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MONTHLY REPORT TO CONGRESS
OCTOBER 2013
November 12, 2013
Troubled Asset Relief Program
U.S. Department of the Treasury
T ABLE OF CONTENTS
Highlights in October ............................................................................................................................................................................ 1
Bank Support Programs Update .......................................................................................................................................................... 2
Capital Purchase Program................................................................................................................................................................ 2
Community Development Capital Initiative ....................................................................................................................................... 4
Automotive Industry Financing Program............................................................................................................................................... 5
Housing Programs ............................................................................................................................................................................... 6
Making Home Affordable .................................................................................................................................................................. 6
Hardest Hit Fund .............................................................................................................................................................................. 7
Lifetime Costs .................................................................................................................................................................................... 10
Treasury Estimates of the Impact of TARP Programs and AIG Investments on the Federal Budget ............................................... 11
Daily TARP Update ........................................................................................................................................................................ 14
Appendix Table of Contents ............................................................................................................................................................... 16
HIGHLIGHTS IN OCTOBER
In October, Treasury continued its ongoing strategy to wind down
the remaining bank investments in a way that protects taxpayer
interests and preserves the strength of our nation’s community
banks. On October 21, Treasury held an auction for its preferred
stock in seven institutions for actual aggregate gross proceeds of
$66.1 million. More information can be found in Treasury’s Press
Release: http://www.treasury.gov/press-center/pressreleases/Pages/jl2183.aspx.
Disposition of TARP Funds as of October 31, 2013
On November 4, Treasury announced that it had commenced an
auction for its preferred stock in seven institutions. Details of and
proceeds from the auction will be reviewed in the November
Monthly Report to Congress.
400
During October, Treasury also continued its sale of GM common
stock, pursuant to its third pre-arranged written trading plan
initiated in September 2013. These sales are part of the strategy
Treasury announced in December 2012 for fully exiting its
remaining investment in GM within the following 12-15 months,
subject to market conditions.
Also in October, Treasury introduced the new Hardest Hit Fund
Quarterly Performance Summary, a companion reference to the
Hardest Hit Fund Quarterly Performance Reports. The Summary
contains performance data and trends, key economic and loan
performance indicators, and brief program descriptions for each
HFA. This report will be published regularly in addition to the
information already available on HHF, which includes the update
on HHF in Treasury’s monthly report to Congress on TARP, as
well as the Quarterly Performance Reports published by each
participating state.
500
billion
dollars
Obligated
Principal
Total Cash
Disbursed Repayments Outstanding
Back
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 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. Today, every dollar recovered from CPP participants represents a positive return for taxpayers.
CPP SNAPSHOT
Total CPP Proceeds 1
Total Institutions Funded
Full Repayments
707
234
SBLF Repayments
137
$200
CDCI Conversions
Sold Investments
Auctioned Investments
In Bankruptcy/Receivership
28
23
157
27
$150
Merged Institutions
Total Remaining Institutions
Partial Repayments
Currently in Common 2
4
97
8
3
$224.8 billion
$195.19
$100
$50
$2.78
$18.92
$7.89
$Repayments
Auctions
Total
Dividends,
Interest &
Other Income
Warrant
Income
REPAYMENTS AT PAR
In October, four institutions (Union Financial Corporation; Uwharrie Capital Corp; Valley Financial Corporation; and Independence
Bank) repurchased all of their outstanding CPP preferred shares or subordinated debentures from Treasury’s investments in those
institutions for total proceeds of $14.5 million.
1
2
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 October 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
SALES AND DISPOSITIONS
•
On October 21, Treasury sold to private investors preferred stock in seven institutions (Bank of George; Blue Valley Ban Corp;
Centrue Financial Corporation; Eastern Virginia Bankshares, Inc.; Oregon Bancorp, Inc.; Spirit BankCorp. Inc.; and Valley
Community Bank) for actual aggregate gross proceeds of $66.1 million. More information can be found in Treasury’s Press
Release: http://www.treasury.gov/press-center/press-releases/Pages/jl2183.aspx.
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 July 17, 2013, 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. On October 1, Treasury sold all of its preferred stock for total
proceeds of $3.4 million.
DIVIDENDS AND INTEREST
In October, Treasury received dividends and interest income from CPP investments of $0.2 million. As of September 30, 2013,
cumulative dividends, interest and fee income received from CPP investments total $12.1 billion.
WARRANT REPURCHASES
In addition to the transactions above, Treasury disposed of its warrant positions in four institutions in October that were received in
consideration for investments made under the CPP for total proceeds of $1.2 million. These proceeds provided an additional return to
taxpayers from Treasury’s investments in banks beyond any dividend or interest payment.
•
Union Financial Corporation, Uwharrie Capital Group, and Independence Bank repurchased their preferred shares from
exercised warrants from Treasury for a total of $0.6 million.
•
Treasury completed the sale of warrants issued by Commerce National Bank for a total of $0.6 million.
3
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
Bridgeview Bancorp, Inc.
Porter Bancorp Inc.
Royal Bancshares of Pennsylvania, Inc.
First United Corporation
Miami, FL
Cary, NC
Bridgeview, IL
Louisville, KY
Narbeth, PA
Oakland, MD
Amount Outstanding (millions)
$
935.0
$
239.0
$
80.3
$
51.5
$
$
$
$
$
$
50.2
42.8
38.0
35.0
30.4
30.0
COMMUNITY DEVELOPMENT CAPITAL INITIATIVE
In order to provide lower-cost capital to community development financial institutions, Treasury established the Community
Development Capital Initiative (CDCI). In total, Treasury invested approximately $570 million in 84 community development financial
institutions, which included approximately $363 million exchanged by 28 financial institutions from the Capital Purchase Program.
There are currently 69 institutions remaining in the program with $468.5 million in investment outstanding. Treasury has not taken
any specific action to date to wind down the CDCI, however some institutions have repaid Treasury’s investments.
•
On October 1, BankAsiana repurchased all of its outstanding CDCI investment from Treasury for a total of $5.3 million plus
accrued and unpaid dividends.
•
On October 30, Southside Credit Union repurchased all of its outstanding CDCI investment from Treasury for a total of $1.1
million plus accrued and unpaid dividends.
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
Under the AIFP, 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 GM. 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 shares. On April 11, 2013, Treasury completed its first prearranged 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 addition, 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 the sale were approximately $1.0 billion. On September 13, Treasury completed its second pre-arranged
written 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.
In October, Treasury continued its sale of GM common stock, pursuant to its third pre-arranged written trading plan initiated in
September 2013. More information is available in Treasury’s press release: http://www.treasury.gov/press-center/pressreleases/Pages/jl2173.aspx.
During October, Treasury received total net proceeds of approximately $1.2 billion from the sales of GM common stock. 7 As of
October 31, Treasury has recovered approximately $37.2 billion 8 of its investment in GM through repayments, sales of stock,
dividends, interest, and other income.
7
Additional details on the number of GM shares and average price per share that Treasury sold under its pre-arranged written trading plan will be disclosed upon
the completion of each pre-arranged trading plan and provided in the Monthly Report to Congress that is issued subsequent to the sale.
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 This month, the U.S. Department of the Treasury plans to release the Making Home Affordable Program Performance Report for the
period ending September 2013. The report will be 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 1.8 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 more than 1.2 million through the Home Affordable Modification Program (HAMP). Approximately 13,000 new HAMP
modifications have been reported since the August report.
•
To date, homeowners in HAMP permanent modifications have saved an estimated $22.9 billion in monthly mortgage payments.
Homeowners in active first lien permanent modifications are currently saving a median of $547 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
$12.1 billion in principal reduction. Of all non-GSE loans eligible for principal reduction entering HAMP in September, 72 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, nearly 120,000 homeowners in a permanent first lien
modification under HAMP have received assistance through 2MP.
•
Nearly 230,000 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.
•
There are now 66 active programs across the 19 HFAs. Approximately 69 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
October, 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 Hardest Hit Funds.
Treasury also attended and delivered presentations at the National Council of State Housing Agencies’ Annual Conference.
•
In October, Treasury approved program changes for Arizona, New Jersey, and South Carolina. Arizona expanded the definition
of affordability for its unemployment and reinstatement programs, and created a waiver allowing homeowners to receive
assistance that exceeds the $2,000 per month cap; maximum assistance may not exceed the overall program cap of $48,000.
New Jersey reduced the maximum assistance available to homeowners to $24,000. South Carolina received approval to launch a
new Modification Assistance Program (MAP), which provides up to $36,000 in principal reduction to facilitate a loan modification
or reamortization (recast).
•
Four HFAs drew a total of $103.5 million in October; over the life of the program, the 19 HFAs have drawn a total of $3.02 billion.
Each HFA draws down funds as they are needed. (See Hardest Hit Fund as of September 30, 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.
•
Also in October, Treasury introduced the new Hardest Hit Fund Quarterly Performance Summary, a companion reference to the
Hardest Hit Fund Quarterly Performance Reports. The Summary contains performance data and trends, key economic and loan
performance indicators, and brief program descriptions for each HFA. This report will be published regularly in addition to the
information already available on HHF, which includes the update on HHF in Treasury’s monthly report to Congress on TARP, as
well as the Quarterly Performance Reports published by each participating state. The Hardest Hit Fund Quarterly Performance
7
7
8
Summary is available at http://www.treasury.gov/initiatives/financial-stability/reports/Pages/HHF.aspx. Direct links to each state’s
most recent performance report can be found at http://www.treasury.gov/initiatives/financial-stability/programs/housingprograms/hhf/Pages/default.aspx and below in the Programs Available Through the Hardest Hit Fund table.
PROGRAMS AVAILABLE THROUGH THE HARDEST HIT FUND
AL
AZ
CA
Statewide
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
State
Reporting Link
Program Information Link
http://www.hardesthitalabama.com/TreasuryHHA.html
http://www.azhousing.gov/ShowPage.aspx?ID=405&CID=11
http://www.keepyourhomecalifornia.org/reports.htm
http://www.dchfa.org/DCHFAHome/Homebuyers/ForeclosurePrevention/QuarterlyRepor
ts/tabid/219/Default.aspx
http://apps.floridahousing.org/StandAlone/FHFC_ECM/ContentPage.aspx?PAGE=0277
http://www.dca.state.ga.us/housing/homeownership/programs/treasuryReports.asp
http://www.illinoishardesthit.org/spv-7.aspx
http://www.877gethope.org/news/indianas-hardest-hit-funding-update
http://www.kyhousing.org/page.aspx?id=3165
http://www.michigan.gov/mshda/0,1607,7-141-45866_47905-250571--,00.html
http://www.mshomecorp.com/about%20mhc/disclosures.htm
http://www.ncforeclosureprevention.gov/hardest_hit_funds.aspx
http://www.njhomekeeper.gov/performance.htm
http://www.nahac.org/
http://www.ohiohome.org/restoringstability/reports.aspx
http://www.oregonhomeownerhelp.org/en/reporting
http://www.hhfri.org/HHFRI_Dynamic_Content.aspx?id=10737418256&ekmensel=c580f
a7b_10737418238_10737418240_btnlink
http://www.scmortgagehelp.com/reports.html
https://www.keepmytnhome.org/
http://www.hardesthitalabama.com
https://www.savemyhomeaz.gov/
www.keepyourhomecalifornia.org
https://www.homesaverdc.org/
https://www.flhardesthithelp.org/
https://www.homesafegeorgia.com
https://www.illinoishardesthit.org/
http://www.877gethope.org/
http://www.ProtectMyKYHome.org
http://www.stepforwardmichigan.org
http://www.mshomesaver.com
http://www.ncforeclosureprevention.gov/
http://www.njhomekeeper.gov
http://www.nahac.org/
http://www.savethedream.ohio.gov/
http://www.oregonhomeownerhelp.org/
http://www.hhfri.org/
http://www.scmortgagehelp.com/
http://www.keepmytnhome.org
8
7 HARDEST HIT FUND AS OF OCTOBER 31, 2013
8
9
LIFETIME COSTS
The true cost of the financial crisis will always be measured in the
human suffering and economic damage it caused – the jobs that
were lost, the businesses that were closed, and the college
educations or retirements that were deferred. However the fiscal
cost of TARP is also important.
When Congress created TARP, it authorized up to $700 billion for
it. However, to date a total of $421.5 billion has been disbursed
under TARP. As of October 31, 2013, cumulative collections
under TARP, together with Treasury’s additional proceeds from
the sale of non-TARP shares of AIG 9, have exceeded total
disbursements by $2.5 billion 10.
This report contains two charts that provide a complete picture of
how 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
9
For more information, see note 10 to the Daily TARP Update.
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 11: Treasury Estimates of the Impact
of TARP Programs and AIG Investments on the Federal Budget.
10
0
Oct
'08
Apr
'09
Oct
'09
Apr
'10
Oct
'10
Apr
'11
Oct'
11
Apr
'12
Oct
'12
Apr
'13
Oct
'13
10
7
8
TREASURY ESTIMATES OF THE IMPACT OF TARP PROGRAMS AND AIG INVESTMENTS ON THE FEDERAL BUDGET
Programs as of October 31, 2013
(dollar amounts in billions)
Obligation/
Commitment
Estimated
Lifetime Cost as
of
Outstanding
Investment
Balance as of
October 31
Disbursed as of
October 31
1
July 31
Bank Support Programs:
Capital Purchase Program (CPP):
Citigroup
Other banks with assets $10 billion or greater
Banks with assets less than $10 billion2
Total
Targeted Investment Program (TIP)
Asset Guarantee Program (AGP)3
Community Development Capital Initiative (CDCI)
$
$
$
$
$
$
$
25.00
165.33
14.57
204.89
40.00
5.00
0.57
$
$
$
$
$
$
$
25.00
165.33
14.57
204.89
40.00
0.00
0.57
$
$
$
$
$
$
$
1.17
1.08
2.25
0.47
$
$
$
$
$
$
$
(6.89)
(10.24)
1.08
(16.05)
(4.00)
(4.00)
0.12
$
$
$
$
$
7.23
12.38
19.61
0.10
0.37
$
$
$
$
$
6.25
12.38
18.62
0.10
0.37
$
$
$
$
$
-
$
$
$
$
$
(3.09)
0.33
(2.76)
(0.60)
(0.00)
American International Group (AIG):
Preferred Stock
Common Stock
Total
$
$
$
20.29
47.54
67.84
$
$
$
20.29
47.54
67.84
$
$
$
-
$
$
$
15.18
15.18
Automotive Industry Financing Program (AIFP)
$
79.69
$
79.69
$
18.36
$
14.98
Sub-total for Investment Programs
$
418.07
$
411.72
$
21.08
$
2.86
Making Home Affordable
Hardest Hit Fund
FHA-Refinance4
Sub-total for Housing Programs
$
$
$
$
29.86
7.60
1.03
38.49
$
$
$
$
6.75
3.02
0.06
9.82
n/a
n/a
n/a
n/a
$
$
$
$
29.87
7.60
0.21
37.67
$
456.55
$
421.54
21.08
$
40.54
n/a
$
(17.55)
21.08
$
22.98
Credit Market Programs:
Public-Private Investment Program (PPIP):
Equity
Debt
Total
Term Asset Backed Securities Lending Facility (TALF)
Purchase SBA 7(a) Securities (SBA)
Other Programs:
Total for TARP Programs
Additional AIG Common Shares Held by Treasury5
Total for TARP Programs and Additional AIG Shares
n/a
$
456.55
$
n/a
$
421.54
$
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 know 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.
Footnotes
1
Lifetime cost information is as of July 31, 2013 with adjustments in AIFP for the pending Ally repurchase. Estimated lifetime cost figures shown
above are currently updated quarterly in conjunction with the Office of Management and Budget. The value of outstanding investments in
publicly-traded securities is calculated by using the aggregate value of the investments at market prices as of July 31, 2013. The following
common stock value information is provided for the convenience of the reader to show the increase or decrease in the aggregate value of the
shares outstanding as of July 31, 2013, compared to the aggregate value of shares outstanding as of October 31, 2013, including the net
proceeds from shares sold in August through October 2013.
Outstanding Investment
07/31/2013
Market Value
10/31/2013 Market
Value
Increase
(Decrease) in Cost
In billions
GM Common Stock
$
4.91
$
4.96
$
(0.05)
Note: The share price for GM was $35.87 for the period ending July 31, 2013 and $36.95 for the period ending October 31, 2013.
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.
12
4
7 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
8 accommodate any increased usage that could result through the close of the program. The figures in this line include administrative expenses
associated with the letter of credit facility.
5
As discussed in note 10 to the Daily TARP Update, Treasury’s investment in AIG common shares consisted of shares acquired in exchange for
preferred stock purchased with TARP funds (TARP shares) and shares received from the trust created by the FRBNY for the benefit of Treasury
as a result of its loan to AIG (non-TARP shares). Treasury managed the TARP shares and non-TARP shares together, and disposed of them
pro-rata in proportion to its holdings. Only the TARP shares are included under “Other Programs—AIG” and the lifetime cost estimate shows a
loss based on Treasury’s cost basis in the TARP shares alone. However, a gain is shown for the non-TARP shares on the line entitled
“Additional AIG Common Shares Held by Treasury” because Treasury’s cost basis in such shares was deemed to be zero. When the TARP
shares and non-TARP shares are considered together, Treasury’s cost on a cash basis was $28.73 per share. TARP estimates include financing
costs (borrowing) from the time of initial investment through the close of the program.
13
7
8
DAILY TARP UPDATE
Principal/Investment
(*Dollars in Billions*)
Obligated
Disbursed
Refinancing to
SBLF1
Repayments
Income/Revenue
CPP Exchanges Into
CDCI2
Write-offs &
Realized Losses
Outstanding
3
Dividends
4
Other Income
(Expenses)6
5
4
Warrants Sold
Interest
7
Total Income
Total Cash Back
Bank Support Programs
Capital Purchase Program (CPP)
Banks with Assets $10 Billion or Greater
$
165.33
$
$
161.50
$
-
$
-
$
2.65
$
1.17
$
9.45
$
-
$
7.48
$
0.02 $
16.95
$
178.45
Banks with Assets Less Than $10 Billion
$
14.57
$
14.57 $
11.13
$
2.21
$
0.36
$
2.00
$
1.08
$
1.66
$
-
$
0.35
$
(0.01) $
1.99
$
13.13
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
-
$
-
$
Bank Program Totals
$
$
-
$
0.28
-
$
-
$
0.64
$
-
$
0.07
$
3.14
$
3.85
$
3.85
0.01
-
$
$
0.47
$
0.03
$
-
$
-
$
-
$
0.03
$
0.13
4.66 $
2.72
$
15.72
$
-
$
9.38
$
10.27
$
35.37
$
273.10
-
$
0.89
$
-
$
-
$
2.64
$
3.52
$
9.77
-
$
-
$
0.32
$
-
$
-
$
0.32
$
12.70
$
Community Development Capital Initiative (CDCI)
5.00
$
-
$
-
$
0.57
$
0.21
$
0.09
$
$
250.46
$
245.10
$
237.73
$
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
$
0.10
$
-
$
-
$
-
$
0.01
$
-
$
0.57
$
0.58
$
0.68
Purchase SBA 7(a) Securities (SBA)
$
0.37
$
0.37
$
0.36
$
0.00
$
-
$
-
$
0.01
$
-
$
0.00
$
0.01
$
0.38
$
20.08
$
19.09
$
19.09
$
0.00
$
-
$
0.89 $
0.35
$
-
$
3.21 $
4.44
$
23.53
Common
$
47.54
$
47.54 $
34.06
$
13.48
$
-
$
-
$
-
$
0.03
$
-
$
0.03
$
34.08
Preferred
$
20.29
$
20.29 $
20.29
$
-
$
-
$
0.64
$
-
$
-
$
0.29
$
0.93
$
21.23
$
67.84
$
67.84
$
54.35
$
13.48
$
-
$
0.64
$
-
$
0.29 $
0.96
$
55.31
51.03 $
36.45
Credit Market Program Totals
Other Programs
10
American International Group (AIG)
AIG Totals
0.03 $
Automotive Industry Financing Program (AIFP)
11
GM
$
51.03
$
$
9.98 $
$
0.77
$
37.21
-
$
-
$
1.19
$
-
$
0.50
$
1.69
$
11.13
13.75
$
3.54
$
-
$
-
$
0.13
$
3.67
$
6.21
$
18.36
$
3.54 $
1.95
$
-
$
0.62 $
6.12
$
54.55
26.39
$
18.36
$
4.18 $
1.95 $
0.03 $
0.91 $
7.07
$
109.85
31.05
$
21.08
$
20.79 $
2.30 $
9.40
Chrysler
$
12.37
$
12.37
$
9.44
$
2.93
Ally (GMAC)
$
16.29
$
16.29
$
2.54
$
0.00 $
$
79.69
$
79.69
$
48.43
$
12.90
$
147.53
$
147.53
$
102.78
$
Making Homes Affordable
$
29.86
$
$
7.60
$
1.03
$
$
38.49
$
$
456.56
$
421.54
$
359.60
$
$
-
$
(0.01) $
0.76
9.82
TARP Totals
-
0.06
Housing Totals
$
3.02
$
4.61
6.75
HFA Hardest-Hit Fund
AIFP Totals
Other Programs Totals
$
Treasury Housing Programs Under TARP
12
FHA Refinance
$
-
$
14.39
$
46.88
$
406.48
$
17.55 $
17.55
$
17.55
$
31.94
64.43
$
424.03
Additional Treasury Holdings
Additional AIG Common Shares Held by Treasury10
Total for TARP Programs and Additional AIG Shares
$
456.56
$
421.54
$
359.60
$
-
$
31.05
$
21.08
$
20.79 $
2.30 $
9.40
$
Footnotes
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.
14
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. Treasury currently holds only common 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 intends to continue to dispose of its GM shares in an orderly fashion, subject to market conditions.
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.
15
APPENDIX T ABLE OF CONTENTS
Section
Statutory Requirement 11
CPP Institutions
Additional Information
17
Administrative Obligations and Expenditures
EESA §105(a)(2)
21
Agreements under TARP
EESA §105(a)(3)(A)
22
Insurance Contracts
EESA §105(a)(3)(B)
29
Transactions Report
EESA §105(a)(3)(C,D,G)
30
Page
Investment Programs
30
Home Affordable Modification Program
76
Projected Costs and Liabilities
EESA §105(a)(3)(E)
120
Programmatic Operating Expenses
EESA §105(a)(3)(F)
121
Description of Vehicles Established
EESA §105(a)(3)(H)
122
HAMP Application Activity by Servicer
Dodd-Frank §1483(b)
123
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).
16
Troubled Asset Relief Program
Capital Purchase Program Institutions
As of October 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.
Bridgeview Bancorp, Inc.
Porter Bancorp Inc.
Royal Bancshares of Pennsylvania, Inc.
First United Corporation
Intermountain Community Bancorp
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
1st FS Corporation
Pacific City Financial Corporation
Broadway Financial Corporation
Suburban Illinois Bancorp, Inc.
Equity Bancshares, Inc.
Village Bank and Trust Financial Corp
Tidelands Bancshares, Inc
Community Bankers Trust Corporation
Bank of the Carolinas Corporation
HCSB Financial Corporation
Location
San Juan, PR
San Juan, PR
Norfolk, VA
Charlotte, NC
Miami, FL
Cary, NC
Bridgeview, IL
Louisville, KY
Narberth, PA
Oakland, MD
Sandpoint, ID
Houston, TX
Garland, TX
Bismarck, ND
Danville, AR
Columbia, TN
Little Rock, AR
Hinesville, GA
Waukegan, IL
Fayetteville, AR
Hendersonville, NC
Los Angeles, CA
Los Angeles, CA
Elmhurst, IL
Wichita, KS
Midlothian, VA
Mount Pleasant, SC
Glen Allen, VA
Mocksville, NC
Loris, SC
Public/P
rivate
Public
Public
Public
Public
Private
Public
Private
Public
Public
Public
Public
Private
Private
Public
Private
Private
Private
Private
Public
Private
Public
Public
Private
Private
Private
Public
Public
Public
Public
Public
Amount
Outstanding
$ 935,000,000.00
$ 238,972,281.88
$
80,347,000.00
$
51,500,000.00
$
50,236,000.00
$
42,849,000.00
$
38,000,000.00
$
35,000,000.00
$
30,407,000.00
$
30,000,000.00
$
27,000,000.00
$
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
$
16,369,000.00
$
16,200,000.00
$
15,000,000.00
$
15,000,000.00
$
14,800,000.00
$
14,738,000.00
$
14,448,000.00
$
13,180,000.00
$
13,179,000.00
$
12,895,000.00
17
Community First Bancshares, Inc.
Bankers' Bank of the West Bancorp, Inc.
Meridian Bank
OneUnited Bank
Duke Financial Group, Inc.
TCB Holding Company, Texas Community Bank
Cecil Bancorp, Inc.
Farmers & Merchants Bancshares, Inc.
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
Idaho Bancorp
Harbor Bankshares Corporation
Monarch Community Bancorp, Inc.
Highlands Independent Bancshares, Inc.
Liberty Bancshares, Inc.
Citizens Commerce Bancshares, Inc.
Patapsco Bancorp, Inc.
Rising Sun Bancorp
IA Bancorp, Inc.
Farmers Bank
Midtown Bank & Trust Company
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.
CedarStone Bank
AB&T Financial Corporation
Madison Financial Corporation
Citizens First Corporation
Crazy Woman Creek Bancorp, Inc.
Harrison, AR
Denver, CO
Devon, PA
Boston, MA
Minneapolis, MN
The Woodlands, TX
Elkton, MD
Houston, TX
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
Boise, ID
Baltimore, MD
Coldwater, MI
Sebring, FL
Fort Worth, TX
Versailles, KY
Dundalk, MD
Rising Sun, MD
Iselin, NJ
Windsor, VA
Atlanta, GA
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
Lebanon, TN
Gastonia, NC
Richmond, KY
Bowling Green, KY
Buffalo, WY
Private
Private
Private
Private
Private
Private
Public
Private
Public
Public
Public
Private
Public
Public
Private
Private
Public
Private
Private
Public
Public
Public
Private
Private
Public
Public
Public
Private
Private
Private
Private
Private
Private
Public
Private
Private
Private
Public
Public
Private
Public
Private
Private
Private
Public
Public
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
12,725,000.00
12,639,000.00
12,535,000.00
12,063,000.00
12,000,000.00
11,730,000.00
11,560,000.00
11,000,000.00
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
6,900,000.00
6,800,000.00
6,785,000.00
6,700,000.00
6,500,000.00
6,300,000.00
6,000,000.00
5,983,000.00
5,976,000.00
5,689,000.00
5,222,000.00
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
3,564,000.00
3,500,000.00
3,370,000.00
3,265,788.00
3,100,000.00
18
Grand Mountain Bancshares, Inc.
Granby, CO
Private
$
3,076,000.00
Lone Star Bank
Houston, TX
Private
$
3,072,000.00
St. Johns Bancshares, Inc.
St. Louis, MO
Private
$
3,000,000.00
Marine Bank & Trust Company
Vero Beach, FL
Private
$
3,000,000.00
Freeport Bancshares, Inc.
Freeport, IL
Private
$
3,000,000.00
US Metro Bank
Garden Grove, CA
Public
$
2,861,000.00
Prairie Star Bancshares, Inc.
Olathe, KS
Private
$
2,800,000.00
SouthFirst Bancshares, Inc.
Sylacauga, AL
Public
$
2,760,000.00
Goldwater Bank, N.A.
Scottsdale, AZ
Private
$
2,568,000.00
Grand Financial Corporation
Hattiesburg, MS
Private
$
2,443,320.00
CSRA Bank Corp.
Wrens, GA
Private
$
2,400,000.00
Citizens Bank & Trust Company
Covington, LA
Private
$
2,400,000.00
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
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.
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
$
$
$
$
$
$
$
$
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
19
One Georgia Bank
Integra Bank Corporation
Citizens Bancorp
CB Holding Corp.
Tennessee Commerce Bancorp, Inc.
Blue River Bancshares, Inc.
Fort Lee Federal Savings Bank
Gregg Bancshares, Inc.
GulfSouth Private Bank
Investors Financial Corporation of Pettis County, Inc
First Place Financial Corporation
Princeton National Bancorp
Premier Bank Holding Company
Gold Canyon Bank
Indiana Bank Corp.
Rogers Bancshares, Inc.
7/15/2011
7/29/2011
9/23/2011
10/14/2011
1/27/2012
2/10/2012
4/20/2012
7/13/2012
10/19/2012
10/19/2012
10/29/2012
11/2/2012
8/14/2012
4/5/2013
4/9/2013
7/5/2013
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
5,500,000.00
83,586,000.00
10,400,000.00
4,114,000.00
30,000,000.00
5,000,000.00
1,300,000.00
825,000.00
7,500,000.00
4,000,000.00
72,927,000.00
25,083,000.00
9,500,000.00
1,607,000.00
1,312,000.00
25,000,000.00
20
United States Department of the Treasury
Office of Financial Stability
Report of Administrative Obligations and Expenditures
For Period Ending
October 31, 2013
Budget
Object Class (BOC)
Budget Object Class Title
1100, 1200 & 1300 PERSONNEL COMPENSATION & BENEFITS
PERSONNEL SERVICES Total:
2100
TRAVEL & TRANSPORTATION OF PERSONS
2200
TRANSPORTATION OF THINGS
2300
RENTS, COMMUNICATIONS, UTILITIES & MISC CHARGES
2400
PRINTING & REPRODUCTION
2500
OTHER SERVICES
2600
SUPPLIES AND MATERIALS
Projected
Obligations
$
122,825,000
$
122,825,000
$
2,382,000
12,000
788,000
500
263,118,000
1,898,000
Projected
Expenditures
$
122,760,000
$
122,760,000
$
2,367,000
12,000
716,000
500
217,897,000
1,894,000
NON-PERSONNEL
SERVICES
3100
3200
4200
4300
$
244,000
640
223,131,140
$
345,891,140
$
$
$
$
$
$
$
$
Obligations
121,637,230
121,637,230
2,369,012
11,960
786,303
402
247,391,732
1,828,721
EQUIPMENT
$
LAND & STRUCTURES
$
INSURANCE CLAIMS & INDEMNITIES
$
INTEREST & DIVIDENDS
$
NON-PERSONNEL SERVICES Total: $
253,286
634
252,642,049
$
$
$
$
$
243,907
634
220,100,396
$
254,000
640
268,453,140
GRAND TOTAL: $
PERSONNEL SERVICES
Expenditures
$
121,572,436
$
121,572,436
$
2,353,912
$
11,960
$
711,540
$
402
$
214,953,505
$
1,824,536
For Period Ending
November 30, 2013
374,279,279
$
341,672,832
$
391,278,140
Note: The amounts presented above are cumulative from the initiation of the TARP.
21
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Agreements Under TARP [Section 105(a)(3)(A)]
For Period October 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
1/7/2009
1/27/2009
Contract
Contract
Financial Agent
Contract
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Contract
Contract
Vendor
Simpson Thacher & Bartlett Mnp LLP
Ennis Knupp & Associates Inc.
The Bank of New York Mellon
PricewaterhouseCoopers LLP-1
Turner Consulting Group, Inc.*
Ernst & Young LLP
Hughes Hubbard & Reed LLP
Squire Sanders & Dempsey LLP
Lindholm & Associates Inc.*
Sonnenschein Nath & Rosenthal LLP
Internal Revenue Service
Internal Revenue Service - CSC
Department of the Treasury - Departmental Offices
Trade and Tax Bureau - Treasury
Washington Post
Sonnenschein Nath & Rosenthal LLP
Thacher Proffitt & Wood**
Office of Thrift Supervision
Department of Housing and Urban Development
Office of Thrift Supervision
Cushman And Wakefield Of Va Inc.
Securities and Exchange Commission
Colonial Parking Inc.
Cadwalader Wickersham & Taft LLP
Purpose
Legal Advisory
Investment and Advisory Services
Custodian and Cash Management
Accounting/Internal Controls
Archive Services
Accounting/Internal Controls
Legal Advisory
Legal Advisory
Human Resources Services
Legal Advisory
Detailee
Information Technology
Administrative Support
Information Technology
Administrative Support
Legal Advisory
Legal Advisory
Detailee
Detailee
Detailees
Administrative Support
Detailee
Parking
Legal Advisory
22
Date Approved
Type of Transaction
1/27/2009
1/30/2009
2/2/2009
2/3/2009
2/9/2009
2/12/2009
2/18/2009
2/18/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/26/2009
2/27/2009
3/6/2009
3/16/2009
3/23/2009
3/30/2009
3/30/2009
3/30/2009
3/30/2009
3/30/2009
3/31/2009
4/3/2009
4/3/2009
4/17/2009
4/17/2009
4/21/2009
4/21/2009
4/21/2009
4/30/2009
5/5/2009
5/13/2009
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Financial Agent
Financial Agent
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Financial Agent
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Interagency Agreement
Contract
Financial Agent
Financial Agent
Financial Agent
Interagency Agreement
Interagency Agreement
Interagency Agreement
Vendor
Whitaker Brothers Bus Machines Inc.*
Office of the Controller of the Currency
Government Accountability Office
Internal Revenue Service
Pat Taylor & Assoc Inc.*
Locke Lord Bissell & Liddell LLP
Fannie Mae
Freddie Mac
Financial Clerk U.S. Senate
Office of Thrift Supervision
Simpson Thacher & Bartlett Mnp LLP
Venable LLP-1
Securities and Exchange Commission
Pension Benefit Guaranty Corp.
The Boston Consulting Group Inc.
EARNEST Partners*
Heery International Inc.*
Bingham Mccutchen LLP
Cadwalader Wickersham & Taft LLP
Haynes and Boone LLP
McKee Nelson LLP***
Sonnenschein Nath & Rosenthal LLP
FI Consulting Inc.*
American Furniture Rentals*
The Boston Consulting Group Inc.
Bureau of Engraving and Printing
Herman Miller Inc.
Alliance Bernstein L.P.
FSI Group, LLC
Piedmont Investment Advisors, LLC*
State Department
Federal Reserve Board
Department of Treasury - US Mint
Purpose
Office Machines
Detailee
Oversight Services
Detailees
Administrative Support
Legal Advisory
Homeownership Program
Homeownership Program
Oversight Services
Detailees
Legal Advisory
Legal Advisory
Detailee
Legal Services
Financial Advisory
Small Business Assistance Program
Architectural Services
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Accounting/Internal Controls
Administrative Support
Financial Advisory
Detailee
Facilities Support
Asset Management Services
Asset Management Services
Asset Management Services
Detailee
Detailee
Administrative Support
23
Date Approved
Type of Transaction
5/14/2009
5/15/2009
5/20/2009
5/22/2009
5/26/2009
5/26/2009
6/9/2009
6/29/2009
7/17/2009
7/30/2009
7/30/2009
7/30/2009
8/10/2009
8/10/2009
8/18/2009
8/25/2009
9/2/2009
9/10/2009
9/11/2009
9/18/2009
9/30/2009
9/30/2009
9/30/2009
9/30/2009
11/9/2009
12/16/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Financial Agent
Financial Agent
Financial Agent
Contract
Financial Agent
Financial Agent
Financial Agent
Vendor
Knowledgebank Inc.*
Phacil Inc.
Securities and Exchange Commission
Department of Justice - ATF
Anderson Mc Coy & Orta*
Simpson Thacher & Bartlett Mnp LLP
Financial Management Service - Gartner, Inc.
Department of Interior
Korn/Ferry International
Cadwalader Wickersham & Taft LLP
Debevoise & Plimpton, LLP
Fox Hefter Swibel Levin & Carol, LLP
Department of Justice
NASA
Mercer (US) Inc.
Department of Justice
Knowledge Mosaic Inc.*
Equilar Inc.*
PricewaterhouseCoopers LLP-1
Bureau of the Public Debt - ARC
IMMIXTECHNOLOGY INC.
IMMIXTECHNOLOGY INC.
NNA Inc.
SNL Financial LC
Department of the Treasury - Departmental Offices
Internal Revenue Service
Avondale Investments, LLC*
Bell Rock Capital, LLC*
Howe Barnes Hoefer & Arnett, Inc.******
Hughes Hubbard & Reed LLP
KBW Asset Management, Inc.*
Lombardia Capital Partners, LLC*
Paradigm Asset Management Co., LLC*
Purpose
Administrative Support
FOIA Support Services
Detailee
Detailee
Legal Advisory
Legal Advisory
Information Technology
Information Technology
Administrative Support
Legal Advisory
Legal Advisory
Legal Advisory
Detailee
Detailee
Subscription Services
Detailee
Administrative Support
Subscription Services
Accounting/Internal Controls
Administrative Support
Information Technology
Information Technology
Administrative Support
Subscription Services
Administrative Support
Detailee
Asset Management Services
Asset Management Services
Asset Management Services
Legal Advisory
Asset Management Services
Asset Management Services
Asset Management Services
24
Date Approved
Type of Transaction
1/14/2010
1/15/2010
2/16/2010
2/16/2010
2/18/2010
3/8/2010
3/22/2010
3/26/2010
3/29/2010
4/2/2010
4/8/2010
4/12/2010
4/22/2010
4/22/2010
4/23/2010
5/4/2010
5/17/2010
6/24/2010
6/30/2010
7/21/2010
7/21/2010
7/22/2010
7/22/2010
7/22/2010
7/27/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
Interagency Agreement
Contract
Interagency Agreement
Contract
Interagency Agreement
Contract
Interagency Agreement
Interagency Agreement
Financial Agent
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Financial Agent
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Vendor
Government Accountability Office
Association of Govt Accountants
Internal Revenue Service
The Mitre Corporation
Bureau of the Public Debt - ARC
Qualx Corporation*
Financial Management Services - Gartner, Inc.
Federal Maritime Commission (FMC)
Morgan Stanley & Co. Incorporated
Financial Clerk U.S. Senate
Squire Sanders & Dempsey LLP
Ennis Knupp & Associates Inc.
Digital Management Inc.*
Microlink Llc
RDA Corporation*
Internal Revenue Service
Lazard Fréres & Co. LLC
Reed Elsevier Inc. (dba LexisNexis)
The George Washington University
Navigant Consulting Inc.
Regis & Associates PC*
Ernst & Young LLP
PricewaterhouseCoopers LLP-1
Schiff Hardin LLP
West Publishing Corporation
Alston & Bird LLP
Cadwalader Wickersham & Taft LLP
Fox Hefter Swibel Levin & Carol, LLP
Haynes and Boone LLP
Hughes Hubbard & Reed LLP
Love & Long LLP*
Orrick Herrington Sutcliffe LLP
Paul Weiss Rfknd Whrtn & Grrsn LLP
Purpose
Oversight Services
Administrative Support
Detailee
Information Technology
Information Technology
FOIA Support Services
Information Technology
Detailee
Disposition Agent Services
Oversight Services
Legal Advisory
Financial Advisory
Information Technology
Information Technology
Information Technology
Administrative Support
Transaction Structuring Services
Subscription Services
Administrative Support
Compliance
Compliance
Compliance
Compliance
Legal Advisory
Administrative Support
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
25
Date Approved
Type of Transaction
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/12/2010
8/30/2010
9/1/2010
9/17/2010
9/27/2010
9/30/2010
10/1/2010
10/8/2010
10/14/2010
10/26/2010
11/8/2010
11/18/2010
12/2/2010
12/29/2010
1/5/2011
1/18/2011
1/24/2011
1/26/2011
2/24/2011
2/28/2011
3/3/2011
3/10/2011
3/22/2011
4/20/2011
4/26/2011
4/27/2011
4/27/2011
4/27/2011
Contract
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Interagency Agreement
Contract
Financial Agent
Contract
Contract
Interagency Agreement
Financial Agent
Interagency Agreement
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Contract
Vendor
Perkins Coie LLP
Seyfarth Shaw LLP
Shulman Rgrs Gndl Pordy & Ecker Pa
Sullivan Cove Reign Enterprises JV*
Venable LLP-1
Knowledge Mosaic Inc.*
Department of Housing and Urban Development
CQ-Roll Call Inc.
Bingham Mccutchen LLP
Davis Audrey Robinette*
CCH Incorporated
Financial Clerk U.S. Senate
Management Concepts Inc.****
Hispanic Assoc Of Coll & Univ*
Government Accountability Office
The Mitre Corporation*
Greenhill & Co., LLC
Addx Corporation*
Reed Elsevier Inc. (dba LexisNexis)
Canon U.S.A. Inc.
Perella Weinberg Partners & Co.
Bureau of the Public Debt - ARC
Association of Govt Accountants
ESI International Inc.
Department of the Treasury - Departmental Offices
Equilar Inc.*
Mercer (US) Inc.
Harrison Scott Publications
Federal Reserve Bank of New York
PricewaterhouseCoopers LLP-1
Oculus Group Inc.*
MorganFranklin Corporation
Lani Eko & Company CPAs LLC*
Purpose
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Administrative Support
Detailee
Administrative Support
Legal Advisory
Administrative Support
Administrative Support
Oversight Services
Administrative Support
Detailees
Oversight Services
Information Technology
Structuring and Disposition Services
Acquisition Support Services
Subscription Services
Administrative Support
Structuring and Disposition Services
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Subscription Services
Administrative Support
Subscription Services
Financial Reporting
Financial Services
Financial Services
Financial Services
Financial Services
26
Date Approved
Type of Transaction
4/27/2011
4/27/2011
4/27/2011
4/28/2011
4/28/2011
4/28/2011
5/31/2011
5/31/2011
6/9/2011
6/9/2011
6/17/2011
7/28/2011
9/9/2011
9/12/2011
9/15/2011
9/29/2011
9/29/2011
10/4/2011
10/20/2011
11/18/2011
11/29/2011
12/20/2011
12/30/2011
12/30/2011
1/4/2012
1/5/2012
2/2/2012
2/7/2012
2/14/2012
2/27/2012
3/6/2012
3/14/2012
3/30/2012
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Financial Agent
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Financial Agent
Contract
Contract
Contract
Interagency Agreement
Contract
Vendor
FI Consulting Inc.*
Ernst & Young LLP
ASR Analytics LLC*
Booz Allen Hamilton Inc.
KPMG LLP
Office of Personnel Management
Reed Elsevier Inc. (dba LexisNexis)
West Publishing Corporation
CQ-Roll Call Inc.
ESI International Inc.
Winvale Group LLC
Internal Revenue Service
Financial Management Service
ADC LTD NM
ABMI - All Business Machines, Inc.*****
Knowledge Mosaic Inc.*
Department of Interior
Internal Revenue Service
ABMI - All Business Machines, Inc.*****
Qualx Corporation*
Houlihan Lokey, Inc.
Allison Group LLC*
Department of the Treasury - Departmental Offices
Bureau of the Public Debt - ARC
Government Accountability Office
Office of Personnel Management
Moody's Analytics Inc.
Greenhill & Co., LLC
Association of Govt Accountants
Diversified Search LLC
Integrated Federal Solutions, Inc.*
Department of Interior
E-Launch Multimedia, Inc.
Purpose
Financial Services
Financial Services
Financial Services
Financial Services
Financial Services
Training
Subscription Services
Subscription Services
Subscription Services
Administrative Support
Subscription Services
Legal Services
Interns
Legal Services
Administrative Support
Administrative Support
Information Technology
Detailee
Administrative Support
FOIA Support Services
Transaction Structuring Services
Training
Administrative Support
Administrative Support
Administrative Support
Training
Subscription Services
Structuring and Disposition Services
Administrative Support
Financial Advisory
Acquisition Support Services
Information Technology
Administrative Support
27
Date Approved
Type of Transaction
5/10/2012
6/12/2012
6/15/2012
6/30/2012
7/26/2012
8/1/2012
8/3/2012
9/8/2012
9/26/2012
11/19/2012
12/13/2012
12/19/2012
1/1/2013
1/1/2013
2/13/2013
2/21/2013
3/16/2013
3/7/2013
3/28/2013
5/1/2013
5/10/2013
6/13/2013
8/1/2013
8/28/2013
9/26/2013
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Financial Agent
Financial Agent
Contract
Financial Agent
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Contract
Vendor
Equilar Inc.*
Department of Justice
Qualx Corporation*
West Publishing Corporation
Knowledge Mosaic Inc.*
Internal Revenue Service
Harrison Scott Publications
SNL Financial LC
Bureau of the Public Debt - ARC
Government Accountability Office
Association of Govt Accountants
Department of the Treasury - Departmental Offices
Lazard Fréres & Co. LLC
Lazard Fréres & Co. LLC
Mercer (US) Inc.
Raymond James and Associates, Inc.
Bloomberg Finance L.P.
Department of Housing and Urban Development
Treasury Acquisition Institute
Internal Revenue Service
Equilar Inc.*
West Publishing Corporation
Evolution Management, Inc.
Bureau of the Public Debt - ARC
SNL Financial LC
Purpose
Subscription Services
Legal Services
Administrative Support
Subscription Services
Administrative Support
Training
Subscription Services
Subscription Services
Administrative Support
Oversight Services
Administrative Support
Administrative Support
Transaction Structuring Services
Transaction Structuring Services
Administrative Support
Asset Management Services
Subscription Services
Research and analysis
Training
Detailee
Data Subscription Services
Subscription Services
Training
Administrative Support
Subscription Services
* 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.
28
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Insurance Contracts [Section 105(a)(3)(B)]
For Period Ending October 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.
29
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 October 30, 2013
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 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
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 OKCOLLINSVILLE
AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKCOLLINSVILLE
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
IN
IN
IN
FL
FL
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
23-Jan-09
29-Dec-10
9-Mar-11
13-Mar-09
18-Nov-09
23-Jan-09
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
Outstanding
Investment
Total Cash Back2
Investment Status*
Amount
$0.00
$13,433,242.67
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
$12,000,000.00
12,000
$1,000.00
$326,576.00
$4,400,000.00
$6,000,000.00
$0.00
$11,748,156.44
$16,369,000.00
$111,000,000.00
$16,369,000.00
$0.00
$1,229,948.97
$125,480,000.00
$10,000,000.00
$0.00
$10,870,902.67
220
837,947
$500,000.00
500
$636,000.00
636
$337,363.35
326
$94,153.69
$44,746.31
101
48
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$220,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
231,782
$3,750,000.00
Preferred Stock w/ Warrants
Redeemed, in full; warrants not outstanding
$10,400,000.00
$1,000.00
$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
$1,000.00
$900,000.00
173,069
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
$7,674,004.73
893
5,621
$3,375,945.00
$5,626,575.00
$0.00
12,720
$26,918,000.00
$6,514,000.00
$1,000.00
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)
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
10,000
$877,729.70
$5,524,880.90
$360,694.44
$15,071,769.00
$1,000.00
$12,720,000.00
$3,500,000.00
$0.00
111,000
$10,000,000.00
$3,500,000.00
$12,720,000.00
$1,000.00
$111,000,000.00
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
10,400
Sold, in full; warrants not outstanding
($64,026.11)
Preferred Stock w/ Warrants
$4,781,000.00
$0.00
$5,130,973.44
Sold, in full; warrants outstanding
$208,870.74
$4,058,697.67
($42,675.67)
($7,324.33)
Preferred Stock w/ Exercised Warrants
$2,986,000.00
$0.00
$3,581,397.27
Sold, in full; warrants not outstanding
$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
Exited bankruptcy/receivership
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
30
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
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.
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
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
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
1
Original Investment Type
Preferred Stock w/ Warrants
Original Investment
Amount
$525,000,000.00
Outstanding
Investment
2
Total Cash Back
Investment Status*
Amount
$0.00
$596,539,172.32
Capital Repayment / Disposition / Auction
4
(Fee)
Shares
3,5
Avg. Price
(Realized Loss) /
(Write-off)
Gain
5
Warrant Proceeds
Amount
Shares
Redeemed, in full; warrants not outstanding
$262,500,000.00
$262,500,000.00
262,500
262,500
$1,000.00
$1,000.00
$3,435,005.65
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
Preferred Stock w/ Warrants
$6,000,000.00
$0.00
$7,563,057.15
3,983,308
$370,000.00
370
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$7,400,000.00
$1,000.00
192,967
48,000
$1,000.00
$2,400,000.00
2,400
100
8,500
$982.70
$982.70
$426,338.55
430
50,000
$1,000.00
$15,000.00
730,994
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
$10,701,460.58
410
30,000
$451,600.92
$481,335.96
$0.00
$410,000.00
$50,000,000.00
$8,600,000.00
$54,607,399.33
$1,000.00
$98,267.00
$8,352,695.00
Preferred Stock w/ Exercised Warrants
$0.00
$32,341,666.66
1,055
13,669
$1,400,000.00
$48,000,000.00
$0.00
$15,595,736.93
$1,055,000.00
$48,000,000.00
Preferred Stock w/ Exercised Warrants
$30,000,000.00
$0.00
81,670
$1,000.00
$30,000,000.00
Preferred Stock w/ Warrants
$13,669,000.00
$24,841,411.03
21,100
$13,669,000.00
Preferred Stock w/ Exercised Warrants
$0.00
$1,000.00
$190,781.12
$21,100,000.00
$1,000.00
6,000
$21,100,000.00
Preferred Stock w/ Exercised Warrants
7,400
$6,000,000.00
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
$3,253,650.85
$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
($1,645,765.20)
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
$10,800,000.00
$1,442,000.00
$985,000.00
$0.00
$0.00
$41,917,777.78
$1,172,062.50
$300,000.00
300
2,892
2,892
$1,000.00
$1,000.00
$145,000.00
145
40,000
$1,000.00
$1,040,000.00
Preferred Stock w/ Exercised Warrants
$40,000,000.00
$3,444,478.21
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$40,000,000.00
Preferred Stock w/ Warrants
$0.00
183,465
1,500
1,500
1,500
1,200
300
$0.00
$2,892,000.00
$2,892,000.00
$1,000.00
$1,500,000.00
$1,500,000.00
$1,500,000.00
$1,200,000.00
$300,000.00
Preferred Stock w/ Exercised Warrants
10,800
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
31
FootNote
8,14,18,44
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.
BIRMINGHAM BLOOMFIELD BANCSHARES, INC.
BIRMINGHAM BLOOMFIELD BANCSHARES, INC.
BISCAYNE BANCSHARES, INC.
BISCAYNE BANCSHARES, INC.
BISCAYNE BANCSHARES, INC.
BISCAYNE BANCSHARES, INC.
BLACKHAWK BANCORP, INC.
BLACKHAWK BANCORP, INC.
BLACKHAWK BANCORP, INC.
BLACKHAWK BANCORP, INC.
BLACKRIDGE FINANCIAL, INC.
BLACKRIDGE FINANCIAL, INC.
BLACKRIDGE FINANCIAL, INC.
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.
BIRMINGHAM
BIRMINGHAM
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
MI
MI
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
24-Apr-09
18-Dec-09
28-Jul-11
19-Jun-09
7-Feb-13
8-Feb-13
26-Mar-13
13-Mar-09
29-Oct-12
31-Oct-12
11-Jan-13
22-May-09
27-Jun-12
12-Sep-12
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
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.
