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Monthly Report to Congress
January 2015
February 10, 2015
Troubled Asset Relief Program
U.S. Department of the Treasury
Table of Contents
Section
Program Updates
Capital Purchase Program
Community Development Capital Initiative
Making Home Affordable
Hardest Hit Fund
Lifetime Costs
CPP & CDCI Institutions
Administrative Obligations and Expenditures
Agreements under TARP
Insurance Contracts
Transactions Report
Investment Programs
Home Affordable Modification Program
Projected Costs and Liabilities
Programmatic Operating Expenses
Description of Vehicles Established
HAMP Application Activity by Servicer
1
Page Number
1
1
2
3
4
5
6
8
9
15
16
16
64
118
119
120
121
Legislative Requirement 1
EESA §105(a)(1)
Additional Information
EESA §105(a)(2)
EESA §105(a)(3)(A)
EESA §105(a)(3)(B)
EESA §105(a)(3)(C,D,G)
EESA §105(a)(3)(E)
EESA §105(a)(3)(F)
EESA §105(a)(3)(H)
Dodd-Frank §1483(b)
EESA (Emergency Economic Stabilization Act of 2008); Dodd-Frank (Dodd-Frank Wall Street Reform and Consumer
Protection Act).
Capital Purchase Program (CPP)
CPP Snapshot
Total Institutions Funded
Full Repayments
SBLF Repayments
CDCI Conversions
Sold Investments
Auctioned Investments
In Bankruptcy/Receivership
Merged Institutions
Total Remaining Institutions
Partial Repayments
Currently in Common2
January 2015 Activity
Institution
707
255
137
28
33
185
32
4
33
0
2
Total CPP Proceeds1
$226.43 billion
$196.42
$200
$150
$100
$50
$3.03
$19.01
$7.97
$Repayments
Auctions
Total
Dividends,
Interest &
Other Income
Warrant
Income
Date
Additional Information
Amount
Repurchases
Liberty Bancshares, Inc.
1/14/2015
Repurchased at Par
$6,500,000
Warrant Repurchases
Blue Valley Ban Corp
Liberty Bancshares, Inc.
1/7/2015
1/14/2015
Repurchased
Repurchased at Par
$3,056
$196,000
Monthly Dividends
$56,155
Top 10 Remaining CPP Institutions
Institution
1
2
3
4
5
6
7
8
9
10
1
Location
First BanCorp3
U.S. Century Bank
Chambers Bancshares, Inc.
OneFinancial Corporation
Liberty Shares, Inc.
Broadway Financial Corporation4
Suburban Illinois Bancorp, Inc.
Tidelands Bancshares, Inc.
HCSB Financial Corporation
OneUnited Bank
San Juan, PR
Miami, FL
Danville, AR
Little Rock, AR
Hinesville, GA
Los Angeles, CA
Elmhurst, IL
Mount Pleasant, SC
Loris, SC
Boston, MA
Amount Outstanding
(millions)
$185.68
$50.24
$19.82
$17.30
$17.28
$15.00
$15.00
$14.45
$12.90
$12.06
Repayments: Actual collections as of January 31, 2015, including (i) $2.21 billion in CPP investments refinanced under the Small
Business Lending Fund (SBLF), a program created by Congress outside of TARP under which certain CPP institutions were allowed
to repay TARP funds by borrowing under that program, and (ii) $0.36 billion in exchanges of CPP investments into the Community
Development Capital Initiative (CDCI), as permitted under the terms of that program. Auctions: Includes net proceeds from all auctions
of CPP preferred and note securities where cash has settled with OFS as of January 31, 2015. Warrant Income: Net Proceeds.
Includes proceeds from exercised warrants.
2
Institutions where Treasury has converted its original investment at a discount into shares of common stock in the institution.
3
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. Treasury sold
12,000,000 of such shares on August 16, 2013. Treasury sold a further 1,261,356 shares on September 13, 2013 following the
exercise by the underwriters of their over-allotment option. On December 5, 2014, Treasury completed its first pre-defined written
trading plan for the sale of 4,388,888 shares of common stock. On December 11, 2014, Treasury announced its second pre-defined
written trading plan for the sale of additional shares of common stock. Amount outstanding will be updated to reflect sales at the close
of the trading plan.
4
On August 22, 2013, Treasury exchanged its preferred stock in Broadway Financial Corporation (Broadway) for 10,146 shares of
common stock equivalent representing 50% of the liquidation preference of the preferred stock, plus 100% of previously accrued and
unpaid dividends on the preferred stock. On December 5, 2013, Treasury's 10,146 shares of common stock equivalent in Broadway
converted to 10,146,000 shares of common stock.
1
Community Development Capital Initiative (CDCI)
CDCI Snapshot
Total Institutions Funded
Full Repayments
In Bankruptcy/Receivership
Merged Institutions
Total Remaining Institutions
Partial Repayments
Currently in Common
84
18
1
1
64
3
1
January 2015 Activity
Institution
Repurchases
Bainbridge Bancshares, Inc.
Date
Additional Information
Amount
1/7/2015
Repurchased at Par
$1,000,000
$2,889
Monthly Dividends
Top 10 Remaining CDCI Institutions
Institution
1
2
3
4
5
6
7
8
9
10
1
Location
BancPlus Corporation
Community Bancshares of Mississippi, Inc.
Southern Bancorp, Inc.
Security Federal Corporation
Carver Bancorp, Inc1
Security Capital Corporation
The First Bancshares, Inc.
First American International Corp.
State Capital Corporation
Guaranty Capital Corporation
Ridgeland, MS
Brandon, MS
Arkadelphia, AR
Aiken, SC
New York, NY
Batesville, MS
Hattiesburg, MS
Brooklyn, NY
Greenwood, MS
Belzoni, MS
Amount Outstanding
(millions)
$80.91
$54.60
$33.80
$22.00
$18.98
$17.91
$17.12
$17.00
$15.75
$14.00
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.
2
Making Home Affordable (MHA)
Program Update1
In total2, nearly 2.3 million homeowner assistance actions have taken place under MHA programs. These include
permanent first and second lien mortgage modifications, completed short sales and deeds-in-lieu of foreclosure, and
unemployment forbearance plans.
HAMP Activity through December 2014
All Trials Started
Tier 1
Trial
Tier 2
Modifications
Trials Reported Since Last Report
Active Trials
All Permanent Modifications Started
Tier 1
Permanent
Tier 2
Modifications
Permanent Modifications Reported Since Last Report
Active Permanent Modifications
Median Savings
2,279,407
2,169,866
109,541
12,187
40,486
1,448,456
1,363,468
84,988
10,725
968,202
488
$
Other MHA Program Activity through December 2014
Program-to-Date
FHA and RD-HAMP Permanent Modifications Started
2MP Modifications Started
HAFA Transactions Completed
UP Forbearance Plans Started (through November 2014)
1
2
70,848
144,674
341,154
41,917
Reported Since
Prior Period
2,274
786
6,367
215
For more information about Treasury’s housing programs, please visit: http://www.treasury.gov/initiatives/financial-stability/TARPPrograms/housing/Pages/default.aspx.
Program Total Includes: Government Sponsored Enterprise (GSE) and Non-GSE HAMP permanent modifications; FHA- and RD-HAMP
modification; and GSE Standard Modifications since October 2011 under the GSEs’ Servicer Alignment Initiative as reported by the GSEs to
Treasury. HAFA Transactions Completed in the ‘Other MHA Programs’ table includes both GSE and Non-GSE HAFA transactions completed,
including those completed by the GSEs since the GSEs jointly streamlined their short sale and deed-in-lieu of foreclosure programs in
November 2012. The GSE Standard HAFA program is closely aligned with Treasury’s MHA HAFA program.
3
Hardest Hit Fund (HHF)
Program Changes in January
AL Alabama amended its Loan Modification Assistance Program to include a recast component.
FL Florida expanded eligible hardships under its Unemployment Mortgage Assistance Program and
Mortgage Loan Reinstatement Program to include financial hardships resulting from death, divorce,
and disability.
Funds Drawn Down in January
State
None
Amount (millions)
Total Drawn to Date $
4,976
Funds Drawn as of January 31, 2015
State (% Cap Disbursed)
$0
Alabama (24.6%)
Arizona (58.2%)
$1,000,000,000
Paid to Date (Amount Shown)
$40,000,000
$155,761,536
California (61.6%)
Washington D.C. (88.1%)
Illinois (80.8%)
Indiana (49.9%)
Kentucky (69.8%)
Michigan (61%)
Mississippi (54.8%)
$18,234,860
$596,250,000
$144,408,000
$360,000,000
$110,677,656
$104,000,000
$304,126,073
$55,838,832
North Carolina (81.9%)
New Jersey (81.7%)
Nevada (57.7%)
$395,180,000
$245,513,704
$112,049,869
$477,168,583
Ohio (83.7%)
Oregon (100%)
Rhode Island (100%)
South Carolina (55%)
Tennessee (81.6%)
Remaining Allocation
$1,217,490,000
Florida (56.4%)
Georgia (42.6%)
$2,000,000,000
$220,042,786
$79,351,573
$162,500,000
$177,315,593
4
Lifetime Costs
Program Update
When Congress created TARP, it authorized up to $700 billion for the programs. That authority was later reduced to $475 billion. To date, a total of
$426.9 billion has been disbursed under TARP. As of January 31, 2015, cumulative collections under TARP, together with Treasury’s additional
proceeds from the sale of non-TARP shares of AIG 1 , have exceeded total disbursements by $14.8 billion 2. Treasury estimates that the combined
overall cost of TARP will be approximately $37.4 billion. These estimates assume that the budget for TARP housing programs will be disbursed in full
and do not include Treasury’s additional proceeds from its non-TARP AIG shares. For a daily snapshot of the amount of funds obligated, the amount
disbursed, repayments, income received and any losses by program, please visit the Daily TARP Update (DTU) at:
http://www.treasury.gov/initiatives/financialstability/reports/Pages/daily-tarp-reports.aspx.
Programs as of January 31, 2015 (dollar amounts in billions)
Obligation/
Commitment
Bank Support Programs:
Capital Purchase Program (CPP):
Citigroup
Other banks with assets $10 billion or greater
Banks with assets less than $10 billion 4
Total
Targeted Investment Program (TIP)
Asset Guarantee Program (AGP)5
Community Development Capital Initiative (CDCI)
Credit Market Programs:
Public-Private Investment Program (PPIP):
Equity
Debt
Total
Term Asset Backed Securities Lending Facility (TALF)
Purchase SBA 7(a) Securities (SBA)
Other Programs:
American International Group (AIG):
Preferred Stock
Common Stock
Total
Disbursed as of
January 31
g
Investment
Balance as of
January 31
Estimated Lifetime
Cost as of
November 30 3
$
$
$
$
$
$
$
25.00
165.33
14.57
204.89
40.00
5.00
0.57
$
$
$
$
$
$
$
25.00
165.33
14.57
204.89
40.00
0.00
0.57
$
$
$
$
$
$
$
0.16
0.28
0.44
0.46
$
$
$
$
$
$
$
(6.89)
(10.24)
0.94
(16.18)
(4.00)
(4.00)
0.11
$
$
$
$
$
6.25
12.38
18.63
0.10
0.37
$
$
$
$
$
6.25
12.38
18.63
0.10
0.37
$
$
$
$
$
-
$
$
$
$
$
(3.06)
0.33
(2.73)
(0.61)
(0.00)
$
$
$
20.29
47.54
67.84
$
$
$
20.29
47.54
67.84
$
$
$
-
$
$
$
15.18
15.18
Automotive Industry Financing Program (AIFP)
$
79.69
$
79.69
$
-
$
12.25
Sub-total for Investment Programs
$
417.08
$
411.72
$
0.89
$
0.01
Making Home Affordable
Hardest Hit Fund
FHA-Refinance6
Sub-total for Housing Programs
$
$
$
$
29.79
7.60
1.03
38.42
$
$
$
$
10.13
4.98
0.06
15.17
n/a
n/a
n/a
n/a
$
$
$
$
29.79
7.60
0.03
37.42
$
455.50
$
426.89
0.89
$
37.43
n/a
$
(17.55)
0.89
$
19.88
Total for TARP Programs
n/a
Additional AIG Common Shares Held by Treasury7
Total for TARP Programs and Additional AIG Shares
$
455.50
$
n/a
$
426.89
$
1
For more information, see note 10 to the Daily TARP Update: http://www.treasury.gov/initiatives/financial-stability/reports/Pages/daily-tarp-reports.aspx
2
Treasury is continuing to disburse funds related to its housing programs, and continuing to recoup its outstanding investments.
3
Lifetime cost information are as of November 30, 2014. Estimated lifetime cost figures shown above are currently updated quarterly in conjunction with the Office of Management and
Budget. Figures include interest on reestimates.
4
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.
5
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.
6
In March 2013, Treasury reduced the amount of the letter of credit facility from $8 billion to $1 billion. The figures in this line include administrative expenses associated with the letter of
credit facility.
7
As discussed in note 10 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 on 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 close of the program.
5
Troubled Asset Relief Program
CPP & CDCI Institutions
As of January 31, 2015
A. Remaining CPP Portfolio Institutions
B. CPP Institutions Entered into Bankruptcy/Receivership - Realized Loss/Write-Off
C. Remaining CDCI Portfolio Institutions
A. Remaining CPP Portfolio Institutions
Institution Name
First BanCorp*
U.S. Century Bank
Chambers Bancshares, Inc.
OneFinancial Corporation
Liberty Shares, Inc.
Broadway Financial Corporation*
Suburban Illinois Bancorp, Inc.
Tidelands Bancshares, Inc
HCSB Financial Corporation
OneUnited Bank
Cecil Bancorp, Inc.
Farmers & Merchants Bancshares, Inc. (Allegiance Bancshares, Inc.)
City National Bancshares Corporation
Harbor Bankshares Corporation
Citizens Commerce Bancshares, Inc.
Patapsco Bancorp, Inc.
Capital Commerce Bancorp, Inc.
CalWest Bancorp
Pinnacle Bank Holding Company, Inc.
Metropolitan Capital Bancorp, Inc.
Community Bancshares, Inc.
Allied First Bancorp, Inc.
Grand Mountain Bancshares, Inc.
St. Johns Bancshares, Inc.
US Metro Bank
Prairie Star Bancshares, Inc.
SouthFirst Bancshares, Inc.
Goldwater Bank, N.A.
Grand Financial Corporation
CSRA Bank Corp.
Citizens Bank & Trust Company
Saigon National Bank
Calvert Financial Corporation
Location
San Juan, PR
Miami, FL
Danville, AR
Little Rock, AR
Hinesville, GA
Los Angeles, CA
Elmhurst, IL
Mount Pleasant, SC
Loris, SC
Boston, MA
Elkton, MD
Houston, TX
Newark, NJ
Baltimore, MD
Versailles, KY
Dundalk, MD
Milwaukee, WI
Rancho Santa Margarita, CA
Orange City, FL
Chicago, IL
Kingman, AZ
Oswego, IL
Granby, CO
St. Louis, MO
Garden Grove, CA
Olathe, KS
Sylacauga, AL
Scottsdale, AZ
Hattiesburg, MS
Wrens, GA
Covington, LA
Westminster, CA
Ashland, MO
Public/P
rivate
Public
Private
Private
Private
Private
Public
Private
Public
Public
Private
Public
Private
Private
Public
Public
Public
Private
Public
Private
Private
Private
Public
Private
Private
Public
Private
Public
Private
Private
Private
Private
Public
Private
Amount
Outstanding
$ 185,679,645.76
$
50,236,000.00
$
19,817,000.00
$
17,300,000.00
$
17,280,000.00
$
15,000,000.00
$
15,000,000.00
$
14,448,000.00
$
12,895,000.00
$
12,063,000.00
$
11,560,000.00
$
11,000,000.00
$
9,439,000.00
$
6,800,000.00
$
6,300,000.00
$
6,000,000.00
$
5,100,000.00
$
4,656,000.00
$
4,389,000.00
$
4,388,000.00
$
3,872,000.00
$
3,652,000.00
$
3,076,000.00
$
3,000,000.00
$
2,861,000.00
$
2,800,000.00
$
2,760,000.00
$
2,568,000.00
$
2,443,320.00
$
2,400,000.00
$
2,400,000.00
$
1,549,000.00
$
1,037,000.00
*Original Investment has been converted at a discount into common stock in the institution. Amount shown is original invesment amount
B. CPP Institutions Entered into Bankruptcy/Receivership - Realized Loss/Write-Off
Institution Name
CIT Group Inc.*
UCBH Holdings, Inc.
Pacific Coast National Bancorp*
Midwest Banc Holdings, Inc.*
Sonoma Valley Bancorp
Pierce County Bancorp
Tifton Banking Company*
Legacy Bancorp, Inc.
Superior Bancorp Inc.
FPB Bancorp Inc.
One Georgia Bank*
Integra Bank Corporation
Citizens Bancorp
CB Holding Corp.
Tennessee Commerce Bancorp, Inc.
Blue River Bancshares, Inc.
Fort Lee Federal Savings Bank*
Gregg Bancshares, Inc.
GulfSouth Private Bank*
Investors Financial Corporation of Pettis County, Inc.
First Place Financial Corporation*
Princeton National Bancorp
Premier Bank Holding Company*
Gold Canyon Bank*
Indiana Bank Corp.
Bankruptcy/ Receivership Date
11/1/2009
11/6/2009
11/13/2009
5/14/2010
8/20/2010
11/5/2010
11/12/2010
3/11/2011
4/15/2011
7/15/2011
7/15/2011
7/29/2011
9/23/2011
10/14/2011
1/27/2012
2/10/2012
4/20/2012
7/13/2012
10/19/2012
10/19/2012
10/29/2012
11/2/2012
8/14/2012
4/5/2013
4/9/2013
Realized Loss/ Write-Off
Amount
$
2,330,000,000.00
$
298,737,000.00
$
4,120,000.00
$
84,784,000.00
$
8,653,000.00
$
6,800,000.00
$
3,800,000.00
$
5,498,000.00
$
69,000,000.00
$
5,800,000.00
$
5,500,000.00
$
83,586,000.00
$
10,400,000.00
$
4,114,000.00
$
30,000,000.00
$
5,000,000.00
$
1,300,000.00
$
825,000.00
$
7,500,000.00
$
4,000,000.00
$
72,927,000.00
$
25,083,000.00
$
9,500,000.00
$
1,607,000.00
$
1,312,000.00
6
Rogers Bancshares, Inc.
Anchor Bancorp Wisconsin, Inc.*
TCB Holding Company
Syringa Bancorp
Idaho Bancorp
Rising Sun Bancorp
Western Community Bancshares, Inc.
*Institution has exited the bankruptcy/receivership process
7/5/2013
8/12/2013
12/13/2013
1/31/2014
4/24/2014
10/17/2014
11/7/2014
$
$
$
$
$
$
$
25,000,000.00
104,000,000.00
11,730,000.00
8,000,000.00
6,900,000.00
5,983,000.00
7,290,000.00
C. Remaining CDCI Portfolio Institutions
Institution Name
BancPlus Corporation
Community Bancshares of Mississippi, Inc.
Southern Bancorp, Inc.
Security Federal Corporation
Carver Bancorp, Inc*
Security Capital Corporation
The First Bancshares, Inc.
First American International Corp.
State Capital Corporation
Guaranty Capital Corporation
Citizens Bancshares Corporation
M&F Bancorp, Inc.
Liberty Financial Services, Inc.
Mission Valley Bancorp
United Bancorporation of Alabama, Inc.
IBC Bancorp, Inc.
Fairfax County Federal Credit Union
First Eagle Bancshares, Inc.
First Vernon Bancshares, Inc.
IBW Financial Corporation
CFBanc Corporation
American Bancorp of Illinois, Inc.
Lafayette Bancorp, Inc.
Hope Federal Credit Union
The Magnolia State Corporation
Community Bank of the Bay
Carter Federal Credit Union
Kilmichael Bancorp, Inc.
PGB Holdings, Inc.
Santa Cruz Community Credit Union
Cooperative Center Federal Credit Union
Tri-State Bank of Memphis
Community First Guam Federal Credit Union
Shreveport Federal Credit Union
Pyramid Federal Credit Union
Alternatives Federal Credit Union
Virginia Community Capital, Inc.
Southern Chautauqua Federal Credit Union
Tongass Federal Credit Union
D.C. Federal Credit Union
Vigo County Federal Credit Union
Lower East Side People's Federal Credit Union
Opportunities Credit Union
Independent Employers Group Federal Credit Union
Bethex Federal Credit Union
Community Plus Federal Credit Union
Tulane-Loyola Federal Credit Union
Northeast Community Federal Credit Union
North Side Community Federal Credit Union
Genesee Co-op Federal Credit Union
Brooklyn Cooperative Federal Credit Union
Neighborhood Trust Federal Credit Union
Prince Kuhio Federal Credit Union
Liberty County Teachers Federal Credit Union
Phenix Pride Federal Credit Union
Buffalo Cooperative Federal Credit Union
Hill District Federal Credit Union
Episcopal Community Federal Credit Union
Thurston Union of Low-Income People (TULIP) Cooperative Credit Union
Renaissance Community Development Credit Union
Faith Based Federal Credit Union
Fidelis Federal Credit Union
Union Baptist Church Federal Credit Union
East End Baptist Tabernacle Federal Credit Union
Location
Ridgeland, MS
Brandon, MS
Arkadelphia, AR
Aiken, SC
New York, NY
Batesville, MS
Hattiesburg, MS
Brooklyn, NY
Greenwood, MS
Belzoni, MS
Atlanta, GA
Durham, NC
New Orleans, LA
Sun Valley, CA
Atmore, AL
Chicago, IL
Fairfax, VA
Hanover Park, IL
Vernon, AL
Washington, DC
Washington, DC
Oak Brook, IL
Oxford, MS
Jackson, MS
Bay Springs, MS
Oakland, CA
Springhill, LA
Kilmichael, MS
Chicago, IL
Santa Cruz, CA
Berkeley, CA
Memphis, TN
Hagatna, GU
Shreveport, LA
Tucson, AZ
Ithaca, NY
Christiansburg, VA
Lakewood, NY
Ketchikan, AK
Washington, DC
Terre Haute, IN
New York , NY
Burlington, VT
Hilo, HI
Bronx, NY
Rantoul, IL
New Orleans, LA
San Francisco, CA
Chicago, IL
Rochester, NY
Brooklyn, NY
New York, NY
Honolulu, HI
Liberty, TX
Phenix City, AL
Buffalo, NY
Pittsburgh, PA
Los Angeles, CA
Olympia, WA
Somerset, NJ
Oceanside, CA
New York , NY
Fort Wayne, IN
Bridgeport, CT
Amount Outstanding
$
80,914,000.00
$
54,600,000.00
$
33,800,000.00
$
22,000,000.00
$
18,980,000.00
$
17,910,000.00
$
17,123,000.00
$
17,000,000.00
$
15,750,000.00
$
14,000,000.00
$
11,841,000.00
$
11,735,000.00
$
11,334,000.00
$
10,336,000.00
$
10,300,000.00
$
8,086,000.00
$
8,044,000.00
$
7,875,000.00
$
6,245,000.00
$
6,000,000.00
$
5,781,000.00
$
5,457,000.00
$
4,551,000.00
$
4,520,000.00
$
4,222,000.00
$
4,060,000.00
$
3,800,000.00
$
3,154,000.00
$
3,000,000.00
$
2,828,000.00
$
2,799,000.00
$
2,795,000.00
$
2,650,000.00
$
2,646,000.00
$
2,500,000.00
$
2,234,000.00
$
1,915,000.00
$
1,709,000.00
$
1,600,000.00
$
1,522,000.00
$
1,229,000.00
$
1,193,000.00
$
1,091,000.00
$
698,000.00
$
502,000.00
$
450,000.00
$
424,000.00
$
350,000.00
$
325,000.00
$
300,000.00
$
300,000.00
$
283,000.00
$
273,000.00
$
261,000.00
$
153,000.00
$
145,000.00
$
100,000.00
$
100,000.00
$
75,000.00
$
31,000.00
$
30,000.00
$
14,000.00
$
10,000.00
$
7,000.00
*Original Investment has been converted at a discount into common stock in the institution. Amount shown is original invesment amount.
7
United States Department of the Treasury
Office of Financial Stability
Report of Administrative Obligations and Expenditures
For Period Ending
January 31, 2015
PERSONNEL SERVICES
NON-PERSONNEL
SERVICES
Budget
Object Class (BOC)
Budget Object Class Title
Obligations
1100, 1200 & 1300 PERSONNEL COMPENSATION & BENEFITS
$
138,663,993
PERSONNEL SERVICES Total: $
138,663,993
2100
TRAVEL & TRANSPORTATION OF PERSONS
$
2,572,878
2200
TRANSPORTATION OF THINGS
11,960
2300
RENTS, COMMUNICATIONS, UTILITIES & MISC CHARGES
718,717
2400
PRINTING & REPRODUCTION
459
2500
OTHER SERVICES
299,061,960
2600
SUPPLIES AND MATERIALS
2,118,146
3100
3200
4200
4300
EQUIPMENT
LAND & STRUCTURES
INSURANCE CLAIMS & INDEMNITIES
INTEREST & DIVIDENDS
NON-PERSONNEL SERVICES Total: $
GRAND TOTAL: $
246,699
638.23
304,731,458
443,395,452
For Period Ending
February 28, 2015
Expenditures
$
138,663,993
$
138,663,993
$
2,564,853
11,960
718,717
459
248,100,638
2,113,961
Projected
Obligations
$
139,716,000
$
139,716,000
$
2,582,000
12,000
720,000
500
302,477,000
2,122,000
Projected
Expenditures
$
139,716,000
$
139,716,000
$
2,578,000
12,000
720,000
500
250,505,000
2,118,000
246,699
638.23
253,757,926
247,000
640.00
308,161,140
247,000
640.00
256,181,140
$
$
392,421,919
$
$
447,877,140
$
$
395,897,140
Note: The amounts presented above are cumulative from the initiation of the TARP.
8
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Agreements Under TARP [Section 105(a)(3)(A)]
For Period January 2015
Date Approved
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
11/07/2008
11/09/2008
11/17/2008
11/25/2008
12/03/2008
12/05/2008
12/10/2008
12/10/2008
12/15/2008
12/16/2008
12/22/2008
12/24/2008
01/06/2009
01/07/2009
01/27/2009
01/27/2009
01/30/2009
02/02/2009
02/03/2009
02/09/2009
02/12/2009
02/18/2009
02/18/2009
02/20/2009
02/20/2009
02/20/2009
02/20/2009
Type of Transaction
Contract
Contract
Financial Agent
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Financial Agent
Financial Agent
Interagency Agreement
Interagency Agreement
Contract
Contract
Vendor
Simpson Thacher & Bartlett LLP
Ennis Knupp & Associates Inc.
The Bank of New York Mellon
PricewaterhouseCoopers LLP
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 (IRS)
Internal Revenue Service (IRS)
Department of the Treasury ‐ Departmental Offices
Trade and Tax Bureau ‐ Treasury
Washington Post
Thacher Proffitt & Wood LLP
Sonnenschein Nath & Rosenthal LLP
Office of Thrift Supervision
Department of Housing and Urban Development
Office of Thrift Supervision
Cushman And Wakefield Of VA Inc.
U.S. Securities and Exchange Commission
Colonial Parking Inc.
Whitaker Brothers Business Machines Inc
Cadwalader Wickersham & Taft LLP
Office of the Comptroller of the Currency
Government Accountability Office
Internal Revenue Service (IRS)
Pat Taylor and Associates, Inc.
Locke Lord Bissell & Liddell LLP
Fannie Mae
Freddie Mac
Office of Thrift Supervision
FINANCIAL CLERK U.S. SENATE
Venable LLP
Simpson Thacher & Bartlett LLP
Purpose
Legal Advisory
Investment and Advisory Services
Custodian and Cash Management
Accounting/Internal Controls
Archiving Services
Accounting/Internal Controls
Legal Advisory
Legal Advisory
Human Resources Services
Legal Advisory
Administrative Support
Information Technology
Administrative Support
Information Technology
Administrative Support
Legal Advisory
Legal Advisory
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Facilities Support
Legal Advisory
Administrative Support
Compliance
Administrative Support
Administrative Support
Legal Advisory
Homeownership Program
Homeownership Program
Administrative Support
Financial Advisory
Legal Advisory
Legal Advisory
Socio‐Economic Category
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Woman‐Owned Small Business, Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Business
Other Than Small Business
Woman‐Owned Small Business, Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
9
Date Approved
02/26/2009
02/27/2009
03/06/2009
03/16/2009
03/30/2009
03/30/2009
03/30/2009
03/30/2009
03/30/2009
03/31/2009
04/03/2009
04/03/2009
04/17/2009
04/17/2009
04/21/2009
04/21/2009
04/21/2009
04/30/2009
05/05/2009
05/13/2009
05/14/2009
05/15/2009
05/20/2009
05/22/2009
05/26/2009
05/26/2009
06/09/2009
06/29/2009
07/17/2009
07/30/2009
07/30/2009
07/30/2009
08/10/2009
08/10/2009
08/18/2009
08/25/2009
09/02/2009
09/10/2009
09/11/2009
09/18/2009
09/30/2009
09/30/2009
09/30/2009
09/30/2009
11/09/2009
Type of Transaction
Interagency Agreement
Interagency Agreement
Contract
Financial Agent
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Financial Agent
Financial Agent
Financial Agent
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Contract
Interagency Agreement
Vendor
U.S. Securities and Exchange Commission
Pension Benefit Guaranty Corporation
The Boston Consulting Group
EARNEST Partners
Cadwalader Wickersham & Taft LLP
Sonnenschein Nath & Rosenthal LLP
Bingham McCutchen LLP
Haynes and Boone LLP
Mckee Nelson LLP
FI Consulting Inc.
American Furniture Rentals, Inc.
The Boston Consulting Group
Bureau of Engraving and Printing (BEP)
Herman Miller, Inc.
Alliance Bernstein L.P.
FSI Group, LLC
Piedmont Investment Advisors, LLC
U.S. Department of State
Federal Reserve Board
Department of Treasury ‐ US Mint
Knowledgebank Inc.
Phacil Inc.
U.S. Securities and Exchange Commission
Department of Justice ‐ ATF
Anderson Mc Coy & Orta
Simpson Thacher & Bartlett LLP
Financial Management Service
Department of the Interior
Korn/Ferry International
Debevoise & Plimpton, LLP
Cadwalader Wickersham & Taft LLP
Fox, Swibel, Levin & Carroll, LLP
U.S. Department of Justice
NASA
The Mercer Group, Inc.
U.S. Department of Justice
Knowledge Mosaic Inc.
Equilar, Inc.
PricewaterhouseCoopers LLP
Department of the Treasury ‐ ARC
Immixtechnology, Inc.
Immixtechnology, Inc.
Nna Incorporated
SNL Financial LC
Department of the Treasury ‐ Departmental Offices
Purpose
Administrative Support
Legal Advisory
Financial Advisory
Small Business Assistance Program
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Accounting/Internal Controls
Administrative Support
Financial Advisory
Administrative Support
Facilities Support
Asset Management Services
Asset Management Services
Asset Management Services
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Contract FOIA Support Services
Administrative Support
Administrative Support
Legal Advisory
Legal Advisory
Information Technology
Administrative Support
Administrative Support
Legal Advisory
Legal Advisory
Legal Advisory
Administrative Support
Detailee(s)
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Accounting/Internal Controls
Administrative Support
Information Technology
Information Technology
Administrative Support
Financial Advisory
Administrative Support
Socio‐Economic Category
Other Than Small Business
Small Disadvantaged Business, Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Business
Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Disadvantaged Business, Small Business
Small Disadvantaged Business, Small Business
Small Disadvantaged Business, HUBZone Small Business, Small Business
Woman‐Owned Small Business, Small Disadvantaged Business, Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Business
Small Disadvantaged Business, Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Business
Other Than Small Business
10
Date Approved
12/16/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
01/14/2010
01/15/2010
02/16/2010
02/16/2010
02/18/2010
03/08/2010
03/12/2010
03/22/2010
03/26/2010
03/29/2010
04/02/2010
04/08/2010
04/12/2010
04/22/2010
04/22/2010
04/23/2010
05/04/2010
05/17/2010
06/24/2010
06/30/2010
07/21/2010
07/21/2010
07/22/2010
07/22/2010
07/22/2010
07/27/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
Type of Transaction
Interagency Agreement
Contract
Financial Agent
Financial Agent
Financial Agent
Financial Agent
Financial Agent
Financial Agent
Interagency Agreement
Contract
Interagency Agreement
Contract
Interagency Agreement
Contract
Interagency Agreement
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
Contract
Contract
Vendor
Internal Revenue Service (IRS)
Hughes Hubbard & Reed LLP
Avondale Investments, LLC
Bell Rock Capital, LLC
Howe Barnes Hoefer & Arnett, Inc.
KBW Asset Management, Inc.
Lombardia Capital Partners, LLC
Paradigm Asset Management Co., LLC
Government Accountability Office
Association of Govt Accountants
Internal Revenue Service (IRS)
The MITRE Corporation
Department of the Treasury ‐ ARC
QualX Corporation
Department of the Treasury ‐ Departmental Offices
Financial Management Service
Federal Maritime Commission
Morgan Stanley & Co. Incorporated
FINANCIAL CLERK U.S. SENATE
Squire, Sanders & Dempsey LLP
Hewitt EnnisKnupp, Inc.
MicroLink, LLC
Digital Management Inc.
RDA Corporation
Internal Revenue Service (IRS)
Lazard Fréres & Co. LLC
Reed Elsevier PLC (dba LexisNexis)
The George Washington University
Navigant Consulting, Inc.
Regis & Associates, PC
Schiff Hardin LLP
Ernst & Young LLP
PricewaterhouseCoopers LLP
West Publishing Corporation
Alston & Bird LLP
Sullivan Cove Reign Enterprises Jv
Perkins Coie LLP
Orrick, Herrington & Sutcliffe LLP
Cadwalader Wickersham & Taft LLP
Love and Long, LLP
Venable LLP
Fox, Swibel, Levin & Carroll, LLP
Seyfarth Shaw LLP
Paul, Weiss, Rifkind, Wharton & Garrison LLP
Shulman, Rogers, Gandal, Pordy & Ecker, PA
Purpose
Administrative Support
Legal Advisory
Asset Management Services
Asset Management Services
Asset Management Services
Asset Management Services
Asset Management Services
Asset Management Services
Compliance
Administrative Support
Administrative Support
Information Technology
Administrative Support
Administrative Support
Administrative Support
Information Technology
Administrative Support
Disposition Agent Services
Financial Advisory
Legal Advisory
Investment and Advisory Services
Administrative Support
Information Technology
Information Technology
Administrative Support
Transaction Structuring Services
Administrative Support
Administrative Support
Compliance
Compliance
Legal Advisory
Compliance
Compliance
Administrative Support
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Socio‐Economic Category
Other Than Small Business
Small Disadvantaged Business, Small Business
Woman‐Owned Small Business, Small Business
Other Than Small Business
Other Than Small Business
Small Disadvantaged Business, Small Business
Small Disadvantaged Business, Small Business
Other Than Small Business
Other Than Small Business
Service‐Disabled Veteran‐Owned Small Business, Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Business
Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Disadvantaged Business, Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Disadvantaged Business, Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Woman‐Owned Small Business, Small Disadvantaged Business, Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
11
Date Approved
Type of Transaction
08/06/2010
08/06/2010
08/12/2010
08/30/2010
09/01/2010
09/17/2010
09/27/2010
09/30/2010
10/01/2010
10/01/2010
10/08/2010
10/08/2010
10/08/2010
10/08/2010
10/08/2010
10/08/2010
10/08/2010
10/08/2010
10/14/2010
10/26/2010
11/08/2010
11/18/2010
12/02/2010
12/29/2010
01/05/2011
01/18/2011
01/24/2011
01/26/2011
02/24/2011
02/28/2011
03/03/2011
03/10/2011
03/22/2011
04/20/2011
04/26/2011
04/27/2011
04/27/2011
04/27/2011
04/27/2011
04/27/2011
04/27/2011
04/28/2011
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Financial Agent
Contract
Contract
Contract
Financial Agent
Interagency Agreement
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
04/28/2011
04/28/2011
Interagency Agreement
Contract
Vendor
Hughes Hubbard & Reed LLP
Haynes and Boone LLP
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
Department of the Treasury ‐ Departmental Offices
Management Concepts, Inc.
Management Concepts, Inc.
Management Concepts, Inc.
Management Concepts, Inc.
Management Concepts, Inc.
Management Concepts, Inc.
Management Concepts, Inc.
Management Concepts, Inc.
Hispanic Assoc Of Coll & Univ
Government Accountability Office
The Mitre Corporation
Greenhill & Co., LLC
Addx Corporation
Reed Elsevier PLC (dba LexisNexis)
Canon U.S.A. Inc.
Perella Weinberg Partners & Co.
Department of the Treasury ‐ ARC
Association of Govt Accountants
ESI International Inc.
Department of the Treasury ‐ Departmental Offices
Equilar, Inc.
The Mercer Group, Inc.
Harrison Scott Publications, Inc.
Federal Reserve Bank of New York
PricewaterhouseCoopers LLP
Oculus Group LLC
FI Consulting Inc.
ASR Analytics LLC
Ernst & Young LLP
Lani Eko & Company, CPAs, LLC
MorganFranklin Consulting, LLC
Booz Allen Hamilton Inc.
Office of Personnel Management (OPM) ‐ Western
Management Development Center
KPMG LLP
Purpose
Socio‐Economic Category
Legal Advisory
Legal Advisory
Administrative Support
Administrative Support
Administrative Support
Legal Advisory
Administrative Support
Administrative Support
Financial Advisory
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Compliance
Information Technology
Structuring and Disposition Services
Acquisition Support Services
Administrative Support
Administrative Support
Structuring and Disposition Services
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Financial Advisory
Financial Advisory
Financial Advisory
Financial Advisory
Financial Advisory
Financial Advisory
Financial Advisory
Financial Advisory
Financial Advisory
Other Than Small Business
Other Than Small Business
Small Business
Other Than Small Business
Other Than Small Business
Small Disadvantaged Business, Woman‐Owned Small Business, Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Service‐Disabled Veteran‐Owned Small Business, Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Disadvantaged Business, Small Business
Other Than Small Business
Small Business
Other Than Small Business
Small Disadvantaged Business, Woman‐Owned Small Business, Small Business
Small Business
Small Business
Other Than Small Business
Small Disadvantaged Business, Small Business
Other Than Small Business
Other Than Small Business
Administrative Support
Financial Advisory
Other Than Small Business
12
Date Approved
Type of Transaction
05/31/2011
05/31/2011
06/02/2011
06/09/2011
06/17/2011
07/28/2011
09/09/2011
09/12/2011
09/15/2011
09/29/2011
09/29/2011
10/04/2011
10/20/2011
11/18/2011
11/29/2011
12/20/2011
12/30/2011
12/30/2011
01/04/2012
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Contract
Interagency Agreement
Contract
Contract
Financial Agent
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
01/05/2012
02/02/2012
02/07/2012
02/14/2012
02/27/2012
03/06/2012
03/14/2012
03/30/2012
03/30/2012
05/02/2012
05/10/2012
06/12/2012
06/15/2012
06/30/2012
07/26/2012
08/01/2012
08/03/2012
09/19/2012
09/28/2012
11/19/2012
12/13/2012
12/19/2012
01/01/2013
01/01/2013
02/13/2013
Vendor
Purpose
Socio‐Economic Category
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Subscription Services
Administrative Support
Intern
Compliance
Administrative Support
Administrative Support
Administrative Support
Detailee
Administrative Support
Administrative Support
Transaction Structuring Services
Professional/Management Training
Administrative Support
Administrative Support
Compliance
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Business
Small Disadvantaged Business, HUBZone Small Business, Small Business
Service‐Disabled Veteran‐Owned Small Business, HUBZone Small Business, Small Business
Small Business
Service‐Disabled Veteran‐Owned Small Business, HUBZone Small Business, Small Business
Service‐Disabled Veteran‐Owned Small Business, Small Business
Other Than Small Business
Woman‐Owned Small Business, Small Business
Interagency Agreement
Contract
Financial Agent
Contract
Contract
Contract
Interagency Agreement
Contract
West Publishing Corporation
Reed Elsevier PLC (dba LexisNexis)
ESI International Inc.
CQ‐Roll Call Inc.
Winvale Group LLC
Internal Revenue Service (IRS)
Financial Management Service
ADC LTD NM
All Business Machines, Inc.
Department of the Interior
Knowledge Mosaic Inc.
Internal Revenue Service (IRS)
All Business Machines, Inc.
QualX Corporation
Houlihan Lokey, Inc.
The Allison Group, LLC
Department of the Treasury ‐ ARC
Department of the Treasury ‐ Departmental Offices
Government Accountability Office
Office of Personnel Management (OPM) ‐ Western
Management Development Center
Moody's Analytics, Inc.
Greenhill & Co., LLC
Association of Govt Accountants
Diversified Search LLC
Integrated Federal Solutions, Inc.
Department of the Interior
E‐Launch Multimedia, Inc.
Administrative Support
Administrative Support
Structuring and Disposition Services
Administrative Support
Financial Advisory
Administrative Support
Administrative Support
Administrative Support
Other Than Small Business
Other Than Small Business
Other Than Small Business
Woman‐Owned Small Business, Small Business
Small Disadvantaged Business, Small Business
Small Disadvantaged Business, Service‐Disabled Veteran‐Owned Small Business, Small Business
Interagency Agreement
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Contract
Interagency Agreement
Contract
Interagency Agreement
Contract
Interagency Agreement
Financial Agent
Financial Agent
Contract
Department of the Treasury ‐ Departmental Offices ‐ WCF
Cartridge Technologies, Inc.
Equilar, Inc.
U.S. Department of Justice
QualX Corporation
West Publishing Corporation
Knowledge Mosaic Inc.
Internal Revenue Service (IRS)
Harrison Scott Publications, Inc.
Department of the Treasury ‐ ARC
SNL Financial LC
Government Accountability Office
Association of Govt Accountants
Department of the Treasury ‐ Departmental Offices
Lazard Fréres & Co. LLC
Lazard Fréres & Co. LLC
The Mercer Group, Inc.
Administrative Support
Facilities Support
Administrative Support
Administrative Support
Administrative Support
Subscription Services
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Information Technology
Compliance
Administrative Support
Administrative Support
Transaction Structuring Services
Transaction Structuring Services
Administrative Support
Small Disadvantaged Business, Woman‐Owned Small Business, Small Business
Small Disadvantaged Business, Small Business
Service‐Disabled Veteran‐Owned Small Business, Small Business
Other Than Small Business
Small Business
Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
13
Date Approved
Type of Transaction
02/21/2013
Financial Agent
03/04/2013
03/07/2013
03/26/2013
03/27/2013
05/01/2013
05/10/2013
06/13/2013
08/01/2013
08/20/2013
09/25/2013
09/27/2013
11/22/2013
11/22/2013
11/27/2013
12/12/2013
12/18/2013
03/05/2014
03/12/2014
03/24/2014
04/14/2014
06/13/2014
10/01/2014
10/29/2014
11/06/2014
11/07/2014
11/17/2014
11/25/2014
01/26/2015
Vendor
Purpose
Socio‐Economic Category
Raymond James and Associates, Inc.
Asset Management Services
Other Than Small Business
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Interagency Agreement
Interagency Agreement
Department of the Treasury ‐ Departmental Offices ‐ WCF
Department of Housing and Urban Development
Bloomberg Finance L.P.
IRS ‐ Treasury Acquisition Institute
Internal Revenue Service (IRS)
Equilar, Inc.
West Publishing Corporation
Evolution Management, Inc.
Knowledge Mosaic Inc.
Department of the Treasury ‐ ARC
SNL Financial LC
Internal Revenue Service (IRS)
Department of the Treasury ‐ Departmental Offices
Administrative Support
Administrative Support
Subscription
Administrative Support
Administrative Support
Administrative
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Other Than Small Business
Small Disadvantaged Business, Small Business
Other Than Small Business
Small Disadvantaged Business, Woman‐Owned Small Business, Small Business
Small Business
Other Than Small Business
Interagency Agreement
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Department of the Treasury ‐ Departmental Offices ‐ WCF
Association of Govt Accountants
U.S. Department of Justice
U.S. Department of Justice
Department of the Treasury ‐ Departmental Offices
The Mercer Group, Inc.
Bloomberg Finance L.P.
The Winvale Group, LLC
Internal Revenue Service Office of Procurement
Department of the Treasury ‐ Departmental Offices
Department of the Treasury ‐ Departmental Offices
Department of the Treasury ‐ ARC
Department of the Treasury ‐ Departmental Offices
Government Accountability Office
Department of the Interior
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Information Technology
Compliance
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Business
Other Than Small Business
∙Contract responsibilities for Thatcher Proffitt & Wood
assumed by Sonnenschein Nath & Rosenthal via novation.
∙Contract responsibilities for McKee Nelson LLP assumed by
Bingham McCutchen, LLP via novation.
∙Management Concepts contracts for various training are
now being reported separately rather than combined single
line item.
∙Financial Agent responsibilities assumed by Raymond James
dA
i t I
i
ti
14
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Insurance Contracts [Section 105(a)(3)(B)]
For Period Ending January 31, 2015
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.
15
This copy of the Transactions Report is subject to the terms and conditions of download as stated at http://www.treasury.gov/initiatives/financial-stability/reports/Pages/default.aspx.
*Investment Status Definition Key
Full investment outstanding : Treasury's full investment is still outstanding
Redeemed – institution has repaid Treasury’s investment
Sold – by auction, an offering, or through a restructuring
Troubled Asset Relief Program
Exited bankruptcy/receivership - Treasury has no outstanding investment
Currently not collectible - investment is currently not collectible; therefore there is no outstanding investment and a corresponding (Realized Loss) / (Write-off)
Transactions Report - Investment Programs
In full – all of Treasury’s investment amount
For Period Ending January 28, 2015
In part – part of the investment is no longer held by Treasury, but some remains
CAPITAL PURCHASE PROGRAM
Warrants outstanding – Treasury’s warrant to purchase additional stock is still outstanding, including any exercised warrants
Warrants not outstanding – Treasury has disposed of its warrant to purchase additional stock through various means as described in the Warrant Report (such as sale back to
company and auctions) or Treasury did not receive a warrant to purchase additional stock
FootNote
11
8,14,18,44
102
11
11,8,14
44,8,14
8,14
104
11
15,14
8
8,14
45,8,14
44,8,14
11
11,8,14
11,8,14
45
15,14
94
11,90
11
8,17
Institution Name
1ST CONSTITUTION BANCORP
1ST CONSTITUTION BANCORP
1ST CONSTITUTION BANCORP
1ST ENTERPRISE BANK
1ST ENTERPRISE BANK
1ST ENTERPRISE BANK
1ST FINANCIAL SERVICES CORPORATION
1ST FINANCIAL SERVICES CORPORATION
1ST SOURCE CORPORATION
1ST SOURCE CORPORATION
1ST SOURCE CORPORATION
1ST UNITED BANCORP, INC.
1ST UNITED BANCORP, INC.
AB&T FINANCIAL CORPORATION
AB&T FINANCIAL CORPORATION
AB&T FINANCIAL CORPORATION
AB&T FINANCIAL CORPORATION
AB&T FINANCIAL CORPORATION
ADBANC, INC.
ADBANC, INC.
ALARION FINANCIAL SERVICES, INC.
ALARION FINANCIAL SERVICES, INC.
ALARION FINANCIAL SERVICES, INC.
ALARION FINANCIAL SERVICES, INC.
ALASKA PACIFIC BANCSHARES, INC.
ALASKA PACIFIC BANCSHARES, INC.
ALASKA PACIFIC BANCSHARES, INC.
ALASKA PACIFIC BANCSHARES, INC.
ALASKA PACIFIC BANCSHARES, INC.
ALASKA PACIFIC BANCSHARES, INC.
ALLIANCE BANCSHARES, INC.
ALLIANCE BANCSHARES, INC.
ALLIANCE BANCSHARES, INC.
ALLIANCE BANCSHARES, INC.
ALLIANCE FINANCIAL CORPORATION
ALLIANCE FINANCIAL CORPORATION
ALLIANCE FINANCIAL CORPORATION
ALLIANCE FINANCIAL SERVICES, INC.
ALLIANCE FINANCIAL SERVICES, INC.
ALLIANCE FINANCIAL SERVICES, INC.
ALLIANCE FINANCIAL SERVICES, INC.
ALLIED FIRST BANCORP, INC.
ALPINE BANKS OF COLORADO
ALPINE BANKS OF COLORADO
ALPINE BANKS OF COLORADO
ALPINE BANKS OF COLORADO
ALPINE BANKS OF COLORADO
AMB FINANCIAL CORPORATION
AMB FINANCIAL CORPORATION
AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKLAHOMA
AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKLAHOMA
AMERICAN EXPRESS COMPANY
AMERICAN EXPRESS COMPANY
AMERICAN EXPRESS COMPANY
AMERICAN PREMIER BANCORP
AMERICAN PREMIER BANCORP
AMERICAN STATE BANCSHARES, INC.
AMERICAN STATE BANCSHARES, INC.
AMERIS BANCORP
AMERIS BANCORP
AMERIS BANCORP
AMERISERV FINANCIAL, INC.
AMERISERV FINANCIAL, INC.
AMERISERV FINANCIAL, INC.
AMFIRST FINANCIAL SERVICES, INC
AMFIRST FINANCIAL SERVICES, INC
AMFIRST FINANCIAL SERVICES, INC
AMFIRST FINANCIAL SERVICES, INC
AMFIRST FINANCIAL SERVICES, INC
ANCHOR BANCORP WISCONSIN, INC.
ANCHOR BANCORP WISCONSIN, INC.
ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION
ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION
ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION
ASSOCIATED BANC‐CORP
ASSOCIATED BANC‐CORP
ASSOCIATED BANC‐CORP
ASSOCIATED BANC‐CORP
ATLANTIC BANCSHARES, INC.
City
CRANBURY
CRANBURY
CRANBURY
LOS ANGELES
LOS ANGELES
LOS ANGELES
HENDERSONVILLE
HENDERSONVILLE
SOUTH BEND
SOUTH BEND
SOUTH BEND
BOCA RATON
BOCA RATON
GASTONIA
GASTONIA
GASTONIA
GASTONIA
GASTONIA
OGALLALA
OGALLALA
OCALA
OCALA
OCALA
OCALA
JUNEAU
JUNEAU
JUNEAU
JUNEAU
JUNEAU
JUNEAU
DALTON
DALTON
DALTON
DALTON
SYRACUSE
SYRACUSE
SYRACUSE
SAINT PAUL
SAINT PAUL
SAINT PAUL
SAINT PAUL
OSWEGO
GLENWOOD SPRINGS
GLENWOOD SPRINGS
GLENWOOD SPRINGS
GLENWOOD SPRINGS
GLENWOOD SPRINGS
MUNSTER
MUNSTER
COLLINSVILLE
COLLINSVILLE
NEW YORK
NEW YORK
NEW YORK
ARCADIA
ARCADIA
GREAT BEND
GREAT BEND
MOULTRIE
MOULTRIE
MOULTRIE
JOHNSTOWN
JOHNSTOWN
JOHNSTOWN
MCCOOK
MCCOOK
MCCOOK
MCCOOK
MCCOOK
MADISON
MADISON
ANNAPOLIS
ANNAPOLIS
ANNAPOLIS
GREEN BAY
GREEN BAY
GREEN BAY
GREEN BAY
BLUFFTON
State
NJ
NJ
NJ
CA
CA
CA
NC
NC
IN
IN
IN
FL
FL
NC
NC
NC
NC
NC
NE
NE
FL
FL
FL
FL
AK
AK
AK
AK
AK
AK
GA
GA
GA
GA
NY
NY
NY
MN
MN
MN
MN
IL
CO
CO
CO
CO
CO
IN
IN
OK
OK
NY
NY
NY
CA
CA
KS
KS
GA
GA
GA
PA
PA
PA
NE
NE
NE
NE
NE
WI
WI
MD
MD
MD
WI
WI
WI
WI
SC
Date
23‐Dec‐08
27‐Oct‐10
22‐Nov‐11
13‐Feb‐09
11‐Dec‐09
1‐Sep‐11
14‐Nov‐08
31‐Dec‐13
23‐Jan‐09
29‐Dec‐10
9‐Mar‐11
13‐Mar‐09
18‐Nov‐09
23‐Jan‐09
19‐Nov‐13
6‐Jan‐14
10‐Feb‐14
19‐Mar‐14
30‐Jan‐09
21‐Jul‐11
23‐Jan‐09
19‐Jul‐13
22‐Jul‐13
12‐Sep‐13
6‐Feb‐09
28‐Nov‐12
29‐Nov‐12
11‐Jan‐13
26‐Mar‐13
1‐Apr‐14
26‐Jun‐09
27‐Mar‐13
28‐Mar‐13
9‐Apr‐13
19‐Dec‐08
13‐May‐09
17‐Jun‐09
26‐Jun‐09
6‐Feb‐13
7‐Feb‐13
26‐Mar‐13
24‐Apr‐09
27‐Mar‐09
18‐Sep‐12
19‐Sep‐12
20‐Sep‐12
16‐Nov‐12
30‐Jan‐09
22‐Sep‐11
6‐Mar‐09
15‐Sep‐11
9‐Jan‐09
17‐Jun‐09
29‐Jul‐09
29‐May‐09
26‐Jan‐11
9‐Jan‐09
2‐Nov‐11
21‐Nov‐08
19‐Jun‐12
22‐Aug‐12
19‐Dec‐08
11‐Aug‐11
2‐Nov‐11
21‐Aug‐09
26‐Mar‐13
27‐Mar‐13
28‐Mar‐13
9‐Apr‐13
30‐Jan‐09
27‐Sep‐13
30‐Jan‐09
18‐Apr‐12
6‐Mar‐13
21‐Nov‐08
6‐Apr‐11
14‐Sep‐11
6‐Dec‐11
29‐Dec‐09
Original Investment Type 1
Preferred Stock w/ Warrants
Original Investment
Amount
$12,000,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
$0.00
$13,433,242.67
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Redeemed, in full; warrants not outstanding
$12,000,000.00
12,000
$1,000.00
$326,576.00
$0.00
$11,748,156.44
Preferred Stock w/ Warrants
$16,369,000.00
$0.00
$9,229,948.97
$111,000,000.00
$0.00
$125,480,000.00
$10,000,000.00
$0.00
$10,870,902.67
837,947
$500,000.00
500
$636,000.00
636
$337,363.35
326
175,772
$94,153.69
$44,746.31
101
48
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
220
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$220,000.00
$2,370,908.26
$4,400,000.00
$6,000,000.00
231,782
$3,750,000.00
Preferred Stock w/ Warrants
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$10,400,000.00
10,400
$1,000.00
$8,000,000.00
16,369
$488.70
($8,369,000.00)
$111,000,000.00
$1,274,909.59
2,964
$275.00
($2,148,900.00)
536
$281.00
($385,378.64)
12,720
$1,000.00
$877,729.70
$5,524,880.90
$0.00
$1,000.00
$12,720,000.00
$3,500,000.00
$1,000.00
10,000
$815,100.00
Preferred Stock w/ Warrants
111,000
$10,000,000.00
893
5,621
$982.90
$982.90
($15,270.30)
($96,119.10)
234
4,547
$892.60
$892.60
($25,129.26)
($488,302.33)
Sold, in full; warrants outstanding
($50,000.00)
$150,621.36
($1,506.21)
Preferred Stock w/ Exercised Warrants
$12,720,000.00
$0.00
$15,071,769.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,514,000.00
$0.00
$7,674,004.73
Sold, in full; warrants not outstanding
($64,026.11)
Preferred Stock w/ Warrants
$4,781,000.00
$0.00
$7,501,881.70
Sold, in full; warrants not outstanding
$208,870.74
$4,058,697.67
($42,675.67)
($7,324.33)
Preferred Stock w/ Exercised Warrants
$2,986,000.00
$0.00
$3,581,397.27
Sold, in full; warrants not outstanding
$2,856,437.46
2,986
$956.60
($129,562.54)
$26,918,000.00
26,918
$1,000.00
$900,000.00
173,069
$3,375,945.00
$5,626,575.00
4,500,000
7,500,000
$0.75
$0.75
($1,124,055.00)
($1,873,425.00)
$504,900.00
600,000
344
8,056
61,600
$814.30
$814.30
$814.30
($63,884.24)
($1,496,079.76)
($11,439,736.00)
$3,291,750.00
3,500
($25,000.00)
Preferred Stock w/ Warrants
$26,918,000.00
$0.00
$28,356,360.00
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$12,000,000.00
$0.00
$9,806,136.60
Sold, in full; warrants not outstanding
($90,025.20)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$3,652,000.00
$70,000,000.00
$3,652,000.00
$0.00
$409,753.00
$73,129,160.69
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
$280,115.76
$6,559,920.24
$50,160,264.00
($570,003.00)
Preferred Stock w/ Exercised Warrants
$3,674,000.00
$0.00
$4,387,576.45
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,492,000.00
Preferred Stock w/ Warrants
$3,388,890,000.00
$0.00
$2,960,021.33
Redeemed, in full; warrants not outstanding
$0.00
$3,803,257,308.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,800,000.00
$0.00
$2,052,682.49
Redeemed, in full; warrants not outstanding
$3,674,000.00
3,674
$1,000.00
$184,000.00
184
$2,492,000.00
2,492
$1,000.00
$125,000.00
125
$340,000,000.00
24,264,129
$3,388,890,000.00
90
6,000
$1,000.00
$300,000.00
300
($725,868.00) 52,000
$930.60
$2,670,000.00
698,554
21,000
$1,000.00
$825,000.00
1,312,500
$359,040.00
$2,112,000.00
$2,328,960.00
374,000
2,200,000
2,426,000
$0.96
$0.96
$0.96
($14,960.00)
($88,000.00)
($97,040.00)
$259,875.00
250,000
($104,000,000.00)
$3,435,005.65
$7,220,141.67
$90,000.00
$21,000,000.00
$0.00
$1,000.00
$48,391,200.00
$6,000,000.00
$1,000.00
1,800
$6,000,000.00
Preferred Stock w/ Exercised Warrants
3,388,890
$1,800,000.00
3,983,308
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$52,000,000.00
$0.00
$59,637,438.67
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$21,000,000.00
$0.00
$24,601,666.66
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$5,000,000.00
$0.00
$6,523,255.00
($3,608,800.00)
Sold, in full; warrants not outstanding
($48,000.00)
Preferred Stock w/ Warrants
$110,000,000.00
$0.00
$6,000,000.00
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$8,152,000.00
$0.00
$9,643,136.33
Redeemed, in full; warrants outstanding
$6,000,000.00
Preferred Stock w/ Exercised Warrants
$525,000,000.00
$2,000,000.00
$0.00
$0.00
$596,539,172.32
$2,503,554.78
$0.10
4,076
4,076
$1,000.00
$1,000.00
$262,500,000.00
$262,500,000.00
Preferred Stock w/ Warrants
60,000,000
$4,076,000.00
$4,076,000.00
262,500
262,500
$1,000.00
$1,000.00
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
16
FootNote
44,8,14
11
8,44
8,17,44
11
11,8,14
8,14
83
8,14
6,7,11
8,14
44
8
11
11
105
11
8,106
44,8,14
8,14
44,8,14
12,16
11
8,112
11
11,8,14
11,14,8
11
44,8,14
8,14,18,44
15,17
8,14
Institution Name
ATLANTIC BANCSHARES, INC.
ATLANTIC BANCSHARES, INC.
ATLANTIC BANCSHARES, INC.
AVENUE FINANCIAL HOLDINGS
AVENUE FINANCIAL HOLDINGS
AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO.
AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO.
AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO.
BANCINDEPENDENT, INCORPORATED
BANCINDEPENDENT, INCORPORATED
BANCORP FINANCIAL, INC.
BANCORP FINANCIAL, INC.
BANCORP RHODE ISLAND, INC.
BANCORP RHODE ISLAND, INC.
BANCORP RHODE ISLAND, INC.
BANCPLUS CORPORATION
BANCPLUS CORPORATION
BANCSTAR, INC.
BANCSTAR, INC.
BANCSTAR, INC.
BANCSTAR, INC.
BANCTRUST FINANCIAL GROUP, INC.
BANCTRUST FINANCIAL GROUP, INC.
BANK FINANCIAL SERVICES, INC.
BANK FINANCIAL SERVICES, INC.
BANK FINANCIAL SERVICES, INC.
BANK FINANCIAL SERVICES, INC.
BANK FINANCIAL SERVICES, INC.
BANK OF AMERICA
BANK OF AMERICA
BANK OF AMERICA
BANK OF AMERICA
BANK OF COMMERCE
BANK OF COMMERCE
BANK OF COMMERCE
BANK OF COMMERCE HOLDINGS
BANK OF COMMERCE HOLDINGS
BANK OF COMMERCE HOLDINGS
BANK OF GEORGE
BANK OF GEORGE
BANK OF GEORGE
BANK OF MARIN BANCORP
BANK OF MARIN BANCORP
BANK OF MARIN BANCORP
BANK OF NEW YORK MELLON
BANK OF NEW YORK MELLON
BANK OF NEW YORK MELLON
BANK OF THE CAROLINAS CORPORATION
BANK OF THE CAROLINAS CORPORATION
BANK OF THE OZARKS, INC.
BANK OF THE OZARKS, INC.
BANK OF THE OZARKS, INC.
BANKERS' BANK OF THE WEST BANCORP, INC.
BANKERS' BANK OF THE WEST BANCORP, INC.
BANKFIRST CAPITAL CORPORATION
BANKFIRST CAPITAL CORPORATION
BANKGREENVILLE FINANCIAL CORPORATION
BANKGREENVILLE FINANCIAL CORPORATION
BANKGREENVILLE FINANCIAL CORPORATION
BANKGREENVILLE FINANCIAL CORPORATION
BANNER CORPORATION/BANNER BANK
BANNER CORPORATION/BANNER BANK
BANNER CORPORATION/BANNER BANK
BANNER COUNTY BAN CORPORATION
BANNER COUNTY BAN CORPORATION
BAR HARBOR BANKSHARES
BAR HARBOR BANKSHARES
BAR HARBOR BANKSHARES
BB&T CORP.
BB&T CORP.
BB&T CORP.
BCB HOLDING COMPANY, INC.
BCB HOLDING COMPANY, INC.
BCSB BANCORP, INC.
BCSB BANCORP, INC.
BCSB BANCORP, INC.
BEACH BUSINESS BANK
BEACH BUSINESS BANK
BEACH BUSINESS BANK
BEACH BUSINESS BANK
BEACH BUSINESS BANK
BEACH BUSINESS BANK
BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC.
BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC.
BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC.
BERKSHIRE HILLS BANCORP, INC.
BERKSHIRE HILLS BANCORP, INC.
BERKSHIRE HILLS BANCORP, INC.
BERN BANCSHARES, INC.
BERN BANCSHARES, INC.
BIRMINGHAM BLOOMFIELD BANCSHARES, INC.
BIRMINGHAM BLOOMFIELD BANCSHARES, INC.
BIRMINGHAM BLOOMFIELD BANCSHARES, INC.
BISCAYNE BANCSHARES, INC.
BISCAYNE BANCSHARES, INC.
BISCAYNE BANCSHARES, INC.
BISCAYNE BANCSHARES, INC.
BLACKHAWK BANCORP, INC.
BLACKHAWK BANCORP, INC.
City
BLUFFTON
BLUFFTON
BLUFFTON
NASHVILLE
NASHVILLE
PALO ALTO
PALO ALTO
PALO ALTO
SHEFFIELD
SHEFFIELD
OAK BROOK
OAK BROOK
PROVIDENCE
PROVIDENCE
PROVIDENCE
RIDGELAND
RIDGELAND
FESTUS
FESTUS
FESTUS
FESTUS
MOBILE
MOBILE
EDEN PRAIRIE
EDEN PRAIRIE
EDEN PRAIRIE
EDEN PRAIRIE
EDEN PRAIRIE
CHARLOTTE
CHARLOTTE
CHARLOTTE
CHARLOTTE
CHARLOTTE
CHARLOTTE
CHARLOTTE
REDDING
REDDING
REDDING
LAS VEGAS
LAS VEGAS
LAS VEGAS
NOVATO
NOVATO
NOVATO
NEW YORK
NEW YORK
NEW YORK
MOCKSVILLE
MOCKSVILLE
LITTLE ROCK
LITTLE ROCK
LITTLE ROCK
DENVER
DENVER
MACON
MACON
GREENVILLE
GREENVILLE
GREENVILLE
GREENVILLE
WALLA WALLA
WALLA WALLA
WALLA WALLA
HARRISBURG
HARRISBURG
BAR HARBOR
BAR HARBOR
BAR HARBOR
WINSTON‐SALEM
WINSTON‐SALEM
WINSTON‐SALEM
THEODORE
THEODORE
BALTIMORE
BALTIMORE
BALTIMORE
MANHATTAN BEACH
MANHATTAN BEACH
MANHATTAN BEACH
MANHATTAN BEACH
MANHATTAN BEACH
MANHATTAN BEACH
PHOENIXVILLE
PHOENIXVILLE
PHOENIXVILLE
PITTSFIELD
PITTSFIELD
PITTSFIELD
BERN
BERN
BIRMINGHAM
BIRMINGHAM
BIRMINGHAM
COCONUT GROVE
COCONUT GROVE
COCONUT GROVE
COCONUT GROVE
BELOIT
BELOIT
State
SC
SC
SC
TN
TN
CA
CA
CA
AL
AL
IL
IL
RI
RI
RI
MS
MS
MO
MO
MO
MO
AL
AL
MN
MN
MN
MN
MN
NC
NC
NC
NC
NC
NC
NC
CA
CA
CA
NV
NV
NV
CA
CA
CA
NY
NY
NY
NC
NC
AR
AR
AR
CO
CO
MS
MS
SC
SC
SC
SC
WA
WA
WA
NE
NE
ME
ME
ME
NC
NC
NC
AL
AL
MD
MD
MD
CA
CA
CA
CA
CA
CA
PA
PA
PA
MA
MA
MA
KS
KS
MI
MI
MI
FL
FL
FL
FL
WI
WI
Date
7‐Feb‐14
10‐Feb‐14
19‐Mar‐14
27‐Feb‐09
15‐Sep‐11
30‐Jan‐09
31‐Jul‐13
28‐Aug‐13
13‐Mar‐09
14‐Jul‐11
10‐Jul‐09
18‐Aug‐11
19‐Dec‐08
5‐Aug‐09
30‐Sep‐09
20‐Feb‐09
29‐Sep‐10
3‐Apr‐09
26‐Apr‐13
29‐Apr‐13
31‐May‐13
19‐Dec‐08
15‐Feb‐13
14‐Aug‐09
19‐Dec‐12
20‐Dec‐12
11‐Jan‐13
26‐Mar‐13
28‐Oct‐08
9‐Jan‐09
9‐Dec‐09
9‐Mar‐10
16‐Jan‐09
30‐Nov‐12
11‐Jan‐13
14‐Nov‐08
27‐Sep‐11
26‐Oct‐11
13‐Mar‐09
21‐Oct‐13
6‐Jan‐14
5‐Dec‐08
31‐Mar‐09
23‐Nov‐11
28‐Oct‐08
17‐Jun‐09
5‐Aug‐09
17‐Apr‐09
16‐Jul‐14
12‐Dec‐08
4‐Nov‐09
24‐Nov‐09
30‐Jan‐09
24‐Apr‐14
23‐Jan‐09
8‐Sep‐11
13‐Feb‐09
9‐Nov‐12
11‐Jan‐13
26‐Mar‐13
21‐Nov‐08
3‐Apr‐12
12‐Jun‐13
6‐Feb‐09
28‐Jul‐11
16‐Jan‐09
24‐Feb‐10
28‐Jul‐10
14‐Nov‐08
17‐Jun‐09
22‐Jul‐09
3‐Apr‐09
1‐Jul‐14
23‐Dec‐08
26‐Jan‐11
19‐Apr‐13
30‐Jan‐09
6‐Jul‐11
19‐Oct‐11
7‐Mar‐12
6‐Jun‐12
27‐Jun‐12
12‐Jun‐09
19‐Sep‐11
28‐Dec‐11
19‐Dec‐08
27‐May‐09
24‐Jun‐09
13‐Feb‐09
1‐Sep‐11
24‐Apr‐09
18‐Dec‐09
28‐Jul‐11
19‐Jun‐09
7‐Feb‐13
8‐Feb‐13
26‐Mar‐13
13‐Mar‐09
29‐Oct‐12
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
$1,950,000.00
$50,000.00
1,950
50
Avg. Price
(Realized Loss) /
(Write‐off)
$1,150.00
$1,150.00
Gain5
Warrant Proceeds
Amount
$292,500.00
$7,500.00
$95,031.02
$10,798.98
88
10
$370,000.00
370
($25,000.00)
Preferred Stock w/ Exercised Warrants
$7,400,000.00
$0.00
$8,798,415.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$6,000,000.00
$0.00
$7,563,057.15
Redeemed, in full; warrants not outstanding
$7,400,000.00
81,670
$1,000.00
$1,055,000.00
1,055
13,669
$1,000.00
$410,000.00
410
$30,000,000.00
30,000
$1,000.00
$1,400,000.00
192,967
$48,000,000.00
48,000
$1,000.00
$2,400,000.00
2,400
$98,267.00
$8,352,695.00
100
8,500
$982.70
$982.70
$426,338.55
430
$50,000,000.00
50,000
$1,000.00
$15,000.00
730,994
$451,600.92
$481,335.96
486
518
$929.20
$929.20
$23,500.00
50
1,000,000
$25,000.00
$305,913,040.28
121,792,790
3,000
$834.00
$100,100.00
150
$17,000,000.00
17,000
$1,000.00
$125,000.00
405,405
$955,240.00
2,672
$357.50
$23,709.00
134
$28,000,000.00
28,000
$1,000.00
$1,703,984.00
154,908
$3,000,000,000.00
3,000,000
$1,000.00
$136,000,000.00
14,516,129
$3,294,750.00
13,179
$250.00
$75,000,000.00
75,000
$1,000.00
$2,650,000.00
379,811
$12,639,000.00
12,639
$1,000.00
$632,000.00
632
$15,500,000.00
15,500
$1,000.00
$775,000.00
775
$900,000.00
1,000
$900.00
($100,000.00)
$21,880.50
50
($14,282,320.00)
$134,201.00
243,998
$40,000.00
4
$250,000.00
52,455
$67,010,401.86
13,902,573
$85,000.00
85
$1,442,000.00
$24,841,411.03
21,100
$13,669,000.00
$0.00
$1,000.00
$190,781.12
$21,100,000.00
$1,000.00
6,000
$21,100,000.00
Preferred Stock w/ Exercised Warrants
7,400
$6,000,000.00
183,465
$300,000.00
300
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$13,669,000.00
$0.00
$15,595,736.93
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$30,000,000.00
$0.00
$32,341,666.66
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$48,000,000.00
$0.00
$54,607,399.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$8,600,000.00
$0.00
$10,701,460.58
Sold, in full; warrants not outstanding
($1,733.00)
($147,305.00)
($84,509.62)
Preferred Stock w/ Warrants
$50,000,000.00
$0.00
$60,451,155.74
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,004,000.00
$0.00
$1,114,680.76
Sold, in full; warrants not outstanding
($34,399.08)
($36,664.04)
($9,329.37)
($15,670.63)
Preferred Stock w/ Warrants
$15,000,000,000.00
$10,000,000,000.00
$0.00
$26,599,663,040.28
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,000,000.00
$0.00
$3,087,573.33
Sold, in full; warrants not outstanding
$25,000,000,000.00
$2,502,000.00
($498,000.00)
($25,000.00)
Preferred Stock w/ Warrants
$17,000,000.00
$0.00
$19,564,027.78
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,672,000.00
$0.00
$1,233,940.00
Sold, in full; warrants not outstanding
($1,716,760.00)
($25,000.00)
Preferred Stock w/ Warrants
$28,000,000.00
$0.00
$30,155,095.11
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$3,000,000,000.00
$0.00
$3,231,416,666.67
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$13,179,000.00
$0.00
$4,334,427.00
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$75,000,000.00
$0.00
$81,004,166.67
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,639,000.00
$0.00
$17,097,990.60
($9,884,250.00)
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$15,500,000.00
$0.00
$18,492,469.25
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,000,000.00
$0.00
$1,100,653.50
Sold, in full; warrants not outstanding
($9,000.00)
($16,000.00)
Preferred Stock w/ Warrants
$124,000,000.00
$0.00
$129,079,862.47
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$795,000.00
$0.00
$942,411.42
Redeemed, in full; warrants not outstanding
$109,717,680.00
3,134
$1,000,000.00
1,706
$1,000.00
10,800
$1,000.00
$1,500,000.00
$1,500,000.00
$1,500,000.00
$1,200,000.00
$300,000.00
1,500
1,500
1,500
1,200
300
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$0.00
$2,892,000.00
2,892
2,892
$1,000.00
$1,000.00
$40,000,000.00
$3,293,353,918.53
$1,000.00
$10,800,000.00
$0.00
$20,037,514.11
18,751
$1,706,000.00
$3,133,640,000.00
$0.00
$1,000.00
$3,133,640,000.00
Preferred Stock w/ Warrants
$18,751,000.00
$884.80
795
$18,751,000.00
Preferred Stock w/ Warrants
($1,645,765.20) 124,000
$795,000.00
40,000
$1,000.00
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,706,000.00
$0.00
$2,315,853.14
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$10,800,000.00
$0.00
$13,371,500.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$2,892,000.00
$0.00
$0.00
$7,263,316.66
$3,444,478.21
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$40,000,000.00
$0.00
$41,917,777.78
$145,000.00
145
$1,040,000.00
Preferred Stock w/ Warrants
226,330
$50,000.00
5
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$985,000.00
$0.00
$1,172,062.50
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,635,000.00
$1,744,000.00
$0.00
$3,803,022.67
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$6,400,000.00
$0.00
$8,271,975.28
Sold, in full; warrants not outstanding
$985,000.00
985
$1,000.00
$3,379,000.00
3,379
$1,000.00
$2,532,140.00
$3,700,820.00
2,600,000
3,800,000
$0.97
$0.97
($67,860.00)
($99,180.00)
205
$910.00
($18,450.00)
$82,000.00
82
$64,158.97
$140,347.75
64,000
140,000
($62,329.60)
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$11,459,461.11
Sold, in full; warrants not outstanding
$186,550.00
17
FootNote
14,8,14
8,14
8,64,97
8
44,8,14
8
44,8,14
15,14
11
11
8
9,10,18,65,96,99
15,14
8,44,14
11,8,14
11,8,14
11
8,14,18,44
44,8,14
11,8,14
8
8
11,8,14
39
8
11
8,14
15,45,14
11
Institution Name
BLACKHAWK BANCORP, INC.
BLACKHAWK BANCORP, INC.
BLACKRIDGE FINANCIAL, INC.
BLACKRIDGE FINANCIAL, INC.
BLACKRIDGE FINANCIAL, INC.
BLUE RIDGE BANCSHARES, INC.
BLUE RIDGE BANCSHARES, INC.
BLUE RIDGE BANCSHARES, INC.
BLUE RIDGE BANCSHARES, INC.
BLUE RIVER BANCSHARES, INC.
BLUE RIVER BANCSHARES, INC.
BLUE VALLEY BAN CORP
BLUE VALLEY BAN CORP
BLUE VALLEY BAN CORP
BLUE VALLEY BAN CORP
BLUE VALLEY BAN CORP
BNB FINANCIAL SERVICES CORPORATION
BNB FINANCIAL SERVICES CORPORATION
BNC BANCORP
BNC BANCORP
BNC BANCORP
BNC FINANCIAL GROUP, INC.
BNC FINANCIAL GROUP, INC.
BNCCORP, INC.
BNCCORP, INC.
BNCCORP, INC.
BNCCORP, INC.
BOH HOLDINGS, INC.
BOH HOLDINGS, INC.
BOSCOBEL BANCORP, INC.
BOSCOBEL BANCORP, INC.
BOSCOBEL BANCORP, INC.
BOSCOBEL BANCORP, INC.
BOSTON PRIVATE FINANCIAL HOLDINGS INC.
BOSTON PRIVATE FINANCIAL HOLDINGS INC.
BOSTON PRIVATE FINANCIAL HOLDINGS INC.
BOSTON PRIVATE FINANCIAL HOLDINGS INC.
BRIDGE CAPITAL HOLDINGS
BRIDGE CAPITAL HOLDINGS
BRIDGE CAPITAL HOLDINGS
BRIDGE CAPITAL HOLDINGS
BRIDGEVIEW BANCORP, INC.
BRIDGEVIEW BANCORP, INC.
BRIDGEVIEW BANCORP, INC.
BROADWAY FINANCIAL CORPORATION
BROADWAY FINANCIAL CORPORATION
BROGAN BANKSHARES, INC.
BROGAN BANKSHARES, INC.
BROGAN BANKSHARES, INC.
BROGAN BANKSHARES, INC.
BROTHERHOOD BANCSHARES, INC.
BROTHERHOOD BANCSHARES, INC.
BUSINESS BANCSHARES, INC.
BUSINESS BANCSHARES, INC.
BUSINESS BANCSHARES, INC.
BUSINESS BANCSHARES, INC.
BUTLER POINT, INC.
BUTLER POINT, INC.
C&F FINANCIAL CORPORATION
C&F FINANCIAL CORPORATION
C&F FINANCIAL CORPORATION
C&F FINANCIAL CORPORATION
CACHE VALLEY BANKING COMPANY
CACHE VALLEY BANKING COMPANY
CACHE VALLEY BANKING COMPANY
CADENCE FINANCIAL CORPORATION
CADENCE FINANCIAL CORPORATION
CALIFORNIA BANK OF COMMERCE
CALIFORNIA BANK OF COMMERCE
CALIFORNIA OAKS STATE BANK
CALIFORNIA OAKS STATE BANK
CALVERT FINANCIAL CORPORATION
CALWEST BANCORP
CAPITAL BANCORP, INC.
CAPITAL BANCORP, INC.
CAPITAL BANK CORPORATION
CAPITAL BANK CORPORATION
CAPITAL COMMERCE BANCORP, INC.
CAPITAL ONE FINANCIAL CORP
CAPITAL ONE FINANCIAL CORP
CAPITAL ONE FINANCIAL CORP
CAPITAL PACIFIC BANCORP
CAPITAL PACIFIC BANCORP
CAPITAL PACIFIC BANCORP
CAPITAL PACIFIC BANCORP
CARDINAL BANCORP II, INC.
CARDINAL BANCORP II, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA TRUST BANK
CAROLINA TRUST BANK
CAROLINA TRUST BANK
CAROLINA TRUST BANK
CAROLINA TRUST BANK
CARROLLTON BANCORP
CARROLLTON BANCORP
City
State
BELOIT
WI
BELOIT
WI
FARGO
ND
FARGO
ND
FARGO
ND
INDEPENDENCE
MO
INDEPENDENCE
MO
INDEPENDENCE
MO
INDEPENDENCE
MO
SHELBYVILLE
IN
SHELBYVILLE
IN
OVERLAND PARK
KS
OVERLAND PARK
KS
OVERLAND PARK
KS
OVERLAND PARK
KS
OVERLAND PARK
KS
NEW YORK
NY
NEW YORK
NY
THOMASVILLE
NC
THOMASVILLE
NC
THOMASVILLE
NC
NEW CANAAN
CT
NEW CANAAN
CT
BISMARCK
ND
BISMARCK
ND
BISMARCK
ND
BISMARCK
ND
HOUSTON
TX
HOUSTON
TX
BOSCOBEL
WI
BOSCOBEL
WI
BOSCOBEL
WI
BOSCOBEL
WI
BOSTON
MA
BOSTON
MA
BOSTON
MA
BOSTON
MA
SAN JOSE
CA
SAN JOSE
CA
SAN JOSE
CA
SAN JOSE
CA
BRIDGEVIEW
IL
BRIDGEVIEW
IL
BRIDGEVIEW
IL
LOS ANGELES
CA
LOS ANGELES
CA
KAUKAUNA
WI
KAUKAUNA
WI
KAUKAUNA
WI
KAUKAUNA
WI
KANSAS CITY
KS
KANSAS CITY
KS
CLAYTON
MO
CLAYTON
MO
CLAYTON
MO
CLAYTON
MO
CATLIN
IL
CATLIN
IL
WEST POINT
VA
WEST POINT
VA
WEST POINT
VA
VA
WEST POINT
LOGAN
UT
LOGAN
UT
LOGAN
UT
STARKVILLE
MS
STARKVILLE
MS
LAFAYETTE
CA
LAFAYETTE
CA
THOUSAND OAKS
CA
THOUSAND OAKS
CA
ASHLAND
MO
RANCHO SANTA MARGARIT CA
ROCKVILLE
MD
ROCKVILLE
MD
RALEIGH
NC
RALEIGH
NC
MILWAUKEE
WI
MCLEAN
VA
MCLEAN
VA
MCLEAN
VA
PORTLAND
OR
PORTLAND
OR
PORTLAND
OR
PORTLAND
OR
WASHINGTON
MO
WASHINGTON
MO
GREENSBORO
NC
GREENSBORO
NC
GREENSBORO
NC
GREENSBORO
NC
GREENSBORO
NC
LINCOLNTON
NC
LINCOLNTON
NC
LINCOLNTON
NC
LINCOLNTON
NC
LINCOLNTON
NC
BALTIMORE
MD
BALTIMORE
MD
Date
31‐Oct‐12
11‐Jan‐13
22‐May‐09
27‐Jun‐12
12‐Sep‐12
6‐Mar‐09
29‐Oct‐12
31‐Oct‐12
11‐Jan‐13
6‐Mar‐09
10‐Feb‐12
5‐Dec‐08
18‐Oct‐13
21‐Oct‐13
6‐Jan‐14
7‐Jan‐15
17‐Apr‐09
30‐Aug‐13
5‐Dec‐08
29‐Aug‐12
19‐Sep‐12
27‐Feb‐09
4‐Aug‐11
16‐Jan‐09
14‐Mar‐14
17‐Mar‐14
25‐Apr‐14
6‐Mar‐09
14‐Jul‐11
15‐May‐09
8‐Mar‐13
11‐Mar‐13
9‐Apr‐13
21‐Nov‐08
13‐Jan‐10
16‐Jun‐10
7‐Feb‐11
23‐Dec‐08
23‐Feb‐11
16‐Mar‐11
20‐Apr‐11
19‐Dec‐08
19‐Nov‐13
6‐Jan‐14
14‐Nov‐08
4‐Dec‐09
15‐May‐09
26‐Apr‐13
29‐Apr‐13
31‐May‐13
17‐Jul‐09
15‐Sep‐11
24‐Apr‐09
23‐May‐12
9‐Jan‐13
24‐Apr‐13
13‐Mar‐09
2‐Nov‐11
9‐Jan‐09
27‐Jul‐11
11‐Apr‐12
14‐May‐14
23‐Dec‐08
18‐Dec‐09
14‐Jul‐11
9‐Jan‐09
4‐Mar‐11
27‐Feb‐09
15‐Sep‐11
23‐Jan‐09
8‐Dec‐10
23‐Jan‐09
23‐Jan‐09
23‐Dec‐08
30‐Dec‐10
12‐Dec‐08
28‐Jan‐11
10‐Apr‐09
14‐Nov‐08
17‐Jun‐09
9‐Dec‐09
23‐Dec‐08
8‐Nov‐12
9‐Nov‐12
11‐Jan‐13
23‐Oct‐09
8‐Sep‐11
9‐Jan‐09
20‐Feb‐13
21‐Feb‐13
26‐Mar‐13
19‐Apr‐13
6‐Feb‐09
30‐Nov‐12
11‐Jan‐13
26‐Mar‐13
11‐Jun‐13
13‐Feb‐09
19‐Apr‐13
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
$8,913,450.00
Avg. Price
9,795
$910.00
$2,250,000.00
$2,750,000.00
2,250
2,750
26
11,974
$755.00
$755.00
3,250
18,500
$977.60
$977.60
$7,500,000.00
7,500
($431,964.75) 31,260
$921.20
$4,797,000.00
4,797
$1,000.00
$143,000.00
$19,950,000.00
143
19,950
$1,001.10
$1,001.10
10,000
Warrant Proceeds
Amount
$1,000.00
$28,797,649.80
Gain5
$1,000.00
$1,000.00
$19,630.00
$9,040,370.00
(Realized Loss) /
(Write‐off)
($881,550.00)
$470,250.00
500
$250,000.00
250
$541,793.34
600
($91,000.00)
Preferred Stock w/ Exercised Warrants
$5,000,000.00
$0.00
$6,127,326.35
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,000,000.00
$0.00
$11,938,437.34
Sold, in full; warrants not outstanding
($6,370.00)
($2,933,630.00)
($90,600.00)
Preferred Stock w/ Exercised Warrants
$5,000,000.00
$0.00
$529,105.00
Currently not collectible
Preferred Stock w/ Warrants
$21,750,000.00
$0.00
$21,264,901.65
Sold, in full; warrants not outstanding
($5,000,000.00)
$3,177,232.50
$18,085,785.00
($72,767.50)
($414,215.00)
($212,630.18)
$3,056.00
Preferred Stock w/ Exercised Warrants
$4,797,000.00
$20,093,000.00
$0.00
$0.00
$0.00
$9,776,051.62
$35,140,666.12
$5,673,920.75
$26,941,865.35
375
543,337
$240,000.00
240
$154.44
$21,546.00
$29,737.13
$966,456.56
30
975
$1,000.00
$500,000.00
500
$592,730.46
$232,180.54
$129,709.80
179,000
100,000
2,887,500
$1,395,000.00
Preferred Stock w/ Exercised Warrants
$31,260,000.00
$0.00
130,977
$6,202,523.25
Preferred Stock w/ Warrants
$7,500,000.00
$375,000.00
$939,920.00
Preferred Stock w/ Exercised Warrants
396,412
$709,155.81
1,900
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($2,462,350.20)
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($201,147.00)
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$11,783,777.44
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$5,586,000.00
$0.00
$6,947,457.50
Sold, in full; warrants not outstanding
$10,000,000.00
5,586,000
$1.11
$50,000,000.00
$104,000,000.00
$5,586,000.00
50,000
104,000
$1,000.00
$1,000.00
$15,000,000.00
$8,864,000.00
15,000
8,864
$1,000.00
$1,000.00
38,000
$275.00
60,000
2,340,000
$1.05
$1.05
$125,135.60
120,000
$11,000,000.00
11,000
$1,000.00
$550,000.00
550
$6,000,000.00
$2,500,000.00
$6,500,000.00
6,000
2,500
6,500
$1,000.00
$1,000.00
$1,000.00
$750,000.00
750
$607,000.00
607
$1,000.00
$30,000.00
30
$10,000,000.00
$10,000,000.00
10,000
10,000
$1,000.00
$1,000.00
$2,303,180.00
167,504
$9,407,000.00
9,407
$1,000.00
$238,000.00
238
$38,000,000.00
44,000
$863.60
$4,000,000.00
4,000
$1,000.00
$200,000.00
200
$3,300,000.00
3,300
$1,000.00
$165,000.00
165
$4,700,000.00
4,700
$1,000.00
$235,000.00
235
$41,279,000.00
41,279
$1,000.00
$3,555,199,000.00
3,555,199
$1,000.00
$146,500,064.55
12,657,960
$247,727.04
$3,505,712.96
264
3,736
$938.40
$938.40
6,251,000
$1.00
15,534
466
$935.10
$935.10
($1,008,156.60)
($30,243.40)
4,000
$853.00
($588,000.00)
9,201
$1,000.00
($61,787.30)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$154,000,000.00
$23,864,000.00
$38,000,000.00
$0.00
$0.00
$0.00
$171,224,745.48
$27,872,582.22
$13,447,811.37
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$10,450,000.00
($27,550,000.00)
($104,500.00)
Preferred Stock w/ Warrants
Subordinated Debentures w/ Exercised Warrants
$9,000,000.00
$6,000,000.00
$2,400,000.00
$15,000,000.00
$810,416.67
Full investment outstanding; warrants not outstanding
$0.00
$3,022,879.60
Sold, in full; warrants not outstanding
$60,000.00
$2,340,000.00
$3,000.60
$117,023.40
($25,000.00)
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/ Warrants
$11,000,000.00
$15,000,000.00
$607,000.00
$20,000,000.00
$4,767,000.00
$4,640,000.00
$44,000,000.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$12,845,586.01
$18,707,708.84
$724,123.53
$25,205,957.78
$10,674,333.80
$41,984,062.50
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$4,755,899.67
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,300,000.00
$0.00
$3,802,219.25
($6,000,000.00)
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$1,037,000.00
$4,656,000.00
$4,700,000.00
$1,037,000.00
$4,656,000.00
$0.00
$215,442.61
$396,163.67
$5,452,281.19
Full investment outstanding; warrants outstanding
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$41,279,000.00
$0.00
$45,252,104.25
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$5,100,000.00
$3,555,199,000.00
$5,100,000.00
$0.00
$304,973.00
$3,806,873,702.13
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$4,742,850.89
Sold, in full; warrants not outstanding
($16,272.96)
($230,287.04)
$169,042.00
200
$313,000.00
313,000
$1,800,000.00
357,675
($25,000.00)
Subordinated Debentures w/ Exercised Warrants
$6,251,000.00
$0.00
$7,547,479.56
Redeemed, in full; warrants not outstanding
$6,251,000.00
Preferred Stock w/ Warrants
$16,000,000.00
$0.00
$19,941,788.94
Sold, in full; warrants not outstanding
$14,525,843.40
$435,756.60
($149,616.00)
Preferred Stock w/ Warrants
$4,000,000.00
$0.00
$3,994,452.00
Sold, in full; warrants not outstanding
$3,412,000.00
($34,120.00)
($15,880.00)
$19,132.00
Preferred Stock w/ Warrants
$9,201,000.00
$0.00
$11,388,958.51
86,957
$213,594.16
205,379
Redeemed, in full; warrants not outstanding
$9,201,000.00
18
FootNote
11,9,36
11
8,18,14,44
8,57,97
8,18,18
8,14
8
44
11,59
8,14
12,16
11,8,14
45
8,113
11,8,14
8,14
11
40
45
93
8,17,44
44,8,14
15,14
15
8
23
19,30
11
8,55,97
Institution Name
CARVER BANCORP, INC.
CARVER BANCORP, INC.
CASCADE FINANCIAL CORPORATION
CASCADE FINANCIAL CORPORATION
CATHAY GENERAL BANCORP
CATHAY GENERAL BANCORP
CATHAY GENERAL BANCORP
CATHAY GENERAL BANCORP
CATSKILL HUDSON BANCORP, INC.
CATSKILL HUDSON BANCORP, INC.
CATSKILL HUDSON BANCORP, INC.
CB HOLDING CORP.
CB HOLDING CORP.
CBB BANCORP
CBB BANCORP
CBB BANCORP
CBB BANCORP
CBB BANCORP
CBB BANCORP
CBS BANC‐CORP.
CBS BANC‐CORP.
CBS BANC‐CORP.
CBS BANC‐CORP.
CBS BANC‐CORP.
CECIL BANCORP, INC.
CEDARSTONE BANK
CEDARSTONE BANK
CENTER BANCORP, INC.
CENTER BANCORP, INC.
CENTER BANCORP, INC.
CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC.
CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC.
CENTERBANK
CENTERBANK
CENTERBANK
CENTERBANK
CENTERBANK
CENTERSTATE BANKS OF FLORIDA INC.
CENTERSTATE BANKS OF FLORIDA INC.
CENTERSTATE BANKS OF FLORIDA INC.
CENTRA FINANCIAL HOLDINGS, INC.
CENTRA FINANCIAL HOLDINGS, INC.
CENTRA FINANCIAL HOLDINGS, INC.
CENTRAL BANCORP, INC. (MA)
CENTRAL BANCORP, INC. (MA)
CENTRAL BANCORP, INC. (MA)
CENTRAL BANCORP, INC. (TX)
CENTRAL BANCORP, INC. (TX)
CENTRAL BANCSHARES, INC.
CENTRAL BANCSHARES, INC.
CENTRAL COMMUNITY CORPORATION
CENTRAL COMMUNITY CORPORATION
CENTRAL COMMUNITY CORPORATION
CENTRAL COMMUNITY CORPORATION
CENTRAL FEDERAL CORPORATION
CENTRAL FEDERAL CORPORATION
CENTRAL JERSEY BANCORP
CENTRAL JERSEY BANCORP
CENTRAL JERSEY BANCORP
CENTRAL PACIFIC FINANCIAL CORP.
CENTRAL PACIFIC FINANCIAL CORP.
CENTRAL PACIFIC FINANCIAL CORP.
CENTRAL PACIFIC FINANCIAL CORP.
CENTRAL VALLEY COMMUNITY BANCORP
CENTRAL VALLEY COMMUNITY BANCORP
CENTRAL VALLEY COMMUNITY BANCORP
CENTRAL VIRGINIA BANKSHARES, INC.
CENTRAL VIRGINIA BANKSHARES, INC.
CENTRIC FINANCIAL CORPORATION
CENTRIC FINANCIAL CORPORATION
CENTRIX BANK & TRUST
CENTRIX BANK & TRUST
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTURY FINANCIAL SERVICES CORPORATION
CENTURY FINANCIAL SERVICES CORPORATION
CENTURY FINANCIAL SERVICES CORPORATION
CENTURY FINANCIAL SERVICES CORPORATION
CHAMBERS BANCSHARES, INC.
CHICAGO SHORE CORPORATION
CHICAGO SHORE CORPORATION
CHICAGO SHORE CORPORATION
CHICAGO SHORE CORPORATION
CIT GROUP INC.
CIT GROUP INC.
CITIGROUP INC.
CITIGROUP INC.
CITIGROUP INC.
