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MONTHLY REPORT TO CONGRESS
DECEMBER 2013

January 10, 2014
Troubled Asset Relief Program
U.S. Department of the Treasury

T ABLE OF CONTENTS
Highlights in December ........................................................................................................................................................................ 1
Bank Support Programs Update .......................................................................................................................................................... 2
Capital Purchase Program................................................................................................................................................................ 2
Automotive Industry Financing Program............................................................................................................................................... 5
General Motors................................................................................................................................................................................. 5
Housing Programs ............................................................................................................................................................................... 6
Making Home Affordable .................................................................................................................................................................. 6
Hardest Hit Fund .............................................................................................................................................................................. 7
Lifetime Costs .................................................................................................................................................................................... 11
Treasury Estimates of the Impact of TARP Programs and AIG Investments on the Federal Budget ............................................... 12
Daily TARP Update for January 2, 2014 ......................................................................................................................................... 15
Appendix Table of Contents ............................................................................................................................................................... 17

HIGHLIGHTS IN DECEMBER
As of December 31, 2013, a total of $422.2 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 $432.8 billion.
On December 9, 2013, Treasury reached a significant milestone
when it fully exited its investment in General Motors (GM).
Treasury completed its fourth and final pre-arranged trading plan
for the sale of all its remaining 31.1 million shares. Treasury
recovered a total of $39.7 billion from its original investment of
$51.0 billion in GM.

Disposition of TARP Funds as of December 31, 2013

500
billion
dollars

Obligated

Principal
Total Cash
Disbursed Repayments Outstanding
Back

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 December 31, 2013, $224.9 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
237

SBLF Repayments

137

$200

CDCI Conversions
Sold Investments
Auctioned Investments
In Bankruptcy/Receivership

28
25
162
28

$150

Merged Institutions
Total Remaining Institutions
Partial Repayments
Currently in Common 2

1

2

Total CPP Proceeds 1

Total Institutions Funded
Full Repayments

4
86
9
4

$224.9 billion

$195.24

$100
$50
$2.82

$18.93

$7.91

$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 December 31, 2013.
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
On December 31, Farmers Bank (Windsor, VA) repurchased all of its outstanding CPP preferred shares for total proceeds of $5.7
million.

RESTRUCTURINGS
In limited cases, in order to protect the taxpayers’ interest in the value of an investment and to promote the objectives of the
Emergency Economic Stabilization Act of 2008 (EESA), Treasury may exchange the CPP preferred stock for other securities or may
sell the preferred stock. Treasury decides whether to participate in an exchange or sale based on whether it will enable the bank to
attract additional capital, conduct a restructuring or otherwise strengthen its financial condition. Exchanges made on this basis may
be at a rate less than par, and sales by Treasury to a new investor may be made at a discount.
•

On October 15, 2013, Treasury entered into a securities purchase agreement with First-Citizens Bank & Trust Company (FirstCitizens) and 1st Financial Services Corporation (FFIS) pursuant to which Treasury agreed to sell to First-Citizens a warrant to
purchase common stock and $16.369 million of preferred stock issued by FFIS, subject to the fulfillment of certain conditions.
The sale was completed on December 31, 2013.

DIVIDENDS AND INTEREST
In December, Treasury received dividends and interest income from CPP investments of $0.1 million. As of December 31, 2013,
cumulative dividends, interest and fee income received from CPP investments total $12.1 billion.

WARRANT REPURCHASES
In December, Treasury disposed of its warrant positions in two institutions received in consideration for investments made under the
CPP for total proceeds of $16.5 million. As of December 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 December 9, Treasury sold to private investors its warrants to purchase common stock of Cathay General Bancorp for actual
aggregate gross proceeds of $13.1 million. More information can be found in Treasury’s Press Release:
http://www.treasury.gov/press-center/press-releases/Pages/jl2230.aspx.

•

Farmers Bank (Windsor, VA) Bank repurchased its preferred shares from exercised warrants from Treasury for a total of $0.4
million.

•

StellarOne Corporation repurchased its warrants to purchase common stock from Treasury for a total of $2.9 million.

3

BANKRUPTCY AND RECEIVERSHIP
On December 13, Texas Community Bank, NA, a subsidiary of TCB Holding Company, was closed by the Office of the Comptroller
of the Currency, which appointed the Federal Deposit Insurance Corporation as receiver. Treasury’s investment in TCB Holding
Company was $11.7 million, and has made no repayments to Treasury as of December 31, 2013.

TOP 10 REMAINING CPP INSTITUTIONS
1
2
3
4

Institution
Popular, Inc.
First BanCorp 3
Hampton Roads Bankshares, Inc. 4
CommunityOne Bancorp 5

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
GENERAL MOTORS
As part of its efforts to protect the economy by preventing the collapse of the auto industry, Treasury invested a total of $51.0 billion
in General Motors (GM) through the Automotive Industry Financing Program (AIFP) 7. On December 9, 2013, Treasury announced
that it had fully exited its investment in GM following the sale of all of its remaining shares of GM common stock. In total, Treasury
collected proceeds of $39.7 billion from all of its investments in GM through repayments, sales of stock, dividends, interest, and other
income 8.

TREASURY’S DISPOSITION OF GM COMMON STOCK
In November 2010, GM completed an initial public offering, which yielded $13.5 billion in net proceeds for Treasury and reduced its
stake in GM to 500.1 million remaining shares of GM common stock. In December 2012, as part of its continuing efforts to wind down
TARP, Treasury announced its intent to fully exit its remaining investment in GM within the following 12-15 months, subject to market
conditions. As part of that announcement, GM agreed to purchase 200 million shares of GM common stock from Treasury at $27.50
per share – a transaction that closed on December 21, 2012. In January 2013, Treasury began the process of selling its remaining
300.1 million shares through pre-arranged trading plans.
•

On April 11, 2013, Treasury completed its first pre-arranged trading plan for the sale of its GM common stock. Under this plan,
Treasury sold 58.4 million shares of GM common stock for total gross proceeds of approximately $1.6 billion.

•

In June 2013, Treasury sold 30 million additional shares of GM common stock at $34.41 per share, in an underwritten public
offering in conjunction with GM’s inclusion in the S&P 500 index. The aggregate proceeds from that sale totaled $1.0 billion.

•

On September 13, 2013, Treasury completed its second pre-arranged trading plan initiated in May 2013 for the sale of GM
common stock. Under this plan, Treasury sold 110.3 million shares of GM common stock for total gross proceeds of
approximately $3.8 billion.

•

On November 20, 2013, Treasury completed its third pre-arranged trading plan for the sale of its GM common stock, initiated in
September 2013. Under this plan, Treasury sold 70.2 million shares of GM common stock for total gross proceeds of
approximately $2.6 billion.

•

On December 9, 2013, Treasury completed its fourth and final pre-arranged trading plan for the sale of its GM common stock,
initiated in November 2013. Under this plan, Treasury sold 31.1 million shares of GM common stock for total gross proceeds of
approximately $1.2 billion.

7

Includes disbursements and repayments related to the loan extended to GM for the GMAC Rights Offering ($884 million) and Warranty ($361 million) and
Supplier Program ($290 million)
8
This amount includes the total amount that Treasury has recovered, including the investment in GM and loans for the Supplier and Warranty Programs.

5

HOUSING PROGRAMS
7 MAKING HOME AFFORDABLE
8 On January 10, 2014, the U.S. Department of the Treasury released the Making Home Affordable Program Performance Report for
the period ending November 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 1.4 million homeowners have received a permanent first lien modification through MHA since the start of the program,
including nearly 1.3 million through the Home Affordable Modification Program (HAMP). Approximately 13,000 new HAMP
modifications have been reported since the October report.

•

To date, homeowners in HAMP permanent modifications have saved an estimated $24.2 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
$12.6 billion in principal reduction. Of all non-GSE loans eligible for principal reduction entering HAMP in November, 61 percent
included a principal reduction feature.

2MP AND HAFA PROGRAM RESULTS
•

The Second Lien Modification Program (2MP) enables homeowners in a permanent first lien modification under HAMP to modify
eligible second lien mortgages serviced by a participating servicer. To date, more than 123,000 homeowners have received
assistance through 2MP.

•

Nearly 248,000 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 December 31, 2013, the
19 HFAs have drawn a total of $3.23 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. In
November, 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 December, Treasury approved program changes for Georgia, Indiana, Michigan, North Carolina, and Ohio, including four new
HHF programs.
o

Georgia increased the maximum amount and duration of assistance available under its unemployment program, and
introduced two new programs. The Mortgage Reinstatement Assistance program is a stand-alone reinstatement program
designed to assist homeowners who have experienced a financial hardship, but have regained the ability to resume their
mortgage payments. The Recast/Modification program provides up to $30,000 in principal reduction and/or reinstatement
assistance to facilitate a re-amortization (recast) or mortgage modification that creates an affordable mortgage payment for
the homeowner.

o

Indiana developed a new Blight Elimination Program, which will provide up to $25,000 for the demolition, greening, and
maintenance of vacant, abandoned, blighted residential properties to stabilize local housing markets and prevent avoidable
foreclosures.

o

North Carolina increased funds available under its unemployment program and replaced its Principal Reduction Recast
Program with a new Modification Enabling Pilot program, a note-purchase and modification program that will provide up to
$36,000 in principal reduction for eligible loans to enable a permanent mortgage modification that creates an affordable
mortgage payment for the homeowner.

7

7
8•

•

o

Michigan and Ohio made adjustments to their blight elimination programs.

Three HFAs drew a total of $124.1 million in December. Over the life of the program, the 19 HFAs have drawn a total of $3.23
billion. Each HFA draws down funds as they are needed. (See Hardest Hit Fund as of December 31, 2013 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.

8

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

9

7 HARDEST HIT FUND AS OF DECEMBER 31, 2013
8
State (% Cap Disbursed)
Alabama (20.9%)
Arizona (47.4%)

$0

$500,000,000
$34,000,000
$126,990,544

California (36.3%)
Washington D.C. (88.1%)

$717,490,000
$18,234,860

Florida (31.8%)
Georgia (22.8%)

$336,250,000
$77,508,000
$260,000,000

Illinois (58.3%)
Indiana (29.9%)
Kentucky (56.4%)

$66,338,828
$84,000,000

Michigan (32.5%)
Mississippi (43.5%)

$162,146,363
$44,338,832

North Carolina (65%)

$313,670,000

New Jersey (63.4%)
Nevada (50.9%)

$190,513,704
$98,842,000
$270,100,000

Ohio (47.4%)
Oregon (70.4%)
Rhode Island (83.8%)
South Carolina (38.1%)
Tennessee (43.9%)

$1,000,000,000

$155,000,000
$66,500,000
$112,500,000
$95,315,593
Paid to Date (Amount Shown)

10

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 lowered to $475 billion. To
date a total of $422.2 billion has been disbursed under TARP. As
of December 31, 2013, cumulative collections under TARP,
together with Treasury’s additional proceeds from the sale of nonTARP shares of AIG 9, have exceeded total disbursements by
$10.6 billion 10. Treasury estimates that the combined overall cost
of TARP will be approximately $40.3 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.
This report contains two charts that provide a complete picture of
the ways in which TARP funds have been used, the extent to
which they have been returned, and how much the program will
cost. 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.

 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
9

For more information, see note 10 to the Daily TARP Update.
10
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 13: Treasury Estimates of the Impact
of TARP Programs and AIG Investments on the Federal Budget.

Oct
'08

Apr
'09

Oct
'09

Apr
'10

Oct
'10

Apr Oct' Apr
'11 11 '12

Oct
'12

Apr
'13

Oct
'13

11

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.
The Daily TARP Update Shows for each TARP program the amount of funds obligated, the amount disbursed, repayments,
income received and any losses. Thus, a reader can quickly see how much cash was disbursed under a particular program and
how much cash has come back to Treasury. These amounts do not represent lifetime cost estimates, which are shown in the
next chart. The Daily Tarp Update (DTU) is updated after every business day and is available at:
http://www.treasury.gov/initiatives/financial-stability/reports/Pages/daily-tarp-reports.aspx.

12

7
8

TREASURY ESTIMATES OF THE IMPACT OF TARP PROGRAMS AND AIG INVESTMENTS ON THE FEDERAL BUDGET
Programs
as of December 31, 2013

Obligation/
Commitment

(dollar amounts in billions)
Bank Support Programs:

Estimated
Lifetime Cost as
of

Outstanding
Investment
Balance as of
December 31

Disbursed as of
December 31

1

September 30

Capital Purchase Program (CPP):
Citigroup

$

25.00

$

25.00

$

-

$

(6.89)

Other banks with assets $10 billion or greater

$

165.33

$

165.33

$

1.17

$

(10.20)

$

14.57

$

14.57

$

0.92

$

1.02

Banks with assets less than $10 billion

2

Total

$

204.89

$

204.89

$

2.09

$

(16.06)

Targeted Investment Program (TIP)

$

40.00

$

40.00

$

-

$

(4.00)

Asset Guarantee Program (AGP)3
Community Development Capital Initiative (CDCI)

$

5.00

$

0.00

$

-

$

(4.00)

$

0.57

$

0.57

$

0.47

$

0.12

$
$

7.23
12.38

$
$

6.25
12.38

$
$

-

$
$

(3.06)
0.33

Credit Market Programs:
Public-Private Investment Program (PPIP):
Equity
Debt
Total

$

19.61

$

18.62

$

-

$

(2.73)

Term Asset Backed Securities Lending Facility (TALF)

$

0.10

$

0.10

$

-

$

(0.60)

Purchase SBA 7(a) Securities (SBA)

$

0.37

$

0.37

$

-

$

(0.00)

Common Stock

$
$

20.29
47.54

$
$

20.29
47.54

$
$

-

$
$

15.18

Total

$

67.84

$

67.84

$

-

$

15.18

Automotive Industry Financing Program (AIFP)

$

79.69

$

79.69

$

9.84

$

14.72

Sub-total for Investment Programs

$

418.07

$

411.72

$

12.40

$

2.62

Making Home Affordable

$
$
$

29.87
7.60
1.03

$
$
$

7.17
3.23
0.06

n/a
n/a
n/a

$
$
$

29.87
7.60
0.21

$

38.49

$

10.46

n/a

$

37.67

$

456.56

$

422.18

12.40

$

40.29

n/a

$

(17.55)

12.40

$

22.74

Other Programs:
American International Group (AIG):
Preferred Stock

Hardest Hit Fund
FHA-Refinance

4

Sub-total for Housing Programs

Total for TARP Programs
5

n/a

Additional AIG Common Shares Held by Treasury

Total for TARP Programs and Additional AIG Shares

$

456.56

$

n/a

$

422.18

$

13

7 Footnotes to Treasury Estimates of the Impact of TARP Programs and AIG Investments on the Federal Budget
81

Lifetime cost information is as of September 30, 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.

14

7
8

DAILY TARP UPDATE FOR JANUARY 2, 2014
Principal/Investment

(*Dollars in Billions*)

Obligated

Disbursed

Refinancing to
SBLF1

Repayments

Income/Revenue

CPP Exchanges Into
CDCI2

Write-offs &
Realized Losses

Outstanding3

Dividends4

Interest4

Other Income
(Expenses)6

Warrants Sold5

Total Cash Back7

Total Income

Bank Support Programs
Capital Purchase Program (CPP)
Banks with Assets $10 Billion or Greater

$

165.33

$

$

161.50

$

-

$

-

$

2.65

$

1.17

$

9.46

$

-

$

7.50

$

0.02 $

16.97

$

178.47

Banks with Assets Less Than $10 Billion

$

14.57

$

14.57 $

11.23

$

2.21

$

0.36

$

2.06

$

0.92

$

1.66

$

-

$

0.36

$

(0.01) $

2.01

$

13.24

8

$

25.00

$

25.00 $

25.00

$

-

$

-

$

-

$

0.93

$

-

$

0.05

$

6.85

$

7.84

$

32.84

Bank Of America

$

20.00

$

20.00 $

20.00

$

-

$

-

$

1.44

$

-

$

1.24

$

-

$

2.67

$

22.67

Citigroup

$

20.00

$

20.00 $

20.00

$

-

$

-

$

1.57

$

-

$

0.19

$

-

$

1.76

$

21.76

Citigroup Common

165.33

Targeted Investment Program (TIP)

Asset Guarantee Program (AGP)
Bank Of America

$

Citigroup
Community Development Capital Initiative (CDCI)
Bank Program Totals

-

$

-

$

-

$
$

$

-

$

0.28

-

$

-

$

0.64

$

-

$

0.07

$

3.14

$

3.85

$

3.85

0.01

-

$

$

0.47

$

0.04

$

-

$

-

$

-

$

0.04

$

0.13

4.72 $

2.56

$

15.74

$

-

$

9.40

$

10.27

$

35.41

$

273.24

-

$

0.89

$

-

$

-

$

2.64

$

3.53

$

9.78

-

$

-

$

0.32

$

-

$

-

$

0.32

$

12.70

$

5.00

$

-

$

-

$

0.57

$

0.21

$

0.09

$

$

250.46

$

245.10

$

237.83

$

6.25

$

6.25

$

-

$

12.38 $

12.38

$

-

$

(0.36) $
-

$

-

$

-

$

-

$

0.28

$

0.28

Credit Market Programs
Public-Private Investment Program (PPIP)
Equity9

$

7.23

$

Debt

$

12.38

$

Term Asset Backed Securities Lending Facility

$

0.10

$

0.10

$

Purchase SBA 7(a) Securities (SBA)

$

0.37

$

0.37

$

0.36

$

0.00

$

-

$

$

20.08

$

19.09

$

19.09

$

0.00

$

-

$

Common

$

47.54

$

47.54 $

34.06

$

13.48

$

-

$

-

Preferred

$

20.29

$

20.29 $

20.29

$

-

$

-

$

0.64

$

67.84

$

67.84

$

54.35

$

13.48

$

-

$

0.64

Credit Market Program Totals

0.10

$

-

$

-

$

-

$

0.57

$

0.59

$

-

$

0.01

$

-

$

0.00

$

0.01

$

0.38

0.89 $

0.35

0.01

$

$

-

-

$

$

3.22 $

4.45

$

23.54

0.69

$

-

$

0.03

$

-

$

0.03

$

34.08

$

-

$

-

$

0.29

$

0.93

$

21.23

$

-

$

0.29 $

0.96

$

55.31

Other Programs
American International Group (AIG)10

AIG Totals

0.03 $

Automotive Industry Financing Program (AIFP)
GM11

$

51.03

$

51.03 $

38.99

$

$

0.77

Chrysler

$

12.37

$

12.37

$

9.44

$

2.93

$

-

$

-

$

1.19

$

-

$

0.50

$

1.69

$

11.13

Ally (GMAC)

$

16.29

$

16.29

$

8.17

$

0.00

$

8.12

$

3.68

$

-

$

-

$

0.43

$

4.11

$

12.27

$

-

AIFP Totals

10.33 $

1.71

$

-

$

-

$

(0.01) $

0.76

$

39.75

$

79.69

$

79.69

$

56.60

$

13.26 $

9.84

$

3.68 $

1.95

$

0.92 $

6.56

$

63.15

$

147.53

$

147.53

$

110.95

$

26.75 $

9.84

$

4.32 $

1.95 $

0.03 $

1.21 $

7.51

$

118.46

Making Homes Affordable

$

29.86

$

7.17

HFA Hardest-Hit Fund

$

7.60

$

$

1.03

$

0.06

$

38.49

$

10.46

$

456.56

$

422.18

$

367.86

$

31.47

12.40

$

20.94 $

2.30 $

9.42

Other Programs Totals

Treasury Housing Programs Under TARP

FHA Refinance12
Housing Totals
TARP Totals

3.23

$

-

$

$

14.70

$

47.37

$

415.23

$

17.55 $

17.55

$

17.55

$

32.26

64.93

$

432.78

Additional Treasury Holdings
Additional AIG Common Shares Held by Treasury

10

Total for TARP Programs and Additional AIG Shares

$

456.56

$

422.18

$

367.86

$

-

$

31.47

$

12.40

$

20.94 $

2.30 $

9.42

$

Footnotes to Daily TARP Update for January 2, 2014
1

This row represents the portion of CPP repayments that were received from refinancing to the Small Business Lending Fund (SBLF), which is not
a TARP program. The law creating the SBLF provided that banks could refinance securities issued under the CPP and CDCI programs with
securities issued under the SBLF. A total of 137 CPP banks refinanced under the SBLF resulting in repayments of $2.21 billion in CPP
investments. This amount is included in total repayments and therefore, this column is not used to calculate the "Outstanding" amount.

15

2
7 This column represents non-cash exchanges out of CPP into CDCI. A total of 28 CPP banks, representing $355.7 million, converted from CPP to
CDCI. The total amount exchanged into CDCI, with converted warrants, was $363.3 million.
8
3

Excludes outstanding investments in institutions that have entered into bankruptcy or receivership.

4

For equity programs, all dividend and interest payments are classified in the “Dividends” category. For direct loan programs, all dividend and
interest payments are classified in the “Interest” category. These classifications are consistent with the accounting treatment used to produce
OFS’ financial statements.

5

Amount of "Warrants Sold" reflects net cash receipts.

6

"Other Income (Expenses)" includes gains on sales, investment income, fees collected, and disposition expenses.

7

This column represents the sum of repayments plus income/revenue. All returned TARP funds are paid into the general fund of the Treasury for
the reduction of the public debt. These amounts do not represent lifetime cost estimates, which OFS provides in its monthly 105(a) report to
Congress.

8

Citigroup CPP investment was originally in the form of preferred shares and was converted to common stock in September 2009.

9

Allocation of PPIP Equity receipts between repayments and income are subject to reclassification.

10

Treasury’s investment in AIG common shares consisted of shares acquired in exchange for preferred stock purchased with TARP funds (TARP
shares) and shares received from the trust created by the FRBNY for the benefit of Treasury as a result of its loan to AIG (non-TARP shares).
Treasury managed the TARP shares and non-TARP shares together, and disposed of them pro-rata in proportion to its holdings. Only the TARP
shares are included under “Other Programs—AIG” and the "Write-offs & Realized Losses" column shows a loss based on Treasury’s cost basis
of $43.53 in the TARP shares alone. The non-TARP shares are shown at the bottom of the page after the TARP Total under "Additional AIG
Common Shares Held by Treasury." A gain in the "Other Income (Expenses)" column is shown for the non-TARP shares because Treasury’s
cost basis in such shares is deemed to be zero. When the TARP shares and non-TARP shares are considered together, Treasury’s cost on a
cash basis is $28.73 per share. With the sale of all remaining shares in December 2012, Treasury has recovered a total of $72.84 billion
(including proceeds from the sale of the non-TARP shares), compared to total TARP disbursements of $67.84 billion.

11

Treasury’s investment in GM was originally made primarily in the form of loans, some of which were subsequently converted into common and
preferred stock. The realized loss reflects the difference between the prices at which Treasury has sold common shares in GM’s initial public
offering and subsequent sales and the Treasury’s cost basis ($43.52 per common share) for such shares. Treasury has disposed of all of its GM
shares. Remaining outstanding balance includes $884 million in a loan to GM to support Ally Financial as well as an initial loan to support
General Motors.

12

Treasury has entered into a letter of credit (L/C) to fund the FHA Short Refinance Program. Pursuant to this L/C, a reserve account has been
pre-funded with $50 million in funds for any future loss claim payments. Treasury will be reimbursed for all unused amounts from this account. In
March 2013, Treasury extended the L/C to provide coverage for loans refinanced throughout the eligibility period, which had been extended to
December 2014, but reduced the amount to $1 billion. The obligation related to the FHA Short Refinance Program was reduced accordingly from
$8 billion to $1 billion.

16

APPENDIX T ABLE OF CONTENTS
Section

Statutory Requirement 11

CPP Institutions

Additional Information

18

Administrative Obligations and Expenditures

EESA §105(a)(2)

22

Agreements under TARP

EESA §105(a)(3)(A)

23

Insurance Contracts

EESA §105(a)(3)(B)

31

Transactions Report

EESA §105(a)(3)(C,D,G)

32

Page

Investment Programs

32

Home Affordable Modification Program

79

Projected Costs and Liabilities

EESA §105(a)(3)(E)

121

Programmatic Operating Expenses

EESA §105(a)(3)(F)

122

Description of Vehicles Established

EESA §105(a)(3)(H)

123

HAMP Application Activity by Servicer

Dodd-Frank §1483(b)

124

11

§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).

17

Troubled Asset Relief Program
Capital Purchase Program Institutions
As of December 31, 2013

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.

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

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

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

18

Community Bankers Trust Corporation
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.
Syringa Bancorp
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
Premier Service Bank
Community Bancshares, Inc.
Allied First Bancorp, Inc.
Citizens First Corporation
Crazy Woman Creek 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

Glen Allen, VA
Los Angeles, CA
Greer, SC
Davie, FL
Newark, NJ
Rock Hill, SC
San Mateo, CA
Baxter, MN
Minneapolis, MN
Boise, ID
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
Riverside, CA
Kingman, AZ
Oswego, IL
Bowling Green, KY
Buffalo, WY
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

Public
Public
Public
Public
Private
Public
Public
Private
Private
Public
Private
Private
Private
Public
Public
Private
Private
Public
Public
Public
Private
Private
Private
Private
Public
Private
Private
Private
Public
Public
Private
Public
Public
Public
Private
Private
Private
Private
Private
Public
Private
Public
Private
Private
Private
Private

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

10,680,000.00
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
8,000,000.00
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
4,000,000.00
3,872,000.00
3,652,000.00
3,265,788.00
3,100,000.00
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

19

Market Bancorporation, Inc.
New Market, MN
Private
$
2,060,000.00
Atlantic Bancshares, Inc.
Bluffton, SC
Public
$
2,000,000.00
BCB Holding Company, Inc.
Theodore, AL
Private
$
1,706,000.00
Maryland Financial Bank
Towson, MD
Private
$
1,700,000.00
Saigon National Bank
Westminster, CA
Public
$
1,549,000.00
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
invesment amount

B. Institutions in Bankruptcy/Receivership - Realized Loss/Write-Off
Bankruptcy/ Receivership
Realized Loss/ Write-Off
Date
Institution Name
Amount
CIT Group Inc.*
11/1/2009 $
2,330,000,000.00
Pacific Coast National Bancorp*
12/17/2009 $
4,120,000.00
Anchor Bancorp Wisconsin, Inc.*
8/12/2013 $
104,000,000.00
*Institution has exited the bankruptcy/receivership process

C. Institutions in Bankruptcy/Receivership - Currently Not Collectible
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

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

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

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

20

Princeton National Bancorp
Premier Bank Holding Company
Gold Canyon Bank
Indiana Bank Corp.
Rogers Bancshares, Inc.
TCB Holding Company, Texas Community Bank

11/2/2012
8/14/2012
4/5/2013
4/9/2013
7/5/2013
12/13/2013

$
$
$
$
$
$

25,083,000.00
9,500,000.00
1,607,000.00
1,312,000.00
25,000,000.00
11,730,000.00

21

United States Department of the Treasury
Office of Financial Stability

Report of Administrative Obligations and Expenditures

For Period Ending
December 31, 2013

PERSONNEL SERVICES
NON-PERSONNEL
SERVICES

Budget
Object Class (BOC)
Budget Object Class Title
Obligations
1100, 1200 & 1300 PERSONNEL COMPENSATION & BENEFITS
$
123,942,456
PERSONNEL SERVICES Total: $
123,942,456
2100
TRAVEL & TRANSPORTATION OF PERSONS
$
2,391,207
2200
TRANSPORTATION OF THINGS
11,960
2300
RENTS, COMMUNICATIONS, UTILITIES & MISC CHARGES
786,303
2400
PRINTING & REPRODUCTION
459
2500
OTHER SERVICES
267,570,332
2600
SUPPLIES AND MATERIALS
1,837,098
3100
3200
4200
4300

For Period Ending
January 31, 2014

Expenditures
$
123,877,662
$
123,877,662
$
2,377,040
11,960
711,540
459
218,747,471
1,832,913

Projected
Obligations
$
125,001,000
$
125,001,000
$
2,403,000
12,000
787,000
500
269,712,000
1,908,000

Projected
Expenditures
$
124,937,000
$
124,937,000
$
2,389,000
12,000
712,000
500
221,515,000
1,902,000

$

254,000
640
275,077,140

$

244,000
640
226,775,140

$

400,078,140

$

351,712,140

EQUIPMENT
LAND & STRUCTURES
INSURANCE CLAIMS & INDEMNITIES
INTEREST & DIVIDENDS
NON-PERSONNEL SERVICES Total: $

253,286
634
272,851,278

$

243,907
634
223,925,923

GRAND TOTAL: $

396,793,734

$

347,803,585

Note: The amounts presented above are cumulative from the initiation of the TARP.

22

U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Agreements Under TARP [Section 105(a)(3)(A)]
For Period December 2013

Date Approved

Type of Transaction

10/10/2008
10/11/2008
10/14/2008
10/16/2008
10/17/2008
10/18/2008
10/29/2008
10/29/2008
10/31/2008
11/7/2008
11/9/2008
11/17/2008
11/25/2008
12/3/2008
12/5/2008
12/10/2008
12/10/2008
12/15/2008
12/16/2008
12/22/2008
12/24/2008
1/6/2009

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

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

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

23

Date Approved

Type of Transaction

1/7/2009
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

Contract
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

Vendor
Colonial Parking Inc.
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

Purpose
Parking
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

24

Date Approved

Type of Transaction

4/21/2009
4/30/2009
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

Financial Agent
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Financial Agent

Vendor
Piedmont Investment Advisors, LLC*
State Department
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*

Purpose
Asset Management Services
Detailee
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

25

Date Approved

Type of Transaction

12/22/2009
12/22/2009
12/22/2009
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

Financial Agent
Financial Agent
Contract
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

Vendor
Bell Rock Capital, LLC*
Howe Barnes Hoefer & Arnett, Inc.******
Hughes Hubbard & Reed LLP
KBW Asset Management, Inc.*
Lombardia Capital Partners, LLC*
Paradigm Asset Management Co., LLC*
Government Accountability Office
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

Purpose
Asset Management Services
Asset Management Services
Legal Advisory
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

26

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
8/6/2010
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

Contract
Contract
Contract
Contract
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

Vendor
Alston & Bird LLP
Cadwalader Wickersham & Taft LLP
Fox Hefter Swibel Levin & Carol, LLP
Haynes and Boone LLP
Hughes Hubbard & Reed LLP
Love & Long LLP*
Orrick Herrington Sutcliffe LLP
Paul Weiss Rfknd Whrtn & Grrsn LLP
Perkins Coie LLP
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

Purpose
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
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

27

Date Approved

Type of Transaction

2/24/2011
2/28/2011
3/3/2011
3/10/2011
3/22/2011
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

Contract
Interagency Agreement
Contract
Contract
Contract
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

Vendor
ESI International Inc.
Department of the Treasury - Departmental Offices
Equilar Inc.*
Mercer (US) Inc.
Harrison Scott Publications
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.

Purpose
Administrative Support
Administrative Support
Subscription Services
Administrative Support
Subscription Services
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

28

Date Approved

Type of Transaction

12/20/2011
12/30/2011
12/30/2011
1/4/2012
1/5/2012
2/2/2012
2/7/2012
2/14/2012
2/27/2012
3/6/2012
3/14/2012
3/30/2012
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

Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
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

Vendor
Allison Group LLC*
Department of the Treasury - Departmental Offices
Bureau of the Public Debt - ARC
Government Accountability Office
Office of Personnel Management
Moody's Analytics Inc.
Greenhill & Co., LLC
Association of Govt Accountants
Diversified Search LLC
Integrated Federal Solutions, Inc.*
Department of Interior
E-Launch Multimedia, Inc.
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

Purpose
Training
Administrative Support
Administrative Support
Administrative Support
Training
Subscription Services
Structuring and Disposition Services
Administrative Support
Financial Advisory
Acquisition Support Services
Information Technology
Administrative Support
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

29

Date Approved

Type of Transaction

5/1/2013
5/10/2013
6/13/2013
8/1/2013
8/28/2013
9/26/2013
11/22/2013
11/22/2013
12/12/2013

Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Contract
Interagency Agreement
Interagency Agreement
Contract

Vendor
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
Internal Revenue Service
Association of Govt Accountants

Purpose
Detailee
Data Subscription Services
Subscription Services
Training
Administrative Support
Subscription Services
Administrative Support
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.

30

U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Insurance Contracts [Section 105(a)(3)(B)]
For Period Ending December 31, 2013

Name

Amount

Termination of the $5,000,000,000 Master Agreement
between Citigroup and the UST, and FDIC occurred on
December 23, 2009 due to the improvement of Citigroup's
financial condition and financial market stability.

31

This copy of the Transactions Report is subject to the terms and conditions of download as stated at http://www.treasury.gov/initiatives/financial-stability/reports/Pages/default.aspx.

*Investment Status Definition Key
Full investment outstanding: Treasury's full investment is still outstanding
Redeemed – institution has repaid Treasury’s investment
Sold – by auction, an offering, or through a restructuring

Troubled Asset Relief Program

Exited bankruptcy/receivership - Treasury has no outstanding investment
Currently not collectible - investment is currently not collectible; therefore there is no outstanding investment
and a corresponding (Realized Loss) / (Write-off)

Transactions Report - Investment Programs

In full – all of Treasury’s investment amount

For Period Ending January 1, 2014

In part – part of the investment is no longer held by Treasury, but some remains
Warrants outstanding – Treasury’s warrant to purchase additional stock is still outstanding, including any
exercised warrants

CAPITAL PURCHASE PROGRAM

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

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

Institution Name

City

1ST CONSTITUTION BANCORP
CRANBURY
1ST CONSTITUTION BANCORP
CRANBURY
1ST CONSTITUTION BANCORP
CRANBURY
1ST ENTERPRISE BANK
LOS ANGELES
1ST ENTERPRISE BANK
LOS ANGELES
1ST ENTERPRISE BANK
LOS ANGELES
1ST FINANCIAL SERVICES CORPORATION
HENDERSONVILLE
1ST FINANCIAL SERVICES CORPORATION
HENDERSONVILLE
1ST SOURCE CORPORATION
SOUTH BEND
1ST SOURCE CORPORATION
SOUTH BEND
1ST SOURCE CORPORATION
SOUTH BEND
1ST UNITED BANCORP, INC.
BOCA RATON
1ST UNITED BANCORP, INC.
BOCA RATON
AB&T FINANCIAL CORPORATION
GASTONIA
AB&T FINANCIAL CORPORATION
GASTONIA
ADBANC, INC.
OGALLALA
ADBANC, INC.
OGALLALA
ALARION FINANCIAL SERVICES, INC.
OCALA
ALARION FINANCIAL SERVICES, INC.
OCALA
ALARION FINANCIAL SERVICES, INC.
OCALA
ALARION FINANCIAL SERVICES, INC.
OCALA
ALASKA PACIFIC BANCSHARES, INC.
JUNEAU
ALASKA PACIFIC BANCSHARES, INC.
JUNEAU
ALASKA PACIFIC BANCSHARES, INC.
JUNEAU
ALASKA PACIFIC BANCSHARES, INC.
JUNEAU
ALASKA PACIFIC BANCSHARES, INC.
JUNEAU
ALLIANCE BANCSHARES, INC.
DALTON
ALLIANCE BANCSHARES, INC.
DALTON
ALLIANCE BANCSHARES, INC.
DALTON
ALLIANCE BANCSHARES, INC.
DALTON
ALLIANCE FINANCIAL CORPORATION
SYRACUSE
ALLIANCE FINANCIAL CORPORATION
SYRACUSE
ALLIANCE FINANCIAL CORPORATION
SYRACUSE
ALLIANCE FINANCIAL SERVICES, INC.
SAINT PAUL
ALLIANCE FINANCIAL SERVICES, INC.
SAINT PAUL
ALLIANCE FINANCIAL SERVICES, INC.
SAINT PAUL
ALLIANCE FINANCIAL SERVICES, INC.
SAINT PAUL
ALLIED FIRST BANCORP, INC.
OSWEGO
ALPINE BANKS OF COLORADO
GLENWOOD SPRINGS
ALPINE BANKS OF COLORADO
GLENWOOD SPRINGS
ALPINE BANKS OF COLORADO
GLENWOOD SPRINGS
ALPINE BANKS OF COLORADO
GLENWOOD SPRINGS
ALPINE BANKS OF COLORADO
GLENWOOD SPRINGS
AMB FINANCIAL CORPORATION
MUNSTER
AMB FINANCIAL CORPORATION
MUNSTER
AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKLAHOMA COLLINSVILLE
AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKLAHOMA COLLINSVILLE
AMERICAN EXPRESS COMPANY
NEW YORK
AMERICAN EXPRESS COMPANY
NEW YORK
AMERICAN EXPRESS COMPANY
NEW YORK
AMERICAN PREMIER BANCORP
ARCADIA
AMERICAN PREMIER BANCORP
ARCADIA
AMERICAN STATE BANCSHARES, INC.
GREAT BEND
AMERICAN STATE BANCSHARES, INC.
GREAT BEND
AMERIS BANCORP
MOULTRIE
AMERIS BANCORP
MOULTRIE
AMERIS BANCORP
MOULTRIE
AMERISERV FINANCIAL, INC.
JOHNSTOWN
AMERISERV FINANCIAL, INC.
JOHNSTOWN
AMERISERV FINANCIAL, INC.
JOHNSTOWN
AMFIRST FINANCIAL SERVICES, INC
MCCOOK
AMFIRST FINANCIAL SERVICES, INC
MCCOOK
AMFIRST FINANCIAL SERVICES, INC
MCCOOK
AMFIRST FINANCIAL SERVICES, INC
MCCOOK
AMFIRST FINANCIAL SERVICES, INC
MCCOOK
ANCHOR BANCORP WISCONSIN, INC.
MADISON
ANCHOR BANCORP WISCONSIN, INC.
MADISON
ANNAPOLIS BANCORP, INC.
ANNAPOLIS
ANNAPOLIS BANCORP, INC.
ANNAPOLIS
ANNAPOLIS BANCORP, INC.
ANNAPOLIS

State
NJ
NJ
NJ
CA
CA
CA
NC
NC
IN
IN
IN
FL
FL
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

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
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

Original Investment Type1
Preferred Stock w/ Warrants

Original Investment
Amount
$12,000,000.00

Total Cash Back2

Outstanding
Investment

Investment Status*
Amount

$0.00

$13,433,242.67

Capital Repayment / Disposition / Auction3,5
(Fee)4
Shares
Avg. Price

Preferred Stock w/ Warrants

$4,400,000.00
$6,000,000.00

$0.00

$11,748,156.44

Redeemed, in full; warrants not outstanding

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

$3,500,000.00

$536,000.00

$1,175,794.44

Gain5

Warrant Proceeds
Amount

Shares

Redeemed, in full; warrants not outstanding
$12,000,000.00

Preferred Stock w/ Warrants

(Realized Loss) /
(Write-off)

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

$10,400,000.00

10,400

$1,000.00

$8,000,000.00

16,369

$488.70

$111,000,000.00

111,000

$1,000.00

$10,000,000.00

10,000

$1,000.00

$815,100.00

2,964

$275.00

$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

$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)

($8,369,000.00)

Sold, in part; warrants outstanding

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

($2,148,900.00)

($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
$2,856,437.46
($25,000.00)

Preferred Stock w/ Warrants

$26,918,000.00

$0.00

$28,356,360.00

Redeemed, in full; warrants not outstanding

Subordinated Debentures w/ Exercised Warrants

$12,000,000.00

$0.00

$9,806,136.60

Sold, in full; warrants not outstanding

($90,025.20)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$3,652,000.00
$70,000,000.00

$3,652,000.00
$0.00

$409,753.00
$73,129,160.69

Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
$280,115.76
$6,559,920.24
$50,160,264.00
($570,003.00)

Preferred Stock w/ Exercised Warrants

$3,674,000.00

$0.00

$4,387,576.45

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$2,492,000.00

$0.00

$2,960,021.33

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$3,388,890,000.00

$1,800,000.00
$6,000,000.00

$0.00

$0.00
$0.00

$3,803,257,308.33

$2,052,682.49
$7,220,141.67

Redeemed, in full; warrants not outstanding

Redeemed, in full; warrants not outstanding
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

$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

32

FootNote
11

8,17
44,8,14
11

8,44
8,17,44
11

11,8,14
8,14

83
8,14

6,7,11

8,14

44

8
11

11

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

Institution Name
ASSOCIATED BANC-CORP
ASSOCIATED BANC-CORP
ASSOCIATED BANC-CORP
ASSOCIATED BANC-CORP
ATLANTIC BANCSHARES, INC.
AVENUE FINANCIAL HOLDINGS
AVENUE FINANCIAL HOLDINGS
AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO.
AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO.
AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO.
BANCINDEPENDENT, INCORPORATED
BANCINDEPENDENT, INCORPORATED
BANCORP FINANCIAL, INC.
BANCORP FINANCIAL, INC.
BANCORP RHODE ISLAND, INC.
BANCORP RHODE ISLAND, INC.
BANCORP RHODE ISLAND, INC.
BANCPLUS CORPORATION
BANCPLUS CORPORATION
BANCSTAR, INC.
BANCSTAR, INC.
BANCSTAR, INC.
BANCSTAR, INC.
BANCTRUST FINANCIAL GROUP, INC.
BANCTRUST FINANCIAL GROUP, INC.
BANK FINANCIAL SERVICES, INC.
BANK FINANCIAL SERVICES, INC.
BANK FINANCIAL SERVICES, INC.
BANK FINANCIAL SERVICES, INC.
BANK FINANCIAL SERVICES, INC.
BANK OF AMERICA
BANK OF AMERICA
BANK OF AMERICA
BANK OF AMERICA
BANK OF COMMERCE
BANK OF COMMERCE
BANK OF COMMERCE
BANK OF COMMERCE HOLDINGS
BANK OF COMMERCE HOLDINGS
BANK OF COMMERCE HOLDINGS
BANK OF GEORGE
BANK OF GEORGE
BANK OF 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.

City
GREEN BAY
GREEN BAY
GREEN BAY
GREEN BAY
BLUFFTON
NASHVILLE
NASHVILLE
PALO ALTO
PALO ALTO
PALO ALTO
SHEFFIELD
SHEFFIELD
OAK BROOK
OAK BROOK
PROVIDENCE
PROVIDENCE
PROVIDENCE
RIDGELAND
RIDGELAND
FESTUS
FESTUS
FESTUS
FESTUS
MOBILE
MOBILE
EDEN PRAIRIE
EDEN PRAIRIE
EDEN PRAIRIE
EDEN PRAIRIE
EDEN PRAIRIE
CHARLOTTE
CHARLOTTE
CHARLOTTE
CHARLOTTE
CHARLOTTE
CHARLOTTE
CHARLOTTE
REDDING
REDDING
REDDING
LAS VEGAS
LAS VEGAS
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

State
WI
WI
WI
WI
SC
TN
TN
CA
CA
CA
AL
AL
IL
IL
RI
RI
RI
MS
MS
MO
MO
MO
MO
AL
AL
MN
MN
MN
MN
MN
NC
NC
NC
NC
NC
NC
NC
CA
CA
CA
NV
NV
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

Date
21-Nov-08
6-Apr-11
14-Sep-11
6-Dec-11
29-Dec-09
27-Feb-09
15-Sep-11
30-Jan-09
31-Jul-13
28-Aug-13
13-Mar-09
14-Jul-11
10-Jul-09
18-Aug-11
19-Dec-08
5-Aug-09
30-Sep-09
20-Feb-09
29-Sep-10
3-Apr-09
26-Apr-13
29-Apr-13
31-May-13
19-Dec-08
15-Feb-13
14-Aug-09
19-Dec-12
20-Dec-12
11-Jan-13
26-Mar-13
28-Oct-08
9-Jan-09
9-Dec-09
9-Mar-10
16-Jan-09
30-Nov-12
11-Jan-13
14-Nov-08
27-Sep-11
26-Oct-11
13-Mar-09
21-Oct-13
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

Original Investment Type1
Preferred Stock w/ Warrants

Original Investment
Amount
$525,000,000.00

Total Cash Back2

Outstanding
Investment

Investment Status*
Amount

$0.00

$596,539,172.32

Capital Repayment / Disposition / Auction3,5
(Fee)4
Shares
Avg. Price

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$2,000,000.00
$7,400,000.00

$2,000,000.00
$0.00

$122,724.78
$8,798,415.33

Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$6,000,000.00

$0.00

$7,563,057.15

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$21,100,000.00
$13,669,000.00
$30,000,000.00

$48,000,000.00
$8,600,000.00

$0.00
$0.00
$0.00

$0.00
$0.00

$24,841,411.03
$15,595,736.93
$32,341,666.66

$54,607,399.33
$10,701,460.58

Gain5

Warrant Proceeds
Amount

Shares

Redeemed, in full; warrants not outstanding
$262,500,000.00
$262,500,000.00

Preferred Stock w/ Exercised Warrants

(Realized Loss) /
(Write-off)

262,500
262,500

$1,000.00
$1,000.00
$3,435,005.65

3,983,308

$370,000.00

370

$7,400,000.00

7,400

$1,000.00

$6,000,000.00

6,000

$1,000.00
$190,781.12

81,670

$21,100,000.00

21,100

$1,000.00

$1,055,000.00

1,055

$13,669,000.00

13,669

$1,000.00

$410,000.00

410

$30,000,000.00

30,000

$1,000.00
$1,400,000.00

192,967

$48,000,000.00

48,000

$1,000.00

$2,400,000.00

2,400

$98,267.00
$8,352,695.00

100
8,500

$982.70
$982.70

$426,338.55

430

$50,000,000.00

50,000

$1,000.00

$15,000.00

730,994

$451,600.92
$481,335.96

486
518

$929.20
$929.20

$23,500.00

50

$25,000,000,000.00

1,000,000

$25,000.00
$305,913,040.28

121,792,790

$2,502,000.00

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

$48,709.00

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

$2,650,000.00

379,811

$775,000.00

775

$21,880.50

50

$134,201.00

243,998

$40,000.00

4

$250,000.00

52,455

$67,010,401.86

13,902,573

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
($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
($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

$1,283,940.00

Sold, in full; warrants not outstanding

Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

$28,000,000.00

$3,000,000,000.00

$0.00

$0.00

$30,155,095.11

$3,231,416,666.67

($1,716,760.00)

Redeemed, in full; warrants not outstanding

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$13,179,000.00
$75,000,000.00

$13,179,000.00
$0.00

$1,039,677.00
$81,004,166.67

Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$12,639,000.00
$15,500,000.00

$12,639,000.00
$0.00

$3,425,858.35
$18,492,469.25

Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$1,000,000.00

$0.00

$1,100,653.50

Sold, in full; warrants not outstanding

$75,000,000.00

75,000

$1,000.00

$15,500,000.00

15,500

$1,000.00

$900,000.00

1,000

$900.00

($100,000.00)

124,000

$884.80

($14,282,320.00)

$795,000.00

795

$1,000.00

$18,751,000.00

18,751

$1,000.00

$3,133,640,000.00

3,134

$1,000,000.00

($9,000.00)
($16,000.00)
Preferred Stock w/ Warrants

$124,000,000.00

$0.00

$129,079,862.47

Sold, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$795,000.00

$0.00

$942,411.42

Redeemed, in full; warrants not outstanding

$109,717,680.00

Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

$18,751,000.00

$3,133,640,000.00

$0.00

$0.00

$20,037,514.11

$3,293,353,918.53

Redeemed, in full; warrants not outstanding

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

$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

Preferred Stock w/ Exercised Warrants

Preferred Stock w/ Warrants

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$2,892,000.00

$40,000,000.00

$985,000.00
$1,635,000.00
$1,744,000.00

$0.00

$0.00

$0.00
$0.00

$3,444,478.21

$41,917,777.78

$1,172,062.50
$3,803,022.67

($1,645,765.20)

$10,800,000.00

10,800

$1,000.00
$1,442,000.00

183,465

$1,500,000.00
$1,500,000.00
$1,500,000.00
$1,200,000.00
$300,000.00

1,500
1,500
1,500
1,200
300

$1,000.00
$1,000.00
$1,000.00
$1,000.00
$1,000.00

$300,000.00

300

$0.00
$2,892,000.00

2,892
2,892

$1,000.00
$1,000.00

$145,000.00

145

$40,000,000.00

40,000

$1,000.00
$1,040,000.00

226,330

$985,000.00

985

$1,000.00

$50,000.00

5

Redeemed, in full; warrants not outstanding

Redeemed, in full; warrants not outstanding

Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding

33

FootNote

15,17

8,14

14,8,14

8,14

8,64,97

8

44,8,14
8
44,8,14
15,14

11

11

8

9,10,18,65,96
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

Institution Name

City

State

Date

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.
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
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.

BIRMINGHAM
COCONUT GROVE
COCONUT GROVE
COCONUT GROVE
COCONUT GROVE
BELOIT
BELOIT
BELOIT
BELOIT
FARGO
FARGO
FARGO
INDEPENDENCE
INDEPENDENCE
INDEPENDENCE
INDEPENDENCE
SHELBYVILLE
SHELBYVILLE
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

MI
FL
FL
FL
FL
WI
WI
WI
WI
ND
ND
ND
MO
MO
MO
MO
IN
IN
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

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
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
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

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.

