000
1/30/2013
4
$
4,000,000
$
5,000,000
12/29/2010
4
$
2,000,000
$
9/8/2011
9/1/2011
9/15/2011
7/27/2012
49
$
$
$
$
6,319,000
6,000,000
2,417,000
6,138,000
$
$
$
$
49
49
114
0
0
0
0
3,881,000
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Subordinated
Debentures 8
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
Subordinated
Debentures 8
N/A
N/A
N/A
N/A
12/29/2010
9/22/2011
49
$
1,505,000
$
0
Preferred Stock 2
9/22/2011
Preferred Stock
$
1,832,697
$
0
N/A
N/A
N/A
$
$
$
$
$
$
$
$
$
2,345,930
6,056,000
1,300,000
4,640,000
1,744,000
4,009,723
1,230,000
2,997,000
7,945,493
$
$
$
$
$
$
$
$
$
0
0
0
0
0
0
0
0
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
N/A
N/A
N/A
N/A
N/A
Preferred Stock 2
11/29/2012
7/14/2011
9/22/2011
N/A
N/A
N/A
N/A
N/A
11/9/2012
Preferred Stock
Preferred Stock
Preferred Stock
N/A
N/A
N/A
N/A
N/A
Preferred Stock
0
N/A
N/A
N/A
San Diego
CA
Preferred Stock
$
2,032,000
Par
12/20/2012
188
Milwaukee
Harrisburg
Saginaw
Logan
Birmingham
Malvern
Closter
Oxford
Lebanon
WI
PA
MI
UT
MI
PA
NJ
NC
TN
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
$
$
$
$
3,000,000
6,056,000
1,300,000
4,640,000
1,744,000
4,596,000
1,230,000
2,997,000
8,700,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
11/29/2012
7/14/2011
9/22/2011
7/14/2011
7/28/2011
2/8/2013
3/28/2012
9/22/2011
11/9/2012
173
49
49
49
49
203
4
49
149
12/22/2009
First Choice Bank
Cerritos
CA
Preferred Stock
$
2,836,000
Par
9/24/2010
4
12/22/2009
Highlands Bancorp, Inc.
(Highlands State Bank)
Vernon
NJ
Preferred Stock
$
2,359,000
Par
9/22/2011
49
$
2,359,000
$
0
N/A
N/A
N/A
12/22/2009
12/22/2009
12/22/2009
12/29/2009
12/29/2009
Medallion Bank
Catskill Hudson Bancorp, Inc
TriSummit Bank
Atlantic Bancshares, Inc.
Union Financial Corporation
Salt Lake City
Rock Hill
Kingsport
Bluffton
Albuquerque
UT
NY
TN
SC
NM
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
$
$
9,698,000
3,500,000
4,237,000
2,000,000
2,179,000
Par
Par
Par
Par
Par
7/21/2011
7/21/2011
11/29/2012
49
$
$
$
9,698,000
3,500,000
3,145,973
$
$
$
0
0
0
Preferred Stock 2
Preferred Stock 2
N/A
7/21/2011
7/21/2011
N/A
Preferred Stock
Preferred Stock
N/A
7/25/2012
4
$
600,000
$
12/29/2009
Mainline Bancorp, Inc.
Ebensburg
PA
Preferred Stock w/ Exercised Warrants
$
4,500,000
Par
3/9/2012
73
$
4,500,000
$
$
3,035,000
Par
38
$
650,000
$
$
4,567,000
1,508,000
Par
Par
11/9/2012
155
$
4,217,361
4
$
164
$
$
49
175
$
2,836,000
$
1,579,000
113
7
R $
100,000
2, 7
N/A
N/A
N/A
N/A
R $
34,000
N/A
2, 7
2, 7
2, 7
2, 7
P $
R $
R $
-
104,375
182,000
65,000
N/A
N/A
N/A
N/A
N/A
256,119
P $
-
N/A
N/A
2, 7
R
2, 7
R
$
$
N/A
55,000
113,000
$
225,000
Preferred Stock 2
2, 7,
8, 10, 38
12/29/2009
FBHC Holding Company
Boulder
CO
2, 10a, 155
2, 10a
2, 10a, 30 9/29/2010
2, 10a
2, 10a, 164
2, 10a, 49
12/29/2009
12/29/2009
Western Illinois Bancshares Inc.
DeSoto County Bank
Monmouth
Horn Lake
IL
MS
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock
Preferred Stock
12/29/2009
Lafayette Bancorp, Inc.
Oxford
MS
Preferred Stock
$
2,453,000
Par
9/29/2010
12/29/2009
12/29/2009
12/29/2009
Private Bancorporation, Inc.
CBB Bancorp
Illinois State Bancorp, Inc.
Minneapolis
Cartersville
Chicago
MN
GA
IL
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants
$
$
$
3,262,000
1,753,000
4,000,000
Par
Par
Par
11/29/2012
9/22/2011
$
204,943,827,320
Total Purchase Amount *
3/9/2011
49
Total Repaid **
Losses***
TOTAL TREASURY CAPITAL PURCHASE PROGRAM (CPP) OUTSTANDING INVESTMENT AMOUNT
R
0
Preferred Stock 2
3/9/2012
Preferred Stock
$
0
N/A
N/A
N/A
N/A
$
0
N/A
N/A
N/A
N/A
2,453,000
$
0
N/A
N/A
N/A
1,613,658
4,000,000
$
$
0
0
N/A
Preferred Stock 2
N/A
9/22/2011
N/A
Preferred Stock
$ 194,713,181,491
$
(3,264,799,493)
$
6,965,846,336
73
-
2, 7
Total Warrant Proceeds****
N/A
N/A
R $
$
92,000
7,810,958,788
52
Seller
Footnote
Purchase Date
Name of Institution
Purchase Details
City
State
Investment Amount
Capital Repayment Details
Pricing
Mechanism
Capital
Repayment Date
Capital Repayment
Amount (Loss) 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
* 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 and (ii) the investment amount less the amount of final proceeds for institutions where Treasury has completed a sale, but excludes investment amounts for institutions that have pending receivership or bankruptcy proceedings.
**** 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.
53
1a/ This transaction was included in previous Transaction Reports with Merrill Lynch & Co., Inc. listed as the qualifying institution and a 10/28/2008 transaction date, footnoted to indicate that settlement was deferred pending merger. The purchase of Merrill Lynch by Bank of America was completed on 1/1/2009, and this transaction under the CPP
1b/ The warrant disposition proceeds amount are stated pro rata in respect of the CPP investments in Bank of America Corporation that occurred on 10/28/2008 and 1/9/2009. The total 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
17/ On 12/11/2009, Treasury exchanged its series A preferred stock issued by Superior Bancorp, Inc. for a like amount of non tax-deductible Trust Preferred Securities issued by Superior Capital Trust II, administrative trustee for Superior Bancorp.
18/ On 2/1/2010, following the acquisition of First Market Bank (First Market) by Union Bankshares Corporation (the acquiror), the preferred stock and exercised warrants issued by First Market on 2/6/2009 were exchanged for a like amount of securities of the acquiror in a single series but with a blended dividend rate equivalent to those of Treasury's
19/ On 2/11/2010, Pacific Coast National Bancorp dismissed its bankruptcy proceedings with no recovery to any creditors or investors, including Treasury, and the investment was extinguished.
20/ On 3/8/2010, Treasury exchanged its $84,784,000 of preferred stock in Midwest Banc Holdings, Inc. (MBHI) for $89,388,000 of mandatory convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $84,784,000, plus $4,604,000 of capitalized previously accrued and unpaid dividends. Subject to the fulfillment by
MBHI of the conditions related to its capital plan, the MCP may be converted to common stock.
21/ On 3/30/2010, Treasury exchanged its $7,500,000 of subordinated debentures in GulfSouth Private Bank for an equivalent amount of preferred stock, in connection with its conversion from a Subchapter S-Corporation, that comply with the CPP terms applicable to privately held qualified financial institutions.
22/ On 4/16/2010, Treasury exchanged its $72,000,000 of preferred stock in Independent Bank Corporation (Independent) for $74,426,000 of mandatory convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $72,000,000, plus $2,426,000 of capitalized previously accrued and unpaid dividends. Subject to the
fulfillment by Independent of the conditions related to its capital plan, the MCP may be converted to common stock.
23/ Treasury received Citigroup common stock pursuant to the June 2009 Exchange Agreement between Treasury and Citigroup which provided for the exchange into common shares of the preferred stock that Treasury purchased in connection with Citigroup's participation in the Capital Purchase Program (see note 11). On April 26, 2010,
Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on May
26, 2010. On May 26, 2010, Treasury again gave Morgan Stanley discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on June 30,
2010. On July 23, 2010, Treasury again gave Morgan Stanley discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on September 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on
September 30, 2010. On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common stock from time to time during the period ending on December 31, 2010 (or upon completion of the sale), which plan
was terminated on December 6, 2010. All such sales were generally made at the market price. On December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. See "Capital Purchase Program - Citigroup, Inc., Common Stock Disposition" on following page for the actual number of shares sold by
Morgan Stanley, the weighted average price per share and the total proceeds to Treasury from all such sales during those periods.
24/ On 8/26/2010, Treasury completed the exchange of its $303,000,000 of preferred stock in Sterling Financial Corporation (Sterling) for a like amount of mandatorily convertible preferred Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Sterling entered into on 4/29/2010. Since Sterling also fulfilled the
conversion conditions set forth in the Certificate of Designations for the MCP, including those related to its capital plan, Treasury’s $303,000,000 of MCP was subsequently, as of 8/26/2010, converted into 378,750,000 shares of common stock.
25/ On 8/20/2010, Sonoma Valley Bank, Sonoma, CA, the banking subsidiary of Sonoma Valley Bancorp, was closed by the California Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
26/ On 9/30/2010, Treasury completed the sale of all preferred stock and warrants issued by South Financial Group, Inc. to Toronto-Dominion Bank (TD) at an aggregate purchase price of $130,179,218.75 for the preferred stock and $400,000 for the warrants, pursuant to the terms of the agreement between Treasury and TD entered into on
5/18/2010.
27/ On 6/30/2010, Treasury exchanged $46,400,000 of its series A preferred stock in First Merchants Corporation for a like amount of non tax-deductible Trust Preferred Securities issued by First Merchants Capital Trust III.
28/ On 7/20/2010, Treasury completed the exchange of its $400,000,000 of preferred stock in First BanCorp for $424,174,000 of mandatorily convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $400,000,000, plus $24,174,000 of capitalized previously accrued and unpaid dividends. On 10/07/2011, following the
completion of the conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was converted into 32,941,797 shares of common stock of First BanCorp. Treasury received all accrued and previously unpaid dividends on the MCP at the time of the conversion. First BanCorp has agreed to have a Treasury
observer attend board of directors meetings.
29/ On 8/31/2010, following the completion of the conditions related to Pacific Capital Bancorp's (Pacific Capital) capital plan, Treasury exchanged its $180,634,000 of preferred stock in Pacific Capital for $195,045,000 of mandatorily convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $180,634,000, plus
$14,411,000 of capitalized previously accrued and unpaid dividends. On 9/27/2010, following the completion of the conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was converted into 360,833,250 shares of common stock of Pacific Capital. Following a reverse stock split effective 12/28/10, Treasury
held 3,608,332 shares of Pacific Capital common stock. Effective 11/30/12, Pacific Capital merged with and into UnionBanCal Corporation and each outstanding share of common stock of the Company was converted into the right to receive $46.00 per share in cash, and Treasury received $165,983,272 in respect of its common stock and
$393,121 in respect of its warrant.
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.
54
40/ As a result of the acquisition of Fidelity Resources Company (the acquired company) by Veritex Holdings, Inc. (the acquiror), the preferred stock and exercised warrants issued by the acquired company on 6/26/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the terms of an agreement among Treasury, the
acquired company and the acquiror entered into on 3/23/2011.
41/ As a result of the acquisition of NC Bancorp, Inc. (the acquired company) by Metropolitan Bank Group, Inc. (the acquiror), Treasury exchanged $6,880,000 of its preferred stock in NC Bancorp, Inc. and $71,526,000 of its preferred stock in Metropolitan Bank Group, Inc. for $81,892,000 of a new series of preferred stock in Metropolitan Bank
Group, Inc., which is equivalent to the combined initial investment amount of $78,406,000 plus $3,486,000 of capitalized previously accrued and unpaid dividends, pursuant to the terms of an agreement among Treasury, the acquired company and the acquiror entered into on 3/30/2011. Exercised warrants were also exchanged at the time of the
agreement.
42/ On 5/3/2011, Treasury completed the sale of all First Federal Bancshares of Arkansas, Inc. preferred stock and warrants held by Treasury to Bear State Financial Holdings, LLC (“Bear State”) for an aggregate purchase price of $6,000,000.00, pursuant to the terms of the agreement between Treasury and Bear State entered into on 05/03/2011.
43/ On 5/13/2011, Treasury completed the sale of all Wilmington Trust Corporation preferred stock held by Treasury to M&T Bank Corporation ("M&T") for an aggregate purchase price of $330,000,000.00 plus accrued dividends and exchanged its Wilmington Trust Corporation warrant for an equivalent warrant issued by M&T Bank Corporation,
pursuant to the terms of the agreement between Treasury and M&T entered into on 5/13/2011.
44/ On 7/5/2011, Treasury completed a transaction with Harris Financial Corp., a wholly-owned subsidiary of Bank of Montreal ("BMO"), for the sale of (i) all Marshall & Ilsley Corporation ("M&I") Preferred Stock held by Treasury for a purchase price of $1,715,000,000 plus accrued dividends and (ii) the Treasury-held M&I Warrant for an amount equal
to $3,250,000, pursuant to the terms of the agreement between Treasury and BMO entered into on 05/16/2011.
45/ On 6/3/2011, Treasury completed the sale of all Whitney Holding Corporation preferred stock and the related warrant held by Treasury to Hancock Holding Company ("HHC") for an aggregate purchase price equal to (i) the par amount of the preferred stock ($300,000,000) plus accrued and unpaid dividends thereon and (ii) $6,900,000 for the
warrant, pursuant to the terms of the agreement between Treasury and HHC entered into on 6/3/2011.
46/ On 06/22/2011, Treasury completed the sale of 2,850,000 shares of common stock at $12.590625 per share (which represents the $12.75 public offering price less underwriting discounts) for net proceeds of $35,883,281.25 pursuant to an underwriting agreement executed on 06/17/2011. 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 8/14/2012, Treasury completed the sale of all Millennium Bancorp, Inc. (Millennium) Preferred Stock held by Treasury to CIC Bancshares, Inc. (CIC) 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, pursuant to an agreement by and amount Treasury, CIC,
and Millennium entered into on 4/20/2012.
85/ On 6/19/2012, Treasury completed the sale of 52,000 shares of Ameris Bancorp preferred stock at $930.60 per share (less underwriting discounts) for net proceeds of $47,665,332.00 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
86/ On 6/19/2012, Treasury completed the sale of 104,823 shares of Taylor Capital Group preferred stock at $893.50 per share (less underwriting discounts) for net proceeds of $92,254,460.24 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
87/ On 6/19/2012, Treasury completed the sale of 30,000 shares of Farmers Capital Bank Corporation preferred stock at $869.17 per share (less underwriting discounts) for net proceeds of $21,594,228.79 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
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88/ On 6/19/2012, Treasury completed the sale of 25,223 shares of LNB Bancorp Inc. preferred stock at $739.89 per share (less underwriting discounts) for net proceeds of $21,863,749.50 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
89/ On 6/19/2012, Treasury completed the sale of 37,000 shares of First Defiance Financial Corp. preferred stock at $962.66 per share (less underwriting discounts) for net proceeds of $35,084,143.70 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
90/ On 6/19/2012, Treasury completed the sale of 10,958 shares of First Capital Bancorp, Inc. preferred stock at $920.11 per share (less underwriting discounts) for net proceeds of $9,931,326.90 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
91/ On 6/19/2012, Treasury completed the sale of 20,600 shares of United Bancorp, Inc. preferred stock at $825.50 per share (less underwriting discounts) for net proceeds of $16,750,220.50 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
92/ On 7/3/2012, Treasury completed the sale of 48,200 shares of Fidelity Southern Corporation preferred stock at $900.60 per share (less underwriting discounts) for net proceeds of $42,757,786.20 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
93/ On 7/3/2012, Treasury completed the sale of 25,054 shares of Peoples Bancorp of North Carolina, Inc. preferred stock at $933.36 per share (less underwriting discounts) for net proceeds of $23,033,635.42 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
94/ On 7/3/2012, Treasury completed the sale of 23,184 shares of First Citizens Banc Corp preferred stock at $906.00 per share (less underwriting discounts) for net proceeds of $20,689,633.44 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
95/ On 7/3/2012, Treasury completed the sale of 45,000 shares of MetroCorp Bancshares, Inc. preferred stock at $981.17 per share (less underwriting discounts) for net proceeds of $43,490,360.25 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
96/ On 7/3/2012, Treasury completed the sale of 32,538 shares of Pulaski Financial Corp preferred stock at $888.00 per share (less underwriting discounts) for net proceeds of $28,460,337.84 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
97/ On 7/3/2012, Treasury completed the sale of 33,000 shares of Firstbank Corporation preferred stock at $941.01 per share (less underwriting discounts) for net proceeds of $30,587,530.05 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
98/ On 7/3/2012, Treasury completed the sale of 17,299 shares of Southern First Bancshares, Inc. preferred stock at $904.00 per share (less underwriting discounts) for net proceeds of $15,403,721.56 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
99/ On 7/12/2012, Treasury completed the sale of all Naples Bancorp, Inc. ("Naples Bancorp") preferred stock held by Treasury to Naples Bancorp for an aggregate purchase price of $600,000.00, pursuant to the terms of the agreement between Treasury and Naples Bancorp entered into on 7/12/2012.
100/ On 7/17/2012, Treasury completed the sale of all Heartland Bancshares, Inc. ("Heartland") preferred stock held by Treasury to Horizon Bancorp for an aggregate purchase price of $7,248,000 plus accrued and unpaid dividends, pursuant to the terms of the agreement by and among Treasury, Heartland, and Horizon Bancorp entered into on
7/17/2012.
101/ As a result of the acquisition of Community Holding Company of Florida, Inc. (the acquired company) by Community Bancshares of Mississippi, Inc. (the acquiror), the preferred stock and exercised warrants issued by the acquired company on 2/6/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the terms of an
agreement among Treasury, the acquired company and the acquiror entered into on 7/19/2012.
102/ On 8/10/2012, Treasury completed the sale of 35,500 shares of Marquette National Corporation preferred stock at $720.25 per share (less a placement agent fee) for net proceeds of $25,313,186.25 and 1,775 shares of Marquette National Corporation preferred stock received upon the exercise of warrants at $825.25 per share (less a
placement agent fee) for net proceeds of $1,450,170.56, pursuant to a placement agency agreement executed on 7/23/2012.
103/ On 8/13/2012, Treasury completed the sale of 43,000 shares of Exchange Bank preferred stock at $875.25 per share (less a placement agent fee) for net proceeds of $37,259,392.50 and 2,150 shares of Exchange Bank preferred stock received upon the exercise of warrants at $965.10 per share (less a placement agent fee) for net proceeds
of $2,054,215.35, pursuant to a placement agency agreement executed on 7/23/2012.
104/ On 8/9/2012, Treasury completed the sale of 36,282 shares of Fidelity Financial Corporation preferred stock at $891.26 per share (less a placement agent fee) for net proceeds of $32,013,328.37 and 1,814 shares of Fidelity Financial Corporation preferred stock received upon the exercise of warrants at $960.60 per share (less a placement
agent fee) for net proceeds of $1,725,103.12, pursuant to a placement agency agreement executed on 7/23/2012.
105/ On 8/9/2012, Treasury completed the sale of 428 shares of First Western Financial, Inc. preferred stock received upon the exercise of warrants at $828.50 per share (less a placement agent fee) for net proceeds of $351,052.02, pursuant to a placement agency agreement executed on 7/23/2012.
106/ On 8/10/2012, Treasury completed the sale of 23,200 shares of Park Bancorporation, Inc. preferred stock at $730.25 per share (less a placement agent fee) for net proceeds of $16,772,382.00 and 1,160 shares of Park Bancorporation, Inc. preferred stock received upon the exercise of warrants at $780.25 per share (less a placement agent
fee) for net proceeds of $896,039.10, pursuant to a placement agency agreement executed on 7/23/2012.
107/ On 8/10/2012, Treasury completed the sale of 35,539 shares of Trinity Capital Corporation preferred stock at $750.25 per share (less a placement agent fee) for net proceeds of $26,396,503.40 and 1,777 shares of Trinity Capital Corporation preferred stock received upon the exercise of warrants at $941.20 per share (less a placement agent
fee) for net proceeds of $1,655,787.28, pursuant to a placement agency agreement executed on 7/23/2012.
108/ On 8/10/2012, Treasury completed the sale of 24,300 shares of CBS Banc-Corp. preferred stock at $905.20 per share (less a placement agent fee) for net proceeds of $21,776,396.40 and 1,215 shares of CBS Banc-Corp. preferred stock received upon the exercise of warrants at $921.00 per share (less a placement agent fee) for net
proceeds of $1,107,824.85, pursuant to a placement agency agreement executed on 7/23/2012.
109/ On 8/9/2012, Treasury completed the sale of its Market Street Bancshares, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $18,069,212.70 and its Market Street Bancshares, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $824,730.64,
pursuant to a placement agency agreement executed on 7/23/2012.
110/ On 8/9/2012, Treasury completed the sale of its Commonwealth Bancshares, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $15,147,000.00 and its Commonwealth Bancshares, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $898,722.00,
pursuant to a placement agency agreement executed on 7/23/2012.
111/ On 8/9/2012, Treasury completed the sale of its Diamond Bancorp, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $14,780,661.64 and its Diamond Bancorp, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $779,576.49, pursuant to a
placement agency agreement executed on 7/23/2012.
112/ On 8/10/2012, Treasury completed the sale of 22,252 shares of Premier Financial Bancorp, Inc. preferred stock at $901.03 per share (less a placement agent fee) for net proceeds of $19,849,222.36, pursuant to a placement agency agreement executed on 7/23/2012.
113/ On 8/10/2012, Treasury completed the sale of 1,100 shares of First Community Financial Partners, Inc. preferred stock received upon the exercise of warrants at $661.50 per share (less a placement agent fee) for net proceeds of $720,373.50, pursuant to a placement agency agreement executed on 7/23/2012.
114/ On 8/9/2012, Treasury completed the sale of 8,000 shares of First Western Financial, Inc. preferred stock at $775.00 per share (less a placement agent fee) for net proceeds of $6,138,000.00, pursuant to a placement agency agreement executed on 7/23/2012.
115/ On 7/13/2012, Glasgow Savings Bank, Glasgow, MO, the banking subsidiary of Gregg Bancshares, Inc. , was closed by the Missouri Division of Finance, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
116/ On 7/27/2012, Treasury entered into an agreement with Pinnacle Bank Holding Company, Inc. (“Pinnacle”) pursuant to which Treasury agreed to sell its CPP preferred stock back to Pinnacle at a discount subject to the satisfaction of the conditions specified in the agreement.
117/ On 8/1/2012, Treasury completed the sale of all VIST Financial Corp. ("VIST") preferred stock and the related warrant held by Treasury to Tompkins Financial Corporation ("Tompkins") for an aggregate purchase price equal to (i) the par amount of the preferred stock ($25,000,000) plus accrued and unpaid dividends thereon and (ii) $1,189,813
for the warrant, pursuant to the terms of the agreement by and among Treasury, VIST, and Tompkins entered into on 8/1/2012.
118/ On 8/20/2012, Treasury completed the sale of 5,738,637 split adjusted shares of Sterling Financial Corporation common stock at $20.00 per share (less underwriting discounts) for net proceeds of $113,338,080.75, pursuant to an underwriting agreement executed on 8/14/2012.
119/ On 8/21/2012, Treasury completed the sale of 230,000 shares of M&T Bank Corporation Series A Preferred Shares and 151,500 shares of M&T Bank Corporation Series C Preferred Shares at $1,000.00 per share plus accrued dividends for proceeds of $381,500,000.00 plus accrued dividends, pursuant to an underwriting agreement executed
120/ On 8/29/2012, Treasury completed the sale of 31,260 shares of BNC Bancorp preferred stock at $921.23 per share (less underwriting discounts) for net proceeds of $28,365,685.05 plus accrued dividends, pursuant to an underwriting agreement executed on 8/23/2012.
121/ On 8/29/2012, Treasury completed the sale of 11,000 shares of Mackinac Financial Corporation preferred stock at $958.09 per share (less underwriting discounts) for net proceeds of $10,380,905.15 plus accrued dividends, pursuant to an underwriting agreement executed on 8/23/2012.
122/ On 8/29/2012 Treasury completed the sale of 11,350 shares of First Community Corporation preferred stock at $982.83 per share (less underwriting discounts) for net proceeds of $10,987,793.69 plus accrued dividends, pursuant to an underwriting agreement executed on 8/23/2012.
123/ On 8/29/2012, Treasury completed the sale of 13,900 shares of First National Corporation preferred stock at $882.50 per share (less underwriting discounts) for net proceeds of $12,082,748.75 plus accrued dividends and 695 shares of First National Corporation preferred stock (held as a result of warrant exercise) at $912.50 per share (less
underwriting discounts) for net proceeds of $624,674.69 plus accrued dividends, pursuant to an underwriting agreement executed on 8/23/2012.
124/ On 9/18/2012, Treasury completed the sale of 36,000 shares of Yadkin Valley Financial Corporation Series T preferred stock at $884.82 per share (less underwriting discounts) for net proceeds of $31,843,080.00 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 9/12/2012.
125/ On 9/18/2012, Treasury completed the sale of 13,312 shares of Yadkin Valley Financial Corporation Series T-ACB preferred stock at $880.00 per share (less underwriting discounts) for net proceeds of $11,643,740.16 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 9/12/2012.
126/ On 9/20/2012, Treasury completed the sale of 17,000 shares of F&M Financial Corporation (NC) preferred stock at $950.00 per share (less a placement agent fee) for net proceeds of $15,988,500.00 and 850 shares of F&M Financial Corporation (NC) preferred stock received upon the exercise of warrants at $921.30 per share (less a
placement agent fee) for net proceeds of $775,273.95, pursuant to a placement agency agreement executed on 9/12/2012.
127/ On 9/21/2012, Treasury completed the sale of 17,243 shares of F&M Financial Corporation (TN) preferred stock at $787.50 per share (less a placement agent fee) for net proceeds of $13,443,073.87 and 862 shares of F&M Financial Corporation (TN) preferred stock received upon the exercise of warrants at $870.00 per share (less a
placement agent fee) for net proceeds of $742,440.60, pursuant to a placement agency agreement executed on 9/12/2012.
128/ On 9/20/2012, Treasury completed the sale of 70,000 shares of Alpine Banks of Colorado preferred stock at $814.29 per share (less a placement agent fee) for net proceeds of $56,430,297.00 and 3,500 shares of Alpine Banks of Colorado preferred stock received upon the exercise of warrants at $950.00 per share (less a placement agent
fee) for net proceeds of $3,291,750.00, pursuant to a placement agency agreement executed on 9/12/2012.
129/ On 9/21/2012, Treasury completed the sale of 22,000 shares of First Community Financial Partners, Inc. preferred stock at $652.50 per share (less a placement agent fee) for net proceeds of $14,211,450.00, pursuant to a placement agency agreement executed on 9/12/2012.
130/ On 9/26/2012, Treasury completed the sale of all Central Federal Corporation preferred stock and the related warrant held by UST for an aggregate purchase price of $3,000,000, pursuant to the terms of the agreement entered into on 9/12/2012.
131/ On 10/1/2012, Treasury completed the sale of all Southern Community Financial Corp. preferred stock and the related warrant held by UST for an aggregate purchase price of $42,750,000, plus accrued and unpaid dividends, pursuant to the terms of the agreement entered into on 10/1/2012.
132/ On 10/19/2012, GulfSouth Private Bank, Destin, Florida, was closed by the Florida Office of Financial Regulation, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
133/ On 10/19/2012, Excel Bank, Sedalia, Missouri, the banking subsidiary of Investors Financial Corporation of Pettis County, Inc., was closed by the Missouri Division of Finance, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
134/ On 10/31/2012, Treasury completed the sale of 12,000 shares of Blue Ridge Bancshares, Inc. preferred stock at $755.00 per share (less a placement agent fee) for net proceeds of $8,969,400.00 and 600 shares of Blue Ridge Bancshares, Inc. preferred stock received upon the exercise of warrants at $912.11 per share (less a placement
agent fee) for net proceeds of $541,793.34, pursuant to a placement agency agreement executed on 10/22/2012.
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135/ On 10/31/2012, Treasury completed the sale of 7,570 shares of First Gothenburg Bancshares, Inc. preferred stock at $910.31 per share (less a placement agent fee) for net proceeds of $6,822,136.23 and 379 shares of First Gothenburg Bancshares, Inc. preferred stock received upon the exercise of warrants at $965.11 per share (less a
placement agent fee) for net proceeds of $362,118.92, pursuant to a placement agency agreement executed on 10/22/2012.
136/ On 10/31/2012, Treasury completed the sale of 10,000 shares of Blackhawk Bancorp Inc. preferred stock at $910.00 per share (less a placement agent fee) for net proceeds of $9,009,000.00 and 500 shares of Blackhawk Bancorp Inc. preferred stock received upon the exercise of warrants at $950.00 per share (less a placement agent fee) for
net proceeds of $470,250.00, pursuant to a placement agency agreement executed on 10/22/2012.
137/ On 10/31/2012, Treasury completed the sale of 4,967 shares of Germantown Capital Corporation, Inc. preferred stock at $910.13 per share (less a placement agent fee) for net proceeds of $4,495,615.71 and 248 shares of Germantown Capital Corporation, Inc. preferred stock received upon the exercise of warrants at $966.11 per share (less
a placement agent fee) for net proceeds of $214,595.28, pursuant to a placement agency agreement executed on 10/22/2012.
138/ On 10/31/2012, Treasury completed the sale of 2,250 shares of CenterBank preferred stock at $825.00 per share (less a placement agent fee) for net proceeds of $1,831,250.00 and 113 shares of CenterBank preferred stock received upon the exercise of warrants at $965.11 per share (less a placement agent fee) for net proceeds of
$84,057.43, pursuant to a placement agency agreement executed on 10/22/2012.
139/ On 10/31/2012, Treasury completed the sale of 7,700 shares of Oak Ridge Financial Services, Inc. preferred stock at $921.50 per share (less a placement agent fee) for net proceeds of $7,024,594.50, pursuant to a placement agency agreement executed on 10/22/2012.
140/ On 10/31/2012, Treasury completed the sale of 3,285 shares of Congaree Bancshares Inc. preferred stock at $825.26 per share (less a placement agent fee) for net proceeds of $2,685,979.10 and 164 shares of Congaree Bancshares Inc. preferred stock received upon the exercise of warrants at $801.00 per share (less a placement agent
fee) for net proceeds of $106,364.00, pursuant to a placement agency agreement executed on 10/22/2012.
141/ On 10/31/2012, Treasury completed the sale of 7,700 shares of Metro City Bank preferred stock at $900.10 per share (less a placement agent fee) for net proceeds of $6,861,462.30 and 385 shares of Metro City Bank preferred stock received upon the exercise of warrants at $970.61 per share (less a placement agent fee) for net proceeds of
$369,948.00, pursuant to a placement agency agreement executed on 10/22/2012.
142/ On 10/31/2012, Treasury completed the sale of 3,900 shares of Peoples Bancshares of TN, Inc. preferred stock at $755.00 per share (less a placement agent fee) for net proceeds of $2,919,500.00 and 195 shares of Peoples Bancshares of TN, Inc. preferred stock received upon the exercise of warrants at $755.00 per share (less a placement
agent fee) for net proceeds of $122,225.00, pursuant to a placement agency agreement executed on 10/22/2012.
143/ On 10/31/2012, Treasury completed the sale of 7,500 shares of The Little Bank, Incorporated preferred stock at $981.20 per share (less a placement agent fee) for net proceeds of $7,285,410.00 and 375 shares of The Little Bank, Incorporated preferred stock received upon the exercise of warrants at $1,000.00 per share (less a placement
agent fee) for net proceeds of $371,250.00, pursuant to a placement agency agreement executed on 10/22/2012.
144/ On 10/31/2012, Treasury completed the sale of 10,000 shares of HomeTown Bankshares Corporation preferred stock at $918.50 per share (less a placement agent fee) for net proceeds of $9,093,150.00 and 374 shares of HomeTown Bankshares Corporation preferred stock received upon the exercise of warrants at $852.00 per share (less a
placement agent fee) for net proceeds of $315,461.52, pursuant to a placement agency agreement executed on 10/22/2012.
145/ On 10/25/2012, pursuant to the terms of the merger of First Community Bancshares, Inc. ("First Community") and Equity Bancshares, Inc. ("Equity"), Treasury received a like amount of preferred stock and exercised warrants from Equity in exchange for Treasury's original investment in First Community, plus accrued and unpaid dividends,
pursuant to a placement agency agreement executed on 10/23/2012.
146/ On 10/29/2012, First Place Financial Corp. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Delaware.
147/ On 11/9/2012, Treasury completed the sale of 1,000 shares of BankGreenville Financial Corp. preferred stock at $900.00 per share (less a placement agent fee) for net proceeds of $891,000.00 and 50 shares of BankGreenville Financial Corp. preferred stock received upon the exercise of warrants at $937.61 per share (less a placement agent
fee) for net proceeds of $46,411.70, pursuant to a placement agency agreement executed on 11/1/2012.