CITIZENS & NORTHERN CORPORATION
CITIZENS & NORTHERN CORPORATION
CITIZENS & NORTHERN CORPORATION
CITIZENS BANCORP
CITIZENS BANCORP
City
NEW YORK
NEW YORK
EVERETT
EVERETT
LOS ANGELES
LOS ANGELES
LOS ANGELES
LOS ANGELES
ROCK HILL
ROCK HILL
ROCK HILL
ALEDO
ALEDO
CARTERSVILLE
CARTERSVILLE
CARTERSVILLE
CARTERSVILLE
CARTERSVILLE
CARTERSVILLE
RUSSELLVILLE
RUSSELLVILLE
RUSSELLVILLE
RUSSELLVILLE
RUSSELLVILLE
ELKTON
LEBANON
LEBANON
UNION
UNION
UNION
LOS ANGELES
LOS ANGELES
MILFORD
MILFORD
MILFORD
MILFORD
MILFORD
DAVENPORT
DAVENPORT
DAVENPORT
MORGANTOWN
MORGANTOWN
MORGANTOWN
SOMERVILLE
SOMERVILLE
SOMERVILLE
GARLAND
GARLAND
HOUSTON
HOUSTON
TEMPLE
TEMPLE
TEMPLE
TEMPLE
FAIRLAWN
FAIRLAWN
OAKHURST
OAKHURST
OAKHURST
HONOLULU
HONOLULU
HONOLULU
HONOLULU
FRESNO
FRESNO
FRESNO
POWHATAN
POWHATAN
HARRISBURG
HARRISBURG
BEDFORD
BEDFORD
OTTAWA
OTTAWA
OTTAWA
OTTAWA
OTTAWA
OTTAWA
OTTAWA
OTTAWA
SANTA FE
SANTA FE
SANTA FE
SANTA FE
DANVILLE
CHICAGO
CHICAGO
CHICAGO
CHICAGO
NEW YORK
NEW YORK
NEW YORK
NEW YORK
NEW YORK
WELLSBORO
WELLSBORO
WELLSBORO
NEVADA CITY
NEVADA CITY
State
NY
NY
WA
WA
CA
CA
CA
CA
NY
NY
NY
IL
IL
GA
GA
GA
GA
GA
GA
AL
AL
AL
AL
AL
MD
TN
TN
NJ
NJ
NJ
CA
CA
OH
OH
OH
OH
OH
FL
FL
FL
WV
WV
WV
MA
MA
MA
TX
TX
TX
TX
TX
TX
TX
TX
OH
OH
NJ
NJ
NJ
HI
HI
HI
HI
CA
CA
CA
VA
VA
PA
PA
NH
NH
IL
IL
IL
IL
IL
IL
IL
IL
NM
NM
NM
NM
AR
IL
IL
IL
IL
NY
NY
NY
NY
NY
PA
PA
PA
CA
CA
Date
16‐Jan‐09
27‐Aug‐10
21‐Nov‐08
30‐Jun‐11
5‐Dec‐08
20‐Mar‐13
30‐Sep‐13
9‐Dec‐13
27‐Feb‐09
22‐Dec‐09
21‐Jul‐11
29‐May‐09
14‐Oct‐11
20‐Feb‐09
29‐Dec‐09
28‐Nov‐12
29‐Nov‐12
11‐Jan‐13
26‐Mar‐13
27‐Mar‐09
7‐Aug‐12
9‐Aug‐12
10‐Aug‐12
11‐Sep‐12
23‐Dec‐08
6‐Feb‐09
20‐Nov‐13
9‐Jan‐09
15‐Sep‐11
7‐Dec‐11
12‐Dec‐08
27‐Jun‐12
1‐May‐09
29‐Oct‐12
1‐Nov‐12
11‐Jan‐13
26‐Mar‐13
21‐Nov‐08
30‐Sep‐09
28‐Oct‐09
16‐Jan‐09
31‐Mar‐09
15‐Apr‐09
5‐Dec‐08
25‐Aug‐11
19‐Oct‐11
27‐Feb‐09
29‐Aug‐14
30‐Jan‐09
6‐Jul‐11
20‐Feb‐09
10‐Dec‐12
11‐Dec‐12
11‐Jan‐13
5‐Dec‐08
26‐Sep‐12
23‐Dec‐08
24‐Nov‐10
1‐Dec‐10
9‐Jan‐09
22‐Jun‐11
4‐Apr‐12
11‐Jun‐13
30‐Jan‐09
18‐Aug‐11
28‐Sep‐11
30‐Jan‐09
1‐Oct‐13
18‐Dec‐09
14‐Jul‐11
6‐Feb‐09
28‐Jul‐11
9‐Jan‐09
25‐Sep‐13
18‐Oct‐13
29‐Oct‐13
6‐Jan‐14
10‐Feb‐14
19‐Mar‐14
15‐Oct‐14
19‐Jun‐09
19‐Dec‐12
20‐Dec‐12
11‐Jan‐13
29‐May‐09
31‐Jul‐09
14‐Mar‐14
17‐Mar‐14
25‐Apr‐14
31‐Dec‐08
10‐Dec‐09
28‐Oct‐08
10‐Dec‐10
31‐Jan‐11
16‐Jan‐09
4‐Aug‐10
1‐Sep‐10
23‐Dec‐08
23‐Sep‐11
Original Investment Type 1
Preferred Stock
Original Investment
Amount
$18,980,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
$0.00
$20,511,580.55
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Redeemed, in full; warrants not outstanding
$18,980,000.00
Preferred Stock w/ Warrants
$38,970,000.00
$0.00
$17,678,900.00
$258,000,000.00
$0.00
$329,874,444.96
$1,000.00
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
18,980
Redeemed, in full; warrants not outstanding
$16,250,000.00
38,970
$417.00
$129,000,000.00
$129,000,000.00
129,000
129,000
$1,000.00
$1,000.00
($22,720,000.00)
$13,107,778.30
Preferred Stock w/ Exercised Warrants
$3,000,000.00
$3,500,000.00
$0.00
$7,448,071.47
Preferred Stock w/ Exercised Warrants
$4,114,000.00
$0.00
$271,579.53
$2,644,000.00
$1,753,000.00
$0.00
$4,982,141.86
$263,000.00
263
Currently not collectible
Preferred Stock w/ Exercised Warrants
1,846,374
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$6,500,000.00
6,500
$1,000.00
($4,114,000.00)
$1,268,825.60
$2,831,259.86
1,360
3,037
$932.05
$932.05
($91,174.40)
($205,740.14)
$115,861.34
132
1,020
23,280
$905.20
$905.20
($96,696.00)
($2,206,944.00)
$287,213.85
$689,313.24
$131,297.76
315
756
144
$3,564,000.00
3,564
$1,000.00
$178,000.00
178
$10,000,000.00
10,000
$1,000.00
$245,000.00
86,705
$55,000,000.00
55,000
$1,000.00
30
2,220
$825.00
$825.00
$84,057.43
113
$27,875,000.00
27,875
$1,000.00
$212,000.00
125,413
$15,000,000.00
15,000
$1,000.00
$750,000.00
750
$10,000,000.00
10,000
$1,000.00
$2,525,000.00
234,742
$22,500,000.00
22,500
$1,000.00
$1,125,000.00
1,125
$5,800,000.00
5,800
$1,000.00
$290,000.00
290
$5,333,059.60
$15,043,340.40
5,758
16,242
$926.20
$926.20
($424,940.40)
($1,198,659.60)
$1,058,725.80
1,100
($4,225,000.00)
$319,658.99
268,621
($32,969.92)
($363.42)
Preferred Stock w/ Exercised Warrants
$24,300,000.00
$0.00
$27,432,357.95
Sold, in full; warrants not outstanding
$923,304.00
$21,073,056.00
($219,963.60)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$11,560,000.00
$3,564,000.00
$10,000,000.00
$55,000,000.00
$2,250,000.00
$11,560,000.00
$0.00
$0.00
$0.00
$0.00
$516,988.89
$4,672,098.50
$11,586,666.67
$64,739,583.33
$2,344,662.43
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants outstanding
Sold, in full; warrants not outstanding
$24,750.00
$1,831,500.00
($5,250.00)
($388,500.00)
($18,562.50)
($6,437.50)
Preferred Stock w/ Warrants
$27,875,000.00
$0.00
$29,283,302.58
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$15,000,000.00
$0.00
$15,922,937.50
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$22,500,000.00
$5,800,000.00
$22,000,000.00
$0.00
$0.00
$0.00
$0.00
$13,886,111.11
$31,086,221.13
$6,859,176.83
$25,797,528.80
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($203,764.00)
Preferred Stock w/ Warrants
$7,225,000.00
$0.00
$3,612,118.06
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$11,300,000.00
$0.00
$12,704,145.10
Redeemed, in full; warrants not outstanding
$3,000,000.00
$0.00
$75,036,891.42
$1,000.00
($454,218.75)
2,850,000
($387,816.38)
2,770,117
$12.75
$13.15
$7,000,000.00
$135,000,000.00
$415.20
11,300
$36,337,500.00
$36,427,038.55
Preferred Stock w/ Warrants
7,225
$11,300,000.00
7,000
$1,000.00
Sold, in full; warrants not outstanding
($32,121,928.87)
($30,113,532.58)
$751,888.00
$7,000,000.00
$0.00
$8,077,516.47
79,288
$185,016.80
Preferred Stock w/ Warrants
79,067
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$11,385,000.00
$0.00
$3,800,656.00
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,056,000.00
$0.00
$6,739,821.89
Redeemed, in full; warrants not outstanding
$3,350,000.00
182
$375,000.00
375
25,266
6,000
$325.00
$325.00
($17,054,550.00)
($4,050,000.00)
1,402
$412.00
($824,361.98)
508,320
40,000
9,960,000
$0.99
$0.99
($600.00)
($149,400.00)
$198,635.58
$297,953.37
200,000
300,000
260
6,740
$991.00
$991.00
($2,340.00)
($60,660.00)
$347,193.00
350
7,692,307,692
$4.14
$54,621,848.84
210,084,034
$26,440,000.00
26,440
$1,000.00
$400,000.00
$11,205,387.14
$182,000.00
$1,000.00
$25,000,000,000.00
$0.00
$8,887,791.42
7,500
$2,000.00
$32,668,000.00
$0.00
$1,000.00
$8,211,450.00
$1,950,000.00
Preferred Stock w/ Warrants
$7,500,000.00
$294.20
6,056
$7,500,000.00
Preferred Stock w/ Exercised Warrants
11,385
$6,056,000.00
($8,035,000.00)
194,794
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($82,114.50)
($19,500.00)
$577,638.02
($5,776.38)
Subordinated Debentures w/ Exercised Warrants
$10,000,000.00
$0.00
$13,186,960.25
Sold, in full; warrants not outstanding
$39,400.00
$9,810,600.00
($98,500.00)
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$19,817,000.00
$7,000,000.00
$19,817,000.00
$0.00
$5,754,674.98
$8,981,348.81
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
$257,660.00
$6,679,340.00
($69,370.00)
Preferred Stock w/ Warrants
$2,330,000,000.00
$0.00
$43,687,500.00
Exited bankruptcy/receivership
Preferred Stock w/ Warrants
$25,000,000,000.00
$0.00
$32,839,267,986.44
Redeemed, in full; warrants not outstanding
($2,330,000,000.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$26,440,000.00
$10,400,000.00
$0.00
$0.00
$28,889,100.00
$223,571.11
$6,852,354,470.93
Redeemed, in full; warrants not outstanding
Currently not collectible
($10,400,000.00)
19
FootNote
8,14
11,9,36
8
8
44,8,14
11
86
45
8,9
11
8,14
82
8,17
45
44
8,14
11,8,14
11,16
44,8,14
11
11
15,14
8,14
11,8,14
11,8,14
11,8,14
8,17
11,9,36
44
11,101
8,14
81
76,8,14
Institution Name
CITIZENS BANCSHARES CO.
CITIZENS BANCSHARES CO.
CITIZENS BANCSHARES CO.
CITIZENS BANCSHARES CO.
CITIZENS BANCSHARES CORPORATION
CITIZENS BANCSHARES CORPORATION
CITIZENS BANK & TRUST COMPANY, ESTABLISHED 1945
CITIZENS COMMERCE BANCSHARES, INC.
CITIZENS COMMUNITY BANK
CITIZENS COMMUNITY BANK
CITIZENS FIRST CORPORATION
CITIZENS FIRST CORPORATION
CITIZENS FIRST CORPORATION
CITIZENS FIRST CORPORATION
CITIZENS REPUBLIC BANCORP, INC. / FIRSTMERIT CORPORATION
CITIZENS REPUBLIC BANCORP, INC. / FIRSTMERIT CORPORATION
CITIZENS SOUTH BANKING CORPORATION
CITIZENS SOUTH BANKING CORPORATION
CITIZENS SOUTH BANKING CORPORATION
CITY NATIONAL BANCSHARES CORPORATION
CITY NATIONAL CORPORATION
CITY NATIONAL CORPORATION
CITY NATIONAL CORPORATION
CITY NATIONAL CORPORATION
CLOVER COMMUNITY BANKSHARES, INC.
CLOVER COMMUNITY BANKSHARES, INC.
CLOVER COMMUNITY BANKSHARES, INC.
CLOVER COMMUNITY BANKSHARES, INC.
COASTAL BANKING COMPANY, INC.
COASTAL BANKING COMPANY, INC.
COASTAL BANKING COMPANY, INC.
COASTAL BANKING COMPANY, INC.
COASTAL BANKING COMPANY, INC.
COASTAL BANKING COMPANY, INC.
COASTALSOUTH BANCHARES, INC.
COASTALSOUTH BANCHARES, INC.
COASTALSOUTH BANCHARES, INC.
COASTALSOUTH BANCHARES, INC.
COBIZ FINANCIAL INC.
COBIZ FINANCIAL INC.
COBIZ FINANCIAL INC.
CODORUS VALLEY BANCORP, INC.
CODORUS VALLEY BANCORP, INC.
CODORUS VALLEY BANCORP, INC.
COLOEAST BANKSHARES, INC.
COLOEAST BANKSHARES, INC.
COLOEAST BANKSHARES, INC.
COLOEAST BANKSHARES, INC.
COLONIAL AMERICAN BANK
COLONIAL AMERICAN BANK
COLONY BANKCORP, INC.
COLONY BANKCORP, INC.
COLONY BANKCORP, INC.
COLONY BANKCORP, INC.
COLONY BANKCORP, INC.
COLUMBIA BANKING SYSTEM, INC.
COLUMBIA BANKING SYSTEM, INC.
COLUMBIA BANKING SYSTEM, INC.
COLUMBINE CAPITAL CORP.
COLUMBINE CAPITAL CORP.
COMERICA INC.
COMERICA INC.
COMERICA INC.
COMMERCE NATIONAL BANK
COMMERCE NATIONAL BANK
COMMERCE NATIONAL BANK
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BUSINESS BANK
COMMONWEALTH BUSINESS BANK
COMMONWEALTH BUSINESS BANK
COMMUNITY 1ST BANK
COMMUNITY 1ST BANK
COMMUNITY BANCSHARES OF KANSAS, INC.
COMMUNITY BANCSHARES OF KANSAS, INC.
COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY BANK OF MISSISSIPPI
COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY BANK OF MISSISSIPPI
COMMUNITY BANCSHARES, INC.
COMMUNITY BANK OF THE BAY
COMMUNITY BANK OF THE BAY
COMMUNITY BANK SHARES OF INDIANA, INC.
COMMUNITY BANK SHARES OF INDIANA, INC.
COMMUNITY BANK SHARES OF INDIANA, INC.
COMMUNITY BANKERS TRUST CORPORATION
COMMUNITY BANKERS TRUST CORPORATION
COMMUNITY BANKERS TRUST CORPORATION
COMMUNITY BANKERS TRUST CORPORATION
COMMUNITY BANKERS TRUST CORPORATION
COMMUNITY BUSINESS BANK
COMMUNITY BUSINESS BANK
COMMUNITY BUSINESS BANK
COMMUNITY FINANCIAL CORPORATION / CITY HOLDING COMPANY
COMMUNITY FINANCIAL CORPORATION / CITY HOLDING COMPANY
COMMUNITY FINANCIAL SHARES, INC.
COMMUNITY FINANCIAL SHARES, INC.
City
CHILLICOTHE
CHILLICOTHE
CHILLICOTHE
CHILLICOTHE
ATLANTA
ATLANTA
COVINGTON
VERSAILLES
SOUTH HILL
SOUTH HILL
BOWLING GREEN
BOWLING GREEN
BOWLING GREEN
BOWLING GREEN
FLINT
FLINT
GASTONIA
GASTONIA
GASTONIA
NEWARK
BEVERLY HILLS
BEVERLY HILLS
BEVERLY HILLS
BEVERLY HILLS
CLOVER
CLOVER
CLOVER
CLOVER
FERNANDINA BEACH
FERNANDINA BEACH
FERNANDINA BEACH
FERNANDINA BEACH
FERNANDINA BEACH
FERNANDINA BEACH
HILTON HEAD ISLAND
HILTON HEAD ISLAND
HILTON HEAD ISLAND
HILTON HEAD ISLAND
DENVER
DENVER
DENVER
YORK
YORK
YORK
LAMAR
LAMAR
LAMAR
LAMAR
WEST CONSHOHOCKEN
WEST CONSHOHOCKEN
FITZGERALD
FITZGERALD
FITZGERALD
FITZGERALD
FITZGERALD
TACOMA
TACOMA
TACOMA
BUENA VISTA
BUENA VISTA
DALLAS
DALLAS
DALLAS
NEWPORT BEACH
NEWPORT BEACH
NEWPORT BEACH
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOS ANGELES
LOS ANGELES
LOS ANGELES
ROSEVILLE
ROSEVILLE
GOFF
GOFF
BRANDON
BRANDON
KINGMAN
OAKLAND
OAKLAND
NEW ALBANY
NEW ALBANY
NEW ALBANY
GLEN ALLEN
GLEN ALLEN
GLEN ALLEN
GLEN ALLEN
GLEN ALLEN
WEST SACRAMENTO
WEST SACRAMENTO
WEST SACRAMENTO
STAUNTON
STAUNTON
GLEN ELLYN
GLEN ELLYN
State
MO
MO
MO
MO
GA
GA
LA
KY
VA
VA
KY
KY
KY
KY
MI
MI
NC
NC
NC
NJ
CA
CA
CA
CA
SC
SC
SC
SC
FL
FL
FL
FL
FL
FL
SC
SC
SC
SC
CO
CO
CO
PA
PA
PA
CO
CO
CO
CO
PA
PA
GA
GA
GA
GA
GA
WA
WA
WA
CO
CO
TX
TX
TX
CA
CA
CA
KY
KY
KY
KY
KY
KY
CA
CA
CA
CA
CA
KS
KS
MS
MS
AZ
CA
CA
IN
IN
IN
VA
VA
VA
VA
VA
CA
CA
CA
VA
VA
IL
IL
Date
29‐May‐09
7‐Feb‐13
8‐Feb‐13
26‐Mar‐13
6‐Mar‐09
13‐Aug‐10
20‐Mar‐09
6‐Feb‐09
23‐Dec‐08
28‐Jul‐11
19‐Dec‐08
16‐Feb‐11
13‐Feb‐13
15‐Jan‐14
12‐Dec‐08
12‐Apr‐13
12‐Dec‐08
22‐Sep‐11
9‐Nov‐11
10‐Apr‐09
21‐Nov‐08
30‐Dec‐09
3‐Mar‐10
7‐Apr‐10
27‐Mar‐09
28‐Nov‐12
29‐Nov‐12
11‐Jan‐13
5‐Dec‐08
8‐Mar‐13
11‐Mar‐13
9‐Apr‐13
10‐Apr‐13
12‐Jun‐13
28‐Aug‐09
8‐Mar‐13
11‐Mar‐13
9‐Apr‐13
19‐Dec‐08
8‐Sep‐11
23‐Nov‐11
9‐Jan‐09
18‐Aug‐11
28‐Sep‐11
13‐Feb‐09
19‐Jul‐13
22‐Jul‐13
12‐Sep‐13
27‐Mar‐09
26‐Oct‐11
9‐Jan‐09
7‐Feb‐13
8‐Feb‐13
26‐Mar‐13
12‐Jun‐13
21‐Nov‐08
11‐Aug‐10
1‐Sep‐10
27‐Feb‐09
22‐Sep‐11
14‐Nov‐08
17‐Mar‐10
12‐May‐10
9‐Jan‐09
7‐Oct‐09
1‐Oct‐13
22‐May‐09
7‐Aug‐12
8‐Aug‐12
9‐Aug‐12
10‐Aug‐12
11‐Sep‐12
23‐Jan‐09
17‐Jul‐13
12‐Sep‐13
16‐Jan‐09
19‐Dec‐12
6‐Mar‐09
18‐Jul‐12
11‐Sep‐09
29‐Sep‐10
24‐Jul‐09
16‐Jan‐09
29‐Sep‐10
29‐May‐09
15‐Sep‐11
19‐Oct‐11
19‐Dec‐08
24‐Jul‐13
20‐Nov‐13
23‐Apr‐14
4‐Jun‐14
27‐Feb‐09
30‐Nov‐12
11‐Jan‐13
19‐Dec‐08
9‐Jan‐13
15‐May‐09
21‐Dec‐12
Original Investment Type 1
Preferred Stock w/ Exercised Warrants
Original Investment
Amount
$24,990,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
$0.00
$13,952,381.45
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Sold, in full; warrants not outstanding
$6,657,375.00
$6,150,000.00
12,990
12,000
$512.50
$512.50
($6,332,625.00)
($5,850,000.00)
$7,462,000.00
7,462
$1,000.00
$3,000,000.00
3,000
$1,000.00
$2,212,308.00
$3,300,904.00
$3,265,788.00
63
94
93
$35,116.00
$35,116.00
$35,116.00
$300,000,000.00
300,000
$1,000.00
$20,500,000.00
20,500
$1,000.00
$200,000,000.00
$200,000,000.00
200,000
200,000
$1,000.00
$1,000.00
$955,825.50
$1,662,874.50
1,095
1,905
$872.90
$872.90
($139,174.50)
($242,125.50)
3,950
6,000
$955.10
$955.10
$258,018.75
$387,028.12
500
750
$150,000.00
150
$225,157.00
450,314
$18,500,000.00
1,128,668
$114,021.50
150
($177,355.00)
($269,400.00)
$99,000.00
$225,647.45
60,000
145,579
$389,857.05
$25,990.47
450
30
($128,073.75)
Preferred Stock
$7,462,000.00
$0.00
$7,997,813.22
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$2,400,000.00
$6,300,000.00
$3,000,000.00
$2,400,000.00
$6,300,000.00
$0.00
$623,883.00
$180,258.50
$3,574,645.84
Full investment outstanding; warrants outstanding
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$8,779,000.00
$0.00
$10,530,923.11
Redeemed, in full; warrants outstanding
Preferred Stock w/ Warrants
$300,000,000.00
$0.00
$369,245,436.64
Redeemed, in full; warrants outstanding
Preferred Stock w/ Warrants
$20,500,000.00
$0.00
$23,572,379.22
Redeemed, in full; warrants not outstanding
Preferred Stock
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$9,439,000.00
$400,000,000.00
$3,000,000.00
$9,439,000.00
$0.00
$0.00
$281,859.00
$442,416,666.67
$3,318,585.05
Full investment outstanding; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($25,000.00)
Preferred Stock w/ Warrants
$9,950,000.00
$0.00
$11,166,897.79
Sold, in full; warrants not outstanding
$3,772,645.00
$5,730,600.00
($95,032.45)
Preferred Stock w/ Exercised Warrants
$16,015,000.00
$0.00
$14,257,487.71
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$64,450,000.00
$0.00
$73,357,086.72
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$16,500,000.00
$0.00
$19,178,479.00
Redeemed, in full; warrants not outstanding
$397,550.00
$12,335,976.50
500
15,515
$795.10
$795.10
$64,450,000.00
64,450
$1,000.00
$16,500,000.00
16,500
($102,450.00)
($3,179,023.50)
$1,000.00
($127,335.27)
$143,677.00
$29,000.00
29
500,000
398,023
$113,000.00
113
11,479,592
$566,858.50
$10,670,784.03
50
$181,102,043.40
$0.00
$494,381.25
$3,301,647.00
$10,000,000.00
263,859
$810,000.00
Preferred Stock w/ Exercised Warrants
895,968
$526,604.00
87,209
Sold, in full; warrants not outstanding
$46,995.00
$8,990,505.00
52
9,948
$903.80
$903.80
$574,000.00
574
$1,000.00
$21,633,944.71
$265,135.29
27,661
339
$782.10
$782.10
$76,898,000.00
76,898
$1,000.00
$2,260,000.00
2,260
$1,000.00
$2,250,000,000.00
2,250,000
$1,000.00
$5,000,000.00
5,000
($5,005.00)
($957,495.00)
$1,000.00
($90,375.00)
Preferred Stock w/ Exercised Warrants
$574,000.00
$0.00
$668,142.53
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$28,000,000.00
$0.00
$26,480,089.20
Sold, in full; warrants not outstanding
($6,027,055.29)
($73,864.71)
($218,990.80)
Preferred Stock w/ Warrants
$76,898,000.00
$0.00
$86,821,419.22
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,260,000.00
$0.00
$2,689,478.64
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$2,250,000,000.00
$0.00
$2,582,039,543.40
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Subordinated Debentures w/ Exercised Warrants
$5,000,000.00
$20,400,000.00
$0.00
$0.00
$5,602,969.61
$21,575,016.54
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$130,500.00
$1,469,250.00
$13,100,250.00
$600,000.00
174,000
1,959,000
17,467,000
800,000
$0.75
$0.75
$0.75
$0.75
($43,500.00)
($489,750.00)
($4,366,750.00)
($200,000.00)
$792,990.00
$105,732.00
900,000
120,000
7,701
$951.00
($377,349.00)
$362,427.91
385
$2,550,000.00
2,550
$1,000.00
$128,000.00
128
$500,000.00
500
$1,000.00
$25,000.00
25
$52,000,000.00
52,000
$1,000.00
$2,600,000.00
2,600
$1,100,869.50
386,270
($153,000.00)
Preferred Stock w/ Exercised Warrants
$7,701,000.00
$0.00
$8,451,110.79
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,550,000.00
$0.00
$2,899,659.67
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$500,000.00
$0.00
$616,741.75
Redeemed, in full; warrants not outstanding
$7,323,651.00
($73,236.51)
Preferred Stock w/ Exercised Warrants
$52,000,000.00
$0.00
$57,575,699.54
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock
$3,872,000.00
$1,747,000.00
$3,872,000.00
$0.00
$1,123,415.57
$1,823,188.61
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$19,468,000.00
$0.00
$22,802,281.62
Redeemed, in full; warrants not outstanding
$1,747,000.00
$23,135,879.12
4,500
2,500
10,680
$1,000.00
$1,000.00
$1,000.00
3,976
$935.00
$12,643,000.00
$0.00
$1,000.00
$3,717,560.00
$17,680,000.00
$1,000.00
19,468
$4,500,000.00
$2,500,000.00
$10,680,000.00
Preferred Stock w/ Warrants
1,747
$19,468,000.00
12,643
$1,000.00
$3,136,500.00
6,970
$450.00
Redeemed, in full; warrants not outstanding
$780,000.00
Preferred Stock w/ Exercised Warrants
$3,976,000.00
$0.00
$4,674,050.16
780,000
($258,440.00)
$167,035.00
199
($3,833,500.00)
$157,050.00
349
Sold, in full; warrants not outstanding
($25,000.00)
Preferred Stock w/ Warrants
$12,643,000.00
$0.00
$15,206,719.94
Redeemed, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$6,970,000.00
$0.00
$4,240,743.82
Sold, in full; warrants not outstanding
20
FootNote
8
44,8,14
8
8,67
8,14
44
15,17
44,8,14
53,110
8,14
8,14
8,14
8
8
58
8,14
8
11,16
44,8,14
15,44,14
8,14
8,18
15,14
8,14
11
44
15
12,44
Institution Name
COMMUNITY FIRST BANCSHARES, INC. (AR)
COMMUNITY FIRST BANCSHARES, INC. (AR)
COMMUNITY FIRST BANCSHARES, INC. (AR)
COMMUNITY FIRST BANCSHARES, INC. (AR)
COMMUNITY FIRST BANCSHARES, INC. (TN)
COMMUNITY FIRST BANCSHARES, INC. (TN)
COMMUNITY FIRST, INC.
COMMUNITY FIRST, INC.
COMMUNITY FIRST, INC.
COMMUNITY FIRST, INC.
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC.
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC.
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC.
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC.
COMMUNITY INVESTORS BANCORP, INC.
COMMUNITY INVESTORS BANCORP, INC.
COMMUNITY INVESTORS BANCORP, INC.
COMMUNITY INVESTORS BANCORP, INC.
COMMUNITY INVESTORS BANCORP, INC.
COMMUNITY PARTNERS BANCORP
COMMUNITY PARTNERS BANCORP
COMMUNITY PARTNERS BANCORP
COMMUNITY PRIDE BANK CORPORATION
COMMUNITY PRIDE BANK CORPORATION
COMMUNITY PRIDE BANK CORPORATION
COMMUNITY TRUST FINANCIAL CORPORATION
COMMUNITY TRUST FINANCIAL CORPORATION
COMMUNITY WEST BANCSHARES
COMMUNITY WEST BANCSHARES
COMMUNITY WEST BANCSHARES
COMMUNITY WEST BANCSHARES
COMMUNITY WEST BANCSHARES
COMMUNITYONE BANCORP / FNB UNITED CORP.
COMMUNITYONE BANCORP / FNB UNITED CORP.
CONGAREE BANCSHARES, INC.
CONGAREE BANCSHARES, INC.
CONGAREE BANCSHARES, INC.
CONGAREE BANCSHARES, INC.
CORNING SAVINGS AND LOAN ASSOCIATION
CORNING SAVINGS AND LOAN ASSOCIATION
CORNING SAVINGS AND LOAN ASSOCIATION
CORNING SAVINGS AND LOAN ASSOCIATION
COUNTRY BANK SHARES, INC.
COUNTRY BANK SHARES, INC.
COUNTRY BANK SHARES, INC.
COUNTRY BANK SHARES, INC.
COVENANT FINANCIAL CORPORATION
COVENANT FINANCIAL CORPORATION
CRAZY WOMAN CREEK BANCORP INCORPORATED
CRAZY WOMAN CREEK BANCORP INCORPORATED
CRAZY WOMAN CREEK BANCORP INCORPORATED
CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancshares, Inc.
CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancshares, Inc.
CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancshares, Inc.
CROSSTOWN HOLDING COMPANY
CROSSTOWN HOLDING COMPANY
CROSSTOWN HOLDING COMPANY
CROSSTOWN HOLDING COMPANY
CSRA BANK CORP.
CVB FINANCIAL CORP.
CVB FINANCIAL CORP.
CVB FINANCIAL CORP.
CVB FINANCIAL CORP.
D.L. EVANS BANCORP
D.L. EVANS BANCORP
DEERFIELD FINANCIAL CORPORATION
DEERFIELD FINANCIAL CORPORATION
DELMAR BANCORP
DELMAR BANCORP
DELMAR BANCORP
DELMAR BANCORP
DESOTO COUNTY BANK
DESOTO COUNTY BANK
DESOTO COUNTY BANK
DESOTO COUNTY BANK
DESOTO COUNTY BANK
DIAMOND BANCORP, INC.
DIAMOND BANCORP, INC.
DIAMOND BANCORP, INC.
DIAMOND BANCORP, INC.
DIAMOND BANCORP, INC.
DICKINSON FINANCIAL CORPORATION II
DICKINSON FINANCIAL CORPORATION II
DICKINSON FINANCIAL CORPORATION II
DICKINSON FINANCIAL CORPORATION II
DISCOVER FINANCIAL SERVICES
DISCOVER FINANCIAL SERVICES
DISCOVER FINANCIAL SERVICES
DNB FINANCIAL CORPORATION
DNB FINANCIAL CORPORATION
DNB FINANCIAL CORPORATION
DUKE FINANCIAL GROUP, INC.
DUKE FINANCIAL GROUP, INC.
DUKE FINANCIAL GROUP, INC.
DUKE FINANCIAL GROUP, INC.
EAGLE BANCORP, INC.
EAGLE BANCORP, INC.
EAGLE BANCORP, INC.
EAGLE BANCORP, INC.
City
HARRISON
HARRISON
HARRISON
HARRISON
UNION CITY
UNION CITY
COLUMBIA
COLUMBIA
COLUMBIA
COLUMBIA
BRANDON
BRANDON
BRANDON
BRANDON
BUCYRUS
BUCYRUS
BUCYRUS
BUCYRUS
BUCYRUS
MIDDLETOWN
MIDDLETOWN
MIDDLETOWN
HAM LAKE
HAM LAKE
HAM LAKE
RUSTON
RUSTON
GOLETA
GOLETA
GOLETA
GOLETA
GOLETA
ASHEBORO
ASHEBORO
CAYCE
CAYCE
CAYCE
CAYCE
CORNING
CORNING
CORNING
CORNING
MILFORD
MILFORD
MILFORD
MILFORD
CLARKSDALE
CLARKSDALE
BUFFALO
BUFFALO
BUFFALO
RALEIGH
RALEIGH
RALEIGH
BLAINE
BLAINE
BLAINE
BLAINE
WRENS
ONTARIO
ONTARIO
ONTARIO
ONTARIO
BURLEY
BURLEY
DEERFIELD
DEERFIELD
DELMAR
DELMAR
DELMAR
DELMAR
HORN LAKE
HORN LAKE
HORN LAKE
HORN LAKE
HORN LAKE
WASHINGTON
WASHINGTON
WASHINGTON
WASHINGTON
WASHINGTON
KANSAS CITY
KANSAS CITY
KANSAS CITY
KANSAS CITY
RIVERWOODS
RIVERWOODS
RIVERWOODS
DOWNINGTOWN
DOWNINGTOWN
DOWNINGTOWN
MINNEAPOLIS
MINNEAPOLIS
MINNEAPOLIS
MINNEAPOLIS
BETHESDA
BETHESDA
BETHESDA
BETHESDA
State
AR
AR
AR
AR
TN
TN
TN
TN
TN
TN
MS
MS
MS
MS
OH
OH
OH
OH
OH
NJ
NJ
NJ
MN
MN
MN
LA
LA
CA
CA
CA
CA
CA
NC
NC
SC
SC
SC
SC
AR
AR
AR
AR
NE
NE
NE
NE
MS
MS
WY
WY
WY
NC
NC
NC
MN
MN
MN
MN
GA
CA
CA
CA
CA
ID
ID
WI
WI
MD
MD
MD
MD
MS
MS
MS
MS
MS
MO
MO
MO
MO
MO
MO
MO
MO
MO
IL
IL
IL
PA
PA
PA
MN
MN
MN
MN
MD
MD
MD
MD
Date
3‐Apr‐09
7‐Feb‐14
10‐Feb‐14
19‐Mar‐14
20‐Mar‐09
18‐Aug‐11
27‐Feb‐09
11‐Apr‐14
14‐Apr‐14
18‐Jul‐14
6‐Feb‐09
30‐Nov‐12
11‐Jan‐13
26‐Mar‐13
23‐Dec‐08
19‐Dec‐12
20‐Dec‐12
11‐Jan‐13
26‐Mar‐13
30‐Jan‐09
11‐Aug‐11
26‐Oct‐11
13‐Nov‐09
12‐Aug‐13
12‐Sep‐13
9‐Jan‐09
6‐Jul‐11
19‐Dec‐08
10‐Dec‐12
11‐Dec‐12
11‐Jan‐13
12‐Jun‐13
13‐Feb‐09
23‐May‐14
9‐Jan‐09
29‐Oct‐12
31‐Oct‐12
11‐Jan‐13
13‐Feb‐09
30‐Nov‐12
11‐Jan‐13
26‐Mar‐13
30‐Jan‐09
28‐Nov‐12
29‐Nov‐12
11‐Jan‐13
5‐Jun‐09
30‐Apr‐14
20‐Feb‐09
8‐Jan‐14
19‐Nov‐14
9‐Jan‐09
19‐Feb‐14
11‐Jun‐14
23‐Jan‐09
19‐Jul‐13
22‐Jul‐13
12‐Sep‐13
27‐Mar‐09
5‐Dec‐08
26‐Aug‐09
2‐Sep‐09
28‐Oct‐09
27‐Feb‐09
27‐Sep‐11
15‐May‐09
8‐Sep‐11
4‐Dec‐09
7‐Feb‐13
8‐Feb‐13
26‐Mar‐13
13‐Feb‐09
29‐Dec‐09
24‐Sep‐13
25‐Sep‐13
29‐Oct‐13
22‐May‐09
8‐Aug‐12
9‐Aug‐12
10‐Aug‐12
11‐Sep‐12
16‐Jan‐09
7‐Feb‐13
8‐Feb‐13
26‐Mar‐13
13‐Mar‐09
21‐Apr‐10
7‐Jul‐10
30‐Jan‐09
4‐Aug‐11
21‐Sep‐11
19‐Jun‐09
27‐Nov‐13
5‐Mar‐14
2‐Apr‐14
5‐Dec‐08
23‐Dec‐09
14‐Jul‐11
23‐Nov‐11
Original Investment Type 1
Preferred Stock w/ Exercised Warrants
Original Investment
Amount
$12,725,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
$0.00
$16,441,884.63
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Sold, in full; warrants not outstanding
$3,705,037.50
$8,867,389.75
3,750
8,975
$988.00
$988.00
($44,962.50)
($107,610.25)
$85,157.88
$544,614.34
86
550
$20,000,000.00
20,000
$1,000.00
$1,322,500.50
$4,028,202.50
4,401
13,405
$300.50
$300.50
($3,078,499.50)
($9,376,797.50)
$1,000,000.00
1,000
$72,314.55
$387,399.37
140
750
105
$9,550.00
($47,250.00)
$25,000.00
5
1,003
1,597
$950.00
$950.00
($50,150.00)
($79,850.00)
$105,000.00
130
$9,000,000.00
9,000
$1,000.00
$4,400,000.00
4,400,000
$1.11
$460,000.00
311,972
$177,716.96
$24,000,000.00
24,000
$1,000.00
132,000
$1,200,000.00
$2,172,000.00
$9,122,400.00
3,000
12,600
$724.00
$724.00
($828,000.00)
($3,477,600.00)
1,200
1,085,554
$9.35
($41,350,070.10)
$698,351.00
521,158
29
3,256
$825.30
$825.30
($5,067.46)
($568,953.44)
638
$106,364.00
164
$860.00
($89,320.00)
$3,960.00
32
777
6,748
$917.90
$917.90
($63,791.70)
($554,010.80)
$372,240.00
376
$5,000,000.00
5,000
$1,000.00
$250,000.00
250
$155,000.00
155
$1,681,000.00
833,705
$531,210.67
533
$1,307,000.00
834,761
($125,724.27)
Preferred Stock w/ Exercised Warrants
$20,000,000.00
$0.00
$23,628,111.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$17,806,000.00
$0.00
$7,665,362.89
Sold, in full; warrants not outstanding
($53,507.03)
Preferred Stock w/ Exercised Warrants
$1,050,000.00
$0.00
$1,220,300.65
Sold, in full; warrants not outstanding
$1,002,750.00
($10,027.50)
($14,972.50)
Preferred Stock w/ Exercised Warrants
$2,600,000.00
$0.00
$3,115,616.28
Sold, in full; warrants not outstanding
$952,850.00
$1,517,150.00
($24,700.00)
($300.00)
Preferred Stock w/ Warrants
$9,000,000.00
$0.00
$10,598,750.00
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$4,400,000.00
$0.00
$5,462,045.14
Sold, in full; warrants not outstanding
$484,924.00
($48,849.24)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$24,000,000.00
$15,600,000.00
$0.00
$0.00
$28,459,100.00
$14,341,140.33
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($112,944.00)
Preferred Stock w/ Warrants
$51,500,000.00
$0.00
$12,739,234.90
Sold, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$3,285,000.00
$0.00
$3,483,629.20
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$638,000.00
$0.00
$659,705.04
Sold, in full; warrants not outstanding
$10,149,929.90
$23,932.54
$2,687,046.56
($25,000.00)
$548,680.00
($5,486.80)
($19,513.20)
Preferred Stock w/ Exercised Warrants
$7,525,000.00
$0.00
$8,781,205.02
Sold, in full; warrants not outstanding
$713,208.30
$6,193,989.20
($69,071.98)
Preferred Stock w/ Exercised Warrants
$5,000,000.00
$0.00
$6,594,635.27
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,100,000.00
$0.00
$4,225,732.08
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$24,900,000.00
$0.00
$33,014,741.20
Redeemed, in full; warrants not outstanding
$1,000,000.00
$2,100,000.00
$982.30
$982.30
97,500
32,500
$1,000.00
$1,000.00
19,891
$1,000.00
$995,000.00
995
$2,639,000.00
2,639,000
$1.00
$132,000.00
132,000
8,648
352
$612.10
$612.10
($3,354,472.72)
($136,537.28)
$311,943.55
450
366
2,315
$823.03
$816.45
($64,571.42)
($419,532.41)
$40,563.34
59
6,000,000
13,965,000
480,000
$0.73
$0.73
$0.73
($1,618,500.00)
($3,767,058.75)
($129,480.00)
$688,041.09
$91,535.40
902,000
120,000
14,523
131,530
$552.60
$552.60
($6,497,444.97)
($58,845,206.70)
$3,372.19
$4,922,044.87
5
7,298
$1,224,558,000.00
1,224,558
$1,000.00
$172,000,000.00
20,500,413
$11,750,000.00
11,750
$1,000.00
$458,000.00
186,311
$5,000,000.00
$2,000,000.00
$5,000,000.00
$13,498,324.83
350
10,300
$19,891,000.00
$0.00
$1,000.00
$97,500,000.00
$32,500,000.00
$10,650,000.00
$1,000.00
$1,000.00
24,900
$343,794.50
$10,117,381.00
Preferred Stock w/ Exercised Warrants
1,000
2,100
$24,900,000.00
5,000,000
2,000,000
5,000,000
$1.00
$1.00
$1.00
$600,000.00
600,000
$15,000,000.00
$23,235,000.00
15,000
23,235
$1,000.00
$1,000.00
$2,794,422.00
770,868
Sold, in full; warrants not outstanding
($6,205.50)
($182,619.00)
($104,611.76)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$2,400,000.00
$130,000,000.00
$2,400,000.00
$0.00
$180,940.00
$136,046,583.33
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$19,891,000.00
$0.00
$23,686,592.33
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$2,639,000.00
$0.00
$3,283,338.96
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$9,000,000.00
$0.00
$6,598,331.15
Sold, in full; warrants not outstanding
$5,293,527.28
$215,462.72
($55,089.90)
Preferred Stock w/ Exercised Warrants
$1,173,000.00
$1,508,000.00
$0.00
$2,781,331.97
Sold, in full; warrants not outstanding
$301,428.58
$1,895,467.59
($33,333.34)
Subordinated Debentures w/ Exercised Warrants
$20,445,000.00
$0.00
$21,101,618.19
Sold, in full; warrants not outstanding
$4,381,500.00
$10,197,941.25
$350,520.00
($149,299.61)
Preferred Stock w/ Exercised Warrants
$146,053,000.00
$0.00
$87,459,858.69
Sold, in full; warrants not outstanding
$8,025,555.03
$72,684,793.30
($807,103.48)
Preferred Stock w/ Warrants
$1,224,558,000.00
$0.00
$1,464,248,844.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$11,750,000.00
$0.00
$13,683,277.61
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
$12,000,000.00
$38,235,000.00
$0.00
$0.00
$17,424,285.82
$44,847,153.76
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants outstanding
21
FootNote
11,16
89
44
45
11
8,44,14
8,44,72
8,14
8,14,18
8,14
15,14
8,14
11
8,120
8,14
11,8
15,14
45,8,14
15,17
8,14
45,8,14
8,14
15,11,14
77
8,17
8,14
Institution Name
EAST WEST BANCORP, INC.
EAST WEST BANCORP, INC.
EAST WEST BANCORP, INC.
EASTERN VIRGINIA BANKSHARES, INC.
EASTERN VIRGINIA BANKSHARES, INC.
EASTERN VIRGINIA BANKSHARES, INC.
EASTERN VIRGINIA BANKSHARES, INC.
ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancshares, Inc.
ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancshares, Inc.
ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancshares, Inc.
EMCLAIRE FINANCIAL CORP.
EMCLAIRE FINANCIAL CORP.
EMCLAIRE FINANCIAL CORP.
ENCORE BANCSHARES INC.
ENCORE BANCSHARES INC.
ENCORE BANCSHARES INC.
ENTERPRISE FINANCIAL SERVICES CORP.
ENTERPRISE FINANCIAL SERVICES CORP.
ENTERPRISE FINANCIAL SERVICES CORP.
ENTERPRISE FINANCIAL SERVICES GROUP, INC.
ENTERPRISE FINANCIAL SERVICES GROUP, INC.
EQUITY BANCSHARES, INC.
EQUITY BANCSHARES, INC.
EXCHANGE BANK
EXCHANGE BANK
EXCHANGE BANK
EXCHANGE BANK
EXCHANGE BANK
EXCHANGE BANK
EXCHANGE BANK
F & M BANCSHARES, INC.
F & M BANCSHARES, INC.
F & M BANCSHARES, INC.
F & M BANCSHARES, INC.
F & M BANCSHARES, INC.
F & M BANCSHARES, INC.
F & M FINANCIAL CORPORATION (NC)
F & M FINANCIAL CORPORATION (NC)
F & M FINANCIAL CORPORATION (NC)
F & M FINANCIAL CORPORATION (NC)
F & M FINANCIAL CORPORATION (NC)
F&C BANCORP. INC.
F&C BANCORP. INC.
F&C BANCORP. INC.
F&C BANCORP. INC.
F&M FINANCIAL CORPORATION (TN)
F&M FINANCIAL CORPORATION (TN)
F&M FINANCIAL CORPORATION (TN)
F&M FINANCIAL CORPORATION (TN)
F&M FINANCIAL CORPORATION (TN)
F.N.B. CORPORATION
F.N.B. CORPORATION
F.N.B. CORPORATION
FARMERS & MERCHANTS BANCSHARES, INC.
FARMERS & MERCHANTS FINANCIAL CORPORATION
FARMERS & MERCHANTS FINANCIAL CORPORATION
FARMERS & MERCHANTS FINANCIAL CORPORATION
FARMERS BANK, WINDSOR, VIRGINIA
FARMERS BANK, WINDSOR, VIRGINIA
FARMERS BANK, WINDSOR, VIRGINIA
FARMERS CAPITAL BANK CORPORATION
FARMERS CAPITAL BANK CORPORATION
FARMERS CAPITAL BANK CORPORATION
FARMERS ENTERPRISES, INC.
FARMERS ENTERPRISES, INC.
FARMERS ENTERPRISES, INC.
FARMERS ENTERPRISES, INC.
FARMERS ENTERPRISES, INC.
FARMERS STATE BANKSHARES, INC.
FARMERS STATE BANKSHARES, INC.
FBHC HOLDING COMPANY
FBHC HOLDING COMPANY
FC HOLDINGS, INC.
FC HOLDINGS, INC.
FC HOLDINGS, INC.
FCB BANCORP, INC.
FCB BANCORP, INC.
FFW CORPORATION
FFW CORPORATION
FFW CORPORATION
FFW CORPORATION
FIDELITY BANCORP, INC. (LA)
FIDELITY BANCORP, INC. (LA)
FIDELITY BANCORP, INC. (PA) / WESBANCO, INC.
FIDELITY BANCORP, INC. (PA) / WESBANCO, INC.
FIDELITY FEDERAL BANCORP
FIDELITY FEDERAL BANCORP
FIDELITY FEDERAL BANCORP
FIDELITY FEDERAL BANCORP
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY SOUTHERN CORPORATION
City
PASADENA
PASADENA
PASADENA
TAPPAHANNOCK
TAPPAHANNOCK
TAPPAHANNOCK
TAPPAHANNOCK
ENGELHARD
ENGELHARD
ENGELHARD
EMLENTON
EMLENTON
EMLENTON
HOUSTON
HOUSTON
HOUSTON
ST. LOUIS
ST. LOUIS
ST. LOUIS
ALLISON PARK
ALLISON PARK
WICHITA
WICHITA
SANTA ROSA
SANTA ROSA
SANTA ROSA
SANTA ROSA
SANTA ROSA
SANTA ROSA
SANTA ROSA
TREZEVANT
TREZEVANT
TREZEVANT
TREZEVANT
TREZEVANT
TREZEVANT
SALISBURY
SALISBURY
SALISBURY
SALISBURY
SALISBURY
HOLDEN
HOLDEN
HOLDEN
HOLDEN
CLARKSVILLE
CLARKSVILLE
CLARKSVILLE
CLARKSVILLE
CLARKSVILLE
HERMITAGE
HERMITAGE
HERMITAGE
HOUSTON
ARGONIA
ARGONIA
ARGONIA
WINDSOR
WINDSOR
WINDSOR
FRANKFORT
FRANKFORT
FRANKFORT
GREAT BEND
GREAT BEND
GREAT BEND
GREAT BEND
GREAT BEND
HOLTON
HOLTON
BOULDER
BOULDER
HOUSTON
HOUSTON
HOUSTON
LOUISVILLE
LOUISVILLE
WABASH
WABASH
WABASH
WABASH
BATON ROUGE
BATON ROUGE
PITTSBURGH
PITTSBURGH
EVANSVILLE
EVANSVILLE
EVANSVILLE
EVANSVILLE
WICHITA
WICHITA
WICHITA
WICHITA
WICHITA
WICHITA
WICHITA
WICHITA
WICHITA
ATLANTA
State
CA
CA
CA
VA
VA
VA
VA
NC
NC
NC
PA
PA
PA
TX
TX
TX
MO
MO
MO
PA
PA
KS
KS
CA
CA
CA
CA
CA
CA
CA
TN
TN
TN
TN
TN
TN
NC
NC
NC
NC
NC
MO
MO
MO
MO
TN
TN
TN
TN
TN
PA
PA
PA
TX
KS
KS
KS
VA
VA
VA
KY
KY
KY
KS
KS
KS
KS
KS
KS
KS
CO
CO
TX
TX
TX
KY
KY
IN
IN
IN
IN
LA
LA
PA
PA
IN
IN
IN
IN
KS
KS
KS
KS
KS
KS
KS
KS
KS
GA
Date
5‐Dec‐08
29‐Dec‐10
26‐Jan‐11
9‐Jan‐09
18‐Oct‐13
21‐Oct‐13
6‐Jan‐14
16‐Jan‐09
19‐Feb‐14
11‐Jun‐14
23‐Dec‐08
18‐Aug‐11
7‐Dec‐11
5‐Dec‐08
27‐Sep‐11
23‐Nov‐11
19‐Dec‐08
7‐Nov‐12
9‐Jan‐13
12‐Jun‐09
25‐Aug‐11
30‐Jan‐09
11‐Aug‐11
19‐Dec‐08
3‐Aug‐12
8‐Aug‐12
9‐Aug‐12
10‐Aug‐12
13‐Aug‐12
11‐Sep‐12
30‐Jan‐09
6‐Nov‐09
6‐Feb‐13
7‐Feb‐13
8‐Feb‐13
26‐Mar‐13
6‐Feb‐09
18‐Sep‐12
19‐Sep‐12
20‐Sep‐12
16‐Nov‐12
22‐May‐09
8‐Nov‐12
13‐Nov‐12
11‐Jan‐13
13‐Feb‐09
19‐Sep‐12
20‐Sep‐12
21‐Sep‐12
16‐Nov‐12
9‐Jan‐09
9‐Sep‐09
23‐Nov‐11
6‐Mar‐09
20‐Mar‐09
24‐Jun‐13
26‐Jul‐13
23‐Jan‐09
9‐Jan‐13
31‐Dec‐13
9‐Jan‐09
19‐Jun‐12
18‐Jul‐12
19‐Jun‐09
8‐Nov‐12
9‐Nov‐12
13‐Nov‐12
11‐Jan‐13
20‐Mar‐09
21‐Jul‐11
29‐Dec‐09
9‐Mar‐11
26‐Jun‐09
20‐Feb‐13
26‐Mar‐13
19‐Dec‐08
22‐Sep‐11
19‐Dec‐08
28‐Nov‐12
30‐Nov‐12
11‐Jan‐13
29‐May‐09
27‐Mar‐13
12‐Dec‐08
30‐Nov‐12
13‐Nov‐09
19‐Jul‐13
22‐Jul‐13
12‐Sep‐13
19‐Dec‐08
1‐Aug‐12
2‐Aug‐12
3‐Aug‐12
7‐Aug‐12
8‐Aug‐12
9‐Aug‐12
10‐Aug‐12
11‐Sep‐12
19‐Dec‐08
Original Investment Type 1
Preferred Stock w/ Warrants
Original Investment
Amount
$306,546,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
$0.00
$352,722,420.00
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Redeemed, in full; warrants not outstanding
$306,546,000.00
306,546
$1,000.00
$3,900,000.00
$20,100,000.00
3,900
20,100
$1,104.10
$1,104.10
$17,949,000.00
17,949
$1,000.00
$7,500,000.00
7,500
$1,000.00
$14,500,000.00
$28,453,653.60
50,111
$637,071.00
$0.00
514,693
$51,113.00
$24,000,000.00
1,517,555
$871,000.00
Preferred Stock w/ Warrants
728,052
Sold, in full; warrants outstanding
$406,029.00
$2,092,611.00
($264,986.40)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$17,949,000.00
$7,500,000.00
$34,000,000.00
$0.00
$0.00
$0.00
$23,397,494.08
$8,545,904.67
$39,415,959.89
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants outstanding
$34,000,000.00
324,074
4,000
$1,000.00
$200,000.00
200
$8,750,000.00
8,750
$1,000.00
$438,000.00
438
$481,387.50
$17,505,000.00
$8,725,367.25
$420,995.25
$10,503,000.00
550
20,000
9,969
481
12,000
$875.20
$875.20
$875.20
$875.20
$875.20
($68,612.50)
($2,495,000.00)
($1,243,632.75)
($60,004.75)
($1,497,000.00)
$1,910,898.00
$120,386.57
$22,930.78
2,000
126
24
5,090
2,901
153
$942.50
$942.50
$942.50
($292,675.00)
($166,807.50)
($8,797.50)
$222,007.50
230
$136,813.05
150
2,805
14,195
$950.00
$950.00
($140,250.00)
($709,750.00)
$638,460.90
700
1,659,000
1,334,000
$0.96
$0.96
($68,400.57)
($55,000.82)
$125,000.00
150,000
$96,465.60
112
200
17,043
$787.50
$787.50
($42,500.00)
($3,621,637.50)
$645,975.00
750
100,000
$1,000.00
$690,100.00
$42,801,933.33
$1,000.00
$1,006,100.00
$0.00
35,000
$4,000,000.00
$35,000,000.00
$1,000.00
$35,000,000.00
Preferred Stock w/ Warrants
34,000
651,042
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$4,680,205.56
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$8,750,000.00
$0.00
$10,394,872.56
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$43,000,000.00
$0.00
$47,294,527.29
Sold, in full; warrants not outstanding
($376,357.50)
Preferred Stock w/ Exercised Warrants
$4,609,000.00
$3,535,000.00
$0.00
$9,405,391.28
Sold, in full; warrants not outstanding
$4,797,325.00
$2,734,192.50
$144,202.50
($76,757.21)
Preferred Stock w/ Exercised Warrants
$17,000,000.00
$0.00
$20,119,744.45
Sold, in full; warrants not outstanding
$2,664,750.00
$13,485,250.00
($161,500.00)
Subordinated Debentures w/ Exercised Warrants
$2,993,000.00
$0.00
$3,842,376.65
Sold, in full; warrants not outstanding
$1,590,599.43
$1,278,999.18
($25,000.00)
Preferred Stock w/ Exercised Warrants
$17,243,000.00
$0.00
$17,573,762.97
Sold, in full; warrants not outstanding
$157,500.00
$13,421,362.50
($135,788.63)
Preferred Stock w/ Warrants
$100,000,000.00
$0.00
$104,023,433.33
Redeemed, in full; warrants not outstanding
$100,000,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$11,000,000.00
$442,000.00
$11,000,000.00
$0.00
$3,861,164.07
$500,199.14
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$8,752,000.00
$0.00
$11,396,202.11
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$30,000,000.00
$0.00
$27,105,349.50
Sold, in full; warrants not outstanding
$425,425.00
442
$962.50
($16,575.00)
$3,063,000.00
$5,689,000.00
3,063
5,689
$1,000.00
$1,000.00
$22,196,700.00
($332,950.50) 30,000
$739.90
($7,803,300.00)
$96,290.00
100,000
$0.96
($2,835.00)
22
($3,710.00)
($25,000.00)
$438,000.00
438
$75,000.00
Subordinated Debentures w/ Exercised Warrants
$12,000,000.00
$0.00
$15,452,669.34
223,992
$37,387.14
$552,936.00
38,000
562,000
$40,000.00
4
$994,613.40
1,052
$465,000.00
465
Sold, in full; warrants not outstanding
$11,458,510.00
11,900,000
$0.96
($441,490.00)
$700,000.00
700
$1,000.00
$650,000.00
3,035,000
$0.21
($2,385,000.00)
21,042
$897.00
($2,167,326.00)
$9,294,000.00
9,294
$1,000.00
$879,424.60
$5,701,813.50
974
6,315
$902.90
$902.90
$3,942,000.00
3,942,000
$1.00
$7,000,000.00
7,000
$1,000.00
$439,000.00
$6,218,000.00
439
6,218
$1,058.90
$1,058.90
135
30
335
3,591
2,635
29,236
320
$891.30
$891.30
$891.30
$891.30
$891.30
$891.30
$891.30
($115,548.00)
Preferred Stock w/ Exercised Warrants
$700,000.00
$0.00
$830,173.67
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$3,035,000.00
$0.00
$804,592.16
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$21,042,000.00
$0.00
$19,836,630.66
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$9,294,000.00
$0.00
$11,156,234.25
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$7,289,000.00
$0.00
$8,441,836.26
Sold, in full; warrants not outstanding
$18,874,674.00
($188,746.74)
($94,575.40)
($613,186.50)
$358,558.20
364
$197,000.00
197,000
$242,302.50
200
$170,227.93
$167,374.94
$1,210,615.36
$176,884.89
179
176
1,273
186
($65,812.38)
Subordinated Debentures w/ Exercised Warrants
$3,942,000.00
$0.00
$5,404,924.35
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$7,000,000.00
$0.00
$8,388,333.33
Redeemed, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$6,657,000.00
$0.00
$7,220,908.83
Sold, in full; warrants not outstanding
$25,857.10
$366,240.20
($70,490.97)
Preferred Stock w/ Exercised Warrants
$36,282,000.00
$0.00
$40,966,780.82
Sold, in full; warrants not outstanding
$120,320.10
$26,737.80
$298,572.10
$3,200,514.66
$2,348,470.10
$26,056,877.36
$285,203.20
($14,679.90)
($3,262.20)
($36,427.90)
($390,485.34)
($286,529.90)
($3,179,122.64)
($34,796.80)
($323,366.95)
Preferred Stock w/ Warrants
$48,200,000.00
$0.00
$51,286,669.09
Sold, in full; warrants outstanding
22
FootNote
11
11
45,8,14
15,17,44
8,14
8,14
15,11,14
11,9,36
45
34,118
8,11,14
45,8,14
45,8,14
8
45
8,14,18
45
8,11,14,18,36
44,8,14
12
8,72
8
15,36,11
11,8,14
12,16
Institution Name
FIDELITY SOUTHERN CORPORATION
FIFTH THIRD BANCORP
FIFTH THIRD BANCORP
FIFTH THIRD BANCORP
FINANCIAL INSTITUTIONS, INC.
FINANCIAL INSTITUTIONS, INC.
FINANCIAL INSTITUTIONS, INC.
FINANCIAL INSTITUTIONS, INC.
FINANCIAL SECURITY CORPORATION
FINANCIAL SECURITY CORPORATION
FINANCIAL SERVICES OF WINGER, INC.
FINANCIAL SERVICES OF WINGER, INC.
FIRST ADVANTAGE BANCSHARES, INC.
FIRST ADVANTAGE BANCSHARES, INC.
FIRST ADVANTAGE BANCSHARES, INC.
FIRST ADVANTAGE BANCSHARES, INC.
FIRST ADVANTAGE BANCSHARES, INC.
FIRST ALLIANCE BANCSHARES, INC.
FIRST ALLIANCE BANCSHARES, INC.
FIRST ALLIANCE BANCSHARES, INC.
FIRST ALLIANCE BANCSHARES, INC.
FIRST AMERICAN BANK CORPORATION
FIRST AMERICAN BANK CORPORATION
FIRST AMERICAN BANK CORPORATION
FIRST AMERICAN INTERNATIONAL CORP.
FIRST AMERICAN INTERNATIONAL CORP.
FIRST BANCORP (NC)
FIRST BANCORP (NC)
FIRST BANCORP (NC)
FIRST BANCORP (PR)
FIRST BANCORP (PR)
FIRST BANCORP (PR)
FIRST BANCORP (PR)
FIRST BANCTRUST CORPORATION
FIRST BANCTRUST CORPORATION
FIRST BANCTRUST CORPORATION
FIRST BANK OF CHARLESTON, INC.
FIRST BANK OF CHARLESTON, INC.
FIRST BANKERS TRUSTSHARES, INC.
FIRST BANKERS TRUSTSHARES, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BUSEY CORPORATION
FIRST BUSEY CORPORATION
FIRST BUSEY CORPORATION
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A.
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A.
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A.
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A.
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A.
FIRST CALIFORNIA FINANCIAL GROUP, INC.
FIRST CALIFORNIA FINANCIAL GROUP, INC.
FIRST CALIFORNIA FINANCIAL GROUP, INC.
FIRST CAPITAL BANCORP, INC.
FIRST CAPITAL BANCORP, INC.
FIRST CAPITAL BANCORP, INC.
FIRST CHOICE BANK
FIRST CHOICE BANK
FIRST CHOICE BANK
FIRST CITIZENS BANC CORP
FIRST CITIZENS BANC CORP
FIRST CITIZENS BANC CORP
FIRST COLEBROOK BANCORP, INC.
FIRST COLEBROOK BANCORP, INC.
FIRST COMMUNITY BANCSHARES INC.
FIRST COMMUNITY BANCSHARES INC.
FIRST COMMUNITY BANCSHARES INC.
FIRST COMMUNITY BANCSHARES, INC. / EQUITY BANCSHARES, INC.
FIRST COMMUNITY BANCSHARES, INC. / EQUITY BANCSHARES, INC.
FIRST COMMUNITY BANK CORPORATION OF AMERICA
FIRST COMMUNITY BANK CORPORATION OF AMERICA
FIRST COMMUNITY CORPORATION
FIRST COMMUNITY CORPORATION
FIRST COMMUNITY CORPORATION
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST DEFIANCE FINANCIAL CORP.
FIRST DEFIANCE FINANCIAL CORP.
FIRST EAGLE BANCSHARES, INC.
FIRST EAGLE BANCSHARES, INC.
FIRST EXPRESS OF NEBRASKA, INC.
FIRST EXPRESS OF NEBRASKA, INC.
FIRST FEDERAL BANCSHARES OF ARKANSAS, INC.
FIRST FEDERAL BANCSHARES OF ARKANSAS, INC.
FIRST FINANCIAL BANCORP
FIRST FINANCIAL BANCORP
FIRST FINANCIAL BANCORP
City
ATLANTA
CINCINNATI
CINCINNATI
CINCINNATI
WARSAW
WARSAW
WARSAW
WARSAW
BASIN
BASIN
WINGER
WINGER
COON RAPIDS
COON RAPIDS
COON RAPIDS
COON RAPIDS
COON RAPIDS
CORDOVA
CORDOVA
CORDOVA
CORDOVA
ELK GROVE VILLAGE
ELK GROVE VILLAGE
ELK GROVE VILLAGE
BROOKLYN
BROOKLYN
TROY
TROY
TROY
SAN JUAN
SAN JUAN
SAN JUAN
SAN JUAN
PARIS
PARIS
PARIS
CHARLESTON
CHARLESTON
QUINCY
QUINCY
CLAYTON
CLAYTON
CLAYTON
CLAYTON
CLAYTON
CLAYTON
CLAYTON
CLAYTON
URBANA
URBANA
URBANA
SAN DIEGO
SAN DIEGO
SAN DIEGO
SAN DIEGO
SAN DIEGO
WESTLAKE VILLAGE
WESTLAKE VILLAGE
WESTLAKE VILLAGE
GLEN ALLEN
GLEN ALLEN
GLEN ALLEN
CERRITOS
CERRITOS
CERRITOS
SANDUSKY
SANDUSKY
SANDUSKY
COLEBROOK
COLEBROOK
BLUEFIELD
BLUEFIELD
BLUEFIELD
WICHITA
WICHITA
PINELLAS PARK
PINELLAS PARK
LEXINGTON
LEXINGTON
LEXINGTON
JOLIET
JOLIET
JOLIET
JOLIET
JOLIET
JOLIET
JOLIET
JOLIET
DEFIANCE
DEFIANCE
HANOVER PARK
HANOVER PARK
GERING
GERING
HARRISON
HARRISON
CINCINNATI
CINCINNATI
CINCINNATI
State
GA
OH
OH
OH
NY
NY
NY
NY
WY
WY
MN
MN
MN
MN
MN
MN
MN
TN
TN
TN
TN
IL
IL
IL
NY
NY
NC
NC
NC
PR
PR
PR
PR
IL
IL
IL
WV
WV
IL
IL
MO
MO
MO
MO
MO
MO
MO
MO
IL
IL
IL
CA
CA
CA
CA
CA
CA
CA
CA
VA
VA
VA
CA
CA
CA
OH
OH
OH
NH
NH
VA
VA
VA
KS
KS
FL
FL
SC
SC
SC
IL
IL
IL
IL
IL
IL
IL
IL
OH
OH
IL
IL
NE
NE
AR
AR
OH
OH
OH
Date
3‐Jul‐12
31‐Dec‐08
2‐Feb‐11
16‐Mar‐11
23‐Dec‐08
23‐Feb‐11
30‐Mar‐11
11‐May‐11
13‐Feb‐09
21‐Jul‐11
31‐Jul‐09
1‐Sep‐11
22‐May‐09
10‐Dec‐12
11‐Dec‐12
11‐Jan‐13
26‐Mar‐13
26‐Jun‐09
20‐Dec‐12
11‐Jan‐13
26‐Mar‐13
24‐Jul‐09
21‐Dec‐11
11‐Dec‐12
13‐Mar‐09
13‐Aug‐10
9‐Jan‐09
1‐Sep‐11
23‐Nov‐11
16‐Jan‐09
16‐Aug‐13
13‐Sep‐13
5‐Dec‐14
20‐Feb‐09
18‐Jan‐12
24‐Oct‐12
6‐Feb‐09
21‐Jul‐11
16‐Jan‐09
8‐Sep‐11
31‐Dec‐08
8‐Aug‐13
9‐Aug‐13
12‐Aug‐13
12‐Sep‐13
24‐Sep‐13
25‐Sep‐13
29‐Oct‐13
6‐Mar‐09
25‐Aug‐11
23‐Nov‐11
10‐Apr‐09
11‐Dec‐09
19‐Dec‐12
20‐Dec‐12
11‐Jan‐13
19‐Dec‐08
14‐Jul‐11
24‐Aug‐11
3‐Apr‐09
19‐Jun‐12
6‐Feb‐13
13‐Feb‐09
22‐Dec‐09
24‐Sep‐10
23‐Jan‐09
3‐Jul‐12
5‐Sep‐12
20‐Mar‐09
22‐Sep‐11
21‐Nov‐08
8‐Jul‐09
22‐Nov‐11
15‐May‐09
16‐Jul‐14
23‐Dec‐08
31‐May‐11
21‐Nov‐08
29‐Aug‐12
1‐Nov‐12
11‐Dec‐09
8‐Aug‐12
9‐Aug‐12
10‐Aug‐12
19‐Sep‐12
20‐Sep‐12
21‐Sep‐12
16‐Nov‐12
5‐Dec‐08
19‐Jun‐12
11‐Sep‐09
17‐Sep‐10
6‐Feb‐09
15‐Feb‐12
6‐Mar‐09
3‐May‐11
23‐Dec‐08
24‐Feb‐10
8‐Jun‐10
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
$43,408,920.00
$0.00
$43,787,611.61
$5,000.00
$5,000.00
5,000
$1,000.00
$250,000.00
250
3,742,000
$1.00
$112,000.00
112,000
769
408
$898.20
$898.20
($78,276.51)
($41,530.32)
$2,979.49
$26,318.80
6
53
3,422
$700.10
($1,026,257.80)
$94,701.71
171
$2,500,000.00
2,500,000
$924,462.00
$37,515,000.00
($4,791,080.00)
616,308
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
2,501
5,002
$3,742,000.00
$4,043,972,602.67
$25,000.00
$5,000,000.00
$0.00
136,320
$12,505,000.00
$25,010,000.00
$3,408,000,000.00
$900.60
$3,408,000,000.00
Preferred Stock w/ Warrants
($651,133.80) 48,200
Redeemed, in full; warrants not outstanding
$280,025,936.00
$2,079,962.50
Preferred Stock w/ Exercised Warrants
$5,000,000.00
$0.00
$5,914,597.33
43,617,747
378,175
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$3,742,000.00
$0.00
$4,487,322.46
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,177,000.00
$0.00
$1,289,436.37
Sold, in full; warrants not outstanding
$690,723.49
$366,469.68
($10,571.93)
($14,428.07)
Preferred Stock w/ Exercised Warrants
$3,422,000.00
$0.00
$3,003,674.75
Sold, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$50,000,000.00
$0.00
$65,558,530.56
Redeemed, in full; warrants not outstanding
Preferred Stock
$17,000,000.00
$0.00
$18,204,166.78
Redeemed, in full; warrants not outstanding
$2,395,742.20
($23,957.42)
($1,042.58)
$15,000,000.00
$35,000,000.00
$1,000.00
$1,000.00
$368,000.00
368
3,345
$1,000.00
$167,000.00
167
10,000
$1,000.00
$500,000.00
500
300
34,777
248,654
$350.00
$350.00
$350.00
($195,000.00)
($22,605,050.00)
($161,625,100.00)
$2,430,181.71
$5,919,151.59
4,299
10,471
5,819
5,850
$551.60
$551.60
($2,609,297.79)
($2,623,198.50)
100,000
$1,000.00
$63,677.00
573,833
$90,461.65
111
$599,042.00
599,042
$266,041.78
417,648
$110,000.00
110
$563,174.00
$144,577,031.43
3,675
3,675
$105,000.00
$12,171,950.00
$87,028,900.00
$185,679,645.76
$6.75
$6.75
$5.03
$10,000,000.00
$400,000,000.00
$1,000.00
469,312
$225,000.00
225
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
12,000,000
1,261,356
($74,611.09)
4,388,888
$3,345,000.00
$74,518,906.44
65,000
$3,675,000.00
$3,675,000.00
$0.00
$1,000.00
$81,000,000.00
$8,514,153.00
$22,063,492.11
$65,000,000.00
$1.00
$1.00
17,000
$65,000,000.00
Preferred Stock w/ Warrants
15,000,000
35,000,000
$17,000,000.00
Sold, in part; warrants outstanding
Preferred Stock w/ Exercised Warrants
$7,350,000.00
$0.00
$9,050,516.50
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,345,000.00
$0.00
$3,960,105.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$11,941,222.22
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$295,400,000.00
$0.00
$119,071,500.97
($64,711,540.92)
($6,802,024.20)
($31,229,144.01)
Sold, in full; warrants not outstanding
($993,058.50)
$3,209,702.21
$3,226,801.50
($64,365.04)
Preferred Stock w/ Warrants
$100,000,000.00
$0.00
$112,410,898.89
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$2,211,000.00
$2,032,000.00
$0.00
$4,693,275.61
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$28,810,847.55
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$10,958,000.00
$0.00
$11,956,712.44
Sold, in full; warrants not outstanding
$100,000,000.00
$1,373,084.00
$2,510,399.84
1,500
2,743
$916.70
$915.60
($126,916.00)
($232,600.16)
$25,000,000.00
25,000
$1,000.00
$10,082,565.38
($151,238.48) 10,958
$920.10
$5,036,000.00
5,036
$1,000.00
$21,004,704.00
($315,070.56) 23,184
$906.00
$4,500,000.00
4,500
$1,000.00
$41,500,000.00
41,500
$1,000.00
$14,800,000.00
14,800
$1,000.00
$7,754,267.48
10,685
$725.70
($2,930,732.52)
$11,155,120.50
($167,326.81) 11,350
$982.80
($194,879.50)
($33,333.33)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$2,200,000.00
$2,836,000.00
$23,184,000.00
$4,500,000.00
$41,500,000.00
$0.00
$0.00
$0.00
$0.00
$5,446,642.94
$25,245,684.71
$5,339,487.75
$42,839,002.78
($875,434.62)
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($2,179,296.00)
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$30,600.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$14,800,000.00
$10,685,000.00
$0.00
$0.00
$19,957,763.30
$8,499,249.92
88,273
$740,000.00
740
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$11,350,000.00
$0.00
$13,425,979.36
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$22,000,000.00
$0.00
$18,252,479.06
Sold, in full; warrants not outstanding
$297,500.00
$326,250.00
$3,051,090.00
$10,977,660.00
195,915
$70,727.58
$440,082.72
$209,563.20
108
672
320
500
4,676
16,824
$652.50
$652.50
$652.50
($173,750.00)
($1,624,910.00)
($5,846,340.00)
$35,618,420.00
($534,276.30) 37,000
$962.70
($1,381,580.00)
$7,500,000.00
7,500,000
$1.00
$375,000.00
375,000
$5,000,000.00
5,000
$1,000.00
$250,000.00
250
$6,000,000.00
16,500
$363.60
$80,000,000.00
80,000
$1,000.00
$2,966,288.32
465,117
($143,550.00)
Preferred Stock w/ Warrants
$37,000,000.00
$0.00
$41,631,005.92
Sold, in full; warrants outstanding
Subordinated Debentures w/ Exercised Warrants
$7,500,000.00
$0.00
$8,514,738.21
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$5,000,000.00
$16,500,000.00
$80,000,000.00
$0.00
$0.00
$0.00
$6,074,313.00
$6,570,625.00
$87,644,066.10
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($10,500,000.00)
Redeemed, in full; warrants not outstanding
23
FootNote
15,17,44
9,17
8,14
8,14,44
11
8,9
8
11
11,36
11,8,14
11,25
44,8,14
33,44,45
11
8,14
44,8,14
12,16
44
11
73,97
8,14,18
8,14
8,14,18,44,45
87
79
15,11,14
11,8,14
8,14
44,8,14
15,14
11,8,14
11,8,14,36
8,14,18
Institution Name
FIRST FINANCIAL BANCSHARES, INC.
FIRST FINANCIAL BANCSHARES, INC.
FIRST FINANCIAL HOLDINGS INC.
FIRST FINANCIAL HOLDINGS INC.
FIRST FINANCIAL HOLDINGS INC.
FIRST FINANCIAL SERVICE CORPORATION
FIRST FINANCIAL SERVICE CORPORATION
FIRST FINANCIAL SERVICE CORPORATION
FIRST FREEDOM BANCSHARES, INC.
FIRST FREEDOM BANCSHARES, INC.
FIRST FREEDOM BANCSHARES, INC.
FIRST GOTHENBURG BANCSHARES, INC.
FIRST GOTHENBURG BANCSHARES, INC.
FIRST GOTHENBURG BANCSHARES, INC.
FIRST GOTHENBURG BANCSHARES, INC.
FIRST GUARANTY BANCSHARES, INC.
FIRST GUARANTY BANCSHARES, INC.
FIRST HORIZON NATIONAL CORPORATION
FIRST HORIZON NATIONAL CORPORATION
FIRST HORIZON NATIONAL CORPORATION
FIRST INDEPENDENCE CORPORATION
FIRST INDEPENDENCE CORPORATION
FIRST INDEPENDENCE CORPORATION
FIRST INDEPENDENCE CORPORATION
FIRST INTERCONTINENTAL BANK
FIRST INTERCONTINENTAL BANK
FIRST INTERCONTINENTAL BANK
FIRST LITCHFIELD FINANCIAL CORPORATION
FIRST LITCHFIELD FINANCIAL CORPORATION
FIRST M&F CORPORATION
FIRST M&F CORPORATION
FIRST M&F CORPORATION
FIRST MANITOWOC BANCORP, INC.
FIRST MANITOWOC BANCORP, INC.
FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATION
FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATION
FIRST MENASHA BANCSHARES, INC.
FIRST MENASHA BANCSHARES, INC.
FIRST MERCHANTS CORPORATION
FIRST MERCHANTS CORPORATION
FIRST MERCHANTS CORPORATION
FIRST MIDWEST BANCORP, INC.
FIRST MIDWEST BANCORP, INC.
FIRST MIDWEST BANCORP, INC.
FIRST NATIONAL CORPORATION
FIRST NATIONAL CORPORATION
FIRST NBC BANK HOLDING COMPANY
FIRST NBC BANK HOLDING COMPANY
FIRST NIAGARA FINANCIAL GROUP
FIRST NIAGARA FINANCIAL GROUP
FIRST NIAGARA FINANCIAL GROUP
FIRST NORTHERN COMMUNITY BANCORP
FIRST NORTHERN COMMUNITY BANCORP
FIRST NORTHERN COMMUNITY BANCORP
FIRST PACTRUST BANCORP, INC.
FIRST PACTRUST BANCORP, INC.
FIRST PACTRUST BANCORP, INC.
FIRST PLACE FINANCIAL CORP.
FIRST PLACE FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST RELIANCE BANCSHARES, INC.
FIRST RELIANCE BANCSHARES, INC.
FIRST RELIANCE BANCSHARES, INC.
FIRST RESOURCE BANK
FIRST RESOURCE BANK
FIRST RESOURCE BANK
FIRST SECURITY GROUP, INC.
FIRST SECURITY GROUP, INC.
FIRST SOUND BANK
FIRST SOUND BANK
FIRST SOUTH BANCORP, INC.
FIRST SOUTH BANCORP, INC.
FIRST SOUTH BANCORP, INC.
FIRST SOUTHERN BANCORP, INC.
FIRST SOUTHERN BANCORP, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST TEXAS BHC, INC.
FIRST TEXAS BHC, INC.
FIRST TRUST CORPORATION
FIRST TRUST CORPORATION
FIRST TRUST CORPORATION
FIRST ULB CORP.
FIRST ULB CORP.
FIRST UNITED CORPORATION
FIRST UNITED CORPORATION
FIRST UNITED CORPORATION
FIRST VERNON BANCSHARES, INC.
FIRST VERNON BANCSHARES, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
City
LAWRENCE
LAWRENCE
CHARLESTON
CHARLESTON
CHARLESTON
ELIZABETHTOWN
ELIZABETHTOWN
ELIZABETHTOWN
LEBANON
LEBANON
LEBANON
GOTHENBURG
GOTHENBURG
GOTHENBURG
GOTHENBURG
HAMMOND
HAMMOND
MEMPHIS
MEMPHIS
MEMPHIS
DETROIT
DETROIT
DETROIT
DETROIT
DORAVILLE
DORAVILLE
DORAVILLE
LITCHFIELD
LITCHFIELD
KOSCIUSKO
KOSCIUSKO
KOSCIUSKO
MANITOWOC
MANITOWOC
RICHMOND
RICHMOND
NEENAH
NEENAH
MUNCIE
MUNCIE
MUNCIE
ITASCA
ITASCA
ITASCA
STRASBURG
STRASBURG
NEW ORLEANS
NEW ORLEANS
LOCKPORT
LOCKPORT
LOCKPORT
DIXON
DIXON
DIXON
CHULA VISTA
CHULA VISTA
CHULA VISTA
WARREN
WARREN
MALVERN
MALVERN
MALVERN
MALVERN
MALVERN
FLORENCE
FLORENCE
FLORENCE
EXTON
EXTON
EXTON
CHATTANOOGA
CHATTANOOGA
SEATTLE
SEATTLE
LEXINGTON
LEXINGTON
LEXINGTON
BOCA RATON
BOCA RATON
ALAMOSA
ALAMOSA
ALAMOSA
ALAMOSA
ALAMOSA
FORT WORTH
FORT WORTH
NEW ORLEANS
NEW ORLEANS
NEW ORLEANS
OAKLAND
OAKLAND
OAKLAND
OAKLAND
OAKLAND
VERNON
VERNON
DENVER
DENVER
DENVER
State
KS
KS
SC
SC
SC
KY
KY
KY
TN
TN
TN
NE
NE
NE
NE
LA
LA
TN
TN
TN
MI
MI
MI
MI
GA
GA
GA
CT
CT
MS
MS
MS
WI
WI
VA
VA
WI
WI
IN
IN
IN
IL
IL
IL
VA
VA
LA
LA
NY
NY
NY
CA
CA
CA
CA
CA
CA
OH
OH
PA
PA
PA
PA
PA
SC
SC
SC
PA
PA
PA
TN
TN
WA
WA
TN
TN
TN
FL
FL
CO
CO
CO
CO
CO
TX
TX
LA
LA
LA
CA
CA
MD
MD
MD
AL
AL
CO
CO
CO
Date
Original Investment Type 1
12‐Jun‐09
22‐Sep‐11
5‐Dec‐08
3‐Apr‐12
22‐May‐13
9‐Jan‐09
29‐Apr‐13
31‐May‐13
22‐Dec‐09
9‐Nov‐12
11‐Jan‐13
27‐Feb‐09
29‐Oct‐12
31‐Oct‐12
11‐Jan‐13
28‐Aug‐09
22‐Sep‐11
14‐Nov‐08
22‐Dec‐10
9‐Mar‐11
28‐Aug‐09
20‐Dec‐12
11‐Jan‐13
26‐Mar‐13
13‐Mar‐09
12‐Aug‐13
12‐Sep‐13
12‐Dec‐08
7‐Apr‐10
27‐Feb‐09
29‐Sep‐10
30‐Aug‐13
16‐Jan‐09
27‐May‐09
6‐Feb‐09
7‐Dec‐11
13‐Feb‐09
15‐Sep‐11
20‐Feb‐09
22‐Sep‐11
23‐Nov‐11
5‐Dec‐08
23‐Nov‐11
21‐Dec‐11
13‐Mar‐09
29‐Aug‐12
20‐Mar‐09
4‐Aug‐11
21‐Nov‐08
27‐May‐09
24‐Jun‐09
13‐Mar‐09
15‐Sep‐11
16‐Nov‐11
21‐Nov‐08
15‐Dec‐10
5‐Jan‐11
13‐Mar‐09
29‐Oct‐12
20‐Feb‐09
18‐Dec‐09
7‐Feb‐13
8‐Feb‐13
26‐Mar‐13
6‐Mar‐09
11‐Mar‐13
9‐Apr‐13
30‐Jan‐09
11‐Dec‐09
15‐Sep‐11
9‐Jan‐09
11‐Apr‐13
23‐Dec‐08
20‐Feb‐13
17‐Jul‐09
28‐Sep‐11
28‐Nov‐12
30‐Jan‐09
16‐Jun‐10
6‐Mar‐09
26‐Mar‐13
27‐Mar‐13
28‐Mar‐13
9‐Apr‐13
6‐Mar‐09
15‐Sep‐11
5‐Jun‐09
20‐Feb‐13
26‐Mar‐13
23‐Jan‐09
22‐Apr‐09
30‐Jan‐09
3‐Dec‐14
4‐Dec‐14
12‐Jun‐09
29‐Sep‐10
6‐Feb‐09
11‐Dec‐09
9‐Aug‐12
Subordinated Debentures w/ Exercised Warrants
Original Investment
Amount
$3,756,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
$0.00
$4,563,280.34
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Redeemed, in full; warrants not outstanding
$3,756,000.00
Preferred Stock w/ Warrants
$20,000,000.00
$0.00
$0.00
$68,141,972.19
$12,333,778.00
($851,672.25) 65,000
$873.50
$113,000.00
113,000
$1,400,000.00
$65,000,000.00
$1.00
$56,778,150.00
Preferred Stock w/ Warrants
3,756,000
241,696
Sold, in full; warrants not outstanding
($8,221,850.00)
Sold, in full; warrants outstanding
$10,842,200.00
20,000
$542.10
($9,157,800.00)
($108,422.00)
Preferred Stock w/ Exercised Warrants
$8,700,000.00
$0.00
$9,522,346.17
Sold, in full; warrants not outstanding
$8,025,750.00
8,700
$922.50
($674,250.00)
$256,118.75
261
29
7,541
$910.30
$910.30
($2,601.01)
($676,352.29)
$362,118.92
379
$1,030,000.00
103
$79,700,000.00
14,842,321
$139,320.00
320
$1,488,046.41
199,203
$4,089,510.61
513,113
$600,000.00
600
$240,000.00
240
($80,257.50)
Preferred Stock w/ Exercised Warrants
$7,570,000.00
$0.00
$8,702,021.25
Sold, in full; warrants not outstanding
$26,398.99
$6,864,647.71
($68,910.46)
Preferred Stock w/ Exercised Warrants
$20,699,000.00
$0.00
$24,059,476.66
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$866,540,000.00
$0.00
$1,037,467,405.56
Redeemed, in full; warrants not outstanding
$20,699,000.00
$725.00
($886,325.00)
6,398
$507.50
($3,150,887.04)
10,000
$1,000.00
30,000
$1,000.00
$12,000,000.00
12,000
$1,000.00
$33,900,000.00
$2,820,256.96
3,223
$30,000,000.00
$0.00
$1,000.00
$10,000,000.00
$3,223,000.00
$10,000.00
866,540
$2,336,675.00
Preferred Stock
2,070
$866,540,000.00
35,595
$1,000.00
Sold, in full; warrants not outstanding
($23,366.75)
($26,633.25)
Preferred Stock w/ Exercised Warrants
$6,398,000.00
$0.00
$4,118,886.85
Sold, in full; warrants not outstanding
$3,247,112.96
($25,000.00)
Preferred Stock w/ Warrants
$10,000,000.00
$0.00
$12,147,768.63
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$30,000,000.00
$0.00
$36,472,843.94
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,000,000.00
$0.00
$12,837,983.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$33,900,000.00
$0.00
$40,834,859.35
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,797,000.00
$0.00
$5,713,865.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$116,000,000.00
$0.00
$131,383,055.11
$1,695,000.00
Redeemed, in full; warrants not outstanding
$4,797,000.00
4,797
$1,000.00
$116,000,000.00
116,000
$1,000.00
$193,000,000.00
193,000
$1,000.00
$367,500.00
$193,000,000.00
$0.00
$222,528,333.33
991,453
$900,000.00
Preferred Stock w/ Warrants
1,305,230
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$13,900,000.00
$0.00
$15,329,326.44
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$17,836,000.00
$0.00
$21,033,989.56
Redeemed, in full; warrants not outstanding
$12,266,750.00
$184,011,000.00
$0.00
$191,464,618.00
$0.00
$19,943,580.33
$1,000.00
($1,633,250.00)
$624,674.69
695
892
953,096
Redeemed, in full; warrants not outstanding
$17,390,000.00
$882.50
17,836
$892,000.00
$2,700,000.00
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
($184,001.25) 13,900
$17,836,000.00
Redeemed, in full; warrants not outstanding
$184,011,000.00
184,011
$1,000.00
$17,390,000.00
17,390
$1,000.00
$19,300,000.00
19,300
$1,000.00
$375,000.00
Preferred Stock w/ Warrants
$19,300,000.00
$72,927,000.00
$0.00
$0.00
$22,297,560.34
$7,009,094.50
352,977
$1,003,227.00
Preferred Stock w/ Warrants
280,795
Redeemed, in full; warrants not outstanding
Exited bankruptcy/receivership
($72,927,000.00)
Preferred Stock w/ Exercised Warrants
$4,579,000.00
$4,596,000.00
$0.00
$9,948,069.58
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$15,349,000.00
$0.00
$12,994,059.00
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,600,000.00
$2,417,000.00
$0.00
$5,731,793.60
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$33,000,000.00
$0.00
$16,315,362.00
Sold, in full; warrants not outstanding
$6,682,192.50
$1,410,831.60
7,575
1,600
$882.23
$882.05
($892,807.50)
($189,168.40)
$48,083.60
$176,633.62
49
180
15,349
$679.60
($4,917,666.11)
$624,632.45
767
$130,000.00
130
($80,930.24)
$10,431,333.89
($104,313.34)
$5,017,000.00
Preferred Stock w/ Warrants
$7,400,000.00
$0.00
$4,030,944.44
$50,000,000.00
$0.00
$65,432,450.94
$1,000.00
9,941,908
$1.50
($18,087,138.00)
($3,700,000.00)
Sold, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
5,017
$14,912,862.00
Redeemed, in full; warrants not outstanding
$3,700,000.00
2,500,000
$545,000.00
545
350
3,150
2,000
$900.00
$900.00
$900.00
$206,048.21
$45,788.48
225
50
13,533
$1,000.00
17,969,000
$0.77
$4,900,000.00
4,900
$1,000.00
$7,800,000.00
$22,200,000.00
7,800
22,200
$1,002.00
$1,002.00
$6,000,000.00
$5,359,772.59
$2,500,000.00
$1,000.00
$13,533,000.00
$0.00
$12,263,468.31
10,900
$13,750,058.49
$5,500,000.00
$0.00
$1.00
$1.00
$315,007.00
$2,835,063.00
$1,800,040.00
Preferred Stock w/ Exercised Warrants
$10,900,000.00
$500.00
13,125,000
36,875,000
$10,900,000.00
Preferred Stock w/ Exercised Warrants
7,400
$13,125,000.00
$36,875,000.00
6,000
$1,000.00
$6,138,000.00
7,920
$775.00
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($34,993.00)
($314,937.00)
($199,960.00)
($49,501.10)
Preferred Stock w/ Exercised Warrants
$13,533,000.00
$0.00
$16,072,389.00
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$17,969,000.00
$0.00
$15,304,180.50
Sold, in full; warrants not outstanding
$677,000.00
677
$644,726.19
898,000
$245,000.00
245
$245,000.00
($4,218,941.51)
245
$311,681.70
380
($137,500.58)
Preferred Stock w/ Exercised Warrants
$4,900,000.00
$0.00
$5,211,020.69
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$30,000,000.00
$0.00
$40,367,161.91
Sold, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$0.00
$6,662,770.42
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$8,559,000.00
$11,881,000.00
$0.00
$21,142,314.80
$15,678.00
$44,622.00
Sold, in full; warrants not outstanding
($1,782,000.00)
24
FootNote
11
8,84
8,44,14
12,16
45,8,14
11,8,14
8,66,97
45,8,14
50,97
11,8,14
8,14
15
15,11,14
44,8,14
15,11,14
11
8,14
11,8,14
8
8,14
8,17,91,97
11
8
44,8,14
15
8
8,14,18,44
15
45
11,8,14
11,8,14
8
8,68,97
Institution Name
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRSTBANK CORPORATION
FIRSTBANK CORPORATION
FIRSTBANK CORPORATION
FIRSTMERIT CORPORATION
FIRSTMERIT CORPORATION
FIRSTMERIT CORPORATION
FLAGSTAR BANCORP, INC.
FLAGSTAR BANCORP, INC.
FLAGSTAR BANCORP, INC.
FLAGSTAR BANCORP, INC.
FLAGSTAR BANCORP, INC.
FLAGSTAR BANCORP, INC.
FLORIDA BANK GROUP, INC.
FLORIDA BANK GROUP, INC.
FLORIDA BUSINESS BANCGROUP, INC.
FLORIDA BUSINESS BANCGROUP, INC.
FLUSHING FINANCIAL CORPORATION
FLUSHING FINANCIAL CORPORATION
FLUSHING FINANCIAL CORPORATION
FNB BANCORP
FNB BANCORP
FORESIGHT FINANCIAL GROUP, INC.
FORESIGHT FINANCIAL GROUP, INC.
FORT LEE FEDERAL SAVINGS BANK, FSB
FORT LEE FEDERAL SAVINGS BANK, FSB
FORTUNE FINANCIAL CORPORATION
FORTUNE FINANCIAL CORPORATION
FPB BANCORP, INC.
FPB BANCORP, INC.
FPB FINANCIAL CORP.
FPB FINANCIAL CORP.
FPB FINANCIAL CORP.
FRANKLIN BANCORP, INC.
FRANKLIN BANCORP, INC.
FRANKLIN BANCORP, INC.
FRANKLIN BANCORP, INC.
FREEPORT BANCSHARES, INC.
FREEPORT BANCSHARES, INC.
FREEPORT BANCSHARES, INC.
FREEPORT BANCSHARES, INC.
FREMONT BANCORPORATION
FREMONT BANCORPORATION
FRESNO FIRST BANK
FRESNO FIRST BANK
FRONTIER BANCSHARES, INC
FRONTIER BANCSHARES, INC
FRONTIER BANCSHARES, INC
FULTON FINANCIAL CORPORATION
FULTON FINANCIAL CORPORATION
FULTON FINANCIAL CORPORATION
GATEWAY BANCSHARES, INC.
GATEWAY BANCSHARES, INC.
GEORGIA COMMERCE BANCSHARES, INC.
GEORGIA COMMERCE BANCSHARES, INC.
GEORGIA PRIMARY BANK
GEORGIA PRIMARY BANK
GEORGIA PRIMARY BANK
GERMANTOWN CAPITAL CORPORATION
GERMANTOWN CAPITAL CORPORATION
GERMANTOWN CAPITAL CORPORATION
GERMANTOWN CAPITAL CORPORATION
GOLD CANYON BANK
GOLD CANYON BANK
GOLDMAN SACHS GROUP, INC.
GOLDMAN SACHS GROUP, INC.
GOLDMAN SACHS GROUP, INC.
GOLDWATER BANK, N.A.
GRAND CAPITAL CORPORATION
GRAND CAPITAL CORPORATION
GRAND FINANCIAL CORPORATION
GRAND MOUNTAIN BANCSHARES, INC.
GRANDSOUTH BANCORPORATION
GRANDSOUTH BANCORPORATION
GRANDSOUTH BANCORPORATION
GREAT RIVER HOLDING COMPANY
GREAT RIVER HOLDING COMPANY
GREAT RIVER HOLDING COMPANY
GREAT RIVER HOLDING COMPANY
GREAT SOUTHERN BANCORP
GREAT SOUTHERN BANCORP
GREAT SOUTHERN BANCORP
GREEN BANKSHARES, INC.
GREEN BANKSHARES, INC.
GREEN CIRCLE INVESTMENTS, INC.
GREEN CIRCLE INVESTMENTS, INC.
GREEN CIRCLE INVESTMENTS, INC.
GREEN CIRCLE INVESTMENTS, INC.
GREEN CITY BANCSHARES, INC.
GREEN CITY BANCSHARES, INC.
GREER BANCSHARES INCORPORATED
GREER BANCSHARES INCORPORATED
GREER BANCSHARES INCORPORATED
GREER BANCSHARES INCORPORATED
GREGG BANCSHARES, INC.
GREGG BANCSHARES, INC.
City
DENVER
DENVER
DENVER
DENVER
ALMA
ALMA
ALMA
AKRON
AKRON
AKRON
TROY
TROY
TROY
TROY
TROY
TROY
TAMPA
TAMPA
TAMPA
TAMPA
LAKE SUCCESS
LAKE SUCCESS
LAKE SUCCESS
SOUTH SAN FRANCISCO
SOUTH SAN FRANCISCO
ROCKFORD
ROCKFORD
FORT LEE
FORT LEE
ARNOLD
ARNOLD
PORT ST. LUCIE
PORT ST. LUCIE
HAMMOND
HAMMOND
HAMMOND
WASHINGTON
WASHINGTON
WASHINGTON
WASHINGTON
FREEPORT
FREEPORT
FREEPORT
FREEPORT
FREMONT
FREMONT
FRESNO
FRESNO
AUSTIN
AUSTIN
AUSTIN
LANCASTER
LANCASTER
LANCASTER
RINGGOLD
RINGGOLD
ATLANTA
ATLANTA
ATLANTA
ATLANTA
ATLANTA
GERMANTOWN
GERMANTOWN
GERMANTOWN
GERMANTOWN
GOLD CANYON
GOLD CANYON
NEW YORK
NEW YORK
NEW YORK
SCOTTSDALE
TULSA
TULSA
HATTIESBURG
GRANBY
GREENVILLE
GREENVILLE
GREENVILLE
BAXTER
BAXTER
BAXTER
BAXTER
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
GREENEVILLE
GREENEVILLE
CLIVE
CLIVE
CLIVE
CLIVE
GREEN CITY
GREEN CITY
GREER
GREER
GREER
GREER
OZARK
OZARK
State
CO
CO
CO
CO
MI
MI
MI
OH
OH
OH
MI
MI
MI
MI
MI
MI
FL
FL
FL
FL
NY
NY
NY
CA
CA
IL
IL
NJ
NJ
MO
MO
FL
FL
LA
LA
LA
MO
MO
MO
MO
IL
IL
IL
IL
CA
CA
CA
CA
TX
TX
TX
PA
PA
PA
GA
GA
GA
GA
GA
GA
GA
TN
TN
TN
TN
AZ
AZ
NY
NY
NY
AZ
OK
OK
MS
CO
SC
SC
SC
MN
MN
MN
MN
MO
MO
MO
TN
TN
IA
IA
IA
IA
MO
MO
SC
SC
SC
SC
MO
MO
Date
10‐Aug‐12
11‐Sep‐12
24‐Jun‐13
26‐Jul‐13
30‐Jan‐09
3‐Jul‐12
18‐Jul‐12
9‐Jan‐09
22‐Apr‐09
27‐May‐09
30‐Jan‐09
26‐Mar‐13
27‐Mar‐13
28‐Mar‐13
9‐Apr‐13
12‐Jun‐13
24‐Jul‐09
14‐Aug‐13
20‐Feb‐09
22‐Sep‐11
19‐Dec‐08
28‐Oct‐09
30‐Dec‐09
27‐Feb‐09
15‐Sep‐11
15‐May‐09
11‐Dec‐12
22‐May‐09
20‐Apr‐12
3‐Apr‐09
15‐Sep‐11
5‐Dec‐08
15‐Jul‐11
23‐Jan‐09
16‐Dec‐09
16‐Jun‐10
22‐May‐09
9‐Nov‐12
13‐Nov‐12
11‐Jan‐13
8‐May‐09
11‐Apr‐14
14‐Apr‐14
18‐Jul‐14
26‐Jun‐09
25‐Jul‐12
23‐Jan‐09
1‐Nov‐12
24‐Apr‐09
24‐Nov‐09
6‐Oct‐10
23‐Dec‐08
14‐Jul‐10
8‐Sep‐10
8‐May‐09
13‐Apr‐12
6‐Feb‐09
16‐Feb‐11
1‐May‐09
10‐Feb‐14
19‐Mar‐14
6‐Mar‐09
29‐Oct‐12
31‐Oct‐12
11‐Jan‐13
26‐Jun‐09
5‐Apr‐13
28‐Oct‐08
17‐Jun‐09
22‐Jul‐09
30‐Jan‐09
24‐Apr‐09
8‐Sep‐11
25‐Sep‐09
29‐May‐09
9‐Jan‐09
11‐Dec‐09
8‐Sep‐11
17‐Jul‐09
11‐Apr‐14
14‐Apr‐14
18‐Jul‐14
5‐Dec‐08
18‐Aug‐11
21‐Sep‐11
23‐Dec‐08
7‐Sep‐11
27‐Feb‐09
14‐Nov‐12
23‐Jan‐13
24‐Apr‐13
27‐Feb‐09
14‐Jul‐10
30‐Jan‐09
19‐Mar‐14
11‐Jun‐14
23‐Jul‐14
13‐Feb‐09
13‐Jul‐12
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
$62,000.00
Avg. Price
(Realized Loss) /
(Write‐off)
80
$775.00
12,440
$874.81
Gain5
Warrant Proceeds
Amount
($18,000.00)
$39,370.32
($1,445,760.00)
48
($1,946,670.00)
$1,946,670.00
578,947
$5,025,000.00
952,260
$12,905.00
645,138
$475,000.00
475
($62,000.00)
$10,994,240.00
($109,942.41)
Preferred Stock w/ Warrants
$33,000,000.00
$0.00
$38,185,560.05
Sold, in full; warrants not outstanding
$31,053,330.00
$0.00
$131,813,194.44
$277,861,053.94
$941.00
$1,000.00
1,579
250,578
14,500
$911.50
$911.50
$911.50
($139,741.50)
($22,176,153.00)
($1,283,250.00)
$8,000,000.00
$266,657,000.00
$0.00
125,000
$1,439,258.50
$228,401,847.00
$13,216,750.00
Preferred Stock w/ Warrants
$125,000,000.00
($465,799.95) 33,000
$125,000,000.00
Preferred Stock w/ Warrants
20,471
$390.80
($12,471,000.00)
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($2,430,578.56)
Preferred Stock w/ Exercised Warrants
$20,471,000.00
$0.00
$9,180,793.08
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$9,495,000.00
$0.00
$11,309,750.50
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$70,000,000.00
$0.00
$73,904,166.66
Redeemed, in full; warrants not outstanding
$9,495,000.00
$14,267,700.00
375,806
$1,000.00
$600,000.00
600
15,000
$1,000.00
$750,000.00
750
$155,000.00
155
$162,000.00
162
$126,798.62
$45,188.88
188
67
$84,514.33
$42,257.17
100,000
50,000
Redeemed, in full; warrants not outstanding
$18,670,291.67
12,000
$15,000,000.00
$0.00
$0.00
$1,000.00
$900,000.00
$12,000,000.00
$15,000,000.00
$1,000.00
70,000
$12,000,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
9,495
$70,000,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,300,000.00
$0.00
$87,184.85
Exited bankruptcy/receivership
($1,300,000.00)
Preferred Stock w/ Exercised Warrants
$3,100,000.00
$0.00
$3,668,927.67
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$5,800,000.00
$0.00
$273,888.89
Currently not collectible
$3,100,000.00
3,100
$1,000.00
($5,800,000.00)
Preferred Stock w/ Exercised Warrants
$3,240,000.00
$0.00
$3,623,721.50
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,097,000.00
$0.00
$4,336,183.67
Sold, in full; warrants not outstanding
$1,000,000.00
$2,240,000.00
1,000
2,240
$1,000.00
$1,000.00
$594,550.00
$2,629,302.50
940
4,157
$632.50
$632.50
2,800,000
200,000
$1.01
$1.01
($345,450.00)
($1,527,697.50)
($25,000.00)
Subordinated Debentures w/ Exercised Warrants
$3,000,000.00
$0.00
$4,363,022.95
Sold, in full; warrants not outstanding
$2,800,000.00
$200,000.00
$18,228.00
$1,302.00
($25,000.00)
Subordinated Debentures w/ Exercised Warrants
$35,000,000.00
$0.00
$45,796,066.36
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,968,000.00
$0.00
$2,437,100.33
Redeemed, in full; warrants not outstanding
$35,000,000.00
$1.00
$1.00
$150,000.00
150,000
376,500
$1,000.00
5,509,756
6,000
$1,000.00
$300,000.00
300
$8,700,000.00
8,700
$1,000.00
$435,000.00
435
4,500
$345.80
($2,943,855.00)
$45,312.50
225
29
4,938
$910.10
$910.10
($2,606.23)
($443,778.06)
$214,595.28
248
10,000,000
$1,000.00
$1,100,000,000.00
12,205,045
$200,000.00
200
$450,000.00
450
$626,007.69
420,000
$6,436,364.00
$416,635,625.00
98
1,600,000
1,400,000
$10,800,000.00
$0.00
$3,408,191.65
1,750,000
$98,000.00
$6,000,000.00
$376,500,000.00
$0.00
$1,750,000.00
$1,000.00
$376,500,000.00
Preferred Stock w/ Warrants
$3,000,000.00
$1.00
1,968
$1,600,000.00
$1,400,000.00
Subordinated Debentures w/ Exercised Warrants
35,000,000
$1,968,000.00
909,091
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$0.00
$7,260,794.87
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$8,700,000.00
$0.00
$10,096,470.83
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,500,000.00
$0.00
$1,576,457.50
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,967,000.00
$0.00
$5,699,100.75
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,607,000.00
$0.00
$53,859.52
Exited bankruptcy/receivership
Preferred Stock w/ Warrants
$10,000,000,000.00
$0.00
$11,418,055,555.44
Redeemed, in full; warrants not outstanding
$1,556,145.00
($25,000.00)
$26,393.77
$4,494,221.94
($25,000.00)
($1,607,000.00)
$10,000,000,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$2,568,000.00
$4,000,000.00
$2,568,000.00
$0.00
$145,750.00
$4,717,144.78
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$2,443,320.00
$3,076,000.00
$9,000,000.00
$6,319,000.00
$2,443,320.00
$3,076,000.00
$0.00
$1,074,025.78
$0.00
$17,625,917.08
Full investment outstanding; warrants outstanding
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$8,400,000.00
$0.00
$11,306,571.15
Sold, in full; warrants not outstanding
$4,000,000.00
4,000
$1,000.00
$15,319,000.00
15,319
$1,000.00
$4,800,000.00
$3,600,000.00
4,800,000
3,600,000
$1.19
$1.19
$58,000,000.00
58,000
$1,000.00
$68,700,000.00
72,278
$950.50
$800,000.00
$800,000.00
$800,000.00
800
800
800
$1,000.00
$1,000.00
$1,000.00
$120,000.00
120
$651,000.00
651
$1,000.00
$33,000.00
33
$3,150,000.00
$1,980,000.00
$4,863,000.00
3,150
1,980
4,863
$1,000.00
$1,000.00
$1,000.00
$500,000.00
500
$926,400.00
$694,800.00
($100,212.00)
Preferred Stock w/ Warrants
$58,000,000.00
$0.00
$72,274,419.56
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$72,278,000.00
$0.00
$74,642,857.78
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,400,000.00
$0.00
$3,036,021.12
Preferred Stock w/ Exercised Warrants
$651,000.00
$0.00
$733,037.33
($3,578,000.00)
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$9,993,000.00
$825,000.00
$0.00
$0.00
$13,693,111.07
$45,190.00
Redeemed, in full; warrants not outstanding
Currently not collectible
($825,000.00)
25
FootNote
45,8,14
9,15,36
11
17,28,70,97
45,8,14
11,8,14
38
8,9
11,8,14
11
8,17
45
8,17,45
11
11,16
11
11
8,18,21,44
8,111
11,8,14
11
8
8,14
8,17
11
11,45
44,8,14
8,11,14,18
11
8,14
8,17
9,15,36
12,16
8,14
Institution Name
GUARANTY BANCORP, INC.
