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MONTHLY REPORT TO CONGRESS
DECEMBER 2014
January 12, 2015
Troubled Asset Relief Program
U.S. Department of the Treasury
TABLE OF CONTENTS
Highlights in December ............................................................................................................................................................................1
Auto Industry Financing Program ............................................................................................................................................................2
Ally Financial Inc. .................................................................................................................................................................................2
Bank Support Programs ...........................................................................................................................................................................3
Capital Purchase Program ...................................................................................................................................................................3
Community Development Capital Initiative ...........................................................................................................................................5
Housing Programs ...................................................................................................................................................................................6
Making Home Affordable ......................................................................................................................................................................6
Hardest Hit Fund ..................................................................................................................................................................................8
Lifetime Costs ........................................................................................................................................................................................10
Treasury Estimates of the Impact of TARP Programs and AIG Investments on the Federal Budget ................................................12
Appendix Table of Contents ...................................................................................................................................................................14
HIGHLIGHTS IN DECEMBER
In December 2014, Treasury marked a significant milestone in the
wind-down of the emergency financial crisis response programs
created to combat the 2008 financial crisis. On December 19,
2014, Treasury announced that it had sold its remaining stake of
Ally Financial Inc. (Ally) common stock. Treasury’s investment in
Ally (formally GMAC) was the last remaining Auto Industry
Financing Program (AIFP) investment – recovering $19.6 billion
on the original $17.2 billion investment. The government’s actions
stabilized the auto industry, helped the economy recover from the
financial crisis, and saved more than one million American jobs,
according to independent estimates.
Also in December, Treasury announced enhancements to Making
Home Affordable to better assist struggling homeowners and
communities still recovering from the effects of the financial crisis.
The enhancements were designed to motivate homeowners in
MHA to continue making their mortgage payments on-time,
strengthen the safety net for those facing continuing financial
hardships, and help homeowners in MHA programs build equity in
their homes, an important factor in stabilizing neighborhoods.
Disposition of TARP Funds as of December 31, 2014
500
billion
dollars
Obligated
Principal
Total Cash
Back
Disbursed Repayments Outstanding
400
300
200
100
0
Housing
Credit
Banks
Autos
AIG
Non TARP AIG Cash Back
1
AUTO INDUSTRY FINANCING PROGRAM
ALLY FINANCIAL INC.
The Automotive Industry Financing Program (AIFP) was launched in December 2008 to prevent the uncontrolled liquidation of
Chrysler and General Motors (GM) and the collapse of the U.S. auto industry. The potential for such a disruption at that time posed a
significant risk to financial market stability and threatened the overall economy. Under AIFP, Treasury also invested a total of $17.2
billion of TARP funds in Ally Financial (Ally). Founded as GM's captive finance subsidiary in 1919, Ally (formerly GMAC) has been the
primary source of financing for GM's dealers and consumers for over 90 years. Treasury determined that without government
assistance, Ally would have been forced to suspend financing lines to creditworthy dealerships, leaving them unable to purchase
automobile inventory for their lots. Without dealer orders for cars, GM would have been forced to slow or shut down its factories
indefinitely to match the drop in demand. Given its significant overhead, a slow-down or stoppage in production of this magnitude
would have toppled GM.
Beginning in 2011, Ally executed a substantial restructuring plan. The company sold its international operations for more than $9
billion and addressed legacy mortgage liabilities. In November 2013 Ally returned $5.9 billion to taxpayers after the company
repurchased all of the Mandatory Convertible Preferred shares Treasury received in return for providing assistance to Ally during the
financial crisis.
Between January and October 2014, Treasury sold more than 122 million shares of Ally common stock through a series of
transactions that included a private offering, an initial public offering (IPO), and two pre-defined written trading plans, for proceeds of
approximately $6 billion. On December 18, 2014, Treasury sold all of its remaining 54.9 million shares of Ally common stock for
$23.25 per share, recovering $1.3 billion. In total, Treasury recovered $19.6 billion on its investment, roughly $2.4 billion more than
the original $17.2 billion investment in Ally. For more information, see Treasury’s press release,
http://www.treasury.gov/initiatives/financial-stability/news-room/news/Pages/treasury-sells-ally.aspx.
Following this transaction, Treasury has fully wound down its equity investments through the Automotive Industry Financing Program.
2
BANK SUPPORT PROGRAMS
CAPITAL PURCHASE PROGRAM
Treasury created the Capital Purchase Program (CPP) in October 2008 to help stabilize the financial system by providing capital to
viable banking institutions of all sizes throughout the nation. The CPP Snapshot shows the cumulative CPP activity from the program
since its inception. As of December 31, 2014, $226.4 billion in total CPP proceeds have been collected. Today, every dollar
recovered from CPP participants represents an additional positive return for taxpayers. In addition to its CPP investments, Treasury
continues to hold outstanding investments in Community Development Financial Institutions through the Community Development
Capital Initiative.
CPP SNAPSHOT
707
254
SBLF Repayments
137
$200
CDCI Conversions
Sold Investments
Auctioned Investments
In Bankruptcy/Receivership
28
33
185
32
$150
Merged Institutions
Total Remaining Institutions
Partial Repayments
Currently in Common 2
1
2
Total CPP Proceeds 1
Total Institutions Funded
Full Repayments
4
34
0
2
$226.4 billion
$196.41
$100
$50
$3.03
$19.01
$7.97
$Repayments
Auctions
Total
Dividends,
Interest &
Other Income
Warrant
Income
Repayments: Actual collections as of December 31, 2014, 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 December 31, 2014.
Warrant Income: Net Proceeds. Includes proceeds from exercised warrants.
Institutions where Treasury has converted its original investment at a discount into shares of common stock in the institution.
3
SALES & DISPOSITIONS
•
On December 5, Treasury completed its first pre-defined written trading plan for First BanCorp common stock. Treasury sold 4.4
million shares and recovered approximately $22.1 million under the plan. On December 11, Treasury announced that it would
continue to wind down its investment in First BanCorp by selling additional shares of common stock through a second pre-defined
written trading plan. After completion of the first pre-defined written trading plan, Treasury held 15.3 million shares, or
approximately 7.2 percent of First BanCorp common stock.
•
On December 10, 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.
DIVIDENDS AND INTEREST
•
In December, Treasury received dividends and interest income from CPP investments of $1.3 million. As of December 31, 2014,
cumulative dividends, interest and fee income received from CPP investments total $12.1 billion.
TOP 10 REMAINING CPP INSTITUTIONS
1
2
3
4
5
6
7
8
9
10
Institution
First BanCorp 3
Location
San Juan, PR
U.S. Century Bank
Chambers Bancshares, Inc.
OneFinancial Corporation
Liberty Shares, Inc.
Broadway Financial Corporation 4
Suburban Illinois Bancorp, Inc.
Tidelands Bancshares, Inc.
HCSB Financial Corporation
OneUnited Bank
Miami, FL
Danville, AR
Little Rock, AR
Hinesville, GA
Los Angeles, CA
Elmhurst, IL
Mount Pleasant, SC
Loris, SC
Boston, MA
Amount Outstanding (millions)
$
185.7
$
$
$
$
$
$
$
$
$
50.2
19.8
17.3
17.3
15.0
15.0
14.4
12.9
12.1
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.
4
COMMUNITY DEVELOPMENT CAPITAL INITIATIVE
In order to provide lower-cost capital to community development financial institutions, Treasury established the Community
Development Capital Initiative (CDCI). In total, Treasury invested approximately $570 million in 84 community development financial
institutions, which included approximately $363 million exchanged by 28 financial institutions from the Capital Purchase Program.
There are currently 65 institutions remaining in the program with $457.0 million in investment outstanding. Treasury has not taken
any specific action to date to wind down the CDCI, however, some institutions have repaid Treasury’s investments.
REPAYMENTS AT PAR
•
On December 17, The Magnolia State Corporation repurchased part of its outstanding CDCI investment from Treasury for total
proceeds of $3.7 million. Treasury continues to hold $4.2 million in outstanding CDCI investment in The Magnolia State
Corporation.
•
On December 31, Liberty County Teachers Federal Credit Union repurchased part of its outstanding CDCI investment from
Treasury for total proceeds of $87,000. Treasury continues to hold $261,000 in outstanding CDCI investment in Liberty County
Teachers Federal Credit Union.
•
On December 31, Self-Help Federal Credit Union repurchased all of its outstanding CDCI investment from Treasury for total
proceeds of $1.0 million.
5
7 HOUSING
PROGRAMS
MAKING HOME AFFORDABLE
8
ENHANCEMENTS
On December 4, 2014 Treasury and the U.S. Department of Housing and Urban Development (HUD) announced enhancements to
programs under Making Home Affordable (MHA) to better assist struggling homeowners and communities still recovering from the
effects of the financial crisis. The enhancements increased pay-for-performance incentives for homeowners in the Home Affordable
Modification Program® (HAMP), enabling them to earn up to $10,000 over the first six years of their modification, to be applied to
their outstanding principal balance. In addition, in an effort to bolster the safety net for homeowners who face difficulty making their
payments even after a modification, Treasury and HUD introduced enhancements to two other MHA programs -- HAMP Tier 2 and
the Home Affordable Foreclosure Alternatives® (HAFA) Program. For more information, please see Treasury’s press release:
http://www.treasury.gov/press-center/press-releases/Pages/jl9714.aspx.
PROGRAM UPDATE
In total 5, more than 2.2 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. For more information about Treasury’s housing programs, please visit: http://www.treasury.gov/initiatives/financialstability/TARP-Programs/housing/Pages/default.aspx.
5
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
6
7
8
7
7 HARDEST HIT FUND
8 The Hardest Hit Fund provides $7.6 billion to 18 states and the District of Columbia to provide assistance to struggling homeowners
through locally tailored programs administered by each respective housing finance agency (HFA). These states were chosen
because they experienced steep home price declines or severe unemployment in the economic downturn. HFAs offer a number of
different programs to help homeowners, including mortgage payment assistance, reinstatement, principal reduction, modification
assistance, short sale/transition assistance, note purchase and modification, and blight elimination. As of December 31, 2014, the 19
HFAs have drawn a total of $5.0 billion.
•
There are now 73 active programs across the 19 HFAs. Approximately 67 percent of total program funds are targeted to helping
unemployed borrowers, primarily through reinstatement and programs that help homeowners pay their mortgage while looking for
work.
•
Treasury continues to work to identify best practices, share lessons learned, and provide additional assistance and oversight to
the HFAs. It also hosts biweekly calls with servicers and HFAs to identify operational barriers.
•
In December, Mississippi and Ohio made changes to their programs. Mississippi expanded its eligible hardships to allow
Mississippi residents receiving unemployment benefits from another state to qualify for Home Saver assistance. Ohio reallocated
program funds.
•
Three HFAs drew a total of $140 million in November. Over the life of the program, the 19 HFAs have drawn a total of $5.0 billion.
Each HFA draws down funds as they are needed (See Hardest Hit Fund as of December 31, 2014 chart). HFAs have until
December 31, 2017 to expend funds, and must have no more than five percent of their allocation on hand before they can draw
additional funds.
•
Treasury continues to publish the Hardest Hit Fund Quarterly Performance Summary containing performance data and trends,
key economic and loan performance indicators, and brief program descriptions for each HFA. The Hardest Hit Fund Quarterly
Performance Summary is available at http://www.treasury.gov/initiatives/financial-stability/reports/Pages/HHF.aspx. Each HFA
also submits a quarterly report on the progress of its programs. Direct links to each HFA’s most recent performance report can be
found at http://www.treasury.gov/initiatives/financial-stability/programs/housing-programs/hhf/Pages/default.aspx.
8
7 HARDEST HIT FUND AS OF DECEMBER 31, 2014
8
State (% Cap Disbursed)
Alabama (24.6%)
Arizona (58.2%)
$0
$500,000,000
$155,761,536
$1,217,490,000
$18,234,860
Florida (56.4%)
Georgia (42.6%)
$596,250,000
$144,408,000
Illinois (80.8%)
Indiana (49.9%)
Kentucky (69.8%)
$360,000,000
$110,677,656
$104,000,000
Michigan (61%)
Mississippi (54.8%)
$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
Ohio (83.7%)
Oregon (100%)
Rhode Island (100%)
South Carolina (55%)
Tennessee (81.6%)
$2,000,000,000
$40,000,000
California (61.6%)
Washington D.C. (88.1%)
$1,500,000,000
$1,000,000,000
$477,168,583
$220,042,786
$79,351,573
$162,500,000
$177,315,593
Paid to Date (Amount Shown)
Remaining Allocation
9
LIFETIME COSTS
The true cost of the financial crisis will always be measured in the
human suffering and economic damage it caused – the jobs that
were lost, the businesses that were closed, and the college
educations or retirements that were deferred. However, the fiscal
cost of TARP is also important.
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 $426.7 billion has been disbursed under TARP. As of
December 31, 2014, cumulative collections under TARP, together
with Treasury’s additional proceeds from the sale of non-TARP
shares of AIG 6, have exceeded total disbursements by $15.0 billion 7.
Treasury estimates that the combined overall cost of TARP will be
approximately $37.5 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.
The DTU is updated after every business day. To see how Treasury
has invested and recovered TARP funds over time, please visit the
interactive TARP Tracker at:
http://www.treasury.gov/initiatives/financialstability/reports/Pages/TARP-Tracker.aspx.
6
7
For more information, see note 10 to the Daily TARP Update:
http://www.treasury.gov/initiatives/financial-stability/reports/Pages/daily-tarp-reports.aspx.
Treasury is continuing to disburse funds related to its housing programs, and continuing to
recoup its outstanding investments. For the latest lifetime cost estimates, please see the
chart on page 12: Treasury Estimates of the Impact of TARP Programs and AIG
Investments on the Federal Budget.
Cumulative TARP Disbursements and Cumulative
TARP Cash Back (together with Treasury's additional
proceeds from AIG shares)
500
billion
dollars
400
300
200
100
0
Oct Apr Oct Apr Oct Apr Oct' Apr Oct Apr Oct Apr Oct
'08 '09 '09 '10 '10 '11 11 '12 '12 '13 '13 '14 '14
10
7 The Treasury Estimates of the Impact of TARP Programs and AIG Investments on the Federal Budget chart provides for each
8 program within TARP the amount obligated, the amount disbursed, the outstanding balance, and the estimated lifetime cost.
Estimated lifetime cost represents Treasury’s best estimate of what the program will ultimately cost the taxpayer. This chart also
shows the estimated lifetime cost of the additional investment by Treasury in AIG separate and apart from the TARP investment.
This chart utilizes the methodology that OFS has consistently used to estimate lifetime costs including the requirement to use a
discount rate that reflects market risk as required by the Emergency Economic Stabilization Act of 2008 (EESA) for future cash
flows. Over time, market conditions and the performance of specific investments will be critical determinants of TARP’s lifetime cost.
The methodology used adheres to government budgeting guidance and includes investments and other disbursements expected to
be made in the future. It also includes assumptions regarding future events, which are inherently uncertain. These estimates do not
necessarily reflect official Administration budgetary estimates of the deficit impact of TARP and may differ from the official estimates
presented in the President’s Budget, the Midsession Review of the Budget, and the report required in 2013 under Section 134 of
EESA.
11
7
8
TREASURY ESTIMATES OF THE IMPACT OF TARP PROGRAMS AND AIG INVESTMENTS ON THE FEDERAL BUDGET
Programs
as of December 31, 2014
Estimated
Lifetime Cost as
of
Outstanding
Investment
Balance as of
December 31
Obligation/
Commitment
Disbursed as of
December 31
$
$
$
$
$
$
$
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
$
$
$
$
$
$
$
0.17
0.28
0.46
0.46
$
$
$
$
$
$
$
(6.89)
(10.23)
0.97
(16.15)
(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)
American International Group (AIG):
Preferred Stock
Common Stock
Total
$
$
$
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
$
-
$
12.27
Sub-total for Investment Programs
$
417.08
$
411.72
$
0.91
$
0.07
Making Home Affordable
Hardest Hit Fund
FHA-Refinance4
Sub-total for Housing Programs
$
$
$
29.79
7.60
1.03
$
$
$
9.92
4.98
0.06
n/a
n/a
n/a
$
$
$
29.79
7.60
0.03
$
38.42
$
14.96
n/a
$
37.42
$
455.50
$
426.68
0.91
$
37.49
n/a
$
(17.55)
0.91
$
19.93
(dollar amounts in billions)
Bank Support Programs:
Capital Purchase Program (CPP):
Citigroup
Other banks with assets $10 billion or greater
Banks with assets less than $10 billion2
Total
Targeted Investment Program (TIP)
Asset Guarantee Program (AGP)3
Community Development Capital Initiative (CDCI)
1
September 30
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:
Total for TARP Programs
Additional AIG Common Shares Held by Treasury5
Total for TARP Programs and Additional AIG Shares
n/a
$
455.50
$
n/a
$
426.68
$
12
7 Footnotes to Treasury Estimates of the Impact of TARP Programs and AIG Investments on the Federal Budget
81
Lifetime cost information is as of September 30, 2014. Estimated lifetime cost figures shown above are currently updated quarterly in conjunction
with the Office of Management and Budget.
2
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.
3
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.
4
In March 2013, Treasury extended the letter of credit facility to provide coverage for loans refinanced throughout the eligibility period, which had
been extended to December 2014, but reduced the amount from $8 billion to $1 billion. Treasury believes this lower amount will be sufficient to
accommodate any increased usage that could result through the close of the program. The figures in this line include administrative expenses
associated with the letter of credit facility.
5
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.
13
APPENDIX TABLE OF CONTENTS
Section
Statutory Requirement 8
CPP Institutions
Additional Information
15
Administrative Obligations and Expenditures
EESA §105(a)(2)
17
Agreements under TARP
EESA §105(a)(3)(A)
18
Insurance Contracts
EESA §105(a)(3)(B)
24
Transactions Report
EESA §105(a)(3)(C,D,G)
25
Page
Investment Programs
25
Home Affordable Modification Program
73
Projected Costs and Liabilities
EESA §105(a)(3)(E)
125
Programmatic Operating Expenses
EESA §105(a)(3)(F)
126
Description of Vehicles Established
EESA §105(a)(3)(H)
127
HAMP Application Activity by Servicer
Dodd-Frank §1483(b)
8
§105(a)(1) is covered by the body of this report. EESA (Emergency Economic Stabilization Act of 2008). Dodd-Frank (Dodd-Frank Wall Street Reform and
Consumer Protection Act).
14
Troubled Asset Relief Program
Capital Purchase Program Institutions
As of December 31, 2014
A. Remaining CPP Portfolion Institutions
B. Institutions Entered into Bankruptcy/Receivership - Realized Loss/Write-Off
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.
City National Bancshares Corporation
Harbor Bankshares Corporation
Liberty Bancshares, Inc.
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.
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
Fort Worth, TX
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
Public/P
rivate
Public
Private
Private
Private
Private
Public
Private
Public
Public
Private
Public
Private
Private
Public
Private
Public
Public
Private
Public
Private
Private
Private
Public
Private
Private
Public
Private
Public
Private
Private
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
$
6,500,000.00
$
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
15
Citizens Bank & Trust Company
Covington, LA
Private
$
2,400,000.00
Saigon National Bank
Westminster, CA
Public
$
1,549,000.00
Calvert Financial Corporation
Ashland, MO
Private
$
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. 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.
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
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
7/5/2013
8/12/2013
12/13/2013
1/31/2014
4/24/2014
10/17/2014
11/7/2014
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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
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
16
United States Department of the Treasury
Office of Financial Stability
Report of Administrative Obligations and Expenditures
For Period Ending
December 31, 2014
PERSONNEL SERVICES
NON-PERSONNEL
SERVICES
Budget
Object Class (BOC)
Budget Object Class Title
Obligations
1100, 1200 & 1300 PERSONNEL COMPENSATION & BENEFITS
$
137,546,070
PERSONNEL SERVICES Total: $
137,546,070
2100
TRAVEL & TRANSPORTATION OF PERSONS
$
2,563,530
2200
TRANSPORTATION OF THINGS
11,960
2300
RENTS, COMMUNICATIONS, UTILITIES & MISC CHARGES
718,717
2400
PRINTING & REPRODUCTION
459
2500
OTHER SERVICES
298,412,673
2600
SUPPLIES AND MATERIALS
2,117,467
3100
3200
4200
4300
EQUIPMENT
LAND & STRUCTURES
INSURANCE CLAIMS & INDEMNITIES
INTEREST & DIVIDENDS
NON-PERSONNEL SERVICES Total: $
GRAND TOTAL: $
246,603
634.00
304,072,043
441,618,112
For Period Ending
January 31, 2015
Expenditures
$
137,546,070
$
137,546,070
$
2,555,965
11,960
718,717
459
246,692,713
2,113,282
Projected
Obligations
$
138,620,000
$
138,620,000
$
2,578,000
12,000
720,000
500
302,156,000
2,159,000
Projected
Expenditures
$
138,608,000
$
138,608,000
$
2,571,000
12,000
720,000
500
249,189,000
2,155,000
246,603
634.00
252,340,333
247,000
634.00
307,873,134
247,000
634.00
254,895,134
$
$
389,886,403
$
$
446,493,134
$
$
393,503,134
Note: The amounts presented above are cumulative from the initiation of the TARP.
17
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Agreements Under TARP [Section 105(a)(3)(A)]
For Period December 2014
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
18
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
Sonnenschein Nath & Rosenthal LLP
Bingham McCutchen LLP
Haynes and Boone LLP
Mckee Nelson LLP
Cadwalader Wickersham & Taft 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
19
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.
Digital Management Inc.
MicroLink, LLC
RDA Corporation
Internal Revenue Service (IRS)
Lazard Fréres & Co. LLC
Reed Elsevier PLC (dba LexisNexis)
The George Washington University
Regis & Associates, PC
Navigant Consulting, Inc.
PricewaterhouseCoopers LLP
Ernst & Young LLP
Schiff Hardin LLP
West Publishing Corporation
Alston & Bird LLP
Sullivan Cove Reign Enterprises Jv
Perkins Coie LLP
Orrick, Herrington & Sutcliffe LLP
Haynes and Boone LLP
Love and Long, LLP
Venable LLP
Seyfarth Shaw LLP
Paul, Weiss, Rifkind, Wharton & Garrison LLP
Shulman, Rogers, Gandal, Pordy & Ecker, PA
Hughes Hubbard & Reed LLP
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
Information Technology
Administrative Support
Information Technology
Administrative Support
Transaction Structuring Services
Administrative Support
Administrative Support
Compliance
Compliance
Compliance
Compliance
Legal Advisory
Administrative Support
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
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
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 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
20
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
Cadwalader Wickersham & Taft LLP
Fox, Swibel, Levin & Carroll, 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
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
Administrative Support
Financial Advisory
Socio‐Economic Category
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
Other Than Small Business
21
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
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
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.
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
Administrative Support
Administrative Support
Structuring and Disposition Services
Administrative Support
Financial Advisory
Administrative Support
Administrative Support
Administrative Support
Socio‐Economic Category
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
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
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
22
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
Vendor
Purpose
Raymond James and Associates, Inc.
Asset Management Services
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
Interagency Agreement
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
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
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
Socio‐Economic Category
Other Than Small Business
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
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 and Associates, Inc. via novation
23
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Insurance Contracts [Section 105(a)(3)(B)]
For Period Ending December 31, 2014
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.
24
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 December 31, 2014
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
$4,400,000.00
$6,000,000.00
$0.00
Preferred Stock w/ Warrants
$16,369,000.00
$0.00
$9,229,948.97
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$111,000,000.00
$0.00
$125,480,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$10,870,902.67
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$3,500,000.00
$0.00
$11,748,156.44
$1,274,909.59
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Redeemed, in full; warrants not outstanding
$12,000,000.00
Preferred Stock w/ Warrants
Avg. Price
12,000
$1,000.00
$326,576.00
231,782
$220,000.00
220
$3,750,000.00
837,947
$500,000.00
500
$636,000.00
636
$337,363.35
326
$2,370,908.26
175,772
$94,153.69
$44,746.31
101
48
Redeemed, in full; warrants not outstanding
$10,400,000.00
10,400
$1,000.00
$8,000,000.00
16,369
$488.70
$111,000,000.00
111,000
$1,000.00
$10,000,000.00
10,000
$1,000.00
$815,100.00
2,964
$275.00
($2,148,900.00)
536
$281.00
($385,378.64)
$12,720,000.00
12,720
$1,000.00
$877,729.70
$5,524,880.90
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)
($8,369,000.00)
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
Preferred Stock w/ Exercised Warrants
$2,492,000.00
Preferred Stock w/ Warrants
$3,388,890,000.00
Preferred Stock w/ Exercised Warrants
$1,800,000.00
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$4,387,576.45
Redeemed, in full; warrants not outstanding
$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
$0.00
$2,052,682.49
Redeemed, in full; warrants not outstanding
$0.00
$7,220,141.67
$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
$3,388,890,000.00
3,388,890
$1,000.00
$340,000,000.00
24,264,129
$1,800,000.00
1,800
$1,000.00
$90,000.00
90
$6,000,000.00
6,000
$1,000.00
$300,000.00
300
52,000
$930.60
$2,670,000.00
698,554
$21,000,000.00
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
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
$48,391,200.00
Subordinated Debentures w/ Exercised Warrants
$5,000,000.00
$0.00
$6,523,255.00
($725,868.00)
($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
Preferred Stock w/ Warrants
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
$6,000,000.00
60,000,000
$0.10
$4,076,000.00
$4,076,000.00
4,076
4,076
$1,000.00
$1,000.00
$262,500,000.00
$262,500,000.00
262,500
262,500
$1,000.00
$1,000.00
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
25
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
Preferred Stock w/ Exercised Warrants
$21,100,000.00
$0.00
$24,841,411.03
$7,400,000.00
7,400
$1,000.00
$6,000,000.00
6,000
$1,000.00
$190,781.12
81,670
$21,100,000.00
21,100
$1,000.00
$1,055,000.00
1,055
$13,669,000.00
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
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
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
($9,884,250.00)
($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
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$18,751,000.00
$3,133,640,000.00
$0.00
$0.00
$20,037,514.11
$3,293,353,918.53
$1,706,000.00
$0.00
$2,315,853.14
Redeemed, in full; warrants not outstanding
$10,800,000.00
$0.00
$13,371,500.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$2,892,000.00
$40,000,000.00
$0.00
$0.00
$0.00
$7,263,316.66
$3,444,478.21
$41,917,777.78
$884.80
795
$1,000.00
$18,751,000.00
18,751
$1,000.00
$3,133,640,000.00
3,134
$1,000,000.00
$1,706,000.00
1,706
$1,000.00
$10,800,000.00
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
40,000
$1,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$6,000,000.00
($1,645,765.20)
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
124,000
$795,000.00
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$145,000.00
145
$1,040,000.00
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
26
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
11,9,36
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
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
CARVER BANCORP, INC.
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
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
WEST POINT
VA
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
NEW YORK
NY
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
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
16‐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
$8,913,450.00
Avg. Price
9,795
$910.00
$2,250,000.00
$2,750,000.00
2,250
2,750
$1,000.00
$1,000.00
$19,630.00
$9,040,370.00
26
11,974
$755.00
$755.00
3,250
18,500
$977.60
$977.60
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
($881,550.00)
$470,250.00
500
$250,000.00
250
$541,793.34
600
$375,000.00
375
$939,920.00
543,337
$240,000.00
240
$154.44
$21,546.00
$29,737.13
$966,456.56
30
975
$500,000.00
500
$592,730.46
$232,180.54
$129,709.80
179,000
100,000
$6,202,523.25
2,887,500
$1,395,000.00
396,412
$709,155.81
1,900
$125,135.60
120,000
($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
$21,261,845.65
Sold, in full; warrants outstanding
($5,000,000.00)
$3,177,232.50
$18,085,785.00
($72,767.50)
($414,215.00)
($212,630.18)
Preferred Stock w/ Exercised Warrants
$7,500,000.00
$0.00
$9,776,051.62
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$31,260,000.00
$0.00
$35,140,666.12
Sold, in full; warrants not outstanding
$7,500,000.00
7,500
$1,000.00
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
$10,000,000.00
10,000
$1,000.00
$5,586,000.00
5,586,000
$1.11
$50,000,000.00
$104,000,000.00
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
$10,450,000.00
38,000
$275.00
60,000
2,340,000
$1.05
$1.05
$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
$238,000.00
238
$28,797,649.80
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$4,797,000.00
$20,093,000.00
$0.00
$0.00
$5,673,920.75
$26,941,865.35
($431,964.75)
($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
($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
($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
$11,000,000.00
$0.00
$12,845,586.01
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$15,000,000.00
$0.00
$18,707,708.84
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$607,000.00
$20,000,000.00
$0.00
$0.00
$724,123.53
$25,205,957.78
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,767,000.00
$4,640,000.00
$0.00
$10,674,333.80
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$44,000,000.00
$0.00
$41,984,062.50
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
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
$9,407,000.00
9,407
$1,000.00
$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
$235,000.00
235
$146,500,064.55
12,657,960
$169,042.00
200
$313,000.00
313,000
$1,800,000.00
357,675
$4,700,000.00
4,700
$1,000.00
$41,279,000.00
41,279
$1,000.00
$3,555,199,000.00
3,555,199
$1,000.00
$247,727.04
$3,505,712.96
264
3,736
$938.40
$938.40
($6,000,000.00)
($16,272.96)
($230,287.04)
($25,000.00)
Subordinated Debentures w/ Exercised Warrants
$6,251,000.00
$0.00
$7,547,479.56
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$16,000,000.00
$0.00
$19,941,788.94
Sold, in full; warrants not outstanding
$6,251,000.00
6,251,000
$1.00
$14,525,843.40
$435,756.60
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
($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)
Preferred Stock w/ Warrants
$9,201,000.00
$0.00
$11,388,958.51
$9,201,000.00
Preferred Stock
$18,980,000.00
$0.00
$20,511,580.55
$19,132.00
86,957
$213,594.16
205,379
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
27
FootNote
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
8,14
Institution Name
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
CITIZENS BANCSHARES CO.
City
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
CHILLICOTHE
State
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
MO
Date
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
29‐May‐09
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
$18,980,000.00
Preferred Stock w/ Warrants
$38,970,000.00
$0.00
$17,678,900.00
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$258,000,000.00
$0.00
$329,874,444.96
Redeemed, in full; warrants not outstanding
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
Currently not collectible
Preferred Stock w/ Exercised Warrants
$2,644,000.00
$1,753,000.00
$0.00
$4,982,141.86
Sold, in full; warrants not outstanding
18,980
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
$1,000.00
$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
1,846,374
$263,000.00
263
Redeemed, 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
$10,000,000.00
$0.00
$13,886,111.11
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$22,500,000.00
$0.00
$31,086,221.13
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,800,000.00
$0.00
$6,859,176.83
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$22,000,000.00
$0.00
$25,797,528.80
Sold, in full; warrants not outstanding
($203,764.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$7,225,000.00
$11,300,000.00
$135,000,000.00
$0.00
$0.00
$0.00
$3,612,118.06
$12,704,145.10
$75,036,891.42
Sold, in full; warrants not outstanding
$3,000,000.00
7,225
$415.20
$11,300,000.00
11,300
$1,000.00
2,850,000
2,770,117
$12.75
$13.15
7,000
$1,000.00
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$36,337,500.00
$36,427,038.55
Preferred Stock w/ Warrants
$7,000,000.00
$0.00
$8,077,516.47
($454,218.75)
($387,816.38)
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
Preferred Stock w/ Exercised Warrants
$7,500,000.00
$0.00
$8,887,791.42
Redeemed, in full; warrants not outstanding
$32,668,000.00
$0.00
$11,205,387.14
$751,888.00
79,288
$185,016.80
79,067
Redeemed, in full; warrants not outstanding
$7,000,000.00
Preferred Stock w/ Warrants
($32,121,928.87)
($30,113,532.58)
$3,350,000.00
11,385
$294.20
$6,056,000.00
6,056
$1,000.00
($8,035,000.00)
$182,000.00
182
$7,500,000.00
7,500
$1,000.00
$375,000.00
375
$8,211,450.00
$1,950,000.00
25,266
6,000
$325.00
$325.00
($17,054,550.00)
($4,050,000.00)
1,402
$412.00
($824,361.98)
$2,000.00
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
$25,000,000,000.00
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
194,794
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)
Preferred Stock w/ Exercised Warrants
$24,990,000.00
$0.00
$13,952,381.45
Sold, in full; warrants not outstanding
28
FootNote
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
8
Institution Name
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.
COMMUNITY FIRST BANCSHARES, INC. (AR)
City
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
HARRISON
State
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
AR
Date
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
3‐Apr‐09
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
$6,657,375.00
$6,150,000.00
Avg. Price
12,990
12,000
$512.50
$512.50
$7,462,000.00
7,462
$1,000.00
(Realized Loss) /
(Write‐off)
($6,332,625.00)
($5,850,000.00)
Gain5
Warrant Proceeds
Amount
$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
$99,000.00
$225,647.45
60,000
145,579
$389,857.05
$25,990.47
450
30
$143,677.00
895,968
$526,604.00
263,859
$494,381.25
50
$29,000.00
29
($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
$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
Full investment outstanding; warrants not outstanding
Redeemed, in full; warrants not outstanding
$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
($177,355.00)
($269,400.00)
500
15,515
$795.10
$795.10
($102,450.00)
($3,179,023.50)
$64,450,000.00
64,450
$1,000.00
$16,500,000.00
16,500
$1,000.00
$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
$1,000.00
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
$397,550.00
$12,335,976.50
($127,335.27)
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
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$10,670,784.03
Sold, in full; warrants not outstanding
($5,005.00)
($957,495.00)
($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
$76,898,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Subordinated Debentures w/ Exercised Warrants
$2,260,000.00
$2,250,000,000.00
$5,000,000.00
$20,400,000.00
$0.00
$0.00
$0.00
$0.00
$2,689,478.64
$2,582,039,543.40
$5,602,969.61
$21,575,016.54
$810,000.00
500,000
$3,301,647.00
398,023
$113,000.00
113
$181,102,043.40
11,479,592
$566,858.50
87,209
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$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
$1,000.00
Redeemed, in full; warrants not outstanding
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
128
($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
Preferred Stock w/ Exercised Warrants
$52,000,000.00
$0.00
$57,575,699.54
Redeemed, in full; warrants not outstanding
$7,323,651.00
($73,236.51)
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
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$17,680,000.00
$3,976,000.00
$0.00
$0.00
$23,135,879.12
$4,674,050.16
$2,550,000.00
2,550
$1,000.00
$128,000.00
$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
$1,747,000.00
1,747
$1,000.00
$19,468,000.00
19,468
$1,000.00
$4,500,000.00
$2,500,000.00
$10,680,000.00
4,500
2,500
10,680
$1,000.00
$1,000.00
$1,000.00
$3,717,560.00
3,976
$935.00
$12,643,000.00
12,643
$1,000.00
$3,136,500.00
6,970
$450.00
Redeemed, in full; warrants not outstanding
$780,000.00
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
Preferred Stock w/ Exercised Warrants
$12,725,000.00
$0.00
$16,441,884.63
Sold, in full; warrants not outstanding
29
FootNote
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
11,16
Institution Name
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.
EAST WEST BANCORP, INC.