148/ On 11/9/2012, Treasury completed the sale of 4,000 shares of Capital Pacific Bancorp preferred stock at $938.36 per share (less a placement agent fee) for net proceeds of $3,715,905.60 and 200 shares of Capital Pacific Bancorp preferred stock received upon the exercise of warrants at $970.21 per share (less a placement agent fee) for net
proceeds of $192,101.58, pursuant to a placement agency agreement executed on 11/1/2012.
149/ On 11/9/2012, Treasury completed the sale of 8,700 shares of First Freedom Bancshares, Inc. preferred stock at $922.50 per share (less a placement agent fee) for net proceeds of $7,945,492.50 and 261 shares of First Freedom Bancshares, Inc. preferred stock received upon the exercise of warrants at $991.21 per share (less a placement
agent fee) for net proceeds of $256,118.75, pursuant to a placement agency agreement executed on 11/1/2012.
150/ On 11/13/2012, Treasury completed the sale of 5,097 shares of Franklin Bancorp, Inc. preferred stock at $632.50 per share (less a placement agent fee) for net proceeds of $3,191,613.98 and 255 shares of Franklin Bancorp, Inc. preferred stock received upon the exercise of warrants at $772.50 per share (less a placement agent fee) for net
proceeds of $195,017.63, pursuant to a placement agency agreement executed on 11/1/2012.
151/ On 11/9/2012, Treasury completed the sale of 1,500 shares of Regional Bankshares Inc. preferred stock at $925.00 per share (less a placement agent fee) for net proceeds of $1,373,625.00 and 75 shares of Regional Bankshares Inc. preferred stock received upon the exercise of warrants at $1,000 per share (less a placement agent fee) for
net proceeds of $74,250.00, pursuant to a placement agency agreement executed on 11/1/2012.
152/ On 11/13/2012, Treasury completed the sale of 3,070 shares of Sound Banking Co. preferred stock at $922.61 per share (less a placement agent fee) for net proceeds of $2,804,088.57 and 154 shares of Sound Banking Co. preferred stock received upon the exercise of warrants at $970.21 per share (less a placement agent fee) for net
proceeds of $147,918.22, pursuant to a placement agency agreement executed on 11/1/2012.
153/ On 11/9/2012, Treasury completed the sale of 5,677 shares of Three Shores Bancorporation, Inc. preferred stock at $888.36 per share (less a placement agent fee) for net proceeds of $4,992,787.52 and 284 shares of Three Shores Bancorporation, Inc. preferred stock received upon the exercise of warrants at $1,004.00 per share (less a
placement agent fee) for net proceeds of $282,284.64, pursuant to a placement agency agreement executed on 11/1/2012.
154/ On 11/13/2012, Treasury completed the sale of 16,641 shares of Timberland Bancorp, Inc. preferred stock at $862.50 per share (less a placement agent fee) for net proceeds of $14,209,333.88, pursuant to a placement agency agreement executed on 11/1/2012.
155/ On 11/9/2012, Treasury completed the sale of 6,855 shares of Western Illinois Bancshares, Inc. Series A preferred stock at $942.90 per share (less a placement agent fee) for net proceeds of $6,398,943.71; 4,567 shares of Western Illinois Bancshares, Inc. Series C preferred stock at $932.77 per share (less a placement agent fee) for net
proceeds of $4,217,360.98; and 343 shares of Western Illinois Bancshares, Inc. preferred stock received upon the exercise of warrants at $987.77 per share (less a placement agent fee) for net proceeds of $335,417.06, pursuant to a placement agency agreement executed on 11/1/2012.
156/ On 11/13/2012, Treasury completed the sale of its F&C Bancorp. Inc. subordinated debentures (less a placement agent fee) for net proceeds of $2,840,902.62 and its F&C Bancorp. Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $148,500.00, pursuant to a placement
agency agreement executed on 11/1/2012.
157/ On 11/13/2012, Treasury completed the sale of its Farmers Enterprises, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $11,439,252.00 and its Farmers Enterprises, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $590,323.14, pursuant to a
placement agency agreement executed on 11/1/2012.
158/ On 2/22/2013, Treasury completed the exchange of its Standard Bancshares, Inc. preferred stock for common stock, pursuant to an exchange agreement, dated as of 11/5/2012, with Standard Bancshares, Inc., and immediately sold the resulting Standard Bancshares, Inc. common stock, pursuant to securities purchase agreements, each
dated as of 11/5/2012, with W Capital Partners II, L.P., Trident SBI Holdings, LLC, PEPI Capital, LP, LCB Investment, LLC, Cohesive Capital Partners, L.P., and Athena Select Private Investment Fund LLC.
159/ On 11/2/2012, Citizens First National Bank, Princeton, IL, the banking subsidiary of Princeton National Bancorp, was closed by the Office of the Comptroller of the Currency, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
160/ On 11/13/2012, Treasury entered into an agreement with Community Financial Shares, Inc. (“CFS”) pursuant to which Treasury agreed to sell its CPP preferred stock back to CFS at a discount subject to the satisfaction of the conditions specified in the agreement.
161/ On 11/29/2012, Treasury completed the sale of 4,781 shares of Alaska Pacific Bancshares, Inc. preferred stock at $892.61 per share (less a placement agent fee) for net proceeds of $4,217,568.41, pursuant to a placement agency agreement executed on 11/19/2012.
162/ On 11/30/2012, Treasury completed the sale of 3,000 shares of Bank of Commerce preferred stock at $834.00 per share (less a placement agent fee) for net proceeds of $2,477,000.00 and 150 shares of Bank of Commerce preferred stock received upon the exercise of warrants at $834.00 per share (less a placement agent fee) for net
proceeds of $100,100.00, pursuant to a placement agency agreement executed on 11/19/2012.
163/ On 11/30/2012, Treasury completed the sale of 4,000 shares of Carolina Trust Bank preferred stock at $853.00 per share (less a placement agent fee) for net proceeds of $3,362,000.00, pursuant to a placement agency agreement executed on 11/19/2012.
164/ On 11/29/2012, Treasury completed the sale of 2,644 shares of CBB Bancorp Series A preferred stock at $934.10 per share (less a placement agent fee) for net proceeds of $2,453,093; 1,753 shares of CBB Bancorp Series C preferred stock at $930.02 per share (less a placement agent fee) for net proceeds of $1,613,658.39; and 132 shares
of CBB Bancorp Series B preferred stock received upon the exercise of warrants at $1,004.00 per share (less a placement agent fee) for net proceeds of $115,861.33, pursuant to a placement agency agreement executed on 11/19/2012.
165/ On 11/29/2012, Treasury completed the sale of 3,000 shares of Clover Community Bankshares, Inc. preferred stock at $872.90 per share (less a placement agent fee) for net proceeds of $2,593,700.00 and 150 shares of Clover Community Bankshares, Inc. preferred stock received upon the exercise of warrants at $926.81 per share (less a
placement agent fee) for net proceeds of $114,021.50, pursuant to a placement agency agreement executed on 11/19/2012.
166/ On 11/30/2012, Treasury completed the sale of 105 shares of Community Bancshares of Mississippi, Inc. preferred stock at $9,550.00 per share (less a placement agent fee) for net proceeds of $977,750.00 and 5 shares of Community Bancshares of Mississippi, Inc. preferred stock received upon the exercise of warrants at $10,000.00 per
share (less a placement agent fee) for net proceeds of $25,000.00, pursuant to a placement agency agreement executed on 11/19/2012.
167/ On 11/30/2012, Treasury completed the sale of 3,976 shares of Community Business Bank preferred stock at $935.00 per share (less a placement agent fee) for net proceeds of $3,692,560.00 and 199 shares of Community Business Bank preferred stock received upon the exercise of warrants at $965.00 per share (less a placement agent
fee) for net proceeds of $167,035.00, pursuant to a placement agency agreement executed on 11/19/2012.
168/ On 11/30/2012, Treasury completed the sale of 638 shares of Corning Savings and Loan Association preferred stock at $860.00 per share (less a placement agent fee) for net proceeds of $523,680.00 and 32 shares of Corning Savings and Loan Association preferred stock received upon the exercise of warrants at $905.00 per share (less a
placement agent fee) for net proceeds of $3,960.00, pursuant to a placement agency agreement executed on 11/19/2012.
169/ On 11/29/2012, Treasury completed the sale of 7,525 shares of Country Bank Shares, Inc. preferred stock at $917.90 per share (less a placement agent fee) for net proceeds of $6,838,125.53 and 376 shares of Country Bank Shares, Inc. preferred stock received upon the exercise of warrants at $1,000.00 per share (less a placement agent
fee) for net proceeds of $372,240.00, pursuant to a placement agency agreement executed on 11/19/2012.
170/ On 11/30/2012, Treasury completed the sale of 7,289 shares of FFW Corporation preferred stock at $902.90 per share (less a placement agent fee) for net proceeds of $6,515,425.72 and 364 shares of FFW Corporation preferred stock received upon the exercise of warrants at $995.00 per share (less a placement agent fee) for net proceeds
of $358,558.20, pursuant to a placement agency agreement executed on 11/19/2012.
57
171/ On 11/30/2012, Treasury completed the sale of 1,900 shares of Hometown Bancshares, Inc. preferred stock at $942.90 per share (less a placement agent fee) for net proceeds of $1,766,510.00 and 95 shares of Hometown Bancshares, Inc. preferred stock received upon the exercise of warrants at $1,001.00 per share (less a placement agent
fee) for net proceeds of $70,095.00, pursuant to a placement agency agreement executed on 11/19/2012.
172/ On 11/30/2012, Treasury completed the sale of 4,000 shares of KS Bancorp, Inc. preferred stock at $827.00 per share (less a placement agent fee) for net proceeds of $3,283,000 and 200 shares of KS Bancorp, Inc. preferred stock received upon the exercise of warrants at $827.00 per share (less a placement agent fee) for net proceeds of
$140,400.00, pursuant to a placement agency agreement executed on 11/19/2012.
173/ On 11/29/2012, Treasury completed the sale of 3,000 shares of Layton Park Financial Group, Inc. preferred stock at $790.31 per share (less a placement agent fee) for net proceeds of $2,345,930.00 and 150 shares of Layton Park Financial Group, Inc. preferred stock received upon the exercise of warrants at $862.50 per share (less a
placement agent fee) for net proceeds of $104,375.00, pursuant to a placement agency agreement executed on 11/19/2012.
174/ On 11/29/2012, Treasury completed the sale of 16,288 shares of Parke Bancorp, Inc. preferred stock at $719.11 per share (less a placement agent fee) for net proceeds of $11,595,735.04, pursuant to a placement agency agreement executed on 11/19/2012.
175/ On 11/29/2012, Treasury completed the sale of 2,765 shares of TriSummit Bank Series B preferred stock at $750.00 per share (less a placement agent fee) for net proceeds of $2,053,012.50; 4,237 shares of TriSummit Bank Series D preferred stock at $750.00 per share (less a placement agent fee) for net proceeds of $3,145,972.50; and 138
shares of TriSummit Bank Series C preferred stock received upon the exercise of warrants at $912.50 per share (less a placement agent fee) for net proceeds of $124,665.75, pursuant to a placement agency agreement executed on 11/19/2012.
176/ In connection with the merger of Fidelity Bancorp, Inc. (“Fidelity”) and WesBanco, Inc. (“WesBanco”) effective 01/01/2012, Treasury (i) sold to WesBanco all of the preferred stock that had been issued by Fidelity to Treasury for a purchase price of $7,000,000 plus accrued dividends and (ii) exchanged the Fidelity warrant held by Treasury for a
like WesBanco warrant, pursuant to the terms of an agreement among Treasury and WesBanco entered into on 11/28/2012.
177/ On 11/30/12, Western Reserve Bancorp, Inc. was acquired by an affiliate of Westfield Bancorp, Inc. Pursuant to the terms of the merger, each outstanding share of Series A and Series B preferred stock issued to Treasury was redeemed for the respective principal amount together with accrued and unpaid dividends thereon.
178/ On 2/20/2013, Treasury sold its CPP preferred stock and warrant issued by First Sound Bank (“First Sound”) back to First Sound for an aggregate purchase price of $3,700,000, pursuant to the terms of the agreement between Treasury and First Sound entered into on 11/30/2012.
179/ On 12/11/2012, Treasury completed the sale of 20,749 shares of The Baraboo Bancorporation, Inc. preferred stock at $652.30 per share (less a placement agent fee) for net proceeds of $13,399,226.97 and 1,037 shares of The Baraboo Bancorporation, Inc. preferred stock received upon the exercise of warrants at $836.21 per share (less a
placement agent fee) for net proceeds of $858,478.27, pursuant to a placement agency agreement executed on 12/3/2012.
180/ On 12/11/2012, Treasury completed the sale of 22,000 shares of Central Community Corporation preferred stock at $926.20 per share (less a placement agent fee) for net proceeds of $20,172,636.00 and 1,100 shares of Central Community Corporation preferred stock received upon the exercise of warrants at $972.20 per share (less a
placement agent fee) for net proceeds of $1,058,725.80, pursuant to a placement agency agreement executed on 12/3/2012.
181/ On 12/11/2012, Treasury completed the sale of 15,600 shares of Community West Bancshares, Inc. preferred stock at $724.00 per share (less a placement agent fee) for net proceeds of $11,181,456.00, pursuant to a placement agency agreement executed on 12/3/2012.
182/ On 12/11/2012, Treasury completed the sale of 1,177 shares of First Advantage Bancshares, Inc. preferred stock at $898.21 per share (less a placement agent fee) for net proceeds of $1,046,621.24 and 59 shares of First Advantage Bancshares, Inc. preferred stock received upon the exercise of warrants at $920.31 per share (less a
placement agent fee) for net proceeds of $53,755.31, pursuant to a placement agency agreement executed on 12/3/2012.
183/ On 12/11/2012, Treasury completed the sale of its Manhattan Bancshares, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $2,560,540.68 and its Manhattan Bancshares, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $131,021.07, pursuant to
a placement agency agreement executed on 12/3/2012.
184/ On 12/11/2012, Treasury completed the sale of 10,800 shares of Presidio Bank preferred stock at $847.21 per share (less a placement agent fee) for net proceeds of $9,058,369.32 and 325 shares of Presidio Bank preferred stock received upon the exercise of warrants at $865.21 per share (less a placement agent fee) for net proceeds of
$278,381.32, pursuant to a placement agency agreement executed on 12/3/2012.
185/ On 12/11/2012, Treasury completed the sale of 2,152 shares of Security Bancshares of Pulaski County, Inc. preferred stock at $692.61 per share (less a placement agent fee) for net proceeds of $1,475,591.75 and 108 shares of Security Bancshares of Pulaski County, Inc. preferred stock received upon the exercise of warrants at $872.10 per
share (less a placement agent fee) for net proceeds of $93,244.93, pursuant to a placement agency agreement executed on 12/3/2012.
186/ On 12/11/12, Treasury entered into a securities purchase agreement with PremierWest Bancorp (PremierWest) and Starbuck Bancshares, Inc. (Starbuck) pursuant to which Treasury agreed to sell its CPP preferred and warrant in PremierWest to Starbuck subject to certain conditions.
187/ On 12/20/2012, Treasury completed the sale of 1,004 shares of Bank Financial Services, Inc. preferred stock at $929.22 per share (less a placement agent fee) for net proceeds of $907,936.88 and 50 shares of Bank Financial Services, Inc. preferred stock received upon the exercise of warrants at $970.00 per share (less a placement agent
fee) for net proceeds of $23,500.00, pursuant to a placement agency agreement executed on 12/11/2012.
188/ On 12/20/2012, Treasury completed the sale of 2,211 shares of Bank of Southern California, N.A. Series A preferred stock at $920.00 per share (less a placement agent fee) for net proceeds of $2,017,453.33; 2,032 shares of Bank of Southern California, N.A. Series C preferred stock at $910.12 per share (less a placement agent fee) for net
proceeds of $1,832,697.18; and 111 shares of Bank of Southern California, N.A. preferred stock received upon the exercise of warrants at $965.12 per share (less a placement agent fee) for net proceeds of $90,461.65, pursuant to a placement agency agreement executed on 12/11/2012.
189/ On 12/20/2012, Treasury completed the sale of 2,600 shares of Community Investors Bancorp, Inc. preferred stock at $950.00 per share (less a placement agent fee) for net proceeds of $2,445,000.00 and 130 shares of Community Investors Bancorp, Inc. preferred stock received upon the exercise of warrants at $1,000.00 per share (less a
placement agent fee) for net proceeds of $105,000.00, pursuant to a placement agency agreement executed on 12/11/2012.
190/ On 12/20/2012, Treasury completed the sale of 3,422 shares of First Alliance Bancshares, Inc. preferred stock at $700.10 per share (less a placement agent fee) for net proceeds of $2,370,742.20 and 171 shares of First Alliance Bancshares, Inc. preferred stock received upon the exercise of warrants at $700.01 per share (less a placement
agent fee) for net proceeds of $94,701.71, pursuant to a placement agency agreement executed on 12/11/2012.
191/ On 12/20/2012, Treasury completed the sale of 3,223 shares of First Independence Corporation preferred stock at $725.00 per share (less a placement agent fee) for net proceeds of $2,286,675.00, pursuant to a placement agency agreement executed on 12/11/2012.
192/ On 12/20/2012, Treasury completed the sale of 1,552 shares of Hyperion Bank preferred stock at $650.00 per share (less a placement agent fee) for net proceeds of $983,800.00 and 78 shares of Hyperion Bank preferred stock received upon the exercise of warrants at $650.00 per share (less a placement agent fee) for net proceeds of
$25,700.00, pursuant to a placement agency agreement executed on 12/11/2012.
193/ On 12/20/2012, Treasury completed the sale of its Century Financial Services Corporation subordinated debentures (less a placement agent fee) for net proceeds of $9,751,500.00 and its Century Financial Services Corporation subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of
$496,588.95, pursuant to a placement agency agreement executed on 12/11/2012.
194/ In connection with the merger of Community Financial Corporation (“Community Financial”) and City Holding Company (“City Holding”) effective 1/09/13, Treasury (i) sold to City Holding all of the preferred stock that had been issued by Community Financial to Treasury for a purchase price of $12,643,000 plus accrued dividends and (ii)
exchanged the Community Financial warrant held by Treasury for a like City Holding warrant, pursuant to the terms of an agreement among Treasury and City Holding entered into on 1/09/13.
195/ On 2/7/2013, Treasury completed the sale of its Alliance Financial Services, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $8,912,494.80 and its Alliance Financial Services, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $504,900.00,
pursuant to a placement agency agreement executed on 12/11/2012.
196/ On 2/8/2013, Treasury completed the sale of its Biscayne Bancshares, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $6,170,630.40 and its Biscayne Bancshares, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $204,506.72, pursuant to a
placement agency agreement executed on 1/29/2013.
197/ On 2/8/2013, Treasury completed the sale of 24,990 shares of Citizens Bancshares Co. preferred stock at $512.50 per share (less a placement agent fee) for net proceeds of $12,679,301.25 and 1,250 shares of Citizens Bancshares Co. preferred stock received upon the exercise of warrants at $521.25 per share (less a placement agent fee)
for net proceeds of $645,046.87, pursuant to a placement agency agreement executed on 1/29/2013.
198/ On 1/29/2013, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 9,950 shares of Coastal Banking Company, Inc. preferred stock at $815.00 per share (less a placement agent fee) for net proceeds of $8,028,157.50. On 2/6/2013, the placement agent notified Coastal Banking Company, Inc. that,
pursuant to the placement agency agreement, it was terminating the transaction and, therefore, Treasury did not receive any proceeds or pay any fees in connection with the transaction.
199/ On 2/7/2013, Treasury completed the sale of 28,000 shares of Colony Bankcorp, Inc. preferred stock at $782.11 per share (less a placement agent fee) for net proceeds of $21,680,089.20, pursuant to a placement agency agreement executed on 1/29/2013.
200/ On 2/7/2013, Treasury completed the sale of 9,000 shares of Delmar Bancorp preferred stock at $612.11 per share (less a placement agent fee) for net proceeds of $5,453,900.10 and 450 shares of Delmar Bancorp preferred stock received upon the exercise of warrants at $700.21 per share (less a placement agent fee) for net proceeds of
$311,943.55, pursuant to a placement agency agreement executed on 1/29/2013.
201/ On 2/8/2013, Treasury completed the sale of 146,053 shares of Dickinson Financial Corporation II preferred stock at $552.61 per share (less a placement agent fee) for net proceeds of $79,903,244.85 and 7,303 shares of Dickinson Financial Corporation II preferred stock received upon the exercise of warrants at $681.25 per share (less a
placement agent fee) for net proceeds of $4,925,417.06, pursuant to a placement agency agreement executed on 1/29/2013.
202/ On 2/7/2013, Treasury completed the sale of 4,609 shares of F & M Bancshares, Inc. Series A preferred stock at $942.50 per share (less a placement agent fee) for net proceeds of $4,300,542.67; 3,535 shares of F & M Bancshares, Inc. Series C preferred stock at $942.50 per share (less a placement agent fee) for net proceeds of
$3,298,420.12; and 230 shares of F & M Bancshares, Inc. Series B preferred stock received upon the exercise of warrants at $975.00 per share (less a placement agent fee) for net proceeds of $222,007.50, pursuant to a placement agency agreement executed on 1/29/2013.
203/ On 2/8/2013, Treasury completed the sale of 4,579 shares of First Priority Financial Corp. Series A preferred stock at $882.90 per share (less a placement agent fee) for net proceeds of $4,002,371.11; 4,596 shares of First Priority Financial Corp. Series C preferred stock at $881.25 per share (less a placement agent fee) for net proceeds of
$4,009,722.75; and 229 shares of First Priority Financial Corp. Series B preferred stock received upon the exercise of warrants at $991.21 per share (less a placement agent fee) for net proceeds of $224,717.22, pursuant to a placement agency agreement executed on 1/29/2013.
204/ On 2/8/2013, Treasury completed the sale of 26,000 shares of HMN Financial, Inc. preferred stock at $721.50 per share (less a placement agent fee) for net proceeds of $18,571,410.00, pursuant to a placement agency agreement executed on 1/29/2013.
205/ On 2/7/2013, Treasury completed the sale of 5,625 shares of Waukesha Bankshares, Inc. preferred stock at $926.90 per share (less a placement agent fee) for net proceeds of $5,161,674.37 and 169 shares of Waukesha Bankshares, Inc. preferred stock received upon the exercise of warrants at $991.21 per share (less a placement agent
fee) for net proceeds of $165,839.35, pursuant to a placement agency agreement executed on 1/29/2013.
206/ On 2/15/2013, Treasury sold its CPP preferred stock and warrant issued by BancTrust Financial Group, Inc. (“BancTrust”) pursuant to an agreement with BancTrust and Trustmark Corporation (“Trustmark”) entered into on 02/11/2013.
207/ On 2/12/13, Treasury entered into an agreement with Florida Bank Group, Inc. (“FBG”) pursuant to which Treasury agreed to sell its CPP preferred stock back to FBG at a discount subject to the satisfaction of the conditions specified in the agreement.
208/ On 2/15/2013, pursuant to the terms of the merger of Pacific International Bancorp, Inc. (“Pacific International”) with BBCN Bancorp, Inc. (“BBCN”), Treasury received $7,474,619.97 (representing the par amount together with accrued and unpaid dividends thereon) in respect of the preferred stock that had been issued to Treasury by Pacific
International. Treasury exchanged its Pacific International warrant for an equivalent warrant issued by BBCN.
58
209/ On 2/20/2013, Treasury completed the sale of 16,000 shares of Carolina Bank Holdings, Inc. preferred stock at $935.10 per share (less a placement agent fee) for net proceeds of $14,811,984.00, pursuant to a placement agency agreement executed on 2/6/2013.
210/ On 2/20/2013, Treasury completed the sale of 21,042 shares of FC Holdings, Inc. preferred stock at $897.00 per share (less a placement agent fee) for net proceeds of $18,685,927.26 and 1,052 shares of FC Holdings, Inc. preferred stock received upon the exercise of warrants at $955.00 per share (less a placement agent fee) for net
proceeds of $994,613.40, pursuant to a placement agency agreement executed on 2/6/2013.
211/ On 2/20/2013, Treasury completed the sale of its First Trust Corporation subordinated debentures (less a placement agent fee) for net proceeds of $13,612,557.91 and its First Trust Corporation subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $644,726.19, pursuant to a
placement agency agreement executed on 12/11/2012.
212/ On 2/20/2013, Treasury completed the sale of 24,664 shares of National Bancshares, Inc. preferred stock at $750.21 per share (less a placement agent fee) for net proceeds of $18,318,147.65 and 1,233 shares of National Bancshares, Inc. preferred stock received upon the exercise of warrants at $692.61 per share (less a placement agent
fee) for net proceeds of $845,448.25, pursuant to a placement agency agreement executed on 2/6/2013.
213/ On 2/20/2013, Treasury completed the sale of 10,900 shares of Ridgestone Financial Services, Inc. preferred stock at $822.60 per share (less a placement agent fee) for net proceeds of $8,876,676.60 and 545 shares of Ridgestone Financial Services, Inc. preferred stock received upon the exercise of warrants at $882.60 per share (less a
placement agent fee) for net proceeds of $476,206.83, pursuant to a placement agency agreement executed on 2/6/2013.
214/ On 2/21/13, Treasury entered into a securities purchase agreement with FirstMerit Corporation (FirstMerit) and Citizens Republic Bancorp, Inc. (Citizens Republic) pursuant to which Treasury agreed, subject to certain conditions, to (i) sell its CPP preferred in Citizens Republic to FirstMerit and (ii) exchange its existing warrant in Citizens Republic
for a warrant issued by FirstMerit.
215/ On 2/25/2013, Treasury entered into an agreement with First Security Group, Inc. to exchange Treasury’s CPP warrant and $33,000,000 of preferred stock for common stock. The exchange is subject to the fulfillment by First Security Group, Inc. of certain conditions, including the satisfactory completion of a capital plan.
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
Pricing Mechanism
6
Number of Shares
Proceeds
7
1
$4.1217
1,500,000,000
$
6,182,493,158
$3.8980
1,108,971,857
$
4,322,726,825
$3.9090
1,500,000,000
$
5,863,489,587
$4.2609
1,165,928,228
$
4,967,921,811
$4.3500
2,417,407,607
$
10,515,723,090
2
3
$
31,852,354,470.95
$
25,000,000,000.00
$
6,852,354,470.95
4
5
12/6/2010
Total Proceeds:
$31,852,354,471
1/ On April 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occurred on May 26, 2010.
2/ On May 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occurred on June 30, 2010.
3/ On July 23, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on September 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occured on September 30, 2010.
4/ On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of
common stock from time to time during the period ending on December 31, 2010 (or upon completion of the sale), which plan was terminated on December 6, 2010.
5/ On December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. Closing of the offering is subject to the fulfillment of certain closing conditions.
6/ The price set forth is the weighted average price for all sales of Citigroup, Inc. common stock made by Treasury over the course of the corresponding period.
7/ Amount represents the gross proceeds to Treasury.
60
COMMUNITY DEVELOPMENT CAPITAL INITIATIVE
Seller
Name of Institution
Footnote Purchase Date
1
1, 2
1, 2
1, 4
1
2a
1
1
1
1
2a
1
1, 3
1
1
1, 2
1
1, 2
1
6
6
6
1, 2
1, 2
1, 2
1, 2
1
1
1
1
1
1
1
7/30/2010
7/30/2010
8/6/2010
8/13/2010
8/13/2010
9/17/2010
8/13/2010
8/13/2010
8/13/2010
8/20/2010
9/24/2010
8/20/2010
8/27/2010
9/3/2010
9/3/2010
9/3/2010
9/10/2010
9/17/2010
9/17/2010
9/17/2010
9/17/2010
9/17/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
Purchase Details
Guaranty Capital Corporation
University Financial Corp, Inc.
Southern Bancorp, Inc.
Premier Bancorp, Inc.
City
State
Belzoni
St. Paul
Arkadelphia
Wilmette
MS
MN
AR
IL
Citizens Bancshares Corporation
Atlanta
GA
PGB Holdings, Inc.
First American International Corp.
Tri-State Bank of Memphis
Chicago
Brooklyn
Memphis
IL
NY
TN
Mission Valley Bancorp
Sun Valley
CA
M&F Bancorp, Inc.
Carver Bancorp, Inc
Kilmichael Bancorp, Inc.
United Bancorporation of Alabama, Inc.
IBW Financial Corporation
IBC Bancorp, Inc.
CFBanc Corporation
American Bancorp of Illinois, Inc.
Hope Federal Credit Union
Genesee Co-op Federal Credit Union
First Eagle Bancshares, Inc.
Liberty Financial Services, Inc.
First Choice Bank
Bainbridge Bancshares, Inc.
Virginia Community Capital, Inc.
Lower East Side People's Federal Credit Union
Atlantic City Federal Credit Union
Neighborhood Trust Federal Credit Union
Gateway Community Federal Credit Union
Union Baptist Church Federal Credit Union
Buffalo Cooperative Federal Credit Union
Tulane-Loyola Federal Credit Union
Alternatives Federal Credit Union
Liberty County Teachers Federal Credit Union
UNO Federal Credit Union
Butte Federal Credit Union
Thurston Union of Low-Income People (TULIP) Cooperative Credit Union
Phenix Pride Federal Credit Union
Pyramid Federal Credit Union
Cooperative Center Federal Credit Union
Prince Kuhio Federal Credit Union
Community First Guam Federal Credit Union
Brewery Credit Union
Tongass Federal Credit Union
Santa Cruz Community Credit Union
Northeast Community Federal Credit Union
Fairfax County Federal Credit Union
Security Federal Corporation
Community Bank of the Bay
The First Bancshares, Inc.
BancPlus Corporation
First M&F Corporation
State Capital Corporation
Lafayette Bancorp, Inc.
PSB Financial Corporation
Community Bancshares of Mississippi, Inc.
First Vernon Bancshares, Inc.
Security Capital Corporation
BankAsiana
Durham
New York
Kilmichael
Atmore
Washington
Chicago
Washington
Oak Brook
Jackson
Rochester
Hanover Park
New Orleans
Cerritos
Bainbridge
Christiansburg
New York
Lander
New York
Missoula
Fort Wayne
Buffalo
New Orleans
Ithaca
Liberty
New Orleans
Biggs
Olympia
Phenix City
Tucson
Berkeley
Honolulu
Hagatna
Milwaukee
Ketchikan
Santa Cruz
San Francisco
Fairfax
Aiken
Oakland
Hattiesburg
Ridgeland
Kosciusko
Greenwood
Oxford
Many
Brandon
Vernon
Batesville
Palisades Park
NC
NY
MS
AL
DC
IL
DC
IL
MS
NY
IL
LA
CA
GA
VA
NY
WY
NY
MT
IN
NY
LA
NY
TX
LA
CA
WA
AL
AZ
CA
HI
GU
WI
AK
CA
CA
VA
SC
CA
MS
MS
MS
MS
MS
LA
MS
AL
MS
NJ
Amount from CPP
Investment Description
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Subordinated Debentures
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Common Stock
Subordinated Debentures
Preferred Stock
Preferred Stock
Subordinated Debentures
Preferred Stock
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Preferred Stock
Preferred Stock
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
14,000,000
11,926,000
11,000,000
6,784,000
7,462,000
3,000,000
17,000,000
2,795,000
5,500,000
11,735,000
18,980,000
10,300,000
6,000,000
4,205,000
7,875,000
5,645,000
5,146,000
18,000,000
1,747,000
5,000,000
50,400,000
30,000,000
15,750,000
4,551,000
9,734,000
54,600,000
6,245,000
17,910,000
-
Disposition Details
Additional Investment
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
10,189,000
22,800,000
4,379,000
4,836,000
3,881,000
5,689,000
4,000,000
2,313,000
12,123,000
30,514,000
-
Investment Amount
$
$
$
$
14,000,000
22,115,000
33,800,000
6,784,000
$
$
$
$
11,841,000
3,000,000
17,000,000
2,795,000
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
10,336,000
11,735,000
18,980,000
3,154,000
10,300,000
6,000,000
8,086,000
5,781,000
5,457,000
4,520,000
300,000
7,875,000
11,334,000
5,146,000
3,372,000
1,915,000
898,000
2,500,000
283,000
1,657,000
10,000
145,000
424,000
2,234,000
435,000
743,000
1,000,000
75,000
153,000
2,500,000
2,799,000
273,000
2,650,000
1,096,000
1,600,000
2,828,000
350,000
8,044,000
22,000,000
4,060,000
17,123,000
80,914,000
30,000,000
15,750,000
4,551,000
9,734,000
54,600,000
6,245,000
17,910,000
5,250,000
Pricing
Mechanism
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Amount
Date
Remaining Investment
Amount
11/28/2012
6
$22,115,000
$0
9/26/2012
6
$2,500,000
$0
10/17/2012
6
$1,657,000
$0
10/3/2012
6
$1,096,000
$0
12/28/2012
6
$9,734,000
$0
61
Seller
Footnote Purchase Date
6
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
5
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/30/2010
Name of Institution
The Magnolia State Corporation
Bancorp of Okolona, Inc.
