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T ABLE OF CONTENTS
TARP Snapshot for May ...................................................................................................................................................................... 1
Bank Support Programs ....................................................................................................................................................................... 2
Capital Purchase Program................................................................................................................................................................ 2
Housing Programs ............................................................................................................................................................................... 5
Making Home Affordable .................................................................................................................................................................. 5
Hardest Hit Fund .............................................................................................................................................................................. 6
Lifetime Costs ...................................................................................................................................................................................... 9
Treasury Estimates of the Impact of TARP Programs and AIG Investments on the Federal Budget ............................................... 11
Appendix Table of Contents ............................................................................................................................................................... 13
TARP SNAPSHOT FOR M AY
As of May 31, 2014, a total of
$424.1 billion has been disbursed
under TARP, and cumulative
collections, together with Treasury’s
additional proceeds from the sale of
non-TARP shares of AIG, total
$438.7 billion.
Disposition of TARP Funds as of May 31, 2014
500
billion
dollars
Obligated
Disbursed
Principal
Repayments
Outstanding
Total Cash Back
400
300
200
100
0
Housing
Credit
Banks
Autos
AIG
Non TARP AIG Cash Back
1
REPAYMENTS AT PAR
On May 14, Riverside Bancshares, Inc. repaid all their outstanding CPP subordinated debentures held by Treasury for total proceeds
of $1.1 million.
SALES & DISPOSITIONS
On May 23, Treasury sold all of its CommunityOne Bancorp (formerly FNB United Corp.) common stock in an underwritten public
offering for total proceeds of $10.1 million.
EXCHANGES
On May 30, 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.
DIVIDENDS AND INTEREST
In May, Treasury received dividends and interest income from CPP investments of $28.3 million. As of May 31, 2014, cumulative
dividends, interest and fee income received from CPP investments total $12.1 billion.
WARRANT REPURCHASES
In addition to the transactions above, Treasury disposed of its warrant positions in two institutions that were received in consideration
for investments made under the CPP.
•
On May 14, C&F Financial Corporation repurchased its warrants to purchase common stock from Treasury for a total of $2.3
million.
•
On May 14, Riverside Bancshares, Inc. repurchased their subordinated debentures from exercised warrants from Treasury for a
total of $55,000.
3
HOUSING PROGRAMS
MAKING HOME AFFORDABLE
On June 13, 2014, the U.S. Department of the Treasury is expected to release the Making Home Affordable Program Performance
Report for the period ending April 2014. Included in the report will be quarterly assessments for the largest mortgage servicers
participating in the MHA Program, with results from the first quarter of 2014. The report will be available on the following page:
http://www.treasury.gov/initiatives/financial-stability/reports/Pages/Making-Home-Affordable-Program-Performance-Report.aspx.
Beginning with the second quarter of 2014, the Making Home Affordable Program Performance Report will be published on a
quarterly basis.
HIGHLIGHTS
•
Since the start of the program, more than two million homeowner assistance actions have been taken under MHA.
•
Approximately 1.6 million homeowners have received a permanent first lien modification through MHA since the start of the
program, including more than 1.3 million through the Home Affordable Modification Program (HAMP). Approximately 12,000 new
HAMP modifications have been reported since the March report.
•
To date, homeowners in HAMP permanent modifications have saved an estimated $27.5 billion in monthly mortgage payments.
Homeowners in active first lien permanent modifications are currently saving a median of $541 per month – equal to almost 40
percent of their median before-modification payments.
•
Homeowners currently in HAMP permanent modifications have been granted an estimated $14.0 billion in principal reduction. Of
all non-GSE loans eligible for principal reduction entering HAMP in April, 67 percent included a principal reduction feature.
2MP AND HAFA PROGRAM RESULTS
•
The Second Lien Modification Program (2MP) enables homeowners in an eligible permanent first lien modification under MHA to
modify eligible second lien mortgages serviced by a participating servicer. To date, approximately 134,000 homeowners have
received assistance through 2MP.
•
More than 288,000 homeowners have exited their homes through a short sale or deed-in-lieu of foreclosure with assistance from
the Home Affordable Foreclosure Alternatives Program (HAFA), which provides $3,000 for relocation assistance after a
homeowner exits the home.
5
HARDEST HIT FUND
The Hardest Hit Fund provides $7.6 billion to 18 states and the District of Columbia to provide assistance to struggling homeowners
through locally tailored programs administered by each respective housing finance agency (HFA). These 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 May 31, 2014, the 19 HFAs
have drawn a total of $4.0 billion.
•
There are now 69 active programs across the 19 HFAs. Approximately 68 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.
•
On May 7 and 8, Treasury held its Fifth Annual Hardest Hit Fund Summit in Washington, D.C. The two-day event provided a
forum to strengthen cooperation and promote positive working relationships among key program stakeholders participating in the
Hardest Hit Fund. The Summit focused on program evolution, foreclosure prevention models, addressing operational challenges,
and best practices in servicer and state outreach efforts. More than 90 attendees participated in the Summit, including
representatives from all 18 states and the District of Columbia, 12 major servicers, FHFA, and the GSEs.
•
Four HFAs drew a total of $145.1 million in May. Over the life of the program, the 19 HFAs have drawn a total of $4.0 billion.
Each HFA draws down funds as they are needed. (See Hardest Hit Fund as of May 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 and below in the
Programs Available Through the Hardest Hit Fund table.
6
HARDEST HIT FUND AS OF MAY 31, 2014
8
The Treasury Estimates of the Impact of TARP Programs and AIG Investments on the Federal Budget chart provides for each
program within TARP the amount obligated, the amount disbursed, the outstanding balance, and the estimated lifetime cost.
Estimated lifetime cost represents Treasury’s best estimate of what the program will ultimately cost the taxpayer. Because some
TARP investments are in publicly traded securities, we also provide additional information to help readers understand the current
value of those investments. This chart also shows the estimated lifetime cost of the additional investment by Treasury in AIG
separate and apart from the TARP investment.
This chart utilizes the methodology that OFS has consistently used to estimate lifetime costs including the requirement to use a
discount rate that reflects market risk as required by EESA for future cash flows. Over time, market conditions and the performance
of specific investments will be critical determinants of TARP’s lifetime cost. The methodology used adheres to government budgeting
guidance and includes investments and other disbursements expected to be made in the future. It also includes assumptions
regarding future events, which are inherently uncertain. These estimates do not necessarily reflect official Administration budgetary
estimates of the deficit impact of TARP and may differ from the official estimates presented in the President’s Budget, the Midsession
Review of the Budget, and the report required in 2013 under Section 134 of EESA.
10
TREASURY ESTIMATES OF THE IMPACT OF TARP PROGRAMS AND AIG INVESTMENTS ON THE FEDERAL BUDGET
Programs
as of May 31, 2014
Estimated
Lifetime Cost as
of
Outstanding
Investment
Balance as of
May 31
Obligation/
Commitment
Disbursed as of
May 31
$
$
$
25.00
165.33
14.57
$
$
$
25.00
165.33
14.57
$
$
$
1.17
0.52
$
$
$
(6.89)
(10.31)
0.97
$
$
$
$
204.89
40.00
5.00
0.57
$
$
$
$
204.89
40.00
0.00
0.57
$
$
$
$
1.70
0.47
$
$
$
$
(16.23)
(4.00)
(4.00)
0.08
$
$
7.23
12.38
$
$
6.25
12.38
$
$
-
$
$
(3.06)
0.33
$
$
$
19.61
0.10
0.37
$
$
$
18.62
0.10
0.37
$
$
$
-
$
$
$
(2.73)
(0.60)
(0.00)
American International Group (AIG):
Preferred Stock
Common Stock
Total
$
$
20.29
47.54
$
$
20.29
47.54
$
$
-
$
$
15.18
$
67.84
$
67.84
$
-
$
15.18
Automotive Industry Financing Program (AIFP)
$
79.69
$
79.69
$
2.12
$
12.32
Sub-total for Investment Programs
$
418.07
$
411.72
$
4.29
$
0.02
Making Home Affordable
Hardest Hit Fund
$
$
$
29.83
7.60
1.03
$
$
$
8.28
4.03
0.06
n/a
n/a
n/a
$
$
$
29.83
7.60
0.04
$
38.46
$
12.37
n/a
$
37.47
$
456.53
$
424.09
4.29
$
37.49
n/a
$
(17.55)
4.29
$
19.94
(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)
February 28
1
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:
FHA-Refinance4
Sub-total for Housing Programs
Total for TARP Programs
Additional AIG Common Shares Held by Treasury5
Total for TARP Programs and Additional AIG Shares
n/a
$
456.53
$
n/a
$
424.09
$
11
Footnotes to Treasury Estimates of the Impact of TARP Programs and AIG Investments on the Federal Budget
1
Lifetime cost information is as of February 28, 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.
12
APPENDIX T ABLE OF CONTENTS
Section
Statutory Requirement 6
CPP Institutions
Additional Information
14
Administrative Obligations and Expenditures
EESA §105(a)(2)
18
Agreements under TARP
EESA §105(a)(3)(A)
19
Insurance Contracts
EESA §105(a)(3)(B)
25
Transactions Report
EESA §105(a)(3)(C,D,G)
26
Page
Investment Programs
26
Home Affordable Modification Program
73
Projected Costs and Liabilities
EESA §105(a)(3)(E)
116
Programmatic Operating Expenses
EESA §105(a)(3)(F)
117
Description of Vehicles Established
EESA §105(a)(3)(H)
118
HAMP Application Activity by Servicer
Dodd-Frank §1483(b)
119
6
§105(a)(1) is covered by the body of this report. EESA (Emergency Economic Stabilization Act of 2008). Dodd-Frank (Dodd-Frank Wall Street Reform and
Consumer Protection Act).
13
Troubled Asset Relief Program
Capital Purchase Program Institutions
As of May 31, 2014
A. Remaining CPP Portfolion Institutions
B. Institutions in Bankruptcy/Receivership - Realized Loss/Write-Off
C. Institutions in Bankruptcy/Receivership - Currently Not Collectible
A. Remaining CPP Portfolio Institutions
Institution Name
Popular, Inc.
First BanCorp*
U.S. Century Bank
Porter Bancorp Inc.
Royal Bancshares of Pennsylvania, Inc.
First United Corporation
Central Bancorp, Inc.
Chambers Bancshares, Inc.
OneFinancial Corporation
Liberty Shares, Inc.
White River Bancshares Company
Broadway Financial Corporation*
Suburban Illinois Bancorp, Inc.
Equity Bancshares, Inc.
Tidelands Bancshares, Inc
Bank of the Carolinas Corporation
HCSB Financial Corporation
OneUnited Bank
Cecil Bancorp, Inc.
Farmers & Merchants Bancshares, Inc.
Location
San Juan, PR
San Juan, PR
Miami, FL
Louisville, KY
Narberth, PA
Oakland, MD
Garland, TX
Danville, AR
Little Rock, AR
Hinesville, GA
Fayetteville, AR
Los Angeles, CA
Elmhurst, IL
Wichita, KS
Mount Pleasant, SC
Mocksville, NC
Loris, SC
Boston, MA
Elkton, MD
Houston, TX
Public/
Private
Public
Public
Private
Public
Public
Public
Private
Private
Private
Private
Private
Private
Private
Private
Public
Public
Public
Private
Public
Private
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Amount
Outstanding
935,000,000.00
238,972,281.88
50,236,000.00
35,000,000.00
30,407,000.00
30,000,000.00
22,500,000.00
19,817,000.00
17,300,000.00
17,280,000.00
16,800,000.00
15,000,000.00
15,000,000.00
14,800,000.00
14,448,000.00
13,179,000.00
12,895,000.00
12,063,000.00
11,560,000.00
11,000,000.00
14
NCAL Bancorp
Regent Bancorp, Inc.
City National Bancshares Corporation
United American Bank
Private Bancorporation, Inc.
Western Community Bancshares, Inc.
Greer Bancshares Incorporated
Harbor Bankshares Corporation
Highlands Independent Bancshares, Inc.
Liberty Bancshares, Inc.
Citizens Commerce Bancshares, Inc.
Patapsco Bancorp, Inc.
Rising Sun Bancorp
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.
Lone Star Bank
St. Johns Bancshares, Inc.
Marine Bank & Trust Company
US Metro Bank
Prairie Star Bancshares, Inc.
SouthFirst Bancshares, Inc.
Goldwater Bank, N.A.
Grand Financial Corporation
CSRA Bank Corp.
Citizens Bank & Trust Company
Crazy Woman Creek Bancorp, Inc.
Market Bancorporation, Inc.
BCB Holding Company, Inc.
Maryland Financial Bank
Saigon National Bank
Calvert Financial Corporation
Los Angeles, CA
Davie, FL
Newark, NJ
San Mateo, CA
Minneapolis, MN
Palm Desert, CA
Greer, SC
Baltimore, MD
Sebring, FL
Fort Worth, TX
Versailles, KY
Dundalk, MD
Rising Sun, MD
Milwaukee, WI
Rancho Santa Margarita, CA
Orange City, FL
Chicago, IL
Kingman, AZ
Oswego, IL
Granby, CO
Houston, TX
St. Louis, MO
Vero Beach, FL
Garden Grove, CA
Olathe, KS
Sylacauga, AL
Scottsdale, AZ
Hattiesburg, MS
Wrens, GA
Covington, LA
Buffalo, WY
New Market, MN
Theodore, AL
Towson, MD
Westminster, CA
Ashland, MO
Public
Public
Private
Public
Private
Private
Public
Public
Private
Private
Public
Public
Public
Private
Public
Private
Private
Private
Public
Private
Private
Private
Private
Public
Private
Public
Private
Private
Private
Private
Public
Private
Private
Private
Public
Private
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
10,000,000.00
9,982,000.00
9,439,000.00
8,700,000.00
8,222,000.00
7,290,000.00
6,843,000.00
6,800,000.00
6,700,000.00
6,500,000.00
6,300,000.00
6,000,000.00
5,983,000.00
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
3,072,000.00
3,000,000.00
3,000,000.00
2,861,000.00
2,800,000.00
2,760,000.00
2,568,000.00
2,443,320.00
2,400,000.00
2,400,000.00
2,100,000.00
2,060,000.00
1,706,000.00
1,700,000.00
1,549,000.00
1,037,000.00
15
*Original Investment has been converted at a discount into common stock in the institution. Amount shown is original
invesment amount
B. Institutions in Bankruptcy/Receivership - Realized Loss/Write-Off
Bankruptcy/ Receivership
Realized Loss/ Write-Off
Institution Name
Date
Amount
CIT Group Inc.*
11/1/2009 $
2,330,000,000.00
Pacific Coast National Bancorp*
11/13/2009 $
4,120,000.00
Anchor Bancorp Wisconsin, Inc.*
8/12/2013 $
104,000,000.00
*Institution has exited the bankruptcy/receivership process
C. Institutions in Bankruptcy/Receivership - Currently Not Collectible
Bankruptcy/ Receivership
Institution Name
Date
UCBH Holdings, Inc.
11/6/2009
Midwest Banc Holdings, Inc.
5/14/2010
Sonoma Valley Bancorp
8/20/2010
Pierce County Bancorp
11/5/2010
Tifton Banking Company
11/12/2010
Legacy Bancorp, Inc.
3/11/2011
Superior Bancorp Inc.
4/15/2011
FPB Bancorp Inc.
7/15/2011
One Georgia Bank
7/15/2011
Integra Bank Corporation
7/29/2011
Citizens Bancorp
9/23/2011
CB Holding Corp.
10/14/2011
Tennessee Commerce Bancorp, Inc.
1/27/2012
Blue River Bancshares, Inc.
2/10/2012
Fort Lee Federal Savings Bank
4/20/2012
Gregg Bancshares, Inc.
7/13/2012
GulfSouth Private Bank
10/19/2012
Investors Financial Corporation of Pettis County, Inc.
10/19/2012
First Place Financial Corporation
10/29/2012
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Currently Not Collectible
Amount
298,737,000.00
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
16
Princeton National Bancorp
Premier Bank Holding Company
Gold Canyon Bank
Indiana Bank Corp.
Rogers Bancshares, Inc.
TCB Holding Company
Syringa Bancorp
Idaho Bancorp
11/2/2012
8/14/2012
4/5/2013
4/9/2013
7/5/2013
12/13/2013
1/31/2014
4/24/2014
$
$
$
$
$
$
$
$
25,083,000.00
9,500,000.00
1,607,000.00
1,312,000.00
25,000,000.00
11,730,000.00
8,000,000.00
6,900,000.00
17
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Agreements Under TARP [Section 105(a)(3)(A)]
For Period May 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 Mnp LLP
Ennis Knupp & Associates Inc
The Bank of New York Mellon
Pricewaterhousecoopers LLP‐1
Turner Consulting Group, Inc.
Ernst & Young LLP
Hughes Hubbard & Reed LLP
Squire Sanders & Dempsey LLP
Lindholm & Associates Inc.
Sonnenschein Nath & Rosenthal LLP
Internal Revenue Service (IRS)
Internal Revenue Service (IRS)
Department of the Treasury ‐ Departmental Offices
Trade and Tax Bureau ‐ Treasury
Washington Post
Thacher Proffitt & Wood
Sonnenschein Nath & Rosenthal LLP
Office of Thrift Supervision
Department of Housing and Urban Development
Office of Thrift Supervision
Cushman And Wakefield Of VA Inc.
Securities and Exchange Commission
Colonial Parking Inc.
Whitaker Brothers Bus Machines Inc
Cadwalader Wickersham & Taft LLP
Office of the Comptroller of the Currency
Government Accountability Office
Internal Revenue Service (IRS)
Pat Taylor & Assoc Inc.
Locke Lord Bissell & Liddell LLP
Fannie Mae
Freddie Mac
Office of Thrift Supervision
FINANCIAL CLERK U.S. SENATE
Venable LLP‐1
Simpson Thacher & Bartlett Mnp 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
Parking
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
19
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
Securities and Exchange Commission
Pension Benefit Guaranty Corp
The Boston Consulting Group Inc
EARNEST Partners
Cadwalader Wickersham & Taft LLP
Sonnenschein Nath & Rosenthal LLP
Bingham McCutchen LLP
Haynes and Boone LLP
Mckee Nelson LLP
FI Consulting Inc.
American Furniture Rentals, Inc.
The Boston Consulting Group Inc
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.
Securities and Exchange Commission
Department of Justice ‐ ATF
Anderson Mc Coy & Orta
Simpson Thacher & Bartlett Mnp LLP
Financial Management Service (FMS)
Department of the Interior
Korn/Ferry Internationa
Debevoise & Plimpton, LLP
Cadwalader Wickersham & Taft LLP
Fox Hefter Swibel Levin & Carol, LLP
Department of Justice
NASA
Mercer (US) Inc.
Department of Justice
Knowledge Mosaic Inc.
Equilar Inc.
Pricewaterhousecoopers LLP‐1
Bureau of Public Debt (BPD)
Immixtechnology, Inc.
Immixtechnology, Inc.
NNA Inc.
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
20
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
Bureau of Public Debt (BPD)
Qualx Corporation
Department of the Treasury ‐ Departmental Offices
Financial Management Service (FMS)
Federal Maritime Commission (FMC)
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 Inc. (dba LexisNexis)
The George Washington University
Regis & Associates PC
Navigant Consulting Inc.
Pricewaterhousecoopers LLP‐1
Ernst & Young LLP
Schiff Hardin LLP
West Publishing Corporation
Alston & Bird LLP
Sullivan Cove Reign Enterprises Jv
Perkins Coie LLP
Orrick Herrington Sutcliffe LLP
Cadwalader Wickersham & Taft LLP
Haynes and Boone LLP
Love & Long LLP
Venable LLP‐1
Fox Hefter Swibel Levin & Carol, LLP
Seyfarth Shaw LLP
Paul Weiss Rfknd Whrtn & Grrsn 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
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
21
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
Shulman Rgrs Gndl Pordy & Ecker Pa
Hughes Hubbard & Reed 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 Inc. (dba LexisNexis)
Canon U.S.A. Inc.
Perella Weinberg Partners & Co.
Bureau of Public Debt (BPD)
Association of Govt Accountants
ESI International Inc.
Department of the Treasury ‐ Departmental Offices
Equilar Inc.
Mercer (US) Inc.
Harrison Scott Publications Inc
Federal Reserve Bank of New York (FRBNY) HR
Pricewaterhousecoopers LLP‐1
Oculus Group Inc.
ASR Analytics LLC
Ernst & Young LLP
Lani Eko & Company CPAs LLC
MorganFranklin Corporation
FI Consulting Inc.
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
Other Than Small Business
Small Disadvantaged Business, Small Business
Other Than Small Business
Small Business
Other Than Small Business
Other Than Small Business
22
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 Inc. (dba LexisNexis)
ESI International Inc.
CQ‐Roll Call Inc.
Winvale Group LLC
Internal Revenue Service (IRS)
Financial Management Service (FMS)
ADC LTD NM
ABMI ‐ All Business Machines, Inc.
Department of the Interior
Knowledge Mosaic Inc.
Internal Revenue Service (IRS)
ABMI ‐ 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.
Department of Justice
Qualx Corporation
West Publishing Corporation
Knowledge Mosaic Inc.
Internal Revenue Service (IRS)
Harrison Scott Publications Inc
Bureau of Public Debt (BPD)
SNL Financial LC
Government Accountability Office
Association of Govt Accountants
Department of the Treasury ‐ Departmental Offices
Lazard Fréres & Co. LLC
Lazard Fréres & Co. LLC
Mercer (US) 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
23
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
08/28/2013
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
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
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.
Bureau of Public Debt (BPD)
Government Accountability Office
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
Support Services
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Interagency Agreement
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Department of the Treasury ‐ Departmental Offices ‐ WCF
Association of Govt Accountants
Department of Justice
Department of Justice
Department of the Treasury ‐ Departmental Offices
Mercer (US) Inc.
Bloomberg Finance L.P.
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Information Technology
Compliance
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
24
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Insurance Contracts [Section 105(a)(3)(B)]
For Period Ending May 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.
25
his copy of the ransactions Report is subject to the terms and conditions of download as stated at http://www treasury gov/initiatives/financ al stability/reports/Pages/default aspx
Investment Status Definition Key
Full investment outstanding : Treasury's fu l investment is still outstanding
Redeemed – inst tution has repaid Treasury’s investment
Sold – by auction, an offering, or through a restructuring
roubled Asset Relief Program
Exited bankruptcy/receivership - Treasury has no ou standing investment
ransactions Report Investment Programs
Currently not collectible - investment s currently not col ectible; therefore there is no outstanding investment and a corresponding (Realized Loss) / (Wr te-off)
For Period End ng May 30 2014
In full – all of Treasury’s investment amount
In part – part of the investment s no longer he d by Treasury, but some remains
CAPITAL PURCHASE PROGRAM
Warrants outstanding – Treasury’s warrant to purchase additional stock s sti l 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 CONSTITUT ON BANCORP
1ST CONSTITUT ON BANCORP
1ST CONSTITUT ON 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 F RST 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.
ANNAPOL S BANCORP, INC. / F.N.B. CORPORATION
ANNAPOL S BANCORP, INC. / F.N.B. CORPORATION
ANNAPOL S 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
ANNAPOL S
ANNAPOL S
ANNAPOL S
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‐Ma ‐11
13‐Ma ‐09
18‐Nov‐09
23‐Jan‐09
19‐Nov‐13
6‐Jan‐14
10‐Feb‐14
19‐Ma ‐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‐Ma ‐13
1‐Ap ‐14
26‐Jun‐09
27‐Ma ‐13
28‐Ma ‐13
9‐Ap ‐13
19‐Dec‐08
13‐May‐09
17‐Jun‐09
26‐Jun‐09
6‐Feb‐13
7‐Feb‐13
26‐Ma ‐13
24‐Ap ‐09
27‐Ma ‐09
18‐Sep‐12
19‐Sep‐12
20‐Sep‐12
16‐Nov‐12
30‐Jan‐09
22‐Sep‐11
6‐Ma ‐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‐Ma ‐13
27‐Ma ‐13
28‐Ma ‐13
9‐Ap ‐13
30‐Jan‐09
27‐Sep‐13
30‐Jan‐09
18‐Ap ‐12
6‐Ma ‐13
21‐Nov‐08
6‐Ap ‐11
14‐Sep‐11
6‐Dec‐11
29‐Dec‐09
Original Investment Type 1
P efe ed Stock w/ Wa ants
Original Investment
Amount
$12,000,000.00
Total Cash Back2
Outstanding
Investment
Capital Repayment / Disposition / Auction3,5
Investment Status*
Amount
$0.00
$13,433,242.67
(Fee) 4
$4,400,000.00
$6,000,000.00
$0.00
$11,748,156.44
P efe ed Stock w/ Wa ants
$16,369,000.00
$0.00
$9,229,948.97
Sold, n full wa ants not outstand ng
$111,000,000.00
$0.00
$125,480,000.00
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$10,000,000.00
$0.00
$10,870,902.67
Redeemed, n full wa ants not outstand ng
$3,500,000.00
$0.00
$1,274,909.59
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
12,000
Shares
$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, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Wa ants
Avg. Price
Redeemed, n full wa ants not outstand ng
$12,000,000.00
P efe ed Stock w/ Wa ants
Shares
$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, n full wa ants outstand ng
($50,000.00)
$150,621.36
($1,506.21)
P efe ed Stock w/ Exe c sed Wa ants
$12,720,000.00
$0.00
$15,071,769.00
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$6,514,000.00
$0.00
$7,674,004.73
Sold, n full wa ants not outstand ng
($64,026.11)
P efe ed Stock w/ Wa ants
$4,781,000.00
$0.00
$7,501,881.70
Sold, n full wa ants not outstand ng
$208,870.74
$4,058,697.67
($42,675.67)
($7,324.33)
P efe ed Stock w/ Exe c sed Wa ants
$2,986,000.00
$0.00
$3,581,397.27
Sold, n full wa ants not outstand ng
$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)
P efe ed Stock w/ Wa ants
$26,918,000.00
$0.00
$28,356,360.00
Redeemed, n full wa ants not outstand ng
Subo d nated Debentu es w/ Exe c sed Wa ants
$12,000,000.00
$0.00
$9,806,136.60
Sold, n full wa ants not outstand ng
($90,025.20)
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$3,652,000.00
$70,000,000.00
$3,652,000 00
$0.00
$409,753.00
$73,129,160.69
Fu l nvestment outstand ng wa ants outstand ng
Sold, n full wa ants not outstand ng
$280,115.76
$6,559,920.24
$50,160,264.00
($570,003.00)
P efe ed Stock w/ Exe c sed Wa ants
$3,674,000.00
$0.00
P efe ed Stock w/ Exe c sed Wa ants
$2,492,000.00
P efe ed Stock w/ Wa ants
$3,388,890,000.00
P efe ed Stock w/ Exe c sed Wa ants
$1,800,000.00
P efe ed Stock w/ Exe c sed Wa ants
$6,000,000.00
$4,387,576.45
Redeemed, n full wa ants not outstand ng
$0.00
$2,960,021.33
Redeemed, n full wa ants not outstand ng
$0.00
$3,803,257,308.33
Redeemed, n full wa ants not outstand ng
$0.00
$2,052,682.49
Redeemed, n full wa ants not outstand ng
$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, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$52,000,000.00
$0.00
$59,637,438.67
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$21,000,000.00
$0.00
$24,601,666.66
Redeemed, n fu l wa ants not outstand ng
$48,391,200.00
Subo d nated Debentu es w/ Exe c sed Wa ants
$5,000,000.00
$0.00
$6,523,255.00
($725,868.00)
($3,608,800.00)
Sold, n full wa ants not outstand ng
($48,000.00)
P efe ed Stock w/ Wa ants
$110,000,000.00
$0.00
$6,000,000.00
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$8,152,000.00
$0.00
$9,643,136.33
Redeemed, n full wa ants outstand ng
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$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, n full wa ants not outstand ng
Sold, n full wa ants not outstand ng
26
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
8 106
44,8,14
8,14
44,8,14
12,16
11
8
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
AV DBANK HOLDING, INC. / PENINSULA BANK HOLDING CO.
AV DBANK HOLDING, INC. / PENINSULA BANK HOLDING CO.
AV DBANK 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 AMER CA
BANK OF AMER CA
BANK OF AMER CA
BANK OF AMER CA
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
11 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.
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
BERKSH RE BANCORP, INC. / CUSTOMERS BANCORP, INC.
BERKSH RE BANCORP, INC. / CUSTOMERS BANCORP, INC.
BERKSH RE BANCORP, INC. / CUSTOMERS BANCORP, INC.
BERKSH RE HILLS BANCORP, INC.
BERKSH RE HILLS BANCORP, INC.
BERKSH RE 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.
BLACKHAWK BANCORP, INC.
BLACKHAWK BANCORP, INC.
City
BLUFFTON
BLUFFTON
BLUFFTON
NASHV LLE
NASHV LLE
PALO ALTO
PALO ALTO
PALO ALTO
SHEFFIELD
SHEFFIELD
OAK BROOK
OAK BROOK
PROVIDENCE
PROVIDENCE
PROVIDENCE
RIDGELAND
RIDGELAND
FESTUS
FESTUS
FESTUS
FESTUS
MOBILE
MOBILE
EDEN PRAIR E
EDEN PRAIR E
EDEN PRAIR E
EDEN PRAIR E
EDEN PRAIR E
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
LITTLE ROCK
LITTLE ROCK
LITTLE ROCK
DENVER
DENVER
MACON
MACON
GREENVILLE
GREENVILLE
GREENVILLE
GREENVILLE
WALLA WALLA
WALLA WALLA
WALLA WALLA
HARR SBURG
HARRISBURG
BAR HARBOR
BAR HARBOR
BAR HARBOR
WINSTON‐SALEM
WINSTON‐SALEM
WINSTON‐SALEM
THEODORE
BALT MORE
BALT MORE
BALT MORE
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
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
AR
AR
AR
CO
CO
MS
MS
SC
SC
SC
SC
WA
WA
WA
NE
NE
ME
ME
ME
NC
NC
NC
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
WI
WI
Date
7‐Feb‐14
10‐Feb‐14
19‐Ma ‐14
27‐Feb‐09
15‐Sep‐11
30‐Jan‐09
31‐Jul‐13
28‐Aug‐13
13‐Ma ‐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‐Ap ‐09
26‐Ap ‐13
29‐Ap ‐13
31‐May‐13
19‐Dec‐08
15‐Feb‐13
14‐Aug‐09
19‐Dec‐12
20‐Dec‐12
11‐Jan‐13
26‐Ma ‐13
28‐Oct‐08
9‐Jan‐09
9‐Dec‐09
9‐Ma ‐10
16‐Jan‐09
30‐Nov‐12
11‐Jan‐13
14‐Nov‐08
27‐Sep‐11
26‐Oct‐11
13‐Ma ‐09
21‐Oct‐13
6‐Jan‐14
5‐Dec‐08
31‐Ma ‐09
23‐Nov‐11
28‐Oct‐08
17‐Jun‐09
5‐Aug‐09
17‐Ap ‐09
12‐Dec‐08
4‐Nov‐09
24‐Nov‐09
30‐Jan‐09
24‐Ap ‐14
23‐Jan‐09
8‐Sep‐11
13‐Feb‐09
9‐Nov‐12
11‐Jan‐13
26‐Ma ‐13
21‐Nov‐08
3‐Ap ‐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‐Ap ‐09
23‐Dec‐08
26‐Jan‐11
19‐Ap ‐13
30‐Jan‐09
6‐Jul‐11
19‐Oct‐11
7‐Ma ‐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‐Ap ‐09
18‐Dec‐09
28‐Jul‐11
19‐Jun‐09
7‐Feb‐13
8‐Feb‐13
26‐Ma ‐13
13‐Ma ‐09
29‐Oct‐12
31‐Oct‐12
11‐Jan‐13
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Capital Repayment / Disposition / Auction3,5
Investment Status*
Amount
(Fee) 4
$1,950,000.00
$50,000.00
Shares
Avg. Price
1,950
50
(Realized Loss) /
(Write‐off)
$1,150.00
$1,150.00
Gain5
Warrant Proceeds
Amount
$292,500.00
$7,500.00
Shares
$95,031.02
$10,798.98
88
10
$370,000.00
370
($25,000.00)
P efe ed Stock w/ Exe c sed Wa ants
$7,400,000.00
$0.00
$8,798,415.33
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$6,000,000.00
$0.00
$7,563,057.15
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$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
$48,000,000.00
48,000
$1,000.00
$98,267.00
$8,352,695.00
100
8,500
$982.70
$982.70
$50,000,000.00
50,000
$1,000.00
$451,600.92
$481,335.96
486
518
$929.20
$929.20
1,000,000
$25 000.00
3,000
$834.00
$17,000,000.00
17,000
$1,000.00
$955,240.00
2,672
$357.50
$28,000,000.00
28,000
$1,000.00
$3 000,000,000.00
3,000,000
$1,000.00
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$13,669,000.00
$0.00
$15,595,736.93
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$30,000,000.00
$0.00
$32,341,666.66
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$48,000,000.00
$0.00
$54,607,399.33
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$8,600,000.00
$0.00
$10,701,460.58
Sold, n full wa ants not outstand ng
($1,733.00)
($147,305.00)
$1 400,000.00
192,967
$2 400,000.00
2,400
$426,338.55
430
$15,000.00
730,994
$23,500.00
50
$305 913,040.28
121,792 790
$100,100.00
150
$125,000.00
405,405
$23,709.00
134
$1 703,984.00
154,908
$136 000,000.00
14,516 129
($84,509.62)
P efe ed Stock w/ Wa ants
$50,000,000.00
$0.00
$60,451,155.74
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$1,004,000.00
$0.00
$1,114,680.76
Sold, n full wa ants not outstand ng
($34,399.08)
($36,664.04)
($9,329.37)
($15,670.63)
P efe ed Stock w/ Wa ants
$15,000,000,000.00
$10,000,000,000.00
$0.00
$26,599,663,040.28
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$3,000,000.00
$0.00
$3,087,573.33
Sold, n full wa ants not outstand ng
$25 000,000,000.00
$2,502,000.00
($498,000.00)
($25,000.00)
P efe ed Stock w/ Wa ants
$17,000,000.00
$0.00
$19,564,027.78
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$2,672,000.00
$0.00
$1,233,940.00
Sold, n full wa ants not outstand ng
($1,716,760.00)
($25,000.00)
P efe ed Stock w/ Wa ants
$28,000,000.00
$0.00
$30,155,095.11
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$3,000,000,000.00
$0.00
$3,231,416,666.67
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Wa ants
$13,179,000.00
$75,000,000.00
$13,179,000 00
$0.00
$1,039,677.00
$81,004,166.67
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$12,639,000.00
$0.00
$17,097,990.60
Redeemed, n fu l wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$15,500,000.00
$1,000,000.00
$0.00
$0.00
$18,492,469.25
$1,100,653.50
$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
124,000
$884.80
($14,282,320.00)
$134,201.00
243,998
$795,000.00
795
$1,000.00
$40,000.00
4
$18,751,000.00
18,751
$1,000.00
$3 133,640,000.00
3,134
$1,000 000.00
Redeemed, n full wa ants not outstand ng
Sold, n full wa ants not outstand ng
($9,000.00)
($16,000.00)
P efe ed Stock w/ Wa ants
$124,000,000.00
$0.00
$129,079,862.47
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$795,000.00
$0.00
$942,411.42
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$18,751,000.00
$0.00
$20,037,514.11
Redeemed, n full wa ants not outstand ng
$109,717,680.00
P efe ed Stock w/ Wa ants
$3,133,640,000.00
$0.00
$3,293,353,918.53
$1,706,000.00
$10,800,000.00
$1,706,000 00
$0.00
$173,507.50
$13,371,500.00
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$6,000,000.00
$0.00
$7,263,316.66
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$2,892,000.00
$40,000,000.00
$985,000.00
$0.00
$0.00
$0.00
$3,444,478.21
$41,917,777.78
$1,172,062.50
$250,000.00
52,455
$67 010,401.86
13,902 573
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
($1,645,765.20)
$10,800,000.00
10,800
$1,000.00
$1 442,000.00
183,465
$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
$300,000.00
300
$0.00
$2,892,000.00
2,892
2,892
$1,000.00
$1,000.00
$145,000.00
145
$40,000,000.00
40,000
$1,000.00
$1 040,000.00
226,330
$985,000.00
985
$1,000.00
$50,000.00
5
$3,379,000.00
3,379
$1,000.00
$82,000.00
82
$2,532,140.00
$3,700,820.00
2,600,000
3,800,000
$0.97
$0.97
($67,860.00)
($99,180.00)
$64,158.97
$140,347.75
64,000
140,000
205
9,795
$910.00
$910.00
($18,450.00)
($881,550.00)
$470,250.00
500
Redeemed, n full wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$1,635,000.00
$1,744,000.00
$0.00
$3,803,022.67
Redeemed, n full wa ants not outstand ng
Subo d nated Debentu es w/ Exe c sed Wa ants
$6,400,000.00
$0.00
$8,271,975.28
Sold, n full wa ants not outstand ng
($62,329.60)
P efe ed Stock w/ Exe c sed Wa ants
$10,000,000.00
$0.00
$11,459,461.11
Sold, n full wa ants not outstand ng
$186,550.00
$8,913,450.00
($91,000.00)
27
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
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 CORPORAT ON
CADENCE FINANCIAL CORPORAT ON
CALIFORNIA BANK OF COMMERCE
CALIFORNIA BANK OF COMMERCE
CALIFORNIA OAKS STATE BANK
CALIFORNIA OAKS STATE BANK
CALVERT FINANCIAL CORPORAT ON
CALWEST BANCORP
CAPITAL BANCORP, INC.
CAPITAL BANCORP, INC.
CAPITAL BANK CORPORAT ON
CAPITAL BANK CORPORAT ON
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 I, INC.
CARDINAL BANCORP I, 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.
CARVER BANCORP, INC.
CASCADE FINANCIAL CORPORATION
City
State
FARGO
ND
FARGO
ND
FARGO
ND
INDEPENDENCE
MO
INDEPENDENCE
MO
MO
INDEPENDENCE
INDEPENDENCE
MO
SHELBYVILLE
IN
SHELBYVILLE
IN
OVERLAND PARK
KS
OVERLAND PARK
KS
KS
OVERLAND PARK
OVERLAND PARK
KS
NEW YORK
NY
NEW YORK
NY
THOMASVILLE
NC
NC
THOMASVILLE
THOMASVILLE
NC
NEW CANAAN
CT
NEW CANAAN
CT
BISMARCK
ND
ND
BISMARCK
BISMARCK
ND
BISMARCK
ND
HOUSTON
TX
HOUSTON
TX
BOSCOBEL
WI
WI
BOSCOBEL
BOSCOBEL
WI
BOSCOBEL
WI
BOSTON
MA
BOSTON
MA
BOSTON
MA
MA
BOSTON
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
WI
KAUKAUNA
KAUKAUNA
WI
KAUKAUNA
WI
KANSAS CITY
KS
KANSAS CITY
KS
CLAYTON
MO
CLAYTON
MO
CLAYTON
MO
CLAYTON
MO
CATLIN
IL
CATLIN
IL
VA
WEST POINT
WEST POINT
VA
WEST POINT
VA
WEST POINT
VA
LOGAN
UT
UT
LOGAN
LOGAN
UT
STARKV LLE
MS
STARKV LLE
MS
LAFAYETTE
CA
LAFAYETTE
CA
CA
THOUSAND OAKS
THOUSAND OAKS
CA
ASHLAND
MO
RANCHO SANTA MARGARIT CA
ROCKVILLE
MD
ROCKVILLE
MD
RALE GH
NC
RALE GH
NC
WI
MILWAUKEE
MCLEAN
VA
MCLEAN
VA
MCLEAN
VA
PORTLAND
OR
OR
PORTLAND
PORTLAND
OR
PORTLAND
OR
WASHINGTON
MO
WASHINGTON
MO
GREENSBORO
NC
GREENSBORO
NC
GREENSBORO
NC
GREENSBORO
NC
GREENSBORO
NC
LINCOLNTON
NC
NC
LINCOLNTON
LINCOLNTON
NC
LINCOLNTON
NC
LINCOLNTON
NC
BALT MORE
MD
BALT MORE
MD
NEW YORK
NY
NY
NEW YORK
EVERETT
WA
Date
22‐May‐09
27‐Jun‐12
12‐Sep‐12
6‐Ma ‐09
29‐Oct‐12
31‐Oct‐12
11‐Jan‐13
6‐Ma ‐09
10‐Feb‐12
5‐Dec‐08
18‐Oct‐13
21‐Oct‐13
6‐Jan‐14
17‐Ap ‐09
30‐Aug‐13
5‐Dec‐08
29‐Aug‐12
19‐Sep‐12
27‐Feb‐09
4‐Aug‐11
16‐Jan‐09
14‐Ma ‐14
17‐Ma ‐14
25‐Ap ‐14
6‐Ma ‐09
14‐Jul‐11
15‐May‐09
8‐Ma ‐13
11‐Ma ‐13
9‐Ap ‐13
21‐Nov‐08
13‐Jan‐10
16‐Jun‐10
7‐Feb‐11
23‐Dec‐08
23‐Feb‐11
16‐Ma ‐11
20‐Ap ‐11
19‐Dec‐08
19‐Nov‐13
6‐Jan‐14
14‐Nov‐08
4‐Dec‐09
15‐May‐09
26‐Ap ‐13
29‐Ap ‐13
31‐May‐13
17‐Jul‐09
15‐Sep‐11
24‐Ap ‐09
23‐May‐12
9‐Jan‐13
24‐Ap ‐13
13‐Ma ‐09
2‐Nov‐11
9‐Jan‐09
27‐Jul‐11
11‐Ap ‐12
14‐May‐14
23‐Dec‐08
18‐Dec‐09
14‐Jul‐11
9‐Jan‐09
4‐Ma ‐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‐Ap ‐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‐Ma ‐13
19‐Ap ‐13
6‐Feb‐09
30‐Nov‐12
11‐Jan‐13
26‐Ma ‐13
11‐Jun‐13
13‐Feb‐09
19‐Ap ‐13
16‐Jan‐09
27‐Aug‐10
21‐Nov‐08
Original Investment Type 1
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
Original Investment
Amount
$5,000,000.00
$12,000,000.00
Total Cash Back2
Outstanding
Investment
Capital Repayment / Disposition / Auction3,5
Investment Status*
Amount
$0.00
$0.00
$6,127,326.35
$11,938,437.34
(Fee) 4
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
Redeemed, n full wa ants not outstand ng
$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
$250,000.00
250
$541,793.34
600
Sold, n full wa ants not outstand ng
($6,370.00)
($2,933,630.00)
($90,600.00)
P efe ed Stock w/ Exe c sed Wa ants
$5,000,000.00
$0.00
$529,105.00
Cu ently not collect ble
($5,000,000.00)
P efe ed Stock w/ Wa ants
$21,750,000.00
$0.00
$21,261,845.65
Sold, n full wa ants outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$7,500,000.00
$0.00
$9,776,051.62
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$31,260,000.00
$0.00
$35,140,666.12
Sold, n full wa ants not outstand ng
$3,177,232.50
$18,085,785.00
3,250
18,500
$977.60
$977.60
7,500
$1,000.00
31,260
$921.20
($72,767.50)
($414,215.00)
($212,630.18)
$7,500,000.00
$28,797,649.80
P efe ed Stock w/ Exe c sed Wa ants
$4,797,000.00
$0.00
$5,673,920.75
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$20,093,000.00
$0.00
$26,941,865.35
Sold, n full wa ants not outstand ng
($431,964.75)
$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
$375,000.00
375
$939,920.00
543,337
($2,462,350.20)
$240,000.00
240
$154.44
$21,546.00
$29,737.13
$966,456.56
30
975
$1,000.00
$500,000.00
500
5,586,000
$1.11
$592,730.46
$232,180.54
$129,709.80
179,000
100,000
$50,000,000.00
$104,000,000.00
50,000
104,000
$1,000.00
$1,000.00
$6 202,523.25
2,887,500
$15,000,000.00
$8,864,000.00
15,000
8,864
$1,000.00
$1,000.00
$1 395,000.00
396,412
$10,450,000.00
38,000
$275.00
$709,155.81
1,900
60,000
2,340,000
$1.05
$1.05
$125,135.60
120,000
($201,147.00)
P efe ed Stock w/ Exe c sed Wa ants
$10,000,000.00
$0.00
$11,783,777.44
Redeemed, n full wa ants not outstand ng
Subo d nated Debentu es w/ Exe c sed Wa ants
$5,586,000.00
$0.00
$6,947,457.50
Sold, n full wa ants not outstand ng
$10,000,000.00
$5,586,000.00
($61,787.30)
P efe ed Stock w/ Wa ants
$154,000,000.00
$0.00
$171,224,745.48
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$23,864,000.00
$0.00
$27,872,582.22
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$38,000,000.00
$0.00
$13,447,811.37
Sold, n full wa ants not outstand ng
($27,550,000.00)
($104,500.00)
P efe ed Stock w/ Wa ants
$15,000,000 00
$810,416.67
Full nvestment outstand ng wa ants not outstand ng
Subo d nated Debentu es w/ Exe c sed Wa ants
$9,000,000.00
$6,000,000.00
$2,400,000.00
$0.00
$3,022,879.60
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$11,000,000.00
$0.00
$12,845,586.01
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$15,000,000.00
$0.00
$18,707,708.84
Redeemed, n full wa ants not outstand ng
$60,000.00
$2,340,000.00
$3,000.60
$117,023.40
($25,000.00)
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
$607,000.00
$20,000,000.00
$0.00
$0.00
$724,123.53
$25,205,957.78
P efe ed Stock w/ Exe c sed Wa ants
$4,767,000.00
$4,640,000.00
$0.00
$10,674,333.80
$0.00
$41,984,062.50
Sold, n full wa ants not outstand ng
$4,000,000.00
$0.00
$4,755,899.67
Redeemed, n fu l wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$3,300,000.00
$0.00
$3,802,219.25
Redeemed, n full wa ants not outstand ng
$215,442.61
$396,163.67
$5,452,281.19
$550,000.00
550
$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
Redeemed, n fu l wa ants not outstand ng
$44,000,000.00
$1,037,000 00
$4,656,000 00
$0.00
$1,000.00
6,000
2,500
6,500
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$1,037,000.00
$4,656,000.00
$4,700,000.00
11,000
$6,000,000.00
$2,500,000.00
$6,500,000.00
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$11,000,000.00
$9,407,000.00
9,407
$1,000.00
$38,000,000.00
44,000
$863.60
($6,000,000.00)
$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
Fu l nvestment outstand ng wa ants outstand ng
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$41,279,000.00
$0.00
$45,252,104.25
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
$5,100,000.00
$3,555,199,000.00
$5,100,000 00
$0.00
$304,973.00
$3,806,873,702.13
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$4,000,000.00
$0.00
$4,742,850.89
Sold, n full wa ants not outstand ng
$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
($16,272.96)
($230,287.04)
($25,000.00)
Subo d nated Debentu es w/ Exe c sed Wa ants
$6,251,000.00
$0.00
$7,547,479.56
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$16,000,000.00
$0.00
$19,941,788.94
Sold, n full wa ants not outstand ng
$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)
$9,201,000.00
9,201
$1,000.00
$18,980,000.00
18,980
$1,000.00
($149,616.00)
P efe ed Stock w/ Wa ants
$4,000,000.00
$0.00
$3,994,452.00
Sold, n full wa ants not outstand ng
$3,412,000.00
($34,120.00)
($15,880.00)
P efe ed Stock w/ Wa ants
$9,201,000.00
$0.00
$11,388,958.51
$19,132.00
86,957
$213,594.16
205,379
Redeemed, n fu l wa ants not outstand ng
P efe ed Stock
$18,980,000.00
$0.00
$20,511,580.55
Redeemed, n fu l wa ants not outstand ng
P efe ed Stock w/ Wa ants
$38,970,000.00
$0.00
$17,678,900.00
Sold, n full wa ants not outstand ng
28
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
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
11,9,36
Institution Name
CASCADE FINANCIAL CORPORATION
CATHAY GENERAL BANCORP
CATHAY GENERAL BANCORP
CATHAY GENERAL BANCORP
CATHAY GENERAL BANCORP
CATSK LL 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 BANCSHARES, INC.
CENTRAL BANCSHARES, INC.