City
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
PASADENA
State
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
CA
Date
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
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
$3,705,037.50
$8,867,389.75
Avg. Price
(Realized Loss) /
(Write‐off)
3,750
8,975
$988.00
$988.00
$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)
105
$9,550.00
1,003
1,597
$950.00
$950.00
$9,000,000.00
9,000
$1,000.00
$4,400,000.00
4,400,000
$1.11
$24,000,000.00
24,000
$1,000.00
$2,172,000.00
$9,122,400.00
3,000
12,600
$724.00
$724.00
($828,000.00)
($3,477,600.00)
1,085,554
$9.35
($41,350,070.10)
29
3,256
$825.30
$825.30
638
Gain5
Warrant Proceeds
Amount
($44,962.50)
($107,610.25)
$85,157.88
$544,614.34
86
550
$1,000,000.00
1,000
$72,314.55
$387,399.37
140
750
($47,250.00)
$25,000.00
5
($50,150.00)
($79,850.00)
$105,000.00
130
$460,000.00
311,972
$177,716.96
132,000
$1,200,000.00
1,200
$698,351.00
521,158
($5,067.46)
($568,953.44)
$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
$1,000,000.00
$2,100,000.00
1,000
2,100
$1,000.00
$1,000.00
$24,900,000.00
24,900
$1,000.00
($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
Preferred Stock w/ Exercised Warrants
$2,600,000.00
$0.00
$3,115,616.28
Sold, in full; warrants not outstanding
$1,002,750.00
($10,027.50)
($14,972.50)
$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
$10,149,929.90
Preferred Stock w/ Exercised Warrants
$3,285,000.00
$0.00
$3,483,629.20
Sold, in full; warrants not outstanding
$23,932.54
$2,687,046.56
($25,000.00)
Preferred Stock w/ Exercised Warrants
$638,000.00
$0.00
$659,705.04
Sold, in full; warrants not outstanding
$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
Preferred Stock w/ Exercised Warrants
$24,900,000.00
$10,650,000.00
$0.00
$0.00
$33,014,741.20
$13,498,324.83
$155,000.00
155
$1,681,000.00
833,705
$531,210.67
533
$1,307,000.00
834,761
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$343,794.50
$10,117,381.00
350
10,300
$982.30
$982.30
($6,205.50)
($182,619.00)
$97,500,000.00
$32,500,000.00
97,500
32,500
$1,000.00
$1,000.00
$19,891,000.00
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
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
($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
Preferred Stock w/ Warrants
$12,000,000.00
$38,235,000.00
$306,546,000.00
$0.00
$0.00
$0.00
$17,424,285.82
$44,847,153.76
$352,722,420.00
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants outstanding
Redeemed, in full; warrants not outstanding
30
FootNote
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.
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
FIDELITY SOUTHERN CORPORATION
City
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
ATLANTA
State
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
GA
Date
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
3‐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
$306,546,000.00
Preferred Stock w/ Warrants
$24,000,000.00
$0.00
$28,453,653.60
306,546
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
$1,000.00
$14,500,000.00
1,517,555
$871,000.00
514,693
$51,113.00
50,111
Sold, in full; warrants outstanding
$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
$34,000,000.00
34,000
$1,000.00
$35,000,000.00
35,000
$1,000.00
$406,029.00
$2,092,611.00
($264,986.40)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$17,949,000.00
$7,500,000.00
$34,000,000.00
$35,000,000.00
$4,000,000.00
$8,750,000.00
$43,000,000.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$23,397,494.08
$8,545,904.67
$39,415,959.89
$42,801,933.33
$4,680,205.56
$10,394,872.56
$47,294,527.29
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants outstanding
$637,071.00
728,052
$1,006,100.00
324,074
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$4,000,000.00
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
651,042
Redeemed, in full; warrants not outstanding
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
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
$100,000,000.00
$425,425.00
442
$962.50
($16,575.00)
($2,835.00)
22
($25,000.00)
$3,063,000.00
$5,689,000.00
$22,196,700.00
Subordinated Debentures w/ Exercised Warrants
$12,000,000.00
$0.00
$15,452,669.34
($332,950.50)
3,063
5,689
$1,000.00
$1,000.00
30,000
$739.90
($7,803,300.00)
100,000
$0.96
($3,710.00)
$438,000.00
438
$75,000.00
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
$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
Sold, in full; warrants not outstanding
$96,290.00
$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
($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)
($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
$3,942,000.00
3,942,000
$1.00
$7,000,000.00
7,000
$1,000.00
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
($14,679.90)
($3,262.20)
($36,427.90)
($390,485.34)
($286,529.90)
($3,179,122.64)
($34,796.80)
48,200
$900.60
($4,791,080.00)
Sold, in full; warrants not outstanding
$439,000.00
$6,218,000.00
$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
($323,366.95)
Preferred Stock w/ Warrants
$48,200,000.00
$0.00
$51,286,669.09
Sold, in full; warrants outstanding
$43,408,920.00
($651,133.80)
31
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
15,17,44
Institution Name
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
FIRST FINANCIAL BANCSHARES, INC.
City
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
LAWRENCE
State
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
KS
Date
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
12‐Jun‐09
Original Investment Type 1
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Original Investment
Amount
$3,408,000,000.00
$37,515,000.00
$5,000,000.00
$3,742,000.00
$1,177,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
$0.00
$0.00
$0.00
$0.00
$0.00
$4,043,972,602.67
$43,787,611.61
$5,914,597.33
$4,487,322.46
$1,289,436.37
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Redeemed, in full; warrants not outstanding
$3,408,000,000.00
136,320
$25,000.00
$12,505,000.00
$25,010,000.00
2,501
5,002
$5,000.00
$5,000.00
$5,000,000.00
5,000
$1,000.00
$250,000.00
250
$3,742,000.00
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
$15,000,000.00
$35,000,000.00
15,000,000
35,000,000
$1.00
$1.00
$2,500,000.00
2,500,000
$17,000,000.00
17,000
$1,000.00
$65,000,000.00
65,000
$1,000.00
$924,462.00
616,308
$81,000,000.00
$8,514,153.00
$22,063,492.11
12,000,000
1,261,356
4,388,888
$6.75
$6.75
$5.03
$3,675,000.00
$3,675,000.00
3,675
3,675
$1,000.00
$1,000.00
$368,000.00
368
$3,345,000.00
3,345
$1,000.00
$167,000.00
167
$10,000,000.00
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)
$100,000,000.00
100,000
$1,000.00
$63,677.00
573,833
$1,373,084.00
$2,510,399.84
1,500
2,743
$916.70
$915.60
$90,461.65
111
25,000
$1,000.00
$599,042.00
599,042
10,958
$920.10
$266,041.78
417,648
$110,000.00
110
$563,174.00
469,312
$225,000.00
225
$280,025,936.00
43,617,747
$2,079,962.50
378,175
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
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
$2,395,742.20
($23,957.42)
($1,042.58)
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
Preferred Stock w/ Warrants
$65,000,000.00
$0.00
$74,518,906.44
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$400,000,000.00
$185,679,645.76
$144,577,031.43
Sold, in part; warrants outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$7,350,000.00
$3,345,000.00
$0.00
$0.00
$9,050,516.50
$3,960,105.00
($74,611.09)
($64,711,540.92)
($6,802,024.20)
($31,229,144.01)
Redeemed, in full; warrants not outstanding
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
Sold, in full; warrants not outstanding
$105,000.00
$12,171,950.00
$87,028,900.00
($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
($126,916.00)
($232,600.16)
($33,333.33)
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
$25,000,000.00
$10,082,565.38
Preferred Stock w/ Exercised Warrants
$2,200,000.00
$2,836,000.00
$0.00
$5,446,642.94
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$23,184,000.00
$0.00
$25,245,684.71
Sold, in full; warrants not outstanding
($151,238.48)
$5,036,000.00
5,036
$1,000.00
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)
11,350
$982.80
($194,879.50)
$21,004,704.00
Preferred Stock w/ Exercised Warrants
$4,500,000.00
$0.00
$5,339,487.75
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$41,500,000.00
$0.00
$42,839,002.78
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$14,800,000.00
$0.00
$19,957,763.30
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$10,685,000.00
$0.00
$8,499,249.92
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
($875,434.62)
$11,155,120.50
($315,070.56)
($167,326.81)
$326,250.00
$3,051,090.00
$10,977,660.00
($2,179,296.00)
500
4,676
16,824
$652.50
$652.50
$652.50
($173,750.00)
($1,624,910.00)
($5,846,340.00)
($1,381,580.00)
$30,600.00
88,273
$740,000.00
740
$297,500.00
195,915
$70,727.58
$440,082.72
$209,563.20
108
672
320
($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
$5,000,000.00
$0.00
$6,074,313.00
Redeemed, in full; warrants not outstanding
$35,618,420.00
Preferred Stock w/ Warrants
$16,500,000.00
$0.00
$6,570,625.00
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$80,000,000.00
$0.00
$87,644,066.10
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$3,756,000.00
$0.00
$4,563,280.34
Redeemed, in full; warrants not outstanding
37,000
$962.70
$7,500,000.00
($534,276.30)
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
($10,500,000.00)
32
FootNote
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 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.
FIRST WESTERN FINANCIAL, INC.
City
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
DENVER
State
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
CO
Date
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
10‐Aug‐12
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
$3,756,000.00
Preferred Stock w/ Warrants
$65,000,000.00
$0.00
$68,141,972.19
$20,000,000.00
$0.00
$12,333,778.00
(Realized Loss) /
(Write‐off)
$1.00
65,000
$873.50
($8,221,850.00)
20,000
$542.10
($9,157,800.00)
8,700
$922.50
29
7,541
$910.30
$910.30
$20,699,000.00
2,070
$10,000.00
$866,540,000.00
866,540
$1,000.00
3,223
$725.00
($886,325.00)
6,398
$507.50
($3,150,887.04)
$10,000,000.00
10,000
$1,000.00
$30,000,000.00
30,000
$1,000.00
Gain5
Warrant Proceeds
Amount
$113,000.00
113,000
$1,400,000.00
241,696
($674,250.00)
$256,118.75
261
($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
Sold, in full; warrants not outstanding
$56,778,150.00
Preferred Stock w/ Warrants
Avg. Price
3,756,000
($851,672.25)
Sold, in full; warrants outstanding
$10,842,200.00
($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
($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
Preferred Stock
$3,223,000.00
$0.00
$2,820,256.96
Sold, in full; warrants not outstanding
$2,336,675.00
($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
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
$3,247,112.96
($25,000.00)
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
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$193,000,000.00
$0.00
$222,528,333.33
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
$12,000,000.00
12,000
$1,000.00
$33,900,000.00
35,595
$1,000.00
$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
13,900
$882.50
$17,836,000.00
17,836
$1,000.00
$184,011,000.00
184,011
$1,000.00
$17,390,000.00
17,390
$1,000.00
$12,266,750.00
Preferred Stock w/ Exercised Warrants
$17,836,000.00
$0.00
$21,033,989.56
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$184,011,000.00
$0.00
$191,464,618.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$17,390,000.00
$0.00
$19,943,580.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$19,300,000.00
$0.00
$22,297,560.34
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$72,927,000.00
$0.00
$7,009,094.50
Exited bankruptcy/receivership
($184,001.25)
$19,300,000.00
19,300
$1,488,046.41
199,203
$4,089,510.61
513,113
$600,000.00
600
$1,695,000.00
($1,633,250.00)
$240,000.00
240
$367,500.00
991,453
$900,000.00
1,305,230
$624,674.69
695
$892,000.00
892
$2,700,000.00
953,096
$375,000.00
352,977
$1,003,227.00
280,795
$1,000.00
($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
$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
$5,017,000.00
5,017
$1,000.00
$130,000.00
130
$14,912,862.00
9,941,908
$1.50
($18,087,138.00)
($3,700,000.00)
($80,930.24)
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
$10,431,333.89
($104,313.34)
Preferred Stock w/ Warrants
$7,400,000.00
$0.00
$4,030,944.44
Sold, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$50,000,000.00
$0.00
$65,432,450.94
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,900,000.00
$0.00
$12,263,468.31
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,500,000.00
$0.00
$5,359,772.59
Sold, in full; warrants not outstanding
$3,700,000.00
7,400
$500.00
$13,125,000.00
$36,875,000.00
13,125,000
36,875,000
$1.00
$1.00
$2,500,000.00
2,500,000
$10,900,000.00
10,900
$1,000.00
$545,000.00
545
$315,007.00
$2,835,063.00
$1,800,040.00
350
3,150
2,000
$900.00
$900.00
$900.00
$206,048.21
$45,788.48
225
50
($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
$13,533,000.00
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
6,000
$1,000.00
$6,138,000.00
$62,000.00
7,920
80
$775.00
$775.00
$13,750,058.49
($4,218,941.51)
$677,000.00
677
$644,726.19
898,000
$245,000.00
245
$245,000.00
245
$311,681.70
$39,370.32
380
48
($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
Sold, in full; warrants not outstanding
$15,678.00
$44,622.00
($1,782,000.00)
($18,000.00)
33
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
45,8,14
Institution Name
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.
GUARANTY BANCORP, INC.
City
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
WOODSVILLE
State
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
NH
Date
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
20‐Feb‐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
($62,000.00)
$10,994,240.00
12,440
$874.81
($1,445,760.00)
33,000
$941.00
($1,946,670.00)
125,000
$1,000.00
($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
Preferred Stock w/ Warrants
$125,000,000.00
$0.00
$131,813,194.44
($465,799.95)
$125,000,000.00
Preferred Stock w/ Warrants
$266,657,000.00
$0.00
$277,861,053.94
$1,946,670.00
578,947
$5,025,000.00
952,260
$12,905.00
645,138
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$1,439,258.50
$228,401,847.00
$13,216,750.00
1,579
250,578
14,500
$911.50
$911.50
$911.50
($139,741.50)
($22,176,153.00)
($1,283,250.00)
20,471
$390.80
($12,471,000.00)
$9,495,000.00
9,495
$1,000.00
$70,000,000.00
70,000
$1,000.00
($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
$8,000,000.00
Preferred Stock w/ Exercised Warrants
$12,000,000.00
$0.00
$14,267,700.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$15,000,000.00
$0.00
$18,670,291.67
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,300,000.00
$0.00
$87,184.85
Exited bankruptcy/receivership
$475,000.00
475
$900,000.00
375,806
$12,000,000.00
12,000
$1,000.00
$600,000.00
600
$15,000,000.00
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
($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
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
Subordinated Debentures w/ Exercised Warrants
$3,000,000.00
$0.00
$3,408,191.65
Redeemed, in full; warrants not outstanding
$2,800,000.00
$200,000.00
$18,228.00
$1,302.00
($25,000.00)
Preferred Stock w/ Warrants
$376,500,000.00
$0.00
$416,635,625.00
$35,000,000.00
35,000,000
$1.00
$1,750,000.00
1,750,000
$1,968,000.00
1,968
$1,000.00
$98,000.00
98
$1,600,000.00
$1,400,000.00
1,600,000
1,400,000
$1.00
$1.00
$376,500,000.00
376,500
$1,000.00
$150,000.00
150,000
$10,800,000.00
5,509,756
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
$6,000,000.00
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
$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
909,091
$1,556,145.00
($25,000.00)
$26,393.77
$4,494,221.94
($25,000.00)
($1,607,000.00)
Preferred Stock w/ Warrants
$10,000,000,000.00
$0.00
$11,418,055,555.44
Redeemed, in full; warrants not outstanding
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
$10,000,000,000.00
10,000,000
$4,000,000.00
$1,000.00
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
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$651,000.00
$9,993,000.00
$825,000.00
$0.00
$0.00
$0.00
$733,037.33
$13,693,111.07
$45,190.00
($3,578,000.00)
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Currently not collectible
($825,000.00)
Preferred Stock w/ Exercised Warrants
$6,920,000.00
$0.00
$8,235,040.33
Redeemed, in full; warrants not outstanding
34
FootNote
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 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.
IBT BANCORP, INC.
City
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
IRVING
State
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
TX
Date
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
12‐Jun‐13
Original Investment Type 1
Subordinated Debentures
Preferred Stock w/ Warrants
Original Investment
Amount
$14,000,000.00
$17,000,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
$0.00
$0.00
$14,913,299.33
$21,887,871.44
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
Avg. Price
$6,920,000.00
6,920
$1,000.00
$14,000,000.00
14,000,000
$1.00
$5,000,000.00
$96,750.00
$11,513,250.00
5,000
100
11,900
$1,000.00
$967.50
$967.50
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
$346,000.00
346
$2,003,250.00
459,459
Redeemed, in full; warrants not outstanding
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
($7,500,000.00)
Preferred Stock w/ Exercised Warrants
$7,500,000.00
$0.00
$8,751,541.63
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$7,000,000.00
$0.00
$8,169,165.89
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$80,347,000.00
$0.00
$5,790,608.79
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
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$12,895,000.00
$7,000,000.00
$81,698,000.00
$10,103,000.00
$40,000,000.00
$24,000,000.00
$12,895,000.00
$0.00
$0.00
$0.00
$0.00
$0.00
$1,090,702.00
$8,321,471.08
$94,686,087.22
$11,353,284.46
$46,901,266.80
$26,953,333.33
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$26,316,666.67
Redeemed, in full; warrants not outstanding
$6,700,000.00
$0.00
$6,165,312.00
$25,000.00
$350,000.00
35
$3,279,764.54
2,089,022
$1.57
$21,000.00
21
$540,000.00
287,134
$248,000.00
248
$1,800,000.00
609,687
$303,000.00
303
$425,000.00
425
$1,000.00
$12,000,000.00
$18,255,000.00
12,000
18,255
$1,000.00
$1,000.00
$7,000,000.00
7,000
$1,000.00
$81,698,000.00
81,698
$1,000.00
$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
($77,067,235.46)
$140,000.00
462,963
$450,000.00
138,037
$1,575,000.00
611,650
$650,000.00
302,419
$155,000.00
155
$200,000.00
200
$1,300,000.00
158,472
$163,000.00
163
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
375
280
Redeemed, in full; warrants not outstanding
$27,241,335.26
$6,211,926.79
$375,000.00
$7,000,000.00
Redeemed, in full; warrants not outstanding
$0.00
$0.00
$1,000.00
Redeemed, in full; warrants not outstanding
$21,000,000.00
$3,091,000.00
$2,359,000.00
7,500
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$7,500,000.00
$21,000,000.00
21,000
$1,000.00
$25,000,000.00
25,000
$1,000.00
$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
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$4,467,049.67
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$26,000,000.00
$0.00
$21,034,187.78
Sold, in full; warrants outstanding
($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
$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
$256,257.00
253,666
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
Preferred Stock w/ Exercised Warrants
$1,552,000.00
$0.00
$1,337,166.22
$18,400,000.00
18,400
$1,000.00
$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
$9,000,000.00
9,000
$1,000.00
$344,000.00
344
$1,398,071,000.00
1,398,071
$1,000.00
$49,100,000.00
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
138,490
$115,000.00
115
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
Preferred Stock w/ Exercised Warrants
$2,295,000.00
$0.00
$2,936,462.50
$4,205,000.00
4,205,000
$1.00
$90,000,000.00
90,000
$1,000.00
$2,295,000.00
2,295
$1,000.00
Redeemed, in full; warrants not outstanding
35
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
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 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
MACKINAC FINANCIAL CORPORATION
MACKINAC FINANCIAL CORPORATION
City
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
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
MANISTIQUE
MANISTIQUE
State
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
LA
LA
GA
PA
PA
PA
OH
OH
OH
TX
TX
TX
MA
MA
MA
NC
NC
NY
NY
NY
NY
MI
MI
Date
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
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
24‐Apr‐09
29‐Aug‐12
Original Investment Type 1
Preferred Stock w/ Warrants
Original Investment
Amount
$6,000,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
$0.00
$6,453,067.00
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Redeemed, in full; warrants not outstanding
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
$6,000,000.00
6,000
$1,000.00
$6,000,000.00
6,000
$1,000.00
$300,000.00
300
406
($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
Preferred Stock w/ Exercised Warrants
$1,065,000.00
$0.00
$1,394,723.17
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$78,158,000.00
$0.00
$81,476,093.61
$10,272,000.00
10,272
$1,000.00
$406,000.00
$1,065,000.00
1,065
$1,000.00
$53,000.00
53
$78,158,000.00
78,158
$1,000.00
$2,200,000.00
481,664
$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
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
$72,000,000.00
72,000
$1,000.00
$2,426,000.00
($1,312,000.00)
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
$21,500,000.00
21,500
$1,000.00
($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
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$32,927,621.56
$27,000,000.00
27,000
$1,000.00
$40,000,000.00
$45,000,000.00
$131,000,000.00
40,000
45,000
131,000
$1,000.00
$1,000.00
$1,000.00
$24,250,000.00
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
Preferred Stock w/ Warrants
$2,500,000,000.00
$0.00
$2,867,222,222.22
$25,000,000,000.00
2,500,000
$10,000.00
$10,449,000.00
10,449
$1,000.00
$2,500,000,000.00
25,000
$100,000.00
$522,000.00
522
$70,000,000.00
35,244,361
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
$470,000.00
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
56,044
$1,000.00
$2,370,930.00
3,000
$790.30
$13,400,000.00
13,400
$1,000.00
$5,830,000.00
5,830
$1,000.00
($692,000.00)
$24,000.00
24
$140,400.00
200
$100,000.00
100
$2,800,000.00
997,050
$877,557.00
198,269
$104,375.00
150
$602,557.00
217,063
$292,000.00
292
($25,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$1,998,000.00
$2,453,000.00
$59,000,000.00
$56,044,000.00
$3,000,000.00
$0.00
$0.00
$0.00
$0.00
$4,818,134.50
$68,260,833.33
$60,517,713.33
$2,932,162.50
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($629,070.00)
($23,709.29)
($1,290.71)
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
Preferred Stock
$5,498,000.00
$0.00
$355,079.00
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
Preferred Stock w/ Exercised Warrants
Preferred Stock
$6,500,000.00
$5,645,000.00
$6,500,000.00
$0.00
$1,695,116.22
$6,106,008.58
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$17,280,000.00
$950,000,000.00
$17,280,000.00
$0.00
$1,399,560.00
$1,209,851,873.70
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$25,223,000.00
$0.00
$26,893,046.60
Sold, in full; warrants not outstanding
$57,500,000.00
57,500
$1,000.00
$2,875,000.00
2,875
$21,900,000.00
21,900
$1,000.00
$1,095,000.00
1,095
$5,645,000.00
5,645
$1,000.00
$950,000,000.00
950,000
$1,000.00
$213,671,319.20
13,049,451
25,223
$869.20
($3,299,925.09)
$860,326.00
561,343
$1,195,906.25
$712,573.75
1,925
1,147
$621.20
$621.20
($729,093.75)
($434,426.25)
$92,401.54
154
$15,000,000.00
15,000
$1,000.00
$560,000.00
209,497
$11,735,000.00
11,735
$1,000.00
$370,000,000.00
$230,000,000.00
370,000
230,000
$1,000.00
$1,000.00
$31,838,761.34
1,218,522
11,000
$958.10
$21,923,074.91
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$3,072,000.00
$15,000,000.00
$11,735,000.00
$600,000,000.00
$11,000,000.00
$0.00
$0.00
$0.00
$0.00
$0.00
$2,000,881.54
$16,260,000.00
$12,409,762.50
$718,392,161.34
$13,521,828.15
($328,846.12)
Sold, 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
$10,538,990.00
($158,084.85)
($461,010.00)
36
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
8
Institution Name
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.
MID‐WISCONSIN FINANCIAL SERVICES, INC.
MILLENNIUM BANCORP, INC.
City
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
MEDFORD
EDWARDS
State
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
WI
CO
Date
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
26‐Apr‐13
3‐Apr‐09
Original Investment Type 1
Preferred Stock w/ Exercised Warrants
Original Investment
Amount
$3,370,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
$0.00
$3,773,495.65
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
$1,300,000.00
398,734
$182,878.45
169
690
Sold, in full; warrants not outstanding
$3,370,000.00
3,370
$1,022.60
$76,195.70
$3,455,000.00
$3,455,000.00
$6,885,000.00
3,455
3,455
6,885
$1,000.00
$1,000.00
$1,000.00
$690,000.00
$4,500,000.00
4,500
$1,000.00
$225,000.00
225
57,000
$931.10
$1,512,177.00
571,906
($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
$53,073,270.00
Preferred Stock w/ Warrants
$1,700,000.00
$0.00
$1,829,711.12
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$2,639,000.00
$0.00
$3,438,793.11
Sold, in full; warrants not outstanding
($796,099.05)
$1,700,000.00
1,700
($3,926,730.00)
$1,000.00
$63,363.90
29,480
14,000
118,000
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
$1,715,000,000.00
1,715,000
$1,000.00
$3,250,000.00
13,815,789
$527,000.00
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
$645,000.00
645
$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
$2,060,000.00
$432,661.80
($25,000.00)
Subordinated Debentures w/ Exercised Warrants
$20,300,000.00
$0.00
$24,429,245.84
Sold, in full; warrants not outstanding
$17,919,962.10
$331,767.90
($182,517.30)
Preferred Stock w/ Exercised Warrants
$35,500,000.00
$0.00
$33,835,943.42
Sold, in full; warrants not outstanding
$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
($1,173,000.00)
($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
$21,498,000.00
21,498
$1,000.00
$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
45,000
$981.20
($847,350.00)
$2,087,368.00
771,429
$23,718,541.95
71,526
$331.60
($47,807,458.05)
$10,000,000.00
10,000
$1,000.00
$58,479.20
73,099
$22,000,000.00
22,000
$1,000.00
$301,001.00
104,101
$10,189,000.00
10,189
$1,000.00
$509,000.00
509
$20,000,000.00
20,000
$1,000.00
$206,557.00
104,384
$3,133,200.00
5,222
$600.00
$136,833.05
261
$700,000.00
700
$1,000.00
$16,000,000.00
16,000
$1,000.00
$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
$44,152,650.00
Preferred Stock w/ Exercised Warrants
$71,526,000.00
$0.00
$27,172,726.72
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$4,388,000.00
$1,248,469.44
Full investment outstanding; warrants outstanding
Preferred Stock w/ Warrants
$2,040,000.00
$2,348,000.00
$10,000,000.00
$0.00
$12,070,979.20
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$22,000,000.00
$0.00
$23,287,945.11
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$10,189,000.00
$20,000,000.00
$5,222,000.00
$0.00
$0.00
$0.00
$11,206,989.34
$22,834,334.78
$3,520,137.55
($662,289.75)
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($2,088,800.00)
($25,000.00)
Preferred Stock w/ Warrants
$84,784,000.00
$0.00
$824,288.89
Exited bankruptcy/receivership
Preferred Stock w/ Exercised Warrants
$700,000.00
$0.00
$763,294.14
Redeemed, in full; warrants not outstanding
($84,784,000.00)
Preferred Stock w/ Warrants
$16,000,000.00
$0.00
$18,933,333.33
$35,000.00
35
$1,000,000.00
198,675
$500,000.00
500
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$12,844,226.31
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$7,260,000.00
$0.00
$4,296,561.73
Sold, in full; warrants not outstanding
$10,000,000.00
10,000
$1,000.00
37
FootNote
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
11
Institution Name
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
OJAI COMMUNITY BANK
OLD LINE BANCSHARES, INC.
City
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
OJAI
BOWIE
State
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
CA
MD
Date
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
25‐Sep‐13
5‐Dec‐08
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
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
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$1,834,000.00
$6,785,000.00
$0.00
$0.00
$2,339,348.60
$4,808,121.00
$14,700,000.00
$0.00
$15,703,166.66
Redeemed, in full; warrants not outstanding
$9,516,000.00
$0.00
$11,291,481.00
Redeemed, in full; warrants not outstanding
$0.00
$5,623,958.50
$10,000,000,000.00
$0.00
$11,268,055,555.11
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$13,000,000.00
$0.00
$15,429,122.22
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,216,000.00
$0.00
$7,803,377.38
Redeemed, in full; warrants not outstanding
$3,300,000.00
$0.00
$4,069,975.55
Gain5
Warrant Proceeds
Amount
($4,356,000.00)
$5,116,000.00
5,116
$1,000.00
$5,500,000.00
5,500
$1,000.00
$1,834,000.00
1,834
$1,000.00
$4,545,202.00
2,272,601
$2.00
$14,700,000.00
14,700
$1,000.00
$9,516,000.00
9,516
$1,000.00
$476,000.00
476
$4,734,000.00
4,734
$1,000.00
$237,000.00
237
$10,000,000,000.00
10,000,000
$1,000.00
$950,000,000.00
65,245,759
$13,000,000.00
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
3,300
$990.00
$140,034.65
165
$386,000.00
386
$900,194.00
625,135
$2,189,317.20
521,266
$342,841.95
$502,606.30
500
733
$1,000,000.00
735,294
$100,000.00
100,000
$117,000.00
117,000
$92,000.00
92
$260,000.00
132,353
($2,239,798.00)
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
(Realized Loss) /
(Write‐off)
$400.00
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$4,734,000.00
Avg. Price
7,260
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
$2,904,000.00
Sold, in full; warrants not outstanding
$3,267,000.00
($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
Preferred Stock w/ Warrants
$32,382,000.00
$0.00
$37,608,789.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$956,066.67
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
Sold, in full; warrants not outstanding
$7,723,000.00
7,723
$1,000.00
$32,382,000.00
32,382
$1,000.00
$600,000.00
4,000
$150.00
$67,000,000.00
67,000
$1,000.00
$2,438,182.50
$16,064,996.94
3,250
21,414
$750.20
$750.20
$150,000,000.00
150,000
$1,000.00
$2,000,000.00
2,000,000
$1.00
$2,281,458.05
6,880
$331.60
($4,598,541.95)
($6,100,000.00)
($3,400,000.00)
($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
Preferred Stock w/ Warrants
$6,880,000.00
$0.00
$2,613,714.23
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$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
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$267,274,000.00
$52,372,000.00
$0.00
$0.00
$346,794,005.83
$70,087,060.35
$3,900,000.00
10,000
$390.00
$2,330,000.00
2,330,000
$1.00
$10,000,000.00
10,000
$1,000.00
$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
$737,100.00
184,275
$13,364,000.00
13,364
$7,778,782.65
2,567,255
$748,000.00
748
$600,000.00
99,157
$95,000.00
67,958
$67,000.00
67
$87,000,000.00
3,824,624
$500,000.00
500
$587,634.55
525
$100,000.00
100
$122,887.50
163,830
$560,000.00
350,346
$430,797.00
190,427
$104,000.00
104
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($53,878.50)
($967,375.50)
($513,507.46)
Preferred Stock w/ Exercised Warrants
$14,964,000.00
$0.00
$17,904,842.66
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$10,200,000.00
$0.00
$12,294,583.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$4,227,000.00
$0.00
$5,159,181.33
$1,341,000.00
$1,230,000.00
$0.00
$2,987,782.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$17,211,000.00
$0.00
$6,442,172.50
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
$10,500,000.00
$0.00
$11,891,847.50
14,964
$1,000.00
$10,200,000.00
10,200
$1,000.00
$4,227,000.00
4,227
$1,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$14,964,000.00
$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
$1,992,000.00
1,992
$1,000.00
$7,095,550.00
7,700
$921.50
$13,500,000.00
13,500
$1,000.00
$38,263,000.00
38,263
$1,000.00
($11,187,150.00)
Sold, in full; warrants not outstanding
$64,220.00
$272,935.00
($108,371.55)
Preferred Stock w/ Exercised Warrants
$1,992,000.00
$0.00
$2,380,393.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$7,700,000.00
$0.00
$8,592,336.00
Sold, in full; warrants not outstanding
($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
$2,080,000.00
Preferred Stock w/ Warrants
$7,000,000.00
$0.00
$7,438,888.89
2,080
$1,000.00
Redeemed, in full; warrants not outstanding
38
FootNote
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
8,17,45
Institution Name
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.
PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK
PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK
City
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
PIGEON FALLS
PIGEON FALLS
State
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
WI
WI
Date
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
11‐Sep‐09
25‐Aug‐11
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
$7,000,000.00
Preferred Stock w/ Warrants
$100,000,000.00
$0.00
$102,713,888.89
7,000
$73,000,000.00
$0.00
$31,423,238.49
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
$1,000.00
$225,000.00
141,892
$1,200,000.00
813,008
$106,891.00
815,339
$159,886.25
141
$9,459.13
$128,988.07
11
150
$305,000.00
305,000
Redeemed, in full; warrants not outstanding
$100,000,000.00
Preferred Stock w/ Warrants
Avg. Price
100,000
$1,000.00
Sold, in full; warrants not outstanding
$24,684,870.00
$452,424.00
$668,079.44
70,028
1,200
1,772
$352.50
$377.00
$377.00
1,239
1,577
$1,142.90
$1,142.90
($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
($5,500,000.00)
$100,000.00
$3,116,000.00
100
3,116
$1,000.00
$1,000.00
($25,000.00)
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
Preferred Stock w/ Exercised Warrants
$16,200,000.00
$0.00
$21,003,597.96
$6,100,000.00
6,100,000
$1.00
$14.75
$165,983,272.00
1
3,608,332
$29.50
$46.00
16,200
$1,215.20
11,600
$1,000.00
($10.28)
($14,650,702.97)
$393,120.78
15,120
$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
Sold, in full; warrants not outstanding
$16,200,000.00
$3,485,754.00
($196,857.54)
Preferred Stock w/ Exercised Warrants
$11,600,000.00
$0.00
$13,821,963.89
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,120,000.00
$0.00
$18,087.94
Exited bankruptcy/receivership
$11,600,000.00
($4,120,000.00)
Preferred Stock w/ Exercised Warrants
$4,060,000.00
$0.00
$2,991,670.80
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$6,500,000.00
$0.00
$7,937,744.97
Redeemed, in full; warrants outstanding
4,060
$620.70
$6,500,000.00
$2,519,960.80
6,500
$1,000.00
$1,676,654.00
$4,048,506.00
$11,216,640.00
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
$537,633.00
154,354
$3,727,000.00
3,727
$1,167.00
$622,446.27
$226,565.00
186
12,000
14,038
$1,142.00
$1,142.00
$1,704,360.00
$1,993,817.14
$1,035,834.25
$645,781.95
802
500
$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
$185,000.00
185
$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
$110,000.00
150,296
$9,960,000.00
9,960
$1,000.00
$498,000.00
498
$21,000,000.00
$18,000,000.00
21,000
18,000
$1,000.00
$1,000.00
$1,200,724.15
313,505
$18,000,000.00
18,000
$1,000.00
$900,000.00
900
25,054
$933.40
$425,000.00
357,234
$12,660,000.00
12,660
$1,000.00
$633,000.00
633
$2,944,500.00
3,900
$755.00
$122,225.00
195
($25,000.00)
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
$3,690,000.00
$28,685,000.00
$9,960,000.00
$39,000,000.00
$0.00
$0.00
$0.00
$0.00
$4,692,022.77
$32,075,739.67
$11,745,689.33
$44,926,557.48
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$18,000,000.00
$0.00
$21,325,250.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$25,054,000.00
$0.00
$27,877,966.16
Sold, in full; warrants not outstanding
$23,384,401.44
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$12,660,000.00
$3,900,000.00
$0.00
$0.00
$15,362,909.75
$3,809,874.42
($350,766.02)
($1,669,598.56)
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($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
Preferred Stock w/ Exercised Warrants
$1,500,000.00
$0.00
$1,730,162.66
Redeemed, in full; warrants not outstanding
$12,325,000.00
12,325
$1,000.00
$616,000.00
616
$1,500,000.00
1,500
$1,000.00
$71,000.00
71
39
FootNote
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
8,14
Institution Name
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.
RELIANCE BANCSHARES, INC.
RIDGESTONE FINANCIAL SERVICES, INC.
