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Troubled Asset Relief Program (TARP) Monthly Report to Congress – July 2013 August 12, 2013 This report to Congress is pursuant to Section 105(a) of the Emergency Economic Stabilization Act of 2008. Table of Contents Monthly 105(a) Report July 2013 Section Page Highlights………………………....……………………………………………………………………………………………………………….. 1 Where are the TARP Funds?.....……………………………………………………………………………………………………………….. 1 Daily TARP Update 3 Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal Budget 5 Program Updates…………………….………………………………………………………………………………………………….............. 7 Bank Support Programs…………………….…………………………………………………………………………………………………... 7 Capital Purchase Program 7 Auto Industry Financing Program…………………………………………………………………………………………………………... 14 Housing Programs……………………………………………………………………………………………………………………………….. 15 Appendix – Financial Statements….………………………………………………………………………………………………………….. 19 More information is available at http://www.treasury.gov/initiatives/financial-stability. July Highlights Monthly 105(a) Report July 2013 The Troubled Asset Relief Program (TARP) was established pursuant to the Emergency Economic Stabilization Act of 2008 (EESA). Almost five years after the establishment of the TARP, Treasury is making substantial progress in winding down the extraordinary assistance that had to be provided during the crisis. Treasury has continued to work to reduce the dependence of the financial system on emergency assistance and replace public support with private capital. To date, taxpayers have recovered approximately $403 billion – or more than 95 percent – of the $420.6 billion in TARP funds disbursed. And, when excluding disbursements under the housing programs -which were never intended to be repaid -- Treasury has disbursed $411.7 billion and recovered $420.4 billion (including the proceeds from sales of all Treasury AIG shares) 1. $272.4 billion has been recovered from TARP’s bank programs through repayments, dividends, interest, and other income, which represents a $27.3 billion positive return compared to the $245.1 billion invested in those institutions. By any objective standards, the Troubled Asset Relief Program worked: it helped stop widespread financial panic, it helped prevent what could have been a devastating collapse of our financial system, and it did so at a cost that is far less than what most people expected at the time the law was passed. July Highlights In July, Treasury continued its ongoing strategy for winding down its remaining bank investments in a way that protects taxpayer interests and preserves the strength of our nation’s community banks. Two of the five institutions with the largest remaining outstanding CPP investment (Synovus Financial Corp. and New York Private Bank & Trust Corp.) repaid all of Treasury’s outstanding investments in their firms for combined total repayments of more than $1.2 billion. Treasury also held an auction on July 8, 2013 for outstanding preferred stock and subordinated debt in eight institutions, which generated aggregate gross proceeds of $57.4 million. Where are the TARP Funds? 2 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/financial-stability/reports/Pages/TARP-Tracker.aspx. Figure 1: Daily TARP Update (DTU) The first chart shows for each TARP program the amount of funds obligated, the amount disbursed, repayments, income received and any losses. Thus, a reader can quickly see how much cash was disbursed under a particular program and how much cash has come back to Treasury. The Daily Tarp Update (DTU) is updated after every business day and is available at: http://www.treasury.gov/initiatives/financial-stability/reports/Pages/daily-tarp-reports.aspx. 1 2 For more information, see note 9 to the Daily Tarp Update (Figure 1). Numbers in text and tables in this report may not add due to rounding. 1 Where are the TARP Funds? Monthly 105(a) Report July 2013 Figure 2: Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal Budget The second chart provides for each program within TARP the amount obligated, the amount disbursed, the outstanding balance, and the estimated lifetime cost. Estimated lifetime cost represents Treasury’s best estimate of what the program will ultimately cost the taxpayer. Estimated lifetime cost is calculated quarterly in conjunction with the Office of Management and Budget. 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. 2 Daily TARP Update Monthly 105(a) Report July 2013 Figure 1: Daily TARP Update for August 1, 2013 (through July 31, 2013) Principal/Investment (*Dollars in Billions*) Obligated Disbursed Income/Revenue Refinancing to CPP Exchanges SBLF1 Into CDCI2 Repayments Other Income Write-offs & Realized Losses Dividends3 Outstanding Warrants Sold4 Interest3 (Expenses)5 Total Cash Back6 Total Income Bank Support Programs Capital Purchase Program (CPP) Banks with Assets $10 Billion or Greater $ 165.33 $ $ 161.28 $ - $ - $ 2.58 $ 1.46 $ 9.43 $ - $ 7.48 $ 0.02 $ 16.93 $ 178.21 Banks with Assets Less Than $10 Billion $ 14.57 $ 14.57 $ 10.72 $ 2.21 $ 0.36 $ 0.86 $ 2.63 $ 1.65 $ - $ 0.32 $ (0.02) $ 1.95 $ 12.68 Citigroup Common7 $ 25.00 $ 25.00 $ 25.00 $ - $ - $ - $ 0.93 $ - $ 0.05 $ 7.84 $ 32.84 165.33 6.85 $ Targeted Investment Program (TIP) 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 Asset Guarantee Program (AGP) Bank Of America $ Citigroup $ Community Development Capital Initiative (CDCI) Bank Program Totals 5.00 $ - $ - $ - $ - $ $ - $ - $ - $ - $ $ 0.57 $ 0.21 $ 0.06 $ $ 250.46 $ 245.10 $ 237.06 $ (0.36) $ 6.25 $ 6.25 $ - $ 12.38 $ 12.38 $ - $ - - $ 0.64 $ - $ $ - $ 0.07 - $ 0.28 $ 0.28 $ 0.28 $ 3.14 $ 3.85 $ 3.85 0.01 $ 0.51 $ 0.03 $ - $ 3.45 $ 4.60 $ 15.69 $ - $ $ - $ 0.89 $ - $ - $ - $ 0.32 $ - $ 9.36 $ $ 0.03 $ 0.09 10.27 $ - 35.31 $ 272.38 Credit Market Programs Public-Private Investment Program (PPIP) Equity8 $ 7.23 $ Debt $ 12.38 $ Term Asset Backed Securities Lending Facility $ 0.10 $ 0.10 $ 0.10 $ $ - $ - $ 0.01 $ - $ Purchase SBA 7(a) Securities (SBA) $ 0.37 $ 0.37 $ 0.36 $ 0.00 $ - $ - $ 0.01 $ - $ $ 20.08 $ 19.09 $ 19.09 $ 0.00 $ - $ 0.89 $ 0.35 $ - $ Credit Market Program Totals $ - 2.63 $ 3.52 $ 9.76 $ 0.32 $ 12.70 0.43 $ 0.44 $ 0.54 0.00 $ 0.01 $ 0.38 3.06 $ 4.29 $ 23.38 - Other Programs American International Group (AIG)9 Common $ 47.54 $ 47.54 $ 34.06 $ 13.48 $ - $ $ - $ Preferred $ 20.29 $ 20.29 $ 20.29 $ - $ - $ 0.64 $ - $ $ 67.84 $ 67.84 $ 54.35 $ 13.48 $ - $ 0.64 $ - $ AIG Totals - 0.03 0.03 $ 0.03 $ 34.08 $ $ 0.29 - $ 0.93 $ 21.23 $ 0.29 $ 0.96 $ 55.31 (0.01) $ Automotive Industry Financing Program (AIFP) GM10 $ 51.03 $ 51.03 $ 33.83 $ Chrysler $ 12.37 $ 12.37 $ 9.44 $ 2.93 Ally (GMAC) $ 16.29 $ 16.29 $ 2.54 $ $ 79.69 $ 79.69 $ 45.80 $ 147.53 $ $ 100.15 Making Homes Affordable $ 29.87 $ 6.05 HFA Hardest-Hit Fund $ 7.60 $ 2.79 $ 356.31 AIFP Totals Other Programs Totals 147.53 9.39 $ $ - $ 0.77 $ - $ 0.76 $ 34.59 - $ - $ 1.19 $ - $ 0.50 $ 1.69 $ 11.13 0.00 $ 13.75 $ 3.41 $ - $ - $ 0.13 $ 3.53 $ 6.07 $ 12.32 $ 21.57 $ 3.41 $ 1.95 $ - $ 0.62 $ 5.98 $ 51.79 $ 25.80 $ 21.57 $ 4.05 $ 1.95 $ 0.03 $ 0.92 $ 6.94 $ 107.10 $ 29.25 $ 26.17 $ 20.62 $ 2.30 $ 9.38 $ 14.24 $ 46.55 $ 402.85 $ 17.55 $ 17.55 $ 17.55 9.38 $ 31.79 $ 64.10 $ 420.40 $ 7.82 Treasury Housing Programs Under TARP FHA Refinance 11 $ 1.03 $ 0.06 Housing Totals $ 38.49 $ 8.90 TARP Totals $ 456.56 $ 420.62 $ - Additional Treasury Holdings Additional AIG Common Shares Held by Treasury9 Total for TARP Programs and Additional AIG Shares $ 456.56 $ 420.62 $ 356.31 $ - $ 29.25 $ 26.17 $ 20.62 $ 2.30 $ Notes to Daily TARP Update 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 3 Daily TARP Update Monthly 105(a) Report July 2013 $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. 2/ 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. 3/ 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. 4/ Amount of "Warrants Sold" reflects net cash receipts. 5/ "Other Income (Expenses)" includes gains on sales, investment income, fees collected, and disposition expenses. 6/ 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 are detailed in Figure 2. 7/ Citigroup CPP investment was originally in the form of preferred shares and was converted to common stock in September 2009. 8/ Allocation of Public-Private Investment Program (PPIP) Equity receipts between repayments and income are subject to reclassification. 9/ 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. 10/ 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. 11/ Treasury entered into an $8 billion letter of credit facility to fund a portion of losses associated with the FHA Short Refinance Program. Pursuant to this letter of credit facility, a reserve account was pre-funded with $50 million for any future loss claim payments. All unused amounts from this account will be returned to Treasury. 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 to $1 billion. The obligation related to the FHA Short Refinance Program was reduced accordingly from $8 billion to $1 billion, including administrative expenses. 4 Treasury Estimates of Impact on the Federal Budget Monthly 105(a) Report July 2013 Figure 2: Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal Budget Programs as of July 31, 2013 Outstanding Investment Balance as of July 31 Estimated Lifetime Cost as of Obligation/ Commitment Disbursed as of July 31 Citigroup $ 25.00 $ 25.00 $ - $ (6.89) Other banks with assets $10 billion or greater $ 165.33 $ 165.33 $ 1.46 $ (10.18) Banks with assets less than $10 billion2 $ 14.57 $ 14.57 $ 2.63 $ 1.18 Total $ 204.89 $ 204.89 $ 4.09 $ (15.88) (dollar amounts in billions) Bank Support Programs: 1 May 31 Capital Purchase Program (CPP): Targeted Investment Program (TIP) $ 40.00 $ 40.00 $ - $ (4.00) $ 5.00 $ 0.00 $ - $ (4.00) $ 0.57 $ 0.57 $ 0.51 $ 0.14 Debt $ $ 7.23 12.38 $ $ 6.25 12.38 $ $ - $ $ (3.04) 0.33 Total $ 19.61 $ 18.62 $ - $ (2.71) Term Asset Backed Securities Lending Facility (TALF) $ 0.10 $ 0.10 $ - $ (0.60) Purchase SBA 7(a) Securities (SBA) $ 0.37 $ 0.37 $ - $ (0.00) Preferred Stock $ 20.29 $ 20.29 $ - $ - Common Stock $ 47.54 $ 47.54 $ - $ 15.18 Total $ 67.84 $ 67.84 $ - $ 15.18 Automotive Industry Financing Program (AIFP) $ 79.69 $ 79.69 $ 21.57 $ 17.91 Sub-total for Investment Programs $ 418.07 $ 411.72 $ 26.17 $ 6.02 Making Homes Affordable $ 29.87 $ 6.05 n/a $ 29.87 Hardest Hit Fund FHA-Refinance4 $ $ 7.60 1.03 $ $ 2.79 0.06 n/a n/a $ $ 7.60 0.21 Sub-total for Housing Programs $ 38.49 $ 8.90 n/a $ 37.67 $ 456.56 $ 420.62 26.17 $ 43.70 n/a $ (17.55) 26.17 $ 26.14 3 Asset Guarantee Program (AGP) Community Development Capital Initiative (CDCI) Credit Market Programs: Public-Private Investment Program (PPIP): Equity Other Programs: American International Group (AIG): Total for TARP Programs Additional AIG Common Shares Held by Treasury5 Total for TARP Programs and Additional AIG Shares n/a $ 456.56 $ n/a $ 420.62 $ 5 Treasury Estimates of Impact on the Federal Budget Monthly 105(a) Report July 2013 Notes to Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal Budget: 1/ Lifetime cost information are as of May 31, 2013. 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 May 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 May 31, 2013, compared to the aggregate value of shares outstanding as of July 31, 2013, including the net proceeds from shares sold in June and July, 2013. 05/31/2013 Market Value Outstanding Investment 07/31/2013 Market Value Increase (Decrease) in Cost In billions GM Common Stock $ 7.43 $ 7.76 $ (0.33) Note: The share price for GM was $33.89 for the period ending May 31, 2013 and $35.87 for the period ending July 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. 4/ In March 2013, Treasury extended the letter of credit facility to provide coverage for loans refinanced throughout the eligibility period, which had been extended to December 2014, but reduced the amount from $8 billion to $1 billion. Treasury believes this lower amount will be sufficient to accommodate any increased usage that could result through the close of the program. The figures in this line include administrative expenses associated with the letter of credit facility. 5/ As discussed in note 9 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 in 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 reporting period. 6 Program Updates – Bank Support Programs Monthly 105(a) Report July 2013 Program Updates Bank Support Programs In early October 2008, Treasury launched a series of programs to stabilize the nation’s banking institutions. A total of $245 billion was invested in banking institutions, and as of March 31, 2011, Treasury had recovered more than 100 percent of that amount through repayments, dividends, interest, and other income. Treasury continues to recover additional funds, and so far taxpayers have realized a gain of more than $27 billion on their investments through TARP’s bank programs. Capital Purchase Program (CPP) Treasury created the Capital Purchase Program in October 2008 to stabilize the financial system by providing capital to viable banking institutions of all sizes throughout the nation. Figure 3 shows the cumulative Capital Purchase Program activity since program inception. Today, every additional dollar recovered from CPP participants represents a positive return for taxpayers. Figure 3: Capital Purchase Program Snapshot as of July 31, 2013 Amount Invested: Largest Investment: Smallest Investment: CPP Cumulative Investments $204.9 billion $25 billion $301,000.00 CPP Institutions (Banks in 48 states, D.C and Puerto Rico) Total Institutions Funded: 707 Full Repayments: 220 SBLF Repayments: 137 CDCI Conversions: 28 Partial Repayments: 8 Sold Investments: 23 Auctioned Investments: 142 In Bankruptcy/Receivership: 26 Merged Institutions: 4 Currently in Common1 3 Total Remaining Institutions: 127 CPP Proceeds to Treasury (in billions) $200 $194.83 $150 $100 $50 $2.51 $18.86 $7.87 $Repayments² Total CPP Proceeds: Auctions³ Total Dividends, Interest & Other Income Warrant Income⁴ $224.1 billion 7 Program Updates – Bank Support Programs Monthly 105(a) Report July 2013 Notes to Capital Purchase Program Snapshot as of July 31, 2013: 1/ 2/ 3/ 4/ Institutions where Treasury has converted its original investment at a discount, into shares of common stock in the institution. Actual collections to date. Includes $2.21 billion in SBLF transfers and $0.36 billion in CDCI transfers. Includes proceeds from all auctions of CPP preferred and note securities where cash has settled with OFS as of July 31, 2013. Net proceeds; includes proceeds from exercised warrants. Repayments at Par In July, seven institutions repaid all or part of the outstanding CPP preferred shares or subordinated debentures held by Treasury for total proceeds of $1.3 billion. • On July 26, the institution with the largest remaining outstanding investment, Synovus Financial Corp., repaid all of Treasury’s preferred CPP investment for a total of $967.9 million. • On July 24, New York Private Bank & Trust Corp., the fifth largest remaining outstanding investment outstanding at the time, repaid all of Treasury’s preferred CPP investment for a total of $267.3 million. • Avidbank Holdings, Inc. (formerly Peninsula Bank Holding Co.); Heritage Oaks Bancorp; Unity Bancorp, Inc.; and Vision Bank - Texas repaid all of the outstanding CPP preferred investments in their institutions for a total of $38.0 million. • Community Bankers Trust Corporation made a partial repayment of Treasury’s outstanding CPP preferred investment for a total of $4.5 million, resulting in a total of $13.2 million in outstanding CPP preferred investment remaining. Sales & Dispositions On July 12, Treasury sold to private investors its preferred stock and subordinated debentures in eight institutions (Crosstown Holding Company; ColoEast Bancshares, Inc.; Commonwealth Business Bank; Fidelity Federal Bancorp; Alarion Financial Services, Inc.; Premier Financial Corp.; Mountain Valley Bancshares, Inc.; Omega Capital Corp.) for actual aggregate gross proceeds of $57.4 million. More information can be found in Treasury’s Press Release: http://www.treasury.gov/press-center/press-releases/Pages/jl2009.aspx. Restructurings In limited cases, in order to protect the taxpayers’ interest in the value of an investment and to promote the objectives of EESA, Treasury may exchange the CPP preferred stock for other securities or may sell the preferred stock. Treasury evaluates whether to participate in an exchange or sale on the basis of enabling the bank to (i) get new investors to provide additional capital, (ii) conduct a capital restructuring or (iii) strengthen its capital and 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, 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. 8 Program Updates – Bank Support Programs Monthly 105(a) Report • July 2013 On April 16, 2010, Treasury exchanged its $72.0 million of preferred stock in Independent Bank Corporation (Independent) for $74.4 million of mandatory convertible preferred Stock (MCP), which was equivalent to the initial investment amount of $72.0 million plus $2.4 million of capitalized previously accrued and unpaid dividends. On July 26, 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. Warrant Repurchases In addition to the transactions above, Treasury disposed of its warrant positions in three institutions in July that were received in consideration for investments made under the CPP. These proceeds provided an additional return of $13.5 million to taxpayers from Treasury’s investments in banks beyond any dividend or interest payment. • Treasury completed the sale of warrants issued by Security Federal Corporation for a total of $50,000. • Vision Bank – Texas and New York Private Bank and Trust Corp. repurchased their preferred shares from exercised warrants from Treasury for a total of $13.4 million. Dividends and Interest In July, Treasury received dividends and interest income from CPP investments of $13.1 million. As of June 30, 2013, cumulative dividends, interest and fee income received from CPP investments total $12.0 billion. Figure 4: Top 25 Remaining Capital Purchase Program Investments as of July 31, 2013 A list of all remaining CPP investments can be found in the appendix to this report. 1 2 3 4 5 6 7 8 9 10 11 12 13 Institution City, State Popular, Inc. First BanCorpa San Juan, PR San Juan, PR Clayton, MO Los Angeles, CA Madison, WI Norfolk, VA Ionia, MI Charlotte, NC Miami, FL Cary, NC Frontenac, MO Bridgeview, IL Louisville, KY First Banks, Inc. Cathay General Bancorp Anchor BanCorp Wisconsin Inc. Hampton Roads Bankshares, Inc.b Independent Bank Corporation CommunityOne Bancorpc U.S. Century Bank Crescent Financial Bancshares, Inc. Reliance Bancshares, Inc. Bridgeview Bancorp, Inc. Porter Bancorp Inc. Outstanding Investment ($millions) $ $ $ $ $ $ $ $ $ $ $ $ $ 935.0 400.0 295.4 129.0 110.0 80.3 72.0 51.5 50.2 42.8 40.0 38.0 35.0 14 15 16 17 18 19 20 21 22 23 24 25 Institution City, State Centrue Financial Corporation Royal Bancshares of Pennsylvania, Inc. First United Corporation Spirit BankCorp, Inc. Intermountain Community Bancorp Patriot Bancshares, Inc. Eastern Virginia Bankshares, Inc. Severn Bancorp, Inc. Central Bancorp, Inc. Blue Valley Ban Corp Florida Bank Group, Inc. BNCCORP, Inc. Total St. Louis, MO Narberth, PA Oakland, MD Bristow, OK Sandpoint, ID Houston, TX Tappahannock, VA Annapolis, MD Garland, TX Overland Park, KS Tampa, FL Bismarck, ND Outstanding Investment ($millions) $ 32.7 30.4 $ $ 30.0 $ 30.0 $ 27.0 $ 26.0 $ 24.0 $ 23.4 $ 22.5 $ 21.8 $ 20.5 $ 20.1 $2.59 billion 9 Program Updates – Bank Support Programs Monthly 105(a) Report July 2013 Notes to Top 25 Remaining Capital Purchase Program Investments as of July 31, 2013: a/ 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. b/ 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. c/ 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. Effective July 1, 2013, FNB United changed its name to CommunityOne Bancorp. Bankruptcy and Receivership • On July 5, Rogers Bancshares, Inc. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the Eastern District of Arkansas. Treasury’s investment in Rogers Bancshares, Inc. was $25 million, and the bank had made no repayments to Treasury as of the date of its bankruptcy filing. Capital Purchase Program Regional Snapshots Following is a detailed breakdown of remaining institutions with outstanding investments under the Capital Purchase Program. The locations of remaining institutions’ headquarters are mapped to provide a visual overview of outstanding investments. The regional snapshots provide monthly overviews of outstanding CPP investments as TARP continues to wind down its investments. The regional snapshots include a state-by-state breakdown showing how many institutions remain in the program; the outstanding investment amount; and how many institutions in each state, if any, have outstanding payments due to Treasury. The regional snapshots also show the Top 10 largest outstanding investments in that region; the total amount outstanding; the number of missed payments, if any; and the amount owed in non-current dividends, if applicable. A full list of remaining CPP investments, including more detail about those banks with outstanding payments, is contained in the appendix to this report. This information is also available in the Dividends and Interest Report published monthly at: http://www.treasury.gov/initiatives/financial-stability/briefing-room/reports/dividends-interest/Pages/default.aspx. 10 Program Updates – Bank Support Programs Monthly 105(a) Report July 2013 Eastern Region CPP Institutions as of July 31, 2013 State by State Breakdown State Number of Number of Investment Institutions Non-Current Outstanding Outstanding Institutions Puerto Rico 2 0 $ Virginia 8 4 $ 1,335.00 165.26 North Carolina 7 4 $ 135.88 Florida 6 6 $ 94.78 Maryland 7 7 $ 85.44 Georgia 7 6 $ 57.03 South Carolina 5 5 $ 48.60 Pennsylvania 2 1 $ 42.94 Massachusetts 2 1 $ 17.06 15.42 New Jersey 2 2 $ New York 1 1 $ 7.50 Rhode Island 1 0 $ 1.07 - Connecticut - - $ Deleware - - $ - Maine - - $ - New Hampshire - - $ - Vermont - - $ - West Virginia - - $ - Top 10 Largest Institutions Outstanding Details Popular, Inc. San Juan PR Public Number of Missed Payments - First BanCorp* San Juan PR Public - Institution City State Public/ Private Non-Current Dividends Total Amount Outstanding $ - $ 935,000,000 $ - $ 400,000,000 Hampton Roads Bankshares, Inc.* Norfolk VA Public - $ - $ 80,347,000 CommunityOne Bancorp* Charlotte NC Public - $ - $ 51,500,000 U.S. Century Bank Miami FL Private 14 $ 9,582,580 $ 50,236,000 Crescent Financial Bancshares, Inc. Cary NC Public - $ - 42,849,000 $ Royal Bancshares of Pennsylvania, Inc. Narberth PA Public 16 $ 6,081,400 $ 30,407,000 First United Corporation Oakland MD Public 11 $ 4,125,000 $ 30,000,000 Eastern Virginia Bankshares, Inc. Tappahannock VA Public 10 $ 3,000,000 $ 24,000,000 Severn Bancorp, Inc. Annapolis Public 5 $ 1,462,063 $ 23,393,000 MD *This institution's original investment has been converted into shares of common stock in the institution. Amount show n replects the original investment amount less sale proceeds as applicable. More information can be found in the Transaction Report located in the appendix. 11 Program Updates – Bank Support Programs Monthly 105(a) Report July 2013 Central Region CPP Institutions as of July 31, 2013 State by State Breakdown State Number of Number of Investment Institutions Non-Current Outstanding Outstanding Institutions Missouri 6 4 $ 372.58 Wisconsin 2 2 $ 115.10 Illinois 7 4 $ 88.25 Michigan 2 2 $ 78.79 Arkansas 5 4 $ 67.74 Kentucky 5 3 $ 51.94 Minnesota 5 4 $ 35.08 Tennessee 2 1 $ 21.37 Mississippi 3 0 $ 10.12 Indiana 1 0 $ 9.90 Alabama 3 2 $ 7.72 Louisiana 1 1 $ 2.40 Iowa - - $ - Ohio - - $ - Top 10 Largest Institutions Outstanding Details Number of Missed Payments Non-Current Dividends Total Amount Outstanding City State Public/ Private First Banks, Inc. Clayton MO Private 16 $ 64,397,200 $ 295,400,000 Anchor BanCorp Wisconsin Inc. Madison WI Public 17 $ 23,604,167 $ 110,000,000 Independent Bank Corporation Ionia MI Public 13 $ 11,463,671 $ 72,000,000 Reliance Bancshares, Inc. Frontenac MO Public 10 $ 5,450,000 $ 40,000,000 Bridgeview Bancorp, Inc. Bridgeview IL Private 13 $ 6,730,750 $ 38,000,000 Porter Bancorp Inc. Louisville KY Public 7 $ 3,062,500 $ 35,000,000 Centrue Financial Corporation St. Louis MO Public 16 $ 6,533,600 $ 32,668,000 Chambers Bancshares, Inc. Danville AR Private 2 $ 831,334 $ 19,817,000 Institution Community First, Inc. Columbia TN Private 9 $ 2,183,400 $ 17,806,000 OneFinancial Corporation Little Rock AR Private 5 $ 1,754,998 $ 17,300,000 12 Program Updates – Bank Support Programs Monthly 105(a) Report July 2013 Western Region CPP Institutions as of July 31, 2013 State by State Breakdown State Number of Number of Investment Institutions Non-Current Outstanding Outstanding Institutions California Texas Idaho Kansas Oklahoma North Dakota Colorado Arizona Oregon Wyoming Nevada New Mexico Alaska Hawaii Montana Nebraska South Dakota Utah Washington 13 12 $ 210.90 6 5 $ 80.84 3 2 $ 41.90 3 2 $ 39.35 1 1 $ 30.00 1 0 $ 20.09 2 1 $ 15.72 2 1 $ 6.44 1 0 $ 3.22 1 0 $ 3.10 1 1 $ 2.67 1 0 $ 1.58 - - $ - - - $ - - - $ - - - $ - - - $ - - - $ $ - Top 10 Largest Institutions Outstanding Details Public Number of Missed Payments - $ - Private 11 $ 4,496,250 $ 30,000,000 ID Public - $ - $ 27,000,000 Houston TX Private 10 $ 3,547,700 $ 26,038,000 Central Bancorp, Inc. Garland TX Private 9 $ 2,759,063 $ 22,500,000 Blue Valley Ban Corp Overland Park KS Public 17 $ 4,621,875 $ 21,750,000 BNCCORP, Inc. Bismarck ND Public - $ - $ 20,093,000 Pacific City Financial Corporation Los Angeles CA Public 16 $ 3,531,600 $ 16,200,000 Broadway Financial Corporation Los Angeles CA Private 12 $ 2,250,000 $ 15,000,000 Equity Bancshares, Inc. Wichita KS Private - $ - 14,800,000 Institution City State Public/ Private Cathay General Bancorp Los Angeles CA Spirit BankCorp, Inc. Bristow OK Intermountain Community Bancorp Sandpoint Patriot Bancshares, Inc. Non-Current Dividends Total Amount Outstanding $ 129,000,000 $ 13 Program Updates – Auto Industry Financing Program Monthly 105(a) Report July 2013 Auto Industry Financing Program The Automotive Industry Financing Program (AIFP) was launched in December 2008 to prevent the uncontrolled liquidation of Chrysler and General Motors (GM) and the collapse of the U.S. auto industry, because the potential for such a disruption at that time posed a significant risk to financial market stability and threatened the overall economy. Under AIFP, Treasury invested a total of $51.03 billion to help stabilize and restructure 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. On April 11, 2013, Treasury completed its first pre-arranged trading plan for the sale of its GM common stock. Under this plan, Treasury sold 58.4 million shares of GM common stock for total gross proceeds of approximately $1.6 billion. In 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 $1.03 billion. In July 2013, Treasury continued its sale of GM common stock, pursuant to its second pre-arranged written trading plan initiated in May 2013. For more information, see Treasury’s press release: http://www.treasury.gov/press-center/press-releases/Pages/jl1926.aspx. During the reporting period, Treasury received total net proceeds of approximately $876.9 million from the sales of GM common stock. 3 As of July 31, 2013, Treasury has recovered approximately $34.6 billion 4 of its investment in GM through repayments, sales of stock, dividends, interest, and other income. 3 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. 4 This amount includes the total amount that Treasury has recovered, including the investment in GM and loans for the Supplier and Warranty Programs. 14 Program Updates – Housing Programs Monthly 105(a) Report July 2013 Housing Programs Making Home Affordable Program Performance Report On August 9, 2013, the U.S. Department of the Treasury released the Making Home Affordable Program Performance Report through June 2013. The report is available on the following page: http://www.treasury.gov/initiatives/financial-stability/reports/Pages/Making-HomeAffordable-Program-Performance-Report.aspx. Highlights include: • Since the start of the program, more than 1.7 million homeowner assistance actions have been taken under MHA. • More than 1.3 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). Almost 25,000 new MHA first lien modifications have been reported since the May report. • To date, homeowners in HAMP permanent modifications have saved an estimated $21 billion in monthly mortgage payments. Homeowners in active first lien permanent modifications are currently saving a median of $547 per month – more than one-third of their median before-modification payment. • Homeowners currently in HAMP permanent modifications with some form of principal reduction have been granted an estimated $10.9 billion in principal reduction. Of all non-GSE loans eligible for principal reduction entering HAMP in June, 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, more than 113,000 homeowners in a permanent first lien modification under HAMP have received assistance through 2MP. • Approximately 181,000 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. 15 Program Updates – Housing Programs Monthly 105(a) Report July 2013 Hardest Hit Fund The Hardest Hit Fund provides $7.6 billion to 18 states and the District of Columbia to provide assistance to struggling homeowners through locally-tailored programs administered by each respective Housing Finance Agency (HFA). These 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 63 active programs across the 19 HFAs. Approximately 67 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 July, 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 and promising new programs that can effectively utilize Hardest Hit Funds. • On July 1, 2013, Florida formally launched their new Modification Enabling Pilot Program. On July 19, Treasury officials joined Illinois Governor Pat Quinn to announce that the final date to submit new applications for Hardest Hit Fund assistance in Illinois will be September 30, 2013. The Governor commended the overall success of the foreclosure prevention program, noting the 29% decrease in the state foreclosure rate in the last year alone. Although the Illinois Hardest Hit Fund will no longer accept new applications after September 30, Illinois will continue to administer the program and process borrowers under review until they reach full commitment of their program funds. • Four HFAs drew a total of $111.5 million in July; over the life of the program, the 18 states and the District of Columbia have drawn a total of $2.79 billion. Each HFA draws down funds as they are needed. (See Figure 6) HFAs have until December 31, 2017 to expend funds, and must have no more than 5 percent of their allocation on hand before they can draw down additional funds. • Each state submits a quarterly report on the progress of its programs. Direct links to each state’s most recent performance report can be found at http://www.treasury.gov/initiatives/financial-stability/programs/housing-programs/hhf/Pages/default.aspx and below in Figure 5. 16 Program Updates – Housing Programs Monthly 105(a) Report Figure 5: 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 July 2013 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://www.hardesthitalabama.com https://www.savemyhomeaz.gov/ www.keepyourhomecalifornia.org 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/ 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/ https://www.homesaverdc.org/ http://www.hhfri.org/ http://www.scmortgagehelp.com/ http://www.keepmytnhome.org 17 Program Updates – Housing Programs Monthly 105(a) Report Figure 6: July 2013 Hardest Hit Fund as of July 31, 2013 18 Table of Contents – Appendix Monthly 105(a) Report July 2013 5 Appendix Section Statutory Requirement Page Remaining CPP Institutions…………………………………………………………………………….. Additional Information 20 Administrative Obligations and Expenditures…………………………….………………………… EESA §105(a)(2) 23 Agreements under TARP………………………………………………………….…………………….. EESA §105(a)(3)(A) 24 Insurance Contracts……………………………………………………………….…………………….. EESA §105(a)(3)(B) 32 Transactions Report…………………………………………………………….……………………….. EESA §105(a)(3)(C,D,G) 33 Investment Programs 33 Home Affordable Modification Program 80 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 5 §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). 19 Troubled Asset Relief Program Capital Purchase Program As of July 31, 2013 Remaining CPP Institutions Name Location Public/ Amount Private Outstanding Popular, Inc. First BanCorp* First Banks, Inc. Cathay General Bancorp Anchor BanCorp Wisconsin Inc. Hampton Roads Bankshares, Inc.* Independent Bank Corporation FNB United Corp.