Southern Chautauqua Federal Credit Union
Fidelis Federal Credit Union
Bethex Federal Credit Union
Shreveport Federal Credit Union
Carter Federal Credit Union
UNITEHERE Federal Credit Union
(Workers United Federal Credit Union)
North Side Community Federal Credit Union
East End Baptist Tabernacle Federal Credit Union
Community Plus Federal Credit Union
Border Federal Credit Union
Opportunities Credit Union
First Legacy Community Credit Union
Union Settlement Federal Credit Union
Southside Credit Union
D.C. Federal Credit Union
Faith Based Federal Credit Union
Greater Kinston Credit Union
Hill District Federal Credit Union
Freedom First Federal Credit Union
Episcopal Community Federal Credit Union
Vigo County Federal Credit Union
Renaissance Community Development Credit Union
Independent Employers Group Federal Credit Union
Brooklyn Cooperative Federal Credit Union
Purchase Details
City
State
Amount from CPP
Investment Description
Disposition Details
Additional Investment
Investment Amount
Pricing
Mechanism
Bay Springs
Okolona
Lakewood
New York
Bronx
Shreveport
Springhill
MS
MS
NY
NY
NY
LA
LA
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
$
$
$
$
$
$
$
-
$
$
$
$
$
$
$
-
$
$
$
$
$
$
$
7,922,000
3,297,000
1,709,000
14,000
502,000
2,646,000
6,300,000
Par
Par
Par
Par
Par
Par
Par
New York
NY
Subordinated Debentures
$
-
$
-
$
57,000
Par
Chicago
Bridgeport
Rantoul
Del Rio
Burlington
Charlotte
New York
San Antonio
Washington
Oceanside
Kinston
Pittsburgh
Roanoke
Los Angeles
Terre Haute
Somerset
Hilo
Brooklyn
IL
CT
IL
TX
VT
NC
NY
TX
DC
CA
NC
PA
VA
CA
IN
NJ
HI
NY
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
-
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
-
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
325,000
7,000
450,000
3,260,000
1,091,000
1,000,000
295,000
1,100,000
1,522,000
30,000
350,000
100,000
9,278,000
100,000
1,229,000
31,000
698,000
300,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Total Purchase Amount $
570,073,000
Amount
Date
Remaining Investment
Amount
2/6/2013
6
$2,500,000
$3,800,000
4/10/2012
5
$350,000
$0
Total Capital Repayment Amount
TOTAL TREASURY COMMUNITY DEVELOPMENT INITIATIVE (CDCI) INVESTMENT AMOUNT
$
$39,952,000
530,121,000
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
6/ Repayment pursuant to Section 6.10 of the CDCI Securities Purchase Agreement
62
AUTOMOTIVE INDUSTRY FINANCING PROGRAM
Exchange/Transfer/Other Details
Initial Investment
City, State
GMAC
(Ally)
Date
Transaction Type
Seller
Description
Preferred Stock w/ Exercised
Warrants
Pricing
Mechanism
Amount
Date
Pricing
Mechanism
Amount
Obligor
12/29/2008
Purchase
GMAC
$
5,000,000,000
Par
$
5,000,000,000
N/A
5/21/2009
Purchase
GMAC
Convertible Preferred Stock
w/ Exercised Warrants
$
7,500,000,000
Par
22
12/30/2009
Partial conversion of preferred
stock for common stock
$
3,000,000,000
N/A
12/30/2009
Purchase
GMAC
Convertible Preferred Stock
w/ Exercised Warrants
$
1,250,000,000
Par
22,
26
12/30/2010
Partial conversion of preferred
stock for common stock
$
5,500,000,000
N/A
26
12/30/2009
Purchase
GMAC
Trust Preferred Securities w/
Exercised Warrants
$
2,540,000,000
Par
$
2,670,000,000
N/A
27 GMAC (Ally)
Detroit, MI
12/29/2008
Purchase
12/31/2008
Purchase
4/22/2009
Purchase
General Motors
Corporation
General Motors
Corporation
General Motors
Corporation
Debt Obligation
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
$
884,024,131
Par
$
13,400,000,000
Par
$
2,000,000,000
Par
12/30/2009
Type
Exchange for convertible
preferred stock
3/1/2011
2
5/29/2009
7/10/2009
4
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
$
884,024,131
N/A
$
13,400,000,000
N/A
$
2,000,000,000
N/A
Description
GMAC (Ally)
21, 22
GMAC (Ally)
3, 26,
32
Convertible
Preferred Stock
Amount/Equity %
$
General
Motors
6/3/2009
1/16/2009
Debt Obligation w/ Additional
Note
$
4,000,000,000
Par
5
7/10/2009
Exchange for preferred and
common stock in New GM
$
4,000,000,000
Remaining
Investment
Description
Remaining
Investment
Amount/Equity %
$
2,670,000,000
10,
Preferred Stock
11, 24
$
2,100,000,000
3/2/2011 Disposition 28
$
2,667,000,000
N/A
$
2,139,406,778
N/A
$
0
3
7
7
General Motors
Company
General Motors
Company
N/A
10,
11, 25
60.8%
Common Stock
Purchase
Purchase
Purchase
General Motors
Corporation
Debt Obligation w/ Additional
Note
General Motors
Corporation
Debt Obligation w/ Additional
Note
Chrysler FinCo
Debt Obligation w/ Additional
Note
$
$
$
360,624,198
30,100,000,000
1,500,000,000
Par
Par
Par
6
8
7/10/2009
Exchange for preferred and
common stock in New GM
$
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
7
General Motors
Holdings LLC
11, 12 Debt Obligation
$
7,072,488,605
12/15/2010 Repayment
$
11/18/2010 Partial Disposition 25
$
11,743,303,903 Common Stock
36.9%
11/26/2010 Partial Disposition 25
$
1,761,495,577 Common Stock
32.04%
12/21/2012 Partial Disposition 33
$
5,500,000,000 Common Stock
7/10/2009
Partial Repayment
$
360,624,198 Debt Obligation
$
6,711,864,407
12/18/2009 Partial Repayment
$
1,000,000,000 Debt Obligation
$
5,711,864,407
1/21/2010
Partial Repayment
$
35,084,421 Debt Obligation
$
5,676,779,986
3/31/2010
Partial Repayment
$
1,000,000,000 Debt Obligation
$
4,676,779,986
4/20/2010
Repayment
$
4,676,779,986
$
0
3/31/2011
Partial Repayment
$
50,000,000 Debt Obligation
$
935,805,085
4/5/2011
Partial Repayment
$
45,000,000 Debt Obligation
$
890,805,085
5/3/2011
Partial Repayment
$
15,887,795 Debt Obligation
$
874,917,290
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
1/11/2012
Partial Repayment
$
6,713,489 Debt Obligation
$
849,169,063
10/23/2012 Partial Repayment
$
435,097 Debt Obligation
$
848,733,966
$
1,496,500,945
$
1,464,690,823
$
1,413,554,739
$
1,369,197,029
0
21.97%
4/29/2009
Purchase
Chrysler Holding
Purchase
Chrysler Holding
Purchase
Chrysler Holding
5/1/2009
Purchase
Old Chrysler
5/20/2009
Purchase
Old Chrysler
4/29/2009
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
$
4,000,000,000
$
-
9
9
Motors Liquidation
Company
29
Debt Obligation
$
985,805,085
13
$
280,130,642
$
1,888,153,580
$
-
6/10/2009
Par
Par
$
500,000,000
N/A
19
Chrysler Holding
20
Debt obligation w/
additional note
$
3,500,000,000
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
5/14/2010
$
$
$
$
Purchase
New Chrysler
Debt Obligation w/ Additional
Note, Zero Coupon Note,
Equity
15
4/30/2010
17
18
$
6,642,000,000
N/A
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
LLC
Total Initial Investment Amount $
Additional Note
$
0
$
1,369,197,029
Repayment*
$
15,000,000
N/A
-
Termination and settlement payment
$
1,900,000,000
N/A
-
23
Right to recover
proceeds
N/A
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
$
12/29/2010 Proceeds from sale of collateral
$
7,844,409
Right to recover
proceeds
N/A
Right to recover
9,302,185
proceeds
N/A
Auburn Hills,
MI
5/27/2009
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
20
14
16
-
Transfer of debt to New
Chrysler
N/A
9
Farmington
Hills, MI
1/2/2009
Chrysler
General Motors
Corporation
Amount/ Proceeds
Detroit, MI
5/27/2009
Chrysler
FinCo
Purchase
Type
73.8%
Common Stock
Trust Preferred
Securities
27
Date
5,937,500,000
7
5/20/2009
Payment or Disposition1
Treasury Investment After Exchange/Transfer/Other
19, 31 Debt obligation w/
additional note &
zero coupon note
30
81,344,932,551
Total Treasury Investment Amount
$
Common equity
$
7,142,000,000
6.6%
$
Right to recover
proceeds
Right to recover
9,666,784
proceeds
4/30/2012
Proceeds from sale of collateral
$
5/24/2011
Repayment - Principal
$
5,076,460,000
5/24/2011
Termination of undrawn facility 31
$
2,065,540,000
5/24/2011
Repayment* - Additional Note
$
288,000,000
5/24/2011
Repayment* - Zero Coupon Note
$
100,000,000
7/21/2011
Disposition
$
560,000,000
Total Payments $
40,394,714,530
Additional Proceeds * $
403,000,000
N/A
N/A
0
N/A
N/A
$
0
-
35,396,524,442
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
Motors LLC". General Motors LLC is a wholly owned subsidiary of General Motors Holdings LLC, and General Motors Holdings LLC is a wholly owned subsidiary of General Motors Company.
12. Pursuant to a corporate reorganization completed on 10/19/2009, Treasury's loan with New GM was assigned and assumed by General Motors Holdings LLC.
13. The loan was funded through Chrysler LB Receivables Trust, a special purpose vehicle created by Chrysler FinCo. The amount of $1,500,000,000 represents the maximum loan amount. The loan was incrementally funded until it reached the maximum amount of $1.5 billion on 4/9/2009.
14. This transaction was an amendment to Treasury's 1/2/2009 agreement with Chrysler Holding. As of 4/30/2009, Treasury's obligation to lend any funds committed under this amendment had terminated. No funds were disbursed.
15. The loan was used to capitalize Chrysler Warranty SPV LLC, a special purpose vehicle created by Old Chrysler.
16. This transaction was set forth in a credit agreement with Old Chrysler fully executed on 5/5/2009 following a term sheet executed on 5/1/2009 and made effective on 4/30/2009. Treasury's commitment was $3.04 billion of the total $4.1 billion debtor-in-possession credit facility (the "Chrysler DIP Loan"). As of 6/30/2009, Treasury's commitment to lend under the Chrysler DIP Loan had terminated. The remaining
principal amount reflects the final amount of funds disbursed under the Chrysler DIP Loan.
17. This transaction was an amendment to Treasury's commitment under the Chrysler DIP Loan, which increased Treasury's commitment by an amount $756,857,000 to a total of $3.8 billion under the Chrysler DIP Loan. As of 6/30/2009, Treasury's obligation to lend funds committed under the Chrysler DIP Loan had terminated.
18. This transaction, first reported based on a term sheet fully executed on 5/27/2009 for an amount up to $6.943 billion, was set forth in a credit agreement with New Chrysler fully executed on 6/10/2009. Under the terms of the credit agreement, Treasury made a new commitment to New Chrysler of up to $6.642 billion. The total loan amount is up to $7.142 billion including $500 million of debt assumed on 6/10/2009 from
Chrysler Holding originally incurred under Treasury's 1/2/2009 credit agreement with Chrysler Holding. The debt obligations are secured by a first priority lien on the assets of New Chrysler. When the sale to new Chrysler was completed, Treasury acquired the rights to 9.85% of the common equity in new Chrysler.
19. Pursuant to the agreement explained in footnote 18, $500 million of this debt obligation was assumed by New Chrysler.
20. Under loan agreement, as amended on 7/23/2009, Treasury was entitled to proceeds Chrysler Holdco received from Chrysler FinCo equal to the greater of $1.375 billion or 40% of the equity value of Chrysler FinCo. Pursuant to a termination agreement dated 5/14/2010, Treasury agreed to accept a settlement payment of $1.9 billion as satisfaction in full of all existing debt obligations (including additional notes and
accrued and unpaid interest) of Chrysler Holdco, and upon receipt of such payment to terminate all such obligations.
21. Amount of the Treasury investment exchange includes the exercised warrants from Treasury's initial investments.
22. Under the terms of an agreement dated 12/30/2009, the convertible preferred shares will mandatorily convert to common stock under the conditions and the conversion price as set forth in the terms of the agreement.
23. On April 30, 2010, the Plan of Liquidation for the debtors of Old Chrysler approved by the respective bankruptcy court became effective (the “Liquidation Plan”). Under the Liquidation Plan, the loan Treasury had provided to Old Chrysler was extinguished without repayment, and all assets of Old Chrysler were transferred to a liquidation trust. Treasury retained the right to recover the proceeds from the liquidation from
time to time of the specified collateral security attached to such loan.
24. On October 27, 2010, Treasury accepted an offer by General Motors Company (GM) to repurchase all of the approximately $2.1 billion preferred stock at a price per share of $25.50, which is equal to 102% of the liquidation preference, subject to the closing of the proposed initial public offering of GM’s common stock. The repurchase was completed on 12/15/2010.
25. On 11/17/2010, Treasury agreed to sell 358,546,795 shares of common stock at $32.7525 per share (which represents the $33 public sale price less underwriting discounts and fees) pursuant to an underwriting agreement. Following settlement, the net proceeds to Treasury were $11,743,303,903. On 11/26/2010, the underwriters exercised their option to purchase an additional 53,782,019 shares of common stock
from Treasury at the same purchase price resulting in additional proceeds of $1,761,495,577. Treasury's aggregate net proceeds from the sale of common stock pursuant to the underwriting agreement total $13,504,799,480.
26. On 12/30/2010, Treasury converted $5,500,000,000 of the total convertible preferred stock then outstanding and held by Treasury (including exercised warrants) into 531,850 shares of common stock of Ally. Following this conversion, Treasury holds $5,937,500,000 of convertible preferred stock.
27. On 3/1/2011, Treasury entered into an agreement with Ally Financial, Inc. (Ally) and certain other parties to amend and restate the $2,667,000,000 in aggregate liquidation preference of its Ally trust preferred securities so to facilitate a public underwritten offering. At the time of amendment and restatement, Treasury received all outstanding accrued and unpaid dividends and a distribution fee of $28,170,000.
28. On 3/2/2011, Treasury entered into an underwritten offering for all of its Ally trust preferred securities, the proceeds of which were $2,638,830,000, which together with the distribution fee referred to in footnote 27, provided total disposition proceeds to Treasury of $2,667,000,000. This amount does not include the accumulated and unpaid dividends on the trust preferred securities from the date of the amendment and
restatement through but excluding the closing date that Treasury will receive separately at settlement.
29. On March 31, 2011, the Plan of Liquidation for Motors Liquidation Company (Old GM) became effective, Treasury’s $986 million loan to Old GM was converted to an administrative claim and the assets remaining with Old GM, including Treasury's liens on certain collateral and other rights attached to the loan, were transferred to liquidation trusts. On December 15, 2011, Old GM was dissolved, as required by the Plan of
Liquidation. Treasury retained the right to recover additional proceeds; however, any additional recovery is dependent on actual liquidation proceeds and pending litigation.
30. In June 2009, Treasury provided a $6.6 billion loan commitment to Chrysler Group LLC and received a 9.9 percent equity ownership in Chrysler Group LLC (Chrysler). In January and April 2011, Chrysler met the first and second of three performance related milestones. As a result, Fiat’s ownership automatically increased from 20% to 30%, and Treasury’s ownership was reduced to 8.6%. On May 24, 2011, Fiat,
through the exercise of an equity call option, purchased an incremental 16% fully diluted ownership interest in Chrysler for $1.268 billion, reducing Treasury’s ownership to 6.6% (or 6.0% on a fully diluted basis). On July 21, 2011, Fiat, through the exercise of an equity call option, purchased Treasury’s ownership interest for $500 million. In addition, Fiat paid $60 million to Treasury for its rights under an agreement with the
UAW retirement trust pertaining to the trust's shares in Chrysler.
31 On May 24, 2011, Chrysler Group LLC terminated its ability to draw on the remaining $2.066 billion outstanding under this loan facility.
32. On November 1, 2011, Treasury received a $201,345.42 pro-rata tax distribution on its common stock from Ally Financial, Inc. pursuant to the terms of the Sixth Amended and Restated Limited Liability Company Operating Agreement of GMAC LLC dated May 22, 2009.
33. On 12/21/2012, Treasury sold 200,000,000 shares of common stock at $27.50 per share pursuant to a letter agreement. Following settlement, the net proceeds to Treasury were $5,500,000,000.
AUTOMOTIVE SUPPLIER SUPPORT PROGRAM
Seller
Footnote
Date
Name of Institution
City
State
Transaction Type
Investment
Description
Investment
Amount
Pricing Mechanism
Adjustment Details
Adjustment
Adjusted or Final
Amount
Investment Amount
Adjustment
Date
Payment or Disposition4
Date
2/11/2010
Partial
repayment
Partial
repayment
3/4/2010
11/20/2009
1
4/9/2009
GM Supplier Receivables LLC
Wilmington
DE
Purchase
Debt Obligation w/
Additional Note
7/8/2009
$ 3,500,000,000
3
$ (1,000,000,000) $
6
2
4/9/2009
Chrysler Receivables SPV LLC
INITIAL TOTAL
$
5,000,000,000
Wilmington
DE
Purchase
ADJUSTED TOTAL
Debt Obligation w/
Additional Note
$
$ 1,500,000,000
N/A
7/8/2009
3
$
(500,000,000)
7
413,076,735
2,500,000,000
N/A
Total Repayments
$
413,076,735
$
290,000,000
$
1,000,000,000
$
123,076,735
Type
Remaining Investment
Description
Amount
Debt Obligation w/ Additional Note
$
140,000,000
Debt Obligation w/ Additional Note
$
100,000,000
Repayment5
Additional Note
$
50,000,000
4/5/2010
Payment6
None
$
56,541,893
3/9/2010
4/7/2010
Repayment5
Payment7
Additional Note
None
$
$
123,076,735
44,533,054
$
101,074,947
Total Proceeds from Additional Notes
1/ The loan was funded through GM Supplier Receivables, LLC, a special purpose vehicle created by General Motors Corporation. The amount of $3,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/3/2009. General Motors Company assumed GM Supplier Receivables LLC
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
State
Transaction
Type
New York
NY
Purchase
Charlotte
NC
Purchase
City
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Investment Description
Trust Preferred Securities
w/ Warrants
Preferred Stock w/
Warrants
$
20,000,000,000
Par
12/23/2009
$
20,000,000,000
Par
12/9/2009
TOTAL
$
2
Capital Repayment
Amount
Remaining Capital
Amount
$
20,000,000,000
$
$
20,000,000,000
$
$
40,000,000,000
Final Disposition
Remaining Capital
Description
Final Disposition Date
0
Warrants
1/25/2011
A
Warrants
$
190,386,428
0
Warrants
3/3/2010
A
Warrants
$
1,236,804,513
$
1,427,190,941
3
Final Disposition
Description
Final Disposition
Proceeds
2
40,000,000,000
TOTAL CAPITAL REPAYMENT
TOTAL TREASURY TIP INVESTMENT AMOUNT
$
Total Warrant Proceeds
0
1/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock, Series
I (TIP Shares) “dollar for dollar” for Trust Preferred Securities.
2/ Repayment pursuant to Title VII, Section 7001 of the American Recovery and Reinvestment Act of 2009.
3/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution, and "A" represents the proceeds to Treasury, after underwriting fees, from a sale by Treasury in a registered public offering of the warrants issued by the financial institution.
ASSET GUARANTEE PROGRAM
Initial Investment
Footnote
1
Date
1/16/2009
Seller
Name of Institution
Citigroup Inc.
12/23/2009 Citigroup Inc.
City
New York
New York
State
NY
NY
Type
Guarantee
Termination
Premium
Description
Master Agreement
Termination Agreement
Guarantee Limit
$
$
Preferred Stock
5,000,000,000
w/ Warrants
$
Exchange/Transfer/Other Details
Amount
$
Date
2
6/9/2009
Exchange preferred stock for Trust Preferred Securities
$
trust preferred securities
w/ Warrants
4,034,000,000
4
9/29/2010
Exchange trust preferred
securities for trust preferred
securities
2,246,000,000
4,034,000,000
Type
Payment or Disposition
Footnote
Description
Amount
Trust Preferred Securities
$
w/ Warrants
Footnote
Date
3
12/23/2009
5
Type
Partial cancellation for early
termination of guarantee
Amount
$ (1,800,000,000)
Remaining Premium
Description
Trust Preferred
Securities w/ Warrants
Remaining
Premium
$ 2,234,000,000
$
0
67,197,045 None
$
0
$ 894,000,000.00 None
$
0
9/30/2010 Disposition
$
1/25/2011 Warrant Auction
$
2,246,000,000 Warrants
(5,000,000,000)
3
TOTAL
Description
0
6
12/28/2012
7
2/4/2013
Trust preferred securities
received from the FDIC
Exchange Trust preferred
securities for subordinated
note
Trust Preferred Securities $
800,000,000.00
$
894,000,000.00
Subordinated Note
8
2/8/2013 Disposition
Total Proceeds
$
3,207,197,045
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.
6/ 12/28/2012, as contemplated by the Termination Agreement and the Letter Agreement dated 12/23/2009, between Treasury and the Federal Deposit Insurance Corporation (FDIC), Treasury received from the FDIC, Citigroup Inc. trust preferred securities in aggregate liquidation preference equal to $800 million and approximately $183 million in dividend and interest payments from those securities.
7/ On 2/4/2013, Treasury exchanged $800 million in Citigroup Capital XXXIII Trust Preferred Securities (TruPs) for $894 million in Citigroup subordinated notes pursuant to an agreement between Citigroup and Treasury executed on 2/4/2013. Accrued interest on the TruPs was received at the time of the exchange.
8/ On 2/8/2013, Treasury completed the sale of its Citigroup subordinated notes for $894 million plus accrued interest, pursuant to an underwriting agreement executed on 2/8/2012.
65
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
Investment Amount
Pricing Mechanism
2
Date
Transaction Type
4/17/2009
Exchange
Pricing
Mechanism
Amount
Investment Description
Preferred Stock w/ Warrants
(Series E)
1
$
40,000,000,000
Par
See table below for exchange/transfer details in connection with the recapitalization conducted on 1/14/2011.
Final Disposition
TOTAL
$
Date
69,835,000,000
Pricing
Mechanism
Proceeds
Transaction Type
Investment
Warrants (Series E)
Warrants (Series F)
Total
1/ On 4/17/2009, Treasury exchanged its Series D Fixed Rate Cumulative Preferred Shares for Series E Fixed Rate Non-Cumulative Preferred Shares with no change to Treasury's initial investment amount. In addition, in order for AIG to fully redeem the Series E Preferred Shares, it had an additional obligation to Treasury of $1,604,576,000 to reflect the
cumulative unpaid dividends for the Series D Preferred Shares due to Treasury through and including the exchange date.
2/ The investment amount reflected Treasury's commitment to invest up to $30 billion less a reduction of $165 million representing retention payments AIG Financial Products made to its employees in March 2009.
3/ This transaction does not include AIG's commitment fee of an additional $165 million paid from its operating income over the life of the facility. A $55 million payment was received by Treasury on 12/17/2010. The remaining $110 million payment was received by Treasury on 05/27/2011.
AIG POST-RECAPITALIZATION
Recapitalization
Note
Date
Investment Description
Treasury Holdings Post-Recapitalization
Transaction Type
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)
Exchange
Transfer
Amount / Shares
$
$
2,000,000,000
16,916,603,568
$
3,375,328,432
167,623,733
924,546,133
N/A
6
Date
7
N/A
ALICO Junior Preferred Interests
5
Final Disposition
Common Stock
562,868,096
7
Transaction Type
Proceeds
8
Pricing Mechanism
5/27/2011
Cancellation
$
2/14/2011
Payment
$
185,726,192
3/8/2011
Payment
$
5,511,067,614
Par
3/15/2011
Payment
$
55,833,333
Par
-
N/A
Remaining Recap
Investment Amount,
Shares, or Equity %
$
0
10
$
0
8
$
0
8
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
8/3/2012
Partial Disposition
$
4,999,999,993
N/A
8/6/2012
Partial Disposition
$
750,000,002
N/A
9/10/2012
Partial Disposition
$
17,999,999,973
N/A
9/11/2012
Partial Disposition
$
2,699,999,965
N/A
12/14/2012
Final Disposition
$
7,610,497,570
N/A
1,455,037,962
9
77%
1,248,141,410
11
70%
1,084,206,984
12
63%
1,059,616,821
12
61%
895,682,395
13
55%
871,092,231
13
53%
317,246,078
14
22%
234,169,156
14
16%
234,169,156
15
0%
Footnotes appear on following page.
66
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.
13/ On 8/8/2012, Treasury completed the sale of 188,524,590 shares of common stock at $30.50 per share for total proceeds of $5,749,999,995, pursuant to an underwriting agreement executed on 8/3/2012.
14/ On 9/14/2012, Treasury completed the sale of 636,923,075 shares of common stock at $32.50 per share for total proceeds of $20,699,999,938, pursuant to an underwriting agreement executed on 9/10/2012.
15/ On 12/14/2012, Treasury completed the sale of 234,169,156 shares of common stock at $32.50 per share for total proceeds of $7,610,497,570, pursuant to an underwriting agreement executed on 12/10/2012.
67
CREDIT MARKET PROGRAMS
TERM ASSET-BACKED SECURITIES LOAN FACILITY
Seller
Footnote
Date
Name of Institution
City
State
Transaction
Type
Investment Description
Investment Amount
Pricing Mechanism
Adjusted Investment
Date
Amount
7/19/2010
1
3/3/2009
TALF LLC
Wilmington
DE
Purchase
Debt Obligation w/ Additional Note
$
20,000,000,000
N/A
6/28/2012
2
3
$
4,300,000,000
$
1,400,000,000
$
100,000,000
Final Investment Amount
2/6/2012
$
Total Investment Amount $
Amount
Principal Repayment
$
100,000,000
Contingent Interest Proceeds
$
212,829,610
$
312,829,610
100,000,000
4
1/15/2013
Repayment
Description
Date
2/6/2012
100,000,000
Total Repayment Amount
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.
3/ On 6/28/2012, Treasury, the FRBNY and TALF LLC entered into an amendment of the credit agreement previously amended 7/19/2010, which reduced Treasury's maximum loan amount to $1,400,000,000.
4/ On 1/15/2013, Treasury, the FRBNY and TALF LLC entered into an amendment that stated that, due to the fact that the accumulated fees collected through TALF exceed the total principal amount of TALF loans outstanding, Treasury’s commitment of TARP funds to provide credit protection is no longer necessary.
68
CREDIT MARKET PROGRAMS
SBA 7a SECURITIES PURCHASE PROGRAM
Purchase Details 1
Date
3/19/2010
3/19/2010
3/19/2010
4/8/2010
4/8/2010
5/11/2010
5/11/2010
5/11/2010
5/25/2010
5/25/2010
6/17/2010
6/17/2010
7/14/2010
7/14/2010
7/14/2010
7/29/2010
7/29/2010
8/17/2010
8/17/2010
8/17/2010
8/31/2010
8/31/2010
8/31/2010
9/14/2010
9/14/2010
9/14/2010
9/14/2010
9/28/2010
9/28/2010
9/28/2010
9/28/2010
Investment Description
Floating Rate SBA 7a security due 2025
Floating Rate SBA 7a security due 2022
Floating Rate SBA 7a security due 2022
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2016
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2035
Floating Rate SBA 7a security due 2033
Floating Rate SBA 7a security due 2029
Floating Rate SBA 7a security due 2033
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2025
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2017
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2019
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2024
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2021
Floating Rate SBA 7a security due 2029
Floating Rate SBA 7a security due 2026
Floating Rate SBA 7a security due 2035
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2035
Total Purchase Face Amount
Settlement Details
Purchase Face
Amount 3
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
4,070,000
7,617,617
8,030,000
23,500,000
8,900,014
10,751,382
12,898,996
8,744,333
8,417,817
17,119,972
34,441,059
28,209,085
6,004,156
6,860,835
13,183,361
2,598,386
9,719,455
8,279,048
5,000,000
10,000,000
9,272,482
10,350,000
6,900,000
8,902,230
8,050,000
5,750,000
5,741,753
3,450,000
11,482,421
13,402,491
14,950,000
$
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
TOTAL INVESTMENT AMOUNT
2, 3
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Senior Security
Proceeds 4
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2,184
4,130
4,348
12,983
4,783
5,741
7,057
4,844
4,635
9,377
19,077
15,801
3,200
3,722
7,373
1,408
5,187
4,561
2,752
5,541
5,123
5,820
3,652
4,966
4,458
3,061
3,172
1,912
6,535
7,632
8,521
Total Senior Security Proceeds $
183,555
$
4,377,249
8,279,156
8,716,265
26,041,643
9,598,523
11,511,052
14,151,229
9,717,173
9,294,363
18,801,712
38,273,995
31,693,810
6,416,804
7,462,726
14,789,302
2,826,678
10,394,984
9,150,989
5,520,652
11,115,031
10,277,319
11,672,766
7,319,688
9,962,039
8,940,780
6,134,172
6,361,173
3,834,428
13,109,070
15,308,612
17,092,069
TBA or
PMF3
-
Final Disposition
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
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
Life-to-date
Principal Received
Disposition
Amount 5, 6
1, 8
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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 $
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.
69
CREDIT MARKET PROGRAMS
LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)
Preliminary Adjusted
Commitment
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.
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 $
3/22/2010 6 $
3/22/2010 6
156,250,000
200,000,000
1,244,437,500
$ 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
$
Description
0
0
$
2,444,347
$
578,515,653 Membership Interest
3,533,199
$
574,982,454 Membership Interest
9/15/2010
$
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
$
$
4/15/2010
9/15/2010
$
7,066,434
$
$
60,022,674
$
11/15/2010
$
132,928,628
$
12/14/2010
$
31,689,230
$
1/14/2010
$
27,355,590
$
2/14/2011
$
92,300,138
$
3/14/2011
$
128,027,536
$
4/14/2011
$
155,409,286
$
5/20/2011
$
75,085,485
$
6/14/2011
$
18,259,513
$
7/15/2011
$
62,979,809
$
8/12/2011
$
20,762,532
$
10/17/2011
$
37,384,574
$
12/14/2011
$
7,103,787
$
1/17/2012
$
6,577,144
$
Proceeds
5
Distribution
2/24/2010
Final Distribution
1/29/2010
Distribution
2/24/2010
Final Distribution
Contingent Proceeds
$
4,888,718
Description
1/29/2010
5
$
20,091,872
$
48,922
Debt Obligation w/
166,000,000 Contingent Proceeds
4/15/2010
$
Date
Membership Interest
2/18/2010
2/18/2010
Distribution or Disposition
0
5
5
$
502,302
$
1,223
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
Membership Interest
5
3/29/2012
Distribution
8/9/2012
Distribution
9/28/2012
Final Distribution
10
5
5
$
56,390,209
$
1,056,751
$
18,772
Debt Obligation w/
1,157,031,282 Contingent Proceeds
Debt Obligation w/
1,149,964,848 Contingent Proceeds
Debt Obligation w/
1,089,942,174 Contingent Proceeds
Debt Obligation w/
957,013,546 Contingent Proceeds
Debt Obligation w/
925,324,316 Contingent Proceeds
Debt Obligation w/
897,968,726 Contingent Proceeds
Debt Obligation w/
805,668,588 Contingent Proceeds
Debt Obligation w/
677,641,052 Contingent Proceeds
Debt Obligation w/
522,231,766 Contingent Proceeds
Debt Obligation w/
447,146,281 Contingent Proceeds
Debt Obligation w/
428,886,768 Contingent Proceeds
Debt Obligation w/
365,906,960 Contingent Proceeds
Debt Obligation w/
345,144,428 Contingent Proceeds
Debt Obligation w/
307,759,854 Contingent Proceeds
Debt Obligation w/
300,656,067 Contingent Proceeds
Debt Obligation w/
294,078,924 Contingent Proceeds
70
Final Investment
Preliminary Adjusted
Seller
Footnote
1
2
1
Date
10/1/2009
10/1/2009
10/2/2009
Name of Institution
Wellington Management Legacy Securities PPIF Master Fund, LP
Wellington Management Legacy Securities PPIF Master Fund, LP
AllianceBernstein Legacy Securities Master Fund, L.P.
Commitment
City
Wilmington
Wilmington
Wilmington
Transaction
State
Type
DE
DE
DE
Purchase
Purchase
Purchase
Commitment
Amount
Investment Description
Membership Interest
Debt Obligation w/ Contingent Proceeds
Membership Interest
$
$
$
1,111,111,111
2,222,222,222
1,111,111,111
Pricing
Mechanism
Par
Par
Par
Date
3/22/2010 6 $
3/22/2010 6 $
3/22/2010 6 $
3
Amount
1,262,037,500
2,524,075,000
1,244,437,500
Final Commitment Amount
Date
7/16/2010
7/16/2010
7/16/2010
7
Amount
Amount
$
$
$
1,149,487,000
2,298,974,000
1,150,423,500
9
Amount
$
$
$
1,149,487,000
2,298,974,000
1,064,141,738
Capital Repayment Details
Repayment
Date
1
10/2/2009
10/2/2009
AllianceBernstein Legacy Securities Master Fund, L.P.
Blackrock PPIF, L.P.