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
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
1
Original Investment Type
Original Investment
Amount
Outstanding
Investment
2
Total Cash Back
Investment Status*
Amount
Preferred Stock w/ Exercised Warrants
$1,635,000.00
$1,744,000.00
$0.00
$3,803,022.67
$6,400,000.00
$0.00
$8,271,975.28
3,5
Avg. Price
(Realized Loss) /
(Write-off)
Gain
5
Warrant Proceeds
Amount
Shares
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
Capital Repayment / Disposition / Auction
4
(Fee)
Shares
Sold, in full; warrants not outstanding
$3,379,000.00
3,379
$1,000.00
$82,000.00
82
$2,532,140.00
$3,700,820.00
2,600,000
3,800,000
$0.97
$0.97
($67,860.00)
($99,180.00)
$64,158.97
$140,347.75
64,000
140,000
205
9,795
$910.00
$910.00
($18,450.00)
($881,550.00)
$470,250.00
500
$2,250,000.00
$2,750,000.00
2,250
2,750
$1,000.00
$1,000.00
$250,000.00
250
$19,630.00
$9,040,370.00
26
11,974
$755.00
$755.00
$541,793.34
600
3,250
18,500
$977.60
$977.60
$375,000.00
375
($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
Preferred Stock w/ Warrants
$31,260,000.00
$0.00
$35,140,666.12
($72,767.50)
($414,215.00)
Redeemed, in full; warrants not outstanding
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
$125,135.60
120,000
$28,797,649.80
Preferred Stock w/ Exercised Warrants
$4,797,000.00
$0.00
$5,673,920.75
($431,964.75)
($2,462,350.20)
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$20,093,000.00
$10,000,000.00
$20,093,000.00
$0.00
$5,315,784.22
$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
$154,000,000.00
$23,864,000.00
$0.00
$0.00
Preferred Stock w/ Exercised Warrants
$38,000,000.00
$38,000,000.00
Preferred Stock w/ Warrants
$9,000,000.00
$6,000,000.00
$2,400,000.00
Subordinated Debentures w/ Exercised Warrants
$171,224,745.48
$27,872,582.22
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$2,393,155.56
Full investment outstanding; warrants 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
60,000
2,340,000
$1.05
$1.05
$3,000.60
$117,023.40
$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
($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
$9,407,000.00
$4,755,899.67
$1,000.00
$200,000.00
200
3,300
$1,000.00
$165,000.00
165
$235,000.00
235
12,657,960
$169,042.00
200
($6,000,000.00)
Redeemed, in full; warrants not outstanding
$3,802,219.25
4,000
$146,500,064.55
$0.00
$0.00
$863.60
$3,300,000.00
$4,000,000.00
$3,300,000.00
$1,000.00
44,000
$4,000,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
9,407
$38,000,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$1,037,000.00
$4,656,000.00
$4,700,000.00
$1,037,000.00
$4,656,000.00
$0.00
$215,442.61
$396,163.67
$5,452,281.19
Full investment outstanding; warrants outstanding
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$41,279,000.00
$0.00
$45,252,104.25
Redeemed, in full; warrants not outstanding
$4,700,000.00
$5,100,000.00
$0.00
$304,973.00
$3,806,873,702.13
$4,000,000.00
$0.00
$4,742,850.89
3,555,199
$1,000.00
264
3,736
$938.40
$938.40
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,000.00
$247,727.04
$3,505,712.96
$5,100,000.00
$3,555,199,000.00
$1,000.00
41,279
$3,555,199,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
4,700
$41,279,000.00
Sold, in full; warrants not outstanding
($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
32
FootNote
11
11,9,36
11
8,18,14,44
8,57,97
8,18,18
8,14
8
44
11,59,85
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
Institution Name
CARDINAL BANCORP II, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA TRUST BANK
CAROLINA TRUST BANK
CAROLINA TRUST BANK
CAROLINA TRUST BANK
CAROLINA TRUST BANK
CARROLLTON BANCORP
CARROLLTON BANCORP
CARVER BANCORP, INC.
CARVER BANCORP, INC.
CASCADE FINANCIAL CORPORATION
CASCADE FINANCIAL CORPORATION
CATHAY GENERAL BANCORP
CATHAY GENERAL BANCORP
CATHAY GENERAL BANCORP
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
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
CENTURY FINANCIAL SERVICES CORPORATION
CENTURY FINANCIAL SERVICES CORPORATION
CENTURY FINANCIAL SERVICES CORPORATION
City
WASHINGTON
GREENSBORO
GREENSBORO
GREENSBORO
GREENSBORO
GREENSBORO
LINCOLNTON
LINCOLNTON
LINCOLNTON
LINCOLNTON
LINCOLNTON
BALTIMORE
BALTIMORE
NEW YORK
NEW YORK
EVERETT
EVERETT
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
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
SANTA FE
SANTA FE
SANTA FE
State
MO
NC
NC
NC
NC
NC
NC
NC
NC
NC
NC
MD
MD
NY
NY
WA
WA
CA
CA
CA
NY
NY
NY
IL
IL
GA
GA
GA
GA
GA
GA
AL
AL
AL
AL
AL
MD
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
NM
NM
NM
Date
8-Sep-11
9-Jan-09
20-Feb-13
21-Feb-13
26-Mar-13
19-Apr-13
6-Feb-09
30-Nov-12
11-Jan-13
26-Mar-13
11-Jun-13
13-Feb-09
19-Apr-13
16-Jan-09
27-Aug-10
21-Nov-08
30-Jun-11
5-Dec-08
20-Mar-13
30-Sep-13
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
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
19-Jun-09
19-Dec-12
20-Dec-12
1
Original Investment Type
Original Investment
Amount
Outstanding
Investment
2
Total Cash Back
Investment Status*
Amount
Capital Repayment / Disposition / Auction
4
(Fee)
Shares
3,5
Avg. Price
(Realized Loss) /
(Write-off)
$6,251,000.00
4,000
$853.00
$1,000.00
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
$6,500,000.00
6,500
$1,000.00
Shares
($588,000.00)
9,201
Warrant Proceeds
Amount
($1,008,156.60)
($30,243.40)
$18,980,000.00
$19,941,788.94
$935.10
$935.10
$9,201,000.00
$0.00
15,534
466
5
$313,000.00
313,000
$1,800,000.00
$16,000,000.00
$1.00
$14,525,843.40
$435,756.60
Preferred Stock w/ Warrants
6,251,000
Gain
357,675
Sold, in full; warrants not outstanding
($149,616.00)
Preferred Stock w/ Warrants
$4,000,000.00
$0.00
$3,994,452.00
Sold, in full; warrants not outstanding
$3,412,000.00
($34,120.00)
($15,880.00)
$19,132.00
Preferred Stock w/ Warrants
$9,201,000.00
$0.00
$11,388,958.51
86,957
$213,594.16
205,379
$263,000.00
263
Redeemed, in full; warrants not outstanding
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
$316,766,666.66
($22,720,000.00)
Redeemed, in full; warrants 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
($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
$10,000,000.00
10,000
$1,000.00
$245,000.00
86,705
$55,000,000.00
55,000
$1,000.00
30
2,220
$825.00
$825.00
$84,057.43
113
$27,875,000.00
27,875
$1,000.00
$212,000.00
125,413
$15,000,000.00
15,000
$1,000.00
$750,000.00
750
$10,000,000.00
10,000
$1,000.00
$2,525,000.00
234,742
$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
Preferred Stock w/ Warrants
$11,560,000.00
$3,564,000.00
$10,000,000.00
$11,560,000.00
$3,564,000.00
$0.00
$516,988.89
$878,846.00
$11,586,666.67
Full investment outstanding; warrants outstanding
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$55,000,000.00
$0.00
$64,739,583.33
Redeemed, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$2,250,000.00
$0.00
$2,344,662.43
Sold, in full; warrants not outstanding
$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
$3,000,000.00
$12.75
$13.15
7,000
$1,000.00
11,385
$294.20
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
$75,036,891.42
2,850,000
2,770,117
$6,056,000.00
$0.00
$1,000.00
$3,350,000.00
$135,000,000.00
$415.20
11,300
$7,000,000.00
Preferred Stock w/ Warrants
7,225
$11,300,000.00
25,266
6,000
$325.00
$325.00
($17,054,550.00)
($4,050,000.00)
$39,400.00
$9,810,600.00
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
($454,218.75)
($387,816.38)
($32,121,928.87)
($30,113,532.58)
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,056,000.00
$0.00
$6,739,821.89
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$7,500,000.00
$0.00
$8,887,791.42
($8,035,000.00)
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Subordinated Debentures w/ Exercised Warrants
$32,668,000.00
$10,000,000.00
$1,402,000.00
$0.00
$10,733,140.00
$13,186,960.25
Sold, in part; warrants outstanding
Sold, in full; warrants not outstanding
33
FootNote
15
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
Institution Name
City
State
Date
CENTURY FINANCIAL SERVICES CORPORATION
CHAMBERS BANCSHARES, INC.
CHICAGO SHORE CORPORATION
CIT GROUP INC.
CIT GROUP INC.
CITIGROUP INC.
CITIGROUP INC.
CITIGROUP INC.
CITIZENS & NORTHERN CORPORATION
CITIZENS & NORTHERN CORPORATION
CITIZENS & NORTHERN CORPORATION
CITIZENS BANCORP
CITIZENS BANCORP
CITIZENS BANCSHARES CO.
CITIZENS BANCSHARES CO.
CITIZENS BANCSHARES CO.
CITIZENS BANCSHARES CO.
CITIZENS BANCSHARES CORPORATION
CITIZENS BANCSHARES CORPORATION
CITIZENS BANK & TRUST COMPANY, ESTABLISHED 1945
CITIZENS COMMERCE BANCSHARES, INC.
CITIZENS COMMUNITY BANK
CITIZENS COMMUNITY BANK
CITIZENS FIRST CORPORATION
CITIZENS FIRST CORPORATION
CITIZENS FIRST CORPORATION
CITIZENS REPUBLIC BANCORP, INC.
CITIZENS REPUBLIC BANCORP, INC.
CITIZENS SOUTH BANKING CORPORATION
CITIZENS SOUTH BANKING CORPORATION
CITIZENS SOUTH BANKING CORPORATION
SANTA FE
DANVILLE
CHICAGO
NEW YORK
NEW YORK
NEW YORK
NEW YORK
NEW YORK
WELLSBORO
WELLSBORO
WELLSBORO
NEVADA CITY
NEVADA CITY
CHILLICOTHE
CHILLICOTHE
CHILLICOTHE
CHILLICOTHE
ATLANTA
ATLANTA
COVINGTON
VERSAILLES
SOUTH HILL
SOUTH HILL
BOWLING GREEN
BOWLING GREEN
BOWLING GREEN
FLINT
FLINT
GASTONIA
GASTONIA
GASTONIA
NM
AR
IL
NY
NY
NY
NY
NY
PA
PA
PA
CA
CA
MO
MO
MO
MO
GA
GA
LA
KY
VA
VA
KY
KY
KY
MI
MI
NC
NC
NC
11-Jan-13
29-May-09
31-Jul-09
31-Dec-08
10-Dec-09
28-Oct-08
10-Dec-10
31-Jan-11
16-Jan-09
4-Aug-10
1-Sep-10
23-Dec-08
23-Sep-11
29-May-09
7-Feb-13
8-Feb-13
26-Mar-13
6-Mar-09
13-Aug-10
20-Mar-09
6-Feb-09
23-Dec-08
28-Jul-11
19-Dec-08
16-Feb-11
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
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
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
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
1
Original Investment Type
Original Investment
Amount
Outstanding
Investment
2
Total Cash Back
Investment Status*
Amount
Capital Repayment / Disposition / Auction
4
(Fee)
Shares
3,5
Avg. Price
(Realized Loss) /
(Write-off)
Gain
5
Warrant Proceeds
Amount
Shares
($98,500.00)
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$19,817,000.00
$7,000,000.00
$2,330,000,000.00
$19,817,000.00
$7,000,000.00
$0.00
$5,754,674.98
$1,541,895.81
$43,687,500.00
Full investment outstanding; warrants outstanding
Full investment outstanding; warrants outstanding
Exited bankruptcy/receivership
Preferred Stock w/ Warrants
$25,000,000,000.00
$0.00
$32,839,267,986.44
Redeemed, in full; warrants not outstanding
($2,330,000,000.00)
$25,000,000,000.00
7,692,307,692
$4.14
$26,440,000.00
26,440
$6,852,354,470.93
$1,000.00
$54,621,848.84
$150,000.00
150
450,314
1,128,668
$114,021.50
150
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
$223,571.11
500
750
$99,000.00
$225,647.45
$0.00
$28,889,100.00
$258,018.75
$387,028.12
$18,500,000.00
$10,400,000.00
$0.00
194,794
$225,157.00
Preferred Stock w/ Exercised Warrants
$26,440,000.00
210,084,034
$400,000.00
Preferred Stock w/ Warrants
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
($6,332,625.00)
($5,850,000.00)
$1,000.00
($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
$412,383.00
$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
$7,197,097.86
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
$9,439,000.00
$400,000,000.00
$9,439,000.00
$0.00
$281,859.00
$442,416,666.67
Full investment outstanding; warrants not outstanding
Redeemed, in full; warrants not outstanding
$200,000,000.00
$200,000,000.00
$3,000,000.00
$0.00
$3,318,585.05
$1,000.00
$1,000.00
$955,825.50
$1,662,874.50
Preferred Stock w/ Exercised Warrants
200,000
200,000
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
($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
$7,323,651.00
($73,236.51)
34
FootNote
11,8,14
11,8,14
11,8,14
8,17
11,9,36
44
11
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
Institution Name
City
COMMUNITY 1ST BANK
ROSEVILLE
COMMUNITY 1ST BANK
ROSEVILLE
COMMUNITY BANCSHARES OF KANSAS, INC.
GOFF
COMMUNITY BANCSHARES OF KANSAS, INC.
GOFF
COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY B BRANDON
COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY B BRANDON
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 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. / COMMUN BRANDON
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUN BRANDON
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUN BRANDON
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUN 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 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
DIAMOND BANCORP, INC.
WASHINGTON
DIAMOND BANCORP, INC.
WASHINGTON
DIAMOND BANCORP, INC.
WASHINGTON
DIAMOND BANCORP, INC.
WASHINGTON
State
CA
CA
KS
KS
MS
MS
AZ
CA
CA
IN
IN
IN
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
MO
MO
MO
MO
Date
16-Jan-09
19-Dec-12
6-Mar-09
18-Jul-12
11-Sep-09
29-Sep-10
24-Jul-09
16-Jan-09
29-Sep-10
29-May-09
15-Sep-11
19-Oct-11
19-Dec-08
24-Jul-13
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
22-May-09
8-Aug-12
9-Aug-12
10-Aug-12
1
Original Investment Type
Preferred Stock w/ Exercised Warrants
Original Investment
Amount
$2,550,000.00
Outstanding
Investment
2
Total Cash Back
Investment Status*
Amount
$0.00
$2,899,659.67
Capital Repayment / Disposition / Auction
4
(Fee)
Shares
3,5
Avg. Price
(Realized Loss) /
(Write-off)
Gain
5
Warrant Proceeds
Amount
Shares
Redeemed, in full; warrants not outstanding
$2,550,000.00
$0.00
$616,741.75
$57,575,699.54
500
$1,000.00
$25,000.00
25
52,000
$1,000.00
$2,600,000.00
2,600
$1,100,869.50
$52,000,000.00
$0.00
$128,000.00
$52,000,000.00
Preferred Stock w/ Exercised Warrants
$500,000.00
$1,000.00
$500,000.00
Preferred Stock w/ Exercised Warrants
2,550
128
386,270
($258,440.00)
$167,035.00
199
($3,833,500.00)
$157,050.00
349
$1,000,000.00
1,000
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock
$3,872,000.00
$1,747,000.00
$3,872,000.00
$0.00
$828,128.70
$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
$1,747,000.00
$1,000.00
3,976
$935.00
12,643
$1,000.00
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
$4,400,000.00
4,400,000
$1.11
$24,000,000.00
24,000
$1,000.00
$2,172,000.00
$9,122,400.00
$8,694,333.01
4,500
$3,136,500.00
$13,180,000.00
$1,000.00
$12,643,000.00
$17,680,000.00
$1,000.00
19,468
$4,500,000.00
Preferred Stock w/ Warrants
1,747
$19,468,000.00
3,000
12,600
$724.00
$724.00
Redeemed, in part; warrants outstanding
Preferred Stock w/ Exercised Warrants
$3,976,000.00
$0.00
$4,674,050.16
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$12,643,000.00
$0.00
$15,206,719.94
Redeemed, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$6,970,000.00
$0.00
$4,240,743.82
Sold, in full; warrants not outstanding
$3,717,560.00
($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
$3,028,239.68
$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
$460,000.00
311,972
$177,716.96
132,000
$1,200,000.00
1,200
$698,351.00
$484,924.00
521,158
($48,849.24)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$24,000,000.00
$15,600,000.00
$0.00
$0.00
$28,459,100.00
$14,341,140.33
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($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
$301,428.58
$1,895,467.59
366
2,315
$823.03
$816.45
($64,571.42)
($419,532.41)
$57,230.00
59
$4,381,500.00
$10,197,941.25
$350,520.00
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
($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
$1,151,614.44
$757,928.47
$5,786,341.20
$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
$2,831,331.97
Sold, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$20,445,000.00
$0.00
$21,101,618.19
Sold, in full; warrants not outstanding
35
FootNote
8,14
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
Institution Name
DIAMOND BANCORP, INC.
DICKINSON FINANCIAL CORPORATION II
DICKINSON FINANCIAL CORPORATION II
DICKINSON FINANCIAL CORPORATION II
DICKINSON FINANCIAL CORPORATION II
DISCOVER FINANCIAL SERVICES
DISCOVER FINANCIAL SERVICES
DISCOVER FINANCIAL SERVICES
DNB FINANCIAL CORPORATION
DNB FINANCIAL CORPORATION
DNB FINANCIAL CORPORATION
DUKE FINANCIAL GROUP, INC.
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 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.
City
WASHINGTON
KANSAS CITY
KANSAS CITY
KANSAS CITY
KANSAS CITY
RIVERWOODS
RIVERWOODS
RIVERWOODS
DOWNINGTOWN
DOWNINGTOWN
DOWNINGTOWN
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
FRANKFORT
FRANKFORT
FRANKFORT
GREAT BEND
GREAT BEND
GREAT BEND
GREAT BEND
GREAT BEND
HOLTON
HOLTON
BOULDER
BOULDER
HOUSTON
HOUSTON
HOUSTON
LOUISVILLE
State
MO
MO
MO
MO
MO
IL
IL
IL
PA
PA
PA
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
KY
KY
KY
KS
KS
KS
KS
KS
KS
KS
CO
CO
TX
TX
TX
KY
Date
11-Sep-12
16-Jan-09
7-Feb-13
8-Feb-13
26-Mar-13
13-Mar-09
21-Apr-10
7-Jul-10
30-Jan-09
4-Aug-11
21-Sep-11
19-Jun-09
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
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
1
Original Investment Type
Original Investment
Amount
Outstanding
Investment
2
Total Cash Back
Investment Status*
Amount
Capital Repayment / Disposition / Auction
4
(Fee)
Shares
3,5
Avg. Price
(Realized Loss) /
(Write-off)
Gain
5
Warrant Proceeds
Amount
Shares
($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
14,523
131,530
$552.60
$552.60
$1,224,558,000.00
1,224,558
$1,000.00
$11,750,000.00
11,750
($6,497,444.97)
($58,845,206.70)
$3,372.19
$4,922,044.87
5
7,298
$1,000.00
$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
($807,103.48)
Preferred Stock w/ Warrants
$1,224,558,000.00
$0.00
$1,464,248,844.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$11,750,000.00
$0.00
$13,683,277.61
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
$12,000,000.00
$38,235,000.00
$12,000,000.00
$0.00
$4,334,673.04
$44,847,153.76
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants outstanding
$15,000,000.00
$23,235,000.00
$1,104.10
$1,104.10
7,500
$1,000.00
34,000
$1,000.00
$35,000,000.00
35,000
$1,000.00
$1,006,100.00
324,074
$4,000,000.00
4,000
$1,000.00
$200,000.00
200
$8,750,000.00
8,750
$1,000.00
$438,000.00
438
$481,387.50
$17,505,000.00
$8,725,367.25
$420,995.25
$10,503,000.00
550
20,000
9,969
481
12,000
$875.20
$875.20
$875.20
$875.20
$875.20
($68,612.50)
($2,495,000.00)
($1,243,632.75)
($60,004.75)
($1,497,000.00)
$1,910,898.00
$120,386.57
$22,930.78
2,000
126
24
5,090
2,901
153
$942.50
$942.50
$942.50
($292,675.00)
($166,807.50)
($8,797.50)
$222,007.50
230
$136,813.05
150
2,805
14,195
$950.00
$950.00
($140,250.00)
($709,750.00)
$638,460.90
700
1,659,000
1,334,000
$0.96
$0.96
($68,400.57)
($55,000.82)
$125,000.00
150,000
$96,465.60
112
200
17,043
$787.50
$787.50
($42,500.00)
($3,621,637.50)
$645,975.00
750
100,000
$1,000.00
$690,100.00
$28,718,640.00
3,900
20,100
$34,000,000.00
$0.00
$352,722,420.00
$1,000.00
$7,500,000.00
$24,000,000.00
$0.00
306,546
$3,900,000.00
$20,100,000.00
Preferred Stock w/ Warrants
$306,546,000.00
$1,000.00
$1,000.00
$306,546,000.00
Preferred Stock w/ Warrants
15,000
23,235
651,042
Redeemed, in full; warrants not outstanding
Sold, in full; warrants outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$17,949,000.00
$7,500,000.00
$17,949,000.00
$0.00
$4,110,820.08
$8,545,904.67
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
$406,029.00
$2,092,611.00
Redeemed, in full; warrants outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$35,000,000.00
$4,000,000.00
$8,750,000.00
$43,000,000.00
$0.00
$0.00
$0.00
$0.00
$42,801,933.33
$4,680,205.56
$10,394,872.56
$47,294,527.29
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants 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
$1,913,405.00
$500,199.14
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$8,752,000.00
$5,689,000.00
$5,146,851.22
Redeemed, in part; warrants 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)
($2,835.00)
22
($25,000.00)
$3,063,000.00
3,063
$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)
$22,196,700.00
($332,950.50)
$75,000.00
Subordinated Debentures w/ Exercised Warrants
$12,000,000.00
$0.00
$15,452,669.34
223,992
$37,387.14
$552,936.00
38,000
562,000
$40,000.00
4
$994,613.40
1,052
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
$18,874,674.00
($188,746.74)
36
FootNote
8,14
15,11,14
77
8,17
8,14
11
11
45,8,14
15,17,44
8,14
8,14
15,11,14
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
Institution Name
City
FCB BANCORP, INC.
LOUISVILLE
FFW CORPORATION
WABASH
FFW CORPORATION
WABASH
FFW CORPORATION
WABASH
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 BUSEY CORPORATION
URBANA
FIRST BUSEY CORPORATION
URBANA
FIRST BUSEY CORPORATION
URBANA
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUT SAN DIEGO
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUT SAN DIEGO
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUT SAN DIEGO
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUT SAN DIEGO
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUT 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
State
KY
IN
IN
IN
IN
LA
LA
PA
PA
IN
IN
IN
IN
KS
KS
KS
KS
KS
KS
KS
KS
KS
GA
GA
OH
OH
OH
NY
NY
NY
NY
WY
WY
MN
MN
MN
MN
MN
MN
MN
TN
TN
TN
TN
IL
IL
IL
NY
NY
NC
NC
NC
PR
PR
PR
IL
IL
IL
WV
WV
IL
IL
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
Date
22-Sep-11
19-Dec-08
28-Nov-12
30-Nov-12
11-Jan-13
29-May-09
27-Mar-13
12-Dec-08
30-Nov-12
13-Nov-09
19-Jul-13
22-Jul-13
12-Sep-13
19-Dec-08
1-Aug-12
2-Aug-12
3-Aug-12
7-Aug-12
8-Aug-12
9-Aug-12
10-Aug-12
11-Sep-12
19-Dec-08
3-Jul-12
31-Dec-08
2-Feb-11
16-Mar-11
23-Dec-08
23-Feb-11
30-Mar-11
11-May-11
13-Feb-09
21-Jul-11
31-Jul-09
1-Sep-11
22-May-09
10-Dec-12
11-Dec-12
11-Jan-13
26-Mar-13
26-Jun-09
20-Dec-12
11-Jan-13
26-Mar-13
24-Jul-09
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
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
1
Original Investment Type
Original Investment
Amount
Outstanding
Investment
2
Total Cash Back
Investment Status*
Amount
Capital Repayment / Disposition / Auction
4
(Fee)
Shares
3,5
Avg. Price
$9,294,000.00
Warrant Proceeds
Amount
$8,441,836.26
Shares
$465,000.00
465
$358,558.20
364
$197,000.00
197,000
$242,302.50
200
$170,227.93
$167,374.94
$1,210,615.36
$176,884.89
179
176
1,273
186
43,617,747
$2,079,962.50
$0.00
$902.90
$902.90
5
$280,025,936.00
$7,289,000.00
974
6,315
Gain
$1,000.00
$879,424.60
$5,701,813.50
Preferred Stock w/ Exercised Warrants
9,294
(Realized Loss) /
(Write-off)
378,175
Sold, in full; warrants not outstanding
($94,575.40)
($613,186.50)
($65,812.38)
Subordinated Debentures w/ Exercised Warrants
$3,942,000.00
$0.00
$5,404,924.35
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$7,000,000.00
$0.00
$8,388,333.33
Redeemed, in full; warrants outstanding
$3,942,000.00
Preferred Stock w/ Exercised Warrants
$6,657,000.00
$0.00
$7,220,908.83
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)
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
$1,000.00
$250,000.00
250
3,742,000
$1.00
$112,000.00
112,000
769
408
$898.20
$898.20
($78,276.51)
($41,530.32)
$2,979.49
$26,318.80
6
53
3,422
$700.10
($1,026,257.80)
$94,701.71
171
15,000,000
35,000,000
$1.00
$1.00
$2,500,000.00
2,500,000
17,000
$1,000.00
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
$3,209,702.21
$3,226,801.50
5,819
5,850
$551.60
$551.60
($2,609,297.79)
($2,623,198.50)
$100,000,000.00
100,000
$1,000.00
$63,677.00
573,833
$90,461.65
111
$599,042.00
599,042
$266,041.78
$1,289,436.37
5,000
$65,000,000.00
$0.00
$4,487,322.46
$5,000.00
$5,000.00
$17,000,000.00
$1,177,000.00
$0.00
$5,914,597.33
2,501
5,002
$15,000,000.00
$35,000,000.00
Preferred Stock w/ Exercised Warrants
$3,742,000.00
$0.00
$43,787,611.61
$900.60
$3,742,000.00
Subordinated Debentures w/ Exercised Warrants
$5,000,000.00
$0.00
$4,043,972,602.67
$25,000.00
$5,000,000.00
Preferred Stock w/ Exercised Warrants
$37,515,000.00
$0.00
136,320
$12,505,000.00
$25,010,000.00
Preferred Stock w/ Warrants
$3,408,000,000.00
48,200
$3,408,000,000.00
Preferred Stock w/ Warrants
($651,133.80)
417,648
$110,000.00
110
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
($64,711,540.92)
($6,802,024.20)
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
$119,135,866.01
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($993,058.50)
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
$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
$23,184,000.00
$0.00
$25,245,684.71
($875,434.62)
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
($151,238.48)
Sold, in full; warrants not outstanding
$5,036,000.00
$21,004,704.00
5,036
($315,070.56)
$1,000.00
23,184
$906.00
($2,179,296.00)
37
FootNote
44,8,14
12
8,72
8
15,36,11
11,8,14
12,16
15,17,44
9,17
8,14
8,14,44
11
8,9
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
Institution Name
FIRST CITIZENS BANC CORP
FIRST COLEBROOK BANCORP, INC.
FIRST COLEBROOK BANCORP, INC.
FIRST COMMUNITY BANCSHARES INC.
FIRST COMMUNITY BANCSHARES INC.
FIRST COMMUNITY BANCSHARES INC.
FIRST COMMUNITY BANCSHARES, INC. / EQUITY BANCSHARES, I
FIRST COMMUNITY BANK CORPORATION OF AMERICA
FIRST COMMUNITY BANK CORPORATION OF AMERICA
FIRST COMMUNITY CORPORATION
FIRST COMMUNITY CORPORATION
FIRST COMMUNITY CORPORATION
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST DEFIANCE FINANCIAL CORP.
FIRST DEFIANCE FINANCIAL CORP.
FIRST EAGLE BANCSHARES, INC.
FIRST EAGLE BANCSHARES, INC.
FIRST EXPRESS OF NEBRASKA, INC.
FIRST EXPRESS OF NEBRASKA, INC.
FIRST FEDERAL BANCSHARES OF ARKANSAS, INC.
FIRST FEDERAL BANCSHARES OF ARKANSAS, INC.
FIRST FINANCIAL BANCORP
FIRST FINANCIAL BANCORP
FIRST FINANCIAL BANCORP
FIRST FINANCIAL BANCSHARES, INC.
FIRST FINANCIAL BANCSHARES, INC.
FIRST FINANCIAL HOLDINGS INC.
FIRST FINANCIAL HOLDINGS INC.
FIRST FINANCIAL HOLDINGS INC.
FIRST FINANCIAL SERVICE CORPORATION
FIRST FINANCIAL SERVICE CORPORATION
FIRST FINANCIAL SERVICE CORPORATION
FIRST FREEDOM BANCSHARES, INC.
FIRST FREEDOM BANCSHARES, INC.
FIRST FREEDOM BANCSHARES, INC.
FIRST GOTHENBURG BANCSHARES, INC.
FIRST GOTHENBURG BANCSHARES, INC.
FIRST GOTHENBURG BANCSHARES, INC.
FIRST GOTHENBURG BANCSHARES, INC.
FIRST GUARANTY BANCSHARES, INC.
FIRST GUARANTY BANCSHARES, INC.
FIRST HORIZON NATIONAL CORPORATION
FIRST HORIZON NATIONAL CORPORATION
FIRST HORIZON NATIONAL CORPORATION
FIRST INDEPENDENCE CORPORATION
FIRST INDEPENDENCE CORPORATION
FIRST INDEPENDENCE CORPORATION
FIRST INDEPENDENCE CORPORATION
FIRST INTERCONTINENTAL BANK
FIRST INTERCONTINENTAL BANK
FIRST INTERCONTINENTAL BANK
FIRST LITCHFIELD FINANCIAL CORPORATION
FIRST LITCHFIELD FINANCIAL CORPORATION
FIRST M&F CORPORATION
FIRST M&F CORPORATION
FIRST M&F CORPORATION
FIRST MANITOWOC BANCORP, INC.
FIRST MANITOWOC BANCORP, INC.
FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES
FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES
FIRST MENASHA BANCSHARES, INC.
FIRST MENASHA BANCSHARES, INC.
FIRST MERCHANTS CORPORATION
FIRST MERCHANTS CORPORATION
FIRST MERCHANTS CORPORATION
FIRST MIDWEST BANCORP, INC.
FIRST MIDWEST BANCORP, INC.
FIRST MIDWEST BANCORP, INC.
FIRST NATIONAL CORPORATION
FIRST NATIONAL CORPORATION
FIRST NBC BANK HOLDING COMPANY
FIRST NBC BANK HOLDING COMPANY
FIRST NIAGARA FINANCIAL GROUP
FIRST NIAGARA FINANCIAL GROUP
FIRST NIAGARA FINANCIAL GROUP
FIRST NORTHERN COMMUNITY BANCORP
FIRST NORTHERN COMMUNITY BANCORP
FIRST NORTHERN COMMUNITY BANCORP
FIRST PACTRUST BANCORP, INC.
FIRST PACTRUST BANCORP, INC.
FIRST PACTRUST BANCORP, INC.
City
SANDUSKY
COLEBROOK
COLEBROOK
BLUEFIELD
BLUEFIELD
BLUEFIELD
WICHITA
PINELLAS PARK
PINELLAS PARK
LEXINGTON
LEXINGTON
LEXINGTON
JOLIET
JOLIET
JOLIET
JOLIET
JOLIET
JOLIET
JOLIET
JOLIET
DEFIANCE
DEFIANCE
HANOVER PARK
HANOVER PARK
GERING
GERING
HARRISON
HARRISON
CINCINNATI
CINCINNATI
CINCINNATI
LAWRENCE
LAWRENCE
CHARLESTON
CHARLESTON
CHARLESTON
ELIZABETHTOWN
ELIZABETHTOWN
ELIZABETHTOWN
LEBANON
LEBANON
LEBANON
GOTHENBURG
GOTHENBURG
GOTHENBURG
GOTHENBURG
HAMMOND
HAMMOND
MEMPHIS
MEMPHIS
MEMPHIS
DETROIT
DETROIT
DETROIT
DETROIT
DORAVILLE
DORAVILLE
DORAVILLE
LITCHFIELD
LITCHFIELD
KOSCIUSKO
KOSCIUSKO
KOSCIUSKO
MANITOWOC
MANITOWOC
RICHMOND
RICHMOND
NEENAH
NEENAH
MUNCIE
MUNCIE
MUNCIE
ITASCA
ITASCA
ITASCA
STRASBURG
STRASBURG
NEW ORLEANS
NEW ORLEANS
LOCKPORT
LOCKPORT
LOCKPORT
DIXON
DIXON
DIXON
CHULA VISTA
CHULA VISTA
CHULA VISTA
State
OH
NH
NH
VA
VA
VA
KS
FL
FL
SC
SC
SC
IL
IL
IL
IL
IL
IL
IL
IL
OH
OH
IL
IL
NE
NE
AR
AR
OH
OH
OH
KS
KS
SC
SC
SC
KY
KY
KY
TN
TN
TN
NE
NE
NE
NE
LA
LA
TN
TN
TN
MI
MI
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
Date
5-Sep-12
20-Mar-09
22-Sep-11
21-Nov-08
8-Jul-09
22-Nov-11
15-May-09
23-Dec-08
31-May-11
21-Nov-08
29-Aug-12
1-Nov-12
11-Dec-09
8-Aug-12
9-Aug-12
10-Aug-12
19-Sep-12
20-Sep-12
21-Sep-12
16-Nov-12
5-Dec-08
19-Jun-12
11-Sep-09
17-Sep-10
6-Feb-09
15-Feb-12
6-Mar-09
3-May-11
23-Dec-08
24-Feb-10
8-Jun-10
12-Jun-09
22-Sep-11
5-Dec-08
3-Apr-12
22-May-13
9-Jan-09
29-Apr-13
31-May-13
22-Dec-09
9-Nov-12
11-Jan-13
27-Feb-09
29-Oct-12
31-Oct-12
11-Jan-13
28-Aug-09
22-Sep-11
14-Nov-08
22-Dec-10
9-Mar-11
28-Aug-09
20-Dec-12
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
1
Original Investment Type
Original Investment
Amount
Outstanding
Investment
2
Total Cash Back
Investment Status*
Amount
Capital Repayment / Disposition / Auction
4
(Fee)
Shares
3,5
Avg. Price
(Realized Loss) /
(Write-off)
Gain
5
Warrant Proceeds
Amount
Shares
$563,174.00
$5,339,487.75
$0.00
$42,839,002.78
4,500
$1,000.00
$41,500,000.00
$41,500,000.00
88,273
195,915
108
672
320
Redeemed, in full; warrants not outstanding
$4,500,000.00
Preferred Stock w/ Warrants
225
$70,727.58
$440,082.72
$209,563.20
$0.00
469,312
$297,500.00
$4,500,000.00
$225,000.00
$30,600.00
Preferred Stock w/ Exercised Warrants
41,500
$1,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$14,800,000.00
$10,685,000.00
$14,800,000.00
$0.00
$3,575,828.30
$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
$7,754,267.48
$11,155,120.50
Preferred Stock w/ Exercised Warrants
$22,000,000.00
$0.00
$18,252,479.06
10,685
($167,326.81)
$725.70
($2,930,732.52)
11,350
$982.80
($194,879.50)
Sold, in full; warrants not outstanding
$326,250.00
$3,051,090.00
$10,977,660.00
500
4,676
16,824
$652.50
$652.50
$652.50
($173,750.00)
($1,624,910.00)
($5,846,340.00)
($1,381,580.00)
($143,550.00)
Preferred Stock w/ Warrants
$37,000,000.00
$0.00
$41,631,005.92
Sold, in full; warrants outstanding
$35,618,420.00
375,000
$1,000.00
$250,000.00
250
16,500
$363.60
80,000
$1,000.00
$2,966,288.32
465,117
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
$6,570,625.00
$375,000.00
5,000
$3,756,000.00
$0.00
$6,074,313.00
$1.00
$80,000,000.00
$16,500,000.00
$0.00
$8,514,738.21
$962.70
$6,000,000.00
Preferred Stock w/ Warrants
$5,000,000.00
$0.00
7,500,000
$5,000,000.00
Preferred Stock w/ Exercised Warrants
$7,500,000.00
37,000
$7,500,000.00
Subordinated Debentures w/ Exercised Warrants
($534,276.30)
1,305,230
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$80,000,000.00
$0.00
$87,644,066.10
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$3,756,000.00
$0.00
$4,563,280.34
($10,500,000.00)
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$65,000,000.00
$0.00
$68,141,972.19
Sold, in full; warrants not outstanding
$56,778,150.00
Preferred Stock w/ Warrants
$20,000,000.00
$0.00
$12,333,778.00
($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
$20,699,000.00
$725.00
($886,325.00)
6,398
$507.50
($3,150,887.04)
10,000
$1,000.00
30,000
$1,000.00
$12,000,000.00
12,000
$1,000.00
$33,900,000.00
$2,820,256.96
3,223
$30,000,000.00
$0.00
$1,000.00
$10,000,000.00
$3,223,000.00
$10,000.00
866,540
$2,336,675.00
Preferred Stock
2,070
$866,540,000.00
35,595
$1,000.00
Sold, in full; warrants not outstanding
($23,366.75)
($26,633.25)
Preferred Stock w/ Exercised Warrants
$6,398,000.00
$0.00
$4,118,886.85
Sold, in full; warrants not outstanding
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
$1,695,000.00
Redeemed, in full; warrants not outstanding
$4,797,000.00
$15,329,326.44
$1,000.00
13,900
$882.50
17,836
$1,000.00
184,011
$1,000.00
$17,390,000.00
$0.00
$222,528,333.33
193,000
$184,011,000.00
$13,900,000.00
$0.00
$1,000.00
$17,836,000.00
Preferred Stock w/ Exercised Warrants
$193,000,000.00
$1,000.00
116,000
$193,000,000.00
Preferred Stock w/ Warrants
4,797
$116,000,000.00
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
$0.00
$21,033,989.56
695
$892,000.00
892
953,096
$375,000.00
$17,836,000.00
($1,633,250.00)
$624,674.69
$2,700,000.00
Preferred Stock w/ Exercised Warrants
($184,001.25)
352,977
$1,003,227.00
280,795
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$184,011,000.00
$0.00
$191,464,618.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$17,390,000.00
$0.00
$19,943,580.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$19,300,000.00
$0.00
$22,297,560.34
Redeemed, in full; warrants not outstanding
38
FootNote
73,97
8,14,18
8,14
8,14,18,44,45
87
79
15,11,14
11,8,14
8,14
44,8,14
15,14
11,8,14
11,8,14,36
8,14,18
11
8,84
8,44,14
12,16
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
Institution Name
FIRST PLACE FINANCIAL CORP.
FIRST PLACE FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST RELIANCE BANCSHARES, INC.
FIRST RELIANCE BANCSHARES, INC.
FIRST RELIANCE BANCSHARES, INC.
FIRST RESOURCE BANK
FIRST RESOURCE BANK
FIRST RESOURCE BANK
FIRST SECURITY GROUP, INC.
FIRST SECURITY GROUP, INC.
FIRST SOUND BANK
FIRST SOUND BANK
FIRST SOUTH BANCORP, INC.
FIRST SOUTH BANCORP, INC.
FIRST SOUTH BANCORP, INC.
FIRST SOUTHERN BANCORP, INC.
FIRST SOUTHERN BANCORP, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST TEXAS BHC, INC.
FIRST TEXAS BHC, INC.
FIRST TRUST CORPORATION
FIRST TRUST CORPORATION
FIRST TRUST CORPORATION
FIRST ULB CORP.
FIRST ULB CORP.
FIRST UNITED CORPORATION
FIRST VERNON BANCSHARES, INC.
FIRST VERNON BANCSHARES, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRSTBANK CORPORATION
FIRSTBANK CORPORATION
FIRSTBANK CORPORATION
FIRSTMERIT CORPORATION
FIRSTMERIT CORPORATION
FIRSTMERIT CORPORATION
FLAGSTAR BANCORP, INC.
FLAGSTAR BANCORP, INC.
FLAGSTAR BANCORP, INC.
FLAGSTAR BANCORP, INC.
FLAGSTAR BANCORP, INC.
FLAGSTAR BANCORP, INC.
FLORIDA BANK GROUP, INC.
FLORIDA BANK GROUP, INC.
FLORIDA BUSINESS BANCGROUP, INC.
FLORIDA BUSINESS BANCGROUP, INC.
FLUSHING FINANCIAL CORPORATION
FLUSHING FINANCIAL CORPORATION
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
City
WARREN
WARREN
MALVERN
MALVERN
MALVERN
MALVERN
MALVERN
FLORENCE
FLORENCE
FLORENCE
EXTON
EXTON
EXTON
CHATTANOOGA
CHATTANOOGA
SEATTLE
SEATTLE
LEXINGTON
LEXINGTON
LEXINGTON
BOCA RATON
BOCA RATON
ALAMOSA
ALAMOSA
ALAMOSA
ALAMOSA
ALAMOSA
FORT WORTH
FORT WORTH
NEW ORLEANS
NEW ORLEANS
NEW ORLEANS
OAKLAND
OAKLAND
OAKLAND
VERNON
VERNON
DENVER
DENVER
DENVER
DENVER
DENVER
DENVER
DENVER
ALMA
ALMA
ALMA
AKRON
AKRON
AKRON
TROY
TROY
TROY
TROY
TROY
TROY
TAMPA
TAMPA
TAMPA
TAMPA
LAKE SUCCESS
LAKE SUCCESS
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
State
OH
OH
PA
PA
PA
PA
PA
SC
SC
SC
PA
PA
PA
TN
TN
WA
WA
TN
TN
TN
FL
FL
CO
CO
CO
CO
CO
TX
TX
LA
LA
LA
CA
CA
MD
AL
AL
CO
CO
CO
CO
CO
CO
CO
MI
MI
MI
OH
OH
OH
MI
MI
MI
MI
MI
MI
FL
FL
FL
FL
NY
NY
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
Date
13-Mar-09
29-Oct-12
20-Feb-09
18-Dec-09
7-Feb-13
8-Feb-13
26-Mar-13
6-Mar-09
11-Mar-13
9-Apr-13
30-Jan-09
11-Dec-09
15-Sep-11
9-Jan-09
11-Apr-13
23-Dec-08
20-Feb-13
17-Jul-09
28-Sep-11
28-Nov-12
30-Jan-09
16-Jun-10
6-Mar-09
26-Mar-13
27-Mar-13
28-Mar-13
9-Apr-13
6-Mar-09
15-Sep-11
5-Jun-09
20-Feb-13
26-Mar-13
23-Jan-09
22-Apr-09
30-Jan-09
12-Jun-09
29-Sep-10
6-Feb-09
11-Dec-09
9-Aug-12
10-Aug-12
11-Sep-12
24-Jun-13
26-Jul-13
30-Jan-09
3-Jul-12
18-Jul-12
9-Jan-09
22-Apr-09
27-May-09
30-Jan-09
26-Mar-13
27-Mar-13
28-Mar-13
9-Apr-13
12-Jun-13
24-Jul-09
14-Aug-13
20-Feb-09
22-Sep-11
19-Dec-08
28-Oct-09
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
1
Original Investment Type
Preferred Stock w/ Warrants
Original Investment
Amount
$72,927,000.00
Outstanding
Investment
2
Total Cash Back
Investment Status*
Amount
$0.00
$7,009,094.50
Capital Repayment / Disposition / Auction
4
(Fee)
Shares
3,5
Avg. Price
(Realized Loss) /
(Write-off)
Gain
5
Warrant Proceeds
Amount
Shares
Currently not collectible
($72,927,000.00)
Preferred Stock w/ Exercised Warrants
$4,579,000.00
$4,596,000.00
$0.00
$9,948,069.58
Sold, in full; warrants not outstanding
$6,682,192.50
$1,410,831.60
7,575
1,600
$882.23
$882.05
($892,807.50)
($189,168.40)
$48,083.60
$176,633.62
49
180
15,349
$679.60
($4,917,666.11)
$624,632.45
767
$5,017,000.00
5,017
$1,000.00
$130,000.00
130
$14,912,862.00
9,941,908
$1.50
($18,087,138.00)
($3,700,000.00)
($80,930.24)
Preferred Stock w/ Exercised Warrants
$15,349,000.00
$0.00
$12,994,059.00
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,600,000.00
$2,417,000.00
$0.00
$5,731,793.60
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$33,000,000.00
$0.00
$16,315,362.00
Sold, in full; warrants not outstanding
$10,431,333.89
($104,313.34)
Preferred Stock w/ Warrants
$7,400,000.00
$0.00
$4,030,944.44
Sold, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$50,000,000.00
$0.00
$65,432,450.94
Redeemed, in full; warrants not outstanding
$3,700,000.00
2,500,000
$545,000.00
545
350
3,150
2,000
$900.00
$900.00
$900.00
$206,048.21
$45,788.48
225
50
13,533
$1,000.00
17,969,000
$0.77
$4,900,000.00
4,900
$6,000,000.00
$5,359,772.59
$2,500,000.00
$1,000.00
$13,750,058.49
$0.00
$12,263,468.31
10,900
$13,533,000.00
$5,500,000.00
$0.00
$1.00
$1.00
$315,007.00
$2,835,063.00
$1,800,040.00
Preferred Stock w/ Exercised Warrants
$10,900,000.00
$500.00
13,125,000
36,875,000
$10,900,000.00
Preferred Stock w/ Exercised Warrants
7,400
$13,125,000.00
$36,875,000.00
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($34,993.00)
($314,937.00)
($199,960.00)
($49,501.10)
Preferred Stock w/ Exercised Warrants
$13,533,000.00
$0.00
$16,072,389.00
Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$17,969,000.00
$0.00
$15,304,180.50
Sold, in full; warrants not outstanding
$677,000.00
677
$644,726.19
898,000
$1,000.00
$245,000.00
245
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
($4,218,941.51)
($137,500.58)
Preferred Stock w/ Exercised Warrants
$4,900,000.00
$0.00
$5,211,020.69
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$30,000,000.00
$6,000,000.00
$30,000,000.00
$0.00
$2,312,500.00
$6,662,770.42
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$8,559,000.00
$11,881,000.00
$0.00
$21,142,314.80
Sold, in full; warrants not outstanding
$6,138,000.00
$62,000.00
($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
$9,495,000.00
Preferred Stock w/ Exercised Warrants
$15,000,000.00
$1,300,000.00
$0.00
$0.00
$14,267,700.00
$18,670,291.67
$87,184.85
375,806
12,000
$1,000.00
$600,000.00
600
$15,000,000.00
Preferred Stock w/ Exercised Warrants
$0.00
$1,000.00
$900,000.00
$12,000,000.00
$1,000.00
70,000
$12,000,000.00
Preferred Stock w/ Exercised Warrants
9,495
$70,000,000.00
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
$1,074,618.45
$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
$35,000,000.00
Subordinated Debentures w/ Exercised Warrants
$3,000,000.00
$0.00
$3,408,191.65
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
Redeemed, in full; warrants not outstanding
39
FootNote
11
8,14
11,8,14
8
8,14
8,17,91,97
11
8
44,8,14
15
8
8,14,18,44
15
45
11,8,14
11,8,14
8
8,68,97
45,8,14
9,15,36
11
17,28,70,97
45,8,14
11,8,14
38
8,9
11,8,14
11
8,17
45
8,17,45
11
11,16
11
11
8,18,21,44
Institution Name
City
State
Date
FULTON FINANCIAL CORPORATION
FULTON FINANCIAL CORPORATION
FULTON FINANCIAL CORPORATION
GATEWAY BANCSHARES, INC.
GATEWAY BANCSHARES, INC.
GEORGIA COMMERCE BANCSHARES, INC.
GEORGIA COMMERCE BANCSHARES, INC.
GEORGIA PRIMARY BANK
GERMANTOWN CAPITAL CORPORATION
GERMANTOWN CAPITAL CORPORATION
GERMANTOWN CAPITAL CORPORATION
GERMANTOWN CAPITAL CORPORATION
GOLD CANYON BANK
GOLD CANYON BANK
GOLDMAN SACHS GROUP, INC.
GOLDMAN SACHS GROUP, INC.
GOLDMAN SACHS GROUP, INC.
GOLDWATER BANK, N.A.
GRAND CAPITAL CORPORATION
GRAND CAPITAL CORPORATION
GRAND FINANCIAL CORPORATION
GRAND MOUNTAIN BANCSHARES, INC.
GRANDSOUTH BANCORPORATION
GRANDSOUTH BANCORPORATION
GRANDSOUTH BANCORPORATION
GREAT RIVER HOLDING COMPANY
GREAT SOUTHERN BANCORP
GREAT SOUTHERN BANCORP
GREAT SOUTHERN BANCORP
GREEN BANKSHARES, INC.
GREEN BANKSHARES, INC.
GREEN CIRCLE INVESTMENTS, INC.
GREEN CIRCLE INVESTMENTS, INC.
GREEN CIRCLE INVESTMENTS, INC.
GREEN CIRCLE INVESTMENTS, INC.
GREEN CITY BANCSHARES, INC.
GREEN CITY BANCSHARES, INC.
GREER BANCSHARES INCORPORATED
GREGG BANCSHARES, INC.
GREGG BANCSHARES, INC.
GUARANTY BANCORP, INC.
GUARANTY BANCORP, INC.
GUARANTY CAPITAL CORPORATION
GUARANTY CAPITAL CORPORATION
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GULFSOUTH PRIVATE BANK
GULFSOUTH PRIVATE BANK
GULFSTREAM BANCSHARES, INC.
GULFSTREAM BANCSHARES, INC.
HAMILTON STATE BANCSHARES, INC.
HAMILTON STATE BANCSHARES, INC.
HAMPTON ROADS BANKSHARES, INC.