* U.S. Century Bank Crescent Financial Bancshares, Inc. Reliance Bancshares, Inc. Bridgeview Bancorp, Inc. Porter Bancorp Inc. Centrue Financial Corporation Royal Bancshares of Pennsylvania, Inc. First United Corporation Spirit BankCorp, Inc. Intermountain Community Bancorp Patriot Bancshares, Inc. Eastern Virginia Bankshares, Inc. Severn Bancorp, Inc. Central Bancorp, Inc. Blue Valley Ban Corp Florida Bank Group, 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 San Juan, PR San Juan, PR Clayton, MO Los Angeles, CA Madison, WI Norfolk, VA Ionia, MI Asheboro, NC Miami, FL Cary, NC Frontenac, MO Bridgeview, IL Louisville, KY St. Louis, MO Narberth, PA Oakland, MD Bristow, OK Sandpoint, ID Houston, TX Tappahannock, VA Annapolis, MD Garland, TX Overland Park, KS Tampa, FL 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 Public Public Private Public Public Public Public Public Private Public Public Private Public Public Public Public Private Public Private Public Public Private Public Private Public Private Private Private Private Public Private Public Public Private Private Private Public Public $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 935,000,000 400,000,000 295,400,000 129,000,000 110,000,000 80,347,000 72,000,000 51,500,000 50,236,000 42,849,000 40,000,000 38,000,000 35,000,000 32,668,000 30,407,000 30,000,000 30,000,000 27,000,000 26,038,000 24,000,000 23,393,000 22,500,000 21,750,000 20,471,000 20,093,000 19,817,000 17,806,000 17,300,000 17,280,000 17,211,000 16,800,000 16,369,000 16,200,000 15,000,000 15,000,000 14,800,000 14,738,000 14,448,000 20 Community Bankers Trust Corporation Bank of the Carolinas Corporation HCSB Financial Corporation Community First Bancshares, Inc. Bankers' Bank of the West Bancorp, Inc. Meridian Bank PeoplesSouth Bancshares, Inc. OneUnited Bank Duke Financial Group, Inc. TCB Holding Company, Texas Community Bank Cecil Bancorp, Inc. Central Virginia Bankshares, Inc. Valley Financial Corporation Farmers & Merchants Bancshares, Inc. NCAL Bancorp Greer Bancshares Incorporated Regent Bancorp, Inc. Universal Bancorp City National Bancshares Corporation Provident Community Bancshares, Inc. RCB Financial Corporation United American Bank Great River Holding Company Private Bancorporation, Inc. Syringa Bancorp BNB Financial Services Corporation Western Community Bancshares, Inc. Chicago Shore Corporation Idaho Bancorp Harbor Bankshares Corporation Monarch Community Bancorp, Inc. Highlands Independent Bancshares, Inc. Liberty Bancshares, Inc. First Intercontinental Bank Citizens Commerce Bancshares, Inc. Randolph Bank & Trust Company Patapsco Bancorp, Inc. Rising Sun Bancorp IA Bancorp, Inc. Farmers Bank Valley Community Bank Midtown Bank & Trust Company Capital Commerce Bancorp, Inc. Covenant Financial Corporation Wachusett Financial Services, Inc. Virginia Company Bank CalWest Bancorp Georgia Primary Bank Glen Allen, VA Mocksville, NC Loris, SC Harrison, AR Denver, CO Devon, PA Colquitt, GA Boston, MA Minneapolis, MN The Woodlands, TX Elkton, MD Powhatan, VA Roanoke, VA Houston, TX Los Angeles, CA Greer, SC Davie, FL Bloomfield, IN Newark, NJ Rock Hill, SC Rome, GA San Mateo, CA Baxter, MN Minneapolis, MN Boise, ID New York, NY Palm Desert, CA Chicago, IL Boise, ID Baltimore, MD Coldwater, MI Sebring, FL Fort Worth, TX Doraville, GA Versailles, KY Asheboro, NC Dundalk, MD Rising Sun, MD Iselin, NJ Windsor, VA Pleasanton, CA Atlanta, GA Milwaukee, WI Clarksdale, MS Clinton, MA Newport News, VA Rancho Santa Margarita, CA Atlanta, GA Public Public Public Private Private Private Private Private Private Private Public Public Public Private Public Public Public Private Private Public Private Public Private Private Public Private Private Private Public Public Public Private Private Public Public Public Public Public Private Private Public Private Private Private Private Public Public Private $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 13,180,000 13,179,000 12,895,000 12,725,000 12,639,000 12,535,000 12,325,000 12,063,000 12,000,000 11,730,000 11,560,000 11,385,000 11,219,000 11,000,000 10,000,000 9,993,000 9,982,000 9,900,000 9,439,000 9,266,000 8,900,000 8,700,000 8,400,000 8,222,000 8,000,000 7,500,000 7,290,000 7,000,000 6,900,000 6,800,000 6,785,000 6,700,000 6,500,000 6,398,000 6,300,000 6,229,000 6,000,000 5,983,000 5,976,000 5,689,000 5,500,000 5,222,000 5,100,000 5,000,000 5,000,000 4,700,000 4,656,000 4,500,000 21 Community Pride Bank Corporation Pinnacle Bank Holding Company, Inc. Metropolitan Capital Bancorp, Inc. Pacific Commerce Bank Todd Bancshares, Inc. Premier Service Bank Community Bancshares, Inc. Allied First Bancorp, Inc. CedarStone Bank AB&T Financial Corporation Madison Financial Corporation Citizens First Corporation Hometown Bancorp of Alabama, Inc. Oregon Bancorp, Inc. Crazy Woman Creek Bancorp, Inc. Grand Mountain Bancshares, Inc. Lone Star Bank St. Johns Bancshares, Inc. Marine Bank & Trust Company Freeport Bancshares, Inc. US Metro Bank Prairie Star Bancshares, Inc. SouthFirst Bancshares, Inc. DeSoto County Bank Bank of George Goldwater Bank, N.A. Grand Financial Corporation CSRA Bank Corp. Citizens Bank & Trust Company Uwharrie Capital Corp Ojai Community Bank Market Bancorporation, Inc. Atlantic Bancshares, Inc. BCB Holding Company, Inc. Maryland Financial Bank Union Financial Corporation Saigon National Bank Riverside Bancshares, Inc. Independence Bank Calvert Financial Corporation Kirksville Bancorp, Inc. Ham Lake, MN Orange City, FL Chicago, IL Los Angeles, CA Hopkinsville, KY Riverside, CA Kingman, AZ Oswego, IL Lebanon, TN Gastonia, NC Richmond, KY Bowling Green, KY Oneonta, AL Salem, OR Buffalo, WY Granby, CO Houston, TX St. Louis, MO Vero Beach, FL Freeport, IL Garden Grove, CA Olathe, KS Sylacauga, AL Horn Lake, MS Las Vegas, NV Scottsdale, AZ Hattiesburg, MS Wrens, GA Covington, LA Albemarle, NC Ojai, CA New Market, MN Bluffton, SC Theodore, AL Towson, MD Albuquerque, NM Westminster, CA Little Rock, AR East Greenwich, RI Ashland, MO Kirksville, MO Private Private Private Public Private Public Private Public Private Private Private Public Private Public Public Private Private Private Private Private Public Private Public Private Private Private Private Private Private Public Public Private Public Private Private Private Public Private Private Private Private $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 4,400,000 4,389,000 4,388,000 4,060,000 4,000,000 4,000,000 3,872,000 3,652,000 3,564,000 3,500,000 3,370,000 3,265,788 3,250,000 3,216,000 3,100,000 3,076,000 3,072,000 3,000,000 3,000,000 3,000,000 2,861,000 2,800,000 2,760,000 2,681,000 2,672,000 2,568,000 2,443,320 2,400,000 2,400,000 2,258,000 2,080,000 2,060,000 2,000,000 1,706,000 1,700,000 1,579,000 1,549,000 1,100,000 1,065,000 1,037,000 470,000 *Original Investment has been converted at a discount into common stock in the institution. Amount shown is original invesment amount 22 United States Department of the Treasury Office of Financial Stability Report of Administrative Obligations and Expenditures For Period Ending July 31, 2013 PERSONNEL SERVICES NON-PERSONNEL SERVICES 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 3100 3200 4200 4300 EQUIPMENT LAND & STRUCTURES INSURANCE CLAIMS & INDEMNITIES INTEREST & DIVIDENDS NON-PERSONNEL SERVICES Total: $ $ $ $ $ $ $ $ Obligations 118,074,632 118,074,632 2,330,552 11,960 782,844 402 254,249,260 1,620,532 $ $ $ $ $ 253,286 634 259,249,469 GRAND TOTAL: $ 377,324,100 For Period Ending August 31, 2013 $ $ $ $ $ $ $ $ Expenditures 118,009,837 118,009,837 2,314,781 11,960 698,497 402 205,561,130 1,616,347 Projected Obligations $ 119,669,000 $ 119,669,000 $ 2,346,000 12,000 785,000 500 254,449,000 1,626,000 Projected Expenditures $ 119,604,000 $ 119,604,000 $ 2,333,000 12,000 701,000 500 208,285,000 1,623,000 $ $ $ $ $ 243,907 634 210,447,657 254,000 640 259,473,140 244,000 640 213,199,140 $ 328,457,495 $ $ 379,142,140 $ $ 332,803,140 Note: The amounts presented above are cumulative from the initiation of the TARP. 23 U.S. Treasury Department Office of Financial Stability Troubled Asset Relief Program Agreements Under TARP [Section 105(a)(3)(A)] For Period July 2013 Date Approved Type of Transaction 10/10/2008 10/11/2008 10/14/2008 10/16/2008 10/17/2008 10/18/2008 10/29/2008 10/29/2008 10/31/2008 11/7/2008 11/9/2008 11/17/2008 11/25/2008 12/3/2008 12/5/2008 12/10/2008 12/10/2008 12/15/2008 12/16/2008 12/22/2008 12/24/2008 1/6/2009 Contract Contract Financial Agent Contract Interagency Agreement Contract Contract Contract Contract Contract Interagency Agreement Interagency Agreement Interagency Agreement Interagency Agreement Interagency Agreement Contract Contract Interagency Agreement Interagency Agreement Interagency Agreement Contract Interagency Agreement Vendor Simpson Thacher & Bartlett Mnp LLP Ennis Knupp & Associates Inc. The Bank of New York Mellon PricewaterhouseCoopers LLP-1 Turner Consulting Group, Inc.* Ernst & Young LLP Hughes Hubbard & Reed LLP Squire Sanders & Dempsey LLP Lindholm & Associates Inc.* Sonnenschein Nath & Rosenthal LLP Internal Revenue Service Internal Revenue Service - CSC Department of the Treasury - Departmental Offices Trade and Tax Bureau - Treasury Washington Post Sonnenschein Nath & Rosenthal LLP Thacher Proffitt & Wood** Office of Thrift Supervision Department of Housing and Urban Development Office of Thrift Supervision Cushman And Wakefield Of Va Inc. Securities and Exchange Commission Purpose Legal Advisory Investment and Advisory Services Custodian and Cash Management Accounting/Internal Controls Archive Services Accounting/Internal Controls Legal Advisory Legal Advisory Human Resources Services Legal Advisory Detailee Information Technology Administrative Support Information Technology Administrative Support Legal Advisory Legal Advisory Detailee Detailee Detailees Administrative Support Detailee 24 Date Approved Type of Transaction 1/7/2009 1/27/2009 1/27/2009 1/30/2009 2/2/2009 2/3/2009 2/9/2009 2/12/2009 2/18/2009 2/18/2009 2/20/2009 2/20/2009 2/20/2009 2/20/2009 2/26/2009 2/27/2009 3/6/2009 3/16/2009 3/23/2009 3/30/2009 3/30/2009 3/30/2009 3/30/2009 3/30/2009 3/31/2009 4/3/2009 4/3/2009 4/17/2009 4/17/2009 4/21/2009 4/21/2009 Contract Contract Contract Interagency Agreement Interagency Agreement Interagency Agreement Contract Contract Financial Agent Financial Agent Interagency Agreement Interagency Agreement Contract Contract Interagency Agreement Interagency Agreement Contract Financial Agent Interagency Agreement Contract Contract Contract Contract Contract Contract Interagency Agreement Contract Interagency Agreement Contract Financial Agent Financial Agent Vendor Colonial Parking Inc. Cadwalader Wickersham & Taft LLP Whitaker Brothers Bus Machines Inc.* Office of the Controller of the Currency Government Accountability Office Internal Revenue Service Pat Taylor & Assoc Inc.* Locke Lord Bissell & Liddell LLP Fannie Mae Freddie Mac Financial Clerk U.S. Senate Office of Thrift Supervision Simpson Thacher & Bartlett Mnp LLP Venable LLP-1 Securities and Exchange Commission Pension Benefit Guaranty Corp. The Boston Consulting Group Inc. EARNEST Partners* Heery International Inc.* Bingham Mccutchen LLP Cadwalader Wickersham & Taft LLP Haynes and Boone LLP McKee Nelson LLP*** Sonnenschein Nath & Rosenthal LLP FI Consulting Inc.* American Furniture Rentals* The Boston Consulting Group Inc. Bureau of Engraving and Printing Herman Miller Inc. Alliance Bernstein L.P. FSI Group, LLC Purpose Parking Legal Advisory Office Machines Detailee Oversight Services Detailees Administrative Support Legal Advisory Homeownership Program Homeownership Program Oversight Services Detailees Legal Advisory Legal Advisory Detailee Legal Services Financial Advisory Small Business Assistance Program Architectural Services Legal Advisory Legal Advisory Legal Advisory Legal Advisory Legal Advisory Accounting/Internal Controls Administrative Support Financial Advisory Detailee Facilities Support Asset Management Services Asset Management Services 25 Date Approved Type of Transaction 4/21/2009 4/30/2009 5/5/2009 5/13/2009 5/14/2009 5/15/2009 5/20/2009 5/22/2009 5/26/2009 5/26/2009 6/9/2009 6/29/2009 7/15/2009 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 Financial Agent Interagency Agreement Interagency Agreement Interagency Agreement Contract Contract Interagency Agreement Interagency Agreement Contract Contract Interagency Agreement 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 Vendor Piedmont Investment Advisors, LLC* State Department Federal Reserve Board Department of Treasury - US Mint Knowledgebank Inc.* Phacil Inc. Securities and Exchange Commission Department of Justice - ATF Anderson Mc Coy & Orta* Simpson Thacher & Bartlett Mnp LLP Financial Management Service - Gartner, Inc. Department of Interior Judicial Watch 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 Purpose Asset Management Services Detailee Detailee Administrative Support Administrative Support FOIA Support Services Detailee Detailee Legal Advisory Legal Advisory Information Technology Information Technology Legal Advisory 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 26 Date Approved Type of Transaction 12/22/2009 12/22/2009 12/22/2009 12/22/2009 12/22/2009 12/22/2009 12/22/2009 1/14/2010 1/15/2010 2/16/2010 2/16/2010 2/18/2010 3/8/2010 3/22/2010 3/26/2010 3/29/2010 4/2/2010 4/8/2010 4/12/2010 4/22/2010 4/22/2010 4/23/2010 5/4/2010 5/17/2010 6/24/2010 6/30/2010 7/21/2010 7/21/2010 7/22/2010 7/22/2010 7/22/2010 Financial Agent Financial Agent Financial Agent Contract Financial Agent Financial Agent Financial Agent Interagency Agreement Contract Interagency Agreement Contract Interagency Agreement Contract Interagency Agreement Interagency Agreement Financial Agent Interagency Agreement Contract Contract Contract Contract Contract Interagency Agreement Financial Agent Contract Contract Contract Contract Contract Contract Contract Vendor 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* 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 Purpose Asset Management Services Asset Management Services Asset Management Services Legal Advisory Asset Management Services Asset Management Services Asset Management Services Oversight Services Administrative Support Detailee Information Technology Information Technology FOIA Support Services Information Technology Detailee Disposition Agent Services Oversight Services Legal Advisory Financial Advisory Information Technology Information Technology Information Technology Administrative Support Transaction Structuring Services Subscription Services Administrative Support Compliance Compliance Compliance Compliance Legal Advisory 27 Date Approved Type of Transaction 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 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 Contract Contract Contract Contract Contract Contract Contract Contract Contract Contract Contract Contract Contract Contract Contract Interagency Agreement Contract Contract Contract Contract Interagency Agreement Contract Contract Interagency Agreement Contract Financial Agent Contract Contract Interagency Agreement Financial Agent Interagency Agreement Vendor 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 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 Purpose Administrative Support Legal Advisory Legal Advisory Legal Advisory Legal Advisory Legal Advisory Legal Advisory Legal Advisory Legal Advisory Legal Advisory Legal Advisory Legal Advisory Legal Advisory Legal Advisory Administrative Support Detailee Administrative Support Legal Advisory Administrative Support Administrative Support Oversight Services Administrative Support Detailees Oversight Services Information Technology Structuring and Disposition Services Acquisition Support Services Subscription Services Administrative Support Structuring and Disposition Services Administrative Support 28 Date Approved Type of Transaction 1/26/2011 2/24/2011 2/28/2011 3/3/2011 3/10/2011 3/22/2011 3/28/2011 4/20/2011 4/26/2011 4/27/2011 4/27/2011 4/27/2011 4/27/2011 4/27/2011 4/27/2011 4/28/2011 4/28/2011 4/28/2011 5/31/2011 5/31/2011 6/9/2011 6/9/2011 6/17/2011 7/28/2011 9/9/2011 9/12/2011 9/15/2011 9/29/2011 9/29/2011 10/4/2011 10/20/2011 Contract Contract Interagency Agreement Contract Contract Contract Interagency Agreement Interagency Agreement Contract Contract Contract Contract Contract Contract Contract Contract Contract Interagency Agreement Contract Contract Contract Contract Contract Interagency Agreement Interagency Agreement Contract Contract Contract Interagency Agreement Interagency Agreement Contract Vendor Association of Govt Accountants ESI International Inc. Department of the Treasury - Departmental Offices Equilar Inc.* Mercer (US) Inc. Harrison Scott Publications Fox News Network LLC Federal Reserve Bank of New York PricewaterhouseCoopers LLP-1 Oculus Group Inc.* MorganFranklin Corporation Lani Eko & Company CPAs LLC* FI Consulting Inc.* Ernst & Young LLP ASR Analytics LLC* Booz Allen Hamilton Inc. KPMG LLP Office of Personnel Management Reed Elsevier Inc. (dba LexisNexis) West Publishing Corporation CQ-Roll Call Inc. ESI International Inc. Winvale Group LLC Internal Revenue Service Financial Management Service ADC LTD NM ABMI - All Business Machines, Inc.***** Knowledge Mosaic Inc.* Department of Interior Internal Revenue Service ABMI - All Business Machines, Inc.***** Purpose Administrative Support Administrative Support Administrative Support Subscription Services Administrative Support Subscription Services Litigation Settlement Financial Reporting Financial Services Financial Services Financial Services Financial Services Financial Services Financial Services Financial Services Financial Services Financial Services Training Subscription Services Subscription Services Subscription Services Administrative Support Subscription Services Legal Services Interns Legal Services Administrative Support Administrative Support Information Technology Detailee Administrative Support 29 Date Approved Type of Transaction 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 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 Contract Financial Agent Contract Interagency Agreement Interagency Agreement Interagency Agreement Interagency Agreement Contract Financial Agent Contract Contract Contract Interagency Agreement Contract Contract Interagency Agreement Contract Contract Contract Interagency Agreement Contract Contract Interagency Agreement Interagency Agreement Contract Interagency Agreement Financial Agent Financial Agent Contract Financial Agent Contract Vendor 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. 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. Purpose 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 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 30 Date Approved Type of Transaction 3/7/2013 3/28/2013 5/1/2013 5/10/2013 6/13/2013 6/13/2013 Interagency Agreement Interagency Agreement Interagency Agreement Contract Contract Interagency Agreement Vendor Department of Housing and Urban Development Treasury Acquisition Institute Internal Revenue Service Equilar Inc.* West Publishing Corporation Department of the Treasury - Departmental Offices Purpose Research and analysis Training Detailee Data Subscription Services Subscription Services Administrative Support * Small or Women-, or Minority-Owned Small Business **Contract responsibilities assumed by Sonnenschein Nath & Rosenthal via novation. ***Contract responsibilities assumed by Bingham McCutchen, LLP via novation. **** Previously listed separate contracts for various training. ***** Service Disabled Veteran; HubZone business ******Financial Agent responsibilities assumed by Raymond James and Associates, Inc. via novation. 31 U.S. Treasury Department Office of Financial Stability Troubled Asset Relief Program Insurance Contracts [Section 105(a)(3)(B)] For Period Ending July 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. 32 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 In full – all of Treasury’s investment amount 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 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 Transactions Report - Investment Programs For Period Ending July 31, 2013 CAPITAL PURCHASE PROGRAM FootNote 9 6,12,16,42 9 9,6,12 42,6,12 6,12 9 13,12 6 6,12 43,6,12 42,6,12 9 9,6,12 9,6,12 43 13,12 9,88 Institution Name 1ST CONSTITUTION BANCORP 1ST CONSTITUTION BANCORP 1ST CONSTITUTION BANCORP 1ST ENTERPRISE BANK 1ST ENTERPRISE BANK 1ST ENTERPRISE BANK 1ST FINANCIAL SERVICES CORPORATION 1ST SOURCE CORPORATION 1ST SOURCE CORPORATION 1ST SOURCE CORPORATION 1ST UNITED BANCORP, INC. 1ST UNITED BANCORP, INC. AB&T FINANCIAL CORPORATION ADBANC, INC. ADBANC, INC. ALARION FINANCIAL SERVICES, INC. ALARION FINANCIAL SERVICES, INC. ALARION FINANCIAL SERVICES, INC. ALASKA PACIFIC BANCSHARES, INC. ALASKA PACIFIC BANCSHARES, INC. ALASKA PACIFIC BANCSHARES, INC. ALLIANCE BANCSHARES, INC. ALLIANCE BANCSHARES, INC. ALLIANCE BANCSHARES, INC. ALLIANCE FINANCIAL CORPORATION ALLIANCE FINANCIAL CORPORATION ALLIANCE FINANCIAL CORPORATION City CRANBURY CRANBURY CRANBURY LOS ANGELES LOS ANGELES LOS ANGELES HENDERSONVILLE SOUTH BEND SOUTH BEND SOUTH BEND BOCA RATON BOCA RATON GASTONIA OGALLALA OGALLALA OCALA OCALA OCALA JUNEAU JUNEAU JUNEAU DALTON DALTON DALTON SYRACUSE SYRACUSE SYRACUSE State Date NJ NJ NJ CA CA CA NC IN IN IN FL FL NC NE NE FL FL FL AK AK AK GA GA GA NY NY NY 23-Dec-08 27-Oct-10 22-Nov-11 13-Feb-09 11-Dec-09 01-Sep-11 14-Nov-08 23-Jan-09 29-Dec-10 09-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 06-Feb-09 28-Nov-12 29-Nov-12 26-Jun-09 27-Mar-13 28-Mar-13 19-Dec-08 13-May-09 17-Jun-09 Original Investment Type1 Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* Preferred Stock w/ Warrants $12,000,000.00 $0.00 $13,433,242.67 Redeemed, in full; warrants not outstanding Preferred Stock w/ Warrants $4,400,000.00 $6,000,000.00 $0.00 $11,748,156.44 Redeemed, in full; warrants not outstanding Preferred Stock w/ Warrants Preferred Stock w/ Warrants $16,369,000.00 $111,000,000.00 $16,369,000.00 $0.00 $10,000,000.00 $0.00 Capital Repayment / Disposition / Auction3 Amount Shares Avg. Price $12,000,000.00 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants $3,500,000.00 $12,720,000.00 $3,500,000.00 $0.00 Preferred Stock w/ Exercised Warrants $6,514,000.00 $0.00 Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants ALLIANCE FINANCIAL SERVICES, INC. ALLIANCE FINANCIAL SERVICES, INC. ALLIANCE FINANCIAL SERVICES, INC. ALLIED FIRST BANCORP, INC. ALPINE BANKS OF COLORADO ALPINE BANKS OF COLORADO ALPINE BANKS OF COLORADO ALPINE BANKS OF COLORADO AMB FINANCIAL CORPORATION AMB FINANCIAL CORPORATION AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKLAHOMA AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKLAHOMA AMERICAN EXPRESS COMPANY AMERICAN EXPRESS COMPANY AMERICAN EXPRESS COMPANY AMERICAN PREMIER BANCORP AMERICAN PREMIER BANCORP AMERICAN STATE BANCSHARES, INC. AMERICAN STATE BANCSHARES, INC. AMERIS BANCORP AMERIS BANCORP AMERIS BANCORP AMERISERV FINANCIAL, INC. AMERISERV FINANCIAL, INC. AMERISERV FINANCIAL, INC. SAINT PAUL SAINT PAUL SAINT PAUL OSWEGO GLENWOOD SPRINGS GLENWOOD SPRINGS GLENWOOD SPRINGS GLENWOOD SPRINGS MUNSTER MUNSTER MN MN MN IL CO CO CO CO IN IN Subordinated Debentures w/ Exercised 26-Jun-09 Warrants 06-Feb-13 07-Feb-13 24-Apr-09 Preferred Stock w/ Exercised Warrants 27-Mar-09 Preferred Stock w/ Exercised Warrants 18-Sep-12 19-Sep-12 20-Sep-12 30-Jan-09 Preferred Stock w/ Exercised Warrants 22-Sep-11 COLLINSVILLE OK 06-Mar-09 Preferred Stock w/ Exercised Warrants COLLINSVILLE NEW YORK NEW YORK NEW YORK ARCADIA ARCADIA GREAT BEND GREAT BEND MOULTRIE MOULTRIE MOULTRIE JOHNSTOWN JOHNSTOWN JOHNSTOWN OK NY NY NY CA CA KS KS GA GA GA PA PA PA 15-Sep-11 09-Jan-09 17-Jun-09 29-Jul-09 29-May-09 26-Jan-11 09-Jan-09 02-Nov-11 21-Nov-08 19-Jun-12 22-Aug-12 19-Dec-08 11-Aug-11 02-Nov-11 AMFIRST FINANCIAL SERVICES, INC AMFIRST FINANCIAL SERVICES, INC AMFIRST FINANCIAL SERVICES, INC AMFIRST FINANCIAL SERVICES, INC ANCHOR BANCORP WISCONSIN, INC. ANNAPOLIS BANCORP, INC. ANNAPOLIS BANCORP, INC. ANNAPOLIS BANCORP, INC. MCCOOK MCCOOK MCCOOK MCCOOK MADISON ANNAPOLIS ANNAPOLIS ANNAPOLIS NE NE NE NE WI MD MD MD Subordinated Debentures w/ Exercised 21-Aug-09 Warrants 26-Mar-13 27-Mar-13 28-Mar-13 30-Jan-09 Preferred Stock w/ Warrants 30-Jan-09 Preferred Stock w/ Warrants 18-Apr-12 06-Mar-13 Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants $4,781,000.00 $0.00 $2,986,000.00 $0.00 $26,918,000.00 $0.00 $12,000,000.00 $0.00 $3,652,000.00 $70,000,000.00 $3,652,000.00 $0.00 $3,674,000.00 $0.00 $1,000.00 $10,000,000.00 10,000 $1,000.00 $12,720,000.00 12,720 $1,000.00 $877,729.70 $5,524,880.90 893 5,621 $982.90 $982.90 ($15,270.30) ($96,119.10) $208,870.74 $4,058,697.67 234 4,547 $892.60 $892.60 ($25,129.26) ($488,302.33) $2,856,437.46 2,986 $956.60 ($129,562.54) $26,918,000.00 26,918 $1,000.00 $3,750,000.00 837,947 $500,000.00 500 $636,000.00 636 $340,771.06 326 $111,100.00 $27,800.00 101 48 $900,000.00 173,069 $9,806,136.60 Sold, in full; warrants not outstanding $3,375,945.00 $5,626,575.00 4,500,000 7,500,000 $0.75 $0.75 ($1,124,055.00) ($1,873,425.00) $504,900.00 600,000 $280,115.76 $6,559,920.24 $50,160,264.00 344 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 $125,000.00 125 $340,000,000.00 24,264,129 $409,753.00 Full investment outstanding; warrants outstanding $73,129,160.69 Sold, in full; warrants not outstanding $4,387,576.45 Redeemed, in full; warrants not outstanding $2,492,000.00 2,492 $1,000.00 $3,388,890,000.00 3,388,890 $1,000.00 $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 $48,391,200.00 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 $259,875.00 250,000 $2,052,682.49 Redeemed, in full; warrants not outstanding $7,220,141.67 Redeemed, in full; warrants not outstanding $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 $110,000,000.00 $0.00 111,000 220 $28,356,360.00 Redeemed, in full; warrants not outstanding Preferred Stock w/ Warrants $110,000,000.00 $8,152,000.00 $111,000,000.00 $220,000.00 $3,581,397.27 Sold, in full; warrants not outstanding $3,803,257,308.33 Redeemed, in full; warrants not outstanding $0.00 $1,000.00 $5,130,973.44 Sold, in full; warrants outstanding $0.00 $5,000,000.00 10,400 231,782 $7,741,438.55 Sold, in full; warrants not outstanding $3,388,890,000.00 $0.00 $10,400,000.00 $326,576.00 $360,694.44 Full investment outstanding; warrants outstanding $15,071,769.00 Redeemed, in full; warrants not outstanding $2,960,021.33 Redeemed, in full; warrants not outstanding $6,000,000.00 $1,000.00 $10,870,902.67 Redeemed, in full; warrants not outstanding $0.00 $0.00 Warrant Proceeds Amount Shares $1,229,948.97 Full investment outstanding; warrants outstanding $125,480,000.00 Redeemed, in full; warrants not outstanding $2,492,000.00 $1,800,000.00 12,000 (Realized Loss) / (Write-off) / Gain ($3,608,800.00) $6,523,255.00 Sold, in full; warrants not outstanding $359,040.00 $2,112,000.00 $2,328,960.00 374,000 2,200,000 2,426,000 $0.96 $0.96 $0.96 $4,076,000.00 $4,076,000.00 4,076 4,076 $1,000.00 $1,000.00 ($14,960.00) ($88,000.00) ($97,040.00) $0.00 Full investment outstanding; warrants outstanding $9,643,136.33 Redeemed, in full; warrants outstanding 33 FootNote 9 6,15 42,6,12 9 6,42 6,15,42 9 9,6,12 6,12 81 6,12 4,5,9 6,12 42 6 9 9 9 6 42,6,12 6,12 42,6,12 10,14 9 6 9 9,6,12 9,12,6 9 42,6,12 Institution Name City Original Investment Type1 State Date 21-Nov-08 Preferred Stock w/ Warrants 06-Apr-11 14-Sep-11 06-Dec-11 29-Dec-09 Preferred Stock w/ Exercised Warrants 27-Feb-09 Preferred Stock w/ Exercised Warrants 15-Sep-11 ASSOCIATED BANC-CORP ASSOCIATED BANC-CORP ASSOCIATED BANC-CORP ASSOCIATED BANC-CORP ATLANTIC BANCSHARES, INC. AVENUE FINANCIAL HOLDINGS AVENUE FINANCIAL HOLDINGS GREEN BAY GREEN BAY GREEN BAY GREEN BAY BLUFFTON NASHVILLE NASHVILLE WI WI WI WI SC TN TN AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO. PALO ALTO CA 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. BANCTRUST FINANCIAL GROUP, INC. BANCTRUST FINANCIAL GROUP, 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 HOLDINGS BANK OF COMMERCE HOLDINGS BANK OF COMMERCE HOLDINGS 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 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. PALO ALTO SHEFFIELD SHEFFIELD OAK BROOK OAK BROOK PROVIDENCE PROVIDENCE PROVIDENCE RIDGELAND RIDGELAND FESTUS FESTUS FESTUS MOBILE MOBILE EDEN PRAIRIE EDEN PRAIRIE EDEN PRAIRIE CHARLOTTE CHARLOTTE CHARLOTTE CHARLOTTE CHARLOTTE CHARLOTTE REDDING REDDING REDDING LAS VEGAS NOVATO NOVATO NOVATO NEW YORK NEW YORK NEW YORK MOCKSVILLE LITTLE ROCK LITTLE ROCK LITTLE ROCK DENVER MACON MACON 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 CA AL AL IL IL RI RI RI MS MS MO MO MO AL AL MN MN MN NC NC NC NC NC NC CA CA CA NV CA CA CA NY NY NY NC AR AR AR CO MS MS 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 30-Jan-09 Preferred Stock w/ Warrants 31-Jul-13 13-Mar-09 14-Jul-11 10-Jul-09 18-Aug-11 19-Dec-08 05-Aug-09 30-Sep-09 20-Feb-09 29-Sep-10 03-Apr-09 26-Apr-13 29-Apr-13 19-Dec-08 15-Feb-13 14-Aug-09 19-Dec-12 20-Dec-12 28-Oct-08 09-Jan-09 09-Dec-09 09-Mar-10 16-Jan-09 30-Nov-12 14-Nov-08 27-Sep-11 26-Oct-11 13-Mar-09 05-Dec-08 31-Mar-09 23-Nov-11 28-Oct-08 17-Jun-09 05-Aug-09 17-Apr-09 12-Dec-08 04-Nov-09 24-Nov-09 30-Jan-09 23-Jan-09 08-Sep-11 13-Feb-09 09-Nov-12 21-Nov-08 03-Apr-12 12-Jun-13 06-Feb-09 28-Jul-11 16-Jan-09 24-Feb-10 28-Jul-10 14-Nov-08 17-Jun-09 22-Jul-09 03-Apr-09 23-Dec-08 26-Jan-11 19-Apr-13 30-Jan-09 06-Jul-11 19-Oct-11 07-Mar-12 06-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 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants 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 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants Preferred Stock w/ Warrants Original Investment Amount $525,000,000.00 Outstanding Investment $0.00 Total Cash Back2 Investment Status* Capital Repayment / Disposition / Auction3 Amount Shares Avg. Price $262,500,000.00 $262,500,000.00 $2,000,000.00 $7,400,000.00 $2,000,000.00 $0.00 $6,000,000.00 $0.00 $21,100,000.00 $0.00 $30,000,000.00 $48,000,000.00 $8,600,000.00 $50,000,000.00 $0.00 $0.00 $0.00 $0.00 $0.00 $3,000,000.00 $0.00 $3,087,573.33 Sold, in full; warrants not outstanding $6,000,000.00 6,000 $1,000.00 $21,100,000.00 21,100 $1,000.00 $1,055,000.00 1,055 $13,669,000.00 13,669 $1,000.00 $410,000.00 410 $30,000,000.00 30,000 $1,000.00 $1,400,000.00 192,967 $48,000,000.00 48,000 $1,000.00 $2,400,000.00 2,400 $98,267.00 $8,352,695.00 100 8,500 $982.70 $982.70 $50,000,000.00 50,000 $1,000.00 $451,600.92 $481,335.96 486 518 $929.20 $929.20 $25,000,000,000.00 1,000,000 $25,000.00 $2,502,000.00 3,000 $834.00 $17,000,000.00 17,000 $1,000.00 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 Full investment outstanding; warrants outstanding $18,492,469.25 Redeemed, in full; warrants not outstanding $28,000,000.00 28,000 $1,000.00 $3,000,000,000.00 3,000,000 $1,000.00 Preferred Stock w/ Exercised Warrants $1,000,000.00 $0.00 $75,000,000.00 Preferred Stock w/ Warrants Preferred Stock w/ Warrants $795,000.00 $18,751,000.00 $3,133,640,000.00 $0.00 $0.00 $0.00 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants $1,706,000.00 $10,800,000.00 $1,706,000.00 $0.00 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants $2,892,000.00 $40,000,000.00 $985,000.00 $0.00 $0.00 $0.00 $426,338.55 430 $15,000.00 730,994 ($34,399.08) ($36,664.04) $23,500.00 50 ($498,000.00) $305,913,040.28 121,792,790 $100,100.00 150 $125,000.00 405,405 $1,703,984.00 154,908 $136,000,000.00 14,516,129 $2,650,000.00 379,811 $775,000.00 775 $21,880.50 50 $134,201.00 243,998 $40,000.00 4 $250,000.00 52,455 $67,010,401.86 13,902,573 $3,231,416,666.67 Redeemed, in full; warrants not outstanding $1,039,677.00 Full investment outstanding; warrants outstanding $81,004,166.67 Redeemed, in full; warrants not outstanding Preferred Stock w/ Exercised Warrants ($1,733.00) ($147,305.00) $279,991.00 Full investment outstanding; warrants outstanding $30,155,095.11 Redeemed, in full; warrants not outstanding $13,179,000.00 $0.00 $0.00 370 $19,564,027.78 Redeemed, in full; warrants not outstanding $13,179,000.00 $75,000,000.00 $124,000,000.00 $370,000.00 $60,451,155.74 Redeemed, in full; warrants not outstanding Preferred Stock w/ Warrants Preferred Stock w/ Warrants Preferred Stock w/ Warrants $1,000.00 $10,701,460.58 Sold, in full; warrants not outstanding $26,599,663,040.28 Redeemed, in full; warrants not outstanding $0.00 7,400 $54,607,399.33 Redeemed, in full; warrants not outstanding $0.00 $3,000,000,000.00 3,983,308 $32,341,666.66 Redeemed, in full; warrants not outstanding $15,000,000,000.00 $10,000,000,000.00 $2,672,000.00 $0.00 $3,435,005.65 $15,595,736.93 Redeemed, in full; warrants not outstanding $1,114,680.76 Sold, in full; warrants not outstanding $2,672,000.00 $28,000,000.00 $1,000.00 $1,000.00 $24,841,411.03 Redeemed, in full; warrants not outstanding $0.00 $0.00 262,500 262,500 $7,372,276.03 Redeemed, in full; warrants outstanding $1,004,000.00 $17,000,000.00 Warrant Proceeds Amount Shares $122,724.78 Full investment outstanding; warrants outstanding $8,798,415.33 Redeemed, in full; warrants not outstanding $7,400,000.00 $13,669,000.00 (Realized Loss) / (Write-off) / Gain $596,539,172.32 Redeemed, in full; warrants not outstanding 75,000 $1,000.00 $15,500,000.00 15,500 $1,000.00 $900,000.00 1,000 $900.00 ($100,000.00) $109,717,680.00 124,000 $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 $1,100,653.50 Sold, in full; warrants not outstanding $129,079,862.47 Sold, in full; warrants not outstanding $942,411.42 Redeemed, in full; warrants not outstanding $20,037,514.11 Redeemed, in full; warrants not outstanding $3,293,353,918.53 Redeemed, in full; warrants not outstanding $173,507.50 Full investment outstanding; warrants outstanding $13,371,500.00 Redeemed, in full; warrants not outstanding $10,800,000.00 10,800 $1,000.00 $1,442,000.00 183,465 $1,500,000.00 $1,500,000.00 $1,500,000.00 $1,200,000.00 $300,000.00 1,500 1,500 1,500 1,200 300 $1,000.00 $1,000.00 $1,000.00 $1,000.00 $1,000.00 $300,000.00 300 $0.00 $2,892,000.00 2,892 2,892 $1,000.00 $1,000.00 $145,000.00 145 $40,000,000.00 40,000 $1,000.00 $1,040,000.00 226,330 $7,263,316.66 Redeemed, in full; warrants not outstanding $3,444,478.21 Redeemed, in full; warrants not outstanding $41,917,777.78 Redeemed, in full; warrants not outstanding $1,172,062.50 Redeemed, in full; warrants not outstanding 34 FootNote 6,12,16,42 13,15 6,12 12,6,12 6,12 6,62 6 42,6,12 6 42,6,12 13,12 9 9 6 7,8,16,63 13,12 6,42,12 9,6,12 9,6,12 9 6,12,16,42 42,6,12 9,6,12 6 6 9,6,12 37 6 9 6,12 Institution Name City State Date Original Investment Type1 BERN BANCSHARES, INC. BIRMINGHAM BLOOMFIELD BANCSHARES, INC. BIRMINGHAM BLOOMFIELD BANCSHARES, INC. BIRMINGHAM BLOOMFIELD BANCSHARES, INC. BERN BIRMINGHAM BIRMINGHAM BIRMINGHAM KS MI MI MI BISCAYNE BANCSHARES, INC. BISCAYNE BANCSHARES, INC. BISCAYNE BANCSHARES, 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 RIVER BANCSHARES, INC. BLUE