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MONTHLY REPORT TO CONGRESS
JANUARY 2014
February 10, 2014
Troubled Asset Relief Program
U.S. Department of the Treasury
T ABLE OF CONTENTS
Highlights in January ............................................................................................................................................................................ 1
Bank Support Programs Update .......................................................................................................................................................... 2
Capital Purchase Program................................................................................................................................................................ 2
Automotive Industry Financing Program............................................................................................................................................... 5
Ally ................................................................................................................................................................................................... 5
Housing Programs ............................................................................................................................................................................... 6
Making Home Affordable .................................................................................................................................................................. 6
Hardest Hit Fund .............................................................................................................................................................................. 7
Lifetime Costs .................................................................................................................................................................................... 10
Treasury Estimates of the Impact of TARP Programs and AIG Investments on the Federal Budget ............................................... 12
Appendix Table of Contents ............................................................................................................................................................... 14
HIGHLIGHTS IN JANUARY
As of January 31, 2014, a total of $422.6 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 $435.9 billion.
On January 23, Treasury sold 410,000 shares of Ally Financial, Inc.
common stock in a private offering for total gross proceeds of $3.0
billion. To date, Treasury has recovered approximately $15.3 billion, or
89 percent of the $17.2 billion investment provided to Ally during the
financial crisis.
On January 31, Treasury announced that it had priced an auction
for its preferred stock in six institutions for expected gross
proceeds of $20.6 million. The sales are expected to close on
February 10. Details of and final proceeds from the auction will be
included in the February Monthly Report to Congress (to be
released on March 10, 2014).
Disposition of TARP Funds as of January 31, 2014
Obligated
Principal
Total Cash
Disbursed Repayments Outstanding
Back
500
billion
dollars
400
300
200
100
0
Housing
Credit
Banks
Autos
AIG
Non TARP AIG Cash Back
1
B ANK SUPPORT PROGRAMS UPDATE
CAPITAL PURCHASE PROGRAM
Treasury created the Capital Purchase Program (CPP) in October 2008 to help stabilize the financial system by providing capital to
viable banking institutions of all sizes throughout the nation. The CPP Snapshot shows the cumulative CPP activity from the program
since its inception. As of January 31, 2014, $225.0 billion in total CPP proceeds have been collected. Today, every dollar recovered
from CPP participants represents an additional positive return for taxpayers. In addition to its CPP investments, Treasury continues
to hold outstanding investments in Community Development Financial Institutions through the Community Development Capital
Initiative.
CPP SNAPSHOT
707
239
SBLF Repayments
137
$200
CDCI Conversions
Sold Investments
Auctioned Investments
In Bankruptcy/Receivership
28
25
162
29
$150
Merged Institutions
Total Remaining Institutions
Partial Repayments
Currently in Common2
1
2
Total CPP Proceeds1
Total Institutions Funded
Full Repayments
4
83
9
4
$225.0 billion
$195.25
$100
$50
$2.82
$18.93
$7.95
$Repayments
Auctions
Total
Dividends,
Interest &
Other Income
Warrant
Income
Repayments: Actual collections to date, including (i) $2.21 billion in CPP investments refinanced under the Small Business Lending Fund (SBLF), a program
created by Congress outside of TARP under which certain CPP institutions were allowed to repay TARP funds by borrowing under that program, and (ii) $0.36
billion in exchanges of CPP investments into the Community Development Capital Initiative (CDCI), as permitted under the terms of that program.
Auctions: Includes net proceeds from all auctions of CPP preferred and note securities where cash has settled with OFS as of January 31, 2014.
Warrant Income: Net Proceeds. Includes proceeds from exercised warrants.
Institutions where Treasury has converted its original investment at a discount into shares of common stock in the institution.
2
REPAYMENTS AT PAR
In January, three institutions repurchased all or part of their outstanding CPP preferred shares or subordinated debentures from
Treasury’s investments in those institutions for total proceeds of $8.3 million.
Citizens First Corporation and Premier Service Bank repurchased all of their outstanding CPP preferred shares for total proceeds
of $7.3 million.
Crazy Woman Creek Bancorp, Inc. made a partial repayment of its outstanding CPP investment for a total of $1.0 million,
resulting in $2.1 million in outstanding CPP investment remaining.
EXCHANGES
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 January 1, 2014.
DIVIDENDS AND INTEREST
In January, Treasury received dividends and interest income from CPP investments of $0.1 million. As of January 31, 2014,
cumulative dividends, interest and fee income received from CPP investments total $12.1 billion.
WARRANT REPURCHASES
In January, Treasury disposed of its warrant positions in two institutions received in consideration for investments made under the
CPP for total proceeds of $33.5 million. As of January 31, 2013, $7.9 billion in total warrant income has been received through CPP.
These proceeds provided an additional return to taxpayers from Treasury’s investments in those banks beyond any dividend or
interest payments.
On January 31, Premier Service Bank repurchased its preferred shares from exercised warrants from Treasury for a total of $0.2
million.
On January 31, Treasury completed the sale of warrants issued by Virginia Commerce Bancorp, Inc. for a total of $33.3 million.
BANKRUPTCY AND RECEIVERSHIP
On January 31, Syringa Bank, a subsidiary of Syringa Bancorp, was closed by the Idaho Department of Finance, which appointed
the Federal Deposit Insurance Corporation as receiver. Treasury’s investment in Syringa Bancorp was $8.0 million, and no
repayments have been made to Treasury as of January 31, 2014.
3
TOP 10 REMAINING CPP INSTITUTIONS
1
2
3
4
Institution
Popular, Inc.
First BanCorp3
Hampton Roads Bankshares, Inc.4
CommunityOne Bancorp5
Location
San Juan, PR
San Juan, PR
Norfolk, VA
Charlotte, NC
5
6
7
8
9
10
U.S. Century Bank
VantageSouth Bancshares Inc.6
Porter Bancorp Inc.
Royal Bancshares of Pennsylvania, Inc.
First United Corporation
Patriot Bancshares, Inc.
Miami, FL
Cary, NC
Louisville, KY
Narbeth, PA
Oakland, MD
Houston, TX
Amount Outstanding (millions)
$
935.0
$
239.0
$
80.3
$
51.5
$
$
$
$
$
$
50.2
42.8
35.0
30.4
30.0
26.0
3
Treasury exchanged its preferred stock for mandatorily convertible preferred stock (MCP) with capitalized dividends. First Bancorp fulfilled the conversion
conditions and Treasury's MCP was converted into 32,941,797 shares of common stock. Treasury sold 12,000,000 of such shares on August 16, 2013. Treasury
sold a further 1,261,356 shares on September 13, 2013 following the exercise by the underwriters of their over-allotment option.
4
Treasury exchanged its preferred stock for MCP. Hampton fulfilled the conversion conditions and Treasury's MCP was converted into 52,225,550 shares of
common stock. Treasury currently holds 2,089,022 shares of Hampton common stock following a reverse stock split.
5
On July 1, 2013, FNB United changed its name to CommunityOne Bancorp. Treasury exchanged its preferred stock for 108,555,303 shares of FNB United
common stock. Treasury currently holds 1,085,553 shares of FNB United common stock following a reverse stock split.
6
On July 22, 2013, Crescent Financial Bancshares Inc. changed its name to VantageSouth Bancshares Inc.
4
AUTOMOTIVE INDUSTRY FINANCING PROGRAM
ALLY
On January 23, Treasury sold 410,000 shares of Ally Financial, Inc. common stock in a private offering at $7,375 per share for total
gross proceeds of $3.0 billion. To date, Treasury has recovered approximately $15.3 billion, or approximately 89 percent of the $17.2
billion investment provided to Ally during the financial crisis. Treasury continues to hold 571,971 shares, or approximately 37 percent,
of common stock in the company and will continue to further wind down this investment through either a public offering, private sale
of its common shares, or other alternatives. More information about the sale can be found in Treasury’s Press Release:
http://www.treasury.gov/press-center/press-releases/Pages/jjl2258.aspx.
5
HOUSING PROGRAMS
7 MAKING HOME AFFORDABLE
8 On February 7, 2014, the U.S. Department of the Treasury released the Making Home Affordable Program Performance Report for
the period ending December 2013. The report is available on the following page: http://www.treasury.gov/initiatives/financialstability/reports/Pages/Making-Home-Affordable-Program-Performance-Report.aspx.
HIGHLIGHTS
Since the start of the program, more than 1.9 million homeowner assistance actions have been taken under MHA.
More than 1.5 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). More than 13,000 new HAMP
modifications have been reported since the November report.
To date, homeowners in HAMP permanent modifications have saved an estimated $24.8 billion in monthly mortgage payments.
Homeowners in active first lien permanent modifications are currently saving a median of $546 per month – almost 40 percent of
their median before-modification payment.
Homeowners currently in HAMP permanent modifications with some form of principal reduction have been granted an estimated
$13.0 billion in principal reduction. Of all non-GSE loans eligible for principal reduction entering HAMP in December, 59 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, nearly 126,000 homeowners have received
assistance through 2MP.
More than 258,000 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.
6
7 HARDEST HIT FUND
8 The Hardest Hit Fund provides $7.6 billion to 18 states and the District of Columbia to provide assistance to struggling homeowners
through locally-tailored programs administered by each respective Housing Finance Agency (HFA). These areas were chosen
because they have experienced steep home price declines or severe unemployment in the economic downturn. States are
experimenting with a number of different programs to help homeowners, including principal reduction, reinstatement, short
sale/transition assistance, modification assistance, loan purchase and mortgage payment programs. As of January 31, 2014, the 19
HFAs have drawn a total of $3.41 billion.
There are now 69 active programs across the 19 HFAs. Approximately 68 percent of total program funds are targeted to help
unemployed borrowers, primarily through reinstatement and programs that help homeowners pay their mortgage while looking for
work.
All 19 HFAs have created extensive infrastructures to operate these programs, including selecting and training networks of
housing counselors to assist with applications, creating homeowner portals to aid homeowners in applying for assistance, and
hiring underwriters and other staff to review and approve applications.
Treasury is working to identify best practices, share lessons learned, and provide additional assistance and oversight to HFAs.
January, Treasury continued to participate in bi-weekly conference calls with the 19 HFAs and the large servicers participating in
the Hardest Hit Fund to discuss best practices in reaching the target population, ways to expand program eligibility, issues
around the wind down of assistance programs and promising new program models that can effectively utilize program funds.
In January, Rhode Island and Georgia made changes to their programs. Rhode Island increased the maximum amount of
assistance available per household under its unemployment payment assistance, loan modification, and reinstatement assistance
programs. Georgia clarified that the maximum amount of combined assistance under its new Recast/Modification and Mortgage
Reinstatement Assistance programs is $45,000.
Five HFAs drew a total of $179.1 million in January. Over the life of the program, the 19 HFAs have drawn a total of $3.41 billion.
Each HFA draws down funds as they are needed. (See Hardest Hit Fund as of January 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
down 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.
7
7 PROGRAMS AVAILABLE THROUGH THE HARDEST HIT FUND
8
Statewide
State
AL
AZ
CA
Launch
2/2/11
9/20/10
1/10/11
DC
4/19/11
FL
GA
IL
IN
KY
MI
MS
NC
NJ
NV
OH
OR
4/18/11
4/1/11
7/25/11
5/10/11
4/1/11
7/12/10
5/16/11
12/1/10
5/8/11
2/21/11
9/27/10
12/10/10
RI
12/1/10
SC
TN
1/20/11
3/1/11
Reporting Link
Program Information Link
http://www.hardesthitalabama.com/TreasuryHHA.html
http://www.azhousing.gov/ShowPage.aspx?ID=405&CID=11
http://www.keepyourhomecalifornia.org/reports.htm
http://www.dchfa.org/DCHFAHome/Homebuyers/ForeclosurePrevention/QuarterlyRepor
ts/tabid/219/Default.aspx
http://apps.floridahousing.org/StandAlone/FHFC_ECM/ContentPage.aspx?PAGE=0277
http://www.dca.state.ga.us/housing/homeownership/programs/treasuryReports.asp
http://www.illinoishardesthit.org/spv-7.aspx
http://www.877gethope.org/news/indianas-hardest-hit-funding-update
http://www.kyhousing.org/page.aspx?id=3165
http://www.michigan.gov/mshda/0,1607,7-141-45866_47905-250571--,00.html
http://www.mshomecorp.com/about%20mhc/disclosures.htm
http://www.ncforeclosureprevention.gov/hardest_hit_funds.aspx
http://www.njhomekeeper.gov/performance.htm
http://www.nahac.org/
http://www.ohiohome.org/restoringstability/reports.aspx
http://www.oregonhomeownerhelp.org/en/reporting
http://www.hhfri.org/HHFRI_Dynamic_Content.aspx?id=10737418256&ekmensel=c580f
a7b_10737418238_10737418240_btnlink
http://www.scmortgagehelp.com/reports.html
https://www.keepmytnhome.org/
http://www.hardesthitalabama.com
https://www.savemyhomeaz.gov/
www.keepyourhomecalifornia.org
https://www.homesaverdc.org/
https://www.flhardesthithelp.org/
https://www.homesafegeorgia.com
https://www.illinoishardesthit.org/
http://www.877gethope.org/
http://www.ProtectMyKYHome.org
http://www.stepforwardmichigan.org
http://www.mshomesaver.com
http://www.ncforeclosureprevention.gov/
http://www.njhomekeeper.gov
http://www.nahac.org/
http://www.savethedream.ohio.gov/
http://www.oregonhomeownerhelp.org/
http://www.hhfri.org/
http://www.scmortgagehelp.com/
http://www.keepmytnhome.org
8
7 HARDEST HIT FUND AS OF JANUARY 31, 2014
8 State (% Cap Disbursed) $0
$200,000,000
Alabama (20.9%)
Arizona (47.4%)
$400,000,000
$600,000,000
$126,990,544
$717,490,000
$18,234,860
Florida (31.8%)
Georgia (42.6%)
$336,250,000
$144,408,000
Illinois (69.6%)
Indiana (29.9%)
Kentucky (56.4%)
$310,000,000
$66,338,828
$84,000,000
Michigan (32.5%)
Mississippi (43.5%)
$162,146,363
$44,338,832
North Carolina (65%)
$313,670,000
$190,513,704
New Jersey (63.4%)
Nevada (50.9%)
$98,842,000
Ohio (47.4%)
$270,100,000
Oregon (85.8%)
Rhode Island (83.8%)
South Carolina (42.3%)
Tennessee (51.2%)
$1,000,000,000
$34,000,000
California (36.3%)
Washington D.C. (88.1%)
$800,000,000
$188,715,885
$66,500,000
$125,000,000
$111,315,593
Paid to Date (Amount Shown)
9
LIFETIME COSTS
The true cost of the financial crisis will always be measured in the
human suffering and economic damage it caused – the jobs that
were lost, the businesses that were closed, and the college
educations or retirements that were deferred. However the fiscal cost
of TARP is also important.
When Congress created TARP, it authorized up to $700 billion for the
programs. That authority was later reduced to $475 billion. To date a
total of $422.6 billion has been disbursed under TARP. As of January
31, 2014, cumulative collections under TARP, together with
Treasury’s additional proceeds from the sale of non-TARP shares of
AIG7, have exceeded total disbursements by $13.3 billion8. Treasury
estimates that the combined overall cost of TARP will be
approximately $39.0 billion. These estimates assume that the budget
for TARP housing programs will be disbursed in full and do not
include Treasury’s additional proceeds from its non-TARP AIG
shares.
For a daily snapshot of the amount of funds obligated, the amount
disbursed, repayments, income received and any losses by program,
please visit the Daily TARP Update (DTU) at:
http://www.treasury.gov/initiatives/financialstability/reports/Pages/daily-tarp-reports.aspx. The DTU is updated
after every business day. To see how Treasury has invested and
recovered TARP funds over time please visit the interactive TARP
Tracker at: http://www.treasury.gov/initiatives/financialstability/reports/Pages/TARP-Tracker.aspx.
7
8
For more information, see note 10 to the Daily TARP Update:
http://www.treasury.gov/initiatives/financial-stability/reports/Pages/daily-tarpreports.aspx.
Treasury is continuing to disburse funds related to its housing programs, and
continuing to recoup its outstanding investments. For the latest lifetime cost
estimates, please see the chart on page 12: Treasury Estimates of the Impact of
TARP Programs and AIG Investments on the Federal Budget.
Cumulative TARP Disbursements and Cumulative
TARP Cash Back (together with Treasury's additional
proceeds from AIG shares)
500
billion
dollars
400
300
200
100
0
Oct
'08
Apr
'09
Oct
'09
Apr
'10
Oct
'10
Apr Oct' Apr
'11 11 '12
Oct
'12
Apr
'13
Oct
'13
10
7 The Treasury Estimates of the Impact of TARP Programs and AIG Investments on the Federal Budget chart provides for each
8 program within TARP the amount obligated, the amount disbursed, the outstanding balance, and the estimated lifetime cost.
Estimated lifetime cost represents Treasury’s best estimate of what the program will ultimately cost the taxpayer. 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.
11
7
8
TREASURY ESTIMATES OF THE IMPACT OF TARP PROGRAMS AND AIG INVESTMENTS ON THE FEDERAL BUDGET
Programs
as of January 31, 2014
Outstanding
Investment
Balance as of
January 31
Obligation/
Commitment
Disbursed as of
January 31
$
$
$
$
$
$
$
25.00
165.33
14.57
204.89
40.00
5.00
0.57
$
$
$
$
$
$
$
25.00
165.33
14.57
204.89
40.00
0.00
0.57
$
$
$
$
$
$
$
$
$
$
$
$
7.23
12.38
19.61
0.10
0.37
$
$
$
$
$
6.25
12.38
18.62
0.10
0.37
$
$
$
$
$
American International Group (AIG):
Preferred Stock
Common Stock
Total
$
$
$
20.29
47.54
67.84
$
$
$
20.29
47.54
67.84
$
$
$
Automotive Industry Financing Program (AIFP)
$
79.69
$
79.69
$
Sub-total for Investment Programs
$
418.07
$
411.72
$
Making Home Affordable
Hardest Hit Fund
FHA-Refinance4
Sub-total for Housing Programs
$
$
$
29.87
7.60
1.03
$
$
$
$
38.49
$
456.56
(dollar amounts in billions)
Bank Support Programs:
Capital Purchase Program (CPP):
Citigroup
Other banks with assets $10 billion or greater
2
Banks with assets less than $10 billion
Total
Targeted Investment Program (TIP)
3
Asset Guarantee Program (AGP)
Community Development Capital Initiative (CDCI)
1.17
0.90
2.08
0.47
Estimated
Lifetime Cost as
of
November 30
1
$
$
$
$
$
$
$
(6.89)
(10.26)
1.03
(16.12)
(4.00)
(4.00)
0.11
-
$
$
$
$
$
(3.06)
0.33
(2.73)
(0.60)
(0.00)
-
$
$
$
15.18
15.18
5.66
$
13.70
8.20
$
1.53
7.38
3.41
0.06
n/a
n/a
n/a
$
$
$
29.87
7.60
0.04
$
10.85
n/a
$
37.51
$
422.57
8.20
$
39.03
n/a
$
(17.55)
8.20
$
21.48
Credit Market Programs:
Public-Private Investment Program (PPIP):
Equity
Debt
Total
Term Asset Backed Securities Lending Facility (TALF)
Purchase SBA 7(a) Securities (SBA)
Other Programs:
Total for TARP Programs
Additional AIG Common Shares Held by Treasury5
Total for TARP Programs and Additional AIG Shares
n/a
$
456.56
$
n/a
$
422.57
$
12
7 Footnotes to Treasury Estimates of the Impact of TARP Programs and AIG Investments on the Federal Budget
81
Lifetime cost information is as of November 30, 2013. Estimated lifetime cost figures shown above are currently updated quarterly in conjunction
with the Office of Management and Budget.
2
The law creating the Small Business Lending Fund (SBLF) provided that banks could refinance securities issued under the CPP and CDCI
programs with securities issued under the SBLF. A total of 137 CPP banks refinanced under the SBLF resulting in repayments of $2.21 billion in
CPP investments.
3
Estimated lifetime costs for AGP includes $276 million for the termination fee Bank of America paid Treasury-OFS for the value received from
the announcement of the negotiations on the guarantee and share losses on a pool of assets.
4
In March 2013, Treasury extended the letter of credit facility to provide coverage for loans refinanced throughout the eligibility period, which had
been extended to December 2014, but reduced the amount from $8 billion to $1 billion. Treasury believes this lower amount will be sufficient to
accommodate any increased usage that could result through the close of the program. The figures in this line include administrative expenses
associated with the letter of credit facility.
5
As discussed in note 10 to the Daily TARP Update, Treasury’s investment in AIG common shares consisted of shares acquired in exchange for
preferred stock purchased with TARP funds (TARP shares) and shares received from the trust created by the FRBNY for the benefit of Treasury
as a result of its loan to AIG (non-TARP shares). Treasury managed the TARP shares and non-TARP shares together, and disposed of them
pro-rata in proportion to its holdings. Only the TARP shares are included under “Other Programs—AIG” and the lifetime cost estimate shows a
loss based on Treasury’s cost basis in the TARP shares alone. However, a gain is shown for the non-TARP shares on the line entitled
“Additional AIG Common Shares Held by Treasury” because Treasury’s cost basis in such shares was deemed to be zero. When the TARP
shares and non-TARP shares are considered together, Treasury’s cost on a cash basis was $28.73 per share. TARP estimates include financing
costs (borrowing) from the time of initial investment through the close of the program.
13
APPENDIX T ABLE OF CONTENTS
Section
Statutory Requirement9
CPP Institutions
Additional Information
15
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)
27
Transactions Report
EESA §105(a)(3)(C,D,G)
28
Page
Investment Programs
28
Home Affordable Modification Program
74
Projected Costs and Liabilities
EESA §105(a)(3)(E)
119
Programmatic Operating Expenses
EESA §105(a)(3)(F)
120
Description of Vehicles Established
EESA §105(a)(3)(H)
121
HAMP Application Activity by Servicer
Dodd-Frank §1483(b)
122
9
§105(a)(1) is covered by the body of this report. EESA (Emergency Economic Stabilization Act of 2008). Dodd-Frank (Dodd-Frank Wall Street Reform and
Consumer Protection Act).
14
Troubled Asset Relief Program
Capital Purchase Program Institutions
As of January 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*
Hampton Roads Bankshares, Inc.*
CommunityOne Bancorp*
U.S. Century Bank
VantageSouth Bancshares Inc.
Porter Bancorp Inc.
Royal Bancshares of Pennsylvania, Inc.
First United Corporation
Patriot Bancshares, Inc.
Central Bancorp, Inc.
BNCCORP, Inc.
Chambers Bancshares, Inc.
Community First Inc.
OneFinancial Corporation
Liberty Shares, Inc.
Northern States Financial Corporation
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
Community First Bancshares, Inc.
Bankers' Bank of the West Bancorp, Inc.
Meridian Bank
OneUnited Bank
Cecil Bancorp, Inc.
Farmers & Merchants Bancshares, Inc.
Community Bankers Trust Corporation
Location
San Juan, PR
San Juan, PR
Norfolk, VA
Charlotte, NC
Miami, FL
Cary, NC
Louisville, KY
Narberth, PA
Oakland, MD
Houston, TX
Garland, TX
Bismarck, ND
Danville, AR
Columbia, TN
Little Rock, AR
Hinesville, GA
Waukegan, IL
Fayetteville, AR
Los Angeles, CA
Elmhurst, IL
Wichita, KS
Mount Pleasant, SC
Mocksville, NC
Loris, SC
Harrison, AR
Denver, CO
Devon, PA
Boston, MA
Elkton, MD
Houston, TX
Glen Allen, VA
Public/P
rivate
Public
Public
Public
Public
Private
Public
Public
Public
Public
Private
Private
Public
Private
Private
Private
Private
Public
Private
Private
Private
Private
Public
Public
Public
Private
Private
Private
Private
Public
Private
Public
Amount
Outstanding
$ 935,000,000.00
$ 238,972,281.88
$
80,347,000.00
$
51,500,000.00
$
50,236,000.00
$
42,849,000.00
$
35,000,000.00
$
30,407,000.00
$
30,000,000.00
$
26,038,000.00
$
22,500,000.00
$
20,093,000.00
$
19,817,000.00
$
17,806,000.00
$
17,300,000.00
$
17,280,000.00
$
17,211,000.00
$
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
$
12,725,000.00
$
12,639,000.00
$
12,535,000.00
$
12,063,000.00
$
11,560,000.00
$
11,000,000.00
$
10,680,000.00
15
NCAL Bancorp
Greer Bancshares Incorporated
Regent Bancorp, Inc.
City National Bancshares Corporation
Provident Community Bancshares, Inc.
United American Bank
Great River Holding Company
Private Bancorporation, Inc.
Western Community Bancshares, Inc.
Chicago Shore Corporation
Duke Financial Group, Inc.
Idaho Bancorp
Harbor Bankshares Corporation
Highlands Independent Bancshares, Inc.
Liberty Bancshares, Inc.
Citizens Commerce Bancshares, Inc.
Patapsco Bancorp, Inc.
Rising Sun Bancorp
IA Bancorp, Inc.
Capital Commerce Bancorp, Inc.
Covenant Financial Corporation
Wachusett Financial Services, Inc.
CalWest Bancorp
Georgia Primary Bank
Pinnacle Bank Holding Company, Inc.
Metropolitan Capital Bancorp, Inc.
Pacific Commerce Bank
Community Bancshares, Inc.
Allied First Bancorp, Inc.
Grand Mountain Bancshares, Inc.
Lone Star Bank
St. Johns Bancshares, Inc.
Marine Bank & Trust Company
Freeport Bancshares, Inc.
US Metro Bank
Prairie Star Bancshares, Inc.
SouthFirst Bancshares, Inc.
Goldwater Bank, N.A.
Grand Financial Corporation
CSRA Bank Corp.
Citizens Bank & Trust Company
Crazy Woman Creek Bancorp, Inc.
Market Bancorporation, Inc.
Atlantic Bancshares, Inc.
BCB Holding Company, Inc.
Maryland Financial Bank
Saigon National Bank
Los Angeles, CA
Greer, SC
Davie, FL
Newark, NJ
Rock Hill, SC
San Mateo, CA
Baxter, MN
Minneapolis, MN
Palm Desert, CA
Chicago, IL
Minneapolis, MN
Boise, ID
Baltimore, MD
Sebring, FL
Fort Worth, TX
Versailles, KY
Dundalk, MD
Rising Sun, MD
Iselin, NJ
Milwaukee, WI
Clarksdale, MS
Clinton, MA
Rancho Santa Margarita, CA
Atlanta, GA
Orange City, FL
Chicago, IL
Los Angeles, CA
Kingman, AZ
Oswego, IL
Granby, CO
Houston, TX
St. Louis, MO
Vero Beach, FL
Freeport, IL
Garden Grove, CA
Olathe, KS
Sylacauga, AL
Scottsdale, AZ
Hattiesburg, MS
Wrens, GA
Covington, LA
Buffalo, WY
New Market, MN
Bluffton, SC
Theodore, AL
Towson, MD
Westminster, CA
Public
Public
Public
Private
Public
Public
Private
Private
Private
Private
Private
Public
Public
Private
Private
Public
Public
Public
Private
Private
Private
Private
Public
Private
Private
Private
Public
Private
Public
Private
Private
Private
Private
Private
Public
Private
Public
Private
Private
Private
Private
Public
Private
Public
Private
Private
Public
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
10,000,000.00
9,993,000.00
9,982,000.00
9,439,000.00
9,266,000.00
8,700,000.00
8,400,000.00
8,222,000.00
7,290,000.00
7,000,000.00
7,000,000.00
6,900,000.00
6,800,000.00
6,700,000.00
6,500,000.00
6,300,000.00
6,000,000.00
5,983,000.00
5,976,000.00
5,100,000.00
5,000,000.00
5,000,000.00
4,656,000.00
4,500,000.00
4,389,000.00
4,388,000.00
4,060,000.00
3,872,000.00
3,652,000.00
3,076,000.00
3,072,000.00
3,000,000.00
3,000,000.00
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
2,000,000.00
1,706,000.00
1,700,000.00
1,549,000.00
16
Centrue Financial Corporation
Ottowa, IL
Public
$
1,402,000.00
Riverside Bancshares, Inc.
Little Rock, AR
Private
$
1,100,000.00
Calvert Financial Corporation
Ashland, MO
Private
$
1,037,000.00
AB&T Financial Corporation
Gastonia, NC
Private
$
536,000.00
Kirksville Bancorp, Inc.
Kirksville, MO
Private
$
470,000.00
*Original Investment has been converted at a discount into common stock in the institution. Amount shown is original
B. Institutions in Bankruptcy/Receivership - Realized Loss/Write-Off
Institution Name
CIT Group Inc.*
Pacific Coast National Bancorp*
Anchor Bancorp Wisconsin, Inc.*
*Institution has exited the bankruptcy/receivership process
Bankruptcy/ Receivership
Realized Loss/ Write-Off
Date
Amount
11/1/2009 $
2,330,000,000.00
12/17/2009 $
8/12/2013 $
4,120,000.00
104,000,000.00
C. Institutions in Bankruptcy/Receivership - Currently Not Collectible
Institution Name
UCBH Holdings, Inc.
Midwest Banc Holdings, Inc.
Sonoma Valley Bancorp
Pierce County Bancorp
Tifton Banking Company
Legacy Bancorp, Inc.
Superior Bancorp Inc.
FPB Bancorp Inc.
One Georgia Bank
Integra Bank Corporation
Citizens Bancorp
CB Holding Corp.
Tennessee Commerce Bancorp, Inc.
Blue River Bancshares, Inc.
Fort Lee Federal Savings Bank
Gregg Bancshares, Inc.
GulfSouth Private Bank
Investors Financial Corporation of Pettis County, Inc.
First Place Financial Corporation
Princeton National Bancorp
Premier Bank Holding Company
Gold Canyon Bank
Indiana Bank Corp.
Rogers Bancshares, Inc.
TCB Holding Company
Syringa Bancorp
Bankruptcy/ Receivership
Date
11/6/2009
5/14/2010
8/20/2010
11/5/2010
11/12/2010
3/11/2011
4/15/2011
7/15/2011
7/15/2011
7/29/2011
9/23/2011
10/14/2011
1/27/2012
2/10/2012
4/20/2012
7/13/2012
10/19/2012
10/19/2012
10/29/2012
11/2/2012
8/14/2012
4/5/2013
4/9/2013
7/5/2013
12/13/2013
1/31/2014
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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
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
17
United States Department of the Treasury
Office of Financial Stability
Report of Administrative Obligations and Expenditures
For Period Ending
January 31, 2014
PERSONNEL SERVICES
NON-PERSONNEL
SERVICES
Budget
Object Class (BOC)
Budget Object Class Title
Obligations
1100, 1200 & 1300 PERSONNEL COMPENSATION & BENEFITS
$
125,282,706
PERSONNEL SERVICES Total: $
125,282,706
2100
TRAVEL & TRANSPORTATION OF PERSONS
$
2,398,056
2200
TRANSPORTATION OF THINGS
11,960
2300
RENTS, COMMUNICATIONS, UTILITIES & MISC CHARGES
786,303
2400
PRINTING & REPRODUCTION
459
2500
OTHER SERVICES
272,082,625
2600
SUPPLIES AND MATERIALS
1,838,349
3100
3200
4200
4300
EQUIPMENT
LAND & STRUCTURES
INSURANCE CLAIMS & INDEMNITIES
INTEREST & DIVIDENDS
NON-PERSONNEL SERVICES Total: $
GRAND TOTAL: $
253,286
634
277,371,670
402,654,376
For Period Ending
February 28, 2014
Expenditures
$
125,217,912
$
125,217,912
$
2,381,101
11,960
711,540
459
220,454,118
1,834,164
Projected
Obligations
$
126,498,000
$
126,498,000
$
2,408,000
12,000
787,000
500
275,055,000
1,842,000
Projected
Expenditures
$
126,433,000
$
126,433,000
$
2,390,000
12,000
712,000
500
222,936,000
1,837,000
243,907
634
225,637,882
254,000
640
280,359,140
244,000
640
228,132,140
$
$
350,855,794
$
$
406,857,140
$
$
354,565,140
Note: The amounts presented above are cumulative from the initiation of the TARP.
18
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Agreements Under TARP [Section 105(a)(3)(A)]
For Period January 2014
Date Approved
Type of Transaction
10/10/2008
10/11/2008
10/14/2008
10/16/2008
10/17/2008
10/18/2008
10/29/2008
10/29/2008
10/31/2008
11/7/2008
11/9/2008
11/17/2008
11/25/2008
12/3/2008
12/5/2008
12/10/2008
12/10/2008
12/15/2008
12/16/2008
12/22/2008
12/24/2008
1/6/2009
1/7/2009
Contract
Contract
Financial Agent
Contract
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Contract
Vendor
Simpson Thacher & Bartlett Mnp LLP
Ennis Knupp & Associates Inc.
The Bank of New York Mellon
PricewaterhouseCoopers LLP‐1
Turner Consulting Group, Inc.*
Ernst & Young LLP
Hughes Hubbard & Reed LLP
Squire Sanders & Dempsey LLP
Lindholm & Associates Inc.*
Sonnenschein Nath & Rosenthal LLP
Internal Revenue Service
Internal Revenue Service ‐ CSC
Department of the Treasury ‐ Departmental Offices
Trade and Tax Bureau ‐ Treasury
Washington Post
Sonnenschein Nath & Rosenthal LLP
Thacher Proffitt & Wood**
Office of Thrift Supervision
Department of Housing and Urban Development
Office of Thrift Supervision
Cushman And Wakefield Of Va Inc.
Securities and Exchange Commission
Colonial Parking Inc.
Purpose
Legal Advisory
Investment and Advisory Services
Custodian and Cash Management
Accounting/Internal Controls
Archive Services
Accounting/Internal Controls
Legal Advisory
Legal Advisory
Human Resources Services
Legal Advisory
Detailee
Information Technology
Administrative Support
Information Technology
Administrative Support
Legal Advisory
Legal Advisory
Detailee
Detailee
Detailees
Administrative Support
Detailee
Parking
19
Date Approved
Type of Transaction
1/27/2009
1/27/2009
1/30/2009
2/2/2009
2/3/2009
2/9/2009
2/12/2009
2/18/2009
2/18/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/26/2009
2/27/2009
3/6/2009
3/16/2009
3/23/2009
3/30/2009
3/30/2009
3/30/2009
3/30/2009
3/30/2009
3/31/2009
4/3/2009
4/3/2009
4/17/2009
4/17/2009
4/21/2009
4/21/2009
4/21/2009
4/30/2009
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Financial Agent
Financial Agent
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Financial Agent
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Interagency Agreement
Contract
Financial Agent
Financial Agent
Financial Agent
Interagency Agreement
Vendor
Cadwalader Wickersham & Taft LLP
Whitaker Brothers Bus Machines Inc.*
Office of the Controller of the Currency
Government Accountability Office
Internal Revenue Service
Pat Taylor & Assoc Inc.*
Locke Lord Bissell & Liddell LLP
Fannie Mae
Freddie Mac
Financial Clerk U.S. Senate
Office of Thrift Supervision
Simpson Thacher & Bartlett Mnp LLP
Venable LLP‐1
Securities and Exchange Commission
Pension Benefit Guaranty Corp.
The Boston Consulting Group Inc.
EARNEST Partners*
Heery International Inc.*
Bingham Mccutchen LLP
Cadwalader Wickersham & Taft LLP
Haynes and Boone LLP
McKee Nelson LLP***
Sonnenschein Nath & Rosenthal LLP
FI Consulting Inc.*
American Furniture Rentals*
The Boston Consulting Group Inc.
Bureau of Engraving and Printing
Herman Miller Inc.
Alliance Bernstein L.P.
FSI Group, LLC
Piedmont Investment Advisors, LLC*
State Department
Purpose
Legal Advisory
Office Machines
Detailee
Oversight Services
Detailees
Administrative Support
Legal Advisory
Homeownership Program
Homeownership Program
Oversight Services
Detailees
Legal Advisory
Legal Advisory
Detailee
Legal Services
Financial Advisory
Small Business Assistance Program
Architectural Services
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Accounting/Internal Controls
Administrative Support
Financial Advisory
Detailee
Facilities Support
Asset Management Services
Asset Management Services
Asset Management Services
Detailee
20
Date Approved
Type of Transaction
5/5/2009
5/13/2009
5/14/2009
5/15/2009
5/20/2009
5/22/2009
5/26/2009
5/26/2009
6/9/2009
6/29/2009
7/17/2009
7/30/2009
7/30/2009
7/30/2009
8/10/2009
8/10/2009
8/18/2009
8/25/2009
9/2/2009
9/10/2009
9/11/2009
9/18/2009
9/30/2009
9/30/2009
9/30/2009
9/30/2009
11/9/2009
12/16/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
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
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Financial Agent
Financial Agent
Financial Agent
Contract
Vendor
Federal Reserve Board
Department of Treasury ‐ US Mint
Knowledgebank Inc.*
Phacil Inc.
Securities and Exchange Commission
Department of Justice ‐ ATF
Anderson Mc Coy & Orta*
Simpson Thacher & Bartlett Mnp LLP
Financial Management Service ‐ Gartner, Inc.
Department of Interior
Korn/Ferry International
Cadwalader Wickersham & Taft LLP
Debevoise & Plimpton, LLP
Fox Hefter Swibel Levin & Carol, LLP
Department of Justice
NASA
Mercer (US) Inc.
Department of Justice
Knowledge Mosaic Inc.*
Equilar Inc.*
PricewaterhouseCoopers LLP‐1
Bureau of the Public Debt ‐ ARC
IMMIXTECHNOLOGY INC.
IMMIXTECHNOLOGY INC.
NNA Inc.
SNL Financial LC
Department of the Treasury ‐ Departmental Offices
Internal Revenue Service
Avondale Investments, LLC*
Bell Rock Capital, LLC*
Howe Barnes Hoefer & Arnett, Inc.******
Hughes Hubbard & Reed LLP
Purpose
Detailee
Administrative Support
Administrative Support
FOIA Support Services
Detailee
Detailee
Legal Advisory
Legal Advisory
Information Technology
Information Technology
Administrative Support
Legal Advisory
Legal Advisory
Legal Advisory
Detailee
Detailee
Subscription Services
Detailee
Administrative Support
Subscription Services
Accounting/Internal Controls
Administrative Support
Information Technology
Information Technology
Administrative Support
Subscription Services
Administrative Support
Detailee
Asset Management Services
Asset Management Services
Asset Management Services
Legal Advisory
21
Date Approved
Type of Transaction
12/22/2009
12/22/2009
12/22/2009
1/14/2010
1/15/2010
2/16/2010
2/16/2010
2/18/2010
3/8/2010
3/22/2010
3/26/2010
3/29/2010
4/2/2010
4/8/2010
4/12/2010
4/22/2010
4/22/2010
4/23/2010
5/4/2010
5/17/2010
6/24/2010
6/30/2010
7/21/2010
7/21/2010
7/22/2010
7/22/2010
7/22/2010
7/27/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
Financial Agent
Financial Agent
Financial Agent
Interagency Agreement
Contract
Interagency Agreement
Contract
Interagency Agreement
Contract
Interagency Agreement
Interagency Agreement
Financial Agent
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Financial Agent
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Vendor
KBW Asset Management, Inc.*
Lombardia Capital Partners, LLC*
Paradigm Asset Management Co., LLC*
Government Accountability Office
Association of Govt Accountants
Internal Revenue Service
The Mitre Corporation
Bureau of the Public Debt ‐ ARC
Qualx Corporation*
Financial Management Services ‐ Gartner, Inc.
Federal Maritime Commission (FMC)
Morgan Stanley & Co. Incorporated
Financial Clerk U.S. Senate
Squire Sanders & Dempsey LLP
Ennis Knupp & Associates Inc.
Digital Management Inc.*
Microlink Llc
RDA Corporation*
Internal Revenue Service
Lazard Fréres & Co. LLC
Reed Elsevier Inc. (dba LexisNexis)
The George Washington University
Navigant Consulting Inc.
Regis & Associates PC*
Ernst & Young LLP
PricewaterhouseCoopers LLP‐1
Schiff Hardin LLP
West Publishing Corporation
Alston & Bird LLP
Cadwalader Wickersham & Taft LLP
Fox Hefter Swibel Levin & Carol, LLP
Haynes and Boone LLP
Purpose
Asset Management Services
Asset Management Services
Asset Management Services
Oversight Services
Administrative Support
Detailee
Information Technology
Information Technology
FOIA Support Services
Information Technology
Detailee
Disposition Agent Services
Oversight Services
Legal Advisory
Financial Advisory
Information Technology
Information Technology
Information Technology
Administrative Support
Transaction Structuring Services
Subscription Services
Administrative Support
Compliance
Compliance
Compliance
Compliance
Legal Advisory
Administrative Support
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
22
Date Approved
Type of Transaction
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/12/2010
8/30/2010
9/1/2010
9/17/2010
9/27/2010
9/30/2010
10/1/2010
10/8/2010
10/14/2010
10/26/2010
11/8/2010
11/18/2010
12/2/2010
12/29/2010
1/5/2011
1/18/2011
1/24/2011
1/26/2011
2/24/2011
2/28/2011
3/3/2011
3/10/2011
3/22/2011
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Interagency Agreement
Contract
Financial Agent
Contract
Contract
Interagency Agreement
Financial Agent
Interagency Agreement
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Vendor
Hughes Hubbard & Reed LLP
Love & Long LLP*
Orrick Herrington Sutcliffe LLP
Paul Weiss Rfknd Whrtn & Grrsn LLP
Perkins Coie LLP
Seyfarth Shaw LLP
Shulman Rgrs Gndl Pordy & Ecker Pa
Sullivan Cove Reign Enterprises JV*
Venable LLP‐1
Knowledge Mosaic Inc.*
Department of Housing and Urban Development
CQ‐Roll Call Inc.
Bingham Mccutchen LLP
Davis Audrey Robinette*
CCH Incorporated
Financial Clerk U.S. Senate
Management Concepts Inc.****
Hispanic Assoc Of Coll & Univ*
Government Accountability Office
The Mitre Corporation*
Greenhill & Co., LLC
Addx Corporation*
Reed Elsevier Inc. (dba LexisNexis)
Canon U.S.A. Inc.
Perella Weinberg Partners & Co.
Bureau of the Public Debt ‐ ARC
Association of Govt Accountants
ESI International Inc.
Department of the Treasury ‐ Departmental Offices
Equilar Inc.*
Mercer (US) Inc.
Harrison Scott Publications
Purpose
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Administrative Support
Detailee
Administrative Support
Legal Advisory
Administrative Support
Administrative Support
Oversight Services
Administrative Support
Detailees
Oversight Services
Information Technology
Structuring and Disposition Services
Acquisition Support Services
Subscription Services
Administrative Support
Structuring and Disposition Services
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Subscription Services
Administrative Support
Subscription Services
23
Date Approved
Type of Transaction
4/20/2011
4/26/2011
4/27/2011
4/27/2011
4/27/2011
4/27/2011
4/27/2011
4/27/2011
4/28/2011
4/28/2011
4/28/2011
5/31/2011
5/31/2011
6/9/2011
6/9/2011
6/17/2011
7/28/2011
9/9/2011
9/12/2011
9/15/2011
9/29/2011
9/29/2011
10/4/2011
10/20/2011
11/18/2011
11/29/2011
12/20/2011
12/30/2011
12/30/2011
1/4/2012
1/5/2012
2/2/2012
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Financial Agent
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Vendor
Federal Reserve Bank of New York
PricewaterhouseCoopers LLP‐1
Oculus Group Inc.*
MorganFranklin Corporation
Lani Eko & Company CPAs LLC*
FI Consulting Inc.*
Ernst & Young LLP
ASR Analytics LLC*
Booz Allen Hamilton Inc.
KPMG LLP
Office of Personnel Management
Reed Elsevier Inc. (dba LexisNexis)
West Publishing Corporation
CQ‐Roll Call Inc.
ESI International Inc.
Winvale Group LLC
Internal Revenue Service
Financial Management Service
ADC LTD NM
ABMI ‐ All Business Machines, Inc.*****
Knowledge Mosaic Inc.*
Department of Interior
Internal Revenue Service
ABMI ‐ All Business Machines, Inc.*****
Qualx Corporation*
Houlihan Lokey, Inc.
Allison Group LLC*
Department of the Treasury ‐ Departmental Offices
Bureau of the Public Debt ‐ ARC
Government Accountability Office
Office of Personnel Management
Moody's Analytics Inc.
Purpose
Financial Reporting
Financial Services
Financial Services
Financial Services
Financial Services
Financial Services
Financial Services
Financial Services
Financial Services
Financial Services
Training
Subscription Services
Subscription Services
Subscription Services
Administrative Support
Subscription Services
Legal Services
Interns
Legal Services
Administrative Support
Administrative Support
Information Technology
Detailee
Administrative Support
FOIA Support Services
Transaction Structuring Services
Training
Administrative Support
Administrative Support
Administrative Support
Training
Subscription Services
24
Date Approved
Type of Transaction
2/7/2012
2/14/2012
2/27/2012
3/6/2012
3/14/2012
3/30/2012
5/10/2012
6/12/2012
6/15/2012
6/30/2012
7/26/2012
8/1/2012
8/3/2012
9/8/2012
9/26/2012
11/19/2012
12/13/2012
12/19/2012
1/1/2013
1/1/2013
2/13/2013
2/21/2013
3/16/2013
3/7/2013
3/28/2013
5/1/2013
5/10/2013
6/13/2013
8/1/2013
8/28/2013
9/26/2013
11/22/2013
Financial Agent
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Financial Agent
Financial Agent
Contract
Financial Agent
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Contract
Interagency Agreement
Vendor
Greenhill & Co., LLC
Association of Govt Accountants
Diversified Search LLC
Integrated Federal Solutions, Inc.*
Department of Interior
E‐Launch Multimedia, Inc.
Equilar Inc.*
Department of Justice
Qualx Corporation*
West Publishing Corporation
Knowledge Mosaic Inc.*
Internal Revenue Service
Harrison Scott Publications
SNL Financial LC
Bureau of the Public Debt ‐ ARC
Government Accountability Office
Association of Govt Accountants
Department of the Treasury ‐ Departmental Offices
Lazard Fréres & Co. LLC
Lazard Fréres & Co. LLC
Mercer (US) Inc.
Raymond James and Associates, Inc.
Bloomberg Finance L.P.
Department of Housing and Urban Development
Treasury Acquisition Institute
Internal Revenue Service
Equilar Inc.*
West Publishing Corporation
Evolution Management, Inc.
Bureau of the Public Debt ‐ ARC
SNL Financial LC
Department of the Treasury ‐ Departmental Offices
Purpose
Structuring and Disposition Services
Administrative Support
Financial Advisory
Acquisition Support Services
Information Technology
Administrative Support
Subscription Services
Legal Services
Administrative Support
Subscription Services
Administrative Support
Training
Subscription Services
Subscription Services
Administrative Support
Oversight Services
Administrative Support
Administrative Support
Transaction Structuring Services
Transaction Structuring Services
Administrative Support
Asset Management Services
Subscription Services
Research and analysis
Training
Detailee
Data Subscription Services
Subscription Services
Training
Administrative Support
Subscription Services
Administrative Support
25
Date Approved
Type of Transaction
11/22/2013
12/12/2013
Interagency Agreement
Contract
Vendor
Internal Revenue Service
Association of Govt Accountants
Purpose
Legal Services
Administrative Support
* Small or Women-, or Minority-Owned Small Business
**Contract responsibilities assumed by Sonnenschein Nath & Rosenthal via novation.
***Contract responsibilities assumed by Bingham McCutchen, LLP via novation.
**** Previously listed separate contracts for various training.
***** Service Disabled Veteran; HubZone business
******Financial Agent responsibilities assumed by Raymond James and Associates, Inc. via novation.
26
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Insurance Contracts [Section 105(a)(3)(B)]
For Period Ending January 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.
27
*Investment Status Definition Key
Full investment outstanding: Treasury's full investment is still outstanding
Redeemed – institution has repaid Treasury’s investment
Sold – by auction, an offering, or through a restructuring
Troubled Asset Relief Program
Exited bankruptcy/receivership - Treasury has no outstanding investment
Currently not collectible - investment is currently not collectible; therefore there is no outstanding investment and a corresponding (Realized Loss) /
(Write-off)
Transactions Report - Investment Programs
In full – all of Treasury’s investment amount
For Period Ending January 31, 2014
In part – part of the investment is no longer held by Treasury, but some remains
CAPITAL PURCHASE PROGRAM
Warrants outstanding – Treasury’s warrant to purchase additional stock is still outstanding, including any exercised warrants
Warrants not outstanding – Treasury has disposed of its warrant to purchase additional stock through various means as described in the Warrant
Report (such as sale back to company and auctions) or Treasury did not receive a warrant to purchase additional stock
FootNote
11
8,14,18,44
102
11
11,8,14
44,8,14
8,14
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
44,8,14
Institution Name
1ST CONSTITUTION BANCORP
1ST CONSTITUTION BANCORP
1ST CONSTITUTION BANCORP
1ST ENTERPRISE BANK
1ST ENTERPRISE BANK
1ST ENTERPRISE BANK
1ST FINANCIAL SERVICES CORPORATION
1ST FINANCIAL SERVICES CORPORATION
1ST SOURCE CORPORATION
1ST SOURCE CORPORATION
1ST SOURCE CORPORATION
1ST UNITED BANCORP, INC.
1ST UNITED BANCORP, INC.
AB&T FINANCIAL CORPORATION
AB&T FINANCIAL CORPORATION
AB&T FINANCIAL CORPORATION
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.
ALLIANCE BANCSHARES, INC.
ALLIANCE BANCSHARES, INC.
ALLIANCE BANCSHARES, INC.
ALLIANCE BANCSHARES, INC.
ALLIANCE FINANCIAL CORPORATION
ALLIANCE FINANCIAL CORPORATION
ALLIANCE FINANCIAL CORPORATION
ALLIANCE FINANCIAL SERVICES, INC.
ALLIANCE FINANCIAL SERVICES, INC.
ALLIANCE FINANCIAL SERVICES, INC.
ALLIANCE FINANCIAL SERVICES, INC.
ALLIED FIRST BANCORP, INC.
ALPINE BANKS OF COLORADO
ALPINE BANKS OF COLORADO
ALPINE BANKS OF COLORADO
ALPINE BANKS OF COLORADO
ALPINE BANKS OF COLORADO
AMB FINANCIAL CORPORATION
AMB FINANCIAL CORPORATION
AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKLAHOMA
AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKLAHOMA
AMERICAN EXPRESS COMPANY
AMERICAN EXPRESS COMPANY
AMERICAN EXPRESS COMPANY
AMERICAN PREMIER BANCORP
AMERICAN PREMIER BANCORP
AMERICAN STATE BANCSHARES, INC.
AMERICAN STATE BANCSHARES, INC.
AMERIS BANCORP
AMERIS BANCORP
AMERIS BANCORP
AMERISERV FINANCIAL, INC.
AMERISERV FINANCIAL, INC.
AMERISERV FINANCIAL, INC.
AMFIRST FINANCIAL SERVICES, INC
AMFIRST FINANCIAL SERVICES, INC
AMFIRST FINANCIAL SERVICES, INC
AMFIRST FINANCIAL SERVICES, INC
AMFIRST FINANCIAL SERVICES, INC
ANCHOR BANCORP WISCONSIN, INC.
ANCHOR BANCORP WISCONSIN, INC.
ANNAPOLIS BANCORP, INC.
ANNAPOLIS BANCORP, INC.
ANNAPOLIS BANCORP, INC.
ASSOCIATED BANC‐CORP
ASSOCIATED BANC‐CORP
ASSOCIATED BANC‐CORP
ASSOCIATED BANC‐CORP
ATLANTIC BANCSHARES, INC.
AVENUE FINANCIAL HOLDINGS
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
OGALLALA
OGALLALA
OCALA
OCALA
OCALA
OCALA
JUNEAU
JUNEAU
JUNEAU
JUNEAU
JUNEAU
DALTON
DALTON
DALTON
DALTON
SYRACUSE
SYRACUSE
SYRACUSE
SAINT PAUL
SAINT PAUL
SAINT PAUL
SAINT PAUL
OSWEGO
GLENWOOD SPRINGS
GLENWOOD SPRINGS
GLENWOOD SPRINGS
GLENWOOD SPRINGS
GLENWOOD SPRINGS
MUNSTER
MUNSTER
COLLINSVILLE
COLLINSVILLE
NEW YORK
NEW YORK
NEW YORK
ARCADIA
ARCADIA
GREAT BEND
GREAT BEND
MOULTRIE
MOULTRIE
MOULTRIE
JOHNSTOWN
JOHNSTOWN
JOHNSTOWN
MCCOOK
MCCOOK
MCCOOK
MCCOOK
MCCOOK
MADISON
MADISON
ANNAPOLIS
ANNAPOLIS
ANNAPOLIS
GREEN BAY
GREEN BAY
GREEN BAY
GREEN BAY
BLUFFTON
NASHVILLE
State
NJ
NJ
NJ
CA
CA
CA
NC
NC
IN
IN
IN
FL
FL
NC
NC
NC
NE
NE
FL
FL
FL
FL
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
TN
Date
23‐Dec‐08
27‐Oct‐10
22‐Nov‐11
13‐Feb‐09
11‐Dec‐09
1‐Sep‐11
14‐Nov‐08
31‐Dec‐13
23‐Jan‐09
29‐Dec‐10
9‐Mar‐11
13‐Mar‐09
18‐Nov‐09
23‐Jan‐09
19‐Nov‐13
6‐Jan‐14
30‐Jan‐09
21‐Jul‐11
23‐Jan‐09
19‐Jul‐13
22‐Jul‐13
12‐Sep‐13
6‐Feb‐09
28‐Nov‐12
29‐Nov‐12
11‐Jan‐13
26‐Mar‐13
26‐Jun‐09
27‐Mar‐13
28‐Mar‐13
9‐Apr‐13
19‐Dec‐08
13‐May‐09
17‐Jun‐09
26‐Jun‐09
6‐Feb‐13
7‐Feb‐13
26‐Mar‐13
24‐Apr‐09
27‐Mar‐09
18‐Sep‐12
19‐Sep‐12
20‐Sep‐12
16‐Nov‐12
30‐Jan‐09
22‐Sep‐11
6‐Mar‐09
15‐Sep‐11
9‐Jan‐09
17‐Jun‐09
29‐Jul‐09
29‐May‐09
26‐Jan‐11
9‐Jan‐09
2‐Nov‐11
21‐Nov‐08
19‐Jun‐12
22‐Aug‐12
19‐Dec‐08
11‐Aug‐11
2‐Nov‐11
21‐Aug‐09
26‐Mar‐13
27‐Mar‐13
28‐Mar‐13
9‐Apr‐13
30‐Jan‐09
27‐Sep‐13
30‐Jan‐09
18‐Apr‐12
6‐Mar‐13
21‐Nov‐08
6‐Apr‐11
14‐Sep‐11
6‐Dec‐11
29‐Dec‐09
27‐Feb‐09
Original Investment Type1
Preferred Stock w/ Warrants
Original Investment
Amount
$12,000,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
$0.00
$13,433,242.67
(Fee) 4
$12,000,000.00
Preferred Stock w/ Warrants
$4,400,000.00
$6,000,000.00
$0.00
Preferred Stock w/ Warrants
$16,369,000.00
$0.00
$9,229,948.97
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$111,000,000.00
$0.00
$125,480,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$10,870,902.67
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$3,500,000.00
$536,000.00
$11,748,156.44
$1,125,794.44
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
Redeemed, in full; warrants not outstanding
12,000
$1,000.00
$326,576.00
231,782
$220,000.00
220
$3,750,000.00
837,947
$500,000.00
500
$636,000.00
636
$337,363.35
326
$94,153.69
$44,746.31
101
48
Redeemed, in full; warrants not outstanding
$10,400,000.00
10,400
$1,000.00
$8,000,000.00
16,369
$488.70
$111,000,000.00
111,000
$1,000.00
$10,000,000.00
10,000
$1,000.00
2,964
$275.00
$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)
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
($8,369,000.00)
Sold, in part; warrants outstanding
$815,100.00
($2,148,900.00)
($50,000.00)
Preferred Stock w/ Exercised Warrants
$12,720,000.00
$0.00
$15,071,769.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,514,000.00
$0.00
$7,674,004.73
Sold, in full; warrants not outstanding
($64,026.11)
Preferred Stock w/ Warrants
$4,781,000.00
$0.00
$5,130,973.44
Sold, in full; warrants outstanding
$208,870.74
$4,058,697.67
($42,675.67)
($7,324.33)
Preferred Stock w/ Exercised Warrants
$2,986,000.00
$0.00
$3,581,397.27
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$26,918,000.00
$0.00
$28,356,360.00
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$12,000,000.00
$0.00
$9,806,136.60
Sold, in full; warrants not outstanding
$2,856,437.46
($25,000.00)
($90,025.20)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$3,652,000.00
$70,000,000.00
$3,652,000.00
$0.00
$409,753.00
$73,129,160.69
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
$280,115.76
$6,559,920.24
$50,160,264.00
($570,003.00)
Preferred Stock w/ Exercised Warrants
$3,674,000.00
$0.00
$4,387,576.45
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,492,000.00
$0.00
$2,960,021.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$3,388,890,000.00
$0.00
$3,803,257,308.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,800,000.00
$0.00
$2,052,682.49
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$0.00
$7,220,141.67
$3,674,000.00
3,674
$1,000.00
$184,000.00
184
$2,492,000.00
2,492
$1,000.00
$125,000.00
125
$3,388,890,000.00
3,388,890
$1,000.00
$340,000,000.00
24,264,129
$1,800,000.00
1,800
$1,000.00
$90,000.00
90
$6,000,000.00
6,000
$1,000.00
$300,000.00
300
52,000
$930.60
$2,670,000.00
698,554
$21,000,000.00
21,000
$1,000.00
$825,000.00
1,312,500
$359,040.00
$2,112,000.00
$2,328,960.00
374,000
2,200,000
2,426,000
$0.96
$0.96
$0.96
($14,960.00)
($88,000.00)
($97,040.00)
$259,875.00
250,000
($104,000,000.00)
$3,435,005.65
3,983,308
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$52,000,000.00
$0.00
$59,637,438.67
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$21,000,000.00
$0.00
$24,601,666.66
Redeemed, in full; warrants not outstanding
$48,391,200.00
Subordinated Debentures w/ Exercised Warrants
$5,000,000.00
$0.00
$6,523,255.00
($725,868.00)
($3,608,800.00)
Sold, in full; warrants not outstanding
($48,000.00)
Preferred Stock w/ Warrants
$110,000,000.00
$0.00
$6,000,000.00
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$8,152,000.00
$0.00
$9,643,136.33
Redeemed, in full; warrants outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$525,000,000.00
$2,000,000.00
$7,400,000.00
$0.00
$2,000,000.00
$0.00
$596,539,172.32
$122,724.78
$8,798,415.33
$6,000,000.00
60,000,000
$0.10
$4,076,000.00
$4,076,000.00
4,076
4,076
$1,000.00
$1,000.00
$262,500,000.00
$262,500,000.00
262,500
262,500
$1,000.00
$1,000.00
Redeemed, in full; warrants not outstanding
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
28
FootNote
11
8,44
8,17,44
11
11,8,14
8,14
83
8,14
6,7,11
8,14
44
8
11
11
11
8
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
14,8,14
Institution Name
AVENUE FINANCIAL HOLDINGS
AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO.
AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO.
AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO.
BANCINDEPENDENT, INCORPORATED
BANCINDEPENDENT, INCORPORATED
BANCORP FINANCIAL, INC.
BANCORP FINANCIAL, INC.
BANCORP RHODE ISLAND, INC.
BANCORP RHODE ISLAND, INC.
BANCORP RHODE ISLAND, INC.
BANCPLUS CORPORATION
BANCPLUS CORPORATION
BANCSTAR, INC.
BANCSTAR, INC.
BANCSTAR, INC.
BANCSTAR, INC.
BANCTRUST FINANCIAL GROUP, INC.
BANCTRUST FINANCIAL GROUP, INC.
BANK FINANCIAL SERVICES, INC.
BANK FINANCIAL SERVICES, INC.
BANK FINANCIAL SERVICES, INC.
BANK FINANCIAL SERVICES, INC.
BANK FINANCIAL SERVICES, INC.
BANK OF AMERICA
BANK OF AMERICA
BANK OF AMERICA
BANK OF AMERICA
BANK OF COMMERCE
BANK OF COMMERCE
BANK OF COMMERCE
BANK OF COMMERCE HOLDINGS
BANK OF COMMERCE HOLDINGS
BANK OF COMMERCE HOLDINGS
BANK OF GEORGE
BANK OF GEORGE
BANK OF GEORGE
BANK OF MARIN BANCORP
BANK OF MARIN BANCORP
BANK OF MARIN BANCORP
BANK OF NEW YORK MELLON
BANK OF NEW YORK MELLON
BANK OF NEW YORK MELLON
BANK OF THE CAROLINAS CORPORATION
BANK OF THE OZARKS, INC.
BANK OF THE OZARKS, INC.
BANK OF THE OZARKS, 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
BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC.
BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC.
BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC.
BERKSHIRE HILLS BANCORP, INC.
BERKSHIRE HILLS BANCORP, INC.
BERKSHIRE HILLS BANCORP, INC.
BERN BANCSHARES, INC.
BERN BANCSHARES, INC.
BIRMINGHAM BLOOMFIELD BANCSHARES, INC.
BIRMINGHAM BLOOMFIELD BANCSHARES, INC.
BIRMINGHAM BLOOMFIELD BANCSHARES, INC.
BISCAYNE BANCSHARES, INC.
BISCAYNE BANCSHARES, INC.
BISCAYNE BANCSHARES, INC.
BISCAYNE BANCSHARES, INC.
BLACKHAWK BANCORP, INC.
BLACKHAWK BANCORP, INC.
BLACKHAWK BANCORP, INC.
BLACKHAWK BANCORP, INC.
BLACKRIDGE FINANCIAL, INC.
BLACKRIDGE FINANCIAL, INC.
BLACKRIDGE FINANCIAL, INC.
City
NASHVILLE
PALO ALTO
PALO ALTO
PALO ALTO
SHEFFIELD
SHEFFIELD
OAK BROOK
OAK BROOK
PROVIDENCE
PROVIDENCE
PROVIDENCE
RIDGELAND
RIDGELAND
FESTUS
FESTUS
FESTUS
FESTUS
MOBILE
MOBILE
EDEN PRAIRIE
EDEN PRAIRIE
EDEN PRAIRIE
EDEN PRAIRIE
EDEN PRAIRIE
CHARLOTTE
CHARLOTTE
CHARLOTTE
CHARLOTTE
CHARLOTTE
CHARLOTTE
CHARLOTTE
REDDING
REDDING
REDDING
LAS VEGAS
LAS VEGAS
LAS VEGAS
NOVATO
NOVATO
NOVATO
NEW YORK
NEW YORK
NEW YORK
MOCKSVILLE
LITTLE ROCK
LITTLE ROCK
LITTLE ROCK
DENVER
MACON
MACON
GREENVILLE
GREENVILLE
GREENVILLE
GREENVILLE
WALLA WALLA
WALLA WALLA
WALLA WALLA
HARRISBURG
HARRISBURG
BAR HARBOR
BAR HARBOR
BAR HARBOR
WINSTON‐SALEM
WINSTON‐SALEM
WINSTON‐SALEM
THEODORE
BALTIMORE
BALTIMORE
BALTIMORE
MANHATTAN BEACH
MANHATTAN BEACH
MANHATTAN BEACH
MANHATTAN BEACH
MANHATTAN BEACH
MANHATTAN BEACH
PHOENIXVILLE
PHOENIXVILLE
PHOENIXVILLE
PITTSFIELD
PITTSFIELD
PITTSFIELD
BERN
BERN
BIRMINGHAM
BIRMINGHAM
BIRMINGHAM
COCONUT GROVE
COCONUT GROVE
COCONUT GROVE
COCONUT GROVE
BELOIT
BELOIT
BELOIT
BELOIT
FARGO
FARGO
FARGO
State
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
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
ND
ND
ND
Date
15‐Sep‐11
30‐Jan‐09
31‐Jul‐13
28‐Aug‐13
13‐Mar‐09
14‐Jul‐11
10‐Jul‐09
18‐Aug‐11
19‐Dec‐08
5‐Aug‐09
30‐Sep‐09
20‐Feb‐09
29‐Sep‐10
3‐Apr‐09
26‐Apr‐13
29‐Apr‐13
31‐May‐13
19‐Dec‐08
15‐Feb‐13
14‐Aug‐09
19‐Dec‐12
20‐Dec‐12
11‐Jan‐13
26‐Mar‐13
28‐Oct‐08
9‐Jan‐09
9‐Dec‐09
9‐Mar‐10
16‐Jan‐09
30‐Nov‐12
11‐Jan‐13
14‐Nov‐08
27‐Sep‐11
26‐Oct‐11
13‐Mar‐09
21‐Oct‐13
6‐Jan‐14
5‐Dec‐08
31‐Mar‐09
23‐Nov‐11
28‐Oct‐08
17‐Jun‐09
5‐Aug‐09
17‐Apr‐09
12‐Dec‐08
4‐Nov‐09
24‐Nov‐09
30‐Jan‐09
23‐Jan‐09
8‐Sep‐11
13‐Feb‐09
9‐Nov‐12
11‐Jan‐13
26‐Mar‐13
21‐Nov‐08
3‐Apr‐12
12‐Jun‐13
6‐Feb‐09
28‐Jul‐11
16‐Jan‐09
24‐Feb‐10
28‐Jul‐10
14‐Nov‐08
17‐Jun‐09
22‐Jul‐09
3‐Apr‐09
23‐Dec‐08
26‐Jan‐11
19‐Apr‐13
30‐Jan‐09
6‐Jul‐11
19‐Oct‐11
7‐Mar‐12
6‐Jun‐12
27‐Jun‐12
12‐Jun‐09
19‐Sep‐11
28‐Dec‐11
19‐Dec‐08
27‐May‐09
24‐Jun‐09
13‐Feb‐09
1‐Sep‐11
24‐Apr‐09
18‐Dec‐09
28‐Jul‐11
19‐Jun‐09
7‐Feb‐13
8‐Feb‐13
26‐Mar‐13
13‐Mar‐09
29‐Oct‐12
31‐Oct‐12
11‐Jan‐13
22‐May‐09
27‐Jun‐12
12‐Sep‐12
Original Investment Type1
Preferred Stock w/ Warrants
Original Investment
Amount
$6,000,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
$0.00
$7,563,057.15
$21,100,000.00
$0.00
$24,841,411.03
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$13,669,000.00
$0.00
$15,595,736.93
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$30,000,000.00
$48,000,000.00
$8,600,000.00
$0.00
$0.00
$0.00
$32,341,666.66
$54,607,399.33
$10,701,460.58
(Fee) 4
Shares
Avg. Price
$7,400,000.00
7,400
$1,000.00
$6,000,000.00
6,000
$1,000.00
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
$370,000.00
370
$190,781.12
81,670
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Capital Repayment / Disposition / Auction3,5
Amount
$21,100,000.00
21,100
$1,000.00
$1,055,000.00
1,055
$13,669,000.00
13,669
$1,000.00
$410,000.00
410
$30,000,000.00
30,000
$1,000.00
$1,400,000.00
192,967
$48,000,000.00
48,000
$1,000.00
$2,400,000.00
2,400
$98,267.00
$8,352,695.00
100
8,500
$982.70
$982.70
$426,338.55
430
$50,000,000.00
50,000
$1,000.00
$15,000.00
730,994
$451,600.92
$481,335.96
486
518
$929.20
$929.20
$23,500.00
50
1,000,000
$25,000.00
$305,913,040.28
121,792,790
3,000
$834.00
$100,100.00
150
$17,000,000.00
17,000
$1,000.00
$125,000.00
405,405
$955,240.00
2,672
$357.50
$23,709.00
134
$28,000,000.00
28,000
$1,000.00
$1,703,984.00
154,908
$3,000,000,000.00
3,000,000
$1,000.00
$136,000,000.00
14,516,129
$75,000,000.00
75,000
$1,000.00
$2,650,000.00
379,811
$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
$18,751,000.00
18,751
$1,000.00
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($1,733.00)
($147,305.00)
($84,509.62)
Preferred Stock w/ Warrants
$50,000,000.00
$0.00
$60,451,155.74
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,004,000.00
$0.00
$1,114,680.76
Sold, in full; warrants not outstanding
($34,399.08)
($36,664.04)
($9,329.37)
($15,670.63)
Preferred Stock w/ Warrants
$15,000,000,000.00
$10,000,000,000.00
$0.00
$26,599,663,040.28
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,000,000.00
$0.00
$3,087,573.33
Sold, in full; warrants not outstanding
$25,000,000,000.00
$2,502,000.00
($498,000.00)
($25,000.00)
Preferred Stock w/ Warrants
$17,000,000.00
$0.00
$19,564,027.78
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,672,000.00
$0.00
$1,233,940.00
Sold, in full; warrants not outstanding
($1,716,760.00)
($25,000.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$28,000,000.00
$3,000,000,000.00
$13,179,000.00
$75,000,000.00
$12,639,000.00
$15,500,000.00
$1,000,000.00
$0.00
$0.00
$13,179,000.00
$0.00
$12,639,000.00
$0.00
$0.00
$30,155,095.11
$3,231,416,666.67
$1,039,677.00
$81,004,166.67
$3,425,858.35
$18,492,469.25
$1,100,653.50
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($9,000.00)
($16,000.00)
Preferred Stock w/ Warrants
$124,000,000.00
$0.00
$129,079,862.47
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$795,000.00
$0.00
$942,411.42
Redeemed, in full; warrants not outstanding
$109,717,680.00
Preferred Stock w/ Warrants
$18,751,000.00
$0.00
$20,037,514.11
($1,645,765.20)
Preferred Stock w/ Warrants
$3,133,640,000.00
$0.00
$3,293,353,918.53
Redeemed, in full; warrants not outstanding
$1,706,000.00
$10,800,000.00
$1,706,000.00
$0.00
$173,507.50
$13,371,500.00
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$0.00
$7,263,316.66
Redeemed, in full; warrants not outstanding
$3,133,640,000.00
Preferred Stock w/ Warrants
$2,892,000.00
$40,000,000.00
$0.00
$0.00
$3,444,478.21
$41,917,777.78
4
$250,000.00
52,455
$67,010,401.86
13,902,573
$1,442,000.00
183,465
$300,000.00
300
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$40,000.00
3,134
$1,000,000.00
$10,800,000.00
10,800
$1,000.00
$1,500,000.00
$1,500,000.00
$1,500,000.00
$1,200,000.00
$300,000.00
1,500
1,500
1,500
1,200
300
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$0.00
$2,892,000.00
2,892
2,892
$1,000.00
$1,000.00
$40,000,000.00
40,000
$1,000.00
Redeemed, in full; warrants not outstanding
$145,000.00
145
$1,040,000.00
226,330
$50,000.00
5
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$985,000.00
$0.00
$1,172,062.50
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,635,000.00
$1,744,000.00
$0.00
$3,803,022.67
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$6,400,000.00
$0.00
$8,271,975.28
Sold, in full; warrants not outstanding
$985,000.00
985
$1,000.00
$3,379,000.00
3,379
$1,000.00
$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
2,250
2,750
$1,000.00
$1,000.00
$250,000.00
250
($62,329.60)
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$11,459,461.11
Sold, in full; warrants not outstanding
$186,550.00
$8,913,450.00
($91,000.00)
Preferred Stock w/ Exercised Warrants
$5,000,000.00
$0.00
$6,127,326.35
Redeemed, in full; warrants not outstanding
$2,250,000.00
$2,750,000.00
29
FootNote
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
11
Institution Name
City
State
Date
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.
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.
INDEPENDENCE
INDEPENDENCE
INDEPENDENCE
INDEPENDENCE
SHELBYVILLE
SHELBYVILLE
OVERLAND PARK
OVERLAND PARK
OVERLAND PARK
OVERLAND PARK
NEW YORK
NEW YORK
THOMASVILLE
THOMASVILLE
THOMASVILLE
NEW CANAAN
NEW CANAAN
BISMARCK
HOUSTON
HOUSTON
BOSCOBEL
BOSCOBEL
BOSCOBEL
BOSCOBEL
BOSTON
BOSTON
BOSTON
BOSTON
SAN JOSE
SAN JOSE
SAN JOSE
SAN JOSE
BRIDGEVIEW
BRIDGEVIEW
BRIDGEVIEW
MO
MO
MO
MO
IN
IN
KS
KS
KS
KS
NY
NY
NC
NC
NC
CT
CT
ND
TX
TX
WI
WI
WI
WI
MA
MA
MA
MA
CA
CA
CA
CA
IL
IL
IL
6‐Mar‐09
29‐Oct‐12
31‐Oct‐12
11‐Jan‐13
6‐Mar‐09
10‐Feb‐12
5‐Dec‐08
18‐Oct‐13
21‐Oct‐13
6‐Jan‐14
17‐Apr‐09
30‐Aug‐13
5‐Dec‐08
29‐Aug‐12
19‐Sep‐12
27‐Feb‐09
4‐Aug‐11
16‐Jan‐09
6‐Mar‐09
14‐Jul‐11
15‐May‐09
8‐Mar‐13
11‐Mar‐13
9‐Apr‐13
21‐Nov‐08
13‐Jan‐10
16‐Jun‐10
7‐Feb‐11
23‐Dec‐08
23‐Feb‐11
16‐Mar‐11
20‐Apr‐11
19‐Dec‐08
19‐Nov‐13
6‐Jan‐14
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
CACHE VALLEY BANKING COMPANY
CACHE VALLEY BANKING COMPANY
CACHE VALLEY BANKING COMPANY
CADENCE FINANCIAL CORPORATION
CADENCE FINANCIAL CORPORATION
CALIFORNIA BANK OF COMMERCE
CALIFORNIA BANK OF COMMERCE
CALIFORNIA OAKS STATE BANK
CALIFORNIA OAKS STATE BANK
CALVERT FINANCIAL CORPORATION
CALWEST BANCORP
CAPITAL BANCORP, INC.