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 MARGARI CA
ROCKVILLE
MD
ROCKVILLE
MD
RALEIGH
NC
RALEIGH
NC
MILWAUKEE
WI
MCLEAN
VA
MCLEAN
VA
MCLEAN
VA
PORTLAND
OR
PORTLAND
OR
PORTLAND
OR
PORTLAND
OR
WASHINGTON
MO
WASHINGTON
MO
GREENSBORO
NC
GREENSBORO
NC

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

Original Investment Type1

Subordinated Debentures w/ Exercised Warrants

Original Investment
Amount
$6,400,000.00

Total Cash Back2

Outstanding
Investment

Investment Status*
Amount

$0.00

$8,271,975.28

Capital Repayment / Disposition / Auction3,5
(Fee)4
Shares
Avg. Price

$3,379,000.00

3,379

$1,000.00

$2,532,140.00
$3,700,820.00

2,600,000
3,800,000

$0.97
$0.97

205
9,795

$910.00
$910.00

$2,250,000.00
$2,750,000.00

2,250
2,750

$1,000.00
$1,000.00

$19,630.00
$9,040,370.00

26
11,974

$755.00
$755.00

3,250
18,500

$977.60
$977.60

(Realized Loss) /
(Write-off)

Gain5

Warrant Proceeds
Amount

Shares

$82,000.00

82

($67,860.00)
($99,180.00)

$64,158.97
$140,347.75

64,000
140,000

($18,450.00)
($881,550.00)

$470,250.00

500

$250,000.00

250

$541,793.34

600

$375,000.00

375

Sold, in full; warrants not outstanding

($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

Preferred Stock w/ Exercised Warrants

$12,000,000.00

$0.00

$11,938,437.34

Sold, in full; warrants not outstanding
($6,370.00)
($2,933,630.00)

($90,600.00)
Preferred Stock w/ Exercised Warrants

$5,000,000.00

$0.00

$529,105.00

Currently not collectible

Preferred Stock w/ Warrants

$21,750,000.00

$0.00

$21,474,475.83

Sold, in full; warrants outstanding

($5,000,000.00)
$3,177,232.50
$18,085,785.00
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

$939,920.00

543,337

$4,797,000.00

4,797

$1,000.00

$240,000.00

240

$10,000,000.00

10,000

$1,000.00

$500,000.00

500

5,586,000

$1.11

$232,180.54
$129,709.80

179,000
100,000

$50,000,000.00
$104,000,000.00

50,000
104,000

$1,000.00
$1,000.00
$6,202,523.25

2,887,500

$15,000,000.00
$8,864,000.00

15,000
8,864

$1,000.00
$1,000.00
$1,395,000.00

396,412

$10,450,000.00

38,000

$275.00

$716,319.00

1,900

60,000
2,340,000

$1.05
$1.05

$125,135.60

120,000

$11,000,000.00

11,000

$1,000.00

$550,000.00

550

$6,000,000.00
$2,500,000.00
$6,500,000.00

6,000
2,500
6,500

$1,000.00
$1,000.00
$1,000.00

$750,000.00

750

$607,000.00

607

$1,000.00

$30,000.00

30

$10,000,000.00
$10,000,000.00

10,000
10,000

$1,000.00
$1,000.00

$238,000.00

238

$28,797,649.80
Preferred Stock w/ Exercised Warrants

$4,797,000.00

$0.00

$5,673,920.75

($72,767.50)
($414,215.00)

($431,964.75)

($2,462,350.20)

Redeemed, in full; warrants not outstanding

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
$5,586,000.00

$592,730.46

($61,787.30)
Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

Preferred Stock w/ Exercised Warrants

Preferred Stock w/ Warrants
Subordinated Debentures w/ Exercised Warrants

$154,000,000.00

$23,864,000.00

$38,000,000.00

$9,000,000.00
$6,000,000.00
$2,400,000.00

$0.00

$0.00

$0.00

$171,224,745.48

$27,872,582.22

$13,559,474.56

Redeemed, in full; warrants not outstanding

Redeemed, in full; warrants not outstanding

Sold, in full; warrants not outstanding

$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

($27,550,000.00)

$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

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

$9,407,000.00

9,407

$1,000.00

$38,000,000.00

44,000

$863.60

$4,000,000.00

4,000

$1,000.00

$200,000.00

200

$3,300,000.00

3,300

$1,000.00

$165,000.00

165

$235,000.00

235

$146,500,064.55

12,657,960

$169,042.00

200

$313,000.00

313,000

$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

15,534

$935.10

($1,008,156.60)

34

FootNote

11
11,9,36

11

8,18,14,44

8,57,97
8,18,18

8,14

8
44

11,59
8,14

12,16

11,8,14

45

8
11,8,14
8,14

11

40

45

93
8,17,44
44,8,14

15,14

15

Institution Name
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
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
CENTURY FINANCIAL SERVICES CORPORATION
CENTURY FINANCIAL SERVICES CORPORATION
CENTURY FINANCIAL SERVICES CORPORATION
CENTURY FINANCIAL SERVICES CORPORATION
CHAMBERS BANCSHARES, INC.

City
GREENSBORO
GREENSBORO
GREENSBORO
LINCOLNTON
LINCOLNTON
LINCOLNTON
LINCOLNTON
LINCOLNTON
BALTIMORE
BALTIMORE
NEW YORK
NEW YORK
EVERETT
EVERETT
LOS ANGELES
LOS ANGELES
LOS ANGELES
LOS ANGELES
ROCK HILL
ROCK HILL
ROCK HILL
ALEDO
ALEDO
CARTERSVILLE
CARTERSVILLE
CARTERSVILLE
CARTERSVILLE
CARTERSVILLE
CARTERSVILLE
RUSSELLVILLE
RUSSELLVILLE
RUSSELLVILLE
RUSSELLVILLE
RUSSELLVILLE
ELKTON
LEBANON
LEBANON
UNION
UNION
UNION
LOS ANGELES
LOS ANGELES
MILFORD
MILFORD
MILFORD
MILFORD
MILFORD
DAVENPORT
DAVENPORT
DAVENPORT
MORGANTOWN
MORGANTOWN
MORGANTOWN
SOMERVILLE
SOMERVILLE
SOMERVILLE
GARLAND
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
SANTA FE
SANTA FE
SANTA FE
SANTA FE
DANVILLE

State
NC
NC
NC
NC
NC
NC
NC
NC
MD
MD
NY
NY
WA
WA
CA
CA
CA
CA
NY
NY
NY
IL
IL
GA
GA
GA
GA
GA
GA
AL
AL
AL
AL
AL
MD
TN
TN
NJ
NJ
NJ
CA
CA
OH
OH
OH
OH
OH
FL
FL
FL
WV
WV
WV
MA
MA
MA
TX
TX
TX
TX
TX
TX
TX
OH
OH
NJ
NJ
NJ
HI
HI
HI
HI
CA
CA
CA
VA
VA
PA
PA
NH
NH
IL
IL
IL
IL
NM
NM
NM
NM
AR

Date
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
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
19-Jun-09
19-Dec-12
20-Dec-12
11-Jan-13
29-May-09

Original Investment Type1

Original Investment
Amount

Total Cash Back2

Outstanding
Investment

Investment Status*
Amount

Capital Repayment / Disposition / Auction3,5
(Fee)4
Shares
Avg. Price

$435,756.60

(Realized Loss) /
(Write-off)

466

$935.10

($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

Gain5

Warrant Proceeds
Amount

Shares

($149,616.00)
$1,800,000.00
Preferred Stock w/ Warrants

$4,000,000.00

$0.00

$3,994,452.00

357,675

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

$13,107,778.30

1,846,374

$263,000.00

263

Redeemed, in full; warrants not outstanding

($22,720,000.00)

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$3,000,000.00
$3,500,000.00

$0.00

$7,448,071.47

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$4,114,000.00

$0.00

$271,579.53

Currently not collectible

$6,500,000.00

6,500

$1,000.00
($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

$178,000.00

178

$245,000.00

86,705

$84,057.43

113

$212,000.00

125,413

$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

($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
Preferred Stock w/ Exercised Warrants

$55,000,000.00
$2,250,000.00

$0.00
$0.00

$64,739,583.33
$2,344,662.43

$3,564,000.00

3,564

$1,000.00

$10,000,000.00

10,000

$1,000.00

$55,000,000.00

55,000

$1,000.00

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

Redeemed, in full; warrants outstanding
Sold, in full; warrants not outstanding
$24,750.00
$1,831,500.00

($5,250.00)
($388,500.00)

($18,562.50)
($6,437.50)
Preferred Stock w/ Warrants

$27,875,000.00

$0.00

$29,283,302.58

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$15,000,000.00

$0.00

$15,922,937.50

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$10,000,000.00

$0.00

$13,886,111.11

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants
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

$7,000,000.00

7,000

$1,000.00

$3,350,000.00

11,385

$294.20

$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

$8,211,450.00
$1,950,000.00

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

Sold, in full; warrants not outstanding
$36,337,500.00
$36,427,038.55

Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

$7,000,000.00

$11,385,000.00

$0.00

$0.00

$8,077,516.47

$3,800,656.00

Sold, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$6,056,000.00

$0.00

$6,739,821.89

Redeemed, in full; warrants not outstanding

$7,500,000.00

$0.00

$8,887,791.42

Redeemed, in full; warrants not outstanding

$32,668,000.00

$1,402,000.00

$10,651,025.50

($32,121,928.87)
($30,113,532.58)

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

($454,218.75)
($387,816.38)

($8,035,000.00)

Sold, in part; warrants outstanding

($82,114.50)
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

$19,817,000.00

$19,817,000.00

$5,754,674.98

Full investment outstanding; warrants outstanding

35

FootNote
8
23
19,30

11

8,55,97
8,14

11,9,36
8
8
44,8,14
11

86
45

8,9
11

8,14

82

8,17

45

44

8,14

11,8,14

11,16

44,8,14
11

11

15,14

8,14

11,8,14
11,8,14

Institution Name

City

State

Date

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
CITIZENS FIRST CORPORATION
CITIZENS REPUBLIC BANCORP, INC.
CITIZENS REPUBLIC BANCORP, INC.
CITIZENS SOUTH BANKING CORPORATION
CITIZENS SOUTH BANKING CORPORATION
CITIZENS SOUTH BANKING CORPORATION

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
BOWLING GREEN
FLINT
FLINT
GASTONIA
GASTONIA
GASTONIA

IL
NY
NY
NY
NY
NY
PA
PA
PA
CA
CA
MO
MO
MO
MO
GA
GA
LA
KY
VA
VA
KY
KY
KY
MI
MI
NC
NC
NC

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
13-Feb-13
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.

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

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

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

Original Investment Type1

Original Investment
Amount

Total Cash Back2

Outstanding
Investment

Investment Status*
Amount

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

$7,000,000.00
$2,330,000,000.00

$7,000,000.00
$0.00

$1,637,270.81
$43,687,500.00

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

Capital Repayment / Disposition / Auction3,5
(Fee)4
Shares
Avg. Price

(Realized Loss) /
(Write-off)

Gain5

Warrant Proceeds
Amount

Shares

($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

$25,000,000,000.00

7,692,307,692

$4.14

$26,440,000.00

26,440

$1,000.00

$6,852,354,470.93
$54,621,848.84

210,084,034

$400,000.00

194,794

$258,018.75
$387,028.12

500
750

$150,000.00

150

$225,157.00

450,314

$18,500,000.00

1,128,668

$114,021.50

150

$99,000.00
$225,647.45

60,000
145,579

$389,857.05
$25,990.47

450
30

$143,677.00

895,968

$526,604.00

263,859

$494,381.25

50

$29,000.00

29

$810,000.00

500,000

$3,301,647.00

398,023

$113,000.00

113

$181,102,043.40

11,479,592

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
$3,300,904.00

63
94

$35,116.00
$35,116.00

$300,000,000.00

300,000

$1,000.00

$20,500,000.00

20,500

$1,000.00

($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

$3,265,788.00

$7,237,920.21

Redeemed, in part; warrants outstanding

Preferred Stock w/ Warrants

$300,000,000.00

$0.00

$369,245,436.64

Redeemed, in full; warrants outstanding

Preferred Stock w/ Warrants

$20,500,000.00

$0.00

$23,572,379.22

Redeemed, in full; warrants not outstanding

Preferred Stock
Preferred Stock w/ Warrants

Preferred Stock w/ Exercised Warrants

$9,439,000.00
$400,000,000.00

$3,000,000.00

$9,439,000.00
$0.00

$0.00

$281,859.00
$442,416,666.67

$3,318,585.05

Full investment outstanding; warrants not outstanding
Redeemed, in full; warrants not outstanding
$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

$574,000.00

574

$1,000.00

$21,633,944.71
$265,135.29

27,661
339

$782.10
$782.10

$76,898,000.00

76,898

$1,000.00

$2,260,000.00

2,260

$1,000.00

$2,250,000,000.00

2,250,000

$1,000.00

$5,000,000.00

5,000

$1,000.00
$566,858.50

87,209

$130,500.00
$1,469,250.00
$13,100,250.00
$600,000.00

174,000
1,959,000
17,467,000
800,000

$0.75
$0.75
$0.75
$0.75

($43,500.00)
($489,750.00)
($4,366,750.00)
($200,000.00)

$792,990.00
$105,732.00

900,000
120,000

7,701

$951.00

($377,349.00)

$362,427.91

385

$2,550,000.00

2,550

$1,000.00

$128,000.00

128

$500,000.00

500

$1,000.00

$25,000.00

25

($127,335.27)
Preferred Stock w/ Warrants

$64,450,000.00

$0.00

$73,357,086.72

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$16,500,000.00

$0.00

$19,178,479.00

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$10,000,000.00

$0.00

$10,670,784.03

Sold, in full; warrants not outstanding
($5,005.00)
($957,495.00)

($90,375.00)
Preferred Stock w/ Exercised Warrants

$574,000.00

$0.00

$668,142.53

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$28,000,000.00

$0.00

$26,480,089.20

Sold, in full; warrants not outstanding
($6,027,055.29)
($73,864.71)

($218,990.80)
Preferred Stock w/ Warrants

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

Subordinated Debentures w/ Exercised Warrants

$76,898,000.00

$2,260,000.00
$2,250,000,000.00

$5,000,000.00

$20,400,000.00

$0.00

$0.00
$0.00

$0.00

$0.00

$86,821,419.22

$2,689,478.64
$2,582,039,543.40

$5,602,969.61

$21,575,016.54

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

($153,000.00)
Preferred Stock w/ Exercised Warrants

$7,701,000.00

$0.00

$8,451,110.79

Sold, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$2,550,000.00

$0.00

$2,899,659.67

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$500,000.00

$0.00

$616,741.75

Redeemed, in full; warrants not outstanding

$7,323,651.00
($73,236.51)

36

FootNote
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

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

Institution Name

City

COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY BANK OF MBRANDON
COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY BANK OF MBRANDON
COMMUNITY BANCSHARES, INC.
KINGMAN
COMMUNITY BANK OF THE BAY
OAKLAND
COMMUNITY BANK OF THE BAY
OAKLAND
COMMUNITY BANK SHARES OF INDIANA, INC.
NEW ALBANY
COMMUNITY BANK SHARES OF INDIANA, INC.
NEW ALBANY
COMMUNITY BANK SHARES OF INDIANA, INC.
NEW ALBANY
COMMUNITY BANKERS TRUST CORPORATION
GLEN ALLEN
COMMUNITY BANKERS TRUST CORPORATION
GLEN ALLEN
COMMUNITY BANKERS TRUST CORPORATION
GLEN ALLEN
COMMUNITY BUSINESS BANK
WEST SACRAMENTO
COMMUNITY BUSINESS BANK
WEST SACRAMENTO
COMMUNITY BUSINESS BANK
WEST SACRAMENTO
COMMUNITY FINANCIAL CORPORATION
STAUNTON
COMMUNITY FINANCIAL CORPORATION
STAUNTON
COMMUNITY FINANCIAL SHARES, INC.
GLEN ELLYN
COMMUNITY FINANCIAL SHARES, INC.
GLEN ELLYN
COMMUNITY FIRST BANCSHARES, INC. (AR)
HARRISON
COMMUNITY FIRST BANCSHARES, INC. (TN)
UNION CITY
COMMUNITY FIRST BANCSHARES, INC. (TN)
UNION CITY
COMMUNITY FIRST, INC.
COLUMBIA
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANC BRANDON
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANC BRANDON
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANC BRANDON
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANC BRANDON
COMMUNITY INVESTORS BANCORP, INC.
BUCYRUS
COMMUNITY INVESTORS BANCORP, INC.
BUCYRUS
COMMUNITY INVESTORS BANCORP, INC.
BUCYRUS
COMMUNITY INVESTORS BANCORP, INC.
BUCYRUS
COMMUNITY INVESTORS BANCORP, INC.
BUCYRUS
COMMUNITY PARTNERS BANCORP
MIDDLETOWN
COMMUNITY PARTNERS BANCORP
MIDDLETOWN
COMMUNITY PARTNERS BANCORP
MIDDLETOWN
COMMUNITY PRIDE BANK CORPORATION
HAM LAKE
COMMUNITY PRIDE BANK CORPORATION
HAM LAKE
COMMUNITY PRIDE BANK CORPORATION
HAM LAKE
COMMUNITY TRUST FINANCIAL CORPORATION
RUSTON
COMMUNITY TRUST FINANCIAL CORPORATION
RUSTON
COMMUNITY WEST BANCSHARES
GOLETA
COMMUNITY WEST BANCSHARES
GOLETA
COMMUNITY WEST BANCSHARES
GOLETA
COMMUNITY WEST BANCSHARES
GOLETA
COMMUNITY WEST BANCSHARES
GOLETA
COMMUNITYONE BANCORP / FNB UNITED CORP.
ASHEBORO
CONGAREE BANCSHARES, INC.
CAYCE
CONGAREE BANCSHARES, INC.
CAYCE
CONGAREE BANCSHARES, INC.
CAYCE
CONGAREE BANCSHARES, INC.
CAYCE
CORNING SAVINGS AND LOAN ASSOCIATION
CORNING
CORNING SAVINGS AND LOAN ASSOCIATION
CORNING
CORNING SAVINGS AND LOAN ASSOCIATION
CORNING
CORNING SAVINGS AND LOAN ASSOCIATION
CORNING
COUNTRY BANK SHARES, INC.
MILFORD
COUNTRY BANK SHARES, INC.
MILFORD
COUNTRY BANK SHARES, INC.
MILFORD
COUNTRY BANK SHARES, INC.
MILFORD
COVENANT FINANCIAL CORPORATION
CLARKSDALE
CRAZY WOMAN CREEK BANCORP INCORPORATED
BUFFALO
CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORA RALEIGH
CROSSTOWN HOLDING COMPANY
BLAINE
CROSSTOWN HOLDING COMPANY
BLAINE
CROSSTOWN HOLDING COMPANY
BLAINE
CROSSTOWN HOLDING COMPANY
BLAINE
CSRA BANK CORP.
WRENS
CVB FINANCIAL CORP.
ONTARIO
CVB FINANCIAL CORP.
ONTARIO
CVB FINANCIAL CORP.
ONTARIO
CVB FINANCIAL CORP.
ONTARIO
D.L. EVANS BANCORP
BURLEY
D.L. EVANS BANCORP
BURLEY
DEERFIELD FINANCIAL CORPORATION
DEERFIELD
DEERFIELD FINANCIAL CORPORATION
DEERFIELD
DELMAR BANCORP
DELMAR
DELMAR BANCORP
DELMAR
DELMAR BANCORP
DELMAR
DELMAR BANCORP
DELMAR
DESOTO COUNTY BANK
HORN LAKE
DESOTO COUNTY BANK
HORN LAKE
DESOTO COUNTY BANK
HORN LAKE
DESOTO COUNTY BANK
HORN LAKE
DESOTO COUNTY BANK
HORN LAKE
DIAMOND BANCORP, INC.
WASHINGTON
DIAMOND BANCORP, INC.
WASHINGTON
DIAMOND BANCORP, INC.
WASHINGTON
DIAMOND BANCORP, INC.
WASHINGTON
DIAMOND BANCORP, INC.
WASHINGTON
DICKINSON FINANCIAL CORPORATION II
KANSAS CITY
DICKINSON FINANCIAL CORPORATION II
KANSAS CITY
DICKINSON FINANCIAL CORPORATION II
KANSAS CITY

State
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
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
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

Date
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
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
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

Original Investment Type1
Preferred Stock w/ Exercised Warrants

Original Investment
Amount
$52,000,000.00

Total Cash Back2

Outstanding
Investment

Investment Status*
Amount

$0.00

$57,575,699.54

Capital Repayment / Disposition / Auction3,5
(Fee)4
Shares
Avg. Price

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

$17,680,000.00

$10,680,000.00

$11,360,819.12

Gain5

Warrant Proceeds
Amount

Shares

Redeemed, in full; warrants not outstanding
$52,000,000.00

Preferred Stock w/ Warrants

(Realized Loss) /
(Write-off)

52,000

$1,000.00

$2,600,000.00

2,600

$1,100,869.50

386,270

($258,440.00)

$167,035.00

199

($3,833,500.00)

$157,050.00

349

$1,000,000.00

1,000

$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

($47,250.00)

$25,000.00

5

1,003
1,597

$950.00
$950.00

($50,150.00)
($79,850.00)

$105,000.00

130

$9,000,000.00

9,000

$1,000.00
$460,000.00

311,972

$4,400,000.00

4,400,000

$1.11

$177,716.96

132,000

$24,000,000.00

24,000

$1,000.00

$1,200,000.00

1,200

$2,172,000.00
$9,122,400.00

3,000
12,600

$724.00
$724.00

$698,351.00

521,158

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
($25,000.00)

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$12,725,000.00
$20,000,000.00

$12,725,000.00
$0.00

$3,201,612.18
$23,628,111.33

Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$17,806,000.00
$1,050,000.00

$17,806,000.00
$0.00

$1,908,453.00
$1,220,300.65

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
($24,700.00)
($300.00)

Preferred Stock w/ Warrants

$9,000,000.00

$0.00

$10,598,750.00

Redeemed, in full; warrants not outstanding

Subordinated Debentures w/ Exercised Warrants

$4,400,000.00

$0.00

$5,462,045.14

Sold, in full; warrants not outstanding
$484,924.00

($48,849.24)
Preferred Stock w/ Exercised Warrants

$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

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

($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
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants

$5,000,000.00
$3,100,000.00
$24,900,000.00
$10,650,000.00

$5,000,000.00
$3,100,000.00
$24,900,000.00
$0.00

$1,219,739.44
$800,165.97
$6,097,591.20
$13,498,324.83

Full investment outstanding; warrants outstanding
Full investment outstanding; warrants outstanding
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
$343,794.50
$10,117,381.00
($104,611.76)

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$2,400,000.00
$130,000,000.00

$19,891,000.00
$2,639,000.00
$9,000,000.00

$2,400,000.00
$0.00

$0.00
$0.00
$0.00

$180,940.00
$136,046,583.33

$23,686,592.33
$3,283,338.96
$6,598,331.15

Full investment outstanding; warrants 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
$5,293,527.28
$215,462.72
($55,089.90)

Preferred Stock w/ Exercised Warrants

$1,173,000.00
$1,508,000.00

$0.00

$2,781,331.97

Sold, in full; warrants not outstanding
$301,428.58
$1,895,467.59
($33,333.34)

Subordinated Debentures w/ Exercised Warrants

$20,445,000.00

$0.00

$21,101,618.19

Sold, in full; warrants not outstanding
$4,381,500.00
$10,197,941.25
$350,520.00
($149,299.61)

Preferred Stock w/ Exercised Warrants

$146,053,000.00

$0.00

$87,459,858.69

Sold, in full; warrants not outstanding
$8,025,555.03
$72,684,793.30

37

FootNote

11

44

15
12,44

11,16

89
44

45

11

8,44,14
8,44,72
8,14

8,14,18

8,14

15,14

8,14

11

8
8,14

11,8

15,14

45,8,14
15,17
8,14

45,8,14
8,14

Institution Name
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.
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
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

City
KANSAS CITY
RIVERWOODS
RIVERWOODS
RIVERWOODS
DOWNINGTOWN
DOWNINGTOWN
DOWNINGTOWN
MINNEAPOLIS
MINNEAPOLIS
BETHESDA
BETHESDA
BETHESDA
BETHESDA
PASADENA
PASADENA
PASADENA
TAPPAHANNOCK
TAPPAHANNOCK
TAPPAHANNOCK
ENGELHARD
EMLENTON
EMLENTON
EMLENTON
HOUSTON
HOUSTON
HOUSTON
ST. LOUIS
ST. LOUIS
ST. LOUIS
ALLISON PARK
ALLISON PARK
WICHITA
WICHITA
SANTA ROSA
SANTA ROSA
SANTA ROSA
SANTA ROSA
SANTA ROSA
SANTA ROSA
SANTA ROSA
TREZEVANT
TREZEVANT
TREZEVANT
TREZEVANT
TREZEVANT
TREZEVANT
SALISBURY
SALISBURY
SALISBURY
SALISBURY
SALISBURY
HOLDEN
HOLDEN
HOLDEN
HOLDEN
CLARKSVILLE
CLARKSVILLE
CLARKSVILLE
CLARKSVILLE
CLARKSVILLE
HERMITAGE
HERMITAGE
HERMITAGE
HOUSTON
ARGONIA
ARGONIA
ARGONIA
WINDSOR
WINDSOR
WINDSOR
FRANKFORT
FRANKFORT
FRANKFORT
GREAT BEND
GREAT BEND
GREAT BEND
GREAT BEND
GREAT BEND
HOLTON
HOLTON
BOULDER
BOULDER
HOUSTON
HOUSTON
HOUSTON
LOUISVILLE
LOUISVILLE
WABASH
WABASH
WABASH

State
MO
IL
IL
IL
PA
PA
PA
MN
MN
MD
MD
MD
MD
CA
CA
CA
VA
VA
VA
NC
PA
PA
PA
TX
TX
TX
MO
MO
MO
PA
PA
KS
KS
CA
CA
CA
CA
CA
CA
CA
TN
TN
TN
TN
TN
TN
NC
NC
NC
NC
NC
MO
MO
MO
MO
TN
TN
TN
TN
TN
PA
PA
PA
TX
KS
KS
KS
VA
VA
VA
KY
KY
KY
KS
KS
KS
KS
KS
KS
KS
CO
CO
TX
TX
TX
KY
KY
IN
IN
IN

Date
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
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
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

Original Investment Type1

Original Investment
Amount

Total Cash Back2

Outstanding
Investment

Investment Status*
Amount

Capital Repayment / Disposition / Auction3,5
(Fee)4
Shares
Avg. Price

(Realized Loss) /
(Write-off)

Gain5

Warrant Proceeds
Amount

Shares

($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

$28,718,640.00

Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$34,000,000.00

$0.00

$39,415,959.89

Redeemed, in full; warrants outstanding

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$4,000,000.00
$8,750,000.00
$43,000,000.00

$0.00
$0.00
$0.00

$4,680,205.56
$10,394,872.56
$47,294,527.29

11,750

$1,000.00

$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

$4,000,000.00

4,000

$1,000.00

$8,750,000.00

8,750

$1,000.00

$481,387.50
$17,505,000.00
$8,725,367.25
$420,995.25
$10,503,000.00

550
20,000
9,969
481
12,000

$875.20
$875.20
$875.20
$875.20
$875.20

5,090
2,901
153

$172,000,000.00

20,500,413

$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

$200,000.00

200

$438,000.00

438

($68,612.50)
($2,495,000.00)
($1,243,632.75)
($60,004.75)
($1,497,000.00)

$1,910,898.00
$120,386.57
$22,930.78

2,000
126
24

$942.50
$942.50
$942.50

($292,675.00)
($166,807.50)
($8,797.50)

$222,007.50

230

$136,813.05

150

2,805
14,195

$950.00
$950.00

($140,250.00)
($709,750.00)

$638,460.90

700

1,659,000
1,334,000

$0.96
$0.96

($68,400.57)
($55,000.82)

$125,000.00

150,000

$96,465.60

112

200
17,043

$787.50
$787.50

($42,500.00)
($3,621,637.50)

$645,975.00

750

100,000

$1,000.00
$690,100.00

651,042

($2,835.00)

22

$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

Sold, in full; warrants outstanding

$4,335,182.58
$8,545,904.67

$42,801,933.33

$11,750,000.00

Redeemed, in full; warrants not outstanding

$17,949,000.00
$0.00

$0.00

$1,000.00

Redeemed, in full; warrants outstanding

$17,949,000.00
$7,500,000.00

$35,000,000.00

1,224,558

Redeemed, in part; warrants outstanding

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

$1,224,558,000.00

$406,029.00
$2,092,611.00

Redeemed, in full; warrants not outstanding

Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding

($376,357.50)
Preferred Stock w/ Exercised Warrants

$4,609,000.00
$3,535,000.00

$0.00

$9,405,391.28

Sold, in full; warrants not outstanding
$4,797,325.00
$2,734,192.50
$144,202.50
($76,757.21)

Preferred Stock w/ Exercised Warrants

$17,000,000.00

$0.00

$20,119,744.45

Sold, in full; warrants not outstanding
$2,664,750.00
$13,485,250.00
($161,500.00)

Subordinated Debentures w/ Exercised Warrants

$2,993,000.00

$0.00

$3,842,376.65

Sold, in full; warrants not outstanding
$1,590,599.43
$1,278,999.18
($25,000.00)

Preferred Stock w/ Exercised Warrants

$17,243,000.00

$0.00

$17,573,762.97

Sold, in full; warrants not outstanding
$157,500.00
$13,421,362.50
($135,788.63)

Preferred Stock w/ Warrants

$100,000,000.00

$0.00

$104,023,433.33

Redeemed, in full; warrants not outstanding
$100,000,000.00

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$11,000,000.00
$442,000.00

$11,000,000.00
$0.00

$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

Preferred Stock w/ Warrants

$30,000,000.00

$0.00

$27,105,349.50

Sold, in full; warrants not outstanding

$425,425.00

442

$962.50

($16,575.00)

3,063
5,689

$1,000.00
$1,000.00

30,000

$739.90

($7,803,300.00)

100,000

$0.96

($3,710.00)

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

($25,000.00)
$3,063,000.00
$5,689,000.00
$22,196,700.00
Subordinated Debentures w/ Exercised Warrants

$12,000,000.00

$0.00

$15,452,669.34

($332,950.50)

Sold, in full; warrants not outstanding
$96,290.00
$11,458,510.00
($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)

38

FootNote

15,11,14
77
8,17

8,14

11

11

45,8,14
15,17,44
8,14

8,14

15,11,14

11,9,36
45

34

8,11,14

45,8,14
45,8,14
8

45

8,14,18

45

8,11,14,18,36

44,8,14
12

Institution Name

City

FFW CORPORATION
WABASH
FIDELITY BANCORP, INC. (LA)
BATON ROUGE
FIDELITY BANCORP, INC. (LA)
BATON ROUGE
FIDELITY BANCORP, INC. (PA) / WESBANCO, INC.
PITTSBURGH
FIDELITY BANCORP, INC. (PA) / WESBANCO, INC.
PITTSBURGH
FIDELITY FEDERAL BANCORP
EVANSVILLE
FIDELITY FEDERAL BANCORP
EVANSVILLE
FIDELITY FEDERAL BANCORP
EVANSVILLE
FIDELITY FEDERAL BANCORP
EVANSVILLE
FIDELITY FINANCIAL CORPORATION
WICHITA
FIDELITY FINANCIAL CORPORATION
WICHITA
FIDELITY FINANCIAL CORPORATION
WICHITA
FIDELITY FINANCIAL CORPORATION
WICHITA
FIDELITY FINANCIAL CORPORATION
WICHITA
FIDELITY FINANCIAL CORPORATION
WICHITA
FIDELITY FINANCIAL CORPORATION
WICHITA
FIDELITY FINANCIAL CORPORATION
WICHITA
FIDELITY FINANCIAL CORPORATION
WICHITA
FIDELITY SOUTHERN CORPORATION
ATLANTA
FIDELITY SOUTHERN CORPORATION
ATLANTA
FIFTH THIRD BANCORP
CINCINNATI
FIFTH THIRD BANCORP
CINCINNATI
FIFTH THIRD BANCORP
CINCINNATI
FINANCIAL INSTITUTIONS, INC.
WARSAW
FINANCIAL INSTITUTIONS, INC.
WARSAW
FINANCIAL INSTITUTIONS, INC.
WARSAW
FINANCIAL INSTITUTIONS, INC.
WARSAW
FINANCIAL SECURITY CORPORATION
BASIN
FINANCIAL SECURITY CORPORATION
BASIN
FINANCIAL SERVICES OF WINGER, INC.
WINGER
FINANCIAL SERVICES OF WINGER, INC.
WINGER
FIRST ADVANTAGE BANCSHARES, INC.
COON RAPIDS
FIRST ADVANTAGE BANCSHARES, INC.
COON RAPIDS
FIRST ADVANTAGE BANCSHARES, INC.
COON RAPIDS
FIRST ADVANTAGE BANCSHARES, INC.
COON RAPIDS
FIRST ADVANTAGE BANCSHARES, INC.
COON RAPIDS
FIRST ALLIANCE BANCSHARES, INC.
CORDOVA
FIRST ALLIANCE BANCSHARES, INC.
CORDOVA
FIRST ALLIANCE BANCSHARES, INC.
CORDOVA
FIRST ALLIANCE BANCSHARES, INC.
CORDOVA
FIRST AMERICAN BANK CORPORATION
ELK GROVE VILLAGE
FIRST AMERICAN BANK CORPORATION
ELK GROVE VILLAGE
FIRST AMERICAN BANK CORPORATION
ELK GROVE VILLAGE
FIRST AMERICAN INTERNATIONAL CORP.
BROOKLYN
FIRST AMERICAN INTERNATIONAL CORP.
BROOKLYN
FIRST BANCORP (NC)
TROY
FIRST BANCORP (NC)
TROY
FIRST BANCORP (NC)
TROY
FIRST BANCORP (PR)
SAN JUAN
FIRST BANCORP (PR)
SAN JUAN
FIRST BANCORP (PR)
SAN JUAN
FIRST BANCTRUST CORPORATION
PARIS
FIRST BANCTRUST CORPORATION
PARIS
FIRST BANCTRUST CORPORATION
PARIS
FIRST BANK OF CHARLESTON, INC.
CHARLESTON
FIRST BANK OF CHARLESTON, INC.
CHARLESTON
FIRST BANKERS TRUSTSHARES, INC.
QUINCY
FIRST BANKERS TRUSTSHARES, INC.
QUINCY
FIRST BANKS, INC.
CLAYTON
FIRST BANKS, INC.
CLAYTON
FIRST BANKS, INC.
CLAYTON
FIRST BANKS, INC.
CLAYTON
FIRST BANKS, INC.
CLAYTON
FIRST BANKS, INC.
CLAYTON
FIRST BANKS, INC.
CLAYTON
FIRST BANKS, INC.
CLAYTON
FIRST BUSEY CORPORATION
URBANA
FIRST BUSEY CORPORATION
URBANA
FIRST BUSEY CORPORATION
URBANA
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CA SAN DIEGO
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CA SAN DIEGO
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CA SAN DIEGO
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CA SAN DIEGO
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CA SAN DIEGO
FIRST CALIFORNIA FINANCIAL GROUP, INC.
WESTLAKE VILLAGE
FIRST CALIFORNIA FINANCIAL GROUP, INC.
WESTLAKE VILLAGE
FIRST CALIFORNIA FINANCIAL GROUP, INC.
WESTLAKE VILLAGE
FIRST CAPITAL BANCORP, INC.
GLEN ALLEN
FIRST CAPITAL BANCORP, INC.
GLEN ALLEN
FIRST CAPITAL BANCORP, INC.
GLEN ALLEN
FIRST CHOICE BANK
CERRITOS
FIRST CHOICE BANK
CERRITOS
FIRST CHOICE BANK
CERRITOS
FIRST CITIZENS BANC CORP
SANDUSKY
FIRST CITIZENS BANC CORP
SANDUSKY
FIRST CITIZENS BANC CORP
SANDUSKY
FIRST COLEBROOK BANCORP, INC.
COLEBROOK
FIRST COLEBROOK BANCORP, INC.
COLEBROOK
FIRST COMMUNITY BANCSHARES INC.
BLUEFIELD
FIRST COMMUNITY BANCSHARES INC.
BLUEFIELD

State
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
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

Date
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
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

Original Investment Type1

Original Investment
Amount

Total Cash Back2

Outstanding
Investment

Investment Status*
Amount

Capital Repayment / Disposition / Auction3,5
(Fee)4
Shares
Avg. Price

(Realized Loss) /
(Write-off)

Gain5

Warrant Proceeds
Amount

Shares

($65,812.38)
Subordinated Debentures w/ Exercised Warrants

$3,942,000.00

$0.00

$5,404,924.35

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$7,000,000.00

$0.00

$8,388,333.33

Redeemed, in full; warrants outstanding

Preferred Stock w/ Exercised Warrants

$6,657,000.00

$0.00

$7,220,908.83

$3,942,000.00

3,942,000

$1.00

$7,000,000.00

7,000

$1,000.00

439
6,218

$1,058.90
$1,058.90

135
30
335
3,591
2,635
29,236
320

$891.30
$891.30
$891.30
$891.30
$891.30
$891.30
$891.30

($14,679.90)
($3,262.20)
($36,427.90)
($390,485.34)
($286,529.90)
($3,179,122.64)
($34,796.80)

($4,791,080.00)

$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
$439,000.00
$6,218,000.00

$25,857.10
$366,240.20

($70,490.97)
Preferred Stock w/ Exercised Warrants

$36,282,000.00

$0.00

$40,966,780.82

Sold, in full; warrants not outstanding
$120,320.10
$26,737.80
$298,572.10
$3,200,514.66
$2,348,470.10
$26,056,877.36
$285,203.20
($323,366.95)

Preferred Stock w/ Warrants

$48,200,000.00

$0.00

$51,286,669.09

Sold, in full; warrants outstanding
$43,408,920.00

Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$3,408,000,000.00

$37,515,000.00

$5,000,000.00
$3,742,000.00
$1,177,000.00

$0.00

$0.00

$0.00
$0.00
$0.00

$4,043,972,602.67

$43,787,611.61

$5,914,597.33
$4,487,322.46
$1,289,436.37

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

$15,000,000.00
$35,000,000.00

15,000,000
35,000,000

$1.00
$1.00

$2,500,000.00

2,500,000

$17,000,000.00

17,000

$1,000.00

$65,000,000.00

65,000

$1,000.00
$924,462.00

616,308

$81,000,000.00
$8,514,153.00

12,000,000
1,261,356

$6.75
$6.75

$3,675,000.00
$3,675,000.00

3,675
3,675

$1,000.00
$1,000.00

$368,000.00

368

$3,345,000.00

3,345

$1,000.00

$167,000.00

167

$10,000,000.00

10,000

$1,000.00

$500,000.00

500

$105,000.00
$12,171,950.00
$87,028,900.00

300
34,777
248,654

$350.00
$350.00
$350.00

($195,000.00)
($22,605,050.00)
($161,625,100.00)

$2,430,181.71
$5,919,151.59

4,299
10,471

5,819
5,850

$551.60
$551.60

($2,609,297.79)
($2,623,198.50)

100,000

$1,000.00
$63,677.00

573,833

$90,461.65

111

$599,042.00

599,042

$266,041.78

417,648

$110,000.00

110

$563,174.00

469,312

$225,000.00

225

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
$690,723.49
$366,469.68
($10,571.93)
($14,428.07)

Preferred Stock w/ Exercised Warrants

$3,422,000.00

$0.00

$3,003,674.75

Sold, in full; warrants not outstanding
$2,395,742.20
($23,957.42)
($1,042.58)

Subordinated Debentures w/ Exercised Warrants

$50,000,000.00

$0.00

$65,558,530.56

Redeemed, in full; warrants not outstanding

Preferred Stock

$17,000,000.00

$0.00

$18,204,166.78

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$65,000,000.00

$0.00

$74,518,906.44

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$400,000,000.00

$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
Preferred Stock w/ Exercised Warrants

$10,000,000.00
$295,400,000.00

$0.00
$0.00

$11,941,222.22
$119,071,500.97

($64,711,540.92)
($6,802,024.20)

Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding

($993,058.50)
$3,209,702.21
$3,226,801.50
($64,365.04)
Preferred Stock w/ Warrants

$100,000,000.00

$0.00

$112,410,898.89

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$2,211,000.00
$2,032,000.00

$0.00

$4,693,275.61

Sold, in full; warrants not outstanding

$100,000,000.00

$1,373,084.00
$2,510,399.84

1,500
2,743

$916.70
$915.60

25,000

$1,000.00

10,958

$920.10

($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)

($875,434.62)

($2,179,296.00)

Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding

39

FootNote

8,72

8

15,36,11
11,8,14

12,16

15,17,44

9,17

8,14

8,14,44
11

8,9

8

11
11,36

11,8,14
11,25
44,8,14
33,44,45

11

8,14
44,8,14
12,16

44

11

73,97
8,14,18

Institution Name

City

FIRST COMMUNITY BANCSHARES INC.
BLUEFIELD
FIRST COMMUNITY BANCSHARES, INC. / EQUITY BANCSHARES, INC.
WICHITA
FIRST COMMUNITY BANK CORPORATION OF AMERICA
PINELLAS PARK
FIRST COMMUNITY BANK CORPORATION OF AMERICA
PINELLAS PARK
FIRST COMMUNITY CORPORATION
LEXINGTON
FIRST COMMUNITY CORPORATION
LEXINGTON
FIRST COMMUNITY CORPORATION
LEXINGTON
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
JOLIET
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
JOLIET
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
JOLIET
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
JOLIET
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
JOLIET
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
JOLIET
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
JOLIET
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
JOLIET
FIRST DEFIANCE FINANCIAL CORP.
DEFIANCE
FIRST DEFIANCE FINANCIAL CORP.
DEFIANCE
FIRST EAGLE BANCSHARES, INC.
HANOVER PARK
FIRST EAGLE BANCSHARES, INC.
HANOVER PARK
FIRST EXPRESS OF NEBRASKA, INC.
GERING
FIRST EXPRESS OF NEBRASKA, INC.
GERING
FIRST FEDERAL BANCSHARES OF ARKANSAS, INC.
HARRISON
FIRST FEDERAL BANCSHARES OF ARKANSAS, INC.
HARRISON
FIRST FINANCIAL BANCORP
CINCINNATI
FIRST FINANCIAL BANCORP
CINCINNATI
FIRST FINANCIAL BANCORP
CINCINNATI
FIRST FINANCIAL BANCSHARES, INC.
LAWRENCE
FIRST FINANCIAL BANCSHARES, INC.
LAWRENCE
FIRST FINANCIAL HOLDINGS INC.
CHARLESTON
FIRST FINANCIAL HOLDINGS INC.
CHARLESTON
FIRST FINANCIAL HOLDINGS INC.
CHARLESTON
FIRST FINANCIAL SERVICE CORPORATION
ELIZABETHTOWN
FIRST FINANCIAL SERVICE CORPORATION
ELIZABETHTOWN
FIRST FINANCIAL SERVICE CORPORATION
ELIZABETHTOWN
FIRST FREEDOM BANCSHARES, INC.
LEBANON
FIRST FREEDOM BANCSHARES, INC.
LEBANON
FIRST FREEDOM BANCSHARES, INC.
LEBANON
FIRST GOTHENBURG BANCSHARES, INC.
GOTHENBURG
FIRST GOTHENBURG BANCSHARES, INC.
GOTHENBURG
FIRST GOTHENBURG BANCSHARES, INC.
GOTHENBURG
FIRST GOTHENBURG BANCSHARES, INC.
GOTHENBURG
FIRST GUARANTY BANCSHARES, INC.
HAMMOND
FIRST GUARANTY BANCSHARES, INC.
HAMMOND
FIRST HORIZON NATIONAL CORPORATION
MEMPHIS
FIRST HORIZON NATIONAL CORPORATION
MEMPHIS
FIRST HORIZON NATIONAL CORPORATION
MEMPHIS
FIRST INDEPENDENCE CORPORATION
DETROIT
FIRST INDEPENDENCE CORPORATION
DETROIT
FIRST INDEPENDENCE CORPORATION
DETROIT
FIRST INDEPENDENCE CORPORATION
DETROIT
FIRST INTERCONTINENTAL BANK
DORAVILLE
FIRST INTERCONTINENTAL BANK
DORAVILLE
FIRST INTERCONTINENTAL BANK
DORAVILLE
FIRST LITCHFIELD FINANCIAL CORPORATION
LITCHFIELD
FIRST LITCHFIELD FINANCIAL CORPORATION
LITCHFIELD
FIRST M&F CORPORATION
KOSCIUSKO
FIRST M&F CORPORATION
KOSCIUSKO
FIRST M&F CORPORATION
KOSCIUSKO
FIRST MANITOWOC BANCORP, INC.
MANITOWOC
FIRST MANITOWOC BANCORP, INC.
MANITOWOC
FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORARICHMOND
FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORARICHMOND
FIRST MENASHA BANCSHARES, INC.
NEENAH
FIRST MENASHA BANCSHARES, INC.
NEENAH
FIRST MERCHANTS CORPORATION
MUNCIE
FIRST MERCHANTS CORPORATION
MUNCIE
FIRST MERCHANTS CORPORATION
MUNCIE
FIRST MIDWEST BANCORP, INC.
ITASCA
FIRST MIDWEST BANCORP, INC.
ITASCA
FIRST MIDWEST BANCORP, INC.
ITASCA
FIRST NATIONAL CORPORATION
STRASBURG
FIRST NATIONAL CORPORATION
STRASBURG
FIRST NBC BANK HOLDING COMPANY
NEW ORLEANS
FIRST NBC BANK HOLDING COMPANY
NEW ORLEANS
FIRST NIAGARA FINANCIAL GROUP
LOCKPORT
FIRST NIAGARA FINANCIAL GROUP
LOCKPORT
FIRST NIAGARA FINANCIAL GROUP
LOCKPORT
FIRST NORTHERN COMMUNITY BANCORP
DIXON
FIRST NORTHERN COMMUNITY BANCORP
DIXON
FIRST NORTHERN COMMUNITY BANCORP
DIXON
FIRST PACTRUST BANCORP, INC.
CHULA VISTA
FIRST PACTRUST BANCORP, INC.
CHULA VISTA
FIRST PACTRUST BANCORP, INC.
CHULA VISTA
FIRST PLACE FINANCIAL CORP.
WARREN
FIRST PLACE FINANCIAL CORP.
WARREN
FIRST PRIORITY FINANCIAL CORP.
MALVERN
FIRST PRIORITY FINANCIAL CORP.
MALVERN
FIRST PRIORITY FINANCIAL CORP.
MALVERN
FIRST PRIORITY FINANCIAL CORP.
MALVERN
FIRST PRIORITY FINANCIAL CORP.
MALVERN

State
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
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

Date
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
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

Original Investment Type1

Original Investment
Amount

Total Cash Back2

Outstanding
Investment

Investment Status*
Amount

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

$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

Preferred Stock w/ Warrants

$11,350,000.00

$0.00

$13,425,979.36

Sold, in full; warrants not outstanding

Capital Repayment / Disposition / Auction3,5
(Fee)4
Shares
Avg. Price

$7,754,267.48
$11,155,120.50
Preferred Stock w/ Exercised Warrants

$22,000,000.00

$0.00

$18,252,479.06

($167,326.81)

(Realized Loss) /
(Write-off)

10,685

$725.70

($2,930,732.52)

11,350

$982.80

($194,879.50)

Gain5

Warrant Proceeds
Amount

Shares

$30,600.00

88,273

$297,500.00

195,915

$70,727.58
$440,082.72
$209,563.20

108
672
320

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
Preferred Stock w/ Warrants

$7,500,000.00
$5,000,000.00
$16,500,000.00

$0.00
$0.00
$0.00

$8,514,738.21
$6,074,313.00
$6,570,625.00

$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

$0.00

$68,141,972.19

$962.70

7,500,000

$1.00

$375,000.00

375,000

$5,000,000.00

5,000

$1,000.00

$250,000.00

250

$6,000,000.00

16,500

$363.60

$80,000,000.00

80,000

$1,000.00
$2,966,288.32

465,117

$3,756,000.00

3,756,000

$1.00

$113,000.00

113,000

65,000

$873.50

($8,221,850.00)
$1,400,000.00

241,696

20,000

$542.10

($9,157,800.00)

8,700

$922.50

($674,250.00)

$256,118.75

261

29
7,541

$910.30
$910.30

($2,601.01)
($676,352.29)

$362,118.92

379

$1,030,000.00

103

$79,700,000.00

14,842,321

$139,320.00

320

$1,488,046.41

199,203

$4,089,510.61

513,113

$600,000.00

600

$240,000.00

240

$367,500.00

991,453

$900,000.00

1,305,230

$624,674.69

695

$892,000.00

892

$2,700,000.00

953,096

$375,000.00

352,977

$1,003,227.00

280,795

$48,083.60
$176,633.62

49
180

Sold, in full; warrants not outstanding

$80,000,000.00

$65,000,000.00

$20,000,000.00

$0.00

$12,333,778.00

($10,500,000.00)

Sold, in full; warrants not outstanding
$56,778,150.00

Preferred Stock w/ Warrants

($534,276.30)

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

37,000

$7,500,000.00

Redeemed, in full; warrants not outstanding

($851,672.25)

Sold, in full; warrants outstanding
$10,842,200.00
($108,422.00)

Preferred Stock w/ Exercised Warrants

$8,700,000.00

$0.00

$9,522,346.17

Sold, in full; warrants not outstanding
$8,025,750.00
($80,257.50)

Preferred Stock w/ Exercised Warrants

$7,570,000.00

$0.00

$8,702,021.25

Sold, in full; warrants not outstanding
$26,398.99
$6,864,647.71
($68,910.46)

Preferred Stock w/ Exercised Warrants

$20,699,000.00

$0.00

$24,059,476.66

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$866,540,000.00

$0.00

$1,037,467,405.56

Redeemed, in full; warrants not outstanding

Preferred Stock

$3,223,000.00

$0.00

$2,820,256.96

$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

($886,325.00)

6,398

$507.50

($3,150,887.04)

$10,000,000.00

10,000

$1,000.00

$30,000,000.00

30,000

$1,000.00

$12,000,000.00

12,000

$1,000.00

$33,900,000.00

35,595

$1,000.00

Sold, in full; warrants not outstanding
($23,366.75)
($26,633.25)

Preferred Stock w/ Exercised Warrants

$6,398,000.00

$0.00

$4,118,886.85

Sold, in full; warrants not outstanding

Preferred Stock w/ Warrants

$10,000,000.00

$0.00

$12,147,768.63

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$30,000,000.00

$0.00

$36,472,843.94

Redeemed, in full; warrants not outstanding

$3,247,112.96
($25,000.00)

Preferred Stock w/ Exercised Warrants
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
Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

$17,836,000.00
$184,011,000.00

$17,390,000.00

$19,300,000.00

$72,927,000.00

$0.00
$0.00

$0.00

$0.00

$0.00

$21,033,989.56
$191,464,618.00

$19,943,580.33

$22,297,560.34

$7,009,094.50

$1,695,000.00

($184,001.25)

($1,633,250.00)

Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding

Redeemed, in full; warrants not outstanding

Redeemed, in full; warrants not outstanding

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)

($80,930.24)

40

FootNote
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

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

Institution Name
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
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

City
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
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

State
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
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

Date
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
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

Original Investment Type1
Preferred Stock w/ Exercised Warrants

Original Investment
Amount
$15,349,000.00

Total Cash Back2

Outstanding
Investment

Investment Status*
Amount

$0.00

$12,994,059.00

Capital Repayment / Disposition / Auction3,5
(Fee)4
Shares
Avg. Price

(Realized Loss) /
(Write-off)

Gain5

Warrant Proceeds
Amount

Shares

Sold, in full; warrants not outstanding
$10,431,333.89

15,349

$679.60

($4,917,666.11)

$5,017,000.00

5,017

$1,000.00

$14,912,862.00

9,941,908

$1.50

($18,087,138.00)
($3,700,000.00)

$624,632.45

767

$130,000.00

130

($104,313.34)
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

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
Preferred Stock w/ Exercised Warrants

$10,900,000.00
$5,500,000.00

$0.00
$0.00

$12,263,468.31
$5,359,772.59

$3,700,000.00

7,400

$500.00

$13,125,000.00
$36,875,000.00

13,125,000
36,875,000

$1.00
$1.00

$2,500,000.00

2,500,000

$10,900,000.00

10,900

$1,000.00

$545,000.00

545

$315,007.00
$2,835,063.00
$1,800,040.00

350
3,150
2,000

$900.00
$900.00
$900.00

($34,993.00)
($314,937.00)
($199,960.00)

$206,048.21
$45,788.48

225
50

$13,533,000.00

13,533

$1,000.00

$677,000.00

677

$13,750,058.49

17,969,000

$0.77

($4,218,941.51)

$644,726.19

898,000

$4,900,000.00

4,900

$1,000.00

$245,000.00

245

$6,000,000.00

6,000

$1,000.00

$245,000.00

245

7,920
80

$775.00
$775.00

($1,782,000.00)
($18,000.00)

$311,681.70
$39,370.32

380
48

12,440

$874.81

($1,445,760.00)

33,000

$941.00

($1,946,670.00)
$1,946,670.00

578,947

$125,000,000.00

125,000

$1,000.00
$5,025,000.00

952,260

$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)
$12,905.00

645,138

20,471

$390.80

($12,471,000.00)
$475,000.00

475

Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding

($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
($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
($62,000.00)
$10,994,240.00
($109,942.41)

Preferred Stock w/ Warrants

$33,000,000.00

$0.00

$38,185,560.05

Sold, in full; warrants not outstanding

Preferred Stock w/ Warrants

$125,000,000.00

$0.00

$131,813,194.44

Redeemed, in full; warrants not outstanding

$31,053,330.00

Preferred Stock w/ Warrants

$266,657,000.00

$0.00

$277,861,053.94

($465,799.95)

Sold, in full; warrants not outstanding

($2,430,578.56)
Preferred Stock w/ Exercised Warrants

$20,471,000.00

$0.00

$9,180,793.08

Sold, in full; warrants not outstanding
$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

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$12,000,000.00
$15,000,000.00
$1,300,000.00

$0.00
$0.00
$0.00

$14,267,700.00
$18,670,291.67
$87,184.85

$9,495,000.00

9,495

$1,000.00

$70,000,000.00

70,000

$1,000.00
$900,000.00

375,806

$12,000,000.00

12,000

$1,000.00

$600,000.00

600

$15,000,000.00

15,000

$1,000.00

$750,000.00

750

$155,000.00

155

$162,000.00

162

$126,798.62
$45,188.88

188
67

Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Currently not collectible
($1,300,000.00)

Preferred Stock w/ Exercised Warrants

$3,100,000.00

$0.00

$3,668,927.67

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$5,800,000.00

$0.00

$273,888.89

Currently not collectible

$3,100,000.00

3,100

$1,000.00
($5,800,000.00)

Preferred Stock w/ Exercised Warrants

$3,240,000.00

$0.00

$3,623,721.50

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$5,097,000.00

$0.00

$4,336,183.67

Sold, in full; warrants not outstanding

$1,000,000.00
$2,240,000.00

1,000
2,240

$1,000.00
$1,000.00

$594,550.00
$2,629,302.50

940
4,157

$632.50
$632.50

($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
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
$4,500,000.00
$4,967,000.00

$0.00

$0.00

$0.00
$0.00
$4,500,000.00
$0.00

$3,408,191.65

$416,635,625.00

$7,260,794.87
$10,096,470.83
$0.00
$5,699,100.75

$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

Redeemed, in full; warrants not outstanding

Redeemed, in full; warrants not outstanding

Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding

41

FootNote

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

8,17,45

11

11,16

11

11

8,18,21,44

8
11,8,14

11

Institution Name

City

State

Date

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.