VALLEY BAN CORP 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. COCONUT GROVE COCONUT GROVE COCONUT GROVE BELOIT BELOIT BELOIT FARGO FARGO FARGO INDEPENDENCE INDEPENDENCE INDEPENDENCE SHELBYVILLE OVERLAND PARK NEW YORK THOMASVILLE THOMASVILLE THOMASVILLE NEW CANAAN NEW CANAAN BISMARCK HOUSTON HOUSTON FL FL FL WI WI WI ND ND ND MO MO MO IN KS NY NC NC NC CT CT ND TX TX 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. BROADWAY FINANCIAL CORPORATION BROADWAY FINANCIAL CORPORATION BOSCOBEL BOSCOBEL BOSCOBEL BOSTON BOSTON BOSTON BOSTON SAN JOSE SAN JOSE SAN JOSE SAN JOSE BRIDGEVIEW LOS ANGELES LOS ANGELES WI WI WI MA MA MA MA CA CA CA CA IL CA CA 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 KAUKAUNA KAUKAUNA KAUKAUNA KANSAS CITY KANSAS CITY CLAYTON CLAYTON CLAYTON CLAYTON CATLIN CATLIN WEST POINT WEST POINT WEST POINT LOGAN LOGAN LOGAN STARKVILLE STARKVILLE LAFAYETTE LAFAYETTE THOUSAND OAKS THOUSAND OAKS ASHLAND RANCHO SANTA MARGARITA ROCKVILLE ROCKVILLE RALEIGH RALEIGH MILWAUKEE MCLEAN MCLEAN MCLEAN PORTLAND PORTLAND PORTLAND WI WI WI KS KS MO MO MO MO IL IL VA VA VA UT UT UT MS MS CA CA CA CA MO 01-Sep-11 24-Apr-09 Preferred Stock w/ Exercised Warrants 18-Dec-09 28-Jul-11 Subordinated Debentures w/ Exercised 19-Jun-09 Warrants 07-Feb-13 08-Feb-13 13-Mar-09 Preferred Stock w/ Exercised Warrants 29-Oct-12 31-Oct-12 22-May-09 Preferred Stock w/ Exercised Warrants 27-Jun-12 12-Sep-12 06-Mar-09 Preferred Stock w/ Exercised Warrants 29-Oct-12 31-Oct-12 06-Mar-09 Preferred Stock w/ Exercised Warrants 05-Dec-08 Preferred Stock w/ Warrants 17-Apr-09 Preferred Stock w/ Exercised Warrants 05-Dec-08 Preferred Stock w/ Warrants 29-Aug-12 19-Sep-12 27-Feb-09 Preferred Stock w/ Exercised Warrants 04-Aug-11 16-Jan-09 Preferred Stock w/ Exercised Warrants 06-Mar-09 Preferred Stock w/ Exercised Warrants 14-Jul-11 Subordinated Debentures w/ Exercised 15-May-09 Warrants 08-Mar-13 11-Mar-13 21-Nov-08 Preferred Stock w/ Warrants 13-Jan-10 16-Jun-10 07-Feb-11 23-Dec-08 Preferred Stock w/ Warrants 23-Feb-11 16-Mar-11 20-Apr-11 19-Dec-08 Preferred Stock w/ Exercised Warrants 14-Nov-08 Preferred Stock w/ Warrants 04-Dec-09 Subordinated Debentures w/ Exercised 15-May-09 Warrants 26-Apr-13 29-Apr-13 17-Jul-09 Preferred Stock w/ Exercised Warrants 15-Sep-11 24-Apr-09 Preferred Stock w/ Exercised Warrants 23-May-12 09-Jan-13 24-Apr-13 13-Mar-09 Preferred Stock w/ Exercised Warrants 02-Nov-11 09-Jan-09 Preferred Stock w/ Warrants 27-Jul-11 11-Apr-12 23-Dec-08 Preferred Stock w/ Exercised Warrants 18-Dec-09 14-Jul-11 09-Jan-09 Preferred Stock w/ Warrants 04-Mar-11 27-Feb-09 Preferred Stock w/ Exercised Warrants 15-Sep-11 23-Jan-09 Preferred Stock w/ Exercised Warrants 08-Dec-10 23-Jan-09 Preferred Stock w/ Exercised Warrants CA MD MD NC NC WI VA VA VA OR OR OR 23-Jan-09 23-Dec-08 30-Dec-10 12-Dec-08 28-Jan-11 10-Apr-09 14-Nov-08 17-Jun-09 09-Dec-09 23-Dec-08 08-Nov-12 09-Nov-12 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 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* $1,635,000.00 $1,744,000.00 $0.00 $3,803,022.67 Redeemed, in full; warrants not outstanding $6,400,000.00 $0.00 $8,271,975.28 Sold, in full; warrants not outstanding $10,000,000.00 $0.00 $11,459,461.11 Sold, in full; warrants not outstanding $5,000,000.00 $0.00 $12,000,000.00 $0.00 $5,000,000.00 $21,750,000.00 $7,500,000.00 $31,260,000.00 $5,000,000.00 $21,750,000.00 $7,500,000.00 $0.00 $4,797,000.00 $0.00 $20,093,000.00 $10,000,000.00 $20,093,000.00 $0.00 $5,586,000.00 $0.00 $154,000,000.00 $0.00 $23,864,000.00 $0.00 $38,000,000.00 $9,000,000.00 $6,000,000.00 $38,000,000.00 $15,000,000.00 $2,400,000.00 $0.00 $11,000,000.00 $0.00 $15,000,000.00 $607,000.00 $20,000,000.00 $0.00 $0.00 $0.00 $529,105.00 $211,458.33 $440,542.00 $35,140,666.12 $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) $64,807.04 $139,699.68 64,000 140,000 $186,550.00 $8,913,450.00 205 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 ($6,370.00) ($2,933,630.00) $541,793.34 600 $28,797,649.80 31,260 $921.20 ($2,462,350.20) $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 $5,586,000.00 5,586,000 $1.11 $234,525.80 $127,364.54 179,000 100,000 $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 $6,947,457.50 Sold, in full; warrants not outstanding $592,730.46 $171,224,745.48 Redeemed, in full; warrants not outstanding $27,872,582.22 Redeemed, in full; warrants not outstanding $2,393,155.56 Full investment outstanding; warrants outstanding $810,416.67 Full investment outstanding; warrants not outstanding $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 $125,135.60 120,000 $11,000,000.00 11,000 $1,000.00 $550,000.00 550 $6,000,000.00 $2,500,000.00 $6,500,000.00 6,000 2,500 6,500 $1,000.00 $1,000.00 $1,000.00 $750,000.00 750 $607,000.00 607 $1,000.00 $30,000.00 30 $10,000,000.00 $10,000,000.00 10,000 10,000 $1,000.00 $1,000.00 $238,000.00 238 $12,845,586.01 Redeemed, in full; warrants not outstanding $18,707,708.84 Redeemed, in full; warrants not outstanding $724,123.53 Redeemed, in full; warrants not outstanding $22,902,777.78 Redeemed, in full; warrants outstanding $41,984,062.50 Sold, in full; warrants not outstanding $4,000,000.00 $0.00 $4,755,899.67 Redeemed, in full; warrants not outstanding $3,300,000.00 $0.00 $3,802,219.25 Redeemed, in full; warrants not outstanding $1,037,000.00 $1,037,000.00 $215,442.61 Full investment outstanding; warrants outstanding $4,656,000.00 $4,700,000.00 $4,656,000.00 $0.00 $396,163.67 Full investment outstanding; warrants outstanding $5,452,281.19 Redeemed, in full; warrants not outstanding $41,279,000.00 $0.00 $0.00 5 $5,042,009.22 Full investment outstanding; warrants outstanding $11,783,777.44 Redeemed, in full; warrants not outstanding $0.00 $4,000,000.00 $50,000.00 $5,673,920.75 Redeemed, in full; warrants not outstanding $44,000,000.00 Preferred Stock w/ Exercised Warrants $1,000.00 Full investment outstanding; warrants outstanding Full investment outstanding; warrants outstanding Full investment outstanding; warrants outstanding Sold, in full; warrants not outstanding $10,674,333.80 Redeemed, in full; warrants not outstanding $5,100,000.00 $0.00 Warrant Proceeds Amount Shares 985 $11,938,437.34 Sold, in full; warrants not outstanding $0.00 $5,100,000.00 $3,555,199,000.00 (Realized Loss) / (Write-off) / Gain $985,000.00 $6,127,326.35 Redeemed, in full; warrants not outstanding $4,767,000.00 $4,640,000.00 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants Capital Repayment / Disposition / Auction3 Amount Shares Avg. Price $9,407,000.00 9,407 $1,000.00 $38,000,000.00 44,000 $863.60 $4,000,000.00 4,000 $1,000.00 $200,000.00 200 $3,300,000.00 3,300 $1,000.00 $165,000.00 165 $235,000.00 235 $146,500,064.55 12,657,960 $169,042.00 200 $4,700,000.00 4,700 $1,000.00 $41,279,000.00 41,279 $1,000.00 $3,555,199,000.00 3,555,199 $1,000.00 $247,727.04 $3,505,712.96 264 3,736 $938.40 $938.40 ($6,000,000.00) $45,252,104.25 Redeemed, in full; warrants not outstanding $304,973.00 Full investment outstanding; warrants outstanding $3,806,873,702.13 Redeemed, in full; warrants not outstanding $4,742,850.89 Sold, in full; warrants not outstanding ($16,272.96) ($230,287.04) 35 FootNote 13,43,12 9 9,7,34 9 6,16,12,42 6,55 6,16,16 6,12 6 42 9,57 6,12 10,14 9,6,12 43 6 9,6,12 6,12 9 38 43 91 6,15,42 42,6,12 13,12 Institution Name City State Date Original Investment Type1 CARDINAL BANCORP II, INC. CARDINAL BANCORP II, INC. CAROLINA BANK HOLDINGS, INC. CAROLINA BANK HOLDINGS, INC. CAROLINA BANK HOLDINGS, INC. CAROLINA BANK HOLDINGS, INC. CAROLINA 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 CATSKILL HUDSON BANCORP, INC. CATSKILL HUDSON BANCORP, INC. CATSKILL HUDSON BANCORP, INC. CB HOLDING CORP. CBB BANCORP CBB BANCORP CBB BANCORP CBB BANCORP 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. WASHINGTON WASHINGTON GREENSBORO GREENSBORO GREENSBORO GREENSBORO LINCOLNTON LINCOLNTON LINCOLNTON BALTIMORE BALTIMORE NEW YORK NEW YORK EVERETT EVERETT LOS ANGELES LOS ANGELES ROCK HILL ROCK HILL ROCK HILL ALEDO CARTERSVILLE CARTERSVILLE CARTERSVILLE CARTERSVILLE RUSSELLVILLE RUSSELLVILLE RUSSELLVILLE RUSSELLVILLE ELKTON LEBANON UNION UNION UNION MO MO NC NC NC NC NC NC NC MD MD NY NY WA WA CA CA NY NY NY IL GA GA GA GA AL AL AL AL MD TN NJ NJ NJ Subordinated Debentures w/ Exercised 23-Oct-09 Warrants 08-Sep-11 09-Jan-09 Preferred Stock w/ Warrants 20-Feb-13 21-Feb-13 19-Apr-13 06-Feb-09 Preferred Stock w/ Warrants 30-Nov-12 11-Jun-13 13-Feb-09 Preferred Stock w/ Warrants 19-Apr-13 16-Jan-09 Preferred Stock 27-Aug-10 21-Nov-08 Preferred Stock w/ Warrants 30-Jun-11 05-Dec-08 Preferred Stock w/ Warrants 20-Mar-13 27-Feb-09 Preferred Stock w/ Exercised Warrants 22-Dec-09 21-Jul-11 29-May-09 Preferred Stock w/ Exercised Warrants 20-Feb-09 Preferred Stock w/ Exercised Warrants 29-Dec-09 28-Nov-12 29-Nov-12 27-Mar-09 Preferred Stock w/ Exercised Warrants 07-Aug-12 09-Aug-12 10-Aug-12 23-Dec-08 Preferred Stock w/ Warrants 06-Feb-09 Preferred Stock w/ Exercised Warrants 09-Jan-09 Preferred Stock w/ Warrants 15-Sep-11 07-Dec-11 CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC. LOS ANGELES CA 12-Dec-08 Preferred Stock w/ Warrants CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC. 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 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. CENTRIC FINANCIAL CORPORATION CENTRIC FINANCIAL CORPORATION CENTRIX BANK & TRUST CENTRIX BANK & TRUST CENTRUE FINANCIAL CORPORATION LOS ANGELES MILFORD MILFORD MILFORD MILFORD DAVENPORT DAVENPORT DAVENPORT MORGANTOWN MORGANTOWN MORGANTOWN SOMERVILLE SOMERVILLE SOMERVILLE GARLAND HOUSTON HOUSTON TEMPLE TEMPLE TEMPLE FAIRLAWN FAIRLAWN OAKHURST OAKHURST OAKHURST HONOLULU HONOLULU HONOLULU HONOLULU FRESNO FRESNO FRESNO POWHATAN HARRISBURG HARRISBURG BEDFORD BEDFORD ST. LOUIS CA OH OH OH OH FL FL FL WV WV WV MA MA MA TX TX TX TX TX TX OH OH NJ NJ NJ HI HI HI HI CA CA CA VA PA PA NH NH IL 27-Jun-12 01-May-09 29-Oct-12 31-Oct-12 01-Nov-12 21-Nov-08 30-Sep-09 28-Oct-09 16-Jan-09 31-Mar-09 15-Apr-09 05-Dec-08 25-Aug-11 19-Oct-11 27-Feb-09 30-Jan-09 06-Jul-11 20-Feb-09 10-Dec-12 11-Dec-12 05-Dec-08 26-Sep-12 23-Dec-08 24-Nov-10 01-Dec-10 09-Jan-09 22-Jun-11 04-Apr-12 11-Jun-13 30-Jan-09 18-Aug-11 28-Sep-11 30-Jan-09 18-Dec-09 14-Jul-11 06-Feb-09 28-Jul-11 09-Jan-09 CENTURY FINANCIAL SERVICES CORPORATION CENTURY FINANCIAL SERVICES CORPORATION CENTURY FINANCIAL SERVICES CORPORATION SANTA FE SANTA FE SANTA FE NM NM NM Preferred Stock w/ Exercised Warrants Original Investment Amount Outstanding Investment $6,251,000.00 $0.00 $16,000,000.00 $0.00 $4,000,000.00 $9,201,000.00 $0.00 $0.00 Total Cash Back2 Investment Status* $20,511,580.55 Redeemed, in full; warrants not outstanding $17,678,900.00 Sold, in full; warrants not outstanding $4,114,000.00 $2,644,000.00 $1,753,000.00 $4,114,000.00 $0.00 $24,300,000.00 $0.00 $11,560,000.00 $3,564,000.00 $10,000,000.00 $11,560,000.00 $3,564,000.00 $0.00 $0.00 $2,344,662.43 Sold, in full; warrants not outstanding $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 $22,500,000.00 $0.00 Preferred Stock w/ Exercised Warrants $22,000,000.00 $0.00 Preferred Stock w/ Warrants $7,225,000.00 $0.00 Preferred Stock w/ Warrants $135,000,000.00 $0.00 $75,036,891.42 Sold, in full; warrants not outstanding $11,385,000.00 $6,056,000.00 $11,385,000.00 $0.00 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 Preferred Stock w/ Warrants Subordinated Debentures w/ Exercised 19-Jun-09 Warrants 19-Dec-12 20-Dec-12 $32,668,000.00 $32,668,000.00 $10,000,000.00 $0.00 9,201 $1,000.00 $18,980,000.00 18,980 $1,000.00 $16,250,000.00 38,970 $417.00 $129,000,000.00 129,000 $1,000.00 $6,500,000.00 6,500 $1,000.00 $1,268,825.60 $2,831,259.86 1,360 3,037 $932.05 $932.05 357,675 $19,132.00 86,957 $213,594.16 205,379 $263,000.00 263 ($22,720,000.00) ($91,174.40) ($205,740.14) $115,861.34 132 ($96,696.00) ($2,206,944.00) $290,115.00 $696,276.00 $121,433.85 315 756 144 $923,304.00 $21,073,056.00 1,020 23,280 $905.20 $905.20 $10,000,000.00 10,000 $1,000.00 $245,000.00 86,705 -$25,000.00 $109,057.43 113 $212,000.00 125,413 $750,000.00 750 $2,525,000.00 234,742 $290,000.00 290 $1,058,725.80 1,100 $319,658.99 268,621 $751,888.00 79,288 $185,016.80 79,067 $55,000,000.00 55,000 $1,000.00 $24,750.00 30 $825.00 ($5,250.00) $1,831,500.00 2,220 $825.00 ($388,500.00) $27,875,000.00 27,875 $1,000.00 $15,000,000.00 15,000 $1,000.00 $10,000,000.00 10,000 $1,000.00 $5,800,000.00 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) $3,000,000.00 7,225 $415.20 ($4,225,000.00) $11,300,000.00 11,300 $1,000.00 $36,337,500.00 $36,427,038.55 2,850,000 2,770,117 $12.75 $13.15 $7,000,000.00 7,000 $1,000.00 $3,612,118.06 Sold, in full; warrants not outstanding $12,704,145.10 Redeemed, in full; warrants not outstanding Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants $9,201,000.00 $1,800,000.00 $25,797,528.80 Sold, in full; warrants not outstanding $0.00 $0.00 ($588,000.00) $2,411,625.00 Full investment outstanding; warrants outstanding $6,859,176.83 Redeemed, in full; warrants not outstanding $11,300,000.00 $7,000,000.00 $853.00 $13,886,111.11 Redeemed, in full; warrants not outstanding Preferred Stock w/ Warrants Preferred Stock w/ Warrants 4,000 313,000 $516,988.89 Full investment outstanding; warrants outstanding $830,291.00 Full investment outstanding; warrants outstanding $11,586,666.67 Redeemed, in full; warrants not outstanding $2,250,000.00 $22,500,000.00 $5,800,000.00 $3,412,000.00 $313,000.00 $27,432,357.95 Sold, in full; warrants not outstanding $64,739,583.33 Redeemed, in full; warrants outstanding Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants ($1,008,156.60) ($30,243.40) $271,579.53 Full investment outstanding; warrants outstanding $4,982,141.86 Sold, in full; warrants not outstanding $0.00 $0.00 $935.10 $935.10 $7,448,071.47 Redeemed, in full; warrants not outstanding $55,000,000.00 $10,000,000.00 $1.00 15,534 466 $185,347,916.66 Redeemed, in part; warrants outstanding Preferred Stock w/ Warrants Preferred Stock w/ Warrants 6,251,000 $11,388,958.51 Redeemed, in full; warrants not outstanding $0.00 $0.00 $6,251,000.00 $14,525,843.40 $435,756.60 $3,994,452.00 Sold, in full; warrants not outstanding $0.00 $3,000,000.00 $3,500,000.00 Warrant Proceeds Amount Shares $7,547,479.56 Redeemed, in full; warrants not outstanding $18,980,000.00 $129,000,000.00 (Realized Loss) / (Write-off) / Gain $19,941,788.94 Sold, in full; warrants not outstanding $38,970,000.00 $258,000,000.00 Capital Repayment / Disposition / Auction3 Amount Shares Avg. Price ($32,121,928.87) ($30,113,532.58) $8,077,516.47 Redeemed, in full; warrants not outstanding $450,656.00 Full investment outstanding; warrants outstanding $6,739,821.89 Redeemed, in full; warrants not outstanding $6,056,000.00 6,056 $1,000.00 $182,000.00 182 $7,500,000.00 7,500 $1,000.00 $375,000.00 375 $39,400.00 $9,810,600.00 40,000 9,960,000 $0.99 $0.99 $200,642.00 $295,946.95 200,000 300,000 $8,887,791.42 Redeemed, in full; warrants not outstanding $571,690.00 Full investment outstanding; warrants outstanding $13,186,960.25 Sold, in full; warrants not outstanding ($600.00) ($149,400.00) 36 FootNote 13 6 21 17,28 9 6,53 6,12 9,7,34 6 6 42,6,12 9 84 43 6,7 9 6,12 80 6,15 43 42 6,12 9,6,12 9,14 42,6,12 9 9 13,12 6,12 9,6,12 9,6,12 Institution Name City State 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 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 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. 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. 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. COLONIAL AMERICAN BANK COLONIAL AMERICAN BANK 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 DANVILLE CHICAGO NEW YORK NEW YORK NEW YORK NEW YORK NEW YORK WELLSBORO WELLSBORO WELLSBORO NEVADA CITY CHILLICOTHE CHILLICOTHE CHILLICOTHE ATLANTA ATLANTA COVINGTON VERSAILLES SOUTH HILL SOUTH HILL BOWLING GREEN BOWLING GREEN BOWLING GREEN FLINT FLINT GASTONIA GASTONIA GASTONIA NEWARK BEVERLY HILLS BEVERLY HILLS BEVERLY HILLS BEVERLY HILLS CLOVER CLOVER CLOVER FERNANDINA BEACH FERNANDINA BEACH FERNANDINA BEACH FERNANDINA BEACH FERNANDINA BEACH HILTON HEAD ISLAND HILTON HEAD ISLAND HILTON HEAD ISLAND DENVER DENVER DENVER YORK YORK YORK LAMAR LAMAR LAMAR WEST CONSHOHOCKEN WEST CONSHOHOCKEN FITZGERALD FITZGERALD FITZGERALD FITZGERALD TACOMA TACOMA TACOMA BUENA VISTA BUENA VISTA DALLAS DALLAS DALLAS NEWPORT BEACH NEWPORT BEACH AR IL NY NY NY NY NY PA PA PA CA MO MO MO GA GA LA KY VA VA KY KY KY MI MI NC NC NC NJ CA CA CA CA SC SC SC FL FL FL FL FL SC SC SC CO CO CO PA PA PA CO CO CO PA PA GA GA GA GA WA WA WA CO CO TX TX TX CA CA COMMONWEALTH BANCSHARES, INC. COMMONWEALTH BANCSHARES, INC. COMMONWEALTH BANCSHARES, INC. COMMONWEALTH BANCSHARES, INC. COMMONWEALTH BANCSHARES, INC. COMMONWEALTH BUSINESS BANK COMMONWEALTH BUSINESS BANK COMMUNITY 1ST BANK COMMUNITY 1ST BANK COMMUNITY BANCSHARES OF KANSAS, INC. LOUISVILLE LOUISVILLE LOUISVILLE LOUISVILLE LOUISVILLE LOS ANGELES LOS ANGELES ROSEVILLE ROSEVILLE GOFF KY KY KY KY KY CA CA CA CA KS Date Original Investment Type1 Subordinated Debentures w/ Exercised 29-May-09 Warrants 31-Jul-09 Preferred Stock w/ Exercised Warrants 31-Dec-08 Preferred Stock w/ Warrants 10-Dec-09 28-Oct-08 Preferred Stock w/ Warrants 10-Dec-10 31-Jan-11 16-Jan-09 Preferred Stock w/ Warrants 04-Aug-10 01-Sep-10 23-Dec-08 Preferred Stock w/ Exercised Warrants 29-May-09 Preferred Stock w/ Exercised Warrants 07-Feb-13 08-Feb-13 06-Mar-09 Preferred Stock 13-Aug-10 20-Mar-09 Preferred Stock w/ Exercised Warrants 06-Feb-09 Preferred Stock w/ Exercised Warrants 23-Dec-08 Preferred Stock w/ Exercised Warrants 28-Jul-11 19-Dec-08 Preferred Stock w/ Warrants 16-Feb-11 13-Feb-13 12-Dec-08 Preferred Stock w/ Warrants 12-Apr-13 12-Dec-08 Preferred Stock w/ Warrants 22-Sep-11 09-Nov-11 10-Apr-09 Preferred Stock 21-Nov-08 Preferred Stock w/ Warrants 30-Dec-09 03-Mar-10 07-Apr-10 27-Mar-09 Preferred Stock w/ Exercised Warrants 28-Nov-12 29-Nov-12 05-Dec-08 Preferred Stock w/ Warrants 08-Mar-13 11-Mar-13 10-Apr-13 12-Jun-13 28-Aug-09 Preferred Stock w/ Exercised Warrants 08-Mar-13 11-Mar-13 19-Dec-08 Preferred Stock w/ Warrants 08-Sep-11 23-Nov-11 09-Jan-09 Preferred Stock w/ Warrants 18-Aug-11 28-Sep-11 13-Feb-09 Preferred Stock w/ Exercised Warrants 19-Jul-13 22-Jul-13 27-Mar-09 Preferred Stock w/ Exercised Warrants 26-Oct-11 09-Jan-09 Preferred Stock w/ Warrants 07-Feb-13 08-Feb-13 12-Jun-13 21-Nov-08 Preferred Stock w/ Warrants 11-Aug-10 01-Sep-10 27-Feb-09 Preferred Stock w/ Exercised Warrants 22-Sep-11 14-Nov-08 Preferred Stock w/ Warrants 17-Mar-10 12-May-10 09-Jan-09 Preferred Stock w/ Warrants 07-Oct-09 Subordinated Debentures w/ Exercised 22-May-09 Warrants 07-Aug-12 08-Aug-12 09-Aug-12 10-Aug-12 23-Jan-09 Preferred Stock w/ Exercised Warrants 17-Jul-13 16-Jan-09 Preferred Stock w/ Exercised Warrants 19-Dec-12 06-Mar-09 Preferred Stock w/ Exercised Warrants Original Investment Amount Outstanding Investment $19,817,000.00 $7,000,000.00 $2,330,000,000.00 $19,817,000.00 $7,000,000.00 $0.00 $25,000,000,000.00 $0.00 Total Cash Back2 Investment Status* Capital Repayment / Disposition / Auction3 Amount Shares Avg. Price (Realized Loss) / (Write-off) / Gain Warrant Proceeds Amount Shares $5,754,674.98 Full investment outstanding; warrants outstanding $1,446,520.81 Full investment outstanding; warrants outstanding $43,687,500.00 Sold, in full; warrants not outstanding ($2,330,000,000.00) $26,440,000.00 $0.00 $32,839,267,986.44 Sold, in full; warrants not outstanding $10,400,000.00 $0.00 $7,462,000.00 $0.00 $2,400,000.00 $6,300,000.00 $3,000,000.00 $2,400,000.00 $6,300,000.00 $0.00 $379,683.00 Full investment outstanding; warrants outstanding $180,258.50 Full investment outstanding; warrants outstanding $3,574,645.84 Redeemed, in full; warrants not outstanding $8,779,000.00 $3,265,788.00 $7,156,275.51 Redeemed, in part; warrants outstanding $0.00 $20,500,000.00 $0.00 $9,439,000.00 $400,000,000.00 $3,000,000.00 $9,950,000.00 $9,439,000.00 $0.00 $0.00 $0.00 $0.00 $19,178,479.00 Redeemed, in full; warrants not outstanding $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 $6,657,375.00 $6,150,000.00 12,990 12,000 $512.50 $512.50 $7,462,000.00 7,462 $1,000.00 $3,000,000.00 3,000 $1,000.00 $2,212,308.00 $3,300,904.00 63 94 $35,116.00 $35,116.00 $300,000,000.00 300,000 $1,000.00 $20,500,000.00 20,500 $1,000.00 ($6,332,625.00) ($5,850,000.00) $260,625.00 $384,421.87 500 750 $150,000.00 150 $225,157.00 450,314 $200,000,000.00 $200,000,000.00 200,000 200,000 $1,000.00 $1,000.00 $955,825.50 $1,662,874.50 1,095 1,905 $872.90 $872.90 ($139,174.50) ($242,125.50) $18,500,000.00 1,128,668 $3,772,645.00 $5,730,600.00 3,950 6,000 $955.10 $955.10 ($177,355.00) ($269,400.00) $114,021.50 150 $99,000.00 $225,647.45 60,000 145,579 $397,550.00 $12,335,976.50 500 15,515 $795.10 $795.10 ($102,450.00) ($3,179,023.50) $393,795.00 $22,052.52 450 30 $64,450,000.00 64,450 $1,000.00 $16,500,000.00 16,500 $1,000.00 $143,677.00 895,968 $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 $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) $7,323,651.00 7,701 $951.00 ($377,349.00) $2,550,000.00 2,550 $1,000.00 ($5,005.00) ($957,495.00) $526,604.00 263,859 $499,375.00 50 $29,000.00 29 $810,000.00 500,000 $3,301,647.00 398,023 $113,000.00 113 $181,102,043.40 11,479,592 $791,922.00 $106,800.00 900,000 120,000 $668,142.53 Redeemed, in full; warrants not outstanding $26,480,089.20 Sold, in full; warrants not outstanding ($6,027,055.29) ($73,864.71) $86,821,419.22 Redeemed, in full; warrants not outstanding $2,689,478.64 Redeemed, in full; warrants not outstanding $2,582,039,543.40 Redeemed, in full; warrants not outstanding $5,036,111.11 Redeemed, in full; warrants outstanding $21,575,016.54 Sold, in full; warrants not outstanding $0.00 $8,528,008.19 Sold, in full; warrants not outstanding $2,550,000.00 $0.00 $2,899,659.67 Redeemed, in full; warrants not outstanding $0.00 194,794 $10,766,152.78 Sold, in full; warrants not outstanding $7,701,000.00 $500,000.00 $400,000.00 $11,166,897.79 Sold, in full; warrants not outstanding $16,500,000.00 $76,898,000.00 210,084,034 $3,318,585.05 Sold, in full; warrants not outstanding $73,357,086.72 Redeemed, in full; warrants not outstanding $0.00 $54,621,848.84 $281,859.00 Full investment outstanding; warrants not outstanding $442,416,666.67 Redeemed, in full; warrants not outstanding $0.00 $28,000,000.00 $1,000.00 $23,572,379.22 Redeemed, in full; warrants not outstanding $64,450,000.00 $0.00 26,440 $369,245,436.64 Redeemed, in full; warrants outstanding $14,257,487.71 Sold, in full; warrants not outstanding $574,000.00 $26,440,000.00 $6,852,354,470.93 $7,997,813.22 Redeemed, in full; warrants not outstanding $0.00 $0.00 $4.14 $223,571.11 Full investment outstanding; warrants outstanding $13,952,381.45 Sold, in full; warrants not outstanding $16,015,000.00 $10,000,000.00 7,692,307,692 $28,889,100.00 Redeemed, in full; warrants not outstanding $10,400,000.00 $24,990,000.00 $300,000,000.00 $25,000,000,000.00 $366,088.80 385 $128,000.00 128 $616,741.75 Redeemed, in full; warrants not outstanding 37 FootNote 9,6,12 6,15 9,7,34 42 9 6,12 79 72,6,12 6 42,6,12 6 6,65 6,12 42 13,15 42,6,12 51 6,12 6,12 6,12 6 6 56 6,12 6 9,14 42,6,12 13,42,12 6,12 6,16 13,12 6,12 9 Institution Name City State Date Original Investment Type1 COMMUNITY BANCSHARES OF KANSAS, INC. COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY BANK OF MISSISSIPPI COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY BANK OF MISSISSIPPI COMMUNITY BANCSHARES, INC. COMMUNITY BANK OF THE BAY COMMUNITY BANK OF THE BAY COMMUNITY BANK SHARES OF INDIANA, INC. COMMUNITY BANK SHARES OF INDIANA, INC. COMMUNITY BANK SHARES OF INDIANA, INC. COMMUNITY BANKERS TRUST CORPORATION COMMUNITY BANKERS TRUST CORPORATION COMMUNITY BUSINESS BANK COMMUNITY BUSINESS BANK COMMUNITY FINANCIAL CORPORATION COMMUNITY FINANCIAL CORPORATION COMMUNITY FINANCIAL SHARES, INC. COMMUNITY FINANCIAL SHARES, INC. COMMUNITY FIRST BANCSHARES, INC. (AR) COMMUNITY FIRST BANCSHARES, INC. (TN) COMMUNITY FIRST BANCSHARES, INC. (TN) COMMUNITY FIRST, INC. COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC. COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC. COMMUNITY INVESTORS BANCORP, INC. COMMUNITY INVESTORS BANCORP, INC. COMMUNITY INVESTORS BANCORP, INC. COMMUNITY PARTNERS BANCORP COMMUNITY PARTNERS BANCORP COMMUNITY PARTNERS BANCORP GOFF KS BRANDON MS 11-Sep-09 Preferred Stock w/ Exercised Warrants BRANDON KINGMAN OAKLAND OAKLAND NEW ALBANY NEW ALBANY NEW ALBANY GLEN ALLEN GLEN ALLEN WEST SACRAMENTO WEST SACRAMENTO STAUNTON STAUNTON GLEN ELLYN GLEN ELLYN HARRISON UNION CITY UNION CITY COLUMBIA MS AZ CA CA IN IN IN VA VA CA CA VA VA IL IL AR TN TN TN 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 19-Dec-08 09-Jan-13 15-May-09 21-Dec-12 03-Apr-09 20-Mar-09 18-Aug-11 27-Feb-09 BRANDON BRANDON BUCYRUS BUCYRUS BUCYRUS MIDDLETOWN MIDDLETOWN MIDDLETOWN COMMUNITY PRIDE BANK CORPORATION COMMUNITY TRUST FINANCIAL CORPORATION COMMUNITY TRUST FINANCIAL CORPORATION COMMUNITY WEST BANCSHARES COMMUNITY WEST BANCSHARES COMMUNITY WEST BANCSHARES COMMUNITY WEST BANCSHARES COMMUNITYONE BANCORP / FNB UNITED CORP. CONGAREE BANCSHARES, INC. CONGAREE BANCSHARES, INC. CONGAREE BANCSHARES, INC. CORNING SAVINGS AND LOAN ASSOCIATION CORNING SAVINGS AND LOAN ASSOCIATION COUNTRY BANK SHARES, INC. COUNTRY BANK SHARES, INC. COUNTRY BANK SHARES, INC. COVENANT FINANCIAL CORPORATION CRAZY WOMAN CREEK BANCORP INCORPORATED CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) CROSSTOWN HOLDING COMPANY CROSSTOWN HOLDING COMPANY CROSSTOWN HOLDING COMPANY CSRA BANK CORP. CVB FINANCIAL CORP. CVB FINANCIAL CORP. CVB FINANCIAL CORP. CVB FINANCIAL CORP. D.L. EVANS BANCORP D.L. EVANS BANCORP HAM LAKE RUSTON RUSTON GOLETA GOLETA GOLETA GOLETA ASHEBORO CAYCE CAYCE CAYCE CORNING CORNING MILFORD MILFORD MILFORD CLARKSDALE BUFFALO Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* 18-Jul-12 Preferred Stock w/ Exercised Warrants Preferred Stock Preferred Stock w/ Warrants Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants $52,000,000.00 $0.00 $3,872,000.00 $1,747,000.00 $3,872,000.00 $0.00 $19,468,000.00 $0.00 $17,680,000.00 $13,180,000.00 $4,674,050.16 Sold, in full; warrants not outstanding $15,206,719.94 Redeemed, in full; warrants outstanding Preferred Stock w/ Exercised Warrants $6,970,000.00 $0.00 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants $12,725,000.00 $20,000,000.00 $12,725,000.00 $0.00 $2,854,867.18 Full investment outstanding; warrants outstanding $23,628,111.33 Redeemed, in full; warrants not outstanding Preferred Stock w/ Exercised Warrants $17,806,000.00 $17,806,000.00 $1,908,453.00 Full investment outstanding; warrants outstanding MS 06-Feb-09 Preferred Stock w/ Exercised Warrants $1,050,000.00 $0.00 $1,220,300.65 Sold, in full; warrants not outstanding MS OH OH OH NJ NJ NJ $2,600,000.00 $0.00 $3,115,616.28 Sold, in full; warrants not outstanding MN LA LA CA CA CA CA NC SC SC SC AR AR NE NE NE MS WY 30-Nov-12 23-Dec-08 Preferred Stock w/ Exercised Warrants 19-Dec-12 20-Dec-12 30-Jan-09 Preferred Stock w/ Warrants 11-Aug-11 26-Oct-11 Subordinated Debentures w/ Exercised 13-Nov-09 Warrants 09-Jan-09 Preferred Stock w/ Exercised Warrants 06-Jul-11 19-Dec-08 Preferred Stock w/ Warrants 10-Dec-12 11-Dec-12 12-Jun-13 13-Feb-09 Preferred Stock w/ Warrants 09-Jan-09 Preferred Stock w/ Exercised Warrants 29-Oct-12 31-Oct-12 13-Feb-09 Preferred Stock w/ Exercised Warrants 30-Nov-12 30-Jan-09 Preferred Stock w/ Exercised Warrants 28-Nov-12 29-Nov-12 05-Jun-09 Preferred Stock w/ Exercised Warrants 20-Feb-09 Preferred Stock w/ Exercised Warrants RALEIGH BLAINE BLAINE BLAINE WRENS ONTARIO ONTARIO ONTARIO ONTARIO BURLEY BURLEY NC MN MN MN GA CA CA CA CA ID ID 09-Jan-09 23-Jan-09 19-Jul-13 22-Jul-13 27-Mar-09 05-Dec-08 26-Aug-09 02-Sep-09 28-Oct-09 27-Feb-09 27-Sep-11 DEERFIELD FINANCIAL CORPORATION DEERFIELD FINANCIAL CORPORATION DELMAR BANCORP DELMAR BANCORP DELMAR BANCORP DESOTO COUNTY BANK DESOTO COUNTY BANK DEERFIELD DEERFIELD DELMAR DELMAR DELMAR HORN LAKE HORN LAKE WI WI MD MD MD MS MS DIAMOND BANCORP, INC. DIAMOND BANCORP, INC. DIAMOND BANCORP, INC. DIAMOND BANCORP, INC. DICKINSON FINANCIAL CORPORATION II DICKINSON FINANCIAL CORPORATION II DICKINSON FINANCIAL CORPORATION II DISCOVER FINANCIAL SERVICES WASHINGTON WASHINGTON WASHINGTON WASHINGTON KANSAS CITY KANSAS CITY KANSAS CITY RIVERWOODS MO MO MO MO MO MO MO IL $15,600,000.00 $0.00 $51,500,000.00 $3,285,000.00 $51,500,000.00 $0.00 $638,000.00 $0.00 $7,525,000.00 $0.00 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants $2,400,000.00 $130,000,000.00 $2,400,000.00 $0.00 $180,940.00 Full investment outstanding; warrants outstanding $136,046,583.33 Redeemed, in full; warrants not outstanding $0.00 $3,283,338.96 Redeemed, in full; warrants not outstanding $9,000,000.00 $0.00 $6,598,331.15 Sold, in full; warrants not outstanding $146,053,000.00 $0.00 $1,224,558,000.00 $0.00 386,270 ($258,440.00) $167,035.00 199 ($3,833,500.00) $157,050.00 349 $1,000,000.00 1,000 1,747 $1,000.00 19,468 $1,000.00 $4,500,000.00 4,500 $1,000.00 $3,717,560.00 3,976 $935.00 $12,643,000.00 12,643 $1,000.00 $3,136,500.00 6,970 $450.00 $20,000,000.00 20,000 $1,000.00 $1,002,750.00 105 $9,550.00 ($47,250.00) $25,000.00 5 $952,850.00 $1,517,150.00 1,003 1,597 $950.00 $950.00 ($50,150.00) ($79,850.00) $105,000.00 130 $9,000,000.00 9,000 $1,000.00 $460,000.00 311,972 $1,200,000.00 1,200 $698,351.00 521,158 $24,000,000.00 24,000 $1,000.00 $2,172,000.00 $9,122,400.00 3,000 12,600 $724.00 $724.00 ($828,000.00) ($3,477,600.00) $23,932.54 $2,687,046.56 29 3,256 $825.30 $825.30 ($5,067.46) ($568,953.44) $106,364.00 164 $548,680.00 638 $860.00 ($89,320.00) $3,960.00 32 $713,208.30 $6,193,989.20 777 6,748 $917.90 $917.90 ($63,791.70) ($554,010.80) $372,240.00 376 $343,794.50 $10,117,381.00 350 10,300 $982.30 $982.30 ($6,205.50) ($182,619.00) $536,576.43 533 $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 $5,293,527.28 $215,462.72 8,648 352 $612.10 $612.10 ($3,354,472.72) ($136,537.28) $311,943.55 450 $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) $687,116.49 $92,460.00 902,000 120,000 $8,025,555.03 $72,684,793.30 14,523 131,530 $552.60 $552.60 ($6,497,444.97) ($58,845,206.70) $3,406.25 $4,922,010.81 5 7,298 $23,686,592.33 Redeemed, in full; warrants not outstanding $2,639,000.00 $0.00 $1,100,869.50 $1,747,000.00 $19,468,000.00 $8,781,205.02 Sold, in full; warrants not outstanding $5,475,091.20 Full investment outstanding; warrants outstanding $13,608,302.35 Sold, in full; warrants not outstanding $20,445,000.00 2,600 $659,705.04 Sold, in full; warrants not outstanding $24,900,000.00 $0.00 $2,681,000.00 $2,600,000.00 $2,589,305.00 Full investment outstanding; warrants outstanding $3,483,629.20 Sold, in full; warrants not outstanding $24,900,000.00 $10,650,000.00 $1,173,000.00 $1,508,000.00 $1,000.00 $14,341,140.33 Sold, in full; warrants not outstanding Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants Subordinated Debentures w/ Exercised 15-May-09 Warrants 08-Sep-11 04-Dec-09 Preferred Stock w/ Exercised Warrants 07-Feb-13 08-Feb-13 13-Feb-09 Preferred Stock w/ Exercised Warrants 29-Dec-09 Subordinated Debentures w/ Exercised 22-May-09 Warrants 08-Aug-12 09-Aug-12 10-Aug-12 16-Jan-09 Preferred Stock w/ Exercised Warrants 07-Feb-13 08-Feb-13 13-Mar-09 Preferred Stock w/ Warrants 52,000 $448,253.42 Full investment outstanding; warrants outstanding $28,459,100.00 Redeemed, in full; warrants not outstanding $1,083,489.44 Full investment outstanding; warrants outstanding $715,690.97 Full investment outstanding; warrants outstanding $0.00 $52,000,000.00 $10,598,750.00 Redeemed, in full; warrants not outstanding $5,000,000.00 $3,100,000.00 $19,891,000.00 25 $4,240,743.82 Sold, in full; warrants not outstanding $5,000,000.00 $3,100,000.00 Preferred Stock w/ Exercised Warrants $25,000.00 $8,529,583.01 Redeemed, in part; warrants outstanding $0.00 $4,400,000.00 $0.00 $1,000.00 $22,802,281.62 Redeemed, in full; warrants not outstanding $0.00 $4,400,000.00 $24,000,000.00 Warrant Proceeds Amount Shares 500 $777,118.70 Full investment outstanding; warrants outstanding $1,823,188.61 Redeemed, in full; warrants not outstanding $3,976,000.00 $0.00 (Realized Loss) / (Write-off) / Gain $500,000.00 $57,575,699.54 Redeemed, in full; warrants not outstanding $12,643,000.00 $9,000,000.00 Capital Repayment / Disposition / Auction3 Amount Shares Avg. Price $526,869.44 Full investment outstanding; warrants outstanding $21,101,618.19 Sold, in full; warrants not outstanding $87,459,858.69 Sold, in full; warrants not outstanding $1,464,248,844.00 Redeemed, in full; warrants not outstanding 38 FootNote 42 13 10,42 9,14 87 42 43 9 6,42,12 6,42,70 6,12 6,12,16 6,12 13,12 6,12 9 6 6,12 9,6 13,12 43,6,12 13,15 6,12 43,6,12 6,12 Institution Name City State Date Original Investment Type1 DISCOVER FINANCIAL SERVICES DISCOVER FINANCIAL SERVICES DNB FINANCIAL CORPORATION DNB FINANCIAL CORPORATION DNB FINANCIAL CORPORATION RIVERWOODS RIVERWOODS DOWNINGTOWN DOWNINGTOWN DOWNINGTOWN IL IL PA PA PA 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. MINNEAPOLIS BETHESDA BETHESDA BETHESDA BETHESDA PASADENA PASADENA PASADENA TAPPAHANNOCK MN MD MD MD MD CA CA CA VA 21-Apr-10 07-Jul-10 30-Jan-09 Preferred Stock w/ Warrants 04-Aug-11 21-Sep-11 Subordinated Debentures w/ Exercised 19-Jun-09 Warrants 05-Dec-08 Preferred Stock w/ Warrants 23-Dec-09 14-Jul-11 23-Nov-11 05-Dec-08 Preferred Stock w/ Warrants 29-Dec-10 26-Jan-11 09-Jan-09 Preferred Stock w/ Warrants 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 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) 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 TREZEVANT TREZEVANT TREZEVANT TREZEVANT TREZEVANT SALISBURY SALISBURY SALISBURY SALISBURY NC PA PA PA TX TX TX MO MO MO PA PA KS KS CA CA CA CA CA CA TN TN TN TN TN NC NC NC NC 16-Jan-09 23-Dec-08 18-Aug-11 07-Dec-11 05-Dec-08 27-Sep-11 23-Nov-11 19-Dec-08 07-Nov-12 09-Jan-13 12-Jun-09 25-Aug-11 30-Jan-09 11-Aug-11 19-Dec-08 03-Aug-12 08-Aug-12 09-Aug-12 10-Aug-12 13-Aug-12 30-Jan-09 06-Nov-09 06-Feb-13 07-Feb-13 08-Feb-13 06-Feb-09 18-Sep-12 19-Sep-12 20-Sep-12 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.N.B. CORPORATION F.N.B. CORPORATION F.N.B. CORPORATION FARMERS & MERCHANTS BANCSHARES, INC. 