CAPITAL BANCORP, INC.
CAPITAL BANK CORPORATION
CAPITAL BANK CORPORATION
CAPITAL COMMERCE BANCORP, INC.
CAPITAL ONE FINANCIAL CORP
CAPITAL ONE FINANCIAL CORP
CAPITAL ONE FINANCIAL CORP
CAPITAL PACIFIC BANCORP
CAPITAL PACIFIC BANCORP
CAPITAL PACIFIC BANCORP
CAPITAL PACIFIC BANCORP
CARDINAL BANCORP II, INC.
CARDINAL BANCORP II, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA TRUST BANK
CAROLINA TRUST BANK
CAROLINA TRUST BANK
CAROLINA TRUST BANK
CAROLINA TRUST BANK
CARROLLTON BANCORP
CARROLLTON BANCORP
CARVER BANCORP, INC.
CARVER BANCORP, INC.
CASCADE FINANCIAL CORPORATION
CASCADE FINANCIAL CORPORATION
CATHAY GENERAL BANCORP
CATHAY GENERAL BANCORP
CATHAY GENERAL BANCORP
LOS ANGELES
CA
LOS ANGELES
CA
KAUKAUNA
WI
KAUKAUNA
WI
KAUKAUNA
WI
KAUKAUNA
WI
KANSAS CITY
KS
KANSAS CITY
KS
CLAYTON
MO
CLAYTON
MO
CLAYTON
MO
CLAYTON
MO
CATLIN
IL
CATLIN
IL
WEST POINT
VA
WEST POINT
VA
WEST POINT
VA
LOGAN
UT
LOGAN
UT
LOGAN
UT
STARKVILLE
MS
STARKVILLE
MS
LAFAYETTE
CA
LAFAYETTE
CA
THOUSAND OAKS
CA
THOUSAND OAKS
CA
ASHLAND
MO
RANCHO SANTA MARGARITCA
ROCKVILLE
MD
ROCKVILLE
MD
RALEIGH
NC
RALEIGH
NC
MILWAUKEE
WI
MCLEAN
VA
MCLEAN
VA
MCLEAN
VA
PORTLAND
OR
PORTLAND
OR
PORTLAND
OR
PORTLAND
OR
WASHINGTON
MO
WASHINGTON
MO
GREENSBORO
NC
GREENSBORO
NC
GREENSBORO
NC
GREENSBORO
NC
GREENSBORO
NC
LINCOLNTON
NC
LINCOLNTON
NC
LINCOLNTON
NC
LINCOLNTON
NC
LINCOLNTON
NC
BALTIMORE
MD
BALTIMORE
MD
NEW YORK
NY
NEW YORK
NY
EVERETT
WA
EVERETT
WA
LOS ANGELES
CA
LOS ANGELES
CA
LOS ANGELES
CA
14‐Nov‐08
4‐Dec‐09
15‐May‐09
26‐Apr‐13
29‐Apr‐13
31‐May‐13
17‐Jul‐09
15‐Sep‐11
24‐Apr‐09
23‐May‐12
9‐Jan‐13
24‐Apr‐13
13‐Mar‐09
2‐Nov‐11
9‐Jan‐09
27‐Jul‐11
11‐Apr‐12
23‐Dec‐08
18‐Dec‐09
14‐Jul‐11
9‐Jan‐09
4‐Mar‐11
27‐Feb‐09
15‐Sep‐11
23‐Jan‐09
8‐Dec‐10
23‐Jan‐09
23‐Jan‐09
23‐Dec‐08
30‐Dec‐10
12‐Dec‐08
28‐Jan‐11
10‐Apr‐09
14‐Nov‐08
17‐Jun‐09
9‐Dec‐09
23‐Dec‐08
8‐Nov‐12
9‐Nov‐12
11‐Jan‐13
23‐Oct‐09
8‐Sep‐11
9‐Jan‐09
20‐Feb‐13
21‐Feb‐13
26‐Mar‐13
19‐Apr‐13
6‐Feb‐09
30‐Nov‐12
11‐Jan‐13
26‐Mar‐13
11‐Jun‐13
13‐Feb‐09
19‐Apr‐13
16‐Jan‐09
27‐Aug‐10
21‐Nov‐08
30‐Jun‐11
5‐Dec‐08
20‐Mar‐13
30‐Sep‐13
Original Investment Type1
Preferred Stock w/ Exercised Warrants
Original Investment
Amount
$12,000,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
$0.00
$11,938,437.34
(Fee) 4
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
Sold, in full; warrants not outstanding
$19,630.00
$9,040,370.00
26
11,974
$755.00
$755.00
3,250
18,500
$977.60
$977.60
($6,370.00)
($2,933,630.00)
$541,793.34
600
$375,000.00
375
$939,920.00
543,337
$240,000.00
240
($90,600.00)
Preferred Stock w/ Exercised Warrants
$5,000,000.00
$0.00
$529,105.00
Currently not collectible
Preferred Stock w/ Warrants
$21,750,000.00
$0.00
$21,261,845.65
Sold, in full; warrants outstanding
($5,000,000.00)
$3,177,232.50
$18,085,785.00
($72,767.50)
($414,215.00)
($212,630.18)
Preferred Stock w/ Exercised Warrants
$7,500,000.00
$0.00
$9,776,051.62
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$31,260,000.00
$0.00
$35,140,666.12
Sold, in full; warrants not outstanding
$7,500,000.00
7,500
$1,000.00
31,260
$921.20
4,797
$1,000.00
$10,000,000.00
10,000
$1,000.00
$5,586,000.00
5,586,000
$1.11
$50,000,000.00
$104,000,000.00
50,000
104,000
$1,000.00
$1,000.00
$15,000,000.00
$8,864,000.00
15,000
8,864
$1,000.00
$1,000.00
38,000
$275.00
60,000
2,340,000
$1.05
$1.05
$28,797,649.80
Preferred Stock w/ Exercised Warrants
$4,797,000.00
$0.00
$5,673,920.75
($431,964.75)
($2,462,350.20)
Redeemed, in full; warrants not outstanding
$4,797,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$20,093,000.00
$10,000,000.00
$20,093,000.00
$0.00
$5,589,559.22
$11,783,777.44
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$5,586,000.00
$0.00
$6,947,457.50
Sold, in full; warrants not outstanding
$592,730.46
$500,000.00
500
$232,180.54
$129,709.80
179,000
100,000
$6,202,523.25
2,887,500
$1,395,000.00
396,412
$709,155.81
1,900
$125,135.60
120,000
($61,787.30)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$154,000,000.00
$23,864,000.00
$38,000,000.00
$0.00
$0.00
$0.00
$171,224,745.48
$27,872,582.22
$13,447,811.37
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$10,450,000.00
($27,550,000.00)
($104,500.00)
Preferred Stock w/ Warrants
Subordinated Debentures w/ Exercised Warrants
$9,000,000.00
$6,000,000.00
$2,400,000.00
$15,000,000.00
$810,416.67
Full investment outstanding; warrants not outstanding
$0.00
$3,022,879.60
Sold, in full; warrants not outstanding
$60,000.00
$2,340,000.00
$3,000.60
$117,023.40
($25,000.00)
Preferred Stock w/ Exercised Warrants
$11,000,000.00
$0.00
$12,845,586.01
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$15,000,000.00
$0.00
$18,707,708.84
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$607,000.00
$20,000,000.00
$0.00
$0.00
$724,123.53
$22,902,777.78
$11,000,000.00
11,000
$1,000.00
$550,000.00
550
$6,000,000.00
$2,500,000.00
$6,500,000.00
6,000
2,500
6,500
$1,000.00
$1,000.00
$1,000.00
$750,000.00
750
$607,000.00
607
$1,000.00
$30,000.00
30
$10,000,000.00
$10,000,000.00
10,000
10,000
$1,000.00
$1,000.00
$9,407,000.00
9,407
$1,000.00
$238,000.00
238
$38,000,000.00
44,000
$863.60
$4,000,000.00
4,000
$1,000.00
$200,000.00
200
$3,300,000.00
3,300
$1,000.00
$165,000.00
165
$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
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$4,767,000.00
$4,640,000.00
$0.00
$10,674,333.80
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$44,000,000.00
$0.00
$41,984,062.50
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$4,755,899.67
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,300,000.00
$0.00
$3,802,219.25
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$1,037,000.00
$4,656,000.00
$4,700,000.00
$1,037,000.00
$4,656,000.00
$0.00
$215,442.61
$396,163.67
$5,452,281.19
Full investment outstanding; warrants outstanding
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$41,279,000.00
$0.00
$45,252,104.25
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$5,100,000.00
$3,555,199,000.00
$5,100,000.00
$0.00
$304,973.00
$3,806,873,702.13
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$4,742,850.89
Sold, in full; warrants not outstanding
$4,700,000.00
4,700
$1,000.00
$41,279,000.00
41,279
$1,000.00
$3,555,199,000.00
3,555,199
$1,000.00
$247,727.04
$3,505,712.96
264
3,736
$938.40
$938.40
($6,000,000.00)
($16,272.96)
($230,287.04)
($25,000.00)
Subordinated Debentures w/ Exercised Warrants
$6,251,000.00
$0.00
$7,547,479.56
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$16,000,000.00
$0.00
$19,941,788.94
Sold, in full; warrants not outstanding
$6,251,000.00
6,251,000
$1.00
$14,525,843.40
$435,756.60
15,534
466
$935.10
$935.10
($1,008,156.60)
($30,243.40)
4,000
$853.00
($588,000.00)
$9,201,000.00
9,201
$1,000.00
$18,980,000.00
18,980
$1,000.00
$16,250,000.00
38,970
$417.00
$129,000,000.00
$129,000,000.00
129,000
129,000
$1,000.00
$1,000.00
($149,616.00)
Preferred Stock w/ Warrants
$4,000,000.00
$0.00
$3,994,452.00
Sold, in full; warrants not outstanding
$3,412,000.00
($34,120.00)
($15,880.00)
Preferred Stock w/ Warrants
$9,201,000.00
$0.00
$11,388,958.51
Preferred Stock
$18,980,000.00
$0.00
$20,511,580.55
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$38,970,000.00
$0.00
$17,678,900.00
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$258,000,000.00
$0.00
$329,874,444.96
$19,132.00
86,957
$213,594.16
205,379
Redeemed, in full; warrants not outstanding
($22,720,000.00)
Redeemed, in full; warrants not outstanding
30
FootNote
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
8
8
44,8,14
11
Institution Name
CATHAY GENERAL BANCORP
CATSKILL HUDSON BANCORP, INC.
CATSKILL HUDSON BANCORP, INC.
CATSKILL HUDSON BANCORP, INC.
CB HOLDING CORP.
CB HOLDING CORP.
CBB BANCORP
CBB BANCORP
CBB BANCORP
CBB BANCORP
CBB BANCORP
CBB BANCORP
CBS BANC‐CORP.
CBS BANC‐CORP.
CBS BANC‐CORP.
CBS BANC‐CORP.
CBS BANC‐CORP.
CECIL BANCORP, INC.
CEDARSTONE BANK
CEDARSTONE BANK
CENTER BANCORP, INC.
CENTER BANCORP, INC.
CENTER BANCORP, INC.
CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC.
CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC.
CENTERBANK
CENTERBANK
CENTERBANK
CENTERBANK
CENTERBANK
CENTERSTATE BANKS OF FLORIDA INC.
CENTERSTATE BANKS OF FLORIDA INC.
CENTERSTATE BANKS OF FLORIDA INC.
CENTRA FINANCIAL HOLDINGS, INC.
CENTRA FINANCIAL HOLDINGS, INC.
CENTRA FINANCIAL HOLDINGS, INC.
CENTRAL BANCORP, INC. (MA)
CENTRAL BANCORP, INC. (MA)
CENTRAL BANCORP, INC. (MA)
CENTRAL BANCORP, INC. (TX)
CENTRAL BANCSHARES, INC.
CENTRAL BANCSHARES, INC.
CENTRAL COMMUNITY CORPORATION
CENTRAL COMMUNITY CORPORATION
CENTRAL COMMUNITY CORPORATION
CENTRAL COMMUNITY CORPORATION
CENTRAL FEDERAL CORPORATION
CENTRAL FEDERAL CORPORATION
CENTRAL JERSEY BANCORP
CENTRAL JERSEY BANCORP
CENTRAL JERSEY BANCORP
CENTRAL PACIFIC FINANCIAL CORP.
CENTRAL PACIFIC FINANCIAL CORP.
CENTRAL PACIFIC FINANCIAL CORP.
CENTRAL PACIFIC FINANCIAL CORP.
CENTRAL VALLEY COMMUNITY BANCORP
CENTRAL VALLEY COMMUNITY BANCORP
CENTRAL VALLEY COMMUNITY BANCORP
CENTRAL VIRGINIA BANKSHARES, INC.
CENTRAL VIRGINIA BANKSHARES, INC.
CENTRIC FINANCIAL CORPORATION
CENTRIC FINANCIAL CORPORATION
CENTRIX BANK & TRUST
CENTRIX BANK & TRUST
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTURY FINANCIAL SERVICES CORPORATION
CENTURY FINANCIAL SERVICES CORPORATION
CENTURY FINANCIAL SERVICES CORPORATION
CENTURY FINANCIAL SERVICES CORPORATION
CHAMBERS BANCSHARES, INC.
CHICAGO SHORE CORPORATION
CIT GROUP INC.
CIT GROUP INC.
CITIGROUP INC.
CITIGROUP INC.
CITIGROUP INC.
CITIZENS & NORTHERN CORPORATION
CITIZENS & NORTHERN CORPORATION
CITIZENS & NORTHERN CORPORATION
CITIZENS BANCORP
CITIZENS BANCORP
CITIZENS BANCSHARES CO.
CITIZENS BANCSHARES CO.
CITIZENS BANCSHARES CO.
CITIZENS BANCSHARES CO.
CITIZENS BANCSHARES CORPORATION
CITIZENS BANCSHARES CORPORATION
CITIZENS BANK & TRUST COMPANY, ESTABLISHED 1945
CITIZENS COMMERCE BANCSHARES, INC.
CITIZENS COMMUNITY BANK
CITIZENS COMMUNITY BANK
CITIZENS FIRST CORPORATION
CITIZENS FIRST CORPORATION
City
LOS ANGELES
ROCK HILL
ROCK HILL
ROCK HILL
ALEDO
ALEDO
CARTERSVILLE
CARTERSVILLE
CARTERSVILLE
CARTERSVILLE
CARTERSVILLE
CARTERSVILLE
RUSSELLVILLE
RUSSELLVILLE
RUSSELLVILLE
RUSSELLVILLE
RUSSELLVILLE
ELKTON
LEBANON
LEBANON
UNION
UNION
UNION
LOS ANGELES
LOS ANGELES
MILFORD
MILFORD
MILFORD
MILFORD
MILFORD
DAVENPORT
DAVENPORT
DAVENPORT
MORGANTOWN
MORGANTOWN
MORGANTOWN
SOMERVILLE
SOMERVILLE
SOMERVILLE
GARLAND
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
SANTA FE
SANTA FE
SANTA FE
SANTA FE
DANVILLE
CHICAGO
NEW YORK
NEW YORK
NEW YORK
NEW YORK
NEW YORK
WELLSBORO
WELLSBORO
WELLSBORO
NEVADA CITY
NEVADA CITY
CHILLICOTHE
CHILLICOTHE
CHILLICOTHE
CHILLICOTHE
ATLANTA
ATLANTA
COVINGTON
VERSAILLES
SOUTH HILL
SOUTH HILL
BOWLING GREEN
BOWLING GREEN
State
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
NM
NM
NM
NM
AR
IL
NY
NY
NY
NY
NY
PA
PA
PA
CA
CA
MO
MO
MO
MO
GA
GA
LA
KY
VA
VA
KY
KY
Date
9‐Dec‐13
27‐Feb‐09
22‐Dec‐09
21‐Jul‐11
29‐May‐09
14‐Oct‐11
20‐Feb‐09
29‐Dec‐09
28‐Nov‐12
29‐Nov‐12
11‐Jan‐13
26‐Mar‐13
27‐Mar‐09
7‐Aug‐12
9‐Aug‐12
10‐Aug‐12
11‐Sep‐12
23‐Dec‐08
6‐Feb‐09
20‐Nov‐13
9‐Jan‐09
15‐Sep‐11
7‐Dec‐11
12‐Dec‐08
27‐Jun‐12
1‐May‐09
29‐Oct‐12
1‐Nov‐12
11‐Jan‐13
26‐Mar‐13
21‐Nov‐08
30‐Sep‐09
28‐Oct‐09
16‐Jan‐09
31‐Mar‐09
15‐Apr‐09
5‐Dec‐08
25‐Aug‐11
19‐Oct‐11
27‐Feb‐09
30‐Jan‐09
6‐Jul‐11
20‐Feb‐09
10‐Dec‐12
11‐Dec‐12
11‐Jan‐13
5‐Dec‐08
26‐Sep‐12
23‐Dec‐08
24‐Nov‐10
1‐Dec‐10
9‐Jan‐09
22‐Jun‐11
4‐Apr‐12
11‐Jun‐13
30‐Jan‐09
18‐Aug‐11
28‐Sep‐11
30‐Jan‐09
1‐Oct‐13
18‐Dec‐09
14‐Jul‐11
6‐Feb‐09
28‐Jul‐11
9‐Jan‐09
25‐Sep‐13
18‐Oct‐13
29‐Oct‐13
6‐Jan‐14
19‐Jun‐09
19‐Dec‐12
20‐Dec‐12
11‐Jan‐13
29‐May‐09
31‐Jul‐09
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‐Mar‐13
6‐Mar‐09
13‐Aug‐10
20‐Mar‐09
6‐Feb‐09
23‐Dec‐08
28‐Jul‐11
19‐Dec‐08
16‐Feb‐11
Original Investment Type1
Preferred Stock w/ Exercised Warrants
Original Investment
Amount
$3,000,000.00
$3,500,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
$0.00
$7,448,071.47
(Fee) 4
$4,114,000.00
$0.00
$271,579.53
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
$13,107,778.30
1,846,374
$263,000.00
263
Redeemed, in full; warrants not outstanding
$6,500,000.00
Preferred Stock w/ Exercised Warrants
Shares
6,500
$1,000.00
Currently not collectible
($4,114,000.00)
Preferred Stock w/ Exercised Warrants
$2,644,000.00
$1,753,000.00
$0.00
$4,982,141.86
Sold, in full; warrants not outstanding
$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)
Preferred Stock w/ Exercised Warrants
$24,300,000.00
$0.00
$27,432,357.95
Sold, in full; warrants not outstanding
$923,304.00
$21,073,056.00
($219,963.60)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$11,560,000.00
$3,564,000.00
$11,560,000.00
$0.00
$516,988.89
$4,672,098.50
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$10,000,000.00
$0.00
$11,586,666.67
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$55,000,000.00
$0.00
$64,739,583.33
Redeemed, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$2,250,000.00
$0.00
$2,344,662.43
Sold, in full; warrants not outstanding
$55,000,000.00
55,000
$1,000.00
$24,750.00
$1,831,500.00
30
2,220
$825.00
$825.00
$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
($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)
Preferred Stock w/ Warrants
$27,875,000.00
$0.00
$29,283,302.58
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$15,000,000.00
$0.00
$15,922,937.50
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$10,000,000.00
$0.00
$13,886,111.11
$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, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$22,500,000.00
$5,800,000.00
$22,500,000.00
$0.00
$2,411,625.00
$6,859,176.83
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$22,000,000.00
$0.00
$25,797,528.80
Sold, in full; warrants not outstanding
$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)
($4,225,000.00)
($203,764.00)
Preferred Stock w/ Warrants
$7,225,000.00
$0.00
$3,612,118.06
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$11,300,000.00
$0.00
$12,704,145.10
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$135,000,000.00
$0.00
$75,036,891.42
$3,000,000.00
7,225
$415.20
$11,300,000.00
11,300
$1,000.00
2,850,000
2,770,117
$12.75
$13.15
7,000
$1,000.00
Sold, in full; warrants not outstanding
$36,337,500.00
$36,427,038.55
Preferred Stock w/ Warrants
$7,000,000.00
$0.00
$8,077,516.47
($454,218.75)
($387,816.38)
Redeemed, in full; warrants not outstanding
$7,000,000.00
Preferred Stock w/ Warrants
$11,385,000.00
$0.00
$3,800,656.00
Sold, in full; warrants not outstanding
$3,350,000.00
Preferred Stock w/ Exercised Warrants
$6,056,000.00
$0.00
$6,739,821.89
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$7,500,000.00
$0.00
$8,887,791.42
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$32,668,000.00
$1,402,000.00
$10,631,525.50
($32,121,928.87)
($30,113,532.58)
11,385
$294.20
($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)
40,000
9,960,000
$0.99
$0.99
($600.00)
($149,400.00)
$198,635.58
$297,953.37
200,000
300,000
$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
$150,000.00
150
Sold, in part; warrants outstanding
$8,211,450.00
$1,950,000.00
($82,114.50)
($19,500.00)
Subordinated Debentures w/ Exercised Warrants
$10,000,000.00
$0.00
$13,186,960.25
Sold, in full; warrants not outstanding
$39,400.00
$9,810,600.00
($98,500.00)
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$19,817,000.00
$7,000,000.00
$2,330,000,000.00
$19,817,000.00
$7,000,000.00
$0.00
$5,754,674.98
$1,637,270.81
$43,687,500.00
Full investment outstanding; warrants outstanding
Full investment outstanding; warrants outstanding
Exited bankruptcy/receivership
Preferred Stock w/ Warrants
$25,000,000,000.00
$0.00
$32,839,267,986.44
Redeemed, in full; warrants not outstanding
($2,330,000,000.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$26,440,000.00
$10,400,000.00
$0.00
$0.00
$28,889,100.00
$223,571.11
$6,852,354,470.93
Redeemed, in full; warrants not outstanding
Currently not collectible
($10,400,000.00)
Preferred Stock w/ Exercised Warrants
$24,990,000.00
$0.00
$13,952,381.45
Sold, in full; warrants not outstanding
$6,657,375.00
$6,150,000.00
12,990
12,000
$512.50
$512.50
$7,462,000.00
7,462
$1,000.00
$3,000,000.00
3,000
$1,000.00
$2,212,308.00
63
$35,116.00
($6,332,625.00)
($5,850,000.00)
($128,073.75)
Preferred Stock
$7,462,000.00
$0.00
$7,997,813.22
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$2,400,000.00
$6,300,000.00
$3,000,000.00
$2,400,000.00
$6,300,000.00
$0.00
$445,083.00
$180,258.50
$3,574,645.84
Full investment outstanding; warrants outstanding
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$8,779,000.00
$0.00
$10,530,923.11
Redeemed, in full; warrants outstanding
31
FootNote
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
8
8,67
8,14
Institution Name
City
State
Date
CITIZENS FIRST CORPORATION
CITIZENS FIRST CORPORATION
CITIZENS REPUBLIC BANCORP, INC.
CITIZENS REPUBLIC BANCORP, INC.
CITIZENS SOUTH BANKING CORPORATION
CITIZENS SOUTH BANKING CORPORATION
CITIZENS SOUTH BANKING CORPORATION
BOWLING GREEN
BOWLING GREEN
FLINT
FLINT
GASTONIA
GASTONIA
GASTONIA
KY
KY
MI
MI
NC
NC
NC
13‐Feb‐13
15‐Jan‐14
12‐Dec‐08
12‐Apr‐13
12‐Dec‐08
22‐Sep‐11
9‐Nov‐11
CITY NATIONAL BANCSHARES CORPORATION
CITY NATIONAL CORPORATION
CITY NATIONAL CORPORATION
CITY NATIONAL CORPORATION
CITY NATIONAL CORPORATION
CLOVER COMMUNITY BANKSHARES, INC.
CLOVER COMMUNITY BANKSHARES, INC.
CLOVER COMMUNITY BANKSHARES, INC.
CLOVER COMMUNITY BANKSHARES, INC.
COASTAL BANKING COMPANY, INC.
COASTAL BANKING COMPANY, INC.
COASTAL BANKING COMPANY, INC.
COASTAL BANKING COMPANY, INC.
COASTAL BANKING COMPANY, INC.
COASTAL BANKING COMPANY, INC.
COASTALSOUTH BANCHARES, INC.
COASTALSOUTH BANCHARES, INC.
COASTALSOUTH BANCHARES, INC.
COASTALSOUTH BANCHARES, INC.
COBIZ FINANCIAL INC.
COBIZ FINANCIAL INC.
COBIZ FINANCIAL INC.
CODORUS VALLEY BANCORP, INC.
CODORUS VALLEY BANCORP, INC.
CODORUS VALLEY BANCORP, INC.
COLOEAST BANKSHARES, INC.
COLOEAST BANKSHARES, INC.
COLOEAST BANKSHARES, INC.
COLOEAST BANKSHARES, INC.
COLONIAL AMERICAN BANK
COLONIAL AMERICAN BANK
COLONY BANKCORP, INC.
COLONY BANKCORP, INC.
COLONY BANKCORP, INC.
COLONY BANKCORP, INC.
COLONY BANKCORP, INC.
COLUMBIA BANKING SYSTEM, INC.
COLUMBIA BANKING SYSTEM, INC.
COLUMBIA BANKING SYSTEM, INC.
COLUMBINE CAPITAL CORP.
COLUMBINE CAPITAL CORP.
COMERICA INC.
COMERICA INC.
COMERICA INC.
COMMERCE NATIONAL BANK
COMMERCE NATIONAL BANK
COMMERCE NATIONAL BANK
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BUSINESS BANK
COMMONWEALTH BUSINESS BANK
COMMONWEALTH BUSINESS BANK
COMMUNITY 1ST BANK
COMMUNITY 1ST BANK
COMMUNITY BANCSHARES OF KANSAS, INC.
COMMUNITY BANCSHARES OF KANSAS, INC.
COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY BANK OF MISSISSIPPI
COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY BANK OF MISSISSIPPI
COMMUNITY BANCSHARES, INC.
COMMUNITY BANK OF THE BAY
COMMUNITY BANK OF THE BAY
COMMUNITY BANK SHARES OF INDIANA, INC.
COMMUNITY BANK SHARES OF INDIANA, INC.
COMMUNITY BANK SHARES OF INDIANA, INC.
COMMUNITY BANKERS TRUST CORPORATION
COMMUNITY BANKERS TRUST CORPORATION
COMMUNITY BANKERS TRUST CORPORATION
COMMUNITY BUSINESS BANK
COMMUNITY BUSINESS BANK
COMMUNITY BUSINESS BANK
COMMUNITY FINANCIAL CORPORATION
COMMUNITY FINANCIAL CORPORATION
COMMUNITY FINANCIAL SHARES, INC.
COMMUNITY FINANCIAL SHARES, INC.
COMMUNITY FIRST BANCSHARES, INC. (AR)
COMMUNITY FIRST BANCSHARES, INC. (TN)
COMMUNITY FIRST BANCSHARES, INC. (TN)
COMMUNITY FIRST, INC.
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC.
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC.
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC.
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC.
COMMUNITY INVESTORS BANCORP, INC.
COMMUNITY INVESTORS BANCORP, INC.
COMMUNITY INVESTORS BANCORP, INC.
NEWARK
BEVERLY HILLS
BEVERLY HILLS
BEVERLY HILLS
BEVERLY HILLS
CLOVER
CLOVER
CLOVER
CLOVER
FERNANDINA BEACH
FERNANDINA BEACH
FERNANDINA BEACH
FERNANDINA BEACH
FERNANDINA BEACH
FERNANDINA BEACH
HILTON HEAD ISLAND
HILTON HEAD ISLAND
HILTON HEAD ISLAND
HILTON HEAD ISLAND
DENVER
DENVER
DENVER
YORK
YORK
YORK
LAMAR
LAMAR
LAMAR
LAMAR
WEST CONSHOHOCKEN
WEST CONSHOHOCKEN
FITZGERALD
FITZGERALD
FITZGERALD
FITZGERALD
FITZGERALD
TACOMA
TACOMA
TACOMA
BUENA VISTA
BUENA VISTA
DALLAS
DALLAS
DALLAS
NEWPORT BEACH
NEWPORT BEACH
NEWPORT BEACH
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOS ANGELES
LOS ANGELES
LOS ANGELES
ROSEVILLE
ROSEVILLE
GOFF
GOFF
BRANDON
BRANDON
KINGMAN
OAKLAND
OAKLAND
NEW ALBANY
NEW ALBANY
NEW ALBANY
GLEN ALLEN
GLEN ALLEN
GLEN ALLEN
WEST SACRAMENTO
WEST SACRAMENTO
WEST SACRAMENTO
STAUNTON
STAUNTON
GLEN ELLYN
GLEN ELLYN
HARRISON
UNION CITY
UNION CITY
COLUMBIA
BRANDON
BRANDON
BRANDON
BRANDON
BUCYRUS
BUCYRUS
BUCYRUS
NJ
CA
CA
CA
CA
SC
SC
SC
SC
FL
FL
FL
FL
FL
FL
SC
SC
SC
SC
CO
CO
CO
PA
PA
PA
CO
CO
CO
CO
PA
PA
GA
GA
GA
GA
GA
WA
WA
WA
CO
CO
TX
TX
TX
CA
CA
CA
KY
KY
KY
KY
KY
KY
CA
CA
CA
CA
CA
KS
KS
MS
MS
AZ
CA
CA
IN
IN
IN
VA
VA
VA
CA
CA
CA
VA
VA
IL
IL
AR
TN
TN
TN
MS
MS
MS
MS
OH
OH
OH
10‐Apr‐09
21‐Nov‐08
30‐Dec‐09
3‐Mar‐10
7‐Apr‐10
27‐Mar‐09
28‐Nov‐12
29‐Nov‐12
11‐Jan‐13
5‐Dec‐08
8‐Mar‐13
11‐Mar‐13
9‐Apr‐13
10‐Apr‐13
12‐Jun‐13
28‐Aug‐09
8‐Mar‐13
11‐Mar‐13
9‐Apr‐13
19‐Dec‐08
8‐Sep‐11
23‐Nov‐11
9‐Jan‐09
18‐Aug‐11
28‐Sep‐11
13‐Feb‐09
19‐Jul‐13
22‐Jul‐13
12‐Sep‐13
27‐Mar‐09
26‐Oct‐11
9‐Jan‐09
7‐Feb‐13
8‐Feb‐13
26‐Mar‐13
12‐Jun‐13
21‐Nov‐08
11‐Aug‐10
1‐Sep‐10
27‐Feb‐09
22‐Sep‐11
14‐Nov‐08
17‐Mar‐10
12‐May‐10
9‐Jan‐09
7‐Oct‐09
1‐Oct‐13
22‐May‐09
7‐Aug‐12
8‐Aug‐12
9‐Aug‐12
10‐Aug‐12
11‐Sep‐12
23‐Jan‐09
17‐Jul‐13
12‐Sep‐13
16‐Jan‐09
19‐Dec‐12
6‐Mar‐09
18‐Jul‐12
11‐Sep‐09
29‐Sep‐10
24‐Jul‐09
16‐Jan‐09
29‐Sep‐10
29‐May‐09
15‐Sep‐11
19‐Oct‐11
19‐Dec‐08
24‐Jul‐13
20‐Nov‐13
27‐Feb‐09
30‐Nov‐12
11‐Jan‐13
19‐Dec‐08
9‐Jan‐13
15‐May‐09
21‐Dec‐12
3‐Apr‐09
20‐Mar‐09
18‐Aug‐11
27‐Feb‐09
6‐Feb‐09
30‐Nov‐12
11‐Jan‐13
26‐Mar‐13
23‐Dec‐08
19‐Dec‐12
20‐Dec‐12
Original Investment Type1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Investment Status*
Preferred Stock w/ Warrants
$300,000,000.00
$0.00
$369,245,436.64
Redeemed, in full; warrants outstanding
Preferred Stock w/ Warrants
$20,500,000.00
$0.00
$23,572,379.22
Redeemed, in full; warrants not outstanding
Preferred Stock
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$9,439,000.00
$400,000,000.00
$3,000,000.00
Capital Repayment / Disposition / Auction3,5
Amount
$9,439,000.00
$0.00
$0.00
$281,859.00
$442,416,666.67
$3,318,585.05
(Fee) 4
Shares
Avg. Price
$3,300,904.00
$3,265,788.00
94
93
$300,000,000.00
300,000
$1,000.00
$20,500,000.00
20,500
$1,000.00
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
$35,116.00
$35,116.00
$225,157.00
450,314
$18,500,000.00
1,128,668
$114,021.50
150
$99,000.00
$225,647.45
60,000
145,579
$389,857.05
$25,990.47
450
30
$143,677.00
895,968
$526,604.00
263,859
Full investment outstanding; warrants not outstanding
Redeemed, in full; warrants not outstanding
$200,000,000.00
$200,000,000.00
200,000
200,000
$1,000.00
$1,000.00
$955,825.50
$1,662,874.50
1,095
1,905
$872.90
$872.90
($139,174.50)
($242,125.50)
3,950
6,000
$955.10
$955.10
($177,355.00)
($269,400.00)
Sold, in full; warrants not outstanding
($25,000.00)
Preferred Stock w/ Warrants
$9,950,000.00
$0.00
$11,166,897.79
Sold, in full; warrants not outstanding
$3,772,645.00
$5,730,600.00
($95,032.45)
Preferred Stock w/ Exercised Warrants
$16,015,000.00
$0.00
$14,257,487.71
Sold, in full; warrants not outstanding
$397,550.00
$12,335,976.50
500
15,515
$795.10
$795.10
($102,450.00)
($3,179,023.50)
$64,450,000.00
64,450
$1,000.00
$16,500,000.00
16,500
$1,000.00
$46,995.00
$8,990,505.00
52
9,948
$903.80
$903.80
574
$1,000.00
27,661
339
$782.10
$782.10
$76,898,000.00
76,898
$1,000.00
$2,260,000.00
2,260
$1,000.00
$2,250,000,000.00
2,250,000
$1,000.00
$5,000,000.00
5,000
$1,000.00
$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)
($377,349.00)
($127,335.27)
Preferred Stock w/ Warrants
$64,450,000.00
$0.00
$73,357,086.72
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$16,500,000.00
$0.00
$19,178,479.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$10,670,784.03
Sold, in full; warrants not outstanding
($5,005.00)
($957,495.00)
$494,381.25
50
$29,000.00
29
$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
$792,990.00
$105,732.00
900,000
120,000
($90,375.00)
Preferred Stock w/ Exercised Warrants
$574,000.00
$0.00
$668,142.53
Redeemed, in full; warrants not outstanding
$574,000.00
Preferred Stock w/ Warrants
$28,000,000.00
$0.00
$26,480,089.20
Sold, in full; warrants not outstanding
$21,633,944.71
$265,135.29
($6,027,055.29)
($73,864.71)
($218,990.80)
Preferred Stock w/ Warrants
$76,898,000.00
$0.00
$86,821,419.22
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,260,000.00
$0.00
$2,689,478.64
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$2,250,000,000.00
$0.00
$2,582,039,543.40
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Subordinated Debentures w/ Exercised Warrants
$5,000,000.00
$20,400,000.00
$0.00
$0.00
$5,602,969.61
$21,575,016.54
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($153,000.00)
Preferred Stock w/ Exercised Warrants
$7,701,000.00
$0.00
$8,451,110.79
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,550,000.00
$0.00
$2,899,659.67
Redeemed, in full; warrants not outstanding
$7,323,651.00
7,701
$951.00
2,550
$1,000.00
$362,427.91
385
$128,000.00
128
$500,000.00
500
$1,000.00
$25,000.00
25
$52,000,000.00
52,000
$1,000.00
$2,600,000.00
2,600
$1,100,869.50
386,270
$167,035.00
199
($73,236.51)
$2,550,000.00
Preferred Stock w/ Exercised Warrants
$500,000.00
$0.00
$616,741.75
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$52,000,000.00
$0.00
$57,575,699.54
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock
$3,872,000.00
$1,747,000.00
$3,872,000.00
$0.00
$879,138.70
$1,823,188.61
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$19,468,000.00
$0.00
$22,802,281.62
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$17,680,000.00
$10,680,000.00
$11,429,052.45
$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
4,500
2,500
$1,000.00
$1,000.00
3,976
$935.00
$12,643,000.00
12,643
$1,000.00
$3,136,500.00
6,970
$450.00
$20,000,000.00
20,000
$1,000.00
105
$9,550.00
1,003
1,597
$950.00
$950.00
Redeemed, in part; warrants outstanding
Preferred Stock w/ Exercised Warrants
$3,976,000.00
$0.00
$4,674,050.16
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$12,643,000.00
$0.00
$15,206,719.94
Redeemed, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$6,970,000.00
$0.00
$4,240,743.82
Sold, in full; warrants not outstanding
$3,717,560.00
($258,440.00)
($25,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$12,725,000.00
$20,000,000.00
$17,806,000.00
$1,050,000.00
$12,725,000.00
$0.00
$17,806,000.00
$0.00
$3,201,612.18
$23,628,111.33
$1,908,453.00
$1,220,300.65
($3,833,500.00)
$157,050.00
349
$1,000,000.00
1,000
($47,250.00)
$25,000.00
5
($50,150.00)
($79,850.00)
$105,000.00
130
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
$1,002,750.00
($10,027.50)
($14,972.50)
Preferred Stock w/ Exercised Warrants
$2,600,000.00
$0.00
$3,115,616.28
Sold, in full; warrants not outstanding
$952,850.00
$1,517,150.00
32
FootNote
44
15,17
44,8,14
53
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
44
45
11
8,44,14
8,44,72
8,14
Institution Name
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.
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
CRAZY WOMAN CREEK BANCORP INCORPORATED
CRAZY WOMAN CREEK BANCORP INCORPORATED
CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION)
CROSSTOWN HOLDING COMPANY
CROSSTOWN HOLDING COMPANY
CROSSTOWN HOLDING COMPANY
CROSSTOWN HOLDING COMPANY
CSRA BANK CORP.
CVB FINANCIAL CORP.
CVB FINANCIAL CORP.
CVB FINANCIAL CORP.
CVB FINANCIAL CORP.
D.L. EVANS BANCORP
D.L. EVANS BANCORP
DEERFIELD FINANCIAL CORPORATION
DEERFIELD FINANCIAL CORPORATION
DELMAR BANCORP
DELMAR BANCORP
DELMAR BANCORP
DELMAR BANCORP
DESOTO COUNTY BANK
DESOTO COUNTY BANK
DESOTO COUNTY BANK
DESOTO COUNTY BANK
DESOTO COUNTY BANK
DIAMOND BANCORP, INC.
DIAMOND BANCORP, INC.
DIAMOND BANCORP, INC.
DIAMOND BANCORP, INC.
DIAMOND BANCORP, INC.
DICKINSON FINANCIAL CORPORATION II
DICKINSON FINANCIAL CORPORATION II
DICKINSON FINANCIAL CORPORATION II
DICKINSON FINANCIAL CORPORATION II
DISCOVER FINANCIAL SERVICES
DISCOVER FINANCIAL SERVICES
DISCOVER FINANCIAL SERVICES
DNB FINANCIAL CORPORATION
DNB FINANCIAL CORPORATION
DNB FINANCIAL CORPORATION
DUKE FINANCIAL GROUP, INC.
DUKE FINANCIAL GROUP, INC.
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.
EMCLAIRE FINANCIAL CORP.
EMCLAIRE FINANCIAL CORP.
EMCLAIRE FINANCIAL CORP.
ENCORE BANCSHARES INC.
ENCORE BANCSHARES INC.
ENCORE BANCSHARES INC.
ENTERPRISE FINANCIAL SERVICES CORP.
ENTERPRISE FINANCIAL SERVICES CORP.
ENTERPRISE FINANCIAL SERVICES CORP.
ENTERPRISE FINANCIAL SERVICES GROUP, INC.
ENTERPRISE FINANCIAL SERVICES GROUP, INC.
EQUITY BANCSHARES, INC.
EQUITY BANCSHARES, INC.
EXCHANGE BANK
City
BUCYRUS
BUCYRUS
MIDDLETOWN
MIDDLETOWN
MIDDLETOWN
HAM LAKE
HAM LAKE
HAM LAKE
RUSTON
RUSTON
GOLETA
GOLETA
GOLETA
GOLETA
GOLETA
ASHEBORO
CAYCE
CAYCE
CAYCE
CAYCE
CORNING
CORNING
CORNING
CORNING
MILFORD
MILFORD
MILFORD
MILFORD
CLARKSDALE
BUFFALO
BUFFALO
RALEIGH
BLAINE
BLAINE
BLAINE
BLAINE
WRENS
ONTARIO
ONTARIO
ONTARIO
ONTARIO
BURLEY
BURLEY
DEERFIELD
DEERFIELD
DELMAR
DELMAR
DELMAR
DELMAR
HORN LAKE
HORN LAKE
HORN LAKE
HORN LAKE
HORN LAKE
WASHINGTON
WASHINGTON
WASHINGTON
WASHINGTON
WASHINGTON
KANSAS CITY
KANSAS CITY
KANSAS CITY
KANSAS CITY
RIVERWOODS
RIVERWOODS
RIVERWOODS
DOWNINGTOWN
DOWNINGTOWN
DOWNINGTOWN
MINNEAPOLIS
MINNEAPOLIS
BETHESDA
BETHESDA
BETHESDA
BETHESDA
PASADENA
PASADENA
PASADENA
TAPPAHANNOCK
TAPPAHANNOCK
TAPPAHANNOCK
TAPPAHANNOCK
ENGELHARD
EMLENTON
EMLENTON
EMLENTON
HOUSTON
HOUSTON
HOUSTON
ST. LOUIS
ST. LOUIS
ST. LOUIS
ALLISON PARK
ALLISON PARK
WICHITA
WICHITA
SANTA ROSA
State
OH
OH
NJ
NJ
NJ
MN
MN
MN
LA
LA
CA
CA
CA
CA
CA
NC
SC
SC
SC
SC
AR
AR
AR
AR
NE
NE
NE
NE
MS
WY
WY
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
MD
MD
MD
MD
CA
CA
CA
VA
VA
VA
VA
NC
PA
PA
PA
TX
TX
TX
MO
MO
MO
PA
PA
KS
KS
CA
Date
11‐Jan‐13
26‐Mar‐13
30‐Jan‐09
11‐Aug‐11
26‐Oct‐11
13‐Nov‐09
12‐Aug‐13
12‐Sep‐13
9‐Jan‐09
6‐Jul‐11
19‐Dec‐08
10‐Dec‐12
11‐Dec‐12
11‐Jan‐13
12‐Jun‐13
13‐Feb‐09
9‐Jan‐09
29‐Oct‐12
31‐Oct‐12
11‐Jan‐13
13‐Feb‐09
30‐Nov‐12
11‐Jan‐13
26‐Mar‐13
30‐Jan‐09
28‐Nov‐12
29‐Nov‐12
11‐Jan‐13
5‐Jun‐09
20‐Feb‐09
8‐Jan‐14
9‐Jan‐09
23‐Jan‐09
19‐Jul‐13
22‐Jul‐13
12‐Sep‐13
27‐Mar‐09
5‐Dec‐08
26‐Aug‐09
2‐Sep‐09
28‐Oct‐09
27‐Feb‐09
27‐Sep‐11
15‐May‐09
8‐Sep‐11
4‐Dec‐09
7‐Feb‐13
8‐Feb‐13
26‐Mar‐13
13‐Feb‐09
29‐Dec‐09
24‐Sep‐13
25‐Sep‐13
29‐Oct‐13
22‐May‐09
8‐Aug‐12
9‐Aug‐12
10‐Aug‐12
11‐Sep‐12
16‐Jan‐09
7‐Feb‐13
8‐Feb‐13
26‐Mar‐13
13‐Mar‐09
21‐Apr‐10
7‐Jul‐10
30‐Jan‐09
4‐Aug‐11
21‐Sep‐11
19‐Jun‐09
27‐Nov‐13
5‐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
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
Original Investment Type1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
(Fee) 4
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
($24,700.00)
($300.00)
Preferred Stock w/ Warrants
$9,000,000.00
$0.00
$10,598,750.00
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$4,400,000.00
$0.00
$5,462,045.14
Sold, in full; warrants not outstanding
$9,000,000.00
9,000
$1,000.00
4,400,000
$1.11
$24,000,000.00
24,000
$1,000.00
$2,172,000.00
$9,122,400.00
3,000
12,600
$724.00
$724.00
$4,400,000.00
$484,924.00
$460,000.00
311,972
$177,716.96
132,000
$1,200,000.00
1,200
$698,351.00
521,158
($48,849.24)
Preferred Stock w/ Exercised Warrants
$24,000,000.00
$0.00
$28,459,100.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$15,600,000.00
$0.00
$14,341,140.33
Sold, in full; warrants not outstanding
($828,000.00)
($3,477,600.00)
($112,944.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$51,500,000.00
$3,285,000.00
$51,500,000.00
$0.00
$2,589,305.00
$3,483,629.20
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
$23,932.54
$2,687,046.56
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
1,000
$1,000.00
350
10,300
$982.30
$982.30
($6,205.50)
($182,619.00)
$531,210.67
533
$97,500,000.00
$32,500,000.00
97,500
32,500
$1,000.00
$1,000.00
$1,307,000.00
834,761
$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
$2,794,422.00
770,868
$14,500,000.00
1,517,555
$51,113.00
50,111
$637,071.00
728,052
$1,006,100.00
324,074
($25,000.00)
Preferred Stock w/ Exercised Warrants
$638,000.00
$0.00
$659,705.04
Sold, in full; warrants not outstanding
$548,680.00
($5,486.80)
($19,513.20)
Preferred Stock w/ Exercised Warrants
$7,525,000.00
$0.00
$8,781,205.02
Sold, in full; warrants not outstanding
$713,208.30
$6,193,989.20
($69,071.98)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$5,000,000.00
$3,100,000.00
$5,000,000.00
$2,100,000.00
$1,219,739.44
$1,807,527.08
Full investment outstanding; warrants outstanding
Redeemed, in part; warrants outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$24,900,000.00
$10,650,000.00
$24,900,000.00
$0.00
$6,097,591.20
$13,498,324.83
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
$1,000,000.00
$343,794.50
$10,117,381.00
($104,611.76)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$2,400,000.00
$130,000,000.00
$2,400,000.00
$0.00
$180,940.00
$136,046,583.33
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$19,891,000.00
$0.00
$23,686,592.33
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$2,639,000.00
$0.00
$3,283,338.96
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$9,000,000.00
$0.00
$6,598,331.15
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,173,000.00
$1,508,000.00
$0.00
$2,781,331.97
Sold, in full; warrants not outstanding
$5,293,527.28
$215,462.72
($55,089.90)
$301,428.58
$1,895,467.59
($33,333.34)
Subordinated Debentures w/ Exercised Warrants
$20,445,000.00
$0.00
$21,101,618.19
Sold, in full; warrants not outstanding
$4,381,500.00
$10,197,941.25
$350,520.00
($149,299.61)
Preferred Stock w/ Exercised Warrants
$146,053,000.00
$0.00
$87,459,858.69
Sold, in full; warrants not outstanding
$8,025,555.03
$72,684,793.30
($807,103.48)
Preferred Stock w/ Warrants
$1,224,558,000.00
$0.00
$1,464,248,844.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$11,750,000.00
$0.00
$13,683,277.61
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$12,000,000.00
$38,235,000.00
$306,546,000.00
$24,000,000.00
$7,000,000.00
$0.00
$0.00
$0.00
$9,599,206.37
$44,847,153.76
$352,722,420.00
$28,453,653.60
Redeemed, in part; warrants outstanding
$5,000,000.00
5,000,000
$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
$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
Redeemed, in full; warrants outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants outstanding
$406,029.00
$2,092,611.00
($264,986.40)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$17,949,000.00
$7,500,000.00
$34,000,000.00
$35,000,000.00
$4,000,000.00
$8,750,000.00
$43,000,000.00
$17,949,000.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$4,335,182.58
$8,545,904.67
$39,415,959.89
$42,801,933.33
$4,680,205.56
$10,394,872.56
$47,294,527.29
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$4,000,000.00
4,000
$1,000.00
$200,000.00
200
$8,750,000.00
8,750
$1,000.00
$438,000.00
438
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
33
FootNote
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
15,17,44
8,14
8,14
15,11,14
Institution Name
EXCHANGE BANK
EXCHANGE BANK
EXCHANGE BANK
EXCHANGE BANK
EXCHANGE BANK
EXCHANGE BANK
F & M BANCSHARES, INC.
F & M BANCSHARES, INC.
F & M BANCSHARES, INC.
F & M BANCSHARES, INC.
F & M BANCSHARES, INC.
F & M BANCSHARES, INC.
F & M FINANCIAL CORPORATION (NC)
F & M FINANCIAL CORPORATION (NC)
F & M FINANCIAL CORPORATION (NC)
F & M FINANCIAL CORPORATION (NC)
F & M FINANCIAL CORPORATION (NC)
F&C BANCORP. INC.
F&C BANCORP. INC.
F&C BANCORP. INC.
F&C BANCORP. INC.
F&M FINANCIAL CORPORATION (TN)
F&M FINANCIAL CORPORATION (TN)
F&M FINANCIAL CORPORATION (TN)
F&M FINANCIAL CORPORATION (TN)
F&M FINANCIAL CORPORATION (TN)
F.N.B. CORPORATION
F.N.B. CORPORATION
F.N.B. CORPORATION
FARMERS & MERCHANTS BANCSHARES, INC.
FARMERS & MERCHANTS FINANCIAL CORPORATION
FARMERS & MERCHANTS FINANCIAL CORPORATION
FARMERS & MERCHANTS FINANCIAL CORPORATION
FARMERS BANK, WINDSOR, VIRGINIA
FARMERS BANK, WINDSOR, VIRGINIA
FARMERS BANK, WINDSOR, VIRGINIA
FARMERS CAPITAL BANK CORPORATION
FARMERS CAPITAL BANK CORPORATION
FARMERS CAPITAL BANK CORPORATION
FARMERS ENTERPRISES, INC.
FARMERS ENTERPRISES, INC.
FARMERS ENTERPRISES, INC.
FARMERS ENTERPRISES, INC.
FARMERS ENTERPRISES, INC.
FARMERS STATE BANKSHARES, INC.
FARMERS STATE BANKSHARES, INC.
FBHC HOLDING COMPANY
FBHC HOLDING COMPANY
FC HOLDINGS, INC.
FC HOLDINGS, INC.
FC HOLDINGS, INC.
FCB BANCORP, INC.
FCB BANCORP, INC.
FFW CORPORATION
FFW CORPORATION
FFW CORPORATION
FFW CORPORATION
FIDELITY BANCORP, INC. (LA)
FIDELITY BANCORP, INC. (LA)
FIDELITY BANCORP, INC. (PA) / WESBANCO, INC.
FIDELITY BANCORP, INC. (PA) / WESBANCO, INC.
FIDELITY FEDERAL BANCORP
FIDELITY FEDERAL BANCORP
FIDELITY FEDERAL BANCORP
FIDELITY FEDERAL BANCORP
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY SOUTHERN CORPORATION
FIDELITY SOUTHERN CORPORATION
FIFTH THIRD BANCORP
FIFTH THIRD BANCORP
FIFTH THIRD BANCORP
FINANCIAL INSTITUTIONS, INC.
FINANCIAL INSTITUTIONS, INC.
FINANCIAL INSTITUTIONS, INC.
FINANCIAL INSTITUTIONS, INC.
FINANCIAL SECURITY CORPORATION
FINANCIAL SECURITY CORPORATION
FINANCIAL SERVICES OF WINGER, INC.
FINANCIAL SERVICES OF WINGER, INC.
FIRST ADVANTAGE BANCSHARES, INC.
FIRST ADVANTAGE BANCSHARES, INC.
FIRST ADVANTAGE BANCSHARES, INC.
FIRST ADVANTAGE BANCSHARES, INC.
FIRST ADVANTAGE BANCSHARES, INC.
FIRST ALLIANCE BANCSHARES, INC.
FIRST ALLIANCE BANCSHARES, INC.
FIRST ALLIANCE BANCSHARES, INC.
FIRST ALLIANCE BANCSHARES, INC.
FIRST AMERICAN BANK CORPORATION
City
SANTA ROSA
SANTA ROSA
SANTA ROSA
SANTA ROSA
SANTA ROSA
SANTA ROSA
TREZEVANT
TREZEVANT
TREZEVANT
TREZEVANT
TREZEVANT
TREZEVANT
SALISBURY
SALISBURY
SALISBURY
SALISBURY
SALISBURY
HOLDEN
HOLDEN
HOLDEN
HOLDEN
CLARKSVILLE
CLARKSVILLE
CLARKSVILLE
CLARKSVILLE
CLARKSVILLE
HERMITAGE
HERMITAGE
HERMITAGE
HOUSTON
ARGONIA
ARGONIA
ARGONIA
WINDSOR
WINDSOR
WINDSOR
FRANKFORT
FRANKFORT
FRANKFORT
GREAT BEND
GREAT BEND
GREAT BEND
GREAT BEND
GREAT BEND
HOLTON
HOLTON
BOULDER
BOULDER
HOUSTON
HOUSTON
HOUSTON
LOUISVILLE
LOUISVILLE
WABASH
WABASH
WABASH
WABASH
BATON ROUGE
BATON ROUGE
PITTSBURGH
PITTSBURGH
EVANSVILLE
EVANSVILLE
EVANSVILLE
EVANSVILLE
WICHITA
WICHITA
WICHITA
WICHITA
WICHITA
WICHITA
WICHITA
WICHITA
WICHITA
ATLANTA
ATLANTA
CINCINNATI
CINCINNATI
CINCINNATI
WARSAW
WARSAW
WARSAW
WARSAW
BASIN
BASIN
WINGER
WINGER
COON RAPIDS
COON RAPIDS
COON RAPIDS
COON RAPIDS
COON RAPIDS
CORDOVA
CORDOVA
CORDOVA
CORDOVA
ELK GROVE VILLAGE
State
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
WY
MN
MN
MN
MN
MN
MN
MN
TN
TN
TN
TN
IL
Date
3‐Aug‐12
8‐Aug‐12
9‐Aug‐12
10‐Aug‐12
13‐Aug‐12
11‐Sep‐12
30‐Jan‐09
6‐Nov‐09
6‐Feb‐13
7‐Feb‐13
8‐Feb‐13
26‐Mar‐13
6‐Feb‐09
18‐Sep‐12
19‐Sep‐12
20‐Sep‐12
16‐Nov‐12
22‐May‐09
8‐Nov‐12
13‐Nov‐12
11‐Jan‐13
13‐Feb‐09
19‐Sep‐12
20‐Sep‐12
21‐Sep‐12
16‐Nov‐12
9‐Jan‐09
9‐Sep‐09
23‐Nov‐11
6‐Mar‐09
20‐Mar‐09
24‐Jun‐13
26‐Jul‐13
23‐Jan‐09
9‐Jan‐13
31‐Dec‐13
9‐Jan‐09
19‐Jun‐12
18‐Jul‐12
19‐Jun‐09
8‐Nov‐12
9‐Nov‐12
13‐Nov‐12
11‐Jan‐13
20‐Mar‐09
21‐Jul‐11
29‐Dec‐09
9‐Mar‐11
26‐Jun‐09
20‐Feb‐13
26‐Mar‐13
19‐Dec‐08
22‐Sep‐11
19‐Dec‐08
28‐Nov‐12
30‐Nov‐12
11‐Jan‐13
29‐May‐09
27‐Mar‐13
12‐Dec‐08
30‐Nov‐12
13‐Nov‐09
19‐Jul‐13
22‐Jul‐13
12‐Sep‐13
19‐Dec‐08
1‐Aug‐12
2‐Aug‐12
3‐Aug‐12
7‐Aug‐12
8‐Aug‐12
9‐Aug‐12
10‐Aug‐12
11‐Sep‐12
19‐Dec‐08
3‐Jul‐12
31‐Dec‐08
2‐Feb‐11
16‐Mar‐11
23‐Dec‐08
23‐Feb‐11
30‐Mar‐11
11‐May‐11
13‐Feb‐09
21‐Jul‐11
31‐Jul‐09
1‐Sep‐11
22‐May‐09
10‐Dec‐12
11‐Dec‐12
11‐Jan‐13
26‐Mar‐13
26‐Jun‐09
20‐Dec‐12
11‐Jan‐13
26‐Mar‐13
24‐Jul‐09
Original Investment Type1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
(Fee) 4
$481,387.50
$17,505,000.00
$8,725,367.25
$420,995.25
$10,503,000.00
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
550
20,000
9,969
481
12,000
$875.20
$875.20
$875.20
$875.20
$875.20
($68,612.50)
($2,495,000.00)
($1,243,632.75)
($60,004.75)
($1,497,000.00)
$1,910,898.00
$120,386.57
$22,930.78
2,000
126
24
5,090
2,901
153
$942.50
$942.50
$942.50
($292,675.00)
($166,807.50)
($8,797.50)
$222,007.50
230
$136,813.05
150
2,805
14,195
$950.00
$950.00
($140,250.00)
($709,750.00)
$638,460.90
700
1,659,000
1,334,000
$0.96
$0.96
($68,400.57)
($55,000.82)
$125,000.00
150,000
$96,465.60
112
$645,975.00
750
$690,100.00
651,042
($2,835.00)
22
($376,357.50)
Preferred Stock w/ Exercised Warrants
$4,609,000.00
$3,535,000.00
$0.00
$9,405,391.28
Sold, in full; warrants not outstanding
$4,797,325.00
$2,734,192.50
$144,202.50
($76,757.21)
Preferred Stock w/ Exercised Warrants
$17,000,000.00
$0.00
$20,119,744.45
Sold, in full; warrants not outstanding
$2,664,750.00
$13,485,250.00
($161,500.00)
Subordinated Debentures w/ Exercised Warrants
$2,993,000.00
$0.00
$3,842,376.65
Sold, in full; warrants not outstanding
$1,590,599.43
$1,278,999.18
($25,000.00)
Preferred Stock w/ Exercised Warrants
$17,243,000.00
$0.00
$17,573,762.97
Sold, in full; warrants not outstanding
$157,500.00
$13,421,362.50
200
17,043
$787.50
$787.50
100,000
$1,000.00
($42,500.00)
($3,621,637.50)
($135,788.63)
Preferred Stock w/ Warrants
$100,000,000.00
$0.00
$104,023,433.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$11,000,000.00
$442,000.00
$11,000,000.00
$0.00
$2,063,280.00
$500,199.14
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$8,752,000.00
$0.00
$11,396,202.11
Redeemed, in full; warrants not outstanding
$100,000,000.00
$425,425.00
442
$962.50
3,063
5,689
$1,000.00
$1,000.00
30,000
$739.90
($16,575.00)
($25,000.00)
$3,063,000.00
$5,689,000.00
Preferred Stock w/ Warrants
$30,000,000.00
$0.00
$27,105,349.50
$22,196,700.00
Subordinated Debentures w/ Exercised Warrants
$12,000,000.00
$0.00
$15,452,669.34
$438,000.00
438
$75,000.00
223,992
$37,387.14
$552,936.00
38,000
562,000
$40,000.00
4
$994,613.40
1,052
$465,000.00
465
$358,558.20
364
$197,000.00
197,000
$242,302.50
200
$170,227.93
$167,374.94
$1,210,615.36
$176,884.89
179
176
1,273
186
$280,025,936.00
43,617,747
$2,079,962.50
378,175
Sold, in full; warrants not outstanding
($332,950.50)
($7,803,300.00)
Sold, in full; warrants not outstanding
$96,290.00
100,000
$0.96
($3,710.00)
$11,458,510.00
11,900,000
$0.96
($441,490.00)
$700,000.00
700
$1,000.00
$650,000.00
3,035,000
$0.21
($2,385,000.00)
21,042
$897.00
($2,167,326.00)
$9,294,000.00
9,294
$1,000.00
$879,424.60
$5,701,813.50
974
6,315
$902.90
$902.90
($115,548.00)
Preferred Stock w/ Exercised Warrants
$700,000.00
$0.00
$830,173.67
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$3,035,000.00
$0.00
$804,592.16
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$21,042,000.00
$0.00
$19,836,630.66
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$9,294,000.00
$0.00
$11,156,234.25
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$7,289,000.00
$0.00
$8,441,836.26
Sold, in full; warrants not outstanding
$18,874,674.00
($188,746.74)
($94,575.40)
($613,186.50)
($65,812.38)
Subordinated Debentures w/ Exercised Warrants
$3,942,000.00
$0.00
$5,404,924.35
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$7,000,000.00
$0.00
$8,388,333.33
Redeemed, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$6,657,000.00
$0.00
$7,220,908.83
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$36,282,000.00
$0.00
$40,966,780.82
Sold, in full; warrants not outstanding
$3,942,000.00
3,942,000
$1.00
$7,000,000.00
7,000
$1,000.00
439
6,218
$1,058.90
$1,058.90
135
30
335
3,591
2,635
29,236
320
$891.30
$891.30
$891.30
$891.30
$891.30
$891.30
$891.30
($14,679.90)
($3,262.20)
($36,427.90)
($390,485.34)
($286,529.90)
($3,179,122.64)
($34,796.80)
($4,791,080.00)
$439,000.00
$6,218,000.00
$25,857.10
$366,240.20
($70,490.97)
$120,320.10
$26,737.80
$298,572.10
$3,200,514.66
$2,348,470.10
$26,056,877.36
$285,203.20
($323,366.95)
Preferred Stock w/ Warrants
$48,200,000.00
$0.00
$51,286,669.09
Sold, in full; warrants outstanding
Preferred Stock w/ Warrants
$3,408,000,000.00
$0.00
$4,043,972,602.67
Redeemed, in full; warrants not outstanding
$43,408,920.00
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$37,515,000.00
$5,000,000.00
$3,742,000.00
$1,177,000.00
$0.00
$0.00
$0.00
$0.00
$43,787,611.61
$5,914,597.33
$4,487,322.46
$1,289,436.37
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
$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
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$690,723.49
$366,469.68
($10,571.93)
($14,428.07)
Preferred Stock w/ Exercised Warrants
$3,422,000.00
$0.00
$3,003,674.75
Sold, in full; warrants not outstanding
$2,395,742.20
($23,957.42)
($1,042.58)
Subordinated Debentures w/ Exercised Warrants
$50,000,000.00
$0.00
$65,558,530.56
Redeemed, in full; warrants not outstanding
34
FootNote
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
8,14
8,14,44
11
8,9
Institution Name
FIRST AMERICAN BANK CORPORATION
FIRST AMERICAN BANK CORPORATION
FIRST AMERICAN INTERNATIONAL CORP.
FIRST AMERICAN INTERNATIONAL CORP.
FIRST BANCORP (NC)
FIRST BANCORP (NC)
FIRST BANCORP (NC)
FIRST BANCORP (PR)
FIRST BANCORP (PR)
FIRST BANCORP (PR)
FIRST BANCTRUST CORPORATION
FIRST BANCTRUST CORPORATION
FIRST BANCTRUST CORPORATION
FIRST BANK OF CHARLESTON, INC.
FIRST BANK OF CHARLESTON, INC.
FIRST BANKERS TRUSTSHARES, INC.
FIRST BANKERS TRUSTSHARES, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BUSEY CORPORATION
FIRST BUSEY CORPORATION
FIRST BUSEY CORPORATION
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A.
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A.
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A.
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A.
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A.
FIRST CALIFORNIA FINANCIAL GROUP, INC.
FIRST CALIFORNIA FINANCIAL GROUP, INC.
FIRST CALIFORNIA FINANCIAL GROUP, INC.
FIRST CAPITAL BANCORP, INC.
FIRST CAPITAL BANCORP, INC.
FIRST CAPITAL BANCORP, INC.
FIRST CHOICE BANK
FIRST CHOICE BANK
FIRST CHOICE BANK
FIRST CITIZENS BANC CORP
FIRST CITIZENS BANC CORP
FIRST CITIZENS BANC CORP
FIRST COLEBROOK BANCORP, INC.
FIRST COLEBROOK BANCORP, INC.
FIRST COMMUNITY BANCSHARES INC.
FIRST COMMUNITY BANCSHARES INC.
FIRST COMMUNITY BANCSHARES INC.
FIRST COMMUNITY BANCSHARES, INC. / EQUITY BANCSHARES, INC.
FIRST COMMUNITY BANK CORPORATION OF AMERICA
FIRST COMMUNITY BANK CORPORATION OF AMERICA
FIRST COMMUNITY CORPORATION
FIRST COMMUNITY CORPORATION
FIRST COMMUNITY CORPORATION
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST DEFIANCE FINANCIAL CORP.
FIRST DEFIANCE FINANCIAL CORP.
FIRST EAGLE BANCSHARES, INC.
FIRST EAGLE BANCSHARES, INC.
FIRST EXPRESS OF NEBRASKA, INC.
FIRST EXPRESS OF NEBRASKA, INC.
FIRST FEDERAL BANCSHARES OF ARKANSAS, INC.
FIRST FEDERAL BANCSHARES OF ARKANSAS, INC.
FIRST FINANCIAL BANCORP
FIRST FINANCIAL BANCORP
FIRST FINANCIAL BANCORP
FIRST FINANCIAL BANCSHARES, INC.
FIRST FINANCIAL BANCSHARES, INC.
FIRST FINANCIAL HOLDINGS INC.
FIRST FINANCIAL HOLDINGS INC.
FIRST FINANCIAL HOLDINGS INC.
FIRST FINANCIAL SERVICE CORPORATION
FIRST FINANCIAL SERVICE CORPORATION
FIRST FINANCIAL SERVICE CORPORATION
FIRST FREEDOM BANCSHARES, INC.
FIRST FREEDOM BANCSHARES, INC.
FIRST FREEDOM BANCSHARES, INC.
FIRST GOTHENBURG BANCSHARES, INC.
FIRST GOTHENBURG BANCSHARES, INC.
FIRST GOTHENBURG BANCSHARES, INC.
FIRST GOTHENBURG BANCSHARES, INC.
FIRST GUARANTY BANCSHARES, INC.
FIRST GUARANTY BANCSHARES, INC.
FIRST HORIZON NATIONAL CORPORATION
FIRST HORIZON NATIONAL CORPORATION
FIRST HORIZON NATIONAL CORPORATION
FIRST INDEPENDENCE CORPORATION
FIRST INDEPENDENCE CORPORATION
City
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
GOTHENBURG
GOTHENBURG
GOTHENBURG
GOTHENBURG
HAMMOND
HAMMOND
MEMPHIS
MEMPHIS
MEMPHIS
DETROIT
DETROIT
State
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
NE
NE
NE
NE
LA
LA
TN
TN
TN
MI
MI
Date
21‐Dec‐11
11‐Dec‐12
13‐Mar‐09
13‐Aug‐10
9‐Jan‐09
1‐Sep‐11
23‐Nov‐11
16‐Jan‐09
16‐Aug‐13
13‐Sep‐13
20‐Feb‐09
18‐Jan‐12
24‐Oct‐12
6‐Feb‐09
21‐Jul‐11
16‐Jan‐09
8‐Sep‐11
31‐Dec‐08
8‐Aug‐13
9‐Aug‐13
12‐Aug‐13
12‐Sep‐13
24‐Sep‐13
25‐Sep‐13
29‐Oct‐13
6‐Mar‐09
25‐Aug‐11
23‐Nov‐11
10‐Apr‐09
11‐Dec‐09
19‐Dec‐12
20‐Dec‐12
11‐Jan‐13
19‐Dec‐08
14‐Jul‐11
24‐Aug‐11
3‐Apr‐09
19‐Jun‐12
6‐Feb‐13
13‐Feb‐09
22‐Dec‐09
24‐Sep‐10
23‐Jan‐09
3‐Jul‐12
5‐Sep‐12
20‐Mar‐09
22‐Sep‐11
21‐Nov‐08
8‐Jul‐09
22‐Nov‐11
15‐May‐09
23‐Dec‐08
31‐May‐11
21‐Nov‐08
29‐Aug‐12
1‐Nov‐12
11‐Dec‐09
8‐Aug‐12
9‐Aug‐12
10‐Aug‐12
19‐Sep‐12
20‐Sep‐12
21‐Sep‐12
16‐Nov‐12
5‐Dec‐08
19‐Jun‐12
11‐Sep‐09
17‐Sep‐10
6‐Feb‐09
15‐Feb‐12
6‐Mar‐09
3‐May‐11
23‐Dec‐08
24‐Feb‐10
8‐Jun‐10
12‐Jun‐09
22‐Sep‐11
5‐Dec‐08
3‐Apr‐12
22‐May‐13
9‐Jan‐09
29‐Apr‐13
31‐May‐13
22‐Dec‐09
9‐Nov‐12
11‐Jan‐13
27‐Feb‐09
29‐Oct‐12
31‐Oct‐12
11‐Jan‐13
28‐Aug‐09
22‐Sep‐11
14‐Nov‐08
22‐Dec‐10
9‐Mar‐11
28‐Aug‐09
20‐Dec‐12
Original Investment Type1
Preferred Stock
Original Investment
Amount
$17,000,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
$0.00
$18,204,166.78
Preferred Stock w/ Warrants
$65,000,000.00
$0.00
$74,518,906.44
Redeemed, in full; warrants not outstanding
$400,000,000.00
$238,972,281.88
$122,513,539.32
Sold, in part; warrants outstanding
Preferred Stock w/ Exercised Warrants
$7,350,000.00
$0.00
$9,050,516.50
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,345,000.00
$0.00
$3,960,105.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$11,941,222.22
Redeemed, in full; warrants not outstanding
$295,400,000.00
$0.00
$119,071,500.97
(Fee) 4
Shares
Avg. Price
$15,000,000.00
$35,000,000.00
15,000,000
35,000,000
$1.00
$1.00
$17,000,000.00
17,000
$1,000.00
$65,000,000.00
65,000
$1,000.00
$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
$3,345,000.00
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
$2,500,000.00
2,500,000
$924,462.00
616,308
$1,000.00
$1,000.00
$368,000.00
368
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
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Capital Repayment / Disposition / Auction3,5
Amount
($64,711,540.92)
($6,802,024.20)
Sold, in full; warrants not outstanding
($993,058.50)
$3,209,702.21
$3,226,801.50
($64,365.04)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$100,000,000.00
$2,211,000.00
$2,032,000.00
$0.00
$0.00
$112,410,898.89
$4,693,275.61
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($126,916.00)
($232,600.16)
($33,333.33)
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$28,810,847.55
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$10,958,000.00
$0.00
$11,956,712.44
Sold, in full; warrants not outstanding
$25,000,000.00
$10,082,565.38
Preferred Stock w/ Exercised Warrants
$2,200,000.00
$2,836,000.00
$0.00
$5,446,642.94
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$23,184,000.00
$0.00
$25,245,684.71
Sold, in full; warrants not outstanding
($151,238.48)
$5,036,000.00
5,036
$1,000.00
23,184
$906.00
$4,500,000.00
4,500
$1,000.00
$41,500,000.00
41,500
$1,000.00
$21,004,704.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$4,500,000.00
$41,500,000.00
$0.00
$0.00
$5,339,487.75
$42,839,002.78
($315,070.56)
$14,800,000.00
$10,685,000.00
$14,800,000.00
$0.00
$3,777,478.30
$8,499,249.92
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
$11,350,000.00
$0.00
$13,425,979.36
Sold, in full; warrants not outstanding
$7,754,267.48
$11,155,120.50
$0.00
$18,252,479.06
$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, in full; warrants not outstanding
Preferred Stock w/ Warrants
$22,000,000.00
($2,179,296.00)
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
($875,434.62)
($167,326.81)
10,685
$725.70
($2,930,732.52)
11,350
$982.80
($194,879.50)
Sold, in full; warrants not outstanding
$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)
Preferred Stock w/ Warrants
$37,000,000.00
$0.00
$41,631,005.92
Sold, in full; warrants outstanding
$35,618,420.00
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$7,500,000.00
$5,000,000.00
$0.00
$0.00
$8,514,738.21
$6,074,313.00
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
29
7,541
$910.30
$910.30
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$16,500,000.00
$0.00
$6,570,625.00
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$80,000,000.00
$0.00
$87,644,066.10
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$3,756,000.00
$0.00
$4,563,280.34
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$65,000,000.00
$0.00
$68,141,972.19
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$20,000,000.00
$0.00
$12,333,778.00
Sold, in full; warrants outstanding
$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
($674,250.00)
$256,118.75
261
($2,601.01)
($676,352.29)
$362,118.92
379
$1,030,000.00
103
$79,700,000.00
14,842,321
($108,422.00)
Preferred Stock w/ Exercised Warrants
$8,700,000.00
$0.00
$9,522,346.17
Sold, in full; warrants not outstanding
$8,025,750.00
($80,257.50)
Preferred Stock w/ Exercised Warrants
$7,570,000.00
$0.00
$8,702,021.25
Sold, in full; warrants not outstanding
$26,398.99
$6,864,647.71
($68,910.46)
Preferred Stock w/ Exercised Warrants
$20,699,000.00
$0.00
$24,059,476.66
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$866,540,000.00
$0.00
$1,037,467,405.56
Redeemed, in full; warrants not outstanding
Preferred Stock
$3,223,000.00
$0.00
$2,820,256.96
$20,699,000.00
2,070
$10,000.00
$866,540,000.00
866,540
$1,000.00
$2,336,675.00
3,223
$725.00
Sold, in full; warrants not outstanding
($886,325.00)
35
FootNote
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
8,84
8,44,14
12,16
Institution Name
FIRST INDEPENDENCE CORPORATION
FIRST INDEPENDENCE CORPORATION
FIRST INTERCONTINENTAL BANK
FIRST INTERCONTINENTAL BANK
FIRST INTERCONTINENTAL BANK
FIRST LITCHFIELD FINANCIAL CORPORATION
FIRST LITCHFIELD FINANCIAL CORPORATION
FIRST M&F CORPORATION
FIRST M&F CORPORATION
FIRST M&F CORPORATION
FIRST MANITOWOC BANCORP, INC.
FIRST MANITOWOC BANCORP, INC.
FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATION
FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATION
FIRST MENASHA BANCSHARES, INC.
FIRST MENASHA BANCSHARES, INC.
FIRST MERCHANTS CORPORATION
FIRST MERCHANTS CORPORATION
FIRST MERCHANTS CORPORATION
FIRST MIDWEST BANCORP, INC.
FIRST MIDWEST BANCORP, INC.
FIRST MIDWEST BANCORP, INC.
FIRST NATIONAL CORPORATION
FIRST NATIONAL CORPORATION
FIRST NBC BANK HOLDING COMPANY
FIRST NBC BANK HOLDING COMPANY
FIRST NIAGARA FINANCIAL GROUP
FIRST NIAGARA FINANCIAL GROUP
FIRST NIAGARA FINANCIAL GROUP
FIRST NORTHERN COMMUNITY BANCORP
FIRST NORTHERN COMMUNITY BANCORP
FIRST NORTHERN COMMUNITY BANCORP
FIRST PACTRUST BANCORP, INC.
FIRST PACTRUST BANCORP, INC.
FIRST PACTRUST BANCORP, INC.
FIRST PLACE FINANCIAL CORP.
FIRST PLACE FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST RELIANCE BANCSHARES, INC.
FIRST RELIANCE BANCSHARES, INC.
FIRST RELIANCE BANCSHARES, INC.
FIRST RESOURCE BANK
FIRST RESOURCE BANK
FIRST RESOURCE BANK
FIRST SECURITY GROUP, INC.
FIRST SECURITY GROUP, INC.
FIRST SOUND BANK
FIRST SOUND BANK
FIRST SOUTH BANCORP, INC.
FIRST SOUTH BANCORP, INC.
FIRST SOUTH BANCORP, INC.
FIRST SOUTHERN BANCORP, INC.
FIRST SOUTHERN BANCORP, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST TEXAS BHC, INC.
FIRST TEXAS BHC, INC.
FIRST TRUST CORPORATION
FIRST TRUST CORPORATION
FIRST TRUST CORPORATION
FIRST ULB CORP.
FIRST ULB CORP.
FIRST UNITED CORPORATION
FIRST 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.
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
City
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
TROY
TROY
TROY
TAMPA
TAMPA
TAMPA
TAMPA
LAKE SUCCESS
LAKE SUCCESS
State
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
MI
MI
MI
FL
FL
FL
FL
NY
NY
Date
11‐Jan‐13
26‐Mar‐13
13‐Mar‐09
12‐Aug‐13
12‐Sep‐13
12‐Dec‐08
7‐Apr‐10
27‐Feb‐09
29‐Sep‐10
30‐Aug‐13
16‐Jan‐09
27‐May‐09
6‐Feb‐09
7‐Dec‐11
13‐Feb‐09
15‐Sep‐11
20‐Feb‐09
22‐Sep‐11
23‐Nov‐11
5‐Dec‐08
23‐Nov‐11
21‐Dec‐11
13‐Mar‐09
29‐Aug‐12
20‐Mar‐09
4‐Aug‐11
21‐Nov‐08
27‐May‐09
24‐Jun‐09
13‐Mar‐09
15‐Sep‐11
16‐Nov‐11
21‐Nov‐08
15‐Dec‐10
5‐Jan‐11
13‐Mar‐09
29‐Oct‐12
20‐Feb‐09
18‐Dec‐09
7‐Feb‐13
8‐Feb‐13
26‐Mar‐13
6‐Mar‐09
11‐Mar‐13
9‐Apr‐13
30‐Jan‐09
11‐Dec‐09
15‐Sep‐11
9‐Jan‐09
11‐Apr‐13
23‐Dec‐08
20‐Feb‐13
17‐Jul‐09
28‐Sep‐11
28‐Nov‐12
30‐Jan‐09
16‐Jun‐10
6‐Mar‐09
26‐Mar‐13
27‐Mar‐13
28‐Mar‐13
9‐Apr‐13
6‐Mar‐09
15‐Sep‐11
5‐Jun‐09
20‐Feb‐13
26‐Mar‐13
23‐Jan‐09
22‐Apr‐09
30‐Jan‐09
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‐Apr‐09
27‐May‐09
30‐Jan‐09
26‐Mar‐13
27‐Mar‐13
28‐Mar‐13
9‐Apr‐13
12‐Jun‐13
24‐Jul‐09
14‐Aug‐13
20‐Feb‐09
22‐Sep‐11
19‐Dec‐08
28‐Oct‐09
Original Investment Type1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
(Fee) 4
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
($23,366.75)
($26,633.25)
Preferred Stock w/ Exercised Warrants
$6,398,000.00
$0.00
$4,118,886.85
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$10,000,000.00
$0.00
$12,147,768.63
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$30,000,000.00
$0.00
$36,472,843.94
Redeemed, in full; warrants not outstanding
$3,247,112.96
6,398
$507.50
$10,000,000.00
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
($3,150,887.04)
$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)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$12,000,000.00
$33,900,000.00
$0.00
$0.00
$12,837,983.33
$40,834,859.35
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,797,000.00
$0.00
$5,713,865.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$116,000,000.00
$0.00
$131,383,055.11
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$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, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$12,266,750.00
Preferred Stock w/ Exercised Warrants
$17,836,000.00
$0.00
$21,033,989.56
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$184,011,000.00
$0.00
$191,464,618.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$17,390,000.00
$0.00
$19,943,580.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$19,300,000.00
$72,927,000.00
$0.00
$0.00
$22,297,560.34
$7,009,094.50
$1,695,000.00
($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, in full; warrants not outstanding
Currently not collectible
($72,927,000.00)
Preferred Stock w/ Exercised Warrants
$4,579,000.00
$4,596,000.00
$0.00
$9,948,069.58
Sold, in full; warrants not outstanding
$6,682,192.50
$1,410,831.60
7,575
1,600
$882.23
$882.05
($892,807.50)
($189,168.40)
$48,083.60
$176,633.62
49
180
15,349
$679.60
($4,917,666.11)
$624,632.45
767
$5,017,000.00
5,017
$1,000.00
$130,000.00
130
$14,912,862.00
9,941,908
$1.50
($18,087,138.00)
($3,700,000.00)
($80,930.24)
Preferred Stock w/ Exercised Warrants
$15,349,000.00
$0.00
$12,994,059.00
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,600,000.00
$2,417,000.00
$0.00
$5,731,793.60
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$33,000,000.00
$0.00
$16,315,362.00
Sold, in full; warrants not outstanding
$10,431,333.89
($104,313.34)
Preferred Stock w/ Warrants
$7,400,000.00
$0.00
$4,030,944.44
Sold, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$50,000,000.00
$0.00
$65,432,450.94
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,900,000.00
$0.00
$12,263,468.31
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,500,000.00
$0.00
$5,359,772.59
Sold, in full; warrants not outstanding
$3,700,000.00
7,400
$500.00
$13,125,000.00
$36,875,000.00
13,125,000
36,875,000
$1.00
$1.00
$2,500,000.00
2,500,000
$10,900,000.00
10,900
$1,000.00
$545,000.00
545
$315,007.00
$2,835,063.00
$1,800,040.00
350
3,150
2,000
$900.00
$900.00
$900.00
$206,048.21
$45,788.48
225
50
$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
($34,993.00)
($314,937.00)
($199,960.00)
($49,501.10)
Preferred Stock w/ Exercised Warrants
$13,533,000.00
$0.00
$16,072,389.00
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$17,969,000.00
$0.00
$15,304,180.50
Sold, in full; warrants not outstanding
$677,000.00
677
$644,726.19
898,000
$1,000.00
$245,000.00
245
6,000
$1,000.00
$245,000.00
245
7,920
80
$775.00
$775.00
$311,681.70
$39,370.32
380
48
$1,946,670.00
578,947
$5,025,000.00
952,260
$12,905.00
645,138
$475,000.00
475
($4,218,941.51)
($137,500.58)
Preferred Stock w/ Exercised Warrants
$4,900,000.00
$0.00
$5,211,020.69
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$30,000,000.00
$6,000,000.00
$30,000,000.00
$0.00
$2,312,500.00
$6,662,770.42
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$8,559,000.00
$11,881,000.00
$0.00
$21,142,314.80
Sold, in full; warrants not outstanding
$6,138,000.00
$62,000.00
($1,782,000.00)
($18,000.00)
($62,000.00)
$10,994,240.00
12,440
$874.81
($1,445,760.00)
33,000
$941.00
($1,946,670.00)
125,000
$1,000.00
($109,942.41)
Preferred Stock w/ Warrants
$33,000,000.00
$0.00
$38,185,560.05
Sold, in full; warrants not outstanding
$31,053,330.00
Preferred Stock w/ Warrants
$125,000,000.00
$0.00
$131,813,194.44
($465,799.95)
Redeemed, in full; warrants not outstanding
$125,000,000.00
Preferred Stock w/ Warrants
$266,657,000.00
$0.00
$277,861,053.94
Sold, in full; warrants not outstanding
$1,439,258.50
$228,401,847.00
$13,216,750.00
1,579
250,578
14,500
$911.50
$911.50
$911.50
($139,741.50)
($22,176,153.00)
($1,283,250.00)
20,471
$390.80
($12,471,000.00)
($2,430,578.56)
Preferred Stock w/ Exercised Warrants
$20,471,000.00
$0.00
$9,180,793.08
Sold, in full; warrants not outstanding
$8,000,000.00
Preferred Stock w/ Exercised Warrants
$9,495,000.00
$0.00
$11,309,750.50
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$70,000,000.00
$0.00
$73,904,166.66
Redeemed, in full; warrants not outstanding
$9,495,000.00
9,495
$1,000.00
$70,000,000.00
70,000
$1,000.00
36
FootNote
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
8,9
11,8,14
11
8,17
45
Institution Name
City
State
Date
FLUSHING FINANCIAL CORPORATION
FNB BANCORP
FNB BANCORP
FORESIGHT FINANCIAL GROUP, INC.
FORESIGHT FINANCIAL GROUP, INC.
FORT LEE FEDERAL SAVINGS BANK, FSB
FORT LEE FEDERAL SAVINGS BANK, FSB
FORTUNE FINANCIAL CORPORATION
FORTUNE FINANCIAL CORPORATION
FPB BANCORP, INC.
FPB BANCORP, INC.
FPB FINANCIAL CORP.
FPB FINANCIAL CORP.
FPB FINANCIAL CORP.
FRANKLIN BANCORP, INC.
FRANKLIN BANCORP, INC.
FRANKLIN BANCORP, INC.
FRANKLIN BANCORP, INC.
FREEPORT BANCSHARES, INC.
FREMONT BANCORPORATION
FREMONT BANCORPORATION
FRESNO FIRST BANK
FRESNO FIRST BANK
FRONTIER BANCSHARES, INC
FRONTIER BANCSHARES, INC
FRONTIER BANCSHARES, INC
FULTON FINANCIAL CORPORATION
FULTON FINANCIAL CORPORATION
FULTON FINANCIAL CORPORATION
GATEWAY BANCSHARES, INC.
GATEWAY BANCSHARES, INC.
GEORGIA COMMERCE BANCSHARES, INC.
GEORGIA COMMERCE BANCSHARES, INC.
GEORGIA PRIMARY BANK
GERMANTOWN CAPITAL CORPORATION
GERMANTOWN CAPITAL CORPORATION
GERMANTOWN CAPITAL CORPORATION
GERMANTOWN CAPITAL CORPORATION
GOLD CANYON BANK
GOLD CANYON BANK
GOLDMAN SACHS GROUP, INC.
GOLDMAN SACHS GROUP, INC.
GOLDMAN SACHS GROUP, INC.
GOLDWATER BANK, N.A.
GRAND CAPITAL CORPORATION
GRAND CAPITAL CORPORATION
GRAND FINANCIAL CORPORATION
GRAND MOUNTAIN BANCSHARES, INC.
GRANDSOUTH BANCORPORATION
GRANDSOUTH BANCORPORATION
GRANDSOUTH BANCORPORATION
GREAT RIVER HOLDING COMPANY
GREAT 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
GREGG BANCSHARES, INC.
GREGG BANCSHARES, INC.
GUARANTY BANCORP, INC.
GUARANTY BANCORP, INC.
GUARANTY CAPITAL CORPORATION
GUARANTY CAPITAL CORPORATION
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GULFSOUTH PRIVATE BANK
GULFSOUTH PRIVATE BANK
GULFSTREAM BANCSHARES, INC.
GULFSTREAM BANCSHARES, INC.
HAMILTON STATE BANCSHARES, INC.
HAMILTON STATE BANCSHARES, INC.
HAMPTON ROADS BANKSHARES, INC.
LAKE SUCCESS
SOUTH SAN FRANCISCO
SOUTH SAN FRANCISCO
ROCKFORD
ROCKFORD
FORT LEE
FORT LEE
ARNOLD
ARNOLD
PORT ST. LUCIE
PORT ST. LUCIE
HAMMOND
HAMMOND
HAMMOND
WASHINGTON
WASHINGTON
WASHINGTON
WASHINGTON
FREEPORT
FREMONT
FREMONT
FRESNO
FRESNO
AUSTIN
AUSTIN
AUSTIN
LANCASTER
LANCASTER
LANCASTER
RINGGOLD
RINGGOLD
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
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
GREENEVILLE
GREENEVILLE
CLIVE
CLIVE
CLIVE
CLIVE
GREEN CITY
GREEN CITY
GREER
OZARK
OZARK
WOODSVILLE
WOODSVILLE
BELZONI
BELZONI
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
DESTIN
DESTIN
STUART
STUART
HOSCHTON
HOSCHTON
NORFOLK
NY
CA
CA
IL
IL
NJ
NJ
MO
MO
FL
FL
LA
LA
LA
MO
MO
MO
MO
IL
CA
CA
CA
CA
TX
TX
TX
PA
PA
PA
GA
GA
GA
GA
GA
TN
TN
TN
TN
AZ
AZ
NY
NY
NY
AZ
OK
OK
MS
CO
SC
SC
SC
MN
MO
MO
MO
TN
TN
IA
IA
IA
IA
MO
MO
SC
MO
MO
NH
NH
MS
MS
MO
MO
MO
MO
MO
MO
FL
FL
FL
FL
GA
GA
VA
30‐Dec‐09
27‐Feb‐09
15‐Sep‐11
15‐May‐09
11‐Dec‐12
22‐May‐09
20‐Apr‐12
3‐Apr‐09
15‐Sep‐11
5‐Dec‐08
15‐Jul‐11
23‐Jan‐09
16‐Dec‐09
16‐Jun‐10
22‐May‐09
9‐Nov‐12
13‐Nov‐12
11‐Jan‐13
8‐May‐09
26‐Jun‐09
25‐Jul‐12
23‐Jan‐09
1‐Nov‐12
24‐Apr‐09
24‐Nov‐09
6‐Oct‐10
23‐Dec‐08
14‐Jul‐10
8‐Sep‐10
8‐May‐09
13‐Apr‐12
6‐Feb‐09
16‐Feb‐11
1‐May‐09
6‐Mar‐09
29‐Oct‐12
31‐Oct‐12
11‐Jan‐13
26‐Jun‐09
5‐Apr‐13
28‐Oct‐08
17‐Jun‐09
22‐Jul‐09
30‐Jan‐09
24‐Apr‐09
8‐Sep‐11
25‐Sep‐09
29‐May‐09
9‐Jan‐09
11‐Dec‐09
8‐Sep‐11
17‐Jul‐09
5‐Dec‐08
18‐Aug‐11
21‐Sep‐11
23‐Dec‐08
7‐Sep‐11
27‐Feb‐09
14‐Nov‐12
23‐Jan‐13
24‐Apr‐13
27‐Feb‐09
14‐Jul‐10
30‐Jan‐09
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‐Apr‐13
29‐Apr‐13
15‐May‐13
31‐May‐13
25‐Sep‐09
19‐Oct‐12
26‐Jun‐09
18‐Aug‐11
20‐Feb‐09
13‐Apr‐11
31‐Dec‐08
HARBOR BANKSHARES CORPORATION
HAVILAND BANCSHARES, INC.
HAVILAND BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HCSB FINANCIAL CORPORATION
HEARTLAND BANCSHARES, INC.
HEARTLAND BANCSHARES, INC.
HEARTLAND FINANCIAL USA, INC.
HEARTLAND FINANCIAL USA, INC.
HEARTLAND FINANCIAL USA, INC.
BALTIMORE
HAVILAND
HAVILAND
LEE'S SUMMIT
LEE'S SUMMIT
LEE'S SUMMIT
LEE'S SUMMIT
LORIS
FRANKLIN
FRANKLIN
DUBUQUE
DUBUQUE
DUBUQUE
MD
KS
KS
MO
MO
MO
MO
SC
IN
IN
IA
IA
IA
17‐Jul‐09
13‐Mar‐09
29‐Dec‐10
19‐Dec‐08
9‐May‐12
15‐May‐13
12‐Jun‐13
6‐Mar‐09
11‐Sep‐09
17‐Jul‐12
19‐Dec‐08
15‐Sep‐11
28‐Sep‐11
Original Investment Type1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
(Fee) 4
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
$900,000.00
Preferred Stock w/ Exercised Warrants
$12,000,000.00
$0.00
$14,267,700.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$15,000,000.00
$0.00
$18,670,291.67
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,300,000.00
$0.00
$87,184.85
Currently not collectible
Preferred Stock w/ Exercised Warrants
$3,100,000.00
$0.00
$3,668,927.67
Redeemed, in full; warrants not outstanding
375,806
$12,000,000.00
12,000
$1,000.00
$600,000.00
600
$15,000,000.00
15,000
$1,000.00
$750,000.00
750
$3,100,000.00
3,100
$1,000.00
$155,000.00
155
$162,000.00
162
$126,798.62
$45,188.88
188
67
($1,300,000.00)
Preferred Stock w/ Warrants
$5,800,000.00
$0.00
$273,888.89
Currently not collectible
Preferred Stock w/ Exercised Warrants
$3,240,000.00
$0.00
$3,623,721.50
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,097,000.00
$0.00
$4,336,183.67
Sold, in full; warrants not outstanding
($5,800,000.00)
$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
($345,450.00)
($1,527,697.50)
($25,000.00)
Subordinated Debentures w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants
$3,000,000.00
$35,000,000.00
$3,000,000.00
$0.00
$1,137,543.45
$45,796,066.36
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,968,000.00
$0.00
$2,437,100.33
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$3,000,000.00
$376,500,000.00
$6,000,000.00
$8,700,000.00
$0.00
$0.00
$0.00
$0.00
$3,408,191.65
$416,635,625.00
$7,260,794.87
$10,096,470.83
$35,000,000.00
35,000,000
$1.00
$1,750,000.00
1,750,000
$1,968,000.00
1,968
$1,000.00
$98,000.00
98
$1,600,000.00
$1,400,000.00
1,600,000
1,400,000
$1.00
$1.00
$150,000.00
150,000
$376,500,000.00
376,500
$1,000.00
$10,800,000.00
5,509,756
$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
29
4,938
$910.10
$910.10
$214,595.28
248
$10,000,000,000.00
10,000,000
$1,000.00
$1,100,000,000.00
12,205,045
$4,000,000.00
4,000
$1,000.00
$200,000.00
200
$450,000.00
450
$6,436,364.00
909,091
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$4,500,000.00
$4,967,000.00
$4,500,000.00
$0.00
$0.00
$5,699,100.75
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,607,000.00
$0.00
$53,859.52
Currently not collectible
Preferred Stock w/ Warrants
$10,000,000,000.00
$0.00
$11,418,055,555.44
Redeemed, in full; warrants not outstanding
$26,393.77
$4,494,221.94
($2,606.23)
($443,778.06)
($25,000.00)
($1,607,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$2,568,000.00
$4,000,000.00
$2,568,000.00
$0.00
$145,750.00
$4,717,144.78
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$2,443,320.00
$3,076,000.00
$9,000,000.00
$6,319,000.00
$2,443,320.00
$3,076,000.00
$0.00
$848,353.79
$0.00
$17,625,917.08
Full investment outstanding; warrants outstanding
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
$8,400,000.00
$58,000,000.00
$8,400,000.00
$0.00
$759,575.46
$72,274,419.56
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$72,278,000.00
$0.00
$74,642,857.78
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,400,000.00
$0.00
$3,036,021.12
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$651,000.00
$0.00
$733,037.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$9,993,000.00
$825,000.00
$9,993,000.00
$0.00
$975,831.00
$45,190.00
$15,319,000.00
15,319
$1,000.00
$58,000,000.00
58,000
$1,000.00
$68,700,000.00
72,278
$950.50
$800,000.00
$800,000.00
$800,000.00
800
800
800
$1,000.00
$1,000.00
$1,000.00
$120,000.00
120
$651,000.00
651
$1,000.00
$33,000.00
33
$346,000.00
346
$2,003,250.00
459,459
($3,578,000.00)
Full investment outstanding; warrants outstanding
Currently not collectible
($825,000.00)
Preferred Stock w/ Exercised Warrants
$6,920,000.00
$0.00
$8,235,040.33
Redeemed, in full; warrants not outstanding
Subordinated Debentures
$14,000,000.00
$0.00
$14,913,299.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$17,000,000.00
$0.00
$21,887,871.44
$6,920,000.00
6,920
$1,000.00
$14,000,000.00
14,000,000
$1.00
$5,000,000.00
$96,750.00
$11,513,250.00
5,000
100
11,900
$1,000.00
$967.50
$967.50
Sold, in full; warrants not outstanding
($3,250.00)
($386,750.00)
($116,100.00)
Preferred Stock w/ Exercised Warrants
$7,500,000.00
$0.00
$757,380.08
Currently not collectible
Preferred Stock w/ Exercised Warrants
$7,500,000.00
$0.00
$8,751,541.63
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$7,000,000.00
$0.00
$8,169,165.89
Redeemed, in full; warrants not outstanding
($7,500,000.00)
Preferred Stock w/ Warrants
$80,347,000.00
$80,347,000.00
$2,510,844.25
Full investment outstanding; warrants outstanding
Preferred Stock
Preferred Stock w/ Exercised Warrants
$6,800,000.00
$425,000.00
$6,800,000.00
$0.00
$282,744.47
$487,524.22
Full investment outstanding; warrants not outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$30,255,000.00
$0.00
$36,849,504.67
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$12,895,000.00
$7,000,000.00
$12,895,000.00
$0.00
$1,090,702.00
$8,321,471.08
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$81,698,000.00
$0.00
$94,686,087.22
Redeemed, in full; warrants not outstanding
$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
$21,000.00
21
$540,000.00
287,134
$248,000.00
248
$1,800,000.00
609,687
$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
37
FootNote
8,17,45
11
11,16
11
11
8,18,21,44
8
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
8,14,18,44
8
11
29
8,22,92,97
11
22,52,97
11
15,71,97
Institution Name
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
IBC BANCORP, INC.
IBC BANCORP, INC.
IBERIABANK CORPORATION
IBERIABANK CORPORATION
IBERIABANK CORPORATION
IBT BANCORP, INC.
IBT BANCORP, INC.
IBW FINANCIAL CORPORATION
IBW FINANCIAL CORPORATION
ICB FINANCIAL
ICB FINANCIAL
IDAHO BANCORP
ILLINOIS STATE BANCORP, INC.
ILLINOIS STATE BANCORP, INC.
ILLINOIS STATE BANCORP, INC.
INDEPENDENCE BANK
INDEPENDENCE BANK
INDEPENDENT BANK CORP.
INDEPENDENT BANK CORP.
INDEPENDENT BANK CORP.
INDEPENDENT BANK CORPORATION
INDEPENDENT BANK CORPORATION
INDIANA BANK CORP.
INDIANA BANK CORP.
INDIANA COMMUNITY BANCORP
INDIANA COMMUNITY BANCORP
INTEGRA BANK CORPORATION
INTEGRA BANK CORPORATION
INTERMOUNTAIN COMMUNITY BANCORP
INTERMOUNTAIN COMMUNITY BANCORP
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.
City
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
MICHIGAN CITY
MICHIGAN CITY
MICHIGAN CITY
MICHIGAN CITY
ELLICOTT CITY
ELLICOTT CITY
CHICAGO
CHICAGO
CHICAGO
COLUMBUS
COLUMBUS
COLUMBUS
PHILADELPHIA
PHILADELPHIA
PHILADELPHIA
PHILADELPHIA
ISELIN
CHICAGO
CHICAGO
LAFAYETTE
LAFAYETTE
LAFAYETTE
IRVING
IRVING
WASHINGTON
WASHINGTON
ONTARIO
ONTARIO
BOISE
CHICAGO
CHICAGO
CHICAGO
EAST GREENWICH
EAST GREENWICH
ROCKLAND
ROCKLAND
ROCKLAND
IONIA
IONIA
DANA
DANA
COLUMBUS
COLUMBUS
EVANSVILLE
EVANSVILLE
SANDPOINT
SANDPOINT
LAREDO
LAREDO
LAREDO
LAREDO
LAREDO
NEW YORK
NEW YORK
NEW YORK
SEDALIA
State
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
IL
IL
LA
LA
LA
TX
TX
DC
DC
CA
CA
ID
IL
IL
IL
RI
RI
MA
MA
MA
MI
MI
IN
IN
IN
IN
IN
IN
ID
ID
TX
TX
TX
TX
TX
NY
NY
NY
MO
Date
25‐Sep‐09
16‐Mar‐11
11‐Aug‐11
21‐Nov‐08
7‐Mar‐12
10‐Jun‐13
21‐Nov‐08
22‐Dec‐10
17‐Aug‐11
20‐Mar‐09
17‐Jul‐13
7‐Aug‐13
21‐Nov‐08
3‐Jun‐09
30‐Jun‐09
8‐May‐09
22‐Dec‐09
22‐Sep‐11
6‐Mar‐09
30‐Jan‐09
21‐Apr‐10
23‐Dec‐08
7‐Feb‐13
8‐Feb‐13
26‐Mar‐13
16‐Jan‐09
6‐Jul‐11
27‐Jul‐11
20‐Feb‐09
28‐Aug‐13
13‐Feb‐09
28‐Nov‐12
30‐Nov‐12
11‐Jan‐13
26‐Mar‐13
18‐Sep‐09
31‐Oct‐12
11‐Jan‐13
12‐Dec‐08
19‐Dec‐12
16‐Jan‐13
19‐Dec‐08
10‐Nov‐10
25‐Aug‐11
23‐Nov‐11
27‐Feb‐09
22‐Sep‐11
1‐May‐09
13‐Nov‐09
11‐Dec‐12
14‐Nov‐08
22‐Dec‐10
19‐Jan‐11
6‐Feb‐09
20‐Dec‐12
11‐Jan‐13
26‐Mar‐13
18‐Sep‐09
15‐May‐09
10‐Sep‐10
5‐Dec‐08
31‐Mar‐09
20‐May‐09
27‐Mar‐09
12‐Jun‐13
13‐Mar‐09
3‐Sep‐10
6‐Mar‐09
1‐Nov‐12
16‐Jan‐09
22‐May‐09
29‐Dec‐09
22‐Sep‐11
9‐Jan‐09
16‐Oct‐13
9‐Jan‐09
22‐Apr‐09
27‐May‐09
12‐Dec‐08
30‐Aug‐13
24‐Apr‐09
9‐Apr‐13
12‐Dec‐08
12‐Sep‐12
27‐Feb‐09
29‐Jul‐11
19‐Dec‐08
20‐Nov‐13
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
Original Investment Type1
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Original Investment
Amount
$10,103,000.00
$40,000,000.00
$24,000,000.00
$21,000,000.00
$25,000,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
$0.00
$0.00
$0.00
$0.00
$0.00
$11,353,284.46
$46,901,266.80
$26,953,333.33
$27,241,335.26
$26,316,666.67
(Fee) 4
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
Redeemed, in full; warrants not outstanding
$2,606,000.00
$7,497,000.00
2,606
7,497
$1,000.00
$1,000.00
$40,000,000.00
40,000
$1,000.00
$24,000,000.00
24,000
$1,000.00
$21,000,000.00
21,000
$1,000.00
$303,000.00
303
$140,000.00
462,963
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$450,000.00
138,037
$1,575,000.00
611,650
$650,000.00
302,419
$155,000.00
155
$200,000.00
200
$1,300,000.00
158,472
$163,000.00
163
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$25,000,000.00
Preferred Stock w/ Exercised Warrants
$3,091,000.00
$2,359,000.00
$0.00
$6,211,926.79
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$6,700,000.00
$4,000,000.00
$6,700,000.00
$0.00
$617,712.00
$4,467,049.67
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$26,000,000.00
$0.00
$21,034,187.78
Sold, in full; warrants outstanding
25,000
$5,450,000.00
$1,000.00
5,450
$1,000.00
$4,000,000.00
4,000
$1,000.00
$2,561,325.00
$16,197,675.00
3,550
22,450
$721.50
$721.50
$50,000,000.00
50,000
$1,000.00
$3,250,000.00
3,250
$1,000.00
$608,170.50
$1,183,339.50
645
1,255
$942.90
$942.90
($36,829.50)
($71,660.50)
$70,095.00
95
10,000
$918.50
($815,000.00)
$315,461.52
374
$18,400,000.00
18,400
$1,000.00
$256,257.00
253,666
$6,250,000.00
$18,750,000.00
6,250
18,750
$1,000.00
$1,000.00
$1,750,551.00
212,188
$5,983,000.00
5,983
$1,000.00
$299,000.00
299
$9,000,000.00
9,000
$1,000.00
$344,000.00
344
$1,398,071,000.00
1,398,071
$1,000.00
$49,100,000.00
23,562,994
$1,008,800.00
1,552
$650.00
$25,700.00
78
$1,200,000.00
138,490
$115,000.00
115
($988,675.00)
($6,252,325.00)
($187,590.00)
Preferred Stock w/ Warrants
$50,000,000.00
$0.00
$57,480,555.56
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,250,000.00
$0.00
$4,214,202.31
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,900,000.00
$0.00
$2,229,801.03
Sold, in full; warrants not outstanding
($17,915.11)
($7,084.89)
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$11,111,011.94
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$18,400,000.00
$0.00
$22,354,145.89
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$29,857,321.83
Redeemed, in full; warrants not outstanding
$9,185,000.00
($91,850.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$5,983,000.00
$4,000,000.00
$5,000,000.00
$1,398,071,000.00
$1,552,000.00
$0.00
$0.00
$0.00
$0.00
$7,119,793.05
$10,940,554.65
$1,594,356,808.56
$1,337,166.22
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($543,200.00)
($10,088.00)
($14,912.00)
Preferred Stock w/ Exercised Warrants
Subordinated Debentures
$5,976,000.00
$4,205,000.00
$5,976,000.00
$0.00
$916,227.47
$4,632,216.32
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$90,000,000.00
$0.00
$92,650,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,295,000.00
$0.00
$2,936,462.50
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$6,000,000.00
$0.00
$6,453,067.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$0.00
$7,494,458.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$6,900,000.00
$6,272,000.00
$4,000,000.00
$6,900,000.00
$0.00
$124,305.92
$11,836,113.40
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,065,000.00
$0.00
$1,394,723.17
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$78,158,000.00
$0.00
$81,476,093.61
$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
$300,000.00
300
$10,272,000.00
10,272
$1,000.00
$406,000.00
406
$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
$72,000,000.00
72,000
$1,000.00
$21,500,000.00
21,500
$1,000.00
$1,800,000.00
188,707
$4,018,511.00
1,326,238
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$72,000,000.00
$0.00
$83,430,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,312,000.00
$0.00
$165,139.00
Currently not collectible
Preferred Stock w/ Warrants
$21,500,000.00
$0.00
$27,331,250.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$83,586,000.00
$0.00
$1,950,340.00
Currently not collectible
$2,426,000.00
($1,312,000.00)
($83,586,000.00)
Preferred Stock w/ Warrants
$27,000,000.00
$0.00
$33,944,884.23
Redeemed, in full; warrants outstanding
Preferred Stock w/ Warrants
$216,000,000.00
$0.00
$261,538,649.89
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$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
25,000
$970.00
Sold, in full; warrants outstanding
$24,250,000.00
($750,000.00)
($242,500.00)
Subordinated Debentures w/ Exercised Warrants
$4,000,000.00
$0.00
$174,324.60
Currently not collectible
38
FootNote
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
8
15,14
8,14
43
8
11
Institution Name
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.
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
MARKET BANCORPORATION, INC.
MARKET STREET BANCSHARES, INC.
MARKET STREET BANCSHARES, INC.
MARKET STREET BANCSHARES, INC.
MARKET STREET BANCSHARES, INC.
MARQUETTE NATIONAL CORPORATION
MARQUETTE NATIONAL CORPORATION
MARQUETTE NATIONAL CORPORATION
MARQUETTE NATIONAL CORPORATION
MARQUETTE NATIONAL CORPORATION
MARSHALL & ILSLEY CORPORATION
MARSHALL & ILSLEY CORPORATION
MARYLAND FINANCIAL BANK
MB FINANCIAL INC.
MB FINANCIAL INC.
City
SEDALIA
NEW YORK
NEW YORK
NEW YORK
HOULTON
HOULTON
CLEVELAND
CLEVELAND
CLEVELAND
KIRKSVILLE
SMITHFIELD
SMITHFIELD
SMITHFIELD
OXFORD
OXFORD
OXFORD
OAK RIDGE
OAK RIDGE
OAK RIDGE
OAK RIDGE
OAK RIDGE
WARSAW
WARSAW
WARSAW
MILWAUKEE
MILWAUKEE
MILWAUKEE
MILWAUKEE
LEBANON
LEBANON
LEBANON
ARLINGTON
ARLINGTON
MILWAUKEE
MILWAUKEE
JONESBORO
JONESBORO
SPRINGFIELD
SPRINGFIELD
FORT WORTH
NEW ORLEANS
NEW ORLEANS
HINESVILLE
RADNOR
RADNOR
RADNOR
LORAIN
LORAIN
LORAIN
HOUSTON
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
NEW MARKET
MT. VERNON
MT. VERNON
MT. VERNON
MT. VERNON
CHICAGO
CHICAGO
CHICAGO
CHICAGO
CHICAGO
MILWAUKEE
MILWAUKEE
TOWSON
CHICAGO
CHICAGO
State
MO
NY
NY
NY
ME
ME
OH
OH
OH
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
MN
IL
IL
IL
IL
IL
IL
IL
IL
IL
WI
WI
MD
IL
IL
Date
19‐Oct‐12
28‐Oct‐08
17‐Jun‐09
16‐Dec‐09
30‐Jan‐09
18‐Aug‐11
14‐Nov‐08
30‐Mar‐11
20‐Apr‐11
20‐Mar‐09
21‐Aug‐09
30‐Nov‐12
11‐Jan‐13
20‐Feb‐09
29‐Dec‐09
29‐Sep‐10
6‐Feb‐09
4‐Aug‐10
16‐Mar‐11
8‐Feb‐12
29‐Feb‐12
27‐Feb‐09
9‐Jun‐10
22‐Nov‐11
18‐Dec‐09
29‐Nov‐12
11‐Jan‐13
26‐Mar‐13
9‐Jan‐09
21‐Oct‐09
22‐Nov‐11
23‐Dec‐08
24‐Nov‐10
30‐Jan‐09
11‐Mar‐11
23‐Jan‐09
21‐Jul‐11
13‐Feb‐09
18‐Aug‐11
4‐Dec‐09
6‐Feb‐09
24‐Sep‐10
20‐Feb‐09
10‐Jul‐09
30‐Jun‐10
22‐Sep‐10
12‐Dec‐08
19‐Jun‐12
18‐Jul‐12
6‐Feb‐09
12‐Dec‐08
18‐Nov‐09
16‐Dec‐09
26‐Jun‐09
20‐Aug‐10
23‐Dec‐08
18‐May‐11
21‐Aug‐12
17‐Dec‐12
24‐Apr‐09
29‐Aug‐12
19‐Dec‐12
13‐Mar‐09
19‐Nov‐13
6‐Jan‐14
23‐Dec‐08
24‐Nov‐09
8‐Jun‐11
18‐Aug‐11
29‐Dec‐09
9‐Mar‐12
16‐Jan‐09
3‐Apr‐12
11‐Jun‐13
5‐Dec‐08
16‐Sep‐09
14‐Oct‐09
19‐Jun‐09
10‐Dec‐12
11‐Dec‐12
11‐Jan‐13
6‐Mar‐09
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‐Mar‐09
5‐Dec‐08
14‐Mar‐12
Original Investment Type1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
(Fee) 4
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
($4,000,000.00)
Preferred Stock w/ Warrants
$25,000,000,000.00
$0.00
$26,731,202,358.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,449,000.00
$0.00
$12,423,046.75
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$2,500,000,000.00
$470,000.00
$4,000,000.00
$0.00
$470,000.00
$0.00
$2,867,222,222.22
$119,390.00
$4,137,336.64
$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
$3,308,000.00
4,000
$827.00
$936,063,469.11
88,401,697
$522,000.00
522
$70,000,000.00
35,244,361
$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
Redeemed, in full; warrants not outstanding
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
($692,000.00)
($25,000.00)
Preferred Stock w/ Exercised Warrants
$1,998,000.00
$2,453,000.00
$0.00
$4,818,134.50
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$59,000,000.00
$0.00
$68,260,833.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$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, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$2,370,930.00
($629,070.00)
($23,709.29)
($1,290.71)
Preferred Stock w/ Warrants
$13,400,000.00
$0.00
$14,527,390.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,830,000.00
$0.00
$6,731,961.06
Redeemed, in full; warrants not outstanding
Preferred Stock
$5,498,000.00
$0.00
$355,079.00
Currently not collectible
($5,498,000.00)
Preferred Stock w/ Exercised Warrants
$57,500,000.00
$0.00
$68,191,965.77
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$21,900,000.00
$0.00
$25,995,452.08
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock
$6,500,000.00
$5,645,000.00
$6,500,000.00
$0.00
$1,352,476.22
$6,106,008.58
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$17,280,000.00
$950,000,000.00
$17,280,000.00
$0.00
$1,399,560.00
$1,209,851,873.70
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$25,223,000.00
$0.00
$26,893,046.60
Sold, in full; warrants not outstanding
$57,500,000.00
57,500
$1,000.00
$2,875,000.00
2,875
$21,900,000.00
21,900
$1,000.00
$1,095,000.00
1,095
$5,645,000.00
5,645
$1,000.00
$950,000,000.00
950,000
$1,000.00
$213,671,319.20
13,049,451
25,223
$869.20
$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
$21,923,074.91
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$3,072,000.00
$15,000,000.00
$3,072,000.00
$0.00
$0.00
$16,260,000.00
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock
$11,735,000.00
$0.00
$12,409,762.50
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$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, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$10,538,990.00
Preferred Stock w/ Exercised Warrants
($328,846.12)
($158,084.85)
($461,010.00)
Sold, in full; warrants not outstanding
$3,370,000.00
3,370
$1,022.60
$76,195.70
$3,455,000.00
$3,455,000.00
$6,885,000.00
3,455
3,455
6,885
$1,000.00
$1,000.00
$1,000.00
$690,000.00
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
($25,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$13,795,000.00
$4,500,000.00
$57,000,000.00
$0.00
$0.00
$0.00
$16,146,467.87
$5,263,187.50
$62,949,121.28
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$53,073,270.00
Preferred Stock w/ Warrants
$1,700,000.00
$0.00
$1,829,711.12
($796,099.05)
Redeemed, in full; warrants not outstanding
$1,700,000.00
Subordinated Debentures w/ Exercised Warrants
$2,639,000.00
$0.00
$3,438,793.11
($3,926,730.00)
$63,363.90
29,480
14,000
118,000
Sold, in full; warrants not outstanding
2,639,000
$0.98
($52,595.27)
$11,385.02
$95,959.50
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
$2,586,404.73
($25,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants
$3,000,000.00
$2,060,000.00
$20,300,000.00
$3,000,000.00
$2,060,000.00
$0.00
$235,713.00
$138,778.00
$24,429,245.84
Full investment outstanding; warrants outstanding
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
$17,919,962.10
$331,767.90
($182,517.30)
Preferred Stock w/ Exercised Warrants
$35,500,000.00
$0.00
$33,835,943.42
Sold, in full; warrants not outstanding
$2,530,958.50
$5,904,609.50
$17,133,307.00
($255,688.75)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$1,715,000,000.00
$1,700,000.00
$196,000,000.00
$0.00
$1,700,000.00
$0.00
$1,944,772,916.66
$313,465.50
$229,613,072.00
Redeemed, in full; warrants not outstanding
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
39
FootNote
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
45
8
59,11
8,14
11,16
Institution Name
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
METRO CITY BANK
METRO CITY BANK
METRO CITY BANK
METRO CITY BANK
METROCORP BANCSHARES, INC.
METROCORP BANCSHARES, INC.
METROCORP BANCSHARES, INC.
METROPOLITAN BANK GROUP, INC.
METROPOLITAN BANK GROUP, INC.
METROPOLITAN CAPITAL BANCORP, INC.
METROPOLITAN CAPITAL BANCORP, INC.
MID PENN BANCORP, INC./MID PENN BANK
MID PENN BANCORP, INC./MID PENN BANK
MID PENN BANCORP, INC./MID PENN BANK
MIDDLEBURG FINANCIAL CORPORATION
MIDDLEBURG FINANCIAL CORPORATION
MIDDLEBURG FINANCIAL CORPORATION
MIDLAND STATES BANCORP, INC.
MIDLAND STATES BANCORP, INC.
MIDSOUTH BANCORP, INC.
MIDSOUTH BANCORP, INC.
MIDSOUTH BANCORP, INC.
MIDTOWN BANK & TRUST COMPANY
MIDTOWN BANK & TRUST COMPANY
MIDTOWN BANK & TRUST COMPANY
MIDWEST BANC HOLDINGS, INC.
MIDWEST BANC HOLDINGS, INC.
MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE
MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE
MIDWESTONE FINANCIAL GROUP, INC.
MIDWESTONE FINANCIAL GROUP, INC.
MIDWESTONE FINANCIAL GROUP, INC.
MID‐WISCONSIN FINANCIAL SERVICES, INC.
MID‐WISCONSIN FINANCIAL SERVICES, INC.
MILLENNIUM BANCORP, INC.
MILLENNIUM BANCORP, INC.
MISSION COMMUNITY BANCORP
MISSION COMMUNITY BANCORP
MISSION VALLEY BANCORP
MISSION VALLEY BANCORP
MONADNOCK BANCORP, INC.
MONADNOCK BANCORP, INC.
MONARCH COMMUNITY BANCORP, INC.
MONARCH COMMUNITY BANCORP, INC.
MONARCH FINANCIAL HOLDINGS, INC.
MONARCH FINANCIAL HOLDINGS, INC.
MONARCH FINANCIAL HOLDINGS, INC.
MONEYTREE CORPORATION
MONEYTREE CORPORATION
MONUMENT BANK
MONUMENT BANK
MORGAN STANLEY
MORGAN STANLEY
MORGAN STANLEY
MORRILL BANCSHARES, INC.
MORRILL BANCSHARES, INC.
MOSCOW BANCSHARES, INC.
MOSCOW BANCSHARES, INC.
MOSCOW BANCSHARES, INC.
MOUNTAIN VALLEY BANCSHARES, INC.
MOUNTAIN VALLEY BANCSHARES, INC.
MOUNTAIN VALLEY BANCSHARES, INC.
MS FINANCIAL, INC.
MS FINANCIAL, INC.
MUTUALFIRST FINANCIAL, INC.
MUTUALFIRST FINANCIAL, INC.
MUTUALFIRST FINANCIAL, INC.
NAPLES BANCORP, INC.
NAPLES BANCORP, INC.
NARA BANCORP, INC.
NARA BANCORP, INC.
NARA 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.
City
CHICAGO
SHOREWOOD
SHOREWOOD
SALT LAKE CITY
SALT LAKE CITY
SALT LAKE CITY
GRAND RAPIDS
GRAND RAPIDS
GRAND RAPIDS
GRAND RAPIDS
BOSTON
BOSTON
TOONE
TOONE
JOLIET
JOLIET
DEVON
DEVON
DORAVILLE
DORAVILLE
DORAVILLE
DORAVILLE
HOUSTON
HOUSTON
HOUSTON
CHICAGO
CHICAGO
CHICAGO
CHICAGO
MILLERSBURG
MILLERSBURG
MILLERSBURG
MIDDLEBURG
MIDDLEBURG
MIDDLEBURG
EFFINGHAM
EFFINGHAM
LAFAYETTE
LAFAYETTE
LAFAYETTE
ATLANTA
ATLANTA
ATLANTA
MELROSE PARK
MELROSE PARK
FESTUS
FESTUS
IOWA CITY
IOWA CITY
IOWA CITY
MEDFORD
MEDFORD
EDWARDS
EDWARDS
SAN LUIS OBISPO
SAN LUIS OBISPO
SUN VALLEY
SUN VALLEY
PETERBOROUGH
PETERBOROUGH
COLDWATER
COLDWATER
CHESAPEAKE
CHESAPEAKE
CHESAPEAKE
LENOIR CITY
LENOIR CITY
BETHESDA
BETHESDA
NEW YORK
NEW YORK
NEW YORK
MERRIAM
MERRIAM
MOSCOW
MOSCOW
MOSCOW
CLEVELAND
CLEVELAND
CLEVELAND
KINGWOOD
KINGWOOD
MUNCIE
MUNCIE
MUNCIE
NAPLES
NAPLES
LOS ANGELES
LOS ANGELES
LOS ANGELES
BETTENDORF
BETTENDORF
BETTENDORF
BETTENDORF
BOYERTOWN
BOYERTOWN
BOYERTOWN
State
IL
MN
MN
UT
UT
UT
MI
MI
MI
MI
MA
MA
TN
TN
IL
IL
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
IN
IN
IN
FL
FL
CA
CA
CA
IA
IA
IA
IA
PA
PA
PA
Date
2‐May‐12
20‐Nov‐09
18‐Aug‐11
27‐Feb‐09
22‐Dec‐09
21‐Jul‐11
15‐May‐09
4‐Apr‐12
6‐Jun‐12
3‐Jul‐12
6‐Feb‐09
4‐Aug‐11
6‐Mar‐09
7‐Sep‐11
19‐Jun‐09
8‐Sep‐11
13‐Feb‐09
11‐Dec‐09
30‐Jan‐09
29‐Oct‐12
1‐Nov‐12
11‐Jan‐13
16‐Jan‐09
3‐Jul‐12
11‐Jun‐13
26‐Jun‐09
28‐Jun‐13
10‐Apr‐09
20‐Nov‐09
19‐Dec‐08
28‐Dec‐12
23‐Jan‐13
30‐Jan‐09
23‐Dec‐09
18‐Nov‐11
23‐Jan‐09
23‐Dec‐09
9‐Jan‐09
25‐Aug‐11
22‐Nov‐11
27‐Feb‐09
19‐Nov‐13
6‐Jan‐14
5‐Dec‐08
14‐May‐10
13‐Feb‐09
10‐Nov‐09
6‐Feb‐09
6‐Jul‐11
27‐Jul‐11
20‐Feb‐09
26‐Apr‐13
3‐Apr‐09
14‐Aug‐12
9‐Jan‐09
28‐Dec‐11
23‐Dec‐08
20‐Aug‐10
19‐Dec‐08
28‐Dec‐12
6‐Feb‐09
15‐Nov‐13
19‐Dec‐08
23‐Dec‐09
10‐Feb‐10
13‐Mar‐09
15‐Sep‐11
30‐Jan‐09
11‐Aug‐11
28‐Oct‐08
17‐Jun‐09
12‐Aug‐09
16‐Jan‐09
20‐Jul‐11
23‐Jan‐09
25‐Apr‐12
5‐Dec‐12
25‐Sep‐09
22‐Jul‐13
12‐Sep‐13
27‐Mar‐09
19‐Oct‐11
23‐Dec‐08
25‐Aug‐11
28‐Sep‐11
27‐Mar‐09
12‐Jul‐12
21‐Nov‐08
27‐Jun‐12
8‐Aug‐12
27‐Feb‐09
19‐Feb‐13
20‐Feb‐13
26‐Mar‐13
12‐Dec‐08
16‐Mar‐11
13‐Apr‐11
Original Investment Type1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Investment Status*
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$0.00
$6,870,433.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$11,800,000.00
$9,698,000.00
$0.00
$24,460,674.81
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$21,000,000.00
$0.00
$31,631,120.56
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$3,500,000.00
$1,881,000.00
$3,510,000.00
Capital Repayment / Disposition / Auction3,5
Amount
$0.00
$0.00
$0.00
$4,150,815.03
$2,231,560.00
$4,110,668.47
(Fee) 4
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
$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
29
7,671
$900.10
$900.10
$369,948.00
385
$2,087,368.00
771,429
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$6,200,000.00
$6,335,000.00
$7,700,000.00
$12,535,000.00
$2,851,025.61
Full investment outstanding; warrants outstanding
Preferred Stock w/ Exercised Warrants
$0.00
$8,806,297.80
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$45,000,000.00
$0.00
$53,406,628.25
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$71,526,000.00
$0.00
$27,172,726.72
Sold, in full; warrants not outstanding
$26,102.90
$6,904,667.10
($2,897.10)
($766,332.90)
($69,307.70)
$44,152,650.00
Preferred Stock w/ Warrants
$2,040,000.00
$2,348,000.00
$10,000,000.00
$4,388,000.00
$979,089.44
Full investment outstanding; warrants outstanding
Preferred Stock w/ Warrants
$0.00
$12,070,979.20
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$22,000,000.00
$0.00
$23,287,945.11
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,189,000.00
$0.00
$11,206,989.34
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$20,000,000.00
$0.00
$22,834,334.78
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,222,000.00
$0.00
$3,520,137.55
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
5,222
$600.00
$700,000.00
700
$1,000.00
$16,000,000.00
16,000
$1,000.00
$58,479.20
73,099
$301,001.00
104,101
$509,000.00
509
$206,557.00
104,384
$136,833.05
261
Sold, in full; warrants not outstanding
($2,088,800.00)
($25,000.00)
Preferred Stock w/ Warrants
$84,784,000.00
$0.00
$824,288.89
Currently not collectible
Preferred Stock w/ Exercised Warrants
$700,000.00
$0.00
$763,294.14
Redeemed, in full; warrants not outstanding
($84,784,000.00)
Preferred Stock w/ Warrants
$16,000,000.00
$0.00
$18,933,333.33
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$12,844,226.31
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$7,260,000.00
$0.00
$4,296,561.73
Sold, in full; warrants not outstanding
Preferred Stock
$5,116,000.00
$0.00
$5,875,583.89
Redeemed, in full; warrants not outstanding
Preferred Stock
$5,500,000.00
$0.00
$5,956,041.66
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$1,834,000.00
$6,785,000.00
$0.00
$0.00
$2,339,348.60
$4,808,121.00
$14,700,000.00
$0.00
$15,703,166.66
Redeemed, in full; warrants not outstanding
$9,516,000.00
$0.00
$11,291,481.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$10,000,000,000.00
$13,000,000.00
$6,216,000.00
$0.00
$0.00
$0.00
$0.00
$5,623,958.50
$11,268,055,555.11
$15,429,122.22
$7,803,377.38
$500,000.00
500
$92,000.00
92
$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
3,300
$990.00
$140,034.65
165
$7,723,000.00
7,723
$1,000.00
$32,382,000.00
32,382
$1,000.00
($4,356,000.00)
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$4,734,000.00
35
198,675
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$35,000.00
$1,000,000.00
Redeemed, in full; warrants not outstanding
($2,239,798.00)
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,300,000.00
$0.00
$4,069,975.55
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$7,723,000.00
$0.00
$9,206,289.90
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$32,382,000.00
$0.00
$37,608,789.00
Redeemed, in full; warrants not outstanding
$3,267,000.00
($33,000.00)
($25,000.00)
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$956,066.67
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$67,000,000.00
$0.00
$81,249,317.20
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$24,664,000.00
$0.00
$21,471,087.90
$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
$1,000.00
$386,000.00
386
$900,194.00
625,135
$2,189,317.20
521,266
$342,841.95
$502,606.30
500
733
$1,000,000.00
735,294
($3,400,000.00)
Sold, in full; warrants not outstanding
($811,817.50)
($5,349,003.06)
($185,031.79)
Preferred Stock w/ Warrants
$150,000,000.00
$0.00
$167,958,333.33
Redeemed, in full; warrants not outstanding
$150,000,000.00
40
FootNote
15,11,14
8,42
8
15,11,14
44
11,8,14
44,8,14
11
11
8,11,14,18
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
45,8,14
8,26
8
85
8,14
Institution Name
City
State
Date
Original Investment Type1
Original Investment
Amount
Investment Status*
WEST POINT
WEST POINT
CHICAGO
CHICAGO
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
CHICAGO
CHICAGO
CHICAGO
BERLIN
BERLIN
SPOKANE
SPOKANE
SPOKANE
SPOKANE
LAKEWOOD
LAKEWOOD
OAK RIDGE
OAK RIDGE
OAK RIDGE
OAK RIDGE
OAKDALE
OAKDALE
OAKDALE
TOMS RIVER
TOMS RIVER
TOMS RIVER
OJAI
OJAI
BOWIE
BOWIE
BOWIE
EVANSVILLE
EVANSVILLE
EVANSVILLE
AURORA
AURORA
AURORA
AURORA
AURORA
AURORA
LAKEWOOD
LAKEWOOD
LAKEWOOD
LAKEWOOD
ATLANTA
ATLANTA
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
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
11‐Dec‐09
29‐Dec‐10
26‐Jun‐09
28‐Jun‐13
19‐Dec‐08
19‐Jun‐09
24‐Apr‐13
16‐Jan‐09
25‐Aug‐11
15‐Feb‐12
9‐Jan‐09
24‐Jul‐13
12‐Dec‐08
26‐Apr‐13
29‐Apr‐13
15‐May‐13
31‐May‐13
23‐Dec‐08
1‐Sep‐11
9‐Jan‐09
14‐Dec‐11
11‐Jan‐12
12‐Dec‐08
28‐Nov‐12
28‐Dec‐12
15‐May‐09
18‐Dec‐09
28‐Mar‐12
20‐Feb‐09
14‐Nov‐08
17‐Jun‐09
26‐Aug‐09
30‐Jan‐09
15‐Sep‐11
13‐Feb‐09
8‐Mar‐13
11‐Mar‐13
9‐Apr‐13
13‐Feb‐09
9‐Jan‐13
30‐Jan‐09
31‐Oct‐12
11‐Jan‐13
6‐Feb‐13
5‐Dec‐08
11‐Aug‐11
28‐Sep‐11
16‐Jan‐09
30‐Dec‐09
3‐Feb‐10
30‐Jan‐09
25‐Sep‐13
5‐Dec‐08
15‐Jul‐09
2‐Sep‐09
12‐Dec‐08
31‐Mar‐09
8‐May‐09
16‐Jan‐09
11‐Mar‐13
26‐Mar‐13
27‐Mar‐13
9‐Apr‐13
11‐Jun‐13
17‐Apr‐09
19‐Jul‐13
22‐Jul‐13
12‐Sep‐13
8‐May‐09
15‐Jul‐11
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$5,500,000.00
$0.00
$0.00
Currently not collectible
ONE UNITED BANK
ONEFINANCIAL CORPORATION
OREGON BANCORP, INC.
OREGON BANCORP, INC.
OREGON BANCORP, INC.
OREGON BANCORP, INC.
OSB FINANCIAL SERVICES, INC.
OSB FINANCIAL SERVICES, INC.
PACIFIC CAPITAL BANCORP
PACIFIC CAPITAL BANCORP
PACIFIC CAPITAL BANCORP
PACIFIC CITY FINANCIAL CORPORATION
PACIFIC CITY FINANCIAL CORPORATION
PACIFIC CITY FINANCIAL CORPORATION
PACIFIC COAST BANKERS' BANCSHARES
PACIFIC COAST BANKERS' BANCSHARES
PACIFIC COAST NATIONAL BANCORP
PACIFIC COAST NATIONAL BANCORP
PACIFIC COMMERCE BANK
PACIFIC INTERNATIONAL BANCORP
PACIFIC INTERNATIONAL BANCORP
PARK BANCORPORATION, INC.
PARK BANCORPORATION, INC.
PARK BANCORPORATION, INC.
PARK BANCORPORATION, INC.
PARK BANCORPORATION, INC.
BOSTON
LITTLE ROCK
SALEM
SALEM
SALEM
SALEM
ORANGE
ORANGE
SANTA BARBARA
SANTA BARBARA
SANTA BARBARA
LOS ANGELES
LOS ANGELES
LOS ANGELES
SAN FRANCISCO
SAN FRANCISCO
SAN CLEMENTE
SAN CLEMENTE
LOS ANGELES
SEATTLE
SEATTLE
MADISON
MADISON
MADISON
MADISON
MADISON
MA
AR
OR
OR
OR
OR
TX
TX
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
WA
WA
WI
WI
WI
WI
WI
19‐Dec‐08
5‐Jun‐09
24‐Apr‐09
18‐Oct‐13
21‐Oct‐13
6‐Jan‐14
1‐May‐09
5‐Oct‐11
21‐Nov‐08
23‐Feb‐11
30‐Nov‐12
19‐Dec‐08
19‐Nov‐13
6‐Jan‐14
23‐Dec‐08
28‐Jul‐11
16‐Jan‐09
11‐Feb‐10
23‐Dec‐08
12‐Dec‐08
15‐Feb‐13
6‐Mar‐09
7‐Aug‐12
9‐Aug‐12
10‐Aug‐12
11‐Sep‐12
Preferred Stock
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$12,063,000.00
$17,300,000.00
$3,216,000.00
$12,063,000.00
$17,300,000.00
$0.00
$93,823.33
$3,782,990.59
$4,116,801.92
Full investment outstanding; warrants not outstanding
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
$6,880,000.00
$0.00
$0.00
$2,276,190.00
$2,613,714.23
$10,000,000.00
$2,330,000.00
$10,000,000.00
$0.00
$1,311,027.78
$3,199,347.39
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$10,000,000.00
$0.00
$12,041,266.67
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$52,372,000.00
$0.00
$0.00
$346,794,005.83
$70,087,060.35
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
$2,000,000.00
2,000,000
$1.00
Shares
$2,281,458.05
6,880
$331.60
$100,000.00
100,000
$117,000.00
117,000
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$267,274,000.00
(Fee) 4
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Capital Repayment / Disposition / Auction3,5
Amount
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
NORTHERN STATE BANK
NORTHERN STATE BANK
NORTHERN STATES FINANCIAL CORPORATION
NORTHERN TRUST CORPORATION
NORTHERN TRUST CORPORATION
NORTHERN TRUST CORPORATION
NORTHWAY FINANCIAL, INC.
NORTHWAY FINANCIAL, INC.
NORTHWEST BANCORPORATION, INC.
NORTHWEST BANCORPORATION, INC.
NORTHWEST BANCORPORATION, INC.
NORTHWEST BANCORPORATION, INC.
NORTHWEST COMMERCIAL BANK
NORTHWEST COMMERCIAL BANK
OAK RIDGE FINANCIAL SERVICES, INC.
OAK RIDGE FINANCIAL SERVICES, INC.
OAK RIDGE FINANCIAL SERVICES, INC.
OAK RIDGE FINANCIAL SERVICES, INC.
OAK VALLEY BANCORP
OAK VALLEY BANCORP
OAK VALLEY BANCORP
OCEANFIRST FINANCIAL CORP.
OCEANFIRST FINANCIAL CORP.
OCEANFIRST FINANCIAL CORP.
OJAI COMMUNITY BANK
OJAI COMMUNITY BANK
OLD LINE BANCSHARES, INC.
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
Preferred Stock w/ Warrants
$2,000,000.00
Total Cash Back2
Outstanding
Investment
$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
($4,598,541.95)
$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
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($53,878.50)
($967,375.50)
($513,507.46)
Preferred Stock w/ Exercised Warrants
$14,964,000.00
$0.00
$17,904,842.66
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$10,200,000.00
$0.00
$12,294,583.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$4,227,000.00
$0.00
$5,159,181.33
$14,964,000.00
14,964
$1,000.00
$10,200,000.00
10,200
$1,000.00
$4,227,000.00
4,227
$1,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$1,341,000.00
$1,230,000.00
$0.00
$2,987,782.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$17,211,000.00
$1,576,000,000.00
$17,211,000.00
$0.00
$418,322.50
$1,709,623,333.35
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$11,930,624.67
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,500,000.00
$0.00
$11,891,847.50
Sold, in full; warrants not outstanding
$2,571,000.00
2,571
$1,000.00
$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
$64,220.00
$272,935.00
($108,371.55)
Preferred Stock w/ Exercised Warrants
$1,992,000.00
$0.00
$2,380,393.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$7,700,000.00
$0.00
$8,592,336.00
Sold, in full; warrants not outstanding
($604,450.00)
($70,955.50)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$13,500,000.00
$38,263,000.00
$0.00
$0.00
$15,871,250.00
$40,521,918.61
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,080,000.00
$0.00
$2,654,758.89
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$7,000,000.00
$0.00
$7,438,888.89
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$100,000,000.00
$73,000,000.00
$0.00
$0.00
$102,713,888.89
$31,423,238.49
$560,000.00
350,346
$430,797.00
190,427
$104,000.00
104
Redeemed, in full; warrants not outstanding
$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
$225,000.00
141,892
$1,200,000.00
813,008
$106,891.00
815,339
$159,886.25
141
$9,459.13
$128,988.07
11
150
$305,000.00
305,000
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$24,684,870.00
$452,424.00
$668,079.44
70,028
1,200
1,772
$352.50
$377.00
$377.00
1,239
1,577
$1,142.90
$1,142.90
($45,343,130.00)
($747,576.00)
($1,103,920.56)
($258,053.73)
Preferred Stock w/ Exercised Warrants
$2,816,000.00
$0.00
$3,403,603.15
Sold, in full; warrants not outstanding
$1,239,000.00
$1,577,000.00
$177,053.10
$225,353.30
($25,000.00)
($5,500,000.00)
$100,000.00
$3,116,000.00
100
3,116
$1,000.00
$1,000.00
($25,000.00)
Subordinated Debentures w/ Exercised Warrants
$6,100,000.00
$0.00
$7,662,314.53
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$180,634,000.00
$0.00
$168,483,804.20
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$16,200,000.00
$0.00
$21,003,597.96
$6,100,000.00
6,100,000
$1.00
$14.75
$165,983,272.00
1
3,608,332
$29.50
$46.00
16,200
$1,215.20
11,600
$1,000.00
($10.28)
($14,650,702.97)
$393,120.78
15,120
$1,156,636.50
810
$580,000.00
580
$88,059.01
$482,779.69
$325,200.40
114
625
421
Sold, in full; warrants not outstanding
$16,200,000.00
$3,485,754.00
($196,857.54)
Preferred Stock w/ Exercised Warrants
$11,600,000.00
$0.00
$13,821,963.89
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,120,000.00
$0.00
$18,087.94
Exited bankruptcy/receivership
$11,600,000.00
($4,120,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$4,060,000.00
$6,500,000.00
$4,060,000.00
$0.00
$387,222.50
$7,937,744.97
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$23,200,000.00
$0.00
$22,020,064.10
Sold, in full; warrants not outstanding
$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
($619,346.00)
($1,495,494.00)
($4,143,360.00)
($169,418.00)
41
FootNote
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
15,14
8
80
8,17
75,97
8,18
Institution Name
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.
PATTERSON BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PEAPACK‐GLADSTONE FINANCIAL CORPORATION
PEAPACK‐GLADSTONE FINANCIAL CORPORATION
PEAPACK‐GLADSTONE FINANCIAL CORPORATION
PEAPACK‐GLADSTONE FINANCIAL CORPORATION
PEAPACK‐GLADSTONE FINANCIAL CORPORATION
PENN LIBERTY FINANCIAL CORP.
PENN LIBERTY FINANCIAL CORP.
PEOPLES BANCORP (OH)
PEOPLES BANCORP (OH)
PEOPLES BANCORP (OH)
PEOPLES BANCORP (OH)
PEOPLES BANCORP (WA)
PEOPLES BANCORP (WA)
PEOPLES BANCORP OF NORTH CAROLINA, INC.
PEOPLES BANCORP OF NORTH CAROLINA, INC.
PEOPLES BANCORP OF NORTH CAROLINA, INC.
PEOPLES BANCORPORATION, INC.
PEOPLES BANCORPORATION, INC.
PEOPLES BANCSHARES OF TN, INC.
PEOPLES BANCSHARES OF TN, INC.
PEOPLES BANCSHARES OF TN, INC.
PEOPLESSOUTH BANCSHARES, INC.
PEOPLESSOUTH BANCSHARES, INC.
PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK
PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK
PGB HOLDINGS, INC.
PGB HOLDINGS, INC.
PIERCE COUNTY BANCORP
PIERCE COUNTY BANCORP
PINNACLE BANK HOLDING COMPANY, INC.
PINNACLE FINANCIAL PARTNERS, INC.
PINNACLE FINANCIAL PARTNERS, INC.
PINNACLE FINANCIAL PARTNERS, INC.
PINNACLE FINANCIAL PARTNERS, INC.
PLAINS CAPITAL CORPORATION
PLAINS CAPITAL CORPORATION
PLATO HOLDINGS INC.
PLATO HOLDINGS INC.
PLATO HOLDINGS INC.
PLATO HOLDINGS INC.
PLUMAS BANCORP
PLUMAS BANCORP
PLUMAS BANCORP
PLUMAS BANCORP
POPULAR, INC.
PORTER BANCORP, INC.(PBI) LOUISVILLE, KY
PRAIRIE STAR BANCSHARES, INC.
PREMIER BANCORP, INC.
PREMIER BANCORP, INC.
PREMIER BANK HOLDING COMPANY
PREMIER BANK HOLDING COMPANY
PREMIER FINANCIAL BANCORP, INC.
PREMIER FINANCIAL BANCORP, INC.
PREMIER FINANCIAL BANCORP, INC.
PREMIER FINANCIAL BANCORP, INC.
PREMIER FINANCIAL BANCORP, INC.
PREMIER FINANCIAL CORP.
PREMIER FINANCIAL CORP.
PREMIER FINANCIAL CORP.
PREMIER SERVICE BANK
PREMIER SERVICE BANK
PREMIERWEST BANCORP
PREMIERWEST BANCORP
PRESIDIO BANK
PRESIDIO BANK
PRESIDIO BANK
PRESIDIO BANK
PRINCETON NATIONAL BANCORP, INC.
PRINCETON NATIONAL BANCORP, INC.
PRIVATE BANCORPORATION, INC.
PRIVATE BANCORPORATION, INC.
City
NEWARK
NEWARK
NEWARK
SEWELL
SEWELL
SEWELL
SEWELL
SEWELL
MONROEVILLE
MONROEVILLE
WESTWOOD
WESTWOOD
DUNDALK
OSWEGO
OSWEGO
OSWEGO
CAIRO
CAIRO
CAIRO
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
CHICAGO
CHICAGO
TACOMA
TACOMA
ORANGE CITY
NASHVILLE
NASHVILLE
NASHVILLE
NASHVILLE
DALLAS
DALLAS
SAINT PAUL
SAINT PAUL
SAINT PAUL
SAINT PAUL
QUINCY
QUINCY
QUINCY
QUINCY
SAN JUAN
LOUISVILLE
OLATHE
WILMETTE
WILMETTE
TALLAHASSEE
TALLAHASSEE
HUNTINGTON
HUNTINGTON
HUNTINGTON
HUNTINGTON
HUNTINGTON
DUBUQUE
DUBUQUE
DUBUQUE
RIVERSIDE
RIVERSIDE
MEDFORD
MEDFORD
SAN FRANCISCO
SAN FRANCISCO
SAN FRANCISCO
SAN FRANCISCO
PRINCETON
PRINCETON
MINNEAPOLIS
MINNEAPOLIS
State
OH
OH
OH
NJ
NJ
NJ
NJ
NJ
PA
PA
NJ
NJ
MD
NY
NY
NY
NE
NE
NE
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
IA
IA
IA
CA
CA
OR
OR
CA
CA
CA
CA
IL
IL
MN
MN
Date
23‐Dec‐08
25‐Apr‐12
2‐May‐12
30‐Jan‐09
28‐Nov‐12
29‐Nov‐12
11‐Jan‐13
12‐Jun‐13
23‐Dec‐08
3‐Jan‐12
6‐Feb‐09
19‐Oct‐11
19‐Dec‐08
11‐Sep‐09
1‐Sep‐11
1‐Feb‐12
27‐Mar‐09
24‐Jun‐13
26‐Jul‐13
19‐Dec‐08
17‐Apr‐09
7‐Mar‐12
22‐Aug‐12
5‐Dec‐12
8‐May‐13
5‐Jun‐13
9‐Jan‐09
6‐Jan‐10
2‐Mar‐11
11‐Jan‐12
4‐Apr‐12
17‐Apr‐09
1‐Sep‐11
30‐Jan‐09
2‐Feb‐11
28‐Dec‐11
15‐Feb‐12
13‐Feb‐09
3‐Aug‐11
23‐Dec‐08
3‐Jul‐12
8‐Aug‐12
24‐Apr‐09
24‐Apr‐12
20‐Mar‐09
31‐Oct‐12
11‐Jan‐13
6‐Mar‐09
18‐Sep‐13
11‐Sep‐09
25‐Aug‐11
6‐Feb‐09
13‐Aug‐10
23‐Jan‐09
5‐Nov‐10
6‐Mar‐09
12‐Dec‐08
28‐Dec‐11
20‐Jun‐12
18‐Jul‐12
19‐Dec‐08
27‐Sep‐11
17‐Jul‐09
26‐Apr‐13
29‐Apr‐13
31‐May‐13
30‐Jan‐09
29‐Apr‐13
22‐May‐13
31‐May‐13
5‐Dec‐08
21‐Nov‐08
3‐Apr‐09
8‐May‐09
13‐Aug‐10
20‐Mar‐09
14‐Aug‐12
2‐Oct‐09
8‐Aug‐12
9‐Aug‐12
10‐Aug‐12
11‐Sep‐12
22‐May‐09
22‐Jul‐13
12‐Sep‐13
20‐Feb‐09
31‐Jan‐14
13‐Feb‐09
9‐Apr‐13
20‐Nov‐09
10‐Dec‐12
11‐Dec‐12
11‐Jan‐13
23‐Jan‐09
2‐Nov‐12
27‐Feb‐09
29‐Dec‐09
Original Investment Type1
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Original Investment
Amount
$100,000,000.00
$16,288,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
$0.00
$0.00
$119,536,844.44
$16,365,554.76
(Fee) 4
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
Redeemed, in full; warrants not outstanding
$100,000,000.00
100,000
$1,000.00
$394,072.28
$11,318,791.40
548
15,740
$719.10
$719.10
$31,762,000.00
31,762
$1,000.00
$3,756,000.00
3,756
$1,000.00
$6,771,000.00
6,771
$1,000.00
$3,727,000.00
3,727
$1,167.00
$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
$2,842,400.00
227,376
$1,650,288.00
438,906
$188,000.00
188
$537,633.00
154,354
$226,565.00
186
$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
Sold, in full; warrants not outstanding
($153,927.72)
($4,421,208.60)
($117,128.64)
Preferred Stock w/ Warrants
$31,762,000.00
$0.00
$36,570,413.89
Redeemed, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$3,756,000.00
$0.00
$4,497,312.67
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$6,000,000.00
$6,771,000.00
$6,000,000.00
$0.00
$377,866.67
$7,976,328.84
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,727,000.00
$0.00
$4,628,862.77
Sold, in full; warrants not outstanding
$622,446.27
($25,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$26,038,000.00
$3,690,000.00
$28,685,000.00
$9,960,000.00
$39,000,000.00
$18,000,000.00
$25,054,000.00
$26,038,000.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$2,704,135.78
$4,692,022.77
$32,075,739.67
$11,745,689.33
$44,926,557.48
$21,325,250.00
$27,877,966.16
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$23,384,401.44
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$12,660,000.00
$3,900,000.00
$0.00
$0.00
$15,362,909.75
$3,809,874.42
($350,766.02)
($1,669,598.56)
Redeemed, in full; warrants not outstanding
$633,000.00
633
$122,225.00
195
Sold, in full; warrants not outstanding
($955,500.00)
($25,000.00)
Preferred Stock w/ Exercised Warrants
$12,325,000.00
$0.00
$15,985,994.66
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,500,000.00
$0.00
$1,730,162.66
Redeemed, in full; warrants not outstanding
Preferred Stock
$3,000,000.00
$0.00
$3,227,916.67
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,800,000.00
$0.00
$207,947.78
Currently not collectible
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$4,389,000.00
$95,000,000.00
$4,389,000.00
$0.00
$284,999.00
$111,918,194.45
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$12,325,000.00
12,325
$1,000.00
$616,000.00
616
$1,500,000.00
1,500
$1,000.00
$71,000.00
71
$3,000,000.00
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
($6,800,000.00)
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants
$87,631,000.00
$2,500,000.00
$0.00
$0.00
$105,252,939.77
$3,103,618.40
$755,000.00
267,455
$4,382,000.00
4,382
$90,582.47
107,000
$234,500.00
237,712
$478,590.75
317,000
$200,000.00
200
$83,086.12
$195,295.20
97
228
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($25,000.00)
Preferred Stock w/ Warrants
$11,949,000.00
$0.00
$13,764,140.41
Sold, in full; warrants not outstanding
$11,949,000.00
($130,376.73)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures
$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
$231,296,527.78
$4,783,333.33
$132,253.00
$7,444,215.12
Full investment outstanding; warrants outstanding
Full investment outstanding; warrants outstanding
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$9,500,000.00
$0.00
$467,412.50
Currently not collectible
Preferred Stock w/ Warrants
$22,252,000.00
$0.00
$23,052,240.29
Sold, in full; warrants outstanding
$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
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
($9,500,000.00)
($184,381.11)
($941,897.49)
($1,076,001.84)
($200,497.20)
Subordinated Debentures w/ Exercised Warrants
$6,349,000.00
$0.00
$8,778,669.11
Sold, in full; warrants not outstanding
$6,349,000.00
$1,507,379.58
($78,563.80)
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$4,300,522.22
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$41,400,000.00
$0.00
$42,446,500.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,800,000.00
$0.00
$11,077,694.89
Sold, in full; warrants not outstanding
$262,635.10
$8,887,232.90
($47,364.90)
($1,602,767.10)
($91,498.68)
Preferred Stock w/ Warrants
$25,083,000.00
$0.00
$2,271,405.00
Currently not collectible
Preferred Stock w/ Exercised Warrants
$4,960,000.00
$3,262,000.00
$8,222,000.00
$498,859.56
Full investment outstanding; warrants outstanding
($25,083,000.00)
42
FootNote
12
8,17,44
88
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
8,14
44,8,14
44,8,14
11,8,14,36
11,36
44,8,14
Institution Name
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.