LANCASTER
LANCASTER
LANCASTER
RINGGOLD
RINGGOLD
ATLANTA
ATLANTA
ATLANTA
GERMANTOWN
GERMANTOWN
GERMANTOWN
GERMANTOWN
GOLD CANYON
GOLD CANYON
NEW YORK
NEW YORK
NEW YORK
SCOTTSDALE
TULSA
TULSA
HATTIESBURG
GRANBY
GREENVILLE
GREENVILLE
GREENVILLE
BAXTER
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
GREENEVILLE
GREENEVILLE
CLIVE
CLIVE
CLIVE
CLIVE
GREEN CITY
GREEN CITY
GREER
OZARK
OZARK
WOODSVILLE
WOODSVILLE
BELZONI
BELZONI
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
DESTIN
DESTIN
STUART
STUART
HOSCHTON
HOSCHTON
NORFOLK
PA
PA
PA
GA
GA
GA
GA
GA
TN
TN
TN
TN
AZ
AZ
NY
NY
NY
AZ
OK
OK
MS
CO
SC
SC
SC
MN
MO
MO
MO
TN
TN
IA
IA
IA
IA
MO
MO
SC
MO
MO
NH
NH
MS
MS
MO
MO
MO
MO
MO
MO
FL
FL
FL
FL
GA
GA
VA
23-Dec-08
14-Jul-10
8-Sep-10
8-May-09
13-Apr-12
6-Feb-09
16-Feb-11
1-May-09
6-Mar-09
29-Oct-12
31-Oct-12
11-Jan-13
26-Jun-09
5-Apr-13
28-Oct-08
17-Jun-09
22-Jul-09
30-Jan-09
24-Apr-09
8-Sep-11
25-Sep-09
29-May-09
9-Jan-09
11-Dec-09
8-Sep-11
17-Jul-09
5-Dec-08
18-Aug-11
21-Sep-11
23-Dec-08
7-Sep-11
27-Feb-09
14-Nov-12
23-Jan-13
24-Apr-13
27-Feb-09
14-Jul-10
30-Jan-09
13-Feb-09
13-Jul-12
20-Feb-09
15-Sep-11
25-Sep-09
30-Jul-10
30-Jan-09
13-Jun-12
26-Apr-13
29-Apr-13
15-May-13
31-May-13
25-Sep-09
19-Oct-12
26-Jun-09
18-Aug-11
20-Feb-09
13-Apr-11
31-Dec-08
HARBOR BANKSHARES CORPORATION
HAVILAND BANCSHARES, INC.
HAVILAND BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HCSB FINANCIAL CORPORATION
HEARTLAND BANCSHARES, INC.
HEARTLAND BANCSHARES, INC.
HEARTLAND FINANCIAL USA, INC.
HEARTLAND FINANCIAL USA, INC.
HEARTLAND FINANCIAL USA, INC.
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.
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
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
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
1
Original Investment Type
Preferred Stock w/ Warrants
Original Investment
Amount
$376,500,000.00
Outstanding
Investment
2
Total Cash Back
Investment Status*
Amount
$0.00
$416,635,625.00
Capital Repayment / Disposition / Auction
4
(Fee)
Shares
3,5
Avg. Price
(Realized Loss) /
(Write-off)
Gain
5
Warrant Proceeds
Amount
Shares
Redeemed, in full; warrants not outstanding
$376,500,000.00
$10,800,000.00
$4,500,000.00
$4,967,000.00
$0.00
$4,500,000.00
$0.00
$7,260,794.87
$10,096,470.83
$0.00
$5,699,100.75
5,509,756
$1,000.00
$300,000.00
300
8,700
$1,000.00
$435,000.00
435
29
4,938
$910.10
$910.10
$214,595.28
248
10,000,000
$1,000.00
$1,100,000,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$8,700,000.00
$0.00
6,000
$8,700,000.00
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$1,000.00
$6,000,000.00
Preferred Stock w/ Exercised Warrants
376,500
12,205,045
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
$26,393.77
$4,494,221.94
($2,606.23)
($443,778.06)
($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
$797,110.88
$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
$4,000,000.00
58,000
$1,000.00
909,091
72,278
$950.50
800
800
800
$1,000.00
$1,000.00
$1,000.00
$120,000.00
120
651
$1,000.00
$33,000.00
33
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
$733,037.33
450
$6,920,000.00
$0.00
$450,000.00
$651,000.00
$651,000.00
$1,000.00
$800,000.00
$800,000.00
$800,000.00
Preferred Stock w/ Exercised Warrants
15,319
$6,436,364.00
$3,036,021.12
200
$68,700,000.00
$0.00
$200,000.00
$58,000,000.00
$2,400,000.00
$1,000.00
$15,319,000.00
Preferred Stock w/ Exercised Warrants
4,000
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)
$7,500,000.00
$375,000.00
375
$350,000.00
35
425
$1,000.00
$21,000.00
21
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
$8,169,165.89
$25,000.00
$425,000.00
$0.00
280
$12,000,000.00
$18,255,000.00
$7,000,000.00
$1,000.00
$7,000,000.00
Preferred Stock w/ Exercised Warrants
7,500
302,419
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$80,347,000.00
$80,347,000.00
$2,510,844.25
Full investment outstanding; warrants outstanding
Preferred Stock
Preferred Stock w/ Exercised Warrants
$6,800,000.00
$425,000.00
$6,800,000.00
$0.00
$282,744.47
$487,524.22
Full investment outstanding; warrants not outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$30,255,000.00
$0.00
$36,849,504.67
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$12,895,000.00
$7,000,000.00
$12,895,000.00
$0.00
$1,090,702.00
$8,321,471.08
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$81,698,000.00
$0.00
$94,686,087.22
Redeemed, in full; warrants not outstanding
$7,000,000.00
Preferred Stock w/ Exercised Warrants
$25,000,000.00
$3,091,000.00
$2,359,000.00
$0.00
$0.00
$0.00
$26,953,333.33
$27,241,335.26
$26,316,666.67
$6,211,926.79
40,000
$1,000.00
24,000
$1,000.00
21,000
$1,000.00
$25,000,000.00
Preferred Stock w/ Warrants
$21,000,000.00
$0.00
$46,901,266.80
$1,000.00
$1,000.00
$21,000,000.00
Preferred Stock w/ Warrants
$24,000,000.00
$0.00
$11,353,284.46
2,606
7,497
$24,000,000.00
Preferred Stock w/ Warrants
$40,000,000.00
$0.00
$1,000.00
$40,000,000.00
Preferred Stock w/ Warrants
$10,103,000.00
$1,000.00
81,698
$2,606,000.00
$7,497,000.00
Preferred Stock w/ Exercised Warrants
7,000
$81,698,000.00
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
Redeemed, in full; warrants not outstanding
40
FootNote
8
11,8,14
11
8
8,14
8,17
11
11,45
44,8,14
8,11,14,18
11
8,14
8,17
9,15,36
12,16
8,14
11,8,10
44,8,14
8
8,14,18,44
8
11
29
8,22,92,97
11
22,52,97
11
15,71,97
11
44,8,14
11
Institution Name
HIGHLANDS BANCORP, INC.
HIGHLANDS INDEPENDENT BANCSHARES, INC.
HILLTOP COMMUNITY BANCORP, INC.
HILLTOP COMMUNITY BANCORP, INC.
HMN FINANCIAL, INC.
HMN FINANCIAL, INC.
HMN FINANCIAL, INC.
HMN FINANCIAL, INC.
HOME BANCSHARES, INC.
HOME BANCSHARES, INC.
HOME BANCSHARES, INC.
HOMETOWN BANCORP OF ALABAMA, INC.
HOMETOWN BANCORP OF ALABAMA, INC.
HOMETOWN BANCSHARES, INC.
HOMETOWN BANCSHARES, INC.
HOMETOWN BANCSHARES, INC.
HOMETOWN BANCSHARES, INC.
HOMETOWN BANCSHARES, INC.
HOMETOWN BANKSHARES CORPORATION
HOMETOWN BANKSHARES CORPORATION
HOMETOWN BANKSHARES CORPORATION
HOPFED BANCORP
HOPFED BANCORP
HOPFED BANCORP
HORIZON BANCORP
HORIZON BANCORP
HORIZON BANCORP
HORIZON BANCORP
HOWARD BANCORP, INC.
HOWARD BANCORP, INC.
HPK FINANCIAL CORPORATION
HPK FINANCIAL CORPORATION
HPK FINANCIAL CORPORATION
HUNTINGTON BANCSHARES
HUNTINGTON BANCSHARES
HUNTINGTON BANCSHARES
HYPERION BANK
HYPERION BANK
HYPERION BANK
HYPERION BANK
IA BANCORP, INC / INDUS AMERICAN BANK
IBC BANCORP, INC.
IBC BANCORP, INC.
IBERIABANK CORPORATION
IBERIABANK CORPORATION
IBERIABANK CORPORATION
IBT BANCORP, INC.
IBT BANCORP, INC.
IBW FINANCIAL CORPORATION
IBW FINANCIAL CORPORATION
ICB FINANCIAL
ICB FINANCIAL
IDAHO BANCORP
ILLINOIS STATE BANCORP, INC.
ILLINOIS STATE BANCORP, INC.
ILLINOIS STATE BANCORP, INC.
INDEPENDENCE BANK
INDEPENDENCE BANK
INDEPENDENT BANK CORP.
INDEPENDENT BANK CORP.
INDEPENDENT BANK CORP.
INDEPENDENT BANK CORPORATION
INDEPENDENT BANK CORPORATION
INDIANA BANK CORP.
INDIANA BANK CORP.
INDIANA COMMUNITY BANCORP
INDIANA COMMUNITY BANCORP
INTEGRA BANK CORPORATION
INTEGRA BANK CORPORATION
INTERMOUNTAIN COMMUNITY BANCORP
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
City
VERNON
SEBRING
SUMMIT
SUMMIT
ROCHESTER
ROCHESTER
ROCHESTER
ROCHESTER
CONWAY
CONWAY
CONWAY
ONEONTA
ONEONTA
CORBIN
CORBIN
CORBIN
CORBIN
CORBIN
ROANOKE
ROANOKE
ROANOKE
HOPKINSVILLE
HOPKINSVILLE
HOPKINSVILLE
MICHIGAN CITY
MICHIGAN CITY
MICHIGAN CITY
MICHIGAN CITY
ELLICOTT CITY
ELLICOTT CITY
CHICAGO
CHICAGO
CHICAGO
COLUMBUS
COLUMBUS
COLUMBUS
PHILADELPHIA
PHILADELPHIA
PHILADELPHIA
PHILADELPHIA
ISELIN
CHICAGO
CHICAGO
LAFAYETTE
LAFAYETTE
LAFAYETTE
IRVING
IRVING
WASHINGTON
WASHINGTON
ONTARIO
ONTARIO
BOISE
CHICAGO
CHICAGO
CHICAGO
EAST GREENWICH
EAST GREENWICH
ROCKLAND
ROCKLAND
ROCKLAND
IONIA
IONIA
DANA
DANA
COLUMBUS
COLUMBUS
EVANSVILLE
EVANSVILLE
SANDPOINT
LAREDO
LAREDO
LAREDO
LAREDO
LAREDO
NEW YORK
NEW YORK
NEW YORK
SEDALIA
SEDALIA
NEW YORK
NEW YORK
NEW YORK
HOULTON
HOULTON
CLEVELAND
CLEVELAND
CLEVELAND
State
NJ
FL
NJ
NJ
MN
MN
MN
MN
AR
AR
AR
AL
AL
KY
KY
KY
KY
KY
VA
VA
VA
KY
KY
KY
IN
IN
IN
IN
MD
MD
IL
IL
IL
OH
OH
OH
PA
PA
PA
PA
NJ
IL
IL
LA
LA
LA
TX
TX
DC
DC
CA
CA
ID
IL
IL
IL
RI
RI
MA
MA
MA
MI
MI
IN
IN
IN
IN
IN
IN
ID
TX
TX
TX
TX
TX
NY
NY
NY
MO
MO
NY
NY
NY
ME
ME
OH
OH
OH
Date
22-Sep-11
6-Mar-09
30-Jan-09
21-Apr-10
23-Dec-08
7-Feb-13
8-Feb-13
26-Mar-13
16-Jan-09
6-Jul-11
27-Jul-11
20-Feb-09
28-Aug-13
13-Feb-09
28-Nov-12
30-Nov-12
11-Jan-13
26-Mar-13
18-Sep-09
31-Oct-12
11-Jan-13
12-Dec-08
19-Dec-12
16-Jan-13
19-Dec-08
10-Nov-10
25-Aug-11
23-Nov-11
27-Feb-09
22-Sep-11
1-May-09
13-Nov-09
11-Dec-12
14-Nov-08
22-Dec-10
19-Jan-11
6-Feb-09
20-Dec-12
11-Jan-13
26-Mar-13
18-Sep-09
15-May-09
10-Sep-10
5-Dec-08
31-Mar-09
20-May-09
27-Mar-09
12-Jun-13
13-Mar-09
3-Sep-10
6-Mar-09
1-Nov-12
16-Jan-09
22-May-09
29-Dec-09
22-Sep-11
9-Jan-09
16-Oct-13
9-Jan-09
22-Apr-09
27-May-09
12-Dec-08
30-Aug-13
24-Apr-09
9-Apr-13
12-Dec-08
12-Sep-12
27-Feb-09
29-Jul-11
19-Dec-08
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
1
Original Investment Type
Original Investment
Amount
Outstanding
Investment
2
Total Cash Back
Investment Status*
Amount
Capital Repayment / Disposition / Auction
4
(Fee)
Shares
3,5
Avg. Price
$5,450,000.00
645
1,255
$942.90
$942.90
10,000
$918.50
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
155
$200,000.00
200
158,472
$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
$21,034,187.78
$1,000.00
$18,400,000.00
$0.00
$1,000.00
$608,170.50
$1,183,339.50
$26,000,000.00
3,250
$1,000.00
Shares
$155,000.00
138,490
$115,000.00
115
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
50,000
Warrant Proceeds
Amount
$1,300,000.00
$617,712.00
$4,467,049.67
$721.50
$721.50
5
$1,000.00
$3,250,000.00
$6,700,000.00
$0.00
3,550
22,450
$50,000,000.00
$6,700,000.00
$4,000,000.00
4,000
$2,561,325.00
$16,197,675.00
Gain
$1,000.00
$4,000,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
5,450
(Realized Loss) /
(Write-off)
Sold, in full; warrants outstanding
($988,675.00)
($6,252,325.00)
($187,590.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$50,000,000.00
$3,250,000.00
$1,900,000.00
$0.00
$0.00
$0.00
$57,480,555.56
$4,214,202.31
$2,229,801.03
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($17,915.11)
($7,084.89)
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$11,111,011.94
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$18,400,000.00
$0.00
$22,354,145.89
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$29,857,321.83
Redeemed, in full; warrants not outstanding
$9,185,000.00
($91,850.00)
Preferred Stock w/ Exercised Warrants
$5,983,000.00
$0.00
$7,119,793.05
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$5,000,000.00
$0.00
$10,940,554.65
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$1,398,071,000.00
$0.00
$1,594,356,808.56
Redeemed, in full; warrants not outstanding
$9,000,000.00
$1,552,000.00
$0.00
$1,337,166.22
$1,000.00
1,398,071
$1,000.00
$1,008,800.00
Preferred Stock w/ Exercised Warrants
9,000
$1,398,071,000.00
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
$4,205,000.00
6,000
$1,000.00
6,000
$1,000.00
$300,000.00
300
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
$6,453,067.00
$1,000.00
$10,272,000.00
$0.00
$2,936,462.50
2,295
$6,000,000.00
$6,000,000.00
$0.00
$1,000.00
$6,000,000.00
Preferred Stock w/ Warrants
$2,295,000.00
$1.00
90,000
$2,295,000.00
Preferred Stock w/ Exercised Warrants
4,205,000
$90,000,000.00
88,401,697
$522,000.00
522
$70,000,000.00
35,244,361
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$0.00
$7,494,458.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$6,900,000.00
$6,272,000.00
$4,000,000.00
$6,900,000.00
$0.00
$124,305.92
$11,836,113.40
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,065,000.00
$0.00
$1,394,723.17
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$78,158,000.00
$72,000,000.00
$0.00
$0.00
$81,476,093.61
$83,430,000.00
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
$2,426,000.00
Redeemed, in full; warrants not outstanding
($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
Preferred Stock w/ Warrants
$27,000,000.00
$216,000,000.00
$27,000,000.00
$0.00
$6,588,634.23
$261,538,649.89
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$40,000,000.00
$45,000,000.00
$131,000,000.00
$30,035,555.56
$970.00
2,500,000
$10,000.00
$10,449,000.00
$0.00
25,000
$25,000,000,000.00
$25,000,000.00
$1,000.00
$1,000.00
$1,000.00
$24,250,000.00
Preferred Stock w/ Warrants
40,000
45,000
131,000
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
41
FootNote
8
8,14
8,11,14,18,36
11
12
8,14
11
11,8,14
9,48,97
45,8,14
45,8,14
8,17
11,9,36
8
11
8
11
8,9,17
11
8
44,11,8
8,14
11
15,14
8
8
15,14
8,14
43
8
11
8,45,14
Institution Name
KIRKSVILLE BANCORP, INC.
KS BANCORP, INC
KS BANCORP, INC
KS BANCORP, INC
LAFAYETTE BANCORP, INC.
LAFAYETTE BANCORP, INC.
LAFAYETTE BANCORP, INC.
LAKELAND BANCORP, INC.
LAKELAND BANCORP, INC.
LAKELAND BANCORP, INC.
LAKELAND BANCORP, INC.
LAKELAND BANCORP, INC.
LAKELAND FINANCIAL CORPORATION
LAKELAND FINANCIAL CORPORATION
LAKELAND FINANCIAL CORPORATION
LAYTON PARK FINANCIAL GROUP, INC.
LAYTON PARK FINANCIAL GROUP, INC.
LAYTON PARK FINANCIAL GROUP, INC.
LAYTON PARK FINANCIAL GROUP, INC.
LCNB CORP.
LCNB CORP.
LCNB CORP.
LEADER BANCORP, INC.
LEADER BANCORP, INC.
LEGACY BANCORP, INC.
LEGACY BANCORP, INC.
LIBERTY BANCSHARES, INC. (AR)
LIBERTY BANCSHARES, INC. (AR)
LIBERTY BANCSHARES, INC. (MO)
LIBERTY BANCSHARES, INC. (MO)
LIBERTY BANCSHARES, INC. (TX)
LIBERTY FINANCIAL SERVICES, INC.
LIBERTY FINANCIAL SERVICES, INC.
LIBERTY SHARES, INC.
LINCOLN NATIONAL CORPORATION
LINCOLN NATIONAL CORPORATION
LINCOLN NATIONAL CORPORATION
LNB BANCORP, INC.
LNB BANCORP, INC.
LNB BANCORP, INC.
LONE STAR BANK
LSB CORPORATION
LSB CORPORATION
LSB CORPORATION
M&F BANCORP, INC.
M&F BANCORP, INC.
M&T BANK CORPORATION
M&T BANK CORPORATION
M&T BANK CORPORATION
M&T BANK CORPORATION
MACKINAC FINANCIAL CORPORATION
MACKINAC FINANCIAL CORPORATION
MACKINAC FINANCIAL CORPORATION
MADISON FINANCIAL CORPORATION
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.
City
KIRKSVILLE
SMITHFIELD
SMITHFIELD
SMITHFIELD
OXFORD
OXFORD
OXFORD
OAK RIDGE
OAK RIDGE
OAK RIDGE
OAK RIDGE
OAK RIDGE
WARSAW
WARSAW
WARSAW
MILWAUKEE
MILWAUKEE
MILWAUKEE
MILWAUKEE
LEBANON
LEBANON
LEBANON
ARLINGTON
ARLINGTON
MILWAUKEE
MILWAUKEE
JONESBORO
JONESBORO
SPRINGFIELD
SPRINGFIELD
FORT WORTH
NEW ORLEANS
NEW ORLEANS
HINESVILLE
RADNOR
RADNOR
RADNOR
LORAIN
LORAIN
LORAIN
HOUSTON
NORTH ANDOVER
NORTH ANDOVER
NORTH ANDOVER
DURHAM
DURHAM
BUFFALO
BUFFALO
BUFFALO
BUFFALO
MANISTIQUE
MANISTIQUE
MANISTIQUE
RICHMOND
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
State
MO
NC
NC
NC
MS
MS
MS
NJ
NJ
NJ
NJ
NJ
IN
IN
IN
WI
WI
WI
WI
OH
OH
OH
MA
MA
WI
WI
AR
AR
MO
MO
TX
LA
LA
GA
PA
PA
PA
OH
OH
OH
TX
MA
MA
MA
NC
NC
NY
NY
NY
NY
MI
MI
MI
KY
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
Date
20-Mar-09
21-Aug-09
30-Nov-12
11-Jan-13
20-Feb-09
29-Dec-09
29-Sep-10
6-Feb-09
4-Aug-10
16-Mar-11
8-Feb-12
29-Feb-12
27-Feb-09
9-Jun-10
22-Nov-11
18-Dec-09
29-Nov-12
11-Jan-13
26-Mar-13
9-Jan-09
21-Oct-09
22-Nov-11
23-Dec-08
24-Nov-10
30-Jan-09
11-Mar-11
23-Jan-09
21-Jul-11
13-Feb-09
18-Aug-11
4-Dec-09
6-Feb-09
24-Sep-10
20-Feb-09
10-Jul-09
30-Jun-10
22-Sep-10
12-Dec-08
19-Jun-12
18-Jul-12
6-Feb-09
12-Dec-08
18-Nov-09
16-Dec-09
26-Jun-09
20-Aug-10
23-Dec-08
18-May-11
21-Aug-12
17-Dec-12
24-Apr-09
29-Aug-12
19-Dec-12
13-Mar-09
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
1
Original Investment Type
Original Investment
Amount
Outstanding
Investment
2
Total Cash Back
Investment Status*
Amount
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$470,000.00
$4,000,000.00
$470,000.00
$0.00
$112,975.00
$4,137,336.64
$1,998,000.00
$2,453,000.00
$0.00
$4,818,134.50
$59,000,000.00
$0.00
$68,260,833.33
Avg. Price
(Realized Loss) /
(Write-off)
Gain
5
Warrant Proceeds
Amount
Shares
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
3,5
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Capital Repayment / Disposition / Auction
4
(Fee)
Shares
Redeemed, in full; warrants not outstanding
$3,308,000.00
4,000
$827.00
($692,000.00)
$140,400.00
200
$100,000.00
100
$2,800,000.00
997,050
$877,557.00
198,269
$104,375.00
150
$602,557.00
217,063
$292,000.00
292
($25,000.00)
$4,451,000.00
$2,932,162.50
$1,000.00
3,000
$790.30
13,400
$1,000.00
$5,830,000.00
$0.00
$60,517,713.33
56,044
$13,400,000.00
$3,000,000.00
$0.00
$1,000.00
$1,000.00
$1,000.00
$2,370,930.00
Preferred Stock w/ Exercised Warrants
$56,044,000.00
$1,000.00
20,000
20,000
19,000
$56,044,000.00
Preferred Stock w/ Warrants
4,451
$20,000,000.00
$20,000,000.00
$19,000,000.00
5,830
$1,000.00
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($629,070.00)
($23,709.29)
($1,290.71)
Preferred Stock w/ Warrants
$13,400,000.00
$0.00
$14,527,390.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,830,000.00
$0.00
$6,731,961.06
Redeemed, in full; warrants not outstanding
Preferred Stock
$5,498,000.00
$0.00
$355,079.00
Currently not collectible
($5,498,000.00)
Preferred Stock w/ Exercised Warrants
$57,500,000.00
$0.00
$68,191,965.77
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$21,900,000.00
$0.00
$25,995,452.08
Redeemed, in full; warrants not outstanding
$57,500,000.00
$25,223,000.00
$0.00
$26,893,046.60
13,049,451
25,223
$869.20
561,343
209,497
1,218,522
398,734
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$1,000.00
$1,300,000.00
$1,399,560.00
$1,209,851,873.70
950,000
$31,838,761.34
$17,280,000.00
$0.00
$1,000.00
$560,000.00
$17,280,000.00
$950,000,000.00
5,645
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
1,095
$860,326.00
$1,266,816.22
$6,106,008.58
2,875
$1,095,000.00
$213,671,319.20
$6,500,000.00
$0.00
$2,875,000.00
$1,000.00
$950,000,000.00
$6,500,000.00
$5,645,000.00
$1,000.00
21,900
$5,645,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock
57,500
$21,900,000.00
Sold, in full; warrants not outstanding
$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
$11,735,000.00
$0.00
$12,409,762.50
($3,299,925.09)
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock
($328,846.12)
Redeemed, in full; warrants not outstanding
$15,000,000.00
Preferred Stock w/ Warrants
$11,000,000.00
$0.00
$0.00
$718,392,161.34
$13,521,828.15
11,735
$1,000.00
$370,000,000.00
$230,000,000.00
$600,000,000.00
$1,000.00
$11,735,000.00
Preferred Stock w/ Warrants
15,000
370,000
230,000
$1,000.00
$1,000.00
11,000
$958.10
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$10,538,990.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$3,370,000.00
$13,795,000.00
$3,370,000.00
$0.00
$169,421.50
$16,146,467.87
($158,084.85)
($461,010.00)
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
$3,455,000.00
$3,455,000.00
$6,885,000.00
$0.00
$5,263,187.50
$62,949,121.28
$690,000.00
690
$1,000.00
$225,000.00
225
57,000
$931.10
571,906
1,700
$1,000.00
$63,363.90
$57,000,000.00
$0.00
4,500
$1,512,177.00
Preferred Stock w/ Warrants
$4,500,000.00
$1,000.00
$1,000.00
$1,000.00
$4,500,000.00
Preferred Stock w/ Exercised Warrants
3,455
3,455
6,885
29,480
14,000
118,000
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
$53,073,270.00
Preferred Stock w/ Warrants
$1,700,000.00
$0.00
$1,829,711.12
($796,099.05)
Redeemed, in full; warrants not outstanding
$1,700,000.00
Subordinated Debentures w/ Exercised Warrants
$2,639,000.00
$0.00
$3,438,793.11
($3,926,730.00)
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
$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
42
FootNote
8,14,18,44
11
44,8,14
56,8,14
8,44,14
8,18
8,14
8,42
8,18
11
12
11,8,14
44
8
22,27,97
11,8,14
11
11,8,14
8
11,9
11,9,36
11,8,14
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
Institution Name
City
MCLEOD BANCSHARES, INC.
SHOREWOOD
MEDALLION BANK
SALT LAKE CITY
MEDALLION BANK
SALT LAKE CITY
MEDALLION BANK
SALT LAKE CITY
MERCANTILE BANK CORPORATION
GRAND RAPIDS
MERCANTILE BANK CORPORATION
GRAND RAPIDS
MERCANTILE BANK CORPORATION
GRAND RAPIDS
MERCANTILE BANK CORPORATION
GRAND RAPIDS
MERCANTILE CAPITAL CORPORATION
BOSTON
MERCANTILE CAPITAL CORPORATION
BOSTON
MERCHANTS & PLANTERS BANCSHARES, INC.
TOONE
MERCHANTS & PLANTERS BANCSHARES, INC.
TOONE
MERCHANTS AND MANUFACTURERS BANK CORPORATION
JOLIET
MERCHANTS AND MANUFACTURERS BANK CORPORATION
JOLIET
MERIDIAN BANK
DEVON
MERIDIAN BANK
DEVON
METRO CITY BANK
DORAVILLE
METRO CITY BANK
DORAVILLE
METRO CITY BANK
DORAVILLE
METRO CITY BANK
DORAVILLE
METROCORP BANCSHARES, INC.
HOUSTON
METROCORP BANCSHARES, INC.
HOUSTON
METROCORP BANCSHARES, INC.
HOUSTON
METROPOLITAN BANK GROUP, INC.
CHICAGO
METROPOLITAN BANK GROUP, INC.
CHICAGO
METROPOLITAN CAPITAL BANCORP, INC.
CHICAGO
METROPOLITAN CAPITAL BANCORP, INC.
CHICAGO
MID PENN BANCORP, INC./MID PENN BANK
MILLERSBURG
MID PENN BANCORP, INC./MID PENN BANK
MILLERSBURG
MID PENN BANCORP, INC./MID PENN BANK
MILLERSBURG
MIDDLEBURG FINANCIAL CORPORATION
MIDDLEBURG
MIDDLEBURG FINANCIAL CORPORATION
MIDDLEBURG
MIDDLEBURG FINANCIAL CORPORATION
MIDDLEBURG
MIDLAND STATES BANCORP, INC.
EFFINGHAM
MIDLAND STATES BANCORP, INC.
EFFINGHAM
MIDSOUTH BANCORP, INC.
LAFAYETTE
MIDSOUTH BANCORP, INC.
LAFAYETTE
MIDSOUTH BANCORP, INC.
LAFAYETTE
MIDTOWN BANK & TRUST COMPANY
ATLANTA
MIDWEST BANC HOLDINGS, INC.
MELROSE PARK
MIDWEST BANC HOLDINGS, INC.
MELROSE PARK
MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE FESTUS
MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE FESTUS
MIDWESTONE FINANCIAL GROUP, INC.
IOWA CITY
MIDWESTONE FINANCIAL GROUP, INC.
IOWA CITY
MIDWESTONE FINANCIAL GROUP, INC.
IOWA CITY
MID-WISCONSIN FINANCIAL SERVICES, INC.
MEDFORD
MID-WISCONSIN FINANCIAL SERVICES, INC.
MEDFORD
MILLENNIUM BANCORP, INC.
EDWARDS
MILLENNIUM BANCORP, INC.
EDWARDS
MISSION COMMUNITY BANCORP
SAN LUIS OBISPO
MISSION COMMUNITY BANCORP
SAN LUIS OBISPO
MISSION VALLEY BANCORP
SUN VALLEY
MISSION VALLEY BANCORP
SUN VALLEY
MONADNOCK BANCORP, INC.
PETERBOROUGH
MONADNOCK BANCORP, INC.
PETERBOROUGH
MONARCH COMMUNITY BANCORP, INC.
COLDWATER
MONARCH FINANCIAL HOLDINGS, INC.
CHESAPEAKE
MONARCH FINANCIAL HOLDINGS, INC.
CHESAPEAKE
MONARCH FINANCIAL HOLDINGS, INC.
CHESAPEAKE
MONEYTREE CORPORATION
LENOIR CITY
MONEYTREE CORPORATION
LENOIR CITY
MONUMENT BANK
BETHESDA
MONUMENT BANK
BETHESDA
MORGAN STANLEY
NEW YORK
MORGAN STANLEY
NEW YORK
MORGAN STANLEY
NEW YORK
MORRILL BANCSHARES, INC.
MERRIAM
MORRILL BANCSHARES, INC.
MERRIAM
MOSCOW BANCSHARES, INC.
MOSCOW
MOSCOW BANCSHARES, INC.
MOSCOW
MOSCOW BANCSHARES, INC.
MOSCOW
MOUNTAIN VALLEY BANCSHARES, INC.
CLEVELAND
MOUNTAIN VALLEY BANCSHARES, INC.
CLEVELAND
MOUNTAIN VALLEY BANCSHARES, INC.
CLEVELAND
MS FINANCIAL, INC.
KINGWOOD
MS FINANCIAL, INC.
KINGWOOD
MUTUALFIRST FINANCIAL, INC.
MUNCIE
MUTUALFIRST FINANCIAL, INC.
MUNCIE
MUTUALFIRST FINANCIAL, INC.
MUNCIE
NAPLES BANCORP, INC.
NAPLES
NAPLES BANCORP, INC.
NAPLES
NARA BANCORP, INC.
LOS ANGELES
NARA BANCORP, INC.
LOS ANGELES
NARA BANCORP, INC.
LOS ANGELES
NATIONAL BANCSHARES, INC.
BETTENDORF
NATIONAL BANCSHARES, INC.
BETTENDORF
NATIONAL BANCSHARES, INC.
BETTENDORF
State
MN
UT
UT
UT
MI
MI
MI
MI
MA
MA
TN
TN
IL
IL
PA
PA
GA
GA
GA
GA
TX
TX
TX
IL
IL
IL
IL
PA
PA
PA
VA
VA
VA
IL
IL
LA
LA
LA
GA
IL
IL
MO
MO
IA
IA
IA
WI
WI
CO
CO
CA
CA
CA
CA
NH
NH
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
Date
18-Aug-11
27-Feb-09
22-Dec-09
21-Jul-11
15-May-09
4-Apr-12
6-Jun-12
3-Jul-12
6-Feb-09
4-Aug-11
6-Mar-09
7-Sep-11
19-Jun-09
8-Sep-11
13-Feb-09
11-Dec-09
30-Jan-09
29-Oct-12
1-Nov-12
11-Jan-13
16-Jan-09
3-Jul-12
11-Jun-13
26-Jun-09
28-Jun-13
10-Apr-09
20-Nov-09
19-Dec-08
28-Dec-12
23-Jan-13
30-Jan-09
23-Dec-09
18-Nov-11
23-Jan-09
23-Dec-09
9-Jan-09
25-Aug-11
22-Nov-11
27-Feb-09
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
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
1
Original Investment Type
Original Investment
Amount
Outstanding
Investment
2
Total Cash Back
Investment Status*
Amount
Capital Repayment / Disposition / Auction
4
(Fee)
Shares
$6,000,000.00
Preferred Stock w/ Exercised Warrants
$11,800,000.00
$9,698,000.00
$0.00
$24,460,674.81
$21,000,000.00
$0.00
$31,631,120.56
Avg. Price
(Realized Loss) /
(Write-off)
Gain
5
Warrant Proceeds
Amount
Shares
$10,000.00
$300,000.00
30
$645,000.00
645
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
600
3,5
Redeemed, in full; warrants not outstanding
$21,498,000.00
$1,000.00
$94,000.00
94
3,510
$1,000.00
$176,000.00
176
29
7,671
$900.10
$900.10
($2,897.10)
($766,332.90)
$369,948.00
385
45,000
$981.20
($847,350.00)
771,429
71,526
$331.60
($47,807,458.06)
$10,000,000.00
10,000
$1,000.00
$58,479.20
73,099
$22,000,000.00
22,000
$1,000.00
$301,001.00
104,101
$10,189,000.00
10,189
$1,000.00
$509,000.00
509
$20,000,000.00
20,000
$1,000.00
$206,557.00
104,384
$35,000.00
35
$1,000,000.00
$6,200,000.00
$6,335,000.00
$7,700,000.00
$4,110,668.47
175
1,881
$2,087,368.00
Preferred Stock w/ Exercised Warrants
$0.00
$2,231,560.00
$175,000.00
$23,718,541.95
Preferred Stock w/ Exercised Warrants
$3,510,000.00
$0.00
616,438
$1,000.00
$3,510,000.00
Preferred Stock w/ Exercised Warrants
$1,881,000.00
$4,150,815.03
3,500
$1,881,000.00
Preferred Stock w/ Exercised Warrants
$0.00
$1,000.00
$1,000.00
$7,465,100.00
$3,500,000.00
$1,000.00
10,500
10,500
$3,500,000.00
Preferred Stock w/ Exercised Warrants
21,498
$10,500,000.00
$10,500,000.00
198,675
$500,000.00
500
$92,000.00
92
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
$12,535,000.00
$2,687,363.11
Full investment outstanding; warrants outstanding
$0.00
$8,806,297.80
Sold, in full; warrants not outstanding
$26,102.90
$6,904,667.10
($69,307.70)
Preferred Stock w/ Warrants
$45,000,000.00
$0.00
$53,406,628.25
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$71,526,000.00
$0.00
$27,172,726.72
Sold, in full; warrants not outstanding
$44,152,650.00
Preferred Stock w/ Warrants
$2,040,000.00
$2,348,000.00
$10,000,000.00
$4,388,000.00
$921,944.44
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
($662,289.75)
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$10,189,000.00
$20,000,000.00
$0.00
$0.00
$11,206,989.34
$22,834,334.78
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$5,222,000.00
$84,784,000.00
$5,222,000.00
$0.00
$275,104.50
$824,288.89
Full investment outstanding; warrants outstanding
Currently not collectible
Preferred Stock w/ Exercised Warrants
$700,000.00
$0.00
$763,294.14
Redeemed, in full; warrants not outstanding
($84,784,000.00)
$700,000.00
7,260
$400.00
5,116
$1,000.00
5,500
$1,000.00
$1,834,000.00
1,834
$1,000.00
$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
$4,296,561.73
$1,000.00
$5,500,000.00
$0.00
$12,844,226.31
10,000
$5,116,000.00
$7,260,000.00
$0.00
$18,933,333.33
$1,000.00
$2,904,000.00
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
16,000
$10,000,000.00
Preferred Stock w/ Exercised Warrants
$16,000,000.00
$1,000.00
$16,000,000.00
Preferred Stock w/ Warrants
700
521,266
$342,841.95
$502,606.30
500
733
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
Preferred Stock
$5,116,000.00
$0.00
$5,875,583.89
Redeemed, in full; warrants not outstanding
Preferred Stock
$5,500,000.00
$0.00
$5,956,041.66
($4,356,000.00)
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,834,000.00
$0.00
$2,339,348.60
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$6,785,000.00
$14,700,000.00
$6,785,000.00
$0.00
$262,919.00
$15,703,166.66
Full investment outstanding; warrants outstanding
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/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$4,734,000.00
$10,000,000,000.00
$13,000,000.00
$6,216,000.00
$3,300,000.00
$0.00
$0.00
$0.00
$0.00
$0.00
$5,623,958.50
$11,268,055,555.11
$15,429,122.22
$7,803,377.38
$4,069,975.55
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($33,000.00)
($25,000.00)
Preferred Stock w/ Exercised Warrants
$7,723,000.00
$0.00
$9,206,289.90
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$32,382,000.00
$0.00
$37,608,789.00
Redeemed, in full; warrants not outstanding
$7,723,000.00
$0.00
$956,066.67
$1,000.00
4,000
$150.00
$67,000,000.00
$4,000,000.00
$1,000.00
32,382
$600,000.00
Preferred Stock w/ Exercised Warrants
7,723
$32,382,000.00
67,000
$1,000.00
$2,438,182.50
$16,064,996.94
3,250
21,414
$750.20
$750.20
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$67,000,000.00
$0.00
$81,249,317.20
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$24,664,000.00
$0.00
$21,471,087.90
($3,400,000.00)
Sold, in full; warrants not outstanding
($811,817.50)
($5,349,003.06)
43
FootNote
11,16
15,11,14
8,42
8
15,11,14
44
11,8,14
44,8,14
11
11
8,11,14,18
11
44,8,14
8,14
11,8,14
45
12,16
8
11
11
8,14
8,51,97
8,9
15,17
8
15,11,14
35,11
8
45,8,14
Institution Name
City
State
Date
NATIONAL BANCSHARES, INC.
NATIONAL PENN BANCSHARES, INC.
NATIONAL PENN BANCSHARES, INC.
NATIONAL PENN BANCSHARES, INC.
NATIONWIDE BANKSHARES, INC.
NATIONWIDE BANKSHARES, INC.
NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC.
NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC.
NCAL BANCORP
NEMO BANCSHARES, INC.
NEMO BANCSHARES, INC.
NEW HAMPSHIRE THRIFT BANCSHARES, INC.
NEW HAMPSHIRE THRIFT BANCSHARES, INC.
NEW HAMPSHIRE THRIFT BANCSHARES, INC.
NEW YORK PRIVATE BANK & TRUST CORPORATION
NEW YORK PRIVATE BANK & TRUST CORPORATION
NEWBRIDGE BANCORP
NEWBRIDGE BANCORP
NEWBRIDGE BANCORP
NEWBRIDGE BANCORP
NEWBRIDGE BANCORP
NICOLET BANKSHARES, INC.
NICOLET BANKSHARES, INC.
NORTH CENTRAL BANCSHARES, INC.
NORTH CENTRAL BANCSHARES, INC.
NORTH CENTRAL BANCSHARES, INC.
NORTHEAST BANCORP
NORTHEAST BANCORP
NORTHEAST BANCORP
NORTHERN STATE BANK
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
BETTENDORF
BOYERTOWN
BOYERTOWN
BOYERTOWN
WEST POINT
WEST POINT
CHICAGO
CHICAGO
LOS ANGELES
MADISON
MADISON
NEWPORT
NEWPORT
NEWPORT
NEW YORK
NEW YORK
GREENSBORO
GREENSBORO
GREENSBORO
GREENSBORO
GREENSBORO
GREEN BAY
GREEN BAY
FORT DODGE
FORT DODGE
FORT DODGE
LEWISTON
LEWISTON
LEWISTON
CLOSTER
CLOSTER
CLOSTER
WAUKEGAN
CHICAGO
CHICAGO
CHICAGO
BERLIN
BERLIN
SPOKANE
SPOKANE
SPOKANE
SPOKANE
LAKEWOOD
LAKEWOOD
OAK RIDGE
OAK RIDGE
OAK RIDGE
OAK RIDGE
OAKDALE
OAKDALE
OAKDALE
TOMS RIVER
TOMS RIVER
TOMS RIVER
OJAI
OJAI
BOWIE
BOWIE
BOWIE
EVANSVILLE
EVANSVILLE
EVANSVILLE
AURORA
AURORA
AURORA
AURORA
AURORA
AURORA
LAKEWOOD
LAKEWOOD
LAKEWOOD
LAKEWOOD
ATLANTA
ATLANTA
IA
PA
PA
PA
NE
NE
IL
IL
CA
MO
MO
NH
NH
NH
NY
NY
NC
NC
NC
NC
NC
WI
WI
IA
IA
IA
ME
ME
ME
NJ
NJ
NJ
IL
IL
IL
IL
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
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
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 COAST BANKERS' BANCSHARES
PACIFIC COAST BANKERS' BANCSHARES
BOSTON
LITTLE ROCK
SALEM
SALEM
SALEM
ORANGE
ORANGE
SANTA BARBARA
SANTA BARBARA
SANTA BARBARA
LOS ANGELES
SAN FRANCISCO
SAN FRANCISCO
MA
AR
OR
OR
OR
TX
TX
CA
CA
CA
CA
CA
CA
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
23-Dec-08
28-Jul-11
1
Original Investment Type
Original Investment
Amount
Outstanding
Investment
2
Total Cash Back
Investment Status*
Amount
Capital Repayment / Disposition / Auction
4
(Fee)
Shares
3,5
Avg. Price
(Realized Loss) /
(Write-off)
Gain
5
Warrant Proceeds
Amount
Shares
($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
$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
$1,000,000.00
Preferred Stock w/ Warrants
$6,880,000.00
$0.00
$2,613,714.23
735,294
$100,000.00
100,000
$117,000.00
117,000
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
($4,598,541.95)
Redeemed, in full; warrants not outstanding
$2,330,000.00
2,330,000
$1.00
$10,000,000.00
10,000
$1,000.00
$267,274,000.00
267,274
$1,000.00
$2,709,121.50
$48,641,624.50
2,763
49,609
$980.50
$980.50
$737,100.00
$748,000.00
748
99,157
67,958
$67,000.00
67
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
$70,087,060.35
2,567,255
$87,000,000.00
$0.00
$346,794,005.83
13,364
$95,000.00
$52,372,000.00
$0.00
184,275
$600,000.00
Preferred Stock w/ Warrants
$267,274,000.00
$13,364,000.00
$7,778,782.65
Preferred Stock w/ Exercised Warrants
815,339
$159,886.25
141
$11,167.20
$152,280.00
11
150
$305,000.00
305,000
$393,120.78
15,120
$580,000.00
580
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($53,878.50)
($967,375.50)
($513,507.46)
Preferred Stock w/ Exercised Warrants
$14,964,000.00
$0.00
$17,904,842.66
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$10,200,000.00
$0.00
$12,294,583.33
Redeemed, in full; warrants not outstanding
$14,964,000.00
$4,227,000.00
$0.00
$5,159,181.33
$1,000.00
10,200
$1,000.00
$4,227,000.00
Preferred Stock w/ Warrants
14,964
$10,200,000.00
4,227
$1,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$1,341,000.00
$1,230,000.00
$0.00
$2,987,782.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$17,211,000.00
$1,576,000,000.00
$17,211,000.00
$0.00
$418,322.50
$1,709,623,333.35
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$11,930,624.67
Redeemed, in full; warrants not outstanding
$2,571,000.00
10,000
$1,000.00
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
$11,891,847.50
$1,000.00
$2,000,000.00
$8,500,000.00
$0.00
1,576,000
$10,000,000.00
$10,500,000.00
$1,000.00
$1,576,000,000.00
Preferred Stock w/ Exercised Warrants
2,571
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)
$100,000.00
$3,116,000.00
$6,100,000.00
$16,200,000.00
$11,600,000.00
$16,200,000.00
$0.00
$358,065.00
$13,821,963.89
6,100,000
$1.00
$14.75
$165,983,272.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
100
3,116
$1,000.00
$1,000.00
1
3,608,332
$29.50
$46.00
$11,600,000.00
11,600
$1,000.00
($10.28)
($14,650,702.97)
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
44
FootNote
8,26
8
85
8,14
11
60
8,21,11
8
44
8,14
8
8,11,14
11
44,8,14
11
56,8,14
8,14
8,14
8
8,17,45
11,9,36
8,46,97
8,69
11
44,8,14
15,17
20
8
9,15,36
8,22,97
Institution Name
PACIFIC 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.
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.
City
SAN CLEMENTE
SAN CLEMENTE
LOS ANGELES
SEATTLE
SEATTLE
MADISON
MADISON
MADISON
MADISON
MADISON
NEWARK
NEWARK
NEWARK
SEWELL
SEWELL
SEWELL
SEWELL
SEWELL
MONROEVILLE
MONROEVILLE
WESTWOOD
WESTWOOD
DUNDALK
OSWEGO
OSWEGO
OSWEGO
CAIRO
CAIRO
CAIRO
HOUSTON
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
State
CA
CA
CA
WA
WA
WI
WI
WI
WI
WI
OH
OH
OH
NJ
NJ
NJ
NJ
NJ
PA
PA
NJ
NJ
MD
NY
NY
NY
NE
NE
NE
TX
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
Date
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
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
1
Original Investment Type
Preferred Stock w/ Exercised Warrants
Original Investment
Amount
$4,120,000.00
Outstanding
Investment
2
Total Cash Back
Investment Status*
Amount
$0.00
$18,087.94
Capital Repayment / Disposition / Auction
4
(Fee)
Shares
3,5
Avg. Price
(Realized Loss) /
(Write-off)
Gain
5
Warrant Proceeds
Amount
Shares
Exited bankruptcy/receivership
($4,120,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$4,060,000.00
$6,500,000.00
$4,060,000.00
$0.00
$387,222.50
$7,937,744.97
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$23,200,000.00
$0.00
$22,020,064.10
Sold, in full; warrants not outstanding
$6,500,000.00
6,500
$1,000.00
$1,676,654.00
$4,048,506.00
$11,216,640.00
2,296
5,544
15,360
$730.20
$730.20
$730.20
$100,000,000.00
100,000
$1,000.00
$394,072.28
$11,318,791.40
548
15,740
$719.10
$719.10
$31,762,000.00
31,762
$1,000.00
$3,756,000.00
3,756
$1,000.00
$6,771,000.00
6,771
$1,000.00
$3,727,000.00
3,727
$1,167.00
$250,000.00
$250,000.00
$250,000.00
$500,000.00
$2,440,000.00
250
250
250
500
2,440
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$7,172,000.00
$7,172,000.00
$14,341,000.00
7,172
7,172
14,341
$1,000.00
$1,000.00
$1,000.00
$9,960,000.00
9,960
$1,000.00
$21,000,000.00
$18,000,000.00
21,000
18,000
$1,000.00
$1,000.00
$18,000,000.00
18,000
$1,000.00
25,054
$933.40
$12,660,000.00
12,660
$1,000.00
$2,944,500.00
3,900
$755.00
$12,325,000.00
12,325
$1,500,000.00
1,500
$3,000,000.00
3,000
$1,000.00
($619,346.00)
($1,495,494.00)
($4,143,360.00)
$88,059.01
$482,779.69
$325,200.40
114
625
421
$2,842,400.00
227,376
$1,650,288.00
438,906
$188,000.00
188
$537,633.00
154,354
$226,565.00
186
$185,000.00
185
$110,000.00
150,296
$498,000.00
498
$1,200,724.15
313,505
$900,000.00
900
($169,418.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$100,000,000.00
$16,288,000.00
$0.00
$0.00
$119,536,844.44
$16,365,554.76
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($153,927.72)
($4,421,208.60)
($117,128.64)
Preferred Stock w/ Warrants
$31,762,000.00
$0.00
$36,570,413.89
Redeemed, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$3,756,000.00
$0.00
$4,497,312.67
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$6,000,000.00
$6,771,000.00
$6,000,000.00
$0.00
$377,866.67
$7,976,328.84
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,727,000.00
$0.00
$4,628,862.77
Sold, in full; warrants not outstanding
$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
($350,766.02)
($1,669,598.56)
$425,000.00
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
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 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)
$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
Subordinated Debentures w/ Exercised Warrants
$87,631,000.00
$2,500,000.00
$0.00
$0.00
$105,252,939.77
$3,103,618.40
267,455
$4,382,000.00
4,382
$90,582.47
107,000
$234,500.00
Preferred Stock w/ Exercised Warrants
237,712
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
$219,609,027.78
$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
($9,500,000.00)
45
FootNote
15,14
8
80
8,17
75,97
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
Institution Name
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.
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
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.
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
City
HUNTINGTON
HUNTINGTON
HUNTINGTON
HUNTINGTON
DUBUQUE
DUBUQUE
DUBUQUE
RIVERSIDE
MEDFORD
MEDFORD
SAN FRANCISCO
SAN FRANCISCO
SAN FRANCISCO
SAN FRANCISCO
PRINCETON
PRINCETON
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
EUREKA
EUREKA
REDWOOD FALLS
REDWOOD FALLS
DAVIE
NOWATA
NOWATA
VANCOUVER
VANCOUVER
HARTSVILLE
HARTSVILLE
HARTSVILLE
HARTSVILLE
HARTSVILLE
BIRMINGHAM
BIRMINGHAM
BIRMINGHAM
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
State
WV
WV
WV
WV
IA
IA
IA
CA
OR
OR
CA
CA
CA
CA
IL
IL
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
CA
CA
MN
MN
FL
OK
OK
WA
WA
SC
SC
SC
SC
SC
AL
AL
AL
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
Date
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
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
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
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
1
Original Investment Type
Original Investment
Amount
Outstanding
Investment
2
Total Cash Back
Investment Status*
Amount
Capital Repayment / Disposition / Auction
4
(Fee)
Shares
$1,678,618.89
$8,575,102.51
$9,795,998.16
3,5
Avg. Price
1,863
9,517
10,872
$901.00
$901.00
$901.00
6,349,000
$1.24
$41,400,000.00
41,400
310
10,490
$847.20
$847.20
Gain
5
Warrant Proceeds
Amount
Shares
$1,000.00
$262,635.10
$8,887,232.90
(Realized Loss) /
(Write-off)
($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
$478,590.75
317,000
$83,086.12
$195,295.20
97
228
$1,225,000.00
645,013
$175,000.00
175
($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
Preferred Stock w/ Exercised Warrants
$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
($25,083,000.00)
$243,815,000.00
$0.00
$199,100,113.41
4,000
$1,000.00
$151,500,000.00
$151,500,000.00
$1,000.00
$4,000,000.00
Preferred Stock w/ Warrants
243,815
151,500
$1,000.00
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
$9,270,000.00
225
32,538
$888.00
778,421
38,237
$1,000.00
$1,100,000.00
521,888
6,229
$1,000.00
$311,000.00
311
$8,073,279.00
8,900
$907.10
$3,800,000.00
3,800
$2,995,000.00
$35,195,847.13
464
$225,000.00
$6,229,000.00
$0.00
$464,000.00
$1,000.00
$1,100,000.00
$32,538,000.00
$1,000.00
4,500
$38,237,000.00
Preferred Stock w/ Warrants
9,270
$4,500,000.00
2,995
Sold, in full; warrants not outstanding
$28,893,744.00
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$38,237,000.00
$6,229,000.00
$8,900,000.00
$3,800,000.00
$0.00
$0.00
$0.00
$0.00
$44,286,567.33
$7,190,593.33
$9,223,155.83
$4,510,626.39
($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)
$255,942.68
268
$1,000.00
$190,000.00
190
$1,000.00
$150,000.00
150
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
$2,655,000.00
381
267
1,233
$925.00
$925.00
$50,000.00
75
3,500,000
$1,000.00
48,253,677
40,000
$1,004.90
$2,222,020.00
2,000
$8,966,340.00
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
$1,718,159.50
133
$381,000.00
$45,000,000.00
$0.00
$133,000.00
$1,000.00
$40,000,000.00
$1,500,000.00
$1,000.00
12,700
$3,500,000,000.00
Preferred Stock w/ Exercised Warrants
2,655
$12,700,000.00
651,547
$98,251.45
145
Sold, in full; warrants not outstanding
$246,975.00
$1,140,525.00
($20,025.00)
($92,475.00)
($13,875.00)
($11,125.00)
Preferred Stock w/ Warrants
$3,500,000,000.00
$0.00
$4,138,055,555.55
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$40,000,000.00
$0.00
$46,245,131.00
Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,900,000.00
$0.00
$9,630,106.93
$196,000.00
Sold, in full; warrants not outstanding
($1,933,660.00)
($89,663.40)
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
$346,087.50
$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
$10,500,000.00
$4,500,000.00
($25,000,000.00)
$108,676,000.00
108,676
$1,000.00
$8,816,000.00
$0.00
$2,697,208.51
41,547
41,547
$1,000.00
$1,000.00
$2,465,029.00
$2,900,000.00
$1,000.00
$41,547,000.00
$41,547,000.00
Preferred Stock w/ Exercised Warrants
8,816
2,900
$850.00
($434,971.00)
4,000
$700.00
($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
$2,800,000.00
46
FootNote
44,8,14
11
44,8,14
8,14
44,8,14
44,8,14
11,8,14,36
11,36
44,8,14
15,14
11
15,11,14
11
11
8,32,97
8,14
8,14
11,9,36
8,45,14
44,8,14
44
8
11
44,8,14
8
8
74,8,14
11,61
15,17,44
8,11
8,36,11
12,16
Institution Name
SBT BANCORP, INC.