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 HOLDEN HOLDEN HOLDEN CLARKSVILLE CLARKSVILLE CLARKSVILLE CLARKSVILLE HERMITAGE HERMITAGE HERMITAGE HOUSTON ARGONIA ARGONIA WINDSOR WINDSOR FRANKFORT FRANKFORT FRANKFORT MO MO MO TN TN TN TN PA PA PA TX KS KS VA VA KY KY KY 22-May-09 08-Nov-12 13-Nov-12 13-Feb-09 19-Sep-12 20-Sep-12 21-Sep-12 09-Jan-09 09-Sep-09 23-Nov-11 06-Mar-09 20-Mar-09 24-Jun-13 23-Jan-09 09-Jan-13 09-Jan-09 19-Jun-12 18-Jul-12 FARMERS ENTERPRISES, INC. FARMERS ENTERPRISES, INC. FARMERS ENTERPRISES, INC. FARMERS ENTERPRISES, INC. FARMERS STATE BANKSHARES, INC. FARMERS STATE BANKSHARES, INC. GREAT BEND GREAT BEND GREAT BEND GREAT BEND HOLTON HOLTON KS KS KS KS KS KS FBHC HOLDING COMPANY FBHC HOLDING COMPANY FC HOLDINGS, INC. FC HOLDINGS, INC. FCB BANCORP, INC. FCB BANCORP, INC. FFW CORPORATION FFW CORPORATION FFW CORPORATION BOULDER BOULDER HOUSTON HOUSTON LOUISVILLE LOUISVILLE WABASH WABASH WABASH CO CO TX TX KY KY IN IN IN Original Investment Amount $11,750,000.00 $12,000,000.00 $38,235,000.00 $306,546,000.00 Outstanding Investment $0.00 $12,000,000.00 $0.00 $0.00 Total Cash Back2 Investment Status* Preferred Stock w/ Warrants Preferred Stock w/ Warrants $17,949,000.00 $7,500,000.00 $17,949,000.00 $0.00 $3,886,457.58 Full investment outstanding; warrants outstanding $8,545,904.67 Redeemed, in full; warrants not outstanding Preferred Stock w/ Warrants $34,000,000.00 $0.00 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants $4,000,000.00 $8,750,000.00 $43,000,000.00 $4,609,000.00 $3,535,000.00 $17,000,000.00 $0.00 $0.00 $0.00 $0.00 $0.00 $17,573,762.97 Sold, in full; warrants not outstanding $8,752,000.00 $5,689,000.00 Preferred Stock w/ Warrants Subordinated Debentures w/ Exercised 19-Jun-09 Warrants 08-Nov-12 09-Nov-12 13-Nov-12 20-Mar-09 Preferred Stock w/ Exercised Warrants 21-Jul-11 Subordinated Debentures w/ Exercised 29-Dec-09 Warrants 09-Mar-11 26-Jun-09 Preferred Stock w/ Exercised Warrants 20-Feb-13 19-Dec-08 Preferred Stock w/ Exercised Warrants 22-Sep-11 19-Dec-08 Preferred Stock w/ Exercised Warrants 28-Nov-12 30-Nov-12 $30,000,000.00 $12,000,000.00 $0.00 $0.00 $306,546,000.00 306,546 $1,000.00 $2,794,422.00 770,868 $14,500,000.00 1,517,555 $51,113.00 50,111 $637,071.00 728,052 $7,500,000.00 7,500 $1,000.00 $34,000,000.00 34,000 $1,000.00 $35,000,000.00 35,000 $1,000.00 $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) $1,930,200.00 $100,852.95 $23,162.40 2,000 126 24 $4,797,325.00 $2,734,192.50 $144,202.50 5,090 2,901 153 $942.50 $942.50 $942.50 ($292,675.00) ($166,807.50) ($8,797.50) $222,007.50 230 $138,195.00 150 $2,664,750.00 $13,485,250.00 2,805 14,195 $950.00 $950.00 ($140,250.00) ($709,750.00) $637,078.95 700 $1,590,599.43 $1,278,999.18 1,659,000 1,334,000 $0.96 $0.96 ($68,400.57) ($55,000.82) $125,000.00 150,000 $157,500.00 $13,421,362.50 200 17,043 $787.50 $787.50 $100,000,000.00 100,000 $1,000.00 ($42,500.00) ($3,621,637.50) $97,440.00 112 $645,000.60 750 $690,100.00 651,042 $425,425.00 442 $962.50 $3,063,000.00 3,063 $1,000.00 $22,196,700.00 30,000 $739.90 ($16,575.00) $22,165.00 22 $75,000.00 223,992 $37,764.78 $552,558.36 38,000 562,000 $40,000.00 4 $994,613.40 1,052 $465,000.00 465 $358,558.20 364 $27,105,349.50 Sold, in full; warrants not outstanding ($7,803,300.00) $15,452,669.34 Sold, in full; warrants not outstanding $3,035,000.00 $0.00 $804,592.16 Sold, in full; warrants not outstanding $21,042,000.00 $0.00 $19,836,630.66 Sold, in full; warrants not outstanding $0.00 $1,000.00 $1,000.00 $5,065,883.72 Redeemed, in part; warrants outstanding $830,173.67 Redeemed, in full; warrants not outstanding $7,289,000.00 15,000 23,235 $1,913,405.00 Full investment outstanding; warrants outstanding $550,199.14 Sold, in full; warrants not outstanding $0.00 $0.00 $15,000,000.00 $23,235,000.00 $104,023,433.33 Redeemed, in full; warrants not outstanding $700,000.00 $9,294,000.00 186,311 $20,119,744.45 Sold, in full; warrants not outstanding $0.00 Preferred Stock w/ Exercised Warrants $458,000.00 $9,405,391.28 Sold, in full; warrants not outstanding $17,243,000.00 $11,000,000.00 $0.00 20,500,413 $47,294,527.29 Sold, in full; warrants not outstanding Preferred Stock w/ Exercised Warrants $11,000,000.00 $442,000.00 $172,000,000.00 $10,394,872.56 Redeemed, in full; warrants not outstanding $3,842,376.65 Sold, in full; warrants not outstanding Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants $1,000.00 $4,680,205.56 Redeemed, in full; warrants not outstanding $0.00 $0.00 11,750 Warrant Proceeds Amount Shares $42,801,933.33 Redeemed, in full; warrants not outstanding $2,993,000.00 $100,000,000.00 $11,750,000.00 (Realized Loss) / (Write-off) / Gain $39,415,959.89 Redeemed, in full; warrants outstanding Subordinated Debentures w/ Exercised Warrants Preferred Stock w/ Warrants $1,000.00 $352,722,420.00 Redeemed, in full; warrants not outstanding $2,220,000.00 Full investment outstanding; warrants outstanding $0.00 1,224,558 $4,082,973.04 Full investment outstanding; warrants outstanding $44,847,153.76 Redeemed, in full; warrants outstanding $24,000,000.00 $35,000,000.00 $1,224,558,000.00 $13,683,277.61 Redeemed, in full; warrants not outstanding $24,000,000.00 Preferred Stock w/ Warrants Capital Repayment / Disposition / Auction3 Amount Shares Avg. Price $96,290.00 100,000 $0.96 ($3,710.00) $11,458,510.00 11,900,000 $0.96 ($441,490.00) $700,000.00 700 $1,000.00 $650,000.00 3,035,000 $0.21 ($2,385,000.00) $18,874,674.00 21,042 $897.00 ($2,167,326.00) $9,294,000.00 9,294 $1,000.00 $879,424.60 $5,701,813.50 974 6,315 $902.90 $902.90 $11,156,234.25 Redeemed, in full; warrants not outstanding $8,441,836.26 Sold, in full; warrants not outstanding ($94,575.40) ($613,186.50) 39 FootNote 13,9,12 75 6,15 6,12 9 9 43,6,12 13,15,42 6,12 6,12 13,9,12 9,7,34 43 32 6,9,12 43,6,12 43,6,12 6 43 6,12,16 43 6,9,12,16,34 42,6,12 10 Institution Name City State Date Original Investment Type1 Subordinated Debentures w/ Exercised 29-May-09 Warrants 27-Mar-13 12-Dec-08 Preferred Stock w/ Warrants 30-Nov-12 13-Nov-09 Preferred Stock w/ Exercised Warrants 19-Jul-13 22-Jul-13 19-Dec-08 Preferred Stock w/ Exercised Warrants 01-Aug-12 02-Aug-12 03-Aug-12 07-Aug-12 08-Aug-12 09-Aug-12 10-Aug-12 19-Dec-08 Preferred Stock w/ Warrants 03-Jul-12 31-Dec-08 Preferred Stock w/ Warrants 02-Feb-11 16-Mar-11 23-Dec-08 Preferred Stock w/ Warrants 23-Feb-11 30-Mar-11 11-May-11 13-Feb-09 Preferred Stock w/ Exercised Warrants 21-Jul-11 Subordinated Debentures w/ Exercised 31-Jul-09 Warrants 01-Sep-11 22-May-09 Preferred Stock w/ Exercised Warrants 10-Dec-12 11-Dec-12 26-Jun-09 Preferred Stock w/ Exercised Warrants 20-Dec-12 Subordinated Debentures w/ Exercised 24-Jul-09 Warrants 21-Dec-11 11-Dec-12 13-Mar-09 Preferred Stock 13-Aug-10 09-Jan-09 Preferred Stock w/ Warrants 01-Sep-11 23-Nov-11 16-Jan-09 Preferred Stock w/ Warrants 20-Feb-09 Preferred Stock w/ Exercised Warrants 18-Jan-12 24-Oct-12 06-Feb-09 Preferred Stock w/ Exercised Warrants 21-Jul-11 16-Jan-09 Preferred Stock w/ Exercised Warrants 08-Sep-11 31-Dec-08 Preferred Stock w/ Exercised Warrants 06-Mar-09 Preferred Stock w/ Warrants 25-Aug-11 23-Nov-11 Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* FIDELITY BANCORP, INC. (LA) FIDELITY BANCORP, INC. (LA) FIDELITY BANCORP, INC. (PA) / WESBANCO, INC. FIDELITY BANCORP, INC. (PA) / WESBANCO, INC. FIDELITY FEDERAL BANCORP FIDELITY FEDERAL BANCORP FIDELITY FEDERAL BANCORP FIDELITY FINANCIAL CORPORATION FIDELITY FINANCIAL CORPORATION FIDELITY FINANCIAL CORPORATION FIDELITY FINANCIAL CORPORATION FIDELITY FINANCIAL CORPORATION FIDELITY FINANCIAL CORPORATION FIDELITY FINANCIAL CORPORATION FIDELITY FINANCIAL CORPORATION FIDELITY SOUTHERN CORPORATION FIDELITY SOUTHERN CORPORATION FIFTH THIRD BANCORP FIFTH THIRD BANCORP FIFTH THIRD BANCORP FINANCIAL INSTITUTIONS, INC. FINANCIAL INSTITUTIONS, INC. FINANCIAL INSTITUTIONS, INC. FINANCIAL INSTITUTIONS, INC. FINANCIAL SECURITY CORPORATION FINANCIAL SECURITY CORPORATION BATON ROUGE BATON ROUGE PITTSBURGH PITTSBURGH EVANSVILLE EVANSVILLE EVANSVILLE WICHITA WICHITA WICHITA WICHITA WICHITA WICHITA WICHITA WICHITA ATLANTA ATLANTA CINCINNATI CINCINNATI CINCINNATI WARSAW WARSAW WARSAW WARSAW BASIN BASIN LA LA PA PA IN IN IN KS KS KS KS KS KS KS KS GA GA OH OH OH NY NY NY NY WY WY FINANCIAL SERVICES OF WINGER, INC. FINANCIAL SERVICES OF WINGER, INC. FIRST ADVANTAGE BANCSHARES, INC. FIRST ADVANTAGE BANCSHARES, INC. FIRST ADVANTAGE BANCSHARES, INC. FIRST ALLIANCE BANCSHARES, INC. FIRST ALLIANCE BANCSHARES, INC. WINGER WINGER COON RAPIDS COON RAPIDS COON RAPIDS CORDOVA CORDOVA MN MN MN MN MN TN TN FIRST AMERICAN BANK CORPORATION FIRST AMERICAN BANK CORPORATION FIRST AMERICAN BANK CORPORATION FIRST AMERICAN INTERNATIONAL CORP. FIRST AMERICAN INTERNATIONAL CORP. FIRST BANCORP (NC) FIRST BANCORP (NC) FIRST BANCORP (NC) FIRST BANCORP (PR) FIRST BANCTRUST CORPORATION FIRST BANCTRUST CORPORATION FIRST BANCTRUST CORPORATION FIRST BANK OF CHARLESTON, INC. FIRST BANK OF CHARLESTON, INC. FIRST BANKERS TRUSTSHARES, INC. FIRST BANKERS TRUSTSHARES, INC. FIRST BANKS, INC. FIRST BUSEY CORPORATION FIRST BUSEY CORPORATION FIRST BUSEY CORPORATION FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. FIRST CALIFORNIA FINANCIAL GROUP, INC. FIRST CALIFORNIA FINANCIAL GROUP, INC. FIRST CALIFORNIA FINANCIAL GROUP, INC. FIRST CAPITAL BANCORP, INC. FIRST CAPITAL BANCORP, INC. FIRST CAPITAL BANCORP, INC. FIRST CHOICE BANK FIRST CHOICE BANK FIRST CHOICE BANK FIRST CITIZENS BANC CORP FIRST CITIZENS BANC CORP FIRST CITIZENS BANC CORP FIRST COLEBROOK BANCORP, INC. FIRST COLEBROOK BANCORP, INC. FIRST COMMUNITY BANCSHARES INC. FIRST COMMUNITY BANCSHARES INC. FIRST COMMUNITY BANCSHARES INC. ELK GROVE VILLAGE ELK GROVE VILLAGE ELK GROVE VILLAGE BROOKLYN BROOKLYN TROY TROY TROY SAN JUAN PARIS PARIS PARIS CHARLESTON CHARLESTON QUINCY QUINCY CLAYTON URBANA URBANA URBANA IL IL IL NY NY NC NC NC PR IL IL IL WV WV IL IL MO IL IL IL SAN DIEGO CA 10-Apr-09 Preferred Stock w/ Warrants $2,211,000.00 SAN DIEGO CA 11-Dec-09 $2,032,000.00 SAN DIEGO CA 19-Dec-12 $1,373,084.00 1,500 $916.70 SAN DIEGO WESTLAKE VILLAGE WESTLAKE VILLAGE WESTLAKE VILLAGE GLEN ALLEN GLEN ALLEN GLEN ALLEN CERRITOS CERRITOS CERRITOS SANDUSKY SANDUSKY SANDUSKY COLEBROOK COLEBROOK BLUEFIELD BLUEFIELD BLUEFIELD CA CA CA CA VA VA VA CA CA CA OH OH OH NH NH VA VA VA 20-Dec-12 19-Dec-08 14-Jul-11 24-Aug-11 03-Apr-09 19-Jun-12 06-Feb-13 13-Feb-09 22-Dec-09 24-Sep-10 23-Jan-09 03-Jul-12 05-Sep-12 20-Mar-09 22-Sep-11 21-Nov-08 08-Jul-09 22-Nov-11 $2,510,399.84 2,743 $915.60 $25,000,000.00 25,000 $1,000.00 $10,082,565.38 10,958 $920.10 Preferred Stock w/ Warrants Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants $3,942,000.00 $0.00 $5,404,924.35 Redeemed, in full; warrants not outstanding $7,000,000.00 $0.00 $8,388,333.33 Redeemed, in full; warrants outstanding Capital Repayment / Disposition / Auction3 Amount Shares Avg. Price $6,657,000.00 $0.00 $7,293,847.30 Sold, in full; warrants not outstanding $36,282,000.00 $0.00 $40,966,780.82 Sold, in full; warrants not outstanding $48,200,000.00 $0.00 $3,408,000,000.00 $0.00 $37,515,000.00 $5,000,000.00 $0.00 $0.00 $0.00 $1,289,436.37 Sold, in full; warrants not outstanding $3,422,000.00 $0.00 $50,000,000.00 $0.00 $65,558,530.56 Redeemed, in full; warrants not outstanding $17,000,000.00 $0.00 $18,204,166.78 Redeemed, in full; warrants not outstanding $3,345,000.00 $0.00 $10,000,000.00 $295,400,000.00 $100,000,000.00 $25,000,000.00 $10,958,000.00 $0.00 $295,400,000.00 $0.00 $0.00 $0.00 $0.00 $2,200,000.00 $2,836,000.00 $0.00 $23,184,000.00 $0.00 $4,500,000.00 $41,500,000.00 $0.00 $0.00 $197,000.00 197,000 $439,000.00 $6,218,000.00 439 6,218 $1,058.90 $1,058.90 $25,857.10 $366,240.20 $120,320.10 $26,737.80 $298,572.10 $3,200,514.66 $2,348,470.10 $26,056,877.36 $285,203.20 135 30 335 3,591 2,635 29,236 320 $244,750.00 200 $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) $171,947.40 $169,065.60 $1,205,418.52 $178,671.60 179 176 1,273 186 ($4,791,080.00) $280,025,936.00 43,617,747 $2,079,962.50 378,175 $250,000.00 250 $43,408,920.00 48,200 $900.60 $3,408,000,000.00 136,320 $25,000.00 $12,505,000.00 $25,010,000.00 2,501 5,002 $5,000.00 $5,000.00 $5,000,000.00 5,000 $1,000.00 $3,742,000.00 3,742,000 $1.00 $112,000.00 112,000 $690,723.49 $366,469.68 769 408 $898.20 $898.20 ($78,276.51) ($41,530.32) $5,521.86 $23,776.43 6 53 $2,395,742.20 3,422 $700.10 ($1,026,257.80) $94,701.71 171 $15,000,000.00 $35,000,000.00 15,000,000 35,000,000 $1.00 $1.00 $2,500,000.00 2,500,000 $17,000,000.00 17,000 $1,000.00 $65,000,000.00 65,000 $1,000.00 $924,462.00 616,308 $5,914,597.33 Redeemed, in full; warrants not outstanding $1,177,000.00 $400,000,000.00 $0.00 $1,000.00 $43,787,611.61 Redeemed, in full; warrants not outstanding $4,487,322.46 Redeemed, in full; warrants not outstanding $400,000,000.00 $7,350,000.00 $1.00 7,000 $51,286,669.09 Sold, in full; warrants outstanding $0.00 $0.00 3,942,000 $7,000,000.00 Warrant Proceeds Amount Shares $4,043,972,602.67 Redeemed, in full; warrants not outstanding $3,742,000.00 $65,000,000.00 $3,942,000.00 (Realized Loss) / (Write-off) / Gain $3,003,674.75 Sold, in full; warrants not outstanding $74,518,906.44 Redeemed, in full; warrants not outstanding $32,999,386.32 Full investment outstanding; warrants outstanding $9,050,516.50 Redeemed, in full; warrants not outstanding $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 $100,000,000.00 100,000 $1,000.00 $63,677.00 573,833 ($126,916.00) $107,128.32 111 ($232,600.16) -$16,666.67 - $599,042.00 599,042 $266,041.78 417,648 $110,000.00 110 $563,174.00 469,312 $225,000.00 225 $30,600.00 88,273 $3,960,105.00 Redeemed, in full; warrants not outstanding $11,941,222.22 Redeemed, in full; warrants not outstanding $6,037,237.50 Full investment outstanding; warrants outstanding $112,410,898.89 Redeemed, in full; warrants not outstanding $4,693,275.61 Sold, in full; warrants not outstanding $28,810,847.55 Redeemed, in full; warrants not outstanding $11,956,712.44 Sold, in full; warrants not outstanding ($875,434.62) $5,446,642.94 Redeemed, in full; warrants not outstanding $5,036,000.00 5,036 $1,000.00 $21,004,704.00 23,184 $906.00 $4,500,000.00 4,500 $1,000.00 $41,500,000.00 41,500 $1,000.00 $25,245,684.71 Sold, in full; warrants not outstanding ($2,179,296.00) $5,339,487.75 Redeemed, in full; warrants not outstanding $42,839,002.78 Redeemed, in full; warrants not outstanding 40 FootNote 6,70 6 13,34,9 9,6,12 10,14 13,15,42 7,15 6,12 6,12,42 9 6,7 6 9 9,34 9,6,12 9,23 42,6,12 31,42,43 9 6,12 42,6,12 10,14 42 9 71 6,12,16 Institution Name FIRST COMMUNITY BANCSHARES, INC. / EQUITY BANCSHARES, INC. FIRST COMMUNITY BANK CORPORATION OF AMERICA FIRST COMMUNITY BANK CORPORATION OF AMERICA FIRST COMMUNITY CORPORATION FIRST COMMUNITY CORPORATION FIRST COMMUNITY CORPORATION FIRST COMMUNITY FINANCIAL PARTNERS, INC. FIRST COMMUNITY FINANCIAL PARTNERS, INC. FIRST COMMUNITY FINANCIAL PARTNERS, INC. FIRST COMMUNITY FINANCIAL PARTNERS, INC. FIRST COMMUNITY FINANCIAL PARTNERS, INC. FIRST COMMUNITY FINANCIAL PARTNERS, INC. FIRST COMMUNITY FINANCIAL PARTNERS, INC. FIRST DEFIANCE FINANCIAL CORP. FIRST DEFIANCE FINANCIAL CORP. City WICHITA PINELLAS PARK PINELLAS PARK LEXINGTON LEXINGTON LEXINGTON JOLIET JOLIET JOLIET JOLIET JOLIET JOLIET JOLIET DEFIANCE DEFIANCE State KS FL FL SC SC SC IL IL IL IL IL IL IL OH OH Date 15-May-09 23-Dec-08 31-May-11 21-Nov-08 29-Aug-12 01-Nov-12 11-Dec-09 08-Aug-12 09-Aug-12 10-Aug-12 19-Sep-12 20-Sep-12 21-Sep-12 05-Dec-08 19-Jun-12 Original Investment Type1 Original Investment Amount Outstanding Investment Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants $14,800,000.00 $10,685,000.00 $14,800,000.00 $0.00 Preferred Stock w/ Warrants $11,350,000.00 $0.00 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants 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 HANOVER PARK HANOVER PARK GERING GERING HARRISON HARRISON CINCINNATI CINCINNATI CINCINNATI IL IL NE NE AR AR OH OH OH 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 FREEDOM BANCSHARES, INC. FIRST FREEDOM 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 INTERCONTINENTAL BANK FIRST LITCHFIELD FINANCIAL CORPORATION FIRST LITCHFIELD FINANCIAL CORPORATION FIRST M&F CORPORATION FIRST M&F CORPORATION FIRST MANITOWOC BANCORP, INC. FIRST MANITOWOC BANCORP, INC. FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATION FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATION FIRST MENASHA BANCSHARES, INC. FIRST MENASHA BANCSHARES, INC. FIRST MERCHANTS CORPORATION FIRST MERCHANTS CORPORATION FIRST MERCHANTS CORPORATION FIRST MIDWEST BANCORP, INC. FIRST MIDWEST BANCORP, INC. FIRST MIDWEST BANCORP, INC. FIRST NATIONAL CORPORATION FIRST NATIONAL CORPORATION FIRST NBC BANK HOLDING COMPANY FIRST NBC BANK HOLDING COMPANY FIRST NIAGARA FINANCIAL GROUP FIRST NIAGARA FINANCIAL GROUP FIRST NIAGARA FINANCIAL GROUP FIRST NORTHERN COMMUNITY BANCORP FIRST NORTHERN COMMUNITY BANCORP FIRST NORTHERN COMMUNITY BANCORP FIRST PACTRUST BANCORP, INC. FIRST PACTRUST BANCORP, INC. FIRST PACTRUST BANCORP, INC. FIRST PLACE FINANCIAL CORP. FIRST PRIORITY FINANCIAL CORP. FIRST PRIORITY FINANCIAL CORP. LAWRENCE LAWRENCE CHARLESTON CHARLESTON CHARLESTON ELIZABETHTOWN ELIZABETHTOWN LEBANON LEBANON GOTHENBURG GOTHENBURG GOTHENBURG HAMMOND HAMMOND MEMPHIS MEMPHIS MEMPHIS DETROIT DETROIT DORAVILLE LITCHFIELD LITCHFIELD KOSCIUSKO KOSCIUSKO MANITOWOC MANITOWOC KS KS SC SC SC KY KY TN TN NE NE NE LA LA TN TN TN MI MI GA CT CT MS MS WI WI Subordinated Debentures w/ Exercised 11-Sep-09 Warrants 17-Sep-10 06-Feb-09 Preferred Stock w/ Exercised Warrants 15-Feb-12 06-Mar-09 Preferred Stock w/ Warrants 03-May-11 23-Dec-08 Preferred Stock w/ Warrants 24-Feb-10 08-Jun-10 Subordinated Debentures w/ Exercised 12-Jun-09 Warrants 22-Sep-11 05-Dec-08 Preferred Stock w/ Warrants 03-Apr-12 22-May-13 09-Jan-09 Preferred Stock w/ Warrants 29-Apr-13 22-Dec-09 Preferred Stock w/ Exercised Warrants 09-Nov-12 27-Feb-09 Preferred Stock w/ Exercised Warrants 29-Oct-12 31-Oct-12 28-Aug-09 Preferred Stock w/ Exercised Warrants 22-Sep-11 14-Nov-08 Preferred Stock w/ Warrants 22-Dec-10 09-Mar-11 28-Aug-09 Preferred Stock 20-Dec-12 13-Mar-09 Preferred Stock w/ Exercised Warrants 12-Dec-08 Preferred Stock w/ Warrants 07-Apr-10 27-Feb-09 Preferred Stock w/ Warrants 29-Sep-10 16-Jan-09 Preferred Stock w/ Exercised Warrants 27-May-09 RICHMOND VA 06-Feb-09 Preferred Stock w/ Warrants RICHMOND NEENAH NEENAH MUNCIE MUNCIE MUNCIE ITASCA ITASCA ITASCA STRASBURG STRASBURG NEW ORLEANS NEW ORLEANS LOCKPORT LOCKPORT LOCKPORT DIXON DIXON DIXON CHULA VISTA CHULA VISTA CHULA VISTA WARREN MALVERN MALVERN VA WI WI IN IN IN IL IL IL VA VA LA LA NY NY NY CA CA CA CA CA CA OH PA PA 07-Dec-11 13-Feb-09 15-Sep-11 20-Feb-09 22-Sep-11 23-Nov-11 05-Dec-08 23-Nov-11 21-Dec-11 13-Mar-09 29-Aug-12 20-Mar-09 04-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 05-Jan-11 13-Mar-09 20-Feb-09 18-Dec-09 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants Preferred Stock w/ Warrants Preferred Stock w/ Warrants Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants $22,000,000.00 $0.00 Total Cash Back2 Investment Status* $0.00 $8,514,738.21 Redeemed, in full; warrants not outstanding $5,000,000.00 $0.00 $6,074,313.00 Redeemed, in full; warrants not outstanding $0.00 $3,756,000.00 $0.00 $65,000,000.00 $0.00 $20,000,000.00 $0.00 $6,398,000.00 $10,000,000.00 $6,398,000.00 $0.00 $30,000,000.00 $0.00 $40,834,859.35 Redeemed, in full; warrants not outstanding $4,797,000.00 $0.00 $5,713,865.00 Redeemed, in full; warrants not outstanding $17,836,000.00 $184,011,000.00 $17,390,000.00 $19,300,000.00 $72,927,000.00 $4,579,000.00 $4,596,000.00 $0.00 $0.00 $0.00 $0.00 $0.00 $72,927,000.00 $0.00 ($173,750.00) ($1,624,910.00) ($5,846,340.00) $35,618,420.00 37,000 $962.70 ($1,381,580.00) $7,500,000.00 7,500,000 $1.00 $375,000.00 375,000 $5,000,000.00 5,000 $1,000.00 $250,000.00 250 $6,000,000.00 16,500 $363.60 $80,000,000.00 80,000 $1,000.00 $2,966,288.32 465,117 $113,000.00 113,000 $1,400,000.00 241,696 $256,118.75 261 ($10,500,000.00) $3,756,000.00 3,756,000 $1.00 $56,778,150.00 65,000 $873.50 ($8,221,850.00) $10,842,200.00 20,000 $542.10 ($9,157,800.00) $8,025,750.00 8,700 $922.50 ($674,250.00) $26,398.99 $6,864,647.71 29 7,541 $910.30 $910.30 ($2,601.01) ($676,352.29) $20,699,000.00 2,070 $10,000.00 $866,540,000.00 866,540 $1,000.00 $2,336,675.00 3,223 $725.00 $10,000,000.00 10,000 $1,000.00 $30,000,000.00 30,000 $1,000.00 $12,000,000.00 12,000 $1,000.00 $33,900,000.00 35,595 $1,000.00 $4,797,000.00 4,797 $1,000.00 $116,000,000.00 116,000 $1,000.00 $193,000,000.00 193,000 $1,000.00 $12,266,750.00 13,900 $882.50 $17,836,000.00 17,836 $1,000.00 $184,011,000.00 184,011 $1,000.00 $17,390,000.00 17,390 $1,000.00 $19,300,000.00 19,300 $1,000.00 $362,118.92 379 $1,030,000.00 103 $79,700,000.00 14,842,321 $1,488,046.41 199,203 $600,000.00 600 $240,000.00 240 $367,500.00 991,453 ($886,325.00) $32,383,333.33 Redeemed, in full; warrants outstanding $0.00 $13,900,000.00 $652.50 $652.50 $652.50 $757,453.89 Full investment outstanding; warrants outstanding $12,147,768.63 Redeemed, in full; warrants not outstanding $33,900,000.00 $0.00 500 4,676 16,824 $2,820,256.96 Sold, in full; warrants not outstanding $12,837,983.33 Redeemed, in full; warrants not outstanding $193,000,000.00 $326,250.00 $3,051,090.00 $10,977,660.00 $1,037,467,405.56 Redeemed, in full; warrants not outstanding $0.00 $0.00 108 672 320 $24,059,476.66 Redeemed, in full; warrants not outstanding $12,000,000.00 $116,000,000.00 195,915 $71,442.00 $444,528.00 $204,403.50 $12,333,778.00 Sold, in full; warrants outstanding $9,522,346.17 Sold, in full; warrants not outstanding $0.00 $297,500.00 $68,141,972.19 Sold, in full; warrants not outstanding $8,702,021.25 Sold, in full; warrants not outstanding $3,223,000.00 ($194,879.50) $4,563,280.34 Redeemed, in full; warrants not outstanding $0.00 $0.00 ($2,930,732.52) $982.80 $87,644,066.10 Redeemed, in full; warrants not outstanding $0.00 $866,540,000.00 $725.70 11,350 $6,570,625.00 Sold, in full; warrants not outstanding $8,700,000.00 $0.00 10,685 $41,631,005.92 Sold, in full; warrants outstanding $7,570,000.00 $20,699,000.00 $7,754,267.48 $11,155,120.50 $18,252,479.06 Sold, in full; warrants not outstanding $7,500,000.00 $80,000,000.00 Warrant Proceeds Amount Shares $13,425,979.36 Sold, in full; warrants not outstanding $0.00 $0.00 (Realized Loss) / (Write-off) / Gain $3,374,178.30 Full investment outstanding; warrants outstanding $8,499,249.92 Sold, in full; warrants not outstanding $37,000,000.00 $16,500,000.00 Capital Repayment / Disposition / Auction3 Amount Shares Avg. Price $1,695,000.00 $131,383,055.11 Redeemed, in full; warrants not outstanding $222,528,333.33 Redeemed, in full; warrants not outstanding $900,000.00 1,305,230 $624,674.69 695 $892,000.00 892 $2,700,000.00 953,096 $375,000.00 352,977 $1,003,227.00 280,795 $15,329,326.44 Sold, in full; warrants not outstanding ($1,633,250.00) $21,033,989.56 Redeemed, in full; warrants not outstanding $191,464,618.00 Redeemed, in full; warrants not outstanding $19,943,580.33 Redeemed, in full; warrants not outstanding $22,297,560.34 Redeemed, in full; warrants not outstanding $7,009,094.50 Full investment outstanding; warrants outstanding $9,948,069.58 Sold, in full; warrants not outstanding 41 FootNote Date MALVERN MALVERN FLORENCE FLORENCE PA PA SC SC 07-Feb-13 08-Feb-13 06-Mar-09 Preferred Stock w/ Exercised Warrants 11-Mar-13 6,12,16,42,43 FIRST RESOURCE BANK FIRST RESOURCE BANK FIRST RESOURCE BANK 85 FIRST SECURITY GROUP, INC. FIRST SECURITY GROUP, INC. 77 FIRST SOUND BANK FIRST SOUND BANK EXTON EXTON EXTON CHATTANOOGA CHATTANOOGA SEATTLE SEATTLE PA PA PA TN TN WA WA 13,9,12 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 TEXAS BHC, INC. FIRST TEXAS BHC, INC. LEXINGTON LEXINGTON LEXINGTON BOCA RATON BOCA RATON ALAMOSA ALAMOSA ALAMOSA ALAMOSA FORT WORTH FORT WORTH TN TN TN FL FL CO CO CO CO TX TX 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. 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. 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 FORTUNE FINANCIAL CORPORATION FORTUNE FINANCIAL CORPORATION FPB BANCORP, INC. FPB FINANCIAL CORP. FPB FINANCIAL CORP. FPB FINANCIAL CORP. FRANKLIN BANCORP, INC. FRANKLIN BANCORP, INC. FRANKLIN BANCORP, INC. NEW ORLEANS NEW ORLEANS OAKLAND OAKLAND OAKLAND VERNON VERNON DENVER DENVER DENVER DENVER DENVER ALMA ALMA ALMA AKRON AKRON AKRON TROY TROY TROY TROY TROY TAMPA TAMPA TAMPA LAKE SUCCESS LAKE SUCCESS LAKE SUCCESS SOUTH SAN FRANCISCO SOUTH SAN FRANCISCO ROCKFORD ROCKFORD FORT LEE ARNOLD ARNOLD PORT ST. LUCIE HAMMOND HAMMOND HAMMOND WASHINGTON WASHINGTON WASHINGTON LA LA CA CA MD AL AL CO CO CO CO CO MI MI MI OH OH OH MI MI MI MI MI FL FL FL NY NY NY CA CA IL IL NJ MO MO FL LA LA LA MO MO MO 13 FREEPORT BANCSHARES, INC. FREEPORT IL 13,9,12 FREMONT BANCORPORATION FREMONT BANCORPORATION FRESNO FIRST BANK FRESNO FIRST BANK FREMONT FREMONT FRESNO FRESNO CA CA CA CA FRONTIER BANCSHARES, INC FRONTIER BANCSHARES, INC FRONTIER BANCSHARES, INC FULTON FINANCIAL CORPORATION FULTON FINANCIAL CORPORATION AUSTIN AUSTIN AUSTIN LANCASTER LANCASTER TX TX TX PA PA 30-Jan-09 Preferred Stock w/ Exercised Warrants 11-Dec-09 15-Sep-11 09-Jan-09 Preferred Stock w/ Warrants 11-Apr-13 23-Dec-08 Preferred Stock w/ Warrants 20-Feb-13 Subordinated Debentures w/ Exercised 17-Jul-09 Warrants 28-Sep-11 28-Nov-12 30-Jan-09 Preferred Stock w/ Exercised Warrants 16-Jun-10 06-Mar-09 Preferred Stock w/ Exercised Warrants 26-Mar-13 27-Mar-13 28-Mar-13 06-Mar-09 Preferred Stock w/ Exercised Warrants 15-Sep-11 Subordinated Debentures w/ Exercised 05-Jun-09 Warrants 20-Feb-13 23-Jan-09 Preferred Stock w/ Exercised Warrants 22-Apr-09 30-Jan-09 Preferred Stock w/ Warrants 12-Jun-09 Preferred Stock w/ Exercised Warrants 29-Sep-10 06-Feb-09 Preferred Stock w/ Warrants 11-Dec-09 09-Aug-12 10-Aug-12 24-Jun-13 30-Jan-09 Preferred Stock w/ Warrants 03-Jul-12 18-Jul-12 09-Jan-09 Preferred Stock w/ Warrants 22-Apr-09 27-May-09 30-Jan-09 Preferred Stock w/ Warrants 26-Mar-13 27-Mar-13 28-Mar-13 12-Jun-13 24-Jul-09 Preferred Stock w/ Exercised Warrants 20-Feb-09 Preferred Stock w/ Exercised Warrants 22-Sep-11 19-Dec-08 Preferred Stock w/ Warrants 28-Oct-09 30-Dec-09 27-Feb-09 Preferred Stock w/ Exercised Warrants 15-Sep-11 15-May-09 Preferred Stock w/ Exercised Warrants 11-Dec-12 22-May-09 Preferred Stock w/ Exercised Warrants 03-Apr-09 Preferred Stock w/ Exercised Warrants 15-Sep-11 05-Dec-08 Preferred Stock w/ Warrants 23-Jan-09 Preferred Stock w/ Exercised Warrants 16-Dec-09 16-Jun-10 22-May-09 Preferred Stock w/ Exercised Warrants 09-Nov-12 13-Nov-12 Subordinated Debentures w/ Exercised 08-May-09 Warrants Subordinated Debentures w/ Exercised 26-Jun-09 Warrants 25-Jul-12 23-Jan-09 Preferred Stock w/ Exercised Warrants 01-Nov-12 Subordinated Debentures w/ Exercised 24-Apr-09 Warrants 24-Nov-09 06-Oct-10 23-Dec-08 Preferred Stock w/ Warrants 14-Jul-10 9,6,12 6,12 42,6,12 13,12 9,6,12 9,6,12,34 6,12,16 9 6,82 6,42,12 10,14 43,6,12 9,6,12 6,64 43,6,12 48 9,6,12 6,12 42,6,12 13,9,12 9 FIRST PRIORITY FINANCIAL CORP. FIRST PRIORITY FINANCIAL CORP. FIRST RELIANCE BANCSHARES, INC. FIRST RELIANCE BANCSHARES, INC. City Original Investment Type1 State 6,12 Institution Name Original Investment Amount Outstanding Investment $15,349,000.00 $0.00 $2,600,000.00 $2,417,000.00 $0.00 $33,000,000.00 $0.00 Total Cash Back2 Investment Status* $0.00 $65,432,450.94 Redeemed, in full; warrants not outstanding $10,900,000.00 $0.00 $12,263,468.31 Redeemed, in full; warrants not outstanding $16,072,389.00 Redeemed, in full; warrants not outstanding $17,969,000.00 $0.00 $15,304,180.50 Sold, in full; warrants not outstanding $4,900,000.00 $0.00 $0.00 $33,000,000.00 $0.00 $125,000,000.00 $0.00 $266,657,000.00 $0.00 $20,471,000.00 $9,495,000.00 $20,471,000.00 $0.00 $70,000,000.00 $0.00 $12,000,000.00 $15,000,000.00 $0.00 $0.00 $48,569.29 $176,147.93 49 180 $10,431,333.89 15,349 $679.60 ($4,917,666.11) $624,632.45 767 $130,000.00 130 $5,017,000.00 5,017 $1,000.00 $14,912,862.00 9,941,908 $1.50 ($18,087,138.00) $3,700,000.00 7,400 $500.00 ($3,700,000.00) $13,125,000.00 $36,875,000.00 13,125,000 36,875,000 $1.00 $1.00 $2,500,000.00 2,500,000 $10,900,000.00 10,900 $1,000.00 $545,000.00 545 $315,007.00 $2,835,063.00 $1,800,040.00 350 3,150 2,000 $900.00 $900.00 $900.00 $205,585.69 $46,251.00 225 50 $13,533,000.00 13,533 $1,000.00 $677,000.00 677 $13,750,058.49 17,969,000 $0.77 $644,726.19 898,000 $4,900,000.00 4,900 $1,000.00 $245,000.00 245 $6,000,000.00 6,000 $1,000.00 $245,000.00 245 $6,138,000.00 $62,000.00 $10,994,240.00 7,920 80 12,440 $775.00 $775.00 $874.81 ($1,782,000.00) ($18,000.00) ($1,445,760.00) $311,284.02 $39,768.00 380 48 $31,053,330.00 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 $12,905.00 645,138 $475,000.00 475 $5,359,772.59 Sold, in full; warrants not outstanding $0.00 $8,559,000.00 $11,881,000.00 ($892,807.50) ($189,168.40) $4,030,944.44 Sold, in full; warrants not outstanding $13,533,000.00 $30,000,000.00 $0.00 $882.23 $882.05 $16,315,362.00 Sold, in full; warrants not outstanding $50,000,000.00 $30,000,000.00 $6,000,000.00 Warrant Proceeds Amount Shares 7,575 1,600 $5,731,793.60 Redeemed, in full; warrants not outstanding $0.00 $0.00 (Realized Loss) / (Write-off) / Gain $6,682,192.50 $1,410,831.60 $12,994,059.00 Sold, in full; warrants not outstanding $7,400,000.00 $5,500,000.00 Capital Repayment / Disposition / Auction3 Amount Shares Avg. Price ($34,993.00) ($314,937.00) ($199,960.00) ($4,218,941.51) $5,211,020.69 Redeemed, in full; warrants not outstanding $2,312,500.00 Full investment outstanding; warrants outstanding $6,662,770.42 Redeemed, in full; warrants not outstanding $21,252,257.21 Sold, in full; warrants not outstanding $38,185,560.05 Sold, in full; warrants not outstanding $131,813,194.44 Redeemed, in full; warrants not outstanding $277,861,053.94 Sold, in full; warrants not outstanding ($139,741.50) ($22,176,153.00) ($1,283,250.00) $1,180,793.08 Full investment outstanding; warrants outstanding $11,309,750.50 Redeemed, in full; warrants not outstanding $9,495,000.00 9,495 $1,000.00 $70,000,000.00 70,000 $1,000.00 $900,000.00 375,806 $12,000,000.00 12,000 $1,000.00 $600,000.00 600 $15,000,000.00 15,000 $1,000.00 $750,000.00 750 $3,100,000.00 3,100 $1,000.00 $155,000.00 155 $1,000,000.00 $2,240,000.00 1,000 2,240 $1,000.00 $1,000.00 $162,000.00 162 $594,550.00 $2,629,302.50 940 4,157 $632.50 $632.50 $145,230.00 $26,757.50 188 67 $35,000,000.00 35,000,000 $1.00 $1,750,000.00 1,750,000 $1,968,000.00 1,968 $1,000.00 $98,000.00 98 $1,600,000.00 $1,400,000.00 1,600,000 1,400,000 $1.00 $1.00 $150,000.00 150,000 $376,500,000.00 376,500 $1,000.00 $73,904,166.66 Redeemed, in full; warrants not outstanding $14,267,700.00 Redeemed, in full; warrants not outstanding $18,670,291.67 Redeemed, in full; warrants not outstanding $1,300,000.00 $3,100,000.00 $1,300,000.00 $0.00 $87,184.85 Full investment outstanding; warrants outstanding $3,668,927.67 Redeemed, in full; warrants not outstanding $5,800,000.00 $3,240,000.00 $5,800,000.00 $0.00 $273,888.89 Full investment outstanding; warrants outstanding $3,623,721.50 Redeemed, in full; warrants not outstanding $5,097,000.00 $0.00 $4,336,183.67 Sold, in full; warrants not outstanding $3,000,000.00 $3,000,000.00 $35,000,000.00 $0.00 $45,796,066.36 Redeemed, in full; warrants not outstanding $1,968,000.00 $0.00 $2,437,100.33 Redeemed, in full; warrants not outstanding ($345,450.00) ($1,527,697.50) $1,011,693.45 Full investment outstanding; warrants outstanding $3,000,000.00 $0.00 $3,408,191.65 Redeemed, in full; warrants not outstanding $376,500,000.00 $0.00 $416,635,625.00 Redeemed, in full; warrants not outstanding 42 FootNote Institution Name City State 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 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 LANCASTER RINGGOLD RINGGOLD ATLANTA ATLANTA ATLANTA GERMANTOWN GERMANTOWN GERMANTOWN GOLD CANYON NEW YORK NEW YORK NEW YORK SCOTTSDALE TULSA TULSA PA GA GA GA GA GA TN TN TN AZ NY NY NY AZ OK OK 13 6 6,12,16,42 GRAND FINANCIAL CORPORATION GRAND MOUNTAIN BANCSHARES, INC. GRANDSOUTH BANCORPORATION GRANDSOUTH BANCORPORATION GRANDSOUTH BANCORPORATION HATTIESBURG GRANBY GREENVILLE GREENVILLE GREENVILLE MS CO SC SC SC 13 43 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. 