CENTRAL COMMUNITY CORPORAT ON
CENTRAL COMMUNITY CORPORAT ON
CENTRAL COMMUNITY CORPORAT ON
CENTRAL COMMUNITY CORPORAT ON
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
CENTURY FINANCIAL SERVICES CORPORATION
CENTURY FINANCIAL SERVICES CORPORATION
CENTURY FINANCIAL SERVICES CORPORATION
CENTURY FINANCIAL SERVICES CORPORATION
CHAMBERS BANCSHARES, INC.
CH CAGO SHORE CORPORATION
CH CAGO SHORE CORPORATION
CH CAGO SHORE CORPORATION
CH CAGO 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.
CITIZENS BANCSHARES CO.
CITIZENS BANCSHARES CO.
CITIZENS BANCSHARES CO.
CITIZENS BANCSHARES CORPORATION
City
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
M LFORD
MILFORD
MILFORD
M LFORD
M LFORD
DAVENPORT
DAVENPORT
DAVENPORT
MORGANTOWN
MORGANTOWN
MORGANTOWN
SOMERVILLE
SOMERVILLE
SOMERVILLE
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
SANTA FE
SANTA FE
SANTA FE
SANTA FE
DANVILLE
CH CAGO
CH CAGO
CH CAGO
CH CAGO
NEW YORK
NEW YORK
NEW YORK
NEW YORK
NEW YORK
WELLSBORO
WELLSBORO
WELLSBORO
NEVADA CITY
NEVADA CITY
CH LLICOTHE
CH LLICOTHE
CH LLICOTHE
CH LLICOTHE
ATLANTA
State
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
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
NM
NM
NM
NM
AR
IL
IL
IL
IL
NY
NY
NY
NY
NY
PA
PA
PA
CA
CA
MO
MO
MO
MO
GA
Date
30‐Jun‐11
5‐Dec‐08
20‐Ma ‐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‐Ma ‐13
27‐Ma ‐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‐Ma ‐13
21‐Nov‐08
30‐Sep‐09
28‐Oct‐09
16‐Jan‐09
31‐Ma ‐09
15‐Ap ‐09
5‐Dec‐08
25‐Aug‐11
19‐Oct‐11
27‐Feb‐09
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‐Ap ‐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‐Ma ‐14
19‐Jun‐09
19‐Dec‐12
20‐Dec‐12
11‐Jan‐13
29‐May‐09
31‐Jul‐09
14‐Ma ‐14
17‐Ma ‐14
25‐Ap ‐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
7‐Feb‐13
8‐Feb‐13
26‐Ma ‐13
6‐Ma ‐09
Original Investment Type 1
P efe ed Stock w/ Wa ants
Original Investment
Amount
$258,000,000.00
Total Cash Back2
Outstanding
Investment
Capital Repayment / Disposition / Auction3,5
Investment Status*
Amount
$0.00
$329,874,444.96
(Fee) 4
Shares
Avg. Price
$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
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
($22,720,000.00)
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$3,000,000.00
$3,500,000.00
$0.00
$7,448,071.47
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$4,114,000.00
$0.00
$271,579.53
Cu ently not collect ble
$6,500,000.00
6,500
$1,000.00
$13 107,778.30
1 846,374
$263,000.00
263
($4,114,000.00)
P efe ed Stock w/ Exe c sed Wa ants
$2,644,000.00
$1,753,000.00
$0.00
$4,982,141.86
Sold, n full wa ants not outstand ng
$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
$10,000,000.00
10,000
$1,000.00
($32,969.92)
($363.42)
P efe ed Stock w/ Exe c sed Wa ants
$24,300,000.00
$0.00
$27,432,357.95
Sold, n full wa ants not outstand ng
$923,304.00
$21,073,056.00
($219,963.60)
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$11,560,000.00
$3,564,000.00
$11,560,000 00
$0.00
$516,988.89
$4,672,098.50
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$10,000,000.00
$0.00
$11,586,666.67
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$55,000,000.00
$0.00
$64,739,583.33
Redeemed, n full wa ants outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$2,250,000.00
$0.00
$2,344,662.43
Sold, n full wa ants not outstand ng
$55,000,000.00
55,000
$1,000.00
$24,750.00
$1,831,500.00
30
2,220
$825.00
$825.00
($5,250.00)
($388,500.00)
$178,000.00
178
$245,000.00
86,705
$84,057.43
113
$212,000.00
125,413
($18,562.50)
($6,437.50)
P efe ed Stock w/ Wa ants
$27,875,000.00
$0.00
$29,283,302.58
Redeemed, n fu l wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$15,000,000.00
$0.00
$15,922,937.50
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$10,000,000.00
$0.00
$13,886,111.11
$27,875,000.00
27,875
$1,000.00
$15,000,000.00
15,000
$1,000.00
$10,000,000.00
10,000
$1,000.00
$750,000.00
750
$2 525,000.00
234,742
$290,000.00
290
$1 058,725.80
1,100
$319,658.99
268,621
$751,888.00
79,288
$185,016.80
79,067
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$22,500,000.00
$5,800,000.00
$22,500,000 00
$0.00
$2,411,625.00
$6,859,176.83
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$22,000,000.00
$0.00
$25,797,528.80
Sold, n full wa ants not outstand ng
$5,800,000.00
5,800
$1,000.00
$5,333,059.60
$15,043,340.40
5,758
16,242
$926.20
$926.20
($424,940.40)
($1,198,659.60)
7,225
$415.20
($4,225,000.00)
($203,764.00)
P efe ed Stock w/ Wa ants
$7,225,000.00
$0.00
$3,612,118.06
Sold, n full wa ants not outstand ng
$3,000,000.00
P efe ed Stock w/ Wa ants
$11,300,000.00
$0.00
$12,704,145.10
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$135,000,000.00
$0.00
$75,036,891.42
Sold, n full wa ants not outstand ng
$11,300,000.00
11,300
$1,000.00
2,850,000
2,770,117
$12.75
$13.15
$7,000,000.00
7,000
$1,000.00
$3,350,000.00
11,385
$294.20
$36,337,500.00
$36,427,038.55
P efe ed Stock w/ Wa ants
$7,000,000.00
$0.00
$8,077,516.47
P efe ed Stock w/ Wa ants
$11,385,000.00
$0.00
$3,800,656.00
Sold, n full wa ants not outstand ng
$6,056,000.00
$0.00
$6,739,821.89
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$7,500,000.00
$0.00
$8,887,791.42
Redeemed, n full wa ants not outstand ng
$32,668,000.00
$0.00
$11,203,387.14
($32,121,928.87)
($30,113,532.58)
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
($454,218.75)
($387,816.38)
($8,035,000.00)
$6,056,000.00
6,056
$1,000.00
$182,000.00
182
$7,500,000.00
7,500
$1,000.00
$375,000.00
375
25,266
6,000
$325.00
$325.00
($17,054,550.00)
($4,050,000.00)
1,402
$412.00
($824,361.98)
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
$258,018.75
$387,028.12
500
750
Sold, n full wa ants outstand ng
$8,211,450.00
$1,950,000.00
($82,114.50)
($19,500.00)
$577,638.02
($5,776.38)
Subo d nated Debentu es w/ Exe c sed Wa ants
$10,000,000.00
$0.00
$13,186,960.25
Sold, n full wa ants not outstand ng
$39,400.00
$9,810,600.00
($98,500.00)
Subo d nated Debentu es w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$19,817,000.00
$7,000,000.00
$19,817,000 00
$0.00
$5,754,674.98
$8,981,348.81
Fu l nvestment outstand ng wa ants outstand ng
Sold, n full wa ants not outstand ng
$257,660.00
$6,679,340.00
($69,370.00)
P efe ed Stock w/ Wa ants
$2,330,000,000.00
$0.00
$43,687,500.00
Ex ted bank uptcy/ ece ve sh p
P efe ed Stock w/ Wa ants
$25,000,000,000.00
$0.00
$32,839,267,986.44
Redeemed, n full wa ants not outstand ng
($2,330,000,000.00)
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$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, n full wa ants not outstand ng
Cu ently not collect ble
($10,400,000.00)
P efe ed Stock w/ Exe c sed Wa ants
$24,990,000.00
$0.00
$13,952,381.45
Sold, n full wa ants not outstand ng
$6,657,375.00
$6,150,000.00
12,990
12,000
$512.50
$512.50
($6,332,625.00)
($5,850,000.00)
($128,073.75)
P efe ed Stock
$7,462,000.00
$0.00
$7,997,813.22
Redeemed, n full wa ants not outstand ng
29
FootNote
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
74,8,14
8
44,8,14
Institution Name
City
State
Date
CITIZENS BANCSHARES CORPORATION
CITIZENS BANK & TRUST COMPANY, ESTABL SHED 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 CORPORAT ON
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.
COB Z FINANCIAL INC.
COB Z FINANCIAL INC.
COB Z 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.
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
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
13‐Aug‐10
20‐Ma ‐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‐Ap ‐13
12‐Dec‐08
22‐Sep‐11
9‐Nov‐11
10‐Ap ‐09
21‐Nov‐08
30‐Dec‐09
3‐Ma ‐10
7‐Ap ‐10
27‐Ma ‐09
28‐Nov‐12
29‐Nov‐12
11‐Jan‐13
5‐Dec‐08
8‐Ma ‐13
11‐Ma ‐13
9‐Ap ‐13
10‐Ap ‐13
12‐Jun‐13
28‐Aug‐09
8‐Ma ‐13
11‐Ma ‐13
9‐Ap ‐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‐Ma ‐09
26‐Oct‐11
9‐Jan‐09
7‐Feb‐13
8‐Feb‐13
26‐Ma ‐13
12‐Jun‐13
21‐Nov‐08
11‐Aug‐10
1‐Sep‐10
27‐Feb‐09
22‐Sep‐11
14‐Nov‐08
COMERICA INC.
COMERICA INC.
COMMERCE NAT ONAL BANK
COMMERCE NAT ONAL BANK
COMMERCE NAT ONAL 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 M SSISSIPPI, INC./COMMUNITY BANK OF MISSISSIPPI
COMMUNITY BANCSHARES OF M SSISSIPPI, 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 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)
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)
DALLAS
DALLAS
NEWPORT BEACH
NEWPORT BEACH
NEWPORT BEACH
LOU SVILLE
LOU SVILLE
LOU SVILLE
LOU SVILLE
LOU SVILLE
LOU SVILLE
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
WEST SACRAMENTO
WEST SACRAMENTO
WEST SACRAMENTO
STAUNTON
STAUNTON
GLEN ELLYN
GLEN ELLYN
HARRISON
HARRISON
HARRISON
HARRISON
UNION CITY
UNION CITY
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
CA
CA
CA
VA
VA
IL
IL
AR
AR
AR
AR
TN
TN
17‐Ma ‐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‐Ma ‐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‐Ap ‐14
27‐Feb‐09
30‐Nov‐12
11‐Jan‐13
19‐Dec‐08
9‐Jan‐13
15‐May‐09
21‐Dec‐12
3‐Ap ‐09
7‐Feb‐14
10‐Feb‐14
19‐Ma ‐14
20‐Ma ‐09
18‐Aug‐11
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Amount
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$2,400,000.00
$6,300,000.00
$3,000,000.00
$2,400,000 00
$6,300,000 00
$0.00
$510,483.00
$180,258.50
$3,574,645.84
Fu l nvestment outstand ng wa ants outstand ng
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$8,779,000.00
$0.00
$10,530,923.11
Redeemed, n full wa ants outstand ng
P efe ed Stock w/ Wa ants
$300,000,000.00
$0.00
$369,245,436.64
Redeemed, n full wa ants outstand ng
P efe ed Stock w/ Wa ants
$20,500,000.00
$0.00
$23,572,379.22
Redeemed, n full wa ants not outstand ng
P efe ed Stock
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$9,439,000.00
$400,000,000.00
$3,000,000.00
Capital Repayment / Disposition / Auction3,5
Investment Status*
$9,439,000 00
$0.00
$0.00
$281,859.00
$442,416,666.67
$3,318,585.05
(Fee) 4
Shares
Avg. Price
$7,462,000.00
7,462
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
$1,000.00
$3,000,000.00
3,000
$1,000.00
$2,212,308.00
$3,300,904.00
$3,265,788.00
63
94
93
$35 116.00
$35 116.00
$35 116.00
$300,000,000.00
300,000
$1,000.00
$20,500,000.00
20,500
$1,000.00
$150,000.00
150
$225,157.00
450,314
$18 500,000.00
1,128,668
$114,021.50
150
Full nvestment outstand ng wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
$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
Sold, n full wa ants not outstand ng
($25,000.00)
P efe ed Stock w/ Wa ants
$9,950,000.00
$0.00
$11,166,897.79
Sold, n full wa ants not outstand ng
$3,772,645.00
$5,730,600.00
($95,032.45)
P efe ed Stock w/ Exe c sed Wa ants
$16,015,000.00
$0.00
$14,257,487.71
$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
Sold, n full wa ants not outstand ng
$397,550.00
$12,335,976.50
($127,335.27)
P efe ed Stock w/ Wa ants
$64,450,000.00
$0.00
$73,357,086.72
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$16,500,000.00
$0.00
$19,178,479.00
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$10,000,000.00
$0.00
$10,670,784.03
Sold, n full wa ants not outstand ng
$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
($5,005.00)
($957,495.00)
($90,375.00)
P efe ed Stock w/ Exe c sed Wa ants
$574,000.00
$0.00
$668,142.53
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$28,000,000.00
$0.00
$26,480,089.20
Sold, n full wa ants not outstand ng
($6,027,055.29)
($73,864.71)
($218,990.80)
P efe ed Stock w/ Wa ants
$76,898,000.00
$0.00
$86,821,419.22
$76,898,000.00
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Wa ants
Subo d nated Debentu es w/ Exe c sed Wa ants
$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, n full wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
$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, n full wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
Sold, n full wa ants not outstand ng
$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)
P efe ed Stock w/ Exe c sed Wa ants
$7,701,000.00
$0.00
$8,451,110.79
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$2,550,000.00
$0.00
$2,899,659.67
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$500,000.00
$0.00
$616,741.75
Redeemed, n full wa ants not outstand ng
$7,323,651.00
($73,236.51)
P efe ed Stock w/ Exe c sed Wa ants
$52,000,000.00
$0.00
$57,575,699.54
$3,872,000.00
$1,747,000.00
$3,872,000 00
$0.00
$981,158.70
$1,823,188.61
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$19,468,000.00
$0.00
$22,802,281.62
Redeemed, n full wa ants not outstand ng
$17,680,000.00
$0.00
$22,355,879.12
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
($258,440.00)
$167,035.00
199
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock
P efe ed Stock w/ Wa ants
$2,550,000.00
$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
Redeemed, n full wa ants outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$3,976,000.00
$0.00
$4,674,050.16
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$12,643,000.00
$0.00
$15,206,719.94
Redeemed, n full wa ants outstand ng
3,976
$935.00
$12,643,000.00
$3,717,560.00
12,643
$1,000.00
$3,136,500.00
6,970
$450.00
($3,833,500.00)
$157,050.00
349
$3,705,037.50
$8,867,389.75
3,750
8,975
$988.00
$988.00
($44,962.50)
($107,610.25)
$85,157.88
$544,614.34
86
550
20,000
$1,000.00
$1 000,000.00
1,000
($25,000.00)
P efe ed Stock w/ Exe c sed Wa ants
$6,970,000.00
$0.00
$4,240,743.82
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$12,725,000.00
$0.00
$16,441,884.63
Sold, n full wa ants not outstand ng
($125,724.27)
P efe ed Stock w/ Exe c sed Wa ants
$20,000,000.00
$0.00
$23,628,111.33
Redeemed, n full wa ants not outstand ng
$20,000,000.00
30
FootNote
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
89
Institution Name
COMMUNITY FIRST, INC.
COMMUNITY FIRST, INC.
COMMUNITY FIRST, INC.
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF M SS SSIPPI, INC.
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISS SSIPPI, INC.
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF M SS SSIPPI, INC.
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF M SS SSIPPI, 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
CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancsha es, Inc.
CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancsha es, 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
DEERF ELD FINANCIAL CORPORATION
DEERF ELD 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.
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 Bancsha es, Inc.
City
COLUMBIA
COLUMBIA
COLUMBIA
BRANDON
BRANDON
BRANDON
BRANDON
BUCYRUS
BUCYRUS
BUCYRUS
BUCYRUS
BUCYRUS
M DDLETOWN
M DDLETOWN
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
RALE GH
RALE GH
BLAINE
BLAINE
BLAINE
BLAINE
WRENS
ONTARIO
ONTARIO
ONTARIO
ONTARIO
BURLEY
BURLEY
DEERF ELD
DEERF ELD
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
PASADENA
PASADENA
TAPPAHANNOCK
TAPPAHANNOCK
TAPPAHANNOCK
TAPPAHANNOCK
ENGELHARD
State
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
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
CA
CA
VA
VA
VA
VA
NC
Date
27‐Feb‐09
11‐Ap ‐14
14‐Ap ‐14
6‐Feb‐09
30‐Nov‐12
11‐Jan‐13
26‐Ma ‐13
23‐Dec‐08
19‐Dec‐12
20‐Dec‐12
11‐Jan‐13
26‐Ma ‐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‐Ma ‐13
30‐Jan‐09
28‐Nov‐12
29‐Nov‐12
11‐Jan‐13
5‐Jun‐09
30‐Ap ‐14
20‐Feb‐09
8‐Jan‐14
9‐Jan‐09
19‐Feb‐14
23‐Jan‐09
19‐Jul‐13
22‐Jul‐13
12‐Sep‐13
27‐Ma ‐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‐Ma ‐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‐Ma ‐13
13‐Ma ‐09
21‐Ap ‐10
7‐Jul‐10
30‐Jan‐09
4‐Aug‐11
21‐Sep‐11
19‐Jun‐09
27‐Nov‐13
5‐Ma ‐14
2‐Ap ‐14
5‐Dec‐08
23‐Dec‐09
14‐Jul‐11
23‐Nov‐11
5‐Dec‐08
29‐Dec‐10
26‐Jan‐11
9‐Jan‐09
18‐Oct‐13
21‐Oct‐13
6‐Jan‐14
16‐Jan‐09
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Capital Repayment / Disposition / Auction3,5
Investment Status*
Amount
P efe ed Stock w/ Exe c sed Wa ants
$17,806,000.00
$0.00
$7,723,513.50
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$1,050,000.00
$0.00
$1,220,300.65
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$2,600,000.00
$0.00
$3,115,616.28
Sold, n full wa ants not outstand ng
(Fee) 4
$1,322,500.50
$4,028,202.50
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
4,401
13,405
$300.50
$300.50
($3,078,499.50)
($9,376,797.50)
$73,045.00
$391,312.50
140
750
105
$9,550.00
($47,250.00)
$25,000.00
5
1,003
1,597
$950.00
$950.00
($50,150.00)
($79,850.00)
$105,000.00
130
$9,000,000.00
9,000
$1,000.00
$460,000.00
311,972
$4,400,000.00
4,400,000
$1.11
$177,716.96
132,000
$24,000,000.00
24,000
$1,000.00
$1 200,000.00
1,200
$2,172,000.00
$9,122,400.00
3,000
12,600
$724.00
$724.00
($828,000.00)
($3,477,600.00)
$698,351.00
521,158
1,085,554
$9.35
($41,350,070.10)
29
3,256
$825.30
$825.30
($5,067.46)
($568,953.44)
$106,364.00
164
638
$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
$250,000.00
250
$531,210.67
533
$1 307,000.00
834,761
$1,002,750.00
($10,027.50)
($14,972.50)
$952,850.00
$1,517,150.00
($24,700.00)
($300.00)
P efe ed Stock w/ Wa ants
$9,000,000.00
$0.00
$10,598,750.00
Redeemed, n fu l wa ants not outstand ng
Subo d nated Debentu es w/ Exe c sed Wa ants
$4,400,000.00
$0.00
$5,462,045.14
Sold, n full wa ants not outstand ng
$484,924.00
($48,849.24)
P efe ed Stock w/ Exe c sed Wa ants
$24,000,000.00
$0.00
$28,459,100.00
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$15,600,000.00
$0.00
$14,341,140.33
Sold, n full wa ants not outstand ng
($112,944.00)
P efe ed Stock w/ Wa ants
$51,500,000.00
$0.00
$12,739,234.90
Sold, n full wa ants outstand ng
$10,149,929.90
P efe ed Stock w/ Exe c sed Wa ants
$3,285,000.00
$0.00
$3,483,629.20
Sold, n full wa ants not outstand ng
$23,932.54
$2,687,046.56
($25,000.00)
P efe ed Stock w/ Exe c sed Wa ants
$638,000.00
$0.00
$659,705.04
Sold, n full wa ants not outstand ng
$548,680.00
($5,486.80)
($19,513.20)
P efe ed Stock w/ Exe c sed Wa ants
$7,525,000.00
$0.00
$8,781,205.02
Sold, n full wa ants not outstand ng
$713,208.30
$6,193,989.20
($69,071.98)
P efe ed Stock w/ Exe c sed Wa ants
$5,000,000.00
$0.00
$6,594,635.27
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$3,100,000.00
$2,100,000 00
$1,867,002.08
Redeemed, n pa t wa ants outstand ng
P efe ed Stock w/ Wa ants
$24,900,000.00
$0.00
$31,333,741.20
Redeemed, n full wa ants outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$10,650,000.00
$0.00
$13,498,324.83
Sold, n full wa ants not outstand ng
$5,000,000.00
5,000
$1,000.00
$1,000,000.00
1,000
$1,000.00
$24,900,000.00
24,900
$1,000.00
$343,794.50
$10,117,381.00
350
10,300
$982.30
$982.30
$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
$600,000.00
600,000
$2 794,422.00
770,868
$14 500,000.00
1,517,555
($6,205.50)
($182,619.00)
($104,611.76)
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
Subo d nated Debentu es w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$2,400,000.00
$130,000,000.00
$19,891,000.00
$2,639,000.00
$9,000,000.00
$2,400,000 00
$0.00
$0.00
$0.00
$0.00
$180,940.00
$136,046,583.33
$23,686,592.33
$3,283,338.96
$6,598,331.15
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
Sold, n full wa ants not outstand ng
$5,293,527.28
$215,462.72
($55,089.90)
P efe ed Stock w/ Exe c sed Wa ants
$1,173,000.00
$1,508,000.00
$0.00
$2,781,331.97
Sold, n full wa ants not outstand ng
$301,428.58
$1,895,467.59
($33,333.34)
Subo d nated Debentu es w/ Exe c sed Wa ants
$20,445,000.00
$0.00
$21,101,618.19
Sold, n full wa ants not outstand ng
$4,381,500.00
$10,197,941.25
$350,520.00
($149,299.61)
P efe ed Stock w/ Exe c sed Wa ants
$146,053,000.00
$0.00
$87,459,858.69
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$1,224,558,000.00
$0.00
$1,464,248,844.00
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$11,750,000.00
$0.00
$13,683,277.61
Redeemed, n full wa ants not outstand ng
$8,025,555.03
$72,684,793.30
($807,103.48)
Subo d nated Debentu es w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Wa ants
$12,000,000.00
$38,235,000.00
$306,546,000.00
$24,000,000.00
$0.00
$0.00
$0.00
$0.00
$17,424,285.82
$44,847,153.76
$352,722,420.00
$28,453,653.60
Redeemed, n full wa ants not outstand ng
$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
$15,000,000.00
$23,235,000.00
15,000
23,235
$1,000.00
$1,000.00
$306,546,000.00
306,546
$1,000.00
$3,900,000.00
$20,100,000.00
3,900
20,100
$1,104.10
$1,104.10
Redeemed, n full wa ants outstand ng
Redeemed, n full wa ants not outstand ng
Sold, n full wa ants outstand ng
$406,029.00
$2,092,611.00
($264,986.40)
P efe ed Stock w/ Wa ants
$17,949,000.00
$0.00
$22,526,494.08
Redeemed, n full wa ants outstand ng
31
FootNote
44
45
11
8,44,14
8,44,72
8,14
8 14,18
8,14
15,14
8,14
11
8
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
11
11
45,8,14
Institution Name
ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancsha es, Inc.
EMCLA RE FINANCIAL CORP.
EMCLA RE FINANCIAL CORP.
EMCLA RE FINANCIAL CORP.
ENCORE BANCSHARES INC.
ENCORE BANCSHARES INC.
ENCORE BANCSHARES INC.
ENTERPRISE FINANCIAL SERV CES CORP.
ENTERPRISE FINANCIAL SERV CES CORP.
ENTERPRISE FINANCIAL SERV CES CORP.
ENTERPRISE FINANCIAL SERV CES GROUP, INC.
ENTERPRISE FINANCIAL SERV CES 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 CORPORAT ON (NC)
F & M FINANCIAL CORPORAT ON (NC)
F & M FINANCIAL CORPORAT ON (NC)
F & M FINANCIAL CORPORAT ON (NC)
F & M FINANCIAL CORPORAT ON (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
FIFTH THIRD BANCORP
FIFTH THIRD BANCORP
FIFTH THIRD BANCORP
FINANCIAL INSTITUTIONS, INC.
FINANCIAL INSTITUTIONS, INC.
FINANCIAL INSTITUTIONS, INC.
FINANCIAL INSTITUTIONS, INC.
FINANCIAL SECURITY CORPORAT ON
City
ENGELHARD
EMLENTON
EMLENTON
EMLENTON
HOUSTON
HOUSTON
HOUSTON
ST. LOUIS
ST. LOUIS
ST. LOUIS
ALLISON PARK
ALLISON PARK
W CHITA
W CHITA
SANTA ROSA
SANTA ROSA
SANTA ROSA
SANTA ROSA
SANTA ROSA
SANTA ROSA
SANTA ROSA
TREZEVANT
TREZEVANT
TREZEVANT
TREZEVANT
TREZEVANT
TREZEVANT
SAL SBURY
SAL SBURY
SAL SBURY
SAL SBURY
SAL SBURY
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
LOU SVILLE
LOU SVILLE
WABASH
WABASH
WABASH
WABASH
BATON ROUGE
BATON ROUGE
PITTSBURGH
PITTSBURGH
EVANSVILLE
EVANSVILLE
EVANSVILLE
EVANSVILLE
WICHITA
W CHITA
W CHITA
WICHITA
WICHITA
WICHITA
WICHITA
WICHITA
W CHITA
ATLANTA
ATLANTA
CINCINNATI
CINCINNATI
CINCINNATI
WARSAW
WARSAW
WARSAW
WARSAW
BASIN
State
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
OH
OH
OH
NY
NY
NY
NY
WY
Date
19‐Feb‐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‐Ma ‐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‐Ma ‐09
20‐Ma ‐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‐Ma ‐09
21‐Jul‐11
29‐Dec‐09
9‐Ma ‐11
26‐Jun‐09
20‐Feb‐13
26‐Ma ‐13
19‐Dec‐08
22‐Sep‐11
19‐Dec‐08
28‐Nov‐12
30‐Nov‐12
11‐Jan‐13
29‐May‐09
27‐Ma ‐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
31‐Dec‐08
2‐Feb‐11
16‐Ma ‐11
23‐Dec‐08
23‐Feb‐11
30‐Ma ‐11
11‐May‐11
13‐Feb‐09
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Amount
P efe ed Stock w/ Wa ants
$7,500,000.00
$0.00
$8,545,904.67
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$34,000,000.00
$0.00
$39,415,959.89
Redeemed, n full wa ants outstand ng
P efe ed Stock w/ Wa ants
$35,000,000.00
$0.00
$42,801,933.33
$4,000,000.00
$0.00
$4,680,205.56
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$8,750,000.00
$0.00
$10,394,872.56
Redeemed, n full wa ants not outstand ng
$43,000,000.00
$0.00
$47,294,527.29
(Fee) 4
Shares
Avg. Price
$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
$4,000,000.00
4,000
$1,000.00
$8,750,000.00
8,750
$1,000.00
$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
5,090
2,901
153
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
$51,113.00
50,111
$637,071.00
728,052
$1 006,100.00
324,074
$200,000.00
200
$438,000.00
438
($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
$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, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
Capital Repayment / Disposition / Auction3,5
Investment Status*
Sold, n full wa ants not outstand ng
($376,357.50)
P efe ed Stock w/ Exe c sed Wa ants
$4,609,000.00
$3,535,000.00
$0.00
$9,405,391.28
Sold, n full wa ants not outstand ng
$4,797,325.00
$2,734,192.50
$144,202.50
($76,757.21)
P efe ed Stock w/ Exe c sed Wa ants
$17,000,000.00
$0.00
$20,119,744.45
Sold, n full wa ants not outstand ng
$2,664,750.00
$13,485,250.00
($161,500.00)
Subo d nated Debentu es w/ Exe c sed Wa ants
$2,993,000.00
$0.00
$3,842,376.65
Sold, n full wa ants not outstand ng
$1,590,599.43
$1,278,999.18
($25,000.00)
P efe ed Stock w/ Exe c sed Wa ants
$17,243,000.00
$0.00
$17,573,762.97
Sold, n full wa ants not outstand ng
$157,500.00
$13,421,362.50
($135,788.63)
P efe ed Stock w/ Wa ants
$100,000,000.00
$0.00
$104,023,433.33
Redeemed, n fu l wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$11,000,000.00
$442,000.00
$11,000,000 00
$0.00
$2,063,280.00
$500,199.14
Fu l nvestment outstand ng wa ants outstand ng
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$8,752,000.00
$0.00
$11,396,202.11
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$30,000,000.00
$0.00
$27,105,349.50
Sold, n full wa ants not outstand ng
$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
Subo d nated Debentu es w/ Exe c sed Wa ants
$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
Sold, n full wa ants not outstand ng
$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
$3,942,000.00
3,942,000
$1.00
$7,000,000.00
7,000
$1,000.00
$439,000.00
$6,218,000.00
439
6,218
$1,058.90
$1,058.90
135
30
335
3,591
2,635
29,236
320
$891.30
$891.30
$891.30
$891.30
$891.30
$891.30
$891.30
($14,679.90)
($3,262.20)
($36,427.90)
($390,485.34)
($286,529.90)
($3,179,122.64)
($34,796.80)
($4,791,080.00)
($115,548.00)
P efe ed Stock w/ Exe c sed Wa ants
$700,000.00
$0.00
$830,173.67
Redeemed, n full wa ants not outstand ng
Subo d nated Debentu es w/ Exe c sed Wa ants
$3,035,000.00
$0.00
$804,592.16
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$21,042,000.00
$0.00
$19,836,630.66
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$9,294,000.00
$0.00
$11,156,234.25
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$7,289,000.00
$0.00
$8,441,836.26
Sold, n full wa ants not outstand ng
$18,874,674.00
($188,746.74)
($94,575.40)
($613,186.50)
$358,558.20
364
$197,000.00
197,000
$242,302.50
200
$170,227.93
$167,374.94
$1,210,615.36
$176,884.89
179
176
1,273
186
$280 025,936.00
43,617 747
$2 079,962.50
378,175
($65,812.38)
Subo d nated Debentu es w/ Exe c sed Wa ants
$3,942,000.00
$0.00
$5,404,924.35
Redeemed, n fu l wa ants not outstand ng
P efe ed Stock w/ Wa ants
$7,000,000.00
$0.00
$8,388,333.33
Redeemed, n full wa ants outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$6,657,000.00
$0.00
$7,220,908.83
Sold, n full wa ants not outstand ng
$25,857.10
$366,240.20
($70,490.97)
P efe ed Stock w/ Exe c sed Wa ants
$36,282,000.00
$0.00
$40,966,780.82
Sold, n full wa ants not outstand ng
$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)
P efe ed Stock w/ Wa ants
$48,200,000.00
$0.00
$51,286,669.09
Sold, n full wa ants outstand ng
P efe ed Stock w/ Wa ants
$3,408,000,000.00
$0.00
$4,043,972,602.67
Redeemed, n full wa ants not outstand ng
$43,408,920.00
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$37,515,000.00
$5,000,000.00
$0.00
$0.00
$43,787,611.61
$5,914,597.33
48,200
$900.60
$3 408,000,000.00
($651,133.80)
136,320
$25 000.00
$12,505,000.00
$25,010,000.00
2,501
5,002
$5,000.00
$5,000.00
Redeemed, n full wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
32
FootNote
15,17,44
8,14
8,14
15,11,14
11,9,36
45
34
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
9,17
Institution Name
FINANCIAL SECURITY CORPORAT ON
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 AMER CAN BANK CORPORATION
FIRST AMER CAN BANK CORPORATION
FIRST AMER CAN BANK CORPORATION
FIRST AMER CAN INTERNATIONAL CORP.
FIRST AMER CAN INTERNATIONAL CORP.
FIRST BANCORP (NC)
FIRST BANCORP (NC)
FIRST BANCORP (NC)
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 CORPORAT ON
FIRST BUSEY CORPORAT ON
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 BANK CORPORATION OF AMER CA
FIRST COMMUNITY BANK CORPORATION OF AMER CA
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.
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.
City
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
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
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
LAWRENCE
CHARLESTON
CHARLESTON
CHARLESTON
ELIZABETHTOWN
ELIZABETHTOWN
ELIZABETHTOWN
LEBANON
LEBANON
LEBANON
State
WY
MN
MN
MN
MN
MN
MN
MN
TN
TN
TN
TN
IL
IL
IL
NY
NY
NC
NC
NC
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
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
KS
SC
SC
SC
KY
KY
KY
TN
TN
TN
Date
21‐Jul‐11
31‐Jul‐09
1‐Sep‐11
22‐May‐09
10‐Dec‐12
11‐Dec‐12
11‐Jan‐13
26‐Ma ‐13
26‐Jun‐09
20‐Dec‐12
11‐Jan‐13
26‐Ma ‐13
24‐Jul‐09
21‐Dec‐11
11‐Dec‐12
13‐Ma ‐09
13‐Aug‐10
9‐Jan‐09
1‐Sep‐11
23‐Nov‐11
16‐Jan‐09
16‐Aug‐13
13‐Sep‐13
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‐Ma ‐09
25‐Aug‐11
23‐Nov‐11
10‐Ap ‐09
11‐Dec‐09
19‐Dec‐12
20‐Dec‐12
11‐Jan‐13
19‐Dec‐08
14‐Jul‐11
24‐Aug‐11
3‐Ap ‐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‐Ma ‐09
22‐Sep‐11
21‐Nov‐08
8‐Jul‐09
22‐Nov‐11
15‐May‐09
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‐Ma ‐09
3‐May‐11
23‐Dec‐08
24‐Feb‐10
8‐Jun‐10
12‐Jun‐09
22‐Sep‐11
5‐Dec‐08
3‐Ap ‐12
22‐May‐13
9‐Jan‐09
29‐Ap ‐13
31‐May‐13
22‐Dec‐09
9‐Nov‐12
11‐Jan‐13
Original Investment Type 1
Subo d nated Debentu es w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
Original Investment
Amount
$3,742,000.00
$1,177,000.00
Total Cash Back2
Outstanding
Investment
Capital Repayment / Disposition / Auction3,5
Investment Status*
Amount
$0.00
$0.00
$4,487,322.46
$1,289,436.37
(Fee) 4
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
$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
12,000,000
1,261,356
$6.75
$6.75
$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
$105,000.00
$12,171,950.00
$87,028,900.00
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
$30,600.00
88,273
$297,500.00
195,915
$70,727.58
$440,082.72
$209,563.20
108
672
320
Redeemed, n full wa ants not outstand ng
Sold, n full wa ants not outstand ng
$690,723.49
$366,469.68
($10,571.93)
($14,428.07)
P efe ed Stock w/ Exe c sed Wa ants
$3,422,000.00
$0.00
$3,003,674.75
Sold, n full wa ants not outstand ng
Subo d nated Debentu es w/ Exe c sed Wa ants
$50,000,000.00
$0.00
$65,558,530.56
Redeemed, n fu l wa ants not outstand ng
P efe ed Stock
$17,000,000.00
$0.00
$18,204,166.78
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$65,000,000.00
$0.00
$74,518,906.44
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$400,000,000.00
$238,972,281 88
$122,513,539.32
Sold, n pa t wa ants outstand ng
$2,395,742.20
($23,957.42)
($1,042.58)
P efe ed Stock w/ Exe c sed Wa ants
$7,350,000.00
$0.00
$9,050,516.50
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$3,345,000.00
$0.00
$3,960,105.00
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$10,000,000.00
$0.00
$11,941,222.22
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$295,400,000.00
$0.00
$119,071,500.97
Sold, n full wa ants not outstand ng
($64,711,540.92)
($6,802,024.20)
($993,058.50)
$3,209,702.21
$3,226,801.50
($64,365.04)
P efe ed Stock w/ Wa ants
$100,000,000.00
$0.00
$112,410,898.89
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$2,211,000.00
$2,032,000.00
$0.00
$4,693,275.61
Sold, n full wa ants not outstand ng
($126,916.00)
($232,600.16)
($33,333.33)
P efe ed Stock w/ Wa ants
$25,000,000.00
$0.00
$28,810,847.55
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$10,958,000.00
$0.00
$11,956,712.44
Sold, n full wa ants not outstand ng
$25,000,000.00
$10,082,565.38
P efe ed Stock w/ Exe c sed Wa ants
$2,200,000.00
$2,836,000.00
$0.00
$5,446,642.94
Redeemed, n fu l wa ants not outstand ng
P efe ed Stock w/ Wa ants
$23,184,000.00
$0.00
$25,245,684.71
Sold, n full wa ants not outstand ng
($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
$7,754,267.48
10,685
$725.70
($2,930,732.52)
11,350
$982.80
($194,879.50)
$21,004,704.00
P efe ed Stock w/ Exe c sed Wa ants
$4,500,000.00
$0.00
$5,339,487.75
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$41,500,000.00
$0.00
$42,839,002.78
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
$14,800,000.00
$10,685,000.00
$14,800,000 00
$0.00
$4,180,778.30
$8,499,249.92
($875,434.62)
($315,070.56)
($2,179,296.00)
Fu l nvestment outstand ng wa ants outstand ng
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$11,350,000.00
$0.00
$13,425,979.36
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$22,000,000.00
$0.00
$18,252,479.06
Sold, n full wa ants not outstand ng
$11,155,120.50
($167,326.81)
$326,250.00
$3,051,090.00
$10,977,660.00
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)
($143,550.00)
P efe ed Stock w/ Wa ants
$37,000,000.00
$0.00
$41,631,005.92
Sold, n full wa ants outstand ng
$35,618,420.00
Subo d nated Debentu es w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
$7,500,000.00
$5,000,000.00
$16,500,000.00
$0.00
$0.00
$0.00
$8,514,738.21
$6,074,313.00
$6,570,625.00
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
$3,756,000.00
3,756,000
$1.00
65,000
$873.50
($8,221,850.00)
20,000
$542.10
($9,157,800.00)
8,700
$922.50
($674,250.00)
Redeemed, n full wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$80,000,000.00
$0.00
$87,644,066.10
Redeemed, n full wa ants not outstand ng
Subo d nated Debentu es w/ Exe c sed Wa ants
$3,756,000.00
$0.00
$4,563,280.34
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$65,000,000.00
$0.00
$68,141,972.19
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$20,000,000.00
$0.00
$12,333,778.00
Sold, n full wa ants outstand ng
$56,778,150.00
($851,672.25)
$10,842,200.00
($10,500,000.00)
$2 966,288.32
465,117
$113,000.00
113,000
$1 400,000.00
241,696
$256,118.75
261
($108,422.00)
P efe ed Stock w/ Exe c sed Wa ants
$8,700,000.00
$0.00
$9,522,346.17
Sold, n full wa ants not outstand ng
$8,025,750.00
($80,257.50)
33
FootNote
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
11
Institution Name
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 CORPORAT ON
FIRST HORIZON NATIONAL CORPORAT ON
FIRST HORIZON NATIONAL CORPORAT ON
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 CORPORAT ON
FIRST TRUST CORPORAT ON
FIRST TRUST CORPORAT ON
FIRST ULB CORP.
FIRST ULB CORP.
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.
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.
City
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
VERNON
VERNON
DENVER
DENVER
DENVER
DENVER
DENVER
DENVER
DENVER
ALMA
ALMA
ALMA
AKRON
AKRON
AKRON
TROY
TROY
TROY
State
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
AL
AL
CO
CO
CO
CO
CO
CO
CO
MI
MI
MI
OH
OH
OH
MI
MI
MI
Date
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‐Ma ‐11
28‐Aug‐09
20‐Dec‐12
11‐Jan‐13
26‐Ma ‐13
13‐Ma ‐09
12‐Aug‐13
12‐Sep‐13
12‐Dec‐08
7‐Ap ‐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‐Ma ‐09
29‐Aug‐12
20‐Ma ‐09
4‐Aug‐11
21‐Nov‐08
27‐May‐09
24‐Jun‐09
13‐Ma ‐09
15‐Sep‐11
16‐Nov‐11
21‐Nov‐08
15‐Dec‐10
5‐Jan‐11
13‐Ma ‐09
29‐Oct‐12
20‐Feb‐09
18‐Dec‐09
7‐Feb‐13
8‐Feb‐13
26‐Ma ‐13
6‐Ma ‐09
11‐Ma ‐13
9‐Ap ‐13
30‐Jan‐09
11‐Dec‐09
15‐Sep‐11
9‐Jan‐09
11‐Ap ‐13
23‐Dec‐08
20‐Feb‐13
17‐Jul‐09
28‐Sep‐11
28‐Nov‐12
30‐Jan‐09
16‐Jun‐10
6‐Ma ‐09
26‐Ma ‐13
27‐Ma ‐13
28‐Ma ‐13
9‐Ap ‐13
6‐Ma ‐09
15‐Sep‐11
5‐Jun‐09
20‐Feb‐13
26‐Ma ‐13
23‐Jan‐09
22‐Ap ‐09
30‐Jan‐09
12‐Jun‐09
29‐Sep‐10
6‐Feb‐09
11‐Dec‐09
9‐Aug‐12
10‐Aug‐12
11‐Sep‐12
24‐Jun‐13
26‐Jul‐13
30‐Jan‐09
3‐Jul‐12
18‐Jul‐12
9‐Jan‐09
22‐Ap ‐09
27‐May‐09
30‐Jan‐09
26‐Ma ‐13
27‐Ma ‐13
Original Investment Type 1
P efe ed Stock w/ Exe c sed Wa ants
Original Investment
Amount
$7,570,000.00
Total Cash Back2
Outstanding
Investment
Capital Repayment / Disposition / Auction3,5
Investment Status*
Amount
$0.00
$8,702,021.25
(Fee) 4
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
Sold, n full wa ants not outstand ng
$26,398.99
$6,864,647.71
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
($2,601.01)
($676,352.29)
$362,118.92
379
($68,910.46)
P efe ed Stock w/ Exe c sed Wa ants
$20,699,000.00
$0.00
$24,059,476.66
Redeemed, n fu l wa ants not outstand ng
P efe ed Stock w/ Wa ants
$866,540,000.00
$0.00
$1,037,467,405.56
Redeemed, n full wa ants not outstand ng
P efe ed Stock
$3,223,000.00
$0.00
$2,820,256.96
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$6,398,000.00
$0.00
$4,118,886.85
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$10,000,000.00
$0.00
$12,147,768.63
Redeemed, n full wa ants not outstand ng
3,223
$2,336,675.00
$725.00
($886,325.00)
($3,150,887.04)
$1 030,000.00
103
$79 700,000.00
14,842 321
($23,366.75)
($26,633.25)
6,398
$507.50
$10,000,000.00
$3,247,112.96
10,000
$1,000.00
$30,000,000.00
30,000
$1,000.00
$12,000,000.00
12,000
$1,000.00
$33,900,000.00
35,595
$1,000.00
$139,320.00
320
$1 488,046.41
199,203
$4 089,510.61
513,113
$600,000.00
600
$240,000.00
240
$367,500.00
991,453
$900,000.00
1,305,230
($25,000.00)
P efe ed Stock w/ Wa ants
$30,000,000.00
$0.00
$36,472,843.94
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$12,000,000.00
$0.00
$12,837,983.33
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$33,900,000.00
$0.00
$40,834,859.35
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$4,797,000.00
$0.00
$5,713,865.00
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$116,000,000.00
$0.00
$131,383,055.11
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$193,000,000.00
$13,900,000.00
$0.00
$0.00
$222,528,333.33
$15,329,326.44
$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
$19,300,000.00
19,300
$1,000.00
Redeemed, n full wa ants not outstand ng
Sold, n full wa ants not outstand ng
$12,266,750.00
P efe ed Stock w/ Exe c sed Wa ants
$17,836,000.00
$0.00
$21,033,989.56
$184,011,000.00
$0.00
$191,464,618.00
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$17,390,000.00
$0.00
$19,943,580.33
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$19,300,000.00
$72,927,000.00
$0.00
$0.00
$22,297,560.34
$7,009,094.50
($184,001.25)
($1,633,250.00)
$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
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Wa ants
$1,695,000.00
Redeemed, n full wa ants not outstand ng
Cu ently not collect ble
($72,927,000.00)
P efe ed Stock w/ Exe c sed Wa ants
$4,579,000.00
$4,596,000.00
$0.00
$9,948,069.58
Sold, n full wa ants not outstand ng
$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)
P efe ed Stock w/ Exe c sed Wa ants
$15,349,000.00
$0.00
$12,994,059.00
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$2,600,000.00
$2,417,000.00
$0.00
$5,731,793.60
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$33,000,000.00
$0.00
$16,315,362.00
Sold, n full wa ants not outstand ng
$10,431,333.89
($104,313.34)
P efe ed Stock w/ Wa ants
$7,400,000.00
$0.00
$4,030,944.44
Sold, n full wa ants not outstand ng
Subo d nated Debentu es w/ Exe c sed Wa ants
$50,000,000.00
$0.00
$65,432,450.94
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$10,900,000.00
$5,500,000.00
$0.00
$0.00
$12,263,468.31
$5,359,772.59
$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
$13,533,000.00
13,533
$1,000.00
$13,750,058.49
17,969,000
$0.77
$4,900,000.00
4,900
$6,000,000.00
6,000
7,920
80
$775.00
$775.00
($1,782,000.00)
($18,000.00)
12,440
$874.81
($1,445,760.00)
33,000
$941.00
($1,946,670.00)
125,000
$1,000.00
Redeemed, n fu l wa ants not outstand ng
Sold, n full wa ants not outstand ng
($34,993.00)
($314,937.00)
($199,960.00)
($49,501.10)
P efe ed Stock w/ Exe c sed Wa ants
$13,533,000.00
$0.00
$16,072,389.00
Redeemed, n full wa ants not outstand ng
Subo d nated Debentu es w/ Exe c sed Wa ants
$17,969,000.00
$0.00
$15,304,180.50
Sold, n full wa ants not outstand ng
$677,000.00
677
$644,726.19
898,000
$1,000.00
$245,000.00
245
$1,000.00
$245,000.00
245
$311,681.70
$39,370.32
380
48
($4,218,941.51)
($137,500.58)
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
$4,900,000.00
$30,000,000.00
$6,000,000.00
$8,559,000.00
$11,881,000.00
$0.00
$30,000,000 00
$0.00
$0.00
$5,211,020.69
$8,814,361.91
$6,662,770.42
$21,142,314.80
Redeemed, n full wa ants not outstand ng
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
Sold, n full wa ants not outstand ng
$6,138,000.00
$62,000.00
($62,000.00)
$10,994,240.00
($109,942.41)
P efe ed Stock w/ Wa ants
$33,000,000.00
$0.00
$38,185,560.05
Sold, n full wa ants not outstand ng
$31,053,330.00
P efe ed Stock w/ Wa ants
$125,000,000.00
$0.00
$131,813,194.44
$266,657,000.00
$0.00
$277,861,053.94
$1 946,670.00
578,947
$5 025,000.00
952,260
Redeemed, n full wa ants not outstand ng
$125,000,000.00
P efe ed Stock w/ Wa ants
($465,799.95)
Sold, n full wa ants not outstand ng
$1,439,258.50
$228,401,847.00
1,579
250,578
$911.50
$911.50
($139,741.50)
($22,176,153.00)
34
FootNote
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
9,15,36
11
17,28,70,97
45,8,14
11,8,14
38
Institution Name
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
FORES GHT FINANCIAL GROUP, INC.
FORES GHT 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.