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

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

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.
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.

BALTIMORE
HAVILAND
HAVILAND
LEE'S SUMMIT
LEE'S SUMMIT
LEE'S SUMMIT
LEE'S SUMMIT
LORIS
FRANKLIN
FRANKLIN
DUBUQUE
DUBUQUE
DUBUQUE
NORFOLK
NORFOLK
NORFOLK
SAN JOSE
SAN JOSE
SAN JOSE
OLYMPIA
OLYMPIA
OLYMPIA
PASO ROBLES
PASO ROBLES
PASO ROBLES
SIOUX FALLS
SIOUX FALLS
SIOUX FALLS
VERNON
VERNON
VERNON
SEBRING
SUMMIT
SUMMIT
ROCHESTER
ROCHESTER
ROCHESTER
ROCHESTER
CONWAY
CONWAY
CONWAY

MD
KS
KS
MO
MO
MO
MO
SC
IN
IN
IA
IA
IA
VA
VA
VA
CA
CA
CA
WA
WA
WA
CA
CA
CA
SD
SD
SD
NJ
NJ
NJ
FL
NJ
NJ
MN
MN
MN
MN
AR
AR
AR

17-Jul-09
13-Mar-09
29-Dec-10
19-Dec-08
9-May-12
15-May-13
12-Jun-13
6-Mar-09
11-Sep-09
17-Jul-12
19-Dec-08
15-Sep-11
28-Sep-11
25-Sep-09
16-Mar-11
11-Aug-11
21-Nov-08
7-Mar-12
10-Jun-13
21-Nov-08
22-Dec-10
17-Aug-11
20-Mar-09
17-Jul-13
7-Aug-13
21-Nov-08
3-Jun-09
30-Jun-09
8-May-09
22-Dec-09
22-Sep-11
6-Mar-09
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

Original Investment Type1

Original Investment
Amount

Total Cash Back2

Outstanding
Investment

Investment Status*
Amount

Capital Repayment / Disposition / Auction3,5
(Fee)4
Shares
Avg. Price

$26,393.77
$4,494,221.94

29
4,938

$910.10
$910.10

10,000,000

$1,000.00

(Realized Loss) /
(Write-off)
($2,606.23)
($443,778.06)

Gain5

Warrant Proceeds
Amount

Shares

$214,595.28

248

$1,100,000,000.00

12,205,045

($25,000.00)
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

($1,607,000.00)
$10,000,000,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$2,568,000.00
$4,000,000.00

$2,568,000.00
$0.00

$145,750.00
$4,717,144.78

Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding

Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

$2,443,320.00
$3,076,000.00
$9,000,000.00
$6,319,000.00

$2,443,320.00
$3,076,000.00
$0.00

$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

Preferred Stock w/ Exercised Warrants

$2,400,000.00

$651,000.00

$0.00

$0.00

$3,036,021.12

$733,037.33

$4,000,000.00

4,000

$1,000.00

$200,000.00

200

$15,319,000.00

15,319

$1,000.00

$450,000.00

450

$58,000,000.00

58,000

$1,000.00
$6,436,364.00

909,091

$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

$6,920,000.00

6,920

$1,000.00

$346,000.00

346

$14,000,000.00

14,000,000

$1.00

$5,000,000.00
$96,750.00
$11,513,250.00

5,000
100
11,900

$1,000.00
$967.50
$967.50

$2,003,250.00

459,459

($3,578,000.00)

Redeemed, in full; warrants not outstanding

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$9,993,000.00
$825,000.00

$9,993,000.00
$0.00

$975,831.00
$45,190.00

Full investment outstanding; warrants outstanding
Currently not collectible

Preferred Stock w/ Exercised Warrants

$6,920,000.00

$0.00

$8,235,040.33

Redeemed, in full; warrants not outstanding

($825,000.00)

Subordinated Debentures
Preferred Stock w/ Warrants

$14,000,000.00
$17,000,000.00

$0.00
$0.00

$14,913,299.33
$21,887,871.44

Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($3,250.00)
($386,750.00)

($116,100.00)
Preferred Stock w/ Exercised Warrants

$7,500,000.00

$0.00

$757,380.08

Currently not collectible

Preferred Stock w/ Exercised Warrants

$7,500,000.00

$0.00

$8,751,541.63

Redeemed, in full; warrants not outstanding

($7,500,000.00)

Preferred Stock w/ Exercised Warrants

$7,000,000.00

$0.00

$8,169,165.89

$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

Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

$10,103,000.00

$40,000,000.00

$24,000,000.00

$21,000,000.00

$25,000,000.00

$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

7,500

$1,000.00

$375,000.00

375

$7,000,000.00

280

$25,000.00

$350,000.00

35

$425,000.00

425

$1,000.00

$21,000.00

21

$12,000,000.00
$18,255,000.00

12,000
18,255

$1,000.00
$1,000.00
$540,000.00

287,134

$248,000.00

248

$1,800,000.00

609,687

$303,000.00

303

$140,000.00

462,963

$450,000.00

138,037

$1,575,000.00

611,650

$650,000.00

302,419

$155,000.00

155

$200,000.00

200

$1,300,000.00

158,472

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

Preferred Stock w/ Exercised Warrants

$7,500,000.00

$7,000,000.00

7,000

$1,000.00

$81,698,000.00

81,698

$1,000.00

$2,606,000.00
$7,497,000.00

2,606
7,497

$1,000.00
$1,000.00

$40,000,000.00

40,000

$1,000.00

$24,000,000.00

24,000

$1,000.00

$21,000,000.00

21,000

$1,000.00

$25,000,000.00

25,000

$1,000.00

Redeemed, in full; warrants not outstanding

Redeemed, in full; warrants not outstanding

Redeemed, in full; warrants not outstanding

Redeemed, in full; warrants not outstanding

Redeemed, in full; warrants not outstanding

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

$5,450,000.00

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

$1,000.00

($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
$50,000,000.00

42

FootNote
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
11

44,8,14
11

8
8,14

8,11,14,18,36

11

Institution Name
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.
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.

City
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
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

State
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
MO
NY
NY
NY
ME
ME
OH
OH
OH
MO
NC
NC
NC
MS
MS
MS
NJ
NJ
NJ
NJ
NJ

Date
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
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

Original Investment Type1
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

Original Investment
Amount
$3,250,000.00
$1,900,000.00

Total Cash Back2

Outstanding
Investment

Investment Status*
Amount

$0.00
$0.00

$4,214,202.31
$2,229,801.03

Capital Repayment / Disposition / Auction3,5
(Fee)4
Shares
Avg. Price

(Realized Loss) /
(Write-off)

Gain5

Warrant Proceeds
Amount

Shares

Redeemed, in full; warrants not outstanding
$3,250,000.00

3,250

$1,000.00

$608,170.50
$1,183,339.50

645
1,255

$942.90
$942.90

10,000

$918.50

$18,400,000.00

18,400

$1,000.00

$6,250,000.00
$18,750,000.00

6,250
18,750

$1,000.00
$1,000.00

$5,983,000.00

5,983

$1,000.00

$163,000.00

163

($36,829.50)
($71,660.50)

$70,095.00

95

($815,000.00)

$315,461.52

374

$256,257.00

253,666

$1,750,551.00

212,188

$299,000.00

299

$344,000.00

344

$49,100,000.00

23,562,994

$25,700.00

78

$1,200,000.00

138,490

$115,000.00

115

Sold, in full; warrants not outstanding

($17,915.11)
($7,084.89)
Preferred Stock w/ Exercised Warrants

$10,000,000.00

$0.00

$11,111,011.94

Sold, in full; warrants not outstanding

Preferred Stock w/ Warrants

$18,400,000.00

$0.00

$22,354,145.89

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$25,000,000.00

$0.00

$29,857,321.83

Redeemed, in full; warrants not outstanding

$9,185,000.00
($91,850.00)

Preferred Stock w/ Exercised Warrants

$5,983,000.00

$0.00

$7,119,793.05

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$4,000,000.00
$5,000,000.00

$0.00

$10,940,554.65

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$1,398,071,000.00

$0.00

$1,594,356,808.56

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$1,552,000.00

$0.00

$1,337,166.22

$9,000,000.00

9,000

$1,000.00

$1,398,071,000.00

1,398,071

$1,000.00

$1,008,800.00

1,552

$650.00

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
Preferred Stock w/ Warrants

$2,295,000.00
$6,000,000.00

$0.00
$0.00

$2,936,462.50
$6,453,067.00

$6,000,000.00

$0.00

$7,494,458.33

Redeemed, in full; warrants not outstanding

$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

$72,000,000.00

$0.00

$0.00

$81,476,093.61

$83,430,000.00

$1.00

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

$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

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$78,158,000.00

4,205,000

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

Preferred Stock w/ Warrants

$4,205,000.00
$90,000,000.00

Redeemed, in full; warrants not outstanding

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

$2,426,000.00
($1,312,000.00)

Preferred Stock w/ Warrants

$83,586,000.00

$0.00

$1,950,340.00

Currently not collectible
($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

$24,250,000.00

25,000

$970.00

$25,000,000,000.00

2,500,000

$10,000.00

$10,449,000.00

10,449

$1,000.00

$2,500,000,000.00

25,000

$100,000.00

Sold, in full; warrants outstanding
($750,000.00)

($242,500.00)
Subordinated Debentures w/ Exercised Warrants

$4,000,000.00

$0.00

$174,324.60

Currently not collectible

Preferred Stock w/ Warrants

$25,000,000,000.00

$0.00

$26,731,202,358.00

Redeemed, in full; warrants not outstanding

($4,000,000.00)

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

$10,449,000.00
$2,500,000,000.00

$0.00
$0.00

$12,423,046.75
$2,867,222,222.22

Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$470,000.00
$4,000,000.00

$470,000.00
$0.00

$119,390.00
$4,137,336.64

Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding

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

$3,308,000.00

4,000

$827.00

$4,451,000.00

4,451

$1,000.00

$20,000,000.00
$20,000,000.00
$19,000,000.00

20,000
20,000
19,000

$1,000.00
$1,000.00
$1,000.00

($692,000.00)

($25,000.00)

43

FootNote
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

8,45,14
8,14,18,44

11

44,8,14
56,8,14
8,44,14

Institution Name
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
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.
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

City
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
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
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

State
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
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
IL
MN
MN
UT
UT
UT
MI
MI
MI
MI
MA
MA
TN
TN
IL

Date
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
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
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

Original Investment Type1
Preferred Stock w/ Warrants

Preferred Stock w/ Exercised Warrants

Original Investment
Amount
$56,044,000.00

$3,000,000.00

Total Cash Back2

Outstanding
Investment

Investment Status*
Amount

$0.00

$0.00

$60,517,713.33

$2,932,162.50

Capital Repayment / Disposition / Auction3,5
(Fee)4
Shares
Avg. Price

(Realized Loss) /
(Write-off)

Gain5

Warrant Proceeds
Amount

Shares

Redeemed, in full; warrants not outstanding
$56,044,000.00

56,044

$1,000.00

$2,370,930.00

3,000

$790.30

$13,400,000.00

13,400

$1,000.00

$5,830,000.00

5,830

$1,000.00

$877,557.00

198,269

$104,375.00

150

$602,557.00

217,063

$292,000.00

292

Sold, in full; warrants not outstanding
($629,070.00)

($23,709.29)
($1,290.71)
Preferred Stock w/ Warrants

$13,400,000.00

$0.00

$14,527,390.33

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$5,830,000.00

$0.00

$6,731,961.06

Redeemed, in full; warrants not outstanding

Preferred Stock

$5,498,000.00

$0.00

$355,079.00

Currently not collectible
($5,498,000.00)

Preferred Stock w/ Exercised Warrants

$57,500,000.00

$0.00

$68,191,965.77

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$21,900,000.00

$0.00

$25,995,452.08

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants
Preferred Stock

$6,500,000.00
$5,645,000.00

$6,500,000.00
$0.00

$1,352,476.22
$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

$207,878.45

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

Preferred Stock w/ Exercised Warrants

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

$3,370,000.00
$13,795,000.00

$4,500,000.00
$57,000,000.00

$0.00
$0.00

$0.00
$0.00

$3,823,495.65
$16,146,467.87

$5,263,187.50
$62,949,121.28

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

3,370

$1,022.60

$3,455,000.00
$3,455,000.00
$6,885,000.00

3,455
3,455
6,885

$1,000.00
$1,000.00
$1,000.00

$690,000.00

690

$4,500,000.00

4,500

$1,000.00

$225,000.00

225

57,000

$931.10

$1,512,177.00

571,906

1,700

$1,000.00
$63,363.90

29,480
14,000
118,000

Redeemed, in full; warrants not outstanding

Sold, in full; warrants not outstanding

$1,700,000.00

$0.00

$1,829,711.12

($158,084.85)

$2,639,000.00

$0.00

$3,438,793.11

$76,195.70

Redeemed, in full; warrants not outstanding

Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($796,099.05)

($3,926,730.00)

Redeemed, in full; warrants not outstanding
$1,700,000.00

Subordinated Debentures w/ Exercised Warrants

($461,010.00)

Sold, in full; warrants not outstanding

$53,073,270.00
Preferred Stock w/ Warrants

($3,299,925.09)

$15,000,000.00

$10,538,990.00
Preferred Stock w/ Exercised Warrants

($328,846.12)

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
$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

$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

$1,715,000,000.00

$0.00

$1,944,772,916.66

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

$1,700,000.00
$196,000,000.00

$1,700,000.00
$0.00

$313,465.50
$229,613,072.00

Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$6,000,000.00

$0.00

$6,870,433.33

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$11,800,000.00
$9,698,000.00

$0.00

$24,460,674.81

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$21,000,000.00

$0.00

$31,631,120.56

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$3,500,000.00
$1,881,000.00
$3,510,000.00

$0.00
$0.00
$0.00

$4,150,815.03
$2,231,560.00
$4,110,668.47

Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding

44

FootNote

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

12,16

45,8,14
44,8,14
11

11,8,14
11,8,14

8,14

11,8,14
45

8
59,11

8,14

11,16

15,11,14
8,42
8
15,11,14
44

Institution Name
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
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.
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.

City
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
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
WEST POINT
WEST POINT
CHICAGO
CHICAGO
LOS ANGELES
MADISON
MADISON
NEWPORT
NEWPORT

State
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
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
NE
NE
IL
IL
CA
MO
MO
NH
NH

Date
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
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
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

Original Investment Type1

Original Investment
Amount

Total Cash Back2

Outstanding
Investment

Investment Status*
Amount

Capital Repayment / Disposition / Auction3,5
(Fee)4
Shares
Avg. Price

$3,510,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$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

$0.00

$8,806,297.80

Sold, in full; warrants not outstanding

(Realized Loss) /
(Write-off)

3,510

$1,000.00

29
7,671

$900.10
$900.10

($2,897.10)
($766,332.90)

45,000

$981.20

($847,350.00)

$23,718,541.95

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

$26,102.90
$6,904,667.10

Gain5

Warrant Proceeds
Amount

Shares

$176,000.00

176

$369,948.00

385

$2,087,368.00

771,429

$58,479.20

73,099

$301,001.00

104,101

$509,000.00

509

$206,557.00

104,384

$161,833.05

261

$35,000.00

35

$1,000,000.00

198,675

$500,000.00

500

$92,000.00

92

($69,307.70)
Preferred Stock w/ Warrants

$45,000,000.00

$0.00

$53,406,628.25

Sold, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$71,526,000.00

$0.00

$27,172,726.72

Sold, in full; warrants not outstanding

$44,152,650.00

$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/ Warrants

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

$10,189,000.00
$20,000,000.00

$5,222,000.00
$84,784,000.00

$0.00
$0.00

$0.00
$0.00

$11,206,989.34
$22,834,334.78

$3,570,137.55
$824,288.89

($662,289.75)

Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding

Sold, in full; warrants not outstanding
($2,088,800.00)

Currently not collectible
($84,784,000.00)

Preferred Stock w/ Exercised Warrants

$700,000.00

$0.00

$763,294.14

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$16,000,000.00

$0.00

$18,933,333.33

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$10,000,000.00
$7,260,000.00

$0.00
$0.00

$12,844,226.31
$4,296,561.73

$5,116,000.00

$0.00

$5,875,583.89

Redeemed, in full; warrants not outstanding

$5,500,000.00

$0.00

$5,956,041.66

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$6,785,000.00

$0.00
$0.00

$2,339,348.60
$4,808,121.00

$0.00

$15,703,166.66

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$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

Preferred Stock w/ Exercised Warrants

$10,000,000,000.00

$13,000,000.00
$6,216,000.00

$3,300,000.00

$0.00
$0.00

$0.00
$0.00

$0.00

$5,623,958.50
$11,268,055,555.11

$15,429,122.22
$7,803,377.38

$4,069,975.55

$10,000,000.00

10,000

$1,000.00

$2,904,000.00

7,260

$400.00

$5,116,000.00

5,116

$1,000.00

$5,500,000.00

5,500

$1,000.00

$1,834,000.00

1,834

$1,000.00

$4,545,202.00

2,272,601

$2.00

$14,700,000.00

14,700

$1,000.00
$260,000.00

132,353

$9,516,000.00

9,516

$1,000.00

$476,000.00

476

$4,734,000.00

4,734

$1,000.00

$237,000.00

237

$10,000,000,000.00

10,000,000

$1,000.00
$950,000,000.00

65,245,759

$13,000,000.00

13,000

$1,000.00

$650,000.00

650

$1,100,000.00
$5,116,000.00

1,100
5,116

$1,000.00
$1,000.00

$311,000.00

311

$3,267,000.00

3,300

$990.00

$140,034.65

165

$386,000.00

386

$900,194.00

625,135

$2,189,317.20

521,266

$342,841.95
$502,606.30

500
733

$1,000,000.00

735,294

$100,000.00

100,000

$117,000.00

117,000

($4,356,000.00)

Sold, in full; warrants not outstanding

$14,700,000.00

$4,734,000.00

$1,000.00

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

Preferred Stock w/ Exercised Warrants

$1,000.00

Sold, in full; warrants not outstanding

Preferred Stock

$1,834,000.00

700
16,000

Redeemed, in full; warrants not outstanding

Preferred Stock

Preferred Stock w/ Exercised Warrants

$700,000.00
$16,000,000.00

($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

Sold, in full; warrants not outstanding
($33,000.00)

($25,000.00)
Preferred Stock w/ Exercised Warrants

$7,723,000.00

$0.00

$9,206,289.90

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$32,382,000.00

$0.00

$37,608,789.00

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$4,000,000.00

$0.00

$956,066.67

$7,723,000.00

7,723

$1,000.00

$32,382,000.00

32,382

$1,000.00

$600,000.00

4,000

$150.00

$67,000,000.00

67,000

$1,000.00

$2,438,182.50
$16,064,996.94

3,250
21,414

$750.20
$750.20

$150,000,000.00

150,000

$1,000.00

$2,000,000.00

2,000,000

$1.00

$2,281,458.05

6,880

$331.60

$2,330,000.00

2,330,000

$1.00

$10,000,000.00

10,000

$1,000.00

Sold, in full; warrants not outstanding

Preferred Stock w/ Warrants

$67,000,000.00

$0.00

$81,249,317.20

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$24,664,000.00

$0.00

$21,471,087.90

Sold, in full; warrants not outstanding

($3,400,000.00)

($811,817.50)
($5,349,003.06)

($185,031.79)
Preferred Stock w/ Warrants

$150,000,000.00

$0.00

$167,958,333.33

Redeemed, in full; warrants not outstanding

Subordinated Debentures w/ Exercised Warrants

$2,000,000.00

$0.00

$2,276,190.00

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$6,880,000.00

$0.00

$2,613,714.23

Sold, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants

$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

Preferred Stock w/ Warrants

$10,000,000.00

$0.00

$12,041,266.67

Redeemed, in full; warrants not outstanding

($4,598,541.95)

45

FootNote

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

11

Institution Name

City

State

Date

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

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

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

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

ONE UNITED BANK
ONEFINANCIAL CORPORATION
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 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.
PARK NATIONAL CORPORATION
PARK NATIONAL CORPORATION
PARK NATIONAL CORPORATION
PARKE BANCORP, INC.

BOSTON
LITTLE ROCK
SALEM
SALEM
SALEM
ORANGE
ORANGE
SANTA BARBARA
SANTA BARBARA
SANTA BARBARA
LOS ANGELES
LOS ANGELES
SAN FRANCISCO
SAN FRANCISCO
SAN CLEMENTE
SAN CLEMENTE
LOS ANGELES
SEATTLE
SEATTLE
MADISON
MADISON
MADISON
MADISON
MADISON
NEWARK
NEWARK
NEWARK
SEWELL

MA
AR
OR
OR
OR
TX
TX
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
WA
WA
WI
WI
WI
WI
WI
OH
OH
OH
NJ

19-Dec-08
5-Jun-09
24-Apr-09
18-Oct-13
21-Oct-13
1-May-09
5-Oct-11
21-Nov-08
23-Feb-11
30-Nov-12
19-Dec-08
19-Nov-13
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
23-Dec-08
25-Apr-12
2-May-12
30-Jan-09

Original Investment Type1

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

Original Investment
Amount
$267,274,000.00
$52,372,000.00

Total Cash Back2

Outstanding
Investment

Investment Status*
Amount

$0.00
$0.00

$346,794,005.83
$70,087,060.35

Capital Repayment / Disposition / Auction3,5
(Fee)4
Shares
Avg. Price

(Realized Loss) /
(Write-off)

Gain5

Warrant Proceeds
Amount

Shares

$737,100.00

184,275

$13,364,000.00

13,364

$7,778,782.65

2,567,255

$748,000.00

748

$600,000.00

99,157

$95,000.00

67,958

$67,000.00

67

$87,000,000.00

3,824,624

$500,000.00

500

$587,634.55

525

$100,000.00

100

$122,887.50

163,830

$560,000.00

350,346

$430,797.00

190,427

$104,000.00

104

$225,000.00

141,892

$1,200,000.00

813,008

$106,891.00

815,339

$159,886.25

141

$11,167.20
$152,280.00

11
150

$305,000.00

305,000

$393,120.78

15,120

Redeemed, in full; warrants not outstanding
$267,274,000.00

267,274

$1,000.00

$2,709,121.50
$48,641,624.50

2,763
49,609

$980.50
$980.50

Sold, in full; warrants not outstanding
($53,878.50)
($967,375.50)

($513,507.46)
Preferred Stock w/ Exercised Warrants

$14,964,000.00

$0.00

$17,904,842.66

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$10,200,000.00

$0.00

$12,294,583.33

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$4,227,000.00

$0.00

$5,159,181.33

$1,341,000.00
$1,230,000.00

$0.00

$2,987,782.33

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants
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

$10,500,000.00

$0.00

$11,891,847.50

14,964

$1,000.00

$10,200,000.00

10,200

$1,000.00

$4,227,000.00

4,227

$1,000.00

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

Preferred Stock w/ Exercised Warrants

$14,964,000.00

$2,571,000.00

2,571

$1,000.00

$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

$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

$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

Sold, in full; warrants not outstanding
$64,220.00
$272,935.00

($108,371.55)
Preferred Stock w/ Exercised Warrants

$1,992,000.00

$0.00

$2,380,393.00

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$7,700,000.00

$0.00

$8,592,336.00

Sold, in full; warrants not outstanding
($604,450.00)

($70,955.50)
Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

$13,500,000.00

$38,263,000.00

$2,080,000.00
$7,000,000.00

$100,000,000.00

$73,000,000.00

$0.00

$0.00

$0.00
$0.00

$0.00

$0.00

$15,871,250.00

$40,521,918.61

$2,654,758.89
$7,438,888.89

$102,713,888.89

$31,423,238.49

Redeemed, 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
($45,343,130.00)
($747,576.00)
($1,103,920.56)

($258,053.73)
Preferred Stock w/ Exercised Warrants

$2,816,000.00

$0.00

$3,403,603.15

Sold, in full; warrants not outstanding
$1,239,000.00
$1,577,000.00

$177,053.10
$225,353.30

($25,000.00)
Preferred Stock w/ Exercised Warrants

$5,500,000.00

$0.00

$0.00

Currently not collectible

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
$4,166,801.92

Full investment outstanding; warrants not outstanding
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding

Subordinated Debentures w/ Exercised Warrants

$6,100,000.00

$0.00

$7,662,314.53

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$180,634,000.00

$0.00

$168,483,804.20

Sold, in full; warrants not outstanding

($5,500,000.00)

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$16,200,000.00
$11,600,000.00

$0.00
$0.00

$21,212,138.70
$13,821,963.89

$100,000.00
$3,116,000.00

100
3,116

$1,000.00
$1,000.00

$6,100,000.00

6,100,000

$1.00

$14.75
$165,983,272.00

1
3,608,332

$29.50
$46.00

$16,200,000.00

16,200

$1,215.20

$11,600,000.00

11,600

$1,000.00

($10.28)
($14,650,702.97)

Sold, in full; warrants not outstanding
$3,485,754.00

$1,168,319.70

810

$580,000.00

580

$88,059.01
$482,779.69
$325,200.40

114
625
421

$2,842,400.00

227,376

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$4,120,000.00

$0.00

$18,087.94

Exited bankruptcy/receivership

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

($4,120,000.00)

$6,500,000.00

6,500

$1,000.00

$1,676,654.00
$4,048,506.00
$11,216,640.00

2,296
5,544
15,360

$730.20
$730.20
$730.20

100,000

$1,000.00

($619,346.00)
($1,495,494.00)
($4,143,360.00)

($169,418.00)
Preferred Stock w/ Warrants

$100,000,000.00

$0.00

$119,536,844.44

Redeemed, in full; warrants not outstanding
$100,000,000.00

Preferred Stock w/ Warrants

$16,288,000.00

$0.00

$16,365,554.76

Sold, in full; warrants not outstanding

46

FootNote

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

Institution Name
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
PREMIERWEST BANCORP
PREMIERWEST BANCORP
PRESIDIO BANK
PRESIDIO BANK
PRESIDIO BANK
PRESIDIO BANK
PRINCETON NATIONAL BANCORP, INC.
PRINCETON NATIONAL BANCORP, INC.

City
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
MEDFORD
MEDFORD
SAN FRANCISCO
SAN FRANCISCO
SAN FRANCISCO
SAN FRANCISCO
PRINCETON
PRINCETON

State
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
OR
OR
CA
CA
CA
CA
IL
IL

Date
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
13-Feb-09
9-Apr-13
20-Nov-09
10-Dec-12
11-Dec-12
11-Jan-13
23-Jan-09
2-Nov-12

Original Investment Type1

Original Investment
Amount

Total Cash Back2

Outstanding
Investment

Investment Status*
Amount

Capital Repayment / Disposition / Auction3,5
(Fee)4
Shares
Avg. Price

$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

$12,325,000.00

12,325

$1,500,000.00

1,500

$3,000,000.00

3,000

$1,000.00

(Realized Loss) /
(Write-off)

Gain5

Warrant Proceeds
Amount

Shares

($153,927.72)
($4,421,208.60)

($117,128.64)
Preferred Stock w/ Warrants

$31,762,000.00

$0.00

$36,570,413.89

$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

$633,000.00

633

$122,225.00

195

$1,000.00

$616,000.00

616

$1,000.00

$71,000.00

71

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
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

($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

$23,750,000.00
$71,250,000.00

23,750
71,250

$1,000.00
$1,000.00

$87,631,000.00

87,631

$1,000.00

$120,000.00
$2,380,000.00

120,000
2,380,000

$1.00
$1.00

$180.00
$3,570.00

11,949

$1,091.10

$1,088,673.39

$755,000.00

267,455

$4,382,000.00

4,382

$90,582.47

107,000

$234,500.00

237,712

$478,590.75

317,000

$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

$41,400,000.00

41,400

$1,000.00

$262,635.10
$8,887,232.90

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
Preferred Stock w/ Warrants

$4,000,000.00
$41,400,000.00

$4,000,000.00
$0.00

$54,500.00
$42,446,500.00

Full investment outstanding; warrants outstanding
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
($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
($25,083,000.00)

47

FootNote
8,18
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

Institution Name
PRIVATE BANCORPORATION, INC.
PRIVATE BANCORPORATION, INC.
PRIVATEBANCORP, INC.
PRIVATEBANCORP, INC.
PRIVATEBANCORP, INC.
PROVIDENCE BANK
PROVIDENCE BANK
PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION
PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION
PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION
PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION
PROVIDENT COMMUNITY BANCSHARES, INC.
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

City
MINNEAPOLIS
MINNEAPOLIS
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

State
MN
MN
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

Date
27-Feb-09
29-Dec-09
30-Jan-09
24-Oct-12
14-Nov-12
2-Oct-09
15-Sep-11
14-Nov-08
21-Aug-12
20-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

Original Investment Type1

Original Investment
Amount

Total Cash Back2

Outstanding
Investment

Investment Status*
Amount

$8,222,000.00

$498,859.56

Full investment outstanding; warrants outstanding

Preferred Stock w/ Warrants

$4,960,000.00
$3,262,000.00
$243,815,000.00

$0.00

$290,552,132.92

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$4,000,000.00

$0.00

$4,596,311.80

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

Preferred Stock w/ Warrants

$151,500,000.00

$0.00

$199,100,113.41

Capital Repayment / Disposition / Auction3,5
(Fee)4
Shares
Avg. Price

$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

(Realized Loss) /
(Write-off)

Gain5

Warrant Proceeds
Amount

Shares

$1,225,000.00

645,013

$175,000.00

175

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

$253,383.25

268

$3,800,000.00

3,800

$1,000.00

$190,000.00

190

$2,995,000.00

2,995

$1,000.00

$150,000.00

150

Sold, in full; warrants not outstanding
$28,893,744.00

Preferred Stock w/ Warrants

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$38,237,000.00

$6,229,000.00
$8,900,000.00

$0.00

$0.00
$0.00

$44,286,567.33

$7,190,593.33
$9,139,863.61

($433,406.16)

($3,644,256.00)

Redeemed, in full; warrants not outstanding

Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($826,721.00)

($80,732.79)
Preferred Stock w/ Exercised Warrants

$3,800,000.00

$0.00

$4,510,626.39

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$2,995,000.00

$0.00

$3,570,810.92

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants
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

$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
4,500,000

$1.00
$1.00

$750,000.00

750,000

$527,361.00

517,012

$205,000.00

57,671

$4,450,000.00

651,547

$98,251.45

145

$200,000.00

200

$1,400,000.00

303,083

Sold, in full; warrants not outstanding
($20,025.00)
($92,475.00)

($13,875.00)
($11,125.00)
Preferred Stock w/ Warrants

$3,500,000,000.00

$0.00

$4,138,055,555.55

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$40,000,000.00

$0.00

$45,820,950.80

Sold, in full; warrants not outstanding
$196,000.00

($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

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

$1,549,000.00
$8,816,000.00

$1,549,000.00
$0.00

$0.00
$10,100,960.44

Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$83,094,000.00

$0.00

$95,137,868.33

Redeemed, in full; warrants not outstanding

$8,966,340.00

($1,933,660.00)

($89,663.40)

$10,500,000.00
$4,500,000.00

($25,000,000.00)

$108,676,000.00

Preferred Stock w/ Exercised Warrants

$2,900,000.00

$0.00

$2,697,208.51

108,676

$1,000.00

$8,816,000.00

8,816

$1,000.00

$41,547,000.00
$41,547,000.00

41,547
41,547

$1,000.00
$1,000.00

$2,465,029.00

2,900

$850.00

($434,971.00)

($1,200,000.00)

Sold, in full; warrants not outstanding
($25,000.00)

Preferred Stock w/ Warrants

$4,000,000.00

$0.00

$3,131,111.11

Sold, in full; warrants not outstanding

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

Preferred Stock w/ Warrants

$64,779,000.00

$50,000,000.00

$0.00

$0.00

$67,294,638.84

$49,045,470.38

$2,800,000.00

4,000

$700.00

$4,000,000.00

4,000

$1,000.00

$64,779,000.00

64,779

$1,000.00

2,000

$20,510.00

$1,800,000.00

1,800

$1,000.00

$174,537.72
$1,315,959.00

252
1,900

$692.60
$692.60

Redeemed, in full; warrants not outstanding

Sold, in full; warrants not outstanding
$41,020,000.00

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$1,800,000.00
$2,152,000.00

$0.00
$0.00

$2,153,780.00
$1,983,756.24

($615,300.00)

($8,980,000.00)
$55,000.00

589,623

$90,000.00

90

$69,186.80

108

Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($77,462.28)
($584,041.00)

($14,904.97)
($10,095.03)
Preferred Stock w/ Exercised Warrants

$5,803,000.00

$0.00

$6,888,017.86

Redeemed, in full; warrants not outstanding

48

FootNote

44,8,14
11,8,14,36
11,36

44,8,14
15,14

11

15,11,14
11

11

8,32,97
8,14

8,14

11,9,36

8,45,14
44,8,14
44
8
11

44,8,14
8
8
74,8,14
11,61
15,17,44
8,11

8,36,11
12,16

15,11,14
15,17,45
11

11

11

31

Institution Name
SECURITY BUSINESS BANCORP
SECURITY CALIFORNIA BANCORP
SECURITY CALIFORNIA BANCORP
SECURITY CAPITAL CORPORATION
SECURITY CAPITAL CORPORATION
SECURITY FEDERAL CORPORATION
SECURITY FEDERAL CORPORATION
SECURITY FEDERAL CORPORATION
SECURITY STATE BANCSHARES, INC.
SECURITY STATE BANCSHARES, INC.
SECURITY STATE BANK HOLDING COMPANY
SECURITY STATE BANK HOLDING COMPANY
SECURITY STATE BANK HOLDING COMPANY
SEVERN BANCORP, INC.
SEVERN BANCORP, INC.
SEVERN BANCORP, INC.
SHORE BANCSHARES, INC.
SHORE BANCSHARES, INC.
SHORE BANCSHARES, INC.
SIGNATURE BANCSHARES, INC.
SIGNATURE BANCSHARES, INC.
SIGNATURE BANK
SIGNATURE BANK
SIGNATURE BANK
SOMERSET HILLS BANCORP
SOMERSET HILLS BANCORP
SOMERSET HILLS BANCORP
SONOMA VALLEY BANCORP
SONOMA VALLEY BANCORP
SOUND BANKING COMPANY
SOUND BANKING COMPANY
SOUND BANKING COMPANY
SOUTH FINANCIAL GROUP, INC./ CAROLINA FIRST BANK
SOUTH FINANCIAL GROUP, INC./ CAROLINA FIRST BANK
SOUTHCREST FINANCIAL GROUP, INC.
SOUTHCREST FINANCIAL GROUP, INC.
SOUTHCREST FINANCIAL GROUP, INC.
SOUTHCREST FINANCIAL GROUP, INC.
SOUTHERN BANCORP, INC.
SOUTHERN BANCORP, INC.
SOUTHERN COMMUNITY FINANCIAL CORP.
SOUTHERN COMMUNITY FINANCIAL CORP.
SOUTHERN FIRST BANCSHARES, INC.
SOUTHERN FIRST BANCSHARES, INC.
SOUTHERN FIRST BANCSHARES, INC.
SOUTHERN HERITAGE BANCSHARES, INC.
SOUTHERN HERITAGE BANCSHARES, INC.
SOUTHERN ILLINOIS BANCORP, INC.
SOUTHERN ILLINOIS BANCORP, INC.
SOUTHERN MISSOURI BANCORP, INC.
SOUTHERN MISSOURI BANCORP, INC.
SOUTHFIRST BANCSHARES, INC.
SOUTHWEST BANCORP, INC.
SOUTHWEST BANCORP, INC.
SOUTHWEST BANCORP, INC.
SOVEREIGN BANCSHARES, INC.
SOVEREIGN BANCSHARES, INC.
SPIRIT BANKCORP, INC.
SPIRIT BANKCORP, INC.
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

City
SAN DIEGO
RIVERSIDE
RIVERSIDE
BATESVILLE
BATESVILLE
AIKEN
AIKEN
AIKEN
CHARLESTON
CHARLESTON
JAMESTOWN
JAMESTOWN
JAMESTOWN
ANNAPOLIS
ANNAPOLIS
ANNAPOLIS
EASTON
EASTON
EASTON
DALLAS
DALLAS
NEW YORK
NEW YORK
NEW YORK
BERNARDSVILLE
BERNARDSVILLE
BERNARDSVILLE
SONOMA
SONOMA
MOREHEAD CITY
MOREHEAD CITY
MOREHEAD CITY
GREENVILLE
GREENVILLE
FAYETTEVILLE
FAYETTEVILLE
FAYETTEVILLE
FAYETTEVILLE
ARKADELPHIA
ARKADELPHIA
WINSTON-SALEM
WINSTON-SALEM
GREENVILLE
GREENVILLE
GREENVILLE
CLEVELAND
CLEVELAND
CARMI
CARMI
POPLAR BLUFF
POPLAR BLUFF
SYLACAUGA
STILLWATER
STILLWATER
STILLWATER
DALLAS
DALLAS
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

State
CA
CA
CA
MS
MS
SC
SC
SC
MO
MO
ND
ND
ND
MD
MD
MD
MD
MD
MD
TX
TX
NY
NY
NY
NJ
NJ
NJ
CA
CA
NC
NC
NC
SC
SC
GA
GA
GA
GA
AR
AR
NC
NC
SC
SC
SC
TN
TN
IL
IL
MO
MO
AL
OK
OK
OK
TX
TX
OK
OK
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

Date
14-Jul-11
9-Jan-09
15-Sep-11
26-Jun-09
29-Sep-10
19-Dec-08
29-Sep-10
31-Jul-13
20-Feb-09
22-Sep-11
1-May-09
24-Jun-13
26-Jul-13
21-Nov-08
25-Sep-13
29-Oct-13
9-Jan-09
15-Apr-09
16-Nov-11
26-Jun-09
15-Dec-10
12-Dec-08
31-Mar-09
16-Mar-10
16-Jan-09
20-May-09
24-Jun-09
20-Feb-09
20-Aug-10
9-Jan-09
13-Nov-12
11-Jan-13
5-Dec-08
30-Sep-10
17-Jul-09
8-Mar-13
11-Mar-13
9-Apr-13
16-Jan-09
6-Aug-10
5-Dec-08
1-Oct-12
27-Feb-09
3-Jul-12
25-Jul-12
15-May-09
8-Sep-11
23-Jan-09
25-Aug-11
5-Dec-08
21-Jul-11
12-Jun-09
5-Dec-08
8-Aug-12
29-May-13
13-Mar-09
22-Sep-11
27-Mar-09
21-Oct-13
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

Original Investment Type1

Preferred Stock w/ Exercised Warrants

Original Investment
Amount
$6,815,000.00

Total Cash Back2

Outstanding
Investment

Investment Status*
Amount

$0.00

$8,152,698.33

$17,388,000.00

$0.00

$19,063,111.00

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$18,000,000.00

$0.00

$19,650,000.00

Redeemed, in full; warrants not outstanding

Subordinated Debentures w/ Exercised Warrants

$12,500,000.00
$10,750,000.00

$0.00
$0.00

$14,888,679.86
$14,543,635.13

(Realized Loss) /
(Write-off)

Gain5

Warrant Proceeds
Amount

Shares

$5,803,000.00

5,803

$1,000.00

$290,000.00

290

$6,815,000.00

6,815

$1,000.00

$341,000.00

341

$17,388,000.00

17,388

$1,000.00

$522,000.00

522

$18,000,000.00

18,000

$1,000.00
$50,000.00

137,966

$12,500,000.00

12,500

$1,000.00

$10,750,000.00

10,750,000

$1.17

23,393

$998.90

$25,000,000.00

25,000

$1,000.00

$1,700,000.00

1,700,000

$1.00

$120,000,000.00

120,000

$1,000.00

$7,414,000.00

7,414

$1,000.00

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

Preferred Stock w/ Exercised Warrants

Capital Repayment / Disposition / Auction3,5
(Fee)4
Shares
Avg. Price

Redeemed, in full; warrants not outstanding
$625,000.00

625

$720,368.55

538,000

$25,000.00

172,970

$85,000.00

85,000

$11,150,939.74

595,829

$275,000.00

163,065

Sold, in full; warrants not outstanding
$1,784,607.50

($125,346.08)
Preferred Stock w/ Warrants

$23,393,000.00

$0.00

$26,915,463.85

Sold, in full; warrants outstanding
$23,367,267.70

($25,732.30)

($233,672.68)
Preferred Stock w/ Warrants

$25,000,000.00

$0.00

$25,358,333.33

Redeemed, in full; warrants not outstanding

Subordinated Debentures w/ Exercised Warrants

$1,700,000.00

$0.00

$1,994,587.59

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

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

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

$11,000,000.00

11,000

$1,000.00

$42,750,000.00

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

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
$15,638,296.00

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

$4,862,000.00
$5,000,000.00
$9,550,000.00

$0.00
$0.00
$0.00

$5,718,111.14
$5,955,472.22
$10,804,763.89

Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants outstanding

$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

$11,900,075.00

$3,000,000.00
$60,000,000.00

$3,000,000.00
$0.00

$763,908.00
$75,757,163.03

Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$36,842,000.00

$0.00

$42,414,352.50

Redeemed, in full; warrants outstanding

Subordinated Debentures w/ Exercised Warrants

$1,697,000.00

$0.00

$2,030,299.18

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$50,000,000.00

$0.00

$58,008,472.23

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

Subordinated Debentures w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

$15,000,000.00
$2,000,000,000.00

$24,900,000.00
$11,019,000.00
$30,000,000.00

$42,000,000.00

$125,198,000.00

$303,000,000.00

$0.00
$0.00

$0.00
$0.00
$0.00

$0.00

$0.00

$0.00

$17,080,708.67
$2,123,611,111.12

$31,495,442.29
$13,078,672.60
$37,191,875.00

$47,869,108.33

$130,542,485.91

$121,757,209.63

$911,000.00

911

$638,325.00

1,500

Sold, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

Preferred Stock w/ Exercised Warrants

($1,660,704.00)

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

Preferred Stock w/ Exercised Warrants

($234,574.44)

($21,000,000.00)

$3,000,000.00

$1,697,000.00

1,697,000

$1.00

$51,000.00

51,000

$12,500,000.00
$37,500,000.00

12,500
37,500

$1,000.00
$1,000.00

$2,500,000.00

250

$15,000,000.00

15,000

$1,000.00

$750,000.00

750

$2,000,000,000.00

20,000

$100,000.00
$60,000,000.00

2,788,104

$24,900,000.00

24,900,000

$1.00

$1,245,000.00

1,245,000

$11,019,000.00

11,019,000

$1.00

$331,000.00

331,000

$7,500,000.00
$22,500,000.00

7,500
22,500

$1,000.00
$1,000.00
$2,920,000.00

302,623

$42,000,000.00

42,000

$1,000.00
$945,775.00

516,817

$125,198,000.00

125,198

$1,000.00
$2,857,914.52

2,615,557

5,738,637

$20.00

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

Redeemed, in full; warrants not outstanding

Redeemed, in full; warrants not outstanding

Sold, in full; warrants not outstanding
$114,772,740.00

($1,434,659.25)

($188,227,260.00)

49

FootNote

44

11,8,14

8,14

15
44

11

11

24,49,97
11,8,14
11

11,8,14
12,16

15,44,14
11
8

15,17,45
8,97
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

Institution Name
STERLING FINANCIAL CORPORATION
STEWARDSHIP FINANCIAL CORPORATION
STEWARDSHIP FINANCIAL CORPORATION
STEWARDSHIP FINANCIAL CORPORATION
STOCKMENS FINANCIAL CORPORATION
STOCKMENS FINANCIAL CORPORATION
STOCKMENS FINANCIAL CORPORATION
STONEBRIDGE FINANCIAL CORP.
STONEBRIDGE FINANCIAL CORP.
STONEBRIDGE FINANCIAL CORP.
STONEBRIDGE FINANCIAL CORP.
SUBURBAN ILLINOIS BANCORP, INC.
SUMMIT STATE BANK
SUMMIT STATE BANK
SUMMIT STATE BANK
SUN BANCORP, INC.
SUN BANCORP, INC.
SUN BANCORP, INC.
SUNTRUST BANKS, INC.
SUNTRUST BANKS, INC.
SUNTRUST BANKS, INC.
SUNTRUST BANKS, INC.
SUPERIOR BANCORP INC.
SUPERIOR BANCORP INC.
SURREY BANCORP
SURREY BANCORP
SUSQUEHANNA BANCSHARES, INC.
SUSQUEHANNA BANCSHARES, INC.
SUSQUEHANNA BANCSHARES, INC.
SUSQUEHANNA BANCSHARES, INC.
SV FINANCIAL, INC.
SV FINANCIAL, INC.
SVB FINANCIAL GROUP
SVB FINANCIAL GROUP
SVB FINANCIAL GROUP
SWORD FINANCIAL CORPORATION
SWORD FINANCIAL CORPORATION
SYNOVUS FINANCIAL CORP.
SYNOVUS FINANCIAL CORP.
SYRINGA BANCORP
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

City
SPOKANE
MIDLAND PARK
MIDLAND PARK
MIDLAND PARK
RAPID CITY
RAPID CITY
RAPID CITY
WEST CHESTER
WEST CHESTER
WEST CHESTER
WEST CHESTER
ELMHURST
SANTA ROSA
SANTA ROSA
SANTA ROSA
VINELAND
VINELAND
VINELAND
ATLANTA
ATLANTA
ATLANTA
ATLANTA
BIRMINGHAM
BIRMINGHAM
MOUNT AIRY
MOUNT AIRY
LITITZ
LITITZ
LITITZ
LITITZ
STERLING
STERLING
SANTA CLARA
SANTA CLARA
SANTA CLARA
HORICON
HORICON
COLUMBUS
COLUMBUS
BOISE
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

State
WA
NJ
NJ
NJ
SD
SD
SD
PA
PA
PA
PA
IL
CA
CA
CA
NJ
NJ
NJ
GA
GA
GA
GA
AL
AL
NC
NC
PA
PA
PA
PA
IL
IL
CA
CA
CA
WI
WI
GA
GA
ID
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

Date
19-Sep-12
30-Jan-09
1-Sep-11
26-Oct-11
6-Feb-09
12-Jan-11
16-Mar-11
23-Jan-09
26-Mar-13
27-Mar-13
9-Apr-13
19-Jun-09
19-Dec-08
4-Aug-11
14-Sep-11
9-Jan-09
8-Apr-09
27-May-09
14-Nov-08
31-Dec-08
30-Mar-11
28-Sep-11
5-Dec-08
15-Apr-11
9-Jan-09
29-Dec-10
12-Dec-08
21-Apr-10
22-Dec-10
19-Jan-11
10-Apr-09
31-Aug-11
12-Dec-08
23-Dec-09
16-Jun-10
8-May-09
15-Sep-11
19-Dec-08
26-Jul-13
16-Jan-09
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

Original Investment Type1

Preferred Stock w/ Warrants

Preferred Stock w/ Exercised Warrants

Preferred Stock w/ Exercised Warrants

Original Investment
Amount
$10,000,000.00

$15,568,000.00

$10,973,000.00

Total Cash Back2

Outstanding
Investment

Investment Status*
Amount

$0.00

$0.00

$0.00

$11,400,453.22

$18,101,553.84

$2,652,816.96

Capital Repayment / Disposition / Auction3,5
(Fee)4
Shares
Avg. Price

(Realized Loss) /
(Write-off)

Gain5

Warrant Proceeds
Amount

Shares

$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

$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

$6,820,000.00

354,058

$682,000.00

682,000

$9,839,273.00

1,462,647

$292,000.00

292,000

$9,449,980.56

3,199,988

$100,000.00

100

$19,218.87
$124,922.63

20
130

$6,559,066.21

758,086

Redeemed, in full; warrants not outstanding
$10,000,000.00

10,000

$1,000.00

$4,000,000.00
$11,568,000.00

4,000
11,568

$1,000.00
$1,000.00

$1,796,209.03
$107,935.66

10,351
622

$173.50
$173.50

$8,500,000.00

8,500

$1,000.00

$89,310,000.00

89,310

$1,000.00

Redeemed, in full; warrants not outstanding

Sold, in full; warrants not outstanding
($8,554,790.97)
($514,064.34)

($25,000.00)
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants

$15,000,000.00
$8,500,000.00

$15,000,000.00
$0.00

$2,083,520.25
$9,930,625.00

Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$89,310,000.00

$0.00

$92,513,970.83

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$3,500,000,000.00
$1,350,000,000.00

$0.00

$5,448,052,772.51

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$69,000,000.00

$0.00

$4,983,333.33

Currently not collectible

$4,850,000,000.00

48,500

$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

Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants

$4,000,000.00
$235,000,000.00

$13,644,000.00
$967,870,000.00

$0.00
$0.00

$0.00
$0.00

$4,721,382.89
$253,929,027.78

$17,019,233.91
$1,190,614,526.39

$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

Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants outstanding

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

$8,000,000.00
$104,823,000.00

$8,000,000.00
$0.00

$253,122.22
$120,845,170.80

Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding

Subordinated Debentures w/ Exercised Warrants

$9,720,000.00

$0.00

$11,611,381.34

Redeemed, in full; warrants not outstanding

$93,659,350.50

($1,404,890.26)