Wilmington
Wilmington
DE
DE
Purchase
Purchase
Debt Obligation w/ Contingent Proceeds
Membership Interest
$
$
2,222,222,222
1,111,111,111
Par
Par
3/22/2010 6 $
3/22/2010 6 $
2,488,875,000
1,244,437,500
7/16/2010
7/16/2010
$
$
2,300,847,000
694,980,000
12 $
$
2,128,000,000
528,184,800
Repayment Amount
Amount
2/14/2012
$
9,610,173
$
3/14/2012
$
284,468,750
$
Description
0
62,499,688
$
1,086,987,313 Membership Interest
9/17/2012
$
152,499,238
$
934,488,075 Membership Interest
1/15/2013
$
254,581,112
$
679,906,963 Membership Interest
2/13/2013
$
436,447,818
$
6/26/2012
$
125,000,000
$
9/17/2012
$
305,000,000
$
12/6/2012
$
800,000,000
$
12/21/2012
$
630,000,000
$
1/15/2013
$
97,494,310
$
243,459,145 Membership Interest
Debt Obligation w/
2,173,974,000 Contingent Proceeds
Debt Obligation w/
1,868,974,000 Contingent Proceeds
Debt Obligation w/
1,068,974,000 Contingent Proceeds
Debt Obligation w/
438,974,000 Contingent Proceeds
Debt Obligation w/
341,479,690 Contingent Proceeds
1/24/2013
$
341,479,690
$
- Contingent Proceeds
1/15/2010
$
44,043
$
1,064,097,694 Membership Interest
2/14/2011
$
712,284
$
1,063,385,410 Membership Interest
3/14/2011
$
6,716,327
$
1,056,669,083 Membership Interest
4/14/2011
$
7,118,388
$
1,049,550,694 Membership Interest
5/14/2012
$
39,999,800
$
1,009,550,894 Membership Interest
6/14/2012
$
287,098,565
$
722,452,330 Membership Interest
7/16/2012
$
68,749,656
$
653,702,674 Membership Interest
8/14/2012
$
361,248,194
$
292,454,480 Membership Interest
5/16/2011
$
292,454,480
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
$
6/14/2012
$
44,200,000
$
6/25/2012
$
120,000,000
$
7/16/2012
$
17,500,000
$
7/27/2012
$
450,000,000
$
8/14/2012
$
272,500,000
$
8/22/2012
$
583,467,339
$
8/14/2012
$
Date
Contingent Proceeds
$
$
Distribution or Disposition
Description
Proceeds
Debt Obligation w/
284,468,750 Contingent Proceeds
7/16/2012
8/30/2012
2
Investment After Capital Repayment
-
3/29/2012
Distribution
8/9/2012
Distribution
5
$
3,434,460
5
$
40,556
$
469
$
75,278,664
9/28/2012
Final Distribution
8/30/2012
Distribution
9/12/2012
Distribution
9/19/2012
Distribution
10/1/2012
Distribution
12/21/2012
Distribution
5
10
10
10
10
10
10
10
10
10
10
10
10
Membership Interest
10
5, 11
5, 11
5, 11
5, 11
5, 11
$
79,071,633
$
106,300,357
$
25,909,972
$
678,683
$
12,012,957
$
16,967
$
297,511,708
Debt Obligation w/
2,097,755,425 Contingent Proceeds
Debt Obligation w/
2,097,667,339 Contingent Proceeds
Debt Obligation w/
2,017,667,339 Contingent Proceeds
Debt Obligation w/
1,987,667,339 Contingent Proceeds
Debt Obligation w/
1,487,667,339 Contingent Proceeds
Debt Obligation w/
1,443,467,339 Contingent Proceeds
Debt Obligation w/
1,323,467,339 Contingent Proceeds
Debt Obligation w/
1,305,967,339 Contingent Proceeds
Debt Obligation w/
855,967,339 Contingent Proceeds
Debt Obligation w/
583,467,339 Contingent Proceeds
-
Contingent Proceeds
90,269,076
$
437,915,724 Membership Interest
9/17/2012
$
8,833,632
$
429,082,092 Membership Interest
10/15/2012
$
10,055,653
$
419,026,439 Membership Interest
11/5/2012
$
419,026,439
$
10/3/2012
Distribution
12/21/2012
Distribution
11/5/2012
Distribution
5, 11
5, 11
10
10
10
- Membership Interest 10
5, 11
71
Final Investment
Preliminary Adjusted
Seller
Footnote
2
1
2
1
2
Date
10/2/2009
Name of Institution
Blackrock PPIF, L.P.
10/30/2009 AG GECC PPIF Master Fund, L.P.
10/30/2009 AG GECC PPIF Master Fund, L.P.
11/4/2009
11/4/2009
RLJ Western Asset Public/Private Master Fund, L.P.
RLJ Western Asset Public/Private Master Fund, L.P.
Commitment
City
Wilmington
Wilmington
Wilmington
Wilmington
Wilmington
Transaction
State
Type
DE
DE
DE
DE
DE
Purchase
Purchase
Purchase
Purchase
Purchase
Commitment
Amount
Investment Description
Debt Obligation w/ Contingent Proceeds
Membership Interest
Debt Obligation w/ Contingent Proceeds
Membership Interest
Debt Obligation w/ Contingent Proceeds
$
$
$
$
$
2,222,222,222
1,111,111,111
2,222,222,222
1,111,111,111
2,222,222,222
Pricing
Mechanism
Par
Par
Par
Par
Par
Date
3/22/2010 6 $
3/22/2010 6 $
3/22/2010 6 $
3/22/2010 6 $
3/22/2010 6 $
3
Amount
2,488,875,000
1,271,337,500
2,542,675,000
1,244,437,500
2,488,875,000
Final Commitment Amount
Date
7/16/2010
7/16/2010
7/16/2010
7/16/2010
7/16/2010
7
Amount
Amount
$
$
$
$
$
1,389,960,000
1,243,275,000
2,486,550,000
620,578,258
1,241,156,516
9
Amount
$
$
$
$
$
1,053,000,000
1,117,399,170
2,234,798,340
620,578,258
1,241,000,000
Capital Repayment Details
Repayment
Date
11/5/2012
$
Repayment Amount
419,026,439
Investment After Capital Repayment
Amount
Description
Membership Interest
$
9/28/2012
$
35,000,000
$
10/15/2012
$
25,334,218
$
Debt Obligation w/
878,000,000 Contingent Proceeds
Debt Obligation w/
872,460,945 Contingent Proceeds
Debt Obligation w/
856,460,945 Contingent Proceeds
Debt Obligation w/
854,793,592 Contingent Proceeds
Debt Obligation w/
819,793,592 Contingent Proceeds
Debt Obligation w/
794,459,374 Contingent Proceeds
10/18/2012
$
794,459,374
$
- Contingent Proceeds
7/31/2012
$
175,000,000
$
8/14/2012
8/31/2012
$
5,539,055
$
$
16,000,000
9/17/2012
$
$
1,667,352
$
2/14/2012
$
87,099,565
$
1,030,299,606 Membership Interest
3/14/2012
$
99,462,003
$
930,837,603 Membership Interest
5/14/2012
$
74,999,625
$
855,837,978 Membership Interest
7/16/2012
$
18,749,906
$
837,088,072 Membership Interest
8/14/2012
$
68,399,658
$
768,688,414 Membership Interest
9/17/2012
$
124,999,375
$
643,689,039 Membership Interest
10/15/2012
$
240,673,797
$
403,015,242 Membership Interest
11/15/2012
$
45,764,825
$
357,250,417 Membership Interest
12/14/2012
$
24,588,926
$
332,661,491 Membership Interest
1/15/2013
$
30,470,429
$
302,191,061 Membership Interest
2/14/2013
$
295,328,636
$
6,862,425 Membership Interest
2/21/2013
$
6,862,425
$
-
174,200,000
$
3/14/2012
$
198,925,000
$
5/14/2012
$
150,000,000
$
7/16/2012
$
37,500,000
$
8/14/2012
$
136,800,000
$
9/17/2012
$
250,000,000
$
10/15/2012
$
481,350,000
$
11/15/2012
$
274,590,324
$
12/14/2012
$
147,534,295
$
1/15/2013
$
182,823,491
$
2/14/2013
$
201,075,230
$
3/14/2011
$
1,202,957
$
619,375,301 Membership Interest
4/14/2011
$
3,521,835
$
615,853,465 Membership Interest
8/14/2012
$
104,959,251
$
510,894,215 Membership Interest
9/17/2012
$
72,640,245
$
438,253,970 Membership Interest
9/28/2012
$
180,999,095
$
257,254,875 Membership Interest
10/15/2012
$
134,999,325
$
122,255,550 Membership Interest
10/19/2012
$
122,255,550
$
13,531,530
$
Description
12/5/2012
Distribution
11/5/2012
Distribution
12/5/2012
Distribution
2/21/2013
Distribution
2/27/2013
Distribution
10/19/2012
Distribution
11/2/2012
Distribution
12/21/2012
Distribution
5, 11
5, 11
5, 11
Proceeds
$
57,378,964
$
8,289,431
$
1,433,088
10
10
10
10
10
10
10
10
10
10
10
10
5, 11
184,431,858.11
5, 11
20,999,895.00
Debt Obligation w/
2,060,598,340 Contingent Proceeds
Debt Obligation w/
1,861,673,340 Contingent Proceeds
Debt Obligation w/
1,711,673,340 Contingent Proceeds
Debt Obligation w/
1,674,173,340 Contingent Proceeds
Debt Obligation w/
1,537,373,340 Contingent Proceeds
Debt Obligation w/
1,287,373,340 Contingent Proceeds
Debt Obligation w/
806,023,340 Contingent Proceeds
Debt Obligation w/
531,433,016 Contingent Proceeds
Debt Obligation w/
383,898,721 Contingent Proceeds
Debt Obligation w/
201,075,230 Contingent Proceeds
Debt Obligation w/
- Contingent Proceeds
$
$
Date
Membership Interest
2/14/2012
5/13/2011
Distribution or Disposition
-
10
10
10
10
10
10
Membership Interest
10
5, 11
5, 11
5, 11
$
147,464,888
$
148,749,256
$
549,997
Debt Obligation w/
1,227,468,470 Contingent Proceeds
72
Final Investment
Preliminary Adjusted
Seller
Footnote
1
2
1
2
Date
Name of Institution
11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P.
11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P.
12/18/2009 Oaktree PPIP Fund, L.P.
12/18/2009 Oaktree PPIP Fund, L.P.
Commitment
City
Wilmington
Wilmington
Wilmington
Wilmington
Transaction
State
Type
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
INITIAL COMMITMENT AMOUNT
$
$
$
$
$
1,111,111,111
2,222,222,222
1,111,111,111
2,222,222,222
30,000,000,000
Pricing
Mechanism
Par
Par
Par
Par
Date
3
Amount
3/22/2010 6 $
3/22/2010 6 $
3/22/2010 6 $
3/22/2010 6 $
1,244,437,500
2,488,875,000
1,244,437,500
2,488,875,000
Final Commitment Amount
Date
7/16/2010
7/16/2010
7/16/2010
7/16/2010
FINAL COMMITMENT AMOUNT
7
Amount
Amount
$
$
$
$
$
474,550,000
949,100,000
1,160,784,100
2,321,568,200
9
Amount
$
$
$
$
474,550,000
949,000,000
555,904,633
1,111,000,000
Capital Repayment Details
Repayment
Date
Investment After Capital Repayment
Repayment Amount
Amount
7/31/2012
$
618,750,000
$
8/9/2012
$
151,006,173
$
8/14/2012
$
11,008,652
$
8/23/2012
$
160,493,230
$
8/29/2012
$
103,706,836
$
9/17/2012
$
20,637,410
$
9/21/2012
$
161,866,170
$
Description
Distribution or Disposition
Date
Description
-
Contingent Proceeds
9/17/2012
$
74,499,628
$
400,050,373 Membership Interest
11/15/2012
$
59,787,459
$
340,262,914 Membership Interest
12/14/2012
$
40,459,092
$
299,803,821 Membership Interest
1/15/2013
$
10,409,317
$
289,394,504 Membership Interest
1/30/2013
$
219,998,900
$
69,395,604 Membership Interest
2/25/2013
$
39,026,406
$
9/17/2012
$
149,000,000
$
11/15/2012
$
119,575,516
$
11/20/2012
$
195,000,000
$
12/14/2012
$
47,755,767
$
1/15/2013
$
62,456,214
$
30,369,198 Membership Interest
Debt Obligation w/
800,000,000 Contingent Proceeds
Debt Obligation w/
680,424,484 Contingent Proceeds
Debt Obligation w/
485,424,484 Contingent Proceeds
Debt Obligation w/
437,668,717 Contingent Proceeds
Debt Obligation w/
375,212,503 Contingent Proceeds
1/24/2013
$
375,212,503
$
- Contingent Proceeds
7/15/2011
$
39,499,803
$
516,404,830 Membership Interest
3/14/2012
$
39,387,753
$
477,017,077 Membership Interest
454,905,116 Membership Interest
9/17/2012
$
22,111,961
$
10/15/2012
$
32,496,972
$
422,408,144 Membership Interest
11/15/2012
$
111,539,536
$
310,868,608 Membership Interest
12/14/2012
$
55,540,026
$
255,328,581 Membership Interest
1/15/2013
$
14,849,910
$
7/15/2011
$
79,000,000
$
3/14/2012
$
78,775,901
$
240,478,671 Membership Interest
Debt Obligation w/
1,032,000,000 Contingent Proceeds
Debt Obligation w/
953,224,099 Contingent Proceeds
9/17/2012
$
44,224,144
$
Debt Obligation w/
908,999,956 Contingent Proceeds
10/15/2012
$
64,994,269
$
Debt Obligation w/
844,005,687 Contingent Proceeds
11/15/2012
$
223,080,187
$
Debt Obligation w/
620,925,500 Contingent Proceeds
12/14/2012
$
111,080,608
$
1/15/2013
$
89,099,906
$
10/19/2012
Distribution
11/2/2012
Distribution
12/21/2012
Distribution
5, 11
5, 11
5, 11
TOTAL CAPITAL REPAYMENT AMOUNT $
$
6,789,287
$
3,718,769
$
13,750
10
10
10
10
10
10
10
10
10
10
10
10
10
Debt Obligation w/
509,844,892 Contingent Proceeds
Debt Obligation w/
420,744,985 Contingent Proceeds
TOTAL DISTRIBUTIONS 5
21,856,403,574
Proceeds
Debt Obligation w/
608,718,470 Contingent Proceeds
Debt Obligation w/
457,712,297 Contingent Proceeds
Debt Obligation w/
446,703,645 Contingent Proceeds
Debt Obligation w/
286,210,415 Contingent Proceeds
Debt Obligation w/
182,503,579 Contingent Proceeds
Debt Obligation w/
161,866,170 Contingent Proceeds
$ 1,258,185,663
17,690,095,938
73
Final Investment
Preliminary Adjusted
Seller
Footnote
Date
Name of Institution
Commitment
City
Transaction
State
Type
Investment Description
Commitment
Amount
Pricing
Mechanism
Date
3
Amount
Final Commitment Amount
Date
Amount
7
Amount
9
Amount
Capital Repayment Details
Repayment
Date
Repayment Amount
Investment After Capital Repayment
Amount
Description
Distribution or Disposition
Date
Description
Proceeds
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 AG GECC fund,
respectively. The $356 million of final investment in the TCW fund will remain a part of Treasury's total maximum S-PPIP investment amount.
7/ Amount adjusted to show Treasury's final capital commitment (membership interest) and the maximum amount of Treasury's debt obligation that may be drawn down in accordance with the Loan Agreement.
8/ On 09/26/2011, the General Partner notified Treasury that the Investment Period was terminated in accordance with the Limited Partnership Agreement. As a result, the Final Investment Amount, representing Treasury's debt obligation, has been reduced to the cumulative amount of debt funded.
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.
11/ Distribution represents a gain on funded capital and is subject to revision pending any additional fundings of the outstanding commitment.
12/ On 08/23/2012, AllianceBernstein agreed to de-obligate its unused debt commitment. The Final Investment Amount represents the cumulative capital drawn as of the de-obligation.
74
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Transactions Report - Housing Programs
Program Start - February 14, 2013
MAKING HOME AFFORDABLE PROGRAM
Servicer Modifying Borrowers' Loans
Name of Institution
Date
4/13/2009
Adjustment Details
City
Select Portfolio Servicing
Salt Lake City
State
Transaction
Type
UT
Purchase
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Financial Instrument for Home Loan Modifications
$
376,000,000
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
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
4/13/2009
Citi Mortgage, Inc.
O'Fallon
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
MO
Purchase
Financial Instrument for Home Loan Modifications
$
2,071,000,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
6/12/2009
$
284,590,000
$
Reason for Adjustment
660,590,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
782,500,000 cap
Updated portfolio data from servicer & HAFA initial
913,840,000 cap
9/30/2009
$
121,910,000
$
12/30/2009
$
131,340,000
$
3/26/2010
$
(355,530,000) $
558,310,000 Updated portfolio data from servicer
7/14/2010
$
128,690,000
$
687,000,000 Updated portfolio data from servicer
9/30/2010
$
4,000,000
$
691,000,000 Initial FHA-HAMP cap and initial FHA-2LP cap
9/30/2010
$
59,807,784
$
750,807,784 Updated portfolio data from servicer
11/16/2010
$
12/15/2010
$
1/6/2011
(700,000) $
64,400,000
750,107,784 Transfer of cap due to servicing transfer
$
814,507,784 Updated portfolio data from servicer
$
(639) $
814,507,145 Updated portfolio data from servicer
1/13/2011
$
(2,300,000) $
2/16/2011
$
100,000
$
812,307,145 Transfer of cap due to servicing transfer
3/16/2011
$
3,600,000
$
3/30/2011
$
(735) $
815,907,145 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
815,906,410 reallocation
4/13/2011
$
(100,000) $
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) $
8/16/2011
$
(100,000) $
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
$
842,579,605 Transfer of cap due to servicing transfer
6/14/2012
$
8,710,000
$
6/28/2012
$
851,289,605 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
851,284,429 reallocation
7/16/2012
$
2,430,000
$
853,714,429 Transfer of cap due to servicing transfer
8/16/2012
$
2,310,000
$
9/27/2012
$
856,024,429 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
856,010,468 reallocation
10/16/2012
$
126,940,000
$
11/15/2012
$
9,990,000
$
992,940,468 Transfer of cap due to servicing transfer
12/14/2012
$
10,650,000
$
12/27/2012
$
1,003,590,468 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,003,587,805 reallocation
1/16/2013
$
18,650,000
$
1,022,237,805 Transfer of cap due to servicing transfer
2/14/2013
$
10,290,000
$
1,032,527,805 Transfer of cap due to servicing transfer
6/12/2009
$
9/30/2009
$
12/30/2009
$
(105,410,000) $
3/26/2010
$
(199,300,000) $
4/19/2010
$
(230,000) $
5/14/2010
$
(3,000,000) $
6/16/2010
$
(12,280,000) $
7/14/2010
$
(757,680,000) $
7/16/2010
$
(7,110,000) $
8/13/2010
$
(6,300,000) $
9/15/2010
$
(8,300,000) $
1,011,700,000 Updated portfolio data from servicer
Transfer of cap to multiple servicers due to
1,004,590,000 servicing transfer
Transfer of cap to multiple servicers due to
998,290,000 servicing transfer
Transfer of cap to multiple servicers due to
989,990,000 servicing transfer
9/30/2010
$
32,400,000
$
1,022,390,000 Initial FHA-HAMP cap and initial FHA-2LP cap
9/30/2010
$
101,287,484
$
1,123,677,484 Updated portfolio data from servicer
10/15/2010
$
(1,400,000) $
1,122,277,484 Transfer of cap due to servicing transfer
11/16/2010
$
(3,200,000) $
1,119,077,484 Transfer of cap due to servicing transfer
$
(5,176) $
(13,961) $
(2,663) $
(991,580,000) $
1,010,180,000
$
812,207,145 Transfer of cap due to servicing transfer
816,106,410 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
816,099,605 reallocation
982,950,468 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
Transfer of cap to multiple servicers due to
1,769,380,000 servicing transfer
75
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
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
10722
10722
4/13/2009
Wells Fargo Bank, NA
Des Moines
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
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
1/6/2011
$
(981) $
1/13/2011
$
(10,500,000) $
1,108,576,503 Transfer of cap due to servicing transfer
2/16/2011
$
(4,600,000) $
1,103,976,503 Transfer of cap due to servicing transfer
3/16/2011
$
(30,500,000) $
3/30/2011
$
(1,031) $
4/13/2011
$
$
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
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) $
1,053,226,341 Transfer of cap due to servicing transfer
6/14/2012
$
(2,880,000) $
6/28/2012
$
(5,498) $
7/16/2012
$
(298,960,000) $
7/27/2012
$
263,550,000
$
1,014,930,843 Transfer of cap due to servicing transfer
8/16/2012
$
30,000
$
9/27/2012
$
(12,722) $
1,014,960,843 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,014,948,121 reallocation
10/16/2012
$
(4,020,000) $
1,010,928,121 Transfer of cap due to servicing transfer
11/15/2012
$
(1,460,000) $
1,009,468,121 Transfer of cap due to servicing transfer
12/14/2012
$
(6,000,000) $
12/27/2012
$
(1,916) $
1,003,468,121 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,003,466,205 reallocation
2/14/2013
$
(8,450,000) $
6/17/2009
$
(462,990,000) $
100,000
1,119,076,503 Updated portfolio data from servicer
1,073,476,503 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,073,475,472 reallocation
1,065,975,472 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,065,966,341 reallocation
1,050,346,341 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,050,340,843 reallocation
751,380,843 Transfer of cap due to servicing transfer
995,016,205 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
$
5,738,681,110 Transfer of cap (from Wachovia) due to merger
3/19/2010
$
668,108,890
$
6,406,790,000 Initial 2MP cap
3/26/2010
$
683,130,000
$
7,089,920,000 Updated portfolio data from servicer
7/14/2010
$
(2,038,220,000) $
5,051,700,000 Updated portfolio data from servicer
9/30/2010
$
(287,348,828) $
9/30/2010
$
344,000,000
$
4,764,351,172 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
5,108,351,172 initial RD-HAMP
12/3/2010
$
8,413,225
$
5,116,764,397 Transfer of cap (from Wachovia) due to merger
12/15/2010
$
22,200,000
$
5,138,964,397 Updated portfolio data from servicer
1/6/2011
$
(6,312) $
5,138,958,085 Updated portfolio data from servicer
1/13/2011
$
(100,000) $
5,138,858,085 Transfer of cap due to servicing transfer
3/16/2011
$
(100,000) $
3/30/2011
$
(7,171) $
5,138,758,085 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,138,750,914 reallocation
4/13/2011
$
(9,800,000) $
5/13/2011
$
100,000
6/16/2011
$
(600,000) $
6/29/2011
$
(63,856) $
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
$
5,128,950,914 Transfer of cap due to servicing transfer
5,129,050,914 Transfer of cap due to servicing transfer
5,128,450,914 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,128,387,058 reallocation
76
Servicer Modifying Borrowers' Loans
Date
Adjustment Details
Name of Institution
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
4/13/2009
GMAC Mortgage, Inc.
Ft. Washington
PA
Purchase
Financial Instrument for Home Loan Modifications
$
633,000,000
N/A
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
4/13/2009
Saxon Mortgage Services, Inc.
Irving
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
TX
Purchase
Financial Instrument for Home Loan Modifications
$
407,000,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
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) $
5,123,277,058 Transfer of cap due to servicing transfer
6/14/2012
$
(2,040,000) $
6/28/2012
$
(39,923) $
8/16/2012
$
(120,000) $
9/27/2012
$
(104,111) $
10/16/2012
$
(1,590,000) $
5,119,383,024 Transfer of cap due to servicing transfer
11/15/2012
$
(2,910,000) $
5,116,473,024 Transfer of cap due to servicing transfer
12/14/2012
$
(1,150,000) $
12/27/2012
$
(16,392) $
5,115,323,024 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,115,306,632 reallocation
1/16/2013
$
(3,350,000) $
5,111,956,632 Transfer of cap due to servicing transfer
2/14/2013
$
(820,000) $
5,111,136,632 Transfer of cap due to servicing transfer
6/12/2009
$
384,650,000
$
9/30/2009
$
2,537,240,000
$
12/30/2009
$
(1,679,520,000) $
3/26/2010
$
190,180,000
$
5/14/2010
$
1,880,000
$
7/14/2010
$
(881,530,000) $
8/13/2010
$
(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
216,998,139
5,121,237,058 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,121,197,135 reallocation
5,121,077,135 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,120,973,024 reallocation
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
$
$
1,518,398,139 Updated portfolio data from servicer
12/15/2010
$
(500,000) $
1,517,898,139 Updated portfolio data from servicer
1/6/2011
$
(1,734) $
1,517,896,405 Updated portfolio data from servicer
3/16/2011
$
(100,000) $
3/30/2011
$
(2,024) $
4/13/2011
$
(800,000) $
5/13/2011
$
(17,900,000) $
6/29/2011
$
(18,457) $
7/14/2011
$
8/16/2011
$
3,400,000
$
1,502,275,924 Transfer of cap due to servicing transfer
9/15/2011
$
200,000
$
1,502,475,924 Transfer of cap due to servicing transfer
10/14/2011
$
(800,000) $
1,501,675,924 Transfer of cap due to servicing transfer
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
6/14/2012
$
(990,000) $
6/28/2012
$
(12,463) $
1,500,185,924 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,500,173,461 reallocation
8/16/2012
$
10,000
9/27/2012
$
(33,210) $
11/15/2012
$
(1,200,000) $
12/14/2012
$
40,000
12/27/2012
$
(5,432) $
1,498,990,251 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,498,984,819 reallocation
1/16/2013
$
60,000
$
1,499,044,819 Transfer of cap due to servicing transfer
2/14/2013
$
(30,000) $
1,499,014,819 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
$
493,520,000 Transfer of cap due to servicing transfer
9/30/2010
$
9,800,000
$
503,320,000 Initial FHA-HAMP cap and initial FHA-2LP cap
9/30/2010
$
116,222,668
$
619,542,668 Updated portfolio data from servicer
10/15/2010
$
100,000
$
619,642,668 Transfer of cap due to servicing transfer
(200,000) $
$
$
1,517,796,405 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,517,794,381 reallocation
1,516,994,381 Transfer of cap due to servicing transfer
1,499,094,381 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,499,075,924 reallocation
1,498,875,924 Transfer of cap due to servicing transfer
1,500,183,461 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,500,150,251 reallocation
1,498,950,251 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
77
Servicer Modifying Borrowers' Loans
Date
Adjustment Details
Name of Institution
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
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 Loan Servicing LLC
West Palm Beach
FL
Purchase
Financial Instrument for Home Loan Modifications
$
659,000,000
N/A
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
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
10512
10512
CA
Purchase
Financial Instrument for Home Loan Modifications
$
798,900,000
N/A
2
Adjustment
Date
Cap Adjustment Amount
12/15/2010
$
Adjusted Cap
8,900,000
Reason for Adjustment
$
628,542,668 Updated portfolio data from servicer
(556) $
628,542,112 Updated portfolio data from servicer
1/6/2011
$
1/13/2011
$
2,300,000
$
630,842,112 Transfer of cap due to servicing transfer
3/16/2011
$
700,000
$
3/30/2011
$
631,542,112 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
631,541,458 reallocation
4/13/2011
$
6/29/2011
$
7/14/2011
$
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
9/15/2011
$
(700,000) $
633,035,314 Transfer of cap due to servicing transfer
12/15/2011
$
2/16/2012
(654) $
2,100,000
$
(6,144) $
17,500,000
633,641,458 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
633,635,314 reallocation
$
650,535,314 Transfer of cap due to servicing transfer
$
(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
6/14/2012
$
(354,290,000) $
6/28/2012
$
(1,831) $
7/16/2012
$
(10,120,000) $
8/16/2012
$
(10,000) $
9/27/2012
$
(4,701) $
10/16/2012
$
(9,220,000) $
258,628,782 Transfer of cap due to servicing transfer
11/15/2012
$
(30,000) $
258,598,782 Transfer of cap due to servicing transfer
12/14/2012
$
60,000
12/27/2012
$
258,658,782 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
258,657,994 reallocation
1/16/2013
$
(610,000) $
7/31/2009
$
(3,552,000,000) $
6/12/2009
$
(105,620,000) $
$
(788) $
9/30/2009
$
102,580,000
$
12/30/2009
$
277,640,000
$
3/26/2010
$
46,860,000
$
6/16/2010
$
156,050,000
$
7/14/2010
$
(191,610,000) $
7/16/2010
$
9/15/2010
9/30/2010
277,985,314 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
277,983,483 reallocation
267,863,483 Transfer of cap due to servicing transfer
267,853,483 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
267,848,782 reallocation
258,047,994 Transfer of cap due to servicing transfer
- Termination of SPA
553,380,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
655,960,000 cap
Updated portfolio data from servicer & HAFA initial
933,600,000 cap
980,460,000 Updated portfolio data from servicer
Transfer of cap from Saxon Mortgage Services,
1,136,510,000 Inc. due to servicing transfer
23,710,000
$
944,900,000 Updated portfolio data from servicer
Transfer of cap from Saxon Mortgage Services,
968,610,000 Inc. due to servicing transfer
$
100,000
$
968,710,000 Initial FHA-HAMP cap
$
3,742,740
$
10/15/2010
$
170,800,000
$
1/6/2011
$
2/16/2011
$
3/30/2011
$
(1,020) $
900,000
$
(1,114) $
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) $
1/13/2012
$
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
6/14/2012
$
354,290,000
$
6/28/2012
$
1,817,160,562 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,817,154,254 reallocation
7/16/2012
$
10,080,000
$
1,827,234,254 Transfer of cap due to servicing transfer
8/16/2012
$
8,390,000
$
9/27/2012
$
1,835,624,254 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,835,613,521 reallocation
10/16/2012
$
14,560,000
$
1,850,173,521 Transfer of cap due to servicing transfer
11/15/2012
$
13,240,000
$
1,863,413,521 Transfer of cap due to servicing transfer
12/14/2012
$
2,080,000
$
12/27/2012
$
1,865,493,521 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,865,492,506 reallocation
1/16/2013
$
410,000
$
1,865,902,506 Transfer of cap due to servicing transfer
2/14/2013
$
960,000
$
1,866,862,506 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
$
804,440,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
967,120,000 cap
Updated portfolio data from servicer & HAFA initial
1,632,630,000 cap
(6,308) $
(10,733) $
(1,015) $
1,144,040,562 Transfer of cap due to servicing transfer
78
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
10512
10512
10512
10512
10512
10512
10512
10512
10512
10512
10512
10512
10512
10512
4/17/2009 as amended
on 1/26/2010
Bank of America, N.A. (BAC Home Loans Servicing, LP)
13
Simi Valley
CA
Purchase
Financial Instrument for Home Loan Modifications
$
1,864,000,000
N/A
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
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
PA
Purchase
Financial Instrument for Home Loan Modifications
$
319,000,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
$
Reason for Adjustment
1/26/2010
$
800,390,000
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
$
1,555,141,084 Updated portfolio data from servicer
1/6/2011
$
(2,199) $
3/30/2011
$
(2,548) $
6/29/2011
$
(23,337) $
8/16/2011
$
(300,000) $
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) $
6/28/2012
$
(17,893) $
8/10/2012
$
(1,401,716,594) $
1,433,013,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,432,995,107 reallocation
Update of cap due to termination of SPA and
31,278,513 merger with BAC Home Loans, LP
6/12/2009
$
3,318,840,000
9/30/2009
$
12/30/2009
$
2,290,780,000
$
5,182,840,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
4,465,420,000 cap
Updated portfolio data from servicer & HAFA initial
6,756,200,000 cap
1/26/2010
$
450,100,000
$
7,206,300,000 Initial 2MP cap
3/26/2010
$
905,010,000
$
4/19/2010
$
10,280,000
$
6/16/2010
$
286,510,000
$
8,111,310,000 Updated portfolio data from servicer
Transfer of cap from Wilshire Credit Corporation
8,121,590,000 due to servicing transfer
Transfer of cap from Wilshire Credit Corporation
8,408,100,000 due to servicing transfer
7/14/2010
$
9/30/2010
$
105,500,000
$
(717,420,000) $
(1,787,300,000) $
$
2,433,020,000 Initial 2MP cap
1,555,138,885 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,555,136,337 reallocation
Updated due to quarterly assessment and
1,555,113,000 reallocation
6,620,800,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
6,726,300,000 initial RD-HAMP
9/30/2010
$
(614,527,362) $
6,111,772,638 Updated portfolio data from servicer
12/15/2010
$
236,000,000
$
6,347,772,638 Updated portfolio data from servicer
1/6/2011
$
(8,012) $
6,347,764,626 Updated portfolio data from servicer
2/16/2011
$
1,800,000
$
6,349,564,626 Transfer of cap due to servicing transfer
3/16/2011
$
100,000
$
3/30/2011
$
6,349,664,626 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,349,655,436 reallocation
4/13/2011
$
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) $
6,344,073,089 Transfer of cap due to servicing transfer
10/14/2011
$
120,600,000
$
10/19/2011
$
317,956,289
$
6,464,673,089 Transfer of cap due to servicing transfer
and Wilshire Credit Corporation due to merger.