FREMONT BANCORPORAT ON
FREMONT BANCORPORATION
FRESNO FIRST BANK
FRESNO FIRST BANK
FRONTIER BANCSHARES, INC
FRONTIER BANCSHARES, INC
FRONTIER BANCSHARES, INC
FULTON FINANCIAL CORPORAT ON
FULTON FINANCIAL CORPORAT ON
FULTON FINANCIAL CORPORAT ON
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 CORPORAT ON
GRAND MOUNTAIN BANCSHARES, INC.
GRANDSOUTH BANCORPORATION
GRANDSOUTH BANCORPORATION
GRANDSOUTH BANCORPORATION
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
GREGG BANCSHARES, INC.
GREGG BANCSHARES, INC.
GUARANTY BANCORP, INC.
GUARANTY BANCORP, INC.
GUARANTY CAPITAL CORPORAT ON
GUARANTY CAPITAL CORPORAT ON
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.
City
TROY
TROY
TROY
TAMPA
TAMPA
TAMPA
TAMPA
LAKE SUCCESS
LAKE SUCCESS
LAKE SUCCESS
SOUTH SAN FRANC SCO
SOUTH SAN FRANC SCO
ROCKFORD
ROCKFORD
FORT LEE
FORT LEE
ARNOLD
ARNOLD
PORT ST. LUCIE
PORT ST. LUCIE
HAMMOND
HAMMOND
HAMMOND
WASHINGTON
WASHINGTON
WASHINGTON
WASHINGTON
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
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
GREENEVILLE
GREENEVILLE
CLIVE
CLIVE
CLIVE
CLIVE
GREEN CITY
GREEN CITY
GREER
GREER
OZARK
OZARK
WOODSVILLE
WOODSVILLE
BELZONI
BELZONI
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
DESTIN
DESTIN
STUART
STUART
HOSCHTON
HOSCHTON
NORFOLK
State
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
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
MO
MO
MO
TN
TN
IA
IA
IA
IA
MO
MO
SC
SC
MO
MO
NH
NH
MS
MS
MO
MO
MO
MO
MO
MO
FL
FL
FL
FL
GA
GA
VA
Date
28‐Ma ‐13
9‐Ap ‐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‐Ap ‐12
3‐Ap ‐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‐Ap ‐14
14‐Ap ‐14
26‐Jun‐09
25‐Jul‐12
23‐Jan‐09
1‐Nov‐12
24‐Ap ‐09
24‐Nov‐09
6‐Oct‐10
23‐Dec‐08
14‐Jul‐10
8‐Sep‐10
8‐May‐09
13‐Ap ‐12
6‐Feb‐09
16‐Feb‐11
1‐May‐09
10‐Feb‐14
19‐Ma ‐14
6‐Ma ‐09
29‐Oct‐12
31‐Oct‐12
11‐Jan‐13
26‐Jun‐09
5‐Ap ‐13
28‐Oct‐08
17‐Jun‐09
22‐Jul‐09
30‐Jan‐09
24‐Ap ‐09
8‐Sep‐11
25‐Sep‐09
29‐May‐09
9‐Jan‐09
11‐Dec‐09
8‐Sep‐11
17‐Jul‐09
11‐Ap ‐14
14‐Ap ‐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‐Ap ‐13
27‐Feb‐09
14‐Jul‐10
30‐Jan‐09
19‐Ma ‐14
13‐Feb‐09
13‐Jul‐12
20‐Feb‐09
15‐Sep‐11
25‐Sep‐09
30‐Jul‐10
30‐Jan‐09
13‐Jun‐12
26‐Ap ‐13
29‐Ap ‐13
15‐May‐13
31‐May‐13
25‐Sep‐09
19‐Oct‐12
26‐Jun‐09
18‐Aug‐11
20‐Feb‐09
13‐Ap ‐11
31‐Dec‐08
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Capital Repayment / Disposition / Auction3,5
Investment Status*
Amount
(Fee) 4
$13,216,750.00
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
14,500
$911.50
($1,283,250.00)
20,471
$390.80
($12,471,000.00)
Gain5
Warrant Proceeds
Amount
Shares
($2,430,578.56)
P efe ed Stock w/ Exe c sed Wa ants
$20,471,000.00
$0.00
$9,180,793.08
$12,905.00
645,138
$475,000.00
475
$900,000.00
375,806
Sold, n full wa ants not outstand ng
$8,000,000.00
P efe ed Stock w/ Exe c sed Wa ants
$9,495,000.00
$0.00
$11,309,750.50
Redeemed, n fu l wa ants not outstand ng
P efe ed Stock w/ Wa ants
$70,000,000.00
$0.00
$73,904,166.66
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$12,000,000.00
$0.00
$14,267,700.00
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$15,000,000.00
$0.00
$18,670,291.67
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$1,300,000.00
$0.00
$87,184.85
Cu ently not collect ble
P efe ed Stock w/ Exe c sed Wa ants
$3,100,000.00
$0.00
$3,668,927.67
Redeemed, n full wa ants not outstand ng
$9,495,000.00
9,495
$1,000.00
$70,000,000.00
70,000
$1,000.00
$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
$3,100,000.00
3,100
$1,000.00
$155,000.00
155
($1,300,000.00)
P efe ed Stock w/ Wa ants
$5,800,000.00
$0.00
$273,888.89
Cu ently not collect ble
($5,800,000.00)
P efe ed Stock w/ Exe c sed Wa ants
$3,240,000.00
$0.00
$3,623,721.50
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$5,097,000.00
$0.00
$4,336,183.67
Sold, n full wa ants not outstand ng
$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
$2,800,000.00
$200,000.00
2,800,000
200,000
$1.01
$1.01
$35,000,000.00
35,000,000
$1,968,000.00
1,968
$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
$162,000.00
162
$126,798.62
$45,188.88
188
67
$101,181.00
$50,590.50
100,000
50,000
$1.00
$1 750,000.00
1,750,000
$1,000.00
$98,000.00
98
($345,450.00)
($1,527,697.50)
($25,000.00)
Subo d nated Debentu es w/ Exe c sed Wa ants
$3,000,000.00
$0.00
$4,413,022.95
Sold, n full wa ants not outstand ng
Subo d nated Debentu es w/ Exe c sed Wa ants
$35,000,000.00
$0.00
$45,796,066.36
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$1,968,000.00
$0.00
$2,437,100.33
Redeemed, n full wa ants not outstand ng
Subo d nated Debentu es w/ Exe c sed Wa ants
$3,000,000.00
$0.00
$3,408,191.65
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$376,500,000.00
$0.00
$416,635,625.00
P efe ed Stock w/ Exe c sed Wa ants
$6,000,000.00
$0.00
$7,260,794.87
Redeemed, n full wa ants not outstand ng
$8,700,000.00
$0.00
$10,096,470.83
Redeemed, n full wa ants not outstand ng
$4,500,000.00
$0.00
$1,576,457.50
$150,000.00
150,000
$10 800,000.00
5,509,756
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$18,228.00
$1,302.00
$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
$1,556,145.00
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
Sold, n full wa ants not outstand ng
($25,000.00)
P efe ed Stock w/ Exe c sed Wa ants
$4,967,000.00
$0.00
$5,699,100.75
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$1,607,000.00
$0.00
$53,859.52
Cu ently not collect ble
$26,393.77
$4,494,221.94
($25,000.00)
($1,607,000.00)
P efe ed Stock w/ Wa ants
$10,000,000,000.00
$0.00
$11,418,055,555.44
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$2,568,000.00
$4,000,000.00
$2,568,000 00
$0.00
$145,750.00
$4,717,144.78
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
Subo d nated Debentu es w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
$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
$950,839.61
$0 00
$17,625,917.08
Fu l nvestment outstand ng wa ants outstand ng
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
Subo d nated Debentu es w/ Exe c sed Wa ants
$8,400,000.00
$0.00
$11,413,106.46
Sold, n full wa ants not outstand ng
$10 000,000,000.00
10,000,000
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
$4,000,000.00
P efe ed Stock w/ Wa ants
$58,000,000.00
$0.00
$72,274,419.56
$1,000.00
$926,400.00
$694,800.00
$632,331.00
420,000
$6 436,364.00
909,091
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$72,278,000.00
$0.00
$74,642,857.78
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$2,400,000.00
$0.00
$3,036,021.12
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$651,000.00
$0.00
$733,037.33
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$9,993,000.00
$6,843,000 00
$6,246,070.07
Redeemed, n pa t wa ants outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$825,000.00
$0.00
$45,190.00
Cu ently not collect ble
P efe ed Stock w/ Exe c sed Wa ants
$6,920,000.00
$0.00
$8,235,040.33
Redeemed, n full wa ants not outstand ng
$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
($3,578,000.00)
$120,000.00
120
$651,000.00
651
$1,000.00
$33,000.00
33
$3,150,000.00
3,150
$1,000.00
$6,920,000.00
6,920
$1,000.00
$346,000.00
346
$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
$2 003,250.00
459,459
($825,000.00)
Subo d nated Debentu es
$14,000,000.00
$0.00
$14,913,299.33
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$17,000,000.00
$0.00
$21,887,871.44
Sold, n full wa ants not outstand ng
($3,250.00)
($386,750.00)
($116,100.00)
P efe ed Stock w/ Exe c sed Wa ants
$7,500,000.00
$0.00
$757,380.08
Cu ently not collect ble
P efe ed Stock w/ Exe c sed Wa ants
$7,500,000.00
$0.00
$8,751,541.63
Redeemed, n full wa ants not outstand ng
($7,500,000.00)
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
$7,000,000.00
$80,347,000.00
$0.00
$0.00
$8,169,165.89
$5,790,608.79
$7,500,000.00
7,500
$1,000.00
$375,000.00
375
$7,000,000.00
280
$25 000.00
$350,000.00
35
Redeemed, n full wa ants not outstand ng
Sold, n full wa ants outstand ng
35
FootNote
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
11,8,10
44,8,14
8,108
8,14,18,44
8
11
29
8,22,92,97
Institution Name
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 CORPORAT ON
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.
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
BC BANCORP, INC.
BC BANCORP, INC.
BERIABANK CORPORATION
BERIABANK CORPORATION
BERIABANK CORPORATION
BT BANCORP, INC.
BT BANCORP, INC.
BW FINANCIAL CORPORATION
BW FINANCIAL CORPORATION
CB FINANCIAL
CB FINANCIAL
DAHO BANCORP
DAHO BANCORP
LLINOIS STATE BANCORP, INC.
LLINOIS STATE BANCORP, INC.
LLINOIS 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.
City
NORFOLK
BALT MORE
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
SUMMIT
SUMMIT
ROCHESTER
ROCHESTER
ROCHESTER
ROCHESTER
CONWAY
CONWAY
CONWAY
ONEONTA
ONEONTA
CORBIN
CORBIN
CORBIN
CORBIN
CORBIN
ROANOKE
ROANOKE
ROANOKE
HOPKINSVILLE
HOPKINSVILLE
HOPKINSVILLE
M CHIGAN CITY
MICHIGAN CITY
MICHIGAN CITY
MICHIGAN CITY
ELLICOTT CITY
ELLICOTT CITY
CH CAGO
CH CAGO
CH CAGO
COLUMBUS
COLUMBUS
COLUMBUS
PHILADELPHIA
PHILADELPHIA
PHILADELPHIA
PHILADELPHIA
SELIN
SELIN
SELIN
SELIN
CH CAGO
CH CAGO
LAFAYETTE
LAFAYETTE
LAFAYETTE
RVING
RVING
WASHINGTON
WASHINGTON
ONTARIO
ONTARIO
BOISE
BOISE
CH CAGO
CH CAGO
CH CAGO
EAST GREENWICH
EAST GREENWICH
ROCKLAND
ROCKLAND
ROCKLAND
ONIA
ONIA
DANA
State
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
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
DC
DC
CA
CA
ID
ID
IL
IL
IL
RI
RI
MA
MA
MA
MI
MI
IN
Date
14‐Ap ‐14
17‐Jul‐09
13‐Ma ‐09
29‐Dec‐10
19‐Dec‐08
9‐May‐12
15‐May‐13
12‐Jun‐13
6‐Ma ‐09
11‐Sep‐09
17‐Jul‐12
19‐Dec‐08
15‐Sep‐11
28‐Sep‐11
25‐Sep‐09
16‐Ma ‐11
11‐Aug‐11
21‐Nov‐08
7‐Ma ‐12
10‐Jun‐13
21‐Nov‐08
22‐Dec‐10
17‐Aug‐11
20‐Ma ‐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‐Ma ‐09
30‐Jan‐09
21‐Ap ‐10
23‐Dec‐08
7‐Feb‐13
8‐Feb‐13
26‐Ma ‐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‐Ma ‐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‐Ma ‐13
18‐Sep‐09
14‐Ma ‐14
17‐Ma ‐14
25‐Ap ‐14
15‐May‐09
10‐Sep‐10
5‐Dec‐08
31‐Ma ‐09
20‐May‐09
27‐Ma ‐09
12‐Jun‐13
13‐Ma ‐09
3‐Sep‐10
6‐Ma ‐09
1‐Nov‐12
16‐Jan‐09
24‐Ap ‐14
22‐May‐09
29‐Dec‐09
22‐Sep‐11
9‐Jan‐09
16‐Oct‐13
9‐Jan‐09
22‐Ap ‐09
27‐May‐09
12‐Dec‐08
30‐Aug‐13
24‐Ap ‐09
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Capital Repayment / Disposition / Auction3,5
Investment Status*
Amount
(Fee) 4
$3,279,764.54
P efe ed Stock
P efe ed Stock w/ Exe c sed Wa ants
$6,800,000.00
$425,000.00
$6,800,000 00
$0.00
$282,744.47
$487,524.22
Full nvestment outstand ng wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$30,255,000.00
$0.00
$36,849,504.67
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$12,895,000.00
$7,000,000.00
$12,895,000 00
$0.00
$1,090,702.00
$8,321,471.08
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$81,698,000.00
$0.00
$94,686,087.22
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$10,103,000.00
$0.00
$11,353,284.46
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$40,000,000.00
$0.00
$46,901,266.80
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Wa ants
$24,000,000.00
$21,000,000.00
$25,000,000.00
$0.00
$0.00
$0.00
$26,953,333.33
$27,241,335.26
$26,316,666.67
Shares
Avg. Price
2,089,022
$1.57
$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
$21,000,000.00
21,000
$1,000.00
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
($77,067,235.46)
$21,000.00
21
$540,000.00
287,134
$248,000.00
248
$1 800,000.00
609,687
$303,000.00
303
$140,000.00
462,963
Redeemed, n full wa ants not outstand ng
$450,000.00
138,037
$1 575,000.00
611,650
$650,000.00
302,419
Redeemed, n full wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
$25,000,000.00
P efe ed Stock w/ Exe c sed Wa ants
$3,091,000.00
$2,359,000.00
$0.00
$6,211,926.79
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$6,700,000.00
$4,000,000.00
$6,700,000 00
$0.00
$617,712.00
$4,467,049.67
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$26,000,000.00
$0.00
$21,034,187.78
Sold, n full wa ants outstand ng
P efe ed Stock w/ Wa ants
$50,000,000.00
$0.00
$57,480,555.56
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$3,250,000.00
$0.00
$4,214,202.31
Redeemed, n fu l wa ants not outstand ng
25,000
$1,000.00
$5,450,000.00
5,450
$1,000.00
$155,000.00
155
$4,000,000.00
4,000
$1,000.00
$200,000.00
200
3,550
22,450
$721.50
$721.50
$1 300,000.00
158,472
$163,000.00
163
$2,561,325.00
$16,197,675.00
($988,675.00)
($6,252,325.00)
($187,590.00)
P efe ed Stock w/ Exe c sed Wa ants
$1,900,000.00
$0.00
$2,229,801.03
$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
Sold, n full wa ants not outstand ng
($17,915.11)
($7,084.89)
P efe ed Stock w/ Exe c sed Wa ants
$10,000,000.00
$0.00
$11,111,011.94
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$18,400,000.00
$0.00
$22,354,145.89
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$25,000,000.00
$0.00
$29,857,321.83
Redeemed, n full wa ants not outstand ng
$9,185,000.00
($91,850.00)
P efe ed Stock w/ Exe c sed Wa ants
$5,983,000.00
$0.00
$7,119,793.05
$4,000,000.00
$5,000,000.00
$0.00
$10,940,554.65
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$1,398,071,000.00
$0.00
$1,594,356,808.56
Redeemed, n full wa ants not outstand ng
$1,552,000.00
$0.00
$1,337,166.22
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
$344,000.00
344
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$18,400,000.00
$9,000,000.00
9,000
$1,000.00
$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
$300,000.00
300
406
Sold, n full wa ants not outstand ng
$1,008,800.00
($10,088.00)
($14,912.00)
P efe ed Stock w/ Exe c sed Wa ants
$5,976,000.00
$0.00
$6,907,223.22
Sold, n full wa ants not outstand ng
$2,717,674.70
$3,145,438.66
($58,631.13)
Subo d nated Debentu es
$4,205,000.00
$0.00
$4,632,216.32
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$90,000,000.00
$0.00
$92,650,000.00
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$2,295,000.00
$0.00
$2,936,462.50
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$6,000,000.00
$0.00
$6,453,067.00
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$6,000,000.00
$0.00
$7,494,458.33
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$6,900,000.00
$0.00
$124,305.92
Cu ently not collect ble
$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
$6,000,000.00
6,000
$1,000.00
$6,000,000.00
6,000
$1,000.00
($6,900,000.00)
P efe ed Stock w/ Exe c sed Wa ants
$6,272,000.00
$4,000,000.00
$0.00
$11,836,113.40
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$1,065,000.00
$0.00
$1,394,723.17
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$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
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$72,000,000.00
$0.00
$83,430,000.00
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$1,312,000.00
$0.00
$165,139.00
Cu ently not collect ble
$72,000,000.00
72,000
$1,000.00
$2,426,000.00
36
FootNote
11
22,52,97
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
8
44,11,8
8,14
11
15,14
8
Institution Name
INDIANA BANK CORP.
INDIANA COMMUNITY BANCORP
INDIANA COMMUNITY BANCORP
INTEGRA BANK CORPORATION
INTEGRA BANK CORPORATION
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
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
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
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
City
DANA
COLUMBUS
COLUMBUS
EVANSVILLE
EVANSVILLE
SANDPOINT
SANDPOINT
LAREDO
LAREDO
LAREDO
LAREDO
LAREDO
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
M LWAUKEE
M LWAUKEE
M LWAUKEE
M LWAUKEE
LEBANON
LEBANON
LEBANON
ARLINGTON
ARLINGTON
M LWAUKEE
M LWAUKEE
JONESBORO
JONESBORO
SPRINGFIELD
SPRINGFIELD
FORT WORTH
NEW ORLEANS
NEW ORLEANS
HINESVILLE
RADNOR
RADNOR
RADNOR
LORAIN
LORAIN
LORAIN
HOUSTON
NORTH ANDOVER
NORTH ANDOVER
NORTH ANDOVER
DURHAM
DURHAM
BUFFALO
BUFFALO
BUFFALO
BUFFALO
MANISTIQUE
MANISTIQUE
MANISTIQUE
RICHMOND
RICHMOND
RICHMOND
MEMPHIS
MEMPHIS
MEMPHIS
MEMPHIS
EBENSBURG
EBENSBURG
GREENSBURG
GREENSBURG
GREENSBURG
EL SEGUNDO
EL SEGUNDO
EL SEGUNDO
MANHATTAN
MANHATTAN
MANHATTAN
MANHATTAN
VERO BEACH
State
IN
IN
IN
IN
IN
ID
ID
TX
TX
TX
TX
TX
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
MA
MA
MA
NC
NC
NY
NY
NY
NY
MI
MI
MI
KY
KY
KY
TN
TN
TN
TN
PA
PA
IN
IN
IN
CA
CA
CA
IL
IL
IL
IL
FL
Date
9‐Ap ‐13
12‐Dec‐08
12‐Sep‐12
27‐Feb‐09
29‐Jul‐11
19‐Dec‐08
20‐Nov‐13
23‐Dec‐08
11‐Jul‐12
1‐Nov‐12
28‐Nov‐12
11‐Jun‐13
23‐Dec‐08
24‐Jun‐13
26‐Jul‐13
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‐Ma ‐11
20‐Ap ‐11
20‐Ma ‐09
19‐Ma ‐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‐Ma ‐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‐Ma ‐13
9‐Jan‐09
21‐Oct‐09
22‐Nov‐11
23‐Dec‐08
24‐Nov‐10
30‐Jan‐09
11‐Ma ‐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
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‐Ap ‐09
29‐Aug‐12
19‐Dec‐12
13‐Ma ‐09
19‐Nov‐13
6‐Jan‐14
23‐Dec‐08
24‐Nov‐09
8‐Jun‐11
18‐Aug‐11
29‐Dec‐09
9‐Ma ‐12
16‐Jan‐09
3‐Ap ‐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‐Ma ‐09
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Capital Repayment / Disposition / Auction3,5
Investment Status*
Amount
(Fee) 4
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
($1,312,000.00)
P efe ed Stock w/ Wa ants
$21,500,000.00
$0.00
$27,331,250.00
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$83,586,000.00
$0.00
$1,950,340.00
Cu ently not collect ble
$21,500,000.00
21,500
$1,000.00
$1 800,000.00
188,707
$4 018,511.00
1 326,238
$936 063,469.11
88,401 697
$522,000.00
522
$70 000,000.00
35,244 361
($83,586,000.00)
P efe ed Stock w/ Wa ants
$27,000,000.00
$0.00
$33,944,884.23
Redeemed, n full wa ants outstand ng
P efe ed Stock w/ Wa ants
$216,000,000.00
$0.00
$261,538,649.89
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$25,000,000.00
$0.00
$30,035,555.56
$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
$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
$470,000.00
470
$1,000.00
$3,308,000.00
4,000
$827.00
Sold, n full wa ants outstand ng
($750,000.00)
($242,500.00)
Subo d nated Debentu es w/ Exe c sed Wa ants
$4,000,000.00
$0.00
$174,324.60
Cu ently not collect ble
P efe ed Stock w/ Wa ants
$25,000,000,000.00
$0.00
$26,731,202,358.00
Redeemed, n full wa ants not outstand ng
($4,000,000.00)
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$10,449,000.00
$2,500,000,000.00
$470,000.00
$4,000,000.00
$0.00
$0.00
$0.00
$0.00
$12,423,046.75
$2,867,222,222.22
$622,228.44
$4,137,336.64
Redeemed, n full wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
$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
Sold, n full wa ants not outstand ng
($692,000.00)
($25,000.00)
P efe ed Stock w/ Exe c sed Wa ants
$1,998,000.00
$2,453,000.00
$0.00
$4,818,134.50
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$59,000,000.00
$0.00
$68,260,833.33
Redeemed, n fu l wa ants not outstand ng
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$56,044,000.00
$3,000,000.00
$0.00
$0.00
$60,517,713.33
$2,932,162.50
$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
3,000
$790.30
$13,400,000.00
13,400
$1,000.00
$5,830,000.00
5,830
$1,000.00
Redeemed, n full wa ants not outstand ng
Sold, n full wa ants not outstand ng
$2,370,930.00
($629,070.00)
($23,709.29)
($1,290.71)
P efe ed Stock w/ Wa ants
$13,400,000.00
$0.00
$14,527,390.33
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$5,830,000.00
$0.00
$6,731,961.06
Redeemed, n full wa ants not outstand ng
P efe ed Stock
$5,498,000.00
$0.00
$355,079.00
Cu ently not collect ble
P efe ed Stock w/ Exe c sed Wa ants
$57,500,000.00
$0.00
$68,191,965.77
Redeemed, n full wa ants not outstand ng
($5,498,000.00)
P efe ed Stock w/ Exe c sed Wa ants
$21,900,000.00
$0.00
$25,995,452.08
Redeemed, n fu l wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock
$6,500,000.00
$5,645,000.00
$6,500,000 00
$0.00
$1,523,796.22
$6,106,008.58
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
$17,280,000.00
$950,000,000.00
$17,280,000 00
$0.00
$1,399,560.00
$1,209,851,873.70
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$25,223,000.00
$0.00
$26,893,046.60
Sold, n full wa ants not outstand ng
$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
$1,000.00
$213 671,319.20
13,049 451
25,223
$869.20
$860,326.00
561,343
$560,000.00
209,497
$31 838,761.34
1,218,522
$1 300,000.00
398,734
$182,878.45
169
$950,000,000.00
$21,923,074.91
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
$3,072,000.00
$15,000,000.00
$3,072,000 00
$0.00
$0 00
$16,260,000.00
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock
$11,735,000.00
$0.00
$12,409,762.50
Redeemed, n fu l wa ants not outstand ng
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Wa ants
$600,000,000.00
$11,000,000.00
$0.00
$0.00
$718,392,161.34
$13,521,828.15
$15,000,000.00
15,000
$1,000.00
$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
11,000
$958.10
$3,370,000.00
$0.00
$3,773,495.65
($3,299,925.09)
Redeemed, n full wa ants not outstand ng
Sold, n full wa ants not outstand ng
$10,538,990.00
P efe ed Stock w/ Exe c sed Wa ants
($328,846.12)
($158,084.85)
($461,010.00)
Sold, n full wa ants not outstand ng
$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
690
$4,500,000.00
4,500
$1,000.00
$225,000.00
225
57,000
$931.10
$1 512,177.00
571,906
1,700
$1,000.00
$63,363.90
29,480
$11,385.02
$95,959.50
14,000
118,000
($25,000.00)
P efe ed Stock w/ Exe c sed Wa ants
$13,795,000.00
$0.00
$16,146,467.87
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$4,500,000.00
$0.00
$5,263,187.50
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$57,000,000.00
$0.00
$62,949,121.28
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$1,700,000.00
$0.00
$1,829,711.12
Redeemed, n full wa ants not outstand ng
$53,073,270.00
($796,099.05)
$1,700,000.00
Subo d nated Debentu es w/ Exe c sed Wa ants
$2,639,000.00
$0.00
$3,438,793.11
($3,926,730.00)
Sold, n full wa ants not outstand ng
$2,586,404.73
2,639,000
$0.98
($52,595.27)
($25,000.00)
P efe ed Stock w/ Exe c sed Wa ants
$3,000,000.00
$3,000,000 00
$235,713.00
Fu l nvestment outstand ng wa ants outstand ng
37
FootNote
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
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
Institution Name
MARKET BANCORPORATION, INC.
MARKET STREET BANCSHARES, INC.
MARKET STREET BANCSHARES, INC.
MARKET STREET BANCSHARES, INC.
MARKET STREET BANCSHARES, INC.
MARQUETTE NAT ONAL CORPORATION
MARQUETTE NAT ONAL CORPORATION
MARQUETTE NAT ONAL CORPORATION
MARQUETTE NAT ONAL CORPORATION
MARQUETTE NAT ONAL CORPORATION
MARSHALL & ILSLEY CORPORATION
MARSHALL & ILSLEY CORPORATION
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.
M D PENN BANCORP, INC./MID PENN BANK
M D PENN BANCORP, INC./MID PENN BANK
MID PENN BANCORP, INC./MID PENN BANK
M DDLEBURG FINANCIAL CORPORAT ON
M DDLEBURG FINANCIAL CORPORAT ON
M DDLEBURG FINANCIAL CORPORAT ON
M DLAND STATES BANCORP, INC.
M DLAND STATES BANCORP, INC.
MIDSOUTH BANCORP, INC.
MIDSOUTH BANCORP, INC.
M DSOUTH BANCORP, INC.
M DTOWN BANK & TRUST COMPANY
M DTOWN BANK & TRUST COMPANY
MIDTOWN BANK & TRUST COMPANY
M DWEST BANC HOLDINGS, INC.
M DWEST BANC HOLDINGS, INC.
M DWEST 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.
MILLENNIUM BANCORP, INC.
MISS ON COMMUNITY BANCORP
MISS ON COMMUNITY BANCORP
M SS ON VALLEY BANCORP
MISS ON 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
MORR LL BANCSHARES, INC.
MORR LL 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.
City
NEW MARKET
MT. VERNON
MT. VERNON
MT. VERNON
MT. VERNON
CH CAGO
CH CAGO
CH CAGO
CH CAGO
CH CAGO
M LWAUKEE
MILWAUKEE
TOWSON
CH CAGO
CH CAGO
CH CAGO
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
CH CAGO
CH CAGO
CH CAGO
CH CAGO
M LLERSBURG
M LLERSBURG
M LLERSBURG
M DDLEBURG
M DDLEBURG
M DDLEBURG
EFFINGHAM
EFFINGHAM
LAFAYETTE
LAFAYETTE
LAFAYETTE
ATLANTA
ATLANTA
ATLANTA
MELROSE PARK
MELROSE PARK
FESTUS
FESTUS
OWA CITY
OWA CITY
OWA CITY
MEDFORD
MEDFORD
EDWARDS
EDWARDS
SAN LUIS OBISPO
SAN LUIS OBISPO
SUN VALLEY
SUN VALLEY
PETERBOROUGH
PETERBOROUGH
COLDWATER
COLDWATER
CHESAPEAKE
CHESAPEAKE
CHESAPEAKE
LENOIR CITY
LENOIR CITY
BETHESDA
BETHESDA
NEW YORK
NEW YORK
NEW YORK
MERRIAM
MERRIAM
MOSCOW
MOSCOW
MOSCOW
CLEVELAND
CLEVELAND
CLEVELAND
KINGWOOD
KINGWOOD
State
MN
IL
IL
IL
IL
IL
IL
IL
IL
IL
WI
WI
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
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
Date
Original Investment Type 1
20‐Feb‐09
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‐Ma ‐09
5‐Dec‐08
14‐Ma ‐12
2‐May‐12
20‐Nov‐09
18‐Aug‐11
27‐Feb‐09
22‐Dec‐09
21‐Jul‐11
15‐May‐09
4‐Ap ‐12
6‐Jun‐12
3‐Jul‐12
6‐Feb‐09
4‐Aug‐11
6‐Ma ‐09
7‐Sep‐11
19‐Jun‐09
8‐Sep‐11
13‐Feb‐09
11‐Dec‐09
17‐Ma ‐14
25‐Ap ‐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‐Ap ‐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‐Ap ‐13
3‐Ap ‐09
14‐Aug‐12
9‐Jan‐09
28‐Dec‐11
23‐Dec‐08
20‐Aug‐10
19‐Dec‐08
28‐Dec‐12
6‐Feb‐09
15‐Nov‐13
19‐Dec‐08
23‐Dec‐09
10‐Feb‐10
13‐Ma ‐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‐Ap ‐12
5‐Dec‐12
25‐Sep‐09
22‐Jul‐13
12‐Sep‐13
27‐Ma ‐09
19‐Oct‐11
P efe ed Stock w/ Exe c sed Wa ants
Subo d nated Debentu es w/ Exe c sed Wa ants
Original Investment
Amount
$2,060,000.00
$20,300,000.00
Total Cash Back2
Outstanding
Investment
Capital Repayment / Disposition / Auction3,5
Investment Status*
Amount
$2,060,000 00
$0.00
$138,778.00
$24,429,245.84
(Fee) 4
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
Fu l nvestment outstand ng wa ants outstand ng
Sold, n full wa ants not outstand ng
$17,919,962.10
$331,767.90
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
$196,000,000.00
196,000
$1,000.00
$1 518,072.00
506,024
$6,000,000.00
600
$10 000.00
$300,000.00
30
$21,498,000.00
21,498
$1,000.00
$645,000.00
645
$10,500,000.00
$10,500,000.00
10,500
10,500
$1,000.00
$1,000.00
$7 465,100.00
616,438
$3,500,000.00
3,500
$1,000.00
$175,000.00
175
$1,881,000.00
1,881
$1,000.00
$94,000.00
94
$3,510,000.00
3,510
$1,000.00
$176,000.00
176
12,535
$824.15
($2,206,847.65)
$262,399.50
310
29
7,671
$900.10
$900.10
($2,897.10)
($766,332.90)
$369,948.00
385
$2,087,368.00
771,429
($182,517.30)
P efe ed Stock w/ Exe c sed Wa ants
$35,500,000.00
$0.00
$33,835,943.42
Sold, n full wa ants not outstand ng
$2,530,958.50
$5,904,609.50
$17,133,307.00
($255,688.75)
P efe ed Stock w/ Wa ants
$1,715,000,000.00
$0.00
$1,944,772,916.66
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
$1,700,000.00
$196,000,000.00
$1,700,000 00
$0.00
$313,465.50
$229,613,072.00
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$6,000,000.00
$0.00
$6,870,433.33
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$11,800,000.00
$9,698,000.00
$0.00
$24,460,674.81
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$21,000,000.00
$0.00
$31,631,120.56
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$3,500,000.00
$1,881,000.00
$3,510,000.00
$0.00
$0.00
$0.00
$4,150,815.03
$2,231,560.00
$4,110,668.47
Redeemed, n full wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$6,200,000.00
$6,335,000.00
$0.00
$13,582,165.84
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$7,700,000.00
$0.00
$8,806,297.80
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$45,000,000.00
$0.00
$53,406,628.25
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$71,526,000.00
$0.00
$27,172,726.72
Sold, n full wa ants not outstand ng
$10,328,152.35
($103,281.52)
$26,102.90
$6,904,667.10
($69,307.70)
$44,152,650.00
P efe ed Stock w/ Wa ants
$2,040,000.00
$2,348,000.00
$10,000,000.00
$4,388,000 00
$1,093,379.44
Fu l nvestment outstand ng wa ants outstand ng
P efe ed Stock w/ Wa ants
$0.00
$12,070,979.20
Redeemed, n fu l wa ants not outstand ng
P efe ed Stock w/ Wa ants
$22,000,000.00
$0.00
$23,287,945.11
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$10,189,000.00
$0.00
$11,206,989.34
Redeemed, n fu l wa ants not outstand ng
P efe ed Stock w/ Wa ants
$20,000,000.00
$0.00
$22,834,334.78
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$5,222,000.00
$0.00
$3,520,137.55
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$84,784,000.00
$0.00
$824,288.89
Cu ently not collect ble
P efe ed Stock w/ Exe c sed Wa ants
$700,000.00
$0.00
$763,294.14
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$16,000,000.00
$0.00
$18,933,333.33
Redeemed, n full wa ants not outstand ng
45,000
$981.20
($847,350.00)
$23,718,541.95
($662,289.75)
71,526
$331.60
($47,807,458.05)
$10,000,000.00
10,000
$1,000.00
$22,000,000.00
22,000
$1,000.00
$10,189,000.00
10,189
$1,000.00
$20,000,000.00
20,000
$1,000.00
$3,133,200.00
($2,088,800.00)
$58,479.20
73,099
$301,001.00
104,101
$509,000.00
509
$206,557.00
104,384
$136,833.05
261
$35,000.00
35
$1 000,000.00
198,675
$500,000.00
500
$92,000.00
92
5,222
$600.00
$700,000.00
700
$1,000.00
$16,000,000.00
16,000
$1,000.00
$10,000,000.00
10,000
$1,000.00
$2,904,000.00
7,260
$400.00
$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
$260,000.00
132,353
$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
$3,267,000.00
3,300
$990.00
$140,034.65
165
7,723
$1,000.00
$386,000.00
386
($25,000.00)
($84,784,000.00)
P efe ed Stock w/ Exe c sed Wa ants
$10,000,000.00
$0.00
$12,844,226.31
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$7,260,000.00
$0.00
$4,296,561.73
Sold, n full wa ants not outstand ng
P efe ed Stock
$5,116,000.00
$0.00
$5,875,583.89
Redeemed, n full wa ants not outstand ng
P efe ed Stock
$5,500,000.00
$0.00
$5,956,041.66
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
$1,834,000.00
$6,785,000.00
$0.00
$0.00
$2,339,348.60
$4,808,121.00
Redeemed, n full wa ants not outstand ng
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$14,700,000.00
$0.00
$15,703,166.66
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$9,516,000.00
$0.00
$11,291,481.00
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$4,734,000.00
$0.00
$5,623,958.50
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$10,000,000,000.00
$0.00
$11,268,055,555.11
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$13,000,000.00
$0.00
$15,429,122.22
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$6,216,000.00
$0.00
$7,803,377.38
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$3,300,000.00
$0.00
$4,069,975.55
($4,356,000.00)
($2,239,798.00)
Sold, n full wa ants not outstand ng
($33,000.00)
($25,000.00)
P efe ed Stock w/ Exe c sed Wa ants
$7,723,000.00
$0.00
$9,206,289.90
Redeemed, n full wa ants not outstand ng
$7,723,000.00
38
FootNote
45
8
59,11
8,14
11,16
15,11,14
8,42
8
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
11
8,14
8,51,97
8,9
15,17
8
15,11,14
35,11
8
Institution Name
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
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 BANCORPORAT ON, INC.
NORTHWEST BANCORPORAT ON, INC.
NORTHWEST BANCORPORAT ON, INC.
NORTHWEST BANCORPORAT ON, 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.
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
City
MUNCIE
MUNCIE
MUNCIE
NAPLES
NAPLES
LOS ANGELES
LOS ANGELES
LOS ANGELES
BETTENDORF
BETTENDORF
BETTENDORF
BETTENDORF
BOYERTOWN
BOYERTOWN
BOYERTOWN
WEST POINT
WEST POINT
CH CAGO
CH CAGO
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
CH CAGO
CH CAGO
CH CAGO
BERLIN
BERLIN
POKANE
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
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
State
IN
IN
IN
FL
FL
CA
CA
CA
IA
IA
IA
IA
PA
PA
PA
NE
NE
IL
IL
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
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
Date
23‐Dec‐08
25‐Aug‐11
28‐Sep‐11
27‐Ma ‐09
12‐Jul‐12
21‐Nov‐08
27‐Jun‐12
8‐Aug‐12
27‐Feb‐09
19‐Feb‐13
20‐Feb‐13
26‐Ma ‐13
12‐Dec‐08
16‐Ma ‐11
13‐Ap ‐11
11‐Dec‐09
29‐Dec‐10
26‐Jun‐09
28‐Jun‐13
19‐Dec‐08
19‐Jun‐09
24‐Ap ‐13
16‐Jan‐09
25‐Aug‐11
15‐Feb‐12
9‐Jan‐09
24‐Jul‐13
12‐Dec‐08
26‐Ap ‐13
29‐Ap ‐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‐Ma ‐12
20‐Feb‐09
30‐Ap ‐14
14‐Nov‐08
17‐Jun‐09
26‐Aug‐09
30‐Jan‐09
15‐Sep‐11
13‐Feb‐09
8‐Ma ‐13
11‐Ma ‐13
9‐Ap ‐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
15‐Jul‐09
2‐Sep‐09
12‐Dec‐08
31‐Ma ‐09
8‐May‐09
16‐Jan‐09
11‐Ma ‐13
26‐Ma ‐13
27‐Ma ‐13
9‐Ap ‐13
11‐Jun‐13
17‐Ap ‐09
19‐Jul‐13
22‐Jul‐13
12‐Sep‐13
8‐May‐09
15‐Jul‐11
19‐Dec‐08
5‐Jun‐09
24‐Ap ‐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
Original Investment Type 1
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
Original Investment
Amount
$32,382,000.00
$4,000,000.00
Total Cash Back2
Outstanding
Investment
Capital Repayment / Disposition / Auction3,5
Investment Status*
Amount
$0.00
$0.00
$37,608,789.00
$956,066.67
(Fee) 4
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
Redeemed, n full wa ants not outstand ng
$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
$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
$900,194.00
625,135
$2 189,317.20
521,266
$342,841.95
$502,606.30
500
733
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$67,000,000.00
$0.00
$81,249,317.20
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$24,664,000.00
$0.00
$21,471,087.90
Sold, n full wa ants not outstand ng
($3,400,000.00)
($811,817.50)
($5,349,003.06)
($185,031.79)
P efe ed Stock w/ Wa ants
$150,000,000.00
$0.00
$167,958,333.33
Redeemed, n full wa ants not outstand ng
Subo d nated Debentu es w/ Exe c sed Wa ants
$2,000,000.00
$0.00
$2,276,190.00
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$6,880,000.00
$0.00
$2,613,714.23
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
Subo d nated Debentu es w/ Exe c sed Wa ants
$10,000,000.00
$2,330,000.00
$10,000,000 00
$0.00
$1,311,027.78
$3,199,347.39
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
$10,000,000.00
$267,274,000.00
$52,372,000.00
$0.00
$0.00
$0.00
$12,041,266.67
$346,794,005.83
$70,087,060.35
$1 000,000.00
735,294
$100,000.00
100,000
$117,000.00
117,000
($4,598,541.95)
Redeemed, n full wa ants not outstand ng
$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, n full wa ants not outstand ng
Sold, n full wa ants not outstand ng
($53,878.50)
($967,375.50)
($513,507.46)
P efe ed Stock w/ Exe c sed Wa ants
$14,964,000.00
$0.00
$17,904,842.66
Redeemed, n fu l wa ants not outstand ng
P efe ed Stock w/ Wa ants
$10,200,000.00
$0.00
$12,294,583.33
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$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, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$17,211,000.00
$0.00
$6,442,172.50
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$1,576,000,000.00
$0.00
$1,709,623,333.35
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$10,000,000.00
$0.00
$11,930,624.67
Redeemed, n full wa ants not outstand ng
$10,500,000.00
$0.00
$11,891,847.50
14,964
$1,000.00
10,200
$1,000.00
$4,227,000.00
4,227
$1,000.00
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$14,964,000.00
$10,200,000.00
$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, n full wa ants not outstand ng
$64,220.00
$272,935.00
($108,371.55)
P efe ed Stock w/ Exe c sed Wa ants
$1,992,000.00
$0.00
$2,380,393.00
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$7,700,000.00
$0.00
$8,592,336.00
Sold, n full wa ants not outstand ng
($604,450.00)
($70,955.50)
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Wa ants
$13,500,000.00
$38,263,000.00
$2,080,000.00
$7,000,000.00
$100,000,000.00
$73,000,000.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$15,871,250.00
$40,521,918.61
$2,654,758.89
$7,438,888.89
$102,713,888.89
$31,423,238.49
Redeemed, n full wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
$2,080,000.00
2,080
$1,000.00
$7,000,000.00
7,000
$1,000.00
$100,000,000.00
100,000
$1,000.00
Redeemed, n full wa ants not outstand ng
$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
$393,120.78
15,120
$1 156,636.50
810
Redeemed, n full wa ants not outstand ng
Sold, n full wa ants not outstand ng
$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)
P efe ed Stock w/ Exe c sed Wa ants
$2,816,000.00
$0.00
$3,403,603.15
Sold, n full wa ants not outstand ng
$1,239,000.00
$1,577,000.00
$177,053.10
$225,353.30
($25,000.00)
P efe ed Stock w/ Exe c sed Wa ants
$5,500,000.00
$0.00
$0 00
Cu ently not collect ble
P efe ed Stock
Subo d nated Debentu es w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$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 nvestment outstand ng wa ants not outstand ng
Fu l nvestment outstand ng wa ants outstand ng
Sold, n full wa ants not outstand ng
($5,500,000.00)
$100,000.00
$3,116,000.00
100
3,116
$1,000.00
$1,000.00
($25,000.00)
Subo d nated Debentu es w/ Exe c sed Wa ants
$6,100,000.00
$0.00
$7,662,314.53
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$180,634,000.00
$0.00
$168,483,804.20
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$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
$16,200,000.00
16,200
$1,215.20
($10.28)
($14,650,702.97)
Sold, n full wa ants not outstand ng
$3,485,754.00
39
FootNote
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
11,9,36
8,46,97
8,69
11
44,8,14
15,17
20
8
9,15,36
8,22,97
Institution Name
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 INTERNAT ONAL BANCORP / BBCN BANCORP, INC.
PACIFIC INTERNAT ONAL 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.
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 BANCORPORAT ON, INC.
PEOPLES BANCORPORAT ON, 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
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 CORPORAT ON
PLAINS CAPITAL CORPORAT ON
PLATO HOLDINGS INC.
PLATO HOLDINGS INC.
PLATO HOLDINGS INC.
PLATO HOLDINGS INC.
PLUMAS BANCORP
PLUMAS BANCORP
PLUMAS BANCORP
PLUMAS BANCORP
POPULAR, INC.
PORTER BANCORP, INC.(PBI) LOU SVILLE, 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.
City
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
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
CH CAGO
CH CAGO
TACOMA
TACOMA
ORANGE CITY
NASHV LLE
NASHV LLE
NASHV LLE
NASHV LLE
DALLAS
DALLAS
SAINT PAUL
SAINT PAUL
SAINT PAUL
SAINT PAUL
QUINCY
QUINCY
QUINCY
QUINCY
SAN JUAN
LOU SVILLE
OLATHE
W LMETTE
W LMETTE
TALLAHASSEE
TALLAHASSEE
HUNTINGTON
HUNTINGTON
HUNTINGTON
HUNTINGTON
HUNTINGTON
State
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
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
IL
IL
WA
WA
FL
TN
TN
TN
TN
TX
TX
MN
MN
MN
MN
CA
CA
CA
CA
PR
KY
KS
IL
IL
FL
FL
WV
WV
WV
WV
WV
Date
6‐Jan‐14
23‐Dec‐08
28‐Jul‐11
16‐Jan‐09
11‐Feb‐10
23‐Dec‐08
10‐Feb‐14
19‐Ma ‐14
12‐Dec‐08
15‐Feb‐13
6‐Ma ‐09
7‐Aug‐12
9‐Aug‐12
10‐Aug‐12
11‐Sep‐12
23‐Dec‐08
25‐Ap ‐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‐Ma ‐09
24‐Jun‐13
26‐Jul‐13
19‐Dec‐08
11‐Ap ‐14
14‐Ap ‐14
17‐Ap ‐09
7‐Ma ‐12
22‐Aug‐12
5‐Dec‐12
8‐May‐13
5‐Jun‐13
9‐Jan‐09
6‐Jan‐10
2‐Ma ‐11
11‐Jan‐12
4‐Ap ‐12
17‐Ap ‐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‐Ap ‐09
24‐Ap ‐12
20‐Ma ‐09
31‐Oct‐12
11‐Jan‐13
6‐Ma ‐09
18‐Sep‐13
11‐Sep‐09
25‐Aug‐11
6‐Feb‐09
13‐Aug‐10
23‐Jan‐09
5‐Nov‐10
6‐Ma ‐09
12‐Dec‐08
28‐Dec‐11
20‐Jun‐12
18‐Jul‐12
19‐Dec‐08
27‐Sep‐11
17‐Jul‐09
26‐Ap ‐13
29‐Ap ‐13
31‐May‐13
30‐Jan‐09
29‐Ap ‐13
22‐May‐13
31‐May‐13
5‐Dec‐08
21‐Nov‐08
3‐Ap ‐09
8‐May‐09
13‐Aug‐10
20‐Ma ‐09
14‐Aug‐12
2‐Oct‐09
8‐Aug‐12
9‐Aug‐12
10‐Aug‐12
11‐Sep‐12
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Capital Repayment / Disposition / Auction3,5
Investment Status*
Amount
(Fee) 4
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
($196,857.54)
P efe ed Stock w/ Exe c sed Wa ants
$11,600,000.00
$0.00
$13,821,963.89
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$4,120,000.00
$0.00
$18,087.94
Ex ted bank uptcy/ ece ve sh p
$11,600,000.00
11,600
$1,000.00
$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
($4,120,000.00)
P efe ed Stock w/ Exe c sed Wa ants
$4,060,000.00
$0.00
$2,991,670.80
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$6,500,000.00
$0.00
$7,937,744.97
Redeemed, n full wa ants outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$23,200,000.00
$0.00
$22,020,064.10
Sold, n full wa ants not outstand ng
$2,519,960.80
4,060
$620.70
$6,500,000.00
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
$1,704,360.00
$1,993,817.14
$1 046,297.22
$652,305.00
802
500
$185,000.00
185
$110,000.00
150,296
$498,000.00
498
$1 200,724.15
313,505
$900,000.00
900
$425,000.00
357,234
$633,000.00
633
($25,000.00)
($169,418.00)
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Wa ants
$100,000,000.00
$16,288,000.00
$0.00
$0.00
$119,536,844.44
$16,365,554.76
Redeemed, n full wa ants not outstand ng
Sold, n full wa ants not outstand ng
($153,927.72)
($4,421,208.60)
($117,128.64)
P efe ed Stock w/ Wa ants
$31,762,000.00
$0.00
$36,570,413.89
Redeemed, n full wa ants outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$3,756,000.00
$0.00
$4,497,312.67
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
$6,000,000.00
$6,771,000.00
$6,000,000 00
$0.00
$377,866.67
$7,976,328.84
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$3,727,000.00
$0.00
$4,628,862.77
Sold, n full wa ants not outstand ng
($25,000.00)
P efe ed Stock w/ Exe c sed Wa ants
$26,038,000.00
$0.00
$34,138,915.14
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$3,690,000.00
$0.00
$4,692,022.77
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
$28,685,000.00
$9,960,000.00
$39,000,000.00
$0.00
$0.00
$0.00
$32,075,739.67
$11,745,689.33
$44,926,557.48
$12,000,000.00
$14,038,000.00
12,000
14,038
$1,142.00
$1,142.00
$250,000.00
$250,000.00
$250,000.00
$500,000.00
$2,440,000.00
250
250
250
500
2,440
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$7,172,000.00
$7,172,000.00
$14,341,000.00
7,172
7,172
14,341
$1,000.00
$1,000.00
$1,000.00
$9,960,000.00
9,960
$1,000.00
$21,000,000.00
$18,000,000.00
21,000
18,000
$1,000.00
$1,000.00
$18,000,000.00
18,000
$1,000.00
25,054
$933.40
$12,660,000.00
12,660
$1,000.00
$2,944,500.00
3,900
$755.00
$12,325,000.00
12,325
$1,500,000.00
$3,000,000.00
Redeemed, n full wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$18,000,000.00
$0.00
$21,325,250.00
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$25,054,000.00
$0.00
$27,877,966.16
Sold, n full wa ants not outstand ng
$23,384,401.44
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$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, n fu l wa ants not outstand ng
Sold, n full wa ants not outstand ng
($955,500.00)
$122,225.00
195
$1,000.00
$616,000.00
616
1,500
$1,000.00
$71,000.00
71
3,000
$1,000.00
$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
($25,000.00)
P efe ed Stock w/ Exe c sed Wa ants
$12,325,000.00
$0.00
$15,985,994.66
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$1,500,000.00
$0.00
$1,730,162.66
Redeemed, n full wa ants not outstand ng
P efe ed Stock
$3,000,000.00
$0.00
$3,227,916.67
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$6,800,000.00
$0.00
$207,947.78
Cu ently not collect ble
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
$4,389,000.00
$95,000,000.00
$4,389,000 00
$0.00
$284,999.00
$111,918,194.45
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
($6,800,000.00)
P efe ed Stock w/ Exe c sed Wa ants
Subo d nated Debentu es w/ Exe c sed Wa ants
$87,631,000.00
$2,500,000.00
$0.00
$0.00
$105,252,939.77
$3,103,618.40
$755,000.00
267,455
$4 382,000.00
4,382
$90,582.47
107,000
$234,500.00
237,712
Redeemed, n full wa ants not outstand ng
Sold, n full wa ants not outstand ng
($25,000.00)
P efe ed Stock w/ Wa ants
$11,949,000.00
$0.00
$13,764,140.41
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
Subo d nated Debentu es
$935,000,000.00
$35,000,000.00
$2,800,000.00
$6,784,000.00
$935,000,000 00
$35,000,000 00
$2,800,000 00
$0.00
$271,293,750.00
$4,783,333.33
$132,253.00
$7,444,215.12
P efe ed Stock w/ Exe c sed Wa ants
$9,500,000.00
$0.00
$467,412.50
Cu ently not collect ble
P efe ed Stock w/ Wa ants
$22,252,000.00
$0.00
$23,052,240.29
Sold, n full wa ants outstand ng
$11,949,000.00
($130,376.73)
Fu l nvestment outstand ng
Fu l nvestment outstand ng
Fu l nvestment outstand ng
Redeemed, n full wa
wa ants outstand ng
wa ants outstand ng
wa ants outstand ng
ants not outstand ng
$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
($9,500,000.00)
($184,381.11)
($941,897.49)
($1,076,001.84)
($200,497.20)
40
FootNote
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
44,8,14
8,17,62
8,14
11
8
8,14
8
15,11,14
15
8,95,97
11
8
44
11,44
8,14
44,8,14
11
44,8,14
Institution Name
PREMIER FINANCIAL CORP.