GUARANTY BANCORP, INC.
GUARANTY CAPITAL CORPORATION
GUARANTY CAPITAL CORPORATION
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GULFSOUTH PRIVATE BANK
GULFSOUTH PRIVATE BANK
GULFSTREAM BANCSHARES, INC.
GULFSTREAM BANCSHARES, INC.
HAMILTON STATE BANCSHARES, INC.
HAMILTON STATE BANCSHARES, INC.
HAMPTON ROADS BANKSHARES, INC.
HAMPTON ROADS BANKSHARES, INC.
HARBOR BANKSHARES CORPORATION
HAVILAND BANCSHARES, INC.
HAVILAND BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HCSB FINANCIAL CORPORATION
HEARTLAND BANCSHARES, INC.
HEARTLAND BANCSHARES, INC.
HEARTLAND FINANCIAL USA, INC.
HEARTLAND FINANCIAL USA, INC.
HEARTLAND FINANCIAL USA, INC.
HERITAGE BANKSHARES, INC.
HERITAGE BANKSHARES, INC.
HERITAGE BANKSHARES, INC.
HERITAGE COMMERCE CORP.
HERITAGE COMMERCE CORP.
HERITAGE COMMERCE CORP.
HERITAGE FINANCIAL CORPORATION
HERITAGE FINANCIAL CORPORATION
HERITAGE FINANCIAL CORPORATION
HERITAGE OAKS BANCORP
HERITAGE OAKS BANCORP
HERITAGE OAKS BANCORP
HF FINANCIAL CORP.
HF FINANCIAL CORP.
HF FINANCIAL CORP.
HIGHLANDS BANCORP, INC.
HIGHLANDS BANCORP, INC.
HIGHLANDS BANCORP, INC.
HIGHLANDS INDEPENDENT BANCSHARES, INC.
HIGHLANDS INDEPENDENT BANCSHARES, INC.
HILLTOP COMMUNITY BANCORP, INC.
HILLTOP COMMUNITY BANCORP, INC.
HMN FINANCIAL, INC.
HMN FINANCIAL, INC.
HMN FINANCIAL, INC.
HMN FINANCIAL, INC.
HOME BANCSHARES, INC.
HOME BANCSHARES, INC.
HOME BANCSHARES, INC.
HOMETOWN BANCORP OF ALABAMA, INC.
HOMETOWN BANCORP OF ALABAMA, INC.
HOMETOWN BANCSHARES, INC.
HOMETOWN BANCSHARES, INC.
HOMETOWN BANCSHARES, INC.
HOMETOWN BANCSHARES, INC.
HOMETOWN BANCSHARES, INC.
HOMETOWN BANKSHARES CORPORATION
HOMETOWN BANKSHARES CORPORATION
HOMETOWN BANKSHARES CORPORATION
HOPFED BANCORP
HOPFED BANCORP
HOPFED BANCORP
HORIZON BANCORP
HORIZON BANCORP
HORIZON BANCORP
HORIZON BANCORP
HOWARD BANCORP, INC.
HOWARD BANCORP, INC.
HPK FINANCIAL CORPORATION
HPK FINANCIAL CORPORATION
HPK FINANCIAL CORPORATION
HUNTINGTON BANCSHARES
HUNTINGTON BANCSHARES
HUNTINGTON BANCSHARES
HYPERION BANK
HYPERION BANK
HYPERION BANK
HYPERION BANK
IA BANCORP, INC / INDUS AMERICAN BANK
IA BANCORP, INC / INDUS AMERICAN BANK
IA BANCORP, INC / INDUS AMERICAN BANK
IA BANCORP, INC / INDUS AMERICAN BANK
IBC BANCORP, INC.
IBC BANCORP, INC.
IBERIABANK CORPORATION
IBERIABANK CORPORATION
IBERIABANK CORPORATION
IBT BANCORP, INC.
City
WOODSVILLE
WOODSVILLE
BELZONI
BELZONI
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
DESTIN
DESTIN
STUART
STUART
HOSCHTON
HOSCHTON
NORFOLK
NORFOLK
BALTIMORE
HAVILAND
HAVILAND
LEE'S SUMMIT
LEE'S SUMMIT
LEE'S SUMMIT
LEE'S SUMMIT
LORIS
FRANKLIN
FRANKLIN
DUBUQUE
DUBUQUE
DUBUQUE
NORFOLK
NORFOLK
NORFOLK
SAN JOSE
SAN JOSE
SAN JOSE
OLYMPIA
OLYMPIA
OLYMPIA
PASO ROBLES
PASO ROBLES
PASO ROBLES
SIOUX FALLS
SIOUX FALLS
SIOUX FALLS
VERNON
VERNON
VERNON
SEBRING
SEBRING
SUMMIT
SUMMIT
ROCHESTER
ROCHESTER
ROCHESTER
ROCHESTER
CONWAY
CONWAY
CONWAY
ONEONTA
ONEONTA
CORBIN
CORBIN
CORBIN
CORBIN
CORBIN
ROANOKE
ROANOKE
ROANOKE
HOPKINSVILLE
HOPKINSVILLE
HOPKINSVILLE
MICHIGAN CITY
MICHIGAN CITY
MICHIGAN CITY
MICHIGAN CITY
ELLICOTT CITY
ELLICOTT CITY
CHICAGO
CHICAGO
CHICAGO
COLUMBUS
COLUMBUS
COLUMBUS
PHILADELPHIA
PHILADELPHIA
PHILADELPHIA
PHILADELPHIA
ISELIN
ISELIN
ISELIN
ISELIN
CHICAGO
CHICAGO
LAFAYETTE
LAFAYETTE
LAFAYETTE
IRVING
State
NH
NH
MS
MS
MO
MO
MO
MO
MO
MO
FL
FL
FL
FL
GA
GA
VA
VA
MD
KS
KS
MO
MO
MO
MO
SC
IN
IN
IA
IA
IA
VA
VA
VA
CA
CA
CA
WA
WA
WA
CA
CA
CA
SD
SD
SD
NJ
NJ
NJ
FL
FL
NJ
NJ
MN
MN
MN
MN
AR
AR
AR
AL
AL
KY
KY
KY
KY
KY
VA
VA
VA
KY
KY
KY
IN
IN
IN
IN
MD
MD
IL
IL
IL
OH
OH
OH
PA
PA
PA
PA
NJ
NJ
NJ
NJ
IL
IL
LA
LA
LA
TX
Date
20‐Feb‐09
15‐Sep‐11
25‐Sep‐09
30‐Jul‐10
30‐Jan‐09
13‐Jun‐12
26‐Apr‐13
29‐Apr‐13
15‐May‐13
31‐May‐13
25‐Sep‐09
19‐Oct‐12
26‐Jun‐09
18‐Aug‐11
20‐Feb‐09
13‐Apr‐11
31‐Dec‐08
14‐Apr‐14
17‐Jul‐09
13‐Mar‐09
29‐Dec‐10
19‐Dec‐08
9‐May‐12
15‐May‐13
12‐Jun‐13
6‐Mar‐09
11‐Sep‐09
17‐Jul‐12
19‐Dec‐08
15‐Sep‐11
28‐Sep‐11
25‐Sep‐09
16‐Mar‐11
11‐Aug‐11
21‐Nov‐08
7‐Mar‐12
10‐Jun‐13
21‐Nov‐08
22‐Dec‐10
17‐Aug‐11
20‐Mar‐09
17‐Jul‐13
7‐Aug‐13
21‐Nov‐08
3‐Jun‐09
30‐Jun‐09
8‐May‐09
22‐Dec‐09
22‐Sep‐11
6‐Mar‐09
24‐Oct‐14
30‐Jan‐09
21‐Apr‐10
23‐Dec‐08
7‐Feb‐13
8‐Feb‐13
26‐Mar‐13
16‐Jan‐09
6‐Jul‐11
27‐Jul‐11
20‐Feb‐09
28‐Aug‐13
13‐Feb‐09
28‐Nov‐12
30‐Nov‐12
11‐Jan‐13
26‐Mar‐13
18‐Sep‐09
31‐Oct‐12
11‐Jan‐13
12‐Dec‐08
19‐Dec‐12
16‐Jan‐13
19‐Dec‐08
10‐Nov‐10
25‐Aug‐11
23‐Nov‐11
27‐Feb‐09
22‐Sep‐11
1‐May‐09
13‐Nov‐09
11‐Dec‐12
14‐Nov‐08
22‐Dec‐10
19‐Jan‐11
6‐Feb‐09
20‐Dec‐12
11‐Jan‐13
26‐Mar‐13
18‐Sep‐09
14‐Mar‐14
17‐Mar‐14
25‐Apr‐14
15‐May‐09
10‐Sep‐10
5‐Dec‐08
31‐Mar‐09
20‐May‐09
27‐Mar‐09
Original Investment Type 1
Preferred Stock w/ Exercised Warrants
Original Investment
Amount
$6,920,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
$0.00
$8,235,040.33
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Redeemed, in full; warrants not outstanding
$6,920,000.00
$14,913,299.33
$21,887,871.44
$1.00
5,000
100
11,900
$1,000.00
$967.50
$967.50
346
459,459
Redeemed, in full; warrants not outstanding
$0.00
$346,000.00
$2,003,250.00
$0.00
$17,000,000.00
14,000,000
$5,000,000.00
$96,750.00
$11,513,250.00
$14,000,000.00
$1,000.00
$14,000,000.00
Subordinated Debentures
Preferred Stock w/ Warrants
6,920
Sold, in full; warrants not outstanding
($3,250.00)
($386,750.00)
($116,100.00)
Preferred Stock w/ Exercised Warrants
$7,500,000.00
$0.00
$757,380.08
Exited bankruptcy/receivership
Preferred Stock w/ Exercised Warrants
$7,500,000.00
$0.00
$8,751,541.63
Redeemed, in full; warrants not outstanding
($7,500,000.00)
$7,500,000.00
$0.00
$8,169,165.89
$5,790,608.79
$375,000.00
375
$25,000.00
$350,000.00
35
2,089,022
$1.57
$21,000.00
21
$540,000.00
$80,347,000.00
$0.00
280
$3,279,764.54
Preferred Stock w/ Warrants
$7,000,000.00
$1,000.00
$7,000,000.00
Preferred Stock w/ Exercised Warrants
7,500
287,134
Redeemed, in full; warrants not outstanding
Sold, in full; warrants outstanding
Preferred Stock
Preferred Stock w/ Exercised Warrants
$6,800,000.00
$425,000.00
$6,800,000.00
$0.00
$282,744.47
$487,524.22
Full investment outstanding; warrants not outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$30,255,000.00
$0.00
$36,849,504.67
($77,067,235.46)
Redeemed, in full; warrants not outstanding
$425,000.00
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$12,895,000.00
$7,000,000.00
$12,895,000.00
$0.00
$1,090,702.00
$8,321,471.08
$81,698,000.00
$0.00
$94,686,087.22
$1,000.00
12,000
18,255
$1,000.00
$1,000.00
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
425
$12,000,000.00
$18,255,000.00
Redeemed, in full; warrants not outstanding
$7,000,000.00
$10,103,000.00
$0.00
$11,353,284.46
$40,000,000.00
$0.00
$46,901,266.80
$1,000.00
248
609,687
$303,000.00
303
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$1,000.00
81,698
$248,000.00
$1,800,000.00
Preferred Stock w/ Exercised Warrants
7,000
$81,698,000.00
Redeemed, in full; warrants not outstanding
$2,606,000.00
$7,497,000.00
2,606
7,497
$1,000.00
$1,000.00
$40,000,000.00
40,000
$1,000.00
$24,000,000.00
24,000
$1,000.00
$140,000.00
302,419
$155,000.00
155
$200,000.00
200
$1,300,000.00
$26,953,333.33
611,650
$650,000.00
$0.00
138,037
$1,575,000.00
$24,000,000.00
462,963
$450,000.00
Preferred Stock w/ Warrants
158,472
$163,000.00
163
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$21,000,000.00
$0.00
$27,241,335.26
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$26,316,666.67
Redeemed, in full; warrants not outstanding
$21,000,000.00
$3,091,000.00
$2,359,000.00
$0.00
$6,211,926.79
Preferred Stock w/ Exercised Warrants
$6,700,000.00
$0.00
$6,165,312.00
$4,000,000.00
$0.00
$4,467,049.67
$26,000,000.00
$0.00
$21,034,187.78
$1,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
25,000
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,000.00
$25,000,000.00
Preferred Stock w/ Exercised Warrants
21,000
Redeemed, in full; warrants not outstanding
Sold, in full; warrants outstanding
$5,450,000.00
5,450
$1,000.00
$5,547,600.00
6,700
$828.00
$4,000,000.00
4,000
$1,000.00
$2,561,325.00
$16,197,675.00
3,550
22,450
$721.50
$721.50
$50,000,000.00
50,000
$1,000.00
$3,250,000.00
3,250
$1,000.00
$608,170.50
$1,183,339.50
645
1,255
$942.90
$942.90
($36,829.50)
($71,660.50)
$70,095.00
95
10,000
$918.50
($815,000.00)
$315,461.52
374
$18,400,000.00
18,400
$1,000.00
$256,257.00
253,666
$6,250,000.00
$18,750,000.00
6,250
18,750
$1,000.00
$1,000.00
$1,750,551.00
212,188
$5,983,000.00
5,983
$1,000.00
$299,000.00
299
$344,000.00
344
($1,152,400.00)
($988,675.00)
($6,252,325.00)
($187,590.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$50,000,000.00
$3,250,000.00
$1,900,000.00
$0.00
$0.00
$0.00
$57,480,555.56
$4,214,202.31
$2,229,801.03
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($17,915.11)
($7,084.89)
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$11,111,011.94
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$18,400,000.00
$0.00
$22,354,145.89
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$29,857,321.83
Redeemed, in full; warrants not outstanding
$9,185,000.00
($91,850.00)
Preferred Stock w/ Exercised Warrants
$5,983,000.00
$0.00
$7,119,793.05
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$5,000,000.00
$0.00
$10,940,554.65
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$1,398,071,000.00
$0.00
$1,594,356,808.56
Redeemed, in full; warrants not outstanding
$9,000,000.00
$0.00
$1,337,166.22
$1,000.00
23,562,994
1,552
$650.00
($543,200.00)
$25,700.00
78
2,770
3,206
$981.10
$981.10
($52,325.30)
($60,561.34)
$186,513.52
179
$1,200,000.00
$1,552,000.00
$1,000.00
1,398,071
$49,100,000.00
Preferred Stock w/ Exercised Warrants
9,000
$1,398,071,000.00
138,490
Sold, in full; warrants not outstanding
$1,008,800.00
($10,088.00)
($14,912.00)
Preferred Stock w/ Exercised Warrants
$5,976,000.00
$0.00
$6,907,223.22
Sold, in full; warrants not outstanding
$2,717,674.70
$3,145,438.66
($58,631.13)
Subordinated Debentures
$4,205,000.00
$0.00
$4,632,216.32
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$90,000,000.00
$0.00
$92,650,000.00
Redeemed, in full; warrants not outstanding
$4,205,000.00
Preferred Stock w/ Exercised Warrants
$2,295,000.00
$0.00
$2,936,462.50
4,205,000
$1.00
$90,000,000.00
90,000
$1,000.00
Redeemed, in full; warrants not outstanding
26
FootNote
11,8,10
44,8,14
8,108
8,14,18,44
8
11
29
8,22,92,97
11
22,52,97
115
11
15,71,97
11
44,8,14
11
8
8,14
8,11,14,18,36
11
12
8,14
11
11,8,14
9,48,97
45,8,14
45,8,14
8,17
11,9,36
8
11
8
11
8,9,17
11
Institution Name
IBT BANCORP, INC.
IBW FINANCIAL CORPORATION
IBW FINANCIAL CORPORATION
ICB FINANCIAL
ICB FINANCIAL
IDAHO BANCORP
IDAHO BANCORP
ILLINOIS STATE BANCORP, INC.
ILLINOIS STATE BANCORP, INC.
ILLINOIS STATE BANCORP, INC.
INDEPENDENCE BANK
INDEPENDENCE BANK
INDEPENDENT BANK CORP.
INDEPENDENT BANK CORP.
INDEPENDENT BANK CORP.
INDEPENDENT BANK CORPORATION
INDEPENDENT BANK CORPORATION
INDIANA BANK CORP.
INDIANA BANK CORP.
INDIANA COMMUNITY BANCORP
INDIANA COMMUNITY BANCORP
INTEGRA BANK CORPORATION
INTEGRA BANK CORPORATION
INTERMOUNTAIN COMMUNITY BANCORP
INTERMOUNTAIN COMMUNITY BANCORP
INTERMOUNTAIN COMMUNITY BANCORP
INTERNATIONAL BANCSHARES CORPORATION
INTERNATIONAL BANCSHARES CORPORATION
INTERNATIONAL BANCSHARES CORPORATION
INTERNATIONAL BANCSHARES CORPORATION
INTERNATIONAL BANCSHARES CORPORATION
INTERVEST BANCSHARES CORPORATION
INTERVEST BANCSHARES CORPORATION
INTERVEST BANCSHARES CORPORATION
INTERVEST BANCSHARES CORPORATION
INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY, INC.
INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY, INC.
JPMORGAN CHASE & CO.
JPMORGAN CHASE & CO.
JPMORGAN CHASE & CO.
KATAHDIN BANKSHARES CORP.
KATAHDIN BANKSHARES CORP.
KEYCORP
KEYCORP
KEYCORP
KIRKSVILLE BANCORP, INC.
KIRKSVILLE BANCORP, INC.
KS BANCORP, INC
KS BANCORP, INC
KS BANCORP, INC
LAFAYETTE BANCORP, INC.
LAFAYETTE BANCORP, INC.
LAFAYETTE BANCORP, INC.
LAKELAND BANCORP, INC.
LAKELAND BANCORP, INC.
LAKELAND BANCORP, INC.
LAKELAND BANCORP, INC.
LAKELAND BANCORP, INC.
LAKELAND FINANCIAL CORPORATION
LAKELAND FINANCIAL CORPORATION
LAKELAND FINANCIAL CORPORATION
LAYTON PARK FINANCIAL GROUP, INC.
LAYTON PARK FINANCIAL GROUP, INC.
LAYTON PARK FINANCIAL GROUP, INC.
LAYTON PARK FINANCIAL GROUP, INC.
LCNB CORP.
LCNB CORP.
LCNB CORP.
LEADER BANCORP, INC.
LEADER BANCORP, INC.
LEGACY BANCORP, INC.
LEGACY BANCORP, INC.
LIBERTY BANCSHARES, INC. (AR)
LIBERTY BANCSHARES, INC. (AR)
LIBERTY BANCSHARES, INC. (MO)
LIBERTY BANCSHARES, INC. (MO)
LIBERTY BANCSHARES, INC. (TX)
LIBERTY BANCSHARES, INC. (TX)
LIBERTY FINANCIAL SERVICES, INC.
LIBERTY FINANCIAL SERVICES, INC.
LIBERTY SHARES, INC.
LINCOLN NATIONAL CORPORATION
LINCOLN NATIONAL CORPORATION
LINCOLN NATIONAL CORPORATION
LNB BANCORP, INC.
LNB BANCORP, INC.
LNB BANCORP, INC.
LONE STAR BANK
LONE STAR BANK
LONE STAR BANK
LSB CORPORATION
LSB CORPORATION
LSB CORPORATION
M&F BANCORP, INC.
M&F BANCORP, INC.
M&T BANK CORPORATION
M&T BANK CORPORATION
M&T BANK CORPORATION
M&T BANK CORPORATION
City
IRVING
WASHINGTON
WASHINGTON
ONTARIO
ONTARIO
BOISE
BOISE
CHICAGO
CHICAGO
CHICAGO
EAST GREENWICH
EAST GREENWICH
ROCKLAND
ROCKLAND
ROCKLAND
IONIA
IONIA
DANA
DANA
COLUMBUS
COLUMBUS
EVANSVILLE
EVANSVILLE
SANDPOINT
SANDPOINT
SANDPOINT
LAREDO
LAREDO
LAREDO
LAREDO
LAREDO
NEW YORK
NEW YORK
NEW YORK
NEW YORK
SEDALIA
SEDALIA
NEW YORK
NEW YORK
NEW YORK
HOULTON
HOULTON
CLEVELAND
CLEVELAND
CLEVELAND
KIRKSVILLE
KIRKSVILLE
SMITHFIELD
SMITHFIELD
SMITHFIELD
OXFORD
OXFORD
OXFORD
OAK RIDGE
OAK RIDGE
OAK RIDGE
OAK RIDGE
OAK RIDGE
WARSAW
WARSAW
WARSAW
MILWAUKEE
MILWAUKEE
MILWAUKEE
MILWAUKEE
LEBANON
LEBANON
LEBANON
ARLINGTON
ARLINGTON
MILWAUKEE
MILWAUKEE
JONESBORO
JONESBORO
SPRINGFIELD
SPRINGFIELD
FORT WORTH
FORT WORTH
NEW ORLEANS
NEW ORLEANS
HINESVILLE
RADNOR
RADNOR
RADNOR
LORAIN
LORAIN
LORAIN
HOUSTON
HOUSTON
HOUSTON
NORTH ANDOVER
NORTH ANDOVER
NORTH ANDOVER
DURHAM
DURHAM
BUFFALO
BUFFALO
BUFFALO
BUFFALO
State
TX
DC
DC
CA
CA
ID
ID
IL
IL
IL
RI
RI
MA
MA
MA
MI
MI
IN
IN
IN
IN
IN
IN
ID
ID
ID
TX
TX
TX
TX
TX
NY
NY
NY
NY
MO
MO
NY
NY
NY
ME
ME
OH
OH
OH
MO
MO
NC
NC
NC
MS
MS
MS
NJ
NJ
NJ
NJ
NJ
IN
IN
IN
WI
WI
WI
WI
OH
OH
OH
MA
MA
WI
WI
AR
AR
MO
MO
TX
TX
LA
LA
GA
PA
PA
PA
OH
OH
OH
TX
TX
TX
MA
MA
MA
NC
NC
NY
NY
NY
NY
Date
12‐Jun‐13
13‐Mar‐09
3‐Sep‐10
6‐Mar‐09
1‐Nov‐12
16‐Jan‐09
24‐Apr‐14
22‐May‐09
29‐Dec‐09
22‐Sep‐11
9‐Jan‐09
16‐Oct‐13
9‐Jan‐09
22‐Apr‐09
27‐May‐09
12‐Dec‐08
30‐Aug‐13
24‐Apr‐09
9‐Apr‐13
12‐Dec‐08
12‐Sep‐12
27‐Feb‐09
29‐Jul‐11
19‐Dec‐08
20‐Nov‐13
31‐Oct‐14
23‐Dec‐08
11‐Jul‐12
1‐Nov‐12
28‐Nov‐12
11‐Jun‐13
23‐Dec‐08
24‐Jun‐13
26‐Jul‐13
3‐Sep‐14
8‐May‐09
19‐Oct‐12
28‐Oct‐08
17‐Jun‐09
16‐Dec‐09
30‐Jan‐09
18‐Aug‐11
14‐Nov‐08
30‐Mar‐11
20‐Apr‐11
20‐Mar‐09
19‐Mar‐14
21‐Aug‐09
30‐Nov‐12
11‐Jan‐13
20‐Feb‐09
29‐Dec‐09
29‐Sep‐10
6‐Feb‐09
4‐Aug‐10
16‐Mar‐11
8‐Feb‐12
29‐Feb‐12
27‐Feb‐09
9‐Jun‐10
22‐Nov‐11
18‐Dec‐09
29‐Nov‐12
11‐Jan‐13
26‐Mar‐13
9‐Jan‐09
21‐Oct‐09
22‐Nov‐11
23‐Dec‐08
24‐Nov‐10
30‐Jan‐09
11‐Mar‐11
23‐Jan‐09
21‐Jul‐11
13‐Feb‐09
18‐Aug‐11
4‐Dec‐09
14‐Jan‐15
6‐Feb‐09
24‐Sep‐10
20‐Feb‐09
10‐Jul‐09
30‐Jun‐10
22‐Sep‐10
12‐Dec‐08
19‐Jun‐12
18‐Jul‐12
6‐Feb‐09
3‐Dec‐14
4‐Dec‐14
12‐Dec‐08
18‐Nov‐09
16‐Dec‐09
26‐Jun‐09
20‐Aug‐10
23‐Dec‐08
18‐May‐11
21‐Aug‐12
17‐Dec‐12
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
Avg. Price
$2,295,000.00
$0.00
$6,453,067.00
6,000
6,000
Gain5
Warrant Proceeds
Amount
$1,000.00
$6,000,000.00
$6,000,000.00
(Realized Loss) /
(Write‐off)
$1,000.00
$6,000,000.00
Preferred Stock w/ Warrants
2,295
$115,000.00
$1,000.00
115
$300,000.00
300
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$0.00
$7,494,458.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,900,000.00
$0.00
$124,305.92
Currently not collectible
($6,900,000.00)
Preferred Stock w/ Exercised Warrants
$6,272,000.00
$4,000,000.00
$0.00
$11,836,113.40
Redeemed, in full; warrants not outstanding
$10,272,000.00
$406,000.00
406
$53,000.00
53
78,158
$1,000.00
481,664
72,000
$1,000.00
$21,500,000.00
21,500
$1,000.00
$1,800,000.00
188,707
$10,635.00
65,323
$4,018,511.00
1,326,238
$2,892,066.00
691,882
$936,063,469.11
88,401,697
$522,000.00
522
$70,000,000.00
35,244,361
Redeemed, in full; warrants not outstanding
$81,476,093.61
$1,000.00
$2,200,000.00
$1,394,723.17
$0.00
$1,000.00
$72,000,000.00
$0.00
$78,158,000.00
1,065
$78,158,000.00
$1,065,000.00
Preferred Stock w/ Warrants
10,272
$1,065,000.00
Preferred Stock w/ Exercised Warrants
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$72,000,000.00
$0.00
$83,430,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,312,000.00
$0.00
$165,139.00
Currently not collectible
Preferred Stock w/ Warrants
$21,500,000.00
$0.00
$27,331,250.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$83,586,000.00
$0.00
$1,950,340.00
Currently not collectible
$2,426,000.00
($1,312,000.00)
($83,586,000.00)
Preferred Stock w/ Warrants
$27,000,000.00
$0.00
$33,955,519.23
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$216,000,000.00
$0.00
$261,538,649.89
Redeemed, in full; warrants not outstanding
$27,000,000.00
$0.00
$32,927,621.56
40,000
45,000
131,000
$1,000.00
$1,000.00
$1,000.00
$24,250,000.00
$25,000,000.00
$1,000.00
$40,000,000.00
$45,000,000.00
$131,000,000.00
Preferred Stock w/ Warrants
27,000
25,000
$970.00
Sold, in full; warrants not outstanding
($750,000.00)
($242,500.00)
Subordinated Debentures w/ Exercised Warrants
$4,000,000.00
$0.00
$174,324.60
Currently not collectible
($4,000,000.00)
Preferred Stock w/ Warrants
$25,000,000,000.00
$0.00
$26,731,202,358.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,449,000.00
$0.00
$12,423,046.75
Redeemed, in full; warrants not outstanding
$25,000,000,000.00
25,000
$100,000.00
470
$1,000.00
$3,308,000.00
4,000
$827.00
$4,451,000.00
4,451
$1,000.00
$20,000,000.00
$20,000,000.00
$19,000,000.00
20,000
20,000
19,000
$1,000.00
$1,000.00
$1,000.00
$56,044,000.00
$2,867,222,222.22
$1,000.00
$470,000.00
$0.00
10,449
$2,500,000,000.00
$2,500,000,000.00
$10,000.00
$10,449,000.00
Preferred Stock w/ Warrants
2,500,000
56,044
$1,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$470,000.00
$0.00
$622,228.44
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$4,137,336.64
Sold, in full; warrants not outstanding
$24,000.00
24
$140,400.00
200
$100,000.00
($692,000.00)
100
($25,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$1,998,000.00
$2,453,000.00
$59,000,000.00
$0.00
$0.00
$4,818,134.50
$68,260,833.33
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$2,800,000.00
$0.00
$60,517,713.33
198,269
$104,375.00
150
$602,557.00
$56,044,000.00
997,050
$877,557.00
Preferred Stock w/ Warrants
217,063
$292,000.00
292
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,000,000.00
$0.00
$2,932,162.50
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$13,400,000.00
$0.00
$14,527,390.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,830,000.00
$0.00
$6,731,961.06
Redeemed, in full; warrants not outstanding
$2,370,930.00
3,000
$790.30
($629,070.00)
($23,709.29)
($1,290.71)
$13,400,000.00
Preferred Stock
$5,498,000.00
$0.00
$355,079.00
13,400
$1,000.00
$5,830,000.00
5,830
$1,000.00
Currently not collectible
($5,498,000.00)
Preferred Stock w/ Exercised Warrants
$57,500,000.00
$0.00
$68,191,965.77
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$21,900,000.00
$0.00
$25,995,452.08
Redeemed, in full; warrants not outstanding
$57,500,000.00
$8,447,271.11
$6,106,008.58
1,095
$196,000.00
196
13,049,451
561,343
$92,401.54
154
209,497
$31,838,761.34
1,218,522
Redeemed, in full; warrants not outstanding
$0.00
2,875
$1,095,000.00
$560,000.00
$0.00
$5,645,000.00
$2,875,000.00
$1,000.00
$860,326.00
$6,500,000.00
Preferred Stock
$1,000.00
21,900
$213,671,319.20
Preferred Stock w/ Exercised Warrants
57,500
$21,900,000.00
Redeemed, in full; warrants not outstanding
$6,500,000.00
$17,280,000.00
$0.00
$1,399,560.00
$1,209,851,873.70
$25,223,000.00
$0.00
$26,893,046.60
950,000
$1,000.00
($328,846.12) 25,223
$869.20
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$1,000.00
$21,923,074.91
$17,280,000.00
$950,000,000.00
$1,000.00
5,645
$950,000,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
6,500
$5,645,000.00
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,072,000.00
$0.00
$2,000,881.54
Sold, in full; warrants not outstanding
$1,195,906.25
$712,573.75
$0.00
$16,260,000.00
$621.20
$621.20
15,000
$1,000.00
$11,735,000.00
$15,000,000.00
1,925
1,147
$15,000,000.00
Preferred Stock w/ Warrants
($3,299,925.09)
11,735
$1,000.00
$370,000,000.00
$230,000,000.00
370,000
230,000
($729,093.75)
($434,426.25)
$1,000.00
$1,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock
$11,735,000.00
$0.00
$12,409,762.50
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$600,000,000.00
$0.00
$718,392,161.34
Redeemed, in full; warrants not outstanding
27
FootNote
8
44,11,8
8,14
11
15,14
8
8
15,14
8,14
43
8
11
8,45,14
8,14,18,44
11
44,8,14
56,8,14
8,44,14
8,18
8,14
8,42
8,18
11
12
11,8,14
44
8
22,27,97
11,8,14
11
11,8,14
Institution Name
MACKINAC FINANCIAL CORPORATION
MACKINAC FINANCIAL CORPORATION
MACKINAC FINANCIAL CORPORATION
MADISON FINANCIAL CORPORATION
MADISON FINANCIAL CORPORATION
MADISON FINANCIAL CORPORATION
MAGNA BANK
MAGNA BANK
MAGNA BANK
MAGNA BANK
MAINLINE BANCORP, INC.
MAINLINE BANCORP, INC.
MAINSOURCE FINANCIAL GROUP, INC.
MAINSOURCE FINANCIAL GROUP, INC.
MAINSOURCE FINANCIAL GROUP, INC.
MANHATTAN BANCORP
MANHATTAN BANCORP
MANHATTAN BANCORP
MANHATTAN BANCSHARES, INC.
MANHATTAN BANCSHARES, INC.
MANHATTAN BANCSHARES, INC.
MANHATTAN BANCSHARES, INC.
MARINE BANK & TRUST COMPANY
MARINE BANK & TRUST COMPANY
MARINE BANK & TRUST COMPANY
MARINE BANK & TRUST COMPANY
MARINE BANK & TRUST COMPANY
MARKET BANCORPORATION, INC.
MARKET BANCORPORATION, INC.
MARKET BANCORPORATION, INC.
MARKET STREET BANCSHARES, INC.
MARKET STREET BANCSHARES, INC.
MARKET STREET BANCSHARES, INC.
MARKET STREET BANCSHARES, INC.
MARQUETTE NATIONAL CORPORATION
MARQUETTE NATIONAL CORPORATION
MARQUETTE NATIONAL CORPORATION
MARQUETTE NATIONAL CORPORATION
MARQUETTE NATIONAL CORPORATION
MARSHALL & ILSLEY CORPORATION
MARSHALL & ILSLEY CORPORATION
MARYLAND FINANCIAL BANK
MARYLAND FINANCIAL BANK
MARYLAND FINANCIAL BANK
MB FINANCIAL INC.
MB FINANCIAL INC.
MB FINANCIAL INC.
MCLEOD BANCSHARES, INC.
MCLEOD BANCSHARES, INC.
MEDALLION BANK
MEDALLION BANK
MEDALLION BANK
MERCANTILE BANK CORPORATION
MERCANTILE BANK CORPORATION
MERCANTILE BANK CORPORATION
MERCANTILE BANK CORPORATION
MERCANTILE CAPITAL CORPORATION
MERCANTILE CAPITAL CORPORATION
MERCHANTS & PLANTERS BANCSHARES, INC.
MERCHANTS & PLANTERS BANCSHARES, INC.
MERCHANTS AND MANUFACTURERS BANK CORPORATION
MERCHANTS AND MANUFACTURERS BANK CORPORATION
MERIDIAN BANK
MERIDIAN BANK
MERIDIAN BANK
MERIDIAN BANK
METRO CITY BANK
METRO CITY BANK
METRO CITY BANK
METRO CITY BANK
METROCORP BANCSHARES, INC.
METROCORP BANCSHARES, INC.
METROCORP BANCSHARES, INC.
METROPOLITAN BANK GROUP, INC.
METROPOLITAN BANK GROUP, INC.
METROPOLITAN CAPITAL BANCORP, INC.
METROPOLITAN CAPITAL BANCORP, INC.
MID PENN BANCORP, INC./MID PENN BANK
MID PENN BANCORP, INC./MID PENN BANK
MID PENN BANCORP, INC./MID PENN BANK
MIDDLEBURG FINANCIAL CORPORATION
MIDDLEBURG FINANCIAL CORPORATION
MIDDLEBURG FINANCIAL CORPORATION
MIDLAND STATES BANCORP, INC.
MIDLAND STATES BANCORP, INC.
MIDSOUTH BANCORP, INC.
MIDSOUTH BANCORP, INC.
MIDSOUTH BANCORP, INC.
MIDTOWN BANK & TRUST COMPANY
MIDTOWN BANK & TRUST COMPANY
MIDTOWN BANK & TRUST COMPANY
MIDWEST BANC HOLDINGS, INC.
MIDWEST BANC HOLDINGS, INC.
MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE
MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE
MIDWESTONE FINANCIAL GROUP, INC.
MIDWESTONE FINANCIAL GROUP, INC.
MIDWESTONE FINANCIAL GROUP, INC.
MID‐WISCONSIN FINANCIAL SERVICES, INC.
City
MANISTIQUE
MANISTIQUE
MANISTIQUE
RICHMOND
RICHMOND
RICHMOND
MEMPHIS
MEMPHIS
MEMPHIS
MEMPHIS
EBENSBURG
EBENSBURG
GREENSBURG
GREENSBURG
GREENSBURG
EL SEGUNDO
EL SEGUNDO
EL SEGUNDO
MANHATTAN
MANHATTAN
MANHATTAN
MANHATTAN
VERO BEACH
VERO BEACH
VERO BEACH
VERO BEACH
VERO BEACH
NEW MARKET
NEW MARKET
NEW MARKET
MT. VERNON
MT. VERNON
MT. VERNON
MT. VERNON
CHICAGO
CHICAGO
CHICAGO
CHICAGO
CHICAGO
MILWAUKEE
MILWAUKEE
TOWSON
TOWSON
TOWSON
CHICAGO
CHICAGO
CHICAGO
SHOREWOOD
SHOREWOOD
SALT LAKE CITY
SALT LAKE CITY
SALT LAKE CITY
GRAND RAPIDS
GRAND RAPIDS
GRAND RAPIDS
GRAND RAPIDS
BOSTON
BOSTON
TOONE
TOONE
JOLIET
JOLIET
DEVON
DEVON
DEVON
DEVON
DORAVILLE
DORAVILLE
DORAVILLE
DORAVILLE
HOUSTON
HOUSTON
HOUSTON
CHICAGO
CHICAGO
CHICAGO
CHICAGO
MILLERSBURG
MILLERSBURG
MILLERSBURG
MIDDLEBURG
MIDDLEBURG
MIDDLEBURG
EFFINGHAM
EFFINGHAM
LAFAYETTE
LAFAYETTE
LAFAYETTE
ATLANTA
ATLANTA
ATLANTA
MELROSE PARK
MELROSE PARK
FESTUS
FESTUS
IOWA CITY
IOWA CITY
IOWA CITY
MEDFORD
State
MI
MI
MI
KY
KY
KY
TN
TN
TN
TN
PA
PA
IN
IN
IN
CA
CA
CA
IL
IL
IL
IL
FL
FL
FL
FL
FL
MN
MN
MN
IL
IL
IL
IL
IL
IL
IL
IL
IL
WI
WI
MD
MD
MD
IL
IL
IL
MN
MN
UT
UT
UT
MI
MI
MI
MI
MA
MA
TN
TN
IL
IL
PA
PA
PA
PA
GA
GA
GA
GA
TX
TX
TX
IL
IL
IL
IL
PA
PA
PA
VA
VA
VA
IL
IL
LA
LA
LA
GA
GA
GA
IL
IL
MO
MO
IA
IA
IA
WI
Date
24‐Apr‐09
29‐Aug‐12
19‐Dec‐12
13‐Mar‐09
19‐Nov‐13
6‐Jan‐14
23‐Dec‐08
24‐Nov‐09
8‐Jun‐11
18‐Aug‐11
29‐Dec‐09
9‐Mar‐12
16‐Jan‐09
3‐Apr‐12
11‐Jun‐13
5‐Dec‐08
16‐Sep‐09
14‐Oct‐09
19‐Jun‐09
10‐Dec‐12
11‐Dec‐12
11‐Jan‐13
6‐Mar‐09
1‐Jul‐14
2‐Jul‐14
3‐Jul‐14
26‐Sep‐14
20‐Feb‐09
2‐Jul‐14
26‐Sep‐14
15‐May‐09
9‐Aug‐12
10‐Aug‐12
11‐Sep‐12
19‐Dec‐08
7‐Aug‐12
9‐Aug‐12
10‐Aug‐12
11‐Sep‐12
14‐Nov‐08
5‐Jul‐11
27‐Mar‐09
2‐Jul‐14
26‐Sep‐14
5‐Dec‐08
14‐Mar‐12
2‐May‐12
20‐Nov‐09
18‐Aug‐11
27‐Feb‐09
22‐Dec‐09
21‐Jul‐11
15‐May‐09
4‐Apr‐12
6‐Jun‐12
3‐Jul‐12
6‐Feb‐09
4‐Aug‐11
6‐Mar‐09
7‐Sep‐11
19‐Jun‐09
8‐Sep‐11
13‐Feb‐09
11‐Dec‐09
17‐Mar‐14
25‐Apr‐14
30‐Jan‐09
29‐Oct‐12
1‐Nov‐12
11‐Jan‐13
16‐Jan‐09
3‐Jul‐12
11‐Jun‐13
26‐Jun‐09
28‐Jun‐13
10‐Apr‐09
20‐Nov‐09
19‐Dec‐08
28‐Dec‐12
23‐Jan‐13
30‐Jan‐09
23‐Dec‐09
18‐Nov‐11
23‐Jan‐09
23‐Dec‐09
9‐Jan‐09
25‐Aug‐11
22‐Nov‐11
27‐Feb‐09
19‐Nov‐13
6‐Jan‐14
5‐Dec‐08
14‐May‐10
13‐Feb‐09
10‐Nov‐09
6‐Feb‐09
6‐Jul‐11
27‐Jul‐11
20‐Feb‐09
Original Investment Type 1
Preferred Stock w/ Warrants
Original Investment
Amount
$11,000,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
$0.00
$13,521,828.15
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Sold, in full; warrants not outstanding
$10,538,990.00
($158,084.85) 11,000
$958.10
$3,370,000.00
3,370
$1,022.60
$3,455,000.00
$3,455,000.00
$6,885,000.00
3,455
3,455
6,885
$4,500,000.00
($461,010.00)
$1,300,000.00
$1,000.00
$1,000.00
$1,000.00
$690,000.00
690
4,500
$1,000.00
$225,000.00
225
($796,099.05) 57,000
$931.10
571,906
1,700
$1,000.00
$63,363.90
$3,773,495.65
169
$1,512,177.00
$0.00
398,734
$1,700,000.00
$3,370,000.00
$182,878.45
$53,073,270.00
Preferred Stock w/ Exercised Warrants
29,480
14,000
118,000
Sold, in full; warrants not outstanding
$76,195.70
($25,000.00)
Preferred Stock w/ Exercised Warrants
$13,795,000.00
$0.00
$16,146,467.87
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,500,000.00
$0.00
$5,263,187.50
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$57,000,000.00
$0.00
$62,949,121.28
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
Subordinated Debentures w/ Exercised Warrants
$1,700,000.00
$2,639,000.00
$0.00
$0.00
$1,829,711.12
$3,438,793.11
($3,926,730.00)
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
2,639,000
$0.98
($52,595.27)
$11,385.02
$95,959.50
2,246
722
32
$670.00
$670.00
$670.00
($741,180.00)
($238,260.00)
($10,560.00)
$55,870.00
$19,126.67
$503.33
111
38
1
2,060
$1,210.00
$108,471.52
103
19,931,000
369,000
$0.90
$0.90
($2,011,037.90)
($37,232.10)
$727,225.54
$97,505.10
895,000
120,000
3,514
8,198
23,788
$720.20
$720.20
$720.20
($983,041.50)
($2,293,390.50)
($6,654,693.00)
$142,974.56
$1,054,743.77
$252,452.23
175
1,291
309
1,715,000
$1,000.00
$3,250,000.00
13,815,789
1,700
$310.00
$1,775.00
85
$196,000,000.00
196,000
$1,000.00
$1,518,072.00
506,024
$6,000,000.00
600
$10,000.00
$300,000.00
30
$21,498,000.00
21,498
$1,000.00
$645,000.00
645
$10,500,000.00
$10,500,000.00
10,500
10,500
$1,000.00
$1,000.00
$7,465,100.00
616,438
$3,500,000.00
3,500
$1,000.00
$175,000.00
175
$1,881,000.00
1,881
$1,000.00
$94,000.00
94
$3,510,000.00
3,510
$1,000.00
$176,000.00
176
12,535
$824.15
($2,206,847.65)
$262,399.50
310
29
7,671
$900.10
$900.10
($2,897.10)
($766,332.90)
$369,948.00
385
$2,087,368.00
771,429
$2,586,404.73
($25,000.00)
Preferred Stock w/ Exercised Warrants
$3,000,000.00
$0.00
$2,296,213.00
Sold, in full; warrants not outstanding
$1,504,820.00
$483,740.00
$21,440.00
($25,000.00)
Preferred Stock w/ Exercised Warrants
$2,060,000.00
$0.00
$2,714,911.32
Sold, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$20,300,000.00
$0.00
$24,429,245.84
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$35,500,000.00
$0.00
$33,835,943.42
Sold, in full; warrants not outstanding
$2,060,000.00
$432,661.80
($25,000.00)
$17,919,962.10
$331,767.90
($182,517.30)
$2,530,958.50
$5,904,609.50
$17,133,307.00
($255,688.75)
Preferred Stock w/ Warrants
$1,715,000,000.00
$0.00
$1,944,772,916.66
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,700,000.00
$0.00
$817,240.50
Sold, in full; warrants not outstanding
$1,715,000,000.00
$527,000.00
($1,173,000.00)
($25,000.00)
Preferred Stock w/ Warrants
$196,000,000.00
$0.00
$229,613,072.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$0.00
$6,870,433.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$11,800,000.00
$9,698,000.00
$0.00
$24,460,674.81
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$21,000,000.00
$0.00
$31,631,120.56
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,500,000.00
$0.00
$4,150,815.03
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,881,000.00
$0.00
$2,231,560.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,510,000.00
$0.00
$4,110,668.47
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,200,000.00
$6,335,000.00
$0.00
$13,582,165.84
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$7,700,000.00
$0.00
$8,806,297.80
Sold, in full; warrants not outstanding
$10,328,152.35
($103,281.52)
$26,102.90
$6,904,667.10
($69,307.70)
Preferred Stock w/ Warrants
$45,000,000.00
$0.00
$53,406,628.25
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$71,526,000.00
$0.00
$27,172,726.72
Sold, in full; warrants not outstanding
$44,152,650.00
$1,248,469.44
$12,070,979.20
$22,000,000.00
$0.00
$23,287,945.11
10,000
$1,000.00
22,000
$1,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
($47,807,458.05)
Full investment outstanding; warrants outstanding
$0.00
($847,350.00)
$331.60
$22,000,000.00
Preferred Stock w/ Warrants
$981.20
71,526
$10,000,000.00
$2,040,000.00
$2,348,000.00
$10,000,000.00
$4,388,000.00
Preferred Stock w/ Warrants
($662,289.75) 45,000
$23,718,541.95
Redeemed, in full; warrants not outstanding
$58,479.20
Preferred Stock w/ Exercised Warrants
$10,189,000.00
$0.00
$11,206,989.34
$20,000,000.00
$0.00
$22,834,334.78
104,101
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
73,099
$301,001.00
Redeemed, in full; warrants not outstanding
$10,189,000.00
$0.00
$3,520,137.55
$0.00
$824,288.89
$700,000.00
$0.00
$763,294.14
$16,000,000.00
$0.00
$18,933,333.33
261
$35,000.00
35
198,675
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$136,833.05
Exited bankruptcy/receivership
Preferred Stock w/ Exercised Warrants
$1,000.00
Sold, in full; warrants not outstanding
$84,784,000.00
509
104,384
$1,000,000.00
$5,222,000.00
Preferred Stock w/ Warrants
$1,000.00
20,000
$509,000.00
$206,557.00
Preferred Stock w/ Exercised Warrants
10,189
$20,000,000.00
Redeemed, in full; warrants not outstanding
$3,133,200.00
5,222
$600.00
$700,000.00
700
$1,000.00
$16,000,000.00
16,000
($2,088,800.00)
$1,000.00
($25,000.00)
($84,784,000.00)
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$12,844,226.31
Redeemed, in full; warrants not outstanding
28
FootNote
8
11,9
11,9,36
11,8,14
98
12,16
45,8,14
44,8,14
11
11,8,14
11,8,14
8,14
11,8,14
45
8
59,11
8,14
11,16
15,11,14
8,42
8,119
15,11,14
44
11,8,14
44,8,14
11
11
8,11,14,18
109
11
44,8,14
8,14
11,8,14
45
12,16
8
Institution Name
MID‐WISCONSIN FINANCIAL SERVICES, INC.
MILLENNIUM BANCORP, INC.
MILLENNIUM BANCORP, INC.
MISSION COMMUNITY BANCORP
MISSION COMMUNITY BANCORP
MISSION VALLEY BANCORP
MISSION VALLEY BANCORP
MONADNOCK BANCORP, INC.
MONADNOCK BANCORP, INC.
MONARCH COMMUNITY BANCORP, INC.
MONARCH COMMUNITY BANCORP, INC.
MONARCH FINANCIAL HOLDINGS, INC.
MONARCH FINANCIAL HOLDINGS, INC.
MONARCH FINANCIAL HOLDINGS, INC.
MONEYTREE CORPORATION
MONEYTREE CORPORATION
MONUMENT BANK
MONUMENT BANK
MORGAN STANLEY
MORGAN STANLEY
MORGAN STANLEY
MORRILL BANCSHARES, INC.
MORRILL BANCSHARES, INC.
MOSCOW BANCSHARES, INC.
MOSCOW BANCSHARES, INC.
MOSCOW BANCSHARES, INC.
MOUNTAIN VALLEY BANCSHARES, INC.
MOUNTAIN VALLEY BANCSHARES, INC.
MOUNTAIN VALLEY BANCSHARES, INC.
MS FINANCIAL, INC.
MS FINANCIAL, INC.
MUTUALFIRST FINANCIAL, INC.
MUTUALFIRST FINANCIAL, INC.
MUTUALFIRST FINANCIAL, INC.
NAPLES BANCORP, INC.
NAPLES BANCORP, INC.
NARA BANCORP, INC. / BBCN BANCORP, INC.
NARA BANCORP, INC. / BBCN BANCORP, INC.
NARA BANCORP, INC. / BBCN BANCORP, INC.
NATIONAL BANCSHARES, INC.
NATIONAL BANCSHARES, INC.
NATIONAL BANCSHARES, INC.
NATIONAL BANCSHARES, INC.
NATIONAL PENN BANCSHARES, INC.
NATIONAL PENN BANCSHARES, INC.
NATIONAL PENN BANCSHARES, INC.
NATIONWIDE BANKSHARES, INC.
NATIONWIDE BANKSHARES, INC.
NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC.
NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC.
NCAL BANCORP
NCAL BANCORP
NEMO BANCSHARES, INC.
NEMO BANCSHARES, INC.
NEW HAMPSHIRE THRIFT BANCSHARES, INC.
NEW HAMPSHIRE THRIFT BANCSHARES, INC.
NEW HAMPSHIRE THRIFT BANCSHARES, INC.
NEW YORK PRIVATE BANK & TRUST CORPORATION
NEW YORK PRIVATE BANK & TRUST CORPORATION
NEWBRIDGE BANCORP
NEWBRIDGE BANCORP
NEWBRIDGE BANCORP
NEWBRIDGE BANCORP
NEWBRIDGE BANCORP
NICOLET BANKSHARES, INC.
NICOLET BANKSHARES, INC.
NORTH CENTRAL BANCSHARES, INC.
NORTH CENTRAL BANCSHARES, INC.
NORTH CENTRAL BANCSHARES, INC.
NORTHEAST BANCORP
NORTHEAST BANCORP
NORTHEAST BANCORP
NORTHERN STATE BANK / FIRST COMMERCE BANK
NORTHERN STATE BANK / FIRST COMMERCE BANK
NORTHERN STATE BANK / FIRST COMMERCE BANK
NORTHERN STATES FINANCIAL CORPORATION
NORTHERN STATES FINANCIAL CORPORATION
NORTHERN TRUST CORPORATION
NORTHERN TRUST CORPORATION
NORTHERN TRUST CORPORATION
NORTHWAY FINANCIAL, INC.
NORTHWAY FINANCIAL, INC.
NORTHWEST BANCORPORATION, INC.
NORTHWEST BANCORPORATION, INC.
NORTHWEST BANCORPORATION, INC.
NORTHWEST BANCORPORATION, INC.
NORTHWEST COMMERCIAL BANK
NORTHWEST COMMERCIAL BANK
OAK RIDGE FINANCIAL SERVICES, INC.
OAK RIDGE FINANCIAL SERVICES, INC.
OAK RIDGE FINANCIAL SERVICES, INC.
OAK RIDGE FINANCIAL SERVICES, INC.
OAK VALLEY BANCORP
OAK VALLEY BANCORP
OAK VALLEY BANCORP
OCEANFIRST FINANCIAL CORP.
OCEANFIRST FINANCIAL CORP.
OCEANFIRST FINANCIAL CORP.
OJAI COMMUNITY BANK
City
MEDFORD
EDWARDS
EDWARDS
SAN LUIS OBISPO
SAN LUIS OBISPO
SUN VALLEY
SUN VALLEY
PETERBOROUGH
PETERBOROUGH
COLDWATER
COLDWATER
CHESAPEAKE
CHESAPEAKE
CHESAPEAKE
LENOIR CITY
LENOIR CITY
BETHESDA
BETHESDA
NEW YORK
NEW YORK
NEW YORK
MERRIAM
MERRIAM
MOSCOW
MOSCOW
MOSCOW
CLEVELAND
CLEVELAND
CLEVELAND
KINGWOOD
KINGWOOD
MUNCIE
MUNCIE
MUNCIE
NAPLES
NAPLES
LOS ANGELES
LOS ANGELES
LOS ANGELES
BETTENDORF
BETTENDORF
BETTENDORF
BETTENDORF
BOYERTOWN
BOYERTOWN
BOYERTOWN
WEST POINT
WEST POINT
CHICAGO
CHICAGO
LOS ANGELES
LOS ANGELES
MADISON
MADISON
NEWPORT
NEWPORT
NEWPORT
NEW YORK
NEW YORK
GREENSBORO
GREENSBORO
GREENSBORO
GREENSBORO
GREENSBORO
GREEN BAY
GREEN BAY
FORT DODGE
FORT DODGE
FORT DODGE
LEWISTON
LEWISTON
LEWISTON
CLOSTER
CLOSTER
CLOSTER
WAUKEGAN
WAUKEGAN
CHICAGO
CHICAGO
CHICAGO
BERLIN
BERLIN
SPOKANE
SPOKANE
SPOKANE
SPOKANE
LAKEWOOD
LAKEWOOD
OAK RIDGE
OAK RIDGE
OAK RIDGE
OAK RIDGE
OAKDALE
OAKDALE
OAKDALE
TOMS RIVER
TOMS RIVER
TOMS RIVER
OJAI
State
WI
CO
CO
CA
CA
CA
CA
NH
NH
MI
MI
VA
VA
VA
TN
TN
MD
MD
NY
NY
NY
KS
KS
TN
TN
TN
GA
GA
GA
TX
TX
IN
IN
IN
FL
FL
CA
CA
CA
IA
IA
IA
IA
PA
PA
PA
NE
NE
IL
IL
CA
CA
MO
MO
NH
NH
NH
NY
NY
NC
NC
NC
NC
NC
WI
WI
IA
IA
IA
ME
ME
ME
NJ
NJ
NJ
IL
IL
IL
IL
IL
NH
NH
WA
WA
WA
WA
WA
WA
NC
NC
NC
NC
CA
CA
CA
NJ
NJ
NJ
CA
Date
26‐Apr‐13
3‐Apr‐09
14‐Aug‐12
9‐Jan‐09
28‐Dec‐11
23‐Dec‐08
20‐Aug‐10
19‐Dec‐08
28‐Dec‐12
6‐Feb‐09
15‐Nov‐13
19‐Dec‐08
23‐Dec‐09
10‐Feb‐10
13‐Mar‐09
15‐Sep‐11
30‐Jan‐09
11‐Aug‐11
28‐Oct‐08
17‐Jun‐09
12‐Aug‐09
16‐Jan‐09
20‐Jul‐11
23‐Jan‐09
25‐Apr‐12
5‐Dec‐12
25‐Sep‐09
22‐Jul‐13
12‐Sep‐13
27‐Mar‐09
19‐Oct‐11
23‐Dec‐08
25‐Aug‐11
28‐Sep‐11
27‐Mar‐09
12‐Jul‐12
21‐Nov‐08
27‐Jun‐12
8‐Aug‐12
27‐Feb‐09
19‐Feb‐13
20‐Feb‐13
26‐Mar‐13
12‐Dec‐08
16‐Mar‐11
13‐Apr‐11
11‐Dec‐09
29‐Dec‐10
26‐Jun‐09
28‐Jun‐13
19‐Dec‐08
10‐Dec‐14
19‐Jun‐09
24‐Apr‐13
16‐Jan‐09
25‐Aug‐11
15‐Feb‐12
9‐Jan‐09
24‐Jul‐13
12‐Dec‐08
26‐Apr‐13
29‐Apr‐13
15‐May‐13
31‐May‐13
23‐Dec‐08
1‐Sep‐11
9‐Jan‐09
14‐Dec‐11
11‐Jan‐12
12‐Dec‐08
28‐Nov‐12
28‐Dec‐12
15‐May‐09
18‐Dec‐09
28‐Mar‐12
20‐Feb‐09
30‐Apr‐14
14‐Nov‐08
17‐Jun‐09
26‐Aug‐09
30‐Jan‐09
15‐Sep‐11
13‐Feb‐09
8‐Mar‐13
11‐Mar‐13
9‐Apr‐13
13‐Feb‐09
9‐Jan‐13
30‐Jan‐09
31‐Oct‐12
11‐Jan‐13
6‐Feb‐13
5‐Dec‐08
11‐Aug‐11
28‐Sep‐11
16‐Jan‐09
30‐Dec‐09
3‐Feb‐10
30‐Jan‐09
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
Avg. Price
$10,000,000.00
$7,260,000.00
$0.00
$4,296,561.73
7,260
$400.00
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
$1,000.00
$2,904,000.00
Preferred Stock w/ Exercised Warrants
10,000
$500,000.00
500
$92,000.00
92
Sold, in full; warrants not outstanding
Preferred Stock
$5,116,000.00
$0.00
$5,875,583.89
Redeemed, in full; warrants not outstanding
Preferred Stock
$5,500,000.00
$0.00
$5,956,041.66
($4,356,000.00)
Redeemed, in full; warrants not outstanding
$5,116,000.00
Preferred Stock w/ Exercised Warrants
$1,834,000.00
$0.00
$2,339,348.60
$6,785,000.00
$0.00
$4,808,121.00
$1,000.00
5,500
$1,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
5,116
$5,500,000.00
Sold, in full; warrants not outstanding
$1,834,000.00
132,353
$476,000.00
476
4,734
$1,000.00
$237,000.00
237
10,000,000
$1,000.00
$950,000,000.00
65,245,759
13,000
$1,000.00
$650,000.00
650
$1,100,000.00
$5,116,000.00
1,100
5,116
$1,000.00
$1,000.00
$311,000.00
311
$3,267,000.00
3,300
$990.00
$140,034.65
165
$386,000.00
386
$900,194.00
625,135
$2,189,317.20
$11,291,481.00
$1,000.00
$13,000,000.00
$0.00
9,516
$10,000,000,000.00
$9,516,000.00
521,266
$342,841.95
$502,606.30
500
733
($2,239,798.00)
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,000.00
$4,734,000.00
$15,703,166.66
14,700
$260,000.00
$0.00
$2.00
$9,516,000.00
$14,700,000.00
$1,000.00
2,272,601
$14,700,000.00
Preferred Stock w/ Warrants
1,834
$4,545,202.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$4,734,000.00
$10,000,000,000.00
$13,000,000.00
$6,216,000.00
$3,300,000.00
$0.00
$0.00
$0.00
$0.00
$0.00
$5,623,958.50
$11,268,055,555.11
$15,429,122.22
$7,803,377.38
$4,069,975.55
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($33,000.00)
($25,000.00)
Preferred Stock w/ Exercised Warrants
$7,723,000.00
$0.00
$9,206,289.90
Redeemed, in full; warrants not outstanding
$7,723,000.00
4,000
$150.00
67,000
$1,000.00
3,250
21,414
$750.20
$750.20
$150,000,000.00
150,000
$1,000.00
$2,000,000.00
$956,066.67
$1,000.00
$2,438,182.50
$16,064,996.94
$0.00
$37,608,789.00
$1,000.00
$67,000,000.00
$4,000,000.00
$0.00
32,382
$600,000.00
Preferred Stock w/ Exercised Warrants
$32,382,000.00
7,723
$32,382,000.00
Preferred Stock w/ Warrants
2,000,000
$1.00
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$67,000,000.00
$0.00
$81,249,317.20
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$24,664,000.00
$0.00
$21,471,087.90
($3,400,000.00)
Sold, in full; warrants not outstanding
($811,817.50)
($5,349,003.06)
($185,031.79)
Preferred Stock w/ Warrants
$150,000,000.00
$0.00
$167,958,333.33
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$2,000,000.00
$0.00
$2,276,190.00
Redeemed, in full; warrants not outstanding
$1,000,000.00
Preferred Stock w/ Warrants
$6,880,000.00
$0.00
$2,613,714.23
$10,000,000.00
$0.00
$5,211,027.78
Sold, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$2,330,000.00
$0.00
$3,199,347.39
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$10,000,000.00
$0.00
$12,041,266.67
100,000
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
735,294
$100,000.00
Redeemed, in full; warrants not outstanding
$2,281,458.05
6,880
$331.60
($4,598,541.95)
$3,900,000.00
10,000
$390.00
($6,100,000.00)
$2,330,000.00
$1,000.00
2,567,255
$748,000.00
748
99,157
67,958
$67,000.00
67
$87,000,000.00
3,824,624
$500,000.00
500
Redeemed, in full; warrants not outstanding
$70,087,060.35
13,364
$95,000.00
$346,794,005.83
$0.00
$13,364,000.00
$600,000.00
$0.00
$52,372,000.00
117,000
184,275
$7,778,782.65
$267,274,000.00
Preferred Stock w/ Warrants
$1.00
10,000
$117,000.00
$737,100.00
Preferred Stock w/ Exercised Warrants
2,330,000
$10,000,000.00
Sold, in full; warrants not outstanding
$267,274,000.00
267,274
$1,000.00
$2,709,121.50
$48,641,624.50
2,763
49,609
$980.50
$980.50
$14,964,000.00
14,964
$1,000.00
$10,200,000.00
10,200
$1,000.00
$4,227,000.00
4,227
$1,000.00
$2,571,000.00
2,571
$1,000.00
$6,023,850.00
20,079,500
$0.30
$1,576,000,000.00
1,576,000
$1,000.00
$10,000,000.00
10,000
$1,000.00
$2,000,000.00
$8,500,000.00
2,000
8,500
$1,032.10
$1,032.10
1,992
$1,000.00
7,700
$921.50
$13,500,000.00
13,500
$1,000.00
$38,263,000.00
38,263
$1,000.00
($53,878.50)
($967,375.50)
($513,507.46)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$14,964,000.00
$10,200,000.00
$4,227,000.00
$1,341,000.00
$1,230,000.00
$17,211,000.00
$0.00
$0.00
$0.00
$0.00
$0.00
$17,904,842.66
$12,294,583.33
$5,159,181.33
$2,987,782.33
$6,442,172.50
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$1,576,000,000.00
$0.00
$1,709,623,333.35
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$11,930,624.67
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,500,000.00
$0.00
$11,891,847.50
($11,187,150.00)
Sold, in full; warrants not outstanding
$64,220.00
$272,935.00
$587,634.55
525
$100,000.00
100
$122,887.50
163,830
$560,000.00
350,346
$430,797.00
190,427
($108,371.55)
Preferred Stock w/ Exercised Warrants
$1,992,000.00
$0.00
$2,380,393.00
Redeemed, in full; warrants not outstanding
$1,992,000.00
Preferred Stock w/ Warrants
$7,700,000.00
$0.00
$8,592,336.00
Sold, in full; warrants not outstanding
$7,095,550.00
($604,450.00)
($70,955.50)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$13,500,000.00
$38,263,000.00
$2,080,000.00
$0.00
$0.00
$0.00
$15,871,250.00
$40,521,918.61
$2,654,758.89
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
29
FootNote
11
11
8,14
8,51,97
8,9
15,17
8
15,11,14
35,11
8
45,8,14
8,26
8
85
8,14
11
60
8,21,11
8
44
8,14
8
8,11,14
11
44,8,14
11
56,8,14
8,14
8,14
8
Institution Name
OJAI COMMUNITY BANK
OLD LINE BANCSHARES, INC.
OLD LINE BANCSHARES, INC.
OLD LINE BANCSHARES, INC.
OLD NATIONAL BANCORP
OLD NATIONAL BANCORP
OLD NATIONAL BANCORP
OLD SECOND BANCORP, INC.
OLD SECOND BANCORP, INC.
OLD SECOND BANCORP, INC.
OLD SECOND BANCORP, INC.
OLD SECOND BANCORP, INC.
OLD SECOND BANCORP, INC.
OMEGA CAPITAL CORP.
OMEGA CAPITAL CORP.
OMEGA CAPITAL CORP.
OMEGA CAPITAL CORP.
ONE GEORGIA BANK
ONE GEORGIA BANK
ONE UNITED BANK
ONEFINANCIAL CORPORATION
OREGON BANCORP, INC.
OREGON BANCORP, INC.
OREGON BANCORP, INC.
OREGON BANCORP, INC.
OSB FINANCIAL SERVICES, INC.
OSB FINANCIAL SERVICES, INC.
PACIFIC CAPITAL BANCORP
PACIFIC CAPITAL BANCORP
PACIFIC CAPITAL BANCORP
PACIFIC CITY FINANCIAL CORPORATION
PACIFIC CITY FINANCIAL CORPORATION
PACIFIC CITY FINANCIAL CORPORATION
PACIFIC COAST BANKERS' BANCSHARES
PACIFIC COAST BANKERS' BANCSHARES
PACIFIC COAST NATIONAL BANCORP
PACIFIC COAST NATIONAL BANCORP
PACIFIC COMMERCE BANK
PACIFIC COMMERCE BANK
PACIFIC COMMERCE BANK
PACIFIC INTERNATIONAL BANCORP / BBCN BANCORP, INC.
PACIFIC INTERNATIONAL BANCORP / BBCN BANCORP, INC.
PARK BANCORPORATION, INC.
PARK BANCORPORATION, INC.
PARK BANCORPORATION, INC.
PARK BANCORPORATION, INC.
PARK BANCORPORATION, INC.
PARK NATIONAL CORPORATION
PARK NATIONAL CORPORATION
PARK NATIONAL CORPORATION
PARKE BANCORP, INC.
PARKE BANCORP, INC.
PARKE BANCORP, INC.
PARKE BANCORP, INC.
PARKE BANCORP, INC.
PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION
PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION
PASCACK BANCORP, INC.
PASCACK BANCORP, INC.
PATAPSCO BANCORP, INC.
PATHFINDER BANCORP, INC.
PATHFINDER BANCORP, INC.
PATHFINDER BANCORP, INC.
PATHWAY BANCORP
PATHWAY BANCORP
PATHWAY BANCORP
PATRIOT BANCSHARES, INC.
PATRIOT BANCSHARES, INC.
PATRIOT BANCSHARES, INC.
PATRIOT BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PEAPACK‐GLADSTONE FINANCIAL CORPORATION
PEAPACK‐GLADSTONE FINANCIAL CORPORATION
PEAPACK‐GLADSTONE FINANCIAL CORPORATION
PEAPACK‐GLADSTONE FINANCIAL CORPORATION
PEAPACK‐GLADSTONE FINANCIAL CORPORATION
PENN LIBERTY FINANCIAL CORP.
PENN LIBERTY FINANCIAL CORP.
PEOPLES BANCORP (OH)
PEOPLES BANCORP (OH)
PEOPLES BANCORP (OH)
PEOPLES BANCORP (OH)
PEOPLES BANCORP (WA)
PEOPLES BANCORP (WA)
PEOPLES BANCORP OF NORTH CAROLINA, INC.
PEOPLES BANCORP OF NORTH CAROLINA, INC.
PEOPLES BANCORP OF NORTH CAROLINA, INC.
PEOPLES BANCORPORATION, INC.
PEOPLES BANCORPORATION, INC.
PEOPLES BANCSHARES OF TN, INC.
PEOPLES BANCSHARES OF TN, INC.
PEOPLES BANCSHARES OF TN, INC.
PEOPLESSOUTH BANCSHARES, INC.
PEOPLESSOUTH BANCSHARES, INC.
City
OJAI
BOWIE
BOWIE
BOWIE
EVANSVILLE
EVANSVILLE
EVANSVILLE
AURORA
AURORA
AURORA
AURORA
AURORA
AURORA
LAKEWOOD
LAKEWOOD
LAKEWOOD
LAKEWOOD
ATLANTA
ATLANTA
BOSTON
LITTLE ROCK
SALEM
SALEM
SALEM
SALEM
ORANGE
ORANGE
SANTA BARBARA
SANTA BARBARA
SANTA BARBARA
LOS ANGELES
LOS ANGELES
LOS ANGELES
SAN FRANCISCO
SAN FRANCISCO
SAN CLEMENTE
SAN CLEMENTE
LOS ANGELES
LOS ANGELES
LOS ANGELES
SEATTLE
SEATTLE
MADISON
MADISON
MADISON
MADISON
MADISON
NEWARK
NEWARK
NEWARK
SEWELL
SEWELL
SEWELL
SEWELL
SEWELL
MONROEVILLE
MONROEVILLE
WESTWOOD
WESTWOOD
DUNDALK
OSWEGO
OSWEGO
OSWEGO
CAIRO
CAIRO
CAIRO
HOUSTON
HOUSTON
HOUSTON
HOUSTON
PATTERSON
PATTERSON
PATTERSON
PATTERSON
PATTERSON
PATTERSON
GLADSTONE
GLADSTONE
GLADSTONE
GLADSTONE
GLADSTONE
WAYNE
WAYNE
MARIETTA
MARIETTA
MARIETTA
MARIETTA
LYNDEN
LYNDEN
NEWTON
NEWTON
NEWTON
EASLEY
EASLEY
MADISONVILLE
MADISONVILLE
MADISONVILLE
COLQUITT
COLQUITT
State
CA
MD
MD
MD
IN
IN
IN
IL
IL
IL
IL
IL
IL
CO
CO
CO
CO
GA
GA
MA
AR
OR
OR
OR
OR
TX
TX
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
WA
WA
WI
WI
WI
WI
WI
OH
OH
OH
NJ
NJ
NJ
NJ
NJ
PA
PA
NJ
NJ
MD
NY
NY
NY
NE
NE
NE
TX
TX
TX
TX
LA
LA
LA
LA
LA
LA
NJ
NJ
NJ
NJ
NJ
PA
PA
OH
OH
OH
OH
WA
WA
NC
NC
NC
SC
SC
TN
TN
TN
GA
GA
Date
25‐Sep‐13
5‐Dec‐08
15‐Jul‐09
2‐Sep‐09
12‐Dec‐08
31‐Mar‐09
8‐May‐09
16‐Jan‐09
11‐Mar‐13
26‐Mar‐13
27‐Mar‐13
9‐Apr‐13
11‐Jun‐13
17‐Apr‐09
19‐Jul‐13
22‐Jul‐13
12‐Sep‐13
8‐May‐09
15‐Jul‐11
19‐Dec‐08
5‐Jun‐09
24‐Apr‐09
18‐Oct‐13
21‐Oct‐13
6‐Jan‐14
1‐May‐09
5‐Oct‐11
21‐Nov‐08
23‐Feb‐11
30‐Nov‐12
19‐Dec‐08
19‐Nov‐13
6‐Jan‐14
23‐Dec‐08
28‐Jul‐11
16‐Jan‐09
11‐Feb‐10
23‐Dec‐08
10‐Feb‐14
19‐Mar‐14
12‐Dec‐08
15‐Feb‐13
6‐Mar‐09
7‐Aug‐12
9‐Aug‐12
10‐Aug‐12
11‐Sep‐12
23‐Dec‐08
25‐Apr‐12
2‐May‐12
30‐Jan‐09
28‐Nov‐12
29‐Nov‐12
11‐Jan‐13
12‐Jun‐13
23‐Dec‐08
3‐Jan‐12
6‐Feb‐09
19‐Oct‐11
19‐Dec‐08
11‐Sep‐09
1‐Sep‐11
1‐Feb‐12
27‐Mar‐09
24‐Jun‐13
26‐Jul‐13
19‐Dec‐08
11‐Apr‐14
14‐Apr‐14
18‐Jul‐14
17‐Apr‐09
7‐Mar‐12
22‐Aug‐12
5‐Dec‐12
8‐May‐13
5‐Jun‐13
9‐Jan‐09
6‐Jan‐10
2‐Mar‐11
11‐Jan‐12
4‐Apr‐12
17‐Apr‐09
1‐Sep‐11
30‐Jan‐09
2‐Feb‐11
28‐Dec‐11
15‐Feb‐12
13‐Feb‐09
3‐Aug‐11
23‐Dec‐08
3‐Jul‐12
8‐Aug‐12
24‐Apr‐09
24‐Apr‐12
20‐Mar‐09
31‐Oct‐12
11‐Jan‐13
6‐Mar‐09
18‐Sep‐13
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
Avg. Price
$2,080,000.00
$0.00
$31,423,238.49
$352.50
$377.00
$377.00
1,239
1,577
$1,142.90
$1,142.90
104
141,892
813,008
$106,891.00
$73,000,000.00
$102,713,888.89
70,028
1,200
1,772
Amount
$104,000.00
$1,200,000.00
Preferred Stock w/ Warrants
$0.00
$7,438,888.89
$1,000.00
$24,684,870.00
$452,424.00
$668,079.44
Warrant Proceeds
$225,000.00
$100,000,000.00
$0.00
100,000
Gain5
$1,000.00
$100,000,000.00
Preferred Stock w/ Warrants
$7,000,000.00
7,000
(Realized Loss) /
(Write‐off)
$1,000.00
$7,000,000.00
Preferred Stock w/ Warrants
2,080
815,339
$159,886.25
141
$9,459.13
$128,988.07
11
150
$305,000.00
305,000
$393,120.78
15,120
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($45,343,130.00)
($747,576.00)
($1,103,920.56)
($258,053.73)
Preferred Stock w/ Exercised Warrants
$2,816,000.00
$0.00
$3,403,603.15
Sold, in full; warrants not outstanding
$1,239,000.00
$1,577,000.00
$177,053.10
$225,353.30
($25,000.00)
Preferred Stock w/ Exercised Warrants
$5,500,000.00
$0.00
$0.00
Exited bankruptcy/receivership
Preferred Stock
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$12,063,000.00
$17,300,000.00
$3,216,000.00
$12,063,000.00
$17,300,000.00
$0.00
$93,823.33
$3,782,990.59
$4,116,801.92
Full investment outstanding; warrants not outstanding
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$6,100,000.00
$0.00
$7,662,314.53
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$180,634,000.00
$0.00
$168,483,804.20
Sold, in full; warrants not outstanding
($5,500,000.00)
$100,000.00
$3,116,000.00
100
3,116
$1,000.00
$1,000.00
($25,000.00)
$6,100,000.00
$1,215.20
11,600
$1,000.00
4,060
$620.70
6,500
$1,000.00
2,296
5,544
15,360
$730.20
$730.20
$730.20
$100,000,000.00
100,000
$1,000.00
$394,072.28
$11,318,791.40
548
15,740
$719.10
$719.10
$31,762,000.00
31,762
$1,000.00
$3,756,000.00
3,756
$1,000.00
$6,771,000.00
6,771
$1,000.00
$3,727,000.00
3,727
$1,167.00
$622,446.27
12,000
14,038
$1,142.00
$1,142.00
$1,704,360.00
$1,993,817.14
$250,000.00
$250,000.00
$250,000.00
$500,000.00
$2,440,000.00
250
250
250
500
2,440
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$7,172,000.00
$7,172,000.00
$14,341,000.00
7,172
7,172
14,341
$1,000.00
$1,000.00
$1,000.00
$9,960,000.00
9,960
$1,000.00
$21,000,000.00
$18,000,000.00
21,000
18,000
$1,000.00
$1,000.00
$18,000,000.00
18,000
$1,000.00
$23,384,401.44
$21,003,597.96
16,200
$6,500,000.00
$0.00
$29.50
$46.00
$1,676,654.00
$4,048,506.00
$11,216,640.00
$16,200,000.00
$1.00
1
3,608,332
$16,200,000.00
Preferred Stock w/ Exercised Warrants
6,100,000
$14.75
$165,983,272.00
($350,766.02) 25,054
$933.40
($10.28)
($14,650,702.97)
Sold, in full; warrants not outstanding
$3,485,754.00
$1,156,636.50
810
$580,000.00
580
($1,540,039.20)
$109,487.50
203
($619,346.00)
($1,495,494.00)
($4,143,360.00)
$88,059.01
$482,779.69
$325,200.40
114
625
421
$2,842,400.00
227,376
$1,650,288.00
438,906
$188,000.00
188
$537,633.00
154,354
$226,565.00
186
$1,035,834.25
$645,781.95
802
500
$185,000.00
185
$110,000.00
150,296
$498,000.00
498
$1,200,724.15
313,505
($196,857.54)
Preferred Stock w/ Exercised Warrants
$11,600,000.00
$0.00
$13,821,963.89
Redeemed, in full; warrants not outstanding
$11,600,000.00
Preferred Stock w/ Exercised Warrants
$4,120,000.00
$0.00
$18,087.94
Exited bankruptcy/receivership
Preferred Stock w/ Exercised Warrants
$4,060,000.00
$0.00
$2,991,670.80
Sold, in full; warrants not outstanding
($4,120,000.00)
$2,519,960.80
($25,000.00)
Preferred Stock w/ Warrants
$6,500,000.00
$0.00
$7,937,744.97
Redeemed, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$23,200,000.00
$0.00
$22,020,064.10
Sold, in full; warrants not outstanding
($169,418.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$100,000,000.00
$16,288,000.00
$0.00
$0.00
$119,536,844.44
$16,365,554.76
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($153,927.72)
($4,421,208.60)
($117,128.64)
Preferred Stock w/ Warrants
$31,762,000.00
$0.00
$36,570,413.89
Redeemed, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$3,756,000.00
$0.00
$4,497,312.67
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$6,000,000.00
$6,771,000.00
$6,000,000.00
$0.00
$377,866.67
$7,976,328.84
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,727,000.00
$0.00
$4,628,862.77
Sold, in full; warrants not outstanding
($25,000.00)
Preferred Stock w/ Exercised Warrants
$26,038,000.00
$0.00
$33,824,567.35
Sold, in full; warrants not outstanding
$12,000,000.00
$14,038,000.00
($297,361.77)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$3,690,000.00
$28,685,000.00
$9,960,000.00
$39,000,000.00
$18,000,000.00
$0.00
$0.00
$0.00
$0.00
$0.00
$4,692,022.77
$32,075,739.67
$11,745,689.33
$44,926,557.48
$21,325,250.00
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$25,054,000.00
$0.00
$27,877,966.16
900
$425,000.00
Preferred Stock w/ Warrants
$900,000.00
357,234
$633,000.00
633
$122,225.00
195
$616,000.00
616
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,660,000.00
$0.00
$15,362,909.75
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,900,000.00
$0.00
$3,809,874.42
($1,669,598.56)
Sold, in full; warrants not outstanding
$12,660,000.00
12,660
$1,000.00
$2,944,500.00
3,900
$755.00
12,325
$1,000.00
($955,500.00)
($25,000.00)
Preferred Stock w/ Exercised Warrants
$12,325,000.00
$0.00
$15,985,994.66
Redeemed, in full; warrants not outstanding
$12,325,000.00
30
FootNote
8,17,45
11,9,36
8,46,97
8,69
11
44,8,14
15,17
20
8
9,15,36
8,22,97
15,14
8
80
8,17
75,97
8,18
12
8,17,44
88
107
11,8,14
44,8,14
44
8
8,17
44,8,14
44,8,14
8,114
44,8,14
8,17,62
8,14
11
8
Institution Name
PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK
PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK
PGB HOLDINGS, INC.
PGB HOLDINGS, INC.
PIERCE COUNTY BANCORP
PIERCE COUNTY BANCORP
PINNACLE BANK HOLDING COMPANY, INC.
PINNACLE FINANCIAL PARTNERS, INC.
PINNACLE FINANCIAL PARTNERS, INC.
PINNACLE FINANCIAL PARTNERS, INC.
PINNACLE FINANCIAL PARTNERS, INC.
PLAINS CAPITAL CORPORATION
PLAINS CAPITAL CORPORATION
PLATO HOLDINGS INC.
PLATO HOLDINGS INC.
PLATO HOLDINGS INC.
PLATO HOLDINGS INC.
PLUMAS BANCORP
PLUMAS BANCORP
PLUMAS BANCORP
PLUMAS BANCORP
POPULAR, INC.
POPULAR, INC.
POPULAR, INC.
PORTER BANCORP, INC.(PBI) LOUISVILLE, KY
PORTER BANCORP, INC.(PBI) LOUISVILLE, KY
PORTER BANCORP, INC.(PBI) LOUISVILLE, KY
PRAIRIE STAR BANCSHARES, INC.
PREMIER BANCORP, INC.
PREMIER BANCORP, INC.
PREMIER BANK HOLDING COMPANY
PREMIER BANK HOLDING COMPANY
PREMIER FINANCIAL BANCORP, INC.
PREMIER FINANCIAL BANCORP, INC.
PREMIER FINANCIAL BANCORP, INC.
PREMIER FINANCIAL BANCORP, INC.
PREMIER FINANCIAL BANCORP, INC.
PREMIER FINANCIAL CORP.
PREMIER FINANCIAL CORP.
PREMIER FINANCIAL CORP.
PREMIER SERVICE BANK
PREMIER SERVICE BANK
PREMIERWEST BANCORP
PREMIERWEST BANCORP
PRESIDIO BANK
PRESIDIO BANK
PRESIDIO BANK
PRESIDIO BANK
PRINCETON NATIONAL BANCORP, INC.
PRINCETON NATIONAL BANCORP, INC.
PRIVATE BANCORPORATION, INC.
PRIVATE BANCORPORATION, INC.
PRIVATE BANCORPORATION, INC.
PRIVATEBANCORP, INC.
PRIVATEBANCORP, INC.
PRIVATEBANCORP, INC.
PROVIDENCE BANK
PROVIDENCE BANK
PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION
PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION
PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION
PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION
PROVIDENT COMMUNITY BANCSHARES, INC.
PROVIDENT COMMUNITY BANCSHARES, INC.
PSB FINANCIAL CORPORATION
PSB FINANCIAL CORPORATION
PUGET SOUND BANK
PUGET SOUND BANK
PULASKI FINANCIAL CORP.
PULASKI FINANCIAL CORP.
PULASKI FINANCIAL CORP.
QCR HOLDINGS, INC.
QCR HOLDINGS, INC.
QCR HOLDINGS, INC.
RANDOLPH BANK & TRUST COMPANY
RANDOLPH BANK & TRUST COMPANY
RCB FINANCIAL CORPORATION
RCB FINANCIAL CORPORATION
RCB FINANCIAL CORPORATION
REDWOOD CAPITAL BANCORP
REDWOOD CAPITAL BANCORP
REDWOOD FINANCIAL, INC.
REDWOOD FINANCIAL, INC.
REGENT BANCORP, INC.
REGENT BANCORP, INC.
REGENT CAPITAL CORPORATION, INC. / REGENT BANK
REGENT CAPITAL CORPORATION, INC. / REGENT BANK
REGENTS BANCSHARES, INC.
REGENTS BANCSHARES, INC.
REGIONAL BANKSHARES, INC.
REGIONAL BANKSHARES, INC.
REGIONAL BANKSHARES, INC.
REGIONAL BANKSHARES, INC.
REGIONAL BANKSHARES, INC.
REGIONS FINANCIAL CORPORATION
REGIONS FINANCIAL CORPORATION
REGIONS FINANCIAL CORPORATION
RELIANCE BANCSHARES, INC.
RELIANCE BANCSHARES, INC.
City
PIGEON FALLS
PIGEON FALLS
CHICAGO
CHICAGO
TACOMA
TACOMA
ORANGE CITY
NASHVILLE
NASHVILLE
NASHVILLE
NASHVILLE
DALLAS
DALLAS
SAINT PAUL
SAINT PAUL
SAINT PAUL
SAINT PAUL
QUINCY
QUINCY
QUINCY
QUINCY
SAN JUAN
SAN JUAN
SAN JUAN
LOUISVILLE
LOUISVILLE
LOUISVILLE
OLATHE
WILMETTE
WILMETTE
TALLAHASSEE
TALLAHASSEE
HUNTINGTON
HUNTINGTON
HUNTINGTON
HUNTINGTON
HUNTINGTON
DUBUQUE
DUBUQUE
DUBUQUE
RIVERSIDE
RIVERSIDE
MEDFORD
MEDFORD
SAN FRANCISCO
SAN FRANCISCO
SAN FRANCISCO
SAN FRANCISCO
PRINCETON
PRINCETON
MINNEAPOLIS
MINNEAPOLIS
MINNEAPOLIS
CHICAGO
CHICAGO
CHICAGO
ROCKY MOUNT
ROCKY MOUNT
BALTIMORE
BALTIMORE
BALTIMORE
BALTIMORE
ROCK HILL
ROCK HILL
MANY
MANY
BELLEVUE
BELLEVUE
CREVE COEUR
CREVE COEUR
CREVE COEUR
MOLINE
MOLINE
MOLINE
ASHEBORO
ASHEBORO
ROME
ROME
ROME
EUREKA
EUREKA
REDWOOD FALLS
REDWOOD FALLS
DAVIE
DAVIE
NOWATA
NOWATA
VANCOUVER
VANCOUVER
HARTSVILLE
HARTSVILLE
HARTSVILLE
HARTSVILLE
HARTSVILLE
BIRMINGHAM
BIRMINGHAM
BIRMINGHAM
FRONTENAC
FRONTENAC
State
WI
WI
IL
IL
WA
WA
FL
TN
TN
TN
TN
TX
TX
MN
MN
MN
MN
CA
CA
CA
CA
PR
PR
PR
KY
KY
KY
KS
IL
IL
FL
FL
WV
WV
WV
WV
WV
IA
IA
IA
CA
CA
OR
OR
CA
CA
CA
CA
IL
IL
MN
MN
MN
IL
IL
IL
NC
NC
MD
MD
MD
MD
SC
SC
LA
LA
WA
WA
MO
MO
MO
IL
IL
IL
NC
NC
GA
GA
GA
CA
CA
MN
MN
FL
FL
OK
OK
WA
WA
SC
SC
SC
SC
SC
AL
AL
AL
MO
MO
Date
11‐Sep‐09
25‐Aug‐11
6‐Feb‐09
13‐Aug‐10
23‐Jan‐09
5‐Nov‐10
6‐Mar‐09
12‐Dec‐08
28‐Dec‐11
20‐Jun‐12
18‐Jul‐12
19‐Dec‐08
27‐Sep‐11
17‐Jul‐09
26‐Apr‐13
29‐Apr‐13
31‐May‐13
30‐Jan‐09
29‐Apr‐13
22‐May‐13
31‐May‐13
5‐Dec‐08
2‐Jul‐14
23‐Jul‐14
21‐Nov‐08
3‐Dec‐14
4‐Dec‐14
3‐Apr‐09
8‐May‐09
13‐Aug‐10
20‐Mar‐09
14‐Aug‐12
2‐Oct‐09
8‐Aug‐12
9‐Aug‐12
10‐Aug‐12
11‐Sep‐12
22‐May‐09
22‐Jul‐13
12‐Sep‐13
20‐Feb‐09
31‐Jan‐14
13‐Feb‐09
9‐Apr‐13
20‐Nov‐09
10‐Dec‐12
11‐Dec‐12
11‐Jan‐13
23‐Jan‐09
2‐Nov‐12
27‐Feb‐09
29‐Dec‐09
25‐Jun‐14
30‐Jan‐09
24‐Oct‐12
14‐Nov‐12
2‐Oct‐09
15‐Sep‐11
14‐Nov‐08
21‐Aug‐12
20‐Mar‐13
25‐Mar‐13
13‐Mar‐09
30‐Apr‐14
27‐Feb‐09
29‐Sep‐10
16‐Jan‐09
11‐Aug‐11
16‐Jan‐09
3‐Jul‐12
8‐Aug‐12
13‐Feb‐09
15‐Sep‐11
16‐Nov‐11
30‐Oct‐09
30‐Sep‐13
19‐Jun‐09
25‐Sep‐13
29‐Oct‐13
16‐Jan‐09
21‐Jul‐11
9‐Jan‐09
18‐Aug‐11
6‐Mar‐09
17‐Oct‐14
27‐Feb‐09
21‐Jul‐11
23‐Oct‐09
26‐Jan‐12
13‐Feb‐09
8‐Nov‐12
9‐Nov‐12
11‐Jan‐13
26‐Mar‐13
14‐Nov‐08
4‐Apr‐12
2‐May‐12
13‐Feb‐09
25‐Sep‐13
Original Investment Type 1
Preferred Stock w/ Exercised Warrants
Original Investment
Amount
$1,500,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
$0.00
$1,730,162.66
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Redeemed, in full; warrants not outstanding
$1,500,000.00
$4,389,000.00
$95,000,000.00
$4,389,000.00
$0.00
$284,999.00
$111,918,194.45
$1,000.00
$1,000.00
87,631
$1,000.00
120,000
2,380,000
$1.00
$1.00
$180.00
$3,570.00
11,949
$1,091.10
71
$1,088,673.39
Currently not collectible
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$71,000.00
Redeemed, in full; warrants not outstanding
$207,947.78
23,750
71,250
$120,000.00
$2,380,000.00
$3,227,916.67
$0.00
$1,000.00
$87,631,000.00
$0.00
$6,800,000.00
3,000
$23,750,000.00
$71,250,000.00
$3,000,000.00
$1,000.00
$3,000,000.00
Preferred Stock
Preferred Stock w/ Exercised Warrants
1,500
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
($6,800,000.00)
$755,000.00
$105,252,939.77
$3,103,618.40
$90,582.47
107,000
237,712
2,093,284
$478,590.75
317,000
$200,000.00
200
$83,086.12
$195,295.20
97
228
$248,000.00
248
645,013
$175,000.00
175
Redeemed, in full; warrants not outstanding
$0.00
4,382
$1,225,000.00
$0.00
$2,500,000.00
267,455
$3,000,000.00
$87,631,000.00
$4,382,000.00
$234,500.00
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants
Sold, in full; warrants not outstanding
($25,000.00)
Preferred Stock w/ Warrants
$11,949,000.00
$0.00
$13,764,140.41
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$935,000,000.00
$0.00
$1,220,280,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$35,000,000.00
$0.00
$8,283,333.33
Sold, in full; warrants outstanding
$11,949,000.00
($130,376.73)
$935,000,000.00
$2,800,000.00
$0.00
$132,253.00
$7,444,215.12
$0.00
$467,412.50
$22,252,000.00
$0.00
$23,052,240.29
$1.00
1,863
9,517
10,872
$901.00
$901.00
$901.00
6,349,000
$1.24
Exited bankruptcy/receivership
Preferred Stock w/ Warrants
6,784,000
($24,244,200.00)
($7,255,800.00)
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$9,500,000.00
$100.00
$100.00
$1,678,618.89
$8,575,102.51
$9,795,998.16
$2,800,000.00
$6,784,000.00
Preferred Stock w/ Exercised Warrants
$1,000.00
26,938
8,062
$6,784,000.00
Preferred Stock w/ Exercised Warrants
Subordinated Debentures
935,000
$2,693,800.00
$806,200.00
Sold, in full; warrants outstanding
($9,500,000.00)
($184,381.11)
($941,897.49)
($1,076,001.84)
($200,497.20)
Subordinated Debentures w/ Exercised Warrants
$6,349,000.00
$0.00
$8,778,669.11
Sold, in full; warrants not outstanding
$6,349,000.00
$1,507,379.58
($78,563.80)
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$4,300,522.22
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$41,400,000.00
$0.00
$42,446,500.00
Redeemed, in full; warrants not outstanding
$4,000,000.00
$847.20
$847.20
8,222
$1,000.00
243,815
$1,000.00
4,000
$1,000.00
$151,500,000.00
$11,077,694.89
310
10,490
$4,000,000.00
$0.00
$1,000.00
$243,815,000.00
$10,800,000.00
$1,000.00
41,400
$8,222,000.00
Preferred Stock w/ Exercised Warrants
4,000
$41,400,000.00
151,500
$1,000.00
Sold, in full; warrants not outstanding
$262,635.10
$8,887,232.90
($47,364.90)
($1,602,767.10)
($91,498.68)
Preferred Stock w/ Warrants
$25,083,000.00
$0.00
$2,271,405.00
Currently not collectible
Preferred Stock w/ Exercised Warrants
$4,960,000.00
$3,262,000.00
$0.00
$10,836,280.71
Redeemed, in full; warrants not outstanding
($25,083,000.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$243,815,000.00
$4,000,000.00
$151,500,000.00
$0.00
$0.00
$0.00
$290,552,132.92
$4,596,311.80
$199,100,113.41
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$71.62
$19,047,005.12
Preferred Stock w/ Warrants
$9,266,000.00
$0.00
$5,639,391.00
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$9,270,000.00
$0.00
$10,536,802.00
Redeemed, in full; warrants not outstanding
$5,096,300.00
Preferred Stock w/ Exercised Warrants
$6,229,000.00
$0.00
$44,286,567.33
$7,190,593.33
464
$225,000.00
225
($433,406.16) 32,538
$888.00
778,421
38,237
$1,000.00
$1,100,000.00
$0.00
$35,195,847.13
$464,000.00
$1,000.00
$1,100,000.00
$38,237,000.00
$0.00
$5,355,156.75
4,500
$38,237,000.00
Preferred Stock w/ Warrants
$32,538,000.00
$0.00
$1,000.00
$28,893,744.00
Preferred Stock w/ Warrants
$4,500,000.00
$550.00
9,270
$4,500,000.00
Preferred Stock w/ Exercised Warrants
9,266
$9,270,000.00
($4,169,700.00)
521,888
$311,000.00
311
$253,383.25
268
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($3,644,256.00)
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$6,229,000.00
$9,139,863.61
$907.10
3,800
$1,000.00
$190,000.00
190
2,995
$1,000.00
$150,000.00
150
$7,970,737.50
$0.00
8,900
$2,995,000.00
$8,900,000.00
$1,000.00
$3,800,000.00
Preferred Stock w/ Exercised Warrants
6,229
1,449,225
$5.50
Sold, in full; warrants not outstanding
$8,073,279.00
($826,721.00)
($80,732.79)
Preferred Stock w/ Exercised Warrants
$3,800,000.00
$0.00
$4,510,626.39
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,995,000.00
$0.00
$3,570,810.92
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$9,982,000.00
$0.00
$8,755,019.00
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,655,000.00
$0.00
$3,135,328.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,700,000.00
$0.00
$14,594,338.99
($2,011,262.50)
Redeemed, in full; warrants not outstanding
$2,655,000.00
$1,718,159.50
133
$381,000.00
381
267
1,233
$925.00
$925.00
$50,000.00
75
3,500,000
$1,000.00
$45,000,000.00
$0.00
$133,000.00
$1,000.00
$3,500,000,000.00
$1,500,000.00
$1,000.00
12,700
$246,975.00
$1,140,525.00
Preferred Stock w/ Exercised Warrants
2,655
$12,700,000.00
48,253,677
$40,000,000.00
40,000
$1,004.90
$2,199,799.80
2,000
Sold, in full; warrants not outstanding
($20,025.00)
($92,475.00)
($13,875.00)
($11,125.00)
Preferred Stock w/ Warrants
$3,500,000,000.00
$0.00
$4,138,055,555.55
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$40,000,000.00
$0.00
$45,820,950.80
Sold, in full; warrants not outstanding
$196,000.00
31
FootNote
8,14
8,116
15,11,14
15
8,95,97
11
8
44
11,44
8,14
44,8,14
11
44,8,14
8,14
44,8,14
44,8,14
11,8,14,36
11,36
44,8,14
15,14
11
15,11,14
11
11
8,32,97
8,14
8,14
11,9,36
8,45,14
44,8,14
44
Institution Name
RELIANCE BANCSHARES, INC.
RIDGESTONE FINANCIAL SERVICES, INC.
RIDGESTONE FINANCIAL SERVICES, INC.
RIDGESTONE FINANCIAL SERVICES, INC.
RISING SUN BANCORP
RISING SUN BANCORP
RIVER VALLEY BANCORPORATION, INC.
RIVER VALLEY BANCORPORATION, INC.
RIVER VALLEY BANCORPORATION, INC.
RIVERSIDE BANCSHARES, INC.
RIVERSIDE BANCSHARES, INC.
ROGERS BANCSHARES, INC.
ROGERS BANCSHARES, INC.
ROYAL BANCSHARES OF PENNSYLVANIA, INC.
ROYAL BANCSHARES OF PENNSYLVANIA, INC.
ROYAL BANCSHARES OF PENNSYLVANIA, INC.
ROYAL BANCSHARES OF PENNSYLVANIA, INC.
S&T BANCORP, INC.
S&T BANCORP, INC.
S&T BANCORP, INC.
SAIGON NATIONAL BANK
SALISBURY BANCORP, INC.
SALISBURY BANCORP, INC.
SALISBURY BANCORP, INC.
SANDY SPRING BANCORP, INC.
SANDY SPRING BANCORP, INC.
SANDY SPRING BANCORP, INC.
SANDY SPRING BANCORP, INC.
SANTA CLARA VALLEY BANK, N.A
SANTA CLARA VALLEY BANK, N.A
SANTA CLARA VALLEY BANK, N.A
SANTA LUCIA BANCORP
SANTA LUCIA BANCORP
SBT BANCORP, INC.
SBT BANCORP, INC.