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.
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
SALISBURY BANCORP, INC.
SALISBURY BANCORP, INC.
SALISBURY BANCORP, INC.
SANDY SPRING BANCORP, INC.
SANDY SPRING BANCORP, INC.
SANDY SPRING BANCORP, INC.
SANDY SPRING BANCORP, INC.
SANTA CLARA VALLEY BANK, N.A
SANTA CLARA VALLEY BANK, N.A
SANTA CLARA VALLEY BANK, N.A
SANTA LUCIA BANCORP
SANTA LUCIA BANCORP
SBT BANCORP, INC.
SBT BANCORP, INC.
SCBT FINANCIAL CORPORATION
SCBT FINANCIAL CORPORATION
SCBT FINANCIAL CORPORATION
SEACOAST BANKING CORPORATION OF FLORIDA
SEACOAST BANKING CORPORATION OF FLORIDA
SEACOAST BANKING CORPORATION OF FLORIDA
SEACOAST COMMERCE BANK
SEACOAST COMMERCE BANK
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BUSINESS BANCORP
SECURITY BUSINESS BANCORP
SECURITY CALIFORNIA BANCORP
SECURITY CALIFORNIA BANCORP
SECURITY CAPITAL CORPORATION
SECURITY CAPITAL CORPORATION
SECURITY FEDERAL CORPORATION
SECURITY FEDERAL CORPORATION
SECURITY FEDERAL CORPORATION
SECURITY STATE BANCSHARES, INC.
City
CHICAGO
CHICAGO
CHICAGO
ROCKY MOUNT
ROCKY MOUNT
BALTIMORE
BALTIMORE
BALTIMORE
BALTIMORE
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
NARBERTH
INDIANA
INDIANA
INDIANA
WESTMINSTER
LAKEVILLE
LAKEVILLE
LAKEVILLE
OLNEY
OLNEY
OLNEY
OLNEY
SANTA PAULA
SANTA PAULA
SANTA PAULA
ATASCADERO
ATASCADERO
SIMSBURY
SIMSBURY
COLUMBIA
COLUMBIA
COLUMBIA
STUART
STUART
STUART
CHULA VISTA
CHULA VISTA
WAYNESVILLE
WAYNESVILLE
WAYNESVILLE
WAYNESVILLE
WAYNESVILLE
SAN DIEGO
SAN DIEGO
RIVERSIDE
RIVERSIDE
BATESVILLE
BATESVILLE
AIKEN
AIKEN
AIKEN
CHARLESTON
State
IL
IL
IL
NC
NC
MD
MD
MD
MD
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
PA
PA
PA
PA
CA
CT
CT
CT
MD
MD
MD
MD
CA
CA
CA
CA
CA
CT
CT
SC
SC
SC
FL
FL
FL
CA
CA
MO
MO
MO
MO
MO
CA
CA
CA
CA
MS
MS
SC
SC
SC
MO
Date
30‐Jan‐09
24‐Oct‐12
14‐Nov‐12
2‐Oct‐09
15‐Sep‐11
14‐Nov‐08
21‐Aug‐12
20‐Mar‐13
25‐Mar‐13
13‐Mar‐09
27‐Feb‐09
29‐Sep‐10
16‐Jan‐09
11‐Aug‐11
16‐Jan‐09
3‐Jul‐12
8‐Aug‐12
13‐Feb‐09
15‐Sep‐11
16‐Nov‐11
30‐Oct‐09
30‐Sep‐13
19‐Jun‐09
25‐Sep‐13
29‐Oct‐13
16‐Jan‐09
21‐Jul‐11
9‐Jan‐09
18‐Aug‐11
6‐Mar‐09
27‐Feb‐09
21‐Jul‐11
23‐Oct‐09
26‐Jan‐12
13‐Feb‐09
8‐Nov‐12
9‐Nov‐12
11‐Jan‐13
26‐Mar‐13
14‐Nov‐08
4‐Apr‐12
2‐May‐12
13‐Feb‐09
25‐Sep‐13
29‐Oct‐13
27‐Feb‐09
20‐Feb‐13
26‐Mar‐13
9‐Jan‐09
12‐Jun‐09
6‐Jun‐12
15‐May‐13
15‐May‐09
30‐Jan‐09
5‐Jul‐13
20‐Feb‐09
16‐Jan‐09
7‐Dec‐11
11‐Jun‐13
23‐Dec‐08
13‐Mar‐09
25‐Aug‐11
2‐Nov‐11
5‐Dec‐08
21‐Jul‐10
15‐Dec‐10
23‐Feb‐11
13‐Feb‐09
8‐Mar‐13
9‐Apr‐13
19‐Dec‐08
21‐Oct‐11
27‐Mar‐09
11‐Aug‐11
16‐Jan‐09
20‐May‐09
24‐Jun‐09
19‐Dec‐08
3‐Apr‐12
30‐May‐12
23‐Dec‐08
1‐Sep‐11
13‐Feb‐09
10‐Dec‐12
11‐Dec‐12
11‐Jan‐13
26‐Mar‐13
9‐Jan‐09
14‐Jul‐11
9‐Jan‐09
15‐Sep‐11
26‐Jun‐09
29‐Sep‐10
19‐Dec‐08
29‐Sep‐10
31‐Jul‐13
20‐Feb‐09
Original Investment Type1
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Original Investment
Amount
$243,815,000.00
$4,000,000.00
$151,500,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
$0.00
$0.00
$0.00
$290,552,132.92
$4,596,311.80
$199,100,113.41
(Fee) 4
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
Redeemed, in full; warrants not outstanding
$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
$1,225,000.00
645,013
$175,000.00
175
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$71.62
$19,047,005.12
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$9,266,000.00
$9,270,000.00
$9,266,000.00
$0.00
$543,091.00
$10,536,802.00
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,500,000.00
$0.00
$5,355,156.75
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$32,538,000.00
$0.00
$35,195,847.13
$9,270,000.00
9,270
$1,000.00
$464,000.00
464
$4,500,000.00
4,500
$1,000.00
$225,000.00
225
32,538
$888.00
$1,100,000.00
778,421
$38,237,000.00
38,237
$1,000.00
$1,100,000.00
521,888
$6,229,000.00
6,229
$1,000.00
$311,000.00
311
$8,073,279.00
8,900
$907.10
$3,800,000.00
3,800
$2,995,000.00
Sold, in full; warrants not outstanding
$28,893,744.00
Preferred Stock w/ Warrants
$38,237,000.00
$0.00
$44,286,567.33
($433,406.16)
($3,644,256.00)
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,229,000.00
$0.00
$7,190,593.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$8,900,000.00
$0.00
$9,139,863.61
Sold, in full; warrants not outstanding
($826,721.00)
$253,383.25
268
$1,000.00
$190,000.00
190
2,995
$1,000.00
$150,000.00
150
($80,732.79)
Preferred Stock w/ Exercised Warrants
$3,800,000.00
$0.00
$4,510,626.39
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,995,000.00
$0.00
$3,570,810.92
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$9,982,000.00
$2,655,000.00
$9,982,000.00
$0.00
$784,281.50
$3,135,328.00
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,700,000.00
$0.00
$14,594,338.99
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,500,000.00
$0.00
$1,718,159.50
Sold, in full; warrants not outstanding
$2,655,000.00
2,655
$1,000.00
$133,000.00
133
$12,700,000.00
12,700
$1,000.00
$381,000.00
381
$246,975.00
$1,140,525.00
267
1,233
$925.00
$925.00
$50,000.00
75
$3,500,000,000.00
3,500,000
$1,000.00
$45,000,000.00
48,253,677
$40,000,000.00
40,000
$1,004.90
$2,199,799.80
2,000
10,900
$822.60
$476,206.83
545
$10,500,000.00
$4,500,000.00
10,500,000
4,500,000
$1.00
$1.00
$750,000.00
750,000
$108,676,000.00
108,676
$1,000.00
$527,361.00
517,012
$8,816,000.00
8,816
$1,000.00
$205,000.00
57,671
$41,547,000.00
$41,547,000.00
41,547
41,547
$1,000.00
$1,000.00
$4,450,000.00
651,547
$2,465,029.00
2,900
$850.00
($434,971.00)
$98,251.45
145
($1,200,000.00)
($20,025.00)
($92,475.00)
($13,875.00)
($11,125.00)
Preferred Stock w/ Warrants
$3,500,000,000.00
$0.00
$4,138,055,555.55
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$40,000,000.00
$0.00
$45,820,950.80
Sold, in full; warrants not outstanding
$196,000.00
($401,960.00)
Preferred Stock w/ Exercised Warrants
$10,900,000.00
$0.00
$9,630,106.93
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants
$5,983,000.00
$15,000,000.00
$5,983,000.00
$0.00
$195,637.00
$19,928,275.00
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$1,100,000.00
$25,000,000.00
$1,100,000.00
$0.00
$369,160.00
$738,021.00
Full investment outstanding; warrants outstanding
Currently not collectible
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$30,407,000.00
$108,676,000.00
$30,407,000.00
$0.00
$358,971.00
$124,916,099.34
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$8,966,340.00
($1,933,660.00)
($89,663.40)
($25,000,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$1,549,000.00
$8,816,000.00
$83,094,000.00
$2,900,000.00
$1,549,000.00
$0.00
$0.00
$0.00
$0.00
$10,100,960.44
$95,137,868.33
$2,697,208.51
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($25,000.00)
Preferred Stock w/ Warrants
$4,000,000.00
$0.00
$3,131,111.11
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$4,717,144.78
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$64,779,000.00
$0.00
$67,294,638.84
$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
Preferred Stock w/ Warrants
$50,000,000.00
$0.00
$49,045,470.38
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,800,000.00
$0.00
$2,153,780.00
Redeemed, in full; warrants not outstanding
$41,020,000.00
Preferred Stock w/ Exercised Warrants
$2,152,000.00
$0.00
$1,983,756.24
$200,000.00
200
$1,400,000.00
303,083
$55,000.00
589,623
Redeemed, in full; warrants not outstanding
($615,300.00)
2,000
$20,510.00
$1,800,000.00
1,800
$1,000.00
$174,537.72
$1,315,959.00
252
1,900
$692.60
$692.60
$5,803,000.00
5,803
$6,815,000.00
6,815
$17,388,000.00
$18,000,000.00
($8,980,000.00)
$90,000.00
90
$69,186.80
108
$1,000.00
$290,000.00
290
$1,000.00
$341,000.00
341
17,388
$1,000.00
$522,000.00
522
18,000
$1,000.00
$50,000.00
137,966
Sold, in full; warrants not outstanding
($77,462.28)
($584,041.00)
($14,904.97)
($10,095.03)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$5,803,000.00
$6,815,000.00
$17,388,000.00
$0.00
$0.00
$0.00
$6,888,017.86
$8,152,698.33
$19,063,111.00
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$18,000,000.00
$0.00
$19,650,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,500,000.00
$0.00
$14,888,679.86
Redeemed, in full; warrants not outstanding
43
FootNote
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
11,8,14
8,14
15
44
Institution Name
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 CORPORATION
STEWARDSHIP FINANCIAL CORPORATION
STEWARDSHIP FINANCIAL CORPORATION
STOCKMENS FINANCIAL CORPORATION
STOCKMENS FINANCIAL CORPORATION
STOCKMENS FINANCIAL CORPORATION
STONEBRIDGE FINANCIAL CORP.
STONEBRIDGE FINANCIAL CORP.
STONEBRIDGE FINANCIAL CORP.
STONEBRIDGE FINANCIAL CORP.
SUBURBAN ILLINOIS BANCORP, INC.
SUMMIT STATE BANK
SUMMIT STATE BANK
SUMMIT STATE BANK
City
CHARLESTON
JAMESTOWN
JAMESTOWN
JAMESTOWN
ANNAPOLIS
ANNAPOLIS
ANNAPOLIS
EASTON
EASTON
EASTON
DALLAS
DALLAS
NEW YORK
NEW YORK
NEW YORK
BERNARDSVILLE
BERNARDSVILLE
BERNARDSVILLE
SONOMA
SONOMA
MOREHEAD CITY
MOREHEAD CITY
MOREHEAD CITY
GREENVILLE
GREENVILLE
FAYETTEVILLE
FAYETTEVILLE
FAYETTEVILLE
FAYETTEVILLE
ARKADELPHIA
ARKADELPHIA
WINSTON‐SALEM
WINSTON‐SALEM
GREENVILLE
GREENVILLE
GREENVILLE
CLEVELAND
CLEVELAND
CARMI
CARMI
POPLAR BLUFF
POPLAR BLUFF
SYLACAUGA
STILLWATER
STILLWATER
STILLWATER
DALLAS
DALLAS
BRISTOW
BRISTOW
BRISTOW
ST. LOUIS
HICKORY HILLS
HICKORY HILLS
JERICHO
JERICHO
BARTLEY
BARTLEY
FARGO
FARGO
FARGO
GREENWOOD
GREENWOOD
BOSTON
BOSTON
BOSTON
ST. CLOUD
ST. CLOUD
DENVER
DENVER
CHARLOTTESVILLE
CHARLOTTESVILLE
CHARLOTTESVILLE
CHARLOTTESVILLE
NEW YORK
NEW YORK
NEW YORK
HOUSTON
HOUSTON
HOUSTON
SPOKANE
SPOKANE
SPOKANE
MIDLAND PARK
MIDLAND PARK
MIDLAND PARK
RAPID CITY
RAPID CITY
RAPID CITY
WEST CHESTER
WEST CHESTER
WEST CHESTER
WEST CHESTER
ELMHURST
SANTA ROSA
SANTA ROSA
SANTA ROSA
State
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
NJ
NJ
SD
SD
SD
PA
PA
PA
PA
IL
CA
CA
CA
Date
22‐Sep‐11
1‐May‐09
24‐Jun‐13
26‐Jul‐13
21‐Nov‐08
25‐Sep‐13
29‐Oct‐13
9‐Jan‐09
15‐Apr‐09
16‐Nov‐11
26‐Jun‐09
15‐Dec‐10
12‐Dec‐08
31‐Mar‐09
16‐Mar‐10
16‐Jan‐09
20‐May‐09
24‐Jun‐09
20‐Feb‐09
20‐Aug‐10
9‐Jan‐09
13‐Nov‐12
11‐Jan‐13
5‐Dec‐08
30‐Sep‐10
17‐Jul‐09
8‐Mar‐13
11‐Mar‐13
9‐Apr‐13
16‐Jan‐09
6‐Aug‐10
5‐Dec‐08
1‐Oct‐12
27‐Feb‐09
3‐Jul‐12
25‐Jul‐12
15‐May‐09
8‐Sep‐11
23‐Jan‐09
25‐Aug‐11
5‐Dec‐08
21‐Jul‐11
12‐Jun‐09
5‐Dec‐08
8‐Aug‐12
29‐May‐13
13‐Mar‐09
22‐Sep‐11
27‐Mar‐09
21‐Oct‐13
6‐Jan‐14
13‐Mar‐09
24‐Apr‐09
22‐Feb‐13
5‐Dec‐08
14‐Dec‐11
4‐Sep‐09
22‐Sep‐11
16‐Jan‐09
12‐Aug‐09
29‐Jun‐11
13‐Feb‐09
29‐Sep‐10
28‐Oct‐08
17‐Jun‐09
8‐Jul‐09
26‐Jun‐09
18‐Jan‐12
25‐Sep‐09
1‐Sep‐11
19‐Dec‐08
13‐Apr‐11
28‐Dec‐11
18‐Dec‐13
23‐Dec‐08
27‐Apr‐11
18‐May‐11
12‐Dec‐08
5‐May‐09
15‐Jun‐10
5‐Dec‐08
20‐Aug‐12
19‐Sep‐12
30‐Jan‐09
1‐Sep‐11
26‐Oct‐11
6‐Feb‐09
12‐Jan‐11
16‐Mar‐11
23‐Jan‐09
26‐Mar‐13
27‐Mar‐13
9‐Apr‐13
19‐Jun‐09
19‐Dec‐08
4‐Aug‐11
14‐Sep‐11
Original Investment Type1
Original Investment
Amount
Total Cash Back2
Outstanding
Investment
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
(Fee) 4
$12,500,000.00
Subordinated Debentures w/ Exercised Warrants
$10,750,000.00
$0.00
$14,543,635.13
Shares
Avg. Price
12,500
$1,000.00
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
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
$625,000.00
625
$720,368.55
538,000
Sold, in full; warrants not outstanding
$10,750,000.00
$1,784,607.50
($125,346.08)
Preferred Stock w/ Warrants
$23,393,000.00
$0.00
$26,915,463.85
Sold, in full; warrants outstanding
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$25,358,333.33
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$1,700,000.00
$0.00
$1,994,587.59
Redeemed, in full; warrants not outstanding
$23,367,267.70
($25,732.30)
($233,672.68)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$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, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Currently not collectible
($8,653,000.00)
Preferred Stock w/ Exercised Warrants
$3,070,000.00
$0.00
$3,575,224.44
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$347,000,000.00
$0.00
$146,965,329.86
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,900,000.00
$0.00
$13,109,014.25
Sold, in full; warrants not outstanding
$2,832,412.70
3,070
$922.60
($237,587.30)
$124,412.34
154
$130,179,218.75
130,179
$1,000.00
($216,820,781.25)
$400,000.00
10,106,796
$1,814,620.00
$9,889,679.00
2,000
10,900
$907.30
$907.30
($185,380.00)
($1,010,321.00)
$588,264.19
645
11,000
$1,000.00
42,750
$1,000.00
17,299
$904.00
$1,100,000.00
399,970
$4,862,000.00
4,862
$1,000.00
$243,000.00
243
$5,000,000.00
5,000
$1,000.00
$250,000.00
250
$9,550,000.00
9,550
$1,000.00
$70,000,000.00
70,000
$1,000.00
$2,287,197.00
703,753
$18,215,000.00
18,215
$1,000.00
$9,000,000.00
30,000
$300.00
$60,000,000.00
12,903,226
$1,432.56
$36,842,000.00
36,842
$1,000.00
($25,000.00)
($117,042.99)
Preferred Stock
$11,000,000.00
$0.00
$11,855,555.56
Redeemed, in full; warrants not outstanding
$11,000,000.00
Preferred Stock w/ Warrants
$42,750,000.00
$0.00
$51,088,046.14
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$17,299,000.00
$0.00
$19,401,361.89
Sold, in full; warrants not outstanding
$42,750,000.00
$15,638,296.00
Preferred Stock w/ Exercised Warrants
$4,862,000.00
$0.00
$5,718,111.14
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,000,000.00
$0.00
$5,955,472.22
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$9,550,000.00
$0.00
$10,804,763.89
$2,760,000.00
$70,000,000.00
$2,760,000.00
$0.00
$364,796.34
$85,247,569.91
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$18,215,000.00
$0.00
$21,632,668.61
Redeemed, in full; warrants not outstanding
$30,000,000.00
$0.00
$11,803,691.75
($1,660,704.00)
Redeemed, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
($234,574.44)
$911,000.00
911
$631,941.75
1,500
51,000
Sold, in full; warrants not outstanding
($21,000,000.00)
($90,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$3,000,000.00
$60,000,000.00
$36,842,000.00
$3,000,000.00
$0.00
$0.00
$763,908.00
$75,757,163.03
$42,414,352.50
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$1,697,000.00
$0.00
$2,030,299.18
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$50,000,000.00
$0.00
$58,008,472.23
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$15,000,000.00
$0.00
$17,080,708.67
$2,000,000,000.00
$0.00
$2,123,611,111.12
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$24,900,000.00
$0.00
$31,495,442.29
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$11,019,000.00
$0.00
$13,078,672.60
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$30,000,000.00
$0.00
$37,191,875.00
Redeemed, in full; warrants not outstanding
$42,000,000.00
$0.00
$47,869,108.33
$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
$331,000.00
331,000
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$11,019,000.00
11,019,000
$1.00
$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
Preferred Stock w/ Warrants
$125,198,000.00
$0.00
$130,542,485.91
Redeemed, in full; warrants not outstanding
$303,000,000.00
$0.00
$121,757,209.63
Sold, in full; warrants not outstanding
$125,198,000.00
125,198
$1,000.00
5,738,637
$20.00
$10,000,000.00
10,000
$1,000.00
$4,000,000.00
$11,568,000.00
4,000
11,568
$1,000.00
$1,000.00
$1,796,209.03
$107,935.66
10,351
622
$173.50
$173.50
8,500
$1,000.00
$114,772,740.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$15,568,000.00
$10,973,000.00
$0.00
$0.00
$0.00
$11,400,453.22
$18,101,553.84
$2,652,816.96
$2,920,000.00
302,623
$945,775.00
516,817
$2,857,914.52
2,615,557
$825,000.00
97,541
$107,398.00
133,475
$778,000.00
778
$130,704.17
$8,358.99
516
33
$315,000.00
239,212
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$3,000,000.00
Redeemed, in full; warrants outstanding
($1,434,659.25)
($188,227,260.00)
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($8,554,790.97)
($514,064.34)
($25,000.00)
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
$15,000,000.00
$8,500,000.00
$15,000,000.00
$0.00
$2,083,520.25
$9,930,625.00
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$8,500,000.00
44
FootNote
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
11
44,8,14
8,14
8,18,21,44
Institution Name
SUN BANCORP, INC.
SUN BANCORP, INC.
SUN BANCORP, INC.
SUNTRUST BANKS, INC.
SUNTRUST BANKS, INC.
SUNTRUST BANKS, INC.
SUNTRUST BANKS, INC.
SUPERIOR BANCORP INC.
SUPERIOR BANCORP INC.
SURREY BANCORP
SURREY BANCORP
SUSQUEHANNA BANCSHARES, INC.
SUSQUEHANNA BANCSHARES, INC.
SUSQUEHANNA BANCSHARES, INC.
SUSQUEHANNA BANCSHARES, INC.
SV FINANCIAL, INC.
SV FINANCIAL, INC.
SVB FINANCIAL GROUP
SVB FINANCIAL GROUP
SVB FINANCIAL GROUP
SWORD FINANCIAL CORPORATION
SWORD FINANCIAL CORPORATION
SYNOVUS FINANCIAL CORP.
SYNOVUS FINANCIAL CORP.
SYRINGA BANCORP
SYRINGA BANCORP
TAYLOR CAPITAL GROUP
TAYLOR CAPITAL GROUP
TAYLOR CAPITAL GROUP
TCB CORPORATION/COUNTY BANK
TCB CORPORATION/COUNTY BANK
TCB HOLDING COMPANY
TCB HOLDING COMPANY
TCF FINANCIAL CORPORATION
TCF FINANCIAL CORPORATION
TCF FINANCIAL CORPORATION
TCNB FINANCIAL CORP
TCNB FINANCIAL CORP
TENNESSEE COMMERCE BANCORP, INC.
TENNESSEE COMMERCE BANCORP, INC.
TENNESSEE VALLEY FINANCIAL HOLDINGS, INC.
TENNESSEE VALLEY FINANCIAL HOLDINGS, INC.
TENNESSEE VALLEY FINANCIAL HOLDINGS, INC.
TENNESSEE VALLEY FINANCIAL HOLDINGS, INC.
TEXAS CAPITAL BANCSHARES, INC.
TEXAS CAPITAL BANCSHARES, INC.
TEXAS CAPITAL BANCSHARES, INC.
TEXAS NATIONAL BANCORPORATION INC.
TEXAS NATIONAL BANCORPORATION INC.
THE ANB CORPORATION
THE ANB CORPORATION
THE BANCORP, INC.
THE BANCORP, INC.
THE BANCORP, INC.
THE BANK OF CURRITUCK
THE BANK OF CURRITUCK
THE BANK OF KENTUCKY FINANCIAL CORPORATION
THE BANK OF KENTUCKY FINANCIAL CORPORATION
THE BANK OF KENTUCKY FINANCIAL CORPORATION
THE BANK OF KENTUCKY FINANCIAL CORPORATION
THE BARABOO BANCORPORATION, INC.
THE BARABOO BANCORPORATION, INC.
THE BARABOO BANCORPORATION, INC.
THE BARABOO BANCORPORATION, INC.
THE CONNECTICUT BANK AND TRUST COMPANY
THE CONNECTICUT BANK AND TRUST COMPANY
THE ELMIRA SAVINGS BANK, FSB
THE ELMIRA SAVINGS BANK, FSB
THE FIRST BANCORP, INC.
THE FIRST BANCORP, INC.
THE FIRST BANCORP, INC.
THE FIRST BANCORP, INC.
THE FIRST BANCSHARES, INC.
THE FIRST BANCSHARES, INC.
THE FIRST STATE BANK OF MOBEETIE
THE FIRST STATE BANK OF MOBEETIE
THE FREEPORT STATE BANK
THE FREEPORT STATE BANK
THE HARTFORD FINANCIAL SERVICES GROUP, INC.
THE HARTFORD FINANCIAL SERVICES GROUP, INC.
THE HARTFORD FINANCIAL SERVICES GROUP, INC.
THE LANDRUM COMPANY
THE LANDRUM COMPANY
THE LITTLE BANK, INCORPORATED
THE LITTLE BANK, INCORPORATED
THE LITTLE BANK, INCORPORATED
THE PNC FINANCIAL SERVICES GROUP, INC.
THE PNC FINANCIAL SERVICES GROUP, INC.
THE PNC FINANCIAL SERVICES GROUP, INC.
THE PRIVATE BANK OF CALIFORNIA
THE PRIVATE BANK OF CALIFORNIA
THE QUEENSBOROUGH COMPANY
THE QUEENSBOROUGH COMPANY
THE QUEENSBOROUGH COMPANY
THE QUEENSBOROUGH COMPANY
THE VICTORY BANCORP, INC.
THE VICTORY BANCORP, INC.
City
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
WILMINGTON
WILMINGTON
WILMINGTON
MOYOCK
MOYOCK
CRESTVIEW HILLS
CRESTVIEW HILLS
CRESTVIEW HILLS
CRESTVIEW HILLS
BARABOO
BARABOO
BARABOO
BARABOO
HARTFORD
HARTFORD
ELMIRA
ELMIRA
DAMARISCOTTA
DAMARISCOTTA
DAMARISCOTTA
DAMARISCOTTA
HATTIESBURG
HATTIESBURG
MOBEETIE
MOBEETIE
HARPER
HARPER
HARTFORD
HARTFORD
HARTFORD
COLUMBIA
COLUMBIA
KINSTON
KINSTON
KINSTON
PITTSBURGH
PITTSBURGH
PITTSBURGH
LOS ANGELES
LOS ANGELES
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOUISVILLE
LIMERICK
LIMERICK
State
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
PA
PA
PA
CA
CA
GA
GA
GA
GA
PA
PA
Date
9‐Jan‐09
8‐Apr‐09
27‐May‐09
14‐Nov‐08
31‐Dec‐08
30‐Mar‐11
28‐Sep‐11
5‐Dec‐08
15‐Apr‐11
9‐Jan‐09
29‐Dec‐10
12‐Dec‐08
21‐Apr‐10
22‐Dec‐10
19‐Jan‐11
10‐Apr‐09
31‐Aug‐11
12‐Dec‐08
23‐Dec‐09
16‐Jun‐10
8‐May‐09
15‐Sep‐11
19‐Dec‐08
26‐Jul‐13
16‐Jan‐09
31‐Jan‐14
21‐Nov‐08
19‐Jun‐12
18‐Jul‐12
28‐Aug‐09
8‐Sep‐11
16‐Jan‐09
13‐Dec‐13
14‐Nov‐08
22‐Apr‐09
21‐Dec‐09
23‐Dec‐08
3‐Aug‐11
19‐Dec‐08
27‐Jan‐12
23‐Dec‐08
26‐Apr‐13
29‐Apr‐13
31‐May‐13
16‐Jan‐09
13‐May‐09
17‐Mar‐10
9‐Jan‐09
19‐May‐10
7‐Aug‐09
25‐Aug‐11
12‐Dec‐08
10‐Mar‐10
8‐Sep‐10
6‐Feb‐09
3‐Dec‐10
13‐Feb‐09
22‐Dec‐10
23‐Nov‐11
29‐May‐13
16‐Jan‐09
10‐Dec‐12
11‐Dec‐12
11‐Jan‐13
19‐Dec‐08
19‐Apr‐12
19‐Dec‐08
25‐Aug‐11
9‐Jan‐09
24‐Aug‐11
27‐Mar‐13
8‐May‐13
6‐Feb‐09
29‐Sep‐10
27‐Feb‐09
14‐Apr‐10
6‐Feb‐09
19‐Dec‐12
26‐Jun‐09
31‐Mar‐10
27‐Sep‐10
22‐May‐09
18‐Aug‐11
23‐Dec‐08
31‐Oct‐12
11‐Jan‐13
31‐Dec‐08
10‐Feb‐10
5‐May‐10
20‐Feb‐09
1‐Sep‐11
9‐Jan‐09
8‐Mar‐13
11‐Mar‐13
9‐Apr‐13
27‐Feb‐09
11‐Dec‐09
Original Investment Type1
Preferred Stock w/ Warrants
Original Investment
Amount
$89,310,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
$0.00
$92,513,970.83
(Fee) 4
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
Redeemed, in full; warrants not outstanding
$89,310,000.00
Preferred Stock w/ Warrants
$3,500,000,000.00
$1,350,000,000.00
$0.00
$5,448,052,772.51
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$69,000,000.00
$0.00
$4,983,333.33
Currently not collectible
89,310
$4,850,000,000.00
48,500
$1,000.00
$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
$100,000.00
($69,000,000.00)
Preferred Stock w/ Exercised Warrants
$2,000,000.00
$0.00
$2,314,972.22
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$300,000,000.00
$0.00
$328,991,401.58
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$4,000,000.00
$235,000,000.00
$0.00
$0.00
$4,721,382.89
$253,929,027.78
$2,000,000.00
2,000
$1,000.00
$200,000,000.00
$100,000,000.00
200,000
100,000
$1,000.00
$1,000.00
$4,000,000.00
4,000
$1,000.00
$235,000,000.00
235,000
$1,000.00
$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
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$13,644,000.00
$0.00
$17,019,233.91
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$967,870,000.00
$0.00
$1,190,614,526.39
Redeemed, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$8,000,000.00
$0.00
$253,122.22
Currently not collectible
Preferred Stock w/ Warrants
$104,823,000.00
$0.00
$120,845,170.80
Sold, in full; warrants not outstanding
$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
($8,000,000.00)
$93,659,350.50
Subordinated Debentures w/ Exercised Warrants
$9,720,000.00
$0.00
$11,611,381.34
($1,404,890.26)
Redeemed, in full; warrants not outstanding
$9,720,000.00
Preferred Stock w/ Exercised Warrants
$11,730,000.00
$0.00
$690,832.08
($11,163,649.50)
Currently not collectible
($11,730,000.00)
Preferred Stock w/ Warrants
$361,172,000.00
$0.00
$378,547,699.45
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,000,000.00
$0.00
$2,384,611.11
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$30,000,000.00
$0.00
$3,233,333.33
Currently not collectible
$361,172,000.00
361,172
$1,000.00
$2,000,000.00
2,000
$1,000.00
($30,000,000.00)
Preferred Stock w/ Exercised Warrants
$3,000,000.00
$0.00
$3,331,713.17
Sold, in full; warrants not outstanding
$298,000.00
$2,702,000.00
298
2,702
$1,022.10
$1,022.10
$6,588.78
$59,741.22
$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
$5,448,000.00
5,448
$1,000.00
$792,783.00
175,742
$9,090,000.00
9,090
$1,000.00
$12,500,000.00
$2,500,000.00
$10,000,000.00
12,500
2,500
10,000
$1,000.00
$1,000.00
$1,000.00
$5,000,000.00
5,000
$1,000.00
$731,000.00
731
$1,000.00
$37,000.00
37
$301,000.00
301
$1,000.00
$15,000.00
15
$3,400,000,000.00
3,400,000
$1,000.00
$706,264,559.89
52,093,973
$750,000.00
750
$371,250.00
375
$320,372,284.16
16,885,192
$273,000.00
273
$4,806.45
$571,967.55
5
595
($25,000.00)
Preferred Stock w/ Warrants
$75,000,000.00
$0.00
$82,777,816.21
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,981,000.00
$0.00
$4,475,307.67
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$20,000,000.00
$0.00
$23,234,499.98
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$45,220,000.00
$0.00
$52,787,673.44
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,021,000.00
$0.00
$1,912,684.00
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$34,000,000.00
$20,749,000.00
$0.00
$0.00
$40,091,342.55
$18,023,831.85
($2,278,150.00)
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($1,043,100.00)
($6,171,327.30)
($135,345.73)
Preferred Stock w/ Warrants
$5,448,000.00
$0.00
$6,902,866.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$9,090,000.00
$0.00
$10,309,575.00
Redeemed, in full; warrants outstanding
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$29,332,986.11
Redeemed, in full; warrants outstanding
Preferred Stock w/ Warrants
$5,000,000.00
$0.00
$5,411,805.56
Redeemed, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$731,000.00
$0.00
$813,086.56
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$301,000.00
$0.00
$379,458.89
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$3,400,000,000.00
$0.00
$4,236,125,671.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$15,000,000.00
$0.00
$17,580,291.55
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$7,500,000.00
$0.00
$9,232,652.17
Sold, in full; warrants not outstanding
$15,000,000.00
15,000
$1,000.00
$7,359,000.00
7,500
$981.20
$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
($141,000.00)
($73,590.00)
Preferred Stock w/ Warrants
$7,579,200,000.00
$0.00
$8,320,638,950.83
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,450,000.00
$0.00
$6,474,752.14
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,000,000.00
$0.00
$13,065,246.00
Sold, in full; warrants not outstanding
($5,775.00)
($271,425.00)
($117,228.00)
Preferred Stock w/ Exercised Warrants
$541,000.00
$1,505,000.00
$0.00
$2,322,183.20
Redeemed, in full; warrants not outstanding
45
FootNote
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
8
11,9,15
8
11,8
Institution Name
THE VICTORY BANCORP, INC.
THREE SHORES BANCORPORATION, INC.
THREE SHORES BANCORPORATION, INC.
THREE SHORES BANCORPORATION, INC.
THREE SHORES BANCORPORATION, INC.
TIB FINANCIAL CORP
TIB FINANCIAL CORP
TIDELANDS BANCSHARES, INC.
TIFTON BANKING COMPANY
TIFTON BANKING COMPANY
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TITONKA BANCSHARES, INC.
TITONKA BANCSHARES, INC.
TODD BANCSHARES, INC.
TODD BANCSHARES, INC.
TOWNEBANK
TOWNEBANK
TOWNEBANK
TREATY OAK BANCORP, INC.
TREATY OAK BANCORP, INC.
TREATY OAK BANCORP, INC.
TRIAD BANCORP, INC.
TRIAD BANCORP, INC.
TRI‐COUNTY FINANCIAL CORPORATION
TRI‐COUNTY FINANCIAL CORPORATION
TRINITY CAPITAL CORPORATION
TRINITY CAPITAL CORPORATION
TRINITY CAPITAL CORPORATION
TRINITY CAPITAL CORPORATION
TRINITY CAPITAL CORPORATION
TRI‐STATE BANK OF MEMPHIS
TRI‐STATE BANK OF MEMPHIS
TRISTATE CAPITAL HOLDINGS, INC.
TRISTATE CAPITAL HOLDINGS, INC.
TRISUMMIT BANK
TRISUMMIT BANK
TRISUMMIT BANK
TRISUMMIT BANK
TRUSTMARK CORPORATION
TRUSTMARK CORPORATION
TRUSTMARK CORPORATION
TWO RIVERS FINANCIAL GROUP, INC.
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.
UNITY BANCORP, INC.
UNIVERSAL BANCORP
UNIVERSAL BANCORP
UNIVERSAL BANCORP
UNIVERSAL BANCORP
UNIVERSITY FINANCIAL CORP.
UNIVERSITY FINANCIAL CORP.
US METRO BANK
UWHARRIE CAPITAL CORP
City
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
CLINTON
BLOOMFIELD
BLOOMFIELD
BLOOMFIELD
BLOOMFIELD
ST. PAUL
ST. PAUL
GARDEN GROVE
ALBEMARLE
State
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
NJ
IN
IN
IN
IN
MN
MN
CA
NC
Date
22‐Sep‐11
23‐Jan‐09
8‐Nov‐12
9‐Nov‐12
11‐Jan‐13
5‐Dec‐08
30‐Sep‐10
19‐Dec‐08
17‐Apr‐09
12‐Nov‐10
23‐Dec‐08
8‐Nov‐12
9‐Nov‐12
13‐Nov‐12
11‐Jan‐13
11‐Jun‐13
3‐Apr‐09
4‐Apr‐12
6‐Feb‐09
25‐Sep‐13
12‐Dec‐08
22‐Sep‐11
15‐May‐13
16‐Jan‐09
15‐Feb‐11
21‐Dec‐12
27‐Mar‐09
22‐Sep‐11
19‐Dec‐08
22‐Sep‐11
27‐Mar‐09
7‐Aug‐12
9‐Aug‐12
10‐Aug‐12
11‐Sep‐12
3‐Apr‐09
13‐Aug‐10
27‐Feb‐09
26‐Sep‐12
3‐Apr‐09
22‐Dec‐09
29‐Nov‐12
11‐Jan‐13
21‐Nov‐08
9‐Dec‐09
30‐Dec‐09
29‐May‐09
1‐Sep‐11
14‐Nov‐08
17‐Jun‐09
15‐Jul‐09
7‐Aug‐09
30‐Jan‐09
11‐Aug‐11
14‐Nov‐08
6‐Nov‐09
14‐Nov‐08
17‐Feb‐10
31‐Mar‐10
1‐May‐09
18‐Dec‐09
22‐Sep‐11
29‐Dec‐09
25‐Jul‐12
2‐Oct‐13
19‐Dec‐08
18‐Nov‐09
23‐Dec‐09
20‐Feb‐09
16‐Jan‐09
19‐Jun‐12
18‐Jul‐12
23‐Dec‐08
3‐Sep‐10
22‐May‐09
3‐Jul‐12
5‐Dec‐08
26‐Mar‐13
27‐Mar‐13
28‐Mar‐13
9‐Apr‐13
10‐Jun‐13
16‐Jan‐09
15‐Dec‐10
15‐Sep‐11
5‐Dec‐08
15‐May‐13
3‐Jul‐13
28‐Aug‐13
22‐May‐09
8‐Aug‐13
12‐Aug‐13
12‐Sep‐13
19‐Jun‐09
30‐Jul‐10
6‐Feb‐09
23‐Dec‐08
Original Investment Type1
Preferred Stock w/ Exercised Warrants
Original Investment
Amount
$5,677,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
$0.00
$6,449,130.64
(Fee) 4
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
$2,046,000.00
2,046
$1,000.00
$61,000.00
$1,165,528.32
$3,877,691.40
1,312
4,365
$888.40
$888.40
61
($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
$2,117,000.00
2,117
$1,000.00
$1,301,856.00
370,899
$106,000.00
$4,000,000.00
4,000
$1,000.00
$200,000.00
106
200
$76,458,000.00
76,458
$1,000.00
$1,500,000.00
554,330
Sold, in full; warrants not outstanding
($50,432.20)
Preferred Stock w/ Warrants
$37,000,000.00
$0.00
$13,444,359.59
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$14,448,000.00
$3,800,000.00
$14,448,000.00
$0.00
$1,195,973.33
$223,208.00
Full investment outstanding; warrants outstanding
Currently not collectible
Preferred Stock w/ Warrants
$16,641,000.00
$0.00
$18,857,818.52
Sold, in full; warrants not outstanding
($3,800,000.00)
($524,562.50)
($252,037.50)
($1,511,537.50)
($143,528.63)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$2,117,000.00
$4,000,000.00
$76,458,000.00
$0.00
$0.00
$0.00
$2,569,490.36
$5,210,672.22
$88,577,166.67
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$3,268,000.00
$0.00
$842,415.03
Sold, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$3,700,000.00
$0.00
$4,386,324.64
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$15,540,000.00
$0.00
$18,653,115.75
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$35,539,000.00
$0.00
$34,644,476.74
Sold, in full; warrants not outstanding
$500,000.00
$150,000.00
3,118
150,000
$155.47
$1.00
($2,618,000.00)
$3,700,000.00
3,700
$1,000.00
$185,000.00
185
$15,540,000.00
15,540
$1,000.00
$777,000.00
777
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
$2,639,379.50
$7,038,845.50
$16,984,909.75
($878,620.50)
($2,343,154.50)
($5,654,090.25)
($266,631.35)
Preferred Stock
$2,795,000.00
$0.00
$2,985,215.11
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$23,000,000.00
$0.00
$28,642,402.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$2,765,000.00
$4,237,000.00
$0.00
$6,496,417.16
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$215,000,000.00
$0.00
$236,287,500.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,000,000.00
$0.00
$14,075,133.27
Redeemed, in full; warrants not outstanding
$2,795,000.00
2,795
$1,000.00
$23,000,000.00
23,000
$1,000.00
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
$5,251,500.00
($1,750,500.00)
($52,515.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$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
$745,311.72
$10,634,911.78
$7,509,920.07
Redeemed, in full; warrants not outstanding
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Currently not collectible
($298,737,000.00)
Preferred Stock w/ Warrants
$214,181,000.00
$0.00
$232,156,554.58
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$3,194,000.00
$2,997,000.00
$0.00
$7,031,291.65
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$2,179,000.00
$59,000,000.00
$0.00
$0.00
$2,639,873.33
$62,145,972.22
$214,181,000.00
214,181
$1,000.00
$4,500,000.00
1,110,898
$6,191,000.00
6,191
$1,000.00
$160,000.00
160
$600,000.00
$1,579,000.00
600
1,579
$1,000.00
$1,000.00
$65,000.00
65
$59,000,000.00
59,000
$1,000.00
$450,000.00
211,318
$38,000.00
311,492
$720,000.00
720,000
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$8,700,000.00
$20,600,000.00
$8,700,000.00
$0.00
$0.00
$20,315,924.72
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$10,300,000.00
$0.00
$11,172,638.89
Redeemed, in full; warrants outstanding
$17,005,300.00
Subordinated Debentures w/ Exercised Warrants
$14,400,000.00
$0.00
$18,882,079.62
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$180,000,000.00
$0.00
$210,367,527.00
Sold, in full; warrants not outstanding
($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
$237,527.50
$9,168,561.50
250
9,650
$950.10
$950.10
11,926,000
$1.00
($3,594,700.00)
($59,100.00)
($490,425.00)
($6,200,475.00)
($1,732,500.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$5,658,000.00
$20,649,000.00
$9,900,000.00
$0.00
$0.00
$0.00
$6,649,963.92
$28,013,814.50
$12,066,668.65
$6,677.00
219,908
$283,000.00
283
$2,707,314.00
764,778
$476,573.62
495
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($12,472.50)
($481,438.50)
($94,060.89)
Subordinated Debentures
$11,926,000.00
$0.00
$12,948,886.40
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$2,861,000.00
$10,000,000.00
$2,861,000.00
$0.00
$432,678.00
$12,916,040.83
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$11,926,000.00
46
FootNote
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
8
11
Institution Name
UWHARRIE CAPITAL CORP
UWHARRIE CAPITAL CORP
VALLEY COMMERCE BANCORP
VALLEY COMMERCE BANCORP
VALLEY COMMUNITY BANK
VALLEY COMMUNITY BANK
VALLEY COMMUNITY BANK
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL GROUP, LTD.
VALLEY FINANCIAL GROUP, LTD.
VALLEY NATIONAL BANCORP
VALLEY NATIONAL BANCORP
VALLEY NATIONAL BANCORP
VALLEY NATIONAL BANCORP
VALLEY NATIONAL BANCORP
VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY)
VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY)
VILLAGE BANK AND TRUST FINANCIAL CORP.
VILLAGE BANK AND TRUST FINANCIAL CORP.
VILLAGE BANK AND TRUST FINANCIAL CORP.
VIRGINIA COMMERCE BANCORP, INC.
VIRGINIA COMMERCE BANCORP, INC.
VIRGINIA COMMERCE BANCORP, INC.
VIRGINIA COMPANY BANK
VIRGINIA COMPANY BANK
VIRGINIA COMPANY BANK
VIRGINIA COMPANY BANK
VISION BANK ‐ TEXAS
VISION BANK ‐ TEXAS
VISION BANK ‐ TEXAS
VIST FINANCIAL CORP.
VIST FINANCIAL CORP.
W.T.B. FINANCIAL CORPORATION
W.T.B. FINANCIAL CORPORATION
WACHUSETT FINANCIAL SERVICES, INC.
WACHUSETT FINANCIAL SERVICES, INC.
WACHUSETT FINANCIAL SERVICES, INC.
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.
WASHINGTONFIRST BANKSHARES, INC.
WASHINGTONFIRST BANKSHARES, INC.
WASHINGTONFIRST BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WEBSTER FINANCIAL CORPORATION
WEBSTER FINANCIAL CORPORATION
WEBSTER FINANCIAL CORPORATION
WEBSTER FINANCIAL CORPORATION
WEBSTER FINANCIAL CORPORATION
WELLS FARGO & CO.
WELLS FARGO & CO.
WELLS FARGO & CO.
WESBANCO, INC.
WESBANCO, INC.
WESBANCO, INC.
WEST BANCORPORATION, INC.
WEST BANCORPORATION, INC.
WEST BANCORPORATION, INC.
WESTAMERICA BANCORPORATION
WESTAMERICA BANCORPORATION
WESTAMERICA BANCORPORATION
WESTAMERICA BANCORPORATION
WESTERN ALLIANCE BANCORPORATION
WESTERN ALLIANCE BANCORPORATION
WESTERN ALLIANCE BANCORPORATION
WESTERN COMMUNITY BANCSHARES, INC.
WESTERN ILLINOIS BANCSHARES, INC.
WESTERN ILLINOIS BANCSHARES, INC.
WESTERN ILLINOIS BANCSHARES, INC.
WESTERN ILLINOIS BANCSHARES, INC.
WESTERN ILLINOIS BANCSHARES, INC.
WESTERN RESERVE BANCORP, INC.
WESTERN RESERVE BANCORP, INC.
WHITE RIVER BANCSHARES COMPANY
WHITNEY HOLDING CORPORATION
WHITNEY HOLDING CORPORATION
WILMINGTON TRUST CORPORATION
WILMINGTON TRUST CORPORATION
WILSHIRE BANCORP, INC.
WILSHIRE BANCORP, INC.
WILSHIRE BANCORP, INC.
City
ALBEMARLE
ALBEMARLE
VISALIA
VISALIA
PLEASANTON
PLEASANTON
PLEASANTON
ROANOKE
ROANOKE
ROANOKE
ROANOKE
ROANOKE
ROANOKE
ROANOKE
SAGINAW
SAGINAW
WAYNE
WAYNE
WAYNE
WAYNE
WAYNE
DALLAS
DALLAS
MIDLOTHIAN
MIDLOTHIAN
MIDLOTHIAN
ARLINGTON
ARLINGTON
ARLINGTON
NEWPORT NEWS
NEWPORT NEWS
NEWPORT NEWS
NEWPORT NEWS
RICHARDSON
RICHARDSON
RICHARDSON
WYOMISSING
WYOMISSING
SPOKANE
SPOKANE
CLINTON
CLINTON
CLINTON
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
FAYETTEVILLE
NEW ORLEANS
NEW ORLEANS
WILMINGTON
WILMINGTON
LOS ANGELES
LOS ANGELES
LOS ANGELES
State
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
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
AR
LA
LA
DE
DE
CA
CA
CA
Date
3‐Apr‐13
16‐Oct‐13
30‐Jan‐09
21‐Mar‐12
9‐Jan‐09
21‐Oct‐13
6‐Jan‐14
12‐Dec‐08
14‐Nov‐12
20‐Feb‐13
15‐May‐13
14‐Aug‐13
16‐Oct‐13
13‐Nov‐13
18‐Dec‐09
22‐Sep‐11
14‐Nov‐08
3‐Jun‐09
23‐Sep‐09
23‐Dec‐09
24‐May‐10
26‐Jun‐09
25‐Aug‐11
1‐May‐09
19‐Nov‐13
6‐Jan‐14
12‐Dec‐08
11‐Dec‐12
31‐Jan‐14
12‐Jun‐09
8‐Aug‐13
12‐Aug‐13
12‐Sep‐13
24‐Apr‐09
28‐Dec‐12
10‐Jul‐13
19‐Dec‐08
1‐Aug‐12
30‐Jan‐09
15‐Sep‐11
11‐Dec‐09
4‐Apr‐12
30‐Jan‐13
19‐Dec‐08
24‐Nov‐09
16‐Dec‐09
16‐Jan‐09
12‐Jan‐11
2‐Mar‐11
14‐Nov‐08
27‐May‐09
15‐Mar‐10
30‐Jan‐09
30‐Oct‐09
4‐Aug‐11
26‐Jun‐09
6‐Feb‐13
7‐Feb‐13
8‐Feb‐13
26‐Mar‐13
21‐Nov‐08
3‐Mar‐10
13‐Oct‐10
29‐Dec‐10
8‐Jun‐11
28‐Oct‐08
23‐Dec‐09
26‐May‐10
5‐Dec‐08
9‐Sep‐09
23‐Dec‐09
31‐Dec‐08
29‐Jun‐11
31‐Aug‐11
13‐Feb‐09
2‐Sep‐09
18‐Nov‐09
21‐Nov‐11
21‐Nov‐08
27‐Sep‐11
23‐Nov‐11
23‐Dec‐08
23‐Dec‐08
29‐Dec‐09
8‐Nov‐12
9‐Nov‐12
11‐Jan‐13
15‐May‐09
30‐Nov‐12
20‐Feb‐09
19‐Dec‐08
3‐Jun‐11
12‐Dec‐08
13‐May‐11
12‐Dec‐08
3‐Apr‐12
20‐Jun‐12
Original Investment Type1
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Original Investment
Amount
$7,700,000.00
$5,500,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
$0.00
$0.00
$9,403,400.50
$2,947,090.75
(Fee) 4
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
$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
$2,296,800.00
5,500
$417.60
$45,815.25
275
$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
$1,547,891.58
344,742
$1,300,000.00
1,300
$1,000.00
$65,000.00
65
$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
$5,421,615.27
2,532,542
$3,000,000.00
3,000
$1,000.00
$150,000.00
150
$5,672,361.44
14,738
$384.90
$71,000,000.00
71,000
$1,000.00
$33,263,000.00
2,696,203
$325,353.86
$2,543,620.14
533
4,167
$610.40
$610.40
$63,481.25
143
$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
3,000
4,000
$1,000.00
$1,000.00
$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
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($3,203,200.00)
($25,000.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$16,019,000.00
$1,300,000.00
$300,000,000.00
$3,000,000.00
$14,738,000.00
$0.00
$0.00
$0.00
$0.00
$0.00
$21,311,670.48
$1,489,774.73
$318,400,781.94
$3,503,795.81
$6,933,870.05
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants outstanding
($9,065,638.56)
($56,723.61)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$71,000,000.00
$4,700,000.00
$0.00
$0.00
$118,453,138.89
$3,694,442.50
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($207,646.14)
($1,623,379.86)
($25,000.00)
Preferred Stock w/ Exercised Warrants
$1,500,000.00
$0.00
$1,898,258.59
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$30,710,646.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$110,000,000.00
$0.00
$131,236,874.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,000,000.00
$5,000,000.00
$9,125,223.01
Redeemed, in part; warrants outstanding
Preferred Stock w/ Warrants
$22,000,000.00
$0.00
$23,592,311.11
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$26,380,000.00
$0.00
$30,628,344.45
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$200,000,000.00
$0.00
$220,749,985.18
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$6,633,000.00
$6,842,000.00
$0.00
$15,317,317.86
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,625,000.00
$0.00
$6,398,893.44
Sold, in full; warrants not outstanding
$13,475,000.00
13,475
$1,000.00
$4,831,002.80
$92,690.00
$290,119.70
5,212
100
313
$926.90
$926.90
$926.90
$100,000,000.00
$100,000,000.00
$200,000,000.00
100,000
100,000
200,000
$1,000.00
$1,000.00
$1,000.00
$25,000,000,000.00
25,000
$1,000,000.00
$75,000,000.00
75,000
$1,000.00
$36,000,000.00
36,000
$1,000.00
$41,863,000.00
$41,863,000.00
41,863
41,863
$1,000.00
$1,000.00
$140,000,000.00
140,000
$1,000.00
($380,997.20)
($7,310.00)
($22,880.30)
$332,000.00
332
$18,644.66
$147,194.69
19
150
$20,388,842.06
3,282,276
$840,374,891.73
110,261,688
$950,000.00
439,282
$700,000.00
474,100
($52,138.13)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$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, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$878,256.00
246,698
$415,000.00
787,107
Redeemed, in full; warrants not outstanding
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
$1,050,524.72
$9,673,015.37
1,117
10,305
$940.38
$939.53
($66,475.28)
($631,984.63)
$335,417.06
343
$4,700,000.00
4,700
$1,000.00
$235,000.00
235
$300,000,000.00
300,000
$1,000.00
$6,900,000.00
2,631,579
$330,000,000.00
330,000
$1,000.00
62,158
$943.50
$760,000.00
949,460
($107,235.41)
Preferred Stock w/ Exercised Warrants
$4,700,000.00
$0.00
$5,842,197.92
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$16,800,000.00
$300,000,000.00
$16,800,000.00
$0.00
$1,589,583.00
$343,733,333.33
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$330,000,000.00
$0.00
$369,920,833.33
Redeemed, in full; warrants outstanding
Preferred Stock w/ Warrants
$62,158,000.00
$0.00
$68,809,170.52
Sold, in full; warrants not outstanding
$58,646,694.58
($879,700.42)
($3,511,305.42)
47
FootNote
11
8,14
45,8,14
11
Institution Name
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 VALLEY FINANCIAL CORPORATION
YADKIN VALLEY FINANCIAL CORPORATION
YADKIN VALLEY FINANCIAL CORPORATION
YADKIN VALLEY FINANCIAL CORPORATION
YORK TRADITIONS BANK
YORK TRADITIONS BANK
ZIONS BANCORPORATION
ZIONS BANCORPORATION
ZIONS BANCORPORATION
ZIONS BANCORPORATION
City
LAKE FOREST
LAKE FOREST
LAKE FOREST
HUNTSVILLE
HUNTSVILLE
HUNTSVILLE
WILMINGTON
WILMINGTON
WILMINGTON
ELKIN
ELKIN
ELKIN
ELKIN
ELKIN
YORK
YORK
SALT LAKE CITY
SALT LAKE CITY
SALT LAKE CITY
SALT LAKE CITY
State
IL
IL
IL
AL
AL
AL
DE
DE
DE
NC
NC
NC
NC
NC
PA
PA
UT
UT
UT
UT
Date
19‐Dec‐08
22‐Dec‐10
14‐Feb‐11
15‐May‐09
24‐Jun‐13
26‐Jul‐13
23‐Jan‐09
3‐Apr‐12
12‐Sep‐12
16‐Jan‐09
24‐Jul‐09
18‐Sep‐12
10‐Jun‐13
11‐Jun‐13
24‐Apr‐09
14‐Jul‐11
14‐Nov‐08
28‐Mar‐12
26‐Sep‐12
5‐Dec‐12
Original Investment Type1
Original Investment
Amount
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$250,000,000.00
$2,720,000.00
Total Cash Back2
Outstanding
Investment
Investment Status*
Capital Repayment / Disposition / Auction3,5
Amount
$0.00
$0.00
$300,704,730.81
$2,780,391.21
(Fee) 4
Shares
Avg. Price
(Realized Loss) /
(Write‐off)
Gain5
Warrant Proceeds
Amount
Shares
Redeemed, in full; warrants not outstanding
$250,000,000.00
250,000
$1,000.00
$2,343,851.20
2,720
$861.70
($376,148.80)
$25,600,564.15
1,643,295
$90,940.00
136
$1,800,000.00
175,105
Sold, in full; warrants not outstanding
($24,999.99)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
TOTALS
$52,625,000.00
$36,000,000.00
$13,312,000.00
$4,871,000.00
$1,400,000,000.00
$204,894,726,320.00
$0.00
$0.00
$0.00
$0.00
$2,077,788,601.88
$57,640,856.64
$52,383,419.85
$5,705,022.14
$1,661,027,529.62
$224,950,784,580.66
Sold, in full; warrants not outstanding
$48,157,663.75
($722,364.96)
52,625
$915.10
($4,467,336.25)
$44,149,056.00
($662,235.84)
49,312
$893.00
($5,162,944.00)
$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
Sold, in full; warrants not outstanding
$55,677.00
$20,000.00
91,178
128,663
$244,000.00
244
$7,666,418.51
$7,946,097,048.10
5,789,909
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$198,094,365,708.28
($35,597,128.23)
($4,722,572,009.84)
$6,892,181,661.26
48
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.
49
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.
50
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.
51
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.
52
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.
53
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.
54
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.
55
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.
56
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
-
Pricing
Mechanism
1
7/30/2010
Guaranty Capital Corporation
Belzoni
MS
Subordinated Debentures
$
14,000,000
$
$
14,000,000
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
Subordinated Debentures
$
6,784,000
$
-
$
7,462,000
$
-
Preferred Stock
$
$
11,841,000
Par
Preferred Stock
$
3,000,000
$
-
$
3,000,000
Par
NY
Preferred Stock
$
17,000,000
$
-
$
17,000,000
Par
Memphis
TN
Preferred Stock
$
2,795,000
$
-
$
2,795,000
Mission Valley Bancorp
Sun Valley
CA
Preferred Stock
$
5,500,000
$
-
Preferred Stock
$
$
10,336,000
Par
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
IBW Financial Corporation
Washington
DC
Preferred Stock
$
6,000,000
$
-
$
6,000,000
Par
1, 2
9/10/2010
IBC Bancorp, Inc.
Chicago
Subordinated Debentures
$
4,205,000
$
$
8,086,000
Par
9/17/2010
CFBanc Corporation
Washington
DC
Preferred Stock
$
-
$
-
$
5,781,000
Par
9/17/2010
American Bancorp of Illinois, Inc.
Oak Brook
IL
Subordinated Debentures
$
-
$
-
$
5,457,000
Par
9/17/2010
Hope Federal Credit Union
Jackson
MS
Subordinated Debentures
$
-
$
-
$
4,520,000
Par
9/17/2010
Genesee Co-op Federal Credit Union
Rochester
NY
Subordinated Debentures
$
-
$
-
$
300,000
Par
1
9/17/2010
First Eagle Bancshares, Inc.
Hanover Park
IL
Subordinated Debentures
$
7,875,000
$
-
$
7,875,000
Par
1, 2
9/24/2010
Liberty Financial Services, Inc.
New Orleans
LA
Preferred Stock
$
5,645,000
$
$
11,334,000
Par
1, 7
9/24/2010
First Choice Bank
Cerritos
CA
Preferred Stock
$
5,146,000
$
-
$
5,146,000
Par
9/24/2010
Bainbridge Bancshares, Inc.
Bainbridge
GA
Preferred Stock
$
-
$
-
$
3,372,000
Par
9/24/2010
Virginia Community Capital, Inc.
Christiansburg
VA
Subordinated Debentures
$
-
$
-
$
1,915,000
Par
9/24/2010
Lower East Side People's Federal Credit Union
New York
NY
Subordinated Debentures
$
-
$
-
$
898,000
Par
9/24/2010
Atlantic City Federal Credit Union
Lander
WY
Subordinated Debentures
$
-
$
-
$
2,500,000
Par
9/24/2010
Neighborhood Trust Federal Credit Union
New York
NY
Subordinated Debentures
$
-
$
-
$
283,000
Par
9/24/2010
Gateway Community Federal Credit Union
Missoula
MT
Subordinated Debentures
$
-
$
-
$
1,657,000
Par
9/24/2010
Union Baptist Church Federal Credit Union
Fort Wayne
IN
Subordinated Debentures
$
-
$
-
$
10,000
Par
9/24/2010
Buffalo Cooperative Federal Credit Union
Buffalo
NY
Subordinated Debentures
$
-
$
-
$
145,000
Par
9/24/2010
Tulane-Loyola Federal Credit Union
New Orleans
LA
Subordinated Debentures
$
-
$
-
$
424,000
Par
9/24/2010
Alternatives Federal Credit Union
Ithaca
NY
Subordinated Debentures
$
-
$
-
$
2,234,000
Par
9/24/2010
Liberty County Teachers Federal Credit Union
Liberty
TX
Subordinated Debentures
$
-
$
-
$
435,000
Par
9/24/2010
UNO Federal Credit Union
New Orleans
LA
Subordinated Debentures
$
-
$
-
$
743,000
Par
9/24/2010
Butte Federal Credit Union
Biggs
CA
Subordinated Debentures
$
-
$
-
$
1,000,000
Par
9/24/2010
Thurston Union of Low-Income People (TULIP) Cooperative Credit Union
Olympia
WA
Subordinated Debentures
$
-
$
-
$
75,000
Par
9/24/2010
Phenix Pride Federal Credit Union
Phenix City
AL
Subordinated Debentures
$
-
$
-
$
153,000
Par
9/24/2010
Pyramid Federal Credit Union
Tucson
AZ
Subordinated Debentures
$
-
$
-
$
2,500,000
Par
9/24/2010
Cooperative Center Federal Credit Union
Berkeley
CA
Subordinated Debentures
$
-
$
-
$
2,799,000
Par
9/24/2010
Prince Kuhio Federal Credit Union
Honolulu
HI
Subordinated Debentures
$
-
$
-
$
273,000
Par
9/24/2010
Community First Guam Federal Credit Union
Hagatna
GU
Subordinated Debentures
$
-
$
-
$
2,650,000
Par
9/24/2010
Brewery Credit Union
Milwaukee
WI
Subordinated Debentures
$
-
$
-
$
1,096,000
Par
9/24/2010
Tongass Federal Credit Union
Ketchikan
AK
Subordinated Debentures
$
-
$
-
$
1,600,000
Par
9/24/2010
Santa Cruz Community Credit Union
Santa Cruz
CA
Subordinated Debentures
$
-
$
-
$
2,828,000
Par
9/24/2010
Northeast Community Federal Credit Union
San Francisco
CA
Subordinated Debentures
$
-
$
-
$
350,000
Par
9/24/2010
Fairfax County Federal Credit Union
Fairfax
VA
$
-
$
-
$
8,044,000
Par
1, 2
9/29/2010
Security Federal Corporation
Aiken
SC
Subordinated Debentures
Preferred Stock
$
18,000,000
$
4,000,000
$
22,000,000
Par
1, 2
9/29/2010
Community Bank of the Bay
Oakland
CA
Preferred Stock
$
1,747,000
$
2,313,000
$
4,060,000
Par
1, 2
9/29/2010
The First Bancshares, Inc.
Hattiesburg
MS
Preferred Stock
$
5,000,000
$
12,123,000
$
17,123,000
Par
30,514,000
Par
8/13/2010
1
8/13/2010
Premier Bancorp, Inc.
Wilmette
Citizens Bancshares Corporation
Atlanta
GA
2a
9/17/2010
1
8/13/2010
PGB Holdings, Inc.
Chicago
IL
1
8/13/2010
First American International Corp.
Brooklyn
1
8/13/2010
Tri-State Bank of Memphis
1
8/20/2010
2a
9/24/2010
1
1, 3
6
6
6
6
IL
IL
-
-
-
$
$
4,379,000
4,836,000
3,881,000
5,689,000
$
6,784,000
Remaining Investment
Amount
Par
Preferred Stock
1, 4
Amount
Date
Par
11/28/2012
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
9/4/2013
6
$743,000
$0
10/3/2012
6
$1,096,000
$0
8/30/2013
7
$30,000,000
$0
12/28/2012
7
$9,734,000
$0
Par
Par
Par
1, 2
9/29/2010
BancPlus Corporation
Ridgeland
MS
Preferred Stock
$
50,400,000
$
$
80,914,000
1
9/29/2010
First M&F Corporation
Kosciusko
MS
Preferred Stock
$
30,000,000
$
-
$
30,000,000
Par
1
9/29/2010
State Capital Corporation
Greenwood
MS
Preferred Stock
$
15,750,000
$
-
$
15,750,000
Par
1
9/29/2010
Lafayette Bancorp, Inc.
Oxford
MS
Preferred Stock
$
4,551,000
$
-
$
4,551,000
Par
1, 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
57
Seller
Purchase Details
Name of Institution
City
State
Investment Description
Amount from CPP
Disposition Details
Investment Amount
Additional Investment
Pricing
Mechanism
Footnote
Purchase Date
1
9/29/2010
Security Capital Corporation
Batesville
MS
Preferred Stock
$
$
-
$
17,910,000
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
8
17,910,000
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
Springhill
LA
Subordinated Debentures
$
-
$
-
$
6,300,000
Par
6
9/29/2010
Carter Federal Credit Union
UNITEHERE Federal Credit Union
(Workers United Federal Credit Union)
New York
NY
Subordinated Debentures
$
-
$
-
$
57,000
Par
9/29/2010
North Side Community Federal Credit Union
Chicago
IL
Subordinated Debentures
$
-
$
-
$
325,000
Par
9/29/2010
East End Baptist Tabernacle Federal Credit Union
Bridgeport
CT
Subordinated Debentures
$
-
$
-
$
7,000
Par
9/29/2010
Community Plus Federal Credit Union
Rantoul
IL
Subordinated Debentures
$
-
$
-
$
450,000
Par
9/29/2010
Border Federal Credit Union
Del Rio
TX
Subordinated Debentures
$
-
$
-
$
3,260,000
Par
9/29/2010
Opportunities Credit Union
Burlington
VT
Subordinated Debentures
$
-
$
-
$
1,091,000
Par
9/29/2010
First Legacy Community Credit Union
Charlotte
NC
Subordinated Debentures
$
-
$
-
$
1,000,000
Par
9/29/2010
Union Settlement Federal Credit Union
New York
NY
Subordinated Debentures
$
-
$
-
$
295,000
Par
9/29/2010
Southside Credit Union
San Antonio
TX
Subordinated Debentures
$
-
$
-
$
1,100,000
Par
9/29/2010
D.C. Federal Credit Union
Washington
DC
Subordinated Debentures
$
-
$
-
$
1,522,000
Par
Par
6
Remaining Investment
Amount
Par
9/29/2010
6
Amount
Date
9/29/2010
Faith Based Federal Credit Union
Oceanside
CA
Subordinated Debentures
$
-
$
-
$
30,000
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
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
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
$
$94,902,900
468,466,000
1/ This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has exchanged its Capital Purchase Program investment for an equivalent amount of investment with Treasury under the CDCI program terms.
2/ Treasury made an additional investment in this institution at the time it entered the CDCI program.
2a/ Treasury made an additional investment in this institution after the time it entered the CDCI program.
3/ On 10/28/2011, Treasury completed the exchange of all Carver Bancorp, Inc. ("Carver") preferred stock held by Treasury for 2,321,286 shares of Carver common stock, pursuant to the terms of the agreement between Treasury and Carver entered into on 06/29/2011. Accrued and previously unpaid dividends were paid on the date of the exchange.
4/ On 3/23/2012, Premier Bank, Wilmette, IL, the banking subsidiary of Premier Bancorp, Inc., was closed by the Illinois Department of Financial and Professional Regulation - Division of Banking, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver. On 1/29/2013, UST received $79,900 representing the total amount of distributions paid to
creditors as a result of the liquidation of Premier Bancorp, Inc.
5/ Repayment pursuant to Section 5 of the CDCI Certificate of Designation.
6/ Repayment pursuant to Section 6.10 of the CDCI Securities Purchase Agreement
7/ Repayment pursuant to Section 5 of the CDCI Exchange Agreement.
8/ Repayment pursuant to Section 6.11 of the CDCI Securities Purchase Agreement.
9/ Repayment pursuant to Section 5.11 of the CDCI Exchange Agreement.
58
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
Exchange/Transfer/Other Details
Amount
$
5,000,000,000
Pricing
Mechanism
Par
5/21/2009
Purchase
GMAC
Convertible Preferred Stock
w/ Exercised Warrants
12/30/2009
Purchase
GMAC
Convertible Preferred Stock
w/ Exercised Warrants
$
1,250,000,000
Par
12/30/2009
Purchase
GMAC
Trust Preferred Securities w/
$
Exercised Warrants
2,540,000,000
Par
12/29/2008
Purchase
884,024,131
Par
Detroit, MI
12/31/2008
Purchase
4/22/2009
Purchase
General Motors
Corporation
General Motors
Corporation
General Motors
Corporation
Debt Obligation
Date
12/30/2009
$
7,500,000,000
Par
22
22,
26
$
Debt Obligation w/ Additional
$
Note
Debt Obligation w/ Additional
$
Note
13,400,000,000
Par
2,000,000,000
Par
Pricing
Mechanism
Obligor
$
5,000,000,000
N/A
12/30/2009
3,000,000,000
N/A
12/30/2010
Partial conversion of preferred
$
stock for common stock
5,500,000,000
N/A
26
$
2,667,000,000
N/A
27 GMAC (Ally)
$
884,024,131
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
Treasury Investment After Exchange/Transfer/Other
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
$
13,400,000,000
N/A
$
2,000,000,000
N/A
Description
GMAC (Ally)
21, 22
GMAC (Ally)
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
General
Motors
General Motors
Corporation
Debt Obligation w/ Additional
$
Note
4,000,000,000
Par
5
7/10/2009
Exchange for preferred and
common stock in New GM
$
4,000,000,000
6/3/2009
1/16/2009
Farmington
Hills, MI
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
Type
11/20/2013 Disposition 38
1/23/2014 Partial Disposition40
3/2/2011 Disposition 28
Amount/ Proceeds
Remaining
Investment
Description
Remaining
Investment
Amount/Equity %
$
5,925,000,000
N/A
$
3,023,750,000
Common Stock
$
2,667,000,000
N/A
$
2,139,406,778
N/A
$
$
0
36.96%
0
3
10, 11,
25
Common Stock
7
General Motors
Holdings LLC
11, 12 Debt Obligation
12/15/2010 Repayment
$
11/18/2010 Partial Disposition 25
$
11,743,303,903 Common Stock
36.9%
0
11/26/2010 Partial Disposition 25
$
1,761,495,577 Common Stock
32.04%
12/21/2012 Partial Disposition 33
$
5,500,000,000 Common Stock
21.97%
4/11/2013
Partial Disposition 34
$
1,637,839,844 Common Stock
17.69%
6/12/2013
Partial Disposition
35
$
1,031,700,000 Common Stock
13.80%
9/13/2013
Partial Disposition 36
$
3,822,724,832 Common Stock
7.32%
11/20/2013 Partial Disposition 37
$
2,563,441,956 Common Stock
2.24%
12/9/2013
Partial Disposition 39
$
1,208,249,982 Common Stock
7/10/2009
Partial Repayment
$
360,624,198 Debt Obligation
$
6,711,864,407
12/18/2009 Partial Repayment
$
1,000,000,000 Debt Obligation
$
5,711,864,407
1/21/2010
Partial Repayment
$
35,084,421 Debt Obligation
$
5,676,779,986
3/31/2010
Partial Repayment
$
1,000,000,000 Debt Obligation
$
4,676,779,986
4/20/2010
Repayment
$
4,676,779,986
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
60.8%
Detroit, MI
5/27/2009
Chrysler
FinCo
Purchase
Date
1
7
7
5/20/2009
Payment or Disposition
$
7,072,488,605
N/A
0.00%
$
0
9
9
9 Motors Liquidation
Company
29
Debt Obligation
$
985,805,085
1/9/2013
Partial Repayment
3/17/2009
Partial Repayment
4/17/2009
Partial Repayment
5/18/2009
Partial Repayment
6/17/2009
Partial Repayment
$
3,499,055
$
31,810,122
$
$
51,136,084
44,357,710
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
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
$
1,413,554,739
$
1,369,197,029
59
1/2/2009
Chrysler Holding
Purchase
Chrysler Holding
Purchase
Chrysler Holding
5/1/2009
Purchase
Old Chrysler
5/20/2009
Purchase
Old Chrysler
4/29/2009
4/29/2009
Chrysler
Purchase
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
$
4,000,000,000
$
-
$
280,130,642
$
1,888,153,580
$
-
Par
Par
6/10/2009
$
500,000,000
N/A
19
Chrysler Holding
20
Debt obligation w/
additional note
$
3,500,000,000
15
4/30/2010
17
Completion of bankruptcy
$
proceeding; transfer of
collateral security to liquidation
trust
(1,888,153,580)
N/A
23 Old Carco
Liquidation Trust
23
Right to recover
proceeds
N/A
Auburn Hills,
MI
5/27/2009
Purchase
New Chrysler
Debt Obligation w/ Additional
Note, Zero Coupon Note,
$
Equity
18
6,642,000,000
N/A
6/10/2009
Issuance of equity in New
Chrysler
$
-
N/A
Chrysler Group
LLC
Chrysler Group
LLC
Total Initial Investment Amount $
Repayment
$
1,369,197,029
Repayment*
$
15,000,000
N/A
-
5/14/2010
Termination and settlement
20
payment
$
1,900,000,000
N/A
-
7/10/2009
Repayment
$
280,130,642
N/A
5/10/2010
Proceeds from sale of collateral
$
30,544,528
9/9/2010
Proceeds from sale of collateral
$
12/29/2010 Proceeds from sale of collateral
$
7,844,409
Right to recover
proceeds
N/A
4/30/2012
Proceeds from sale of collateral
$
9,302,185
Right to recover
proceeds
N/A
5/24/2011
Repayment - Principal
$
5,076,460,000
14
16
-
Transfer of debt to New
Chrysler
7/14/2009
7/14/2009
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%
31
Additional Note
$
$
Right to recover
proceeds
Right to recover
9,666,784
proceeds
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 $
50,681,433,962
Additional Proceeds * $
403,000,000
N/A
0
0
N/A
N/A
$
N/A
0
-
25,109,805,009
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.