PREMIER FINANCIAL CORP.
PREMIER FINANCIAL CORP.
PREMIER SERVICE BANK
PREMIER SERVICE BANK
PREMIERWEST BANCORP
PREMIERWEST BANCORP
PRES D O BANK
PRES D O BANK
PRES D O BANK
PRES D O BANK
PRINCETON NATIONAL BANCORP, INC.
PRINCETON NATIONAL BANCORP, 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 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.
RIDGESTONE FINANCIAL SERVICES, INC.
RIDGESTONE FINANCIAL SERVICES, INC.
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.
S&T BANCORP, INC.
S&T BANCORP, INC.
S&T BANCORP, INC.
SAIGON NATIONAL BANK
SAL SBURY BANCORP, INC.
SAL SBURY BANCORP, INC.
SAL SBURY 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
City
DUBUQUE
DUBUQUE
DUBUQUE
RIVERSIDE
RIVERSIDE
MEDFORD
MEDFORD
SAN FRANCISCO
SAN FRANCISCO
SAN FRANCISCO
SAN FRANCISCO
PRINCETON
PRINCETON
MINNEAPOLIS
MINNEAPOLIS
CH CAGO
CH CAGO
CH CAGO
ROCKY MOUNT
ROCKY MOUNT
BALT MORE
BALT MORE
BALT MORE
BALT MORE
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
NOWATA
NOWATA
VANCOUVER
VANCOUVER
HARTSVILLE
HARTSVILLE
HARTSVILLE
HARTSVILLE
HARTSVILLE
BIRMINGHAM
BIRMINGHAM
BIRMINGHAM
FRONTENAC
FRONTENAC
FRONTENAC
BROOKFIELD
BROOKFIELD
BROOKFIELD
RISING SUN
WAUSAU
WAUSAU
WAUSAU
LITTLE ROCK
LITTLE ROCK
LITTLE ROCK
LITTLE ROCK
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
State
IA
IA
IA
CA
CA
OR
OR
CA
CA
CA
CA
IL
IL
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
OK
OK
WA
WA
SC
SC
SC
SC
SC
AL
AL
AL
MO
MO
MO
WI
WI
WI
MD
WI
WI
WI
AR
AR
AR
AR
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
Date
Original Investment Type 1
22‐May‐09
22‐Jul‐13
12‐Sep‐13
20‐Feb‐09
31‐Jan‐14
13‐Feb‐09
9‐Ap ‐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
30‐Jan‐09
24‐Oct‐12
14‐Nov‐12
2‐Oct‐09
15‐Sep‐11
14‐Nov‐08
21‐Aug‐12
20‐Ma ‐13
25‐Ma ‐13
13‐Ma ‐09
30‐Ap ‐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‐Ma ‐09
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‐Ma ‐13
14‐Nov‐08
4‐Ap ‐12
2‐May‐12
13‐Feb‐09
25‐Sep‐13
29‐Oct‐13
27‐Feb‐09
20‐Feb‐13
26‐Ma ‐13
9‐Jan‐09
12‐Jun‐09
6‐Jun‐12
15‐May‐13
15‐May‐09
14‐May‐14
30‐Jan‐09
5‐Jul‐13
20‐Feb‐09
16‐Jan‐09
7‐Dec‐11
11‐Jun‐13
23‐Dec‐08
13‐Ma ‐09
25‐Aug‐11
2‐Nov‐11
5‐Dec‐08
21‐Jul‐10
15‐Dec‐10
23‐Feb‐11
13‐Feb‐09
8‐Ma ‐13
9‐Ap ‐13
19‐Dec‐08
21‐Oct‐11
27‐Ma ‐09
11‐Aug‐11
16‐Jan‐09
20‐May‐09
24‐Jun‐09
19‐Dec‐08
3‐Ap ‐12
30‐May‐12
23‐Dec‐08
1‐Sep‐11
Subo d nated Debentu es w/ Exe c sed Wa ants
Original Investment
Amount
$6,349,000.00
Total Cash Back2
Outstanding
Investment
Capital Repayment / Disposition / Auction3,5
Investment Status*
Amount
$0.00
$8,778,669.11
(Fee) 4
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
Sold, n full wa ants not outstand ng
$6,349,000.00
6,349,000
$1.24
$4,000,000.00
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
$1 225,000.00
645,013
$175,000.00
175
($78,563.80)
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$4,000,000.00
$41,400,000.00
$10,800,000.00
$0.00
$0.00
$0.00
$4,300,522.22
$42,446,500.00
$11,077,694.89
Redeemed, n full wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
Sold, n full wa ants not outstand ng
$262,635.10
$8,887,232.90
($47,364.90)
($1,602,767.10)
($91,498.68)
P efe ed Stock w/ Wa ants
$25,083,000.00
$0.00
$2,271,405.00
Cu ently not collect ble
P efe ed Stock w/ Exe c sed Wa ants
$8,222,000 00
$498,859.56
Fu l nvestment outstand ng wa ants outstand ng
P efe ed Stock w/ Wa ants
$4,960,000.00
$3,262,000.00
$243,815,000.00
$0.00
$290,552,132.92
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$4,000,000.00
$0.00
$4,596,311.80
Redeemed, n full wa ants not outstand ng
($25,083,000.00)
P efe ed Stock w/ Wa ants
$151,500,000.00
$0.00
$199,100,113.41
$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
$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
$1 100,000.00
778,421
$1 100,000.00
521,888
$311,000.00
311
$253,383.25
268
Sold, n full wa ants not outstand ng
$71.62
$19,047,005.12
P efe ed Stock w/ Wa ants
$9,266,000.00
$0.00
$5,639,391.00
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$9,270,000.00
$0.00
$10,536,802.00
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$4,500,000.00
$0.00
$5,355,156.75
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$32,538,000.00
$0.00
$35,195,847.13
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$38,237,000.00
$0.00
$44,286,567.33
Redeemed, n full wa ants not outstand ng
$28,893,744.00
P efe ed Stock w/ Exe c sed Wa ants
$6,229,000.00
$0.00
$7,190,593.33
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$8,900,000.00
$0.00
$9,139,863.61
Sold, n full wa ants not outstand ng
32,538
$888.00
$38,237,000.00
($433,406.16)
38,237
$1,000.00
$6,229,000.00
6,229
$1,000.00
$8,073,279.00
8,900
$907.10
($4,169,700.00)
($3,644,256.00)
($826,721.00)
($80,732.79)
P efe ed Stock w/ Exe c sed Wa ants
$3,800,000.00
$0.00
$4,510,626.39
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$2,995,000.00
$0.00
$3,570,810.92
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$9,982,000.00
$2,655,000.00
$9,982,000 00
$0.00
$784,281.50
$3,135,328.00
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$12,700,000.00
$0.00
$14,594,338.99
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$1,500,000.00
$0.00
$1,718,159.50
$3,800,000.00
3,800
$1,000.00
$190,000.00
190
$2,995,000.00
2,995
$1,000.00
$150,000.00
150
$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
$1,000.00
$45 000,000.00
48,253 677
40,000
$1,004.90
$2 199,799.80
2,000
10,900
$822.60
$476,206.83
545
Sold, n full wa ants not outstand ng
$246,975.00
$1,140,525.00
($20,025.00)
($92,475.00)
($13,875.00)
($11,125.00)
P efe ed Stock w/ Wa ants
$3,500,000,000.00
$0.00
$4,138,055,555.55
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$40,000,000.00
$0.00
$45,820,950.80
Sold, n full wa ants not outstand ng
$3 500,000,000.00
$40,000,000.00
$196,000.00
($401,960.00)
P efe ed Stock w/ Exe c sed Wa ants
$10,900,000.00
$0.00
$9,630,106.93
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
Subo d nated Debentu es w/ Exe c sed Wa ants
$5,983,000.00
$15,000,000.00
$5,983,000 00
$0.00
$195,637.00
$19,928,275.00
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
Subo d nated Debentu es w/ Exe c sed Wa ants
$1,100,000.00
$0.00
$1,622,708.57
Redeemed, n full wa ants not outstand ng
$8,966,340.00
($1,933,660.00)
($89,663.40)
P efe ed Stock w/ Exe c sed Wa ants
$25,000,000.00
$0.00
$738,021.00
$10,500,000.00
$4,500,000.00
10,500,000
4,500,000
$1.00
$1.00
$750,000.00
750,000
$1,100,000.00
1,100,000
$1.00
$55,000.00
55,000
$527,361.00
517,012
$205,000.00
57,671
$4,450,000.00
651,547
$98,251.45
145
$200,000.00
200
$1 400,000.00
303,083
$55,000.00
589,623
$90,000.00
90
Cu ently not collect ble
($25,000,000.00)
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Wa ants
$30,407,000.00
$108,676,000.00
$30,407,000 00
$0.00
$358,971.00
$124,916,099.34
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
$1,549,000.00
$8,816,000.00
$1,549,000 00
$0.00
$0 00
$10,100,960.44
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$83,094,000.00
$2,900,000.00
$0.00
$0.00
$95,137,868.33
$2,697,208.51
$108,676,000.00
108,676
$1,000.00
$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
2,900
$850.00
($434,971.00)
($1,200,000.00)
Redeemed, n fu l wa ants not outstand ng
Sold, n full wa ants not outstand ng
$2,465,029.00
($25,000.00)
P efe ed Stock w/ Wa ants
$4,000,000.00
$0.00
P efe ed Stock w/ Exe c sed Wa ants
$4,000,000.00
P efe ed Stock w/ Wa ants
$64,779,000.00
P efe ed Stock w/ Wa ants
$50,000,000.00
$3,131,111.11
Sold, n full wa ants not outstand ng
$0.00
$4,717,144.78
Redeemed, n full wa ants not outstand ng
$0.00
$67,294,638.84
Redeemed, n full wa ants not outstand ng
$0.00
$49,045,470.38
$2,800,000.00
4,000
$700.00
$4,000,000.00
4,000
$1,000.00
$64,779,000.00
64,779
$1,000.00
2,000
$20 510.00
1,800
$1,000.00
Sold, n full wa ants not outstand ng
$41,020,000.00
P efe ed Stock w/ Exe c sed Wa ants
$1,800,000.00
$0.00
$2,153,780.00
($615,300.00)
($8,980,000.00)
Redeemed, n fu l wa ants not outstand ng
$1,800,000.00
41
FootNote
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
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
Institution Name
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.
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 CORPORAT ON
City
WAYNESVILLE
WAYNESVILLE
WAYNESVILLE
WAYNESVILLE
WAYNESVILLE
SAN DIEGO
SAN DIEGO
RIVERSIDE
RIVERSIDE
BATESVILLE
BATESVILLE
A KEN
A KEN
A KEN
CHARLESTON
CHARLESTON
JAMESTOWN
JAMESTOWN
JAMESTOWN
ANNAPOL S
ANNAPOL S
ANNAPOL S
EASTON
EASTON
EASTON
DALLAS
DALLAS
NEW YORK
NEW YORK
NEW YORK
BERNARDSVILLE
BERNARDSVILLE
BERNARDSVILLE
SONOMA
SONOMA
MOREHEAD CITY
MOREHEAD CITY
MOREHEAD CITY
GREENVILLE
GREENVILLE
FAYETTEV LLE
FAYETTEV LLE
FAYETTEV LLE
FAYETTEV LLE
ARKADELPHIA
ARKADELPHIA
WINSTON‐SALEM
WINSTON‐SALEM
GREENVILLE
GREENVILLE
GREENVILLE
CLEVELAND
CLEVELAND
CARMI
CARMI
POPLAR BLUFF
POPLAR BLUFF
SYLACAUGA
STILLWATER
STILLWATER
STILLWATER
DALLAS
DALLAS
BRISTOW
BRISTOW
BRISTOW
ST. LOUIS
HICKORY HILLS
HICKORY HILLS
JERICHO
JERICHO
BARTLEY
BARTLEY
FARGO
FARGO
FARGO
GREENWOOD
GREENWOOD
BOSTON
BOSTON
BOSTON
ST. CLOUD
ST. CLOUD
DENVER
DENVER
CHARLOTTESVILLE
CHARLOTTESVILLE
CHARLOTTESVILLE
CHARLOTTESVILLE
NEW YORK
NEW YORK
NEW YORK
HOUSTON
HOUSTON
HOUSTON
SPOKANE
SPOKANE
SPOKANE
MIDLAND PARK
State
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
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
Date
13‐Feb‐09
10‐Dec‐12
11‐Dec‐12
11‐Jan‐13
26‐Ma ‐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‐Ap ‐09
16‐Nov‐11
26‐Jun‐09
15‐Dec‐10
12‐Dec‐08
31‐Ma ‐09
16‐Ma ‐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‐Ma ‐13
11‐Ma ‐13
9‐Ap ‐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
5‐Dec‐08
8‐Aug‐12
29‐May‐13
13‐Ma ‐09
22‐Sep‐11
27‐Ma ‐09
21‐Oct‐13
6‐Jan‐14
13‐Ma ‐09
24‐Ap ‐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‐Ap ‐11
28‐Dec‐11
18‐Dec‐13
23‐Dec‐08
27‐Ap ‐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
Original Investment Type 1
P efe ed Stock w/ Exe c sed Wa ants
Original Investment
Amount
$2,152,000.00
Total Cash Back2
Outstanding
Investment
Capital Repayment / Disposition / Auction3,5
Investment Status*
Amount
$0.00
$1,983,756.24
(Fee) 4
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
Sold, n full wa ants not outstand ng
$174,537.72
$1,315,959.00
252
1,900
$692.60
$692.60
($77,462.28)
($584,041.00)
$69,186.80
108
($14,904.97)
($10,095.03)
P efe ed Stock w/ Exe c sed Wa ants
$5,803,000.00
$0.00
$6,888,017.86
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$6,815,000.00
$0.00
$8,152,698.33
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$17,388,000.00
$0.00
$19,063,111.00
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$18,000,000.00
$0.00
$19,650,000.00
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$12,500,000.00
$0.00
$14,888,679.86
Redeemed, n full wa ants not outstand ng
Subo d nated Debentu es w/ Exe c sed Wa ants
$10,750,000.00
$0.00
$14,543,635.13
Sold, n full wa ants not outstand ng
$5,803,000.00
5,803
$1,000.00
$290,000.00
290
$6,815,000.00
6,815
$1,000.00
$341,000.00
341
$522,000.00
522
$50,000.00
137,966
$17,388,000.00
17,388
$1,000.00
$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
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
$1,784,607.50
$625,000.00
625
$720,368.55
538,000
($125,346.08)
P efe ed Stock w/ Wa ants
$23,393,000.00
$0.00
$26,915,463.85
Sold, n full wa ants outstand ng
$23,367,267.70
($25,732.30)
($233,672.68)
P efe ed Stock w/ Wa ants
$25,000,000.00
$0.00
$25,358,333.33
Redeemed, n full wa ants not outstand ng
Subo d nated Debentu es w/ Exe c sed Wa ants
$1,700,000.00
$0.00
$1,994,587.59
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$120,000,000.00
$7,414,000.00
$8,653,000.00
$0.00
$0.00
$0.00
$132,967,606.41
$7,816,685.55
$347,164.00
$25,000.00
172,970
$85,000.00
85,000
$11 150,939.74
595,829
$275,000.00
163,065
Redeemed, n full wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
Cu ently not collect ble
($8,653,000.00)
P efe ed Stock w/ Exe c sed Wa ants
$3,070,000.00
$0.00
$3,575,224.44
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$347,000,000.00
$0.00
$146,965,329.86
Sold, n full wa ants not outstand ng
$2,832,412.70
3,070
$922.60
($237,587.30)
$124,412.34
154
130,179
$1,000.00
($216,820,781.25)
$400,000.00
10,106,796
2,000
10,900
$907.30
$907.30
($185,380.00)
($1,010,321.00)
$588,264.19
645
$1 100,000.00
399,970
($25,000.00)
$130,179,218.75
P efe ed Stock w/ Exe c sed Wa ants
$12,900,000.00
$0.00
$13,109,014.25
Sold, n full wa ants not outstand ng
$1,814,620.00
$9,889,679.00
($117,042.99)
P efe ed Stock
$11,000,000.00
$0.00
$11,855,555.56
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$42,750,000.00
$0.00
$51,088,046.14
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$17,299,000.00
$0.00
$19,401,361.89
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$4,862,000.00
$0.00
$5,718,111.14
Redeemed, n full wa ants not outstand ng
$11,000,000.00
11,000
$1,000.00
$42,750,000.00
42,750
$1,000.00
$15,638,296.00
P efe ed Stock w/ Exe c sed Wa ants
$5,000,000.00
$0.00
$5,955,472.22
P efe ed Stock w/ Wa ants
$9,550,000.00
$0.00
$10,804,763.89
Redeemed, n full wa ants outstand ng
$2,760,000.00
$70,000,000.00
$2,760,000 00
$0.00
$364,796.34
$85,247,569.91
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$18,215,000.00
$0.00
$21,632,668.61
Redeemed, n full wa ants not outstand ng
$30,000,000.00
$0.00
$11,803,691.75
($234,574.44)
$904.00
4,862
$1,000.00
($1,660,704.00)
$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
$70,000,000.00
70,000
$1,000.00
$2 287,197.00
703,753
$18,215,000.00
18,215
$1,000.00
30,000
$300.00
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
17,299
$4,862,000.00
$911,000.00
911
$631,941.75
1,500
51,000
Sold, n full wa ants not outstand ng
$9,000,000.00
($21,000,000.00)
($90,000.00)
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$3,000,000.00
$60,000,000.00
$3,000,000 00
$0.00
$845,658.00
$75,757,163.03
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$36,842,000.00
$0.00
$42,414,352.50
Redeemed, n full wa ants outstand ng
Subo d nated Debentu es w/ Exe c sed Wa ants
$1,697,000.00
$0.00
$2,030,299.18
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$50,000,000.00
$0.00
$58,008,472.23
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$15,000,000.00
$0.00
$17,080,708.67
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$2,000,000,000.00
$0.00
$2,123,611,111.12
Redeemed, n full wa ants not outstand ng
Subo d nated Debentu es w/ Exe c sed Wa ants
$24,900,000.00
$0.00
$31,495,442.29
Redeemed, n full wa ants not outstand ng
Subo d nated Debentu es w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Wa ants
$11,019,000.00
$30,000,000.00
$42,000,000.00
$0.00
$0.00
$0.00
$13,078,672.60
$37,191,875.00
$47,869,108.33
$60,000,000.00
12,903,226
$1,432.56
$36,842,000.00
36,842
$1,000.00
$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
$42,000,000.00
42,000
$1,000.00
Redeemed, n fu l wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$125,198,000.00
$0.00
$130,542,485.91
Redeemed, n full wa ants not outstand ng
$303,000,000.00
$0.00
$121,757,209.63
Sold, n full wa ants not outstand ng
$125,198,000.00
$114,772,740.00
$10,000,000.00
$0.00
$11,400,453.22
$2 920,000.00
302,623
$945,775.00
516,817
$2 857,914.52
2,615,557
$825,000.00
97,541
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Wa ants
$3,000,000.00
($1,434,659.25)
125,198
$1,000.00
5,738,637
$20.00
($188,227,260.00)
Redeemed, n full wa ants not outstand ng
42
FootNote
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
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
Institution Name
STEWARDSHIP FINANCIAL CORPORAT ON
STEWARDSHIP FINANCIAL CORPORAT ON
STOCKMENS FINANCIAL CORPORATION
STOCKMENS FINANCIAL CORPORATION
STOCKMENS FINANCIAL CORPORATION
STONEBRIDGE FINANCIAL CORP.
STONEBRIDGE FINANCIAL CORP.
STONEBRIDGE FINANCIAL CORP.
STONEBRIDGE FINANCIAL CORP.
SUBURBAN ILLINO S 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 CORPORAT ON/COUNTY BANK
TCB CORPORAT ON/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.
TEXAS CAPITAL BANCSHARES, INC.
TEXAS CAPITAL BANCSHARES, INC.
TEXAS NATIONAL BANCORPORATION INC.
TEXAS NATIONAL BANCORPORATION INC.
THE ANB CORPORAT ON
THE ANB CORPORAT ON
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 MOBEET E
THE FIRST STATE BANK OF MOBEET E
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
City
MIDLAND PARK
M DLAND 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
DALLAS
DALLAS
JACKSONVILLE
JACKSONVILLE
TERRELL
TERRELL
W LMINGTON
WILMINGTON
WILMINGTON
MOYOCK
MOYOCK
CRESTVIEW HILLS
CRESTVIEW HILLS
CRESTVIEW HILLS
CRESTVIEW HILLS
BARABOO
BARABOO
BARABOO
BARABOO
HARTFORD
HARTFORD
ELMIRA
ELMIRA
DAMAR SCOTTA
DAMAR SCOTTA
DAMAR SCOTTA
DAMAR SCOTTA
HATTIESBURG
HATTIESBURG
MOBEETIE
MOBEETIE
HARPER
HARPER
HARTFORD
HARTFORD
HARTFORD
COLUMBIA
COLUMBIA
KINSTON
KINSTON
KINSTON
State
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
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
Date
1‐Sep‐11
26‐Oct‐11
6‐Feb‐09
12‐Jan‐11
16‐Ma ‐11
23‐Jan‐09
26‐Ma ‐13
27‐Ma ‐13
9‐Ap ‐13
19‐Jun‐09
19‐Dec‐08
4‐Aug‐11
14‐Sep‐11
9‐Jan‐09
8‐Ap ‐09
27‐May‐09
14‐Nov‐08
31‐Dec‐08
30‐Ma ‐11
28‐Sep‐11
5‐Dec‐08
15‐Ap ‐11
9‐Jan‐09
29‐Dec‐10
12‐Dec‐08
21‐Ap ‐10
22‐Dec‐10
19‐Jan‐11
10‐Ap ‐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‐Ap ‐09
21‐Dec‐09
23‐Dec‐08
3‐Aug‐11
19‐Dec‐08
27‐Jan‐12
23‐Dec‐08
26‐Ap ‐13
29‐Ap ‐13
31‐May‐13
16‐Jan‐09
13‐May‐09
17‐Ma ‐10
9‐Jan‐09
19‐May‐10
7‐Aug‐09
25‐Aug‐11
12‐Dec‐08
10‐Ma ‐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‐Ap ‐12
19‐Dec‐08
25‐Aug‐11
9‐Jan‐09
24‐Aug‐11
27‐Ma ‐13
8‐May‐13
6‐Feb‐09
29‐Sep‐10
27‐Feb‐09
14‐Ap ‐10
6‐Feb‐09
19‐Dec‐12
26‐Jun‐09
31‐Ma ‐10
27‐Sep‐10
22‐May‐09
18‐Aug‐11
23‐Dec‐08
31‐Oct‐12
11‐Jan‐13
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Capital Repayment / Disposition / Auction3,5
Investment Status*
Amount
(Fee) 4
$10,000,000.00
Shares
Avg. Price
10,000
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
$107,398.00
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$15,568,000.00
$10,973,000.00
$0.00
$0.00
$18,101,553.84
$2,652,816.96
Shares
$1,000.00
133,475
Redeemed, n fu l wa ants not outstand ng
$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
$778,000.00
778
$130,704.17
$8,358.99
516
33
$315,000.00
239,212
$2 100,000.00
1,620,545
$30 066,661.40
17,900 182
$100,000.00
100
$5 269,179.36
3,028,264
$200,000.00
200
Sold, n full wa ants not outstand ng
($8,554,790.97)
($514,064.34)
($25,000.00)
Subo d nated Debentu es w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
$15,000,000.00
$8,500,000.00
$15,000,000 00
$0.00
$2,083,520.25
$9,930,625.00
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$89,310,000.00
$0.00
$92,513,970.83
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$3,500,000,000.00
$1,350,000,000.00
$0.00
$5,448,052,772.51
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$69,000,000.00
$0.00
$4,983,333.33
Cu ently not collect ble
$4 850,000,000.00
48,500
$100 000.00
($69,000,000.00)
P efe ed Stock w/ Exe c sed Wa ants
$2,000,000.00
$0.00
$2,314,972.22
Redeemed, n fu l wa ants not outstand ng
P efe ed Stock w/ Wa ants
$300,000,000.00
$0.00
$328,991,401.58
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$4,000,000.00
$0.00
$4,721,382.89
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$235,000,000.00
$0.00
$253,929,027.78
Redeemed, n full wa ants not outstand ng
Subo d nated Debentu es w/ Exe c sed Wa ants
$13,644,000.00
$0.00
$17,019,233.91
$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
$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
$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
$6 559,066.21
758,086
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$967,870,000.00
$0.00
$1,190,614,526.39
P efe ed Stock w/ Exe c sed Wa ants
$8,000,000.00
$0.00
$253,122.22
Redeemed, n full wa ants outstand ng
Cu ently not collect ble
P efe ed Stock w/ Wa ants
$104,823,000.00
$0.00
$120,845,170.80
Sold, n full wa ants not outstand ng
($8,000,000.00)
$93,659,350.50
Subo d nated Debentu es w/ Exe c sed Wa ants
$9,720,000.00
$0.00
$11,611,381.34
($1,404,890.26)
Redeemed, n fu l wa ants not outstand ng
$9,720,000.00
P efe ed Stock w/ Exe c sed Wa ants
$11,730,000.00
$0.00
$690,832.08
($11,163,649.50)
Cu ently not collect ble
($11,730,000.00)
P efe ed Stock w/ Wa ants
$361,172,000.00
$0.00
$378,547,699.45
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$2,000,000.00
$0.00
$2,384,611.11
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$30,000,000.00
$0.00
$3,233,333.33
Cu ently not collect ble
$361,172,000.00
361,172
$1,000.00
$2,000,000.00
2,000
$1,000.00
($30,000,000.00)
P efe ed Stock w/ Exe c sed Wa ants
$3,000,000.00
$0.00
$3,331,713.17
Sold, n full wa ants not outstand ng
$298,000.00
$2,702,000.00
298
2,702
$1,022.10
$1,022.10
$6,588.78
$59,741.22
$75,000,000.00
75,000
$1,000.00
$3,981,000.00
3,981
$1,000.00
$199,000.00
199
$20,000,000.00
20,000
$1,000.00
$1 000,000.00
1,000
$45,220,000.00
45,220
$1,000.00
$4 753,984.55
980,203
$1,742,850.00
4,021
$433.40
$17,000,000.00
$17,000,000.00
17,000
17,000
$1,000.00
$1,000.00
$2 150,648.55
276,078
$1,956,900.00
$11,577,672.70
3,000
17,749
$652.30
$652.30
$403,161.92
$455,316.35
487
550
$792,783.00
175,742
($25,000.00)
P efe ed Stock w/ Wa ants
$75,000,000.00
$0.00
$82,777,816.21
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$3,981,000.00
$0.00
$4,475,307.67
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$20,000,000.00
$0.00
$23,234,499.98
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$45,220,000.00
$0.00
$52,787,673.44
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$4,021,000.00
$0.00
$1,912,684.00
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$34,000,000.00
$0.00
$40,091,342.55
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$20,749,000.00
$0.00
$18,023,831.85
Sold, n full wa ants not outstand ng
($2,278,150.00)
($1,043,100.00)
($6,171,327.30)
($135,345.73)
P efe ed Stock w/ Wa ants
$5,448,000.00
$0.00
$6,902,866.33
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$9,090,000.00
$0.00
$10,309,575.00
Redeemed, n full wa ants outstand ng
P efe ed Stock w/ Wa ants
$25,000,000.00
$0.00
$29,332,986.11
P efe ed Stock w/ Wa ants
$5,000,000.00
$0.00
$5,411,805.56
Redeemed, n full wa ants outstand ng
$731,000.00
$0.00
$813,086.56
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$301,000.00
$0.00
$379,458.89
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$3,400,000,000.00
$0.00
$4,236,125,671.00
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$15,000,000.00
$0.00
$17,580,291.55
Redeemed, n full wa ants not outstand ng
$7,500,000.00
$0.00
$9,232,652.17
5,448
$1,000.00
$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
Redeemed, n full wa ants outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$5,448,000.00
Sold, n full wa ants not outstand ng
($141,000.00)
($73,590.00)
43
FootNote
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
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
Institution Name
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 CORPORAT ON
TRI‐COUNTY FINANCIAL CORPORAT ON
TRINITY CAPITAL CORPORAT ON
TRINITY CAPITAL CORPORAT ON
TRINITY CAPITAL CORPORAT ON
TRINITY CAPITAL CORPORAT ON
TRINITY CAPITAL CORPORAT ON
TRI‐STATE BANK OF MEMPH S
TRI‐STATE BANK OF MEMPH S
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.
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 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.
City
PITTSBURGH
PITTSBURGH
PITTSBURGH
LOS ANGELES
LOS ANGELES
LOU SVILLE
LOU SVILLE
LOU SVILLE
LOU SVILLE
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
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
TECUMSEH
TECUMSEH
TECUMSEH
ATMORE
ATMORE
BARNESVILLE
BARNESVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
VIENNA
VIENNA
VIENNA
CLINTON
CLINTON
CLINTON
State
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
IA
MN
MN
MN
FL
KS
KS
CA
CA
OR
OR
OR
NC
NC
NC
NM
NM
NM
VA
VA
VA
CA
MI
MI
MI
AL
AL
GA
GA
GA
GA
GA
GA
GA
GA
VA
VA
VA
NJ
NJ
NJ
Date
31‐Dec‐08
10‐Feb‐10
5‐May‐10
20‐Feb‐09
1‐Sep‐11
9‐Jan‐09
8‐Ma ‐13
11‐Ma ‐13
9‐Ap ‐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‐Ap ‐09
12‐Nov‐10
23‐Dec‐08
8‐Nov‐12
9‐Nov‐12
13‐Nov‐12
11‐Jan‐13
11‐Jun‐13
3‐Ap ‐09
4‐Ap ‐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‐Ma ‐09
22‐Sep‐11
19‐Dec‐08
22‐Sep‐11
27‐Ma ‐09
7‐Aug‐12
9‐Aug‐12
10‐Aug‐12
11‐Sep‐12
3‐Ap ‐09
13‐Aug‐10
27‐Feb‐09
26‐Sep‐12
3‐Ap ‐09
22‐Dec‐09
29‐Nov‐12
11‐Jan‐13
21‐Nov‐08
9‐Dec‐09
30‐Dec‐09
29‐May‐09
1‐Sep‐11
14‐Nov‐08
17‐Jun‐09
15‐Jul‐09
7‐Aug‐09
30‐Jan‐09
11‐Aug‐11
14‐Nov‐08
6‐Nov‐09
14‐Nov‐08
17‐Feb‐10
31‐Ma ‐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
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‐Ma ‐13
27‐Ma ‐13
28‐Ma ‐13
9‐Ap ‐13
10‐Jun‐13
16‐Jan‐09
15‐Dec‐10
15‐Sep‐11
5‐Dec‐08
15‐May‐13
3‐Jul‐13
Original Investment Type 1
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
Original Investment
Amount
$7,579,200,000.00
$5,450,000.00
$12,000,000.00
Total Cash Back2
Outstanding
Investment
Capital Repayment / Disposition / Auction3,5
Investment Status*
Amount
$0.00
$0.00
$0.00
$8,320,638,950.83
$6,474,752.14
$13,065,246.00
(Fee) 4
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
Redeemed, n full wa ants not outstand ng
$7 579,200,000.00
75,792
$100 000.00
$5,450,000.00
5,450
$1,000.00
$244,225.00
$11,478,575.00
250
11,750
$976.90
$976.90
$2,046,000.00
2,046
$1,000.00
$1,165,528.32
$3,877,691.40
1,312
4,365
$888.40
$888.40
($146,471.68)
($487,308.60)
$282,284.64
284
$12,119,637.37
12,120
$1,000.00
($24,880,362.63)
$40,000.00
1 106,389
$3,290,437.50
$1,580,962.50
$9,481,462.50
3,815
1,833
10,993
$862.50
$862.50
$862.50
$1 301,856.00
370,899
$2,117,000.00
2,117
$1,000.00
$106,000.00
106
$4,000,000.00
4,000
$1,000.00
$200,000.00
200
$76,458,000.00
76,458
$1,000.00
$1 500,000.00
554,330
$500,000.00
$150,000.00
3,118
150,000
$155.47
$1.00
185
$320 372,284.16
16,885 192
$273,000.00
273
$4,806.45
$571,967.55
5
595
$61,000.00
61
Redeemed, n full wa ants not outstand ng
Sold, n full wa ants not outstand ng
($5,775.00)
($271,425.00)
($117,228.00)
P efe ed Stock w/ Exe c sed Wa ants
$541,000.00
$1,505,000.00
$0.00
$2,322,183.20
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$5,677,000.00
$0.00
$6,449,130.64
Sold, n full wa ants not outstand ng
($50,432.20)
P efe ed Stock w/ Wa ants
$37,000,000.00
$0.00
$13,444,359.59
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$14,448,000.00
$3,800,000.00
$14,448,000 00
$0.00
$1,195,973.33
$223,208.00
Fu l nvestment outstand ng wa ants outstand ng
Cu ently not collect ble
P efe ed Stock w/ Wa ants
$16,641,000.00
$0.00
$18,857,818.52
Sold, n full wa ants not outstand ng
($3,800,000.00)
($524,562.50)
($252,037.50)
($1,511,537.50)
($143,528.63)
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Wa ants
$2,117,000.00
$4,000,000.00
$76,458,000.00
$3,268,000.00
$0.00
$0.00
$0.00
$0.00
$2,569,490.36
$5,210,672.22
$88,577,166.67
$842,415.03
Redeemed, n full wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
Sold, n full wa ants outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$3,700,000.00
$0.00
$4,386,324.64
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$15,540,000.00
$0.00
$18,653,115.75
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$35,539,000.00
$0.00
$34,644,476.74
($2,618,000.00)
$3,700,000.00
3,700
$1,000.00
$185,000.00
$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
$1 150,000.00
1,150
$124,665.75
138
$10 000,000.00
1,647,931
$600,000.00
60
$139 000,000.00
32,679 102
$450,000.00
45
$4 500,000.00
1,110,898
$160,000.00
160
Sold, n full wa ants not outstand ng
($878,620.50)
($2,343,154.50)
($5,654,090.25)
($266,631.35)
P efe ed Stock
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
$2,795,000.00
$23,000,000.00
$2,765,000.00
$4,237,000.00
$0.00
$0.00
$0.00
$2,985,215.11
$28,642,402.33
$6,496,417.16
Redeemed, n full wa ants not outstand ng
$2,795,000.00
2,795
$1,000.00
$23,000,000.00
23,000
$1,000.00
$5,251,500.00
7,002
$750.00
$215,000,000.00
215,000
$1,000.00
$12,000,000.00
12,000
$1,000.00
$6 599,000,000.00
6,599,000
$1,000.00
$8,950,000.00
8,950
$1,000.00
Redeemed, n full wa ants not outstand ng
Sold, n full wa ants not outstand ng
($1,750,500.00)
($52,515.00)
P efe ed Stock w/ Wa ants
$215,000,000.00
$0.00
$236,287,500.00
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$12,000,000.00
$0.00
$14,075,133.27
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
$6,599,000,000.00
$50,236,000.00
$8,950,000.00
$298,737,000.00
$0.00
$50,236,000 00
$0.00
$0.00
$6,933,220,416.67
Redeemed, n full wa ants not outstand ng
$745,311.72 Full nvestment outstand ng wa ants outstand ng
$10,634,911.78
Redeemed, n full wa ants not outstand ng
$7,509,920.07
Cu ently not collect ble
($298,737,000.00)
P efe ed Stock w/ Wa ants
$214,181,000.00
$0.00
$232,156,554.58
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$3,194,000.00
$2,997,000.00
$0.00
$7,031,291.65
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$2,179,000.00
$0.00
$2,639,873.33
Redeemed, n full wa ants not outstand ng
$214,181,000.00
P efe ed Stock w/ Wa ants
$59,000,000.00
$0.00
$62,145,972.22
214,181
$1,000.00
$6,191,000.00
6,191
$1,000.00
$600,000.00
$1,579,000.00
600
1,579
$1,000.00
$1,000.00
$59,000,000.00
59,000
$1,000.00
$65,000.00
65
$450,000.00
211,318
$38,000.00
311,492
$720,000.00
720,000
$6,677.00
219,908
$283,000.00
283
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
$8,700,000.00
$20,600,000.00
$8,700,000 00
$0.00
$0 00
$20,315,924.72
Fu l nvestment outstand ng wa ants outstand ng
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$10,300,000.00
$0.00
$11,172,638.89
Redeemed, n full wa ants outstand ng
$17,005,300.00
Subo d nated Debentu es w/ Exe c sed Wa ants
$14,400,000.00
$0.00
$18,882,079.62
Redeemed, n fu l wa ants not outstand ng
P efe ed Stock w/ Wa ants
$180,000,000.00
$0.00
$210,367,527.00
Sold, n full wa ants not outstand ng
($255,079.50)
20,600
$825.50
$10,300,000.00
10,300
$1,000.00
$14,400,000.00
14,400,000
$1.00
$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
($3,594,700.00)
($59,100.00)
($490,425.00)
($6,200,475.00)
($1,732,500.00)
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
$5,658,000.00
$20,649,000.00
$0.00
$0.00
$6,649,963.92
$28,013,814.50
Redeemed, n full wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
44
FootNote
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
11,16
11
8,18,21,44
8,17
11
11
11
11
11
44
8
8,14,18
8,78,11
Institution Name
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 NAT ONAL BANCORP
VALLEY NAT ONAL BANCORP
VALLEY NAT ONAL BANCORP
VALLEY NAT ONAL BANCORP
VALLEY NAT ONAL 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.
V RGINIA 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 SERV CES, INC.
WACHUSETT FINANCIAL SERV CES, INC.
WAINWRIGHT BANK & TRUST COMPANY
WAINWRIGHT BANK & TRUST COMPANY
WAINWRIGHT BANK & TRUST COMPANY
WASHINGTON BANKING COMPANY
WASHINGTON BANKING COMPANY
WASHINGTON BANKING COMPANY
WASHINGTON FEDERAL, INC.
WASHINGTON FEDERAL, INC.
WASHINGTON FEDERAL, INC.
WASHINGTONF RST BANKSHARES, INC.
WASHINGTONF RST BANKSHARES, INC.
WASHINGTONF RST BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WEBSTER FINANCIAL CORPORATION
WEBSTER FINANCIAL CORPORAT ON
WEBSTER FINANCIAL CORPORATION
WEBSTER FINANCIAL CORPORATION
WEBSTER FINANCIAL CORPORAT ON
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 BANCORPORAT ON
WESTERN ALLIANCE BANCORPORAT ON
WESTERN ALLIANCE BANCORPORAT ON
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.
City
CLINTON
BLOOMFIELD
BLOOMFIELD
BLOOMFIELD
BLOOMFIELD
ST. PAUL
ST. PAUL
GARDEN GROVE
ALBEMARLE
ALBEMARLE
ALBEMARLE
V SALIA
VISALIA
PLEASANTON
PLEASANTON
PLEASANTON
ROANOKE
OANOKE
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
WYOM SSING
WYOM SSING
SPOKANE
SPOKANE
CLINTON
CLINTON
CLINTON
CLINTON
BOSTON
BOSTON
BOSTON
OAK HARBOR
OAK HARBOR
OAK HARBOR
SEATTLE
SEATTLE
SEATTLE
RESTON
RESTON
RESTON
WAUKESHA
WAUKESHA
WAUKESHA
WAUKESHA
WAUKESHA
WATERBURY
WATERBURY
WATERBURY
WATERBURY
WATERBURY
MINNEAPOLIS
MINNEAPOLIS
MINNEAPOLIS
WHEELING
WHEELING
WHEELING
WEST DES MOINES
WEST DES MOINES
WEST DES MOINES
SAN RAFAEL
SAN RAFAEL
SAN RAFAEL
SAN RAFAEL
LAS VEGAS
LAS VEGAS
LAS VEGAS
PALM DESERT
MONMOUTH
MONMOUTH
MONMOUTH
MONMOUTH
MONMOUTH
MEDINA
MEDINA
State
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
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
IL
IL
IL
IL
IL
OH
OH
Date
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‐Ap ‐13
16‐Oct‐13
30‐Jan‐09
21‐Ma ‐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‐Ap ‐09
28‐Dec‐12
10‐Jul‐13
19‐Dec‐08
1‐Aug‐12
30‐Jan‐09
15‐Sep‐11
11‐Dec‐09
4‐Ap ‐12
30‐Jan‐13
23‐Ap ‐14
19‐Dec‐08
24‐Nov‐09
16‐Dec‐09
16‐Jan‐09
12‐Jan‐11
2‐Ma ‐11
14‐Nov‐08
27‐May‐09
15‐Ma ‐10
30‐Jan‐09
30‐Oct‐09
4‐Aug‐11
26‐Jun‐09
6‐Feb‐13
7‐Feb‐13
8‐Feb‐13
26‐Ma ‐13
21‐Nov‐08
3‐Ma ‐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
23‐Dec‐08
29‐Dec‐09
8‐Nov‐12
9‐Nov‐12
11‐Jan‐13
15‐May‐09
30‐Nov‐12
Original Investment Type 1
P efe ed Stock w/ Exe c sed Wa ants
Original Investment
Amount
$9,900,000.00
Total Cash Back2
Outstanding
Investment
Capital Repayment / Disposition / Auction3,5
Investment Status*
Amount
$0.00
$12,066,668.65
(Fee) 4
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
$2 707,314.00
764,778
$476,573.62
495
Sold, n full wa ants not outstand ng
$237,527.50
$9,168,561.50
250
9,650
$950.10
$950.10
11,926,000
$1.00
($12,472.50)
($481,438.50)
($94,060.89)
Subo d nated Debentu es
$11,926,000.00
$0.00
$12,948,886.40
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$2,861,000.00
$10,000,000.00
$2,861,000 00
$0.00
$432,678.00
$12,916,040.83
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$7,700,000.00
$0.00
$9,403,400.50
Redeemed, n full wa ants not outstand ng
$11,926,000.00
P efe ed Stock w/ Exe c sed Wa ants
$5,500,000.00
$0.00
$2,947,090.75
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$16,019,000.00
$0.00
$21,311,670.48
Redeemed, n full wa ants not outstand ng
$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
$2,296,800.00
5,500
$417.60
$1,600,000.00
$1,600,000.00
$1,600,000.00
$1,600,000.00
$9,619,000.00
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
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
$26,380,000.00
26,380
$1,000.00
$1 625,000.00
246,082
$200,000,000.00
200,000
$1,000.00
$15 388,874.07
1,707,456
$13,475,000.00
13,475
$1,000.00
$332,000.00
332
$4,831,002.80
$92,690.00
$290,119.70
5,212
100
313
$926.90
$926.90
$926.90
$18,644.66
$147,194.69
19
150
$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
$20 388,842.06
3,282,276
$25 000,000,000.00
25,000
$1,000 000.00
$840 374,891.73
110,261 688
$75,000,000.00
75,000
$1,000.00
$950,000.00
439,282
$36,000,000.00
36,000
$1,000.00
$700,000.00
474,100
$41,863,000.00
$41,863,000.00
41,863
41,863
$1,000.00
$1,000.00
$878,256.00
246,698
$140,000,000.00
140,000
$1,000.00
$415,000.00
787,107
$335,417.06
343
$235,000.00
235
($25,000.00)
P efe ed Stock w/ Exe c sed Wa ants
$1,300,000.00
$0.00
$1,489,774.73
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$300,000,000.00
$0.00
$318,400,781.94
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
$3,000,000.00
$14,738,000.00
$0.00
$0.00
$3,503,795.81
$6,933,870.05
Redeemed, n full wa ants not outstand ng
Sold, n full wa ants outstand ng
$5,672,361.44
($9,065,638.56)
($56,723.61)
P efe ed Stock w/ Wa ants
$71,000,000.00
$0.00
$118,453,138.89
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$4,700,000.00
$0.00
$3,694,442.50
Sold, n full wa ants not outstand ng
($207,646.14)
($1,623,379.86)
($25,000.00)
P efe ed Stock w/ Exe c sed Wa ants
$1,500,000.00
$0.00
$1,898,258.59
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$25,000,000.00
$0.00
$30,710,646.33
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$110,000,000.00
$0.00
$131,236,874.33
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Exe c sed Wa ants
$12,000,000.00
$0.00
$14,731,826.23
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$22,000,000.00
$26,380,000.00
$200,000,000.00
$6,633,000.00
$6,842,000.00
$5,625,000.00
$0.00
$0.00
$0.00
$0.00
$0.00
$23,592,311.11
$30,628,344.45
$220,749,985.18
$15,317,317.86
$6,398,893.44
Redeemed, n full wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
Sold, n full wa ants not outstand ng
($380,997.20)
($7,310.00)
($22,880.30)
($52,138.13)
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Wa ants
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Exe c sed Wa ants
$400,000,000.00
$25,000,000,000.00
$75,000,000.00
$36,000,000.00
$83,726,000.00
$140,000,000.00
$7,290,000.00
$6,855,000.00
$4,567,000.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$7,290,000 00
$0.00
$457,333,286.51
$27,281,347,113.95
$78,804,166.67
$41,195,000.00
$87,360,236.61
$160,365,000.00
$554,083.00
$13,053,910.87
Redeemed, n fu l wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
Redeemed, n fu l wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
Redeemed, n full wa ants not outstand ng
Fu l nvestment outstand ng wa ants outstand ng
Sold, n full wa ants not outstand ng
$1,050,524.72
$9,673,015.37
1,117
10,305
$940.38
$939.53
4,700
$1,000.00
($66,475.28)
($631,984.63)
($107,235.41)
P efe ed Stock w/ Exe c sed Wa ants
$4,700,000.00
$0.00
$5,842,197.92
Redeemed, n full wa ants not outstand ng
$4,700,000.00
45
FootNote
8
11
11
8,14
45,8,14
11
Institution Name
WHITE RIVER BANCSHARES COMPANY
WHITNEY HOLDING CORPORATION
WHITNEY HOLDING CORPORATION
W LMINGTON TRUST CORPORATION / M&T BANK CORPORAT ON
W LMINGTON TRUST CORPORATION / M&T BANK CORPORAT ON
W LSHIRE BANCORP, INC.