City
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
FRONTENAC
BROOKFIELD
State
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
MO
WI
Date
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
29‐Oct‐13
27‐Feb‐09
Original Investment Type 1
Preferred Stock
Original Investment
Amount
$3,000,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
$0.00
$3,227,916.67
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Redeemed, in full; warrants not outstanding
$3,000,000.00
Preferred Stock w/ Exercised Warrants
$6,800,000.00
$0.00
$207,947.78
Currently not collectible
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$4,389,000.00
$95,000,000.00
$4,389,000.00
$0.00
$284,999.00
$111,918,194.45
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
3,000
$1,000.00
($6,800,000.00)
$23,750,000.00
$71,250,000.00
23,750
71,250
$1,000.00
$1,000.00
$87,631,000.00
87,631
$1,000.00
$120,000.00
$2,380,000.00
120,000
2,380,000
$1.00
$1.00
$180.00
$3,570.00
11,949
$1,091.10
$1,088,673.39
$755,000.00
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants
$87,631,000.00
$2,500,000.00
$0.00
$0.00
$105,252,939.77
$3,103,618.40
267,455
Redeemed, in full; warrants not outstanding
$4,382,000.00
4,382
$90,582.47
107,000
$234,500.00
237,712
$3,000,000.00
2,093,284
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
$11,949,000.00
($130,376.73)
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
Preferred Stock w/ Exercised Warrants
Subordinated Debentures
$2,800,000.00
$6,784,000.00
$2,800,000.00
$0.00
$132,253.00
$7,444,215.12
Preferred Stock w/ Exercised Warrants
$9,500,000.00
$0.00
$467,412.50
Exited bankruptcy/receivership
Preferred Stock w/ Warrants
$22,252,000.00
$0.00
$23,052,240.29
Sold, in full; warrants outstanding
$935,000,000.00
935,000
$1,000.00
$2,693,800.00
$806,200.00
26,938
8,062
$100.00
$100.00
$6,784,000.00
6,784,000
$1.00
$1,678,618.89
$8,575,102.51
$9,795,998.16
1,863
9,517
10,872
$901.00
$901.00
$901.00
($24,244,200.00)
($7,255,800.00)
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not 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
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$4,300,522.22
Redeemed, in full; warrants not outstanding
6,349,000
$1.24
$4,000,000.00
$6,349,000.00
4,000
$1,000.00
$41,400,000.00
41,400
$1,000.00
310
10,490
$847.20
$847.20
$1,507,379.58
$478,590.75
317,000
$200,000.00
200
$83,086.12
$195,295.20
97
228
$248,000.00
248
$1,225,000.00
645,013
$175,000.00
175
($78,563.80)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$41,400,000.00
$10,800,000.00
$0.00
$0.00
$42,446,500.00
$11,077,694.89
Redeemed, in full; warrants not outstanding
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
Preferred Stock w/ Warrants
$243,815,000.00
$0.00
$290,552,132.92
Redeemed, in full; warrants not outstanding
($25,083,000.00)
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$4,596,311.80
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$151,500,000.00
$0.00
$199,100,113.41
Sold, in full; warrants not outstanding
$8,222,000.00
8,222
$1,000.00
$243,815,000.00
243,815
$1,000.00
$4,000,000.00
4,000
$1,000.00
$151,500,000.00
151,500
$1,000.00
$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
Preferred Stock w/ Exercised Warrants
$4,500,000.00
$0.00
$5,355,156.75
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$32,538,000.00
$0.00
$35,195,847.13
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$38,237,000.00
$0.00
$44,286,567.33
Redeemed, in full; warrants not outstanding
$5,096,300.00
9,266
$550.00
$9,270,000.00
9,270
$1,000.00
$464,000.00
464
$4,500,000.00
4,500
$1,000.00
$225,000.00
225
32,538
$888.00
$1,100,000.00
778,421
$38,237,000.00
38,237
$1,000.00
$1,100,000.00
521,888
$6,229,000.00
6,229
$1,000.00
$8,073,279.00
8,900
$907.10
$3,800,000.00
3,800
$2,995,000.00
2,995
$7,970,737.50
1,449,225
$5.50
$28,893,744.00
Preferred Stock w/ Exercised Warrants
$6,229,000.00
$0.00
$7,190,593.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$8,900,000.00
$0.00
$9,139,863.61
Sold, in full; warrants not outstanding
($433,406.16)
($4,169,700.00)
($3,644,256.00)
$311,000.00
311
$253,383.25
268
$1,000.00
$190,000.00
190
$1,000.00
$150,000.00
150
($826,721.00)
($80,732.79)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$3,800,000.00
$2,995,000.00
$9,982,000.00
$0.00
$0.00
$0.00
$4,510,626.39
$3,570,810.92
$8,755,019.00
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
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
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,500,000.00
$0.00
$1,718,159.50
Sold, in full; warrants not outstanding
($2,011,262.50)
$2,655,000.00
2,655
$1,000.00
$133,000.00
133
$12,700,000.00
12,700
$1,000.00
$381,000.00
381
267
1,233
$925.00
$925.00
$50,000.00
75
$3,500,000,000.00
3,500,000
$1,000.00
$45,000,000.00
48,253,677
$40,000,000.00
40,000
$1,004.90
$2,199,799.80
2,000
$246,975.00
$1,140,525.00
($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
($401,960.00)
Preferred Stock w/ Exercised Warrants
$10,900,000.00
$0.00
$9,630,106.93
Sold, in full; warrants not outstanding
40
FootNote
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
8
Institution Name
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.
SOUTHERN MISSOURI BANCORP, INC.
SOUTHFIRST BANCSHARES, INC.
City
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
POPLAR BLUFF
SYLACAUGA
State
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
MO
AL
Date
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
21‐Jul‐11
12‐Jun‐09
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
$8,966,340.00
Avg. Price
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
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
($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
($89,663.40)
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
($5,983,000.00)
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$1,100,000.00
$25,000,000.00
$0.00
$0.00
$1,622,708.57
$738,021.00
Redeemed, in full; warrants not outstanding
Currently not collectible
($25,000,000.00)
Preferred Stock w/ Warrants
$30,407,000.00
$0.00
$36,696,518.83
Sold, in full; warrants outstanding
$9,000,000.00
$21,407,000.00
9,000
21,407
$1,207.10
$1,207.10
108,676
$1,000.00
$1,863,990.00
$4,433,603.77
($367,045.94)
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
$108,676,000.00
Preferred Stock w/ Exercised Warrants
$2,900,000.00
$0.00
$2,697,208.51
$8,816,000.00
8,816
$1,000.00
$41,547,000.00
$41,547,000.00
41,547
41,547
$1,000.00
$1,000.00
$2,465,029.00
2,900
$850.00
($434,971.00)
4,000
$700.00
($1,200,000.00)
$4,000,000.00
4,000
$1,000.00
$64,779,000.00
64,779
$1,000.00
2,000
$20,510.00
Sold, in full; warrants not outstanding
($25,000.00)
Preferred Stock w/ Warrants
$4,000,000.00
$0.00
$3,131,111.11
Sold, in full; warrants not outstanding
$2,800,000.00
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$4,717,144.78
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$64,779,000.00
$0.00
$67,294,638.84
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$50,000,000.00
$0.00
$49,045,470.38
$1,400,000.00
303,083
$55,000.00
589,623
Sold, in full; warrants not outstanding
$41,020,000.00
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
Sold, in full; warrants not outstanding
($615,300.00)
$1,800,000.00
1,800
$1,000.00
$174,537.72
$1,315,959.00
252
1,900
$692.60
$692.60
$5,803,000.00
5,803
$6,815,000.00
6,815
$17,388,000.00
17,388
($8,980,000.00)
$90,000.00
90
$69,186.80
108
$1,000.00
$290,000.00
290
$1,000.00
$341,000.00
341
$1,000.00
$522,000.00
522
$50,000.00
137,966
($77,462.28)
($584,041.00)
($14,904.97)
($10,095.03)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$5,803,000.00
$6,815,000.00
$0.00
$0.00
$6,888,017.86
$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
Preferred Stock w/ Exercised Warrants
$12,500,000.00
$0.00
$14,888,679.86
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$10,750,000.00
$0.00
$14,543,635.13
$18,000,000.00
18,000
$1,000.00
$12,500,000.00
12,500
$1,000.00
$10,750,000.00
10,750,000
$1.17
$625,000.00
625
$720,368.55
538,000
$25,000.00
172,970
$85,000.00
85,000
Sold, in full; warrants not outstanding
$1,784,607.50
($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
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
$1,000.00
($25,732.30)
($233,672.68)
Preferred Stock w/ Warrants
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$25,000,000.00
$1,700,000.00
$120,000,000.00
$7,414,000.00
$0.00
$0.00
$0.00
$0.00
$25,358,333.33
$1,994,587.59
$132,967,606.41
$7,816,685.55
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$11,150,939.74
595,829
$275,000.00
163,065
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
($8,653,000.00)
$2,832,412.70
3,070
$922.60
($237,587.30)
$124,412.34
154
$130,179,218.75
130,179
$1,000.00
($216,820,781.25)
$400,000.00
10,106,796
$1,814,620.00
$9,889,679.00
2,000
10,900
$907.30
$907.30
($185,380.00)
($1,010,321.00)
$588,264.19
645
11,000
$1,000.00
42,750
$1,000.00
17,299
$904.00
$1,100,000.00
399,970
$4,862,000.00
4,862
$1,000.00
$243,000.00
243
$5,000,000.00
5,000
$1,000.00
$250,000.00
250
$9,550,000.00
9,550
$1,000.00
($25,000.00)
Preferred Stock w/ Warrants
$347,000,000.00
$0.00
$146,965,329.86
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,900,000.00
$0.00
$13,109,014.25
Sold, in full; warrants not outstanding
($117,042.99)
Preferred Stock
$11,000,000.00
$0.00
$11,855,555.56
Redeemed, in full; warrants not outstanding
$11,000,000.00
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
$42,750,000.00
$15,638,296.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$4,862,000.00
$5,000,000.00
$9,550,000.00
$2,760,000.00
$0.00
$0.00
$0.00
$2,760,000.00
$5,718,111.14
$5,955,472.22
$10,804,763.89
$364,796.34
($234,574.44)
($1,660,704.00)
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants outstanding
Full investment outstanding; warrants outstanding
41
FootNote
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
11
Institution Name
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.
TENNESSEE VALLEY FINANCIAL HOLDINGS, INC.
TEXAS CAPITAL BANCSHARES, INC.
City
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
OAK RIDGE
DALLAS
State
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
TN
TX
Date
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
31‐May‐13
16‐Jan‐09
Original Investment Type 1
Preferred Stock w/ Warrants
Original Investment
Amount
$70,000,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
$0.00
$85,247,569.91
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Redeemed, in full; warrants not outstanding
$70,000,000.00
70,000
$1,000.00
$18,215,000.00
18,215
$1,000.00
$9,000,000.00
30,000
$300.00
$60,000,000.00
12,903,226
$1,432.56
$36,842,000.00
36,842
$1,000.00
$2,287,197.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$18,215,000.00
$30,000,000.00
$0.00
$0.00
$21,632,668.61
$11,803,691.75
703,753
Redeemed, in full; warrants not outstanding
$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
Preferred Stock w/ Warrants
$36,842,000.00
$0.00
$42,414,352.50
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
Preferred Stock w/ Exercised Warrants
$15,000,000.00
$0.00
$17,080,708.67
$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
$11,019,000.00
$0.00
$13,078,672.60
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$30,000,000.00
$0.00
$37,191,875.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$42,000,000.00
$125,198,000.00
$303,000,000.00
$0.00
$0.00
$0.00
$47,869,108.33
$130,542,485.91
$121,757,209.63
$1,697,000.00
1,697,000
$1.00
$51,000.00
$12,500,000.00
$37,500,000.00
12,500
37,500
$1,000.00
$1,000.00
$2,500,000.00
250
$15,000,000.00
15,000
$1,000.00
$750,000.00
750
$2,000,000,000.00
20,000
$100,000.00
$60,000,000.00
2,788,104
$24,900,000.00
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
$945,775.00
516,817
$125,198,000.00
125,198
$1,000.00
$2,857,914.52
2,615,557
5,738,637
$20.00
$825,000.00
97,541
$107,398.00
133,475
$778,000.00
778
$130,704.17
$8,358.99
516
33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$114,772,740.00
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$15,568,000.00
$10,973,000.00
$0.00
$0.00
$0.00
$11,400,453.22
$18,101,553.84
$2,652,816.96
$3,000,000.00
($1,434,659.25)
($188,227,260.00)
Redeemed, in full; warrants not outstanding
$10,000,000.00
10,000
$1,000.00
$4,000,000.00
$11,568,000.00
4,000
11,568
$1,000.00
$1,000.00
$1,796,209.03
$107,935.66
10,351
622
$173.50
$173.50
$8,500,000.00
8,500
$1,000.00
$89,310,000.00
89,310
$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
$4,850,000,000.00
48,500
$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
3,028,264
$100,000.00
($69,000,000.00)
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
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$4,000,000.00
$235,000,000.00
$0.00
$0.00
$4,721,382.89
$253,929,027.78
$2,000,000.00
2,000
$1,000.00
$200,000,000.00
$100,000,000.00
200,000
100,000
$1,000.00
$1,000.00
$4,000,000.00
4,000
$1,000.00
$235,000,000.00
235,000
$1,000.00
Redeemed, in full; warrants not outstanding
$200,000.00
200
$6,820,000.00
354,058
$682,000.00
682,000
$9,839,273.00
1,462,647
$292,000.00
292,000
$9,449,980.56
3,199,988
$100,000.00
100
$19,218.87
$124,922.63
20
130
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$13,644,000.00
$0.00
$17,019,233.91
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$967,870,000.00
$0.00
$1,190,614,526.39
Redeemed, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$8,000,000.00
$0.00
$253,122.22
Currently not collectible
Preferred Stock w/ Warrants
$104,823,000.00
$0.00
$120,845,170.80
Sold, in full; warrants not outstanding
$13,644,000.00
13,644,000
$1.00
$967,870,000.00
967,870
$1,000.00
104,823
$893.50
9,720,000
$1.00
($8,000,000.00)
$93,659,350.50
Subordinated Debentures w/ Exercised Warrants
$9,720,000.00
$0.00
$11,611,381.34
($1,404,890.26)
($11,163,649.50)
Redeemed, in full; warrants not outstanding
$9,720,000.00
Preferred Stock w/ Exercised Warrants
$11,730,000.00
$0.00
$690,832.08
Currently not collectible
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
($11,730,000.00)
Preferred Stock w/ Warrants
$30,000,000.00
$0.00
$3,233,333.33
$361,172,000.00
361,172
$1,000.00
$2,000,000.00
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
($25,000.00)
Preferred Stock w/ Warrants
$75,000,000.00
$0.00
$82,777,816.21
Redeemed, in full; warrants not outstanding
42
FootNote
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
44,8,14
Institution Name
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
TRUSTMARK CORPORATION
TWO RIVERS FINANCIAL GROUP, INC.
City
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
JACKSON
BURLINGTON
State
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
MS
IA
Date
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
30‐Dec‐09
29‐May‐09
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
$75,000,000.00
75,000
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
$1,000.00
$6,559,066.21
Preferred Stock w/ Exercised Warrants
$3,981,000.00
$0.00
$4,475,307.67
Redeemed, in full; warrants not outstanding
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
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$34,000,000.00
$20,749,000.00
$0.00
$0.00
$40,091,342.55
$18,023,831.85
758,086
$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
$5,448,000.00
5,448
$1,000.00
$792,783.00
175,742
$9,090,000.00
9,090
$1,000.00
$12,500,000.00
$2,500,000.00
$10,000,000.00
12,500
2,500
10,000
$1,000.00
$1,000.00
$1,000.00
$5,000,000.00
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
$3,400,000,000.00
3,400,000
$1,000.00
$706,264,559.89
52,093,973
$15,000,000.00
15,000
$1,000.00
$750,000.00
750
$7,359,000.00
7,500
$981.20
$371,250.00
375
$7,579,200,000.00
75,792
$100,000.00
$320,372,284.16
16,885,192
$5,450,000.00
5,450
$1,000.00
$273,000.00
273
$244,225.00
$11,478,575.00
250
11,750
$976.90
$976.90
$4,806.45
$571,967.55
5
595
$2,046,000.00
2,046
$1,000.00
$61,000.00
61
$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
3,118
150,000
$155.47
$1.00
($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
Preferred Stock w/ Warrants
$9,090,000.00
$0.00
$10,309,575.00
Redeemed, in full; warrants outstanding
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$29,332,986.11
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
Preferred Stock w/ Warrants
$301,000.00
$3,400,000,000.00
$0.00
$0.00
$379,458.89
$4,236,125,671.00
Redeemed, in full; warrants not outstanding
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
Preferred Stock w/ Exercised Warrants
$7,500,000.00
$0.00
$9,232,652.17
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
Preferred Stock w/ Exercised Warrants
$2,117,000.00
$4,000,000.00
$0.00
$0.00
$2,569,490.36
$5,210,672.22
Redeemed, in full; warrants not outstanding
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
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$35,539,000.00
$0.00
$34,644,476.74
Sold, in full; warrants not outstanding
($2,618,000.00)
$3,700,000.00
3,700
$1,000.00
$185,000.00
185
$15,540,000.00
15,540
$1,000.00
$777,000.00
777
$2,639,379.50
$7,038,845.50
$16,984,909.75
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
$2,795,000.00
2,795
$1,000.00
$23,000,000.00
23,000
$1,000.00
$1,150,000.00
1,150
7,002
$750.00
$124,665.75
138
215,000
$1,000.00
$10,000,000.00
1,647,931
($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
Preferred Stock w/ Warrants
$2,765,000.00
$4,237,000.00
$0.00
$6,496,417.16
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$215,000,000.00
$0.00
$236,287,500.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,000,000.00
$0.00
$14,075,133.27
Redeemed, in full; warrants not outstanding
$5,251,500.00
($1,750,500.00)
($52,515.00)
$215,000,000.00
43
FootNote
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
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
WAINWRIGHT BANK & TRUST COMPANY
WAINWRIGHT BANK & TRUST COMPANY
City
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
BOSTON
BOSTON
State
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
MA
MA
Date
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
24‐Nov‐09
16‐Dec‐09
Original Investment Type 1
Preferred Stock w/ Warrants
Original Investment
Amount
$6,599,000,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
$0.00
$6,933,220,416.67
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
Avg. Price
$12,000,000.00
12,000
$1,000.00
$6,599,000,000.00
6,599,000
$1,000.00
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
$600,000.00
60
$139,000,000.00
32,679,102
$450,000.00
45
$4,500,000.00
1,110,898
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$50,236,000.00
$8,950,000.00
$50,236,000.00
$0.00
$745,311.72
$10,634,911.78
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$298,737,000.00
$0.00
$7,509,920.07
Currently not collectible
$8,950,000.00
8,950
$1,000.00
($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
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$59,000,000.00
$8,700,000.00
$0.00
$0.00
$62,145,972.22
$3,432,657.85
214,181
$1,000.00
$6,191,000.00
6,191
$1,000.00
$160,000.00
160
$600,000.00
$1,579,000.00
600
1,579
$1,000.00
$1,000.00
$65,000.00
65
$59,000,000.00
59,000
$1,000.00
$450,000.00
211,318
$3,319,050.00
8,700
$381.50
($5,380,950.00)
$138,607.85
435
20,600
$825.50
($3,594,700.00)
$38,000.00
311,492
$10,300,000.00
10,300
$1,000.00
$14,400,000.00
14,400,000
$1.00
$720,000.00
720,000
$1,516,900.00
$12,587,575.00
$159,145,525.00
1,576
13,078
165,346
$962.50
$962.50
$962.50
$3,000,000.00
$2,658,000.00
3,000
2,658
$1,000.00
$1,000.00
$10,324,000.00
$10,325,000.00
10,324
10,325
$1,000.00
$1,000.00
$237,527.50
$9,168,561.50
250
9,650
$950.10
$950.10
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($25,000.00)
Preferred Stock w/ Warrants
$20,600,000.00
$0.00
$20,315,924.72
Sold, in full; warrants not outstanding
$17,005,300.00
Preferred Stock w/ Warrants
$10,300,000.00
$0.00
$11,172,638.89
($255,079.50)
Redeemed, in full; warrants outstanding
Subordinated Debentures w/ Exercised Warrants
$14,400,000.00
$0.00
$18,882,079.62
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$180,000,000.00
$0.00
$210,367,527.00
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
$6,677.00
219,908
$283,000.00
283
$2,707,314.00
764,778
$476,573.62
495
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
Preferred Stock w/ Warrants
$16,019,000.00
$0.00
$21,311,670.48
Redeemed, in full; warrants not outstanding
$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
$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
5,500
$417.60
$1,600,000.00
$1,600,000.00
$1,600,000.00
$1,600,000.00
$9,619,000.00
$2,296,800.00
1,600
1,600
1,600
1,600
9,619
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$1,000.00
($3,203,200.00)
$1,300,000.00
1,300
$1,000.00
$75,000,000.00
$125,000,000.00
$100,000,000.00
75,000
125,000
100,000
$1,000.00
$1,000.00
$1,000.00
$3,000,000.00
3,000
$1,000.00
$5,672,361.44
14,738
$384.90
$71,000,000.00
71,000
$1,000.00
$325,353.86
$2,543,620.14
533
4,167
$610.40
$610.40
$787,500.00
$712,500.00
788
713
$1,000.00
$1,000.00
$75,000.00
75
$25,000,000.00
25,000
$1,000.00
$1,189,813.00
367,984
$110,000,000.00
110,000
$1,000.00
$5,500,000.00
5,500
$3,000,000.00
$4,000,000.00
$5,000,000.00
3,000
4,000
5,000
$1,000.00
$1,000.00
$1,000.00
$478,000.00
478
$22,000,000.00
22,000
$1,000.00
$568,700.00
390,071
($25,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$1,300,000.00
$300,000,000.00
$3,000,000.00
$14,738,000.00
$0.00
$0.00
$0.00
$0.00
$1,489,774.73
$318,400,781.94
$3,503,795.81
$6,933,870.05
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
Preferred Stock w/ Warrants
$1,500,000.00
$25,000,000.00
$0.00
$0.00
$1,898,258.59
$30,710,646.33
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$110,000,000.00
$0.00
$131,236,874.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,000,000.00
$0.00
$14,731,826.23
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
44
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
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
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
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
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
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$26,380,000.00
$200,000,000.00
$6,633,000.00
$6,842,000.00
$5,625,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
Amount
$0.00
$0.00
$0.00
$0.00
$30,628,344.45
$220,749,985.18
$15,317,317.86
$6,398,893.44
Capital Repayment / Disposition / Auction3,5
Shares
(Fee) 4
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Redeemed, in full; warrants not outstanding
$26,380,000.00
26,380
$1,000.00
$200,000,000.00
200,000
$1,000.00
$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
$1,625,000.00
246,082
$15,388,874.07
1,707,456
$332,000.00
332
$18,644.66
$147,194.69
19
150
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($380,997.20)
($7,310.00)
($22,880.30)
($52,138.13)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$400,000,000.00
$25,000,000,000.00
$0.00
$0.00
$457,333,286.51
$27,281,347,113.95
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$75,000,000.00
$0.00
$78,804,166.67
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$36,000,000.00
$0.00
$41,195,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$83,726,000.00
$140,000,000.00
$7,290,000.00
$0.00
$0.00
$0.00
$87,360,236.61
$160,365,000.00
$554,083.00
$20,388,842.06
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
Redeemed, in full; warrants not outstanding
$75,000,000.00
75,000
$1,000.00
$36,000,000.00
36,000
$1,000.00
$41,863,000.00
$41,863,000.00
41,863
41,863
$1,000.00
$1,000.00
$140,000,000.00
140,000
$1,000.00
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Currently not collectible
($7,290,000.00)
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
$1,050,524.72
$9,673,015.37
1,117
10,305
$940.38
$939.53
4,700
$1,000.00
1,300
15,500
$1,063.20
$1,063.20
($66,475.28)
($631,984.63)
$335,417.06
343
$235,000.00
235
$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
($107,235.41)
Preferred Stock w/ Exercised Warrants
$4,700,000.00
$0.00
$5,842,197.92
Redeemed, in full; warrants not outstanding
$4,700,000.00
Preferred Stock w/ Exercised Warrants
$16,800,000.00
$0.00
$20,275,427.10
Sold, in full; warrants not outstanding
$1,300,000.00
$15,500,000.00
$82,173.00
$979,755.00
($178,619.28)
Preferred Stock w/ Warrants
$300,000,000.00
$0.00
$343,733,333.33
Redeemed, in full; warrants not outstanding
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
$250,000,000.00
$0.00
$300,704,730.81
Redeemed, in full; warrants not outstanding
$300,000,000.00
300,000
$1,000.00
$330,000,000.00
330,000
$1,000.00
$58,646,694.58
($879,700.42)
$250,000,000.00
Preferred Stock w/ Exercised Warrants
$2,720,000.00
$0.00
$2,780,391.21
62,158
$943.50
250,000
$1,000.00
($3,511,305.42)
2,720
$861.70
($376,148.80)
52,625
$915.10
($4,467,336.25)
Sold, in full; warrants not outstanding
$2,343,851.20
($24,999.99)
Preferred Stock w/ Warrants
$52,625,000.00
$0.00
$57,640,856.64
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$36,000,000.00
$13,312,000.00
$0.00
$52,383,419.85
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,871,000.00
$0.00
$5,705,022.14
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$1,400,000,000.00
$0.00
$1,661,027,529.62
Redeemed, in full; warrants not outstanding
$48,157,663.75
$44,149,056.00
TOTALS
$204,894,726,320.00
$470,268,965.76
$226,406,090,261.40
($722,364.96)
($662,235.84)
49,312
$893.00
$4,871,000.00
4,871
$1,000.00
$700,000,000.00
$700,000,000.00
700,000
700,000
$1,000.00
$1,000.00
$199,436,669,423.47
($37,433,921.85)
($5,162,944.00)
($4,987,787,930.77)
$6,905,694,752.42
$7,971,895,939.89
45
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.
46
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.
47
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.
48
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.
49
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.
50
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.
51
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.
52
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.
53
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.
54
COMMUNITY DEVELOPMENT CAPITAL INITIATIVE
Seller
Footnote
Purchase Date
1
1, 2
1, 2
1, 4
1
2a
1
1
1
1
2a
1
1, 3
7/30/2010
7/30/2010
8/6/2010
8/13/2010
8/13/2010
9/17/2010
8/13/2010
8/13/2010
8/13/2010
8/20/2010
9/24/2010
8/20/2010
8/27/2010
9/3/2010
9/3/2010
9/3/2010
9/10/2010
9/17/2010
9/17/2010
9/17/2010
9/17/2010
9/17/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
1
1
1, 2
1
1, 2
1, 7
6
6
6
6
6, 11
6
1, 2
1, 2
1, 2
1, 2
1
1
1
1, 7
1
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
Purchase Details
Name of Institution
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
Bainbridge Bancshares, Inc.
Virginia Community Capital, Inc.
Lower East Side People's Federal Credit Union
Atlantic City Federal Credit Union
Neighborhood Trust Federal Credit Union
Gateway Community Federal Credit Union
Union Baptist Church Federal Credit Union
Buffalo Cooperative Federal Credit Union
Tulane-Loyola Federal Credit Union
Alternatives Federal Credit Union
Durham
New York
Kilmichael
Atmore
Washington
Chicago
Washington
Oak Brook
Jackson
Rochester
Hanover Park
New Orleans
Cerritos
Bainbridge
Christiansburg
New York
Lander
New York
Missoula
Fort Wayne
Buffalo
New Orleans
Ithaca
NC
NY
MS
AL
DC
IL
DC
IL
MS
NY
IL
LA
CA
GA
VA
NY
WY
NY
MT
IN
NY
LA
NY
Liberty County Teachers Federal Credit Union
Liberty
TX
UNO Federal Credit Union
Butte Federal Credit Union
Thurston Union of Low-Income People (TULIP) Cooperative Credit Union
Phenix Pride Federal Credit Union
Pyramid Federal Credit Union
Cooperative Center Federal Credit Union
Prince Kuhio Federal Credit Union
Community First Guam Federal Credit Union
Brewery Credit Union
Tongass Federal Credit Union
Santa Cruz Community Credit Union
Northeast Community Federal Credit Union
Fairfax County Federal Credit Union
Security Federal Corporation
Community Bank of the Bay
The First Bancshares, Inc.
BancPlus Corporation
First M&F Corporation
State Capital Corporation
Lafayette Bancorp, Inc.
PSB Financial Corporation
Community Bancshares of Mississippi, Inc.
New Orleans
Biggs
Olympia
Phenix City
Tucson
Berkeley
Honolulu
Hagatna
Milwaukee
Ketchikan
Santa Cruz
San Francisco
Fairfax
Aiken
Oakland
Hattiesburg
Ridgeland
Kosciusko
Greenwood
Oxford
Many
Brandon
LA
CA
WA
AL
AZ
CA
HI
GU
WI
AK
CA
CA
VA
SC
CA
MS
MS
MS
MS
MS
LA
MS
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
Preferred Stock
Preferred Stock
Preferred Stock
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Subordinated Debentures
$
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
14,000,000
11,926,000
11,000,000
6,784,000
7,462,000
3,000,000
17,000,000
2,795,000
5,500,000
11,735,000
18,980,000
10,300,000
6,000,000
4,205,000
7,875,000
5,645,000
5,146,000
18,000,000
1,747,000
5,000,000
50,400,000
30,000,000
15,750,000
4,551,000
9,734,000
54,600,000
Disposition Details
Additional Investment
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
10,189,000
22,800,000
4,379,000
4,836,000
3,881,000
5,689,000
4,000,000
2,313,000
12,123,000
30,514,000
-
Investment Amount
Pricing
Mechanism
$
$
$
$
14,000,000
22,115,000
33,800,000
6,784,000
$
$
$
$
11,841,000
3,000,000
17,000,000
2,795,000
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
10,336,000
11,735,000
18,980,000
3,154,000
10,300,000
6,000,000
8,086,000
5,781,000
5,457,000
4,520,000
300,000
7,875,000
11,334,000
5,146,000
3,372,000
1,915,000
898,000
2,500,000
283,000
1,657,000
10,000
145,000
424,000
2,234,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
$
435,000
Par
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
743,000
1,000,000
75,000
153,000
2,500,000
2,799,000
273,000
2,650,000
1,096,000
1,600,000
2,828,000
350,000
8,044,000
22,000,000
4,060,000
17,123,000
80,914,000
30,000,000
15,750,000
4,551,000
9,734,000
54,600,000
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
7
$5,146,000
$2,372,000
$0
$1,000,000
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
55
Seller
Footnote
Purchase Date
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
6
9/29/2010
6
8
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
Name of Institution
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
City
State
Investment Description
Preferred Stock
Preferred Stock
Amount from CPP
Vernon
Batesville
Palisades Park
Bay Springs
Okolona
Lakewood
New York
Bronx
Shreveport
Springhill
AL
MS
NJ
MS
MS
NY
NY
NY
LA
LA
Preferred Stock
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
$
$
$
$
$
$
$
$
$
$
New York
NY
Subordinated Debentures
$
Chicago
Bridgeport
Rantoul
Del Rio
Burlington
Charlotte
New York
San Antonio
Washington
Oceanside
Kinston
Pittsburgh
Roanoke
Los Angeles
Terre Haute
Somerset
Hilo
Brooklyn
IL
CT
IL
TX
VT
NC
NY
TX
DC
CA
NC
PA
VA
CA
IN
NJ
HI
NY
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
6,245,000
17,910,000
-
Disposition Details
Additional Investment
Investment Amount
Pricing
Mechanism
$
$
$
$
$
$
$
$
$
$
-
$
$
$
$
$
$
$
$
$
$
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
-
$
-
$
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 $
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
$
$106,408,900
456,960,000
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.
56
AUTOMOTIVE INDUSTRY FINANCING PROGRAM
Initial Investment
City, State
Date
Transaction Type
12/29/2008
Purchase
5/21/2009
GMAC
(Ally)
Purchase
Seller
GMAC
GMAC
Detroit, MI
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
Description
Preferred Stock w/
Exercised Warrants
Convertible Preferred Stock
w/ Exercised Warrants
Convertible Preferred Stock
w/ Exercised Warrants
Exchange/Transfer/Other Details
Amount
$
$
$
Trust Preferred Securities w/
$
Exercised Warrants
Debt Obligation
$
Debt Obligation w/ Additional
$
Note
Debt Obligation w/ Additional
$
Note
5,000,000,000
7,500,000,000
1,250,000,000
2,540,000,000
Pricing
Mechanism
Date
Par
Par
Par
12/30/2009
22
22,
26
Par
884,024,131
Par
13,400,000,000
Par
2,000,000,000
Par
12/30/2009
12/30/2010
3/1/2011
2
5/29/2009
7/10/2009
4
7/10/2009
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
N/A
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
$
Obligor
GMAC (Ally)
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)
Description
21, 22
3, 26,
32, 38
Convertible
Preferred Stock
Amount/Equity %
$
Common Stock
5,937,500,000
$
2,667,000,000
General
Motors
Purchase
General Motors
Corporation
Debt Obligation w/ Additional
$
Note
4,000,000,000
Par
5
7/10/2009
Exchange for preferred and
common stock in New GM
$
4,000,000,000
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
7 General Motors
Company
General Motors
Company
N/A
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
11/20/2013 Disposition 38
Amount/ Proceeds
Remaining
Investment
Description
N/A
Remaining
Investment
Amount/Equity %
$
5,925,000,000
1/23/2014 Partial Disposition40
$
3,023,750,000 Common Stock
36.96%
4/15/2014 Partial Disposition41
$
2,375,000,000 Common Stock
17.09%
5/14/2014 Partial Disposition42
$
181,141,750 Common Stock
15.60%
9/12/2014 Partial Disposition43
$
218,680,700 Common Stock
13.40%
10/16/2014 Partial Disposition44
$
245,492,605 Common Stock
11.40%
12/24/2014 Partial Disposition45
$
1,277,036,382 Common Stock
$
2,667,000,000
N/A
$
2,139,406,778
N/A
$
$
0
10, 11,
Preferred Stock
24
$
2,100,000,000
3/2/2011 Disposition 28
0.00%
0
7
10, 11,
25
Common Stock
7
General Motors
Holdings LLC
11, 12 Debt Obligation
12/15/2010 Repayment
$
11/18/2010 Partial Disposition 25
$
11,743,303,903 Common Stock
36.9%
0
11/26/2010 Partial Disposition 25
$
1,761,495,577 Common Stock
32.04%
12/21/2012 Partial Disposition 33
$
5,500,000,000 Common Stock
21.97%
4/11/2013
Partial Disposition 34
$
1,637,839,844 Common Stock
17.69%
6/12/2013
Partial Disposition 35
$
1,031,700,000 Common Stock
13.80%
9/13/2013
Partial Disposition 36
$
3,822,724,832 Common Stock
7.32%
11/20/2013 Partial Disposition 37
$
2,563,441,956 Common Stock
2.24%
39
$
1,208,249,982 Common Stock
$
360,624,198 Debt Obligation
$
6,711,864,407
12/18/2009 Partial Repayment
$
1,000,000,000 Debt Obligation
$
5,711,864,407
1/21/2010
Partial Repayment
$
35,084,421 Debt Obligation
$
5,676,779,986
3/31/2010
Partial Repayment
$
1,000,000,000 Debt Obligation
$
4,676,779,986
4/20/2010
Repayment
$
4,676,779,986
3/31/2011
Partial Repayment
$
50,000,000
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
5/27/2009
Type
3
7
5/20/2009
Date
1
63.45%
Trust Preferred
Securities
27
Payment or Disposition
$
7,072,488,605
12/9/2013
Partial Disposition
7/10/2009
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
57
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
Chrysler FinCo
Debt Obligation w/ Additional
$
Note
1,500,000,000
Par
13
Farmington
Hills, MI
1/2/2009
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
Chrysler
Purchase
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
15
4/30/2010
17
Completion of bankruptcy
$
proceeding; transfer of
collateral security to liquidation
trust
(1,888,153,580)
N/A
23 Old Carco
Liquidation Trust
23
Right to recover
proceeds
N/A
Auburn Hills,
MI
5/27/2009
Purchase
New Chrysler
Debt Obligation w/ Additional
Note, Zero Coupon Note,
$
Equity
18
6,642,000,000
N/A
6/10/2009
Issuance of equity in New
Chrysler
$
-
N/A
Chrysler Group
LLC
Chrysler Group
LLC
Total Initial Investment Amount $
3/17/2009
Partial Repayment
4/17/2009
Partial Repayment
5/18/2009
Partial Repayment
6/17/2009
Partial Repayment
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%
$
31,810,122
$
51,136,084
$
44,357,710
N/A
N/A
$
1,496,500,945
$
1,464,690,823
$
1,413,554,739
$
1,369,197,029
7/14/2009
Repayment
$
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
7/10/2009
Repayment
$
280,130,642
5/10/2010
Proceeds from sale of collateral
$
30,544,528
9/9/2010
Proceeds from sale of collateral
$
Additional Note
N/A
7/14/2009
14
16
-
Transfer of debt to New
Chrysler
Partial Repayment
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
12/29/2010 Proceeds from sale of collateral
$
4/30/2012
Proceeds from sale of collateral
$
9,302,185
5/24/2011
Repayment - Principal
$
5,076,460,000
5/24/2011
Termination of undrawn facility
$
2,065,540,000
5/24/2011
Repayment* - Additional Note
$
288,000,000
5/24/2011
Repayment* - Zero Coupon Note
$
100,000,000
7/21/2011
Disposition
$
560,000,000
Total Payments $
63,927,535,398
Additional Proceeds * $
403,000,000
0
$
Right to recover
proceeds
Right to recover
9,666,784
proceeds
Right to recover
7,844,409
proceeds
31
$
0
N/A
N/A
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.