SBT BANCORP, INC.
SCBT FINANCIAL CORPORATION
SCBT FINANCIAL CORPORATION
SCBT FINANCIAL CORPORATION
SEACOAST BANKING CORPORATION OF FLORIDA
SEACOAST BANKING CORPORATION OF FLORIDA
SEACOAST BANKING CORPORATION OF FLORIDA
SEACOAST COMMERCE BANK
SEACOAST COMMERCE BANK
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BUSINESS BANCORP
SECURITY BUSINESS BANCORP
SECURITY CALIFORNIA BANCORP
SECURITY CALIFORNIA BANCORP
SECURITY CAPITAL CORPORATION
SECURITY CAPITAL CORPORATION
SECURITY FEDERAL CORPORATION
SECURITY FEDERAL CORPORATION
SECURITY FEDERAL CORPORATION
SECURITY STATE BANCSHARES, INC.
SECURITY STATE BANCSHARES, INC.
SECURITY STATE BANK HOLDING COMPANY
SECURITY STATE BANK HOLDING COMPANY
SECURITY STATE BANK HOLDING COMPANY
SEVERN BANCORP, INC.
SEVERN BANCORP, INC.
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
City
SIMSBURY
SIMSBURY
COLUMBIA
COLUMBIA
COLUMBIA
STUART
STUART
STUART
CHULA VISTA
CHULA VISTA
WAYNESVILLE
WAYNESVILLE
WAYNESVILLE
WAYNESVILLE
WAYNESVILLE
SAN DIEGO
SAN DIEGO
RIVERSIDE
RIVERSIDE
BATESVILLE
BATESVILLE
AIKEN
AIKEN
AIKEN
CHARLESTON
CHARLESTON
JAMESTOWN
JAMESTOWN
JAMESTOWN
ANNAPOLIS
ANNAPOLIS
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
State
CT
CT
SC
SC
SC
FL
FL
FL
CA
CA
MO
MO
MO
MO
MO
CA
CA
CA
CA
MS
MS
SC
SC
SC
MO
MO
ND
ND
ND
MD
MD
MD
MD
MD
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
Date
27-Mar-09
11-Aug-11
16-Jan-09
20-May-09
24-Jun-09
19-Dec-08
3-Apr-12
30-May-12
23-Dec-08
1-Sep-11
13-Feb-09
10-Dec-12
11-Dec-12
11-Jan-13
26-Mar-13
9-Jan-09
14-Jul-11
9-Jan-09
15-Sep-11
26-Jun-09
29-Sep-10
19-Dec-08
29-Sep-10
31-Jul-13
20-Feb-09
22-Sep-11
1-May-09
24-Jun-13
26-Jul-13
21-Nov-08
25-Sep-13
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
1
Original Investment Type
Preferred Stock w/ Exercised Warrants
Original Investment
Amount
$4,000,000.00
Outstanding
Investment
2
Total Cash Back
Investment Status*
Amount
$0.00
$4,717,144.78
Capital Repayment / Disposition / Auction
4
(Fee)
Shares
3,5
Avg. Price
(Realized Loss) /
(Write-off)
Gain
5
Warrant Proceeds
Amount
Shares
Redeemed, in full; warrants not outstanding
$4,000,000.00
$1,000.00
2,000
$20,510.00
1,800
$1,000.00
$174,537.72
$1,315,959.00
252
1,900
$692.60
$692.60
$5,803,000.00
5,803
$6,815,000.00
6,815
$17,388,000.00
303,083
589,623
$90,000.00
90
$69,186.80
108
$1,000.00
$290,000.00
290
$1,000.00
$341,000.00
341
17,388
$1,000.00
$522,000.00
522
$18,000,000.00
18,000
$1,000.00
$50,000.00
137,966
$12,500,000.00
12,500
$1,000.00
$10,750,000.00
$49,045,470.38
200
$55,000.00
$0.00
$67,294,638.84
64,779
$1,800,000.00
$50,000,000.00
$0.00
$200,000.00
$1,400,000.00
Preferred Stock w/ Warrants
$64,779,000.00
$1,000.00
$64,779,000.00
Preferred Stock w/ Warrants
4,000
10,750,000
$1.17
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)
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
Preferred Stock w/ Exercised Warrants
$6,815,000.00
$0.00
$8,152,698.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$17,388,000.00
$0.00
$19,063,111.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$18,000,000.00
$0.00
$19,650,000.00
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,500,000.00
$0.00
$14,888,679.86
Redeemed, in full; warrants not outstanding
$14,543,635.13
625
172,970
$85,000.00
85,000
595,829
$275,000.00
$0.00
538,000
$11,150,939.74
$10,750,000.00
$720,368.55
$25,000.00
Subordinated Debentures w/ Exercised Warrants
$625,000.00
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
$27,149,136.53
Sold, in full; warrants outstanding
$23,367,267.70
Preferred Stock w/ Exercised Warrants
$7,414,000.00
$8,653,000.00
$0.00
$0.00
$0.00
$1,994,587.59
$132,967,606.41
$7,816,685.55
$347,164.00
$998.90
1,700,000
$1.00
120,000
$1,000.00
$7,414,000.00
Preferred Stock w/ Warrants
$120,000,000.00
$0.00
$25,358,333.33
$1,000.00
$120,000,000.00
Preferred Stock w/ Warrants
$1,700,000.00
$0.00
25,000
$1,700,000.00
Subordinated Debentures w/ Exercised Warrants
$25,000,000.00
23,393
$25,000,000.00
Preferred Stock w/ Warrants
7,414
($25,732.30)
$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
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
($234,574.44)
($1,660,704.00)
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
$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
Preferred Stock w/ Exercised Warrants
$30,000,000.00
$0.00
$11,900,075.00
$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
$3,000,000.00
$60,000,000.00
$3,000,000.00
$0.00
$723,033.00
$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
($21,000,000.00)
Redeemed, in full; warrants outstanding
Subordinated Debentures w/ Exercised Warrants
$1,697,000.00
$0.00
$2,030,299.18
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$50,000,000.00
$0.00
$58,008,472.23
$3,000,000.00
Redeemed, in full; warrants not outstanding
$1,697,000.00
Preferred Stock w/ Warrants
$15,000,000.00
$2,000,000,000.00
$0.00
$0.00
$17,080,708.67
$2,123,611,111.12
$1.00
$51,000.00
51,000
12,500
37,500
$1,000.00
$1,000.00
$2,500,000.00
250
$15,000,000.00
Preferred Stock w/ Exercised Warrants
1,697,000
$12,500,000.00
$37,500,000.00
15,000
$1,000.00
$750,000.00
750
$2,000,000,000.00
20,000
$100,000.00
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
47
FootNote
15,11,14
15,17,45
11
11
11
31
44
11,8,14
8,14
15
44
11
11
24,49,97
11,8,14
11
11,8,14
12,16
15,44,14
11
8
15,17,45
8
11
11,8,14
63,97
8,14
11
11,8,14
44,8,14
12,16
8
11
Institution Name
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
STERLING BANCORP
STERLING BANCORP
STERLING BANCORP
STERLING BANCSHARES, INC.
STERLING BANCSHARES, INC.
STERLING BANCSHARES, INC.
STERLING FINANCIAL CORPORATION
STERLING FINANCIAL CORPORATION
STERLING FINANCIAL CORPORATION
STEWARDSHIP FINANCIAL CORPORATION
STEWARDSHIP FINANCIAL CORPORATION
STEWARDSHIP FINANCIAL CORPORATION
STOCKMENS FINANCIAL CORPORATION
STOCKMENS FINANCIAL CORPORATION
STOCKMENS FINANCIAL CORPORATION
STONEBRIDGE FINANCIAL CORP.
STONEBRIDGE FINANCIAL CORP.
STONEBRIDGE FINANCIAL CORP.
STONEBRIDGE FINANCIAL CORP.
SUBURBAN ILLINOIS BANCORP, INC.
SUMMIT STATE BANK
SUMMIT STATE BANK
SUMMIT STATE BANK
SUN BANCORP, INC.
SUN BANCORP, INC.
SUN BANCORP, INC.
SUNTRUST BANKS, INC.
SUNTRUST BANKS, INC.
SUNTRUST BANKS, INC.
SUNTRUST BANKS, INC.
SUPERIOR BANCORP INC.
SUPERIOR BANCORP INC.
SURREY BANCORP
SURREY BANCORP
SUSQUEHANNA BANCSHARES, INC.
SUSQUEHANNA BANCSHARES, INC.
SUSQUEHANNA BANCSHARES, INC.
SUSQUEHANNA BANCSHARES, INC.
SV FINANCIAL, INC.
SV FINANCIAL, INC.
SVB FINANCIAL GROUP
SVB FINANCIAL GROUP
SVB FINANCIAL GROUP
SWORD FINANCIAL CORPORATION
SWORD FINANCIAL CORPORATION
SYNOVUS FINANCIAL CORP.
SYNOVUS FINANCIAL CORP.
SYRINGA BANCORP
TAYLOR CAPITAL GROUP
TAYLOR CAPITAL GROUP
TAYLOR CAPITAL GROUP
TCB CORPORATION/COUNTY BANK
TCB CORPORATION/COUNTY BANK
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
City
BOSTON
ST. CLOUD
ST. CLOUD
DENVER
DENVER
CHARLOTTESVILLE
CHARLOTTESVILLE
CHARLOTTESVILLE
NEW YORK
NEW YORK
NEW YORK
HOUSTON
HOUSTON
HOUSTON
SPOKANE
SPOKANE
SPOKANE
MIDLAND PARK
MIDLAND PARK
MIDLAND PARK
RAPID CITY
RAPID CITY
RAPID CITY
WEST CHESTER
WEST CHESTER
WEST CHESTER
WEST CHESTER
ELMHURST
SANTA ROSA
SANTA ROSA
SANTA ROSA
VINELAND
VINELAND
VINELAND
ATLANTA
ATLANTA
ATLANTA
ATLANTA
BIRMINGHAM
BIRMINGHAM
MOUNT AIRY
MOUNT AIRY
LITITZ
LITITZ
LITITZ
LITITZ
STERLING
STERLING
SANTA CLARA
SANTA CLARA
SANTA CLARA
HORICON
HORICON
COLUMBUS
COLUMBUS
BOISE
ROSEMONT
ROSEMONT
ROSEMONT
GREENWOOD
GREENWOOD
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
State
MA
MN
MN
CO
CO
VA
VA
VA
NY
NY
NY
TX
TX
TX
WA
WA
WA
NJ
NJ
NJ
SD
SD
SD
PA
PA
PA
PA
IL
CA
CA
CA
NJ
NJ
NJ
GA
GA
GA
GA
AL
AL
NC
NC
PA
PA
PA
PA
IL
IL
CA
CA
CA
WI
WI
GA
GA
ID
IL
IL
IL
SC
SC
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
Date
8-Jul-09
26-Jun-09
18-Jan-12
25-Sep-09
1-Sep-11
19-Dec-08
13-Apr-11
28-Dec-11
23-Dec-08
27-Apr-11
18-May-11
12-Dec-08
5-May-09
15-Jun-10
5-Dec-08
20-Aug-12
19-Sep-12
30-Jan-09
1-Sep-11
26-Oct-11
6-Feb-09
12-Jan-11
16-Mar-11
23-Jan-09
26-Mar-13
27-Mar-13
9-Apr-13
19-Jun-09
19-Dec-08
4-Aug-11
14-Sep-11
9-Jan-09
8-Apr-09
27-May-09
14-Nov-08
31-Dec-08
30-Mar-11
28-Sep-11
5-Dec-08
15-Apr-11
9-Jan-09
29-Dec-10
12-Dec-08
21-Apr-10
22-Dec-10
19-Jan-11
10-Apr-09
31-Aug-11
12-Dec-08
23-Dec-09
16-Jun-10
8-May-09
15-Sep-11
19-Dec-08
26-Jul-13
16-Jan-09
21-Nov-08
19-Jun-12
18-Jul-12
28-Aug-09
8-Sep-11
16-Jan-09
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
1
Original Investment Type
Original Investment
Amount
Outstanding
Investment
2
Total Cash Back
Investment Status*
Amount
Capital Repayment / Disposition / Auction
4
(Fee)
Shares
3,5
Avg. Price
(Realized Loss) /
(Write-off)
Gain
5
Warrant Proceeds
Amount
Shares
$60,000,000.00
2,788,104
$331,000.00
331,000
516,817
2,615,557
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
$31,495,442.29
1,245,000
$825,000.00
$0.00
$1,245,000.00
$2,857,914.52
$24,900,000.00
$1.00
$945,775.00
Subordinated Debentures w/ Exercised Warrants
758,086
Redeemed, in full; warrants not outstanding
$24,900,000.00
$11,019,000.00
42,000
$1,000.00
125,198
$1,000.00
5,738,637
$20.00
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
$34,271,875.00
$1.00
$10,000,000.00
$13,078,672.60
$0.00
$1,000.00
$1,000.00
$125,198,000.00
$0.00
$30,000,000.00
7,500
22,500
$42,000,000.00
$11,019,000.00
Preferred Stock w/ Warrants
11,019,000
$7,500,000.00
$22,500,000.00
Subordinated Debentures w/ Exercised Warrants
24,900,000
Redeemed, in full; warrants outstanding
Preferred Stock w/ Warrants
$42,000,000.00
$0.00
$47,869,108.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$125,198,000.00
$0.00
$130,542,485.91
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$303,000,000.00
$0.00
$121,757,209.63
Sold, in full; warrants not outstanding
$114,772,740.00
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$15,568,000.00
$10,973,000.00
$0.00
$0.00
$0.00
$11,400,453.22
$18,101,553.84
$2,652,816.96
($1,434,659.25)
($188,227,260.00)
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Sold, in full; warrants not outstanding
($8,554,790.97)
($514,064.34)
($25,000.00)
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
$15,000,000.00
$8,500,000.00
$15,000,000.00
$0.00
$2,083,520.25
$9,930,625.00
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
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
$2,000,000.00
13,644,000
$1.00
967,870
$1,000.00
104,823
$893.50
9,720,000
$1.00
361,172
$1,000.00
$2,000,000.00
$1,190,614,526.39
$1,000.00
$361,172,000.00
$0.00
$17,019,233.91
235,000
$9,720,000.00
$967,870,000.00
$0.00
$253,929,027.78
$1,000.00
$967,870,000.00
Preferred Stock w/ Warrants
$13,644,000.00
$0.00
$4,721,382.89
4,000
$13,644,000.00
Subordinated Debentures w/ Exercised Warrants
$235,000,000.00
$0.00
$1,000.00
$1,000.00
$235,000,000.00
Preferred Stock w/ Warrants
$4,000,000.00
$1,000.00
200,000
100,000
$4,000,000.00
Preferred Stock w/ Exercised Warrants
2,000
$200,000,000.00
$100,000,000.00
2,000
$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 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
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$11,730,000.00
$361,172,000.00
$11,730,000.00
$0.00
$690,832.08
$378,547,699.45
$2,000,000.00
$0.00
$2,384,611.11
($11,163,649.50)
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
($1,404,890.26)
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$30,000,000.00
$0.00
$3,233,333.33
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
($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
$34,000,000.00
$0.00
$40,091,342.55
($2,278,150.00)
Redeemed, in full; warrants not outstanding
48
FootNote
8,14
44
11
11,36
11,8,14
11,8,14
11
8,44,14
8,14
11
44,8,14
8,14
8,18,21,44
8,21
8,47,97
11,8,14
8
45
8
44,8,14
44,8,14
8,14
11,8,9
11,8
8,14,18
11
44,8,14
11
Institution Name
THE BANK OF KENTUCKY FINANCIAL CORPORATION
THE BARABOO BANCORPORATION, INC.
THE BARABOO BANCORPORATION, INC.
THE BARABOO BANCORPORATION, INC.
THE BARABOO BANCORPORATION, INC.
THE CONNECTICUT BANK AND TRUST COMPANY
THE CONNECTICUT BANK AND TRUST COMPANY
THE ELMIRA SAVINGS BANK, FSB
THE ELMIRA SAVINGS BANK, FSB
THE FIRST BANCORP, INC.
THE FIRST BANCORP, INC.
THE FIRST BANCORP, INC.
THE FIRST BANCORP, INC.
THE FIRST BANCSHARES, INC.
THE FIRST BANCSHARES, INC.
THE FIRST STATE BANK OF MOBEETIE
THE FIRST STATE BANK OF MOBEETIE
THE FREEPORT STATE BANK
THE FREEPORT STATE BANK
THE HARTFORD FINANCIAL SERVICES GROUP, INC.
THE HARTFORD FINANCIAL SERVICES GROUP, INC.
THE HARTFORD FINANCIAL SERVICES GROUP, INC.
THE LANDRUM COMPANY
THE LANDRUM COMPANY
THE LITTLE BANK, INCORPORATED
THE LITTLE BANK, INCORPORATED
THE LITTLE BANK, INCORPORATED
THE PNC FINANCIAL SERVICES GROUP, INC.
THE PNC FINANCIAL SERVICES GROUP, INC.
THE PNC FINANCIAL SERVICES GROUP, INC.
THE PRIVATE BANK OF CALIFORNIA
THE PRIVATE BANK OF CALIFORNIA
THE QUEENSBOROUGH COMPANY
THE QUEENSBOROUGH COMPANY
THE QUEENSBOROUGH COMPANY
THE QUEENSBOROUGH COMPANY
THE VICTORY BANCORP, INC.
THE VICTORY BANCORP, INC.
THE VICTORY BANCORP, INC.
THREE SHORES BANCORPORATION, INC.
THREE SHORES BANCORPORATION, INC.
THREE SHORES BANCORPORATION, INC.
THREE SHORES BANCORPORATION, INC.
TIB FINANCIAL CORP
TIB FINANCIAL CORP
TIDELANDS BANCSHARES, INC.
TIFTON BANKING COMPANY
TIFTON BANKING COMPANY
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TITONKA BANCSHARES, INC.
TITONKA BANCSHARES, INC.
TODD BANCSHARES, INC.
TODD BANCSHARES, INC.
TOWNEBANK
TOWNEBANK
TOWNEBANK
TREATY OAK BANCORP, INC.
TREATY OAK BANCORP, INC.
TREATY OAK BANCORP, INC.
TRIAD BANCORP, INC.
TRIAD BANCORP, INC.
TRI-COUNTY FINANCIAL CORPORATION
TRI-COUNTY FINANCIAL CORPORATION
TRINITY CAPITAL CORPORATION
TRINITY CAPITAL CORPORATION
TRINITY CAPITAL CORPORATION
TRINITY CAPITAL CORPORATION
TRINITY CAPITAL CORPORATION
TRI-STATE BANK OF MEMPHIS
TRI-STATE BANK OF MEMPHIS
TRISTATE CAPITAL HOLDINGS, INC.
TRISTATE CAPITAL HOLDINGS, INC.
TRISUMMIT BANK
TRISUMMIT BANK
TRISUMMIT BANK
TRISUMMIT BANK
TRUSTMARK CORPORATION
TRUSTMARK CORPORATION
TRUSTMARK CORPORATION
TWO RIVERS FINANCIAL GROUP, INC.
TWO RIVERS FINANCIAL GROUP, INC.
U.S. BANCORP
U.S. BANCORP
City
CRESTVIEW HILLS
BARABOO
BARABOO
BARABOO
BARABOO
HARTFORD
HARTFORD
ELMIRA
ELMIRA
DAMARISCOTTA
DAMARISCOTTA
DAMARISCOTTA
DAMARISCOTTA
HATTIESBURG
HATTIESBURG
MOBEETIE
MOBEETIE
HARPER
HARPER
HARTFORD
HARTFORD
HARTFORD
COLUMBIA
COLUMBIA
KINSTON
KINSTON
KINSTON
PITTSBURGH
PITTSBURGH
PITTSBURGH
LOS ANGELES
LOS ANGELES
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOUISVILLE
LIMERICK
LIMERICK
LIMERICK
ORLANDO
ORLANDO
ORLANDO
ORLANDO
NAPLES
NAPLES
MT. PLEASANT
TIFTON
TIFTON
HOQUIAM
HOQUIAM
HOQUIAM
HOQUIAM
HOQUIAM
HOQUIAM
TITONKA
TITONKA
HOPKINSVILLE
HOPKINSVILLE
PORTSMOUTH
PORTSMOUTH
PORTSMOUTH
AUSTIN
AUSTIN
AUSTIN
FRONTENAC
FRONTENAC
WALDORF
WALDORF
LOS ALAMOS
LOS ALAMOS
LOS ALAMOS
LOS ALAMOS
LOS ALAMOS
MEMPHIS
MEMPHIS
PITTSBURGH
PITTSBURGH
KINGSPORT
KINGSPORT
KINGSPORT
KINGSPORT
JACKSON
JACKSON
JACKSON
BURLINGTON
BURLINGTON
MINNEAPOLIS
MINNEAPOLIS
State
KY
WI
WI
WI
WI
CT
CT
NY
NY
ME
ME
ME
ME
MS
MS
TX
TX
KS
KS
CT
CT
CT
MO
MO
NC
NC
NC
PA
PA
PA
CA
CA
GA
GA
GA
GA
PA
PA
PA
FL
FL
FL
FL
FL
FL
SC
GA
GA
WA
WA
WA
WA
WA
WA
IA
IA
KY
KY
VA
VA
VA
TX
TX
TX
MO
MO
MD
MD
NM
NM
NM
NM
NM
TN
TN
PA
PA
TN
TN
TN
TN
MS
MS
MS
IA
IA
MN
MN
Date
29-May-13
16-Jan-09
10-Dec-12
11-Dec-12
11-Jan-13
19-Dec-08
19-Apr-12
19-Dec-08
25-Aug-11
9-Jan-09
24-Aug-11
27-Mar-13
8-May-13
6-Feb-09
29-Sep-10
27-Feb-09
14-Apr-10
6-Feb-09
19-Dec-12
26-Jun-09
31-Mar-10
27-Sep-10
22-May-09
18-Aug-11
23-Dec-08
31-Oct-12
11-Jan-13
31-Dec-08
10-Feb-10
5-May-10
20-Feb-09
1-Sep-11
9-Jan-09
8-Mar-13
11-Mar-13
9-Apr-13
27-Feb-09
11-Dec-09
22-Sep-11
23-Jan-09
8-Nov-12
9-Nov-12
11-Jan-13
5-Dec-08
30-Sep-10
19-Dec-08
17-Apr-09
12-Nov-10
23-Dec-08
8-Nov-12
9-Nov-12
13-Nov-12
11-Jan-13
11-Jun-13
3-Apr-09
4-Apr-12
6-Feb-09
25-Sep-13
12-Dec-08
22-Sep-11
15-May-13
16-Jan-09
15-Feb-11
21-Dec-12
27-Mar-09
22-Sep-11
19-Dec-08
22-Sep-11
27-Mar-09
7-Aug-12
9-Aug-12
10-Aug-12
11-Sep-12
3-Apr-09
13-Aug-10
27-Feb-09
26-Sep-12
3-Apr-09
22-Dec-09
29-Nov-12
11-Jan-13
21-Nov-08
9-Dec-09
30-Dec-09
29-May-09
1-Sep-11
14-Nov-08
17-Jun-09
1
Original Investment Type
Original Investment
Amount
Outstanding
Investment
2
Total Cash Back
Investment Status*
Amount
Capital Repayment / Disposition / Auction
4
(Fee)
Shares
3,5
Avg. Price
(Realized Loss) /
(Write-off)
Gain
5
Warrant Proceeds
Amount
Shares
$2,150,648.55
Preferred Stock w/ Exercised Warrants
$20,749,000.00
$0.00
$18,023,831.85
276,078
$403,161.92
$455,316.35
487
550
$792,783.00
175,742
Sold, in full; warrants not outstanding
$1,956,900.00
$11,577,672.70
3,000
17,749
$652.30
$652.30
($1,043,100.00)
($6,171,327.30)
$5,448,000.00
5,448
$1,000.00
$9,090,000.00
9,090
$1,000.00
$12,500,000.00
$2,500,000.00
$10,000,000.00
12,500
2,500
10,000
$1,000.00
$1,000.00
$1,000.00
$5,000,000.00
5,000
$1,000.00
$731,000.00
731
$1,000.00
$37,000.00
37
$301,000.00
301
$1,000.00
$15,000.00
15
$3,400,000,000.00
3,400,000
$1,000.00
$706,264,559.89
52,093,973
$15,000,000.00
15,000
$1,000.00
$750,000.00
750
$7,359,000.00
7,500
$981.20
$371,250.00
375
$7,579,200,000.00
75,792
$100,000.00
$320,372,284.16
16,885,192
$5,450,000.00
5,450
$1,000.00
$273,000.00
273
$244,225.00
$11,478,575.00
250
11,750
$976.90
$976.90
$4,806.45
$571,967.55
5
595
$2,046,000.00
2,046
$1,000.00
$61,000.00
61
$1,165,528.32
$3,877,691.40
1,312
4,365
$888.40
$888.40
($146,471.68)
($487,308.60)
$282,284.64
284
$12,119,637.37
12,120
$1,000.00
($24,880,362.63)
$40,000.00
1,106,389
$3,290,437.50
$1,580,962.50
$9,481,462.50
3,815
1,833
10,993
$862.50
$862.50
$862.50
$1,301,856.00
370,899
$2,117,000.00
2,117
$1,000.00
$106,000.00
106
$4,000,000.00
4,000
$1,000.00
$200,000.00
200
$76,458,000.00
76,458
$1,000.00
$1,500,000.00
554,330
$500,000.00
$150,000.00
3,118
150,000
$155.47
$1.00
($135,345.73)
Preferred Stock w/ Warrants
$5,448,000.00
$0.00
$6,902,866.33
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$9,090,000.00
$0.00
$10,309,575.00
Redeemed, in full; warrants outstanding
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$29,332,986.11
Redeemed, in full; warrants outstanding
Preferred Stock w/ Warrants
$5,000,000.00
$0.00
$5,411,805.56
Redeemed, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$731,000.00
$0.00
$813,086.56
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$301,000.00
$3,400,000,000.00
$15,000,000.00
$7,500,000.00
$0.00
$0.00
$0.00
$0.00
$379,458.89
$4,236,125,671.00
$17,580,291.55
$9,232,652.17
Redeemed, in full; warrants not outstanding
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
($2,618,000.00)
Redeemed, in full; warrants not outstanding
$3,700,000.00
$0.00
$34,644,476.74
$185,000.00
185
$1,000.00
$777,000.00
777
3,518
9,382
22,639
$750.20
$750.20
$750.20
$163,062.90
$1,300,776.05
$191,948.33
175
1,396
206
$1,150,000.00
1,150
$124,665.75
138
$10,000,000.00
$35,539,000.00
$1,000.00
15,540
$2,639,379.50
$7,038,845.50
$16,984,909.75
Preferred Stock w/ Exercised Warrants
3,700
$15,540,000.00
1,647,931
$600,000.00
60
Sold, in full; warrants not outstanding
($878,620.50)
($2,343,154.50)
($5,654,090.25)
($266,631.35)
Preferred Stock
$2,795,000.00
$0.00
$2,985,215.11
Redeemed, in full; warrants not outstanding
$2,795,000.00
$28,642,402.33
$1,000.00
$1,000.00
7,002
$750.00
215,000
$1,000.00
$12,000,000.00
$0.00
23,000
$215,000,000.00
$23,000,000.00
2,795
$23,000,000.00
Preferred Stock w/ Exercised Warrants
12,000
$1,000.00
$6,599,000,000.00
6,599,000
$1,000.00
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
49
FootNote
8
44,8,14
22,97
12,16
8,14,18,44,45
8,17,11
12,16,25
8
11,36
15,11,14
44,11,8
11
8
11,9,15
8
11,8
11,8,14
8
11
8,44,14
11
8,41,44
11
8,17
11,8,14
45,8,14
8,17,11
11
Institution Name
U.S. BANCORP
U.S. CENTURY BANK
UBT BANCSHARES, INC.
UBT BANCSHARES, INC.
UCBH HOLDINGS INC.
UCBH HOLDINGS INC.
UMPQUA HOLDINGS CORP.
UMPQUA HOLDINGS CORP.
UMPQUA HOLDINGS CORP.
UNION BANK & TRUST COMPANY
UNION BANK & TRUST COMPANY
UNION BANK & TRUST COMPANY
UNION FINANCIAL CORPORATION
UNION FINANCIAL CORPORATION
UNION FINANCIAL CORPORATION
UNION FIRST MARKET BANKSHARES CORPORATION
UNION FIRST MARKET BANKSHARES CORPORATION
UNION FIRST MARKET BANKSHARES CORPORATION
UNITED AMERICAN BANK
UNITED BANCORP, INC.
UNITED BANCORP, INC.
UNITED BANCORP, INC.
UNITED BANCORPORATION OF ALABAMA, INC.
UNITED BANCORPORATION OF ALABAMA, INC.
UNITED BANK CORPORATION
UNITED BANK CORPORATION
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED FINANCIAL BANKING COMPANIES, INC.
UNITED FINANCIAL BANKING COMPANIES, INC.
UNITED FINANCIAL BANKING COMPANIES, INC.
UNITY BANCORP, INC.
UNITY BANCORP, INC.
UNITY BANCORP, INC.
UNITY BANCORP, INC.
UNIVERSAL BANCORP
UNIVERSAL BANCORP
UNIVERSAL BANCORP
UNIVERSAL BANCORP
UNIVERSITY FINANCIAL CORP.
UNIVERSITY FINANCIAL CORP.
US METRO BANK
UWHARRIE CAPITAL CORP
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 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.
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
City
MINNEAPOLIS
MIAMI
MARYSVILLE
MARYSVILLE
SAN FRANCISCO
SAN FRANCISCO
PORTLAND
PORTLAND
PORTLAND
OXFORD
OXFORD
OXFORD
ALBUQUERQUE
ALBUQUERQUE
ALBUQUERQUE
BOWLING GREEN
BOWLING GREEN
BOWLING GREEN
SAN MATEO
TECUMSEH
TECUMSEH
TECUMSEH
ATMORE
ATMORE
BARNESVILLE
BARNESVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
VIENNA
VIENNA
VIENNA
CLINTON
CLINTON
CLINTON
CLINTON
BLOOMFIELD
BLOOMFIELD
BLOOMFIELD
BLOOMFIELD
ST. PAUL
ST. PAUL
GARDEN GROVE
ALBEMARLE
ALBEMARLE
ALBEMARLE
VISALIA
VISALIA
PLEASANTON
PLEASANTON
ROANOKE
ROANOKE
ROANOKE
ROANOKE
ROANOKE
ROANOKE
SAGINAW
SAGINAW
WAYNE
WAYNE
WAYNE
WAYNE
WAYNE
DALLAS
DALLAS
MIDLOTHIAN
ARLINGTON
ARLINGTON
NEWPORT NEWS
NEWPORT NEWS
NEWPORT NEWS
NEWPORT NEWS
RICHARDSON
RICHARDSON
RICHARDSON
WYOMISSING
WYOMISSING
SPOKANE
SPOKANE
CLINTON
CLINTON
CLINTON
BOSTON
BOSTON
BOSTON
State
MN
FL
KS
KS
CA
CA
OR
OR
OR
NC
NC
NC
NM
NM
NM
VA
VA
VA
CA
MI
MI
MI
AL
AL
GA
GA
GA
GA
GA
GA
GA
GA
VA
VA
VA
NJ
NJ
NJ
NJ
IN
IN
IN
IN
MN
MN
CA
NC
NC
NC
CA
CA
CA
CA
VA
VA
VA
VA
VA
VA
MI
MI
NJ
NJ
NJ
NJ
NJ
TX
TX
VA
VA
VA
VA
VA
VA
VA
TX
TX
TX
PA
PA
WA
WA
MA
MA
MA
MA
MA
MA
Date
15-Jul-09
7-Aug-09
30-Jan-09
11-Aug-11
14-Nov-08
6-Nov-09
14-Nov-08
17-Feb-10
31-Mar-10
1-May-09
18-Dec-09
22-Sep-11
29-Dec-09
25-Jul-12
2-Oct-13
19-Dec-08
18-Nov-09
23-Dec-09
20-Feb-09
16-Jan-09
19-Jun-12
18-Jul-12
23-Dec-08
3-Sep-10
22-May-09
3-Jul-12
5-Dec-08
26-Mar-13
27-Mar-13
28-Mar-13
9-Apr-13
10-Jun-13
16-Jan-09
15-Dec-10
15-Sep-11
5-Dec-08
15-May-13
3-Jul-13
28-Aug-13
22-May-09
8-Aug-13
12-Aug-13
12-Sep-13
19-Jun-09
30-Jul-10
6-Feb-09
23-Dec-08
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
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
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
1
Original Investment Type
Original Investment
Amount
Outstanding
Investment
2
Total Cash Back
Investment Status*
Amount
Capital Repayment / Disposition / Auction
4
(Fee)
Shares
3,5
Avg. Price
(Realized Loss) /
(Write-off)
Gain
5
Warrant Proceeds
Amount
Shares
$139,000,000.00
$50,236,000.00
$8,950,000.00
$50,236,000.00
$0.00
$745,311.72
$10,634,911.78
$298,737,000.00
$0.00
$7,509,920.07
$450,000.00
45
1,110,898
Full investment outstanding; warrants outstanding
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
32,679,102
$4,500,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
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
214,181
$1,000.00
$6,191,000.00
$65,000.00
65
59,000
$1,000.00
211,318
311,492
$720,000.00
720,000
$6,677.00
219,908
$283,000.00
283
$2,707,314.00
$62,145,972.22
160
$38,000.00
$0.00
$160,000.00
$1,000.00
$1,000.00
$450,000.00
$59,000,000.00
$1,000.00
600
1,579
$59,000,000.00
Preferred Stock w/ Warrants
6,191
$600,000.00
$1,579,000.00
764,778
$476,573.62
495
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$8,700,000.00
$20,600,000.00
$8,700,000.00
$0.00
$0.00
$20,315,924.72
Full investment outstanding; warrants outstanding
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$10,300,000.00
$0.00
$11,172,638.89
Redeemed, in full; warrants outstanding
$17,005,300.00
($3,594,700.00)
14,400,000
$1.00
1,576
13,078
165,346
$962.50
$962.50
$962.50
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
$1,000.00
$1,000.00
$500,000.00
500
$7,700,000.00
7,700
$1,000.00
$385,000.00
385
$2,296,800.00
5,500
$417.60
$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
$65,000.00
65
$5,421,615.27
2,532,542
$150,000.00
150
$63,481.25
143
Redeemed, in full; warrants not outstanding
$210,367,527.00
$1,000.00
$3,000,000.00
$2,658,000.00
$18,882,079.62
$0.00
10,300
$1,516,900.00
$12,587,575.00
$159,145,525.00
$0.00
$180,000,000.00
$825.50
$14,400,000.00
$14,400,000.00
Preferred Stock w/ Warrants
20,600
$10,300,000.00
Subordinated Debentures w/ Exercised Warrants
($255,079.50)
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
$5,500,000.00
$16,019,000.00
$0.00
$0.00
$2,997,090.75
$19,763,778.90
Sold, in full; warrants not outstanding
($3,203,200.00)
Redeemed, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$1,300,000.00
$0.00
$1,489,774.73
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$300,000,000.00
$0.00
$318,400,781.94
Redeemed, in full; warrants not outstanding
$1,300,000.00
$1,000.00
71,000
$1,000.00
533
4,167
$610.40
$610.40
$787,500.00
$712,500.00
788
713
$1,000.00
$1,000.00
$75,000.00
75
$25,000,000.00
25,000
$1,000.00
$1,189,813.00
367,984
$110,000,000.00
110,000
$1,000.00
$5,500,000.00
5,500
$3,000,000.00
$4,000,000.00
$3,503,795.81
3,000
$325,353.86
$2,543,620.14
$0.00
$1,000.00
$1,000.00
$1,000.00
$71,000,000.00
$3,000,000.00
$1,000.00
75,000
125,000
100,000
$3,000,000.00
Preferred Stock w/ Exercised Warrants
1,300
$75,000,000.00
$125,000,000.00
$100,000,000.00
3,000
4,000
$1,000.00
$1,000.00
$22,000,000.00
22,000
$1,000.00
$568,700.00
390,071
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$14,738,000.00
$71,000,000.00
$14,738,000.00
$0.00
$1,318,232.22
$85,190,138.89
Full investment outstanding; warrants outstanding
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
($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
$9,051,968.01
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
50
FootNote
11,16
11
8,18,21,44
8,17
11
11
11
11
11
44
8
8,14,18
8,78,11
8
11
11
8,14
45,8,14
11
Institution Name
WASHINGTON BANKING COMPANY
WASHINGTON BANKING COMPANY
WASHINGTON BANKING COMPANY
WASHINGTON FEDERAL, INC.
WASHINGTON FEDERAL, INC.
WASHINGTON FEDERAL, INC.
WASHINGTONFIRST BANKSHARES, INC.
WASHINGTONFIRST BANKSHARES, INC.
WASHINGTONFIRST BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WEBSTER FINANCIAL CORPORATION
WEBSTER FINANCIAL CORPORATION
WEBSTER FINANCIAL CORPORATION
WEBSTER FINANCIAL CORPORATION
WEBSTER FINANCIAL CORPORATION
WELLS FARGO & CO.
WELLS FARGO & CO.
WELLS FARGO & CO.
WESBANCO, INC.
WESBANCO, INC.
WESBANCO, INC.
WEST BANCORPORATION, INC.
WEST BANCORPORATION, INC.
WEST BANCORPORATION, INC.
WESTAMERICA BANCORPORATION
WESTAMERICA BANCORPORATION
WESTAMERICA BANCORPORATION
WESTAMERICA BANCORPORATION
WESTERN ALLIANCE BANCORPORATION
WESTERN ALLIANCE BANCORPORATION
WESTERN ALLIANCE BANCORPORATION
WESTERN COMMUNITY BANCSHARES, INC.
WESTERN 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
OAK HARBOR
OAK HARBOR
OAK HARBOR
SEATTLE
SEATTLE
SEATTLE
RESTON
RESTON
RESTON
WAUKESHA
WAUKESHA
WAUKESHA
WAUKESHA
WAUKESHA
WATERBURY
WATERBURY
WATERBURY
WATERBURY
WATERBURY
MINNEAPOLIS
MINNEAPOLIS
MINNEAPOLIS
WHEELING
WHEELING
WHEELING
WEST DES MOINES
WEST DES MOINES
WEST DES MOINES
SAN RAFAEL
SAN RAFAEL
SAN RAFAEL
SAN RAFAEL
LAS VEGAS
LAS VEGAS
LAS VEGAS
PALM DESERT
MONMOUTH
MONMOUTH
MONMOUTH
MONMOUTH
MONMOUTH
MEDINA
MEDINA
FAYETTEVILLE
NEW ORLEANS
NEW ORLEANS
WILMINGTON
WILMINGTON
LOS ANGELES
LOS ANGELES
LOS ANGELES
LAKE FOREST
LAKE FOREST
LAKE FOREST
HUNTSVILLE
HUNTSVILLE
HUNTSVILLE
WILMINGTON
WILMINGTON
WILMINGTON
ELKIN
ELKIN
ELKIN
ELKIN
ELKIN
YORK
YORK
SALT LAKE CITY
SALT LAKE CITY
SALT LAKE CITY
SALT LAKE CITY
State
WA
WA
WA
WA
WA
WA
VA
VA
VA
WI
WI
WI
WI
WI
CT
CT
CT
CT
CT
MN
MN
MN
WV
WV
WV
IA
IA
IA
CA
CA
CA
CA
NV
NV
NV
CA
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
16-Jan-09
12-Jan-11
2-Mar-11
14-Nov-08
27-May-09
15-Mar-10
30-Jan-09
30-Oct-09
4-Aug-11
26-Jun-09
6-Feb-13
7-Feb-13
8-Feb-13
26-Mar-13
21-Nov-08
3-Mar-10
13-Oct-10
29-Dec-10
8-Jun-11
28-Oct-08
23-Dec-09
26-May-10
5-Dec-08
9-Sep-09
23-Dec-09
31-Dec-08
29-Jun-11
31-Aug-11
13-Feb-09
2-Sep-09
18-Nov-09
21-Nov-11
21-Nov-08
27-Sep-11
23-Nov-11
23-Dec-08
23-Dec-08
29-Dec-09
8-Nov-12
9-Nov-12
11-Jan-13
15-May-09
30-Nov-12
20-Feb-09
19-Dec-08
3-Jun-11
12-Dec-08
13-May-11
12-Dec-08
3-Apr-12
20-Jun-12
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
Amount
1
Original Investment Type
Preferred Stock w/ Warrants
$26,380,000.00
Outstanding
Investment
2
Total Cash Back
Investment Status*
Amount
$0.00
$30,628,344.45
Capital Repayment / Disposition / Auction
4
(Fee)
Shares
3,5
Avg. Price
(Realized Loss) /
(Write-off)
Gain
5
Warrant Proceeds
Amount
Shares
Redeemed, in full; warrants not outstanding
$26,380,000.00
26,380
$1,000.00
$200,000,000.00
200,000
$1,000.00
$1,625,000.00
332
$18,644.66
$147,194.69
19
150
3,282,276
110,261,688
$950,000.00
439,282
$700,000.00
474,100
$878,256.00
246,698
$415,000.00
$220,749,985.18
$332,000.00
$840,374,891.73
$0.00
1,707,456
$20,388,842.06
$200,000,000.00
246,082
$15,388,874.07
Preferred Stock w/ Warrants
787,107
$335,417.06
343
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$6,633,000.00
$6,842,000.00
$0.00
$15,317,317.86
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,625,000.00
$0.00
$6,398,893.44
Sold, in full; warrants not outstanding
$13,475,000.00
13,475
$1,000.00
$4,831,002.80
$92,690.00
$290,119.70
5,212
100
313
$926.90
$926.90
$926.90
$100,000,000.00
$100,000,000.00
$200,000,000.00
100,000
100,000
200,000
$1,000.00
$1,000.00
$1,000.00
$25,000,000,000.00
25,000
$1,000,000.00
$75,000,000.00
75,000
$1,000.00
$36,000,000.00
36,000
$1,000.00
$41,863,000.00
$41,863,000.00
41,863
41,863
$1,000.00
$1,000.00
$140,000,000.00
140,000
$1,000.00
($380,997.20)
($7,310.00)
($22,880.30)
($52,138.13)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$400,000,000.00
$25,000,000,000.00
$75,000,000.00
$36,000,000.00
$83,726,000.00
$140,000,000.00
$7,290,000.00
$6,855,000.00
$4,567,000.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$7,290,000.00
$0.00
$457,333,286.51
$27,281,347,113.95
$78,804,166.67
$41,195,000.00
$87,360,236.61
$160,365,000.00
$554,083.00
$13,053,910.87
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
Redeemed, in full; warrants not outstanding
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
$1,000.00
$235,000.00
235
$6,900,000.00
2,631,579
$760,000.00
949,460
$25,600,564.15
1,643,295
$90,940.00
136
$1,800,000.00
175,105
$55,677.00
$20,000.00
91,178
128,663
$244,000.00
244
$7,666,418.51
$7,892,379,703.95
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
$4,700,000.00
$300,000,000.00
$0.00
$68,809,170.52
$250,000,000.00
$0.00
$300,704,730.81
62,158
$943.50
250,000
$1,000.00
2,720
$861.70
($376,148.80)
52,625
$915.10
($4,467,336.25)
Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$1,000.00
$2,343,851.20
$62,158,000.00
$1,000.00
330,000
$250,000,000.00
Preferred Stock w/ Warrants
300,000
$330,000,000.00
Redeemed, in full; warrants not outstanding
$58,646,694.58
Preferred Stock w/ Exercised Warrants
$2,720,000.00
$0.00
($879,700.42)
($3,511,305.42)
$2,780,391.21 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
$1,400,000,000.00
$0.00
$1,661,027,529.62
($662,235.84)
49,312
$893.00
($5,162,944.00)
Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
($722,364.96)
Redeemed, in full; warrants not outstanding
$4,871,000.00
TOTALS
$204,894,726,320.00
$2,253,185,389.88
$224,776,118,791.80
4,871
$1,000.00
$700,000,000.00
$700,000,000.00
700,000
700,000
$1,000.00
$1,000.00
$197,990,161,056.84
($33,580,752.15)
($4,651,379,873.30)
$6,888,619,711.56
51
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.
52
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.
53
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.
54
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.
55
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.
56
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.
57
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.
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.
58
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.
59
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
60
Seller
Footnote Purchase Date
6
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
6
9/29/2010
Name of Institution
City
State
Amount from CPP
Investment Description
Disposition Details
Additional Investment
Investment Amount
Pricing
Mechanism
6
6
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/29/2010
9/30/2010
Bay Springs
Okolona
Lakewood
New York
Bronx
Shreveport
Springhill
MS
MS
NY
NY
NY
LA
LA
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
New York
NY
Subordinated Debentures
$
-
$
-
$
57,000
Par
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
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
-
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
-
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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 $
8
The Magnolia State Corporation
Bancorp of Okolona, Inc.
Southern Chautauqua Federal Credit Union
Fidelis Federal Credit Union
Bethex Federal Credit Union
Shreveport Federal Credit Union
Carter Federal Credit Union
UNITEHERE Federal Credit Union
(Workers United Federal Credit Union)
North Side Community Federal Credit Union
East End Baptist Tabernacle Federal Credit Union
Community Plus Federal Credit Union
Border Federal Credit Union
Opportunities Credit Union
First Legacy Community Credit Union
Union Settlement Federal Credit Union
Southside Credit Union
D.C. Federal Credit Union
Faith Based Federal Credit Union
Greater Kinston Credit Union
Hill District Federal Credit Union
Freedom First Federal Credit Union
Episcopal Community Federal Credit Union
Vigo County Federal Credit Union
Renaissance Community Development Credit Union
Independent Employers Group Federal Credit Union
Brooklyn Cooperative Federal Credit Union
Purchase Details
570,073,000
Amount
Date
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.