$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

$361,172,000.00

361,172

$1,000.00

$2,000,000.00

2,000

$1,000.00

Currently not collectible
($30,000,000.00)

Preferred Stock w/ Exercised Warrants

$3,000,000.00

$0.00

$3,331,713.17

Sold, in full; warrants not outstanding
$298,000.00
$2,702,000.00

298
2,702

$1,022.10
$1,022.10

$6,588.78
$59,741.22

$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

($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

50

FootNote
11,8,14
11

8,44,14
8,14

11

44,8,14
8,14

8,18,21,44

8,21

8,47,97

11,8,14
8
45

8

44,8,14
44,8,14
8,14

11,8,9
11,8
8,14,18

11

44,8,14
11

8
44,8,14
22,97
12,16

8,14,18,44,45

8,17,11

12,16,25

8

Institution Name
THE FREEPORT STATE BANK
THE FREEPORT STATE BANK
THE HARTFORD FINANCIAL SERVICES GROUP, INC.
THE HARTFORD FINANCIAL SERVICES GROUP, INC.
THE HARTFORD FINANCIAL SERVICES GROUP, INC.
THE LANDRUM COMPANY
THE LANDRUM COMPANY
THE LITTLE BANK, INCORPORATED
THE LITTLE BANK, INCORPORATED
THE LITTLE BANK, INCORPORATED
THE PNC FINANCIAL SERVICES GROUP, INC.
THE PNC FINANCIAL SERVICES GROUP, INC.
THE PNC FINANCIAL SERVICES GROUP, INC.
THE PRIVATE BANK OF CALIFORNIA
THE PRIVATE BANK OF CALIFORNIA
THE QUEENSBOROUGH COMPANY
THE QUEENSBOROUGH COMPANY
THE QUEENSBOROUGH COMPANY
THE QUEENSBOROUGH COMPANY
THE VICTORY BANCORP, INC.
THE VICTORY BANCORP, INC.
THE VICTORY BANCORP, INC.
THREE SHORES BANCORPORATION, INC.
THREE SHORES BANCORPORATION, INC.
THREE SHORES BANCORPORATION, INC.
THREE SHORES BANCORPORATION, INC.
TIB FINANCIAL CORP
TIB FINANCIAL CORP
TIDELANDS BANCSHARES, INC.
TIFTON BANKING COMPANY
TIFTON BANKING COMPANY
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TITONKA BANCSHARES, INC.
TITONKA BANCSHARES, INC.
TODD BANCSHARES, INC.
TODD BANCSHARES, INC.
TOWNEBANK
TOWNEBANK
TOWNEBANK
TREATY OAK BANCORP, INC.
TREATY OAK BANCORP, INC.
TREATY OAK BANCORP, INC.
TRIAD BANCORP, INC.
TRIAD BANCORP, INC.
TRI-COUNTY FINANCIAL CORPORATION
TRI-COUNTY FINANCIAL CORPORATION
TRINITY CAPITAL CORPORATION
TRINITY CAPITAL CORPORATION
TRINITY CAPITAL CORPORATION
TRINITY CAPITAL CORPORATION
TRINITY CAPITAL CORPORATION
TRI-STATE BANK OF MEMPHIS
TRI-STATE BANK OF MEMPHIS
TRISTATE CAPITAL HOLDINGS, INC.
TRISTATE CAPITAL HOLDINGS, INC.
TRISUMMIT BANK
TRISUMMIT BANK
TRISUMMIT BANK
TRISUMMIT BANK
TRUSTMARK CORPORATION
TRUSTMARK CORPORATION
TRUSTMARK CORPORATION
TWO RIVERS FINANCIAL GROUP, INC.
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

City
HARPER
HARPER
HARTFORD
HARTFORD
HARTFORD
COLUMBIA
COLUMBIA
KINSTON
KINSTON
KINSTON
PITTSBURGH
PITTSBURGH
PITTSBURGH
LOS ANGELES
LOS ANGELES
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOUISVILLE
LIMERICK
LIMERICK
LIMERICK
ORLANDO
ORLANDO
ORLANDO
ORLANDO
NAPLES
NAPLES
MT. PLEASANT
TIFTON
TIFTON
HOQUIAM
HOQUIAM
HOQUIAM
HOQUIAM
HOQUIAM
HOQUIAM
TITONKA
TITONKA
HOPKINSVILLE
HOPKINSVILLE
PORTSMOUTH
PORTSMOUTH
PORTSMOUTH
AUSTIN
AUSTIN
AUSTIN
FRONTENAC
FRONTENAC
WALDORF
WALDORF
LOS ALAMOS
LOS ALAMOS
LOS ALAMOS
LOS ALAMOS
LOS ALAMOS
MEMPHIS
MEMPHIS
PITTSBURGH
PITTSBURGH
KINGSPORT
KINGSPORT
KINGSPORT
KINGSPORT
JACKSON
JACKSON
JACKSON
BURLINGTON
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

State
KS
KS
CT
CT
CT
MO
MO
NC
NC
NC
PA
PA
PA
CA
CA
GA
GA
GA
GA
PA
PA
PA
FL
FL
FL
FL
FL
FL
SC
GA
GA
WA
WA
WA
WA
WA
WA
IA
IA
KY
KY
VA
VA
VA
TX
TX
TX
MO
MO
MD
MD
NM
NM
NM
NM
NM
TN
TN
PA
PA
TN
TN
TN
TN
MS
MS
MS
IA
IA
MN
MN
MN
FL
KS
KS
CA
CA
OR
OR
OR
NC
NC
NC
NM
NM
NM
VA
VA
VA
CA

Date
6-Feb-09
19-Dec-12
26-Jun-09
31-Mar-10
27-Sep-10
22-May-09
18-Aug-11
23-Dec-08
31-Oct-12
11-Jan-13
31-Dec-08
10-Feb-10
5-May-10
20-Feb-09
1-Sep-11
9-Jan-09
8-Mar-13
11-Mar-13
9-Apr-13
27-Feb-09
11-Dec-09
22-Sep-11
23-Jan-09
8-Nov-12
9-Nov-12
11-Jan-13
5-Dec-08
30-Sep-10
19-Dec-08
17-Apr-09
12-Nov-10
23-Dec-08
8-Nov-12
9-Nov-12
13-Nov-12
11-Jan-13
11-Jun-13
3-Apr-09
4-Apr-12
6-Feb-09
25-Sep-13
12-Dec-08
22-Sep-11
15-May-13
16-Jan-09
15-Feb-11
21-Dec-12
27-Mar-09
22-Sep-11
19-Dec-08
22-Sep-11
27-Mar-09
7-Aug-12
9-Aug-12
10-Aug-12
11-Sep-12
3-Apr-09
13-Aug-10
27-Feb-09
26-Sep-12
3-Apr-09
22-Dec-09
29-Nov-12
11-Jan-13
21-Nov-08
9-Dec-09
30-Dec-09
29-May-09
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

Original Investment Type1
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

Original Investment
Amount
$301,000.00
$3,400,000,000.00

$15,000,000.00
$7,500,000.00

Total Cash Back2

Outstanding
Investment

Investment Status*
Amount

$0.00
$0.00

$0.00
$0.00

$379,458.89
$4,236,125,671.00

$17,580,291.55
$9,232,652.17

Capital Repayment / Disposition / Auction3,5
(Fee)4
Shares
Avg. Price

(Realized Loss) /
(Write-off)

Gain5

Warrant Proceeds
Amount

Shares

Redeemed, in full; warrants not outstanding
$301,000.00

301

$1,000.00

$3,400,000,000.00

3,400,000

$1,000.00

$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

$2,046,000.00

2,046

$1,000.00

$1,165,528.32
$3,877,691.40

1,312
4,365

$888.40
$888.40

($146,471.68)
($487,308.60)

$12,119,637.37

12,120

$1,000.00

($24,880,362.63)

$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

$4,000,000.00

4,000

$1,000.00

$76,458,000.00

76,458

$1,000.00

$500,000.00
$150,000.00

3,118
150,000

$155.47
$1.00

$15,000.00

15

$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

$61,000.00

61

$282,284.64

284

$40,000.00

1,106,389

$1,301,856.00

370,899

$106,000.00

106

$200,000.00

200

$1,500,000.00

554,330

Redeemed, in full; warrants not outstanding

Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($141,000.00)

($73,590.00)
Preferred Stock w/ Warrants

$7,579,200,000.00

$0.00

$8,320,638,950.83

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$5,450,000.00

$0.00

$6,474,752.14

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$12,000,000.00

$0.00

$13,065,246.00

Sold, in full; warrants not outstanding
($5,775.00)
($271,425.00)

($117,228.00)
Preferred Stock w/ Exercised Warrants

$541,000.00
$1,505,000.00

$0.00

$2,322,183.20

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$5,677,000.00

$0.00

$6,449,130.64

Sold, in full; warrants not outstanding

($50,432.20)
Preferred Stock w/ Warrants

$37,000,000.00

$0.00

$13,444,359.59

Sold, in full; warrants not outstanding

Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants

$14,448,000.00
$3,800,000.00

$14,448,000.00
$0.00

$1,195,973.33
$223,208.00

Full investment outstanding; warrants outstanding
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

Preferred Stock w/ Warrants

$2,117,000.00
$4,000,000.00
$76,458,000.00

$3,268,000.00

$0.00
$0.00
$0.00

$0.00

$2,569,490.36
$5,210,672.22
$88,577,166.67

$842,415.03

Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding

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

($2,618,000.00)

$3,700,000.00

3,700

$1,000.00

$185,000.00

185

$15,540,000.00

15,540

$1,000.00

$777,000.00

777

$2,639,379.50
$7,038,845.50
$16,984,909.75

3,518
9,382
22,639

$750.20
$750.20
$750.20

$163,062.90
$1,300,776.05
$191,948.33

175
1,396
206

$2,795,000.00

2,795

$1,000.00

$23,000,000.00

23,000

$1,000.00

$1,150,000.00

1,150

7,002

$750.00

$124,665.75

138

$215,000,000.00

215,000

$1,000.00
$10,000,000.00

1,647,931

$12,000,000.00

12,000

$1,000.00

$600,000.00

60

$6,599,000,000.00

6,599,000

$1,000.00
$139,000,000.00

32,679,102

$450,000.00

45

$4,500,000.00

1,110,898

Sold, in full; warrants not outstanding
($878,620.50)
($2,343,154.50)
($5,654,090.25)

($266,631.35)
Preferred Stock
Preferred Stock w/ Exercised Warrants

$2,795,000.00
$23,000,000.00

$0.00
$0.00

$2,985,215.11
$28,642,402.33

Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$2,765,000.00
$4,237,000.00

$0.00

$6,496,417.16

Sold, in full; warrants not outstanding

Preferred Stock w/ Warrants

$215,000,000.00

$0.00

$236,287,500.00

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$12,000,000.00

$0.00

$14,075,133.27

Redeemed, in full; warrants not outstanding

$5,251,500.00

($1,750,500.00)

($52,515.00)

Preferred Stock w/ Warrants

$6,599,000,000.00

$0.00

$6,933,220,416.67

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$50,236,000.00
$8,950,000.00

$50,236,000.00
$0.00

$745,311.72
$10,634,911.78

Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$298,737,000.00

$0.00

$7,509,920.07

Currently not collectible

$8,950,000.00

8,950

$1,000.00
($298,737,000.00)

Preferred Stock w/ Warrants

$214,181,000.00

$0.00

$232,156,554.58

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$3,194,000.00
$2,997,000.00

$0.00

$7,031,291.65

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$2,179,000.00

$0.00

$2,639,873.33

Redeemed, in full; warrants not outstanding

$214,181,000.00

Preferred Stock w/ Warrants

Preferred Stock w/ Exercised Warrants

$59,000,000.00

$8,700,000.00

$0.00

$8,700,000.00

$62,145,972.22

$0.00

214,181

$1,000.00

$6,191,000.00

6,191

$1,000.00

$160,000.00

160

$600,000.00
$1,579,000.00

600
1,579

$1,000.00
$1,000.00

$65,000.00

65

$59,000,000.00

59,000

$1,000.00
$450,000.00

211,318

Redeemed, in full; warrants not outstanding

Full investment outstanding; warrants outstanding

51

FootNote

11,36
15,11,14

44,11,8

11

8

11,9,15
8
11,8

11,8,14
8
11

8,44,14
11

8,41,44

11
8,17

11,8,14

45,8,14
8,17,11

11

11,16

11

8,18,21,44

8,17

11

Institution Name
UNITED BANCORP, INC.
UNITED BANCORP, INC.
UNITED BANCORP, INC.
UNITED BANCORPORATION OF ALABAMA, INC.
UNITED BANCORPORATION OF ALABAMA, INC.
UNITED BANK CORPORATION
UNITED BANK CORPORATION
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED FINANCIAL BANKING COMPANIES, INC.
UNITED FINANCIAL BANKING COMPANIES, INC.
UNITED FINANCIAL BANKING COMPANIES, INC.
UNITY BANCORP, INC.
UNITY BANCORP, INC.
UNITY BANCORP, INC.
UNITY BANCORP, INC.
UNIVERSAL BANCORP
UNIVERSAL BANCORP
UNIVERSAL BANCORP
UNIVERSAL BANCORP
UNIVERSITY FINANCIAL CORP.
UNIVERSITY FINANCIAL CORP.
US METRO BANK
UWHARRIE CAPITAL CORP
UWHARRIE CAPITAL CORP
UWHARRIE CAPITAL CORP
VALLEY COMMERCE BANCORP
VALLEY COMMERCE BANCORP
VALLEY COMMUNITY BANK
VALLEY COMMUNITY BANK
VALLEY 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.
VIRGINIA COMMERCE BANCORP
VIRGINIA COMMERCE BANCORP
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

City
TECUMSEH
TECUMSEH
TECUMSEH
ATMORE
ATMORE
BARNESVILLE
BARNESVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
VIENNA
VIENNA
VIENNA
CLINTON
CLINTON
CLINTON
CLINTON
BLOOMFIELD
BLOOMFIELD
BLOOMFIELD
BLOOMFIELD
ST. PAUL
ST. PAUL
GARDEN GROVE
ALBEMARLE
ALBEMARLE
ALBEMARLE
VISALIA
VISALIA
PLEASANTON
PLEASANTON
ROANOKE
ROANOKE
ROANOKE
ROANOKE
ROANOKE
ROANOKE
ROANOKE
SAGINAW
SAGINAW
WAYNE
WAYNE
WAYNE
WAYNE
WAYNE
DALLAS
DALLAS
MIDLOTHIAN
MIDLOTHIAN
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

State
MI
MI
MI
AL
AL
GA
GA
GA
GA
GA
GA
GA
GA
VA
VA
VA
NJ
NJ
NJ
NJ
IN
IN
IN
IN
MN
MN
CA
NC
NC
NC
CA
CA
CA
CA
VA
VA
VA
VA
VA
VA
VA
MI
MI
NJ
NJ
NJ
NJ
NJ
TX
TX
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

Date
16-Jan-09
19-Jun-12
18-Jul-12
23-Dec-08
3-Sep-10
22-May-09
3-Jul-12
5-Dec-08
26-Mar-13
27-Mar-13
28-Mar-13
9-Apr-13
10-Jun-13
16-Jan-09
15-Dec-10
15-Sep-11
5-Dec-08
15-May-13
3-Jul-13
28-Aug-13
22-May-09
8-Aug-13
12-Aug-13
12-Sep-13
19-Jun-09
30-Jul-10
6-Feb-09
23-Dec-08
3-Apr-13
16-Oct-13
30-Jan-09
21-Mar-12
9-Jan-09
21-Oct-13
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
12-Dec-08
11-Dec-12
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

Original Investment Type1
Preferred Stock w/ Warrants

Original Investment
Amount
$20,600,000.00

Total Cash Back2

Outstanding
Investment

Investment Status*
Amount

$0.00

$20,315,924.72

Capital Repayment / Disposition / Auction3,5
(Fee)4
Shares
Avg. Price

$10,300,000.00

$0.00

$11,172,638.89

Gain5

Warrant Proceeds
Amount

Shares

Sold, in full; warrants not outstanding
$17,005,300.00

Preferred Stock w/ Warrants

(Realized Loss) /
(Write-off)

($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

$11,926,000.00

11,926,000

$1.00

$7,742,000.00
$2,258,000.00

7,742
2,258

$7,700,000.00

($3,594,700.00)
$38,000.00

311,492

$720,000.00

720,000

$6,677.00

219,908

$283,000.00

283

$2,707,314.00

764,778

$476,573.62

495

$1,000.00
$1,000.00

$500,000.00

500

7,700

$1,000.00

$385,000.00

385

$2,296,800.00

5,500

$417.60

$70,815.25

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

$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

$332,000.00

332

$18,644.66
$147,194.69

19
150

$20,388,842.06

3,282,276

Redeemed, in full; warrants outstanding

Subordinated Debentures w/ Exercised Warrants

$14,400,000.00

$0.00

$18,882,079.62

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$180,000,000.00

$0.00

$210,367,527.00

Sold, in full; warrants not outstanding
($59,100.00)
($490,425.00)
($6,200,475.00)

($1,732,500.00)
Preferred Stock w/ Exercised Warrants

Preferred Stock w/ Warrants

Preferred Stock w/ Exercised Warrants

$5,658,000.00

$20,649,000.00

$9,900,000.00

$0.00

$0.00

$0.00

$6,649,963.92

$28,013,814.50

$12,066,668.65

Redeemed, in full; warrants not outstanding

Redeemed, in full; warrants not outstanding

Sold, in full; warrants not outstanding
($12,472.50)
($481,438.50)

($94,060.89)
Subordinated Debentures

$11,926,000.00

$0.00

$12,948,886.40

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$2,861,000.00
$10,000,000.00

$2,861,000.00
$0.00

$432,678.00
$12,916,040.83

Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants

$7,700,000.00

$0.00

$9,403,400.50

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants

$5,500,000.00
$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
$0.00

$2,997,090.75
$21,311,670.48

$1,489,774.73
$318,400,781.94

$3,503,795.81
$6,990,593.66

Sold, in full; warrants not outstanding
($3,203,200.00)

Redeemed, in full; warrants not outstanding

Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding

Redeemed, in full; warrants not outstanding
Sold, in full; warrants outstanding

Preferred Stock w/ Warrants

$71,000,000.00

$0.00

$85,190,138.89

Redeemed, in full; warrants outstanding

Preferred Stock w/ Exercised Warrants

$4,700,000.00

$0.00

$3,694,442.50

Sold, in full; warrants not outstanding

($9,065,638.56)

($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
100,000
200,000

$1,000.00
$1,000.00
$1,000.00

($380,997.20)
($7,310.00)
($22,880.30)

($52,138.13)
Preferred Stock w/ Warrants

$400,000,000.00

$0.00

$457,333,286.51 Redeemed, in full; warrants not outstanding
$100,000,000.00
$100,000,000.00
$200,000,000.00

52

FootNote
11

11

11

11

44

8
8,14,18

8,78,11
8

11

11

8,14

45,8,14
11

Institution Name
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.
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
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
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
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
IL
IL
IL
AL
AL
AL
DE
DE
DE
NC
NC
NC
NC
NC
PA
PA
UT
UT
UT
UT

Date
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
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/ Warrants

Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

$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

Total Cash Back2

Outstanding
Investment

Investment Status*
Amount

$0.00

$0.00

$0.00

$0.00

$0.00

$7,290,000.00
$0.00

$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

Capital Repayment / Disposition / Auction3,5
(Fee)4
Shares
Avg. Price

(Realized Loss) /
(Write-off)

Gain5

Warrant Proceeds
Amount

Shares

Redeemed, in full; warrants not outstanding
$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

$840,374,891.73

110,261,688

$950,000.00

439,282

$700,000.00

474,100

$878,256.00

246,698

$415,000.00

787,107

$335,417.06

343

Redeemed, in full; warrants not outstanding

Redeemed, in full; warrants not outstanding

Redeemed, in full; warrants not outstanding

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)

$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

$250,000,000.00

250,000

$1,000.00
$25,600,564.15

1,643,295

$2,343,851.20

2,720

$861.70

($376,148.80)

$90,940.00

136

52,625

$915.10

($4,467,336.25)
$1,800,000.00

175,105

$55,677.00
$20,000.00

91,178
128,663

$244,000.00

244

$7,666,418.51
$7,912,784,277.74

5,789,909

($107,235.41)
Preferred Stock w/ Exercised Warrants

$4,700,000.00

$0.00

$5,842,197.92

Redeemed, in full; warrants not outstanding

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

Preferred Stock w/ Warrants

$250,000,000.00

$0.00

$300,704,730.81

Redeemed, in full; warrants not outstanding

$58,646,694.58

Preferred Stock w/ Exercised Warrants

$2,720,000.00

$0.00

$2,780,391.21

($879,700.42)

($3,511,305.42)

Sold, in full; warrants not outstanding
($24,999.99)

Preferred Stock w/ Warrants

$52,625,000.00

$0.00

$57,640,856.64

Sold, in full; warrants not outstanding

Preferred Stock w/ Warrants

$36,000,000.00
$13,312,000.00

$0.00

$52,383,419.85

Sold, in full; warrants not outstanding

$48,157,663.75

$44,149,056.00

Preferred Stock w/ Exercised Warrants

$4,871,000.00

$0.00

$5,705,022.14

Redeemed, in full; warrants not outstanding

Preferred Stock w/ Warrants

$1,400,000,000.00

$0.00

$1,661,027,529.62

Redeemed, in full; warrants not outstanding

TOTALS

$204,894,726,320.00

$2,094,054,389.88

$224,910,177,388.47

($722,364.96)

($662,235.84)

49,312

$893.00

$4,871,000.00

4,871

$1,000.00

$700,000,000.00
$700,000,000.00

700,000
700,000

$1,000.00
$1,000.00

$198,086,099,920.28

($34,476,930.50)

($5,162,944.00)

($4,714,572,009.84)

$6,892,181,661.26

53

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.

54

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.

55

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.

56

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.

57

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.

58

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.

59

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.

60

CAPITAL PURCHASE PROGRAM - CITIGROUP, INC.
COMMON STOCK DISPOSITION

Date
4/26/2010 5/26/2010
5/26/2010 6/30/2010
7/23/2010 9/30/2010
10/19/2010 12/6/2010

Pricing Mechanism

6

Number of Shares

Proceeds

7

1

$4.1217

1,500,000,000

$

6,182,493,158

$3.8980

1,108,971,857

$

4,322,726,825

$3.9090

1,500,000,000

$

5,863,489,587

$4.2609

1,165,928,228

$

4,967,921,811

$4.3500

2,417,407,607

$

10,515,723,090

2
3
4
5

12/6/2010

Total Proceeds:

$31,852,354,471

1/ On April 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occurred on May 26, 2010.
2/ On May 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occurred on June 30, 2010.
3/ On July 23, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on September 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occured on September 30, 2010.
4/ On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of
common stock from time to time during the period ending on December 31, 2010 (or upon completion of the sale), which plan was terminated on December 6, 2010.
5/ On December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. Closing of the offering is subject to the fulfillment of certain closing conditions.
6/ The price set forth is the weighted average price for all sales of Citigroup, Inc. common stock made by Treasury over the course of the corresponding period.
7/ Amount represents the gross proceeds to Treasury.

61

COMMUNITY DEVELOPMENT CAPITAL INITIATIVE

Seller

Name of Institution

Footnote Purchase Date
1
1, 2
1, 2
1, 4
1
2a
1
1
1
1
2a
1
1, 3
1
1
1, 2

1
1, 2
1, 7

6
6

6

6

1, 2
1, 2
1, 2
1, 2
1
1
1
1, 7
1
1
1

7/30/2010
7/30/2010
8/6/2010
8/13/2010
8/13/2010
9/17/2010
8/13/2010
8/13/2010
8/13/2010
8/20/2010
9/24/2010
8/20/2010
8/27/2010
9/3/2010
9/3/2010
9/3/2010
9/10/2010
9/17/2010
9/17/2010
9/17/2010
9/17/2010
9/17/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/24/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010

Purchase Details

City

State

Guaranty Capital Corporation
University Financial Corp, Inc.
Southern Bancorp, Inc.
Premier Bancorp, Inc.

Belzoni
St. Paul
Arkadelphia
Wilmette

MS
MN
AR
IL

Citizens Bancshares Corporation

Atlanta

GA

PGB Holdings, Inc.
First American International Corp.
Tri-State Bank of Memphis

Chicago
Brooklyn
Memphis

IL
NY
TN

Mission Valley Bancorp

Sun Valley

CA

M&F Bancorp, Inc.
Carver Bancorp, Inc
Kilmichael Bancorp, Inc.
United Bancorporation of Alabama, Inc.
IBW Financial Corporation
IBC Bancorp, Inc.
CFBanc Corporation
American Bancorp of Illinois, Inc.
Hope Federal Credit Union
Genesee Co-op Federal Credit Union
First Eagle Bancshares, Inc.
Liberty Financial Services, Inc.
First Choice Bank
Bainbridge Bancshares, Inc.
Virginia Community Capital, Inc.
Lower East Side People's Federal Credit Union
Atlantic City Federal Credit Union
Neighborhood Trust Federal Credit Union
Gateway Community Federal Credit Union
Union Baptist Church Federal Credit Union
Buffalo Cooperative Federal Credit Union
Tulane-Loyola Federal Credit Union
Alternatives Federal Credit Union
Liberty County Teachers Federal Credit Union
UNO Federal Credit Union
Butte Federal Credit Union
Thurston Union of Low-Income People (TULIP) Cooperative Credit Union
Phenix Pride Federal Credit Union
Pyramid Federal Credit Union
Cooperative Center Federal Credit Union
Prince Kuhio Federal Credit Union
Community First Guam Federal Credit Union
Brewery Credit Union
Tongass Federal Credit Union
Santa Cruz Community Credit Union
Northeast Community Federal Credit Union
Fairfax County Federal Credit Union
Security Federal Corporation
Community Bank of the Bay
The First Bancshares, Inc.
BancPlus Corporation
First M&F Corporation
State Capital Corporation
Lafayette Bancorp, Inc.
PSB Financial Corporation
Community Bancshares of Mississippi, Inc.
First Vernon Bancshares, Inc.
Security Capital Corporation
BankAsiana

Durham
New York
Kilmichael
Atmore
Washington
Chicago
Washington
Oak Brook
Jackson
Rochester
Hanover Park
New Orleans
Cerritos
Bainbridge
Christiansburg
New York
Lander
New York
Missoula
Fort Wayne
Buffalo
New Orleans
Ithaca
Liberty
New Orleans
Biggs
Olympia
Phenix City
Tucson
Berkeley
Honolulu
Hagatna
Milwaukee
Ketchikan
Santa Cruz
San Francisco
Fairfax
Aiken
Oakland
Hattiesburg
Ridgeland
Kosciusko
Greenwood
Oxford
Many
Brandon
Vernon
Batesville
Palisades Park

NC
NY
MS
AL
DC
IL
DC
IL
MS
NY
IL
LA
CA
GA
VA
NY
WY
NY
MT
IN
NY
LA
NY
TX
LA
CA
WA
AL
AZ
CA
HI
GU
WI
AK
CA
CA
VA
SC
CA
MS
MS
MS
MS
MS
LA
MS
AL
MS
NJ

Amount from CPP

Investment Description
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Subordinated Debentures
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Common Stock
Subordinated Debentures
Preferred Stock
Preferred Stock
Subordinated Debentures
Preferred Stock
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Preferred Stock
Preferred Stock
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

14,000,000
11,926,000
11,000,000
6,784,000
7,462,000
3,000,000
17,000,000
2,795,000
5,500,000
11,735,000
18,980,000
10,300,000
6,000,000
4,205,000
7,875,000
5,645,000
5,146,000
18,000,000
1,747,000
5,000,000
50,400,000
30,000,000
15,750,000
4,551,000
9,734,000
54,600,000
6,245,000
17,910,000
-

Disposition Details

Additional Investment
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

10,189,000
22,800,000
4,379,000
4,836,000
3,881,000
5,689,000
4,000,000
2,313,000
12,123,000
30,514,000
-

Investment Amount
$
$
$
$

14,000,000
22,115,000
33,800,000
6,784,000

$
$
$
$

11,841,000
3,000,000
17,000,000
2,795,000

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

10,336,000
11,735,000
18,980,000
3,154,000
10,300,000
6,000,000
8,086,000
5,781,000
5,457,000
4,520,000
300,000
7,875,000
11,334,000
5,146,000
3,372,000
1,915,000
898,000
2,500,000
283,000
1,657,000
10,000
145,000
424,000
2,234,000
435,000
743,000
1,000,000
75,000
153,000
2,500,000
2,799,000
273,000
2,650,000
1,096,000
1,600,000
2,828,000
350,000
8,044,000
22,000,000
4,060,000
17,123,000
80,914,000
30,000,000
15,750,000
4,551,000
9,734,000
54,600,000
6,245,000
17,910,000
5,250,000

Pricing
Mechanism
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

Amount

Date

Remaining Investment
Amount

11/28/2012

6

$22,115,000

$0

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

10/1/2013

6

$5,250,000

$0

62

Seller

Footnote Purchase Date
8

6
6

6
6

9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/30/2010

Name of Institution
The Magnolia State Corporation
Bancorp of Okolona, Inc.
Southern Chautauqua Federal Credit Union
Fidelis Federal Credit Union
Bethex Federal Credit Union
Shreveport Federal Credit Union
Carter Federal Credit Union
UNITEHERE Federal Credit Union
(Workers United Federal Credit Union)
North Side Community Federal Credit Union
East End Baptist Tabernacle Federal Credit Union
Community Plus Federal Credit Union
Border Federal Credit Union
Opportunities Credit Union
First Legacy Community Credit Union
Union Settlement Federal Credit Union
Southside Credit Union
D.C. Federal Credit Union
Faith Based Federal Credit Union
Greater Kinston Credit Union
Hill District Federal Credit Union
Freedom First Federal Credit Union
Episcopal Community Federal Credit Union
Vigo County Federal Credit Union
Renaissance Community Development Credit Union
Independent Employers Group Federal Credit Union
Brooklyn Cooperative Federal Credit Union

Purchase Details

City
Bay Springs
Okolona
Lakewood
New York
Bronx
Shreveport
Springhill

State
MS
MS
NY
NY
NY
LA
LA

Amount from CPP

Investment Description

Disposition Details

Additional Investment

Investment Amount

Pricing
Mechanism

Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures

$
$
$
$
$
$
$

-

$
$
$
$
$
$
$

-

$
$
$
$
$
$
$

7,922,000
3,297,000
1,709,000
14,000
502,000
2,646,000
6,300,000

Par
Par
Par
Par
Par
Par
Par

-

$

-

$

57,000

Par

-

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

-

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

325,000
7,000
450,000
3,260,000
1,091,000
1,000,000
295,000
1,100,000
1,522,000
30,000
350,000
100,000
9,278,000
100,000
1,229,000
31,000
698,000
300,000

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

Total Purchase Amount $

570,073,000

New York

NY

Subordinated Debentures

$

Chicago
Bridgeport
Rantoul
Del Rio
Burlington
Charlotte
New York
San Antonio
Washington
Oceanside
Kinston
Pittsburgh
Roanoke
Los Angeles
Terre Haute
Somerset
Hilo
Brooklyn

IL
CT
IL
TX
VT
NC
NY
TX
DC
CA
NC
PA
VA
CA
IN
NJ
HI
NY

Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

Amount

Date

Remaining Investment
Amount

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.

63

AUTOMOTIVE INDUSTRY FINANCING PROGRAM

Exchange/Transfer/Other Details

Initial Investment

City, State

GMAC
(Ally)

Seller

12/29/2008

Purchase

GMAC

5,000,000,000

Par

$

5,000,000,000

N/A

5/21/2009

Purchase

GMAC

Convertible Preferred Stock
w/ Exercised Warrants

$

7,500,000,000

Par

22

12/30/2009

Partial conversion of preferred
$
stock for common stock

3,000,000,000

N/A

12/30/2009

Purchase

GMAC

Convertible Preferred Stock
w/ Exercised Warrants

$

1,250,000,000

Par

22,
26

12/30/2010

Partial conversion of preferred
$
stock for common stock

5,500,000,000

N/A

26

12/30/2009

Purchase

GMAC

Trust Preferred Securities w/
Exercised Warrants

$

2,540,000,000

Par

2,670,000,000

N/A

27 GMAC (Ally)

12/29/2008

Purchase

12/31/2008

Purchase

4/22/2009

Purchase

Debt Obligation

$

Debt Obligation w/ Additional
$
Note
Debt Obligation w/ Additional
$
Note

884,024,131

Par

13,400,000,000

Par

2,000,000,000

Par

Date
12/30/2009

3/1/2011
2

5/29/2009
7/10/2009

4

7/10/2009

Type
Exchange for convertible
preferred stock

Exchange for amended and
restated Trust Preferred
Securities
Exchange for equity interest in
GMAC
Exchange for preferred and
common stock in New GM
Exchange for preferred and
common stock in New GM

Amount

Pricing
Mechanism

Transaction Type

General Motors
Corporation
General Motors
Corporation
General Motors
Corporation

Amount

Pricing
Mechanism

Date

Detroit, MI

Description
Preferred Stock w/ Exercised
$
Warrants

$
$

884,024,131

N/A

$

13,400,000,000

N/A

$

2,000,000,000

N/A

Obligor

Description

GMAC (Ally)

21, 22

GMAC (Ally)

3, 26,
32, 38

Convertible
Preferred Stock

Amount/Equity %
$

5,937,500,000

Trust Preferred
Securities

$

2,670,000,000

10,
Preferred Stock
11, 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

7/10/2009

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

Amount/ Proceeds

Remaining
Investment
Description

Remaining
Investment
Amount/Equity %

11/20/2013 Disposition 38

$

5,925,000,000

N/A

$

0

3/2/2011 Disposition 28

$

2,667,000,000

N/A

$

0

$

2,139,406,778

N/A

$

0

7
7

General Motors
Company

7

12/15/2010 Repayment
25

$

11,743,303,903 Common Stock

36.9%

11/26/2010 Partial Disposition 25

$

1,761,495,577 Common Stock

32.04%

12/21/2012 Partial Disposition 33

$

5,500,000,000 Common Stock

21.97%

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

$

0

11/18/2010 Partial Disposition

General Motors
Company

N/A

N/A

Type

3

10,
11, 25

60.8%

Common Stock

Detroit, MI

5/27/2009

Chrysler
FinCo

Purchase

Date

63.45%

Common Stock

7

5/20/2009

Payment or Disposition1

Treasury Investment After Exchange/Transfer/Other

General Motors
Holdings LLC

11, 12 Debt Obligation

$

7,072,488,605

N/A

0.00%

9
9
9

Motors Liquidation
Company

29

Debt Obligation

$

985,805,085

3/31/2011

Partial Repayment

$

50,000,000 Debt Obligation

$

935,805,085

4/5/2011

Partial Repayment

$

45,000,000 Debt Obligation

$

890,805,085

5/3/2011

Partial Repayment

$

15,887,795 Debt Obligation

$

874,917,290

12/16/2011 Partial Repayment

$

144,444 Debt Obligation

$

874,772,846

12/23/2011 Partial Repayment

$

18,890,294 Debt Obligation

$

855,882,552

1/11/2012

Partial Repayment

$

6,713,489 Debt Obligation

$

849,169,063

10/23/2012 Partial Repayment

$

435,097 Debt Obligation

$

848,733,966

5/22/2013

Partial Repayment

$

10,048,968 Debt Obligation

$

838,684,999

9/20/2013

Partial Repayment

$

11,832,877 Debt Obligation

$

836,901,089

12/27/2013 Partial Repayment

$

410,705 Debt Obligation

$

836,490,385

$

1,496,500,945

$

1,464,690,823

$

1,413,554,739

$

1,369,197,029

$

0

3/17/2009

Partial Repayment

4/17/2009

Partial Repayment

5/18/2009

Partial Repayment

6/17/2009

Partial Repayment

7/14/2009

Repayment

$

3,499,055

$

31,810,122

$
$
$

51,136,084
44,357,710
1,369,197,029

Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
Additional Note

64

1/2/2009

Purchase

Chrysler Holding

Purchase

Chrysler Holding

Purchase

Chrysler Holding

5/1/2009

Purchase

Old Chrysler

5/20/2009

Purchase

Old Chrysler

4/29/2009
4/29/2009

Chrysler

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

$

-

6/10/2009

Par
Par

$

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 $

7/14/2009

Repayment*

$

15,000,000

N/A

-

5/14/2010

Termination and settlement
payment 20

$

1,900,000,000

N/A

-

N/A

14

16
-

Transfer of debt to New
Chrysler

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%

7/10/2009

Repayment

$

280,130,642

5/10/2010

Proceeds from sale of collateral

$

30,544,528

9/9/2010

Proceeds from sale of collateral

$

12/29/2010 Proceeds from sale of collateral

$

Right to recover
7,844,409
proceeds

4/30/2012

Proceeds from sale of collateral

$

9,302,185

5/24/2011

Repayment - Principal

$

5,076,460,000

31

$

0

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 $

50,680,963,693

Additional Proceeds * $

403,000,000

N/A
N/A
N/A

Right to recover
proceeds

N/A

N/A

$

0

N/A

-

25,110,275,278

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.
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.

65

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 under
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.
AUTOMOTIVE SUPPLIER SUPPORT PROGRAM

Seller
Footnote

Date

Name of Institution

City

State

Transaction Type

Investment
Description

Investment
Amount

Pricing Mechanism

Adjustment Details
Adjustment
Adjusted or Final
Amount
Investment Amount

Adjustment
Date

Payment or Disposition4
Date

2/11/2010
3/4/2010

11/20/2009
1

4/9/2009

GM Supplier Receivables LLC

Wilmington

DE

Purchase

Debt Obligation w/
Additional Note

7/8/2009
$ 3,500,000,000

3

$ (1,000,000,000) $

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/
Additional Note

$

$ 1,500,000,000

N/A

7/8/2009

3

$

(500,000,000)

7

413,076,735

2,500,000,000

Total Repayments

$

413,076,735

$

290,000,000

$

1,000,000,000

$

123,076,735

Type
Partial
repayment
Partial
repayment

Remaining Investment
Description

Amount

Debt Obligation w/ Additional Note

$

140,000,000

Debt Obligation w/ Additional Note

$

100,000,000

Repayment5

Additional Note

$

50,000,000

4/5/2010

Payment6

None

$

56,541,893

3/9/2010
4/7/2010

Repayment5
Payment7

Additional Note
None

$
$

123,076,735
44,533,054

$

101,074,947

Total Proceeds from Additional Notes

1/ The loan was funded through GM Supplier Receivables, LLC, a special purpose vehicle created by General Motors Corporation. The amount of $3,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/3/2009. General Motors Company assumed GM Supplier
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.

66

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.

67

TARGETED INVESTMENT PROGRAM

Seller

Footnote
1

Date

Name of Institution

12/31/2008 Citigroup Inc.
Bank of America
1/16/2009 Corporation

Treasury Investment Remaining After Capital
Repayment

Capital Repayment Details

State

Transaction
Type

New York

NY

Purchase

Charlotte

NC

Purchase

City

Investment Amount

Pricing
Mechanism

Capital
Repayment Date

Investment Description
Trust Preferred Securities
w/ Warrants
Preferred Stock w/
Warrants

$

20,000,000,000

Par

12/23/2009

$

20,000,000,000

Par

12/9/2009

TOTAL

$

40,000,000,000

2

Capital Repayment
Amount

Remaining Capital
Amount

$

20,000,000,000

$

$

20,000,000,000

$

$

40,000,000,000

Final Disposition

Remaining Capital
Description

Final Disposition Date

0

Warrants

1/25/2011

A

Warrants

$

190,386,428

0

Warrants

3/3/2010

A

Warrants

$

1,236,804,513

$

1,427,190,941

3

Final Disposition
Description

Final Disposition
Proceeds

2

TOTAL CAPITAL REPAYMENT

TOTAL TREASURY TIP INVESTMENT AMOUNT

$

Total Warrant Proceeds

0

1/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock, Series
I (TIP Shares) “dollar for dollar” for Trust Preferred Securities.
2/ Repayment pursuant to Title VII, Section 7001 of the American Recovery and Reinvestment Act of 2009.
3/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution, and "A" represents the proceeds to Treasury, after underwriting fees, from a sale by Treasury in a registered public offering of the warrants issued by the financial institution.
ASSET GUARANTEE PROGRAM
Initial Investment
Footnote

1

Date

1/16/2009

Seller
Name of Institution

Citigroup Inc.

12/23/2009 Citigroup Inc.

City

New York

New York

State

NY

NY

Type

Guarantee

Termination

Premium
Description

Master Agreement

Termination Agreement

Guarantee Limit

$

$

Preferred Stock
5,000,000,000
w/ Warrants

$

Exchange/Transfer/Other Details

Amount

$

Date

2

6/9/2009

Exchange preferred stock for Trust Preferred Securities
$
trust preferred securities
w/ Warrants

4,034,000,000

4

9/29/2010

Exchange trust preferred
securities for trust preferred
securities

2,246,000,000

4,034,000,000

Type

Payment or Disposition

Footnote

Description

Amount

Trust Preferred Securities
$
w/ Warrants

Footnote

Date

Type

3

12/23/2009

5

9/30/2010 Disposition

$

1/25/2011 Warrant Auction

$

Partial cancellation for early
termination of guarantee

Amount
$ (1,800,000,000)

Remaining Premium
Description
Trust Preferred
Securities w/ Warrants

Remaining
Premium
$ 2,234,000,000

$

0

67,197,045 None

$

0

$ 894,000,000.00 None

$

0

2,246,000,000 Warrants

(5,000,000,000)

3

TOTAL

Description

0

6

12/28/2012

7

2/4/2013

Trust preferred securities
received from the FDIC
Exchange Trust preferred
securities for subordinated
note

Trust Preferred Securities $

800,000,000.00

$

894,000,000.00

Subordinated Note

8

2/8/2013 Disposition

Total Proceeds

$

3,207,197,045

1/ In consideration for the guarantee, Treasury received $4.03 billion of preferred stock, which pays 8% interest.
2/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock Series G (AGP Shares), received as premium with the AGP agreement, “dollar for dollar” for Trust Preferred
Securities.
3/ On 12/23/2009, Treasury entered into a Termination Agreement with the other parties to the Master Agreement which served to terminate Treasury’s guarantee and obligations under the Master Agreement. In connection with the early termination of the guarantee, Treasury agreed to cancel $1.8 billion of the AGP Trust Preferred Securities, and the Federal Deposit Insurance Corporation (FDIC) and Treasury agreed that, subject to the
conditions set out in the Termination Agreement, the FDIC may transfer $800 million of Trust Preferred Securities to Treasury at the close of Citigroup’s participation in the FDIC’s Temporary Liquidity Guarantee Program.
4/ On 9/29/2010, Treasury entered into an agreement with Citigroup Inc. to exchange $2,234,000,000 in aggregate liquidation preference of its trust preferred securities for $2,246,000,000 in aggregate liquidation preference of trust preferred securities with certain modified terms. At the time of exchange, Citigroup Inc. paid the outstanding accrued and unpaid dividends.
5/ On 9/30/2010, Treasury entered into underwritten offering of the trust preferred securities, the gross proceeds of which do not include accumulated and unpaid distributions from the date of the exchange through the closing date.
6/ 12/28/2012, as contemplated by the Termination Agreement and the Letter Agreement dated 12/23/2009, between Treasury and the Federal Deposit Insurance Corporation (FDIC), Treasury received from the FDIC, Citigroup Inc. trust preferred securities in aggregate liquidation preference equal to $800 million and approximately $183 million in dividend and interest payments from those securities.
7/ On 2/4/2013, Treasury exchanged $800 million in Citigroup Capital XXXIII Trust Preferred Securities (TruPs) for $894 million in Citigroup subordinated notes pursuant to an agreement between Citigroup and Treasury executed on 2/4/2013. Accrued interest on the TruPs was received at the time of the exchange.
8/ On 2/8/2013, Treasury completed the sale of its Citigroup subordinated notes for $894 million plus accrued interest, pursuant to an underwriting agreement executed on 2/8/2012.

68

AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM
(formerly referred to as Systemically Significant Failing Institutions Program)
Seller
Name of Institution

Note

Date

1

11/25/2008

AIG

2, 3

4/17/2009

AIG

Purchase Details

Exchange/Transfer Details

State

Transaction
Type

New York

NY

Purchase

Preferred Stock w/ Warrants
(Series D)

$

40,000,000,000

Par

New York

NY

Purchase

Preferred Stock w/ Warrants
(Series F)

$

29,835,000,000

Par

City

Investment Description

Investment Amount

Pricing Mechanism

2

Date

Transaction Type

4/17/2009

Exchange

Pricing
Mechanism

Amount

Investment Description
Preferred Stock w/ Warrants
(Series E)

1

$

40,000,000,000

Par

See table below for exchange/transfer details in connection with the recapitalization conducted on 1/14/2011.
Final Disposition

TOTAL

$

69,835,000,000

Date

Investment

Transaction Type

3/1/2013

Warrants (Series D)

Repurchase

$

25,150,923.10

3/1/2013

Warrants (Series F)

Repurchase

$

5,767.50

Total Warrant Proceeds

$

Proceeds

25,156,690.60

1/ On 4/17/2009, Treasury exchanged its Series D Fixed Rate Cumulative Preferred Shares for Series E Fixed Rate Non-Cumulative Preferred Shares with no change to Treasury's initial investment amount. In addition, in order for AIG to fully redeem the Series E Preferred Shares, it had an additional obligation to Treasury of $1,604,576,000 to reflect the
cumulative unpaid dividends for the Series D Preferred Shares due to Treasury through and including the exchange date.
2/ The investment amount reflected Treasury's commitment to invest up to $30 billion less a reduction of $165 million representing retention payments AIG Financial Products made to its employees in March 2009.
3/ This transaction does not include AIG's commitment fee of an additional $165 million paid from its operating income over the life of the facility. A $55 million payment was received by Treasury on 12/17/2010. The remaining $110 million payment was received by Treasury on 05/27/2011.

AIG POST-RECAPITALIZATION
Recapitalization

Note

Date

Investment Description

Treasury Holdings Post-Recapitalization

Transaction Type
Exchange

Pricing Mechanism
Par

Investment Description
Preferred Stock (Series G)

AIA Preferred Units
4

1/14/2011

Preferred Stock (Series F)

Exchange

Exchange

1/14/2011

Preferred Stock (Series E)

1/14/2011

Common Stock (non-TARP)

Exchange

Transfer

Amount / Shares
$

$

2,000,000,000

16,916,603,568

$

3,375,328,432

167,623,733

924,546,133

N/A

6

Date

7

N/A

ALICO Junior Preferred Interests

5

Final Disposition

Common Stock

562,868,096

7

Transaction Type

Proceeds

8

Pricing Mechanism

5/27/2011

Cancellation

$

2/14/2011

Payment

$

185,726,192

-

N/A
Par

3/8/2011

Payment

$

5,511,067,614

Par

3/15/2011

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

3/8/2012

Partial Disposition

$

6,000,000,008

N/A

5/6/2012

Partial Disposition

$

4,999,999,993

N/A

5/7/2012

Partial Disposition

$

749,999,972

N/A

8/3/2012

Partial Disposition

$

4,999,999,993

N/A

8/6/2012

Partial Disposition

$

750,000,002

N/A

9/10/2012

Partial Disposition

$

17,999,999,973

N/A

9/11/2012

Partial Disposition

$

2,699,999,965

N/A

12/14/2012

Final Disposition

$

7,610,497,570

N/A

Remaining Recap
Investment Amount,
Shares, or Equity %
$

0

10

$

0

8

$

0

8

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.

69

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.

70

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

Final Investment Amount

$

100,000,000

Total Investment Amount $

100,000,000

N/A

Repayment 5
Description

Date

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

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

$

673,229,661

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.