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.
60
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.
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
Repayment
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
4
Remaining Investment
Description
Amount
Debt Obligation w/ Additional Note
$
140,000,000
Debt Obligation w/ Additional Note
$
100,000,000
5
Additional Note
$
50,000,000
None
$
56,541,893
5
Additional Note
None
$
$
123,076,735
44,533,054
$
101,074,947
6
4/5/2010
Payment
3/9/2010
4/7/2010
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.
61
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.
62
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
Capital Repayment
Amount
2
Remaining
Capital Amount
Remaining Capital
Description
Final Disposition
Final
Disposition
Description
Final Disposition Date 3
Final Disposition
Proceeds
$
20,000,000,000
$
0
Warrants
1/25/2011
A
Warrants
$
190,386,428
$
20,000,000,000
$
0
Warrants
3/3/2010
A
Warrants
$
1,236,804,513
$
40,000,000,000
$
1,427,190,941
2
AMOUNT
TOTAL TREASURY TIP INVESTMENT AMOUNT
$
Total Warrant Proceeds
0
1/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual
Preferred Stock, Series I (TIP Shares) “dollar for dollar” for Trust Preferred Securities.
2/ Repayment pursuant to Title VII, Section 7001 of the American Recovery and Reinvestment Act of 2009.
3/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution, and "A" represents the proceeds to Treasury, after underwriting fees, from a sale by Treasury in a registered public offering of the warrants issued by the financial institution.
ASSET GUARANTEE PROGRAM
Initial Investment
Footnote
1
Date
Seller
Name of Institution
1/16/2009 Citigroup Inc.
12/23/2009 Citigroup Inc.
City
New York
New York
State
NY
NY
Type
Guarantee
Termination
Exchange/Transfer/Other Details
Premium
Description
Master Agreement
Termination Agreement
Guarantee Limit
$
$
5,000,000,000
$
Preferred Stock
w/ Warrants
Amount
$
Payment or Disposition
Date
2
6/9/2009
Exchange preferred stock
Trust Preferred
for trust preferred securities Securities w/ Warrants
$
4,034,000,000
4
9/29/2010
Exchange trust preferred
Trust Preferred
securities for trust preferred
Securities w/ Warrants
securities
$
2,246,000,000
4,034,000,000
Type
Description
Footnote
Amount
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.
63
AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM
(formerly referred to as Systemically Significant Failing Institutions Program)
Purchase Details
Seller
Name of Institution
Note
Date
1
11/25/2008
AIG
2, 3
4/17/2009
AIG
Exchange/Transfer Details
State
Transaction
Type
New York
NY
Purchase
Preferred Stock w/ Warrants
(Series D)
$
40,000,000,000
Par
New York
NY
Purchase
Preferred Stock w/ Warrants
(Series F)
$
29,835,000,000
Par
City
Investment Description
Pricing Mechanism
Investment Amount
2
Date
Transaction Type
4/17/2009
Exchange
Pricing
Mechanism
Amount
Investment Description
Preferred Stock w/ Warrants
(Series E)
1
$
40,000,000,000
Par
See table below for exchange/transfer details in connection with the recapitalization conducted on 1/14/2011.
Final Disposition
TOTAL
$
69,835,000,000
Date
Investment
Transaction Type
3/1/2013
Warrants (Series D)
Repurchase
$
25,150,923.10
3/1/2013
Warrants (Series F)
Repurchase
$
5,767.50
Total Warrant Proceeds
$
Proceeds
25,156,690.60
1/ On 4/17/2009, Treasury exchanged its Series D Fixed Rate Cumulative Preferred Shares for Series E Fixed Rate Non-Cumulative Preferred Shares with no change to Treasury's initial investment amount. In addition, in order for AIG to fully redeem the Series E Preferred Shares, it had an additional obligation to Treasury of $1,604,576,000 to reflect the
cumulative unpaid dividends for the Series D Preferred Shares due to Treasury through and including the exchange date.
2/ The investment amount reflected Treasury's commitment to invest up to $30 billion less a reduction of $165 million representing retention payments AIG Financial Products made to its employees in March 2009.
3/ This transaction does not include AIG's commitment fee of an additional $165 million paid from its operating income over the life of the facility. A $55 million payment was received by Treasury on 12/17/2010. The remaining $110 million payment was received by Treasury on 05/27/2011.
AIG POST-RECAPITALIZATION
Treasury Holdings Post-Recapitalization
Recapitalization
Note
Date
Investment Description
Transaction Type
Pricing Mechanism
Exchange
Par
Investment Description
Preferred Stock (Series G)
AIA Preferred Units
4
1/14/2011
Preferred Stock (Series F)
Exchange
Final Disposition
Date
Amount / Shares
$
$
2,000,000,000
16,916,603,568
7
N/A
ALICO Junior Preferred Interests
Exchange
$
3,375,328,432
167,623,733
7
1/14/2011
Preferred Stock (Series E)
Exchange
924,546,133
N/A
6
1/14/2011
Common Stock (non-TARP)
Transfer
Common Stock
562,868,096
Proceeds
Pricing Mechanism
5/27/2011
Cancellation
$
2/14/2011
Payment
$
185,726,192
-
N/A
3/8/2011
Payment
$
5,511,067,614
Par
Payment
$
55,833,333
Par
8/17/2011
Payment
$
97,008,351
Par
8/18/2011
Payment
$
2,153,520,000
Par
9/2/2011
Payment
$
55,885,302
Par
11/1/2011
Payment
$
971,506,765
Par
3/8/2012
Payment
$
5,576,121,382
Par
3/15/2012
Payment
$
1,521,632,096
Par
3/22/2012
Payment
$
1,493,250,339
Par
2/14/2011
Payment
$
2,009,932,072
Par
3/8/2011
Payment
$
1,383,888,037
Par
3/15/2012
Payment
$
44,941,843
Par
5/24/2011
Partial Disposition
$
5,800,000,000
N/A
Partial Disposition
$
6,000,000,008
N/A
5/6/2012
Partial Disposition
$
4,999,999,993
N/A
5/7/2012
Partial Disposition
$
749,999,972
N/A
8/3/2012
Partial Disposition
$
4,999,999,993
N/A
8/6/2012
Partial Disposition
$
750,000,002
N/A
9/10/2012
Partial Disposition
$
17,999,999,973
Remaining Recap
Investment Amount,
Shares, or Equity %
$
0
10
$
0
8
$
0
8
Par
3/15/2011
3/8/2012
5
Transaction Type
8
N/A
9/11/2012
Partial Disposition
$
2,699,999,965
N/A
12/14/2012
Final Disposition
$
7,610,497,570
N/A
1,455,037,962
9
77%
1,248,141,410
11
70%
1,084,206,984
12
63%
1,059,616,821
12
61%
895,682,395
13
55%
871,092,231
13
53%
317,246,078
14
22%
234,169,156
14
16%
234,169,156
15
0%
Footnotes appear on following page.
64
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.
65
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 5
Description
Amount
2/6/2013
Principal Repayment
$
100,000,000
2/6/2013
3/6/2013
4/4/2013
5/6/2013
6/6/2013
7/5/2013
8/6/2013
9/6/2013
10/4/2013
11/6/2013
12/5/2013
1/7/2014
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
$
674,256,229
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.
66
CREDIT MARKET PROGRAMS
SBA 7a SECURITIES PURCHASE PROGRAM
Purchase Details
Date
3/19/2010
3/19/2010
3/19/2010
4/8/2010
4/8/2010
5/11/2010
5/11/2010
5/11/2010
5/25/2010
5/25/2010
6/17/2010
6/17/2010
7/14/2010
7/14/2010
7/14/2010
7/29/2010
7/29/2010
8/17/2010
8/17/2010
8/17/2010
8/31/2010
8/31/2010
8/31/2010
9/14/2010
9/14/2010
9/14/2010
9/14/2010
9/28/2010
9/28/2010
9/28/2010
9/28/2010
1
Investment Description
Floating Rate SBA 7a security due 2025
Floating Rate SBA 7a security due 2022
Floating Rate SBA 7a security due 2022
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2016
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2035
Floating Rate SBA 7a security due 2033
Floating Rate SBA 7a security due 2029
Floating Rate SBA 7a security due 2033
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2025
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2017
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2019
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2024
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2021
Floating Rate SBA 7a security due 2029
Floating Rate SBA 7a security due 2026
Floating Rate SBA 7a security due 2035
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2035
Total Purchase Face Amount
Settlement Details
Purchase Face
3
Amount
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
4,070,000
7,617,617
8,030,000
23,500,000
8,900,014
10,751,382
12,898,996
8,744,333
8,417,817
17,119,972
34,441,059
28,209,085
6,004,156
6,860,835
13,183,361
2,598,386
9,719,455
8,279,048
5,000,000
10,000,000
9,272,482
10,350,000
6,900,000
8,902,230
8,050,000
5,750,000
5,741,753
3,450,000
11,482,421
13,402,491
14,950,000
$
332,596,893
Pricing Mechanism
TBA or
PMF3
Investment Amount
Settlement Date
107.75
109
108.875
110.502
107.5
106.806
109.42
110.798
110.125
109.553
110.785
112.028
106.625
108.505
111.86
108.4375
106.75
110.198
110.088
110.821
110.515
112.476
105.875
111.584
110.759
106.5
110.5
110.875
113.838
113.9
114.006
-
3/24/2010
3/24/2010
3/24/2010
5/28/2010
4/30/2010
6/30/2010
6/30/2010
6/30/2010
7/30/2010
7/30/2010
8/30/2010
8/30/2010
9/30/2010
9/30/2010
9/30/2010
9/30/2010
10/29/2010
9/30/2010
10/29/2010
10/29/2010
9/29/2010
10/29/2010
11/30/2010
10/29/2010
11/30/2010
11/30/2010
11/30/2010
11/30/2010
12/30/2010
11/30/2010
12/30/2010
TOTAL INVESTMENT AMOUNT
2,
3
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Senior Security
Proceeds 4
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2,184
4,130
4,348
12,983
4,783
5,741
7,057
4,844
4,635
9,377
19,077
15,801
3,200
3,722
7,373
1,408
5,187
4,561
2,752
5,541
5,123
5,820
3,652
4,966
4,458
3,061
3,172
1,912
6,535
7,632
8,521
Total Senior Security Proceeds $
183,555
$
4,377,249
8,279,156
8,716,265
26,041,643
9,598,523
11,511,052
14,151,229
9,717,173
9,294,363
18,801,712
38,273,995
31,693,810
6,416,804
7,462,726
14,789,302
2,826,678
10,394,984
9,150,989
5,520,652
11,115,031
10,277,319
11,672,766
7,319,688
9,962,039
8,940,780
6,134,172
6,361,173
3,834,428
13,109,070
15,308,612
17,092,069
TBA or
PMF3
-
Final Disposition
368,145,452
Purchase Face
Amount 3
6
Trade Date
PMF
6/21/2011
10/19/2011
6/21/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
9/20/2011
6/21/2011
9/20/2011
6/21/2011
10/19/2011
6/21/2011
1/24/2012
6/21/2011
9/20/2011
10/19/2011
10/19/2011
9/20/2011
10/19/2011
1/24/2012
1/24/2012
1/24/2012
1/24/2012
1/24/2012
10/19/2011
1/24/2012
10/19/2011
1/24/2012
-
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
4,070,000
7,617,617
8,030,000
23,500,000
8,900,014
10,751,382
12,898,996
8,744,333
8,417,817
17,119,972
34,441,059
28,209,085
6,004,156
6,860,835
13,183,361
2,598,386
9,719,455
8,279,048
5,000,000
10,000,000
9,272,482
10,350,000
6,900,000
8,902,230
8,050,000
5,750,000
5,741,753
3,450,000
11,482,421
13,402,491
14,950,000
Life-to-date
Principal Received
Current Face
Amount 6, 8
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Disposition
Amount 5, 6
1, 8
3,151,186
5,891,602
5,964,013
22,350,367
6,542,218
9,819,270
12,570,392
8,483,188
8,171,159
15,030,712
32,656,125
25,930,433
5,656,049
6,520,875
12,704,841
1,903,407
9,531,446
6,425,217
4,580,543
9,030,539
8,403,846
10,099,555
6,236,800
7,503,681
7,053,867
5,473,724
4,307,881
3,367,168
10,592,775
12,963,737
14,562,161
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
902,633
1,685,710
2,022,652
1,149,633
2,357,796
932,112
328,604
261,145
246,658
2,089,260
1,784,934
2,278,652
348,107
339,960
478,520
694,979
188,009
1,853,831
419,457
969,461
868,636
250,445
663,200
1,398,549
996,133
276,276
1,433,872
82,832
889,646
438,754
387,839
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
3,457,746
6,462,972
6,555,383
25,039,989
7,045,774
10,550,917
13,886,504
9,482,247
8,985,818
16,658,561
36,072,056
29,142,474
6,051,772
7,105,304
14,182,379
2,052,702
10,223,264
7,078,089
5,029,356
9,994,806
9,230,008
11,314,651
6,556,341
8,269,277
7,703,610
5,764,858
4,693,918
3,698,411
11,818,944
14,433,039
16,383,544
Disposition Proceeds
$
334,924,711
TOTAL PROGRAM PROCEEDS TO DATE7 $
376,748,302
1/ The amortizing principal and interest payments are reported on the monthly Dividends and Interest Report available at www.FinancialStability.gov.
2/ Investment Amount is stated after applying the appropriate month's factor and includes accrued interest paid at settlement, if applicable.
3/ If a purchase is listed as TBA, or To-Be-Announced, the underlying loans in the SBA Pool have yet to come to market, and the TBA pricing mechanism, purchase face amount, investment amount and senior security proceeds will be adjusted within the variance permitted under the program terms. If a purchase
is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security and senior security are priced according to the prior-month's factor. The PMF investment amount and senior security proceeds will be adjusted after publication of the
applicable month's factor (on or about the 11th business day of each month).
4/ In order to satisfy the requirements under Section 113 of the Emergency Economic Stabilization Act of 2008, Treasury will acquire a senior indebtedness instrument (a Senior Security) from the seller of each respective SBA 7a Security. Each Senior Security will (i) have an aggregate principal amount equal to
the product of (A) 0.05% and (B) the Investment Amount (excluding accrued interest) paid by Treasury for the respective SBA 7a Security, and (ii) at the option of the respective seller, may be redeemed at par value immediately upon issuance, or remain outstanding with the terms and conditions as set forth in the
Master Purchase Agreement.
5/ Disposition Amount is stated after applying the appropriate month's factor and includes accrued interest received at settlement, if applicable. If the disposition is listed as PMF, the disposition amount will be adjusted after publication of the applicable month's factor.
6/ If a disposition is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security is priced according to the prior-month's factor. The PMF disposition amount will be adjusted after publication of the applicable month's factor (on or about
the 11th business day of each month).
7/ Total Program Proceeds To Date includes life-to-date disposition proceeds, life-to-date principal received, life-to-date interest received, and senior security proceeds (excluding accruals).
8/ The sum of Current Face Amount and Life-to-date Principal Received will equal Purchase Face Amount for CUSIPs that were originally purchased as TBAs only after the applicable month's factor has been published and trailing principal & interest payments have been received.
67
CREDIT MARKET PROGRAMS
LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)
Final Investment
Preliminary Adjusted
Seller
Footnote
Date
1
9/30/2009
2
1
9/30/2009
9/30/2009
Name of Institution
UST/TCW Senior Mortgage Securities Fund, L.P.
UST/TCW Senior Mortgage Securities Fund, L.P.
Invesco Legacy Securities Master Fund, L.P.
Commitment
City
Wilmington
Wilmington
Wilmington
Transaction
Type
State
DE
DE
DE
Purchase
Purchase
Purchase
Commitment
Amount
Investment Description
Membership Interest
Debt Obligation w/ Contingent Proceeds
Membership Interest
$
$
$
1,111,111,111
2,222,222,222
1,111,111,111
Pricing
Mechanism
Date
Par
1/4/2010
Par
Par
1/4/2010
3
Amount
4 $
4 $
3/22/2010 6 $
156,250,000
200,000,000
1,244,437,500
Final Commitment Amount
Date
1/4/2010
1/4/2010
7/16/2010
7
Amount
Amount
4 $
4 $
$
156,250,000
200,000,000
856,000,000
9
Amount
$
$
$
156,250,000
200,000,000
580,960,000
Capital Repayment Details
Repayment
Date
1/15/2010
9/30/2009
Invesco Legacy Securities Master Fund, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
9/26/2011 8 $
1,161,920,000
$
1,161,920,000
Repayment Amount
$
156,250,000
Amount
$
1/11/2010
$
34,000,000
$
1/12/2010
$
166,000,000
$
Description
0
0
$
578,515,653 Membership Interest
4/15/2010
$
3,533,199
$
574,982,454 Membership Interest
9/15/2010
$
30,011,187
$
544,971,267 Membership Interest
11/15/2010
$
66,463,982
$
478,507,285 Membership Interest
12/14/2010
$
15,844,536
$
462,662,749 Membership Interest
1/14/2011
$
13,677,726
$
448,985,023 Membership Interest
2/14/2011
$
48,523,845
$
400,461,178 Membership Interest
3/14/2011
$
68,765,544
$
331,695,634 Membership Interest
4/14/2011
$
77,704,254
$
253,991,380 Membership Interest
5/20/2011
$
28,883,733
$
225,107,647 Membership Interest
6/14/2011
$
9,129,709
$
215,977,938 Membership Interest
7/15/2011
$
31,061,747
$
184,916,192 Membership Interest
8/12/2011
$
10,381,214
$
174,534,977 Membership Interest
10/17/2011
$
6,230,731
$
168,304,246 Membership Interest
12/14/2011
$
1,183,959
$
167,120,288 Membership Interest
1/17/2012
$
1,096,185
$
166,024,103 Membership Interest
2/14/2012
$
1,601,688
$
164,422,415 Membership Interest
3/14/2012
$
3,035,546
$
161,386,870 Membership Interest
2/18/2010
$
4/15/2010
9/15/2010
$
4,888,718
$
$
7,066,434
$
$
60,022,674
$
11/15/2010
$
132,928,628
$
12/14/2010
$
31,689,230
$
1/14/2010
$
27,355,590
$
2/14/2011
$
92,300,138
$
3/14/2011
$
128,027,536
$
4/14/2011
$
155,409,286
$
5/20/2011
$
75,085,485
$
6/14/2011
$
18,259,513
$
7/15/2011
$
62,979,809
$
8/12/2011
$
20,762,532
$
10/17/2011
$
37,384,574
$
Proceeds
5
Distribution
2/24/2010
Final Distribution
1/29/2010
Distribution
2/24/2010
Final Distribution
3/29/2012
Distribution
8/9/2012
Distribution
9/28/2012
Final Distribution
6/4/2013
Adjusted Distribution
7/8/2013
Distribution
5
$
20,091,872
$
48,922
0
5
Contingent Proceeds
2,444,347
161,386,870
Description
1/29/2010
Debt Obligation w/ Contingent
166,000,000 Proceeds
$
$
Distribution or Disposition
Date
Membership Interest
2/18/2010
3/29/2012
2
Investment After Capital Repayment
Membership Interest
$
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
5
10
5
5, 13
5, 14
Debt Obligation w/ Contingent
1,157,031,282 Proceeds
Debt Obligation w/ Contingent
1,149,964,848 Proceeds
Debt Obligation w/ Contingent
1,089,942,174 Proceeds
Debt Obligation w/ Contingent
957,013,546 Proceeds
Debt Obligation w/ Contingent
925,324,316 Proceeds
Debt Obligation w/ Contingent
897,968,726 Proceeds
Debt Obligation w/ Contingent
805,668,588 Proceeds
Debt Obligation w/ Contingent
677,641,052 Proceeds
Debt Obligation w/ Contingent
522,231,766 Proceeds
Debt Obligation w/ Contingent
447,146,281 Proceeds
Debt Obligation w/ Contingent
428,886,768 Proceeds
Debt Obligation w/ Contingent
365,906,960 Proceeds
Debt Obligation w/ Contingent
345,144,428 Proceeds
Debt Obligation w/ Contingent
307,759,854 Proceeds
68
Preliminary Adjusted
Seller
Footnote
Date
Name of Institution
Commitment
City
Transaction
Type
State
Commitment
Amount
Investment Description
Pricing
Mechanism
Date
3
Amount
Final Investment
Final Commitment Amount
Date
7
Amount
Amount
9
Amount
Capital Repayment Details
Repayment
Date
10/1/2009
Wellington Management Legacy Securities PPIF Master Fund, LP
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,262,037,500
7/16/2010
$
1,149,487,000
$
1,149,487,000
Repayment Amount
Amount
12/14/2011
$
7,103,787
$
1/17/2012
$
6,577,144
$
2/14/2012
$
9,610,173
$
3/14/2012
1
Investment After Capital Repayment
$
284,468,750
$
Description
Distribution or Disposition
Date
1
10/1/2009
10/2/2009
Wellington Management Legacy Securities PPIF Master Fund, LP
AllianceBernstein Legacy Securities Master Fund, L.P.
Wilmington
Wilmington
DE
DE
Purchase
Purchase
Debt Obligation w/ Contingent Proceeds
Membership Interest
$
$
2,222,222,222
1,111,111,111
Par
Par
3/22/2010 6 $
3/22/2010 6 $
2,524,075,000
1,244,437,500
7/16/2010
7/16/2010
$
$
2,298,974,000
1,150,423,500
$
$
2,298,974,000
0
Contingent Proceeds
7/16/2012
$
62,499,688
$
1,086,987,313 Membership Interest
9/17/2012
$
152,499,238
$
934,488,075 Membership Interest
1/15/2013
$
254,581,112
$
679,906,963 Membership Interest
2/13/2013
$
436,447,818
$
243,459,145 Membership Interest
3/13/2013
$
243,459,145
$
1,064,141,738
6/26/2012
$
125,000,000
$
9/17/2012
$
305,000,000
$
12/6/2012
$
800,000,000
$
12/21/2012
$
630,000,000
$
1/15/2013
$
97,494,310
$
1/24/2013
$
341,479,690
$
0
Membership Interest
Distribution
9/28/2012
Final Distribution
6/4/2013
Adjusted Distribution
7/8/2013
Distribution
3/13/2013
Distribution
10
10
10
7,118,388 $
1,049,550,694 Membership Interest
10
$
39,999,800 $
1,009,550,894 Membership Interest
10
6/14/2012
$
287,098,565 $
722,452,330 Membership Interest
10
7/16/2012
$
68,749,656 $
653,702,674 Membership Interest
10
8/14/2012
$
361,248,194 $
292,454,480 Membership Interest
10
$
5/14/2012
8/30/2012
2
10/2/2009
AllianceBernstein Legacy Securities Master Fund, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
7/16/2010
$
2,300,847,000 12 $
2,128,000,000
- Contingent Proceeds
1,063,385,410 Membership Interest
4/14/2011
$
5/16/2011
$
6/14/2011
5/3/2012
292,454,480
$
30,244,575
$
$
88,087
$
$
80,000,000
$
5/14/2012
$
30,000,000
$
5/23/2012
$
500,000,000
$
6/14/2012
$
44,200,000
$
6/25/2012
$
120,000,000
$
7/16/2012
$
17,500,000
$
7/27/2012
$
450,000,000
$
40,556
5, 13
5, 14
$
469
$
1,735
$
1,611
Distribution
$
479,509,240
$
2,802,754
5
5, 11
Debt Obligation w/ Contingent
2,173,974,000 Proceeds
Debt Obligation w/ Contingent
1,868,974,000 Proceeds
Debt Obligation w/ Contingent
1,068,974,000 Proceeds
Debt Obligation w/ Contingent
438,974,000 Proceeds
Debt Obligation w/ Contingent
341,479,690 Proceeds
1,056,669,083 Membership Interest
$
5
10
712,284 $
$
3/14/2011
3,434,460
10
6,716,327 $
2/14/2011
44,043 $
$
$
5
10
10
$
5
Distribution
8/9/2012
10
1,064,097,694 Membership Interest
1/15/2010
Proceeds
3/29/2012
7/11/2013
2
Description
Debt Obligation w/ Contingent
300,656,067 Proceeds
Debt Obligation w/ Contingent
294,078,924 Proceeds
Debt Obligation w/ Contingent
284,468,750 Proceeds
- Membership Interest
10
4/17/2013
Distribution
7/11/2013
Distribution
8/30/2012
Distribution
9/12/2012
Distribution
9/19/2012
Distribution
5, 11
5, 11
5, 11
5, 11
5, 11
5, 11
10/1/2012
Distribution
12/21/2012
Distribution
8/13/2013
Distribution Refund
5, 11
$
16,195,771
$
69,932
$
75,278,664
$
79,071,633
$
106,300,357
$
25,909,972
$
678,683
$
(18,405)
Debt Obligation w/ Contingent
2,097,755,425 Proceeds
Debt Obligation w/ Contingent
2,097,667,339 Proceeds
Debt Obligation w/ Contingent
2,017,667,339 Proceeds
Debt Obligation w/ Contingent
1,987,667,339 Proceeds
Debt Obligation w/ Contingent
1,487,667,339 Proceeds
Debt Obligation w/ Contingent
1,443,467,339 Proceeds
Debt Obligation w/ Contingent
1,323,467,339 Proceeds
Debt Obligation w/ Contingent
1,305,967,339 Proceeds
Debt Obligation w/ Contingent
855,967,339 Proceeds
69
Preliminary Adjusted
Seller
Footnote
1
2
1
Date
10/2/2009
10/2/2009
Name of Institution
Blackrock PPIF, L.P.
Blackrock PPIF, L.P.
10/30/2009 AG GECC PPIF Master Fund, L.P.
Commitment
City
Wilmington
Wilmington
Wilmington
Transaction
Type
State
DE
DE
DE
Purchase
Purchase
Purchase
Commitment
Amount
Investment Description
Membership Interest
Debt Obligation w/ Contingent Proceeds
Membership Interest
$
$
$
1,111,111,111
2,222,222,222
1,111,111,111
Pricing
Mechanism
Par
Par
Par
Date
3/22/2010 6 $
3/22/2010 6 $
3/22/2010 6 $
3
Amount
1,244,437,500
2,488,875,000
1,271,337,500
Final Investment
Final Commitment Amount
Date
7/16/2010
7/16/2010
7/16/2010
7
Amount
Amount
$
$
$
694,980,000
1,389,960,000
1,243,275,000
9
Amount
$
$
$
528,184,800
1,053,000,000
1,117,399,170
Capital Repayment Details
Repayment
Date
10/30/2009 AG GECC PPIF Master Fund, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,542,675,000
7/16/2010
$
2,486,550,000
$
2,234,798,340
Repayment Amount
Amount
8/14/2012
$
272,500,000
$
8/22/2012
$
583,467,339
$
8/14/2012
$
90,269,076
$
Description
437,915,724 Membership Interest
$
8,833,632
$
429,082,092 Membership Interest
$
10,055,653
$
419,026,439 Membership Interest
11/5/2012
$
419,026,439
$
$
175,000,000
$
8/14/2012
8/31/2012
$
5,539,055
$
$
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/ Contingent
878,000,000 Proceeds
Debt Obligation w/ Contingent
872,460,945 Proceeds
Debt Obligation w/ Contingent
856,460,945 Proceeds
Debt Obligation w/ Contingent
854,793,592 Proceeds
Debt Obligation w/ Contingent
819,793,592 Proceeds
Debt Obligation w/ Contingent
794,459,374 Proceeds
$
6,862,425
Description
10
- Membership Interest 10
2/14/2012
$
Date
- Contingent Proceeds
9/17/2012
7/31/2012
Distribution or Disposition
Debt Obligation w/ Contingent
583,467,339 Proceeds
10/15/2012
2/21/2013
2
Investment After Capital Repayment
5, 11
5, 11
$
8,289,431
$
1,433,088
$
141,894
$
184,431,858
10
10
10
10
10
10
10
10
10
10
10
- Membership Interest 10
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/ Contingent
2,060,598,340 Proceeds
Debt Obligation w/ Contingent
1,861,673,340 Proceeds
Debt Obligation w/ Contingent
1,711,673,340 Proceeds
Debt Obligation w/ Contingent
1,674,173,340 Proceeds
Debt Obligation w/ Contingent
1,537,373,340 Proceeds
Debt Obligation w/ Contingent
1,287,373,340 Proceeds
Debt Obligation w/ Contingent
806,023,340 Proceeds
Debt Obligation w/ Contingent
531,433,016 Proceeds
70
Preliminary Adjusted
Seller
Footnote
1
Date
11/4/2009
Name of Institution
RLJ Western Asset Public/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 Investment
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 Public/Private Master Fund, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
7/16/2010
$
1,241,156,516
$
1,241,000,000
11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,244,437,500
7/16/2010
$
474,550,000
$
474,550,000
147,534,295
$
1/15/2013
$
182,823,491
$
2/14/2013
$
201,075,230
$
11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
7/16/2010
$
949,100,000
$
949,000,000
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
30,369,198
$
9/17/2012
$
149,000,000
$
11/15/2012
$
119,575,516
$
11/20/2012
$
195,000,000
$
12/14/2012
$
47,755,767
$
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
$
164,629,827
$
71,462,104
$
38,536,072
$
29,999,850
$
3,999,980
$
5,707,723
$
7,143,340
Debt Obligation w/ Contingent
1,227,468,470 Proceeds
Debt Obligation w/ Contingent
608,718,470 Proceeds
Debt Obligation w/ Contingent
457,712,297 Proceeds
Debt Obligation w/ Contingent
446,703,645 Proceeds
Debt Obligation w/ Contingent
286,210,415 Proceeds
Debt Obligation w/ Contingent
182,503,579 Proceeds
Debt Obligation w/ Contingent
161,866,170 Proceeds
9/17/2012
$
Distribution or Disposition
Debt Obligation w/ Contingent
383,898,721 Proceeds
Debt Obligation w/ Contingent
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
Debt Obligation w/ Contingent
800,000,000 Proceeds
Debt Obligation w/ Contingent
680,424,484 Proceeds
Debt Obligation w/ Contingent
485,424,484 Proceeds
Debt Obligation w/ Contingent
437,668,717 Proceeds
Debt Obligation w/ Contingent
375,212,503 Proceeds
5, 11
71
Preliminary Adjusted
Seller
Footnote
Date
Name of Institution
Commitment
City
Transaction
Type
State
Commitment
Amount
Investment Description
Pricing
Mechanism
Date
3
Amount
Final Investment
Final Commitment Amount
Date
7
Amount
Amount
9
Amount
Capital Repayment Details
Repayment
Date
1/24/2013
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
72
Preliminary Adjusted
Seller
Footnote
2
Date
Name of Institution
12/18/2009 Oaktree PPIP Fund, L.P.
Commitment
City
Wilmington
Transaction
Type
State
DE
Purchase
Commitment
Amount
Investment Description
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Pricing
Mechanism
Par
Date
3
Amount
3/22/2010 6 $
2,488,875,000
Final Investment
Final Commitment Amount
Date
7/16/2010
7
Amount
Amount
$
9
Amount
2,321,568,200
$
1,111,000,000
Capital Repayment Details
Repayment
Date
$
30,000,000,000
FINAL COMMITMENT AMOUNT
$
Repayment Amount
Amount
Description
7/15/2011
$
79,000,000
$
3/14/2012
$
78,775,901
$
Debt Obligation w/ Contingent
1,032,000,000 Proceeds
Debt Obligation w/ Contingent
953,224,099 Proceeds
9/17/2012
$
44,224,144
$
Debt Obligation w/ Contingent
908,999,956 Proceeds
10/15/2012
$
64,994,269
$
Debt Obligation w/ Contingent
844,005,687 Proceeds
11/15/2012
$
223,080,187
$
Debt Obligation w/ Contingent
620,925,500 Proceeds
12/14/2012
$
111,080,608
$
Debt Obligation w/ Contingent
509,844,892 Proceeds
1/15/2013
$
89,099,906
$
Debt Obligation w/ Contingent
420,744,985 Proceeds
4/12/2013
$
109,610,516
$
Debt Obligation w/ Contingent
311,134,469 Proceeds
5/14/2013
INITIAL COMMITMENT AMOUNT
Investment After Capital Repayment
$
311,134,469
- Contingent Proceeds
Date
Description
5, 11
5/28/2013
Distribution
6/3/2013
Distribution
6/14/2013
Distribution
6/24/2013
Distribution
6/26/2013
Distribution
7/9/2013
Distribution 5, 11
12/12/2013
Final Distribution
5, 11
5, 11
5, 11
5, 11
5, 11
TOTAL DISTRIBUTIONS 5
21,856,403,574
TOTAL CAPITAL REPAYMENT AMOUNT $
$
Distribution or Disposition
Proceeds
$
444,393
$
1,960,289
$
1,375,007
$
700,004
$
293,751
$
1,024,380
$
13,475
$
2,643,315,922
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 equity capital obligations.
2/ The loan may be incrementally funded. Commitment amount represents Treasury's maximum obligation if Treasury and the limited partners other than Treasury fund 100% of their maximum equity obligations.
3/ Adjusted to show Treasury's maximum obligations to a fund.
4/ On 1/4/2010, Treasury and the fund manager entered into a Winding-Up and Liquidation Agreement.
5/ Distributions after capital repayments will be considered profit and are paid pro rata (subject to prior distribution of Contingent Proceeds to Treasury) to the fund's partners, including Treasury, in proportion to their membership interests. These figures exclude pro-rata distributions to Treasury of gross investment proceeds (reported on the Dividends & Interest report), which may be made from time to time in accordance with the terms of the fund's Limited Partnership Agreement.
6/ Following termination of the TCW fund, the $3.33 billion of obligations have been reallocated to the remaining eight funds pursuant to consent letters from Treasury dated as of 3/22/2010. $133 million of maximum equity capital obligation and $267 million of maximum debt obligation were reallocated per fund, after adjustment for the $17.6 million and $26.9 million equity capital reallocations from private investors in the TCW fund to the Wellington fund and the AG GECC fund
The $356 million of final investment in the TCW fund will remain a part of Treasury's total maximum S-PPIP investment amount.
7/ Amount adjusted to show Treasury's final capital commitment (membership interest) and the maximum amount of Treasury's debt obligation that may be drawn down in accordance with the Loan Agreement.
8/ On 09/26/2011, the General Partner notified Treasury that the Investment Period was terminated in accordance with the Limited Partnership Agreement. As a result, the Final Investment Amount, representing Treasury's debt obligation, has been reduced to the cumulative amount of debt funded.
9/ Cumulative capital drawn at end of the Investment Period.
10/ The Amount is adjusted to reflect pro-rata equity distributions that have been deemed to be capital repayments to Treasury.
11/ Distribution represents a gain on funded capital and is subject to revision pending any additional fundings of the outstanding commitment.
12/ On 08/23/2012, AllianceBernstein agreed to de-obligate its unused debt commitment. The Final Investment Amount represents the cumulative capital drawn as of the de-obligation.
13/ On, 6/5/2013, Invesco Mortgage Recovery Master Fund L.P. made a distribution to Treasury that is the result of adjustments made to positions previously held by the Invesco Legacy Securities Master Fund, L.P. “Partnership”, of which The U.S. Department of the Treasury is a Limited Partner. The adjusted distribution was made 18 months after the Final Distribution on 9/28/2012.
73
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Transactions Report - Housing Programs
For Period Ending January 31, 2014
MAKING HOME AFFORDABLE PROGRAM
Servicer Modifying Borrowers' Loans
Name of Institution
Date
4/13/2009
Adjustment Details
City
Select Portfolio Servicing, Inc.
Salt Lake City
State
Transaction
Type
UT
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
$
1
Pricing
Mechanism
376,000,000
N/A
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
4/13/2009
CitiMortgage, Inc.
O'Fallon
10722
10722
10722
10722
10722
10722
10722
10722
10722
MO
Purchase
Financial Instrument for Home Loan Modifications
$
2,071,000,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
6/12/2009
$
284,590,00 $
121,910,00 $
Reason for Adjustment
9/30/2009
$
12/30/2009
$
131,340,00 $
660,590,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
782,500,000 cap
Updated portfolio data from servicer & HAFA initial
913,840,000 cap
3/26/2010
$
(355,530,000 $
558,310,000 Updated portfolio data from servicer
7/14/2010
$
128,690,00 $
687,000,000 Updated portfolio data from servicer
9/30/2010
$
4,000,00 $
9/30/2010
$
59,807,78 $
11/16/2010
$
(700,000 $
12/15/2010
$
64,400,00 $
814,507,784 Updated portfolio data from servicer
1/6/2011
$
(639 $
814,507,145 Updated portfolio data from servicer
1/13/2011
$
(2,300,000 $
812,207,145 Transfer of cap due to servicing transfer
2/16/2011
$
100,00 $
812,307,145 Transfer of cap due to servicing transfer
3/16/2011
$
3,600,00 $
3/30/2011
$
(735 $
4/13/2011
$
(100,000 $
815,806,410 Transfer of cap due to servicing transfer
5/13/2011
$
400,00 $
816,206,410 Transfer of cap due to servicing transfer
6/16/2011
$
(100,000 $
6/29/2011
$
(6,805 $
816,106,410 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
816,099,605 reallocation
8/16/2011
$
(100,000 $
815,999,605 Transfer of cap due to servicing transfer
9/15/2011
$
(200,000 $
815,799,605 Transfer of cap due to servicing transfer
10/14/2011
$
(100,000 $
815,699,605 Transfer of cap due to servicing transfer
11/16/2011
$
(100,000 $
815,599,605 Transfer of cap due to servicing transfer
1/13/2012
$
200,00 $
815,799,605 Transfer of cap due to servicing transfer
3/15/2012
$
24,800,00 $
840,599,605 Transfer of cap due to servicing transfer
4/16/2012
$
1,900,00 $
842,499,605 Transfer of cap due to servicing transfer
5/16/2012
$
80,00 $
842,579,605 Transfer of cap due to servicing transfer
6/14/2012
$
8,710,00 $
6/28/2012
$
(5,176 $
7/16/2012
$
2,430,00 $
853,714,429 Transfer of cap due to servicing transfer
8/16/2012
$
2,310,00 $
9/27/2012
$
(13,96 $
856,024,429 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
856,010,468 reallocation
10/16/2012
$
126,940,00 $
11/15/2012
$
9,990,00 $
992,940,468 Transfer of cap due to servicing transfer
12/14/2012
$
10,650,00 $
12/27/2012
$
(2,663 $
1,003,590,468 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,003,587,805 reallocation
1/16/2013
$
18,650,00 $
1,022,237,805 Transfer of cap due to servicing transfer
2/14/2013
$
10,290,00 $
1,032,527,805 Transfer of cap due to servicing transfer
3/14/2013
$
4,320,00 $
3/25/2013
$
(10,116 $
1,036,847,805 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,036,837,689 reallocation
4/16/2013
$
840,00 $
1,037,677,689 Transfer of cap due to servicing transfer
5/16/2013
$
1,330,00 $
1,039,007,689 Transfer of cap due to servicing transfer
6/14/2013
$
3,620,00 $
6/27/2013
$
(3,564 $
1,042,627,689 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,042,624,125 reallocation
7/16/2013
$
105,080,00 $
1,147,704,125 Transfer of cap due to servicing transfer
8/15/2013
$
10,00 $
1,147,714,125 Transfer of cap due to servicing transfer
9/16/2013
$
98,610,00 $
9/27/2013
$
(1,54 $
10/15/2013
$
1,280,00 $
11/14/2013
$
15,130,00 $
12/16/2013
$
6,290,00 $
12/23/2013
$
(2,481,77 $
1,269,022,584 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,266,540,807 reallocation
1,268,120,807 Transfer of cap due to servicing transfer
1/16/2014
$
1,580,00 $
6/12/2009
$
(991,580,000 $
9/30/2009
$
1,010,180,00 $
12/30/2009
$
(105,410,000 $
3/26/2010
$
(199,300,000 $
4/19/2010
$
(230,000 $
5/14/2010
$
(3,000,000 $
6/16/2010
$
(12,280,000 $
7/14/2010
$
(757,680,000 $
7/16/2010
$
(7,110,000 $
8/13/2010
$
(6,300,000 $
691,000,000 Initial FHA-HAMP cap and initial FHA-2LP cap
750,807,784 Updated portfolio data from servicer
750,107,784 Transfer of cap due to servicing transfer
815,907,145 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
815,906,410 reallocation
851,289,605 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
851,284,429 reallocation
982,950,468 Transfer of cap due to servicing transfer
1,246,324,125 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,246,322,584 reallocation
1,247,602,584 Transfer of cap due to servicing transfer
1,262,732,584 Transfer of cap due to servicing transfer
1,079,420,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
2,089,600,000 cap
Updated portfolio data from servicer & HAFA initial
1,984,190,000 cap
Updated portfolio data from servicer & 2MP initial
1,784,890,000 cap
Transfer of cap to Service One, Inc. due to
1,784,660,000 servicing transfer
Transfer of cap to Specialized Loan Servicing, LLC
1,781,660,000 due to servicing transfer
Transfer of cap to multiple servicers due to
1,769,380,000 servicing transfer
1,011,700,000 Updated portfolio data from servicer
Transfer of cap to multiple servicers due to
1,004,590,000 servicing transfer
Transfer of cap to multiple servicers due to
998,290,000 servicing transfer
74
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
10722
4/13/2009
Wells Fargo Bank, NA
Des Moines
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
IA
Purchase
Financial Instrument for Home Loan Modifications
$
2,873,000,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
(8,300,000 $
Reason for Adjustment
Transfer of cap to multiple servicers due to
989,990,000 servicing transfer
9/15/2010
$
9/30/2010
$
32,400,00 $
9/30/2010
$
101,287,48 $
10/15/2010
$
(1,400,000 $
11/16/2010
$
(3,200,000 $
1/6/2011
$
(98 $
1/13/2011
$
(10,500,000 $
1,108,576,503 Transfer of cap due to servicing transfer
2/16/2011
$
(4,600,000 $
1,103,976,503 Transfer of cap due to servicing transfer
3/16/2011
$
(30,500,000 $
3/30/2011
$
(1,03 $
4/13/2011
$
100,00 $
1,073,575,472 Transfer of cap due to servicing transfer
5/13/2011
$
(7,200,000 $
1,066,375,472 Transfer of cap due to servicing transfer
6/16/2011
$
(400,000 $
6/29/2011
$
(9,13 $
7/14/2011
$
(14,500,000 $
1,051,466,341 Transfer of cap due to servicing transfer
8/16/2011
$
(1,600,000 $
1,049,866,341 Transfer of cap due to servicing transfer
9/15/2011
$
700,00 $
1,050,566,341 Transfer of cap due to servicing transfer
10/14/2011
$
15,200,00 $
1,065,766,341 Transfer of cap due to servicing transfer
11/16/2011
$
(2,900,000 $
1,062,866,341 Transfer of cap due to servicing transfer
12/15/2011
$
(5,000,000 $
1,057,866,341 Transfer of cap due to servicing transfer
1/13/2012
$
(900,000 $
1,056,966,341 Transfer of cap due to servicing transfer
2/16/2012
$
(1,100,000 $
1,055,866,341 Transfer of cap due to servicing transfer
3/15/2012
$
(1,700,000 $
1,054,166,341 Transfer of cap due to servicing transfer
4/16/2012
$
(600,000 $
1,053,566,341 Transfer of cap due to servicing transfer
5/16/2012
$
(340,000 $
1,053,226,341 Transfer of cap due to servicing transfer
6/14/2012
$
(2,880,000 $
6/28/2012
$
(5,498 $
7/16/2012
$
(298,960,000 $
751,380,843 Transfer of cap due to servicing transfer
7/27/2012
$
263,550,00 $
1,014,930,843 Transfer of cap due to servicing transfer
8/16/2012
$
30,00 $
9/27/2012
$
(12,722 $
10/16/2012
$
(4,020,000 $
1,010,928,121 Transfer of cap due to servicing transfer
11/15/2012
$
(1,460,000 $
1,009,468,121 Transfer of cap due to servicing transfer
12/14/2012
$
(6,000,000 $
12/27/2012
$
(1,916 $
1,003,468,121 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,003,466,205 reallocation
2/14/2013
$
(8,450,000 $
995,016,205 Transfer of cap due to servicing transfer
3/14/2013
$
(1,890,000 $
3/25/2013
$
(6,606 $
993,126,205 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
993,119,599 reallocation
4/16/2013
$
(3,490,000 $
989,629,599 Transfer of cap due to servicing transfer
6/14/2013
$
(3,630,000 $
6/27/2013
$
(2,16 $
985,999,599 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
985,997,438 reallocation
7/16/2013
$
(26,880,000 $
959,117,438 Transfer of cap due to servicing transfer
9/16/2013
$
(12,160,000 $
9/27/2013
$
(610 $
946,957,438 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
946,956,828 reallocation
11/14/2013
$
(38,950,000 $
12/16/2013
$
(8,600,000 $
12/23/2013
$
(769,699 $
1/16/2014
1,022,390,000 Initial FHA-HAMP cap and initial FHA-2LP cap
1,123,677,484 Updated portfolio data from servicer
1,122,277,484 Transfer of cap due to servicing transfer
1,119,077,484 Transfer of cap due to servicing transfer
1,119,076,503 Updated portfolio data from servicer
1,073,476,503 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,073,475,472 reallocation
1,065,975,472 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,065,966,341 reallocation
1,050,346,341 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,050,340,843 reallocation
1,014,960,843 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,014,948,121 reallocation
908,006,828 Transfer of cap due to servicing transfer
899,406,828 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
898,637,129 reallocation
$
(5,360,000 $
6/17/2009
$
(462,990,000 $
9/30/2009
$
65,070,00 $
893,277,129 Transfer of cap due to servicing transfer
12/30/2009
$
1,213,310,00 $
2/17/2010
$
2,050,236,34 $
3/12/2010
$
54,76 $
3/19/2010
$
668,108,89 $
3/26/2010
$
683,130,00 $
7,089,920,000 Updated portfolio data from servicer
7/14/2010
$
(2,038,220,00 $
5,051,700,000 Updated portfolio data from servicer
9/30/2010
$
(287,348,828 $
9/30/2010
$
344,000,00 $
4,764,351,172 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
5,108,351,172 initial RD-HAMP
12/3/2010
$
8,413,22 $
5,116,764,397 Transfer of cap (from Wachovia) due to merger
12/15/2010
$
22,200,00 $
5,138,964,397 Updated portfolio data from servicer
5,138,958,085 Updated portfolio data from servicer
2,410,010,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
2,475,080,000 cap
Updated portfolio data from servicer & HAFA initial
3,688,390,000 cap
Transfer of cap (from Wachovia Mortgage, FSB)
5,738,626,344 due to merger
Transfer of cap (from Wachovia Mortgage, FSB)
5,738,681,110 due to merger
6,406,790,000 Initial 2MP cap
1/6/2011
$
(6,312 $
1/13/2011
$
(100,000 $
5,138,858,085 Transfer of cap due to servicing transfer
3/16/2011
$
(100,000 $
3/30/2011
$
(7,17 $
5,138,758,085 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,138,750,914 reallocation
4/13/2011
$
(9,800,000 $
5,128,950,914 Transfer of cap due to servicing transfer
5/13/2011
$
100,00 $
5,129,050,914 Transfer of cap due to servicing transfer
6/16/2011
$
(600,000 $
6/29/2011
$
(63,856 $
5,128,450,914 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,128,387,058 reallocation
75
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
10423
4/13/2009
GMAC Mortgage, Inc.
Ft. Washington
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
PA
Purchase
Financial Instrument for Home Loan Modifications
$
633,000,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
7/14/2011
$
(2,300,000 $
5,126,087,058 Transfer of cap due to servicing transfer
8/16/2011
$
(1,100,000 $
5,124,987,058 Transfer of cap due to servicing transfer
9/15/2011
$
1,400,00 $
5,126,387,058 Transfer of cap due to servicing transfer
10/14/2011
$
200,00 $
5,126,587,058 Transfer of cap due to servicing transfer
11/16/2011
$
(200,000 $
5,126,387,058 Transfer of cap due to servicing transfer
12/15/2011
$
(200,000 $
5,126,187,058 Transfer of cap due to servicing transfer
1/13/2012
$
(300,000 $
5,125,887,058 Transfer of cap due to servicing transfer
2/16/2012
$
(200,000 $
5,125,687,058 Transfer of cap due to servicing transfer
3/15/2012
$
(1,000,000 $
5,124,687,058 Transfer of cap due to servicing transfer
4/16/2012
$
(800,000 $
5,123,887,058 Transfer of cap due to servicing transfer
5/16/2012
$
(610,000 $
5,123,277,058 Transfer of cap due to servicing transfer
6/14/2012
$
(2,040,000 $
6/28/2012
$
(39,923 $
8/16/2012
$
(120,000 $
9/27/2012
$
(104,11 $
10/16/2012
$
(1,590,000 $
5,119,383,024 Transfer of cap due to servicing transfer
11/15/2012
$
(2,910,000 $
5,116,473,024 Transfer of cap due to servicing transfer
12/14/2012
$
(1,150,000 $
12/27/2012
$
(16,392 $
5,115,323,024 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,115,306,632 reallocation
1/16/2013
$
(3,350,000 $
5,111,956,632 Transfer of cap due to servicing transfer
2/14/2013
$
(820,000 $
5,111,136,632 Transfer of cap due to servicing transfer
3/14/2013
$
(270,000 $
3/25/2013
$
(58,709 $
5,110,866,632 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,110,807,923 reallocation
4/16/2013
$
(40,000 $
5,110,767,923 Transfer of cap due to servicing transfer
5/16/2013
$
(5,320,000 $
5,105,447,923 Transfer of cap due to servicing transfer
6/14/2013
$
(1,260,000 $
6/27/2013
$
(20,596 $
5,104,187,923 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,104,167,327 reallocation
7/16/2013
$
(1,200,000 $
5,102,967,327 Transfer of cap due to servicing transfer
8/15/2013
$
(30,000 $
5,102,937,327 Transfer of cap due to servicing transfer
9/16/2013
$
(10,760,000 $
9/27/2013
$
(6,70 $
10/15/2013
$
(780,000 $
5,091,390,626 Transfer of cap due to servicing transfer
11/14/2013
$
(60,000 $
5,091,330,626 Transfer of cap due to servicing transfer
12/16/2013
$
(860,000 $
12/23/2013
$
(10,569,304 $
1/16/2014
$
(1,990,000 $
5,121,237,058 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,121,197,135 reallocation
5,121,077,135 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,120,973,024 reallocation
5,092,177,327 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,092,170,626 reallocation
5,090,470,626 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,079,901,322 reallocation
5,077,911,322 Transfer of cap due to servicing transfer
6/12/2009
$
384,650,00 $
9/30/2009
$
2,537,240,00 $
1,017,650,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
3,554,890,000 cap
Updated portfolio data from servicer & HAFA initial
1,875,370,000 cap
12/30/2009
$
(1,679,520,00 $
3/26/2010
$
190,180,00 $
5/14/2010
$
1,880,00 $
7/14/2010
$
(881,530,000 $
8/13/2010
$
(3,700,000 $
9/30/2010
$
119,200,00 $
1,182,200,000 Transfer of cap due to servicing transfer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
1,301,400,000 initial 2MP cap
2,065,550,000 Updated portfolio data from servicer
Transfer of cap from Wilshire Credit Corporation
2,067,430,000 due to servicing transfer
1,185,900,000 Updated portfolio data from servicer
9/30/2010
$
216,998,13 $
1,518,398,139 Updated portfolio data from servicer
12/15/2010
$
(500,000 $
1,517,898,139 Updated portfolio data from servicer
1/6/2011
$
(1,734 $
1,517,896,405 Updated portfolio data from servicer
3/16/2011
$
(100,000 $
3/30/2011
$
(2,024 $
4/13/2011
$
(800,000 $
5/13/2011
$
(17,900,000 $
6/29/2011
$
(18,45 $
7/14/2011
$
(200,000 $
1,498,875,924 Transfer of cap due to servicing transfer
8/16/2011
$
3,400,00 $
1,502,275,924 Transfer of cap due to servicing transfer
9/15/2011
$
200,00 $
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
$
2,600,00 $
1,504,075,924 Transfer of cap due to servicing transfer
1/13/2012
$
(1,600,000 $
1,502,475,924 Transfer of cap due to servicing transfer
3/15/2012
$
(400,000 $
1,502,075,924 Transfer of cap due to servicing transfer
4/16/2012
$
(100,000 $
1,501,975,924 Transfer of cap due to servicing transfer
5/16/2012
$
(800,000 $
1,501,175,924 Transfer of cap due to servicing transfer
6/14/2012
$
(990,000 $
6/28/2012
$
(12,463 $
1,500,185,924 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,500,173,461 reallocation
8/16/2012
$
10,00 $
9/27/2012
$
(33,210 $
11/15/2012
$
(1,200,000 $
1,498,950,251 Transfer of cap due to servicing transfer
12/14/2012
$
40,00 $
1,498,990,251 Transfer of cap due to servicing transfer
1,517,796,405 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,517,794,381 reallocation
1,516,994,381 Transfer of cap due to servicing transfer
1,499,094,381 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,499,075,924 reallocation
1,500,183,461 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,500,150,251 reallocation
76
Servicer Modifying Borrowers' Loans
Date
Adjustment Details
Name of Institution
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
10315
4/13/2009
Saxon Mortgage Services, Inc.
Irving
TX
Purchase
Financial Instrument for Home Loan Modifications
$
407,000,000
N/A
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
10458
16
4/13/2009
Chase Home Finance, LLC
Iselin
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
3,552,000,000
N/A
4/16/2009
Ocwen Loan Servicing LLC
West Palm Beach
FL
Purchase
Financial Instrument for Home Loan Modifications
$
659,000,000
N/A
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
2
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
(5,432 $
Updated due to quarterly assessment and
1,498,984,819 reallocation
$
60,00 $
1,499,044,819 Transfer of cap due to servicing transfer
$
(30,000 $
1,499,014,819 Transfer of cap due to servicing transfer
3/14/2013
$
(80,000 $
3/25/2013
$
(19,838 $
1,498,934,819 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,498,914,981 reallocation
6/14/2013
$
30,00 $
6/27/2013
$
(7,105 $
9/16/2013
$
(66,500,000 $
9/27/2013
$
(2,430 $
10/15/2013
$
(197,220,000 $
1,235,215,446 Transfer of cap due to servicing transfer
11/14/2013
$
(30,000 $
1,235,185,446 Transfer of cap due to servicing transfer
12/16/2013
$
(2,230,000 $
12/23/2013
$
(3,902,818 $
1,232,955,446 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,229,052,628 reallocation
1/16/2014
$
(9,350,000 $
1,219,702,628 Transfer of cap due to servicing transfer
6/17/2009
$
225,040,00 $
9/30/2009
$
254,380,00 $
12/30/2009
$
355,710,00 $
3/26/2010
$
(57,720,000 $
6/16/2010
$
(156,050,000 $
7/14/2010
$
(513,660,000 $
7/16/2010
$
(22,980,000 $
9/15/2010
$
1,800,00 $
493,520,000 Transfer of cap due to servicing transfer
9/30/2010
$
9,800,00 $
503,320,000 Initial FHA-HAMP cap and initial FHA-2LP cap
9/30/2010
$
116,222,66 $
10/15/2010
$
100,00 $
12/15/2010
$
8,900,00 $
628,542,668 Updated portfolio data from servicer
1/6/2011
$
(556 $
628,542,112 Updated portfolio data from servicer
1/13/2011
$
2,300,00 $
3/16/2011
$
700,00 $
3/30/2011
$
(654 $
4/13/2011
$
2,100,00 $
6/29/2011
$
(6,144 $
7/14/2011
$
200,00 $
633,835,314 Transfer of cap due to servicing transfer
8/16/2011
$
(100,000 $
633,735,314 Transfer of cap due to servicing transfer
9/15/2011
$
(700,000 $
633,035,314 Transfer of cap due to servicing transfer
12/15/2011
$
17,500,00 $
650,535,314 Transfer of cap due to servicing transfer
2/16/2012
$
(100,000 $
650,435,314 Transfer of cap due to servicing transfer
3/15/2012
$
100,00 $
650,535,314 Transfer of cap due to servicing transfer
4/16/2012
$
(17,500,000 $
633,035,314 Transfer of cap due to servicing transfer
5/16/2012
$
(760,000 $
632,275,314 Transfer of cap due to servicing transfer
6/14/2012
$
(354,290,000 $
6/28/2012
$
(1,83 $
7/16/2012
$
(10,120,000 $
8/16/2012
$
(10,000 $
9/27/2012
$
(4,70 $
10/16/2012
$
(9,220,000 $
258,628,782 Transfer of cap due to servicing transfer
11/15/2012
$
(30,000 $
258,598,782 Transfer of cap due to servicing transfer
12/14/2012
$
60,00 $
12/27/2012
$
(788 $
258,658,782 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
258,657,994 reallocation
1/16/2013
$
(610,000 $
3/25/2013
$
(2,979 $
12/27/2012
$
1/16/2013
2/14/2013
4/9/2013
$
(157,237,929 $
7/31/2009
$
(3,552,000,00 $
6/12/2009
$
(105,620,000 $
9/30/2009
$
102,580,00 $
12/30/2009
$
277,640,00 $
3/26/2010
$
46,860,00 $
6/16/2010
$
156,050,00 $
7/14/2010
$
(191,610,000 $
7/16/2010
$
23,710,00 $
9/15/2010
$
100,00 $
9/30/2010
$
3,742,74 $
10/15/2010
$
170,800,00 $
1/6/2011
$
(1,020 $
2/16/2011
$
900,00 $
3/30/2011
$
(1,114 $
6/29/2011
$
(10,044 $
10/14/2011
$
(100,000 $
1,498,944,981 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,498,937,876 reallocation
1,432,437,876 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,432,435,446 reallocation
632,040,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
886,420,000 cap
Updated portfolio data from servicer & HAFA initial
1,242,130,000 cap
1,184,410,000 Updated portfolio data from servicer
Transfer of cap to Ocwen Financial Corporation,
1,028,360,000 Inc. due to servicing transfer
514,700,000 Updated portfolio data from servicer
491,720,000 Transfer of cap due to multiple servicing transfers
619,542,668 Updated portfolio data from servicer
619,642,668 Transfer of cap due to servicing transfer
630,842,112 Transfer of cap due to servicing transfer
631,542,112 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
631,541,458 reallocation
633,641,458 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
633,635,314 reallocation
277,985,314 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
277,983,483 reallocation
267,863,483 Transfer of cap due to servicing transfer
267,853,483 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
267,848,782 reallocation
258,047,994 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
258,045,015 reallocation
100,807,086 Termination of SPA
- Termination of SPA
553,380,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
655,960,000 cap
Updated portfolio data from servicer & HAFA initial
933,600,000 cap
980,460,000 Updated portfolio data from servicer
Transfer of cap from Saxon Mortgage Services,
1,136,510,000 Inc. due to servicing transfer
944,900,000 Updated portfolio data from servicer
Transfer of cap from Saxon Mortgage Services,
968,610,000 Inc. due to servicing transfer
968,710,000 Initial FHA-HAMP cap
972,452,740 Updated portfolio data from servicer
1,143,252,740 Transfer of cap due to servicing transfer
1,143,251,720 Updated portfolio data from servicer
1,144,151,720 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,144,150,606 reallocation
Updated due to quarterly assessment and
1,144,140,562 reallocation
1,144,040,562 Transfer of cap due to servicing transfer
77
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
10500
4/17/2009 as amended
on 1/26/2010
Bank of America, N.A.
Simi Valley
CA
Purchase
Financial Instrument for Home Loan Modifications
$
798,900,000
N/A
10512
10512
10512
10512
10512
10512
10512
10512
10512
10512
10512
10512
10512
10512
10512
10512
13
10512
4/17/2009 as amended
on 1/26/2010
Bank of America, N.A. (BAC Home Loans Servicing, LP)
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
13
Simi Valley
CA
Purchase
Financial Instrument for Home Loan Modifications
$
1,864,000,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
1/13/2012
$
194,800,00 $
1,338,840,562 Transfer of cap due to servicing transfer
2/16/2012
$
400,00 $
1,339,240,562 Transfer of cap due to servicing transfer
3/15/2012
$
100,00 $
1,339,340,562 Transfer of cap due to servicing transfer
5/16/2012
$
123,530,00 $
1,462,870,562 Transfer of cap due to servicing transfer
6/14/2012
$
354,290,00 $
6/28/2012
$
(6,308 $
1,817,160,562 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,817,154,254 reallocation
7/16/2012
$
10,080,00 $
8/16/2012
$
8,390,00 $
9/27/2012
$
(10,733 $
10/16/2012
$
14,560,00 $
1,850,173,521 Transfer of cap due to servicing transfer
11/15/2012
$
13,240,00 $
1,863,413,521 Transfer of cap due to servicing transfer
12/14/2012
$
2,080,00 $
12/27/2012
$
(1,015 $
1/16/2013
$
410,00 $
1,865,902,506 Transfer of cap due to servicing transfer
2/14/2013
$
960,00 $
1,866,862,506 Transfer of cap due to servicing transfer
3/14/2013
$
83,880,00 $
3/25/2013
$
(1,87 $
1,827,234,254 Transfer of cap due to servicing transfer
1,835,624,254 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,835,613,521 reallocation
1,865,493,521 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,865,492,506 reallocation
4/9/2013
$
157,237,92 $
1,950,742,506 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,950,740,629 reallocation
Transfer of cap (from Saxon Mortgage Services,
2,107,978,558 Inc ) due to servicing transfer
4/16/2013
$
620,860,00 $
2,728,838,558 Transfer of cap due to servicing transfer
5/16/2013
$
18,970,00 $
2,747,808,558 Transfer of cap due to servicing transfer
6/14/2013
$
(190,000 $
6/27/2013
$
(2,81 $
7/16/2013
$
14,710,00 $
2,762,325,741 Transfer of cap due to servicing transfer
9/16/2013
$
66,170,00 $
9/27/2013
$
(276 $
2,828,495,741 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
2,828,495,465 reallocation
10/15/2013
$
267,580,00 $
3,096,075,465 Transfer of cap due to servicing transfer
11/14/2013
$
4,290,00 $
3,100,365,465 Transfer of cap due to servicing transfer
12/16/2013
$
280,370,00 $
12/23/2013
$
49,286,73 $
3,380,735,465 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,430,022,197 reallocation
1/16/2014
$
51,180,00 $
3,481,202,197 Transfer of cap due to servicing transfer
1/31/2014
$
765,231,39 $
6/12/2009
$
5,540,00 $
9/30/2009
$
162,680,00 $
12/30/2009
$
665,510,00 $
804,440,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
967,120,000 cap
Updated portfolio data from servicer & HAFA initial
1,632,630,000 cap
1/26/2010
$
800,390,00 $
2,433,020,000 Initial 2MP cap
3/26/2010
$
(829,370,000 $
1,603,650,000 Updated portfolio data from servicer
7/14/2010
$
(366,750,000 $
9/30/2010
$
95,300,00 $
1,236,900,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
1,332,200,000 initial RD-HAMP
9/30/2010
$
222,941,08 $
1/6/2011
$
(2,199 $
3/30/2011
$
(2,548 $
6/29/2011
$
(23,33 $
8/16/2011
$
(300,000 $
1,554,813,000 Transfer of cap due to servicing transfer
10/14/2011
$
(120,700,000 $
1,434,113,000 Transfer of cap due to servicing transfer
11/16/2011
$
(900,000 $
1,433,213,000 Transfer of cap due to servicing transfer
5/16/2012
$
(200,000 $
6/28/2012
$
(17,893 $
(1,401,716,594 $
1,433,013,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,432,995,107 reallocation
Update of cap due to termination of SPA and
31,278,513 merger with BAC Home Loans, LP
Update of cap due to termination of SPA and
31,017,611 merger with BAC Home Loans, LP
2,747,618,558 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
2,747,615,741 reallocation
4,246,433,587 Transfer of cap due to merger / acquisition
1,555,141,084 Updated portfolio data from servicer
1,555,138,885 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,555,136,337 reallocation
Updated due to quarterly assessment and
1,555,113,000 reallocation
8/10/2012
$
10/16/2013
$
(260,902 $
6/12/2009
$
3,318,840,00 $
9/30/2009
$
(717,420,000 $
12/30/2009
$
2,290,780,00 $
1/26/2010
$
450,100,00 $
7,206,300,000 Initial 2MP cap
3/26/2010
$
905,010,00 $
4/19/2010
$
10,280,00 $
6/16/2010
$
286,510,00 $
8,111,310,000 Updated portfolio data from servicer
Transfer of cap from Wilshire Credit Corporation
8,121,590,000 due to servicing transfer
Transfer of cap from Wilshire Credit Corporation
8,408,100,000 due to servicing transfer
7/14/2010
$
(1,787,300,00 $
9/30/2010
$
105,500,00 $
6,620,800,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
6,726,300,000 initial RD-HAMP
9/30/2010
$
(614,527,362 $
6,111,772,638 Updated portfolio data from servicer
12/15/2010
$
236,000,00 $
6,347,772,638 Updated portfolio data from servicer
6,347,764,626 Updated portfolio data from servicer
5,182,840,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
4,465,420,000 cap
Updated portfolio data from servicer & HAFA initial
6,756,200,000 cap
1/6/2011
$
(8,012 $
2/16/2011
$
1,800,00 $
3/16/2011
$
100,00 $
3/30/2011
$
(9,190 $
4/13/2011
$
200,00 $
6,349,855,436 Transfer of cap due to servicing transfer
5/13/2011
$
300,00 $
6,350,155,436 Transfer of cap due to servicing transfer
6/16/2011
$
(1,000,000 $
6/29/2011
$
(82,34 $
6,349,564,626 Transfer of cap due to servicing transfer
6,349,664,626 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,349,655,436 reallocation
6,349,155,436 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,349,073,089 reallocation
78
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
1000832
1000832
1000832
1000832
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
$
(200,000 $
6,348,873,089 Transfer of cap due to servicing transfer
8/16/2011
$
(3,400,000 $
6,345,473,089 Transfer of cap due to servicing transfer
9/15/2011
$
(1,400,000 $
6,344,073,089 Transfer of cap due to servicing transfer
10/14/2011
$
120,600,00 $
6,464,673,089 Transfer of cap due to servicing transfer
Transfer of cap (from Home Loan Services, Inc.
and Wilshire Credit Corporation due to merger.)
10/19/2011
$
317,956,28 $
6,782,629,378
11/16/2011
$
800,00 $
6,783,429,378 Transfer of cap due to servicing transfer
12/15/2011
$
(17,600,000 $
6,765,829,378 Transfer of cap due to servicing transfer
2/16/2012
$
(2,100,000 $
6,763,729,378 Transfer of cap due to servicing transfer
3/15/2012
$
(23,900,000 $
6,739,829,378 Transfer of cap due to servicing transfer
4/16/2012
$
(63,800,000 $
6,676,029,378 Transfer of cap due to servicing transfer
5/16/2012
$
20,00 $
6,676,049,378 Transfer of cap due to servicing transfer
6/14/2012
$
(8,860,000 $
6/28/2012
$
(58,550 $
7/16/2012
$
(6,840,000 $
8/10/2012
$
1,401,716,59 $
8/16/2012
$
(4,780,000 $
9/27/2012
$
(205,946 $
10/16/2012
$
(153,220,000 $
7,903,801,476 Transfer of cap due to servicing transfer
11/15/2012
$
(27,300,000 $
7,876,501,476 Transfer of cap due to servicing transfer
12/14/2012
$
(50,350,000 $
12/27/2012
$
(33,515 $
7,826,151,476 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
7,826,117,961 reallocation
1/16/2013
$
(27,000,000 $
7,799,117,961 Transfer of cap due to servicing transfer
2/14/2013
$
(41,830,000 $
7,757,287,961 Transfer of cap due to servicing transfer
3/14/2013
$
(5,900,000 $
3/25/2013
$
(122,604 $
4/16/2013
$
(1,410,000 $
7,749,855,357 Transfer of cap due to servicing transfer
5/16/2013
$
(940,000 $
7,748,915,357 Transfer of cap due to servicing transfer
6/14/2013
$
(16,950,000 $
6/27/2013
$
(45,103 $
7/16/2013
$
(25,580,000 $
7,706,340,254 Transfer of cap due to servicing transfer
8/15/2013
$
(6,730,000 $
7,699,610,254 Transfer of cap due to servicing transfer
9/16/2013
$
(290,640,000 $
9/27/2013
$
(15,41 $
10/15/2013
$
(79,200,000 $
10/16/2013
$
260,90 $
11/14/2013
$
(14,600,000 $
7,315,415,745 Transfer of cap due to servicing transfer
12/16/2013
$
(23,220,000 $
12/23/2013
$
(25,226,860 $
7,292,195,745 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
7,266,968,885 reallocation
7,239,898,885 Transfer of cap due to servicing transfer
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
4/20/2009
Home Loan Services, Inc.