58
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
of they total convertible( preferred
stock then outstanding
and held by Treasury (including exercised gg
warrants)
into
of convertible preferred stock.
y converted $5,500,000,000
g
y)
p
g
q 531,850
p shares of common
y stock
p of Ally. Following this conversion, pTreasury holds $5,937,500,000
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
2/11/2010
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
Remaining Investment
Description
Type
Partial
repayment
Partial
repayment
3/9/2010
4/7/2010
5
6
5
Repayment
Payment7
Amount
Debt Obligation w/ Additional Note
$
140,000,000
Debt Obligation w/ Additional Note
$
100,000,000
Additional Note
$
50,000,000
None
$
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.
59
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
3
4
5
6
Pricing Mechanism1
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.
60
AUTOMOTIVE INDUSTRY FINANCING PROGRAM - ALLY FINANCIAL, INC.
COMMON STOCK DISPOSITION
Date
08/14/14 –
09/12/14
09/12/14 10/16/14
3
4
Pricing Mechanism1
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.
61
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
2
Remaining Capital
Description
Final Disposition
Final
Disposition
Description
Final Disposition Date 3
Final Disposition
Proceeds
Capital Repayment
Amount
Remaining
Capital Amount
$
20,000,000,000
$
0
Warrants
1/25/2011
A
Warrants
$
190,386,428
$
20,000,000,000
$
0
Warrants
3/3/2010
A
Warrants
$
1,236,804,513
$
40,000,000,000
$
1,427,190,941
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
1
Date
Seller
Name of Institution
1/16/2009 Citigroup Inc.
12/23/2009 Citigroup Inc.
City
New York
New York
State
NY
NY
Type
Guarantee
Termination
Exchange/Transfer/Other Details
Premium
Description
Master Agreement
Termination Agreement
Guarantee Limit
$
$
5,000,000,000
$
Preferred Stock
w/ Warrants
Amount
$
Payment or Disposition
Date
2
6/9/2009
Exchange preferred stock
Trust Preferred
for trust preferred securities Securities w/ Warrants
$
4,034,000,000
4
9/29/2010
Exchange trust preferred
Trust Preferred
securities for trust preferred
Securities w/ Warrants
securities
$
2,246,000,000
4,034,000,000
Type
Description
Footnote
Amount
Remaining Premium
Description
Remaining
Premium
Trust Preferred
Securities w/ Warrants
$2,234,000,000
Footnote
Date
3
12/23/2009
5
9/30/2010 Disposition
$ 2,246,000,000 Warrants
$
0
1/25/2011 Warrant Auction
$
67,197,045 None
$
0
$894,000,000.00 None
$
0
Type
Partial cancellation for early
termination of guarantee
Amount
$ (1,800,000,000)
(5,000,000,000)
3
TOTAL
Description
0
6
12/28/2012
7
2/4/2013
Trust preferred securities
received from the FDIC
Exchange Trust preferred
securities for subordinated
note
Trust Preferred
Securities
$ 800,000,000.00
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.
62
AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM
(formerly referred to as Systemically Significant Failing Institutions Program)
Seller
Name of Institution
Note
Date
1
11/25/2008
AIG
2, 3
4/17/2009
AIG
Purchase Details
Exchange/Transfer Details
State
Transaction
Type
New York
NY
Purchase
Preferred Stock w/ Warrants
(Series D)
$
40,000,000,000
Par
New York
NY
Purchase
Preferred Stock w/ Warrants
(Series F)
$
29,835,000,000
Par
City
Pricing Mechanism
Investment Amount
Investment Description
2
Date
Transaction Type
4/17/2009
Exchange
Pricing
Mechanism
Amount
Investment Description
Preferred Stock w/ Warrants
(Series E)
1
$
40,000,000,000
Par
See table below for exchange/transfer details in connection with the recapitalization conducted on 1/14/2011.
Final Disposition
TOTAL
$
69,835,000,000
Date
Investment
Transaction Type
3/1/2013
Warrants (Series D)
Repurchase
$
25,150,923.10
3/1/2013
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
Note
Date
Investment Description
Transaction Type
Pricing Mechanism
Exchange
Par
Investment Description
Preferred Stock (Series G)
AIA Preferred Units
4
1/14/2011
Preferred Stock (Series F)
Exchange
Final Disposition
Date
Amount / Shares
$
$
2,000,000,000
16,916,603,568
7
N/A
ALICO Junior Preferred Interests
Exchange
$
3,375,328,432
167,623,733
7
1/14/2011
Preferred Stock (Series E)
Exchange
924,546,133
N/A
6
1/14/2011
Common Stock (non-TARP)
Transfer
Common Stock
562,868,096
Proceeds
Pricing Mechanism
5/27/2011
Cancellation
$
2/14/2011
Payment
$
185,726,192
-
N/A
3/8/2011
Payment
$
5,511,067,614
Par
Payment
$
55,833,333
Par
8/17/2011
Payment
$
97,008,351
Par
8/18/2011
Payment
$
2,153,520,000
Par
9/2/2011
Payment
$
55,885,302
Par
11/1/2011
Payment
$
971,506,765
Par
3/8/2012
Payment
$
5,576,121,382
Par
3/15/2012
Payment
$
1,521,632,096
Par
3/22/2012
Payment
$
1,493,250,339
Par
2/14/2011
Payment
$
2,009,932,072
Par
3/8/2011
Payment
$
1,383,888,037
Par
3/15/2012
Payment
$
44,941,843
Par
5/24/2011
Partial Disposition
$
5,800,000,000
N/A
Partial Disposition
$
6,000,000,008
N/A
5/6/2012
Partial Disposition
$
4,999,999,993
N/A
5/7/2012
Partial Disposition
$
749,999,972
N/A
8/3/2012
Partial Disposition
$
4,999,999,993
N/A
8/6/2012
Partial Disposition
$
750,000,002
N/A
9/10/2012
Partial Disposition
$
17,999,999,973
Remaining Recap
Investment Amount,
Shares, or Equity %
$
0
10
$
0
8
$
0
8
Par
3/15/2011
3/8/2012
5
Transaction Type
8
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.
63
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.
64
CREDIT MARKET PROGRAMS
TERM ASSET-BACKED SECURITIES LOAN FACILITY
Seller
Footnote
1
Date
3/3/2009
Name of Institution
TALF LLC
City
Wilmington
State
DE
Transaction
Type
Purchase
Investment Description
Debt Obligation w/ Additional Note
Investment Amount
$
20,000,000,000
Pricing Mechanism
Adjusted Investment
Date
Amount
2
7/19/2010
$ 4,300,000,000
6/28/2012
3
1/15/2013
4
$
Final Investment Amount
1,400,000,000
N/A
$
100,000,000
Total Investment Amount $
100,000,000
$
100,000,000
Date
Repayment 5
Description
Amount
2/6/2013
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.
65
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
$
332,596,893
Pricing Mechanism
TBA or
PMF3
Investment Amount
Settlement Date
107.75
109
108.875
110.502
107.5
106.806
109.42
110.798
110.125
109.553
110.785
112.028
106.625
108.505
111.86
108.4375
106.75
110.198
110.088
110.821
110.515
112.476
105.875
111.584
110.759
106.5
110.5
110.875
113.838
113.9
114.006
-
3/24/2010
3/24/2010
3/24/2010
5/28/2010
4/30/2010
6/30/2010
6/30/2010
6/30/2010
7/30/2010
7/30/2010
8/30/2010
8/30/2010
9/30/2010
9/30/2010
9/30/2010
9/30/2010
10/29/2010
9/30/2010
10/29/2010
10/29/2010
9/29/2010
10/29/2010
11/30/2010
10/29/2010
11/30/2010
11/30/2010
11/30/2010
11/30/2010
12/30/2010
11/30/2010
12/30/2010
TOTAL INVESTMENT AMOUNT
2,
3
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Senior Security
Proceeds 4
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2,184
4,130
4,348
12,983
4,783
5,741
7,057
4,844
4,635
9,377
19,077
15,801
3,200
3,722
7,373
1,408
5,187
4,561
2,752
5,541
5,123
5,820
3,652
4,966
4,458
3,061
3,172
1,912
6,535
7,632
8,521
Total Senior Security Proceeds $
183,555
$
4,377,249
8,279,156
8,716,265
26,041,643
9,598,523
11,511,052
14,151,229
9,717,173
9,294,363
18,801,712
38,273,995
31,693,810
6,416,804
7,462,726
14,789,302
2,826,678
10,394,984
9,150,989
5,520,652
11,115,031
10,277,319
11,672,766
7,319,688
9,962,039
8,940,780
6,134,172
6,361,173
3,834,428
13,109,070
15,308,612
17,092,069
TBA or
PMF3
-
Final Disposition
368,145,452
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.
66
CREDIT MARKET PROGRAMS
LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)
Final Investment
Preliminary Adjusted
Seller
Footnote
Date
1
9/30/2009
2
1
9/30/2009
9/30/2009
Name of Institution
UST/TCW Senior Mortgage Securities Fund, L.P.
UST/TCW Senior Mortgage Securities Fund, L.P.
Invesco Legacy Securities Master Fund, L.P.
Commitment
City
Wilmington
Wilmington
Wilmington
Transaction
Type
State
DE
DE
DE
Purchase
Purchase
Purchase
Commitment
Amount
Investment Description
Membership Interest
Debt Obligation w/ Contingent Proceeds
Membership Interest
$
$
$
1,111,111,111
2,222,222,222
1,111,111,111
Pricing
Mechanism
Date
Par
1/4/2010
Par
Par
1/4/2010
3
Amount
4 $
4 $
3/22/2010 6 $
156,250,000
200,000,000
1,244,437,500
Final Commitment Amount
Date
1/4/2010
1/4/2010
7/16/2010
7
Amount
Amount
4 $
4 $
$
156,250,000
200,000,000
856,000,000
9
Amount
$
$
$
156,250,000
200,000,000
580,960,000
Capital Repayment Details
Repayment
Date
1/15/2010
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
Repayment Amount
$
156,250,000
Amount
$
1/11/2010
$
34,000,000
$
1/12/2010
$
166,000,000
$
Description
0
0
$
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
2/18/2010
$
4/15/2010
9/15/2010
$
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
$
Proceeds
5
Distribution
2/24/2010
Final Distribution
1/29/2010
Distribution
2/24/2010
Final Distribution
3/29/2012
Distribution
8/9/2012
Distribution
9/28/2012
Final Distribution
6/4/2013
Adjusted Distribution
7/8/2013
Distribution
5
$
20,091,872
$
48,922
$
502,302
$
1,223
$
56,390,209
$
0
1,056,751
$
18,772
$
69,399
$
64,444
5
Contingent Proceeds
2,444,347
161,386,870
Description
1/29/2010
Debt Obligation w/ Contingent
166,000,000 Proceeds
$
$
Distribution or Disposition
Date
Membership Interest
2/18/2010
3/29/2012
2
Investment After Capital Repayment
Membership Interest
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
67
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
10/1/2009
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
Repayment Amount
Amount
12/14/2011
$
7,103,787
$
1/17/2012
$
6,577,144
$
2/14/2012
$
9,610,173
$
3/14/2012
1
Investment After Capital Repayment
$
284,468,750
$
Description
Distribution or Disposition
Date
1
10/1/2009
10/2/2009
Wellington Management Legacy Securities PPIF Master Fund, LP
AllianceBernstein Legacy Securities Master Fund, L.P.
Wilmington
Wilmington
DE
DE
Purchase
Purchase
Debt Obligation w/ Contingent Proceeds
Membership Interest
$
$
2,222,222,222
1,111,111,111
Par
Par
3/22/2010 6 $
3/22/2010 6 $
2,524,075,000
1,244,437,500
7/16/2010
7/16/2010
$
$
2,298,974,000
1,150,423,500
$
$
2,298,974,000
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
$
1,064,141,738
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
$
0
Membership Interest
Distribution
9/28/2012
Final Distribution
6/4/2013
Adjusted Distribution
7/8/2013
Distribution
3/13/2013
Distribution
10
2
10/2/2009
AllianceBernstein Legacy Securities Master Fund, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
7/16/2010
$
2,300,847,000 12 $
2,128,000,000
- Contingent Proceeds
712,284 $
1,063,385,410 Membership Interest
10
6,716,327 $
1,056,669,083 Membership Interest
10
4/14/2011
$
7,118,388 $
1,049,550,694 Membership Interest
10
5/14/2012
$
39,999,800 $
1,009,550,894 Membership Interest
10
6/14/2012
$
287,098,565 $
722,452,330 Membership Interest
10
7/16/2012
$
68,749,656 $
653,702,674 Membership Interest
10
8/14/2012
$
361,248,194 $
292,454,480 Membership Interest
10
$
5/16/2011
$
6/14/2011
5/3/2012
292,454,480
$
30,244,575
$
$
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
$
40,556
5, 13
5, 14
$
469
$
1,735
$
1,611
Distribution
$
479,509,240
$
2,802,754
5
5, 11
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
$
8/30/2012
5
10
$
3/14/2011
3,434,460
10
10
2/14/2011
$
$
5
10
1,064,097,694 Membership Interest
$
5
Distribution
8/9/2012
10
44,043 $
1/15/2010
Proceeds
3/29/2012
7/11/2013
2
Description
Debt Obligation w/ Contingent
300,656,067 Proceeds
Debt Obligation w/ Contingent
294,078,924 Proceeds
Debt Obligation w/ Contingent
284,468,750 Proceeds
- Membership Interest
10
4/17/2013
Distribution
7/11/2013
Distribution
8/30/2012
Distribution
9/12/2012
Distribution
9/19/2012
Distribution
5, 11
5, 11
5, 11
5, 11
5, 11
5, 11
10/1/2012
Distribution
12/21/2012
Distribution
8/13/2013
Distribution Refund
5, 11
$
16,195,771
$
69,932
$
75,278,664
$
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
68
Preliminary Adjusted
Seller
Footnote
1
2
1
Date
10/2/2009
10/2/2009
Name of Institution
Blackrock PPIF, L.P.
Blackrock PPIF, L.P.
10/30/2009 AG GECC PPIF Master Fund, L.P.
Commitment
City
Wilmington
Wilmington
Wilmington
Transaction
Type
State
DE
DE
DE
Purchase
Purchase
Purchase
Commitment
Amount
Investment Description
Membership Interest
Debt Obligation w/ Contingent Proceeds
Membership Interest
$
$
$
1,111,111,111
2,222,222,222
1,111,111,111
Pricing
Mechanism
Par
Par
Par
Date
3/22/2010 6 $
3/22/2010 6 $
3/22/2010 6 $
3
Amount
1,244,437,500
2,488,875,000
1,271,337,500
Final Investment
Final Commitment Amount
Date
7/16/2010
7/16/2010
7/16/2010
7
Amount
Amount
$
$
$
694,980,000
1,389,960,000
1,243,275,000
9
Amount
$
$
$
528,184,800
1,053,000,000
1,117,399,170
Capital Repayment Details
Repayment
Date
10/30/2009 AG GECC PPIF Master Fund, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,542,675,000
7/16/2010
$
2,486,550,000
$
2,234,798,340
Repayment Amount
Amount
8/14/2012
$
272,500,000
$
8/22/2012
$
583,467,339
$
8/14/2012
$
90,269,076
$
Description
437,915,724 Membership Interest
$
8,833,632
$
429,082,092 Membership Interest
$
10,055,653
$
419,026,439 Membership Interest
11/5/2012
$
419,026,439
$
$
175,000,000
$
$
8/14/2012
$
5,539,055
8/31/2012
$
16,000,000
$
9/17/2012
$
1,667,352
$
9/28/2012
$
35,000,000
$
10/15/2012
$
25,334,218
$
10/18/2012
$
794,459,374
$
$
1,030,299,606 Membership Interest
3/14/2012
$
99,462,003
$
930,837,603 Membership Interest
5/14/2012
$
74,999,625
$
855,837,978 Membership Interest
7/16/2012
$
18,749,906
$
837,088,072 Membership Interest
8/14/2012
$
68,399,658
$
768,688,414 Membership Interest
9/17/2012
$
124,999,375
$
643,689,039 Membership Interest
10/15/2012
$
240,673,797
$
403,015,242 Membership Interest
11/15/2012
$
45,764,825
$
357,250,417 Membership Interest
12/14/2012
$
24,588,926
$
332,661,491 Membership Interest
1/15/2013
$
30,470,429
$
302,191,061 Membership Interest
2/14/2013
$
295,328,636
$
6,862,425 Membership Interest
2/14/2012
$
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
$
5, 11
10/3/2012
Distribution
12/21/2012
Distribution
8/13/2013
Distribution Refund
5, 11
$
12,012,957
$
16,967
$
(460)
10
10
- Contingent Proceeds
87,099,565
$
Proceeds
5, 11
11/5/2012
Distribution
12/5/2012
Distribution 5, 11
12/6/2013
Distribution
11/5/2012
Distribution
12/5/2012
Distribution 5, 11
12/6/2013
Distribution
5, 11
$
297,511,708
$
57,378,964
$
1,609,739
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
$
6,862,425
Description
10
- Membership Interest 10
2/14/2012
$
Date
- Contingent Proceeds
9/17/2012
7/31/2012
Distribution or Disposition
Debt Obligation w/ Contingent
583,467,339 Proceeds
10/15/2012
2/21/2013
2
Investment After Capital Repayment
5, 11
5, 11
$
8,289,431
$
1,433,088
$
141,894
$
184,431,858
10
10
10
10
10
10
10
10
10
10
10
- Membership Interest 10
5, 11
2/21/2013
Distribution
2/27/2013
Distribution
3/14/2013
Distribution
4/19/2013
Distribution
4/25/2013
Distribution
5/29/2013
Distribution 5, 11
9/30/2014
Final Distribution
5, 11
5, 11
5, 11
5, 11
5, 11
$
20,999,895
$
156,174,219
$
105,620,441
$
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
69
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
11/4/2009
RLJ Western Asset Public/Private Master Fund, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,244,437,500
7/16/2010
$
620,578,258
$
620,578,258
1
11/4/2009
RLJ Western Asset Public/Private Master Fund, L.P.
11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P.
Wilmington
Wilmington
DE
DE
Purchase
Purchase
Debt Obligation w/ Contingent Proceeds
Membership Interest
$
$
2,222,222,222
1,111,111,111
Par
Par
3/22/2010 6 $
3/22/2010 6 $
2,488,875,000
1,244,437,500
7/16/2010
7/16/2010
$
$
1,241,156,516
474,550,000
$
$
1,241,000,000
474,550,000
274,590,324
$
12/14/2012
$
147,534,295
$
1/15/2013
$
182,823,491
$
11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
7/16/2010
$
949,100,000
$
949,000,000
$
201,075,230
$
Description
Date
- Contingent Proceeds
1,202,957 $
619,375,301 Membership Interest
$
3,521,835 $
615,853,465 Membership Interest
10
$
104,959,251 $
510,894,215 Membership Interest
10
$
72,640,245 $
438,253,970 Membership Interest
10
$
180,999,095 $
257,254,875 Membership Interest
10
$
134,999,325 $
122,255,550 Membership Interest
10
$
4/14/2011
8/14/2012
9/17/2012
9/28/2012
10/15/2012
$
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
$
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
$
39,026,406
$
30,369,198 Membership Interest
30,369,198
$
9/17/2012
$
149,000,000
$
11/15/2012
$
119,575,516
$
11/20/2012
$
195,000,000
$
12/14/2012
$
47,755,767
$
Description
Proceeds
5, 11
4/19/2013
Distribution
4/25/2013
Distribution
5/29/2013
Distribution 5, 11
9/30/2014
Final Distribution
10/19/2012
Distribution
11/2/2012
Distribution
12/21/2012
Distribution 5, 11
12/11/2013
Final Distribution
10/19/2012
Distribution
11/2/2012
Distribution
12/21/2012
Distribution 5, 11
12/11/2013
Final Distribution
3/25/2013
Distribution
4/16/2013
Distribution
5/16/2013
Distribution
7/11/2013
Distribution
9/5/2013
Distribution
12/27/2013
Distribution
$
5, 11
5, 11
5, 11
5, 11
5, 11
17,118,005
$
1,052,497
$
1,230,643
$
41,556
$
147,464,888
$
148,749,256
$
549,997
$
75,372
$
6,789,287
$
3,718,769
$
13,750
$
1,884
$
164,629,827
$
71,462,104
$
38,536,072
$
29,999,850
$
3,999,980
$
5,707,723
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
$
Distribution or Disposition
Debt Obligation w/ Contingent
531,433,016 Proceeds
Debt Obligation w/ Contingent
383,898,721 Proceeds
Debt Obligation w/ Contingent
201,075,230 Proceeds
10
3/14/2011
3/25/2013
2
Amount
$
10/19/2012
2
Repayment Amount
11/15/2012
2/14/2013
1
Investment After Capital Repayment
5, 11
5, 11
5, 11
10
10
10
10
10
10
- Membership Interest 10
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
Debt Obligation w/ Contingent
485,424,484 Proceeds
Debt Obligation w/ Contingent
437,668,717 Proceeds
70
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
1/15/2013
1/24/2013
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
Investment After Capital Repayment
Repayment Amount
$
$
62,456,214
375,212,503
Amount
$
$
Description
Date
- Contingent Proceeds
$
39,499,803 $
516,404,830 Membership Interest
10
3/14/2012
$
39,387,753 $
477,017,077 Membership Interest
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
$
31,835,008
$
Description
Proceeds
Debt Obligation w/ Contingent
375,212,503 Proceeds
7/15/2011
6/3/2013
Distribution or Disposition
- Membership Interest
10
4/16/2013
Distribution
5/16/2013
Distribution
7/11/2013
Distribution
9/5/2013
Distribution
12/27/2013
Distribution
5, 11
5, 11
5, 11
5, 11
5, 11
5, 11
6/3/2013
Distribution
6/14/2013
Distribution
6/24/2013
Distribution
6/26/2013
Distribution
7/9/2013
Distribution 5, 11
12/12/2013
Final Distribution
5, 11
5, 11
5, 11
5, 11
$
7,143,340
$
963,411
$
750,004
$
100,001
$
142,168
$
46,575,750
$
54,999,725
$
27,999,860
$
11,749,941
$
40,974,795
$
539,009
71
Preliminary Adjusted
Seller
Footnote
2
Date
Name of Institution
12/18/2009 Oaktree PPIP Fund, L.P.
Commitment
City
Wilmington
Transaction
Type
State
DE
Purchase
Commitment
Amount
Investment Description
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Pricing
Mechanism
Par
Date
3
Amount
3/22/2010 6 $
2,488,875,000
Final Investment
Final Commitment Amount
Date
7/16/2010
7
Amount
Amount
$
9
Amount
2,321,568,200
$
1,111,000,000
Capital Repayment Details
Repayment
Date
$
30,000,000,000
FINAL COMMITMENT AMOUNT
$
Repayment Amount
Amount
Description
7/15/2011
$
79,000,000
$
3/14/2012
$
78,775,901
$
Debt Obligation w/ Contingent
1,032,000,000 Proceeds
Debt Obligation w/ Contingent
953,224,099 Proceeds
9/17/2012
$
44,224,144
$
Debt Obligation w/ Contingent
908,999,956 Proceeds
10/15/2012
$
64,994,269
$
Debt Obligation w/ Contingent
844,005,687 Proceeds
11/15/2012
$
223,080,187
$
Debt Obligation w/ Contingent
620,925,500 Proceeds
12/14/2012
$
111,080,608
$
Debt Obligation w/ Contingent
509,844,892 Proceeds
1/15/2013
$
89,099,906
$
Debt Obligation w/ Contingent
420,744,985 Proceeds
4/12/2013
$
109,610,516
$
Debt Obligation w/ Contingent
311,134,469 Proceeds
5/14/2013
INITIAL COMMITMENT AMOUNT
Investment After Capital Repayment
$
311,134,469
- Contingent Proceeds
Date
Description
5, 11
5/28/2013
Distribution
6/3/2013
Distribution
6/14/2013
Distribution
6/24/2013
Distribution
6/26/2013
Distribution
7/9/2013
Distribution 5, 11
12/12/2013
Final Distribution
5, 11
5, 11
5, 11
5, 11
5, 11
TOTAL DISTRIBUTIONS 5
21,856,403,574
TOTAL CAPITAL REPAYMENT AMOUNT $
$
Distribution or Disposition
Proceeds
$
444,393
$
1,960,289
$
1,375,007
$
700,004
$
293,751
$
1,024,380
$
13,475
$
2,645,106,311
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
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.
72
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Transactions Report - Housing Programs
For Period Ending 12/29/2014
MAKING HOME AFFORDABLE PROGRAM
Servicer Modifying Borrowers' Loans
Name of Institution
Date
03/14/2013
09/30/2010
09/11/2009
21st Mortgage Corporation
AgFirst Farm Credit Bank
City
Knoxville
Columbia
Allstate Mortgage Loans & Investments,
Ocala
Inc.
Adjustment Details
State
TN
SC
FL
Transaction
Type
Purchase
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
08/14/2014
Ally Bank
Midvale
UT
Purchase
Financial Instrument for Home Loan Modifications
09/30/2010
Amarillo National Bank
Amarillo
TX
Purchase
Financial Instrument for Home Loan Modifications
07/16/2014
Ameriana Bank
New Castle
12/09/2009
American Eagle Federal Credit Union
East Hartford
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
IN
Purchase
Financial Instrument for Home Loan Modifications
CT
Purchase
Financial Instrument for Home Loan Modifications
Pricing Mechanism Note
- N/A
$
$
100,000 N/A
250,000 N/A
- N/A
$
3
100,000 N/A
- N/A
$
3
1,590,000 N/A
09/24/2010
American Finance House LARIBA
Pasadena
CA
Purchase
Financial Instrument for Home Loan Modifications
$
100,000 N/A
09/30/2010
American Financial Resources Inc.
Parsippany
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
100,000 N/A
3
Adjustment
Date
CAP Adjustment Amount
Reason for Adjustment
Adjusted CAP
03/14/2013
$
130,000
$
130,000 Transfer of cap due to servicing transfer
03/25/2013
$
(1)
$
129,999 Updated due to quarterly assessment and reallocation
12/16/2013
$
30,000
$
159,999 Transfer of cap due to servicing transfer
12/23/2013
$
(96)
$
159,903 Updated due to quarterly assessment and reallocation
01/16/2014
$
180,000
$
339,903 Transfer of cap due to servicing transfer
03/26/2014
$
(20)
$
04/16/2014
$
10,000,000
$
10,339,883 Transfer of cap due to servicing transfer
06/16/2014
$
190,000
$
10,529,883 Transfer of cap due to servicing transfer
06/26/2014
$
(3,148)
$
10,526,735 Updated due to quarterly assessment and reallocation
07/29/2014
$
(6,175)
$
10,520,560 Updated due to quarterly assessment and reallocation
08/14/2014
$
50,000
$
10,570,560 Transfer of cap due to servicing transfer
09/16/2014
$
130,000
$
10,700,560 Transfer of cap due to servicing transfer
09/29/2014
$
(2,146)
$
10,698,414 Updated due to quarterly assessment and reallocation
11/14/2014
$
50,000
$
10,748,414 Transfer of cap due to servicing transfer
12/29/2014
$
3,463,801
$
14,212,215 Updated due to quarterly assessment and reallocation
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
03/23/2011
$
(145,056)
10/02/2009
$
60,000
$
310,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(80,000)
$
230,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
280,000
$
510,000 Updated portfolio data from servicer
07/14/2010
$
(410,000)
$
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
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)
$
12/29/2014
$
(7,654)
$
08/14/2014
$
7,600,000
$
7,600,000 Transfer of cap due to servicing transfer
09/29/2014
$
(1,152)
$
7,598,848 Updated due to quarterly assessment and reallocation
12/29/2014
$
1,832,887
$
9,431,735 Updated due to quarterly assessment and reallocation
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
$
(7,654)
$
07/16/2014
$
60,000
$
01/22/2010
$
70,000
$
1,660,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(290,000)
$
1,370,000 Updated portfolio data from servicer
07/14/2010
$
(570,000)
$
800,000 Updated portfolio data from servicer
09/30/2010
$
70,334
$
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
$
(13)
$
870,319 Updated due to quarterly assessment and reallocation
01/25/2012
$
(870,319)
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
02/02/2011
$
(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
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
339,883 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
136,807 Updated due to quarterly assessment and reallocation
60,000 Transfer of cap due to servicing transfer
- Termination of SPA
- Termination of SPA
73
05/21/2010
05/01/2009
Aurora Financial Group, Inc.
Aurora Loan Services, LLC
Marlton
Littleton
NJ
CO
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
10,000 N/A
798,000,000 N/A
11
03/03/2010
Axiom Bank (Urban Trust Bank)
Lake Mary
FL
Purchase
Financial Instrument for Home Loan Modifications
$
1,060,000 N/A
3
09/30/2010
09/15/2011
04/17/2009
Banco Popular de Puerto Rico
Bangor Savings Bank
Bank of America, N.A.
San Juan
Bangor
Simi Valley
PR
Purchase
Financial Instrument for Home Loan Modifications
ME
Purchase
Financial Instrument for Home Loan Modifications
CA
Purchase
Financial Instrument for Home Loan Modifications
$
1,700,000 N/A
- N/A
$
798,900,000 N/A
3
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)
$
136,807 Updated due to quarterly assessment and reallocation
05/26/2010
$
30,000
$
09/30/2010
$
250,111
$
290,111 Updated portfolio data from servicer
06/29/2011
$
59,889
$
350,000 Updated due to quarterly assessment and reallocation
06/28/2012
$
(2)
$
349,998 Updated due to quarterly assessment and reallocation
09/27/2012
$
(5)
$
349,993 Updated due to quarterly assessment and reallocation
12/27/2012
$
(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)
$
12/29/2014
$
(3,496)
$
06/17/2009
$
(338,450,000)
$
459,550,000 Updated portfolio data from servicer
09/30/2009
$
(11,860,000)
$
447,690,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
21,330,000
$
469,020,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
9,150,000
$
478,170,000 Updated portfolio data from servicer
07/14/2010
$
(76,870,000)
$
401,300,000 Updated portfolio data from servicer
09/01/2010
$
400,000
$
401,700,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(8,454,269)
$
393,245,731 Updated portfolio data from servicer
01/06/2011
$
(342)
$
393,245,389 Updated due to quarterly assessment and reallocation
03/30/2011
$
(374)
$
393,245,015 Updated due to quarterly assessment and reallocation
05/13/2011
$
18,000,000
$
411,245,015 Transfer of cap due to servicing transfer
06/29/2011
$
(3,273)
$
411,241,742 Updated due to quarterly assessment and reallocation
10/14/2011
$
(200,000)
$
411,041,742 Transfer of cap due to servicing transfer
03/15/2012
$
100,000
$
411,141,742 Transfer of cap due to servicing transfer
04/16/2012
$
(500,000)
$
410,641,742 Transfer of cap due to servicing transfer
06/28/2012
$
(1,768)
$
410,639,974 Updated due to quarterly assessment and reallocation
07/16/2012
$
(90,000)
$
410,549,974 Transfer of cap due to servicing transfer
08/16/2012
$
(134,230,000)
$
276,319,974 Transfer of cap due to servicing transfer
08/23/2012
$
(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
09/30/2010
$
765,945
$
2,465,945 Updated portfolio data from servicer
01/06/2011
$
(3)
$
2,465,942 Updated due to quarterly assessment and reallocation
03/30/2011
$
(4)
$
2,465,938 Updated due to quarterly assessment and reallocation
06/29/2011
$
(36)
$
2,465,902 Updated due to quarterly assessment and reallocation
06/28/2012
$
(30)
$
2,465,872 Updated due to quarterly assessment and reallocation
09/27/2012
$
(83)
$
2,465,789 Updated due to quarterly assessment and reallocation
12/27/2012
$
(14)
$
2,465,775 Updated due to quarterly assessment and reallocation
03/25/2013
$
(53)
$
2,465,722 Updated due to quarterly assessment and reallocation
06/27/2013
$
(20)
$
2,465,702 Updated due to quarterly assessment and reallocation
09/16/2013
$
460,000
$
2,925,702 Transfer of cap due to servicing transfer
09/27/2013
$
(7)
$
2,925,695 Updated due to quarterly assessment and reallocation
12/23/2013
$
(12,339)
$
2,913,356 Updated due to quarterly assessment and reallocation
01/16/2014
$
50,000
$
2,963,356 Transfer of cap due to servicing transfer
03/26/2014
$
(449)
$
2,962,907 Updated due to quarterly assessment and reallocation
04/16/2014
$
10,000
$
2,972,907 Transfer of cap due to servicing transfer
05/15/2014
$
20,000
$
2,992,907 Transfer of cap due to servicing transfer
06/26/2014
$
(5,322)
$
2,987,585 Updated due to quarterly assessment and reallocation
07/29/2014
$
(10,629)
$
2,976,956 Updated due to quarterly assessment and reallocation
09/29/2014
$
(3,515)
$
2,973,441 Updated due to quarterly assessment and reallocation
12/29/2014
$
(354,804)
$
2,618,637 Updated due to quarterly assessment and reallocation
09/15/2011
$
100,000
$
06/12/2009
$
5,540,000
$
804,440,000 Updated portfolio data from servicer
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
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
40,000 Updated portfolio data from servicer/additional program initial cap
348,055 Updated due to quarterly assessment and reallocation
344,559 Updated due to quarterly assessment and reallocation
85,863,519 Termination of SPA
5,500,000 Updated portfolio data from servicer
- Termination of SPA
100,000 Transfer of cap due to servicing transfer
74
04/17/2009
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
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
06/28/2012
$
(17,893)
$
1,432,995,107 Updated due to quarterly assessment and reallocation
7
08/10/2012
$
(1,401,716,594)
$
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
07/16/2014
$
(6,180,000)
$
7,027,605,490 Transfer of cap due to servicing transfer
07/29/2014
$
(19,885,198)
$
7,007,720,292 Updated due to quarterly assessment and reallocation
08/14/2014
$
(11,870,000)
$
6,995,850,292 Transfer of cap due to servicing transfer
31,278,513 Termination of SPA
31,017,611 Termination of SPA
75
10/23/2009
09/16/2009
12/09/2009
07/01/2009
Bank United
Bay Federal Credit Union
Bay Gulf Credit Union
Bayview Loan Servicing, LLC
Miami Lakes
Capitola
Tampa
Coral Gables
FL
CA
FL
FL
Purchase
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
$
$
93,660,000 N/A
410,000 N/A
230,000 N/A
44,260,000 N/A
09/16/2014
$
(21,390,000)
$
6,974,460,292 Transfer of cap due to servicing transfer
09/29/2014
$
(6,533,419)
$
6,967,926,873 Updated due to quarterly assessment and reallocation
10/16/2014
$
(18,450,000)
$
6,949,476,873 Transfer of cap due to servicing transfer
11/14/2014
$
(20,390,000)
$
6,929,086,873 Transfer of cap due to servicing transfer
12/16/2014
$
(9,530,000)
$
6,919,556,873 Transfer of cap due to servicing transfer
12/29/2014
$
(719,816,794)
$
6,199,740,079 Updated due to quarterly assessment and reallocation
01/22/2010
$
4,370,000
$
03/26/2010
$
23,880,000
$
121,910,000 Updated portfolio data from servicer
07/14/2010
$
(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
$
10/02/2009
$
90,000
$
500,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
1,460,000
$
1,960,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
160,000
$
2,120,000 Updated portfolio data from servicer
07/14/2010
$
(120,000)
$
2,000,000 Updated portfolio data from servicer
09/30/2010
$
(1,419,778)
$
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
01/25/2012
$
(580,212)
01/22/2010
$
10,000
$
240,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
440,000
$
680,000 Updated portfolio data from servicer
07/14/2010
$
(80,000)
$
600,000 Updated portfolio data from servicer
09/30/2010
$
(19,778)
$
580,222 Updated portfolio data from servicer
10/15/2010
$
(580,222)
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
09/27/2012
$
(1,249)
$
88,445,013 Updated due to quarterly assessment and reallocation
10/16/2012
$
160,000
$
88,605,013 Transfer of cap due to servicing transfer
11/15/2012
$
6,970,000
$
95,575,013 Transfer of cap due to servicing transfer
12/14/2012
$
13,590,000
$
109,165,013 Transfer of cap due to servicing transfer
12/27/2012
$
(298)
$
109,164,715 Updated due to quarterly assessment and reallocation
98,030,000 Updated portfolio data from servicer/additional program initial cap
89,648,784 Transfer of cap due to servicing transfer
101,428,113 Updated due to quarterly assessment and reallocation
- Termination of SPA
- Termination of SPA
76
05/15/2014
08/20/2010
07/16/2013
09/15/2010
BMO Harris Bank, NA
Bramble Savings Bank
Bridgelock Capital dba Peak Loan
Servicing
Caliber Home Loans, Inc (Vericrest
Financial, Inc.)