71

CREDIT MARKET PROGRAMS
SBA 7a SECURITIES PURCHASE PROGRAM
Purchase Details 1

Date

3/19/2010
3/19/2010
3/19/2010
4/8/2010
4/8/2010
5/11/2010
5/11/2010
5/11/2010
5/25/2010
5/25/2010
6/17/2010
6/17/2010
7/14/2010
7/14/2010
7/14/2010
7/29/2010
7/29/2010
8/17/2010
8/17/2010
8/17/2010
8/31/2010
8/31/2010
8/31/2010
9/14/2010
9/14/2010
9/14/2010
9/14/2010
9/28/2010
9/28/2010
9/28/2010
9/28/2010

Investment Description
Floating Rate SBA 7a security due 2025
Floating Rate SBA 7a security due 2022
Floating Rate SBA 7a security due 2022
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2016
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2035
Floating Rate SBA 7a security due 2033
Floating Rate SBA 7a security due 2029
Floating Rate SBA 7a security due 2033
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2025
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2017
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2019
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2024
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2021
Floating Rate SBA 7a security due 2029
Floating Rate SBA 7a security due 2026
Floating Rate SBA 7a security due 2035
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2035
Total Purchase Face Amount

Settlement Details
Purchase Face
Amount 3
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

4,070,000
7,617,617
8,030,000
23,500,000
8,900,014
10,751,382
12,898,996
8,744,333
8,417,817
17,119,972
34,441,059
28,209,085
6,004,156
6,860,835
13,183,361
2,598,386
9,719,455
8,279,048
5,000,000
10,000,000
9,272,482
10,350,000
6,900,000
8,902,230
8,050,000
5,750,000
5,741,753
3,450,000
11,482,421
13,402,491
14,950,000

$

332,596,893

Pricing Mechanism

TBA or
PMF3

Investment Amount
Settlement Date

107.75
109
108.875
110.502
107.5
106.806
109.42
110.798
110.125
109.553
110.785
112.028
106.625
108.505
111.86
108.4375
106.75
110.198
110.088
110.821
110.515
112.476
105.875
111.584
110.759
106.5
110.5
110.875
113.838
113.9
114.006

-

3/24/2010
3/24/2010
3/24/2010
5/28/2010
4/30/2010
6/30/2010
6/30/2010
6/30/2010
7/30/2010
7/30/2010
8/30/2010
8/30/2010
9/30/2010
9/30/2010
9/30/2010
9/30/2010
10/29/2010
9/30/2010
10/29/2010
10/29/2010
9/29/2010
10/29/2010
11/30/2010
10/29/2010
11/30/2010
11/30/2010
11/30/2010
11/30/2010
12/30/2010
11/30/2010
12/30/2010

TOTAL INVESTMENT AMOUNT

2, 3

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

Senior Security
Proceeds 4
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

2,184
4,130
4,348
12,983
4,783
5,741
7,057
4,844
4,635
9,377
19,077
15,801
3,200
3,722
7,373
1,408
5,187
4,561
2,752
5,541
5,123
5,820
3,652
4,966
4,458
3,061
3,172
1,912
6,535
7,632
8,521

Total Senior Security Proceeds $

183,555

$

4,377,249
8,279,156
8,716,265
26,041,643
9,598,523
11,511,052
14,151,229
9,717,173
9,294,363
18,801,712
38,273,995
31,693,810
6,416,804
7,462,726
14,789,302
2,826,678
10,394,984
9,150,989
5,520,652
11,115,031
10,277,319
11,672,766
7,319,688
9,962,039
8,940,780
6,134,172
6,361,173
3,834,428
13,109,070
15,308,612
17,092,069

TBA or
PMF3
-

Final Disposition

368,145,452

Trade Date

PMF6

6/21/2011
10/19/2011
6/21/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
9/20/2011
6/21/2011
9/20/2011
6/21/2011
10/19/2011
6/21/2011
1/24/2012
6/21/2011
9/20/2011
10/19/2011
10/19/2011
9/20/2011
10/19/2011
1/24/2012
1/24/2012
1/24/2012
1/24/2012
1/24/2012
10/19/2011
1/24/2012
10/19/2011
1/24/2012

-

Purchase Face
Amount 3
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

4,070,000
7,617,617
8,030,000
23,500,000
8,900,014
10,751,382
12,898,996
8,744,333
8,417,817
17,119,972
34,441,059
28,209,085
6,004,156
6,860,835
13,183,361
2,598,386
9,719,455
8,279,048
5,000,000
10,000,000
9,272,482
10,350,000
6,900,000
8,902,230
8,050,000
5,750,000
5,741,753
3,450,000
11,482,421
13,402,491
14,950,000

Current Face
Amount 6, 8
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

3,151,186
5,891,602
5,964,013
22,350,367
6,542,218
9,819,270
12,570,392
8,483,188
8,171,159
15,030,712
32,656,125
25,930,433
5,656,049
6,520,875
12,704,841
1,903,407
9,531,446
6,425,217
4,580,543
9,030,539
8,403,846
10,099,555
6,236,800
7,503,681
7,053,867
5,473,724
4,307,881
3,367,168
10,592,775
12,963,737
14,562,161

Life-to-date
Principal Received

Disposition
Amount 5, 6

1, 8

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

902,633
1,685,710
2,022,652
1,149,633
2,357,796
932,112
328,604
261,145
246,658
2,089,260
1,784,934
2,278,652
348,107
339,960
478,520
694,979
188,009
1,853,831
419,457
969,461
868,636
250,445
663,200
1,398,549
996,133
276,276
1,433,872
82,832
889,646
438,754
387,839

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

3,457,746
6,462,972
6,555,383
25,039,989
7,045,774
10,550,917
13,886,504
9,482,247
8,985,818
16,658,561
36,072,056
29,142,474
6,051,772
7,105,304
14,182,379
2,052,702
10,223,264
7,078,089
5,029,356
9,994,806
9,230,008
11,314,651
6,556,341
8,269,277
7,703,610
5,764,858
4,693,918
3,698,411
11,818,944
14,433,039
16,383,544

Disposition Proceeds

$

334,924,711

TOTAL PROGRAM PROCEEDS TO DATE7 $

376,748,302

1/ The amortizing principal and interest payments are reported on the monthly Dividends and Interest Report available at www.FinancialStability.gov.
2/ Investment Amount is stated after applying the appropriate month's factor and includes accrued interest paid at settlement, if applicable.
3/ If a purchase is listed as TBA, or To-Be-Announced, the underlying loans in the SBA Pool have yet to come to market, and the TBA pricing mechanism, purchase face amount, investment amount and senior security proceeds will be adjusted within the variance permitted under the program terms. If a
purchase is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security and senior security are priced according to the prior-month's factor. The PMF investment amount and senior security proceeds will be adjusted after
publication of the applicable month's factor (on or about the 11th business day of each month).
4/ In order to satisfy the requirements under Section 113 of the Emergency Economic Stabilization Act of 2008, Treasury will acquire a senior indebtedness instrument (a Senior Security) from the seller of each respective SBA 7a Security. Each Senior Security will (i) have an aggregate principal amount
equal to the product of (A) 0.05% and (B) the Investment Amount (excluding accrued interest) paid by Treasury for the respective SBA 7a Security, and (ii) at the option of the respective seller, may be redeemed at par value immediately upon issuance, or remain outstanding with the terms and conditions as
set forth in the Master Purchase Agreement.
5/ Disposition Amount is stated after applying the appropriate month's factor and includes accrued interest received at settlement, if applicable. If the disposition is listed as PMF, the disposition amount will be adjusted after publication of the applicable month's factor.
6/ If a disposition is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security is priced according to the prior-month's factor. The PMF disposition amount will be adjusted after publication of the applicable month's factor (on or
about the 11th business day of each month).
7/ Total Program Proceeds To Date includes life-to-date disposition proceeds, life-to-date principal received, life-to-date interest received, and senior security proceeds (excluding accruals).
8/ The sum of Current Face Amount and Life-to-date Principal Received will equal Purchase Face Amount for CUSIPs that were originally purchased as TBAs only after the applicable month's factor has been published and trailing principal & interest payments have been received.

72

CREDIT MARKET PROGRAMS
LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)
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
State
Type
DE

DE

DE

Purchase

Purchase

Purchase

Commitment
Amount

Investment Description
Membership Interest

Debt Obligation w/ Contingent Proceeds

Membership Interest

$

$

$

1,111,111,111

2,222,222,222

1,111,111,111

Pricing
Mechanism

Date

Par

1/4/2010

Par

Par

1/4/2010

3

Amount
4 $

4 $

156,250,000

200,000,000

3/22/2010 6 $ 1,244,437,500

Final Investment
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

$

2/18/2010

$

2,444,347

$

Description
0

0

578,515,653 Membership Interest

$

3,533,199

$

574,982,454 Membership Interest

30,011,187

$

544,971,267 Membership Interest

11/15/2010

$

66,463,982

$

478,507,285 Membership Interest

12/14/2010

$

15,844,536

$

462,662,749 Membership Interest

1/14/2011

$

13,677,726

$

448,985,023 Membership Interest

2/14/2011

$

48,523,845

$

400,461,178 Membership Interest

3/14/2011

$

68,765,544

$

331,695,634 Membership Interest

4/14/2011

$

77,704,254

$

253,991,380 Membership Interest

5/20/2011

$

28,883,733

$

225,107,647 Membership Interest

6/14/2011

$

9,129,709

$

215,977,938 Membership Interest

7/15/2011

$

31,061,747

$

184,916,192 Membership Interest

8/12/2011

$

10,381,214

$

174,534,977 Membership Interest

10/17/2011

$

6,230,731

$

168,304,246 Membership Interest

12/14/2011

$

1,183,959

$

167,120,288 Membership Interest

1/17/2012

$

1,096,185

$

166,024,103 Membership Interest

2/14/2012

$

1,601,688

$

164,422,415 Membership Interest

3/14/2012

$

3,035,546

$

161,386,870 Membership Interest

2/18/2010

$

4,888,718

$

$

4/15/2010

$

7,066,434

$

9/15/2010

$

60,022,674

$

11/15/2010

$

132,928,628

$

12/14/2010

$

31,689,230

$

1/14/2010

$

27,355,590

$

2/14/2011

$

92,300,138

$

3/14/2011

$

128,027,536

$

4/14/2011

$

155,409,286

$

5/20/2011

$

75,085,485

$

6/14/2011

$

18,259,513

$

7/15/2011

$

62,979,809

$

8/12/2011

$

20,762,532

$

10/17/2011

$

37,384,574

$

12/14/2011

$

7,103,787

$

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

Contingent Proceeds

$

161,386,870

Description

1/29/2010

5

$

20,091,872

$

48,922

Debt Obligation w/ Contingent
166,000,000 Proceeds

9/15/2010

$

Distribution or Disposition

Date

Membership Interest

4/15/2010

3/29/2012

2

Investment After Capital Repayment

0

Membership Interest

5

$

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, 14

5
5, 13

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
Debt Obligation w/ Contingent
300,656,067 Proceeds

73

Preliminary Adjusted
Seller

Footnote

Date

Name of Institution

Commitment

City

Transaction
State
Type

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

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 $ 2,524,075,000

3/22/2010 6 $ 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

8/9/2012

Distribution

9/28/2012

Final Distribution

6/4/2013

Adjusted Distribution

7/8/2013

Distribution

3/13/2013

Distribution

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

10

- Contingent Proceeds

10

2/14/2011

$

712,284

$

1,063,385,410 Membership Interest

10

3/14/2011

$

6,716,327

$

1,056,669,083 Membership Interest

10

4/14/2011

$

7,118,388

$

1,049,550,694 Membership Interest

10

5/14/2012

$

39,999,800

$

1,009,550,894 Membership Interest

10

6/14/2012

$

287,098,565

$

722,452,330 Membership Interest

10

7/16/2012

$

68,749,656

$

653,702,674 Membership Interest

10

8/14/2012

$

361,248,194

$

292,454,480 Membership Interest

10

$

30,244,575

$

6/14/2011
5/3/2012

$

88,087

$

$

80,000,000

$

5/14/2012

$

30,000,000

$

5/23/2012

$

500,000,000

$

6/14/2012

$

44,200,000

$

6/25/2012

$

120,000,000

$

7/16/2012

$

17,500,000

$

7/27/2012

$

450,000,000

$

8/14/2012

$

272,500,000

$

5, 14

5, 13

469

$

1,735

$

1,611

Distribution

$

479,509,240

$

2,802,754

$

16,195,771

$

69,932

$

75,278,664

5

5, 11

Debt Obligation w/ 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

1,064,097,694 Membership Interest

5/16/2011

40,556

$

10

$

$

5

10

44,043

292,454,480

3,434,460

10

$

$

$
$

5

10

1/15/2010

8/30/2012

Proceeds

5

3/29/2012

7/11/2013
2

Description

Debt Obligation w/ Contingent
294,078,924 Proceeds
Debt Obligation w/ Contingent
284,468,750 Proceeds

- Membership Interest 10

5, 11

4/17/2013

Distribution

7/11/2013

Distribution

8/30/2012

Distribution

9/12/2012

Distribution

9/19/2012

Distribution

10/1/2012

Distribution

12/21/2012

Distribution

8/13/2013

Distribution Refund

10/3/2012

Distribution

5, 11

5, 11
5, 11
5, 11
5, 11
5, 11

$

79,071,633

$

106,300,357

$

25,909,972

$

678,683

$

(18,405)

Debt Obligation w/ Contingent
2,097,755,425 Proceeds
Debt Obligation w/ Contingent
2,097,667,339 Proceeds
Debt Obligation w/ Contingent
2,017,667,339 Proceeds
Debt Obligation w/ Contingent
1,987,667,339 Proceeds
Debt Obligation w/ Contingent
1,487,667,339 Proceeds
Debt Obligation w/ Contingent
1,443,467,339 Proceeds
Debt Obligation w/ Contingent
1,323,467,339 Proceeds
Debt Obligation w/ Contingent
1,305,967,339 Proceeds
Debt Obligation w/ Contingent
855,967,339 Proceeds
Debt Obligation w/ Contingent
583,467,339 Proceeds
5, 11

$

12,012,957

74

Preliminary Adjusted
Seller

Footnote

Date

Name of Institution

Commitment

City

Transaction
State
Type

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
8/22/2012

1

2

1

10/2/2009

10/2/2009

Blackrock PPIF, L.P.

Blackrock PPIF, L.P.

10/30/2009 AG GECC PPIF Master Fund, L.P.                                              

Wilmington

Wilmington

Wilmington

DE

DE

DE

Purchase

Purchase

Purchase

Membership Interest

Debt Obligation w/ Contingent Proceeds

Membership Interest

$

$

$

1,111,111,111

2,222,222,222

1,111,111,111

Par

Par

Par

3/22/2010 6 $ 1,244,437,500

3/22/2010 6 $ 2,488,875,000

3/22/2010 6 $ 1,271,337,500

7/16/2010

7/16/2010

7/16/2010

$

$

$

694,980,000

1,389,960,000

1,243,275,000

$

$

$

528,184,800

1,053,000,000

1,117,399,170

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
$

583,467,339

Amount
$

Description

$

90,269,076

$

437,915,724 Membership Interest

9/17/2012

$

8,833,632

$

429,082,092 Membership Interest

10/15/2012

$

10,055,653

$

419,026,439 Membership Interest

11/5/2012

$

419,026,439

$

7/31/2012

$

175,000,000

$

8/14/2012

$

5,539,055

$

8/31/2012

$

16,000,000

$

9/17/2012

$

1,667,352

$

9/28/2012

$

35,000,000

$

10/15/2012

$

25,334,218

$

10/18/2012

$

794,459,374

$

$

1,030,299,606 Membership Interest

3/14/2012

$

99,462,003

$

930,837,603 Membership Interest

5/14/2012

$

74,999,625

$

855,837,978 Membership Interest

7/16/2012

$

18,749,906

$

837,088,072 Membership Interest

8/14/2012

$

68,399,658

$

768,688,414 Membership Interest

9/17/2012

$

124,999,375

$

643,689,039 Membership Interest

10/15/2012

$

240,673,797

$

403,015,242 Membership Interest

11/15/2012

$

45,764,825

$

357,250,417 Membership Interest

12/14/2012

$

24,588,926

$

332,661,491 Membership Interest

1/15/2013

$

30,470,429

$

302,191,061 Membership Interest

2/14/2013

$

295,328,636

$

6,862,425 Membership Interest

2/14/2012

$

174,200,000

$

3/14/2012

$

198,925,000

$

5/14/2012

$

150,000,000

$

7/16/2012

$

37,500,000

$

8/14/2012

$

136,800,000

$

9/17/2012

$

250,000,000

$

10/15/2012

$

481,350,000

$

11/15/2012

$

274,590,324

$

12/14/2012

$

147,534,295

$

1/15/2013

$

182,823,491

$

8/13/2013

Distribution Refund

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

2/21/2013

Distribution

2/27/2013

Distribution

3/14/2013

Distribution

4/19/2013

Distribution

4/25/2013

Distribution

5/29/2013

Distribution

4/19/2013

Distribution

Proceeds
$
$

16,967
(460)

10
10

- Contingent Proceeds

87,099,565

$

5, 11

Distribution

5, 11

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

12/21/2012

10

- Membership Interest 10

2/14/2012

$

Distribution or Disposition

Date

- Contingent Proceeds

8/14/2012

2/21/2013

2

Investment After Capital Repayment

5, 11

5, 11

$

8,289,431

$

1,433,088

$

141,894

$

184,431,858

10
10
10
10
10
10
10
10
10
10
10

- Membership Interest 10

5, 11
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

$

17,118,005

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
Debt Obligation w/ Contingent
383,898,721 Proceeds
Debt Obligation w/ Contingent
201,075,230 Proceeds
5, 11

75

Preliminary Adjusted
Seller

Footnote

Date

Name of Institution

Commitment

City

Transaction
State
Type

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
2/14/2013

1

11/4/2009

RLJ Western Asset Public/Private Master Fund, L.P.

Wilmington

DE

Purchase

Membership Interest

$

1,111,111,111

Par

3/22/2010 6 $ 1,244,437,500

7/16/2010

$

620,578,258

$

620,578,258

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

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

Amount
$

Description

$

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

$

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

$

- Membership Interest 10

- Contingent Proceeds

$

74,499,628

$

400,050,373 Membership Interest

11/15/2012

$

59,787,459

$

340,262,914 Membership Interest

12/14/2012

$

40,459,092

$

299,803,821 Membership Interest

1/15/2013

$

10,409,317

$

289,394,504 Membership Interest

1/30/2013

$

219,998,900

$

69,395,604 Membership Interest

2/25/2013

$

39,026,406

$

30,369,198 Membership Interest

30,369,198

$

9/17/2012

$

149,000,000

$

11/15/2012

$

119,575,516

$

11/20/2012

$

195,000,000

$

12/14/2012

$

47,755,767

$

1/15/2013

$

62,456,214

$

1/24/2013

$

375,212,503

$

Description
5, 11

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

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

5/16/2013

Distribution

7/11/2013

Distribution

9/5/2013

Distribution

12/27/2013

Distribution

5, 11

5, 11
5, 11

5, 11

Proceeds
$

1,052,497

$

1,230,643

$

147,464,888

$

148,749,256

$

549,997

$

75,372

$

6,789,287

$

3,718,769

$

13,750

$

1,884

Debt Obligation w/ 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

Date

- Contingent Proceeds

1,202,957

3/25/2013

2

201,075,230

$

9/21/2012

1

Repayment Amount
$

3/14/2011

10/19/2012

2

Investment After Capital Repayment

- Membership Interest

5, 11
5, 11

5, 11

10
10
10
10
10
10

10

5, 11
5, 11
5, 11
5, 11
5, 11
5, 11

$

164,629,827

$

71,462,104

$

38,536,072

$

29,999,850

$

3,999,980

$

5,707,723

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

- Contingent Proceeds

5, 11
5, 11
5, 11
5, 11
5, 11

$

7,143,340

$

963,411

$

750,004

$

100,001

$

142,168

76

Preliminary Adjusted
Seller

Footnote
1

Date

Name of Institution

12/18/2009 Oaktree PPIP Fund, L.P.

Commitment

City
Wilmington

Transaction
State
Type
DE

Purchase

Commitment
Amount

Investment Description
Membership Interest

$

1,111,111,111

Pricing
Mechanism
Par

Date

3

Amount

3/22/2010 6 $ 1,244,437,500

Final Investment
Final Commitment Amount

Date
7/16/2010

7

Amount

Amount
$

1,160,784,100

9

Amount
$

555,904,633

Capital Repayment Details
Repayment
Date

Investment After Capital Repayment

Repayment Amount

Amount

Description

Date

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, 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

$

46,575,750

$

54,999,725

$

27,999,860

$

11,749,941

$

40,974,795

$

539,009

77

Preliminary Adjusted
Seller

Footnote
2

Date

Name of Institution

12/18/2009 Oaktree PPIP Fund, L.P.

Commitment

City
Wilmington

Transaction
State
Type
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, respectively.
The $356 million of final investment in the TCW fund will remain a part of Treasury's total maximum S-PPIP investment amount.
7/ Amount adjusted to show Treasury's final capital commitment (membership interest) and the maximum amount of Treasury's debt obligation that may be drawn down in accordance with the Loan Agreement.
8/ On 09/26/2011, the General Partner notified Treasury that the Investment Period was terminated in accordance with the Limited Partnership Agreement. As a result, the Final Investment Amount, representing Treasury's debt obligation, has been reduced to the cumulative amount of debt funded.
9/ Cumulative capital drawn at end of the Investment Period.
10/ The Amount is adjusted to reflect pro-rata equity distributions that have been deemed to be capital repayments to Treasury.
11/ Distribution represents a gain on funded capital and is subject to revision pending any additional fundings of the outstanding commitment.
12/ On 08/23/2012, AllianceBernstein agreed to de-obligate its unused debt commitment. The Final Investment Amount represents the cumulative capital drawn as of the de-obligation.
13/ On, 6/5/2013, Invesco Mortgage Recovery Master Fund L.P. made a distribution to Treasury that is the result of adjustments made to positions previously held by the Invesco Legacy Securities Master Fund, L.P. “Partnership”, of which The U.S. Department of the Treasury is a Limited Partner. The adjusted distribution was made 18 months after the Final Distribution on 9/28/2012.

78

U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Transactions Report - Housing Programs
For Period Ending December 23, 2013

MAKING HOME AFFORDABLE PROGRAM
Servicer Modifying Borrowers' Loans
Name of Institution

Date
4/13/2009

Adjustment Details
City

Select Portfolio Servicing

Salt Lake City

State

Transaction
Type

UT

Purchase

Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Investment Description
Financial Instrument for Home Loan Modifications

$

376,000,000

Pricing
Mechanism
N/A

10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
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
10722

MO

Purchase

Financial Instrument for Home Loan Modifications

$

2,071,000,000

N/A

Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

6/12/2009

$

284,590,000

$

Reason for Adjustment

9/30/2009

$

121,910,000

$

12/30/2009

$

131,340,000

$

660,590,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
782,500,000 initial cap
Updated portfolio data from servicer & HAFA
913,840,000 initial cap

3/26/2010

$

(355,530,000)

$

558,310,000 Updated portfolio data from servicer

7/14/2010

$

128,690,000

$

687,000,000 Updated portfolio data from servicer

9/30/2010

$

4,000,000

$

691,000,000 Initial FHA-HAMP cap and initial FHA-2LP cap

9/30/2010

$

59,807,784

$

750,807,784 Updated portfolio data from servicer

11/16/2010

$

(700,000)

$

750,107,784 Transfer of cap due to servicing transfer

12/15/2010

$

64,400,000

$

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

$

100,000

$

812,307,145 Transfer of cap due to servicing transfer

3/16/2011

$

3,600,000

$

3/30/2011

$

(735)

$

815,907,145 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
815,906,410 reallocation

4/13/2011

$

(100,000)

$

815,806,410 Transfer of cap due to servicing transfer

5/13/2011

$

400,000

$

816,206,410 Transfer of cap due to servicing transfer

6/16/2011

$

(100,000)

$

6/29/2011

$

(6,805)

$

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

$

200,000

$

815,799,605 Transfer of cap due to servicing transfer

3/15/2012

$

24,800,000

$

840,599,605 Transfer of cap due to servicing transfer

4/16/2012

$

1,900,000

$

842,499,605 Transfer of cap due to servicing transfer

5/16/2012

$

80,000

$

842,579,605 Transfer of cap due to servicing transfer

6/14/2012

$

8,710,000

$

6/28/2012

$

(5,176)

$

851,289,605 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
851,284,429 reallocation

7/16/2012

$

2,430,000

$

853,714,429 Transfer of cap due to servicing transfer

8/16/2012

$

2,310,000

$

9/27/2012

$

(13,961)

$

856,024,429 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
856,010,468 reallocation

10/16/2012

$

126,940,000

$

982,950,468 Transfer of cap due to servicing transfer

11/15/2012

$

9,990,000

$

992,940,468 Transfer of cap due to servicing transfer

12/14/2012

$

10,650,000

$

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

$

18,650,000

$

1,022,237,805 Transfer of cap due to servicing transfer

2/14/2013

$

10,290,000

$

1,032,527,805 Transfer of cap due to servicing transfer

3/14/2013

$

4,320,000

$

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

$

840,000

$

1,037,677,689 Transfer of cap due to servicing transfer

5/16/2013

$

1,330,000

$

1,039,007,689 Transfer of cap due to servicing transfer

6/14/2013

$

3,620,000

$

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

$

105,080,000

$

1,147,704,125 Transfer of cap due to servicing transfer

8/15/2013

$

10,000

$

1,147,714,125 Transfer of cap due to servicing transfer

9/16/2013

$

98,610,000

$

9/27/2013

$

(1,541)

$

1,246,324,125 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,246,322,584 reallocation

10/15/2013

$

1,280,000

$

1,247,602,584 Transfer of cap due to servicing transfer

11/14/2013

$

15,130,000

$

1,262,732,584 Transfer of cap due to servicing transfer

12/16/2013

$

6,290,000

$

12/23/2013

$

(2,481,777)

$

1,269,022,584 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,266,540,807 reallocation

6/12/2009

$

(991,580,000)

$

9/30/2009

$

1,010,180,000

$

12/30/2009

$

(105,410,000)

$

3/26/2010

$

(199,300,000)

$

4/19/2010

$

(230,000)

$

5/14/2010

$

(3,000,000)

$

6/16/2010

$

(12,280,000)

$

7/14/2010

$

(757,680,000)

$

7/16/2010

$

(7,110,000)

$

8/13/2010

$

(6,300,000)

$

9/15/2010

$

(8,300,000)

$

1,079,420,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
2,089,600,000 initial cap
Updated portfolio data from servicer & HAFA
1,984,190,000 initial 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,
1,781,660,000 LLC 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
Transfer of cap to multiple servicers due to
989,990,000 servicing transfer

79

Servicer Modifying Borrowers' Loans
Date

Name of Institution

Adjustment Details
City

State

Transaction
Type

Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Investment Description

Pricing
Mechanism

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
10423
10423

IA

Purchase

Financial Instrument for Home Loan Modifications

$

2,873,000,000

N/A

Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

9/30/2010

$

32,400,000

$

1,022,390,000 Initial FHA-HAMP cap and initial FHA-2LP cap

9/30/2010

$

101,287,484

$

1,123,677,484 Updated portfolio data from servicer

10/15/2010

$

(1,400,000)

$

1,122,277,484 Transfer of cap due to servicing transfer

11/16/2010

$

(3,200,000)

$

1,119,077,484 Transfer of cap due to servicing transfer

1/6/2011

$

(981)

$

1,119,076,503 Updated portfolio data from servicer

1/13/2011

$

(10,500,000)

$

1,108,576,503 Transfer of cap due to servicing transfer

2/16/2011

$

(4,600,000)

$

1,103,976,503 Transfer of cap due to servicing transfer

3/16/2011

$

(30,500,000)

$

3/30/2011

$

(1,031)

$

1,073,476,503 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,073,475,472 reallocation

4/13/2011

$

100,000

$

1,073,575,472 Transfer of cap due to servicing transfer

5/13/2011

$

(7,200,000)

$

1,066,375,472 Transfer of cap due to servicing transfer

6/16/2011

$

(400,000)

$

6/29/2011

$

(9,131)

$

1,065,975,472 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,065,966,341 reallocation

7/14/2011

$

(14,500,000)

$

1,051,466,341 Transfer of cap due to servicing transfer

8/16/2011

$

(1,600,000)

$

1,049,866,341 Transfer of cap due to servicing transfer

9/15/2011

$

700,000

$

1,050,566,341 Transfer of cap due to servicing transfer

10/14/2011

$

15,200,000

$

1,065,766,341 Transfer of cap due to servicing transfer

11/16/2011

$

(2,900,000)

$

1,062,866,341 Transfer of cap due to servicing transfer

12/15/2011

$

(5,000,000)

$

1,057,866,341 Transfer of cap due to servicing transfer

1/13/2012

$

(900,000)

$

1,056,966,341 Transfer of cap due to servicing transfer

2/16/2012

$

(1,100,000)

$

1,055,866,341 Transfer of cap due to servicing transfer

3/15/2012

$

(1,700,000)

$

1,054,166,341 Transfer of cap due to servicing transfer

4/16/2012

$

(600,000)

$

1,053,566,341 Transfer of cap due to servicing transfer

5/16/2012

$

(340,000)

$

1,053,226,341 Transfer of cap due to servicing transfer

6/14/2012

$

(2,880,000)

$

6/28/2012

$

(5,498)

$

1,050,346,341 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,050,340,843 reallocation

7/16/2012

$

(298,960,000)

$

751,380,843 Transfer of cap due to servicing transfer

7/27/2012

$

263,550,000

$

1,014,930,843 Transfer of cap due to servicing transfer

8/16/2012

$

30,000

$

9/27/2012

$

(12,722)

$

1,014,960,843 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,014,948,121 reallocation

10/16/2012

$

(4,020,000)

$

1,010,928,121 Transfer of cap due to servicing transfer

11/15/2012

$

(1,460,000)

$

1,009,468,121 Transfer of cap due to servicing transfer

12/14/2012

$

(6,000,000)

$

12/27/2012

$

(1,916)

$

1,003,468,121 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,003,466,205 reallocation

2/14/2013

$

(8,450,000)

$

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

$

(2,161)

$

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)

$

908,006,828 Transfer of cap due to servicing transfer

12/16/2013

$

(8,600,000)

$

12/23/2013

$

(769,699)

$

899,406,828 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
898,637,129 reallocation

6/17/2009

$

(462,990,000)

$

9/30/2009

$

65,070,000

$

12/30/2009

$

1,213,310,000

$

2/17/2010

$

2,050,236,344

$

3/12/2010

$

54,767

$

2,410,010,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
2,475,080,000 initial cap
Updated portfolio data from servicer & HAFA
3,688,390,000 initial 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

3/19/2010

$

668,108,890

$

6,406,790,000 Initial 2MP cap

3/26/2010

$

683,130,000

$

7,089,920,000 Updated portfolio data from servicer

7/14/2010

$

(2,038,220,000)

$

5,051,700,000 Updated portfolio data from servicer

9/30/2010

$

(287,348,828)

$

9/30/2010

$

344,000,000

$

4,764,351,172 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
5,108,351,172 initial RD-HAMP

12/3/2010

$

8,413,225

$

5,116,764,397 Transfer of cap (from Wachovia) due to merger

12/15/2010

$

22,200,000

$

5,138,964,397 Updated portfolio data from servicer

1/6/2011

$

(6,312)

$

5,138,958,085 Updated portfolio data from servicer

1/13/2011

$

(100,000)

$

5,138,858,085 Transfer of cap due to servicing transfer

3/16/2011

$

(100,000)

$

3/30/2011

$

(7,171)

$

5,138,758,085 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,138,750,914 reallocation

4/13/2011

$

(9,800,000)

$

5,128,950,914 Transfer of cap due to servicing transfer

5/13/2011

$

100,000

$

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

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

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

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
10315
10315
10315

PA

Purchase

Financial Instrument for Home Loan Modifications

$

633,000,000

N/A

Note

Adjustment
Date

Cap Adjustment Amount

9/15/2011

$

10/14/2011
11/16/2011
12/15/2011

Adjusted Cap

Reason for Adjustment

1,400,000

$

5,126,387,058 Transfer of cap due to servicing transfer

$

200,000

$

5,126,587,058 Transfer of cap due to servicing transfer

$

(200,000)

$

5,126,387,058 Transfer of cap due to servicing transfer

$

(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)

$

5,121,237,058 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,121,197,135 reallocation

8/16/2012

$

(120,000)

$

9/27/2012

$

(104,111)

$

5,121,077,135 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,120,973,024 reallocation

10/16/2012

$

(1,590,000)

$

5,119,383,024 Transfer of cap due to servicing transfer

11/15/2012

$

(2,910,000)

$

5,116,473,024 Transfer of cap due to servicing transfer

12/14/2012

$

(1,150,000)

$

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

$

(6,701)

$

5,092,177,327 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,092,170,626 reallocation

10/15/2013

$

(780,000)

$

5,091,390,626 Transfer of cap due to servicing transfer

11/14/2013

$

(60,000)

$

5,091,330,626 Transfer of cap due to servicing transfer

12/16/2013

$

(860,000)

$

12/23/2013

$

(10,569,304)

$

5,090,470,626 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,079,901,322 reallocation

6/12/2009

$

384,650,000

$

9/30/2009

$

2,537,240,000

$

12/30/2009

$

(1,679,520,000)

$

3/26/2010

$

190,180,000

$

5/14/2010

$

1,880,000

$

2,065,550,000 Updated portfolio data from servicer
Transfer of cap from Wilshire Credit Corporation
2,067,430,000 due to servicing transfer

7/14/2010

$

(881,530,000)

$

1,185,900,000 Updated portfolio data from servicer

8/13/2010

$

(3,700,000)

$

9/30/2010

$

119,200,000

$

1,182,200,000 Transfer of cap due to servicing transfer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
1,301,400,000 initial 2MP cap

1,017,650,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
3,554,890,000 initial cap
Updated portfolio data from servicer & HAFA
1,875,370,000 initial cap

9/30/2010

$

216,998,139

$

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)

$

1,517,796,405 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,517,794,381 reallocation

4/13/2011

$

(800,000)

$

1,516,994,381 Transfer of cap due to servicing transfer

5/13/2011

$

(17,900,000)

$

6/29/2011

$

(18,457)

$

1,499,094,381 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,499,075,924 reallocation

7/14/2011

$

(200,000)

$

1,498,875,924 Transfer of cap due to servicing transfer

8/16/2011

$

3,400,000

$

1,502,275,924 Transfer of cap due to servicing transfer

9/15/2011

$

200,000

$

1,502,475,924 Transfer of cap due to servicing transfer

10/14/2011

$

(800,000)

$

1,501,675,924 Transfer of cap due to servicing transfer

11/16/2011

$

(200,000)

$

1,501,475,924 Transfer of cap due to servicing transfer

12/15/2011

$

2,600,000

$

1,504,075,924 Transfer of cap due to servicing transfer

1/13/2012

$

(1,600,000)

$

1,502,475,924 Transfer of cap due to servicing transfer

3/15/2012

$

(400,000)

$

1,502,075,924 Transfer of cap due to servicing transfer

4/16/2012

$

(100,000)

$

1,501,975,924 Transfer of cap due to servicing transfer

5/16/2012

$

(800,000)

$

1,501,175,924 Transfer of cap due to servicing transfer

6/14/2012

$

(990,000)

$

6/28/2012

$

(12,463)

$

1,500,185,924 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,500,173,461 reallocation

8/16/2012

$

10,000

$

9/27/2012

$

(33,210)

$

1,500,183,461 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,500,150,251 reallocation

11/15/2012

$

(1,200,000)

$

1,498,950,251 Transfer of cap due to servicing transfer

12/14/2012

$

40,000

$

12/27/2012

$

(5,432)

$

1,498,990,251 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,498,984,819 reallocation

1/16/2013

$

60,000

$

1,499,044,819 Transfer of cap due to servicing transfer

2/14/2013

$

(30,000)

$

1,499,014,819 Transfer of cap due to servicing transfer

81

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
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
10500
10500
10500
10500

2

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

3/14/2013

$

(80,000)

$

3/25/2013

$

(19,838)

$

6/14/2013

$

30,000

$

6/27/2013

$

(7,105)

$

9/16/2013

$

(66,500,000)

$

9/27/2013

$

(2,430)

$

1,432,437,876 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,432,435,446 reallocation

10/15/2013

$

(197,220,000)

$

1,235,215,446 Transfer of cap due to servicing transfer

11/14/2013

$

(30,000)

$

1,235,185,446 Transfer of cap due to servicing transfer

12/16/2013

$

(2,230,000)

$

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

6/17/2009

$

225,040,000

$

9/30/2009

$

254,380,000

$

12/30/2009

$

355,710,000

$

3/26/2010

$

(57,720,000)

$

6/16/2010

$

(156,050,000)

$

7/14/2010

$

(513,660,000)

$

514,700,000 Updated portfolio data from servicer

7/16/2010

$

(22,980,000)

$

491,720,000 Transfer of cap due to multiple servicing transfers

9/15/2010

$

1,800,000

$

493,520,000 Transfer of cap due to servicing transfer

9/30/2010

$

9,800,000

$

503,320,000 Initial FHA-HAMP cap and initial FHA-2LP cap

9/30/2010

$

116,222,668

$

619,542,668 Updated portfolio data from servicer

10/15/2010

$

100,000

$

619,642,668 Transfer of cap due to servicing transfer

12/15/2010

$

8,900,000

$

628,542,668 Updated portfolio data from servicer

1/6/2011

$

(556)

$

628,542,112 Updated portfolio data from servicer

1/13/2011

$

2,300,000

$

630,842,112 Transfer of cap due to servicing transfer

3/16/2011

$

700,000

$

3/30/2011

$

(654)

$

631,542,112 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
631,541,458 reallocation

4/13/2011

$

2,100,000

$

6/29/2011

$

(6,144)

$

633,641,458 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
633,635,314 reallocation

7/14/2011

$

200,000

$

633,835,314 Transfer of cap due to servicing transfer

8/16/2011

$

(100,000)

$

633,735,314 Transfer of cap due to servicing transfer

9/15/2011

$

(700,000)

$

633,035,314 Transfer of cap due to servicing transfer

12/15/2011

$

17,500,000

$

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

$

100,000

$

650,535,314 Transfer of cap due to servicing transfer

4/16/2012

$

(17,500,000)

$

633,035,314 Transfer of cap due to servicing transfer

5/16/2012

$

(760,000)

$

632,275,314 Transfer of cap due to servicing transfer

6/14/2012

$

(354,290,000)

$

6/28/2012

$

(1,831)

$

277,985,314 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
277,983,483 reallocation

7/16/2012

$

(10,120,000)

$

267,863,483 Transfer of cap due to servicing transfer

8/16/2012

$

(10,000)

$

9/27/2012

$

(4,701)

$

267,853,483 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
267,848,782 reallocation

10/16/2012

$

(9,220,000)

$

258,628,782 Transfer of cap due to servicing transfer

11/15/2012

$

(30,000)

$

258,598,782 Transfer of cap due to servicing transfer

12/14/2012

$

60,000

$

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)

$

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

4/9/2013

$

(157,237,929)

$

7/31/2009

$

(3,552,000,000)

$

6/12/2009

$

(105,620,000)

$

1,498,934,819 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,498,914,981 reallocation
1,498,944,981 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,498,937,876 reallocation

632,040,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
886,420,000 initial cap
Updated portfolio data from servicer & HAFA
1,242,130,000 initial 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

- Termination of SPA
553,380,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
655,960,000 initial cap
Updated portfolio data from servicer & HAFA
933,600,000 initial cap

9/30/2009

$

102,580,000

$

12/30/2009

$

277,640,000

$

3/26/2010

$

46,860,000

$

6/16/2010

$

156,050,000

$

7/14/2010

$

(191,610,000)

$

7/16/2010

$

23,710,000

$

944,900,000 Updated portfolio data from servicer
Transfer of cap from Saxon Mortgage Services,
968,610,000 Inc. due to servicing transfer

9/15/2010

$

100,000

$

968,710,000 Initial FHA-HAMP cap

9/30/2010

$

3,742,740

$

10/15/2010

$

170,800,000

$

1,143,252,740 Transfer of cap due to servicing transfer

980,460,000 Updated portfolio data from servicer
Transfer of cap from Saxon Mortgage Services,
1,136,510,000 Inc. due to servicing transfer

972,452,740 Updated portfolio data from servicer

1/6/2011

$

(1,020)

$

1,143,251,720 Updated portfolio data from servicer

2/16/2011

$

900,000

$

3/30/2011

$

(1,114)

$

6/29/2011

$

(10,044)

$

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

10/14/2011

$

(100,000)

$

1,144,040,562 Transfer of cap due to servicing transfer

1/13/2012

$

194,800,000

$

1,338,840,562 Transfer of cap due to servicing transfer

2/16/2012

$

400,000

$

1,339,240,562 Transfer of cap due to servicing transfer

3/15/2012

$

100,000

$

1,339,340,562 Transfer of cap due to servicing transfer

5/16/2012

$

123,530,000

$

1,462,870,562 Transfer of cap due to servicing transfer

82

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
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

4/17/2009 as
amended on
1/26/2010

10512

13

10512

13

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
1000832
1000832
1000832
1000832

Simi Valley

CA

Purchase

Financial Instrument for Home Loan Modifications

$

1,864,000,000

N/A

Adjustment
Date

Cap Adjustment Amount

6/14/2012

$

6/28/2012
7/16/2012
8/16/2012

Adjusted Cap
$

$

(6,308)

$

1,817,160,562 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,817,154,254 reallocation

$

10,080,000

$

1,827,234,254 Transfer of cap due to servicing transfer

$

8,390,000

$

9/27/2012

$

(10,733)

$

1,835,624,254 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,835,613,521 reallocation

10/16/2012

$

14,560,000

$

1,850,173,521 Transfer of cap due to servicing transfer

11/15/2012

$

13,240,000

$

1,863,413,521 Transfer of cap due to servicing transfer

12/14/2012

$

2,080,000

$

12/27/2012

$

(1,015)

$

1,865,493,521 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,865,492,506 reallocation

1/16/2013

$

410,000

$

1,865,902,506 Transfer of cap due to servicing transfer

2/14/2013

$

960,000

$

1,866,862,506 Transfer of cap due to servicing transfer

3/14/2013

$

83,880,000

$

3/25/2013

$

(1,877)

$

4/9/2013

$

157,237,929

$

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

$

620,860,000

$

2,728,838,558 Transfer of cap due to servicing transfer

5/16/2013

$

18,970,000

$

2,747,808,558 Transfer of cap due to servicing transfer

6/14/2013

$

(190,000)

$

6/27/2013

$

(2,817)

$

2,747,618,558 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
2,747,615,741 reallocation

7/16/2013

$

14,710,000

$

2,762,325,741 Transfer of cap due to servicing transfer

9/16/2013

$

66,170,000

$

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

$

267,580,000

$

3,096,075,465 Transfer of cap due to servicing transfer

11/14/2013

$

4,290,000

$

3,100,365,465 Transfer of cap due to servicing transfer

12/16/2013

$

280,370,000

$

12/23/2013

$

49,286,732

$

3,380,735,465 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,430,022,197 reallocation

6/12/2009

$

5,540,000

$

9/30/2009

$

162,680,000

$

12/30/2009

$

665,510,000

$

804,440,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
967,120,000 initial cap
Updated portfolio data from servicer & HAFA
1,632,630,000 initial cap

1/26/2010

$

800,390,000

$

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

$

95,300,000

$

1,236,900,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
1,332,200,000 initial RD-HAMP

9/30/2010

$

222,941,084

$

1,555,141,084 Updated portfolio data from servicer

1/6/2011

$

(2,199)

$

3/30/2011

$

(2,548)

$

6/29/2011

$

(23,337)

$

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

8/16/2011

$

(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)

$

1,433,013,000 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

8/10/2012

$

(1,401,716,594)

$

10/16/2013

$

(260,902)

$

6/12/2009

$

3,318,840,000

$

9/30/2009

$

(717,420,000)

$

12/30/2009

$

2,290,780,000

$

5,182,840,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
4,465,420,000 initial cap
Updated portfolio data from servicer & HAFA
6,756,200,000 initial cap

1/26/2010

$

450,100,000

$

7,206,300,000 Initial 2MP cap

3/26/2010

$

905,010,000

$

4/19/2010

$

10,280,000

$

6/16/2010

$

286,510,000

$

8,111,310,000 Updated portfolio data from servicer
Transfer of cap from Wilshire Credit Corporation
8,121,590,000 due to servicing transfer
Transfer of cap from Wilshire Credit Corporation
8,408,100,000 due to servicing transfer

7/14/2010

$

(1,787,300,000)

$

9/30/2010

$

105,500,000

$

6,620,800,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
6,726,300,000 initial RD-HAMP

9/30/2010

$

(614,527,362)

$

6,111,772,638 Updated portfolio data from servicer

12/15/2010

$

236,000,000

$

6,347,772,638 Updated portfolio data from servicer

1/6/2011

$

(8,012)

$

6,347,764,626 Updated portfolio data from servicer

2/16/2011

$

1,800,000

$

6,349,564,626 Transfer of cap due to servicing transfer

3/16/2011

$

100,000

$

3/30/2011

$

(9,190)

$

6,349,664,626 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,349,655,436 reallocation

4/13/2011

$

200,000

$

6,349,855,436 Transfer of cap due to servicing transfer

5/13/2011

$

300,000

$

6,350,155,436 Transfer of cap due to servicing transfer

6/16/2011

$

(1,000,000)

$

6/29/2011

$

(82,347)

$

6,349,155,436 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,349,073,089 reallocation

7/14/2011

$

(200,000)

$

6,348,873,089 Transfer of cap due to servicing transfer

8/16/2011

$

(3,400,000)

$

6,345,473,089 Transfer of cap due to servicing transfer

9/15/2011

$

(1,400,000)

$

6,344,073,089 Transfer of cap due to servicing transfer

10/14/2011

$

120,600,000

$

10/19/2011

$

317,956,289

$

6,464,673,089 Transfer of cap due to servicing transfer
Transfer of cap (from Home Loan Services, Inc.
and Wilshire Credit Corporation due to merger.)
6,782,629,378

11/16/2011

$

800,000

$

6,783,429,378 Transfer of cap due to servicing transfer

1000832
1000832

Reason for Adjustment

354,290,000

83

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
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

OR

Purchase

Financial Instrument for Home Loan Modifications

$

366,000,000

N/A

10205
10205
10205
10205
10205
10205
10205
10205
10205
10205
10205
10205
10205
10205
4/24/2009

Green Tree Servicing LLC

13
Saint Paul

10309
10309
10309
10309
10309

MN

Purchase

Financial Instrument for Home Loan Modifications

$

156,000,000

N/A

Adjustment
Date

Cap Adjustment Amount

12/15/2011

$

2/16/2012
3/15/2012
4/16/2012

Adjusted Cap

Reason for Adjustment

(17,600,000)

$

6,765,829,378 Transfer of cap due to servicing transfer

$

(2,100,000)

$

6,763,729,378 Transfer of cap due to servicing transfer

$

(23,900,000)

$

6,739,829,378 Transfer of cap due to servicing transfer

$

(63,800,000)

$

6,676,029,378 Transfer of cap due to servicing transfer

5/16/2012

$

20,000

$

6,676,049,378 Transfer of cap due to servicing transfer

6/14/2012

$

(8,860,000)

$

6/28/2012

$

(58,550)

$

6,667,189,378 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,667,130,828 reallocation

7/16/2012

$

(6,840,000)

$

8/10/2012

$

1,401,716,594

$

8/16/2012

$

(4,780,000)

$

9/27/2012

$

(205,946)

$

8,057,227,423 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
8,057,021,476 reallocation

10/16/2012

$

(153,220,000)

$

7,903,801,476 Transfer of cap due to servicing transfer

11/15/2012

$

(27,300,000)

$

7,876,501,476 Transfer of cap due to servicing transfer

12/14/2012

$

(50,350,000)

$

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)

$

7,751,387,961 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
7,751,265,357 reallocation

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)

$

7,731,965,357 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
7,731,920,254 reallocation

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)

$

7,408,970,254 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
7,408,954,843 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

9/27/2013

$

(15,411)

$

10/15/2013

$

(79,200,000)

$

10/16/2013

$

260,902

$

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

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

6/12/2009

$

128,300,000

$

9/30/2009

$

46,730,000

$

12/30/2009

$

145,820,000

$

447,300,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
494,030,000 initial cap
Updated portfolio data from servicer & HAFA
639,850,000 initial 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

$

6,700,000

$

556,100,000 Initial FHA-2LP cap

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)

$

162,173,357 Transfer of cap due to servicing transfer

3/16/2011

$

(400,000)

$

3/30/2011

$

(278)

$

161,773,357 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
161,773,079 reallocation

5/13/2011

$

(400,000)

$

6/29/2011

$

(2,625)

$

10/19/2011

$

(155,061,221)

$

6/12/2009

$

87,130,000

$

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
203,460,000 initial cap
Updated portfolio data from servicer & HAFA
323,160,000 initial cap

9/30/2009

$

(249,670,000)

$

12/30/2009

$

119,700,000

$

3/26/2010

$

52,270,000

$

4/19/2010

$

(10,280,000)

$

5/14/2010

$

(1,880,000)

$

6/16/2010

$

(286,510,000)

$

7/14/2010

$

19,540,000

$

7/16/2010

$

(210,000)

$

8/13/2010

$

(100,000)

$

9/30/2010

$

68,565,782

$

164,555,782 Updated portfolio data from servicer
164,555,535 Updated portfolio data from servicer
Updated due to quarterly assessment and
164,555,241 reallocation
Updated due to quarterly assessment and
164,552,462 reallocation

1/6/2011

$

(247)

$

3/30/2011

$

(294)

$

6/29/2011

$

(2,779)

$

10/19/2011

$

(162,895,068)

$

6/17/2009

$

(64,990,000) $

375,430,000 Updated portfolio data from servicer
Transfer of cap to Countrywide Home Loans due
365,150,000 to servicing transfer
Transfer of cap to GMAC Mortgage, Inc. due to
363,270,000 servicing transfer
Transfer of cap to Countrywide Home Loans due
76,760,000 to servicing transfer
96,300,000 Updated portfolio data from servicer
Transfer of cap to Green Tree Servicing LLC due
96,090,000 to servicing transfer
95,990,000 Transfer of cap due to servicing transfer

1,657,394 Termination of SPA

9/30/2009

$

130,780,000

$

12/30/2009

$

(116,750,000)

$

91,010,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
221,790,000 initial cap
Updated portfolio data from servicer & HAFA
105,040,000 initial cap

3/26/2010

$

13,080,000

$

118,120,000 Updated portfolio data from servicer

7/14/2010

$

(24,220,000)

$

7/16/2010

$

210,000

$

93,900,000 Updated portfolio data from servicer
Transfer of cap from Wilshire Credit Corporation
94,110,000 due to servicing transfer

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

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
10503
10503
10503
10503
10503
10503
10503
10503

CA

Purchase

Financial Instrument for Home Loan Modifications

$

195,000,000

N/A

Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

8/13/2010

$

2,200,000

$

96,310,000 Transfer of cap due to servicing transfer

9/10/2010

$

34,600,000

$

130,910,000 Initial 2MP cap

9/30/2010

$

5,600,000

$

136,510,000 Initial FHA-2LP cap and FHA-HAMP

9/30/2010

$

10,185,090

$

146,695,090 Updated portfolio data from servicer

10/15/2010

$

400,000

$

147,095,090 Transfer of cap due to servicing transfer

1/6/2011

$

(213)

$

3/30/2011

$

(250)

$

147,094,877 Updated portfolio data from servicer
Updated due to quarterly assessment and
147,094,627 reallocation

5/13/2011

$

1,200,000

$

148,294,627 Transfer of cap due to servicing transfer

6/16/2011

$

100,000

$

6/29/2011

$

(2,302)

$

148,394,627 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
148,392,325 reallocation

7/14/2011

$

1,900,000

$

150,292,325 Transfer of cap due to servicing transfer

9/15/2011

$

200,000

$

150,492,325 Transfer of cap due to servicing transfer

10/14/2011

$

200,000

$

150,692,325 Transfer of cap due to servicing transfer

11/16/2011

$

400,000

$

151,092,325 Transfer of cap due to servicing transfer

2/16/2012

$

900,000

$

151,992,325 Transfer of cap due to servicing transfer

3/15/2012

$

100,000

$

152,092,325 Transfer of cap due to servicing transfer

5/16/2012

$

3,260,000

$

155,352,325 Transfer of cap due to servicing transfer

6/14/2012

$

920,000

$

6/28/2012

$

(1,622)

$

156,272,325 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
156,270,703 reallocation

7/16/2012

$

110,000

$

156,380,703 Transfer of cap due to servicing transfer

8/16/2012

$

5,120,000

$

9/27/2012

$

(4,509)

$

161,500,703 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
161,496,194 reallocation

10/16/2012

$

8,810,000

$

170,306,194 Transfer of cap due to servicing transfer

11/15/2012

$

2,910,000

$

12/27/2012

$

(802)

$

173,216,194 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
173,215,392 reallocation

2/14/2013

$

10,210,000

$

3/25/2013

$

(3,023)

$

5/16/2013

$

140,000

$

6/27/2013

$

(1,077)

$

183,562,369 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
183,561,292 reallocation

7/16/2013

$

7,210,000

$

190,771,292 Transfer of cap due to servicing transfer

8/15/2013

$

6,730,000

$

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

$

3,610,000

$

201,110,904 Transfer of cap due to servicing transfer

11/14/2013

$

(320,000)

$

200,790,904 Transfer of cap due to servicing transfer

12/16/2013

$

21,280,000

$

12/23/2013

$

(710,351)

$

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

$

12/30/2009

$

3/26/2010

$

7/14/2010

$

8/13/2010

$

9/30/2010

183,425,392 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
183,422,369 reallocation

90,990,000

$

57,980,000

$

131,020,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
222,010,000 initial cap
Updated portfolio data from servicer & HAFA
279,990,000 initial cap

74,520,000

$

354,510,000 Updated portfolio data from servicer

(75,610,000)

$

278,900,000 Updated portfolio data from servicer

1,100,000

$

280,000,000 Transfer of cap due to servicing transfer

$

3,763,685

$

283,763,685 Updated portfolio data from servicer

12/15/2010

$

300,000

$

284,063,685 Updated portfolio data from servicer

1/6/2011

$

(325)

$

284,063,360 Updated portfolio data from servicer

1/13/2011

$

2,400,000

$

3/30/2011

$

(384)