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. GULFSOUTH PRIVATE BANK GULFSTREAM BANCSHARES, INC. GULFSTREAM BANCSHARES, INC. HAMILTON STATE BANCSHARES, INC. HAMILTON STATE BANCSHARES, INC. HAMPTON ROADS BANKSHARES, INC. HARBOR BANKSHARES CORPORATION HAVILAND BANCSHARES, INC. HAVILAND BANCSHARES, INC. HAWTHORN BANCSHARES, INC. HAWTHORN BANCSHARES, INC. HAWTHORN BANCSHARES, INC. HAWTHORN BANCSHARES, INC. HCSB FINANCIAL CORPORATION HEARTLAND BANCSHARES, INC. HEARTLAND BANCSHARES, INC. HEARTLAND FINANCIAL USA, INC. HEARTLAND FINANCIAL USA, INC. HEARTLAND FINANCIAL USA, INC. HERITAGE BANKSHARES, INC. HERITAGE BANKSHARES, INC. HERITAGE BANKSHARES, INC. HERITAGE COMMERCE CORP. HERITAGE COMMERCE CORP. HERITAGE COMMERCE CORP. HERITAGE FINANCIAL CORPORATION HERITAGE FINANCIAL CORPORATION HERITAGE FINANCIAL CORPORATION HERITAGE OAKS BANCORP HERITAGE OAKS BANCORP HF FINANCIAL CORP. HF FINANCIAL CORP. HF FINANCIAL CORP. HIGHLANDS BANCORP, INC. HIGHLANDS BANCORP, INC. BAXTER SPRINGFIELD SPRINGFIELD SPRINGFIELD GREENEVILLE GREENEVILLE CLIVE CLIVE CLIVE CLIVE GREEN CITY GREEN CITY GREER OZARK WOODSVILLE WOODSVILLE BELZONI BELZONI SPRINGFIELD SPRINGFIELD SPRINGFIELD SPRINGFIELD SPRINGFIELD DESTIN STUART STUART HOSCHTON HOSCHTON NORFOLK BALTIMORE HAVILAND HAVILAND LEE'S SUMMIT LEE'S SUMMIT LEE'S SUMMIT LEE'S SUMMIT LORIS FRANKLIN FRANKLIN DUBUQUE DUBUQUE DUBUQUE NORFOLK NORFOLK NORFOLK SAN JOSE SAN JOSE SAN JOSE OLYMPIA OLYMPIA OLYMPIA PASO ROBLES PASO ROBLES SIOUX FALLS SIOUX FALLS SIOUX FALLS VERNON VERNON MN MO MO MO TN TN IA IA IA IA MO MO SC MO NH NH MS MS MO MO MO MO MO FL FL FL GA GA VA MD KS KS MO MO MO MO SC IN IN IA IA IA VA VA VA CA CA CA WA WA WA CA CA SD SD SD NJ NJ 6,12 9,6,12 6 6,12 6,15,89 9 6 42,6,12 9,6,12 9,6,12 6 6,66 43,6,12 7,13,34 9 15,26,68 43,6,12 9,6,12 36 6,7 9,6,12 9 6,15 43 6,15,43 9 9,14 9 9 6,16,19,42 Date 08-Sep-10 08-May-09 13-Apr-12 06-Feb-09 16-Feb-11 01-May-09 06-Mar-09 29-Oct-12 31-Oct-12 26-Jun-09 28-Oct-08 17-Jun-09 22-Jul-09 30-Jan-09 24-Apr-09 08-Sep-11 Original Investment Type1 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Original Investment Amount $6,000,000.00 $8,700,000.00 Outstanding Investment $0.00 $0.00 Total Cash Back2 Investment Status* $4,500,000.00 $0.00 $0.00 Full investment outstanding; warrants outstanding $5,699,100.75 Sold, in full; warrants not outstanding Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants $1,607,000.00 $10,000,000,000.00 $1,607,000.00 $0.00 $53,859.52 Full investment outstanding; warrants outstanding $11,418,055,555.44 Redeemed, in full; warrants not outstanding Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants $2,568,000.00 $4,000,000.00 $2,568,000.00 $0.00 $145,750.00 Full investment outstanding; warrants outstanding $4,717,144.78 Redeemed, in full; warrants not outstanding $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 $745,867.97 Full investment outstanding; warrants outstanding $0.00 Full investment outstanding; warrants outstanding $17,625,917.08 Redeemed, in full; warrants not outstanding $8,400,000.00 $58,000,000.00 $8,400,000.00 $0.00 $759,575.46 Full investment outstanding; warrants outstanding $72,274,419.56 Redeemed, in full; warrants not outstanding $72,278,000.00 $0.00 $651,000.00 $0.00 $0.00 $9,993,000.00 $825,000.00 $6,920,000.00 $9,993,000.00 $825,000.00 $0.00 $14,000,000.00 $0.00 $17,000,000.00 $0.00 $7,500,000.00 $7,500,000.00 $7,500,000.00 $0.00 $7,000,000.00 $0.00 $80,347,000.00 $6,800,000.00 $425,000.00 $80,347,000.00 $6,800,000.00 $0.00 $30,255,000.00 $0.00 $12,895,000.00 $7,000,000.00 $12,895,000.00 $0.00 $81,698,000.00 $0.00 $10,103,000.00 $40,000,000.00 $24,000,000.00 $21,000,000.00 $0.00 $0.00 $0.00 $0.00 Warrant Proceeds Amount Shares $10,800,000.00 5,509,756 $6,000,000.00 6,000 $1,000.00 $300,000.00 300 $8,700,000.00 8,700 $1,000.00 $435,000.00 435 $26,393.77 $4,494,221.94 29 4,938 $910.10 $910.10 $214,595.28 248 $10,000,000,000.00 10,000,000 $1,000.00 $1,100,000,000.00 12,205,045 $10,096,470.83 Redeemed, in full; warrants not outstanding $4,500,000.00 $4,967,000.00 $2,400,000.00 (Realized Loss) / (Write-off) / Gain $7,260,794.87 Redeemed, in full; warrants not outstanding Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Subordinated Debentures w/ Exercised 25-Sep-09 Warrants 29-May-09 Preferred Stock w/ Exercised Warrants 09-Jan-09 Preferred Stock w/ Warrants 11-Dec-09 08-Sep-11 Subordinated Debentures w/ Exercised 17-Jul-09 Warrants 05-Dec-08 Preferred Stock w/ Warrants 18-Aug-11 21-Sep-11 23-Dec-08 Preferred Stock w/ Warrants 07-Sep-11 27-Feb-09 Preferred Stock w/ Exercised Warrants 14-Nov-12 23-Jan-13 24-Apr-13 27-Feb-09 Preferred Stock w/ Exercised Warrants 14-Jul-10 30-Jan-09 Preferred Stock w/ Exercised Warrants 13-Feb-09 Preferred Stock w/ Exercised Warrants 20-Feb-09 Preferred Stock w/ Exercised Warrants 15-Sep-11 25-Sep-09 Subordinated Debentures 30-Jul-10 30-Jan-09 Preferred Stock w/ Warrants 13-Jun-12 26-Apr-13 29-Apr-13 15-May-13 25-Sep-09 Preferred Stock w/ Exercised Warrants 26-Jun-09 Preferred Stock w/ Exercised Warrants 18-Aug-11 20-Feb-09 Preferred Stock w/ Exercised Warrants 13-Apr-11 31-Dec-08 Preferred Stock w/ Warrants 17-Jul-09 Preferred Stock 13-Mar-09 Preferred Stock w/ Exercised Warrants 29-Dec-10 19-Dec-08 Preferred Stock w/ Warrants 09-May-12 15-May-13 12-Jun-13 06-Mar-09 Preferred Stock w/ Warrants 11-Sep-09 Preferred Stock w/ Exercised Warrants 17-Jul-12 19-Dec-08 Preferred Stock w/ Warrants 15-Sep-11 28-Sep-11 25-Sep-09 Preferred Stock w/ Exercised Warrants 16-Mar-11 11-Aug-11 21-Nov-08 Preferred Stock w/ Warrants 07-Mar-12 10-Jun-13 21-Nov-08 Preferred Stock w/ Warrants 22-Dec-10 17-Aug-11 20-Mar-09 Preferred Stock w/ Warrants 17-Jul-13 21-Nov-08 Preferred Stock w/ Warrants 03-Jun-09 30-Jun-09 08-May-09 Preferred Stock w/ Exercised Warrants 22-Dec-09 Capital Repayment / Disposition / Auction3 Amount Shares Avg. Price ($2,606.23) ($443,778.06) $4,000,000.00 4,000 $1,000.00 $200,000.00 200 $15,319,000.00 15,319 $1,000.00 $450,000.00 450 $58,000,000.00 58,000 $1,000.00 $6,436,364.00 909,091 $68,700,000.00 72,278 $950.50 $800,000.00 $800,000.00 $800,000.00 800 800 800 $1,000.00 $1,000.00 $1,000.00 $120,000.00 120 $651,000.00 651 $1,000.00 $33,000.00 33 $346,000.00 346 $2,003,250.00 459,459 $74,642,857.78 Sold, in full; warrants not outstanding ($3,578,000.00) $3,036,021.12 Redeemed, in full; warrants not outstanding $733,037.33 Redeemed, in full; warrants not outstanding $975,831.00 Full investment outstanding; warrants outstanding $45,190.00 Full investment outstanding; warrants outstanding $8,235,040.33 Redeemed, in full; warrants not outstanding $6,920,000.00 6,920 $1,000.00 $14,000,000.00 14,000,000 $1.00 $5,000,000.00 $96,750.00 $11,513,250.00 5,000 100 11,900 $1,000.00 $967.50 $967.50 $14,913,299.33 Redeemed, in full; warrants not outstanding $21,887,871.44 Sold, in full; warrants not outstanding ($3,250.00) ($386,750.00) $757,380.08 Full investment outstanding; warrants outstanding $8,751,541.63 Redeemed, in full; warrants not outstanding $7,500,000.00 7,500 $1,000.00 $375,000.00 375 $7,000,000.00 280 $25,000.00 $350,000.00 35 $21,000.00 21 $540,000.00 287,134 $248,000.00 248 $1,800,000.00 609,687 $303,000.00 303 $140,000.00 462,963 $450,000.00 138,037 $650,000.00 302,419 $8,169,165.89 Redeemed, in full; warrants not outstanding $2,510,844.25 Full investment outstanding; warrants outstanding $282,744.47 Full investment outstanding; warrants not outstanding $487,524.22 Redeemed, in full; warrants not outstanding $425,000.00 425 $1,000.00 $12,000,000.00 $18,255,000.00 12,000 18,255 $1,000.00 $1,000.00 $36,849,504.67 Redeemed, in full; warrants not outstanding $1,090,702.00 Full investment outstanding; warrants outstanding $8,321,471.08 Redeemed, in full; warrants not outstanding $7,000,000.00 7,000 $1,000.00 $81,698,000.00 81,698 $1,000.00 $2,606,000.00 $7,497,000.00 2,606 7,497 $1,000.00 $1,000.00 $40,000,000.00 40,000 $1,000.00 $24,000,000.00 24,000 $1,000.00 $21,000,000.00 21,000 $1,000.00 $25,000,000.00 25,000 $1,000.00 $94,686,087.22 Redeemed, in full; warrants not outstanding $11,353,284.46 Redeemed, in full; warrants not outstanding $46,901,266.80 Redeemed, in full; warrants not outstanding $26,953,333.33 Redeemed, in full; warrants not outstanding $25,666,335.26 Redeemed, in full; warrants outstanding $25,000,000.00 $0.00 $26,316,666.67 Redeemed, in full; warrants not outstanding $3,091,000.00 $2,359,000.00 $0.00 $6,211,926.79 Redeemed, in full; warrants not outstanding 43 FootNote 6 9,6,12 9 6 6,12 6,15 9 9,43 42,6,12 6,9,12,16 9 6,12 6,15 7,13,34 10,14 6,12 9,6,8 42,6,12 6 6,12,16,42 6 9 27 6,20,90 9 20,50 9 13,69 9 42,6,12 9 6 6,12 6,9,12,16,34 Institution Name City State Date HIGHLANDS BANCORP, INC. HIGHLANDS INDEPENDENT BANCSHARES, INC. HILLTOP COMMUNITY BANCORP, INC. HILLTOP COMMUNITY BANCORP, 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 BANCSHARES, INC. HOMETOWN BANCSHARES, INC. HOMETOWN BANCSHARES, INC. 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 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 INDEPENDENT BANK CORP. INDEPENDENT BANK CORP. INDEPENDENT BANK CORP. INDEPENDENT BANK CORPORATION INDIANA BANK CORP. INDIANA COMMUNITY BANCORP INDIANA COMMUNITY BANCORP 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 VERNON SEBRING SUMMIT SUMMIT ROCHESTER ROCHESTER ROCHESTER CONWAY CONWAY CONWAY ONEONTA CORBIN CORBIN CORBIN 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 ISELIN CHICAGO CHICAGO LAFAYETTE LAFAYETTE LAFAYETTE IRVING IRVING WASHINGTON WASHINGTON ONTARIO ONTARIO BOISE CHICAGO CHICAGO CHICAGO EAST GREENWICH ROCKLAND ROCKLAND ROCKLAND IONIA DANA COLUMBUS COLUMBUS EVANSVILLE SANDPOINT LAREDO LAREDO LAREDO LAREDO LAREDO NEW YORK NEW YORK NJ FL NJ NJ MN MN MN AR AR AR AL KY KY KY VA VA KY KY KY IN IN IN IN MD MD IL IL IL OH OH OH PA PA NJ IL IL LA LA LA TX TX DC DC CA CA ID IL IL IL RI MA MA MA MI IN IN IN IN ID TX TX TX TX TX NY NY 22-Sep-11 06-Mar-09 30-Jan-09 21-Apr-10 23-Dec-08 07-Feb-13 08-Feb-13 16-Jan-09 06-Jul-11 27-Jul-11 20-Feb-09 13-Feb-09 28-Nov-12 30-Nov-12 18-Sep-09 31-Oct-12 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 01-May-09 13-Nov-09 11-Dec-12 14-Nov-08 22-Dec-10 19-Jan-11 06-Feb-09 20-Dec-12 18-Sep-09 15-May-09 10-Sep-10 05-Dec-08 31-Mar-09 20-May-09 27-Mar-09 12-Jun-13 13-Mar-09 03-Sep-10 06-Mar-09 01-Nov-12 16-Jan-09 22-May-09 29-Dec-09 22-Sep-11 09-Jan-09 09-Jan-09 22-Apr-09 27-May-09 12-Dec-08 24-Apr-09 12-Dec-08 12-Sep-12 27-Feb-09 19-Dec-08 23-Dec-08 11-Jul-12 01-Nov-12 28-Nov-12 11-Jun-13 23-Dec-08 24-Jun-13 INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY, INC. JPMORGAN CHASE & CO. JPMORGAN CHASE & CO. JPMORGAN CHASE & CO. KATAHDIN BANKSHARES CORP. KATAHDIN BANKSHARES CORP. KEYCORP KEYCORP KEYCORP KIRKSVILLE BANCORP, INC. KS BANCORP, INC KS BANCORP, INC LAFAYETTE BANCORP, INC. LAFAYETTE BANCORP, INC. SEDALIA NEW YORK NEW YORK NEW YORK HOULTON HOULTON CLEVELAND CLEVELAND CLEVELAND KIRKSVILLE SMITHFIELD SMITHFIELD OXFORD OXFORD MO NY NY NY ME ME OH OH OH MO NC NC MS MS 08-May-09 28-Oct-08 17-Jun-09 16-Dec-09 30-Jan-09 18-Aug-11 14-Nov-08 30-Mar-11 20-Apr-11 20-Mar-09 21-Aug-09 30-Nov-12 20-Feb-09 29-Dec-09 Original Investment Type1 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants Preferred Stock w/ Warrants Original Investment Amount Outstanding Investment $6,700,000.00 $4,000,000.00 $6,700,000.00 $0.00 $26,000,000.00 $0.00 $50,000,000.00 $0.00 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants $3,250,000.00 $1,900,000.00 $3,250,000.00 $0.00 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 Total Cash Back2 Investment Status* $25,000,000.00 $0.00 $29,857,321.83 Redeemed, in full; warrants not outstanding Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Subordinated Debentures Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants $0.00 $10,940,554.65 Redeemed, in full; warrants not outstanding $1,398,071,000.00 $0.00 $1,594,356,808.56 Redeemed, in full; warrants not outstanding $0.00 $5,976,000.00 $4,205,000.00 $5,976,000.00 $0.00 $90,000,000.00 $0.00 $2,295,000.00 $6,000,000.00 $0.00 $0.00 $0.00 $124,305.92 Full investment outstanding; warrants outstanding $11,836,113.40 Redeemed, in full; warrants not outstanding Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants $1,065,000.00 $78,158,000.00 $1,065,000.00 $0.00 $252,387.00 Full investment outstanding; warrants outstanding $81,476,093.61 Redeemed, in full; warrants not outstanding Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants $72,000,000.00 $1,312,000.00 $21,500,000.00 $72,000,000.00 $1,312,000.00 $0.00 $2,430,000.00 Full investment outstanding; warrants outstanding $165,139.00 Full investment outstanding; warrants outstanding $27,331,250.00 Redeemed, in full; warrants not outstanding $83,586,000.00 $27,000,000.00 $216,000,000.00 $83,586,000.00 $27,000,000.00 $0.00 $1,950,340.00 Full investment outstanding; warrants outstanding $6,251,134.23 Full investment outstanding; warrants outstanding $261,538,649.89 Redeemed, in full; warrants not outstanding $4,000,000.00 $25,000,000,000.00 $4,000,000.00 $0.00 Preferred Stock w/ Exercised Warrants $10,449,000.00 $0.00 Preferred Stock w/ Warrants $2,500,000,000.00 $0.00 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants $470,000.00 $4,000,000.00 $470,000.00 $0.00 Preferred Stock w/ Exercised Warrants $1,998,000.00 $2,453,000.00 $0.00 $1,300,000.00 158,472 $608,170.50 $1,183,339.50 645 1,255 $942.90 $942.90 ($36,829.50) ($71,660.50) $70,095.00 95 $9,185,000.00 10,000 $918.50 ($815,000.00) $315,461.52 374 $18,400,000.00 18,400 $1,000.00 $256,257.00 253,666 $6,250,000.00 $18,750,000.00 6,250 18,750 $1,000.00 $1,000.00 $1,750,551.00 212,188 $5,983,000.00 5,983 $1,000.00 $299,000.00 299 $344,000.00 344 $49,100,000.00 23,562,994 $25,700.00 78 $1,200,000.00 138,490 $115,000.00 115 $9,000,000.00 9,000 $1,000.00 $1,398,071,000.00 1,398,071 $1,000.00 $1,008,800.00 1,552 $650.00 ($543,200.00) $4,205,000.00 4,205,000 $1.00 $90,000,000.00 90,000 $1,000.00 $2,295,000.00 2,295 $1,000.00 $6,000,000.00 6,000 $1,000.00 $6,000,000.00 6,000 $1,000.00 $300,000.00 300 $10,272,000.00 10,272 $1,000.00 $406,000.00 406 $78,158,000.00 78,158 $1,000.00 $2,200,000.00 481,664 $1,800,000.00 188,707 $4,018,511.00 1,326,238 $936,063,469.11 88,401,697 $522,000.00 522 $70,000,000.00 35,244,361 $140,400.00 200 $6,453,067.00 Redeemed, in full; warrants not outstanding $6,900,000.00 $0.00 Subordinated Debentures w/ Exercised Warrants Preferred Stock w/ Warrants $1,000.00 $2,936,462.50 Redeemed, in full; warrants not outstanding $6,000,000.00 $0.00 50,000 200 $92,650,000.00 Redeemed, in full; warrants not outstanding $6,900,000.00 $6,272,000.00 $4,000,000.00 $25,000,000.00 $50,000,000.00 $200,000.00 ($988,675.00) ($6,252,325.00) $916,227.47 Full investment outstanding; warrants outstanding $4,632,216.32 Redeemed, in full; warrants not outstanding Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants $721.50 $721.50 155 $1,337,166.22 Sold, in full; warrants not outstanding Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants Preferred Stock w/ Warrants Preferred Stock w/ Warrants $1,000.00 3,550 22,450 $155,000.00 $7,119,793.05 Redeemed, in full; warrants not outstanding $4,000,000.00 $5,000,000.00 $1,552,000.00 4,000 $2,561,325.00 $16,197,675.00 Warrant Proceeds Amount Shares $11,111,011.94 Sold, in full; warrants not outstanding Preferred Stock w/ Warrants Preferred Stock w/ Warrants $4,000,000.00 (Realized Loss) / (Write-off) / Gain $750,512.00 Full investment outstanding; warrants outstanding $2,229,801.03 Sold, in full; warrants not outstanding $22,354,145.89 Redeemed, in full; warrants not outstanding Preferred Stock w/ Exercised Warrants $1,000.00 $57,480,555.56 Redeemed, in full; warrants not outstanding $0.00 $0.00 5,450 $21,034,187.78 Sold, in full; warrants outstanding $18,400,000.00 $5,983,000.00 $5,450,000.00 $617,712.00 Full investment outstanding; warrants outstanding $4,467,049.67 Redeemed, in full; warrants not outstanding Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants Capital Repayment / Disposition / Auction3 Amount Shares Avg. Price $7,494,458.33 Redeemed, in full; warrants not outstanding $21,500,000.00 21,500 $1,000.00 $40,000,000.00 $45,000,000.00 $131,000,000.00 40,000 45,000 131,000 $1,000.00 $1,000.00 $1,000.00 $24,250,000.00 25,000 $970.00 $25,000,000,000.00 2,500,000 $10,000.00 $10,449,000.00 10,449 $1,000.00 $2,500,000,000.00 25,000 $100,000.00 $30,278,055.56 Sold, in full; warrants outstanding ($750,000.00) $174,324.60 Full investment outstanding; warrants outstanding $26,731,202,358.00 Redeemed, in full; warrants not outstanding $12,423,046.75 Redeemed, in full; warrants not outstanding $2,867,222,222.22 Redeemed, in full; warrants not outstanding $106,560.00 Full investment outstanding; warrants outstanding $4,137,336.64 Sold, in full; warrants not outstanding $3,308,000.00 4,000 $827.00 ($692,000.00) $4,818,134.50 Redeemed, in full; warrants not outstanding 44 FootNote 9 10 6,12 9 9,6,12 7,46 43,6,12 43,6,12 6,15 9,7,34 6 9 6 9 6,7,15 9 6 42,9,6 6,12 9 13,12 6 6 13,12 6,12 41 6 9 6,43,12 6,12,16,42 Institution Name City State 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. LCNB CORP. LCNB CORP. LCNB CORP. LEADER BANCORP, INC. LEADER 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 OXFORD OAK RIDGE OAK RIDGE OAK RIDGE OAK RIDGE OAK RIDGE WARSAW WARSAW WARSAW MILWAUKEE MILWAUKEE LEBANON LEBANON LEBANON ARLINGTON ARLINGTON 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 MS NJ NJ NJ NJ NJ IN IN IN WI WI OH OH OH MA MA 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 MANHATTAN BANCSHARES, INC. MANHATTAN BANCSHARES, INC. MANHATTAN BANCSHARES, INC. MARINE BANK & TRUST COMPANY MARKET BANCORPORATION, INC. MANHATTAN MANHATTAN MANHATTAN VERO BEACH NEW MARKET IL IL IL FL MN MARKET STREET BANCSHARES, INC. MARKET STREET BANCSHARES, INC. MARKET STREET BANCSHARES, INC. MARQUETTE NATIONAL CORPORATION MARQUETTE NATIONAL CORPORATION MARQUETTE NATIONAL CORPORATION MARQUETTE NATIONAL CORPORATION MARSHALL & ILSLEY CORPORATION MARSHALL & ILSLEY CORPORATION MARYLAND FINANCIAL BANK MB FINANCIAL INC. MB FINANCIAL INC. MB FINANCIAL INC. MCLEOD BANCSHARES, INC. MCLEOD BANCSHARES, INC. MEDALLION BANK MEDALLION BANK MT. VERNON MT. VERNON MT. VERNON CHICAGO CHICAGO CHICAGO CHICAGO MILWAUKEE MILWAUKEE TOWSON CHICAGO CHICAGO CHICAGO SHOREWOOD SHOREWOOD SALT LAKE CITY SALT LAKE CITY IL IL IL IL IL IL IL WI WI MD IL IL IL MN MN UT UT Date 29-Sep-10 06-Feb-09 04-Aug-10 16-Mar-11 08-Feb-12 29-Feb-12 27-Feb-09 09-Jun-10 22-Nov-11 18-Dec-09 29-Nov-12 09-Jan-09 21-Oct-09 22-Nov-11 23-Dec-08 24-Nov-10 30-Jan-09 23-Jan-09 21-Jul-11 13-Feb-09 18-Aug-11 04-Dec-09 06-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 06-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 08-Jun-11 18-Aug-11 29-Dec-09 09-Mar-12 16-Jan-09 03-Apr-12 11-Jun-13 05-Dec-08 16-Sep-09 14-Oct-09 Original Investment Type1 Preferred Stock w/ Warrants Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants Original Investment Amount $59,000,000.00 $56,044,000.00 $3,000,000.00 $13,400,000.00 $5,830,000.00 Outstanding Investment $0.00 $0.00 $0.00 $0.00 $0.00 Preferred Stock Preferred Stock w/ Exercised Warrants $5,498,000.00 $57,500,000.00 $5,498,000.00 $0.00 Preferred Stock w/ Exercised Warrants $21,900,000.00 $0.00 Total Cash Back2 Investment Status* $1,399,560.00 Full investment outstanding; warrants outstanding $1,209,851,873.70 Redeemed, in full; warrants not outstanding $25,223,000.00 $0.00 Preferred Stock w/ Warrants Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants Preferred Stock w/ Warrants Subordinated Debentures w/ Exercised 19-Jun-09 Warrants 10-Dec-12 11-Dec-12 06-Mar-09 Preferred Stock w/ Exercised Warrants 20-Feb-09 Preferred Stock w/ Exercised Warrants Subordinated Debentures w/ Exercised 15-May-09 Warrants 09-Aug-12 10-Aug-12 19-Dec-08 Preferred Stock w/ Exercised Warrants 07-Aug-12 09-Aug-12 10-Aug-12 14-Nov-08 Preferred Stock w/ Warrants 05-Jul-11 27-Mar-09 Preferred Stock w/ Exercised Warrants 05-Dec-08 Preferred Stock w/ Warrants 14-Mar-12 02-May-12 20-Nov-09 Preferred Stock w/ Exercised Warrants 18-Aug-11 27-Feb-09 Preferred Stock w/ Exercised Warrants 22-Dec-09 $600,000,000.00 $11,000,000.00 $3,370,000.00 $13,795,000.00 $4,500,000.00 $57,000,000.00 $1,700,000.00 $0.00 $0.00 $3,370,000.00 $0.00 $0.00 $0.00 $0.00 3,000 $790.30 $877,557.00 198,269 $104,375.00 $13,400,000.00 13,400 $1,000.00 150 $5,830,000.00 5,830 $1,000.00 $602,557.00 217,063 $292,000.00 292 $57,500,000.00 57,500 $21,900,000.00 21,900 $1,000.00 $2,875,000.00 2,875 $1,000.00 $1,095,000.00 1,095 $5,645,000.00 5,645 $1,000.00 $950,000,000.00 950,000 $1,000.00 $21,923,074.91 25,223 $869.20 $213,671,319.20 13,049,451 $860,326.00 561,343 $560,000.00 209,497 $31,838,761.34 1,218,522 $1,300,000.00 398,734 ($629,070.00) ($3,299,925.09) $15,000,000.00 15,000 $1,000.00 $11,735,000.00 11,735 $1,000.00 $370,000,000.00 $230,000,000.00 370,000 230,000 $1,000.00 $1,000.00 $10,538,990.00 11,000 $958.10 ($461,010.00) $3,455,000.00 $3,455,000.00 $6,885,000.00 3,455 3,455 6,885 $1,000.00 $1,000.00 $1,000.00 $690,000.00 690 $4,500,000.00 4,500 $1,000.00 $225,000.00 225 $53,073,270.00 57,000 $931.10 $1,512,177.00 571,906 $1,700,000.00 1,700 $1,000.00 $63,363.90 29,480 $62,949,121.28 Sold, in full; warrants not outstanding ($3,926,730.00) $1,829,711.12 Redeemed, in full; warrants not outstanding $35,500,000.00 $0.00 $33,835,943.42 Sold, in full; warrants not outstanding $0.00 $2,370,930.00 $5,263,187.50 Redeemed, in full; warrants not outstanding $24,429,245.84 Sold, in full; warrants not outstanding $11,800,000.00 $9,698,000.00 997,050 $169,421.50 Full investment outstanding; warrants outstanding $16,146,467.87 Redeemed, in full; warrants not outstanding $0.00 $0.00 $2,800,000.00 $13,521,828.15 Sold, in full; warrants not outstanding $20,300,000.00 $6,000,000.00 $1,000.00 $718,392,161.34 Redeemed, in full; warrants not outstanding $3,000,000.00 $2,060,000.00 $0.00 56,044 $12,409,762.50 Redeemed, in full; warrants not outstanding $3,000,000.00 $2,060,000.00 $1,700,000.00 $0.00 $56,044,000.00 $0.00 Full investment outstanding; warrants outstanding $16,260,000.00 Redeemed, in full; warrants not outstanding $0.00 $1,700,000.00 $196,000,000.00 100 $26,893,046.60 Sold, in full; warrants not outstanding $2,639,000.00 $1,715,000,000.00 $100,000.00 $25,995,452.08 Redeemed, in full; warrants not outstanding $17,280,000.00 $0.00 $0.00 $1,000.00 $1,000.00 $1,000.00 $355,079.00 Full investment outstanding; warrants not outstanding $68,191,965.77 Redeemed, in full; warrants not outstanding $17,280,000.00 $950,000,000.00 $11,735,000.00 20,000 20,000 19,000 Warrant Proceeds Amount Shares $6,731,961.06 Redeemed, in full; warrants not outstanding Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants Preferred Stock $20,000,000.00 $20,000,000.00 $19,000,000.00 (Realized Loss) / (Write-off) / Gain $14,527,390.33 Redeemed, in full; warrants not outstanding $1,181,156.22 Full investment outstanding; warrants outstanding $6,106,008.58 Redeemed, in full; warrants not outstanding $3,072,000.00 $0.00 $1,000.00 $2,932,162.50 Sold, in full; warrants not outstanding $6,500,000.00 $0.00 $3,072,000.00 $15,000,000.00 4,451 $60,517,713.33 Redeemed, in full; warrants not outstanding $6,500,000.00 $5,645,000.00 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants $4,451,000.00 $68,260,833.33 Redeemed, in full; warrants not outstanding Preferred Stock w/ Exercised Warrants Preferred Stock Preferred Stock w/ Warrants Capital Repayment / Disposition / Auction3 Amount Shares Avg. Price $3,438,793.11 Sold, in full; warrants not outstanding $2,586,404.73 2,639,000 $0.98 ($52,595.27) $14,036.54 $93,307.98 14,000 118,000 $17,919,962.10 $331,767.90 19,931,000 369,000 $0.90 $0.90 ($2,011,037.90) ($37,232.10) $726,240.64 $98,490.00 895,000 120,000 $2,530,958.50 $5,904,609.50 $17,133,307.00 3,514 8,198 23,788 $720.20 $720.20 $720.20 ($983,041.50) ($2,293,390.50) ($6,654,693.00) $144,418.75 $1,065,397.75 $240,354.06 175 1,291 309 $1,715,000,000.00 1,715,000 $1,000.00 $3,250,000.00 13,815,789 $196,000,000.00 196,000 $1,000.00 $1,518,072.00 506,024 $6,000,000.00 600 $10,000.00 $300,000.00 30 $235,713.00 Full investment outstanding; warrants outstanding $138,778.00 Full investment outstanding; warrants outstanding $1,944,772,916.66 Redeemed, in full; warrants not outstanding $290,303.00 Full investment outstanding; warrants outstanding $229,613,072.00 Redeemed, in full; warrants not outstanding $6,870,433.33 Redeemed, in full; warrants not outstanding $24,460,674.81 Redeemed, in full; warrants not outstanding 45 FootNote 9 42,6,12 54,6,12 6,42,12 6,16 6,12 6,40 6,16 9 10 9,6,12 42 6 20,25 9,6,12 9 9,6,12 6 9,7 9,7,34 9,6,12 10,14 43,6,12 42,6,12 9 9,6,12 9,6,12 6,12 9,6,12 43 6 57,9 Institution Name MEDALLION BANK MERCANTILE BANK CORPORATION MERCANTILE BANK CORPORATION MERCANTILE BANK CORPORATION MERCANTILE BANK CORPORATION MERCANTILE CAPITAL CORPORATION MERCANTILE CAPITAL CORPORATION MERCHANTS & PLANTERS BANCSHARES, INC. MERCHANTS & PLANTERS BANCSHARES, INC. MERCHANTS AND MANUFACTURERS BANK CORPORATION MERCHANTS AND MANUFACTURERS BANK CORPORATION MERIDIAN BANK MERIDIAN BANK METRO CITY BANK METRO CITY BANK METRO CITY BANK METRO CITY BANK METROCORP BANCSHARES, INC. METROCORP BANCSHARES, INC. METROCORP BANCSHARES, INC. METROPOLITAN BANK GROUP, INC. METROPOLITAN BANK GROUP, INC. METROPOLITAN CAPITAL BANCORP, INC. METROPOLITAN CAPITAL BANCORP, INC. MID PENN BANCORP, INC./MID PENN BANK MID PENN BANCORP, INC./MID PENN BANK MID PENN BANCORP, INC./MID PENN BANK MIDDLEBURG FINANCIAL CORPORATION MIDDLEBURG FINANCIAL CORPORATION MIDDLEBURG FINANCIAL CORPORATION MIDLAND STATES BANCORP, INC. MIDLAND STATES BANCORP, INC. MIDSOUTH BANCORP, INC. MIDSOUTH BANCORP, INC. MIDSOUTH BANCORP, INC. MIDTOWN BANK & TRUST COMPANY MIDWEST BANC HOLDINGS, INC. MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE MIDWESTONE FINANCIAL GROUP, INC. MIDWESTONE FINANCIAL GROUP, INC. MIDWESTONE FINANCIAL GROUP, INC. MID-WISCONSIN FINANCIAL SERVICES, INC. MID-WISCONSIN FINANCIAL SERVICES, INC. MILLENNIUM BANCORP, INC. MILLENNIUM BANCORP, INC. MISSION COMMUNITY BANCORP MISSION COMMUNITY BANCORP MISSION VALLEY BANCORP MISSION VALLEY BANCORP MONADNOCK BANCORP, INC. MONADNOCK BANCORP, INC. MONARCH COMMUNITY BANCORP, INC. MONARCH FINANCIAL HOLDINGS, INC. MONARCH FINANCIAL HOLDINGS, INC. MONARCH FINANCIAL HOLDINGS, INC. MONEYTREE CORPORATION MONEYTREE CORPORATION MONUMENT BANK MONUMENT BANK MORGAN STANLEY MORGAN STANLEY MORGAN STANLEY MORRILL BANCSHARES, INC. MORRILL BANCSHARES, INC. MOSCOW BANCSHARES, INC. MOSCOW BANCSHARES, INC. MOSCOW BANCSHARES, INC. MOUNTAIN VALLEY BANCSHARES, INC. MOUNTAIN VALLEY BANCSHARES, INC. MS FINANCIAL, INC. MS FINANCIAL, INC. MUTUALFIRST FINANCIAL, INC. MUTUALFIRST FINANCIAL, INC. MUTUALFIRST FINANCIAL, INC. NAPLES BANCORP, INC. NAPLES BANCORP, INC. NARA BANCORP, INC. NARA BANCORP, INC. City State SALT LAKE CITY GRAND RAPIDS GRAND RAPIDS GRAND RAPIDS GRAND RAPIDS BOSTON BOSTON TOONE TOONE JOLIET JOLIET DEVON DEVON DORAVILLE DORAVILLE DORAVILLE DORAVILLE HOUSTON HOUSTON HOUSTON CHICAGO CHICAGO CHICAGO CHICAGO MILLERSBURG MILLERSBURG MILLERSBURG MIDDLEBURG MIDDLEBURG MIDDLEBURG EFFINGHAM EFFINGHAM LAFAYETTE LAFAYETTE LAFAYETTE ATLANTA MELROSE PARK 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 FESTUS FESTUS IOWA CITY IOWA CITY IOWA CITY MEDFORD MEDFORD EDWARDS EDWARDS SAN LUIS OBISPO SAN LUIS OBISPO SUN VALLEY SUN VALLEY PETERBOROUGH PETERBOROUGH COLDWATER CHESAPEAKE CHESAPEAKE CHESAPEAKE LENOIR CITY LENOIR CITY BETHESDA BETHESDA NEW YORK NEW YORK NEW YORK MERRIAM MERRIAM MOSCOW MOSCOW MOSCOW CLEVELAND CLEVELAND KINGWOOD KINGWOOD MUNCIE MUNCIE MUNCIE NAPLES NAPLES LOS ANGELES LOS ANGELES Date 21-Jul-11 15-May-09 04-Apr-12 06-Jun-12 03-Jul-12 06-Feb-09 04-Aug-11 06-Mar-09 07-Sep-11 19-Jun-09 08-Sep-11 13-Feb-09 11-Dec-09 30-Jan-09 29-Oct-12 31-Oct-12 01-Nov-12 16-Jan-09 03-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 09-Jan-09 25-Aug-11 22-Nov-11 27-Feb-09 05-Dec-08 Original Investment Type1 Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Original Investment Amount $21,000,000.00 $3,500,000.00 $1,881,000.00 $3,510,000.00 $6,200,000.00 $6,335,000.00 $7,700,000.00 Outstanding Investment $0.00 $0.00 $0.00 $0.00 $12,535,000.00 $0.00 Total Cash Back2 Investment Status* -$0.01 $27,172,726.72 Sold, in full; warrants not outstanding $2,040,000.00 $2,348,000.00 $10,000,000.00 $4,388,000.00 Preferred Stock w/ Warrants $0.00 $12,070,979.20 Redeemed, in full; warrants not outstanding Preferred Stock w/ Warrants $22,000,000.00 $0.00 $23,287,945.11 Redeemed, in full; warrants not outstanding $0.00 MO 13-Feb-09 Preferred Stock w/ Exercised Warrants $700,000.00 $0.00 $763,294.14 Redeemed, in full; warrants not outstanding 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 TX TX IN IN IN FL FL CA CA 10-Nov-09 06-Feb-09 06-Jul-11 27-Jul-11 20-Feb-09 26-Apr-13 03-Apr-09 14-Aug-12 09-Jan-09 28-Dec-11 23-Dec-08 20-Aug-10 19-Dec-08 28-Dec-12 06-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 05-Dec-12 25-Sep-09 22-Jul-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 $16,000,000.00 $0.00 $18,933,333.33 Redeemed, in full; warrants not outstanding Preferred Stock w/ Exercised Warrants $7,260,000.00 $0.00 $0.00 $0.00 $5,875,583.89 Redeemed, in full; warrants not outstanding $5,500,000.00 $0.00 $5,956,041.66 Redeemed, in full; warrants not outstanding Preferred Stock w/ Warrants Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants $6,785,000.00 $14,700,000.00 $6,785,000.00 $0.00 $9,516,000.00 $0.00 $4,734,000.00 $10,000,000,000.00 $13,000,000.00 $6,216,000.00 $3,300,000.00 $7,723,000.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $32,382,000.00 $0.00 $4,000,000.00 $0.00 $67,000,000.00 $0.00 $7,465,100.00 616,438 $175,000.00 $1,881,000.00 1,881 $1,000.00 $94,000.00 175 94 $3,510,000.00 3,510 $1,000.00 $176,000.00 176 -$3,736.85 $373,684.85 385 $2,087,368.00 771,429 $58,479.20 73,099 $301,001.00 104,101 $509,000.00 509 $206,557.00 104,384 $35,000.00 35 $1,000,000.00 198,675 $500,000.00 500 $92,000.00 92 $26,102.90 29 $900.10 ($2,897.10) $6,904,667.10 7,671 $900.10 ($766,332.90) $44,152,650.00 45,000 $981.20 ($847,350.00) $23,718,541.95 71,526 $331.60 ($47,807,458.06) $10,000,000.00 10,000 $1,000.00 $22,000,000.00 22,000 $1,000.00 $10,189,000.00 10,189 $1,000.00 $20,000,000.00 20,000 $1,000.00 $700,000.00 700 $1,000.00 $16,000,000.00 16,000 $1,000.00 $10,000,000.00 10,000 $1,000.00 $2,904,000.00 7,260 $400.00 $5,116,000.00 5,116 $1,000.00 $5,500,000.00 5,500 $1,000.00 $1,834,000.00 1,834 $1,000.00 $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 $7,723,000.00 7,723 $1,000.00 $32,382,000.00 32,382 $1,000.00 $600,000.00 4,000 $150.00 $67,000,000.00 67,000 $1,000.00 $4,296,561.73 Sold, in full; warrants not outstanding $5,116,000.00 $0.00 $1,000.00 $12,844,226.31 Redeemed, in full; warrants not outstanding Preferred Stock $1,834,000.00 3,500 $275,104.50 Full investment outstanding; warrants outstanding $824,288.89 Full investment outstanding; warrants outstanding Preferred Stock Preferred Stock w/ Exercised Warrants $3,500,000.00 $22,834,334.78 Redeemed, in full; warrants not outstanding $5,222,000.00 $84,784,000.00 $10,000,000.00 645 $11,206,989.34 Redeemed, in full; warrants not outstanding $5,222,000.00 $84,784,000.00 Preferred Stock w/ Exercised Warrants $645,000.00 $864,799.44 Full investment outstanding; warrants outstanding Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants Preferred Stock w/ Warrants $1,000.00 $1,000.00 $8,806,297.80 Sold, in full; warrants not outstanding $71,526,000.00 $20,000,000.00 10,500 10,500 $2,523,700.61 Full investment outstanding; warrants outstanding Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants $10,500,000.00 $10,500,000.00 $4,110,668.47 Redeemed, in full; warrants not outstanding $53,406,628.25 Sold, in full; warrants not outstanding $0.00 $1,000.00 $2,231,560.00 Redeemed, in full; warrants not outstanding $0.00 $10,189,000.00 Warrant Proceeds Amount Shares 21,498 $4,150,815.03 Redeemed, in full; warrants not outstanding $45,000,000.00 Preferred Stock w/ Exercised Warrants (Realized Loss) / (Write-off) / Gain $21,498,000.00 $31,631,120.56 Redeemed, in full; warrants not outstanding Preferred Stock w/ Warrants Preferred Stock w/ Warrants Capital Repayment / Disposition / Auction3 Amount Shares Avg. Price ($4,356,000.00) $2,339,348.60 Redeemed, in full; warrants not outstanding $262,919.00 Full investment outstanding; warrants outstanding $15,703,166.66 Redeemed, in full; warrants not outstanding $11,291,481.00 Redeemed, in full; warrants not outstanding $5,623,958.50 Redeemed, in full; warrants not outstanding $11,268,055,555.11 Redeemed, in full; warrants not outstanding $15,429,122.22 Redeemed, in full; warrants not outstanding $7,803,377.38 Redeemed, in full; warrants not outstanding $4,119,975.55 Sold, in full; warrants not outstanding ($33,000.00) $165,034.65 165 $386,000.00 386 $900,194.00 625,135 $9,206,289.90 Redeemed, in full; warrants not outstanding $37,608,789.00 Redeemed, in full; warrants not outstanding $956,066.67 Sold, in full; warrants not outstanding ($3,400,000.00) $81,249,317.20 Redeemed, in full; warrants not outstanding 46 FootNote Institution Name City State NARA BANCORP, INC. NATIONAL BANCSHARES, INC. NATIONAL BANCSHARES, INC. NATIONAL BANCSHARES, INC. NATIONAL PENN BANCSHARES, INC. NATIONAL PENN BANCSHARES, INC. NATIONAL PENN BANCSHARES, INC. LOS ANGELES BETTENDORF BETTENDORF BETTENDORF BOYERTOWN BOYERTOWN BOYERTOWN CA IA IA IA PA PA PA NATIONWIDE BANKSHARES, INC. NATIONWIDE BANKSHARES, INC. NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC. NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC. NCAL BANCORP WEST POINT WEST POINT CHICAGO CHICAGO LOS ANGELES NE NE IL IL CA 6,49 6,7 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 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 COMMERCIAL BANK NORTHWEST COMMERCIAL BANK 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 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. OMEGA CAPITAL CORP. OMEGA CAPITAL CORP. OMEGA CAPITAL CORP. ONE GEORGIA BANK ONE UNITED BANK MADISON MADISON NEWPORT NEWPORT NEWPORT NEW YORK NEW YORK 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 LAKEWOOD LAKEWOOD OAK RIDGE OAK RIDGE OAK RIDGE OAKDALE OAKDALE OAKDALE TOMS RIVER TOMS RIVER TOMS RIVER OJAI BOWIE BOWIE BOWIE EVANSVILLE EVANSVILLE EVANSVILLE AURORA AURORA AURORA AURORA AURORA LAKEWOOD LAKEWOOD LAKEWOOD ATLANTA BOSTON MO MO NH NH NH NY NY 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 NC NC NC CA CA CA NJ NJ NJ CA MD MD MD IN IN IN IL IL IL IL IL CO CO CO GA MA 13,15 6 ONEFINANCIAL CORPORATION OREGON BANCORP, INC. LITTLE ROCK SALEM AR OR 13,9,12 OSB FINANCIAL SERVICES, INC. OSB FINANCIAL SERVICES, INC. PACIFIC CAPITAL BANCORP PACIFIC CAPITAL BANCORP ORANGE ORANGE SANTA BARBARA SANTA BARBARA TX TX CA CA 6,12 9,14 13,9,12 6,40 6 13,9,12 42 9,6,12 42,6,12 9 9 6,9,12,16 9 42,6,12 6,12 9,6,12 43 10,14 6 9 9 6,12 33,9 Date Original Investment Type1 08-Aug-12 27-Feb-09 Preferred Stock w/ Exercised Warrants 19-Feb-13 20-Feb-13 12-Dec-08 Preferred Stock w/ Warrants 16-Mar-11 13-Apr-11 Subordinated Debentures w/ Exercised 11-Dec-09 Warrants 29-Dec-10 26-Jun-09 Preferred Stock w/ Warrants 28-Jun-13 19-Dec-08 Preferred Stock w/ Exercised Warrants Subordinated Debentures w/ Exercised 19-Jun-09 Warrants 24-Apr-13 16-Jan-09 Preferred Stock w/ Warrants 25-Aug-11 15-Feb-12 09-Jan-09 Preferred Stock w/ Exercised Warrants 24-Jul-13 12-Dec-08 Preferred Stock w/ Warrants 26-Apr-13 29-Apr-13 15-May-13 23-Dec-08 Preferred Stock w/ Exercised Warrants 01-Sep-11 09-Jan-09 Preferred Stock w/ Warrants 14-Dec-11 11-Jan-12 12-Dec-08 Preferred Stock w/ Warrants 28-Nov-12 28-Dec-12 15-May-09 Preferred Stock w/ Warrants 18-Dec-09 28-Mar-12 20-Feb-09 Preferred Stock w/ Warrants 14-Nov-08 Preferred Stock w/ Warrants 17-Jun-09 26-Aug-09 30-Jan-09 Preferred Stock w/ Exercised Warrants 15-Sep-11 13-Feb-09 Preferred Stock w/ Exercised Warrants 08-Mar-13 11-Mar-13 13-Feb-09 Preferred Stock w/ Exercised Warrants 09-Jan-13 30-Jan-09 Preferred Stock w/ Warrants 31-Oct-12 06-Feb-13 05-Dec-08 Preferred Stock w/ Warrants 11-Aug-11 28-Sep-11 16-Jan-09 Preferred Stock w/ Warrants 30-Dec-09 03-Feb-10 30-Jan-09 Preferred Stock w/ Exercised Warrants 05-Dec-08 Preferred Stock w/ Warrants 15-Jul-09 02-Sep-09 12-Dec-08 Preferred Stock w/ Warrants 31-Mar-09 08-May-09 16-Jan-09 Preferred Stock w/ Warrants 11-Mar-13 26-Mar-13 27-Mar-13 11-Jun-13 17-Apr-09 Preferred Stock w/ Exercised Warrants 19-Jul-13 22-Jul-13 08-May-09 Preferred Stock w/ Exercised Warrants 19-Dec-08 Preferred Stock Subordinated Debentures w/ Exercised 05-Jun-09 Warrants 24-Apr-09 Preferred Stock w/ Exercised Warrants Subordinated Debentures w/ Exercised 01-May-09 Warrants 05-Oct-11 21-Nov-08 Preferred Stock w/ Warrants 23-Feb-11 Original Investment Amount $24,664,000.00 $150,000,000.00 Outstanding Investment $0.00 $0.00 Total Cash Back2 Investment Status* $2,276,190.00 Redeemed, in full; warrants not outstanding $6,880,000.00 $0.00 $2,613,714.23 Sold, in full; warrants not outstanding $10,000,000.00 $10,000,000.00 $2,330,000.00 $0.00 $3,199,347.39 Redeemed, in full; warrants not outstanding $10,000,000.00 $0.00 $12,041,266.67 Redeemed, in full; warrants not outstanding $52,372,000.00 $14,964,000.00 $10,200,000.00 $4,227,000.00 $0.00 $0.00 $0.00 $0.00 $1,341,000.00 $1,230,000.00 $0.00 $17,211,000.00 $1,576,000,000.00 $17,211,000.00 $0.00 $10,000,000.00 $0.00 $10,500,000.00 $1,992,000.00 $7,700,000.00 $13,500,000.00 $38,263,000.00 $0.00 $0.00 $0.00 $0.00 $0.00 $2,080,000.00 $7,000,000.00 $2,080,000.00 $0.00 $100,000,000.00 $0.00 $73,000,000.00 $2,816,000.00 $0.00 $0.00 $5,500,000.00 $12,063,000.00 $5,500,000.00 $12,063,000.00 $17,300,000.00 $3,216,000.00 $17,300,000.00 $3,216,000.00 $6,100,000.00 $0.00 $180,634,000.00 $0.00 Warrant Proceeds Amount Shares $2,438,182.50 $16,064,996.94 3,250 21,414 $750.20 $750.20 $150,000,000.00 150,000 $1,000.00 ($811,817.50) ($5,349,003.06) $2,189,317.20 521,266 $346,305.00 $499,143.25 500 733 $1,000,000.00 735,294 $100,000.00 100,000 $117,000.00 117,000 $167,958,333.33 Redeemed, in full; warrants not outstanding $0.00 $0.00 (Realized Loss) / (Write-off) / Gain $21,471,087.90 Sold, in full; warrants not outstanding $2,000,000.00 $267,274,000.00 Capital Repayment / Disposition / Auction3 Amount Shares Avg. Price $2,000,000.00 2,000,000 $1.00 $2,281,458.05 6,880 $331.60 ($4,598,541.95) $1,311,027.78 Full investment outstanding; warrants 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 $14,964,000.00 14,964 $1,000.00 $10,200,000.00 10,200 $1,000.00 $4,227,000.00 4,227 $1,000.00 $737,100.00 184,275 $13,364,000.00 13,364 $7,778,782.65 2,567,255 $748,000.00 748 $600,000.00 99,157 $95,000.00 67,958 $67,000.00 67 $87,000,000.00 3,824,624 $500,000.00 500 $587,634.55 525 $100,000.00 100 $122,887.50 163,830 $560,000.00 350,346 $430,797.00 190,427 $225,000.00 141,892 $1,200,000.00 813,008 $106,891.00 815,339 $184,886.25 141 $305,000.00 305,000 $346,794,005.83 Redeemed, in full; warrants not outstanding $70,087,060.35 Sold, in full; warrants not outstanding ($53,878.50) ($967,375.50) $17,904,842.66 Redeemed, in full; warrants not outstanding $12,294,583.33 Redeemed, in full; warrants not outstanding $5,159,181.33 Redeemed, in full; warrants not outstanding $2,987,782.33 Redeemed, in full; warrants not outstanding $2,571,000.00 2,571 $1,000.00 $1,576,000,000.00 1,576,000 $1,000.00 $10,000,000.00 10,000 $1,000.00 $2,000,000.00 $8,500,000.00 2,000 8,500 $1,032.10 $1,032.10 $1,992,000.00 1,992 $1,000.00 $7,095,550.00 7,700 $921.50 $13,500,000.00 13,500 $1,000.00 $38,263,000.00 38,263 $1,000.00 $418,322.50 Full investment outstanding; warrants outstanding $1,709,623,333.35 Redeemed, in full; warrants not outstanding $11,930,624.67 Redeemed, in full; warrants not outstanding $11,891,847.50 Sold, in full; warrants not outstanding $64,220.00 $272,935.00 $2,380,393.00 Redeemed, in full; warrants not outstanding $8,592,336.00 Sold, in full; warrants not outstanding ($604,450.00) $15,871,250.00 Redeemed, in full; warrants not outstanding $40,521,918.61 Redeemed, in full; warrants not outstanding $429,823.33 Full investment outstanding; warrants outstanding $7,438,888.89 Redeemed, in full; warrants not outstanding $7,000,000.00 7,000 $1,000.00 $100,000,000.00 100,000 $1,000.00 $24,684,870.00 $452,424.00 $668,079.44 70,028 1,200 1,772 $352.50 $377.00 $377.00 ($45,343,130.00) ($747,576.00) ($1,103,920.56) $1,239,000.00 $1,577,000.00 1,239 1,577 $1,142.90 $1,142.90 $177,053.10 $225,353.30 $6,100,000.00 6,100,000 $1.00 $14.75 1 $29.50 $102,713,888.89 Redeemed, in full; warrants not outstanding $31,423,238.49 Sold, in full; warrants not outstanding $3,453,603.15 Sold, in full; warrants not outstanding $0.00 Full investment outstanding; warrants outstanding $93,823.33 Full investment outstanding; warrants not outstanding $3,782,990.59 Full investment outstanding; warrants outstanding $711,385.00 Full investment outstanding; warrants outstanding $7,662,314.53 Redeemed, in full; warrants not outstanding $168,483,804.20 Sold, in full; warrants not outstanding ($10.28) 47 FootNote Institution Name City State Date Original Investment Type1 PACIFIC CAPITAL BANCORP PACIFIC CITY FINANCIAL CORPORATION PACIFIC COAST BANKERS' BANCSHARES PACIFIC COAST BANKERS' BANCSHARES PACIFIC COAST NATIONAL BANCORP PACIFIC COAST NATIONAL BANCORP PACIFIC COMMERCE BANK PACIFIC INTERNATIONAL BANCORP PACIFIC INTERNATIONAL BANCORP PARK BANCORPORATION, INC. PARK BANCORPORATION, INC. PARK BANCORPORATION, INC. PARK BANCORPORATION, INC. PARK NATIONAL CORPORATION PARK NATIONAL CORPORATION PARK NATIONAL CORPORATION PARKE BANCORP, INC. PARKE BANCORP, INC. PARKE BANCORP, INC. PARKE BANCORP, INC. SANTA BARBARA LOS ANGELES SAN FRANCISCO SAN FRANCISCO SAN CLEMENTE SAN CLEMENTE LOS ANGELES SEATTLE SEATTLE MADISON MADISON MADISON MADISON NEWARK NEWARK NEWARK SEWELL SEWELL SEWELL SEWELL CA CA CA CA CA CA CA WA WA WI WI WI WI OH OH OH NJ NJ NJ NJ 30-Nov-12 19-Dec-08 23-Dec-08 28-Jul-11 16-Jan-09 11-Feb-10 23-Dec-08 12-Dec-08 15-Feb-13 06-Mar-09 07-Aug-12 09-Aug-12 10-Aug-12 23-Dec-08 25-Apr-12 02-May-12 30-Jan-09 28-Nov-12 29-Nov-12 12-Jun-13 PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION MONROEVILLE PA 23-Dec-08 Preferred Stock w/ Warrants 6 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 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. PEOPLESSOUTH BANCSHARES, INC. MONROEVILLE WESTWOOD WESTWOOD DUNDALK OSWEGO OSWEGO OSWEGO 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 COLQUITT PA NJ NJ MD NY NY NY 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 GA 03-Jan-12 06-Feb-09 19-Oct-11 19-Dec-08 11-Sep-09 01-Sep-11 01-Feb-12 27-Mar-09 24-Jun-13 19-Dec-08 17-Apr-09 07-Mar-12 22-Aug-12 05-Dec-12 08-May-13 05-Jun-13 09-Jan-09 06-Jan-10 02-Mar-11 11-Jan-12 04-Apr-12 17-Apr-09 01-Sep-11 30-Jan-09 02-Feb-11 28-Dec-11 15-Feb-12 13-Feb-09 03-Aug-11 23-Dec-08 03-Jul-12 08-Aug-12 24-Apr-09 24-Apr-12 20-Mar-09 31-Oct-12 06-Mar-09 6,15,43 PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK PIGEON FALLS PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK PGB HOLDINGS, INC. PGB HOLDINGS, INC. 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 PIGEON FALLS CHICAGO CHICAGO TACOMA ORANGE CITY NASHVILLE NASHVILLE NASHVILLE NASHVILLE DALLAS DALLAS PLATO HOLDINGS INC. PLATO HOLDINGS INC. PLATO HOLDINGS INC. PLUMAS BANCORP PLUMAS BANCORP PLUMAS BANCORP SAINT PAUL SAINT PAUL SAINT PAUL QUINCY QUINCY QUINCY MN MN MN CA CA CA Subordinated Debentures w/ Exercised 17-Jul-09 Warrants 26-Apr-13 29-Apr-13 30-Jan-09 Preferred Stock w/ Warrants 29-Apr-13 22-May-13 6 43,6,12 6,24 6 83 6,12 9 58 6,19,9 6 42 6,12 6 6,9,12 9 42,6,12 9 54,6,12 6,12 6,12 9,7,34 6,44 6,67 9 42,6,12 13,15 Original Investment Amount Outstanding Investment Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants $16,200,000.00 $11,600,000.00 $16,200,000.00 $0.00 Preferred Stock w/ Exercised Warrants $4,120,000.00 $0.00 Total Cash Back2 Investment Status* Capital Repayment / Disposition / Auction3 Amount Shares Avg. Price $165,983,272.00 3,608,332 $46.00 $11,600,000.00 11,600 $1,000.00 (Realized Loss) / (Write-off) / Gain ($14,650,702.97) Warrant Proceeds Amount Shares $393,120.78 15,120 $580,000.00 580 $88,948.50 $487,656.25 $319,434.35 114 625 421 $2,842,400.00 227,376 $1,650,288.00 438,906 $188,000.00 188 $537,633.00 154,354 $251,565.00 186 $185,000.00 185 $110,000.00 150,296 $498,000.00 498 $1,200,724.15 313,505 $900,000.00 900 $425,000.00 357,234 $633,000.00 633 $122,225.00 195 $71,000.00 71 $358,065.00 Full investment outstanding; warrants outstanding $13,821,963.89 Redeemed, in full; warrants not outstanding $18,087.94 Sold, in full; warrants not outstanding ($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 Preferred Stock w/ Exercised Warrants $23,200,000.00 $0.00 Preferred Stock w/ Warrants $100,000,000.00 $0.00 Preferred Stock w/ Warrants $16,288,000.00 $0.00 Preferred Stock w/ Exercised Warrants $31,762,000.00 $0.00 $3,756,000.00 $0.00 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants $6,000,000.00 $6,771,000.00 $6,000,000.00 $0.00 Preferred Stock w/ Exercised Warrants $3,727,000.00 $0.00 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 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised 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 $12,660,000.00 $3,900,000.00 $26,038,000.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $387,222.50 Full investment outstanding; warrants outstanding $7,937,744.97 Redeemed, in full; warrants outstanding $394,072.28 $11,318,791.40 548 15,740 $719.10 $719.10 ($153,927.72) ($4,421,208.60) $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 $23,384,401.44 25,054 $933.40 $12,660,000.00 12,660 $1,000.00 $2,944,500.00 3,900 $755.00 $1,500,000.00 1,500 $1,000.00 $3,000,000.00 3,000 $1,000.00 $23,750,000.00 $71,250,000.00 23,750 71,250 $1,000.00 $1,000.00 $87,631,000.00 87,631 $1,000.00 $120,000.00 $2,380,000.00 120,000 2,380,000 $1.00 $1.00 $180.00 $3,570.00 $11,949,000.00 11,949 $1,091.10 $1,088,673.39 $622,446.27 $2,704,135.78 Full investment outstanding; warrants outstanding $4,692,022.77 Redeemed, in full; warrants not outstanding $32,075,739.67 Redeemed, in full; warrants not outstanding $11,745,689.33 Redeemed, in full; warrants not outstanding $44,926,557.48 Redeemed, in full; warrants not outstanding $21,325,250.00 Redeemed, in full; warrants not outstanding $27,877,966.16 Sold, in full; warrants not outstanding ($1,669,598.56) $15,362,909.75 Redeemed, in full; warrants not outstanding $3,809,874.42 Sold, in full; warrants not outstanding 11-Sep-09 Preferred Stock w/ Exercised Warrants $1,500,000.00 $0.00 $1,730,162.66 Redeemed, in full; warrants not outstanding $3,000,000.00 $0.00 $3,227,916.67 Redeemed, in full; warrants not outstanding $0.00 $1,000.00 $4,678,862.77 Sold, in full; warrants not outstanding 25-Aug-11 06-Feb-09 13-Aug-10 23-Jan-09 06-Mar-09 12-Dec-08 28-Dec-11 20-Jun-12 18-Jul-12 19-Dec-08 27-Sep-11 $87,631,000.00 100,000 $377,866.67 Full investment outstanding; warrants outstanding $7,976,328.84 Redeemed, in full; warrants not outstanding WI Preferred Stock w/ Exercised Warrants $100,000,000.00 ($619,346.00) ($1,495,494.00) ($4,143,360.00) $4,497,312.67 Redeemed, in full; warrants not outstanding WI IL IL WA FL TN TN TN TN TX TX $6,800,000.00 $4,389,000.00 $0.00 $730.20 $730.20 $730.20 $36,570,413.89 Redeemed, in full; warrants outstanding $12,325,000.00 $6,800,000.00 $4,389,000.00 $95,000,000.00 $1,000.00 2,296 5,544 15,360 $16,365,554.76 Sold, in full; warrants not outstanding $12,325,000.00 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants 6,500 $1,676,654.00 $4,048,506.00 $11,216,640.00 $119,536,844.44 Redeemed, in full; warrants not outstanding Preferred Stock w/ Exercised Warrants Preferred Stock $6,500,000.00 $22,020,064.10 Sold, in full; warrants not outstanding ($955,500.00) $2,815,500.58 Full investment outstanding; warrants outstanding $207,947.78 Full investment outstanding; warrants outstanding $284,999.00 Full investment outstanding; warrants outstanding $111,918,194.45 Redeemed, in full; warrants not outstanding $755,000.00 267,455 $4,382,000.00 4,382 $90,582.47 107,000 $234,500.00 237,712 $105,252,939.77 Redeemed, in full; warrants not outstanding $2,500,000.00 $0.00 $3,103,618.40 Sold, in full; warrants not outstanding $11,949,000.00 $0.00 $13,764,140.41 Sold, in full; warrants not outstanding 48 FootNote 18 6 7,13,34 6,20 13,12 6 78 6,15 73 6,16 10 6,15,42 86 9,6,12 42,6,12 42 6 6,15 42,6,12 42,6,12 6 42,6,12 6,15,60 6,12 9 6 6,12 6 13,9,12 13 6 9 6 42 Institution Name City State Date Original Investment Type1 Original Investment Amount Outstanding Investment 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 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants $9,500,000.00 $22,252,000.00 $9,500,000.00 $0.00 Total Cash Back2 Capital Repayment / Disposition / Auction3 Amount Shares Avg. Price (Realized Loss) / (Write-off) / Gain POPULAR, INC. PORTER BANCORP, INC.(PBI) LOUISVILLE, KY PRAIRIE STAR BANCSHARES, INC. PREMIER BANCORP, INC. PREMIER BANCORP, INC. PREMIER BANK HOLDING COMPANY PREMIER FINANCIAL BANCORP, INC. PREMIER FINANCIAL BANCORP, INC. PREMIER FINANCIAL BANCORP, INC. PREMIER FINANCIAL BANCORP, INC. SAN JUAN LOUISVILLE OLATHE WILMETTE WILMETTE TALLAHASSEE HUNTINGTON HUNTINGTON HUNTINGTON HUNTINGTON PR KY KS IL IL FL WV WV WV WV 05-Dec-08 21-Nov-08 03-Apr-09 08-May-09 13-Aug-10 20-Mar-09 02-Oct-09 08-Aug-12 09-Aug-12 10-Aug-12 PREMIER FINANCIAL CORP. PREMIER FINANCIAL CORP. PREMIER SERVICE BANK PREMIERWEST BANCORP PREMIERWEST BANCORP PRESIDIO BANK PRESIDIO BANK PRESIDIO BANK PRINCETON NATIONAL BANCORP, INC. PRIVATE BANCORPORATION, INC. PRIVATE BANCORPORATION, INC. PRIVATEBANCORP, INC. PRIVATEBANCORP, INC. PRIVATEBANCORP, INC. PROVIDENCE BANK PROVIDENCE BANK DUBUQUE DUBUQUE RIVERSIDE MEDFORD MEDFORD SAN FRANCISCO SAN FRANCISCO SAN FRANCISCO PRINCETON MINNEAPOLIS MINNEAPOLIS CHICAGO CHICAGO CHICAGO ROCKY MOUNT ROCKY MOUNT IA IA CA OR OR CA CA CA IL MN MN IL IL IL NC NC 22-May-09 22-Jul-13 20-Feb-09 13-Feb-09 09-Apr-13 20-Nov-09 10-Dec-12 11-Dec-12 23-Jan-09 27-Feb-09 29-Dec-09 30-Jan-09 24-Oct-12 14-Nov-12 02-Oct-09 15-Sep-11 PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 14-Nov-08 Preferred Stock w/ Warrants PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 21-Aug-12 PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 20-Mar-13 $71.62 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 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. REGIONS FINANCIAL CORPORATION REGIONS FINANCIAL CORPORATION REGIONS FINANCIAL CORPORATION RELIANCE BANCSHARES, INC. RIDGESTONE FINANCIAL SERVICES, INC. RIDGESTONE FINANCIAL SERVICES, INC. RISING SUN BANCORP BALTIMORE ROCK HILL MANY MANY BELLEVUE BELLEVUE CREVE COEUR CREVE COEUR CREVE COEUR MOLINE MOLINE MOLINE ASHEBORO ROME EUREKA EUREKA REDWOOD FALLS REDWOOD FALLS DAVIE NOWATA NOWATA VANCOUVER VANCOUVER HARTSVILLE HARTSVILLE HARTSVILLE BIRMINGHAM BIRMINGHAM BIRMINGHAM FRONTENAC BROOKFIELD BROOKFIELD RISING SUN MD SC LA LA WA WA MO MO MO IL IL IL NC GA CA CA MN MN FL OK OK WA WA SC SC SC AL AL AL MO WI WI MD 25-Mar-13 13-Mar-09 27-Feb-09 29-Sep-10 16-Jan-09 11-Aug-11 16-Jan-09 03-Jul-12 08-Aug-12 13-Feb-09 15-Sep-11 16-Nov-11 30-Oct-09 19-Jun-09 16-Jan-09 21-Jul-11 09-Jan-09 18-Aug-11 06-Mar-09 27-Feb-09 21-Jul-11 23-Oct-09 26-Jan-12 13-Feb-09 08-Nov-12 09-Nov-12 14-Nov-08 04-Apr-12 02-May-12 13-Feb-09 27-Feb-09 20-Feb-13 09-Jan-09 $19,047,005.12 RIVER VALLEY BANCORPORATION, INC. RIVER VALLEY BANCORPORATION, INC. RIVER VALLEY BANCORPORATION, INC. WAUSAU WAUSAU WAUSAU WI WI WI RIVERSIDE 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. LITTLE ROCK LITTLE ROCK NARBERTH INDIANA INDIANA INDIANA WESTMINSTER LAKEVILLE LAKEVILLE AR AR PA PA PA PA CA CT CT Subordinated Debentures w/ Exercised Warrants $6,349,000.00 $0.00 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants $4,000,000.00 $41,400,000.00 $4,000,000.00 $0.00 Preferred Stock w/ Exercised Warrants $10,800,000.00 $0.00 Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants $0.00 $4,596,311.80 Redeemed, in full; warrants not outstanding Preferred Stock w/ Exercised Warrants $4,500,000.00 $0.00 Preferred Stock w/ Warrants $32,538,000.00 $38,237,000.00 $0.00 $0.00 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants $6,229,000.00 $8,900,000.00 $3,800,000.00 $6,229,000.00 $8,900,000.00 $0.00 Preferred Stock w/ Exercised Warrants $2,995,000.00 $0.00 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants $9,982,000.00 $2,655,000.00 $9,982,000.00 $0.00 Preferred Stock w/ Exercised Warrants $12,700,000.00 $0.00 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants $1,500,000.00 $0.00 $3,500,000,000.00 $0.00 $6,349,000.00 6,349,000 $1.24 $1,507,379.58 $483,425.00 317,000 $41,400,000.00 41,400 $1,000.00 $262,635.10 $8,887,232.90 310 10,490 $847.20 $847.20 ($47,364.90) ($1,602,767.10) $83,925.37 $194,455.95 97 228 $243,815,000.00 243,815 $1,000.00 $1,225,000.00 645,013 $4,000,000.00 4,000 $1,000.00 $175,000.00 175 $151,500,000.00 151,500 $1,000.00 $9,270,000.00 9,270 $1,000.00 $464,000.00 464 $4,500,000.00 4,500 $1,000.00 $225,000.00 225 $28,893,744.00 32,538 $888.00 $1,100,000.00 778,421 $38,237,000.00 38,237 $1,000.00 $1,100,000.00 521,888 $5,355,156.75 Redeemed, in full; warrants not outstanding $35,195,847.13 Sold, in full; warrants not outstanding ($3,644,256.00) $44,286,567.33 Redeemed, in full; warrants not outstanding $608,163.33 Full investment outstanding; warrants outstanding $893,934.15 Full investment outstanding; warrants outstanding $4,510,626.39 Redeemed, in full; warrants not outstanding $3,800,000.00 3,800 $1,000.00 $190,000.00 190 $2,995,000.00 2,995 $1,000.00 $150,000.00 150 $3,570,810.92 Redeemed, in full; warrants not outstanding $784,281.50 Full investment outstanding; warrants outstanding $3,135,328.00 Redeemed, in full; warrants not outstanding $2,655,000.00 2,655 $1,000.00 $133,000.00 133 $12,700,000.00 12,700 $1,000.00 $381,000.00 381 $246,975.00 $1,140,525.00 267 1,233 $925.00 $925.00 $50,000.00 75 $3,500,000,000.00 3,500,000 $1,000.00 $45,000,000.00 48,253,677 $476,206.83 545 $750,000.00 750,000 $527,361.00 517,012 $14,594,338.99 Redeemed, in full; warrants not outstanding $1,718,159.50 Sold, in full; warrants not outstanding ($20,025.00) ($92,475.00) $4,138,055,555.55 Redeemed, in full; warrants not outstanding $3,827,111.00 Full investment outstanding; warrants outstanding $9,630,106.93 Sold, in full; warrants not outstanding Preferred Stock w/ Exercised Warrants Subordinated Debentures w/ Exercised 12-Jun-09 Warrants 06-Jun-12 15-May-13 Subordinated Debentures w/ Exercised 15-May-09 Warrants 30-Jan-09 Preferred Stock w/ Exercised Warrants 20-Feb-09 Preferred Stock w/ Warrants 16-Jan-09 Preferred Stock w/ Warrants 07-Dec-11 11-Jun-13 23-Dec-08 Preferred Stock w/ Exercised Warrants 13-Mar-09 Preferred Stock w/ Warrants 25-Aug-11 $5,983,000.00 $5,983,000.00 $195,637.00 Full investment outstanding; warrants outstanding $15,000,000.00 $0.00 $1,549,000.00 $0.00 ($184,381.11) ($941,897.49) ($1,076,001.84) $543,091.00 Full investment outstanding; warrants outstanding $10,536,802.00 Redeemed, in full; warrants not outstanding $40,000,000.00 $0.00 $1,549,000.00 $8,816,000.00 $901.00 $901.00 $901.00 $199,100,113.41 Sold, in full; warrants not outstanding $40,000,000.00 $10,900,000.00 $1,100,000.00 $25,000,000.00 $30,407,000.00 $0.00 1,863 9,517 10,872 $2,271,405.00 Full investment outstanding; warrants outstanding $498,859.56 Full investment outstanding; warrants outstanding Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants $1,100,000.00 $25,000,000.00 $30,407,000.00 $108,676,000.00 $1,678,618.89 $8,575,102.51 $9,795,998.16 $11,077,694.89 Sold, in full; warrants not outstanding $4,000,000.00 $9,266,000.00 $0.00 $1.00 $54,500.00 Full investment outstanding; warrants outstanding $42,446,500.00 Redeemed, in full; warrants not outstanding $290,552,132.92 Redeemed, in full; warrants not outstanding $9,266,000.00 $9,270,000.00 6,784,000 $8,862,067.16 Sold, in full; warrants not outstanding $0.00 $0.00 $6,784,000.00 $467,412.50 Full investment outstanding; warrants outstanding $23,052,240.29 Sold, in full; warrants outstanding $25,083,000.00 $8,222,000.00 $151,500,000.00 Warrant Proceeds Amount Shares Full investment outstanding; warrants outstanding Full investment outstanding; warrants outstanding Full investment outstanding; warrants outstanding Redeemed, in full; warrants not outstanding $25,083,000.00 $4,960,000.00 $3,262,000.00 $243,815,000.00 Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants $207,921,527.78 $4,783,333.33 $132,253.00 $7,444,215.12 Investment Status* $8,966,340.00 10,900 $822.60 $10,500,000.00 $4,500,000.00 10,500,000 4,500,000 $1.00 $1.00 $108,676,000.00 108,676 $1,000.00 ($1,933,660.00) $19,928,275.00 Redeemed, in full; warrants not outstanding $323,015.00 $738,021.00 $358,971.00 $124,916,099.34 Full investment outstanding; warrants outstanding Full investment outstanding; warrants outstanding Full investment outstanding; warrants outstanding Redeemed, in full; warrants not outstanding $0.00 Full investment outstanding; warrants outstanding $10,100,960.44 Redeemed, in full; warrants not outstanding $8,816,000.00 8,816 $1,000.00 49 FootNote 9,42 6,12 42,6,12 9 42,6,12 6,12 42,6,12 42,6,12 9,6,12,34 9,34 42,6,12 13,12 9 13,9,12 9 9 6,30 6,12 6,12 9,7,34 6,43,12 42,6,12 42 6 9 42,6,12 6 6 72,6,12 Institution Name City State SALISBURY BANCORP, INC. SANDY SPRING BANCORP, INC. SANDY SPRING BANCORP, INC. SANDY SPRING BANCORP, INC. SANDY SPRING BANCORP, INC. SANTA CLARA VALLEY BANK, N.A SANTA CLARA VALLEY BANK, N.A SANTA CLARA VALLEY BANK, N.A SANTA LUCIA BANCORP SANTA LUCIA BANCORP SBT BANCORP, INC. SBT BANCORP, INC. SCBT FINANCIAL CORPORATION SCBT FINANCIAL CORPORATION SCBT FINANCIAL CORPORATION SEACOAST BANKING CORPORATION OF FLORIDA SEACOAST BANKING CORPORATION OF FLORIDA SEACOAST BANKING CORPORATION OF FLORIDA SEACOAST COMMERCE BANK SEACOAST COMMERCE BANK SECURITY BANCSHARES OF PULASKI COUNTY, INC. SECURITY BANCSHARES OF PULASKI COUNTY, INC. SECURITY BANCSHARES OF PULASKI COUNTY, INC. SECURITY 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. LAKEVILLE OLNEY OLNEY OLNEY OLNEY SANTA PAULA SANTA PAULA SANTA PAULA ATASCADERO ATASCADERO SIMSBURY SIMSBURY COLUMBIA COLUMBIA COLUMBIA STUART STUART STUART CHULA VISTA CHULA VISTA WAYNESVILLE WAYNESVILLE WAYNESVILLE SAN DIEGO SAN DIEGO RIVERSIDE RIVERSIDE BATESVILLE BATESVILLE AIKEN AIKEN AIKEN CHARLESTON CHARLESTON CT MD MD MD MD CA CA CA CA CA CT CT SC SC SC FL FL FL CA CA MO MO MO CA CA CA CA MS MS SC SC SC MO MO SECURITY STATE BANK HOLDING COMPANY SECURITY STATE BANK HOLDING COMPANY SEVERN BANCORP, INC. SHORE BANCSHARES, INC. SHORE BANCSHARES, INC. SHORE BANCSHARES, INC. JAMESTOWN JAMESTOWN ANNAPOLIS EASTON EASTON EASTON ND ND MD MD MD MD SIGNATURE BANCSHARES, INC. SIGNATURE BANCSHARES, INC. SIGNATURE BANK SIGNATURE BANK SIGNATURE BANK SOMERSET HILLS BANCORP SOMERSET HILLS BANCORP SOMERSET HILLS BANCORP SONOMA VALLEY BANCORP 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. 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. ST. JOHNS BANCSHARES, INC. STANDARD BANCSHARES, INC. STANDARD BANCSHARES, INC. DALLAS DALLAS NEW YORK NEW YORK NEW YORK BERNARDSVILLE BERNARDSVILLE BERNARDSVILLE SONOMA MOREHEAD CITY MOREHEAD CITY GREENVILLE GREENVILLE 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 ST. LOUIS HICKORY HILLS HICKORY HILLS TX TX NY NY NY NJ NJ NJ CA NC NC SC SC GA GA GA AR AR NC NC SC SC SC TN TN IL IL MO MO AL OK OK OK TX TX OK MO IL IL Date 02-Nov-11 05-Dec-08 21-Jul-10 15-Dec-10 23-Feb-11 13-Feb-09 08-Mar-13 11-Mar-13 19-Dec-08 21-Oct-11 27-Mar-09 11-Aug-11 16-Jan-09 20-May-09 24-Jun-09 19-Dec-08 03-Apr-12 30-May-12 23-Dec-08 01-Sep-11 13-Feb-09 10-Dec-12 11-Dec-12 09-Jan-09 14-Jul-11 09-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 Original Investment Type1 Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants Original Investment Amount $83,094,000.00 $2,900,000.00 Outstanding Investment $0.00 $0.00 Total Cash Back2 Investment Status* $0.00 $3,131,111.11 Sold, in full; warrants not outstanding Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,717,144.78 Redeemed, in full; warrants not outstanding Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants $50,000,000.00 $1,800,000.00 $2,152,000.00 $5,803,000.00 $0.00 $0.00 $0.00 $0.00 $0.00 $8,152,698.33 Redeemed, in full; warrants not outstanding $0.00 $19,063,111.00 Redeemed, in full; warrants not outstanding Subordinated Debentures w/ Exercised 01-May-09 Warrants 24-Jun-13 21-Nov-08 Preferred Stock w/ Warrants 09-Jan-09 Preferred Stock w/ Warrants 15-Apr-09 16-Nov-11 Subordinated Debentures w/ Exercised 26-Jun-09 Warrants 15-Dec-10 12-Dec-08 Preferred Stock w/ Warrants 31-Mar-09 16-Mar-10 16-Jan-09 Preferred Stock w/ Warrants 20-May-09 24-Jun-09 20-Feb-09 Preferred Stock w/ Exercised Warrants 09-Jan-09 Preferred Stock w/ Exercised Warrants 13-Nov-12 05-Dec-08 Preferred Stock w/ Warrants 30-Sep-10 17-Jul-09 Preferred Stock w/ Exercised Warrants 08-Mar-13 11-Mar-13 16-Jan-09 Preferred Stock 06-Aug-10 05-Dec-08 Preferred Stock w/ Warrants 01-Oct-12 27-Feb-09 Preferred Stock w/ Warrants 03-Jul-12 25-Jul-12 15-May-09 Preferred Stock w/ Exercised Warrants 08-Sep-11 23-Jan-09 Preferred Stock w/ Exercised Warrants 25-Aug-11 05-Dec-08 Preferred Stock w/ Warrants 21-Jul-11 12-Jun-09 Preferred Stock w/ Exercised Warrants 05-Dec-08 Preferred Stock w/ Warrants 08-Aug-12 29-May-13 13-Mar-09 Preferred Stock w/ Exercised Warrants 22-Sep-11 27-Mar-09 Preferred Stock w/ Exercised Warrants 13-Mar-09 Preferred Stock w/ Exercised Warrants 24-Apr-09 Preferred Stock w/ Exercised Warrants 22-Feb-13 $0.00 $10,750,000.00 $0.00 $23,393,000.00 $25,000,000.00 $23,393,000.00 $0.00 $0.00 $132,967,606.41 Redeemed, in full; warrants not outstanding $347,000,000.00 $0.00 $11,000,000.00 $0.00 $11,855,555.56 Redeemed, in full; warrants not outstanding $42,750,000.00 $0.00 $51,088,046.14 Redeemed, in full; warrants not outstanding $17,299,000.00 $0.00 $19,401,361.89 Sold, in full; warrants not outstanding $9,550,000.00 $0.00 $0.00 $2,760,000.00 $70,000,000.00 $2,760,000.00 $0.00 $18,215,000.00 $0.00 $30,000,000.00 $3,000,000.00 $60,000,000.00 $30,000,000.00 $3,000,000.00 $0.00 90 $64,779,000.00 64,779 $1,000.00 $41,020,000.00 2,000 $20,510.00 $1,800,000.00 1,800 $1,000.00 $174,537.72 $1,315,959.00 252 1,900 $692.60 $692.60 $69,186.80 108 $5,803,000.00 5,803 $1,000.00 $290,000.00 290 ($8,980,000.00) ($77,462.28) ($584,041.00) $6,815,000.00 6,815 $1,000.00 $341,000.00 341 $17,388,000.00 17,388 $1,000.00 $522,000.00 522 $18,000,000.00 18,000 $1,000.00 $12,500,000.00 12,500 $1,000.00 $10,750,000.00 10,750,000 $1.17 $25,000,000.00 25,000 $1,000.00 $50,000.00 137,966 $625,000.00 625 $1,784,607.50 $727,645.00 538,000 $25,000.00 172,970 $1,700,000.00 1,700,000 $1.00 $120,000,000.00 120,000 $1,000.00 $85,000.00 85,000 $7,414,000.00 7,414 $1,000.00 $11,150,939.74 595,829 $275,000.00 163,065 $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 $15,638,296.00 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 $911,000.00 911 $60,000,000.00 12,903,226 $1,432.56 $146,965,329.86 Sold, in full; warrants not outstanding $13,109,014.25 Sold, in full; warrants not outstanding $5,000,000.00 589,623 $90,000.00 ($1,200,000.00) $1,000.00 $347,164.00 Full investment outstanding; warrants outstanding $3,575,224.44 Sold, in full; warrants not outstanding $0.00 $0.00 $55,000.00 $700.00 4,000 $7,816,685.55 Redeemed, in full; warrants not outstanding $12,900,000.00 $4,862,000.00 303,083 4,000 $4,000,000.00 $3,781,868.83 Full investment outstanding; warrants outstanding $25,358,333.33 Redeemed, in full; warrants not outstanding $120,000,000.00 $8,653,000.00 $0.00 $1,400,000.00 $2,800,000.00 $14,676,257.66 Sold, in full; warrants not outstanding $1,994,587.59 Redeemed, in full; warrants not outstanding $8,653,000.00 $3,070,000.00 200 ($434,971.00) $14,888,679.86 Redeemed, in full; warrants not outstanding $0.00 $0.00 $200,000.00 $850.00 $19,650,000.00 Redeemed, in full; warrants not outstanding $1,700,000.00 $7,414,000.00 145 - 2,900 $6,888,017.86 Redeemed, in full; warrants not outstanding $0.00 $12,500,000.00 651,547 $123,251.45 -$25,000.00 $2,465,029.00 $1,983,756.24 Sold, in full; warrants not outstanding $6,815,000.00 Preferred Stock w/ Exercised Warrants $4,450,000.00 $1,000.00 $1,000.00 $2,153,780.00 Redeemed, in full; warrants not outstanding $17,388,000.00 $0.00 57,671 41,547 41,547 $49,045,470.38 Sold, in full; warrants not outstanding Preferred Stock w/ Exercised Warrants $18,000,000.00 $205,000.00 $41,547,000.00 $41,547,000.00 $67,294,638.84 Redeemed, in full; warrants not outstanding Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants Warrant Proceeds Amount Shares $2,697,208.51 Sold, in full; warrants not outstanding $4,000,000.00 $64,779,000.00 (Realized Loss) / (Write-off) / Gain $95,137,868.33 Redeemed, in full; warrants not outstanding Preferred Stock w/ Warrants Preferred Stock w/ Warrants Capital Repayment / Disposition / Auction3 Amount Shares Avg. Price ($1,660,704.00) $5,718,111.14 Redeemed, in full; warrants not outstanding $5,955,472.22 Redeemed, in full; warrants not outstanding $10,804,763.89 Redeemed, in full; warrants outstanding $364,796.34 Full investment outstanding; warrants outstanding $85,247,569.91 Redeemed, in full; warrants not outstanding $21,632,668.61 Redeemed, in full; warrants not outstanding $2,261,750.00 Full investment outstanding; warrants outstanding $682,158.00 Full investment outstanding; warrants outstanding $75,757,163.03 Sold, in full; warrants not outstanding $3,000,000.00 50 FootNote Institution Name City State 9,59 STATE BANCORP, INC. / VALLEY NATIONAL BANCORP STATE BANCORP, INC. / VALLEY NATIONAL BANCORP JERICHO JERICHO NY NY 13,15,42 STATE BANK OF BARTLEY, THE STATE BANK OF BARTLEY, THE STATE BANKSHARES, INC. STATE BANKSHARES, INC. STATE BANKSHARES, INC. STATE CAPITAL CORP. STATE CAPITAL CORP. STATE STREET CORPORATION STATE STREET CORPORATION STATE STREET CORPORATION BARTLEY BARTLEY FARGO FARGO FARGO GREENWOOD GREENWOOD BOSTON BOSTON BOSTON NE NE ND ND ND MS MS MA MA MA 13,9,12 STEARNS FINANCIAL SERVICES, INC. STEARNS FINANCIAL SERVICES, INC. ST. CLOUD ST. CLOUD MN MN 13,15,43 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. 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 CO CO VA VA VA NY NY NY TX TX TX WA WA WA NJ NJ NJ SD SD SD PA PA PA 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. 