Chicago
Cincinanati
Woodland Hills
Oklahoma City
IL
OH
CA
OK
Purchase
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
- N/A
$
3
700,000 N/A
- N/A
- N/A
3
3
01/16/2013
$
90,000
$
109,254,715 Transfer of cap due to servicing transfer
02/14/2013
$
3,250,000
$
112,504,715 Transfer of cap due to servicing transfer
03/14/2013
$
830,000
$
113,334,715 Transfer of cap due to servicing transfer
03/25/2013
$
(1,023)
$
113,333,692 Updated due to quarterly assessment and reallocation
04/16/2013
$
1,490,000
$
114,823,692 Transfer of cap due to servicing transfer
05/16/2013
$
660,000
$
115,483,692 Transfer of cap due to servicing transfer
06/14/2013
$
7,470,000
$
122,953,692 Transfer of cap due to servicing transfer
06/27/2013
$
(308)
$
122,953,384 Updated due to quarterly assessment and reallocation
07/16/2013
$
21,430,000
$
144,383,384 Transfer of cap due to servicing transfer
09/16/2013
$
11,730,000
$
156,113,384 Transfer of cap due to servicing transfer
09/27/2013
$
(91)
$
156,113,293 Updated due to quarterly assessment and reallocation
10/15/2013
$
5,430,000
$
161,543,293 Transfer of cap due to servicing transfer
11/14/2013
$
20,900,000
$
182,443,293 Transfer of cap due to servicing transfer
12/16/2013
$
260,000
$
182,703,293 Transfer of cap due to servicing transfer
12/23/2013
$
(131,553)
$
182,571,740 Updated due to quarterly assessment and reallocation
01/16/2014
$
1,070,000
$
183,641,740 Transfer of cap due to servicing transfer
02/13/2014
$
2,570,000
$
186,211,740 Transfer of cap due to servicing transfer
03/14/2014
$
1,530,000
$
187,741,740 Transfer of cap due to servicing transfer
03/26/2014
$
(1,050)
$
187,740,690 Updated due to quarterly assessment and reallocation
04/16/2014
$
5,270,000
$
193,010,690 Transfer of cap due to servicing transfer
05/15/2014
$
500,000
$
193,510,690 Transfer of cap due to servicing transfer
06/16/2014
$
2,600,000
$
196,110,690 Transfer of cap due to servicing transfer
06/26/2014
$
18,557,651
$
214,668,341 Updated due to quarterly assessment and reallocation
07/16/2014
$
10,000
$
214,678,341 Transfer of cap due to servicing transfer
07/29/2014
$
13,360,843
$
228,039,184 Updated due to quarterly assessment and reallocation
08/14/2014
$
4,260,000
$
232,299,184 Transfer of cap due to servicing transfer
09/16/2014
$
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
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
$
12/16/2013
$
30,000
$
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
$
(3,430)
$
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)
$
1,450,554 Updated due to quarterly assessment and reallocation
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
01/16/2014
$
(1,130,000)
$
39,382,564 Transfer of cap due to servicing transfer
02/13/2014
$
(2,500,000)
$
36,882,564 Transfer of cap due to servicing transfer
03/14/2014
$
90,000
$
36,972,564 Transfer of cap due to servicing transfer
03/26/2014
$
(4,697)
$
36,967,867 Updated due to quarterly assessment and reallocation
06/26/2014
$
(55,442)
$
36,912,425 Updated due to quarterly assessment and reallocation
07/16/2014
$
2,590,000
$
39,502,425 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
10,000 Transfer of cap due to servicing transfer
40,000 Transfer of cap due to servicing transfer
116,492 Updated due to quarterly assessment and reallocation
77
03/14/2014
09/30/2010
04/27/2009
California Housing Finance Agency
Capital International Financial, Inc.
Carrington Mortgage Services, LLC
Sacramento
Coral Gables
Santa Ana
CA
FL
CA
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
- N/A
$
$
100,000 N/A
195,000,000 N/A
3
07/29/2014
$
(120,725)
$
39,381,700 Updated due to quarterly assessment and reallocation
09/29/2014
$
(40,882)
$
39,340,818 Updated due to quarterly assessment and reallocation
10/16/2014
$
7,680,000
$
47,020,818 Transfer of cap due to servicing transfer
11/14/2014
$
7,720,000
$
54,740,818 Transfer of cap due to servicing transfer
12/16/2014
$
4,210,000
$
58,950,818 Transfer of cap due to servicing transfer
12/29/2014
$
(8,067,210)
$
50,883,608 Updated due to quarterly assessment and reallocation
03/14/2014
$
210,000
$
210,000 Transfer of cap due to servicing transfer
03/26/2014
$
(20)
$
209,980 Updated due to quarterly assessment and reallocation
06/16/2014
$
10,000
$
219,980 Transfer of cap due to servicing transfer
06/26/2014
$
(258)
$
219,722 Updated due to quarterly assessment and reallocation
07/29/2014
$
(512)
$
219,210 Updated due to quarterly assessment and reallocation
09/29/2014
$
(169)
$
219,041 Updated due to quarterly assessment and reallocation
12/29/2014
$
(20,494)
$
198,547 Updated due to quarterly assessment and reallocation
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
$
(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
03/26/2014
$
(30,084)
$
314,568,928 Updated due to quarterly assessment and reallocation
04/16/2014
$
2,660,000
$
317,228,928 Transfer of cap due to servicing transfer
05/15/2014
$
(430,000)
$
316,798,928 Transfer of cap due to servicing transfer
06/16/2014
$
(130,000)
$
316,668,928 Transfer of cap due to servicing transfer
06/26/2014
$
(351,513)
$
316,317,415 Updated due to quarterly assessment and reallocation
07/16/2014
$
(23,460,000)
$
292,857,415 Transfer of cap due to servicing transfer
07/29/2014
$
(621,598)
$
292,235,817 Updated due to quarterly assessment and reallocation
08/14/2014
$
(560,000)
$
291,675,817 Transfer of cap due to servicing transfer
136,807 Updated due to quarterly assessment and reallocation
78
06/17/2009
09/09/2009
09/23/2009
CCO Mortgage, a division of RBS
Citizens NA
Glen Allen
Central Florida Educators Federal Credit
Lake Mary
Union
Central Jersey Federal Credit Union
Woodbridge
VA
FL
NJ
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
$
16,520,000 N/A
1,250,000 N/A
30,000 N/A
09/16/2014
$
8,810,000
$
300,485,817 Transfer of cap due to servicing transfer
09/29/2014
$
(205,371)
$
300,280,446 Updated due to quarterly assessment and reallocation
10/16/2014
$
(19,600,000)
$
280,680,446 Transfer of cap due to servicing transfer
11/14/2014
$
10,000
$
280,690,446 Transfer of cap due to servicing transfer
12/16/2014
$
50,000
$
280,740,446 Transfer of cap due to servicing transfer
12/29/2014
$
(14,927,467)
$
265,812,979 Updated due to quarterly assessment and reallocation
09/30/2009
$
13,070,000
$
29,590,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
145,510,000
$
175,100,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(116,950,000)
$
58,150,000 Updated portfolio data from servicer
07/14/2010
$
(23,350,000)
$
34,800,000 Updated portfolio data from servicer
09/30/2010
$
7,846,346
$
42,646,346 Updated portfolio data from servicer
01/06/2011
$
(46)
$
42,646,300 Updated due to quarterly assessment and reallocation
03/30/2011
$
(55)
$
42,646,245 Updated due to quarterly assessment and reallocation
06/29/2011
$
(452)
$
42,645,793 Updated due to quarterly assessment and reallocation
06/28/2012
$
(309)
$
42,645,484 Updated due to quarterly assessment and reallocation
09/27/2012
$
(807)
$
42,644,677 Updated due to quarterly assessment and reallocation
12/27/2012
$
(131)
$
42,644,546 Updated due to quarterly assessment and reallocation
03/25/2013
$
(475)
$
42,644,071 Updated due to quarterly assessment and reallocation
06/27/2013
$
(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)
09/30/2010
$
856,056
$
2,756,056 Updated portfolio data from servicer
01/06/2011
$
(4)
$
2,756,052 Updated due to quarterly assessment and reallocation
870,327 Updated due to quarterly assessment and reallocation
- Termination of SPA
09/24/2010
Centrue Bank
Ottawa
IL
Purchase
Financial Instrument for Home Loan Modifications
$
1,900,000 N/A
03/09/2011
$
(2,756,052)
04/13/2009
Chase Home Finance, LLC
Iselin
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
3,552,000,000 N/A
1
07/31/2009
$
(3,552,000,000)
06/14/2013
Cheviot Savings Bank
Cincinnati
OH
Purchase
Financial Instrument for Home Loan Modifications
- N/A
3
06/14/2013
$
10,000
$
06/27/2013
$
1,344
$
12/29/2014
$
6,250
$
04/13/2009
CitiMortgage, Inc.
O'Fallon
MO
Purchase
Financial Instrument for Home Loan Modifications
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
07/14/2010
$
(757,680,000)
$
1,011,700,000 Updated portfolio data from servicer
07/16/2010
$
(7,110,000)
$
1,004,590,000 Transfer of cap due to servicing transfer
08/13/2010
$
(6,300,000)
$
998,290,000 Transfer of cap due to servicing transfer
09/15/2010
$
(8,300,000)
$
09/30/2010
$
32,400,000
$
1,022,390,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
101,287,484
$
1,123,677,484 Updated portfolio data from servicer
10/15/2010
$
(1,400,000)
$
1,122,277,484 Transfer of cap due to servicing transfer
11/16/2010
$
(3,200,000)
$
1,119,077,484 Transfer of cap due to servicing transfer
01/06/2011
$
(981)
$
1,119,076,503 Updated due to quarterly assessment and reallocation
$
2,071,000,000 N/A
- Termination of SPA
- Termination of SPA
10,000 Transfer of cap due to servicing transfer
11,344 Updated due to quarterly assessment and reallocation
17,594 Updated due to quarterly assessment and reallocation
989,990,000 Transfer of cap due to servicing transfer
79
09/24/2010
12/16/2009
Citizens Community Bank
Citizens First National Bank
Freeburg
Spring Valley
IL
IL
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
800,000 N/A
620,000 N/A
01/13/2011
$
(10,500,000)
$
1,108,576,503 Transfer of cap due to servicing transfer
02/16/2011
$
(4,600,000)
$
1,103,976,503 Transfer of cap due to servicing transfer
03/16/2011
$
(30,500,000)
$
1,073,476,503 Transfer of cap due to servicing transfer
03/30/2011
$
(1,031)
$
1,073,475,472 Updated due to quarterly assessment and reallocation
04/13/2011
$
100,000
$
1,073,575,472 Transfer of cap due to servicing transfer
05/13/2011
$
(7,200,000)
$
1,066,375,472 Transfer of cap due to servicing transfer
06/16/2011
$
(400,000)
$
1,065,975,472 Transfer of cap due to servicing transfer
06/29/2011
$
(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
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
$
(1,160,443)
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
06/28/2012
$
(16)
$
1,595,567 Updated due to quarterly assessment and reallocation
09/27/2012
$
(45)
$
1,595,522 Updated due to quarterly assessment and reallocation
12/27/2012
$
(8)
$
1,595,514 Updated due to quarterly assessment and reallocation
03/25/2013
$
(30)
$
1,595,484 Updated due to quarterly assessment and reallocation
06/27/2013
$
(11)
$
1,595,473 Updated due to quarterly assessment and reallocation
09/27/2013
$
(4)
$
1,595,469 Updated due to quarterly assessment and reallocation
12/23/2013
$
(6,733)
$
1,588,736 Updated due to quarterly assessment and reallocation
03/26/2014
$
(237)
$
1,588,499 Updated due to quarterly assessment and reallocation
05/15/2014
$
(90,000)
$
1,498,499 Transfer of cap due to servicing transfer
06/26/2014
$
(2,840)
$
1,495,659 Updated due to quarterly assessment and reallocation
- Termination of SPA
650,000 Updated portfolio data from servicer/additional program initial cap
80
6
06/26/2009
09/02/2009
05/15/2014
12/04/2009
09/30/2010
Citizens First Wholesale Mortgage
Company
The Villages
ClearSpring Loan Services, Inc.
(Vantium Capital, Inc. d/b/a Acqura Loan Plano
Services)
Columbia Bank
Community Bank & Trust Company
Community Credit Union of Florida
Fair Lawn
Clarks Summit
Rockledge
FL
TX
NJ
PA
FL
Purchase
Purchase
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
30,000 N/A
6,000,000 N/A
- N/A
$
$
380,000 N/A
2,000,000 N/A
4
3
07/01/2014
$
(1,353,853)
$
09/30/2009
$
(10,000)
$
20,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
590,000
$
610,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(580,000)
$
30,000 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
02/17/2011
$
(145,056)
10/02/2009
$
1,310,000
$
7,310,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(3,390,000)
$
3,920,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
410,000
$
4,330,000 Updated portfolio data from servicer
07/14/2010
$
(730,000)
$
3,600,000 Updated portfolio data from servicer
09/15/2010
$
4,700,000
$
8,300,000 Transfer of cap due to servicing transfer
09/30/2010
$
117,764
$
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
05/15/2014
$
160,000
$
160,000 Transfer of cap due to servicing transfer
06/26/2014
$
(72)
$
159,928 Updated due to quarterly assessment and reallocation
07/29/2014
$
(143)
$
159,785 Updated due to quarterly assessment and reallocation
09/29/2014
$
(47)
$
159,738 Updated due to quarterly assessment and reallocation
12/29/2014
$
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
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
08/26/2014
$
(144,524)
09/30/2010
$
901,112
$
2,901,112 Updated portfolio data from servicer
01/06/2011
$
(4)
$
2,901,108 Updated due to quarterly assessment and reallocation
03/30/2011
$
(5)
$
2,901,103 Updated due to quarterly assessment and reallocation
06/29/2011
$
(48)
$
2,901,055 Updated due to quarterly assessment and reallocation
141,806 Termination of SPA
- Termination of SPA
8,417,764 Updated portfolio data from servicer
- Termination of SPA
81
06/28/2012
$
(36)
$
09/14/2012
$
(2,888,387)
$
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)
$
12/29/2014
$
(7,654)
$
10/02/2009
$
950,000
$
5,300,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
5,700,000
$
11,000,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
740,000
$
11,740,000 Updated portfolio data from servicer
07/14/2010
$
(1,440,000)
$
10,300,000 Updated portfolio data from servicer
09/30/2010
$
(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)
$
3,087,778 Updated due to quarterly assessment and reallocation
12/16/2013
$
30,000
$
09/16/2014
$
10,000
$
03/26/2010
$
12,190,000
$
05/14/2010
$
(15,240,000)
01/22/2010
$
10,000
$
80,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
10,000
$
90,000 Updated portfolio data from servicer
07/14/2010
$
10,000
$
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
09/27/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,053 Updated due to quarterly assessment and reallocation
12/23/2013
$
(145)
$
144,908 Updated due to quarterly assessment and reallocation
03/26/2014
$
(5)
$
144,903 Updated due to quarterly assessment and reallocation
06/26/2014
$
(59)
$
144,844 Updated due to quarterly assessment and reallocation
07/29/2014
$
(117)
$
144,727 Updated due to quarterly assessment and reallocation
09/29/2014
$
(39)
$
144,688 Updated due to quarterly assessment and reallocation
12/29/2014
$
(377)
$
144,311 Updated due to quarterly assessment and reallocation
03/26/2010
$
90,000
$
150,000 Updated portfolio data from servicer
07/14/2010
$
50,000
$
200,000 Updated portfolio data from servicer
09/30/2010
$
(54,944)
$
05/20/2011
$
(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
05/13/2011
$
(122,900,000)
$
555,261,816 Transfer of cap due to servicing transfer
06/29/2011
$
(8,728)
$
555,253,088 Updated due to quarterly assessment and reallocation
07/14/2011
$
(600,000)
$
554,653,088 Transfer of cap due to servicing transfer
8
10/19/2011
$
(519,211,309)
$
3
07/16/2013
$
60,000
$
09/16/2014
$
30,000
$
09/30/2009
$
(90,000)
$
80,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
50,000
$
130,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
100,000
$
230,000 Updated portfolio data from servicer
6
09/30/2010
09/09/2009
12/16/2013
01/15/2010
10/30/2009
12/23/2009
07/31/2009
CU Mortgage Services, Inc.
CUC Mortgage Corporation
Desjardins Bank N.A.
Digital Federal Credit Union
DuPage Credit Union
Eaton National Bank & Trust Company
EMC Mortgage Corporation
New Brighton
Albany
Hallandale Beach
Marlborough
Naperville
Eaton
Lewisville
MN
NY
FL
MA
IL
OH
TX
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
07/16/2013
Everbank
Jacksonville
FL
Purchase
Financial Instrument for Home Loan Modifications
07/17/2009
Farmers State Bank
West Salem
OH
Purchase
Financial Instrument for Home Loan Modifications
100,000 N/A
4,350,000 N/A
- N/A
$
$
$
$
3,050,000 N/A
70,000 N/A
60,000 N/A
707,380,000 N/A
- N/A
$
3
170,000 N/A
2,901,019 Updated due to quarterly assessment and reallocation
12,632 Termination of SPA
144,461 Updated due to quarterly assessment and reallocation
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
145,056 Updated portfolio data from servicer
- Termination of SPA
35,441,779 Termination of SPA
60,000 Transfer of cap due to servicing transfer
90,000 Transfer of cap due to servicing transfer
82
09/03/2010
05/13/2011
Fay Servicing, LLC
FCI Lender Services, Inc.
Chicago
Anaheim Hills
IL
CA
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
3,100,000 N/A
- N/A
3
07/14/2010
$
(130,000)
$
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
05/20/2011
$
(145,056)
09/30/2010
$
5,168,169
$
8,268,169 Updated portfolio data from servicer
01/06/2011
$
(12)
$
8,268,157 Updated due to quarterly assessment and reallocation
03/30/2011
$
(15)
$
8,268,142 Updated due to quarterly assessment and reallocation
04/13/2011
$
400,000
$
8,668,142 Transfer of cap due to servicing transfer
06/29/2011
$
(143)
$
8,667,999 Updated due to quarterly assessment and reallocation
09/15/2011
$
700,000
$
9,367,999 Transfer of cap due to servicing transfer
10/14/2011
$
100,000
$
9,467,999 Transfer of cap due to servicing transfer
11/16/2011
$
200,000
$
9,667,999 Transfer of cap due to servicing transfer
12/15/2011
$
1,700,000
$
11,367,999 Transfer of cap due to servicing transfer
04/16/2012
$
1,600,000
$
12,967,999 Transfer of cap due to servicing transfer
05/16/2012
$
40,000
$
13,007,999 Transfer of cap due to servicing transfer
06/14/2012
$
(210,000)
$
12,797,999 Transfer of cap due to servicing transfer
06/28/2012
$
(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
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
$
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
11/15/2012
$
70,000
$
5,909,734 Transfer of cap due to servicing transfer
12/14/2012
$
40,000
$
5,949,734 Transfer of cap due to servicing transfer
12/27/2012
$
(34)
$
5,949,700 Updated due to quarterly assessment and reallocation
01/16/2013
$
40,000
$
5,989,700 Transfer of cap due to servicing transfer
02/14/2013
$
50,000
$
6,039,700 Transfer of cap due to servicing transfer
03/14/2013
$
360,000
$
6,399,700 Transfer of cap due to servicing transfer
03/25/2013
$
(135)
$
6,399,565 Updated due to quarterly assessment and reallocation
04/16/2013
$
(10,000)
$
6,389,565 Transfer of cap due to servicing transfer
05/16/2013
$
40,000
$
6,429,565 Transfer of cap due to servicing transfer
06/14/2013
$
200,000
$
6,629,565 Transfer of cap due to servicing transfer
100,000 Updated portfolio data from servicer
- Termination of SPA
799,991 Transfer of cap due to servicing transfer
83
12/09/2009
07/29/2009
Fidelity Homestead Savings Bank
FIRST BANK
New Orleans
St. Louis
LA
MO
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
05/15/2014
First Citizens Bank & Trust Company
Hendersonville
NC
Purchase
Financial Instrument for Home Loan Modifications
09/30/2010
First Federal Bank of Florida
Lake City
FL
Purchase
Financial Instrument for Home Loan Modifications
06/19/2009
First Federal Savings and Loan
Port Angeles
WA
Purchase
Financial Instrument for Home Loan Modifications
$
$
2,940,000 N/A
6,460,000 N/A
- N/A
$
$
100,000 N/A
770,000 N/A
3
06/27/2013
$
(53)
$
6,629,512 Updated due to quarterly assessment and reallocation
07/16/2013
$
20,000
$
6,649,512 Transfer of cap due to servicing transfer
09/27/2013
$
(19)
$
6,649,493 Updated due to quarterly assessment and reallocation
10/15/2013
$
260,000
$
6,909,493 Transfer of cap due to servicing transfer
11/14/2013
$
30,000
$
6,939,493 Transfer of cap due to servicing transfer
12/23/2013
$
(33,755)
$
6,905,738 Updated due to quarterly assessment and reallocation
02/13/2014
$
110,000
$
7,015,738 Transfer of cap due to servicing transfer
03/14/2014
$
640,000
$
7,655,738 Transfer of cap due to servicing transfer
03/26/2014
$
(1,305)
$
7,654,433 Updated due to quarterly assessment and reallocation
04/16/2014
$
120,000
$
7,774,433 Transfer of cap due to servicing transfer
05/15/2014
$
40,000
$
7,814,433 Transfer of cap due to servicing transfer
06/16/2014
$
110,000
$
7,924,433 Transfer of cap due to servicing transfer
06/26/2014
$
(15,838)
$
7,908,595 Updated due to quarterly assessment and reallocation
07/16/2014
$
440,000
$
8,348,595 Transfer of cap due to servicing transfer
07/29/2014
$
(33,291)
$
8,315,304 Updated due to quarterly assessment and reallocation
08/14/2014
$
1,110,000
$
9,425,304 Transfer of cap due to servicing transfer
09/16/2014
$
40,000
$
9,465,304 Transfer of cap due to servicing transfer
09/29/2014
$
(12,454)
$
9,452,850 Updated due to quarterly assessment and reallocation
10/16/2014
$
20,000
$
9,472,850 Transfer of cap due to servicing transfer
11/14/2014
$
20,000
$
9,492,850 Transfer of cap due to servicing transfer
12/16/2014
$
190,000
$
9,682,850 Transfer of cap due to servicing transfer
12/29/2014
$
(1,564,671)
$
8,118,179 Updated due to quarterly assessment and reallocation
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)
$
1,003,326 Updated due to quarterly assessment and reallocation
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
$
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
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)
$
12/30/2009
$
2,020,000
$
03/26/2010
$
11,370,000
$
05/26/2010
$
(14,160,000)
872,692 Updated due to quarterly assessment and reallocation
10,000 Transfer of cap due to servicing transfer
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
84
12/16/2009
08/27/2010
11/25/2009
First Federal Savings and Loan
Association of Lakewood
First Financial Bank, N.A.
First Keystone Bank
Lakewood
Terre Haute
Media
OH
ID
PA
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
06/16/2014
First Mortgage Company, LLC
Oklahoma City
OK
Purchase
Financial Instrument for Home Loan Modifications
09/30/2010
First Mortgage Corporation
Diamond Bar
CA
Purchase
Financial Instrument for Home Loan Modifications
01/13/2010
09/30/2010
09/30/2010
02/13/2014
09/11/2009
First National Bank of Grant Park
First Safety Bank
Flagstar Capital Markets Corporation
Florida Community Bank, NA
Franklin Credit Management
Corporation
Grant Park
Cincinnati
Troy
Weston
Jersey City
IL
OH
MI
FL
NJ
Purchase
Purchase
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
$
4,300,000 N/A
1,280,000 N/A
- N/A
$
$
$
$
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
3,460,000 N/A
$
160,000
$
(3,620,000)
09/30/2010
$
7,014,337
$
11,314,337 Updated portfolio data from servicer
01/06/2011
$
(17)
$
11,314,320 Updated due to quarterly assessment and reallocation
03/30/2011
$
(20)
$
11,314,300 Updated due to quarterly assessment and reallocation
06/29/2011
$
(192)
$
11,314,108 Updated due to quarterly assessment and reallocation
06/28/2012
$
(144)
$
11,313,964 Updated due to quarterly assessment and reallocation
09/27/2012
$
(396)
$
11,313,568 Updated due to quarterly assessment and reallocation
12/27/2012
$
(67)
$
11,313,501 Updated due to quarterly assessment and reallocation
03/25/2013
$
(253)
$
11,313,248 Updated due to quarterly assessment and reallocation
06/27/2013
$
(95)
$
11,313,153 Updated due to quarterly assessment and reallocation
09/27/2013
$
(34)
$
11,313,119 Updated due to quarterly assessment and reallocation
12/23/2013
$
(57,776)
$
11,255,343 Updated due to quarterly assessment and reallocation
03/26/2014
$
(2,031)
$
11,253,312 Updated due to quarterly assessment and reallocation
06/26/2014
$
(23,972)
$
11,229,340 Updated due to quarterly assessment and reallocation
07/29/2014
$
(47,613)
$
11,181,727 Updated due to quarterly assessment and reallocation
09/29/2014
$
(15,728)
$
11,165,999 Updated due to quarterly assessment and reallocation
12/29/2014
$
(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
03/26/2010
$
1,020,000
$
2,350,000 Updated portfolio data from servicer
07/14/2010
$
(950,000)
$
1,400,000 Updated portfolio data from servicer
09/30/2010
$
50,556
$
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
06/16/2011
$
(100,000)
$
1,350,552 Transfer of cap due to servicing transfer
1,350,531 Updated due to quarterly assessment and reallocation
$
3,620,000 Updated portfolio data from servicer/additional program initial cap
- Termination of SPA
06/29/2011
$
(21)
$
07/22/2011
$
(1,335,614)
$
3
06/16/2014
$
20,000
$
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
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)
$
136,807 Updated due to quarterly assessment and reallocation
03/26/2010
$
150,000
$
290,000 Updated portfolio data from servicer
07/14/2010
$
10,000
$
300,000 Updated portfolio data from servicer
09/30/2010
$
(9,889)
$
290,111 Updated portfolio data from servicer
01/26/2011
$
(290,111)
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
03/23/2011
$
(580,221)
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
03/30/2011
$
(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
06/26/2014
$
(2,267)
$
1,152,408 Updated due to quarterly assessment and reallocation
07/01/2014
$
(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
$
10/02/2009
$
6,010,000
$
33,520,000 Updated portfolio data from servicer/additional program initial cap
13,770,000 Updated portfolio data from servicer/additional program initial cap
140,000 N/A
400,000 N/A
800,000 N/A
27,510,000 N/A
$
04/21/2010
6
100,000 N/A
- N/A
01/22/2010
3
14,917 Termination of SPA
20,000 Transfer of cap due to servicing transfer
- Termination of SPA
- Termination of SPA
- Termination of SPA
197,023 Updated due to quarterly assessment and reallocation
12/30/2009
$
(19,750,000)
$
03/26/2010
$
(4,780,000)
$
8,990,000 Updated portfolio data from servicer
07/14/2010
$
(2,390,000)
$
6,600,000 Updated portfolio data from servicer
09/30/2010
$
2,973,670
$
9,573,670 Updated portfolio data from servicer
01/06/2011
$
(3)
$
9,573,667 Updated due to quarterly assessment and reallocation
02/16/2011
$
(1,800,000)
$
7,773,667 Transfer of cap due to servicing transfer
03/30/2011
$
(6)
$
7,773,661 Updated due to quarterly assessment and reallocation
85
09/30/2010
Franklin Savings
Cincinnati
OH
Purchase
Financial Instrument for Home Loan Modifications
$
1,700,000 N/A
6
01/13/2010
Fresno County Federal Credit Union
Fresno
CA
Purchase
Financial Instrument for Home Loan Modifications
$
260,000 N/A
6
09/30/2010
Gateway Mortgage Group, LLC
Tulsa
OK
Purchase
Financial Instrument for Home Loan Modifications
$
100,000 N/A
09/30/2010
GFA Federal Credit Union
Gardner
MA
Purchase
Financial Instrument for Home Loan Modifications
$
100,000 N/A
09/23/2009
Glass City Federal Credit Union
Maumee
OH
Purchase
Financial Instrument for Home Loan Modifications
$
230,000 N/A
6
12/11/2009
04/13/2009
Glenview State Bank
GMAC Mortgage, Inc.