SCBT FINANCIAL CORPORATION
SCBT FINANCIAL CORPORATION
SCBT FINANCIAL CORPORATION
SEACOAST BANKING CORPORATION OF FLORIDA
SEACOAST BANKING CORPORATION OF FLORIDA
SEACOAST BANKING CORPORATION OF FLORIDA
SEACOAST COMMERCE BANK
SEACOAST COMMERCE BANK
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BUSINESS BANCORP
SECURITY BUSINESS BANCORP
SECURITY CALIFORNIA BANCORP
SECURITY CALIFORNIA BANCORP
SECURITY CAPITAL CORPORATION
SECURITY CAPITAL CORPORATION
SECURITY FEDERAL CORPORATION
SECURITY FEDERAL CORPORATION
SECURITY FEDERAL CORPORATION
SECURITY STATE BANCSHARES, INC.
SECURITY STATE BANCSHARES, INC.
SECURITY STATE BANK HOLDING COMPANY
SECURITY STATE BANK HOLDING COMPANY
SECURITY STATE BANK HOLDING COMPANY
SEVERN BANCORP, INC.
SEVERN BANCORP, INC.
SEVERN BANCORP, INC.
SHORE BANCSHARES, INC.
SHORE BANCSHARES, INC.
SHORE BANCSHARES, INC.
SIGNATURE BANCSHARES, INC.
SIGNATURE BANCSHARES, INC.
SIGNATURE BANK
SIGNATURE BANK
SIGNATURE BANK
SOMERSET HILLS BANCORP
SOMERSET HILLS BANCORP
SOMERSET HILLS BANCORP
SONOMA VALLEY BANCORP
SONOMA VALLEY BANCORP
SOUND BANKING COMPANY
SOUND BANKING COMPANY
SOUND BANKING COMPANY
SOUTH FINANCIAL GROUP, INC./ CAROLINA FIRST BANK
SOUTH FINANCIAL GROUP, INC./ CAROLINA FIRST BANK
SOUTHCREST FINANCIAL GROUP, INC.
SOUTHCREST FINANCIAL GROUP, INC.
SOUTHCREST FINANCIAL GROUP, INC.
SOUTHCREST FINANCIAL GROUP, INC.
SOUTHERN BANCORP, INC.
SOUTHERN BANCORP, INC.
SOUTHERN COMMUNITY FINANCIAL CORP.
SOUTHERN COMMUNITY FINANCIAL CORP.
SOUTHERN FIRST BANCSHARES, INC.
SOUTHERN FIRST BANCSHARES, INC.
SOUTHERN FIRST BANCSHARES, INC.
SOUTHERN HERITAGE BANCSHARES, INC.
SOUTHERN HERITAGE BANCSHARES, INC.
SOUTHERN ILLINOIS BANCORP, INC.
SOUTHERN ILLINOIS BANCORP, INC.
SOUTHERN MISSOURI BANCORP, INC.
City
FRONTENAC
BROOKFIELD
BROOKFIELD
BROOKFIELD
RISING SUN
RISING SUN
WAUSAU
WAUSAU
WAUSAU
LITTLE ROCK
LITTLE ROCK
LITTLE ROCK
LITTLE ROCK
NARBERTH
NARBERTH
NARBERTH
NARBERTH
INDIANA
INDIANA
INDIANA
WESTMINSTER
LAKEVILLE
LAKEVILLE
LAKEVILLE
OLNEY
OLNEY
OLNEY
OLNEY
SANTA PAULA
SANTA PAULA
SANTA PAULA
ATASCADERO
ATASCADERO
SIMSBURY
SIMSBURY
COLUMBIA
COLUMBIA
COLUMBIA
STUART
STUART
STUART
CHULA VISTA
CHULA VISTA
WAYNESVILLE
WAYNESVILLE
WAYNESVILLE
WAYNESVILLE
WAYNESVILLE
SAN DIEGO
SAN DIEGO
RIVERSIDE
RIVERSIDE
BATESVILLE
BATESVILLE
AIKEN
AIKEN
AIKEN
CHARLESTON
CHARLESTON
JAMESTOWN
JAMESTOWN
JAMESTOWN
ANNAPOLIS
ANNAPOLIS
ANNAPOLIS
EASTON
EASTON
EASTON
DALLAS
DALLAS
NEW YORK
NEW YORK
NEW YORK
BERNARDSVILLE
BERNARDSVILLE
BERNARDSVILLE
SONOMA
SONOMA
MOREHEAD CITY
MOREHEAD CITY
MOREHEAD CITY
GREENVILLE
GREENVILLE
FAYETTEVILLE
FAYETTEVILLE
FAYETTEVILLE
FAYETTEVILLE
ARKADELPHIA
ARKADELPHIA
WINSTON‐SALEM
WINSTON‐SALEM
GREENVILLE
GREENVILLE
GREENVILLE
CLEVELAND
CLEVELAND
CARMI
CARMI
POPLAR BLUFF
State
MO
WI
WI
WI
MD
MD
WI
WI
WI
AR
AR
AR
AR
PA
PA
PA
PA
PA
PA
PA
CA
CT
CT
CT
MD
MD
MD
MD
CA
CA
CA
CA
CA
CT
CT
SC
SC
SC
FL
FL
FL
CA
CA
MO
MO
MO
MO
MO
CA
CA
CA
CA
MS
MS
SC
SC
SC
MO
MO
ND
ND
ND
MD
MD
MD
MD
MD
MD
TX
TX
NY
NY
NY
NJ
NJ
NJ
CA
CA
NC
NC
NC
SC
SC
GA
GA
GA
GA
AR
AR
NC
NC
SC
SC
SC
TN
TN
IL
IL
MO
Date
29‐Oct‐13
27‐Feb‐09
20‐Feb‐13
26‐Mar‐13
9‐Jan‐09
17‐Oct‐14
12‐Jun‐09
6‐Jun‐12
15‐May‐13
15‐May‐09
14‐May‐14
30‐Jan‐09
5‐Jul‐13
20‐Feb‐09
1‐Jul‐14
2‐Jul‐14
26‐Sep‐14
16‐Jan‐09
7‐Dec‐11
11‐Jun‐13
23‐Dec‐08
13‐Mar‐09
25‐Aug‐11
2‐Nov‐11
5‐Dec‐08
21‐Jul‐10
15‐Dec‐10
23‐Feb‐11
13‐Feb‐09
8‐Mar‐13
9‐Apr‐13
19‐Dec‐08
21‐Oct‐11
27‐Mar‐09
11‐Aug‐11
16‐Jan‐09
20‐May‐09
24‐Jun‐09
19‐Dec‐08
3‐Apr‐12
30‐May‐12
23‐Dec‐08
1‐Sep‐11
13‐Feb‐09
10‐Dec‐12
11‐Dec‐12
11‐Jan‐13
26‐Mar‐13
9‐Jan‐09
14‐Jul‐11
9‐Jan‐09
15‐Sep‐11
26‐Jun‐09
29‐Sep‐10
19‐Dec‐08
29‐Sep‐10
31‐Jul‐13
20‐Feb‐09
22‐Sep‐11
1‐May‐09
24‐Jun‐13
26‐Jul‐13
21‐Nov‐08
25‐Sep‐13
29‐Oct‐13
9‐Jan‐09
15‐Apr‐09
16‐Nov‐11
26‐Jun‐09
15‐Dec‐10
12‐Dec‐08
31‐Mar‐09
16‐Mar‐10
16‐Jan‐09
20‐May‐09
24‐Jun‐09
20‐Feb‐09
20‐Aug‐10
9‐Jan‐09
13‐Nov‐12
11‐Jan‐13
5‐Dec‐08
30‐Sep‐10
17‐Jul‐09
8‐Mar‐13
11‐Mar‐13
9‐Apr‐13
16‐Jan‐09
6‐Aug‐10
5‐Dec‐08
1‐Oct‐12
27‐Feb‐09
3‐Jul‐12
25‐Jul‐12
15‐May‐09
8‐Sep‐11
23‐Jan‐09
25‐Aug‐11
5‐Dec‐08
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
($401,960.00)
Preferred Stock w/ Exercised Warrants
$10,900,000.00
$0.00
$9,630,106.93
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,983,000.00
$0.00
$195,637.00
Currently not collectible
Subordinated Debentures w/ Exercised Warrants
$15,000,000.00
$0.00
$19,928,275.00
Redeemed, in full; warrants not outstanding
$8,966,340.00
10,900
$822.60
$10,500,000.00
$4,500,000.00
10,500,000
4,500,000
$1,100,000.00
1,100,000
($1,933,660.00)
$476,206.83
545
$1.00
$1.00
$750,000.00
750,000
$1.00
$55,000.00
55,000
$527,361.00
517,012
$205,000.00
57,671
$4,450,000.00
651,547
$98,251.45
145
$200,000.00
200
$1,400,000.00
303,083
$55,000.00
589,623
$90,000.00
90
$69,186.80
108
($89,663.40)
($5,983,000.00)
Subordinated Debentures w/ Exercised Warrants
$1,100,000.00
$0.00
$1,622,708.57
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$25,000,000.00
$0.00
$738,021.00
Currently not collectible
Preferred Stock w/ Warrants
$30,407,000.00
$0.00
$36,696,518.83
Sold, in full; warrants outstanding
Preferred Stock w/ Warrants
$108,676,000.00
$0.00
$124,916,099.34
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$1,549,000.00
$8,816,000.00
$1,549,000.00
$0.00
$0.00
$10,100,960.44
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$83,094,000.00
$0.00
$95,137,868.33
Redeemed, in full; warrants not outstanding
($25,000,000.00)
$9,000,000.00
$21,407,000.00
9,000
21,407
$1,207.10
$1,207.10
108,676
$1,863,990.00
$4,433,603.77
$1,000.00
($367,045.94)
$108,676,000.00
$8,816,000.00
Preferred Stock w/ Exercised Warrants
$2,900,000.00
$0.00
$2,697,208.51
8,816
$1,000.00
$41,547,000.00
$41,547,000.00
41,547
41,547
$1,000.00
$1,000.00
2,900
$850.00
($434,971.00)
($1,200,000.00)
Sold, in full; warrants not outstanding
$2,465,029.00
($25,000.00)
Preferred Stock w/ Warrants
$4,000,000.00
$0.00
$3,131,111.11
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$4,717,144.78
Redeemed, in full; warrants not outstanding
$2,800,000.00
$49,045,470.38
$1,000.00
($615,300.00) 2,000
$20,510.00
1,800
$1,000.00
$174,537.72
$1,315,959.00
$0.00
$67,294,638.84
64,779
$1,800,000.00
$50,000,000.00
$0.00
$1,000.00
$41,020,000.00
Preferred Stock w/ Warrants
$64,779,000.00
$700.00
4,000
$64,779,000.00
Preferred Stock w/ Warrants
4,000
$4,000,000.00
252
1,900
$692.60
$692.60
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,800,000.00
$0.00
$2,153,780.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,152,000.00
$0.00
$1,983,756.24
($8,980,000.00)
Sold, in full; warrants not outstanding
($77,462.28)
($584,041.00)
($14,904.97)
($10,095.03)
Preferred Stock w/ Exercised Warrants
$5,803,000.00
$0.00
$6,888,017.86
Preferred Stock w/ Exercised Warrants
$6,815,000.00
$0.00
$8,152,698.33
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$17,388,000.00
$0.00
$19,063,111.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$18,000,000.00
$0.00
$19,650,000.00
Redeemed, in full; warrants not outstanding
$5,803,000.00
$0.00
$14,888,679.86
$0.00
$14,543,635.13
341
17,388
$1,000.00
$522,000.00
522
18,000
$1,000.00
137,966
Redeemed, in full; warrants not outstanding
$10,750,000.00
290
$341,000.00
$50,000.00
$12,500,000.00
$290,000.00
$1,000.00
$18,000,000.00
Preferred Stock w/ Exercised Warrants
$1,000.00
6,815
$17,388,000.00
Subordinated Debentures w/ Exercised Warrants
5,803
$6,815,000.00
Sold, in full; warrants not outstanding
$12,500,000.00
12,500
$1,000.00
$10,750,000.00
10,750,000
$1.17
23,393
$998.90
$25,000,000.00
25,000
$1,000.00
$1,700,000.00
1,700,000
$1.00
$120,000,000.00
120,000
$1,000.00
$7,414,000.00
7,414
$625,000.00
625
$720,368.55
538,000
$25,000.00
172,970
$85,000.00
$1,000.00
85,000
$11,150,939.74
595,829
$275,000.00
$1,784,607.50
163,065
($125,346.08)
Preferred Stock w/ Warrants
$23,393,000.00
$0.00
$26,915,463.85
Sold, in full; warrants outstanding
$23,367,267.70
($25,732.30)
($233,672.68)
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$25,358,333.33
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$1,700,000.00
$0.00
$1,994,587.59
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$120,000,000.00
$7,414,000.00
$0.00
$0.00
$132,967,606.41
$7,816,685.55
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$8,653,000.00
$0.00
$347,164.00
Currently not collectible
Preferred Stock w/ Exercised Warrants
$3,070,000.00
$0.00
$3,575,224.44
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$347,000,000.00
$0.00
$146,965,329.86
Sold, in full; warrants not outstanding
($8,653,000.00)
$2,832,412.70
3,070
$922.60
($237,587.30)
$124,412.34
154
130,179
$1,000.00
($216,820,781.25)
$400,000.00
10,106,796
2,000
10,900
$907.30
$907.30
($185,380.00)
($1,010,321.00)
$588,264.19
645
($25,000.00)
$130,179,218.75
Preferred Stock w/ Exercised Warrants
$12,900,000.00
$0.00
$13,109,014.25
Sold, in full; warrants not outstanding
Preferred Stock
$11,000,000.00
$0.00
$11,855,555.56
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$42,750,000.00
$0.00
$51,088,046.14
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$17,299,000.00
$0.00
$19,401,361.89
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,862,000.00
$0.00
$5,718,111.14
Redeemed, in full; warrants not outstanding
$1,814,620.00
$9,889,679.00
($117,042.99)
$11,000,000.00
Preferred Stock w/ Warrants
$9,550,000.00
$0.00
$10,804,763.89
$904.00
399,970
4,862
$1,000.00
$243,000.00
243
$5,000,000.00
$5,955,472.22
($234,574.44) 17,299
$1,100,000.00
$0.00
$1,000.00
$4,862,000.00
$5,000,000.00
$1,000.00
42,750
$15,638,296.00
Preferred Stock w/ Exercised Warrants
11,000
$42,750,000.00
5,000
$1,000.00
$250,000.00
250
($1,660,704.00)
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants outstanding
32
FootNote
8
11
44,8,14
8
8
74,8,14
11,61
15,17,44
8,11
8,36,11
12,16
15,11,14
15,17,45
11
11
11
31
44
11,8,14
8,14
15
44
11
11
24,49,97
11,8,14
11
11,8,14
12,16
15,44,14
11
8,103
15,17,45
8,97,100
11
11,8,14
63,97
8,14
Institution Name
SOUTHERN MISSOURI BANCORP, INC.
SOUTHFIRST BANCSHARES, INC.
SOUTHWEST BANCORP, INC.
SOUTHWEST BANCORP, INC.
SOUTHWEST BANCORP, INC.
SOVEREIGN BANCSHARES, INC.
SOVEREIGN BANCSHARES, INC.
SPIRIT BANKCORP, INC.
SPIRIT BANKCORP, INC.
SPIRIT BANKCORP, INC.
ST. JOHNS BANCSHARES, INC.
STANDARD BANCSHARES, INC.
STANDARD BANCSHARES, INC.
STATE BANCORP, INC. / VALLEY NATIONAL BANCORP
STATE BANCORP, INC. / VALLEY NATIONAL BANCORP
STATE BANK OF BARTLEY, THE
STATE BANK OF BARTLEY, THE
STATE BANKSHARES, INC.
STATE BANKSHARES, INC.
STATE BANKSHARES, INC.
STATE CAPITAL CORP.
STATE CAPITAL CORP.
STATE STREET CORPORATION
STATE STREET CORPORATION
STATE STREET CORPORATION
STEARNS FINANCIAL SERVICES, INC.
STEARNS FINANCIAL SERVICES, INC.
STEELE STREET BANK CORPORATION
STEELE STREET BANK CORPORATION
STELLARONE CORPORATION
STELLARONE CORPORATION
STELLARONE CORPORATION
STELLARONE CORPORATION
STERLING BANCORP
STERLING BANCORP
STERLING BANCORP
STERLING BANCSHARES, INC.
STERLING BANCSHARES, INC.
STERLING BANCSHARES, INC.
STERLING FINANCIAL CORPORATION
STERLING FINANCIAL CORPORATION
STERLING FINANCIAL CORPORATION
STEWARDSHIP FINANCIAL CORPORATION
STEWARDSHIP FINANCIAL CORPORATION
STEWARDSHIP FINANCIAL CORPORATION
STOCKMENS FINANCIAL CORPORATION
STOCKMENS FINANCIAL CORPORATION
STOCKMENS FINANCIAL CORPORATION
STONEBRIDGE FINANCIAL CORP.
STONEBRIDGE FINANCIAL CORP.
STONEBRIDGE FINANCIAL CORP.
STONEBRIDGE FINANCIAL CORP.
SUBURBAN ILLINOIS BANCORP, INC.
SUMMIT STATE BANK
SUMMIT STATE BANK
SUMMIT STATE BANK
SUN BANCORP, INC.
SUN BANCORP, INC.
SUN BANCORP, INC.
SUNTRUST BANKS, INC.
SUNTRUST BANKS, INC.
SUNTRUST BANKS, INC.
SUNTRUST BANKS, INC.
SUPERIOR BANCORP INC.
SUPERIOR BANCORP INC.
SURREY BANCORP
SURREY BANCORP
SUSQUEHANNA BANCSHARES, INC.
SUSQUEHANNA BANCSHARES, INC.
SUSQUEHANNA BANCSHARES, INC.
SUSQUEHANNA BANCSHARES, INC.
SV FINANCIAL, INC.
SV FINANCIAL, INC.
SVB FINANCIAL GROUP
SVB FINANCIAL GROUP
SVB FINANCIAL GROUP
SWORD FINANCIAL CORPORATION
SWORD FINANCIAL CORPORATION
SYNOVUS FINANCIAL CORP.
SYNOVUS FINANCIAL CORP.
SYRINGA BANCORP
SYRINGA BANCORP
TAYLOR CAPITAL GROUP
TAYLOR CAPITAL GROUP
TAYLOR CAPITAL GROUP
TCB CORPORATION/COUNTY BANK
TCB CORPORATION/COUNTY BANK
TCB HOLDING COMPANY
TCB HOLDING COMPANY
TCF FINANCIAL CORPORATION
TCF FINANCIAL CORPORATION
TCF FINANCIAL CORPORATION
TCNB FINANCIAL CORP
TCNB FINANCIAL CORP
TENNESSEE COMMERCE BANCORP, INC.
TENNESSEE COMMERCE BANCORP, INC.
TENNESSEE VALLEY FINANCIAL HOLDINGS, INC.
TENNESSEE VALLEY FINANCIAL HOLDINGS, INC.
TENNESSEE VALLEY FINANCIAL HOLDINGS, INC.
City
POPLAR BLUFF
SYLACAUGA
STILLWATER
STILLWATER
STILLWATER
DALLAS
DALLAS
BRISTOW
BRISTOW
BRISTOW
ST. LOUIS
HICKORY HILLS
HICKORY HILLS
JERICHO
JERICHO
BARTLEY
BARTLEY
FARGO
FARGO
FARGO
GREENWOOD
GREENWOOD
BOSTON
BOSTON
BOSTON
ST. CLOUD
ST. CLOUD
DENVER
DENVER
CHARLOTTESVILLE
CHARLOTTESVILLE
CHARLOTTESVILLE
CHARLOTTESVILLE
NEW YORK
NEW YORK
NEW YORK
HOUSTON
HOUSTON
HOUSTON
SPOKANE
SPOKANE
SPOKANE
MIDLAND PARK
MIDLAND PARK
MIDLAND PARK
RAPID CITY
RAPID CITY
RAPID CITY
WEST CHESTER
WEST CHESTER
WEST CHESTER
WEST CHESTER
ELMHURST
SANTA ROSA
SANTA ROSA
SANTA ROSA
VINELAND
VINELAND
VINELAND
ATLANTA
ATLANTA
ATLANTA
ATLANTA
BIRMINGHAM
BIRMINGHAM
MOUNT AIRY
MOUNT AIRY
LITITZ
LITITZ
LITITZ
LITITZ
STERLING
STERLING
SANTA CLARA
SANTA CLARA
SANTA CLARA
HORICON
HORICON
COLUMBUS
COLUMBUS
BOISE
BOISE
ROSEMONT
ROSEMONT
ROSEMONT
GREENWOOD
GREENWOOD
THE WOODLANDS
THE WOODLANDS
WAYZATA
WAYZATA
WAYZATA
DAYTON
DAYTON
FRANKLIN
FRANKLIN
OAK RIDGE
OAK RIDGE
OAK RIDGE
State
MO
AL
OK
OK
OK
TX
TX
OK
OK
OK
MO
IL
IL
NY
NY
NE
NE
ND
ND
ND
MS
MS
MA
MA
MA
MN
MN
CO
CO
VA
VA
VA
VA
NY
NY
NY
TX
TX
TX
WA
WA
WA
NJ
NJ
NJ
SD
SD
SD
PA
PA
PA
PA
IL
CA
CA
CA
NJ
NJ
NJ
GA
GA
GA
GA
AL
AL
NC
NC
PA
PA
PA
PA
IL
IL
CA
CA
CA
WI
WI
GA
GA
ID
ID
IL
IL
IL
SC
SC
TX
TX
MN
MN
MN
OH
OH
TN
TN
TN
TN
TN
Date
21‐Jul‐11
12‐Jun‐09
5‐Dec‐08
8‐Aug‐12
29‐May‐13
13‐Mar‐09
22‐Sep‐11
27‐Mar‐09
21‐Oct‐13
6‐Jan‐14
13‐Mar‐09
24‐Apr‐09
22‐Feb‐13
5‐Dec‐08
14‐Dec‐11
4‐Sep‐09
22‐Sep‐11
16‐Jan‐09
12‐Aug‐09
29‐Jun‐11
13‐Feb‐09
29‐Sep‐10
28‐Oct‐08
17‐Jun‐09
8‐Jul‐09
26‐Jun‐09
18‐Jan‐12
25‐Sep‐09
1‐Sep‐11
19‐Dec‐08
13‐Apr‐11
28‐Dec‐11
18‐Dec‐13
23‐Dec‐08
27‐Apr‐11
18‐May‐11
12‐Dec‐08
5‐May‐09
15‐Jun‐10
5‐Dec‐08
20‐Aug‐12
19‐Sep‐12
30‐Jan‐09
1‐Sep‐11
26‐Oct‐11
6‐Feb‐09
12‐Jan‐11
16‐Mar‐11
23‐Jan‐09
26‐Mar‐13
27‐Mar‐13
9‐Apr‐13
19‐Jun‐09
19‐Dec‐08
4‐Aug‐11
14‐Sep‐11
9‐Jan‐09
8‐Apr‐09
27‐May‐09
14‐Nov‐08
31‐Dec‐08
30‐Mar‐11
28‐Sep‐11
5‐Dec‐08
15‐Apr‐11
9‐Jan‐09
29‐Dec‐10
12‐Dec‐08
21‐Apr‐10
22‐Dec‐10
19‐Jan‐11
10‐Apr‐09
31‐Aug‐11
12‐Dec‐08
23‐Dec‐09
16‐Jun‐10
8‐May‐09
15‐Sep‐11
19‐Dec‐08
26‐Jul‐13
16‐Jan‐09
31‐Jan‐14
21‐Nov‐08
19‐Jun‐12
18‐Jul‐12
28‐Aug‐09
8‐Sep‐11
16‐Jan‐09
13‐Dec‐13
14‐Nov‐08
22‐Apr‐09
21‐Dec‐09
23‐Dec‐08
3‐Aug‐11
19‐Dec‐08
27‐Jan‐12
23‐Dec‐08
26‐Apr‐13
29‐Apr‐13
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
Avg. Price
$9,550,000.00
$364,796.34
$85,247,569.91
$18,215,000.00
$0.00
$21,632,668.61
18,215
$300.00
Amount
$1,000.00
30,000
Warrant Proceeds
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Gain5
$1,000.00
$9,000,000.00
$2,760,000.00
$0.00
70,000
$18,215,000.00
$2,760,000.00
$70,000,000.00
(Realized Loss) /
(Write‐off)
$1,000.00
$70,000,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
9,550
Redeemed, in full; warrants not outstanding
$2,287,197.00
Preferred Stock w/ Exercised Warrants
$30,000,000.00
$0.00
$11,803,691.75
703,753
$911,000.00
911
$631,941.75
1,500
51,000
Sold, in full; warrants not outstanding
($21,000,000.00)
($90,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$3,000,000.00
$60,000,000.00
$3,000,000.00
$0.00
$987,408.00
$75,757,163.03
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$60,000,000.00
$36,842,000.00
$0.00
$42,414,352.50
12,903,226
$1,432.56
$36,842,000.00
Preferred Stock w/ Warrants
36,842
$1,000.00
$3,000,000.00
Redeemed, in full; warrants outstanding
Subordinated Debentures w/ Exercised Warrants
$1,697,000.00
$0.00
$2,030,299.18
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$50,000,000.00
$0.00
$58,008,472.23
Redeemed, in full; warrants not outstanding
$1,697,000.00
$2,500,000.00
250
$1,000.00
$750,000.00
750
20,000
$100,000.00
$60,000,000.00
2,788,104
24,900,000
$1.00
$1,245,000.00
1,245,000
$11,019,000.00
11,019,000
$1.00
$331,000.00
331,000
$7,500,000.00
$22,500,000.00
7,500
22,500
$1,000.00
$1,000.00
$2,920,000.00
302,623
$42,000,000.00
42,000
$1,000.00
$125,198,000.00
$17,080,708.67
15,000
$24,900,000.00
$0.00
$51,000.00
$1,000.00
$1,000.00
$2,000,000,000.00
$15,000,000.00
$1.00
12,500
37,500
$15,000,000.00
Preferred Stock w/ Exercised Warrants
1,697,000
$12,500,000.00
$37,500,000.00
125,198
$1,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$2,000,000,000.00
$0.00
$2,123,611,111.12
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$24,900,000.00
$0.00
$31,495,442.29
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$11,019,000.00
$30,000,000.00
$42,000,000.00
$0.00
$0.00
$0.00
$13,078,672.60
$37,191,875.00
$47,869,108.33
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$945,775.00
133,475
$778,000.00
778
$130,704.17
$8,358.99
516
33
$315,000.00
239,212
$2,100,000.00
1,620,545
$30,066,661.40
17,900,182
$100,000.00
100
$5,269,179.36
$130,542,485.91
97,541
$107,398.00
$0.00
2,615,557
$825,000.00
$125,198,000.00
516,817
$2,857,914.52
Preferred Stock w/ Warrants
3,028,264
$200,000.00
200
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$303,000,000.00
$0.00
$121,757,209.63
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$10,000,000.00
$0.00
$11,400,453.22
Redeemed, in full; warrants not outstanding
$114,772,740.00
$2,652,816.96
$1,000.00
$1,000.00
10,351
622
$173.50
$173.50
8,500
$1,000.00
$89,310,000.00
$0.00
$18,101,553.84
4,000
11,568
$8,500,000.00
$10,973,000.00
$0.00
$1,000.00
$1,796,209.03
$107,935.66
Preferred Stock w/ Exercised Warrants
$15,568,000.00
$20.00
10,000
$4,000,000.00
$11,568,000.00
Preferred Stock w/ Exercised Warrants
($1,434,659.25)
5,738,637
$10,000,000.00
89,310
($188,227,260.00)
$1,000.00
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($8,554,790.97)
($514,064.34)
($25,000.00)
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
$15,000,000.00
$8,500,000.00
$15,000,000.00
$0.00
$2,083,520.25
$9,930,625.00
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$89,310,000.00
$0.00
$92,513,970.83
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$3,500,000,000.00
$1,350,000,000.00
$0.00
$5,448,052,772.51
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$69,000,000.00
$0.00
$4,983,333.33
Currently not collectible
Preferred Stock w/ Exercised Warrants
$2,000,000.00
$0.00
$2,314,972.22
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$300,000,000.00
$0.00
$328,991,401.58
Redeemed, in full; warrants not outstanding
$4,850,000,000.00
48,500
$100,000.00
($69,000,000.00)
$2,000,000.00
235,000
$1,000.00
13,644,000
$1.00
967,870
$1,000.00
$93,659,350.50
($1,404,890.26) 104,823
$893.50
$9,720,000.00
9,720,000
$1.00
Redeemed, in full; warrants not outstanding
$253,929,027.78
$1,000.00
$967,870,000.00
$4,721,382.89
$0.00
4,000
$13,644,000.00
$0.00
$235,000,000.00
$1,000.00
$1,000.00
$235,000,000.00
$4,000,000.00
Preferred Stock w/ Warrants
$1,000.00
200,000
100,000
$4,000,000.00
Preferred Stock w/ Exercised Warrants
2,000
$200,000,000.00
$100,000,000.00
Redeemed, in full; warrants not outstanding
$6,820,000.00
$0.00
$17,019,233.91
$0.00
$1,190,614,526.39
$8,000,000.00
$0.00
$253,122.22
$104,823,000.00
$0.00
$120,845,170.80
1,462,647
292,000
3,199,988
$100,000.00
100
$19,218.87
$124,922.63
20
130
Currently not collectible
Preferred Stock w/ Warrants
$292,000.00
Redeemed, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
354,058
Redeemed, in full; warrants not outstanding
$967,870,000.00
682,000
$9,449,980.56
$13,644,000.00
Preferred Stock w/ Warrants
$682,000.00
$9,839,273.00
Subordinated Debentures w/ Exercised Warrants
Sold, in full; warrants not outstanding
($8,000,000.00)
Subordinated Debentures w/ Exercised Warrants
$9,720,000.00
$0.00
$11,611,381.34
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$11,730,000.00
$0.00
$690,832.08
($11,163,649.50)
Currently not collectible
($11,730,000.00)
Preferred Stock w/ Warrants
$361,172,000.00
$0.00
$378,547,699.45
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,000,000.00
$0.00
$2,384,611.11
Redeemed, in full; warrants not outstanding
$361,172,000.00
$30,000,000.00
$0.00
$3,233,333.33
$1,000.00
$2,000,000.00
Preferred Stock w/ Warrants
361,172
2,000
$1,000.00
Currently not collectible
($30,000,000.00)
Preferred Stock w/ Exercised Warrants
$3,000,000.00
$0.00
$3,331,713.17
Sold, in full; warrants not outstanding
$298,000.00
$2,702,000.00
298
2,702
$1,022.10
$1,022.10
$6,588.78
$59,741.22
33
FootNote
11
11,8,14
44,8,14
12,16
8
11
8,14
44
11
11,36
11,8,14
11,8,14
11
8,44,14
8,14
11
44,8,14
8,14
8,18,21,44
8,21
8,47,97
11,8,14
8
45
8
44,8,14
44,8,14
8,14
11,8,9
11,8
8,14,18
11
Institution Name
TENNESSEE VALLEY FINANCIAL HOLDINGS, INC.
TEXAS CAPITAL BANCSHARES, INC.
TEXAS CAPITAL BANCSHARES, INC.
TEXAS CAPITAL BANCSHARES, INC.
TEXAS NATIONAL BANCORPORATION INC.
TEXAS NATIONAL BANCORPORATION INC.
THE ANB CORPORATION
THE ANB CORPORATION
THE BANCORP, INC.
THE BANCORP, INC.
THE BANCORP, INC.
THE BANK OF CURRITUCK
THE BANK OF CURRITUCK
THE BANK OF KENTUCKY FINANCIAL CORPORATION
THE BANK OF KENTUCKY FINANCIAL CORPORATION
THE BANK OF KENTUCKY FINANCIAL CORPORATION
THE BANK OF KENTUCKY FINANCIAL CORPORATION
THE BARABOO BANCORPORATION, INC.
THE BARABOO BANCORPORATION, INC.
THE BARABOO BANCORPORATION, INC.
THE BARABOO BANCORPORATION, INC.
THE CONNECTICUT BANK AND TRUST COMPANY
THE CONNECTICUT BANK AND TRUST COMPANY
THE ELMIRA SAVINGS BANK, FSB
THE ELMIRA SAVINGS BANK, FSB
THE FIRST BANCORP, INC.
THE FIRST BANCORP, INC.
THE FIRST BANCORP, INC.
THE FIRST BANCORP, INC.
THE FIRST BANCSHARES, INC.
THE FIRST BANCSHARES, INC.
THE FIRST STATE BANK OF MOBEETIE
THE FIRST STATE BANK OF MOBEETIE
THE FREEPORT STATE BANK
THE FREEPORT STATE BANK
THE HARTFORD FINANCIAL SERVICES GROUP, INC.
THE HARTFORD FINANCIAL SERVICES GROUP, INC.
THE HARTFORD FINANCIAL SERVICES GROUP, INC.
THE LANDRUM COMPANY
THE LANDRUM COMPANY
THE LITTLE BANK, INCORPORATED
THE LITTLE BANK, INCORPORATED
THE LITTLE BANK, INCORPORATED
THE PNC FINANCIAL SERVICES GROUP, INC.
THE PNC FINANCIAL SERVICES GROUP, INC.
THE PNC FINANCIAL SERVICES GROUP, INC.
THE PRIVATE BANK OF CALIFORNIA
THE PRIVATE BANK OF CALIFORNIA
THE QUEENSBOROUGH COMPANY
THE QUEENSBOROUGH COMPANY
THE QUEENSBOROUGH COMPANY
THE QUEENSBOROUGH COMPANY
THE VICTORY BANCORP, INC.
THE VICTORY BANCORP, INC.
THE VICTORY BANCORP, INC.
THREE SHORES BANCORPORATION, INC.
THREE SHORES BANCORPORATION, INC.
THREE SHORES BANCORPORATION, INC.
THREE SHORES BANCORPORATION, INC.
TIB FINANCIAL CORP
TIB FINANCIAL CORP
TIDELANDS BANCSHARES, INC.
TIFTON BANKING COMPANY
TIFTON BANKING COMPANY
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TITONKA BANCSHARES, INC.
TITONKA BANCSHARES, INC.
TODD BANCSHARES, INC.
TODD BANCSHARES, INC.
TOWNEBANK
TOWNEBANK
TOWNEBANK
TREATY OAK BANCORP, INC.
TREATY OAK BANCORP, INC.
TREATY OAK BANCORP, INC.
TRIAD BANCORP, INC.
TRIAD BANCORP, INC.
TRI‐COUNTY FINANCIAL CORPORATION
TRI‐COUNTY FINANCIAL CORPORATION
TRINITY CAPITAL CORPORATION
TRINITY CAPITAL CORPORATION
TRINITY CAPITAL CORPORATION
TRINITY CAPITAL CORPORATION
TRINITY CAPITAL CORPORATION
TRI‐STATE BANK OF MEMPHIS
TRI‐STATE BANK OF MEMPHIS
TRISTATE CAPITAL HOLDINGS, INC.
TRISTATE CAPITAL HOLDINGS, INC.
TRISUMMIT BANK
TRISUMMIT BANK
TRISUMMIT BANK
TRISUMMIT BANK
TRUSTMARK CORPORATION
TRUSTMARK CORPORATION
City
OAK RIDGE
DALLAS
DALLAS
DALLAS
JACKSONVILLE
JACKSONVILLE
TERRELL
TERRELL
WILMINGTON
WILMINGTON
WILMINGTON
MOYOCK
MOYOCK
CRESTVIEW HILLS
CRESTVIEW HILLS
CRESTVIEW HILLS
CRESTVIEW HILLS
BARABOO
BARABOO
BARABOO
BARABOO
HARTFORD
HARTFORD
ELMIRA
ELMIRA
DAMARISCOTTA
DAMARISCOTTA
DAMARISCOTTA
DAMARISCOTTA
HATTIESBURG
HATTIESBURG
MOBEETIE
MOBEETIE
HARPER
HARPER
HARTFORD
HARTFORD
HARTFORD
COLUMBIA
COLUMBIA
KINSTON
KINSTON
KINSTON
PITTSBURGH
PITTSBURGH
PITTSBURGH
LOS ANGELES
LOS ANGELES
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOUISVILLE
LIMERICK
LIMERICK
LIMERICK
ORLANDO
ORLANDO
ORLANDO
ORLANDO
NAPLES
NAPLES
MT. PLEASANT
TIFTON
TIFTON
HOQUIAM
HOQUIAM
HOQUIAM
HOQUIAM
HOQUIAM
HOQUIAM
TITONKA
TITONKA
HOPKINSVILLE
HOPKINSVILLE
PORTSMOUTH
PORTSMOUTH
PORTSMOUTH
AUSTIN
AUSTIN
AUSTIN
FRONTENAC
FRONTENAC
WALDORF
WALDORF
LOS ALAMOS
LOS ALAMOS
LOS ALAMOS
LOS ALAMOS
LOS ALAMOS
MEMPHIS
MEMPHIS
PITTSBURGH
PITTSBURGH
KINGSPORT
KINGSPORT
KINGSPORT
KINGSPORT
JACKSON
JACKSON
State
TN
TX
TX
TX
TX
TX
TX
TX
DE
DE
DE
NC
NC
KY
KY
KY
KY
WI
WI
WI
WI
CT
CT
NY
NY
ME
ME
ME
ME
MS
MS
TX
TX
KS
KS
CT
CT
CT
MO
MO
NC
NC
NC
PA
PA
PA
CA
CA
GA
GA
GA
GA
PA
PA
PA
FL
FL
FL
FL
FL
FL
SC
GA
GA
WA
WA
WA
WA
WA
WA
IA
IA
KY
KY
VA
VA
VA
TX
TX
TX
MO
MO
MD
MD
NM
NM
NM
NM
NM
TN
TN
PA
PA
TN
TN
TN
TN
MS
MS
Date
31‐May‐13
16‐Jan‐09
13‐May‐09
17‐Mar‐10
9‐Jan‐09
19‐May‐10
7‐Aug‐09
25‐Aug‐11
12‐Dec‐08
10‐Mar‐10
8‐Sep‐10
6‐Feb‐09
3‐Dec‐10
13‐Feb‐09
22‐Dec‐10
23‐Nov‐11
29‐May‐13
16‐Jan‐09
10‐Dec‐12
11‐Dec‐12
11‐Jan‐13
19‐Dec‐08
19‐Apr‐12
19‐Dec‐08
25‐Aug‐11
9‐Jan‐09
24‐Aug‐11
27‐Mar‐13
8‐May‐13
6‐Feb‐09
29‐Sep‐10
27‐Feb‐09
14‐Apr‐10
6‐Feb‐09
19‐Dec‐12
26‐Jun‐09
31‐Mar‐10
27‐Sep‐10
22‐May‐09
18‐Aug‐11
23‐Dec‐08
31‐Oct‐12
11‐Jan‐13
31‐Dec‐08
10‐Feb‐10
5‐May‐10
20‐Feb‐09
1‐Sep‐11
9‐Jan‐09
8‐Mar‐13
11‐Mar‐13
9‐Apr‐13
27‐Feb‐09
11‐Dec‐09
22‐Sep‐11
23‐Jan‐09
8‐Nov‐12
9‐Nov‐12
11‐Jan‐13
5‐Dec‐08
30‐Sep‐10
19‐Dec‐08
17‐Apr‐09
12‐Nov‐10
23‐Dec‐08
8‐Nov‐12
9‐Nov‐12
13‐Nov‐12
11‐Jan‐13
11‐Jun‐13
3‐Apr‐09
4‐Apr‐12
6‐Feb‐09
25‐Sep‐13
12‐Dec‐08
22‐Sep‐11
15‐May‐13
16‐Jan‐09
15‐Feb‐11
21‐Dec‐12
27‐Mar‐09
22‐Sep‐11
19‐Dec‐08
22‐Sep‐11
27‐Mar‐09
7‐Aug‐12
9‐Aug‐12
10‐Aug‐12
11‐Sep‐12
3‐Apr‐09
13‐Aug‐10
27‐Feb‐09
26‐Sep‐12
3‐Apr‐09
22‐Dec‐09
29‐Nov‐12
11‐Jan‐13
21‐Nov‐08
9‐Dec‐09
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
($25,000.00)
Preferred Stock w/ Warrants
$75,000,000.00
$0.00
$82,777,816.21
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,981,000.00
$0.00
$4,475,307.67
Redeemed, in full; warrants not outstanding
$75,000,000.00
75,000
$1,000.00
$3,981,000.00
3,981
$1,000.00
$199,000.00
199
$20,000,000.00
20,000
$1,000.00
$1,000,000.00
1,000
$45,220,000.00
45,220
$1,000.00
$4,753,984.55
980,203
$1,742,850.00
4,021
$433.40
$17,000,000.00
$17,000,000.00
17,000
17,000
$1,000.00
$1,000.00
$2,150,648.55
276,078
$1,956,900.00
$11,577,672.70
3,000
17,749
$652.30
$652.30
$403,161.92
$455,316.35
487
550
$792,783.00
175,742
$6,559,066.21
Preferred Stock w/ Exercised Warrants
$20,000,000.00
$0.00
$23,234,499.98
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$45,220,000.00
$0.00
$52,787,673.44
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,021,000.00
$0.00
$1,912,684.00
758,086
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$34,000,000.00
$0.00
$40,091,342.55
Preferred Stock w/ Exercised Warrants
$20,749,000.00
$0.00
$18,023,831.85
($2,278,150.00)
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($1,043,100.00)
($6,171,327.30)
($135,345.73)
Preferred Stock w/ Warrants
$5,448,000.00
$0.00
$6,902,866.33
Redeemed, in full; warrants not outstanding
$5,448,000.00
$1,000.00
12,500
2,500
10,000
$1,000.00
$1,000.00
$1,000.00
5,000
$1,000.00
$731,000.00
731
$1,000.00
$37,000.00
37
$301,000.00
301
$1,000.00
$15,000.00
15
$706,264,559.89
52,093,973
$750,000.00
750
$371,250.00
375
$320,372,284.16
$10,309,575.00
16,885,192
$273,000.00
273
$4,806.45
$571,967.55
5
595
$61,000.00
61
Redeemed, in full; warrants outstanding
$29,332,986.11
$1,000.00
$5,000,000.00
$0.00
$0.00
9,090
$12,500,000.00
$2,500,000.00
$10,000,000.00
$9,090,000.00
$25,000,000.00
5,448
$9,090,000.00
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Redeemed, in full; warrants outstanding
Preferred Stock w/ Warrants
$5,000,000.00
$0.00
$5,411,805.56
Redeemed, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$731,000.00
$0.00
$813,086.56
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$301,000.00
$0.00
$379,458.89
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$3,400,000,000.00
$0.00
$4,236,125,671.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$15,000,000.00
$0.00
$17,580,291.55
Redeemed, in full; warrants not outstanding
$3,400,000,000.00
$981.20
75,792
$100,000.00
5,450
$1,000.00
$244,225.00
$11,478,575.00
250
11,750
$976.90
$976.90
$2,046,000.00
2,046
$1,000.00
$1,165,528.32
$3,877,691.40
1,312
4,365
$888.40
$888.40
($146,471.68)
($487,308.60)
$282,284.64
284
$12,119,637.37
12,120
$1,000.00
($24,880,362.63)
$40,000.00
1,106,389
$3,290,437.50
$1,580,962.50
$9,481,462.50
3,815
1,833
10,993
$862.50
$862.50
$862.50
$1,301,856.00
370,899
$2,117,000.00
2,117
$1,000.00
$106,000.00
106
$4,000,000.00
4,000
$1,000.00
$200,000.00
200
$76,458,000.00
76,458
$1,000.00
$1,500,000.00
554,330
$500,000.00
$150,000.00
$9,232,652.17
7,500
$5,450,000.00
$0.00
$1,000.00
$7,579,200,000.00
$7,500,000.00
$1,000.00
15,000
$7,359,000.00
Preferred Stock w/ Exercised Warrants
3,400,000
$15,000,000.00
3,118
150,000
$155.47
$1.00
Sold, in full; warrants not outstanding
($141,000.00)
($73,590.00)
Preferred Stock w/ Warrants
$7,579,200,000.00
$0.00
$8,320,638,950.83
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,450,000.00
$0.00
$6,474,752.14
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,000,000.00
$0.00
$13,065,246.00
Sold, in full; warrants not outstanding
($5,775.00)
($271,425.00)
($117,228.00)
Preferred Stock w/ Exercised Warrants
$541,000.00
$1,505,000.00
$0.00
$2,322,183.20
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,677,000.00
$0.00
$6,449,130.64
Sold, in full; warrants not outstanding
($50,432.20)
Preferred Stock w/ Warrants
$37,000,000.00
$0.00
$13,444,359.59
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$14,448,000.00
$3,800,000.00
$14,448,000.00
$0.00
$1,195,973.33
$223,208.00
Full investment outstanding; warrants outstanding
Exited bankruptcy/receivership
Preferred Stock w/ Warrants
$16,641,000.00
$0.00
$18,857,818.52
Sold, in full; warrants not outstanding
($3,800,000.00)
($524,562.50)
($252,037.50)
($1,511,537.50)
($143,528.63)
Preferred Stock w/ Exercised Warrants
$2,117,000.00
$0.00
$2,569,490.36
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$5,210,672.22
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$76,458,000.00
$0.00
$88,577,166.67
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$3,268,000.00
$0.00
$842,415.03
Sold, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$3,700,000.00
$0.00
$4,386,324.64
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$15,540,000.00
$0.00
$18,653,115.75
($2,618,000.00)
Redeemed, in full; warrants not outstanding
$3,700,000.00
$35,539,000.00
$0.00
$34,644,476.74
$1,000.00
$185,000.00
185
15,540
$1,000.00
$777,000.00
777
$2,639,379.50
$7,038,845.50
$16,984,909.75
Preferred Stock w/ Exercised Warrants
3,700
$15,540,000.00
3,518
9,382
22,639
$750.20
$750.20
$750.20
$163,062.90
$1,300,776.05
$191,948.33
175
1,396
206
$1,150,000.00
1,150
$124,665.75
138
Sold, in full; warrants not outstanding
($878,620.50)
($2,343,154.50)
($5,654,090.25)
($266,631.35)
Preferred Stock
$2,795,000.00
$0.00
$2,985,215.11
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$23,000,000.00
$0.00
$28,642,402.33
Redeemed, in full; warrants not outstanding
$2,795,000.00
$2,765,000.00
$4,237,000.00
$0.00
$6,496,417.16
$1,000.00
23,000
$1,000.00
$5,251,500.00
Preferred Stock w/ Warrants
2,795
$23,000,000.00
7,002
$750.00
215,000
$1,000.00
Sold, in full; warrants not outstanding
($1,750,500.00)
($52,515.00)
Preferred Stock w/ Warrants
$215,000,000.00
$0.00
$236,287,500.00
Redeemed, in full; warrants not outstanding
$215,000,000.00
34
FootNote
44,8,14
11
8
44,8,14
22,97
12,16
8,14,18,44,45
8,17,11
12,16,25
8
11,36
15,11,14
44,11,8
11
8
11,9,15
8
11,8
11,8,14
8
11
8,44,14
11
8,41,44
11
8,17
11,8,14
45,8,14
8,17,11
11
Institution Name
TRUSTMARK CORPORATION
TWO RIVERS FINANCIAL GROUP, INC.
TWO RIVERS FINANCIAL GROUP, INC.
U.S. BANCORP
U.S. BANCORP
U.S. BANCORP
U.S. CENTURY BANK
UBT BANCSHARES, INC.
UBT BANCSHARES, INC.
UCBH HOLDINGS INC.
UCBH HOLDINGS INC.
UMPQUA HOLDINGS CORP.
UMPQUA HOLDINGS CORP.
UMPQUA HOLDINGS CORP.
UNION BANK & TRUST COMPANY
UNION BANK & TRUST COMPANY
UNION BANK & TRUST COMPANY
UNION FINANCIAL CORPORATION
UNION FINANCIAL CORPORATION
UNION FINANCIAL CORPORATION
UNION FIRST MARKET BANKSHARES CORPORATION
UNION FIRST MARKET BANKSHARES CORPORATION
UNION FIRST MARKET BANKSHARES CORPORATION
UNITED AMERICAN BANK
UNITED AMERICAN BANK
UNITED AMERICAN BANK
UNITED BANCORP, INC.
UNITED BANCORP, INC.
UNITED BANCORP, INC.
UNITED BANCORPORATION OF ALABAMA, INC.
UNITED BANCORPORATION OF ALABAMA, INC.
UNITED BANK CORPORATION
UNITED BANK CORPORATION
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED FINANCIAL BANKING COMPANIES, INC.
UNITED FINANCIAL BANKING COMPANIES, INC.
UNITED FINANCIAL BANKING COMPANIES, INC.
UNITY BANCORP, INC.
UNITY BANCORP, INC.
UNITY BANCORP, INC.
UNITY BANCORP, INC.
UNIVERSAL BANCORP
UNIVERSAL BANCORP
UNIVERSAL BANCORP
UNIVERSAL BANCORP
UNIVERSITY FINANCIAL CORP.
UNIVERSITY FINANCIAL CORP.
US METRO BANK
UWHARRIE CAPITAL CORP
UWHARRIE CAPITAL CORP
UWHARRIE CAPITAL CORP
VALLEY COMMERCE BANCORP
VALLEY COMMERCE BANCORP
VALLEY COMMUNITY BANK
VALLEY COMMUNITY BANK
VALLEY COMMUNITY BANK
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL GROUP, LTD.
VALLEY FINANCIAL GROUP, LTD.
VALLEY NATIONAL BANCORP
VALLEY NATIONAL BANCORP
VALLEY NATIONAL BANCORP
VALLEY NATIONAL BANCORP
VALLEY NATIONAL BANCORP
VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY)
VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY)
VILLAGE BANK AND TRUST FINANCIAL CORP.
VILLAGE BANK AND TRUST FINANCIAL CORP.
VILLAGE BANK AND TRUST FINANCIAL CORP.
VIRGINIA COMMERCE BANCORP, INC.
VIRGINIA COMMERCE BANCORP, INC.
VIRGINIA COMMERCE BANCORP, INC.
VIRGINIA COMPANY BANK
VIRGINIA COMPANY BANK
VIRGINIA COMPANY BANK
VIRGINIA COMPANY BANK
VISION BANK ‐ TEXAS
VISION BANK ‐ TEXAS
VISION BANK ‐ TEXAS
VIST FINANCIAL CORP.
VIST FINANCIAL CORP.
W.T.B. FINANCIAL CORPORATION
W.T.B. FINANCIAL CORPORATION
WACHUSETT FINANCIAL SERVICES, INC.
WACHUSETT FINANCIAL SERVICES, INC.
WACHUSETT FINANCIAL SERVICES, INC.
WACHUSETT FINANCIAL SERVICES, INC.
WAINWRIGHT BANK & TRUST COMPANY
City
JACKSON
BURLINGTON
BURLINGTON
MINNEAPOLIS
MINNEAPOLIS
MINNEAPOLIS
MIAMI
MARYSVILLE
MARYSVILLE
SAN FRANCISCO
SAN FRANCISCO
PORTLAND
PORTLAND
PORTLAND
OXFORD
OXFORD
OXFORD
ALBUQUERQUE
ALBUQUERQUE
ALBUQUERQUE
BOWLING GREEN
BOWLING GREEN
BOWLING GREEN
SAN MATEO
SAN MATEO
SAN MATEO
TECUMSEH
TECUMSEH
TECUMSEH
ATMORE
ATMORE
BARNESVILLE
BARNESVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
VIENNA
VIENNA
VIENNA
CLINTON
CLINTON
CLINTON
CLINTON
BLOOMFIELD
BLOOMFIELD
BLOOMFIELD
BLOOMFIELD
ST. PAUL
ST. PAUL
GARDEN GROVE
ALBEMARLE
ALBEMARLE
ALBEMARLE
VISALIA
VISALIA
PLEASANTON
PLEASANTON
PLEASANTON
ROANOKE
ROANOKE
ROANOKE
ROANOKE
ROANOKE
ROANOKE
ROANOKE
SAGINAW
SAGINAW
WAYNE
WAYNE
WAYNE
WAYNE
WAYNE
DALLAS
DALLAS
MIDLOTHIAN
MIDLOTHIAN
MIDLOTHIAN
ARLINGTON
ARLINGTON
ARLINGTON
NEWPORT NEWS
NEWPORT NEWS
NEWPORT NEWS
NEWPORT NEWS
RICHARDSON
RICHARDSON
RICHARDSON
WYOMISSING
WYOMISSING
SPOKANE
SPOKANE
CLINTON
CLINTON
CLINTON
CLINTON
BOSTON
State
MS
IA
IA
MN
MN
MN
FL
KS
KS
CA
CA
OR
OR
OR
NC
NC
NC
NM
NM
NM
VA
VA
VA
CA
CA
CA
MI
MI
MI
AL
AL
GA
GA
GA
GA
GA
GA
GA
GA
VA
VA
VA
NJ
NJ
NJ
NJ
IN
IN
IN
IN
MN
MN
CA
NC
NC
NC
CA
CA
CA
CA
CA
VA
VA
VA
VA
VA
VA
VA
MI
MI
NJ
NJ
NJ
NJ
NJ
TX
TX
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
TX
TX
TX
PA
PA
WA
WA
MA
MA
MA
MA
MA
Date
30‐Dec‐09
29‐May‐09
1‐Sep‐11
14‐Nov‐08
17‐Jun‐09
15‐Jul‐09
7‐Aug‐09
30‐Jan‐09
11‐Aug‐11
14‐Nov‐08
6‐Nov‐09
14‐Nov‐08
17‐Feb‐10
31‐Mar‐10
1‐May‐09
18‐Dec‐09
22‐Sep‐11
29‐Dec‐09
25‐Jul‐12
2‐Oct‐13
19‐Dec‐08
18‐Nov‐09
23‐Dec‐09
20‐Feb‐09
2‐Jul‐14
26‐Sep‐14
16‐Jan‐09
19‐Jun‐12
18‐Jul‐12
23‐Dec‐08
3‐Sep‐10
22‐May‐09
3‐Jul‐12
5‐Dec‐08
26‐Mar‐13
27‐Mar‐13
28‐Mar‐13
9‐Apr‐13
10‐Jun‐13
16‐Jan‐09
15‐Dec‐10
15‐Sep‐11
5‐Dec‐08
15‐May‐13
3‐Jul‐13
28‐Aug‐13
22‐May‐09
8‐Aug‐13
12‐Aug‐13
12‐Sep‐13
19‐Jun‐09
30‐Jul‐10
6‐Feb‐09
23‐Dec‐08
3‐Apr‐13
16‐Oct‐13
30‐Jan‐09
21‐Mar‐12
9‐Jan‐09
21‐Oct‐13
6‐Jan‐14
12‐Dec‐08
14‐Nov‐12
20‐Feb‐13
15‐May‐13
14‐Aug‐13
16‐Oct‐13
13‐Nov‐13
18‐Dec‐09
22‐Sep‐11
14‐Nov‐08
3‐Jun‐09
23‐Sep‐09
23‐Dec‐09
24‐May‐10
26‐Jun‐09
25‐Aug‐11
1‐May‐09
19‐Nov‐13
6‐Jan‐14
12‐Dec‐08
11‐Dec‐12
31‐Jan‐14
12‐Jun‐09
8‐Aug‐13
12‐Aug‐13
12‐Sep‐13
24‐Apr‐09
28‐Dec‐12
10‐Jul‐13
19‐Dec‐08
1‐Aug‐12
30‐Jan‐09
15‐Sep‐11
11‐Dec‐09
4‐Apr‐12
30‐Jan‐13
23‐Apr‐14
19‐Dec‐08
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
$10,000,000.00
$0.00
$14,075,133.27
Preferred Stock w/ Warrants
$50,236,000.00
$8,950,000.00
$298,737,000.00
$50,236,000.00
$0.00
$0.00
$6,933,220,416.67
$745,311.72
$10,634,911.78
$7,509,920.07
32,679,102
$450,000.00
$1,000.00
6,599,000
45
1,110,898
$1,000.00
$8,950,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$0.00
12,000
$6,599,000,000.00
$6,599,000,000.00
60
Redeemed, in full; warrants not outstanding
$12,000,000.00
Preferred Stock w/ Warrants
1,647,931
$4,500,000.00
$12,000,000.00
$600,000.00
$139,000,000.00
Preferred Stock w/ Exercised Warrants
8,950
$1,000.00
Redeemed, in full; warrants not outstanding
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Currently not collectible
($298,737,000.00)
Preferred Stock w/ Warrants
$214,181,000.00
$0.00
$232,156,554.58
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$3,194,000.00
$2,997,000.00
$0.00
$7,031,291.65
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,179,000.00
$0.00
$2,639,873.33
Redeemed, in full; warrants not outstanding
$214,181,000.00
214,181
$1,000.00
$6,191,000.00
65
$1,000.00
211,318
8,700
$381.50
($5,380,950.00)
$138,607.85
435
($3,594,700.00)
311,492
$720,000.00
720,000
219,908
$283,000.00
283
$2,707,314.00
$3,432,657.85
$65,000.00
59,000
$6,677.00
$0.00
$62,145,972.22
160
$38,000.00
$8,700,000.00
$0.00
$160,000.00
$1,000.00
$1,000.00
$450,000.00
Preferred Stock w/ Exercised Warrants
$59,000,000.00
$1,000.00
600
1,579
$59,000,000.00
Preferred Stock w/ Warrants
6,191
$600,000.00
$1,579,000.00
764,778
$476,573.62
495
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$3,319,050.00
($25,000.00)
Preferred Stock w/ Warrants
$20,600,000.00
$0.00
$20,315,924.72
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$10,300,000.00
$0.00
$11,172,638.89
Redeemed, in full; warrants outstanding
$17,005,300.00
$1.00
$962.50
$962.50
$962.50
3,000
2,658
$1,000.00
$1,000.00
10,324
10,325
$1,000.00
$1,000.00
$237,527.50
$9,168,561.50
250
9,650
$950.10
$950.10
$11,926,000.00
11,926,000
$1.00
$7,742,000.00
$2,258,000.00
7,742
2,258
$1,000.00
$1,000.00
$500,000.00
500
$7,700,000.00
7,700
$1,000.00
$385,000.00
385
5,500
$417.60
$45,815.25
275
$1,547,891.58
344,742
$65,000.00
65
$5,421,615.27
2,532,542
$150,000.00
150
$33,263,000.00
2,696,203
$63,481.25
143
Redeemed, in full; warrants not outstanding
$210,367,527.00
1,576
13,078
165,346
$10,324,000.00
$10,325,000.00
$18,882,079.62
$0.00
14,400,000
$3,000,000.00
$2,658,000.00
$0.00
$180,000,000.00
$1,000.00
$1,516,900.00
$12,587,575.00
$159,145,525.00
$14,400,000.00
Preferred Stock w/ Warrants
$825.50
10,300
$14,400,000.00
Subordinated Debentures w/ Exercised Warrants
($255,079.50) 20,600
$10,300,000.00
Sold, in full; warrants not outstanding
($59,100.00)
($490,425.00)
($6,200,475.00)
($1,732,500.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$5,658,000.00
$20,649,000.00
$9,900,000.00
$0.00
$0.00
$0.00
$6,649,963.92
$28,013,814.50
$12,066,668.65
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($12,472.50)
($481,438.50)
($94,060.89)
Subordinated Debentures
$11,926,000.00
$0.00
$12,948,886.40
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$2,861,000.00
$10,000,000.00
$2,861,000.00
$0.00
$432,678.00
$12,916,040.83
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$7,700,000.00
$0.00
$9,403,400.50
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,500,000.00
$0.00
$2,947,090.75
Sold, in full; warrants not outstanding
$2,296,800.00
($3,203,200.00)
($25,000.00)
Preferred Stock w/ Warrants
$16,019,000.00
$0.00
$21,311,670.48
Redeemed, in full; warrants not outstanding
$1,600,000.00
$1,600,000.00
$1,600,000.00
$1,600,000.00
$9,619,000.00
$6,933,870.05
$1,000.00
$1,000.00
$1,000.00
3,000
$1,000.00
14,738
$384.90
71,000
$1,000.00
$325,353.86
$2,543,620.14
$0.00
$3,503,795.81
75,000
125,000
100,000
$71,000,000.00
$14,738,000.00
$0.00
$318,400,781.94
$1,000.00
$5,672,361.44
Preferred Stock w/ Warrants
$3,000,000.00
$0.00
$1,489,774.73
1,300
$3,000,000.00
Preferred Stock w/ Exercised Warrants
$300,000,000.00
$0.00
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$75,000,000.00
$125,000,000.00
$100,000,000.00
Preferred Stock w/ Warrants
$1,300,000.00
1,600
1,600
1,600
1,600
9,619
$1,300,000.00
Preferred Stock w/ Exercised Warrants
533
4,167
$610.40
$610.40
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants outstanding
($9,065,638.56)
($56,723.61)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$71,000,000.00
$4,700,000.00
$0.00
$0.00
$118,453,138.89
$3,694,442.50
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($207,646.14)
($1,623,379.86)
($25,000.00)
Preferred Stock w/ Exercised Warrants
$1,500,000.00
$0.00
$1,898,258.59
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$30,710,646.33
Redeemed, in full; warrants not outstanding
$787,500.00
$712,500.00
$0.00
$131,236,874.33
$0.00
$14,731,826.23
75
$1,189,813.00
367,984
110,000
$1,000.00
$5,500,000.00
5,500
3,000
4,000
5,000
$1,000.00
$1,000.00
$1,000.00
$478,000.00
478
Redeemed, in full; warrants not outstanding
$12,000,000.00
$75,000.00
$1,000.00
$3,000,000.00
$4,000,000.00
$5,000,000.00
$110,000,000.00
$1,000.00
$1,000.00
25,000
$110,000,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
788
713
$25,000,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$22,000,000.00
$0.00
$23,592,311.11
Redeemed, in full; warrants not outstanding
35
FootNote
11,16
11
8,18,21,44
8,17
11
11
11
11
11
44
8117
8,14,18
8,78,11
8
11
11
8,14
45,8,14
11
Institution Name
WAINWRIGHT BANK & TRUST COMPANY
WAINWRIGHT BANK & TRUST COMPANY
WASHINGTON BANKING COMPANY
WASHINGTON BANKING COMPANY
WASHINGTON BANKING COMPANY
WASHINGTON FEDERAL, INC.
WASHINGTON FEDERAL, INC.
WASHINGTON FEDERAL, INC.
WASHINGTONFIRST BANKSHARES, INC.
WASHINGTONFIRST BANKSHARES, INC.
WASHINGTONFIRST BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WEBSTER FINANCIAL CORPORATION
WEBSTER FINANCIAL CORPORATION
WEBSTER FINANCIAL CORPORATION
WEBSTER FINANCIAL CORPORATION
WEBSTER FINANCIAL CORPORATION
WELLS FARGO & CO.
WELLS FARGO & CO.
WELLS FARGO & CO.
WESBANCO, INC.
WESBANCO, INC.
WESBANCO, INC.
WEST BANCORPORATION, INC.
WEST BANCORPORATION, INC.
WEST BANCORPORATION, INC.
WESTAMERICA BANCORPORATION
WESTAMERICA BANCORPORATION
WESTAMERICA BANCORPORATION
WESTAMERICA BANCORPORATION
WESTERN ALLIANCE BANCORPORATION
WESTERN ALLIANCE BANCORPORATION
WESTERN ALLIANCE BANCORPORATION
WESTERN COMMUNITY BANCSHARES, INC.
WESTERN COMMUNITY BANCSHARES, INC.
WESTERN ILLINOIS BANCSHARES, INC.
WESTERN ILLINOIS BANCSHARES, INC.
WESTERN ILLINOIS BANCSHARES, INC.
WESTERN ILLINOIS BANCSHARES, INC.
WESTERN ILLINOIS BANCSHARES, INC.
WESTERN RESERVE BANCORP, INC.
WESTERN RESERVE BANCORP, INC.
WHITE RIVER BANCSHARES COMPANY
WHITE RIVER BANCSHARES COMPANY
WHITE RIVER BANCSHARES COMPANY
WHITE RIVER BANCSHARES COMPANY
WHITNEY HOLDING CORPORATION
WHITNEY HOLDING CORPORATION
WILMINGTON TRUST CORPORATION / M&T BANK CORPORATION
WILMINGTON TRUST CORPORATION / M&T BANK CORPORATION
WILSHIRE BANCORP, INC.
WILSHIRE BANCORP, INC.
WILSHIRE BANCORP, INC.
WINTRUST FINANCIAL CORPORATION
WINTRUST FINANCIAL CORPORATION
WINTRUST FINANCIAL CORPORATION
WORTHINGTON FINANCIAL HOLDINGS, INC.
WORTHINGTON FINANCIAL HOLDINGS, INC.
WORTHINGTON FINANCIAL HOLDINGS, INC.
WSFS FINANCIAL CORPORATION
WSFS FINANCIAL CORPORATION
WSFS FINANCIAL CORPORATION
YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION
YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION
YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION
YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION
YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION
YORK TRADITIONS BANK
YORK TRADITIONS BANK
ZIONS BANCORPORATION
ZIONS BANCORPORATION
ZIONS BANCORPORATION
ZIONS BANCORPORATION
City
BOSTON
BOSTON
OAK HARBOR
OAK HARBOR
OAK HARBOR
SEATTLE
SEATTLE
SEATTLE
RESTON
RESTON
RESTON
WAUKESHA
WAUKESHA
WAUKESHA
WAUKESHA
WAUKESHA
WATERBURY
WATERBURY
WATERBURY
WATERBURY
WATERBURY
MINNEAPOLIS
MINNEAPOLIS
MINNEAPOLIS
WHEELING
WHEELING
WHEELING
WEST DES MOINES
WEST DES MOINES
WEST DES MOINES
SAN RAFAEL
SAN RAFAEL
SAN RAFAEL
SAN RAFAEL
LAS VEGAS
LAS VEGAS
LAS VEGAS
PALM DESERT
PALM DESERT
MONMOUTH
MONMOUTH
MONMOUTH
MONMOUTH
MONMOUTH
MEDINA
MEDINA
FAYETTEVILLE
FAYETTEVILLE
FAYETTEVILLE
FAYETTEVILLE
NEW ORLEANS
NEW ORLEANS
WILMINGTON
WILMINGTON
LOS ANGELES
LOS ANGELES
LOS ANGELES
LAKE FOREST
LAKE FOREST
LAKE FOREST
HUNTSVILLE
HUNTSVILLE
HUNTSVILLE
WILMINGTON
WILMINGTON
WILMINGTON
ELKIN
ELKIN
ELKIN
ELKIN
ELKIN
YORK
YORK
SALT LAKE CITY
SALT LAKE CITY
SALT LAKE CITY
SALT LAKE CITY
State
MA
MA
WA
WA
WA
WA
WA
WA
VA
VA
VA
WI
WI
WI
WI
WI
CT
CT
CT
CT
CT
MN
MN
MN
WV
WV
WV
IA
IA
IA
CA
CA
CA
CA
NV
NV
NV
CA
CA
IL
IL
IL
IL
IL
OH
OH
AR
AR
AR
AR
LA
LA
DE
DE
CA
CA
CA
IL
IL
IL
AL
AL
AL
DE
DE
DE
NC
NC
NC
NC
NC
PA
PA
UT
UT
UT
UT
Date
24‐Nov‐09
16‐Dec‐09
16‐Jan‐09
12‐Jan‐11
2‐Mar‐11
14‐Nov‐08
27‐May‐09
15‐Mar‐10
30‐Jan‐09
30‐Oct‐09
4‐Aug‐11
26‐Jun‐09
6‐Feb‐13
7‐Feb‐13
8‐Feb‐13
26‐Mar‐13
21‐Nov‐08
3‐Mar‐10
13‐Oct‐10
29‐Dec‐10
8‐Jun‐11
28‐Oct‐08
23‐Dec‐09
26‐May‐10
5‐Dec‐08
9‐Sep‐09
23‐Dec‐09
31‐Dec‐08
29‐Jun‐11
31‐Aug‐11
13‐Feb‐09
2‐Sep‐09
18‐Nov‐09
21‐Nov‐11
21‐Nov‐08
27‐Sep‐11
23‐Nov‐11
23‐Dec‐08
7‐Nov‐14
23‐Dec‐08
29‐Dec‐09
8‐Nov‐12
9‐Nov‐12
11‐Jan‐13
15‐May‐09
30‐Nov‐12
20‐Feb‐09
1‐Jul‐14
2‐Jul‐14
26‐Sep‐14
19‐Dec‐08
3‐Jun‐11
12‐Dec‐08
13‐May‐11
12‐Dec‐08
3‐Apr‐12
20‐Jun‐12
19‐Dec‐08
22‐Dec‐10
14‐Feb‐11
15‐May‐09
24‐Jun‐13
26‐Jul‐13
23‐Jan‐09
3‐Apr‐12
12‐Sep‐12
16‐Jan‐09
24‐Jul‐09
18‐Sep‐12
10‐Jun‐13
11‐Jun‐13
24‐Apr‐09
14‐Jul‐11
14‐Nov‐08
28‐Mar‐12
26‐Sep‐12
5‐Dec‐12
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
$22,000,000.00
22,000
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
$1,000.00
$568,700.00
$0.00
$30,628,344.45
$200,000,000.00
$0.00
$220,749,985.18
1,707,456
Redeemed, in full; warrants not outstanding
$26,380,000.00
Preferred Stock w/ Warrants
246,082
$15,388,874.07
$26,380,000.00
390,071
$1,625,000.00
Preferred Stock w/ Warrants
26,380
$1,000.00
Redeemed, in full; warrants not outstanding
$200,000,000.00
Preferred Stock w/ Warrants
$6,633,000.00
$6,842,000.00
$0.00
$15,317,317.86
$5,625,000.00
$0.00
$6,398,893.44
$1,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
200,000
Sold, in full; warrants not outstanding
$13,475,000.00
13,475
$1,000.00
$4,831,002.80
$92,690.00
$290,119.70
5,212
100
313
$926.90
$926.90
$926.90
$100,000,000.00
$100,000,000.00
$200,000,000.00
100,000
100,000
200,000
$1,000.00
$1,000.00
$1,000.00
$25,000,000,000.00
25,000
$1,000,000.00
$75,000,000.00
75,000
$332,000.00
332
$18,644.66
$147,194.69
19
150
$20,388,842.06
$1,000.00
3,282,276
$840,374,891.73
110,261,688
$950,000.00
439,282
$700,000.00
474,100
$878,256.00
246,698
$415,000.00
787,107
$335,417.06
343
$235,000.00
($380,997.20)
($7,310.00)
($22,880.30)
235
($52,138.13)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$400,000,000.00
$25,000,000,000.00
$75,000,000.00
$36,000,000.00
$0.00
$0.00
$0.00
$0.00
$457,333,286.51
$27,281,347,113.95
$78,804,166.67
$41,195,000.00
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$36,000,000.00
$140,000,000.00
$0.00
$0.00
$87,360,236.61
$160,365,000.00
41,863
41,863
$1,000.00
$1,000.00
$140,000,000.00
Preferred Stock w/ Warrants
$83,726,000.00
$1,000.00
$41,863,000.00
$41,863,000.00
Preferred Stock w/ Warrants
36,000
140,000
$1,000.00
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$7,290,000.00
$0.00
$554,083.00
Currently not collectible
Preferred Stock w/ Exercised Warrants
$6,855,000.00
$4,567,000.00
$0.00
$13,053,910.87
Sold, in full; warrants not outstanding
($7,290,000.00)
$1,050,524.72
$9,673,015.37
1,117
10,305
$940.38
$939.53
($66,475.28)
($631,984.63)
($107,235.41)
Preferred Stock w/ Exercised Warrants
$4,700,000.00
$0.00
$5,842,197.92
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$16,800,000.00
$0.00
$20,275,427.10
Sold, in full; warrants not outstanding
$4,700,000.00
4,700
$1,000.00
$1,300,000.00
$15,500,000.00
1,300
15,500
$1,063.20
$1,063.20
300,000
$1,000.00
$330,000,000.00
330,000
$1,000.00
$58,646,694.58
($879,700.42) 62,158
$943.50
$250,000,000.00
250,000
$1,000.00
$2,343,851.20
2,720
$861.70
($376,148.80)
$48,157,663.75
($722,364.96) 52,625
$915.10
($4,467,336.25)
$82,173.00
$979,755.00
$1,002,535.38
840
$6,900,000.00
2,631,579
$760,000.00
949,460
$25,600,564.15
1,643,295
$90,940.00
136
$1,800,000.00
175,105
$55,677.00
$20,000.00
91,178
128,663
$244,000.00
244
$7,666,418.51
5,789,909
($178,619.28)
Preferred Stock w/ Warrants
$300,000,000.00
$0.00
$343,733,333.33
Redeemed, in full; warrants not outstanding
$300,000,000.00
Preferred Stock w/ Warrants
$330,000,000.00
$0.00
$369,920,833.33
Redeemed, in full; warrants outstanding
Preferred Stock w/ Warrants
$62,158,000.00
$0.00
$68,809,170.52
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$250,000,000.00
$2,720,000.00
$0.00
$0.00
$300,704,730.81
$2,780,391.21
($3,511,305.42)
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($24,999.99)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$52,625,000.00
$36,000,000.00
$13,312,000.00
$0.00
$0.00
$57,640,856.64
$52,383,419.85
Sold, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$44,149,056.00
Preferred Stock w/ Exercised Warrants
$4,871,000.00
$0.00
$5,705,022.14
$1,400,000,000.00
$0.00
$1,661,027,529.62
$893.00
($5,162,944.00)
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
($662,235.84) 49,312
Redeemed, in full; warrants not outstanding
$4,871,000.00
TOTALS
$204,894,726,320.00
$463,768,965.76
$226,412,845,472.29
4,871
$1,000.00
$700,000,000.00
$700,000,000.00
700,000
700,000
$1,000.00
$1,000.00
$199,443,169,423.47
($37,433,921.85)
($4,987,787,930.77)
$6,905,694,752.42
$7,972,094,995.89
36
Footnote Description
All pricing is at par.
Total Cash Back includes net capital repayments, interest and dividends, warrant proceeds, and other income (less expenses).
Capital Repayments includes gross capital repayments, gross auction proceeds, exchanges into CDCI, and SBLF fundings.
Includes: (i) placement fees in private auctions of a CPP issuer’s securities where Treasury pays placement fees to the placement agents in an amount equal to a minimum of $50,000
(per issuer) or 1.00% of gross aggregate proceeds for each security and (ii) unreimbursed underwriting fees in public offerings. Placement fees in private auctions are paid
approximately one month after settlement.
5 Net proceeds from sales and auctions can be calculated by adding the “Amount” and “(Fee)” columns under the "Capital Repayment / Disposition / Auction" plus any amount in the
"Gain" column. Note that "(Fee)" is a negative number.
6 This transaction was included in previous Transaction Reports with Merrill Lynch & Co., Inc. listed as the qualifying institution and a 10/28/2008 transaction date, footnoted to indicate
that settlement was deferred pending merger. The purchase of Merrill Lynch by Bank of America was completed on 1/1/2009, and this transaction under the CPP was funded on
1/9/2009.
7 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.
8
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.
Footnote
1
2
3
4
9 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.
10 Treasury cancelled the warrants received from this institution due to its designation as a CDFI.
11 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009.
12 Redemption pursuant to a qualified equity offering.
13 This amount does not include accrued and unpaid dividends, which must be paid at the time of capital repayment.
14 The proceeds associated with the disposition of this investment do not include accrued and unpaid dividends.
15 Subchapter S corporation; Treasury received a warrant to purchase additional subordinated debentures (unless the institution is a CDFI), which it exercised immediately.
16 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.
17 This institution participated in the expansion of CPP for small banks.
18 This institution received an additional investment through the expansion of CPP for small banks.
19 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.
20 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.
21 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.
22 As of the date of this report, this institution is in bankruptcy proceedings.
37
Footnote
23
Footnote Description
On 12/10/2009, the bankruptcy reorganization plan of CIT Group Inc. became effective and Treasury's preferred stock and warrant investment were extinguished and replaced by
contingent value rights (CVRs). On 2/8/2010, the CVRs expired without value as the terms and conditions for distribution of common shares to holders of CVRs were not met.
24 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.
25 On 2/1/2010, following the acquisition of First Market Bank (First Market) by Union Bankshares Corporation (the acquiror), the preferred stock and exercised warrants issued by First
Market on 2/6/2009 were exchanged for a like amount of securities of the acquiror in a single series but with a blended dividend rate equivalent to those of Treasury's original
investment.
26 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.
27 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.
28 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.
29
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. On 7/26/13, Treasury entered into a
securities purchase agreement with Independent pursuant to which Treasury agreed to sell to Independent the MCP and the warrant issued by Independent, subject to the conditions
specified in such agreement. On 8/30/13, Treasury completed the sale of the MCP and warrant to Independent pursuant to the terms of such agreement.
30
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.
31 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.
38
Footnote Description
Footnote
32 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.
33 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.
34 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.
35
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.
36 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.
37 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.
38
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.
39
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.
40 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.
41 As a result of the acquisition of Fidelity Resources Company (the acquired company) by Veritex Holdings, Inc. (the acquiror), the preferred stock and exercised warrants issued by the
acquired company on 6/26/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the terms of an agreement among Treasury, the acquired company and the
acquiror entered into on 3/23/2011.
42
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.
39
Footnote Description
Footnote
43 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.
44 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.
45 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.
46 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.
47 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.
48 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.
49 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.
50 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.
51 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.
52 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.
53 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.
54 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.
55 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.
56 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.
57 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.
58
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.
59 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.
40
Footnote Description
Footnote
60 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.
61
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.
62 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.
63 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.
64 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.
65 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.
66 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.
67 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.
68 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.
69 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.
70 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.
71 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.
72 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.
73 On 10/29/2012, First Place Financial Corp. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Delaware.
74
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.
75 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.
41
Footnote Description
Footnote
76 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.
77 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.
78 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.
79 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.
80 On 4/9/2013, Treasury sold its CPP preferred stock and warrant issued by PremierWest Bancorp (“PremierWest”) pursuant to an agreement with PremierWest and Starbuck
Bancshares, Inc. (“Starbuck”) entered into on 12/11/2012.
81
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.
82
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.
83 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.
84 On 8/14/2013, Treasury sold its CPP preferred stock issued by Florida Bank Group, Inc. (“FBG”) back to FBG for an aggregate purchase price of $8,000,000, pursuant to the terms of
the agreement between Treasury and FBG entered into on 2/12/13.
85 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.
86
On 4/12/2013, Treasury completed (i) the sale of its CPP preferred in Citizens Republic Bancorp, Inc. (Citizens Republic) to FirstMerit Corporation (FirstMerit) and (ii) the exchange of its
warrant in Citizens Republic for a warrant issued by FirstMerit, pursuant to a securities purchase agreement, dated as of 2/19/13, among Treasury, FirstMerit and Citizens Republic.
87 On 4/11/2013, Treasury completed the exchange of its First Security Group, Inc. (FSGI) preferred stock for common stock, pursuant to an exchange agreement, dated as of 2/25/2013,
between Treasury and FSGI, and sold the resulting FSGI common stock, pursuant to securities purchase agreements, each dated as of 4/9/2013, between Treasury and the purchasers
party thereto.
88 On 3/19/2013, Treasury exercised its warrant on a cashless basis and received (i) 186,589 shares of common stock and (ii) $71.62 in cash in lieu of fractional shares. Treasury sold
such shares of common stock on 3/19/2013.
89 As a result of the acquisition of ECB Bancorp, Inc. by Crescent Financial Bancshares, Inc., the preferred stock and warrant issued by ECB Bancorp, Inc. were exchanged for a like
amount of securities of Crescent Financial Bancshares, Inc., pursuant to the terms of an agreement among Treasury, ECB Bancorp, Inc., and Crescent Financial Bancshares, Inc.
entered into on 4/1/2013.
90 As a result of the merger of Annapolis Bancorp, Inc. into F.N.B. Corporation, the warrant issued by Annapolis Bancorp, Inc. was exchanged for a like warrant issued by F.N.B.
Corporation, pursuant to the terms of an agreement among Treasury, Annapolis Bancorp, Inc., and F.N.B. Corporation entered into on 4/6/2013.
42
Footnote Description
Footnote
91 On 04/05/2013, Gold Canyon Bank, Gold Canyon, Arizona was closed by the Arizona Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was
named Receiver.
92 On 04/09/2013, Indiana Bank Corp. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the Southern District of Indiana.
93
On 7/17/13, Treasury entered into a securities purchase agreement with Central Virginia Bankshares, Inc. (CVB) and C&F Financial Corporation (C&F) pursuant to which Treasury
agreed to sell to C&F the CPP preferred stock and warrant issued by CVB, subject to the conditions specified in such agreement. The sale was completed on 10/01/2013.
94
On 8/12/2013, Anchor BanCorp Wisconsin Inc. ( “Anchor”) filed a voluntary petition for Chapter 11 protection in the U.S. Bankruptcy Court for the Western District of Wisconsin to
implement a “pre-packaged” Plan of Reorganization in order to facilitate the restructuring of Anchor. On 9/27/ 2013, the Plan of Reorganization became effective in accordance with its
terms, pursuant to which (i) Treasury’s preferred stock was exchanged for 60,000,000 shares of common stock (the “Common Stock”) and (ii) Treasury’s warrant was cancelled. On
9/27/2013, Treasury sold the Common Stock to purchasers pursuant to securities purchase agreements entered into on 9/19/2013.
95 On 7/5/2013, Rogers Bancshares, Inc. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the Eastern District of Arkansas.
96 On 8/22/2013, Treasury exchanged its preferred stock in Broadway Financial Corporation for 10,146 shares of common stock equivalent representing (i) 50% of the liquidation
preference of the preferred stock, plus (ii) 100% of previously accrued and unpaid dividends on the preferred stock ($2,646,000). The common stock equivalent will be converted to
common stock upon the receipt of certain shareholder approvals.
97 This institution has entered into bankruptcy or receivership. For a full list of institutions that have entered bankruptcy or receivership and Treasury's remaining investments, reference
appendices B and C in the section titled “Capital Purchase Program Institutions” in the most recent report to congress found on Treasury’s website:
http://www.treasury.gov/initiatives/financial-stability/reports/Pages/Monthly-Report-to-Congress.aspx.
98 On 10/30/2013, Treasury entered into an agreement with Monarch Community Bancorp, Inc. (Monarch) to exchange Treasury’s CPP warrant and $6,785,000 of preferred stock for
common stock. The exchange was subject to the fulfillment by Monarch of certain conditions, including the satisfactory completion of a capital plan. On 11/15/2013, the exchange of the
CPP warrant and preferred stock for common stock was completed and Treasury sold such common stock to purchasers pursuant to securities purchase agreements dated as of
11/15/2013.
99 On 12/5/2013, Treasury's 10,146 shares of common stock equivalent in Broadway Financial converted to 10,146,000 shares of common stock.
100 On 12/13/2013, Texas Community Bank, National Association, The Woodlands, Texas, the banking subsidiary of TCB Holding Company, was closed by the Office of the Comptroller of
the Currency, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
101 As a result of a reincorporation merger of Community Bankers Trust Corporation, a Delaware corporation (CBTC Delaware) into Community Bankers Trust Corporation, a Virginia
corporation (CBTC Virginia), the outstanding preferred stock and warrant issued by CBTC Delaware were exchanged for a like amount of securities issued by CBTC Virginia, pursuant
to the terms of an agreement among Treasury, CBTC Delaware and CBTC Virginia entered into on 1/1/14.
102 On 10/15/13, Treasury entered into a securities purchase agreement with First-Citizens Bank & Trust Company (FCBTC) and 1st Financial Services Corporation (FFSC) pursuant to
which Treasury agreed to sell to FCBTC the CPP preferred stock and warrant issued by FFSC, subject to the conditions specified in such agreement. The sale was completed on
12/31/2013.
103 On 1/31/2014, Syringa Bank, Boise, Idaho, the banking subsidiary of Syringa Bancorp, was closed by the Idaho Department of Finance, which appointed the Federal Deposit Insurance
Corporation (FDIC) as receiver.
104 On 4/1/2014, pursuant to the terms of the merger of Alaska Pacific Bancshares, Inc. with Northrim Bancorp, Inc., Treasury received $2,370,908.26 for the warrants that had been
issued to Treasury by Alaska Pacific Bancshares, Inc.
105 On 4/18/2014, Treasury entered into an agreement with Bank of the Carolinas Corporation (“BCAR”) pursuant to which Treasury agreed to sell its CPP preferred stock and warrant back
to BCAR at a discount subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 7/16/2014.
106 On 4/24/2014, Treasury sold all of its preferred stock issued by Bankers’ Bank of the West Bancorp, Inc. (BBW) to private investors for total proceeds of $13.5million, pursuant to
securities purchase agreements dated as of April 21, 2014. BBW paid all accrued and unpaid dividends on the preferred stock as of April 24, 2014.
43
Footnote Description
Footnote
107 On 4/25/2014, Treasury entered into a securities purchase agreement with Provident Community Bankshares, Inc. (PCBS) and Park Sterling Corporation (Park Sterling) pursuant to
which Treasury agreed to sell to Park Sterling the CPP preferred stock and warrant issued by PCBS, subject to the conditions specified in such agreement. The sale was completed on
4/30/2014.
108 On 4/24/2014, Idaho Bancorp filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Idaho.
109 On 4/30/2014, Treasury completed the exchange of its Northern States Financial Corporation preferred stock for common stock, pursuant to an exchange agreement, dated as of
4/29/2014, with Northern States Financial Corporation, and immediately sold the resulting Northern States Financial Corporation common stock, pursuant to securities purchase
agreements, each dated as of 4/29/14, with Blue Pine Financial Opportunities Fund II, LP, EJF Sidecar Fund, Series LLC, Endeavour Regional Bank Opportunities Fund L.P.,
Endeavour Regional Bank Opportunities Fund II L.P., Hot Creek Investors, L.P.,JCSD Partners, LP, and PRB Investors, LP.
110 On 5/23/2014 Treasury completed the sale of its CommunityOne Bancorp common stock in an underwritten public offering.
111 On 5/30/2014, Treasury entered into a securities purchase agreement with Highlands Independent Bancshares, Inc. ("Highlands") and HCBF Holding Company, Inc. ("HCBF") pursuant
to which Treasury agreed to sell to HCBF the CPP preferred stock issued by Highlands, subject to the conditions specified in such agreement. The sale was completed on 10/24/2014.
112 On 6/30/2014, BCB Holding Company, Inc. (the “Institution”) repurchased their preferred and warrant preferred shares from Treasury and funds were wired from the Institution to the
Bank of New York Mellon (BNYM) for the benefit of Treasury. The repurchase was finalized after the close of business on 6/30/14 and the funds were subsequently transferred from
BNYM to Treasury on 7/1/2014.
113 On 8/28/2014, Treasury entered into an agreement with Central Bancorp, Inc. and Hanmi Financial Corporation, in connection with a merger, pursuant to which Treasury agreed to sell
its Central Bancorp, Inc. CPP preferred stock (including warrant preferred stock) to Hanmi Financial Corporation for (i) $23,625,000, plus (ii) all accrued and unpaid dividends, subject to
the satisfaction of the conditions specified in the agreement. The sale was completed on 8/29/2014.
114 On 10/17/2014, Treasury completed the exchange of its Regent Bancorp, Inc. preferred stock and warrant-preferred stock for common stock, pursuant to an exchange agreement,
dated as of 10/16/2014, with Regent Bancorp, Inc., and immediately sold the resulting Regent Bancorp, Inc. common stock to purchasers pursuant to securities purchase agreements
dated as of 10/16/2014.
115 On 10/30/2014, Treasury entered into an agreement with Columbia Banking System, Inc. (Columbia) pursuant to which Treasury agreed to sell its warrant in Intermountain Community
Bancorp to Columbia subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 10/31/2014.
116 The subsidiary bank of Rising Sun Bancorp, NBRS Financial, was closed by the Maryland Office of the Commissioner of Financial Regulation, and the FDIC was named Receiver on
Friday, 10/17/2014.
117 The subsidiary bank of Western Community Bancshares, Inc., Frontier Bank, was closed by the Office of the Comptroller of the Currency, and the FDIC was named Receiver on Friday,
11/7/2014.
118 On 9/8/2014, Treasury gave Credit Suisse Securities (USA) LLC discretionary authority, as its sales agent, to sell subject to certain parameters shares of common stock from time to
time during the period ending on 12/7/2014. Completion of the sale under this authority occurred on December 5, 2014.
119 On 12/10/2014, Treasury sold all of its preferred stock issued by NCAL Bancorp to purchasers for total proceeds of $3.9 million, pursuant to a securities purchase agreement dated as of
November 25, 2014.
120 As a result of the merger of Farmers & Merchants Bancshares, Inc. into Allegiance Bancshares, Inc., the outstanding preferred stock and warrant preferred stock issued by Farmers &
Merchants Bancshares, Inc. was exchanged for a like amount of securities issued by Allegiance Bancshares, Inc., pursuant to the terms of an agreement among Treasury, Farmers &
Merchants Bancshares, Inc. and Allegiance Bancshares, Inc., entered into on 1/1/2015.
44
CAPITAL PURCHASE PROGRAM - CITIGROUP, INC.
COMMON STOCK DISPOSITION
Date
4/26/2010 5/26/2010
5/26/2010 6/30/2010
7/23/2010 9/30/2010
10/19/2010 12/6/2010
12/6/2010
Pricing Mechanism
1
2
3
4
5
6
Number of Shares
Proceeds
7
$4.1217
1,500,000,000 $
6,182,493,158
$3.8980
1,108,971,857 $
4,322,726,825
$3.9090
1,500,000,000 $
5,863,489,587
$4.2609
1,165,928,228 $
4,967,921,811
$4.3500
2,417,407,607 $
10,515,723,090
Total Proceeds:
$31,852,354,471
1/ On April 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occurred on May 26, 2010.
2/ On May 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occurred on June 30, 2010.
3/ On July 23, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on September 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occured on September 30, 2010.
4/ On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of
common stock from time to time during the period ending on December 31, 2010 (or upon completion of the sale), which plan was terminated on December 6, 2010.
5/ On December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. Closing of the offering is subject to the fulfillment of certain closing conditions.
6/ The price set forth is the weighted average price for all sales of Citigroup, Inc. common stock made by Treasury over the course of the corresponding period.
7/ Amount represents the gross proceeds to Treasury.
45
COMMUNITY DEVELOPMENT CAPITAL INITIATIVE
Seller
Footnote
1
1, 2
1, 7
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
6
Name of Institution
Purchase Date
1
1, 2
1, 2
1, 4
1
2a
1
1
1
1
2a
1
1, 3
Purchase Details
City
State
Guaranty Capital Corporation
University Financial Corp, Inc.
Southern Bancorp, Inc.
Premier Bancorp, Inc.
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
Durham
New York
Kilmichael
Atmore
Washington
Chicago
Washington
Oak Brook
Jackson
Rochester
Hanover Park
New Orleans
Cerritos
NC
NY
MS
AL
DC
IL
DC
IL
MS
NY
IL
LA
CA
9/24/2010
Bainbridge Bancshares, Inc.
Bainbridge
6
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
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
6
9/24/2010
6
6, 11
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
1
1
1, 2
6
6
1, 2
1, 2
1, 2
1, 2
1
1
1
1, 7
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
Amount from CPP
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
Disposition Details
Additional Investment
Preferred Stock
Preferred Stock
GA
Preferred Stock
$
-
$
-
$
3,372,000
Par
Christiansburg
New York
Lander
New York
Missoula
Fort Wayne
Buffalo
New Orleans
Ithaca
VA
NY
WY
NY
MT
IN
NY
LA
NY
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
$
$
$
$
$
$
$
$
$
-
$
$
$
$
$
$
$
$
$
-
$
$
$
$
$
$
$
$
$
1,915,000
898,000
2,500,000
283,000
1,657,000
10,000
145,000
424,000
2,234,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Liberty County Teachers Federal Credit Union
Liberty
TX
Subordinated Debentures
$
-
$
-
$
435,000
Par
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
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
LA
CA
WA
AL
AZ
CA
HI
GU
WI
AK
CA
CA
VA
SC
CA
MS
MS
MS
MS
MS
LA
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
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
10,189,000
22,800,000
4,379,000
4,836,000
3,881,000
5,689,000
-
Pricing
Mechanism
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
18,000,000
1,747,000
5,000,000
50,400,000
30,000,000
15,750,000
4,551,000
9,734,000
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Investment Amount
4,000,000
2,313,000
12,123,000
30,514,000
-
$
$
$
$
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
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
1/29/2013
4
$79,900
$0
5/1/2013
9/10/2014
1/7/2015
7
$5,146,000
$2,372,000
$1,000,000
$0
$1,000,000
$0
9/26/2012
6
$2,500,000
$0
10/17/2012
6
$1,657,000
$0
4/2/2014
12/31/2014
9/4/2013
12/31/2014
6
$87,000
$87,000
$743,000
$1,000,000
$348,000
$261,000
$0
$0
10/3/2012
6
$1,096,000
$0
8/30/2013
7
$30,000,000
$0
12/28/2012
7
$9,734,000
$0
6
6
6
6
6
46
Seller
Footnote
Purchase Date
1
1
1
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
9/29/2010
9/29/2010
9/29/2010
6
9/29/2010
Name of Institution
City
State
Investment Description
Preferred Stock
Preferred Stock
Preferred Stock
Amount from CPP
Brandon
Vernon
Batesville
Palisades Park
Bay Springs
Okolona
Lakewood
New York
Bronx
Shreveport
Springhill
MS
AL
MS
NJ
MS
MS
NY
NY
NY
LA
LA
Preferred Stock
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
$
$
$
$
$
$
$
$
$
$
$
New York
NY
Subordinated Debentures
$
10
6
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
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
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
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
54,600,000
6,245,000
17,910,000
-
Disposition Details
Additional Investment
Investment Amount
Pricing
Mechanism
$
$
$
$
$
$
$
$
$
$
$
-
$
$
$
$
$
$
$
$
$
$
$
54,600,000
6,245,000
17,910,000
5,250,000
7,922,000
3,297,000
1,709,000
14,000
502,000
2,646,000
6,300,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
-
$
-
$
57,000
Par
-
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
-
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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 $
6
8
Community Bancshares of Mississippi, Inc.
First Vernon Bancshares, Inc.
Security Capital Corporation
BankAsiana
The Magnolia State Corporation
Bancorp of Okolona, Inc.
Southern Chautauqua Federal Credit Union
Fidelis Federal Credit Union
Bethex Federal Credit Union
Shreveport Federal Credit Union
Carter Federal Credit Union
UNITEHERE Federal Credit Union
(Workers United Federal Credit Union)
North Side Community Federal Credit Union
East End Baptist Tabernacle Federal Credit Union
Community Plus Federal Credit Union
Border Federal Credit Union
Opportunities Credit Union
First Legacy Community Credit Union
Union Settlement Federal Credit Union
Southside Credit Union
D.C. Federal Credit Union
Faith Based Federal Credit Union
Greater Kinston Credit Union
Hill District Federal Credit Union
Freedom First Federal Credit Union
Episcopal Community Federal Credit Union
Vigo County Federal Credit Union
Renaissance Community Development Credit Union
Independent Employers Group Federal Credit Union
Brooklyn Cooperative Federal Credit Union
Purchase Details
570,073,000
Amount
Date
10/1/2013
12/17/2014
3/13/2013
6
2/6/2013
3/20/2013
Remaining Investment
Amount
$5,250,000
$3,700,000
$3,297,000
$0
$4,222,000
$0
6
$2,500,000
$3,800,000
6
$57,000
$0
6
6
10/15/2014
$3,260,000
$0
4/2/2014
6
$1,000,000
$0
10/30/2013
6
$1,100,000
$0
4/10/2012
6
$350,000
$0
6/12/2013
6
$9,278,000
$0
Total Capital Repayment Amount
TOTAL TREASURY COMMUNITY DEVELOPMENT INITIATIVE (CDCI) INVESTMENT AMOUNT
$
$107,408,900
455,960,000
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. On 1/29/2013, UST received $79,900 representing the total amount of distributions
paid to creditors as a result of the liquidation of Premier Bancorp, Inc.
5/ Repayment pursuant to Section 5 of the CDCI Certificate of Designation.
6/ Repayment pursuant to Section 6.10 of the CDCI Securities Purchase Agreement
7/ Repayment pursuant to Section 5 of the CDCI Exchange Agreement.
8/ Repayment pursuant to Section 6.11 of the CDCI Securities Purchase Agreement.
9/ Repayment pursuant to Section 5.11 of the CDCI Exchange Agreement.
10/ On 10/31/2014, in connection with the merger of Union Settlement Federal Credit Union (Union) with Lower East Side People’s Federal Credit Union (Lower East Side), Treasury exchanged its $295,000 in aggregate principal amount of Union senior subordinated securities for a like amount of additional Lower East Side senior subordinated securities.
Accrued dividends on the Union senior subordinated securities were paid on the date of the exchange.
11/ On 12/23/2014, in connection with the merger of Butte Federal Credit Union (Butte) with Self-Help Credit Union (SHFCU), Treasury exchanged its 1,000,000 in senior subordinated securities for a like amount of SHFCU senior subordinated securities. Accrued and unpaid interest were paid on the date of the exchange.