W LSHIRE 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 CORPORAT ON
YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORAT ON
YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORAT ON
YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORAT ON
YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORAT ON
YORK TRADITIONS BANK
YORK TRADITIONS BANK
ZIONS BANCORPORATION
ZIONS BANCORPORATION
ZIONS BANCORPORATION
ZIONS BANCORPORATION
City
FAYETTEV LLE
NEW ORLEANS
NEW ORLEANS
W LMINGTON
W LMINGTON
LOS ANGELES
LOS ANGELES
LOS ANGELES
LAKE FOREST
LAKE FOREST
LAKE FOREST
HUNTSVILLE
HUNTSVILLE
HUNTSVILLE
W LMINGTON
W LMINGTON
W LMINGTON
ELKIN
ELKIN
ELKIN
ELKIN
ELKIN
YORK
YORK
SALT LAKE CITY
SALT LAKE CITY
SALT LAKE CITY
SALT LAKE CITY
State
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
20‐Feb‐09
19‐Dec‐08
3‐Jun‐11
12‐Dec‐08
13‐May‐11
12‐Dec‐08
3‐Ap ‐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‐Ap ‐12
12‐Sep‐12
16‐Jan‐09
24‐Jul‐09
18‐Sep‐12
10‐Jun‐13
11‐Jun‐13
24‐Ap ‐09
14‐Jul‐11
14‐Nov‐08
28‐Ma ‐12
26‐Sep‐12
5‐Dec‐12
Original Investment Type 1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Capital Repayment / Disposition / Auction3,5
Investment Status*
Amount
P efe ed Stock w/ Exe c sed Wa ants
P efe ed Stock w/ Wa ants
$16,800,000.00
$300,000,000.00
$16,800,000 00
$0.00
$1,589,583.00
$343,733,333.33
Fu l nvestment outstand ng wa ants outstand ng
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$330,000,000.00
$0.00
$369,920,833.33
Redeemed, n full wa ants outstand ng
P efe ed Stock w/ Wa ants
$62,158,000.00
$0.00
$68,809,170.52
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$250,000,000.00
$0.00
$300,704,730.81
Redeemed, n fu l wa ants not outstand ng
(Fee) 4
$0.00
$2,780,391.21
(Realized Loss) /
(Write‐off)
300,000
$1,000.00
$330,000,000.00
330,000
$1,000.00
62,158
$943.50
250,000
$1,000.00
2,720
$861.70
($376,148.80)
52,625
$915.10
($4,467,336.25)
($879,700.42)
$250,000,000.00
$2,720,000.00
Avg. Price
$300,000,000.00
$58,646,694.58
P efe ed Stock w/ Exe c sed Wa ants
Shares
Gain5
Warrant Proceeds
Amount
Shares
$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
$7,958,439,900.51
5,789,909
($3,511,305.42)
Sold, n full wa ants not outstand ng
$2,343,851.20
($24,999.99)
P efe ed Stock w/ Wa ants
$52,625,000.00
$0.00
$57,640,856.64
Sold, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$36,000,000.00
$13,312,000.00
$0.00
$52,383,419.85
Sold, n full wa ants not outstand ng
$48,157,663.75
$44,149,056.00
P efe ed Stock w/ Exe c sed Wa ants
$4,871,000.00
$0.00
$5,705,022.14
Redeemed, n full wa ants not outstand ng
P efe ed Stock w/ Wa ants
$1,400,000,000.00
$0.00
$1,661,027,529.62
Redeemed, n full wa ants not outstand ng
TOTALS
$204,894,726,320.00
$1,698,605,601.88
$225,238,587,618.82
($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
$198,312,190,313.86
($36,237,564.74)
($5,162,944.00)
($4,883,930,404.26)
$6,897,842,268.84
46
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.
47
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.
48
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.
49
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.
50
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.
51
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.
52
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.
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.
53
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.
54
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.
55
COMMUNITY DEVELOPMENT CAPITAL INITIATIVE
Seller
Footnote
Purchase Date
Purchase Details
Name of Institution
City
State
Investment Description
Amount from CPP
Disposition Details
Investment Amount
Additional Investment
1
7/30/2010
Guaranty Capital Corporation
Belzoni
MS
Subordinated Debentures
$
14,000,000
$
$
14,000,000
Par
1, 2
7/30/2010
University Financial Corp, Inc.
St. Paul
MN
$
11,926,000
$
10,189,000
$
22,115,000
Par
1 2
8/6/2010
Southern Bancorp Inc.
Arkadelphia
AR
Subordinated Debentures
Preferred Stock
$
11,000,000
$
22,800,000
$
33 800 000
Par
1, 4
8/13/2010
1
8/13/2010
2a
9/17/2010
1
8/13/2010
Premier Bancorp, Inc.
Wilmette
Citizens Bancshares Corporation
Atlanta
GA
L
PGB Holdings, Inc.
Chicago
IL
-
Pricing
Mechanism
Subordinated Debentures
$
6,784,000
$
-
Preferred Stock
$
7,462,000
$
-
$
6,784,000
Par
Preferred Stock
$
$
11,841,000
Par
$
3,000,000
$
-
$
3,000,000
Par
$
4,379,000
1
8/13/2010
First American International Corp.
Brooklyn
NY
Preferred Stock
$
17,000,000
$
-
$
17 000 000
Par
1
8/13/2010
Tri-State Bank of Memphis
Memphis
TN
Preferred Stock
$
2,795,000
$
-
$
2,795,000
Par
Mission Valley Bancorp
Sun Valley
CA
Preferred Stock
$
5,500,000
Preferred Stock
$
$
10,336,000
Par
1
8/20/2010
2a
9/24/2010
-
$
$
4,836,000
1
8/20/2010
M&F Bancorp, Inc.
Durham
NC
Preferred Stock
$
11,735,000
$
-
$
11,735,000
Par
8/27/2010
Carver Bancorp Inc
New York
NY
Common Stock
$
18,980,000
$
-
$
18 980 000
Par
9/3/2010
Kilmichael Bancorp, Inc.
Kilmichael
MS
Subordinated Debentures
$
$
-
$
3,154,000
Par
1
9/3/2010
United Bancorporation of Alabama, Inc.
Atmore
AL
Preferred Stock
$
10,300,000
$
-
$
10,300,000
Par
1
9/3/2010
BW Financial Corporation
Washington
DC
Preferred Stock
$
6,000,000
$
-
$
6,000,000
Par
1, 2
9/10/2010
BC Bancorp, Inc.
Chicago
Subordinated Debentures
$
4,205,000
$
$
8,086,000
Par
9/17/2010
CFBanc Corporation
Washington
DC
Preferred Stock
$
-
$
-
$
5 781 000
Par
9/17/2010
American Bancorp of Illinois, Inc.
Oak Brook
L
Subordinated Debentures
$
-
$
-
$
5,457,000
Par
L
9/17/2010
Hope Federal Credit Union
Jackson
MS
Subordinated Debentures
$
-
$
-
$
4,520,000
Par
9/17/2010
Genesee Co-op Federal Credit Union
Rochester
NY
Subordinated Debentures
$
-
$
-
$
300,000
Par
1
9/17/2010
First Eagle Bancshares, Inc.
Hanover Park
L
Subordinated Debentures
$
7,875,000
$
1 2
9/24/2010
Liberty Financial Services Inc.
New Orleans
LA
Preferred Stock
$
5,645,000
$
1, 7
9/24/2010
First Choice Bank
Cerritos
CA
Preferred Stock
$
5,146,000
$
9/24/2010
Bainbridge Bancshares, Inc.
Bainbridge
GA
Preferred Stock
$
-
$
9/24/2010
Virginia Community Capital, Inc.
Christiansburg
VA
Subordinated Debentures
$
-
9/24/2010
Lower East Side People's Federal Credit Union
New York
NY
Subordinated Debentures
$
-
9/24/2010
Atlantic City Federal Credit Union
Lander
WY
Subordinated Debentures
$
9/24/2010
Neighborhood Trust Federal Credit Union
New York
NY
Subordinated Debentures
$
6
6
6
3,881,000
-
$
7,875,000
Par
$
11 334 000
Par
-
$
5,146,000
Par
-
$
3,372,000
Par
$
-
$
1,915,000
Par
$
-
$
898,000
Par
-
$
-
$
2,500,000
Par
-
$
-
$
283,000
Par
5,689,000
6
$22,115,000
$0
1/29/2013
4
$79,900
$0
5/1/2013
7
$5,146,000
$0
9/26/2012
6
$2 500 000
$0
10/17/2012
6
$1,657,000
$0
9/24/2010
Gateway Community Federal Credit Union
Missoula
MT
Subordinated Debentures
$
-
$
-
$
1,657,000
Par
9/24/2010
Union Baptist Church Federal Credit Union
Fort Wayne
IN
Subordinated Debentures
$
-
$
-
$
10,000
Par
9/24/2010
Buffalo Cooperative Federal Credit Union
Buffalo
NY
Subordinated Debentures
$
-
$
-
$
145,000
Par
9/24/2010
Tulane-Loyola Federal Credit Union
New Orleans
LA
Subordinated Debentures
$
-
$
-
$
424,000
Par
9/24/2010
Alternatives Federal Credit Union
Ithaca
NY
Subordinated Debentures
$
-
$
-
$
2,234,000
Par
9/24/2010
Liberty County Teachers Federal Credit Union
Liberty
TX
Subordinated Debentures
$
-
$
-
$
435,000
Par
4/2/2014
6
$87,000
$348,000
9/24/2010
UNO Federal Credit Union
New Orleans
LA
Subordinated Debentures
$
-
$
-
$
743,000
Par
9/4/2013
6
$743,000
$0
9/24/2010
Butte Federal Credit Union
Biggs
CA
Subordinated Debentures
$
-
$
-
$
1,000,000
Par
9/24/2010
Thurston Union of Low-Income People (TUL P) Cooperative Credit Union
Olympia
WA
Subordinated Debentures
$
-
$
-
$
75,000
Par
9/24/2010
Phenix Pride Federal Credit Union
Phenix City
AL
Subordinated Debentures
$
-
$
-
$
153,000
Par
10/3/2012
6
$1,096,000
$0
8/30/2013
7
$30 000 000
$0
12/28/2012
7
$9,734,000
$0
9/24/2010
Pyramid Federal Credit Union
Tucson
AZ
Subordinated Debentures
$
-
$
-
$
2,500,000
Par
9/24/2010
Cooperative Center Federal Credit Union
Berkeley
CA
Subordinated Debentures
$
-
$
-
$
2,799,000
Par
9/24/2010
Prince Kuhio Federal Credit Union
Honolulu
HI
Subordinated Debentures
$
-
$
-
$
273,000
Par
9/24/2010
Community First Guam Federal Credit Union
Hagatna
GU
Subordinated Debentures
$
-
$
-
$
2,650,000
Par
9/24/2010
Brewery Credit Union
Milwaukee
WI
Subordinated Debentures
$
-
$
-
$
1,096,000
Par
9/24/2010
Tongass Federal Credit Union
Ketchikan
AK
Subordinated Debentures
$
-
$
-
$
1,600,000
Par
9/24/2010
Santa Cruz Community Credit Union
Santa Cruz
CA
Subordinated Debentures
$
-
$
-
$
2,828,000
Par
9/24/2010
Northeast Community Federal Credit Union
San Francisco
CA
Subordinated Debentures
$
-
$
-
$
350,000
Par
9/24/2010
Fairfax County Federal Credit Union
Fairfax
VA
$
-
$
-
$
8,044,000
Par
1, 2
9/29/2010
Security Federal Corporation
Aiken
SC
Subordinated Debentures
Preferred Stock
$
18,000,000
$
4,000,000
$
22,000,000
Par
1, 2
9/29/2010
Community Bank of the Bay
Oakland
CA
Preferred Stock
$
1,747,000
$
2,313,000
$
4,060,000
Par
1, 2
9/29/2010
The First Bancshares, Inc.
Hattiesburg
MS
Preferred Stock
$
5,000,000
$
12,123,000
$
17,123,000
Par
1, 2
9/29/2010
BancPlus Corporation
Ridgeland
MS
Preferred Stock
$
50,400,000
$
30,514,000
$
80,914,000
Par
1
9/29/2010
First M&F Corporation
Kosciusko
MS
Preferred Stock
$
30,000,000
$
-
$
30 000 000
Par
1
9/29/2010
State Capital Corporation
Greenwood
MS
Preferred Stock
$
15,750,000
$
-
$
15,750,000
Par
6
11/28/2012
Par
1 3
-
Remaining Investment
Amount
Par
Preferred Stock
-
Amount
Date
1
9/29/2010
Lafayette Bancorp, Inc.
Oxford
MS
Preferred Stock
$
4,551,000
$
-
$
4,551,000
Par
1, 7
9/29/2010
PSB Financial Corporation
Many
LA
Preferred Stock
$
9,734,000
$
-
$
9,734,000
Par
1
9/29/2010
Community Bancshares of Mississippi, Inc.
Brandon
MS
Preferred Stock
$
54,600,000
$
-
$
54,600,000
Par
1
9/29/2010
First Vernon Bancshares Inc.
Vernon
AL
Preferred Stock
$
6,245,000
$
-
$
6 245 000
Par
56
Seller
Footnote
1
8
Purchase Details
Name of Institution
Purchase Date
City
State
Investment Description
Amount from CPP
Disposition Details
Investment Amount
Additional Investment
Pricing
Mechanism
9/29/2010
Security Capital Corporation
Batesville
MS
Preferred Stock
$
$
-
$
17,910,000
Par
9/29/2010
BankAsiana
Palisades Park
NJ
Preferred Stock
$
-
$
-
$
5,250,000
Par
9/29/2010
The Magnolia State Corporation
Bay Springs
MS
Subordinated Debentures
$
-
$
-
$
7 922 000
Par
17,910,000
9/29/2010
Bancorp of Okolona, Inc.
Okolona
MS
Subordinated Debentures
$
-
$
-
$
3,297,000
Par
9/29/2010
Southern Chautauqua Federal Credit Union
Lakewood
NY
Subordinated Debentures
$
-
$
-
$
1 709 000
Par
9/29/2010
Fidelis Federal Credit Union
New York
NY
Subordinated Debentures
$
-
$
-
$
14,000
Par
9/29/2010
Bethex Federal Credit Union
Bronx
NY
Subordinated Debentures
$
-
$
-
$
502,000
Par
9/29/2010
Shreveport Federal Credit Union
Shreveport
LA
Subordinated Debentures
$
-
$
-
$
2 646 000
Par
6
9/29/2010
LA
Subordinated Debentures
$
-
$
-
$
6,300,000
Par
9/29/2010
Carter Federal Credit Union
UNITEHERE Federal Credit Union
(Workers United Federal Credit Union)
Springhill
6
New York
NY
Subordinated Debentures
$
-
$
-
$
57,000
Par
9/29/2010
North Side Community Federal Credit Union
Chicago
L
Subordinated Debentures
$
-
$
-
$
325,000
Par
9/29/2010
East End Baptist Tabernacle Federal Credit Union
Bridgeport
CT
Subordinated Debentures
$
-
$
-
$
7,000
Par
9/29/2010
Community Plus Federal Credit Union
Rantoul
L
Subordinated Debentures
$
-
$
-
$
450 000
Par
9/29/2010
Border Federal Credit Union
Del Rio
TX
Subordinated Debentures
$
-
$
-
$
3,260,000
Par
6
6
9/29/2010
Opportunities Credit Union
Burlington
VT
Subordinated Debentures
$
-
$
-
$
1 091 000
Par
9/29/2010
First Legacy Community Credit Union
Charlotte
NC
Subordinated Debentures
$
-
$
-
$
1,000,000
Par
9/29/2010
Union Settlement Federal Credit Union
New York
NY
Subordinated Debentures
$
-
$
-
$
295,000
Par
9/29/2010
Southside Credit Union
San Antonio
TX
Subordinated Debentures
$
-
$
-
$
1 100 000
Par
9/29/2010
D.C. Federal Credit Union
Washington
DC
Subordinated Debentures
$
-
$
-
$
1,522,000
Par
9/29/2010
Faith Based Federal Credit Union
Oceanside
CA
Subordinated Debentures
$
-
$
-
$
30 000
Par
9/29/2010
Greater Kinston Credit Union
Kinston
NC
Subordinated Debentures
$
-
$
-
$
350,000
Par
9/29/2010
Hill District Federal Credit Union
Pittsburgh
PA
Subordinated Debentures
$
-
$
-
$
100,000
Par
9/29/2010
Freedom First Federal Credit Union
Roanoke
VA
Subordinated Debentures
$
-
$
-
$
9 278 000
Par
9/29/2010
Episcopal Community Federal Credit Union
Los Angeles
CA
Subordinated Debentures
$
-
$
-
$
100,000
Par
9/29/2010
Vigo County Federal Credit Union
Terre Haute
IN
Subordinated Debentures
$
-
$
-
$
1 229 000
Par
9/29/2010
Renaissance Community Development Credit Union
Somerset
NJ
Subordinated Debentures
$
-
$
-
$
31,000
Par
9/29/2010
9/30/2010
Independent Employers Group Federal Credit Union
Brooklyn Cooperative Federal Credit Union
Hilo
Brooklyn
HI
NY
Subordinated Debentures
Subordinated Debentures
$
$
-
$
$
-
$
$
698,000
300 000
Par
Par
Total Purchase Amount $
570,073,000
Amount
Date
Remaining Investment
Amount
10/1/2013
6
$5,250,000
$0
3/13/2013
6
$3,297,000
$0
2/6/2013
6
$2,500,000
$3,800,000
3/20/2013
6
$57 000
$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
$
$95,989,900
467,379,000
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, L, the banking subsidiary of Premier Bancorp, Inc., was closed by the llinois 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.
57
AUTOMOTIVE INDUSTRY FINANCING PROGRAM
Initial Investment
City, State
GMAC
(Ally)
Date
Transaction Type
12/29/2008
Purchase
Seller
GMAC
Description
Preferred Stock w/
Exercised Warrants
5/21/2009
Purchase
GMAC
Convertible Preferred Stock
w/ Exercised Warrants
12/30/2009
Purchase
GMAC
Convertible Preferred Stock
w/ Exercised Warrants
Detroit, MI
12/30/2009
Purchase
12/29/2008
Purchase
12/31/2008
Purchase
4/22/2009
Purchase
GMAC
General Motors
Corporation
General Motors
Corporation
General Motors
Corporation
Exchange/Transfer/Other Details
Amount
$
Date
Par
12/30/2009
$
7,500,000,000
Par
22
$
1,250,000,000
Par
22,
26
Trust Preferred Securities w/
$
Exercised Warrants
Debt Obligation
5,000,000,000
Pricing
Mechanism
$
Debt Obligation w/ Additional
$
Note
Debt Obligation w/ Additional
$
Note
2,540,000,000
Par
884,024,131
Par
13,400,000,000
Par
2,000,000,000
Par
Pricing
Mechanism
$
5,000,000,000
N/A
12/30/2009
3,000,000,000
N/A
12/30/2010
Partial conversion of preferred
$
stock for common stock
5,500,000,000
N/A
5/29/2009
7/10/2009
4
Amount
Partial conversion of preferred
$
stock for common stock
3/1/2011
2
Type
Exchange for convertible
preferred stock
7/10/2009
Exchange for amended and
restated Trust Preferred
Securities
Exchange for equity interest in
GMAC
Exchange for preferred and
common stock in New GM
Exchange for preferred and
common stock in New GM
$
Obligor
GMAC (Ally)
GMAC (Ally)
2,667,000,000
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
63.45%
Trust Preferred
Securities
$
2,667,000,000
10, 11,
Preferred Stock
24
$
2,100,000,000
27
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
Date
11/20/2013 Disposition 38
6/3/2009
1/16/2009
Purchase
Purchase
Purchase
General Motors
Corporation
General Motors
Corporation
Chrysler FinCo
Debt Obligation w/ Additional
$
Note
Debt Obligation w/ Additional
$
Note
Debt Obligation w/ Additional
$
Note
360,624,198
30,100,000,000
1,500,000,000
Par
Par
Par
6
8
13
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
$
5,925,000,000
Remaining
Investment
Description
N/A
Remaining
Investment
Amount/Equity %
$
0
0
$
3,023,750,000 Common Stock
36.96%
4/15/2014 Partial Disposition
1
$
2,375,000,000 Common Stock
17.09%
5/14/2014 Partial Disposition
2
$
181,141,750 Common Stock
15.60%
3/2/2011 Disposition 28
$
2,667,000,000
N/A
$
2,139,406,778
N/A
$
0
7
10, 11,
25
12/15/2010 Repayment
$
11/18/2010 Partial Disposition 25
$
11,743,303,903 Common Stock
36.9%
11/26/2010 Partial Disposition 25
$
1,761,495,577 Common Stock
32.04%
12/21/2012 Partial Disposition 33
$
5,500,000,000 Common Stock
21.97%
$
1,637,839,844 Common Stock
17.69%
Partial Disposition
35
$
1,031,700,000 Common Stock
13.80%
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%
12/9/2013
Partial Disposition 39
$
1,208,249,982 Common Stock
7/10/2009
Partial Repayment
$
360,624,198 Debt Obligation
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
Partial Repayment
$
10,048,968
9/20/2013
Partial Repayment
$
11,832,877
12/27/2013 Partial Repayment
$
410,705
$
470,269
4/11/2013
Common Stock
7
General Motors
Holdings LLC
6/12/2013
11, 12 Debt Obligation
Partial Disposition 3
0
60.8%
Detroit, MI
5/27/2009
Amount/ Proceeds
1/23/2014 Partial Disposition
9/13/2013
General
Motors
Type
3
7
5/20/2009
Payment or Disposition1
Treasury Investment After Exchange/Transfer/Other
$
7,072,488,605
N/A
0.00%
$
6,711,864,407
$
0
9
9
9 Motors Liquidation
Company
29
Debt Obligation
$
985,805,085
1/9/2014
Partial Repayment
3/17/2009
Partial Repayment
4/17/2009
Partial Repayment
$
3,499,055
$
31,810,122
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
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
$
1,496,500,945
$
1,464,690,823
58
Chrysler
FinCo
Farmington
Hills, MI
1/2/2009
4/29/2009
4/29/2009
Chrysler
Purchase
Chrysler Holding
Purchase
Chrysler Holding
Purchase
Chrysler Holding
5/1/2009
Purchase
Old Chrysler
5/20/2009
Purchase
Old Chrysler
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
5/27/2009
Purchase
New Chrysler
4/30/2010
17
18
6,642,000,000
N/A
(1,888,153,580)
N/A
23 Old Carco
Liquidation Trust
6/10/2009
Issuance of equity in New
Chrysler
$
-
N/A
Chrysler Group
LLC
Chrysler Group
LLC
Total Initial Investment Amount $
6/17/2009
Partial Repayment
7/14/2009
Repayment
7/14/2009
Repayment*
5/14/2010
7/10/2009
Completion of bankruptcy
$
proceeding; transfer of
collateral security to liquidation
trust
23
Right to recover
proceeds
N/A
Auburn Hills,
MI
Debt Obligation w/ Additional
Note, Zero Coupon Note,
$
Equity
Partial Repayment
14
16
-
Transfer of debt to New
Chrysler
5/18/2009
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%
$
$
Termination and settlement
20
payment
Repayment
Debt Obligation w/
51,136,084 Additional Note
Debt Obligation w/
44,357,710 Additional Note
Additional Note
1,413,554,739
$
1,369,197,029
$
0
$
1,369,197,029
$
15,000,000
N/A
-
$
1,900,000,000
N/A
-
$
280,130,642
N/A
5/10/2010
Proceeds from sale of collateral
$
9/9/2010
Proceeds from sale of collateral
$
$
Right to recover
30,544,528
proceeds
Right to recover
9,666,784
proceeds
12/29/2010 Proceeds from sale of collateral
$
Right to recover
7,844,409
proceeds
4/30/2012
Proceeds from sale of collateral
$
9,302,185
5/24/2011
Repayment - Principal
$
5,076,460,000
31
$
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 $
62,186,325,712
Additional Proceeds * $
403,000,000
0
N/A
N/A
N/A
Right to recover
proceeds
N/A
N/A
$
N/A
0
-
13,604,913,259
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.
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.
59
24. On October 27, 2010, Treasury accepted an offer by General Motors Company (GM) to repurchase all of the approximately $2.1 billion preferred stock at a price per share of $25.50, which is equal to 102% of the liquidation preference, subject to the closing of the proposed initial public offering of GM’s common stock. The repurchase was completed on 12/15/2010.
25. On 11/17/2010, Treasury agreed to sell 358,546,795 shares of common stock at $32.7525 per share (which represents the $33 public sale price less underwriting discounts and fees) pursuant to an underwriting agreement. Following settlement, the net proceeds to Treasury were $11,743,303,903. On 11/26/2010, the underwriters exercised their option to purchase an additional 53,782,019 shares of
common stock from Treasury at the same purchase price resulting in additional proceeds of $1,761,495,577. Treasury's aggregate net proceeds from the sale of common stock pursuant to the underwriting agreement total $13,504,799,480.
26. On 12/30/2010, Treasury converted $5,500,000,000 of the total convertible preferred stock then outstanding and held by Treasury (including exercised warrants) into 531,850 shares of common stock of Ally. Following this conversion, Treasury holds $5,937,500,000 of convertible preferred stock.
27. On 3/1/2011, Treasury entered into an agreement with Ally Financial, Inc. (Ally) and certain other parties to amend and restate the $2,667,000,000 in aggregate liquidation preference of its Ally trust preferred securities so to facilitate a public underwritten offering. At the time of amendment and restatement, Treasury received all outstanding accrued and unpaid dividends and a distribution fee of $28,170,000.
28. On 3/2/2011, Treasury entered into an underwritten offering for all of its Ally trust preferred securities, the proceeds of which were $2,638,830,000, which together with the distribution fee referred to in footnote 27, provided total disposition proceeds to Treasury of $2,667,000,000. This amount does not include the accumulated and unpaid dividends on the trust preferred securities from the date of the
amendment and restatement through but excluding the closing date that Treasury will receive separately at settlement.
29. On March 31, 2011, the Plan of Liquidation for Motors Liquidation Company (Old GM) became effective, Treasury’s $986 million loan to Old GM was converted to an administrative claim and the assets remaining with Old GM, including Treasury's liens on certain collateral and other rights attached to the loan, were transferred to liquidation trusts. On December 15, 2011, Old GM was dissolved, as required
by the Plan of Liquidation. Treasury retained the right to recover additional proceeds; however, any additional recovery is dependent on actual liquidation proceeds and pending litigation.
30. In June 2009, Treasury provided a $6.6 billion loan commitment to Chrysler Group LLC and received a 9.9 percent equity ownership in Chrysler Group LLC (Chrysler). In January and April 2011, Chrysler met the first and second of three performance related milestones. As a result, Fiat’s ownership automatically increased from 20% to 30%, and Treasury’s ownership was reduced to 8.6%. On May 24, 2011,
Fiat, through the exercise of an equity call option, purchased an incremental 16% fully diluted ownership interest in Chrysler for $1.268 billion, reducing Treasury’s ownership to 6.6% (or 6.0% on a fully diluted basis). On July 21, 2011, Fiat, through the exercise of an equity call option, purchased Treasury’s ownership interest for $500 million. In addition, Fiat paid $60 million to Treasury for its rights under an
agreement with the UAW retirement trust pertaining to the trust's shares in Chrysler.
31 On May 24, 2011, Chrysler Group LLC terminated its ability to draw on the remaining $2.066 billion outstanding under this loan facility.
32. On November 1, 2011, Treasury received a $201,345.42 pro-rata tax distribution on its common stock from Ally Financial, Inc. pursuant to the terms of the Sixth Amended and Restated Limited Liability Company Operating Agreement of GMAC LLC dated May 22, 2009.
33. On 12/21/2012, Treasury sold 200,000,000 shares of common stock at $27.50 per share pursuant to a letter agreement. Following settlement, the net proceeds to Treasury were $5,500,000,000.
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.
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 Disposition
Date
Type
2/11/2010
Partial
repayment
Partial
repayment
3/4/2010
4/5/2010
11/20/2009
1
4/9/2009
GM Supplier Receivables LLC
Wilmington
DE
Purchase
Debt Obligation w/
$ 3,500,000,000
Additional Note
7/8/2009
3
$ (1,000,000,000) $
N/A
6
2
4/9/2009
Chrysler Receivables SPV LLC
INITIAL TOTAL
$
5,000,000,000
Wilmington
DE
Purchase
ADJUSTED TOTAL
Debt Obligation w/
$ 1,500,000,000
Additional Note
$
413,076,735
2,500,000,000
N/A
7/8/2009
3
$
$
290,000,000
(500,000,000) $
1,000,000,000
$
123,076,735
7
Total Repayments
$
413,076,735
3/9/2010
4/7/2010
4
Remaining Investment
Description
Amount
Debt Obligation w/ Additional Note
$
140,000,000
Debt Obligation w/ Additional Note
$
100,000,000
Repayment
Additional Note
$
50,000,000
Payment6
None
$
56,541,893
Additional Note
None
$
$
123,076,735
44,533,054
$
101,074,947
5
5
Repayment
Payment7
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.
60
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.
61
TARGETED INVESTMENT PROGRAM
Seller
Footnote
1
Date
Name of Institution
12/31/2008 Citigroup Inc.
Bank of America
1/16/2009 Corporation
Treasury Investment Remaining After Capital
Repayment
Capital Repayment Details
City
State
Transaction
Type
New York
NY
Purchase
Charlotte
NC
Purchase
Investment Description
Investment Amount
Trust Preferred
Securities w/ Warrants
$
20,000,000,000
Preferred Stock w/
Warrants
$
20,000,000,000
TOTAL
$
40,000,000,000
Pricing
Mechanism
Capital
Repayment Date
Par
12/23/2009
Par
12/9/2009
2
Remaining Capital
Description
Final Disposition
Final
Disposition
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
Guarantee Limit
Description
Master Agreement
Termination Agreement
$
$
5,000,000,000
$
Preferred Stock
w/ Warrants
Amount
$
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
Payment or Disposition
Footnote
Amount
Description
Type
Remaining
Premium
Trust Preferred
Securities w/ Warrants
$2,234,000,000
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
Partial cancellation for early
termination of guarantee
Amount
Remaining Premium
Description
Footnote
$ (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
Recapitalization
Note
Date
Investment Description
Treasury Holdings Post-Recapitalization
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
1
22%
234,169,156
1
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
$
1,400,000,000
$
100,000,000
N/A
Final Investment Amount
$
100,000,000
Total Investment Amount $
100,000,000
Date
Repayment
Description
5
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
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
$
689,242,944
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 CUS Ps 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 Ob igation 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
$
4 888 718
$
$
4/15/2010
$
7,066,434
$
9/15/2010
$
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
5
$
20,091,872
$
48,922
0
5
Contingent Proceeds
2,444,347
161,386,870
Description
1/29/2010
Debt Obligation w/ Contingen
166 000 000 Proceeds
$
$
Distribution or Disposition
Date
Membership Interest
2/18/2010
3/29/2012
2
Investment After Capital Repayment
Membership Interest
$
502 302
$
1,223
$
56,390,209
$
1 056 751
$
18,772
$
69,399
$
64 444
5
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
5
3/29/2012
Distribution
8/9/2012
Distribution
9/28/2012
Final Distribution
6/4/2013
Adjusted Distribution
7/8/2013
Distribution
5
10
5
5, 13
5, 1
Debt Obligation w/ Contingen
1 157 031 282 Proceeds
Debt Obligation w/ Contingen
1,149,964,848 Proceeds
Debt Obligation w/ Contingen
1,089,942,174 Proceeds
Debt Obligation w/ Contingen
957 013 546 Proceeds
Debt Obligation w/ Contingen
925,324,316 Proceeds
Debt Obligation w/ Contingen
897,968,726 Proceeds
Debt Obligation w/ Contingen
805 668 588 Proceeds
Debt Obligation w/ Contingen
677,641,052 Proceeds
Debt Obligation w/ Contingen
522,231,766 Proceeds
Debt Obligation w/ Contingen
447 146 281 Proceeds
Debt Obligation w/ Contingen
428,886,768 Proceeds
Debt Obligation w/ Contingen
365,906,960 Proceeds
Debt Obligation w/ Contingen
345 144 428 Proceeds
Debt Obligation w/ Contingen
307 759 854 Proceeds
67
Final Investment
Preliminary Adjusted
Seller
Footnote
Date
Name of Institution
Commitment
City
Transaction
Type
State
Commitment
Amount
Investment Description
Pricing
Mechanism
Date
3
Amount
Final Commitment Amount
Date
7
Amount
Amount
9
Amount
Capital Repayment Details
Repayment
Date
12/14/2011
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
$
7,103,787
Amount
$
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
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
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
$
1/15/2010
0
Membership Interest
$
44,043 $
Distribution
9/28/2012
Final Distribution
6/4/2013
Adjusted Distribution
7/8/2013
Distribution
3/13/2013
Distribution
10
- Contingent Proceeds
1,064,097,694 Membership Interest
10
712,284 $
1,063,385,410 Membership Interest
10
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
$
30,244,575
$
6/14/2011
$
88 087
$
5/3/2012
$
80 000 000
$
$
5/14/2012
$
30,000,000
5/23/2012
$
500 000 000
$
6/14/2012
$
44 200 000
$
6/25/2012
$
120,000,000
$
7/16/2012
$
17 500 000
$
7/27/2012
$
450 000 000
$
40,556
5, 13
5, 1
$
469
$
1 735
$
1,611
Distribution
$
479 509 240
$
2,802,754
$
16,195,771
$
69,932
$
75,278,664
5
5, 11
Debt Obligation w/ Contingen
2 173 974 000 Proceeds
Debt Obligation w/ Contingen
1 868 974 000 Proceeds
Debt Obligation w/ Contingen
1,068,974,000 Proceeds
Debt Obligation w/ Contingen
Proceeds
438 974 000
Debt Obligation w/ Contingen
341 479 690 Proceeds
6,716,327 $
5/16/2011
5
10
$
$
3,434,460
10
$
292,454,480
$
$
5
10
3/14/2011
$
5
Distribution
8/9/2012
10
2/14/2011
8/30/2012
2
$
Proceeds
3/29/2012
7/11/2013
2
Description
Debt Obligation w/ Contingen
300,656,067 Proceeds
Debt Obligation w/ Contingen
294,078,924 Proceeds
Debt Obligation w/ Contingen
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
$
79 071 633
$
106,300,357
$
25,909,972
$
678 683
$
(18 405)
Debt Obligation w/ Contingen
2,097,755,425 Proceeds
Debt Obligation w/ Contingen
2 097 667 339 Proceeds
Debt Obligation w/ Contingen
2 017 667 339 Proceeds
Debt Obligation w/ Contingen
1,987,667,339 Proceeds
Debt Obligation w/ Contingen
1 487 667 339 Proceeds
Debt Obligation w/ Contingen
1 443 467 339 Proceeds
Debt Obligation w/ Contingen
1,323,467,339 Proceeds
Debt Obligation w/ Contingen
1 305 967 339 Proceeds
Debt Obligation w/ Contingen
855 967 339 Proceeds
68
Final Investment
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 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
$
Description
90,269,076
$
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
$
11/15/2012
$
274 590 324
$
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/ Contingen
878,000,000 Proceeds
Debt Obligation w/ Contingen
872 460 945 Proceeds
Debt Obligation w/ Contingen
856 460 945 Proceeds
Debt Obligation w/ Contingen
854,793,592 Proceeds
Debt Obligation w/ Contingen
819 793 592 Proceeds
Debt Obligation w/ Contingen
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/ Contingen
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
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
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
Debt Obligation w/ Contingen
2 060 598 340 Proceeds
Debt Obligation w/ Contingen
1 861 673 340 Proceeds
Debt Obligation w/ Contingen
1,711,673,340 Proceeds
Debt Obligation w/ Contingen
1 674 173 340 Proceeds
Debt Obligation w/ Contingen
1 537 373 340 Proceeds
Debt Obligation w/ Contingen
1,287,373,340 Proceeds
Debt Obligation w/ Contingen
806 023 340 Proceeds
Debt Obligation w/ Contingen
531 433 016 Proceeds
69
Final Investment
Preliminary Adjusted
Seller
Footnote
1
Date
11/4/2009
Name of Institution
RLJ Western Asset Pub ic/Private Master Fund, L.P.
Commitment
City
Wilmington
Transaction
Type
State
DE
Purchase
Commitment
Amount
Investment Description
Membership Interest
$
1,111,111,111
Pricing
Mechanism
Par
Date
3/22/2010 6 $
3
Amount
1,244,437,500
Final Commitment Amount
Date
7/16/2010
7
Amount
Amount
$
620,578,258
9
Amount
$
620,578,258
Capital Repayment Details
Repayment
Date
11/4/2009
RLJ Western Asset Pub ic/Private Master Fund, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
7/16/2010
$
1,241,156,516
$
1,241,000,000
11/25/2009 Marathon Legacy Secur ties Public-Private Investment Partnership, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,244,437,500
7/16/2010
$
474,550,000
$
474,550,000
147,534,295
$
1/15/2013
$
182,823,491
$
2/14/2013
$
201,075,230
$
11/25/2009 Marathon Legacy Secur ties 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
Description
Date
- Contingent Proceeds
$
1 202 957 $
619,375,301 Membership Interest
10
4/14/2011
$
3,521,835 $
615,853,465 Membership Interest
10
8/14/2012
$
104,959,251 $
510,894,215 Membership Interest
10
9/17/2012
$
72 640 245 $
438,253,970 Membership Interest
10
9/28/2012
$
180,999,095 $
257,254,875 Membership Interest
10
10/15/2012
$
134,999,325 $
122,255,550 Membership Interest
10
- Membership Interest
10
$
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
$
$
161,866,170
$
- 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
9/17/2012
$
30,369,198
149,000,000
$
$
11/15/2012
$
119 575 516
$
11/20/2012
$
195 000 000
$
12/14/2012
$
47,755,767
$
1/15/2013
$
62 456 214
$
Description
Proceeds
5, 11
4/19/2013
Distribution
4/25/2013
Distribution
5/29/2013
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
5, 11
5, 11
5, 11
5, 11
5, 11
$
17 118 005
$
1,052,497
$
1,230,643
$
147 464 888
$
148,749,256
$
549,997
$
75 372
$
6,789,287
$
3,718,769
$
13 750
$
1,884
Debt Obligation w/ Contingen
1 227 468 470 Proceeds
Debt Obligation w/ Contingen
608,718,470 Proceeds
Debt Obligation w/ Contingen
457 712 297 Proceeds
Debt Obligation w/ Contingen
446 703 645 Proceeds
Debt Obligation w/ Contingen
286,210,415 Proceeds
Debt Obligation w/ Contingen
182,503,579 Proceeds
Debt Obligation w/ Contingen
161 866 170 Proceeds
9/17/2012
$
Distribution or Disposition
Debt Obligation w/ Contingen
383,898,721 Proceeds
Debt Obligation w/ Contingen
201,075,230 Proceeds
3/14/2011
3/25/2013
2
Amount
$
9/21/2012
1
Repayment Amount
12/14/2012
10/19/2012
2
Investment After Capital Repayment
- Membership Interest
5, 11
5, 11
5, 11
10
10
10
10
10
10
10
3/25/2013
Distribution
4/16/2013
Distribution
5/16/2013
Distribution
7/11/2013
Distribution
9/5/2013
Distribution
12/27/2013
Distribution
4/16/2013
Distribution
5, 11
5, 11
5, 11
5, 11
5, 11
5, 11
$
164,629,827
$
71 462 104
$
38,536,072
$
29,999,850
$
3 999 980
$
5,707,723
$
7,143,340
Debt Obligation w/ Contingen
800,000,000 Proceeds
Debt Obligation w/ Contingen
680 424 484 Proceeds
Debt Obligation w/ Contingen
485 424 484 Proceeds
Debt Obligation w/ Contingen
437,668,717 Proceeds
Debt Obligation w/ Contingen
375 212 503 Proceeds
5, 11
70
Final Investment
Preliminary Adjusted
Seller
Footnote
Date
Name of Institution
Commitment
City
Transaction
Type
State
Commitment
Amount
Investment Description
Pricing
Mechanism
Date
3
Amount
Final Commitment Amount
Date
7
Amount
Amount
9
Amount
Capital Repayment Details
Repayment
Date
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
$
375,212,503
Amount
$
Description
Date
- Contingent Proceeds
7/15/2011
$
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
6/3/2013
$
31,835,008
$
Distribution or Disposition
- Membership Interest 10
Description
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
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
Proceeds
$
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
Final Investment
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 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
3/14/2012
$
78,775,901
$
Debt Obligation w/ Contingen
1,032,000,000 Proceeds
Debt Obligation w/ Contingen
953,224,099 Proceeds
9/17/2012
$
44 224 144
$
Debt Obligation w/ Contingen
908 999 956 Proceeds
10/15/2012
$
64,994,269
$
Debt Obligation w/ Contingen
844,005,687 Proceeds
11/15/2012
$
223 080 187
$
Debt Obligation w/ Contingen
620 925 500 Proceeds
12/14/2012
$
111,080,608
$
Debt Obligation w/ Contingen
509,844,892 Proceeds
1/15/2013
$
89 099 906
$
Debt Obligation w/ Contingen
420 744 985 Proceeds
4/12/2013
$
109,610,516
$
Debt Obligation w/ Contingen
311,134,469 Proceeds
7/15/2011
5/14/2013
INITIAL COMMITMENT AMOUNT
Investment After Capital Repayment
$
$
79,000,000
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
21,856,403,574
TOTAL CAPITAL REPAYMENT AMOUNT $
$
Distribution or Disposition
5
Proceeds
$
444 393
$
1,960,289
$
1 375 007
$
700,004
$
293 751
$
1,024,380
$
13,475
$
2,643,315,922
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 equ ty 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/ Fo lowing 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 ob igation and $267 million of maximum debt obligation were reallocated per fund, after adjustment for the $17.6 mi lion and $26.9 mi lion equity cap tal 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 w th the Limited Partnership Agreement. As a resu t, the Final Investment Amount, representing Treasury's debt ob igation, 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 comm tment. The Final Investment Amount represents the cumulative capital drawn as of the de-obligation.
13/ On, 6/5/2013, Invesco Mortgage Recovery Master Fund L.P. made a distribution to Treasury that is the result of adjustments made to positions previously held by the Invesco Legacy Securities Master Fund, L.P. “Partnership”, of which The U.S. Department of the Treasury is a Limited Partner. The adjusted distribution was made 18 months after the Final Distribution on 9/28/2012.
14/ On 7/8/2013, Invesco Mortgage Recovery Master Fund L.P. made a distr bution to Treasury arising from the Settlement Agreement between Jefferies LLC and Invesco Advisers, Inc. dated as of 3/20/2013.
72
U.S. Treasury Department
Office of Financial Stabil ty
Troubled Asset Relief Program
Transactions Report - Housing Programs
For Period Ending 5/28/2014
MAKING HOME AFFORDABLE PROGRAM
Servicer Modifying Borrowers' Loans
Date
03/14/2013
09/30/2010
09/11/2009
Name of Institution
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
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing Mechanism
- N/A
$
$
100,000 N/A
250,000 N/A
Note
3
Adjustment
Date
03/14/2013
$
03/25/2013
12/16/2013
12/23/2013
12/09/2009
Amarillo National Bank
American Eagle Federal Credit Union
Amarillo
East Hartford
TX
CT
Purchase
Purchase
Financial Instrument for Home Loan Mod fications
Financial Instrument for Home Loan Mod fications
$
$
100,000 N/A
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
AMS Servicing, LLC
Buffalo
NY
Purchase
Financial Instrument for Home Loan Modifications
$
4,390,000 N/A
Reason for Adjustment
$
130,000 Transfer of cap due to servicing transfer
$
(1)
$
129,999 Updated due to quarterly assessment and reallocation
$
30,000
$
159,999 Transfer of cap due to servicing transfer
$
(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
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
03/23/2011
$
(145,056)
10/02/2009
$
60,000
$
310,000
339,883 Updated due to quarterly assessment and reallocation
(80,000)
$
03/26/2010
$
280,000
$
- Termination of SPA
Updated portfolio data from servicer/additional program
initial cap
Updated portfolio data from ser icer additional program
230,000
i iti l
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
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)
$
01/22/2010
$
70,000
$
1,660,000
$
144,811 Updated due to quarterly assessment and reallocation
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
$
06/29/2011
$
(1)
$
- Termination of SPA
145,056 Updated portfolio data from servicer
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
09/23/2009
Adjusted CAP
130,000
12/30/2009
09/30/2010
CAP Adjustment Amount
$
- Termination of SPA
(1)
$
09/27/2012
$
(2)
$
03/25/2013
$
(1)
$
12/23/2013
$
(232)
$
145,054 Updated due to quarterly assessment and reallocation
145,052 Updated due to quarterly assessment and reallocation
145,051 Updated due to quarterly assessment and reallocation
144,819 Updated due to quarterly assessment and reallocation
144,811 Updated due to quarterly assessment and reallocation
Updated portfolio data from ser icer additional program
i iti l
Updated
portfolio data from ser icer additional program
03/26/2014
$
(8)
$
10/02/2009
$
960,000
$
5,350,000
12/30/2009
$
(3,090,000)
$
2,260,000
03/26/2010
$
230,000
$
i iti l
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
$
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
9,122,933 Transfer of cap due to servicing transfer
73
05/21/2010
Aurora Financial Group, Inc.
Marlton
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
10,000 N/A
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
$
05/26/2010
$
30,000
$
12,420,954 Transfer of cap due to servicing transfer
Updated portfolio data from servicer/additional program
40,000
initial cap
290,111 Updated portfolio data from servicer
09/30/2010
05/01/2009
Aurora Loan Services, LLC
Littleton
CO
Purchase
Financial Instrument for Home Loan Modifications
$
798,000,000 N/A
11
09/30/2010
Banco Popular de Puerto Rico
San Juan
PR
Purchase
Financial Instrument for Home Loan Modifications
09/15/2011
Bangor Savings Bank
Bangor
ME
Purchase
Financial Instrument for Home Loan Modifications
04/17/2009
Bank of America, N.A.