Glenview
Ft. Washington
IL
PA
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
370,000 N/A
633,000,000 N/A
06/29/2011
$
(61)
$
7,773,600 Updated due to quarterly assessment and reallocation
10/14/2011
$
(100,000)
$
7,673,600 Transfer of cap due to servicing transfer
06/28/2012
$
(58)
$
7,673,542 Updated due to quarterly assessment and reallocation
09/27/2012
$
(164)
$
7,673,378 Updated due to quarterly assessment and reallocation
12/27/2012
$
(29)
$
7,673,349 Updated due to quarterly assessment and reallocation
03/25/2013
$
(110)
$
7,673,239 Updated due to quarterly assessment and reallocation
06/27/2013
$
(42)
$
7,673,197 Updated due to quarterly assessment and reallocation
09/27/2013
$
(15)
$
7,673,182 Updated due to quarterly assessment and reallocation
12/23/2013
$
(25,724)
$
7,647,458 Updated due to quarterly assessment and reallocation
03/14/2014
$
40,000
$
7,687,458 Transfer of cap due to servicing transfer
03/26/2014
$
(913)
$
7,686,545 Updated due to quarterly assessment and reallocation
06/26/2014
$
(10,778)
$
7,675,767 Updated due to quarterly assessment and reallocation
07/29/2014
$
(21,410)
$
7,654,357 Updated due to quarterly assessment and reallocation
09/29/2014
$
(7,073)
$
7,647,284 Updated due to quarterly assessment and reallocation
12/29/2014
$
(757,196)
$
6,890,088 Updated due to quarterly assessment and reallocation
09/30/2010
$
765,945
$
2,465,945 Updated portfolio data from servicer
01/06/2011
$
(4)
$
2,465,941 Updated due to quarterly assessment and reallocation
03/30/2011
$
(4)
$
2,465,937 Updated due to quarterly assessment and reallocation
06/29/2011
$
(40)
$
2,465,897 Updated due to quarterly assessment and reallocation
06/28/2012
$
(30)
$
2,465,867 Updated due to quarterly assessment and reallocation
09/27/2012
$
(83)
$
2,465,784 Updated due to quarterly assessment and reallocation
12/27/2012
$
(14)
$
2,465,770 Updated due to quarterly assessment and reallocation
03/25/2013
$
(53)
$
2,465,717 Updated due to quarterly assessment and reallocation
06/14/2013
$
(10,000)
$
2,455,717 Transfer of cap due to servicing transfer
06/27/2013
$
(20)
$
2,455,697 Updated due to quarterly assessment and reallocation
09/27/2013
$
(7)
$
2,455,690 Updated due to quarterly assessment and reallocation
10/24/2013
$
(2,446,075)
$
03/26/2010
$
480,000
$
740,000 Updated portfolio data from servicer
07/14/2010
$
(140,000)
$
600,000 Updated portfolio data from servicer
09/30/2010
$
(19,778)
$
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
07/06/2012
$
(555,252)
$
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
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
03/23/2011
$
(145,056)
10/02/2009
$
60,000
$
290,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(10,000)
$
280,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
130,000
$
410,000 Updated portfolio data from servicer
07/14/2010
$
(110,000)
$
300,000 Updated portfolio data from servicer
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)
$
287,598 Updated due to quarterly assessment and reallocation
11/03/2014
$
(275,124)
$
01/22/2010
$
20,000
$
03/26/2010
$
1,250,000
$
1,640,000 Updated portfolio data from servicer
05/26/2010
$
(1,640,000)
06/12/2009
$
384,650,000
$
1,017,650,000 Updated portfolio data from servicer
09/30/2009
$
2,537,240,000
$
3,554,890,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(1,679,520,000)
$
1,875,370,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
190,180,000
$
2,065,550,000 Updated portfolio data from servicer
05/14/2010
$
1,880,000
$
2,067,430,000 Transfer of cap due to servicing transfer
07/14/2010
$
(881,530,000)
$
1,185,900,000 Updated portfolio data from servicer
08/13/2010
$
(3,700,000)
$
1,182,200,000 Transfer of cap due to servicing transfer
09/30/2010
$
119,200,000
$
1,301,400,000 Updated portfolio data from servicer/additional program initial cap
9,615 Termination of SPA
24,954 Termination of SPA
- Termination of SPA
12,474 Termination of SPA
390,000 Updated portfolio data from servicer/additional program initial cap
- Termination of SPA
86
12/16/2009
12/23/2009
10/14/2009
Golden Plains Credit Union
Grafton Suburban Credit Union
Great Lakes Credit Union
Garden City
North Grafton
North Chicago
KS
MA
IL
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
$
170,000 N/A
340,000 N/A
570,000 N/A
09/30/2010
$
216,998,139
$
1,518,398,139 Updated portfolio data from servicer
12/15/2010
$
(500,000)
$
1,517,898,139 Transfer of cap due to servicing transfer
01/06/2011
$
(1,734)
$
1,517,896,405 Updated due to quarterly assessment and reallocation
03/16/2011
$
(100,000)
$
1,517,796,405 Transfer of cap due to servicing transfer
03/30/2011
$
(2,024)
$
1,517,794,381 Updated due to quarterly assessment and reallocation
04/13/2011
$
(800,000)
$
1,516,994,381 Transfer of cap due to servicing transfer
05/13/2011
$
(17,900,000)
$
1,499,094,381 Transfer of cap due to servicing transfer
06/29/2011
$
(18,457)
$
1,499,075,924 Updated due to quarterly assessment and reallocation
07/14/2011
$
(200,000)
$
1,498,875,924 Transfer of cap due to servicing transfer
08/16/2011
$
3,400,000
$
1,502,275,924 Transfer of cap due to servicing transfer
09/15/2011
$
200,000
$
1,502,475,924 Transfer of cap due to servicing transfer
10/14/2011
$
(800,000)
$
1,501,675,924 Transfer of cap due to servicing transfer
11/16/2011
$
(200,000)
$
1,501,475,924 Transfer of cap due to servicing transfer
12/15/2011
$
2,600,000
$
1,504,075,924 Transfer of cap due to servicing transfer
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
01/22/2010
$
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
$
(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)
$
01/25/2012
$
(725,265)
12/30/2009
$
1,030,000
$
03/26/2010
$
(880,000)
$
720,000 Updated portfolio data from servicer
07/14/2010
$
(320,000)
$
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
- Termination of SPA
725,265 Updated due to quarterly assessment and reallocation
- Termination of SPA
1,600,000 Updated portfolio data from servicer/additional program initial cap
87
01/13/2010
04/24/2009
Greater Nevada Mortgage Services
Green Tree Servicing LLC
Carson City
Saint Paul
NV
MN
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
770,000 N/A
156,000,000 N/A
03/25/2013
$
(11)
$
580,175 Updated due to quarterly assessment and reallocation
06/27/2013
$
(4)
$
580,171 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
580,170 Updated due to quarterly assessment and reallocation
12/23/2013
$
(2,438)
$
577,732 Updated due to quarterly assessment and reallocation
03/26/2014
$
(86)
$
577,646 Updated due to quarterly assessment and reallocation
06/26/2014
$
(925)
$
576,721 Updated due to quarterly assessment and reallocation
07/29/2014
$
(1,789)
$
574,932 Updated due to quarterly assessment and reallocation
09/29/2014
$
(607)
$
12/29/2014
$
(64,898)
$
03/26/2010
$
8,680,000
$
9,450,000 Updated portfolio data from servicer
07/14/2010
$
(8,750,000)
$
700,000 Updated portfolio data from servicer
09/30/2010
$
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)
$
866,963 Updated due to quarterly assessment and reallocation
12/29/2014
$
(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
$
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
12/16/2013
$
21,280,000
$
222,070,904 Transfer of cap due to servicing transfer
12/23/2013
$
(710,351)
$
221,360,553 Updated due to quarterly assessment and reallocation
02/13/2014
$
1,700,000
$
223,060,553 Transfer of cap due to servicing transfer
03/26/2014
$
(22,400)
$
223,038,153 Updated due to quarterly assessment and reallocation
04/16/2014
$
2,280,000
$
225,318,153 Transfer of cap due to servicing transfer
05/15/2014
$
12,810,000
$
238,128,153 Transfer of cap due to servicing transfer
06/16/2014
$
(2,000,000)
$
236,128,153 Transfer of cap due to servicing transfer
06/26/2014
$
(262,535)
$
235,865,618 Updated due to quarterly assessment and reallocation
07/16/2014
$
130,000
$
235,995,618 Transfer of cap due to servicing transfer
07/29/2014
$
(499,786)
$
235,495,832 Updated due to quarterly assessment and reallocation
574,325 Updated due to quarterly assessment and reallocation
509,427 Updated due to quarterly assessment and reallocation
856,850 Updated due to quarterly assessment and reallocation
91,010,000 Updated portfolio data from servicer
94,110,000 Transfer of cap due to servicing transfer
96,310,000 Transfer of cap due to servicing transfer
88
07/14/2011
09/30/2010
Gregory Funding, LLC
Guaranty Bank
Beaverton
Saint Paul
OR
MN
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
- N/A
$
3
100,000 N/A
08/14/2014
$
(1,940,000)
$
233,555,832 Transfer of cap due to servicing transfer
09/16/2014
$
380,000
$
233,935,832 Transfer of cap due to servicing transfer
09/29/2014
$
(150,666)
$
233,785,166 Updated due to quarterly assessment and reallocation
10/16/2014
$
(1,120,000)
$
232,665,166 Transfer of cap due to servicing transfer
11/14/2014
$
760,000
$
233,425,166 Transfer of cap due to servicing transfer
12/16/2014
$
5,910,000
$
239,335,166 Transfer of cap due to servicing transfer
12/29/2014
$
(10,171,749)
$
229,163,417 Updated due to quarterly assessment and reallocation
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
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
$
(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
Hartford
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
06/26/2014
$
(2,267)
$
1,152,408 Updated due to quarterly assessment and reallocation
07/29/2014
$
(4,502)
$
1,147,906 Updated due to quarterly assessment and reallocation
09/29/2014
$
(1,487)
$
1,146,419 Updated due to quarterly assessment and reallocation
12/29/2014
$
(180,152)
$
966,267 Updated due to quarterly assessment and reallocation
05/15/2014
$
90,000
$
06/26/2014
$
20,556
$
09/29/2014
$
(1)
$
12/29/2014
$
80,001
$
01/22/2010
$
80,000
$
1,750,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
330,000
$
2,080,000 Updated portfolio data from servicer
07/14/2010
$
(1,080,000)
$
1,000,000 Updated portfolio data from servicer
09/30/2010
$
160,445
$
1,160,445 Updated portfolio data from servicer
05/15/2014
11/18/2009
Heartland Bank & Trust Company
Hillsdale County National Bank
Bloomington
Hillsdale
IL
MI
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
- N/A
$
1,670,000 N/A
3
- Termination of SPA
90,000 Transfer of cap due to servicing transfer
110,556 Updated due to quarterly assessment and reallocation
110,555 Updated due to quarterly assessment and reallocation
190,556 Updated due to quarterly assessment and reallocation
89
01/06/2011
$
(1)
$
1,160,444 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
1,160,442 Updated due to quarterly assessment and reallocation
06/29/2011
$
(16)
$
1,160,426 Updated due to quarterly assessment and reallocation
06/28/2012
$
(12)
$
1,160,414 Updated due to quarterly assessment and reallocation
09/27/2012
$
(33)
$
1,160,381 Updated due to quarterly assessment and reallocation
12/27/2012
$
(6)
$
1,160,375 Updated due to quarterly assessment and reallocation
03/25/2013
$
(21)
$
1,160,354 Updated due to quarterly assessment and reallocation
06/27/2013
$
(8)
$
1,160,346 Updated due to quarterly assessment and reallocation
09/27/2013
$
(3)
$
1,160,343 Updated due to quarterly assessment and reallocation
12/23/2013
$
(4,797)
$
1,155,546 Updated due to quarterly assessment and reallocation
03/26/2014
$
(169)
$
1,155,377 Updated due to quarterly assessment and reallocation
06/26/2014
$
(1,996)
$
1,153,381 Updated due to quarterly assessment and reallocation
07/29/2014
$
(3,965)
$
1,149,416 Updated due to quarterly assessment and reallocation
09/29/2014
$
(1,311)
$
1,148,105 Updated due to quarterly assessment and reallocation
12/29/2014
$
(144,011)
$
1,004,094 Updated due to quarterly assessment and reallocation
11/25/2009
Home Financing Center, Inc
Coral Gables
FL
Purchase
Financial Instrument for Home Loan Modifications
$
230,000 N/A
04/21/2010
$
(230,000)
04/20/2009
Home Loan Services, Inc.
Pittsburgh
PA
Purchase
Financial Instrument for Home Loan Modifications
$
319,000,000 N/A
06/12/2009
$
128,300,000
$
447,300,000 Updated portfolio data from servicer
09/30/2009
$
46,730,000
$
494,030,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
145,820,000
$
639,850,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(17,440,000)
$
622,410,000 Updated portfolio data from servicer
07/14/2010
$
(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
7
10/19/2011
$
(155,061,221)
$
3
02/14/2013
$
510,000
$
510,000 Transfer of cap due to servicing transfer
03/25/2013
$
(9)
$
509,991 Updated due to quarterly assessment and reallocation
04/16/2013
$
200,000
$
709,991 Transfer of cap due to servicing transfer
05/16/2013
$
40,000
$
749,991 Transfer of cap due to servicing transfer
06/27/2013
$
(4)
$
749,987 Updated due to quarterly assessment and reallocation
07/16/2013
$
(120,000)
$
629,987 Transfer of cap due to servicing transfer
09/27/2013
$
(2)
$
629,985 Updated due to quarterly assessment and reallocation
12/23/2013
$
(2,620)
$
627,365 Updated due to quarterly assessment and reallocation
03/26/2014
$
(92)
$
627,273 Updated due to quarterly assessment and reallocation
06/26/2014
$
(1,088)
$
626,185 Updated due to quarterly assessment and reallocation
07/29/2014
$
(2,161)
$
624,024 Updated due to quarterly assessment and reallocation
09/16/2014
$
(290,000)
$
334,024 Transfer of cap due to servicing transfer
09/29/2014
$
(332)
$
12/29/2014
$
(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
12/23/2013
$
(1,858,220)
$
369,169,319 Updated due to quarterly assessment and reallocation
02/27/2014
$
(360,860,500)
$
01/22/2010
$
20,000
$
03/26/2010
$
820,000
$
1,150,000 Updated portfolio data from servicer
07/14/2010
$
(350,000)
$
800,000 Updated portfolio data from servicer
09/30/2010
$
70,334
$
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
$
(13)
$
870,319 Updated due to quarterly assessment and reallocation
06/28/2012
$
(10)
$
870,309 Updated due to quarterly assessment and reallocation
07/06/2012
$
(856,986)
$
02/14/2013
08/05/2009
Home Servicing, LLC
HomEq Servicing
Baton Rouge
North Highlands
LA
CA
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
- N/A
$
674,000,000 N/A
13
12/11/2009
HomeStar Bank & Financial Services
Manteno
IL
Purchase
Financial Instrument for Home Loan Modifications
$
310,000 N/A
6
- Termination of SPA
6,309,233 Termination of SPA
333,692 Updated due to quarterly assessment and reallocation
293,459 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
90
07/22/2009
Homeward Residential, Inc. (American
Home Mortgage Servicing, Inc)
Coppell
TX
Purchase
Financial Instrument for Home Loan Modifications
$
1,272,490,000 N/A
14
09/02/2009
12/16/2009
12/23/2009
Horicon Bank
Horizon Bank, NA
Iberiabank
Horicon
Michigan City
Sarasota
WI
IN
FL
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
$
560,000 N/A
700,000 N/A
4,230,000 N/A
6
09/30/2009
$
(53,670,000)
$
1,218,820,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
250,450,000
$
1,469,270,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
124,820,000
$
1,594,090,000 Updated portfolio data from servicer
07/14/2010
$
(289,990,000)
$
1,304,100,000 Updated portfolio data from servicer
09/30/2010
$
1,690,508
$
1,305,790,508 Updated portfolio data from servicer
10/15/2010
$
300,000
$
1,306,090,508 Transfer of cap due to servicing transfer
11/16/2010
$
(100,000)
$
1,305,990,508 Transfer of cap due to servicing transfer
01/06/2011
$
(1,173)
$
1,305,989,335 Updated due to quarterly assessment and reallocation
02/16/2011
$
(500,000)
$
1,305,489,335 Transfer of cap due to servicing transfer
03/30/2011
$
(1,400)
$
1,305,487,935 Updated due to quarterly assessment and reallocation
04/13/2011
$
3,100,000
$
1,308,587,935 Transfer of cap due to servicing transfer
06/29/2011
$
(12,883)
$
1,308,575,052 Updated due to quarterly assessment and reallocation
09/15/2011
$
(1,000,000)
$
1,307,575,052 Transfer of cap due to servicing transfer
10/14/2011
$
(100,000)
$
1,307,475,052 Transfer of cap due to servicing transfer
11/16/2011
$
(1,100,000)
$
1,306,375,052 Transfer of cap due to servicing transfer
05/16/2012
$
(10,000)
$
1,306,365,052 Transfer of cap due to servicing transfer
06/28/2012
$
(8,378)
$
1,306,356,674 Updated due to quarterly assessment and reallocation
07/16/2012
$
(470,000)
$
1,305,886,674 Transfer of cap due to servicing transfer
08/16/2012
$
(80,000)
$
1,305,806,674 Transfer of cap due to servicing transfer
09/27/2012
$
(22,494)
$
1,305,784,180 Updated due to quarterly assessment and reallocation
10/16/2012
$
(260,000)
$
1,305,524,180 Transfer of cap due to servicing transfer
11/15/2012
$
(30,000)
$
1,305,494,180 Transfer of cap due to servicing transfer
12/14/2012
$
(50,000)
$
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)
$
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)
$
287,598 Updated due to quarterly assessment and reallocation
12/29/2014
$
(32,297)
$
01/22/2010
$
30,000
$
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
06/28/2012
$
(17)
$
1,450,512 Updated due to quarterly assessment and reallocation
09/21/2012
$
(1,450,512)
01/22/2010
$
200,000
$
4,430,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(1,470,000)
$
2,960,000 Updated portfolio data from servicer
07/14/2010
$
(1,560,000)
$
1,400,000 Updated portfolio data from servicer
09/30/2010
$
5,852,780
$
7,252,780 Updated portfolio data from servicer
01/06/2011
$
(11)
$
7,252,769 Updated due to quarterly assessment and reallocation
03/30/2011
$
(13)
$
7,252,756 Updated due to quarterly assessment and reallocation
04/13/2011
$
(300,000)
$
6,952,756 Transfer of cap due to servicing transfer
06/03/2011
$
(6,927,254)
$
564,975,861 Updated due to quarterly assessment and reallocation
255,301 Updated due to quarterly assessment and reallocation
730,000 Updated portfolio data from servicer/additional program initial cap
2,470,000 Updated portfolio data from servicer
- Termination of SPA
25,502 Termination of SPA
91
07/10/2009
IBM Southeast Employees' Federal
Credit Union
Delray Beach
FL
Purchase
Financial Instrument for Home Loan Modifications
$
870,000 N/A
6
10/23/2009
12/04/2009
01/29/2010
03/05/2010
IC Federal Credit Union
Fitchburg
Idaho Housing and Finance Association Boise
iServe Residential Lending, LLC
iServe Servicing, Inc.
San Diego
Irving
MA
ID
CA
TX
Purchase
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
$
$
760,000 N/A
9,430,000 N/A
960,000 N/A
28,040,000 N/A
09/30/2009
$
(10,000)
$
860,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
250,000
$
1,110,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(10,000)
$
1,100,000 Updated portfolio data from servicer
07/14/2010
$
(400,000)
$
700,000 Updated portfolio data from servicer
09/30/2010
$
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
$
(12)
$
870,320 Updated due to quarterly assessment and reallocation
06/28/2012
$
(9)
$
870,311 Updated due to quarterly assessment and reallocation
09/14/2012
$
(821,722)
$
01/22/2010
$
40,000
$
03/26/2010
$
(760,000)
$
40,000 Updated portfolio data from servicer
05/12/2010
$
2,630,000
$
2,670,000 Updated portfolio data from servicer
07/14/2010
$
(770,000)
$
1,900,000 Updated portfolio data from servicer
09/30/2010
$
565,945
$
2,465,945 Updated portfolio data from servicer
01/06/2011
$
(4)
$
2,465,941 Updated due to quarterly assessment and reallocation
03/30/2011
$
(4)
$
2,465,937 Updated due to quarterly assessment and reallocation
06/29/2011
$
(40)
$
2,465,897 Updated due to quarterly assessment and reallocation
06/28/2012
$
(29)
$
2,465,868 Updated due to quarterly assessment and reallocation
09/27/2012
$
(80)
$
2,465,788 Updated due to quarterly assessment and reallocation
12/27/2012
$
(14)
$
2,465,774 Updated due to quarterly assessment and reallocation
03/25/2013
$
(52)
$
2,465,722 Updated due to quarterly assessment and reallocation
06/27/2013
$
(19)
$
2,465,703 Updated due to quarterly assessment and reallocation
09/27/2013
$
(7)
$
2,465,696 Updated due to quarterly assessment and reallocation
12/23/2013
$
(11,558)
$
2,454,138 Updated due to quarterly assessment and reallocation
03/26/2014
$
(410)
$
2,453,728 Updated due to quarterly assessment and reallocation
06/26/2014
$
(4,837)
$
2,448,891 Updated due to quarterly assessment and reallocation
07/29/2014
$
(9,607)
$
2,439,284 Updated due to quarterly assessment and reallocation
09/29/2014
$
(3,173)
$
2,436,111 Updated due to quarterly assessment and reallocation
12/29/2014
$
(374,717)
$
2,061,394 Updated due to quarterly assessment and reallocation
01/22/2010
$
440,000
$
03/26/2010
$
14,480,000
$
24,350,000 Updated portfolio data from servicer
05/26/2010
$
(24,200,000)
$
150,000 Updated portfolio data from servicer
07/14/2010
$
150,000
$
300,000 Updated portfolio data from servicer
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
$
(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
$
(18,852)
$
269,304 Updated due to quarterly assessment and reallocation
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
09/29/2014
$
(610)
$
12/29/2014
$
(73,927)
$
05/26/2010
$
120,000
$
28,160,000 Updated portfolio data from servicer/additional program initial cap
07/14/2010
$
(12,660,000)
$
15,500,000 Updated portfolio data from servicer
09/30/2010
$
100,000
$
15,600,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(3,125,218)
$
12,474,782 Updated portfolio data from servicer
11/16/2010
$
800,000
$
13,274,782 Transfer of cap due to servicing transfer
01/06/2011
$
(20)
$
13,274,762 Updated due to quarterly assessment and reallocation
03/30/2011
$
(24)
$
13,274,738 Updated due to quarterly assessment and reallocation
06/29/2011
$
(221)
$
13,274,517 Updated due to quarterly assessment and reallocation
48,589 Termination of SPA
800,000 Updated portfolio data from servicer/additional program initial cap
9,870,000 Updated portfolio data from servicer/additional program initial cap
529,410 Updated due to quarterly assessment and reallocation
455,483 Updated due to quarterly assessment and reallocation
92
09/24/2010
07/31/2009
James B. Nutter & Company
JP Morgan Chase Bank, NA
Kansas City
Lewisville
MO
TX
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
300,000 N/A
2,699,720,000 N/A
06/28/2012
$
(169)
$
13,274,348 Updated due to quarterly assessment and reallocation
09/27/2012
$
(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
09/30/2010
$
135,167
$
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
09/27/2012
$
(12)
$
435,143 Updated due to quarterly assessment and reallocation
12/27/2012
$
(2)
$
435,141 Updated due to quarterly assessment and reallocation
03/25/2013
$
(8)
$
435,133 Updated due to quarterly assessment and reallocation
06/27/2013
$
(3)
$
435,130 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
435,129 Updated due to quarterly assessment and reallocation
12/23/2013
$
(1,727)
$
433,402 Updated due to quarterly assessment and reallocation
03/26/2014
$
(61)
$
433,341 Updated due to quarterly assessment and reallocation
06/26/2014
$
(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)
$
12/29/2014
$
(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
06/27/2013
$
(3,778)
$
3,726,168,448 Updated due to quarterly assessment and reallocation
07/16/2013
$
(103,240,000)
$
3,622,928,448 Transfer of cap due to servicing transfer
08/15/2013
$
(20,000)
$
3,622,908,448 Transfer of cap due to servicing transfer
09/16/2013
$
(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
430,732 Updated due to quarterly assessment and reallocation
373,793 Updated due to quarterly assessment and reallocation
93
11/15/2012
08/05/2009
07/10/2009
Kondaur Capital Corporation
Lake City Bank
Lake National Bank
Orange
Warsaw
Mentor
CA
IN
OH
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
- N/A
$
$
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
11/15/2012
$
30,000
$
30,000 Transfer of cap due to servicing transfer
12/14/2012
$
70,000
$
100,000 Transfer of cap due to servicing transfer
01/16/2013
$
(10,000)
$
90,000 Transfer of cap due to servicing transfer
02/14/2013
$
(10,000)
$
04/16/2013
$
(10,000)
$
70,000 Transfer of cap due to servicing transfer
05/16/2013
$
130,000
$
200,000 Transfer of cap due to servicing transfer
06/14/2013
$
(50,000)
$
150,000 Transfer of cap due to servicing transfer
07/16/2013
$
(20,000)
$
12/23/2013
$
(155)
$
03/14/2014
$
2,240,000
$
2,369,845 Transfer of cap due to servicing transfer
03/26/2014
$
(373)
$
2,369,472 Updated due to quarterly assessment and reallocation
06/26/2014
$
(4,497)
$
2,364,975 Updated due to quarterly assessment and reallocation
07/29/2014
$
(8,932)
$
2,356,043 Updated due to quarterly assessment and reallocation
09/16/2014
$
(40,000)
$
2,316,043 Transfer of cap due to servicing transfer
09/29/2014
$
(2,954)
$
2,313,089 Updated due to quarterly assessment and reallocation
11/14/2014
$
(340,000)
$
1,973,089 Transfer of cap due to servicing transfer
12/16/2014
$
(50,000)
$
1,923,089 Transfer of cap due to servicing transfer
12/29/2014
$
(296,094)
$
1,626,995 Updated due to quarterly assessment and reallocation
09/30/2009
$
180,000
$
600,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(350,000)
$
250,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
20,000
$
270,000 Updated portfolio data from servicer
07/14/2010
$
(70,000)
$
200,000 Updated portfolio data from servicer
09/30/2010
$
90,111
$
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)
$
287,598 Updated due to quarterly assessment and reallocation
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
6
08/23/2012
$
(424,504)
$
06/16/2014
$
40,000
$
09/16/2014
$
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
03/14/2014
$
10,000
$
110,000 Transfer of cap due to servicing transfer
03/26/2014
$
(2)
$
109,998 Updated due to quarterly assessment and reallocation
05/15/2014
$
20,000
$
129,998 Transfer of cap due to servicing transfer
06/16/2014
$
80,000
$
209,998 Transfer of cap due to servicing transfer
06/26/2014
$
(236)
$
209,762 Updated due to quarterly assessment and reallocation
07/16/2014
$
140,000
$
349,762 Transfer of cap due to servicing transfer
07/29/2014
$
(1,069)
$
348,693 Updated due to quarterly assessment and reallocation
08/14/2014
$
60,000
$
408,693 Transfer of cap due to servicing transfer
09/29/2014
$
(438)
$
12/29/2014
$
(30,607)
$
09/30/2010
$
450,556
$
1,450,556 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,450,554 Updated due to quarterly assessment and reallocation
3
420,000 N/A
100,000 N/A
06/16/2014
Land/Home Financial Services, Inc.
Concord
CA
Purchase
Financial Instrument for Home Loan Modifications
- N/A
3
01/16/2014
LenderLive Network, Inc
Glendale
CO
Purchase
Financial Instrument for Home Loan Modifications
- N/A
3
09/30/2010
Liberty Bank and Trust Co
New Orleans
LA
Purchase
Financial Instrument for Home Loan Modifications
$
1,000,000 N/A
80,000 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
10,651 Termination of SPA
40,000 Transfer of cap due to servicing transfer
408,255 Updated due to quarterly assessment and reallocation
377,648 Updated due to quarterly assessment and reallocation
94
12/16/2014
Liberty Savings Bank, FSB
Wilmington
OH
Purchase
Financial Instrument for Home Loan Modifications
08/12/2009
Litton Loan Servicing, LP
Houston
TX
Purchase
Financial Instrument for Home Loan Modifications
- N/A
$
3
774,900,000 N/A
12
11/06/2009
09/30/2010
Los Alamos National Bank
M&T Bank
Los Alamos
Buffalo
NM
NY
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
700,000 N/A
700,000 N/A
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
06/28/2012
$
(17)
$
1,450,512 Updated due to quarterly assessment and reallocation
09/27/2012
$
(48)
$
1,450,464 Updated due to quarterly assessment and reallocation
12/27/2012
$
(8)
$
1,450,456 Updated due to quarterly assessment and reallocation
03/25/2013
$
(30)
$
1,450,426 Updated due to quarterly assessment and reallocation
06/27/2013
$
(11)
$
1,450,415 Updated due to quarterly assessment and reallocation
09/27/2013
$
(4)
$
1,450,411 Updated due to quarterly assessment and reallocation
12/23/2013
$
(6,958)
$
1,443,453 Updated due to quarterly assessment and reallocation
03/26/2014
$
(245)
$
1,443,208 Updated due to quarterly assessment and reallocation
06/26/2014
$
(2,887)
$
1,440,321 Updated due to quarterly assessment and reallocation
07/29/2014
$
(5,734)
$
1,434,587 Updated due to quarterly assessment and reallocation
09/29/2014
$
(1,894)
$
1,432,693 Updated due to quarterly assessment and reallocation
12/29/2014
$
(229,437)
$
1,203,256 Updated due to quarterly assessment and reallocation
12/16/2014
$
10,000
$
09/30/2009
$
313,050,000
$
1,087,950,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
275,370,000
$
1,363,320,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
278,910,000
$
1,642,230,000 Updated portfolio data from servicer
07/14/2010
$
(474,730,000)
$
1,167,500,000 Updated portfolio data from servicer
08/13/2010
$
(700,000)
$
1,166,800,000 Transfer of cap due to servicing transfer
09/15/2010
$
(1,000,000)
$
1,165,800,000 Transfer of cap due to servicing transfer
09/30/2010
$
(115,017,236)
$
1,050,782,764 Updated portfolio data from servicer
10/15/2010
$
(800,000)
$
1,049,982,764 Transfer of cap due to servicing transfer
12/15/2010
$
800,000
$
1,050,782,764 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
$
(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
07/29/2014
$
(8,119)
$
2,153,132 Updated due to quarterly assessment and reallocation
09/29/2014
$
(2,682)
$
2,150,450 Updated due to quarterly assessment and reallocation
12/29/2014
$
(306,175)
$
1,844,275 Updated due to quarterly assessment and reallocation
09/30/2010
$
315,389
$
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
$
(1)
$
1,015,387 Updated due to quarterly assessment and reallocation
06/29/2011
$
(11)
$
1,015,376 Updated due to quarterly assessment and reallocation
06/28/2012
$
(11)
$
1,015,365 Updated due to quarterly assessment and reallocation
09/27/2012
$
(30)
$
1,015,335 Updated due to quarterly assessment and reallocation
12/27/2012
$
(5)
$
1,015,330 Updated due to quarterly assessment and reallocation
03/25/2013
$
(20)
$
1,015,310 Updated due to quarterly assessment and reallocation
06/27/2013
$
(7)
$
1,015,303 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
95
09/30/2010
09/30/2010
11/25/2009
09/30/2010
Magna Bank
Mainstreet Credit Union
Marix Servicing, LLC
Marsh Associates, Inc.
Germantown
Lexena
Phoenix
Charlotte
TN
KS
AZ
NC
Purchase
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
$
$
1,400,000 N/A
500,000 N/A
20,360,000 N/A
100,000 N/A
09/27/2013
$
(3)
$
1,015,300 Updated due to quarterly assessment and reallocation
12/23/2013
$
(4,381)
$
1,010,919 Updated due to quarterly assessment and reallocation
02/13/2014
$
1,280,000
$
2,290,919 Transfer of cap due to servicing transfer
03/26/2014
$
125,146
$
2,416,065 Updated due to quarterly assessment and reallocation
04/16/2014
$
20,000
$
2,436,065 Transfer of cap due to servicing transfer
05/15/2014
$
80,000
$
2,516,065 Transfer of cap due to servicing transfer
06/16/2014
$
140,000
$
2,656,065 Transfer of cap due to servicing transfer
06/26/2014
$
230,716
$
2,886,781 Updated due to quarterly assessment and reallocation
07/29/2014
$
688,320
$
3,575,101 Updated due to quarterly assessment and reallocation
08/14/2014
$
2,310,000
$
5,885,101 Transfer of cap due to servicing transfer
09/16/2014
$
20,000
$
5,905,101 Transfer of cap due to servicing transfer
09/29/2014
$
1,468,864
$
11/14/2014
$
60,000
$
12/29/2014
$
5,916,728
$
09/30/2010
$
630,778
$
2,030,778 Updated portfolio data from servicer
01/06/2011
$
(3)
$
2,030,775 Updated due to quarterly assessment and reallocation
03/30/2011
$
(3)
$
2,030,772 Updated due to quarterly assessment and reallocation
06/29/2011
$
(33)
$
2,030,739 Updated due to quarterly assessment and reallocation
06/28/2012
$
(25)
$
2,030,714 Updated due to quarterly assessment and reallocation
09/27/2012
$
(68)
$
2,030,646 Updated due to quarterly assessment and reallocation
12/27/2012
$
(11)
$
2,030,635 Updated due to quarterly assessment and reallocation
03/25/2013
$
(44)
$
2,030,591 Updated due to quarterly assessment and reallocation
06/27/2013
$
(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
$
(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
06/27/2013
$
(23)
$
5,426,767 Updated due to quarterly assessment and reallocation
07/16/2013
$
(20,000)
$
5,406,767 Transfer of cap due to servicing transfer
09/27/2013
$
(8)
$
5,406,759 Updated due to quarterly assessment and reallocation
12/23/2013
$
(13,934)
$
5,392,825 Updated due to quarterly assessment and reallocation
03/26/2014
$
(490)
$
5,392,335 Updated due to quarterly assessment and reallocation
06/26/2014
$
(5,781)
$
5,386,554 Updated due to quarterly assessment and reallocation
07/29/2014
$
(11,483)
$
5,375,071 Updated due to quarterly assessment and reallocation
09/29/2014
$
(3,793)
$
5,371,278 Updated due to quarterly assessment and reallocation
12/29/2014
$
(459,453)
$
4,911,825 Updated due to quarterly assessment and reallocation
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
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
96
09/27/2012
$
(1)
$
145,053 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,052 Updated due to quarterly assessment and reallocation
10/15/2013
$
(60,000)
$
85,052 Transfer of cap due to servicing transfer
10/28/2009
Members Mortgage Company, Inc
Woburn
MA
Purchase
Financial Instrument for Home Loan Modifications
$
510,000 N/A
04/21/2010
$
(510,000)
09/11/2009
Metropolitan National Bank
Little Rock
AR
Purchase
Financial Instrument for Home Loan Modifications
$
280,000 N/A
10/02/2009
$
70,000
$
12/30/2009
$
620,000
$
03/26/2010
$
100,000
$
1,070,000 Updated portfolio data from servicer
07/14/2010
$
(670,000)
$
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
01/26/2011
$
(435,166)
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)
$
12/29/2014
$
(7,654)
$
09/30/2010
$
49,915,806
$
93,415,806 Updated portfolio data from servicer
01/06/2011
$
(125)
$
93,415,681 Updated due to quarterly assessment and reallocation
03/30/2011
$
(139)
$
93,415,542 Updated due to quarterly assessment and reallocation
06/29/2011
$
(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
07/14/2010
$
300,000
$
600,000 Updated portfolio data from servicer
09/30/2010
$
(19,778)
$
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
07/14/2011
$
(580,212)
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
03/25/2013
$
(11)
$
580,175 Updated due to quarterly assessment and reallocation
06/27/2013
$
(4)
$
580,171 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
580,170 Updated due to quarterly assessment and reallocation
12/23/2013
$
(2,474)
$
577,696 Updated due to quarterly assessment and reallocation
03/26/2014
$
(87)
$
577,609 Updated due to quarterly assessment and reallocation
06/26/2014
$
(1,027)
$
576,582 Updated due to quarterly assessment and reallocation
07/29/2014
$
(2,039)
$
574,543 Updated due to quarterly assessment and reallocation
09/29/2014
$
(673)
$
573,870 Updated due to quarterly assessment and reallocation
12/29/2014
$
(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
03/26/2010
$
(6,340,000)
$
780,000 Updated portfolio data from servicer
07/14/2010
$
(180,000)
$
600,000 Updated portfolio data from servicer
09/30/2010
$
125,278
$
725,278 Updated portfolio data from servicer
03/30/2011
$
(1)
$
725,277 Updated due to quarterly assessment and reallocation
06/29/2011
$
(4)
$
725,273 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
725,272 Updated due to quarterly assessment and reallocation
09/27/2012
$
(1)
$
725,271 Updated due to quarterly assessment and reallocation
03/25/2013
$
47,663
$
772,934 Updated due to quarterly assessment and reallocation
12/23/2013
$
(149)
$
772,785 Updated due to quarterly assessment and reallocation
03/26/2014
$
(5)
$
772,780 Updated due to quarterly assessment and reallocation
06/26/2014
$
(64)
$
772,716 Updated due to quarterly assessment and reallocation
07/29/2014
$
(19)
$
772,697 Updated due to quarterly assessment and reallocation
09/30/2010
09/30/2010
04/14/2010
09/15/2010
07/22/2009
Mid America Mortgage, Inc. (Schmidt
Mortgage Company)
Midland Mortgage Company
Midwest Bank and Trust Co.
Midwest Community Bank
Mission Federal Credit Union
Rocky River
Oklahoma City
Elmwood Park
Freeport
San Diego
OH
OK
IL
IL
CA
Purchase
Purchase
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
$
$
$
100,000 N/A
43,500,000 N/A
300,000 N/A
400,000 N/A
860,000 N/A
- Termination of SPA
350,000 Updated portfolio data from servicer/additional program initial cap
970,000 Updated portfolio data from servicer/additional program initial cap
- 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
- Termination of SPA
97
07/17/2009
MorEquity, Inc.