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 ELMHURST SANTA ROSA SANTA ROSA SANTA ROSA VINELAND VINELAND VINELAND ATLANTA ATLANTA ATLANTA ATLANTA BIRMINGHAM MOUNT AIRY MOUNT AIRY LITITZ LITITZ LITITZ LITITZ STERLING STERLING SANTA CLARA SANTA CLARA SANTA CLARA IL CA CA CA NJ NJ NJ GA GA GA GA AL NC NC PA PA PA PA IL IL CA CA CA SWORD FINANCIAL CORPORATION SWORD FINANCIAL CORPORATION SYNOVUS FINANCIAL CORP. SYNOVUS FINANCIAL CORP. SYRINGA BANCORP TAYLOR CAPITAL GROUP TAYLOR CAPITAL GROUP TAYLOR CAPITAL GROUP HORICON HORICON COLUMBUS COLUMBUS BOISE ROSEMONT ROSEMONT ROSEMONT WI WI GA GA ID IL IL IL TCB CORPORATION/COUNTY BANK TCB CORPORATION/COUNTY BANK TCB HOLDING COMPANY TCF FINANCIAL CORPORATION TCF FINANCIAL CORPORATION TCF FINANCIAL CORPORATION TCNB FINANCIAL CORP GREENWOOD GREENWOOD THE WOODLANDS WAYZATA WAYZATA WAYZATA DAYTON SC SC TX MN MN MN OH 6,9 6,34,9 10,14 9 9 9 29 42 9,6,12 6,12 13 42 9 9 22,47 9,6,12 9 9,6,12 10,14 13,42,12 9 6 13,15,43 6 9 9,6,12 Date Original Investment Type1 05-Dec-08 Preferred Stock w/ Warrants 14-Dec-11 Subordinated Debentures w/ Exercised 04-Sep-09 Warrants 22-Sep-11 16-Jan-09 Preferred Stock w/ Exercised Warrants 12-Aug-09 29-Jun-11 13-Feb-09 Preferred Stock w/ Exercised Warrants 29-Sep-10 28-Oct-08 Preferred Stock w/ Warrants 17-Jun-09 08-Jul-09 Subordinated Debentures w/ Exercised 26-Jun-09 Warrants 18-Jan-12 Subordinated Debentures w/ Exercised 25-Sep-09 Warrants 01-Sep-11 19-Dec-08 Preferred Stock w/ Warrants 13-Apr-11 28-Dec-11 23-Dec-08 Preferred Stock w/ Warrants 27-Apr-11 18-May-11 12-Dec-08 Preferred Stock w/ Warrants 05-May-09 15-Jun-10 05-Dec-08 Preferred Stock w/ Warrants 20-Aug-12 19-Sep-12 30-Jan-09 Preferred Stock w/ Warrants 01-Sep-11 26-Oct-11 06-Feb-09 Preferred Stock w/ Exercised Warrants 12-Jan-11 16-Mar-11 23-Jan-09 Preferred Stock w/ Exercised Warrants 26-Mar-13 27-Mar-13 Subordinated Debentures w/ Exercised 19-Jun-09 Warrants 19-Dec-08 Preferred Stock w/ Warrants 04-Aug-11 14-Sep-11 09-Jan-09 Preferred Stock w/ Warrants 08-Apr-09 27-May-09 14-Nov-08 Preferred Stock w/ Warrants 31-Dec-08 30-Mar-11 28-Sep-11 05-Dec-08 Preferred Stock w/ Warrants 09-Jan-09 Preferred Stock w/ Exercised Warrants 29-Dec-10 12-Dec-08 Preferred Stock w/ Warrants 21-Apr-10 22-Dec-10 19-Jan-11 10-Apr-09 Preferred Stock w/ Exercised Warrants 31-Aug-11 12-Dec-08 Preferred Stock w/ Warrants 23-Dec-09 16-Jun-10 Subordinated Debentures w/ Exercised 08-May-09 Warrants 15-Sep-11 19-Dec-08 Preferred Stock w/ Warrants 26-Jul-13 16-Jan-09 Preferred Stock w/ Exercised Warrants 21-Nov-08 Preferred Stock w/ Warrants 19-Jun-12 18-Jul-12 Subordinated Debentures w/ Exercised 28-Aug-09 Warrants 08-Sep-11 16-Jan-09 Preferred Stock w/ Exercised Warrants 14-Nov-08 Preferred Stock w/ Warrants 22-Apr-09 21-Dec-09 23-Dec-08 Preferred Stock w/ Exercised Warrants Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* $36,842,000.00 $0.00 $1,697,000.00 $0.00 $2,030,299.18 Redeemed, in full; warrants not outstanding $50,000,000.00 $0.00 $58,008,472.23 Redeemed, in full; warrants not outstanding $15,000,000.00 $2,000,000,000.00 $0.00 $0.00 $11,019,000.00 $0.00 $13,078,672.60 Redeemed, in full; warrants not outstanding $30,000,000.00 $0.00 $34,271,875.00 Redeemed, in full; warrants outstanding $42,000,000.00 $0.00 $47,869,108.33 Redeemed, in full; warrants not outstanding $125,198,000.00 $0.00 $130,542,485.91 Redeemed, in full; warrants not outstanding $15,568,000.00 $10,973,000.00 $0.00 $0.00 $0.00 $15,000,000.00 $8,500,000.00 $15,000,000.00 $0.00 $89,310,000.00 $0.00 $3,500,000,000.00 $1,350,000,000.00 $0.00 $69,000,000.00 $2,000,000.00 $69,000,000.00 $0.00 $300,000,000.00 $0.00 $36,842,000.00 36,842 $1,697,000.00 1,697,000 $1.00 $51,000.00 51,000 $12,500,000.00 $37,500,000.00 12,500 37,500 $1,000.00 $1,000.00 $2,500,000.00 250 $15,000,000.00 15,000 $1,000.00 $750,000.00 750 $2,000,000,000.00 20,000 $100,000.00 $60,000,000.00 2,788,104 $1.00 $1,245,000.00 1,245,000 $331,000.00 331,000 $945,775.00 516,817 $2,857,914.52 2,615,557 $825,000.00 97,541 $107,398.00 133,475 $24,900,000.00 24,900,000 $11,019,000.00 11,019,000 $1.00 $7,500,000.00 $22,500,000.00 7,500 22,500 $1,000.00 $1,000.00 $42,000,000.00 42,000 $1,000.00 $125,198,000.00 125,198 $1,000.00 $114,772,740.00 5,738,637 $20.00 $10,000,000.00 10,000 $1,000.00 $4,000,000.00 $11,568,000.00 4,000 11,568 $1,000.00 $1,000.00 $1,796,209.03 $107,935.66 10,351 622 $173.50 $173.50 $8,500,000.00 8,500 $1,000.00 $89,310,000.00 89,310 $1,000.00 $121,757,209.63 Sold, in full; warrants not outstanding $235,000,000.00 $0.00 $0.00 $13,644,000.00 $0.00 $967,870,000.00 $0.00 $8,000,000.00 $104,823,000.00 $8,000,000.00 $0.00 $9,720,000.00 $0.00 $11,730,000.00 $361,172,000.00 $11,730,000.00 $0.00 $2,000,000.00 $0.00 ($188,227,260.00) $11,400,453.22 Redeemed, in full; warrants not outstanding $18,101,553.84 Redeemed, in full; warrants not outstanding $778,000.00 778 $154,201.44 -$15,138.28 516 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 $2,652,816.96 Sold, in full; warrants not outstanding ($8,554,790.97) ($514,064.34) $2,083,520.25 Full investment outstanding; warrants outstanding $9,930,625.00 Redeemed, in full; warrants not outstanding $92,513,970.83 Redeemed, in full; warrants not outstanding $5,448,052,772.51 Redeemed, in full; warrants not outstanding $4,850,000,000.00 $4,000,000.00 $1,000.00 $2,123,611,111.12 Redeemed, in full; warrants not outstanding $31,495,442.29 Redeemed, in full; warrants not outstanding $10,000,000.00 Warrant Proceeds Amount Shares $17,080,708.67 Redeemed, in full; warrants not outstanding $0.00 $0.00 (Realized Loss) / (Write-off) / Gain $42,414,352.50 Redeemed, in full; warrants outstanding $24,900,000.00 $303,000,000.00 Capital Repayment / Disposition / Auction3 Amount Shares Avg. Price 48,500 $100,000.00 $4,983,333.33 Full investment outstanding; warrants outstanding $2,314,972.22 Redeemed, in full; warrants not outstanding $2,000,000.00 2,000 $1,000.00 $200,000,000.00 $100,000,000.00 200,000 100,000 $1,000.00 $1,000.00 $4,000,000.00 4,000 $1,000.00 $235,000,000.00 235,000 $1,000.00 $328,991,401.58 Redeemed, in full; warrants not outstanding $4,721,382.89 Redeemed, in full; warrants not outstanding $253,929,027.78 Redeemed, in full; warrants not outstanding $17,019,233.91 Redeemed, in full; warrants not outstanding $13,644,000.00 13,644,000 $1.00 $967,870,000.00 967,870 $1,000.00 $93,659,350.50 104,823 $893.50 $1,190,614,526.39 Redeemed, in full; warrants outstanding $253,122.22 Full investment outstanding; warrants outstanding $120,845,170.80 Sold, in full; warrants not outstanding ($11,163,649.50) $11,611,381.34 Redeemed, in full; warrants not outstanding $9,720,000.00 9,720,000 $1.00 $361,172,000.00 361,172 $1,000.00 $690,832.08 Full investment outstanding; warrants outstanding $378,547,699.45 Redeemed, in full; warrants not outstanding $2,384,611.11 Redeemed, in full; warrants not outstanding 51 FootNote 61 6,12 9 9,6,12 42,6,12 10,14 6 9 6,12 42 9 9,34 9,6,12 9,6,12 9 6,42,12 6,12 9 42,6,12 6,12 6,16,19,42 6,19 6,45 9,6,12 6 43 6 42,6,12 42,6,12 Institution Name TCNB FINANCIAL CORP TENNESSEE COMMERCE BANCORP, INC. TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. TEXAS CAPITAL BANCSHARES, INC. TEXAS CAPITAL BANCSHARES, INC. TEXAS CAPITAL BANCSHARES, INC. TEXAS NATIONAL BANCORPORATION INC. TEXAS NATIONAL BANCORPORATION INC. THE ANB CORPORATION THE ANB CORPORATION THE BANCORP, INC. THE BANCORP, INC. THE BANCORP, INC. THE BANK OF CURRITUCK THE BANK OF CURRITUCK THE BANK OF KENTUCKY FINANCIAL CORPORATION THE BANK OF KENTUCKY FINANCIAL CORPORATION THE BANK OF KENTUCKY FINANCIAL CORPORATION THE BANK OF KENTUCKY FINANCIAL CORPORATION THE BARABOO BANCORPORATION, INC. THE BARABOO BANCORPORATION, INC. THE BARABOO BANCORPORATION, INC. THE 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 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 VICTORY BANCORP, INC. THE VICTORY BANCORP, INC. THE VICTORY BANCORP, 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 TIMBERLAND BANCORP, INC. TIMBERLAND BANCORP, INC. TIMBERLAND BANCORP, INC. TIMBERLAND BANCORP, INC. TIMBERLAND BANCORP, INC. TITONKA BANCSHARES, INC. TITONKA 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 City DAYTON FRANKLIN OAK RIDGE OAK RIDGE OAK RIDGE DALLAS DALLAS DALLAS JACKSONVILLE JACKSONVILLE TERRELL TERRELL WILMINGTON WILMINGTON WILMINGTON MOYOCK MOYOCK CRESTVIEW HILLS CRESTVIEW HILLS CRESTVIEW HILLS CRESTVIEW HILLS BARABOO BARABOO BARABOO HARTFORD HARTFORD ELMIRA ELMIRA DAMARISCOTTA DAMARISCOTTA DAMARISCOTTA DAMARISCOTTA HATTIESBURG HATTIESBURG MOBEETIE MOBEETIE HARPER HARPER HARTFORD HARTFORD HARTFORD COLUMBIA COLUMBIA KINSTON KINSTON PITTSBURGH PITTSBURGH PITTSBURGH LOS ANGELES LOS ANGELES LOUISVILLE LOUISVILLE LOUISVILLE LIMERICK LIMERICK LIMERICK ORLANDO ORLANDO ORLANDO NAPLES NAPLES MT. PLEASANT TIFTON HOQUIAM HOQUIAM HOQUIAM HOQUIAM HOQUIAM TITONKA TITONKA HOPKINSVILLE PORTSMOUTH PORTSMOUTH PORTSMOUTH AUSTIN AUSTIN AUSTIN FRONTENAC FRONTENAC WALDORF WALDORF State OH TN TN TN TN TX TX TX TX TX TX TX DE DE DE NC NC KY KY KY KY WI WI WI CT CT NY NY ME ME ME ME MS MS TX TX KS KS CT CT CT MO MO NC NC PA PA PA CA CA GA GA GA PA PA PA FL FL FL FL FL SC GA WA WA WA WA WA IA IA KY VA VA VA TX TX TX MO MO MD MD Date 03-Aug-11 19-Dec-08 23-Dec-08 26-Apr-13 29-Apr-13 16-Jan-09 13-May-09 17-Mar-10 09-Jan-09 19-May-10 07-Aug-09 25-Aug-11 12-Dec-08 10-Mar-10 08-Sep-10 06-Feb-09 03-Dec-10 13-Feb-09 22-Dec-10 23-Nov-11 29-May-13 16-Jan-09 10-Dec-12 11-Dec-12 19-Dec-08 19-Apr-12 19-Dec-08 25-Aug-11 09-Jan-09 24-Aug-11 27-Mar-13 08-May-13 06-Feb-09 29-Sep-10 27-Feb-09 14-Apr-10 06-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 31-Dec-08 10-Feb-10 05-May-10 20-Feb-09 01-Sep-11 09-Jan-09 08-Mar-13 11-Mar-13 27-Feb-09 11-Dec-09 22-Sep-11 23-Jan-09 08-Nov-12 09-Nov-12 05-Dec-08 30-Sep-10 19-Dec-08 17-Apr-09 23-Dec-08 08-Nov-12 09-Nov-12 13-Nov-12 11-Jun-13 03-Apr-09 04-Apr-12 06-Feb-09 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 Original Investment Type1 Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants $30,000,000.00 $3,000,000.00 $30,000,000.00 $0.00 Preferred Stock w/ Warrants $75,000,000.00 $0.00 $82,777,816.21 Redeemed, in full; warrants not outstanding $3,981,000.00 $0.00 $4,475,307.67 Redeemed, in full; warrants not outstanding 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 $20,000,000.00 $0.00 $45,220,000.00 $0.00 $4,021,000.00 $0.00 $34,000,000.00 $20,749,000.00 $0.00 $0.00 Preferred Stock w/ Warrants $5,448,000.00 $0.00 Preferred Stock w/ Warrants $9,090,000.00 $0.00 Preferred Stock w/ Warrants Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants $25,000,000.00 $0.00 $5,000,000.00 $0.00 $731,000.00 $0.00 $301,000.00 $3,400,000,000.00 $15,000,000.00 $7,500,000.00 $7,579,200,000.00 $5,450,000.00 $12,000,000.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants Preferred Stock w/ Warrants $0.00 $4,000,000.00 $76,458,000.00 $4,000,000.00 $0.00 $3,268,000.00 $0.00 $1,022.10 $1,022.10 $75,000,000.00 75,000 $1,000.00 $3,981,000.00 3,981 $1,000.00 $199,000.00 199 $20,000,000.00 20,000 $1,000.00 $1,000,000.00 1,000 $45,220,000.00 45,220 $1,000.00 $4,753,984.55 980,203 $1,742,850.00 4,021 $433.40 $17,000,000.00 $17,000,000.00 17,000 17,000 $1,000.00 $1,000.00 $2,150,648.55 276,078 $1,956,900.00 $11,577,672.70 3,000 17,749 $652.30 $652.30 $407,234.27 $451,244.00 487 550 $5,448,000.00 5,448 $1,000.00 $792,783.00 175,742 $9,090,000.00 9,090 $1,000.00 $12,500,000.00 $2,500,000.00 $10,000,000.00 12,500 2,500 10,000 $1,000.00 $1,000.00 $1,000.00 $5,000,000.00 5,000 $1,000.00 $731,000.00 731 $1,000.00 $37,000.00 37 $301,000.00 301 $1,000.00 $15,000.00 15 $3,400,000,000.00 3,400,000 $1,000.00 $706,264,559.89 52,093,973 $15,000,000.00 15,000 $1,000.00 $750,000.00 750 $7,359,000.00 7,500 $981.20 $371,250.00 375 $7,579,200,000.00 75,792 $100,000.00 $320,372,284.16 16,885,192 $5,450,000.00 5,450 $1,000.00 $273,000.00 273 $244,225.00 $11,478,575.00 250 11,750 $976.90 $976.90 $4,855.00 $571,919.00 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 ($524,562.50) ($252,037.50) ($1,511,537.50) $1,301,856.00 370,899 $2,117,000.00 2,117 $1,000.00 $106,000.00 106 $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 $3,700,000.00 3,700 $1,000.00 $185,000.00 185 $15,540,000.00 15,540 $1,000.00 $777,000.00 777 $6,588.78 $59,741.22 $22,552.20 $121,589.30 20 130 $6,559,066.21 758,086 ($2,278,150.00) ($1,043,100.00) ($6,171,327.30) $10,309,575.00 Redeemed, in full; warrants outstanding $29,332,986.11 Redeemed, in full; warrants outstanding $5,411,805.56 Redeemed, in full; warrants outstanding $813,086.56 Redeemed, in full; warrants not outstanding $379,458.89 Redeemed, in full; warrants not outstanding $4,236,125,671.00 Redeemed, in full; warrants not outstanding $17,580,291.55 Redeemed, in full; warrants not outstanding $9,232,652.17 Sold, in full; warrants not outstanding ($141,000.00) $8,320,638,950.83 Redeemed, in full; warrants not outstanding $6,474,752.14 Redeemed, in full; warrants not outstanding $13,065,246.00 Sold, in full; warrants not outstanding $6,449,130.64 Sold, in full; warrants not outstanding $2,117,000.00 298 2,702 $6,902,866.33 Redeemed, in full; warrants not outstanding $0.00 Preferred Stock w/ Exercised Warrants $298,000.00 $2,702,000.00 $18,023,831.85 Sold, in full; warrants not outstanding $5,677,000.00 $14,448,000.00 $3,800,000.00 $0.00 100 $40,091,342.55 Redeemed, in full; warrants not outstanding Preferred Stock w/ Exercised Warrants $14,448,000.00 $3,800,000.00 $16,641,000.00 $100,000.00 $1,912,684.00 Sold, in full; warrants not outstanding $2,322,183.20 Redeemed, in full; warrants not outstanding Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants $1,000.00 $52,787,673.44 Redeemed, in full; warrants not outstanding $0.00 $0.00 Warrant Proceeds Amount Shares 2,000 $23,234,499.98 Redeemed, in full; warrants not outstanding $541,000.00 $1,505,000.00 $37,000,000.00 (Realized Loss) / (Write-off) / Gain $2,000,000.00 $3,233,333.33 Full investment outstanding; warrants outstanding $3,331,713.17 Sold, in full; warrants not outstanding Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants Capital Repayment / Disposition / Auction3 Amount Shares Avg. Price ($5,775.00) ($271,425.00) $13,444,359.59 Sold, in full; warrants not outstanding $1,195,973.33 Full investment outstanding; warrants outstanding $223,208.00 Full investment outstanding; warrants outstanding $18,857,818.52 Sold, in full; warrants not outstanding $2,569,490.36 Redeemed, in full; warrants not outstanding $931,950.00 Full investment outstanding; warrants outstanding $88,577,166.67 Redeemed, in full; warrants not outstanding $842,415.03 Sold, in full; warrants outstanding Preferred Stock w/ Exercised Warrants $3,700,000.00 $0.00 $4,386,324.64 Redeemed, in full; warrants not outstanding Preferred Stock w/ Exercised Warrants $15,540,000.00 $0.00 $18,653,115.75 Redeemed, in full; warrants not outstanding ($2,618,000.00) 52 FootNote 6,12 Institution Name City State Date 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 TRUSTMARK CORPORATION TRUSTMARK CORPORATION TRUSTMARK CORPORATION TWO RIVERS FINANCIAL GROUP, INC. TWO RIVERS FINANCIAL GROUP, INC. U.S. BANCORP U.S. BANCORP U.S. BANCORP U.S. CENTURY BANK UBT BANCSHARES, INC. UBT BANCSHARES, INC. UCBH HOLDINGS INC. UMPQUA HOLDINGS CORP. UMPQUA HOLDINGS CORP. UMPQUA HOLDINGS CORP. LOS ALAMOS LOS ALAMOS LOS ALAMOS LOS ALAMOS MEMPHIS MEMPHIS PITTSBURGH PITTSBURGH KINGSPORT KINGSPORT KINGSPORT JACKSON JACKSON JACKSON BURLINGTON BURLINGTON MINNEAPOLIS MINNEAPOLIS MINNEAPOLIS MIAMI MARYSVILLE MARYSVILLE SAN FRANCISCO PORTLAND PORTLAND PORTLAND NM NM NM NM TN TN PA PA TN TN TN MS MS MS IA IA MN MN MN FL KS KS CA OR OR OR 27-Mar-09 07-Aug-12 09-Aug-12 10-Aug-12 03-Apr-09 13-Aug-10 27-Feb-09 26-Sep-12 03-Apr-09 22-Dec-09 29-Nov-12 21-Nov-08 09-Dec-09 30-Dec-09 29-May-09 01-Sep-11 14-Nov-08 17-Jun-09 15-Jul-09 07-Aug-09 30-Jan-09 11-Aug-11 14-Nov-08 14-Nov-08 17-Feb-10 31-Mar-10 6,12,16,42,43 UNION BANK & TRUST COMPANY UNION BANK & TRUST COMPANY UNION BANK & TRUST COMPANY 6,15,9 UNION FINANCIAL CORPORATION UNION FINANCIAL CORPORATION 10,14,23 UNION FIRST MARKET BANKSHARES CORPORATION UNION FIRST MARKET BANKSHARES CORPORATION UNION FIRST MARKET BANKSHARES CORPORATION 6 UNITED AMERICAN BANK UNITED BANCORP, INC. UNITED BANCORP, INC. UNITED BANCORP, INC. 9,34 UNITED BANCORPORATION OF ALABAMA, INC. UNITED BANCORPORATION OF ALABAMA, INC. OXFORD OXFORD OXFORD ALBUQUERQUE ALBUQUERQUE BOWLING GREEN BOWLING GREEN BOWLING GREEN SAN MATEO TECUMSEH TECUMSEH TECUMSEH ATMORE ATMORE NC NC NC NM NM VA VA VA CA MI MI MI AL AL 01-May-09 18-Dec-09 22-Sep-11 29-Dec-09 25-Jul-12 19-Dec-08 18-Nov-09 23-Dec-09 20-Feb-09 16-Jan-09 19-Jun-12 18-Jul-12 23-Dec-08 03-Sep-10 13,9,12 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 FINANCIAL BANKING COMPANIES, INC. UNITED FINANCIAL BANKING COMPANIES, INC. UNITED FINANCIAL BANKING COMPANIES, INC. UNITY BANCORP, INC. UNITY BANCORP, INC. UNITY BANCORP, INC. UNIVERSAL BANCORP UNIVERSITY FINANCIAL CORP. UNIVERSITY FINANCIAL CORP. US METRO BANK UWHARRIE CAPITAL CORP UWHARRIE CAPITAL CORP VALLEY COMMERCE BANCORP VALLEY COMMERCE BANCORP VALLEY COMMUNITY BANK 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 BARNESVILLE BARNESVILLE BLAIRSVILLE BLAIRSVILLE BLAIRSVILLE BLAIRSVILLE BLAIRSVILLE VIENNA VIENNA VIENNA CLINTON CLINTON CLINTON BLOOMFIELD ST. PAUL ST. PAUL GARDEN GROVE ALBEMARLE ALBEMARLE VISALIA VISALIA PLEASANTON ROANOKE ROANOKE ROANOKE ROANOKE SAGINAW SAGINAW WAYNE WAYNE WAYNE WAYNE WAYNE GA GA GA GA GA GA GA VA VA VA NJ NJ NJ IN MN MN CA NC NC CA CA CA VA VA VA VA MI MI NJ NJ NJ NJ NJ 22-May-09 03-Jul-12 05-Dec-08 26-Mar-13 27-Mar-13 28-Mar-13 10-Jun-13 16-Jan-09 15-Dec-10 15-Sep-11 05-Dec-08 15-May-13 03-Jul-13 22-May-09 19-Jun-09 30-Jul-10 06-Feb-09 23-Dec-08 03-Apr-13 30-Jan-09 21-Mar-12 09-Jan-09 12-Dec-08 14-Nov-12 20-Feb-13 15-May-13 18-Dec-09 22-Sep-11 14-Nov-08 03-Jun-09 23-Sep-09 23-Dec-09 24-May-10 6,39,42 VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY) DALLAS TX 9 VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY) VILLAGE BANK AND TRUST FINANCIAL CORP. VIRGINIA COMMERCE BANCORP DALLAS MIDLOTHIAN ARLINGTON TX VA VA 9,6,7 9,6 6,12,16 9 42,6,12 9 6 42,6,12 20 10,14 42,9,6 9 6 9,7,13 6 9,6 9,6,12 6 9 6,42,12 9 Original Investment Type1 Preferred Stock w/ Exercised Warrants Original Investment Amount $35,539,000.00 Outstanding Investment $0.00 Total Cash Back2 Investment Status* Capital Repayment / Disposition / Auction3 Amount Shares Avg. Price $2,639,379.50 $7,038,845.50 $16,984,909.75 Preferred Stock Preferred Stock w/ Exercised Warrants $2,795,000.00 $0.00 $2,985,215.11 Redeemed, in full; warrants not outstanding $23,000,000.00 $0.00 $28,642,402.33 Redeemed, in full; warrants not outstanding Preferred Stock w/ Warrants $2,765,000.00 $4,237,000.00 $0.00 Preferred Stock w/ Warrants $215,000,000.00 $0.00 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants Preferred Stock w/ Warrants $12,000,000.00 $6,599,000,000.00 $0.00 $0.00 $298,737,000.00 $0.00 $7,509,920.07 Full investment outstanding; warrants outstanding $232,156,554.58 Redeemed, in full; warrants not outstanding $2,179,000.00 $1,579,000.00 Preferred Stock w/ Warrants $59,000,000.00 $0.00 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants $8,700,000.00 $20,600,000.00 $8,700,000.00 $0.00 Preferred Stock w/ Warrants $10,300,000.00 $0.00 Subordinated Debentures w/ Exercised Warrants Preferred Stock w/ Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants $14,400,000.00 $0.00 $180,000,000.00 $0.00 $5,658,000.00 $20,649,000.00 $0.00 $0.00 $7,700,000.00 $0.00 138 12,000 $1,000.00 $10,000,000.00 1,647,931 $600,000.00 $6,599,000,000.00 6,599,000 $1,000.00 60 $139,000,000.00 32,679,102 $8,950,000.00 8,950 $1,000.00 $450,000.00 45 $214,181,000.00 214,181 $1,000.00 $4,500,000.00 1,110,898 $6,191,000.00 6,191 $1,000.00 $600,000.00 600 $1,000.00 $160,000.00 160 $59,000,000.00 59,000 $1,000.00 $450,000.00 211,318 $17,005,300.00 20,600 $825.50 $10,300,000.00 10,300 $1,000.00 $38,000.00 311,492 $14,400,000.00 14,400,000 $1.00 $1,516,900.00 $12,587,575.00 $159,145,525.00 1,576 13,078 165,346 $962.50 $962.50 $962.50 $720,000.00 720,000 $3,000,000.00 $2,658,000.00 3,000 2,658 $1,000.00 $1,000.00 $6,677.00 219,908 $10,324,000.00 $10,325,000.00 10,324 10,325 $1,000.00 $1,000.00 $283,000.00 283 $11,926,000.00 11,926,000 $1.00 $7,742,000.00 7,742 $1,000.00 $7,700,000.00 7,700 $1,000.00 $385,000.00 385 $1,600,000.00 $1,600,000.00 $1,600,000.00 1,600 1,600 1,600 $1,000.00 $1,000.00 $1,000.00 $1,300,000.00 1,300 $1,000.00 $75,000,000.00 $125,000,000.00 $100,000,000.00 75,000 125,000 100,000 $1,000.00 $1,000.00 $1,000.00 $65,000.00 65 $5,421,615.27 2,532,542 $150,000.00 150 ($3,594,700.00) ($59,100.00) ($490,425.00) ($6,200,475.00) $629,475.50 Full investment outstanding; warrants outstanding $8,323,269.31 Redeemed, in part; warrants outstanding $1,300,000.00 $0.00 $1,489,774.73 Redeemed, in full; warrants not outstanding $0.00 $318,400,781.94 Redeemed, in full; warrants not outstanding $14,738,000.00 $0.00 $124,665.75 $9,403,400.50 Redeemed, in full; warrants not outstanding $300,000,000.00 $14,738,000.00 $71,000,000.00 $12,000,000.00 ($1,750,500.00) $25,306,500.50 Redeemed, in full; warrants outstanding Preferred Stock w/ Exercised Warrants 25-Aug-11 01-May-09 Preferred Stock w/ Warrants 12-Dec-08 Preferred Stock w/ Warrants $750.00 $1,000.00 $6,649,963.92 Redeemed, in full; warrants not outstanding $432,678.00 Full investment outstanding; warrants outstanding $10,091,810.55 Redeemed, in part; warrants outstanding $0.00 7,002 215,000 $18,882,079.62 Redeemed, in full; warrants not outstanding $2,861,000.00 $2,258,000.00 $3,000,000.00 $5,251,500.00 $215,000,000.00 $210,367,527.00 Sold, in full; warrants not outstanding $2,861,000.00 $10,000,000.00 26-Jun-09 Preferred Stock w/ Exercised Warrants 1,150 $11,172,638.89 Redeemed, in full; warrants outstanding Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants $1,150,000.00 $0.00 Full investment outstanding; warrants outstanding $20,315,924.72 Sold, in full; warrants not outstanding $2,147,708.67 Full investment outstanding; warrants outstanding $12,948,886.40 Redeemed, in full; warrants not outstanding Preferred Stock w/ Warrants $1,000.00 $62,145,972.22 Redeemed, in full; warrants not outstanding $9,900,000.00 $0.00 $5,500,000.00 $11,219,000.00 $1,000.00 175 1,396 206 $963,602.22 Redeemed, in part; warrants outstanding $9,900,000.00 $11,926,000.00 $5,500,000.00 $16,019,000.00 2,795 23,000 $164,710.00 $1,313,915.20 $177,162.08 $7,031,291.65 Redeemed, in full; warrants not outstanding Preferred Stock w/ Exercised Warrants Subordinated Debentures Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants $2,795,000.00 $23,000,000.00 ($878,620.50) ($2,343,154.50) ($5,654,090.25) $6,933,220,416.67 Redeemed, in full; warrants not outstanding $298,737,000.00 $214,181,000.00 Preferred Stock w/ Exercised Warrants $750.20 $750.20 $750.20 $14,075,133.27 Redeemed, in full; warrants not outstanding $745,311.72 Full investment outstanding; warrants outstanding $10,634,911.78 Redeemed, in full; warrants not outstanding $0.00 3,518 9,382 22,639 $236,287,500.00 Redeemed, in full; warrants not outstanding $50,236,000.00 $0.00 $3,194,000.00 $2,997,000.00 Warrant Proceeds Amount Shares $6,496,417.16 Sold, in full; warrants not outstanding $50,236,000.00 $8,950,000.00 Preferred Stock w/ Warrants (Realized Loss) / (Write-off) / Gain $34,644,476.74 Sold, in full; warrants not outstanding $3,503,795.81 Redeemed, in full; warrants not outstanding $3,000,000.00 3,000 $1,000.00 $1,318,232.22 Full investment outstanding; warrants outstanding $85,190,138.89 Redeemed, in full; warrants outstanding 53 FootNote 6,15 9,6,12 43,6,12 6,15,9 9 9,14 9 6,16,19,42 6,15 9 9 9 9 9 42 6 6,12,16 6,76,9 6 9 9 6,12 43,6,12 9 Institution Name VIRGINIA COMMERCE BANCORP VIRGINIA COMPANY BANK VISION BANK - TEXAS VISION BANK - TEXAS VISION BANK - TEXAS VIST FINANCIAL CORP. VIST FINANCIAL CORP. W.T.B. FINANCIAL CORPORATION W.T.B. FINANCIAL CORPORATION WACHUSETT FINANCIAL SERVICES, INC. WACHUSETT FINANCIAL SERVICES, INC. WACHUSETT FINANCIAL SERVICES, INC. WAINWRIGHT BANK & TRUST COMPANY WAINWRIGHT BANK & TRUST COMPANY WAINWRIGHT BANK & TRUST COMPANY WASHINGTON BANKING COMPANY WASHINGTON BANKING COMPANY WASHINGTON BANKING COMPANY WASHINGTON FEDERAL, INC. WASHINGTON FEDERAL, INC. WASHINGTON FEDERAL, INC. WASHINGTONFIRST BANKSHARES, INC. WASHINGTONFIRST BANKSHARES, INC. WASHINGTONFIRST BANKSHARES, INC. WAUKESHA BANKSHARES, INC. WAUKESHA BANKSHARES, INC. WAUKESHA BANKSHARES, INC. WAUKESHA BANKSHARES, INC. 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 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. 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 City ARLINGTON NEWPORT NEWS RICHARDSON RICHARDSON RICHARDSON WYOMISSING WYOMISSING SPOKANE SPOKANE CLINTON CLINTON CLINTON BOSTON BOSTON BOSTON OAK HARBOR OAK HARBOR OAK HARBOR SEATTLE SEATTLE SEATTLE RESTON RESTON RESTON WAUKESHA WAUKESHA WAUKESHA WAUKESHA 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 MEDINA MEDINA FAYETTEVILLE NEW ORLEANS NEW ORLEANS WILMINGTON WILMINGTON LOS ANGELES LOS ANGELES LOS ANGELES LAKE FOREST LAKE FOREST LAKE FOREST HUNTSVILLE HUNTSVILLE WILMINGTON WILMINGTON WILMINGTON ELKIN ELKIN ELKIN ELKIN ELKIN YORK YORK SALT LAKE CITY SALT LAKE CITY State VA VA TX TX TX PA PA WA WA MA MA MA MA MA MA WA WA WA WA WA WA VA VA VA WI WI WI WI 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 OH OH AR LA LA DE DE CA CA CA IL IL IL AL AL DE DE DE NC NC NC NC NC PA PA UT UT Date 11-Dec-12 12-Jun-09 24-Apr-09 28-Dec-12 10-Jul-13 19-Dec-08 01-Aug-12 30-Jan-09 15-Sep-11 11-Dec-09 04-Apr-12 30-Jan-13 19-Dec-08 24-Nov-09 16-Dec-09 16-Jan-09 12-Jan-11 02-Mar-11 14-Nov-08 27-May-09 15-Mar-10 30-Jan-09 30-Oct-09 04-Aug-11 26-Jun-09 06-Feb-13 07-Feb-13 08-Feb-13 21-Nov-08 03-Mar-10 13-Oct-10 29-Dec-10 08-Jun-11 28-Oct-08 23-Dec-09 26-May-10 05-Dec-08 09-Sep-09 23-Dec-09 31-Dec-08 29-Jun-11 31-Aug-11 13-Feb-09 02-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 08-Nov-12 09-Nov-12 15-May-09 30-Nov-12 20-Feb-09 19-Dec-08 03-Jun-11 12-Dec-08 13-May-11 12-Dec-08 03-Apr-12 20-Jun-12 19-Dec-08 22-Dec-10 14-Feb-11 15-May-09 24-Jun-13 23-Jan-09 03-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 Original Investment Type1 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants Original Investment Amount Outstanding Investment $4,700,000.00 $1,500,000.00 $4,700,000.00 $0.00 $25,000,000.00 $0.00 Preferred Stock w/ Exercised Warrants $110,000,000.00 $0.00 Preferred Stock w/ Exercised Warrants $12,000,000.00 $5,000,000.00 Total Cash Back2 Investment Status* Preferred Stock w/ Warrants $26,380,000.00 $0.00 $30,628,344.45 Redeemed, in full; warrants not outstanding $6,633,000.00 $6,842,000.00 $0.00 Preferred Stock w/ Exercised Warrants $5,625,000.00 $0.00 Preferred Stock w/ Warrants Preferred Stock w/ Warrants Preferred Stock w/ Warrants Preferred Stock w/ Warrants Preferred Stock w/ Warrants Preferred Stock w/ 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 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Exercised Warrants $7,290,000.00 $6,855,000.00 $4,567,000.00 $7,290,000.00 $0.00 Preferred Stock w/ Exercised Warrants $4,700,000.00 $0.00 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants $16,800,000.00 $300,000,000.00 $16,800,000.00 $0.00 Preferred Stock w/ Warrants $330,000,000.00 $0.00 Preferred Stock w/ Warrants $62,158,000.00 $0.00 Preferred Stock w/ Warrants $250,000,000.00 $0.00 Preferred Stock w/ Exercised Warrants Preferred Stock w/ Warrants Preferred Stock w/ Warrants $2,720,000.00 $52,625,000.00 $36,000,000.00 $13,312,000.00 $0.00 $0.00 $0.00 $787,500.00 $712,500.00 788 713 $1,000.00 $1,000.00 $75,000.00 75 $25,000,000.00 25,000 $1,000.00 $1,189,813.00 367,984 $110,000,000.00 110,000 $1,000.00 $5,500,000.00 5,500 $3,000,000.00 $4,000,000.00 3,000 4,000 $1,000.00 $1,000.00 $22,000,000.00 22,000 $1,000.00 $568,700.00 390,071 $26,380,000.00 26,380 $1,000.00 $1,625,000.00 246,082 $200,000,000.00 200,000 $1,000.00 $15,388,874.07 1,707,456 $332,000.00 332 $18,832.99 $147,006.36 19 150 $20,388,842.06 3,282,276 $840,374,891.73 110,261,688 $950,000.00 439,282 $700,000.00 474,100 $878,256.00 246,698 $415,000.00 787,107 $8,978,713.01 Redeemed, in part; warrants outstanding $23,592,311.11 Redeemed, in full; warrants not outstanding Preferred Stock w/ Warrants $1,000.00 $131,236,874.33 Redeemed, in full; warrants not outstanding $0.00 $0.00 $220,749,985.18 Redeemed, in full; warrants not outstanding $15,317,317.86 Redeemed, 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 $6,398,893.44 Sold, in full; warrants not outstanding Preferred Stock w/ Warrants ($380,997.20) ($7,310.00) ($22,880.30) $457,333,286.51 Redeemed, in full; warrants not outstanding $27,281,347,113.95 Redeemed, in full; warrants not outstanding $78,804,166.67 Redeemed, in full; warrants not outstanding $41,195,000.00 Redeemed, in full; warrants not outstanding $87,360,236.61 Redeemed, in full; warrants not outstanding $160,365,000.00 Redeemed, in full; warrants not outstanding $554,083.00 Full investment outstanding; warrants outstanding $13,053,910.87 Sold, in full; warrants not outstanding $1,050,524.72 $9,673,015.37 1,117 10,305 $940.38 $939.53 ($66,475.28) ($631,984.63) $335,417.06 343 $4,700,000.00 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 $115,940.00 136 $1,800,000.00 175,105 $55,677.00 $20,000.00 91,178 128,663 $244,000.00 244 $5,842,197.92 Redeemed, in full; warrants not outstanding $1,589,583.00 Full investment outstanding; warrants outstanding $343,733,333.33 Redeemed, in full; warrants not outstanding $300,000,000.00 300,000 $1,000.00 $330,000,000.00 330,000 $1,000.00 $58,646,694.58 62,158 $943.50 $250,000,000.00 250,000 $1,000.00 $2,343,851.20 2,720 $861.70 ($376,148.80) $48,157,663.75 52,625 $915.10 ($4,467,336.25) $369,920,833.33 Redeemed, in full; warrants outstanding $68,809,170.52 Sold, in full; warrants not outstanding ($3,511,305.42) $300,704,730.81 Redeemed, in full; warrants not outstanding $2,830,391.20 Sold, in full; warrants not outstanding $57,640,856.64 Sold, in full; warrants not outstanding $52,383,419.85 Sold, in full; warrants not outstanding $44,149,056.00 Preferred Stock w/ Exercised Warrants Warrant Proceeds Amount Shares 71,000 $30,710,646.33 Redeemed, in full; warrants not outstanding $22,000,000.00 $200,000,000.00 (Realized Loss) / (Write-off) / Gain $71,000,000.00 $786,987.25 Full investment outstanding; warrants outstanding $1,898,258.59 Redeemed, in full; warrants not outstanding Preferred Stock w/ Warrants Preferred Stock w/ Warrants Capital Repayment / Disposition / Auction3 Amount Shares Avg. Price $4,871,000.00 $0.00 $5,705,022.14 Redeemed, in full; warrants not outstanding $1,400,000,000.00 $0.00 $1,661,027,529.62 Redeemed, in full; warrants not outstanding 49,312 $893.00 $4,871,000.00 4,871 $1,000.00 $700,000,000.00 700,000 $1,000.00 ($5,162,944.00) 54 FootNote Institution Name ZIONS BANCORPORATION ZIONS BANCORPORATION City SALT LAKE CITY SALT LAKE CITY State Date UT UT 26-Sep-12 05-Dec-12 Original Investment Type1 Original Investment Amount Outstanding Investment Total Cash Back2 Investment Status* Capital Repayment / Disposition / Auction3 Amount Shares Avg. Price $700,000,000.00 TOTALS $204,894,726,320.00 $4,093,476,107.99 $224,093,027,652.81 $197,360,597,423.80 700,000 (Realized Loss) / (Write-off) / Gain Warrant Proceeds Amount Shares $1,000.00 $3,442,361,359.35 $7,666,418.51 $7,868,357,311.77 5,789,909 55 Footnote Footnote Description 1 All pricing is at par. 2 Total Cash Back includes capital repayments, interest and dividends, warrant proceeds, and other income (less expenses). 3 Capital Repayments includes capital repayments, auction proceeds, exchanges into CDCI, and SBLF fundings. 4 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. 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 5 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. 6 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. 7 8 9 10 11 12 13 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. Treasury cancelled the warrants received from this institution due to its designation as a CDFI. Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009. Redemption pursuant to a qualified equity offering. This amount does not include accrued and unpaid dividends, which must be paid at the time of capital repayment. The proceeds associated with the disposition of this investment do not include accrued and unpaid dividends. Subchapter S corporation; Treasury received a warrant to purchase additional subordinated debentures (unless the institution is a CDFI), which it exercised immediately. 14 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. 15 This institution participated in the expansion of CPP for small banks. 16 This institution received an additional investment through the expansion of CPP for small banks. 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 17 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. 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, 18 administrative trustee for Popular, Inc. Popular, Inc. paid a $13 million exchange fee in connection with this transaction. 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 19 holding companies. The institution in which Treasury's original investment was made is shown in parentheses. 20 As of the date of this report, this institution is in bankruptcy proceedings. 21 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. 22 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. 56 Footnote 23 Footnote Description 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. 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. 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 25 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. 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 26 a Subchapter S-Corporation, that comply with the CPP terms applicable to privately held qualified financial institutions. 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 27 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. 24 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 28 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. 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 29 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. 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 30 Deposit Insurance Corporation (FDIC) was named Receiver. 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 31 First Merchants Capital Trust III. 57 Footnote Footnote Description 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 32 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. 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 33 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. 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. 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. 35 Therefore this disposition amount does not represent cash proceeds to Treasury. 34 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 36 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. 37 38 39 40 41 42 43 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. 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. 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. 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. 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. 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. 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. 58 Footnote 44 45 46 47 48 49 50 51 52 53 54 55 56 Footnote Description 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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 57 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. 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”) 58 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. 59 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. 59 Footnote 60 61 62 63 64 65 66 67 68 69 70 71 Footnote Description 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. On 10/29/2012, First Place Financial Corp. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Delaware. 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 72 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. 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. 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 74 discount subject to the satisfaction of the conditions specified in the agreement. 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 75 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. 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 76 preferred stock issued to Treasury was redeemed for the respective principal amount together with accrued and unpaid dividends thereon. 73 60 Footnote Footnote Description 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 77 to the terms of the agreement between Treasury and First Sound entered into on 11/30/2012. 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, 78 Inc. (“Starbuck”) entered into on 12/11/2012. 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 79 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. 