Simi Valley
CA
Purchase
Financial Instrument for Home Loan Modifications
$
1,700,000 N/A
- N/A
$
798,900,000 N/A
3
$
250,111
$
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)
$
03/26/2014
$
(27)
$
06/17/2009
$
(338,450,000)
$
09/30/2009
$
(11,860,000)
$
12/30/2009
$
21,330,000
$
03/26/2010
$
9,150,000
$
07/14/2010
$
(76,870,000)
$
09/01/2010
$
400,000
$
349,229 Updated due to quarterly assessment and reallocation
349,202 Updated due to quarterly assessment and reallocation
459,550,000 Updated portfolio data from servicer
Updated portfolio data from ser icer additional program
447,690,000
i iti l
Updated
portfolio data from ser icer additional program
469,020,000
i iti l
478,170,000 Updated portfolio data from servicer
09/30/2010
$
(8,454,269)
$
401,300,000 Updated portfolio data from servicer
Updated portfolio data from ser icer additional program
401,700,000
i iti l
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)
$
05/13/2011
$
18,000,000
$
393,245,015 Updated due to quarterly assessment and reallocation
411,245,015 Transfer of cap due to servicing transfer
06/29/2011
$
(3,273)
$
10/14/2011
$
(200,000)
$
03/15/2012
$
100,000
$
04/16/2012
$
(500,000)
$
06/28/2012
$
(1,768)
$
07/16/2012
$
(90,000)
$
08/16/2012
$
(134,230,000)
$
08/23/2012
$
(166,976,849)
$
09/27/2012
$
1
$
11/15/2012
$
(230,000)
$
03/25/2013
$
(1)
$
05/16/2013
$
(20,000)
$
06/14/2013
$
(50,000)
$
06/27/2013
$
(15)
$
07/09/2013
$
(23,179,591)
$
09/30/2010
$
765,945
$
01/06/2011
$
(3)
$
03/30/2011
$
(4)
$
06/29/2011
$
(36)
$
06/28/2012
$
(30)
$
09/27/2012
$
(83)
$
12/27/2012
$
(14)
$
03/25/2013
$
(53)
$
06/27/2013
$
(20)
$
09/16/2013
$
460,000
$
09/27/2013
$
(7)
$
12/23/2013
$
(12,339)
$
01/16/2014
$
50,000
$
03/26/2014
$
(449)
$
04/16/2014
$
10,000
$
05/15/2014
$
20,000
$
09/15/2011
$
100,000
$
06/12/2009
$
5,540,000
$
09/30/2009
$
162,680,000
$
12/30/2009
$
665,510,000
$
01/26/2010
$
800,390,000
$
03/26/2010
$
(829,370,000)
$
100,000 Transfer of cap due to servicing transfer
804,440,000 Updated portfolio data from servicer
Updated portfolio data from ser icer additional program
967,120,000
initial capportfolio data from ser icer additional program
Updated
1,632,630,000
initial
capportfolio data from ser icer additional program
Updated
2,433,020,000
initial cap
1,603,650,000 Updated portfolio data from servicer
07/14/2010
$
(366,750,000)
$
1,236,900,000 Updated portfolio data from servicer
411,241,742 Updated due to quarterly assessment and reallocation
411,041,742 Transfer of cap due to servicing transfer
411,141,742 Transfer of cap due to servicing transfer
410,641,742 Transfer of cap due to servicing transfer
410,639,974 Updated due to quarterly assessment and reallocation
410,549,974 Transfer of cap due to servicing transfer
276,319,974 Transfer of cap due to servicing transfer
109,343,125 Transfer of cap due to servicing transfer
109,343,126 Updated due to quarterly assessment and reallocation
109,113,126 Transfer of cap due to servicing transfer
109,113,125 Updated due to quarterly assessment and reallocation
109,093,125 Transfer of cap due to servicing transfer
109,043,125 Transfer of cap due to servicing transfer
109,043,110 Updated due to quarterly assessment and reallocation
85,863,519 Termination of SPA
2,465,945 Updated portfolio data from servicer
2,465,942 Updated due to quarterly assessment and reallocation
2,465,938 Updated due to quarterly assessment and reallocation
2,465,902 Updated due to quarterly assessment and reallocation
2,465,872 Updated due to quarterly assessment and reallocation
2,465,789 Updated due to quarterly assessment and reallocation
2,465,775 Updated due to quarterly assessment and reallocation
2,465,722 Updated due to quarterly assessment and reallocation
2,465,702 Updated due to quarterly assessment and reallocation
2,925,702 Transfer of cap due to servicing transfer
2,925,695 Updated due to quarterly assessment and reallocation
2,913,356 Updated due to quarterly assessment and reallocation
2,963,356 Transfer of cap due to servicing transfer
2,962,907 Updated due to quarterly assessment and reallocation
2,972,907 Transfer of cap due to servicing transfer
2,992,907 Transfer of cap due to servicing transfer
74
04/17/2009
10/23/2009
Bank of America, N.A. (BAC Home
Loans Servicing, LP)
Bank United
Simi Valley
Miami Lakes
CA
FL
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
1,864,000,000 N/A
93,660,000 N/A
09/30/2010
$
95,300,000
$
09/30/2010
$
222,941,084
$
Updated portfolio data from ser icer additional program
i iti l
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
1,332,200,000
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
$
09/30/2009
$
(717,420,000)
$
12/30/2009
$
2,290,780,000
$
01/26/2010
$
450,100,000
$
03/26/2010
$
905,010,000
$
5,182,840,000 Updated portfolio data from servicer
Updated portfolio data from ser icer additional program
4,465,420,000
iUpdated
iti l
portfolio data from ser icer additional program
6,756,200,000
iUpdated
iti l
portfolio data from ser icer additional program
7,206,300,000
i iti l
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)
$
09/30/2010
$
105,500,000
$
09/30/2010
$
(614,527,362)
$
6,620,800,000 Updated portfolio data from servicer
Updated portfolio data from servicer/additional program
6,726,300,000
initial cap
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)
$
06/28/2012
$
(58,550)
$
6,667,189,378 Transfer of cap due to servicing transfer
6,667,130,828 Updated due to quarterly assessment and reallocation
07/16/2012
$
(6,840,000)
$
08/10/2012
$
1,401,716,594
$
08/16/2012
$
(4,780,000)
$
09/27/2012
$
(205,946)
$
10/16/2012
$
(153,220,000)
$
11/15/2012
$
(27,300,000)
$
12/14/2012
$
(50,350,000)
$
12/27/2012
$
(33,515)
$
01/16/2013
$
(27,000,000)
$
02/14/2013
$
(41,830,000)
$
03/14/2013
$
(5,900,000)
$
03/25/2013
$
(122,604)
$
04/16/2013
$
(1,410,000)
$
05/16/2013
$
(940,000)
$
06/14/2013
$
(16,950,000)
$
06/27/2013
$
(45,103)
$
07/16/2013
$
(25,580,000)
$
08/15/2013
$
(6,730,000)
$
09/16/2013
$
(290,640,000)
$
09/27/2013
$
(15,411)
$
10/15/2013
$
(79,200,000)
$
10/16/2013
$
260,902
$
11/14/2013
$
(14,600,000)
$
12/16/2013
$
(23,220,000)
$
12/23/2013
$
(25,226,860)
$
01/16/2014
$
(27,070,000)
$
02/13/2014
$
(110,110,000)
$
03/14/2014
$
(27,640,000)
$
03/26/2014
$
(868,425)
$
04/16/2014
$
(17,710,000)
$
05/15/2014
$
(30,040,000)
$
01/22/2010
$
4,370,000
$
31,278,513 Termination of SPA
31,017,611 Termination of SPA
6,660,290,828 Transfer of cap due to servicing transfer
8,062,007,423 Transfer of cap due to merger/acquisition
8,057,227,423 Transfer of cap due to servicing transfer
8,057,021,476 Updated due to quarterly assessment and reallocation
7,903,801,476 Transfer of cap due to servicing transfer
7,876,501,476 Transfer of cap due to servicing transfer
7,826,151,476 Transfer of cap due to servicing transfer
7,826,117,961 Updated due to quarterly assessment and reallocation
7,799,117,961 Transfer of cap due to servicing transfer
7,757,287,961 Transfer of cap due to servicing transfer
7,751,387,961 Transfer of cap due to servicing transfer
7,751,265,357 Updated due to quarterly assessment and reallocation
7,749,855,357 Transfer of cap due to servicing transfer
7,748,915,357 Transfer of cap due to servicing transfer
7,731,965,357 Transfer of cap due to servicing transfer
7,731,920,254 Updated due to quarterly assessment and reallocation
7,706,340,254 Transfer of cap due to servicing transfer
7,699,610,254 Transfer of cap due to servicing transfer
7,408,970,254 Transfer of cap due to servicing transfer
7,408,954,843 Updated due to quarterly assessment and reallocation
7,329,754,843 Transfer of cap due to servicing transfer
7,330,015,745 Transfer of cap due to merger/acquisition
7,315,415,745 Transfer of cap due to servicing transfer
7,292,195,745 Transfer of cap due to servicing transfer
7,266,968,885 Updated due to quarterly assessment and reallocation
7,239,898,885 Transfer of cap due to servicing transfer
7,129,788,885 Transfer of cap due to servicing transfer
7,102,148,885 Transfer of cap due to servicing transfer
7,101,280,460 Updated due to quarterly assessment and reallocation
7,083,570,460 Transfer of cap due to servicing transfer
7,053,530,460 Transfer of cap due to servicing transfer
Updated portfolio data from servicer/additional program
98,030,000
initial cap
75
09/16/2009
12/09/2009
07/01/2009
Bay Federal Credit Union
Bay Gulf Credit Union
Bayview Loan Servicing, LLC
Capitola
Tampa
Coral Gables
CA
FL
FL
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
$
410,000 N/A
230,000 N/A
44,260,000 N/A
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)
$
10/02/2009
$
90,000
$
12/30/2009
$
1,460,000
$
03/26/2010
$
160,000
$
91,023,326 Updated due to quarterly assessment and reallocation
Updated portfolio data from ser icer additional program
500,000
initial capportfolio data from ser icer additional program
Updated
1,960,000
initial cap
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
03/26/2010
$
440,000
$
07/14/2010
$
(80,000)
$
09/30/2010
$
(19,778)
$
- Termination of SPA
Updated portfolio data from ser icer additional program
i iti l
680,000 Updated portfolio data from servicer
600,000 Updated portfolio data from servicer
10/15/2010
$
(580,222)
09/30/2009
$
23,850,000
$
12/30/2009
$
43,590,000
$
03/26/2010
$
34,540,000
$
05/07/2010
$
1,010,000
$
07/14/2010
$
(34,250,000)
$
09/30/2010
$
600,000
$
09/30/2010
$
(15,252,303)
$
580,222 Updated portfolio data from servicer
- Termination of SPA
Updated portfolio data from ser icer additional program
initial capportfolio data from servicer/additional program
Updated
111,700,000
initial cap
146,240,000 Updated portfolio data from servicer
Updated portfolio data from servicer/additional program
147,250,000
initial cap
113,000,000 Updated portfolio data from servicer
Updated portfolio data from servicer/additional program
113,600,000
initial cap
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
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
68,110,000
76
05/15/2014
BMO Harris Bank, NA
Chicago
IL
Purchase
Financial Instrument for Home Loan Modifications
08/20/2010
Bramble Savings Bank
Cincinanati
OH
Purchase
Financial Instrument for Home Loan Modifications
07/16/2013
09/15/2010
03/14/2014
09/30/2010
04/27/2009
Bridgelock Capital dba Peak Loan
Servicing
Caliber Home Loans, Inc (Vericrest
Financial, Inc.)
California Housing Finance Agency
Capital International Financial, Inc.
Carrington Mortgage Services, LLC
Woodland Hills
Oklahoma City
Sacramento
Coral Gables
Santa Ana
CA
OK
CA
FL
CA
Purchase
Purchase
Purchase
Purchase
Purchase
- N/A
$
Financial Instrument for Home Loan Modifications
- N/A
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
700,000 N/A
- N/A
Financial Instrument for Home Loan Modifications
- N/A
$
$
3
100,000 N/A
195,000,000 N/A
3
3
3
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
05/15/2014
$
30,000
$
09/30/2010
$
1,040,667
$
1,740,667 Updated portfo io data from servicer
01/06/2011
$
(2)
$
1,740,665 Updated due to quarterly assessment and reallocation
03/30/2011
$
(3)
$
1,740,662 Updated due to quarterly assessment and reallocation
06/29/2011
$
(28)
$
1,740,634 Updated due to quarterly assessment and reallocation
08/10/2011
$
(1,740,634)
07/16/2013
$
10,000
$
10,000 Transfer of cap due to servicing transfer
12/16/2013
$
30,000
$
40,000 Transfer of cap due to servicing transfer
04/16/2014
$
30,000
$
70,000 Transfer of cap due to servicing transfer
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 portfo io data from servicer
01/06/2011
$
(2)
$
02/16/2011
$
3,000,000
$
4,450,554 Transfer of cap due to servicing transfer
03/16/2011
$
10,200,000
$
14,650,554 Transfer of cap due to servicing transfer
03/30/2011
$
(24)
$
14,650,530 Updated due to quarterly assessment and reallocation
06/29/2011
$
(227)
$
14,650,303 Updated due to quarterly assessment and reallocation
07/14/2011
$
12,000,000
$
26,650,303 Transfer of cap due to servicing transfer
12/15/2011
$
4,100,000
$
30,750,303 Transfer of cap due to servicing transfer
01/13/2012
$
900,000
$
31,650,303 Transfer of cap due to servicing transfer
04/16/2012
$
300,000
$
31,950,303 Transfer of cap due to servicing transfer
06/28/2012
$
(266)
$
31,950,037 Updated due to quarterly assessment and reallocation
09/27/2012
$
(689)
$
31,949,348 Updated due to quarterly assessment and reallocation
11/15/2012
$
720,000
$
32,669,348 Transfer of cap due to servicing transfer
12/27/2012
$
(114)
$
32,669,234 Updated due to quarterly assessment and reallocation
01/16/2013
$
8,020,000
$
40,689,234 Transfer of cap due to servicing transfer
03/25/2013
$
(591)
$
40,688,643 Updated due to quarterly assessment and reallocation
05/16/2013
$
(40,000)
$
40,648,643 Transfer of cap due to servicing transfer
06/27/2013
$
(223)
$
40,648,420 Updated due to quarterly assessment and reallocation
09/27/2013
$
(80)
$
40,648,340 Updated due to quarterly assessment and reallocation
12/23/2013
$
(135,776)
$
40,512,564 Updated due to quarterly assessment and reallocation
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
03/14/2014
$
210,000
$
03/26/2014
$
(20)
$
209,980 Updated due to quarterly assessment and reallocation
09/30/2010
$
45,056
$
06/29/2011
$
(1)
$
145,056 Updated portfolio data from servicer
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
09/27/2012
$
(2)
$
03/25/2013
$
(1)
$
12/23/2013
$
(232)
$
03/26/2014
$
(8)
$
06/17/2009
$
(63,980,000)
$
09/30/2009
$
90,990,000
$
12/30/2009
$
57,980,000
$
03/26/2010
$
74,520,000
$
144,811 Updated due to quarterly assessment and reallocation
131,020,000 Updated portfolio data from servicer
Updated portfolio data from servicer/additional program
222,010,000
initial capportfolio data from servicer/additional program
Updated
279,990,000
initial cap
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
30,000 Transfer of cap due to servicing transfer
- Termination of SPA
1,450,554 Updated due to quarterly assessment and reallocation
210,000 Transfer of cap due to servicing transfer
145,054 Updated due to quarterly assessment and reallocation
145,052 Updated due to quarterly assessment and reallocation
145,051 Updated due to quarterly assessment and reallocation
144,819 Updated due to quarterly assessment and reallocation
77
12/27/2012
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
(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)
$
09/30/2009
$
13,070,000
$
12/30/2009
$
145,510,000
$
03/26/2010
$
(116,950,000)
$
316,798,928 Transfer of cap due to servicing transfer
Updated portfolio data from servicer/additional program
29,590,000
initial cap
Updated portfolio data from servicer/additional program
175,100,000
initial cap
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)
$
10/02/2009
$
280,000
$
12/30/2009
$
(750,000)
$
03/26/2010
$
120,000
$
42,543,187 Updated due to quarterly assessment and reallocation
Updated portfolio data from servicer/additional program
1,530,000
initial cap
Updated portfolio data from ser icer additional program
780,000
i iti l
900,000 Updated portfolio data from servicer
07/14/2010
$
(300,000)
$
09/30/2010
$
270,334
$
01/06/2011
$
(1)
$
03/30/2011
$
(1)
$
06/29/2011
$
(5)
$
870,327 Updated due to quarterly assessment and reallocation
06/28/2012
$
21,717
$
09/27/2012
$
190,077
$
12/27/2012
$
35,966
$
892,044 Updated due to quarterly assessment and reallocation
1,082,121 Updated due to quarterly assessment and reallocation
1,118,087 Updated due to quarterly assessment and reallocation
03/25/2013
$
59,464
$
06/27/2013
$
35,438
$
09/27/2013
$
26,926
$
12/23/2013
$
87,045
$
03/26/2014
$
31,204
$
10/02/2009
$
10,000
$
12/30/2009
$
120,000
$
03/26/2010
$
10,000
$
07/14/2010
$
(70,000)
$
09/30/2010
$
45,056
$
10/29/2010
$
(145,056)
09/30/2010
$
856,056
$
01/06/2011
$
(4)
$
600,000 Updated portfolio data from servicer
870,334 Updated portfolio data from servicer
870,333 Updated due to quarterly assessment and reallocation
870,332 Updated due to quarterly assessment and reallocation
1,177,551 Updated due to quarterly assessment and reallocation
1,212,989 Updated due to quarterly assessment and reallocation
1,239,915 Updated due to quarterly assessment and reallocation
1,326,960 Updated due to quarterly assessment and reallocation
1,358,164 Updated due to quarterly assessment and reallocation
Updated portfolio data from servicer/additional program
40,000
initial capportfolio data from servicer/additional program
Updated
160,000
initial cap
170,000 Updated portfo io data from servicer
100,000 Updated portfo io data from servicer
145,056 Updated portfo io data from servicer
- Termination of SPA
2,756,056 Updated portfolio data from servicer
2,756,052 Updated due to quarterly assessment and reallocation
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
$
04/13/2009
CitiMortgage, Inc.
O'Fallon
MO
Purchase
Financial Instrument for Home Loan Modifications
$
2,071,000,000 N/A
06/12/2009
$
(991,580,000)
$
09/30/2009
$
1,010,180,000
$
12/30/2009
$
(105,410,000)
$
03/26/2010
$
(199,300,000)
$
04/19/2010
$
(230,000)
$
11,344 Updated due to quarterly assessment and reallocation
1,079,420,000 Updated portfolio data from servicer
Updated portfolio data from ser icer additional program
2,089,600,000
i iti l
Updated
portfolio data from ser icer additional program
1,984,190,000
iUpdated
iti l
portfolio data from ser icer additional program
1,784,890,000
i iti l
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
- Termination of SPA
- Termination of SPA
10,000 Transfer of cap due to servicing transfer
78
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
09/15/2010
$
(8,300,000)
$
09/30/2010
$
32,400,000
$
09/30/2010
$
101,287,484
$
989,990,000 Transfer of cap due to servicing transfer
Updated portfolio data from ser icer additional program
i iti l
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
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)
$
03/14/2013
$
(1,890,000)
$
03/25/2013
$
(6,606)
$
04/16/2013
$
(3,490,000)
$
06/14/2013
$
(3,630,000)
$
06/27/2013
$
(2,161)
$
07/16/2013
$
(26,880,000)
$
09/16/2013
$
(12,160,000)
$
09/27/2013
$
(610)
$
11/14/2013
$
(38,950,000)
$
12/16/2013
$
(8,600,000)
$
12/23/2013
$
(769,699)
$
01/16/2014
$
(5,360,000)
$
02/13/2014
$
(7,680,000)
$
03/14/2014
$
(2,950,000)
$
03/26/2014
$
(21,827)
$
04/16/2014
$
(60,000)
$
05/15/2014
$
(30,000)
$
09/30/2010
$
360,445
$
01/06/2011
$
(2)
$
03/23/2011
$
(1,160,443)
01/22/2010
$
30,000
$
03/26/2010
$
(580,000)
$
07/14/2010
$
1,430,000
$
09/30/2010
$
95,612
$
01/06/2011
$
(2)
$
03/30/2011
$
(3)
$
06/29/2011
$
(24)
$
06/28/2012
$
(16)
$
09/27/2012
$
(45)
$
12/27/2012
$
(8)
$
03/25/2013
06/26/2009
Citizens First Wholesale Mortgage
Company
The Villages
FL
Purchase
Financial Instrument for Home Loan Modifications
$
30,000 N/A
1,022,390,000
995,016,205 Transfer of cap due to servicing transfer
993,126,205 Transfer of cap due to servicing transfer
993,119,599 Updated due to quarterly assessment and reallocation
989,629,599 Transfer of cap due to servicing transfer
985,999,599 Transfer of cap due to servicing transfer
985,997,438 Updated due to quarterly assessment and reallocation
959,117,438 Transfer of cap due to servicing transfer
946,957,438 Transfer of cap due to servicing transfer
946,956,828 Updated due to quarterly assessment and reallocation
908,006,828 Transfer of cap due to servicing transfer
899,406,828 Transfer of cap due to servicing transfer
898,637,129 Updated due to quarterly assessment and reallocation
893,277,129 Transfer of cap due to servicing transfer
885,597,129 Transfer of cap due to servicing transfer
882,647,129 Transfer of cap due to servicing transfer
882,625,302 Updated due to quarterly assessment and reallocation
882,565,302 Transfer of cap due to servicing transfer
882,535,302 Transfer of cap due to servicing transfer
1,160,445 Updated portfolio data from servicer
1,160,443 Updated due to quarterly assessment and reallocation
- Termination of SPA
Updated portfolio data from ser icer additional program
i iti l
70,000 Updated portfolio data from servicer
650,000
1,500,000 Updated portfolio data from servicer
1,595,612 Updated portfolio data from servicer
1,595,610 Updated due to quarterly assessment and reallocation
1,595,607 Updated due to quarterly assessment and reallocation
1,595,583 Updated due to quarterly assessment and reallocation
1,595,567 Updated due to quarterly assessment and reallocation
1,595,522 Updated due to quarterly assessment and reallocation
1,595,514 Updated due to quarterly assessment and reallocation
$
(30)
$
06/27/2013
$
(11)
$
09/27/2013
$
(4)
$
1,595,484 Updated due to quarterly assessment and reallocation
1,595,473 Updated due to quarterly assessment and reallocation
12/23/2013
$
(6,733)
$
03/26/2014
$
(237)
$
05/15/2014
$
(90,000)
$
09/30/2009
$
(10,000)
$
20,000
12/30/2009
$
590,000
$
610,000
03/26/2010
$
(580,000)
$
07/14/2010
$
70,000
$
1,595,469 Updated due to quarterly assessment and reallocation
1,588,736 Updated due to quarterly assessment and reallocation
1,588,499 Updated due to quarterly assessment and reallocation
1,498,499 Transfer of cap due to servicing transfer
Updated portfolio data from servicer/additional program
initial cap
Updated portfolio data from servicer/additional program
initial cap
30,000 Updated portfolio data from servicer
100,000 Updated portfolio data from servicer
79
05/15/2014
Columbia Bank
Fair Lawn
NJ
Purchase
Financial Instrument for Home Loan Modifications
12/04/2009
Community Bank & Trust Company
Clarks Summit
PA
Purchase
Financial Instrument for Home Loan Modifications
09/30/2010
Community Credit Union of Florida
Rockledge
FL
Purchase
Financial Instrument for Home Loan Modifications
- N/A
$
$
3
380,000 N/A
2,000,000 N/A
6
09/30/2010
09/09/2009
12/16/2013
CU Mortgage Services, Inc.
CUC Mortgage Corporation
New Brighton
Albany
MN
NY
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
Financial Instrument for Home Loan Modifications
100,000 N/A
4,350,000 N/A
45,056
$
(145,056)
05/15/2014
$
160,000
$
01/22/2010
$
10,000
$
03/26/2010
$
520,000
$
160,000 Transfer of cap due to servicing transfer
Updated portfolio data from ser icer additional program
i iti l
910,000 Updated portfolio data from servicer
07/14/2010
$
(810,000)
$
100,000 Updated portfo io 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)
$
03/26/2014
$
(8)
$
09/30/2010
$
901,112
$
2,901,112 Updated portfo io 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
06/28/2012
$
(36)
$
2,901,019 Updated due to quarterly assessment and reallocation
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)
$
03/26/2014
$
(8)
$
10/02/2009
$
950,000
$
$
145,056 Updated portfolio data from servicer
- Termination of SPA
390,000
144,819 Updated due to quarterly assessment and reallocation
144,811 Updated due to quarterly assessment and reallocation
12,632 Termination of SPA
144,819 Updated due to quarterly assessment and reallocation
12/30/2009
$
5,700,000
$
03/26/2010
$
740,000
$
144,811 Updated due to quarterly assessment and reallocation
Updated portfolio data from ser icer additional program
i iti l
Updated
portfolio data from ser icer additional program
11,000,000
i iti l
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
5,300,000
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)
$
06/28/2012
$
(38)
$
3,626,327 Updated due to quarterly assessment and reallocation
3,626,289 Updated due to quarterly assessment and reallocation
09/27/2012
$
(107)
$
12/27/2012
$
(18)
$
03/25/2013
$
(69)
$
06/27/2013
$
(26)
$
09/27/2013
$
(9)
$
12/23/2013
$
(15,739)
$
03/26/2014
$
(554)
$
12/16/2013
$
30,000
$
3,626,182 Updated due to quarterly assessment and reallocation
3,626,164 Updated due to quarterly assessment and reallocation
3,626,095 Updated due to quarterly assessment and reallocation
3,626,069 Updated due to quarterly assessment and reallocation
3,626,060 Updated due to quarterly assessment and reallocation
3,610,321 Updated due to quarterly assessment and reallocation
3,609,767 Updated due to quarterly assessment and reallocation
30,000 Transfer of cap due to servicing transfer
Hallandale Beach
FL
01/15/2010
Digital Federal Credit Union
Marlborough
MA
Purchase
Financial Instrument for Home Loan Modifications
$
3,050,000 N/A
03/26/2010
$
12,190,000
05/14/2010
$
(15,240,000)
10/30/2009
DuPage Credit Union
Naperville
IL
Purchase
Financial Instrument for Home Loan Modifications
$
70,000 N/A
01/22/2010
$
10,000
$
03/26/2010
$
10,000
$
07/14/2010
$
10,000
$
09/30/2010
$
45,056
$
06/29/2011
$
(1)
$
09/27/2012
$
(1)
$
03/25/2013
$
(1)
$
12/23/2013
$
(145)
$
03/26/2014
$
(5)
$
144,903 Updated due to quarterly assessment and reallocation
03/26/2010
$
90,000
$
150,000 Updated portfolio data from servicer
07/14/2010
$
50,000
$
09/30/2010
$
(54,944)
$
200,000 Updated portfolio data from servicer
145,056 Updated portfolio data from servicer
05/20/2011
$
(145,056)
09/30/2009
$
(10,000)
$
12/30/2009
$
502,430,000
$
03/26/2010
$
(134,560,000)
$
07/14/2010
$
(392,140,000)
$
07/16/2010
$
(630,000)
$
09/30/2010
$
13,100,000
$
09/30/2010
$
(8,006,457)
$
682,470,000 Transfer of cap due to servicing transfer
Updated portfolio data from ser icer additional program
695,570,000
i iti l
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
07/31/2009
07/16/2013
Eaton National Bank & Trust Company
EMC Mortgage Corporation
Everbank
Eaton
Lewisville
Jacksonville
OH
TX
FL
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
3
$
02/17/2011
Desjardins Bank N.A.
12/23/2009
- N/A
09/30/2010
60,000 N/A
707,380,000 N/A
- N/A
$
15,240,000 Updated portfolio data from servicer
- Termination of SPA
Updated portfolio data from ser icer additional program
80,000
initial cap
90,000 Updated portfolio data from servicer
100,000 Updated portfolio data from servicer
145,056 Updated portfolio data from servicer
145,055 Updated due to quarterly assessment and reallocation
145,054 Updated due to quarterly assessment and reallocation
145,053 Updated due to quarterly assessment and reallocation
144,908 Updated due to quarterly assessment and reallocation
- Termination of SPA
Updated portfolio data from ser icer additional program
i iti l
Updated
portfolio data from ser icer additional program
1,209,800,000
iUpdated
iti l
portfolio data from ser icer additional program
1,075,240,000
i iti l
683,100,000 Updated portfolio data from servicer
707,370,000
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
$
35,441,779 Termination of SPA
60,000 Transfer of cap due to servicing transfer
80
07/17/2009
09/03/2010
05/13/2011
Farmers State Bank
Fay Servicing, LLC
FCI Lender Services, Inc.
West Salem
Chicago
Anaheim Hills
OH
IL
CA
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
3,100,000 N/A
- N/A
3
09/30/2009
$
(90,000)
$
12/30/2009
$
50,000
$
03/26/2010
$
100,000
$
Updated portfolio data from ser icer additional program
iUpdated
iti l
portfolio data from ser icer additional program
i iti l
230,000 Updated portfolio data from servicer
07/14/2010
$
(130,000)
$
100,000 Updated portfolio data from servicer
$
145,056 Updated portfolio data from servicer
80,000
130,000
09/30/2010
$
45,056
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
$
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
05/13/2011
$
500,000
$
500,000 Transfer of cap due to servicing transfer
06/16/2011
$
100,000
$
600,000 Transfer of cap due to servicing transfer
06/29/2011
$
(9)
$
599,991 Updated due to quarterly assessment and reallocation
07/14/2011
$
200,000
$
799,991 Transfer of cap due to servicing transfer
09/15/2011
$
100,000
$
899,991 Transfer of cap due to servicing transfer
11/16/2011
$
2,500,000
$
3,399,991 Transfer of cap due to servicing transfer
05/16/2012
$
1,510,000
$
4,909,991 Transfer of cap due to servicing transfer
06/14/2012
$
450,000
$
5,359,991 Transfer of cap due to servicing transfer
06/28/2012
$
(66)
$
5,359,925 Updated due to quarterly assessment and reallocation
07/16/2012
$
250,000
$
5,609,925 Transfer of cap due to servicing transfer
08/16/2012
$
90,000
$
5,699,925 Transfer of cap due to servicing transfer
09/27/2012
$
(191)
$
5,699,734 Updated due to quarterly assessment and reallocation
10/16/2012
$
140,000
$
5,839,734 Transfer of cap due to servicing transfer
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
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
- Termination of SPA
9,467,999 Transfer of cap due to servicing transfer
81
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
$
$
2,940,000 N/A
6,460,000 N/A
- N/A
$
3
100,000 N/A
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
$
01/22/2010
$
140,000
$
03/26/2010
$
6,300,000
$
7,814,433 Transfer of cap due to servicing transfer
Updated portfolio data from ser icer additional program
3,080,000
i iti l
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)
$
09/30/2009
$
(1,530,000)
$
12/30/2009
$
680,000
$
03/26/2010
$
2,460,000
$
1,010,408 Updated due to quarterly assessment and reallocation
Updated portfolio data from servicer/additional program
4,930,000
initial capportfolio data from servicer/additional program
Updated
5,610,000
initial cap
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)
$
12/23/2013
$
(474)
$
8,123,080 Updated due to quarterly assessment and reallocation
8,122,606 Updated due to quarterly assessment and reallocation
03/26/2014
$
(18)
$
8,122,588 Updated due to quarterly assessment and reallocation
05/15/2014
$
10,000
$
09/30/2010
$
45,056
$
06/29/2011
06/19/2009
12/16/2009
08/27/2010
First Federal Savings and Loan
First Federal Savings and Loan
Association of Lakewood
First Financial Bank, N.A.
Port Angeles
Lakewood
Terre Haute
WA
OH
ID
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
$
770,000 N/A
3,460,000 N/A
4,300,000 N/A
(1)
$
06/28/2012
$
(1)
$
09/27/2012
$
(2)
$
03/25/2013
$
(1)
$
12/23/2013
$
(232)
$
03/26/2014
$
(8)
$
12/30/2009
$
2,020,000
$
03/26/2010
$
11,370,000
$
(14,160,000)
05/26/2010
$
01/22/2010
$
160,000
04/21/2010
$
(3,620,000)
09/30/2010
$
7,014,337
$
01/06/2011
$
(17)
$
03/30/2011
$
(20)
$
06/29/2011
11/25/2009
First Keystone Bank
Media
PA
Purchase
Financial Instrument for Home Loan Modifications
$
1,280,000 N/A
6
09/30/2010
01/13/2010
First Mortgage Corporation
First National Bank of Grant Park
Diamond Bar
Grant Park
CA
IL
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
100,000 N/A
140,000 N/A
$
$
$
(192)
$
06/28/2012
$
(144)
$
09/27/2012
$
(396)
$
12/27/2012
$
(67)
$
03/25/2013
$
(253)
$
06/27/2013
$
(95)
$
09/27/2013
$
(34)
$
12/23/2013
$
(57,776)
$
10,000 Transfer of cap due to servicing transfer
145,056 Updated portfolio data from servicer
145,055 Updated due to quarterly assessment and reallocation
145,054 Updated due to quarterly assessment and reallocation
145,052 Updated due to quarterly assessment and reallocation
145,051 Updated due to quarterly assessment and reallocation
144,819 Updated due to quarterly assessment and reallocation
144,811 Updated due to quarterly assessment and reallocation
Updated portfolio data from ser icer additional program
2,790,000
i iti l
14,160,000 Updated portfolio data from servicer
- Termination of SPA
3,620,000
Updated portfolio data from servicer/additional program
initial cap
- Termination of SPA
11,314,337 Updated portfolio data from servicer
11,314,320 Updated due to quarterly assessment and reallocation
11,314,300 Updated due to quarterly assessment and reallocation
11,314,108 Updated due to quarterly assessment and reallocation
11,313,964 Updated due to quarterly assessment and reallocation
11,313,568 Updated due to quarterly assessment and reallocation
11,313,501 Updated due to quarterly assessment and reallocation
11,313,248 Updated due to quarterly assessment and reallocation
11,313,153 Updated due to quarterly assessment and reallocation
11,313,119 Updated due to quarterly assessment and reallocation
11,255,343 Updated due to quarterly assessment and reallocation
03/26/2014
$
(2,031)
$
01/22/2010
$
50,000
$
03/26/2010
$
1,020,000
$
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
06/29/2011
$
(21)
$
1,350,531 Updated due to quarterly assessment and reallocation
07/22/2011
$
(1,335,614)
$
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
03/26/2010
$
150,000
$
290,000 Updated portfolio data from servicer
07/14/2010
$
10,000
$
300,000 Updated portfolio data from servicer
11,253,312 Updated due to quarterly assessment and reallocation
Updated portfolio data from servicer/additional program
1,330,000
initial cap
2,350,000 Updated portfolio data from servicer
14,917 Termination of SPA
82
09/30/2010
09/30/2010
02/13/2014
09/11/2009
09/30/2010
First Safety Bank
Flagstar Capital Markets Corporation
Florida Community Bank, NA
Franklin Credit Management
Corporation
Franklin Savings
Cincinnati
Troy
Weston
Jersey City
Cincinnati
OH
MI
FL
NJ
OH
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 Mod fications
400,000 N/A
800,000 N/A
- N/A
$
$
3
27,510,000 N/A
1,700,000 N/A
6
01/13/2010
Fresno County Federal Credit Union
Fresno
CA
Purchase
Financial Instrument for Home Loan Mod fications
$
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
$
(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
$
580,221 Updated due to quarterly assessment and reallocation
01/06/2011
$
(1)
03/23/2011
$
(580,221)
09/30/2010
$
360,445
$
1,160,445 Updated portfolio data from servicer
09/23/2009
GFA Federal Credit Union
Glass City Federal Credit Union
Gardner
Maumee
MA
OH
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
100,000 N/A
230,000 N/A
- Termination of SPA
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
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
$
10/02/2009
$
6,010,000
$
12/30/2009
$
(19,750,000)
$
03/26/2010
$
(4,780,000)
$
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
169,998 Transfer of cap due to servicing transfer
Updated portfolio data from servicer/additional program
initial cap
Updated portfolio data from ser icer additional program
13,770,000
i iti l
8,990,000 Updated portfolio data from servicer
33,520,000
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
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
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
2,465,770 Updated due to quarterly assessment and reallocation
12/27/2012
$
(14)
$
03/25/2013
$
(53)
$
06/14/2013
$
(10,000)
$
06/27/2013
$
09/27/2013
$
(7)
$
10/24/2013
$
(2,446,075)
$
03/26/2010
$
480,000
$
07/14/2010
$
(140,000)
$
09/30/2010
$
(19,778)
$
01/06/2011
$
(1)
$
03/30/2011
$
(1)
$
06/29/2011
$
(8)
$
(20)
$
06/28/2012
$
(6)
$
07/06/2012
$
(555,252)
$
09/30/2010
$
45,056
$
06/29/2011
$
(1)
$
06/28/2012
09/30/2010
- Termination of SPA
$
2,465,717 Updated due to quarterly assessment and reallocation
2,455,717 Transfer of cap due to servicing transfer
2,455,697 Updated due to quarterly assessment and reallocation
2,455,690 Updated due to quarterly assessment and reallocation
9,615 Termination of SPA
740,000 Updated portfolio data from servicer
600,000 Updated portfolio data from servicer
580,222 Updated portfolio data from servicer
580,221 Updated due to quarterly assessment and reallocation
580,220 Updated due to quarterly assessment and reallocation
580,212 Updated due to quarterly assessment and reallocation
580,206 Updated due to quarterly assessment and reallocation
24,954 Termination of SPA
145,056 Updated portfolio data from servicer
145,055 Updated due to quarterly assessment and reallocation
(1)
$
09/27/2012
$
(2)
$
03/25/2013
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
145,052 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
03/26/2014
$
(8)
$
09/30/2010
$
45,056
$
03/23/2011
$
(145,056)
10/02/2009
$
60,000
$
12/30/2009
$
(10,000)
$
03/26/2010
$
130,000
$
144,811 Updated due to quarterly assessment and reallocation
145,056 Updated portfolio data from servicer
- Termination of SPA
Updated portfolio data from ser icer additional program
290,000
iUpdated
iti l
portfolio data from ser icer additional program
280,000
i iti l
410,000 Updated portfolio data from servicer
07/14/2010
$
(110,000)
145,051 Updated due to quarterly assessment and reallocation
144,819 Updated due to quarterly assessment and reallocation
$
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
83
12/11/2009
Glenview State Bank
Glenview
IL
Purchase
Financial Instrument for Home Loan Modifications
$
370,000 N/A
04/13/2009
GMAC Mortgage, Inc.
Ft. Washington
PA
Purchase
Financial Instrument for Home Loan Modifications
$
633,000,000 N/A
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)
$
01/22/2010
$
20,000
$
03/26/2010
$
289,078 Updated due to quarterly assessment and reallocation
Updated portfolio data from ser icer additional program
390,000
i iti l
1,640,000 Updated portfolio data from servicer
05/26/2010
$
(1,640,000)
06/12/2009
$
384,650,000
$
09/30/2009
$
2,537,240,000
$
12/30/2009
$
(1,679,520,000)
$
03/26/2010
$
190,180,000
$
1,017,650,000 Updated portfolio data from servicer
Updated portfolio data from ser icer additional program
3,554,890,000
i iti l
Updated
portfolio data from ser icer additional program
1,875,370,000
initial cap
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)
$
09/30/2010
$
119,200,000
$
09/30/2010
$
216,998,139
$
1,182,200,000 Transfer of cap due to servicing transfer
Updated portfolio data from servicer/additional program
1,301,400,000
initial cap
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
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
$
- Termination of SPA
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)
$
08/16/2012
$
10,000
$
1,500,173,461 Updated due to quarterly assessment and reallocation
1,500,183,461 Transfer of cap due to servicing transfer
09/27/2012
$
(33,210)
$
11/15/2012
$
(1,200,000)
$
12/14/2012
$
40,000
$
12/27/2012
$
(5,432)
$
01/16/2013
$
60,000
$
02/14/2013
$
(30,000)
$
03/14/2013
$
(80,000)
$
03/25/2013
$
(19,838)
$
06/14/2013
$
30,000
$
06/27/2013
$
(7,105)
$
09/16/2013
$
(66,500,000)
$
09/27/2013
$
(2,430)
$
10/15/2013
$
(197,220,000)
$
11/14/2013
$
(30,000)
$
12/16/2013
$
(2,230,000)
$
12/23/2013
$
(3,902,818)
$
01/16/2014
$
(9,350,000)
$
02/13/2014
$
(36,560,000)
$
03/14/2014
$
(17,170,000)
$
03/26/2014
$
(136,207)
$
04/16/2014
12/16/2009
1,250,000
1,500,150,251 Updated due to quarterly assessment and reallocation
1,498,950,251 Transfer of cap due to servicing transfer
1,498,990,251 Transfer of cap due to servicing transfer
1,498,984,819 Updated due to quarterly assessment and reallocation
1,499,044,819 Transfer of cap due to servicing transfer
1,499,014,819 Transfer of cap due to servicing transfer
1,498,934,819 Transfer of cap due to servicing transfer
1,498,914,981 Updated due to quarterly assessment and reallocation
1,498,944,981 Transfer of cap due to servicing transfer
1,498,937,876 Updated due to quarterly assessment and reallocation
1,432,437,876 Transfer of cap due to servicing transfer
1,432,435,446 Updated due to quarterly assessment and reallocation
1,235,215,446 Transfer of cap due to servicing transfer
1,235,185,446 Transfer of cap due to servicing transfer
1,232,955,446 Transfer of cap due to servicing transfer
1,229,052,628 Updated due to quarterly assessment and reallocation
1,219,702,628 Transfer of cap due to servicing transfer
1,183,142,628 Transfer of cap due to servicing transfer
1,165,972,628 Transfer of cap due to servicing transfer
1,165,836,421 Updated due to quarterly assessment and reallocation
$
(20,570,000)
$
05/15/2014
$
(260,000)
$
01/22/2010
$
10,000
$
03/26/2010
$
30,000
$
07/14/2010
$
(10,000)
$
09/30/2010
$
90,111
$
200,000 Updated portfolio data from servicer
290,111 Updated portfolio data from servicer
02/17/2011
$
(290,111)
01/22/2010
$
20,000
$
360,000
03/26/2010
$
(320,000)
$
07/14/2010
$
760,000
$
09/30/2010
$
(74,722)
$
01/06/2011
$
(1)
$
03/30/2011
$
(1)
$
06/29/2011
$
(11)
$
01/25/2012
$
(725,265)
$
12/30/2009
1,145,266,421 Transfer of cap due to servicing transfer
1,145,006,421 Transfer of cap due to servicing transfer
Updated portfolio data from ser icer additional program
180,000
i iti l
210,000 Updated portfolio data from servicer
- Termination of SPA
Updated portfolio data from servicer/additional program
initial cap
40,000 Updated portfolio data from servicer
800,000 Updated portfolio data from servicer
725,278 Updated portfolio data from servicer
725,277 Updated due to quarterly assessment and reallocation
725,276 Updated due to quarterly assessment and reallocation
725,265 Updated due to quarterly assessment and reallocation
- Termination of SPA
Updated portfolio data from ser icer additional program
1,600,000
initial cap
720,000 Updated portfolio data from servicer
1,030,000
$
03/26/2010
$
(880,000)
$
07/14/2010
$
(320,000)
$
400,000 Updated portfolio data from servicer
09/30/2010
$
180,222
$
580,222 Updated portfolio data from servicer
84
01/13/2010
04/24/2009
07/14/2011
Greater Nevada Mortgage Services
Green Tree Servicing LLC
Gregory Funding, LLC
Carson City
Saint Paul
Beaverton
NV
MN
OR
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
770,000 N/A
156,000,000 N/A
- N/A
3
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
$
(2,438)
$
577,732 Updated due to quarterly assessment and reallocation
03/26/2014
$
(86)
$
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)
$
03/26/2014
$
(43)
$
06/17/2009
$
(64,990,000)
$
09/30/2009
$
130,780,000
$
12/30/2009
$
(116,750,000)
$
03/26/2010
$
13,080,000
$
07/14/2010
$
(24,220,000)
$
93,900,000 Updated portfolio data from servicer
07/16/2010
$
210,000
$
94,110,000 Transfer of cap due to servicing transfer
08/13/2010
$
2,200,000
$
09/10/2010
$
34,600,000
$
130,910,000
09/30/2010
$
5,600,000
$
136,510,000
09/30/2010
$
10,185,090
$
i iti l
146,695,090 Updated portfolio data from servicer
10/15/2010
$
400,000
$
147,095,090 Transfer of cap due to servicing transfer
577,646 Updated due to quarterly assessment and reallocation
868,794 Updated due to quarterly assessment and reallocation
868,751 Updated due to quarterly assessment and reallocation
91,010,000 Updated portfolio data from servicer
Updated portfolio data from ser icer additional program
221,790,000
i iti l
Updated
portfolio data from ser icer additional program
105,040,000
i iti l
118,120,000 Updated portfolio data from servicer
96,310,000 Transfer of cap due to servicing transfer
Updated portfolio data from ser icer additional program
i iti l
Updated
portfolio data from ser icer additional program
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
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
85
09/30/2010
Guaranty Bank
Saint Paul
MN
Purchase
Financial Instrument for Home Loan Modifications
$
100,000 N/A
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
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
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
$
- Termination of SPA
Updated portfolio data from servicer/additional program
initial cap
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
1,154,867 Updated due to quarterly assessment and reallocation
1,154,675 Updated due to quarterly assessment and reallocation
05/15/2014
Heartland Bank & Trust Company
Bloomington
IL
Purchase
Financial Instrument for Home Loan Modifications
11/18/2009
Hillsdale County National Bank
Hillsdale
MI
Purchase
Financial Instrument for Home Loan Modifications
- N/A
$
1,670,000 N/A
11/25/2009
Home Financing Center, Inc
Coral Gables
FL
Purchase
Financial Instrument for Home Loan Modifications
$
230,000 N/A
04/20/2009
Home Loan Services, Inc.