$

6/29/2011

$

(3,592)

$

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

8/16/2011

$

1,800,000

$

288,259,384 Transfer of cap due to servicing transfer

9/15/2011

$

100,000

$

288,359,384 Transfer of cap due to servicing transfer

11/16/2011

$

1,000,000

$

289,359,384 Transfer of cap due to servicing transfer

2/16/2012

$

1,100,000

$

290,459,384 Transfer of cap due to servicing transfer

4/16/2012

$

100,000

$

290,559,384 Transfer of cap due to servicing transfer

5/16/2012

$

850,000

$

291,409,384 Transfer of cap due to servicing transfer

6/14/2012

$

2,240,000

$

6/28/2012

$

(2,520)

$

293,649,384 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
293,646,864 reallocation

7/16/2012

$

1,690,000

$

295,336,864 Transfer of cap due to servicing transfer

8/16/2012

$

(30,000)

$

9/27/2012

$

(6,632)

$

295,306,864 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
295,300,232 reallocation

10/16/2012

$

2,880,000

$

298,180,232 Transfer of cap due to servicing transfer

11/15/2012

$

1,500,000

$

299,680,232 Transfer of cap due to servicing transfer

12/14/2012

$

2,040,000

$

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

$

4,960,000

$

306,669,129 Transfer of cap due to servicing transfer

3/14/2013

$

(30,000)

$

3/25/2013

$

(4,179)

$

306,639,129 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
306,634,950 reallocation

4/16/2013

$

(70,000)

$

306,564,950 Transfer of cap due to servicing transfer

85

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
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
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

5/16/2013

$

1,570,000

$

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

$

270,000

$

306,523,428 Transfer of cap due to servicing transfer

9/16/2013

$

5,370,000

$

9/27/2013

$

(525)

$

311,893,428 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
311,892,903 reallocation

10/15/2013

$

(240,000)

$

311,652,903 Transfer of cap due to servicing transfer

11/14/2013

$

2,000,000

$

313,652,903 Transfer of cap due to servicing transfer

12/16/2013

$

1,370,000

$

12/23/2013

$

(873,891)

$

315,022,903 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
314,149,012 reallocation

6/17/2009

$

(338,450,000) $

9/30/2009

$

(11,860,000) $

12/30/2009

$

21,330,000

$

459,550,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
447,690,000 initial cap
Updated portfolio data from servicer & HAFA
469,020,000 initial cap

3/26/2010

$

9,150,000

$

478,170,000 Updated portfolio data from servicer

7/14/2010

$

(76,870,000)

$

401,300,000 Updated portfolio data from servicer

9/1/2010

$

400,000

$

401,700,000 Initial FHA-HAMP cap

9/30/2010

$

(8,454,269)

$

393,245,731 Updated portfolio data from servicer

1/6/2011

$

(342)

$

3/30/2011

$

(374)

$

393,245,389 Updated portfolio data from servicer
Updated due to quarterly assessment and
393,245,015 reallocation

5/13/2011

$

18,000,000

$

6/29/2011

$

(3,273)

$

411,245,015 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
411,241,742 reallocation

10/14/2011

$

(200,000)

$

411,041,742 Transfer of cap due to servicing transfer

3/15/2012

$

100,000

$

411,141,742 Transfer of cap due to servicing transfer

4/16/2012

$

(500,000)

$

6/28/2012

$

(1,768)

$

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

$

1

$

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

$

(1)

$

109,113,126 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
109,113,125 reallocation

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

$

(23,179,591)

$

6/12/2009

$

16,140,000

$

85,863,519 Termination of SPA

9/30/2009

$

134,560,000

$

12/30/2009

$

80,250,000

$

117,140,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
251,700,000 initial cap
Updated portfolio data from servicer & HAFA
331,950,000 initial cap

3/26/2010

$

67,250,000

$

399,200,000 Updated portfolio data from servicer

7/14/2010

$

(85,900,000)

$

313,300,000 Updated portfolio data from servicer

8/13/2010

$

100,000

$

9/30/2010

$

2,900,000

$

313,400,000 Transfer of cap due to servicing transfer
Initial FHA-HAMP cap, initial FHA-2LP cap, initial
316,300,000 RD-HAMP, and initial 2MP cap

9/30/2010

$

33,801,486

$

350,101,486 Updated portfolio data from servicer

11/16/2010

$

700,000

$

350,801,486 Transfer of cap due to servicing transfer

12/15/2010

$

1,700,000

$

352,501,486 Updated portfolio data from servicer

1/6/2011

$

(363)

$

352,501,123 Updated portfolio data from servicer

2/16/2011

$

900,000

$

353,401,123 Transfer of cap due to servicing transfer

3/16/2011

$

29,800,000

$

3/30/2011

$

(428)

$

383,201,123 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
383,200,695 reallocation

5/26/2011

$

20,077,503

$

6/29/2011

$

(4,248)

$

403,278,198 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
403,273,950 reallocation

11/16/2011

$

100,000

$

403,373,950 Transfer of cap due to servicing transfer

3/15/2012

$

(100,000)

$

403,273,950 Transfer of cap due to servicing transfer

5/16/2012

$

90,000

$

403,363,950 Transfer of cap due to servicing transfer

6/14/2012

$

(2,380,000)

$

6/28/2012

$

(2,957)

$

400,983,950 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
400,980,993 reallocation

7/16/2012

$

(2,580,000)

$

398,400,993 Transfer of cap due to servicing transfer

8/16/2012

$

131,450,000

$

529,850,993 Transfer of cap due to servicing transfer

8/23/2012

$

166,976,849

$

9/27/2012

$

(12,806)

$

696,827,842 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
696,815,036 reallocation

11/15/2012

$

160,000

$

696,975,036 Transfer of cap due to servicing transfer

12/14/2012

$

50,000

$

12/27/2012

$

(1,882)

$

697,025,036 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
697,023,154 reallocation

2/14/2013

$

(10,000)

$

697,013,154 Transfer of cap due to servicing transfer

3/14/2013

$

(280,000)

$

3/25/2013

$

(6,437)

$

696,733,154 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
696,726,717 reallocation

4/16/2013

$

30,000

$

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

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

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
6/17/2009

CCO Mortgage, a division of RBS Citizens NA

Glen Allen

VA

Purchase

Financial Instrument for Home Loan Modifications

$

16,520,000

N/A

10052
10052
10052
10052
10052
10052
10052
10052
10052
10052
10052
10052
10052
10052
6/17/2009

RG Mortgage Corporation

San Juan
10131
10131
10131
10131
10131
10131
10131
10131
10131

PR

Purchase

Financial Instrument for Home Loan Modifications

$

57,000,000

N/A

Note

Adjustment
Date

Cap Adjustment Amount

6/14/2013

$

6/27/2013

Adjusted Cap
(1,070,000)

$

Reason for Adjustment

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

$

(2,099)

$

7/9/2013

$

23,179,591

$

7/16/2013

$

490,000

$

717,844,209 Transfer of cap due to servicing transfer

9/16/2013

$

289,070,000

$

9/27/2013

$

(1,118)

$

1,006,914,209 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,006,913,091 reallocation

10/15/2013

$

63,440,000

$

1,070,353,091 Transfer of cap due to servicing transfer

11/14/2013

$

5,060,000

$

1,075,413,091 Transfer of cap due to servicing transfer

12/16/2013

$

3,210,000

$

12/23/2013

$

(1,697,251)

$

1,078,623,091 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,076,925,840 reallocation
Updated portfolio data from servicer & HPDP
17,540,000 initial cap
Updated portfolio data from servicer & HAFA
45,460,000 initial cap

9/30/2009

$

(1,860,000) $

12/30/2009

$

27,920,000

$

3/26/2010

$

(1,390,000)

$

44,070,000 Updated portfolio data from servicer

7/14/2010

$

(13,870,000)

$

9/30/2010

$

400,000

$

30,200,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
30,600,000 initial 2MP cap

9/30/2010

$

586,954

$

31,186,954 Updated portfolio data from servicer

1/6/2011

$

(34)

$

3/30/2011

$

(37)

$

31,186,920 Updated portfolio data from servicer
Updated due to quarterly assessment and
31,186,883 reallocation

4/13/2011

$

100,000

$

6/29/2011

$

(329)

$

31,286,883 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
31,286,554 reallocation

9/15/2011

$

(1,900,000)

$

29,386,554 Transfer of cap due to servicing transfer

11/16/2011

$

2,800,000

$

32,186,554 Transfer of cap due to servicing transfer

5/16/2012

$

420,000

$

32,606,554 Transfer of cap due to servicing transfer

6/14/2012

$

8,060,000

$

6/28/2012

$

(313)

$

40,666,554 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
40,666,241 reallocation

7/16/2012

$

2,160,000

$

9/27/2012

$

(911)

$

42,826,241 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
42,825,330 reallocation

10/16/2012

$

5,690,000

$

48,515,330 Transfer of cap due to servicing transfer

11/15/2012

$

20,000

$

12/27/2012

$

(178)

$

48,535,330 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
48,535,152 reallocation

2/14/2013

$

3,190,000

$

51,725,152 Transfer of cap due to servicing transfer

3/14/2013

$

(260,000)

$

3/25/2013

$

(713)

$

51,465,152 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
51,464,439 reallocation

4/16/2013

$

1,330,000

$

52,794,439 Transfer of cap due to servicing transfer

5/16/2013

$

100,000

$

52,894,439 Transfer of cap due to servicing transfer

6/14/2013

$

20,000

$

6/27/2013

$

(264)

$

52,914,439 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
52,914,175 reallocation

7/16/2013

$

6,080,000

$

58,994,175 Transfer of cap due to servicing transfer

9/16/2013

$

(2,130,000)

$

9/27/2013

$

(101)

$

56,864,175 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
56,864,074 reallocation

10/15/2013

$

6,910,000

$

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
Updated portfolio data from servicer & HPDP
29,590,000 initial cap
Updated portfolio data from servicer & HAFA
175,100,000 initial cap

9/30/2009

$

13,070,000

$

12/30/2009

$

145,510,000

$

3/26/2010

$

(116,950,000)

$

58,150,000 Updated portfolio data from servicer

7/14/2010

$

(23,350,000)

$

34,800,000 Updated portfolio data from servicer

9/30/2010

$

7,846,346

$

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

$

(807)

$

12/27/2012

$

(131)

$

3/25/2013

$

(475)

$

6/27/2013

$

(175)

$

9/27/2013

$

(62)

$

12/23/2013

$

(97,446)

$

9/30/2009

$

(11,300,000) $

12/30/2009

$

(42,210,000)

$

42,646,300 Updated portfolio data from servicer
Updated due to quarterly assessment and
42,646,245 reallocation
Updated due to quarterly assessment and
42,645,793 reallocation
Updated due to quarterly assessment and
42,645,484 reallocation
Updated due to quarterly assessment and
42,644,677 reallocation
Updated due to quarterly assessment and
42,644,546 reallocation
Updated 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
Updated due to quarterly assessment and
42,546,388 reallocation
Updated portfolio data from servicer & HPDP
45,700,000 initial cap
Updated portfolio data from servicer & HAFA
3,490,000 initial cap

3/26/2010

$

65,640,000

$

69,130,000 Updated portfolio data from servicer

4/9/2010

$

(14,470,000)

$

54,660,000 Updated portfolio data from servicer

7/14/2010

$

(8,860,000)

$

45,800,000 Updated portfolio data from servicer

9/30/2010

$

(4,459,154)

$

41,340,846 Updated portfolio data from servicer

12/15/2010

$

(4,300,000)

$

37,040,846 Updated portfolio data from servicer

1/6/2011

$

(51)

$

3/30/2011

$

(65)

$

6/29/2011

$

(616)

$

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

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

10131
10131
10131
10131
10131
10131
10131
6/19/2009

First Federal Savings and Loan

Port Angeles

WA

Purchase

Financial Instrument for Home Loan Modifications

$

770,000

N/A

10224
10224
6/19/2009

Wescom Central Credit Union

Anaheim

CA

Purchase

Financial Instrument for Home Loan Modifications

$

540,000

N/A

10126
10126
10126
10126
10126
10126
10126
10126
10126

12

10126

9

10126
10126
6/26/2009

Citizens First Wholesale Mortgage Company

The Villages

FL

Purchase

Financial Instrument for Home Loan Modifications

$

30,000

N/A

10002
10002
10002
10002
10002
6/26/2009

San Jose

Technology Credit Union

CA

Purchase

Financial Instrument for Home Loan Modifications

$

70,000

N/A

10014
10014
10014
10014
10014
10014
10014
10014
10014
10014
10014
10014
10014
6/26/2009

Miamisburg

National City Bank
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349
10349

OH

Purchase

Financial Instrument for Home Loan Modifications

$

294,980,000

N/A

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

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

$

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
2,790,000 initial cap

3/26/2010

$

11,370,000

$

14,160,000 Updated portfolio data from servicer

5/26/2010

$

(14,160,000)

$

9/30/2009

$

330,000

$

12/30/2009

$

16,490,000

$

- Termination of SPA
Updated portfolio data from servicer & HPDP
870,000 initial cap
Updated portfolio data from servicer & HAFA
17,360,000 initial 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

$

1,500,000

$

2,800,000 Updated portfolio data from servicer

9/30/2010

$

1,551,668

$

4,351,668 Updated portfolio data from servicer

1/6/2011

$

(2)

$

3/30/2011

$

(2)

$

4,351,666 Updated portfolio data from servicer
Updated due to quarterly assessment and
4,351,664 reallocation

5/13/2011

$

(1,800,000)

$

2,551,664 Transfer of cap due to servicing transfer

6/3/2011

$

(1,872,787)

$

6/14/2012

$

990,000

$

6/28/2012

$

(462)

$

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
20,000 initial cap
Updated portfolio data from servicer & HAFA
610,000 initial cap

9/27/2012

$

372,177

$

12/23/2013

$

(192)

$

9/30/2009

$

(10,000) $

12/30/2009

$

590,000

$

3/26/2010

$

(580,000)

$

30,000 Updated portfolio data from servicer

7/14/2010

$

70,000

$

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056

$

145,056 Updated portfolio data from servicer

2/17/2011

$

(145,056)

$

12/30/2009

$

2,180,000

$

- Termination of SPA
Updated portfolio data from servicer & HAFA
2,250,000 initial cap

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

$

60,445

$

1,160,445 Updated portfolio data from servicer

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

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)

$

9/30/2009

$

315,170,000

$

12/30/2009

$

90,280,000

$

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
610,150,000 initial cap
Updated portfolio data from servicer & HAFA
700,430,000 initial cap

3/26/2010

$

(18,690,000)

$

681,740,000 Updated portfolio data from servicer

7/14/2010

$

(272,640,000)

$

9/30/2010

$

80,600,000

$

409,100,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, Initial FHA-2LP cap, and
489,700,000 initial 2MP cap

9/30/2010

$

71,230,004

$

560,930,004 Updated portfolio data from servicer

1/6/2011

$

(828)

$

560,929,176 Updated portfolio data from servicer

2/16/2011

$

200,000

$

561,129,176 Transfer of cap due to servicing transfer

3/16/2011

$

(100,000)

$

3/30/2011

$

(981)

$

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

$

(9,197)

$

558,328,195 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
558,318,998 reallocation

10/14/2011

$

300,000

$

558,618,998 Transfer of cap due to servicing transfer

11/16/2011

$

(300,000)

$

558,318,998 Transfer of cap due to servicing transfer

1/13/2012

$

200,000

$

558,518,998 Transfer of cap due to servicing transfer

2/16/2012

$

(100,000)

$

558,418,998 Transfer of cap due to servicing transfer

3/15/2012

$

200,000

$

558,618,998 Transfer of cap due to servicing transfer

6/14/2012

$

(10,000)

$

6/28/2012

$

(6,771)

$

9/27/2012

$

(18,467)

$

12/27/2012

$

(3,105)

$

3/25/2013

$

(11,713)

$

6/27/2013

$

(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

88

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
7/1/2009

Wachovia Mortgage, FSB

Des Moines

IA

Purchase

Financial Instrument for Home Loan Modifications

$

634,010,000

N/A

1000642
1000642
3

1000642
7/1/2009

Bayview Loan Servicing, LLC

Coral Gables

FL

Purchase

Financial Instrument for Home Loan Modifications

$

44,260,000

N/A

1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667

1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
7/10/2009

Lake National Bank

Mentor

OH

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

10355
10355
10355
10355
10355
10355
10355
10355
10355
7/10/2009

IBM Southeast Employees' Federal Credit Union

12
Delray Beach

FL

Purchase

Financial Instrument for Home Loan Modifications

$

870,000

N/A

10029
10029
10029
10029
10029
10029
10029
10029
10029

12

Adjustment
Date

Cap Adjustment Amount

9/27/2013

$

12/23/2013

Adjusted Cap
(1,565)

$

Reason for Adjustment

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
1,357,890,000 initial cap
Updated portfolio data from servicer & HAFA
2,050,530,000 initial 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
68,110,000 initial cap
Updated portfolio data from servicer & HAFA
111,700,000 initial cap

$

(2,622,925)

$

9/30/2009

$

723,880,000

$

12/30/2009

$

692,640,000

$

2/17/2010

$

(2,050,236,344)

$

3/12/2010

$

(54,767)

$

9/30/2009

$

23,850,000

$

12/30/2009

$

43,590,000

$

3/26/2010

$

34,540,000

$

146,240,000 Updated portfolio data from servicer

5/7/2010

$

1,010,000

$

147,250,000 Initial 2MP cap

7/14/2010

$

(34,250,000)

$

113,000,000 Updated portfolio data from servicer

9/30/2010

$

600,000

$

113,600,000 Initial FHA-2LP cap

9/30/2010

$

(15,252,303)

$

98,347,697 Updated portfolio data from servicer

1/6/2011

$

(70)

$

3/30/2011

$

(86)

$

98,347,627 Updated portfolio data from servicer
Updated due to quarterly assessment and
98,347,541 reallocation

4/13/2011

$

400,000

$

98,747,541 Transfer of cap due to servicing transfer

5/13/2011

$

100,000

$

6/29/2011

$

(771)

$

98,847,541 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
98,846,770 reallocation

9/15/2011

$

600,000

$

99,446,770 Transfer of cap due to servicing transfer

10/14/2011

$

(18,900,000)

$

80,546,770 Transfer of cap due to servicing transfer

1/13/2012

$

900,000

$

81,446,770 Transfer of cap due to servicing transfer

2/16/2012

$

2,400,000

$

83,846,770 Transfer of cap due to servicing transfer

3/15/2012

$

(100,000)

$

83,746,770 Transfer of cap due to servicing transfer

4/16/2012

$

200,000

$

83,946,770 Transfer of cap due to servicing transfer

5/16/2012

$

30,000

$

83,976,770 Transfer of cap due to servicing transfer

6/14/2012

$

1,810,000

$

6/28/2012

$

(508)

$

85,786,770 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
85,786,262 reallocation

7/16/2012

$

2,660,000

$

9/27/2012

$

(1,249)

$

88,446,262 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
88,445,013 reallocation

10/16/2012

$

160,000

$

88,605,013 Transfer of cap due to servicing transfer

11/15/2012

$

6,970,000

$

95,575,013 Transfer of cap due to servicing transfer

12/14/2012

$

13,590,000

$

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

$

90,000

$

109,254,715 Transfer of cap due to servicing transfer

2/14/2013

$

3,250,000

$

112,504,715 Transfer of cap due to servicing transfer

3/14/2013

$

830,000

$

3/25/2013

$

(1,023)

$

113,334,715 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
113,333,692 reallocation

4/16/2013

$

1,490,000

$

114,823,692 Transfer of cap due to servicing transfer

5/16/2013

$

660,000

$

115,483,692 Transfer of cap due to servicing transfer

6/14/2013

$

7,470,000

$

6/27/2013

$

(308)

$

122,953,692 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
122,953,384 reallocation

7/16/2013

$

21,430,000

$

144,383,384 Transfer of cap due to servicing transfer

9/16/2013

$

11,730,000

$

9/27/2013

$

(91)

$

156,113,384 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
156,113,293 reallocation

10/15/2013

$

5,430,000

$

161,543,293 Transfer of cap due to servicing transfer

11/14/2013

$

20,900,000

$

182,443,293 Transfer of cap due to servicing transfer

12/16/2013

$

260,000

$

12/23/2013

$

(131,553)

$

182,703,293 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
182,571,740 reallocation
Updated portfolio data from servicer & HPDP
250,000 initial cap
Updated portfolio data from servicer & HAFA
380,000 initial cap

9/30/2009

$

150,000

$

12/30/2009

$

130,000

$

3/26/2010

$

50,000

$

430,000 Updated portfolio data from servicer

7/14/2010

$

(30,000)

$

400,000 Updated portfolio data from servicer

9/30/2010

$

35,167

$

435,167 Updated portfolio data from servicer

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(6)

$

6/28/2012

$

(4)

$

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

8/23/2012

$

(424,504)

$

9/30/2009

$

(10,000) $

12/30/2009

$

250,000

$

10,651 Termination of SPA
Updated portfolio data from servicer & HPDP
860,000 initial cap
Updated portfolio data from servicer & HAFA
1,110,000 initial 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

$

170,334

$

870,334 Updated portfolio data from servicer
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,320 reallocation
Updated due to quarterly assessment and
870,311 reallocation

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(12)

$

6/28/2012

$

(9)

$

9/14/2012

$

(821,722)

$

48,589 Termination of SPA

89

Servicer Modifying Borrowers' Loans
Name of Institution

Date
7/17/2009

Adjustment Details
City

MorEquity, Inc.

Evansville

State

Transaction
Type

IN

Purchase

Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Investment Description
Financial Instrument for Home Loan Modifications

$

23,480,000

Pricing
Mechanism

Note

N/A

1000957
1000957
1000957
1000957
1000957
1000957
1000957
11

1000957
7/17/2009

PNC Bank, National Association

Pittsburgh

PA

Purchase

Financial Instrument for Home Loan Modifications

$

54,470,000

N/A

1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
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
12

10257
7/22/2009

Homeward Residential, Inc. (American Home Mortgage
Servicing, Inc)
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727
10727

Coppell

TX

Purchase

Financial Instrument for Home Loan Modifications

$

1,272,490,000

N/A

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

18,530,000

$

24,510,000

$

Updated portfolio data from servicer & HPDP
42,010,000 initial cap
Updated portfolio data from servicer & HAFA
66,520,000 initial cap

18,360,000

$

84,880,000 Updated portfolio data from servicer

(22,580,000)

$

62,300,000 Updated portfolio data from servicer

(8,194,261)

$

54,105,739 Updated portfolio data from servicer

$

(37)

$

54,105,702 Updated portfolio data from servicer

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

$

19,280,000

$

24,705,702 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
24,705,668 reallocation
Termination of SPA
4,628,165 (remaining cap equals distribution amount)
Updated portfolio data from servicer & HPDP
18,230,000 initial cap
Updated portfolio data from servicer & HAFA
37,510,000 initial cap

3/26/2010

$

2,470,000

$

39,980,000 Updated portfolio data from servicer

7/14/2010

$

(17,180,000)

$

22,800,000 Updated portfolio data from servicer

9/30/2010

$

35,500,000

$

58,300,000 Initial FHA-2LP cap and initial 2MP cap

9/30/2010

$

23,076,191

$

81,376,191 Updated portfolio data from servicer

1/6/2011

$

(123)

$

3/30/2011

$

(147)

$

81,376,068 Updated portfolio data from servicer
Updated due to quarterly assessment and
81,375,921 reallocation

5/13/2011

$

(100,000)

$

6/29/2011

$

(1,382)

$

10/14/2011

$

(300,000)

$

6/28/2012

$

(1,003)

$

9/30/2009

$

12/30/2009

$

3/26/2010

$

7/14/2010

$

9/30/2010

$

1/6/2011

9/27/2012

$

(2,745)

$

12/27/2012

$

(460)

$

3/25/2013

$

(1,740)

$

4/9/2013

$

60,000

$

6/27/2013

$

(656)

$

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
80,000 initial cap
Updated portfolio data from servicer & HAFA
130,000 initial cap

9/27/2013

$

(234)

$

12/23/2013

$

(394,926)

$

9/30/2009

$

12/30/2009

$

50,000

$

3/26/2010

$

100,000

$

230,000 Updated portfolio data from servicer

7/14/2010

$

(130,000)

$

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056

$

145,056 Updated portfolio data from servicer

5/20/2011

$

(145,056)

$

9/30/2009

$

890,000

$

12/30/2009

$

1,260,000

$

- Termination of SPA
Updated portfolio data from servicer & HPDP
2,300,000 initial cap
Updated portfolio data from servicer & HAFA
3,560,000 initial cap

3/26/2010

$

(20,000)

$

3,540,000 Updated portfolio data from servicer

7/14/2010

$

(240,000)

$

3,300,000 Updated portfolio data from servicer

9/30/2010

$

471,446

$

3,771,446 Updated portfolio data from servicer

1/6/2011

$

(3)

$

3/30/2011

$

(4)

$

3,771,443 Updated portfolio data from servicer
Updated due to quarterly assessment and
3,771,439 reallocation

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

$

(50)

$

4/9/2013

$

(2,324,244)

$

9/30/2009

$

(53,670,000) $

12/30/2009

$

250,450,000

$

346,986 Termination of SPA
Updated portfolio data from servicer & HPDP
1,218,820,000 initial cap
Updated portfolio data from servicer & HAFA
1,469,270,000 initial cap

3/26/2010

$

124,820,000

$

1,594,090,000 Updated portfolio data from servicer

7/14/2010

$

(289,990,000)

$

1,304,100,000 Updated portfolio data from servicer

9/30/2010

$

1,690,508

$

1,305,790,508 Updated portfolio data from servicer

10/15/2010

$

300,000

$

1,306,090,508 Transfer of cap due to servicing transfer

11/16/2010

$

(100,000)

$

1,305,990,508 Transfer of cap due to servicing transfer

1/6/2011

$

(1,173)

$

1,305,989,335 Updated portfolio data from servicer

2/16/2011

$

(500,000)

$

3/30/2011

$

(1,400)

$

1,305,489,335 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,305,487,935 reallocation

4/13/2011

$

3,100,000

$

6/29/2011

$

(12,883)

$

1,308,587,935 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,308,575,052 reallocation

(90,000) $

2,671,439 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
2,671,401 reallocation
Updated due to quarterly assessment and
2,671,372 reallocation
Updated due to quarterly assessment and
2,671,293 reallocation
Updated due to quarterly assessment and
2,671,280 reallocation
Updated due to quarterly assessment and
2,671,230 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)

$

1,306,365,052 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,306,356,674 reallocation

7/16/2012

$

(470,000)

$

1,305,886,674 Transfer of cap due to servicing transfer

8/16/2012

$

(80,000)

$

9/27/2012

$

(22,494)

$

1,305,806,674 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,305,784,180 reallocation

90

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
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
1000505
1000505
1000505
1000505
1000505
1000505
1000505
1000505
1000505
1000505
1000505
1000505

IN

Purchase

Financial Instrument for Home Loan Modifications

$

1,090,000

N/A

Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

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

$

20,000

$

1,305,380,504 Transfer of cap due to servicing transfer

3/14/2013

$

(84,160,000)

$

3/25/2013

$

(12,821)

$

1,221,220,504 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,221,207,683 reallocation

4/16/2013

$

(621,110,000)

$

600,097,683 Transfer of cap due to servicing transfer

5/16/2013

$

(19,120,000)

$

6/27/2013

$

(1,947)

$

580,977,683 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
580,975,736 reallocation

7/16/2013

$

(14,870,000)

$

9/27/2013

$

(655)

$

12/16/2013

$

20,000

$

12/23/2013

$

(1,110,189)

$

9/30/2009

$

1,780,000

$

12/30/2009

$

2,840,000

$

3/26/2010

$

2,800,000

$

11,630,000 Updated portfolio data from servicer

7/14/2010

$

(5,730,000)

$

5,900,000 Updated portfolio data from servicer

9/30/2010

$

2,658,280

$

8,558,280 Updated portfolio data from servicer

1/6/2011

$

(12)

$

3/30/2011

$

(14)

$

6/29/2011

$

(129)

$

6/28/2012

$

(94)

$

9/27/2012

$

(256)

$

12/27/2012

$

(43)

$

3/25/2013

$

(162)

$

6/27/2013

$

(60)

$

9/27/2013

$

(21)

$

12/23/2013

$

(35,751)

$

9/30/2009

$

12/30/2009

$

6,750,000

$

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
370,000 initial cap
Updated portfolio data from servicer & HAFA
7,120,000 initial cap

3/26/2010

$

(6,340,000)

$

780,000 Updated portfolio data from servicer

7/14/2010

$

(180,000)

$

600,000 Updated portfolio data from servicer

9/30/2010

$

125,278

$

3/30/2011

$

(1)

$

6/29/2011

$

(4)

$

6/28/2012

$

(1)

$

9/27/2012

$

(1)

$

3/25/2013

$

47,663

$

12/23/2013

$

(149)

$

9/30/2009

$

12/30/2009

$

680,000

$

725,278 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,277 reallocation
Updated due to quarterly assessment and
725,273 reallocation
Updated due to quarterly assessment and
725,272 reallocation
Updated due to quarterly assessment and
725,271 reallocation
Updated due to quarterly assessment and
772,934 reallocation
Updated due to quarterly assessment and
772,785 reallocation
Updated portfolio data from servicer & HPDP
4,930,000 initial cap
Updated portfolio data from servicer & HAFA
5,610,000 initial cap

3/26/2010

$

2,460,000

$

8,070,000 Updated portfolio data from servicer

7/14/2010

$

(2,470,000)

$

5,600,000 Updated portfolio data from servicer

9/30/2010

$

2,523,114

$

8,123,114 Updated portfolio data from servicer

1/6/2011

$

(2)

$

3/30/2011

$

(2)

$

6/29/2011

$

(15)

$

6/28/2012

$

(3)

$

9/27/2012

$

(5)

$

12/27/2012

$

(1)

$

3/25/2013

$

(5)

$

6/27/2013

$

(1)

$

12/23/2013

$

(474)

$

9/30/2009

$

(60,000) $

12/30/2009

$

1,260,000

$

8,123,112 Updated portfolio data from servicer
Updated due to quarterly assessment and
8,123,110 reallocation
Updated due to quarterly assessment and
8,123,095 reallocation
Updated due to quarterly assessment and
8,123,092 reallocation
Updated due to quarterly assessment and
8,123,087 reallocation
Updated due to quarterly assessment and
8,123,086 reallocation
Updated 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
1,030,000 initial cap
Updated portfolio data from servicer & HAFA
2,290,000 initial cap

3/26/2010

$

2,070,000

$

4,360,000 Updated portfolio data from servicer

7/14/2010

$

(3,960,000)

$

400,000 Updated portfolio data from servicer

9/30/2010

$

180,222

$

580,222 Updated portfolio data from servicer

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(8)

$

6/28/2012

$

(6)

$

9/27/2012

$

(17)

$

12/27/2012

$

(3)

$

3/25/2013

$

(11)

$

6/27/2013

$

(4)

$

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

(490,000) $

(1,530,000) $

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
5,990,000 initial cap
Updated portfolio data from servicer & HAFA
8,830,000 initial cap

91

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
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
7/31/2009

EMC Mortgage Corporation

Lewisville
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020
1001020

TX

Purchase

Financial Instrument for Home Loan Modifications

$

707,380,000

N/A

Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

9/30/2009

$

12/30/2009

$

26,160,000

$

Updated due to quarterly assessment and
580,170 reallocation
Updated due to quarterly assessment and
577,696 reallocation
Updated portfolio data from servicer & HPDP
47,320,000 initial cap
Updated portfolio data from servicer & HAFA
73,480,000 initial cap

3/26/2010

$

9,820,000

$

83,300,000 Updated portfolio data from servicer

7/14/2010

$

(46,200,000)

$

37,100,000 Updated portfolio data from servicer

9/30/2010

$

(28,686,775)

$

8,413,225 Updated portfolio data from servicer

12/3/2010

$

(8,413,225)

$

9/30/2009

$

12/30/2009

$

1,178,180,000

$

3/26/2010

$

1,006,580,000

$

7/14/2010

$

(1,934,230,000)

$

9/30/2010

$

72,400,000

$

2,935,400,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, Initial FHA-2LP cap, and
3,007,800,000 initial RD-HAMP

9/30/2010

$

9/27/2013

$

12/23/2013

$

(1)

$

(2,474)

$

(37,700,000) $

(14,850,000) $

- Termination of SPA
Updated portfolio data from servicer & HPDP
2,684,870,000 initial cap
Updated portfolio data from servicer & HAFA
3,863,050,000 initial cap
Updated portfolio data from servicer & 2MP initial
4,869,630,000 cap

215,625,536

$

3,223,425,536 Updated portfolio data from servicer

1/6/2011

$

(3,636)

$

3,223,421,900 Updated portfolio data from servicer

3/16/2011

$

(100,000)

$

3/30/2011

$

(3,999)

$

3,223,321,900 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,223,317,901 reallocation

4/13/2011

$

(200,000)

$

3,223,117,901 Transfer of cap due to servicing transfer

5/13/2011

$

122,700,000

$

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

$

600,000

$

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

$

200,000

$

3,346,083,295 Transfer of cap due to servicing transfer

10/19/2011

$

519,211,309

$

3,865,294,604 Transfer of cap due to servicing transfer

11/16/2011

$

(2,800,000)

$

3,862,494,604 Transfer of cap due to servicing transfer

1/13/2012

$

(100,000)

$

3,862,394,604 Transfer of cap due to servicing transfer

2/16/2012

$

(100,000)

$

3,862,294,604 Transfer of cap due to servicing transfer

5/16/2012

$

(126,080,000)

$

3,736,214,604 Transfer of cap due to servicing transfer

6/14/2012

$

(1,620,000)

$

6/28/2012

$

(16,192)

$

3,734,594,604 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,734,578,412 reallocation

7/16/2012

$

(2,300,000)

$

3,732,278,412 Transfer of cap due to servicing transfer

8/16/2012

$

(20,000)

$

9/27/2012

$

(37,341)

$

3,732,258,412 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,732,221,071 reallocation

10/16/2012

$

(1,130,000)

$

3,731,091,071 Transfer of cap due to servicing transfer

11/15/2012

$

(3,770,000)

$

3,727,321,071 Transfer of cap due to servicing transfer

12/14/2012

$

(180,000)

$

12/27/2012

$

(4,535)

$

3,727,141,071 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,727,136,536 reallocation

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)

$

3,726,466,536 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,726,452,226 reallocation

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)

$

3,726,172,226 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,726,168,448 reallocation

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)

$

3,522,948,448 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,522,947,724 reallocation

10/15/2013

$

(77,990,000)

$

3,444,957,724 Transfer of cap due to servicing transfer

11/14/2013

$

(15,610,000)

$

3,429,347,724 Transfer of cap due to servicing transfer

12/16/2013

$

(50,000)

$

12/23/2013

$

(840,396)

$

3,429,297,724 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,428,457,328 reallocation
Updated portfolio data from servicer & HPDP
707,370,000 initial cap
Updated portfolio data from servicer & HAFA
1,209,800,000 initial cap
Updated portfolio data from servicer & 2MP initial
1,075,240,000 cap

9/30/2009

$

12/30/2009

$

502,430,000

(10,000) $
$

3/26/2010

$

(134,560,000)

$

7/14/2010

$

(392,140,000)

$

683,100,000 Updated portfolio data from servicer

7/16/2010

$

(630,000)

$

682,470,000 Transfer of cap to Saxon Mortgage Services, Inc.

9/30/2010

$

13,100,000

$

695,570,000 Initial FHA-HAMP cap and initial FHA-2LP cap

9/30/2010

$

(8,006,457)

$

687,563,543 Updated portfolio data from servicer

10/15/2010

$

(100,000)

$

687,463,543 Transfer of cap due to servicing transfer

12/15/2010

$

(4,400,000)

$

683,063,543 Updated portfolio data from servicer

1/6/2011

$

(802)

$

683,062,741 Updated portfolio data from servicer

2/16/2011

$

(900,000)

$

682,162,741 Transfer of cap due to servicing transfer

3/16/2011

$

(4,000,000)

$

3/30/2011

$

(925)

$

678,162,741 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
678,161,816 reallocation

5/13/2011

$

(122,900,000)

$

555,261,816 Transfer of cap due to servicing transfer

92

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
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
12

1000609
8/5/2009

HomEq Servicing

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
10438
10438
10438
10438
10438
10438
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

6/29/2011

$

Adjusted Cap
(8,728)

Reason for Adjustment

$

Updated due to quarterly assessment and
555,253,088 reallocation

$

554,653,088 Transfer of cap due to servicing transfer

7/14/2011

$

(600,000)

10/19/2011

$

(519,211,309)

$

9/30/2009

$

180,000

$

12/30/2009

$

(350,000)

$

3/26/2010

$

20,000

$

270,000 Updated portfolio data from servicer

7/14/2010

$

(70,000)

$

200,000 Updated portfolio data from servicer

9/30/2010

$

90,111

$

6/29/2011

$

(3)

$

6/28/2012

$

(2)

$

9/27/2012

$

(7)

$

12/27/2012

$

(1)

$

3/25/2013

$

(4)

$

6/27/2013

$

(2)

$

9/27/2013

$

(1)

$

12/23/2013

$

(979)

$

9/30/2009

$

290,000

$

12/30/2009

$

210,000

$

290,111 Updated portfolio data from servicer
Updated due to quarterly assessment and
290,108 reallocation
Updated due to quarterly assessment and
290,106 reallocation
Updated due to quarterly assessment and
290,099 reallocation
Updated due to quarterly assessment and
290,098 reallocation
Updated 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
430,000 initial cap
Updated portfolio data from servicer & HAFA
640,000 initial cap

3/26/2010

$

170,000

$

810,000 Updated portfolio data from servicer

7/14/2010

$

(10,000)

$

800,000 Updated portfolio data from servicer

9/30/2010

$

(74,722)

$

725,278 Updated portfolio data from servicer

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

725,277 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,276 reallocation

4/13/2011

$

(200,000)

$

6/29/2011

$

(7)

$

7/22/2011

$

$

(515,201)

9/30/2009

$

(121,190,000) $

12/30/2009

$

3/26/2010
7/14/2010

35,441,779 Termination of SPA
Updated portfolio data from servicer & HPDP
600,000 initial cap
Updated portfolio data from servicer & HAFA
250,000 initial cap

525,276 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
525,269 reallocation

(36,290,000)

$

10,068 Termination of SPA
Updated portfolio data from servicer & HPDP
552,810,000 initial cap
Updated portfolio data from servicer & HAFA
516,520,000 initial cap

$

199,320,000

$

715,840,000 Updated portfolio data from servicer

$

(189,040,000)

$

526,800,000 Updated portfolio data from servicer

9/30/2010

$

38,626,728

$

565,426,728 Updated portfolio data from servicer

10/15/2010

$

(170,800,000)

$

394,626,728 Transfer of cap due to servicing transfer

12/15/2010

$

(22,200,000)

$

372,426,728 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)

$

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

8/16/2012

$

(430,000)

$

9/27/2012

$

(12,728)

$

12/14/2012

$

(20,000)

$

12/27/2012

$

(2,148)

$

3/25/2013

$

(8,137)

$

6/27/2013

$

(3,071)

$

9/27/2013

$

(1,101)

$

11/14/2013

$

(10,000)

$

12/23/2013

$

(1,858,220)

$

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

9/30/2009

$

313,050,000

$

12/30/2009

$

275,370,000

$

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
1,087,950,000 initial cap
Updated portfolio data from servicer & HAFA
1,363,320,000 initial cap

3/26/2010

$

278,910,000

$

1,642,230,000 Updated portfolio data from servicer

7/14/2010

$

(474,730,000)

$

1,167,500,000 Updated portfolio data from servicer

8/13/2010

$

(700,000)

$

1,166,800,000 Transfer of cap to due to servicing transfer

9/15/2010

$

(1,000,000)

$

1,165,800,000 Transfer of cap to due to servicing transfer

9/30/2010

$

(115,017,236)

$

1,050,782,764 Updated portfolio data from servicer

10/15/2010

$

(800,000)

$

1,049,982,764 Transfer of cap due to servicing transfer

12/15/2010

$

800,000

$

1,050,782,764 Updated portfolio data from servicer

1/6/2011

$

(1,286)

$

1,050,781,478 Updated portfolio data from servicer

3/16/2011

$

8,800,000

$

3/30/2011

$

(1,470)

$

1,059,581,478 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,059,580,008 reallocation

4/13/2011

$

(3,300,000)

$

1,056,280,008 Transfer of cap due to servicing transfer

5/13/2011

$

(300,000)

$

1,055,980,008 Transfer of cap due to servicing transfer

6/16/2011

$

(700,000)

$

6/29/2011

$

(13,097)

$

1,055,280,008 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,055,266,911 reallocation

7/14/2011

$

(200,000)

$

1,055,066,911 Transfer of cap due to servicing transfer

9/15/2011

$

(2,900,000)

$

1,052,166,911 Transfer of cap due to servicing transfer

10/14/2011

$

(300,000)

$

1,051,866,911 Transfer of cap due to servicing transfer

11/16/2011

$

(500,000)

$

1,051,366,911 Transfer of cap due to servicing transfer

12/15/2011

$

(2,600,000)

$

1,048,766,911 Transfer of cap due to servicing transfer

93

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

10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
10438
8/12/2009

PennyMac Loan Services, LLC

Calasbasa

CA

Purchase

Financial Instrument for Home Loan Modifications

$

6,210,000

N/A

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
1000744
1000744
1000744
8/12/2009

Servis One, Inc., dba BSI Financial Services, Inc.

Titusville
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454

PA

Purchase

Financial Instrument for Home Loan Modifications

$

29,730,000

N/A

Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

1/13/2012

$

2/16/2012

$

6/28/2012

$

8/16/2012

$

9/27/2012

$

(26,467)

$

12/27/2012

$

(4,466)

$

3/25/2013

$

(16,922)

$

6/27/2013

$

(6,386)

$

9/27/2013

$

(2,289)

$

12/16/2013

$

(60,000)

$

12/23/2013

$

(3,864,503)

$

Reason for Adjustment

(194,800,000)

$

853,966,911 Transfer of cap due to servicing transfer

(400,000)

$

(9,728)

$

853,566,911 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
853,557,183 reallocation

(7,990,000)

$

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
Updated portfolio data from servicer & HPDP
5,010,000 initial cap
Updated portfolio data from servicer & HAFA
35,810,000 initial cap

9/30/2009

$

(1,200,000) $

12/30/2009

$

30,800,000

$

3/26/2010

$

23,200,000

$

6/16/2010

$

2,710,000

$

7/14/2010

$

(18,020,000)

$

7/16/2010

$

6,680,000

$

43,700,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
50,380,000 servicing transfer

8/13/2010

$

2,600,000

$

52,980,000 Transfer of cap to due to servicing transfer

9/15/2010

$

(100,000)

$

52,880,000 Transfer of cap to due to servicing transfer

9/30/2010

$

200,000

$

53,080,000 Initial FHA-HAMP cap and 2MP initial cap

9/30/2010

$

(1,423,197)

$

51,656,803 Updated portfolio data from servicer

11/16/2010

$

1,400,000

$

53,056,803 Transfer of cap due to servicing transfer

12/15/2010

$

(100,000)

$

52,956,803 Updated portfolio data from servicer

1/6/2011

$

(72)

$

52,956,731 Updated portfolio data from servicer

1/13/2011

$

4,100,000

$

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

$

4,000,000

$

3/30/2011

$

(94)

$

60,956,731 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
60,956,637 reallocation

4/13/2011

$

(100,000)

$

60,856,637 Transfer of cap due to servicing transfer

5/13/2011

$

5,800,000

$

66,656,637 Transfer of cap due to servicing transfer

6/16/2011

$

600,000

$

6/29/2011

$

(812)

$

67,256,637 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
67,255,825 reallocation

7/14/2011

$

2,500,000

$

69,755,825 Transfer of cap due to servicing transfer

9/15/2011

$

2,800,000

$

72,555,825 Transfer of cap due to servicing transfer

10/14/2011

$

300,000

$

72,855,825 Transfer of cap due to servicing transfer

11/16/2011

$

900,000

$

73,755,825 Transfer of cap due to servicing transfer

12/15/2011

$

800,000

$

74,555,825 Transfer of cap due to servicing transfer

1/13/2012

$

200,000

$

74,755,825 Transfer of cap due to servicing transfer

3/15/2012

$

1,900,000

$

76,655,825 Transfer of cap due to servicing transfer

4/16/2012

$

200,000

$

76,855,825 Transfer of cap due to servicing transfer

6/14/2012

$

1,340,000

$

6/28/2012

$

(340)

$

78,195,825 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
78,195,485 reallocation

7/16/2012

$

2,930,000

$

81,125,485 Transfer of cap due to servicing transfer

8/16/2012

$

890,000

$

9/27/2012

$

(974)

$

82,015,485 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
82,014,511 reallocation

10/16/2012

$

1,800,000

$

83,814,511 Transfer of cap due to servicing transfer

12/14/2012

$

3,860,000

$

12/27/2012

$

(154)

$

87,674,511 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
87,674,357 reallocation

2/14/2013

$

2,980,000

$

3/25/2013

$

(506)

$

90,654,357 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
90,653,851 reallocation

4/16/2013

$

2,160,000

$

92,813,851 Transfer of cap due to servicing transfer

6/14/2013

$

2,440,000

$

6/27/2013

$

(128)

$

9/27/2013

$

(7)

$

95,253,851 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
95,253,723 reallocation
Updated due to quarterly assessment and
95,253,716 reallocation

10/15/2013

$

4,450,000

$

12/23/2013

$

15,826,215

$

(25,510,000) $

59,010,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
61,720,000 servicing transfer

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
4,220,000 initial cap
Updated portfolio data from servicer & HAFA
4,740,000 initial cap

9/30/2009

$

12/30/2009

$

520,000

$

3/26/2010

$

4,330,000

$

4/19/2010

$

230,000

$

5/19/2010

$

850,000

$

7/14/2010

$

(850,000)

$

9/15/2010

$

100,000

$

9/30/2010

$

100,000

$

9/30/2010

$

16,755,064

$

26,255,064 Updated portfolio data from servicer

10/15/2010

$

100,000

$

26,355,064 Transfer of cap due to servicing transfer

12/15/2010

$

100,000

$

26,455,064 Updated portfolio data from servicer

1/6/2011

$

(40)

$

26,455,024 Updated portfolio data from servicer

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

94

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

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

CA

Purchase

Financial Instrument for Home Loan Modifications

$

668,440,000

N/A

10008
10008
10008
10008
10008
10008
10008
10008
10008
10008
10008
10008
10008
10008
10008
10008
10008
10008
8/28/2009

Stanford Federal Credit Union

Palo Alto

CA

Purchase

Financial Instrument for Home Loan Modifications

$

300,000

N/A

1000576
1000576
1000576
1000576
1000576
8/28/2009

RoundPoint Mortgage Servicing Corporation

Charlotte

NC

Purchase

Financial Instrument for Home Loan Modifications

$

570,000

N/A

Note

Adjustment
Date

Cap Adjustment Amount

1/13/2011

$

2/16/2011
3/16/2011
3/30/2011

Adjusted Cap

Reason for Adjustment

300,000

$

26,755,024 Transfer of cap due to servicing transfer

$

100,000

$

26,855,024 Transfer of cap due to servicing transfer

$

2,200,000

$

$

(52)

$

29,055,024 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
29,054,972 reallocation

4/13/2011

$

1,500,000

$

30,554,972 Transfer of cap due to servicing transfer

5/13/2011

$

1,000,000

$

31,554,972 Transfer of cap due to servicing transfer

6/16/2011

$

100,000

$

6/29/2011

$

(534)

$

31,654,972 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
31,654,438 reallocation

8/16/2011

$

700,000

$

32,354,438 Transfer of cap due to servicing transfer

9/15/2011

$

(600,000)

$

31,754,438 Transfer of cap due to servicing transfer

10/14/2011

$

4,000,000

$

35,754,438 Transfer of cap due to servicing transfer

11/16/2011

$

600,000

$

36,354,438 Transfer of cap due to servicing transfer

12/15/2011

$

200,000

$

36,554,438 Transfer of cap due to servicing transfer

1/13/2012

$

100,000

$

36,654,438 Transfer of cap due to servicing transfer

2/16/2012

$

1,300,000

$

37,954,438 Transfer of cap due to servicing transfer

3/15/2012

$

1,100,000

$

39,054,438 Transfer of cap due to servicing transfer

4/16/2012

$

800,000

$

39,854,438 Transfer of cap due to servicing transfer

5/16/2012

$

(1,080,000)

$

38,774,438 Transfer of cap due to servicing transfer

6/14/2012

$

1,560,000

$

6/28/2012

$

(465)

$

40,334,438 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
40,333,973 reallocation

8/16/2012

$

70,000

$

9/27/2012

$

(1,272)

$

40,403,973 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
40,402,701 reallocation

10/16/2012

$

2,100,000

$

42,502,701 Transfer of cap due to servicing transfer

11/15/2012

$

1,340,000

$

43,842,701 Transfer of cap due to servicing transfer

12/14/2012

$

1,160,000

$

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

$

210,000

$

45,212,462 Transfer of cap due to servicing transfer

2/14/2013

$

1,790,000

$

47,002,462 Transfer of cap due to servicing transfer

3/14/2013

$

1,920,000

$

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

$

410,000

$

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

$

1,620,000

$

6/27/2013

$

(359)

$

50,891,502 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
50,891,143 reallocation

7/16/2013

$

2,030,000

$

52,921,143 Transfer of cap due to servicing transfer

8/15/2013

$

10,000

$

52,931,143 Transfer of cap due to servicing transfer

9/16/2013

$

2,600,000

$

9/27/2013

$

(135)

$

55,531,143 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
55,531,008 reallocation

10/15/2013

$

270,000

$

55,801,008 Transfer of cap due to servicing transfer

11/14/2013

$

30,000

$

55,831,008 Transfer of cap due to servicing transfer

12/16/2013

$

9,960,000

$

12/23/2013

$

(239,727)

$

65,791,008 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
65,551,281 reallocation

10/2/2009

$

145,800,000

$

12/30/2009

$

1,355,930,000

$

814,240,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
2,170,170,000 initial cap

3/26/2010

$

121,180,000

$

2,291,350,000 Updated portfolio data from servicer

7/14/2010

$

(408,850,000)

$

1,882,500,000 Updated portfolio data from servicer

9/30/2010

$

5,500,000

$

1,888,000,000 2MP initial cap

9/30/2010

$

(51,741,163)

$

1,836,258,837 Updated portfolio data from servicer

1/6/2011

$

(2,282)

$

3/30/2011

$

(2,674)

$

6/29/2011

$

(24,616)

$

6/28/2012

$

(15,481)

$

9/27/2012

$

(40,606)

$

12/27/2012

$

(6,688)

$

3/25/2013

$

(24,811)

$

6/27/2013

$

(9,058)

$

9/27/2013

$

(3,154)

$

1,836,256,555 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,836,253,881 reallocation
Updated due to quarterly assessment and
1,836,229,265 reallocation
Updated due to quarterly assessment and
1,836,213,784 reallocation
Updated due to quarterly assessment and
1,836,173,178 reallocation
Updated due to quarterly assessment and
1,836,166,490 reallocation
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

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

$

(5,188,787)

$

1,553,509,467 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,548,320,680 reallocation

10/2/2009

$

70,000

$

12/30/2009

$

2,680,000

$

370,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
3,050,000 initial cap

3/26/2010

$

350,000

$

3,400,000 Updated portfolio data from servicer

7/14/2010

$

(1,900,000)

$

1,500,000 Updated portfolio data from servicer

9/30/2010

$

(1,209,889)

$

290,111 Updated portfolio data from servicer

3/23/2010

$

(290,111)

$

10/2/2009

$

130,000

$

- Termination of SPA
700,000 HPDP initial cap

95

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

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
on 8/27/2010

Vantium Capital, Inc.dba Acqura Loan Services

Plano
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
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

Reason for Adjustment

Updated portfolio data from servicer & HAFA
390,000 initial cap

12/30/2009

$

(310,000)

$

3/26/2010

$

2,110,000

$

2,500,000 Updated portfolio data from servicer

7/14/2010

$

8,300,000

$

10,800,000 Updated portfolio data from servicer

9/30/2010

$

5,301,172

$

16,101,172 Updated portfolio data from servicer

1/6/2011

$

(22)

$

16,101,150 Updated portfolio data from servicer

3/16/2011

$

(400,000)

$

3/30/2011

$

(25)

$

6/29/2011

$

(232)

$

6/28/2012

$

(174)

$

9/27/2012

$

(479)

$

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

11/15/2012

$

(350,000)

$

12/27/2012

$

(82)

$

3/25/2013

$

(308)

$

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

4/16/2013

$

80,000

$

15,429,850 Transfer of cap due to servicing transfer

6/14/2013

$

20,000

$

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

$

30,000

$

15,479,742 Transfer of cap due to servicing transfer

9/16/2013

$

640,000

$

9/27/2013

$

(40)

$

16,119,742 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
16,119,702 reallocation

12/16/2013

$

190,000

$

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

10/2/2009

$

130,000

$

12/30/2009

$

1,040,000

$

690,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
1,730,000 initial cap

3/26/2010

$

(1,680,000)

$

50,000 Updated portfolio data from servicer

5/12/2010

$

1,260,000

$

1,310,000 Updated portfolio data from servicer

7/14/2010

$

(1,110,000)

$

200,000 Updated portfolio data from servicer

9/30/2010

$

100,000

$

300,000 Initial RD-HAMP

9/30/2010

$

(9,889)

$

6/29/2011

$

(3)

$

6/28/2012

$

(2)

$

9/27/2012

$

(7)

$

12/27/2012

$

(1)

$

3/25/2013

$

(4)

$

6/27/2013

$

(2)

$

9/27/2013

$

(1)

$

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

$

1,310,000

$

12/30/2009

$

(3,390,000)

$

7,310,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
3,920,000 initial cap

3/26/2010

$

410,000

$

4,330,000 Updated portfolio data from servicer

7/14/2010

$

(730,000)

$

3,600,000 Updated portfolio data from servicer

9/15/2010

$

4,700,000

$

8,300,000 Transfer of cap due to servicing transfer

9/30/2010

$

117,764

$

8,417,764 Updated portfolio data from servicer

11/16/2010

$

800,000

$

12/15/2010

$

2,700,000

$

11,917,764 Updated portfolio data from servicer

9,217,764 Transfer of cap due to servicing transfer

1/6/2011

$

(17)

$

11,917,747 Updated portfolio data from servicer

1/13/2011

$

700,000

$

12,617,747 Transfer of cap due to servicing transfer

2/16/2011

$

1,800,000

$

3/30/2011

$

(19)

$

14,417,747 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,417,728 reallocation

4/13/2011

$

300,000

$

6/29/2011

$

(189)

$

14,717,728 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,717,539 reallocation

8/16/2011

$

300,000

$

15,017,539 Transfer of cap due to servicing transfer

9/15/2011

$

100,000

$

15,117,539 Transfer of cap due to servicing transfer

10/14/2011

$

100,000

$

6/28/2012

$

(147)

$

15,217,539 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,217,392 reallocation

7/16/2012

$

(10,000)

$

9/27/2012

$

(413)

$

11/15/2012

$

(40,000)

$

12/27/2012

$

(71)

$

15,166,979 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,166,908 reallocation

2/14/2013

$

(770,000)

$

14,396,908 Transfer of cap due to servicing transfer

3/14/2013

$

(20,000)

$

3/25/2013

$

(256)

$

14,376,908 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,376,652 reallocation

4/16/2013

$

(620,000)

$

13,756,652 Transfer of cap due to servicing transfer

5/16/2013

$

40,000

$

13,796,652 Transfer of cap due to servicing transfer

6/14/2013

$

10,000

$

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)

$

13,516,557 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
13,516,523 reallocation

12/16/2013

$

40,000

$

13,556,523 Transfer of cap due to servicing transfer

15,207,392 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,206,979 reallocation

96

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
9/9/2009

Central Florida Educators Federal Credit Union

Lake Mary

FL

Purchase

Financial Instrument for Home Loan Modifications

$

1,250,000

N/A

1000890
1000890
1000890
1000890
1000890
1000890
1000890
1000890
1000890
1000890
1000890
1000890
1000890
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

TN

Purchase

Financial Instrument for Home Loan Modifications

$

2,070,000

N/A

1000467
1000467
1000467
1000467
1000467
1000467
1000467
1000467
1000467
1000467
1000467
1000467
1000467
1000467
9/11/2009

Allstate Mortgage Loans & Investments, Inc.