47
AUTOMOTIVE INDUSTRY FINANCING PROGRAM
Initial Investment
City, State
Date
Transaction Type
12/29/2008
Purchase
Seller
GMAC
Description
Preferred Stock w/
Exercised Warrants
Exchange/Transfer/Other Details
Amount
$
5,000,000,000
Pricing
Mechanism
Date
Par
12/30/2009
Type
Exchange for convertible
preferred stock
Amount
Treasury Investment After Exchange/Transfer/Other
Pricing
Mechanism
$
5,000,000,000
N/A
Partial conversion of preferred
$
stock for common stock
3,000,000,000
Obligor
Description
Convertible
Preferred Stock
Amount/Equity %
N/A
Payment or Disposition
Date
Type
11/20/2013 Disposition 38
1
Amount/ Proceeds
Remaining
Investment
Description
12/30/2009
12/30/2009
Purchase
Purchase
12/29/2008
Purchase
12/31/2008
Purchase
4/22/2009
Purchase
GMAC
GMAC
General Motors
Corporation
General Motors
Corporation
General Motors
Corporation
Convertible Preferred Stock
w/ Exercised Warrants
$
Trust Preferred Securities w/
$
Exercised Warrants
Debt Obligation
$
Debt Obligation w/ Additional
$
Note
Debt Obligation w/ Additional
$
Note
7,500,000,000
1,250,000,000
2,540,000,000
Par
Par
22
22,
26
Par
884,024,131
Par
13,400,000,000
Par
12/30/2010
3/1/2011
2
Par
2,000,000,000
12/30/2009
5/29/2009
7/10/2009
4
7/10/2009
Partial conversion of preferred
$
stock for common stock
Exchange for amended and
restated Trust Preferred
Securities
Exchange for equity interest in
GMAC
Exchange for preferred and
common stock in New GM
Exchange for preferred and
common stock in New GM
$
GMAC (Ally)
5,500,000,000
2,667,000,000
N/A
N/A
$
884,024,131
N/A
$
13,400,000,000
N/A
$
2,000,000,000
N/A
26
27 GMAC (Ally)
3, 26,
32, 38
Common Stock
5,937,500,000
36.96%
$
2,375,000,000 Common Stock
17.09%
$
181,141,750 Common Stock
15.60%
$
218,680,700 Common Stock
13.40%
$
245,492,605 Common Stock
11.40%
$
1,277,036,382 Common Stock
$
2,667,000,000
N/A
$
2,139,406,778
N/A
$
$
0
63.45%
Trust Preferred
Securities
$
2,667,000,000
10, 11,
Preferred Stock
24
$
2,100,000,000
27
3,023,750,000 Common Stock
9/12/2014 Partial Disposition43
$
$
12/24/2014 Partial Disposition45
Detroit, MI
$
1/23/2014 Partial Disposition40
10/16/2014 Partial Disposition44
GMAC
21, 22
5,925,000,000
5/14/2014 Partial Disposition42
GMAC
(Ally)
Purchase
GMAC (Ally)
$
4/15/2014 Partial Disposition41
5/21/2009
Convertible Preferred Stock
w/ Exercised Warrants
N/A
Remaining
Investment
Amount/Equity %
3/2/2011 Disposition 28
0.00%
0
3
7
7 General Motors
Company
General
Motors
7/10/2009
Exchange for preferred and
common stock in New GM
$
4,000,000,000
General Motors
Company
N/A
10, 11,
25
21.97%
4/11/2013
Partial Disposition 34
$
1,637,839,844 Common Stock
17.69%
6/12/2013
Common Stock
32.04%
5,500,000,000 Common Stock
Partial Disposition 35
$
1,031,700,000 Common Stock
13.80%
Partial Disposition 36
$
3,822,724,832 Common Stock
7.32%
$
2,563,441,956 Common Stock
2.24%
39
$
1,208,249,982 Common Stock
$
360,624,198 Debt Obligation
$
6,711,864,407
$
1,000,000,000 Debt Obligation
$
5,711,864,407
1/21/2010
Partial Repayment
$
35,084,421 Debt Obligation
$
5,676,779,986
Partial Repayment
$
1,000,000,000 Debt Obligation
$
4,676,779,986
4/20/2010
5
1,761,495,577 Common Stock
$
3/31/2010
Par
$
12/18/2009 Partial Repayment
4,000,000,000
36.9%
11/20/2013 Partial Disposition 37
Debt Obligation w/ Additional
$
Note
11,743,303,903 Common Stock
9/13/2013
General Motors
Corporation
$
12/21/2012 Partial Disposition 33
Purchase
$
11/26/2010 Partial Disposition 25
5/20/2009
12/15/2010 Repayment
11/18/2010 Partial Disposition 25
7
Repayment
$
4,676,779,986
3/31/2011
Partial Repayment
$
50,000,000
4/5/2011
Partial Repayment
$
45,000,000
5/3/2011
Partial Repayment
$
15,887,795
12/16/2011 Partial Repayment
$
144,444
12/23/2011 Partial Repayment
$
18,890,294
1/11/2012
Partial Repayment
$
6,713,489
10/23/2012 Partial Repayment
$
435,097
5/22/2013
$
10,048,968
60.8%
Detroit, MI
12/9/2013
6/3/2009
Purchase
Purchase
General Motors
Corporation
General Motors
Corporation
Debt Obligation w/ Additional
$
Note
Debt Obligation w/ Additional
$
Note
360,624,198
30,100,000,000
Par
Par
6
8
7/10/2009
Exchange for preferred and
common stock in New GM
$
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
Partial Disposition
7/10/2009
5/27/2009
0
Partial Repayment
N/A
0.00%
$
0
9
9
9 Motors Liquidation
Company
29
Debt Obligation
$
985,805,085
Partial Repayment
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
48
9/20/2013
Partial Repayment
$
11,832,877
12/27/2013 Partial Repayment
$
410,705
$
470,269
$
3,499,055
1/9/2014
1/16/2009
Chrysler FinCo
Debt Obligation w/ Additional
$
Note
1,500,000,000
Par
13
3/17/2009
Partial Repayment
5/18/2009
Partial Repayment
6/17/2009
Farmington
Hills, MI
Partial Repayment
4/17/2009
Chrysler
FinCo
Purchase
Partial Repayment
Partial Repayment
$
31,810,122
$
51,136,084
$
44,357,710
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
N/A
N/A
$
1,496,500,945
$
1,464,690,823
$
1,413,554,739
$
1,369,197,029
7/14/2009
Purchase
Chrysler Holding
Purchase
Chrysler Holding
Purchase
Chrysler Holding
5/1/2009
Purchase
Old Chrysler
5/20/2009
Purchase
Old Chrysler
4/29/2009
4/29/2009
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
$
4,000,000,000
$
-
$
280,130,642
$
1,888,153,580
$
-
Par
Par
6/10/2009
$
500,000,000
N/A
19
Chrysler Holding
20
Debt obligation w/
additional note
$
3,500,000,000
$
1,369,197,029
Repayment*
$
15,000,000
N/A
-
5/14/2010
Termination and settlement
20
payment
$
1,900,000,000
N/A
-
N/A
14
15
16
-
Transfer of debt to New
Chrysler
Repayment
7/14/2009
1/2/2009
7/10/2009
4/30/2010
17
Completion of bankruptcy
$
proceeding; transfer of
collateral security to liquidation
trust
N/A
23 Old Carco
Liquidation Trust
23
Right to recover
proceeds
N/A
Repayment
$
280,130,642
5/10/2010
Proceeds from sale of collateral
$
Proceeds from sale of collateral
$
18
6,642,000,000
N/A
6/10/2009
Issuance of equity in New
Chrysler
-
N/A
Chrysler Group
LLC
Chrysler Group
LLC
Total Initial Investment Amount $
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%
Repayment - Principal
$
Termination of undrawn facility
$
2,065,540,000
Repayment* - Additional Note
$
288,000,000
Repayment* - Zero Coupon Note
$
100,000,000
7/21/2011
Disposition
$
560,000,000
N/A
5,076,460,000
Total Payments $
$
5/24/2011
63,927,535,398
Additional Proceeds * $
Debt Obligation w/ Additional
Note, Zero Coupon Note,
$
Equity
9,302,185
5/24/2011
New Chrysler
$
5/24/2011
Purchase
Proceeds from sale of collateral
5/24/2011
5/27/2009
$
0
N/A
Right to recover
7,844,409
proceeds
4/30/2012
Auburn Hills,
MI
0
$
Right to recover
proceeds
Right to recover
9,666,784
proceeds
12/29/2010 Proceeds from sale of collateral
Chrysler
$
30,544,528
9/9/2010
(1,888,153,580)
Additional Note
N/A
403,000,000
31
N/A
Right to recover
proceeds
N/A
N/A
$
N/A
0
-
11,863,703,573
Footnotes appear on following page.
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.
49
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 gg g
warrants) into 531,850 shares of common stock of Ally. Following this conversion, p
Treasury holds $5,937,500,000 of convertible preferred stock.
y
g
y
( y)
p
q
p
y
p
g
y
g
p
$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.
34. On January 18, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 58,392,078 shares of common stock from time to time during the period ending on April 17, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on April 11, 2013.
35. On 6/12/2013, Treasury sold 30,000,000 shares of GM common stock in a registered public offering at $34.41 per share for net proceeds to Treasury of $ 1,031,700,000.
36. Pursuant to pre-arranged written trading plans dated May 6, 2013, as amended, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 142,814,136 shares of common stock from time to time during the period ending on September 13, 2013 (or upon completion of the sale). Completion of the sale
37. On September 26, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 70,214,460 shares of common stock from time to time during the period ending on December 20, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on November 20, 2013.
38. On November 20, 2013, Ally completed a private placement of an aggregate of 216,667 shares of its common stock for an aggregate price of approximately $1.3 billion and the repurchase of all outstanding shares of its Fixed Rate Cumulative Mandatorily Convertible Preferred Stock, Series F-2, held by Treasury, including payment for the elimination or relinquishment of any right to receive additional
shares of common stock to be issued (the “Share Adjustment Right”). Ally paid to Treasury a total of approximately $5.93 billion for the repurchase of the Series F-2 Preferred Stock and the elimination of the Share Adjustment Right. As a result of the private placement, Treasury's common stock ownership stake was diluted from 73.8 percent to 63.45 percent. Treasury continues to own 981,971 shares of
common stock in Ally.
39. On November 21, 2013, Treasury gave J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell, subject to certain parameters, the remaining shares of common stock, from time to time during the period ending on February 15, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on December 9, 2013.
40. On January 23, 2014, Treasury sold 410,000 shares of Ally common stock in a private offering at $7,375 per share for gross proceeds of $3,023,750,000.
41. On April 15, 2014, Treasury sold 95,000,000 shares of Ally common stock in an IPO at $25.00 per share for net proceeds of $2,375,000,000.
42. On 5/14/2014, the underwriters partially exercised their option to purchase an additional 7,245,670 shares of Ally common stock from Treasury at $25.00 resulting in additional proceeds of $181,141,750.
43. On August 14, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 8,890,000 shares of common stock from time to time during the period ending on November 12, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on September 12, 2014.
44. 4/ On September 12, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 11,249,044 of common stock from time to time during the period ending on December 11, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on October 16, 2014.
45. On December 24, 2014, Treasury sold 54,926,296 shares of Ally common stock in an underwritten offering at $23.25 per share for net proceeds of $1,277,036,382.
AUTOMOTIVE SUPPLIER SUPPORT PROGRAM
Adjustment Details
Adjustment
Adjusted or Final
Amount
Investment Amount
Seller
Footnote
Date
Name of Institution
City
State
Transaction Type
Investment
Description
Investment
Amount
Pricing Mechanism
Adjustment
Date
Payment or Disposition4
Date
Remaining Investment
Description
Type
2/11/2010
Partial
repayment
Partial
repayment
3/4/2010
Repayment
4/5/2010
Payment
11/20/2009
1
4/9/2009
GM Supplier Receivables LLC
Wilmington
DE
Purchase
Debt Obligation w/
$ 3,500,000,000
Additional Note
7/8/2009
3
$ (1,000,000,000) $
N/A
6
2
4/9/2009
Chrysler Receivables SPV LLC
INITIAL TOTAL
$
5,000,000,000
Wilmington
DE
Purchase
ADJUSTED TOTAL
Debt Obligation w/
$ 1,500,000,000
Additional Note
$
413,076,735
2,500,000,000
N/A
7/8/2009
3
$
$
290,000,000
(500,000,000) $
1,000,000,000
$
123,076,735
7
Total Repayments
$
413,076,735
3/9/2010
4/7/2010
Amount
6
5
Repayment
Payment7
$
140,000,000
Debt Obligation w/ Additional Note
$
100,000,000
Additional Note
$
50,000,000
None
5
Debt Obligation w/ Additional Note
$
56,541,893
Additional Note
None
$
$
123,076,735
44,533,054
$
101,074,947
Total Proceeds from Additional Notes
1/ The loan was funded through GM Supplier Receivables, LLC, a special purpose vehicle created by General Motors Corporation. The amount of $3,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/3/2009. General Motors Company assumed GM Supplier
2/ The loan was funded through Chrysler Receivables SPV LLC, a special purpose vehicle created by Chrysler LLC. The amount of $1,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/7/2009. Chrysler Group LLC assumed Chrysler Receivables SPV LLC on
3/ Treasury issued notice to the institution of the permanent reduced commitment on 7/8/2009; the reduction was effective on 7/1/2009.
4/ Does not include accrued and unpaid interest due on the amount of principal repayment, which interest must be paid at the time of principal repayment.
5/ All outstanding principal drawn under the credit agreement was repaid.
6/ Treasury's commitment was $2.5 billion (see note 3). As of 4/5/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under the loan, all of which have been repaid.
7/ Treasury's commitment was $1 billion (see note 3). As of 4/7/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under the loan, all of which have been repaid.
50
AUTOMOTIVE INDUSTRY FINANCING PROGRAM - GENERAL MOTORS COMPANY
COMMON STOCK DISPOSITION
Date
01/18/13 –
04/17/13
05/6/13 –
9/13/2013
9/26/13 –
11/20/13
11/21/2013 12/9/2013
Pricing Mechanism1
3
4
5
6
Number of Shares
$28.0490
58,392,078
$
1,637,839,844
$34.6461
110,336,510
$
3,822,724,832
$36.5087
70,214,460
$
2,563,441,956
$38.8228
31,122,206
$
1,208,249,982
Total Proceeds:
Proceeds2
$9,232,256,614
1/ The price set forth is the weighted average price for all sales of General Motors Company common stock made by Treasury over the course of the corresponding period.
2/ Amount represents the gross proceeds to Treasury.
3/ On January 18, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 58,392,078 shares of
common stock from time to time during the period ending on April 17, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on April 11, 2013.
4/ Pursuant to pre-arranged written trading plans dated May 6, 2013, as amended, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell
subject to certain parameters up to 142,814,136 shares of common stock from time to time during the period ending on September 13, 2013 (or upon completion of the sale). Completion of the sale under this
authority occurred on September 13, 2013.
5/ On September 26, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 70,214,460 shares
of common stock from time to time during the period ending on December 20, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on November 20, 2013.
6/ On November 21, 2013, Treasury gave J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell, subject to certain parameters, the remaining shares of common stock, from time to time
during the period ending on February 15, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on December 9, 2013.
51
AUTOMOTIVE INDUSTRY FINANCING PROGRAM - ALLY FINANCIAL, INC.
COMMON STOCK DISPOSITION
Date
08/14/14 –
09/12/14
09/12/14 10/16/14
Pricing Mechanism1
3
4
Number of Shares
$24.5985
8,890,000
$
218,680,700
$21.8234
11,249,044
$
245,492,605
Total Proceeds:
Proceeds2
$464,173,305
1/ The price set forth is the weighted average price for all sales of Ally Financial, Inc.(Ally) common stock made by Treasury over the course of the corresponding period.
2/ Amount represents the gross proceeds to Treasury.
3/ On August 14, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 8,890,000 shares of common stock from time to time during the period
ending on November 12, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on September 12, 2014.
4/ On September 12, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 11,249,044 of common stock from time to time during the period
ending on December 11, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on October 16, 2014.
52
TARGETED INVESTMENT PROGRAM
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
Seller
City
State
Transaction
Type
New York
NY
Purchase
Charlotte
NC
Purchase
Investment Description
Investment Amount
Trust Preferred
Securities w/ Warrants
$
20,000,000,000
Preferred Stock w/
Warrants
$
20,000,000,000
TOTAL
$
40,000,000,000
Pricing
Mechanism
Capital
Repayment Date
Par
12/23/2009
Par
12/9/2009
Capital Repayment
Amount
2
Remaining
Capital Amount
Remaining Capital
Description
Final Disposition
Final
Disposition
Description
Final Disposition Date 3
Final Disposition
Proceeds
$
20,000,000,000
$
0
Warrants
1/25/2011
A
Warrants
$
190,386,428
$
20,000,000,000
$
0
Warrants
3/3/2010
A
Warrants
$
1,236,804,513
$
40,000,000,000
$
1,427,190,941
2
AMOUNT
TOTAL TREASURY TIP INVESTMENT AMOUNT
$
Total Warrant Proceeds
0
1/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual
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
Date
Seller
Name of Institution
City
State
Type
Exchange/Transfer/Other Details
Premium
Description
Guarantee Limit
12/23/2009 Citigroup Inc.
New York
New York
NY
NY
Guarantee
Termination
Master Agreement
Termination Agreement
$
$
5,000,000,000
Preferred Stock
w/ Warrants
$
Payment or Disposition
Exchange preferred stock
Trust Preferred
for trust preferred securities Securities w/ Warrants
$
4,034,000,000
9/29/2010
Exchange trust preferred
Trust Preferred
securities for trust preferred
Securities w/ Warrants
securities
$
Trust Preferred
Securities w/ Warrants
$2,234,000,000
12/23/2009
9/30/2010 Disposition
$ 2,246,000,000 Warrants
$
0
$
67,197,045 None
$
0
$894,000,000.00 None
$
0
Amount
2,246,000,000
6
0
12/28/2012
7
$
Remaining
Premium
3
Type
Partial cancellation for early
termination of guarantee
$ (1,800,000,000)
(5,000,000,000)
3
TOTAL
Remaining Premium
Description
Date
1/25/2011 Warrant Auction
Amount
Footnote
5
6/9/2009
4,034,000,000
Type
Description
Date
4
1/16/2009 Citigroup Inc.
Amount
Footnote
2
1
Description
2/4/2013
Trust preferred securities
received from the FDIC
Exchange Trust preferred
securities for subordinated
note
Trust Preferred
Securities
$ 800,000,000.00
Subordinated Note
$ 894,000,000.00
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.
53
AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM
(formerly referred to as Systemically Significant Failing Institutions Program)
Seller
Date
1
11/25/2008
4/17/2009
AIG
State
NY
Purchase
Preferred Stock w/ Warrants
(Series D)
$
40,000,000,000
Par
New York
AIG
2, 3
Exchange/Transfer Details
New York
Name of Institution
Note
Purchase Details
Transaction
Type
NY
Purchase
Preferred Stock w/ Warrants
(Series F)
$
29,835,000,000
Par
City
Date
2
Transaction Type
4/17/2009
Pricing Mechanism
Investment Amount
Investment Description
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
69,835,000,000
Investment
Transaction Type
Warrants (Series D)
Repurchase
$
25,150,923.10
3/1/2013
$
Date
3/1/2013
TOTAL
Warrants (Series F)
Repurchase
$
5,767.50
Total Warrant Proceeds
$
Proceeds
25,156,690.60
1/ On 4/17/2009, Treasury exchanged its Series D Fixed Rate Cumulative Preferred Shares for Series E Fixed Rate Non-Cumulative Preferred Shares with no change to Treasury's initial investment amount. In addition, in order for AIG to fully redeem the Series E Preferred Shares, it had an additional obligation to Treasury of $1,604,576,000 to reflect the
cumulative unpaid dividends for the Series D Preferred Shares due to Treasury through and including the exchange date.
2/ The investment amount reflected Treasury's commitment to invest up to $30 billion less a reduction of $165 million representing retention payments AIG Financial Products made to its employees in March 2009.
3/ This transaction does not include AIG's commitment fee of an additional $165 million paid from its operating income over the life of the facility. A $55 million payment was received by Treasury on 12/17/2010. The remaining $110 million payment was received by Treasury on 05/27/2011.
AIG POST-RECAPITALIZATION
Treasury Holdings Post-Recapitalization
Recapitalization
Date
Investment Description
Transaction Type
Pricing Mechanism
Exchange
Note
Par
Final Disposition
Investment Description
Preferred Stock (Series G)
Date
Amount / Shares
Transaction Type
Proceeds
8
Pricing Mechanism
5/27/2011
2,000,000,000
Cancellation
$
2/14/2011
$
-
Payment
$
185,726,192
N/A
3/8/2011
Exchange
$
3,375,328,432
167,623,733
97,008,351
2,153,520,000
Par
Payment
$
55,885,302
1/14/2011
Preferred Stock (Series E)
Exchange
Payment
$
971,506,765
$
5,576,121,382
$
1,521,632,096
6
1/14/2011
Common Stock (non-TARP)
Transfer
562,868,096
0
8
Par
Payment
$
1,493,250,339
Par
Payment
$
2,009,932,072
Par
3/8/2011
Payment
$
1,383,888,037
Par
Payment
$
44,941,843
Par
5/24/2011
Partial Disposition
$
5,800,000,000
N/A
Partial Disposition
$
6,000,000,008
N/A
5/6/2012
Partial Disposition
$
4,999,999,993
N/A
Partial Disposition
$
749,999,972
N/A
8/3/2012
Common Stock
$
Par
Payment
Partial Disposition
$
4,999,999,993
N/A
8/6/2012
N/A
8
Par
Payment
5/7/2012
924,546,133
0
Par
3/8/2012
5
$
Par
$
3/15/2012
ALICO Junior Preferred Interests
7
$
Payment
11/1/2011
N/A
Payment
8/18/2011
2/14/2011
Exchange
10
Par
3/22/2012
Preferred Stock (Series F)
0
Par
55,833,333
3/15/2012
1/14/2011
5,511,067,614
$
3/8/2012
4
7
$
9/2/2011
16,916,603,568
Payment
Payment
8/17/2011
$
$
Par
3/15/2011
AIA Preferred Units
Remaining Recap
Investment Amount,
Shares, or Equity %
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.
54
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.
55
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
2
7/19/2010
$ 4,300,000,000
6/28/2012
1/15/2013
1
3/3/2009
TALF LLC
Wilmington
DE
Purchase
Debt Obligation w/ Additional Note
$
20,000,000,000
3
4
$
Final Investment Amount
$
100,000,000
Total Investment Amount $
100,000,000
$
Repayment 5
Description
Amount
2/6/2013
1,400,000,000
N/A
Date
100,000,000
Principal Repayment
$
100,000,000
2/6/2013
3/6/2013
4/4/2013
5/6/2013
6/6/2013
7/5/2013
8/6/2013
9/6/2013
10/4/2013
11/6/2013
12/5/2013
1/7/2014
2/6/2014
3/6/2014
4/4/2014
5/6/2014
6/5/2014
7/7/2014
8/6/2014
9/5/2014
10/6/2014
11/6/2014
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
212,829,610
97,594,053
6,069,968
4,419,259
96,496,772
11,799,670
66,072,965
74,797,684
1,114,074
933,181
1,102,424
1,026,569
1,107,574
1,225,983
11,597,602
1,055,556
1,343,150
27,005,139
14,059,971
262,036
17,394,583
21,835,385
$
771,143,209
Total Repayment Amount 5
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.
5/ Repayment amounts do not include accrued interest proceeds received on 2/6/2013, which are reflected on the Dividends & Interest Report.
56
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
3
Amount
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
4,070,000
7,617,617
8,030,000
23,500,000
8,900,014
10,751,382
12,898,996
8,744,333
8,417,817
17,119,972
34,441,059
28,209,085
6,004,156
6,860,835
13,183,361
2,598,386
9,719,455
8,279,048
5,000,000
10,000,000
9,272,482
10,350,000
6,900,000
8,902,230
8,050,000
5,750,000
5,741,753
3,450,000
11,482,421
13,402,491
14,950,000
$
Pricing Mechanism
TBA or
PMF3
Investment Amount
Settlement Date
107.75
109
108.875
110.502
107.5
106.806
109.42
110.798
110.125
109.553
110.785
112.028
106.625
108.505
111.86
108.4375
106.75
110.198
110.088
110.821
110.515
112.476
105.875
111.584
110.759
106.5
110.5
110.875
113.838
113.9
114.006
-
3/24/2010
3/24/2010
3/24/2010
5/28/2010
4/30/2010
6/30/2010
6/30/2010
6/30/2010
7/30/2010
7/30/2010
8/30/2010
8/30/2010
9/30/2010
9/30/2010
9/30/2010
9/30/2010
10/29/2010
9/30/2010
10/29/2010
10/29/2010
9/29/2010
10/29/2010
11/30/2010
10/29/2010
11/30/2010
11/30/2010
11/30/2010
11/30/2010
12/30/2010
11/30/2010
12/30/2010
332,596,893
2,
3
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2,184
4,130
4,348
12,983
4,783
5,741
7,057
4,844
4,635
9,377
19,077
15,801
3,200
3,722
7,373
1,408
5,187
4,561
2,752
5,541
5,123
5,820
3,652
4,966
4,458
3,061
3,172
1,912
6,535
7,632
8,521
183,555
$
4,377,249
8,279,156
8,716,265
26,041,643
9,598,523
11,511,052
14,151,229
9,717,173
9,294,363
18,801,712
38,273,995
31,693,810
6,416,804
7,462,726
14,789,302
2,826,678
10,394,984
9,150,989
5,520,652
11,115,031
10,277,319
11,672,766
7,319,688
9,962,039
8,940,780
6,134,172
6,361,173
3,834,428
13,109,070
15,308,612
17,092,069
Senior Security
Proceeds 4
Total Senior Security Proceeds $
TOTAL INVESTMENT AMOUNT
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
TBA or
PMF3
-
Final Disposition
368,145,452
Purchase Face
Amount 3
6
Trade Date
PMF
6/21/2011
10/19/2011
6/21/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
9/20/2011
6/21/2011
9/20/2011
6/21/2011
10/19/2011
6/21/2011
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
-
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
4,070,000
7,617,617
8,030,000
23,500,000
8,900,014
10,751,382
12,898,996
8,744,333
8,417,817
17,119,972
34,441,059
28,209,085
6,004,156
6,860,835
13,183,361
2,598,386
9,719,455
8,279,048
5,000,000
10,000,000
9,272,482
10,350,000
6,900,000
8,902,230
8,050,000
5,750,000
5,741,753
3,450,000
11,482,421
13,402,491
14,950,000
Life-to-date
Principal Received
Current Face
Amount 6, 8
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Disposition
Amount 5, 6
1, 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
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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.
57
CREDIT MARKET PROGRAMS
LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)
Final Investment
Preliminary Adjusted
Seller
Footnote
Date
1
9/30/2009
Name of Institution
City
Purchase
Investment Description
Date
Par
1/4/2010
Amount
Date
DE
Purchase
Membership Interest
$
2,222,222,222
1,111,111,111
Par
Par
1/4/2010
4 $
3/22/2010 6 $
200,000,000
1/4/2010
Amount
1,244,437,500
1/4/2010
4 $
7/16/2010
4 $
156,250,000
Amount
$
200,000,000
$
856,000,000
$
156,250,000
Repayment Amount
Amount
Description
Distribution or Disposition
Date
Description
Proceeds
5
$
200,000,000
1/15/2010
$
156,250,000
$
580,960,000
1/11/2010
$
34,000,000
$
$
166,000,000
$
0
Membership Interest
0
2,444,347
$
578,515,653 Membership Interest
4/15/2010
$
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
2
9/30/2009
Invesco Legacy Securities Master Fund, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
9/26/2011 8 $
1,161,920,000
$
1,161,920,000
2/18/2010
$
4/15/2010
9/15/2010
161,386,870
$
4,888,718
$
$
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
$
Final Distribution
Distribution
Final Distribution
Distribution
Distribution
9/28/2012
Final Distribution
Adjusted Distribution
Distribution
$
20,091,872
$
5
48,922
0
5
$
Membership Interest
502,302
$
1,223
$
56,390,209
$
1,056,751
$
Contingent Proceeds
$
$
Distribution
Debt Obligation w/ Contingent
166,000,000 Proceeds
2/18/2010
3/29/2012
1/29/2010
7/8/2013
Wilmington
$
156,250,000
Investment After Capital Repayment
6/4/2013
Invesco Legacy Securities Master Fund, L.P.
Debt Obligation w/ Contingent Proceeds
4 $
Capital Repayment Details
Repayment
Date
8/9/2012
Purchase
1,111,111,111
9
3/29/2012
9/30/2009
DE
$
Amount
1/12/2010
1
Wilmington
Membership Interest
Pricing
Mechanism
7
2/24/2010
UST/TCW Senior Mortgage Securities Fund, L.P.
DE
Commitment
Amount
Final Commitment Amount
1/29/2010
9/30/2009
Wilmington
Transaction
Type
State
3
2/24/2010
2
UST/TCW Senior Mortgage Securities Fund, L.P.
Commitment
18,772
$
69,399
$
64,444
5
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
5
5
10
5
5, 13
5, 14
Debt Obligation w/ Contingent
1,157,031,282 Proceeds
Debt Obligation w/ Contingent
1,149,964,848 Proceeds
Debt Obligation w/ Contingent
1,089,942,174 Proceeds
Debt Obligation w/ Contingent
957,013,546 Proceeds
Debt Obligation w/ Contingent
925,324,316 Proceeds
Debt Obligation w/ Contingent
897,968,726 Proceeds
Debt Obligation w/ Contingent
805,668,588 Proceeds
Debt Obligation w/ Contingent
677,641,052 Proceeds
Debt Obligation w/ Contingent
522,231,766 Proceeds
Debt Obligation w/ Contingent
447,146,281 Proceeds
Debt Obligation w/ Contingent
428,886,768 Proceeds
Debt Obligation w/ Contingent
365,906,960 Proceeds
Debt Obligation w/ Contingent
345,144,428 Proceeds
Debt Obligation w/ Contingent
307,759,854 Proceeds
58
Preliminary Adjusted
Seller
Footnote
Date
Name of Institution
Commitment
City
Transaction
Type
State
Commitment
Amount
Investment Description
Pricing
Mechanism
Date
3
Amount
Final Investment
Final Commitment Amount
Date
7
Amount
Amount
9
Amount
Capital Repayment Details
Repayment
Date
Investment After Capital Repayment
Repayment Amount
Amount
12/14/2011
$
7,103,787
$
1/17/2012
$
6,577,144
$
2/14/2012
$
9,610,173
$
Description
Distribution or Disposition
Date
Description
Proceeds
Debt Obligation w/ Contingent
300,656,067 Proceeds
Debt Obligation w/ Contingent
294,078,924 Proceeds
Debt Obligation w/ Contingent
284,468,750 Proceeds
5
3/29/2012
Wellington Management Legacy Securities PPIF Master Fund, LP
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,262,037,500
7/16/2010
$
1,149,487,000
$
1,149,487,000
$
0
Contingent Proceeds
7/16/2012
$
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
$
243,459,145 Membership Interest
3/13/2013
$
243,459,145
$
0
Membership Interest
Final Distribution
Adjusted Distribution
Distribution
3/13/2013
10/1/2009
284,468,750
9/28/2012
7/8/2013
1
$
Distribution
6/4/2013
3/14/2012
Distribution
8/9/2012
Distribution
10/1/2009
Wellington Management Legacy Securities PPIF Master Fund, LP
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,524,075,000
7/16/2010
$
2,298,974,000
$
2,298,974,000
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
$
1/24/2013
$
341,479,690
$
10/2/2009
AllianceBernstein Legacy Securities Master Fund, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,244,437,500
7/16/2010
$
1,150,423,500
$
1,064,141,738
5
10
Distribution
4/17/2013
- Contingent Proceeds
5, 11
$
712,284 $
1,063,385,410 Membership Interest
6,716,327 $
1,056,669,083 Membership Interest
7,118,388 $
1,049,550,694 Membership Interest
39,999,800 $
1,009,550,894 Membership Interest
287,098,565 $
722,452,330 Membership Interest
68,749,656 $
653,702,674 Membership Interest
$
361,248,194 $
292,454,480 Membership Interest
8/30/2012
8/30/2012
$
292,454,480
$
- Membership Interest
10
Distribution
Distribution
9/19/2012
Distribution
5, 11
5, 11
5, 11
5, 11
10/1/2012
Par
3/22/2010 6 $
2,488,875,000
7/16/2010
$
2,300,847,000 12 $
2,128,000,000
5/16/2011
$
30,244,575
$
6/14/2011
5/3/2012
$
88,087
$
$
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
$
Distribution
8/13/2013
2,222,222,222
Distribution
12/21/2012
$
69,932
$
75,278,664
10
9/12/2012
Debt Obligation w/ Contingent Proceeds
16,195,771
10
8/14/2012
$
$
10
$
5, 11
10
$
5, 11
10
$
Distribution
10
$
Distribution
10
$
7/16/2012
Purchase
2,802,754
10
6/14/2012
DE
479,509,240
$
5
Debt Obligation w/ Contingent
2,173,974,000 Proceeds
Debt Obligation w/ Contingent
1,868,974,000 Proceeds
Debt Obligation w/ Contingent
1,068,974,000 Proceeds
Debt Obligation w/ Contingent
438,974,000 Proceeds
Debt Obligation w/ Contingent
341,479,690 Proceeds
5/14/2012
Wilmington
1,611
10
4/14/2011
AllianceBernstein Legacy Securities Master Fund, L.P.
$
10
1,064,097,694 Membership Interest
$
3/14/2011
10/2/2009
1,735
$
5, 14
469
$
10
44,043 $
1/15/2010
2/14/2011
2
40,556
$
5, 13
7/11/2013
1
3,434,460
10
7/11/2013
2
$
$
5
Distribution Refund
5, 11
$
79,071,633
$
106,300,357
$
25,909,972
$
678,683
$
(18,405)
Debt Obligation w/ Contingent
2,097,755,425 Proceeds
Debt Obligation w/ Contingent
2,097,667,339 Proceeds
Debt Obligation w/ Contingent
2,017,667,339 Proceeds
Debt Obligation w/ Contingent
1,987,667,339 Proceeds
Debt Obligation w/ Contingent
1,487,667,339 Proceeds
Debt Obligation w/ Contingent
1,443,467,339 Proceeds
Debt Obligation w/ Contingent
1,323,467,339 Proceeds
Debt Obligation w/ Contingent
1,305,967,339 Proceeds
Debt Obligation w/ Contingent
855,967,339 Proceeds
59
Preliminary Adjusted
Seller
Footnote
Date
Name of Institution
Commitment
City
Transaction
Type
State
Commitment
Amount
Investment Description
Pricing
Mechanism
Date
3
Amount
Final Investment
Final Commitment Amount
Date
7
Amount
Amount
9
Amount
Capital Repayment Details
Repayment
Date
Investment After Capital Repayment
Repayment Amount
Amount
8/14/2012
$
272,500,000
$
8/22/2012
$
583,467,339
$
Description
Distribution or Disposition
Date
Description
5, 11
10/3/2012
10/2/2009
Blackrock PPIF, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,244,437,500
7/16/2010
$
694,980,000
$
528,184,800
8/14/2012
$
90,269,076
- Contingent Proceeds
$
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
$
Distribution
12/21/2012
Distribution
8/13/2013
1
Distribution Refund
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
7/16/2010
$
1,389,960,000
$
1,053,000,000
7/31/2012
$
175,000,000
$
8/14/2012
8/31/2012
$
5,539,055
$
$
16,000,000
$
9/17/2012
$
1,667,352
$
9/28/2012
10/30/2009 AG GECC PPIF Master Fund, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,271,337,500
7/16/2010
$
1,243,275,000
$
1,117,399,170
35,000,000
$
$
25,334,218
$
10/18/2012
1
$
10/15/2012
$
794,459,374
$
5, 11
Distribution
12/5/2012
Distribution 5, 11
Distribution
Distribution
12/5/2012
- Membership Interest 10
Distribution 5, 11
Distribution
- Contingent Proceeds
$
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
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,542,675,000
7/16/2010
$
2,486,550,000
$
2,234,798,340
2/14/2012
$
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
$
1,433,088
$
141,894
$
184,431,858
10
10
10
10
10
10
10
10
10
5, 11
- Membership Interest 10
Distribution
Distribution
Distribution
4/19/2013
Distribution
Distribution
Distribution 5, 11
9/30/2014
Wilmington
8,289,431
$
10
5/29/2013
10/30/2009 AG GECC PPIF Master Fund, L.P.
$
5, 11
4/25/2013
2
1,609,739
10
3/14/2013
$
57,378,964
$
5, 11
2/21/2013
6,862,425
297,511,708
$
5, 11
2/27/2013
$
$
Debt Obligation w/ Contingent
878,000,000 Proceeds
Debt Obligation w/ Contingent
872,460,945 Proceeds
Debt Obligation w/ Contingent
856,460,945 Proceeds
Debt Obligation w/ Contingent
854,793,592 Proceeds
Debt Obligation w/ Contingent
819,793,592 Proceeds
Debt Obligation w/ Contingent
794,459,374 Proceeds
2/14/2012
2/21/2013
(460)
10
12/6/2013
Wilmington
16,967
$
10
11/5/2012
Blackrock PPIF, L.P.
12,012,957
10
12/6/2013
10/2/2009
$
$
5, 11
11/5/2012
2
Proceeds
Debt Obligation w/ Contingent
583,467,339 Proceeds
Final Distribution
5, 11
$
5, 11
156,174,219
$
5, 11
20,999,895
$
5, 11
105,620,441
$
5, 11
42,099,442
$
49,225,244
$
1,748,833
Debt Obligation w/ Contingent
2,060,598,340 Proceeds
Debt Obligation w/ Contingent
1,861,673,340 Proceeds
Debt Obligation w/ Contingent
1,711,673,340 Proceeds
Debt Obligation w/ Contingent
1,674,173,340 Proceeds
Debt Obligation w/ Contingent
1,537,373,340 Proceeds
Debt Obligation w/ Contingent
1,287,373,340 Proceeds
Debt Obligation w/ Contingent
806,023,340 Proceeds
60
Preliminary Adjusted
Seller
Footnote
Date
Name of Institution
Commitment
City
Transaction
Type
State
Commitment
Amount
Investment Description
Pricing
Mechanism
Date
3
Amount
Final Investment
Final Commitment Amount
Date
7
Amount
Amount
9
Amount
Capital Repayment Details
Repayment
Date
Investment After Capital Repayment
Repayment Amount
Amount
11/15/2012
$
274,590,324
$
12/14/2012
$
147,534,295
$
1/15/2013
$
182,823,491
$
Description
Distribution or Disposition
Date
Description
5, 11
4/19/2013
Par
3/22/2010 6 $
1,244,437,500
7/16/2010
$
620,578,258
$
620,578,258
619,375,301 Membership Interest
$
3,521,835 $
615,853,465 Membership Interest
104,959,251 $
510,894,215 Membership Interest
72,640,245 $
438,253,970 Membership Interest
180,999,095 $
257,254,875 Membership Interest
134,999,325 $
122,255,550 Membership Interest
8/14/2012
9/17/2012
9/28/2012
10/15/2012
11/4/2009
RLJ Western Asset Public/Private Master Fund, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
7/16/2010
$
1,241,156,516
$
1,241,000,000
$
122,255,550
$
5/13/2011
$
13,531,530
$
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
1
11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,244,437,500
7/16/2010
$
474,550,000
$
474,550,000
Distribution
Distribution
Distribution
Final Distribution
Distribution
$
161,866,170
$
- Membership Interest 10
- Contingent Proceeds
$
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
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
7/16/2010
$
949,100,000
$
949,000,000
61,767
6,789,287
$
3,718,769
$
$
39,026,406
$
30,369,198 Membership Interest
$
30,369,198
$
9/17/2012
$
149,000,000
$
11/15/2012
$
119,575,516
$
5, 11
5, 11
5, 11
5, 15
5, 11
13,750
$
1,884
$
1,544
$
164,629,827
$
71,462,104
$
38,536,072
$
29,999,850
$
3,999,980
$
5,707,723
10
10
- Membership Interest 10
Distribution
Distribution
5/16/2013
Distribution
Distribution
Distribution
12/27/2013
Purchase
75,372
$
5, 15
10
9/5/2013
DE
549,997
$
$
5, 11
10
7/11/2013
Wilmington
148,749,256
$
5, 11
10
3/25/2013
11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P.
147,464,888
$
5, 11
10
4/16/2013
2
$
5, 11
Debt Obligation w/ Contingent
1,227,468,470 Proceeds
Debt Obligation w/ Contingent
608,718,470 Proceeds
Debt Obligation w/ Contingent
457,712,297 Proceeds
Debt Obligation w/ Contingent
446,703,645 Proceeds
Debt Obligation w/ Contingent
286,210,415 Proceeds
Debt Obligation w/ Contingent
182,503,579 Proceeds
Debt Obligation w/ Contingent
161,866,170 Proceeds
9/17/2012
3/25/2013
41,556
10
$
4/14/2011
2
Distribution
$
10
$
1,230,643
10
$
5, 11
1,052,497
$
10
$
17,118,005
$
10
$
$
5, 11
10
3/14/2011
10/19/2012
12/21/2012
1,202,957 $
Final Distribution
1/28/2015
1,111,111,111
Distribution
12/11/2013
$
12/21/2012
11/2/2012
Membership Interest
Distribution
10/19/2012
Purchase
Distribution
1/28/2015
DE
Final Distribution
12/11/2013
Wilmington
- Contingent Proceeds
Distribution 5, 11
11/2/2012
RLJ Western Asset Public/Private Master Fund, L.P.
$
Distribution
10/19/2012
11/4/2009
201,075,230
4/25/2013
9/30/2014
1
$
Distribution
5/29/2013
2/14/2013
Proceeds
Debt Obligation w/ Contingent
531,433,016 Proceeds
Debt Obligation w/ Contingent
383,898,721 Proceeds
Debt Obligation w/ Contingent
201,075,230 Proceeds
Distribution
5, 11
5, 11
5, 11
5, 11
5, 11
5, 11
Debt Obligation w/ Contingent
800,000,000 Proceeds
Debt Obligation w/ Contingent
680,424,484 Proceeds
61
Preliminary Adjusted
Seller
Footnote
Date
Name of Institution
Commitment
City
Transaction
Type
State
Commitment
Amount
Investment Description
Pricing
Mechanism
Date
3
Amount
Final Investment
Final Commitment Amount
Date
7
Amount
Amount
9
Amount
Capital Repayment Details
Repayment
Date
Investment After Capital Repayment
Repayment Amount
Amount
11/20/2012
$
195,000,000
$
12/14/2012
$
47,755,767
$
1/15/2013
$
62,456,214
$
Description
Distribution or Disposition
Date
Description
5, 11
4/16/2013
1
12/18/2009 Oaktree PPIP Fund, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,244,437,500
7/16/2010
$
1,160,784,100
$
555,904,633
7/15/2011
$
39,499,803 $
516,404,830 Membership Interest
$
39,387,753 $
477,017,077 Membership Interest
Distribution
Distribution
Distribution
6/24/2013
Distribution
6/26/2013
Distribution
7/9/2013
Final Distribution
100,001
$
142,168
$
46,575,750
$
54,999,725
$
5, 11
750,004
$
5, 11
963,411
$
5, 11
7,143,340
$
Distribution 5, 11
12/12/2013
$
5, 11
27,999,860
10
3/14/2012
Distribution
6/14/2013
- Contingent Proceeds
Distribution
6/3/2013
$
7/11/2013
12/27/2013
375,212,503
Distribution
9/5/2013
$
Distribution
5/16/2013
1/24/2013
Proceeds
Debt Obligation w/ Contingent
485,424,484 Proceeds
Debt Obligation w/ Contingent
437,668,717 Proceeds
Debt Obligation w/ Contingent
375,212,503 Proceeds
10
9/17/2012
$
22,111,961 $
454,905,116 Membership Interest
10
10/15/2012
$
32,496,972 $
422,408,144 Membership Interest
10
11/15/2012
$
111,539,536 $
310,868,608 Membership Interest
10
12/14/2012
$
55,540,026 $
255,328,581 Membership Interest
10
1/15/2013
$
14,849,910 $
240,478,671 Membership Interest
10
4/12/2013
$
18,268,328 $
222,210,343 Membership Interest
10
5/14/2013
$
70,605,973 $
151,604,370 Membership Interest
10
5/28/2013
$
119,769,362 $
31,835,008 Membership Interest
10
6/3/2013
$
31,835,008
$
- Membership Interest 10
5, 11
5, 11
5, 11
5, 11
$
5, 11
11,749,941
$
40,974,795
$
539,009
62
Preliminary Adjusted
Seller
Footnote
Date
Name of Institution
Commitment
City
Transaction
Type
State
Commitment
Amount
Investment Description
Pricing
Mechanism
Date
3
Amount
Final Investment
Final Commitment Amount
Date
7
Amount
Amount
9
Amount
Capital Repayment Details
Repayment
Date
Investment After Capital Repayment
Repayment Amount
Amount
Description
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
7/16/2010
$
2,321,568,200
$
1,111,000,000
78,775,901
$
$
44,224,144
$
$
64,994,269
$
223,080,187
$
111,080,608
$
Debt Obligation w/ Contingent
509,844,892 Proceeds
$
89,099,906
$
Debt Obligation w/ Contingent
420,744,985 Proceeds
$
109,610,516
$
Debt Obligation w/ Contingent
311,134,469 Proceeds
5, 11
5/28/2013
$
30,000,000,000
FINAL COMMITMENT AMOUNT
$
Distribution
Distribution 5, 11
Final Distribution
$
5, 11
1,375,007
$
5, 11
1,960,289
$
5, 11
444,393
$
5, 11
700,004
$
5, 11
293,751
$
TOTAL DISTRIBUTIONS 5
21,856,403,574
TOTAL CAPITAL REPAYMENT AMOUNT $
- Contingent Proceeds
Distribution
12/12/2013
$
6/24/2013
7/9/2013
311,134,469
Distribution
6/26/2013
$
Distribution
6/14/2013
5/14/2013
Distribution
6/3/2013
INITIAL COMMITMENT AMOUNT
Proceeds
Debt Obligation w/ Contingent
620,925,500 Proceeds
$
Description
Debt Obligation w/ Contingent
844,005,687 Proceeds
$
Date
Debt Obligation w/ Contingent
908,999,956 Proceeds
4/12/2013
$
$
1/15/2013
Debt Obligation w/ Contingent Proceeds
Debt Obligation w/ Contingent
1,032,000,000 Proceeds
Debt Obligation w/ Contingent
953,224,099 Proceeds
12/14/2012
Purchase
$
11/15/2012
DE
79,000,000
10/15/2012
Wilmington
$
9/17/2012
12/18/2009 Oaktree PPIP Fund, L.P.
7/15/2011
3/14/2012
2
Distribution or Disposition
1,024,380
$
13,475
$
2,645,169,622
18,625,147,938
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.
13/ On, 6/5/2013, Invesco Mortgage Recovery Master Fund L.P. made a distribution to Treasury that is the result of adjustments made to positions previously held by the Invesco Legacy Securities Master Fund, L.P. “Partnership”, of which The U.S. Department of the Treasury is a Limited Partner. The adjusted distribution was made 18 months after the Final Distribution on 9/28/2012.
14/ On 7/8/2013, Invesco Mortgage Recovery Master Fund L.P. made a distribution to Treasury arising from the Settlement Agreement between Jefferies LLC and Invesco Advisers, Inc. dated as of 3/20/2013.
15/ On 1/28/2015, Western Asset Management Company made a distribution to Treasury in respect of certain settlement proceeds.
63
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Transactions Report - Housing Programs
For Period Ending 1/15/2015
MAKING HOME AFFORDABLE PROGRAM
Servicer Modifying Borrowers' Loans
Name of Institution
Date
03/14/2013
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Note
Adjustment
Date
CAP Adjustment
Amount
Reason for Adjustment
Adjusted CAP
East Hartford
CT
Purchase
Financial Instrument for Home Loan Modifications
60,000
$
310,000 Updated portfolio data from servicer/additional program initial cap
$
(80,000)
$
230,000 Updated portfolio data from servicer/additional program initial cap
$
280,000
$
510,000 Updated portfolio data from servicer
$
(410,000)
$
100,000 Updated portfolio data from servicer
$
45,056
$
145,056 Updated portfolio data from servicer
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
$
(7,654)
$
08/14/2014
$
7,600,000
$
7,600,000 Transfer of cap due to servicing transfer
$
(1,152)
$
7,598,848 Updated due to quarterly assessment and reallocation
$
1,832,887
$
9,431,735 Updated due to quarterly assessment and reallocation
$
70,000
$
9,501,735 Transfer of cap due to servicing transfer
$
45,056
$
145,056 Updated portfolio data from servicer
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
American Eagle Federal Credit Union
$
09/29/2014
12/09/2009
(145,056)
07/29/2014
3
145,056 Updated portfolio data from servicer
$
06/26/2014
- N/A
$
03/26/2014
Financial Instrument for Home Loan Modifications
45,056
12/23/2013
Purchase
14,252,215 Transfer of cap due to servicing transfer
$
03/25/2013
IN
$
09/27/2012
New Castle
40,000
06/28/2012
Ameriana Bank
14,212,215 Updated due to quarterly assessment and reallocation
$
06/29/2011
07/16/2014
10,748,414 Transfer of cap due to servicing transfer
$
09/30/2010
100,000 N/A
$
3,463,801
01/15/2015
$
50,000
$
12/29/2014
Financial Instrument for Home Loan Modifications
10,698,414 Updated due to quarterly assessment and reallocation
$
09/29/2014
Purchase
$
12/29/2014
TX
(2,146)
09/29/2014
Amarillo
10,700,560 Transfer of cap due to servicing transfer
$
07/29/2014
Amarillo National Bank
$
06/26/2014
09/30/2010
10,570,560 Transfer of cap due to servicing transfer
130,000
10/02/2009
3
10,520,560 Updated due to quarterly assessment and reallocation
$
$
03/26/2014
- N/A
10,526,735 Updated due to quarterly assessment and reallocation
$
50,000
12/23/2013
Financial Instrument for Home Loan Modifications
$
(6,175)
$
03/25/2013
Purchase
(3,148)
$
09/27/2012
UT
$
06/28/2012
Midvale
10,529,883 Transfer of cap due to servicing transfer
06/29/2011
Ally Bank
10,339,883 Transfer of cap due to servicing transfer
$
09/30/2010
08/14/2014
$
190,000
09/30/2010
250,000 N/A
10,000,000
$
07/14/2010
$
$
03/26/2010
Financial Instrument for Home Loan Modifications
$
12/30/2009
Purchase
(20)
03/23/2011
FL
339,903 Transfer of cap due to servicing transfer
$
01/15/2015
Allstate Mortgage Loans & Investments, Inc. Ocala
$
12/29/2014
09/11/2009
180,000
11/14/2014
100,000 N/A
159,903 Updated due to quarterly assessment and reallocation
$
09/29/2014
$
159,999 Transfer of cap due to servicing transfer
$
09/16/2014
Financial Instrument for Home Loan Modifications
$
(96)
08/14/2014
Purchase
30,000
$
07/29/2014
SC
129,999 Updated due to quarterly assessment and reallocation
$
06/26/2014
Columbia
130,000 Transfer of cap due to servicing transfer
$
06/16/2014
AgFirst Farm Credit Bank
$
(1)
04/16/2014
09/30/2010
130,000
03/26/2014
3
$
01/16/2014
- N/A
$
12/23/2013
TN
03/14/2013
12/16/2013
Knoxville
Financial Instrument for Home Loan Modifications
Pricing Mechanism
03/25/2013
21st Mortgage Corporation
Purchase
Investment Description
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
07/16/2014
$
60,000
$
339,883 Updated due to quarterly assessment and reallocation
- Termination of SPA
136,807 Updated due to quarterly assessment and reallocation
60,000 Transfer of cap due to servicing transfer
1,660,000 Updated portfolio data from servicer/additional program initial cap
$
1,370,000 Updated portfolio data from servicer
$
(570,000)
$
800,000 Updated portfolio data from servicer
$
70,334
$
870,334 Updated portfolio data from servicer
$
(1)
$
870,333 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
870,332 Updated due to quarterly assessment and reallocation
06/29/2011
$
(13)
$
870,319 Updated due to quarterly assessment and reallocation
01/25/2012
$
(870,319)
09/30/2010
American Financial Resources Inc.
Pasadena
Parsippany
CA
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
$
100,000 N/A
$
145,056 Updated portfolio data from servicer
- Termination of SPA
100,000 N/A
09/30/2010
$
45,056
02/02/2011
American Finance House LARIBA
Financial Instrument for Home Loan Modifications
$
01/06/2011
Purchase
70,000
(290,000)
09/30/2010
09/24/2010
$
$
07/14/2010
1,590,000 N/A
01/22/2010
03/26/2010
$
$
(145,056)
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
- Termination of SPA
64
12/23/2013
144,461 Updated due to quarterly assessment and reallocation
$
136,807 Updated due to quarterly assessment and reallocation
$
30,000
$
$
250,111
$
290,111 Updated portfolio data from servicer
$
59,889
$
350,000 Updated due to quarterly assessment and reallocation
$
(2)
$
349,998 Updated due to quarterly assessment and reallocation
$
(5)
$
349,993 Updated due to quarterly assessment and reallocation
$
(1)
$
349,992 Updated due to quarterly assessment and reallocation
03/25/2013
$
(3)
$
349,989 Updated due to quarterly assessment and reallocation
06/27/2013
$
(1)
$
349,988 Updated due to quarterly assessment and reallocation
12/23/2013
$
(759)
$
349,229 Updated due to quarterly assessment and reallocation
03/26/2014
$
(27)
$
349,202 Updated due to quarterly assessment and reallocation
06/26/2014
$
(315)
$
348,887 Updated due to quarterly assessment and reallocation
07/29/2014
$
(625)
$
348,262 Updated due to quarterly assessment and reallocation
09/29/2014
$
(207)
$
348,055 Updated due to quarterly assessment and reallocation
12/29/2014
$
(3,496)
$
40,000 Updated portfolio data from servicer/additional program initial cap
344,559 Updated due to quarterly assessment and reallocation
$
393,245,731 Updated portfolio data from servicer
$
(342)
$
393,245,389 Updated due to quarterly assessment and reallocation
$
(374)
$
393,245,015 Updated due to quarterly assessment and reallocation
$
18,000,000
$
411,245,015 Transfer of cap due to servicing transfer
$
(3,273)
$
411,241,742 Updated due to quarterly assessment and reallocation
$
(200,000)
$
411,041,742 Transfer of cap due to servicing transfer
$
100,000
$
411,141,742 Transfer of cap due to servicing transfer
$
(500,000)
$
410,641,742 Transfer of cap due to servicing transfer
$
(1,768)
$
410,639,974 Updated due to quarterly assessment and reallocation
$
(90,000)
$
410,549,974 Transfer of cap due to servicing transfer
$
(134,230,000)
$
276,319,974 Transfer of cap due to servicing transfer
$
(166,976,849)
$
109,343,125 Transfer of cap due to servicing transfer
09/27/2012
$
1
$
109,343,126 Updated due to quarterly assessment and reallocation
11/15/2012
$
(230,000)
$
109,113,126 Transfer of cap due to servicing transfer
03/25/2013
$
(1)
$
109,113,125 Updated due to quarterly assessment and reallocation
05/16/2013
$
(20,000)
$
109,093,125 Transfer of cap due to servicing transfer
06/14/2013
$
(50,000)
$
109,043,125 Transfer of cap due to servicing transfer
06/27/2013
$
(15)
$
109,043,110 Updated due to quarterly assessment and reallocation
07/09/2013
$
(23,179,591)
$
07/14/2010
$
4,440,000
$
09/24/2010
$
(5,500,000)
12/16/2013
$
40,000
$
40,000 Transfer of cap due to servicing transfer
12/29/2014
$
2,719
$
42,719 Updated due to quarterly assessment and reallocation
85,863,519 Termination of SPA
5,500,000 Updated portfolio data from servicer
- Termination of SPA
$
798,900,000 N/A
$
2,465,775 Updated due to quarterly assessment and reallocation
(53)
$
2,465,722 Updated due to quarterly assessment and reallocation
$
(20)
$
2,465,702 Updated due to quarterly assessment and reallocation
$
460,000
$
2,925,702 Transfer of cap due to servicing transfer
$
(7)
$
2,925,695 Updated due to quarterly assessment and reallocation
$
(12,339)
$
2,913,356 Updated due to quarterly assessment and reallocation
$
50,000
$
2,963,356 Transfer of cap due to servicing transfer
$
(449)
$
2,962,907 Updated due to quarterly assessment and reallocation
$
10,000
$
2,972,907 Transfer of cap due to servicing transfer
$
20,000
$
2,992,907 Transfer of cap due to servicing transfer
$
(5,322)
$
2,987,585 Updated due to quarterly assessment and reallocation
$
(10,629)
$
2,976,956 Updated due to quarterly assessment and reallocation
$
(3,515)
$
2,973,441 Updated due to quarterly assessment and reallocation
12/29/2014
Financial Instrument for Home Loan Modifications
(14)
$
09/29/2014
Purchase
2,465,789 Updated due to quarterly assessment and reallocation
$
07/29/2014
CA
$
06/26/2014
Simi Valley
(83)
05/15/2014
Bank of America, N.A.
2,465,872 Updated due to quarterly assessment and reallocation
$
04/16/2014
04/17/2009
$
03/26/2014
3
(30)
01/16/2014
- N/A
2,465,902 Updated due to quarterly assessment and reallocation
$
12/23/2013
Financial Instrument for Home Loan Modifications
2,465,938 Updated due to quarterly assessment and reallocation
$
09/27/2013
Purchase
$
(36)
09/16/2013
ME
(4)
$
06/27/2013
Bangor
2,465,942 Updated due to quarterly assessment and reallocation
$
03/25/2013
Bangor Savings Bank
2,465,945 Updated portfolio data from servicer
$
12/27/2012
09/15/2011
$
(3)
09/27/2012
1,700,000 N/A
765,945
06/28/2012
$
$
06/29/2011
PR
$
03/30/2011
San Juan
09/30/2010
01/06/2011
Banco Popular de Puerto Rico
Financial Instrument for Home Loan Modifications
(8,454,269)
08/23/2012
Purchase
401,700,000 Updated portfolio data from servicer/additional program initial cap
$
08/16/2012
09/30/2010
401,300,000 Updated portfolio data from servicer
$
07/16/2012
3
$
400,000
06/28/2012
11
(76,870,000)
$
04/16/2012
1,060,000 N/A
478,170,000 Updated portfolio data from servicer
$
03/15/2012
$
469,020,000 Updated portfolio data from servicer/additional program initial cap
$
10/14/2011
Financial Instrument for Home Loan Modifications
$
9,150,000
06/29/2011
Purchase
21,330,000
$
05/13/2011
FL
$
03/30/2011
Lake Mary
447,690,000 Updated portfolio data from servicer/additional program initial cap
01/06/2011
Axiom Bank (Urban Trust Bank)
459,550,000 Updated portfolio data from servicer
$
09/30/2010
03/03/2010
$
(11,860,000)
09/01/2010
798,000,000 N/A
(338,450,000)
07/14/2010
$
$
03/26/2010
CO
$
12/30/2009
Littleton
06/17/2009
09/30/2009
Aurora Loan Services, LLC
Financial Instrument for Home Loan Modifications
$
(7,654)
12/27/2012
Purchase
(63)
$
09/27/2012
05/01/2009
144,524 Updated due to quarterly assessment and reallocation
$
05/26/2010
10,000 N/A
$
06/28/2012
$
(191)
06/29/2011
Financial Instrument for Home Loan Modifications
144,715 Updated due to quarterly assessment and reallocation
$
09/30/2010
Purchase
144,811 Updated due to quarterly assessment and reallocation
$
12/29/2014
NJ
144,819 Updated due to quarterly assessment and reallocation
$
(96)
09/29/2014
Marlton
$
(8)
$
07/29/2014
Aurora Financial Group, Inc.
(232)
$
06/26/2014
05/21/2010
$
03/26/2014
$
(354,804)
$
2,618,637 Updated due to quarterly assessment and reallocation
09/15/2011
$
100,000
$
100,000 Transfer of cap due to servicing transfer
06/12/2009
$
5,540,000
$
09/30/2009
$
162,680,000
$
967,120,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
665,510,000
$
1,632,630,000 Updated portfolio data from servicer/additional program initial cap
01/26/2010
$
800,390,000
$
2,433,020,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(829,370,000)
$
1,603,650,000 Updated portfolio data from servicer
07/14/2010
$
(366,750,000)
$
1,236,900,000 Updated portfolio data from servicer
09/30/2010
$
95,300,000
$
1,332,200,000 Updated portfolio data from servicer/additional program initial cap
804,440,000 Updated portfolio data from servicer
65
09/30/2010
$
222,941,084
$
1,555,141,084 Updated portfolio data from servicer
01/06/2011
$
(2,199)
$
1,555,138,885 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2,548)
$
1,555,136,337 Updated due to quarterly assessment and reallocation
06/29/2011
$
(23,337)
$
1,555,113,000 Updated due to quarterly assessment and reallocation
08/16/2011
$
(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
05/16/2012
$
(200,000)
$
1,433,013,000 Transfer of cap due to servicing transfer
1,432,995,107 Updated due to quarterly assessment and reallocation
06/28/2012
Bank of America, N.A. (BAC Home Loans
Servicing, LP)
Simi Valley
CA
Purchase
Financial Instrument for Home Loan Modifications
$
1,864,000,000 N/A
(17,893)
$
08/10/2012
$
(1,401,716,594)
$
7
04/17/2009
$
7
10/16/2013
$
(260,902)
$
06/12/2009
$
3,318,840,000
$
5,182,840,000 Updated portfolio data from servicer
09/30/2009
$
(717,420,000)
$
4,465,420,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
2,290,780,000
$
6,756,200,000 Updated portfolio data from servicer/additional program initial cap
01/26/2010
$
450,100,000
$
7,206,300,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
905,010,000
$
8,111,310,000 Updated portfolio data from servicer
04/19/2010
$
10,280,000
$
8,121,590,000 Transfer of cap due to servicing transfer
06/16/2010
$
286,510,000
$
8,408,100,000 Transfer of cap due to servicing transfer
07/14/2010
$
(1,787,300,000)
$
6,620,800,000 Updated portfolio data from servicer
09/30/2010
$
105,500,000
$
6,726,300,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(614,527,362)
$
6,111,772,638 Updated portfolio data from servicer
12/15/2010
$
236,000,000
$
6,347,772,638 Transfer of cap due to servicing transfer
01/06/2011
$
(8,012)
$
6,347,764,626 Updated due to quarterly assessment and reallocation
02/16/2011
$
1,800,000
$
6,349,564,626 Transfer of cap due to servicing transfer
03/16/2011
$
100,000
$
6,349,664,626 Transfer of cap due to servicing transfer
03/30/2011
$
(9,190)
$
6,349,655,436 Updated due to quarterly assessment and reallocation
04/13/2011
$
200,000
$
6,349,855,436 Transfer of cap due to servicing transfer
05/13/2011
$
300,000
$
6,350,155,436 Transfer of cap due to servicing transfer
06/16/2011
$
(1,000,000)
$
6,349,155,436 Transfer of cap due to servicing transfer
06/29/2011
$
(82,347)
$
6,349,073,089 Updated due to quarterly assessment and reallocation
07/14/2011
$
(200,000)
$
6,348,873,089 Transfer of cap due to servicing transfer
08/16/2011
$
(3,400,000)
$
6,345,473,089 Transfer of cap due to servicing transfer
09/15/2011
$
(1,400,000)
$
6,344,073,089 Transfer of cap due to servicing transfer
10/14/2011
$
120,600,000
$
6,464,673,089 Transfer of cap due to servicing transfer
10/19/2011
$
317,956,289
$
6,782,629,378 Transfer of cap due to merger/acquisition
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
02/16/2012
$
(2,100,000)
$
6,763,729,378 Transfer of cap due to servicing transfer
03/15/2012
$
(23,900,000)
$
6,739,829,378 Transfer of cap due to servicing transfer
04/16/2012
$
(63,800,000)
$
6,676,029,378 Transfer of cap due to servicing transfer
05/16/2012
$
20,000
$
6,676,049,378 Transfer of cap due to servicing transfer
06/14/2012
$
(8,860,000)
$
6,667,189,378 Transfer of cap due to servicing transfer
06/28/2012
$
(58,550)
$
6,667,130,828 Updated due to quarterly assessment and reallocation
07/16/2012
$
(6,840,000)
$
6,660,290,828 Transfer of cap due to servicing transfer
08/10/2012
$
1,401,716,594
$
8,062,007,423 Transfer of cap due to merger/acquisition
08/16/2012
$
(4,780,000)
$
8,057,227,423 Transfer of cap due to servicing transfer
09/27/2012
$
(205,946)
$
8,057,021,476 Updated due to quarterly assessment and reallocation
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)
$
7,826,151,476 Transfer of cap due to servicing transfer
12/27/2012
$
(33,515)
$
7,826,117,961 Updated due to quarterly assessment and reallocation
01/16/2013
$
(27,000,000)
$
7,799,117,961 Transfer of cap due to servicing transfer
02/14/2013
$
(41,830,000)
$
7,757,287,961 Transfer of cap due to servicing transfer
03/14/2013
$
(5,900,000)
$
7,751,387,961 Transfer of cap due to servicing transfer
03/25/2013
$
(122,604)
$
7,751,265,357 Updated due to quarterly assessment and reallocation
04/16/2013
$
(1,410,000)
$
7,749,855,357 Transfer of cap due to servicing transfer
05/16/2013
$
(940,000)
$
7,748,915,357 Transfer of cap due to servicing transfer
06/14/2013
$
(16,950,000)
$
7,731,965,357 Transfer of cap due to servicing transfer
06/27/2013
$
(45,103)
$
7,731,920,254 Updated due to quarterly assessment and reallocation
07/16/2013
$
(25,580,000)
$
7,706,340,254 Transfer of cap due to servicing transfer
08/15/2013
$
(6,730,000)
$
7,699,610,254 Transfer of cap due to servicing transfer
09/16/2013
$
(290,640,000)
$
7,408,970,254 Transfer of cap due to servicing transfer
09/27/2013
$
(15,411)
$
7,408,954,843 Updated due to quarterly assessment and reallocation
10/15/2013
$
(79,200,000)
$
7,329,754,843 Transfer of cap due to servicing transfer
10/16/2013
$
260,902
$
7,330,015,745 Transfer of cap due to merger/acquisition
11/14/2013
$
(14,600,000)
$
7,315,415,745 Transfer of cap due to servicing transfer
12/16/2013
$
(23,220,000)
$
7,292,195,745 Transfer of cap due to servicing transfer
12/23/2013
$
(25,226,860)
$
7,266,968,885 Updated due to quarterly assessment and reallocation
01/16/2014
$
(27,070,000)
$
7,239,898,885 Transfer of cap due to servicing transfer
02/13/2014
$
(110,110,000)
$
7,129,788,885 Transfer of cap due to servicing transfer
03/14/2014
$
(27,640,000)
$
7,102,148,885 Transfer of cap due to servicing transfer
03/26/2014
$
(868,425)
$
7,101,280,460 Updated due to quarterly assessment and reallocation
04/16/2014
$
(17,710,000)
$
7,083,570,460 Transfer of cap due to servicing transfer
05/15/2014
$
(30,040,000)
$
7,053,530,460 Transfer of cap due to servicing transfer
06/16/2014
$
(9,660,000)
$
7,043,870,460 Transfer of cap due to servicing transfer
06/26/2014
$
(10,084,970)
$
7,033,785,490 Updated due to quarterly assessment and reallocation
31,278,513 Termination of SPA
31,017,611 Termination of SPA
66
07/16/2014
6,967,926,873 Updated due to quarterly assessment and reallocation
$
6,949,476,873 Transfer of cap due to servicing transfer
$
(20,390,000)
$
6,929,086,873 Transfer of cap due to servicing transfer
$
(9,530,000)
$
6,919,556,873 Transfer of cap due to servicing transfer
$
(719,816,794)
$
6,199,740,079 Updated due to quarterly assessment and reallocation
$
(1,240,000)
$
6,198,500,079 Transfer of cap due to servicing transfer
01/22/2010
$
4,370,000
$
$
23,880,000
$
121,910,000 Updated portfolio data from servicer
$
(16,610,000)
$
105,300,000 Updated portfolio data from servicer
09/30/2010
$
1,751,033
$
107,051,033 Updated portfolio data from servicer
01/06/2011
$
(77)
$
107,050,956 Updated due to quarterly assessment and reallocation
03/16/2011
$
(9,900,000)
$
97,150,956 Transfer of cap due to servicing transfer
03/30/2011
$
(88)
$
97,150,868 Updated due to quarterly assessment and reallocation
06/29/2011
$
(773)
$
97,150,095 Updated due to quarterly assessment and reallocation
03/15/2012
$
(1,400,000)
$
95,750,095 Transfer of cap due to servicing transfer
06/28/2012
$
(277)
$
95,749,818 Updated due to quarterly assessment and reallocation
09/27/2012
$
(549)
$
95,749,269 Updated due to quarterly assessment and reallocation
12/27/2012
$
(65)
$
95,749,204 Updated due to quarterly assessment and reallocation
02/14/2013
$
(2,670,000)
$
93,079,204 Transfer of cap due to servicing transfer
03/25/2013
$
(142)
$
93,079,062 Updated due to quarterly assessment and reallocation
05/16/2013
$
(610,000)
$
92,469,062 Transfer of cap due to servicing transfer
06/27/2013
$
(48)
$
92,469,014 Updated due to quarterly assessment and reallocation
09/16/2013
$
(40,000)
$
92,429,014 Transfer of cap due to servicing transfer
09/27/2013
$
(14)
$
92,429,000 Updated due to quarterly assessment and reallocation
11/14/2013
$
(30,000)
$
92,399,000 Transfer of cap due to servicing transfer
12/16/2013
$
(1,190,000)
$
91,209,000 Transfer of cap due to servicing transfer
12/23/2013
$
(14,953)
$
91,194,047 Updated due to quarterly assessment and reallocation
02/13/2014
$
(170,000)
$
91,024,047 Transfer of cap due to servicing transfer
03/26/2014
$
(721)
$
91,023,326 Updated due to quarterly assessment and reallocation
06/16/2014
$
(660,000)
$
90,363,326 Transfer of cap due to servicing transfer
06/26/2014
$
(6,982)
$
90,356,344 Updated due to quarterly assessment and reallocation
07/29/2014
$
(13,755)
$
90,342,589 Updated due to quarterly assessment and reallocation
09/16/2014
$
(440,000)
$
89,902,589 Transfer of cap due to servicing transfer
09/29/2014
$
(3,805)
$
89,898,784 Updated due to quarterly assessment and reallocation
12/16/2014
$
(250,000)
$
12/29/2014
$
11,779,329
$
101,428,113 Updated due to quarterly assessment and reallocation
01/15/2015
$
(100,000)
$
101,328,113 Transfer of cap due to servicing transfer
98,030,000 Updated portfolio data from servicer/additional program initial cap
89,648,784 Transfer of cap due to servicing transfer
07/01/2009
Bayview Loan Servicing, LLC
Coral Gables
FL
Purchase
Financial Instrument for Home Loan Modifications
$
230,000 N/A
44,260,000 N/A
2,120,000 Updated portfolio data from servicer
$
2,000,000 Updated portfolio data from servicer
(1,419,778)
$
580,222 Updated portfolio data from servicer
$
(1)
$
580,221 Updated due to quarterly assessment and reallocation
$
(1)
$
580,220 Updated due to quarterly assessment and reallocation
$
(8)
$
580,212 Updated due to quarterly assessment and reallocation
$
(580,212)
01/22/2010
$
10,000
$
240,000 Updated portfolio data from servicer/additional program initial cap
$
440,000
$
680,000 Updated portfolio data from servicer
$
(80,000)
$
600,000 Updated portfolio data from servicer
$
(19,778)
$
580,222 Updated portfolio data from servicer
10/15/2010
$
$
(120,000)
$
09/30/2010
Financial Instrument for Home Loan Modifications
160,000
$
07/14/2010
Purchase
$
03/26/2010
FL
1,960,000 Updated portfolio data from servicer/additional program initial cap
01/25/2012
Tampa
500,000 Updated portfolio data from servicer/additional program initial cap
$
06/29/2011
Bay Gulf Credit Union
$
03/30/2011
12/09/2009
90,000
01/06/2011
410,000 N/A
1,460,000
09/30/2010
$
$
07/14/2010
CA
$
03/26/2010
Capitola
10/02/2009
12/30/2009
Bay Federal Credit Union
Financial Instrument for Home Loan Modifications
$
(18,450,000)
07/14/2010
Purchase
(6,533,419)
$
03/26/2010
09/16/2009
6,974,460,292 Transfer of cap due to servicing transfer
$
01/15/2015
93,660,000 N/A
$
12/29/2014
$
(21,390,000)
12/16/2014
Financial Instrument for Home Loan Modifications
6,995,850,292 Transfer of cap due to servicing transfer
$
11/14/2014
Purchase
7,007,720,292 Updated due to quarterly assessment and reallocation
$
10/16/2014
FL
7,027,605,490 Transfer of cap due to servicing transfer
$
(11,870,000)
09/29/2014
Miami Lakes
$
(19,885,198)
$
09/16/2014
Bank United
(6,180,000)
$
08/14/2014
10/23/2009
$
07/29/2014
$
(580,222)
- Termination of SPA
- Termination of SPA
09/30/2009
$
23,850,000
$
68,110,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
43,590,000
$
111,700,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
34,540,000
$
146,240,000 Updated portfolio data from servicer
05/07/2010
$
1,010,000
$
147,250,000 Updated portfolio data from servicer/additional program initial cap
07/14/2010
$
(34,250,000)
$
113,000,000 Updated portfolio data from servicer
09/30/2010
$
600,000
$
113,600,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(15,252,303)
$
98,347,697 Updated portfolio data from servicer
01/06/2011
$
(70)
$
98,347,627 Updated due to quarterly assessment and reallocation
03/30/2011
$
(86)
$
98,347,541 Updated due to quarterly assessment and reallocation
04/13/2011
$
400,000
$
98,747,541 Transfer of cap due to servicing transfer
05/13/2011
$
100,000
$
98,847,541 Transfer of cap due to servicing transfer
06/29/2011
$
(771)
$
98,846,770 Updated due to quarterly assessment and reallocation
09/15/2011
$
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
01/13/2012
$
900,000
$
81,446,770 Transfer of cap due to servicing transfer
02/16/2012
$
2,400,000
$
83,846,770 Transfer of cap due to servicing transfer
03/15/2012
$
(100,000)
$
83,746,770 Transfer of cap due to servicing transfer
04/16/2012
$
200,000
$
83,946,770 Transfer of cap due to servicing transfer
05/16/2012
$
30,000
$
83,976,770 Transfer of cap due to servicing transfer
06/14/2012
$
1,810,000
$
85,786,770 Transfer of cap due to servicing transfer
06/28/2012
$
(508)
$
85,786,262 Updated due to quarterly assessment and reallocation
07/16/2012
$
2,660,000
$
88,446,262 Transfer of cap due to servicing transfer
67
09/27/2012
144,383,384 Transfer of cap due to servicing transfer
$
11,730,000
$
156,113,384 Transfer of cap due to servicing transfer
$
(91)
$
156,113,293 Updated due to quarterly assessment and reallocation
$
5,430,000
$
161,543,293 Transfer of cap due to servicing transfer
$
20,900,000
$
182,443,293 Transfer of cap due to servicing transfer
$
260,000
$
182,703,293 Transfer of cap due to servicing transfer
$
(131,553)
$
182,571,740 Updated due to quarterly assessment and reallocation
$
1,070,000
$
183,641,740 Transfer of cap due to servicing transfer
$
2,570,000
$
186,211,740 Transfer of cap due to servicing transfer
$
1,530,000
$
187,741,740 Transfer of cap due to servicing transfer
$
(1,050)
$
187,740,690 Updated due to quarterly assessment and reallocation
$
5,270,000
$
193,010,690 Transfer of cap due to servicing transfer
$
500,000
$
193,510,690 Transfer of cap due to servicing transfer
$
2,600,000
$
196,110,690 Transfer of cap due to servicing transfer
$
18,557,651
$
214,668,341 Updated due to quarterly assessment and reallocation
$
10,000
$
214,678,341 Transfer of cap due to servicing transfer
$
13,360,843
$
228,039,184 Updated due to quarterly assessment and reallocation
$
4,260,000
$
232,299,184 Transfer of cap due to servicing transfer
$
260,000
$
232,559,184 Transfer of cap due to servicing transfer
09/29/2014
$
13,718,841
$
246,278,025 Updated due to quarterly assessment and reallocation
10/16/2014
$
(680,000)
$
245,598,025 Transfer of cap due to servicing transfer
11/14/2014
$
6,070,000
$
251,668,025 Transfer of cap due to servicing transfer
12/16/2014
$
10,000
$
251,678,025 Transfer of cap due to servicing transfer
12/29/2014
$
81,111,129
$
332,789,154 Updated due to quarterly assessment and reallocation
01/15/2015
$
330,000
$
333,119,154 Transfer of cap due to servicing transfer
05/15/2014
$
30,000
$
11/14/2014
$
40,000
$
09/30/2010
$
1,040,667
$
1,740,667 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,740,665 Updated due to quarterly assessment and reallocation
03/30/2011
$
(3)
$
1,740,662 Updated due to quarterly assessment and reallocation
06/29/2011
$
(28)
$
1,740,634 Updated due to quarterly assessment and reallocation
08/10/2011
$
(1,740,634)
07/16/2013
$
10,000
$
10,000 Transfer of cap due to servicing transfer
12/16/2013
$
30,000
$
40,000 Transfer of cap due to servicing transfer
04/16/2014
$
30,000
$
70,000 Transfer of cap due to servicing transfer
06/16/2014
$
40,000
$
110,000 Transfer of cap due to servicing transfer
06/26/2014
$
(21)
$
109,979 Updated due to quarterly assessment and reallocation
07/29/2014
$
(43)
$
109,936 Updated due to quarterly assessment and reallocation
09/29/2014
$
(14)
$
109,922 Updated due to quarterly assessment and reallocation
10/16/2014
$
40,000
$
149,922 Transfer of cap due to servicing transfer
12/16/2014
$
(30,000)
$
119,922 Transfer of cap due to servicing transfer
12/29/2014
3
122,953,384 Updated due to quarterly assessment and reallocation
$
09/16/2014
- N/A
$
21,430,000
08/14/2014
Financial Instrument for Home Loan Modifications
(308)
$
07/29/2014
Purchase
122,953,692 Transfer of cap due to servicing transfer
$
07/16/2014
OK
$
06/26/2014
Caliber Home Loans, Inc (Vericrest Financial,
Oklahoma City
Inc.)
7,470,000
06/16/2014
09/15/2010
115,483,692 Transfer of cap due to servicing transfer
$
05/15/2014
3
$
04/16/2014
- N/A
660,000
03/26/2014
Financial Instrument for Home Loan Modifications
114,823,692 Transfer of cap due to servicing transfer
$
03/14/2014
Purchase
113,333,692 Updated due to quarterly assessment and reallocation
$
02/13/2014
CA
$
1,490,000
01/16/2014
Woodland Hills
(1,023)
$
12/23/2013
Bridgelock Capital dba Peak Loan Servicing
113,334,715 Transfer of cap due to servicing transfer
$
12/16/2013
07/16/2013
$
11/14/2013
700,000 N/A
830,000
10/15/2013
$
112,504,715 Transfer of cap due to servicing transfer
$
09/27/2013
Financial Instrument for Home Loan Modifications
109,254,715 Transfer of cap due to servicing transfer
$
09/16/2013
Purchase
109,164,715 Updated due to quarterly assessment and reallocation
$
3,250,000
07/16/2013
OH
$
90,000
$
06/27/2013
Cincinanati
(298)
$
06/14/2013
Bramble Savings Bank
$
05/16/2013
08/20/2010
109,165,013 Transfer of cap due to servicing transfer
04/16/2013
3
$
03/25/2013
- N/A
13,590,000
03/14/2013
Financial Instrument for Home Loan Modifications
95,575,013 Transfer of cap due to servicing transfer
$
02/14/2013
Purchase
$
01/16/2013
IL
$
6,970,000
12/27/2012
Chicago
$
160,000
$
12/14/2012
BMO Harris Bank, NA
(1,249)
$
11/15/2012
05/15/2014
$
10/16/2012
$
(3,430)
$
09/15/2010
$
1,000,000
$
1,000,000 Transfer of cap due to servicing transfer
09/30/2010
$
450,556
$
1,450,556 Updated portfolio data from servicer
01/06/2011
$
(2)
$
02/16/2011
$
3,000,000
$
4,450,554 Transfer of cap due to servicing transfer
03/16/2011
$
10,200,000
$
14,650,554 Transfer of cap due to servicing transfer
03/30/2011
$
(24)
$
14,650,530 Updated due to quarterly assessment and reallocation
06/29/2011
$
(227)
$
14,650,303 Updated due to quarterly assessment and reallocation
07/14/2011
$
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
01/13/2012
$
900,000
$
31,650,303 Transfer of cap due to servicing transfer
04/16/2012
$
300,000
$
31,950,303 Transfer of cap due to servicing transfer
06/28/2012
$
(266)
$
31,950,037 Updated due to quarterly assessment and reallocation
09/27/2012
$
(689)
$
31,949,348 Updated due to quarterly assessment and reallocation
11/15/2012
$
720,000
$
32,669,348 Transfer of cap due to servicing transfer
12/27/2012
$
(114)
$
32,669,234 Updated due to quarterly assessment and reallocation
01/16/2013
$
8,020,000
$
40,689,234 Transfer of cap due to servicing transfer
03/25/2013
$
(591)
$
40,688,643 Updated due to quarterly assessment and reallocation
05/16/2013
$
(40,000)
$
40,648,643 Transfer of cap due to servicing transfer
06/27/2013
$
(223)
$
40,648,420 Updated due to quarterly assessment and reallocation
09/27/2013
$
(80)
$
40,648,340 Updated due to quarterly assessment and reallocation
12/23/2013
$
(135,776)
$
40,512,564 Updated due to quarterly assessment and reallocation
88,445,013 Updated due to quarterly assessment and reallocation
88,605,013 Transfer of cap due to servicing transfer
30,000 Transfer of cap due to servicing transfer
70,000 Transfer of cap due to servicing transfer
- Termination of SPA
116,492 Updated due to quarterly assessment and reallocation
1,450,554 Updated due to quarterly assessment and reallocation
68
01/16/2014
58,950,818 Transfer of cap due to servicing transfer
$
(8,067,210)
$
50,883,608 Updated due to quarterly assessment and reallocation
$
2,100,000
$
52,983,608 Transfer of cap due to servicing transfer
03/14/2014
$
210,000
$
210,000 Transfer of cap due to servicing transfer
$
(20)
$
209,980 Updated due to quarterly assessment and reallocation
$
10,000
$
219,980 Transfer of cap due to servicing transfer
$
(258)
$
219,722 Updated due to quarterly assessment and reallocation
$
(512)
$
219,210 Updated due to quarterly assessment and reallocation
$
(169)
$
219,041 Updated due to quarterly assessment and reallocation
$
(20,494)
$
$
110,000
$
308,547 Transfer of cap due to servicing transfer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
195,000,000 N/A
$
12/23/2013
$
4,210,000
03/25/2013
CA
54,740,818 Transfer of cap due to servicing transfer
$
09/27/2012
Santa Ana
47,020,818 Transfer of cap due to servicing transfer
$
06/28/2012
Carrington Mortgage Services, LLC
$
7,720,000
06/29/2011
Financial Instrument for Home Loan Modifications
7,680,000
$
01/15/2015
Purchase
39,340,818 Updated due to quarterly assessment and reallocation
$
12/29/2014
04/27/2009
$
09/29/2014
100,000 N/A
(40,882)
07/29/2014
$
39,381,700 Updated due to quarterly assessment and reallocation
$
06/26/2014
Financial Instrument for Home Loan Modifications
$
06/16/2014
Purchase
39,502,425 Transfer of cap due to servicing transfer
(120,725)
03/26/2014
FL
36,912,425 Updated due to quarterly assessment and reallocation
$
$
01/15/2015
Coral Gables
$
2,590,000
12/29/2014
Capital International Financial, Inc.
(55,442)
$
12/16/2014
09/30/2010
36,967,867 Updated due to quarterly assessment and reallocation
$
11/14/2014
3
$
10/16/2014
- N/A
(4,697)
09/29/2014
Financial Instrument for Home Loan Modifications
36,972,564 Transfer of cap due to servicing transfer
$
07/29/2014
Purchase
36,882,564 Transfer of cap due to servicing transfer
$
07/16/2014
CA
39,382,564 Transfer of cap due to servicing transfer
$
90,000
06/26/2014
Sacramento
$
(2,500,000)
$
03/26/2014
California Housing Finance Agency
(1,130,000)
$
03/14/2014
03/14/2014
$
02/13/2014
$
(7,654)
$
06/17/2009
$
(63,980,000)
$
131,020,000 Updated portfolio data from servicer
09/30/2009
$
90,990,000
$
222,010,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
57,980,000
$
279,990,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
74,520,000
$
354,510,000 Updated portfolio data from servicer
07/14/2010
$
(75,610,000)
$
278,900,000 Updated portfolio data from servicer
08/13/2010
$
1,100,000
$
280,000,000 Transfer of cap due to servicing transfer
09/30/2010
$
3,763,685
$
283,763,685 Updated portfolio data from servicer
12/15/2010
$
300,000
$
284,063,685 Transfer of cap due to servicing transfer
01/06/2011
$
(325)
$
284,063,360 Updated due to quarterly assessment and reallocation
01/13/2011
$
2,400,000
$
286,463,360 Transfer of cap due to servicing transfer
03/30/2011
$
(384)
$
286,462,976 Updated due to quarterly assessment and reallocation
06/29/2011
$
(3,592)
$
286,459,384 Updated due to quarterly assessment and reallocation
08/16/2011
$
1,800,000
$
288,259,384 Transfer of cap due to servicing transfer
09/15/2011
$
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
02/16/2012
$
1,100,000
$
290,459,384 Transfer of cap due to servicing transfer
04/16/2012
$
100,000
$
290,559,384 Transfer of cap due to servicing transfer
05/16/2012
$
850,000
$
291,409,384 Transfer of cap due to servicing transfer
06/14/2012
$
2,240,000
$
293,649,384 Transfer of cap due to servicing transfer
06/28/2012
$
(2,520)
$
293,646,864 Updated due to quarterly assessment and reallocation
07/16/2012
$
1,690,000
$
295,336,864 Transfer of cap due to servicing transfer
08/16/2012
$
(30,000)
$
295,306,864 Transfer of cap due to servicing transfer
09/27/2012
$
(6,632)
$
295,300,232 Updated due to quarterly assessment and reallocation
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
$
301,720,232 Transfer of cap due to servicing transfer
12/27/2012
$
(1,103)
$
301,719,129 Updated due to quarterly assessment and reallocation
01/16/2013
$
(10,000)
$
301,709,129 Transfer of cap due to servicing transfer
02/14/2013
$
4,960,000
$
306,669,129 Transfer of cap due to servicing transfer
03/14/2013
$
(30,000)
$
306,639,129 Transfer of cap due to servicing transfer
03/25/2013
$
(4,179)
$
306,634,950 Updated due to quarterly assessment and reallocation
04/16/2013
$
(70,000)
$
306,564,950 Transfer of cap due to servicing transfer
05/16/2013
$
1,570,000
$
308,134,950 Transfer of cap due to servicing transfer
06/14/2013
$
(1,880,000)
$
306,254,950 Transfer of cap due to servicing transfer
06/27/2013
$
(1,522)
$
306,253,428 Updated due to quarterly assessment and reallocation
07/16/2013
$
270,000
$
306,523,428 Transfer of cap due to servicing transfer
09/16/2013
$
5,370,000
$
311,893,428 Transfer of cap due to servicing transfer
09/27/2013
$
(525)
$
311,892,903 Updated due to quarterly assessment and reallocation
10/15/2013
$
(240,000)
$
311,652,903 Transfer of cap due to servicing transfer
11/14/2013
$
2,000,000
$
313,652,903 Transfer of cap due to servicing transfer
12/16/2013
$
1,370,000
$
315,022,903 Transfer of cap due to servicing transfer
12/23/2013
$
(873,891)
$
314,149,012 Updated due to quarterly assessment and reallocation
01/16/2014
$
120,000
$
314,269,012 Transfer of cap due to servicing transfer
02/13/2014
$
280,000
$
314,549,012 Transfer of cap due to servicing transfer
03/14/2014
$
50,000
$
314,599,012 Transfer of cap due to servicing transfer
198,547 Updated due to quarterly assessment and reallocation
136,807 Updated due to quarterly assessment and reallocation
69
03/26/2014
280,690,446 Transfer of cap due to servicing transfer
$
50,000
$
280,740,446 Transfer of cap due to servicing transfer
$
(14,927,467)
$
265,812,979 Updated due to quarterly assessment and reallocation
$
32,230,000
$
298,042,979 Transfer of cap due to servicing transfer
$
13,070,000
$
29,590,000 Updated portfolio data from servicer/additional program initial cap
$
145,510,000
$
175,100,000 Updated portfolio data from servicer/additional program initial cap
$
(116,950,000)
$
58,150,000 Updated portfolio data from servicer
$
(23,350,000)
$
34,800,000 Updated portfolio data from servicer
$
7,846,346
$
42,646,346 Updated portfolio data from servicer
$
(46)
$
42,646,300 Updated due to quarterly assessment and reallocation
$
(55)
$
42,646,245 Updated due to quarterly assessment and reallocation
$
(452)
$
42,645,793 Updated due to quarterly assessment and reallocation
$
(309)
$
42,645,484 Updated due to quarterly assessment and reallocation
$
(807)
$
42,644,677 Updated due to quarterly assessment and reallocation
$
(131)
$
42,644,546 Updated due to quarterly assessment and reallocation
$
(475)
$
42,644,071 Updated due to quarterly assessment and reallocation
$
(175)
$
42,643,896 Updated due to quarterly assessment and reallocation
09/27/2013
$
(62)
$
42,643,834 Updated due to quarterly assessment and reallocation
12/23/2013
$
(97,446)
$
42,546,388 Updated due to quarterly assessment and reallocation
03/26/2014
$
(3,201)
$
42,543,187 Updated due to quarterly assessment and reallocation
06/26/2014
$
(35,874)
$
42,507,313 Updated due to quarterly assessment and reallocation
07/29/2014
$
(69,315)
$
42,437,998 Updated due to quarterly assessment and reallocation
09/29/2014
$
(21,381)
$
42,416,617 Updated due to quarterly assessment and reallocation
12/29/2014
$
(960,875)
$
41,455,742 Updated due to quarterly assessment and reallocation
10/02/2009
$
280,000
$
1,530,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(750,000)
$
780,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
120,000
$
900,000 Updated portfolio data from servicer
07/14/2010
$
(300,000)
$
600,000 Updated portfolio data from servicer
09/30/2010
$
270,334
$
870,334 Updated portfolio data from servicer
01/06/2011
$
(1)
$
870,333 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
870,332 Updated due to quarterly assessment and reallocation
06/29/2011
$
(5)
$
06/28/2012
$
21,717
$
892,044 Updated due to quarterly assessment and reallocation
09/27/2012
$
190,077
$
1,082,121 Updated due to quarterly assessment and reallocation
12/27/2012
$
35,966
$
1,118,087 Updated due to quarterly assessment and reallocation
03/25/2013
$
59,464
$
1,177,551 Updated due to quarterly assessment and reallocation
06/27/2013
$
35,438
$
1,212,989 Updated due to quarterly assessment and reallocation
09/27/2013
$
26,926
$
1,239,915 Updated due to quarterly assessment and reallocation
12/23/2013
$
87,045
$
1,326,960 Updated due to quarterly assessment and reallocation
03/26/2014
$
31,204
$
1,358,164 Updated due to quarterly assessment and reallocation
06/26/2014
$
68,259
$
1,426,423 Updated due to quarterly assessment and reallocation
07/29/2014
$
(2)
$
1,426,421 Updated due to quarterly assessment and reallocation
09/29/2014
$
(21)
$
1,426,400 Updated due to quarterly assessment and reallocation
12/29/2014
$
441,316
$
1,867,716 Updated due to quarterly assessment and reallocation
10/02/2009
$
10,000
$
40,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
120,000
$
160,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
10,000
$
170,000 Updated portfolio data from servicer
07/14/2010
$
(70,000)
$
100,000 Updated portfolio data from servicer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
10/29/2010
$
(145,056)
870,327 Updated due to quarterly assessment and reallocation
IL
04/13/2009
Chase Home Finance, LLC
Iselin
NJ
Purchase
Financial Instrument for Home Loan Modifications
06/14/2013
Cheviot Savings Bank
Cincinnati
OH
Purchase
$
Financial Instrument for Home Loan Modifications
$
1,900,000 N/A
- Termination of SPA
3,552,000,000 N/A
1
- N/A
3
$
856,056
$
2,756,056 Updated portfolio data from servicer
$
(4)
$
2,756,052 Updated due to quarterly assessment and reallocation
03/09/2011
Ottawa
09/30/2010
01/06/2011
Centrue Bank
Financial Instrument for Home Loan Modifications
$
06/27/2013
Purchase
10,000
03/25/2013
09/24/2010
280,680,446 Transfer of cap due to servicing transfer
$
12/27/2012
30,000 N/A
$
09/27/2012
$
(19,600,000)
06/28/2012
Financial Instrument for Home Loan Modifications
300,280,446 Updated due to quarterly assessment and reallocation
$
06/29/2011
Purchase
300,485,817 Transfer of cap due to servicing transfer
$
03/30/2011
NJ
$
(205,371)
01/06/2011
Woodbridge
8,810,000
$
09/30/2010
Central Jersey Federal Credit Union
291,675,817 Transfer of cap due to servicing transfer
$
07/14/2010
09/23/2009
$
09/30/2009
1,250,000 N/A
(560,000)
03/26/2010
$
292,235,817 Updated due to quarterly assessment and reallocation
$
12/30/2009
Financial Instrument for Home Loan Modifications
$
01/15/2015
Purchase
292,857,415 Transfer of cap due to servicing transfer
(621,598)
12/29/2014
FL
316,317,415 Updated due to quarterly assessment and reallocation
$
$
12/16/2014
Lake Mary
$
(23,460,000)
11/14/2014
09/09/2009
(351,513)
$
10/16/2014
Central Florida Educators Federal Credit
Union
316,668,928 Transfer of cap due to servicing transfer
$
09/29/2014
16,520,000 N/A
$
09/16/2014
$
(130,000)
08/14/2014
Financial Instrument for Home Loan Modifications
316,798,928 Transfer of cap due to servicing transfer
$
07/29/2014
Purchase
317,228,928 Transfer of cap due to servicing transfer
$
07/16/2014
VA
314,568,928 Updated due to quarterly assessment and reallocation
$
(430,000)
06/26/2014
Glen Allen
$
2,660,000
$
06/16/2014
CCO Mortgage, a division of RBS Citizens
NA
(30,084)
$
05/15/2014
06/17/2009
$
04/16/2014
$
(2,756,052)
- Termination of SPA
07/31/2009
$
(3,552,000,000)
- Termination of SPA
CitiMortgage, Inc.