Pittsburgh
PA
Purchase
Financial Instrument for Home Loan Modifications
$
319,000,000 N/A
02/14/2013
Home Servicing, LLC
Baton Rouge
LA
Purchase
Financial Instrument for Home Loan Modifications
3
- N/A
12/23/2013
$
(5,463)
$
03/26/2014
$
(192)
$
05/15/2014
$
90,000
$
01/22/2010
$
80,000
$
03/26/2010
$
330,000
$
07/14/2010
$
(1,080,000)
$
09/30/2010
$
160,445
$
01/06/2011
$
(1)
$
03/30/2011
$
(2)
$
06/29/2011
$
(16)
$
06/28/2012
$
(12)
$
09/27/2012
$
(33)
$
12/27/2012
$
(6)
$
03/25/2013
$
(21)
$
06/27/2013
$
(8)
$
09/27/2013
$
(3)
$
12/23/2013
$
(4,797)
$
03/26/2014
$
(169)
$
04/21/2010
$
(230,000)
660,000
90,000 Transfer of cap due to servicing transfer
Updated portfolio data from ser icer additional program
i iti l
2,080,000 Updated portfolio data from servicer
1,750,000
1,000,000 Updated portfolio data from servicer
1,160,445 Updated portfolio data from servicer
1,160,444 Updated due to quarterly assessment and reallocation
1,160,442 Updated due to quarterly assessment and reallocation
1,160,426 Updated due to quarterly assessment and reallocation
1,160,414 Updated due to quarterly assessment and reallocation
1,160,381 Updated due to quarterly assessment and reallocation
1,160,375 Updated due to quarterly assessment and reallocation
1,160,354 Updated due to quarterly assessment and reallocation
1,160,346 Updated due to quarterly assessment and reallocation
1,160,343 Updated due to quarterly assessment and reallocation
1,155,546 Updated due to quarterly assessment and reallocation
1,155,377 Updated due to quarterly assessment and reallocation
- Termination of SPA
447,300,000 Updated portfolio data from servicer
Updated portfolio data from ser icer additional program
494,030,000
initial
capportfolio data from ser icer additional program
Updated
639,850,000
i iti l
622,410,000 Updated portfolio data from servicer
06/12/2009
$
128,300,000
$
09/30/2009
$
46,730,000
$
12/30/2009
$
145,820,000
$
03/26/2010
$
(17,440,000)
$
07/14/2010
$
(73,010,000)
$
09/30/2010
$
6,700,000
$
09/30/2010
$
(77,126,410)
$
549,400,000 Updated portfolio data from servicer
Updated portfolio data from ser icer additional program
556,100,000
i iti l
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
6,309,233 Termination of SPA
86
08/05/2009
HomEq Servicing
North Highlands
CA
Purchase
Financial Instrument for Home Loan Modifications
$
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
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
09/27/2013
$
(2)
$
12/23/2013
$
(2,620)
$
03/26/2014
$
(92)
$
09/30/2009
$
(121,190,000)
$
12/30/2009
$
(36,290,000)
$
03/26/2010
$
199,320,000
$
627,273 Updated due to quarterly assessment and reallocation
Updated portfolio data from ser icer additional program
i iti l
Updated
portfolio data from ser icer additional program
516,520,000
i iti l
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
$
Horicon Bank
Horicon
WI
Purchase
Financial Instrument for Home Loan Modifications
$
560,000 N/A
627,365 Updated due to quarterly assessment and reallocation
552,810,000
8,308,819 Termination of SPA
Updated portfolio data from servicer/additional program
330,000
initial cap
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
870,309 Updated due to quarterly assessment and reallocation
06/28/2012
$
(10)
$
07/06/2012
$
(856,986)
$
09/30/2009
$
(53,670,000)
$
1,218,820,000
12/30/2009
$
250,450,000
$
1,469,270,000
03/26/2010
$
124,820,000
$
Updated portfolio data from servicer/additional program
initial cap
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)
$
03/30/2011
$
(1,400)
$
1,305,489,335 Transfer of cap due to servicing transfer
1,305,487,935 Updated due to quarterly assessment and reallocation
04/13/2011
$
3,100,000
$
06/29/2011
$
(12,883)
$
09/15/2011
$
(1,000,000)
$
10/14/2011
$
(100,000)
$
11/16/2011
$
(1,100,000)
$
05/16/2012
$
(10,000)
$
06/28/2012
$
(8,378)
$
07/16/2012
$
(470,000)
$
08/16/2012
$
(80,000)
$
09/27/2012
$
(22,494)
$
10/16/2012
$
(260,000)
$
11/15/2012
$
(30,000)
$
12/14/2012
$
(50,000)
$
12/27/2012
$
(3,676)
$
01/16/2013
$
(80,000)
$
02/14/2013
$
20,000
$
03/14/2013
$
(84,160,000)
$
03/25/2013
$
(12,821)
$
04/16/2013
$
(621,110,000)
$
05/16/2013
$
(19,120,000)
$
06/27/2013
$
(1,947)
$
07/16/2013
$
(14,870,000)
$
09/27/2013
$
(655)
$
12/16/2013
$
20,000
$
12/23/2013
$
(1,110,189)
$
03/26/2014
$
(39,031)
$
04/16/2014
14
09/02/2009
629,985 Updated due to quarterly assessment and reallocation
$
(10,000)
$
05/28/2014
$
(284,475,088)
$
10/02/2009
$
130,000
$
12/30/2009
$
1,040,000
$
03/26/2010
$
(1,680,000)
$
13,323 Termination of SPA
Updated portfolio data from servicer/additional program
initial cap
1,308,587,935 Transfer of cap due to servicing transfer
1,308,575,052 Updated due to quarterly assessment and reallocation
1,307,575,052 Transfer of cap due to servicing transfer
1,307,475,052 Transfer of cap due to servicing transfer
1,306,375,052 Transfer of cap due to servicing transfer
1,306,365,052 Transfer of cap due to servicing transfer
1,306,356,674 Updated due to quarterly assessment and reallocation
1,305,886,674 Transfer of cap due to servicing transfer
1,305,806,674 Transfer of cap due to servicing transfer
1,305,784,180 Updated due to quarterly assessment and reallocation
1,305,524,180 Transfer of cap due to servicing transfer
1,305,494,180 Transfer of cap due to servicing transfer
1,305,444,180 Transfer of cap due to servicing transfer
1,305,440,504 Updated due to quarterly assessment and reallocation
1,305,360,504 Transfer of cap due to servicing transfer
1,305,380,504 Transfer of cap due to servicing transfer
1,221,220,504 Transfer of cap due to servicing transfer
1,221,207,683 Updated due to quarterly assessment and reallocation
600,097,683 Transfer of cap due to servicing transfer
580,977,683 Transfer of cap due to servicing transfer
580,975,736 Updated due to quarterly assessment and reallocation
566,105,736 Transfer of cap due to servicing transfer
566,105,081 Updated due to quarterly assessment and reallocation
566,125,081 Transfer of cap due to servicing transfer
565,014,892 Updated due to quarterly assessment and reallocation
564,975,861 Updated due to quarterly assessment and reallocation
564,965,861 Transfer of cap due to servicing transfer
280,490,773 Termination of SPA
Updated portfolio data from ser icer additional program
690,000
i iti l
Updated
portfolio data from ser icer additional program
1,730,000
i iti l
50,000 Updated portfolio data from servicer
87
$
1,260,000
$
07/14/2010
$
(1,110,000)
$
09/30/2010
05/12/2010
$
100,000
$
09/30/2010
$
(9,889)
$
200,000 Updated portfolio data from servicer
Updated portfolio data from ser icer additional program
300,000
i iti l
290,111 Updated portfolio data from servicer
06/29/2011
12/16/2009
12/23/2009
Horizon Bank, NA
Iberiabank
Michigan City
Sarasota
IN
FL
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
700,000 N/A
4,230,000 N/A
6
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
IC Federal Credit Union
Fitchburg
Idaho Housing and Finance Association Boise
iServe Residential Lending, LLC
San Diego
MA
ID
CA
Purchase
Purchase
Purchase
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
$
1,310,000 Updated portfolio data from servicer
(3)
$
290,108 Updated due to quarterly assessment and reallocation
06/28/2012
$
(2)
$
290,106 Updated due to quarterly assessment and reallocation
09/27/2012
$
(7)
$
290,099 Updated due to quarterly assessment and reallocation
12/27/2012
$
(1)
$
290,098 Updated due to quarterly assessment and reallocation
03/25/2013
$
(4)
$
290,094 Updated due to quarterly assessment and reallocation
06/27/2013
$
(2)
$
290,092 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
290,091 Updated due to quarterly assessment and reallocation
12/23/2013
$
(979)
$
289,112 Updated due to quarterly assessment and reallocation
03/26/2014
$
(34)
$
01/22/2010
$
30,000
$
03/26/2010
$
1,740,000
$
289,078 Updated due to quarterly assessment and reallocation
Updated portfolio data from servicer/additional program
730,000
initial cap
2,470,000 Updated portfolio data from servicer
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
03/26/2010
$
(1,470,000)
$
- Termination of SPA
Updated portfolio data from ser icer additional program
initial cap
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)
$
09/30/2009
$
(10,000)
$
12/30/2009
$
250,000
$
03/26/2010
$
(10,000)
$
25,502 Termination of SPA
Updated portfolio data from servicer/additional program
initial cap
Updated portfolio data from ser icer additional program
1,110,000
initial cap
1,100,000 Updated portfolio data from servicer
860,000
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)
$
06/28/2012
$
(9)
$
870,320 Updated due to quarterly assessment and reallocation
870,311 Updated due to quarterly assessment and reallocation
(821,722)
$
01/22/2010
$
40,000
$
03/26/2010
09/14/2012
$
$
(760,000)
$
48,589 Termination of SPA
Updated portfolio data from ser icer additional program
i iti l
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)
$
09/30/2010
$
565,945
$
1,900,000 Updated portfolio data from servicer
2,465,945 Updated portfolio data from servicer
01/06/2011
$
(4)
$
03/30/2011
$
(4)
$
06/29/2011
$
(40)
$
06/28/2012
$
(29)
$
09/27/2012
$
(80)
$
12/27/2012
$
(14)
$
03/25/2013
$
(52)
$
06/27/2013
$
(19)
$
09/27/2013
$
(7)
$
12/23/2013
$
(11,558)
$
03/26/2014
$
(410)
$
01/22/2010
$
440,000
$
03/26/2010
$
14,480,000
$
05/26/2010
$
(24,200,000)
$
07/14/2010
$
150,000
$
09/30/2010
$
(9,889)
$
06/29/2011
$
(3)
$
06/28/2012
$
(2)
$
09/27/2012
$
(6)
$
12/27/2012
$
(1)
$
03/25/2013
$
(3)
$
06/27/2013
$
(1)
$
12/23/2013
$
(747)
$
03/26/2014
$
(26)
$
289,348 Updated due to quarterly assessment and reallocation
289,322 Updated due to quarterly assessment and reallocation
03/26/2010
$
(730,000)
$
230,000 Updated portfolio data from servicer
07/14/2010
$
370,000
$
09/30/2010
$
200,000
$
09/30/2010
$
(364,833)
$
600,000 Updated portfolio data from servicer
Updated portfolio data from ser icer additional program
800,000
i iti l
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
800,000
2,465,941 Updated due to quarterly assessment and reallocation
2,465,937 Updated due to quarterly assessment and reallocation
2,465,897 Updated due to quarterly assessment and reallocation
2,465,868 Updated due to quarterly assessment and reallocation
2,465,788 Updated due to quarterly assessment and reallocation
2,465,774 Updated due to quarterly assessment and reallocation
2,465,722 Updated due to quarterly assessment and reallocation
2,465,703 Updated due to quarterly assessment and reallocation
2,465,696 Updated due to quarterly assessment and reallocation
2,454,138 Updated due to quarterly assessment and reallocation
2,453,728 Updated due to quarterly assessment and reallocation
Updated portfolio data from servicer/additional program
9,870,000
initial cap
24,350,000 Updated portfolio data from servicer
150,000 Updated portfolio data from servicer
300,000 Updated portfolio data from servicer
290,111 Updated portfolio data from servicer
290,108 Updated due to quarterly assessment and reallocation
290,106 Updated due to quarterly assessment and reallocation
290,100 Updated due to quarterly assessment and reallocation
290,099 Updated due to quarterly assessment and reallocation
290,096 Updated due to quarterly assessment and reallocation
290,095 Updated due to quarterly assessment and reallocation
88
03/05/2010
09/24/2010
07/31/2009
iServe Servicing, Inc.
James B. Nutter & Company
JP Morgan Chase Bank, NA
Irving
Kansas City
Lewisville
TX
MO
TX
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
$
28,040,000 N/A
300,000 N/A
2,699,720,000 N/A
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)
$
05/26/2010
$
120,000
$
07/14/2010
$
(12,660,000)
$
09/30/2010
$
100,000
$
09/30/2010
$
(3,125,218)
$
532,798 Updated due to quarterly assessment and reallocation
Updated portfolio data from ser icer additional program
i iti l
15,500,000 Updated portfolio data from servicer
Updated portfolio data from ser icer additional program
15,600,000
initial cap
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
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
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)
$
03/25/2013
$
(8)
$
435,141 Updated due to quarterly assessment and reallocation
435,133 Updated due to quarterly assessment and reallocation
28,160,000
06/27/2013
$
(3)
$
09/27/2013
$
(1)
$
12/23/2013
$
(1,727)
$
435,130 Updated due to quarterly assessment and reallocation
435,129 Updated due to quarterly assessment and reallocation
03/26/2014
$
(61)
$
09/30/2009
$
(14,850,000)
$
12/30/2009
$
1,178,180,000
$
03/26/2010
$
1,006,580,000
$
07/14/2010
$
(1,934,230,000)
$
09/30/2010
$
72,400,000
$
09/30/2010
$
215,625,536
$
433,402 Updated due to quarterly assessment and reallocation
433,341 Updated due to quarterly assessment and reallocation
Updated portfolio data from servicer/additional program
2,684,870,000
initial
capportfolio data from servicer/additional program
Updated
3,863,050,000
initial capportfolio data from servicer/additional program
Updated
4,869,630,000
initial cap
2,935,400,000 Updated portfolio data from servicer
Updated portfolio data from servicer/additional program
3,007,800,000
initial cap
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
89
11/15/2012
08/05/2009
07/10/2009
01/16/2014
09/30/2010
08/12/2009
Kondaur Capital Corporation
Lake City Bank
Lake National Bank
LenderLive Network, Inc
Liberty Bank and Trust Co
Litton Loan Servicing, LP
Orange
Warsaw
Mentor
Glendale
New Orleans
Houston
CA
IN
OH
CO
LA
TX
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
- N/A
$
$
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
420,000 N/A
100,000 N/A
- N/A
$
$
3
1,000,000 N/A
774,900,000 N/A
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
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
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)
$
80,000 Transfer of cap due to servicing transfer
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)
$
130,000 Transfer of cap due to servicing transfer
12/23/2013
$
(155)
$
03/14/2014
$
2,240,000
$
2,369,845 Transfer of cap due to servicing transfer
03/26/2014
$
(373)
$
09/30/2009
$
180,000
$
12/30/2009
$
(350,000)
$
03/26/2010
$
20,000
$
2,369,472 Updated due to quarterly assessment and reallocation
Updated portfolio data from ser icer additional program
600,000
i iti l
Updated
portfolio data from ser icer additional program
250,000
i iti l
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)
$
06/27/2013
$
(2)
$
290,094 Updated due to quarterly assessment and reallocation
290,092 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
12/23/2013
$
(979)
$
03/26/2014
$
(34)
$
09/30/2009
$
150,000
$
12/30/2009
$
130,000
$
03/26/2010
$
50,000
$
07/14/2010
$
(30,000)
$
09/30/2010
$
35,167
$
01/06/2011
$
(1)
$
03/30/2011
$
(1)
$
06/29/2011
$
129,845 Updated due to quarterly assessment and reallocation
290,091 Updated due to quarterly assessment and reallocation
289,112 Updated due to quarterly assessment and reallocation
289,078 Updated due to quarterly assessment and reallocation
Updated portfolio data from servicer/additional program
250,000
initial
capportfolio data from servicer/additional program
Updated
380,000
initial cap
430,000 Updated portfolio data from servicer
400,000 Updated portfo io data from servicer
435,167 Updated portfolio data from servicer
435,166 Updated due to quarterly assessment and reallocation
435,165 Updated due to quarterly assessment and reallocation
(6)
$
06/28/2012
$
(4)
$
6
08/23/2012
$
(424,504)
$
435,159 Updated due to quarterly assessment and reallocation
435,155 Updated due to quarterly assessment and reallocation
3
01/16/2014
$
100,000
$
03/14/2014
$
10,000
$
03/26/2014
$
(2)
$
109,998 Updated due to quarterly assessment and reallocation
05/15/2014
$
20,000
$
09/30/2010
$
450,556
$
01/06/2011
$
(2)
$
129,998 Transfer of cap due to servicing transfer
1,450,556 Updated portfolio data from servicer
1,450,554 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
06/29/2011
$
(23)
$
06/28/2012
$
(17)
$
09/27/2012
$
(48)
$
12/27/2012
$
(8)
$
03/25/2013
$
(30)
$
06/27/2013
$
(11)
$
09/27/2013
$
(4)
$
12/23/2013
$
(6,958)
$
03/26/2014
$
(245)
$
09/30/2009
$
313,050,000
$
12/30/2009
$
275,370,000
$
03/26/2010
$
278,910,000
$
1,443,453 Updated due to quarterly assessment and reallocation
1,443,208 Updated due to quarterly assessment and reallocation
Updated portfolio data from servicer/additional program
1,087,950,000
initial capportfolio data from servicer/additional program
Updated
1,363,320,000
initial cap
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
10,651 Termination of SPA
100,000 Transfer of cap due to servicing transfer
110,000 Transfer of cap due to servicing transfer
1,450,552 Updated due to quarterly assessment and reallocation
1,450,529 Updated due to quarterly assessment and reallocation
1,450,512 Updated due to quarterly assessment and reallocation
1,450,464 Updated due to quarterly assessment and reallocation
1,450,456 Updated due to quarterly assessment and reallocation
1,450,426 Updated due to quarterly assessment and reallocation
1,450,415 Updated due to quarterly assessment and reallocation
1,450,411 Updated due to quarterly assessment and reallocation
90
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 Mod fications
$
$
700,000 N/A
700,000 N/A
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
$
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
09/30/2010
$
315,389
$
01/06/2011
$
(1)
$
1,015,389 Updated portfolio data from servicer
1,015,388 Updated due to quarterly assessment and reallocation
03/30/2011
09/30/2010
Magna Bank
Germantown
TN
Purchase
Financial Instrument for Home Loan Modifications
$
1,400,000 N/A
76,324,760 Termination of SPA
Updated portfolio data from ser icer additional program
740,000
initial cap
790,000 Updated portfolio data from servicer
$
(1)
$
06/29/2011
$
(11)
$
06/28/2012
$
(11)
$
09/27/2012
$
(30)
$
12/27/2012
$
(5)
$
03/25/2013
$
(20)
$
06/27/2013
$
(7)
$
09/27/2013
$
(3)
$
12/23/2013
$
(4,381)
$
02/13/2014
$
1,280,000
$
03/26/2014
$
125,146
$
04/16/2014
$
20,000
$
05/15/2014
$
80,000
$
09/30/2010
$
630,778
$
01/06/2011
$
(3)
$
03/30/2011
$
(3)
$
06/29/2011
$
(33)
$
06/28/2012
$
(25)
$
09/27/2012
$
(68)
$
12/27/2012
$
(11)
$
03/25/2013
$
(44)
$
06/27/2013
$
(16)
$
09/27/2013
$
(6)
$
12/23/2013
$
(9,947)
$
03/26/2014
$
(350)
$
$
225,278
$
$
1,015,387 Updated due to quarterly assessment and reallocation
1,015,376 Updated due to quarterly assessment and reallocation
1,015,365 Updated due to quarterly assessment and reallocation
1,015,335 Updated due to quarterly assessment and reallocation
1,015,330 Updated due to quarterly assessment and reallocation
1,015,310 Updated due to quarterly assessment and reallocation
1,015,303 Updated due to quarterly assessment and reallocation
1,015,300 Updated due to quarterly assessment and reallocation
1,010,919 Updated due to quarterly assessment and reallocation
2,290,919 Transfer of cap due to servicing transfer
2,416,065 Updated due to quarterly assessment and reallocation
2,436,065 Transfer of cap due to servicing transfer
2,516,065 Transfer of cap due to servicing transfer
2,030,778 Updated portfolio data from servicer
2,030,775 Updated due to quarterly assessment and reallocation
2,030,772 Updated due to quarterly assessment and reallocation
2,030,739 Updated due to quarterly assessment and reallocation
2,030,714 Updated due to quarterly assessment and reallocation
2,030,646 Updated due to quarterly assessment and reallocation
2,030,635 Updated due to quarterly assessment and reallocation
2,030,591 Updated due to quarterly assessment and reallocation
2,030,575 Updated due to quarterly assessment and reallocation
2,030,569 Updated due to quarterly assessment and reallocation
2,020,622 Updated due to quarterly assessment and reallocation
2,020,272 Updated due to quarterly assessment and reallocation
725,278 Updated portfolio data from servicer
09/30/2010
Mainstreet Credit Union
Lexena
KS
Purchase
Financial Instrument for Home Loan Modifications
$
500,000 N/A
09/30/2010
$
(1)
03/09/2011
$
(725,277)
11/25/2009
Marix Servicing, LLC
Phoenix
AZ
Purchase
Financial Instrument for Home Loan Modifications
$
20,360,000 N/A
01/22/2010
$
950,000
$
03/26/2010
$
(17,880,000)
$
06/16/2010
$
1,030,000
$
07/14/2010
$
(1,160,000)
$
08/13/2010
$
800,000
$
09/30/2010
$
200,000
$
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
01/06/2011
725,277 Updated due to quarterly assessment and reallocation
- Termination of SPA
Updated portfolio data from servicer/additional program
initial cap
3,430,000 Updated portfolio data from servicer
21,310,000
4,460,000 Transfer of cap due to servicing transfer
3,300,000 Updated portfolio data from servicer
4,100,000 Transfer of cap due to servicing transfer
Updated portfolio data from ser icer additional program
4,300,000
initial cap
5,657,168 Updated portfolio data from servicer
5,657,167 Updated due to quarterly assessment and reallocation
91
09/30/2010
Marsh Associates, Inc.
Charlotte
NC
Purchase
Financial Instrument for Home Loan Modifications
$
100,000 N/A
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
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
$
(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)
$
(510,000)
85,052 Transfer of cap due to servicing transfer
- Termination of SPA
Updated portfolio data from ser icer additional program
350,000
i iti l
Updated
portfolio data from ser icer additional program
970,000
i iti l
1,070,000 Updated portfolio data from servicer
10/28/2009
Members Mortgage Company, Inc
Woburn
MA
Purchase
Financial Instrument for Home Loan Modifications
$
510,000 N/A
04/21/2010
$
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
$
07/14/2010
$
(670,000)
$
400,000 Updated portfo io data from servicer
09/30/2010
$
35,167
$
435,167 Updated portfo io 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)
$
09/30/2010
$
49,915,806
$
93,415,806 Updated portfo io 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
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
09/30/2010
09/30/2010
04/14/2010
09/15/2010
Mid America Mortgage, Inc. (Schmidt
Mortgage Company)
Midland Mortgage Company
Midwest Bank and Trust Co.
Midwest Community Bank
Rocky River
Oklahoma City
Elmwood Park
Freeport
OH
OK
IL
IL
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
$
$
$
$
100,000 N/A
43,500,000 N/A
300,000 N/A
400,000 N/A
- Termination of SPA
144,811 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
92
07/22/2009
07/17/2009
Mission Federal Credit Union
MorEquity, Inc.
San Diego
Evansville
CA
IN
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
860,000 N/A
23,480,000 N/A
5
07/22/2009
Mortgage Center, LLC
Southfield
MI
Purchase
Financial Instrument for Home Loan Modifications
$
4,210,000 N/A
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)
$
09/30/2009
$
(490,000)
$
12/30/2009
$
6,750,000
$
03/26/2010
$
(6,340,000)
$
577,609 Updated due to quarterly assessment and reallocation
Updated portfolio data from ser icer additional program
iUpdated
iti l
portfolio data from ser icer additional program
7,120,000
i iti l
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)
$
09/30/2009
$
18,530,000
$
42,010,000
12/30/2009
$
24,510,000
$
66,520,000
03/26/2010
$
18,360,000
$
initial cap
84,880,000 Updated portfolio data from servicer
$
(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)
$
09/30/2009
$
1,780,000
$
12/30/2009
$
2,840,000
$
4,628,165 Termination of SPA
Updated portfolio data from ser icer additional program
i iti l
Updated
portfolio data from ser icer additional program
i iti l
11,630,000 Updated portfolio data from servicer
06/26/2009
National City Bank
Tulsa
Miamisburg
OK
OH
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
4,860,000 N/A
294,980,000 N/A
Nationstar Mortgage LLC
Lewisville
TX
Purchase
Financial Instrument for Home Loan Modifications
$
101,000,000 N/A
8,830,000
$
2,800,000
$
07/14/2010
$
(5,730,000)
$
5,900,000 Updated portfolio data from servicer
$
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)
$
06/28/2012
$
(94)
$
8,558,125 Updated due to quarterly assessment and reallocation
8,558,031 Updated due to quarterly assessment and reallocation
$
(256)
$
12/27/2012
$
(43)
$
03/25/2013
$
(162)
$
06/27/2013
$
(60)
$
09/27/2013
$
(21)
$
12/23/2013
$
(35,751)
$
03/26/2014
$
(1,246)
$
12/30/2009
$
(2,900,000)
$
03/26/2010
$
(1,600,000)
$
07/14/2010
$
(260,000)
$
09/30/2010
$
45,056
$
03/09/2011
$
(145,056)
09/30/2009
$
315,170,000
$
12/30/2009
$
90,280,000
$
03/26/2010
$
(18,690,000)
$
07/14/2010
$
(272,640,000)
$
09/30/2010
$
80,600,000
$
09/30/2010
$
71,230,004
$
01/06/2011
$
(828)
$
02/16/2011
$
200,000
$
03/16/2011
$
(100,000)
$
03/30/2011
$
(981)
$
04/13/2011
$
(2,300,000)
$
05/13/2011
$
(200,000)
$
06/16/2011
$
(200,000)
$
06/29/2011
$
(9,197)
$
10/14/2011
$
300,000
$
11/16/2011
$
(300,000)
$
01/13/2012
$
200,000
$
02/16/2012
$
(100,000)
$
03/15/2012
$
200,000
$
06/14/2012
$
(10,000)
$
06/28/2012
$
(6,771)
$
09/27/2012
$
(18,467)
$
12/27/2012
$
(3,105)
$
03/25/2013
$
(11,713)
$
06/27/2013
$
(4,393)
$
09/27/2013
$
(1,565)
$
12/23/2013
$
(2,622,925)
$
03/14/2014
$
7,680,000
$
555,940,059 Updated due to quarterly assessment and reallocation
563,620,059 Transfer of cap due to servicing transfer
03/26/2014
05/28/2009
5,990,000
09/30/2010
09/27/2012
Mortgage Clearing Corporation
772,780 Updated due to quarterly assessment and reallocation
Updated portfolio data from servicer/additional program
initial
capportfolio data from servicer/additional program
Updated
07/14/2010
03/26/2010
10/14/2009
370,000
$
8,557,775 Updated due to quarterly assessment and reallocation
8,557,732 Updated due to quarterly assessment and reallocation
8,557,570 Updated due to quarterly assessment and reallocation
8,557,510 Updated due to quarterly assessment and reallocation
8,557,489 Updated due to quarterly assessment and reallocation
8,521,738 Updated due to quarterly assessment and reallocation
8,520,492 Updated due to quarterly assessment and reallocation
Updated portfolio data from servicer/additional program
1,960,000
initial cap
360,000 Updated portfolio data from servicer
100,000 Updated portfolio data from servicer
145,056 Updated portfolio data from servicer
- Termination of SPA
Updated portfolio data from ser icer additional program
initial capportfolio data from ser icer additional program
Updated
700,430,000
initial cap
681,740,000 Updated portfolio data from servicer
610,150,000
409,100,000 Updated portfolio data from servicer
Updated portfolio data from ser icer additional program
489,700,000
i iti l
560,930,004 Updated portfolio data from servicer
560,929,176 Updated due to quarterly assessment and reallocation
561,129,176 Transfer of cap due to servicing transfer
561,029,176 Transfer of cap due to servicing transfer
561,028,195 Updated due to quarterly assessment and reallocation
558,728,195 Transfer of cap due to servicing transfer
558,528,195 Transfer of cap due to servicing transfer
558,328,195 Transfer of cap due to servicing transfer
558,318,998 Updated due to quarterly assessment and reallocation
558,618,998 Transfer of cap due to servicing transfer
558,318,998 Transfer of cap due to servicing transfer
558,518,998 Transfer of cap due to servicing transfer
558,418,998 Transfer of cap due to servicing transfer
558,618,998 Transfer of cap due to servicing transfer
558,608,998 Transfer of cap due to servicing transfer
558,602,227 Updated due to quarterly assessment and reallocation
558,583,760 Updated due to quarterly assessment and reallocation
558,580,655 Updated due to quarterly assessment and reallocation
558,568,942 Updated due to quarterly assessment and reallocation
558,564,549 Updated due to quarterly assessment and reallocation
558,562,984 Updated due to quarterly assessment and reallocation
(92,836)
$
563,527,223 Updated due to quarterly assessment and reallocation
06/12/2009
$
16,140,000
$
09/30/2009
$
134,560,000
$
117,140,000 Updated portfolio data from servicer
Updated portfolio data from ser icer additional program
251,700,000
i iti l
93
12/16/2013
03/10/2010
04/13/2011
Nationwide Advantage Mortgage
Company
Navy Federal Credit Union
New York Community Bank (AmTrust
Bank)
Des Moines
Vienna
Cleveland
IA
VA
OH
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
- N/A
$
3
60,780,000 N/A
- N/A
3
12/30/2009
$
80,250,000
$
03/26/2010
$
67,250,000
$
Updated portfolio data from ser icer additional program
i iti l
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
$
09/30/2010
$
2,900,000
$
09/30/2010
$
33,801,486
$
313,400,000 Transfer of cap due to servicing transfer
Updated portfolio data from ser icer additional program
316,300,000
i iti l
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
331,950,000
05/16/2012
$
90,000
$
403,363,950 Transfer of cap due to servicing transfer
06/14/2012
$
(2,380,000)
$
400,983,950 Transfer of cap due to servicing transfer
06/28/2012
$
(2,957)
$
400,980,993 Updated due to quarterly assessment and reallocation
07/16/2012
$
(2,580,000)
$
398,400,993 Transfer of cap due to servicing transfer
08/16/2012
$
131,450,000
$
529,850,993 Transfer of cap due to servicing transfer
08/23/2012
$
166,976,849
$
696,827,842 Transfer of cap due to servicing transfer
09/27/2012
$
(12,806)
$
696,815,036 Updated due to quarterly assessment and reallocation
11/15/2012
$
160,000
$
696,975,036 Transfer of cap due to servicing transfer
12/14/2012
$
50,000
$
697,025,036 Transfer of cap due to servicing transfer
12/27/2012
$
(1,882)
$
697,023,154 Updated due to quarterly assessment and reallocation
02/14/2013
$
(10,000)
$
697,013,154 Transfer of cap due to servicing transfer
03/14/2013
$
(280,000)
$
696,733,154 Transfer of cap due to servicing transfer
03/25/2013
$
(6,437)
$
696,726,717 Updated due to quarterly assessment and reallocation
04/16/2013
$
30,000
$
696,756,717 Transfer of cap due to servicing transfer
05/16/2013
$
(1,510,000)
$
695,246,717 Transfer of cap due to servicing transfer
06/14/2013
$
(1,070,000)
$
694,176,717 Transfer of cap due to servicing transfer
06/27/2013
$
(2,099)
$
694,174,618 Updated due to quarterly assessment and reallocation
07/09/2013
$
23,179,591
$
717,354,209 Transfer of cap due to servicing transfer
07/16/2013
$
490,000
$
717,844,209 Transfer of cap due to servicing transfer
09/16/2013
$
289,070,000
$
1,006,914,209 Transfer of cap due to servicing transfer
09/27/2013
$
(1,118)
$
1,006,913,091 Updated due to quarterly assessment and reallocation
10/15/2013
$
63,440,000
$
1,070,353,091 Transfer of cap due to servicing transfer
11/14/2013
$
5,060,000
$
1,075,413,091 Transfer of cap due to servicing transfer
12/16/2013
$
3,210,000
$
1,078,623,091 Transfer of cap due to servicing transfer
12/23/2013
$
(1,697,251)
$
1,076,925,840 Updated due to quarterly assessment and reallocation
01/16/2014
$
(100,000)
$
1,076,825,840 Transfer of cap due to servicing transfer
02/13/2014
$
32,370,000
$
1,109,195,840 Transfer of cap due to servicing transfer
03/14/2014
$
(20,000)
$
1,109,175,840 Transfer of cap due to servicing transfer
03/26/2014
$
(47,177)
$
1,109,128,663 Updated due to quarterly assessment and reallocation
04/16/2014
$
370,000
$
1,109,498,663 Transfer of cap due to servicing transfer
05/15/2014
$
41,040,000
$
1,150,538,663 Transfer of cap due to servicing transfer
12/16/2013
$
10,000
$
10,000 Transfer of cap due to servicing transfer
05/15/2014
$
10,000
$
20,000 Transfer of cap due to servicing transfer
07/14/2010
$
(44,880,000)
$
15,900,000 Updated portfolio data from servicer
09/30/2010
$
1,071,505
$
16,971,505 Updated portfolio data from servicer
01/06/2011
$
(23)
$
16,971,482 Updated due to quarterly assessment and reallocation
03/30/2011
$
(26)
$
16,971,456 Updated due to quarterly assessment and reallocation
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
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
94
08/05/2009
Oakland Municipal Credit Union
Oakland
CA
Purchase
Financial Instrument for Home Loan Modifications
$
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
09/30/2009
$
290,000
$
430,000
12/30/2009
$
210,000
$
640,000
03/26/2010
$
170,000
$
Updated portfolio data from ser icer additional program
iUpdated
iti l
portfolio data from ser icer additional program
i iti l
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)
$
09/30/2009
$
102,580,000
$
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
$
09/15/2010
$
100,000
$
09/30/2010
$
3,742,740
$
968,610,000 Transfer of cap due to servicing transfer
Updated portfolio data from servicer/additional program
968,710,000
initial cap
972,452,740 Updated portfolio data from servicer
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)
$
01/16/2013
$
410,000
$
1,865,492,506 Updated due to quarterly assessment and reallocation
1,865,902,506 Transfer of cap due to servicing transfer
02/14/2013
$
960,000
$
03/14/2013
$
83,880,000
$
03/25/2013
$
(1,877)
$
04/09/2013
$
157,237,929
$
04/16/2013
$
620,860,000
$
05/16/2013
$
18,970,000
$
06/14/2013
$
(190,000)
$
06/27/2013
$
(2,817)
$
07/16/2013
$
14,710,000
$
09/16/2013
$
66,170,000
$
09/27/2013
$
(276)
$
10/15/2013
$
267,580,000
$
11/14/2013
$
4,290,000
$
12/16/2013
$
280,370,000
$
12/23/2013
$
49,286,732
$
01/16/2014
$
51,180,000
$
01/31/2014
$
765,231,390
$
02/13/2014
$
38,900,000
$
02/27/2014
$
360,860,500
$
03/14/2014
$
25,080,000
$
03/26/2014
$
(167,651)
$
04/16/2014
$
11,980,000
$
05/15/2014
08/28/2009
OneWest Bank
Pasadena
CA
Purchase
Financial Instrument for Home Loan Modifications
$
668,440,000 N/A
$
525,269 Updated due to quarterly assessment and reallocation
10,068 Termination of SPA
553,380,000 Updated portfolio data from servicer
Updated portfolio data from ser icer additional program
655,960,000
initial capportfolio data from servicer/additional program
Updated
933,600,000
initial cap
980,460,000 Updated portfolio data from servicer
1,136,510,000 Transfer of cap due to servicing transfer
1,866,862,506 Transfer of cap due to servicing transfer
1,950,742,506 Transfer of cap due to servicing transfer
1,950,740,629 Updated due to quarterly assessment and reallocation
2,107,978,558 Transfer of cap due to servicing transfer
2,728,838,558 Transfer of cap due to servicing transfer
2,747,808,558 Transfer of cap due to servicing transfer
2,747,618,558 Transfer of cap due to servicing transfer
2,747,615,741 Updated due to quarterly assessment and reallocation
2,762,325,741 Transfer of cap due to servicing transfer
2,828,495,741 Transfer of cap due to servicing transfer
2,828,495,465 Updated due to quarterly assessment and reallocation
3,096,075,465 Transfer of cap due to servicing transfer
3,100,365,465 Transfer of cap due to servicing transfer
3,380,735,465 Transfer of cap due to servicing transfer
3,430,022,197 Updated due to quarterly assessment and reallocation
3,481,202,197 Transfer of cap due to servicing transfer
4,246,433,587 Transfer of cap due to merger/acquisition
4,285,333,587 Transfer of cap due to servicing transfer
4,646,194,086 Transfer of cap due to merger/acquisition
4,671,274,086 Transfer of cap due to servicing transfer
4,671,106,435 Updated due to quarterly assessment and reallocation
4,683,086,435 Transfer of cap due to servicing transfer
130,000
$
05/28/2014
$
284,475,088
$
10/02/2009
$
145,800,000
$
4,683,216,435 Transfer of cap due to servicing transfer
4,967,691,523 Transfer of cap due to merger/acquisition
Updated portfolio data from servicer/additional program
814,240,000
initial capportfolio data from servicer/additional program
Updated
2,170,170,000
initial cap
2,291,350,000 Updated portfolio data from servicer
12/30/2009
$
1,355,930,000
$
03/26/2010
$
121,180,000
$
07/14/2010
$
(408,850,000)
$
09/30/2010
$
5,500,000
$
09/30/2010
$
(51,741,163)
$
1,882,500,000 Updated portfolio data from servicer
Updated portfolio data from servicer/additional program
1,888,000,000
initial cap
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
95
09/11/2009
12/16/2009
ORNL Federal Credit Union
Park View Federal Savings Bank
Oak Ridge
Solon
TN
OH
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
2,070,000 N/A
760,000 N/A
6
08/25/2010
Pathfinder Bank
Oswego
NY
Purchase
Financial Instrument for Home Loan Modifications
$
1,300,000 N/A
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)
$
10/02/2009
$
460,000
$
12/30/2009
$
2,730,000
$
03/26/2010
1,516,138,915 Updated due to quarterly assessment and reallocation
Updated portfolio data from ser icer additional program
2,530,000
i iti l
Updated
portfolio data from ser icer additional program
5,260,000
i iti l
18,540,000 Updated portfolio data from servicer
$
13,280,000
$
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)
$
01/22/2010
$
40,000
$
03/26/2010
$
140,000
$
6,781,718 Updated due to quarterly assessment and reallocation
Updated portfolio data from ser icer additional program
800,000
i iti l
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
$
01/06/2011
$
(5)
$
03/30/2011
$
(6)
$
06/29/2011
$
(58)
$
06/28/2012
08/12/2009
PennyMac Loan Services, LLC
Calasbasa
CA
Purchase
Financial Instrument for Home Loan Modifications
$
6,210,000 N/A
$
(43)
$
09/27/2012
$
(119)
$
12/27/2012
$
(20)
$
03/25/2013
$
(76)
$
06/27/2013
$
(29)
$
09/27/2013
$
(10)
$
12/23/2013
$
(17,421)
$
03/26/2014
$
(612)
$
09/30/2009
$
(1,200,000)
$
12/30/2009
$
30,800,000
$
03/26/2010
$
23,200,000
$
06/16/2010
$
2,710,000
$
07/14/2010
$
(18,020,000)
$
07/16/2010
53,937 Termination of SPA
3,481,334 Updated portfolio data from servicer
3,481,329 Updated due to quarterly assessment and reallocation
3,481,323 Updated due to quarterly assessment and reallocation
3,481,265 Updated due to quarterly assessment and reallocation
3,481,222 Updated due to quarterly assessment and reallocation
3,481,103 Updated due to quarterly assessment and reallocation
3,481,083 Updated due to quarterly assessment and reallocation
3,481,007 Updated due to quarterly assessment and reallocation
3,480,978 Updated due to quarterly assessment and reallocation
3,480,968 Updated due to quarterly assessment and reallocation
3,463,547 Updated due to quarterly assessment and reallocation
3,462,935 Updated due to quarterly assessment and reallocation
Updated portfolio data from ser icer additional program
5,010,000
initial capportfolio data from ser icer additional program
Updated
35,810,000
initial cap
59,010,000 Updated portfolio data from servicer
61,720,000 Transfer of cap due to servicing transfer
43,700,000 Updated portfolio data from servicer
$
6,680,000
$
08/13/2010
$
2,600,000
$
09/15/2010
$
(100,000)
$
50,380,000 Transfer of cap due to servicing transfer
52,980,000 Transfer of cap due to servicing transfer
09/30/2010
$
200,000
$
09/30/2010
$
(1,423,197)
$
52,880,000 Transfer of cap due to servicing transfer
Updated portfolio data from ser icer additional program
53,080,000
i iti l
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
96
09/15/2011
PHH Mortgage Corporation
Mt. Laurel
NJ
Purchase
Financial Instrument for Home Loan Modifications
11/14/2013
Plaza Home Mortgage, Inc
San Diego
CA
Purchase
Financial Instrument for Home Loan Modifications
07/17/2009
PNC Bank, National Association
Pittsburgh
PA
Purchase
Financial Instrument for Home Loan Modifications
- N/A
- N/A
$
3
3
54,470,000 N/A
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
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
11/14/2013
$
10,000
$
09/30/2009
$
(36,240,000)
$
12/30/2009
$
19,280,000
$
03/26/2010
$
2,470,000
$
07/14/2010
$
(17,180,000)
$
09/30/2010
$
35,500,000
$
09/30/2010
$
23,076,191
$
01/06/2011
$
(123)
$
03/30/2011
$
(147)
$
(100,000)
$
06/29/2011
$
(1,382)
$
10/14/2011
05/13/2011
$
(300,000)
$
06/28/2012
$
(1,003)
$
09/27/2012
$
(2,745)
$
12/27/2012
$
(460)
$
03/25/2013
$
(1,740)
$
04/09/2013
$
60,000
$
06/27/2013
03/15/2012
PrimeWest Mortgage Corporation
07/29/2009
Purdue Employees Federal Credit Union West Lafayette
Lubbock
TX
Purchase
Financial Instrument for Home Loan Modifications
IN
Purchase
Financial Instrument for Home Loan Modifications
- N/A
$
1,090,000 N/A
3
(656)
$
09/27/2013
$
(234)
$
12/23/2013
$
(394,926)
$
03/26/2014
$
(13,845)
$
03/15/2012
$
100,000
$
09/30/2009
$
(60,000)
$
12/30/2009
11/18/2009
QLending, Inc.
Coral Gables
FL
Purchase
Financial Instrument for Home Loan Modifications
$
20,000 N/A
$
$
$
95,253,716 Updated due to quarterly assessment and reallocation
99,703,716 Transfer of cap due to servicing transfer
10,000 Transfer of cap due to servicing transfer
Updated portfolio data from ser icer additional program
i iti l
Updated
portfolio data from ser icer additional program
37,510,000
i iti l
39,980,000 Updated portfolio data from servicer
18,230,000
22,800,000 Updated portfolio data from servicer
Updated portfolio data from ser icer additional program
58,300,000
i iti l
81,376,191 Updated portfolio data from servicer
81,376,068 Updated due to quarterly assessment and reallocation
81,375,921 Updated due to quarterly assessment and reallocation
81,275,921 Transfer of cap due to servicing transfer
81,274,539 Updated due to quarterly assessment and reallocation
80,974,539 Transfer of cap due to servicing transfer
80,973,536 Updated due to quarterly assessment and reallocation
80,970,791 Updated due to quarterly assessment and reallocation
80,970,331 Updated due to quarterly assessment and reallocation
80,968,591 Updated due to quarterly assessment and reallocation
81,028,591 Transfer of cap due to merger/acquisition
81,027,935 Updated due to quarterly assessment and reallocation
81,027,701 Updated due to quarterly assessment and reallocation
80,632,775 Updated due to quarterly assessment and reallocation
80,618,930 Updated due to quarterly assessment and reallocation
100,000 Transfer of cap due to servicing transfer
Updated portfolio data from servicer/additional program
initial cap
Updated portfolio data from ser icer additional program
2,290,000
initial cap
4,360,000 Updated portfolio data from servicer
1,030,000
1,260,000
$
03/26/2010
$
2,070,000
$
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
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
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
97
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
$
890,000
$
$
3,840,000
$
Updated portfolio data from ser icer additional program
i iti l
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
19,850,000
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
$
(162,518)
$
32,185,625 Updated due to quarterly assessment and reallocation
6
02/27/2014
$
(31,540,186)
$
3
12/14/2012
$
10,000
$
10,000 Transfer of cap due to servicing transfer
08/15/2013
$
10,000
$
20,000 Transfer of cap due to servicing transfer
03/14/2014
$
30,000
$
50,000 Transfer of cap due to servicing transfer
05/15/2014
$
10,000
$
09/30/2010
$
45,056
$
01/06/2011
$
34,944
$
03/30/2011
$
40,000
$
06/29/2011
$
50,000
$
03/15/2012
$
(200,000)
$
06/14/2012
$
(10,000)
$
04/09/2013
$
(60,000)
09/30/2009
$
(1,860,000)
$
12/30/2009
$
27,920,000
$
03/26/2010
$
(1,390,000)
$
07/14/2010
$
(13,870,000)
$
09/30/2010
$
400,000
$
09/30/2010
$
586,954
$
30,200,000 Updated portfolio data from servicer
Updated portfolio data from ser icer additional program
30,600,000
initial cap
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
100,000 N/A
19,400,000 N/A
$
03/26/2010
12/23/2013
9
06/12/2009
01/22/2010
645,439 Termination of SPA
60,000 Transfer of cap due to servicing transfer
145,056 Updated portfolio data from servicer
180,000 Updated due to quarterly assessment and reallocation
220,000 Updated due to quarterly assessment and reallocation
270,000 Updated due to quarterly assessment and reallocation
70,000 Transfer of cap due to servicing transfer
60,000 Transfer of cap due to servicing transfer
- Termination of SPA
Updated portfolio data from servicer/additional program
initial capportfolio data from servicer/additional program
Updated
45,460,000
initial cap
44,070,000 Updated portfolio data from servicer
17,540,000
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
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
98
06/14/2012
06/17/2009
01/13/2010
08/28/2009
Resurgent Capital Solutions L.P.
RG Mortgage Corporation
Roebling Bank
RoundPoint Mortgage Servicing
Corporation
Greenville
San Juan
Roebling
Charlotte
SC
PR
NJ
NC
Purchase
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Mod fications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
- N/A
$
$
$
57,000,000 N/A
240,000 N/A
570,000 N/A
3
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
06/14/2012
$
940,000
$
940,000 Transfer of cap due to servicing transfer
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
$
09/30/2009
$
(11,300,000)
$
12/30/2009
$
(42,210,000)
$
03/26/2010
$
65,640,000
$
57,519,358 Transfer of cap due to servicing transfer
Updated portfolio data from ser icer additional program
45,700,000
i iti l
Updated
portfolio data from ser icer additional program
3,490,000
i iti l
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)
$
06/29/2011
$
(616)
$
37,040,730 Updated due to quarterly assessment and reallocation
37,040,114 Updated due to quarterly assessment and reallocation
06/28/2012
$
(462)
$
09/27/2012
$
(1,270)
$
12/27/2012
$
(214)
$
03/25/2013
$
(812)
$
06/27/2013
$
(306)
$
09/27/2013
$
(110)
$
12/23/2013
$
(185,423)
$
03/26/2014
$
(6,518)
$
03/26/2010
$
610,000
$
07/14/2010
$
50,000
$
37,039,652 Updated due to quarterly assessment and reallocation
37,038,382 Updated due to quarterly assessment and reallocation
37,038,168 Updated due to quarterly assessment and reallocation
37,037,356 Updated due to quarterly assessment and reallocation
37,037,050 Updated due to quarterly assessment and reallocation
37,036,940 Updated due to quarterly assessment and reallocation
36,851,517 Updated due to quarterly assessment and reallocation
36,844,999 Updated due to quarterly assessment and reallocation
850,000 Updated portfolio data from servicer
900,000 Updated portfolio data from servicer
09/30/2010
$
(29,666)
$
01/06/2011
$
(1)
$
03/23/2011
$
(870,333)
870,334 Updated portfolio data from servicer
870,333 Updated due to quarterly assessment and reallocation
10/02/2009
$
130,000
$
12/30/2009
$
(310,000)
$
03/26/2010
$
2,110,000
$
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
- Termination of SPA
Updated portfolio data from servicer/additional program
initial cap
Updated portfolio data from servicer/additional program
390,000
initial cap
2,500,000 Updated portfolio data from servicer
700,000
99
12/15/2011
04/13/2009
Rushmore Loan Management Services
Irvine
LLC
Saxon Mortgage Services, Inc.