Pittsburgh
PA
Purchase
Financial Instrument for Home Loan Modifications
$
319,000,000
N/A
10316
10316
10316
10316
10316
10316
10316
10316
10316
10316
10316
10316
10316
10316
4/20/2009
Wilshire Credit Corporation
13
Beaverton
10205
10205
10205
10205
10205
10205
10205
10205
10205
10205
10205
10205
OR
Purchase
Financial Instrument for Home Loan Modifications
$
366,000,000
N/A
Reason for Adjustment
7/14/2011
6,667,189,378 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,667,130,828 reallocation
6,660,290,828 Transfer of cap due to servicing transfer
Transfer of cap (from Bank of America, N.A.) due
8,062,007,423 to merger
8,057,227,423 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
8,057,021,476 reallocation
7,751,387,961 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
7,751,265,357 reallocation
7,731,965,357 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
7,731,920,254 reallocation
7,408,970,254 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
7,408,954,843 reallocation
7,329,754,843 Transfer of cap due to servicing transfer
Transfer of cap (from Bank of America, N.A.) due
7,330,015,745 to merger
1/16/2014
$
(27,070,000 $
6/12/2009
$
128,300,00 $
9/30/2009
$
46,730,00 $
12/30/2009
$
145,820,00 $
447,300,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
494,030,000 cap
Updated portfolio data from servicer & HAFA initial
639,850,000 cap
3/26/2010
$
(17,440,000 $
622,410,000 Updated portfolio data from servicer
7/14/2010
$
(73,010,000 $
549,400,000 Updated portfolio data from servicer
9/30/2010
$
6,700,00 $
9/30/2010
$
(77,126,410 $
478,973,590 Updated portfolio data from servicer
12/15/2010
$
(314,900,000 $
164,073,590 Updated portfolio data from servicer
1/6/2011
$
(233 $
164,073,357 Updated portfolio data from servicer
2/16/2011
$
(1,900,000 $
3/16/2011
$
(400,000 $
3/30/2011
$
(278 $
5/13/2011
$
(400,000 $
6/29/2011
$
(2,625 $
10/19/2011
$
(155,061,22 $
6/12/2009
$
87,130,00 $
9/30/2009
$
(249,670,000 $
12/30/2009
$
119,700,00 $
3/26/2010
$
52,270,00 $
4/19/2010
$
(10,280,000 $
5/14/2010
$
(1,880,000 $
6/16/2010
$
(286,510,000 $
7/14/2010
$
19,540,00 $
7/16/2010
$
(210,000 $
8/13/2010
$
(100,000 $
9/30/2010
$
68,565,78 $
1/6/2011
$
(24 $
3/30/2011
$
(294 $
556,100,000 Initial FHA-2LP cap
162,173,357 Transfer of cap due to servicing transfer
161,773,357 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
161,773,079 reallocation
161,373,079 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
161,370,454 reallocation
6,309,233 Termination of SPA
453,130,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
203,460,000 cap
Updated portfolio data from servicer & HAFA initial
323,160,000 cap
375,430,000 Updated portfolio data from servicer
Transfer of cap to Countrywide Home Loans due to
365,150,000 servicing transfer
Transfer of cap to GMAC Mortgage, Inc. due to
363,270,000 servicing transfer
Transfer of cap to Countrywide Home Loans due to
76,760,000 servicing transfer
96,300,000 Updated portfolio data from servicer
Transfer of cap to Green Tree Servicing LLC due
96,090,000 to servicing transfer
95,990,000 Transfer of cap due to servicing transfer
164,555,782 Updated portfolio data from servicer
164,555,535 Updated portfolio data from servicer
Updated due to quarterly assessment and
164,555,241 reallocation
79
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
10205
10205
4/24/2009
Green Tree Servicing LLC
13
Saint Paul
MN
Purchase
Financial Instrument for Home Loan Modifications
$
156,000,000
N/A
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
10309
4/27/2009
Carrington Mortgage Services, LLC
Santa Ana
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
RBS
10503
10503
CA
Purchase
Financial Instrument for Home Loan Modifications
$
195,000,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
(2,779 $
6/29/2011
$
10/19/2011
$
(162,895,068 $
6/17/2009
$
(64,990,000) $
9/30/2009
$
130,780,000 $
12/30/2009
$
(116,750,000 $
3/26/2010
$
13,080,00 $
7/14/2010
$
(24,220,000 $
7/16/2010
$
210,00 $
8/13/2010
$
2,200,00 $
9/10/2010
$
34,600,00 $
9/30/2010
Reason for Adjustment
Updated due to quarterly assessment and
164,552,462 reallocation
1,657,394 Termination of SPA
91,010,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
221,790,000 cap
Updated portfolio data from servicer & HAFA initial
105,040,000 cap
118,120,000 Updated portfolio data from servicer
93,900,000 Updated portfolio data from servicer
Transfer of cap from Wilshire Credit Corporation
94,110,000 due to servicing transfer
96,310,000 Transfer of cap due to servicing transfer
130,910,000 Initial 2MP cap
$
5,600,00 $
136,510,000 Initial FHA-2LP cap and FHA-HAMP
9/30/2010
$
10,185,09 $
146,695,090 Updated portfolio data from servicer
10/15/2010
$
400,00 $
1/6/2011
$
(213 $
3/30/2011
$
(250 $
5/13/2011
$
1,200,00 $
6/16/2011
$
100,00 $
6/29/2011
$
(2,302 $
7/14/2011
$
1,900,00 $
150,292,325 Transfer of cap due to servicing transfer
9/15/2011
$
200,00 $
150,492,325 Transfer of cap due to servicing transfer
10/14/2011
$
200,00 $
150,692,325 Transfer of cap due to servicing transfer
11/16/2011
$
400,00 $
151,092,325 Transfer of cap due to servicing transfer
2/16/2012
$
900,00 $
151,992,325 Transfer of cap due to servicing transfer
3/15/2012
$
100,00 $
152,092,325 Transfer of cap due to servicing transfer
5/16/2012
$
3,260,00 $
155,352,325 Transfer of cap due to servicing transfer
6/14/2012
$
920,00 $
6/28/2012
$
(1,622 $
7/16/2012
$
110,00 $
8/16/2012
$
5,120,00 $
9/27/2012
$
(4,509 $
10/16/2012
$
8,810,00 $
170,306,194 Transfer of cap due to servicing transfer
11/15/2012
$
2,910,00 $
12/27/2012
$
(802 $
173,216,194 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
173,215,392 reallocation
2/14/2013
$
10,210,00 $
3/25/2013
$
(3,023 $
5/16/2013
$
6/27/2013
$
(1,07 $
7/16/2013
$
7,210,00 $
190,771,292 Transfer of cap due to servicing transfer
8/15/2013
$
6,730,00 $
9/27/2013
$
(388 $
197,501,292 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
197,500,904 reallocation
10/15/2013
$
3,610,00 $
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
$
21,280,00 $
12/23/2013
$
(710,35 $
140,00 $
147,095,090 Transfer of cap due to servicing transfer
147,094,877 Updated portfolio data from servicer
Updated due to quarterly assessment and
147,094,627 reallocation
148,294,627 Transfer of cap due to servicing transfer
148,394,627 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
148,392,325 reallocation
156,272,325 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
156,270,703 reallocation
156,380,703 Transfer of cap due to servicing transfer
161,500,703 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
161,496,194 reallocation
183,425,392 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
183,422,369 reallocation
183,562,369 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
183,561,292 reallocation
222,070,904 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
221,360,553 reallocation
6/17/2009
$
(63,980,000) $
9/30/2009
$
90,990,000 $
12/30/2009
$
57,980,00 $
131,020,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
222,010,000 cap
Updated portfolio data from servicer & HAFA initial
279,990,000 cap
3/26/2010
$
74,520,00 $
354,510,000 Updated portfolio data from servicer
7/14/2010
$
(75,610,000 $
278,900,000 Updated portfolio data from servicer
8/13/2010
$
1,100,00 $
280,000,000 Transfer of cap due to servicing transfer
9/30/2010
$
3,763,68 $
283,763,685 Updated portfolio data from servicer
12/15/2010
$
300,00 $
284,063,685 Updated portfolio data from servicer
1/6/2011
$
(325 $
284,063,360 Updated portfolio data from servicer
1/13/2011
$
2,400,00 $
3/30/2011
$
(384 $
6/29/2011
$
(3,592 $
8/16/2011
$
1,800,00 $
288,259,384 Transfer of cap due to servicing transfer
9/15/2011
$
100,00 $
288,359,384 Transfer of cap due to servicing transfer
11/16/2011
$
1,000,00 $
289,359,384 Transfer of cap due to servicing transfer
2/16/2012
$
1,100,00 $
290,459,384 Transfer of cap due to servicing transfer
4/16/2012
$
100,00 $
290,559,384 Transfer of cap due to servicing transfer
5/16/2012
$
850,00 $
291,409,384 Transfer of cap due to servicing transfer
6/14/2012
$
2,240,00 $
6/28/2012
$
(2,520 $
7/16/2012
$
1,690,00 $
8/16/2012
$
(30,000 $
9/27/2012
$
(6,632 $
10/16/2012
$
2,880,00 $
286,463,360 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
286,462,976 reallocation
Updated due to quarterly assessment and
286,459,384 reallocation
293,649,384 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
293,646,864 reallocation
295,336,864 Transfer of cap due to servicing transfer
295,306,864 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
295,300,232 reallocation
298,180,232 Transfer of cap due to servicing transfer
80
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
10503
5/1/2009
Aurora Loan Services, LLC
Littleton
CO
Purchase
Financial Instrument for Home Loan Modifications
$
798,000,000
N/A
10231
10231
10231
10231
10231
10231
10231
10231
10231
10231
10231
10231
10231
10231
10231
10231
10231
10231
10231
10231
10231
10231
10231
10231
5/28/2009
Nationstar Mortgage LLC
17
Lewisville
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
TX
Purchase
Financial Instrument for Home Loan Modifications
$
101,000,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
11/15/2012
$
1,500,00 $
299,680,232 Transfer of cap due to servicing transfer
12/14/2012
$
2,040,00 $
12/27/2012
$
(1,103 $
301,720,232 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
301,719,129 reallocation
1/16/2013
$
(10,000 $
301,709,129 Transfer of cap due to servicing transfer
2/14/2013
$
4,960,00 $
306,669,129 Transfer of cap due to servicing transfer
3/14/2013
$
(30,000 $
3/25/2013
$
(4,179 $
4/16/2013
$
(70,000 $
306,564,950 Transfer of cap due to servicing transfer
5/16/2013
$
1,570,00 $
308,134,950 Transfer of cap due to servicing transfer
6/14/2013
$
(1,880,000 $
6/27/2013
$
(1,522 $
306,254,950 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
306,253,428 reallocation
7/16/2013
$
270,00 $
9/16/2013
$
5,370,00 $
9/27/2013
$
(525 $
10/15/2013
$
(240,000 $
311,652,903 Transfer of cap due to servicing transfer
11/14/2013
$
2,000,00 $
313,652,903 Transfer of cap due to servicing transfer
12/16/2013
$
1,370,00 $
12/23/2013
$
(873,89 $
315,022,903 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
314,149,012 reallocation
1/16/2014
$
120,00 $
314,269,012 Transfer of cap due to servicing transfer
6/17/2009
$
(338,450,000) $
9/30/2009
$
(11,860,000) $
12/30/2009
$
3/26/2010
$
9,150,00 $
478,170,000 Updated portfolio data from servicer
7/14/2010
$
(76,870,000 $
401,300,000 Updated portfolio data from servicer
9/1/2010
$
400,00 $
9/30/2010
$
(8,454,269 $
1/6/2011
$
(342 $
3/30/2011
$
(374 $
5/13/2011
$
18,000,00 $
6/29/2011
$
(3,273 $
10/14/2011
$
(200,000 $
411,041,742 Transfer of cap due to servicing transfer
3/15/2012
$
100,00 $
411,141,742 Transfer of cap due to servicing transfer
4/16/2012
$
(500,000 $
6/28/2012
$
(1,768 $
410,641,742 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
410,639,974 reallocation
7/16/2012
$
(90,000 $
410,549,974 Transfer of cap due to servicing transfer
8/16/2012
$
(134,230,000 $
276,319,974 Transfer of cap due to servicing transfer
8/23/2012
$
(166,976,849 $
9/27/2012
$
$
109,343,125 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
109,343,126 reallocation
11/15/2012
$
(230,000 $
3/25/2013
$
( $
5/16/2013
$
(20,000 $
109,093,125 Transfer of cap due to servicing transfer
6/14/2013
$
(50,000 $
6/27/2013
$
(15 $
109,043,125 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
109,043,110 reallocation
7/9/2013
$
(23,179,59 $
6/12/2009
$
16,140,000 $
134,560,000 $
21,330,00 $
306,639,129 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
306,634,950 reallocation
306,523,428 Transfer of cap due to servicing transfer
311,893,428 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
311,892,903 reallocation
459,550,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
447,690,000 cap
Updated portfolio data from servicer & HAFA initial
469,020,000 cap
401,700,000 Initial FHA-HAMP cap
393,245,731 Updated portfolio data from servicer
393,245,389 Updated portfolio data from servicer
Updated due to quarterly assessment and
393,245,015 reallocation
411,245,015 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
411,241,742 reallocation
109,113,126 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
109,113,125 reallocation
85,863,519 Termination of SPA
9/30/2009
$
12/30/2009
$
80,250,00 $
117,140,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP initial
251,700,000 cap
Updated portfolio data from servicer & HAFA initial
331,950,000 cap
3/26/2010
$
67,250,00 $
399,200,000 Updated portfolio data from servicer
7/14/2010
$
(85,900,000 $
313,300,000 Updated portfolio data from servicer
8/13/2010
$
100,00 $
9/30/2010
$
2,900,00 $
313,400,000 Transfer of cap due to servicing transfer
Initial FHA-HAMP cap, initial FHA-2LP cap, initial
316,300,000 RD-HAMP, and initial 2MP cap
9/30/2010
$
33,801,48 $
11/16/2010
$
700,00 $
350,101,486 Updated portfolio data from servicer
12/15/2010
$
1,700,00 $
352,501,486 Updated portfolio data from servicer
1/6/2011
$
(363 $
352,501,123 Updated portfolio data from servicer
2/16/2011
$
900,00 $
3/16/2011
$
29,800,00 $
3/30/2011
$
(428 $
5/26/2011
$
20,077,50 $
6/29/2011
$
(4,248 $
11/16/2011
$
100,00 $
403,373,950 Transfer of cap due to servicing transfer
3/15/2012
$
(100,000 $
403,273,950 Transfer of cap due to servicing transfer
5/16/2012
$
90,00 $
403,363,950 Transfer of cap due to servicing transfer
6/14/2012
$
(2,380,000 $
6/28/2012
$
(2,95 $
7/16/2012
$
(2,580,000 $
398,400,993 Transfer of cap due to servicing transfer
8/16/2012
$
131,450,00 $
529,850,993 Transfer of cap due to servicing transfer
8/23/2012
$
166,976,84 $
696,827,842 Transfer of cap due to servicing transfer
350,801,486 Transfer of cap due to servicing transfer
353,401,123 Transfer of cap due to servicing transfer
383,201,123 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
383,200,695 reallocation
403,278,198 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
403,273,950 reallocation
400,983,950 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
400,980,993 reallocation
81
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
6/12/2009
Residential Credit Solutions, Inc.
Fort Worth
TX
Purchase
Financial Instrument for Home Loan Modifications
$
19,400,000
N/A
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
10326
6/17/2009
CCO Mortgage, a division of RBS Citizens NA
Glen Allen
10052
10052
10052
10052
10052
10052
10052
10052
10052
10052
10052
10052
10052
VA
Purchase
Financial Instrument for Home Loan Modifications
$
16,520,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
9/27/2012
$
(12,806 $
Updated due to quarterly assessment and
696,815,036 reallocation
11/15/2012
$
160,00 $
696,975,036 Transfer of cap due to servicing transfer
12/14/2012
$
50,00 $
12/27/2012
$
(1,882 $
2/14/2013
$
(10,000 $
3/14/2013
$
(280,000 $
3/25/2013
$
(6,43 $
696,733,154 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
696,726,717 reallocation
4/16/2013
$
30,00 $
696,756,717 Transfer of cap due to servicing transfer
5/16/2013
$
(1,510,000 $
695,246,717 Transfer of cap due to servicing transfer
6/14/2013
$
(1,070,000 $
6/27/2013
$
(2,099 $
7/9/2013
$
23,179,59 $
694,176,717 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
694,174,618 reallocation
Transfer of cap (from Aurora Loan Services LLC )
717,354,209 due to servicing transfer
7/16/2013
$
490,00 $
9/16/2013
$
289,070,00 $
697,025,036 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
697,023,154 reallocation
697,013,154 Transfer of cap due to servicing transfer
717,844,209 Transfer of cap due to servicing transfer
1,006,914,209 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,006,913,091 reallocation
9/27/2013
$
(1,118 $
10/15/2013
$
63,440,00 $
1,070,353,091 Transfer of cap due to servicing transfer
11/14/2013
$
5,060,00 $
1,075,413,091 Transfer of cap due to servicing transfer
12/16/2013
$
3,210,00 $
12/23/2013
$
(1,697,25 $
1,078,623,091 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,076,925,840 reallocation
1/16/2014
$
(100,000 $
9/30/2009
$
(1,860,000) $
12/30/2009
$
3/26/2010
$
(1,390,000 $
7/14/2010
$
(13,870,000 $
9/30/2010
$
400,00 $
30,200,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
30,600,000 initial 2MP cap
9/30/2010
$
586,95 $
31,186,954 Updated portfolio data from servicer
1/6/2011
$
(34 $
3/30/2011
$
(3 $
4/13/2011
$
100,00 $
6/29/2011
$
(329 $
27,920,00 $
1,076,825,840 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP initial
17,540,000 cap
Updated portfolio data from servicer & HAFA initial
45,460,000 cap
44,070,000 Updated portfolio data from servicer
31,186,920 Updated portfolio data from servicer
Updated due to quarterly assessment and
31,186,883 reallocation
31,286,883 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
31,286,554 reallocation
9/15/2011
$
(1,900,000 $
29,386,554 Transfer of cap due to servicing transfer
11/16/2011
$
2,800,00 $
32,186,554 Transfer of cap due to servicing transfer
5/16/2012
$
420,00 $
32,606,554 Transfer of cap due to servicing transfer
6/14/2012
$
8,060,00 $
6/28/2012
$
(313 $
7/16/2012
$
2,160,00 $
40,666,554 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
40,666,241 reallocation
42,826,241 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
42,825,330 reallocation
9/27/2012
$
(91 $
10/16/2012
$
5,690,00 $
11/15/2012
$
20,00 $
12/27/2012
$
(178 $
2/14/2013
$
3,190,00 $
3/14/2013
$
(260,000 $
3/25/2013
$
(713 $
4/16/2013
$
1,330,00 $
52,794,439 Transfer of cap due to servicing transfer
5/16/2013
$
100,00 $
52,894,439 Transfer of cap due to servicing transfer
6/14/2013
$
20,00 $
6/27/2013
$
(264 $
7/16/2013
$
6,080,00 $
58,994,175 Transfer of cap due to servicing transfer
9/16/2013
$
(2,130,000 $
9/27/2013
$
(10 $
56,864,175 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
56,864,074 reallocation
10/15/2013
$
6,910,00 $
63,774,074 Transfer of cap due to servicing transfer
12/16/2013
$
(1,050,000 $
12/23/2013
$
(173,584 $
62,724,074 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
62,550,490 reallocation
1/16/2014
$
1,310,00 $
9/30/2009
$
13,070,000 $
12/30/2009
$
145,510,00 $
3/26/2010
$
(116,950,000 $
58,150,000 Updated portfolio data from servicer
7/14/2010
$
(23,350,000 $
34,800,000 Updated portfolio data from servicer
9/30/2010
$
7,846,34 $
42,646,346 Updated portfolio data from servicer
1/6/2011
$
(46 $
3/30/2011
$
(55 $
6/29/2011
$
(452 $
6/28/2012
$
(309 $
9/27/2012
$
(80 $
12/27/2012
$
(13 $
3/25/2013
$
(475 $
6/27/2013
$
(175 $
9/27/2013
$
(62 $
48,515,330 Transfer of cap due to servicing transfer
48,535,330 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
48,535,152 reallocation
51,725,152 Transfer of cap due to servicing transfer
51,465,152 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
51,464,439 reallocation
52,914,439 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
52,914,175 reallocation
63,860,490 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP initial
29,590,000 cap
Updated portfolio data from servicer & HAFA initial
175,100,000 cap
42,646,300 Updated portfolio data from servicer
Updated due to quarterly assessment and
42,646,245 reallocation
Updated due to quarterly assessment and
42,645,793 reallocation
Updated due to quarterly assessment and
42,645,484 reallocation
Updated due to quarterly assessment and
42,644,677 reallocation
Updated due to quarterly assessment and
42,644,546 reallocation
Updated due to quarterly assessment and
42,644,071 reallocation
Updated due to quarterly assessment and
42,643,896 reallocation
Updated due to quarterly assessment and
42,643,834 reallocation
82
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
10052
6/17/2009
RG Mortgage Corporation
San Juan
PR
Purchase
Financial Instrument for Home Loan Modifications
$
57,000,000
N/A
10131
10131
10131
10131
10131
10131
10131
10131
10131
10131
10131
10131
10131
10131
10131
First Federal Savings and Loan
Port Angeles
WA
Purchase
Financial Instrument for Home Loan Modifications
$
770,000
N/A
10224
10224
6/19/2009
Wescom Central Credit Union
Anaheim
CA
Purchase
Financial Instrument for Home Loan Modifications
$
540,000
N/A
10126
10126
10126
10126
10126
10126
10126
10126
10126
12
10126
9
10126
10126
6/26/2009
Citizens First Wholesale Mortgage Company
The Villages
FL
Purchase
Financial Instrument for Home Loan Modifications
$
30,000
N/A
10002
10002
10002
10002
10002
6/26/2009
Technology Credit Union
San Jose
CA
Purchase
Financial Instrument for Home Loan Modifications
$
70,000
N/A
10014
10014
10014
10014
10014
10014
10014
10014
10014
10014
10014
10014
10014
6/26/2009
National City Bank
Miamisburg
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
OH
Purchase
Financial Instrument for Home Loan Modifications
$
294,980,000
N/A
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
9/30/2009
$
(11,300,000) $
12/30/2009
$
(42,210,000 $
Updated due to quarterly assessment and
42,546,388 reallocation
Updated portfolio data from servicer & HPDP initial
45,700,000 cap
Updated portfolio data from servicer & HAFA initial
3,490,000 cap
3/26/2010
$
65,640,00 $
69,130,000 Updated portfolio data from servicer
4/9/2010
$
(14,470,000 $
54,660,000 Updated portfolio data from servicer
7/14/2010
$
(8,860,000 $
45,800,000 Updated portfolio data from servicer
9/30/2010
$
(4,459,154 $
41,340,846 Updated portfolio data from servicer
12/15/2010
$
(4,300,000 $
1/6/2011
$
(5 $
3/30/2011
$
(65 $
6/29/2011
$
(616 $
6/28/2012
$
(462 $
12/23/2013
10131
6/19/2009
Adjustment
Date
$
(97,446 $
37,040,846 Updated portfolio data from servicer
9/27/2012
$
(1,270 $
12/27/2012
$
(214 $
3/25/2013
$
(812 $
6/27/2013
$
(306 $
9/27/2013
$
(110 $
12/23/2013
$
(185,423 $
12/30/2009
$
2,020,000 $
37,040,795 Updated portfolio data from servicer
Updated due to quarterly assessment and
37,040,730 reallocation
Updated due to quarterly assessment and
37,040,114 reallocation
Updated due to quarterly assessment and
37,039,652 reallocation
Updated due to quarterly assessment and
37,038,382 reallocation
Updated due to quarterly assessment and
37,038,168 reallocation
Updated due to quarterly assessment and
37,037,356 reallocation
Updated due to quarterly assessment and
37,037,050 reallocation
Updated due to quarterly assessment and
37,036,940 reallocation
Updated due to quarterly assessment and
36,851,517 reallocation
Updated portfolio data from servicer & HAFA initial
2,790,000 cap
3/26/2010
$
11,370,00 $
14,160,000 Updated portfolio data from servicer
5/26/2010
$
(14,160,000 $
9/30/2009
$
330,000 $
12/30/2009
$
16,490,00 $
- Termination of SPA
Updated portfolio data from servicer & HPDP initial
870,000 cap
Updated portfolio data from servicer & HAFA initial
17,360,000 cap
3/26/2010
$
(14,260,000 $
3,100,000 Updated portfolio data from servicer
7/14/2010
$
(1,800,000 $
1,300,000 Updated portfolio data from servicer
7/30/2010
$
1,500,00 $
2,800,000 Updated portfolio data from servicer
9/30/2010
$
1,551,66 $
4,351,668 Updated portfolio data from servicer
1/6/2011
$
(2 $
3/30/2011
$
(2 $
5/13/2011
$
(1,800,000 $
6/3/2011
$
(1,872,78 $
6/14/2012
$
990,00 $
372,17 $
4,351,666 Updated portfolio data from servicer
Updated due to quarterly assessment and
4,351,664 reallocation
2,551,664 Transfer of cap due to servicing transfer
678,877 Termination of SPA
1,668,877 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
2,041,054 reallocation
Updated due to quarterly assessment and
2,040,862 reallocation
Updated portfolio data from servicer & HPDP initial
20,000 cap
Updated portfolio data from servicer & HAFA initial
610,000 cap
9/27/2012
$
12/23/2013
$
(192 $
9/30/2009
$
(10,000) $
12/30/2009
$
590,00 $
3/26/2010
$
(580,000 $
30,000 Updated portfolio data from servicer
7/14/2010
$
70,00 $
100,000 Updated portfolio data from servicer
145,056 Updated portfolio data from servicer
9/30/2010
$
45,05 $
2/17/2011
$
(145,056 $
12/30/2009
$
2,180,000 $
3/26/2010
$
(720,000 $
1,530,000 Updated portfolio data from servicer
7/14/2010
$
(430,000 $
1,100,000 Updated portfolio data from servicer
9/30/2010
$
60,44 $
1,160,445 Updated portfolio data from servicer
1/6/2011
$
( $
3/30/2011
$
( $
6/29/2011
$
(12 $
6/28/2012
$
(9 $
9/27/2012
$
(23 $
12/27/2012
$
(4 $
3/25/2013
$
(13 $
6/27/2013
$
(5 $
9/27/2013
$
(2 $
12/23/2013
$
(2,729 $
315,170,000 $
- Termination of SPA
Updated portfolio data from servicer & HAFA initial
2,250,000 cap
9/30/2009
$
12/30/2009
$
90,280,00 $
1,160,444 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,160,443 reallocation
Updated due to quarterly assessment and
1,160,431 reallocation
Updated due to quarterly assessment and
1,160,422 reallocation
Updated due to quarterly assessment and
1,160,399 reallocation
Updated due to quarterly assessment and
1,160,395 reallocation
Updated due to quarterly assessment and
1,160,382 reallocation
Updated due to quarterly assessment and
1,160,377 reallocation
Updated due to quarterly assessment and
1,160,375 reallocation
Updated due to quarterly assessment and
1,157,646 reallocation
Updated portfolio data from servicer & HPDP initial
610,150,000 cap
Updated portfolio data from servicer & HAFA initial
700,430,000 cap
3/26/2010
$
(18,690,000 $
681,740,000 Updated portfolio data from servicer
7/14/2010
$
(272,640,000 $
9/30/2010
$
80,600,00 $
409,100,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, Initial FHA-2LP cap, and
489,700,000 initial 2MP cap
$
71,230,00 $
560,930,004 Updated portfolio data from servicer
1/6/2011
$
(828 $
560,929,176 Updated portfolio data from servicer
2/16/2011
$
200,00 $
561,129,176 Transfer of cap due to servicing transfer
3/16/2011
$
(100,000 $
3/30/2011
$
(98 $
561,029,176 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
561,028,195 reallocation
4/13/2011
$
(2,300,000 $
558,728,195 Transfer of cap due to servicing transfer
5/13/2011
$
(200,000 $
558,528,195 Transfer of cap due to servicing transfer
6/16/2011
$
(200,000 $
6/29/2011
$
(9,19 $
558,328,195 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
558,318,998 reallocation
9/30/2010
83
Servicer Modifying Borrowers' Loans
Date
Adjustment Details
Name of Institution
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
7/1/2009
Wachovia Mortgage, FSB
Des Moines
IA
Purchase
Financial Instrument for Home Loan Modifications
$
634,010,000
N/A
1000642
1000642
1000642
7/1/2009
Bayview Loan Servicing, LLC
3
Coral Gables
FL
Purchase
Financial Instrument for Home Loan Modifications
$
44,260,000
N/A
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
7/10/2009
Lake National Bank
Mentor
10355
10355
10355
10355
10355
10355
10355
OH
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
10/14/2011
$
300,00 $
558,618,998 Transfer of cap due to servicing transfer
11/16/2011
$
(300,000 $
558,318,998 Transfer of cap due to servicing transfer
1/13/2012
$
200,00 $
558,518,998 Transfer of cap due to servicing transfer
2/16/2012
$
(100,000 $
558,418,998 Transfer of cap due to servicing transfer
3/15/2012
$
200,00 $
558,618,998 Transfer of cap due to servicing transfer
6/14/2012
$
(10,000 $
6/28/2012
$
(6,77 $
(18,46 $
9/27/2012
$
12/27/2012
$
(3,105 $
3/25/2013
$
(11,713 $
6/27/2013
$
9/27/2013
$
(1,565 $
12/23/2013
$
(2,622,925 $
723,880,000 $
(4,393 $
558,608,998 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
558,602,227 reallocation
Updated due to quarterly assessment and
558,583,760 reallocation
Updated due to quarterly assessment and
558,580,655 reallocation
Updated due to quarterly assessment and
558,568,942 reallocation
Updated due to quarterly assessment and
558,564,549 reallocation
Updated due to quarterly assessment and
558,562,984 reallocation
Updated due to quarterly assessment and
555,940,059 reallocation
Updated portfolio data from servicer & HPDP initial
1,357,890,000 cap
Updated portfolio data from servicer & HAFA initial
2,050,530,000 cap
Transfer of cap (to Wells Fargo Bank) due to
293,656 merger
Transfer of cap (to Wells Fargo Bank) due to
238,890 merger
Updated portfolio data from servicer & HPDP initial
68,110,000 cap
Updated portfolio data from servicer & HAFA initial
111,700,000 cap
9/30/2009
$
12/30/2009
$
692,640,00 $
2/17/2010
$
(2,050,236,344 $
3/12/2010
$
(54,76 $
9/30/2009
$
23,850,000 $
12/30/2009
$
43,590,00 $
3/26/2010
$
34,540,00 $
5/7/2010
$
1,010,00 $
7/14/2010
$
(34,250,000 $
9/30/2010
$
600,00 $
9/30/2010
$
(15,252,303 $
1/6/2011
$
(70 $
3/30/2011
$
(86 $
4/13/2011
$
400,00 $
98,747,541 Transfer of cap due to servicing transfer
5/13/2011
$
100,00 $
6/29/2011
$
(77 $
98,847,541 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
98,846,770 reallocation
146,240,000 Updated portfolio data from servicer
147,250,000 Initial 2MP cap
113,000,000 Updated portfolio data from servicer
113,600,000 Initial FHA-2LP cap
98,347,697 Updated portfolio data from servicer
98,347,627 Updated portfolio data from servicer
Updated due to quarterly assessment and
98,347,541 reallocation
9/15/2011
$
600,00 $
99,446,770 Transfer of cap due to servicing transfer
10/14/2011
$
(18,900,000 $
80,546,770 Transfer of cap due to servicing transfer
1/13/2012
$
900,00 $
81,446,770 Transfer of cap due to servicing transfer
2/16/2012
$
2,400,00 $
83,846,770 Transfer of cap due to servicing transfer
3/15/2012
$
(100,000 $
83,746,770 Transfer of cap due to servicing transfer
4/16/2012
$
200,00 $
83,946,770 Transfer of cap due to servicing transfer
5/16/2012
$
30,00 $
83,976,770 Transfer of cap due to servicing transfer
6/14/2012
$
1,810,00 $
6/28/2012
$
(508 $
7/16/2012
$
2,660,00 $
9/27/2012
$
(1,249 $
10/16/2012
$
160,00 $
11/15/2012
$
6,970,00 $
95,575,013 Transfer of cap due to servicing transfer
12/14/2012
$
13,590,00 $
12/27/2012
$
(298 $
109,165,013 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
109,164,715 reallocation
1/16/2013
$
90,00 $
109,254,715 Transfer of cap due to servicing transfer
2/14/2013
$
3,250,00 $
112,504,715 Transfer of cap due to servicing transfer
3/14/2013
$
830,00 $
3/25/2013
$
(1,023 $
4/16/2013
$
1,490,00 $
114,823,692 Transfer of cap due to servicing transfer
5/16/2013
$
660,00 $
115,483,692 Transfer of cap due to servicing transfer
6/14/2013
$
7,470,00 $
6/27/2013
$
(308 $
7/16/2013
$
21,430,00 $
144,383,384 Transfer of cap due to servicing transfer
9/16/2013
$
11,730,00 $
9/27/2013
$
(9 $
156,113,384 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
156,113,293 reallocation
10/15/2013
$
5,430,00 $
161,543,293 Transfer of cap due to servicing transfer
11/14/2013
$
20,900,00 $
182,443,293 Transfer of cap due to servicing transfer
12/16/2013
$
260,00 $
12/23/2013
$
(131,553 $
1/16/2014
85,786,770 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
85,786,262 reallocation
88,446,262 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
88,445,013 reallocation
88,605,013 Transfer of cap due to servicing transfer
113,334,715 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
113,333,692 reallocation
122,953,692 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
122,953,384 reallocation
182,703,293 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
182,571,740 reallocation
$
1,070,00 $
9/30/2009
$
150,000 $
12/30/2009
$
130,00 $
183,641,740 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP initial
250,000 cap
Updated portfolio data from servicer & HAFA initial
380,000 cap
3/26/2010
$
50,00 $
430,000 Updated portfolio data from servicer
7/14/2010
$
(30,000 $
400,000 Updated portfolio data from servicer
9/30/2010
$
35,16 $
435,167 Updated portfolio data from servicer
1/6/2011
$
( $
3/30/2011
$
( $
6/29/2011
$
(6 $
435,166 Updated portfolio data from servicer
Updated due to quarterly assessment and
435,165 reallocation
Updated due to quarterly assessment and
435,159 reallocation
84
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
10355
10355
7/10/2009
IBM Southeast Employees' Federal Credit Union
12
Delray Beach
FL
Purchase
Financial Instrument for Home Loan Modifications
$
870,000
N/A
10029
10029
10029
10029
10029
10029
10029
10029
10029
7/17/2009
MorEquity, Inc.
12
Evansville
IN
Purchase
Financial Instrument for Home Loan Modifications
$
23,480,000
N/A
1000957
1000957
1000957
1000957
1000957
1000957
1000957
1000957
7/17/2009
PNC Bank, National Association
11
Pittsburgh
PA
Purchase
Financial Instrument for Home Loan Modifications
$
54,470,000
N/A
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
7/17/2009
Farmers State Bank
West Salem
OH
Purchase
Financial Instrument for Home Loan Modifications
$
170,000
N/A
10612
10612
10612
10612
10612
7/17/2009
ShoreBank
Chicago
IL
Purchase
Financial Instrument for Home Loan Modifications
$
1,410,000
N/A
10257
10257
10257
10257
10257
10257
10257
10257
10257
10257
10257
10257
10257
7/22/2009
Homeward Residential, Inc. (American Home Mortgage
Servicing, Inc)
10727
10727
10727
10727
10727
10727
10727
12
Coppell
TX
Purchase
Financial Instrument for Home Loan Modifications
$
1,272,490,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
(4 $
Reason for Adjustment
Updated due to quarterly assessment and
435,155 reallocation
6/28/2012
$
8/23/2012
$
(424,504 $
9/30/2009
$
(10,000) $
12/30/2009
$
250,00 $
10,651 Termination of SPA
Updated portfolio data from servicer & HPDP initial
860,000 cap
Updated portfolio data from servicer & HAFA initial
1,110,000 cap
3/26/2010
$
(10,000 $
1,100,000 Updated portfolio data from servicer
7/14/2010
$
(400,000 $
700,000 Updated portfolio data from servicer
9/30/2010
$
170,33 $
870,334 Updated portfolio data from servicer
1/6/2011
$
( $
3/30/2011
$
( $
6/29/2011
$
6/28/2012
$
(9 $
9/14/2012
$
(821,722 $
9/30/2009
$
18,530,000 $
12/30/2009
$
24,510,00 $
48,589 Termination of SPA
Updated portfolio data from servicer & HPDP initial
42,010,000 cap
Updated portfolio data from servicer & HAFA initial
66,520,000 cap
3/26/2010
$
18,360,00 $
84,880,000 Updated portfolio data from servicer
7/14/2010
$
(22,580,000 $
62,300,000 Updated portfolio data from servicer
9/30/2010
$
(8,194,26 $
54,105,739 Updated portfolio data from servicer
54,105,702 Updated portfolio data from servicer
(12 $
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,320 reallocation
Updated due to quarterly assessment and
870,311 reallocation
1/6/2011
$
(3 $
3/16/2011
$
(29,400,000 $
3/30/2011
$
(34 $
5/26/2011
$
(20,077,503 $
9/30/2009
$
(36,240,000) $
12/30/2009
$
3/26/2010
$
2,470,00 $
39,980,000 Updated portfolio data from servicer
7/14/2010
$
(17,180,000 $
22,800,000 Updated portfolio data from servicer
9/30/2010
$
35,500,00 $
58,300,000 Initial FHA-2LP cap and initial 2MP cap
9/30/2010
$
23,076,19 $
81,376,191 Updated portfolio data from servicer
1/6/2011
$
(123 $
3/30/2011
$
(14 $
5/13/2011
$
(100,000 $
6/29/2011
$
(1,382 $
10/14/2011
$
(300,000 $
6/28/2012
$
(1,003 $
(2,745 $
19,280,00 $
9/27/2012
$
12/27/2012
$
3/25/2013
$
(1,740 $
4/9/2013
$
60,00 $
(656 $
(460 $
6/27/2013
$
9/27/2013
$
(234 $
12/23/2013
$
(394,926 $
(90,000) $
24,705,702 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
24,705,668 reallocation
Termination of SPA
4,628,165 (remaining cap equals distribution amount)
Updated portfolio data from servicer & HPDP initial
18,230,000 cap
Updated portfolio data from servicer & HAFA initial
37,510,000 cap
81,376,068 Updated portfolio data from servicer
Updated due to quarterly assessment and
81,375,921 reallocation
81,275,921 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
81,274,539 reallocation
80,974,539 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
80,973,536 reallocation
Updated due to quarterly assessment and
80,970,791 reallocation
Updated due to quarterly assessment and
80,970,331 reallocation
Updated due to quarterly assessment and
80,968,591 reallocation
Transfer of cap (from RBC bank (USA) ) due to
81,028,591 merger
Updated due to quarterly assessment and
81,027,935 reallocation
Updated due to quarterly assessment and
81,027,701 reallocation
Updated due to quarterly assessment and
80,632,775 reallocation
Updated portfolio data from servicer & HPDP initial
80,000 cap
Updated portfolio data from servicer & HAFA initial
130,000 cap
9/30/2009
$
12/30/2009
$
50,00 $
3/26/2010
$
100,00 $
230,000 Updated portfolio data from servicer
7/14/2010
$
(130,000 $
100,000 Updated portfolio data from servicer
9/30/2010
$
45,05 $
145,056 Updated portfolio data from servicer
5/20/2011
$
(145,056 $
9/30/2009
$
890,000 $
12/30/2009
$
1,260,00 $
3/26/2010
$
(20,000 $
3,540,000 Updated portfolio data from servicer
7/14/2010
$
(240,000 $
3,300,000 Updated portfolio data from servicer
9/30/2010
$
471,44 $
3,771,446 Updated portfolio data from servicer
1/6/2011
$
(3 $
3/30/2011
$
(4 $
4/13/2011
$
(1,100,000 $
6/29/2011
$
(38 $
6/28/2012
$
(29 $
9/27/2012
$
(79 $
12/27/2012
$
(13 $
3/25/2013
$
4/9/2013
$
(2,324,244 $
9/30/2009
$
(53,670,000) $
12/30/2009
$
250,450,00 $
346,986 Termination of SPA
Updated portfolio data from servicer & HPDP initial
1,218,820,000 cap
Updated portfolio data from servicer & HAFA initial
1,469,270,000 cap
3/26/2010
$
124,820,00 $
1,594,090,000 Updated portfolio data from servicer
7/14/2010
$
(289,990,000 $
1,304,100,000 Updated portfolio data from servicer
9/30/2010
$
1,690,50 $
1,305,790,508 Updated portfolio data from servicer
10/15/2010
$
300,00 $
1,306,090,508 Transfer of cap due to servicing transfer
11/16/2010
$
(100,000 $
1,305,990,508 Transfer of cap due to servicing transfer
1/6/2011
$
(1,173 $
(50 $
- Termination of SPA
Updated portfolio data from servicer & HPDP initial
2,300,000 cap
Updated portfolio data from servicer & HAFA initial
3,560,000 cap
3,771,443 Updated portfolio data from servicer
Updated due to quarterly assessment and
3,771,439 reallocation
2,671,439 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
2,671,401 reallocation
Updated due to quarterly assessment and
2,671,372 reallocation
Updated due to quarterly assessment and
2,671,293 reallocation
Updated due to quarterly assessment and
2,671,280 reallocation
Updated due to quarterly assessment and
2,671,230 reallocation
1,305,989,335 Updated portfolio data from servicer
85
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
7/22/2009
Mortgage Center, LLC
Southfield
MI
Purchase
Financial Instrument for Home Loan Modifications
$
4,210,000
N/A
10439
10439
10439
10439
10439
10439
10439
10439
10439
10439
10439
10439
10439
10439
7/22/2009
Mission Federal Credit Union
San Diego
CA
Purchase
Financial Instrument for Home Loan Modifications
$
860,000
N/A
1000455
1000455
1000455
1000455
1000455
1000455
1000455
1000455
1000455
1000455
7/29/2009
FIRST BANK
St. Louis
MO
Purchase
Financial Instrument for Home Loan Modifications
$
6,460,000
N/A
10455
10455
10455
10455
10455
10455
10455
10455
10455
10455
10455
10455
10455
7/29/2009
Purdue Employees Federal Credit Union
West Lafayette
IN
Purchase
Financial Instrument for Home Loan Modifications
$
1,090,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
(500,000 $
2/16/2011
$
3/30/2011
$
(1,400 $
4/13/2011
$
3,100,00 $
6/29/2011
$
(12,883 $
Reason for Adjustment
1,305,489,335 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,305,487,935 reallocation
1,308,587,935 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,308,575,052 reallocation
9/15/2011
$
(1,000,000 $
1,307,575,052 Transfer of cap due to servicing transfer
10/14/2011
$
(100,000 $
1,307,475,052 Transfer of cap due to servicing transfer
11/16/2011
$
(1,100,000 $
1,306,375,052 Transfer of cap due to servicing transfer
5/16/2012
$
(10,000 $
6/28/2012
$
(8,378 $
7/16/2012
$
(470,000 $
8/16/2012
$
(80,000 $
9/27/2012
$
(22,494 $
10/16/2012
$
(260,000 $
1,305,524,180 Transfer of cap due to servicing transfer
11/15/2012
$
(30,000 $
1,305,494,180 Transfer of cap due to servicing transfer
12/14/2012
$
(50,000 $
12/27/2012
$
(3,676 $
1,305,444,180 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,305,440,504 reallocation
1/16/2013
$
(80,000 $
1,305,360,504 Transfer of cap due to servicing transfer
2/14/2013
$
20,00 $
1,305,380,504 Transfer of cap due to servicing transfer
3/14/2013
$
(84,160,000 $
3/25/2013
$
(12,82 $
4/16/2013
$
(621,110,000 $
5/16/2013
$
(19,120,000 $
6/27/2013
$
(1,94 $
7/16/2013
$
(14,870,000 $
9/27/2013
$
(655 $
12/16/2013
$
20,00 $
12/23/2013
$
(1,110,189 $
1,306,365,052 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,306,356,674 reallocation
1,305,886,674 Transfer of cap due to servicing transfer
1,305,806,674 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,305,784,180 reallocation
1,221,220,504 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,221,207,683 reallocation
600,097,683 Transfer of cap due to servicing transfer
580,977,683 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
580,975,736 reallocation
566,105,736 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
566,105,081 reallocation
566,125,081 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
565,014,892 reallocation
Updated portfolio data from servicer & HPDP initial
5,990,000 cap
Updated portfolio data from servicer & HAFA initial
8,830,000 cap
9/30/2009
$
1,780,000 $
12/30/2009
$
2,840,00 $
3/26/2010
$
2,800,00 $
11,630,000 Updated portfolio data from servicer
7/14/2010
$
(5,730,000 $
5,900,000 Updated portfolio data from servicer
9/30/2010
$
2,658,28 $
8,558,280 Updated portfolio data from servicer
1/6/2011
$
(12 $
3/30/2011
$
(14 $
6/29/2011
$
(129 $
6/28/2012
$
(94 $
9/27/2012
$
(256 $
12/27/2012
$
(43 $
3/25/2013
$
(162 $
6/27/2013
$
(60 $
9/27/2013
$
(2 $
12/23/2013
$
(35,75 $
(490,000) $
8,558,268 Updated portfolio data from servicer
Updated due to quarterly assessment and
8,558,254 reallocation
Updated due to quarterly assessment and
8,558,125 reallocation
Updated due to quarterly assessment and
8,558,031 reallocation
Updated due to quarterly assessment and
8,557,775 reallocation
Updated due to quarterly assessment and
8,557,732 reallocation
Updated due to quarterly assessment and
8,557,570 reallocation
Updated due to quarterly assessment and
8,557,510 reallocation
Updated due to quarterly assessment and
8,557,489 reallocation
Updated due to quarterly assessment and
8,521,738 reallocation
Updated portfolio data from servicer & HPDP initial
370,000 cap
Updated portfolio data from servicer & HAFA initial
7,120,000 cap
9/30/2009
$
12/30/2009
$
6,750,00 $
3/26/2010
$
(6,340,000 $
780,000 Updated portfolio data from servicer
7/14/2010
$
(180,000 $
600,000 Updated portfolio data from servicer
9/30/2010
$
125,27 $
3/30/2011
$
( $
6/29/2011
$
(4 $
6/28/2012
$
( $
9/27/2012
$
( $
3/25/2013
$
47,66 $
12/23/2013
$
(149 $
9/30/2009
$
(1,530,000) $
12/30/2009
$
680,00 $
3/26/2010
$
2,460,00 $
8,070,000 Updated portfolio data from servicer
7/14/2010
$
(2,470,000 $
5,600,000 Updated portfolio data from servicer
9/30/2010
$
2,523,11 $
1/6/2011
$
(2 $
3/30/2011
$
(2 $
6/29/2011
$
(15 $
6/28/2012
$
(3 $
9/27/2012
$
(5 $
12/27/2012
$
( $
3/25/2013
$
(5 $
6/27/2013
$
( $
12/23/2013
$
(474 $
9/30/2009
$
(60,000) $
725,278 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,277 reallocation
Updated due to quarterly assessment and
725,273 reallocation
Updated due to quarterly assessment and
725,272 reallocation
Updated due to quarterly assessment and
725,271 reallocation
Updated due to quarterly assessment and
772,934 reallocation
Updated due to quarterly assessment and
772,785 reallocation
Updated portfolio data from servicer & HPDP initial
4,930,000 cap
Updated portfolio data from servicer & HAFA initial
5,610,000 cap
8,123,114 Updated portfolio data from servicer
8,123,112 Updated portfolio data from servicer
Updated due to quarterly assessment and
8,123,110 reallocation
Updated due to quarterly assessment and
8,123,095 reallocation
Updated due to quarterly assessment and
8,123,092 reallocation
Updated due to quarterly assessment and
8,123,087 reallocation
Updated due to quarterly assessment and
8,123,086 reallocation
Updated due to quarterly assessment and
8,123,081 reallocation
Updated due to quarterly assessment and
8,123,080 reallocation
Updated due to quarterly assessment and
8,122,606 reallocation
Updated portfolio data from servicer & HPDP initial
1,030,000 cap
86
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
1000505
1000505
1000505
1000505
1000505
1000505
1000505
1000505
1000505
1000505
1000505
1000505
1000505
1000505
7/29/2009
Wachovia Bank, N.A.
Charlotte
NC
Purchase
Financial Instrument for Home Loan Modifications
$
85,020,000
N/A
1000902
1000902
1000902
1000902
1000902
7/31/2009
JP Morgan Chase Bank, NA
Lewisville
TX
Purchase
Financial Instrument for Home Loan Modifications
$
2,699,720,000
N/A
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
7/31/2009
EMC Mortgage Corporation
Lewisville
TX
Purchase
Financial Instrument for Home Loan Modifications
$
707,380,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
1,260,00 $
Updated portfolio data from servicer & HAFA initial
2,290,000 cap
$
2,070,00 $
4,360,000 Updated portfolio data from servicer
$
(3,960,000 $
400,000 Updated portfolio data from servicer
9/30/2010
$
180,22 $
580,222 Updated portfolio data from servicer
1/6/2011
$
( $
3/30/2011
$
( $
6/29/2011
$
(8 $
6/28/2012
$
(6 $
9/27/2012
$
(1 $
12/27/2012
$
(3 $
3/25/2013
$
(1 $
6/27/2013
$
(4 $
9/27/2013
$
( $
12/23/2013
$
(2,474 $
12/30/2009
$
3/26/2010
7/14/2010
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
Updated due to quarterly assessment and
580,206 reallocation
Updated due to quarterly assessment and
580,189 reallocation
Updated due to quarterly assessment and
580,186 reallocation
Updated due to quarterly assessment and
580,175 reallocation
Updated due to quarterly assessment and
580,171 reallocation
Updated due to quarterly assessment and
580,170 reallocation
Updated due to quarterly assessment and
577,696 reallocation
Updated portfolio data from servicer & HPDP initial
47,320,000 cap
Updated portfolio data from servicer & HAFA initial
73,480,000 cap
9/30/2009
$
(37,700,000) $
12/30/2009
$
26,160,00 $
3/26/2010
$
9,820,00 $
83,300,000 Updated portfolio data from servicer
7/14/2010
$
(46,200,000 $
37,100,000 Updated portfolio data from servicer
9/30/2010
$
(28,686,775 $
8,413,225 Updated portfolio data from servicer
12/3/2010
$
(8,413,225 $
9/30/2009
$
(14,850,000) $
12/30/2009
$
3/26/2010
$
1,006,580,00 $
7/14/2010
$
(1,934,230,00 $
9/30/2010
$
72,400,00 $
9/30/2010
$
215,625,53 $
3,223,425,536 Updated portfolio data from servicer
1/6/2011
$
(3,636 $
3,223,421,900 Updated portfolio data from servicer
3/16/2011
$
(100,000 $
3/30/2011
$
(3,999 $
4/13/2011
$
(200,000 $
5/13/2011
$
122,700,00 $
6/29/2011
$
(34,606 $
3,345,817,901 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,345,783,295 reallocation
7/14/2011
$
600,00 $
3,346,383,295 Transfer of cap due to servicing transfer
8/16/2011
$
(400,000 $
3,345,983,295 Transfer of cap due to servicing transfer
9/15/2011
$
(100,000 $
3,345,883,295 Transfer of cap due to servicing transfer
10/14/2011
$
200,00 $
3,346,083,295 Transfer of cap due to servicing transfer
10/19/2011
$
519,211,30 $
3,865,294,604 Transfer of cap due to servicing transfer
11/16/2011
$
(2,800,000 $
3,862,494,604 Transfer of cap due to servicing transfer
1/13/2012
$
(100,000 $
3,862,394,604 Transfer of cap due to servicing transfer
2/16/2012
$
(100,000 $
3,862,294,604 Transfer of cap due to servicing transfer
5/16/2012
$
(126,080,000 $
3,736,214,604 Transfer of cap due to servicing transfer
6/14/2012
$
(1,620,000 $
6/28/2012
$
(16,192 $
7/16/2012
$
(2,300,000 $
8/16/2012
$
(20,000 $
9/27/2012
$
(37,34 $
10/16/2012
$
(1,130,000 $
3,731,091,071 Transfer of cap due to servicing transfer
11/15/2012
$
(3,770,000 $
3,727,321,071 Transfer of cap due to servicing transfer
12/14/2012
$
(180,000 $
12/27/2012
$
(4,535 $
1/16/2013
$
(60,000 $
3,727,076,536 Transfer of cap due to servicing transfer
2/14/2013
$
(520,000 $
3,726,556,536 Transfer of cap due to servicing transfer
3/14/2013
$
(90,000 $
3/25/2013
$
(14,310 $
4/16/2013
$
(110,000 $
3,726,342,226 Transfer of cap due to servicing transfer
5/16/2013
$
(120,000 $
3,726,222,226 Transfer of cap due to servicing transfer
6/14/2013
$
(50,000 $
6/27/2013
$
(3,778 $
7/16/2013
$
(103,240,000 $
3,622,928,448 Transfer of cap due to servicing transfer
8/15/2013
$
(20,000 $
3,622,908,448 Transfer of cap due to servicing transfer
9/16/2013
$
(99,960,000 $
9/27/2013
$
(724 $
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 $
12/23/2013
$
(840,396 $
1/16/2014
$
(5,790,000 $
9/30/2009
$
(10,000) $
1,178,180,00 $
- Termination of SPA
Updated portfolio data from servicer & HPDP initial
2,684,870,000 cap
Updated portfolio data from servicer & HAFA initial
3,863,050,000 cap
Updated portfolio data from servicer & 2MP initial
4,869,630,000 cap
2,935,400,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, Initial FHA-2LP cap, and
3,007,800,000 initial RD-HAMP
3,223,321,900 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,223,317,901 reallocation
3,223,117,901 Transfer of cap due to servicing transfer
3,734,594,604 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,734,578,412 reallocation
3,732,278,412 Transfer of cap due to servicing transfer
3,732,258,412 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,732,221,071 reallocation
3,727,141,071 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,727,136,536 reallocation
3,726,466,536 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,726,452,226 reallocation
3,726,172,226 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,726,168,448 reallocation
3,522,948,448 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,522,947,724 reallocation
3,429,297,724 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,428,457,328 reallocation
3,422,667,328 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP initial
707,370,000 cap
87
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020
8/5/2009
Lake City Bank
14
Warsaw
IN
Purchase
Financial Instrument for Home Loan Modifications
$
420,000
N/A
1000840
1000840
1000840
1000840
1000840
1000840
1000840
1000840
1000840
1000840
1000840
8/5/2009
Oakland Municipal Credit Union
Oakland
CA
Purchase
Financial Instrument for Home Loan Modifications
$
140,000
N/A
1000609
1000609
1000609
1000609
1000609
1000609
1000609
1000609
1000609
8/5/2009
HomEq Servicing
12
North Highlands
CA
Purchase
Financial Instrument for Home Loan Modifications
$
674,000,000
N/A
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
8/12/2009
Litton Loan Servicing, LP
Houston
10438
10438
10438
10438
10438
10438
10438
TX
Purchase
Financial Instrument for Home Loan Modifications
$
774,900,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
Updated portfolio data from servicer & HAFA initial
1,209,800,000 cap
Updated portfolio data from servicer & 2MP initial
1,075,240,000 cap
12/30/2009
$
502,430,00 $
3/26/2010
$
(134,560,000 $
7/14/2010
$
(392,140,000 $
7/16/2010
$
(630,000 $
9/30/2010
$
13,100,00 $
695,570,000 Initial FHA-HAMP cap and initial FHA-2LP cap
9/30/2010
$
(8,006,45 $
687,563,543 Updated portfolio data from servicer
10/15/2010
$
(100,000 $
12/15/2010
$
(4,400,000 $
683,063,543 Updated portfolio data from servicer
1/6/2011
$
(802 $
683,062,741 Updated portfolio data from servicer
2/16/2011
$
(900,000 $
3/16/2011
$
(4,000,000 $
3/30/2011
$
(925 $
5/13/2011
$
(122,900,000 $
6/29/2011
$
(8,728 $
683,100,000 Updated portfolio data from servicer
682,470,000 Transfer of cap to Saxon Mortgage Services, Inc
687,463,543 Transfer of cap due to servicing transfer
682,162,741 Transfer of cap due to servicing transfer
678,162,741 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
678,161,816 reallocation
555,261,816 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
555,253,088 reallocation
7/14/2011
$
(600,000 $
10/19/2011
$
(519,211,309 $
554,653,088 Transfer of cap due to servicing transfer
9/30/2009
$
180,000 $
12/30/2009
$
(350,000 $
3/26/2010
$
20,00 $
270,000 Updated portfolio data from servicer
7/14/2010
$
(70,000 $
200,000 Updated portfolio data from servicer
9/30/2010
$
90,11 $
6/29/2011
$
(3 $
6/28/2012
35,441,779 Termination of SPA
Updated portfolio data from servicer & HPDP initial
600,000 cap
Updated portfolio data from servicer & HAFA initial
250,000 cap
9/30/2009
$
290,000 $
12/30/2009
$
210,00 $
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
290,108 reallocation
Updated due to quarterly assessment and
290,106 reallocation
Updated due to quarterly assessment and
290,099 reallocation
Updated due to quarterly assessment and
290,098 reallocation
Updated due to quarterly assessment and
290,094 reallocation
Updated due to quarterly assessment and
290,092 reallocation
Updated due to quarterly assessment and
290,091 reallocation
Updated due to quarterly assessment and
289,112 reallocation
Updated portfolio data from servicer & HPDP initial
430,000 cap
Updated portfolio data from servicer & HAFA initial
640,000 cap
3/26/2010
$
170,00 $
810,000 Updated portfolio data from servicer
7/14/2010
$
(10,000 $
800,000 Updated portfolio data from servicer
9/30/2010
$
(74,722 $
725,278 Updated portfolio data from servicer
1/6/2011
$
( $
3/30/2011
$
( $
4/13/2011
$
(200,000 $
6/29/2011
$
( $
7/22/2011
$
(515,20 $
9/30/2009
$
(121,190,000) $
12/30/2009
$
(36,290,000 $
10,068 Termination of SPA
Updated portfolio data from servicer & HPDP initial
552,810,000 cap
Updated portfolio data from servicer & HAFA initial
516,520,000 cap
3/26/2010
$
199,320,00 $
715,840,000 Updated portfolio data from servicer
7/14/2010
$
(189,040,000 $
526,800,000 Updated portfolio data from servicer
9/30/2010
$
38,626,72 $
565,426,728 Updated portfolio data from servicer
10/15/2010
$
(170,800,000 $
12/15/2010
$
(22,200,000 $
372,426,728 Updated portfolio data from servicer
1/6/2011
$
(549 $
372,426,179 Updated portfolio data from servicer
2/16/2011
$
(900,000 $
3/30/2011
$
(653 $
6/29/2011
$
(6,168 $
6/28/2012
$
(4,634 $
8/16/2012
$
(430,000 $
9/27/2012
$
(12,728 $
12/14/2012
$
(20,000 $
12/27/2012
$
(2,148 $
3/25/2013
$
(8,13 $
6/27/2013
$
(3,07 $
9/27/2013
$
(1,10 $
11/14/2013
$
(10,000 $
12/23/2013
$
(1,858,220 $
9/30/2009
$
313,050,000 $
12/30/2009
$
275,370,00 $
371,027,539 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
369,169,319 reallocation
Updated portfolio data from servicer & HPDP initial
1,087,950,000 cap
Updated portfolio data from servicer & HAFA initial
1,363,320,000 cap
3/26/2010
$
278,910,00 $
1,642,230,000 Updated portfolio data from servicer
7/14/2010
$
(474,730,000 $
1,167,500,000 Updated portfolio data from servicer
8/13/2010
$
(700,000 $
1,166,800,000 Transfer of cap to due to servicing transfer
9/15/2010
$
(1,000,000 $
1,165,800,000 Transfer of cap to due to servicing transfer
9/30/2010
$
(115,017,236 $
10/15/2010
$
(800,000 $
$
(2 $
9/27/2012
$
( $
12/27/2012
$
( $
3/25/2013
$
(4 $
6/27/2013
$
(2 $
9/27/2013
$
( $
12/23/2013
$
(979 $
725,277 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,276 reallocation
525,276 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
525,269 reallocation
394,626,728 Transfer of cap due to servicing transfer
371,526,179 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
371,525,526 reallocation
Updated due to quarterly assessment and
371,519,358 reallocation
Updated due to quarterly assessment and
371,514,724 reallocation
371,084,724 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
371,071,996 reallocation
371,051,996 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
371,049,848 reallocation
Updated due to quarterly assessment and
371,041,711 reallocation
Updated due to quarterly assessment and
371,038,640 reallocation
Updated due to quarterly assessment and
371,037,539 reallocation
1,050,782,764 Updated portfolio data from servicer
1,049,982,764 Transfer of cap due to servicing transfer
88
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
10438
12/15/2010
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
8/12/2009
PennyMac Loan Services, LLC
18
Calasbasa
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
Adjustment
Date
CA
Purchase
Financial Instrument for Home Loan Modifications
$
6,210,000
N/A
Cap Adjustment Amount
$
Adjusted Cap
Reason for Adjustment
800,00 $
1,050,782,764 Updated portfolio data from servicer
1,050,781,478 Updated portfolio data from servicer
1/6/2011
$
(1,286 $
3/16/2011
$
8,800,00 $
3/30/2011
$
(1,470 $
4/13/2011
$
(3,300,000 $
1,056,280,008 Transfer of cap due to servicing transfer
5/13/2011
$
(300,000 $
1,055,980,008 Transfer of cap due to servicing transfer
6/16/2011
$
(700,000 $
6/29/2011
$
(13,09 $
1,055,280,008 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,055,266,911 reallocation
7/14/2011
$
(200,000 $
1,055,066,911 Transfer of cap due to servicing transfer
9/15/2011
$
(2,900,000 $
1,052,166,911 Transfer of cap due to servicing transfer
10/14/2011
$
(300,000 $
1,051,866,911 Transfer of cap due to servicing transfer
11/16/2011
$
(500,000 $
1,051,366,911 Transfer of cap due to servicing transfer
12/15/2011
$
(2,600,000 $
1,048,766,911 Transfer of cap due to servicing transfer
1/13/2012
$
(194,800,000 $
853,966,911 Transfer of cap due to servicing transfer
2/16/2012
$
(400,000 $
6/28/2012
$
(9,728 $
8/16/2012
$
(7,990,000 $
9/27/2012
$
(26,46 $
12/27/2012
$
(4,466 $
3/25/2013
$
(16,922 $
6/27/2013
$
(6,386 $
9/27/2013
$
12/16/2013
$
(60,000 $
12/23/2013
$
(3,864,503 $
1/16/2014
$
(30,000 $
1/31/2014
$
(765,231,390 $
9/30/2009
$
(1,200,000) $
12/30/2009
$
30,800,00 $
3/26/2010
$
23,200,00 $
6/16/2010
$
2,710,00 $
7/14/2010
$
(18,020,000 $
7/16/2010
$
6,680,00 $
43,700,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
50,380,000 servicing transfer
8/13/2010
$
2,600,00 $
52,980,000 Transfer of cap to due to servicing transfer
9/15/2010
$
(100,000 $
52,880,000 Transfer of cap to due to servicing transfer
9/30/2010
$
200,00 $
(2,289 $
1,059,581,478 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,059,580,008 reallocation
853,566,911 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
853,557,183 reallocation
845,567,183 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
845,540,716 reallocation
Updated due to quarterly assessment and
845,536,250 reallocation
Updated due to quarterly assessment and
845,519,328 reallocation
Updated due to quarterly assessment and
845,512,942 reallocation
Updated due to quarterly assessment and
845,510,653 reallocation
845,450,653 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
841,586,150 reallocation
841,556,150 Transfer of cap due to servicing transfer
76,324,760 Termination of SPA
Updated portfolio data from servicer & HPDP initial
5,010,000 cap
Updated portfolio data from servicer & HAFA initial
35,810,000 cap
59,010,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
61,720,000 servicing transfer
53,080,000 Initial FHA-HAMP cap and 2MP initial cap
9/30/2010
$
(1,423,19 $
51,656,803 Updated portfolio data from servicer
11/16/2010
$
1,400,00 $
53,056,803 Transfer of cap due to servicing transfer
12/15/2010
$
(100,000 $
52,956,803 Updated portfolio data from servicer
1/6/2011
$
(72 $
52,956,731 Updated portfolio data from servicer
1/13/2011
$
4,100,00 $
57,056,731 Transfer of cap due to servicing transfer
2/16/2011
$
(100,000 $
56,956,731 Transfer of cap due to servicing transfer
3/16/2011
$
4,000,00 $
3/30/2011
$
(94 $
4/13/2011
$
(100,000 $
60,856,637 Transfer of cap due to servicing transfer
5/13/2011
$
5,800,00 $
66,656,637 Transfer of cap due to servicing transfer
6/16/2011
$
600,00 $
6/29/2011
$
(812 $
60,956,731 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
60,956,637 reallocation
67,256,637 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
67,255,825 reallocation
$
2,500,00 $
69,755,825 Transfer of cap due to servicing transfer
9/15/2011
$
2,800,00 $
72,555,825 Transfer of cap due to servicing transfer
10/14/2011
$
300,00 $
72,855,825 Transfer of cap due to servicing transfer
11/16/2011
$
900,00 $
73,755,825 Transfer of cap due to servicing transfer
12/15/2011
$
800,00 $
74,555,825 Transfer of cap due to servicing transfer
1/13/2012
$
200,00 $
74,755,825 Transfer of cap due to servicing transfer
3/15/2012
$
1,900,00 $
76,655,825 Transfer of cap due to servicing transfer
4/16/2012
$
200,00 $
76,855,825 Transfer of cap due to servicing transfer
6/14/2012
$
1,340,00 $
6/28/2012
$
(340 $
7/16/2012
$
2,930,00 $
8/16/2012
$
890,00 $
9/27/2012
$
(974 $
10/16/2012
$
1,800,00 $
83,814,511 Transfer of cap due to servicing transfer
12/14/2012
$
3,860,00 $
12/27/2012
$
(154 $
87,674,511 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
87,674,357 reallocation
2/14/2013
$
2,980,00 $
3/25/2013
$
(506 $
4/16/2013
$
2,160,00 $
92,813,851 Transfer of cap due to servicing transfer
6/14/2013
$
2,440,00 $
6/27/2013
$
(128 $
95,253,851 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
95,253,723 reallocation
7/14/2011
78,195,825 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
78,195,485 reallocation
81,125,485 Transfer of cap due to servicing transfer
82,015,485 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
82,014,511 reallocation
90,654,357 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
90,653,851 reallocation
89
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
1000744
1000744
1000744
8/12/2009
Servis One, Inc., dba BSI Financial Services, Inc.
Titusville
PA
Purchase
Financial Instrument for Home Loan Modifications
$
29,730,000
N/A
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
8/28/2009
OneWest Bank
Pasadena
10008
10008
10008
10008
10008
10008
10008
10008
10008
CA
Purchase
Financial Instrument for Home Loan Modifications
$
668,440,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
9/27/2013
$
( $
10/15/2013
$
4,450,00 $
12/23/2013
$
15,826,21 $
(25,510,000) $
Reason for Adjustment
Updated due to quarterly assessment and
95,253,716 reallocation
99,703,716 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
115,529,931 reallocation
Updated portfolio data from servicer & HPDP initial
4,220,000 cap
Updated portfolio data from servicer & HAFA initial
4,740,000 cap
9/30/2009
$
12/30/2009
$
520,00 $
3/26/2010
$
4,330,00 $
4/19/2010
$
230,00 $
5/19/2010
$
850,00 $
7/14/2010
$
(850,000 $
9/15/2010
$
100,00 $
9/30/2010
$
100,00 $
9/30/2010
$
16,755,06 $
10/15/2010
$
100,00 $
26,355,064 Transfer of cap due to servicing transfer
12/15/2010
$
100,00 $
26,455,064 Updated portfolio data from servicer
1/6/2011
$
(40 $
26,455,024 Updated portfolio data from servicer
1/13/2011
$
300,00 $
26,755,024 Transfer of cap due to servicing transfer
2/16/2011
$
100,00 $
26,855,024 Transfer of cap due to servicing transfer
3/16/2011
$
2,200,00 $
3/30/2011
$
(52 $
4/13/2011
$
1,500,00 $
30,554,972 Transfer of cap due to servicing transfer
5/13/2011
$
1,000,00 $
31,554,972 Transfer of cap due to servicing transfer
6/16/2011
$
100,00 $
6/29/2011
$
(534 $
8/16/2011
$
700,00 $
32,354,438 Transfer of cap due to servicing transfer
9/15/2011
$
(600,000 $
31,754,438 Transfer of cap due to servicing transfer
10/14/2011
$
4,000,00 $
35,754,438 Transfer of cap due to servicing transfer
11/16/2011
$
600,00 $
36,354,438 Transfer of cap due to servicing transfer
12/15/2011
$
200,00 $
36,554,438 Transfer of cap due to servicing transfer
1/13/2012
$
100,00 $
36,654,438 Transfer of cap due to servicing transfer
2/16/2012
$
1,300,00 $
37,954,438 Transfer of cap due to servicing transfer
3/15/2012
$
1,100,00 $
39,054,438 Transfer of cap due to servicing transfer
4/16/2012
$
800,00 $
39,854,438 Transfer of cap due to servicing transfer
5/16/2012
$
(1,080,000 $
38,774,438 Transfer of cap due to servicing transfer
6/14/2012
$
1,560,00 $
6/28/2012
$
(465 $
40,334,438 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
40,333,973 reallocation
8/16/2012
$
70,00 $
9,070,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
9,300,000 servicing transfer
10,150,000 Initial 2MP cap
9,300,000 Updated portfolio data from servicer
9,400,000 Transfer of cap to due to servicing transfer
9,500,000 Initial FHA-HAMP cap
26,255,064 Updated portfolio data from servicer
29,055,024 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
29,054,972 reallocation
31,654,972 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
31,654,438 reallocation
40,403,973 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
40,402,701 reallocation
9/27/2012
$
(1,272 $
10/16/2012
$
2,100,00 $
42,502,701 Transfer of cap due to servicing transfer
11/15/2012
$
1,340,00 $
43,842,701 Transfer of cap due to servicing transfer
12/14/2012
$
1,160,00 $
12/27/2012
$
(239 $
45,002,701 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
45,002,462 reallocation
1/16/2013
$
210,00 $
45,212,462 Transfer of cap due to servicing transfer
2/14/2013
$
1,790,00 $
47,002,462 Transfer of cap due to servicing transfer
3/14/2013
$
1,920,00 $
3/25/2013
$
(960 $
48,922,462 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
48,921,502 reallocation
4/16/2013
$
410,00 $
49,331,502 Transfer of cap due to servicing transfer
5/16/2013
$
(60,000 $
49,271,502 Transfer of cap due to servicing transfer
6/14/2013
$
1,620,00 $
6/27/2013
$
(359 $
7/16/2013
$
2,030,00 $
52,921,143 Transfer of cap due to servicing transfer
8/15/2013
$
10,00 $
52,931,143 Transfer of cap due to servicing transfer
9/16/2013
$
2,600,00 $
9/27/2013
$
(135 $
10/15/2013
$
270,00 $
55,801,008 Transfer of cap due to servicing transfer
11/14/2013
$
30,00 $
55,831,008 Transfer of cap due to servicing transfer
12/16/2013
$
9,960,00 $
12/23/2013
$
(239,72 $
1/16/2014
$
2,090,00 $
10/2/2009
$
145,800,000 $
12/30/2009
$
1,355,930,00 $
3/26/2010
$
121,180,00 $
2,291,350,000 Updated portfolio data from servicer
7/14/2010
$
(408,850,000 $
1,882,500,000 Updated portfolio data from servicer
9/30/2010
$
5,500,00 $
9/30/2010
$
(51,741,163 $
1/6/2011
$
(2,282 $
3/30/2011
$
(2,674 $
6/29/2011
$
(24,616 $
6/28/2012
$
(15,48 $
50,891,502 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
50,891,143 reallocation
55,531,143 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
55,531,008 reallocation
65,791,008 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
65,551,281 reallocation
67,641,281 Transfer of cap due to servicing transfer
814,240,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
2,170,170,000 cap
1,888,000,000 2MP initial cap
1,836,258,837 Updated portfolio data from servicer
1,836,256,555 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,836,253,881 reallocation
Updated due to quarterly assessment and
1,836,229,265 reallocation
Updated due to quarterly assessment and
1,836,213,784 reallocation
90
Servicer Modifying Borrowers' Loans
Adjustment Details
Name of Institution
Date
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
10008
10008
10008
10008
10008
10008
10008
10008
10008
10008
8/28/2009
Stanford Federal Credit Union
Palo Alto
CA
Purchase
Financial Instrument for Home Loan Modifications
$
300,000
N/A
1000576
1000576
1000576
1000576
1000576
8/28/2009
RoundPoint Mortgage Servicing Corporation
Charlotte
NC
Purchase
Financial Instrument for Home Loan Modifications
$
570,000
N/A
1001011
1001011
1001011
1001011
1001011
1001011
1001011
1001011
1001011
1001011
1001011
1001011
1001011
1001011
1001011
1001011
1001011
1001011
1001011
1001011
1001011
1001011
9/2/2009
Horicon Bank
Horicon
WI
Purchase
Financial Instrument for Home Loan Modifications
$
560,000
N/A
1001018
1001018
1001018
1001018
1001018
1001018
1001018
1001018
1001018
1001018
1001018
1001018
1001018
1001018
9/2/2009 as amended
Vantium Capital, Inc.dba Acqura Loan Services
on 8/27/2010
Plano
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
TX
Purchase
Financial Instrument for Home Loan Modifications
$
6,000,000
N/A
10
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
(40,606 $
Reason for Adjustment
Updated due to quarterly assessment and
1,836,173,178 reallocation
Updated due to quarterly assessment and
1,836,166,490 reallocation
Updated due to quarterly assessment and
1,836,141,679 reallocation
Updated due to quarterly assessment and
1,836,132,621 reallocation
Updated due to quarterly assessment and
1,836,129,467 reallocation
9/27/2012
$
12/27/2012
$
(6,688 $
3/25/2013
$
(24,81 $
6/27/2013
$
(9,058 $
9/27/2013
$
(3,154 $
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 $
12/23/2013
$
(5,188,78 $
1/16/2014
$
(25,750,000 $
1,553,509,467 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,548,320,680 reallocation
1,522,570,680 Transfer of cap due to servicing transfer
10/2/2009
$
70,000 $
12/30/2009
$
2,680,00 $
3/26/2010
$
350,00 $
370,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
3,050,000 cap
3,400,000 Updated portfolio data from servicer
7/14/2010
$
(1,900,000 $
1,500,000 Updated portfolio data from servicer
9/30/2010
$
(1,209,889 $
290,111 Updated portfolio data from servicer
3/23/2010
$
(290,11 $
10/2/2009
$
130,000 $
12/30/2009
$
(310,000 $
3/26/2010
$
2,110,00 $
2,500,000 Updated portfolio data from servicer
7/14/2010
$
8,300,00 $
10,800,000 Updated portfolio data from servicer
9/30/2010
$
5,301,17 $
16,101,172 Updated portfolio data from servicer
1/6/2011
$
(22 $
16,101,150 Updated portfolio data from servicer
3/16/2011
$
(400,000 $
3/30/2011
$
(25 $
6/29/2011
$
(232 $
6/28/2012
$
(174 $
9/27/2012
$
(479 $
11/15/2012
$
(350,000 $
12/27/2012
$
(82 $
3/25/2013
$
(308 $
4/16/2013
$
80,00 $
15,429,850 Transfer of cap due to servicing transfer
6/14/2013
$
20,00 $
6/27/2013
$
(108 $
15,449,850 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,449,742 reallocation
7/16/2013
$
30,00 $
9/16/2013
$
640,00 $
- Termination of SPA
700,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
390,000 cap
15,701,150 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,701,125 reallocation
Updated due to quarterly assessment and
15,700,893 reallocation
Updated due to quarterly assessment and
15,700,719 reallocation
Updated due to quarterly assessment and
15,700,240 reallocation
15,350,240 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,350,158 reallocation
Updated due to quarterly assessment and
15,349,850 reallocation
15,479,742 Transfer of cap due to servicing transfer
16,119,742 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
16,119,702 reallocation
9/27/2013
$
(40 $
12/16/2013
$
190,00 $
12/23/2013
$
(67,286 $
16,309,702 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
16,242,416 reallocation
1/16/2014
$
520,00 $
16,762,416 Transfer of cap due to servicing transfer
10/2/2009
$
130,000 $
12/30/2009
$
1,040,00 $
3/26/2010
$
(1,680,000 $
50,000 Updated portfolio data from servicer
5/12/2010
$
1,260,00 $
1,310,000 Updated portfolio data from servicer
7/14/2010
$
(1,110,000 $
200,000 Updated portfolio data from servicer
9/30/2010
$
100,00 $
9/30/2010
$
(9,889 $
6/29/2011
$
(3 $
6/28/2012
$
(2 $
9/27/2012
$
( $
12/27/2012
$
( $
3/25/2013
$
(4 $
6/27/2013
$
(2 $
9/27/2013
$
( $
12/23/2013
$
(979 $
690,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
1,730,000 cap
300,000 Initial RD-HAMP
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
290,108 reallocation
Updated due to quarterly assessment and
290,106 reallocation
Updated due to quarterly assessment and
290,099 reallocation
Updated due to quarterly assessment and
290,098 reallocation
Updated due to quarterly assessment and
290,094 reallocation
Updated due to quarterly assessment and
290,092 reallocation
Updated due to quarterly assessment and
290,091 reallocation
Updated due to quarterly assessment and
289,112 reallocation
10/2/2009
$
1,310,000 $
12/30/2009
$
(3,390,000 $
3/26/2010
$
410,00 $
4,330,000 Updated portfolio data from servicer
7/14/2010
$
(730,000 $
3,600,000 Updated portfolio data from servicer
9/15/2010
$
4,700,00 $
9/30/2010
$
117,76 $
11/16/2010
$
800,00 $
12/15/2010
$
2,700,00 $
11,917,764 Updated portfolio data from servicer
11,917,747 Updated portfolio data from servicer
1/6/2011
$
(1 $
1/13/2011
$
700,00 $
2/16/2011
$
1,800,00 $
3/30/2011
$
(19 $
4/13/2011
$
300,00 $
6/29/2011
$
(189 $
7,310,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
3,920,000 cap
8,300,000 Transfer of cap due to servicing transfer
8,417,764 Updated portfolio data from servicer
9,217,764 Transfer of cap due to servicing transfer
12,617,747 Transfer of cap due to servicing transfer
14,417,747 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,417,728 reallocation
14,717,728 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,717,539 reallocation
91
Servicer Modifying Borrowers' Loans
Date
Adjustment Details
Name of Institution
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
Central Florida Educators Federal Credit Union
Lake Mary
FL
Purchase
Financial Instrument for Home Loan Modifications
$
1,250,000
N/A
1000890
1000890
1000890
1000890
1000890
1000890
1000890
1000890
1000890
1000890
1000890
1000890
1000890
1000890
9/9/2009
U.S. Bank National Association
Owensboro
KY
Purchase
Financial Instrument for Home Loan Modifications
$
114,220,000
N/A
10305
10305
10305
10305
10305
10305
10305
10305
10305
10305
10305
10305
10305
10305
9/9/2009
CUC Mortgage Corporation
Albany
NY
Purchase
Financial Instrument for Home Loan Modifications
$
4,350,000
N/A
1000483
1000483
1000483
1000483
1000483
1000483
1000483
1000483
1000483
1000483
1000483
1000483
1000483
1000483
9/11/2009
ORNL Federal Credit Union
Oak Ridge
1000467
1000467
1000467
Adjustment
Date
8/16/2011
10354
9/9/2009
Note
TN
Purchase
Financial Instrument for Home Loan Modifications
$
2,070,000
N/A
Cap Adjustment Amount
$
Adjusted Cap
Reason for Adjustment
300,00 $
15,017,539 Transfer of cap due to servicing transfer
9/15/2011
$
100,00 $
15,117,539 Transfer of cap due to servicing transfer
10/14/2011
$
100,00 $
6/28/2012
$
(14 $
15,217,539 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,217,392 reallocation
7/16/2012
$
(10,000 $
9/27/2012
$
(413 $
11/15/2012
$
(40,000 $
12/27/2012
$
(7 $
2/14/2013
$
(770,000 $
3/14/2013
$
(20,000 $
3/25/2013
$
(256 $
4/16/2013
$
(620,000 $
13,756,652 Transfer of cap due to servicing transfer
5/16/2013
$
40,00 $
13,796,652 Transfer of cap due to servicing transfer
6/14/2013
$
10,00 $
6/27/2013
$
(95 $
13,806,652 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
13,806,557 reallocation
7/16/2013
$
(290,000 $
9/27/2013
$
(34 $
12/16/2013
$
40,00 $
12/23/2013
$
(57,27 $
15,207,392 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,206,979 reallocation
15,166,979 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,166,908 reallocation
14,396,908 Transfer of cap due to servicing transfer
14,376,908 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,376,652 reallocation
13,516,557 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
13,516,523 reallocation
13,556,523 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
13,499,252 reallocation
10/2/2009
$
280,000 $
12/30/2009
$
(750,000 $
1,530,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
780,000 cap
3/26/2010
$
120,00 $
900,000 Updated portfolio data from servicer
7/14/2010
$
(300,000 $
600,000 Updated portfolio data from servicer
9/30/2010
$
270,33 $
870,334 Updated portfolio data from servicer
1/6/2011
$
( $
3/30/2011
$
( $
6/29/2011
$
(5 $
6/28/2012
$
21,71 $
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,327 reallocation
Updated due to quarterly assessment and
892,044 reallocation
Updated due to quarterly assessment and
1,082,121 reallocation
Updated due to quarterly assessment and
1,118,087 reallocation
Updated due to quarterly assessment and
1,177,551 reallocation
Updated due to quarterly assessment and
1,212,989 reallocation
Updated due to quarterly assessment and
1,239,915 reallocation
Updated due to quarterly assessment and
1,326,960 reallocation
9/27/2012
$
190,07 $
12/27/2012
$
35,96 $
3/25/2013
$
59,46 $
6/27/2013
$
35,43 $
9/27/2013
$
26,92 $
12/23/2013
$
87,04 $
10/2/2009
$
24,920,000 $
12/30/2009
$
49,410,00 $
139,140,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
188,550,000 cap
3/26/2010
$
41,830,00 $
230,380,000 Updated portfolio data from servicer
7/14/2010
$
(85,780,000 $
144,600,000 Updated portfolio data from servicer
9/30/2010
$
36,574,44 $
181,174,444 Updated portfolio data from servicer
1/6/2011
$
(160 $
3/30/2011
$
(172 $
6/29/2011
$
(1,43 $
6/28/2012
$
(746 $
9/27/2012
$
(1,926 $
12/27/2012
$
(308 $
3/25/2013
$
(1,135 $
6/27/2013
$
(418 $
181,174,284 Updated portfolio data from servicer
Updated due to quarterly assessment and
181,174,112 reallocation
Updated due to quarterly assessment and
181,172,681 reallocation
Updated due to quarterly assessment and
181,171,935 reallocation
Updated due to quarterly assessment and
181,170,009 reallocation
Updated due to quarterly assessment and
181,169,701 reallocation
Updated due to quarterly assessment and
181,168,566 reallocation
Updated due to quarterly assessment and
181,168,148 reallocation
Updated due to quarterly assessment and
181,168,009 reallocation
Updated due to quarterly assessment and
180,955,932 reallocation
9/27/2013
$
(139 $
12/23/2013
$
(212,07 $
10/2/2009
$
950,000 $
12/30/2009
$
5,700,00 $
3/26/2010
$
740,00 $
11,740,000 Updated portfolio data from servicer
7/14/2010
$
(1,440,000 $
10,300,000 Updated portfolio data from servicer
9/30/2010
$
(6,673,610 $
3,626,390 Updated portfolio data from servicer
1/6/2011
$
(5 $
3/30/2011
$
(6 $
6/29/2011
$
(52 $
6/28/2012
$
(38 $
9/27/2012
$
(10 $
12/27/2012
$
(18 $
3/25/2013
$
(69 $
6/27/2013
$
(26 $
9/27/2013
$
(9 $
12/23/2013
$
(15,739 $
5,300,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
11,000,000 cap
3,626,385 Updated portfolio data from servicer
Updated due to quarterly assessment and
3,626,379 reallocation
Updated due to quarterly assessment and
3,626,327 reallocation
Updated due to quarterly assessment and
3,626,289 reallocation
Updated due to quarterly assessment and
3,626,182 reallocation
Updated due to quarterly assessment and
3,626,164 reallocation
Updated due to quarterly assessment and
3,626,095 reallocation
Updated due to quarterly assessment and
3,626,069 reallocation
Updated due to quarterly assessment and
3,626,060 reallocation
Updated due to quarterly assessment and
3,610,321 reallocation
10/2/2009
$
460,000 $
12/30/2009
$
2,730,00 $
3/26/2010
$
13,280,00 $
18,540,000 Updated portfolio data from servicer
7/14/2010
$
(13,540,000 $
5,000,000 Updated portfolio data from servicer
2,530,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
5,260,000 cap
92
Servicer Modifying Borrowers' Loans
Date
Adjustment Details
Name of Institution
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
1000467
1000467
1000467
1000467
1000467
1000467
1000467
1000467
1000467
1000467
Allstate Mortgage Loans & Investments, Inc.