Ocala
1001029
1001029
1001029
1001029
1001029
1001029

Adjustment
Date
12/23/2013

1000890

9/9/2009

Note

FL

Purchase

Financial Instrument for Home Loan Modifications

$

250,000

N/A

Cap Adjustment Amount
$

Adjusted Cap
(57,271)

$

Reason for Adjustment

Updated due to quarterly assessment and
13,499,252 reallocation

10/2/2009

$

280,000

$

12/30/2009

$

(750,000)

$

3/26/2010

$

120,000

$

1,530,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
780,000 initial cap
900,000 Updated portfolio data from servicer

7/14/2010

$

(300,000)

$

600,000 Updated portfolio data from servicer

9/30/2010

$

270,334

$

870,334 Updated portfolio data from servicer

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(5)

$

6/28/2012

$

21,717

$

9/27/2012

$

190,077

$

12/27/2012

$

35,966

$

3/25/2013

$

59,464

$

6/27/2013

$

35,438

$

9/27/2013

$

26,926

$

12/23/2013

$

87,045

$

10/2/2009

$

24,920,000

$

12/30/2009

$

49,410,000

$

139,140,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
188,550,000 initial cap

3/26/2010

$

41,830,000

$

230,380,000 Updated portfolio data from servicer

7/14/2010

$

(85,780,000)

$

144,600,000 Updated portfolio data from servicer

9/30/2010

$

36,574,444

$

181,174,444 Updated portfolio data from servicer

1/6/2011

$

(160)

$

3/30/2011

$

(172)

$

6/29/2011

$

(1,431)

$

6/28/2012

$

(746)

$

9/27/2012

$

(1,926)

$

12/27/2012

$

(308)

$

3/25/2013

$

(1,135)

$

6/27/2013

$

(418)

$

9/27/2013

$

(139)

$

12/23/2013

$

(212,077)

$

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

10/2/2009

$

950,000

$

12/30/2009

$

5,700,000

$

5,300,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
11,000,000 initial cap

3/26/2010

$

740,000

$

11,740,000 Updated portfolio data from servicer

7/14/2010

$

(1,440,000)

$

10,300,000 Updated portfolio data from servicer

9/30/2010

$

(6,673,610)

$

3,626,390 Updated portfolio data from servicer

1/6/2011

$

(5)

$

3/30/2011

$

(6)

$

6/29/2011

$

(52)

$

6/28/2012

$

(38)

$

9/27/2012

$

(107)

$

12/27/2012

$

(18)

$

3/25/2013

$

(69)

$

6/27/2013

$

(26)

$

9/27/2013

$

(9)

$

12/23/2013

$

(15,739)

$

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

$

2,730,000

$

3/26/2010

$

13,280,000

$

18,540,000 Updated portfolio data from servicer

7/14/2010

$

(13,540,000)

$

5,000,000 Updated portfolio data from servicer

9/30/2010

$

1,817,613

$

6,817,613 Updated portfolio data from servicer
6,817,603 Updated portfolio data from servicer
Updated due to quarterly assessment and
6,817,591 reallocation
Updated due to quarterly assessment and
6,817,476 reallocation
Updated due to quarterly assessment and
6,817,390 reallocation
Updated due to quarterly assessment and
6,817,154 reallocation
Updated due to quarterly assessment and
6,817,114 reallocation
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

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

2,530,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
5,260,000 initial cap

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

$

(20)

$

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
230,000 initial cap

3/26/2010

$

280,000

$

510,000 Updated portfolio data from servicer

7/14/2010

$

(410,000)

$

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056

$

6/29/2011

$

(1)

$

6/28/2012

$

(1)

$

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

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

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
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184
1001184

NY

Purchase

Financial Instrument for Home Loan Modifications

$

4,390,000

N/A

Note

Adjustment
Date

Cap Adjustment Amount

9/27/2012

$

Adjusted Cap
(2)
(1)

$
$

Reason for Adjustment

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

3/25/2013

$

12/23/2013

$

(232)

$

10/2/2009

$

70,000

$

12/30/2009

$

620,000

$

3/26/2010

$

100,000

$

1,070,000 Updated portfolio data from servicer

7/14/2010

$

(670,000)

$

400,000 Updated portfolio data from servicer

9/30/2010

$

35,167

$

435,167 Updated portfolio data from servicer

1/6/2011

$

(1)

$

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

$

2,973,670

$

9,573,670 Updated portfolio data from servicer

1/6/2011

$

(3)

$

9,573,667 Updated portfolio data from servicer

2/16/2011

$

(1,800,000)

$

3/30/2011

$

(6)

$

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

6/29/2011

$

(61)

$

10/14/2011

$

(100,000)

$

6/28/2012

$

(58)

$

350,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
970,000 initial cap

- Termination of SPA
33,520,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
13,770,000 initial cap

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

9/27/2012

$

(164)

$

12/27/2012

$

(29)

$

3/25/2013

$

(110)

$

6/27/2013

$

(42)

$

9/27/2013

$

(15)

$

12/23/2013

$

(25,724)

$

10/2/2009

$

90,000

$

12/30/2009

$

1,460,000

$

500,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
1,960,000 initial cap

3/26/2010

$

160,000

$

2,120,000 Updated portfolio data from servicer

7/14/2010

$

(120,000)

$

2,000,000 Updated portfolio data from servicer

9/30/2010

$

(1,419,778)

$

580,222 Updated portfolio data from servicer

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(8)

$

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

1/25/2012

$

(580,212)

$

10/2/2009

$

960,000

$

12/30/2009

$

(3,090,000)

$

5,350,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
2,260,000 initial cap

3/26/2010

$

230,000

$

2,490,000 Updated portfolio data from servicer

7/14/2010

$

5,310,000

$

7,800,000 Updated portfolio data from servicer

9/30/2010

$

323,114

$

8,123,114 Updated portfolio data from servicer

1/6/2011

$

(12)

$

8,123,102 Updated portfolio data from servicer

3/16/2011

$

600,000

$

3/30/2011

$

(16)

$

8,723,102 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
8,723,086 reallocation

4/13/2011

$

200,000

$

8,923,086 Transfer of cap due to servicing transfer

5/13/2011

$

100,000

$

6/29/2011

$

(153)

$

9,023,086 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
9,022,933 reallocation
9,122,933 Transfer of cap due to servicing transfer

- Termination of SPA

9/15/2011

$

100,000

$

11/16/2011

$

100,000

$

9,222,933 Transfer of cap due to servicing transfer

4/16/2012

$

1,100,000

$

10,322,933 Transfer of cap due to servicing transfer

6/14/2012

$

650,000

$

6/28/2012

$

(136)

$

9/27/2012

$

(347)

$

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

10/16/2012

$

250,000

$

11,222,450 Transfer of cap due to servicing transfer

11/15/2012

$

30,000

$

11,252,450 Transfer of cap due to servicing transfer

12/14/2012

$

(10,000)

$

12/27/2012

$

(59)

$

11,242,450 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
11,242,391 reallocation

1/16/2013

$

20,000

$

11,262,391 Transfer of cap due to servicing transfer

2/14/2013

$

290,000

$

11,552,391 Transfer of cap due to servicing transfer

3/14/2013

$

10,000

$

3/25/2013

$

(220)

$

11,562,391 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
11,562,171 reallocation

4/16/2013

$

(60,000)

$

11,502,171 Transfer of cap due to servicing transfer

5/16/2013

$

50,000

$

11,552,171 Transfer of cap due to servicing transfer

6/14/2013

$

10,000

$

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

$

310,000

$

9/27/2013

$

(28)

$

11,782,092 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
11,782,064 reallocation

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

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

NC

Purchase

Financial Instrument for Home Loan Modifications

$

240,000

N/A

1001000
1001000
1001000
1001000
1001000
1001000
1001000
1001000
1001000
1001000
1001000
1001000
1001000
9/25/2009

SEFCU

Albany

NY

Purchase

Financial Instrument for Home Loan Modifications

$

440,000

N/A

1000924
1000924
1000924
1000924
1000924
1000924
10/14/2009

Great Lakes Credit Union

North Chicago
1001122
1001122
1001122
1001122
1001122
1001122
1001122
1001122

IL

Purchase

Financial Instrument for Home Loan Modifications

$

570,000

N/A

Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

10/15/2013

$

230,000

$

12,012,064 Transfer of cap due to servicing transfer

11/14/2013

$

120,000

$

12,132,064 Transfer of cap due to servicing transfer

12/16/2013

$

460,000

$

12/23/2013

$

(49,413)

$

12,592,064 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
12,542,651 reallocation

10/2/2009

$

90,000

$

12/30/2009

$

940,000

$

3/26/2010

$

(980,000)

$

7/14/2010

$

(140,000)

$

300,000 Updated portfolio data from servicer

9/30/2010

$

1,150,556

$

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
1,450,530 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

1/6/2011

$

(2)

$

3/30/2011

$

(2)

$

6/29/2011

$

(22)

$

6/28/2012

$

(16)

$

480,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
1,420,000 initial cap
440,000 Updated portfolio data from servicer

9/27/2012

$

(44)

$

12/27/2012

$

(7)

$

3/25/2013

$

(28)

$

6/27/2013

$

(11)

$

9/27/2013

$

(4)

$

12/23/2013

$

(6,411)

$

10/2/2009

$

60,000

$

12/30/2009

$

(10,000)

$

290,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
280,000 initial cap

3/26/2010

$

130,000

$

410,000 Updated portfolio data from servicer

7/14/2010

$

(110,000)

$

300,000 Updated portfolio data from servicer

9/30/2010

$

(9,889)

$

6/29/2011

$

(3)

$

6/28/2012

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

$

(2)

$

9/27/2012

$

(7)

$

12/27/2012

$

(1)

$

3/25/2013

$

(4)

$

6/27/2013

$

(2)

$

9/27/2013

$

(1)

$

12/23/2013

$

(979)

$

10/2/2009

$

10,000

$

12/30/2009

$

120,000

$

40,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
160,000 initial cap

3/26/2010

$

10,000

$

170,000 Updated portfolio data from servicer

7/14/2010

$

(70,000)

$

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056

$

145,056 Updated portfolio data from servicer

10/29/2010

$

(145,056)

$

- Termination of SPA

10/2/2009

$

60,000

$

12/30/2009

$

350,000

$

300,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
650,000 initial cap

3/26/2010

$

1,360,000

$

2,010,000 Updated portfolio data from servicer

7/14/2010

$

(1,810,000)

$

200,000 Updated portfolio data from servicer

9/30/2010

$

235,167

$

435,167 Updated portfolio data from servicer

1/6/2011

$

(1)

$

6/29/2011

$

(4)

$

6/28/2012

$

(3)

$

9/27/2012

$

(7)

$

12/27/2012

$

(1)

$

3/25/2013

$

(5)

$

6/27/2013

$

(2)

$

9/27/2013

$

(1)

$

12/23/2013

$

(1,174)

$

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
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

$

20,000

$

540,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
560,000 initial 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

$

(1)

$

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

$

180,222

$

580,222 Updated portfolio data from servicer
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

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(8)

$

6/28/2012

$

(6)

$

9/27/2012

$

(17)

$

- Termination of SPA
Updated portfolio data from servicer & HAFA
1,600,000 initial cap

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

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

MA

Purchase

Financial Instrument for Home Loan Modifications

$

760,000

N/A

1000740
1000740
1000740
1000740
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

Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

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
1,960,000 initial cap

12/27/2012

$

(3)

$

3/25/2013

$

(11)

$

6/27/2013

$

(4)

$

9/27/2013

$

(1)

$

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

$

45,056

$

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

$

400,000

$

830,000 Updated portfolio data from servicer

7/14/2010

$

(430,000)

$

400,000 Updated portfolio data from servicer

9/30/2010

$

180,222

$

580,222 Updated portfolio data from servicer

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(5)

$

6/28/2012

$

(4)

$

9/27/2012

$

(11)

$

12/27/2012

$

(2)

$

3/25/2013

$

(7)

$

6/27/2013

$

(2)

$

9/27/2013

$

(1)

$

12/23/2013

$

(1,471)

$

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

$

23,880,000

$

121,910,000 Updated portfolio data from servicer

7/14/2010

$

(16,610,000)

$

105,300,000 Updated portfolio data from servicer

9/30/2010

$

1,751,033

$

107,051,033 Updated portfolio data from servicer

1/6/2011

$

(77)

$

107,050,956 Updated portfolio data from servicer

3/16/2011

$

(9,900,000)

$

3/30/2011

$

(88)

$

6/29/2011

$

(773)

$

3/15/2012

$

(1,400,000)

$

6/28/2012

$

(277)

$

9/27/2012

$

(549)

$

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

$

- Termination of SPA

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
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

(40,000)

$

9/27/2013

$

(14)

$

92,429,014 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
92,429,000 reallocation

11/14/2013

$

(30,000)

$

92,399,000 Transfer of cap due to servicing transfer

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
800,000 Updated HPDP cap & HAFA initial cap

1/22/2010

$

40,000

$

3/26/2010

$

(760,000)

$

40,000 Updated portfolio data from servicer

5/12/2010

$

2,630,000

$

2,670,000 Updated portfolio data from servicer

7/14/2010

$

(770,000)

$

1,900,000 Updated portfolio data from servicer

9/30/2010

$

565,945

$

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

$

(7)

$

12/23/2013

$

(11,558)

$

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

4/21/2010

$

(1,070,000) $

4/21/2010

$

(510,000) $

1/22/2010

$

10,000

$

3/26/2010

$

10,000

$

90,000 Updated portfolio data from servicer

7/14/2010

$

10,000

$

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056

$

6/29/2011

$

(1)

$

9/27/2012

$

(1)

$

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

- Termination of SPA
- Termination of SPA
80,000 Updated HPDP cap & HAFA initial cap

100

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

1000585
1000585
11/6/2009

Los Alamos National Bank

Los Alamos

NM

Purchase

Financial Instrument for Home Loan Modifications

$

700,000

N/A

1000676
1000676
1000676
1000676
1000676
1000676
1000676
1000676
1000676
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

MI

Purchase

Financial Instrument for Home Loan Modifications

$

1,670,000

N/A

1000443
1000443
1000443
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

Note

Adjustment
Date

Cap Adjustment Amount

3/25/2013

$

12/23/2013

Adjusted Cap
(1)

$

Reason for Adjustment

Updated due to quarterly assessment and
145,053 reallocation
Updated due to quarterly assessment and
144,908 reallocation

$

(145)

$

1/22/2010

$

40,000

$

3/26/2010

$

50,000

$

790,000 Updated portfolio data from servicer

7/14/2010

$

1,310,000

$

2,100,000 Updated portfolio data from servicer

9/30/2010

$

75,834

$

2,175,834 Updated portfolio data from servicer

1/6/2011

$

(3)

$

3/30/2011

$

(4)

$

6/29/2011

$

(35)

$

6/28/2012

$

(26)

$

9/27/2012

$

(70)

$

12/27/2012

$

(12)

$

3/25/2013

$

(45)

$

6/27/2013

$

(17)

$

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

740,000 Updated HPDP cap & HAFA initial cap

1/22/2010

$

890,000

$

19,850,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

3,840,000

$

23,690,000 Updated portfolio data from servicer

7/14/2010

$

(2,890,000)

$

20,800,000 Updated portfolio data from servicer

9/30/2010

$

9,661,676

$

30,461,676 Updated portfolio data from servicer

1/6/2011

$

(46)

$

30,461,630 Updated portfolio data from servicer

1/13/2011

$

1,600,000

$

32,061,630 Transfer of cap due to servicing transfer

2/16/2011

$

1,400,000

$

3/30/2011

$

(58)

$

33,461,630 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
33,461,572 reallocation

4/13/2011

$

100,000

$

33,561,572 Transfer of cap due to servicing transfer

5/13/2011

$

100,000

$

33,661,572 Transfer of cap due to servicing transfer

6/16/2011

$

800,000

$

6/29/2011

$

(559)

$

34,461,572 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
34,461,013 reallocation

7/14/2011

$

300,000

$

34,761,013 Transfer of cap due to servicing transfer

8/16/2011

$

200,000

$

34,961,013 Transfer of cap due to servicing transfer

9/15/2011

$

100,000

$

35,061,013 Transfer of cap due to servicing transfer

1/13/2012

$

100,000

$

35,161,013 Transfer of cap due to servicing transfer

6/14/2012

$

330,000

$

6/28/2012

$

(428)

$

9/27/2012

$

(1,184)

$

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

10/16/2012

$

(1,910,000)

$

33,579,401 Transfer of cap due to servicing transfer

11/15/2012

$

(980,000)

$

12/27/2012

$

(187)

$

3/25/2013

$

(707)

$

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

4/16/2013

$

(240,000)

$

6/27/2013

$

(268)

$

7/16/2013

$

10,000

$

9/27/2013

$

(96)

$

11/14/2013

$

(20,000)

$

12/23/2013

$

(162,518)

$

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

$

330,000

$

2,080,000 Updated portfolio data from servicer

7/14/2010

$

(1,080,000)

$

1,000,000 Updated portfolio data from servicer

9/30/2010

$

160,445

$

1,160,445 Updated portfolio data from servicer

1/6/2011

$

(1)

$

3/30/2011

$

(2)

$

6/29/2011

$

(16)

$

6/28/2012

$

(12)

$

9/27/2012

$

(33)

$

12/27/2012

$

(6)

$

3/25/2013

$

(21)

$

6/27/2013

$

(8)

$

9/27/2013

$

(3)

$

12/23/2013

$

(4,797)

$

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

$

7/14/2010

$

90,000

$

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056

$

6/29/2011

$

(1)

$

6/28/2012

$

(1)

$

9/27/2012

$

(2)

$

3/25/2013

$

(1)

$

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

$

(10,000) $

10,000 Updated portfolio data from servicer

21,310,000 Updated HPDP cap & HAFA initial cap

101

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

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

PA

Purchase

Financial Instrument for Home Loan Modifications

$

380,000

N/A

1000978
1000978
1000978
1000978
1000978
1000978
1000978
1000978
12/4/2009

Idaho Housing and Finance Association

Boise

ID

Purchase

Financial Instrument for Home Loan Modifications

$

9,430,000

N/A

10223
10223
10223
10223
10223
10223
10223
10223
10223
10223
10223
12/9/2009

Spirit of Alaska Federal Credit Union

Fairbanks
1000475

AK

Purchase

Financial Instrument for Home Loan Modifications

$

360,000

N/A

Adjustment
Date

Cap Adjustment Amount

3/26/2010

$

6/16/2010
7/14/2010
8/13/2010

Adjusted Cap

Reason for Adjustment

(17,880,000)

$

$

1,030,000

$

3,430,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
4,460,000 servicing transfer

$

(1,160,000)

$

3,300,000 Updated portfolio data from servicer

$

800,000

$

4,100,000 Transfer of cap due to servicing transfer

9/30/2010

$

200,000

$

4,300,000 Initial FHA-HAMP cap and initial RD-HAMP

9/30/2010

$

1,357,168

$

5,657,168 Updated portfolio data from servicer

1/6/2011

$

(1)

$

3/16/2011

$

5,700,000

$

3/30/2011

$

(6)

$

11,357,167 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
11,357,161 reallocation

4/13/2011

$

7,300,000

$

18,657,161 Transfer of cap due to servicing transfer

5/13/2011

$

300,000

$

18,957,161 Transfer of cap due to servicing transfer

6/16/2011

$

900,000

$

6/29/2011

$

(154)

$

19,857,161 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
19,857,007 reallocation

7/14/2011

$

100,000

$

19,957,007 Transfer of cap due to servicing transfer

8/16/2011

$

300,000

$

20,257,007 Transfer of cap due to servicing transfer

1/13/2012

$

(1,500,000)

$

18,757,007 Transfer of cap due to servicing transfer

2/16/2012

$

(2,100,000)

$

16,657,007 Transfer of cap due to servicing transfer

4/16/2012

$

(1,300,000)

$

15,357,007 Transfer of cap due to servicing transfer

6/14/2012

$

(8,350,000)

$

6/28/2012

$

(38)

$

8/16/2012

$

(90,000)

$

9/27/2012

$

(103)

$

6,916,969 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,916,866 reallocation

10/16/2012

$

(1,020,000)

$

5,896,866 Transfer of cap due to servicing transfer

11/15/2012

$

170,000

$

12/27/2012

$

(15)

$

6,066,866 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,066,851 reallocation

2/14/2013

$

(100,000)

$

5,966,851 Transfer of cap due to servicing transfer

3/14/2013

$

(490,000)

$

3/25/2013

$

(61)

$

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

$

1/22/2010

$

50,000

$

1,330,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

1,020,000

$

2,350,000 Updated portfolio data from servicer

7/14/2010

$

(950,000)

$

1,400,000 Updated portfolio data from servicer

9/30/2010

$

50,556

$

1,450,556 Updated portfolio data from servicer

1/6/2011

$

(2)

$

3/30/2011

$

(2)

$

1,450,554 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,552 reallocation

6/16/2011

$

(100,000)

$

6/29/2011

$

(21)

$

7/22/2011

$

(1,335,614)

$

1/22/2010

$

10,000

$

390,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

520,000

$

910,000 Updated portfolio data from servicer

7/14/2010

$

(810,000)

$

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056

$

6/29/2011

$

(1)

$

6/28/2012

$

(1)

$

9/27/2012

$

(2)

$

3/25/2013

$

(1)

$

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

$

440,000

$

3/26/2010

$

14,480,000

$

24,350,000 Updated portfolio data from servicer

5/26/2010

$

(24,200,000)

$

150,000 Updated portfolio data from servicer

7/14/2010

$

150,000

$

300,000 Updated portfolio data from servicer

9/30/2010

$

(9,889)

$

6/29/2011

$

(3)

$

6/28/2012

$

(2)

$

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

(230,000) $

9/27/2012

$

(6)

$

12/27/2012

$

(1)

$

3/25/2013

$

(3)

$

6/27/2013

$

(1)

$

12/23/2013

$

(747)

$

1/22/2010

$

10,000

$

3/26/2010

$

850,000

$

5,657,167 Updated portfolio data from servicer

7,007,007 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
7,006,969 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

1,350,552 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,350,531 reallocation
14,917 Termination of SPA

9,870,000 Updated HPDP cap & HAFA initial cap

370,000 Updated HPDP cap & HAFA initial cap
1,220,000 Updated portfolio data from servicer

102

Servicer Modifying Borrowers' Loans

Adjustment Details

Name of Institution

Date

City

State

Transaction
Type

Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Investment Description

Pricing
Mechanism

Note

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

CA

Purchase

Financial Instrument for Home Loan Modifications

$

6,160,000

N/A

1001226
1001226
1001226
1001226
1001226
1001226
1001226
1001226
1001226
1001226
1001226
1001226
1001226
12/9/2009

Sterling Savings Bank

Spokane
1000638
1000638
1000638
1000638

techno
1000638
1000638
1000638

WA

Purchase

Financial Instrument for Home Loan Modifications

$

2,250,000

N/A

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

7/14/2010

$

(120,000)

$

1,100,000 Updated portfolio data from servicer

9/30/2010

$

100,000

$

1,200,000 Initial FHA-HAMP cap

9/30/2010

$

105,500

$

1,305,500 Updated portfolio data from servicer

1/6/2011

$

(2)

$

1,305,498 Updated portfolio data from servicer

2/17/2011

$

(1,305,498)

$

1/22/2010

$

70,000

$

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

$

70,334

$

870,334 Updated portfolio data from servicer

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(13)

$

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

1/25/2012

$

(870,319)

$

1/22/2010

$

90,000

$

1,970,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

1,110,000

$

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

$

275,834

$

2,175,834 Updated portfolio data from servicer

1/6/2011

$

(2)

$

3/30/2011

$

(3)

$

6/29/2011

$

(26)

$

6/28/2012

$

(21)

$

9/27/2012

$

(57)

$

12/27/2012

$

(10)

$

3/25/2013

$

(37)

$

6/27/2013

$

(15)

$

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

7/9/2013

$

(1,889,819)

$

1/22/2010

$

140,000

$

3,080,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

6,300,000

$

9,380,000 Updated portfolio data from servicer

7/14/2010

$

(1,980,000)

$

7,400,000 Updated portfolio data from servicer

9/30/2010

$

(6,384,611)

$

1,015,389 Updated portfolio data from servicer

- Termination of SPA

- Termination of SPA

285,844 Termination of SPA

1/6/2011

$

(1)

$

3/30/2011

$

(2)

$

6/29/2011

$

(16)

$

6/28/2012

$

(12)

$

9/27/2012

$

(32)

$

12/27/2012

$

(5)

$

3/25/2013

$

(21)

$

6/27/2013

$

(8)

$

9/27/2013

$

(3)

$

12/23/2013

$

(4,716)

$

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

$

440,000

$

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

$

6,450,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

40,000

$

6,490,000 Updated portfolio data from servicer

7/14/2010

$

(2,890,000)

$

3,600,000 Updated portfolio data from servicer

9/30/2010

$

606,612

$

4,206,612 Updated portfolio data from servicer

1/6/2011

$

(4)

$

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

$

(1)

$

12/23/2013

$

(2,412)

$

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

$

2,350,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

(740,000)

$

1,610,000 Updated portfolio data from servicer

7/14/2010

$

(710,000)

$

900,000 Updated portfolio data from servicer

9/30/2010

$

550,556

$

1,450,556 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

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(11)

$

9/27/2012

$

30,907

$

12/27/2012

$

58,688

$

- Termination of SPA

103

Servicer Modifying Borrowers' Loans

Adjustment Details

Name of Institution

Date

City

State

Transaction
Type

Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1

Investment Description

Pricing
Mechanism

Note

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
10125
12
12/11/2009

Glenview

Glenview State Bank

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
12/11/2009

Seattle

Verity Credit Union
10139
10139
10139
10139
10139

12/11/2009

Hartford

Hartford Savings Bank

WI

Purchase

Financial Instrument for Home Loan Modifications

$

630,000

N/A

1000753
1000753
1000753
1000753
1000753
1000753
1000753
1000753
1000753
1000753
1000753
1000753
1000753
12/11/2009

Bryn Mawr

The Bryn Mawr Trust Co.

PA

Purchase

Financial Instrument for Home Loan Modifications

$

150,000

N/A
9

1000631
12/16/2009

Spring Valley

Citizens First National Bank

IL

Purchase

Financial Instrument for Home Loan Modifications

$

620,000

N/A

1000438
1000438
1000438
1000438
1000438
1000438
1000438
1000438
1000438
1000438
1000438
1000438
1000438
12/16/2009

Garden City

Golden Plains Credit Union

KS

Purchase

Financial Instrument for Home Loan Modifications

$

170,000

N/A

1001397
1001397
1001397
1001397
12/16/2009

First Federal Savings and Loan Association of Lakewood

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

Michigan City

Horizon Bank, NA
1000825
1000825
1000825

IN

Purchase

Financial Instrument for Home Loan Modifications

$

700,000

N/A

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

3/25/2013

$

235,175

$

6/27/2013

Reason for Adjustment

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

$

84,191

$

9/27/2013

$

13,786

$

12/23/2013

$

(35)

$

1/22/2010

$

20,000

$

3/26/2010

$

820,000

$

1,150,000 Updated portfolio data from servicer

7/14/2010

$

(350,000)

$

800,000 Updated portfolio data from servicer

9/30/2010

$

70,334

$

870,334 Updated portfolio data from servicer

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(13)

$

6/28/2012

$

(10)

$

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

7/6/2012

$

(856,986)

$

1/22/2010

$

20,000

$

3/26/2010

$

1,250,000

$

5/26/2010

$

(1,640,000)

$

1/22/2010

$

30,000

$

3/26/2010

$

400,000

$

1,030,000 Updated portfolio data from servicer

7/14/2010

$

(330,000)

$

700,000 Updated portfolio data from servicer

9/30/2010

$

25,278

$

725,278 Updated portfolio data from servicer

1/6/2011

$

(1)

$

725,277 Updated portfolio data from servicer

2/17/2011

$

(725,277)

$

1/22/2010

$

30,000

$

3/26/2010

$

800,000

$

1,460,000 Updated portfolio data from servicer

7/14/2010

$

(360,000)

$

1,100,000 Updated portfolio data from servicer

9/30/2010

$

60,445

$

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

$

(37)

$

12/27/2012

$

(6)

$

3/25/2013

$

(24)

$

6/27/2013

$

(9)

$

9/27/2013

$

(3)

$

12/23/2013

$

(5,463)

$

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

4/21/2010

$

6/16/2011

$

(150,000) $

330,000 Updated HPDP cap & HAFA initial cap

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

- Termination of SPA

100,000

$

100,000 Transfer of cap due to servicing transfer
650,000 Updated HPDP cap & HAFA initial cap

1/22/2010

$

30,000

$

3/26/2010

$

(580,000)

$

70,000 Updated portfolio data from servicer

7/14/2010

$

1,430,000

$

1,500,000 Updated portfolio data from servicer

9/30/2010

$

95,612

$

1,595,612 Updated portfolio data from servicer

1/6/2011

$

(2)

$

3/30/2011

$

(3)

$

6/29/2011

$

(24)

$

6/28/2012

$

(16)

$

9/27/2012

$

(45)

$

12/27/2012

$

(8)

$

3/25/2013

$

(30)

$

6/27/2013

$

(11)

$

9/27/2013

$

(4)

$

12/23/2013

$

(6,733)

$

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
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

$

180,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

30,000

$

210,000 Updated portfolio data from servicer

7/14/2010

$

(10,000)

$

200,000 Updated portfolio data from servicer

9/30/2010

$

90,111

$

290,111 Updated portfolio data from servicer

2/17/2011

$

(290,111)

$

1/22/2010

$

160,000

$

4/21/2010

$

(3,620,000) $

1/22/2010

$

20,000

$

3/26/2010

$

1,430,000

$

1,890,000 Updated portfolio data from servicer

7/14/2010

$

(390,000)

$

1,500,000 Updated portfolio data from servicer

9/8/2010

$

(1,500,000)

$

1/22/2010

$

30,000

$

3/26/2010

$

1,740,000

$

7/14/2010

$

(1,870,000)

$

600,000 Updated portfolio data from servicer

9/30/2010

$

850,556

$

1,450,556 Updated portfolio data from servicer

- 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

104

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

1000825
1000825
1000825
1000825
1000825
12/16/2009

Solon

Park View Federal Savings Bank

OH

Purchase

Financial Instrument for Home Loan Modifications

$

760,000

N/A

10025
10025
10025
10025
10025
10025
10025
12

10025
12/23/2009

Sarasota

Iberiabank

FL

Purchase

Financial Instrument for Home Loan Modifications

$

4,230,000

N/A

1001411
1001411
1001411
1001411
1001411
1001411
12

1001411
12/23/2009

North Grafton

Grafton Suburban Credit Union

MA

Purchase

Financial Instrument for Home Loan Modifications

$

340,000

N/A

1001192
1001192
1001192
1001192
1001192
1001192
1001192
12/23/2009

Eaton

Eaton National Bank & Trust Company

OH

Purchase

Financial Instrument for Home Loan Modifications

$

60,000

N/A

1001078
1001078
1001078
12/23/2009

Tempe

Tempe Schools Credit Union

AZ

Purchase

Financial Instrument for Home Loan Modifications

$

110,000

N/A

1000703
1000703
1000703
1/13/2010

Fresno

Fresno County Federal Credit Union

CA

Purchase

Financial Instrument for Home Loan Modifications

$

260,000

N/A

10507
10507
10507
10507
10507
10507
12
1/13/2010

Roebling

Roebling Bank

NJ

Purchase

Financial Instrument for Home Loan Modifications

$

240,000

N/A

1001235
1001235
1001235
1001235
1/13/2010

Grant Park

First National Bank of Grant Park

IL

Purchase

Financial Instrument for Home Loan Modifications

$

140,000

N/A

1000901
1000901
1000901
1/13/2010

Highlands Ranch

Specialized Loan Servicing LLC
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635

CO

Purchase

Financial Instrument for Home Loan Modifications

$

64,150,000

N/A

Adjustment
Date

Cap Adjustment Amount

1/6/2011

$

3/30/2011
6/29/2011
6/28/2012

Adjusted Cap

Reason for Adjustment

(2)

$

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

$

(2)

$

$

(23)

$

$

(17)

$

9/21/2012

$

(1,450,512)

$

1/22/2010

$

40,000

$

800,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

140,000

$

940,000 Updated portfolio data from servicer

7/14/2010

$

(140,000)

$

800,000 Updated portfolio data from servicer

9/30/2010

$

70,334

$

870,334 Updated portfolio data from servicer

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(12)

$

6/28/2012

$

(10)

$

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

9/14/2012

$

(816,373)

$

1/22/2010

$

200,000

$

4,430,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

(1,470,000)

$

2,960,000 Updated portfolio data from servicer

7/14/2010

$

(1,560,000)

$

1,400,000 Updated portfolio data from servicer

9/30/2010

$

5,852,780

$

7,252,780 Updated portfolio data from servicer

1/6/2011

$

(11)

$

3/30/2011

$

(13)

$

7,252,769 Updated portfolio data from servicer
Updated due to quarterly assessment and
7,252,756 reallocation

4/13/2011

$

(300,000)

$

6,952,756 Transfer of cap due to servicing transfer

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

$

760,000

$

800,000 Updated portfolio data from servicer

9/30/2010

$

(74,722)

$

725,278 Updated portfolio data from servicer

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(11)

$

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

1/25/2012

$

(725,265)

$

3/26/2010

$

90,000

$

150,000 Updated portfolio data from servicer

7/14/2010

$

50,000

$

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

$

10,000

$

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056

$

145,056 Updated portfolio data from servicer

12/8/2010

$

(145,056)

$

3/26/2010

$

480,000

$

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

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(8)

$

6/28/2012

$

(6)

$

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

7/6/2012

$

(555,252)

$

3/26/2010

$

610,000

$

850,000 Updated portfolio data from servicer

7/14/2010

$

50,000

$

900,000 Updated portfolio data from servicer

9/30/2010

$

(29,666)

$

870,334 Updated portfolio data from servicer

1/6/2011

$

(1)

$

870,333 Updated portfolio data from servicer

3/23/2011

$

(870,333)

$

3/26/2010

$

150,000

$

290,000 Updated portfolio data from servicer

7/14/2010

$

10,000

$

300,000 Updated portfolio data from servicer

9/30/2010

$

(9,889)

$

290,111 Updated portfolio data from servicer

1/26/2011

$

(290,111)

$

3/26/2010

$

(51,240,000)

$

5/14/2010

$

3,000,000

$

6/16/2010

$

4,860,000

$

7/14/2010

$

3,630,000

$

7/16/2010

$

330,000

$

24,400,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
24,730,000 servicing transfer

8/13/2010

$

700,000

$

25,430,000 Transfer of cap due to servicing transfer

9/15/2010

$

200,000

$

25,630,000 Transfer of cap due to servicing transfer

9/30/2010

$

(1,695,826)

$

23,934,174 Updated portfolio data from servicer

11/16/2010

$

200,000

$

24,134,174 Transfer of cap due to servicing transfer

1/6/2011

$

(32)

$

24,134,142 Updated portfolio data from servicer

1/13/2011

$

1,500,000

$

25,634,142 Transfer of cap due to servicing transfer

3/16/2011

$

7,100,000

$

3/30/2011

$

(36)

$

32,734,142 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
32,734,106 reallocation

- Termination of SPA

53,937 Termination of SPA

25,502 Termination of SPA
360,000 Updated HPDP cap & HAFA initial cap

- Termination of SPA

- Termination of SPA

- Termination of SPA

24,954 Termination of SPA

- Termination of SPA

- Termination of SPA
12,910,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
15,910,000 servicing transfer
Transfer of cap from CitiMortgage, Inc. due to
20,770,000 servicing transfer

105

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

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

Carson City

Greater Nevada Mortgage Services

NV

Purchase

Financial Instrument for Home Loan Modifications

$

770,000

N/A

10517
10517
10517
10517
10517
10517
10517
10517
10517
10517
10517
10517
1/15/2010

Digital Federal Credit Union

Marlborough

MA

Purchase

Financial Instrument for Home Loan Modifications

$

3,050,000

N/A

San Diego

CA

Purchase

Financial Instrument for Home Loan Modifications

$

960,000

N/A

10416
1/29/2010

iServe Residential Lending, LLC
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

Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

4/13/2011

$

1,000,000

$

33,734,106 Transfer of cap due to servicing transfer

5/13/2011

$

100,000

$

33,834,106 Transfer of cap due to servicing transfer

6/16/2011

$

300,000

$

6/29/2011

$

(332)

$

34,134,106 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
34,133,774 reallocation

8/16/2011

$

100,000

$

34,233,774 Transfer of cap due to servicing transfer

9/15/2011

$

300,000

$

34,533,774 Transfer of cap due to servicing transfer

10/14/2011

$

300,000

$

34,833,774 Transfer of cap due to servicing transfer

12/15/2011

$

(1,700,000)

$

33,133,774 Transfer of cap due to servicing transfer

1/13/2012

$

1,600,000

$

34,733,774 Transfer of cap due to servicing transfer

2/16/2012

$

100,000

$

34,833,774 Transfer of cap due to servicing transfer

3/15/2012

$

100,000

$

34,933,774 Transfer of cap due to servicing transfer

4/16/2012

$

77,600,000

$

112,533,774 Transfer of cap due to servicing transfer

5/16/2012

$

40,000

$

112,573,774 Transfer of cap due to servicing transfer

6/14/2012

$

(350,000)

$

6/28/2012

$

(1,058)

$

112,223,774 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
112,222,716 reallocation

7/16/2012

$

4,430,000

$

116,652,716 Transfer of cap due to servicing transfer

8/16/2012

$

(1,280,000)

$

9/27/2012

$

(3,061)

$

115,372,716 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
115,369,655 reallocation

10/16/2012

$

5,600,000

$

120,969,655 Transfer of cap due to servicing transfer

11/15/2012

$

880,000

$

121,849,655 Transfer of cap due to servicing transfer

12/14/2012

$

24,180,000

$

12/27/2012

$

(663)

$

146,029,655 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
146,028,992 reallocation

1/16/2013

$

2,410,000

$

148,438,992 Transfer of cap due to servicing transfer

2/14/2013

$

6,650,000

$

155,088,992 Transfer of cap due to servicing transfer

3/14/2013

$

(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

$

3,670,000

$

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)

$

151,585,423 Transfer of cap due to servicing transfer

9/16/2013

$

(180,000)

$

9/27/2013

$

(346)

$

151,405,423 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
151,405,077 reallocation

10/15/2013

$

860,000

$

152,265,077 Transfer of cap due to servicing transfer

11/14/2013

$

(410,000)

$

151,855,077 Transfer of cap due to servicing transfer

12/16/2013

$

(10,160,000)

$

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

3/26/2010

$

8,680,000

$

9,450,000 Updated portfolio data from servicer

7/14/2010

$

(8,750,000)

$

700,000 Updated portfolio data from servicer

9/30/2010

$

170,334

$

870,334 Updated portfolio data from servicer

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(8)

$

6/28/2012

$

(4)

$

9/27/2012

$

(10)

$

12/27/2012

$

(2)

$

3/25/2013

$

(7)

$

6/27/2013

$

(2)

$

9/27/2013

$

(1)

$

12/23/2013

$

(1,504)

$

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
Updated due to quarterly assessment and
868,794 reallocation

3/26/2010

$

12,190,000

$

5/14/2010

$

(15,240,000)

$

3/26/2010

$

(730,000)

$

230,000 Updated portfolio data from servicer

7/14/2010

$

370,000

$

600,000 Updated portfolio data from servicer

9/30/2010

$

200,000

$

800,000 Initial FHA-HAMP cap and initial 2MP cap

9/30/2010

$

(364,833)

$

435,167 Updated portfolio data from servicer

11/16/2010

$

100,000

$

535,167 Transfer of cap due to servicing transfer

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(7)

$

6/28/2012

$

(6)

$

9/27/2012

$

(15)

$

12/27/2012

$

(3)

$

3/25/2013

$

(10)

$

6/27/2013

$

(4)

$

9/27/2013

$

(1)

$

12/23/2013

$

(2,242)

$

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

3/26/2010

$

160,000

$

700,000 Updated portfolio data from servicer

15,240,000 Updated portfolio data from servicer
- Termination of SPA

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

1000893
1000893
1000893
1000893
1000893
1000893
1000893
1000893
1000893
1000893
1000893
3/3/2010

Lake Mary

Urban Trust Bank

FL

Purchase

Financial Instrument for Home Loan Modifications

$

1,060,000

N/A

1001435
9
3/5/2010

Irving

iServe Servicing, Inc.

TX

Purchase

Financial Instrument for Home Loan Modifications

$

28,040,000

N/A

1001384
1001384
1001384
1001384
1001384
1001384
1001384
1001384
1001384
1001384
1001384
1001384
1001384
1001384
1001384
1001384
3/10/2010

Vienna

Navy Federal Credit Union

VA

Purchase

Financial Instrument for Home Loan Modifications

$

60,780,000

N/A

1000494
1000494
1000494
1000494
1000494
1000494
1000494
1000494
1000494
1000494
1000494
3/10/2010

Wyomissing

VIST Financial Corp

PA

Purchase

Financial Instrument for Home Loan Modifications

$

300,000

N/A

1000468
1000468
1000468
1000468
1000468
1000468
1000468
1000468
1000468
1000468
1000468
4/14/2010

Elmwood Park

Midwest Bank and Trust Co.

IL

Purchase

Financial Instrument for Home Loan Modifications

$

300,000

N/A

1001521
1001521
1001521
1001521
1001521
4/14/2010

Beaverton

Wealthbridge Mortgage Corp
1000657
1000657
1000657
1000657
1000657
1000657

OR

Purchase

Financial Instrument for Home Loan Modifications

$

6,550,000

N/A

Adjustment
Date

Cap Adjustment Amount

9/30/2010

$

Adjusted Cap

Reason for Adjustment

25,278

$

725,278 Updated portfolio data from servicer
725,277 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,276 reallocation
Updated due to quarterly assessment and
725,265 reallocation
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

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(11)

$

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

$

(3,221)

$

7/14/2010

$

4,440,000

$

9/24/2010

$

(5,500,000)

$

12/16/2013

$

40,000

$

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

$

28,160,000 Initial 2MP cap

7/14/2010

$

(12,660,000)

$

15,500,000 Updated portfolio data from servicer

9/30/2010

$

100,000

$

15,600,000 Initial FHA-HAMP cap

9/30/2010

$

(3,125,218)

$

12,474,782 Updated portfolio data from servicer

11/16/2010

$

800,000

$

13,274,782 Transfer of cap due to servicing transfer

1/6/2011

$

(20)

$

3/30/2011

$

(24)

$

6/29/2011

$

(221)

$

6/28/2012

$

(169)

$

9/27/2012

$

(465)

$

12/27/2012

$

(78)

$

3/25/2013

$

(297)

$

6/27/2013

$

(112)

$

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

7/16/2013

$

(10,000)

$

9/27/2013

$

(40)

$

11/14/2013

$

(60,000)

$

12/23/2013

$

(67,516)

$

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

7/14/2010

$

(44,880,000)

$

15,900,000 Updated portfolio data from servicer

9/30/2010

$

1,071,505

$

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

$

(36,317)

$

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

7/14/2010

$

400,000

$

700,000 Updated portfolio data from servicer

9/30/2010

$

25,278

$

725,278 Updated portfolio data from servicer

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(11)

$

6/28/2012

$

(8)

$

9/27/2012

$

(22)

$

12/27/2012

$

(4)

$

3/25/2013

$

(14)

$

6/27/2013

$

(5)

$

9/27/2013

$

(2)

$

12/23/2013

$

(3,221)

$

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

7/14/2010

$

300,000

$

600,000 Updated portfolio data from servicer

9/30/2010

$

(19,778)

$

580,222 Updated portfolio data from servicer
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

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(8)

$

7/14/2011

$

(580,212)

$

7/14/2010

$

(150,000)

$

6,400,000 Updated portfolio data from servicer

9/15/2010

$

1,600,000

$

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)

$

3,647,822 Updated portfolio data from servicer
Updated due to quarterly assessment and
3,647,816 reallocation

4/13/2011

$

(3,000,000)

$

6/29/2011

$

(9)

$

- Termination of SPA

647,816 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
647,807 reallocation

107

Servicer Modifying Borrowers' Loans
Name of Institution

Date

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

1000657
1000657
1000657
1000657
1000657
1000657
1000657
5/21/2010

Marlton

Aurora Financial Group, Inc.

NJ

Purchase

Financial Instrument for Home Loan Modifications

$

10,000

N/A

4, 8

10425
10425
10425
10425
10425
10425
10425
10425
6/16/2010

Houston

Selene Finance LP

TX

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
8/4/2010

Albuquerque

Suburban Mortgage Company of New Mexico

NM

Purchase

Financial Instrument for Home Loan Modifications

$

880,000

N/A

1000602
1000602
1000602
1000602
1000602
8/20/2010

Cincinanati

Bramble Savings Bank

OH

Purchase

Financial Instrument for Home Loan Modifications

$

700,000

N/A

1001708
1001708
1001708
1001708
8/25/2010

Oswego

Pathfinder Bank

NY

Purchase

Financial Instrument for Home Loan Modifications

$

1,300,000

N/A

1001240
1001240
1001240
1001240
1001240
1001240
1001240
1001240
1001240
1001240
8/27/2010

First Financial Bank, N.A.