61
AUTOMOTIVE INDUSTRY FINANCING PROGRAM
Exchange/Transfer/Other Details
Initial Investment
City, State
Date
Transaction Type
Seller
Description
Preferred Stock w/ Exercised
$
Warrants
Pricing
Mechanism
Amount
Date
Amount
Pricing
Mechanism
Obligor
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
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
Purchase
GMAC
Trust Preferred Securities w/
Exercised Warrants
$
2,540,000,000
Par
2,670,000,000
N/A
27 GMAC (Ally)
Description
Convertible
Preferred Stock
Amount/Equity %
Date
Type
Amount/ Proceeds
Remaining
Investment
Description
Remaining
Investment
Amount/Equity %
N/A
12/30/2009
GMAC
(Ally)
Detroit, MI
12/29/2008
Purchase
12/31/2008
Purchase
4/22/2009
Purchase
General Motors
Corporation
General Motors
Corporation
General Motors
Corporation
Debt Obligation
$
Debt Obligation w/ Additional
$
Note
Debt Obligation w/ Additional
$
Note
884,024,131
Par
13,400,000,000
Par
3/1/2011
2
Par
2,000,000,000
12/30/2009
Type
Exchange for convertible
preferred stock
Payment or Disposition1
Treasury Investment After Exchange/Transfer/Other
5/29/2009
7/10/2009
4
7/10/2009
Exchange for amended and
restated Trust Preferred
Securities
Exchange for equity interest in
GMAC
Exchange for preferred and
common stock in New GM
Exchange for preferred and
common stock in New GM
$
884,024,131
N/A
$
13,400,000,000
N/A
$
2,000,000,000
N/A
21, 22
GMAC (Ally)
$
GMAC (Ally)
3, 26,
32
$
5,937,500,000
73.8%
Common Stock
Trust Preferred
Securities
$
2,670,000,000
10,
Preferred Stock
11, 24
$
2,100,000,000
27
3/2/2011 Disposition 28
$
2,667,000,000
N/A
$
0
2,139,406,778
N/A
$
0
3
7
7
General Motors
Company
7
12/15/2010 Repayment
$
5
7/10/2009
Exchange for preferred and
common stock in New GM
$
4,000,000,000
10,
11, 25
Purchase
General Motors
Corporation
Par
6
8
7/10/2009
Exchange for preferred and
common stock in New GM
$
360,624,198
N/A
30,100,000,000
Par
7/10/2009
Exchange for preferred and
common stock in New GM
$
22,041,706,310
N/A
Transfer of debt to New GM
$
7,072,488,605
N/A
7/10/2009
Purchase
Debt Obligation w/ Additional
$
Note
360,624,198
7/10/2009
6/3/2009
General Motors
Corporation
Debt Obligation w/ Additional
$
Note
Debt left at Old GM
$
985,805,085
N/A
7
5,500,000,000 Common Stock
21.97%
$
1,637,839,844 Common Stock
17.69%
Partial Disposition 35
$
1,031,700,000 Common Stock
13.80%
Partial Disposition 36
$
3,822,724,832 Common Stock
Partial Repayment
$
360,624,198 Debt Obligation
$
6,711,864,407
$
1,000,000,000 Debt Obligation
$
5,711,864,407
1/21/2010
Partial Repayment
$
35,084,421 Debt Obligation
$
5,676,779,986
Partial Repayment
$
1,000,000,000 Debt Obligation
$
4,676,779,986
Repayment
$
4,676,779,986
$
0
60.8%
Common Stock
Detroit, MI
5/27/2009
$
Partial Disposition 34
11/18/2010 Partial Disposition
General Motors
Company
N/A
4/11/2013
4/20/2010
Par
12/21/2012 Partial Disposition 33
3/31/2010
4,000,000,000
32.04%
12/18/2009 Partial Repayment
$
1,761,495,577 Common Stock
9/13/2013
Debt Obligation w/ Additional
Note
36.9%
$
7/10/2009
General
Motors
General Motors
Corporation
11,743,303,903 Common Stock
6/12/2013
Purchase
$
11/26/2010 Partial Disposition 25
5/20/2009
25
General Motors
Holdings LLC
11, 12 Debt Obligation
$
7,072,488,605
N/A
7.32%
9
9
9
Motors Liquidation
Company
29
4/29/2009
Purchase
Chrysler Holding
4,000,000,000
-
6/10/2009
Par
-
14
Transfer of debt to New
Chrysler
$
500,000,000
N/A
19
Chrysler Holding
20
Debt obligation w/
additional note
$
3,500,000,000
$
18,890,294 Debt Obligation
$
855,882,552
Partial Repayment
$
6,713,489 Debt Obligation
$
849,169,063
$
435,097 Debt Obligation
$
848,733,966
Partial Repayment
$
10,048,968 Debt Obligation
$
838,684,999
Partial Repayment
$
11,832,877 Debt Obligation
$
826,852,122
Partial Repayment
$
1,496,500,945
Partial Repayment
$
1,464,690,823
Partial Repayment
$
1,413,554,739
Partial Repayment
$
1,369,197,029
Repayment
7/14/2009
Debt Obligation w/ Additional
$
Note
Debt Obligation w/ Additional
$
Note
874,772,846
7/14/2009
Chrysler Holding
874,917,290
$
6/17/2009
Purchase
$
144,444 Debt Obligation
5/18/2009
1/2/2009
15,887,795 Debt Obligation
$
3/17/2009
Farmington
Hills, MI
$
4/17/2009
Chrysler
FinCo
Partial Repayment
9/20/2013
13
935,805,085
890,805,085
5/22/2013
Par
$
$
10/23/2012 Partial Repayment
1,500,000,000
50,000,000 Debt Obligation
45,000,000 Debt Obligation
1/11/2012
Debt Obligation w/ Additional
$
Note
$
$
12/23/2011 Partial Repayment
Chrysler FinCo
Partial Repayment
5/3/2011
Purchase
985,805,085
Partial Repayment
12/16/2011 Partial Repayment
1/16/2009
$
3/31/2011
4/5/2011
Debt Obligation
5/14/2010
$
3,499,055
$
31,810,122
$
51,136,084
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
$
44,357,710
$
1,369,197,029
Repayment*
$
15,000,000
N/A
-
Termination and settlement
payment 20
$
1,900,000,000
N/A
-
Additional Note
$
0
62
Purchase
Chrysler Holding
5/1/2009
Purchase
Old Chrysler
5/20/2009
Purchase
Old Chrysler
4/29/2009
Debt Obligation w/ Additional
$
Note
Debt Obligation w/ Additional
$
Note
Debt Obligation w/ Additional
$
Note
280,130,642
Par
16
1,888,153,580
-
15
-
7/10/2009
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
Repayment
$
280,130,642
5/10/2010
Proceeds from sale of collateral
$
30,544,528
9/9/2010
$
Proceeds from sale of collateral
$
N/A
12/29/2010 Proceeds from sale of collateral
Chrysler
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
19, 31 Debt obligation w/
additional note &
zero coupon note
$
7,142,000,000
$
Proceeds from sale of collateral
$
9,302,185
5/24/2011
Repayment - Principal
$
Total Treasury Investment Amount $
Repayment* - Zero Coupon Note
$
Disposition
$
560,000,000
Right to recover
proceeds
N/A
100,000,000
7/21/2011
N/A
288,000,000
Total Payments $
81,344,932,551
2,065,540,000
$
46,908,861,049
Additional Proceeds * $
Total Initial Investment Amount $
6.6%
$
Repayment* - Additional Note
5/24/2011
Common equity
Termination of undrawn facility
5/24/2011
30
N/A
5,076,460,000
31
5/24/2011
Chrysler Group
LLC
0
N/A
Right to recover
7,844,409
proceeds
4/30/2012
Auburn Hills,
MI
$
Right to recover
proceeds
Right to recover
9,666,784
proceeds
403,000,000
N/A
$
0
N/A
-
28,882,377,922
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.
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.
63
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
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
Remaining Investment
Description
Type
2/11/2010
Partial
repayment
Partial
repayment
3/4/2010
Repayment5
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
$
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
Total Repayments
$
413,076,735
290,000,000
$
1,000,000,000
$
6
2
2,500,000,000
123,076,735
6
Amount
Debt Obligation w/ Additional Note
$
140,000,000
Debt Obligation w/ Additional Note
$
100,000,000
Additional Note
$
50,000,000
4/5/2010
Payment
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.
64
AUTOMOTIVE INDUSTRY FINANCING PROGRAM - GENERAL MOTORS COMPANY
COMMON STOCK DISPOSITION
Date
01/18/13 –
04/17/13
05/6/13 –
9/13/2013
Pricing Mechanism1
3
4
Number of Shares
$28.0490
58,392,078
$
1,637,839,844
$34.6461
110,336,510
$
3,822,724,832
Total Proceeds:
Proceeds2
$5,460,564,675
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.
65
TARGETED INVESTMENT PROGRAM
Seller
Footnote
Date
Name of Institution
State
Transaction
Type
New York
NY
Purchase
Charlotte
NC
Purchase
City
12/31/2008 Citigroup Inc.
Bank of America
1/16/2009 Corporation
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
$
Capital Repayment
Amount
12/9/2009
TOTAL
1
Treasury Investment Remaining After Capital
Repayment
Capital Repayment Details
2
Remaining Capital
Amount
$
20,000,000,000
$
$
20,000,000,000
$
$
Final Disposition
40,000,000,000
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
40,000,000,000
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
Date
Seller
Name of Institution
City
State
Citigroup Inc.
12/23/2009 Citigroup Inc.
New York
New York
NY
NY
Guarantee
Termination
Master Agreement
Termination Agreement
Guarantee Limit
$
$
Description
Exchange/Transfer/Other Details
Preferred Stock
5,000,000,000
w/ Warrants
Amount
$
6/9/2009
Exchange preferred stock for Trust Preferred Securities
$
trust preferred securities
w/ Warrants
4,034,000,000
9/29/2010
Exchange trust preferred
securities for trust preferred
securities
6
0
12/28/2012
7
$
Amount
Date
3
12/23/2009
5
9/30/2010 Disposition
$
1/25/2011 Warrant Auction
Trust Preferred Securities
$
w/ Warrants
Footnote
Type
$
Partial cancellation for early
termination of guarantee
Amount
Remaining
Premium
$ (1,800,000,000)
Trust Preferred
Securities w/ Warrants
$ 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
Remaining Premium
Description
2,246,000,000
4,034,000,000
Type
Payment or Disposition
Date
4
1/16/2009
Description
Footnote
2
1
Type
Premium
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.
66
AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM
(formerly referred to as Systemically Significant Failing Institutions Program)
Seller
Date
1
11/25/2008
4/17/2009
Exchange/Transfer Details
AIG
Transaction
Type
NY
Purchase
Preferred Stock w/ Warrants
(Series D)
$
40,000,000,000
Par
New York
AIG
2, 3
Purchase Details
State
New York
Name of Institution
Note
NY
Purchase
Preferred Stock w/ Warrants
(Series F)
$
29,835,000,000
Par
City
Investment Description
Investment Amount
Date
2
Transaction Type
4/17/2009
Pricing Mechanism
Exchange
Pricing
Mechanism
Amount
Investment Description
Preferred Stock w/ Warrants
(Series E)
1
$
40,000,000,000
Par
See table below for exchange/transfer details in connection with the recapitalization conducted on 1/14/2011.
Final Disposition
69,835,000,000
Transaction Type
Warrants (Series D)
Repurchase
$
25,150,923.10
3/1/2013
$
Investment
3/1/2013
TOTAL
Date
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
Final Disposition
Investment Description
Preferred Stock (Series G)
Date
Amount / Shares
$
2,000,000,000
Transaction Type
Proceeds
8
Pricing Mechanism
5/27/2011
Cancellation
$
2/14/2011
Payment
$
185,726,192
-
N/A
3/8/2011
N/A
6
1/14/2011
Common Stock (non-TARP)
Transfer
Common Stock
562,868,096
55,885,302
0
8
$
0
8
Par
Payment
$
971,506,765
Par
Payment
$
5,576,121,382
Par
Payment
$
1,521,632,096
Par
Payment
$
1,493,250,339
Par
Payment
$
2,009,932,072
Par
3/8/2011
Payment
$
1,383,888,037
Par
Payment
$
44,941,843
Par
5/24/2011
Partial Disposition
$
5,800,000,000
N/A
Partial Disposition
$
6,000,000,008
N/A
5/6/2012
Partial Disposition
$
4,999,999,993
N/A
Partial Disposition
$
749,999,972
N/A
8/3/2012
924,546,133
$
Partial Disposition
$
4,999,999,993
N/A
Partial Disposition
$
750,000,002
N/A
9/10/2012
Partial Disposition
$
17,999,999,973
N/A
Partial Disposition
$
2,699,999,965
N/A
12/14/2012
Exchange
Par
Payment
9/11/2012
Preferred Stock (Series E)
2,153,520,000
8/6/2012
1/14/2011
$
5/7/2012
5
167,623,733
7
Payment
3/8/2012
Exchange
3,375,328,432
$
Par
8/18/2011
3/15/2012
$
97,008,351
2/14/2011
ALICO Junior Preferred Interests
$
11/1/2011
N/A
10
Par
Payment
3/22/2012
Exchange
0
Par
55,833,333
3/15/2012
Preferred Stock (Series F)
5,511,067,614
$
3/8/2012
1/14/2011
7
$
Payment
9/2/2011
4
16,916,603,568
Payment
8/17/2011
$
$
Par
3/15/2011
AIA Preferred Units
Remaining Recap
Investment Amount,
Shares, or Equity %
Final Disposition
$
7,610,497,570
N/A
1,455,037,962
9
77%
1,248,141,410
11
70%
1,084,206,984
12
63%
1,059,616,821
12
61%
895,682,395
13
55%
871,092,231
13
53%
317,246,078
14
22%
234,169,156
14
16%
234,169,156
15
0%
Footnotes appear on following page.
67
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.
68
CREDIT MARKET PROGRAMS
TERM ASSET-BACKED SECURITIES LOAN FACILITY
Seller
Footnote
Date
Name of Institution
City
State
Transaction
Type
Investment Description
Investment Amount
Pricing Mechanism
Adjusted Investment
Date
Amount
2
7/19/2010
$
4,300,000,000
6/28/2012
1/15/2013
1
3/3/2009
DE
Purchase
Debt Obligation w/ Additional Note
$
20,000,000,000
4
$
1,400,000,000
$
100,000,000
$
100,000,000
100,000,000
N/A
Repayment 5
Description
Date
Amount
2/6/2013
Total Investment Amount $
TALF LLC
Wilmington
3
Final Investment Amount
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
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
$
671,194,055
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.
69
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
$
Pricing Mechanism
TBA or
PMF3
Investment Amount
Settlement Date
107.75
109
108.875
110.502
107.5
106.806
109.42
110.798
110.125
109.553
110.785
112.028
106.625
108.505
111.86
108.4375
106.75
110.198
110.088
110.821
110.515
112.476
105.875
111.584
110.759
106.5
110.5
110.875
113.838
113.9
114.006
-
3/24/2010
3/24/2010
3/24/2010
5/28/2010
4/30/2010
6/30/2010
6/30/2010
6/30/2010
7/30/2010
7/30/2010
8/30/2010
8/30/2010
9/30/2010
9/30/2010
9/30/2010
9/30/2010
10/29/2010
9/30/2010
10/29/2010
10/29/2010
9/29/2010
10/29/2010
11/30/2010
10/29/2010
11/30/2010
11/30/2010
11/30/2010
11/30/2010
12/30/2010
11/30/2010
12/30/2010
332,596,893
2, 3
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2,184
4,130
4,348
12,983
4,783
5,741
7,057
4,844
4,635
9,377
19,077
15,801
3,200
3,722
7,373
1,408
5,187
4,561
2,752
5,541
5,123
5,820
3,652
4,966
4,458
3,061
3,172
1,912
6,535
7,632
8,521
183,555
$
4,377,249
8,279,156
8,716,265
26,041,643
9,598,523
11,511,052
14,151,229
9,717,173
9,294,363
18,801,712
38,273,995
31,693,810
6,416,804
7,462,726
14,789,302
2,826,678
10,394,984
9,150,989
5,520,652
11,115,031
10,277,319
11,672,766
7,319,688
9,962,039
8,940,780
6,134,172
6,361,173
3,834,428
13,109,070
15,308,612
17,092,069
Senior Security
Proceeds 4
Total Senior Security Proceeds $
TOTAL INVESTMENT AMOUNT
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
TBA or
PMF3
-
Final Disposition
368,145,452
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.
70
CREDIT MARKET PROGRAMS
LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)
Preliminary Adjusted
Seller
Footnote
Date
1
9/30/2009
Name of Institution
City
Purchase
Investment Description
Date
Par
1/4/2010
Amount
$
2,222,222,222
Par
1/4/2010
4 $
156,250,000
Date
200,000,000
1/4/2010
Amount
1/4/2010
4 $
4 $
156,250,000
Amount
200,000,000
$
Repayment Amount
Amount
9/30/2009
Invesco Legacy Securities Master Fund, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $ 1,244,437,500
7/16/2010
$
856,000,000
$
200,000,000
1/15/2010
$
156,250,000
$
580,960,000
1/11/2010
$
34,000,000
$
1/12/2010
1
$
156,250,000
Investment After Capital Repayment
Description
Distribution or Disposition
Date
Description
$
166,000,000
$
2/18/2010
$
2,444,347
$
0
Membership Interest
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
9/30/2009
Invesco Legacy Securities Master Fund, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6
$ 2,488,875,000
9/26/2011 8 $
1,161,920,000
$
1,161,920,000
2/18/2010
$
161,386,870
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
$
Final Distribution
Distribution
Final Distribution
Distribution
Distribution
9/28/2012
Final Distribution
Adjusted Distribution
Distribution
Contingent Proceeds
9/15/2010
$
Distribution
$
20,091,872
$
5
48,922
Debt Obligation w/ Contingent
166,000,000 Proceeds
4/15/2010
3/29/2012
Proceeds
5
1/29/2010
7/8/2013
Debt Obligation w/ Contingent Proceeds
4 $
Capital Repayment Details
Repayment
Date
6/4/2013
Purchase
1,111,111,111
9
8/9/2012
DE
$
Amount
3/29/2012
Wilmington
Membership Interest
Pricing
Mechanism
7
2/24/2010
UST/TCW Senior Mortgage Securities Fund, L.P.
DE
Commitment
Amount
Final Investment
Final Commitment Amount
1/29/2010
9/30/2009
Wilmington
Transaction
State
Type
3
2/24/2010
2
UST/TCW Senior Mortgage Securities Fund, L.P.
Commitment
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
71
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
Investment After Capital Repayment
Repayment Amount
Amount
1/17/2012
$
6,577,144
$
2/14/2012
$
9,610,173
$
Description
Distribution or Disposition
Date
Description
5
3/29/2012
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
$
0
Contingent Proceeds
7/16/2012
$
62,499,688
$
1,086,987,313 Membership Interest
9/17/2012
$
152,499,238
$
934,488,075 Membership Interest
1/15/2013
$
254,581,112
$
679,906,963 Membership Interest
2/13/2013
$
436,447,818
$
243,459,145 Membership Interest
3/13/2013
$
243,459,145
$
0
9/28/2012
Membership Interest
Final Distribution
Adjusted Distribution
7/8/2013
1
284,468,750
Distribution
6/4/2013
$
Distribution
8/9/2012
3/14/2012
Distribution
3/13/2013
Distribution
10/1/2009
Wellington Management Legacy Securities PPIF Master Fund, LP
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $ 2,524,075,000
7/16/2010
$
2,298,974,000
$
2,298,974,000
6/26/2012
$
125,000,000
$
9/17/2012
$
305,000,000
$
12/6/2012
$
800,000,000
$
12/21/2012
$
630,000,000
$
1/15/2013
$
97,494,310
$
1/24/2013
$
341,479,690
$
$
5
10
Distribution
5, 11
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $ 1,244,437,500
7/16/2010
$
1,150,423,500
$
1,064,141,738
5, 11
4/17/2013
- Contingent Proceeds
1/15/2010
$
44,043
$
1,064,097,694 Membership Interest
$
712,284
$
1,063,385,410 Membership Interest
6,716,327
$
7,118,388
$
1,049,550,694 Membership Interest
$
39,999,800
$
1,009,550,894 Membership Interest
$
287,098,565
$
722,452,330 Membership Interest
$
68,749,656
$
653,702,674 Membership Interest
$
361,248,194
$
292,454,480 Membership Interest
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
69,932
Distribution
$
75,278,664
9/19/2012
Distribution
Distribution
Distribution
Distribution Refund
10/3/2012
Distribution
10
8/30/2012
$
16,195,771
$
10
8/14/2012
Debt Obligation w/ Contingent Proceeds
$
10
7/16/2012
Purchase
Distribution
5, 11
10
6/14/2012
DE
Distribution
10
5/14/2012
Wilmington
Distribution
10
$
$
4/14/2011
AllianceBernstein Legacy Securities Master Fund, L.P.
2,802,754
10
1,056,669,083 Membership Interest
3/14/2011
10/2/2009
479,509,240
$
10
2/14/2011
2
1,611
Debt Obligation w/ Contingent
2,173,974,000 Proceeds
Debt Obligation w/ Contingent
1,868,974,000 Proceeds
Debt Obligation w/ Contingent
1,068,974,000 Proceeds
Debt Obligation w/ Contingent
438,974,000 Proceeds
Debt Obligation w/ Contingent
341,479,690 Proceeds
8/13/2013
Purchase
$
5
12/21/2012
DE
1,735
10
10/1/2012
Wilmington
469
$
10
9/12/2012
AllianceBernstein Legacy Securities Master Fund, L.P.
5, 13
10
8/30/2012
10/2/2009
40,556
$
$
5, 14
7/11/2013
1
3,434,460
$
5
10
7/11/2013
2
Proceeds
Debt Obligation w/ Contingent
294,078,924 Proceeds
Debt Obligation w/ Contingent
284,468,750 Proceeds
$
5/16/2011
$
6/14/2011
5/3/2012
292,454,480
$
30,244,575
$
$
88,087
$
$
80,000,000
$
5/14/2012
$
30,000,000
$
5/23/2012
$
500,000,000
$
6/14/2012
$
44,200,000
$
6/25/2012
$
120,000,000
$
7/16/2012
$
17,500,000
$
7/27/2012
$
450,000,000
$
8/14/2012
$
272,500,000
$
- Membership Interest 10
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
72
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
Investment After Capital Repayment
Repayment Amount
$
583,467,339
Amount
$
Description
Distribution or Disposition
Date
- Contingent Proceeds
Description
5, 11
1,111,111,111
Par
3/22/2010 6 $ 1,244,437,500
7/16/2010
$
694,980,000
$
528,184,800
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $ 2,488,875,000
7/16/2010
$
1,389,960,000
$
1,053,000,000
437,915,724 Membership Interest
$
8,833,632
$
429,082,092 Membership Interest
$
10,055,653
$
419,026,439 Membership Interest
$
419,026,439
$
7/31/2012
$
175,000,000
$
8/14/2012
$
5,539,055
$
8/31/2012
$
16,000,000
$
9/17/2012
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $ 1,271,337,500
7/16/2010
$
1,243,275,000
$
1,117,399,170
$
35,000,000
$
10/15/2012
10/30/2009 AG GECC PPIF Master Fund, L.P.
1,667,352
$
$
25,334,218
$
10/18/2012
1
$
9/28/2012
$
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
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
$
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
$
2/14/2013
$
201,075,230
$
3/14/2013
Distribution
Distribution
Distribution
Distribution
Distribution
4/25/2013
Distribution
5/29/2013
Distribution
16,967
(460)
10
10
- Contingent Proceeds
87,099,565
6,862,425
$
5, 11
5, 11
$
297,511,708
$
57,378,964
$
8,289,431
$
1,433,088
$
184,431,858
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
$
$
Distribution
Proceeds
$
10
- Membership Interest 10
2/14/2012
2/21/2013
Distribution
4/19/2013
$
11/5/2012
Blackrock PPIF, L.P.
90,269,076
10/15/2012
10/2/2009
$
9/17/2012
2
8/14/2012
Distribution
5/29/2013
$
Distribution
4/25/2013
Membership Interest
11/5/2012
4/19/2013
Purchase
Distribution
2/27/2013
DE
Distribution
2/21/2013
Wilmington
11/5/2012
12/5/2012
Blackrock PPIF, L.P.
Distribution Refund
12/5/2012
10/2/2009
Distribution
8/13/2013
1
12/21/2012
5, 11
5, 11
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
$
1,052,497
$
1,230,643
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
- Contingent Proceeds
5, 11
5, 11
5, 11
73
Preliminary Adjusted
Seller
Footnote
Date
1
11/4/2009
Name of Institution
RLJ Western Asset Public/Private Master 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
$
620,578,258
9
Amount
$
620,578,258
Capital Repayment Details
Repayment
Date
3/14/2011
Investment After Capital Repayment
Repayment Amount
$
Amount
Description
Distribution or Disposition
Date
1,202,957
$
619,375,301 Membership Interest
Description
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
10/19/2012
$
122,255,550
$
10/19/2012
3/22/2010 6 $ 2,488,875,000
7/16/2010
$
1,241,156,516
$
1,241,000,000
1,111,111,111
Par
3/22/2010 6 $ 1,244,437,500
7/16/2010
$
474,550,000
$
474,550,000
$
$
11,008,652
$
$
160,493,230
$
$
103,706,836
$
$
20,637,410
$
9/21/2012
$
$
151,006,173
9/17/2012
Membership Interest
618,750,000
$
8/29/2012
Purchase
$
8/23/2012
DE
$
8/14/2012
Wilmington
13,531,530
8/9/2012
11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P.
$
7/31/2012
1
5/13/2011
$
161,866,170
$
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
2
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
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
1
12/18/2009 Oaktree PPIP Fund, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $ 1,244,437,500
7/16/2010
$
1,160,784,100
$
555,904,633
$
375,212,503
$
5/16/2013
Distribution
Distribution
Distribution
Distribution
5/16/2013
- Contingent Proceeds
$
$
Distribution
Distribution
Distribution
5, 11
5, 11
5, 11
$
147,464,888
$
148,749,256
$
549,997
$
6,789,287
$
3,718,769
$
13,750
Debt Obligation w/ Contingent
1,227,468,470 Proceeds
Debt Obligation w/ Contingent
608,718,470 Proceeds
Debt Obligation w/ Contingent
457,712,297 Proceeds
Debt Obligation w/ Contingent
446,703,645 Proceeds
Debt Obligation w/ Contingent
286,210,415 Proceeds
Debt Obligation w/ Contingent
182,503,579 Proceeds
Debt Obligation w/ Contingent
161,866,170 Proceeds
9/17/2012
3/25/2013
Distribution
9/5/2013
Par
Distribution
7/11/2013
2,222,222,222
Distribution
4/16/2013
$
Distribution
9/5/2013
Debt Obligation w/ Contingent Proceeds
11/2/2012
7/11/2013
Purchase
Distribution
4/16/2013
DE
Distribution
3/25/2013
Wilmington
Distribution
12/21/2012
RLJ Western Asset Public/Private Master Fund, L.P.
Distribution
10/19/2012
11/4/2009
- Membership Interest 10
11/2/2012
12/21/2012
2
Proceeds
10
5, 11
5, 11
5, 11
10
10
10
10
10
10
- Membership Interest 10
5, 11
5, 11
5, 11
5, 11
5, 11
$
164,629,827
$
71,462,104
$
38,536,072
$
29,999,850
$
3,999,980
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
7/15/2011
$
39,499,803
$
516,404,830 Membership Interest
$
39,387,753
$
477,017,077 Membership Interest
$
22,111,961
$
454,905,116 Membership Interest
$
32,496,972
$
422,408,144 Membership Interest
$
111,539,536
$
310,868,608 Membership Interest
$
55,540,026
$
255,328,581 Membership Interest
750,004
$
100,001
10
12/14/2012
963,411
$
10
11/15/2012
5, 11
7,143,340
10
10/15/2012
5, 11
$
$
10
9/17/2012
5, 11
10
3/14/2012
5, 11
10
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
Investment After Capital Repayment
Repayment Amount
Amount
Description
Distribution or Disposition
Date
1/15/2013
$
14,849,910
$
240,478,671 Membership Interest
4/12/2013
$
18,268,328
$
222,210,343 Membership Interest
$
70,605,973
$
151,604,370 Membership Interest
10
5/28/2013
$
119,769,362
$
31,835,008 Membership Interest
10
6/3/2013
7/16/2010
$
2,321,568,200
$
1,111,000,000
78,775,901
$
44,224,144
$
64,994,269
$
223,080,187
$
111,080,608
$
89,099,906
$
109,610,516
$
$
30,000,000,000
FINAL COMMITMENT AMOUNT
$
Distribution
Distribution
Distribution
Distribution
11,749,941
$
40,974,795
Debt Obligation w/ Contingent
311,134,469 Proceeds
5/14/2013
INITIAL COMMITMENT AMOUNT
6/14/2013
27,999,860
$
Debt Obligation w/ Contingent
420,744,985 Proceeds
$
5, 11
54,999,725
$
Debt Obligation w/ Contingent
509,844,892 Proceeds
$
5, 11
46,575,750
$
Debt Obligation w/ Contingent
620,925,500 Proceeds
$
5, 11
$
Debt Obligation w/ Contingent
844,005,687 Proceeds
$
5, 11
Debt Obligation w/ Contingent
908,999,956 Proceeds
$
Distribution
7/9/2013
3/22/2010 6 $ 2,488,875,000
Distribution
6/26/2013
Par
$
4/12/2013
2,222,222,222
$
1/15/2013
$
5, 11
Debt Obligation w/ Contingent
1,032,000,000 Proceeds
Debt Obligation w/ Contingent
953,224,099 Proceeds
12/14/2012
Debt Obligation w/ Contingent Proceeds
$
11/15/2012
Purchase
79,000,000
10/15/2012
DE
$
9/17/2012
Wilmington
7/15/2011
3/14/2012
12/18/2009 Oaktree PPIP Fund, L.P.
Distribution
6/24/2013
- Membership Interest 10
Distribution
6/3/2013
$
Distribution
5/28/2013
31,835,008
6/24/2013
7/9/2013
$
Distribution
6/26/2013
6/3/2013
Distribution
6/14/2013
2
Proceeds
10
5/14/2013
Description
10
$
311,134,469
- Contingent Proceeds
5, 11
5, 11
5, 11
5, 11
5, 11
TOTAL DISTRIBUTIONS 5
21,856,403,574
TOTAL CAPITAL REPAYMENT AMOUNT $
$
5, 11
$
444,393
$
1,960,289
$
1,375,007
$
700,004
$
293,751
$
1,024,380
$ 2,635,084,657
18,625,147,938
1/ The equity amount may be incrementally funded. Commitment amount represents Treasury's maximum obligation if the limited partners other than Treasury fund their maximum equity capital obligations.
2/ The loan may be incrementally funded. Commitment amount represents Treasury's maximum obligation if Treasury and the limited partners other than Treasury fund 100% of their maximum equity obligations.
3/ Adjusted to show Treasury's maximum obligations to a fund.
4/ On 1/4/2010, Treasury and the fund manager entered into a Winding-Up and Liquidation Agreement.
5/ Distributions after capital repayments will be considered profit and are paid pro rata (subject to prior distribution of Contingent Proceeds to Treasury) to the fund's partners, including Treasury, in proportion to their membership interests. These figures exclude pro-rata distributions to Treasury of gross investment proceeds (reported on the Dividends & Interest report), which may be made from time to time in accordance with the terms of the fund's Limited Partnership Agreement.
6/ Following termination of the TCW fund, the $3.33 billion of obligations have been reallocated to the remaining eight funds pursuant to consent letters from Treasury dated as of 3/22/2010. $133 million of maximum equity capital obligation and $267 million of maximum debt obligation were reallocated per fund, after adjustment for the $17.6 million and $26.9 million equity capital reallocations from private investors in the TCW fund to the Wellington fund and the AG GECC fund, respectively.
The $356 million of final investment in the TCW fund will remain a part of Treasury's total maximum S-PPIP investment amount.
7/ Amount adjusted to show Treasury's final capital commitment (membership interest) and the maximum amount of Treasury's debt obligation that may be drawn down in accordance with the Loan Agreement.
8/ On 09/26/2011, the General Partner notified Treasury that the Investment Period was terminated in accordance with the Limited Partnership Agreement. As a result, the Final Investment Amount, representing Treasury's debt obligation, has been reduced to the cumulative amount of debt funded.
9/ Cumulative capital drawn at end of the Investment Period.
10/ The Amount is adjusted to reflect pro-rata equity distributions that have been deemed to be capital repayments to Treasury.
11/ Distribution represents a gain on funded capital and is subject to revision pending any additional fundings of the outstanding commitment.
12/ On 08/23/2012, AllianceBernstein agreed to de-obligate its unused debt commitment. The Final Investment Amount represents the cumulative capital drawn as of the de-obligation.
13/ On, 6/5/2013, Invesco Mortgage Recovery Master Fund L.P. made a distribution to Treasury that is the result of adjustments made to positions previously held by the Invesco Legacy Securities Master Fund, L.P. “Partnership”, of which The U.S. Department of the Treasury is a Limited Partner. The adjusted distribution was made 18 months after the Final Distribution on 9/28/2012.
14/ On 7/8/2013, Invesco Mortgage Recovery Master Fund L.P. made a distribution to Treasury arising from the Settlement Agreement between Jefferies LLC and Invesco Advisers, Inc. dated as of 3/20/2013.
75
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Transactions Report - Housing Programs
For Period Ending October 24, 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
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap)
$
1
376,000,000
Pricing
Mechanism
N/A
O'Fallon
10722
10722
10722
10722
10722
10722
MO
Purchase
Financial Instrument for Home Loan Modifications
$
2,071,000,000
N/A
$
$
(6,805)
$
816,106,410 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
816,099,605 reallocation
$
(100,000)
$
815,999,605 Transfer of cap due to servicing transfer
$
(200,000)
$
815,799,605 Transfer of cap due to servicing transfer
$
(100,000)
$
815,699,605 Transfer of cap due to servicing transfer
$
(100,000)
$
815,599,605 Transfer of cap due to servicing transfer
$
200,000
$
815,799,605 Transfer of cap due to servicing transfer
$
24,800,000
$
840,599,605 Transfer of cap due to servicing transfer
$
1,900,000
$
842,499,605 Transfer of cap due to servicing transfer
$
80,000
$
842,579,605 Transfer of cap due to servicing transfer
$
8,710,000
$
$
(5,176)
$
851,289,605 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
851,284,429 reallocation
$
2,430,000
$
853,714,429 Transfer of cap due to servicing transfer
$
2,310,000
$
$
(13,961)
$
856,024,429 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
856,010,468 reallocation
$
126,940,000
$
982,950,468 Transfer of cap due to servicing transfer
$
9,990,000
$
992,940,468 Transfer of cap due to servicing transfer
$
10,650,000
$
$
(2,663)
$
1,003,590,468 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,003,587,805 reallocation
$
18,650,000
$
1,022,237,805 Transfer of cap due to servicing transfer
$
10,290,000
$
1,032,527,805 Transfer of cap due to servicing transfer
$
4,320,000
$
$
(10,116)
$
1,036,847,805 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,036,837,689 reallocation
$
840,000
$
1,037,677,689 Transfer of cap due to servicing transfer
$
1,330,000
$
1,039,007,689 Transfer of cap due to servicing transfer
$
3,620,000
$
$
(3,564)
$
1,042,627,689 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,042,624,125 reallocation
$
105,080,000
$
1,147,704,125 Transfer of cap due to servicing transfer
$
10,000
$
1,147,714,125 Transfer of cap due to servicing transfer
$
98,610,000
$
$
(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
10310
(100,000)
9/27/2013
10310
816,206,410 Transfer of cap due to servicing transfer
$
9/16/2013
10310
815,806,410 Transfer of cap due to servicing transfer
$
8/15/2013
10310
$
400,000
7/16/2013
10310
(100,000)
$
6/27/2013
10310
$
6/14/2013
10310
815,907,145 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
815,906,410 reallocation
5/16/2013
10310
$
4/16/2013
10310
(735)
3/25/2013
10310
$
3/14/2013
10310
$
2/14/2013
10310
3,600,000
1/16/2013
10310
812,307,145 Transfer of cap due to servicing transfer
$
12/27/2012
10310
$
12/14/2012
10310
100,000
11/15/2012
10310
812,207,145 Transfer of cap due to servicing transfer
$
10/16/2012
10310
$
9/27/2012
10310
(2,300,000)
8/16/2012
10310
814,507,145 Updated portfolio data from servicer
$
7/16/2012
10310
$
6/28/2012
10310
(639)
6/14/2012
10310
814,507,784 Updated portfolio data from servicer
$
5/16/2012
10310
$
4/16/2012
10310
64,400,000
3/15/2012
10310
750,107,784 Transfer of cap due to servicing transfer
$
1/13/2012
10310
$
11/16/2011
10310
(700,000)
10/14/2011
10310
750,807,784 Updated portfolio data from servicer
$
9/15/2011
10310
$
8/16/2011
10310
59,807,784
6/29/2011
10310
691,000,000 Initial FHA-HAMP cap and initial FHA-2LP cap
$
6/16/2011
10310
$
5/13/2011
10310
4,000,000
4/13/2011
10310
687,000,000 Updated portfolio data from servicer
$
3/30/2011
10310
$
3/16/2011
10310
558,310,000 Updated portfolio data from servicer
128,690,000
2/16/2011
10310
$
$
1/13/2011
10310
(355,530,000)
1/6/2011
10310
$
$
12/15/2010
10310
$
131,340,000
11/16/2010
10310
121,910,000
$
9/30/2010
10310
$
9/30/2010
10310
6/12/2009
$
284,590,000
$
Reason for Adjustment
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
7/14/2010
10310
10722
Adjusted Cap
3/26/2010
10310
10722
Cap Adjustment Amount
9/30/2009
10310
CitiMortgage, Inc.
Adjustment
Date
12/30/2009
10310
4/13/2009
Note
$
1,280,000
$
1,247,602,584 Transfer of cap due to servicing transfer
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)
$
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
7/14/2010
$
(757,680,000)
$
7/16/2010
$
(7,110,000)
$
1,011,700,000 Updated portfolio data from servicer
Transfer of cap to multiple servicers due to
1,004,590,000 servicing transfer
76
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
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
$
(14,500,000)
$
1,051,466,341 Transfer of cap due to servicing transfer
$
(1,600,000)
$
1,049,866,341 Transfer of cap due to servicing transfer
$
700,000
$
1,050,566,341 Transfer of cap due to servicing transfer
$
15,200,000
$
1,065,766,341 Transfer of cap due to servicing transfer
$
(2,900,000)
$
1,062,866,341 Transfer of cap due to servicing transfer
$
(5,000,000)
$
1,057,866,341 Transfer of cap due to servicing transfer
$
(900,000)
$
1,056,966,341 Transfer of cap due to servicing transfer
$
(1,100,000)
$
1,055,866,341 Transfer of cap due to servicing transfer
$
(1,700,000)
$
1,054,166,341 Transfer of cap due to servicing transfer
$
(600,000)
$
1,053,566,341 Transfer of cap due to servicing transfer
$
(340,000)
$
1,053,226,341 Transfer of cap due to servicing transfer
$
(2,880,000)
$
$
(5,498)
$
1,050,346,341 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,050,340,843 reallocation
$
(298,960,000)
$
751,380,843 Transfer of cap due to servicing transfer
$
263,550,000
$
1,014,930,843 Transfer of cap due to servicing transfer
$
30,000
$
$
(12,722)
$
1,014,960,843 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,014,948,121 reallocation
$
(4,020,000)
$
1,010,928,121 Transfer of cap due to servicing transfer
$
(1,460,000)
$
1,009,468,121 Transfer of cap due to servicing transfer
$
(6,000,000)
$
$
(1,916)
$
1,003,468,121 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,003,466,205 reallocation
$
(8,450,000)
$
995,016,205 Transfer of cap due to servicing transfer
$
(1,890,000)
$
$
(6,606)
$
993,126,205 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
993,119,599 reallocation
$
(3,490,000)
$
989,629,599 Transfer of cap due to servicing transfer
$
(3,630,000)
$
$
(2,161)
$
985,999,599 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
985,997,438 reallocation
$
(26,880,000)
$
959,117,438 Transfer of cap due to servicing transfer
$
(12,160,000)
$
9/27/2013
Des Moines
1,065,975,472 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,065,966,341 reallocation
9/16/2013
10722
$
7/16/2013
10722
(9,131)
6/27/2013
10722
$
6/14/2013
10722
$
4/16/2013
10722
(400,000)
3/25/2013
10722
1,066,375,472 Transfer of cap due to servicing transfer
$
3/14/2013
10722
1,073,575,472 Transfer of cap due to servicing transfer
$
2/14/2013
10722
$
(7,200,000)
12/27/2012
10722
100,000
$
12/14/2012
10722
$
11/15/2012
10722
1,073,476,503 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,073,475,472 reallocation
10/16/2012
10722
$
9/27/2012
10722
(1,031)
8/16/2012
10722
$
7/27/2012
10722
$
7/16/2012
10722
(30,500,000)
6/28/2012
10722
1,103,976,503 Transfer of cap due to servicing transfer
$
6/14/2012
10722
$
5/16/2012
10722
(4,600,000)
4/16/2012
10722
1,108,576,503 Transfer of cap due to servicing transfer
$
3/15/2012
10722
$
2/16/2012
10722
(10,500,000)
1/13/2012
10722
1,119,076,503 Updated portfolio data from servicer
$
12/15/2011
10722
$
11/16/2011
10722
(981)
10/14/2011
10722
1,119,077,484 Transfer of cap due to servicing transfer
$
9/15/2011
10722
$
8/16/2011
10722
(3,200,000)
7/14/2011
10722
1,122,277,484 Transfer of cap due to servicing transfer
$
6/29/2011
10722
$
6/16/2011
10722
(1,400,000)
5/13/2011
10722
1,123,677,484 Updated portfolio data from servicer
$
4/13/2011
10722
$
3/30/2011
10722
1,022,390,000 Initial FHA-HAMP cap and initial FHA-2LP cap
101,287,484
3/16/2011
10722
$
$
2/16/2011
10722
$
32,400,000
1/13/2011
10722
(8,300,000)
$
1/6/2011
10722
$
11/16/2010
10722
$
10/15/2010
10722
10423
Reason for Adjustment
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
(6,300,000)
9/30/2010
10722
10423
Adjusted Cap
$
9/30/2010
10722
10423
Cap Adjustment Amount
9/15/2010
10722
Wells Fargo Bank, NA
Adjustment
Date
8/13/2010
10722
4/13/2009
Note
$
(610)
$
946,957,438 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
946,956,828 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
77
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
10423
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
(800,000)
$
5,123,887,058 Transfer of cap due to servicing transfer
$
(610,000)
$
5,123,277,058 Transfer of cap due to servicing transfer
$
(2,040,000)
$
$
(39,923)
$
5,121,237,058 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,121,197,135 reallocation
$
(120,000)
$
$
(104,111)
$
5,121,077,135 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,120,973,024 reallocation
$
(1,590,000)
$
5,119,383,024 Transfer of cap due to servicing transfer
$
(2,910,000)
$
5,116,473,024 Transfer of cap due to servicing transfer
$
(1,150,000)
$
$
(16,392)
$
5,115,323,024 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,115,306,632 reallocation
$
(3,350,000)
$
5,111,956,632 Transfer of cap due to servicing transfer
$
(820,000)
$
5,111,136,632 Transfer of cap due to servicing transfer
$
(270,000)
$
$
(58,709)
$
5,110,866,632 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,110,807,923 reallocation
$
(40,000)
$
5,110,767,923 Transfer of cap due to servicing transfer
$
(5,320,000)
$
5,105,447,923 Transfer of cap due to servicing transfer
$
(1,260,000)
$
$
(20,596)
$
5,104,187,923 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,104,167,327 reallocation
$
(1,200,000)
$
5,102,967,327 Transfer of cap due to servicing transfer
$
(30,000)
$
5,102,937,327 Transfer of cap due to servicing transfer
$
(10,760,000)
$
$
(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
Ft. Washington
5,124,687,058 Transfer of cap due to servicing transfer
$
9/27/2013
10423
$
9/16/2013
10423
(1,000,000)
8/15/2013
10423
5,125,687,058 Transfer of cap due to servicing transfer
$
7/16/2013
10423
$
6/27/2013
10423
(200,000)
6/14/2013
10423
5,125,887,058 Transfer of cap due to servicing transfer
$
5/16/2013
10423
$
4/16/2013
10423
(300,000)
3/25/2013
10423
5,126,187,058 Transfer of cap due to servicing transfer
$
3/14/2013
10423
$
2/14/2013
10423
(200,000)
1/16/2013
10423
5,126,387,058 Transfer of cap due to servicing transfer
$
12/27/2012
10423
$
12/14/2012
10423
(200,000)
11/15/2012
10423
5,126,587,058 Transfer of cap due to servicing transfer
$
10/16/2012
10423
$
9/27/2012
10423
200,000
8/16/2012
10423
5,126,387,058 Transfer of cap due to servicing transfer
$
6/28/2012
10423
$
6/14/2012
10423
1,400,000
5/16/2012
10423
5,124,987,058 Transfer of cap due to servicing transfer
$
4/16/2012
10423
$
3/15/2012
10423
5,126,087,058 Transfer of cap due to servicing transfer
(1,100,000)
2/16/2012
10423
$
$
1/13/2012
10423
$
(2,300,000)
12/15/2011
10423
(63,856)
$
11/16/2011
10423
$
5,128,450,914 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,128,387,058 reallocation
10/14/2011
10423
10315
Reason for Adjustment
$
9/15/2011
10423
10315
Adjusted Cap
(600,000)
8/16/2011
10423
$
7/14/2011
10423
10315
Cap Adjustment Amount
6/29/2011
10423
GMAC Mortgage, Inc.
Adjustment
Date
6/16/2011
10423
4/13/2009
Note
$
(780,000)
$
5,091,390,626 Transfer of cap due to servicing transfer
6/12/2009
$
384,650,000
$
9/30/2009
$
2,537,240,000
$
12/30/2009
$
(1,679,520,000)
$
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
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
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
$
1,500,183,461 Transfer of cap due to servicing transfer
78
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
10458
10458
10458
10458
10458
10458
4/16/2009
Ocwen Loan Servicing LLC
16
Iselin
10500
10500
10500
10500
10500
10500
10500
10500
10500
Purchase
Financial Instrument for Home Loan Modifications
$
3,552,000,000
N/A
West Palm Beach
10500
NJ
FL
Purchase
Financial Instrument for Home Loan Modifications
$
659,000,000
N/A
2
514,700,000 Updated portfolio data from servicer
$
491,720,000 Transfer of cap due to multiple servicing transfers
$
1,800,000
$
493,520,000 Transfer of cap due to servicing transfer
$
9,800,000
$
503,320,000 Initial FHA-HAMP cap and initial FHA-2LP cap
$
116,222,668
$
619,542,668 Updated portfolio data from servicer
$
100,000
$
619,642,668 Transfer of cap due to servicing transfer
$
8,900,000
$
628,542,668 Updated portfolio data from servicer
$
(556)
$
628,542,112 Updated portfolio data from servicer
$
2,300,000
$
630,842,112 Transfer of cap due to servicing transfer
$
700,000
$
$
(654)
$
631,542,112 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
631,541,458 reallocation
$
2,100,000
$
$
(6,144)
$
633,641,458 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
633,635,314 reallocation
$
200,000
$
633,835,314 Transfer of cap due to servicing transfer
$
(100,000)
$
633,735,314 Transfer of cap due to servicing transfer
$
(700,000)
$
633,035,314 Transfer of cap due to servicing transfer
$
17,500,000
$
650,535,314 Transfer of cap due to servicing transfer
$
(100,000)
$
650,435,314 Transfer of cap due to servicing transfer
$
100,000
$
650,535,314 Transfer of cap due to servicing transfer
$
(17,500,000)
$
633,035,314 Transfer of cap due to servicing transfer
$
(760,000)
$
632,275,314 Transfer of cap due to servicing transfer
$
(354,290,000)
$
$
(1,831)
$
277,985,314 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
277,983,483 reallocation
$
(10,120,000)
$
267,863,483 Transfer of cap due to servicing transfer
$
(10,000)
$
$
(4,701)
$
267,853,483 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
267,848,782 reallocation
$
(9,220,000)
$
258,628,782 Transfer of cap due to servicing transfer
$
(30,000)
$
258,598,782 Transfer of cap due to servicing transfer
$
60,000
$
$
(788)
$
258,658,782 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
258,657,994 reallocation
$
(610,000)
$
3/25/2013
10458
$
(22,980,000)
1/16/2013
10458
(513,660,000)
$
12/27/2012
10458
$
12/14/2012
10458
$
11/15/2012
10458
(156,050,000)
10/16/2012
10458
$
$
9/27/2012
10458
$
(57,720,000)
8/16/2012
10458
355,710,000
$
7/16/2012
10458
$
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
6/28/2012
10458
$
6/14/2012
10458
254,380,000
5/16/2012
10458
$
4/16/2012
10458
1,235,215,446 Transfer of cap due to servicing transfer
$
3/15/2012
10458
$
225,040,000
2/16/2012
10458
(197,220,000)
$
12/15/2011
10458
$
9/15/2011
10458
1,432,437,876 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,432,435,446 reallocation
8/16/2011
10458
$
7/14/2011
10458
$
(2,430)
6/29/2011
10458
(66,500,000)
$
4/13/2011
10458
$
3/30/2011
10458
$
3/16/2011
10458
$
(7,105)
1/13/2011
10458
30,000
$
1/6/2011
10458
$
12/15/2010
10458
1,498,934,819 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,498,914,981 reallocation
10/15/2010
10458
$
9/30/2010
10458
(19,838)
9/30/2010
10458
$
9/15/2010
10458
$
6/17/2009
N/A
(80,000)
7/16/2010
407,000,000
1,499,014,819 Transfer of cap due to servicing transfer
$
7/14/2010
$
1,499,044,819 Transfer of cap due to servicing transfer
$
6/16/2010
Financial Instrument for Home Loan Modifications
$
(30,000)
3/26/2010
Purchase
60,000
$
12/30/2009
TX
$
9/30/2009
Irving
10458
1,498,990,251 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,498,984,819 reallocation
10/15/2013
10315
$
9/27/2013
10315
(5,432)
9/16/2013
10315
$
6/27/2013
10315
1,498,950,251 Transfer of cap due to servicing transfer
$
6/14/2013
10315
$
40,000
3/25/2013
10315
(1,200,000)
$
3/14/2013
10315
$
2/14/2013
10315
Updated due to quarterly assessment and
1,500,150,251 reallocation
1/16/2013
10315
$
12/27/2012
10315
Chase Home Finance, LLC
Reason for Adjustment
(33,210)
12/14/2012
10315
4/13/2009
Adjusted Cap
$
11/15/2012
10315
Saxon Mortgage Services, Inc.
Cap Adjustment Amount
9/27/2012
10315
4/13/2009
Adjustment
Date
$
(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)
$
1,498,944,981 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,498,937,876 reallocation
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
1/6/2011
$
(1,020)
$
1,143,251,720 Updated portfolio data from servicer
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
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
Note
10500
6/29/2011
$
(10,733)
$
1,835,624,254 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,835,613,521 reallocation
$
14,560,000
$
1,850,173,521 Transfer of cap due to servicing transfer
$
13,240,000
$
1,863,413,521 Transfer of cap due to servicing transfer
$
2,080,000
$
$
(1,015)
$
1,865,493,521 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,865,492,506 reallocation
$
410,000
$
1,865,902,506 Transfer of cap due to servicing transfer
$
960,000
$
1,866,862,506 Transfer of cap due to servicing transfer
$
83,880,000
$
$
(1,877)
$
10512
10512
10512
10512
13
10512
13
Simi Valley
CA
Purchase
Financial Instrument for Home Loan Modifications
$
1,864,000,000
N/A
2,747,618,558 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
2,747,615,741 reallocation
$
14,710,000
$
2,762,325,741 Transfer of cap due to servicing transfer
$
66,170,000
$
$
(276)
$
2,828,495,741 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
2,828,495,465 reallocation
$
267,580,000
$
3,096,075,465 Transfer of cap due to servicing transfer
$
5,540,000
$
$
162,680,000
$
$
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
$
800,390,000
$
2,433,020,000 Initial 2MP cap
$
(829,370,000)
$
1,603,650,000 Updated portfolio data from servicer
$
(366,750,000)
$
$
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
$
222,941,084
$
1,555,141,084 Updated portfolio data from servicer
$
(2,199)
$
$
(2,548)
$
$
(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
$
(300,000)
$
1,554,813,000 Transfer of cap due to servicing transfer
$
(120,700,000)
$
1,434,113,000 Transfer of cap due to servicing transfer
$
(900,000)
$
1,433,213,000 Transfer of cap due to servicing transfer
$
(200,000)
$
6/28/2012
10512
$
5/16/2012
10512
(2,817)
11/16/2011
10512
$
10/14/2011
10512
$
8/16/2011
10512
(190,000)
6/29/2011
10512
2,747,808,558 Transfer of cap due to servicing transfer
$
3/30/2011
10512
$
1/6/2011
10512
2,728,838,558 Transfer of cap due to servicing transfer
18,970,000
9/30/2010
10512
$
$
6/12/2009
N/A
$
620,860,000
9/30/2010
798,900,000
157,237,929
$
7/14/2010
$
$
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
3/26/2010
Financial Instrument for Home Loan Modifications
10512
1000832
1,827,234,254 Transfer of cap due to servicing transfer
$
1/26/2010
Purchase
10512
1000832
$
8,390,000
12/30/2009
CA
10512
1000832
10,080,000
$
9/30/2009
Simi Valley
1000832
$
10/15/2013
10500
1000832
1,817,160,562 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,817,154,254 reallocation
9/27/2013
10500
1000832
$
9/16/2013
10500
1000832
(6,308)
7/16/2013
10500
1000832
$
6/27/2013
10500
1000832
$
6/14/2013
10500
1000832
354,290,000
5/16/2013
10500
1000832
1,462,870,562 Transfer of cap due to servicing transfer
$
4/9/2013
10500
1000832
$
4/16/2013
10500
1000832
123,530,000
3/25/2013
10500
1000832
1,339,340,562 Transfer of cap due to servicing transfer
$
3/14/2013
10500
$
2/14/2013
10500
100,000
1/16/2013
10500
1,339,240,562 Transfer of cap due to servicing transfer
$
12/27/2012
10500
$
12/14/2012
10500
400,000
11/15/2012
10500
1,338,840,562 Transfer of cap due to servicing transfer
$
10/16/2012
10500
$
9/27/2012
10500
1,144,040,562 Transfer of cap due to servicing transfer
194,800,000
8/16/2012
10500
$
$
7/16/2012
10500
(100,000)
6/28/2012
10500
$
$
6/14/2012
10500
$
(10,044)
5/16/2012
10500
(1,114)
$
3/15/2012
10500
$
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
2/16/2012
10500
Bank of America, N.A. (BAC Home Loans Servicing, LP)
Reason for Adjustment
$
1/13/2012
10500
4/17/2009 as
amended on
1/26/2010
Adjusted Cap
900,000
10/14/2011
10500
$
3/30/2011
10500
Bank of America, N.A.