Evansville
IN
Purchase
Financial Instrument for Home Loan Modifications
$
23,480,000 N/A
5
07/22/2009
10/14/2009
07/16/2014
06/26/2009
05/28/2009
Mortgage Center, LLC
Mortgage Clearing Corporation
Mortgage Investors Group
National City Bank
Nationstar Mortgage LLC
Southfield
Tulsa
Knoxville
Miamisburg
Lewisville
MI
OK
TN
OH
TX
Purchase
Purchase
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
4,210,000 N/A
4,860,000 N/A
- N/A
$
$
294,980,000 N/A
101,000,000 N/A
3
09/29/2014
$
(7)
$
12/29/2014
$
221,158
$
09/30/2009
$
18,530,000
$
42,010,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
24,510,000
$
66,520,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
18,360,000
$
84,880,000 Updated portfolio data from servicer
07/14/2010
$
(22,580,000)
$
62,300,000 Updated portfolio data from servicer
09/30/2010
$
(8,194,261)
$
54,105,739 Updated portfolio data from servicer
01/06/2011
$
(37)
$
54,105,702 Updated due to quarterly assessment and reallocation
03/16/2011
$
(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
12/30/2009
$
(2,900,000)
$
1,960,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(1,600,000)
$
360,000 Updated portfolio data from servicer
07/14/2010
$
(260,000)
$
100,000 Updated portfolio data from servicer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
03/09/2011
$
(145,056)
07/16/2014
$
10,000
$
10,000 Transfer of cap due to servicing transfer
12/29/2014
$
6,042
$
16,042 Updated due to quarterly assessment and reallocation
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
03/14/2014
$
7,680,000
$
563,620,059 Transfer of cap due to servicing transfer
03/26/2014
$
(92,836)
$
563,527,223 Updated due to quarterly assessment and reallocation
06/26/2014
$
(1,090,169)
$
562,437,054 Updated due to quarterly assessment and reallocation
07/29/2014
$
(2,140,858)
$
560,296,196 Updated due to quarterly assessment and reallocation
08/14/2014
$
(940,000)
$
559,356,196 Transfer of cap due to servicing transfer
09/29/2014
$
(704,516)
$
558,651,680 Updated due to quarterly assessment and reallocation
10/16/2014
$
10,000
$
558,661,680 Transfer of cap due to servicing transfer
11/14/2014
$
(1,380,000)
$
557,281,680 Transfer of cap due to servicing transfer
12/29/2014
$
(81,896,499)
$
475,385,181 Updated due to quarterly assessment and reallocation
06/12/2009
$
16,140,000
$
117,140,000 Updated portfolio data from servicer
09/30/2009
$
134,560,000
$
251,700,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
80,250,000
$
331,950,000 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
- Termination of SPA
98
12/16/2013
03/10/2010
Nationwide Advantage Mortgage
Company
Navy Federal Credit Union
Des Moines
Vienna
IA
VA
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
- N/A
$
60,780,000 N/A
3
03/26/2010
$
67,250,000
$
399,200,000 Updated portfolio data from servicer
07/14/2010
$
(85,900,000)
$
313,300,000 Updated portfolio data from servicer
08/13/2010
$
100,000
$
313,400,000 Transfer of cap due to servicing transfer
09/30/2010
$
2,900,000
$
316,300,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
33,801,486
$
350,101,486 Updated portfolio data from servicer
11/16/2010
$
700,000
$
350,801,486 Transfer of cap due to servicing transfer
12/15/2010
$
1,700,000
$
352,501,486 Transfer of cap due to servicing transfer
01/06/2011
$
(363)
$
352,501,123 Updated due to quarterly assessment and reallocation
02/16/2011
$
900,000
$
353,401,123 Transfer of cap due to servicing transfer
03/16/2011
$
29,800,000
$
383,201,123 Transfer of cap due to servicing transfer
03/30/2011
$
(428)
$
383,200,695 Updated due to quarterly assessment and reallocation
05/26/2011
$
20,077,503
$
403,278,198 Transfer of cap due to servicing transfer
06/29/2011
$
(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
$
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
12/16/2013
$
10,000
$
05/15/2014
$
10,000
$
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
06/29/2011
$
(238)
$
16,971,218 Updated due to quarterly assessment and reallocation
06/28/2012
$
(145)
$
16,971,073 Updated due to quarterly assessment and reallocation
09/27/2012
$
(374)
$
16,970,699 Updated due to quarterly assessment and reallocation
12/27/2012
$
(58)
$
16,970,641 Updated due to quarterly assessment and reallocation
03/25/2013
$
(199)
$
16,970,442 Updated due to quarterly assessment and reallocation
06/27/2013
$
(68)
$
16,970,374 Updated due to quarterly assessment and reallocation
09/27/2013
$
(22)
$
16,970,352 Updated due to quarterly assessment and reallocation
12/23/2013
$
(36,317)
$
16,934,035 Updated due to quarterly assessment and reallocation
03/26/2014
$
(1,230)
$
16,932,805 Updated due to quarterly assessment and reallocation
06/26/2014
$
(13,708)
$
16,919,097 Updated due to quarterly assessment and reallocation
07/29/2014
$
(26,600)
$
16,892,497 Updated due to quarterly assessment and reallocation
09/29/2014
$
(8,647)
$
16,883,850 Updated due to quarterly assessment and reallocation
12/29/2014
$
(473,803)
$
16,410,047 Updated due to quarterly assessment and reallocation
717,354,209 Transfer of cap due to servicing transfer
10,000 Transfer of cap due to servicing transfer
20,000 Transfer of cap due to servicing transfer
99
08/14/2014
04/13/2011
08/05/2009
New Penn Financial, LLC dba Shellpoint
Greenville
Mortgage Servicing
New York Community Bank (AmTrust
Bank)
Oakland Municipal Credit Union
Cleveland
Oakland
SC
OH
CA
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
- N/A
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
- N/A
$
3
3
140,000 N/A
6
04/16/2009
Ocwen Loan Servicing LLC
West Palm Beach
FL
Purchase
Financial Instrument for Home Loan Modifications
$
659,000,000 N/A
08/14/2014
$
240,000
$
240,000 Transfer of cap due to servicing transfer
09/16/2014
$
59,230,004
$
59,470,004 Transfer of cap due to servicing transfer
09/29/2014
$
(69,838)
$
59,400,166 Updated due to quarterly assessment and reallocation
10/16/2014
$
11,480,000
$
70,880,166 Transfer of cap due to servicing transfer
11/03/2014
$
800,680
$
71,680,846 Transfer of cap due to merger/acquisition
11/14/2014
$
1,750,000
$
73,430,846 Transfer of cap due to servicing transfer
12/16/2014
$
440,000
$
73,870,846 Transfer of cap due to servicing transfer
12/29/2014
$
(7,109,361)
$
66,761,485 Updated due to quarterly assessment and reallocation
04/13/2011
$
200,000
$
200,000 Transfer of cap due to servicing transfer
05/13/2011
$
100,000
$
300,000 Transfer of cap due to servicing transfer
06/16/2011
$
300,000
$
600,000 Transfer of cap due to servicing transfer
06/29/2011
$
(9)
$
599,991 Updated due to quarterly assessment and reallocation
08/16/2011
$
200,000
$
799,991 Transfer of cap due to servicing transfer
06/28/2012
$
(7)
$
799,984 Updated due to quarterly assessment and reallocation
09/27/2012
$
(19)
$
799,965 Updated due to quarterly assessment and reallocation
12/27/2012
$
(3)
$
799,962 Updated due to quarterly assessment and reallocation
03/25/2013
$
(12)
$
799,950 Updated due to quarterly assessment and reallocation
06/27/2013
$
(5)
$
799,945 Updated due to quarterly assessment and reallocation
07/16/2013
$
150,000
$
949,945 Transfer of cap due to servicing transfer
09/27/2013
$
(2)
$
949,943 Updated due to quarterly assessment and reallocation
12/23/2013
$
(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)
$
941,149 Updated due to quarterly assessment and reallocation
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
$
(7)
$
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
$
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
$
968,710,000 Updated portfolio data from servicer/additional program initial cap
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
11/15/2012
$
13,240,000
$
1,863,413,521 Transfer of cap due to servicing transfer
12/14/2012
$
2,080,000
$
1,865,493,521 Transfer of cap due to servicing transfer
12/27/2012
$
(1,015)
$
1,865,492,506 Updated due to quarterly assessment and reallocation
01/16/2013
$
410,000
$
1,865,902,506 Transfer of cap due to servicing transfer
02/14/2013
$
960,000
$
1,866,862,506 Transfer of cap due to servicing transfer
03/14/2013
$
83,880,000
$
1,950,742,506 Transfer of cap due to servicing transfer
03/25/2013
$
(1,877)
$
1,950,740,629 Updated due to quarterly assessment and reallocation
04/09/2013
$
157,237,929
$
2,107,978,558 Transfer of cap due to servicing transfer
04/16/2013
$
620,860,000
$
2,728,838,558 Transfer of cap due to servicing transfer
05/16/2013
$
18,970,000
$
2,747,808,558 Transfer of cap due to servicing transfer
06/14/2013
$
(190,000)
$
2,747,618,558 Transfer of cap due to servicing transfer
06/27/2013
$
(2,817)
$
2,747,615,741 Updated due to quarterly assessment and reallocation
07/16/2013
$
14,710,000
$
2,762,325,741 Transfer of cap due to servicing transfer
09/16/2013
$
66,170,000
$
2,828,495,741 Transfer of cap due to servicing transfer
525,269 Updated due to quarterly assessment and reallocation
10,068 Termination of SPA
933,600,000 Updated portfolio data from servicer/additional program initial cap
980,460,000 Updated portfolio data from servicer
1,136,510,000 Transfer of cap due to servicing transfer
972,452,740 Updated portfolio data from servicer
100
08/28/2009
09/11/2009
OneWest Bank
ORNL Federal Credit Union
Pasadena
Oak Ridge
CA
TN
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
668,440,000 N/A
2,070,000 N/A
09/27/2013
$
(276)
$
2,828,495,465 Updated due to quarterly assessment and reallocation
10/15/2013
$
267,580,000
$
3,096,075,465 Transfer of cap due to servicing transfer
11/14/2013
$
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
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
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
09/30/2010
$
1,817,613
$
6,817,613 Updated portfolio data from servicer
01/06/2011
$
(10)
$
6,817,603 Updated due to quarterly assessment and reallocation
03/30/2011
$
(12)
$
6,817,591 Updated due to quarterly assessment and reallocation
06/29/2011
$
(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
2,530,000 Updated portfolio data from servicer/additional program initial cap
5,260,000 Updated portfolio data from servicer/additional program initial cap
101
12/16/2009
Park View Federal Savings Bank
Solon
OH
Purchase
Financial Instrument for Home Loan Modifications
$
760,000 N/A
6
08/25/2010
08/12/2009
Pathfinder Bank
PennyMac Loan Services, LLC
Oswego
Calasbasa
NY
CA
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
1,300,000 N/A
6,210,000 N/A
01/22/2010
$
40,000
$
800,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
140,000
$
940,000 Updated portfolio data from servicer
07/14/2010
$
(140,000)
$
800,000 Updated portfolio data from servicer
09/30/2010
$
70,334
$
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
$
(12)
$
870,320 Updated due to quarterly assessment and reallocation
06/28/2012
$
(10)
$
870,310 Updated due to quarterly assessment and reallocation
09/14/2012
$
(816,373)
$
09/30/2010
$
2,181,334
$
3,481,334 Updated portfolio data from servicer
01/06/2011
$
(5)
$
3,481,329 Updated due to quarterly assessment and reallocation
03/30/2011
$
(6)
$
3,481,323 Updated due to quarterly assessment and reallocation
06/29/2011
$
(58)
$
3,481,265 Updated due to quarterly assessment and reallocation
06/28/2012
$
(43)
$
3,481,222 Updated due to quarterly assessment and reallocation
09/27/2012
$
(119)
$
3,481,103 Updated due to quarterly assessment and reallocation
12/27/2012
$
(20)
$
3,481,083 Updated due to quarterly assessment and reallocation
03/25/2013
$
(76)
$
3,481,007 Updated due to quarterly assessment and reallocation
06/27/2013
$
(29)
$
3,480,978 Updated due to quarterly assessment and reallocation
09/27/2013
$
(10)
$
3,480,968 Updated due to quarterly assessment and reallocation
12/23/2013
$
(17,421)
$
3,463,547 Updated due to quarterly assessment and reallocation
03/26/2014
$
(612)
$
3,462,935 Updated due to quarterly assessment and reallocation
06/26/2014
$
(7,228)
$
3,455,707 Updated due to quarterly assessment and reallocation
07/29/2014
$
(14,356)
$
3,441,351 Updated due to quarterly assessment and reallocation
09/29/2014
$
(4,742)
$
3,436,609 Updated due to quarterly assessment and reallocation
12/29/2014
$
(563,436)
$
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
12/27/2012
$
(154)
$
87,674,357 Updated due to quarterly assessment and reallocation
02/14/2013
$
2,980,000
$
90,654,357 Transfer of cap due to servicing transfer
03/25/2013
$
(506)
$
90,653,851 Updated due to quarterly assessment and reallocation
04/16/2013
$
2,160,000
$
92,813,851 Transfer of cap due to servicing transfer
06/14/2013
$
2,440,000
$
95,253,851 Transfer of cap due to servicing transfer
06/27/2013
$
(128)
$
95,253,723 Updated due to quarterly assessment and reallocation
09/27/2013
$
(7)
$
10/15/2013
$
4,450,000
$
12/23/2013
$
15,826,215
$
115,529,931 Updated due to quarterly assessment and reallocation
02/13/2014
$
5,130,000
$
120,659,931 Transfer of cap due to servicing transfer
03/14/2014
$
(2,390,000)
$
118,269,931 Transfer of cap due to servicing transfer
03/26/2014
$
2,017,426
$
120,287,357 Updated due to quarterly assessment and reallocation
05/15/2014
$
(10,000)
$
120,277,357 Transfer of cap due to servicing transfer
06/16/2014
$
2,360,000
$
122,637,357 Transfer of cap due to servicing transfer
06/26/2014
$
5,959,201
$
128,596,558 Updated due to quarterly assessment and reallocation
07/16/2014
$
10,000
$
128,606,558 Transfer of cap due to servicing transfer
53,937 Termination of SPA
2,873,173 Updated due to quarterly assessment and reallocation
95,253,716 Updated due to quarterly assessment and reallocation
99,703,716 Transfer of cap due to servicing transfer
102
09/15/2011
11/14/2013
07/17/2009
PHH Mortgage Corporation
Plaza Home Mortgage, Inc
PNC Bank, National Association
Mt. Laurel
San Diego
Pittsburgh
NJ
CA
PA
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
03/15/2012
PrimeWest Mortgage Corporation
Lubbock
TX
Purchase
Financial Instrument for Home Loan Modifications
07/29/2009
Purdue Federal Credit Union (Purdue
Employees Federal Credit Union)
West Lafayette
IN
Purchase
Financial Instrument for Home Loan Modifications
11/18/2009
QLending, Inc.
Coral Gables
FL
Purchase
- N/A
Financial Instrument for Home Loan Modifications
- N/A
$
$
3
54,470,000 N/A
- N/A
$
3
1,090,000 N/A
20,000 N/A
3
07/29/2014
$
3,708,381
$
132,314,939 Updated due to quarterly assessment and reallocation
08/14/2014
$
150,000
$
132,464,939 Transfer of cap due to servicing transfer
09/16/2014
$
(2,610,000)
$
129,854,939 Transfer of cap due to servicing transfer
09/29/2014
$
(7,217)
$
129,847,722 Updated due to quarterly assessment and reallocation
10/16/2014
$
(25,090,000)
$
104,757,722 Transfer of cap due to servicing transfer
11/14/2014
$
20,000
$
104,777,722 Transfer of cap due to servicing transfer
12/29/2014
$
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
06/28/2012
$
(15)
$
1,299,985 Updated due to quarterly assessment and reallocation
09/27/2012
$
(42)
$
1,299,943 Updated due to quarterly assessment and reallocation
10/16/2012
$
140,000
$
1,439,943 Transfer of cap due to servicing transfer
12/27/2012
$
(8)
$
1,439,935 Updated due to quarterly assessment and reallocation
03/25/2013
$
(30)
$
1,439,905 Updated due to quarterly assessment and reallocation
06/27/2013
$
(11)
$
1,439,894 Updated due to quarterly assessment and reallocation
07/16/2013
$
5,850,000
$
7,289,894 Transfer of cap due to servicing transfer
09/27/2013
$
(20)
$
7,289,874 Updated due to quarterly assessment and reallocation
12/23/2013
$
(34,545)
$
7,255,329 Updated due to quarterly assessment and reallocation
03/26/2014
$
(1,216)
$
7,254,113 Updated due to quarterly assessment and reallocation
06/26/2014
$
(14,371)
$
7,239,742 Updated due to quarterly assessment and reallocation
07/29/2014
$
(28,561)
$
7,211,181 Updated due to quarterly assessment and reallocation
09/29/2014
$
(9,436)
$
7,201,745 Updated due to quarterly assessment and reallocation
12/29/2014
$
(1,078,208)
$
6,123,537 Updated due to quarterly assessment and reallocation
11/14/2013
$
10,000
$
07/16/2014
$
20,000
$
09/30/2009
$
(36,240,000)
$
18,230,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
19,280,000
$
37,510,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
2,470,000
$
39,980,000 Updated portfolio data from servicer
07/14/2010
$
(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
$
(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
03/25/2013
$
(11)
$
580,175 Updated due to quarterly assessment and reallocation
06/27/2013
$
(4)
$
580,171 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
580,170 Updated due to quarterly assessment and reallocation
12/23/2013
$
(2,474)
$
577,696 Updated due to quarterly assessment and reallocation
03/26/2014
$
(87)
$
577,609 Updated due to quarterly assessment and reallocation
06/26/2014
$
(1,027)
$
576,582 Updated due to quarterly assessment and reallocation
07/29/2014
$
(2,039)
$
574,543 Updated due to quarterly assessment and reallocation
09/29/2014
$
(673)
$
573,870 Updated due to quarterly assessment and reallocation
12/29/2014
$
(81,582)
$
492,288 Updated due to quarterly assessment and reallocation
03/26/2010
$
(10,000)
$
10,000 Updated portfolio data from servicer
07/14/2010
$
90,000
$
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
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
103
11/18/2009
12/14/2012
09/01/2010
Quantum Servicing Corporation
Quicken Loans Inc
RBC Bank (USA)
Tampa
Detroit
Raleigh
FL
MI
NC
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
$
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
18,960,000 N/A
- N/A
$
Residential Credit Solutions, Inc.
Fort Worth
TX
Purchase
Financial Instrument for Home Loan Modifications
$
(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)
$
12/29/2014
$
(7,654)
$
01/22/2010
$
890,000
$
19,850,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
3,840,000
$
23,690,000 Updated portfolio data from servicer
07/14/2010
$
(2,890,000)
$
20,800,000 Updated portfolio data from servicer
09/30/2010
$
9,661,676
$
30,461,676 Updated portfolio data from servicer
01/06/2011
$
(46)
$
30,461,630 Updated due to quarterly assessment and reallocation
01/13/2011
$
1,600,000
$
32,061,630 Transfer of cap due to servicing transfer
02/16/2011
$
1,400,000
$
33,461,630 Transfer of cap due to servicing transfer
03/30/2011
$
(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
32,185,625 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
12/23/2013
$
(162,518)
$
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
$
05/15/2014
$
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
06/14/2012
$
8,060,000
$
40,666,554 Transfer of cap due to servicing transfer
06/28/2012
$
(313)
$
40,666,241 Updated due to quarterly assessment and reallocation
07/16/2012
$
2,160,000
$
42,826,241 Transfer of cap due to servicing transfer
09/27/2012
$
(911)
$
42,825,330 Updated due to quarterly assessment and reallocation
10/16/2012
$
5,690,000
$
48,515,330 Transfer of cap due to servicing transfer
11/15/2012
$
20,000
$
48,535,330 Transfer of cap due to servicing transfer
12/27/2012
$
(178)
$
48,535,152 Updated due to quarterly assessment and reallocation
02/14/2013
$
3,190,000
$
51,725,152 Transfer of cap due to servicing transfer
03/14/2013
$
(260,000)
$
51,465,152 Transfer of cap due to servicing transfer
03/25/2013
$
(713)
$
51,464,439 Updated due to quarterly assessment and reallocation
04/16/2013
$
1,330,000
$
52,794,439 Transfer of cap due to servicing transfer
05/16/2013
$
100,000
$
52,894,439 Transfer of cap due to servicing transfer
06/14/2013
$
20,000
$
52,914,439 Transfer of cap due to servicing transfer
06/27/2013
$
(264)
$
52,914,175 Updated due to quarterly assessment and reallocation
07/16/2013
$
6,080,000
$
58,994,175 Transfer of cap due to servicing transfer
09/16/2013
$
(2,130,000)
$
56,864,175 Transfer of cap due to servicing transfer
100,000 N/A
19,400,000 N/A
$
12/23/2013
6
9
06/12/2009
03/25/2013
645,439 Termination of SPA
50,000 Transfer of cap due to servicing transfer
60,000 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
104
06/14/2012
Resurgent Capital Solutions L.P.
Greenville
SC
Purchase
Financial Instrument for Home Loan Modifications
- N/A
3
15
06/17/2009
RG Mortgage Corporation
San Juan
PR
Purchase
Financial Instrument for Home Loan Modifications
$
57,000,000 N/A
6
01/13/2010
Roebling Bank
Roebling
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
240,000 N/A
09/27/2013
$
(101)
$
56,864,074 Updated due to quarterly assessment and reallocation
10/15/2013
$
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
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
$
1,155,238 Transfer of cap due to servicing transfer
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
$
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
06/29/2011
$
(616)
$
37,040,114 Updated due to quarterly assessment and reallocation
06/28/2012
$
(462)
$
37,039,652 Updated due to quarterly assessment and reallocation
09/27/2012
$
(1,270)
$
37,038,382 Updated due to quarterly assessment and reallocation
12/27/2012
$
(214)
$
37,038,168 Updated due to quarterly assessment and reallocation
03/25/2013
$
(812)
$
37,037,356 Updated due to quarterly assessment and reallocation
06/27/2013
$
(306)
$
37,037,050 Updated due to quarterly assessment and reallocation
09/27/2013
$
(110)
$
37,036,940 Updated due to quarterly assessment and reallocation
12/23/2013
$
(185,423)
$
36,851,517 Updated due to quarterly assessment and reallocation
03/26/2014
$
(6,518)
$
36,844,999 Updated due to quarterly assessment and reallocation
06/26/2014
$
(77,004)
$
36,767,995 Updated due to quarterly assessment and reallocation
07/29/2014
$
(152,943)
$
36,615,052 Updated due to quarterly assessment and reallocation
09/29/2014
$
(50,520)
$
36,564,532 Updated due to quarterly assessment and reallocation
10/16/2014
$
(30,000)
$
36,534,532 Transfer of cap due to servicing transfer
11/03/2014
$
(35,740,763)
$
793,769 Termination of SPA
03/26/2010
$
610,000
$
850,000 Updated portfolio data from servicer
07/14/2010
$
50,000
$
900,000 Updated portfolio data from servicer
09/30/2010
$
(29,666)
$
870,334 Updated portfolio data from servicer
940,000 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
105
08/28/2009
12/15/2011
RoundPoint Mortgage Servicing
Corporation
Charlotte
Rushmore Loan Management Services
Irvine
LLC
NC
CA
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
570,000 N/A
- N/A
3
01/06/2011
$
(1)
03/23/2011
$
(870,333)
10/02/2009
$
12/30/2009
03/26/2010
$
870,333 Updated due to quarterly assessment and reallocation
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
07/14/2010
$
8,300,000
$
10,800,000 Updated portfolio data from servicer
09/30/2010
$
5,301,172
$
16,101,172 Updated portfolio data from servicer
01/06/2011
$
(22)
$
16,101,150 Updated due to quarterly assessment and reallocation
03/16/2011
$
(400,000)
$
15,701,150 Transfer of cap due to servicing transfer
03/30/2011
$
(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
$
(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
$
909,997 Transfer of cap due to servicing transfer
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
$
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
12/23/2013
$
(60,644)
$
33,569,179 Updated due to quarterly assessment and reallocation
01/16/2014
$
10,000
$
33,579,179 Transfer of cap due to servicing transfer
03/14/2014
$
50,000
$
33,629,179 Transfer of cap due to servicing transfer
03/26/2014
$
(2,090)
$
33,627,089 Updated due to quarterly assessment and reallocation
04/16/2014
$
4,440,000
$
38,067,089 Transfer of cap due to servicing transfer
05/15/2014
$
60,000
$
38,127,089 Transfer of cap due to servicing transfer
06/16/2014
$
380,000
$
38,507,089 Transfer of cap due to servicing transfer
06/26/2014
$
(35,305)
$
38,471,784 Updated due to quarterly assessment and reallocation
07/16/2014
$
270,000
$
38,741,784 Transfer of cap due to servicing transfer
07/29/2014
$
(69,974)
$
38,671,810 Updated due to quarterly assessment and reallocation
08/14/2014
$
4,040,000
$
42,711,810 Transfer of cap due to servicing transfer
09/16/2014
$
1,670,000
$
44,381,810 Transfer of cap due to servicing transfer
09/29/2014
$
(27,982)
$
44,353,828 Updated due to quarterly assessment and reallocation
10/16/2014
$
13,870,000
$
58,223,828 Transfer of cap due to servicing transfer
11/14/2014
$
8,350,000
$
66,573,828 Transfer of cap due to servicing transfer
12/16/2014
$
2,520,000
$
69,093,828 Transfer of cap due to servicing transfer
12/29/2014
$
(1,524,773)
$
67,569,055 Updated due to quarterly assessment and reallocation
- Termination of SPA
390,000 Updated portfolio data from servicer/additional program initial cap
909,984 Updated due to quarterly assessment and reallocation
6,319,902 Transfer of cap due to servicing transfer
106
04/13/2009
Saxon Mortgage Services, Inc.
Irving
TX
Purchase
Financial Instrument for Home Loan Modifications
$
407,000,000 N/A
10
09/23/2009
12/15/2010
09/25/2009
Schools Financial Credit Union
Scotiabank de Puerto Rico
SEFCU
Sacramento
San Juan
Albany
CA
PR
NY
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
$
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
390,000 N/A
- N/A
$
440,000 N/A
3
06/17/2009
$
225,040,000
$
09/30/2009
$
254,380,000
$
886,420,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
355,710,000
$
1,242,130,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(57,720,000)
$
1,184,410,000 Updated portfolio data from servicer
06/16/2010
$
(156,050,000)
$
1,028,360,000 Transfer of cap due to servicing transfer
07/14/2010
$
(513,660,000)
$
514,700,000 Updated portfolio data from servicer
07/16/2010
$
(22,980,000)
$
491,720,000 Transfer of cap due to servicing transfer
09/15/2010
$
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)
$
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)
$
1,434,092 Updated due to quarterly assessment and reallocation
12/29/2014
$
(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
01/06/2011
$
(4)
$
4,299,996 Updated due to quarterly assessment and reallocation
06/29/2011
$
(5)
$
4,299,991 Updated due to quarterly assessment and reallocation
06/28/2012
$
(23)
$
4,299,968 Updated due to quarterly assessment and reallocation
09/27/2012
$
(63)
$
4,299,905 Updated due to quarterly assessment and reallocation
12/27/2012
$
(11)
$
4,299,894 Updated due to quarterly assessment and reallocation
03/25/2013
$
(41)
$
4,299,853 Updated due to quarterly assessment and reallocation
06/27/2013
$
(16)
$
4,299,837 Updated due to quarterly assessment and reallocation
09/27/2013
$
(6)
$
4,299,831 Updated due to quarterly assessment and reallocation
12/23/2013
$
(9,679)
$
4,290,152 Updated due to quarterly assessment and reallocation
03/26/2014
$
(344)
$
4,289,808 Updated due to quarterly assessment and reallocation
06/26/2014
$
(4,087)
$
4,285,721 Updated due to quarterly assessment and reallocation
07/29/2014
$
(8,126)
$
4,277,595 Updated due to quarterly assessment and reallocation
09/29/2014
$
(2,690)
$
4,274,905 Updated due to quarterly assessment and reallocation
10/16/2014
$
30,000
$
4,304,905 Transfer of cap due to servicing transfer
12/29/2014
$
(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
12/30/2009
$
20,000
$
560,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(290,000)
$
270,000 Updated portfolio data from servicer
632,040,000 Updated portfolio data from servicer
258,047,994 Transfer of cap due to servicing transfer
440,000 Updated portfolio data from servicer
107
04/13/2009
06/16/2010
Select Portfolio Servicing, Inc.
Selene Finance LP
Salt Lake City
Houston
UT
TX
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
376,000,000 N/A
- N/A
3
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)
$
145,055 Updated due to quarterly assessment and reallocation
04/11/2012
$
(145,055)
- Termination of SPA
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
$
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
04/16/2014
$
12,470,000
$
1,372,755,111 Transfer of cap due to servicing transfer
05/15/2014
$
20,960,000
$
1,393,715,111 Transfer of cap due to servicing transfer
06/16/2014
$
14,220,000
$
1,407,935,111 Transfer of cap due to servicing transfer
06/26/2014
$
(1,023,387)
$
1,406,911,724 Updated due to quarterly assessment and reallocation
07/16/2014
$
12,690,000
$
1,419,601,724 Transfer of cap due to servicing transfer
07/29/2014
$
(1,968,183)
$
1,417,633,541 Updated due to quarterly assessment and reallocation
08/14/2014
$
(42,210,000)
$
1,375,423,541 Transfer of cap due to servicing transfer
09/16/2014
$
7,420,000
$
1,382,843,541 Transfer of cap due to servicing transfer
09/29/2014
$
(540,365)
$
1,382,303,176 Updated due to quarterly assessment and reallocation
10/16/2014
$
57,410,000
$
1,439,713,176 Transfer of cap due to servicing transfer
11/14/2014
$
1,490,000
$
1,441,203,176 Transfer of cap due to servicing transfer
12/16/2014
$
3,740,000
$
1,444,943,176 Transfer of cap due to servicing transfer
12/29/2014
$
6,991,378
$
1,451,934,554 Updated due to quarterly assessment and reallocation
06/16/2010
$
3,680,000
$
08/13/2010
$
3,300,000
$
09/30/2010
$
3,043,831
$
10,023,831 Updated portfolio data from servicer
10/15/2010
$
1,400,000
$
11,423,831 Transfer of cap due to servicing transfer
01/06/2011
$
(17)
$
11,423,814 Updated due to quarterly assessment and reallocation
982,950,468 Transfer of cap due to servicing transfer
3,680,000 Transfer of cap due to servicing transfer
6,980,000 Transfer of cap due to servicing transfer
108
09/23/2009
Seneca Mortgage Servicing LLC (AMS
Servicing, LLC)
Buffalo
NY
Purchase
Financial Instrument for Home Loan Modifications
$
4,390,000 N/A
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
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
02/14/2013
$
290,000
$
11,552,391 Transfer of cap due to servicing transfer
03/14/2013
$
10,000
$
11,562,391 Transfer of cap due to servicing transfer
03/25/2013
$
(220)
$
11,562,171 Updated due to quarterly assessment and reallocation
04/16/2013
$
(60,000)
$
11,502,171 Transfer of cap due to servicing transfer
05/16/2013
$
50,000
$
11,552,171 Transfer of cap due to servicing transfer
06/14/2013
$
10,000
$
11,562,171 Transfer of cap due to servicing transfer
06/27/2013
$
(79)
$
11,562,092 Updated due to quarterly assessment and reallocation
07/16/2013
$
(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
109
08/12/2009
Servis One, Inc., dba BSI Financial
Services, Inc.