O'Fallon
MO
Purchase
Financial Instrument for Home Loan Modifications
$
2,071,000,000 N/A
$
10,000
$
10,000 Transfer of cap due to servicing transfer
$
1,344
$
11,344 Updated due to quarterly assessment and reallocation
12/29/2014
04/13/2009
06/14/2013
06/27/2013
$
6,250
$
06/12/2009
$
(991,580,000)
$
1,079,420,000 Updated portfolio data from servicer
09/30/2009
$
1,010,180,000
$
2,089,600,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(105,410,000)
$
1,984,190,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(199,300,000)
$
1,784,890,000 Updated portfolio data from servicer/additional program initial cap
04/19/2010
$
(230,000)
$
1,784,660,000 Transfer of cap due to servicing transfer
05/14/2010
$
(3,000,000)
$
1,781,660,000 Transfer of cap due to servicing transfer
06/16/2010
$
(12,280,000)
$
1,769,380,000 Transfer of cap due to servicing transfer
17,594 Updated due to quarterly assessment and reallocation
70
07/14/2010
1,119,077,484 Transfer of cap due to servicing transfer
$
(981)
$
1,119,076,503 Updated due to quarterly assessment and reallocation
$
(10,500,000)
$
1,108,576,503 Transfer of cap due to servicing transfer
$
(4,600,000)
$
1,103,976,503 Transfer of cap due to servicing transfer
$
(30,500,000)
$
1,073,476,503 Transfer of cap due to servicing transfer
$
(1,031)
$
1,073,475,472 Updated due to quarterly assessment and reallocation
$
100,000
$
1,073,575,472 Transfer of cap due to servicing transfer
$
(7,200,000)
$
1,066,375,472 Transfer of cap due to servicing transfer
$
(400,000)
$
1,065,975,472 Transfer of cap due to servicing transfer
$
(9,131)
$
1,065,966,341 Updated due to quarterly assessment and reallocation
07/14/2011
$
(14,500,000)
$
1,051,466,341 Transfer of cap due to servicing transfer
08/16/2011
$
(1,600,000)
$
1,049,866,341 Transfer of cap due to servicing transfer
09/15/2011
$
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
01/13/2012
$
(900,000)
$
1,056,966,341 Transfer of cap due to servicing transfer
02/16/2012
$
(1,100,000)
$
1,055,866,341 Transfer of cap due to servicing transfer
03/15/2012
$
(1,700,000)
$
1,054,166,341 Transfer of cap due to servicing transfer
04/16/2012
$
(600,000)
$
1,053,566,341 Transfer of cap due to servicing transfer
05/16/2012
$
(340,000)
$
1,053,226,341 Transfer of cap due to servicing transfer
06/14/2012
$
(2,880,000)
$
1,050,346,341 Transfer of cap due to servicing transfer
06/28/2012
$
(5,498)
$
1,050,340,843 Updated due to quarterly assessment and reallocation
07/16/2012
$
(298,960,000)
$
751,380,843 Transfer of cap due to servicing transfer
07/27/2012
$
263,550,000
$
1,014,930,843 Transfer of cap due to servicing transfer
08/16/2012
$
30,000
$
1,014,960,843 Transfer of cap due to servicing transfer
09/27/2012
$
(12,722)
$
1,014,948,121 Updated due to quarterly assessment and 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)
$
1,003,468,121 Transfer of cap due to servicing transfer
12/27/2012
$
(1,916)
$
1,003,466,205 Updated due to quarterly assessment and reallocation
02/14/2013
$
(8,450,000)
$
995,016,205 Transfer of cap due to servicing transfer
03/14/2013
$
(1,890,000)
$
993,126,205 Transfer of cap due to servicing transfer
03/25/2013
$
(6,606)
$
993,119,599 Updated due to quarterly assessment and reallocation
04/16/2013
$
(3,490,000)
$
989,629,599 Transfer of cap due to servicing transfer
06/14/2013
$
(3,630,000)
$
985,999,599 Transfer of cap due to servicing transfer
06/27/2013
$
(2,161)
$
985,997,438 Updated due to quarterly assessment and reallocation
07/16/2013
$
(26,880,000)
$
959,117,438 Transfer of cap due to servicing transfer
09/16/2013
$
(12,160,000)
$
946,957,438 Transfer of cap due to servicing transfer
09/27/2013
$
(610)
$
946,956,828 Updated due to quarterly assessment and reallocation
11/14/2013
$
(38,950,000)
$
908,006,828 Transfer of cap due to servicing transfer
12/16/2013
$
(8,600,000)
$
899,406,828 Transfer of cap due to servicing transfer
12/23/2013
$
(769,699)
$
898,637,129 Updated due to quarterly assessment and reallocation
01/16/2014
$
(5,360,000)
$
893,277,129 Transfer of cap due to servicing transfer
02/13/2014
$
(7,680,000)
$
885,597,129 Transfer of cap due to servicing transfer
03/14/2014
$
(2,950,000)
$
882,647,129 Transfer of cap due to servicing transfer
03/26/2014
$
(21,827)
$
882,625,302 Updated due to quarterly assessment and reallocation
04/16/2014
$
(60,000)
$
882,565,302 Transfer of cap due to servicing transfer
05/15/2014
$
(30,000)
$
882,535,302 Transfer of cap due to servicing transfer
06/16/2014
$
(330,000)
$
882,205,302 Transfer of cap due to servicing transfer
06/26/2014
$
(195,762)
$
882,009,540 Updated due to quarterly assessment and reallocation
07/16/2014
$
(430,000)
$
881,579,540 Transfer of cap due to servicing transfer
07/29/2014
$
(377,564)
$
881,201,976 Updated due to quarterly assessment and reallocation
08/14/2014
$
(1,080,000)
$
880,121,976 Transfer of cap due to servicing transfer
09/29/2014
$
(92,495)
$
880,029,481 Updated due to quarterly assessment and reallocation
10/16/2014
$
(1,510,000)
$
878,519,481 Transfer of cap due to servicing transfer
11/14/2014
$
30,000
$
878,549,481 Transfer of cap due to servicing transfer
12/16/2014
$
(2,910,000)
$
875,639,481 Transfer of cap due to servicing transfer
12/29/2014
$
94,089,225
$
969,728,706 Updated due to quarterly assessment and reallocation
01/15/2015
$
(34,650,000)
$
935,078,706 Transfer of cap due to servicing transfer
09/30/2010
$
360,445
$
1,160,445 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,160,443 Updated due to quarterly assessment and reallocation
03/23/2011
620,000 N/A
1,122,277,484 Transfer of cap due to servicing transfer
$
06/29/2011
$
$
(3,200,000)
06/16/2011
Financial Instrument for Home Loan Modifications
1,123,677,484 Updated portfolio data from servicer
(1,400,000)
$
05/13/2011
Purchase
$
$
04/13/2011
IL
1,022,390,000 Updated portfolio data from servicer/additional program initial cap
03/30/2011
Spring Valley
$
101,287,484
03/16/2011
Citizens First National Bank
32,400,000
$
02/16/2011
12/16/2009
$
01/13/2011
800,000 N/A
$
01/06/2011
$
(8,300,000)
11/16/2010
Financial Instrument for Home Loan Modifications
998,290,000 Transfer of cap due to servicing transfer
$
10/15/2010
Purchase
1,004,590,000 Transfer of cap due to servicing transfer
$
09/30/2010
IL
1,011,700,000 Updated portfolio data from servicer
$
(6,300,000)
09/30/2010
Freeburg
$
(7,110,000)
$
09/15/2010
Citizens Community Bank
(757,680,000)
$
08/13/2010
09/24/2010
$
07/16/2010
$
(1,160,443)
989,990,000 Transfer of cap due to servicing transfer
- Termination of SPA
01/22/2010
$
30,000
$
03/26/2010
$
(580,000)
$
70,000 Updated portfolio data from servicer
07/14/2010
$
1,430,000
$
1,500,000 Updated portfolio data from servicer
09/30/2010
$
95,612
$
1,595,612 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,595,610 Updated due to quarterly assessment and reallocation
03/30/2011
$
(3)
$
1,595,607 Updated due to quarterly assessment and reallocation
06/29/2011
$
(24)
$
1,595,583 Updated due to quarterly assessment and reallocation
650,000 Updated portfolio data from servicer/additional program initial cap
71
06/28/2012
1,498,499 Transfer of cap due to servicing transfer
$
1,495,659 Updated due to quarterly assessment and reallocation
07/01/2014
$
(1,353,853)
$
$
(10,000)
$
20,000 Updated portfolio data from servicer/additional program initial cap
$
590,000
$
610,000 Updated portfolio data from servicer/additional program initial cap
$
(580,000)
$
30,000 Updated portfolio data from servicer
$
70,000
$
100,000 Updated portfolio data from servicer
$
45,056
$
145,056 Updated portfolio data from servicer
$
(145,056)
10/02/2009
$
1,310,000
$
7,310,000 Updated portfolio data from servicer/additional program initial cap
$
(3,390,000)
$
3,920,000 Updated portfolio data from servicer/additional program initial cap
$
410,000
$
4,330,000 Updated portfolio data from servicer
$
(730,000)
$
3,600,000 Updated portfolio data from servicer
$
4,700,000
$
8,300,000 Transfer of cap due to servicing transfer
$
117,764
$
8,417,764 Updated portfolio data from servicer
11/16/2010
$
800,000
$
9,217,764 Transfer of cap due to servicing transfer
12/15/2010
$
2,700,000
$
11,917,764 Transfer of cap due to servicing transfer
01/06/2011
$
(17)
$
11,917,747 Updated due to quarterly assessment and reallocation
01/13/2011
$
700,000
$
12,617,747 Transfer of cap due to servicing transfer
02/16/2011
$
1,800,000
$
14,417,747 Transfer of cap due to servicing transfer
03/30/2011
$
(19)
$
14,417,728 Updated due to quarterly assessment and reallocation
04/13/2011
$
300,000
$
14,717,728 Transfer of cap due to servicing transfer
06/29/2011
$
(189)
$
14,717,539 Updated due to quarterly assessment and reallocation
08/16/2011
$
300,000
$
15,017,539 Transfer of cap due to servicing transfer
09/15/2011
$
100,000
$
15,117,539 Transfer of cap due to servicing transfer
10/14/2011
$
100,000
$
15,217,539 Transfer of cap due to servicing transfer
06/28/2012
$
(147)
$
15,217,392 Updated due to quarterly assessment and reallocation
07/16/2012
$
(10,000)
$
15,207,392 Transfer of cap due to servicing transfer
09/27/2012
$
(413)
$
15,206,979 Updated due to quarterly assessment and reallocation
11/15/2012
$
(40,000)
$
15,166,979 Transfer of cap due to servicing transfer
12/27/2012
$
(71)
$
15,166,908 Updated due to quarterly assessment and reallocation
02/14/2013
$
(770,000)
$
14,396,908 Transfer of cap due to servicing transfer
03/14/2013
$
(20,000)
$
14,376,908 Transfer of cap due to servicing transfer
03/25/2013
$
(256)
$
14,376,652 Updated due to quarterly assessment and reallocation
04/16/2013
$
(620,000)
$
13,756,652 Transfer of cap due to servicing transfer
05/16/2013
$
40,000
$
13,796,652 Transfer of cap due to servicing transfer
06/14/2013
$
10,000
$
13,806,652 Transfer of cap due to servicing transfer
06/27/2013
$
(95)
$
13,806,557 Updated due to quarterly assessment and reallocation
07/16/2013
$
(290,000)
$
13,516,557 Transfer of cap due to servicing transfer
09/27/2013
$
(34)
$
13,516,523 Updated due to quarterly assessment and reallocation
12/16/2013
$
40,000
$
13,556,523 Transfer of cap due to servicing transfer
12/23/2013
$
(57,271)
$
13,499,252 Updated due to quarterly assessment and reallocation
02/13/2014
$
(90,000)
$
13,409,252 Transfer of cap due to servicing transfer
03/14/2014
$
(40,000)
$
13,369,252 Transfer of cap due to servicing transfer
03/26/2014
$
(1,989)
$
13,367,263 Updated due to quarterly assessment and reallocation
04/16/2014
$
80,000
$
13,447,263 Transfer of cap due to servicing transfer
05/15/2014
$
(230,000)
$
13,217,263 Transfer of cap due to servicing transfer
06/16/2014
$
100,000
$
13,317,263 Transfer of cap due to servicing transfer
06/26/2014
$
(23,438)
$
13,293,825 Updated due to quarterly assessment and reallocation
07/16/2014
$
1,210,000
$
14,503,825 Transfer of cap due to servicing transfer
07/29/2014
$
(51,728)
$
14,452,097 Updated due to quarterly assessment and reallocation
09/29/2014
$
(17,168)
$
14,434,929 Updated due to quarterly assessment and reallocation
10/16/2014
$
500,000
$
14,934,929 Transfer of cap due to servicing transfer
11/14/2014
$
(10,000)
$
14,924,929 Transfer of cap due to servicing transfer
12/29/2014
$
(2,097,962)
$
12,826,967 Updated due to quarterly assessment and reallocation
141,806 Termination of SPA
- Termination of SPA
Community Bank & Trust Company
Clarks Summit
PA
Purchase
Financial Instrument for Home Loan Modifications
$
380,000 N/A
3
160,000
$
160,000 Transfer of cap due to servicing transfer
(72)
$
159,928 Updated due to quarterly assessment and reallocation
$
(143)
$
159,785 Updated due to quarterly assessment and reallocation
$
(47)
$
12/29/2014
12/04/2009
- N/A
$
09/29/2014
NJ
$
07/29/2014
Fair Lawn
05/15/2014
06/26/2014
Columbia Bank
Financial Instrument for Home Loan Modifications
$
(2,840)
09/30/2010
Purchase
(90,000)
$
09/15/2010
05/15/2014
1,588,499 Updated due to quarterly assessment and reallocation
$
09/30/2009
4
$
07/14/2010
6,000,000 N/A
(237)
03/26/2010
$
1,588,736 Updated due to quarterly assessment and reallocation
$
12/30/2009
Financial Instrument for Home Loan Modifications
$
02/17/2011
Purchase
1,595,469 Updated due to quarterly assessment and reallocation
(6,733)
09/30/2010
TX
1,595,473 Updated due to quarterly assessment and reallocation
$
$
07/14/2010
Plano
$
(4)
03/26/2010
ClearSpring Loan Services, Inc. (Vantium
Capital, Inc. d/b/a Acqura Loan Services)
(11)
$
12/30/2009
09/02/2009
1,595,484 Updated due to quarterly assessment and reallocation
$
06/26/2014
30,000 N/A
$
05/15/2014
$
(30)
03/26/2014
Financial Instrument for Home Loan Modifications
1,595,514 Updated due to quarterly assessment and reallocation
$
12/23/2013
Purchase
1,595,522 Updated due to quarterly assessment and reallocation
$
09/27/2013
FL
1,595,567 Updated due to quarterly assessment and reallocation
$
(8)
06/27/2013
Citizens First Wholesale Mortgage Company The Villages
$
(45)
$
03/25/2013
06/26/2009
(16)
$
12/27/2012
6
$
09/27/2012
$
35,609
$
195,347 Updated due to quarterly assessment and reallocation
01/22/2010
$
10,000
$
390,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
520,000
$
910,000 Updated portfolio data from servicer
07/14/2010
$
(810,000)
$
100,000 Updated portfolio data from servicer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
159,738 Updated due to quarterly assessment and reallocation
72
03/25/2013
09/30/2010
$
901,112
$
2,901,112 Updated portfolio data from servicer
$
(4)
$
2,901,108 Updated due to quarterly assessment and reallocation
$
(5)
$
2,901,103 Updated due to quarterly assessment and reallocation
$
(48)
$
2,901,055 Updated due to quarterly assessment and reallocation
$
(36)
$
2,901,019 Updated due to quarterly assessment and reallocation
09/14/2012
$
(2,888,387)
$
144,524 Updated due to quarterly assessment and reallocation
- Termination of SPA
12,632 Termination of SPA
145,051 Updated due to quarterly assessment and reallocation
$
144,819 Updated due to quarterly assessment and reallocation
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
$
(7,654)
$
$
950,000
$
5,300,000 Updated portfolio data from servicer/additional program initial cap
$
5,700,000
$
11,000,000 Updated portfolio data from servicer/additional program initial cap
$
740,000
$
11,740,000 Updated portfolio data from servicer
$
(1,440,000)
$
10,300,000 Updated portfolio data from servicer
$
(6,673,610)
$
3,626,390 Updated portfolio data from servicer
01/06/2011
$
(5)
$
3,626,385 Updated due to quarterly assessment and reallocation
03/30/2011
$
(6)
$
3,626,379 Updated due to quarterly assessment and reallocation
06/29/2011
$
(52)
$
3,626,327 Updated due to quarterly assessment and reallocation
06/28/2012
$
(38)
$
3,626,289 Updated due to quarterly assessment and reallocation
09/27/2012
$
(107)
$
3,626,182 Updated due to quarterly assessment and reallocation
12/27/2012
$
(18)
$
3,626,164 Updated due to quarterly assessment and reallocation
03/25/2013
$
(69)
$
3,626,095 Updated due to quarterly assessment and reallocation
06/27/2013
$
(26)
$
3,626,069 Updated due to quarterly assessment and reallocation
09/27/2013
$
(9)
$
3,626,060 Updated due to quarterly assessment and reallocation
12/23/2013
$
(15,739)
$
3,610,321 Updated due to quarterly assessment and reallocation
03/26/2014
$
(554)
$
3,609,767 Updated due to quarterly assessment and reallocation
06/26/2014
$
(6,538)
$
3,603,229 Updated due to quarterly assessment and reallocation
07/29/2014
$
(12,989)
$
3,590,240 Updated due to quarterly assessment and reallocation
09/29/2014
$
(4,292)
$
3,585,948 Updated due to quarterly assessment and reallocation
12/29/2014
$
(498,170)
$
Hallandale Beach
FL
- N/A
01/15/2010
Digital Federal Credit Union
Marlborough
MA
Purchase
Financial Instrument for Home Loan Modifications
$
3,050,000 N/A
10/30/2009
DuPage Credit Union
Naperville
IL
Purchase
Financial Instrument for Home Loan Modifications
$
70,000 N/A
3
3,087,778 Updated due to quarterly assessment and reallocation
12/16/2013
$
30,000
$
09/16/2014
Desjardins Bank N.A.
Financial Instrument for Home Loan Modifications
$
(232)
09/30/2010
Purchase
(1)
$
07/14/2010
12/16/2013
145,052 Updated due to quarterly assessment and reallocation
$
10/02/2009
4,350,000 N/A
145,054 Updated due to quarterly assessment and reallocation
$
03/26/2010
$
$
(2)
12/30/2009
Financial Instrument for Home Loan Modifications
(1)
$
12/29/2014
Purchase
$
09/29/2014
NY
145,055 Updated due to quarterly assessment and reallocation
07/29/2014
Albany
145,056 Updated portfolio data from servicer
$
06/26/2014
CUC Mortgage Corporation
$
(1)
03/26/2014
09/09/2009
45,056
12/23/2013
100,000 N/A
$
03/25/2013
$
$
09/27/2012
MN
09/30/2010
06/28/2012
New Brighton
Financial Instrument for Home Loan Modifications
$
(144,524)
06/29/2011
CU Mortgage Services, Inc.
Purchase
(191)
$
06/28/2012
6
144,715 Updated due to quarterly assessment and reallocation
$
09/30/2010
2,000,000 N/A
$
06/29/2011
$
(96)
03/30/2011
Financial Instrument for Home Loan Modifications
144,811 Updated due to quarterly assessment and reallocation
$
01/06/2011
Purchase
144,819 Updated due to quarterly assessment and reallocation
$
08/26/2014
FL
145,051 Updated due to quarterly assessment and reallocation
$
(8)
07/29/2014
Rockledge
$
(232)
$
06/26/2014
Community Credit Union of Florida
(1)
$
03/26/2014
09/30/2010
$
12/23/2013
$
10,000
$
03/26/2010
$
12,190,000
$
$
(15,240,000)
05/14/2010
136,807 Updated due to quarterly assessment and reallocation
30,000 Transfer of cap due to servicing transfer
40,000 Transfer of cap due to servicing transfer
15,240,000 Updated portfolio data from servicer
- Termination of SPA
$
707,380,000 N/A
145,054 Updated due to quarterly assessment and reallocation
$
(1)
$
145,053 Updated due to quarterly assessment and reallocation
$
(145)
$
144,908 Updated due to quarterly assessment and reallocation
$
(5)
$
144,903 Updated due to quarterly assessment and reallocation
$
(59)
$
144,844 Updated due to quarterly assessment and reallocation
$
(117)
$
144,727 Updated due to quarterly assessment and reallocation
$
(39)
$
$
(377)
$
144,311 Updated due to quarterly assessment and reallocation
03/26/2010
$
90,000
$
150,000 Updated portfolio data from servicer
$
50,000
$
200,000 Updated portfolio data from servicer
$
(54,944)
$
05/20/2011
Financial Instrument for Home Loan Modifications
145,055 Updated due to quarterly assessment and reallocation
$
09/30/2010
Purchase
$
(1)
07/14/2010
TX
(1)
$
12/29/2014
Lewisville
145,056 Updated portfolio data from servicer
$
09/29/2014
EMC Mortgage Corporation
100,000 Updated portfolio data from servicer
$
07/29/2014
07/31/2009
$
45,056
06/26/2014
60,000 N/A
10,000
$
03/26/2014
$
$
12/23/2013
Financial Instrument for Home Loan Modifications
90,000 Updated portfolio data from servicer
03/25/2013
Purchase
80,000 Updated portfolio data from servicer/additional program initial cap
$
09/27/2012
OH
$
06/29/2011
Eaton
10,000
10,000
09/30/2010
Eaton National Bank & Trust Company
$
$
07/14/2010
12/23/2009
01/22/2010
03/26/2010
$
(145,056)
09/30/2009
$
(10,000)
$
707,370,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
502,430,000
$
1,209,800,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(134,560,000)
$
1,075,240,000 Updated portfolio data from servicer/additional program initial cap
07/14/2010
$
(392,140,000)
$
683,100,000 Updated portfolio data from servicer
07/16/2010
$
(630,000)
$
682,470,000 Transfer of cap due to servicing transfer
09/30/2010
$
13,100,000
$
695,570,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(8,006,457)
$
687,563,543 Updated portfolio data from servicer
10/15/2010
$
(100,000)
$
687,463,543 Transfer of cap due to servicing transfer
12/15/2010
$
(4,400,000)
$
683,063,543 Transfer of cap due to servicing transfer
01/06/2011
$
(802)
$
683,062,741 Updated due to quarterly assessment and reallocation
02/16/2011
$
(900,000)
$
682,162,741 Transfer of cap due to servicing transfer
03/16/2011
$
(4,000,000)
$
678,162,741 Transfer of cap due to servicing transfer
03/30/2011
$
(925)
$
678,161,816 Updated due to quarterly assessment and reallocation
144,688 Updated due to quarterly assessment and reallocation
145,056 Updated portfolio data from servicer
- Termination of SPA
73
05/13/2011
07/16/2013
555,261,816 Transfer of cap due to servicing transfer
$
555,253,088 Updated due to quarterly assessment and reallocation
(600,000)
$
554,653,088 Transfer of cap due to servicing transfer
10/19/2011
$
(519,211,309)
$
$
35,441,779 Termination of SPA
09/03/2010
170,000 N/A
$
90,000 Transfer of cap due to servicing transfer
$
(90,000)
$
80,000 Updated portfolio data from servicer/additional program initial cap
$
50,000
$
130,000 Updated portfolio data from servicer/additional program initial cap
$
100,000
$
230,000 Updated portfolio data from servicer
$
(130,000)
$
100,000 Updated portfolio data from servicer
$
45,056
$
145,056 Updated portfolio data from servicer
$
(145,056)
60,000 Transfer of cap due to servicing transfer
- Termination of SPA
(143)
$
8,667,999 Updated due to quarterly assessment and reallocation
$
700,000
$
9,367,999 Transfer of cap due to servicing transfer
$
100,000
$
9,467,999 Transfer of cap due to servicing transfer
$
200,000
$
9,667,999 Transfer of cap due to servicing transfer
$
1,700,000
$
11,367,999 Transfer of cap due to servicing transfer
$
1,600,000
$
12,967,999 Transfer of cap due to servicing transfer
$
40,000
$
13,007,999 Transfer of cap due to servicing transfer
$
(210,000)
$
12,797,999 Transfer of cap due to servicing transfer
$
(105)
$
12,797,894 Updated due to quarterly assessment and reallocation
07/16/2012
$
50,000
$
12,847,894 Transfer of cap due to servicing transfer
08/16/2012
$
90,000
$
12,937,894 Transfer of cap due to servicing transfer
09/27/2012
$
(294)
$
12,937,600 Updated due to quarterly assessment and reallocation
10/16/2012
$
1,810,000
$
14,747,600 Transfer of cap due to servicing transfer
12/27/2012
$
(61)
$
14,747,539 Updated due to quarterly assessment and reallocation
01/16/2013
$
30,000
$
14,777,539 Transfer of cap due to servicing transfer
02/14/2013
$
(590,000)
$
14,187,539 Transfer of cap due to servicing transfer
03/14/2013
$
(80,000)
$
14,107,539 Transfer of cap due to servicing transfer
03/25/2013
$
(214)
$
14,107,325 Updated due to quarterly assessment and reallocation
04/16/2013
$
200,000
$
14,307,325 Transfer of cap due to servicing transfer
05/16/2013
$
3,710,000
$
18,017,325 Transfer of cap due to servicing transfer
06/14/2013
$
1,760,000
$
19,777,325 Transfer of cap due to servicing transfer
06/27/2013
$
(86)
$
19,777,239 Updated due to quarterly assessment and reallocation
07/16/2013
$
6,650,000
$
26,427,239 Transfer of cap due to servicing transfer
08/15/2013
$
20,000
$
26,447,239 Transfer of cap due to servicing transfer
09/16/2013
$
4,840,000
$
31,287,239 Transfer of cap due to servicing transfer
09/27/2013
$
(54)
$
31,287,185 Updated due to quarterly assessment and reallocation
10/15/2013
$
720,000
$
32,007,185 Transfer of cap due to servicing transfer
11/14/2013
$
1,040,000
$
33,047,185 Transfer of cap due to servicing transfer
12/16/2013
$
140,000
$
33,187,185 Transfer of cap due to servicing transfer
12/23/2013
$
(84,376)
$
33,102,809 Updated due to quarterly assessment and reallocation
01/16/2014
$
8,350,000
$
41,452,809 Transfer of cap due to servicing transfer
02/13/2014
$
5,890,000
$
47,342,809 Transfer of cap due to servicing transfer
03/14/2014
$
5,720,000
$
53,062,809 Transfer of cap due to servicing transfer
03/26/2014
$
(4,045)
$
53,058,764 Updated due to quarterly assessment and reallocation
04/16/2014
$
70,000
$
53,128,764 Transfer of cap due to servicing transfer
05/15/2014
$
640,000
$
53,768,764 Transfer of cap due to servicing transfer
06/16/2014
$
15,780,000
$
69,548,764 Transfer of cap due to servicing transfer
06/26/2014
$
(69,560)
$
69,479,204 Updated due to quarterly assessment and reallocation
07/16/2014
$
(290,000)
$
69,189,204 Transfer of cap due to servicing transfer
07/29/2014
$
(138,184)
$
69,051,020 Updated due to quarterly assessment and reallocation
08/14/2014
$
990,000
$
70,041,020 Transfer of cap due to servicing transfer
09/16/2014
$
2,890,000
$
72,931,020 Transfer of cap due to servicing transfer
09/29/2014
$
(38,150)
$
72,892,870 Updated due to quarterly assessment and reallocation
10/16/2014
$
(1,830,000)
$
71,062,870 Transfer of cap due to servicing transfer
11/14/2014
$
5,980,000
$
77,042,870 Transfer of cap due to servicing transfer
12/16/2014
$
(5,930,000)
$
71,112,870 Transfer of cap due to servicing transfer
12/29/2014
$
(328,884)
$
70,783,986 Updated due to quarterly assessment and reallocation
01/15/2015
3
8,668,142 Transfer of cap due to servicing transfer
$
06/28/2012
- N/A
8,268,142 Updated due to quarterly assessment and reallocation
$
06/14/2012
Financial Instrument for Home Loan Modifications
$
400,000
05/16/2012
Purchase
8,268,157 Updated due to quarterly assessment and reallocation
(15)
$
04/16/2012
CA
$
$
12/15/2011
Anaheim Hills
8,268,169 Updated portfolio data from servicer
11/16/2011
FCI Lender Services, Inc.
$
(12)
10/14/2011
05/13/2011
5,168,169
09/15/2011
3,100,000 N/A
$
06/29/2011
$
$
04/13/2011
IL
09/30/2010
03/30/2011
Chicago
Financial Instrument for Home Loan Modifications
$
01/06/2011
Fay Servicing, LLC
Purchase
Financial Instrument for Home Loan Modifications
09/30/2009
05/20/2011
Purchase
60,000
30,000
09/30/2010
OH
3
$
07/14/2010
West Salem
- N/A
$
03/26/2010
Farmers State Bank
FL
07/16/2013
12/30/2009
07/17/2009
Jacksonville
Financial Instrument for Home Loan Modifications
$
(8,728)
$
09/16/2014
Everbank
Purchase
(122,900,000)
$
07/14/2011
8
$
06/29/2011
$
80,000
$
70,863,986 Transfer of cap due to servicing transfer
05/13/2011
$
500,000
$
500,000 Transfer of cap due to servicing transfer
06/16/2011
$
100,000
$
600,000 Transfer of cap due to servicing transfer
06/29/2011
$
(9)
$
599,991 Updated due to quarterly assessment and reallocation
07/14/2011
$
200,000
$
799,991 Transfer of cap due to servicing transfer
09/15/2011
$
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
05/16/2012
$
1,510,000
$
4,909,991 Transfer of cap due to servicing transfer
06/14/2012
$
450,000
$
5,359,991 Transfer of cap due to servicing transfer
06/28/2012
$
(66)
$
5,359,925 Updated due to quarterly assessment and reallocation
07/16/2012
$
250,000
$
5,609,925 Transfer of cap due to servicing transfer
08/16/2012
$
90,000
$
5,699,925 Transfer of cap due to servicing transfer
09/27/2012
$
(191)
$
5,699,734 Updated due to quarterly assessment and reallocation
10/16/2012
$
140,000
$
5,839,734 Transfer of cap due to servicing transfer
74
11/15/2012
30,000
$
6,939,493 Transfer of cap due to servicing transfer
$
(33,755)
$
6,905,738 Updated due to quarterly assessment and reallocation
$
110,000
$
7,015,738 Transfer of cap due to servicing transfer
$
640,000
$
7,655,738 Transfer of cap due to servicing transfer
$
(1,305)
$
7,654,433 Updated due to quarterly assessment and reallocation
$
120,000
$
7,774,433 Transfer of cap due to servicing transfer
$
40,000
$
7,814,433 Transfer of cap due to servicing transfer
$
110,000
$
7,924,433 Transfer of cap due to servicing transfer
$
(15,838)
$
7,908,595 Updated due to quarterly assessment and reallocation
$
440,000
$
8,348,595 Transfer of cap due to servicing transfer
$
(33,291)
$
8,315,304 Updated due to quarterly assessment and reallocation
$
1,110,000
$
9,425,304 Transfer of cap due to servicing transfer
$
40,000
$
9,465,304 Transfer of cap due to servicing transfer
$
(12,454)
$
9,452,850 Updated due to quarterly assessment and reallocation
$
20,000
$
9,472,850 Transfer of cap due to servicing transfer
$
20,000
$
9,492,850 Transfer of cap due to servicing transfer
$
190,000
$
9,682,850 Transfer of cap due to servicing transfer
$
(1,564,671)
$
$
10,000
$
8,128,179 Transfer of cap due to servicing transfer
01/22/2010
$
140,000
$
3,080,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
6,300,000
$
9,380,000 Updated portfolio data from servicer
07/14/2010
$
(1,980,000)
$
7,400,000 Updated portfolio data from servicer
09/30/2010
$
(6,384,611)
$
1,015,389 Updated portfolio data from servicer
01/06/2011
$
(1)
$
1,015,388 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
1,015,386 Updated due to quarterly assessment and reallocation
06/29/2011
$
(16)
$
1,015,370 Updated due to quarterly assessment and reallocation
06/28/2012
$
(12)
$
1,015,358 Updated due to quarterly assessment and reallocation
09/27/2012
$
(32)
$
1,015,326 Updated due to quarterly assessment and reallocation
12/27/2012
$
(5)
$
1,015,321 Updated due to quarterly assessment and reallocation
03/25/2013
$
(21)
$
1,015,300 Updated due to quarterly assessment and reallocation
06/27/2013
$
(8)
$
1,015,292 Updated due to quarterly assessment and reallocation
09/27/2013
$
(3)
$
1,015,289 Updated due to quarterly assessment and reallocation
12/23/2013
$
(4,716)
$
1,010,573 Updated due to quarterly assessment and reallocation
03/26/2014
$
(165)
$
1,010,408 Updated due to quarterly assessment and reallocation
06/26/2014
$
(1,944)
$
1,008,464 Updated due to quarterly assessment and reallocation
07/29/2014
$
(3,862)
$
1,004,602 Updated due to quarterly assessment and reallocation
09/29/2014
$
(1,276)
$
12/29/2014
$
(130,634)
$
09/30/2009
$
(1,530,000)
$
4,930,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
680,000
$
5,610,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
2,460,000
$
8,070,000 Updated portfolio data from servicer
07/14/2010
$
(2,470,000)
$
5,600,000 Updated portfolio data from servicer
09/30/2010
$
2,523,114
$
8,123,114 Updated portfolio data from servicer
01/06/2011
$
(2)
$
8,123,112 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
8,123,110 Updated due to quarterly assessment and reallocation
06/29/2011
$
(15)
$
8,123,095 Updated due to quarterly assessment and reallocation
06/28/2012
$
(3)
$
8,123,092 Updated due to quarterly assessment and reallocation
09/27/2012
$
(5)
$
8,123,087 Updated due to quarterly assessment and reallocation
12/27/2012
$
(1)
$
8,123,086 Updated due to quarterly assessment and reallocation
03/25/2013
$
(5)
$
8,123,081 Updated due to quarterly assessment and reallocation
06/27/2013
$
(1)
$
8,123,080 Updated due to quarterly assessment and reallocation
12/23/2013
$
(474)
$
8,122,606 Updated due to quarterly assessment and reallocation
03/26/2014
$
(18)
$
8,122,588 Updated due to quarterly assessment and reallocation
06/26/2014
$
(35)
$
8,122,553 Updated due to quarterly assessment and reallocation
07/29/2014
$
1,722
$
8,124,275 Updated due to quarterly assessment and reallocation
09/29/2014
$
33,199
$
8,157,474 Updated due to quarterly assessment and reallocation
12/29/2014
100,000 N/A
6,909,493 Transfer of cap due to servicing transfer
$
01/15/2015
$
6,649,493 Updated due to quarterly assessment and reallocation
$
12/29/2014
Financial Instrument for Home Loan Modifications
$
260,000
12/16/2014
Purchase
(19)
$
11/14/2014
FL
6,649,512 Transfer of cap due to servicing transfer
$
10/16/2014
Lake City
$
09/29/2014
First Federal Bank of Florida
20,000
09/16/2014
09/30/2010
6,629,512 Updated due to quarterly assessment and reallocation
$
08/14/2014
3
$
07/29/2014
- N/A
(53)
07/16/2014
Financial Instrument for Home Loan Modifications
6,629,565 Transfer of cap due to servicing transfer
$
06/26/2014
Purchase
6,429,565 Transfer of cap due to servicing transfer
$
06/16/2014
NC
$
200,000
05/15/2014
Hendersonville
40,000
$
04/16/2014
First Citizens Bank & Trust Company
6,389,565 Transfer of cap due to servicing transfer
$
03/26/2014
05/15/2014
$
03/14/2014
6,460,000 N/A
(10,000)
02/13/2014
$
6,399,565 Updated due to quarterly assessment and reallocation
$
12/23/2013
Financial Instrument for Home Loan Modifications
$
11/14/2013
Purchase
6,399,700 Transfer of cap due to servicing transfer
(135)
10/15/2013
MO
6,039,700 Transfer of cap due to servicing transfer
$
$
09/27/2013
St. Louis
$
360,000
07/16/2013
FIRST BANK
50,000
$
06/27/2013
07/29/2009
5,989,700 Transfer of cap due to servicing transfer
$
06/14/2013
2,940,000 N/A
$
05/16/2013
$
40,000
04/16/2013
Financial Instrument for Home Loan Modifications
5,949,700 Updated due to quarterly assessment and reallocation
$
03/25/2013
Purchase
5,949,734 Transfer of cap due to servicing transfer
$
03/14/2013
LA
5,909,734 Transfer of cap due to servicing transfer
$
(34)
02/14/2013
New Orleans
$
40,000
$
01/16/2013
Fidelity Homestead Savings Bank
70,000
$
12/27/2012
12/09/2009
$
12/14/2012
$
2,304,333
$
10,461,807 Updated due to quarterly assessment and reallocation
05/15/2014
$
10,000
$
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
8,118,179 Updated due to quarterly assessment and reallocation
1,003,326 Updated due to quarterly assessment and reallocation
872,692 Updated due to quarterly assessment and reallocation
10,000 Transfer of cap due to servicing transfer
75
12/23/2013
$
12/16/2009
First Federal Savings and Loan Association
of Lakewood
Lakewood
OH
Purchase
Financial Instrument for Home Loan Modifications
$
08/27/2010
First Financial Bank, N.A.
Terre Haute
ID
Purchase
Financial Instrument for Home Loan Modifications
$
4,300,000 N/A
144,524 Updated due to quarterly assessment and reallocation
$
(63)
$
$
(7,654)
$
$
2,020,000
$
$
11,370,000
$
$
(14,160,000)
01/22/2010
3,460,000 N/A
$
12/30/2009
770,000 N/A
(191)
05/26/2010
Financial Instrument for Home Loan Modifications
144,715 Updated due to quarterly assessment and reallocation
$
03/26/2010
Purchase
144,811 Updated due to quarterly assessment and reallocation
$
12/29/2014
WA
144,819 Updated due to quarterly assessment and reallocation
$
(96)
09/29/2014
Port Angeles
$
(8)
$
07/29/2014
First Federal Savings and Loan
(232)
$
06/26/2014
06/19/2009
$
03/26/2014
$
160,000
04/21/2010
144,461 Updated due to quarterly assessment and reallocation
136,807 Updated due to quarterly assessment and reallocation
2,790,000 Updated portfolio data from servicer/additional program initial cap
14,160,000 Updated portfolio data from servicer
- Termination of SPA
$
3,620,000 Updated portfolio data from servicer/additional program initial cap
(95)
$
11,313,153 Updated due to quarterly assessment and reallocation
$
(34)
$
11,313,119 Updated due to quarterly assessment and reallocation
$
(57,776)
$
11,255,343 Updated due to quarterly assessment and reallocation
$
(2,031)
$
11,253,312 Updated due to quarterly assessment and reallocation
$
(23,972)
$
11,229,340 Updated due to quarterly assessment and reallocation
$
(47,613)
$
11,181,727 Updated due to quarterly assessment and reallocation
$
(15,728)
$
11,165,999 Updated due to quarterly assessment and reallocation
$
(1,905,128)
$
9,260,871 Updated due to quarterly assessment and reallocation
01/22/2010
$
50,000
$
1,330,000 Updated portfolio data from servicer/additional program initial cap
$
1,020,000
$
2,350,000 Updated portfolio data from servicer
$
(950,000)
$
1,400,000 Updated portfolio data from servicer
$
50,556
$
1,450,556 Updated portfolio data from servicer
$
(2)
$
1,450,554 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
1,450,552 Updated due to quarterly assessment and reallocation
06/16/2011
$
(100,000)
$
1,350,552 Transfer of cap due to servicing transfer
06/29/2011
$
(21)
$
1,350,531 Updated due to quarterly assessment and reallocation
6
Financial Instrument for Home Loan Modifications
11,313,248 Updated due to quarterly assessment and reallocation
$
01/06/2011
Purchase
11,313,501 Updated due to quarterly assessment and reallocation
$
09/30/2010
CA
$
(253)
07/14/2010
Diamond Bar
(67)
$
03/26/2010
First Mortgage Corporation
11,313,568 Updated due to quarterly assessment and reallocation
$
12/29/2014
09/30/2010
$
09/29/2014
Financial Instrument for Home Loan Modifications
(396)
07/29/2014
Purchase
11,313,964 Updated due to quarterly assessment and reallocation
$
06/26/2014
OK
11,314,108 Updated due to quarterly assessment and reallocation
$
03/26/2014
Oklahoma City
11,314,300 Updated due to quarterly assessment and reallocation
$
(144)
12/23/2013
First Mortgage Company, LLC
$
(192)
$
09/27/2013
06/16/2014
(20)
$
06/27/2013
$
$
03/25/2013
Financial Instrument for Home Loan Modifications
11,314,320 Updated due to quarterly assessment and reallocation
12/27/2012
Purchase
11,314,337 Updated portfolio data from servicer
$
09/27/2012
PA
$
(17)
06/28/2012
Media
7,014,337
06/29/2011
First Keystone Bank
(3,620,000)
$
$
03/30/2011
11/25/2009
$
09/30/2010
01/06/2011
07/22/2011
$
(1,335,614)
$
14,917 Termination of SPA
3
06/16/2014
$
20,000
$
20,000 Transfer of cap due to servicing transfer
1,280,000 N/A
- N/A
- Termination of SPA
$
145,056 Updated portfolio data from servicer
(1)
$
145,055 Updated due to quarterly assessment and reallocation
(1)
$
145,054 Updated due to quarterly assessment and reallocation
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
$
(7,654)
$
09/30/2010
136,807 Updated due to quarterly assessment and reallocation
150,000
$
290,000 Updated portfolio data from servicer
10,000
$
300,000 Updated portfolio data from servicer
$
(9,889)
$
290,111 Updated portfolio data from servicer
$
(290,111)
- Termination of SPA
3
$
1,160,443 Updated due to quarterly assessment and reallocation
(2)
$
1,160,441 Updated due to quarterly assessment and reallocation
$
(18)
$
1,160,423 Updated due to quarterly assessment and reallocation
$
(14)
$
1,160,409 Updated due to quarterly assessment and reallocation
$
(37)
$
1,160,372 Updated due to quarterly assessment and reallocation
$
(6)
$
1,160,366 Updated due to quarterly assessment and reallocation
$
(24)
$
1,160,342 Updated due to quarterly assessment and reallocation
$
(9)
$
1,160,333 Updated due to quarterly assessment and reallocation
$
(3)
$
1,160,330 Updated due to quarterly assessment and reallocation
$
(5,463)
$
1,154,867 Updated due to quarterly assessment and reallocation
$
(192)
$
1,154,675 Updated due to quarterly assessment and reallocation
$
(2,267)
$
1,152,408 Updated due to quarterly assessment and reallocation
07/01/2014
- N/A
(2)
$
06/26/2014
Financial Instrument for Home Loan Modifications
$
03/26/2014
Purchase
1,160,445 Updated portfolio data from servicer
12/23/2013
FL
$
09/27/2013
Weston
360,445
06/27/2013
Florida Community Bank, NA
(580,221)
$
03/25/2013
02/13/2014
$
09/30/2010
800,000 N/A
580,221 Updated due to quarterly assessment and reallocation
12/27/2012
$
580,222 Updated portfolio data from servicer
$
09/27/2012
Financial Instrument for Home Loan Modifications
$
(1)
06/28/2012
Purchase
180,222
06/29/2011
MI
400,000 N/A
$
03/30/2011
Troy
$
$
01/06/2011
Flagstar Capital Markets Corporation
OH
09/30/2010
03/23/2011
09/30/2010
Cincinnati
Financial Instrument for Home Loan Modifications
140,000 N/A
01/06/2011
First Safety Bank
Purchase
$
$
01/26/2011
IL
$
09/30/2010
Grant Park
03/26/2010
07/14/2010
First National Bank of Grant Park
Financial Instrument for Home Loan Modifications
45,056
03/25/2013
Purchase
$
$
09/27/2012
100,000 N/A
$
06/28/2012
01/13/2010
09/30/2010
06/29/2011
$
$
(1,152,408)
02/13/2014
$
150,000
$
150,000 Transfer of cap due to servicing transfer
03/26/2014
$
(2)
$
149,998 Updated due to quarterly assessment and reallocation
04/16/2014
$
20,000
$
169,998 Transfer of cap due to servicing transfer
06/26/2014
$
(37)
$
169,961 Updated due to quarterly assessment and reallocation
07/29/2014
$
(73)
$
169,888 Updated due to quarterly assessment and reallocation
09/29/2014
$
(25)
$
169,863 Updated due to quarterly assessment and reallocation
12/29/2014
$
27,160
$
197,023 Updated due to quarterly assessment and reallocation
- Termination of SPA
- Termination of SPA
76
09/11/2009
7,687,458 Transfer of cap due to servicing transfer
$
7,686,545 Updated due to quarterly assessment and reallocation
$
(10,778)
$
7,675,767 Updated due to quarterly assessment and reallocation
$
(21,410)
$
7,654,357 Updated due to quarterly assessment and reallocation
$
(7,073)
$
$
(757,196)
$
6,890,088 Updated due to quarterly assessment and reallocation
$
765,945
$
2,465,945 Updated portfolio data from servicer
$
(4)
$
2,465,941 Updated due to quarterly assessment and reallocation
$
(4)
$
2,465,937 Updated due to quarterly assessment and reallocation
$
(40)
$
2,465,897 Updated due to quarterly assessment and reallocation
$
(30)
$
2,465,867 Updated due to quarterly assessment and reallocation
$
(83)
$
2,465,784 Updated due to quarterly assessment and reallocation
$
(14)
$
2,465,770 Updated due to quarterly assessment and reallocation
$
(53)
$
2,465,717 Updated due to quarterly assessment and reallocation
$
(10,000)
$
2,455,717 Transfer of cap due to servicing transfer
$
(20)
$
2,455,697 Updated due to quarterly assessment and reallocation
$
(7)
$
2,455,690 Updated due to quarterly assessment and reallocation
10/24/2013
$
(2,446,075)
$
$
480,000
$
740,000 Updated portfolio data from servicer
$
(140,000)
$
600,000 Updated portfolio data from servicer
$
(19,778)
$
580,222 Updated portfolio data from servicer
$
(1)
$
580,221 Updated due to quarterly assessment and reallocation
$
(1)
$
580,220 Updated due to quarterly assessment and reallocation
$
(8)
$
580,212 Updated due to quarterly assessment and reallocation
$
(6)
$
07/06/2012
$
(555,252)
$
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
12/29/2014
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
09/30/2010
230,000 N/A
$
(913)
03/26/2014
$
40,000
$
12/23/2013
Financial Instrument for Home Loan Modifications
7,647,458 Updated due to quarterly assessment and reallocation
$
03/25/2013
Purchase
$
09/27/2012
OH
(25,724)
06/28/2012
Maumee
7,673,182 Updated due to quarterly assessment and reallocation
$
06/29/2011
Glass City Federal Credit Union
$
06/28/2012
09/23/2009
7,673,197 Updated due to quarterly assessment and reallocation
(15)
03/26/2010
100,000 N/A
7,673,239 Updated due to quarterly assessment and reallocation
$
$
06/29/2011
$
$
(42)
03/30/2011
Financial Instrument for Home Loan Modifications
(110)
$
01/06/2011
Purchase
7,673,349 Updated due to quarterly assessment and reallocation
$
09/30/2010
MA
$
07/14/2010
Gardner
(29)
09/27/2013
GFA Federal Credit Union
7,673,378 Updated due to quarterly assessment and reallocation
$
06/27/2013
09/30/2010
7,673,542 Updated due to quarterly assessment and reallocation
$
06/14/2013
100,000 N/A
$
(164)
03/25/2013
$
(58)
$
12/27/2012
Financial Instrument for Home Loan Modifications
7,673,600 Transfer of cap due to servicing transfer
$
09/27/2012
Purchase
$
06/28/2012
OK
(100,000)
06/29/2011
Tulsa
7,773,600 Updated due to quarterly assessment and reallocation
$
03/30/2011
Gateway Mortgage Group, LLC
$
01/06/2011
09/30/2010
(61)
09/30/2010
6
7,773,661 Updated due to quarterly assessment and reallocation
$
12/29/2014
260,000 N/A
7,773,667 Transfer of cap due to servicing transfer
$
09/29/2014
$
$
(6)
07/29/2014
Financial Instrument for Home Loan Modifications
(1,800,000)
$
06/26/2014
Purchase
9,573,667 Updated due to quarterly assessment and reallocation
$
03/26/2014
CA
$
03/14/2014
Fresno
(3)
12/23/2013
Fresno County Federal Credit Union
9,573,670 Updated portfolio data from servicer
$
09/27/2013
01/13/2010
$
06/27/2013
6
2,973,670
03/25/2013
1,700,000 N/A
6,600,000 Updated portfolio data from servicer
$
12/27/2012
$
8,990,000 Updated portfolio data from servicer
$
09/27/2012
Financial Instrument for Home Loan Modifications
$
(2,390,000)
06/28/2012
Purchase
(4,780,000)
$
10/14/2011
OH
13,770,000 Updated portfolio data from servicer/additional program initial cap
$
06/29/2011
Cincinnati
33,520,000 Updated portfolio data from servicer/additional program initial cap
$
03/30/2011
27,510,000 N/A
$
02/16/2011
$
6,010,000
01/06/2011
Franklin Savings
Financial Instrument for Home Loan Modifications
(19,750,000)
09/30/2010
09/30/2010
Purchase
$
07/14/2010
NJ
$
03/26/2010
Jersey City
10/02/2009
12/30/2009
Franklin Credit Management Corporation
$
45,056
$
145,056 Updated portfolio data from servicer
$
(145,056)
03/23/2011
7,647,284 Updated due to quarterly assessment and reallocation
9,615 Termination of SPA
580,206 Updated due to quarterly assessment and reallocation
24,954 Termination of SPA
144,461 Updated due to quarterly assessment and reallocation
- Termination of SPA
10/02/2009
300,000 Updated portfolio data from servicer
$
(9,889)
$
290,111 Updated portfolio data from servicer
$
(3)
$
290,108 Updated due to quarterly assessment and reallocation
$
(2)
$
290,106 Updated due to quarterly assessment and reallocation
$
(7)
$
290,099 Updated due to quarterly assessment and reallocation
$
(1)
$
290,098 Updated due to quarterly assessment and reallocation
$
(4)
$
290,094 Updated due to quarterly assessment and reallocation
06/27/2013
$
(2)
$
290,092 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
290,091 Updated due to quarterly assessment and reallocation
12/23/2013
$
(979)
$
289,112 Updated due to quarterly assessment and reallocation
03/26/2014
$
(34)
$
289,078 Updated due to quarterly assessment and reallocation
06/26/2014
$
(406)
$
288,672 Updated due to quarterly assessment and reallocation
07/29/2014
$
(807)
$
287,865 Updated due to quarterly assessment and reallocation
09/29/2014
370,000 N/A
410,000 Updated portfolio data from servicer
$
03/25/2013
$
$
(110,000)
12/27/2012
Financial Instrument for Home Loan Modifications
130,000
$
09/27/2012
Purchase
$
06/28/2012
IL
280,000 Updated portfolio data from servicer/additional program initial cap
06/29/2011
Glenview
290,000 Updated portfolio data from servicer/additional program initial cap
$
09/30/2010
Glenview State Bank
$
(10,000)
07/14/2010
12/11/2009
60,000
$
03/26/2010
6
$
12/30/2009
$
(267)
$
11/03/2014
$
(275,124)
$
01/22/2010
$
20,000
$
03/26/2010
$
1,250,000
$
287,598 Updated due to quarterly assessment and reallocation
12,474 Termination of SPA
390,000 Updated portfolio data from servicer/additional program initial cap
1,640,000 Updated portfolio data from servicer
77
05/26/2010
04/13/2009
(1,640,000)
- Termination of SPA
1,182,200,000 Transfer of cap due to servicing transfer
$
119,200,000
$
1,301,400,000 Updated portfolio data from servicer/additional program initial cap
$
216,998,139
$
1,518,398,139 Updated portfolio data from servicer
$
(500,000)
$
1,517,898,139 Transfer of cap due to servicing transfer
$
(1,734)
$
1,517,896,405 Updated due to quarterly assessment and reallocation
$
(100,000)
$
1,517,796,405 Transfer of cap due to servicing transfer
$
(2,024)
$
1,517,794,381 Updated due to quarterly assessment and reallocation
$
(800,000)
$
1,516,994,381 Transfer of cap due to servicing transfer
$
(17,900,000)
$
1,499,094,381 Transfer of cap due to servicing transfer
$
(18,457)
$
1,499,075,924 Updated due to quarterly assessment and reallocation
$
(200,000)
$
1,498,875,924 Transfer of cap due to servicing transfer
$
3,400,000
$
1,502,275,924 Transfer of cap due to servicing transfer
$
200,000
$
1,502,475,924 Transfer of cap due to servicing transfer
$
(800,000)
$
1,501,675,924 Transfer of cap due to servicing transfer
$
(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
01/13/2012
$
(1,600,000)
$
1,502,475,924 Transfer of cap due to servicing transfer
03/15/2012
$
(400,000)
$
1,502,075,924 Transfer of cap due to servicing transfer
04/16/2012
$
(100,000)
$
1,501,975,924 Transfer of cap due to servicing transfer
05/16/2012
$
(800,000)
$
1,501,175,924 Transfer of cap due to servicing transfer
06/14/2012
$
(990,000)
$
1,500,185,924 Transfer of cap due to servicing transfer
06/28/2012
$
(12,463)
$
1,500,173,461 Updated due to quarterly assessment and reallocation
08/16/2012
$
10,000
$
1,500,183,461 Transfer of cap due to servicing transfer
09/27/2012
$
(33,210)
$
1,500,150,251 Updated due to quarterly assessment and reallocation
11/15/2012
$
(1,200,000)
$
1,498,950,251 Transfer of cap due to servicing transfer
12/14/2012
$
40,000
$
1,498,990,251 Transfer of cap due to servicing transfer
12/27/2012
$
(5,432)
$
1,498,984,819 Updated due to quarterly assessment and reallocation
01/16/2013
$
60,000
$
1,499,044,819 Transfer of cap due to servicing transfer
02/14/2013
$
(30,000)
$
1,499,014,819 Transfer of cap due to servicing transfer
03/14/2013
$
(80,000)
$
1,498,934,819 Transfer of cap due to servicing transfer
03/25/2013
$
(19,838)
$
1,498,914,981 Updated due to quarterly assessment and reallocation
06/14/2013
$
30,000
$
1,498,944,981 Transfer of cap due to servicing transfer
06/27/2013
$
(7,105)
$
1,498,937,876 Updated due to quarterly assessment and reallocation
09/16/2013
$
(66,500,000)
$
1,432,437,876 Transfer of cap due to servicing transfer
09/27/2013
$
(2,430)
$
1,432,435,446 Updated due to quarterly assessment and reallocation
10/15/2013
$
(197,220,000)
$
1,235,215,446 Transfer of cap due to servicing transfer
11/14/2013
$
(30,000)
$
1,235,185,446 Transfer of cap due to servicing transfer
12/16/2013
$
(2,230,000)
$
1,232,955,446 Transfer of cap due to servicing transfer
12/23/2013
$
(3,902,818)
$
1,229,052,628 Updated due to quarterly assessment and reallocation
01/16/2014
$
(9,350,000)
$
1,219,702,628 Transfer of cap due to servicing transfer
02/13/2014
$
(36,560,000)
$
1,183,142,628 Transfer of cap due to servicing transfer
03/14/2014
$
(17,170,000)
$
1,165,972,628 Transfer of cap due to servicing transfer
03/26/2014
$
(136,207)
$
1,165,836,421 Updated due to quarterly assessment and reallocation
04/16/2014
$
(20,570,000)
$
1,145,266,421 Transfer of cap due to servicing transfer
05/15/2014
$
(260,000)
$
1,145,006,421 Transfer of cap due to servicing transfer
06/16/2014
$
(400,000)
$
1,144,606,421 Transfer of cap due to servicing transfer
06/26/2014
$
(1,585,532)
$
1,143,020,889 Updated due to quarterly assessment and reallocation
07/16/2014
$
(70,000)
$
1,142,950,889 Transfer of cap due to servicing transfer
07/29/2014
$
(3,099,444)
$
1,139,851,445 Updated due to quarterly assessment and reallocation
08/14/2014
$
(7,900,000)
$
1,131,951,445 Transfer of cap due to servicing transfer
09/16/2014
$
(2,480,000)
$
1,129,471,445 Transfer of cap due to servicing transfer
09/29/2014
$
(1,022,008)
$
1,128,449,437 Updated due to quarterly assessment and reallocation
10/16/2014
$
(240,000)
$
1,128,209,437 Transfer of cap due to servicing transfer
11/14/2014
$
(260,000)
$
1,127,949,437 Transfer of cap due to servicing transfer
12/16/2014
$
(1,200,000)
$
1,126,749,437 Transfer of cap due to servicing transfer
12/29/2014
$
(120,415,077)
$
1,006,334,360 Updated due to quarterly assessment and reallocation
01/15/2015
$
(90,000)
$
1,006,244,360 Transfer of cap due to servicing transfer
01/22/2010
$
10,000
$
180,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
30,000
$
210,000 Updated portfolio data from servicer
07/14/2010
$
(10,000)
$
200,000 Updated portfolio data from servicer
09/30/2010
$
90,111
$
290,111 Updated portfolio data from servicer
02/17/2011
340,000 N/A
$
11/16/2011
$
(3,700,000)
10/14/2011
Financial Instrument for Home Loan Modifications
1,185,900,000 Updated portfolio data from servicer
$
09/15/2011
Purchase
2,067,430,000 Transfer of cap due to servicing transfer
$
08/16/2011
MA
$
(881,530,000)
07/14/2011
North Grafton
1,880,000
$
06/29/2011
Grafton Suburban Credit Union
2,065,550,000 Updated portfolio data from servicer
$
05/13/2011
12/23/2009
1,875,370,000 Updated portfolio data from servicer/additional program initial cap
$
04/13/2011
170,000 N/A
$
190,180,000
03/30/2011
$
(1,679,520,000)
$
03/16/2011
Financial Instrument for Home Loan Modifications
$
01/06/2011
Purchase
3,554,890,000 Updated portfolio data from servicer/additional program initial cap
12/15/2010
KS
1,017,650,000 Updated portfolio data from servicer
$
09/30/2010
Garden City
$
09/30/2010
633,000,000 N/A
384,650,000
08/13/2010
$
2,537,240,000
07/14/2010
Golden Plains Credit Union
Financial Instrument for Home Loan Modifications
$
05/14/2010
12/16/2009
Purchase
$
03/26/2010
PA
$
12/30/2009
Ft. Washington
06/12/2009
09/30/2009
GMAC Mortgage, Inc.
$
(290,111)
01/22/2010
$
20,000
$
360,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(320,000)
$
40,000 Updated portfolio data from servicer
07/14/2010
$
760,000
$
800,000 Updated portfolio data from servicer
09/30/2010
$
(74,722)
$
725,278 Updated portfolio data from servicer
01/06/2011
$
(1)
$
725,277 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
725,276 Updated due to quarterly assessment and reallocation
06/29/2011
$
(11)
$
725,265 Updated due to quarterly assessment and reallocation
01/25/2012
$
(725,265)
- Termination of SPA
- Termination of SPA
78
10/14/2009
$
580,206 Updated due to quarterly assessment and reallocation
$
(17)
$
580,189 Updated due to quarterly assessment and reallocation
$
(3)
$
580,186 Updated due to quarterly assessment and reallocation
$
(11)
$
580,175 Updated due to quarterly assessment and reallocation
$
(4)
$
580,171 Updated due to quarterly assessment and reallocation
$
(1)
$
580,170 Updated due to quarterly assessment and reallocation
$
(2,438)
$
577,732 Updated due to quarterly assessment and reallocation
$
(86)
$
577,646 Updated due to quarterly assessment and reallocation
$
(925)
$
576,721 Updated due to quarterly assessment and reallocation
$
(1,789)
$
574,932 Updated due to quarterly assessment and reallocation
$
(607)
$
574,325 Updated due to quarterly assessment and reallocation
$
(64,898)
$
03/26/2010
$
8,680,000
$
9,450,000 Updated portfolio data from servicer
$
(8,750,000)
$
700,000 Updated portfolio data from servicer
$
170,334
$
870,334 Updated portfolio data from servicer
01/06/2011
$
(1)
$
870,333 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
870,332 Updated due to quarterly assessment and reallocation
06/29/2011
$
(8)
$
870,324 Updated due to quarterly assessment and reallocation
06/28/2012
$
(4)
$
870,320 Updated due to quarterly assessment and reallocation
09/27/2012
$
(10)
$
870,310 Updated due to quarterly assessment and reallocation
12/27/2012
$
(2)
$
870,308 Updated due to quarterly assessment and reallocation
03/25/2013
$
(7)
$
870,301 Updated due to quarterly assessment and reallocation
06/27/2013
$
(2)
$
870,299 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
870,298 Updated due to quarterly assessment and reallocation
12/23/2013
$
(1,504)
$
868,794 Updated due to quarterly assessment and reallocation
03/26/2014
$
(43)
$
868,751 Updated due to quarterly assessment and reallocation
06/26/2014
$
(491)
$
868,260 Updated due to quarterly assessment and reallocation
07/29/2014
$
(975)
$
867,285 Updated due to quarterly assessment and reallocation
09/29/2014
$
(322)
$
12/29/2014
156,000,000 N/A
(6)
09/30/2010
$
580,212 Updated due to quarterly assessment and reallocation
$
07/14/2010
Financial Instrument for Home Loan Modifications
$
12/29/2014
Purchase
580,220 Updated due to quarterly assessment and reallocation
(8)
09/29/2014
MN
580,221 Updated due to quarterly assessment and reallocation
$
$
07/29/2014
Saint Paul
$
(1)
06/26/2014
Green Tree Servicing LLC
(1)
$
03/26/2014
04/24/2009
580,222 Updated portfolio data from servicer
$
12/23/2013
770,000 N/A
$
09/27/2013
$
180,222
06/27/2013
Financial Instrument for Home Loan Modifications
400,000 Updated portfolio data from servicer
$
03/25/2013
Purchase
720,000 Updated portfolio data from servicer
$
12/27/2012
NV
$
09/27/2012
Carson City
$
(320,000)
06/28/2012
570,000 N/A
(880,000)
06/29/2011
$
1,030,000
03/30/2011
Greater Nevada Mortgage Services
Financial Instrument for Home Loan Modifications
$
01/06/2011
01/13/2010
Purchase
$
09/30/2010
IL
$
07/14/2010
North Chicago
12/30/2009
03/26/2010
Great Lakes Credit Union
$
(10,113)
$
06/17/2009
$
(64,990,000)
$
09/30/2009
$
130,780,000
$
221,790,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(116,750,000)
$
105,040,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
13,080,000
$
118,120,000 Updated portfolio data from servicer
07/14/2010
$
(24,220,000)
$
93,900,000 Updated portfolio data from servicer
07/16/2010
$
210,000
$
94,110,000 Transfer of cap due to servicing transfer
08/13/2010
$
2,200,000
$
09/10/2010
$
34,600,000
$
130,910,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
5,600,000
$
136,510,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
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
01/06/2011
$
(213)
$
147,094,877 Updated due to quarterly assessment and reallocation
03/30/2011
$
(250)
$
147,094,627 Updated due to quarterly assessment and reallocation
05/13/2011
$
1,200,000
$
148,294,627 Transfer of cap due to servicing transfer
06/16/2011
$
100,000
$
148,394,627 Transfer of cap due to servicing transfer
06/29/2011
$
(2,302)
$
148,392,325 Updated due to quarterly assessment and reallocation
07/14/2011
$
1,900,000
$
150,292,325 Transfer of cap due to servicing transfer
09/15/2011
$
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
02/16/2012
$
900,000
$
151,992,325 Transfer of cap due to servicing transfer
03/15/2012
$
100,000
$
152,092,325 Transfer of cap due to servicing transfer
05/16/2012
$
3,260,000
$
155,352,325 Transfer of cap due to servicing transfer
06/14/2012
$
920,000
$
156,272,325 Transfer of cap due to servicing transfer
06/28/2012
$
(1,622)
$
156,270,703 Updated due to quarterly assessment and reallocation
07/16/2012
$
110,000
$
156,380,703 Transfer of cap due to servicing transfer
08/16/2012
$
5,120,000
$
161,500,703 Transfer of cap due to servicing transfer
09/27/2012
$
(4,509)
$
161,496,194 Updated due to quarterly assessment and reallocation
10/16/2012
$
8,810,000
$
170,306,194 Transfer of cap due to servicing transfer
11/15/2012
$
2,910,000
$
173,216,194 Transfer of cap due to servicing transfer
12/27/2012
$
(802)
$
173,215,392 Updated due to quarterly assessment and reallocation
02/14/2013
$
10,210,000
$
183,425,392 Transfer of cap due to servicing transfer
03/25/2013
$
(3,023)
$
183,422,369 Updated due to quarterly assessment and reallocation
05/16/2013
$
140,000
$
183,562,369 Transfer of cap due to servicing transfer
06/27/2013
$
(1,077)
$
183,561,292 Updated due to quarterly assessment and reallocation
07/16/2013
$
7,210,000
$
190,771,292 Transfer of cap due to servicing transfer
08/15/2013
$
6,730,000
$
197,501,292 Transfer of cap due to servicing transfer
09/27/2013
$
(388)
$
197,500,904 Updated due to quarterly assessment and reallocation
10/15/2013
$
3,610,000
$
201,110,904 Transfer of cap due to servicing transfer
11/14/2013
$
(320,000)
$
200,790,904 Transfer of cap due to servicing transfer
1,600,000 Updated portfolio data from servicer/additional program initial cap
509,427 Updated due to quarterly assessment and reallocation
866,963 Updated due to quarterly assessment and reallocation
856,850 Updated due to quarterly assessment and reallocation
91,010,000 Updated portfolio data from servicer
96,310,000 Transfer of cap due to servicing transfer
79
12/16/2013
$
235,865,618 Updated due to quarterly assessment and reallocation
$
130,000
$
235,995,618 Transfer of cap due to servicing transfer
$
(499,786)
$
235,495,832 Updated due to quarterly assessment and reallocation
$
(1,940,000)
$
233,555,832 Transfer of cap due to servicing transfer
$
380,000
$
233,935,832 Transfer of cap due to servicing transfer
$
(150,666)
$
233,785,166 Updated due to quarterly assessment and reallocation
$
(1,120,000)
$
232,665,166 Transfer of cap due to servicing transfer
$
760,000
$
233,425,166 Transfer of cap due to servicing transfer
$
5,910,000
$
239,335,166 Transfer of cap due to servicing transfer
$
(10,171,749)
$
229,163,417 Updated due to quarterly assessment and reallocation
01/15/2015
$
(770,000)
$
228,393,417 Transfer of cap due to servicing transfer
07/14/2011
$
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
01/13/2012
$
100,000
$
1,200,000 Transfer of cap due to servicing transfer
06/28/2012
$
(9)
$
1,199,991 Updated due to quarterly assessment and reallocation
08/16/2012
$
20,000
$
1,219,991 Transfer of cap due to servicing transfer
09/27/2012
$
(26)
$
1,219,965 Updated due to quarterly assessment and reallocation
10/16/2012
$
50,000
$
1,269,965 Transfer of cap due to servicing transfer
12/14/2012
$
10,000
$
1,279,965 Transfer of cap due to servicing transfer
12/27/2012
$
(5)
$
1,279,960 Updated due to quarterly assessment and reallocation
01/16/2013
$
130,000
$
1,409,960 Transfer of cap due to servicing transfer
02/14/2013
$
120,000
$
1,529,960 Transfer of cap due to servicing transfer
03/25/2013
$
(20)
$
1,529,940 Updated due to quarterly assessment and reallocation
05/16/2013
$
80,000
$
1,609,940 Transfer of cap due to servicing transfer
06/14/2013
$
420,000
$
2,029,940 Transfer of cap due to servicing transfer
06/27/2013
$
(10)
$
2,029,930 Updated due to quarterly assessment and reallocation
09/27/2013
$
(4)
$
2,029,926 Updated due to quarterly assessment and reallocation
11/14/2013
$
120,000
$
2,149,926 Transfer of cap due to servicing transfer
12/23/2013
$
(7,685)
$
2,142,241 Updated due to quarterly assessment and reallocation
03/14/2014
$
10,000
$
2,152,241 Transfer of cap due to servicing transfer
03/26/2014
$
(274)
$
2,151,967 Updated due to quarterly assessment and reallocation
04/16/2014
$
240,000
$
2,391,967 Transfer of cap due to servicing transfer
06/16/2014
$
30,000
$
2,421,967 Transfer of cap due to servicing transfer
06/26/2014
$
(3,396)
$
2,418,571 Updated due to quarterly assessment and reallocation
07/29/2014
$
(6,541)
$
2,412,030 Updated due to quarterly assessment and reallocation
08/14/2014
$
90,000
$
2,502,030 Transfer of cap due to servicing transfer
09/16/2014
$
30,000
$
2,532,030 Transfer of cap due to servicing transfer
09/29/2014
$
(2,150)
$
2,529,880 Updated due to quarterly assessment and reallocation
11/14/2014
$
100,000
$
2,629,880 Transfer of cap due to servicing transfer
12/16/2014
$
260,000
$
2,889,880 Transfer of cap due to servicing transfer
12/29/2014
$
(122,632)
$
2,767,248 Updated due to quarterly assessment and reallocation
01/15/2015
$
60,000
$
2,827,248 Transfer of cap due to servicing transfer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
100,000 N/A
(262,535)
12/29/2014
$
236,128,153 Transfer of cap due to servicing transfer
$
12/16/2014
Financial Instrument for Home Loan Modifications
$
11/14/2014
Purchase
238,128,153 Transfer of cap due to servicing transfer
(2,000,000)
10/16/2014
MN
225,318,153 Transfer of cap due to servicing transfer
$
$
09/29/2014
Saint Paul
$
12,810,000
09/16/2014
Guaranty Bank
2,280,000
$
08/14/2014
09/30/2010
223,038,153 Updated due to quarterly assessment and reallocation
$
07/29/2014
3
$
07/16/2014
- N/A
(22,400)
06/26/2014
Financial Instrument for Home Loan Modifications
223,060,553 Transfer of cap due to servicing transfer
$
06/16/2014
Purchase
221,360,553 Updated due to quarterly assessment and reallocation
$
05/15/2014
OR
222,070,904 Transfer of cap due to servicing transfer
$
1,700,000
04/16/2014
Beaverton
$
(710,351)
$
03/26/2014
Gregory Funding, LLC
21,280,000
$
02/13/2014
07/14/2011
$
12/23/2013
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
660,000 Updated portfolio data from servicer/additional program initial cap
10/28/2009
Harleysville National Bank & Trust Company Harleysville
PA
Purchase
Financial Instrument for Home Loan Modifications
$
1,070,000 N/A
04/21/2010
$
(1,070,000)
12/11/2009
Hartford Savings Bank
WI
Purchase
Financial Instrument for Home Loan Modifications
$
630,000 N/A
01/22/2010
$
30,000
$
03/26/2010
$
800,000
$
1,460,000 Updated portfolio data from servicer
07/14/2010
$
(360,000)
$
1,100,000 Updated portfolio data from servicer
09/30/2010
$
60,445
$
1,160,445 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,160,443 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
1,160,441 Updated due to quarterly assessment and reallocation
06/29/2011
$
(18)
$
1,160,423 Updated due to quarterly assessment and reallocation
06/28/2012
$
(14)
$
1,160,409 Updated due to quarterly assessment and reallocation
09/27/2012
$
(37)
$
1,160,372 Updated due to quarterly assessment and reallocation
12/27/2012
$
(6)
$
1,160,366 Updated due to quarterly assessment and reallocation
03/25/2013
$
(24)
$
1,160,342 Updated due to quarterly assessment and reallocation
06/27/2013
$
(9)
$
1,160,333 Updated due to quarterly assessment and reallocation
09/27/2013
$
(3)
$
1,160,330 Updated due to quarterly assessment and reallocation
12/23/2013
$
(5,463)
$
1,154,867 Updated due to quarterly assessment and reallocation
03/26/2014
$
(192)
$
1,154,675 Updated due to quarterly assessment and reallocation
Hartford
- Termination of SPA
80
06/26/2014
1,152,408 Updated due to quarterly assessment and reallocation
$
1,147,906 Updated due to quarterly assessment and reallocation
(1,487)
$
1,146,419 Updated due to quarterly assessment and reallocation
$
(180,152)
$
IL
- N/A
3
966,267 Updated due to quarterly assessment and reallocation
$
90,000
$
$
20,556
$
110,556 Updated due to quarterly assessment and reallocation
09/29/2014
Bloomington
05/15/2014
06/26/2014
Heartland Bank & Trust Company
Financial Instrument for Home Loan Modifications
$
(4,502)
$
12/29/2014
Purchase
(2,267)
$
09/29/2014
05/15/2014
$
07/29/2014
$
(1)
$
110,555 Updated due to quarterly assessment and reallocation
12/29/2014
Pittsburgh
PA
Purchase
Financial Instrument for Home Loan Modifications
$
(16)
$
1,160,426 Updated due to quarterly assessment and reallocation
$
(12)
$
1,160,414 Updated due to quarterly assessment and reallocation
$
(33)
$
1,160,381 Updated due to quarterly assessment and reallocation
$
(6)
$
1,160,375 Updated due to quarterly assessment and reallocation
$
(21)
$
1,160,354 Updated due to quarterly assessment and reallocation
$
(8)
$
1,160,346 Updated due to quarterly assessment and reallocation
$
(3)
$
1,160,343 Updated due to quarterly assessment and reallocation
$
(4,797)
$
1,155,546 Updated due to quarterly assessment and reallocation
$
(169)
$
1,155,377 Updated due to quarterly assessment and reallocation
$
(1,996)
$
1,153,381 Updated due to quarterly assessment and reallocation
$
(3,965)
$
1,149,416 Updated due to quarterly assessment and reallocation
$
(1,311)
$
1,148,105 Updated due to quarterly assessment and reallocation
$
(144,011)
$
1,004,094 Updated due to quarterly assessment and reallocation
04/21/2010
319,000,000 N/A
1,160,442 Updated due to quarterly assessment and reallocation
$
12/29/2014
Home Loan Services, Inc.
1,160,444 Updated due to quarterly assessment and reallocation
$
09/29/2014
04/20/2009
$
(2)
07/29/2014
230,000 N/A
(1)
$
06/26/2014
$
1,160,445 Updated portfolio data from servicer
$
03/26/2014
Financial Instrument for Home Loan Modifications
1,000,000 Updated portfolio data from servicer
$
12/23/2013
Purchase
$
160,445
09/27/2013
FL
2,080,000 Updated portfolio data from servicer
(1,080,000)
$
06/27/2013
Coral Gables
$
$
03/25/2013
Home Financing Center, Inc
1,750,000 Updated portfolio data from servicer/additional program initial cap
12/27/2012
11/25/2009
$
09/27/2012
1,670,000 N/A
$
06/28/2012
$
80,000
06/29/2011
Financial Instrument for Home Loan Modifications
80,001
03/30/2011
Purchase
330,000
01/06/2011
MI
$
09/30/2010
Hillsdale
$
07/14/2010
Hillsdale County National Bank
01/22/2010
03/26/2010
11/18/2009
$
90,000 Transfer of cap due to servicing transfer
$
(230,000)
190,556 Updated due to quarterly assessment and reallocation
- Termination of SPA
06/12/2009
494,030,000 Updated portfolio data from servicer/additional program initial cap
$
145,820,000
$
639,850,000 Updated portfolio data from servicer/additional program initial cap
$
(17,440,000)
$
622,410,000 Updated portfolio data from servicer
$
(73,010,000)
$
549,400,000 Updated portfolio data from servicer
09/30/2010
$
6,700,000
$
556,100,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(77,126,410)
$
478,973,590 Updated portfolio data from servicer
12/15/2010
$
(314,900,000)
$
164,073,590 Transfer of cap due to servicing transfer
01/06/2011
$
(233)
$
164,073,357 Updated due to quarterly assessment and reallocation
02/16/2011
$
(1,900,000)
$
162,173,357 Transfer of cap due to servicing transfer
03/16/2011
$
(400,000)
$
161,773,357 Transfer of cap due to servicing transfer
03/30/2011
$
(278)
$
161,773,079 Updated due to quarterly assessment and reallocation
05/13/2011
$
(400,000)
$
161,373,079 Transfer of cap due to servicing transfer
06/29/2011
$
(2,625)
$
161,370,454 Updated due to quarterly assessment and reallocation
10/19/2011
$
(155,061,221)
$
6,309,233 Termination of SPA
(4)
$
749,987 Updated due to quarterly assessment and reallocation
$
(120,000)
$
629,987 Transfer of cap due to servicing transfer
$
(2)
$
629,985 Updated due to quarterly assessment and reallocation
$
(2,620)
$
627,365 Updated due to quarterly assessment and reallocation
$
(92)
$
627,273 Updated due to quarterly assessment and reallocation
$
(1,088)
$
626,185 Updated due to quarterly assessment and reallocation
$
(2,161)
$
624,024 Updated due to quarterly assessment and reallocation
$
(290,000)
$
334,024 Transfer of cap due to servicing transfer
$
(332)
$
12/29/2014
674,000,000 N/A
749,991 Transfer of cap due to servicing transfer
$
09/29/2014
$
$
09/16/2014
Financial Instrument for Home Loan Modifications
40,000
07/29/2014
Purchase
709,991 Transfer of cap due to servicing transfer
$
06/26/2014
CA
$
03/26/2014
North Highlands
509,991 Updated due to quarterly assessment and reallocation
200,000
12/23/2013
HomEq Servicing
510,000 Transfer of cap due to servicing transfer
$
$
09/27/2013
08/05/2009
$
(9)
07/16/2013
3
510,000
06/27/2013
- N/A
$
05/16/2013
LA
$
04/16/2013
Baton Rouge
02/14/2013
03/25/2013
Home Servicing, LLC
Financial Instrument for Home Loan Modifications
447,300,000 Updated portfolio data from servicer
$
07/14/2010
Purchase
$
46,730,000
03/26/2010
02/14/2013
128,300,000
$
12/30/2009
7
$
09/30/2009
$
(40,233)
$
09/30/2009
$
(121,190,000)
$
552,810,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(36,290,000)
$
516,520,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
199,320,000
$
715,840,000 Updated portfolio data from servicer
07/14/2010
$
(189,040,000)
$
526,800,000 Updated portfolio data from servicer
09/30/2010
$
38,626,728
$
565,426,728 Updated portfolio data from servicer
10/15/2010
$
(170,800,000)
$
394,626,728 Transfer of cap due to servicing transfer
12/15/2010
$
(22,200,000)
$
372,426,728 Transfer of cap due to servicing transfer
01/06/2011
$
(549)
$
372,426,179 Updated due to quarterly assessment and reallocation
02/16/2011
$
(900,000)
$
371,526,179 Transfer of cap due to servicing transfer
03/30/2011
$
(653)
$
371,525,526 Updated due to quarterly assessment and reallocation
06/29/2011
$
(6,168)
$
371,519,358 Updated due to quarterly assessment and reallocation
06/28/2012
$
(4,634)
$
371,514,724 Updated due to quarterly assessment and reallocation
08/16/2012
$
(430,000)
$
371,084,724 Transfer of cap due to servicing transfer
09/27/2012
$
(12,728)
$
371,071,996 Updated due to quarterly assessment and reallocation
12/14/2012
$
(20,000)
$
371,051,996 Transfer of cap due to servicing transfer
12/27/2012
$
(2,148)
$
371,049,848 Updated due to quarterly assessment and reallocation
03/25/2013
$
(8,137)
$
371,041,711 Updated due to quarterly assessment and reallocation
06/27/2013
$
(3,071)
$
371,038,640 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1,101)
$
371,037,539 Updated due to quarterly assessment and reallocation
11/14/2013
$
(10,000)
$
371,027,539 Transfer of cap due to servicing transfer
333,692 Updated due to quarterly assessment and reallocation
293,459 Updated due to quarterly assessment and reallocation
81
12/23/2013
$
250,450,000
$
1,469,270,000 Updated portfolio data from servicer/additional program initial cap
$
124,820,000
$
1,594,090,000 Updated portfolio data from servicer
$
(289,990,000)
$
1,304,100,000 Updated portfolio data from servicer
$
1,690,508
$
1,305,790,508 Updated portfolio data from servicer
$
300,000
$
1,306,090,508 Transfer of cap due to servicing transfer
$
(100,000)
$
1,305,990,508 Transfer of cap due to servicing transfer
$
(1,173)
$
1,305,989,335 Updated due to quarterly assessment and reallocation
$
(500,000)
$
1,305,489,335 Transfer of cap due to servicing transfer
$
(1,400)
$
1,305,487,935 Updated due to quarterly assessment and reallocation
$
3,100,000
$
1,308,587,935 Transfer of cap due to servicing transfer
$
(12,883)
$
1,308,575,052 Updated due to quarterly assessment and reallocation
$
(1,000,000)
$
1,307,575,052 Transfer of cap due to servicing transfer
$
(100,000)
$
1,307,475,052 Transfer of cap due to servicing transfer
$
(1,100,000)
$
1,306,375,052 Transfer of cap due to servicing transfer
$
(10,000)
$
1,306,365,052 Transfer of cap due to servicing transfer
$
(8,378)
$
1,306,356,674 Updated due to quarterly assessment and reallocation
$
(470,000)
$
1,305,886,674 Transfer of cap due to servicing transfer
$
(80,000)
$
1,305,806,674 Transfer of cap due to servicing transfer
$
(22,494)
$
1,305,784,180 Updated due to quarterly assessment and reallocation
$
(260,000)
$
1,305,524,180 Transfer of cap due to servicing transfer
$
(30,000)
$
1,305,494,180 Transfer of cap due to servicing transfer
$
(50,000)
$
1,305,444,180 Transfer of cap due to servicing transfer
12/27/2012
$
(3,676)
$
1,305,440,504 Updated due to quarterly assessment and reallocation
01/16/2013
$
(80,000)
$
1,305,360,504 Transfer of cap due to servicing transfer
02/14/2013
$
20,000
$
1,305,380,504 Transfer of cap due to servicing transfer
03/14/2013
$
(84,160,000)
$
1,221,220,504 Transfer of cap due to servicing transfer
03/25/2013
$
(12,821)
$
1,221,207,683 Updated due to quarterly assessment and reallocation
04/16/2013
$
(621,110,000)
$
600,097,683 Transfer of cap due to servicing transfer
05/16/2013
$
(19,120,000)
$
580,977,683 Transfer of cap due to servicing transfer
06/27/2013
$
(1,947)
$
580,975,736 Updated due to quarterly assessment and reallocation
07/16/2013
$
(14,870,000)
$
566,105,736 Transfer of cap due to servicing transfer
09/27/2013
$
(655)
$
566,105,081 Updated due to quarterly assessment and reallocation
12/16/2013
$
20,000
$
566,125,081 Transfer of cap due to servicing transfer
12/23/2013
$
(1,110,189)
$
565,014,892 Updated due to quarterly assessment and reallocation
03/26/2014
$
(39,031)
$
564,975,861 Updated due to quarterly assessment and reallocation
04/16/2014
$
(10,000)
$
564,965,861 Transfer of cap due to servicing transfer
05/28/2014
$
(284,475,088)
$
280,490,773 Termination of SPA
10/02/2009
$
130,000
$
690,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
1,040,000
$
1,730,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(1,680,000)
$
50,000 Updated portfolio data from servicer
05/12/2010
$
1,260,000
$
1,310,000 Updated portfolio data from servicer
07/14/2010
$
(1,110,000)
$
200,000 Updated portfolio data from servicer
09/30/2010
$
100,000
$
300,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(9,889)
$
290,111 Updated portfolio data from servicer
06/29/2011
$
(3)
$
290,108 Updated due to quarterly assessment and reallocation
06/28/2012
$
(2)
$
290,106 Updated due to quarterly assessment and reallocation
09/27/2012
$
(7)
$
290,099 Updated due to quarterly assessment and reallocation
12/27/2012
$
(1)
$
290,098 Updated due to quarterly assessment and reallocation
03/25/2013
$
(4)
$
290,094 Updated due to quarterly assessment and reallocation
06/27/2013
$
(2)
$
290,092 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
290,091 Updated due to quarterly assessment and reallocation
12/23/2013
$
(979)
$
289,112 Updated due to quarterly assessment and reallocation
03/26/2014
$
(34)
$
289,078 Updated due to quarterly assessment and reallocation
06/26/2014
$
(406)
$
288,672 Updated due to quarterly assessment and reallocation
07/29/2014
$
(807)
$
287,865 Updated due to quarterly assessment and reallocation
09/29/2014
$
(267)
$
12/29/2014
700,000 N/A
1,218,820,000 Updated portfolio data from servicer/additional program initial cap
12/14/2012
$
$
11/15/2012
Financial Instrument for Home Loan Modifications
(53,670,000)
10/16/2012
Purchase
$
09/27/2012
IN
$
08/16/2012
Michigan City
(856,986)
07/16/2012
Horizon Bank, NA
870,309 Updated due to quarterly assessment and reallocation
$
06/28/2012
12/16/2009
870,319 Updated due to quarterly assessment and reallocation
$
07/06/2012
05/16/2012
14
$
(10)
11/16/2011
560,000 N/A
(13)
$
10/14/2011
$
870,332 Updated due to quarterly assessment and reallocation
$
09/15/2011
Financial Instrument for Home Loan Modifications
$
06/29/2011
Purchase
(1)
04/13/2011
WI
870,333 Updated due to quarterly assessment and reallocation
$
03/30/2011
Horicon
870,334 Updated portfolio data from servicer
$
02/16/2011
Horicon Bank
800,000 Updated portfolio data from servicer
$
(1)
01/06/2011
09/02/2009
$
70,334
$
11/16/2010
1,272,490,000 N/A
(350,000)
$
10/15/2010
$
$
09/30/2010
Financial Instrument for Home Loan Modifications
1,150,000 Updated portfolio data from servicer
07/14/2010
Purchase
$
03/26/2010
TX
820,000
12/30/2009
07/22/2009
Homeward Residential, Inc. (American Home
Coppell
Mortgage Servicing, Inc)
$
09/30/2009
6
$
$
06/28/2012
310,000 N/A
20,000
06/29/2011
$
(1,858,220)
03/30/2011
Financial Instrument for Home Loan Modifications
(360,860,500)
01/06/2011
Purchase
$
09/30/2010
IL
$
07/14/2010
Manteno
$
03/26/2010
HomeStar Bank & Financial Services
02/27/2014
01/22/2010
13
12/11/2009
$
(32,297)
$
255,301 Updated due to quarterly assessment and reallocation
01/22/2010
$
30,000
$
730,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
1,740,000
$
07/14/2010
$
(1,870,000)
$
600,000 Updated portfolio data from servicer
09/30/2010
$
850,556
$
1,450,556 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,450,554 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
1,450,552 Updated due to quarterly assessment and reallocation
06/29/2011
$
(23)
$
1,450,529 Updated due to quarterly assessment and reallocation
$
369,169,319 Updated due to quarterly assessment and reallocation
8,308,819 Termination of SPA
330,000 Updated portfolio data from servicer/additional program initial cap
13,323 Termination of SPA
287,598 Updated due to quarterly assessment and reallocation
2,470,000 Updated portfolio data from servicer
82
06/28/2012
870,333 Updated due to quarterly assessment and reallocation
$
(1)
$
870,332 Updated due to quarterly assessment and reallocation
$
(12)
$
870,320 Updated due to quarterly assessment and reallocation
$
(9)
$
09/14/2012
$
(821,722)
$
01/22/2010
$
40,000
$
$
(760,000)
$
40,000 Updated portfolio data from servicer
$
2,630,000
$
2,670,000 Updated portfolio data from servicer
$
(770,000)
$
1,900,000 Updated portfolio data from servicer
$
565,945
$
2,465,945 Updated portfolio data from servicer
$
(4)
$
2,465,941 Updated due to quarterly assessment and reallocation
$
(4)
$
2,465,937 Updated due to quarterly assessment and reallocation
$
(40)
$
2,465,897 Updated due to quarterly assessment and reallocation
$
(29)
$
2,465,868 Updated due to quarterly assessment and reallocation
$
(80)
$
2,465,788 Updated due to quarterly assessment and reallocation
$
(14)
$
2,465,774 Updated due to quarterly assessment and reallocation
$
(52)
$
2,465,722 Updated due to quarterly assessment and reallocation
$
(19)
$
2,465,703 Updated due to quarterly assessment and reallocation
$
(7)
$
2,465,696 Updated due to quarterly assessment and reallocation
$
(11,558)
$
2,454,138 Updated due to quarterly assessment and reallocation
$
(410)
$
2,453,728 Updated due to quarterly assessment and reallocation
$
(4,837)
$
2,448,891 Updated due to quarterly assessment and reallocation
$
(9,607)
$
2,439,284 Updated due to quarterly assessment and reallocation
$
(3,173)
$
2,436,111 Updated due to quarterly assessment and reallocation
$
(374,717)
$
2,061,394 Updated due to quarterly assessment and reallocation
01/22/2010
$
440,000
$
9,870,000 Updated portfolio data from servicer/additional program initial cap
$
14,480,000
$
24,350,000 Updated portfolio data from servicer
$
(24,200,000)
$
150,000 Updated portfolio data from servicer
$
150,000
$
300,000 Updated portfolio data from servicer
$
(9,889)
$
290,111 Updated portfolio data from servicer
$
(3)
$
290,108 Updated due to quarterly assessment and reallocation
06/28/2012
$
(2)
$
290,106 Updated due to quarterly assessment and reallocation
09/27/2012
$
(6)
$
290,100 Updated due to quarterly assessment and reallocation
12/27/2012
$
(1)
$
290,099 Updated due to quarterly assessment and reallocation
03/25/2013
$
(3)
$
290,096 Updated due to quarterly assessment and reallocation
06/27/2013
$
(1)
$
290,095 Updated due to quarterly assessment and reallocation
12/23/2013
$
(747)
$
289,348 Updated due to quarterly assessment and reallocation
03/26/2014
$
(26)
$
289,322 Updated due to quarterly assessment and reallocation
06/26/2014
$
(314)
$
289,008 Updated due to quarterly assessment and reallocation
07/29/2014
$
(626)
$
288,382 Updated due to quarterly assessment and reallocation
09/29/2014
$
(226)
$
288,156 Updated due to quarterly assessment and reallocation
12/29/2014
960,000 N/A
870,334 Updated portfolio data from servicer
$
06/29/2011
$
$
(1)
09/30/2010
Financial Instrument for Home Loan Modifications
170,334
$
07/14/2010
Purchase
700,000 Updated portfolio data from servicer
$
05/26/2010
CA
$
03/26/2010
San Diego
(400,000)
12/29/2014
iServe Residential Lending, LLC
1,100,000 Updated portfolio data from servicer
$
09/29/2014
01/29/2010
1,110,000 Updated portfolio data from servicer/additional program initial cap
$
07/29/2014
9,430,000 N/A
$
(10,000)
06/26/2014
$
250,000
$
03/26/2014
Financial Instrument for Home Loan Modifications
$
12/23/2013
Purchase
860,000 Updated portfolio data from servicer/additional program initial cap
09/27/2013
ID
$
06/27/2013
Boise
(10,000)
03/25/2013
Idaho Housing and Finance Association
$
12/27/2012
12/04/2009
6,952,756 Transfer of cap due to servicing transfer
$
09/27/2012
760,000 N/A
$
(6,927,254)
06/28/2012
$
(300,000)
$
06/29/2011
Financial Instrument for Home Loan Modifications
7,252,756 Updated due to quarterly assessment and reallocation
$
06/03/2011
03/30/2011
Purchase
$
01/06/2011
MA
(13)
09/30/2010
Fitchburg
7,252,769 Updated due to quarterly assessment and reallocation
$
07/14/2010
IC Federal Credit Union
7,252,780 Updated portfolio data from servicer
$
05/12/2010
10/23/2009
1,400,000 Updated portfolio data from servicer
$
(11)
03/26/2010
6
$
5,852,780
$
06/28/2012
870,000 N/A
(1,560,000)
$
06/29/2011
$
$
03/30/2011
Financial Instrument for Home Loan Modifications
2,960,000 Updated portfolio data from servicer
01/06/2011
Purchase
$
09/30/2010
FL
(1,470,000)
07/14/2010
Delray Beach
$
03/26/2010
07/10/2009
1,450,512 Updated due to quarterly assessment and reallocation
4,430,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
6
IBM Southeast Employees' Federal Credit
Union
$
$
09/30/2009
4,230,000 N/A
(17)
04/13/2011
$
200,000
03/30/2011
Financial Instrument for Home Loan Modifications
(1,450,512)
01/06/2011
Purchase
$
09/30/2010
FL
$
07/14/2010
Sarasota
01/22/2010
03/26/2010
Iberiabank
$
09/21/2012
12/23/2009
$
(18,852)
$
269,304 Updated due to quarterly assessment and reallocation
- Termination of SPA
25,502 Termination of SPA
870,311 Updated due to quarterly assessment and reallocation
48,589 Termination of SPA
800,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(730,000)
$
230,000 Updated portfolio data from servicer
07/14/2010
$
370,000
$
600,000 Updated portfolio data from servicer
09/30/2010
$
200,000
$
800,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(364,833)
$
435,167 Updated portfolio data from servicer
11/16/2010
$
100,000
$
535,167 Transfer of cap due to servicing transfer
01/06/2011
$
(1)
$
535,166 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
535,165 Updated due to quarterly assessment and reallocation
06/29/2011
$
(7)
$
535,158 Updated due to quarterly assessment and reallocation
06/28/2012
$
(6)
$
535,152 Updated due to quarterly assessment and reallocation
09/27/2012
$
(15)
$
535,137 Updated due to quarterly assessment and reallocation
12/27/2012
$
(3)
$
535,134 Updated due to quarterly assessment and reallocation
03/25/2013
$
(10)
$
535,124 Updated due to quarterly assessment and reallocation
06/27/2013
$
(4)
$
535,120 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
535,119 Updated due to quarterly assessment and reallocation
12/23/2013
$
(2,242)
$
532,877 Updated due to quarterly assessment and reallocation
03/26/2014
$
(79)
$
532,798 Updated due to quarterly assessment and reallocation
06/26/2014
$
(930)
$
531,868 Updated due to quarterly assessment and reallocation
07/29/2014
$
(1,848)
$
530,020 Updated due to quarterly assessment and reallocation
83
09/29/2014
(12,660,000)
$
15,500,000 Updated portfolio data from servicer
$
100,000
$
15,600,000 Updated portfolio data from servicer/additional program initial cap
$
(3,125,218)
$
12,474,782 Updated portfolio data from servicer
$
800,000
$
13,274,782 Transfer of cap due to servicing transfer
$
(20)
$
13,274,762 Updated due to quarterly assessment and reallocation
$
(24)
$
13,274,738 Updated due to quarterly assessment and reallocation
$
(221)
$
13,274,517 Updated due to quarterly assessment and reallocation
$
(169)
$
13,274,348 Updated due to quarterly assessment and reallocation
$
(465)
$
13,273,883 Updated due to quarterly assessment and reallocation
12/27/2012
$
(78)
$
13,273,805 Updated due to quarterly assessment and reallocation
03/25/2013
$
(297)
$
13,273,508 Updated due to quarterly assessment and reallocation
06/27/2013
$
(112)
$
13,273,396 Updated due to quarterly assessment and reallocation
07/16/2013
$
(10,000)
$
13,263,396 Transfer of cap due to servicing transfer
09/27/2013
$
(40)
$
13,263,356 Updated due to quarterly assessment and reallocation
11/14/2013
$
(60,000)
$
13,203,356 Updated due to quarterly assessment and reallocation
12/23/2013
$
(67,516)
$
13,135,840 Updated due to quarterly assessment and reallocation
03/26/2014
$
(2,373)
$
13,133,467 Updated due to quarterly assessment and reallocation
06/26/2014
$
(28,014)
$
13,105,453 Updated due to quarterly assessment and reallocation
07/29/2014
$
(55,640)
$
13,049,813 Updated due to quarterly assessment and reallocation
09/29/2014
$
(18,379)
$
13,031,434 Updated due to quarterly assessment and reallocation
12/29/2014
$
(2,226,283)
$
10,805,151 Updated due to quarterly assessment and reallocation
$
529,410 Updated due to quarterly assessment and reallocation
455,483 Updated due to quarterly assessment and reallocation
435,159 Updated due to quarterly assessment and reallocation
$
(4)
$
435,155 Updated due to quarterly assessment and reallocation
$
(12)
$
435,143 Updated due to quarterly assessment and reallocation
$
(2)
$
435,141 Updated due to quarterly assessment and reallocation
$
(8)
$
435,133 Updated due to quarterly assessment and reallocation
$
(3)
$
435,130 Updated due to quarterly assessment and reallocation
$
(1)
$
435,129 Updated due to quarterly assessment and reallocation
$
(1,727)
$
433,402 Updated due to quarterly assessment and reallocation
$
(61)
$
433,341 Updated due to quarterly assessment and reallocation
$
(716)
$
432,625 Updated due to quarterly assessment and reallocation
07/29/2014
$
(1,423)
$
431,202 Updated due to quarterly assessment and reallocation
09/29/2014
$
(470)
$
430,732 Updated due to quarterly assessment and reallocation
12/29/2014
2,699,720,000 N/A
$
06/26/2014
$
(6)
03/26/2014
TX
435,165 Updated due to quarterly assessment and reallocation
$
12/23/2013
Lewisville
$
09/27/2013
JP Morgan Chase Bank, NA
(1)
06/27/2013
Financial Instrument for Home Loan Modifications
435,166 Updated due to quarterly assessment and reallocation
$
03/25/2013
Purchase
435,167 Updated portfolio data from servicer
$
12/27/2012
07/31/2009
$
(1)
09/27/2012
300,000 N/A
135,167
06/28/2012
$
$
06/29/2011
MO
$
03/30/2011
Kansas City
09/30/2010
01/06/2011
James B. Nutter & Company
Financial Instrument for Home Loan Modifications
$
09/27/2012
Purchase
28,160,000 Updated portfolio data from servicer/additional program initial cap
06/28/2012
09/24/2010
$
$
06/29/2011
28,040,000 N/A
(610)
03/30/2011
$
120,000
01/06/2011
Financial Instrument for Home Loan Modifications
(73,927)
11/16/2010
Purchase
$
09/30/2010
TX
$
09/30/2010
Irving
05/26/2010
07/14/2010
iServe Servicing, Inc.
$
12/29/2014
03/05/2010
$
(56,939)
$
09/30/2009
$
(14,850,000)
$
2,684,870,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
1,178,180,000
$
3,863,050,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
1,006,580,000
$
4,869,630,000 Updated portfolio data from servicer/additional program initial cap
07/14/2010
$
(1,934,230,000)
$
2,935,400,000 Updated portfolio data from servicer
09/30/2010
$
72,400,000
$
3,007,800,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
215,625,536
$
3,223,425,536 Updated portfolio data from servicer
01/06/2011
$
(3,636)
$
3,223,421,900 Updated due to quarterly assessment and reallocation
03/16/2011
$
(100,000)
$
3,223,321,900 Transfer of cap due to servicing transfer
03/30/2011
$
(3,999)
$
3,223,317,901 Updated due to quarterly assessment and reallocation
04/13/2011
$
(200,000)
$
3,223,117,901 Transfer of cap due to servicing transfer
05/13/2011
$
122,700,000
$
3,345,817,901 Transfer of cap due to servicing transfer
06/29/2011
$
(34,606)
$
3,345,783,295 Updated due to quarterly assessment and reallocation
07/14/2011
$
600,000
$
3,346,383,295 Transfer of cap due to servicing transfer
08/16/2011
$
(400,000)
$
3,345,983,295 Transfer of cap due to servicing transfer
09/15/2011
$
(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
01/13/2012
$
(100,000)
$
3,862,394,604 Transfer of cap due to servicing transfer
02/16/2012
$
(100,000)
$
3,862,294,604 Transfer of cap due to servicing transfer
05/16/2012
$
(126,080,000)
$
3,736,214,604 Transfer of cap due to servicing transfer
06/14/2012
$
(1,620,000)
$
3,734,594,604 Transfer of cap due to servicing transfer
06/28/2012
$
(16,192)
$
3,734,578,412 Updated due to quarterly assessment and reallocation
07/16/2012
$
(2,300,000)
$
3,732,278,412 Transfer of cap due to servicing transfer
08/16/2012
$
(20,000)
$
3,732,258,412 Transfer of cap due to servicing transfer
09/27/2012
$
(37,341)
$
3,732,221,071 Updated due to quarterly assessment and reallocation
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)
$
3,727,141,071 Transfer of cap due to servicing transfer
12/27/2012
$
(4,535)
$
3,727,136,536 Updated due to quarterly assessment and reallocation
01/16/2013
$
(60,000)
$
3,727,076,536 Transfer of cap due to servicing transfer
02/14/2013
$
(520,000)
$
3,726,556,536 Transfer of cap due to servicing transfer
03/14/2013
$
(90,000)
$
3,726,466,536 Transfer of cap due to servicing transfer
03/25/2013
$
(14,310)
$
3,726,452,226 Updated due to quarterly assessment and reallocation
04/16/2013
$
(110,000)
$
3,726,342,226 Transfer of cap due to servicing transfer
05/16/2013
$
(120,000)
$
3,726,222,226 Transfer of cap due to servicing transfer
06/14/2013
$
(50,000)
$
3,726,172,226 Transfer of cap due to servicing transfer
373,793 Updated due to quarterly assessment and reallocation
84
06/27/2013
3,726,168,448 Updated due to quarterly assessment and reallocation
$
3,622,928,448 Transfer of cap due to servicing transfer
(20,000)
$
3,622,908,448 Transfer of cap due to servicing transfer
$
(99,960,000)
$
3,522,948,448 Transfer of cap due to servicing transfer
09/27/2013
$
(724)
$
3,522,947,724 Updated due to quarterly assessment and reallocation
10/15/2013
$
(77,990,000)
$
3,444,957,724 Transfer of cap due to servicing transfer
11/14/2013
$
(15,610,000)
$
3,429,347,724 Transfer of cap due to servicing transfer
12/16/2013
$
(50,000)
$
3,429,297,724 Transfer of cap due to servicing transfer
12/23/2013
$
(840,396)
$
3,428,457,328 Updated due to quarterly assessment and reallocation
01/16/2014
$
(5,790,000)
$
3,422,667,328 Transfer of cap due to servicing transfer
02/13/2014
$
(52,670,000)
$
3,369,997,328 Transfer of cap due to servicing transfer
03/14/2014
$
(3,730,000)
$
3,366,267,328 Transfer of cap due to servicing transfer
03/26/2014
$
(21,412)
$
3,366,245,916 Updated due to quarterly assessment and reallocation
04/16/2014
$
(14,000,000)
$
3,352,245,916 Transfer of cap due to servicing transfer
05/15/2014
$
(18,970,000)
$
3,333,275,916 Transfer of cap due to servicing transfer
06/16/2014
$
(30,170,000)
$
3,303,105,916 Transfer of cap due to servicing transfer
06/26/2014
$
(101,752)
$
3,303,004,164 Updated due to quarterly assessment and reallocation
07/16/2014
$
(12,980,000)
$
3,290,024,164 Transfer of cap due to servicing transfer
07/29/2014
$
(154,293)
$
3,289,869,871 Updated due to quarterly assessment and reallocation
08/14/2014
$
(7,180,000)
$
3,282,689,871 Transfer of cap due to servicing transfer
09/16/2014
$
(9,640,000)
$
3,273,049,871 Transfer of cap due to servicing transfer
09/29/2014
$
(18,088)
$
3,273,031,783 Updated due to quarterly assessment and reallocation
10/16/2014
$
(390,000)
$
3,272,641,783 Transfer of cap due to servicing transfer
11/14/2014
$
(10,150,000)
$
3,262,491,783 Transfer of cap due to servicing transfer
12/16/2014
$
(4,800,000)
$
3,257,691,783 Transfer of cap due to servicing transfer
12/29/2014
$
549,933,107
$
3,807,624,890 Updated due to quarterly assessment and reallocation
01/15/2015
$
(10,720,000)
$
3,796,904,890 Transfer of cap due to servicing transfer
2,369,845 Transfer of cap due to servicing transfer
$
(373)
$
2,369,472 Updated due to quarterly assessment and reallocation
$
(4,497)
$
2,364,975 Updated due to quarterly assessment and reallocation
$
(8,932)
$
2,356,043 Updated due to quarterly assessment and reallocation
$
(40,000)
$
2,316,043 Transfer of cap due to servicing transfer
$
(2,954)
$
2,313,089 Updated due to quarterly assessment and reallocation
$
(340,000)
$
1,973,089 Transfer of cap due to servicing transfer
$
(50,000)
$
1,923,089 Transfer of cap due to servicing transfer
$
(296,094)
$
1,626,995 Updated due to quarterly assessment and reallocation
$
(100,000)
$
1,526,995 Transfer of cap due to servicing transfer
$
180,000
$
600,000 Updated portfolio data from servicer/additional program initial cap
$
(350,000)
$
250,000 Updated portfolio data from servicer/additional program initial cap
$
20,000
$
270,000 Updated portfolio data from servicer
$
(70,000)
$
200,000 Updated portfolio data from servicer
$
90,111
$
290,111 Updated portfolio data from servicer
$
(3)
$
290,108 Updated due to quarterly assessment and reallocation
06/28/2012
$
(2)
$
290,106 Updated due to quarterly assessment and reallocation
09/27/2012
$
(7)
$
290,099 Updated due to quarterly assessment and reallocation
12/27/2012
$
(1)
$
290,098 Updated due to quarterly assessment and reallocation
03/25/2013
$
(4)
$
290,094 Updated due to quarterly assessment and reallocation
06/27/2013
$
(2)
$
290,092 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
290,091 Updated due to quarterly assessment and reallocation
12/23/2013
$
(979)
$
289,112 Updated due to quarterly assessment and reallocation
03/26/2014
$
(34)
$
289,078 Updated due to quarterly assessment and reallocation
06/26/2014
$
(406)
$
288,672 Updated due to quarterly assessment and reallocation
07/29/2014
$
(807)
$
287,865 Updated due to quarterly assessment and reallocation
09/29/2014
$
(267)
$
12/29/2014
$
(26,057)
$
261,541 Updated due to quarterly assessment and reallocation
09/30/2009
$
150,000
$
250,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
130,000
$
380,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
50,000
$
430,000 Updated portfolio data from servicer
07/14/2010
$
(30,000)
$
400,000 Updated portfolio data from servicer
09/30/2010
$
35,167
$
435,167 Updated portfolio data from servicer
01/06/2011
$
(1)
$
435,166 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
435,165 Updated due to quarterly assessment and reallocation
06/29/2011
$
(6)
$
435,159 Updated due to quarterly assessment and reallocation
06/28/2012
$
(4)
$
435,155 Updated due to quarterly assessment and reallocation
08/23/2012
$
(424,504)
$
10,651 Termination of SPA
40,000 Transfer of cap due to servicing transfer
130,000 Transfer of cap due to servicing transfer
129,845 Updated due to quarterly assessment and reallocation
287,598 Updated due to quarterly assessment and reallocation
01/16/2014
LenderLive Network, Inc
Concord
Glendale
CA
CO
Purchase
Financial Instrument for Home Loan Modifications
- N/A
- N/A
3
3
06/16/2014
$
40,000
$
09/16/2014
Land/Home Financial Services, Inc.