Cap Adjustment Amount
2/16/2011
10500
4/17/2009 as
amended on
1/26/2010
Adjustment
Date
$
(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
80
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
1000832
Adjustment
Date
Cap Adjustment Amount
4/13/2011
5/13/2011
6/16/2011
Adjusted Cap
Reason for Adjustment
6,350,155,436 Transfer of cap due to servicing transfer
$
$
(82,347)
$
6,349,155,436 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,349,073,089 reallocation
$
(200,000)
$
6,348,873,089 Transfer of cap due to servicing transfer
$
(3,400,000)
$
6,345,473,089 Transfer of cap due to servicing transfer
$
(1,400,000)
$
6,344,073,089 Transfer of cap due to servicing transfer
$
120,600,000
$
$
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
12/15/2011
$
(17,600,000)
$
6,765,829,378 Transfer of cap due to servicing transfer
2/16/2012
$
(2,100,000)
$
6,763,729,378 Transfer of cap due to servicing transfer
3/15/2012
$
(23,900,000)
$
6,739,829,378 Transfer of cap due to servicing transfer
4/16/2012
$
(63,800,000)
$
6,676,029,378 Transfer of cap due to servicing transfer
5/16/2012
$
20,000
$
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)
$
9/27/2013
$
(15,411)
$
7,408,970,254 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
7,408,954,843 reallocation
10/15/2013
$
(79,200,000)
$
10/16/2013
$
260,902
$
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
1000832
$
(1,000,000)
10/19/2011
1000832
300,000
$
10/14/2011
1000832
$
9/15/2011
1000832
6,349,855,436 Transfer of cap due to servicing transfer
8/16/2011
1000832
$
7/14/2011
1000832
200,000
6/29/2011
1000832
$
$
(2,625)
$
10/19/2011
$
(155,061,221)
$
6/12/2009
$
87,130,000
$
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
4/20/2009
Home Loan Services, Inc.
Pittsburgh
PA
Purchase
Financial Instrument for Home Loan Modifications
$
319,000,000
N/A
10316
10316
10316
10316
10316
10316
10316
10316
10316
10316
10316
10316
10316
10316
4/20/2009
Wilshire Credit Corporation
13
Beaverton
10205
10205
10205
10205
10205
10205
10205
OR
Purchase
Financial Instrument for Home Loan Modifications
$
366,000,000
N/A
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
$
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
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
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
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
81
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
10205
9/30/2010
10205
13
Saint Paul
MN
Purchase
Financial Instrument for Home Loan Modifications
$
156,000,000
N/A
Santa Ana
10503
10503
CA
Purchase
Financial Instrument for Home Loan Modifications
$
195,000,000
N/A
(213)
$
$
(250)
$
147,094,877 Updated portfolio data from servicer
Updated due to quarterly assessment and
147,094,627 reallocation
$
1,200,000
$
148,294,627 Transfer of cap due to servicing transfer
$
100,000
$
$
(2,302)
$
148,394,627 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
148,392,325 reallocation
$
1,900,000
$
150,292,325 Transfer of cap due to servicing transfer
$
200,000
$
150,492,325 Transfer of cap due to servicing transfer
$
200,000
$
150,692,325 Transfer of cap due to servicing transfer
$
400,000
$
151,092,325 Transfer of cap due to servicing transfer
$
900,000
$
151,992,325 Transfer of cap due to servicing transfer
$
100,000
$
152,092,325 Transfer of cap due to servicing transfer
$
3,260,000
$
155,352,325 Transfer of cap due to servicing transfer
$
920,000
$
$
(1,622)
$
156,272,325 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
156,270,703 reallocation
$
110,000
$
156,380,703 Transfer of cap due to servicing transfer
$
5,120,000
$
$
(4,509)
$
161,500,703 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
161,496,194 reallocation
$
8,810,000
$
170,306,194 Transfer of cap due to servicing transfer
$
2,910,000
$
$
(802)
$
173,216,194 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
173,215,392 reallocation
$
10,210,000
$
$
(3,023)
$
$
140,000
$
$
(1,077)
$
183,562,369 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
183,561,292 reallocation
$
7,210,000
$
190,771,292 Transfer of cap due to servicing transfer
$
6,730,000
$
$
(388)
$
197,501,292 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
197,500,904 reallocation
10/15/2013
10309
147,095,090 Transfer of cap due to servicing transfer
$
9/27/2013
10309
$
8/15/2013
10309
400,000
7/16/2013
10309
146,695,090 Updated portfolio data from servicer
$
6/27/2013
10309
136,510,000 Initial FHA-2LP cap and FHA-HAMP
$
5/16/2013
10309
$
10,185,090
3/25/2013
10309
5,600,000
$
2/14/2013
10309
$
12/27/2012
10309
130,910,000 Initial 2MP cap
11/15/2012
10309
$
10/16/2012
10309
$
34,600,000
9/27/2012
10309
2,200,000
$
8/16/2012
10309
$
7/16/2012
10309
$
6/28/2012
10309
210,000
6/14/2012
10309
$
5/16/2012
10309
118,120,000 Updated portfolio data from servicer
$
3/15/2012
10309
$
(24,220,000)
2/16/2012
10309
13,080,000
$
11/16/2011
10309
$
10/14/2011
10309
$
$
9/15/2011
10309
130,780,000
(116,750,000)
7/14/2011
10309
$
$
6/29/2011
10309
(64,990,000) $
1,657,394 Termination of SPA
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
6/16/2011
10309
10503
$
5/13/2011
10309
10503
$
6/17/2009
3/30/2011
10309
10503
$
(162,895,068)
1/6/2011
10309
10503
(2,779)
$
10/15/2010
10309
10503
$
10/19/2011
9/30/2010
10309
10503
$
9/30/2010
10309
10503
$
(294)
9/10/2010
10309
10503
(247)
$
8/13/2010
10309
10503
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
$
95,990,000 Transfer of cap due to servicing transfer
7/16/2010
10309
10503
164,555,782 Updated portfolio data from servicer
7/14/2010
10309
10503
$
3/26/2010
10309
10503
$
68,565,782
9/30/2009
10309
10503
(100,000)
$
12/30/2009
10309
10503
$
6/29/2011
10205
Reason for Adjustment
Transfer of cap to Green Tree Servicing LLC due
96,090,000 to servicing transfer
$
1/6/2011
10205
Carrington Mortgage Services, LLC
Adjusted Cap
(210,000)
3/30/2011
10205
4/27/2009
$
8/13/2010
10205
Green Tree Servicing LLC
Cap Adjustment Amount
7/16/2010
10205
4/24/2009
Adjustment
Date
$
3,610,000
$
201,110,904 Transfer of cap due to servicing transfer
6/17/2009
$
9/30/2009
$
90,990,000
$
12/30/2009
$
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
3/26/2010
$
74,520,000
$
354,510,000 Updated portfolio data from servicer
7/14/2010
$
(75,610,000)
$
278,900,000 Updated portfolio data from servicer
8/13/2010
$
1,100,000
$
280,000,000 Transfer of cap due to servicing transfer
9/30/2010
$
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
(63,980,000) $
93,900,000 Updated portfolio data from servicer
Transfer of cap from Wilshire Credit Corporation
94,110,000 due to servicing transfer
96,310,000 Transfer of cap due to servicing transfer
183,425,392 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
183,422,369 reallocation
82
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
10503
Adjusted Cap
Reason for Adjustment
10231
10231
10231
10231
10231
10231
Nationstar Mortgage LLC
17
Lewisville
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
(1,880,000)
$
$
(1,522)
$
306,254,950 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
306,253,428 reallocation
$
270,000
$
306,523,428 Transfer of cap due to servicing transfer
$
5,370,000
$
$
(525)
$
311,893,428 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
311,892,903 reallocation
$
(240,000)
$
311,652,903 Transfer of cap due to servicing transfer
$
(338,450,000) $
$
(11,860,000) $
$
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
$
9,150,000
$
478,170,000 Updated portfolio data from servicer
$
(76,870,000)
$
401,300,000 Updated portfolio data from servicer
$
400,000
$
401,700,000 Initial FHA-HAMP cap
$
(8,454,269)
$
393,245,731 Updated portfolio data from servicer
$
(342)
$
$
(374)
$
393,245,389 Updated portfolio data from servicer
Updated due to quarterly assessment and
393,245,015 reallocation
$
18,000,000
$
$
(3,273)
$
411,245,015 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
411,241,742 reallocation
$
(200,000)
$
411,041,742 Transfer of cap due to servicing transfer
$
100,000
$
411,141,742 Transfer of cap due to servicing transfer
$
(500,000)
$
$
(1,768)
$
410,641,742 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
410,639,974 reallocation
$
(90,000)
$
410,549,974 Transfer of cap due to servicing transfer
$
(134,230,000)
$
276,319,974 Transfer of cap due to servicing transfer
$
(166,976,849)
$
$
1
$
109,343,125 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
109,343,126 reallocation
$
(230,000)
$
$
(1)
$
109,113,126 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
109,113,125 reallocation
$
(20,000)
$
109,093,125 Transfer of cap due to servicing transfer
$
(50,000)
$
6/27/2013
10231
308,134,950 Transfer of cap due to servicing transfer
$
6/14/2013
10231
306,564,950 Transfer of cap due to servicing transfer
$
5/16/2013
10231
$
1,570,000
3/25/2013
10231
(70,000)
$
11/15/2012
10231
$
9/27/2012
10231
306,639,129 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
306,634,950 reallocation
8/23/2012
10231
$
8/16/2012
10231
(4,179)
7/16/2012
10231
$
6/28/2012
10231
$
4/16/2012
10231
(30,000)
3/15/2012
10231
306,669,129 Transfer of cap due to servicing transfer
$
10/14/2011
10231
301,709,129 Transfer of cap due to servicing transfer
$
6/29/2011
10231
$
4,960,000
5/13/2011
10231
(10,000)
$
3/30/2011
10231
$
1/6/2011
10231
301,720,232 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
301,719,129 reallocation
9/30/2010
10231
$
6/17/2009
N/A
(1,103)
9/1/2010
798,000,000
$
7/14/2010
$
$
3/26/2010
Financial Instrument for Home Loan Modifications
2,040,000
12/30/2009
Purchase
299,680,232 Transfer of cap due to servicing transfer
$
9/30/2009
CO
298,180,232 Transfer of cap due to servicing transfer
$
10/15/2013
Littleton
$
1,500,000
9/27/2013
10503
Aurora Loan Services, LLC
2,880,000
$
9/16/2013
10503
$
7/16/2013
10503
295,306,864 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
295,300,232 reallocation
6/27/2013
10503
$
6/14/2013
10503
(6,632)
5/16/2013
10503
$
4/16/2013
10503
295,336,864 Transfer of cap due to servicing transfer
$
3/25/2013
10503
$
(30,000)
3/14/2013
10503
1,690,000
$
2/14/2013
10503
$
1/16/2013
10503
293,649,384 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
293,646,864 reallocation
12/27/2012
10503
$
12/14/2012
10503
$
(2,520)
11/15/2012
10503
2,240,000
$
10/16/2012
10503
$
9/27/2012
10503
291,409,384 Transfer of cap due to servicing transfer
8/16/2012
10503
$
7/16/2012
10503
850,000
6/28/2012
RBS
$
6/14/2012
10503
5/28/2009
Cap Adjustment Amount
5/16/2012
10503
5/1/2009
Adjustment
Date
$
(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
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
10406
$
(12,806)
$
696,827,842 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
696,815,036 reallocation
$
160,000
$
696,975,036 Transfer of cap due to servicing transfer
$
50,000
$
$
(1,882)
$
697,025,036 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
697,023,154 reallocation
$
(10,000)
$
697,013,154 Transfer of cap due to servicing transfer
$
(280,000)
$
$
(6,437)
$
696,733,154 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
696,726,717 reallocation
$
30,000
$
696,756,717 Transfer of cap due to servicing transfer
$
(1,510,000)
$
695,246,717 Transfer of cap due to servicing transfer
$
(1,070,000)
$
$
(2,099)
$
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
$
23,179,591
$
$
490,000
$
717,844,209 Transfer of cap due to servicing transfer
$
289,070,000
$
1,006,914,209 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,006,913,091 reallocation
10326
10326
10326
10326
10326
10326
10326
27,920,000
$
$
(1,390,000)
$
44,070,000 Updated portfolio data from servicer
$
(13,870,000)
$
$
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
$
586,954
$
31,186,954 Updated portfolio data from servicer
$
(34)
$
$
(37)
$
31,186,920 Updated portfolio data from servicer
Updated due to quarterly assessment and
31,186,883 reallocation
$
100,000
$
6/29/2011
10326
$
4/13/2011
10326
$
3/30/2011
N/A
(1,860,000) $
1/6/2011
19,400,000
$
9/30/2010
$
9/30/2009
9/30/2010
Financial Instrument for Home Loan Modifications
$
63,440,000
7/14/2010
Purchase
(1,118)
$
3/26/2010
TX
$
12/30/2009
Fort Worth
$
(329)
$
31,286,883 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
31,286,554 reallocation
1,070,353,091 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
17,540,000 initial cap
Updated portfolio data from servicer & HAFA
45,460,000 initial cap
9/15/2011
Glen Allen
VA
Purchase
Financial Instrument for Home Loan Modifications
$
16,520,000
N/A
$
5,690,000
$
48,515,330 Transfer of cap due to servicing transfer
$
20,000
$
$
(178)
$
48,535,330 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
48,535,152 reallocation
$
3,190,000
$
51,725,152 Transfer of cap due to servicing transfer
$
(260,000)
$
$
(713)
$
51,465,152 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
51,464,439 reallocation
$
1,330,000
$
52,794,439 Transfer of cap due to servicing transfer
$
100,000
$
52,894,439 Transfer of cap due to servicing transfer
$
20,000
$
$
(264)
$
52,914,439 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
52,914,175 reallocation
$
6,080,000
$
58,994,175 Transfer of cap due to servicing transfer
$
(2,130,000)
$
$
(101)
$
56,864,175 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
56,864,074 reallocation
10/15/2013
10326
42,826,241 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
42,825,330 reallocation
9/27/2013
10326
$
9/16/2013
10326
$
(911)
7/16/2013
10326
2,160,000
$
6/27/2013
10326
$
6/14/2013
10326
40,666,554 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
40,666,241 reallocation
5/16/2013
10326
$
4/16/2013
10326
(313)
3/25/2013
10326
$
3/14/2013
10326
$
2/14/2013
10326
8,060,000
12/27/2012
10326
32,606,554 Transfer of cap due to servicing transfer
$
11/15/2012
10326
$
10/16/2012
10326
420,000
9/27/2012
10326
32,186,554 Transfer of cap due to servicing transfer
$
7/16/2012
10326
29,386,554 Transfer of cap due to servicing transfer
$
6/28/2012
10326
$
2,800,000
6/14/2012
10326
(1,900,000)
$
5/16/2012
10326
$
11/16/2011
10326
10052
$
9/27/2013
10326
10052
166,976,849
10/15/2013
10406
10052
529,850,993 Transfer of cap due to servicing transfer
$
9/16/2013
10406
10052
398,400,993 Transfer of cap due to servicing transfer
$
7/9/2013
10406
10052
$
131,450,000
7/16/2013
10406
10052
(2,580,000)
$
6/27/2013
10406
$
6/14/2013
10406
400,983,950 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
400,980,993 reallocation
5/16/2013
10406
$
4/16/2013
10406
(2,957)
3/25/2013
10406
$
3/14/2013
10406
$
2/14/2013
10406
(2,380,000)
12/27/2012
10406
403,363,950 Transfer of cap due to servicing transfer
$
12/14/2012
10406
403,273,950 Transfer of cap due to servicing transfer
$
11/15/2012
10406
$
90,000
9/27/2012
10406
(100,000)
$
8/23/2012
10406
$
8/16/2012
10406
403,373,950 Transfer of cap due to servicing transfer
7/16/2012
10406
$
6/28/2012
10406
10052
Reason for Adjustment
100,000
6/14/2012
10406
CCO Mortgage, a division of RBS Citizens NA
Adjusted Cap
$
5/16/2012
10406
6/17/2009
Cap Adjustment Amount
3/15/2012
10406
Residential Credit Solutions, Inc.
Adjustment
Date
11/16/2011
10406
6/12/2009
Note
$
6,910,000
$
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)
$
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
63,774,074 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
29,590,000 initial cap
Updated portfolio data from servicer & HAFA
175,100,000 initial cap
84
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
$
65,640,000
$
69,130,000 Updated portfolio data from servicer
$
(14,470,000)
$
54,660,000 Updated portfolio data from servicer
$
(8,860,000)
$
45,800,000 Updated portfolio data from servicer
$
(4,459,154)
$
41,340,846 Updated portfolio data from servicer
$
(4,300,000)
$
37,040,846 Updated portfolio data from servicer
$
(51)
$
$
(65)
$
$
(616)
$
$
(462)
$
9/27/2012
$
(1,270)
$
12/27/2012
$
(214)
$
3/25/2013
$
(812)
$
6/27/2013
$
(306)
$
9/27/2013
$
(110)
$
12/30/2009
$
2,020,000
$
37,040,795 Updated portfolio data from servicer
Updated due to quarterly assessment and
37,040,730 reallocation
Updated due to quarterly assessment and
37,040,114 reallocation
Updated due to quarterly assessment and
37,039,652 reallocation
Updated due to quarterly assessment and
37,038,382 reallocation
Updated due to quarterly assessment and
37,038,168 reallocation
Updated due to quarterly assessment and
37,037,356 reallocation
Updated due to quarterly assessment and
37,037,050 reallocation
Updated due to quarterly assessment and
37,036,940 reallocation
Updated 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
$
9/27/2012
$
372,177
$
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
10131
10131
10131
10131
Port Angeles
WA
Purchase
Financial Instrument for Home Loan Modifications
$
770,000
N/A
10224
10224
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
The Villages
FL
Purchase
Financial Instrument for Home Loan Modifications
$
30,000
N/A
10002
10002
10002
10002
10002
San Jose
CA
Purchase
Financial Instrument for Home Loan Modifications
$
70,000
N/A
10014
10014
10014
10014
10014
10014
10014
10014
10014
10014
10014
10014
Miamisburg
10349
(42,210,000)
$
6/28/2012
10131
10349
$
6/29/2011
10131
10349
(11,300,000) $
3/30/2011
10131
10349
$
1/6/2011
10131
10349
$
9/30/2009
N/A
10131
10349
(62)
12/15/2010
57,000,000
10131
National City Bank
$
$
9/30/2010
$
10131
6/26/2009
(175)
7/14/2010
Financial Instrument for Home Loan Modifications
10131
Technology Credit Union
$
$
4/9/2010
Purchase
10131
6/26/2009
(475)
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 portfolio data from servicer & HPDP
45,700,000 initial cap
Updated portfolio data from servicer & HAFA
3,490,000 initial cap
3/26/2010
PR
10131
Citizens First Wholesale Mortgage Company
$
$
12/30/2009
San Juan
10131
6/26/2009
$
(131)
9/27/2013
10052
Wescom Central Credit Union
(807)
$
6/27/2013
10052
6/19/2009
$
3/25/2013
10052
First Federal Savings and Loan
Reason for Adjustment
9/27/2012
10052
6/19/2009
Adjusted Cap
$
(2)
$
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 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
6/28/2012
10052
RG Mortgage Corporation
Cap Adjustment Amount
12/27/2012
10052
6/17/2009
Adjustment
Date
OH
Purchase
Financial Instrument for Home Loan Modifications
$
294,980,000
N/A
$
(309)
$
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 portfolio data from servicer & HPDP
20,000 initial cap
Updated portfolio data from servicer & HAFA
610,000 initial cap
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
10349
558,728,195 Transfer of cap due to servicing transfer
$
558,528,195 Transfer of cap due to servicing transfer
$
(200,000)
$
$
(9,197)
$
558,328,195 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
558,318,998 reallocation
$
300,000
$
558,618,998 Transfer of cap due to servicing transfer
$
(300,000)
$
558,318,998 Transfer of cap due to servicing transfer
$
200,000
$
558,518,998 Transfer of cap due to servicing transfer
$
(100,000)
$
558,418,998 Transfer of cap due to servicing transfer
$
200,000
$
558,618,998 Transfer of cap due to servicing transfer
$
(10,000)
$
6/28/2012
10349
$
(200,000)
6/14/2012
10349
(2,300,000)
$
3/15/2012
10349
$
2/16/2012
10349
561,029,176 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
561,028,195 reallocation
1/13/2012
10349
$
11/16/2011
10349
$
(981)
10/14/2011
10349
(100,000)
$
6/29/2011
10349
$
6/16/2011
10349
561,129,176 Transfer of cap due to servicing transfer
5/13/2011
10349
$
4/13/2011
10349
$
(6,771)
$
558,608,998 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
558,602,227 reallocation
Updated due to quarterly assessment and
558,583,760 reallocation
Updated due to quarterly assessment and
558,580,655 reallocation
Updated due to quarterly assessment and
558,568,942 reallocation
Updated due to quarterly assessment and
558,564,549 reallocation
Updated due to quarterly assessment and
558,562,984 reallocation
Updated 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
9/27/2012
Financial Instrument for Home Loan Modifications
$
44,260,000
N/A
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
(2,050,236,344)
$
$
(54,767)
$
9/30/2009
$
23,850,000
$
$
43,590,000
$
$
34,540,000
$
146,240,000 Updated portfolio data from servicer
$
1,010,000
$
147,250,000 Initial 2MP cap
$
(34,250,000)
$
113,000,000 Updated portfolio data from servicer
$
600,000
$
113,600,000 Initial FHA-2LP cap
$
(15,252,303)
$
98,347,697 Updated portfolio data from servicer
$
(70)
$
$
(86)
$
98,347,627 Updated portfolio data from servicer
Updated due to quarterly assessment and
98,347,541 reallocation
$
400,000
$
98,747,541 Transfer of cap due to servicing transfer
$
100,000
$
6/29/2011
Purchase
$
3/12/2010
5/13/2011
FL
$
4/13/2011
Coral Gables
692,640,000
3/30/2011
3
1000642
$
$
1/6/2011
1000642
723,880,000
9/30/2010
1000642
$
9/30/2010
N/A
$
9/30/2009
7/14/2010
634,010,000
(1,565)
5/7/2010
$
$
$
3/26/2010
Financial Instrument for Home Loan Modifications
(4,393)
12/30/2009
Purchase
$
$
2/17/2010
IA
(11,713)
12/30/2009
Des Moines
$
$
9/27/2013
10349
$
(3,105)
6/27/2013
10349
(18,467)
$
3/25/2013
10349
$
12/27/2012
10349
Bayview Loan Servicing, LLC
Reason for Adjustment
200,000
3/30/2011
10349
7/1/2009
Adjusted Cap
$
3/16/2011
10349
Wachovia Mortgage, FSB
Cap Adjustment Amount
2/16/2011
10349
7/1/2009
Adjustment
Date
$
(771)
$
98,847,541 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
98,846,770 reallocation
9/15/2011
Lake National Bank
OH
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
85,786,770 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
85,786,262 reallocation
$
2,660,000
$
$
(1,249)
$
88,446,262 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
88,445,013 reallocation
$
160,000
$
88,605,013 Transfer of cap due to servicing transfer
$
6,970,000
$
95,575,013 Transfer of cap due to servicing transfer
$
13,590,000
$
$
(298)
$
109,165,013 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
109,164,715 reallocation
$
90,000
$
109,254,715 Transfer of cap due to servicing transfer
$
3,250,000
$
112,504,715 Transfer of cap due to servicing transfer
$
830,000
$
$
(1,023)
$
113,334,715 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
113,333,692 reallocation
$
1,490,000
$
114,823,692 Transfer of cap due to servicing transfer
$
660,000
$
115,483,692 Transfer of cap due to servicing transfer
$
7,470,000
$
$
(308)
$
122,953,692 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
122,953,384 reallocation
$
21,430,000
$
144,383,384 Transfer of cap due to servicing transfer
$
11,730,000
$
$
(91)
$
156,113,384 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
156,113,293 reallocation
10/15/2013
Mentor
$
9/27/2013
1000667
7/10/2009
(508)
9/16/2013
1000667
$
7/16/2013
1000667
$
6/27/2013
1000667
1,810,000
6/14/2013
1000667
83,976,770 Transfer of cap due to servicing transfer
$
5/16/2013
1000667
$
4/16/2013
1000667
30,000
3/25/2013
1000667
83,946,770 Transfer of cap due to servicing transfer
$
3/14/2013
1000667
$
2/14/2013
1000667
200,000
1/16/2013
1000667
83,746,770 Transfer of cap due to servicing transfer
$
12/27/2012
1000667
$
12/14/2012
1000667
(100,000)
11/15/2012
1000667
83,846,770 Transfer of cap due to servicing transfer
$
10/16/2012
1000667
$
9/27/2012
1000667
2,400,000
7/16/2012
1000667
81,446,770 Transfer of cap due to servicing transfer
$
6/28/2012
1000667
$
6/14/2012
1000667
900,000
5/16/2012
1000667
80,546,770 Transfer of cap due to servicing transfer
$
4/16/2012
1000667
99,446,770 Transfer of cap due to servicing transfer
$
3/15/2012
1000667
$
(18,900,000)
2/16/2012
1000667
600,000
$
1/13/2012
1000667
$
10/14/2011
1000667
$
5,430,000
$
9/30/2009
$
150,000
$
161,543,293 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
250,000 initial cap
86
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
$
(4)
$
8/23/2012
$
(424,504)
$
$
(10,000) $
$
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
$
(10,000)
$
1,100,000 Updated portfolio data from servicer
$
(400,000)
$
700,000 Updated portfolio data from servicer
$
170,334
$
870,334 Updated portfolio data from servicer
$
(1)
$
$
(1)
$
$
(12)
$
$
(9)
$
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
9/14/2012
$
(821,722)
$
$
18,530,000
$
$
24,510,000
$
48,589 Termination of SPA
Updated portfolio data from servicer & HPDP
42,010,000 initial cap
Updated portfolio data from servicer & HAFA
66,520,000 initial cap
3/26/2010
$
18,360,000
$
84,880,000 Updated portfolio data from servicer
7/14/2010
$
(22,580,000)
$
62,300,000 Updated portfolio data from servicer
9/30/2010
$
(8,194,261)
$
54,105,739 Updated portfolio data from servicer
1/6/2011
$
(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
IN
Purchase
Financial Instrument for Home Loan Modifications
$
23,480,000
N/A
1000957
1000957
1000957
1000957
1000957
1000957
1000957
11
1000957
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
$
(1,003)
$
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 portfolio data from servicer & HPDP
80,000 initial cap
Updated portfolio data from servicer & HAFA
130,000 initial cap
9/27/2012
170,000
N/A
10612
10612
10612
10612
10612
Chicago
IL
Purchase
Financial Instrument for Home Loan Modifications
$
1,410,000
N/A
$
$
(234)
$
9/30/2009
$
(90,000) $
$
50,000
$
$
100,000
$
230,000 Updated portfolio data from servicer
$
(130,000)
$
100,000 Updated portfolio data from servicer
$
45,056
$
145,056 Updated portfolio data from servicer
5/20/2011
$
(656)
9/30/2010
Financial Instrument for Home Loan Modifications
$
$
7/14/2010
Purchase
60,000
3/26/2010
OH
$
$
12/30/2009
West Salem
(1,740)
9/27/2013
1000834
$
$
6/27/2013
1000834
$
(460)
4/9/2013
1000834
(2,745)
$
3/25/2013
1000834
$
12/27/2012
1000834
10257
(6)
$
9/30/2009
12
Evansville
10257
$
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
12/30/2009
10029
10257
$
6/28/2012
10029
10257
(1)
6/29/2011
N/A
10029
10257
$
3/30/2011
870,000
10029
10257
$
1/6/2011
$
10029
10257
(1)
9/30/2010
Financial Instrument for Home Loan Modifications
10029
10257
435,167 Updated portfolio data from servicer
$
7/14/2010
Purchase
10029
10257
$
3/26/2010
FL
10029
10257
35,167
12/30/2009
Delray Beach
ShoreBank
400,000 Updated portfolio data from servicer
$
9/30/2009
12
10029
7/17/2009
430,000 Updated portfolio data from servicer
$
6/28/2012
10355
Farmers State Bank
$
(30,000)
6/29/2011
10355
10355
7/17/2009
50,000
$
3/30/2011
10355
PNC Bank, National Association
$
1/6/2011
10355
7/17/2009
Updated portfolio data from servicer & HAFA
380,000 initial cap
7/14/2010
10355
MorEquity, Inc.
Reason for Adjustment
$
$
3/26/2010
10355
7/17/2009
Adjusted Cap
130,000
12/30/2009
10355
IBM Southeast Employees' Federal Credit Union
Cap Adjustment Amount
9/30/2010
10355
7/10/2009
Adjustment
Date
$
(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)
$
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
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
10257
10727
10727
10727
10727
10727
10727
10727
1,304,100,000 Updated portfolio data from servicer
$
1,690,508
$
1,305,790,508 Updated portfolio data from servicer
$
300,000
$
1,306,090,508 Transfer of cap due to servicing transfer
$
(100,000)
$
1,305,990,508 Transfer of cap due to servicing transfer
$
(1,173)
$
1,305,989,335 Updated portfolio data from servicer
$
(500,000)
$
$
(1,400)
$
1,305,489,335 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,305,487,935 reallocation
$
3,100,000
$
$
(12,883)
$
1,308,587,935 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,308,575,052 reallocation
MI
Purchase
Financial Instrument for Home Loan Modifications
$
4,210,000
N/A
$
(470,000)
$
1,305,886,674 Transfer of cap due to servicing transfer
$
(80,000)
$
$
(22,494)
$
1,305,806,674 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,305,784,180 reallocation
$
(260,000)
$
1,305,524,180 Transfer of cap due to servicing transfer
$
(30,000)
$
1,305,494,180 Transfer of cap due to servicing transfer
$
(50,000)
$
$
(3,676)
$
1,305,444,180 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,305,440,504 reallocation
$
(80,000)
$
1,305,360,504 Transfer of cap due to servicing transfer
$
20,000
$
1,305,380,504 Transfer of cap due to servicing transfer
$
(84,160,000)
$
$
(12,821)
$
1,221,220,504 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,221,207,683 reallocation
$
(621,110,000)
$
600,097,683 Transfer of cap due to servicing transfer
$
(19,120,000)
$
$
(1,947)
$
580,977,683 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
580,975,736 reallocation
$
(14,870,000)
$
9/27/2013
Southfield
1,306,365,052 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,306,356,674 reallocation
7/16/2013
10727
$
6/27/2013
10727
(8,378)
5/16/2013
10727
$
4/16/2013
10727
$
3/25/2013
10727
(10,000)
3/14/2013
10727
1,306,375,052 Transfer of cap due to servicing transfer
$
2/14/2013
10727
$
1/16/2013
10727
(1,100,000)
12/27/2012
10727
1,307,475,052 Transfer of cap due to servicing transfer
$
12/14/2012
10727
1,307,575,052 Transfer of cap due to servicing transfer
$
11/15/2012
10727
$
(100,000)
10/16/2012
10727
(1,000,000)
$
9/27/2012
10727
$
8/16/2012
10727
$
(655)
$
566,105,736 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
566,105,081 reallocation
Updated portfolio data from servicer & HPDP
5,990,000 initial cap
Updated portfolio data from servicer & HAFA
8,830,000 initial cap
1000455
1000455
1000455
1000455
1000455
1000455
St. Louis
MO
Purchase
Financial Instrument for Home Loan Modifications
$
6,460,000
N/A
$
$
(256)
$
$
(43)
$
$
(162)
$
$
(60)
$
$
(21)
$
9/30/2009
$
$
6,750,000
$
$
(6,340,000)
$
780,000 Updated portfolio data from servicer
$
(180,000)
$
600,000 Updated portfolio data from servicer
$
125,278
$
$
(1)
$
$
(4)
$
$
(1)
$
$
(1)
$
3/25/2013
1000455
$
(94)
9/27/2012
1000455
(129)
$
6/28/2012
1000455
$
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 portfolio data from servicer & HPDP
370,000 initial cap
Updated portfolio data from servicer & HAFA
7,120,000 initial cap
6/29/2011
N/A
$
3/30/2011
860,000
(14)
9/30/2010
$
$
7/14/2010
Financial Instrument for Home Loan Modifications
$
3/26/2010
Purchase
(12)
12/30/2009
CA
8,558,280 Updated portfolio data from servicer
$
9/27/2013
San Diego
$
6/27/2013
10439
2,658,280
3/25/2013
10439
5,900,000 Updated portfolio data from servicer
$
12/27/2012
10439
11,630,000 Updated portfolio data from servicer
$
9/27/2012
10439
$
(5,730,000)
6/28/2012
10439
2,800,000
$
6/29/2011
10439
$
3/30/2011
10439
$
1/6/2011
10439
$
2,840,000
9/30/2010
10439
1,780,000
7/14/2010
10439
10439
$
$
3/26/2010
10439
9/30/2009
12/30/2009
10439
10455
$
7/16/2012
10727
10455
1,594,090,000 Updated portfolio data from servicer
(289,990,000)
6/28/2012
10727
FIRST BANK
$
5/16/2012
10727
7/29/2009
$
(2,324,244)
11/16/2011
10727
Mission Federal Credit Union
(50)
$
9/15/2011
10727
7/22/2009
$
10/14/2011
10727
Mortgage Center, LLC
$
$
6/29/2011
10727
$
124,820,000
4/13/2011
10727
250,450,000
$
3/30/2011
10727
$
2/16/2011
10727
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
1/6/2011
N/A
(53,670,000) $
11/16/2010
1,272,490,000
$
10/15/2010
$
9/30/2009
9/30/2010
Financial Instrument for Home Loan Modifications
4/9/2013
7/14/2010
Purchase
$
Reason for Adjustment
3/26/2010
TX
(13)
Updated due to quarterly assessment and
2,671,280 reallocation
Updated due to quarterly assessment and
2,671,230 reallocation
12/30/2009
Coppell
10727
7/22/2009
Adjusted Cap
$
3/25/2013
12
10257
7/22/2009
Cap Adjustment Amount
12/27/2012
10257
Homeward Residential, Inc. (American Home Mortgage
Servicing, Inc)
Adjustment
Date
$
47,663
$
9/30/2009
$
(1,530,000) $
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 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
(490,000) $
88
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
10455
Charlotte
NC
Purchase
Financial Instrument for Home Loan Modifications
$
85,020,000
N/A
1000902
1000902
1000902
1000902
1000902
JP Morgan Chase Bank, NA
Lewisville
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
TX
Purchase
Financial Instrument for Home Loan Modifications
$
2,699,720,000
N/A
1,260,000
$
$
2,070,000
$
4,360,000 Updated portfolio data from servicer
$
(3,960,000)
$
400,000 Updated portfolio data from servicer
$
180,222
$
580,222 Updated portfolio data from servicer
$
(1)
$
$
(1)
$
$
(8)
$
$
(6)
$
$
(17)
$
$
(3)
$
$
(11)
$
$
(4)
$
$
(1)
$
9/30/2009
$
$
26,160,000
$
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 portfolio data from servicer & HPDP
47,320,000 initial cap
Updated portfolio data from servicer & HAFA
73,480,000 initial cap
$
9,820,000
$
83,300,000 Updated portfolio data from servicer
$
(46,200,000)
$
37,100,000 Updated portfolio data from servicer
$
(28,686,775)
$
8,413,225 Updated portfolio data from servicer
12/3/2010
1000505
$
9/30/2010
1000505
$
7/14/2010
1000505
(1)
$
3/26/2010
1000505
$
9/30/2009
12/30/2009
1000505
$
9/27/2013
1000505
(5)
6/27/2013
1000505
$
$
3/25/2013
1000505
(1)
12/27/2012
1000505
$
$
9/27/2012
1000505
(5)
6/28/2012
1000505
$
$
6/29/2011
1000505
$
(3)
3/30/2011
N/A
(15)
$
1/6/2011
1,090,000
$
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 portfolio data from servicer & HPDP
1,030,000 initial cap
Updated portfolio data from servicer & HAFA
2,290,000 initial cap
9/30/2010
$
$
7/14/2010
Financial Instrument for Home Loan Modifications
(2)
3/26/2010
Purchase
$
12/30/2009
IN
8,123,114 Updated portfolio data from servicer
$
6/27/2013
West Lafayette
1000505
$
(2)
3/25/2013
10455
2,523,114
$
12/27/2012
10455
$
9/27/2012
10455
5,600,000 Updated portfolio data from servicer
6/28/2012
10455
$
6/29/2011
10455
7/31/2009
Reason for Adjustment
(2,470,000)
3/30/2011
10455
Wachovia Bank, N.A.
Adjusted Cap
$
1/6/2011
10455
7/29/2009
Cap Adjustment Amount
9/30/2010
10455
Purdue Employees Federal Credit Union
Adjustment
Date
7/14/2010
10455
7/29/2009
Note
$
(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
$
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)
$
3,726,466,536 Transfer of cap due to servicing transfer
(60,000) $
(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
89
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
1001020
1001020
1001020
1001020
1001020
1001020
695,570,000 Initial FHA-HAMP cap and initial FHA-2LP cap
$
(8,006,457)
$
687,563,543 Updated portfolio data from servicer
$
(100,000)
$
687,463,543 Transfer of cap due to servicing transfer
$
(4,400,000)
$
683,063,543 Updated portfolio data from servicer
$
(802)
$
683,062,741 Updated portfolio data from servicer
$
(900,000)
$
682,162,741 Transfer of cap due to servicing transfer
$
(4,000,000)
$
$
(925)
$
678,162,741 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
678,161,816 reallocation
$
(122,900,000)
$
$
(8,728)
$
555,261,816 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
555,253,088 reallocation
554,653,088 Transfer of cap due to servicing transfer
1000609
1000609
1000609
12
1000609
North Highlands
CA
Purchase
Financial Instrument for Home Loan Modifications
$
674,000,000
N/A
180,000
$
$
(350,000)
$
$
20,000
$
270,000 Updated portfolio data from servicer
$
(70,000)
$
200,000 Updated portfolio data from servicer
$
90,111
$
$
(3)
$
$
(2)
$
$
(7)
$
$
(1)
$
$
(4)
$
$
(2)
$
$
(1)
$
$
290,000
$
$
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 portfolio data from servicer & HPDP
430,000 initial cap
Updated portfolio data from servicer & HAFA
640,000 initial cap
$
170,000
$
810,000 Updated portfolio data from servicer
$
(10,000)
$
800,000 Updated portfolio data from servicer
$
(74,722)
$
725,278 Updated portfolio data from servicer
$
(1)
$
$
(1)
$
725,277 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,276 reallocation
$
(200,000)
$
6/29/2011
1000609
$
4/13/2011
1000609
$
9/30/2009
N/A
$
(519,211,309)
3/30/2011
140,000
(600,000)
$
1/6/2011
$
$
10/19/2011
9/30/2010
Financial Instrument for Home Loan Modifications
1000609
10717
$
7/14/2010
Purchase
1000609
10717
13,100,000
3/26/2010
CA
1000609
10717
682,470,000 Transfer of cap to Saxon Mortgage Services, Inc.
$
12/30/2009
Oakland
10717
$
9/27/2013
1000840
10717
683,100,000 Updated portfolio data from servicer
(630,000)
6/27/2013
1000840
10717
$
$
3/25/2013
1000840
10717
(392,140,000)
12/27/2012
1000840
10717
$
$
9/27/2012
1000840
10717
$
(134,560,000)
6/28/2012
N/A
1000840
10717
502,430,000
$
6/29/2011
420,000
1000840
10717
$
3,444,957,724 Transfer of cap due to servicing transfer
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
9/30/2010
$
1000840
10717
$
(10,000) $
7/14/2010
Financial Instrument for Home Loan Modifications
1000840
10717
(77,990,000)
$
3/26/2010
Purchase
1000840
HomEq Servicing
$
12/30/2009
IN
1000840
8/5/2009
3,522,948,448 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,522,947,724 reallocation
9/30/2009
14
Warsaw
Oakland Municipal Credit Union
$
7/14/2011
1001020
8/5/2009
(724)
6/29/2011
1001020
$
5/13/2011
1001020
$
3/30/2011
1001020
(99,960,000)
3/16/2011
1001020
3,622,908,448 Transfer of cap due to servicing transfer
$
2/16/2011
1001020
3,622,928,448 Transfer of cap due to servicing transfer
$
1/6/2011
1001020
$
(20,000)
12/15/2010
1001020
(103,240,000)
$
10/15/2010
1001020
$
9/30/2009
N/A
3,726,172,226 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,726,168,448 reallocation
9/30/2010
707,380,000
$
9/30/2010
$
(3,778)
7/16/2010
Financial Instrument for Home Loan Modifications
$
7/14/2010
Purchase
$
3/26/2010
TX
(50,000)
12/30/2009
Lewisville
1001020
3,726,222,226 Transfer of cap due to servicing transfer
$
10/15/2013
10706
3,726,342,226 Transfer of cap due to servicing transfer
$
9/27/2013
10706
$
(120,000)
9/16/2013
10706
(110,000)
$
8/15/2013
10706
$
7/16/2013
10706
Updated due to quarterly assessment and
3,726,452,226 reallocation
6/27/2013
10706
$
6/14/2013
10706
Lake City Bank
Reason for Adjustment
(14,310)
5/16/2013
10706
8/5/2009
Adjusted Cap
$
4/16/2013
10706
EMC Mortgage Corporation
Cap Adjustment Amount
3/25/2013
10706
7/31/2009
Adjustment
Date
$
(7)
$
7/22/2011
$
(515,201)
$
9/30/2009
$
(121,190,000) $
12/30/2009
$
(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
3/26/2010
$
199,320,000
$
715,840,000 Updated portfolio data from servicer
7/14/2010
$
(189,040,000)
$
526,800,000 Updated portfolio data from servicer
9/30/2010
$
38,626,728
$
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)
$
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
371,084,724 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
371,071,996 reallocation
90
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
10717
10438
10438
10438
10438
10438
10438
Calasbasa
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
CA
Purchase
Financial Instrument for Home Loan Modifications
$
6,210,000
N/A
$
1,049,982,764 Transfer of cap due to servicing transfer
$
800,000
$
1,050,782,764 Updated portfolio data from servicer
$
(1,286)
$
1,050,781,478 Updated portfolio data from servicer
$
8,800,000
$
$
(1,470)
$
1,059,581,478 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,059,580,008 reallocation
$
(3,300,000)
$
1,056,280,008 Transfer of cap due to servicing transfer
$
(300,000)
$
1,055,980,008 Transfer of cap due to servicing transfer
$
(700,000)
$
$
(13,097)
$
1,055,280,008 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,055,266,911 reallocation
$
(200,000)
$
1,055,066,911 Transfer of cap due to servicing transfer
$
(2,900,000)
$
1,052,166,911 Transfer of cap due to servicing transfer
$
(300,000)
$
1,051,866,911 Transfer of cap due to servicing transfer
$
(500,000)
$
1,051,366,911 Transfer of cap due to servicing transfer
$
(2,600,000)
$
1,048,766,911 Transfer of cap due to servicing transfer
$
(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)
$
$
(26,467)
$
$
(4,466)
$
$
(16,922)
$
$
(6,386)
$
9/27/2013
10438
(800,000)
6/27/2013
10438
1,050,782,764 Updated portfolio data from servicer
$
3/25/2013
10438
$
12/27/2012
10438
(115,017,236)
9/27/2012
10438
1,165,800,000 Transfer of cap to due to servicing transfer
$
8/16/2012
10438
$
6/28/2012
10438
(1,000,000)
2/16/2012
10438
1,166,800,000 Transfer of cap to due to servicing transfer
$
1/13/2012
10438
$
12/15/2011
10438
(700,000)
11/16/2011
10438
1,167,500,000 Updated portfolio data from servicer
$
10/14/2011
10438
1,642,230,000 Updated portfolio data from servicer
$
9/15/2011
10438
$
(474,730,000)
7/14/2011
10438
278,910,000
$
6/29/2011
10438
$
6/16/2011
10438
$
5/13/2011
10438
275,370,000
4/13/2011
10438
$
$
3/30/2011
10438
313,050,000
3/16/2011
10438
$
1/6/2011
10438
$
9/30/2009
12/15/2010
10438
(1,101)
10/15/2010
10438
$
$
9/30/2010
N/A
(3,071)
9/15/2010
774,900,000
$
$
8/13/2010
$
$
(8,137)
7/14/2010
Financial Instrument for Home Loan Modifications
(2,148)
$
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
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
Purchase
$
12/30/2009
TX
$
9/27/2013
Houston
1000744
Reason for Adjustment
(20,000)
6/27/2013
10717
PennyMac Loan Services, LLC
Adjusted Cap
$
3/25/2013
10717
8/12/2009
Cap Adjustment Amount
12/27/2012
10717
Litton Loan Servicing, LP
Adjustment
Date
12/14/2012
10717
8/12/2009
Note
$
(2,289)
$
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
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
Updated portfolio data from servicer & HPDP
5,010,000 initial cap
Updated portfolio data from servicer & HAFA
35,810,000 initial cap
59,010,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
61,720,000 servicing transfer
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
1000744
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
$
(974)
$
82,015,485 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
82,014,511 reallocation
$
1,800,000
$
83,814,511 Transfer of cap due to servicing transfer
$
3,860,000
$
$
(154)
$
87,674,511 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
87,674,357 reallocation
$
2,980,000
$
$
(506)
$
90,654,357 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
90,653,851 reallocation
$
2,160,000
$
92,813,851 Transfer of cap due to servicing transfer
$
2,440,000
$
$
(128)
$
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
9/27/2013
Titusville
10454
81,125,485 Transfer of cap due to servicing transfer
$
PA
Purchase
Financial Instrument for Home Loan Modifications
$
29,730,000
N/A
$
(7)
$
10/15/2013
1000744
10454
$
890,000
6/27/2013
1000744
2,930,000
$
6/14/2013
1000744
$
4/16/2013
1000744
78,195,825 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
78,195,485 reallocation
3/25/2013
1000744
$
2/14/2013
1000744
$
(340)
12/27/2012
1000744
1,340,000
$
12/14/2012
1000744
$
10/16/2012
1000744
76,855,825 Transfer of cap due to servicing transfer
9/27/2012
1000744
$
8/16/2012
1000744
10454
Reason for Adjustment
200,000
7/16/2012
1000744
10454
Adjusted Cap
$
6/28/2012
1000744
10454
Cap Adjustment Amount
6/14/2012
1000744
Servis One, Inc., dba BSI Financial Services, Inc.