6,782,629,378
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
6/14/2012
$
(8,860,000) $
6/28/2012
$
(58,550) $
7/16/2012
$
8/10/2012
$
8/16/2012
$
(4,780,000) $
9/27/2012
$
(205,946) $
10/16/2012
$
(153,220,000) $
7,903,801,476 Transfer of cap due to servicing transfer
11/15/2012
$
(27,300,000) $
7,876,501,476 Transfer of cap due to servicing transfer
12/14/2012
$
(50,350,000) $
12/27/2012
$
(33,515) $
7,826,151,476 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
7,826,117,961 reallocation
1/16/2013
$
(27,000,000) $
7,799,117,961 Transfer of cap due to servicing transfer
2/14/2013
$
(41,830,000) $
7,757,287,961 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
$
(9,190) $
$
(6,840,000) $
1,401,716,594
$
6,349,155,436 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,349,073,089 reallocation
6,667,189,378 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,667,130,828 reallocation
6,660,290,828 Transfer of cap due to servicing transfer
Transfer of cap (from Bank of America, N.A.) due
8,062,007,423 to merger
8,057,227,423 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
8,057,021,476 reallocation
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
79
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
10316
10316
10316
10316
10316
10316
10316
10316
10316
10316
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
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
Reason for Adjustment
3/26/2010
$
(17,440,000) $
622,410,000 Updated portfolio data from servicer
7/14/2010
$
(73,010,000) $
549,400,000 Updated portfolio data from servicer
9/30/2010
$
9/30/2010
$
(77,126,410) $
478,973,590 Updated portfolio data from servicer
12/15/2010
$
(314,900,000) $
164,073,590 Updated portfolio data from servicer
1/6/2011
$
(233) $
164,073,357 Updated portfolio data from servicer
2/16/2011
$
(1,900,000) $
3/16/2011
$
(400,000) $
3/30/2011
$
(278) $
5/13/2011
$
(400,000) $
6/29/2011
$
(2,625) $
10/19/2011
$
(155,061,221) $
6/12/2009
$
6,700,000
87,130,000
$
$
9/30/2009
$
(249,670,000) $
12/30/2009
$
119,700,000
$
3/26/2010
$
52,270,000
$
4/19/2010
$
(10,280,000) $
5/14/2010
$
(1,880,000) $
6/16/2010
$
(286,510,000) $
7/14/2010
$
7/16/2010
$
8/13/2010
$
9/30/2010
$
19,540,000
$
(210,000) $
(100,000) $
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) $
$
556,100,000 Initial FHA-2LP cap
162,173,357 Transfer of cap due to servicing transfer
161,773,357 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
161,773,079 reallocation
161,373,079 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
161,370,454 reallocation
6,309,233 Termination of SPA
453,130,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
203,460,000 cap
Updated portfolio data from servicer & HAFA initial
323,160,000 cap
375,430,000 Updated portfolio data from servicer
Transfer of cap to Countrywide Home Loans due
365,150,000 to servicing transfer
Transfer of cap to GMAC Mortgage, Inc. due to
363,270,000 servicing transfer
Transfer of cap to Countrywide Home Loans due
76,760,000 to servicing transfer
96,300,000 Updated portfolio data from servicer
Transfer of cap to Green Tree Servicing LLC due
96,090,000 to servicing transfer
95,990,000 Transfer of cap due to servicing transfer
164,555,782 Updated portfolio data from servicer
164,555,535 Updated portfolio data from servicer
Updated due to quarterly assessment and
164,555,241 reallocation
Updated due to quarterly assessment and
164,552,462 reallocation
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
$
130,910,000 Initial 2MP cap
9/30/2010
$
5,600,000
$
136,510,000 Initial FHA-2LP cap and FHA-HAMP
9/30/2010
$
10,185,090
$
146,695,090 Updated portfolio data from servicer
10/15/2010
$
400,000
$
147,095,090 Transfer of cap due to servicing transfer
1/6/2011
$
(213) $
3/30/2011
$
(250) $
5/13/2011
$
1,200,000
$
148,294,627 Transfer of cap due to servicing transfer
6/16/2011
$
100,000
$
6/29/2011
$
148,394,627 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
148,392,325 reallocation
7/14/2011
$
1,900,000
$
150,292,325 Transfer of cap due to servicing transfer
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
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
6/14/2012
$
920,000
$
6/28/2012
$
156,272,325 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
156,270,703 reallocation
7/16/2012
$
110,000
$
156,380,703 Transfer of cap due to servicing transfer
8/16/2012
$
5,120,000
$
9/27/2012
$
161,500,703 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
161,496,194 reallocation
10/16/2012
$
8,810,000
$
170,306,194 Transfer of cap due to servicing transfer
11/15/2012
$
2,910,000
$
12/27/2012
$
173,216,194 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
173,215,392 reallocation
2/14/2013
$
$
(2,302) $
(1,622) $
(4,509) $
(802) $
10,210,000
$
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
147,094,877 Updated portfolio data from servicer
Updated due to quarterly assessment and
147,094,627 reallocation
183,425,392 Transfer of cap due to servicing transfer
80
Servicer Modifying Borrowers' Loans
Name of Institution
Date
4/27/2009
Adjustment Details
City
Carrington Mortgage Services, LLC
Santa Ana
State
Transaction
Type
CA
Purchase
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Financial Instrument for Home Loan Modifications
$
195,000,000
Pricing
Mechanism
N/A
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
RBS
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
10231
10231
10231
10231
10231
10231
5/28/2009
Nationstar Mortgage LLC
Lewisville
10406
10406
10406
10406
10406
10406
10406
10406
10406
TX
Purchase
Financial Instrument for Home Loan Modifications
$
101,000,000
N/A
Note
Adjustment
Date
6/17/2009
Cap Adjustment Amount
$
Adjusted Cap
(63,980,000) $
Reason for Adjustment
9/30/2009
$
90,990,000
$
12/30/2009
$
57,980,000
$
131,020,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
222,010,000 cap
Updated portfolio data from servicer & HAFA initial
279,990,000 cap
3/26/2010
$
74,520,000
$
354,510,000 Updated portfolio data from servicer
7/14/2010
$
(75,610,000) $
278,900,000 Updated portfolio data from servicer
8/13/2010
$
1,100,000
$
280,000,000 Transfer of cap due to servicing transfer
9/30/2010
$
3,763,685
$
283,763,685 Updated portfolio data from servicer
12/15/2010
$
300,000
$
284,063,685 Updated portfolio data from servicer
1/6/2011
$
(325) $
284,063,360 Updated portfolio data from servicer
1/13/2011
$
3/30/2011
$
6/29/2011
$
8/16/2011
$
1,800,000
$
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
$
291,409,384 Transfer of cap due to servicing transfer
6/14/2012
$
2,240,000
$
6/28/2012
$
293,649,384 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
293,646,864 reallocation
7/16/2012
$
8/16/2012
$
(30,000) $
9/27/2012
$
(6,632) $
10/16/2012
$
2,880,000
$
298,180,232 Transfer of cap due to servicing transfer
11/15/2012
$
1,500,000
$
299,680,232 Transfer of cap due to servicing transfer
12/14/2012
$
2,040,000
$
12/27/2012
$
301,720,232 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
301,719,129 reallocation
1/16/2013
$
2/14/2013
$
4,960,000
6/17/2009
$
(338,450,000) $
9/30/2009
$
(11,860,000) $
12/30/2009
$
21,330,000
$
459,550,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
447,690,000 cap
Updated portfolio data from servicer & HAFA initial
469,020,000 cap
3/26/2010
$
9,150,000
$
478,170,000 Updated portfolio data from servicer
7/14/2010
$
(76,870,000) $
401,300,000 Updated portfolio data from servicer
9/1/2010
$
400,000
9/30/2010
$
(8,454,269) $
1/6/2011
$
(342) $
3/30/2011
$
(374) $
5/13/2011
$
6/29/2011
$
(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) $
6/28/2012
$
(1,768) $
7/16/2012
$
(90,000) $
410,549,974 Transfer of cap due to servicing transfer
8/16/2012
$
(134,230,000) $
276,319,974 Transfer of cap due to servicing transfer
8/23/2012
$
(166,976,849) $
9/27/2012
$
109,343,125 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
109,343,126 reallocation
11/15/2012
$
6/12/2009
$
16,140,000
$
9/30/2009
$
134,560,000
$
12/30/2009
$
80,250,000
$
117,140,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
251,700,000 cap
Updated portfolio data from servicer & HAFA initial
331,950,000 cap
3/26/2010
$
67,250,000
$
399,200,000 Updated portfolio data from servicer
7/14/2010
$
(85,900,000) $
313,300,000 Updated portfolio data from servicer
8/13/2010
$
100,000
$
9/30/2010
$
2,900,000
$
313,400,000 Transfer of cap due to servicing transfer
Initial FHA-HAMP cap, initial FHA-2LP cap, initial
316,300,000 RD-HAMP, and initial 2MP cap
2,400,000
$
(384) $
(3,592) $
(2,520) $
1,690,000
$
(1,103) $
(10,000) $
18,000,000
1
$
$
$
$
$
(230,000) $
286,463,360 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
286,462,976 reallocation
Updated due to quarterly assessment and
286,459,384 reallocation
295,336,864 Transfer of cap due to servicing transfer
295,306,864 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
295,300,232 reallocation
301,709,129 Transfer of cap due to servicing transfer
306,669,129 Transfer of cap due to servicing transfer
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
410,641,742 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
410,639,974 reallocation
109,113,126 Transfer of cap due to servicing transfer
9/30/2010
$
33,801,486
$
350,101,486 Updated portfolio data from servicer
11/16/2010
$
700,000
$
350,801,486 Transfer of cap due to servicing transfer
12/15/2010
$
1,700,000
$
352,501,486 Updated portfolio data from servicer
81
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
6/12/2009
Residential Credit Solutions, Inc.
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
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
10052
10052
10052
6/17/2009
RG Mortgage Corporation
San Juan
10131
10131
10131
10131
10131
10131
10131
PR
Purchase
Financial Instrument for Home Loan Modifications
$
57,000,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
(363) $
Reason for Adjustment
1/6/2011
$
2/16/2011
$
900,000
$
353,401,123 Transfer of cap due to servicing transfer
3/16/2011
$
29,800,000
$
3/30/2011
$
383,201,123 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
383,200,695 reallocation
5/26/2011
$
6/29/2011
$
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
6/14/2012
$
(2,380,000) $
6/28/2012
$
(2,957) $
7/16/2012
$
8/16/2012
$
131,450,000
$
529,850,993 Transfer of cap due to servicing transfer
8/23/2012
$
166,976,849
$
9/27/2012
$
(12,806) $
696,827,842 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
696,815,036 reallocation
11/15/2012
$
160,000
$
696,975,036 Transfer of cap due to servicing transfer
12/14/2012
$
50,000
$
12/27/2012
$
(1,882) $
697,025,036 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
697,023,154 reallocation
2/14/2013
$
(10,000) $
9/30/2009
$
(1,860,000) $
12/30/2009
$
27,920,000
3/26/2010
$
(1,390,000) $
7/14/2010
$
(13,870,000) $
9/30/2010
$
400,000
$
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) $
4/13/2011
$
6/29/2011
$
(329) $
(428) $
20,077,503
$
(4,248) $
$
(2,580,000) $
100,000
$
$
352,501,123 Updated portfolio data from servicer
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
400,983,950 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
400,980,993 reallocation
398,400,993 Transfer of cap due to servicing transfer
697,013,154 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
31,186,920 Updated portfolio data from servicer
Updated due to quarterly assessment and
31,186,883 reallocation
31,286,883 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
31,286,554 reallocation
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
5/16/2012
$
420,000
$
32,606,554 Transfer of cap due to servicing transfer
6/14/2012
$
8,060,000
$
6/28/2012
$
40,666,554 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
40,666,241 reallocation
7/16/2012
$
9/27/2012
$
10/16/2012
$
5,690,000
$
48,515,330 Transfer of cap due to servicing transfer
11/15/2012
$
20,000
$
12/27/2012
$
48,535,330 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
48,535,152 reallocation
2/14/2013
$
3,190,000
$
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
$
1/6/2011
$
(46) $
3/30/2011
$
(55) $
6/29/2011
$
(452) $
6/28/2012
$
(309) $
9/27/2012
$
(807) $
12/27/2012
$
(131) $
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 due to quarterly assessment and
42,645,484 reallocation
Updated due to quarterly assessment and
42,644,677 reallocation
Updated due to quarterly assessment and
42,644,546 reallocation
Updated portfolio data from servicer & HPDP initial
45,700,000 cap
Updated portfolio data from servicer & HAFA initial
3,490,000 cap
3/26/2010
$
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) $
37,040,795 Updated portfolio data from servicer
(313) $
2,160,000
$
(911) $
(178) $
7,846,346
$
42,826,241 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
42,825,330 reallocation
51,725,152 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP initial
29,590,000 cap
Updated portfolio data from servicer & HAFA initial
175,100,000 cap
42,646,346 Updated portfolio data from servicer
82
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
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
12
10126
9
10126
6/26/2009
Citizens First Wholesale Mortgage Company
The Villages
FL
Purchase
Financial Instrument for Home Loan Modifications
$
30,000
N/A
10002
10002
10002
10002
10002
6/26/2009
San Jose
Technology Credit Union
CA
Purchase
Financial Instrument for Home Loan Modifications
$
70,000
N/A
10014
10014
10014
10014
10014
10014
10014
10014
10014
6/26/2009
Miamisburg
National City Bank
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
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
3/30/2011
$
(65) $
6/29/2011
$
(616) $
6/28/2012
$
(462) $
9/27/2012
$
(1,270) $
12/27/2012
$
12/30/2009
$
2,020,000
$
Updated due to quarterly assessment and
37,040,730 reallocation
Updated due to quarterly assessment and
37,040,114 reallocation
Updated due to quarterly assessment and
37,039,652 reallocation
Updated due to quarterly assessment and
37,038,382 reallocation
Updated due to quarterly assessment and
37,038,168 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
$
3/26/2010
$
(14,260,000) $
3,100,000 Updated portfolio data from servicer
7/14/2010
$
(1,800,000) $
1,300,000 Updated portfolio data from servicer
7/30/2010
$
1,500,000
$
2,800,000 Updated portfolio data from servicer
9/30/2010
$
1,551,668
$
4,351,668 Updated portfolio data from servicer
1/6/2011
$
(2) $
3/30/2011
$
(2) $
5/13/2011
$
(1,800,000) $
6/3/2011
$
(1,872,787) $
6/14/2012
$
990,000
$
9/27/2012
$
372,177
$
9/30/2009
$
(10,000) $
12/30/2009
$
590,000
3/26/2010
$
(580,000) $
7/14/2010
$
9/30/2010
$
2/17/2011
$
12/30/2009
$
3/26/2010
$
(720,000) $
1,530,000 Updated portfolio data from servicer
7/14/2010
$
(430,000) $
1,100,000 Updated portfolio data from servicer
9/30/2010
$
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(12) $
6/28/2012
$
(9) $
9/27/2012
$
(23) $
12/27/2012
$
9/30/2009
$
315,170,000
$
12/30/2009
$
90,280,000
$
3/26/2010
$
(18,690,000) $
7/14/2010
$
(272,640,000) $
9/30/2010
$
80,600,000
$
409,100,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, Initial FHA-2LP cap, and
489,700,000 initial 2MP cap
9/30/2010
$
71,230,004
$
560,930,004 Updated portfolio data from servicer
1/6/2011
$
(828) $
560,929,176 Updated portfolio data from servicer
2/16/2011
$
200,000
3/16/2011
$
(100,000) $
3/30/2011
$
(981) $
4/13/2011
$
(2,300,000) $
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
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
558,618,998 Transfer of cap due to servicing transfer
6/14/2012
$
(10,000) $
6/28/2012
$
(6,771) $
9/27/2012
$
(18,467) $
12/27/2012
$
(3,105) $
(214) $
$
- Termination of SPA
Updated portfolio data from servicer & HPDP initial
870,000 cap
Updated portfolio data from servicer & HAFA initial
17,360,000 cap
4,351,666 Updated portfolio data from servicer
Updated due to quarterly assessment and
4,351,664 reallocation
2,551,664 Transfer of cap due to servicing transfer
678,877 Termination of SPA
1,668,877 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
2,041,054 reallocation
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
70,000
$
100,000 Updated portfolio data from servicer
45,056
$
145,056 Updated portfolio data from servicer
(145,056) $
2,180,000
60,445
$
$
(4) $
$
$
- 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 due to quarterly assessment and
1,160,422 reallocation
Updated due to quarterly assessment and
1,160,399 reallocation
Updated due to quarterly assessment and
1,160,395 reallocation
Updated portfolio data from servicer & HPDP initial
610,150,000 cap
Updated portfolio data from servicer & HAFA initial
700,430,000 cap
681,740,000 Updated portfolio data from servicer
561,129,176 Transfer of cap due to servicing transfer
561,029,176 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
561,028,195 reallocation
558,608,998 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
558,602,227 reallocation
Updated due to quarterly assessment and
558,583,760 reallocation
Updated due to quarterly assessment and
558,580,655 reallocation
83
Servicer Modifying Borrowers' Loans
7/1/2009
Adjustment Details
Name of Institution
Date
City
Wachovia Mortgage, FSB
Des Moines
State
Transaction
Type
IA
Purchase
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Financial Instrument for Home Loan Modifications
$
634,010,000
Pricing
Mechanism
Note
N/A
1000642
1000642
3
1000642
7/1/2009
Bayview Loan Servicing, LLC
Coral Gables
FL
Purchase
Financial Instrument for Home Loan Modifications
$
44,260,000
N/A
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
7/10/2009
Lake National Bank
Mentor
OH
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
10355
10355
10355
10355
10355
10355
10355
10355
10355
7/10/2009
IBM Southeast Employees' Federal Credit Union
12
Delray Beach
FL
Purchase
Financial Instrument for Home Loan Modifications
$
870,000
N/A
10029
10029
10029
10029
10029
10029
10029
10029
10029
7/17/2009
MorEquity, Inc.
12
Evansville
1000957
1000957
1000957
1000957
1000957
IN
Purchase
Financial Instrument for Home Loan Modifications
$
23,480,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
723,880,000
$
692,640,000
$
Reason for Adjustment
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
9/30/2009
$
12/30/2009
$
2/17/2010
$
3/12/2010
$
9/30/2009
$
23,850,000
$
12/30/2009
$
43,590,000
$
3/26/2010
$
34,540,000
$
146,240,000 Updated portfolio data from servicer
5/7/2010
$
1,010,000
$
147,250,000 Initial 2MP cap
7/14/2010
$
(34,250,000) $
9/30/2010
$
600,000
9/30/2010
$
(15,252,303) $
1/6/2011
$
(70) $
3/30/2011
$
(86) $
4/13/2011
$
400,000
$
98,747,541 Transfer of cap due to servicing transfer
5/13/2011
$
100,000
$
6/29/2011
$
98,847,541 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
98,846,770 reallocation
(2,050,236,344) $
(54,767) $
$
(771) $
113,000,000 Updated portfolio data from servicer
113,600,000 Initial FHA-2LP cap
98,347,697 Updated portfolio data from servicer
98,347,627 Updated portfolio data from servicer
Updated due to quarterly assessment and
98,347,541 reallocation
9/15/2011
$
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
5/16/2012
$
30,000
$
83,976,770 Transfer of cap due to servicing transfer
6/14/2012
$
1,810,000
$
6/28/2012
$
85,786,770 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
85,786,262 reallocation
7/16/2012
$
9/27/2012
$
10/16/2012
$
160,000
$
11/15/2012
$
6,970,000
$
95,575,013 Transfer of cap due to servicing transfer
12/14/2012
$
13,590,000
$
12/27/2012
$
109,165,013 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
109,164,715 reallocation
1/16/2013
$
90,000
$
109,254,715 Transfer of cap due to servicing transfer
2/14/2013
$
3,250,000
$
9/30/2009
$
150,000
$
12/30/2009
$
130,000
$
112,504,715 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) $
6/29/2011
$
(6) $
6/28/2012
$
(4) $
8/23/2012
$
(424,504) $
9/30/2009
$
(10,000) $
12/30/2009
$
250,000
3/26/2010
$
(10,000) $
1,100,000 Updated portfolio data from servicer
7/14/2010
$
(400,000) $
700,000 Updated portfolio data from servicer
9/30/2010
$
170,334
870,334 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(12) $
6/28/2012
$
(9) $
9/14/2012
$
(821,722) $
9/30/2009
$
18,530,000
$
12/30/2009
$
24,510,000
$
48,589 Termination of SPA
Updated portfolio data from servicer & HPDP initial
42,010,000 cap
Updated portfolio data from servicer & HAFA initial
66,520,000 cap
3/26/2010
$
18,360,000
$
84,880,000 Updated portfolio data from servicer
7/14/2010
$
(22,580,000) $
62,300,000 Updated portfolio data from servicer
9/30/2010
$
(8,194,261) $
54,105,739 Updated portfolio data from servicer
1/6/2011
$
(37) $
54,105,702 Updated portfolio data from servicer
(508) $
2,660,000
$
(1,249) $
(298) $
$
$
$
88,446,262 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
88,445,013 reallocation
88,605,013 Transfer of cap due to servicing transfer
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 due to quarterly assessment and
435,155 reallocation
10,651 Termination of SPA
Updated portfolio data from servicer & HPDP initial
860,000 cap
Updated portfolio data from servicer & HAFA initial
1,110,000 cap
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,320 reallocation
Updated due to quarterly assessment and
870,311 reallocation
84
Servicer Modifying Borrowers' Loans
Adjustment Details
Name of Institution
Date
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
1000957
1000957
11
1000957
7/17/2009
PNC Bank, National Association
Pittsburgh
PA
Purchase
Financial Instrument for Home Loan Modifications
$
54,470,000
N/A
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
7/17/2009
Farmers State Bank
West Salem
OH
Purchase
Financial Instrument for Home Loan Modifications
$
170,000
N/A
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
10257
10257
10257
7/22/2009
Homeward Residential, Inc. (American Home Mortgage
Servicing, Inc)
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
Coppell
TX
Purchase
Financial Instrument for Home Loan Modifications
$
1,272,490,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
3/16/2011
$
(29,400,000) $
3/30/2011
$
(34) $
5/26/2011
$
(20,077,503) $
(36,240,000) $
Reason for Adjustment
9/30/2009
$
12/30/2009
$
19,280,000
$
24,705,702 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
24,705,668 reallocation
Termination of SPA
4,628,165 (remaining cap equals distribution amount)
Updated portfolio data from servicer & HPDP initial
18,230,000 cap
Updated portfolio data from servicer & HAFA initial
37,510,000 cap
3/26/2010
$
2,470,000
$
39,980,000 Updated portfolio data from servicer
7/14/2010
$
(17,180,000) $
22,800,000 Updated portfolio data from servicer
9/30/2010
$
35,500,000
$
58,300,000 Initial FHA-2LP cap and initial 2MP cap
9/30/2010
$
23,076,191
$
81,376,191 Updated portfolio data from servicer
1/6/2011
$
(123) $
3/30/2011
$
(147) $
5/13/2011
$
(100,000) $
6/29/2011
$
(1,382) $
10/14/2011
$
(300,000) $
6/28/2012
$
(1,003) $
(2,745) $
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 due to quarterly assessment and
80,973,536 reallocation
Updated due to quarterly assessment and
80,970,791 reallocation
Updated due to quarterly assessment and
80,970,331 reallocation
Updated portfolio data from servicer & HPDP initial
80,000 cap
Updated portfolio data from servicer & HAFA initial
130,000 cap
9/27/2012
$
12/27/2012
$
(460) $
9/30/2009
$
(90,000) $
12/30/2009
$
50,000
$
3/26/2010
$
100,000
$
230,000 Updated portfolio data from servicer
7/14/2010
$
(130,000) $
100,000 Updated portfolio data from servicer
9/30/2010
$
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
3,771,446 Updated portfolio data from servicer
1/6/2011
$
(3) $
3/30/2011
$
(4) $
4/13/2011
$
(1,100,000) $
6/29/2011
$
(38) $
6/28/2012
$
(29) $
9/27/2012
$
(79) $
12/27/2012
$
(13) $
9/30/2009
$
(53,670,000) $
12/30/2009
$
250,450,000
$
2,671,439 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
2,671,401 reallocation
Updated due to quarterly assessment and
2,671,372 reallocation
Updated due to quarterly assessment and
2,671,293 reallocation
Updated due to quarterly assessment and
2,671,280 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
3/26/2010
$
124,820,000
$
1,594,090,000 Updated portfolio data from servicer
7/14/2010
$
(289,990,000) $
1,304,100,000 Updated portfolio data from servicer
9/30/2010
$
1,690,508
$
1,305,790,508 Updated portfolio data from servicer
10/15/2010
$
300,000
$
1,306,090,508 Transfer of cap due to servicing transfer
11/16/2010
$
(100,000) $
1,305,990,508 Transfer of cap due to servicing transfer
1/6/2011
$
(1,173) $
2/16/2011
$
(500,000) $
3/30/2011
$
(1,400) $
4/13/2011
$
6/29/2011
$
(12,883) $
45,056
3,100,000
$
$
$
145,056 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
3,771,443 Updated portfolio data from servicer
Updated due to quarterly assessment and
3,771,439 reallocation
1,305,989,335 Updated portfolio data from servicer
1,305,489,335 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,305,487,935 reallocation
1,308,587,935 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,308,575,052 reallocation
9/15/2011
$
(1,000,000) $
1,307,575,052 Transfer of cap due to servicing transfer
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) $
6/28/2012
$
(8,378) $
7/16/2012
$
(470,000) $
8/16/2012
$
(80,000) $
9/27/2012
$
(22,494) $
10/16/2012
$
(260,000) $
1,305,524,180 Transfer of cap due to servicing transfer
11/15/2012
$
(30,000) $
1,305,494,180 Transfer of cap due to servicing transfer
12/14/2012
$
(50,000) $
12/27/2012
$
(3,676) $
1,305,444,180 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,305,440,504 reallocation
1,306,365,052 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,306,356,674 reallocation
1,305,886,674 Transfer of cap due to servicing transfer
1,305,806,674 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,305,784,180 reallocation
85
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
10727
10727
7/22/2009
Mortgage Center, LLC
Southfield
MI
Purchase
Financial Instrument for Home Loan Modifications
$
4,210,000
N/A
10439
10439
10439
10439
10439
10439
10439
10439
10439
10439
7/22/2009
Mission Federal Credit Union
San Diego
CA
Purchase
Financial Instrument for Home Loan Modifications
$
860,000
N/A
1000455
1000455
1000455
1000455
1000455
1000455
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
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
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
1/16/2013
$
2/14/2013
9/30/2009
Adjusted Cap
Reason for Adjustment
(80,000) $
1,305,360,504 Transfer of cap due to servicing transfer
$
20,000
$
$
1,780,000
$
12/30/2009
$
2,840,000
$
1,305,380,504 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
3/26/2010
$
2,800,000
$
11,630,000 Updated portfolio data from servicer
7/14/2010
$
(5,730,000) $
5,900,000 Updated portfolio data from servicer
9/30/2010
$
2,658,280
8,558,280 Updated portfolio data from servicer
1/6/2011
$
(12) $
3/30/2011
$
(14) $
6/29/2011
$
(129) $
6/28/2012
$
(94) $
9/27/2012
$
(256) $
12/27/2012
$
(43) $
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) $
6/28/2012
$
(1) $
9/27/2012
$
(1) $
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 due to quarterly assessment and
725,272 reallocation
Updated due to quarterly assessment and
725,271 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) $
6/29/2011
$
(15) $
6/28/2012
$
(3) $
9/27/2012
$
(5) $
12/27/2012
$
(1) $
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 due to quarterly assessment and
8,123,092 reallocation
Updated due to quarterly assessment and
8,123,087 reallocation
Updated due to quarterly assessment and
8,123,086 reallocation
Updated portfolio data from servicer & HPDP initial
1,030,000 cap
Updated portfolio data from servicer & HAFA initial
2,290,000 cap
3/26/2010
$
2,070,000
$
4,360,000 Updated portfolio data from servicer
7/14/2010
$
(3,960,000) $
400,000 Updated portfolio data from servicer
9/30/2010
$
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(8) $
6/28/2012
$
(6) $
9/27/2012
$
(17) $
12/27/2012
$
(3) $
9/30/2009
$
(37,700,000) $
12/30/2009
$
26,160,000
$
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
Updated due to quarterly assessment and
580,206 reallocation
Updated due to quarterly assessment and
580,189 reallocation
Updated due to quarterly assessment and
580,186 reallocation
Updated portfolio data from servicer & HPDP initial
47,320,000 cap
Updated portfolio data from servicer & HAFA initial
73,480,000 cap
3/26/2010
$
9,820,000
$
83,300,000 Updated portfolio data from servicer
7/14/2010
$
(46,200,000) $
37,100,000 Updated portfolio data from servicer
9/30/2010
$
(28,686,775) $
8,413,225 Updated portfolio data from servicer
12/3/2010
$
(8,413,225) $
9/30/2009
$
(14,850,000) $
12/30/2009
$
1,178,180,000
$
3/26/2010
$
1,006,580,000
$
7/14/2010
$
(1,934,230,000) $
9/30/2010
$
72,400,000
$
2,935,400,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, Initial FHA-2LP cap, and
3,007,800,000 initial RD-HAMP
9/30/2010
$
215,625,536
$
3,223,425,536 Updated portfolio data from servicer
1/6/2011
$
(3,636) $
3,223,421,900 Updated portfolio data from servicer
3/16/2011
$
(100,000) $
3/30/2011
$
(3,999) $
180,222
$
$
$
$
$
8,558,268 Updated portfolio data from servicer
Updated due to quarterly assessment and
8,558,254 reallocation
Updated due to quarterly assessment and
8,558,125 reallocation
Updated due to quarterly assessment and
8,558,031 reallocation
Updated due to quarterly assessment and
8,557,775 reallocation
Updated due to quarterly assessment and
8,557,732 reallocation
Updated portfolio data from servicer & HPDP initial
370,000 cap
Updated portfolio data from servicer & HAFA initial
7,120,000 cap
580,222 Updated portfolio data from servicer
- Termination of SPA
Updated portfolio data from servicer & HPDP initial
2,684,870,000 cap
Updated portfolio data from servicer & HAFA initial
3,863,050,000 cap
Updated portfolio data from servicer & 2MP initial
4,869,630,000 cap
3,223,321,900 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,223,317,901 reallocation
86
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
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
1000840
1000840
1000840
8/5/2009
Oakland Municipal Credit Union
Oakland
CA
Purchase
Financial Instrument for Home Loan Modifications
$
140,000
N/A
1000609
1000609
1000609
1000609
1000609
1000609
1000609
1000609
1000609
12
Adjustment
Date
Cap Adjustment Amount
4/13/2011
$
5/13/2011
$
6/29/2011
$
7/14/2011
8/16/2011
Adjusted Cap
(200,000) $
122,700,000
$
Reason for Adjustment
3,223,117,901 Transfer of cap due to servicing transfer
(34,606) $
3,345,817,901 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,345,783,295 reallocation
$
600,000
$
3,346,383,295 Transfer of cap due to servicing transfer
$
(400,000) $
3,345,983,295 Transfer of cap due to servicing transfer
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) $
3,862,294,604 Transfer of cap due to servicing transfer
5/16/2012
$
(126,080,000) $
3,736,214,604 Transfer of cap due to servicing transfer
6/14/2012
$
(1,620,000) $
6/28/2012
$
(16,192) $
7/16/2012
$
(2,300,000) $
8/16/2012
$
(20,000) $
9/27/2012
$
(37,341) $
10/16/2012
$
(1,130,000) $
3,731,091,071 Transfer of cap due to servicing transfer
11/15/2012
$
(3,770,000) $
3,727,321,071 Transfer of cap due to servicing transfer
12/14/2012
$
(180,000) $
12/27/2012
$
(4,535) $
1/16/2013
$
(60,000) $
2/14/2013
$
(520,000) $
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
9/30/2010
$
(8,006,457) $
10/15/2010
$
(100,000) $
12/15/2010
$
(4,400,000) $
683,063,543 Updated portfolio data from servicer
1/6/2011
$
(802) $
683,062,741 Updated portfolio data from servicer
2/16/2011
$
(900,000) $
3/16/2011
$
(4,000,000) $
3/30/2011
$
(925) $
5/13/2011
$
(122,900,000) $
6/29/2011
$
(8,728) $
$
$
3,734,594,604 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,734,578,412 reallocation
3,732,278,412 Transfer of cap due to servicing transfer
3,732,258,412 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,732,221,071 reallocation
3,727,141,071 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,727,136,536 reallocation
3,727,076,536 Transfer of cap due to servicing transfer
3,726,556,536 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
683,100,000 Updated portfolio data from servicer
682,470,000 Transfer of cap to Saxon Mortgage Services, Inc.