Irving
CA
TX
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
- N/A
$
3
407,000,000 N/A
10
09/23/2009
Schools Financial Credit Union
Sacramento
CA
Purchase
Financial Instrument for Home Loan Modifications
$
390,000 N/A
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
$
6,319,902 Transfer of cap due to servicing transfer
05/16/2013
$
1,520,000
$
7,839,902 Transfer of cap due to servicing transfer
06/14/2013
$
2,740,000
$
10,579,902 Transfer of cap due to servicing transfer
06/27/2013
$
(53)
$
10,579,849 Updated due to quarterly assessment and reallocation
09/16/2013
$
2,570,000
$
13,149,849 Transfer of cap due to servicing transfer
09/27/2013
$
(26)
$
13,149,823 Updated due to quarterly assessment and reallocation
10/15/2013
$
10,000
$
13,159,823 Transfer of cap due to servicing transfer
11/14/2013
$
19,140,000
$
32,299,823 Transfer of cap due to servicing transfer
12/16/2013
$
1,330,000
$
33,629,823 Transfer of cap due to servicing transfer
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
$
05/15/2014
$
60,000
$
06/17/2009
$
225,040,000
$
09/30/2009
$
254,380,000
$
12/30/2009
$
355,710,000
$
03/26/2010
$
(57,720,000)
$
632,040,000 Updated portfolio data from servicer
Updated portfolio data from ser icer additional program
886,420,000
initial capportfolio data from ser icer additional program
Updated
1,242,130,000
initial cap
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
$
09/30/2010
$
9,800,000
$
909,984 Updated due to quarterly assessment and reallocation
38,067,089 Transfer of cap due to servicing transfer
38,127,089 Transfer of cap due to servicing transfer
09/30/2010
$
116,222,668
$
493,520,000 Transfer of cap due to servicing transfer
Updated portfolio data from ser icer additional program
503,320,000
i iti l
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
$
03/16/2011
$
700,000
$
630,842,112 Transfer of cap due to servicing transfer
631,542,112 Transfer of cap due to servicing transfer
03/30/2011
$
(654)
$
04/13/2011
$
2,100,000
$
06/29/2011
$
(6,144)
$
07/14/2011
$
200,000
$
08/16/2011
$
(100,000)
$
09/15/2011
$
(700,000)
$
12/15/2011
$
17,500,000
$
02/16/2012
$
(100,000)
$
03/15/2012
$
100,000
$
04/16/2012
$
(17,500,000)
$
05/16/2012
$
(760,000)
$
06/14/2012
$
(354,290,000)
$
06/28/2012
$
(1,831)
$
07/16/2012
$
(10,120,000)
$
08/16/2012
$
(10,000)
$
09/27/2012
$
(4,701)
$
10/16/2012
$
(9,220,000)
$
11/15/2012
$
(30,000)
$
12/14/2012
$
60,000
$
12/27/2012
$
(788)
$
01/16/2013
$
(610,000)
$
03/25/2013
$
(2,979)
$
04/09/2013
$
(157,237,929)
$
10/02/2009
$
90,000
$
12/30/2009
$
940,000
$
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
631,541,458 Updated due to quarterly assessment and reallocation
633,641,458 Transfer of cap due to servicing transfer
633,635,314 Updated due to quarterly assessment and reallocation
633,835,314 Transfer of cap due to servicing transfer
633,735,314 Transfer of cap due to servicing transfer
633,035,314 Transfer of cap due to servicing transfer
650,535,314 Transfer of cap due to servicing transfer
650,435,314 Transfer of cap due to servicing transfer
650,535,314 Transfer of cap due to servicing transfer
633,035,314 Transfer of cap due to servicing transfer
632,275,314 Transfer of cap due to servicing transfer
277,985,314 Transfer of cap due to servicing transfer
277,983,483 Updated due to quarterly assessment and reallocation
267,863,483 Transfer of cap due to servicing transfer
267,853,483 Transfer of cap due to servicing transfer
267,848,782 Updated due to quarterly assessment and reallocation
258,628,782 Transfer of cap due to servicing transfer
258,598,782 Transfer of cap due to servicing transfer
258,658,782 Transfer of cap due to servicing transfer
258,657,994 Updated due to quarterly assessment and reallocation
258,047,994 Transfer of cap due to servicing transfer
258,045,015 Updated due to quarterly assessment and reallocation
100,807,086 Termination of SPA
Updated portfolio data from ser icer additional program
480,000
i iti l
Updated
portfolio data from ser icer additional program
1,420,000
i iti l
440,000 Updated portfolio data from servicer
100
12/15/2010
09/25/2009
04/13/2009
Scotiabank de Puerto Rico
SEFCU
Select Portfolio Servicing, Inc.
San Juan
Albany
Salt Lake City
PR
NY
UT
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
- N/A
$
$
440,000 N/A
376,000,000 N/A
3
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
$
1,443,784 Updated due to quarterly assessment and reallocation
03/26/2014
$
(225)
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)
$
10/02/2009
$
100,000
$
12/30/2009
$
20,000
$
4,289,808 Updated due to quarterly assessment and reallocation
Updated portfolio data from servicer/additional program
540,000
initial
capportfolio data from servicer/additional program
Updated
560,000
initial cap
270,000 Updated portfolio data from servicer
03/26/2010
$
(290,000)
$
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)
06/12/2009
$
284,590,000
$
09/30/2009
$
121,910,000
$
12/30/2009
$
131,340,000
$
03/26/2010
$
(355,530,000)
$
07/14/2010
$
128,690,000
$
09/30/2010
$
4,000,000
$
09/30/2010
$
59,807,784
$
687,000,000 Updated portfolio data from servicer
Updated portfolio data from ser icer additional program
691,000,000
i iti l
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
- Termination of SPA
660,590,000 Updated portfolio data from servicer
Updated portfolio data from ser icer additional program
782,500,000
initial
capportfolio data from ser icer additional program
Updated
913,840,000
i iti l
558,310,000 Updated portfolio data from servicer
982,950,468 Transfer of cap due to servicing transfer
101
06/16/2010
08/12/2009
Selene Finance LP
Servis One, Inc., dba BSI Financial
Services, Inc.
Houston
Titusville
TX
PA
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
- N/A
$
29,730,000 N/A
3
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
06/16/2010
$
3,680,000
$
3,680,000 Transfer of cap due to servicing transfer
08/13/2010
$
3,300,000
$
6,980,000 Transfer of cap due to servicing transfer
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
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
$
03/26/2014
$
(3,125)
$
18,073,402 Transfer of cap due to servicing transfer
18,070,277 Updated due to quarterly assessment and reallocation
04/16/2014
$
30,000
$
09/30/2009
$
(25,510,000)
$
18,100,277 Transfer of cap due to servicing transfer
Updated portfolio data from servicer/additional program
4,220,000
initial cap
Updated portfolio data from ser icer additional program
4,740,000
i iti l
9,070,000 Updated portfolio data from servicer
12/30/2009
$
520,000
$
03/26/2010
$
4,330,000
$
04/19/2010
$
230,000
$
05/19/2010
$
850,000
$
07/14/2010
$
(850,000)
$
09/15/2010
$
100,000
$
09/30/2010
$
100,000
$
09/30/2010
$
16,755,064
$
9,400,000 Transfer of cap due to servicing transfer
Updated portfolio data from ser icer additional program
9,500,000
i iti l
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
9,300,000 Transfer of cap due to servicing transfer
Updated portfolio data from ser icer additional program
i iti l
9,300,000 Updated portfolio data from servicer
10,150,000
102
07/17/2009
ShoreBank
Chicago
IL
Purchase
Financial Instrument for Home Loan Modifications
$
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
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)
$
09/30/2009
$
890,000
$
12/30/2009
$
1,260,000
$
03/26/2010
$
(20,000)
$
69,552,444 Transfer of cap due to servicing transfer
Updated portfolio data from servicer/additional program
2,300,000
initial capportfolio data from servicer/additional program
Updated
3,560,000
initial cap
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
$
03/26/2010
$
1,110,000
$
346,986 Termination of SPA
Updated portfolio data from ser icer additional program
i iti l
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
$
01/06/2011
$
(2)
$
2,175,834 Updated portfolio data from servicer
2,175,832 Updated due to quarterly assessment and reallocation
03/30/2011
$
(3)
$
06/29/2011
$
(26)
$
06/28/2012
$
(21)
$
09/27/2012
$
(57)
$
12/27/2012
$
(10)
$
03/25/2013
$
(37)
$
1,970,000
2,175,829 Updated due to quarterly assessment and reallocation
2,175,803 Updated due to quarterly assessment and reallocation
2,175,782 Updated due to quarterly assessment and reallocation
2,175,725 Updated due to quarterly assessment and reallocation
2,175,715 Updated due to quarterly assessment and reallocation
2,175,678 Updated due to quarterly assessment and reallocation
06/27/2013
$
(15)
$
6
07/09/2013
$
(1,889,819)
$
3
10/15/2013
$
60,000
$
2,175,663 Updated due to quarterly assessment and reallocation
285,844 Termination of SPA
12/16/2013
$
10,000
$
01/22/2010
$
20,000
$
03/26/2010
$
1,430,000
$
70,000 Transfer of cap due to servicing transfer
Updated portfolio data from ser icer additional program
460,000
initial cap
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
60,000 Transfer of cap due to servicing transfer
- Termination of SPA
34,833,774 Transfer of cap due to servicing transfer
103
12/09/2009
Spirit of Alaska Federal Credit Union
Fairbanks
AK
Purchase
Financial Instrument for Home Loan Modifications
$
360,000 N/A
06/14/2012
$
(350,000)
$
112,223,774 Transfer of cap due to servicing transfer
06/28/2012
$
(1,058)
$
112,222,716 Updated due to quarterly assessment and reallocation
07/16/2012
$
4,430,000
$
116,652,716 Transfer of cap due to servicing transfer
08/16/2012
$
(1,280,000)
$
115,372,716 Transfer of cap due to servicing transfer
09/27/2012
$
(3,061)
$
115,369,655 Updated due to quarterly assessment and reallocation
10/16/2012
$
5,600,000
$
120,969,655 Transfer of cap due to servicing transfer
11/15/2012
$
880,000
$
121,849,655 Transfer of cap due to servicing transfer
12/14/2012
$
24,180,000
$
146,029,655 Transfer of cap due to servicing transfer
12/27/2012
$
(663)
$
146,028,992 Updated due to quarterly assessment and reallocation
01/16/2013
$
2,410,000
$
148,438,992 Transfer of cap due to servicing transfer
02/14/2013
$
6,650,000
$
155,088,992 Transfer of cap due to servicing transfer
03/14/2013
$
(1,450,000)
$
153,638,992 Transfer of cap due to servicing transfer
03/25/2013
$
(2,584)
$
153,636,408 Updated due to quarterly assessment and reallocation
04/16/2013
$
(750,000)
$
152,886,408 Transfer of cap due to servicing transfer
05/16/2013
$
(1,250,000)
$
151,636,408 Transfer of cap due to servicing transfer
06/14/2013
$
3,670,000
$
155,306,408 Transfer of cap due to servicing transfer
06/27/2013
$
(985)
$
155,305,423 Updated due to quarterly assessment and reallocation
07/16/2013
$
(3,720,000)
$
151,585,423 Transfer of cap due to servicing transfer
09/16/2013
$
(180,000)
$
151,405,423 Transfer of cap due to servicing transfer
09/27/2013
$
(346)
$
151,405,077 Updated due to quarterly assessment and reallocation
10/15/2013
$
860,000
$
152,265,077 Transfer of cap due to servicing transfer
11/14/2013
$
(410,000)
$
151,855,077 Transfer of cap due to servicing transfer
12/16/2013
$
(10,160,000)
$
141,695,077 Transfer of cap due to servicing transfer
12/23/2013
$
(381,129)
$
141,313,948 Updated due to quarterly assessment and reallocation
01/16/2014
$
8,200,000
$
149,513,948 Transfer of cap due to servicing transfer
02/13/2014
$
21,910,000
$
171,423,948 Transfer of cap due to servicing transfer
03/14/2014
$
300,000
$
171,723,948 Transfer of cap due to servicing transfer
03/26/2014
$
(10,851)
$
171,713,097 Updated due to quarterly assessment and reallocation
04/16/2014
$
4,470,000
$
176,183,097 Transfer of cap due to servicing transfer
05/15/2014
$
(28,460,000)
$
01/22/2010
$
10,000
$
147,723,097 Transfer of cap due to servicing transfer
Updated portfolio data from servicer/additional program
370,000
initial cap
03/26/2010
08/28/2009
12/15/2010
Stanford Federal Credit Union
Statebridge Company, LLC
Palo Alto
Denver
CA
CO
Purchase
Purchase
Financial Instrument for Home Loan Modifications
$
Financial Instrument for Home Loan Modifications
300,000 N/A
- N/A
3
$
850,000
$
1,220,000 Updated portfolio data from servicer
07/14/2010
$
(120,000)
$
09/30/2010
$
100,000
$
09/30/2010
$
105,500
$
1,100,000 Updated portfolio data from servicer
Updated portfolio data from ser icer additional program
1,200,000
i iti l
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
$
12/30/2009
$
2,680,000
$
03/26/2010
$
350,000
$
07/14/2010
$
(1,900,000)
$
09/30/2010
$
(1,209,889)
$
03/23/2011
$
(290,111)
12/15/2010
$
5,000,000
$
01/06/2011
$
(7)
$
02/16/2011
$
500,000
$
03/16/2011
$
100,000
$
03/30/2011
$
(9)
$
06/29/2011
$
(85)
$
11/16/2011
$
(2,500,000)
$
03/15/2012
$
200,000
$
06/28/2012
12/09/2009
Sterling Savings Bank
Spokane
WA
Purchase
Financial Instrument for Home Loan Modifications
$
2,250,000 N/A
(40)
$
09/27/2012
$
(100)
$
10/16/2012
$
$
170,000
$
11/15/2012
$
(30,000)
$
12/14/2012
$
(80,000)
$
12/27/2012
$
(17)
$
01/16/2013
$
50,000
$
02/14/2013
$
1,240,000
$
03/14/2013
$
90,000
$
03/25/2013
$
(90)
$
04/16/2013
$
(10,000)
$
06/27/2013
$
(34)
$
09/27/2013
$
(13)
$
11/14/2013
$
60,000
$
12/23/2013
$
(21,773)
$
01/16/2014
$
(20,000)
$
02/13/2014
- Termination of SPA
Updated portfolio data from ser icer additional program
iUpdated
iti l
portfolio data from ser icer additional program
i iti l
3,400,000 Updated portfolio data from servicer
370,000
3,050,000
1,500,000 Updated portfolio data from servicer
290,111 Updated portfolio data from servicer
- Termination of SPA
5,000,000 Transfer of cap due to servicing transfer
4,999,993 Updated due to quarterly assessment and reallocation
5,499,993 Transfer of cap due to servicing transfer
5,599,993 Transfer of cap due to servicing transfer
5,599,984 Updated due to quarterly assessment and reallocation
5,599,899 Updated due to quarterly assessment and reallocation
3,099,899 Transfer of cap due to servicing transfer
3,299,899 Transfer of cap due to servicing transfer
3,299,859 Updated due to quarterly assessment and reallocation
3,299,759 Updated due to quarterly assessment and reallocation
3,469,759 Transfer of cap due to servicing transfer
3,439,759 Transfer of cap due to servicing transfer
3,359,759 Transfer of cap due to servicing transfer
3,359,742 Updated due to quarterly assessment and reallocation
3,409,742 Transfer of cap due to servicing transfer
4,649,742 Transfer of cap due to servicing transfer
4,739,742 Transfer of cap due to servicing transfer
4,739,652 Updated due to quarterly assessment and reallocation
4,729,652 Transfer of cap due to servicing transfer
4,729,618 Updated due to quarterly assessment and reallocation
4,729,605 Updated due to quarterly assessment and reallocation
4,789,605 Transfer of cap due to servicing transfer
4,767,832 Updated due to quarterly assessment and reallocation
4,747,832 Transfer of cap due to servicing transfer
$
60,000
$
03/14/2014
$
(30,000)
$
03/26/2014
$
(770)
$
4,807,832 Transfer of cap due to servicing transfer
4,777,832 Transfer of cap due to servicing transfer
01/22/2010
$
100,000
$
03/26/2010
$
(740,000)
$
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
4,777,062 Updated due to quarterly assessment and reallocation
Updated portfolio data from servicer/additional program
2,350,000
initial cap
1,610,000 Updated portfolio data from servicer
104
09/30/2010
08/04/2010
Stockman Bank of Montana
Suburban Mortgage Company of New
Mexico
Miles City
Albuquerque
MT
NM
Purchase
Purchase
Financial Instrument for Home Loan Mod fications
Financial Instrument for Home Loan Modifications
$
$
100,000 N/A
880,000 N/A
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
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)
$
09/30/2010
$
1,585,945
$
2,465,945 Updated portfolio data from servicer
144,811 Updated due to quarterly assessment and reallocation
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)
- 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
$
12/30/2009
$
2,180,000
$
03/26/2010
$
(720,000)
$
449,291 Transfer of cap due to servicing transfer
Updated portfolio data from ser icer additional program
i iti l
1,530,000 Updated portfolio data from servicer
07/14/2010
$
(430,000)
$
1,100,000 Updated portfo io 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)
$
06/28/2012
$
(9)
$
1,160,431 Updated due to quarterly assessment and reallocation
1,160,422 Updated due to quarterly assessment and reallocation
09/27/2012
$
(23)
$
12/27/2012
$
(4)
$
03/25/2013
$
(13)
$
06/27/2013
$
(5)
$
09/27/2013
$
(2)
$
12/23/2013
$
(2,729)
$
03/26/2014
$
(101)
$
03/26/2010
$
(20,000)
$
07/14/2010
$
10,000
$
09/30/2010
$
45,056
$
12/08/2010
$
(145,056)
04/21/2010
$
(150,000)
06/16/2011
$
100,000
$
01/22/2010
$
290,000
$
03/26/2010
$
40,000
$
06/26/2009
12/23/2009
Technology Credit Union
Tempe Schools Credit Union
San Jose
Tempe
CA
AZ
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
70,000 N/A
110,000 N/A
12/11/2009
The Bryn Mawr Trust Co.
Bryn Mawr
PA
Purchase
Financial Instrument for Home Loan Modifications
$
150,000 N/A
12/09/2009
The Golden 1 Credit Union
Sacramento
CA
Purchase
Financial Instrument for Home Loan Modifications
$
6,160,000 N/A
3
$
(2,890,000)
$
09/30/2010
$
606,612
$
01/06/2011
07/14/2010
$
(4)
$
03/30/2011
$
(4)
$
06/29/2011
$
(35)
$
06/28/2012
$
(9)
$
09/27/2012
$
(14)
$
12/27/2012
$
(2)
$
03/25/2013
09/09/2009
U.S. Bank National Association
Owensboro
KY
Purchase
Financial Instrument for Home Loan Modifications
$
114,220,000 N/A
(8)
$
06/27/2013
$
(4)
$
09/27/2013
$
$
(1)
$
12/23/2013
$
(2,412)
$
2,250,000
1,160,399 Updated due to quarterly assessment and reallocation
1,160,395 Updated due to quarterly assessment and reallocation
1,160,382 Updated due to quarterly assessment and reallocation
1,160,377 Updated due to quarterly assessment and reallocation
1,160,375 Updated due to quarterly assessment and reallocation
1,157,646 Updated due to quarterly assessment and reallocation
1,157,545 Updated due to quarterly assessment and reallocation
90,000 Updated portfolio data from servicer
100,000 Updated portfolio data from servicer
145,056 Updated portfolio data from servicer
- Termination of SPA
- Termination of SPA
100,000 Transfer of cap due to servicing transfer
Updated portfolio data from ser icer additional program
6,450,000
initial cap
6,490,000 Updated portfolio data from servicer
3,600,000 Updated portfolio data from servicer
4,206,612 Updated portfolio data from servicer
4,206,608 Updated due to quarterly assessment and reallocation
4,206,604 Updated due to quarterly assessment and reallocation
4,206,569 Updated due to quarterly assessment and reallocation
4,206,560 Updated due to quarterly assessment and reallocation
4,206,546 Updated due to quarterly assessment and reallocation
4,206,544 Updated due to quarterly assessment and reallocation
4,206,536 Updated due to quarterly assessment and reallocation
4,206,532 Updated due to quarterly assessment and reallocation
4,206,531 Updated due to quarterly assessment and reallocation
4,204,119 Updated due to quarterly assessment and reallocation
4,204,035 Updated due to quarterly assessment and reallocation
Updated portfolio data from ser icer additional program
initial capportfolio data from servicer/additional program
Updated
03/26/2014
$
(84)
$
10/02/2009
$
24,920,000
$
139,140,000
12/30/2009
$
49,410,000
$
188,550,000
03/26/2010
$
41,830,000
$
initial cap
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
105
01/29/2010
10/21/2009
09/30/2010
04/13/2011
United Bank
United Bank Mortgage Corporation
University First Federal Credit Union
Urban Partnership Bank
03/03/2010
Urban Trust Bank
09/02/2009
Vantium Capital, Inc.dba Acqura Loan
Services
Griffin
Grand Rapids
Salt Lake City
Chicago
Lake Mary
Plano
GA
MI
UT
IL
FL
TX
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
540,000 N/A
410,000 N/A
600,000 N/A
- N/A
$
$
3
1,060,000 N/A
6,000,000 N/A
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
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)
$
01/22/2010
$
20,000
$
03/26/2010
$
400,000
$
721,876 Updated due to quarterly assessment and reallocation
Updated portfolio data from ser icer additional program
430,000
initial cap
830,000 Updated portfolio data from servicer
07/14/2010
$
(430,000)
$
400,000 Updated portfo io data from servicer
09/30/2010
$
180,222
$
580,222 Updated portfo io 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)
$
03/26/2014
$
(52)
$
578,717 Updated due to quarterly assessment and reallocation
578,665 Updated due to quarterly assessment and reallocation
09/30/2010
$
270,334
$
870,334 Updated portfo io data from servicer
01/06/2011
$
(1)
$
02/17/2011
$
(870,333)
870,333 Updated due to quarterly assessment and reallocation
- Termination of SPA
04/13/2011
$
1,000,000
$
06/29/2011
$
233,268
$
11/16/2011
$
100,000
$
1,000,000 Transfer of cap due to servicing transfer
1,233,268 Updated due to quarterly assessment and reallocation
1,333,268 Transfer of cap due to servicing transfer
06/28/2012
$
(3)
$
09/27/2012
$
(10)
$
12/27/2012
$
(2)
$
03/25/2013
$
(7)
$
06/27/2013
$
(3)
$
09/27/2013
$
(1)
$
12/23/2013
$
$
1,331,498 Updated due to quarterly assessment and reallocation
03/26/2014
$
(62)
$
07/14/2010
$
4,440,000
$
(5,500,000)
1,331,436 Updated due to quarterly assessment and reallocation
5,500,000 Updated portfolio data from servicer
- Termination of SPA
(1,744)
1,333,265 Updated due to quarterly assessment and reallocation
1,333,255 Updated due to quarterly assessment and reallocation
1,333,253 Updated due to quarterly assessment and reallocation
1,333,246 Updated due to quarterly assessment and reallocation
1,333,243 Updated due to quarterly assessment and reallocation
1,333,242 Updated due to quarterly assessment and reallocation
09/24/2010
$
3
12/16/2013
$
40,000
$
4
10/02/2009
$
1,310,000
$
12/30/2009
$
(3,390,000)
$
03/26/2010
$
410,000
$
40,000 Transfer of cap due to servicing transfer
Updated portfolio data from servicer/additional program
initial cap
Updated portfolio data from servicer/additional program
3,920,000
initial cap
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
$
8,417,764 Updated portfolio data from servicer
11/16/2010
$
800,000
$
9,217,764 Transfer of cap due to servicing transfer
12/15/2010
$
2,700,000
$
11,917,764 Transfer of cap due to servicing transfer
01/06/2011
$
(17)
$
11,917,747 Updated due to quarterly assessment and reallocation
01/13/2011
$
700,000
$
12,617,747 Transfer of cap due to servicing transfer
02/16/2011
$
1,800,000
$
14,417,747 Transfer of cap due to servicing transfer
03/30/2011
$
(19)
$
14,417,728 Updated due to quarterly assessment and reallocation
04/13/2011
$
300,000
$
14,717,728 Transfer of cap due to servicing transfer
06/29/2011
$
(189)
$
14,717,539 Updated due to quarterly assessment and reallocation
08/16/2011
$
300,000
$
15,017,539 Transfer of cap due to servicing transfer
09/15/2011
$
100,000
$
15,117,539 Transfer of cap due to servicing transfer
10/14/2011
$
100,000
$
15,217,539 Transfer of cap due to servicing transfer
06/28/2012
$
(147)
$
15,217,392 Updated due to quarterly assessment and reallocation
07/16/2012
$
(10,000)
$
15,207,392 Transfer of cap due to servicing transfer
09/27/2012
$
(413)
$
15,206,979 Updated due to quarterly assessment and reallocation
11/15/2012
$
(40,000)
$
15,166,979 Transfer of cap due to servicing transfer
12/27/2012
$
(71)
$
15,166,908 Updated due to quarterly assessment and reallocation
02/14/2013
$
(770,000)
$
14,396,908 Transfer of cap due to servicing transfer
7,310,000
106
12/11/2009
05/16/2013
03/10/2010
07/29/2009
07/01/2009
Verity Credit Union
ViewPoint Bank
VIST Financial Corp
Wachovia Bank, N.A.
Wachovia Mortgage, FSB
Seattle
Plano
Wyomissing
Charlotte
Des Moines
WA
TX
PA
NC
IA
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
600,000 N/A
- N/A
$
$
$
3
300,000 N/A
85,020,000 N/A
634,010,000 N/A
2
04/14/2010
Wealthbridge Mortgage Corp
Beaverton
OR
Purchase
Financial Instrument for Home Loan Modifications
$
6,550,000 N/A
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)
$
01/22/2010
$
30,000
$
13,217,263 Transfer of cap due to servicing transfer
Updated portfolio data from servicer/additional program
630,000
initial cap
1,030,000 Updated portfolio data from servicer
03/26/2010
$
400,000
$
07/14/2010
$
(330,000)
$
700,000 Updated portfolio data from servicer
09/30/2010
$
25,278
$
725,278 Updated portfo io 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
$
50,000 Transfer of cap due to servicing transfer
12/16/2013
$
10,000
$
60,000 Transfer of cap due to servicing transfer
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)
$
09/27/2013
$
(2)
$
725,212 Updated due to quarterly assessment and reallocation
725,210 Updated due to quarterly assessment and reallocation
12/23/2013
$
(3,221)
$
03/26/2014
$
(113)
$
04/23/2014
$
(721,876)
09/30/2009
$
(37,700,000)
$
Des Moines
IA
Purchase
Financial Instrument for Home Loan Modifications
$
2,873,000,000 N/A
- Termination of SPA
Updated portfolio data from servicer/additional program
initial capportfolio data from servicer/additional program
Updated
73,480,000
initial cap
83,300,000 Updated portfolio data from servicer
47,320,000
12/30/2009
$
26,160,000
$
$
9,820,000
$
07/14/2010
$
(46,200,000)
$
09/30/2010
$
(28,686,775)
$
12/03/2010
$
09/30/2009
$
723,880,000
$
1,357,890,000
12/30/2009
$
692,640,000
$
2,050,530,000
02/17/2010
$
(2,050,236,344)
$
03/12/2010
$
(54,767)
$
07/14/2010
$
(150,000)
$
09/15/2010
$
1,600,000
$
09/30/2010
$
(4,352,173)
$
01/06/2011
$
(5)
$
(8,413,225)
$
(6)
$
04/13/2011
$
(3,000,000)
$
06/29/2011
$
(9)
$
06/28/2012
$
(7)
$
09/27/2012
$
(19)
$
12/27/2012
$
(3)
$
$
03/25/2013
Wells Fargo Bank, NA
721,989 Updated due to quarterly assessment and reallocation
721,876 Updated due to quarterly assessment and reallocation
03/26/2010
03/30/2011
04/13/2009
- Termination of SPA
37,100,000 Updated portfolio data from servicer
8,413,225 Updated portfolio data from servicer
- Termination of SPA
Updated portfolio data from servicer/additional program
initial
capportfolio data from servicer/additional program
Updated
initial cap
293,656 Transfer of cap due to merger/acquisition
238,890 Termination of SPA
6,400,000 Updated portfolio data from servicer
8,000,000 Transfer of cap due to servicing transfer
3,647,827 Updated portfolio data from servicer
3,647,822 Updated due to quarterly assessment and reallocation
3,647,816 Updated due to quarterly assessment and reallocation
647,816 Transfer of cap due to servicing transfer
647,807 Updated due to quarterly assessment and reallocation
647,800 Updated due to quarterly assessment and reallocation
647,781 Updated due to quarterly assessment and reallocation
647,778 Updated due to quarterly assessment and reallocation
(12)
$
06/27/2013
$
(5)
$
09/27/2013
$
(2)
647,766 Updated due to quarterly assessment and reallocation
647,761 Updated due to quarterly assessment and reallocation
$
12/23/2013
$
(2,822)
$
02/27/2014
$
(644,937)
06/17/2009
$
(462,990,000)
$
09/30/2009
$
65,070,000
$
12/30/2009
$
1,213,310,000
$
02/17/2010
$
2,050,236,344
$
03/12/2010
$
54,767
$
03/19/2010
$
668,108,890
$
03/26/2010
$
683,130,000
$
07/14/2010
$
(2,038,220,000)
$
09/30/2010
$
(287,348,828)
$
09/30/2010
$
344,000,000
$
12/03/2010
$
8,413,225
$
5,051,700,000 Updated portfolio data from servicer
4,764,351,172 Updated portfolio data from servicer
Updated portfolio data from ser icer additional program
5,108,351,172
initial cap
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
647,759 Updated due to quarterly assessment and reallocation
644,937 Updated due to quarterly assessment and reallocation
- Termination of SPA
2,410,010,000 Updated portfolio data from servicer
Updated portfolio data from servicer/additional program
2,475,080,000
initial capportfolio data from servicer/additional program
Updated
3,688,390,000
initial cap
5,738,626,344 Transfer of cap due to merger/acquisition
5,738,681,110 Transfer of cap due to merger/acquisition
Updated portfolio data from servicer/additional program
6,406,790,000
initial cap
7,089,920,000 Updated portfolio data from servicer
107
06/19/2009
04/13/2011
09/30/2010
04/20/2009
Wescom Central Credit Union
Western Federal Credit Union
Weststar Mortgage, Inc.
Wilshire Credit Corporation
Anaheim
Hawthorne
Woodbridge
Beaverton
CA
CA
VA
OR
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
540,000 N/A
- N/A
$
$
100,000 N/A
366,000,000 N/A
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)
$
10/15/2013
$
(780,000)
$
5,092,170,626 Updated due to quarterly assessment and reallocation
5,091,390,626 Transfer of cap due to servicing transfer
11/14/2013
$
(60,000)
$
12/16/2013
$
(860,000)
$
12/23/2013
$
(10,569,304)
$
01/16/2014
$
(1,990,000)
$
02/13/2014
$
(170,000)
$
03/14/2014
$
(80,000)
$
03/26/2014
$
(358,566)
$
04/16/2014
$
(4,560,000)
$
05/15/2014
$
(560,000)
$
09/30/2009
$
330,000
$
12/30/2009
$
16,490,000
$
03/26/2010
$
(14,260,000)
$
07/14/2010
$
(1,800,000)
$
07/30/2010
$
1,500,000
$
09/30/2010
$
1,551,668
$
01/06/2011
$
(2)
$
03/30/2011
$
(2)
$
05/13/2011
$
(1,800,000)
$
6
06/03/2011
$
(1,872,787)
$
3
06/14/2012
$
990,000
$
09/27/2012
$
372,177
$
12/23/2013
$
(192)
$
03/26/2014
$
(8)
$
04/13/2011
$
200,000
$
06/29/2011
$
17,687
$
09/27/2012
$
(1)
$
03/25/2013
$
(1)
$
12/23/2013
$
(290)
$
03/26/2014
$
(10)
$
09/30/2010
$
45,056
$
06/29/2011
$
(1)
$
06/28/2012
$
(1)
$
09/27/2012
$
(2)
$
03/25/2013
$
(1)
$
12/23/2013
$
(232)
$
03/26/2014
$
(8)
$
06/12/2009
$
87,130,000
$
09/30/2009
$
(249,670,000)
$
12/30/2009
$
119,700,000
$
03/26/2010
$
52,270,000
$
3
5,091,330,626 Transfer of cap due to servicing transfer
5,090,470,626 Transfer of cap due to servicing transfer
5,079,901,322 Updated due to quarterly assessment and reallocation
5,077,911,322 Transfer of cap due to servicing transfer
5,077,741,322 Transfer of cap due to servicing transfer
5,077,661,322 Transfer of cap due to servicing transfer
5,077,302,756 Updated due to quarterly assessment and reallocation
5,072,742,756 Transfer of cap due to servicing transfer
5,072,182,756 Transfer of cap due to servicing transfer
Updated portfolio data from ser icer additional program
870,000
initial capportfolio data from ser icer additional program
Updated
17,360,000
initial cap
3,100,000 Updated portfolio data from servicer
1,300,000 Updated portfolio data from servicer
2,800,000 Updated portfolio data from servicer
4,351,668 Updated portfolio data from servicer
4,351,666 Updated due to quarterly assessment and reallocation
4,351,664 Updated due to quarterly assessment and reallocation
2,551,664 Transfer of cap due to servicing transfer
678,877 Termination of SPA
1,668,877 Transfer of cap due to servicing transfer
2,041,054 Updated due to quarterly assessment and reallocation
2,040,862 Updated due to quarterly assessment and reallocation
2,040,854 Updated due to quarterly assessment and reallocation
200,000 Transfer of cap due to servicing transfer
217,687 Updated due to quarterly assessment and reallocation
217,686 Updated due to quarterly assessment and reallocation
217,685 Updated due to quarterly assessment and reallocation
217,395 Updated due to quarterly assessment and reallocation
217,385 Updated due to quarterly assessment and reallocation
145,056 Updated portfolio data from servicer
145,055 Updated due to quarterly assessment and reallocation
145,054 Updated due to quarterly assessment and reallocation
145,052 Updated due to quarterly assessment and reallocation
145,051 Updated due to quarterly assessment and reallocation
144,819 Updated due to quarterly assessment and reallocation
144,811 Updated due to quarterly assessment and reallocation
453,130,000 Updated portfolio data from servicer
Updated portfolio data from ser icer additional program
203,460,000
initial
capportfolio data from ser icer additional program
Updated
323,160,000
i iti l
375,430,000 Updated portfolio data from servicer
108
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
$
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)
$
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
$
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
95,990,000 Transfer of cap due to servicing transfer
1,657,394 Termination of SPA
Updated portfolio data from ser icer additional program
300,000
initial capportfolio data from servicer/additional program
Updated
650,000
initial cap
2,010,000 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
Total CAP Adjustments
Total CAP
96,090,000 Transfer of cap due to servicing transfer
$
5,999,886,867
$
29,831,456,867
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 a l 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.
* The Cap of Incentive Payments represents the potential total amount allocated to each servicer and includes the maximum amount allotted for all payments on behalf
of borrowers and payments to servicers and lenders/investors. The Cap is subject to adjustment based on the total amount allocated to the program and individual
servicer usage for borrower modifications. Each adjustment to the Cap is reflected under Adjustment Details.
109
Florida Community Bank, NA
Franklin Credit Management Corporation
Franklin Savings
Fresno County Federal Credit Union
Glass City Federal Credit Union
GMAC Mortgage, LLC
Great Lakes Credit Union
Greater Nevada Mortgage Services
Green Tree Servicing LLC
Gregory Funding, LLC
Guaranty Bank
Heartland Bank & Trust Company
Hillsdale County National Bank
Home Loan Services, Inc.
Home Servicing, LLC
HomEqServicing
HomeStar Bank and Financial Services
Homeward Residential, Inc.
Horicon Bank
Iberiabank
IBM Southeast Employees' Federal Credit Union
IC Federal Credit Union
Idaho Housing and Finance Association
James B.Nutter and Company
JPMorgan Chase Bank, NA
Kondaur Capital Corporation
Lake City Bank
Lake National Bank
Litton Loan Servicing, LP
Los Alamos National Bank
M&T Bank
Marix Servicing LLC
Marsh Associates, Inc.
Midland Mortgage Co.
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
3,750.00
342,387.70
1,750.00
3,833.34
4,000.00
61,076,466.45
11,833.34
85,345.16
4,236,939.19
85,059.95
916.67
35,718.62
169,857.80
7,867.05
1,916.66
51,759,481.72
8,265.13
9,000.00
24,333.34
23,077.89
11,047.18
314,348,624.04
9,878.50
3,000.00
13,441,220.42
37,697.50
147,718.09
352,195.77
9,687.97
7,585,086.27
$
$
$
$
$
$
$
$
$
$
2,946.59
656,250.73
3,864.59
13,204.31
2,473.84
148,289,669.84
19,462.12
172,662.40
29,179,111.91
189,504.88
$
$
$
$
$
$
$
$
$
$
$
$
1,701.00
44,885.78
2,440,767.73
18,013.90
3,036,319.34
5,572.90
133,893,684.23
20,457.60
10,502.00
23,589.08
47,520.01
27,910.38
$
$
$
$
$
$
$
$
848,606,369.93
242.21
10,066.17
3,651.45
35,353,125.99
42,249.04
1,332.31
970,196.74
$
1,663,871.32
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
4,000.00
743,023.67
4,000.00
7,916.67
6,000.00
94,924,808.94
15,100.00
112,018.91
9,432,985.83
84,552.48
1,000.00
57,400.46
3,698,606.99
8,783.72
5,272,500.00
5,833.34
94,837,607.23
12,169.53
15,000.00
16,000.00
37,200.00
32,025.20
12,323.00
412,546,232.25
1,200.00
22,196.44
4,000.00
27,530,413.93
56,277.67
149,065.23
839,632.77
10,649.38
8,823,528.42
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
10,696.59
1,741,662.10
9,614.59
24,954.32
12,473.84
304,290,945.23
46,395.46
370,026.47
42,849,036.93
359,117.31
1,916.67
1,701.00
138,004.86
6,309,232.52
34,664.67
8,308,819.34
13,322.90
280,490,773.18
40,892.26
25,502.00
48,589.08
109,053.35
83,013.47
23,370.18
1,575,501,226.22
1,442.21
42,141.11
10,651.45
76,324,760.34
136,224.21
298,115.63
2,162,025.28
20,337.35
18,072,486.01
111
Midwest Community Bank
Mission Federal Credit Union
MorEquity, Inc.
Mortgage Center LLC
National City Bank
Nationstar Mortgage LLC
Navy Federal Credit Union
New York Community Bank
Oakland Municipal Credit Union
Ocwen Loan Servicing, LLC
OneWest Bank
ORNL Federal Credit Union
Park View Federal Savings Bank
Pathfinder Bank
PennyMac Loan Services, LLC
PHH Mortgage Corporation
Plaza Home Mortgage, Inc
PNC Bank, National Association
Purdue Employees 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
Servis One, Inc., dba BSI Financial Services, Inc.
ShoreBank
Silver State Schools Credit Union
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
1,000.00
79,843.06
345,841.21
187,729.70
4,173,120.35
55,025,659.82
731,845.01
13,344.17
190,514,335.38
62,123,777.12
19,940.57
11,000.00
6,417.47
7,197,675.06
41,729.32
4,000.00
172,229.31
3,000.00
133,393.34
1,000.00
2,398,607.53
514,829.41
164,852.94
288,203.10
1,368,306.71
19,655,074.77
26,666.70
515,948.87
92,174,037.56
87,504.47
1,658,151.55
49,915.10
40,355.90
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
1,817.60
202,028.03
2,305,003.00
299,012.24
11,515,767.00
141,178,520.55
1,791,889.09
34,310.37
3,568.11
657,480,663.48
209,504,918.51
34,893.00
23,936.55
9,151.70
20,517,575.58
62,772.22
1,071,929.96
2,385.72
332,061.47
6,448,886.66
1,177,754.07
227,582.28
691,375.43
3,373,436.75
41,738,413.24
62,158.99
710,619.52
184,416,374.60
235,114.70
3,097,547.35
153,906.17
176,298.89
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2,000.00
114,026.39
1,977,320.74
316,139.34
6,371,390.56
75,716,427.35
1,341,296.36
22,003.56
6,500.00
264,076,759.39
86,464,862.86
45,872.86
19,000.00
14,506.84
9,264,610.94
45,510.26
3,000.00
533,000.00
4,000.00
179,984.09
1,000.00
3,203,031.26
598,961.50
401,333.81
521,522.95
802,188.93
39,413,598.23
38,500.00
418,008.60
120,946,034.49
105,599.67
1,435,093.40
143,165.10
69,189.24
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
4,817.60
395,897.48
4,628,164.95
802,881.28
22,060,277.91
271,920,607.72
3,865,030.46
69,658.10
10,068.11
1,112,071,758.25
358,093,558.49
100,706.43
53,936.55
30,076.01
36,979,861.58
150,011.80
7,000.00
1,777,159.27
9,385.72
645,438.90
2,000.00
12,050,525.45
2,291,544.98
793,769.03
1,501,101.48
5,543,932.39
100,807,086.24
127,325.69
1,644,576.99
397,536,446.65
428,218.84
6,190,792.30
346,986.37
285,844.03
112
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
Urban Trust Bank
Vantium Capital, Inc. d/b/a Acqura Loan Services
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
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2,535.78
9,807,923.07
26,521.29
204,194.45
34,166.67
59,000.00
11,196.51
365,384.20
14,666,027.17
2,916.67
44,753.63
158,497.56
(5,000.00)
240,971.70
264,666,191.89
262,032.94
19,333.34
29,522.98
1,653,393,940.66
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
17,411,844.09
97,621.31
432,293.71
1,395.52
203,640.37
15,295.57
1,063,743.07
33,545,892.88
2,651.90
80,699.47
327,797.90
(15,228.50)
489,045.63
1,038.94
76,889.58
684,225,648.00
776,749.47
51,701.75
490,394.10
32,814.98
4,320,447,736.57
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2,745.78
13,582,659.54
30,901.80
328,483.38
20,516.67
76,816.67
8,435.80
579,544.71
23,568,793.28
6,600.00
61,706.85
135,918.87
(8,500.00)
392,135.86
162,000.00
372,009,333.93
312,225.08
22,916.67
1,167,000.00
48,372.98
2,308,045,905.65
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
5,281.56
40,802,426.70
155,044.40
964,971.54
56,078.86
339,457.04
34,927.88
2,008,671.98
71,780,713.33
12,168.57
187,159.95
622,214.33
(28,728.50)
1,122,153.19
1,038.94
238,889.58
1,320,901,173.82
1,351,007.49
93,951.76
1,657,394.10
110,710.94
8,281,887,582.88
113
Housing Finance Agency Innovation Fund for the Hardest Hit Housing Markets
Hardest Hit Funds (HHF) Program
Seller
Note
Date
Name of Institution
6/23/2010 Nevada Affordable Housing Assistance Corporation
2
9/23/2010
3
9/29/2010
6/23/2010 CalHFA Mortgage Assistance Corporation
2
9/23/2010
3
9/29/2010
2
9/23/2010
3
9/29/2010
6/23/2010 Florida Housing Finance Corporation
6/23/2010 Arizona (Home) Foreclosure Prevention Funding Corporation
3
City
Reno
Sacramento
Tallahassee
Phoenix
State
Transaction
Type
NV
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
CA
FL
AZ
9/29/2010
6/23/2010 Michigan Homeowner Assistance Nonprofit Housing Corporation
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
$
$
$
102 800 000
-
$
34 056 581
-
$
57 169 659
699 600 000
-
-
$
476 257 070
-
$
799 477 026
-
$
238 864 755
-
$
400 974 381
418 000 000
-
125 100 000
-
$
142 666 006
Purchase
Financial Instrument for HHF Program
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
128 461 559
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
215 644 179
Financial Instrument for HHF Program
2
9/23/2010
9/29/2010
8/3/2010
2
9/23/2010
3
9/29/2010
8/3/2010
North Carolina Housing Finance Agency
Raleigh
NC
Purchase
Purchase
Financial Instrument for HHF Program
Ohio Homeowner Assistance LLC
Columbus
OH
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Oregon Affordable Housing Assistance Corporation
Salem
OR
Purchase
$
Investment Amount
Additional
1
Investment Amount
$
194,026,240
-
2
3
MI
Purchase
Purchase
Initial Investment
Amount
$
3
8/3/2010
Lansing
Investment Description
$
159 000 000
$
172 000 000
$
88 000 000
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
154 500 000
-
-
-
$
120 874 221
-
$
202 907 565
-
-
$
148 728 864
-
$
249 666 235
-
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
8/3/2010
Rhode Island Housing and Mortgage Finance Corporation
Providence
RI
$
43 000 000
-
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
13 570 770
3
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
22 780 803
Financial Instrument for HHF Program
8/3/2010
2
9/23/2010
3
9/29/2010
SC Housing Corp
9/23/2010 Alabama Housing Finance Author ty
3
Financial Instrument for HHF Program
AL
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Frankfort
KY
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Purchase
Jackson
MS
3
9/29/2010
3
9/29/2010
9/23/2010 Illinois Housing Development Authority
9/23/2010 New Jersey Housing and Mortgage Finance Agency
GA
Purchase
Purchase
Financial Instrument for HHF Program
Indianapolis
IN
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Chicago
IL
Purchase
Purchase
Financial Instrument for HHF Program
Trenton
NJ
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
9/29/2010
9/23/2010 District of Columbia Housing Finance Agency
3
9/29/2010
3
9/23/2010 Tennessee Housing Development Agency
9/29/2010
Washington
Nashville
DC
TN
$
138 000 000
$
60 672 471
$
55 588 050
Financial Instrument for HHF Program
Atlanta
9/29/2010
9/23/2010 Indiana Housing and Community Development Authority
3
Purchase
Montgomery
9/29/2010
9/23/2010 GHFA Affordable Housing, Inc.
3
Purchase
9/29/2010
9/23/2010 Mississippi Home Corporation
3
SC
9/29/2010
9/23/2010 Kentucky Housing Corporation
3
Columbia
Financial Instrument for HHF Program
-
$
58 772 347
-
$
98 659 200
$
$
126 650 987
$
82 762 859
$
166 352 726
$
112 200 637
-
$
$
93 313 825
$
63 851 373
$
81 128 260
-
N/A
1,975,334,096
$
138 931 280
$
279 250 831
$
188 347 507
$
12 970 520
$
136 187 333
-
TOTAL INVESTMENT AMOUNT
N/A
N/A
N/A
$
1,057,839,136
$
267,766,006
N/A
N/A
N/A
N/A
N/A
$
498,605,738
N/A
N/A
N/A
$
482,781,786
N/A
$
570,395,099
N/A
$
220,042,786
$
79,351,573
N/A
$
295,431,547
N/A
$
162,521,345
$
148,901,875
$
101,888,323
$
339,255,819
$
221,694,139
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
212 604 832
-
N/A
N/A
$
101 848 874
-
7,726,678
-
$
-
38 036 950
-
$
-
Pricing
Mechanism
N/A
N/A
N/A
N/A
$
445,603,557
N/A
$
300,548,144
N/A
N/A
N/A
$
20,697,198
$
217,315,593
$
7 600 000 000
N/A
N/A
N/A
N/A
1/ The purchase will be incrementa ly funded up to the investment amoun
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.
114
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
N/A
N/A
(7,092,000,000)
TOTAL INVESTMENT AMOUNT
Pricing Mechanism
$
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.
115
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Projected Costs and Liabilities [Section 105(a)(3)(E)]
For Period Ending May 31, 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.
116
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Programmatic Operating Expenses [Section 105(a)(3)(F)]
For Period Ending May 31, 2014
Type of Expense
Amount
Compensation for financial agents
and legal firms
$1,051,749,412
117
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Description of Vehicles Established [Section 105(a)(3)(H)]
For Period Ending May 31, 2014
Date
Vehicle
Description
None
118
HAMP Application Activity by Servicer 1
As of April 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
Midland Mortgage Co.
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
10,338
25
2,223
2,087
497
13
2,907
8,876
2,215
8,355
195
37,550
381
8
516
31
904
255
6,293
2,798
1,732
8,919
97,118
Activity in April 2014
# Requests
# Requests
Processed 3
Approved 4
11,358
1,130
26
17
1,589
408
1,714
170
534
65
584
518
1,966
712
3,178
843
2,383
275
6,872
1,401
227
58
31,538
2,852
439
65
8
486
189
78
2
914
97
294
25
4,264
1,536
2,641
513
2,970
199
9,516
1,518
83,579
12,593
# Requests
Denied 5
10,228
9
1,181
1,544
469
66
1,254
2,335
2,108
5,471
169
28,686
374
8
297
76
817
269
2,728
2,128
2,771
7,998
70,986
# Requests
Received 2
1,396,450
9,763
37,577
77,470
28,231
527,538
94,265
1,553,062
114,926
421,245
11,114
1,473,838
382,969
576
19,309
889
40,203
17,710
187,143
53,489
125,039
1,397,328
170,842
8,140,976
Program-to-Date
# Requests
# Requests
Processed 3
Approved 4
1,369,790
589,751
9,552
4,709
34,551
11,497
75,872
24,237
27,329
5,979
519,518
226,033
89,982
35,879
1,526,151
440,812
112,969
10,197
398,950
86,261
10,659
2,051
1,413,348
216,352
382,223
102,417
576
53
18,558
5,349
751
41
40,130
27,626
17,500
2,028
153,365
94,510
49,963
7,998
117,386
43,381
1,377,422
418,867
170,842
106,111
7,917,387
2,462,139
# Requests
Denied 5
780,039
4,843
23,054
51,635
21,350
293,485
54,103
1,085,339
102,772
312,689
8,608
1,196,996
279,806
523
13,209
710
12,504
15,472
58,855
41,965
74,005
958,555
64,731
5,455,248
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.
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.
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