Adjustment
Date
4/16/2012
1000744
8/12/2009
Note
$
4,450,000
$
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)
$
9,300,000 Updated portfolio data from servicer
9/15/2010
$
100,000
$
9,400,000 Transfer of cap to due to servicing transfer
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
1/13/2011
$
300,000
$
26,755,024 Transfer of cap due to servicing transfer
2/16/2011
$
100,000
$
26,855,024 Transfer of cap due to servicing transfer
3/16/2011
$
2,200,000
$
3/30/2011
$
(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
(25,510,000) $
99,703,716 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
4,220,000 initial cap
Updated portfolio data from servicer & HAFA
4,740,000 initial cap
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
9,500,000 Initial FHA-HAMP cap
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
10454
8/28/2009
RoundPoint Mortgage Servicing Corporation
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
1,835,629,467 Transfer of cap due to servicing transfer
70,000
$
$
2,680,000
$
370,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
3,050,000 initial cap
$
350,000
$
3,400,000 Updated portfolio data from servicer
$
(1,900,000)
$
1,500,000 Updated portfolio data from servicer
$
(1,209,889)
$
290,111 Updated portfolio data from servicer
$
(290,111)
$
$
130,000
$
$
(310,000)
$
$
2,110,000
$
2,500,000 Updated portfolio data from servicer
$
8,300,000
$
10,800,000 Updated portfolio data from servicer
$
5,301,172
$
16,101,172 Updated portfolio data from servicer
$
(22)
$
16,101,150 Updated portfolio data from servicer
$
(400,000)
$
$
(25)
$
$
(232)
$
$
(174)
$
$
(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
$
(350,000)
$
$
(82)
$
$
(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
$
80,000
$
15,429,850 Transfer of cap due to servicing transfer
$
20,000
$
$
(108)
$
15,449,850 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,449,742 reallocation
$
30,000
$
15,479,742 Transfer of cap due to servicing transfer
$
640,000
$
$
(40)
$
16,119,742 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
16,119,702 reallocation
-
Termination of SPA
700,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
390,000 initial cap
TX
Purchase
Financial Instrument for Home Loan Modifications
$
6,000,000
N/A
10
200,000 Updated portfolio data from servicer
$
300,000 Initial RD-HAMP
$
(9,889)
$
$
(3)
$
$
(2)
$
$
(7)
$
$
(1)
$
$
(4)
$
$
(2)
$
9/27/2013
Plano
$
100,000
6/27/2013
1001018
(1,110,000)
$
3/25/2013
1001018
$
12/27/2012
1001018
1,310,000 Updated portfolio data from servicer
9/27/2012
1001018
50,000 Updated portfolio data from servicer
$
6/28/2012
1001018
$
1,260,000
6/29/2011
1001018
(1,680,000)
$
9/30/2010
1001018
$
9/30/2010
1001018
$
$
7/14/2010
1001018
130,000
1,040,000
5/12/2010
1001018
$
$
3/26/2010
1001018
10354
$
$
10/2/2009
1001018
10354
(500,000)
55,801,008 Transfer of cap due to servicing transfer
12/30/2009
1001018
9/2/2009 as amended
Vantium Capital, Inc.dba Acqura Loan Services
on 8/27/2010
$
$
9/27/2013
1001011
(3,154)
9/16/2013
1001011
$
$
7/16/2013
N/A
(9,058)
6/27/2013
570,000
$
$
6/14/2013
$
(24,811)
4/16/2013
Financial Instrument for Home Loan Modifications
$
$
3/25/2013
Purchase
(6,688)
12/27/2012
NC
$
$
11/15/2012
Charlotte
(40,606)
9/27/2012
1000576
$
$
6/28/2012
1000576
$
(15,481)
6/29/2011
1000576
(24,616)
$
3/30/2011
1000576
$
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
3/16/2011
1000576
$
10/2/2009
N/A
(2,674)
1/6/2011
300,000
$
9/30/2010
$
$
7/14/2010
Financial Instrument for Home Loan Modifications
(2,282)
3/26/2010
Purchase
1,836,258,837 Updated portfolio data from servicer
$
12/30/2009
CA
$
3/23/2010
Palo Alto
(51,741,163)
9/30/2010
10008
1,888,000,000 2MP initial cap
$
7/14/2010
10008
$
3/26/2010
10008
5,500,000
12/30/2009
10008
1,882,500,000 Updated portfolio data from servicer
$
10/2/2009
10008
$
10/15/2013
10008
2,291,350,000 Updated portfolio data from servicer
(408,850,000)
9/27/2013
10008
$
$
6/27/2013
10008
$
121,180,000
3/25/2013
10008
1,355,930,000
$
12/27/2012
10008
$
814,240,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
2,170,170,000 initial cap
9/27/2012
10008
$
6/28/2012
10008
$
145,800,000
6/29/2011
10008
270,000
$
3/30/2011
10008
$
1/6/2011
10008
55,531,143 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
55,531,008 reallocation
10/2/2009
N/A
$
9/30/2010
668,440,000
$
(135)
9/30/2010
$
2,600,000
$
7/14/2010
Financial Instrument for Home Loan Modifications
$
3/26/2010
Purchase
52,931,143 Transfer of cap due to servicing transfer
12/30/2009
CA
$
10/15/2013
Pasadena
Stanford Federal Credit Union
Reason for Adjustment
10,000
9/27/2013
10454
8/28/2009
Adjusted Cap
$
9/16/2013
10454
OneWest Bank
Cap Adjustment Amount
8/15/2013
10454
8/28/2009
Adjustment
Date
690,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
1,730,000 initial cap
$
(1)
$
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
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
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
10354
800,000
$
$
2,700,000
$
11,917,764 Updated portfolio data from servicer
9,217,764 Transfer of cap due to servicing transfer
FL
Purchase
Financial Instrument for Home Loan Modifications
$
1,250,000
N/A
$
300,000
$
15,017,539 Transfer of cap due to servicing transfer
$
100,000
$
15,117,539 Transfer of cap due to servicing transfer
$
100,000
$
$
(147)
$
15,217,539 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,217,392 reallocation
$
(10,000)
$
$
(413)
$
$
(40,000)
$
$
(71)
$
15,166,979 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,166,908 reallocation
$
(770,000)
$
14,396,908 Transfer of cap due to servicing transfer
$
(20,000)
$
$
(256)
$
14,376,908 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,376,652 reallocation
$
(620,000)
$
13,756,652 Transfer of cap due to servicing transfer
$
40,000
$
13,796,652 Transfer of cap due to servicing transfer
$
10,000
$
$
(95)
$
13,806,652 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
13,806,557 reallocation
$
(290,000)
$
9/27/2013
Lake Mary
14,717,728 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,717,539 reallocation
7/16/2013
10354
$
6/27/2013
10354
$
(189)
6/14/2013
10354
300,000
$
5/16/2013
10354
$
4/16/2013
10354
14,417,747 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,417,728 reallocation
3/25/2013
10354
$
3/14/2013
10354
(19)
2/14/2013
10354
$
12/27/2012
10354
$
11/15/2012
10354
1,800,000
9/27/2012
10354
12,617,747 Transfer of cap due to servicing transfer
$
7/16/2012
10354
11,917,747 Updated portfolio data from servicer
$
6/28/2012
10354
$
700,000
10/14/2011
10354
(17)
$
9/15/2011
10354
$
8/16/2011
10354
$
(34)
$
15,207,392 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,206,979 reallocation
13,516,557 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
13,516,523 reallocation
10305
10305
10305
10305
10305
10305
10305
Albany
NY
Purchase
Financial Instrument for Home Loan Modifications
$
4,350,000
N/A
59,464
$
$
35,438
$
$
26,926
$
10/2/2009
$
24,920,000
$
$
49,410,000
$
139,140,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
188,550,000 initial cap
$
41,830,000
$
230,380,000 Updated portfolio data from servicer
$
(85,780,000)
$
144,600,000 Updated portfolio data from servicer
$
36,574,444
$
181,174,444 Updated portfolio data from servicer
$
(160)
$
$
(172)
$
$
(1,431)
$
$
(746)
$
$
(1,926)
$
$
(308)
$
$
(1,135)
$
$
(418)
$
9/27/2013
10305
$
$
6/27/2013
10305
35,966
3/25/2013
10305
$
$
12/27/2012
10305
190,077
9/27/2012
10305
$
$
6/28/2012
10305
$
21,717
6/29/2011
N/A
(5)
$
3/30/2011
114,220,000
$
1/6/2011
$
$
9/30/2010
Financial Instrument for Home Loan Modifications
(1)
7/14/2010
Purchase
$
3/26/2010
KY
$
12/30/2009
Owensboro
(1)
9/27/2013
1000890
870,334 Updated portfolio data from servicer
$
6/27/2013
1000890
$
3/25/2013
1000890
270,334
12/27/2012
1000890
600,000 Updated portfolio data from servicer
$
9/27/2012
1000890
900,000 Updated portfolio data from servicer
$
6/28/2012
1000890
$
(300,000)
6/29/2011
1000890
120,000
$
3/30/2011
1000890
$
1/6/2011
1000890
$
$
9/30/2010
1000890
280,000
(750,000)
7/14/2010
1000890
$
$
3/26/2010
1000890
10/2/2009
12/30/2009
1000890
1000483
8,417,764 Updated portfolio data from servicer
$
6/29/2011
10354
1000483
8,300,000 Transfer of cap due to servicing transfer
$
4/13/2011
10354
1000483
$
117,764
3/30/2011
10354
1000483
4,700,000
$
2/16/2011
10354
1000483
$
1/6/2011
10354
1000483
3,600,000 Updated portfolio data from servicer
1/13/2011
10354
CUC Mortgage Corporation
$
12/15/2010
10354
9/9/2009
Reason for Adjustment
(730,000)
11/16/2010
10354
U.S. Bank National Association
Adjusted Cap
$
9/30/2010
10354
9/9/2009
Cap Adjustment Amount
9/15/2010
10354
Central Florida Educators Federal Credit Union
Adjustment
Date
7/14/2010
10354
9/9/2009
Note
1,530,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
780,000 initial cap
$
(139)
$
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
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)
$
3,626,385 Updated portfolio data from servicer
Updated due to quarterly assessment and
3,626,379 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
94
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
1000483
Metropolitan National Bank
$
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
$
$
(56)
$
$
(20)
$
10/2/2009
$
60,000
$
$
(80,000)
$
310,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
230,000 initial cap
$
280,000
$
510,000 Updated portfolio data from servicer
$
(410,000)
$
100,000 Updated portfolio data from servicer
$
45,056
$
$
(1)
$
$
(1)
$
$
(2)
$
$
(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
Updated due to quarterly assessment and
145,052 reallocation
Updated due to quarterly assessment and
145,051 reallocation
10/2/2009
$
70,000
$
$
620,000
$
$
100,000
$
1,070,000 Updated portfolio data from servicer
$
(670,000)
$
400,000 Updated portfolio data from servicer
$
35,167
$
435,167 Updated portfolio data from servicer
$
(1)
$
435,166 Updated portfolio data from servicer
$
(435,166)
$
10/2/2009
$
6,010,000
$
$
(19,750,000)
$
$
(4,780,000)
$
8,990,000 Updated portfolio data from servicer
$
(2,390,000)
$
6,600,000 Updated portfolio data from servicer
$
2,973,670
$
9,573,670 Updated portfolio data from servicer
$
(3)
$
9,573,667 Updated portfolio data from servicer
$
(1,800,000)
$
$
(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
$
(61)
$
$
(100,000)
$
$
(58)
$
2,530,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
5,260,000 initial cap
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
9/27/2012
1001037
1001037
1001037
1001037
1001037
1001037
1001037
Buffalo
NY
Purchase
Financial Instrument for Home Loan Modifications
$
4,390,000
N/A
$
$
90,000
$
$
1,460,000
$
500,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
1,960,000 initial cap
$
160,000
$
2,120,000 Updated portfolio data from servicer
$
(120,000)
$
2,000,000 Updated portfolio data from servicer
$
(1,419,778)
$
580,222 Updated portfolio data from servicer
$
(1)
$
$
(1)
$
$
(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
1001037
10/2/2009
6/29/2011
N/A
$
3/30/2011
410,000
(15)
1/6/2011
$
$
9/30/2010
Financial Instrument for Home Loan Modifications
(42)
7/14/2010
Purchase
$
$
3/26/2010
CA
(110)
12/30/2009
Capitola
$
$
9/27/2013
1000955
$
(29)
6/27/2013
1000955
(164)
$
3/25/2013
1000955
$
12/27/2012
1000955
AMS Servicing, LLC
(149)
6/28/2012
1000955
9/23/2009
$
$
6/29/2011
1000955
Bay Federal Credit Union
(40)
10/14/2011
1000955
9/16/2009
$
$
3/30/2011
Financial Instrument for Home Loan Modifications
(236)
2/16/2011
Purchase
$
$
1/6/2011
Little Rock
AR
$
(86)
9/30/2010
1001029
(115)
$
7/14/2010
1001029
$
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
3/26/2010
1001029
$
12/30/2009
1001029
(12)
1/26/2011
1001029
$
1/6/2011
1001029
1001029
$
9/30/2010
1001029
(10)
7/14/2010
N/A
6,817,613 Updated portfolio data from servicer
$
3/26/2010
250,000
$
12/30/2009
$
1,817,613
3/25/2013
Financial Instrument for Home Loan Modifications
5,000,000 Updated portfolio data from servicer
$
9/27/2012
Purchase
18,540,000 Updated portfolio data from servicer
$
6/28/2012
FL
$
(13,540,000)
6/29/2011
Ocala
13,280,000
$
9/30/2010
1000467
$
7/14/2010
1000467
$
3/26/2010
1000467
2,730,000
12/30/2009
1000467
$
$
9/27/2013
1000467
1000467
460,000
6/27/2013
1000467
$
3/25/2013
1000467
$
10/2/2009
12/27/2012
1000467
(9)
9/27/2012
1000467
1000467
$
$
6/28/2012
1000467
(26)
6/29/2011
1000467
$
$
3/30/2011
N/A
(69)
1/6/2011
2,070,000
$
$
9/30/2010
$
(18)
7/14/2010
Financial Instrument for Home Loan Modifications
$
$
3/26/2010
Purchase
$
(107)
12/30/2009
TN
(38)
$
9/27/2013
Oak Ridge
$
6/27/2013
1000483
9/11/2009
Reason for Adjustment
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
$
3/25/2013
1000483
Allstate Mortgage Loans & Investments, Inc.
Adjusted Cap
(52)
12/27/2012
1000483
$
9/27/2012
1000483
9/11/2009
Cap Adjustment Amount
6/28/2012
1000483
ORNL Federal Credit Union
Adjustment
Date
6/29/2011
1000483
9/11/2009
Note
$
(580,212)
$
10/2/2009
$
960,000
$
-
Termination of SPA
5,350,000 HPDP initial cap
95
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
7,800,000 Updated portfolio data from servicer
$
323,114
$
8,123,114 Updated portfolio data from servicer
$
(12)
$
8,123,102 Updated portfolio data from servicer
$
600,000
$
$
(16)
$
8,723,102 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
8,723,086 reallocation
$
200,000
$
8,923,086 Transfer of cap due to servicing transfer
$
100,000
$
6/29/2011
1001184
1001184
$
(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
9/15/2011
$
100,000
$
9,222,933 Transfer of cap due to servicing transfer
$
1,100,000
$
10,322,933 Transfer of cap due to servicing transfer
6/14/2012
$
650,000
$
6/28/2012
1001184
100,000
$
4/16/2012
1001184
$
11/16/2011
1001184
$
(136)
$
9/27/2012
Purchase
Financial Instrument for Home Loan Modifications
$
390,000
N/A
1001045
1001045
1001045
1001045
1001045
10,000
$
$
(220)
$
11,562,391 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
11,562,171 reallocation
$
(60,000)
$
11,502,171 Transfer of cap due to servicing transfer
$
50,000
$
11,552,171 Transfer of cap due to servicing transfer
$
10,000
$
$
(79)
$
11,562,171 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
11,562,092 reallocation
$
(90,000)
$
11,472,092 Transfer of cap due to servicing transfer
$
310,000
$
$
(28)
$
11,782,092 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
11,782,064 reallocation
$
230,000
$
12,012,064 Transfer of cap due to servicing transfer
10/2/2009
$
90,000
$
$
940,000
$
$
(980,000)
$
$
(140,000)
$
300,000 Updated portfolio data from servicer
9/30/2010
CA
11,552,391 Transfer of cap due to servicing transfer
$
7/14/2010
Sacramento
11,262,391 Transfer of cap due to servicing transfer
$
3/26/2010
1001184
$
290,000
12/30/2009
1001184
20,000
$
10/15/2013
1001184
$
9/27/2013
1001184
11,242,450 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
11,242,391 reallocation
9/16/2013
1001184
$
7/16/2013
1001184
(59)
6/27/2013
1001184
$
6/14/2013
1001184
$
5/16/2013
1001184
(10,000)
4/16/2013
1001184
11,252,450 Transfer of cap due to servicing transfer
$
3/25/2013
1001184
$
3/14/2013
1001184
11,222,450 Transfer of cap due to servicing transfer
30,000
2/14/2013
1001184
$
$
1/16/2013
1001184
$
250,000
12/27/2012
1001184
(347)
$
12/14/2012
1001184
$
11/15/2012
1001184
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
1001184
$
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
480,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
1,420,000 initial cap
440,000 Updated portfolio data from servicer
1/6/2011
10716
10716
10716
10716
10716
10716
10716
Woodbridge
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
30,000
N/A
$
60,000
$
$
(10,000)
$
290,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
280,000 initial cap
$
130,000
$
410,000 Updated portfolio data from servicer
$
(110,000)
$
300,000 Updated portfolio data from servicer
$
(9,889)
$
$
(3)
$
$
(2)
$
$
(7)
$
$
(1)
$
$
(4)
$
$
(2)
$
9/27/2013
10716
$
10/2/2009
6/27/2013
10716
(4)
3/25/2013
10716
$
$
12/27/2012
10716
(11)
9/27/2012
N/A
$
$
6/28/2012
230,000
(28)
6/29/2011
$
$
$
9/30/2010
Financial Instrument for Home Loan Modifications
(7)
7/14/2010
Purchase
$
$
3/26/2010
OH
(44)
12/30/2009
Maumee
$
$
9/27/2013
1001045
$
(16)
6/27/2013
1001045
(22)
$
3/25/2013
1001045
$
12/27/2012
1001045
$
9/27/2012
1001045
$
(2)
6/28/2012
1001045
(2)
$
6/29/2011
1001045
$
3/30/2011
1001045
10149
2,490,000 Updated portfolio data from servicer
$
5/13/2011
1001184
10149
$
5,310,000
4/13/2011
1001184
10149
230,000
$
3/30/2011
1001184
10149
$
3/16/2011
1001184
Central Jersey Federal Credit Union
Updated portfolio data from servicer & HAFA
2,260,000 initial cap
1/6/2011
1001184
9/23/2009
Reason for Adjustment
$
7/14/2010
1001184
Glass City Federal Credit Union
Adjusted Cap
(3,090,000)
$
3/26/2010
1001184
9/23/2009
Cap Adjustment Amount
12/30/2009
1001184
Schools Financial Credit Union
Adjustment
Date
9/30/2010
1001184
9/23/2009
Note
$
(1)
$
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
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
96
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
10149
9/23/2009
Yadkin Valley Bank
Elkin
NC
Purchase
Financial Instrument for Home Loan Modifications
$
240,000
N/A
N/A
1000924
1000924
1000924
1000924
1000924
1000924
(1)
$
$
(5)
$
$
(2)
$
$
(1)
$
10/2/2009
$
100,000
$
$
20,000
$
540,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
560,000 initial cap
$
(290,000)
$
270,000 Updated portfolio data from servicer
$
(70,000)
$
200,000 Updated portfolio data from servicer
$
(54,944)
$
$
(1)
$
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
N/A
1000073
1000073
1000073
1000073
1000073
1000073
1000073
1000073
1000073
1000073
1000073
1000073
Miami Lakes
FL
Purchase
Financial Instrument for Home Loan Modifications
$
93,660,000
N/A
$
(8)
$
$
(6)
$
$
(17)
$
$
(3)
$
$
(11)
$
$
(4)
$
$
(1)
$
12/30/2009
$
(2,900,000) $
$
(1,600,000)
$
360,000 Updated portfolio data from servicer
$
(260,000)
$
100,000 Updated portfolio data from servicer
$
45,056
$
145,056 Updated portfolio data from servicer
$
(145,056)
$
1/22/2010
$
20,000
$
430,000 Updated HPDP cap & HAFA initial cap
$
400,000
$
830,000 Updated portfolio data from servicer
$
(430,000)
$
400,000 Updated portfolio data from servicer
$
180,222
$
580,222 Updated portfolio data from servicer
$
(1)
$
$
(1)
$
$
(5)
$
$
(4)
$
$
(11)
$
$
(2)
$
$
(7)
$
$
(2)
$
9/27/2013
410,000
$
6/27/2013
$
(1)
3/25/2013
Financial Instrument for Home Loan Modifications
$
12/27/2012
Purchase
$
9/27/2012
MI
(1)
6/28/2012
Grand Rapids
580,222 Updated portfolio data from servicer
$
6/29/2011
1001180
$
3/30/2011
1001180
180,222
1/6/2011
1001180
400,000 Updated portfolio data from servicer
$
9/30/2010
1001180
720,000 Updated portfolio data from servicer
$
7/14/2010
N/A
$
(320,000)
3/26/2010
4,860,000
(880,000)
$
3/9/2011
$
$
9/30/2010
Financial Instrument for Home Loan Modifications
$
7/14/2010
Purchase
$
1,030,000
3/26/2010
OK
(145,055)
$
9/27/2013
Tulsa
$
12/30/2009
6/27/2013
1001122
10048
$
$
3/25/2013
1001122
10048
$
(7)
12/27/2012
1001122
10048
(3)
$
9/27/2012
1001122
10048
$
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
6/28/2012
1001122
10048
$
6/29/2011
N/A
1001122
10048
(4)
3/30/2011
570,000
1001122
10048
$
1/6/2011
$
1001122
10048
$
9/30/2010
Financial Instrument for Home Loan Modifications
1001122
10048
(1)
7/14/2010
Purchase
1001122
10048
435,167 Updated portfolio data from servicer
$
3/26/2010
IL
1001122
Bank United
300,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
650,000 initial cap
4/11/2012
North Chicago
1001122
10/23/2009
$
6/29/2011
440,000
235,167
9/30/2010
$
200,000 Updated portfolio data from servicer
$
7/14/2010
Financial Instrument for Home Loan Modifications
2,010,000 Updated portfolio data from servicer
$
3/26/2010
Purchase
$
(1,810,000)
12/30/2009
NY
1,360,000
$
9/27/2013
Albany
$
6/27/2013
1001000
$
$
3/25/2013
1001000
60,000
350,000
12/27/2012
1001000
$
$
9/27/2012
1001000
10/2/2009
6/28/2012
1001000
United Bank Mortgage Corporation
Termination of SPA
6/29/2011
1001000
10/21/2009
Reason for Adjustment
-
1/6/2011
1001000
Mortgage Clearing Corporation
$
9/30/2010
1001000
10/14/2009
Adjusted Cap
(145,056)
7/14/2010
1001000
Great Lakes Credit Union
$
3/26/2010
1001000
10/14/2009
Cap Adjustment Amount
12/30/2009
1001000
SEFCU
Adjustment
Date
10/29/2010
1001000
9/25/2009
Note
- Termination of SPA
Updated portfolio data from servicer & HAFA
1,600,000 initial cap
$
(1)
$
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
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)
$
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 portfolio data from servicer & HAFA
1,960,000 initial cap
-
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
97
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
10048
MA
Purchase
Financial Instrument for Home Loan Modifications
$
760,000
N/A
N/A
1000585
1000585
1000585
1000585
1000585
1000585
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
Tampa
1001271
1001271
1001271
1001271
1001271
1001271
1001271
FL
Purchase
Financial Instrument for Home Loan Modifications
$
18,960,000
N/A
(40)
$
$
(29)
$
$
(80)
$
$
(14)
$
$
(52)
$
$
(19)
$
$
(7)
$
4/21/2010
$
(1,070,000) $
-
Termination of SPA
4/21/2010
$
(510,000) $
-
Termination of SPA
1/22/2010
$
10,000
$
$
10,000
$
90,000 Updated portfolio data from servicer
$
10,000
$
100,000 Updated portfolio data from servicer
$
45,056
$
$
(1)
$
$
(1)
$
$
(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
Updated due to quarterly assessment and
145,053 reallocation
1/22/2010
$
40,000
$
740,000 Updated HPDP cap & HAFA initial cap
$
50,000
$
790,000 Updated portfolio data from servicer
$
1,310,000
$
2,100,000 Updated portfolio data from servicer
$
75,834
$
2,175,834 Updated portfolio data from servicer
$
(3)
$
$
(4)
$
$
(35)
$
$
(26)
$
$
(70)
$
$
(12)
$
$
(45)
$
$
(17)
$
9/27/2013
70,000
$
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
6/27/2013
$
$
3/25/2013
Financial Instrument for Home Loan Modifications
(4)
12/27/2012
Purchase
$
9/27/2012
IL
$
6/28/2012
Naperville
(4)
6/29/2011
DuPage Credit Union
2,465,945 Updated portfolio data from servicer
$
3/30/2011
10/30/2009
1,900,000 Updated portfolio data from servicer
$
1/6/2011
N/A
$
565,945
9/30/2010
N/A
510,000
(770,000)
$
7/14/2010
1,070,000
$
$
3/26/2010
$
Financial Instrument for Home Loan Modifications
2,670,000 Updated portfolio data from servicer
3/25/2013
Financial Instrument for Home Loan Modifications
Purchase
$
9/27/2012
Purchase
MA
2,630,000
6/29/2011
PA
Woburn
40,000 Updated portfolio data from servicer
$
9/30/2010
Harleysville
Members Mortgage Company, Inc
$
$
7/14/2010
Harleysville National Bank & Trust Company
10/28/2009
40,000
(760,000)
3/26/2010
10/28/2009
$
$
9/27/2013
1000740
1001271
800,000 Updated HPDP cap & HAFA initial cap
1/22/2010
6/27/2013
1000740
1001271
92,429,014 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
92,429,000 reallocation
3/25/2013
1000740
1001271
$
12/27/2012
1000740
1001271
$
(14)
9/27/2012
1000740
1001271
(40,000)
$
6/28/2012
1000740
1001271
$
92,469,062 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
92,469,014 reallocation
6/29/2011
1000740
1001271
$
3/30/2011
1000740
1001271
$
(48)
1/6/2011
1000740
1001271
(610,000)
$
9/30/2010
1000740
1001271
$
93,079,204 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
93,079,062 reallocation
7/14/2010
1000740
1001271
$
5/12/2010
1000740
1001271
$
(142)
3/26/2010
1000740
Quantum Servicing Corporation
(2,670,000)
$
9/27/2013
Fitchburg
$
9/16/2013
10048
$
6/27/2013
10048
11/18/2009
Reason for Adjustment
Updated due to quarterly assessment and
95,749,204 reallocation
(65)
5/16/2013
10048
Los Alamos National Bank
Adjusted Cap
$
3/25/2013
10048
11/6/2009
Cap Adjustment Amount
2/14/2013
10048
IC Federal Credit Union
Adjustment
Date
12/27/2012
10048
10/23/2009
Note
$
(6)
$
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
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
80,000 Updated HPDP cap & HAFA initial cap
98
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
1001271
MI
Purchase
Financial Instrument for Home Loan Modifications
$
1,670,000
N/A
$
$
(268)
$
$
10,000
$
$
(96)
$
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
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
Coral Gables
FL
Purchase
Financial Instrument for Home Loan Modifications
$
230,000
N/A
$
$
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
$
200,000
$
4,300,000 Initial FHA-HAMP cap and initial RD-HAMP
$
1,357,168
$
5,657,168 Updated portfolio data from servicer
$
(1)
$
$
5,700,000
$
$
(6)
$
11,357,167 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
11,357,161 reallocation
$
7,300,000
$
18,657,161 Transfer of cap due to servicing transfer
$
300,000
$
18,957,161 Transfer of cap due to servicing transfer
$
900,000
$
$
(154)
$
19,857,161 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
19,857,007 reallocation
$
100,000
$
19,957,007 Transfer of cap due to servicing transfer
$
300,000
$
20,257,007 Transfer of cap due to servicing transfer
$
(1,500,000)
$
18,757,007 Transfer of cap due to servicing transfer
$
(2,100,000)
$
16,657,007 Transfer of cap due to servicing transfer
$
(1,300,000)
$
15,357,007 Transfer of cap due to servicing transfer
$
(8,350,000)
$
$
(38)
$
$
(90,000)
$
$
(103)
$
6,916,969 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,916,866 reallocation
$
(1,020,000)
$
5,896,866 Transfer of cap due to servicing transfer
$
170,000
$
$
(15)
$
6,066,866 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,066,851 reallocation
$
(100,000)
$
5,966,851 Transfer of cap due to servicing transfer
$
(490,000)
$
$
(61)
$
5,476,851 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,476,790 reallocation
$
(10,000)
$
5,466,790 Transfer of cap due to servicing transfer
$
(30,000)
$
5,436,790 Transfer of cap due to servicing transfer
$
(10,000)
$
$
(23)
$
5,426,790 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,426,767 reallocation
$
(20,000)
$
9/27/2013
10412
(17,880,000)
7/16/2013
10412
$
$
6/27/2013
10412
950,000
6/14/2013
10412
$
5/16/2013
10412
$
1/22/2010
4/16/2013
10412
(1)
3/25/2013
10412
$
$
3/14/2013
10412
$
(2)
2/14/2013
10412
(1)
$
12/27/2012
10412
$
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
11/15/2012
10412
$
10/16/2012
10412
$
(1)
9/27/2012
10412
45,056
$
8/16/2012
10412
$
6/28/2012
10412
100,000 Updated portfolio data from servicer
6/14/2012
10412
$
4/16/2012
10412
90,000
2/16/2012
10412
$
1/13/2012
10412
$
8/16/2011
10412
10412
$
3/26/2010
7/14/2011
10412
(3)
6/29/2011
10412
$
$
6/16/2011
N/A
(8)
5/13/2011
20,360,000
$
$
4/13/2011
$
(21)
3/30/2011
Financial Instrument for Home Loan Modifications
$
$
3/16/2011
Purchase
(6)
1/6/2011
AZ
$
$
9/30/2010
Phoenix
(33)
9/30/2010
1001304
$
$
8/13/2010
1001304
$
(12)
7/14/2010
1001304
(16)
$
6/16/2010
1001304
1001304
$
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
3/26/2010
1001304
$
3/25/2013
N/A
(2)
9/27/2012
20,000
$
6/28/2012
$
$
6/29/2011
Financial Instrument for Home Loan Modifications
(1)
9/30/2010
Purchase
1,160,445 Updated portfolio data from servicer
$
7/14/2010
FL
1,000,000 Updated portfolio data from servicer
$
9/27/2013
Coral Gables
$
160,445
6/27/2013
1000443
(1,080,000)
$
3/25/2013
1000443
$
12/27/2012
1000443
1,750,000 Updated HPDP cap & HAFA initial cap
2,080,000 Updated portfolio data from servicer
9/27/2012
1000443
$
$
6/28/2012
1000443
80,000
330,000
6/29/2011
1000443
$
$
3/30/2011
1000443
1/22/2010
1/6/2011
1000443
Home Financing Center, Inc
(240,000)
9/30/2010
1000443
11/25/2009
$
$
7/14/2010
1000443
1000443
Marix Servicing, LLC
$
(707)
Reason for Adjustment
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
3/26/2010
1000443
11/25/2009
(187)
$
9/27/2013
Hillsdale
$
7/16/2013
1001271
$
6/27/2013
1001271
(980,000)
4/16/2013
1001271
QLending, Inc.
Adjusted Cap
$
3/25/2013
1001271
11/18/2009
Cap Adjustment Amount
12/27/2012
1001271
Hillsdale County National Bank
Adjustment
Date
11/15/2012
1001271
11/18/2009
Note
$
(8)
$
4/21/2010
$
(10,000) $
(230,000) $
10,000 Updated portfolio data from servicer
21,310,000 Updated HPDP cap & HAFA initial cap
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
-
Termination of SPA
99
Servicer Modifying Borrowers' Loans
Date
11/25/2009
Name of Institution
Adjustment Details
City
First Keystone Bank
Media
State
Transaction
Type
PA
Purchase
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Financial Instrument for Home Loan Modifications
$
1,280,000
Pricing
Mechanism
Note
N/A
12/9/2009
Spirit of Alaska Federal Credit Union
12/9/2009
American Eagle Federal Credit Union
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
1001269
1001269
1001269
1001269
1001269
1001269
LA
Purchase
Financial Instrument for Home Loan Modifications
$
2,940,000
N/A
150,000 Updated portfolio data from servicer
$
300,000 Updated portfolio data from servicer
$
(9,889)
$
$
(3)
$
$
(2)
$
$
(6)
$
$
(1)
$
$
(3)
$
$
(1)
$
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
$
10,000
$
$
850,000
$
1,220,000 Updated portfolio data from servicer
$
(120,000)
$
1,100,000 Updated portfolio data from servicer
$
100,000
$
1,200,000 Initial FHA-HAMP cap
$
105,500
$
1,305,500 Updated portfolio data from servicer
$
(2)
$
1,305,498 Updated portfolio data from servicer
$
(1,305,498)
$
$
70,000
$
1,660,000 Updated HPDP cap & HAFA initial cap
$
(290,000)
$
1,370,000 Updated portfolio data from servicer
$
(570,000)
$
800,000 Updated portfolio data from servicer
$
70,334
$
870,334 Updated portfolio data from servicer
$
(1)
$
$
(1)
$
$
(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
$
(870,319)
$
$
90,000
$
1,970,000 Updated HPDP cap & HAFA initial cap
$
1,110,000
$
3,080,000 Updated portfolio data from servicer
$
(1,180,000)
$
1,900,000 Updated portfolio data from servicer
$
275,834
$
2,175,834 Updated portfolio data from servicer
$
(2)
$
$
(3)
$
$
(26)
$
$
(21)
$
$
(57)
$
$
(10)
$
$
(37)
$
6/27/2013
CT
$
150,000
3/25/2013
East Hartford
(24,200,000)
$
12/27/2012
1000475
$
9/27/2012
1000475
24,350,000 Updated portfolio data from servicer
6/28/2012
1000475
$
6/29/2011
1000475
14,480,000
3/30/2011
1000475
$
$
1/6/2011
1000475
440,000
1/22/2010
N/A
$
$
9/30/2010
360,000
(1)
7/14/2010
$
$
$
3/26/2010
Financial Instrument for Home Loan Modifications
$
(2)
1/25/2012
Purchase
(1)
$
6/29/2011
AK
$
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
3/30/2011
Fairbanks
$
1/6/2011
10223
(1)
9/30/2010
10223
$
7/14/2010
10223
$
3/26/2010
10223
45,056
1/22/2010
10223
100,000 Updated portfolio data from servicer
$
2/17/2011
10223
910,000 Updated portfolio data from servicer
$
1/6/2011
10223
$
(810,000)
9/30/2010
10223
520,000
$
9/30/2010
10223
$
7/14/2010
10223
390,000 Updated HPDP cap & HAFA initial cap
1/22/2010
N/A
$
3/26/2010
9,430,000
$
10,000
6/27/2013
$
(1,335,614)
$
3/25/2013
Financial Instrument for Home Loan Modifications
$
12/27/2012
Purchase
7/22/2011
9/27/2012
ID
$
6/28/2012
Boise
$
(21)
6/29/2011
1000978
(100,000)
$
9/30/2010
1000978
$
7/14/2010
1000978
1,450,554 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,552 reallocation
5/26/2010
1000978
$
3/26/2010
1000978
(2)
1/22/2010
1000978
$
3/25/2013
1000978
$
9/27/2012
N/A
(2)
6/28/2012
380,000
1,450,556 Updated portfolio data from servicer
$
6/29/2011
$
$
9/30/2010
Financial Instrument for Home Loan Modifications
50,556
7/14/2010
Purchase
1,400,000 Updated portfolio data from servicer
$
3/26/2010
PA
2,350,000 Updated portfolio data from servicer
$
1/22/2010
12
Clarks Summit
$
(950,000)
6/29/2011
10519
1,020,000
$
6/16/2011
10519
$
3/30/2011
10519
1,330,000 Updated HPDP cap & HAFA initial cap
1/6/2011
10519
$
9/30/2010
10519
Idaho Housing and Finance Association
Reason for Adjustment
50,000
7/14/2010
10519
12/4/2009
Adjusted Cap
$
3/26/2010
10519
Community Bank & Trust Company
Cap Adjustment Amount
1/22/2010
10519
12/4/2009
Adjustment
Date
$
(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
1/6/2011
$
(1)
$
3/30/2011
$
(2)
$
6/29/2011
$
(16)
$
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
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
-
-
Termination of SPA
Termination of SPA
285,844 Termination of SPA
100
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
1001269
1001226
1001226
1001226
1001226
1001226
1001226
1001226
Spokane
WA
Purchase
Financial Instrument for Home Loan Modifications
$
2,250,000
N/A
1000638
1000638
1000638
1000638
$
40,000
$
6,490,000 Updated portfolio data from servicer
$
(2,890,000)
$
3,600,000 Updated portfolio data from servicer
$
606,612
$
4,206,612 Updated portfolio data from servicer
$
(4)
$
$
(4)
$
$
(35)
$
$
(9)
$
$
(14)
$
$
(2)
$
$
(8)
$
$
(4)
$
$
(1)
$
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
$
100,000
$
2,350,000 Updated HPDP cap & HAFA initial cap
$
(740,000)
$
1,610,000 Updated portfolio data from servicer
$
(710,000)
$
900,000 Updated portfolio data from servicer
$
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
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
-
Termination of SPA
HomeStar Bank & Financial Services
IL
Purchase
Financial Instrument for Home Loan Modifications
$
370,000
N/A
1000558
1000558
Seattle
Verity Credit Union
WA
Purchase
Financial Instrument for Home Loan Modifications
$
600,000
N/A
10139
10139
10139
10139
10139
Hartford
Hartford Savings Bank
1000753
1000753
1000753
1000753
1000753
1000753
1000753
1000753
WI
Purchase
Financial Instrument for Home Loan Modifications
$
630,000
N/A
$
1,150,000 Updated portfolio data from servicer
$
(350,000)
$
800,000 Updated portfolio data from servicer
$
70,334
$
870,334 Updated portfolio data from servicer
$
(1)
$
$
(1)
$
$
(13)
$
$
(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
$
$
1,250,000
$
$
(1,640,000)
$
1/22/2010
$
30,000
$
$
400,000
$
1,030,000 Updated portfolio data from servicer
$
(330,000)
$
700,000 Updated portfolio data from servicer
$
25,278
$
725,278 Updated portfolio data from servicer
$
(1)
$
725,277 Updated portfolio data from servicer
2/17/2011
Glenview
Glenview State Bank
820,000
1/6/2011
12
$
$
9/30/2010
10125
20,000
7/14/2010
10125
$
$
3/26/2010
10125
13,786
5/26/2010
10125
$
$
3/26/2010
10125
84,191
6/28/2012
10125
$
$
6/29/2011
10125
235,175
1/22/2010
N/A
$
$
3/30/2011
310,000
58,688
1/6/2011
$
$
$
9/30/2010
Financial Instrument for Home Loan Modifications
$
30,907
7/14/2010
Purchase
(11)
$
3/26/2010
IL
$
9/27/2013
Manteno
$
6/27/2013
1000638
$
(1)
3/25/2013
1000638
(1)
$
12/27/2012
1000638
$
9/27/2012
1000638
12/11/2009
6,450,000 Updated HPDP cap & HAFA initial cap
6/29/2011
1000638
12/11/2009
$
1/6/2011
1000638
12/11/2009
290,000
3/30/2011
techno
12/11/2009
$
9/30/2010
1001226
$
7/14/2010
1001226
(580,222)
3/26/2010
1001226
580,222 Updated portfolio data from servicer
$
1/22/2010
1001226
600,000 Updated portfolio data from servicer
$
9/27/2013
1001226
$
(19,778)
6/27/2013
N/A
(80,000)
$
3/25/2013
6,160,000
$
12/27/2012
$
680,000 Updated portfolio data from servicer
9/27/2012
Financial Instrument for Home Loan Modifications
$
6/28/2012
Purchase
240,000 Updated HPDP cap & HAFA initial cap
440,000
6/29/2011
CA
$
$
3/30/2011
Sacramento
10,000
1/6/2011
10141
$
$
9/30/2010
10141
(3)
7/14/2010
10141
$
$
1/22/2010
10141
(8)
1/22/2010
N/A
$
$
3/26/2010
230,000
(21)
10/15/2010
$
$
$
9/30/2010
Financial Instrument for Home Loan Modifications
$
(5)
7/14/2010
Purchase
(32)
$
3/26/2010
FL
$
9/27/2013
Tampa
Sterling Savings Bank
Reason for Adjustment
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
6/27/2013
1001269
12/9/2009
$
3/25/2013
1001269
The Golden 1 Credit Union
(12)
9/27/2012
1001269
12/9/2009
Adjusted Cap
$
12/27/2012
1001269
Bay Gulf Credit Union
Cap Adjustment Amount
6/28/2012
1001269
12/9/2009
Adjustment
Date
$
(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)
$
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
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
101
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
1000753
PA
Purchase
Financial Instrument for Home Loan Modifications
$
150,000
9
1000631
Spring Valley
Citizens First National Bank
IL
Purchase
Financial Instrument for Home Loan Modifications
$
620,000
N/A
$
3,460,000
Seattle
WA
Purchase
Financial Instrument for Home Loan Modifications
$
440,000
N/A
1000828
10524
10524
10524
Michigan City
IN
Purchase
Financial Instrument for Home Loan Modifications
$
700,000
N/A
1000825
1000825
1000825
1000825
(11)
$
$
(4)
$
$
10,000
$
180,000 Updated HPDP cap & HAFA initial cap
$
30,000
$
210,000 Updated portfolio data from servicer
$
(10,000)
$
200,000 Updated portfolio data from servicer
$
90,111
$
290,111 Updated portfolio data from servicer
$
(290,111)
$
$
160,000
$
$
(3,620,000) $
$
20,000
$
$
1,430,000
$
1,890,000 Updated portfolio data from servicer
$
(390,000)
$
1,500,000 Updated portfolio data from servicer
$
(1,500,000)
$
$
30,000
$
$
1,740,000
$
$
(1,870,000)
$
600,000 Updated portfolio data from servicer
$
850,556
$
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
1,450,529 reallocation
Updated due to quarterly assessment and
1,450,512 reallocation
-
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
Purchase
Financial Instrument for Home Loan Modifications
$
4,230,000
N/A
1001411
1001411
1001411
1001411
1001411
1001411
12
1001411
North Grafton
MA
Purchase
Financial Instrument for Home Loan Modifications
$
340,000
N/A
$
140,000
$
940,000 Updated portfolio data from servicer
$
(140,000)
$
800,000 Updated portfolio data from servicer
$
70,334
$
870,334 Updated portfolio data from servicer
$
(1)
$
$
(1)
$
$
(12)
$
$
(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)
$
$
200,000
$
4,430,000 Updated HPDP cap & HAFA initial cap
$
(1,470,000)
$
2,960,000 Updated portfolio data from servicer
$
(1,560,000)
$
1,400,000 Updated portfolio data from servicer
$
5,852,780
$
7,252,780 Updated portfolio data from servicer
$
(11)
$
$
(13)
$
7,252,769 Updated portfolio data from servicer
Updated due to quarterly assessment and
7,252,756 reallocation
4/13/2011
FL
800,000 Updated HPDP cap & HAFA initial cap
3/30/2011
Sarasota
$
1/6/2011
10025
40,000
9/30/2010
12
$
$
7/14/2010
10025
(1,450,512)
3/26/2010
10025
$
$
1/22/2010
10025
$
(17)
6/28/2012
10025
(23)
$
6/29/2011
10025
$
1/22/2010
N/A
$
3/30/2011
760,000
$
(2)
1/6/2011
$
(2)
$
9/30/2010
Financial Instrument for Home Loan Modifications
$
7/14/2010
Purchase
10025
1001192
$
$
3/26/2010
OH
10025
1001192
(30)
9/21/2012
Solon
1001192
$
$
6/28/2012
1000825
1001192
(8)
6/29/2011
1000825
1001192
$
$
1/6/2011
1000825
Grafton Suburban Credit Union
(45)
3/30/2011
1000825
12/23/2009
$
$
1/22/2010
N/A
$
(16)
9/30/2010
Financial Instrument for Home Loan Modifications
(24)
$
7/14/2010
Purchase
$
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
3/26/2010
OH
$
9/8/2010
Lakewood
(3)
7/14/2010
1001397
$
3/26/2010
1001397
1,595,612 Updated portfolio data from servicer
$
1/22/2010
1001397
$
(2)
1/22/2010
1001397
95,612
$
1/22/2010
N/A
$
4/21/2010
170,000
1,500,000 Updated portfolio data from servicer
2/17/2011
$
$
9/30/2010
Financial Instrument for Home Loan Modifications
1,430,000
7/14/2010
Purchase
70,000 Updated portfolio data from servicer
$
3/26/2010
KS
$
$
9/27/2013
Garden City
30,000
(580,000)
6/27/2013
1000438
Iberiabank
650,000 Updated HPDP cap & HAFA initial cap
$
$
3/25/2013
1000438
12/23/2009
Termination of SPA
100,000 Transfer of cap due to servicing transfer
12/27/2012
1000438
Park View Federal Savings Bank
-
$
9/27/2012
1000438
12/16/2009
100,000
6/28/2012
1000438
Horizon Bank, NA
$
6/29/2011
1000438
12/16/2009
6/16/2011
(150,000) $
3/30/2011
1000438
Sound Community Bank
$
$
1/6/2011
1000438
12/16/2009
(3)
9/30/2010
1000438
First Federal Savings and Loan Association of Lakewood
$
$
7/14/2010
1000438
12/16/2009
$
(9)
1/22/2010
1000438
Golden Plains Credit Union
(24)
$
Reason for Adjustment
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
3/26/2010
1000438
12/16/2009
$
4/21/2010
N/A
$
9/27/2013
Bryn Mawr
(6)
6/27/2013
1000753
12/16/2009
Adjusted Cap
$
3/25/2013
1000753
The Bryn Mawr Trust Co.
Cap Adjustment Amount
12/27/2012
1000753
12/11/2009
Adjustment
Date
$
(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)
$
725,277 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,276 reallocation
-
Termination of SPA
53,937 Termination of SPA
25,502 Termination of SPA
360,000 Updated HPDP cap & HAFA initial cap
102
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
1001192
1/13/2010
$
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
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
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
10,000
$
100,000 Updated portfolio data from servicer
$
45,056
$
145,056 Updated portfolio data from servicer
$
(145,056)
$
$
480,000
$
740,000 Updated portfolio data from servicer
$
(140,000)
$
600,000 Updated portfolio data from servicer
$
(19,778)
$
580,222 Updated portfolio data from servicer
$
(1)
$
$
(1)
$
$
(8)
$
$
(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
$
50,000
$
900,000 Updated portfolio data from servicer
$
(29,666)
$
870,334 Updated portfolio data from servicer
$
(1)
$
870,333 Updated portfolio data from servicer
$
(870,333)
$
3/26/2010
$
150,000
$
290,000 Updated portfolio data from servicer
$
10,000
$
300,000 Updated portfolio data from servicer
$
(9,889)
$
290,111 Updated portfolio data from servicer
1/26/2011
Financial Instrument for Home Loan Modifications
$
9/30/2010
Purchase
90,000 Updated portfolio data from servicer
7/14/2010
CA
$
3/23/2011
Fresno
Fresno County Federal Credit Union
(20,000)
1/6/2011
1000703
$
9/30/2010
1000703
$
7/14/2010
1000703
(145,056)
3/26/2010
N/A
145,056 Updated portfolio data from servicer
$
6/28/2012
110,000
200,000 Updated portfolio data from servicer
$
6/29/2011
$
$
(54,944)
3/30/2011
Financial Instrument for Home Loan Modifications
50,000
$
1/6/2011
Purchase
$
9/30/2010
AZ
150,000 Updated portfolio data from servicer
7/14/2010
Tempe
$
12/8/2010
1001078
$
90,000
3/26/2010
N/A
(725,265)
9/30/2010
60,000
$
7/14/2010
$
$
3/26/2010
5/20/2011
Financial Instrument for Home Loan Modifications
$
9/30/2010
Purchase
1001078
Tempe Schools Credit Union
Reason for Adjustment
Updated due to quarterly assessment and
725,265 reallocation
(11)
7/14/2010
OH
1001078
12/23/2009
Adjusted Cap
$
1/25/2012
Eaton
Eaton National Bank & Trust Company
Cap Adjustment Amount
6/29/2011
1001192
12/23/2009
Adjustment
Date
$
(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
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
-
-
-
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
103
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
1000635
1001415
1001415
1001415
1001415
1001415
1001415
1001415
1/29/2010
Griffin
United Bank
GA
Purchase
Financial Instrument for Home Loan Modifications
$
540,000
N/A
1000893
1000893
1000893
1000893
1000893
1000893
1000893
1000893
1000893
1000893
3/3/2010
Lake Mary
FL
Purchase
Financial Instrument for Home Loan Modifications
$
1,060,000
N/A
Irving
Urban Trust Bank
TX
Purchase
Financial Instrument for Home Loan Modifications
$
28,040,000
N/A
1001435
3/5/2010
iServe Servicing, Inc.
1001384
1001384
1001384
1001384
1001384
1001384
1001384
1001384
1001384
1001384
$
(8)
$
$
(4)
$
$
(10)
$
$
(2)
$
$
(7)
$
$
(2)
$
$
(1)
$
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
3/26/2010
$
12,190,000
$
$
(15,240,000)
$
3/26/2010
$
(730,000)
$
230,000 Updated portfolio data from servicer
$
370,000
$
600,000 Updated portfolio data from servicer
$
200,000
$
800,000 Initial FHA-HAMP cap and initial 2MP cap
$
(364,833)
$
435,167 Updated portfolio data from servicer
$
100,000
$
535,167 Transfer of cap due to servicing transfer
$
(1)
$
$
(1)
$
$
(7)
$
$
(6)
$
$
(15)
$
$
(3)
$
$
(10)
$
$
(4)
$
$
(1)
$
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
3/26/2010
$
160,000
$
700,000 Updated portfolio data from servicer
$
25,278
$
725,278 Updated portfolio data from servicer
$
(1)
$
$
(1)
$
$
(11)
$
$
(8)
$
$
(22)
$
$
(4)
$
$
(14)
$
$
(5)
$
$
(2)
$
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
7/14/2010
$
4,440,000
$
9/24/2010
1001415
$
9/27/2013
1001415
(1)
6/27/2013
1001415
$
3/25/2013
1001415
$
12/27/2012
1001415
(1)
9/27/2012
1001415
870,334 Updated portfolio data from servicer
$
6/28/2012
N/A
$
6/29/2011
960,000
170,334
3/30/2011
$
700,000 Updated portfolio data from servicer
$
1/6/2011
Financial Instrument for Home Loan Modifications
$
9/30/2010
Purchase
(8,750,000)
9/27/2013
CA
9,450,000 Updated portfolio data from servicer
$
6/27/2013
San Diego
iServe Residential Lending, LLC
152,265,077 Transfer of cap due to servicing transfer
$
3/25/2013
N/A
$
8,680,000
12/27/2012
3,050,000
860,000
$
9/27/2012
$
$
3/26/2010
6/28/2012
Financial Instrument for Home Loan Modifications
151,405,423 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
151,405,077 reallocation
6/29/2011
Purchase
$
3/30/2011
MA
(346)
1/6/2011
Marlborough
10416
$
11/16/2010
10517
151,585,423 Transfer of cap due to servicing transfer
$
9/30/2010
10517
$
(180,000)
9/30/2010
10517
(3,720,000)
$
7/14/2010
10517
$
5/14/2010
10517
155,306,408 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
155,305,423 reallocation
9/27/2013
10517
$
6/27/2013
10517
(985)
3/25/2013
10517
$
12/27/2012
10517
$
9/27/2012
10517
3,670,000
6/28/2012
N/A
151,636,408 Transfer of cap due to servicing transfer
$
6/29/2011
770,000
152,886,408 Transfer of cap due to servicing transfer
$
3/30/2011
$
$
(1,250,000)
1/6/2011
Financial Instrument for Home Loan Modifications
(750,000)
$
9/30/2010
Purchase
$
7/14/2010
NV
153,638,992 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
153,636,408 reallocation
10/15/2013
Carson City
10517
$
9/27/2013
1000635
$
(2,584)
9/16/2013
1000635
(1,450,000)
$
7/16/2013
1000635
$
6/27/2013
1000635
155,088,992 Transfer of cap due to servicing transfer
6/14/2013
1000635
$
5/16/2013
1000635
1/29/2010
Reason for Adjustment
6,650,000
4/16/2013
1000635
Digital Federal Credit Union
Adjusted Cap
$
3/25/2013
1000635
1/15/2010
Cap Adjustment Amount
3/14/2013
1000635
Greater Nevada Mortgage Services
Adjustment
Date
2/14/2013
1000635
1/13/2010
Note
$
(5,500,000)
$
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)
$
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
15,240,000 Updated portfolio data from servicer
-
Termination of SPA
5,500,000 Updated portfolio data from servicer
-
Termination of SPA
104
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Pricing
Mechanism
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Note
1001384
7/16/2013
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
$
$
(1)
$
$
(11)
$
$
(8)
$
$
(22)
$
$
(4)
$
$
(14)
$
$
(5)
$
$
(2)
$
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
$
300,000
$
600,000 Updated portfolio data from servicer
$
(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
10425
10425
10425
10425
10425
10425
10425
Houston
TX
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
$
6,400,000 Updated portfolio data from servicer
$
1,600,000
$
8,000,000 Transfer of cap due to servicing transfer
$
(4,352,173)
$
3,647,827 Updated portfolio data from servicer
$
(5)
$
$
(6)
$
3,647,822 Updated portfolio data from servicer
Updated due to quarterly assessment and
3,647,816 reallocation
$
(3,000,000)
$
$
(9)
$
$
(7)
$
$
(19)
$
$
(3)
$
$
(12)
$
$
(5)
$
$
(2)
$
5/26/2010
$
30,000
$
$
250,111
$
$
59,889
$
$
(2)
$
$
(5)
$
$
(1)
$
$
(3)
$
6/27/2013
4, 8
(150,000)
3/25/2013
N/A
$
$
12/27/2012
10,000
$
(580,212)
9/27/2012
$
(8)
$
6/28/2012
Financial Instrument for Home Loan Modifications
$
6/29/2011
Purchase
$
9/30/2010
NJ
$
(1)
9/27/2013
Marlton
(1)
$
6/27/2013
1000657
$
3/25/2013
1000657
1001460
(1)
12/27/2012
1000657
1001460
725,278 Updated portfolio data from servicer
$
9/27/2012
1000657
1001460
$
6/28/2012
1000657
1001460
700,000 Updated portfolio data from servicer
25,278
6/29/2011
1000657
1001460
$
$
7/14/2010
N/A
1000657
1001460
400,000
4/13/2011
6,550,000
1000657
1001460
$
$
3/30/2011
$
1000657
1001460
(22)
1/6/2011
Financial Instrument for Home Loan Modifications
1000657
1001460
$
$
9/30/2010
Purchase
1000657
Selene Finance LP
(68)
9/15/2010
OR
1000657
6/16/2010
$
$
7/14/2011
Beaverton
Aurora Financial Group, Inc.