695,570,000 Initial FHA-HAMP cap and initial FHA-2LP cap
687,563,543 Updated portfolio data from servicer
687,463,543 Transfer of cap due to servicing transfer
682,162,741 Transfer of cap due to servicing transfer
678,162,741 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
678,161,816 reallocation
555,261,816 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
555,253,088 reallocation
7/14/2011
$
(600,000) $
10/19/2011
$
(519,211,309) $
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) $
6/28/2012
$
(2) $
9/27/2012
$
(7) $
12/27/2012
$
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 due to quarterly assessment and
290,106 reallocation
Updated due to quarterly assessment and
290,099 reallocation
Updated due to quarterly assessment and
290,098 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
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) $
$
$
(1) $
554,653,088 Transfer of cap due to servicing transfer
35,441,779 Termination of SPA
Updated portfolio data from servicer & HPDP initial
600,000 cap
Updated portfolio data from servicer & HAFA initial
250,000 cap
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
87
Servicer Modifying Borrowers' Loans
Name of Institution
Date
8/5/2009
Adjustment Details
City
HomEq Servicing
North Highlands
State
Transaction
Type
CA
Purchase
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Financial Instrument for Home Loan Modifications
$
674,000,000
Pricing
Mechanism
N/A
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
8/12/2009
Litton Loan Servicing, LP
Houston
TX
Purchase
Financial Instrument for Home Loan Modifications
$
774,900,000
N/A
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
8/12/2009
PennyMac Loan Services, LLC
Calasbasa
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
CA
Purchase
Financial Instrument for Home Loan Modifications
$
6,210,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
9/30/2009
$
12/30/2009
$
(36,290,000) $
Updated portfolio data from servicer & HPDP initial
552,810,000 cap
Updated portfolio data from servicer & HAFA initial
516,520,000 cap
3/26/2010
$
199,320,000
$
715,840,000 Updated portfolio data from servicer
7/14/2010
$
(189,040,000) $
526,800,000 Updated portfolio data from servicer
9/30/2010
$
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) $
6/28/2012
$
(4,634) $
8/16/2012
$
(430,000) $
9/27/2012
$
(12,728) $
12/14/2012
$
(20,000) $
12/27/2012
$
(2,148) $
(121,190,000) $
38,626,728
$
565,426,728 Updated portfolio data from servicer
394,626,728 Transfer of cap due to servicing transfer
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 due to quarterly assessment and
371,514,724 reallocation
371,084,724 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
371,071,996 reallocation
9/30/2009
$
313,050,000
$
12/30/2009
$
275,370,000
$
371,051,996 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
371,049,848 reallocation
Updated portfolio data from servicer & HPDP initial
1,087,950,000 cap
Updated portfolio data from servicer & HAFA initial
1,363,320,000 cap
3/26/2010
$
278,910,000
$
1,642,230,000 Updated portfolio data from servicer
7/14/2010
$
(474,730,000) $
1,167,500,000 Updated portfolio data from servicer
8/13/2010
$
(700,000) $
1,166,800,000 Transfer of cap to due to servicing transfer
9/15/2010
$
(1,000,000) $
1,165,800,000 Transfer of cap to due to servicing transfer
9/30/2010
$
(115,017,236) $
10/15/2010
$
(800,000) $
1,049,982,764 Transfer of cap due to servicing transfer
12/15/2010
$
800,000
$
1,050,782,764 Updated portfolio data from servicer
1/6/2011
$
(1,286) $
1,050,781,478 Updated portfolio data from servicer
3/16/2011
$
3/30/2011
$
(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
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) $
6/28/2012
$
(9,728) $
8/16/2012
$
(7,990,000) $
9/27/2012
$
(26,467) $
12/27/2012
$
(4,466) $
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
$
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
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) $
52,956,731 Updated portfolio data from servicer
1/13/2011
$
2/16/2011
$
3/16/2011
$
8,800,000
$
(18,020,000) $
4,100,000
$
$
1,050,782,764 Updated portfolio data from servicer
1,059,581,478 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,059,580,008 reallocation
853,566,911 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
853,557,183 reallocation
845,567,183 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
845,540,716 reallocation
Updated due to quarterly assessment and
845,536,250 reallocation
Updated portfolio data from servicer & HPDP initial
5,010,000 cap
Updated portfolio data from servicer & HAFA initial
35,810,000 cap
59,010,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
61,720,000 servicing transfer
$
57,056,731 Transfer of cap due to servicing transfer
(100,000) $
56,956,731 Transfer of cap due to servicing transfer
4,000,000
$
60,956,731 Transfer of cap due to servicing transfer
88
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
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
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
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
(94) $
Reason for Adjustment
Updated due to quarterly assessment and
60,956,637 reallocation
3/30/2011
$
4/13/2011
$
5/13/2011
$
5,800,000
$
66,656,637 Transfer of cap due to servicing transfer
6/16/2011
$
600,000
$
6/29/2011
$
67,256,637 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
67,255,825 reallocation
7/14/2011
$
2,500,000
$
69,755,825 Transfer of cap due to servicing transfer
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
$
76,855,825 Transfer of cap due to servicing transfer
6/14/2012
$
1,340,000
$
6/28/2012
$
78,195,825 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
78,195,485 reallocation
7/16/2012
$
2,930,000
$
81,125,485 Transfer of cap due to servicing transfer
8/16/2012
$
890,000
$
9/27/2012
$
82,015,485 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
82,014,511 reallocation
10/16/2012
$
1,800,000
$
83,814,511 Transfer of cap due to servicing transfer
12/14/2012
$
3,860,000
$
12/27/2012
$
87,674,511 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
87,674,357 reallocation
2/14/2013
$
9/30/2009
$
12/30/2009
$
520,000
$
3/26/2010
$
4,330,000
$
4/19/2010
$
230,000
$
5/19/2010
$
850,000
$
7/14/2010
$
(850,000) $
9,300,000 Updated portfolio data from servicer
9/15/2010
$
100,000
$
9,400,000 Transfer of cap to due to servicing transfer
9/30/2010
$
100,000
$
9/30/2010
$
16,755,064
$
26,255,064 Updated portfolio data from servicer
10/15/2010
$
100,000
$
26,355,064 Transfer of cap due to servicing transfer
12/15/2010
$
100,000
$
26,455,064 Updated portfolio data from servicer
1/6/2011
$
(40) $
26,455,024 Updated portfolio data from servicer
1/13/2011
$
300,000
$
26,755,024 Transfer of cap due to servicing transfer
2/16/2011
$
100,000
$
26,855,024 Transfer of cap due to servicing transfer
3/16/2011
$
2,200,000
$
3/30/2011
$
29,055,024 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
29,054,972 reallocation
4/13/2011
$
1,500,000
$
30,554,972 Transfer of cap due to servicing transfer
5/13/2011
$
1,000,000
$
31,554,972 Transfer of cap due to servicing transfer
6/16/2011
$
100,000
$
6/29/2011
$
31,654,972 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
31,654,438 reallocation
8/16/2011
$
700,000
$
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
6/14/2012
$
1,560,000
6/28/2012
$
40,334,438 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
40,333,973 reallocation
8/16/2012
$
70,000
9/27/2012
$
(1,272) $
10/16/2012
$
2,100,000
$
42,502,701 Transfer of cap due to servicing transfer
11/15/2012
$
1,340,000
$
43,842,701 Transfer of cap due to servicing transfer
12/14/2012
$
1,160,000
$
45,002,701 Transfer of cap due to servicing transfer
(100,000) $
(812) $
(340) $
(974) $
(154) $
2,980,000
$
(25,510,000) $
(52) $
(534) $
$
(465) $
$
60,856,637 Transfer of cap due to servicing transfer
90,654,357 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
9,500,000 Initial FHA-HAMP cap
40,403,973 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
40,402,701 reallocation
89
Servicer Modifying Borrowers' Loans
Adjustment Details
Name of Institution
Date
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
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
10008
10008
10008
8/28/2009
Stanford Federal Credit Union
Palo Alto
CA
Purchase
Financial Instrument for Home Loan Modifications
$
300,000
N/A
1000576
1000576
1000576
1000576
1000576
8/28/2009
RoundPoint Mortgage Servicing Corporation
Charlotte
NC
Purchase
Financial Instrument for Home Loan Modifications
$
570,000
N/A
1001011
1001011
1001011
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
1001018
1001018
1001018
9/2/2009 as amended
on 8/27/2010
Vantium Capital, Inc.dba Acqura Loan Services
Plano
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
TX
Purchase
Financial Instrument for Home Loan Modifications
$
6,000,000
N/A
10
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
(239) $
Reason for Adjustment
Updated due to quarterly assessment and
45,002,462 reallocation
12/27/2012
$
1/16/2013
$
210,000
$
2/14/2013
$
1,790,000
$
10/2/2009
$
145,800,000
$
12/30/2009
$
1,355,930,000
$
814,240,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
2,170,170,000 cap
3/26/2010
$
121,180,000
$
2,291,350,000 Updated portfolio data from servicer
7/14/2010
$
(408,850,000) $
1,882,500,000 Updated portfolio data from servicer
9/30/2010
$
5,500,000
9/30/2010
$
(51,741,163) $
1/6/2011
$
(2,282) $
3/30/2011
$
(2,674) $
6/29/2011
$
(24,616) $
6/28/2012
$
(15,481) $
9/27/2012
$
(40,606) $
12/27/2012
$
(6,688) $
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
3/23/2010
$
(290,111) $
10/2/2009
$
130,000
12/30/2009
$
3/26/2010
$
2,110,000
$
2,500,000 Updated portfolio data from servicer
7/14/2010
$
8,300,000
$
10,800,000 Updated portfolio data from servicer
9/30/2010
$
5,301,172
$
16,101,172 Updated portfolio data from servicer
1/6/2011
$
(22) $
16,101,150 Updated portfolio data from servicer
3/16/2011
$
(400,000) $
3/30/2011
$
(25) $
6/29/2011
$
(232) $
6/28/2012
$
(174) $
9/27/2012
$
(479) $
11/15/2012
$
(350,000) $
12/27/2012
$
(82) $
$
$
(310,000) $
45,212,462 Transfer of cap due to servicing transfer
47,002,462 Transfer of cap due to servicing transfer
1,888,000,000 2MP initial cap
1,836,258,837 Updated portfolio data from servicer
1,836,256,555 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,836,253,881 reallocation
Updated due to quarterly assessment and
1,836,229,265 reallocation
Updated due to quarterly assessment and
1,836,213,784 reallocation
Updated due to quarterly assessment and
1,836,173,178 reallocation
Updated due to quarterly assessment and
1,836,166,490 reallocation
- Termination of SPA
700,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
390,000 cap
15,701,150 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,701,125 reallocation
Updated due to quarterly assessment and
15,700,893 reallocation
Updated due to quarterly assessment and
15,700,719 reallocation
Updated due to quarterly assessment and
15,700,240 reallocation
15,350,240 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,350,158 reallocation
10/2/2009
$
130,000
$
12/30/2009
$
1,040,000
$
3/26/2010
$
(1,680,000) $
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
$
9/30/2010
$
(9,889) $
6/29/2011
$
(3) $
6/28/2012
$
(2) $
9/27/2012
$
(7) $
12/27/2012
$
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
$
8,300,000 Transfer of cap due to servicing transfer
9/30/2010
$
117,764
$
8,417,764 Updated portfolio data from servicer
11/16/2010
$
800,000
$
12/15/2010
$
2,700,000
$
11,917,764 Updated portfolio data from servicer
(17) $
11,917,747 Updated portfolio data from servicer
100,000
$
(1) $
$
690,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
1,730,000 cap
50,000 Updated portfolio data from servicer
300,000 Initial RD-HAMP
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
290,108 reallocation
Updated due to quarterly assessment and
290,106 reallocation
Updated due to quarterly assessment and
290,099 reallocation
Updated due to quarterly assessment and
290,098 reallocation
7,310,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
3,920,000 cap
9,217,764 Transfer of cap due to servicing transfer
1/6/2011
$
1/13/2011
$
700,000
$
12,617,747 Transfer of cap due to servicing transfer
2/16/2011
$
1,800,000
$
3/30/2011
$
14,417,747 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,417,728 reallocation
4/13/2011
$
6/29/2011
$
(19) $
300,000
$
(189) $
14,717,728 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,717,539 reallocation
90
Servicer Modifying Borrowers' Loans
Date
Adjustment Details
Name of Institution
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
10354
10354
10354
10354
10354
10354
10354
10354
10354
9/9/2009
Central Florida Educators Federal Credit Union
Lake Mary
FL
Purchase
Financial Instrument for Home Loan Modifications
$
1,250,000
N/A
1000890
1000890
1000890
1000890
1000890
1000890
1000890
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
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
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
1000467
1000467
1000467
9/11/2009
Allstate Mortgage Loans & Investments, Inc.
Ocala
1001029
1001029
1001029
1001029
1001029
FL
Purchase
Financial Instrument for Home Loan Modifications
$
250,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
8/16/2011
$
300,000
$
15,017,539 Transfer of cap due to servicing transfer
9/15/2011
$
100,000
$
15,117,539 Transfer of cap due to servicing transfer
10/14/2011
$
100,000
$
6/28/2012
$
(147) $
15,217,539 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,217,392 reallocation
7/16/2012
$
(10,000) $
9/27/2012
$
(413) $
11/15/2012
$
(40,000) $
12/27/2012
$
(71) $
2/14/2013
$
(770,000) $
10/2/2009
$
280,000
12/30/2009
$
(750,000) $
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
$
6/28/2012
$
21,717
$
9/27/2012
$
190,077
$
12/27/2012
$
35,966
$
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) $
6/28/2012
$
(746) $
9/27/2012
$
(1,926) $
12/27/2012
$
10/2/2009
$
950,000
$
12/30/2009
$
5,700,000
$
5,300,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
11,000,000 cap
3/26/2010
$
740,000
$
11,740,000 Updated portfolio data from servicer
7/14/2010
$
(1,440,000) $
10,300,000 Updated portfolio data from servicer
9/30/2010
$
(6,673,610) $
3,626,390 Updated portfolio data from servicer
1/6/2011
$
(5) $
3/30/2011
$
(6) $
6/29/2011
$
(52) $
6/28/2012
$
(38) $
9/27/2012
$
(107) $
12/27/2012
$
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
$
1/6/2011
$
(10) $
3/30/2011
$
(12) $
6/29/2011
$
(115) $
6/28/2012
$
(86) $
9/27/2012
$
(236) $
12/27/2012
$
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
$
6/29/2011
$
$
$
(5) $
$
(308) $
(18) $
1,817,613
$
(40) $
45,056
$
$
(1) $
15,207,392 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,206,979 reallocation
15,166,979 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,166,908 reallocation
14,396,908 Transfer of cap due to servicing transfer
1,530,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
780,000 cap
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,327 reallocation
Updated due to quarterly assessment and
892,044 reallocation
Updated due to quarterly assessment and
1,082,121 reallocation
Updated due to quarterly assessment and
1,118,087 reallocation
181,174,284 Updated portfolio data from servicer
Updated due to quarterly assessment and
181,174,112 reallocation
Updated due to quarterly assessment and
181,172,681 reallocation
Updated due to quarterly assessment and
181,171,935 reallocation
Updated due to quarterly assessment and
181,170,009 reallocation
Updated due to quarterly assessment and
181,169,701 reallocation
3,626,385 Updated portfolio data from servicer
Updated due to quarterly assessment and
3,626,379 reallocation
Updated due to quarterly assessment and
3,626,327 reallocation
Updated due to quarterly assessment and
3,626,289 reallocation
Updated due to quarterly assessment and
3,626,182 reallocation
Updated due to quarterly assessment and
3,626,164 reallocation
2,530,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
5,260,000 cap
6,817,613 Updated portfolio data from servicer
6,817,603 Updated portfolio data from servicer
Updated due to quarterly assessment and
6,817,591 reallocation
Updated due to quarterly assessment and
6,817,476 reallocation
Updated due to quarterly assessment and
6,817,390 reallocation
Updated due to quarterly assessment and
6,817,154 reallocation
Updated due to quarterly assessment and
6,817,114 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
91
Servicer Modifying Borrowers' Loans
Date
Adjustment Details
Name of Institution
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
1001029
1001029
9/11/2009
Metropolitan National Bank
Little Rock
AR
Purchase
Financial Instrument for Home Loan Modifications
$
280,000
N/A
1000747
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
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
NY
Purchase
Financial Instrument for Home Loan Modifications
$
4,390,000
N/A
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
9/23/2009
Schools Financial Credit Union
Sacramento
1001045
1001045
1001045
1001045
CA
Purchase
Financial Instrument for Home Loan Modifications
$
390,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
(1) $
Reason for Adjustment
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
6/28/2012
$
9/27/2012
$
10/2/2009
$
70,000
$
12/30/2009
$
620,000
$
3/26/2010
$
100,000
$
1,070,000 Updated portfolio data from servicer
7/14/2010
$
(670,000) $
400,000 Updated portfolio data from servicer
9/30/2010
$
1/6/2011
(2) $
35,167
350,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
970,000 cap
$
435,167 Updated portfolio data from servicer
$
(1) $
435,166 Updated portfolio data from servicer
1/26/2011
$
(435,166) $
10/2/2009
$
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) $
6,010,000
$
6/29/2011
$
(61) $
10/14/2011
$
(100,000) $
6/28/2012
$
(58) $
(164) $
- 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
Updated due to quarterly assessment and
7,673,542 reallocation
Updated due to quarterly assessment and
7,673,378 reallocation
Updated due to quarterly assessment and
7,673,349 reallocation
9/27/2012
$
12/27/2012
$
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) $
10/2/2009
$
960,000
12/30/2009
$
(3,090,000) $
3/26/2010
$
230,000
$
2,490,000 Updated portfolio data from servicer
7/14/2010
$
5,310,000
$
7,800,000 Updated portfolio data from servicer
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
$
3/30/2011
$
4/13/2011
$
200,000
$
8,923,086 Transfer of cap due to servicing transfer
5/13/2011
$
100,000
$
6/29/2011
$
9,023,086 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
9,022,933 reallocation
(29) $
600,000
$
$
(16) $
(153) $
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
5,350,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
2,260,000 cap
8,723,102 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
8,723,086 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
6/14/2012
$
650,000
$
6/28/2012
$
10,972,933 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
10,972,797 reallocation
Updated due to quarterly assessment and
10,972,450 reallocation
(136) $
(347) $
9,122,933 Transfer of cap due to servicing transfer
9/27/2012
$
10/16/2012
$
250,000
$
11,222,450 Transfer of cap due to servicing transfer
11/15/2012
$
30,000
$
11,252,450 Transfer of cap due to servicing transfer
12/14/2012
$
(10,000) $
12/27/2012
$
(59) $
1/16/2013
$
20,000
$
11,262,391 Transfer of cap due to servicing transfer
2/14/2013
$
290,000
$
11,552,391 Transfer of cap due to servicing transfer
10/2/2009
$
90,000
$
12/30/2009
$
940,000
$
3/26/2010
$
(980,000) $
7/14/2010
$
(140,000) $
9/30/2010
$
1,150,556
$
11,242,450 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
11,242,391 reallocation
480,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
1,420,000 cap
440,000 Updated portfolio data from servicer
300,000 Updated portfolio data from servicer
1,450,556 Updated portfolio data from servicer
92
Servicer Modifying Borrowers' Loans
Adjustment Details
Name of Institution
Date
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
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
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
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
IL
Purchase
Financial Instrument for Home Loan Modifications
$
570,000
N/A
1001122
1001122
1001122
1001122
1001122
1001122
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
1000073
1000073
1000073
1000073
1000073
MI
Purchase
Financial Instrument for Home Loan Modifications
$
410,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
(2) $
Reason for Adjustment
1/6/2011
$
3/30/2011
$
(2) $
6/29/2011
$
(22) $
6/28/2012
$
(16) $
9/27/2012
$
(44) $
12/27/2012
$
10/2/2009
$
60,000
12/30/2009
$
(10,000) $
290,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
280,000 cap
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) $
6/28/2012
$
(2) $
9/27/2012
$
(7) $
12/27/2012
$
10/2/2009
$
10,000
$
12/30/2009
$
120,000
$
40,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
160,000 cap
3/26/2010
$
10,000
$
170,000 Updated portfolio data from servicer
7/14/2010
$
(70,000) $
100,000 Updated portfolio data from servicer
9/30/2010
$
45,056
145,056 Updated portfolio data from servicer
10/29/2010
$
10/2/2009
$
12/30/2009
3/26/2010
(7) $
$
(1) $
$
(145,056) $
1,450,554 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,552 reallocation
Updated due to quarterly assessment and
1,450,530 reallocation
Updated due to quarterly assessment and
1,450,514 reallocation
Updated due to quarterly assessment and
1,450,470 reallocation
Updated due to quarterly assessment and
1,450,463 reallocation
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
290,108 reallocation
Updated due to quarterly assessment and
290,106 reallocation
Updated due to quarterly assessment and
290,099 reallocation
Updated due to quarterly assessment and
290,098 reallocation
- Termination of SPA
60,000
$
$
350,000
$
$
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
$
1/6/2011
$
(1) $
6/29/2011
$
(4) $
6/28/2012
$
(3) $
9/27/2012
$
(7) $
12/27/2012
$
10/2/2009
$
100,000
$
12/30/2009
$
20,000
$
3/26/2010
$
(290,000) $
270,000 Updated portfolio data from servicer
7/14/2010
$
(70,000) $
200,000 Updated portfolio data from servicer
9/30/2010
$
(54,944) $
6/29/2011
$
(1) $
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
235,167
$
(1) $
(145,055) $
300,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
650,000 cap
435,167 Updated portfolio data from servicer
435,166 Updated portfolio data from servicer
Updated due to quarterly assessment and
435,162 reallocation
Updated due to quarterly assessment and
435,159 reallocation
Updated due to quarterly assessment and
435,152 reallocation
Updated due to quarterly assessment and
435,151 reallocation
540,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
560,000 cap
4/11/2012
$
12/30/2009
$
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
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(8) $
6/28/2012
$
(6) $
9/27/2012
$
(17) $
12/27/2012
$
(3) $
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
$
3/9/2011
$
1/22/2010
$
3/26/2010
7/14/2010
1,030,000
45,056
$
$
$
(145,056) $
- Termination of SPA
Updated portfolio data from servicer & HAFA initial
1,600,000 cap
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 due to quarterly assessment and
580,206 reallocation
Updated due to quarterly assessment and
580,189 reallocation
Updated due to quarterly assessment and
580,186 reallocation
Updated portfolio data from servicer & HAFA initial
1,960,000 cap
145,056 Updated portfolio data from servicer
- Termination of SPA
20,000
$
430,000 Updated HPDP cap & HAFA initial cap
$
400,000
$
830,000 Updated portfolio data from servicer
$
(430,000) $
400,000 Updated portfolio data from servicer
9/30/2010
$
180,222
580,222 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(1) $
$
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
93
Servicer Modifying Borrowers' Loans
Adjustment Details
Name of Institution
Date
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
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
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
1000740
1000740
1000740
10/28/2009
Harleysville National Bank & Trust Company
Harleysville
PA
Purchase
Financial Instrument for Home Loan Modifications
$
1,070,000
N/A
10/28/2009
Members Mortgage Company, Inc
Woburn
MA
Purchase
Financial Instrument for Home Loan Modifications
$
510,000
N/A
10/30/2009
DuPage Credit Union
Naperville
IL
Purchase
Financial Instrument for Home Loan Modifications
$
70,000
N/A
1000585
1000585
1000585
1000585
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
1000676
1000676
1000676
11/18/2009
Quantum Servicing Corporation
Tampa
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
FL
Purchase
Financial Instrument for Home Loan Modifications
$
18,960,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
(5) $
Reason for Adjustment
Updated due to quarterly assessment and
580,215 reallocation
Updated due to quarterly assessment and
580,211 reallocation
Updated due to quarterly assessment and
580,200 reallocation
Updated due to quarterly assessment and
580,198 reallocation
6/29/2011
$
6/28/2012
$
(4) $
9/27/2012
$
(11) $
12/27/2012
$
1/22/2010
$
4,370,000
$
3/26/2010
$
23,880,000
$
121,910,000 Updated portfolio data from servicer
7/14/2010
$
(16,610,000) $
105,300,000 Updated portfolio data from servicer
9/30/2010
$
1/6/2011
(2) $
1,751,033
98,030,000 Updated HPDP cap & HAFA initial cap
$
107,051,033 Updated portfolio data from servicer
$
(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) $
6/28/2012
$
(277) $
(549) $
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
Updated due to quarterly assessment and
95,749,818 reallocation
Updated due to quarterly assessment and
95,749,269 reallocation
Updated due to quarterly assessment and
95,749,204 reallocation
9/27/2012
$
12/27/2012
$
(65) $
2/14/2013
$
(2,670,000) $
1/22/2010
$
40,000
3/26/2010
$
5/12/2010
$
7/14/2010
9/30/2010
1/6/2011
$
(4) $
3/30/2011
$
(4) $
6/29/2011
$
(40) $
6/28/2012
$
(29) $
9/27/2012
$
(80) $
12/27/2012
$
(14) $
4/21/2010
$
(1,070,000) $
4/21/2010
$
(510,000) $
1/22/2010
$
10,000
$
3/26/2010
$
10,000
$
90,000 Updated portfolio data from servicer
7/14/2010
$
10,000
$
100,000 Updated portfolio data from servicer
9/30/2010
$
45,056
$
6/29/2011
$
9/27/2012
$
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
1/22/2010
$
40,000
$
740,000 Updated HPDP cap & HAFA initial cap
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) $
6/28/2012
$
(26) $
9/27/2012
$
(70) $
12/27/2012
$
1/22/2010
$
890,000
$
19,850,000 Updated HPDP cap & HAFA initial cap
3/26/2010
$
3,840,000
$
23,690,000 Updated portfolio data from servicer
7/14/2010
$
(2,890,000) $
20,800,000 Updated portfolio data from servicer
9/30/2010
$
9,661,676
$
30,461,676 Updated portfolio data from servicer
1/6/2011
$
(46) $
30,461,630 Updated portfolio data from servicer
1/13/2011
$
1,600,000
$
32,061,630 Transfer of cap due to servicing transfer
2/16/2011
$
1,400,000
$
3/30/2011
$
33,461,630 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
33,461,572 reallocation
4/13/2011
$
100,000
$
33,561,572 Transfer of cap due to servicing transfer
5/13/2011
$
100,000
$
33,661,572 Transfer of cap due to servicing transfer
6/16/2011
$
800,000
$
6/29/2011
$
34,461,572 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
34,461,013 reallocation
$
(760,000) $
2,630,000
93,079,204 Transfer of cap due to servicing transfer
800,000 Updated HPDP cap & HAFA initial cap
40,000 Updated portfolio data from servicer
$
2,670,000 Updated portfolio data from servicer
$
(770,000) $
1,900,000 Updated portfolio data from servicer
$
565,945
2,465,945 Updated portfolio data from servicer
$
(1) $
(1) $
(12) $
(58) $
(559) $
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
Updated due to quarterly assessment and
2,465,868 reallocation
Updated due to quarterly assessment and
2,465,788 reallocation
Updated due to quarterly assessment and
2,465,774 reallocation
- Termination of SPA
- Termination of SPA
80,000 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
Updated due to quarterly assessment and
2,175,766 reallocation
Updated due to quarterly assessment and
2,175,696 reallocation
Updated due to quarterly assessment and
2,175,684 reallocation
94
Servicer Modifying Borrowers' Loans
Adjustment Details
Name of Institution
Date
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
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
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
1001304
11/25/2009
Marix Servicing, LLC
Phoenix
AZ
Purchase
Financial Instrument for Home Loan Modifications
$
20,360,000
N/A
10412
10412
10412
10412
10412
10412
10412
10412
10412
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
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
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
6/14/2012
$
330,000
$
6/28/2012
$
35,491,013 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
35,490,585 reallocation
Updated due to quarterly assessment and
35,489,401 reallocation
(428) $
9/27/2012
$
(1,184) $
10/16/2012
$
(1,910,000) $
11/15/2012
$
(980,000) $
12/27/2012
$
(187) $
33,579,401 Transfer of cap due to servicing transfer
32,599,401 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
32,599,214 reallocation
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
$
1/6/2011
$
(1) $
3/30/2011
$
(2) $
6/29/2011
$
(16) $
6/28/2012
$
(12) $
9/27/2012
$
(33) $
12/27/2012
$
(6) $
3/26/2010
$
(10,000) $
7/14/2010
$
90,000
$
100,000 Updated portfolio data from servicer
9/30/2010
$
45,056
$
6/29/2011
$
(1) $
6/28/2012
$
(1) $
9/27/2012
$
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
1/22/2010
$
950,000
3/26/2010
$
(17,880,000) $
6/16/2010
$
1,030,000
7/14/2010
$
(1,160,000) $
8/13/2010
$
800,000
$
4,100,000 Transfer of cap due to servicing transfer
9/30/2010
$
200,000
$
4,300,000 Initial FHA-HAMP cap and initial RD-HAMP
9/30/2010
$
1,357,168
$
5,657,168 Updated portfolio data from servicer
1/6/2011
$
3/16/2011
$
3/30/2011
$
4/13/2011
$
7,300,000
$
18,657,161 Transfer of cap due to servicing transfer
5/13/2011
$
300,000
$
18,957,161 Transfer of cap due to servicing transfer
6/16/2011
$
900,000
$
6/29/2011
$
19,857,161 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
19,857,007 reallocation
7/14/2011
$
100,000
$
19,957,007 Transfer of cap due to servicing transfer
8/16/2011
$
300,000
$
20,257,007 Transfer of cap due to servicing transfer
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
6/14/2012
$
(8,350,000) $
6/28/2012
$
(38) $
8/16/2012
$
(90,000) $
9/27/2012
$
(103) $
10/16/2012
$
(1,020,000) $
11/15/2012
$
12/27/2012
$
2/14/2013
$
(100,000) $
4/21/2010
$
(230,000) $
1/22/2010
$
50,000
$
1,330,000 Updated HPDP cap & HAFA initial cap
3/26/2010
$
1,020,000
$
2,350,000 Updated portfolio data from servicer
7/14/2010
$
(950,000) $
1,400,000 Updated portfolio data from servicer
9/30/2010
$
160,445
$
(2) $
$
$
(1) $
5,700,000
$
(6) $
(154) $
170,000
$
(15) $
50,556
$
1,160,445 Updated portfolio data from servicer
1,160,444 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,160,442 reallocation
Updated due to quarterly assessment and
1,160,426 reallocation
Updated due to quarterly assessment and
1,160,414 reallocation
Updated due to quarterly assessment and
1,160,381 reallocation
Updated due to quarterly assessment and
1,160,375 reallocation
10,000 Updated portfolio data from servicer
21,310,000 Updated HPDP cap & HAFA initial cap
3,430,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
4,460,000 servicing transfer
3,300,000 Updated portfolio data from servicer
5,657,167 Updated portfolio data from servicer
11,357,167 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
11,357,161 reallocation
7,007,007 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
7,006,969 reallocation
6,916,969 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,916,866 reallocation
5,896,866 Transfer of cap due to servicing transfer
6,066,866 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,066,851 reallocation
5,966,851 Transfer of cap due to servicing transfer
- Termination of SPA
1,450,556 Updated portfolio data from servicer
95
Servicer Modifying Borrowers' Loans
Date
Adjustment Details
Name of Institution
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
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
1000978
1000978
12/4/2009
Idaho Housing and Finance Association
Boise
ID
Purchase
Financial Instrument for Home Loan Modifications
$
9,430,000
N/A
10223
10223
10223
10223
10223
10223
10223
10223
12/9/2009
Spirit of Alaska Federal Credit Union
Fairbanks
AK
Purchase
Financial Instrument for Home Loan Modifications
$
360,000
N/A
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
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
1001269
1001269
1001269
12/9/2009
Bay Gulf Credit Union
Tampa
10141
FL
Purchase
Financial Instrument for Home Loan Modifications
$
230,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
(2) $
Reason for Adjustment
1/6/2011
$
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
$
6/29/2011
$
(1) $
6/28/2012
$
(1) $
9/27/2012
$
1/22/2010
$
440,000
$
3/26/2010
$
14,480,000
$
24,350,000 Updated portfolio data from servicer
5/26/2010
$
(24,200,000) $
150,000 Updated portfolio data from servicer
7/14/2010
$
150,000
300,000 Updated portfolio data from servicer
9/30/2010
$
(9,889) $
6/29/2011
$
(3) $
6/28/2012
$
(2) $
9/27/2012
$
(6) $
12/27/2012
$
1/22/2010
$
10,000
$
3/26/2010
$
850,000
$
1,220,000 Updated portfolio data from servicer
7/14/2010
$
(120,000) $
1,100,000 Updated portfolio data from servicer
9/30/2010
$
100,000
$
1,200,000 Initial FHA-HAMP cap
9/30/2010
$
105,500
$
1,305,500 Updated portfolio data from servicer
1/6/2011
$
(2) $
1,305,498 Updated portfolio data from servicer
2/17/2011
$
(1,305,498) $
1/22/2010
$
70,000
3/26/2010
$
(290,000) $
1,370,000 Updated portfolio data from servicer
7/14/2010
$
(570,000) $
800,000 Updated portfolio data from servicer
9/30/2010
$
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(13) $
1/25/2012
$
(870,319) $
1/22/2010
$
3/26/2010
7/14/2010
9/30/2010
$
1/6/2011
$
(2) $
3/30/2011
$
(3) $
6/29/2011
$
(26) $
6/28/2012
$
(21) $
9/27/2012
$
(57) $
12/27/2012
$
1/22/2010
$
140,000
$
3,080,000 Updated HPDP cap & HAFA initial cap
3/26/2010
$
6,300,000
$
9,380,000 Updated portfolio data from servicer
7/14/2010
$
(1,980,000) $
7,400,000 Updated portfolio data from servicer
9/30/2010
$
(6,384,611) $
1,015,389 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(2) $
6/29/2011
$
(16) $
6/28/2012
$
(12) $
9/27/2012
$
(32) $
12/27/2012
$
1/22/2010
$
10,000
$
240,000 Updated HPDP cap & HAFA initial cap
3/26/2010
$
440,000
$
680,000 Updated portfolio data from servicer
45,056
$
(2) $
$
(1) $
70,334
$
$
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
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
9,870,000 Updated HPDP cap & HAFA initial cap
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
290,108 reallocation
Updated due to quarterly assessment and
290,106 reallocation
Updated due to quarterly assessment and
290,100 reallocation
Updated due to quarterly assessment and
290,099 reallocation
370,000 Updated HPDP cap & HAFA initial cap
- Termination of SPA
1,660,000 Updated HPDP cap & HAFA initial cap
870,334 Updated portfolio data from servicer
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,319 reallocation
- Termination of SPA
90,000
$
1,970,000 Updated HPDP cap & HAFA initial cap
$
1,110,000
$
3,080,000 Updated portfolio data from servicer
$
(1,180,000) $
1,900,000 Updated portfolio data from servicer
275,834
$
(10) $
(5) $
2,175,834 Updated portfolio data from servicer
2,175,832 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,175,829 reallocation
Updated due to quarterly assessment and
2,175,803 reallocation
Updated due to quarterly assessment and
2,175,782 reallocation
Updated due to quarterly assessment and
2,175,725 reallocation
Updated due to quarterly assessment and
2,175,715 reallocation
1,015,388 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,015,386 reallocation
Updated due to quarterly assessment and
1,015,370 reallocation
Updated due to quarterly assessment and
1,015,358 reallocation
Updated due to quarterly assessment and
1,015,326 reallocation
Updated due to quarterly assessment and
1,015,321 reallocation
96
Servicer Modifying Borrowers' Loans
Adjustment Details
Name of Institution
Date
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
10141
10141
10141
12/9/2009
The Golden 1 Credit Union
Sacramento
CA
Purchase
Financial Instrument for Home Loan Modifications
$
6,160,000
N/A
1001226
1001226
1001226
1001226
1001226
1001226
1001226
1001226
1001226
12/9/2009
Sterling Savings Bank
Spokane
WA
Purchase
Financial Instrument for Home Loan Modifications
$
2,250,000
N/A
1000638
1000638
1000638
1000638
techno
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
10125
12
12/11/2009
Glenview
Glenview State Bank
IL
Purchase
Financial Instrument for Home Loan Modifications
$
370,000
N/A
1000558
1000558
12/11/2009
Seattle
Verity Credit Union
WA
Purchase
Financial Instrument for Home Loan Modifications
$
600,000
N/A
10139
10139
10139
10139
10139
12/11/2009
Hartford
Hartford Savings Bank
WI
Purchase
Financial Instrument for Home Loan Modifications
$
630,000
N/A
1000753
1000753
1000753
1000753
1000753
1000753
1000753
1000753
1000753
12/11/2009
Bryn Mawr
The Bryn Mawr Trust Co.