Financial Instrument for Home Loan Modifications
$
06/29/2011
Purchase
$
2,240,000
09/30/2010
06/16/2014
$
(155)
$
07/14/2010
6
(20,000)
$
09/30/2009
100,000 N/A
$
03/26/2010
$
150,000 Transfer of cap due to servicing transfer
12/30/2009
Financial Instrument for Home Loan Modifications
$
01/15/2015
Purchase
200,000 Transfer of cap due to servicing transfer
(50,000)
12/29/2014
OH
70,000 Transfer of cap due to servicing transfer
$
$
12/16/2014
Mentor
$
130,000
11/14/2014
Lake National Bank
(10,000)
$
09/29/2014
07/10/2009
80,000 Transfer of cap due to servicing transfer
$
09/16/2014
420,000 N/A
$
07/29/2014
$
(10,000)
06/26/2014
Financial Instrument for Home Loan Modifications
90,000 Transfer of cap due to servicing transfer
$
03/26/2014
Purchase
$
03/14/2014
IN
100,000 Transfer of cap due to servicing transfer
(10,000)
12/23/2013
Warsaw
30,000 Transfer of cap due to servicing transfer
$
$
07/16/2013
Lake City Bank
$
06/14/2013
08/05/2009
30,000
05/16/2013
3
70,000
04/16/2013
- N/A
$
02/14/2013
CA
$
01/16/2013
Orange
11/15/2012
12/14/2012
Kondaur Capital Corporation
Financial Instrument for Home Loan Modifications
$
(103,240,000)
$
09/16/2013
Purchase
(3,778)
$
08/15/2013
11/15/2012
$
07/16/2013
$
20,000
$
60,000 Transfer of cap due to servicing transfer
01/16/2014
$
100,000
$
100,000 Transfer of cap due to servicing transfer
85
03/14/2014
1,450,512 Updated due to quarterly assessment and reallocation
$
(48)
$
1,450,464 Updated due to quarterly assessment and reallocation
$
(8)
$
1,450,456 Updated due to quarterly assessment and reallocation
$
(30)
$
1,450,426 Updated due to quarterly assessment and reallocation
$
(11)
$
1,450,415 Updated due to quarterly assessment and reallocation
$
(4)
$
1,450,411 Updated due to quarterly assessment and reallocation
$
(6,958)
$
1,443,453 Updated due to quarterly assessment and reallocation
$
(245)
$
1,443,208 Updated due to quarterly assessment and reallocation
$
(2,887)
$
1,440,321 Updated due to quarterly assessment and reallocation
$
(5,734)
$
1,434,587 Updated due to quarterly assessment and reallocation
$
(1,894)
$
1,432,693 Updated due to quarterly assessment and reallocation
$
(229,437)
$
1,203,256 Updated due to quarterly assessment and reallocation
12/16/2014
$
10,000
$
$
313,050,000
$
1,087,950,000 Updated portfolio data from servicer/additional program initial cap
$
275,370,000
$
1,363,320,000 Updated portfolio data from servicer/additional program initial cap
$
278,910,000
$
1,642,230,000 Updated portfolio data from servicer
$
(474,730,000)
$
1,167,500,000 Updated portfolio data from servicer
$
(700,000)
$
1,166,800,000 Transfer of cap due to servicing transfer
$
(1,000,000)
$
1,165,800,000 Transfer of cap due to servicing transfer
$
(115,017,236)
$
1,050,782,764 Updated portfolio data from servicer
$
(800,000)
$
1,049,982,764 Transfer of cap due to servicing transfer
12/15/2010
$
800,000
$
1,050,782,764 Transfer of cap due to servicing transfer
01/06/2011
$
(1,286)
$
1,050,781,478 Updated due to quarterly assessment and reallocation
03/16/2011
$
8,800,000
$
1,059,581,478 Transfer of cap due to servicing transfer
03/30/2011
$
(1,470)
$
1,059,580,008 Updated due to quarterly assessment and reallocation
04/13/2011
$
(3,300,000)
$
1,056,280,008 Transfer of cap due to servicing transfer
05/13/2011
$
(300,000)
$
1,055,980,008 Transfer of cap due to servicing transfer
06/16/2011
$
(700,000)
$
1,055,280,008 Transfer of cap due to servicing transfer
06/29/2011
$
(13,097)
$
1,055,266,911 Updated due to quarterly assessment and reallocation
07/14/2011
$
(200,000)
$
1,055,066,911 Transfer of cap due to servicing transfer
09/15/2011
$
(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
01/13/2012
$
(194,800,000)
$
853,966,911 Transfer of cap due to servicing transfer
02/16/2012
$
(400,000)
$
853,566,911 Transfer of cap due to servicing transfer
06/28/2012
$
(9,728)
$
853,557,183 Updated due to quarterly assessment and reallocation
08/16/2012
$
(7,990,000)
$
845,567,183 Transfer of cap due to servicing transfer
09/27/2012
$
(26,467)
$
845,540,716 Updated due to quarterly assessment and reallocation
12/27/2012
$
(4,466)
$
845,536,250 Updated due to quarterly assessment and reallocation
03/25/2013
$
(16,922)
$
845,519,328 Updated due to quarterly assessment and reallocation
06/27/2013
$
(6,386)
$
845,512,942 Updated due to quarterly assessment and reallocation
09/27/2013
$
(2,289)
$
845,510,653 Updated due to quarterly assessment and reallocation
12/16/2013
$
(60,000)
$
845,450,653 Transfer of cap due to servicing transfer
12/23/2013
$
(3,864,503)
$
841,586,150 Updated due to quarterly assessment and reallocation
01/16/2014
700,000 N/A
$
10/15/2010
$
(17)
09/30/2010
Financial Instrument for Home Loan Modifications
1,450,529 Updated due to quarterly assessment and reallocation
$
09/15/2010
Purchase
1,450,552 Updated due to quarterly assessment and reallocation
$
08/13/2010
NM
1,450,554 Updated due to quarterly assessment and reallocation
$
(23)
07/14/2010
Los Alamos
$
(2)
$
03/26/2010
Los Alamos National Bank
(2)
$
12/30/2009
11/06/2009
$
09/30/2009
12
1,450,556 Updated portfolio data from servicer
12/29/2014
774,900,000 N/A
$
09/29/2014
$
450,556
07/29/2014
Financial Instrument for Home Loan Modifications
$
06/26/2014
Purchase
$
03/26/2014
TX
$
(30,607)
12/23/2013
Houston
(438)
$
09/27/2013
Litton Loan Servicing, LP
408,693 Transfer of cap due to servicing transfer
$
06/27/2013
08/12/2009
$
09/30/2010
3
60,000
03/25/2013
- N/A
348,693 Updated due to quarterly assessment and reallocation
$
12/27/2012
Financial Instrument for Home Loan Modifications
$
09/27/2012
Purchase
349,762 Transfer of cap due to servicing transfer
(1,069)
06/28/2012
OH
209,762 Updated due to quarterly assessment and reallocation
$
$
06/29/2011
Wilmington
$
140,000
03/30/2011
Liberty Savings Bank, FSB
(236)
$
01/06/2011
12/16/2014
209,998 Transfer of cap due to servicing transfer
$
12/29/2014
1,000,000 N/A
$
09/29/2014
$
80,000
08/14/2014
Financial Instrument for Home Loan Modifications
129,998 Transfer of cap due to servicing transfer
$
07/29/2014
Purchase
109,998 Updated due to quarterly assessment and reallocation
$
07/16/2014
LA
110,000 Transfer of cap due to servicing transfer
$
20,000
06/26/2014
New Orleans
$
(2)
$
06/16/2014
Liberty Bank and Trust Co
10,000
$
05/15/2014
09/30/2010
$
03/26/2014
$
(30,000)
$
841,556,150 Transfer of cap due to servicing transfer
01/31/2014
$
(765,231,390)
$
01/22/2010
$
40,000
$
03/26/2010
$
50,000
$
790,000 Updated portfolio data from servicer
07/14/2010
$
1,310,000
$
2,100,000 Updated portfolio data from servicer
09/30/2010
$
75,834
$
2,175,834 Updated portfolio data from servicer
01/06/2011
$
(3)
$
2,175,831 Updated due to quarterly assessment and reallocation
03/30/2011
$
(4)
$
2,175,827 Updated due to quarterly assessment and reallocation
06/29/2011
$
(35)
$
2,175,792 Updated due to quarterly assessment and reallocation
06/28/2012
$
(26)
$
2,175,766 Updated due to quarterly assessment and reallocation
09/27/2012
$
(70)
$
2,175,696 Updated due to quarterly assessment and reallocation
12/27/2012
$
(12)
$
2,175,684 Updated due to quarterly assessment and reallocation
03/25/2013
$
(45)
$
2,175,639 Updated due to quarterly assessment and reallocation
06/27/2013
$
(17)
$
2,175,622 Updated due to quarterly assessment and reallocation
09/27/2013
$
(6)
$
2,175,616 Updated due to quarterly assessment and reallocation
12/23/2013
$
(9,932)
$
2,165,684 Updated due to quarterly assessment and reallocation
03/26/2014
$
(346)
$
2,165,338 Updated due to quarterly assessment and reallocation
06/26/2014
$
(4,087)
$
2,161,251 Updated due to quarterly assessment and reallocation
408,255 Updated due to quarterly assessment and reallocation
377,648 Updated due to quarterly assessment and reallocation
10,000 Transfer of cap due to servicing transfer
76,324,760 Termination of SPA
740,000 Updated portfolio data from servicer/additional program initial cap
86
07/29/2014
1,010,919 Updated due to quarterly assessment and reallocation
$
1,280,000
$
2,290,919 Transfer of cap due to servicing transfer
$
125,146
$
2,416,065 Updated due to quarterly assessment and reallocation
$
20,000
$
2,436,065 Transfer of cap due to servicing transfer
$
80,000
$
2,516,065 Transfer of cap due to servicing transfer
$
140,000
$
2,656,065 Transfer of cap due to servicing transfer
$
230,716
$
2,886,781 Updated due to quarterly assessment and reallocation
$
688,320
$
3,575,101 Updated due to quarterly assessment and reallocation
$
2,310,000
$
5,885,101 Transfer of cap due to servicing transfer
$
20,000
$
5,905,101 Transfer of cap due to servicing transfer
$
1,468,864
$
$
60,000
$
$
5,916,728
$
09/30/2010
$
630,778
$
2,030,778 Updated portfolio data from servicer
$
(3)
$
2,030,775 Updated due to quarterly assessment and reallocation
$
(3)
$
2,030,772 Updated due to quarterly assessment and reallocation
$
(33)
$
2,030,739 Updated due to quarterly assessment and reallocation
$
(25)
$
2,030,714 Updated due to quarterly assessment and reallocation
$
(68)
$
2,030,646 Updated due to quarterly assessment and reallocation
$
(11)
$
2,030,635 Updated due to quarterly assessment and reallocation
$
(44)
$
2,030,591 Updated due to quarterly assessment and reallocation
$
(16)
$
2,030,575 Updated due to quarterly assessment and reallocation
09/27/2013
$
(6)
$
2,030,569 Updated due to quarterly assessment and reallocation
12/23/2013
$
(9,947)
$
2,020,622 Updated due to quarterly assessment and reallocation
03/26/2014
$
(350)
$
2,020,272 Updated due to quarterly assessment and reallocation
06/26/2014
$
(4,127)
$
2,016,145 Updated due to quarterly assessment and reallocation
07/29/2014
$
(8,198)
$
2,007,947 Updated due to quarterly assessment and reallocation
09/29/2014
$
(2,708)
$
2,005,239 Updated due to quarterly assessment and reallocation
12/29/2014
$
(328,007)
$
1,677,232 Updated due to quarterly assessment and reallocation
09/30/2010
$
225,278
$
01/06/2011
$
(1)
$
03/09/2011
20,360,000 N/A
1,015,300 Updated due to quarterly assessment and reallocation
$
06/27/2013
$
$
(4,381)
03/25/2013
Financial Instrument for Home Loan Modifications
(3)
$
12/27/2012
Purchase
1,015,303 Updated due to quarterly assessment and reallocation
$
09/27/2012
AZ
$
06/28/2012
Phoenix
(7)
06/29/2011
Marix Servicing, LLC
1,015,310 Updated due to quarterly assessment and reallocation
$
03/30/2011
11/25/2009
$
01/06/2011
500,000 N/A
(20)
12/29/2014
$
1,015,330 Updated due to quarterly assessment and reallocation
$
11/14/2014
Financial Instrument for Home Loan Modifications
1,015,335 Updated due to quarterly assessment and reallocation
$
09/29/2014
Purchase
$
(5)
09/16/2014
KS
(30)
$
08/14/2014
Lexena
1,015,365 Updated due to quarterly assessment and reallocation
$
07/29/2014
Mainstreet Credit Union
$
06/26/2014
09/30/2010
(11)
06/16/2014
1,400,000 N/A
1,015,376 Updated due to quarterly assessment and reallocation
$
05/15/2014
$
1,015,387 Updated due to quarterly assessment and reallocation
$
04/16/2014
Financial Instrument for Home Loan Modifications
1,015,388 Updated due to quarterly assessment and reallocation
$
(11)
03/26/2014
Purchase
$
(1)
$
02/13/2014
TN
(1)
$
12/23/2013
Germantown
$
09/27/2013
Magna Bank
1,015,389 Updated portfolio data from servicer
06/27/2013
09/30/2010
1,844,275 Updated due to quarterly assessment and reallocation
$
03/25/2013
700,000 N/A
315,389
12/27/2012
$
$
09/27/2012
Financial Instrument for Home Loan Modifications
09/30/2010
06/28/2012
Purchase
$
06/29/2011
NY
$
(306,175)
03/30/2011
Buffalo
$
(2,682)
$
01/06/2011
M&T Bank
(8,119)
$
12/29/2014
09/30/2010
$
09/29/2014
$
(725,277)
01/22/2010
$
950,000
$
03/26/2010
$
(17,880,000)
$
3,430,000 Updated portfolio data from servicer
06/16/2010
$
1,030,000
$
4,460,000 Transfer of cap due to servicing transfer
07/14/2010
$
(1,160,000)
$
3,300,000 Updated portfolio data from servicer
08/13/2010
$
800,000
$
4,100,000 Transfer of cap due to servicing transfer
09/30/2010
$
200,000
$
4,300,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
1,357,168
$
01/06/2011
$
(1)
$
03/16/2011
$
5,700,000
$
11,357,167 Transfer of cap due to servicing transfer
03/30/2011
$
(6)
$
11,357,161 Updated due to quarterly assessment and reallocation
04/13/2011
$
7,300,000
$
18,657,161 Transfer of cap due to servicing transfer
05/13/2011
$
300,000
$
18,957,161 Transfer of cap due to servicing transfer
06/16/2011
$
900,000
$
19,857,161 Transfer of cap due to servicing transfer
06/29/2011
$
(154)
$
19,857,007 Updated due to quarterly assessment and reallocation
07/14/2011
$
100,000
$
19,957,007 Transfer of cap due to servicing transfer
08/16/2011
$
300,000
$
20,257,007 Transfer of cap due to servicing transfer
01/13/2012
$
(1,500,000)
$
18,757,007 Transfer of cap due to servicing transfer
02/16/2012
$
(2,100,000)
$
16,657,007 Transfer of cap due to servicing transfer
04/16/2012
$
(1,300,000)
$
15,357,007 Transfer of cap due to servicing transfer
06/14/2012
$
(8,350,000)
$
7,007,007 Transfer of cap due to servicing transfer
06/28/2012
$
(38)
$
7,006,969 Updated due to quarterly assessment and reallocation
08/16/2012
$
(90,000)
$
6,916,969 Transfer of cap due to servicing transfer
09/27/2012
$
(103)
$
6,916,866 Updated due to quarterly assessment and reallocation
10/16/2012
$
(1,020,000)
$
5,896,866 Transfer of cap due to servicing transfer
11/15/2012
$
170,000
$
6,066,866 Transfer of cap due to servicing transfer
12/27/2012
$
(15)
$
6,066,851 Updated due to quarterly assessment and reallocation
02/14/2013
$
(100,000)
$
5,966,851 Transfer of cap due to servicing transfer
03/14/2013
$
(490,000)
$
5,476,851 Transfer of cap due to servicing transfer
03/25/2013
$
(61)
$
5,476,790 Updated due to quarterly assessment and reallocation
04/16/2013
$
(10,000)
$
5,466,790 Transfer of cap due to servicing transfer
05/16/2013
$
(30,000)
$
5,436,790 Transfer of cap due to servicing transfer
06/14/2013
$
(10,000)
$
5,426,790 Transfer of cap due to servicing transfer
2,153,132 Updated due to quarterly assessment and reallocation
2,150,450 Updated due to quarterly assessment and reallocation
7,373,965 Updated due to quarterly assessment and reallocation
7,433,965 Transfer of cap due to servicing transfer
13,350,693 Updated due to quarterly assessment and reallocation
725,278 Updated portfolio data from servicer
725,277 Updated due to quarterly assessment and reallocation
- Termination of SPA
21,310,000 Updated portfolio data from servicer/additional program initial cap
5,657,168 Updated portfolio data from servicer
5,657,167 Updated due to quarterly assessment and reallocation
87
06/27/2013
Purchase
Financial Instrument for Home Loan Modifications
$
510,000 N/A
09/11/2009
Metropolitan National Bank
Little Rock
AR
Purchase
Financial Instrument for Home Loan Modifications
$
280,000 N/A
5,386,554 Updated due to quarterly assessment and reallocation
(11,483)
$
5,375,071 Updated due to quarterly assessment and reallocation
$
(3,793)
$
5,371,278 Updated due to quarterly assessment and reallocation
$
(459,453)
$
4,911,825 Updated due to quarterly assessment and reallocation
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
$
(1)
$
145,053 Updated due to quarterly assessment and reallocation
$
(1)
$
145,052 Updated due to quarterly assessment and reallocation
10/15/2013
MA
5,392,335 Updated due to quarterly assessment and reallocation
$
$
03/25/2013
Woburn
$
(5,781)
09/27/2012
Members Mortgage Company, Inc
(490)
$
06/28/2012
10/28/2009
5,392,825 Updated due to quarterly assessment and reallocation
$
06/29/2011
100,000 N/A
$
12/29/2014
$
(13,934)
09/29/2014
Financial Instrument for Home Loan Modifications
5,406,759 Updated due to quarterly assessment and reallocation
$
07/29/2014
Purchase
5,406,767 Transfer of cap due to servicing transfer
$
06/26/2014
NC
5,426,767 Updated due to quarterly assessment and reallocation
$
(8)
03/26/2014
Charlotte
$
(20,000)
$
12/23/2013
Marsh Associates, Inc.
(23)
$
09/27/2013
09/30/2010
$
07/16/2013
$
(60,000)
$
04/21/2010
$
(510,000)
85,052 Transfer of cap due to servicing transfer
- Termination of SPA
$
145,056 Updated portfolio data from servicer
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
$
(63)
$
$
(7,654)
$
09/30/2010
$
49,915,806
$
93,415,806 Updated portfolio data from servicer
$
(125)
$
93,415,681 Updated due to quarterly assessment and reallocation
$
(139)
$
93,415,542 Updated due to quarterly assessment and reallocation
$
(1,223)
$
06/28/2012
$
(797)
$
07/16/2012
$
294,540,000
$
387,953,522 Transfer of cap due to servicing transfer
07/27/2012
$
(263,550,000)
$
124,403,522 Transfer of cap due to servicing transfer
09/27/2012
$
(3,170)
$
124,400,352 Updated due to quarterly assessment and reallocation
12/27/2012
$
(507)
$
124,399,845 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1,729)
$
124,398,116 Updated due to quarterly assessment and reallocation
06/27/2013
$
(593)
$
124,397,523 Updated due to quarterly assessment and reallocation
09/27/2013
$
(199)
$
124,397,324 Updated due to quarterly assessment and reallocation
12/23/2013
$
(280,061)
$
124,117,263 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8,934)
$
124,108,329 Updated due to quarterly assessment and reallocation
06/26/2014
$
(95,352)
$
124,012,977 Updated due to quarterly assessment and reallocation
07/29/2014
$
30,892,185
$
154,905,162 Updated due to quarterly assessment and reallocation
09/29/2014
$
(9,245)
$
154,895,917 Updated due to quarterly assessment and reallocation
12/29/2014
$
75,614,324
$
230,510,241 Updated due to quarterly assessment and reallocation
- Termination of SPA
144,461 Updated due to quarterly assessment and reallocation
136,807 Updated due to quarterly assessment and reallocation
93,414,319 Updated due to quarterly assessment and reallocation
93,413,522 Updated due to quarterly assessment and reallocation
860,000 N/A
$
580,222 Updated portfolio data from servicer
$
(1)
$
580,221 Updated due to quarterly assessment and reallocation
$
(1)
$
580,220 Updated due to quarterly assessment and reallocation
$
(8)
$
580,212 Updated due to quarterly assessment and reallocation
$
(6)
$
580,206 Updated due to quarterly assessment and reallocation
$
(17)
$
580,189 Updated due to quarterly assessment and reallocation
$
(3)
$
580,186 Updated due to quarterly assessment and reallocation
$
(11)
$
580,175 Updated due to quarterly assessment and reallocation
$
(4)
$
580,171 Updated due to quarterly assessment and reallocation
$
(1)
$
580,170 Updated due to quarterly assessment and reallocation
$
(2,474)
$
577,696 Updated due to quarterly assessment and reallocation
$
(87)
$
577,609 Updated due to quarterly assessment and reallocation
$
(1,027)
$
576,582 Updated due to quarterly assessment and reallocation
$
(2,039)
$
574,543 Updated due to quarterly assessment and reallocation
$
(673)
$
573,870 Updated due to quarterly assessment and reallocation
12/29/2014
$
180,222
09/29/2014
Financial Instrument for Home Loan Modifications
$
07/29/2014
Purchase
580,212 Updated due to quarterly assessment and reallocation
09/30/2010
06/26/2014
CA
$
(580,212)
03/26/2014
San Diego
(8)
$
12/23/2013
Mission Federal Credit Union
580,220 Updated due to quarterly assessment and reallocation
$
09/27/2013
07/22/2009
$
06/27/2013
400,000 N/A
(1)
03/25/2013
$
580,221 Updated due to quarterly assessment and reallocation
$
12/27/2012
Financial Instrument for Home Loan Modifications
$
09/27/2012
Purchase
(1)
06/28/2012
IL
580,222 Updated portfolio data from servicer
$
06/29/2011
Freeport
600,000 Updated portfolio data from servicer
$
03/30/2011
Midwest Community Bank
$
01/06/2011
09/15/2010
300,000
07/14/2011
300,000 N/A
(19,778)
06/29/2011
$
$
03/30/2011
IL
$
01/06/2011
Elmwood Park
07/14/2010
09/30/2010
Midwest Bank and Trust Co.
Financial Instrument for Home Loan Modifications
45,056
06/29/2011
Purchase
$
03/30/2011
04/14/2010
09/30/2010
01/06/2011
43,500,000 N/A
(435,166)
12/29/2014
$
435,166 Updated due to quarterly assessment and reallocation
$
09/29/2014
Financial Instrument for Home Loan Modifications
435,167 Updated portfolio data from servicer
$
07/29/2014
Purchase
$
(1)
06/26/2014
OK
35,167
$
03/26/2014
Oklahoma City
400,000 Updated portfolio data from servicer
$
12/23/2013
Midland Mortgage Company
1,070,000 Updated portfolio data from servicer
$
03/25/2013
09/30/2010
$
(670,000)
09/27/2012
100,000 N/A
100,000
$
06/28/2012
$
$
06/29/2011
Financial Instrument for Home Loan Modifications
970,000 Updated portfolio data from servicer/additional program initial cap
01/26/2011
Purchase
350,000 Updated portfolio data from servicer/additional program initial cap
$
01/06/2011
OH
$
09/30/2010
Rocky River
70,000
620,000
07/14/2010
Mid America Mortgage, Inc. (Schmidt
Mortgage Company)
$
$
03/26/2010
09/30/2010
10/02/2009
12/30/2009
$
(81,582)
$
492,288 Updated due to quarterly assessment and reallocation
09/30/2009
$
(490,000)
$
370,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
6,750,000
$
7,120,000 Updated portfolio data from servicer/additional program initial cap
- Termination of SPA
88
03/26/2010
772,785 Updated due to quarterly assessment and reallocation
$
772,780 Updated due to quarterly assessment and reallocation
$
(64)
$
772,716 Updated due to quarterly assessment and reallocation
$
(19)
$
772,697 Updated due to quarterly assessment and reallocation
$
(7)
$
$
221,158
$
$
18,530,000
$
42,010,000 Updated portfolio data from servicer/additional program initial cap
$
24,510,000
$
66,520,000 Updated portfolio data from servicer/additional program initial cap
$
18,360,000
$
84,880,000 Updated portfolio data from servicer
$
(22,580,000)
$
62,300,000 Updated portfolio data from servicer
$
(8,194,261)
$
54,105,739 Updated portfolio data from servicer
$
(37)
$
54,105,702 Updated due to quarterly assessment and reallocation
$
(29,400,000)
$
24,705,702 Transfer of cap due to servicing transfer
03/30/2011
$
(34)
$
24,705,668 Updated due to quarterly assessment and reallocation
05/26/2011
$
(20,077,503)
$
4,628,165 Termination of SPA
09/30/2009
$
1,780,000
$
5,990,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
2,840,000
$
03/26/2010
$
2,800,000
$
11,630,000 Updated portfolio data from servicer
07/14/2010
$
(5,730,000)
$
5,900,000 Updated portfolio data from servicer
09/30/2010
$
2,658,280
$
8,558,280 Updated portfolio data from servicer
01/06/2011
$
(12)
$
8,558,268 Updated due to quarterly assessment and reallocation
03/30/2011
$
(14)
$
8,558,254 Updated due to quarterly assessment and reallocation
06/29/2011
$
(129)
$
8,558,125 Updated due to quarterly assessment and reallocation
06/28/2012
$
(94)
$
8,558,031 Updated due to quarterly assessment and reallocation
09/27/2012
$
(256)
$
8,557,775 Updated due to quarterly assessment and reallocation
12/27/2012
$
(43)
$
8,557,732 Updated due to quarterly assessment and reallocation
03/25/2013
$
(162)
$
8,557,570 Updated due to quarterly assessment and reallocation
06/27/2013
$
(60)
$
8,557,510 Updated due to quarterly assessment and reallocation
09/27/2013
$
(21)
$
8,557,489 Updated due to quarterly assessment and reallocation
12/23/2013
$
(35,751)
$
8,521,738 Updated due to quarterly assessment and reallocation
03/26/2014
$
(1,246)
$
8,520,492 Updated due to quarterly assessment and reallocation
06/26/2014
$
(14,660)
$
8,505,832 Updated due to quarterly assessment and reallocation
07/29/2014
$
(28,986)
$
8,476,846 Updated due to quarterly assessment and reallocation
09/29/2014
$
(9,490)
$
8,467,356 Updated due to quarterly assessment and reallocation
12/29/2014
$
(1,009,361)
$
7,457,995 Updated due to quarterly assessment and reallocation
1,960,000 Updated portfolio data from servicer/additional program initial cap
772,690 Updated due to quarterly assessment and reallocation
993,848 Updated due to quarterly assessment and reallocation
8,830,000 Updated portfolio data from servicer/additional program initial cap
06/26/2009
National City Bank
Knoxville
Miamisburg
TN
OH
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
- N/A
$
294,980,000 N/A
3
(2,900,000)
$
$
360,000 Updated portfolio data from servicer
$
(260,000)
$
100,000 Updated portfolio data from servicer
$
45,056
$
145,056 Updated portfolio data from servicer
$
(145,056)
07/16/2014
$
10,000
$
10,000 Transfer of cap due to servicing transfer
12/29/2014
Mortgage Investors Group
4,860,000 N/A
(1,600,000)
03/09/2011
07/16/2014
$
$
09/30/2010
OK
$
07/14/2010
Tulsa
12/30/2009
03/26/2010
Mortgage Clearing Corporation
Financial Instrument for Home Loan Modifications
$
(5)
03/16/2011
Purchase
(149)
$
01/06/2011
10/14/2009
772,934 Updated due to quarterly assessment and reallocation
$
09/30/2009
4,210,000 N/A
$
09/30/2010
$
47,663
07/14/2010
Financial Instrument for Home Loan Modifications
725,271 Updated due to quarterly assessment and reallocation
$
03/26/2010
Purchase
$
12/30/2009
MI
725,272 Updated due to quarterly assessment and reallocation
(1)
12/29/2014
Southfield
725,273 Updated due to quarterly assessment and reallocation
$
$
09/29/2014
Mortgage Center, LLC
$
(1)
07/29/2014
07/22/2009
(4)
$
06/26/2014
5
725,277 Updated due to quarterly assessment and reallocation
$
03/26/2014
23,480,000 N/A
$
12/23/2013
$
(1)
03/25/2013
Financial Instrument for Home Loan Modifications
725,278 Updated portfolio data from servicer
$
09/27/2012
Purchase
600,000 Updated portfolio data from servicer
$
06/28/2012
IN
780,000 Updated portfolio data from servicer
$
125,278
06/29/2011
Evansville
$
(180,000)
$
03/30/2011
MorEquity, Inc.
(6,340,000)
$
09/30/2010
07/17/2009
$
07/14/2010
$
6,042
$
16,042 Updated due to quarterly assessment and reallocation
- Termination of SPA
09/30/2009
$
315,170,000
$
610,150,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
90,280,000
$
700,430,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(18,690,000)
$
681,740,000 Updated portfolio data from servicer
07/14/2010
$
(272,640,000)
$
409,100,000 Updated portfolio data from servicer
09/30/2010
$
80,600,000
$
489,700,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
71,230,004
$
560,930,004 Updated portfolio data from servicer
01/06/2011
$
(828)
$
560,929,176 Updated due to quarterly assessment and reallocation
02/16/2011
$
200,000
$
561,129,176 Transfer of cap due to servicing transfer
03/16/2011
$
(100,000)
$
561,029,176 Transfer of cap due to servicing transfer
03/30/2011
$
(981)
$
561,028,195 Updated due to quarterly assessment and reallocation
04/13/2011
$
(2,300,000)
$
558,728,195 Transfer of cap due to servicing transfer
05/13/2011
$
(200,000)
$
558,528,195 Transfer of cap due to servicing transfer
06/16/2011
$
(200,000)
$
558,328,195 Transfer of cap due to servicing transfer
06/29/2011
$
(9,197)
$
558,318,998 Updated due to quarterly assessment and 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
01/13/2012
$
200,000
$
558,518,998 Transfer of cap due to servicing transfer
02/16/2012
$
(100,000)
$
558,418,998 Transfer of cap due to servicing transfer
03/15/2012
$
200,000
$
558,618,998 Transfer of cap due to servicing transfer
06/14/2012
$
(10,000)
$
558,608,998 Transfer of cap due to servicing transfer
06/28/2012
$
(6,771)
$
558,602,227 Updated due to quarterly assessment and reallocation
09/27/2012
$
(18,467)
$
558,583,760 Updated due to quarterly assessment and reallocation
12/27/2012
$
(3,105)
$
558,580,655 Updated due to quarterly assessment and reallocation
03/25/2013
$
(11,713)
$
558,568,942 Updated due to quarterly assessment and reallocation
06/27/2013
$
(4,393)
$
558,564,549 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1,565)
$
558,562,984 Updated due to quarterly assessment and reallocation
12/23/2013
$
(2,622,925)
$
555,940,059 Updated due to quarterly assessment and reallocation
89
03/14/2014
$
251,700,000 Updated portfolio data from servicer/additional program initial cap
$
80,250,000
$
331,950,000 Updated portfolio data from servicer/additional program initial cap
$
67,250,000
$
399,200,000 Updated portfolio data from servicer
$
(85,900,000)
$
313,300,000 Updated portfolio data from servicer
$
100,000
$
313,400,000 Transfer of cap due to servicing transfer
$
2,900,000
$
316,300,000 Updated portfolio data from servicer/additional program initial cap
$
33,801,486
$
350,101,486 Updated portfolio data from servicer
$
700,000
$
350,801,486 Transfer of cap due to servicing transfer
$
1,700,000
$
352,501,486 Transfer of cap due to servicing transfer
$
(363)
$
352,501,123 Updated due to quarterly assessment and reallocation
$
900,000
$
353,401,123 Transfer of cap due to servicing transfer
$
29,800,000
$
383,201,123 Transfer of cap due to servicing transfer
$
(428)
$
383,200,695 Updated due to quarterly assessment and reallocation
$
20,077,503
$
403,278,198 Transfer of cap due to servicing transfer
$
(4,248)
$
403,273,950 Updated due to quarterly assessment and reallocation
11/16/2011
$
100,000
$
403,373,950 Transfer of cap due to servicing transfer
03/15/2012
$
(100,000)
$
403,273,950 Transfer of cap due to servicing transfer
05/16/2012
$
90,000
$
403,363,950 Transfer of cap due to servicing transfer
06/14/2012
$
(2,380,000)
$
400,983,950 Transfer of cap due to servicing transfer
06/28/2012
$
(2,957)
$
400,980,993 Updated due to quarterly assessment and reallocation
07/16/2012
$
(2,580,000)
$
398,400,993 Transfer of cap due to servicing transfer
08/16/2012
$
131,450,000
$
529,850,993 Transfer of cap due to servicing transfer
08/23/2012
$
166,976,849
$
696,827,842 Transfer of cap due to servicing transfer
09/27/2012
$
(12,806)
$
696,815,036 Updated due to quarterly assessment and reallocation
11/15/2012
$
160,000
$
696,975,036 Transfer of cap due to servicing transfer
12/14/2012
$
50,000
$
697,025,036 Transfer of cap due to servicing transfer
12/27/2012
$
(1,882)
$
697,023,154 Updated due to quarterly assessment and reallocation
02/14/2013
$
(10,000)
$
697,013,154 Transfer of cap due to servicing transfer
03/14/2013
$
(280,000)
$
696,733,154 Transfer of cap due to servicing transfer
03/25/2013
$
(6,437)
$
696,726,717 Updated due to quarterly assessment and reallocation
04/16/2013
$
30,000
$
696,756,717 Transfer of cap due to servicing transfer
05/16/2013
$
(1,510,000)
$
695,246,717 Transfer of cap due to servicing transfer
06/14/2013
$
(1,070,000)
$
694,176,717 Transfer of cap due to servicing transfer
06/27/2013
$
(2,099)
$
694,174,618 Updated due to quarterly assessment and reallocation
07/09/2013
$
23,179,591
$
717,354,209 Transfer of cap due to servicing transfer
07/16/2013
$
490,000
$
717,844,209 Transfer of cap due to servicing transfer
09/16/2013
$
289,070,000
$
1,006,914,209 Transfer of cap due to servicing transfer
09/27/2013
$
(1,118)
$
1,006,913,091 Updated due to quarterly assessment and reallocation
10/15/2013
$
63,440,000
$
1,070,353,091 Transfer of cap due to servicing transfer
11/14/2013
$
5,060,000
$
1,075,413,091 Transfer of cap due to servicing transfer
12/16/2013
$
3,210,000
$
1,078,623,091 Transfer of cap due to servicing transfer
12/23/2013
$
(1,697,251)
$
1,076,925,840 Updated due to quarterly assessment and reallocation
01/16/2014
$
(100,000)
$
1,076,825,840 Transfer of cap due to servicing transfer
02/13/2014
$
32,370,000
$
1,109,195,840 Transfer of cap due to servicing transfer
03/14/2014
$
(20,000)
$
1,109,175,840 Transfer of cap due to servicing transfer
03/26/2014
$
(47,177)
$
1,109,128,663 Updated due to quarterly assessment and reallocation
04/16/2014
$
370,000
$
1,109,498,663 Transfer of cap due to servicing transfer
05/15/2014
$
41,040,000
$
1,150,538,663 Transfer of cap due to servicing transfer
06/16/2014
$
120,000
$
1,150,658,663 Transfer of cap due to servicing transfer
06/26/2014
$
(496,816)
$
1,150,161,847 Updated due to quarterly assessment and reallocation
07/16/2014
$
90,000
$
1,150,251,847 Transfer of cap due to servicing transfer
07/29/2014
$
(917,451)
$
1,149,334,396 Updated due to quarterly assessment and reallocation
08/14/2014
$
47,000,000
$
1,196,334,396 Transfer of cap due to servicing transfer
09/16/2014
$
4,250,000
$
1,200,584,396 Transfer of cap due to servicing transfer
09/29/2014
$
(345,854)
$
1,200,238,542 Updated due to quarterly assessment and reallocation
10/16/2014
$
23,560,000
$
1,223,798,542 Transfer of cap due to servicing transfer
11/14/2014
$
350,000
$
1,224,148,542 Transfer of cap due to servicing transfer
12/16/2014
$
(1,170,000)
$
1,222,978,542 Transfer of cap due to servicing transfer
12/29/2014
$
115,871,484
$
1,338,850,026 Updated due to quarterly assessment and reallocation
01/15/2015
$
390,000
$
1,339,240,026 Transfer of cap due to servicing transfer
12/16/2013
$
10,000
$
10,000 Transfer of cap due to servicing transfer
05/15/2014
60,780,000 N/A
134,560,000
06/29/2011
$
$
05/26/2011
Financial Instrument for Home Loan Modifications
117,140,000 Updated portfolio data from servicer
03/30/2011
Purchase
475,385,181 Updated due to quarterly assessment and reallocation
$
03/16/2011
VA
$
16,140,000
02/16/2011
Vienna
(81,896,499)
$
01/06/2011
Navy Federal Credit Union
$
12/15/2010
03/10/2010
$
11/16/2010
3
(1,380,000)
09/30/2010
- N/A
558,661,680 Transfer of cap due to servicing transfer
$
09/30/2010
Financial Instrument for Home Loan Modifications
$
08/13/2010
Purchase
558,651,680 Updated due to quarterly assessment and reallocation
10,000
07/14/2010
IA
559,356,196 Transfer of cap due to servicing transfer
$
$
03/26/2010
Des Moines
$
(704,516)
12/30/2009
Nationwide Advantage Mortgage Company
(940,000)
$
09/30/2009
12/16/2013
560,296,196 Updated due to quarterly assessment and reallocation
$
06/12/2009
101,000,000 N/A
$
12/29/2014
$
(2,140,858)
11/14/2014
Financial Instrument for Home Loan Modifications
562,437,054 Updated due to quarterly assessment and reallocation
$
10/16/2014
Purchase
563,527,223 Updated due to quarterly assessment and reallocation
$
09/29/2014
TX
563,620,059 Transfer of cap due to servicing transfer
$
(1,090,169)
08/14/2014
Lewisville
$
(92,836)
$
07/29/2014
Nationstar Mortgage LLC
7,680,000
$
06/26/2014
05/28/2009
$
03/26/2014
$
10,000
$
557,281,680 Transfer of cap due to servicing transfer
20,000 Transfer of cap due to servicing transfer
07/14/2010
$
(44,880,000)
$
15,900,000 Updated portfolio data from servicer
09/30/2010
$
1,071,505
$
16,971,505 Updated portfolio data from servicer
01/06/2011
$
(23)
$
16,971,482 Updated due to quarterly assessment and reallocation
03/30/2011
$
(26)
$
16,971,456 Updated due to quarterly assessment and reallocation
90
06/29/2011
240,000
$
240,000 Transfer of cap due to servicing transfer
$
59,230,004
$
59,470,004 Transfer of cap due to servicing transfer
$
(69,838)
$
59,400,166 Updated due to quarterly assessment and reallocation
$
11,480,000
$
70,880,166 Transfer of cap due to servicing transfer
$
800,680
$
71,680,846 Transfer of cap due to merger/acquisition
$
1,750,000
$
73,430,846 Transfer of cap due to servicing transfer
$
440,000
$
73,870,846 Transfer of cap due to servicing transfer
$
(7,109,361)
$
66,761,485 Updated due to quarterly assessment and reallocation
$
300,000
$
67,061,485 Transfer of cap due to servicing transfer
04/13/2011
$
200,000
$
200,000 Transfer of cap due to servicing transfer
$
100,000
$
300,000 Transfer of cap due to servicing transfer
$
300,000
$
600,000 Transfer of cap due to servicing transfer
$
(9)
$
599,991 Updated due to quarterly assessment and reallocation
$
200,000
$
799,991 Transfer of cap due to servicing transfer
$
(7)
$
799,984 Updated due to quarterly assessment and reallocation
$
(19)
$
799,965 Updated due to quarterly assessment and reallocation
$
(3)
$
799,962 Updated due to quarterly assessment and reallocation
$
(12)
$
799,950 Updated due to quarterly assessment and reallocation
$
(5)
$
799,945 Updated due to quarterly assessment and reallocation
$
150,000
$
949,945 Transfer of cap due to servicing transfer
$
(2)
$
949,943 Updated due to quarterly assessment and reallocation
$
(3,454)
$
946,489 Updated due to quarterly assessment and reallocation
03/26/2014
$
(121)
$
946,368 Updated due to quarterly assessment and reallocation
06/26/2014
$
(1,433)
$
944,935 Updated due to quarterly assessment and reallocation
07/29/2014
$
(2,846)
$
942,089 Updated due to quarterly assessment and reallocation
09/29/2014
$
(940)
$
12/29/2014
$
(93,451)
$
847,698 Updated due to quarterly assessment and reallocation
09/30/2009
$
290,000
$
430,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
210,000
$
640,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
170,000
$
810,000 Updated portfolio data from servicer
07/14/2010
$
(10,000)
$
800,000 Updated portfolio data from servicer
09/30/2010
$
(74,722)
$
725,278 Updated portfolio data from servicer
01/06/2011
$
(1)
$
725,277 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
725,276 Updated due to quarterly assessment and reallocation
04/13/2011
$
(200,000)
$
525,276 Transfer of cap due to servicing transfer
06/29/2011
659,000,000 N/A
$
12/23/2013
$
16,410,047 Updated due to quarterly assessment and reallocation
08/14/2014
09/27/2013
FL
$
07/16/2013
West Palm Beach
(473,803)
06/27/2013
Ocwen Loan Servicing LLC
16,883,850 Updated due to quarterly assessment and reallocation
$
03/25/2013
6
$
12/27/2012
Financial Instrument for Home Loan Modifications
(8,647)
09/27/2012
Purchase
16,892,497 Updated due to quarterly assessment and reallocation
$
06/28/2012
04/16/2009
$
08/16/2011
140,000 N/A
(26,600)
06/29/2011
$
16,919,097 Updated due to quarterly assessment and reallocation
$
06/16/2011
Financial Instrument for Home Loan Modifications
16,932,805 Updated due to quarterly assessment and reallocation
$
05/13/2011
Purchase
$
(13,708)
01/15/2015
CA
(1,230)
$
12/29/2014
Oakland
16,934,035 Updated due to quarterly assessment and reallocation
$
12/16/2014
Oakland Municipal Credit Union
$
11/14/2014
08/05/2009
(36,317)
11/03/2014
3
16,970,352 Updated due to quarterly assessment and reallocation
$
10/16/2014
- N/A
$
09/29/2014
Financial Instrument for Home Loan Modifications
16,970,374 Updated due to quarterly assessment and reallocation
(22)
09/16/2014
Purchase
16,970,442 Updated due to quarterly assessment and reallocation
$
$
12/29/2014
OH
$
(68)
09/29/2014
New York Community Bank (AmTrust Bank) Cleveland
(199)
$
07/29/2014
04/13/2011
16,970,641 Updated due to quarterly assessment and reallocation
$
06/26/2014
3
$
03/26/2014
- N/A
(58)
12/23/2013
Financial Instrument for Home Loan Modifications
16,970,699 Updated due to quarterly assessment and reallocation
$
09/27/2013
Purchase
16,971,073 Updated due to quarterly assessment and reallocation
$
06/27/2013
SC
16,971,218 Updated due to quarterly assessment and reallocation
$
(374)
03/25/2013
Greenville
$
(145)
$
12/27/2012
08/14/2014
(238)
$
09/27/2012
New Penn Financial, LLC dba Shellpoint
Mortgage Servicing
$
06/28/2012
$
(7)
$
525,269 Updated due to quarterly assessment and reallocation
07/22/2011
$
(515,201)
$
06/12/2009
$
(105,620,000)
$
553,380,000 Updated portfolio data from servicer
09/30/2009
$
102,580,000
$
655,960,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
277,640,000
$
933,600,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
46,860,000
$
06/16/2010
$
156,050,000
$
07/14/2010
$
(191,610,000)
$
944,900,000 Updated portfolio data from servicer
07/16/2010
$
23,710,000
$
968,610,000 Transfer of cap due to servicing transfer
09/15/2010
$
100,000
$
09/30/2010
$
3,742,740
$
10/15/2010
$
170,800,000
$
1,143,252,740 Transfer of cap due to servicing transfer
01/06/2011
$
(1,020)
$
1,143,251,720 Updated due to quarterly assessment and reallocation
02/16/2011
$
900,000
$
1,144,151,720 Transfer of cap due to servicing transfer
03/30/2011
$
(1,114)
$
1,144,150,606 Updated due to quarterly assessment and reallocation
06/29/2011
$
(10,044)
$
1,144,140,562 Updated due to quarterly assessment and reallocation
10/14/2011
$
(100,000)
$
1,144,040,562 Transfer of cap due to servicing transfer
01/13/2012
$
194,800,000
$
1,338,840,562 Transfer of cap due to servicing transfer
02/16/2012
$
400,000
$
1,339,240,562 Transfer of cap due to servicing transfer
03/15/2012
$
100,000
$
1,339,340,562 Transfer of cap due to servicing transfer
05/16/2012
$
123,530,000
$
1,462,870,562 Transfer of cap due to servicing transfer
06/14/2012
$
354,290,000
$
1,817,160,562 Transfer of cap due to servicing transfer
06/28/2012
$
(6,308)
$
1,817,154,254 Updated due to quarterly assessment and reallocation
07/16/2012
$
10,080,000
$
1,827,234,254 Transfer of cap due to servicing transfer
08/16/2012
$
8,390,000
$
1,835,624,254 Transfer of cap due to servicing transfer
09/27/2012
$
(10,733)
$
1,835,613,521 Updated due to quarterly assessment and reallocation
10/16/2012
$
14,560,000
$
1,850,173,521 Transfer of cap due to servicing transfer
941,149 Updated due to quarterly assessment and reallocation
10,068 Termination of SPA
980,460,000 Updated portfolio data from servicer
1,136,510,000 Transfer of cap due to servicing transfer
968,710,000 Updated portfolio data from servicer/additional program initial cap
972,452,740 Updated portfolio data from servicer
91
11/15/2012
$
2,107,978,558 Transfer of cap due to servicing transfer
$
620,860,000
$
2,728,838,558 Transfer of cap due to servicing transfer
$
18,970,000
$
2,747,808,558 Transfer of cap due to servicing transfer
$
(190,000)
$
2,747,618,558 Transfer of cap due to servicing transfer
$
(2,817)
$
2,747,615,741 Updated due to quarterly assessment and reallocation
$
14,710,000
$
2,762,325,741 Transfer of cap due to servicing transfer
$
66,170,000
$
2,828,495,741 Transfer of cap due to servicing transfer
$
(276)
$
2,828,495,465 Updated due to quarterly assessment and reallocation
$
267,580,000
$
3,096,075,465 Transfer of cap due to servicing transfer
$
4,290,000
$
3,100,365,465 Transfer of cap due to servicing transfer
12/16/2013
$
280,370,000
$
3,380,735,465 Transfer of cap due to servicing transfer
12/23/2013
$
49,286,732
$
3,430,022,197 Updated due to quarterly assessment and reallocation
01/16/2014
$
51,180,000
$
3,481,202,197 Transfer of cap due to servicing transfer
01/31/2014
$
765,231,390
$
4,246,433,587 Transfer of cap due to merger/acquisition
02/13/2014
$
38,900,000
$
4,285,333,587 Transfer of cap due to servicing transfer
02/27/2014
$
360,860,500
$
4,646,194,086 Transfer of cap due to merger/acquisition
03/14/2014
$
25,080,000
$
4,671,274,086 Transfer of cap due to servicing transfer
03/26/2014
$
(167,651)
$
4,671,106,435 Updated due to quarterly assessment and reallocation
04/16/2014
$
11,980,000
$
4,683,086,435 Transfer of cap due to servicing transfer
05/15/2014
$
130,000
$
4,683,216,435 Transfer of cap due to servicing transfer
05/28/2014
$
284,475,088
$
4,967,691,523 Transfer of cap due to merger/acquisition
06/16/2014
$
690,000
$
4,968,381,523 Transfer of cap due to servicing transfer
06/26/2014
$
(2,284,678)
$
4,966,096,845 Updated due to quarterly assessment and reallocation
07/16/2014
$
(10,000)
$
4,966,086,845 Transfer of cap due to servicing transfer
07/29/2014
$
(4,336,420)
$
4,961,750,425 Updated due to quarterly assessment and reallocation
08/14/2014
$
1,030,000
$
4,962,780,425 Transfer of cap due to servicing transfer
09/16/2014
$
2,290,000
$
4,965,070,425 Transfer of cap due to servicing transfer
09/29/2014
$
(1,332,356)
$
4,963,738,069 Updated due to quarterly assessment and reallocation
10/16/2014
$
(55,610,000)
$
4,908,128,069 Transfer of cap due to servicing transfer
11/14/2014
$
(560,000)
$
4,907,568,069 Transfer of cap due to servicing transfer
12/16/2014
$
1,110,000
$
4,908,678,069 Transfer of cap due to servicing transfer
12/29/2014
$
301,404,585
$
5,210,082,654 Updated due to quarterly assessment and reallocation
01/15/2015
$
100,000
$
5,210,182,654 Transfer of cap due to servicing transfer
10/02/2009
$
145,800,000
$
814,240,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
1,355,930,000
$
2,170,170,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
121,180,000
$
2,291,350,000 Updated portfolio data from servicer
07/14/2010
$
(408,850,000)
$
1,882,500,000 Updated portfolio data from servicer
09/30/2010
$
5,500,000
$
1,888,000,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(51,741,163)
$
1,836,258,837 Updated portfolio data from servicer
01/06/2011
$
(2,282)
$
1,836,256,555 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2,674)
$
1,836,253,881 Updated due to quarterly assessment and reallocation
06/29/2011
$
(24,616)
$
1,836,229,265 Updated due to quarterly assessment and reallocation
06/28/2012
$
(15,481)
$
1,836,213,784 Updated due to quarterly assessment and reallocation
09/27/2012
$
(40,606)
$
1,836,173,178 Updated due to quarterly assessment and reallocation
12/27/2012
$
(6,688)
$
1,836,166,490 Updated due to quarterly assessment and reallocation
03/25/2013
$
(24,811)
$
1,836,141,679 Updated due to quarterly assessment and reallocation
06/27/2013
$
(9,058)
$
1,836,132,621 Updated due to quarterly assessment and reallocation
09/27/2013
$
(3,154)
$
1,836,129,467 Updated due to quarterly assessment and reallocation
10/15/2013
$
(500,000)
$
1,835,629,467 Transfer of cap due to servicing transfer
11/14/2013
$
(4,440,000)
$
1,831,189,467 Transfer of cap due to servicing transfer
12/16/2013
$
(277,680,000)
$
1,553,509,467 Transfer of cap due to servicing transfer
12/23/2013
$
(5,188,787)
$
1,548,320,680 Updated due to quarterly assessment and reallocation
01/16/2014
$
(25,750,000)
$
1,522,570,680 Transfer of cap due to servicing transfer
02/13/2014
$
(10,000)
$
1,522,560,680 Transfer of cap due to servicing transfer
03/14/2014
$
(6,240,000)
$
1,516,320,680 Transfer of cap due to servicing transfer
03/26/2014
$
(181,765)
$
1,516,138,915 Updated due to quarterly assessment and reallocation
06/16/2014
$
(30,000)
$
1,516,108,915 Transfer of cap due to servicing transfer
06/26/2014
$
(2,139,762)
$
1,513,969,153 Updated due to quarterly assessment and reallocation
07/16/2014
$
(17,620,000)
$
1,496,349,153 Transfer of cap due to servicing transfer
07/29/2014
$
(4,233,602)
$
1,492,115,551 Updated due to quarterly assessment and reallocation
09/16/2014
$
650,000
$
1,492,765,551 Transfer of cap due to servicing transfer
09/29/2014
$
(1,394,443)
$
1,491,371,108 Updated due to quarterly assessment and reallocation
11/14/2014
$
100,000
$
1,491,471,108 Transfer of cap due to servicing transfer
12/16/2014
$
180,000
$
1,491,651,108 Transfer of cap due to servicing transfer
12/29/2014
$
(164,135,059)
$
1,327,516,049 Updated due to quarterly assessment and reallocation
01/15/2015
2,070,000 N/A
157,237,929
11/14/2013
$
1,950,740,629 Updated due to quarterly assessment and reallocation
$
10/15/2013
Financial Instrument for Home Loan Modifications
$
09/27/2013
Purchase
1,950,742,506 Transfer of cap due to servicing transfer
(1,877)
09/16/2013
TN
1,866,862,506 Transfer of cap due to servicing transfer
$
$
07/16/2013
Oak Ridge
$
83,880,000
06/27/2013
ORNL Federal Credit Union
960,000
$
06/14/2013
09/11/2009
1,865,902,506 Transfer of cap due to servicing transfer
$
05/16/2013
668,440,000 N/A
$
04/16/2013
$
410,000
04/09/2013
Financial Instrument for Home Loan Modifications
1,865,492,506 Updated due to quarterly assessment and reallocation
$
03/25/2013
Purchase
1,865,493,521 Transfer of cap due to servicing transfer
$
03/14/2013
CA
1,863,413,521 Transfer of cap due to servicing transfer
$
(1,015)
02/14/2013
Pasadena
$
2,080,000
$
01/16/2013
OneWest Bank
13,240,000
$
12/27/2012
08/28/2009
$
12/14/2012
$
20,000
$
1,327,536,049 Transfer of cap due to servicing transfer
10/02/2009
$
460,000
$
12/30/2009
$
2,730,000
$
03/26/2010
$
13,280,000
$
18,540,000 Updated portfolio data from servicer
07/14/2010
$
(13,540,000)
$
5,000,000 Updated portfolio data from servicer
2,530,000 Updated portfolio data from servicer/additional program initial cap
5,260,000 Updated portfolio data from servicer/additional program initial cap
92
09/30/2010
6,817,613 Updated portfolio data from servicer
$
6,817,603 Updated due to quarterly assessment and reallocation
(12)
$
6,817,591 Updated due to quarterly assessment and reallocation
$
(115)
$
6,817,476 Updated due to quarterly assessment and reallocation
06/28/2012
$
(86)
$
6,817,390 Updated due to quarterly assessment and reallocation
09/27/2012
$
(236)
$
6,817,154 Updated due to quarterly assessment and reallocation
12/27/2012
$
(40)
$
6,817,114 Updated due to quarterly assessment and reallocation
03/25/2013
$
(149)
$
6,816,965 Updated due to quarterly assessment and reallocation
06/27/2013
$
(56)
$
6,816,909 Updated due to quarterly assessment and reallocation
09/27/2013
$
(20)
$
6,816,889 Updated due to quarterly assessment and reallocation
12/23/2013
$
(33,979)
$
6,782,910 Updated due to quarterly assessment and reallocation
03/26/2014
$
(1,192)
$
6,781,718 Updated due to quarterly assessment and reallocation
06/26/2014
$
(14,049)
$
6,767,669 Updated due to quarterly assessment and reallocation
07/29/2014
$
(27,888)
$
6,739,781 Updated due to quarterly assessment and reallocation
09/29/2014
$
(9,230)
$
6,730,551 Updated due to quarterly assessment and reallocation
12/29/2014
$
(1,104,824)
$
5,625,727 Updated due to quarterly assessment and reallocation
870,320 Updated due to quarterly assessment and reallocation
$
(10)
$
09/14/2012
$
(816,373)
$
09/30/2010
$
2,181,334
$
3,481,334 Updated portfolio data from servicer
$
(5)
$
3,481,329 Updated due to quarterly assessment and reallocation
$
(6)
$
3,481,323 Updated due to quarterly assessment and reallocation
$
(58)
$
3,481,265 Updated due to quarterly assessment and reallocation
$
(43)
$
3,481,222 Updated due to quarterly assessment and reallocation
$
(119)
$
3,481,103 Updated due to quarterly assessment and reallocation
$
(20)
$
3,481,083 Updated due to quarterly assessment and reallocation
$
(76)
$
3,481,007 Updated due to quarterly assessment and reallocation
$
(29)
$
3,480,978 Updated due to quarterly assessment and reallocation
$
(10)
$
3,480,968 Updated due to quarterly assessment and reallocation
$
(17,421)
$
3,463,547 Updated due to quarterly assessment and reallocation
$
(612)
$
3,462,935 Updated due to quarterly assessment and reallocation
$
(7,228)
$
3,455,707 Updated due to quarterly assessment and reallocation
$
(14,356)
$
3,441,351 Updated due to quarterly assessment and reallocation
09/29/2014
$
(4,742)
$
12/29/2014
6,210,000 N/A
$
07/29/2014
$
(12)
06/26/2014
Financial Instrument for Home Loan Modifications
870,332 Updated due to quarterly assessment and reallocation
$
03/26/2014
Purchase
870,333 Updated due to quarterly assessment and reallocation
$
12/23/2013
CA
$
(1)
09/27/2013
Calasbasa
(1)
$
06/27/2013
PennyMac Loan Services, LLC
870,334 Updated portfolio data from servicer
$
03/25/2013
08/12/2009
$
12/27/2012
1,300,000 N/A
70,334
09/27/2012
$
800,000 Updated portfolio data from servicer
$
06/28/2012
Financial Instrument for Home Loan Modifications
$
06/29/2011
Purchase
(140,000)
03/30/2011
NY
940,000 Updated portfolio data from servicer
$
01/06/2011
6
Oswego
800,000 Updated portfolio data from servicer/additional program initial cap
$
06/28/2012
Pathfinder Bank
$
06/29/2011
08/25/2010
40,000
03/30/2011
760,000 N/A
140,000
01/06/2011
$
$
09/30/2010
OH
$
07/14/2010
Solon
01/22/2010
03/26/2010
Park View Federal Savings Bank
Financial Instrument for Home Loan Modifications
$
(10)
$
06/29/2011
Purchase
1,817,613
$
03/30/2011
12/16/2009
$
01/06/2011
$
(563,436)
$
2,873,173 Updated due to quarterly assessment and reallocation
09/30/2009
$
(1,200,000)
$
5,010,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
30,800,000
$
35,810,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
23,200,000
$
59,010,000 Updated portfolio data from servicer
06/16/2010
$
2,710,000
$
61,720,000 Transfer of cap due to servicing transfer
07/14/2010
$
(18,020,000)
$
43,700,000 Updated portfolio data from servicer
07/16/2010
$
6,680,000
$
50,380,000 Transfer of cap due to servicing transfer
08/13/2010
$
2,600,000
$
52,980,000 Transfer of cap due to servicing transfer
09/15/2010
$
(100,000)
$
52,880,000 Transfer of cap due to servicing transfer
09/30/2010
$
200,000
$
53,080,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(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 Transfer of cap due to servicing transfer
01/06/2011
$
(72)
$
52,956,731 Updated due to quarterly assessment and reallocation
01/13/2011
$
4,100,000
$
57,056,731 Transfer of cap due to servicing transfer
02/16/2011
$
(100,000)
$
56,956,731 Transfer of cap due to servicing transfer
03/16/2011
$
4,000,000
$
60,956,731 Transfer of cap due to servicing transfer
03/30/2011
$
(94)
$
60,956,637 Updated due to quarterly assessment and reallocation
04/13/2011
$
(100,000)
$
60,856,637 Transfer of cap due to servicing transfer
05/13/2011
$
5,800,000
$
66,656,637 Transfer of cap due to servicing transfer
06/16/2011
$
600,000
$
67,256,637 Transfer of cap due to servicing transfer
06/29/2011
$
(812)
$
67,255,825 Updated due to quarterly assessment and reallocation
07/14/2011
$
2,500,000
$
69,755,825 Transfer of cap due to servicing transfer
09/15/2011
$
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
01/13/2012
$
200,000
$
74,755,825 Transfer of cap due to servicing transfer
03/15/2012
$
1,900,000
$
76,655,825 Transfer of cap due to servicing transfer
04/16/2012
$
200,000
$
76,855,825 Transfer of cap due to servicing transfer
06/14/2012
$
1,340,000
$
78,195,825 Transfer of cap due to servicing transfer
06/28/2012
$
(340)
$
78,195,485 Updated due to quarterly assessment and reallocation
07/16/2012
$
2,930,000
$
81,125,485 Transfer of cap due to servicing transfer
08/16/2012
$
890,000
$
82,015,485 Transfer of cap due to servicing transfer
09/27/2012
$
(974)
$
82,014,511 Updated due to quarterly assessment and reallocation
10/16/2012
$
1,800,000
$
83,814,511 Transfer of cap due to servicing transfer
12/14/2012
$
3,860,000
$
87,674,511 Transfer of cap due to servicing transfer
870,310 Updated due to quarterly assessment and reallocation
53,937 Termination of SPA
3,436,609 Updated due to quarterly assessment and reallocation
93
12/27/2012
132,464,939 Transfer of cap due to servicing transfer
$
(2,610,000)
$
129,854,939 Transfer of cap due to servicing transfer
$
(7,217)
$
129,847,722 Updated due to quarterly assessment and reallocation
$
(25,090,000)
$
104,757,722 Transfer of cap due to servicing transfer
$
20,000
$
104,777,722 Transfer of cap due to servicing transfer
$
16,799,847
$
121,577,569 Updated due to quarterly assessment and reallocation
09/15/2011
$
1,300,000
$
1,300,000 Transfer of cap due to servicing transfer
$
(15)
$
1,299,985 Updated due to quarterly assessment and reallocation
$
(42)
$
1,299,943 Updated due to quarterly assessment and reallocation
$
140,000
$
1,439,943 Transfer of cap due to servicing transfer
$
(8)
$
1,439,935 Updated due to quarterly assessment and reallocation
$
(30)
$
1,439,905 Updated due to quarterly assessment and reallocation
$
(11)
$
1,439,894 Updated due to quarterly assessment and reallocation
$
5,850,000
$
7,289,894 Transfer of cap due to servicing transfer
$
(20)
$
7,289,874 Updated due to quarterly assessment and reallocation
$
(34,545)
$
7,255,329 Updated due to quarterly assessment and reallocation
$
(1,216)
$
7,254,113 Updated due to quarterly assessment and reallocation
$
(14,371)
$
7,239,742 Updated due to quarterly assessment and reallocation
$
(28,561)
$
7,211,181 Updated due to quarterly assessment and reallocation
$
(9,436)
$
7,201,745 Updated due to quarterly assessment and reallocation
$
(1,078,208)
$
6,123,537 Updated due to quarterly assessment and reallocation
11/14/2013
$
10,000
$
$
20,000
$
09/30/2009
$
(36,240,000)
$
18,230,000 Updated portfolio data from servicer/additional program initial cap
$
19,280,000
$
37,510,000 Updated portfolio data from servicer/additional program initial cap
$
2,470,000
$
39,980,000 Updated portfolio data from servicer
$
(17,180,000)
$
22,800,000 Updated portfolio data from servicer
09/30/2010
$
35,500,000
$
58,300,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
23,076,191
$
81,376,191 Updated portfolio data from servicer
01/06/2011
$
(123)
$
81,376,068 Updated due to quarterly assessment and reallocation
03/30/2011
$
(147)
$
81,375,921 Updated due to quarterly assessment and reallocation
05/13/2011
$
(100,000)
$
81,275,921 Transfer of cap due to servicing transfer
06/29/2011
$
(1,382)
$
81,274,539 Updated due to quarterly assessment and reallocation
10/14/2011
$
(300,000)
$
80,974,539 Transfer of cap due to servicing transfer
06/28/2012
$
(1,003)
$
80,973,536 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2,745)
$
80,970,791 Updated due to quarterly assessment and reallocation
12/27/2012
$
(460)
$
80,970,331 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1,740)
$
80,968,591 Updated due to quarterly assessment and reallocation
04/09/2013
$
60,000
$
81,028,591 Transfer of cap due to merger/acquisition
06/27/2013
$
(656)
$
81,027,935 Updated due to quarterly assessment and reallocation
09/27/2013
$
(234)
$
81,027,701 Updated due to quarterly assessment and reallocation
12/23/2013
$
(394,926)
$
80,632,775 Updated due to quarterly assessment and reallocation
03/26/2014
$
(13,845)
$
80,618,930 Updated due to quarterly assessment and reallocation
06/26/2014
$
(162,401)
$
80,456,529 Updated due to quarterly assessment and reallocation
07/29/2014
$
(322,480)
$
80,134,049 Updated due to quarterly assessment and reallocation
09/29/2014
$
(106,405)
$
80,027,644 Updated due to quarterly assessment and reallocation
12/29/2014
1,090,000 N/A
132,314,939 Updated due to quarterly assessment and reallocation
$
07/14/2010
$
$
150,000
03/26/2010
Financial Instrument for Home Loan Modifications
3,708,381
$
12/30/2009
Purchase
128,606,558 Transfer of cap due to servicing transfer
$
07/16/2014
IN
$
12/29/2014
West Lafayette
10,000
09/29/2014
07/29/2009
128,596,558 Updated due to quarterly assessment and reallocation
$
07/29/2014
Purdue Federal Credit Union (Purdue
Employees Federal Credit Union)
$
06/26/2014
3
5,959,201
03/26/2014
- N/A
122,637,357 Transfer of cap due to servicing transfer
$
12/23/2013
Financial Instrument for Home Loan Modifications
120,277,357 Transfer of cap due to servicing transfer
$
09/27/2013
Purchase
$
2,360,000
07/16/2013
TX
(10,000)
$
06/27/2013
Lubbock
120,287,357 Updated due to quarterly assessment and reallocation
$
03/25/2013
PrimeWest Mortgage Corporation
118,269,931 Transfer of cap due to servicing transfer
$
12/27/2012
03/15/2012
$
2,017,426
10/16/2012
54,470,000 N/A
(2,390,000)
$
09/27/2012
$
$
06/28/2012
Financial Instrument for Home Loan Modifications
120,659,931 Transfer of cap due to servicing transfer
12/29/2014
Purchase
115,529,931 Updated due to quarterly assessment and reallocation
$
11/14/2014
PA
$
5,130,000
10/16/2014
Pittsburgh
15,826,215
$
09/29/2014
PNC Bank, National Association
$
09/16/2014
07/17/2009
$
08/14/2014
3
4,450,000
07/29/2014
- N/A
95,253,716 Updated due to quarterly assessment and reallocation
$
07/16/2014
Financial Instrument for Home Loan Modifications
$
06/26/2014
Purchase
95,253,723 Updated due to quarterly assessment and reallocation
(7)
06/16/2014
CA
95,253,851 Transfer of cap due to servicing transfer
$
$
05/15/2014
San Diego
$
(128)
03/26/2014
Plaza Home Mortgage, Inc
2,440,000
$
03/14/2014
11/14/2013
92,813,851 Transfer of cap due to servicing transfer
$
02/13/2014
3
$
12/23/2013
- N/A
2,160,000
10/15/2013
Financial Instrument for Home Loan Modifications
90,653,851 Updated due to quarterly assessment and reallocation
$
09/27/2013
Purchase
90,654,357 Transfer of cap due to servicing transfer
$
06/27/2013
NJ
87,674,357 Updated due to quarterly assessment and reallocation
$
(506)
06/14/2013
Mt. Laurel
$
2,980,000
$
04/16/2013
PHH Mortgage Corporation
(154)
$
03/25/2013
09/15/2011
$
02/14/2013
$
(12,871,888)
$
67,155,756 Updated due to quarterly assessment and reallocation
03/15/2012
$
100,000
$
09/30/2009
$
(60,000)
$
1,030,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
1,260,000
$
2,290,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
2,070,000
$
4,360,000 Updated portfolio data from servicer
07/14/2010
$
(3,960,000)
$
400,000 Updated portfolio data from servicer
09/30/2010
$
180,222
$
580,222 Updated portfolio data from servicer
01/06/2011
$
(1)
$
580,221 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
580,220 Updated due to quarterly assessment and reallocation
06/29/2011
$
(8)
$
580,212 Updated due to quarterly assessment and reallocation
06/28/2012
$
(6)
$
580,206 Updated due to quarterly assessment and reallocation
09/27/2012
$
(17)
$
580,189 Updated due to quarterly assessment and reallocation
12/27/2012
$
(3)
$
580,186 Updated due to quarterly assessment and reallocation
99,703,716 Transfer of cap due to servicing transfer
10,000 Transfer of cap due to servicing transfer
30,000 Transfer of cap due to servicing transfer
100,000 Transfer of cap due to servicing transfer
94
03/25/2013
$
145,056 Updated portfolio data from servicer
(1)
$
145,055 Updated due to quarterly assessment and reallocation
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
$
(63)
$
$
(7,654)
$
01/22/2010
$
890,000
$
19,850,000 Updated portfolio data from servicer/additional program initial cap
$
3,840,000
$
23,690,000 Updated portfolio data from servicer
$
(2,890,000)
$
20,800,000 Updated portfolio data from servicer
$
9,661,676
$
30,461,676 Updated portfolio data from servicer
$
(46)
$
30,461,630 Updated due to quarterly assessment and reallocation
$
1,600,000
$
32,061,630 Transfer of cap due to servicing transfer
$
1,400,000
$
33,461,630 Transfer of cap due to servicing transfer
$
(58)
$
33,461,572 Updated due to quarterly assessment and reallocation
04/13/2011
$
100,000
$
33,561,572 Transfer of cap due to servicing transfer
05/13/2011
$
100,000
$
33,661,572 Transfer of cap due to servicing transfer
06/16/2011
$
800,000
$
34,461,572 Transfer of cap due to servicing transfer
06/29/2011
$
(559)
$
34,461,013 Updated due to quarterly assessment and reallocation
07/14/2011
$
300,000
$
34,761,013 Transfer of cap due to servicing transfer
08/16/2011
$
200,000
$
34,961,013 Transfer of cap due to servicing transfer
09/15/2011
$
100,000
$
35,061,013 Transfer of cap due to servicing transfer
01/13/2012
$
100,000
$
35,161,013 Transfer of cap due to servicing transfer
06/14/2012
$
330,000
$
35,491,013 Transfer of cap due to servicing transfer
06/28/2012
$
(428)
$
35,490,585 Updated due to quarterly assessment and reallocation
09/27/2012
$
(1,184)
$
35,489,401 Updated due to quarterly assessment and reallocation
10/16/2012
$
(1,910,000)
$
33,579,401 Transfer of cap due to servicing transfer
11/15/2012
$
(980,000)
$
32,599,401 Transfer of cap due to servicing transfer
12/27/2012
$
(187)
$
32,599,214 Updated due to quarterly assessment and reallocation
03/25/2013
$
(707)
$
32,598,507 Updated due to quarterly assessment and reallocation
04/16/2013
$
(240,000)
$
32,358,507 Transfer of cap due to servicing transfer
06/27/2013
$
(268)
$
32,358,239 Updated due to quarterly assessment and reallocation
07/16/2013
$
10,000
$
32,368,239 Transfer of cap due to servicing transfer
09/27/2013
$
(96)
$
32,368,143 Updated due to quarterly assessment and reallocation
11/14/2013
$
(20,000)
$
32,348,143 Transfer of cap due to servicing transfer
12/23/2013
$
(162,518)
$
32,185,625 Updated due to quarterly assessment and reallocation
6
02/27/2014
$
(31,540,186)
$
3
12/14/2012
$
10,000
$
10,000 Transfer of cap due to servicing transfer
08/15/2013
$
10,000
$
20,000 Transfer of cap due to servicing transfer
03/14/2014
$
30,000
$
50,000 Transfer of cap due to servicing transfer
05/15/2014
$
10,000
$
01/15/2015
$
10,000
$
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
01/06/2011
$
34,944
$
180,000 Updated due to quarterly assessment and reallocation
03/30/2011
$
40,000
$
220,000 Updated due to quarterly assessment and reallocation
06/29/2011
$
50,000
$
270,000 Updated due to quarterly assessment and reallocation
03/15/2012
$
(200,000)
$
06/14/2012
$
(10,000)
$
04/09/2013
$
(60,000)
09/30/2009
$
(1,860,000)
$
17,540,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
27,920,000
$
45,460,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(1,390,000)
$
44,070,000 Updated portfolio data from servicer
07/14/2010
$
(13,870,000)
$
30,200,000 Updated portfolio data from servicer
09/30/2010
$
400,000
$
30,600,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
586,954
$
31,186,954 Updated portfolio data from servicer
01/06/2011
$
(34)
$
31,186,920 Updated due to quarterly assessment and reallocation
03/30/2011
$
(37)
$
31,186,883 Updated due to quarterly assessment and reallocation
04/13/2011
$
100,000
$
31,286,883 Transfer of cap due to servicing transfer
06/29/2011
$
(329)
$
31,286,554 Updated due to quarterly assessment and reallocation
09/15/2011
$
(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
05/16/2012
$
420,000
$
32,606,554 Transfer of cap due to servicing transfer
20,000 N/A
18,960,000 N/A
- N/A
$
45,056
$
03/30/2011
Financial Instrument for Home Loan Modifications
$
02/16/2011
Purchase
100,000 Updated portfolio data from servicer
01/13/2011
NC
$
01/06/2011
Raleigh
90,000
09/30/2010
RBC Bank (USA)
10,000 Updated portfolio data from servicer
$
07/14/2010
09/01/2010
492,288 Updated due to quarterly assessment and reallocation
$
03/26/2010
Financial Instrument for Home Loan Modifications
$
(10,000)
12/29/2014
Purchase
(81,582)
$
09/29/2014
MI
573,870 Updated due to quarterly assessment and reallocation
$
03/26/2010
07/29/2014
Detroit
$
06/26/2014
Quicken Loans Inc
(673)
03/26/2014
12/14/2012
574,543 Updated due to quarterly assessment and reallocation
$
12/23/2013
$
$
03/25/2013
Financial Instrument for Home Loan Modifications
576,582 Updated due to quarterly assessment and reallocation
(2,039)
09/27/2012
Purchase
577,609 Updated due to quarterly assessment and reallocation
$
$
06/28/2012
FL
$
(1,027)
06/29/2011
Tampa
(87)
$
09/30/2010
Quantum Servicing Corporation
577,696 Updated due to quarterly assessment and reallocation
$
07/14/2010
11/18/2009
$
12/29/2014
$
(2,474)
09/29/2014
Financial Instrument for Home Loan Modifications
580,170 Updated due to quarterly assessment and reallocation
$
07/29/2014
Purchase
580,171 Updated due to quarterly assessment and reallocation
$
06/26/2014
FL
580,175 Updated due to quarterly assessment and reallocation
$
(1)
03/26/2014
Coral Gables
$
(4)
$
12/23/2013
QLending, Inc.
(11)
$
09/27/2013
11/18/2009
$
06/27/2013
100,000 N/A
9
06/12/2009
Residential Credit Solutions, Inc.
Fort Worth
TX
Purchase
Financial Instrument for Home Loan Modifications
$
19,400,000 N/A
144,461 Updated due to quarterly assessment and reallocation
136,807 Updated due to quarterly assessment and reallocation
645,439 Termination of SPA
60,000 Transfer of cap due to servicing transfer
70,000 Transfer of cap due to servicing transfer
70,000 Transfer of cap due to servicing transfer
60,000 Transfer of cap due to servicing transfer
- Termination of SPA
95
06/14/2012
51,725,152 Transfer of cap due to servicing transfer
$
(260,000)
$
51,465,152 Transfer of cap due to servicing transfer
$
(713)
$
51,464,439 Updated due to quarterly assessment and reallocation
$
1,330,000
$
52,794,439 Transfer of cap due to servicing transfer
$
100,000
$
52,894,439 Transfer of cap due to servicing transfer
$
20,000
$
52,914,439 Transfer of cap due to servicing transfer
$
(264)
$
52,914,175 Updated due to quarterly assessment and reallocation
$
6,080,000
$
58,994,175 Transfer of cap due to servicing transfer
$
(2,130,000)
$
56,864,175 Transfer of cap due to servicing transfer
$
(101)
$
56,864,074 Updated due to quarterly assessment and reallocation
$
6,910,000
$
63,774,074 Transfer of cap due to servicing transfer
12/16/2013
$
(1,050,000)
$
62,724,074 Transfer of cap due to servicing transfer
12/23/2013
$
(173,584)
$
62,550,490 Updated due to quarterly assessment and reallocation
01/16/2014
$
1,310,000
$
63,860,490 Transfer of cap due to servicing transfer
02/13/2014
$
(2,210,000)
$
61,650,490 Transfer of cap due to servicing transfer
03/14/2014
$
(1,390,000)
$
60,260,490 Transfer of cap due to servicing transfer
03/26/2014
$
(5,632)
$
60,254,858 Updated due to quarterly assessment and reallocation
04/16/2014
$
(220,000)
$
60,034,858 Transfer of cap due to servicing transfer
05/15/2014
$
940,000
$
60,974,858 Transfer of cap due to servicing transfer
06/16/2014
$
(640,000)
$
60,334,858 Transfer of cap due to servicing transfer
06/26/2014
$
(63,739)
$
60,271,119 Updated due to quarterly assessment and reallocation
07/16/2014
$
1,000,000
$
61,271,119 Transfer of cap due to servicing transfer
07/29/2014
$
(128,318)
$
61,142,801 Updated due to quarterly assessment and reallocation
08/14/2014
$
(2,700,000)
$
58,442,801 Transfer of cap due to servicing transfer
09/16/2014
$
(2,860,000)
$
55,582,801 Transfer of cap due to servicing transfer
09/29/2014
$
(37,047)
$
55,545,754 Updated due to quarterly assessment and reallocation
10/16/2014
$
690,000
$
56,235,754 Transfer of cap due to servicing transfer
11/14/2014
$
40,000
$
56,275,754 Transfer of cap due to servicing transfer
12/16/2014
$
(780,000)
$
55,495,754 Transfer of cap due to servicing transfer
12/29/2014
$
(3,041,582)
$
52,454,172 Updated due to quarterly assessment and reallocation
01/15/2015
$
(270,000)
$
52,184,172 Transfer of cap due to servicing transfer
06/14/2012
$
940,000
$
06/28/2012
$
205,242
$
1,145,242 Updated due to quarterly assessment and reallocation
09/27/2012
$
(3)
$
1,145,239 Updated due to quarterly assessment and reallocation
12/27/2012
$
(1)
$
1,145,238 Updated due to quarterly assessment and reallocation
01/16/2013
$
10,000
$
02/14/2013
$
8,690,000
$
9,845,238 Transfer of cap due to servicing transfer
03/14/2013
$
1,390,000
$
11,235,238 Transfer of cap due to servicing transfer
03/25/2013
$
(219)
$
11,235,019 Updated due to quarterly assessment and reallocation
05/16/2013
$
620,000
$
11,855,019 Transfer of cap due to servicing transfer
06/14/2013
$
990,000
$
12,845,019 Transfer of cap due to servicing transfer
06/27/2013
$
(96)
$
12,844,923 Updated due to quarterly assessment and reallocation
07/16/2013
$
5,780,000
$
18,624,923 Transfer of cap due to servicing transfer
09/27/2013
$
(50)
$
18,624,873 Updated due to quarterly assessment and reallocation
10/15/2013
$
880,000
$
19,504,873 Transfer of cap due to servicing transfer
11/14/2013
$
6,610,000
$
26,114,873 Transfer of cap due to servicing transfer
12/16/2013
$
20,000
$
26,134,873 Transfer of cap due to servicing transfer
12/23/2013
$
(118,329)
$
26,016,544 Updated due to quarterly assessment and reallocation
01/16/2014
$
1,770,000
$
27,786,544 Transfer of cap due to servicing transfer
02/13/2014
$
23,920,000
$
51,706,544 Transfer of cap due to servicing transfer
03/14/2014
$
1,460,000
$
53,166,544 Transfer of cap due to servicing transfer
03/26/2014
$
(7,186)
$
53,159,358 Updated due to quarterly assessment and reallocation
04/16/2014
$
2,370,000
$
55,529,358 Transfer of cap due to servicing transfer
05/15/2014
$
1,990,000
$
57,519,358 Transfer of cap due to servicing transfer
06/16/2014
$
1,720,000
$
59,239,358 Transfer of cap due to servicing transfer
06/26/2014
$
(96,715)
$
59,142,643 Updated due to quarterly assessment and reallocation
07/16/2014
$
1,310,000
$
60,452,643 Transfer of cap due to servicing transfer
07/29/2014
$
(197,950)
$
60,254,693 Updated due to quarterly assessment and reallocation
09/16/2014
$
(56,740,004)
$
09/29/2014
57,000,000 N/A
$
10/15/2013
$
3,190,000
09/27/2013
Financial Instrument for Home Loan Modifications
48,535,152 Updated due to quarterly assessment and reallocation
$
09/16/2013
Purchase
$
07/16/2013
PR
48,535,330 Transfer of cap due to servicing transfer
(178)
06/27/2013
San Juan
48,515,330 Transfer of cap due to servicing transfer
$
$
06/14/2013
RG Mortgage Corporation
$
20,000
05/16/2013
06/17/2009
5,690,000
$
04/16/2013
15
42,825,330 Updated due to quarterly assessment and reallocation
$
03/25/2013
3
$
03/14/2013
- N/A
(911)
02/14/2013
Financial Instrument for Home Loan Modifications
42,826,241 Transfer of cap due to servicing transfer
$
12/27/2012
Purchase
40,666,241 Updated due to quarterly assessment and reallocation
$
11/15/2012
SC
40,666,554 Transfer of cap due to servicing transfer
$
2,160,000
10/16/2012
Greenville
$
(313)
$
09/27/2012
Resurgent Capital Solutions L.P.
8,060,000
$
07/16/2012
06/14/2012
$
06/28/2012
$
488,713
$
4,003,402 Updated due to quarterly assessment and reallocation
11/03/2014
$
(800,680)
$
3,202,722 Termination of SPA
09/30/2009
$
(11,300,000)
$
12/30/2009
$
(42,210,000)
$
03/26/2010
$
65,640,000
$
69,130,000 Updated portfolio data from servicer
04/09/2010
$
(14,470,000)
$
54,660,000 Updated portfolio data from servicer
07/14/2010
$
(8,860,000)
$
45,800,000 Updated portfolio data from servicer
09/30/2010
$
(4,459,154)
$
41,340,846 Updated portfolio data from servicer
12/15/2010
$
(4,300,000)
$
37,040,846 Transfer of cap due to servicing transfer
01/06/2011
$
(51)
$
37,040,795 Updated due to quarterly assessment and reallocation
03/30/2011
$
(65)
$
37,040,730 Updated due to quarterly assessment and reallocation
940,000 Transfer of cap due to servicing transfer
1,155,238 Transfer of cap due to servicing transfer
3,514,689 Transfer of cap due to servicing transfer
45,700,000 Updated portfolio data from servicer/additional program initial cap
3,490,000 Updated portfolio data from servicer/additional program initial cap
96
06/29/2011
36,615,052 Updated due to quarterly assessment and reallocation
$
(50,520)
$
36,564,532 Updated due to quarterly assessment and reallocation
$
(30,000)
$
36,534,532 Transfer of cap due to servicing transfer
11/03/2014
$
(35,740,763)
$
793,769 Termination of SPA
$
610,000
$
850,000 Updated portfolio data from servicer
$
50,000
$
900,000 Updated portfolio data from servicer
$
(29,666)
$
870,334 Updated portfolio data from servicer
$
(1)
$
870,333 Updated due to quarterly assessment and reallocation
$
(870,333)
10/02/2009
$
130,000
$
700,000 Updated portfolio data from servicer/additional program initial cap
$
(310,000)
$
$
2,110,000
$
2,500,000 Updated portfolio data from servicer
$
8,300,000
$
10,800,000 Updated portfolio data from servicer
$
5,301,172
$
16,101,172 Updated portfolio data from servicer
$
(22)
$
16,101,150 Updated due to quarterly assessment and reallocation
$
(400,000)
$
15,701,150 Transfer of cap due to servicing transfer
$
(25)
$
15,701,125 Updated due to quarterly assessment and reallocation
06/29/2011
$
(232)
$
15,700,893 Updated due to quarterly assessment and reallocation
06/28/2012
$
(174)
$
15,700,719 Updated due to quarterly assessment and reallocation
09/27/2012
$
(479)
$
15,700,240 Updated due to quarterly assessment and reallocation
11/15/2012
$
(350,000)
$
15,350,240 Transfer of cap due to servicing transfer
12/27/2012
$
(82)
$
15,350,158 Updated due to quarterly assessment and reallocation
03/25/2013
$
(308)
$
15,349,850 Updated due to quarterly assessment and reallocation
04/16/2013
$
80,000
$
15,429,850 Transfer of cap due to servicing transfer
06/14/2013
$
20,000
$
15,449,850 Transfer of cap due to servicing transfer
06/27/2013
$
(108)
$
15,449,742 Updated due to quarterly assessment and reallocation
07/16/2013
$
30,000
$
15,479,742 Transfer of cap due to servicing transfer
09/16/2013
$
640,000
$
16,119,742 Transfer of cap due to servicing transfer
09/27/2013
$
(40)
$
16,119,702 Updated due to quarterly assessment and reallocation
12/16/2013
$
190,000
$
16,309,702 Transfer of cap due to servicing transfer
12/23/2013
$
(67,286)
$
16,242,416 Updated due to quarterly assessment and reallocation
01/16/2014
$
520,000
$
16,762,416 Transfer of cap due to servicing transfer
02/13/2014
$
10,000
$
16,772,416 Transfer of cap due to servicing transfer
03/14/2014
$
(30,000)
$
16,742,416 Transfer of cap due to servicing transfer
03/26/2014
$
(2,463)
$
16,739,953 Updated due to quarterly assessment and reallocation
04/16/2014
$
(20,000)
$
16,719,953 Transfer of cap due to servicing transfer
06/26/2014
$
(28,873)
$
16,691,080 Updated due to quarterly assessment and reallocation
07/16/2014
$
480,000
$
17,171,080 Transfer of cap due to servicing transfer
07/29/2014
$
(59,055)
$
17,112,025 Updated due to quarterly assessment and reallocation
08/14/2014
$
360,000
$
17,472,025 Transfer of cap due to servicing transfer
09/29/2014
$
(19,992)
$
17,452,033 Updated due to quarterly assessment and reallocation
10/16/2014
$
530,000
$
17,982,033 Transfer of cap due to servicing transfer
12/16/2014
$
(120,000)
$
17,862,033 Transfer of cap due to servicing transfer
12/29/2014
3
$
03/30/2011
- N/A
(152,943)
03/16/2011
Financial Instrument for Home Loan Modifications
36,767,995 Updated due to quarterly assessment and reallocation
$
01/06/2011
Purchase
36,844,999 Updated due to quarterly assessment and reallocation
$
09/30/2010
CA
$
(77,004)
07/14/2010
Irvine
(6,518)
$
03/26/2010
Rushmore Loan Management Services LLC
36,851,517 Updated due to quarterly assessment and reallocation
$
12/30/2009
12/15/2011
$
03/26/2010
570,000 N/A
(185,423)
03/23/2011
$
37,036,940 Updated due to quarterly assessment and reallocation
$
01/06/2011
Financial Instrument for Home Loan Modifications
$
09/30/2010
Purchase
37,037,050 Updated due to quarterly assessment and reallocation
(110)
07/14/2010
NC
37,037,356 Updated due to quarterly assessment and reallocation
$
$
10/16/2014
RoundPoint Mortgage Servicing Corporation Charlotte
$
(306)
09/29/2014
08/28/2009
(812)
$
07/29/2014
240,000 N/A
37,038,168 Updated due to quarterly assessment and reallocation
$
06/26/2014
$
$
03/26/2014
Financial Instrument for Home Loan Modifications
(214)
12/23/2013
Purchase
37,038,382 Updated due to quarterly assessment and reallocation
$
09/27/2013
NJ
37,039,652 Updated due to quarterly assessment and reallocation
$
06/27/2013
Roebling
37,040,114 Updated due to quarterly assessment and reallocation
$
(1,270)
03/25/2013
Roebling Bank
$
(462)
$
12/27/2012
01/13/2010
(616)
$
09/27/2012
6
$
06/28/2012
$
(2,352,678)
$
15,509,355 Updated due to quarterly assessment and reallocation
12/15/2011
$
200,000
$
200,000 Transfer of cap due to servicing transfer
04/16/2012
$
600,000
$
800,000 Transfer of cap due to servicing transfer
06/28/2012
$
(3)
$
799,997 Updated due to quarterly assessment and reallocation
08/16/2012
$
110,000
$
09/27/2012
$
(13)
$
10/16/2012
$
1,270,000
$
2,179,984 Transfer of cap due to servicing transfer
11/15/2012
$
230,000
$
2,409,984 Transfer of cap due to servicing transfer
12/27/2012
$
(5)
$
2,409,979 Updated due to quarterly assessment and reallocation
01/16/2013
$
990,000
$
3,399,979 Transfer of cap due to servicing transfer
02/14/2013
$
600,000
$
3,999,979 Transfer of cap due to servicing transfer
03/14/2013
$
1,980,000
$
5,979,979 Transfer of cap due to servicing transfer
03/25/2013
$
(77)
$
5,979,902 Updated due to quarterly assessment and reallocation
04/16/2013
$
340,000
$
6,319,902 Transfer of cap due to servicing transfer
05/16/2013
$
1,520,000
$
7,839,902 Transfer of cap due to servicing transfer
06/14/2013
$
2,740,000
$
10,579,902 Transfer of cap due to servicing transfer
06/27/2013
$
(53)
$
10,579,849 Updated due to quarterly assessment and reallocation
09/16/2013
$
2,570,000
$
13,149,849 Transfer of cap due to servicing transfer
09/27/2013
$
(26)
$
13,149,823 Updated due to quarterly assessment and reallocation
10/15/2013
$
10,000
$
13,159,823 Transfer of cap due to servicing transfer
11/14/2013
$
19,140,000
$
32,299,823 Transfer of cap due to servicing transfer
12/16/2013
$
1,330,000
$
33,629,823 Transfer of cap due to servicing transfer
- Termination of SPA
390,000 Updated portfolio data from servicer/additional program initial cap
909,997 Transfer of cap due to servicing transfer
909,984 Updated due to quarterly assessment and reallocation
97
12/23/2013
1,670,000
$
44,381,810 Transfer of cap due to servicing transfer
$
(27,982)
$
44,353,828 Updated due to quarterly assessment and reallocation
$
13,870,000
$
58,223,828 Transfer of cap due to servicing transfer
$
8,350,000
$
66,573,828 Transfer of cap due to servicing transfer
$
2,520,000
$
69,093,828 Transfer of cap due to servicing transfer
$
(1,524,773)
$
$
2,220,000
$
$
225,040,000
$
$
254,380,000
$
886,420,000 Updated portfolio data from servicer/additional program initial cap
$
355,710,000
$
1,242,130,000 Updated portfolio data from servicer/additional program initial cap
$
(57,720,000)
$
1,184,410,000 Updated portfolio data from servicer
$
(156,050,000)
$
1,028,360,000 Transfer of cap due to servicing transfer
$
(513,660,000)
$
514,700,000 Updated portfolio data from servicer
$
(22,980,000)
$
491,720,000 Transfer of cap due to servicing transfer
$
1,800,000
$
493,520,000 Transfer of cap due to servicing transfer
09/30/2010
$
9,800,000
$
503,320,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
116,222,668
$
619,542,668 Updated portfolio data from servicer
10/15/2010
$
100,000
$
619,642,668 Transfer of cap due to servicing transfer
12/15/2010
$
8,900,000
$
628,542,668 Transfer of cap due to servicing transfer
01/06/2011
$
(556)
$
628,542,112 Updated due to quarterly assessment and reallocation
01/13/2011
$
2,300,000
$
630,842,112 Transfer of cap due to servicing transfer
03/16/2011
$
700,000
$
631,542,112 Transfer of cap due to servicing transfer
03/30/2011
$
(654)
$
631,541,458 Updated due to quarterly assessment and reallocation
04/13/2011
$
2,100,000
$
633,641,458 Transfer of cap due to servicing transfer
06/29/2011
$
(6,144)
$
633,635,314 Updated due to quarterly assessment and reallocation
07/14/2011
$
200,000
$
633,835,314 Transfer of cap due to servicing transfer
08/16/2011
$
(100,000)
$
633,735,314 Transfer of cap due to servicing transfer
09/15/2011
$
(700,000)
$
633,035,314 Transfer of cap due to servicing transfer
12/15/2011
$
17,500,000
$
650,535,314 Transfer of cap due to servicing transfer
02/16/2012
$
(100,000)
$
650,435,314 Transfer of cap due to servicing transfer
03/15/2012
$
100,000
$
650,535,314 Transfer of cap due to servicing transfer
04/16/2012
$
(17,500,000)
$
633,035,314 Transfer of cap due to servicing transfer
05/16/2012
$
(760,000)
$
632,275,314 Transfer of cap due to servicing transfer
06/14/2012
$
(354,290,000)
$
277,985,314 Transfer of cap due to servicing transfer
06/28/2012
$
(1,831)
$
277,983,483 Updated due to quarterly assessment and reallocation
07/16/2012
$
(10,120,000)
$
267,863,483 Transfer of cap due to servicing transfer
08/16/2012
$
(10,000)
$
267,853,483 Transfer of cap due to servicing transfer
09/27/2012
$
(4,701)
$
267,848,782 Updated due to quarterly assessment and reallocation
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
$
258,658,782 Transfer of cap due to servicing transfer
12/27/2012
$
(788)
$
258,657,994 Updated due to quarterly assessment and reallocation
01/16/2013
$
(610,000)
$
258,047,994 Transfer of cap due to servicing transfer
03/25/2013
$
(2,979)
$
258,045,015 Updated due to quarterly assessment and reallocation
04/09/2013
$
(157,237,929)
$
100,807,086 Termination of SPA
10/02/2009
$
90,000
$
480,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
940,000
$
1,420,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(980,000)
$
07/14/2010
$
(140,000)
$
300,000 Updated portfolio data from servicer
09/30/2010
$
1,150,556
$
1,450,556 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,450,554 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
1,450,552 Updated due to quarterly assessment and reallocation
06/29/2011
$
(22)
$
1,450,530 Updated due to quarterly assessment and reallocation
06/28/2012
$
(16)
$
1,450,514 Updated due to quarterly assessment and reallocation
09/27/2012
$
(44)
$
1,450,470 Updated due to quarterly assessment and reallocation
12/27/2012
$
(7)
$
1,450,463 Updated due to quarterly assessment and reallocation
03/25/2013
$
(28)
$
1,450,435 Updated due to quarterly assessment and reallocation
06/27/2013
$
(11)
$
1,450,424 Updated due to quarterly assessment and reallocation
09/27/2013
$
(4)
$
1,450,420 Updated due to quarterly assessment and reallocation
12/23/2013
$
(6,411)
$
1,444,009 Updated due to quarterly assessment and reallocation
03/26/2014
$
(225)
$
1,443,784 Updated due to quarterly assessment and reallocation
06/26/2014
$
(2,661)
$
1,441,123 Updated due to quarterly assessment and reallocation
07/29/2014
$
(5,285)
$
1,435,838 Updated due to quarterly assessment and reallocation
09/29/2014
$
(1,746)
$
12/29/2014
3
42,711,810 Transfer of cap due to servicing transfer
$
09/15/2010
- N/A
$
07/16/2010
Financial Instrument for Home Loan Modifications
4,040,000
07/14/2010
Purchase
38,671,810 Updated due to quarterly assessment and reallocation
$
06/16/2010
PR
38,741,784 Transfer of cap due to servicing transfer
$
03/26/2010
San Juan
$
(69,974)
12/30/2009
Scotiabank de Puerto Rico
270,000
$
09/30/2009
12/15/2010
38,471,784 Updated due to quarterly assessment and reallocation
$
06/17/2009
10
$
01/15/2015
390,000 N/A
(35,305)
12/29/2014
$
38,507,089 Transfer of cap due to servicing transfer
$
12/16/2014
Financial Instrument for Home Loan Modifications
$
11/14/2014
Purchase
38,127,089 Transfer of cap due to servicing transfer
380,000
10/16/2014
CA
38,067,089 Transfer of cap due to servicing transfer
$
$
09/29/2014
Sacramento
$
60,000
09/16/2014
Schools Financial Credit Union
4,440,000
$
08/14/2014
09/23/2009
33,627,089 Updated due to quarterly assessment and reallocation
$
07/29/2014
407,000,000 N/A
$
07/16/2014
$
(2,090)
06/26/2014
Financial Instrument for Home Loan Modifications
33,629,179 Transfer of cap due to servicing transfer
$
06/16/2014
Purchase
33,579,179 Transfer of cap due to servicing transfer
$
05/15/2014
TX
33,569,179 Updated due to quarterly assessment and reallocation
$
50,000
04/16/2014
Irving
$
10,000
$
03/26/2014
Saxon Mortgage Services, Inc.