(199)
6/29/2011
1001521
5/21/2010
$
$
1/6/2011
1001521
Wealthbridge Mortgage Corp
(58)
3/30/2011
1001521
4/14/2010
$
$
9/30/2010
1000468
(374)
7/14/2010
1000468
$
$
9/27/2013
N/A
$
(145)
6/27/2013
300,000
(238)
$
3/25/2013
$
$
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
12/27/2012
Financial Instrument for Home Loan Modifications
$
9/27/2012
Purchase
(26)
6/28/2012
PA
$
6/29/2011
Wyomissing
$
3/30/2011
1000494
(23)
1/6/2011
1000494
16,971,505 Updated portfolio data from servicer
$
9/30/2010
1000494
15,900,000 Updated portfolio data from servicer
$
7/14/2010
1000494
$
1,071,505
9/27/2013
1000494
(44,880,000)
$
6/27/2013
1000494
$
3/25/2013
1000494
13,263,396 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
13,263,356 reallocation
12/27/2012
1000494
$
7/14/2010
N/A
(40)
9/27/2012
60,780,000
$
$
6/28/2012
$
$
(10,000)
6/29/2011
Financial Instrument for Home Loan Modifications
(112)
$
3/30/2011
Purchase
$
1/6/2011
VA
1000494
VIST Financial Corp
Reason for Adjustment
Updated due to quarterly assessment and
13,273,508 reallocation
Updated due to quarterly assessment and
13,273,396 reallocation
$
9/30/2010
Vienna
1000494
3/10/2010
Adjusted Cap
(297)
9/27/2013
1001384
$
6/27/2013
1001384
Navy Federal Credit Union
Cap Adjustment Amount
3/25/2013
1001384
3/10/2010
Adjustment
Date
$
(1)
$
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
-
Termination of SPA
647,816 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
647,807 reallocation
Updated due to quarterly assessment and
647,800 reallocation
Updated due to quarterly assessment and
647,781 reallocation
Updated due to quarterly assessment and
647,778 reallocation
Updated due to quarterly assessment and
647,766 reallocation
Updated due to quarterly assessment and
647,761 reallocation
Updated due to quarterly assessment and
647,759 reallocation
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
Transfer of cap from CitiMortgage, Inc. due to
3,680,000 servicing transfer
6,980,000 Transfer of cap due to servicing transfer
105
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
1001460
880,000
1000602
1000602
1000602
Cincinanati
OH
Purchase
Financial Instrument for Home Loan Modifications
$
700,000
N/A
1001708
NY
Purchase
Financial Instrument for Home Loan Modifications
$
1,300,000
$
(146)
$
$
170,000
$
$
(52)
$
$
1,585,945
$
2,465,945 Updated portfolio data from servicer
$
(4)
$
$
(4)
$
$
(40)
$
$
(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
$
(2,465,867)
$
$
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
17,982,213 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
17,982,067 reallocation
18,152,067 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
18,152,015 reallocation
-
Termination of SPA
$
(2)
$
$
(3)
$
$
(28)
$
$
(1,740,634)
$
$
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
-
Termination of SPA
Raleigh
NC
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1001421
1001421
1001421
1001421
1001421
15
1
Chicago
IL
Purchase
Financial Instrument for Home Loan Modifications
$
3,100,000
N/A
$
$
(10)
$
$
7,014,337
$
11,314,337 Updated portfolio data from servicer
$
(17)
$
$
(20)
$
$
(192)
$
$
(144)
$
$
(396)
$
$
(67)
$
$
(253)
$
$
(95)
$
$
(34)
$
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
9/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
$
34,944
$
$
40,000
$
$
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
$
(200,000)
$
70,000 Transfer of cap due to servicing transfer
6/14/2012
1000951
(29)
3/15/2012
1000951
$
$
6/29/2011
1000951
(76)
3/30/2011
1000951
$
$
1/6/2011
1000951
(20)
9/27/2013
1000951
$
$
6/27/2013
1000951
(119)
3/25/2013
1000951
$
$
12/27/2012
1000951
$
(43)
9/30/2010
N/A
(58)
$
9/27/2012
4,300,000
$
6/28/2012
$
$
6/29/2011
Financial Instrument for Home Loan Modifications
$
(6)
3/30/2011
Purchase
(5)
$
1/6/2011
ID
$
9/27/2013
Terre Haute
1001727
(30,000)
$
6/27/2013
1001240
1001727
$
18,012,597 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
18,012,213 reallocation
3/25/2013
1001240
1001727
$
12/27/2012
1001240
1001727
$
(384)
9/27/2012
1001240
1001727
90,000
$
6/28/2012
1001240
1001727
$
17,922,699 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
17,922,597 reallocation
6/29/2011
1001240
Fay Servicing, LLC
$
1/6/2011
1001240
9/3/2010
$
(102)
3/30/2011
1001240
RBC Bank (USA)
70,000
$
9/30/2010
N/A
1001240
9/1/2010
$
8/10/2011
Oswego
First Financial Bank, N.A.
17,853,299 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
17,852,699 reallocation
6/29/2011
1001708
8/27/2010
$
1/6/2011
1001708
Pathfinder Bank
(600)
3/30/2011
1001708
8/25/2010
$
9/30/2010
1000602
17,373,299 Transfer of cap due to servicing transfer
$
9/30/2010
N/A
$
480,000
8/10/2012
$
40,000
$
6/28/2012
Financial Instrument for Home Loan Modifications
$
6/29/2011
Purchase
17,333,517 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
17,333,299 reallocation
3/30/2011
NM
$
1/6/2011
Albuquerque
(218)
9/27/2013
1000602
$
7/16/2013
1001460
$
6/27/2013
1001460
(300,000)
5/16/2013
1001460
17,633,517 Transfer of cap due to servicing transfer
$
3/25/2013
1001460
$
3/14/2013
1001460
10,000
12/27/2012
1001460
17,623,517 Transfer of cap due to servicing transfer
$
11/15/2012
1001460
17,423,517 Transfer of cap due to servicing transfer
$
9/27/2012
1001460
$
200,000
8/16/2012
1001460
1,100,000
$
7/16/2012
1001460
$
6/28/2012
1001460
16,323,517 Transfer of cap due to servicing transfer
6/14/2012
1001460
$
5/16/2012
1001460
Bramble Savings Bank
Reason for Adjustment
100,000
4/16/2012
1001460
8/20/2010
Adjusted Cap
$
11/16/2011
1001460
Suburban Mortgage Company of New Mexico
Cap Adjustment Amount
10/14/2011
1001460
8/4/2010
Adjustment
Date
$
(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
106
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
1001727
1001557
1001557
1001557
1001557
1001557
1001557
1001557
$
200,000
$
14,307,325 Transfer of cap due to servicing transfer
$
3,710,000
$
18,017,325 Transfer of cap due to servicing transfer
$
1,760,000
$
$
(86)
$
19,777,325 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
19,777,239 reallocation
$
6,650,000
$
26,427,239 Transfer of cap due to servicing transfer
$
20,000
$
26,447,239 Transfer of cap due to servicing transfer
$
4,840,000
$
$
(54)
$
31,287,239 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
31,287,185 reallocation
$
720,000
$
32,007,185 Transfer of cap due to servicing transfer
9/15/2010
$
1,000,000
$
1,000,000 Transfer of cap due to servicing transfer
$
450,556
$
1,450,556 Updated portfolio data from servicer
$
(2)
$
1,450,554 Updated portfolio data from servicer
$
3,000,000
$
4,450,554 Transfer of cap due to servicing transfer
$
10,200,000
$
$
(24)
$
$
(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
$
12,000,000
$
26,650,303 Transfer of cap due to servicing transfer
$
4,100,000
$
30,750,303 Transfer of cap due to servicing transfer
$
900,000
$
31,650,303 Transfer of cap due to servicing transfer
$
300,000
$
$
(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
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
1000704
Ottawa
IL
Purchase
Financial Instrument for Home Loan Modifications
$
1,900,000
N/A
10204
10204
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
$
180,222
$
580,222 Updated portfolio data from servicer
$
(1)
$
$
(1)
$
$
(8)
$
$
(6)
$
$
(17)
$
$
(3)
$
$
(11)
$
$
(4)
$
$
(1)
$
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
$
45,056
$
145,056 Updated portfolio data from servicer
$
(145,056)
$
$
856,056
$
2,756,056 Updated portfolio data from servicer
$
(4)
$
2,756,052 Updated portfolio data from servicer
$
(2,756,052)
$
9/30/2010
N/A
(80)
$
$
45,056
$
3/23/2011
CA
$
3/9/2011
Pasadena
$
1/6/2011
1000879
$
(223)
9/30/2010
1000879
(40,000)
$
2/2/2011
1000879
$
9/30/2010
1000879
$
9/27/2013
1000879
$
(591)
6/27/2013
1000879
8,020,000
$
3/25/2013
1000879
$
12/27/2012
1000879
$
9/30/2010
N/A
(114)
9/27/2012
400,000
$
$
6/28/2012
$
$
720,000
6/29/2011
Financial Instrument for Home Loan Modifications
(689)
$
3/30/2011
Purchase
$
1/6/2011
IL
1000879
1000478
14,107,539 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,107,325 reallocation
9/27/2013
Freeport
Amarillo National Bank
$
6/27/2013
1001557
9/30/2010
(214)
5/16/2013
1001557
AgFirst Farm Credit Bank
$
3/25/2013
1001557
9/30/2010
$
1/16/2013
1001557
Centrue Bank
(80,000)
12/27/2012
1001557
9/24/2010
14,187,539 Transfer of cap due to servicing transfer
$
9/27/2012
1001557
American Finance House LARIBA
14,777,539 Transfer of cap due to servicing transfer
$
11/15/2012
1001557
9/24/2010
$
(590,000)
6/28/2012
1001557
30,000
$
4/16/2012
1001557
$
1/13/2012
1001557
14,747,600 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,747,539 reallocation
12/15/2011
1001557
$
7/14/2011
9
$
(61)
6/29/2011
N/A
1,810,000
$
3/30/2011
-
$
3/16/2011
$
12,937,894 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
12,937,600 reallocation
2/16/2011
Financial Instrument for Home Loan Modifications
$
1/6/2011
Purchase
(294)
9/30/2010
OK
$
10/15/2013
Oklahoma City
1001557
12,847,894 Transfer of cap due to servicing transfer
$
9/27/2013
1001727
$
90,000
9/16/2013
1001727
50,000
$
8/15/2013
1001727
$
7/16/2013
1001727
12,797,999 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
12,797,894 reallocation
6/27/2013
1001727
$
6/14/2013
1001727
(105)
5/16/2013
1001727
$
4/16/2013
1001727
$
3/25/2013
1001727
(210,000)
3/14/2013
1001727
13,007,999 Transfer of cap due to servicing transfer
$
2/14/2013
1001727
$
1/16/2013
1001727
40,000
12/27/2012
1001727
12,967,999 Transfer of cap due to servicing transfer
$
10/16/2012
1001727
11,367,999 Transfer of cap due to servicing transfer
$
9/27/2012
1001727
$
1,600,000
8/16/2012
1001727
1,700,000
$
7/16/2012
1001727
$
6/28/2012
1001727
9,667,999 Transfer of cap due to servicing transfer
6/14/2012
1001727
$
5/16/2012
1001727
Midwest Community Bank
Reason for Adjustment
200,000
4/16/2012
1001727
9/15/2010
Adjusted Cap
$
12/15/2011
1001727
Caliber Home Loans, Inc (Vericrest Financial, Inc.)
Cap Adjustment Amount
11/16/2011
1001727
9/15/2010
Adjustment
Date
$
(145,056)
$
9/30/2010
$
45,056
$
6/29/2011
$
(1)
$
32,669,348 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
32,669,234 reallocation
40,689,234 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
40,688,643 reallocation
40,648,643 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
40,648,420 reallocation
Updated due to quarterly assessment and
40,648,340 reallocation
-
-
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
107
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
1000478
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
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
$
$
(53)
$
$
(20)
$
$
460,000
$
$
(7)
$
9/30/2010
$
45,056
$
$
(1)
$
$
(1)
$
$
(2)
$
$
(1)
$
$
360,445
$
1,160,445 Updated portfolio data from servicer
$
(2)
$
1,160,443 Updated portfolio data from servicer
$
(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
2,925,702 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
2,925,695 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
-
Termination of SPA
100,000
N/A
10364
10364
Diamond Bar
CA
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
10253
10253
10253
10253
Cincinnati
OH
Purchase
Financial Instrument for Home Loan Modifications
$
400,000
N/A
1000487
1000487
Troy
MI
Purchase
Financial Instrument for Home Loan Modifications
$
800,000
N/A
7, 8
10228
$
9/14/2012
$
(2,888,387)
$
9/30/2010
$
45,056
$
$
(1)
$
$
(1)
$
$
(2)
$
$
(1)
$
9/30/2010
$
45,056
$
$
(1)
$
$
(1)
$
$
(2)
$
$
(1)
$
9/30/2010
$
45,056
$
$
(1)
$
$
(1)
$
$
(2)
$
$
(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
Updated due to quarterly assessment and
145,052 reallocation
Updated due to quarterly assessment and
145,051 reallocation
9/30/2010
4, 8
$
(36)
$
180,222
$
580,222 Updated portfolio data from servicer
$
(1)
$
580,221 Updated portfolio data from servicer
3/23/2011
$
(48)
$
1/6/2011
Financial Instrument for Home Loan Modifications
$
3/25/2013
Purchase
$
9/27/2012
FL
$
(5)
6/28/2012
4, 8
(4)
$
6/29/2011
N/A
$
3/25/2013
100,000
10364
$
(580,221)
$
9/30/2010
$
360,445
$
1,160,445 Updated portfolio data from servicer
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
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
-
Termination of SPA
1/6/2011
Cincinnati
OH
Purchase
Financial Instrument for Home Loan Modifications
$
1,700,000
N/A
4
$
$
(37)
$
$
(6)
$
$
(24)
$
$
(9)
$
9/27/2013
10228
$
(14)
6/27/2013
10228
(18)
$
3/25/2013
10228
$
12/27/2012
10228
$
9/27/2012
10228
$
(2)
6/28/2012
10228
(2)
$
6/29/2011
10228
$
3/30/2011
10228
Franklin Savings
(14)
9/27/2012
$
10364
9/30/2010
$
$
6/28/2012
Lake City
Flagstar Capital Markets Corporation
(83)
6/29/2011
Financial Instrument for Home Loan Modifications
10616
9/30/2010
$
$
3/25/2013
Purchase
10616
First Safety Bank
$
(30)
9/27/2012
MN
10616
9/30/2010
(36)
$
6/28/2012
New Brighton
First Mortgage Corporation
$
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
6/29/2011
12
10616
9/30/2010
$
6/28/2012
8
First Federal Bank of Florida
(4)
6/29/2011
8
9/30/2010
$
1/6/2011
8
CU Mortgage Services, Inc.
$
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
3/30/2011
8
9/30/2010
2,465,945 Updated portfolio data from servicer
(3)
3/23/2011
1000509
$
$
1/6/2011
1000509
$
765,945
9/30/2010
4, 5, 8
$
3/25/2013
N/A
9/30/2010
9/27/2012
1,700,000
(1)
6/28/2012
$
$
$
6/29/2011
Financial Instrument for Home Loan Modifications
$
(2)
9/27/2013
Purchase
(1)
$
9/16/2013
PR
$
6/27/2013
San Juan
1000509
$
3/25/2013
1001726
(1)
12/27/2012
1001726
$
$
9/27/2012
1001726
$
6/28/2012
4, 8
45,056
6/29/2011
N/A
$
3/30/2011
100,000
9/30/2010
1/6/2011
$
$
(1)
3/25/2013
Financial Instrument for Home Loan Modifications
(2)
$
9/27/2012
Purchase
$
6/28/2012
NJ
$
6/29/2011
Parsippany
Banco Popular de Puerto Rico
Reason for Adjustment
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
(1)
3/25/2013
1001726
9/30/2010
Adjusted Cap
$
9/27/2012
1000478
American Financial Resources Inc.
Cap Adjustment Amount
6/28/2012
1000478
9/30/2010
Adjustment
Date
$
(3)
$
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
9/30/2010
$
765,945
$
2,465,945 Updated portfolio data from servicer
108
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
1000773
6/29/2011
1000773
1000492
New Orleans
LA
Purchase
Financial Instrument for Home Loan Modifications
$
1,000,000
N/A
1001010
1001010
1001010
1001010
1001010
1001010
1001010
1001010
1001010
Buffalo
NY
Purchase
Financial Instrument for Home Loan Modifications
$
700,000
N/A
4, 8
10529
10529
10529
10529
10529
10529
10529
10529
10529
Germantown
1000645
1000645
1000645
1000645
1000645
TN
Purchase
Financial Instrument for Home Loan Modifications
$
1,400,000
N/A
5
$
(1)
$
$
(2)
$
$
(1)
$
9/30/2010
$
135,167
$
435,167 Updated portfolio data from servicer
$
(1)
$
$
(1)
$
$
(6)
$
$
(4)
$
$
(12)
$
$
(2)
$
$
(8)
$
$
(3)
$
$
(1)
$
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
$
450,556
$
1,450,556 Updated portfolio data from servicer
$
(2)
$
$
(2)
$
$
(23)
$
$
(17)
$
$
(48)
$
$
(8)
$
$
(30)
$
$
(11)
$
$
(4)
$
1,450,554 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,552 reallocation
Updated due to quarterly assessment and
1,450,529 reallocation
Updated due to quarterly assessment and
1,450,512 reallocation
Updated due to quarterly assessment and
1,450,464 reallocation
Updated due to quarterly assessment and
1,450,456 reallocation
Updated due to quarterly assessment and
1,450,426 reallocation
Updated due to quarterly assessment and
1,450,415 reallocation
Updated due to quarterly assessment and
1,450,411 reallocation
9/30/2010
$
315,389
$
1,015,389 Updated portfolio data from servicer
$
(1)
$
$
(1)
$
$
(11)
$
$
(11)
$
$
(30)
$
$
(5)
$
$
(20)
$
$
(7)
$
9/27/2013
1000492
(1)
$
6/27/2013
1000492
$
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
3/25/2013
1000492
$
12/27/2012
1000492
45,056
9/27/2012
1000492
$
6/28/2012
1000492
9/30/2010
6/29/2011
1000492
$
3/30/2011
4, 8
145,056 Updated portfolio data from servicer
(145,056)
1/6/2011
N/A
$
$
9/27/2013
300,000
45,056
6/27/2013
$
$
$
3/25/2013
Financial Instrument for Home Loan Modifications
(1)
12/27/2012
Purchase
$
$
9/27/2012
MO
(2)
9/30/2010
4, 8
$
$
6/28/2012
N/A
$
(1)
6/29/2011
100,000
(1)
$
3/30/2011
$
$
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
1/6/2011
Financial Instrument for Home Loan Modifications
$
9/27/2013
Purchase
45,056
6/27/2013
MN
$
3/25/2013
N/A
$
9/30/2010
12/27/2012
100,000
$
(2,446,075)
9/27/2012
$
(7)
$
6/28/2012
Financial Instrument for Home Loan Modifications
$
10/24/2013
6/29/2011
Purchase
1000492
1000645
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
3/30/2011
Kansas City
1000645
$
1/6/2011
MA
10350
1000645
(20)
9/30/2010
4, 8
10350
Magna Bank
$
$
3/25/2013
N/A
10350
9/30/2010
(10,000)
9/27/2012
Saint Paul
M&T Bank
$
$
6/28/2012
100,000
10350
9/30/2010
(53)
6/29/2011
Gardner
Liberty Bank and Trust Co
$
$
3/23/2011
$
1001637
9/30/2010
(14)
3/25/2013
Financial Instrument for Home Loan Modifications
1001744
James B. Nutter & Company
$
$
9/27/2012
Purchase
1001744
9/24/2010
(83)
6/28/2012
OK
1001744
Guaranty Bank
$
$
6/29/2011
12
Tulsa
1001744
9/30/2010
(30)
Reason for Adjustment
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
9/27/2013
1000773
GFA Federal Credit Union
$
$
6/27/2013
1000773
$
(40)
6/14/2013
1000773
(4)
$
3/25/2013
1000773
$
12/27/2012
1000773
$
9/27/2012
1000773
9/30/2010
Adjusted Cap
(4)
6/28/2012
1000773
$
3/30/2011
1000773
Gateway Mortgage Group, LLC
Cap Adjustment Amount
1/6/2011
1000773
9/30/2010
Adjustment
Date
$
(3)
$
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
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)
$
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
9,615 Termination of SPA
-
Termination of SPA
109
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Pricing
Mechanism
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Note
1000645
9/30/2010
NC
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1001907
1001907
1001907
1001907
Oklahoma City
Midland Mortgage Company
OK
Purchase
Financial Instrument for Home Loan Modifications
$
43,500,000
N/A
4, 5
10457
$
(1)
$
$
(1)
$
$
(1)
$
$
(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
85,052 Transfer of cap due to servicing transfer
1000818
1000818
1000818
1000818
Salt Lake City
UT
Purchase
Financial Instrument for Home Loan Modifications
$
600,000
N/A
1001721
1001721
Woodbridge
VA
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1001893
1001893
1001893
1001893
Denver
CO
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1001754
1001754
1001754
(593)
$
$
(199)
$
9/30/2010
$
45,056
$
$
(1)
$
$
(1)
$
$
(2)
$
$
(1)
$
9/30/2010
$
45,056
$
$
(1)
$
$
(1)
$
$
(2)
$
$
(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
Updated due to quarterly assessment and
145,052 reallocation
Updated due to quarterly assessment and
145,051 reallocation
$
270,334
$
870,334 Updated portfolio data from servicer
$
(1)
$
870,333 Updated portfolio data from servicer
$
(870,333)
$
9/30/2010
$
45,056
$
$
(1)
$
$
(1)
$
$
(2)
$
$
(1)
$
12/15/2010
$
5,000,000
$
5,000,000 Updated portfolio data from servicer
$
(7)
$
4,999,993 Updated portfolio data from servicer
$
500,000
$
5,499,993 Transfer of cap due to servicing transfer
$
100,000
$
3/30/2011
4, 8
$
$
3/16/2011
N/A
$
(1,729)
2/16/2011
100,000
(507)
$
1/6/2011
$
$
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
3/25/2013
Financial Instrument for Home Loan Modifications
$
9/27/2012
Purchase
(3,170)
6/28/2012
MT
$
6/29/2011
Miles City
$
2/17/2011
1001163
387,953,522 Transfer of cap due to servicing transfer
(263,550,000)
1/6/2011
1001163
$
$
9/30/2010
1001163
294,540,000
3/25/2013
1001163
$
$
9/27/2012
4, 8
$
(797)
6/28/2012
N/A
(1,223)
$
6/29/2011
100,000
$
3/25/2013
$
$
9/27/2012
Financial Instrument for Home Loan Modifications
$
(139)
6/28/2012
Purchase
(125)
$
6/29/2011
OH
$
9/27/2013
Mid America Mortgage, Inc. (Schmidt Mortgage Company) Rocky River
$
(9)
$
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
-
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
6/29/2011
1001754
(85)
$
$
(2,500,000)
$
3,099,899 Transfer of cap due to servicing transfer
$
200,000
$
6/28/2012
1001754
$
3/15/2012
1001754
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
1001754
$
(40)
$
9/27/2012
1001754
1001754
San Juan
PR
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
$
(17)
$
3,359,759 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,359,742 reallocation
$
50,000
$
3,409,742 Transfer of cap due to servicing transfer
$
1,240,000
$
4,649,742 Transfer of cap due to servicing transfer
$
90,000
$
$
(90)
$
4,739,742 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
4,739,652 reallocation
$
(10,000)
$
$
(34)
$
9/27/2013
1001754
$
6/27/2013
1001754
(80,000)
4/16/2013
1001754
3,439,759 Transfer of cap due to servicing transfer
$
3/25/2013
1001754
$
3/14/2013
1001754
3,469,759 Transfer of cap due to servicing transfer
(30,000)
2/14/2013
1001754
$
$
1/16/2013
1001754
$
170,000
12/27/2012
1001754
(100)
$
12/14/2012
1001754
$
11/15/2012
1001754
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
1001754
Scotiabank de Puerto Rico
(1)
$
Termination of SPA
6/27/2013
10457
12/15/2010
$
-
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
3/25/2013
10457
Statebridge Company, LLC
$
12/27/2012
10457
12/15/2010
45,056
9/27/2012
10457
Weststar Mortgage, Inc.
$
7/27/2012
10457
9/30/2010
9/30/2010
7/16/2012
10457
University First Federal Credit Union
$
6/28/2012
10457
9/30/2010
(725,277)
6/29/2011
10457
Stockman Bank of Montana
725,277 Updated portfolio data from servicer
$
1/6/2011
10457
9/30/2010
725,278 Updated portfolio data from servicer
$
3/30/2011
10457
9/30/2010
$
(1)
10/15/2013
Charlotte
225,278
$
3/25/2013
N/A
$
9/27/2012
500,000
9/30/2010
6/28/2012
$
$
6/29/2011
Financial Instrument for Home Loan Modifications
1001907
9/30/2010
Reason for Adjustment
Updated due to quarterly assessment and
2,030,569 reallocation
(6)
3/9/2011
Purchase
1001636
Marsh Associates, Inc.
Adjusted Cap
$
1/6/2011
KS
1001636
9/30/2010
Cap Adjustment Amount
9/27/2013
Lexena
Mainstreet Credit Union
Adjustment
Date
$
(13)
$
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
12/15/2010
$
4,300,000
$
4,300,000 Updated portfolio data from servicer
110
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Pricing
Mechanism
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Note
1000991
6/28/2012
-
N/A
9
10151
10151
10151
10151
10151
10151
Chicago
Financial Instrument for Home Loan Modifications
$
-
N/A
9
IL
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1001970
Anaheim Hills
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
200,000
$
$
(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
$
(19)
$
$
(3)
$
$
(12)
$
$
(5)
$
$
150,000
$
$
(2)
$
949,945 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
949,943 reallocation
4/13/2011
$
100,000
$
100,000 Transfer of cap due to servicing transfer
$
120,000
$
$
(1)
$
220,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
219,999 reallocation
$
10,000
$
229,999 Transfer of cap due to servicing transfer
4/13/2011
$
1,000,000
$
1,000,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,233,268 reallocation
$
233,268
$
$
100,000
$
$
(3)
$
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
$
-
N/A
9
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
$
(10)
$
$
(2)
$
$
(7)
$
$
(3)
$
$
(1)
$
4/13/2011
$
200,000
$
$
17,687
$
$
(1)
$
3/25/2013
Financial Instrument for Home Loan Modifications
1001231
1002025
$
9/27/2012
Purchase
1001231
1002025
600,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
599,991 reallocation
6/29/2011
CA
1001231
1002025
$
9/27/2013
Hawthorne
1002025
(9)
6/27/2013
1001970
1002025
$
3/25/2013
1001970
1002025
$
9/27/2012
1001970
1002025
300,000
12/27/2012
1001970
1002025
300,000 Transfer of cap due to servicing transfer
$
6/28/2012
1001970
1002025
$
6/29/2011
1001970
1002025
200,000 Transfer of cap due to servicing transfer
100,000
11/16/2011
1001970
1002025
$
$
7/16/2013
Purchase
10012
1002025
200,000
6/27/2013
VA
10012
1002025
$
6/14/2013
Richmond
1002025
$
4/13/2011
9/27/2013
10012
FCI Lender Services, Inc.
(6)
7/16/2013
10151
5/13/2011
$
$
6/27/2013
10151
Western Federal Credit Union
(16)
3/25/2013
10151
4/13/2011
$
$
9/27/2012
10151
Urban Partnership Bank
(41)
12/27/2012
10151
4/13/2011
$
$
6/28/2012
$
(11)
8/16/2011
Financial Instrument for Home Loan Modifications
$
$
6/29/2011
Purchase
(63)
6/16/2011
OH
$
$
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
5/13/2011
Cleveland
$
(23)
9/27/2013
1000991
(5)
$
6/27/2013
1000991
$
3/25/2013
1000991
SunTrust Mortgage, Inc.
Reason for Adjustment
$
12/27/2012
1000991
4/13/2011
Adjusted Cap
(4)
9/27/2012
1000991
$
6/29/2011
1000991
New York Community Bank (AmTrust Bank)
Cap Adjustment Amount
1/6/2011
1000991
4/13/2011
Adjustment
Date
$
(1)
$
200,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
217,687 reallocation
Updated due to quarterly assessment and
217,686 reallocation
Updated due to quarterly assessment and
217,685 reallocation
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
111
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Pricing
Mechanism
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Note
1002025
1002041
1002041
1002041
1002041
1002041
1002041
1002041
1002041
$
1,269,965 Transfer of cap due to servicing transfer
10,000
$
$
(5)
$
1,279,965 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,279,960 reallocation
$
130,000
$
1,409,960 Transfer of cap due to servicing transfer
$
120,000
$
$
(20)
$
1,529,960 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,529,940 reallocation
$
80,000
$
1,609,940 Transfer of cap due to servicing transfer
$
420,000
$
$
(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
10107
Irvine
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
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, LP
Greenville
SC
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
$
$
(8)
$
$
(30)
$
$
(11)
$
$
5,850,000
$
$
(20)
$
7,289,894 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
7,289,874 reallocation
12/15/2011
$
200,000
$
200,000 Transfer of cap due to servicing transfer
$
600,000
$
$
(3)
$
800,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
799,997 reallocation
$
110,000
$
$
(13)
$
$
1,270,000
$
2,179,984 Transfer of cap due to servicing transfer
$
230,000
$
$
(5)
$
2,409,984 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
2,409,979 reallocation
$
990,000
$
3,399,979 Transfer of cap due to servicing transfer
$
600,000
$
3,999,979 Transfer of cap due to servicing transfer
$
1,980,000
$
$
(77)
$
5,979,979 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,979,902 reallocation
$
340,000
$
6,319,902 Transfer of cap due to servicing transfer
$
1,520,000
$
7,839,902 Transfer of cap due to servicing transfer
$
2,740,000
$
$
(53)
$
10,579,902 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
10,579,849 reallocation
$
2,570,000
$
$
(26)
$
13,149,849 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
13,149,823 reallocation
10/15/2013
10107
140,000
9/27/2013
10107
$
$
9/16/2013
10107
$
(42)
6/27/2013
10107
(15)
6/14/2013
10107
$
5/16/2013
10107
$
4/16/2013
10107
100,000 Transfer of cap due to servicing transfer
1,300,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,299,985 reallocation
Updated due to quarterly assessment and
1,299,943 reallocation
3/25/2013
9
$
3/14/2013
N/A
$
2/14/2013
-
1,300,000
1/16/2013
$
$
12/27/2012
Financial Instrument for Home Loan Modifications
9/15/2011
11/15/2012
Purchase
$
100,000
10/16/2012
NJ
(4)
$
9/27/2012
Mt. Laurel
$
9/15/2011
8/16/2012
PHH Mortgage Corporation
1001111
50,000
$
6/28/2012
9/15/2011
1001111
$
4/16/2012
9
1001111
1,219,991 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,219,965 reallocation
9/27/2013
N/A
1001111
$
7/16/2013
-
1001111
$
(26)
6/27/2013
$
1001111
20,000
$
3/25/2013
Financial Instrument for Home Loan Modifications
1001111
$
12/27/2012
Purchase
1001111
1,200,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,199,991 reallocation
10/16/2012
ME
1001111
$
9/27/2012
Bangor
1001111
$
(9)
6/28/2012
Bangor Savings Bank
Rushmore Loan Management Services LLC
$
9/27/2013
9/15/2011
12/15/2011
100,000
$
6/27/2013
1002041
$
6/14/2013
1002041
1,100,000 Transfer of cap due to servicing transfer
5/16/2013
1002041
$
3/25/2013
1002041
900,000
2/14/2013
1002041
200,000 Transfer of cap due to servicing transfer
$
1/16/2013
1002041
6,909,493 Transfer of cap due to servicing transfer
$
12/27/2012
1002041
$
12/14/2012
9
200,000
10/16/2012
N/A
$
9/27/2012
-
7/14/2011
8/16/2012
$
$
260,000
6/28/2012
Financial Instrument for Home Loan Modifications
(19)
$
1/13/2012
Purchase
$
6,649,512 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
6,649,493 reallocation
11/16/2011
OR
20,000
Reason for Adjustment
9/27/2013
Beaverton
$
Adjusted Cap
10/15/2013
1002025
Gregory Funding, LLC
Cap Adjustment Amount
7/16/2013
1002025
7/14/2011
Adjustment
Date
$
10,000
$
13,159,823 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
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
909,997 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
909,984 reallocation
112
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
1001111
1002292
1002292
1002292
1002292
1002292
1002292
12/14/2012
Detroit
Quicken Loans Inc
MI
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1001579
2/14/2013
Baton Rouge
Home Servicing, LLC
1002324
LA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
19,504,873 Transfer of cap due to servicing transfer
$
30,000 Transfer of cap due to servicing transfer
$
70,000
$
100,000 Transfer of cap due to servicing transfer
$
(10,000)
$
90,000 Transfer of cap due to servicing transfer
$
(10,000)
$
80,000 Transfer of cap due to servicing transfer
$
(10,000)
$
70,000 Transfer of cap due to servicing transfer
$
130,000
$
200,000 Transfer of cap due to servicing transfer
$
(50,000)
$
150,000 Transfer of cap due to servicing transfer
$
(20,000)
$
130,000 Transfer of cap due to servicing transfer
12/14/2012
$
10,000
$
10,000 Transfer of cap due to servicing transfer
8/15/2013
1002292
$
7/16/2013
9
30,000
6/14/2013
N/A
$
5/16/2013
-
11/15/2012
4/16/2013
$
$
880,000
2/14/2013
Financial Instrument for Home Loan Modifications
(50)
$
1/16/2013
Purchase
$
18,624,923 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
18,624,873 reallocation
12/14/2012
CA
5,780,000
$
Reason for Adjustment
9/27/2013
Orange
$
Adjusted Cap
10/15/2013
1001111
Kondaur Capital Corporation
Cap Adjustment Amount
7/16/2013
1001111
11/15/2012
Adjustment
Date
$
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
113
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
1002324
Adjusted Cap
Reason for Adjustment
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
5/16/2013
ViewPoint Bank
Plano
TX
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
6/14/2013
Cheviot Savings Bank
Cincinnati
OH
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1002040
7/16/2013
Everbank
Jacksonville
FL
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
7/16/2013
Bridgelock Capital dba Peak Loan Servicing
Woodland Hills
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
10/15/2013
SN Servicing Corporation
Baton Rouge
LA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
Total Initial Cap
$
23,831,570,000
40,000
$
$
(4)
$
749,991 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
749,987 reallocation
$
(120,000)
$
$
(2)
$
3/14/2013
$
130,000
$
$
(1)
$
130,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
129,999 reallocation
5/16/2013
$
50,000
$
50,000 Transfer of cap due to servicing transfer
6/14/2013
$
10,000
$
6/27/2013
TN
$
3/25/2013
Knoxville
709,991 Transfer of cap due to servicing transfer
9/27/2013
1002367
$
7/16/2013
1002324
200,000
6/27/2013
1002324
$
5/16/2013
1002324
21st Mortgage Corporation
Cap Adjustment Amount
4/16/2013
1002324
3/14/2013
Adjustment
Date
$
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
10/15/2013
$
60,000
$
60,000 Transfer of cap due to servicing transfer
Total Cap Adjustments
TOTAL CAP
$
6,032,793,866
$
629,987 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
629,985 reallocation
29,864,363,865.90
1/ The Cap of Incentive Payments represents the potential total amount allocated to each servicer and includes the maximum amount allotted for all payments on behalf of borrowers and payments to servicers and lenders/investors.
The Cap is subject to adjustment based on the total amount allocated to the program and individual servicer usage for borrower modifications. Each adjustment to the Cap is reflected under Adjustment Details.
2/ On July 31, 2009, the SPA with Chase Home Finance, LLC was terminated and superseded by new SPAs with J.P. Morgan Chase Bank, NA and EMC Mortgage Corporation.
3/ Wachovia Mortgage, FSB was merged with Wells Fargo Bank, NA, and the remaining Adjusted Cap stated above represents the amount previously paid to Wachovia Mortgage, FSB prior to such merger.
4/ Initial cap amount includes FHA-HAMP.
5/ Initial cap amount includes RD-HAMP.
6/ Initial cap amount includes 2MP.
7/ Initial cap amount includes FHA-2LP.
8/ Initial cap does not include HAMP.
9/ This institution executed an Assignment and Assumption Agreement (a copy of which is available on www.FinancialStability.gov) with respect to all rights and obligations for the transferred loan modifications. The amount transferred is realized as a cap adjustment and not as initial cap.
10/ The amendment reflects a change in the legal name of the institution.
11/ MorEquity, Inc executed a subservicing agreement with Nationstar Mortgage, LLC, that took effect 02/01/2011. All mortgage loans including all HAMP loans were transferred to Nationstar. The remaining Adjusted Cap stated above represents the amount previously paid to MorEquity, Inc. prior to such agreement.
12/ The remaining Adjusted Cap stated above represents the amount paid to servicer prior to SPA termination.
13/ Bank of America, N.A., Home Loan Services, Inc. and Wilshire Credit Corporation were merged into BAC Home Loans Servicing, LP. and the remaining Adjusted Cap stated above represents the amount previously paid to each servicer prior to such merger.
14/ In April 2011, EMC Mortgage, an indirect subsidiary of JP Morgan Chase & Co, transferred the servicing of all loans to JP Morgan Chase Bank, NA. The remaining Adjusted Cap stated above represents the amount previously paid to EMC Mortgage prior to such transfer.
15/ RBC Bank (USA) was merged with PNC Bank, NA, and the remaining Adjusted Cap stated above represents the amount previously paid to RBC Bank (USA) prior to such merger.
16/ On July 1, 2012, Saxon Mortgage Services, Inc. ceased servicing operations by selling its mortgage servicing rights and transferring the subservicing relationships to third-party servicers. The remaining Adjusted Cap stated above represents the amount previously paid to Saxon Mortgage Services, Inc. prior to ceasing servicing operations.
17/ As of July,3 2012, Aurora Loan Services LLC has discontinued its servicing function and sold all remaining servicing rights to Nationstar Mortgage. The remaining Adjusted Cap stated above represents the amount previously paid to Aurora Loan Services LLC, prior to ceasing servicing operations.
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
114
Supplemental Information [Not Required by EESA §114(a)]
Making Home Affordable Program
Non-GSE Incentive Payments (through October 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
Borrowers
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
479.17
5,035.81
27,366.28
24,689.43
15,997,418.00
4,099,061.97
283,367,019.46
7,436,741.19
9,118,759.73
820,352.20
9,273,903.26
1,956,029.76
104,058.21
66,246,103.67
22,062.89
3,000.00
52,054.57
6,028.28
7,569,459.20
873,281.58
24,908.09
886,287.86
2,775.62
2,000.00
335,887.70
1,750.00
3,833.34
4,000.00
57,502,897.79
8,833.34
60,683.87
2,751,486.80
72,326.16
Lenders / Investors
$
$
$
11,759.16
9,743.17
134,472.65
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
41,236,849.69
17,843,110.01
579,819,337.78
21,293,678.73
16,727,644.26
2,283,673.68
24,790,641.23
4,729,899.30
174,593.25
62.33
211,945,578.92
57,641.26
4,631.53
138,758.53
28,269.92
11,592,937.05
1,779,580.03
44,017.91
1,865,312.51
3,423.27
$
$
$
$
$
$
$
$
$
640,862.81
3,864.59
13,204.31
2,473.84
142,238,652.46
16,634.75
140,320.02
12,768,390.28
155,890.41
Servicer
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
11,500.00
8,035.81
82,574.66
27,843.67
28,629,251.10
9,075,438.92
352,214,984.70
11,403,588.47
12,270,934.79
1,797,462.44
17,174,635.10
3,373,496.06
212,660.64
105,412,566.90
41,729.55
5,000.00
94,769.62
11,328.28
16,279,383.05
838,921.30
28,612.38
4,000.00
1,438,521.74
8,717.90
2,000.00
740,023.67
4,000.00
7,916.67
6,000.00
91,339,072.48
12,100.00
93,824.29
6,264,872.17
78,791.38
Total Payments to Date
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
23,738.33
22,814.79
244,413.59
52,533.10
85,863,518.79
31,017,610.90
1,215,401,341.94
40,134,008.39
38,117,338.78
4,901,488.32
51,239,179.59
10,059,425.12
491,312.10
62.33
383,604,249.49
121,433.70
12,631.53
285,582.72
45,626.48
35,441,779.30
3,491,782.91
97,538.38
4,000.00
4,190,122.11
14,916.79
4,000.00
1,716,774.18
9,614.59
24,954.32
12,473.84
291,080,622.73
37,568.09
294,828.18
21,784,749.25
307,007.95
115
Name of Institution
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
Borrowers
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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
21,091.84
9,170.81
269,811,762.93
6,243.60
3,000.00
13,441,220.42
25,864.17
40,230.37
352,195.77
9,687.97
4,597,729.27
1,000.00
61,093.07
345,841.21
142,457.05
2,968,396.30
38,897,405.13
537,967.01
13,344.17
125,944,916.92
58,162,209.47
13,230.46
11,000.00
4,883.58
5,846,984.93
17,336.21
130,958.48
Lenders / Investors
$
$
$
$
$
$
$
$
$
$
$
38,191.68
2,440,767.73
14,290.20
3,036,319.34
5,572.90
133,880,523.43
17,260.35
10,502.00
23,589.08
40,200.97
23,389.29
$
$
$
$
$
$
666,524,669.80
7,332.74
3,651.45
35,353,125.99
35,020.01
$
970,196.74
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
1,130,527.15
1,817.60
167,218.64
2,305,003.00
246,524.04
8,949,936.58
85,541,089.55
1,320,673.80
34,310.37
3,568.11
381,222,117.26
195,730,981.19
27,651.76
23,936.55
7,431.66
13,605,337.30
30,282.47
794,817.53
Servicer
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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
32,600.00
28,219.76
9,614.92
367,684,622.66
400.00
18,434.56
4,000.00
27,530,413.93
44,077.67
44,460.74
839,632.77
10,649.38
5,592,914.68
2,000.00
105,026.39
1,977,320.74
280,920.90
5,242,515.24
52,438,432.44
1,051,574.60
22,003.56
6,500.00
195,160,337.01
83,252,831.66
36,996.08
19,000.00
9,606.28
7,184,395.03
18,594.68
438,750.00
Total Payments to Date
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
1,916.67
122,011.88
6,309,232.52
30,940.97
8,308,819.34
13,322.90
280,473,612.38
36,695.01
25,502.00
48,589.08
92,134.31
72,700.89
18,785.73
1,304,021,055.39
400.00
32,010.90
10,651.45
76,324,760.34
104,961.85
84,691.11
2,162,025.28
20,337.35
11,321,171.10
4,817.60
333,338.10
4,628,164.95
669,901.99
17,160,848.12
176,876,927.12
2,910,215.41
69,658.10
10,068.11
702,327,371.19
337,146,022.32
77,878.30
53,936.55
21,921.52
26,636,717.26
66,213.36
1,364,526.01
116
Name of Institution
Purdue Employees Federal Credit Union
Quantum Servicing Corporation
Residential Credit Solutions, Inc.
Resurgent Capital Services L.P.
RG Mortgage
RoundPoint Mortgage Servicing Corporation
Rushmore Loan Management Services LLC
Saxon Mortgage Services Inc
Schools Financial Credit Union
Scotiabank de Puerto Rico
Select Portfolio Servicing, Inc.
Selene Finance LP
Servis One, Inc., dba BSI Financial Services, Inc.
ShoreBank
Silver State Schools Credit Union
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
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2,000.00
133,393.34
1,574,885.83
95,386.89
164,852.94
223,037.89
178,594.29
19,655,074.77
20,666.70
434,565.13
70,525,619.95
69,938.33
861,721.04
49,915.10
40,355.90
5,335,722.88
17,251.02
165,045.65
44,000.00
10,196.51
283,532.23
11,584,483.48
2,000.00
36,449.39
136,673.29
240,971.70
$
$
$
$
$
$
212,942,480.56
217,699.60
16,416.67
22,828.50
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
1,367,166,614.06
$
1,921.83
331,713.72
4,412,611.49
270,238.49
227,582.28
548,819.98
621,982.92
41,738,413.24
54,948.57
608,464.68
136,705,828.62
184,203.15
1,286,430.53
153,906.17
176,298.89
7,393,678.68
53,595.55
354,910.36
(1,518.80)
172,332.45
13,006.22
897,011.84
28,525,546.75
2,002.94
71,053.61
282,855.47
489,045.63
445.26
76,889.58
524,169,461.74
668,413.77
43,962.83
490,394.10
28,134.99
3,377,118,325.43
Servicer
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
3,000.00
179,984.09
2,484,227.02
160,811.37
401,333.81
429,480.01
202,316.56
39,413,598.23
35,500.00
418,008.60
97,494,207.11
87,883.51
931,868.74
143,165.10
69,189.24
7,091,674.14
17,901.22
286,078.94
(2,400.00)
70,816.67
8,435.80
523,259.13
20,663,901.25
5,600.00
58,835.23
135,918.87
392,135.86
$
$
$
$
$
$
162,000.00
316,772,038.58
312,225.08
19,916.67
1,167,000.00
42,428.50
$
2,002,183,644.02
Total Payments to Date
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
6,921.83
645,091.15
8,471,724.34
526,436.75
793,769.03
1,201,337.88
1,002,893.77
100,807,086.24
111,115.27
1,461,038.41
304,725,655.68
342,024.99
3,080,020.31
346,986.37
285,844.03
19,821,075.70
88,747.79
806,034.95
(3,918.80)
287,149.12
31,638.53
1,703,803.20
60,773,931.48
9,602.94
166,338.23
555,447.63
1,122,153.19
445.26
238,889.58
1,053,883,980.88
1,198,338.45
80,296.17
1,657,394.10
93,391.99
6,746,468,583.51
117
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
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
9/29/2010
6/23/2010 Arizona (Home) Foreclosure Prevention Funding Corporation
3
9/29/2010
6/23/2010 Michigan Homeowner Assistance Nonprofit Housing Corporation
2
3
9/23/2010
9/29/2010
8/3/2010 North Carolina Housing Finance Agency
2
3
Reno
Sacramento
Tallahassee
Phoenix
State
Transaction
Type
NV
Purchase
Financial Instrument for HHF Program
Purchase
Purchase
Purchase
Purchase
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
AZ
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
MI
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
NC
Purchase
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Purchase
Purchase
City
Financial Instrument for HHF Program
Financial Instrument for HHF Program
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
Purchase
Purchase
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Purchase
Purchase
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
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
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
CA
FL
9/23/2010
9/29/2010
2
3
2
3
2
3
2
3
3
3
3
3
3
3
3
3
3
8/3/2010 Ohio Homeowner Assistance LLC
9/23/2010
9/29/2010
8/3/2010 Oregon Affordable Housing Assistance Corporation
9/23/2010
9/29/2010
8/3/2010 Rhode Island Housing and Mortgage Finance Corporation
9/23/2010
9/29/2010
8/3/2010 SC Housing Corp
9/23/2010
9/29/2010
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
9/23/2010 GHFA Affordable Housing, Inc.
9/29/2010
9/23/2010 Indiana Housing and Community Development Authority
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
Lansing
Raleigh
Columbus
Salem
Providence
Columbia
Montgomery
Frankfort
Jackson
Atlanta
Indianapolis
Chicago
Trenton
Washington
Nashville
OH
OR
RI
SC
AL
KY
MS
GA
IN
IL
NJ
DC
TN
Investment Description
Investment Amount
Pricing
Additional
1
Investment Amount
Mechanism
$
194,026,240
102,800,000
N/A
$
34,056,581
N/A
$
57,169,659
N/A
$
1,975,334,096
699,600,000
N/A
Initial Investment
Amount
$
$
-
$
476,257,070
418,000,000
-
$
799,477,026
238,864,755
125,100,000
$
$
$
154,500,000
$
159,000,000
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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
N/A
N/A
$
1,057,839,136
400,974,381
-
$
267,766,006
$
142,666,006
-
N/A
N/A
$
498,605,738
$
$
128,461,559
215,644,179
-
N/A
N/A
N/A
$
482,781,786
$
$
120,874,221
202,907,565
N/A
N/A
N/A
$
570,395,099
N/A
N/A
N/A
$
220,042,786
N/A
N/A
$
79,351,573
N/A
N/A
N/A
$
295,431,547
N/A
N/A
N/A
$
162,521,345
N/A
N/A
$
148,901,875
N/A
N/A
$
101,888,323
N/A
N/A
$
339,255,819
N/A
N/A
$
221,694,139
N/A
N/A
$
445,603,557
N/A
N/A
$
300,548,144
N/A
N/A
$
20,697,198
N/A
N/A
$
217,315,593
N/A
N/A
$
7,600,000,000
$
$
$
$
$
$
$
$
$
$
$
$
$
166,352,726
112,200,637
7,726,678
$
81,128,260
-
$
$
$
$
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
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.
118
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.
119
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Projected Costs and Liabilities [Section 105(a)(3)(E)]
For Period Ending October 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.
120
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Programmatic Operating Expenses [Section 105(a)(3)(F)]
For Period Ending October 31, 2013
Type of Expense
Amount
Compensation for financial agents
and legal firms
$964,249,367
121
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Description of Vehicles Established [Section 105(a)(3)(H)]
For Period Ending October 31, 2013
Date
Vehicle
Description
None
122
HAMP Application Activity by Servicer 1
As of September 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
7,097
49
821
1,490
371
256
1,304
10,491
2,547
8,322
228
21,979
7,728
5
471
21
455
368
4,540
1,020
1,727
9,243
80,533
Activity in September 2013
# Requests
# Requests
3
Processed
Approved 4
10,384
1,235
56
27
1,244
261
1,649
386
414
40
1,042
721
1,739
499
8,287
1,086
2,389
171
7,214
2,101
237
50
18,711
2,826
10,972
202
7
2
565
127
3
1
429
56
333
20
4,363
1,512
679
99
1,055
116
9,153
2,585
80,925
14,123
# Requests
Denied 5
9,149
29
983
1,263
374
321
1,240
7,201
2,218
5,113
187
15,885
10,770
5
438
2
373
313
2,851
580
939
6,568
66,802
# Requests
Received 2
1,330,031
9,490
28,313
66,356
25,232
525,337
80,637
1,505,646
97,927
360,393
9,714
1,264,132
392,917
485
15,900
627
35,752
15,549
134,155
43,175
110,989
802,578
170,842
7,026,177
Program-to-Date
# Requests
# Requests
3
Processed
Approved 4
1,318,886
582,295
9,309
4,560
26,753
9,384
65,072
22,135
24,607
5,692
514,099
222,027
77,941
29,578
1,491,828
434,710
95,827
7,584
327,331
71,765
9,259
1,801
1,237,400
293,354
387,056
101,739
49
485
15,150
4,356
571
28
35,663
27,119
15,156
1,756
126,601
86,776
40,442
6,126
105,405
42,738
787,902
275,927
170,842
106,111
6,883,585
2,337,610
# Requests
Denied 5
736,591
4,749
17,369
42,937
18,915
292,072
48,363
1,057,118
88,243
255,566
7,458
944,046
285,317
436
10,794
543
8,544
13,400
39,825
34,316
62,667
511,975
64,731
4,545,975
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).
@FedFRASER