PA
Purchase
Financial Instrument for Home Loan Modifications
$
150,000
N/A
9
1000631
12/16/2009
Spring Valley
Citizens First National Bank
1000438
1000438
1000438
1000438
1000438
IL
Purchase
Financial Instrument for Home Loan Modifications
$
620,000
N/A
Adjustment
Date
Cap Adjustment Amount
7/14/2010
$
Adjusted Cap
Reason for Adjustment
(80,000) $
600,000 Updated portfolio data from servicer
580,222 Updated portfolio data from servicer
9/30/2010
$
(19,778) $
10/15/2010
$
(580,222) $
1/22/2010
$
290,000
$
6,450,000 Updated HPDP cap & HAFA initial cap
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
$
1/6/2011
$
(4) $
3/30/2011
$
(4) $
6/29/2011
$
(35) $
6/28/2012
$
(9) $
9/27/2012
$
(14) $
12/27/2012
$
1/22/2010
$
100,000
3/26/2010
$
(740,000) $
7/14/2010
$
(710,000) $
9/30/2010
$
550,556
606,612
$
(2) $
$
$
- Termination of SPA
4,206,612 Updated portfolio data from servicer
4,206,608 Updated portfolio data from servicer
Updated due to quarterly assessment and
4,206,604 reallocation
Updated due to quarterly assessment and
4,206,569 reallocation
Updated due to quarterly assessment and
4,206,560 reallocation
Updated due to quarterly assessment and
4,206,546 reallocation
Updated due to quarterly assessment and
4,206,544 reallocation
2,350,000 Updated HPDP cap & HAFA initial cap
1,610,000 Updated portfolio data from servicer
900,000 Updated portfolio data from servicer
1,450,556 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
9/27/2012
$
30,907
$
12/27/2012
$
58,688
$
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
$
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(13) $
6/28/2012
$
(10) $
7/6/2012
$
(856,986) $
1/22/2010
$
3/26/2010
5/26/2010
(11) $
70,334
$
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
Updated due to quarterly assessment and
1,481,450 reallocation
Updated due to quarterly assessment and
1,540,138 reallocation
330,000 Updated HPDP cap & HAFA initial cap
870,334 Updated portfolio data from servicer
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,319 reallocation
Updated due to quarterly assessment and
870,309 reallocation
13,323 Termination of SPA
20,000
$
$
1,250,000
$
$
(1,640,000) $
1/22/2010
$
30,000
$
3/26/2010
$
400,000
$
1,030,000 Updated portfolio data from servicer
7/14/2010
$
(330,000) $
700,000 Updated portfolio data from servicer
9/30/2010
$
1/6/2011
25,278
390,000 Updated HPDP cap & HAFA initial cap
1,640,000 Updated portfolio data from servicer
- Termination of SPA
630,000 Updated HPDP cap & HAFA initial cap
$
725,278 Updated portfolio data from servicer
$
(1) $
725,277 Updated portfolio data from servicer
2/17/2011
$
(725,277) $
1/22/2010
$
3/26/2010
7/14/2010
9/30/2010
$
1/6/2011
$
(2) $
3/30/2011
$
(2) $
6/29/2011
$
(18) $
6/28/2012
$
(14) $
9/27/2012
$
(37) $
12/27/2012
$
(6) $
4/21/2010
$
(150,000) $
6/16/2011
$
- Termination of SPA
30,000
$
$
800,000
$
1,460,000 Updated portfolio data from servicer
$
(360,000) $
1,100,000 Updated portfolio data from servicer
60,445
$
660,000 Updated HPDP cap & HAFA initial cap
1,160,445 Updated portfolio data from servicer
1,160,443 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,160,441 reallocation
Updated due to quarterly assessment and
1,160,423 reallocation
Updated due to quarterly assessment and
1,160,409 reallocation
Updated due to quarterly assessment and
1,160,372 reallocation
Updated due to quarterly assessment and
1,160,366 reallocation
- Termination of SPA
100,000
$
100,000 Transfer of cap due to servicing transfer
30,000
$
650,000 Updated HPDP cap & HAFA initial cap
1/22/2010
$
3/26/2010
$
7/14/2010
$
1,430,000
$
1,500,000 Updated portfolio data from servicer
9/30/2010
$
95,612
$
1,595,612 Updated portfolio data from servicer
1/6/2011
$
(2) $
3/30/2011
$
(3) $
(580,000) $
70,000 Updated portfolio data from servicer
1,595,610 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,595,607 reallocation
97
Servicer Modifying Borrowers' Loans
Adjustment Details
Name of Institution
Date
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
1000438
1000438
1000438
1000438
12/16/2009
Garden City
Golden Plains Credit Union
KS
Purchase
Financial Instrument for Home Loan Modifications
$
170,000
N/A
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
Michigan City
Horizon Bank, NA
IN
Purchase
Financial Instrument for Home Loan Modifications
$
700,000
N/A
1000825
1000825
1000825
1000825
1000825
1000825
1000825
1000825
12/16/2009
Solon
Park View Federal Savings Bank
OH
Purchase
Financial Instrument for Home Loan Modifications
$
760,000
N/A
10025
10025
10025
10025
10025
10025
10025
12
10025
12/23/2009
Sarasota
Iberiabank
FL
Purchase
Financial Instrument for Home Loan Modifications
$
4,230,000
N/A
1001411
1001411
1001411
1001411
1001411
1001411
12
1001411
12/23/2009
North Grafton
Grafton Suburban Credit Union
MA
Purchase
Financial Instrument for Home Loan Modifications
$
340,000
N/A
1001192
1001192
1001192
1001192
1001192
1001192
1001192
12/23/2009
Eaton
Eaton National Bank & Trust Company
OH
Purchase
Financial Instrument for Home Loan Modifications
$
60,000
N/A
1001078
1001078
1001078
12/23/2009
Tempe
Tempe Schools Credit Union
AZ
Purchase
Financial Instrument for Home Loan Modifications
$
110,000
N/A
1000703
1000703
1000703
1/13/2010
Fresno County Federal Credit Union
Fresno
CA
Purchase
Financial Instrument for Home Loan Modifications
$
260,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
Updated due to quarterly assessment and
1,595,583 reallocation
Updated due to quarterly assessment and
1,595,567 reallocation
Updated due to quarterly assessment and
1,595,522 reallocation
Updated due to quarterly assessment and
1,595,514 reallocation
6/29/2011
$
(24) $
6/28/2012
$
(16) $
9/27/2012
$
(45) $
12/27/2012
$
1/22/2010
$
10,000
$
180,000 Updated HPDP cap & HAFA initial cap
3/26/2010
$
30,000
$
210,000 Updated portfolio data from servicer
7/14/2010
$
(10,000) $
200,000 Updated portfolio data from servicer
9/30/2010
$
90,111
290,111 Updated portfolio data from servicer
2/17/2011
$
(290,111) $
1/22/2010
$
160,000
4/21/2010
$
(3,620,000) $
1/22/2010
$
20,000
$
3/26/2010
$
1,430,000
$
1,890,000 Updated portfolio data from servicer
7/14/2010
$
(390,000) $
1,500,000 Updated portfolio data from servicer
9/8/2010
$
(1,500,000) $
1/22/2010
$
30,000
$
3/26/2010
$
1,740,000
$
7/14/2010
$
(1,870,000) $
9/30/2010
$
(8) $
850,556
$
$
$
- Termination of SPA
3,620,000 Updated HPDP cap & HAFA initial cap
- Termination of SPA
460,000 Updated HPDP cap & HAFA initial cap
- Termination of SPA
730,000 Updated HPDP cap & HAFA initial cap
2,470,000 Updated portfolio data from servicer
600,000 Updated portfolio data from servicer
1,450,556 Updated portfolio data from servicer
1/6/2011
$
(2) $
3/30/2011
$
(2) $
6/29/2011
$
(23) $
6/28/2012
$
(17) $
9/21/2012
$
(1,450,512) $
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
$
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(12) $
6/28/2012
$
(10) $
9/14/2012
$
(816,373) $
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
3/26/2010
$
(320,000) $
7/14/2010
$
760,000
$
800,000 Updated portfolio data from servicer
9/30/2010
$
(74,722) $
725,278 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(11) $
1/25/2012
$
(725,265) $
3/26/2010
$
7/14/2010
9/30/2010
70,334
$
$
$
$
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
Updated due to quarterly assessment and
1,450,512 reallocation
- Termination of SPA
870,334 Updated portfolio data from servicer
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,320 reallocation
Updated due to quarterly assessment and
870,310 reallocation
53,937 Termination of SPA
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
40,000 Updated portfolio data from servicer
725,277 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,276 reallocation
Updated due to quarterly assessment and
725,265 reallocation
- Termination of SPA
90,000
$
150,000 Updated portfolio data from servicer
$
50,000
$
200,000 Updated portfolio data from servicer
$
(54,944) $
145,056 Updated portfolio data from servicer
5/20/2011
$
(145,056) $
3/26/2010
$
(20,000) $
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) $
3/26/2010
$
480,000
$
- Termination of SPA
90,000 Updated portfolio data from servicer
- Termination of SPA
740,000 Updated portfolio data from servicer
98
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
10507
10507
10507
10507
10507
10507
12
1/13/2010
Roebling
Roebling Bank
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
240,000
N/A
1001235
1001235
1001235
1001235
1/13/2010
Grant Park
First National Bank of Grant Park
IL
Purchase
Financial Instrument for Home Loan Modifications
$
140,000
N/A
1000901
1000901
1000901
1/13/2010
Highlands Ranch
Specialized Loan Servicing, LLC
CO
Purchase
Financial Instrument for Home Loan Modifications
$
64,150,000
N/A
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1/13/2010
Carson City
Greater Nevada Mortgage Services
10517
10517
10517
10517
NV
Purchase
Financial Instrument for Home Loan Modifications
$
770,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
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) $
6/28/2012
$
(6) $
7/6/2012
$
(555,252) $
3/26/2010
$
610,000
$
850,000 Updated portfolio data from servicer
7/14/2010
$
50,000
$
900,000 Updated portfolio data from servicer
9/30/2010
$
(29,666) $
870,334 Updated portfolio data from servicer
1/6/2011
$
(1) $
870,333 Updated portfolio data from servicer
3/23/2011
$
(870,333) $
3/26/2010
$
150,000
$
290,000 Updated portfolio data from servicer
7/14/2010
$
10,000
$
300,000 Updated portfolio data from servicer
9/30/2010
$
(9,889) $
290,111 Updated portfolio data from servicer
1/26/2011
$
(290,111) $
3/26/2010
$
(51,240,000) $
5/14/2010
$
3,000,000
$
6/16/2010
$
4,860,000
$
7/14/2010
$
3,630,000
$
7/16/2010
$
330,000
$
24,400,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
24,730,000 servicing transfer
8/13/2010
$
700,000
$
25,430,000 Transfer of cap due to servicing transfer
9/15/2010
$
200,000
$
25,630,000 Transfer of cap due to servicing transfer
9/30/2010
$
11/16/2010
$
1/6/2011
$
1/13/2011
$
1,500,000
$
25,634,142 Transfer of cap due to servicing transfer
3/16/2011
$
7,100,000
$
3/30/2011
$
32,734,142 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
32,734,106 reallocation
4/13/2011
$
1,000,000
$
33,734,106 Transfer of cap due to servicing transfer
5/13/2011
$
100,000
$
33,834,106 Transfer of cap due to servicing transfer
6/16/2011
$
300,000
$
6/29/2011
$
34,134,106 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
34,133,774 reallocation
8/16/2011
$
100,000
$
34,233,774 Transfer of cap due to servicing transfer
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
6/14/2012
$
(350,000) $
6/28/2012
$
(1,058) $
7/16/2012
$
4,430,000
8/16/2012
$
(1,280,000) $
9/27/2012
$
(3,061) $
10/16/2012
$
5,600,000
$
120,969,655 Transfer of cap due to servicing transfer
11/15/2012
$
880,000
$
121,849,655 Transfer of cap due to servicing transfer
12/14/2012
$
24,180,000
$
12/27/2012
$
146,029,655 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
146,028,992 reallocation
1/16/2013
$
2,410,000
$
148,438,992 Transfer of cap due to servicing transfer
2/14/2013
$
6,650,000
$
155,088,992 Transfer of cap due to servicing transfer
3/26/2010
$
8,680,000
$
9,450,000 Updated portfolio data from servicer
7/14/2010
$
(8,750,000) $
700,000 Updated portfolio data from servicer
9/30/2010
$
1/6/2011
$
(1) $
3/30/2011
$
(1) $
(1,695,826) $
200,000
$
(32) $
(36) $
(332) $
$
(663) $
170,334
$
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 due to quarterly assessment and
580,206 reallocation
24,954 Termination of SPA
- Termination of SPA
- Termination of SPA
12,910,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
15,910,000 servicing transfer
Transfer of cap from CitiMortgage, Inc. due to
20,770,000 servicing transfer
23,934,174 Updated portfolio data from servicer
24,134,174 Transfer of cap due to servicing transfer
24,134,142 Updated portfolio data from servicer
112,223,774 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
112,222,716 reallocation
116,652,716 Transfer of cap due to servicing transfer
115,372,716 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
115,369,655 reallocation
870,334 Updated portfolio data from servicer
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
99
Servicer Modifying Borrowers' Loans
Adjustment Details
Name of Institution
Date
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
10517
10517
10517
10517
1/15/2010
Marlborough
Digital Federal Credit Union
MA
Purchase
Financial Instrument for Home Loan Modifications
$
3,050,000
N/A
10416
1/29/2010
San Diego
iServe Residential Lending, LLC
CA
Purchase
Financial Instrument for Home Loan Modifications
$
960,000
N/A
1001415
1001415
1001415
1001415
1001415
1001415
1001415
1001415
1001415
1001415
1/29/2010
Griffin
United Bank
GA
Purchase
Financial Instrument for Home Loan Modifications
$
540,000
N/A
1000893
1000893
1000893
1000893
1000893
1000893
1000893
3/3/2010
Lake Mary
Urban Trust Bank
FL
Purchase
Financial Instrument for Home Loan Modifications
$
1,060,000
N/A
1001435
3/5/2010
Irving
iServe Servicing, Inc.
TX
Purchase
Financial Instrument for Home Loan Modifications
$
28,040,000
N/A
1001384
1001384
1001384
1001384
1001384
1001384
1001384
1001384
1001384
1001384
3/10/2010
Vienna
Navy Federal Credit Union
VA
Purchase
Financial Instrument for Home Loan Modifications
$
60,780,000
N/A
1000494
1000494
1000494
1000494
1000494
1000494
1000494
3/10/2010
Wyomissing
VIST Financial Corp
PA
Purchase
Financial Instrument for Home Loan Modifications
$
300,000
N/A
1000468
1000468
1000468
1000468
1000468
1000468
1000468
4/14/2010
Elmwood Park
Midwest Bank and Trust Co.
1001521
1001521
1001521
IL
Purchase
Financial Instrument for Home Loan Modifications
$
300,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
(8) $
Reason for Adjustment
Updated due to quarterly assessment and
870,324 reallocation
Updated due to quarterly assessment and
870,320 reallocation
Updated due to quarterly assessment and
870,310 reallocation
Updated due to quarterly assessment and
870,308 reallocation
6/29/2011
$
6/28/2012
$
(4) $
9/27/2012
$
(10) $
12/27/2012
$
3/26/2010
$
12,190,000
5/14/2010
$
(15,240,000) $
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
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) $
6/28/2012
$
(6) $
9/27/2012
$
(15) $
12/27/2012
$
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) $
6/28/2012
$
(8) $
9/27/2012
$
(22) $
12/27/2012
$
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
9/30/2010
$
11/16/2010
$
1/6/2011
$
(20) $
3/30/2011
$
(24) $
6/29/2011
$
(221) $
6/28/2012
$
(169) $
9/27/2012
$
(465) $
12/27/2012
$
(78) $
7/14/2010
$
(44,880,000) $
9/30/2010
$
1/6/2011
$
(23) $
3/30/2011
$
(26) $
6/29/2011
$
(238) $
6/28/2012
$
(145) $
9/27/2012
$
(374) $
12/27/2012
$
7/14/2010
$
400,000
$
700,000 Updated portfolio data from servicer
9/30/2010
$
25,278
$
725,278 Updated portfolio data from servicer
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(11) $
6/28/2012
$
(8) $
9/27/2012
$
(22) $
12/27/2012
$
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) $
(2) $
$
$
(3) $
(4) $
$
$
$
(3,125,218) $
800,000
1,071,505
$
$
(58) $
(4) $
15,240,000 Updated portfolio data from servicer
- Termination of SPA
535,166 Updated portfolio data from servicer
Updated due to quarterly assessment and
535,165 reallocation
Updated due to quarterly assessment and
535,158 reallocation
Updated due to quarterly assessment and
535,152 reallocation
Updated due to quarterly assessment and
535,137 reallocation
Updated due to quarterly assessment and
535,134 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
Updated due to quarterly assessment and
725,257 reallocation
Updated due to quarterly assessment and
725,235 reallocation
Updated due to quarterly assessment and
725,231 reallocation
5,500,000 Updated portfolio data from servicer
- Termination of SPA
28,160,000 Initial 2MP cap
15,500,000 Updated portfolio data from servicer
15,600,000 Initial FHA-HAMP cap
12,474,782 Updated portfolio data from servicer
13,274,782 Transfer of cap due to servicing transfer
13,274,762 Updated portfolio data from servicer
Updated due to quarterly assessment and
13,274,738 reallocation
Updated due to quarterly assessment and
13,274,517 reallocation
Updated due to quarterly assessment and
13,274,348 reallocation
Updated due to quarterly assessment and
13,273,883 reallocation
Updated due to quarterly assessment and
13,273,805 reallocation
15,900,000 Updated portfolio data from servicer
16,971,505 Updated portfolio data from servicer
16,971,482 Updated portfolio data from servicer
Updated due to quarterly assessment and
16,971,456 reallocation
Updated due to quarterly assessment and
16,971,218 reallocation
Updated due to quarterly assessment and
16,971,073 reallocation
Updated due to quarterly assessment and
16,970,699 reallocation
Updated due to quarterly assessment and
16,970,641 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
Updated due to quarterly assessment and
725,257 reallocation
Updated due to quarterly assessment and
725,235 reallocation
Updated due to quarterly assessment and
725,231 reallocation
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
100
Servicer Modifying Borrowers' Loans
Adjustment Details
Name of Institution
Date
City
State
Transaction
Type
Pricing
Mechanism
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Note
1001521
1001521
4/14/2010
Beaverton
Wealthbridge Mortgage Corp
OR
Purchase
Financial Instrument for Home Loan Modifications
$
6,550,000
N/A
1000657
1000657
1000657
1000657
1000657
1000657
1000657
1000657
1000657
5/21/2010
Marlton
Aurora Financial Group, Inc.
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
10,000
N/A
4, 8
10425
10425
10425
10425
10425
6/16/2010
Houston
Selene Finance LP
TX
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
8/4/2010
Albuquerque
Suburban Mortgage Company of New Mexico
NM
Purchase
Financial Instrument for Home Loan Modifications
$
880,000
N/A
1000602
1000602
1000602
1000602
1000602
8/20/2010
Cincinanati
Bramble Savings Bank
OH
Purchase
Financial Instrument for Home Loan Modifications
$
700,000
N/A
1001708
1001708
1001708
1001708
8/25/2010
Oswego
Pathfinder Bank
NY
Purchase
Financial Instrument for Home Loan Modifications
$
1,300,000
N/A
1001240
1001240
1001240
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
9
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
6/29/2011
$
(8) $
7/14/2011
$
(580,212) $
7/14/2010
$
(150,000) $
9/15/2010
$
1,600,000
9/30/2010
$
(4,352,173) $
1/6/2011
$
(5) $
3/30/2011
$
(6) $
4/13/2011
$
(3,000,000) $
6/29/2011
$
(9) $
6/28/2012
$
(7) $
9/27/2012
$
(19) $
12/27/2012
$
5/26/2010
$
30,000
$
9/30/2010
$
250,111
$
6/29/2011
$
59,889
$
6/28/2012
$
(2) $
(5) $
$
(3) $
Reason for Adjustment
Updated due to quarterly assessment and
580,212 reallocation
- Termination of SPA
6,400,000 Updated portfolio data from servicer
8,000,000 Transfer of cap due to servicing transfer
3,647,827 Updated portfolio data from servicer
3,647,822 Updated portfolio data from servicer
Updated due to quarterly assessment and
3,647,816 reallocation
647,816 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
647,807 reallocation
Updated due to quarterly assessment and
647,800 reallocation
Updated due to quarterly assessment and
647,781 reallocation
Updated due to quarterly assessment and
647,778 reallocation
40,000 Updated FHA-HAMP cap
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
350,000 reallocation
Updated due to quarterly assessment and
349,998 reallocation
Updated due to quarterly assessment and
349,993 reallocation
Updated due to quarterly assessment and
349,992 reallocation
Transfer of cap from CitiMortgage, Inc. due to
3,680,000 servicing transfer
9/27/2012
$
12/27/2012
$
6/16/2010
$
3,680,000
8/13/2010
$
3,300,000
$
9/30/2010
$
3,043,831
$
10,023,831 Updated portfolio data from servicer
10/15/2010
$
1,400,000
$
11,423,831 Transfer of cap due to servicing transfer
1/6/2011
$
3/16/2011
$
3/30/2011
$
4/13/2011
$
6/16/2011
$
(200,000) $
6/29/2011
$
(273) $
10/14/2011
$
100,000
$
16,323,517 Transfer of cap due to servicing transfer
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
6/14/2012
$
(300,000) $
6/28/2012
$
(218) $
7/16/2012
$
40,000
$
17,373,299 Transfer of cap due to servicing transfer
8/16/2012
$
480,000
$
9/27/2012
$
17,853,299 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
17,852,699 reallocation
11/15/2012
$
12/27/2012
$
9/30/2010
$
1/6/2011
$
(4) $
3/30/2011
$
(4) $
6/29/2011
$
(40) $
6/28/2012
$
(30) $
8/10/2012
$
(2,465,867) $
9/30/2010
$
1,040,667
(1) $
$
(17) $
2,100,000
$
(24) $
2,900,000
$
(600) $
70,000
$
(102) $
1,585,945
$
$
1/6/2011
$
(2) $
3/30/2011
$
(3) $
6/29/2011
$
(28) $
8/10/2011
$
(1,740,634) $
9/30/2010
$
2,181,334
$
1/6/2011
$
(5) $
3/30/2011
$
(6) $
6/29/2011
$
(58) $
6/28/2012
$
(43) $
9/27/2012
$
(119) $
12/27/2012
$
9/30/2010
$
(20) $
7,014,337
$
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
17,333,517 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
17,333,299 reallocation
17,922,699 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
17,922,597 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
Updated due to quarterly assessment and
2,465,867 reallocation
- Termination of SPA
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
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
Updated due to quarterly assessment and
3,481,222 reallocation
Updated due to quarterly assessment and
3,481,103 reallocation
Updated due to quarterly assessment and
3,481,083 reallocation
11,314,337 Updated portfolio data from servicer
101
Servicer Modifying Borrowers' Loans
Adjustment Details
Name of Institution
Date
City
State
Transaction
Type
Pricing
Mechanism
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Note
1000951
1000951
1000951
1000951
1000951
1000951
9/1/2010
Raleigh
RBC Bank (USA)
NC
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1001421
1001421
1001421
1001421
1001421
9/3/2010
Chicago
Fay Servicing, LLC
IL
Purchase
Financial Instrument for Home Loan Modifications
$
3,100,000
N/A
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
9/15/2010
Oklahoma City
Vericrest Financial, Inc.
OK
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
9/15/2010
Freeport
Midwest Community Bank
IL
Purchase
Financial Instrument for Home Loan Modifications
$
400,000
N/A
1000879
1000879
1000879
1000879
1000879
1000879
9/24/2010
American Finance House LARIBA
9/24/2010
Centrue Bank
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
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
(17) $
Reason for Adjustment
1/6/2011
$
3/30/2011
$
(20) $
6/29/2011
$
(192) $
6/28/2012
$
(144) $
9/27/2012
$
(396) $
12/27/2012
$
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) $
6/14/2012
$
(10,000) $
9/30/2010
$
(67) $
5,168,169
$
1/6/2011
$
(12) $
3/30/2011
$
(15) $
4/13/2011
$
6/29/2011
$
400,000
$
(143) $
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
Updated due to quarterly assessment and
11,313,964 reallocation
Updated due to quarterly assessment and
11,313,568 reallocation
Updated due to quarterly assessment and
11,313,501 reallocation
70,000 Transfer of cap due to servicing transfer
60,000 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
6/14/2012
$
(210,000) $
6/28/2012
$
(105) $
7/16/2012
$
50,000
$
12,847,894 Transfer of cap due to servicing transfer
8/16/2012
$
90,000
$
9/27/2012
$
12,937,894 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
12,937,600 reallocation
10/16/2012
$
12/27/2012
$
1/16/2013
$
2/14/2013
$
9/15/2010
$
1,000,000
$
1,000,000 Transfer of cap due to servicing transfer
9/30/2010
$
450,556
$
1,450,556 Updated portfolio data from servicer
1/6/2011
$
(2) $
1,450,554 Updated portfolio data from servicer
2/16/2011
$
3,000,000
$
4,450,554 Transfer of cap due to servicing transfer
3/16/2011
$
10,200,000
$
3/30/2011
$
(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
(294) $
1,810,000
$
(61) $
30,000
12,797,999 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
12,797,894 reallocation
14,747,600 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,747,539 reallocation
$
14,777,539 Transfer of cap due to servicing transfer
(590,000) $
14,187,539 Transfer of cap due to servicing transfer
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
$
6/28/2012
$
31,950,303 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
31,950,037 reallocation
Updated due to quarterly assessment and
31,949,348 reallocation
(266) $
9/27/2012
$
11/15/2012
$
(689) $
12/27/2012
$
1/16/2013
$
8,020,000
$
40,689,234 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) $
6/28/2012
$
(6) $
9/27/2012
$
(17) $
12/27/2012
$
9/30/2010
$
2/2/2011
$
(145,056) $
9/30/2010
$
856,056
720,000
$
(114) $
(3) $
45,056
$
$
32,669,348 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
32,669,234 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
Updated due to quarterly assessment and
580,206 reallocation
Updated due to quarterly assessment and
580,189 reallocation
Updated due to quarterly assessment and
580,186 reallocation
145,056 Updated portfolio data from servicer
- Termination of SPA
2,756,056 Updated portfolio data from servicer
102
Servicer Modifying Borrowers' Loans
Adjustment Details
Name of Institution
Date
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
10204
10204
9/30/2010
AgFirst Farm Credit Bank
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
1001220
9/30/2010
Amarillo National Bank
4, 8
1000478
1000478
1000478
9/30/2010
Parsippany
American Financial Resources Inc.
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1001726
1001726
1001726
9/30/2010
San Juan
Banco Popular de Puerto Rico
PR
Purchase
Financial Instrument for Home Loan Modifications
$
1,700,000
N/A
4, 5, 8
1000509
1000509
1000509
1000509
1000509
1000509
9/30/2010
Coral Gables
Capital International Financial, Inc.
FL
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1001930
1001930
1001930
9/24/2010
Freeburg
Citizens Community Bank
IL
Purchase
Financial Instrument for Home Loan Modifications
$
800,000
N/A
1001848
1001848
9/30/2010
Rockledge
Community Credit Union of Florida
FL
Purchase
Financial Instrument for Home Loan Modifications
$
2,000,000
N/A
6
8
8
8
8
8
9/30/2010
12
New Brighton
CU Mortgage Services, Inc.
MN
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
10616
10616
10616
9/30/2010
Lake City
First Federal Bank of Florida
FL
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
10364
10364
10364
9/30/2010
Diamond Bar
First Mortgage Corporation
CA
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
10253
10253
10253
9/30/2010
Cincinnati
First Safety Bank
OH
Purchase
Financial Instrument for Home Loan Modifications
$
400,000
N/A
1000487
1000487
9/30/2010
Troy
Flagstar Capital Markets Corporation
MI
Purchase
Financial Instrument for Home Loan Modifications
$
800,000
N/A
7, 8
10228
10228
10228
10228
10228
10228
9/30/2010
Cincinnati
Franklin Savings
1000773
1000773
1000773
OH
Purchase
Financial Instrument for Home Loan Modifications
$
1,700,000
N/A
4
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
1/6/2011
$
(4) $
Reason for Adjustment
2,756,052 Updated portfolio data from servicer
3/9/2011
$
(2,756,052) $
9/30/2010
$
45,056
3/23/2011
$
9/30/2010
$
6/29/2011
$
(1) $
6/28/2012
$
(1) $
9/27/2012
$
9/30/2010
$
6/29/2011
$
(1) $
6/28/2012
$
(1) $
9/27/2012
$
9/30/2010
$
1/6/2011
$
(3) $
3/30/2011
$
(4) $
6/29/2011
$
(36) $
6/28/2012
$
(30) $
9/27/2012
$
(83) $
12/27/2012
$
9/30/2010
$
6/29/2011
$
(1) $
6/28/2012
$
(1) $
9/27/2012
$
9/30/2010
$
$
1,160,445 Updated portfolio data from servicer
1/6/2011
$
(2) $
1,160,443 Updated portfolio data from servicer
3/23/2011
$
(1,160,443) $
9/30/2010
$
$
(145,056) $
45,056
$
(2) $
45,056
$
(2) $
765,945
$
(14) $
45,056
$
(2) $
360,445
901,112
$
- 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
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 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
Updated due to quarterly assessment and
2,465,872 reallocation
Updated due to quarterly assessment and
2,465,789 reallocation
Updated due to quarterly assessment and
2,465,775 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
- Termination of SPA
2,901,112 Updated portfolio data from servicer
1/6/2011
$
(4) $
3/30/2011
$
(5) $
6/29/2011
$
(48) $
6/28/2012
$
(36) $
9/14/2012
$
(2,888,387) $
9/30/2010
$
45,056
6/29/2011
$
(1) $
6/28/2012
$
(1) $
9/27/2012
$
9/30/2010
$
6/29/2011
$
(1) $
6/28/2012
$
(1) $
9/27/2012
$
9/30/2010
$
6/29/2011
$
(1) $
6/28/2012
$
(1) $
9/27/2012
$
9/30/2010
$
$
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
$
(2) $
45,056
$
(2) $
45,056
$
(2) $
180,222
$
1/6/2011
$
(2) $
3/30/2011
$
(2) $
6/29/2011
$
(18) $
6/28/2012
$
(14) $
9/27/2012
$
(37) $
12/27/2012
$
9/30/2010
$
1/6/2011
$
(4) $
3/30/2011
$
(4) $
6/29/2011
$
(40) $
(6) $
765,945
$
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
Updated due to quarterly assessment and
2,901,019 reallocation
12,632 Termination of SPA
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 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
Updated due to quarterly assessment and
1,160,409 reallocation
Updated due to quarterly assessment and
1,160,372 reallocation
Updated due to quarterly assessment and
1,160,366 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
103
Servicer Modifying Borrowers' Loans
Adjustment Details
Name of Institution
Date
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
1000773
1000773
1000773
9/30/2010
Tulsa
Gateway Mortgage Group, LLC
OK
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1001744
1001744
1001744
9/30/2010
Gardner
GFA Federal Credit Union
MA
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
1001637
9/30/2010
Saint Paul
Guaranty Bank
MN
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
10350
10350
10350
9/24/2010
Kansas City
James B. Nutter & Company
MO
Purchase
Financial Instrument for Home Loan Modifications
$
300,000
N/A
4, 8
1000492
1000492
1000492
1000492
1000492
1000492
9/30/2010
New Orleans
Liberty Bank and Trust Co
LA
Purchase
Financial Instrument for Home Loan Modifications
$
1,000,000
N/A
1001010
1001010
1001010
1001010
1001010
1001010
9/30/2010
Buffalo
M&T Bank
NY
Purchase
Financial Instrument for Home Loan Modifications
$
700,000
N/A
4, 8
10529
10529
10529
10529
10529
10529
9/30/2010
Germantown
Magna Bank
TN
Purchase
Financial Instrument for Home Loan Modifications
$
1,400,000
N/A
5
1000645
1000645
1000645
1000645
1000645
1000645
9/30/2010
Lexena
Mainstreet Credit Union
KS
Purchase
Financial Instrument for Home Loan Modifications
$
500,000
N/A
1001636
1001636
9/30/2010
Charlotte
Marsh Associates, Inc.