Ocala
FL
Purchase
Financial Instrument for Home Loan Modifications
$
250,000
N/A
1001029
1001029
1001029
1001029
1001029
1001029
1001029
1001029
1001029
9/11/2009
Metropolitan National Bank
Little Rock
AR
Purchase
Financial Instrument for Home Loan Modifications
$
280,000
N/A
1000747
1000747
1000747
1000747
1000747
1000747
9/11/2009
Franklin Credit Management Corporation
Jersey City
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
27,510,000
N/A
1000955
1000955
1000955
1000955
1000955
1000955
1000955
1000955
1000955
1000955
1000955
1000955
1000955
1000955
1000955
1000955
9/16/2009
Bay Federal Credit Union
Capitola
CA
Purchase
Financial Instrument for Home Loan Modifications
$
410,000
N/A
1001037
1001037
1001037
1001037
1001037
1001037
1001037
1001037
9/23/2009
AMS Servicing, LLC
Buffalo
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
Adjustment
Date
9/30/2010
1000467
9/11/2009
Note
NY
Purchase
Financial Instrument for Home Loan Modifications
$
4,390,000
N/A
Cap Adjustment Amount
Adjusted Cap
$
1,817,61 $
Reason for Adjustment
6,817,613 Updated portfolio data from servicer
1/6/2011
$
(10 $
3/30/2011
$
(12 $
6/29/2011
$
(115 $
6/28/2012
$
(86 $
9/27/2012
$
(236 $
12/27/2012
$
(40 $
3/25/2013
$
(149 $
6/27/2013
$
(56 $
9/27/2013
$
12/23/2013
$
(33,979 $
10/2/2009
$
60,000 $
12/30/2009
$
(80,000 $
310,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
230,000 cap
3/26/2010
$
280,00 $
510,000 Updated portfolio data from servicer
7/14/2010
$
(410,000 $
100,000 Updated portfolio data from servicer
9/30/2010
$
45,05 $
6/29/2011
$
( $
6/28/2012
$
( $
9/27/2012
$
(2 $
3/25/2013
$
( $
12/23/2013
$
(232 $
(20 $
6,817,603 Updated portfolio data from servicer
Updated due to quarterly assessment and
6,817,591 reallocation
Updated due to quarterly assessment and
6,817,476 reallocation
Updated due to quarterly assessment and
6,817,390 reallocation
Updated due to quarterly assessment and
6,817,154 reallocation
Updated due to quarterly assessment and
6,817,114 reallocation
Updated due to quarterly assessment and
6,816,965 reallocation
Updated due to quarterly assessment and
6,816,909 reallocation
Updated due to quarterly assessment and
6,816,889 reallocation
Updated due to quarterly assessment and
6,782,910 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
Updated due to quarterly assessment and
145,051 reallocation
Updated due to quarterly assessment and
144,819 reallocation
10/2/2009
$
70,000 $
12/30/2009
$
620,00 $
3/26/2010
$
100,00 $
1,070,000 Updated portfolio data from servicer
7/14/2010
$
(670,000 $
400,000 Updated portfolio data from servicer
9/30/2010
$
35,16 $
435,167 Updated portfolio data from servicer
1/6/2011
$
( $
435,166 Updated portfolio data from servicer
1/26/2011
$
(435,166 $
10/2/2009
$
6,010,000 $
12/30/2009
$
(19,750,000 $
3/26/2010
$
(4,780,000 $
8,990,000 Updated portfolio data from servicer
7/14/2010
$
(2,390,000 $
6,600,000 Updated portfolio data from servicer
9/30/2010
$
2,973,67 $
9,573,670 Updated portfolio data from servicer
1/6/2011
$
(3 $
9,573,667 Updated portfolio data from servicer
2/16/2011
$
(1,800,000 $
3/30/2011
$
(6 $
6/29/2011
$
(6 $
10/14/2011
$
(100,000 $
6/28/2012
$
(58 $
(164 $
9/27/2012
$
12/27/2012
$
(29 $
3/25/2013
$
(110 $
6/27/2013
$
(42 $
9/27/2013
$
(15 $
12/23/2013
$
(25,724 $
350,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
970,000 cap
- Termination of SPA
33,520,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
13,770,000 cap
7,773,667 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
7,773,661 reallocation
Updated due to quarterly assessment and
7,773,600 reallocation
7,673,600 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
7,673,542 reallocation
Updated due to quarterly assessment and
7,673,378 reallocation
Updated due to quarterly assessment and
7,673,349 reallocation
Updated due to quarterly assessment and
7,673,239 reallocation
Updated due to quarterly assessment and
7,673,197 reallocation
Updated due to quarterly assessment and
7,673,182 reallocation
Updated due to quarterly assessment and
7,647,458 reallocation
10/2/2009
$
90,000 $
12/30/2009
$
1,460,00 $
500,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
1,960,000 cap
3/26/2010
$
160,00 $
2,120,000 Updated portfolio data from servicer
7/14/2010
$
(120,000 $
2,000,000 Updated portfolio data from servicer
9/30/2010
$
(1,419,778 $
580,222 Updated portfolio data from servicer
1/6/2011
$
( $
3/30/2011
$
( $
6/29/2011
$
(8 $
1/25/2012
$
(580,212 $
10/2/2009
$
960,000 $
12/30/2009
$
(3,090,000 $
3/26/2010
$
230,00 $
2,490,000 Updated portfolio data from servicer
7/14/2010
$
5,310,00 $
7,800,000 Updated portfolio data from servicer
9/30/2010
$
323,11 $
8,123,114 Updated portfolio data from servicer
1/6/2011
$
(12 $
8,123,102 Updated portfolio data from servicer
3/16/2011
$
600,00 $
3/30/2011
$
(16 $
4/13/2011
$
200,00 $
8,923,086 Transfer of cap due to servicing transfer
5/13/2011
$
100,00 $
6/29/2011
$
(153 $
9,023,086 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
9,022,933 reallocation
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
- Termination of SPA
5,350,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
2,260,000 cap
8,723,102 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
8,723,086 reallocation
9/15/2011
$
100,00 $
11/16/2011
$
100,00 $
9,122,933 Transfer of cap due to servicing transfer
9,222,933 Transfer of cap due to servicing transfer
4/16/2012
$
1,100,00 $
10,322,933 Transfer of cap due to servicing transfer
93
Servicer Modifying Borrowers' Loans
Date
Adjustment Details
Name of Institution
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
9/23/2009
Schools Financial Credit Union
Sacramento
CA
Purchase
Financial Instrument for Home Loan Modifications
$
390,000
N/A
1001045
1001045
1001045
1001045
1001045
1001045
1001045
1001045
1001045
1001045
1001045
1001045
1001045
1001045
9/23/2009
Glass City Federal Credit Union
Maumee
OH
Purchase
Financial Instrument for Home Loan Modifications
$
230,000
N/A
10716
10716
10716
10716
10716
10716
10716
10716
10716
10716
10716
10716
9/23/2009
Central Jersey Federal Credit Union
Woodbridge
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
30,000
N/A
10149
10149
10149
10149
10149
9/23/2009
Yadkin Valley Bank
Elkin
1001000
1001000
1001000
1001000
1001000
1001000
1001000
1001000
1001000
1001000
NC
Purchase
Financial Instrument for Home Loan Modifications
$
240,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
6/14/2012
$
650,00 $
10,972,933 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
10,972,797 reallocation
Updated due to quarterly assessment and
10,972,450 reallocation
6/28/2012
$
(136 $
9/27/2012
$
(34 $
10/16/2012
$
250,00 $
11,222,450 Transfer of cap due to servicing transfer
11/15/2012
$
30,00 $
11,252,450 Transfer of cap due to servicing transfer
12/14/2012
$
(10,000 $
12/27/2012
$
(59 $
11,242,450 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
11,242,391 reallocation
1/16/2013
$
20,00 $
11,262,391 Transfer of cap due to servicing transfer
2/14/2013
$
290,00 $
11,552,391 Transfer of cap due to servicing transfer
3/14/2013
$
10,00 $
3/25/2013
$
(220 $
4/16/2013
$
(60,000 $
11,502,171 Transfer of cap due to servicing transfer
5/16/2013
$
50,00 $
11,552,171 Transfer of cap due to servicing transfer
6/14/2013
$
10,00 $
6/27/2013
$
(79 $
11,562,171 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
11,562,092 reallocation
7/16/2013
$
(90,000 $
11,472,092 Transfer of cap due to servicing transfer
9/16/2013
$
310,00 $
9/27/2013
$
(28 $
11,782,092 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
11,782,064 reallocation
10/15/2013
$
230,00 $
12,012,064 Transfer of cap due to servicing transfer
11/14/2013
$
120,00 $
12,132,064 Transfer of cap due to servicing transfer
12/16/2013
$
460,00 $
12/23/2013
$
(49,413 $
12,592,064 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
12,542,651 reallocation
1/16/2014
12,582,651 Transfer of cap due to servicing transfer
11,562,391 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
11,562,171 reallocation
$
40,00 $
10/2/2009
$
90,000 $
12/30/2009
$
940,00 $
3/26/2010
$
(980,000 $
7/14/2010
$
(140,000 $
300,000 Updated portfolio data from servicer
9/30/2010
$
1,150,55 $
1,450,556 Updated portfolio data from servicer
1/6/2011
$
(2 $
3/30/2011
$
(2 $
6/29/2011
$
(22 $
6/28/2012
$
(16 $
9/27/2012
$
(44 $
12/27/2012
$
( $
3/25/2013
$
(28 $
6/27/2013
$
9/27/2013
$
(4 $
12/23/2013
$
(6,41 $
(1 $
480,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
1,420,000 cap
440,000 Updated portfolio data from servicer
1,450,554 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,552 reallocation
Updated due to quarterly assessment and
1,450,530 reallocation
Updated due to quarterly assessment and
1,450,514 reallocation
Updated due to quarterly assessment and
1,450,470 reallocation
Updated due to quarterly assessment and
1,450,463 reallocation
Updated due to quarterly assessment and
1,450,435 reallocation
Updated due to quarterly assessment and
1,450,424 reallocation
Updated due to quarterly assessment and
1,450,420 reallocation
Updated due to quarterly assessment and
1,444,009 reallocation
10/2/2009
$
60,000 $
12/30/2009
$
(10,000 $
290,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
280,000 cap
3/26/2010
$
130,00 $
410,000 Updated portfolio data from servicer
7/14/2010
$
(110,000 $
300,000 Updated portfolio data from servicer
9/30/2010
$
(9,889 $
6/29/2011
$
(3 $
6/28/2012
$
(2 $
9/27/2012
$
( $
12/27/2012
$
( $
3/25/2013
$
(4 $
6/27/2013
$
(2 $
9/27/2013
$
( $
12/23/2013
$
(979 $
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
290,108 reallocation
Updated due to quarterly assessment and
290,106 reallocation
Updated due to quarterly assessment and
290,099 reallocation
Updated due to quarterly assessment and
290,098 reallocation
Updated due to quarterly assessment and
290,094 reallocation
Updated due to quarterly assessment and
290,092 reallocation
Updated due to quarterly assessment and
290,091 reallocation
Updated due to quarterly assessment and
289,112 reallocation
10/2/2009
$
10,000 $
12/30/2009
$
120,00 $
3/26/2010
$
10,00 $
170,000 Updated portfolio data from servicer
7/14/2010
$
(70,000 $
100,000 Updated portfolio data from servicer
9/30/2010
$
45,05 $
145,056 Updated portfolio data from servicer
10/29/2010
$
(145,056 $
10/2/2009
$
60,000 $
12/30/2009
$
3/26/2010
$
1,360,00 $
2,010,000 Updated portfolio data from servicer
7/14/2010
$
(1,810,000 $
200,000 Updated portfolio data from servicer
9/30/2010
$
235,16 $
435,167 Updated portfolio data from servicer
1/6/2011
$
( $
6/29/2011
$
(4 $
6/28/2012
$
(3 $
9/27/2012
$
( $
12/27/2012
$
( $
3/25/2013
$
(5 $
350,00 $
40,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
160,000 cap
- Termination of SPA
300,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
650,000 cap
435,166 Updated portfolio data from servicer
Updated due to quarterly assessment and
435,162 reallocation
Updated due to quarterly assessment and
435,159 reallocation
Updated due to quarterly assessment and
435,152 reallocation
Updated due to quarterly assessment and
435,151 reallocation
Updated due to quarterly assessment and
435,146 reallocation
94
Servicer Modifying Borrowers' Loans
Adjustment Details
Name of Institution
Date
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
1001000
1001000
1001000
9/25/2009
SEFCU
Albany
NY
Purchase
Financial Instrument for Home Loan Modifications
$
440,000
N/A
1000924
1000924
1000924
1000924
1000924
1000924
10/14/2009
Great Lakes Credit Union
North Chicago
IL
Purchase
Financial Instrument for Home Loan Modifications
$
570,000
N/A
1001122
1001122
1001122
1001122
1001122
1001122
1001122
1001122
1001122
1001122
1001122
1001122
1001122
10/14/2009
Mortgage Clearing Corporation
Tulsa
OK
Purchase
Financial Instrument for Home Loan Modifications
$
4,860,000
N/A
1001180
1001180
1001180
1001180
10/21/2009
United Bank Mortgage Corporation
Grand Rapids
MI
Purchase
Financial Instrument for Home Loan Modifications
$
410,000
N/A
1000073
1000073
1000073
1000073
1000073
1000073
1000073
1000073
1000073
1000073
1000073
1000073
1000073
10/23/2009
Bank United
Miami Lakes
FL
Purchase
Financial Instrument for Home Loan Modifications
$
93,660,000
N/A
10048
10048
10048
10048
10048
10048
10048
10048
10048
10048
10048
10048
10048
10048
10048
10048
10048
10048
10048
10048
10/23/2009
IC Federal Credit Union
Fitchburg
1000740
1000740
1000740
MA
Purchase
Financial Instrument for Home Loan Modifications
$
760,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
6/27/2013
$
(2 $
9/27/2013
$
( $
12/23/2013
$
(1,174 $
Reason for Adjustment
Updated due to quarterly assessment and
435,144 reallocation
Updated due to quarterly assessment and
435,143 reallocation
Updated due to quarterly assessment and
433,969 reallocation
10/2/2009
$
100,000 $
12/30/2009
$
20,00 $
540,000 HPDP initial cap
Updated portfolio data from servicer & HAFA initial
560,000 cap
3/26/2010
$
(290,000 $
270,000 Updated portfolio data from servicer
7/14/2010
$
(70,000 $
200,000 Updated portfolio data from servicer
9/30/2010
$
(54,944 $
6/29/2011
$
( $
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
4/11/2012
$
(145,055 $
12/30/2009
$
1,030,000 $
3/26/2010
$
(880,000 $
720,000 Updated portfolio data from servicer
7/14/2010
$
(320,000 $
400,000 Updated portfolio data from servicer
9/30/2010
$
180,22 $
580,222 Updated portfolio data from servicer
1/6/2011
$
( $
3/30/2011
$
( $
6/29/2011
$
(8 $
6/28/2012
$
(6 $
9/27/2012
$
(1 $
12/27/2012
$
(3 $
3/25/2013
$
(1 $
6/27/2013
$
(4 $
- Termination of SPA
Updated portfolio data from servicer & HAFA initial
1,600,000 cap
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
Updated due to quarterly assessment and
580,206 reallocation
Updated due to quarterly assessment and
580,189 reallocation
Updated due to quarterly assessment and
580,186 reallocation
Updated due to quarterly assessment and
580,175 reallocation
Updated due to quarterly assessment and
580,171 reallocation
Updated due to quarterly assessment and
580,170 reallocation
Updated due to quarterly assessment and
577,732 reallocation
Updated portfolio data from servicer & HAFA initial
1,960,000 cap
9/27/2013
$
( $
12/23/2013
$
(2,438 $
12/30/2009
$
(2,900,000) $
3/26/2010
$
(1,600,000 $
360,000 Updated portfolio data from servicer
7/14/2010
$
(260,000 $
100,000 Updated portfolio data from servicer
9/30/2010
$
45,05 $
145,056 Updated portfolio data from servicer
3/9/2011
$
(145,056 $
1/22/2010
$
20,000 $
430,000 Updated HPDP cap & HAFA initial cap
3/26/2010
$
400,00 $
830,000 Updated portfolio data from servicer
7/14/2010
$
(430,000 $
400,000 Updated portfolio data from servicer
9/30/2010
$
180,22 $
580,222 Updated portfolio data from servicer
1/6/2011
$
( $
3/30/2011
$
( $
6/29/2011
$
6/28/2012
$
(4 $
9/27/2012
$
(1 $
12/27/2012
$
(2 $
3/25/2013
$
( $
6/27/2013
$
(2 $
9/27/2013
$
( $
12/23/2013
$
(1,47 $
(5 $
- Termination of SPA
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,215 reallocation
Updated due to quarterly assessment and
580,211 reallocation
Updated due to quarterly assessment and
580,200 reallocation
Updated due to quarterly assessment and
580,198 reallocation
Updated due to quarterly assessment and
580,191 reallocation
Updated due to quarterly assessment and
580,189 reallocation
Updated due to quarterly assessment and
580,188 reallocation
Updated due to quarterly assessment and
578,717 reallocation
1/22/2010
$
4,370,000 $
3/26/2010
$
23,880,00 $
121,910,000 Updated portfolio data from servicer
7/14/2010
$
(16,610,000 $
105,300,000 Updated portfolio data from servicer
9/30/2010
$
1,751,03 $
107,051,033 Updated portfolio data from servicer
1/6/2011
$
(7 $
107,050,956 Updated portfolio data from servicer
3/16/2011
$
(9,900,000 $
3/30/2011
$
(88 $
6/29/2011
$
(773 $
3/15/2012
$
(1,400,000 $
6/28/2012
$
(27 $
(549 $
98,030,000 Updated HPDP cap & HAFA initial cap
97,150,956 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
97,150,868 reallocation
Updated due to quarterly assessment and
97,150,095 reallocation
95,750,095 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
95,749,818 reallocation
Updated due to quarterly assessment and
95,749,269 reallocation
Updated due to quarterly assessment and
95,749,204 reallocation
9/27/2012
$
12/27/2012
$
(65 $
2/14/2013
$
(2,670,000 $
3/25/2013
$
(142 $
5/16/2013
$
(610,000 $
6/27/2013
$
(48 $
9/16/2013
$
(40,000 $
9/27/2013
$
(14 $
11/14/2013
$
(30,000 $
12/16/2013
$
(1,190,000 $
12/23/2013
$
(14,953 $
91,209,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
91,194,047 reallocation
1/22/2010
$
40,000 $
800,000 Updated HPDP cap & HAFA initial cap
3/26/2010
$
(760,000 $
40,000 Updated portfolio data from servicer
5/12/2010
$
2,630,00 $
2,670,000 Updated portfolio data from servicer
7/14/2010
$
(770,000 $
1,900,000 Updated portfolio data from servicer
93,079,204 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
93,079,062 reallocation
92,469,062 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
92,469,014 reallocation
92,429,014 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
92,429,000 reallocation
92,399,000 Transfer of cap due to servicing transfer
95
Servicer Modifying Borrowers' Loans
Date
Adjustment Details
Name of Institution
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
1000740
1000740
1000740
1000740
1000740
1000740
1000740
1000740
1000740
1000740
10/28/2009
Harleysville National Bank & Trust Company
Harleysville
PA
Purchase
Financial Instrument for Home Loan Modifications
$
1,070,000
N/A
10/28/2009
Members Mortgage Company, Inc
Woburn
MA
Purchase
Financial Instrument for Home Loan Modifications
$
510,000
N/A
10/30/2009
DuPage Credit Union
Naperville
IL
Purchase
Financial Instrument for Home Loan Modifications
$
70,000
N/A
1000585
1000585
1000585
1000585
1000585
1000585
1000585
Los Alamos National Bank
Los Alamos
NM
Purchase
Financial Instrument for Home Loan Modifications
$
700,000
N/A
1000676
1000676
1000676
1000676
1000676
1000676
1000676
1000676
1000676
1000676
1000676
1000676
1000676
11/18/2009
Quantum Servicing Corporation
Tampa
FL
Purchase
Financial Instrument for Home Loan Modifications
$
18,960,000
N/A
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
11/18/2009
Hillsdale County National Bank
Hillsdale
1000443
1000443
1000443
Adjustment
Date
9/30/2010
1000740
11/6/2009
Note
MI
Purchase
Financial Instrument for Home Loan Modifications
$
1,670,000
N/A
Cap Adjustment Amount
Adjusted Cap
$
565,94 $
Reason for Adjustment
2,465,945 Updated portfolio data from servicer
1/6/2011
$
(4 $
3/30/2011
$
(4 $
6/29/2011
$
(40 $
6/28/2012
$
(29 $
9/27/2012
$
(80 $
12/27/2012
$
(14 $
3/25/2013
$
(52 $
6/27/2013
$
(19 $
9/27/2013
$
12/23/2013
$
(11,558 $
4/21/2010
$
(1,070,000) $
4/21/2010
$
(510,000) $
1/22/2010
$
10,000 $
3/26/2010
$
10,00 $
90,000 Updated portfolio data from servicer
7/14/2010
$
10,00 $
100,000 Updated portfolio data from servicer
9/30/2010
$
45,05 $
6/29/2011
$
( $
9/27/2012
$
( $
3/25/2013
$
( $
12/23/2013
$
(145 $
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,053 reallocation
Updated due to quarterly assessment and
144,908 reallocation
( $
2,465,941 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,465,937 reallocation
Updated due to quarterly assessment and
2,465,897 reallocation
Updated due to quarterly assessment and
2,465,868 reallocation
Updated due to quarterly assessment and
2,465,788 reallocation
Updated due to quarterly assessment and
2,465,774 reallocation
Updated due to quarterly assessment and
2,465,722 reallocation
Updated due to quarterly assessment and
2,465,703 reallocation
Updated due to quarterly assessment and
2,465,696 reallocation
Updated due to quarterly assessment and
2,454,138 reallocation
- Termination of SPA
- Termination of SPA
80,000 Updated HPDP cap & HAFA initial cap
1/22/2010
$
40,000 $
3/26/2010
$
50,00 $
790,000 Updated portfolio data from servicer
740,000 Updated HPDP cap & HAFA initial cap
7/14/2010
$
1,310,00 $
2,100,000 Updated portfolio data from servicer
9/30/2010
$
75,83 $
2,175,834 Updated portfolio data from servicer
1/6/2011
$
(3 $
3/30/2011
$
(4 $
6/29/2011
$
(35 $
6/28/2012
$
(26 $
9/27/2012
$
(70 $
12/27/2012
$
(12 $
3/25/2013
$
(45 $
6/27/2013
$
(1 $
9/27/2013
$
(6 $
12/23/2013
$
(9,932 $
2,175,831 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,175,827 reallocation
Updated due to quarterly assessment and
2,175,792 reallocation
Updated due to quarterly assessment and
2,175,766 reallocation
Updated due to quarterly assessment and
2,175,696 reallocation
Updated due to quarterly assessment and
2,175,684 reallocation
Updated due to quarterly assessment and
2,175,639 reallocation
Updated due to quarterly assessment and
2,175,622 reallocation
Updated due to quarterly assessment and
2,175,616 reallocation
Updated due to quarterly assessment and
2,165,684 reallocation
1/22/2010
$
890,000 $
19,850,000 Updated HPDP cap & HAFA initial cap
3/26/2010
$
3,840,00 $
23,690,000 Updated portfolio data from servicer
7/14/2010
$
(2,890,000 $
20,800,000 Updated portfolio data from servicer
9/30/2010
$
9,661,67 $
30,461,676 Updated portfolio data from servicer
1/6/2011
$
(46 $
30,461,630 Updated portfolio data from servicer
1/13/2011
$
1,600,00 $
32,061,630 Transfer of cap due to servicing transfer
2/16/2011
$
1,400,00 $
3/30/2011
$
(58 $
33,461,630 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
33,461,572 reallocation
4/13/2011
$
100,00 $
33,561,572 Transfer of cap due to servicing transfer
5/13/2011
$
100,00 $
33,661,572 Transfer of cap due to servicing transfer
6/16/2011
$
800,00 $
6/29/2011
$
(559 $
34,461,572 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
34,461,013 reallocation
7/14/2011
$
300,00 $
34,761,013 Transfer of cap due to servicing transfer
8/16/2011
$
200,00 $
34,961,013 Transfer of cap due to servicing transfer
9/15/2011
$
100,00 $
35,061,013 Transfer of cap due to servicing transfer
1/13/2012
$
100,00 $
35,161,013 Transfer of cap due to servicing transfer
6/14/2012
$
330,00 $
6/28/2012
$
(428 $
35,491,013 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
35,490,585 reallocation
Updated due to quarterly assessment and
35,489,401 reallocation
9/27/2012
$
(1,184 $
10/16/2012
$
(1,910,000 $
11/15/2012
$
(980,000 $
12/27/2012
$
(18 $
3/25/2013
$
(70 $
4/16/2013
$
(240,000 $
6/27/2013
$
(268 $
7/16/2013
$
10,00 $
9/27/2013
$
(96 $
11/14/2013
$
(20,000 $
12/23/2013
$
(162,518 $
33,579,401 Transfer of cap due to servicing transfer
32,599,401 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
32,599,214 reallocation
Updated due to quarterly assessment and
32,598,507 reallocation
32,358,507 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
32,358,239 reallocation
32,368,239 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
32,368,143 reallocation
32,348,143 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
32,185,625 reallocation
1/22/2010
$
80,000 $
1,750,000 Updated HPDP cap & HAFA initial cap
3/26/2010
$
330,00 $
2,080,000 Updated portfolio data from servicer
7/14/2010
$
(1,080,000 $
1,000,000 Updated portfolio data from servicer
9/30/2010
$
160,44 $
1,160,445 Updated portfolio data from servicer
96
Servicer Modifying Borrowers' Loans
Adjustment Details
Name of Institution
Date
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
1000443
1000443
1000443
1000443
1000443
1000443
1000443
1000443
1000443
1000443
11/18/2009
QLending, Inc.
Coral Gables
FL
Purchase
Financial Instrument for Home Loan Modifications
$
20,000
N/A
1001304
1001304
1001304
1001304
1001304
1001304
1001304
11/25/2009
Marix Servicing, LLC
Phoenix
AZ
Purchase
Financial Instrument for Home Loan Modifications
$
20,360,000
N/A
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
11/25/2009
Home Financing Center, Inc
Coral Gables
FL
Purchase
Financial Instrument for Home Loan Modifications
$
230,000
N/A
11/25/2009
First Keystone Bank
Media
PA
Purchase
Financial Instrument for Home Loan Modifications
$
1,280,000
N/A
10519
10519
10519
10519
10519
10519
10519
10519
12/4/2009
Community Bank & Trust Company
12
Clarks Summit
1000978
1000978
1000978
PA
Purchase
Financial Instrument for Home Loan Modifications
$
380,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
( $
1/6/2011
$
3/30/2011
$
(2 $
6/29/2011
$
(16 $
6/28/2012
$
(12 $
9/27/2012
$
(33 $
12/27/2012
$
(6 $
3/25/2013
$
(2 $
6/27/2013
$
(8 $
9/27/2013
$
(3 $
12/23/2013
$
(4,79 $
Reason for Adjustment
1,160,444 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,160,442 reallocation
Updated due to quarterly assessment and
1,160,426 reallocation
Updated due to quarterly assessment and
1,160,414 reallocation
Updated due to quarterly assessment and
1,160,381 reallocation
Updated due to quarterly assessment and
1,160,375 reallocation
Updated due to quarterly assessment and
1,160,354 reallocation
Updated due to quarterly assessment and
1,160,346 reallocation
Updated due to quarterly assessment and
1,160,343 reallocation
Updated due to quarterly assessment and
1,155,546 reallocation
3/26/2010
$
(10,000) $
10,000 Updated portfolio data from servicer
7/14/2010
$
90,00 $
100,000 Updated portfolio data from servicer
9/30/2010
$
45,05 $
6/29/2011
$
( $
6/28/2012
$
( $
9/27/2012
$
(2 $
3/25/2013
$
( $
12/23/2013
$
(232 $
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
Updated due to quarterly assessment and
145,051 reallocation
Updated due to quarterly assessment and
144,819 reallocation
1/22/2010
$
950,000 $
3/26/2010
$
(17,880,000 $
21,310,000 Updated HPDP cap & HAFA initial cap
6/16/2010
$
1,030,00 $
3,430,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
4,460,000 servicing transfer
7/14/2010
$
(1,160,000 $
3,300,000 Updated portfolio data from servicer
8/13/2010
$
800,00 $
4,100,000 Transfer of cap due to servicing transfer
9/30/2010
$
200,00 $
4,300,000 Initial FHA-HAMP cap and initial RD-HAMP
9/30/2010
$
1,357,16 $
5,657,168 Updated portfolio data from servicer
1/6/2011
$
( $
3/16/2011
$
5,700,00 $
3/30/2011
$
(6 $
5,657,167 Updated portfolio data from servicer
4/13/2011
$
7,300,00 $
18,657,161 Transfer of cap due to servicing transfer
5/13/2011
$
300,00 $
18,957,161 Transfer of cap due to servicing transfer
6/16/2011
$
900,00 $
6/29/2011
$
(154 $
19,857,161 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
19,857,007 reallocation
7/14/2011
$
100,00 $
19,957,007 Transfer of cap due to servicing transfer
8/16/2011
$
300,00 $
20,257,007 Transfer of cap due to servicing transfer
1/13/2012
$
(1,500,000 $
18,757,007 Transfer of cap due to servicing transfer
2/16/2012
$
(2,100,000 $
16,657,007 Transfer of cap due to servicing transfer
4/16/2012
$
(1,300,000 $
15,357,007 Transfer of cap due to servicing transfer
6/14/2012
$
(8,350,000 $
6/28/2012
$
(38 $
8/16/2012
$
(90,000 $
9/27/2012
$
(103 $
10/16/2012
$
(1,020,000 $
11/15/2012
$
170,00 $
12/27/2012
$
(15 $
2/14/2013
$
(100,000 $
5,966,851 Transfer of cap due to servicing transfer
3/14/2013
$
(490,000 $
3/25/2013
$
(6 $
5,476,851 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,476,790 reallocation
4/16/2013
$
(10,000 $
5,466,790 Transfer of cap due to servicing transfer
5/16/2013
$
(30,000 $
5,436,790 Transfer of cap due to servicing transfer
6/14/2013
$
(10,000 $
6/27/2013
$
(23 $
5,426,790 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,426,767 reallocation
7/16/2013
$
(20,000 $
9/27/2013
$
(8 $
12/23/2013
$
(13,934 $
4/21/2010
$
(230,000) $
1/22/2010
$
50,000 $
3/26/2010
$
1,020,00 $
2,350,000 Updated portfolio data from servicer
7/14/2010
$
(950,000 $
1,400,000 Updated portfolio data from servicer
9/30/2010
$
50,55 $
1,450,556 Updated portfolio data from servicer
1/6/2011
$
(2 $
3/30/2011
$
(2 $
6/16/2011
$
(100,000 $
6/29/2011
$
(2 $
7/22/2011
$
(1,335,614 $
1/22/2010
$
10,000 $
390,000 Updated HPDP cap & HAFA initial cap
3/26/2010
$
520,00 $
910,000 Updated portfolio data from servicer
7/14/2010
$
(810,000 $
100,000 Updated portfolio data from servicer
9/30/2010
$
45,05 $
145,056 Updated portfolio data from servicer
11,357,167 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
11,357,161 reallocation
7,007,007 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
7,006,969 reallocation
6,916,969 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,916,866 reallocation
5,896,866 Transfer of cap due to servicing transfer
6,066,866 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,066,851 reallocation
5,406,767 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,406,759 reallocation
Updated due to quarterly assessment and
5,392,825 reallocation
- Termination of SPA
1,330,000 Updated HPDP cap & HAFA initial cap
1,450,554 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,552 reallocation
1,350,552 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,350,531 reallocation
14,917 Termination of SPA
97
Servicer Modifying Borrowers' Loans
Date
Adjustment Details
Name of Institution
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
1000978
1000978
1000978
1000978
1000978
12/4/2009
Idaho Housing and Finance Association
Boise
ID
Purchase
Financial Instrument for Home Loan Modifications
$
9,430,000
N/A
10223
10223
10223
10223
10223
10223
10223
10223
10223
10223
10223
12/9/2009
Spirit of Alaska Federal Credit Union
Fairbanks
AK
Purchase
Financial Instrument for Home Loan Modifications
$
360,000
N/A
1000475
1000475
1000475
1000475
1000475
1000475
12/9/2009
American Eagle Federal Credit Union
East Hartford
CT
Purchase
Financial Instrument for Home Loan Modifications
$
1,590,000
N/A
1001228
1001228
1001228
1001228
1001228
1001228
1001228
12/9/2009
Silver State Schools Credit Union
Las Vegas
NV
Purchase
Financial Instrument for Home Loan Modifications
$
1,880,000
N/A
1001075
1001075
1001075
1001075
1001075
1001075
1001075
1001075
1001075
1001075
1001075
1001075
12/9/2009
Fidelity Homestead Savings Bank
12
New Orleans
LA
Purchase
Financial Instrument for Home Loan Modifications
$
2,940,000
N/A
1001269
1001269
1001269
1001269
1001269
1001269
1001269
1001269
1001269
1001269
1001269
1001269
1001269
12/9/2009
Bay Gulf Credit Union
Tampa
FL
Purchase
Financial Instrument for Home Loan Modifications
$
230,000
N/A
10141
10141
10141
10141
12/9/2009
The Golden 1 Credit Union
Sacramento
1001226
1001226
1001226
CA
Purchase
Financial Instrument for Home Loan Modifications
$
6,160,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
6/29/2011
$
( $
6/28/2012
$
( $
9/27/2012
$
(2 $
3/25/2013
$
( $
12/23/2013
$
(232 $
Reason for Adjustment
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
Updated due to quarterly assessment and
145,051 reallocation
Updated due to quarterly assessment and
144,819 reallocation
1/22/2010
$
440,000 $
3/26/2010
$
14,480,00 $
24,350,000 Updated portfolio data from servicer
5/26/2010
$
(24,200,000 $
150,000 Updated portfolio data from servicer
7/14/2010
$
150,00 $
300,000 Updated portfolio data from servicer
9/30/2010
$
(9,889 $
6/29/2011
$
(3 $
6/28/2012
$
(2 $
9/27/2012
$
(6 $
12/27/2012
$
( $
3/25/2013
$
(3 $
6/27/2013
$
( $
12/23/2013
$
(74 $
9,870,000 Updated HPDP cap & HAFA initial cap
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
290,108 reallocation
Updated due to quarterly assessment and
290,106 reallocation
Updated due to quarterly assessment and
290,100 reallocation
Updated due to quarterly assessment and
290,099 reallocation
Updated due to quarterly assessment and
290,096 reallocation
Updated due to quarterly assessment and
290,095 reallocation
Updated due to quarterly assessment and
289,348 reallocation
1/22/2010
$
10,000 $
3/26/2010
$
850,00 $
1,220,000 Updated portfolio data from servicer
7/14/2010
$
(120,000 $
1,100,000 Updated portfolio data from servicer
9/30/2010
$
100,00 $
1,200,000 Initial FHA-HAMP cap
9/30/2010
$
105,50 $
1,305,500 Updated portfolio data from servicer
1/6/2011
$
(2 $
1,305,498 Updated portfolio data from servicer
2/17/2011
$
(1,305,498 $
1/22/2010
$
70,000 $
1,660,000 Updated HPDP cap & HAFA initial cap
3/26/2010
$
(290,000 $
1,370,000 Updated portfolio data from servicer
7/14/2010
$
(570,000 $
800,000 Updated portfolio data from servicer
9/30/2010
$
70,33 $
870,334 Updated portfolio data from servicer
1/6/2011
$
( $
3/30/2011
$
( $
6/29/2011
$
(13 $
1/25/2012
$
(870,319 $
1/22/2010
$
90,000 $
3/26/2010
$
1,110,00 $
3,080,000 Updated portfolio data from servicer
7/14/2010
$
(1,180,000 $
1,900,000 Updated portfolio data from servicer
9/30/2010
$
275,83 $
2,175,834 Updated portfolio data from servicer
1/6/2011
$
(2 $
3/30/2011
$
(3 $
6/29/2011
$
(26 $
6/28/2012
$
(2 $
9/27/2012
$
(5 $
12/27/2012
$
(10 $
3/25/2013
$
(3 $
6/27/2013
$
(15 $
7/9/2013
$
(1,889,819 $
1/22/2010
$
140,000 $
3,080,000 Updated HPDP cap & HAFA initial cap
3/26/2010
$
6,300,00 $
9,380,000 Updated portfolio data from servicer
7/14/2010
$
(1,980,000 $
7,400,000 Updated portfolio data from servicer
9/30/2010
$
(6,384,61 $
1,015,389 Updated portfolio data from servicer
1/6/2011
$
( $
3/30/2011
$
(2 $
6/29/2011
$
(16 $
6/28/2012
$
(12 $
9/27/2012
$
(32 $
12/27/2012
$
(5 $
3/25/2013
$
(2 $
6/27/2013
$
(8 $
9/27/2013
$
(3 $
12/23/2013
$
(4,716 $
370,000 Updated HPDP cap & HAFA initial cap
- Termination of SPA
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,319 reallocation
- Termination of SPA
1,970,000 Updated HPDP cap & HAFA initial cap
2,175,832 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,175,829 reallocation
Updated due to quarterly assessment and
2,175,803 reallocation
Updated due to quarterly assessment and
2,175,782 reallocation
Updated due to quarterly assessment and
2,175,725 reallocation
Updated due to quarterly assessment and
2,175,715 reallocation
Updated due to quarterly assessment and
2,175,678 reallocation
Updated due to quarterly assessment and
2,175,663 reallocation
285,844 Termination of SPA
1,015,388 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,015,386 reallocation
Updated due to quarterly assessment and
1,015,370 reallocation
Updated due to quarterly assessment and
1,015,358 reallocation
Updated due to quarterly assessment and
1,015,326 reallocation
Updated due to quarterly assessment and
1,015,321 reallocation
Updated due to quarterly assessment and
1,015,300 reallocation
Updated due to quarterly assessment and
1,015,292 reallocation
Updated due to quarterly assessment and
1,015,289 reallocation
Updated due to quarterly assessment and
1,010,573 reallocation
1/22/2010
$
10,000 $
240,000 Updated HPDP cap & HAFA initial cap
3/26/2010
$
440,00 $
680,000 Updated portfolio data from servicer
7/14/2010
$
(80,000 $
600,000 Updated portfolio data from servicer
9/30/2010
$
(19,778 $
580,222 Updated portfolio data from servicer
10/15/2010
$
(580,222 $
1/22/2010
$
290,000 $
3/26/2010
$
40,00 $
6,490,000 Updated portfolio data from servicer
7/14/2010
$
(2,890,000 $
3,600,000 Updated portfolio data from servicer
9/30/2010
$
606,61 $
4,206,612 Updated portfolio data from servicer
- Termination of SPA
6,450,000 Updated HPDP cap & HAFA initial cap
98
Servicer Modifying Borrowers' Loans
Adjustment Details
Name of Institution
Date
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
1001226
1001226
1001226
1001226
1001226
1001226
1001226
1001226
1001226
1001226
12/9/2009
Sterling Savings Bank
Spokane
WA
Purchase
Financial Instrument for Home Loan Modifications
$
2,250,000
N/A
1000638
1000638
1000638
1000638
techno
1000638
1000638
1000638
1000638
1000638
1000638
1000638
12/11/2009
HomeStar Bank & Financial Services
Manteno
IL
Purchase
Financial Instrument for Home Loan Modifications
$
310,000
N/A
10125
10125
10125
10125
10125
10125
12
Glenview State Bank
12/11/2009
Verity Credit Union
Glenview
IL
Purchase
Financial Instrument for Home Loan Modifications
$
370,000
N/A
WA
Purchase
Financial Instrument for Home Loan Modifications
$
600,000
N/A
1000558
1000558
Seattle
10139
10139
10139
10139
10139
12/11/2009
Hartford Savings Bank
Hartford
WI
Purchase
Financial Instrument for Home Loan Modifications
$
630,000
N/A
1000753
1000753
1000753
1000753
1000753
1000753
1000753
1000753
1000753
1000753
1000753
1000753
1000753
12/11/2009
The Bryn Mawr Trust Co.
12/16/2009
Citizens First National Bank
Bryn Mawr
PA
Purchase
Financial Instrument for Home Loan Modifications
$
150,000
N/A
Spring Valley
IL
Purchase
Financial Instrument for Home Loan Modifications
$
620,000
N/A
1000631
1000438
1000438
1000438
1000438
1000438
1000438
1000438
1000438
1000438
1000438
9
Cap Adjustment Amount
Adjusted Cap
(4 $
1/6/2011
$
3/30/2011
$
(4 $
6/29/2011
$
(35 $
6/28/2012
$
(9 $
9/27/2012
$
(14 $
12/27/2012
$
(2 $
3/25/2013
$
(8 $
6/27/2013
$
(4 $
9/27/2013
$
( $
12/23/2013
$
(2,412 $
Reason for Adjustment
4,206,608 Updated portfolio data from servicer
Updated due to quarterly assessment and
4,206,604 reallocation
Updated due to quarterly assessment and
4,206,569 reallocation
Updated due to quarterly assessment and
4,206,560 reallocation
Updated due to quarterly assessment and
4,206,546 reallocation
Updated due to quarterly assessment and
4,206,544 reallocation
Updated due to quarterly assessment and
4,206,536 reallocation
Updated due to quarterly assessment and
4,206,532 reallocation
Updated due to quarterly assessment and
4,206,531 reallocation
Updated due to quarterly assessment and
4,204,119 reallocation
1/22/2010
$
100,000 $
3/26/2010
$
(740,000 $
7/14/2010
$
(710,000 $
900,000 Updated portfolio data from servicer
9/30/2010
$
550,55 $
1,450,556 Updated portfolio data from servicer
2,350,000 Updated HPDP cap & HAFA initial cap
1,610,000 Updated portfolio data from servicer
1/6/2011
$
( $
3/30/2011
$
( $
6/29/2011
$
(1 $
9/27/2012
$
30,90 $
12/27/2012
$
58,68 $
3/25/2013
$
235,17 $
6/27/2013
$
84,19 $
9/27/2013
$
13,78 $
12/23/2013
$
(35 $
1/22/2010
$
20,000 $
3/26/2010
$
820,00 $
1,150,000 Updated portfolio data from servicer
1,450,555 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,554 reallocation
Updated due to quarterly assessment and
1,450,543 reallocation
Updated due to quarterly assessment and
1,481,450 reallocation
Updated due to quarterly assessment and
1,540,138 reallocation
Updated due to quarterly assessment and
1,775,313 reallocation
Updated due to quarterly assessment and
1,859,504 reallocation
Updated due to quarterly assessment and
1,873,290 reallocation
Updated due to quarterly assessment and
1,873,255 reallocation
330,000 Updated HPDP cap & HAFA initial cap
$
(350,000 $
800,000 Updated portfolio data from servicer
9/30/2010
$
70,33 $
870,334 Updated portfolio data from servicer
1/6/2011
$
( $
3/30/2011
$
( $
6/29/2011
$
(13 $
6/28/2012
$
(10 $
7/6/2012
$
(856,986 $
1/22/2010
$
20,000 $
3/26/2010
$
1,250,00 $
5/26/2010
$
(1,640,000 $
1/22/2010
$
30,000 $
3/26/2010
$
400,00 $
1,030,000 Updated portfolio data from servicer
7/14/2010
$
(330,000 $
700,000 Updated portfolio data from servicer
9/30/2010
$
25,27 $
725,278 Updated portfolio data from servicer
1/6/2011
$
( $
725,277 Updated portfolio data from servicer
2/17/2011
$
(725,27 $
1/22/2010
$
30,000 $
3/26/2010
$
800,00 $
1,460,000 Updated portfolio data from servicer
7/14/2010
$
(360,000 $
1,100,000 Updated portfolio data from servicer
9/30/2010
$
60,44 $
1,160,445 Updated portfolio data from servicer
1/6/2011
$
(2 $
3/30/2011
$
(2 $
6/29/2011
$
(18 $
6/28/2012
$
(14 $
9/27/2012
$
(3 $
12/27/2012
$
(6 $
3/25/2013
$
(24 $
6/27/2013
$
(9 $
9/27/2013
$
(3 $
12/23/2013
$
(5,463 $
4/21/2010
$
(150,000) $
6/16/2011
$
100,000 $
7/14/2010
10125
12/11/2009
Adjustment
Date
30,000 $
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,319 reallocation
Updated due to quarterly assessment and
870,309 reallocation
13,323 Termination of SPA
390,000 Updated HPDP cap & HAFA initial cap
1,640,000 Updated portfolio data from servicer
- Termination of SPA
630,000 Updated HPDP cap & HAFA initial cap
- Termination of SPA
660,000 Updated HPDP cap & HAFA initial cap
1,160,443 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,160,441 reallocation
Updated due to quarterly assessment and
1,160,423 reallocation
Updated due to quarterly assessment and
1,160,409 reallocation
Updated due to quarterly assessment and
1,160,372 reallocation
Updated due to quarterly assessment and
1,160,366 reallocation
Updated due to quarterly assessment and
1,160,342 reallocation
Updated due to quarterly assessment and
1,160,333 reallocation
Updated due to quarterly assessment and
1,160,330 reallocation
Updated due to quarterly assessment and
1,154,867 reallocation
- Termination of SPA
100,000 Transfer of cap due to servicing transfer
1/22/2010
$
3/26/2010
$
(580,000 $
70,000 Updated portfolio data from servicer
7/14/2010
$
1,430,00 $
1,500,000 Updated portfolio data from servicer
9/30/2010
$
95,61 $
1,595,612 Updated portfolio data from servicer
1/6/2011
$
(2 $
3/30/2011
$
(3 $
6/29/2011
$
(24 $
6/28/2012
$
(16 $
9/27/2012
$
(45 $
12/27/2012
$
(8 $
3/25/2013
$
(30 $
650,000 Updated HPDP cap & HAFA initial cap
1,595,610 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,595,607 reallocation
Updated due to quarterly assessment and
1,595,583 reallocation
Updated due to quarterly assessment and
1,595,567 reallocation
Updated due to quarterly assessment and
1,595,522 reallocation
Updated due to quarterly assessment and
1,595,514 reallocation
Updated due to quarterly assessment and
1,595,484 reallocation
99
Servicer Modifying Borrowers' Loans
Adjustment Details
Name of Institution
Date
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
1000438
1000438
1000438
12/16/2009
Golden Plains Credit Union
Garden City
KS
Purchase
Financial Instrument for Home Loan Modifications
$
170,000
N/A
1001397
1001397
1001397
1001397
12/16/2009
First Federal Savings and Loan Association of Lakewood
Lakewood
OH
Purchase
Financial Instrument for Home Loan Modifications
$
3,460,000
N/A
Seattle
WA
Purchase
Financial Instrument for Home Loan Modifications
$
440,000
N/A
1000828
12/16/2009
Sound Community Bank
10524
10524
10524
12/16/2009
Horizon Bank, NA
Michigan City
IN
Purchase
Financial Instrument for Home Loan Modifications
$
700,000
N/A
1000825
1000825
1000825
1000825
1000825
1000825
1000825
1000825
12/16/2009
Park View Federal Savings Bank
Solon
OH
Purchase
Financial Instrument for Home Loan Modifications
$
760,000
N/A
10025
10025
10025
10025
10025
10025
10025
10025
12/23/2009
Iberiabank
12
Sarasota
FL
Purchase
Financial Instrument for Home Loan Modifications
$
4,230,000
N/A
1001411
1001411
1001411
1001411
1001411
1001411
1001411
12/23/2009
Grafton Suburban Credit Union
12
North Grafton
MA
Purchase
Financial Instrument for Home Loan Modifications
$
340,000
N/A
1001192
1001192
1001192
1001192
1001192
1001192
1001192
12/23/2009
Eaton National Bank & Trust Company
Eaton
OH
Purchase
Financial Instrument for Home Loan Modifications
$
60,000
N/A
1001078
1001078
1001078
12/23/2009
Tempe Schools Credit Union
Tempe
AZ
Purchase
Financial Instrument for Home Loan Modifications
$
110,000
N/A
1000703
1000703
1000703
1/13/2010
Fresno County Federal Credit Union
Fresno
CA
Purchase
Financial Instrument for Home Loan Modifications
$
260,000
N/A
10507
10507
10507
10507
10507
10507
12
1/13/2010
Roebling Bank
Roebling
1001235
1001235
1001235
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
240,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
6/27/2013
$
(1 $
9/27/2013
$
(4 $
12/23/2013
$
(6,733 $
Reason for Adjustment
Updated due to quarterly assessment and
1,595,473 reallocation
Updated due to quarterly assessment and
1,595,469 reallocation
Updated due to quarterly assessment and
1,588,736 reallocation
1/22/2010
$
10,000 $
3/26/2010
$
30,00 $
210,000 Updated portfolio data from servicer
7/14/2010
$
(10,000 $
200,000 Updated portfolio data from servicer
9/30/2010
$
90,11 $
290,111 Updated portfolio data from servicer
2/17/2011
$
(290,11 $
1/22/2010
$
160,000 $
4/21/2010
$
(3,620,000) $
1/22/2010
$
20,000 $
3/26/2010
$
1,430,00 $
1,890,000 Updated portfolio data from servicer
7/14/2010
$
(390,000 $
1,500,000 Updated portfolio data from servicer
9/8/2010
$
(1,500,000 $
1/22/2010
$
30,000 $
3/26/2010
$
1,740,00 $
7/14/2010
$
(1,870,000 $
600,000 Updated portfolio data from servicer
9/30/2010
$
850,55 $
1,450,556 Updated portfolio data from servicer
1/6/2011
$
(2 $
3/30/2011
$
(2 $
6/29/2011
$
(23 $
6/28/2012
$
(1 $
9/21/2012
$
(1,450,512 $
1/22/2010
$
40,000 $
800,000 Updated HPDP cap & HAFA initial cap
3/26/2010
$
140,00 $
940,000 Updated portfolio data from servicer
7/14/2010
$
(140,000 $
800,000 Updated portfolio data from servicer
9/30/2010
$
70,33 $
870,334 Updated portfolio data from servicer
1/6/2011
$
( $
3/30/2011
$
( $
6/29/2011
$
6/28/2012
$
(10 $
9/14/2012
$
(816,373 $
1/22/2010
$
200,000 $
3/26/2010
$
(1,470,000 $
2,960,000 Updated portfolio data from servicer
7/14/2010
$
(1,560,000 $
1,400,000 Updated portfolio data from servicer
9/30/2010
$
5,852,78 $
1/6/2011
$
(1 $
3/30/2011
$
(13 $
4/13/2011
$
(300,000 $
6/3/2011
$
(6,927,254 $
1/22/2010
$
20,000 $
3/26/2010
$
(320,000 $
40,000 Updated portfolio data from servicer
7/14/2010
$
760,00 $
800,000 Updated portfolio data from servicer
9/30/2010
$
(74,722 $
725,278 Updated portfolio data from servicer
1/6/2011
$
( $
3/30/2011
$
( $
6/29/2011
$
(1 $
1/25/2012
$
(725,265 $
3/26/2010
$
90,00 $
150,000 Updated portfolio data from servicer
7/14/2010
$
50,00 $
200,000 Updated portfolio data from servicer
9/30/2010
$
(54,944 $
145,056 Updated portfolio data from servicer
5/20/2011
$
(145,056 $
3/26/2010
$
(20,000 $
90,000 Updated portfolio data from servicer
7/14/2010
$
10,00 $
100,000 Updated portfolio data from servicer
9/30/2010
$
45,05 $
145,056 Updated portfolio data from servicer
12/8/2010
$
(145,056 $
3/26/2010
$
480,00 $
740,000 Updated portfolio data from servicer
7/14/2010
$
(140,000 $
600,000 Updated portfolio data from servicer
9/30/2010
$
(19,778 $
580,222 Updated portfolio data from servicer
1/6/2011
$
( $
3/30/2011
$
( $
6/29/2011
$
(8 $
6/28/2012
$
(6 $
7/6/2012
$
(555,252 $
3/26/2010
$
610,00 $
850,000 Updated portfolio data from servicer
7/14/2010
$
50,00 $
900,000 Updated portfolio data from servicer
9/30/2010
$
(29,666 $
870,334 Updated portfolio data from servicer
1/6/2011
$
( $
870,333 Updated portfolio data from servicer
(12 $
180,000 Updated HPDP cap & HAFA initial cap
- Termination of SPA
3,620,000 Updated HPDP cap & HAFA initial cap
- Termination of SPA
460,000 Updated HPDP cap & HAFA initial cap
- Termination of SPA
730,000 Updated HPDP cap & HAFA initial cap
2,470,000 Updated portfolio data from servicer
1,450,554 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,552 reallocation
Updated due to quarterly assessment and
1,450,529 reallocation
Updated due to quarterly assessment and
1,450,512 reallocation
- Termination of SPA
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,320 reallocation
Updated due to quarterly assessment and
870,310 reallocation
53,937 Termination of SPA
4,430,000 Updated HPDP cap & HAFA initial cap
7,252,780 Updated portfolio data from servicer
7,252,769 Updated portfolio data from servicer
Updated due to quarterly assessment and
7,252,756 reallocation
6,952,756 Transfer of cap due to servicing transfer
25,502 Termination of SPA
360,000 Updated HPDP cap & HAFA initial cap
725,277 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,276 reallocation
Updated due to quarterly assessment and
725,265 reallocation
- Termination of SPA
- Termination of SPA
- Termination of SPA
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
Updated due to quarterly assessment and
580,206 reallocation
24,954 Termination of SPA
100
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
1001235
1/13/2010
First National Bank of Grant Park
Grant Park
IL
Purchase
Financial Instrument for Home Loan Modifications
$
140,000
N/A
1000901
1000901
1000901
1/13/2010
Specialized Loan Servicing LLC
Highlands Ranch
CO
Purchase
Financial Instrument for Home Loan Modifications
$
64,150,000
N/A
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1/13/2010
Greater Nevada Mortgage Services
Carson City
10517
10517
10517
10517
10517
10517
10517
10517
10517
10517
10517
NV
Purchase
Financial Instrument for Home Loan Modifications
$
770,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
3/23/2011
$
(870,333 $
Reason for Adjustment
- Termination of SPA
3/26/2010
$
150,00 $
290,000 Updated portfolio data from servicer
7/14/2010
$
10,00 $
300,000 Updated portfolio data from servicer
9/30/2010
$
(9,889 $
290,111 Updated portfolio data from servicer
1/26/2011
$
(290,11 $
3/26/2010
$
(51,240,000 $
5/14/2010
$
3,000,00 $
6/16/2010
$
4,860,00 $
7/14/2010
$
3,630,00 $
7/16/2010
$
330,00 $
24,400,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
24,730,000 servicing transfer
8/13/2010
$
700,00 $
25,430,000 Transfer of cap due to servicing transfer
9/15/2010
$
200,00 $
25,630,000 Transfer of cap due to servicing transfer
9/30/2010
$
(1,695,826 $
11/16/2010
$
200,00 $
1/6/2011
$
(32 $
1/13/2011
$
1,500,00 $
25,634,142 Transfer of cap due to servicing transfer
3/16/2011
$
7,100,00 $
3/30/2011
$
(36 $
32,734,142 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
32,734,106 reallocation
4/13/2011
$
1,000,00 $
33,734,106 Transfer of cap due to servicing transfer
5/13/2011
$
100,00 $
33,834,106 Transfer of cap due to servicing transfer
6/16/2011
$
300,00 $
6/29/2011
$
(332 $
34,134,106 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
34,133,774 reallocation
8/16/2011
$
100,00 $
34,233,774 Transfer of cap due to servicing transfer
9/15/2011
$
300,00 $
34,533,774 Transfer of cap due to servicing transfer
10/14/2011
$
300,00 $
34,833,774 Transfer of cap due to servicing transfer
12/15/2011
$
(1,700,000 $
33,133,774 Transfer of cap due to servicing transfer
1/13/2012
$
1,600,00 $
34,733,774 Transfer of cap due to servicing transfer
2/16/2012
$
100,00 $
34,833,774 Transfer of cap due to servicing transfer
3/15/2012
$
100,00 $
34,933,774 Transfer of cap due to servicing transfer
4/16/2012
$
77,600,00 $
112,533,774 Transfer of cap due to servicing transfer
5/16/2012
$
40,00 $
112,573,774 Transfer of cap due to servicing transfer
6/14/2012
$
(350,000 $
6/28/2012
$
(1,058 $
7/16/2012
$
4,430,00 $
116,652,716 Transfer of cap due to servicing transfer
8/16/2012
$
(1,280,000 $
9/27/2012
$
(3,06 $
115,372,716 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
115,369,655 reallocation
10/16/2012
$
5,600,00 $
120,969,655 Transfer of cap due to servicing transfer
11/15/2012
$
880,00 $
121,849,655 Transfer of cap due to servicing transfer
12/14/2012
$
24,180,00 $
12/27/2012
$
(663 $
1/16/2013
$
2,410,00 $
148,438,992 Transfer of cap due to servicing transfer
2/14/2013
$
6,650,00 $
155,088,992 Transfer of cap due to servicing transfer
3/14/2013
$
(1,450,000 $
3/25/2013
$
(2,584 $
153,638,992 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
153,636,408 reallocation
4/16/2013
$
(750,000 $
152,886,408 Transfer of cap due to servicing transfer
5/16/2013
$
(1,250,000 $
151,636,408 Transfer of cap due to servicing transfer
6/14/2013
$
3,670,00 $
6/27/2013
$
(985 $
155,306,408 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
155,305,423 reallocation
7/16/2013
$
(3,720,000 $
9/16/2013
$
(180,000 $
- Termination of SPA
12,910,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
15,910,000 servicing transfer
Transfer of cap from CitiMortgage, Inc. due to
20,770,000 servicing transfer
23,934,174 Updated portfolio data from servicer
24,134,174 Transfer of cap due to servicing transfer
24,134,142 Updated portfolio data from servicer
112,223,774 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
112,222,716 reallocation
146,029,655 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
146,028,992 reallocation
151,585,423 Transfer of cap due to servicing transfer
151,405,423 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
151,405,077 reallocation
9/27/2013
$
(346 $
10/15/2013
$
860,00 $
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 $
12/23/2013
$
(381,129 $
141,695,077 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
141,313,948 reallocation
1/16/2014
$
8,200,00 $
3/26/2010
$
8,680,00 $
9,450,000 Updated portfolio data from servicer
7/14/2010
$
(8,750,000 $
700,000 Updated portfolio data from servicer
9/30/2010
$
170,33 $
870,334 Updated portfolio data from servicer
1/6/2011
$
( $
3/30/2011
$
( $
6/29/2011
$
(8 $
6/28/2012
$
(4 $
9/27/2012
$
(10 $
12/27/2012
$
(2 $
3/25/2013
$
( $
6/27/2013
$
(2 $
9/27/2013
$
( $
149,513,948 Transfer of cap due to servicing transfer
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,324 reallocation
Updated due to quarterly assessment and
870,320 reallocation
Updated due to quarterly assessment and
870,310 reallocation
Updated due to quarterly assessment and
870,308 reallocation
Updated due to quarterly assessment and
870,301 reallocation
Updated due to quarterly assessment and
870,299 reallocation
Updated due to quarterly assessment and
870,298 reallocation
101
Servicer Modifying Borrowers' Loans
Adjustment Details
Name of Institution
Date
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
10517
1/15/2010
Digital Federal Credit Union
Marlborough
MA
Purchase
Financial Instrument for Home Loan Modifications
$
3,050,000
N/A
10416
1/29/2010
iServe Residential Lending, LLC
San Diego
CA
Purchase
Financial Instrument for Home Loan Modifications
$
960,000
N/A
1001415
1001415
1001415
1001415
1001415
1001415
1001415
1001415
1001415
1001415
1001415
1001415
1001415
1001415
1/29/2010
United Bank
Griffin
GA
Purchase
Financial Instrument for Home Loan Modifications
$
540,000
N/A
1000893
1000893
1000893
1000893
1000893
1000893
1000893
1000893
1000893
1000893
1000893
3/3/2010
Urban Trust Bank
Lake Mary
FL
Purchase
Financial Instrument for Home Loan Modifications
$
1,060,000
N/A
1001435
9
3/5/2010
iServe Servicing, Inc.
Irving
TX
Purchase
Financial Instrument for Home Loan Modifications
$
28,040,000
N/A
1001384
1001384
1001384
1001384
1001384
1001384
1001384
1001384
1001384
1001384
1001384
1001384
1001384
1001384
1001384
1001384
3/10/2010
Navy Federal Credit Union
Vienna
VA
Purchase
Financial Instrument for Home Loan Modifications
$
60,780,000
N/A
1000494
1000494
1000494
1000494
1000494
1000494
1000494
1000494
1000494
1000494
1000494
3/10/2010
VIST Financial Corp
Wyomissing
1000468
1000468
1000468
1000468
1000468
PA
Purchase
Financial Instrument for Home Loan Modifications
$
300,000
N/A
Adjustment
Date
Cap Adjustment Amount
12/23/2013
$
Adjusted Cap
(1,504 $
Reason for Adjustment
Updated due to quarterly assessment and
868,794 reallocation
3/26/2010
$
12,190,00 $
5/14/2010
$
(15,240,000 $
3/26/2010
$
(730,000 $
230,000 Updated portfolio data from servicer
7/14/2010
$
370,00 $
600,000 Updated portfolio data from servicer
9/30/2010
$
200,00 $
800,000 Initial FHA-HAMP cap and initial 2MP cap
9/30/2010
$
(364,833 $
435,167 Updated portfolio data from servicer
11/16/2010
$
100,00 $
535,167 Transfer of cap due to servicing transfer
1/6/2011
$
( $
3/30/2011
$
( $
6/29/2011
$
( $
6/28/2012
$
(6 $
(15 $
15,240,000 Updated portfolio data from servicer
- Termination of SPA
535,166 Updated portfolio data from servicer
Updated due to quarterly assessment and
535,165 reallocation
Updated due to quarterly assessment and
535,158 reallocation
Updated due to quarterly assessment and
535,152 reallocation
Updated due to quarterly assessment and
535,137 reallocation
Updated due to quarterly assessment and
535,134 reallocation
Updated due to quarterly assessment and
535,124 reallocation
Updated due to quarterly assessment and
535,120 reallocation
Updated due to quarterly assessment and
535,119 reallocation
Updated due to quarterly assessment and
532,877 reallocation
9/27/2012
$
12/27/2012
$
(3 $
3/25/2013
$
(10 $
6/27/2013
$
(4 $
9/27/2013
$
( $
12/23/2013
$
(2,242 $
3/26/2010
$
160,00 $
700,000 Updated portfolio data from servicer
9/30/2010
$
25,27 $
725,278 Updated portfolio data from servicer
1/6/2011
$
( $
3/30/2011
$
( $
6/29/2011
$
(1 $
6/28/2012
$
(8 $
9/27/2012
$
(22 $
12/27/2012
$
(4 $
3/25/2013
$
(14 $
6/27/2013
$
(5 $
9/27/2013
$
(2 $
12/23/2013
$
(3,22 $
7/14/2010
$
4,440,00 $
9/24/2010
$
(5,500,000 $
12/16/2013
$
40,00 $
725,277 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,276 reallocation
Updated due to quarterly assessment and
725,265 reallocation
Updated due to quarterly assessment and
725,257 reallocation
Updated due to quarterly assessment and
725,235 reallocation
Updated due to quarterly assessment and
725,231 reallocation
Updated due to quarterly assessment and
725,217 reallocation
Updated due to quarterly assessment and
725,212 reallocation
Updated due to quarterly assessment and
725,210 reallocation
Updated due to quarterly assessment and
721,989 reallocation
5,500,000 Updated portfolio data from servicer
- Termination of SPA
40,000 Transfer of cap due to servicing transfer
5/26/2010
$
120,000 $
7/14/2010
$
(12,660,000 $
9/30/2010
$
100,00 $
9/30/2010
$
(3,125,218 $
11/16/2010
$
800,00 $
1/6/2011
$
(20 $
3/30/2011
$
(24 $
6/29/2011
$
(22 $
6/28/2012
$
(169 $
9/27/2012
$
(465 $
12/27/2012
$
(78 $
3/25/2013
$
(29 $
6/27/2013
$
(112 $
7/16/2013
$
(10,000 $
9/27/2013
$
(40 $
11/14/2013
$
(60,000 $
12/23/2013
$
(67,516 $
7/14/2010
$
(44,880,000 $
15,900,000 Updated portfolio data from servicer
9/30/2010
$
1,071,50 $
16,971,505 Updated portfolio data from servicer
1/6/2011
$
(23 $
3/30/2011
$
(26 $
6/29/2011
$
(238 $
6/28/2012
$
(145 $
9/27/2012
$
(374 $
12/27/2012
$
(58 $
3/25/2013
$
(199 $
6/27/2013
$
(68 $
9/27/2013
$
(22 $
12/23/2013
$
(36,31 $
7/14/2010
$
400,00 $
700,000 Updated portfolio data from servicer
9/30/2010
$
25,27 $
725,278 Updated portfolio data from servicer
1/6/2011
$
( $
3/30/2011
$
( $
6/29/2011
$
(1 $
6/28/2012
$
(8 $
28,160,000 Initial 2MP cap
15,500,000 Updated portfolio data from servicer
15,600,000 Initial FHA-HAMP cap
12,474,782 Updated portfolio data from servicer
13,274,782 Transfer of cap due to servicing transfer
13,274,762 Updated portfolio data from servicer
Updated due to quarterly assessment and
13,274,738 reallocation
Updated due to quarterly assessment and
13,274,517 reallocation
Updated due to quarterly assessment and
13,274,348 reallocation
Updated due to quarterly assessment and
13,273,883 reallocation
Updated due to quarterly assessment and
13,273,805 reallocation
Updated due to quarterly assessment and
13,273,508 reallocation
Updated due to quarterly assessment and
13,273,396 reallocation
13,263,396 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
13,263,356 reallocation
Updated due to quarterly assessment and
13,203,356 reallocation
Updated due to quarterly assessment and
13,135,840 reallocation
16,971,482 Updated portfolio data from servicer
Updated due to quarterly assessment and
16,971,456 reallocation
Updated due to quarterly assessment and
16,971,218 reallocation
Updated due to quarterly assessment and
16,971,073 reallocation
Updated due to quarterly assessment and
16,970,699 reallocation
Updated due to quarterly assessment and
16,970,641 reallocation
Updated due to quarterly assessment and
16,970,442 reallocation
Updated due to quarterly assessment and
16,970,374 reallocation
Updated due to quarterly assessment and
16,970,352 reallocation
Updated due to quarterly assessment and
16,934,035 reallocation
725,277 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,276 reallocation
Updated due to quarterly assessment and
725,265 reallocation
Updated due to quarterly assessment and
725,257 reallocation
102
Servicer Modifying Borrowers' Loans
Adjustment Details
Name of Institution
Date
City
State
Transaction
Type
Pricing
Mechanism
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Note
1000468
1000468
1000468
1000468
1000468
1000468
4/14/2010
Midwest Bank and Trust Co.