Terre Haute

ID

Purchase

Financial Instrument for Home Loan Modifications

$

4,300,000

N/A

9

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

6/28/2012

$

(7)

$

Reason for Adjustment

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

9/27/2012

$

(19)

$

12/27/2012

$

(3)

$

3/25/2013

$

(12)

$

6/27/2013

$

(5)

$

9/27/2013

$

(2)

$

12/23/2013

$

(2,822)

$

5/26/2010

$

30,000

$

9/30/2010

$

250,111

$

6/29/2011

$

59,889

$

6/28/2012

$

(2)

$

9/27/2012

$

(5)

$

12/27/2012

$

(1)

$

3/25/2013

$

(3)

$

6/27/2013

$

(1)

$

12/23/2013

$

(759)

$

6/16/2010

$

3,680,000

8/13/2010

$

3,300,000

$

9/30/2010

$

3,043,831

$

10,023,831 Updated portfolio data from servicer

10/15/2010

$

1,400,000

$

11,423,831 Transfer of cap due to servicing transfer

1/6/2011

$

(17)

$

11,423,814 Updated portfolio data from servicer

3/16/2011

$

2,100,000

$

3/30/2011

$

(24)

$

13,523,814 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
13,523,790 reallocation

4/13/2011

$

2,900,000

$

16,423,790 Transfer of cap due to servicing transfer

6/16/2011

$

(200,000)

$

6/29/2011

$

(273)

$

16,223,790 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
16,223,517 reallocation

10/14/2011

$

100,000

$

16,323,517 Transfer of cap due to servicing transfer

11/16/2011

$

1,100,000

$

17,423,517 Transfer of cap due to servicing transfer

4/16/2012

$

200,000

$

17,623,517 Transfer of cap due to servicing transfer

5/16/2012

$

10,000

$

17,633,517 Transfer of cap due to servicing transfer

6/14/2012

$

(300,000)

$

6/28/2012

$

(218)

$

17,333,517 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
17,333,299 reallocation

7/16/2012

$

40,000

$

17,373,299 Transfer of cap due to servicing transfer

8/16/2012

$

480,000

$

9/27/2012

$

(600)

$

17,853,299 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
17,852,699 reallocation

11/15/2012

$

70,000

$

12/27/2012

$

(102)

$

3/14/2013

$

90,000

$

3/25/2013

$

(384)

$

5/16/2013

$

(30,000)

$

6/27/2013

$

(146)

$

7/16/2013

$

$

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

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

170,000

$

9/27/2013

$

(52)

$

12/23/2013

$

(88,613)

$

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

9/30/2010

$

1,585,945

$

2,465,945 Updated portfolio data from servicer

1/6/2011

$

(4)

$

3/30/2011

$

(4)

$

6/29/2011

$

(40)

$

6/28/2012

$

(30)

$

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

8/10/2012

$

(2,465,867)

$

9/30/2010

$

1,040,667

$

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

1/6/2011

$

(2)

$

3/30/2011

$

(3)

$

6/29/2011

$

(28)

$

8/10/2011

$

(1,740,634)

$

9/30/2010

$

2,181,334

$

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

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

$

(17,421)

$

9/30/2010

$

7,014,337

$

- Termination of SPA

11,314,337 Updated portfolio data from servicer

108

Servicer Modifying Borrowers' Loans
Name of Institution

Date

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

1000951
1000951
1000951
1000951
1000951
1000951
1000951
1000951
1000951
1000951
9/1/2010

Raleigh

RBC Bank (USA)

NC

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

1001421
1001421
1001421
1001421
1001421
15

1
9/3/2010

Chicago

Fay Servicing, LLC

IL

Purchase

Financial Instrument for Home Loan Modifications

$

3,100,000

N/A

1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
9/15/2010

Oklahoma City

Caliber Home Loans, Inc (Vericrest Financial, Inc.)
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557

OK

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

Adjustment
Date

Cap Adjustment Amount

1/6/2011

$

3/30/2011
6/29/2011

Adjusted Cap

Reason for Adjustment

(17)

$

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

$

(20)

$

$

(192)

$

6/28/2012

$

(144)

$

9/27/2012

$

(396)

$

12/27/2012

$

(67)

$

3/25/2013

$

(253)

$

6/27/2013

$

(95)

$

9/27/2013

$

(34)

$

12/23/2013

$

(57,776)

$

9/30/2010

$

45,056

$

145,056 Updated portfolio data from servicer

1/6/2011

$

34,944

$

3/30/2011

$

40,000

$

6/29/2011

$

50,000

$

180,000 Updated portfolio data from servicer
Updated due to quarterly assessment and
220,000 reallocation
Updated due to quarterly assessment and
270,000 reallocation

3/15/2012

$

(200,000)

$

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

$

5,168,169

$

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

- Termination of SPA

1/6/2011

$

(12)

$

3/30/2011

$

(15)

$

4/13/2011

$

400,000

$

6/29/2011

$

(143)

$

8,668,142 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
8,667,999 reallocation

9/15/2011

$

700,000

$

9,367,999 Transfer of cap due to servicing transfer

10/14/2011

$

100,000

$

9,467,999 Transfer of cap due to servicing transfer

11/16/2011

$

200,000

$

9,667,999 Transfer of cap due to servicing transfer

12/15/2011

$

1,700,000

$

11,367,999 Transfer of cap due to servicing transfer

4/16/2012

$

1,600,000

$

12,967,999 Transfer of cap due to servicing transfer

5/16/2012

$

40,000

$

13,007,999 Transfer of cap due to servicing transfer

6/14/2012

$

(210,000)

$

6/28/2012

$

(105)

$

12,797,999 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
12,797,894 reallocation

7/16/2012

$

50,000

$

12,847,894 Transfer of cap due to servicing transfer

8/16/2012

$

90,000

$

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

$

1,810,000

$

12/27/2012

$

(61)

$

14,747,600 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,747,539 reallocation

1/16/2013

$

30,000

$

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)

$

14,107,539 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,107,325 reallocation

4/16/2013

$

200,000

$

14,307,325 Transfer of cap due to servicing transfer

5/16/2013

$

3,710,000

$

18,017,325 Transfer of cap due to servicing transfer

6/14/2013

$

1,760,000

$

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

$

6,650,000

$

26,427,239 Transfer of cap due to servicing transfer

8/15/2013

$

20,000

$

26,447,239 Transfer of cap due to servicing transfer

9/16/2013

$

4,840,000

$

9/27/2013

$

(54)

$

31,287,239 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
31,287,185 reallocation

10/15/2013

$

720,000

$

32,007,185 Transfer of cap due to servicing transfer

11/14/2013

$

1,040,000

$

33,047,185 Transfer of cap due to servicing transfer

12/16/2013

$

140,000

$

12/23/2013

$

(84,376)

$

33,187,185 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
33,102,809 reallocation

9/15/2010

$

1,000,000

$

1,000,000 Transfer of cap due to servicing transfer

9/30/2010

$

450,556

$

1,450,556 Updated portfolio data from servicer

1/6/2011

$

(2)

$

2/16/2011

$

3,000,000

$

4,450,554 Transfer of cap due to servicing transfer

3/16/2011

$

10,200,000

$

3/30/2011

$

(24)

$

6/29/2011

$

(227)

$

14,650,554 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,650,530 reallocation
Updated due to quarterly assessment and
14,650,303 reallocation

7/14/2011

$

12,000,000

$

26,650,303 Transfer of cap due to servicing transfer

12/15/2011

$

4,100,000

$

30,750,303 Transfer of cap due to servicing transfer

1/13/2012

$

900,000

$

31,650,303 Transfer of cap due to servicing transfer

4/16/2012

$

300,000

$

6/28/2012

$

(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

1,450,554 Updated portfolio data from servicer

9/27/2012

$

(689)

$

11/15/2012

$

720,000

$

12/27/2012

$

(114)

$

32,669,348 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
32,669,234 reallocation

1/16/2013

$

8,020,000

$

40,689,234 Transfer of cap due to servicing transfer

109

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

1001557
1001557
1001557
1001557
1001557
9/15/2010

Freeport

Midwest Community Bank

IL

Purchase

Financial Instrument for Home Loan Modifications

$

400,000

N/A

1000879
1000879
1000879
1000879
1000879
1000879
1000879
1000879
1000879
1000879
9/24/2010

Pasadena

American Finance House LARIBA

CA

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

1000704
9/24/2010

Ottawa

Centrue Bank

IL

Purchase

Financial Instrument for Home Loan Modifications

$

1,900,000

N/A

10204
10204
9/30/2010

AgFirst Farm Credit Bank

9/30/2010

Amarillo National Bank

Columbia

SC

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

Amarillo

TX

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

1001220
4, 8

1000478
1000478
1000478
1000478
1000478
9/30/2010

Parsippany

American Financial Resources Inc.

NJ

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

1001726
1001726
1001726
1001726
1001726
9/30/2010

San Juan

Banco Popular de Puerto Rico

PR

Purchase

Financial Instrument for Home Loan Modifications

$

1,700,000

N/A

4, 5, 8

1000509
1000509
1000509
1000509
1000509
1000509
1000509
1000509
1000509
1000509
1000509
9/30/2010

Coral Gables

Capital International Financial, Inc.

FL

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

1001930
1001930
1001930
1001930
1001930
9/24/2010

Freeburg

Citizens Community Bank

IL

Purchase

Financial Instrument for Home Loan Modifications

$

800,000

N/A

1001848
1001848
9/30/2010

Rockledge

Community Credit Union of Florida

FL

Purchase

Financial Instrument for Home Loan Modifications

$

2,000,000

N/A

6

8
8
8
8
8
9/30/2010

12
New Brighton

CU Mortgage Services, Inc.
10616
10616
10616
10616
10616

MN

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

Updated due to quarterly assessment and
40,688,643 reallocation

3/25/2013

$

(591)

$

5/16/2013

$

(40,000)

$

6/27/2013

$

(223)

$

9/27/2013

$

(80)

$

12/23/2013

$

(135,776)

$

9/30/2010

$

180,222

$

580,222 Updated portfolio data from servicer

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(8)

$

6/28/2012

$

(6)

$

9/27/2012

$

(17)

$

12/27/2012

$

(3)

$

3/25/2013

$

(11)

$

6/27/2013

$

(4)

$

9/27/2013

$

(1)

$

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

9/30/2010

$

45,056

$

2/2/2011

$

(145,056)

$

9/30/2010

$

856,056

$

2,756,056 Updated portfolio data from servicer

1/6/2011

$

(4)

$

2,756,052 Updated portfolio data from servicer

3/9/2011

$

(2,756,052)

$

9/30/2010

$

45,056

$

3/23/2011

$

(145,056)

$

9/30/2010

$

45,056

$

6/29/2011

$

(1)

$

6/28/2012

$

(1)

$

9/27/2012

$

(2)

$

3/25/2013

$

(1)

$

12/23/2013

$

(232)

$

9/30/2010

$

45,056

$

6/29/2011

$

(1)

$

6/28/2012

$

(1)

$

9/27/2012

$

(2)

$

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

145,056 Updated portfolio data from servicer
- 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

3/25/2013

$

(1)

$

12/23/2013

$

(232)

$

9/30/2010

$

765,945

$

2,465,945 Updated portfolio data from servicer

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)

$

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

9/16/2013

$

460,000

$

9/27/2013

$

(7)

$

12/23/2013

$

(12,339)

$

9/30/2010

$

45,056

$

6/29/2011

$

(1)

$

6/28/2012

$

(1)

$

9/27/2012

$

(2)

$

3/25/2013

$

(1)

$

12/23/2013

$

(232)

$

9/30/2010

$

360,445

$

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

$

901,112

$

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

1/6/2011

$

(4)

$

3/30/2011

$

(5)

$

6/29/2011

$

(48)

$

6/28/2012

$

(36)

$

9/14/2012

$

(2,888,387)

$

9/30/2010

$

45,056

$

6/29/2011

$

(1)

$

6/28/2012

$

(1)

$

9/27/2012

$

(2)

$

3/25/2013

$

(1)

$

12/23/2013

$

(232)

$

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
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

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

110

Servicer Modifying Borrowers' Loans

9/30/2010

Adjustment Details

Name of Institution

Date

City
Lake City

First Federal Bank of Florida

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

10364
10364
10364
10364
10364
9/30/2010

Diamond Bar

First Mortgage Corporation

CA

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

10253
10253
10253
10253
10253
9/30/2010

Cincinnati

First Safety Bank

OH

Purchase

Financial Instrument for Home Loan Modifications

$

400,000

N/A

1000487
1000487
9/30/2010

Troy

Flagstar Capital Markets Corporation

MI

Purchase

Financial Instrument for Home Loan Modifications

$

800,000

N/A

7, 8

10228
10228
10228
10228
10228
10228
10228
10228
10228
10228
9/30/2010

Cincinnati

Franklin Savings

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

12
Tulsa

Gateway Mortgage Group, LLC

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

Saint Paul

MN

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

1001637
9/30/2010

Guaranty Bank

4, 8

10350
10350
10350
10350
10350
9/24/2010

Kansas City

James B. Nutter & Company

MO

Purchase

Financial Instrument for Home Loan Modifications

$

300,000

N/A

1000492
1000492
1000492
1000492
1000492
1000492
1000492
1000492
1000492
1000492
9/30/2010

New Orleans

Liberty Bank and Trust Co
1001010
1001010
1001010

LA

Purchase

Financial Instrument for Home Loan Modifications

$

1,000,000

N/A

4, 8

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

9/30/2010

$

45,056

$

145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
Updated due to quarterly assessment and
145,051 reallocation
Updated due to quarterly assessment and
144,819 reallocation

6/29/2011

$

(1)

$

6/28/2012

$

(1)

$

9/27/2012

$

(2)

$

3/25/2013

$

(1)

$

12/23/2013

$

(232)

$

9/30/2010

$

45,056

$

6/29/2011

$

(1)

$

6/28/2012

$

(1)

$

9/27/2012

$

(2)

$

3/25/2013

$

(1)

$

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

9/30/2010

$

180,222

$

580,222 Updated portfolio data from servicer

1/6/2011

$

(1)

$

580,221 Updated portfolio data from servicer

3/23/2011

$

(580,221)

$

9/30/2010

$

360,445

$

1,160,445 Updated portfolio data from servicer

- Termination of SPA

1/6/2011

$

(2)

$

3/30/2011

$

(2)

$

6/29/2011

$

(18)

$

6/28/2012

$

(14)

$

9/27/2012

$

(37)

$

12/27/2012

$

(6)

$

3/25/2013

$

(24)

$

6/27/2013

$

(9)

$

9/27/2013

$

(3)

$

12/23/2013

$

(5,463)

$

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

9/30/2010

$

765,945

$

2,465,945 Updated portfolio data from servicer

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)

$

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

6/14/2013

$

(10,000)

$

6/27/2013

$

(20)

$

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

9/27/2013

$

(7)

$

10/24/2013

$

(2,446,075)

$

9/30/2010

$

45,056

$

6/29/2011

$

(1)

$

6/28/2012

$

(1)

$

9/27/2012

$

(2)

$

3/25/2013

$

(1)

$

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

9/30/2010

$

45,056

$

145,056 Updated portfolio data from servicer

3/23/2011

$

(145,056)

$

9/30/2010

$

45,056

$

6/29/2011

$

(1)

$

6/28/2012

$

(1)

$

9/27/2012

$

(2)

$

3/25/2013

$

(1)

$

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

9/30/2010

$

135,167

$

435,167 Updated portfolio data from servicer

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(6)

$

6/28/2012

$

(4)

$

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

9,615 Termination of SPA

- Termination of SPA

9/27/2012

$

(12)

$

12/27/2012

$

(2)

$

3/25/2013

$

(8)

$

6/27/2013

$

(3)

$

9/27/2013

$

(1)

$

12/23/2013

$

(1,727)

$

9/30/2010

$

450,556

$

1,450,556 Updated portfolio data from servicer

1/6/2011

$

(2)

$

3/30/2011

$

(2)

$

6/29/2011

$

(23)

$

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

111

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

1001010
1001010
1001010
1001010
1001010
1001010
1001010
9/30/2010

Buffalo

M&T Bank

NY

Purchase

Financial Instrument for Home Loan Modifications

$

700,000

N/A

4, 8

10529
10529
10529
10529
10529
10529
10529
10529
10529
10529
9/30/2010

Germantown

Magna Bank

TN

Purchase

Financial Instrument for Home Loan Modifications

$

1,400,000

N/A

5

1000645
1000645
1000645
1000645
1000645
1000645
1000645
1000645
1000645
1000645
9/30/2010

Lexena

Mainstreet Credit Union

KS

Purchase

Financial Instrument for Home Loan Modifications

$

500,000

N/A

1001636
1001636
9/30/2010

Charlotte

Marsh Associates, Inc.

NC

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

1001907
1001907
1001907
1001907
1001907
9/30/2010

Oklahoma City

Midland Mortgage Company

OK

Purchase

Financial Instrument for Home Loan Modifications

$

43,500,000

N/A

4, 5

10457
10457
10457
10457
10457
10457
10457
10457
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

Miles City

Stockman Bank of Montana

MT

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

1000818
1000818
1000818
1000818
1000818
9/30/2010

Salt Lake City

University First Federal Credit Union

UT

Purchase

Financial Instrument for Home Loan Modifications

$

600,000

N/A

1001721
1001721
9/30/2010

Weststar Mortgage, Inc.

Woodbridge

VA

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

9/27/2013

$

(4)

$

12/23/2013

$

(6,958)

$

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

9/30/2010

$

315,389

$

1,015,389 Updated portfolio data from servicer

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(11)

$

6/28/2012

$

(11)

$

9/27/2012

$

(30)

$

12/27/2012

$

(5)

$

3/25/2013

$

(20)

$

6/27/2013

$

(7)

$

9/27/2013

$

(3)

$

12/23/2013

$

(4,381)

$

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

9/30/2010

$

630,778

$

2,030,778 Updated portfolio data from servicer

1/6/2011

$

(3)

$

3/30/2011

$

(3)

$

6/29/2011

$

(33)

$

6/28/2012

$

(25)

$

9/27/2012

$

(68)

$

12/27/2012

$

(11)

$

3/25/2013

$

(44)

$

6/27/2013

$

(16)

$

9/27/2013

$

(6)

$

12/23/2013

$

(9,947)

$

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

$

225,278

$

725,278 Updated portfolio data from servicer

1/6/2011

$

(1)

$

725,277 Updated portfolio data from servicer

3/9/2011

$

(725,277)

$

9/30/2010

$

45,056

$

6/29/2011

$

(1)

$

6/28/2012

$

(1)

$

9/27/2012

$

(1)

$

3/25/2013

$

(1)

$

10/15/2013

$

(60,000)

$

9/30/2010

$

49,915,806

$

93,415,806 Updated portfolio data from servicer
93,415,681 Updated portfolio data from servicer
Updated due to quarterly assessment and
93,415,542 reallocation
Updated due to quarterly assessment and
93,414,319 reallocation
Updated due to quarterly assessment and
93,413,522 reallocation

6/28/2012

$

(17)

$

9/27/2012

$

(48)

$

12/27/2012

$

(8)

$

3/25/2013

$

(30)

$

6/27/2013

$

(11)

$

- 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

1/6/2011

$

(125)

$

3/30/2011

$

(139)

$

6/29/2011

$

(1,223)

$

6/28/2012

$

(797)

$

7/16/2012

$

294,540,000

$

387,953,522 Transfer of cap due to servicing transfer

7/27/2012

$

(263,550,000)

$

9/27/2012

$

(3,170)

$

12/27/2012

$

(507)

$

3/25/2013

$

(1,729)

$

6/27/2013

$

(593)

$

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
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

9/27/2013

$

(199)

$

12/23/2013

$

(280,061)

$

9/30/2010

$

45,056

$

6/29/2011

$

(1)

$

6/28/2012

$

(1)

$

9/27/2012

$

(2)

$

3/25/2013

$

(1)

$

12/23/2013

$

(232)

$

9/30/2010

$

45,056

$

6/29/2011

$

(1)

$

6/28/2012

$

(1)

$

9/27/2012

$

(2)

$

3/25/2013

$

(1)

$

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

9/30/2010

$

270,334

$

870,334 Updated portfolio data from servicer

1/6/2011

$

(1)

$

870,333 Updated portfolio data from servicer

2/17/2011

$

(870,333)

$

9/30/2010

$

45,056

$

145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
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

112

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

1001893
1001893
1001893
1001893
1001893
12/15/2010

Denver

Statebridge Company, LLC

CO

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
12/15/2010

San Juan

Scotiabank de Puerto Rico

PR

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

1000991
1000991
1000991
1000991
1000991
1000991
1000991
1000991
1000991
4/13/2011

Cleveland

New York Community Bank (AmTrust Bank)

OH

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

10151
10151
10151
10151
10151
10151
10151
10151
10151
10151
10151
10151
4/13/2011

Richmond

SunTrust Mortgage, Inc.

VA

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

10012
10012
10012
10012
4/13/2011

Chicago

Urban Partnership Bank

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

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
Updated due to quarterly assessment and
145,051 reallocation
Updated due to quarterly assessment and
144,819 reallocation

6/29/2011

$

(1)

$

6/28/2012

$

(1)

$

9/27/2012

$

(2)

$

3/25/2013

$

(1)

$

12/23/2013

$

(232)

$

12/15/2010

$

5,000,000

$

5,000,000 Updated portfolio data from servicer

1/6/2011

$

(7)

$

4,999,993 Updated portfolio data from servicer

2/16/2011

$

500,000

$

5,499,993 Transfer of cap due to servicing transfer

3/16/2011

$

100,000

$

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)

$

3,099,899 Transfer of cap due to servicing transfer

3/15/2012

$

200,000

$

6/28/2012

$

(40)

$

9/27/2012

$

(100)

$

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

10/16/2012

$

170,000

$

3,469,759 Transfer of cap due to servicing transfer

11/15/2012

$

(30,000)

$

3,439,759 Transfer of cap due to servicing transfer

12/14/2012

$

(80,000)

$

12/27/2012

$

(17)

$

3,359,759 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,359,742 reallocation

1/16/2013

$

50,000

$

3,409,742 Transfer of cap due to servicing transfer

2/14/2013

$

1,240,000

$

4,649,742 Transfer of cap due to servicing transfer

3/14/2013

$

90,000

$

3/25/2013

$

(90)

$

4,739,742 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
4,739,652 reallocation

4/16/2013

$

(10,000)

$

6/27/2013

$

(34)

$

9/27/2013

$

(13)

$

11/14/2013

$

60,000

$

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

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

12/15/2010

$

4,300,000

$

4,300,000 Updated portfolio data from servicer

1/6/2011

$

(4)

$

6/29/2011

$

(5)

$

6/28/2012

$

(23)

$

9/27/2012

$

(63)

$

12/27/2012

$

(11)

$

3/25/2013

$

(41)

$

6/27/2013

$

(16)

$

9/27/2013

$

(6)

$

12/23/2013

$

(9,679)

$

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

$

200,000

$

200,000 Transfer of cap due to servicing transfer

5/13/2011

$

100,000

$

300,000 Transfer of cap due to servicing transfer

6/16/2011

$

300,000

$

6/29/2011

$

(9)

$

600,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
599,991 reallocation

8/16/2011

$

200,000

$

6/28/2012

$

(7)

$

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
Updated due to quarterly assessment and
799,950 reallocation
Updated due to quarterly assessment and
799,945 reallocation

9/27/2012

$

(19)

$

12/27/2012

$

(3)

$

3/25/2013

$

(12)

$

6/27/2013

$

(5)

$

7/16/2013

$

150,000

$

9/27/2013

$

(2)

$

12/23/2013

$

(3,454)

$

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

4/13/2011

$

100,000

$

100,000 Transfer of cap due to servicing transfer

6/14/2013

$

120,000

$

6/27/2013

$

(1)

$

220,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
219,999 reallocation

7/16/2013

$

10,000

$

12/23/2013

$

(670)

$

4/13/2011

$

1,000,000

$

6/29/2011

$

233,268

$

11/16/2011

$

100,000

$

6/28/2012

$

(3)

$

229,999 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
229,329 reallocation
1,000,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,233,268 reallocation

9/27/2012

$

(10)

$

12/27/2012

$

(2)

$

3/25/2013

$

(7)

$

6/27/2013

$

(3)

$

9/27/2013

$

(1)

$

12/23/2013

$

(1,744)

$

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

4/13/2011

$

200,000

$

200,000 Transfer of cap due to servicing transfer

113

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

1001231
1001231
1001231
1001231
5/13/2011

Anaheim Hills

FCI Lender Services, Inc.

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

Beaverton

Gregory Funding, LLC

OR

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

1002041
1002041
1002041
1002041
1002041
1002041
1002041
1002041
1002041
1002041
1002041
1002041
1002041
1002041
1002041
1002041
1002041
9/15/2011

Bangor Savings Bank

9/15/2011

PHH Mortgage Corporation

Bangor

ME

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

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

Irvine

Rushmore Loan Management Services LLC
1002097
1002097
1002097

CA

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

6/29/2011

$

17,687

$

9/27/2012

$

(1)

$

3/25/2013

$

(1)

$

12/23/2013

$

(290)

$

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

5/13/2011

$

500,000

$

500,000 Transfer of cap due to servicing transfer

6/16/2011

$

100,000

$

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

$

200,000

$

799,991 Transfer of cap due to servicing transfer

9/15/2011

$

100,000

$

899,991 Transfer of cap due to servicing transfer

11/16/2011

$

2,500,000

$

3,399,991 Transfer of cap due to servicing transfer

5/16/2012

$

1,510,000

$

4,909,991 Transfer of cap due to servicing transfer

6/14/2012

$

450,000

$

6/28/2012

$

(66)

$

5,359,991 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,359,925 reallocation

7/16/2012

$

250,000

$

5,609,925 Transfer of cap due to servicing transfer

8/16/2012

$

90,000

$

9/27/2012

$

(191)

$

5,699,925 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,699,734 reallocation

10/16/2012

$

140,000

$

5,839,734 Transfer of cap due to servicing transfer

11/15/2012

$

70,000

$

5,909,734 Transfer of cap due to servicing transfer

12/14/2012

$

40,000

$

12/27/2012

$

(34)

$

5,949,734 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,949,700 reallocation

1/16/2013

$

40,000

$

5,989,700 Transfer of cap due to servicing transfer

2/14/2013

$

50,000

$

6,039,700 Transfer of cap due to servicing transfer

3/14/2013

$

360,000

$

3/25/2013

$

(135)

$

6,399,700 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,399,565 reallocation

4/16/2013

$

(10,000)

$

6,389,565 Transfer of cap due to servicing transfer

5/16/2013

$

40,000

$

6,429,565 Transfer of cap due to servicing transfer

6/14/2013

$

200,000

$

6/27/2013

$

(53)

$

6,629,565 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,629,512 reallocation

7/16/2013

$

20,000

$

9/27/2013

$

(19)

$

6,649,512 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,649,493 reallocation

10/15/2013

$

260,000

$

6,909,493 Transfer of cap due to servicing transfer

11/14/2013

$

30,000

$

12/23/2013

$

(33,755)

$

6,939,493 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,905,738 reallocation

7/14/2011

$

200,000

$

200,000 Transfer of cap due to servicing transfer

11/16/2011

$

900,000

$

1,100,000 Transfer of cap due to servicing transfer

1/13/2012

$

100,000

$

6/28/2012

$

(9)

$

1,200,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,199,991 reallocation

8/16/2012

$

20,000

$

9/27/2012

$

(26)

$

1,219,991 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,219,965 reallocation

10/16/2012

$

50,000

$

1,269,965 Transfer of cap due to servicing transfer

12/14/2012

$

10,000

$

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

$

130,000

$

1,409,960 Transfer of cap due to servicing transfer

2/14/2013

$

120,000

$

3/25/2013

$

(20)

$

1,529,960 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,529,940 reallocation

5/16/2013

$

80,000

$

1,609,940 Transfer of cap due to servicing transfer

6/14/2013

$

420,000

$

6/27/2013

$

(10)

$

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

9/27/2013

$

(4)

$

11/14/2013

$

120,000

$

12/23/2013

$

(7,685)

$

9/15/2011

$

100,000

$

100,000 Transfer of cap due to servicing transfer

9/15/2011

$

1,300,000

$

6/28/2012

$

(15)

$

9/27/2012

$

(42)

$

1,300,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,299,985 reallocation
Updated due to quarterly assessment and
1,299,943 reallocation

10/16/2012

$

140,000

$

12/27/2012

$

(8)

$

3/25/2013

$

(30)

$

6/27/2013

$

(11)

$

7/16/2013

$

5,850,000

$

9/27/2013

$

(20)

$

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

$

200,000

$

200,000 Transfer of cap due to servicing transfer

4/16/2012

$

600,000

$

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

$

110,000

$

909,997 Transfer of cap due to servicing transfer

2,149,926 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
2,142,241 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

114

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

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
11/15/2012

Orange

Kondaur Capital Corporation

CA

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

1002292
1002292
1002292
1002292
1002292
1002292
1002292
1002292
12/14/2012

Quicken Loans Inc

2/14/2013

Home Servicing, LLC

Detroit

MI

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

Baton Rouge

LA

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

1001579

1002324

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

Updated due to quarterly assessment and
909,984 reallocation

9/27/2012

$

(13)

$

10/16/2012

$

1,270,000

$

2,179,984 Transfer of cap due to servicing transfer

11/15/2012

$

230,000

$

12/27/2012

$

(5)

$

2,409,984 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
2,409,979 reallocation

1/16/2013

$

990,000

$

3,399,979 Transfer of cap due to servicing transfer

2/14/2013

$

600,000

$

3,999,979 Transfer of cap due to servicing transfer

3/14/2013

$

1,980,000

$

3/25/2013

$

(77)

$

5,979,979 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,979,902 reallocation

4/16/2013

$

340,000

$

5/16/2013

$

1,520,000

$

7,839,902 Transfer of cap due to servicing transfer

6/14/2013

$

2,740,000

$

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

$

2,570,000

$

9/27/2013

$

(26)

$

13,149,849 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
13,149,823 reallocation

10/15/2013

$

10,000

$

13,159,823 Transfer of cap due to servicing transfer

11/14/2013

$

19,140,000

$

32,299,823 Transfer of cap due to servicing transfer

12/16/2013

$

1,330,000

$

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

6,319,902 Transfer of cap due to servicing transfer

1/13/2012

$

100,000

$

100,000 Transfer of cap due to servicing transfer

3/15/2012

$

100,000

$

100,000 Transfer of cap due to servicing transfer

6/14/2012

$

940,000

$

6/28/2012

$

205,242

$

9/27/2012

$

(3)

$

12/27/2012

$

(1)

$

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

1/16/2013

$

10,000

$

1,155,238 Transfer of cap due to servicing transfer

2/14/2013

$

8,690,000

$

9,845,238 Transfer of cap due to servicing transfer

3/14/2013

$

1,390,000

$

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

$

620,000

$

11,855,019 Transfer of cap due to servicing transfer

6/14/2013

$

990,000

$

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

$

5,780,000

$

9/27/2013

$

(50)

$

18,624,923 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
18,624,873 reallocation

10/15/2013

$

880,000

$

19,504,873 Transfer of cap due to servicing transfer

11/14/2013

$

6,610,000

$

26,114,873 Transfer of cap due to servicing transfer

12/16/2013

$

20,000

$

12/23/2013

$

(118,329)

$

26,134,873 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
26,016,544 reallocation

11/15/2012

$

30,000

$

30,000 Transfer of cap due to servicing transfer

12/14/2012

$

70,000

$

100,000 Transfer of cap due to servicing transfer

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

5/16/2013

$

130,000

$

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

$

10,000

$

10,000 Transfer of cap due to servicing transfer

8/15/2013

$

10,000

$

20,000 Transfer of cap due to servicing transfer

2/14/2013

$

510,000

$

3/25/2013

$

(9)

$

510,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
509,991 reallocation

115

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

Knoxville

21st Mortgage Corporation

TN

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

1002367
1002367
1002367
5/16/2013

Plano

ViewPoint Bank

TX

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

1000491
6/14/2013

Cincinnati

Cheviot Savings Bank

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

1002498
10/15/2013

Baton Rouge

SN Servicing Corporation

LA

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

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

Total Initial Cap

$

23,831,570,000

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

4/16/2013

$

200,000

$

709,991 Transfer of cap due to servicing transfer

5/16/2013

$

40,000

$

6/27/2013

$

(4)

$

749,991 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
749,987 reallocation

7/16/2013

$

(120,000)

$

9/27/2013

$

(2)

$

12/23/2013

$

(2,620)

$

3/14/2013

$

130,000

$

3/25/2013

$

(1)

$

12/16/2013

$

30,000

$

12/23/2013

$

(96)

$

159,999 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
159,903 reallocation

5/16/2013

$

50,000

$

50,000 Transfer of cap due to servicing transfer

12/16/2013

$

10,000

$

60,000 Transfer of cap due to servicing transfer

6/14/2013

$

10,000

$

6/27/2013

$

1,344

$

10,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
11,344 reallocation

7/16/2013

$

60,000

$

60,000 Transfer of cap due to servicing transfer

7/16/2013

$

10,000

$

10,000 Transfer of cap due to servicing transfer

12/16/2013

$

30,000

$

40,000 Transfer of cap due to servicing transfer

10/15/2013

$

60,000

$

60,000 Transfer of cap due to servicing transfer

12/16/2013

$

10,000

$

70,000 Transfer of cap due to servicing transfer

11/14/2013

$

10,000

$

10,000 Transfer of cap due to servicing transfer

12/16/2013

$

30,000

$

30,000 Transfer of cap due to servicing transfer

12/16/2013

$

10,000

$

10,000 Transfer of cap due to servicing transfer

$

6,032,793,866

$

29,864,363,865.90

Total Cap Adjustments

TOTAL CAP

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

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.
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

116

Supplemental Information [Not Required by EESA §114(a)]
Making Home Affordable Program
Non-GSE Incentive Payments (through December 2013)

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
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
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

Borrowers
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

1,416.67
6,742.19
35,866.28
24,689.43
15,997,418.00
4,099,061.97
296,979,489.54
7,798,420.62
10,993,776.30
863,272.43
10,053,535.52
2,148,656.25
110,210.16
1,000.00
70,251,660.48
23,062.89
3,000.00
55,334.29
7,028.28
7,569,459.20
969,562.74
24,908.09
920,635.50
2,775.62
2,000.00
337,637.70
1,750.00
3,833.34
4,000.00
59,103,083.64
9,833.34
63,683.87
3,177,091.79
75,559.96
916.67
29,419.74
169,857.80
7,867.05
1,916.66
51,757,481.72
7,265.13
9,000.00
19,333.34
22,494.56
9,170.81
282,643,506.53
6,878.50
3,000.00
13,441,220.42
32,864.17
43,230.37
352,195.77
9,687.97
5,186,854.19
1,000.00
67,093.07
345,841.21
151,552.00
3,298,139.15
44,723,070.38
595,733.10
13,344.17
144,761,046.50
59,915,158.23
14,063.79
11,000.00
4,883.58
6,197,592.46
24,598.08
144,479.31
2,000.00
133,393.34
1,823,950.71
114,608.66
164,852.94

Lenders / Investors
$
$
$

18,796.50
10,223.65
162,145.01

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

41,236,849.69
17,843,110.01
606,680,960.54
22,594,712.94
20,045,395.07
2,315,018.75
26,293,675.96
5,030,208.17
186,560.93
956.31
220,868,232.00
61,043.26
4,631.53
145,782.31
28,981.38
11,592,937.05
1,924,523.70
45,161.85
1,945,998.54
3,423.27

$
$
$
$
$
$
$
$
$

646,810.27
3,864.59
13,204.31
2,473.84
145,420,349.54
17,442.57
149,830.72
16,473,947.75
164,824.50

$
$
$
$
$
$
$
$
$
$
$

40,155.78
2,440,767.73
15,779.68
3,036,319.34
5,572.90
133,880,572.78
18,173.85
10,502.00
23,589.08
42,241.31
24,681.03

$
$
$
$
$
$

720,848,490.23
8,113.72
3,651.45
35,353,125.99
37,232.74

$

970,196.74

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

1,300,883.31
1,817.60
176,759.10
2,305,003.00
260,821.65
9,573,457.94
102,103,348.20
1,447,421.04
34,310.37
3,568.11
440,283,326.51
200,507,016.87
29,764.37
23,936.55
7,753.56
15,289,030.64
41,112.47
861,816.12
1,988.10
332,061.47
5,030,006.80
341,104.56
227,582.28

Servicer
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

12,750.00
8,035.81
100,374.66
27,843.67
28,629,251.10
9,075,438.92
364,412,459.55
11,713,614.13
13,897,682.14
1,835,541.60
18,109,958.05
3,534,038.60
226,129.26
1,000.00
108,827,171.21
42,729.55
5,000.00
97,505.28
12,328.28
16,279,383.05
1,091,309.89
28,612.38
5,600.00
1,474,486.04
8,717.90
2,000.00
743,023.67
4,000.00
7,916.67
6,000.00
92,965,012.41
13,100.00
96,824.29
7,060,678.29
81,552.48
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
34,200.00
30,025.20
9,614.92
380,700,463.60
400.00
19,196.44
4,000.00
27,530,413.93
51,077.67
47,460.74
839,632.77
10,649.38
6,210,386.02
2,000.00
107,026.39
1,977,320.74
288,088.18
5,551,645.24
58,881,705.56
1,134,324.02
22,003.56
6,500.00
213,761,598.61
84,625,677.44
39,196.08
19,000.00
11,206.28
7,850,956.48
30,055.98
464,000.00
3,000.00
179,984.09
2,703,512.53
190,357.03
401,333.81

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

Total Payments to Date
32,963.17
25,001.65
298,385.95
52,533.10
85,863,518.79
31,017,610.90
1,268,072,909.63
42,106,747.69
44,936,853.51
5,013,832.78
54,457,169.53
10,712,903.02
522,900.35
2,956.31
399,947,063.69
126,835.70
12,631.53
298,621.88
48,337.94
35,441,779.30
3,985,396.33
98,682.32
5,600.00
4,341,120.08
14,916.79
4,000.00
1,727,471.64
9,614.59
24,954.32
12,473.84
297,488,445.59
40,375.91
310,338.88
26,711,717.83
321,936.94
1,916.67
123,975.98
6,309,232.52
32,430.45
8,308,819.34
13,322.90
280,473,661.73
37,608.51
25,502.00
48,589.08
95,774.65
77,200.79
18,785.73
1,384,192,460.36
400.00
34,188.66
10,651.45
76,324,760.34
121,174.58
90,691.11
2,162,025.28
20,337.35
12,698,123.52
4,817.60
350,878.56
4,628,164.95
700,461.83
18,423,242.33
205,708,124.14
3,177,478.16
69,658.10
10,068.11
798,805,971.62
345,047,852.54
83,024.24
53,936.55
23,843.42
29,337,579.58
95,766.53
1,470,295.43
6,988.10
645,438.90
9,557,470.04
646,070.25
793,769.03

117

Name of Institution
RoundPoint Mortgage Servicing Corporation
Rushmore Loan Management Services LLC
Saxon Mortgage Services Inc
Schools Financial Credit Union
Scotiabank de Puerto Rico
Select Portfolio Servicing, Inc.
Selene Finance LP
Servis One, Inc., dba BSI Financial Services, Inc.
ShoreBank
Silver State Schools Credit Union
SN Servicing Corporation
Specialized Loan Servicing LLC
Statebridge Company, LLC
Sterling Savings Bank
SunTrust Mortgage, Inc
Technology Credit Union
The Bryn Mawr Trust Company
The Golden 1 Credit Union
U.S. Bank National Association
United Bank
United Bank Mortgage Corporation
Urban Partnership Bank
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

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

248,853.03
741,553.65
19,655,074.77
21,666.70
491,961.86
76,181,706.41
72,104.99
1,009,131.66
49,915.10
40,355.90
564.78
6,440,053.34
20,251.02
169,527.77
47,000.00
10,196.51
298,788.54
12,618,498.48
2,916.67
38,635.52
144,580.89
240,971.70
227,305,360.37
244,032.94
17,416.67
27,607.43

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

$

1,454,119,744.87

$

595,886.85
1,401,275.03
41,738,413.24
57,008.69
630,226.86
147,383,877.95
201,611.51
1,470,960.06
153,906.17
176,298.89
10,289,253.15
77,893.57
374,605.30
(1,518.80)
180,714.69
13,683.24
941,517.45
29,986,407.01
2,651.90
73,809.57
295,770.29
489,045.63
667.89
76,889.58
569,055,533.05
699,578.21
46,173.95
490,394.10
29,551.09

3,625,807,219.60

Servicer
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

$

466,519.77
375,372.34
39,413,598.23
35,500.00
418,008.60
102,958,140.74
90,283.51
1,059,069.83
143,165.10
69,189.24
564.78
9,660,004.60
22,101.22
286,927.72
(2,400.00)
70,816.67
8,435.80
538,015.43
21,416,045.09
6,600.00
58,835.23
135,918.87
392,135.86
162,000.00
333,579,244.82
312,225.08
20,916.67
1,167,000.00
46,374.10

2,091,005,592.14

Total Payments to Date
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

1,311,259.65
2,518,201.02
100,807,086.24
114,175.39
1,540,197.32
326,523,725.10
364,000.01
3,539,161.55
346,986.37
285,844.03
1,129.56
26,389,311.09
120,245.81
831,060.79
(3,918.80)
298,531.36
32,315.55
1,778,321.42
64,020,950.58
12,168.57
171,280.32
576,270.05
1,122,153.19
667.89
238,889.58
1,129,940,138.24
1,255,836.23
84,507.29
1,657,394.10
103,532.62
7,170,932,556.61

118

Housing Finance Agency Innovation Fund for the Hardest Hit Housing Markets
Hardest Hit Funds (HHF) Program
Seller
Note

Date

Name of Institution

6/23/2010 Nevada Affordable Housing Assistance Corporation
2
3
2
3
2
3
3

9/23/2010
9/29/2010
6/23/2010 CalHFA Mortgage Assistance Corporation
9/23/2010
9/29/2010
6/23/2010 Florida Housing Finance Corporation
9/23/2010

Tallahassee

Purchase
Purchase
Purchase
Purchase
Purchase
Purchase

Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program

$

Purchase
Purchase
Purchase

Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program

$

Purchase
Purchase
Purchase
Purchase
Purchase
Purchase

Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program

Purchase
Purchase
Purchase

Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program

9/23/2010 GHFA Affordable Housing, Inc.
9/29/2010
9/23/2010 Indiana Housing and Community Development Authority

Atlanta

3
3

9/29/2010
9/23/2010 Illinois Housing Development Authority
9/29/2010
9/23/2010 New Jersey Housing and Mortgage Finance Agency
9/29/2010
9/23/2010 District of Columbia Housing Finance Agency
9/29/2010
9/23/2010 Tennessee Housing Development Agency
9/29/2010

Frankfort

KY

Jackson

MS

Indianapolis

GA
IN

Chicago

IL

Trenton

NJ

Washington
Nashville

DC
TN

498,605,738

N/A
N/A

482,781,786

N/A
N/A
N/A

120,874,221
202,907,565

$

AL

$

$
$

Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program

Montgomery

142,666,006
-

$

Purchase
Purchase
Purchase

SC

N/A
N/A

128,461,559
215,644,179
-

Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program

RI

267,766,006

$
$

Purchase
Purchase
Purchase
Purchase

Providence

$

159,000,000

Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program

OR

400,974,381
-

$

Purchase
Purchase
Purchase
Purchase
Purchase

Salem

1,057,839,136

154,500,000

Financial Instrument for HHF Program
Financial Instrument for HHF Program

OH

$

$

Purchase
Purchase
Columbus

1,975,334,096

$

$

$

$

$
$

$
$
$
$
$

172,000,000
88,000,000
43,000,000
138,000,000
60,672,471
55,588,050
38,036,950
126,650,987
82,762,859

$

$
$
$
$
$
$
$
$
$
$
$
$

166,352,726
112,200,637
7,726,678

$

81,128,260
-

$

$
$

$

N/A
N/A
N/A
N/A

$

$

NC

8/3/2010 Ohio Homeowner Assistance LLC
9/23/2010
9/29/2010
8/3/2010 Oregon Affordable Housing Assistance Corporation
9/23/2010

$

34,056,581
57,169,659
476,257,070

125,100,000

Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program

Raleigh

$
$

$

Purchase
Purchase
Purchase

9/23/2010 Alabama Housing Finance Authority
9/29/2010
9/23/2010 Kentucky Housing Corporation
9/29/2010
9/23/2010 Mississippi Home Corporation
9/29/2010

3

Financial Instrument for HHF Program
Financial Instrument for HHF Program

699,600,000
418,000,000
-

$

Financial Instrument for HHF Program
Financial Instrument for HHF Program

Columbia

3

Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program

FL

$

Purchase
Purchase

8/3/2010 SC Housing Corp
9/23/2010
9/29/2010

3

Purchase
Purchase
Purchase

CA

$

MI

2
3

3

Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program

Lansing

2
3

3

Financial Instrument for HHF Program

Purchase
Purchase
Purchase
Purchase

9/29/2010
6/23/2010 Michigan Homeowner Assistance Nonprofit Housing Corporation

9/29/2010
8/3/2010 Rhode Island Housing and Mortgage Finance Corporation
9/23/2010
9/29/2010

3

Purchase

Investment Amount
Pricing
Additional
1
Investment Amount
Mechanism
$
194,026,240
102,800,000
N/A

Initial Investment
Amount

AZ

9/23/2010
9/29/2010

3

NV

Investment Description

Phoenix

2
3

3

Sacramento

Transaction
Type

Purchase
Purchase

9/23/2010
9/29/2010
8/3/2010 North Carolina Housing Finance Agency

2

Reno

State

9/29/2010
6/23/2010 Arizona (Home) Foreclosure Prevention Funding Corporation

2
3

2
3

City

799,477,026
238,864,755

148,728,864
249,666,235
49,294,215
82,748,571
13,570,770
22,780,803
58,772,347
98,659,200
101,848,874
93,313,825
63,851,373
212,604,832
138,931,280
279,250,831
188,347,507
12,970,520
136,187,333

TOTAL INVESTMENT AMOUNT

$

N/A
N/A
N/A

N/A
N/A
$

570,395,099

$

220,042,786

$

79,351,573

$

295,431,547

$

162,521,345

$

148,901,875

$

101,888,323

$

339,255,819

$

221,694,139

$

445,603,557

$

300,548,144

$

20,697,198

$

217,315,593

$

7,600,000,000

N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
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.

119

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.

120

U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Projected Costs and Liabilities [Section 105(a)(3)(E)]
For Period Ending December 31, 2013

Type of Expense/Liability

Amount

None
Note: Treasury interprets this reporting requirement as
applicable to costs and liabilities related to insurance contracts
entered into under the provisions of section 102 of the EESA;
and the single insurance contract with Citigroup was
terminated on December 23, 2009.

121

U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Programmatic Operating Expenses [Section 105(a)(3)(F)]
For Period Ending December 31, 2013

Type of Expense

Amount

Compensation for financial agents
and legal firms

$997,495,079

122

U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Description of Vehicles Established [Section 105(a)(3)(H)]
For Period Ending December 31, 2013

Date

Vehicle

Description

None

123

HAMP Application Activity by Servicer 1
As of November 2013

Servicer Name
Bank of America, NA6
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 Mortgage7
Residential Credit Solutions, Inc.
Select Portfolio Servicing, Inc.
Specialized Loan Servicing LLC
U.S. Bank National Association
Wells Fargo Bank, NA
Other Servicers8
TOTAL

# Requests
Received 2
5,140
32
869
1,401
377
482
1,066
8,796
2,228
8,842
173
18,926
2,804
10
499
17
417
292
3,724
737
1,699
7,731
66,262

Activity in November 2013
# Requests
# Requests
3
Processed
Approved 4
8,056
1,370
63
34
819
251
1,524
353
326
33
1,022
718
1,090
437
6,808
990
2,747
202
11,405
2,551
191
33
15,735
2,668
7,248
107
10
597
127
17
1
402
61
324
32
1,325
4,300
1,060
131
720
86
8,539
2,244
73,003
13,754

# Requests
Denied 5
6,686
29
568
1,171
293
304
653
5,818
2,545
8,854
158
13,067
7,141
10
470
16
341
292
2,975
929
634
6,295
59,249

# Requests
Received 2
1,344,638
9,569
30,092
69,110
26,026
526,359
85,438
1,519,938
102,924
379,663
10,123
1,309,287
398,721
512
17,130
653
36,631
16,237
142,809
44,815
114,479
819,586
170,842
7,175,582

Program-to-Date
# Requests
# Requests
3
Processed
Approved 4
1,336,644
585,151
9,401
4,618
28,628
9,963
68,001
22,778
25,411
5,774
516,271
223,545
82,590
32,490
1,508,199
437,016
100,824
7,972
353,303
76,876
9,686
1,874
1,273,463
299,410
397,231
102,139
512
51
16,281
4,641
600
30
36,521
27,231
1,843
15,932
135,971
89,971
42,504
6,648
107,074
42,882
806,044
280,673
170,842
106,111
7,041,933
2,369,687

# Requests
Denied 5
751,493
4,783
18,665
45,223
19,637
292,726
50,100
1,071,183
92,852
276,427
7,812
974,053
295,092
461
11,640
570
9,290
14,089
46,000
35,856
64,192
525,371
64,731
4,672,246

1

This report is sourced from the Monthly Servicer Survey of select servicers participating in MHA under a Servicer Participation Agreement. All data present in this report reflects what is provided by servicers participating in the survey, and cannot be
separately reviewed or validated by Treasury.
Beginning in August 2012, this report reflects a change in reporting requirements of the Monthly Servicer Survey; servicers report all HAMP modification requests received and their outcome, including multiple requests made on a loan. Prior to August
2012, servicers counted only one request per loan. As a result of this change, prior months' reporting contained data compiled under the different methodology. This update is reflected in this report on a going forward basis.
From time to time, a servicer's current month's cumulative results may not equal that servicer's prior month's cumulative results and current month's activity; this is due to corrections or updates made to prior reporting methodology. Note that Requests
Processed, Requests Approved, and Requests Denied in any given month may be related to Requests Received in prior months.
2
"Requests Received" is the total number of HAMP mortgage modification requests received, as reported by servicers to Monthly Servicer Survey question: "Number of requests received for a HAMP modification". Cumulative Requests Received include
all HAMP mortgage modification requests received since implementation of Supplemental Directive 10-02, effective June 1, 2010, and any requests that were approved and sent a Trial Offer prior to implementation of this program guidance.
3
"Requests Processed" is the total number of the HAMP mortgage modifications approved or denied and communicated to the borrower by the servicer, calculated as the sum of Requests Approved and Requests Denied, defined below. Figures include
HAMP mortgage modification requests evaluated and denied due to insufficient documentation.
4
"Requests Approved" is the total number of HAMP mortgage modification requests approved and Trial Offers sent to the borrowers, as reported by servicers to Monthly Servicer Survey question: "Number of requests Approved and Sent a HAMP Trial
Offer". Note that all Requests Approved do not become Active Trials because some borrowers do not accept the trial or fail to make the first trial payment. Cumulative Requests Approved include all HAMP mortgage modification requests approved and
Trial Offers sent since program inception, or March 2009.
5
"Requests Denied" is the total number of HAMP mortgage modification requests denied and communicated to the borrower by the servicer in accordance with program guidance, as reported by servicers to Monthly Servicer Survey question: "Number
of requests Denied for a HAMP Trial". Cumulative Requests Denied include all HAMP mortgage modification requests denied and communicated to the borrower by the servicer since implementation of Supplemental Directive 10-02, effective June 1,
2010. Figures include HAMP mortgage modification requests evaluated and denied due to insufficient documentation.
6

Bank of America, NA includes BAC Home Loans Servicing, LP.

7

Formerly National City Bank.

8

Includes servicers that are no longer actively participating in the survey process or whose Servicer Participation Agreement has been terminated. These servicers no longer submit a survey, and their results only reflect previous periods when the survey
questions were not as extensive as current surveys (e.g. #Requests Denied was not a component of earlier surveys).