NC
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1001907
1001907
1001907
9/30/2010
Oklahoma City
Midland Mortgage Company
OK
Purchase
Financial Instrument for Home Loan Modifications
$
43,500,000
N/A
4, 5
10457
10457
10457
10457
10457
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
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
6/28/2012
$
(30) $
(83) $
Reason for Adjustment
Updated due to quarterly assessment and
2,465,867 reallocation
Updated due to quarterly assessment and
2,465,784 reallocation
Updated due to quarterly assessment and
2,465,770 reallocation
9/27/2012
$
12/27/2012
$
9/30/2010
$
6/29/2011
$
(1) $
6/28/2012
$
(1) $
9/27/2012
$
9/30/2010
$
3/23/2011
$
9/30/2010
$
6/29/2011
$
(1) $
6/28/2012
$
(1) $
9/27/2012
$
9/30/2010
$
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(6) $
6/28/2012
$
(4) $
9/27/2012
$
(12) $
12/27/2012
$
9/30/2010
$
1/6/2011
$
(2) $
3/30/2011
$
(2) $
6/29/2011
$
(23) $
6/28/2012
$
(17) $
9/27/2012
$
(48) $
12/27/2012
$
9/30/2010
$
1/6/2011
$
(1) $
3/30/2011
$
(1) $
6/29/2011
$
(11) $
6/28/2012
$
(11) $
9/27/2012
$
(30) $
12/27/2012
$
9/30/2010
$
1/6/2011
$
(3) $
3/30/2011
$
(3) $
6/29/2011
$
(33) $
6/28/2012
$
(25) $
9/27/2012
$
(68) $
12/27/2012
$
9/30/2010
$
$
725,278 Updated portfolio data from servicer
1/6/2011
$
(1) $
725,277 Updated portfolio data from servicer
3/9/2011
$
(725,277) $
9/30/2010
$
6/29/2011
$
(1) $
6/28/2012
$
(1) $
9/27/2012
$
9/30/2010
$
1/6/2011
$
(125) $
3/30/2011
$
(139) $
6/29/2011
$
(1,223) $
6/28/2012
$
7/16/2012
$
294,540,000
7/27/2012
$
(263,550,000) $
9/27/2012
$
(3,170) $
12/27/2012
$
9/30/2010
$
(14) $
45,056
$
(2) $
45,056
$
(145,056) $
45,056
$
(2) $
135,167
$
(2) $
450,556
$
(8) $
315,389
$
(5) $
630,778
$
(11) $
225,278
45,056
$
(1) $
49,915,806
$
(797) $
$
(507) $
45,056
$
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
145,056 Updated portfolio data from servicer
- Termination of SPA
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 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
Updated due to quarterly assessment and
435,155 reallocation
Updated due to quarterly assessment and
435,143 reallocation
Updated due to quarterly assessment and
435,141 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
Updated due to quarterly assessment and
1,450,512 reallocation
Updated due to quarterly assessment and
1,450,464 reallocation
Updated due to quarterly assessment and
1,450,456 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
Updated due to quarterly assessment and
1,015,365 reallocation
Updated due to quarterly assessment and
1,015,335 reallocation
Updated due to quarterly assessment and
1,015,330 reallocation
2,030,778 Updated portfolio data from servicer
2,030,775 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,030,772 reallocation
Updated due to quarterly assessment and
2,030,739 reallocation
Updated due to quarterly assessment and
2,030,714 reallocation
Updated due to quarterly assessment and
2,030,646 reallocation
Updated due to quarterly assessment and
2,030,635 reallocation
- Termination of SPA
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,053 reallocation
93,415,806 Updated portfolio data from servicer
93,415,681 Updated portfolio data from servicer
Updated due to quarterly assessment and
93,415,542 reallocation
Updated due to quarterly assessment and
93,414,319 reallocation
Updated due to quarterly assessment and
93,413,522 reallocation
387,953,522 Transfer of cap due to servicing transfer
124,403,522 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
124,400,352 reallocation
Updated due to quarterly assessment and
124,399,845 reallocation
145,056 Updated portfolio data from servicer
104
Servicer Modifying Borrowers' Loans
Date
Adjustment Details
Name of Institution
City
State
Transaction
Type
Pricing
Mechanism
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Note
1001163
1001163
1001163
9/30/2010
Miles City
Stockman Bank of Montana
MT
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1000818
1000818
1000818
9/30/2010
Salt Lake City
University First Federal Credit Union
UT
Purchase
Financial Instrument for Home Loan Modifications
$
600,000
N/A
1001721
1001721
9/30/2010
Woodbridge
Weststar Mortgage, Inc.
VA
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1001893
1001893
1001893
12/15/2010
Denver
Statebridge Company, LLC
CO
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
12/15/2010
San Juan
Scotiabank de Puerto Rico
PR
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1000991
1000991
1000991
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
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
1001970
1001970
1001970
4/13/2011
Hawthorne
Western Federal Credit Union
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1001231
1001231
5/13/2011
Anaheim Hills
FCI Lender Services, Inc.
1002025
1002025
1002025
CA
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
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
6/29/2011
$
(1) $
6/28/2012
$
(1) $
9/27/2012
$
9/30/2010
$
6/29/2011
$
(1) $
6/28/2012
$
(1) $
9/27/2012
$
9/30/2010
$
$
870,334 Updated portfolio data from servicer
1/6/2011
$
(1) $
870,333 Updated portfolio data from servicer
2/17/2011
$
(870,333) $
9/30/2010
$
6/29/2011
$
(1) $
6/28/2012
$
(1) $
9/27/2012
$
12/15/2010
$
1/6/2011
$
2/16/2011
$
500,000
$
5,499,993 Transfer of cap due to servicing transfer
3/16/2011
$
100,000
$
3/30/2011
$
5,599,993 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,599,984 reallocation
Updated due to quarterly assessment and
5,599,899 reallocation
(2) $
45,056
$
(2) $
270,334
45,056
$
(2) $
5,000,000
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
- Termination of SPA
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
$
5,000,000 Updated portfolio data from servicer
(7) $
4,999,993 Updated portfolio data from servicer
(9) $
6/29/2011
$
(85) $
11/16/2011
$
(2,500,000) $
3/15/2012
$
6/28/2012
$
200,000
$
(40) $
(100) $
3,099,899 Transfer of cap due to servicing transfer
3,299,899 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,299,859 reallocation
Updated due to quarterly assessment and
3,299,759 reallocation
9/27/2012
$
10/16/2012
$
170,000
$
3,469,759 Transfer of cap due to servicing transfer
11/15/2012
$
(30,000) $
3,439,759 Transfer of cap due to servicing transfer
12/14/2012
$
(80,000) $
12/27/2012
$
(17) $
3,359,759 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,359,742 reallocation
1/16/2013
$
50,000
$
3,409,742 Transfer of cap due to servicing transfer
2/14/2013
$
1,240,000
$
4,649,742 Transfer of cap due to servicing transfer
12/15/2010
$
4,300,000
$
4,300,000 Updated portfolio data from servicer
1/6/2011
$
(4) $
6/29/2011
$
(5) $
6/28/2012
$
(23) $
9/27/2012
$
(63) $
12/27/2012
$
4/13/2011
$
200,000
$
200,000 Transfer of cap due to servicing transfer
5/13/2011
$
100,000
$
300,000 Transfer of cap due to servicing transfer
6/16/2011
$
300,000
$
6/29/2011
$
600,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
599,991 reallocation
8/16/2011
$
6/28/2012
$
(7) $
(19) $
(11) $
(9) $
200,000
$
4,299,996 Updated portfolio data from servicer
Updated due to quarterly assessment and
4,299,991 reallocation
Updated due to quarterly assessment and
4,299,968 reallocation
Updated due to quarterly assessment and
4,299,905 reallocation
Updated due to quarterly assessment and
4,299,894 reallocation
799,991 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
799,984 reallocation
Updated due to quarterly assessment and
799,965 reallocation
Updated due to quarterly assessment and
799,962 reallocation
9/27/2012
$
12/27/2012
$
4/13/2011
$
100,000
$
100,000 Transfer of cap due to servicing transfer
4/13/2011
$
1,000,000
$
1,000,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,233,268 reallocation
(3) $
6/29/2011
$
233,268
$
11/16/2011
$
100,000
$
6/28/2012
$
(3) $
(10) $
1,333,268 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,333,265 reallocation
Updated due to quarterly assessment and
1,333,255 reallocation
Updated due to quarterly assessment and
1,333,253 reallocation
9/27/2012
$
12/27/2012
$
4/13/2011
$
200,000
$
6/29/2011
$
17,687
$
9/27/2012
$
5/13/2011
$
500,000
$
500,000 Transfer of cap due to servicing transfer
6/16/2011
$
100,000
$
6/29/2011
$
600,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
599,991 reallocation
7/14/2011
$
(2) $
(1) $
(9) $
200,000
$
200,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
217,687 reallocation
Updated due to quarterly assessment and
217,686 reallocation
799,991 Transfer of cap due to servicing transfer
105
Servicer Modifying Borrowers' Loans
Adjustment Details
Name of Institution
Date
City
State
Transaction
Type
Pricing
Mechanism
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Note
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
7/14/2011
Beaverton
Gregory Funding, LLC
OR
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1002041
1002041
1002041
1002041
1002041
1002041
1002041
1002041
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
10107
10107
10107
10107
12/15/2011
Irvine
Rushmore Loan Management Services LLC
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
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
6/14/2012
Resurgent Capital Solutions, LP
Greenville
SC
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1001111
1001111
1001111
1001111
1001111
11/15/2012
Orange
Kondaur Capital Corporation
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1002292
1002292
1002292
12/14/2012
Quicken Loans Inc
Detroit
MI
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
2/14/2013
Home Servicing, LLC
Baton Rouge
LA
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
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
5/16/2012
$
1,510,000
$
4,909,991 Transfer of cap due to servicing transfer
6/14/2012
$
450,000
$
6/28/2012
$
5,359,991 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,359,925 reallocation
7/16/2012
$
250,000
$
5,609,925 Transfer of cap due to servicing transfer
8/16/2012
$
90,000
$
9/27/2012
$
5,699,925 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,699,734 reallocation
10/16/2012
$
140,000
$
5,839,734 Transfer of cap due to servicing transfer
11/15/2012
$
70,000
$
5,909,734 Transfer of cap due to servicing transfer
12/14/2012
$
40,000
$
12/27/2012
$
5,949,734 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,949,700 reallocation
1/16/2013
$
40,000
$
5,989,700 Transfer of cap due to servicing transfer
2/14/2013
$
50,000
$
6,039,700 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
$
6/28/2012
$
1,200,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,199,991 reallocation
8/16/2012
$
9/27/2012
$
10/16/2012
$
50,000
$
1,269,965 Transfer of cap due to servicing transfer
12/14/2012
$
10,000
$
12/27/2012
$
1,279,965 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,279,960 reallocation
1/16/2013
$
130,000
$
1,409,960 Transfer of cap due to servicing transfer
2/14/2013
$
120,000
$
1,529,960 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
$
6/28/2012
$
9/27/2012
$
1,300,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,299,985 reallocation
Updated due to quarterly assessment and
1,299,943 reallocation
10/16/2012
$
12/27/2012
$
12/15/2011
$
200,000
$
200,000 Transfer of cap due to servicing transfer
4/16/2012
$
600,000
$
6/28/2012
$
800,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
799,997 reallocation
8/16/2012
$
9/27/2012
$
10/16/2012
$
1,270,000
$
2,179,984 Transfer of cap due to servicing transfer
11/15/2012
$
230,000
$
12/27/2012
$
2,409,984 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
2,409,979 reallocation
1/16/2013
$
990,000
$
3,399,979 Transfer of cap due to servicing transfer
2/14/2013
$
600,000
$
3,999,979 Transfer of cap due to servicing transfer
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
6/14/2012
$
940,000
$
6/28/2012
$
205,242
$
940,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,145,242 reallocation
Updated due to quarterly assessment and
1,145,239 reallocation
Updated due to quarterly assessment and
1,145,238 reallocation
(66) $
(191) $
(34) $
(9) $
20,000
$
(26) $
(5) $
(15) $
(42) $
140,000
$
(8) $
(3) $
110,000
$
(13) $
(5) $
1,439,943 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,439,935 reallocation
909,997 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
909,984 reallocation
9/27/2012
$
12/27/2012
$
1/16/2013
$
10,000
$
1,155,238 Transfer of cap due to servicing transfer
2/14/2013
$
8,690,000
$
9,845,238 Transfer of cap due to servicing transfer
11/15/2012
$
30,000
$
30,000 Transfer of cap due to servicing transfer
12/14/2012
$
70,000
$
100,000 Transfer of cap due to servicing transfer
1/16/2013
$
(10,000) $
90,000 Transfer of cap due to servicing transfer
2/14/2013
$
(10,000) $
80,000 Transfer of cap due to servicing transfer
12/14/2012
$
10,000
$
10,000 Transfer of cap due to servicing transfer
2/14/2013
$
510,000
$
510,000 Transfer of cap due to servicing transfer
Total Cap Adjustments
(3) $
1,219,991 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,219,965 reallocation
(1) $
$
6,039,454,004
$
29,871,024,003.91
106
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
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/ Bank of America, N.A., Home Loan Services, Inc. and Wilshire Credit Corporation were merged into BAC Home Loans Servicing, LP. and the remaining Adjusted Cap stated above represents the amount previously paid to each servicer 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
107
Supplemental Information [Not Required by EESA §114(a)]
Making Home Affordable Program
Non-GSE Incentive Payments (through February 2013)
Name of Institution
Allstate Mortgage Loans & Investments, Inc.
AMS Servicing, LLC
Aurora Financial Group, Inc
Aurora Loan Services LLC
Bank of America, N.A.
Bank of America, National Association
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
Community Credit Union of Florida
CUC Mortgage Corporation
DuPage Credit Union
EMC Mortgage Corporation
Fay Servicing, LLC
FCI Lender Services, Inc.
Fidelity Homestead Savings Bank
FIRST BANK
First Keystone Bank
First Mortgage Corporation
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
Homeward Residential, Inc.
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
Lake National Bank
Litton Loan Servicing, LP
Los Alamos National Bank
M&T Bank
Marix Servicing LLC
Marsh Associates, Inc.
Midland Mortgage Co.
Midwest Community Bank
Mission Federal Credit Union
MorEquity, Inc.
Mortgage Center LLC
National City Bank
Nationstar Mortgage LLC
Navy Federal Credit Union
New York Community Bank
Oakland Municipal Credit Union
Ocwen Loan Servicing, LLC
OneWest Bank
ORNL Federal Credit Union
Park View Federal Savings Bank
Pathfinder Bank
PennyMac Loan Services, LLC
PNC Bank, National Association
Purdue Employees Federal Credit Union
Quantum Servicing Corporation
Residential Credit Solutions, Inc.
Resurgent Capital Services, L.P.
RG Mortgage
Borrowers
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
5,035.81
2,833.34
24,689.43
15,997,418.00
4,267,061.97
210,365,292.60
5,842,377.85
5,630,611.74
6,700,732.10
1,486,906.56
68,935.85
52,816,340.43
15,250.01
3,000.00
41,325.91
5,028.28
7,569,459.20
386,235.60
18,873.90
658,028.35
2,775.62
1,000.00
283,203.67
750.00
3,833.34
4,000.00
44,574,966.75
6,916.67
45,600.53
1,648,488.25
36,742.83
916.67
22,419.74
169,857.80
1,916.66
50,420,025.35
5,265.13
9,000.00
14,416.67
15,488.88
4,603.44
209,373,895.07
5,243.60
3,000.00
13,441,220.42
13,637.50
36,897.04
352,195.77
4,849.35
2,777,759.51
1,000.00
45,921.54
345,841.21
104,096.73
1,903,391.47
23,944,106.84
361,581.07
12,344.17
72,314,806.96
43,437,519.00
8,951.20
11,000.00
2,750.00
4,424,675.79
68,854.34
1,000.00
134,393.34
1,052,994.70
55,886.06
164,852.94
Lenders / Investors
$
$
8,622.05
42,738.23
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
41,236,849.69
17,852,011.77
422,057,290.73
14,839,171.94
10,075,935.72
19,022,089.18
3,699,755.50
127,848.16
170,255,815.44
42,839.36
4,631.53
109,523.41
23,416.00
11,592,937.05
853,115.32
35,818.22
1,520,193.80
3,423.27
$
$
$
$
$
$
$
$
$
588,017.10
2,712.97
13,204.31
2,405.47
108,074,159.59
13,376.80
113,967.12
9,337,389.95
76,610.94
$
$
$
$
$
$
$
$
$
$
30,046.88
2,440,767.73
3,036,319.34
5,572.90
130,292,601.43
13,606.35
10,502.00
23,589.08
29,833.75
18,222.33
$
$
$
$
$
434,529,628.45
5,128.22
3,651.45
35,353,125.99
24,377.07
$
970,196.74
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
553,079.51
1,817.60
126,014.79
2,305,003.00
192,941.93
6,484,495.23
46,487,853.00
829,674.65
31,779.17
3,568.11
190,135,749.17
132,532,281.41
17,750.23
23,936.55
4,571.39
7,813,649.35
501,926.66
1,325.40
335,507.71
2,862,028.21
101,527.75
227,582.28
Servicer
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
8,035.81
35,000.00
27,843.67
28,629,251.10
9,159,438.92
276,633,036.18
9,486,606.47
8,592,353.90
13,713,690.06
2,796,791.14
161,096.14
92,167,071.06
33,316.67
5,000.00
81,457.62
10,328.28
16,279,383.05
398,735.55
21,416.32
1,000.00
1,171,121.84
8,717.90
1,000.00
671,093.67
3,000.00
7,916.67
6,000.00
74,494,079.11
10,100.00
80,224.29
3,986,693.20
39,391.38
1,000.00
46,400.46
3,698,606.99
5,272,500.00
5,833.34
93,140,161.77
10,169.53
15,000.00
16,000.00
26,000.00
26,538.88
5,047.55
300,332,502.48
14,634.56
4,000.00
27,530,413.93
28,751.00
40,460.74
839,632.77
5,197.00
3,455,820.40
2,000.00
84,671.53
1,977,320.74
221,870.56
3,831,637.05
35,002,590.59
699,750.64
20,603.56
6,500.00
130,587,452.43
66,609,880.72
22,451.20
19,000.00
7,033.34
5,324,634.16
337,750.00
2,000.00
183,984.09
1,893,672.54
63,136.06
401,333.81
Total Payments to Date
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
21,693.67
80,571.57
52,533.10
85,863,518.79
31,278,512.66
909,055,619.51
30,168,156.26
24,298,901.36
39,436,511.34
7,983,453.20
357,880.15
315,239,226.93
91,406.04
12,631.53
232,306.94
38,772.56
35,441,779.30
1,638,086.47
76,108.44
1,000.00
3,349,343.99
14,916.79
2,000.00
1,542,314.44
6,462.97
24,954.32
12,405.47
227,143,205.45
30,393.47
239,791.94
14,972,571.40
152,745.15
1,916.67
98,867.08
6,309,232.52
8,308,819.34
13,322.90
273,852,788.55
29,041.01
25,502.00
48,589.08
70,250.42
60,250.09
9,650.99
944,236,026.00
25,006.38
10,651.45
76,324,760.34
66,765.57
77,357.78
2,162,025.28
10,046.35
6,786,659.42
4,817.60
256,607.86
4,628,164.95
518,909.22
12,219,523.75
105,434,550.43
1,891,006.36
64,726.90
10,068.11
393,038,008.56
242,579,681.13
49,152.63
53,936.55
14,354.73
17,562,959.30
908,531.00
4,325.40
653,885.14
5,808,695.45
220,549.87
793,769.03
108
Name of Institution
RoundPoint Mortgage Servicing Corporation
Rushmore Loan Management Services LLC
Saxon Mortgage Services, Inc.
Schools Financial Credit Union
Scotiabank de Puerto Rico
Select Portfolio Servicing, Inc.
Selene Finance LP
Servis One, Inc., dba BSI Financial Services, Inc.
ShoreBank
Silver State Schools Credit Union
Specialized Loan Servicing LLC
Statebridge Company, LLC
Sterling Savings Bank
Technology Credit Union
The Bryn Mawr Trust Company
The Golden 1 Credit Union
U.S. Bank National Association
United Bank
United Bank Mortgage Corporation
Urban Partnership Bank
Vantium Capital, Inc. d/b/a Acqura Loan Services
Vericrest Financial, Inc.
Wachovia Mortgage, FSB
Wells Fargo Bank, N.A.
Wescom Central Credit Union
Western Federal Credit Union
Wilshire Credit Corporation
Yadkin Valley Bank
Total
Borrowers
Lenders / Investors
Servicer
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
116,107.33
54,549.81
19,655,074.77
16,583.35
365,285.00
51,467,913.10
44,771.65
333,553.38
49,915.10
40,355.90
2,166,946.56
9,535.75
115,891.60
35,250.00
7,136.68
180,239.25
8,617,842.01
2,000.00
29,175.28
112,687.70
228,807.48
525,244.70
145,870,446.44
168,189.12
13,416.67
19,828.50
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
314,852.70
171,099.22
41,738,413.24
45,778.09
486,052.19
101,080,905.15
117,051.65
691,828.07
153,906.17
174,376.81
5,165,289.60
34,180.92
254,100.33
135,590.56
10,239.41
676,193.79
22,319,749.96
1,472.38
59,291.98
228,313.34
475,175.91
1,456,694.67
76,889.58
343,439,585.96
541,463.06
35,118.35
490,394.10
21,622.16
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
236,281.44
71,122.08
39,413,598.23
30,500.00
416,008.60
78,485,480.01
60,850.17
430,966.26
143,165.10
69,189.24
4,341,494.51
9,642.90
222,339.84
55,016.67
7,435.80
405,416.15
17,165,087.71
4,000.00
53,363.61
122,245.07
375,189.22
1,360,933.62
162,000.00
230,450,481.23
291,225.08
16,916.67
1,167,000.00
39,428.50
$
1,013,829,037.68
$
2,350,382,732.78
$
1,596,140,512.13
Total Payments to Date
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
667,241.47
296,771.11
100,807,086.24
92,861.44
1,267,345.79
231,034,298.26
222,673.47
1,456,347.71
346,986.37
283,921.95
11,673,730.67
53,359.57
592,331.77
225,857.23
24,811.89
1,261,849.19
48,102,679.68
7,472.38
141,830.87
463,246.11
1,079,172.61
3,342,872.99
238,889.58
719,760,513.63
1,000,877.26
65,451.69
1,657,394.10
80,879.16
4,960,352,282.59
109
Housing Finance Agency Innovation Fund for the Hardest Hit Housing Markets
Hardest Hit Funds (HHF) Program
Seller
Note
Date
Name of Institution
6/23/2010 Nevada Affordable Housing Assistance Corporation
2
3
2
3
2
3
9/23/2010
9/29/2010
6/23/2010 CalHFA Mortgage Assistance Corporation
9/23/2010
9/29/2010
6/23/2010 Florida Housing Finance Corporation
9/23/2010
9/29/2010
6/23/2010 Arizona (Home) Foreclosure Prevention Funding Corporation
3
9/29/2010
6/23/2010 Michigan Homeowner Assistance Nonprofit Housing Corporation
2
3
9/23/2010
9/29/2010
8/3/2010 North Carolina Housing Finance Agency
2
3
9/23/2010
9/29/2010
2
3
2
3
2
3
2
3
3
3
3
3
3
3
3
3
3
8/3/2010 Ohio Homeowner Assistance LLC
9/23/2010
9/29/2010
8/3/2010 Oregon Affordable Housing Assistance Corporation
9/23/2010
9/29/2010
8/3/2010 Rhode Island Housing and Mortgage Finance Corporation
9/23/2010
9/29/2010
8/3/2010 SC Housing Corp
9/23/2010
9/29/2010
9/23/2010 Alabama Housing Finance Authority
9/29/2010
9/23/2010 Kentucky Housing Corporation
9/29/2010
9/23/2010 Mississippi Home Corporation
9/29/2010
9/23/2010 GHFA Affordable Housing, Inc.
9/29/2010
9/23/2010 Indiana Housing and Community Development Authority
9/29/2010
9/23/2010 Illinois Housing Development Authority
9/29/2010
9/23/2010 New Jersey Housing and Mortgage Finance Agency
9/29/2010
9/23/2010 District of Columbia Housing Finance Agency
9/29/2010
9/23/2010 Tennessee Housing Development Agency
9/29/2010
City
Reno
Sacramento
Tallahassee
Phoenix
Lansing
Raleigh
Columbus
Salem
Providence
Columbia
Montgomery
State
Transaction
Type
NV
Purchase
Financial Instrument for HHF Program
Purchase
Purchase
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Purchase
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
AZ
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
MI
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
NC
Purchase
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Purchase
Purchase
Purchase
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Purchase
Purchase
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Purchase
Purchase
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Purchase
Purchase
Purchase
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Purchase
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Purchase
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
CA
FL
OH
OR
RI
SC
AL
Frankfort
KY
Jackson
MS
Atlanta
GA
Indianapolis
Chicago
Trenton
Washington
Nashville
IN
IL
NJ
DC
TN
Investment Description
Investment Amount
Pricing
Additional
1
Investment Amount
Mechanism
$
194,026,240
102,800,000
N/A
Initial Investment
Amount
$
$
699,600,000
-
$
$
$
34,056,581
57,169,659
476,257,070
$
1,975,334,096
$
1,057,839,136
400,974,381
-
$
267,766,006
$
498,605,738
N/A
N/A
N/A
482,781,786
N/A
N/A
N/A
418,000,000
-
$
$
$
125,100,000
$
$
154,500,000
142,666,006
-
$
$
$
159,000,000
128,461,559
215,644,179
-
$
$
120,874,221
202,907,565
$
$
$
$
$
$
$
$
$
$
$
$
$
$
172,000,000
88,000,000
43,000,000
138,000,000
60,672,471
55,588,050
38,036,950
126,650,987
82,762,859
$
$
$
$
$
$
$
$
$
$
$
$
$
166,352,726
112,200,637
7,726,678
$
81,128,260
-
$
$
$
$
N/A
N/A
N/A
N/A
799,477,026
238,864,755
148,728,864
249,666,235
49,294,215
82,748,571
13,570,770
22,780,803
58,772,347
98,659,200
101,848,874
93,313,825
63,851,373
212,604,832
138,931,280
279,250,831
188,347,507
12,970,520
136,187,333
TOTAL INVESTMENT AMOUNT
N/A
N/A
N/A
N/A
$
N/A
N/A
$
570,395,099
$
220,042,786
$
79,351,573
N/A
N/A
N/A
$
295,431,547
$
162,521,345
N/A
N/A
N/A
N/A
$
148,901,875
N/A
N/A
$
101,888,323
$
339,255,819
N/A
N/A
$
221,694,139
$
445,603,557
$
300,548,144
$
20,697,198
N/A
N/A
N/A
N/A
N/A
N/A
N/A
$
217,315,593
$
7,600,000,000
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
1/ The purchase will be incrementally funded up to the investment amount.
2/ On 9/23/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.
3/ On 9/29/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.
110
FHA SHORT REFINANCE PROGRAM
Seller
Footnote
Date
1
9/3/2010
Name
Citigroup, Inc.
City
New York
State
Transaction
Type
NY
Purchase
Investment Description
Facility Purchase Agreement, dated as of September 3,
2010, between the U.S. Department of the Treasury
and Citibank, N.A
$
TOTAL
$
Investment Amount
8,117,000,000
Pricing Mechanism
N/A
8,117,000,000
1/ On September 3, 2010, the U.S. Department of the Treasury and Citibank, N.A. entered into a facility purchase agreement (the 'L/C Facility Agreement"), which allowed Treasury to demand from Citigroup the issuance of an up
to $8 billion, 10-year letter of credit (the "L/C"). Treasury will increase availability under the L/C incrementally in proportion to the dollar value of mortgages refinanced under the FHA Short Refinance program from time to time
during the first 2.5 years. At that time, the amount of the L/C will be capped at the then-current level. Under the terms of the L/C Facility Agreement, Treasury will incur fees for the availability and usage of the L/C up to a maximum
amount of $117 million.
111
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Projected Costs and Liabilities [Section 105(a)(3)(E)]
For Period Ending February 28, 2013
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.
112
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Programmatic Operating Expenses [Section 105(a)(3)(F)]
For Period Ending February 28, 2013
Type of Expense
Amount
Compensation for financial agents
and legal firms
$834,875,909
113
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Description of Vehicles Established [Section 105(a)(3)(H)]
For Period Ending February 28, 2013
Date
Vehicle
Description
None
114
HAMP Application Activity by Servicer 1
As of January 2013
Servicer Name
6
Bank of America, NA
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
Homeward Residential
iServe Residential Lending, LLC
iServe Servicing, Inc.
JPMorgan Chase Bank, NA
Midland Mortgage Co.
National City Bank
Nationstar Mortgage LLC
Navy Federal Credit Union
Ocwen Loan Servicing, LLC
OneWest Bank
ORNL Federal Credit Union
PennyMac Loan Services, LLC
PNC Bank, National Association
Residential Credit Solutions, Inc.
Select Portfolio Servicing, Inc.
Specialized Loan Servicing LLC
U.S. Bank National Association
Wells Fargo Bank, NA
7
Other Servicers
TOTAL
# Requests
2
Received
13,369
76
1,993
1,251
483
1,233
9,017
1,469
6,629
37,681
3,173
320
13,466
525
12,152
5,212
8
456
12
499
2,657
3,133
3,756
10,751
129,321
Activity in January 2013
# Requests
# Requests
3
4
Processed
Approved
19,568
4,748
66
32
1,831
923
1,011
288
436
37
1,434
833
10,667
725
1,586
995
5,331
751
17,254
3,000
2,889
197
319
56
9,953
958
304
54
9,317
2,133
5,364
433
13
331
90
8
294
28
3,294
827
1,952
355
1,545
73
9,852
2,827
104,619
20,363
# Requests
5
Denied
14,820
34
908
723
399
601
9,942
591
4,580
14,254
2,692
263
8,995
250
7,184
4,931
13
241
8
266
2,467
1,597
1,472
7,025
84,256
# Requests
2
Received
1,226,824
9,002
22,961
53,548
21,886
518,532
416,789
69,204
219,491
1
31
1,423,023
78,848
32,203
296,528
7,331
452,263
349,496
410
11,106
552
13,696
105,829
30,686
88,301
724,768
170,810
6,344,119
Program-to-Date
# Requests
# Requests
3
4
Processed
Approved
1,207,403
566,523
8,838
4,297
20,952
8,261
51,913
17,895
21,315
5,403
503,402
214,047
408,593
90,456
67,806
25,417
214,724
56,432
1
1
31
13
1,389,164
419,870
76,020
5,409
32,162
26,611
269,893
64,411
6,948
1,337
446,636
115,038
332,465
97,809
410
36
9,994
2,619
492
17
11,731
1,256
100,732
76,463
25,891
3,002
71,604
34,200
707,313
252,409
170,810
106,097
6,157,243
2,195,329
# Requests
5
Denied
640,880
4,541
12,691
34,018
15,912
289,355
318,137
42,389
158,292
18
969,294
70,611
5,551
205,482
5,611
331,598
234,656
374
7,375
475
10,475
24,269
22,889
37,404
454,904
64,713
3,961,914
1
This report is sourced from the Monthly Servicer Survey of select servicers participating in MHA under a Servicer Participation Agreement. All data present in this report reflects what is provided by servicers participating in the survey, and
cannot be separately reviewed or validated by Treasury.
Beginning in August 2012, this report reflects a change in reporting requirements of the Monthly Servicer Survey; servicers report all HAMP modification requests received and their outcome, including multiple requests made on a loan. Prior to
August 2012, servicers counted only one request per loan. As a result of this change, prior months' reporting contained data compiled under the different methodology. This update is reflected in this report on a going forward basis.
From time to time, a servicer's current month's cumulative results may not equal that servicer's prior month's cumulative results and current month's activity; this is due to corrections or updates made to prior reporting methodology. 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, as reported by servicers to Monthly Servicer Survey question: "Number of requests received for a HAMP modification". Cumulative Requests Received
include all HAMP mortgage modification requests received since implementation of Supplemental Directive 10-02, effective June 1, 2010, and any requests that were approved and sent a Trial Offer prior to implementation of this program
guidance.
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 Requests Approved and Requests Denied, defined below. Figures
include HAMP mortgage modification requests evaluated and denied due to insufficient documentation.
4
"Requests Approved" is the total number of HAMP mortgage modification requests approved and Trial Offers sent to the borrowers, as reported by servicers to Monthly Servicer Survey question: "Number of requests Approved and Sent a
HAMP Trial Offer". 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. Cumulative Requests Approved include all HAMP mortgage modification
requests approved and Trial Offers sent since program inception, or March 2009.
5
"Requests Denied" is the total number of HAMP mortgage modification requests denied and communicated to the borrower by the servicer in accordance with program guidance, as reported by servicers to Monthly Servicer Survey question:
"Number of requests Denied for a HAMP Trial". Cumulative Requests Denied include all HAMP mortgage modification requests denied and communicated to the borrower by the servicer since implementation of Supplemental Directive 10-02,
effective June 1, 2010. Figures include HAMP mortgage modification requests evaluated and denied due to insufficient documentation.
6
7
Bank of America, NA includes BAC Home Loans Servicing, LP.
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).
@FedFRASER