(60,644)
$
03/14/2014
04/13/2009
$
01/16/2014
$
(201,817)
$
1,232,275 Updated due to quarterly assessment and reallocation
12/15/2010
$
4,300,000
$
4,300,000 Transfer of cap due to servicing transfer
67,569,055 Updated due to quarterly assessment and reallocation
69,789,055 Transfer of cap due to servicing transfer
632,040,000 Updated portfolio data from servicer
440,000 Updated portfolio data from servicer
1,434,092 Updated due to quarterly assessment and reallocation
98
01/06/2011
$
4,299,831 Updated due to quarterly assessment and reallocation
$
(9,679)
$
4,290,152 Updated due to quarterly assessment and reallocation
$
(344)
$
4,289,808 Updated due to quarterly assessment and reallocation
$
(4,087)
$
4,285,721 Updated due to quarterly assessment and reallocation
$
(8,126)
$
4,277,595 Updated due to quarterly assessment and reallocation
$
(2,690)
$
4,274,905 Updated due to quarterly assessment and reallocation
$
30,000
$
4,304,905 Transfer of cap due to servicing transfer
$
(163,461)
$
4,141,444 Updated due to quarterly assessment and reallocation
10/02/2009
$
100,000
$
540,000 Updated portfolio data from servicer/additional program initial cap
$
20,000
$
560,000 Updated portfolio data from servicer/additional program initial cap
$
(290,000)
$
270,000 Updated portfolio data from servicer
07/14/2010
$
(70,000)
$
200,000 Updated portfolio data from servicer
09/30/2010
$
(54,944)
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
04/11/2012
376,000,000 N/A
(6)
03/26/2010
$
4,299,837 Updated due to quarterly assessment and reallocation
$
12/30/2009
Financial Instrument for Home Loan Modifications
$
12/29/2014
Purchase
4,299,853 Updated due to quarterly assessment and reallocation
(16)
10/16/2014
UT
4,299,894 Updated due to quarterly assessment and reallocation
$
$
09/29/2014
Salt Lake City
$
(41)
07/29/2014
Select Portfolio Servicing, Inc.
(11)
$
06/26/2014
04/13/2009
4,299,905 Updated due to quarterly assessment and reallocation
$
03/26/2014
440,000 N/A
$
12/23/2013
$
(63)
09/27/2013
Financial Instrument for Home Loan Modifications
4,299,968 Updated due to quarterly assessment and reallocation
$
06/27/2013
Purchase
4,299,991 Updated due to quarterly assessment and reallocation
$
03/25/2013
NY
4,299,996 Updated due to quarterly assessment and reallocation
$
(23)
12/27/2012
Albany
$
(5)
$
09/27/2012
SEFCU
(4)
$
06/28/2012
09/25/2009
$
06/29/2011
$
(145,055)
06/12/2009
$
284,590,000
$
660,590,000 Updated portfolio data from servicer
09/30/2009
$
121,910,000
$
782,500,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
131,340,000
$
913,840,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(355,530,000)
$
558,310,000 Updated portfolio data from servicer
07/14/2010
$
128,690,000
$
687,000,000 Updated portfolio data from servicer
09/30/2010
$
4,000,000
$
691,000,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
59,807,784
$
750,807,784 Updated portfolio data from servicer
11/16/2010
$
(700,000)
$
750,107,784 Transfer of cap due to servicing transfer
12/15/2010
$
64,400,000
$
814,507,784 Transfer of cap due to servicing transfer
01/06/2011
$
(639)
$
814,507,145 Updated due to quarterly assessment and reallocation
01/13/2011
$
(2,300,000)
$
812,207,145 Transfer of cap due to servicing transfer
02/16/2011
$
100,000
$
812,307,145 Transfer of cap due to servicing transfer
03/16/2011
$
3,600,000
$
815,907,145 Transfer of cap due to servicing transfer
03/30/2011
$
(735)
$
815,906,410 Updated due to quarterly assessment and reallocation
04/13/2011
$
(100,000)
$
815,806,410 Transfer of cap due to servicing transfer
05/13/2011
$
400,000
$
816,206,410 Transfer of cap due to servicing transfer
06/16/2011
$
(100,000)
$
816,106,410 Transfer of cap due to servicing transfer
06/29/2011
$
(6,805)
$
816,099,605 Updated due to quarterly assessment and reallocation
08/16/2011
$
(100,000)
$
815,999,605 Transfer of cap due to servicing transfer
09/15/2011
$
(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
01/13/2012
$
200,000
$
815,799,605 Transfer of cap due to servicing transfer
03/15/2012
$
24,800,000
$
840,599,605 Transfer of cap due to servicing transfer
04/16/2012
$
1,900,000
$
842,499,605 Transfer of cap due to servicing transfer
05/16/2012
$
80,000
$
842,579,605 Transfer of cap due to servicing transfer
06/14/2012
$
8,710,000
$
851,289,605 Transfer of cap due to servicing transfer
06/28/2012
$
(5,176)
$
851,284,429 Updated due to quarterly assessment and reallocation
07/16/2012
$
2,430,000
$
853,714,429 Transfer of cap due to servicing transfer
08/16/2012
$
2,310,000
$
856,024,429 Transfer of cap due to servicing transfer
09/27/2012
$
(13,961)
$
856,010,468 Updated due to quarterly assessment and reallocation
10/16/2012
$
126,940,000
$
982,950,468 Transfer of cap due to servicing transfer
11/15/2012
$
9,990,000
$
992,940,468 Transfer of cap due to servicing transfer
12/14/2012
$
10,650,000
$
1,003,590,468 Transfer of cap due to servicing transfer
12/27/2012
$
(2,663)
$
1,003,587,805 Updated due to quarterly assessment and reallocation
01/16/2013
$
18,650,000
$
1,022,237,805 Transfer of cap due to servicing transfer
02/14/2013
$
10,290,000
$
1,032,527,805 Transfer of cap due to servicing transfer
03/14/2013
$
4,320,000
$
1,036,847,805 Transfer of cap due to servicing transfer
03/25/2013
$
(10,116)
$
1,036,837,689 Updated due to quarterly assessment and reallocation
04/16/2013
$
840,000
$
1,037,677,689 Transfer of cap due to servicing transfer
05/16/2013
$
1,330,000
$
1,039,007,689 Transfer of cap due to servicing transfer
06/14/2013
$
3,620,000
$
1,042,627,689 Transfer of cap due to servicing transfer
06/27/2013
$
(3,564)
$
1,042,624,125 Updated due to quarterly assessment and reallocation
07/16/2013
$
105,080,000
$
1,147,704,125 Transfer of cap due to servicing transfer
08/15/2013
$
10,000
$
1,147,714,125 Transfer of cap due to servicing transfer
09/16/2013
$
98,610,000
$
1,246,324,125 Transfer of cap due to servicing transfer
09/27/2013
$
(1,541)
$
1,246,322,584 Updated due to quarterly assessment and reallocation
10/15/2013
$
1,280,000
$
1,247,602,584 Transfer of cap due to servicing transfer
11/14/2013
$
15,130,000
$
1,262,732,584 Transfer of cap due to servicing transfer
12/16/2013
$
6,290,000
$
1,269,022,584 Transfer of cap due to servicing transfer
12/23/2013
$
(2,481,777)
$
1,266,540,807 Updated due to quarterly assessment and reallocation
01/16/2014
$
1,580,000
$
1,268,120,807 Transfer of cap due to servicing transfer
02/13/2014
$
75,350,000
$
1,343,470,807 Transfer of cap due to servicing transfer
03/14/2014
$
16,900,000
$
1,360,370,807 Transfer of cap due to servicing transfer
03/26/2014
$
(85,696)
$
1,360,285,111 Updated due to quarterly assessment and reallocation
145,055 Updated due to quarterly assessment and reallocation
- Termination of SPA
99
04/16/2014
$
1,382,843,541 Transfer of cap due to servicing transfer
$
(540,365)
$
1,382,303,176 Updated due to quarterly assessment and reallocation
$
57,410,000
$
1,439,713,176 Transfer of cap due to servicing transfer
$
1,490,000
$
1,441,203,176 Transfer of cap due to servicing transfer
$
3,740,000
$
1,444,943,176 Transfer of cap due to servicing transfer
$
6,991,378
$
1,451,934,554 Updated due to quarterly assessment and reallocation
$
10,630,000
$
1,462,564,554 Transfer of cap due to servicing transfer
06/16/2010
$
3,680,000
$
3,680,000 Transfer of cap due to servicing transfer
$
3,300,000
$
$
3,043,831
$
10,023,831 Updated portfolio data from servicer
$
1,400,000
$
11,423,831 Transfer of cap due to servicing transfer
01/06/2011
$
(17)
$
11,423,814 Updated due to quarterly assessment and reallocation
03/16/2011
$
2,100,000
$
13,523,814 Transfer of cap due to servicing transfer
03/30/2011
$
(24)
$
13,523,790 Updated due to quarterly assessment and reallocation
04/13/2011
$
2,900,000
$
16,423,790 Transfer of cap due to servicing transfer
06/16/2011
$
(200,000)
$
16,223,790 Transfer of cap due to servicing transfer
06/29/2011
$
(273)
$
16,223,517 Updated due to quarterly assessment and reallocation
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
04/16/2012
$
200,000
$
17,623,517 Transfer of cap due to servicing transfer
05/16/2012
$
10,000
$
17,633,517 Transfer of cap due to servicing transfer
06/14/2012
$
(300,000)
$
17,333,517 Transfer of cap due to servicing transfer
06/28/2012
$
(218)
$
17,333,299 Updated due to quarterly assessment and reallocation
07/16/2012
$
40,000
$
17,373,299 Transfer of cap due to servicing transfer
08/16/2012
$
480,000
$
17,853,299 Transfer of cap due to servicing transfer
09/27/2012
$
(600)
$
17,852,699 Updated due to quarterly assessment and reallocation
11/15/2012
$
70,000
$
17,922,699 Transfer of cap due to servicing transfer
12/27/2012
$
(102)
$
17,922,597 Updated due to quarterly assessment and reallocation
03/14/2013
$
90,000
$
18,012,597 Transfer of cap due to servicing transfer
03/25/2013
$
(384)
$
18,012,213 Updated due to quarterly assessment and reallocation
05/16/2013
$
(30,000)
$
17,982,213 Transfer of cap due to servicing transfer
06/27/2013
$
(146)
$
17,982,067 Updated due to quarterly assessment and reallocation
07/16/2013
$
170,000
$
18,152,067 Transfer of cap due to servicing transfer
09/27/2013
$
(52)
$
18,152,015 Updated due to quarterly assessment and reallocation
12/23/2013
$
(88,613)
$
18,063,402 Updated due to quarterly assessment and reallocation
03/14/2014
$
10,000
$
18,073,402 Transfer of cap due to servicing transfer
03/26/2014
$
(3,125)
$
18,070,277 Updated due to quarterly assessment and reallocation
04/16/2014
$
30,000
$
18,100,277 Transfer of cap due to servicing transfer
06/26/2014
$
(36,971)
$
18,063,306 Updated due to quarterly assessment and reallocation
07/16/2014
$
23,490,000
$
41,553,306 Transfer of cap due to servicing transfer
07/29/2014
$
(142,594)
$
41,410,712 Updated due to quarterly assessment and reallocation
08/14/2014
$
2,480,000
$
43,890,712 Transfer of cap due to servicing transfer
09/16/2014
$
11,650,000
$
55,540,712 Transfer of cap due to servicing transfer
09/29/2014
$
(52,910)
$
55,487,802 Updated due to quarterly assessment and reallocation
12/16/2014
$
30,000
$
55,517,802 Transfer of cap due to servicing transfer
12/29/2014
$
(4,478,535)
$
51,039,267 Updated due to quarterly assessment and reallocation
01/15/2015
4,390,000 N/A
7,420,000
10/15/2010
$
1,375,423,541 Transfer of cap due to servicing transfer
$
09/30/2010
Financial Instrument for Home Loan Modifications
$
08/13/2010
Purchase
1,417,633,541 Updated due to quarterly assessment and reallocation
(42,210,000)
01/15/2015
NY
1,419,601,724 Transfer of cap due to servicing transfer
$
$
12/29/2014
Buffalo
$
(1,968,183)
12/16/2014
Seneca Mortgage Servicing LLC (AMS
Servicing, LLC)
12,690,000
$
11/14/2014
09/23/2009
1,406,911,724 Updated due to quarterly assessment and reallocation
$
10/16/2014
3
$
09/29/2014
- N/A
(1,023,387)
09/16/2014
Financial Instrument for Home Loan Modifications
1,407,935,111 Transfer of cap due to servicing transfer
$
08/14/2014
Purchase
1,393,715,111 Transfer of cap due to servicing transfer
$
07/29/2014
TX
1,372,755,111 Transfer of cap due to servicing transfer
$
14,220,000
07/16/2014
Houston
$
20,960,000
$
06/26/2014
Selene Finance LP
12,470,000
$
06/16/2014
06/16/2010
$
05/15/2014
$
10,000
$
51,049,267 Transfer of cap due to servicing transfer
10/02/2009
$
960,000
$
5,350,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(3,090,000)
$
2,260,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
230,000
$
2,490,000 Updated portfolio data from servicer
07/14/2010
$
5,310,000
$
7,800,000 Updated portfolio data from servicer
09/30/2010
$
323,114
$
8,123,114 Updated portfolio data from servicer
01/06/2011
$
(12)
$
8,123,102 Updated due to quarterly assessment and reallocation
03/16/2011
$
600,000
$
8,723,102 Transfer of cap due to servicing transfer
03/30/2011
$
(16)
$
8,723,086 Updated due to quarterly assessment and reallocation
04/13/2011
$
200,000
$
8,923,086 Transfer of cap due to servicing transfer
05/13/2011
$
100,000
$
9,023,086 Transfer of cap due to servicing transfer
06/29/2011
$
(153)
$
9,022,933 Updated due to quarterly assessment and reallocation
09/15/2011
$
100,000
$
9,122,933 Transfer of cap due to servicing transfer
11/16/2011
$
100,000
$
9,222,933 Transfer of cap due to servicing transfer
04/16/2012
$
1,100,000
$
10,322,933 Transfer of cap due to servicing transfer
06/14/2012
$
650,000
$
10,972,933 Transfer of cap due to servicing transfer
06/28/2012
$
(136)
$
10,972,797 Updated due to quarterly assessment and reallocation
09/27/2012
$
(347)
$
10,972,450 Updated due to quarterly assessment and reallocation
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)
$
11,242,450 Transfer of cap due to servicing transfer
12/27/2012
$
(59)
$
11,242,391 Updated due to quarterly assessment and reallocation
01/16/2013
$
20,000
$
11,262,391 Transfer of cap due to servicing transfer
6,980,000 Transfer of cap due to servicing transfer
100
02/14/2013
$
11,502,171 Transfer of cap due to servicing transfer
$
50,000
$
11,552,171 Transfer of cap due to servicing transfer
$
10,000
$
11,562,171 Transfer of cap due to servicing transfer
$
(79)
$
11,562,092 Updated due to quarterly assessment and reallocation
$
(90,000)
$
11,472,092 Transfer of cap due to servicing transfer
09/16/2013
$
310,000
$
11,782,092 Transfer of cap due to servicing transfer
09/27/2013
$
(28)
$
11,782,064 Updated due to quarterly assessment and reallocation
10/15/2013
$
230,000
$
12,012,064 Transfer of cap due to servicing transfer
11/14/2013
$
120,000
$
12,132,064 Transfer of cap due to servicing transfer
12/16/2013
$
460,000
$
12,592,064 Transfer of cap due to servicing transfer
12/23/2013
$
(49,413)
$
12,542,651 Updated due to quarterly assessment and reallocation
01/16/2014
$
40,000
$
12,582,651 Transfer of cap due to servicing transfer
03/14/2014
$
(260,000)
$
12,322,651 Transfer of cap due to servicing transfer
03/26/2014
$
(1,697)
$
12,320,954 Updated due to quarterly assessment and reallocation
04/16/2014
$
100,000
$
12,420,954 Transfer of cap due to servicing transfer
06/16/2014
$
30,000
$
12,450,954 Transfer of cap due to servicing transfer
06/26/2014
$
(20,009)
$
12,430,945 Updated due to quarterly assessment and reallocation
07/29/2014
$
(39,741)
$
12,391,204 Updated due to quarterly assessment and reallocation
08/14/2014
$
(40,000)
$
12,351,204 Transfer of cap due to servicing transfer
09/16/2014
$
70,000
$
12,421,204 Transfer of cap due to servicing transfer
09/29/2014
$
(13,236)
$
12,407,968 Updated due to quarterly assessment and reallocation
12/16/2014
$
(10,000)
$
12,397,968 Transfer of cap due to servicing transfer
12/29/2014
$
(1,446,220)
$
10,951,748 Updated due to quarterly assessment and reallocation
01/15/2015
29,730,000 N/A
(60,000)
07/16/2013
$
11,562,171 Updated due to quarterly assessment and reallocation
$
06/27/2013
Financial Instrument for Home Loan Modifications
11,562,391 Transfer of cap due to servicing transfer
$
06/14/2013
Purchase
11,552,391 Transfer of cap due to servicing transfer
$
(220)
05/16/2013
PA
$
10,000
$
04/16/2013
Servis One, Inc., dba BSI Financial Services,
Titusville
Inc.
290,000
$
03/25/2013
08/12/2009
$
03/14/2013
$
(280,000)
$
10,671,748 Transfer of cap due to servicing transfer
09/30/2009
$
(25,510,000)
$
4,220,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
520,000
$
4,740,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
4,330,000
$
04/19/2010
$
230,000
$
05/19/2010
$
850,000
$
07/14/2010
$
(850,000)
$
09/15/2010
$
100,000
$
09/30/2010
$
100,000
$
09/30/2010
$
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 Transfer of cap due to servicing transfer
01/06/2011
$
(40)
$
26,455,024 Updated due to quarterly assessment and reallocation
01/13/2011
$
300,000
$
26,755,024 Transfer of cap due to servicing transfer
02/16/2011
$
100,000
$
26,855,024 Transfer of cap due to servicing transfer
03/16/2011
$
2,200,000
$
29,055,024 Transfer of cap due to servicing transfer
03/30/2011
$
(52)
$
29,054,972 Updated due to quarterly assessment and reallocation
04/13/2011
$
1,500,000
$
30,554,972 Transfer of cap due to servicing transfer
05/13/2011
$
1,000,000
$
31,554,972 Transfer of cap due to servicing transfer
06/16/2011
$
100,000
$
31,654,972 Transfer of cap due to servicing transfer
06/29/2011
$
(534)
$
31,654,438 Updated due to quarterly assessment and reallocation
08/16/2011
$
700,000
$
32,354,438 Transfer of cap due to servicing transfer
09/15/2011
$
(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
01/13/2012
$
100,000
$
36,654,438 Transfer of cap due to servicing transfer
02/16/2012
$
1,300,000
$
37,954,438 Transfer of cap due to servicing transfer
03/15/2012
$
1,100,000
$
39,054,438 Transfer of cap due to servicing transfer
04/16/2012
$
800,000
$
39,854,438 Transfer of cap due to servicing transfer
05/16/2012
$
(1,080,000)
$
38,774,438 Transfer of cap due to servicing transfer
06/14/2012
$
1,560,000
$
40,334,438 Transfer of cap due to servicing transfer
06/28/2012
$
(465)
$
40,333,973 Updated due to quarterly assessment and reallocation
08/16/2012
$
70,000
$
40,403,973 Transfer of cap due to servicing transfer
09/27/2012
$
(1,272)
$
40,402,701 Updated due to quarterly assessment and reallocation
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
12/27/2012
$
(239)
$
45,002,462 Updated due to quarterly assessment and reallocation
01/16/2013
$
210,000
$
45,212,462 Transfer of cap due to servicing transfer
02/14/2013
$
1,790,000
$
47,002,462 Transfer of cap due to servicing transfer
03/14/2013
$
1,920,000
$
48,922,462 Transfer of cap due to servicing transfer
03/25/2013
$
(960)
$
48,921,502 Updated due to quarterly assessment and reallocation
04/16/2013
$
410,000
$
49,331,502 Transfer of cap due to servicing transfer
05/16/2013
$
(60,000)
$
49,271,502 Transfer of cap due to servicing transfer
06/14/2013
$
1,620,000
$
50,891,502 Transfer of cap due to servicing transfer
06/27/2013
$
(359)
$
50,891,143 Updated due to quarterly assessment and reallocation
07/16/2013
$
2,030,000
$
52,921,143 Transfer of cap due to servicing transfer
08/15/2013
$
10,000
$
52,931,143 Transfer of cap due to servicing transfer
09/16/2013
$
2,600,000
$
55,531,143 Transfer of cap due to servicing transfer
9,070,000 Updated portfolio data from servicer
9,300,000 Transfer of cap due to servicing transfer
10,150,000 Updated portfolio data from servicer/additional program initial cap
9,300,000 Updated portfolio data from servicer
9,400,000 Transfer of cap due to servicing transfer
9,500,000 Updated portfolio data from servicer/additional program initial cap
101
09/27/2013
69,961,281 Transfer of cap due to servicing transfer
$
(8,837)
$
69,952,444 Updated due to quarterly assessment and reallocation
$
60,000
$
70,012,444 Transfer of cap due to servicing transfer
$
(460,000)
$
69,552,444 Transfer of cap due to servicing transfer
$
920,000
$
70,472,444 Transfer of cap due to servicing transfer
$
(103,723)
$
70,368,721 Updated due to quarterly assessment and reallocation
$
(205,396)
$
70,163,325 Updated due to quarterly assessment and reallocation
$
4,050,000
$
74,213,325 Transfer of cap due to servicing transfer
$
420,000
$
74,633,325 Transfer of cap due to servicing transfer
$
(73,587)
$
74,559,738 Updated due to quarterly assessment and reallocation
$
7,390,000
$
81,949,738 Transfer of cap due to servicing transfer
11/14/2014
$
(390,000)
$
81,559,738 Transfer of cap due to servicing transfer
12/16/2014
$
4,990,000
$
86,549,738 Transfer of cap due to servicing transfer
12/29/2014
$
(8,713,039)
$
77,836,699 Updated due to quarterly assessment and reallocation
01/15/2015
$
(50,000)
$
77,786,699 Transfer of cap due to servicing transfer
09/30/2009
$
890,000
$
2,300,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
1,260,000
$
3,560,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(20,000)
$
3,540,000 Updated portfolio data from servicer
07/14/2010
$
(240,000)
$
3,300,000 Updated portfolio data from servicer
09/30/2010
$
471,446
$
3,771,446 Updated portfolio data from servicer
01/06/2011
$
(3)
$
3,771,443 Updated due to quarterly assessment and reallocation
03/30/2011
$
(4)
$
3,771,439 Updated due to quarterly assessment and reallocation
04/13/2011
$
(1,100,000)
$
2,671,439 Transfer of cap due to servicing transfer
06/29/2011
$
(38)
$
2,671,401 Updated due to quarterly assessment and reallocation
06/28/2012
$
(29)
$
2,671,372 Updated due to quarterly assessment and reallocation
09/27/2012
$
(79)
$
2,671,293 Updated due to quarterly assessment and reallocation
12/27/2012
$
(13)
$
2,671,280 Updated due to quarterly assessment and reallocation
03/25/2013
$
(50)
$
2,671,230 Updated due to quarterly assessment and reallocation
04/09/2013
$
(2,324,244)
$
01/22/2010
$
90,000
$
1,970,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
1,110,000
$
3,080,000 Updated portfolio data from servicer
07/14/2010
$
(1,180,000)
$
1,900,000 Updated portfolio data from servicer
09/30/2010
$
275,834
$
2,175,834 Updated portfolio data from servicer
01/06/2011
$
(2)
$
2,175,832 Updated due to quarterly assessment and reallocation
03/30/2011
$
(3)
$
2,175,829 Updated due to quarterly assessment and reallocation
06/29/2011
$
(26)
$
2,175,803 Updated due to quarterly assessment and reallocation
06/28/2012
$
(21)
$
2,175,782 Updated due to quarterly assessment and reallocation
09/27/2012
$
(57)
$
2,175,725 Updated due to quarterly assessment and reallocation
12/27/2012
$
(10)
$
2,175,715 Updated due to quarterly assessment and reallocation
03/25/2013
1,880,000 N/A
$
10/16/2014
$
(130,000)
09/29/2014
NV
70,091,281 Transfer of cap due to servicing transfer
$
09/16/2014
Las Vegas
$
08/14/2014
Silver State Schools Credit Union
67,641,281 Transfer of cap due to servicing transfer
2,450,000
07/29/2014
6
65,551,281 Updated due to quarterly assessment and reallocation
$
$
06/26/2014
Financial Instrument for Home Loan Modifications
$
2,090,000
06/16/2014
Purchase
(239,727)
$
05/15/2014
12/09/2009
65,791,008 Transfer of cap due to servicing transfer
$
04/16/2014
1,410,000 N/A
$
03/26/2014
$
9,960,000
03/14/2014
Financial Instrument for Home Loan Modifications
55,831,008 Transfer of cap due to servicing transfer
$
02/13/2014
Purchase
55,801,008 Transfer of cap due to servicing transfer
$
01/16/2014
IL
55,531,008 Updated due to quarterly assessment and reallocation
$
30,000
12/23/2013
Chicago
$
270,000
$
12/16/2013
ShoreBank
(135)
$
11/14/2013
07/17/2009
$
10/15/2013
$
(37)
$
2,175,678 Updated due to quarterly assessment and reallocation
2,175,663 Updated due to quarterly assessment and reallocation
346,986 Termination of SPA
06/27/2013
$
10,000
$
70,000 Transfer of cap due to servicing transfer
$
170,000
$
240,000 Transfer of cap due to servicing transfer
$
(544)
$
239,456 Updated due to quarterly assessment and reallocation
$
(180)
$
239,276 Updated due to quarterly assessment and reallocation
$
160,000
$
399,276 Transfer of cap due to servicing transfer
$
20,000
$
419,276 Transfer of cap due to servicing transfer
$
60,000
$
479,276 Transfer of cap due to servicing transfer
$
(13,406)
$
465,870 Updated due to quarterly assessment and reallocation
$
90,000
$
285,844 Termination of SPA
60,000 Transfer of cap due to servicing transfer
01/13/2010
Specialized Loan Servicing LLC
Highlands Ranch
CO
Purchase
Financial Instrument for Home Loan Modifications
$
$
440,000 N/A
555,870 Transfer of cap due to servicing transfer
64,150,000 N/A
$
20,000
$
1,430,000
$
1,890,000 Updated portfolio data from servicer
$
(390,000)
$
1,500,000 Updated portfolio data from servicer
09/08/2010
WA
$
07/14/2010
Seattle
01/22/2010
03/26/2010
Sound Community Bank
Financial Instrument for Home Loan Modifications
$
01/15/2015
Purchase
60,000
12/29/2014
12/16/2009
$
12/16/2014
- N/A
10/15/2013
11/14/2014
Financial Instrument for Home Loan Modifications
3
10/16/2014
Purchase
$
09/29/2014
LA
(1,889,819)
07/29/2014
Baton Rouge
$
$
07/16/2014
SN Servicing Corporation
(15)
07/09/2013
12/16/2013
10/15/2013
$
6
$
(1,500,000)
460,000 Updated portfolio data from servicer/additional program initial cap
- Termination of SPA
03/26/2010
$
(51,240,000)
$
12,910,000 Updated portfolio data from servicer
05/14/2010
$
3,000,000
$
15,910,000 Transfer of cap due to servicing transfer
06/16/2010
$
4,860,000
$
20,770,000 Transfer of cap due to servicing transfer
07/14/2010
$
3,630,000
$
24,400,000 Updated portfolio data from servicer
07/16/2010
$
330,000
$
24,730,000 Transfer of cap due to servicing transfer
08/13/2010
$
700,000
$
25,430,000 Transfer of cap due to servicing transfer
09/15/2010
$
200,000
$
25,630,000 Transfer of cap due to servicing transfer
09/30/2010
$
(1,695,826)
$
23,934,174 Updated portfolio data from servicer
11/16/2010
$
200,000
$
24,134,174 Transfer of cap due to servicing transfer
01/06/2011
$
(32)
$
24,134,142 Updated due to quarterly assessment and reallocation
01/13/2011
$
1,500,000
$
25,634,142 Transfer of cap due to servicing transfer
03/16/2011
$
7,100,000
$
32,734,142 Transfer of cap due to servicing transfer
03/30/2011
$
(36)
$
32,734,106 Updated due to quarterly assessment and reallocation
04/13/2011
$
1,000,000
$
33,734,106 Transfer of cap due to servicing transfer
102
05/13/2011
34,533,774 Transfer of cap due to servicing transfer
$
34,833,774 Transfer of cap due to servicing transfer
$
(1,700,000)
$
33,133,774 Transfer of cap due to servicing transfer
$
1,600,000
$
34,733,774 Transfer of cap due to servicing transfer
$
100,000
$
$
100,000
$
34,933,774 Transfer of cap due to servicing transfer
$
77,600,000
$
112,533,774 Transfer of cap due to servicing transfer
$
40,000
$
112,573,774 Transfer of cap due to servicing transfer
06/14/2012
$
(350,000)
$
112,223,774 Transfer of cap due to servicing transfer
06/28/2012
$
(1,058)
$
112,222,716 Updated due to quarterly assessment and reallocation
07/16/2012
$
4,430,000
$
116,652,716 Transfer of cap due to servicing transfer
08/16/2012
$
(1,280,000)
$
115,372,716 Transfer of cap due to servicing transfer
09/27/2012
$
(3,061)
$
115,369,655 Updated due to quarterly assessment and reallocation
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
$
146,029,655 Transfer of cap due to servicing transfer
12/27/2012
$
(663)
$
146,028,992 Updated due to quarterly assessment and reallocation
01/16/2013
$
2,410,000
$
148,438,992 Transfer of cap due to servicing transfer
02/14/2013
$
6,650,000
$
155,088,992 Transfer of cap due to servicing transfer
03/14/2013
$
(1,450,000)
$
153,638,992 Transfer of cap due to servicing transfer
03/25/2013
$
(2,584)
$
153,636,408 Updated due to quarterly assessment and reallocation
04/16/2013
$
(750,000)
$
152,886,408 Transfer of cap due to servicing transfer
05/16/2013
$
(1,250,000)
$
151,636,408 Transfer of cap due to servicing transfer
06/14/2013
$
3,670,000
$
155,306,408 Transfer of cap due to servicing transfer
06/27/2013
$
(985)
$
155,305,423 Updated due to quarterly assessment and reallocation
07/16/2013
$
(3,720,000)
$
151,585,423 Transfer of cap due to servicing transfer
09/16/2013
$
(180,000)
$
151,405,423 Transfer of cap due to servicing transfer
09/27/2013
$
(346)
$
151,405,077 Updated due to quarterly assessment and reallocation
10/15/2013
$
860,000
$
152,265,077 Transfer of cap due to servicing transfer
11/14/2013
$
(410,000)
$
151,855,077 Transfer of cap due to servicing transfer
12/16/2013
$
(10,160,000)
$
141,695,077 Transfer of cap due to servicing transfer
12/23/2013
$
(381,129)
$
141,313,948 Updated due to quarterly assessment and reallocation
01/16/2014
$
8,200,000
$
149,513,948 Transfer of cap due to servicing transfer
02/13/2014
$
21,910,000
$
171,423,948 Transfer of cap due to servicing transfer
03/14/2014
$
300,000
$
171,723,948 Transfer of cap due to servicing transfer
03/26/2014
$
(10,851)
$
171,713,097 Updated due to quarterly assessment and reallocation
04/16/2014
$
4,470,000
$
176,183,097 Transfer of cap due to servicing transfer
05/15/2014
$
(28,460,000)
$
147,723,097 Transfer of cap due to servicing transfer
06/16/2014
$
4,680,000
$
152,403,097 Transfer of cap due to servicing transfer
06/26/2014
$
(57,511)
$
152,345,586 Updated due to quarterly assessment and reallocation
07/16/2014
$
16,450,000
$
168,795,586 Transfer of cap due to servicing transfer
07/29/2014
$
(115,275)
$
168,680,311 Updated due to quarterly assessment and reallocation
08/14/2014
$
230,000
$
168,910,311 Transfer of cap due to servicing transfer
09/16/2014
$
(4,270,000)
$
164,640,311 Transfer of cap due to servicing transfer
09/29/2014
$
(27,454)
$
164,612,857 Updated due to quarterly assessment and reallocation
11/14/2014
$
540,000
$
165,152,857 Transfer of cap due to servicing transfer
12/29/2014
$
52,945,861
$
218,098,718 Updated due to quarterly assessment and reallocation
01/15/2015
$
(520,000)
$
217,578,718 Transfer of cap due to servicing transfer
01/22/2010
$
10,000
$
03/26/2010
$
850,000
$
1,220,000 Updated portfolio data from servicer
07/14/2010
$
(120,000)
$
1,100,000 Updated portfolio data from servicer
09/30/2010
$
100,000
$
1,200,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
105,500
$
1,305,500 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,305,498 Updated due to quarterly assessment and reallocation
02/17/2011
$
(1,305,498)
34,833,774 Transfer of cap due to servicing transfer
370,000 Updated portfolio data from servicer/additional program initial cap
- Termination of SPA
12/15/2010
Statebridge Company, LLC
Denver
CO
Purchase
Financial Instrument for Home Loan Modifications
- N/A
3
70,000
$
370,000 Updated portfolio data from servicer/additional program initial cap
$
3,050,000 Updated portfolio data from servicer/additional program initial cap
$
350,000
$
3,400,000 Updated portfolio data from servicer
$
(1,900,000)
$
1,500,000 Updated portfolio data from servicer
$
(1,209,889)
$
03/23/2011
300,000 N/A
2,680,000
09/30/2010
$
$
07/14/2010
CA
$
03/26/2010
Palo Alto
10/02/2009
12/30/2009
Stanford Federal Credit Union
Financial Instrument for Home Loan Modifications
$
300,000
05/16/2012
Purchase
300,000
$
04/16/2012
08/28/2009
34,233,774 Transfer of cap due to servicing transfer
$
03/15/2012
360,000 N/A
$
02/16/2012
$
100,000
01/13/2012
Financial Instrument for Home Loan Modifications
34,133,774 Updated due to quarterly assessment and reallocation
$
12/15/2011
Purchase
34,134,106 Transfer of cap due to servicing transfer
$
10/14/2011
AK
33,834,106 Transfer of cap due to servicing transfer
$
(332)
09/15/2011
Fairbanks
$
300,000
$
08/16/2011
Spirit of Alaska Federal Credit Union
100,000
$
06/29/2011
12/09/2009
$
06/16/2011
$
(290,111)
12/15/2010
$
5,000,000
$
5,000,000 Transfer of cap due to servicing transfer
01/06/2011
$
(7)
$
4,999,993 Updated due to quarterly assessment and reallocation
02/16/2011
$
500,000
$
5,499,993 Transfer of cap due to servicing transfer
03/16/2011
$
100,000
$
5,599,993 Transfer of cap due to servicing transfer
03/30/2011
$
(9)
$
5,599,984 Updated due to quarterly assessment and reallocation
06/29/2011
$
(85)
$
5,599,899 Updated due to quarterly assessment and reallocation
11/16/2011
$
(2,500,000)
$
3,099,899 Transfer of cap due to servicing transfer
03/15/2012
$
200,000
$
3,299,899 Transfer of cap due to servicing transfer
06/28/2012
$
(40)
$
3,299,859 Updated due to quarterly assessment and reallocation
09/27/2012
$
(100)
$
3,299,759 Updated due to quarterly assessment and reallocation
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
290,111 Updated portfolio data from servicer
- Termination of SPA
103
12/14/2012
$
(80,000)
$
3,359,759 Transfer of cap due to servicing transfer
12/27/2012
$
(17)
$
3,359,742 Updated due to quarterly assessment and reallocation
01/16/2013
$
50,000
$
3,409,742 Transfer of cap due to servicing transfer
02/14/2013
$
1,240,000
$
4,649,742 Transfer of cap due to servicing transfer
03/14/2013
$
90,000
$
4,739,742 Transfer of cap due to servicing transfer
03/25/2013
$
(90)
$
4,739,652 Updated due to quarterly assessment and reallocation
04/16/2013
$
(10,000)
$
4,729,652 Transfer of cap due to servicing transfer
06/27/2013
$
(34)
$
4,729,618 Updated due to quarterly assessment and reallocation
09/27/2013
$
(13)
$
4,729,605 Updated due to quarterly assessment and reallocation
11/14/2013
$
60,000
$
4,789,605 Transfer of cap due to servicing transfer
12/23/2013
$
(21,773)
$
4,767,832 Updated due to quarterly assessment and reallocation
01/16/2014
$
(20,000)
$
4,747,832 Transfer of cap due to servicing transfer
02/13/2014
$
60,000
$
4,807,832 Transfer of cap due to servicing transfer
03/14/2014
$
(30,000)
$
4,777,832 Transfer of cap due to servicing transfer
03/26/2014
$
(770)
$
4,777,062 Updated due to quarterly assessment and reallocation
06/26/2014
$
(8,978)
$
4,768,084 Updated due to quarterly assessment and reallocation
07/16/2014
$
150,000
$
4,918,084 Transfer of cap due to servicing transfer
07/29/2014
$
(18,319)
$
4,899,765 Updated due to quarterly assessment and reallocation
08/14/2014
$
330,000
$
5,229,765 Transfer of cap due to servicing transfer
09/16/2014
$
510,000
$
5,739,765 Transfer of cap due to servicing transfer
09/29/2014
$
(7,084)
$
10/16/2014
$
1,310,000
$
7,042,681 Transfer of cap due to servicing transfer
12/16/2014
$
5,780,000
$
12,822,681 Transfer of cap due to servicing transfer
$
10,813,209 Updated due to quarterly assessment and reallocation
12/29/2014
5,732,681 Updated due to quarterly assessment and reallocation
Richmond
VA
Purchase
Financial Instrument for Home Loan Modifications
- N/A
3
1,873,290 Updated due to quarterly assessment and reallocation
$
1,873,255 Updated due to quarterly assessment and reallocation
$
12,095
$
1,885,350 Updated due to quarterly assessment and reallocation
$
122,307
$
2,007,657 Updated due to quarterly assessment and reallocation
$
22,184
$
2,029,841 Updated due to quarterly assessment and reallocation
$
24,565
$
2,054,406 Updated due to quarterly assessment and reallocation
$
581,882
$
2,636,288 Updated due to quarterly assessment and reallocation
$
45,056
$
145,056 Updated portfolio data from servicer
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
$
(7,654)
$
$
1,585,945
$
2,465,945 Updated portfolio data from servicer
$
(4)
$
2,465,941 Updated due to quarterly assessment and reallocation
$
(4)
$
2,465,937 Updated due to quarterly assessment and reallocation
$
(40)
$
2,465,897 Updated due to quarterly assessment and reallocation
$
(30)
$
2,465,867 Updated due to quarterly assessment and reallocation
08/10/2012
SunTrust Mortgage, Inc.
$
(35)
06/28/2012
04/13/2011
13,786
$
06/29/2011
3
1,859,504 Updated due to quarterly assessment and reallocation
$
03/30/2011
- N/A
$
01/06/2011
Financial Instrument for Home Loan Modifications
84,191
09/30/2010
Purchase
1,775,313 Updated due to quarterly assessment and reallocation
$
12/29/2014
CA
$
09/29/2014
Cerritos
1,540,138 Updated due to quarterly assessment and reallocation
235,175
07/29/2014
Sun West Mortgage Company, Inc
1,481,450 Updated due to quarterly assessment and reallocation
$
$
06/26/2014
01/13/2012
$
58,688
09/30/2010
880,000 N/A
30,907
$
03/26/2014
$
1,450,543 Updated due to quarterly assessment and reallocation
$
12/23/2013
Financial Instrument for Home Loan Modifications
1,450,554 Updated due to quarterly assessment and reallocation
$
03/25/2013
Purchase
1,450,555 Updated due to quarterly assessment and reallocation
$
(11)
09/27/2012
NM
$
(1)
$
06/28/2012
Albuquerque
(1)
$
06/29/2011
08/04/2010
$
12/29/2014
Suburban Mortgage Company of New
Mexico
1,450,556 Updated portfolio data from servicer
09/29/2014
100,000 N/A
$
07/29/2014
$
550,556
06/26/2014
Financial Instrument for Home Loan Modifications
900,000 Updated portfolio data from servicer
$
03/26/2014
Purchase
$
12/23/2013
MT
(710,000)
09/27/2013
Miles City
1,610,000 Updated portfolio data from servicer
$
06/27/2013
Stockman Bank of Montana
2,350,000 Updated portfolio data from servicer/additional program initial cap
$
03/25/2013
09/30/2010
$
12/27/2012
2,250,000 N/A
$
09/27/2012
$
100,000
06/29/2011
Financial Instrument for Home Loan Modifications
(740,000)
03/30/2011
Purchase
(2,009,472)
01/06/2011
WA
$
09/30/2010
Spokane
$
07/14/2010
Sterling Savings Bank
01/22/2010
03/26/2010
12/09/2009
$
(2,465,867)
01/13/2012
$
100,000
$
100,000 Transfer of cap due to servicing transfer
136,807 Updated due to quarterly assessment and reallocation
- Termination of SPA
04/13/2011
$
100,000
$
100,000 Transfer of cap due to servicing transfer
06/14/2013
$
120,000
$
220,000 Transfer of cap due to servicing transfer
06/27/2013
$
(1)
$
219,999 Updated due to quarterly assessment and reallocation
07/16/2013
$
10,000
$
229,999 Transfer of cap due to servicing transfer
12/23/2013
$
(670)
$
229,329 Updated due to quarterly assessment and reallocation
01/16/2014
$
20,000
$
249,329 Transfer of cap due to servicing transfer
02/13/2014
$
90,000
$
339,329 Transfer of cap due to servicing transfer
03/14/2014
$
50,000
$
389,329 Transfer of cap due to servicing transfer
03/26/2014
$
(38)
$
389,291 Updated due to quarterly assessment and reallocation
04/16/2014
$
60,000
$
449,291 Transfer of cap due to servicing transfer
06/26/2014
$
(486)
$
448,805 Updated due to quarterly assessment and reallocation
07/16/2014
$
70,000
$
518,805 Transfer of cap due to servicing transfer
07/29/2014
$
(989)
$
517,816 Updated due to quarterly assessment and reallocation
08/14/2014
$
30,000
$
547,816 Transfer of cap due to servicing transfer
09/29/2014
$
(358)
$
547,458 Updated due to quarterly assessment and reallocation
12/29/2014
$
(28,730)
$
518,728 Updated due to quarterly assessment and reallocation
104
06/26/2009
100,000 Updated portfolio data from servicer
$
145,056 Updated portfolio data from servicer
$
(145,056)
$
(150,000)
06/16/2011
$
100,000
$
$
290,000
$
6,450,000 Updated portfolio data from servicer/additional program initial cap
$
40,000
$
6,490,000 Updated portfolio data from servicer
$
(2,890,000)
$
3,600,000 Updated portfolio data from servicer
$
606,612
$
4,206,612 Updated portfolio data from servicer
$
(4)
$
4,206,608 Updated due to quarterly assessment and reallocation
$
(4)
$
4,206,604 Updated due to quarterly assessment and reallocation
$
(35)
$
4,206,569 Updated due to quarterly assessment and reallocation
$
(9)
$
4,206,560 Updated due to quarterly assessment and reallocation
$
(14)
$
4,206,546 Updated due to quarterly assessment and reallocation
$
(2)
$
4,206,544 Updated due to quarterly assessment and reallocation
$
(8)
$
4,206,536 Updated due to quarterly assessment and reallocation
$
(4)
$
4,206,532 Updated due to quarterly assessment and reallocation
$
(1)
$
4,206,531 Updated due to quarterly assessment and reallocation
$
(2,412)
$
4,204,119 Updated due to quarterly assessment and reallocation
$
(84)
$
4,204,035 Updated due to quarterly assessment and reallocation
$
(302)
$
4,203,733 Updated due to quarterly assessment and reallocation
$
(16)
$
4,203,717 Updated due to quarterly assessment and reallocation
$
20,590
$
4,224,307 Updated due to quarterly assessment and reallocation
$
1,125,205
$
10/16/2014
$
20,000
$
10/02/2009
$
24,920,000
$
139,140,000 Updated portfolio data from servicer/additional program initial cap
$
49,410,000
$
188,550,000 Updated portfolio data from servicer/additional program initial cap
$
41,830,000
$
230,380,000 Updated portfolio data from servicer
$
(85,780,000)
$
144,600,000 Updated portfolio data from servicer
$
36,574,444
$
181,174,444 Updated portfolio data from servicer
$
(160)
$
181,174,284 Updated due to quarterly assessment and reallocation
$
(172)
$
181,174,112 Updated due to quarterly assessment and reallocation
$
(1,431)
$
181,172,681 Updated due to quarterly assessment and reallocation
$
(746)
$
181,171,935 Updated due to quarterly assessment and reallocation
$
(1,926)
$
181,170,009 Updated due to quarterly assessment and reallocation
$
(308)
$
181,169,701 Updated due to quarterly assessment and reallocation
$
(1,135)
$
181,168,566 Updated due to quarterly assessment and reallocation
06/27/2013
$
(418)
$
181,168,148 Updated due to quarterly assessment and reallocation
09/27/2013
$
(139)
$
181,168,009 Updated due to quarterly assessment and reallocation
12/23/2013
$
(212,077)
$
180,955,932 Updated due to quarterly assessment and reallocation
03/26/2014
$
(6,391)
$
180,949,541 Updated due to quarterly assessment and reallocation
06/26/2014
$
(71,209)
$
180,878,332 Updated due to quarterly assessment and reallocation
07/29/2014
$
(125,785)
$
180,752,547 Updated due to quarterly assessment and reallocation
09/29/2014
$
(39,094)
$
180,713,453 Updated due to quarterly assessment and reallocation
12/29/2014
540,000 N/A
$
45,056
03/25/2013
$
10,000
$
12/27/2012
Financial Instrument for Home Loan Modifications
90,000 Updated portfolio data from servicer
$
09/27/2012
Purchase
$
06/28/2012
GA
(20,000)
06/29/2011
Griffin
1,070,642 Updated due to quarterly assessment and reallocation
$
03/30/2011
United Bank
$
01/06/2011
01/29/2010
(82,551)
09/30/2010
114,220,000 N/A
1,153,193 Updated due to quarterly assessment and reallocation
$
07/14/2010
$
1,153,977 Updated due to quarterly assessment and reallocation
$
03/26/2010
Financial Instrument for Home Loan Modifications
$
(784)
12/30/2009
Purchase
(2,373)
$
12/29/2014
KY
1,156,350 Updated due to quarterly assessment and reallocation
$
09/29/2014
Owensboro
$
07/29/2014
U.S. Bank National Association
(1,195)
06/26/2014
09/09/2009
1,157,545 Updated due to quarterly assessment and reallocation
$
03/26/2014
3
$
12/23/2013
- N/A
(101)
09/27/2013
Financial Instrument for Home Loan Modifications
1,157,646 Updated due to quarterly assessment and reallocation
$
06/27/2013
Purchase
1,160,375 Updated due to quarterly assessment and reallocation
$
03/25/2013
NJ
$
(2,729)
12/27/2012
Jersey City
(2)
$
09/27/2012
The Provident Bank
1,160,377 Updated due to quarterly assessment and reallocation
$
06/28/2012
10/16/2014
$
01/22/2010
3
(5)
04/21/2010
6,160,000 N/A
1,160,382 Updated due to quarterly assessment and reallocation
$
06/29/2011
$
$
03/30/2011
Financial Instrument for Home Loan Modifications
1,160,395 Updated due to quarterly assessment and reallocation
(13)
01/06/2011
Purchase
1,160,399 Updated due to quarterly assessment and reallocation
$
$
09/30/2010
CA
$
(4)
07/14/2010
Sacramento
(23)
$
03/26/2010
The Golden 1 Credit Union
1,160,422 Updated due to quarterly assessment and reallocation
$
12/08/2010
12/09/2009
$
03/26/2010
150,000 N/A
(9)
09/30/2010
$
1,160,431 Updated due to quarterly assessment and reallocation
$
07/14/2010
Financial Instrument for Home Loan Modifications
$
12/29/2014
Purchase
1,160,443 Updated due to quarterly assessment and reallocation
(12)
09/29/2014
PA
1,160,444 Updated due to quarterly assessment and reallocation
$
$
07/29/2014
Bryn Mawr
$
(1)
06/26/2014
The Bryn Mawr Trust Co.
(1)
$
03/26/2014
12/11/2009
1,160,445 Updated portfolio data from servicer
$
12/23/2013
110,000 N/A
$
09/27/2013
$
60,445
06/27/2013
Financial Instrument for Home Loan Modifications
1,100,000 Updated portfolio data from servicer
$
03/25/2013
Purchase
1,530,000 Updated portfolio data from servicer
$
12/27/2012
AZ
2,250,000 Updated portfolio data from servicer/additional program initial cap
$
09/27/2012
Tempe
$
(430,000)
06/28/2012
70,000 N/A
(720,000)
06/29/2011
$
2,180,000
03/30/2011
Tempe Schools Credit Union
Financial Instrument for Home Loan Modifications
$
01/06/2011
12/23/2009
Purchase
$
09/30/2010
CA
$
07/14/2010
San Jose
12/30/2009
03/26/2010
Technology Credit Union
$
26,402,243
$
207,115,696 Updated due to quarterly assessment and reallocation
03/26/2010
$
160,000
$
700,000 Updated portfolio data from servicer
09/30/2010
$
25,278
$
725,278 Updated portfolio data from servicer
01/06/2011
$
(1)
$
725,277 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
725,276 Updated due to quarterly assessment and reallocation
06/29/2011
$
(11)
$
725,265 Updated due to quarterly assessment and reallocation
06/28/2012
$
(8)
$
725,257 Updated due to quarterly assessment and reallocation
09/27/2012
$
(22)
$
725,235 Updated due to quarterly assessment and reallocation
12/27/2012
$
(4)
$
725,231 Updated due to quarterly assessment and reallocation
03/25/2013
$
(14)
$
725,217 Updated due to quarterly assessment and reallocation
06/27/2013
$
(5)
$
725,212 Updated due to quarterly assessment and reallocation
09/27/2013
$
(2)
$
725,210 Updated due to quarterly assessment and reallocation
12/23/2013
$
(3,221)
$
721,989 Updated due to quarterly assessment and reallocation
- Termination of SPA
- Termination of SPA
100,000 Transfer of cap due to servicing transfer
5,349,512 Updated due to quarterly assessment and reallocation
20,000 Transfer of cap due to servicing transfer
105
03/26/2014
610,783 Updated due to quarterly assessment and reallocation
$
430,000 Updated portfolio data from servicer/additional program initial cap
$
400,000
$
830,000 Updated portfolio data from servicer
$
(430,000)
$
400,000 Updated portfolio data from servicer
$
180,222
$
580,222 Updated portfolio data from servicer
$
(1)
$
580,221 Updated due to quarterly assessment and reallocation
$
(1)
$
580,220 Updated due to quarterly assessment and reallocation
$
(5)
$
580,215 Updated due to quarterly assessment and reallocation
06/28/2012
$
(4)
$
580,211 Updated due to quarterly assessment and reallocation
09/27/2012
$
(11)
$
580,200 Updated due to quarterly assessment and reallocation
12/27/2012
$
(2)
$
580,198 Updated due to quarterly assessment and reallocation
03/25/2013
$
(7)
$
580,191 Updated due to quarterly assessment and reallocation
06/27/2013
$
(2)
$
580,189 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
580,188 Updated due to quarterly assessment and reallocation
12/23/2013
$
(1,471)
$
578,717 Updated due to quarterly assessment and reallocation
03/26/2014
$
(52)
$
578,665 Updated due to quarterly assessment and reallocation
06/26/2014
$
(613)
$
578,052 Updated due to quarterly assessment and reallocation
07/29/2014
$
(1,217)
$
576,835 Updated due to quarterly assessment and reallocation
09/29/2014
$
(403)
$
576,432 Updated due to quarterly assessment and reallocation
12/29/2014
$
(33,790)
$
542,642 Updated due to quarterly assessment and reallocation
03/10/2010
3
1,333,246 Updated due to quarterly assessment and reallocation
$
(3)
$
1,333,243 Updated due to quarterly assessment and reallocation
$
(1)
$
1,333,242 Updated due to quarterly assessment and reallocation
$
(1,744)
$
1,331,498 Updated due to quarterly assessment and reallocation
$
(62)
$
1,331,436 Updated due to quarterly assessment and reallocation
$
(735)
$
1,330,701 Updated due to quarterly assessment and reallocation
$
(1,463)
$
1,329,238 Updated due to quarterly assessment and reallocation
$
(498)
$
1,328,740 Updated due to quarterly assessment and reallocation
$
(12,100)
$
1,316,640 Updated due to quarterly assessment and reallocation
$
30,000
$
$
400,000
$
1,030,000 Updated portfolio data from servicer
$
(330,000)
$
700,000 Updated portfolio data from servicer
$
25,278
$
725,278 Updated portfolio data from servicer
$
(1)
$
725,277 Updated due to quarterly assessment and reallocation
$
(725,277)
05/16/2013
$
50,000
$
50,000 Transfer of cap due to servicing transfer
$
10,000
$
60,000 Transfer of cap due to servicing transfer
630,000 Updated portfolio data from servicer/additional program initial cap
- Termination of SPA
725,265 Updated due to quarterly assessment and reallocation
$
(8)
$
725,257 Updated due to quarterly assessment and reallocation
$
(22)
$
725,235 Updated due to quarterly assessment and reallocation
$
(4)
$
725,231 Updated due to quarterly assessment and reallocation
$
(14)
$
725,217 Updated due to quarterly assessment and reallocation
$
(5)
$
725,212 Updated due to quarterly assessment and reallocation
$
(2)
$
725,210 Updated due to quarterly assessment and reallocation
$
(3,221)
$
721,989 Updated due to quarterly assessment and reallocation
$
(113)
$
$
(721,876)
09/30/2009
$
(37,700,000)
$
47,320,000 Updated portfolio data from servicer/additional program initial cap
$
26,160,000
$
73,480,000 Updated portfolio data from servicer/additional program initial cap
$
9,820,000
$
83,300,000 Updated portfolio data from servicer
07/14/2010
$
(46,200,000)
$
37,100,000 Updated portfolio data from servicer
09/30/2010
$
(28,686,775)
$
8,413,225 Updated portfolio data from servicer
12/03/2010
$
(8,413,225)
721,876 Updated due to quarterly assessment and reallocation
- Termination of SPA
IA
$
634,010,000 N/A
- Termination of SPA
2
04/14/2010
Wealthbridge Mortgage Corp
Beaverton
OR
Purchase
Financial Instrument for Home Loan Modifications
$
6,550,000 N/A
$
723,880,000
$
692,640,000
02/17/2010
Des Moines
09/30/2009
12/30/2009
Wachovia Mortgage, FSB
Financial Instrument for Home Loan Modifications
$
03/26/2010
Purchase
(11)
12/30/2009
07/01/2009
725,276 Updated due to quarterly assessment and reallocation
$
04/23/2014
85,020,000 N/A
$
03/26/2014
$
(1)
12/23/2013
Financial Instrument for Home Loan Modifications
725,277 Updated due to quarterly assessment and reallocation
$
09/27/2013
Purchase
725,278 Updated portfolio data from servicer
$
06/27/2013
NC
700,000 Updated portfolio data from servicer
$
(1)
03/25/2013
Charlotte
$
25,278
12/27/2012
Wachovia Bank, N.A.
400,000
09/27/2012
07/29/2009
$
06/28/2012
300,000 N/A
$
06/29/2011
$
$
03/30/2011
PA
07/14/2010
01/06/2011
Wyomissing
Financial Instrument for Home Loan Modifications
- N/A
$
- Termination of SPA
09/30/2010
VIST Financial Corp
Purchase
Financial Instrument for Home Loan Modifications
1,333,253 Updated due to quarterly assessment and reallocation
(7)
12/16/2013
Purchase
1,333,255 Updated due to quarterly assessment and reallocation
$
$
02/17/2011
TX
$
(2)
01/06/2011
Plano
(10)
$
09/30/2010
ViewPoint Bank
1,333,265 Updated due to quarterly assessment and reallocation
$
07/14/2010
05/16/2013
1,333,268 Transfer of cap due to servicing transfer
$
01/22/2010
600,000 N/A
1,233,268 Updated due to quarterly assessment and reallocation
$
(3)
03/26/2010
$
$
100,000
$
12/29/2014
Financial Instrument for Home Loan Modifications
233,268
$
09/29/2014
Purchase
$
07/29/2014
WA
1,000,000 Transfer of cap due to servicing transfer
06/26/2014
Seattle
$
03/26/2014
Verity Credit Union
1,000,000
12/23/2013
12/11/2009
$
09/27/2013
3
04/13/2011
06/27/2013
- N/A
(870,333)
03/25/2013
Financial Instrument for Home Loan Modifications
870,333 Updated due to quarterly assessment and reallocation
$
12/27/2012
Purchase
870,334 Updated portfolio data from servicer
$
09/27/2012
IL
$
(1)
06/28/2012
Chicago
600,000 N/A
270,334
11/16/2011
Urban Partnership Bank
$
$
06/29/2011
04/13/2011
UT
$
02/17/2011
Salt Lake City
09/30/2010
01/06/2011
University First Federal Credit Union
Financial Instrument for Home Loan Modifications
$
20,000
06/29/2011
Purchase
(106,224)
$
03/30/2011
09/30/2010
717,007 Updated due to quarterly assessment and reallocation
$
01/22/2010
410,000 N/A
$
01/06/2011
$
(877)
09/30/2010
MI
717,884 Updated due to quarterly assessment and reallocation
$
07/14/2010
Grand Rapids
720,539 Updated due to quarterly assessment and reallocation
$
03/26/2010
United Bank Mortgage Corporation
721,876 Updated due to quarterly assessment and reallocation
$
(2,655)
12/29/2014
Financial Instrument for Home Loan Modifications
$
(1,337)
$
09/29/2014
Purchase
(113)
$
07/29/2014
10/21/2009
$
06/26/2014
$
(2,050,236,344)
$
293,656 Transfer of cap due to merger/acquisition
03/12/2010
$
(54,767)
$
238,890 Termination of SPA
$
1,357,890,000 Updated portfolio data from servicer/additional program initial cap
$
2,050,530,000 Updated portfolio data from servicer/additional program initial cap
07/14/2010
$
(150,000)
$
6,400,000 Updated portfolio data from servicer
09/15/2010
$
1,600,000
$
8,000,000 Transfer of cap due to servicing transfer
09/30/2010
$
(4,352,173)
$
3,647,827 Updated portfolio data from servicer
106
01/06/2011
IA
Purchase
Financial Instrument for Home Loan Modifications
$
2,873,000,000 N/A
647,800 Updated due to quarterly assessment and reallocation
$
647,781 Updated due to quarterly assessment and reallocation
$
(3)
$
647,778 Updated due to quarterly assessment and reallocation
$
(12)
$
647,766 Updated due to quarterly assessment and reallocation
$
(5)
$
647,761 Updated due to quarterly assessment and reallocation
$
(2)
$
647,759 Updated due to quarterly assessment and reallocation
$
(2,822)
$
644,937 Updated due to quarterly assessment and reallocation
$
(644,937)
12/16/2014
$
10,000
$
10,000 Transfer of cap due to servicing transfer
12/29/2014
Des Moines
$
(19)
02/27/2014
Wells Fargo Bank, NA
(7)
$
12/23/2013
04/13/2009
647,807 Updated due to quarterly assessment and reallocation
$
09/27/2013
3
$
06/27/2013
- N/A
(9)
03/25/2013
Financial Instrument for Home Loan Modifications
647,816 Transfer of cap due to servicing transfer
$
12/27/2012
Purchase
3,647,816 Updated due to quarterly assessment and reallocation
$
09/27/2012
CT
3,647,822 Updated due to quarterly assessment and reallocation
$
(3,000,000)
06/28/2012
Cheshire
$
(6)
$
06/29/2011
Webster Bank, N.A.
(5)
$
04/13/2011
12/16/2014
$
03/30/2011
$
6,250
$
16,250 Updated due to quarterly assessment and reallocation
- Termination of SPA
06/17/2009
$
(462,990,000)
$
2,410,010,000 Updated portfolio data from servicer
09/30/2009
$
65,070,000
$
2,475,080,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
1,213,310,000
$
3,688,390,000 Updated portfolio data from servicer/additional program initial cap
02/17/2010
$
2,050,236,344
$
5,738,626,344 Transfer of cap due to merger/acquisition
03/12/2010
$
54,767
$
5,738,681,110 Transfer of cap due to merger/acquisition
03/19/2010
$
668,108,890
$
6,406,790,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
683,130,000
$
7,089,920,000 Updated portfolio data from servicer
07/14/2010
$
(2,038,220,000)
$
5,051,700,000 Updated portfolio data from servicer
09/30/2010
$
(287,348,828)
$
4,764,351,172 Updated portfolio data from servicer
09/30/2010
$
344,000,000
$
5,108,351,172 Updated portfolio data from servicer/additional program initial cap
12/03/2010
$
8,413,225
$
5,116,764,397 Transfer of cap due to merger/acquisition
12/15/2010
$
22,200,000
$
5,138,964,397 Transfer of cap due to servicing transfer
01/06/2011
$
(6,312)
$
5,138,958,085 Updated due to quarterly assessment and reallocation
01/13/2011
$
(100,000)
$
5,138,858,085 Transfer of cap due to servicing transfer
03/16/2011
$
(100,000)
$
5,138,758,085 Transfer of cap due to servicing transfer
03/30/2011
$
(7,171)
$
5,138,750,914 Updated due to quarterly assessment and reallocation
04/13/2011
$
(9,800,000)
$
5,128,950,914 Transfer of cap due to servicing transfer
05/13/2011
$
100,000
$
5,129,050,914 Transfer of cap due to servicing transfer
06/16/2011
$
(600,000)
$
5,128,450,914 Transfer of cap due to servicing transfer
06/29/2011
$
(63,856)
$
5,128,387,058 Updated due to quarterly assessment and reallocation
07/14/2011
$
(2,300,000)
$
5,126,087,058 Transfer of cap due to servicing transfer
08/16/2011
$
(1,100,000)
$
5,124,987,058 Transfer of cap due to servicing transfer
09/15/2011
$
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
01/13/2012
$
(300,000)
$
5,125,887,058 Transfer of cap due to servicing transfer
02/16/2012
$
(200,000)
$
5,125,687,058 Transfer of cap due to servicing transfer
03/15/2012
$
(1,000,000)
$
5,124,687,058 Transfer of cap due to servicing transfer
04/16/2012
$
(800,000)
$
5,123,887,058 Transfer of cap due to servicing transfer
05/16/2012
$
(610,000)
$
5,123,277,058 Transfer of cap due to servicing transfer
06/14/2012
$
(2,040,000)
$
5,121,237,058 Transfer of cap due to servicing transfer
06/28/2012
$
(39,923)
$
5,121,197,135 Updated due to quarterly assessment and reallocation
08/16/2012
$
(120,000)
$
5,121,077,135 Transfer of cap due to servicing transfer
09/27/2012
$
(104,111)
$
5,120,973,024 Updated due to quarterly assessment and reallocation
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)
$
5,115,323,024 Transfer of cap due to servicing transfer
12/27/2012
$
(16,392)
$
5,115,306,632 Updated due to quarterly assessment and reallocation
01/16/2013
$
(3,350,000)
$
5,111,956,632 Transfer of cap due to servicing transfer
02/14/2013
$
(820,000)
$
5,111,136,632 Transfer of cap due to servicing transfer
03/14/2013
$
(270,000)
$
5,110,866,632 Transfer of cap due to servicing transfer
03/25/2013
$
(58,709)
$
5,110,807,923 Updated due to quarterly assessment and reallocation
04/16/2013
$
(40,000)
$
5,110,767,923 Transfer of cap due to servicing transfer
05/16/2013
$
(5,320,000)
$
5,105,447,923 Transfer of cap due to servicing transfer
06/14/2013
$
(1,260,000)
$
5,104,187,923 Transfer of cap due to servicing transfer
06/27/2013
$
(20,596)
$
5,104,167,327 Updated due to quarterly assessment and reallocation
07/16/2013
$
(1,200,000)
$
5,102,967,327 Transfer of cap due to servicing transfer
08/15/2013
$
(30,000)
$
5,102,937,327 Transfer of cap due to servicing transfer
09/16/2013
$
(10,760,000)
$
5,092,177,327 Transfer of cap due to servicing transfer
09/27/2013
$
(6,701)
$
5,092,170,626 Updated due to quarterly assessment and reallocation
10/15/2013
$
(780,000)
$
5,091,390,626 Transfer of cap due to servicing transfer
11/14/2013
$
(60,000)
$
5,091,330,626 Transfer of cap due to servicing transfer
12/16/2013
$
(860,000)
$
5,090,470,626 Transfer of cap due to servicing transfer
12/23/2013
$
(10,569,304)
$
5,079,901,322 Updated due to quarterly assessment and reallocation
01/16/2014
$
(1,990,000)
$
5,077,911,322 Transfer of cap due to servicing transfer
02/13/2014
$
(170,000)
$
5,077,741,322 Transfer of cap due to servicing transfer
03/14/2014
$
(80,000)
$
5,077,661,322 Transfer of cap due to servicing transfer
03/26/2014
$
(358,566)
$
5,077,302,756 Updated due to quarterly assessment and reallocation
04/16/2014
$
(4,560,000)
$
5,072,742,756 Transfer of cap due to servicing transfer
05/15/2014
$
(560,000)
$
5,072,182,756 Transfer of cap due to servicing transfer
06/16/2014
$
(240,000)
$
5,071,942,756 Transfer of cap due to servicing transfer
06/26/2014
$
(4,070,420)
$
5,067,872,336 Updated due to quarterly assessment and reallocation
107
07/16/2014
$
5,057,470,266 Updated due to quarterly assessment and reallocation
(150,000)
$
5,057,320,266 Transfer of cap due to servicing transfer
$
(20,000)
$
5,057,300,266 Transfer of cap due to servicing transfer
$
(2,720,000)
$
5,054,580,266 Transfer of cap due to servicing transfer
$
(167,572,118)
$
4,887,008,148 Updated due to quarterly assessment and reallocation
$
(10,000)
$
4,886,998,148 Transfer of cap due to servicing transfer
09/30/2009
$
330,000
$
870,000 Updated portfolio data from servicer/additional program initial cap
$
16,490,000
$
17,360,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(14,260,000)
$
3,100,000 Updated portfolio data from servicer
07/14/2010
$
(1,800,000)
$
1,300,000 Updated portfolio data from servicer
07/30/2010
$
1,500,000
$
2,800,000 Updated portfolio data from servicer
09/30/2010
$
1,551,668
$
4,351,668 Updated portfolio data from servicer
01/06/2011
$
(2)
$
4,351,666 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
4,351,664 Updated due to quarterly assessment and reallocation
05/13/2011
$
(1,800,000)
$
2,551,664 Transfer of cap due to servicing transfer
6
06/03/2011
$
(1,872,787)
$
3
06/14/2012
$
990,000
$
1,668,877 Transfer of cap due to servicing transfer
09/27/2012
$
372,177
$
2,041,054 Updated due to quarterly assessment and reallocation
12/23/2013
$
(192)
$
2,040,862 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
2,040,854 Updated due to quarterly assessment and reallocation
06/26/2014
$
(102)
$
2,040,752 Updated due to quarterly assessment and reallocation
07/29/2014
$
(207)
$
2,040,545 Updated due to quarterly assessment and reallocation
09/29/2014
$
(76)
$
2,040,469 Updated due to quarterly assessment and reallocation
12/29/2014
$
465,893
$
2,506,362 Updated due to quarterly assessment and reallocation
540,000 N/A
678,877 Termination of SPA
$
366,000,000 N/A
$
217,264 Updated due to quarterly assessment and reallocation
$
(240)
$
217,024 Updated due to quarterly assessment and reallocation
$
(79)
$
$
(2,081)
$
214,864 Updated due to quarterly assessment and reallocation
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
$
(63)
$
12/29/2014
Financial Instrument for Home Loan Modifications
(121)
09/29/2014
Purchase
217,385 Updated due to quarterly assessment and reallocation
$
07/29/2014
OR
217,395 Updated due to quarterly assessment and reallocation
$
06/26/2014
Beaverton
$
(10)
03/26/2014
Wilshire Credit Corporation
(290)
$
12/23/2013
04/20/2009
217,685 Updated due to quarterly assessment and reallocation
$
03/25/2013
100,000 N/A
$
09/27/2012
$
(1)
06/28/2012
Financial Instrument for Home Loan Modifications
217,686 Updated due to quarterly assessment and reallocation
$
06/29/2011
Purchase
$
12/29/2014
VA
(1)
09/29/2014
Woodbridge
217,687 Updated due to quarterly assessment and reallocation
$
07/29/2014
Weststar Mortgage, Inc.
200,000 Transfer of cap due to servicing transfer
$
06/26/2014
09/30/2010
$
17,687
03/26/2014
3
200,000
12/23/2013
- N/A
$
03/25/2013
CA
$
09/27/2012
Hawthorne
04/13/2011
06/29/2011
Western Federal Credit Union
Financial Instrument for Home Loan Modifications
(2,607,017)
$
12/30/2009
Purchase
5,060,077,283 Transfer of cap due to servicing transfer
$
01/15/2015
04/13/2011
$
12/29/2014
$
(20,000)
12/16/2014
Financial Instrument for Home Loan Modifications
5,060,097,283 Transfer of cap due to servicing transfer
$
11/14/2014
Purchase
5,060,087,283 Updated due to quarterly assessment and reallocation
$
10/16/2014
CA
5,068,122,336 Transfer of cap due to servicing transfer
$
10,000
09/29/2014
Anaheim
$
(8,035,053)
$
09/16/2014
Wescom Central Credit Union
250,000
$
08/14/2014
06/19/2009
$
07/29/2014
$
(7,654)
$
06/12/2009
$
87,130,000
$
453,130,000 Updated portfolio data from servicer
09/30/2009
$
(249,670,000)
$
203,460,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
119,700,000
$
323,160,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
52,270,000
$
375,430,000 Updated portfolio data from servicer
04/19/2010
$
(10,280,000)
$
365,150,000 Transfer of cap due to servicing transfer
05/14/2010
$
(1,880,000)
$
363,270,000 Transfer of cap due to servicing transfer
06/16/2010
$
(286,510,000)
$
76,760,000 Transfer of cap due to servicing transfer
07/14/2010
$
19,540,000
$
96,300,000 Updated portfolio data from servicer
07/16/2010
$
(210,000)
$
96,090,000 Transfer of cap due to servicing transfer
08/13/2010
$
(100,000)
$
09/30/2010
$
68,565,782
$
164,555,782 Updated portfolio data from servicer
01/06/2011
$
(247)
$
164,555,535 Updated due to quarterly assessment and reallocation
03/30/2011
$
(294)
$
164,555,241 Updated due to quarterly assessment and reallocation
06/29/2011
$
(2,779)
$
164,552,462 Updated due to quarterly assessment and reallocation
216,945 Updated due to quarterly assessment and reallocation
144,461 Updated due to quarterly assessment and reallocation
136,807 Updated due to quarterly assessment and reallocation
95,990,000 Transfer of cap due to servicing transfer
108
$
2,010,000 Updated portfolio data from servicer
$
(1,810,000)
$
200,000 Updated portfolio data from servicer
$
235,167
$
435,167 Updated portfolio data from servicer
$
(1)
$
435,166 Updated due to quarterly assessment and reallocation
$
(4)
$
435,162 Updated due to quarterly assessment and reallocation
$
(3)
$
435,159 Updated due to quarterly assessment and reallocation
$
(7)
$
435,152 Updated due to quarterly assessment and reallocation
$
(1)
$
435,151 Updated due to quarterly assessment and reallocation
$
(5)
$
435,146 Updated due to quarterly assessment and reallocation
06/27/2013
$
(2)
$
435,144 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
435,143 Updated due to quarterly assessment and reallocation
12/23/2013
$
(1,174)
$
433,969 Updated due to quarterly assessment and reallocation
03/26/2014
$
(43)
$
433,926 Updated due to quarterly assessment and reallocation
06/26/2014
$
(507)
$
433,419 Updated due to quarterly assessment and reallocation
07/29/2014
$
(1,008)
$
432,411 Updated due to quarterly assessment and reallocation
09/29/2014
$
(333)
$
432,078 Updated due to quarterly assessment and reallocation
12/29/2014
23,831,570,000
1,360,000
03/25/2013
$
$
12/27/2012
Total Initial CAP
$
09/27/2012
240,000 N/A
$
06/28/2012
$
$
06/29/2011
Financial Instrument for Home Loan Modifications
60,000
01/06/2011
Purchase
350,000
09/30/2010
NC
$
07/14/2010
Elkin
$
03/26/2010
Yadkin Valley Bank
(162,895,068)
10/02/2009
12/30/2009
7
09/23/2009
10/19/2011
$
(33,311)
$
398,767 Updated due to quarterly assessment and reallocation
Total CAP Adjustments
Total CAP
$
$
300,000 Updated portfolio data from servicer/additional program initial cap
650,000 Updated portfolio data from servicer/additional program initial cap
5,961,220,195
$
1,657,394 Termination of SPA
29,792,790,195
1/
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.
2/
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.
3/
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.
4/
On 8/27/10, an amendment was executed to reflect a change in the legal name of the institution.
5/
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.
6/
The remaining Adjusted Cap stated above represents the amount paid to servicer prior to SPA termination.
7/
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.
8/
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.
9/
RBC Bank (USA) was merged with PNC Bank, NA, and the remaining Adjusted Cap stated above represents the amount previously paid to RBC Bank (USA) prior to such merger.
10/
On July 1, 2012, Saxon Mortgage Services, Inc. ceased servicing operations by selling its mortgage servicing rights and transferring the subservicing relationships to third-party servicers. The remaining Adjusted Cap stated above represents the amount previously paid to Saxon Mortgage Services, Inc. prior to ceasing servicing operations.
11/
As of July,3 2012, Aurora Loan Services LLC has discontinued its servicing function and sold all remaining servicing rights to Nationstar Mortgage. The remaining Adjusted Cap stated above represents the amount previously paid to Aurora Loan Services LLC, prior to ceasing servicing operations.
12/
Effective September 1, 2011 Litton Loan Servicing LP was acquired by Ocwen Financial Corporation. The remaining Adjusted Cap stated above represents the amount previously paid to Litton prior to such acquistion.
13/
In May 2010, U.S. mortgage servicing business HomEq was sold to Ocwen Loan Servicing. The remaining Adjusted Cap stated above represents the amount previously paid to HomEq prior to such sale.
14/
In December 2012, Ocwen Financial Corporation completed the acquisition of Homeward Residential, Inc. The remaining Adjusted Cap stated above represents the amount previously paid to Homeward prior to such acquisition.
Effective June, 2014, New Penn Financial LLC d/b/a Shellpoint Mortgage Servicing, a AAA servicer, completed the acquisition of Resurgent Mortgage Servicing, from Resurgent Capital Services L.P., also a AAA servicer. The Adjusted Cap of Resurgent Capital Services L.C. stated above represents the amount previously paid to Resurgent under their AAA obligati
pursuant to certain Servicer Participation Agreements prior to such acquisition
15/
* 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.
109
Supplemental Information [Not Required by EESA §114(a)]
Making Home Affordable Program
Non‐GSE Incentive Payments (through January 2015)
Name of Institution
21st Mortgage Corporation
Allstate Mortgage Loans & Investments, Inc
Ally Bank
Ameriana Bank
Aurora Financial Group, Inc
Aurora Loan Services LLC
Axiom Bank
Banco Popular de Puerto Rico
Bank of America, N.A.
Bank of America, National Association
BankUnited
Bayview Loan Servicing LLC
Caliber Home Loans, Inc.
California Housing Finance Agency
Carrington Mortgage Services, LLC
CCO Mortgage, a division of RBS Citizens NA
Central Florida Educators Federal Credit Union
Cheviot Savings Bank
CitiMortgage Inc
Citizens First National Bank
ClearSpring Loan Services, Inc.
Columbia Bank
Community Credit Union of Florida
CUC Mortgage Corporation
Desjardins Bank
DuPage Credit Union
EMC Mortgage Corporation
Borrowers
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
541,928.72
8,448.57
238,000.52
2,000.00
24,689.43
15,997,418.00
2,000.00
89,406.54
4,099,061.97
360,214,349.79
10,175,447.47
21,581,650.30
1,108,224.62
1,000.00
14,865,643.73
3,124,829.74
167,210.90
2,000.00
88,623,437.32
27,229.56
243,469.32
6,916.67
3,000.00
74,136.72
2,000.00
10,542.42
7,569,459.20
Lenders / Investors
$
$
$
$
1,557,217.02
12,145.57
808,434.59
4,737.00
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
41,236,849.69
7,784.51
91,944.69
17,843,110.01
749,915,730.69
31,150,493.30
47,479,302.48
2,940,045.27
36,150,597.87
7,065,757.06
265,260.74
1,766.60
291,893,099.19
67,847.26
513,223.48
16,239.11
4,631.53
188,313.50
6,501.92
35,114.81
11,592,937.05
Servicer
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
428,614.01
8,035.81
113,833.45
27,843.67
28,629,251.10
1,000.00
47,943.52
9,075,438.92
418,362,553.90
13,254,056.10
24,413,376.48
2,116,724.23
1,000.00
23,436,254.69
4,663,326.63
284,464.54
2,000.00
126,727,009.17
46,729.55
396,447.42
5,000.00
5,000.00
107,217.28
1,000.00
17,442.42
16,279,383.05
Total Payments to Date
$ 2,527,759.75
$ 28,629.95
$ 1,160,268.56
$
6,737.00
$ 52,533.10
$
85,863,518.79
$ 10,784.51
$ 229,294.75
$
31,017,610.90
$ 1,528,492,634.38
$
54,579,996.87
$
93,474,329.26
$ 6,164,994.12
$
2,000.00
$
74,452,496.29
$
14,853,913.43
$ 716,936.18
$
5,766.60
$ 507,243,545.68
$ 141,806.37
$ 1,153,140.22
$ 28,155.78
$ 12,631.53
$ 369,667.50
$
9,501.92
$ 63,099.65
$
35,441,779.30
110
Name of Institution
Fay Servicing, LLC
FCI Lender Services, Inc.
Fidelity Homestead Savings Bank
FIRST BANK
First Citizens Bank & Trust Company
First Keystone Bank
First Mortgage Corporation
Florida Community Bank, NA
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
Heartland Bank & Trust Company
Hillsdale County National Bank
Home Loan Services, Inc.
Home Servicing, LLC
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, N.A.
Borrowers
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
3,765,765.41
42,909.09
7,000.00
1,232,436.46
916.67
2,775.62
2,916.67
6,750.00
342,554.37
1,750.00
3,833.34
4,000.00
63,408,473.29
15,229.10
100,261.83
5,765,160.58
118,559.94
916.67
5,396.21
39,968.62
169,857.80
12,283.72
1,916.66
51,759,481.72
11,181.80
9,000.00
30,333.34
27,648.42
14,047.18
366,557,852.72
Lenders / Investors
$
$
$
$
$
$
9,754,341.46
95,333.70
14,231.24
2,486,223.45
3,423.27
$
$
$
$
$
$
$
$
$
$
7,586.75
658,317.58
3,864.59
13,204.31
2,473.84
148,797,390.88
27,528.13
199,557.04
43,076,397.69
272,808.39
$
$
$
$
$
$
$
$
$
$
$
$
15,309.00
52,453.78
2,440,767.73
26,379.48
3,036,319.34
5,572.90
133,893,684.23
23,725.70
10,502.00
23,589.08
55,965.93
31,734.43
$
1,057,448,980.00
Servicer
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
3,150,968.06
44,612.38
15,400.00
1,612,638.14
8,717.90
3,000.00
7,000.00
743,023.67
4,000.00
7,916.67
6,000.00
97,315,303.55
23,095.76
117,518.91
14,755,377.01
102,552.48
1,000.00
4,812.88
57,400.46
3,698,606.99
12,783.72
5,272,500.00
5,833.34
94,837,607.23
13,169.53
15,000.00
16,000.00
41,200.00
32,025.20
15,323.00
454,779,113.64
Total Payments to Date
$
16,671,074.93
$ 182,855.17
$ 36,631.24
$ 5,331,298.05
$ 916.67
$ 14,916.79
$
5,916.67
$ 21,336.75
$ 1,743,895.62
$
9,614.59
$ 24,954.32
$ 12,473.84
$ 309,521,167.72
$ 65,852.99
$ 417,337.78
$
63,596,935.28
$ 493,920.81
$
1,916.67
$ 25,518.09
$ 149,822.86
$ 6,309,232.52
$ 51,446.92
$ 8,308,819.34
$ 13,322.90
$ 280,490,773.18
$ 48,077.03
$ 25,502.00
$ 48,589.08
$ 127,499.27
$ 91,408.05
$ 29,370.18
$ 1,878,785,946.36
111
Name of Institution
Kondaur Capital Corporation
Lake City Bank
Lake National Bank
LenderLive Network, Inc
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
Mortgage Investors Group
National City Bank
Nationstar Mortgage LLC
Navy Federal Credit Union
New Penn Financial, LLC dba Shellpoint Mortgage Ser
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
PHH Mortgage Corporation
Plaza Home Mortgage, Inc
PNC Bank, National Association
Purdue Federal Credit Union
Quantum Servicing Corporation
Borrowers
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2,833.33
11,576.89
3,000.00
13,833.34
13,441,220.42
46,257.50
354,221.03
352,195.77
9,687.97
16,479,337.80
1,000.00
95,431.25
345,841.21
229,982.78
4,916.67
5,799,266.35
78,254,733.25
934,769.48
738,576.09
13,344.17
273,152,047.92
64,335,902.92
22,764.14
11,000.00
7,417.47
8,345,496.77
71,849.07
4,916.67
243,375.13
3,000.00
133,393.34
Lenders / Investors
$
$
$
$
$
$
$
$
11,065.27
13,190.09
3,651.45
64,558.57
35,353,125.99
50,465.44
1,332.31
970,196.74
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2,168,157.12
1,817.60
243,654.27
2,305,003.00
362,203.41
14,337,603.50
219,454,658.63
2,369,096.50
1,453,347.42
34,310.37
3,568.11
1,029,955,099.32
220,489,195.63
43,463.09
23,936.55
12,005.34
28,300,031.58
99,704.37
1,402,541.96
2,915.88
332,061.47
Servicer
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
16,400.00
23,196.44
4,000.00
7,000.00
27,530,413.93
62,087.67
356,395.23
839,632.77
10,649.38
18,569,838.93
2,000.00
127,981.25
1,977,320.74
400,910.50
2,916.67
8,137,949.19
100,683,542.70
1,619,106.24
568,065.39
22,003.56
6,500.00
344,697,065.67
88,406,363.86
51,817.74
19,000.00
28,506.84
10,989,082.04
58,481.32
3,000.00
634,250.00
4,000.00
179,984.09
Total Payments to Date
$ 30,298.60
$ 47,963.42
$ 10,651.45
$ 85,391.91
$
76,324,760.34
$ 158,810.61
$ 711,948.57
$ 2,162,025.28
$ 20,337.35
$
37,217,333.85
$
4,817.60
$ 467,066.77
$ 4,628,164.95
$ 993,096.69
$
7,833.34
$
28,274,819.04
$ 398,392,934.58
$ 4,922,972.22
$ 2,759,988.90
$ 69,658.10
$ 10,068.11
$ 1,647,804,212.91
$ 373,231,462.41
$ 118,044.97
$ 53,936.55
$ 47,929.65
$
47,634,610.39
$ 230,034.76
$
7,916.67
$ 2,280,167.09
$
9,915.88
$ 645,438.90
112
Name of Institution
Quicken Loans, Inc.
Residential Credit Solutions, Inc.
Resurgent Capital Services L.P.
RG Mortgage
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
Seneca Mortgage Servicing LLC
Servis One, Inc., dba BSI Financial Services, Inc.
ShoreBank
Silver State Schools Credit Union
SN Servicing Corporation
Specialized Loan Servicing LLC
Statebridge Company, LLC
Sterling Savings Bank
SunTrust Mortgage, Inc
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
ViewPoint Bank
Wachovia Mortgage, FSB
Webster Bank, N.A.
Wells Fargo Bank, N.A.
Wescom Central Credit Union
Borrowers
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
8,000.00
3,234,598.57
708,326.40
164,852.94
363,275.73
3,745,180.19
19,655,074.77
31,166.70
639,516.44
121,500,225.87
559,137.62
59,054.33
2,766,487.85
49,915.10
40,355.90
7,910.04
14,004,427.48
41,093.71
252,333.82
75,371.67
67,000.00
13,316.16
449,413.07
18,441,354.91
2,916.67
50,157.27
186,613.62
5,000.00
334,955,968.68
316,759.81
Lenders / Investors
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
8,422,096.55
1,696,730.62
227,582.28
816,171.89
7,622,878.34
41,738,413.24
70,242.73
816,231.53
254,633,364.42
618,991.28
258,611.03
5,647,426.28
153,906.17
176,298.89
8,714.87
29,767,523.05
148,721.11
529,320.83
2,366.96
236,656.01
17,666.53
1,299,912.37
40,467,457.37
2,651.90
90,822.75
372,314.91
1,440.86
76,889.58
884,430,635.40
893,690.82
Servicer
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
6,000.00
3,768,355.46
797,664.52
401,333.81
592,038.11
1,632,117.50
39,413,598.23
39,500.00
417,008.60
150,490,054.71
517,620.48
124,774.66
1,989,917.41
143,165.10
69,189.24
10,181.94
19,607,384.44
51,360.12
376,927.09
45,105.88
77,816.67
8,435.80
689,440.39
27,738,581.35
6,600.00
62,706.85
135,918.87
162,000.00
3,000.00
434,487,552.26
312,225.08
Total Payments to Date
$ 14,000.00
$
15,425,050.58
$ 3,202,721.54
$ 793,769.03
$ 1,771,485.73
$
13,000,176.03
$ 100,807,086.24
$ 140,909.43
$ 1,872,756.57
$ 526,623,645.00
$ 1,695,749.38
$ 442,440.02
$
10,403,831.54
$ 346,986.37
$ 285,844.03
$ 26,806.85
$
63,379,334.97
$ 241,174.94
$ 1,158,581.74
$ 122,844.51
$ 381,472.68
$ 39,418.49
$ 2,438,765.83
$
86,647,393.63
$ 12,168.57
$ 203,686.87
$ 694,847.40
$
1,440.86
$ 238,889.58
$
8,000.00
$ 1,653,874,156.34
$ 1,522,675.71
113
Name of Institution
Western Federal Credit Union
Wilshire Credit Corporation
Yadkin Valley Bank
Grand Total
Borrowers
$
$
$
25,166.68
35,884.13
$ 2,008,183,723.60
Lenders / Investors
$
$
$
60,546.23
490,394.10
38,039.46
$ 5,485,023,422.20
Servicer
$
$
$
22,916.67
1,167,000.00
50,372.98
$ 2,636,627,772.83
Total Payments to Date
$ 108,629.58
$ 1,657,394.10
$ 124,296.57
$
10,129,834,918.63
114
Housing Finance Agency Innovation Fund for the Hardest Hit Housing Markets
Hardest Hit Funds (HHF) Program
Seller
Note
Date
2
Investment Amount
Additional
1
Investment Amount
$
194,026,240
102,800,000
Transaction
Type
NV
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
-
$
34,056,581
Purchase
Financial Instrument for HHF Program
-
$
57,169,659
Purchase
Financial Instrument for HHF Program
9/23/2010
3
City
State
Purchase
Name of Institution
9/29/2010
6/23/2010 Nevada Affordable Housing Assistance Corporation
6/23/2010 CalHFA Mortgage Assistance Corporation
Reno
Sacramento
CA
Investment Description
Initial Investment
Amount
$
$
-
699,600,000
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
Purchase
Financial Instrument for HHF Program
N/A
$
1,975,334,096
799,477,026
6/23/2010 Florida Housing Finance Corporation
Tallahassee
FL
$
-
418,000,000
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
N/A
$
1,057,839,136
400,974,381
6/23/2010 Arizona (Home) Foreclosure Prevention Funding Corporation
Phoenix
AZ
3
9/29/2010
Purchase
Financial Instrument for HHF Program
2
9/23/2010
Purchase
9/29/2010
Purchase
Purchase
Financial Instrument for HHF Program
8/3/2010
North Carolina Housing Finance Agency
Lansing
Raleigh
MI
NC
$
$
$
N/A
$
267,766,006
128,461,559
215,644,179
154,500,000
-
-
159,000,000
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
Purchase
Financial Instrument for HHF Program
$
498,605,738
Ohio Homeowner Assistance LLC
Columbus
OH
$
-
172,000,000
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
N/A
$
482,781,786
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
Purchase
Financial Instrument for HHF Program
N/A
$
570,395,099
249,666,235
8/3/2010
Oregon Affordable Housing Assistance Corporation
Salem
OR
$
88,000,000
-
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
N/A
$
220,042,786
82,748,571
8/3/2010
2
Providence
RI
9/23/2010
3
Rhode Island Housing and Mortgage Finance Corporation
9/29/2010
8/3/2010
Purchase
SC Housing Corp
Columbia
SC
Financial Instrument for HHF Program
-
43,000,000
-
$
$
$
N/A
$
79,351,573
22,780,803
138,000,000
-
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
N/A
$
295,431,547
98,659,200
9/23/2010 Alabama Housing Finance Authority
3
9/29/2010
3
9/29/2010
3
9/29/2010
AL
9/29/2010
3
Montgomery
9/23/2010 Kentucky Housing Corporation
9/23/2010 Mississippi Home Corporation
9/23/2010 GHFA Affordable Housing, Inc.
Frankfort
Jackson
Atlanta
KY
MS
GA
$
60,672,471
-
$
$
$
$
212,604,832
162,521,345
63,851,373
-
126,650,987
-
N/A
$
93,313,825
-
N/A
N/A
101,848,874
38,036,950
-
$
$
55,588,050
-
$
-
N/A
N/A
58,772,347
3
N/A
N/A
13,570,770
-
Financial Instrument for HHF Program
Purchase
$
N/A
N/A
49,294,215
3
N/A
N/A
148,728,864
3
N/A
N/A
202,907,565
8/3/2010
N/A
N/A
120,874,221
3
N/A
N/A
142,666,006
-
$
$
-
Financial Instrument for HHF Program
6/23/2010 Michigan Homeowner Assistance Nonprofit Housing Corporation
-
125,100,000
-
Financial Instrument for HHF Program
3
$
N/A
N/A
238,864,755
3
N/A
N/A
476,257,070
3
Pricing
Mechanism
N/A
N/A
$
148,901,875
N/A
N/A
$
101,888,323
N/A
N/A
$
339,255,819
N/A
N/A
115
9/23/2010 Indiana Housing and Community Development Authority
3
3
3
9/23/2010 Tennessee Housing Development Agency
9/29/2010
9/23/2010 New Jersey Housing and Mortgage Finance Agency
9/23/2010 District of Columbia Housing Finance Agency
Washington
Nashville
NJ
DC
TN
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Trenton
IL
Financial Instrument for HHF Program
Purchase
Chicago
Financial Instrument for HHF Program
Purchase
9/29/2010
9/23/2010 Illinois Housing Development Authority
Purchase
Purchase
9/29/2010
3
IN
9/29/2010
3
Indianapolis
9/29/2010
Financial Instrument for HHF Program
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
$
82,762,859
-
$
188,347,507
$
12,970,520
$
136,187,333
-
7,726,678
-
$
$
81,128,260
-
221,694,139
279,250,831
112,200,637
-
$
$
$
138,931,280
166,352,726
-
$
$
TOTAL INVESTMENT AMOUNT
N/A
N/A
$
445,603,557
N/A
N/A
$
300,548,144
N/A
N/A
$
20,697,198
N/A
N/A
$
217,315,593
$
7,600,000,000
N/A
N/A
1/ The purchase will be incrementally funded up to the investment amount.
2/ On 9/23/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.
3/ On 9/29/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.
116
FHA SHORT REFINANCE PROGRAM
Seller
Footnote
Date
Name
1
9/3/2010 Citigroup, Inc.
2
3/4/2013
City
New York
State
Transaction
Type
NY
Purchase
Initial Investment
Amount
Investment Description
Facility Purchase Agreement
$
Investment
Adjustments
-
8,117,000,000
-
$
Investment Amount
$
1,025,000,000
$
N/A
1,025,000,000
N/A
(7,092,000,000)
TOTAL INVESTMENT AMOUNT
Pricing Mechanism
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 mortgages refinanced under the FHA Short Refinance program during the eligibility period. After 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 could incur fees for the availability and usage of the L/C up to a maximum amount of $117 million.
2/ On March 4, 2013, the U.S. Department of the Treasury and Citibank, N.A. entered into Amendment No. 1 to the L/C Facility Agreement, which reduced the maximum amount of the L/C from $8 billion to $1 billion; extends by two years the period of
time Treasury has to increase the L/C to cover new loans that are entered into the program; and modified the fee structure paid to Citibank, N.A. Based on this new fee structure and the lower L/C, Treasury expects that the fees incurred for the
availability and usage of the L/C will not exceed $25 million.
117
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Projected Costs and Liabilities [Section 105(a)(3)(E)]
For Period Ending January 31, 2015
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.
118
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Programmatic Operating Expenses [Section 105(a)(3)(F)]
For Period Ending January 31, 2015
Type of Expense
Amount
Compensation for financial agents
and legal firms
$1,130,789,838
119
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Description of Vehicles Established [Section 105(a)(3)(H)]
For Period Ending January 31, 2015
Date
Vehicle
Description
None
120
HAMP Application Activity by Servicer 1
As of December 2014
Servicer Name
Bank of America, NA
BankUnited
Bayview Loan Servicing, LLC
Carrington Mortgage Services, LLC
CCO Mortgage, a division of RBS Citizens NA
CitiMortgage Inc
Green Tree Servicing LLC
JPMorgan Chase Bank, NA
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
PNC Mortgage6
Residential Credit Solutions, Inc.
Select Portfolio Servicing, Inc.
Specialized Loan Servicing LLC
U.S. Bank National Association
Wells Fargo Bank, NA
Other Servicers7
TOTAL
# Requests
Received 2
12,676
30
1,454
510
419
4,503
575
6,051
8,399
178
14,975
175
5
218
12
319
288
5,065
2,071
1,701
7,173
66,797
Activity in December 2014
# Requests
# Requests
3
Processed
Approved 4
11,773
548
20
14
347
89
853
81
392
20
2,478
321
1,146
417
2,968
711
9,055
2,004
140
17
15,339
4,524
221
51
5
249
65
32
47
315
298
18
1,661
4,150
754
183
2,070
169
8,346
1,260
60,951
12,200
# Requests
Denied 5
11,225
6
258
772
372
2,157
729
2,257
7,051
123
10,815
170
5
184
32
268
280
2,489
571
1,901
7,086
48,751
# Requests
Received 2
1,445,869
9,982
42,303
86,623
32,242
553,129
103,350
1,575,030
480,510
12,295
880,024
384,986
634
21,181
1,143
44,138
20,239
196,006
70,353
137,566
1,473,081
170,842
7,741,526
Program-to-Date
# Requests
# Requests
3
Processed
Approved 4
1,432,059
581,357
9,700
4,802
40,739
13,121
85,708
25,122
31,828
6,367
541,485
230,266
101,461
39,978
1,551,621
446,882
469,573
99,633
12,091
2,241
825,369
125,555
384,626
102,854
634
53
20,889
5,821
1,086
58
44,102
28,134
20,137
2,222
181,420
106,636
67,582
11,912
136,248
45,110
1,461,586
431,536
170,842
106,111
7,590,786
2,415,771
# Requests
Denied 5
850,702
4,898
27,618
60,586
25,461
311,219
61,483
1,104,739
369,940
9,850
699,814
281,772
581
15,068
1,028
15,968
17,915
74,784
55,670
91,138
1,030,050
64,731
5,175,015
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 is not
separately validated by Treasury. Servicers regularly perform evaluation and refinement of reporting, which can lead to updating of Program-to-Date results.
In 2013, the Bureau of Consumer Financial Protection (CFPB) issued new mortgage servicing rules under the Real Estate Settlement Procedures Act (Regulation X). These rules, which became effective on January 10, 2014, may impact servicer
processes for evaluation of requests for assistance under MHA. As a result, servicers’ reporting of Requests Received, Requests Processed, and Requests Denied (defined below) may include all mortgage modification requests. Previously, servicer
reporting for these categories included only requests that met basic HAMP eligibility criteria. Due to the ongoing implementation of the mortgage servicing rules and refinement of reporting, some servicers have updated Program-to-Date results to
better reflect HAMP Application Activity.
From time to time, a servicer's current month's cumulative results may not equal the sum of that servicer's prior month's cumulative results and current month's activity; this may be due to servicing transfers or servicer corrections to prior reporting.
Note that Requests Processed, Requests Approved, and Requests Denied in any given month may be related to Requests Received in prior months.
2 "Requests Received" is the total number of mortgage modification requests received, as reported by servicers. Cumulative Requests Received include all mortgage modification requests received since implementation of Supplemental Directive 1002, effective June 1, 2010, and any requests that were approved for a trial modification prior to implementation of such guidance. As noted in Footnote 1 above, some servicers may include all mortgage modification requests received, whereas they
previously included only requests that met basic HAMP eligibility criteria.
3
"Requests Processed" is the sum of Requests Approved and Requests Denied, defined below.
"Requests Approved" is the total number of mortgage modification requests approved for a trial modification under HAMP and trial offers sent to the borrowers, as reported by servicers. 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.
4
5 "Requests Denied" is the total number of mortgage modification requests not approved for a trial modification under HAMP and the decision communicated to the borrower by the servicer in accordance with program guidance, as reported by
servicers. Cumulative Requests Denied include all mortgage modification requests denied and communicated to the borrower by the servicer since implementation of Supplemental Directive 10-02, effective June 1, 2010; servicers do not report
Requests Denied prior to then as relevant data is incomplete. Figures include HAMP mortgage modification requests denied due to insufficient documentation, failure to meet basic eligibility criteria, and/or other reasons.
6
Formerly National City Bank.
Includes servicers that are no longer actively participating in the survey process or those 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).
7
@FedFRASER