Titusville
PA
Purchase
Financial Instrument for Home Loan Modifications
$
29,730,000 N/A
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
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
$
9,070,000 Updated portfolio data from servicer
04/19/2010
$
230,000
$
05/19/2010
$
850,000
$
07/14/2010
$
(850,000)
$
9,300,000 Updated portfolio data from servicer
09/15/2010
$
100,000
$
9,400,000 Transfer of cap due to servicing transfer
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
09/27/2013
$
(135)
$
55,531,008 Updated due to quarterly assessment and reallocation
10/15/2013
$
270,000
$
55,801,008 Transfer of cap due to servicing transfer
11/14/2013
$
30,000
$
55,831,008 Transfer of cap due to servicing transfer
12/16/2013
$
9,960,000
$
65,791,008 Transfer of cap due to servicing transfer
12/23/2013
$
(239,727)
$
65,551,281 Updated due to quarterly assessment and reallocation
01/16/2014
$
2,090,000
$
67,641,281 Transfer of cap due to servicing transfer
02/13/2014
$
2,450,000
$
70,091,281 Transfer of cap due to servicing transfer
03/14/2014
$
(130,000)
$
69,961,281 Transfer of cap due to servicing transfer
03/26/2014
$
(8,837)
$
69,952,444 Updated due to quarterly assessment and reallocation
04/16/2014
$
60,000
$
70,012,444 Transfer of cap due to servicing transfer
05/15/2014
$
(460,000)
$
69,552,444 Transfer of cap due to servicing transfer
06/16/2014
$
920,000
$
70,472,444 Transfer of cap due to servicing transfer
06/26/2014
$
(103,723)
$
70,368,721 Updated due to quarterly assessment and reallocation
07/29/2014
$
(205,396)
$
70,163,325 Updated due to quarterly assessment and reallocation
08/14/2014
$
4,050,000
$
74,213,325 Transfer of cap due to servicing transfer
09/16/2014
$
420,000
$
74,633,325 Transfer of cap due to servicing transfer
09/29/2014
$
(73,587)
$
74,559,738 Updated due to quarterly assessment and reallocation
10/16/2014
$
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
9,300,000 Transfer of cap due to servicing transfer
10,150,000 Updated portfolio data from servicer/additional program initial cap
9,500,000 Updated portfolio data from servicer/additional program initial cap
110
07/17/2009
ShoreBank
Chicago
IL
Purchase
Financial Instrument for Home Loan Modifications
$
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
$
(37)
$
2,175,678 Updated due to quarterly assessment and reallocation
06/27/2013
$
(15)
$
2,175,663 Updated due to quarterly assessment and reallocation
6
07/09/2013
$
(1,889,819)
$
3
10/15/2013
$
60,000
$
12/16/2013
$
10,000
$
70,000 Transfer of cap due to servicing transfer
07/16/2014
$
170,000
$
240,000 Transfer of cap due to servicing transfer
07/29/2014
$
(544)
$
239,456 Updated due to quarterly assessment and reallocation
09/29/2014
$
(180)
$
239,276 Updated due to quarterly assessment and reallocation
10/16/2014
$
160,000
$
399,276 Transfer of cap due to servicing transfer
11/14/2014
$
20,000
$
419,276 Transfer of cap due to servicing transfer
12/16/2014
$
60,000
$
479,276 Transfer of cap due to servicing transfer
12/29/2014
$
(13,406)
$
01/22/2010
$
20,000
$
03/26/2010
$
1,430,000
$
1,890,000 Updated portfolio data from servicer
07/14/2010
$
(390,000)
$
1,500,000 Updated portfolio data from servicer
09/08/2010
$
(1,500,000)
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
05/13/2011
$
100,000
$
33,834,106 Transfer of cap due to servicing transfer
06/16/2011
$
300,000
$
34,134,106 Transfer of cap due to servicing transfer
06/29/2011
$
(332)
$
34,133,774 Updated due to quarterly assessment and reallocation
08/16/2011
$
100,000
$
34,233,774 Transfer of cap due to servicing transfer
09/15/2011
$
300,000
$
34,533,774 Transfer of cap due to servicing transfer
10/14/2011
$
300,000
$
34,833,774 Transfer of cap due to servicing transfer
12/15/2011
$
(1,700,000)
$
33,133,774 Transfer of cap due to servicing transfer
01/13/2012
$
1,600,000
$
34,733,774 Transfer of cap due to servicing transfer
02/16/2012
$
100,000
$
03/15/2012
$
100,000
$
34,933,774 Transfer of cap due to servicing transfer
04/16/2012
$
77,600,000
$
112,533,774 Transfer of cap due to servicing transfer
05/16/2012
$
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
1,410,000 N/A
6
12/09/2009
10/15/2013
12/16/2009
01/13/2010
Silver State Schools Credit Union
SN Servicing Corporation
Sound Community Bank
Specialized Loan Servicing LLC
Las Vegas
Baton Rouge
Seattle
Highlands Ranch
NV
LA
WA
CO
Purchase
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
$
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
1,880,000 N/A
- N/A
$
$
440,000 N/A
64,150,000 N/A
346,986 Termination of SPA
285,844 Termination of SPA
60,000 Transfer of cap due to servicing transfer
465,870 Updated due to quarterly assessment and reallocation
460,000 Updated portfolio data from servicer/additional program initial cap
- Termination of SPA
34,833,774 Transfer of cap due to servicing transfer
111
12/09/2009
08/28/2009
12/15/2010
Spirit of Alaska Federal Credit Union
Stanford Federal Credit Union
Statebridge Company, LLC
Fairbanks
Palo Alto
Denver
AK
CA
CO
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
360,000 N/A
300,000 N/A
- N/A
3
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
01/22/2010
$
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)
10/02/2009
$
70,000
$
370,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
2,680,000
$
3,050,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
350,000
$
3,400,000 Updated portfolio data from servicer
07/14/2010
$
(1,900,000)
$
1,500,000 Updated portfolio data from servicer
09/30/2010
$
(1,209,889)
$
03/23/2011
$
(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
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
12/29/2014
$
(2,009,472)
$
10,813,209 Updated due to quarterly assessment and reallocation
370,000 Updated portfolio data from servicer/additional program initial cap
- Termination of SPA
290,111 Updated portfolio data from servicer
- Termination of SPA
5,732,681 Updated due to quarterly assessment and reallocation
112
12/09/2009
09/30/2010
08/04/2010
Sterling Savings Bank
Stockman Bank of Montana
Suburban Mortgage Company of New
Mexico
Spokane
Miles City
Albuquerque
WA
MT
NM
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
$
2,250,000 N/A
100,000 N/A
880,000 N/A
01/22/2010
$
100,000
$
2,350,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(740,000)
$
1,610,000 Updated portfolio data from servicer
07/14/2010
$
(710,000)
$
900,000 Updated portfolio data from servicer
09/30/2010
$
550,556
$
1,450,556 Updated portfolio data from servicer
01/06/2011
$
(1)
$
1,450,555 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
1,450,554 Updated due to quarterly assessment and reallocation
06/29/2011
$
(11)
$
1,450,543 Updated due to quarterly assessment and reallocation
09/27/2012
$
30,907
$
1,481,450 Updated due to quarterly assessment and reallocation
12/27/2012
$
58,688
$
1,540,138 Updated due to quarterly assessment and reallocation
03/25/2013
$
235,175
$
1,775,313 Updated due to quarterly assessment and reallocation
06/27/2013
$
84,191
$
1,859,504 Updated due to quarterly assessment and reallocation
09/27/2013
$
13,786
$
1,873,290 Updated due to quarterly assessment and reallocation
12/23/2013
$
(35)
$
1,873,255 Updated due to quarterly assessment and reallocation
03/26/2014
$
12,095
$
1,885,350 Updated due to quarterly assessment and reallocation
06/26/2014
$
122,307
$
2,007,657 Updated due to quarterly assessment and reallocation
07/29/2014
$
22,184
$
2,029,841 Updated due to quarterly assessment and reallocation
09/29/2014
$
24,565
$
2,054,406 Updated due to quarterly assessment and reallocation
12/29/2014
$
581,882
$
2,636,288 Updated due to quarterly assessment and reallocation
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
$
(7,654)
$
09/30/2010
$
1,585,945
$
2,465,945 Updated portfolio data from servicer
01/06/2011
$
(4)
$
2,465,941 Updated due to quarterly assessment and reallocation
03/30/2011
$
(4)
$
2,465,937 Updated due to quarterly assessment and reallocation
06/29/2011
$
(40)
$
2,465,897 Updated due to quarterly assessment and reallocation
06/28/2012
$
(30)
$
2,465,867 Updated due to quarterly assessment and reallocation
08/10/2012
$
(2,465,867)
136,807 Updated due to quarterly assessment and reallocation
- Termination of SPA
01/13/2012
Sun West Mortgage Company, Inc
Cerritos
CA
Purchase
Financial Instrument for Home Loan Modifications
- N/A
3
01/13/2012
$
100,000
$
100,000 Transfer of cap due to servicing transfer
04/13/2011
SunTrust Mortgage, Inc.
Richmond
VA
Purchase
Financial Instrument for Home Loan Modifications
- N/A
3
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)
$
12/30/2009
$
2,180,000
$
2,250,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(720,000)
$
1,530,000 Updated portfolio data from servicer
07/14/2010
$
(430,000)
$
1,100,000 Updated portfolio data from servicer
09/30/2010
$
60,445
$
1,160,445 Updated portfolio data from servicer
01/06/2011
$
(1)
$
1,160,444 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
1,160,443 Updated due to quarterly assessment and reallocation
06/29/2011
$
(12)
$
1,160,431 Updated due to quarterly assessment and reallocation
06/28/2012
$
(9)
$
1,160,422 Updated due to quarterly assessment and reallocation
09/27/2012
$
(23)
$
1,160,399 Updated due to quarterly assessment and reallocation
12/27/2012
$
(4)
$
1,160,395 Updated due to quarterly assessment and reallocation
03/25/2013
$
(13)
$
1,160,382 Updated due to quarterly assessment and reallocation
06/27/2013
$
(5)
$
1,160,377 Updated due to quarterly assessment and reallocation
09/27/2013
$
(2)
$
1,160,375 Updated due to quarterly assessment and reallocation
12/23/2013
$
(2,729)
$
1,157,646 Updated due to quarterly assessment and reallocation
03/26/2014
$
(101)
$
1,157,545 Updated due to quarterly assessment and reallocation
06/26/2014
$
(1,195)
$
1,156,350 Updated due to quarterly assessment and reallocation
07/29/2014
$
(2,373)
$
1,153,977 Updated due to quarterly assessment and reallocation
09/29/2014
$
(784)
$
1,153,193 Updated due to quarterly assessment and reallocation
12/29/2014
$
(82,551)
$
1,070,642 Updated due to quarterly assessment and reallocation
03/26/2010
$
(20,000)
$
90,000 Updated portfolio data from servicer
07/14/2010
$
10,000
$
100,000 Updated portfolio data from servicer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
12/08/2010
$
(145,056)
- Termination of SPA
04/21/2010
$
(150,000)
- Termination of SPA
06/26/2009
12/23/2009
12/11/2009
Technology Credit Union
Tempe Schools Credit Union
The Bryn Mawr Trust Co.
San Jose
Tempe
Bryn Mawr
CA
AZ
PA
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
$
70,000 N/A
110,000 N/A
150,000 N/A
518,728 Updated due to quarterly assessment and reallocation
113
3
12/09/2009
The Golden 1 Credit Union
Sacramento
CA
Purchase
Financial Instrument for Home Loan Modifications
10/16/2014
The Provident Bank
Jersey City
NJ
Purchase
Financial Instrument for Home Loan Modifications
09/09/2009
U.S. Bank National Association
Owensboro
KY
Purchase
Financial Instrument for Home Loan Modifications
01/29/2010
10/21/2009
United Bank
United Bank Mortgage Corporation
Griffin
Grand Rapids
GA
MI
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
6,160,000 N/A
- N/A
$
$
$
114,220,000 N/A
540,000 N/A
410,000 N/A
3
$
100,000
$
01/22/2010
$
290,000
$
6,450,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
06/16/2011
$
40,000
$
6,490,000 Updated portfolio data from servicer
07/14/2010
$
(2,890,000)
$
3,600,000 Updated portfolio data from servicer
09/30/2010
$
606,612
$
4,206,612 Updated portfolio data from servicer
01/06/2011
$
(4)
$
4,206,608 Updated due to quarterly assessment and reallocation
03/30/2011
$
(4)
$
4,206,604 Updated due to quarterly assessment and reallocation
06/29/2011
$
(35)
$
4,206,569 Updated due to quarterly assessment and reallocation
06/28/2012
$
(9)
$
4,206,560 Updated due to quarterly assessment and reallocation
09/27/2012
$
(14)
$
4,206,546 Updated due to quarterly assessment and reallocation
12/27/2012
$
(2)
$
4,206,544 Updated due to quarterly assessment and reallocation
03/25/2013
$
(8)
$
4,206,536 Updated due to quarterly assessment and reallocation
06/27/2013
$
(4)
$
4,206,532 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
4,206,531 Updated due to quarterly assessment and reallocation
12/23/2013
$
(2,412)
$
4,204,119 Updated due to quarterly assessment and reallocation
03/26/2014
$
(84)
$
4,204,035 Updated due to quarterly assessment and reallocation
06/26/2014
$
(302)
$
4,203,733 Updated due to quarterly assessment and reallocation
07/29/2014
$
(16)
$
4,203,717 Updated due to quarterly assessment and reallocation
09/29/2014
$
20,590
$
4,224,307 Updated due to quarterly assessment and reallocation
12/29/2014
$
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
12/30/2009
$
49,410,000
$
188,550,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
41,830,000
$
230,380,000 Updated portfolio data from servicer
07/14/2010
$
(85,780,000)
$
144,600,000 Updated portfolio data from servicer
09/30/2010
$
36,574,444
$
181,174,444 Updated portfolio data from servicer
01/06/2011
$
(160)
$
181,174,284 Updated due to quarterly assessment and reallocation
03/30/2011
$
(172)
$
181,174,112 Updated due to quarterly assessment and reallocation
06/29/2011
$
(1,431)
$
181,172,681 Updated due to quarterly assessment and reallocation
06/28/2012
$
(746)
$
181,171,935 Updated due to quarterly assessment and reallocation
09/27/2012
$
(1,926)
$
181,170,009 Updated due to quarterly assessment and reallocation
12/27/2012
$
(308)
$
181,169,701 Updated due to quarterly assessment and reallocation
03/25/2013
$
(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
$
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
03/26/2014
$
(113)
$
721,876 Updated due to quarterly assessment and reallocation
06/26/2014
$
(1,337)
$
720,539 Updated due to quarterly assessment and reallocation
07/29/2014
$
(2,655)
$
717,884 Updated due to quarterly assessment and reallocation
09/29/2014
$
(877)
$
717,007 Updated due to quarterly assessment and reallocation
12/29/2014
$
(106,224)
$
610,783 Updated due to quarterly assessment and reallocation
01/22/2010
$
20,000
$
430,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
400,000
$
830,000 Updated portfolio data from servicer
07/14/2010
$
(430,000)
$
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
$
(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
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
114
09/30/2010
04/13/2011
12/11/2009
University First Federal Credit Union
Urban Partnership Bank
Verity Credit Union
Salt Lake City
Chicago
Seattle
UT
IL
WA
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
05/16/2013
ViewPoint Bank
Plano
TX
Purchase
Financial Instrument for Home Loan Modifications
03/10/2010
VIST Financial Corp
Wyomissing
PA
Purchase
Financial Instrument for Home Loan Modifications
07/29/2009
07/01/2009
Wachovia Bank, N.A.
Wachovia Mortgage, FSB
Charlotte
Des Moines
NC
IA
Purchase
Purchase
$
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
600,000 N/A
- N/A
$
600,000 N/A
- N/A
$
$
$
3
3
300,000 N/A
85,020,000 N/A
634,010,000 N/A
2
04/14/2010
12/16/2014
04/13/2009
Wealthbridge Mortgage Corp
Webster Bank, N.A.
Wells Fargo Bank, NA
Beaverton
Cheshire
Des Moines
OR
CT
IA
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
$
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
6,550,000 N/A
- N/A
$
2,873,000,000 N/A
3
09/30/2010
$
270,334
$
01/06/2011
$
(1)
$
02/17/2011
$
(870,333)
04/13/2011
$
1,000,000
$
1,000,000 Transfer of cap due to servicing transfer
06/29/2011
$
233,268
$
1,233,268 Updated due to quarterly assessment and reallocation
11/16/2011
$
100,000
$
1,333,268 Transfer of cap due to servicing transfer
06/28/2012
$
(3)
$
1,333,265 Updated due to quarterly assessment and reallocation
09/27/2012
$
(10)
$
1,333,255 Updated due to quarterly assessment and reallocation
12/27/2012
$
(2)
$
1,333,253 Updated due to quarterly assessment and reallocation
03/25/2013
$
(7)
$
1,333,246 Updated due to quarterly assessment and reallocation
06/27/2013
$
(3)
$
1,333,243 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
1,333,242 Updated due to quarterly assessment and reallocation
12/23/2013
$
(1,744)
$
1,331,498 Updated due to quarterly assessment and reallocation
03/26/2014
$
(62)
$
1,331,436 Updated due to quarterly assessment and reallocation
06/26/2014
$
(735)
$
1,330,701 Updated due to quarterly assessment and reallocation
07/29/2014
$
(1,463)
$
1,329,238 Updated due to quarterly assessment and reallocation
09/29/2014
$
(498)
$
1,328,740 Updated due to quarterly assessment and reallocation
12/29/2014
$
(12,100)
$
1,316,640 Updated due to quarterly assessment and reallocation
01/22/2010
$
30,000
$
03/26/2010
$
400,000
$
1,030,000 Updated portfolio data from servicer
07/14/2010
$
(330,000)
$
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
02/17/2011
$
(725,277)
05/16/2013
$
50,000
$
12/16/2013
$
10,000
$
07/14/2010
$
400,000
$
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
03/26/2014
$
(113)
$
721,876 Updated due to quarterly assessment and reallocation
04/23/2014
$
(721,876)
09/30/2009
$
(37,700,000)
$
47,320,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
26,160,000
$
73,480,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
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)
$
12/03/2010
$
(8,413,225)
09/30/2009
$
723,880,000
$
1,357,890,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
692,640,000
$
2,050,530,000 Updated portfolio data from servicer/additional program initial cap
02/17/2010
$
(2,050,236,344)
$
03/12/2010
$
(54,767)
$
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
01/06/2011
$
(5)
$
3,647,822 Updated due to quarterly assessment and reallocation
03/30/2011
$
(6)
$
3,647,816 Updated due to quarterly assessment and reallocation
04/13/2011
$
(3,000,000)
$
647,816 Transfer of cap due to servicing transfer
06/29/2011
$
(9)
$
647,807 Updated due to quarterly assessment and reallocation
06/28/2012
$
(7)
$
647,800 Updated due to quarterly assessment and reallocation
09/27/2012
$
(19)
$
647,781 Updated due to quarterly assessment and reallocation
12/27/2012
$
(3)
$
647,778 Updated due to quarterly assessment and reallocation
03/25/2013
$
(12)
$
647,766 Updated due to quarterly assessment and reallocation
06/27/2013
$
(5)
$
647,761 Updated due to quarterly assessment and reallocation
09/27/2013
$
(2)
$
647,759 Updated due to quarterly assessment and reallocation
12/23/2013
$
(2,822)
$
644,937 Updated due to quarterly assessment and reallocation
02/27/2014
$
(644,937)
12/16/2014
$
10,000
$
10,000 Transfer of cap due to servicing transfer
12/29/2014
$
6,250
$
16,250 Updated due to quarterly assessment and reallocation
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
870,334 Updated portfolio data from servicer
870,333 Updated due to quarterly assessment and reallocation
- Termination of SPA
630,000 Updated portfolio data from servicer/additional program initial cap
- Termination of SPA
50,000 Transfer of cap due to servicing transfer
60,000 Transfer of cap due to servicing transfer
- Termination of SPA
8,413,225 Updated portfolio data from servicer
- Termination of SPA
293,656 Transfer of cap due to merger/acquisition
238,890 Termination of SPA
- Termination of SPA
115
06/19/2009
Wescom Central Credit Union
Anaheim
CA
Purchase
Financial Instrument for Home Loan Modifications
$
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
07/16/2014
$
250,000
$
5,068,122,336 Transfer of cap due to servicing transfer
07/29/2014
$
(8,035,053)
$
5,060,087,283 Updated due to quarterly assessment and reallocation
08/14/2014
$
10,000
$
5,060,097,283 Transfer of cap due to servicing transfer
09/16/2014
$
(20,000)
$
5,060,077,283 Transfer of cap due to servicing transfer
09/29/2014
$
(2,607,017)
$
5,057,470,266 Updated due to quarterly assessment and reallocation
10/16/2014
$
(150,000)
$
5,057,320,266 Transfer of cap due to servicing transfer
11/14/2014
$
(20,000)
$
5,057,300,266 Transfer of cap due to servicing transfer
12/16/2014
$
(2,720,000)
$
5,054,580,266 Transfer of cap due to servicing transfer
12/29/2014
$
(167,572,118)
$
4,887,008,148 Updated due to quarterly assessment and reallocation
09/30/2009
$
330,000
$
870,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
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
540,000 N/A
678,877 Termination of SPA
116
04/13/2011
09/30/2010
04/20/2009
Western Federal Credit Union
Weststar Mortgage, Inc.
Wilshire Credit Corporation
Hawthorne
Woodbridge
Beaverton
CA
VA
OR
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
- N/A
$
3
100,000 N/A
$
366,000,000 N/A
7
09/23/2009
Yadkin Valley Bank
Elkin
NC
Purchase
Financial Instrument for Home Loan Modifications
Total Initial CAP
$
240,000 N/A
23,831,570,000
$
Total CAP
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
04/13/2011
$
200,000
$
200,000 Transfer of cap due to servicing transfer
06/29/2011
$
17,687
$
217,687 Updated due to quarterly assessment and reallocation
09/27/2012
$
(1)
$
217,686 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
217,685 Updated due to quarterly assessment and reallocation
12/23/2013
$
(290)
$
217,395 Updated due to quarterly assessment and reallocation
03/26/2014
$
(10)
$
217,385 Updated due to quarterly assessment and reallocation
06/26/2014
$
(121)
$
217,264 Updated due to quarterly assessment and reallocation
07/29/2014
$
(240)
$
217,024 Updated due to quarterly assessment and reallocation
09/29/2014
$
(79)
$
216,945 Updated due to quarterly assessment and reallocation
12/29/2014
$
(2,081)
$
214,864 Updated due to quarterly assessment and reallocation
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)
$
12/29/2014
$
(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
10/19/2011
$
(162,895,068)
$
10/02/2009
$
60,000
$
12/30/2009
$
350,000
$
03/26/2010
$
1,360,000
$
2,010,000 Updated portfolio data from servicer
07/14/2010
$
(1,810,000)
$
200,000 Updated portfolio data from servicer
09/30/2010
$
235,167
$
435,167 Updated portfolio data from servicer
01/06/2011
$
(1)
$
435,166 Updated due to quarterly assessment and reallocation
06/29/2011
$
(4)
$
435,162 Updated due to quarterly assessment and reallocation
06/28/2012
$
(3)
$
435,159 Updated due to quarterly assessment and reallocation
09/27/2012
$
(7)
$
435,152 Updated due to quarterly assessment and reallocation
12/27/2012
$
(1)
$
435,151 Updated due to quarterly assessment and reallocation
03/25/2013
$
(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
$
(33,311)
$
398,767 Updated due to quarterly assessment and reallocation
Total CAP Adjustments
$
5,961,220,195
$
29,792,790,195
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
1,657,394 Termination of SPA
300,000 Updated portfolio data from servicer/additional program initial cap
650,000 Updated portfolio data from servicer/additional program initial cap
117
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.
118
Supplemental Information [Not Required by EESA §114(a)]
Making Home Affordable Program
Non‐GSE Incentive Payments (through December 2014)
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
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
Borrowers
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
482,212.79
8,448.57
203,621.19
1,000.00
24,689.43
15,997,418.00
2,000.00
77,528.32
4,099,061.97
355,512,400.37
9,977,090.75
20,857,636.52
1,088,155.22
1,000.00
14,523,278.91
3,046,221.79
163,710.90
2,000.00
86,789,222.91
27,229.56
243,469.32
3,916.67
3,000.00
70,720.05
2,000.00
9,542.42
7,569,459.20
3,211,515.68
42,909.09
7,000.00
1,215,982.50
916.67
2,775.62
2,916.67
6,750.00
342,554.37
1,750.00
Lenders / Investors
$
$
$
$
1,399,976.65
12,145.57
682,842.88
4,342.25
$
$
$
$
$
$
$
$
41,236,849.69
7,336.12
83,888.77
17,843,110.01
741,334,973.04
30,582,849.37
45,339,710.05
2,885,557.84
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
35,475,807.94
6,915,277.38
259,356.18
1,704.27
287,279,964.89
67,847.26
512,404.49
14,540.32
4,631.53
184,833.73
6,156.20
34,591.42
11,592,937.05
8,222,811.05
95,333.70
14,231.24
2,445,675.94
3,423.27
$
$
$
7,087.58
658,317.58
3,864.59
Servicer
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
383,630.33
8,035.81
94,577.33
27,843.67
28,629,251.10
1,000.00
45,783.08
9,075,438.92
416,070,229.93
13,156,934.82
23,909,663.64
2,101,153.90
1,000.00
23,107,950.95
4,578,588.07
283,464.54
2,000.00
125,390,230.84
46,729.55
395,647.42
4,000.00
5,000.00
106,217.28
1,000.00
16,442.42
16,279,383.05
2,851,714.64
44,612.38
15,400.00
1,603,154.32
8,717.90
3,000.00
7,000.00
743,023.67
4,000.00
Total Payments to Date
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2,265,819.77
28,629.95
981,041.40
5,342.25
52,533.10
85,863,518.79
10,336.12
207,200.17
31,017,610.90
1,512,917,603.34
53,716,874.94
90,107,010.21
6,074,866.96
2,000.00
73,107,037.80
14,540,087.24
706,531.62
5,704.27
499,459,418.64
141,806.37
1,151,521.23
22,456.99
12,631.53
361,771.06
9,156.20
60,576.26
35,441,779.30
14,286,041.37
182,855.17
36,631.24
5,264,812.76
916.67
14,916.79
5,916.67
20,837.58
1,743,895.62
9,614.59
119
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.
$
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 Serv $
New York Community Bank
$
Oakland Municipal Credit Union
$
Ocwen Loan Servicing, LLC
$
OneWest Bank
$
3,833.34
4,000.00
63,214,891.49
15,229.10
98,261.83
5,602,650.01
115,643.27
916.67
4,896.21
38,968.62
169,857.80
12,283.72
1,916.66
51,759,481.72
10,181.80
9,000.00
27,333.34
27,648.42
14,047.18
360,405,438.62
2,000.00
11,576.89
3,000.00
12,833.34
13,441,220.42
44,424.17
332,006.57
352,195.77
9,687.97
15,361,987.78
1,000.00
94,431.25
345,841.21
220,266.72
4,916.67
5,621,892.92
74,876,896.30
909,102.81
604,997.94
13,344.17
264,416,306.09
64,087,995.95
$
$
$
$
$
$
$
13,204.31
2,473.84
148,787,177.33
26,859.73
196,195.21
41,330,222.49
267,137.86
$
$
$
$
$
$
$
$
$
$
$
$
13,608.00
51,507.78
2,440,767.73
26,379.48
3,036,319.34
5,572.90
133,893,684.23
23,346.13
10,502.00
23,589.08
54,910.19
31,453.79
$
$
$
$
$
$
$
$
$
1,036,327,146.31
9,805.11
12,799.60
3,651.45
63,269.25
35,353,125.99
49,488.57
1,332.31
970,196.74
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2,109,498.69
1,817.60
238,444.01
2,305,003.00
352,858.92
13,998,310.30
210,311,875.88
2,300,212.54
1,193,727.77
34,310.37
3,568.11
989,459,420.84
219,507,148.55
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
7,916.67
6,000.00
97,109,858.42
23,095.76
116,518.91
14,101,884.19
101,552.48
1,000.00
3,812.88
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
40,200.00
32,025.20
15,323.00
450,186,220.08
15,400.00
23,196.44
4,000.00
7,000.00
27,530,413.93
60,087.67
333,007.09
839,632.77
10,649.38
17,450,559.72
2,000.00
127,981.25
1,977,320.74
383,275.04
2,916.67
7,958,020.23
97,143,654.11
1,595,306.24
486,841.55
22,003.56
6,500.00
334,270,108.48
88,214,209.98
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
24,954.32
12,473.84
309,111,927.24
65,184.59
410,975.95
61,034,756.69
484,333.61
1,916.67
22,317.09
147,876.86
6,309,232.52
51,446.92
8,308,819.34
13,322.90
280,490,773.18
46,697.46
25,502.00
48,589.08
122,443.53
91,127.41
29,370.18
1,846,918,805.01
27,205.11
47,572.93
10,651.45
83,102.59
76,324,760.34
154,000.41
666,345.97
2,162,025.28
20,337.35
34,922,046.19
4,817.60
460,856.51
4,628,164.95
956,400.68
7,833.34
27,578,223.45
382,332,426.29
4,804,621.59
2,285,567.26
69,658.10
10,068.11
1,588,145,835.41
371,809,354.48
120
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
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
Wells Fargo Bank, N.A.
Wescom Central Credit Union
Western Federal Credit Union
Wilshire Credit Corporation
Yadkin Valley Bank
Grand Total
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
22,764.14
11,000.00
7,417.47
8,226,440.24
67,219.75
4,916.67
240,104.31
3,000.00
133,393.34
8,000.00
3,124,265.11
708,326.40
164,852.94
363,275.73
3,456,246.51
19,655,074.77
30,166.70
628,008.20
117,975,858.19
472,034.50
58,054.33
2,664,664.37
49,915.10
40,355.90
6,345.26
13,445,204.48
41,093.71
245,417.15
68,621.67
65,000.00
13,316.16
443,413.07
18,023,232.06
2,916.67
49,744.11
182,363.62
327,885,605.39
316,759.81
23,250.01
33,885.25
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
1,966,887,033.29 $
42,382.16
23,936.55
11,515.21
27,669,922.53
95,712.57
1,371,408.12
2,717.07
332,061.47
8,210,030.89
1,696,730.62
227,582.28
816,171.89
6,994,242.25
41,738,413.24
69,369.41
805,743.37
246,194,055.33
569,955.07
255,605.10
5,423,555.12
153,906.17
176,298.89
4,431.92
28,366,919.26
147,936.33
518,402.47
2,245.53
232,756.98
17,536.69
1,276,335.85
39,731,606.95
2,651.90
89,641.72
368,184.04
1,430.57
76,889.58
862,942,483.87
882,164.57
59,440.67
490,394.10
37,195.05
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
5,358,186,266.54 $
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2,598,930,139.11 $
51,817.74
19,000.00
28,506.84
10,829,809.64
58,481.32
3,000.00
627,750.00
4,000.00
179,984.09
6,000.00
3,698,082.80
797,664.52
401,333.81
592,038.11
1,493,554.55
39,413,598.23
39,500.00
417,008.60
146,894,395.70
440,061.12
124,774.66
1,923,796.56
143,165.10
69,189.24
8,617.16
18,846,818.31
51,360.12
375,927.09
41,105.88
77,816.67
8,435.80
686,440.39
27,456,894.65
6,600.00
62,706.85
135,918.87
162,000.00
428,060,256.69
312,225.08
22,916.67
1,167,000.00
50,372.98
116,964.04
53,936.55
47,439.52
46,726,172.41
221,413.64
7,916.67
2,239,262.43
9,717.07
645,438.90
14,000.00
15,032,378.80
3,202,721.54
793,769.03
1,771,485.73
11,944,043.31
100,807,086.24
139,036.11
1,850,760.17
511,064,309.22
1,482,050.69
438,434.09
10,012,016.05
346,986.37
285,844.03
19,394.34
60,658,942.05
240,390.16
1,139,746.71
111,973.08
375,573.65
39,288.65
2,406,189.31
85,211,733.66
12,168.57
202,092.68
686,466.53
1,430.57
238,889.58
1,618,888,345.95
1,511,149.46
105,607.35
1,657,394.10
121,453.28
9,924,003,438.94
121
Housing Finance Agency Innovation Fund for the Hardest Hit Housing Markets
Hardest Hit Funds (HHF) Program
Seller
Note
Date
2
9/23/2010
3
9/29/2010
Name of Institution
6/23/2010 Nevada Affordable Housing Assistance Corporation
6/23/2010 CalHFA Mortgage Assistance Corporation
City
Reno
Sacramento
Investment Amount
Additional
1
Investment Amount
$
194,026,240
102,800,000
State
Transaction
Type
NV
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
-
$
34,056,581
Purchase
Financial Instrument for HHF Program
-
$
57,169,659
Purchase
Financial Instrument for HHF Program
CA
Investment Description
Initial Investment
Amount
$
$
-
699,600,000
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
476,257,070
3
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
799,477,026
Purchase
Financial Instrument for HHF Program
6/23/2010 Florida Housing Finance Corporation
Tallahassee
FL
$
-
418,000,000
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
238,864,755
3
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
400,974,381
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
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
Financial Instrument for HHF Program
3
9/29/2010
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
6/23/2010 Michigan Homeowner Assistance Nonprofit Housing Corporation
8/3/2010
North Carolina Housing Finance Agency
Lansing
Raleigh
MI
NC
$
$
$
-
125,100,000
$
142,666,006
-
$
128,461,559
-
$
215,644,179
154,500,000
-
-
159,000,000
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
120,874,221
3
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
202,907,565
Purchase
Financial Instrument for HHF Program
8/3/2010
Ohio Homeowner Assistance LLC
Columbus
OH
$
-
172,000,000
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
148,728,864
3
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
249,666,235
Purchase
Financial Instrument for HHF Program
8/3/2010
Oregon Affordable Housing Assistance Corporation
Salem
OR
$
88,000,000
-
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
49,294,215
3
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
82,748,571
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
8/3/2010
2
9/23/2010
3
9/29/2010
8/3/2010
Rhode Island Housing and Mortgage Finance Corporation
SC Housing Corp
Providence
Columbia
RI
SC
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
$
$
-
43,000,000
-
$
13,570,770
-
$
22,780,803
138,000,000
-
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
58,772,347
3
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
98,659,200
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
9/23/2010 Alabama Housing Finance Authority
3
9/29/2010
3
9/29/2010
3
9/29/2010
3
9/29/2010
9/23/2010 Kentucky Housing Corporation
9/23/2010 Mississippi Home Corporation
9/23/2010 GHFA Affordable Housing, Inc.
Montgomery
Frankfort
Jackson
Atlanta
AL
KY
MS
GA
$
60,672,471
-
$
101,848,874
$
93,313,825
$
63,851,373
$
212,604,832
-
38,036,950
-
$
$
55,588,050
-
$
-
-
126,650,987
-
Pricing
Mechanism
N/A
N/A
N/A
$
1,975,334,096
N/A
N/A
N/A
$
1,057,839,136
N/A
N/A
N/A
$
267,766,006
N/A
N/A
$
498,605,738
N/A
N/A
N/A
$
482,781,786
N/A
N/A
N/A
$
570,395,099
N/A
N/A
N/A
$
220,042,786
N/A
N/A
N/A
$
79,351,573
N/A
N/A
N/A
$
295,431,547
N/A
N/A
N/A
$
162,521,345
N/A
N/A
$
148,901,875
N/A
N/A
$
101,888,323
N/A
N/A
$
339,255,819
N/A
N/A
122
9/23/2010 Indiana Housing and Community Development Authority
3
9/29/2010
3
9/29/2010
3
9/29/2010
3
9/29/2010
3
9/23/2010 Tennessee Housing Development Agency
9/29/2010
9/23/2010 Illinois Housing Development Authority
9/23/2010 New Jersey Housing and Mortgage Finance Agency
9/23/2010 District of Columbia Housing Finance Agency
Indianapolis
Chicago
Trenton
Washington
Nashville
IN
IL
NJ
DC
TN
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
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
$
82,762,859
-
$
279,250,831
$
188,347,507
$
12,970,520
$
136,187,333
-
7,726,678
-
$
$
112,200,637
-
$
138,931,280
166,352,726
-
$
$
81,128,260
-
TOTAL INVESTMENT AMOUNT
$
221,694,139
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.
123
FHA SHORT REFINANCE PROGRAM
Seller
Footnote
Date
1
9/3/2010
2
3/4/2013
Name
Citigroup, Inc.
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
(7,092,000,000)
TOTAL INVESTMENT AMOUNT
Pricing Mechanism
N/A
N/A
$
1,025,000,000
1/ On September 3, 2010, the U.S. Department of the Treasury and Citibank, N.A. entered into a facility purchase agreement (the 'L/C Facility Agreement"), which allowed Treasury to demand from Citigroup the issuance of an up to $8 billion, 10-year letter
of credit (the "L/C"). Treasury will increase availability under the L/C incrementally in proportion to the 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.
124
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Projected Costs and Liabilities [Section 105(a)(3)(E)]
For Period Ending December 31, 2014
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.
125
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Programmatic Operating Expenses [Section 105(a)(3)(F)]
For Period Ending December 31, 2014
Type of Expense
Amount
Compensation for financial agents
and legal firms
$1,125,244,202
126
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Description of Vehicles Established [Section 105(a)(3)(H)]
For Period Ending December 31, 2014
Date
Vehicle
Description
None
127
HAMP Application Activity by Servicer 1
As of November 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
13,394
26
1,282
512
448
3,296
500
5,752
7,664
161
14,051
287
7
179
25
497
419
6,236
1,435
1,627
7,286
65,084
Activity in November 2014
# Requests
# Requests
Processed 3
Approved 4
549
12,370
12
8
200
50
685
88
829
41
3,281
144
1,273
475
3,106
728
7,800
1,523
159
10
10,512
3,901
191
48
7
370
144
22
1
490
67
400
7
3,611
1,463
2,239
554
2,004
143
7,063
1,114
56,624
11,058
# Requests
Denied 5
11,821
4
150
597
788
3,137
798
2,378
6,277
149
6,611
143
7
226
21
423
393
2,148
1,685
1,861
5,949
45,566
# Requests
Received 2
1,435,022
9,952
48,936
86,068
31,823
554,554
102,775
1,572,708
472,111
12,414
931,140
384,811
629
20,963
1,124
43,819
19,951
191,762
68,282
135,865
1,465,908
170,842
7,761,459
Program-to-Date
# Requests
# Requests
Processed 3
Approved 4
1,420,286
580,809
9,680
4,788
40,392
13,032
84,855
25,041
31,436
6,347
539,007
229,945
100,315
39,561
1,548,653
446,171
460,518
97,629
11,951
2,224
894,078
162,603
384,405
102,803
629
53
20,640
5,756
1,053
56
43,787
28,087
19,839
2,204
177,268
104,975
66,828
11,729
134,178
44,941
1,453,425
430,338
170,842
106,111
7,614,065
2,445,203
# Requests
Denied 5
839,477
4,892
27,360
59,814
25,089
309,062
60,754
1,102,482
362,889
9,727
731,475
281,602
576
14,884
997
15,700
17,635
72,293
55,099
89,237
1,023,087
64,731
5,168,862
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.
1
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.
"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
10-02, 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.
2
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
"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.
5
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