Elmwood Park
IL
Purchase
Financial Instrument for Home Loan Modifications
$
300,000
N/A
1001521
1001521
1001521
1001521
1001521
4/14/2010
Wealthbridge Mortgage Corp
Beaverton
OR
Purchase
Financial Instrument for Home Loan Modifications
$
6,550,000
N/A
1000657
1000657
1000657
1000657
1000657
1000657
1000657
1000657
1000657
1000657
1000657
1000657
1000657
5/21/2010
Aurora Financial Group, Inc.
Marlton
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
10,000
N/A
4, 8
10425
10425
10425
10425
10425
10425
10425
10425
6/16/2010
Selene Finance LP
Houston
TX
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
8/4/2010
Suburban Mortgage Company of New Mexico
Albuquerque
1000602
1000602
1000602
1000602
NM
Purchase
Financial Instrument for Home Loan Modifications
$
880,000
N/A
9
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
(22 $
Reason for Adjustment
Updated due to quarterly assessment and
725,235 reallocation
Updated due to quarterly assessment and
725,231 reallocation
Updated due to quarterly assessment and
725,217 reallocation
Updated due to quarterly assessment and
725,212 reallocation
Updated due to quarterly assessment and
725,210 reallocation
Updated due to quarterly assessment and
721,989 reallocation
9/27/2012
$
12/27/2012
$
(4 $
3/25/2013
$
(14 $
6/27/2013
$
(5 $
9/27/2013
$
(2 $
12/23/2013
$
(3,22 $
7/14/2010
$
300,00 $
600,000 Updated portfolio data from servicer
9/30/2010
$
(19,778 $
580,222 Updated portfolio data from servicer
1/6/2011
$
( $
3/30/2011
$
( $
6/29/2011
$
(8 $
7/14/2011
$
(580,212 $
7/14/2010
$
(150,000 $
9/15/2010
$
1,600,00 $
8,000,000 Transfer of cap due to servicing transfer
9/30/2010
$
(4,352,173 $
3,647,827 Updated portfolio data from servicer
1/6/2011
$
(5 $
3/30/2011
$
(6 $
4/13/2011
$
(3,000,000 $
6/29/2011
$
(9 $
6/28/2012
$
( $
9/27/2012
$
(19 $
12/27/2012
$
(3 $
3/25/2013
$
(12 $
6/27/2013
$
(5 $
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
- Termination of SPA
6,400,000 Updated portfolio data from servicer
3,647,822 Updated portfolio data from servicer
Updated due to quarterly assessment and
3,647,816 reallocation
647,816 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
647,807 reallocation
Updated due to quarterly assessment and
647,800 reallocation
Updated due to quarterly assessment and
647,781 reallocation
Updated due to quarterly assessment and
647,778 reallocation
Updated due to quarterly assessment and
647,766 reallocation
Updated due to quarterly assessment and
647,761 reallocation
Updated due to quarterly assessment and
647,759 reallocation
Updated due to quarterly assessment and
644,937 reallocation
9/27/2013
$
(2 $
12/23/2013
$
(2,822 $
5/26/2010
$
30,00 $
9/30/2010
$
250,11 $
6/29/2011
$
59,88 $
6/28/2012
$
(2 $
9/27/2012
$
(5 $
12/27/2012
$
( $
3/25/2013
$
(3 $
6/27/2013
$
( $
12/23/2013
$
(759 $
6/16/2010
$
3,680,00 $
8/13/2010
$
3,300,000 $
9/30/2010
$
3,043,83 $
10/15/2010
$
1,400,00 $
1/6/2011
$
(1 $
3/16/2011
$
2,100,00 $
3/30/2011
$
(24 $
4/13/2011
$
2,900,00 $
6/16/2011
$
(200,000 $
6/29/2011
$
(273 $
10/14/2011
$
100,00 $
16,323,517 Transfer of cap due to servicing transfer
11/16/2011
$
1,100,00 $
17,423,517 Transfer of cap due to servicing transfer
4/16/2012
$
200,00 $
17,623,517 Transfer of cap due to servicing transfer
5/16/2012
$
10,00 $
17,633,517 Transfer of cap due to servicing transfer
6/14/2012
$
(300,000 $
6/28/2012
$
(218 $
7/16/2012
$
40,00 $
8/16/2012
$
480,00 $
9/27/2012
$
(600 $
11/15/2012
$
70,00 $
12/27/2012
$
(102 $
3/14/2013
$
90,00 $
3/25/2013
$
(384 $
5/16/2013
$
(30,000 $
6/27/2013
$
(146 $
7/16/2013
$
170,00 $
9/27/2013
$
(52 $
12/23/2013
$
(88,613 $
9/30/2010
$
1,585,94 $
1/6/2011
$
(4 $
3/30/2011
$
(4 $
6/29/2011
$
(40 $
6/28/2012
$
(30 $
40,000 Updated FHA-HAMP cap
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
350,000 reallocation
Updated due to quarterly assessment and
349,998 reallocation
Updated due to quarterly assessment and
349,993 reallocation
Updated due to quarterly assessment and
349,992 reallocation
Updated due to quarterly assessment and
349,989 reallocation
Updated due to quarterly assessment and
349,988 reallocation
Updated due to quarterly assessment and
349,229 reallocation
Transfer of cap from CitiMortgage, Inc. due to
3,680,000 servicing transfer
6,980,000 Transfer of cap due to servicing transfer
10,023,831 Updated portfolio data from servicer
11,423,831 Transfer of cap due to servicing transfer
11,423,814 Updated portfolio data from servicer
13,523,814 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
13,523,790 reallocation
16,423,790 Transfer of cap due to servicing transfer
16,223,790 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
16,223,517 reallocation
17,333,517 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
17,333,299 reallocation
17,373,299 Transfer of cap due to servicing transfer
17,853,299 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
17,852,699 reallocation
17,922,699 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
17,922,597 reallocation
18,012,597 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
18,012,213 reallocation
17,982,213 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
17,982,067 reallocation
18,152,067 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
18,152,015 reallocation
Updated due to quarterly assessment and
18,063,402 reallocation
2,465,945 Updated portfolio data from servicer
2,465,941 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,465,937 reallocation
Updated due to quarterly assessment and
2,465,897 reallocation
Updated due to quarterly assessment and
2,465,867 reallocation
103
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
1000602
8/20/2010
Bramble Savings Bank
Cincinanati
OH
Purchase
Financial Instrument for Home Loan Modifications
$
700,000
N/A
1001708
1001708
1001708
Pathfinder Bank
Oswego
NY
Purchase
Financial Instrument for Home Loan Modifications
$
1,300,000
N/A
1001240
1001240
1001240
1001240
1001240
1001240
1001240
1001240
1001240
1001240
8/27/2010
First Financial Bank, N.A.
Terre Haute
ID
Purchase
Financial Instrument for Home Loan Modifications
$
4,300,000
N/A
1000951
1000951
1000951
1000951
1000951
1000951
1000951
1000951
1000951
1000951
9/1/2010
RBC Bank (USA)
Raleigh
NC
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1001421
1001421
1001421
1001421
1001421
1
9/3/2010
Fay Servicing, LLC
15
Chicago
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
IL
Purchase
Financial Instrument for Home Loan Modifications
$
3,100,000
N/A
Cap Adjustment Amount
Adjusted Cap
$
(2,465,86 $
9/30/2010
$
1,040,66 $
1/6/2011
$
(2 $
3/30/2011
$
(3 $
6/29/2011
$
(28 $
8/10/2011
$
(1,740,634 $
9/30/2010
$
2,181,33 $
8/10/2012
1001708
8/25/2010
Adjustment
Date
1/6/2011
$
(5 $
3/30/2011
$
(6 $
6/29/2011
$
(58 $
6/28/2012
$
(43 $
9/27/2012
$
(119 $
12/27/2012
$
(20 $
3/25/2013
$
(76 $
6/27/2013
$
(29 $
9/27/2013
$
(10 $
12/23/2013
$
(17,42 $
9/30/2010
$
7,014,33 $
1/6/2011
$
(1 $
3/30/2011
$
(20 $
6/29/2011
$
(192 $
6/28/2012
$
(144 $
9/27/2012
$
(396 $
12/27/2012
$
(6 $
3/25/2013
$
(253 $
6/27/2013
$
(95 $
9/27/2013
$
(34 $
12/23/2013
$
(57,776 $
9/30/2010
$
Reason for Adjustment
- Termination of SPA
1,740,667 Updated portfolio data from servicer
1,740,665 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,740,662 reallocation
Updated due to quarterly assessment and
1,740,634 reallocation
- Termination of SPA
3,481,334 Updated portfolio data from servicer
3,481,329 Updated portfolio data from servicer
Updated due to quarterly assessment and
3,481,323 reallocation
Updated due to quarterly assessment and
3,481,265 reallocation
Updated due to quarterly assessment and
3,481,222 reallocation
Updated due to quarterly assessment and
3,481,103 reallocation
Updated due to quarterly assessment and
3,481,083 reallocation
Updated due to quarterly assessment and
3,481,007 reallocation
Updated due to quarterly assessment and
3,480,978 reallocation
Updated due to quarterly assessment and
3,480,968 reallocation
Updated due to quarterly assessment and
3,463,547 reallocation
11,314,337 Updated portfolio data from servicer
11,314,320 Updated portfolio data from servicer
Updated due to quarterly assessment and
11,314,300 reallocation
Updated due to quarterly assessment and
11,314,108 reallocation
Updated due to quarterly assessment and
11,313,964 reallocation
Updated due to quarterly assessment and
11,313,568 reallocation
Updated due to quarterly assessment and
11,313,501 reallocation
Updated due to quarterly assessment and
11,313,248 reallocation
Updated due to quarterly assessment and
11,313,153 reallocation
Updated due to quarterly assessment and
11,313,119 reallocation
Updated due to quarterly assessment and
11,255,343 reallocation
45,05 $
145,056 Updated portfolio data from servicer
1/6/2011
$
34,94 $
3/30/2011
$
40,00 $
6/29/2011
$
50,00 $
180,000 Updated portfolio data from servicer
Updated due to quarterly assessment and
220,000 reallocation
Updated due to quarterly assessment and
270,000 reallocation
3/15/2012
$
(200,000 $
70,000 Transfer of cap due to servicing transfer
6/14/2012
$
(10,000 $
60,000 Transfer of cap due to servicing transfer
4/9/2013
$
(60,000 $
9/30/2010
$
5,168,16 $
1/6/2011
$
(12 $
3/30/2011
$
(15 $
4/13/2011
$
400,00 $
6/29/2011
$
(143 $
- Termination of SPA
8,268,169 Updated portfolio data from servicer
8,268,157 Updated portfolio data from servicer
Updated due to quarterly assessment and
8,268,142 reallocation
8,668,142 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
8,667,999 reallocation
9/15/2011
$
700,00 $
9,367,999 Transfer of cap due to servicing transfer
10/14/2011
$
100,00 $
9,467,999 Transfer of cap due to servicing transfer
11/16/2011
$
200,00 $
9,667,999 Transfer of cap due to servicing transfer
12/15/2011
$
1,700,00 $
11,367,999 Transfer of cap due to servicing transfer
4/16/2012
$
1,600,00 $
12,967,999 Transfer of cap due to servicing transfer
5/16/2012
$
40,00 $
13,007,999 Transfer of cap due to servicing transfer
6/14/2012
$
(210,000 $
6/28/2012
$
(105 $
7/16/2012
$
50,00 $
12,847,894 Transfer of cap due to servicing transfer
8/16/2012
$
90,00 $
9/27/2012
$
(294 $
12,937,894 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
12,937,600 reallocation
10/16/2012
$
1,810,00 $
12/27/2012
$
(6 $
1/16/2013
$
30,00 $
14,777,539 Transfer of cap due to servicing transfer
2/14/2013
$
(590,000 $
14,187,539 Transfer of cap due to servicing transfer
3/14/2013
$
(80,000 $
3/25/2013
$
(214 $
4/16/2013
$
200,00 $
14,307,325 Transfer of cap due to servicing transfer
5/16/2013
$
3,710,00 $
18,017,325 Transfer of cap due to servicing transfer
6/14/2013
$
1,760,00 $
6/27/2013
$
(86 $
19,777,325 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
19,777,239 reallocation
7/16/2013
$
6,650,00 $
26,427,239 Transfer of cap due to servicing transfer
8/15/2013
$
20,00 $
26,447,239 Transfer of cap due to servicing transfer
9/16/2013
$
4,840,00 $
9/27/2013
$
(54 $
10/15/2013
$
720,00 $
32,007,185 Transfer of cap due to servicing transfer
11/14/2013
$
1,040,00 $
33,047,185 Transfer of cap due to servicing transfer
12,797,999 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
12,797,894 reallocation
14,747,600 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,747,539 reallocation
14,107,539 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,107,325 reallocation
31,287,239 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
31,287,185 reallocation
104
Servicer Modifying Borrowers' Loans
Adjustment Details
Name of Institution
Date
City
State
Transaction
Type
Pricing
Mechanism
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Note
1001727
1001727
1001727
9/15/2010
Caliber Home Loans, Inc (Vericrest Financial, Inc.)
Oklahoma City
OK
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
9/15/2010
Midwest Community Bank
Freeport
IL
Purchase
Financial Instrument for Home Loan Modifications
$
400,000
N/A
1000879
1000879
1000879
1000879
1000879
1000879
1000879
1000879
1000879
1000879
9/24/2010
American Finance House LARIBA
9/24/2010
Centrue Bank
Pasadena
CA
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
IL
Purchase
Financial Instrument for Home Loan Modifications
$
1,900,000
N/A
Columbia
SC
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
Amarillo
TX
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
1000704
Ottawa
10204
10204
9/30/2010
AgFirst Farm Credit Bank
9/30/2010
Amarillo National Bank
1001220
4, 8
1000478
1000478
1000478
1000478
1000478
9/30/2010
American Financial Resources Inc.
Parsippany
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1001726
1001726
1001726
1001726
1001726
9/30/2010
Banco Popular de Puerto Rico
San Juan
1000509
1000509
1000509
1000509
1000509
1000509
1000509
1000509
1000509
1000509
1000509
1000509
PR
Purchase
Financial Instrument for Home Loan Modifications
$
1,700,000
N/A
4, 5, 8
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
140,00 $
Reason for Adjustment
12/16/2013
$
33,187,185 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
33,102,809 reallocation
12/23/2013
$
(84,376 $
1/16/2014
$
8,350,00 $
41,452,809 Transfer of cap due to servicing transfer
9/15/2010
$
1,000,00 $
1,000,000 Transfer of cap due to servicing transfer
9/30/2010
$
450,55 $
1,450,556 Updated portfolio data from servicer
1/6/2011
$
(2 $
1,450,554 Updated portfolio data from servicer
2/16/2011
$
3,000,00 $
4,450,554 Transfer of cap due to servicing transfer
3/16/2011
$
10,200,00 $
3/30/2011
$
(24 $
6/29/2011
$
(22 $
14,650,554 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,650,530 reallocation
Updated due to quarterly assessment and
14,650,303 reallocation
7/14/2011
$
12,000,00 $
26,650,303 Transfer of cap due to servicing transfer
12/15/2011
$
4,100,00 $
30,750,303 Transfer of cap due to servicing transfer
1/13/2012
$
900,00 $
31,650,303 Transfer of cap due to servicing transfer
4/16/2012
$
300,00 $
6/28/2012
$
(266 $
31,950,303 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
31,950,037 reallocation
Updated due to quarterly assessment and
31,949,348 reallocation
9/27/2012
$
(689 $
11/15/2012
$
720,00 $
12/27/2012
$
(114 $
1/16/2013
$
8,020,00 $
3/25/2013
$
(59 $
5/16/2013
$
(40,000 $
6/27/2013
$
(223 $
(80 $
32,669,348 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
32,669,234 reallocation
40,689,234 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
40,688,643 reallocation
40,648,643 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
40,648,420 reallocation
Updated due to quarterly assessment and
40,648,340 reallocation
Updated due to quarterly assessment and
40,512,564 reallocation
9/27/2013
$
12/23/2013
$
(135,776 $
1/16/2014
$
(1,130,000 $
9/30/2010
$
180,22 $
1/6/2011
$
( $
3/30/2011
$
( $
6/29/2011
$
(8 $
6/28/2012
$
(6 $
9/27/2012
$
(1 $
12/27/2012
$
(3 $
3/25/2013
$
(1 $
6/27/2013
$
(4 $
9/27/2013
$
( $
12/23/2013
$
(2,474 $
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
Updated due to quarterly assessment and
580,206 reallocation
Updated due to quarterly assessment and
580,189 reallocation
Updated due to quarterly assessment and
580,186 reallocation
Updated due to quarterly assessment and
580,175 reallocation
Updated due to quarterly assessment and
580,171 reallocation
Updated due to quarterly assessment and
580,170 reallocation
Updated due to quarterly assessment and
577,696 reallocation
145,056 Updated portfolio data from servicer
39,382,564 Transfer of cap due to servicing transfer
580,222 Updated portfolio data from servicer
9/30/2010
$
45,05 $
2/2/2011
$
(145,056 $
9/30/2010
$
856,05 $
2,756,056 Updated portfolio data from servicer
1/6/2011
2,756,052 Updated portfolio data from servicer
$
(4 $
3/9/2011
$
(2,756,052 $
9/30/2010
$
45,05 $
3/23/2011
$
(145,056 $
9/30/2010
$
45,05 $
6/29/2011
$
( $
6/28/2012
$
( $
9/27/2012
$
(2 $
3/25/2013
$
( $
12/23/2013
$
(232 $
9/30/2010
$
45,05 $
6/29/2011
$
( $
6/28/2012
$
( $
9/27/2012
$
(2 $
3/25/2013
$
( $
12/23/2013
$
(232 $
- Termination of SPA
- Termination of SPA
145,056 Updated portfolio data from servicer
- Termination of SPA
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
Updated due to quarterly assessment and
145,051 reallocation
Updated due to quarterly assessment and
144,819 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
Updated due to quarterly assessment and
145,051 reallocation
Updated due to quarterly assessment and
144,819 reallocation
$
765,94 $
1/6/2011
$
(3 $
3/30/2011
$
(4 $
6/29/2011
$
(36 $
6/28/2012
$
(30 $
9/27/2012
$
(83 $
12/27/2012
$
(14 $
3/25/2013
$
(53 $
6/27/2013
$
(20 $
9/16/2013
$
460,00 $
9/27/2013
$
( $
12/23/2013
$
(12,339 $
2,925,702 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
2,925,695 reallocation
Updated due to quarterly assessment and
2,913,356 reallocation
1/16/2014
$
50,00 $
2,963,356 Transfer of cap due to servicing transfer
9/30/2010
2,465,945 Updated portfolio data from servicer
2,465,942 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,465,938 reallocation
Updated due to quarterly assessment and
2,465,902 reallocation
Updated due to quarterly assessment and
2,465,872 reallocation
Updated due to quarterly assessment and
2,465,789 reallocation
Updated due to quarterly assessment and
2,465,775 reallocation
Updated due to quarterly assessment and
2,465,722 reallocation
Updated due to quarterly assessment and
2,465,702 reallocation
105
Servicer Modifying Borrowers' Loans
9/30/2010
Adjustment Details
Name of Institution
Date
City
Capital International Financial, Inc.
Coral Gables
State
Transaction
Type
FL
Purchase
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Financial Instrument for Home Loan Modifications
$
100,000
Pricing
Mechanism
Note
N/A
4, 8
1001930
1001930
1001930
1001930
1001930
9/24/2010
Citizens Community Bank
Freeburg
IL
Purchase
Financial Instrument for Home Loan Modifications
$
800,000
N/A
1001848
1001848
9/30/2010
Community Credit Union of Florida
Rockledge
FL
Purchase
Financial Instrument for Home Loan Modifications
$
2,000,000
N/A
6
8
8
8
8
8
9/30/2010
CU Mortgage Services, Inc.
12
New Brighton
MN
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
10616
10616
10616
10616
10616
9/30/2010
First Federal Bank of Florida
Lake City
FL
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
10364
10364
10364
10364
10364
9/30/2010
First Mortgage Corporation
Diamond Bar
CA
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
10253
10253
10253
10253
10253
9/30/2010
First Safety Bank
Cincinnati
OH
Purchase
Financial Instrument for Home Loan Modifications
$
400,000
N/A
1000487
1000487
9/30/2010
Flagstar Capital Markets Corporation
Troy
MI
Purchase
Financial Instrument for Home Loan Modifications
$
800,000
N/A
7, 8
10228
10228
10228
10228
10228
10228
10228
10228
10228
10228
9/30/2010
Franklin Savings
Cincinnati
OH
Purchase
Financial Instrument for Home Loan Modifications
$
1,700,000
N/A
4
1000773
1000773
1000773
1000773
1000773
1000773
1000773
1000773
1000773
1000773
1000773
9/30/2010
Gateway Mortgage Group, LLC
12
Tulsa
OK
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1001744
1001744
1001744
1001744
1001744
9/30/2010
GFA Federal Credit Union
Gardner
MA
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
1001637
9/30/2010
Guaranty Bank
Saint Paul
MN
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
9/30/2010
$
45,05 $
6/29/2011
$
( $
6/28/2012
$
( $
9/27/2012
$
(2 $
3/25/2013
$
( $
12/23/2013
$
(232 $
9/30/2010
$
360,44 $
1,160,445 Updated portfolio data from servicer
1/6/2011
$
(2 $
1,160,443 Updated portfolio data from servicer
3/23/2011
$
(1,160,443 $
9/30/2010
$
901,11 $
1/6/2011
$
(4 $
3/30/2011
$
(5 $
6/29/2011
$
6/28/2012
$
(36 $
9/14/2012
$
(2,888,38 $
9/30/2010
$
45,05 $
6/29/2011
$
( $
6/28/2012
$
( $
9/27/2012
$
(2 $
3/25/2013
$
( $
12/23/2013
$
(232 $
(48 $
9/30/2010
$
45,05 $
6/29/2011
$
( $
6/28/2012
$
( $
9/27/2012
$
(2 $
3/25/2013
$
( $
12/23/2013
$
(232 $
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
Updated due to quarterly assessment and
145,051 reallocation
Updated due to quarterly assessment and
144,819 reallocation
- Termination of SPA
2,901,112 Updated portfolio data from servicer
2,901,108 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,901,103 reallocation
Updated due to quarterly assessment and
2,901,055 reallocation
Updated due to quarterly assessment and
2,901,019 reallocation
12,632 Termination of SPA
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
Updated due to quarterly assessment and
145,051 reallocation
Updated due to quarterly assessment and
144,819 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
Updated due to quarterly assessment and
145,051 reallocation
Updated due to quarterly assessment and
144,819 reallocation
9/30/2010
$
45,05 $
6/29/2011
$
( $
6/28/2012
$
( $
9/27/2012
$
(2 $
3/25/2013
$
( $
12/23/2013
$
(232 $
9/30/2010
$
180,22 $
580,222 Updated portfolio data from servicer
1/6/2011
$
( $
580,221 Updated portfolio data from servicer
3/23/2011
$
(580,22 $
9/30/2010
$
360,44 $
1/6/2011
$
(2 $
3/30/2011
$
(2 $
6/29/2011
$
(18 $
6/28/2012
$
(14 $
9/27/2012
$
(3 $
12/27/2012
$
(6 $
3/25/2013
$
(24 $
6/27/2013
$
9/27/2013
$
(3 $
12/23/2013
$
(5,463 $
9/30/2010
$
765,94 $
1/6/2011
$
(4 $
3/30/2011
$
(4 $
6/29/2011
$
(40 $
6/28/2012
$
(30 $
9/27/2012
$
(83 $
12/27/2012
$
(14 $
3/25/2013
$
(53 $
6/14/2013
$
(10,000 $
6/27/2013
$
(20 $
(9 $
9/27/2013
$
( $
10/24/2013
$
(2,446,075 $
9/30/2010
$
45,05 $
6/29/2011
$
( $
6/28/2012
$
( $
9/27/2012
$
(2 $
3/25/2013
$
( $
12/23/2013
$
(232 $
9/30/2010
$
45,05 $
3/23/2011
$
(145,056 $
9/30/2010
$
45,05 $
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
Updated due to quarterly assessment and
145,051 reallocation
Updated due to quarterly assessment and
144,819 reallocation
- Termination of SPA
1,160,445 Updated portfolio data from servicer
1,160,443 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,160,441 reallocation
Updated due to quarterly assessment and
1,160,423 reallocation
Updated due to quarterly assessment and
1,160,409 reallocation
Updated due to quarterly assessment and
1,160,372 reallocation
Updated due to quarterly assessment and
1,160,366 reallocation
Updated due to quarterly assessment and
1,160,342 reallocation
Updated due to quarterly assessment and
1,160,333 reallocation
Updated due to quarterly assessment and
1,160,330 reallocation
Updated due to quarterly assessment and
1,154,867 reallocation
2,465,945 Updated portfolio data from servicer
2,465,941 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,465,937 reallocation
Updated due to quarterly assessment and
2,465,897 reallocation
Updated due to quarterly assessment and
2,465,867 reallocation
Updated due to quarterly assessment and
2,465,784 reallocation
Updated due to quarterly assessment and
2,465,770 reallocation
Updated due to quarterly assessment and
2,465,717 reallocation
2,455,717 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
2,455,697 reallocation
Updated due to quarterly assessment and
2,455,690 reallocation
9,615 Termination of SPA
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
Updated due to quarterly assessment and
145,051 reallocation
Updated due to quarterly assessment and
144,819 reallocation
145,056 Updated portfolio data from servicer
- Termination of SPA
145,056 Updated portfolio data from servicer
106
Servicer Modifying Borrowers' Loans
Adjustment Details
Name of Institution
Date
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
10350
10350
10350
10350
10350
9/24/2010
James B. Nutter & Company
Kansas City
MO
Purchase
Financial Instrument for Home Loan Modifications
$
300,000
N/A
4, 8
1000492
1000492
1000492
1000492
1000492
1000492
1000492
1000492
1000492
1000492
9/30/2010
Liberty Bank and Trust Co
New Orleans
LA
Purchase
Financial Instrument for Home Loan Modifications
$
1,000,000
N/A
1001010
1001010
1001010
1001010
1001010
1001010
1001010
1001010
1001010
1001010
9/30/2010
M&T Bank
Buffalo
NY
Purchase
Financial Instrument for Home Loan Modifications
$
700,000
N/A
4, 8
10529
10529
10529
10529
10529
10529
10529
10529
10529
10529
9/30/2010
Magna Bank
Germantown
TN
Purchase
Financial Instrument for Home Loan Modifications
$
1,400,000
N/A
5
1000645
1000645
1000645
1000645
1000645
1000645
1000645
1000645
1000645
1000645
9/30/2010
Mainstreet Credit Union
Lexena
KS
Purchase
Financial Instrument for Home Loan Modifications
$
500,000
N/A
1001636
1001636
9/30/2010
Marsh Associates, Inc.
Charlotte
NC
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1001907
1001907
1001907
1001907
1001907
9/30/2010
Midland Mortgage Company
Oklahoma City
10457
10457
10457
10457
10457
10457
10457
10457
OK
Purchase
Financial Instrument for Home Loan Modifications
$
43,500,000
N/A
4, 5
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
6/29/2011
$
( $
6/28/2012
$
( $
9/27/2012
$
(2 $
3/25/2013
$
( $
12/23/2013
$
(232 $
9/30/2010
$
135,16 $
1/6/2011
$
( $
3/30/2011
$
( $
6/29/2011
$
(6 $
6/28/2012
$
(4 $
9/27/2012
$
(12 $
12/27/2012
$
(2 $
3/25/2013
$
(8 $
6/27/2013
$
(3 $
9/27/2013
$
( $
12/23/2013
$
(1,72 $
9/30/2010
$
450,55 $
1/6/2011
$
(2 $
3/30/2011
$
(2 $
6/29/2011
$
(23 $
6/28/2012
$
(1 $
9/27/2012
$
(48 $
12/27/2012
$
(8 $
3/25/2013
$
(30 $
6/27/2013
$
(1 $
9/27/2013
$
(4 $
12/23/2013
$
(6,958 $
9/30/2010
$
315,38 $
1/6/2011
$
( $
3/30/2011
$
( $
6/29/2011
$
(1 $
6/28/2012
$
(1 $
9/27/2012
$
(30 $
12/27/2012
$
(5 $
3/25/2013
$
(20 $
6/27/2013
$
( $
9/27/2013
$
(3 $
12/23/2013
$
(4,38 $
9/30/2010
$
630,77 $
1/6/2011
$
(3 $
3/30/2011
$
(3 $
6/29/2011
$
(33 $
6/28/2012
$
(25 $
9/27/2012
$
(68 $
12/27/2012
$
(1 $
3/25/2013
$
(44 $
6/27/2013
$
(16 $
9/27/2013
$
(6 $
12/23/2013
$
(9,94 $
Reason for Adjustment
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
Updated due to quarterly assessment and
145,051 reallocation
Updated due to quarterly assessment and
144,819 reallocation
435,167 Updated portfolio data from servicer
435,166 Updated portfolio data from servicer
Updated due to quarterly assessment and
435,165 reallocation
Updated due to quarterly assessment and
435,159 reallocation
Updated due to quarterly assessment and
435,155 reallocation
Updated due to quarterly assessment and
435,143 reallocation
Updated due to quarterly assessment and
435,141 reallocation
Updated due to quarterly assessment and
435,133 reallocation
Updated due to quarterly assessment and
435,130 reallocation
Updated due to quarterly assessment and
435,129 reallocation
Updated due to quarterly assessment and
433,402 reallocation
1,450,556 Updated portfolio data from servicer
1,450,554 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,552 reallocation
Updated due to quarterly assessment and
1,450,529 reallocation
Updated due to quarterly assessment and
1,450,512 reallocation
Updated due to quarterly assessment and
1,450,464 reallocation
Updated due to quarterly assessment and
1,450,456 reallocation
Updated due to quarterly assessment and
1,450,426 reallocation
Updated due to quarterly assessment and
1,450,415 reallocation
Updated due to quarterly assessment and
1,450,411 reallocation
Updated due to quarterly assessment and
1,443,453 reallocation
1,015,389 Updated portfolio data from servicer
1,015,388 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,015,387 reallocation
Updated due to quarterly assessment and
1,015,376 reallocation
Updated due to quarterly assessment and
1,015,365 reallocation
Updated due to quarterly assessment and
1,015,335 reallocation
Updated due to quarterly assessment and
1,015,330 reallocation
Updated due to quarterly assessment and
1,015,310 reallocation
Updated due to quarterly assessment and
1,015,303 reallocation
Updated due to quarterly assessment and
1,015,300 reallocation
Updated due to quarterly assessment and
1,010,919 reallocation
2,030,778 Updated portfolio data from servicer
2,030,775 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,030,772 reallocation
Updated due to quarterly assessment and
2,030,739 reallocation
Updated due to quarterly assessment and
2,030,714 reallocation
Updated due to quarterly assessment and
2,030,646 reallocation
Updated due to quarterly assessment and
2,030,635 reallocation
Updated due to quarterly assessment and
2,030,591 reallocation
Updated due to quarterly assessment and
2,030,575 reallocation
Updated due to quarterly assessment and
2,030,569 reallocation
Updated due to quarterly assessment and
2,020,622 reallocation
9/30/2010
$
225,27 $
725,278 Updated portfolio data from servicer
1/6/2011
$
( $
725,277 Updated portfolio data from servicer
3/9/2011
$
(725,27 $
9/30/2010
$
45,05 $
6/29/2011
$
( $
6/28/2012
$
( $
9/27/2012
$
( $
3/25/2013
$
( $
10/15/2013
$
(60,000 $
9/30/2010
$
49,915,80 $
- Termination of SPA
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,053 reallocation
Updated due to quarterly assessment and
145,052 reallocation
85,052 Transfer of cap due to servicing transfer
93,415,806 Updated portfolio data from servicer
1/6/2011
$
(125 $
3/30/2011
$
(139 $
6/29/2011
$
(1,223 $
6/28/2012
$
(79 $
7/16/2012
$
294,540,00 $
387,953,522 Transfer of cap due to servicing transfer
7/27/2012
$
(263,550,000 $
9/27/2012
$
(3,170 $
12/27/2012
$
(50 $
124,403,522 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
124,400,352 reallocation
Updated due to quarterly assessment and
124,399,845 reallocation
93,415,681 Updated portfolio data from servicer
Updated due to quarterly assessment and
93,415,542 reallocation
Updated due to quarterly assessment and
93,414,319 reallocation
Updated due to quarterly assessment and
93,413,522 reallocation
107
Servicer Modifying Borrowers' Loans
Date
Adjustment Details
Name of Institution
City
State
Transaction
Type
Pricing
Mechanism
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Note
10457
10457
10457
10457
9/30/2010
Mid America Mortgage, Inc. (Schmidt Mortgage Company) Rocky River
OH
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1001163
1001163
1001163
1001163
1001163
9/30/2010
Stockman Bank of Montana
Miles City
MT
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1000818
1000818
1000818
1000818
1000818
9/30/2010
University First Federal Credit Union
Salt Lake City
UT
Purchase
Financial Instrument for Home Loan Modifications
$
600,000
N/A
1001721
1001721
9/30/2010
Weststar Mortgage, Inc.
Woodbridge
VA
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1001893
1001893
1001893
1001893
1001893
12/15/2010
Statebridge Company, LLC
Denver
CO
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
12/15/2010
Scotiabank de Puerto Rico
San Juan
PR
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1000991
1000991
1000991
1000991
1000991
1000991
1000991
1000991
1000991
4/13/2011
New York Community Bank (AmTrust Bank)
Cleveland
10151
10151
10151
10151
10151
10151
10151
OH
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
Updated due to quarterly assessment and
124,398,116 reallocation
Updated due to quarterly assessment and
124,397,523 reallocation
Updated due to quarterly assessment and
124,397,324 reallocation
Updated due to quarterly assessment and
124,117,263 reallocation
3/25/2013
$
(1,729 $
6/27/2013
$
(593 $
9/27/2013
$
(199 $
12/23/2013
$
(280,06 $
9/30/2010
$
45,05 $
6/29/2011
$
( $
6/28/2012
$
( $
9/27/2012
$
(2 $
3/25/2013
$
( $
12/23/2013
$
(232 $
9/30/2010
$
45,05 $
6/29/2011
$
( $
6/28/2012
$
( $
9/27/2012
$
3/25/2013
$
( $
12/23/2013
$
(232 $
9/30/2010
$
270,33 $
870,334 Updated portfolio data from servicer
1/6/2011
$
( $
870,333 Updated portfolio data from servicer
2/17/2011
$
(870,333 $
9/30/2010
$
45,05 $
6/29/2011
$
( $
6/28/2012
$
( $
9/27/2012
$
(2 $
3/25/2013
$
( $
12/23/2013
$
(232 $
12/15/2010
$
5,000,00 $
5,000,000 Updated portfolio data from servicer
1/6/2011
$
( $
4,999,993 Updated portfolio data from servicer
2/16/2011
$
500,00 $
5,499,993 Transfer of cap due to servicing transfer
3/16/2011
$
100,00 $
3/30/2011
$
(9 $
6/29/2011
$
(85 $
5,599,993 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,599,984 reallocation
Updated due to quarterly assessment and
5,599,899 reallocation
11/16/2011
$
(2,500,000 $
3/15/2012
$
200,00 $
6/28/2012
$
(40 $
(2 $
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
Updated due to quarterly assessment and
145,051 reallocation
Updated due to quarterly assessment and
144,819 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
Updated due to quarterly assessment and
145,051 reallocation
Updated due to quarterly assessment and
144,819 reallocation
- Termination of SPA
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
Updated due to quarterly assessment and
145,051 reallocation
Updated due to quarterly assessment and
144,819 reallocation
3,099,899 Transfer of cap due to servicing transfer
3,299,899 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,299,859 reallocation
Updated due to quarterly assessment and
3,299,759 reallocation
9/27/2012
$
(100 $
10/16/2012
$
170,00 $
3,469,759 Transfer of cap due to servicing transfer
11/15/2012
$
(30,000 $
3,439,759 Transfer of cap due to servicing transfer
12/14/2012
$
(80,000 $
12/27/2012
$
(1 $
3,359,759 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,359,742 reallocation
1/16/2013
$
50,00 $
3,409,742 Transfer of cap due to servicing transfer
2/14/2013
$
1,240,00 $
4,649,742 Transfer of cap due to servicing transfer
3/14/2013
$
90,00 $
3/25/2013
$
(90 $
4/16/2013
$
(10,000 $
6/27/2013
$
(34 $
4,739,742 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
4,739,652 reallocation
4,729,652 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
4,729,618 reallocation
Updated due to quarterly assessment and
4,729,605 reallocation
9/27/2013
$
(13 $
11/14/2013
$
60,00 $
12/23/2013
$
(21,773 $
4,789,605 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
4,767,832 reallocation
4,747,832 Transfer of cap due to servicing transfer
1/16/2014
$
(20,000 $
12/15/2010
$
4,300,00 $
1/6/2011
$
(4 $
6/29/2011
$
(5 $
6/28/2012
$
(23 $
9/27/2012
$
(63 $
12/27/2012
$
(1 $
3/25/2013
$
(4 $
6/27/2013
$
(16 $
9/27/2013
$
(6 $
12/23/2013
$
(9,679 $
4,300,000 Updated portfolio data from servicer
4,299,996 Updated portfolio data from servicer
Updated due to quarterly assessment and
4,299,991 reallocation
Updated due to quarterly assessment and
4,299,968 reallocation
Updated due to quarterly assessment and
4,299,905 reallocation
Updated due to quarterly assessment and
4,299,894 reallocation
Updated due to quarterly assessment and
4,299,853 reallocation
Updated due to quarterly assessment and
4,299,837 reallocation
Updated due to quarterly assessment and
4,299,831 reallocation
Updated due to quarterly assessment and
4,290,152 reallocation
4/13/2011
$
200,00 $
200,000 Transfer of cap due to servicing transfer
5/13/2011
$
100,00 $
300,000 Transfer of cap due to servicing transfer
6/16/2011
$
300,00 $
6/29/2011
$
(9 $
600,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
599,991 reallocation
8/16/2011
$
200,00 $
6/28/2012
$
( $
9/27/2012
$
(19 $
12/27/2012
$
(3 $
799,991 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
799,984 reallocation
Updated due to quarterly assessment and
799,965 reallocation
Updated due to quarterly assessment and
799,962 reallocation
108
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Pricing
Mechanism
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Note
10151
10151
10151
10151
10151
4/13/2011
SunTrust Mortgage, Inc.
Richmond
VA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
10012
10012
10012
10012
10012
4/13/2011
Urban Partnership Bank
Chicago
IL
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1001970
1001970
1001970
1001970
1001970
1001970
1001970
1001970
1001970
4/13/2011
Western Federal Credit Union
Hawthorne
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1001231
1001231
1001231
1001231
5/13/2011
FCI Lender Services, Inc.
Anaheim Hills
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
7/14/2011
Gregory Funding, LLC
Beaverton
1002041
1002041
1002041
1002041
1002041
1002041
1002041
1002041
1002041
1002041
OR
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
3/25/2013
$
6/27/2013
$
(5 $
7/16/2013
$
150,00 $
9/27/2013
$
(2 $
(12 $
Reason for Adjustment
Updated due to quarterly assessment and
799,950 reallocation
Updated due to quarterly assessment and
799,945 reallocation
949,945 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
949,943 reallocation
Updated due to quarterly assessment and
946,489 reallocation
12/23/2013
$
(3,454 $
4/13/2011
$
100,00 $
100,000 Transfer of cap due to servicing transfer
6/14/2013
$
120,00 $
6/27/2013
$
( $
220,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
219,999 reallocation
7/16/2013
$
10,00 $
12/23/2013
$
(670 $
1/16/2014
$
20,00 $
4/13/2011
$
1,000,00 $
6/29/2011
$
233,26 $
11/16/2011
$
100,00 $
6/28/2012
$
(3 $
229,999 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
229,329 reallocation
249,329 Transfer of cap due to servicing transfer
1,000,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,233,268 reallocation
1,333,268 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,333,265 reallocation
Updated due to quarterly assessment and
1,333,255 reallocation
Updated due to quarterly assessment and
1,333,253 reallocation
Updated due to quarterly assessment and
1,333,246 reallocation
Updated due to quarterly assessment and
1,333,243 reallocation
Updated due to quarterly assessment and
1,333,242 reallocation
Updated due to quarterly assessment and
1,331,498 reallocation
9/27/2012
$
(10 $
12/27/2012
$
(2 $
3/25/2013
$
( $
6/27/2013
$
(3 $
9/27/2013
$
( $
12/23/2013
$
(1,744 $
4/13/2011
$
200,00 $
6/29/2011
$
17,68 $
9/27/2012
$
( $
3/25/2013
$
( $
12/23/2013
$
(290 $
5/13/2011
$
500,00 $
500,000 Transfer of cap due to servicing transfer
6/16/2011
$
100,00 $
6/29/2011
$
(9 $
600,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
599,991 reallocation
7/14/2011
$
200,00 $
9/15/2011
$
100,00 $
899,991 Transfer of cap due to servicing transfer
11/16/2011
$
2,500,00 $
3,399,991 Transfer of cap due to servicing transfer
5/16/2012
$
1,510,00 $
4,909,991 Transfer of cap due to servicing transfer
6/14/2012
$
450,00 $
6/28/2012
$
(66 $
7/16/2012
$
250,00 $
8/16/2012
$
90,00 $
9/27/2012
$
(19 $
10/16/2012
$
140,00 $
5,839,734 Transfer of cap due to servicing transfer
11/15/2012
$
70,00 $
5,909,734 Transfer of cap due to servicing transfer
12/14/2012
$
40,00 $
12/27/2012
$
(34 $
5,949,734 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,949,700 reallocation
1/16/2013
$
40,00 $
5,989,700 Transfer of cap due to servicing transfer
2/14/2013
$
50,00 $
6,039,700 Transfer of cap due to servicing transfer
3/14/2013
$
360,00 $
3/25/2013
$
(135 $
4/16/2013
$
(10,000 $
6,389,565 Transfer of cap due to servicing transfer
5/16/2013
$
40,00 $
6,429,565 Transfer of cap due to servicing transfer
6/14/2013
$
200,00 $
6/27/2013
$
(53 $
7/16/2013
$
20,00 $
9/27/2013
$
(19 $
10/15/2013
$
260,00 $
11/14/2013
$
30,00 $
12/23/2013
$
(33,755 $
200,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
217,687 reallocation
Updated due to quarterly assessment and
217,686 reallocation
Updated due to quarterly assessment and
217,685 reallocation
Updated due to quarterly assessment and
217,395 reallocation
799,991 Transfer of cap due to servicing transfer
5,359,991 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,359,925 reallocation
5,609,925 Transfer of cap due to servicing transfer
5,699,925 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,699,734 reallocation
6,399,700 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,399,565 reallocation
6,629,565 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,629,512 reallocation
6,649,512 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,649,493 reallocation
6,909,493 Transfer of cap due to servicing transfer
6,939,493 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,905,738 reallocation
7/14/2011
$
200,00 $
200,000 Transfer of cap due to servicing transfer
11/16/2011
$
900,00 $
1,100,000 Transfer of cap due to servicing transfer
1/13/2012
$
100,00 $
6/28/2012
$
(9 $
1,200,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,199,991 reallocation
8/16/2012
$
20,00 $
9/27/2012
$
(26 $
10/16/2012
$
50,00 $
1,269,965 Transfer of cap due to servicing transfer
12/14/2012
$
10,00 $
12/27/2012
$
(5 $
1,279,965 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,279,960 reallocation
1/16/2013
$
130,00 $
1,409,960 Transfer of cap due to servicing transfer
2/14/2013
$
120,00 $
1,529,960 Transfer of cap due to servicing transfer
1,219,991 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,219,965 reallocation
109
Servicer Modifying Borrowers' Loans
Date
Adjustment Details
Name of Institution
City
State
Transaction
Type
Pricing
Mechanism
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Note
1002041
1002041
1002041
1002041
1002041
1002041
1002041
9/15/2011
Bangor Savings Bank
Bangor
ME
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
9/15/2011
PHH Mortgage Corporation
Mt. Laurel
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
10107
10107
10107
10107
10107
10107
10107
10107
10107
12/15/2011
Rushmore Loan Management Services LLC
Irvine
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1/13/2012
Sun West Mortgage Company, Inc
Cerritos
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
3/15/2012
PrimeWest Mortgage Corporation
Lubbock
TX
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
6/14/2012
Resurgent Capital Solutions L.P.
Greenville
SC
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1001111
1001111
1001111
1001111
1001111
1001111
1001111
1001111
1001111
1001111
1001111
1001111
1001111
1001111
1001111
1001111
1001111
11/15/2012
Kondaur Capital Corporation
Orange
1002292
1002292
1002292
1002292
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
3/25/2013
$
5/16/2013
$
80,00 $
6/14/2013
$
420,00 $
6/27/2013
$
(10 $
(20 $
9/27/2013
$
(4 $
11/14/2013
$
120,00 $
12/23/2013
$
(7,685 $
9/15/2011
$
100,00 $
9/15/2011
$
1,300,00 $
6/28/2012
$
(15 $
9/27/2012
$
(42 $
10/16/2012
$
140,00 $
12/27/2012
$
(8 $
3/25/2013
$
(30 $
6/27/2013
$
(1 $
7/16/2013
$
5,850,00 $
9/27/2013
$
(20 $
Reason for Adjustment
Updated due to quarterly assessment and
1,529,940 reallocation
1,609,940 Transfer of cap due to servicing transfer
2,029,940 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
2,029,930 reallocation
Updated due to quarterly assessment and
2,029,926 reallocation
2,149,926 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
2,142,241 reallocation
100,000 Transfer of cap due to servicing transfer
1,300,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,299,985 reallocation
Updated due to quarterly assessment and
1,299,943 reallocation
1,439,943 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,439,935 reallocation
Updated due to quarterly assessment and
1,439,905 reallocation
Updated due to quarterly assessment and
1,439,894 reallocation
12/23/2013
$
(34,545 $
7,289,894 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
7,289,874 reallocation
Updated due to quarterly assessment and
7,255,329 reallocation
12/15/2011
$
200,00 $
200,000 Transfer of cap due to servicing transfer
4/16/2012
$
600,00 $
6/28/2012
$
(3 $
800,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
799,997 reallocation
8/16/2012
$
110,00 $
9/27/2012
$
(13 $
10/16/2012
$
1,270,00 $
11/15/2012
$
230,00 $
12/27/2012
$
(5 $
1/16/2013
$
990,00 $
3,399,979 Transfer of cap due to servicing transfer
2/14/2013
$
600,00 $
3,999,979 Transfer of cap due to servicing transfer
3/14/2013
$
1,980,00 $
3/25/2013
$
(7 $
4/16/2013
$
340,00 $
5/16/2013
$
1,520,00 $
7,839,902 Transfer of cap due to servicing transfer
6/14/2013
$
2,740,00 $
6/27/2013
$
(53 $
10,579,902 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
10,579,849 reallocation
9/16/2013
$
2,570,00 $
9/27/2013
$
(26 $
10/15/2013
$
10,00 $
13,159,823 Transfer of cap due to servicing transfer
11/14/2013
$
19,140,00 $
32,299,823 Transfer of cap due to servicing transfer
12/16/2013
$
1,330,00 $
12/23/2013
$
(60,644 $
33,629,823 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
33,569,179 reallocation
909,997 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
909,984 reallocation
2,179,984 Transfer of cap due to servicing transfer
2,409,984 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
2,409,979 reallocation
5,979,979 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,979,902 reallocation
6,319,902 Transfer of cap due to servicing transfer
13,149,849 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
13,149,823 reallocation
1/16/2014
$
10,00 $
33,579,179 Transfer of cap due to servicing transfer
1/13/2012
$
100,00 $
100,000 Transfer of cap due to servicing transfer
3/15/2012
$
100,00 $
100,000 Transfer of cap due to servicing transfer
6/14/2012
$
940,00 $
6/28/2012
$
205,24 $
(3 $
940,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,145,242 reallocation
Updated due to quarterly assessment and
1,145,239 reallocation
Updated due to quarterly assessment and
1,145,238 reallocation
9/27/2012
$
12/27/2012
$
( $
1/16/2013
$
10,00 $
2/14/2013
$
8,690,00 $
9,845,238 Transfer of cap due to servicing transfer
3/14/2013
$
1,390,00 $
3/25/2013
$
(219 $
11,235,238 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
11,235,019 reallocation
5/16/2013
$
620,00 $
11,855,019 Transfer of cap due to servicing transfer
6/14/2013
$
990,00 $
6/27/2013
$
(96 $
12,845,019 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
12,844,923 reallocation
7/16/2013
$
5,780,00 $
9/27/2013
$
(50 $
10/15/2013
$
880,00 $
19,504,873 Transfer of cap due to servicing transfer
11/14/2013
$
6,610,00 $
26,114,873 Transfer of cap due to servicing transfer
12/16/2013
$
20,00 $
12/23/2013
$
(118,329 $
1,155,238 Transfer of cap due to servicing transfer
18,624,923 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
18,624,873 reallocation
26,134,873 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
26,016,544 reallocation
1/16/2014
$
1,770,00 $
11/15/2012
$
30,00 $
30,000 Transfer of cap due to servicing transfer
12/14/2012
$
70,00 $
100,000 Transfer of cap due to servicing transfer
1/16/2013
$
(10,000 $
90,000 Transfer of cap due to servicing transfer
2/14/2013
$
(10,000 $
80,000 Transfer of cap due to servicing transfer
4/16/2013
$
(10,000 $
70,000 Transfer of cap due to servicing transfer
27,786,544 Transfer of cap due to servicing transfer
110
Servicer Modifying Borrowers' Loans
Adjustment Details
Name of Institution
Date
City
State
Transaction
Type
Pricing
Mechanism
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Note
1002292
1002292
1002292
1002292
12/14/2012
Quicken Loans Inc
Detroit
MI
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1001579
2/14/2013
Home Servicing, LLC
Baton Rouge
1002324
LA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
5/16/2013
$
130,00 $
200,000 Transfer of cap due to servicing transfer
6/14/2013
$
(50,000 $
150,000 Transfer of cap due to servicing transfer
7/16/2013
$
(20,000 $
12/23/2013
$
(155 $
130,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
129,845 reallocation
12/14/2012
$
10,00 $
8/15/2013
$
10,00 $
20,000 Transfer of cap due to servicing transfer
2/14/2013
$
510,00 $
3/25/2013
$
(9 $
510,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
509,991 reallocation
10,000 Transfer of cap due to servicing transfer
111
Servicer Modifying Borrowers' Loans
Adjustment Details
Name of Institution
Date
City
State
Transaction
Type
Pricing
Mechanism
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Note
1002324
1002324
1002324
1002324
1002324
1002324
3/14/2013
21st Mortgage Corporation
Knoxville
TN
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1002367
1002367
1002367
1002367
5/16/2013
ViewPoint Bank
Plano
TX
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1000491
6/14/2013
Cheviot Savings Bank
Cincinnati
OH
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1002040
7/16/2013
Everbank
Jacksonville
FL
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
7/16/2013
Bridgelock Capital dba Peak Loan Servicing
Woodland Hills
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
10/15/2013
SN Servicing Corporation
Baton Rouge
LA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1002498
1002453
11/14/2013
Plaza Home Mortgage, Inc
San Diego
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
12/16/2013
Desjardins Bank N.A.
Hallandale Beach
FL
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
12/16/2013
Nationwide Advantage Mortgage Company
Des Moines
IA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1/16/2014
LenderLive Network, Inc
Glendale
CO
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
Total Initial Cap
$
23,831,570,0
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
4/16/2013
$
200,00 $
5/16/2013
$
40,00 $
6/27/2013
$
(4 $
7/16/2013
$
(120,000 $
9/27/2013
$
(2 $
12/23/2013
$
(2,620 $
3/14/2013
$
130,00 $
3/25/2013
$
( $
12/16/2013
$
30,00 $
12/23/2013
$
(96 $
Reason for Adjustment
709,991 Transfer of cap due to servicing transfer
749,991 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
749,987 reallocation
629,987 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
629,985 reallocation
Updated due to quarterly assessment and
627,365 reallocation
130,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
129,999 reallocation
159,999 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
159,903 reallocation
1/16/2014
$
180,00 $
339,903 Transfer of cap due to servicing transfer
5/16/2013
$
50,00 $
50,000 Transfer of cap due to servicing transfer
12/16/2013
$
10,00 $
60,000 Transfer of cap due to servicing transfer
6/14/2013
$
10,00 $
6/27/2013
$
1,34 $
10,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
11,344 reallocation
7/16/2013
$
60,00 $
60,000 Transfer of cap due to servicing transfer
7/16/2013
$
10,00 $
10,000 Transfer of cap due to servicing transfer
12/16/2013
$
30,00 $
40,000 Transfer of cap due to servicing transfer
10/15/2013
$
60,00 $
60,000 Transfer of cap due to servicing transfer
12/16/2013
$
10,00 $
70,000 Transfer of cap due to servicing transfer
11/14/2013
$
10,00 $
10,000 Transfer of cap due to servicing transfer
12/16/2013
$
30,00 $
30,000 Transfer of cap due to servicing transfer
12/16/2013
$
10,00 $
10,000 Transfer of cap due to servicing transfer
1/16/2014
$
100,000 $
100,000 Transfer of cap due to servicing transfer
Total Cap Adjustments
TOTAL CAP
$
6,032,793,866
$
29,864,363,865.90
1/ The Cap of Incentive Payments represents the potential total amount allocated to each servicer and includes the maximum amount allotted for all payments on behalf of borrowers and payments to servicers and lenders/investors.
The Cap is subject to adjustment based on the total amount allocated to the program and individual servicer usage for borrower modifications. Each adjustment to the Cap is reflected under Adjustment Details.
2/ On July 31, 2009, the SPA with Chase Home Finance, LLC was terminated and superseded by new SPAs with J.P. Morgan Chase Bank, NA and EMC Mortgage Corporation.
3/ Wachovia Mortgage, FSB was merged with Wells Fargo Bank, NA, and the remaining Adjusted Cap stated above represents the amount previously paid to Wachovia Mortgage, FSB prior to such merger.
4/ Initial cap amount includes FHA-HAMP.
5/ Initial cap amount includes RD-HAMP.
6/ Initial cap amount includes 2MP.
7/ Initial cap amount includes FHA-2LP.
8/ Initial cap does not include HAMP.
9/ This institution executed an Assignment and Assumption Agreement (a copy of which is available on www.FinancialStability.gov) with respect to all rights and obligations for the transferred loan modifications. The amount transferred is realized as a cap adjustment and not as initial cap.
10/ The amendment reflects a change in the legal name of the institution.
11/ MorEquity, Inc executed a subservicing agreement with Nationstar Mortgage, LLC, that took effect 02/01/2011. All mortgage loans including all HAMP loans were transferred to Nationstar. The remaining Adjusted Cap stated above represents the amount previously paid to MorEquity, Inc. prior to such agreement.
12/ The remaining Adjusted Cap stated above represents the amount paid to servicer prior to SPA termination.
13/ Bank of America, N.A., Home Loan Services, Inc. and Wilshire Credit Corporation were merged into BAC Home Loans Servicing, LP. and the remaining Adjusted Cap stated above represents the amount previously paid to each servicer prior to such merger.
14/ In April 2011, EMC Mortgage, an indirect subsidiary of JP Morgan Chase & Co, transferred the servicing of all loans to JP Morgan Chase Bank, NA. The remaining Adjusted Cap stated above represents the amount previously paid to EMC Mortgage prior to such transfer.
15/ 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.
16/ 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.
17/ 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.
18/ 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.
As used in this table:
"HAFA" means the Home Affordable Foreclosure Alternatives program.
"HPDP" means the Home Price Decline Protection program.
"2MP" means the Second Lien Modification Program.
"RD-HAMP" means the Rural Housing Service Home Affordable Modification Program.
"FHA-2LP" means the FHA Second Lien Program
112
Supplemental Information [Not Required by EESA §114(a)]
Making Home Affordable Program
Non‐GSE Incentive Payments (through January 2014)
Name of Institution
21st Mortgage Corporation
Allstate Mortgage Loans & Investments
AMS Servicing, LLC
Aurora Financial Group, Inc
Aurora Loan Services LLC
Bank of America, N.A.
Bank of America, National Association
BankUnited
Bayview Loan Servicing LLC
Caliber Home Loans, Inc.
Carrington Mortgage Services, LLC.
CCO Mortgage, a division of RBS Citizens NA
Central Florida Educators Federal Credit Union
Cheviot Savings Bank
CitiMortgage Inc
Citizens First National Bank
Community Credit Union of Florida
CUC Mortgage Corporation
DuPage Credit Union
EMC Mortgage Corporation
Fay Servicing, LLC
FCI Lender Services, Inc.
Fidelity Homestead Savings Bank
FIRST BANK
First Keystone Bank
First Mortgage Corporation
Franklin Credit Management Corporation
Borrowers
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
1,916.67
6,742.19
36,866.28
24,689.43
15,997,418.00
4,099,061.97
303,185,929.27
8,018,938.71
11,670,822.81
881,715.18
10,336,116.89
2,216,619.65
115,043.49
1,000.00
71,731,811.68
23,812.89
3,000.00
57,917.62
7,028.28
7,569,459.20
1,184,847.31
26,908.09
938,106.72
2,775.62
2,000.00
337,637.70
Lenders / Investors
$
$
$
20,017.62
10,383.81
174,535.59
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
41,236,849.69
17,843,110.01
617,291,095.80
23,195,459.17
21,558,428.24
2,372,799.34
27,022,872.00
5,159,571.18
192,066.30
1,018.64
225,127,973.75
62,744.26
4,631.53
149,294.20
29,337.11
11,592,937.05
2,241,794.52
55,831.52
1,986,571.20
3,423.27
$
649,746.25
Servicer
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
13,250.00
8,035.81
101,774.66
27,843.67
28,629,251.10
9,075,438.92
369,314,861.79
11,882,231.65
14,575,357.60
1,857,164.64
18,448,555.57
3,604,055.10
233,329.26
1,000.00
110,399,448.48
43,729.55
5,000.00
99,505.28
12,328.28
16,279,383.05
1,194,013.73
30,612.38
5,600.00
1,487,099.44
8,717.90
2,000.00
743,023.67
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Total Payments to Date
35,184.29
25,161.81
313,176.53
52,533.10
85,863,518.79
31,017,610.90
1,289,791,886.86
43,096,629.53
47,804,608.65
5,111,679.16
55,807,544.46
10,980,245.93
540,439.05
3,018.64
407,259,233.91
130,286.70
12,631.53
306,717.10
48,693.67
35,441,779.30
4,620,655.56
113,351.99
5,600.00
4,411,777.36
14,916.79
4,000.00
1,730,407.62
113
Name of Institution
Franklin Savings
Fresno County Federal Credit Union
Glass City Federal Credit Union
GMAC Mortgage, LLC
Great Lakes Credit Union
Greater Nevada Mortgage Services
Green Tree Servicing LLC
Gregory Funding, LLC
Guaranty Bank
Hillsdale County National Bank
Home Loan Services, Inc.
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.
Midwest Community Bank
Borrowers
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
1,750.00
3,833.34
4,000.00
59,608,063.90
9,833.34
64,683.87
3,296,422.70
77,309.96
916.67
30,503.07
169,857.80
7,867.05
1,916.66
51,757,481.72
8,265.13
9,000.00
22,333.34
22,494.56
9,246.42
288,604,037.03
6,878.50
3,000.00
13,441,220.42
33,864.17
43,230.37
352,195.77
9,687.97
5,654,421.95
1,000.00
Lenders / Investors
$
$
$
$
$
$
$
$
3,864.59
13,204.31
2,473.84
146,673,453.98
17,846.48
154,835.52
19,425,745.87
169,994.25
$
$
$
$
$
$
$
$
$
$
$
41,101.78
2,440,767.73
16,524.42
3,036,319.34
5,572.90
133,880,572.78
18,630.60
10,502.00
23,589.08
43,297.05
25,326.90
$
$
$
$
$
$
744,223,244.06
8,504.21
3,651.45
35,353,125.99
38,205.77
$
970,196.74
$
$
1,375,855.83
1,817.60
Servicer
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
4,000.00
7,916.67
6,000.00
93,479,078.14
13,100.00
97,824.29
7,391,913.29
82,552.48
1,000.00
54,400.46
3,698,606.99
8,783.72
5,272,500.00
5,833.34
94,835,607.23
12,169.53
15,000.00
16,000.00
37,200.00
31,025.20
10,522.24
386,785,653.21
400.00
19,196.44
4,000.00
27,530,413.93
52,077.67
47,460.74
839,632.77
10,649.38
6,698,898.66
2,000.00
Total Payments to Date
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
9,614.59
24,954.32
12,473.84
299,760,596.02
40,779.82
317,343.68
30,114,081.86
329,856.69
1,916.67
126,005.31
6,309,232.52
33,175.19
8,308,819.34
13,322.90
280,473,661.73
39,065.26
25,502.00
48,589.08
102,830.39
78,846.66
19,768.66
1,419,612,934.30
400.00
34,579.15
10,651.45
76,324,760.34
124,147.61
90,691.11
2,162,025.28
20,337.35
13,729,176.44
4,817.60
114
Name of Institution
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
PNC Bank, National Association
Purdue Employees Federal Credit Union
Quantum Servicing Corporation
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
SN Servicing Corporation
Borrowers
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
67,093.07
345,841.21
161,024.95
3,435,031.71
47,557,984.21
624,566.43
13,344.17
155,442,743.76
60,317,069.07
14,063.79
11,000.00
5,716.91
6,380,309.15
29,673.77
148,437.64
2,000.00
133,393.34
1,925,598.44
121,358.66
164,852.94
256,200.90
932,210.93
19,655,074.77
22,666.70
504,620.23
79,387,933.95
82,814.86
1,283,864.10
49,915.10
40,355.90
564.78
Lenders / Investors
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
176,759.10
2,305,003.00
267,950.85
9,869,737.82
109,702,630.34
1,507,675.35
34,310.37
3,568.11
478,979,006.45
202,060,390.87
30,785.05
23,936.55
8,228.97
16,136,026.79
45,349.12
896,602.82
1,988.10
332,061.47
5,319,190.80
379,588.01
227,582.28
612,550.67
1,842,740.72
41,738,413.24
58,038.75
653,030.44
153,135,851.59
209,217.95
1,942,960.24
153,906.17
176,298.89
-
Servicer
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
107,026.39
1,977,320.74
293,535.32
5,683,704.27
62,528,947.24
1,168,224.02
22,003.56
6,500.00
224,937,781.41
85,014,082.68
39,196.08
19,000.00
13,806.28
8,172,741.89
33,792.00
471,500.00
3,000.00
179,984.09
2,806,575.07
213,757.03
401,333.81
479,484.31
480,955.59
39,413,598.23
35,500.00
418,008.60
105,856,350.60
100,160.05
1,161,323.99
143,165.10
69,189.24
564.78
Total Payments to Date
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
350,878.56
4,628,164.95
722,511.12
18,988,473.80
219,789,561.79
3,300,465.80
69,658.10
10,068.11
859,359,531.62
347,391,542.62
84,044.92
53,936.55
27,752.16
30,689,077.83
108,814.89
1,516,540.46
6,988.10
645,438.90
10,051,364.31
714,703.70
793,769.03
1,348,235.88
3,255,907.24
100,807,086.24
116,205.45
1,575,659.27
338,380,136.14
392,192.86
4,388,148.33
346,986.37
285,844.03
1,129.56
115
Name of Institution
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
Borrowers
Lenders / Investors
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
7,979,794.06
20,251.02
176,777.77
50,000.00
10,196.51
305,455.20
13,089,035.78
2,916.67
39,048.68
150,164.23
240,971.70
234,259,651.26
244,032.94
19,333.34
28,606.31
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
1,497,467,062.27
$
11,606,916.43
78,983.87
387,415.45
(1,518.80)
184,741.36
14,021.75
964,463.59
30,734,921.89
2,651.90
75,172.90
302,227.70
2,220.65
489,045.63
742.10
76,889.58
589,762,231.09
715,034.32
47,279.51
490,394.10
30,259.14
3,750,756,192.16
Servicer
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
10,859,292.70
23,701.22
292,727.72
(2,400.00)
71,816.67
8,435.80
545,015.43
21,838,273.13
6,600.00
58,835.23
135,918.87
392,135.86
162,000.00
341,020,950.42
312,225.08
22,916.67
1,167,000.00
47,372.98
2,134,368,958.06
Total Payments to Date
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
30,446,003.19
122,936.11
856,920.94
(3,918.80)
306,558.03
32,654.06
1,814,934.22
65,662,230.80
12,168.57
173,056.81
588,310.80
2,220.65
1,122,153.19
742.10
238,889.58
1,165,042,832.77
1,271,292.34
89,529.52
1,657,394.10
106,238.43
7,382,592,212.49
116
Housing Finance Agency Innovation Fund for the Hardest Hit Housing Markets
Hardest Hit Funds (HHF) Program
Seller
Note
Date
2
9/23/2010
3
9/29/2010
Name of Institution
6/23/2010 Nevada Affordable Housing Assistance Corporation
6/23/2010 CalHFA Mortgage Assistance Corporation
City
Reno
Sacramento
Investment Amount
Pricing
Additional
1
Investment Amount
Mechanism
$
194,026,240
102,800,000
N/A
State
Transaction
Type
NV
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
-
$
34,056,581
Purchase
Financial Instrument for HHF Program
-
$
57,169,659
Purchase
Financial Instrument for HHF Program
CA
Investment Description
Initial Investment
Amount
$
$
699,600,000
-
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
476,257,070
3
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
799,477,026
Purchase
Financial Instrument for HHF Program
6/23/2010 Florida Housing Finance Corporation
Tallahassee
FL
$
418,000,000
-
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
238,864,755
3
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
400,974,381
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
6/23/2010 Arizona (Home) Foreclosure Prevention Funding Corporation
3
Phoenix
AZ
9/29/2010
6/23/2010 Michigan Homeowner Assistance Nonprofit Housing Corporation
Lansing
MI
$
125,100,000
-
$
$
154,500,000
-
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
128,461,559
3
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
215,644,179
Purchase
Financial Instrument for HHF Program
North Carolina Housing Finance Agency
Raleigh
NC
$
159,000,000
-
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
120,874,221
3
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
202,907,565
Purchase
Financial Instrument for HHF Program
8/3/2010
Ohio Homeowner Assistance LLC
Columbus
OH
$
172,000,000
-
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
148,728,864
3
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
249,666,235
Purchase
Financial Instrument for HHF Program
8/3/2010
Oregon Affordable Housing Assistance Corporation
Salem
OR
$
88,000,000
N/A
$
1,975,334,096
-
N/A
N/A
N/A
$
1,057,839,136
N/A
N/A
N/A
$
267,766,006
$
498,605,738
142,666,006
2
8/3/2010
N/A
N/A
N/A
N/A
N/A
N/A
$
482,781,786
N/A
N/A
N/A
$
570,395,099
N/A
N/A
N/A
$
220,042,786
N/A
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
49,294,215
N/A
3
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
82,748,571
N/A
Purchase
Financial Instrument for HHF Program
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
Purchase
Financial Instrument for HHF Program
8/3/2010
8/3/2010
Rhode Island Housing and Mortgage Finance Corporation
SC Housing Corp
Providence
Columbia
RI
SC
$
$
43,000,000
-
138,000,000
-
2
9/23/2010
Purchase
Financial Instrument for HHF Program
-
$
58,772,347
3
9/29/2010
Purchase
Financial Instrument for HHF Program
-
$
98,659,200
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
9/23/2010 Alabama Housing Finance Authority
3
Atlanta
GA
Indianapolis
IN
Chicago
IL
9/29/2010
9/23/2010 New Jersey Housing and Mortgage Finance Agency
3
MS
9/29/2010
9/23/2010 Illinois Housing Development Authority
3
Jackson
9/29/2010
9/23/2010 Indiana Housing and Community Development Authority
3
KY
9/29/2010
9/23/2010 GHFA Affordable Housing, Inc.
3
Frankfort
9/29/2010
9/23/2010 Mississippi Home Corporation
3
AL
9/29/2010
9/23/2010 Kentucky Housing Corporation
3
Montgomery
Trenton
NJ
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
DC
Purchase
Financial Instrument for HHF Program
Purchase
Financial Instrument for HHF Program
Nashville
TN
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
$
60,672,471
$
55,588,050
$
38,036,950
$
126,650,987
$
82,762,859
$
166,352,726
$
$
$
112,200,637
-
$
7,726,678
$
81,128,260
-
-
$
N/A
$
162,521,345
$
148,901,875
N/A
$
101,888,323
N/A
$
339,255,819
N/A
$
221,694,139
N/A
$
445,603,557
$
300,548,144
N/A
$
20,697,198
N/A
$
217,315,593
$
7,600,000,000
N/A
N/A
N/A
N/A
$
12,970,520
$
136,187,333
TOTAL INVESTMENT AMOUNT
N/A
N/A
188,347,507
-
N/A
N/A
279,250,831
-
N/A
N/A
138,931,280
-
$
295,431,547
212,604,832
-
$
N/A
$
63,851,373
-
N/A
N/A
93,313,825
-
$
79,351,573
101,848,874
-
$
$
N/A
N/A
N/A
N/A
1/ The purchase will be incrementally funded up to the investment amount.
2/ On 9/23/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.
3/ On 9/29/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.
117
FHA SHORT REFINANCE PROGRAM
Seller
Footnote
Date
1
9/3/2010
2
3/4/2013
Name
Citigroup, Inc.
City
New York
State
Transaction
Type
NY
Purchase
Initial Investment
Amount
Investment Description
Facility Purchase Agreement
$
Investment Adjustments
-
8,117,000,000
-
$
Investment Amount
$
1,025,000,000
(7,092,000,000)
TOTAL INVESTMENT AMOUNT
Pricing Mechanism
N/A
N/A
$
1,025,000,000
1/ On September 3, 2010, the U.S. Department of the Treasury and Citibank, N.A. entered into a facility purchase agreement (the 'L/C Facility Agreement"), which allowed Treasury to demand from Citigroup the issuance of an up to $8 billion, 10-year
letter of credit (the "L/C"). Treasury will increase availability under the L/C incrementally in proportion to the mortgages refinanced under the FHA Short Refinance program during the eligibility period. After that time, the amount of the L/C will be capped at
the then-current level. Under the terms of the L/C Facility Agreement, Treasury could incur fees for the availability and usage of the L/C up to a maximum amount of $117 million.
2/ On March 4, 2013, the U.S. Department of the Treasury and Citibank, N.A. entered into Amendment No. 1 to the L/C Facility Agreement, which reduced the maximum amount of the L/C from $8 billion to $1 billion; extends by two years the period of
time Treasury has to increase the L/C to cover new loans that are entered into the program; and modified the fee structure paid to Citibank, N.A. Based on this new fee structure and the lower L/C, Treasury expects that the fees incurred for the availability
and usage of the L/C will not exceed $25 million.
118
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Projected Costs and Liabilities [Section 105(a)(3)(E)]
For Period Ending January 31, 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.
119
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Programmatic Operating Expenses [Section 105(a)(3)(F)]
For Period Ending January 31, 2014
Type of Expense
Amount
Compensation for financial agents
and legal firms
$1,005,129,587
120
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Description of Vehicles Established [Section 105(a)(3)(H)]
For Period Ending January 31, 2014
Date
Vehicle
Description
None
121
HAMP Application Activity by Servicer 1
As of December 2013
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
9,633
30
726
1,685
330
355
1,168
8,642
2,349
8,701
218
17,547
878
15
497
12
407
298
4,199
1,124
1,935
7,183
67,932
Activity in December 2013
# Requests
# Requests
Processed 3
Approved 4
2,352
557
30
15
945
272
1,715
475
417
39
795
537
950
431
6,391
876
2,576
175
10,300
2,112
192
29
14,815
3,118
1,311
49
15
1
585
150
14
2
398
48
46
320
1,075
3,853
1,103
157
56
1,335
7,716
2,056
58,128
12,276
# Requests
Denied 5
1,795
15
673
1,240
378
258
519
5,515
2,401
8,188
163
11,697
1,262
14
435
12
350
274
2,778
946
1,279
5,660
45,852
# Requests
Received 2
1,361,059
9,599
30,818
70,795
26,356
526,714
86,606
1,525,431
105,273
388,364
10,341
1,326,834
381,436
527
17,627
665
37,038
16,535
147,008
45,939
116,414
826,769
170,842
7,228,990
Program-to-Date
# Requests
# Requests
Processed 3
Approved 4
1,338,996
585,708
9,431
4,633
29,573
10,235
69,716
23,253
25,828
5,813
517,066
224,082
83,540
32,921
1,514,591
437,892
103,400
9,025
363,603
78,988
9,878
1,903
1,288,278
302,528
380,379
102,188
52
527
16,866
4,791
614
32
36,919
27,279
16,252
1,889
139,780
91,029
43,607
6,805
108,409
42,938
813,760
282,729
170,842
106,111
7,081,855
2,382,824
# Requests
Denied 5
753,288
4,798
19,338
46,463
20,015
292,984
50,619
1,076,699
94,375
284,615
7,975
985,750
278,191
475
12,075
582
9,640
14,363
48,751
36,802
65,471
531,031
64,731
4,699,031
1 This report is sourced from the Monthly Servicer Survey of select servicers participating in MHA under a Servicer Participation Agreement. All data present in this report reflects what is provided by servicers participating in the survey and is not
separately validated by Treasury.
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.
4 "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.
5 "Requests Denied" is the total number of mortgage modification requests not approved for a trial modification under HAMP and the decision communicated to the borrower by the servicer in accordance with program guidance, as reported by
servicers. Cumulative Requests Denied include all mortgage modification requests denied and communicated to the borrower by the servicer since implementation of Supplemental Directive 10-02, effective June 1, 2010; servicers do not report
Requests Denied prior to then as relevant data is incomplete. Figures include HAMP mortgage modification requests denied due to insufficient documentation, failure to meet basic eligibility criteria, and/or other reasons.
6
Formerly National City Bank.
7 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).
@FedFRASER