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 80 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. 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. On 2/12/13, Treasury entered into an agreement with Florida Bank Group, Inc. (“FBG”) pursuant to which Treasury agreed to sell its CPP preferred stock back to FBG at a discount subject 82 to the satisfaction of the conditions specified in the agreement. 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 83 (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. 81 84 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. 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, 85 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. 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 86 shares of common stock on 3/19/2013. 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 87 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. 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, 88 pursuant to the terms of an agreement among Treasury, Annapolis Bancorp, Inc., and F.N.B. Corporation entered into on 4/6/2013. 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 89 named Receiver. 90 On 04/09/2013, Indiana Bank Corp. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the Southern District of Indiana. 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 91 to sell to C&F the CPP preferred stock and warrant issued by CVB, subject to the conditions specified in such agreement. 61 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. 62 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 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 10/3/2012 6 $1,096,000 $0 12/28/2012 7 $9,734,000 $0 63 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 8 6 6 9/29/2010 9/29/2010 9/29/2010 9/29/2010 9/29/2010 9/29/2010 9/29/2010 9/29/2010 9/29/2010 9/29/2010 9/29/2010 9/29/2010 9/29/2010 9/29/2010 9/29/2010 9/29/2010 9/29/2010 9/30/2010 Name of Institution The Magnolia State Corporation Bancorp of Okolona, Inc. Southern Chautauqua Federal Credit Union Fidelis Federal Credit Union Bethex Federal Credit Union Shreveport Federal Credit Union Carter Federal Credit Union UNITEHERE Federal Credit Union (Workers United Federal Credit Union) North Side Community Federal Credit Union East End Baptist Tabernacle Federal Credit Union Community Plus Federal Credit Union Border Federal Credit Union Opportunities Credit Union First Legacy Community Credit Union Union Settlement Federal Credit Union Southside Credit Union D.C. Federal Credit Union Faith Based Federal Credit Union Greater Kinston Credit Union Hill District Federal Credit Union Freedom First Federal Credit Union Episcopal Community Federal Credit Union Vigo County Federal Credit Union Renaissance Community Development Credit Union Independent Employers Group Federal Credit Union Brooklyn Cooperative Federal Credit Union Purchase Details City State Amount from CPP Investment Description Disposition Details Additional Investment Investment Amount Pricing Mechanism 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 $ 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 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 $ $57,809,900 512,263,100 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. 64 AUTOMOTIVE INDUSTRY FINANCING PROGRAM Exchange/Transfer/Other Details Initial Investment City, State GMAC (Ally) Seller Pricing Mechanism Transaction Type 12/29/2008 Purchase GMAC 5,000,000,000 Par $ 5,000,000,000 N/A 5/21/2009 Purchase GMAC Convertible Preferred Stock w/ Exercised Warrants $ 7,500,000,000 Par 22 12/30/2009 Partial conversion of preferred $ stock for common stock 3,000,000,000 N/A 12/30/2009 Purchase GMAC Convertible Preferred Stock w/ Exercised Warrants $ 1,250,000,000 Par 22, 26 12/30/2010 Partial conversion of preferred $ stock for common stock 5,500,000,000 N/A 26 12/30/2009 Purchase GMAC Trust Preferred Securities w/ Exercised Warrants $ 2,540,000,000 Par 2,670,000,000 N/A 27 GMAC (Ally) 12/29/2008 Purchase 12/31/2008 Purchase 4/22/2009 Purchase General Motors Corporation General Motors Corporation General Motors Corporation Debt Obligation $ Debt Obligation w/ Additional $ Note Debt Obligation w/ Additional $ Note Amount 884,024,131 Par 13,400,000,000 Par 2,000,000,000 Par Date 12/30/2009 3/1/2011 2 5/29/2009 7/10/2009 4 7/10/2009 Type Exchange for convertible preferred stock Exchange for amended and restated Trust Preferred Securities Exchange for equity interest in GMAC Exchange for preferred and common stock in New GM Exchange for preferred and common stock in New GM Amount Pricing Mechanism Date Detroit, MI Description Preferred Stock w/ Exercised $ Warrants $ $ 884,024,131 N/A $ 13,400,000,000 N/A $ 2,000,000,000 N/A Obligor Description GMAC (Ally) 21, 22 GMAC (Ally) 3, 26, 32 Convertible Preferred Stock Amount/Equity % $ General Motors General Motors Corporation Debt Obligation w/ Additional Note $ 4,000,000,000 Par 5 7/10/2009 Exchange for preferred and common stock in New GM $ 4,000,000,000 Amount/ Proceeds Remaining Investment Description Remaining Investment Amount/Equity % $ 2,670,000,000 10, Preferred Stock 11, 24 $ 2,100,000,000 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 10, 11, 25 60.8% Common Stock $ 25 $ 11,743,303,903 Common Stock 36.9% 11/26/2010 Partial Disposition 25 $ 1,761,495,577 Common Stock 32.04% 12/21/2012 Partial Disposition 33 $ 5,500,000,000 Common Stock 21.97% 4/11/2013 Partial Disposition 34 $ 1,637,839,844 Common Stock 17.69% 6/12/2013 Partial Disposition 35 $ 1,031,700,000 Common Stock 7/10/2009 Partial Repayment $ 360,624,198 Debt Obligation $ 6,711,864,407 12/18/2009 Partial Repayment $ 1,000,000,000 Debt Obligation $ 5,711,864,407 1/21/2010 Partial Repayment $ 35,084,421 Debt Obligation $ 5,676,779,986 3/31/2010 Partial Repayment $ 1,000,000,000 Debt Obligation $ 4,676,779,986 4/20/2010 Repayment $ 4,676,779,986 $ 0 11/18/2010 Partial Disposition General Motors Company N/A 12/15/2010 Repayment 13.80% Detroit, MI 5/27/2009 6/3/2009 1/16/2009 Chrysler FinCo Purchase Type 73.8% Common Stock Trust Preferred Securities 27 Date 5,937,500,000 7 5/20/2009 Payment or Disposition1 Treasury Investment After Exchange/Transfer/Other Purchase Purchase Purchase General Motors Corporation General Motors Corporation Chrysler FinCo Debt Obligation w/ Additional $ Note Debt Obligation w/ Additional $ Note Debt Obligation w/ Additional $ Note 360,624,198 30,100,000,000 1,500,000,000 Par Par Par 6 8 7/10/2009 Exchange for preferred and common stock in New GM $ 360,624,198 N/A 7/10/2009 Exchange for preferred and common stock in New GM $ 22,041,706,310 N/A 7/10/2009 Transfer of debt to New GM $ 7,072,488,605 N/A 7/10/2009 Debt left at Old GM $ 985,805,085 N/A 7 General Motors Holdings LLC 11, 12 Debt Obligation $ 7,072,488,605 9 9 Motors Liquidation Company 29 Debt Obligation $ 985,805,085 13 Farmington Hills, MI 1/2/2009 4/29/2009 4/29/2009 5/1/2009 Purchase Chrysler Holding Purchase Chrysler Holding Purchase Chrysler Holding Purchase Old Chrysler Debt Obligation w/ Additional $ Note Debt Obligation w/ Additional $ Note Debt Obligation w/ Additional $ Note Debt Obligation w/ Additional $ Note 4,000,000,000 280,130,642 1,888,153,580 Par Par 6/10/2009 Transfer of debt to New Chrysler $ 4/30/2010 Completion of bankruptcy proceeding; transfer of $ 500,000,000 N/A 19 Chrysler Holding 20 Debt obligation w/ additional note $ 3,500,000,000 3/31/2011 Partial Repayment $ 50,000,000 Debt Obligation $ 935,805,085 4/5/2011 Partial Repayment $ 45,000,000 Debt Obligation $ 890,805,085 5/3/2011 Partial Repayment $ 15,887,795 Debt Obligation $ 874,917,290 12/16/2011 Partial Repayment $ 144,444 Debt Obligation $ 874,772,846 12/23/2011 Partial Repayment $ 18,890,294 Debt Obligation $ 855,882,552 1/11/2012 Partial Repayment $ 6,713,489 Debt Obligation $ 849,169,063 10/23/2012 Partial Repayment $ 435,097 Debt Obligation $ 848,733,966 5/22/2013 Partial Repayment $ 10,048,968 Debt Obligation $ 838,684,999 3/17/2009 Partial Repayment $ 1,496,500,945 4/17/2009 Partial Repayment $ 1,464,690,823 5/18/2009 Partial Repayment $ 1,413,554,739 6/17/2009 Partial Repayment $ 1,369,197,029 7/14/2009 Repayment $ 0 15 (1,888,153,580) N/A 23 Old Carco Liquidation Trust 23 Right to recover proceeds N/A $ 3,499,055 $ 31,810,122 $ $ 51,136,084 44,357,710 Debt Obligation w/ Additional Note Debt Obligation w/ Additional Note Debt Obligation w/ Additional Note Debt Obligation w/ Additional Note Additional Note $ 1,369,197,029 15,000,000 N/A - N/A - 7/14/2009 Repayment* $ 5/14/2010 Termination and settlement payment 20 $ 1,900,000,000 7/10/2009 Repayment $ 280,130,642 5/10/2010 Proceeds from sale of collateral $ 30,544,528 14 16 N/A 9 N/A $ 0 Right to recover proceeds N/A 65 5/20/2009 Chrysler Purchase Old Chrysler Debt Obligation w/ Additional $ Note - - collateral security to liquidation trust 17 $ 9,666,784 Right to recover proceeds N/A 12/29/2010 Proceeds from sale of collateral $ Right to recover 7,844,409 proceeds N/A 4/30/2012 Proceeds from sale of collateral $ 9,302,185 Right to recover proceeds N/A 5/24/2011 Repayment - Principal $ 5,076,460,000 5/24/2011 Termination of undrawn facility 31 $ 2,065,540,000 5/24/2011 Repayment* - Additional Note $ 288,000,000 5/24/2011 Repayment* - Zero Coupon Note $ 100,000,000 7/21/2011 Disposition $ 560,000,000 Total Payments $ 43,074,303,341 Additional Proceeds * $ 403,000,000 9/9/2010 Proceeds from sale of collateral Auburn Hills, MI 5/27/2009 Purchase New Chrysler Debt Obligation w/ Additional $ Note, Zero Coupon Note, Equity 18 6,642,000,000 N/A 6/10/2009 Issuance of equity in New Chrysler $ - N/A Chrysler Group LLC Chrysler Group LLC Total Initial Investment Amount $ 19, 31 Debt obligation w/ additional note & zero coupon note 30 81,344,932,551 Total Treasury Investment Amount $ Common equity $ 7,142,000,000 6.6% N/A $ 0 N/A - 32,716,935,630 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. 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. 66 AUTOMOTIVE SUPPLIER SUPPORT PROGRAM Seller Footnote Date Name of Institution City State Transaction Type Investment Description Investment Amount Pricing Mechanism Adjustment Details Adjustment Adjusted or Final Amount Investment Amount Adjustment Date Payment or Disposition4 Date 2/11/2010 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 6 2 4/9/2009 Chrysler Receivables SPV LLC INITIAL TOTAL $ 5,000,000,000 Wilmington DE Purchase ADJUSTED TOTAL Debt Obligation w/ Additional Note $ $ 1,500,000,000 N/A 7/8/2009 3 $ (500,000,000) 7 413,076,735 2,500,000,000 Total Repayments $ 413,076,735 $ 290,000,000 $ 1,000,000,000 $ 123,076,735 Remaining Investment Description Type 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. 67 AUTOMOTIVE INDUSTRY FINANCING PROGRAM - GENERAL MOTORS COMPANY COMMON STOCK DISPOSITION Date 01/18/13 – 04/17/13 3 Pricing Mechanism1 Number of Shares $28.0490 58,392,078 Total Proceeds: Proceeds2 $ 1,637,839,844 $1,637,839,844 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. 68 TARGETED INVESTMENT PROGRAM Seller Footnote 1 Date Name of Institution 12/31/2008 Citigroup Inc. Bank of America 1/16/2009 Corporation Treasury Investment Remaining After Capital Repayment Capital Repayment Details State Transaction Type New York NY Purchase Charlotte NC Purchase City Investment Amount Pricing Mechanism Capital Repayment Date Investment Description Trust Preferred Securities w/ Warrants Preferred Stock w/ Warrants $ 20,000,000,000 Par 12/23/2009 $ 20,000,000,000 Par 12/9/2009 TOTAL $ 2 Capital Repayment Amount Remaining Capital Amount $ 20,000,000,000 $ $ 20,000,000,000 $ $ 40,000,000,000 Final Disposition Remaining Capital Description Final Disposition Date 0 Warrants 1/25/2011 A Warrants $ 190,386,428 0 Warrants 3/3/2010 A Warrants $ 1,236,804,513 $ 1,427,190,941 3 Final Disposition Description Final Disposition Proceeds 2 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 1 Date 1/16/2009 Seller Name of Institution Citigroup Inc. 12/23/2009 Citigroup Inc. City New York New York State NY NY Type Guarantee Termination Premium Description Master Agreement Termination Agreement Guarantee Limit $ $ Preferred Stock 5,000,000,000 w/ Warrants $ Exchange/Transfer/Other Details Amount $ Date 2 6/9/2009 Exchange preferred stock for Trust Preferred Securities $ trust preferred securities w/ Warrants 4,034,000,000 4 9/29/2010 Exchange trust preferred securities for trust preferred securities 2,246,000,000 4,034,000,000 Type Payment or Disposition Footnote Description Amount Trust Preferred Securities $ w/ Warrants Footnote Date Type 3 12/23/2009 5 9/30/2010 Disposition $ 1/25/2011 Warrant Auction $ Partial cancellation for early termination of guarantee Amount $ (1,800,000,000) Remaining Premium Description Trust Preferred Securities w/ Warrants Remaining Premium $ 2,234,000,000 $ 0 67,197,045 None $ 0 $ 894,000,000.00 None $ 0 2,246,000,000 Warrants (5,000,000,000) 3 TOTAL Description 0 6 12/28/2012 7 2/4/2013 Trust preferred securities received from the FDIC Exchange Trust preferred securities for subordinated note Trust Preferred Securities $ 800,000,000.00 $ 894,000,000.00 Subordinated Note 8 2/8/2013 Disposition Total Proceeds $ 3,207,197,045 1/ In consideration for the guarantee, Treasury received $4.03 billion of preferred stock, which pays 8% interest. 2/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock Series G (AGP Shares), received as premium with the AGP agreement, “dollar for dollar” for Trust Preferred Securities. 3/ On 12/23/2009, Treasury entered into a Termination Agreement with the other parties to the Master Agreement which served to terminate Treasury’s guarantee and obligations under the Master Agreement. In connection with the early termination of the guarantee, Treasury agreed to cancel $1.8 billion of the AGP Trust Preferred Securities, and the Federal Deposit Insurance Corporation (FDIC) and Treasury agreed that, subject to the conditions set out in the Termination Agreement, the FDIC may transfer $800 million of Trust Preferred Securities to Treasury at the close of Citigroup’s participation in the FDIC’s Temporary Liquidity Guarantee Program. 4/ On 9/29/2010, Treasury entered into an agreement with Citigroup Inc. to exchange $2,234,000,000 in aggregate liquidation preference of its trust preferred securities for $2,246,000,000 in aggregate liquidation preference of trust preferred securities with certain modified terms. At the time of exchange, Citigroup Inc. paid the outstanding accrued and unpaid dividends. 5/ On 9/30/2010, Treasury entered into underwritten offering of the trust preferred securities, the gross proceeds of which do not include accumulated and unpaid distributions from the date of the exchange through the closing date. 6/ 12/28/2012, as contemplated by the Termination Agreement and the Letter Agreement dated 12/23/2009, between Treasury and the Federal Deposit Insurance Corporation (FDIC), Treasury received from the FDIC, Citigroup Inc. trust preferred securities in aggregate liquidation preference equal to $800 million and approximately $183 million in dividend and interest payments from those securities. 7/ On 2/4/2013, Treasury exchanged $800 million in Citigroup Capital XXXIII Trust Preferred Securities (TruPs) for $894 million in Citigroup subordinated notes pursuant to an agreement between Citigroup and Treasury executed on 2/4/2013. Accrued interest on the TruPs was received at the time of the exchange. 8/ On 2/8/2013, Treasury completed the sale of its Citigroup subordinated notes for $894 million plus accrued interest, pursuant to an underwriting agreement executed on 2/8/2012. 69 AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM (formerly referred to as Systemically Significant Failing Institutions Program) Seller Name of Institution Note Date 1 11/25/2008 AIG 2, 3 4/17/2009 AIG Purchase Details Exchange/Transfer Details State Transaction Type New York NY Purchase Preferred Stock w/ Warrants (Series D) $ 40,000,000,000 Par New York NY Purchase Preferred Stock w/ Warrants (Series F) $ 29,835,000,000 Par City Investment Description Investment Amount Pricing Mechanism 2 Date Transaction Type 4/17/2009 Exchange Pricing Mechanism Amount Investment Description Preferred Stock w/ Warrants (Series E) 1 $ 40,000,000,000 Par See table below for exchange/transfer details in connection with the recapitalization conducted on 1/14/2011. Final Disposition TOTAL $ 69,835,000,000 Date Investment Transaction Type 3/1/2013 Warrants (Series D) Repurchase $ 25,150,923.10 3/1/2013 Warrants (Series F) Repurchase $ 5,767.50 Total Warrant Proceeds $ Proceeds 25,156,690.60 1/ On 4/17/2009, Treasury exchanged its Series D Fixed Rate Cumulative Preferred Shares for Series E Fixed Rate Non-Cumulative Preferred Shares with no change to Treasury's initial investment amount. In addition, in order for AIG to fully redeem the Series E Preferred Shares, it had an additional obligation to Treasury of $1,604,576,000 to reflect the cumulative unpaid dividends for the Series D Preferred Shares due to Treasury through and including the exchange date. 2/ The investment amount reflected Treasury's commitment to invest up to $30 billion less a reduction of $165 million representing retention payments AIG Financial Products made to its employees in March 2009. 3/ This transaction does not include AIG's commitment fee of an additional $165 million paid from its operating income over the life of the facility. A $55 million payment was received by Treasury on 12/17/2010. The remaining $110 million payment was received by Treasury on 05/27/2011. AIG POST-RECAPITALIZATION Recapitalization Note Date Investment Description Treasury Holdings Post-Recapitalization Transaction Type Exchange Pricing Mechanism Par Investment Description Preferred Stock (Series G) AIA Preferred Units 4 1/14/2011 Preferred Stock (Series F) Exchange Exchange 1/14/2011 Preferred Stock (Series E) 1/14/2011 Common Stock (non-TARP) Exchange Transfer Amount / Shares $ $ 2,000,000,000 16,916,603,568 $ 3,375,328,432 167,623,733 924,546,133 N/A 6 Date 7 N/A ALICO Junior Preferred Interests 5 Final Disposition Common Stock 562,868,096 7 Transaction Type Proceeds 8 Pricing Mechanism 5/27/2011 Cancellation $ 2/14/2011 Payment $ 185,726,192 - N/A Par 3/8/2011 Payment $ 5,511,067,614 Par 3/15/2011 Payment $ 55,833,333 Par 8/17/2011 Payment $ 97,008,351 Par 8/18/2011 Payment $ 2,153,520,000 Par 9/2/2011 Payment $ 55,885,302 Par 11/1/2011 Payment $ 971,506,765 Par 3/8/2012 Payment $ 5,576,121,382 Par 3/15/2012 Payment $ 1,521,632,096 Par 3/22/2012 Payment $ 1,493,250,339 Par 2/14/2011 Payment $ 2,009,932,072 Par 3/8/2011 Payment $ 1,383,888,037 Par 3/15/2012 Payment $ 44,941,843 Par 5/24/2011 Partial Disposition $ 5,800,000,000 N/A 3/8/2012 Partial Disposition $ 6,000,000,008 N/A 5/6/2012 Partial Disposition $ 4,999,999,993 N/A 5/7/2012 Partial Disposition $ 749,999,972 N/A 8/3/2012 Partial Disposition $ 4,999,999,993 N/A 8/6/2012 Partial Disposition $ 750,000,002 N/A 9/10/2012 Partial Disposition $ 17,999,999,973 N/A 9/11/2012 Partial Disposition $ 2,699,999,965 N/A 12/14/2012 Final Disposition $ 7,610,497,570 N/A Remaining Recap Investment Amount, Shares, or Equity % $ 0 10 $ 0 8 $ 0 8 1,455,037,962 9 77% 1,248,141,410 11 70% 1,084,206,984 12 63% 1,059,616,821 12 61% 895,682,395 13 55% 871,092,231 13 53% 317,246,078 14 22% 234,169,156 14 16% 234,169,156 15 0% Footnotes appear on following page. 70 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. 71 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 3/3/2009 TALF LLC Wilmington DE Purchase Debt Obligation w/ Additional Note $ 20,000,000,000 3 $ 1,400,000,000 $ 100,000,000 Total Investment Amount $ 100,000,000 N/A 1/15/2013 Final Investment Amount 4 $ 100,000,000 Repayment 5 Description Date Amount 2/6/2013 Principal Repayment $ 100,000,000 2/6/2013 3/6/2013 4/4/2013 5/6/2013 6/6/2013 7/5/2013 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 $ 529,209,332 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. 72 CREDIT MARKET PROGRAMS SBA 7a SECURITIES PURCHASE PROGRAM Purchase Details 1 Date 3/19/2010 3/19/2010 3/19/2010 4/8/2010 4/8/2010 5/11/2010 5/11/2010 5/11/2010 5/25/2010 5/25/2010 6/17/2010 6/17/2010 7/14/2010 7/14/2010 7/14/2010 7/29/2010 7/29/2010 8/17/2010 8/17/2010 8/17/2010 8/31/2010 8/31/2010 8/31/2010 9/14/2010 9/14/2010 9/14/2010 9/14/2010 9/28/2010 9/28/2010 9/28/2010 9/28/2010 Investment Description Floating Rate SBA 7a security due 2025 Floating Rate SBA 7a security due 2022 Floating Rate SBA 7a security due 2022 Floating Rate SBA 7a security due 2034 Floating Rate SBA 7a security due 2016 Floating Rate SBA 7a security due 2020 Floating Rate SBA 7a security due 2035 Floating Rate SBA 7a security due 2033 Floating Rate SBA 7a security due 2029 Floating Rate SBA 7a security due 2033 Floating Rate SBA 7a security due 2020 Floating Rate SBA 7a security due 2034 Floating Rate SBA 7a security due 2020 Floating Rate SBA 7a security due 2025 Floating Rate SBA 7a security due 2034 Floating Rate SBA 7a security due 2017 Floating Rate SBA 7a security due 2034 Floating Rate SBA 7a security due 2020 Floating Rate SBA 7a security due 2019 Floating Rate SBA 7a security due 2020 Floating Rate SBA 7a security due 2020 Floating Rate SBA 7a security due 2024 Floating Rate SBA 7a security due 2020 Floating Rate SBA 7a security due 2020 Floating Rate SBA 7a security due 2021 Floating Rate SBA 7a security due 2029 Floating Rate SBA 7a security due 2026 Floating Rate SBA 7a security due 2035 Floating Rate SBA 7a security due 2034 Floating Rate SBA 7a security due 2034 Floating Rate SBA 7a security due 2035 Total Purchase Face Amount Settlement Details Purchase Face Amount 3 $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 4,070,000 7,617,617 8,030,000 23,500,000 8,900,014 10,751,382 12,898,996 8,744,333 8,417,817 17,119,972 34,441,059 28,209,085 6,004,156 6,860,835 13,183,361 2,598,386 9,719,455 8,279,048 5,000,000 10,000,000 9,272,482 10,350,000 6,900,000 8,902,230 8,050,000 5,750,000 5,741,753 3,450,000 11,482,421 13,402,491 14,950,000 $ 332,596,893 Pricing Mechanism TBA or PMF3 Investment Amount Settlement Date 107.75 109 108.875 110.502 107.5 106.806 109.42 110.798 110.125 109.553 110.785 112.028 106.625 108.505 111.86 108.4375 106.75 110.198 110.088 110.821 110.515 112.476 105.875 111.584 110.759 106.5 110.5 110.875 113.838 113.9 114.006 - 3/24/2010 3/24/2010 3/24/2010 5/28/2010 4/30/2010 6/30/2010 6/30/2010 6/30/2010 7/30/2010 7/30/2010 8/30/2010 8/30/2010 9/30/2010 9/30/2010 9/30/2010 9/30/2010 10/29/2010 9/30/2010 10/29/2010 10/29/2010 9/29/2010 10/29/2010 11/30/2010 10/29/2010 11/30/2010 11/30/2010 11/30/2010 11/30/2010 12/30/2010 11/30/2010 12/30/2010 TOTAL INVESTMENT AMOUNT 2, 3 $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ Senior Security Proceeds 4 $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 2,184 4,130 4,348 12,983 4,783 5,741 7,057 4,844 4,635 9,377 19,077 15,801 3,200 3,722 7,373 1,408 5,187 4,561 2,752 5,541 5,123 5,820 3,652 4,966 4,458 3,061 3,172 1,912 6,535 7,632 8,521 Total Senior Security Proceeds $ 183,555 $ 4,377,249 8,279,156 8,716,265 26,041,643 9,598,523 11,511,052 14,151,229 9,717,173 9,294,363 18,801,712 38,273,995 31,693,810 6,416,804 7,462,726 14,789,302 2,826,678 10,394,984 9,150,989 5,520,652 11,115,031 10,277,319 11,672,766 7,319,688 9,962,039 8,940,780 6,134,172 6,361,173 3,834,428 13,109,070 15,308,612 17,092,069 TBA or PMF3 - Final Disposition 368,145,452 Trade Date PMF6 6/21/2011 10/19/2011 6/21/2011 6/7/2011 6/7/2011 6/7/2011 6/7/2011 6/7/2011 6/7/2011 9/20/2011 6/21/2011 9/20/2011 6/21/2011 10/19/2011 6/21/2011 1/24/2012 6/21/2011 9/20/2011 10/19/2011 10/19/2011 9/20/2011 10/19/2011 1/24/2012 1/24/2012 1/24/2012 1/24/2012 1/24/2012 10/19/2011 1/24/2012 10/19/2011 1/24/2012 - Purchase Face Amount 3 $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 4,070,000 7,617,617 8,030,000 23,500,000 8,900,014 10,751,382 12,898,996 8,744,333 8,417,817 17,119,972 34,441,059 28,209,085 6,004,156 6,860,835 13,183,361 2,598,386 9,719,455 8,279,048 5,000,000 10,000,000 9,272,482 10,350,000 6,900,000 8,902,230 8,050,000 5,750,000 5,741,753 3,450,000 11,482,421 13,402,491 14,950,000 Current Face Amount 6, 8 $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 3,151,186 5,891,602 5,964,013 22,350,367 6,542,218 9,819,270 12,570,392 8,483,188 8,171,159 15,030,712 32,656,125 25,930,433 5,656,049 6,520,875 12,704,841 1,903,407 9,531,446 6,425,217 4,580,543 9,030,539 8,403,846 10,099,555 6,236,800 7,503,681 7,053,867 5,473,724 4,307,881 3,367,168 10,592,775 12,963,737 14,562,161 Life-to-date Principal Received Disposition Amount 5, 6 1, 8 $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 902,633 1,685,710 2,022,652 1,149,633 2,357,796 932,112 328,604 261,145 246,658 2,089,260 1,784,934 2,278,652 348,107 339,960 478,520 694,979 188,009 1,853,831 419,457 969,461 868,636 250,445 663,200 1,398,549 996,133 276,276 1,433,872 82,832 889,646 438,754 387,839 $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 3,457,746 6,462,972 6,555,383 25,039,989 7,045,774 10,550,917 13,886,504 9,482,247 8,985,818 16,658,561 36,072,056 29,142,474 6,051,772 7,105,304 14,182,379 2,052,702 10,223,264 7,078,089 5,029,356 9,994,806 9,230,008 11,314,651 6,556,341 8,269,277 7,703,610 5,764,858 4,693,918 3,698,411 11,818,944 14,433,039 16,383,544 Disposition Proceeds $ 334,924,711 TOTAL PROGRAM PROCEEDS TO DATE7 $ 376,748,302 1/ The amortizing principal and interest payments are reported on the monthly Dividends and Interest Report available at www.FinancialStability.gov. 2/ Investment Amount is stated after applying the appropriate month's factor and includes accrued interest paid at settlement, if applicable. 3/ If a purchase is listed as TBA, or To-Be-Announced, the underlying loans in the SBA Pool have yet to come to market, and the TBA pricing mechanism, purchase face amount, investment amount and senior security proceeds will be adjusted within the variance permitted under the program terms. If a purchase is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security and senior security are priced according to the prior-month's factor. The PMF investment amount and senior security proceeds will be adjusted after publication of the applicable month's factor (on or about the 11th business day of each month). 4/ In order to satisfy the requirements under Section 113 of the Emergency Economic Stabilization Act of 2008, Treasury will acquire a senior indebtedness instrument (a Senior Security) from the seller of each respective SBA 7a Security. Each Senior Security will (i) have an aggregate principal amount equal to the product of (A) 0.05% and (B) the Investment Amount (excluding accrued interest) paid by Treasury for the respective SBA 7a Security, and (ii) at the option of the respective seller, may be redeemed at par value immediately upon issuance, or remain outstanding with the terms and conditions as set forth in the Master Purchase Agreement. 5/ Disposition Amount is stated after applying the appropriate month's factor and includes accrued interest received at settlement, if applicable. If the disposition is listed as PMF, the disposition amount will be adjusted after publication of the applicable month's factor. 6/ If a disposition is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security is priced according to the prior-month's factor. The PMF disposition amount will be adjusted after publication of the applicable month's factor (on or about the 11th business day of each month). 7/ Total Program Proceeds To Date includes life-to-date disposition proceeds, life-to-date principal received, life-to-date interest received, and senior security proceeds (excluding accruals). 8/ The sum of Current Face Amount and Life-to-date Principal Received will equal Purchase Face Amount for CUSIPs that were originally purchased as TBAs only after the applicable month's factor has been published and trailing principal & interest payments have been received. 73 CREDIT MARKET PROGRAMS LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP) Preliminary Adjusted Seller Footnote Date 1 9/30/2009 2 1 9/30/2009 9/30/2009 Name of Institution UST/TCW Senior Mortgage Securities Fund, L.P. UST/TCW Senior Mortgage Securities Fund, L.P. Invesco Legacy Securities Master Fund, L.P. Commitment City Wilmington Wilmington Wilmington Transaction State Type DE DE DE Purchase Purchase Purchase Commitment Amount Investment Description Membership Interest Debt Obligation w/ Contingent Proceeds Membership Interest $ $ $ 1,111,111,111 2,222,222,222 1,111,111,111 Pricing Mechanism Date Par 1/4/2010 Par Par 1/4/2010 3 Amount 4 $ 4 $ 156,250,000 200,000,000 3/22/2010 6 $ 1,244,437,500 Final Investment Final Commitment Amount Date 1/4/2010 1/4/2010 7/16/2010 7 Amount Amount 4 $ 4 $ $ 156,250,000 200,000,000 856,000,000 9 Amount $ $ $ 156,250,000 200,000,000 580,960,000 Capital Repayment Details Repayment Date 1/15/2010 9/30/2009 Invesco Legacy Securities Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 9/26/2011 8 $ 1,161,920,000 $ 1,161,920,000 Repayment Amount $ 156,250,000 Amount $ 1/11/2010 $ 34,000,000 $ 1/12/2010 $ 166,000,000 $ 2/18/2010 $ 2,444,347 $ Description 0 0 578,515,653 Membership Interest $ 3,533,199 $ 574,982,454 Membership Interest 30,011,187 $ 544,971,267 Membership Interest 11/15/2010 $ 66,463,982 $ 478,507,285 Membership Interest 12/14/2010 $ 15,844,536 $ 462,662,749 Membership Interest 1/14/2011 $ 13,677,726 $ 448,985,023 Membership Interest 2/14/2011 $ 48,523,845 $ 400,461,178 Membership Interest 3/14/2011 $ 68,765,544 $ 331,695,634 Membership Interest 4/14/2011 $ 77,704,254 $ 253,991,380 Membership Interest 5/20/2011 $ 28,883,733 $ 225,107,647 Membership Interest 6/14/2011 $ 9,129,709 $ 215,977,938 Membership Interest 7/15/2011 $ 31,061,747 $ 184,916,192 Membership Interest 8/12/2011 $ 10,381,214 $ 174,534,977 Membership Interest 10/17/2011 $ 6,230,731 $ 168,304,246 Membership Interest 12/14/2011 $ 1,183,959 $ 167,120,288 Membership Interest 1/17/2012 $ 1,096,185 $ 166,024,103 Membership Interest 2/14/2012 $ 1,601,688 $ 164,422,415 Membership Interest 3/14/2012 $ 3,035,546 $ 161,386,870 Membership Interest 2/18/2010 $ 4,888,718 $ $ 4/15/2010 $ 7,066,434 $ 9/15/2010 $ 60,022,674 $ 11/15/2010 $ 132,928,628 $ 12/14/2010 $ 31,689,230 $ 1/14/2010 $ 27,355,590 $ 2/14/2011 $ 92,300,138 $ 3/14/2011 $ 128,027,536 $ 4/14/2011 $ 155,409,286 $ 5/20/2011 $ 75,085,485 $ 6/14/2011 $ 18,259,513 $ 7/15/2011 $ 62,979,809 $ 8/12/2011 $ 20,762,532 $ 10/17/2011 $ 37,384,574 $ 12/14/2011 $ 7,103,787 $ Proceeds 5 Distribution 2/24/2010 Final Distribution 1/29/2010 Distribution 2/24/2010 Final Distribution 3/29/2012 Distribution 8/9/2012 Distribution 9/28/2012 Final Distribution 6/4/2013 Adjusted Distribution 7/8/2013 Distribution Contingent Proceeds $ 161,386,870 Description 1/29/2010 5 $ 20,091,872 $ 48,922 Debt Obligation w/ Contingent 166,000,000 Proceeds 9/15/2010 $ Distribution or Disposition Date Membership Interest 4/15/2010 3/29/2012 2 Investment After Capital Repayment 0 Membership Interest 5 $ 502,302 $ 1,223 $ 56,390,209 $ 1,056,751 $ 18,772 $ 69,399 $ 64,444 5 10 10 10 10 10 10 10 10 10 10 10 10 10 10 10 10 10 10 5 5 10 5, 14 5 5, 13 Debt Obligation w/ Contingent 1,157,031,282 Proceeds Debt Obligation w/ Contingent 1,149,964,848 Proceeds Debt Obligation w/ Contingent 1,089,942,174 Proceeds Debt Obligation w/ Contingent 957,013,546 Proceeds Debt Obligation w/ Contingent 925,324,316 Proceeds Debt Obligation w/ Contingent 897,968,726 Proceeds Debt Obligation w/ Contingent 805,668,588 Proceeds Debt Obligation w/ Contingent 677,641,052 Proceeds Debt Obligation w/ Contingent 522,231,766 Proceeds Debt Obligation w/ Contingent 447,146,281 Proceeds Debt Obligation w/ Contingent 428,886,768 Proceeds Debt Obligation w/ Contingent 365,906,960 Proceeds Debt Obligation w/ Contingent 345,144,428 Proceeds Debt Obligation w/ Contingent 307,759,854 Proceeds Debt Obligation w/ Contingent 300,656,067 Proceeds 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 10/1/2009 Wellington Management Legacy Securities PPIF Master Fund, LP Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,262,037,500 7/16/2010 $ 1,149,487,000 $ 1,149,487,000 Repayment Amount Amount 1/17/2012 $ 6,577,144 $ 2/14/2012 $ 9,610,173 $ 3/14/2012 1 Investment After Capital Repayment $ 284,468,750 $ Description Distribution or Disposition Date 1 10/1/2009 10/2/2009 Wellington Management Legacy Securities PPIF Master Fund, LP AllianceBernstein Legacy Securities Master Fund, L.P. Wilmington Wilmington DE DE Purchase Purchase Debt Obligation w/ Contingent Proceeds Membership Interest $ $ 2,222,222,222 1,111,111,111 Par Par 3/22/2010 6 $ 2,524,075,000 3/22/2010 6 $ 1,244,437,500 7/16/2010 7/16/2010 $ $ 2,298,974,000 1,150,423,500 $ $ 2,298,974,000 0 Contingent Proceeds 7/16/2012 $ 62,499,688 $ 1,086,987,313 Membership Interest 9/17/2012 $ 152,499,238 $ 934,488,075 Membership Interest 1/15/2013 $ 254,581,112 $ 679,906,963 Membership Interest 2/13/2013 $ 436,447,818 $ 243,459,145 Membership Interest 3/13/2013 $ 243,459,145 $ 1,064,141,738 6/26/2012 $ 125,000,000 $ 9/17/2012 $ 305,000,000 $ 12/6/2012 $ 800,000,000 $ 12/21/2012 $ 630,000,000 $ 1/15/2013 $ 97,494,310 $ 1/24/2013 $ 341,479,690 $ 0 Membership Interest Distribution 8/9/2012 Distribution 9/28/2012 Final Distribution 6/4/2013 Adjusted Distribution 7/8/2013 Distribution 3/13/2013 Distribution 2 10/2/2009 AllianceBernstein Legacy Securities Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 7/16/2010 $ 2,300,847,000 12 $ 2,128,000,000 10 - Contingent Proceeds 10 2/14/2011 $ 712,284 $ 1,063,385,410 Membership Interest 10 1,056,669,083 Membership Interest 10 3/14/2011 $ 6,716,327 $ 4/14/2011 $ 7,118,388 $ 1,049,550,694 Membership Interest 10 5/14/2012 $ 39,999,800 $ 1,009,550,894 Membership Interest 10 6/14/2012 $ 287,098,565 $ 722,452,330 Membership Interest 10 7/16/2012 $ 68,749,656 $ 653,702,674 Membership Interest 10 8/14/2012 $ 361,248,194 $ 292,454,480 Membership Interest 10 $ 30,244,575 $ 6/14/2011 5/3/2012 $ 88,087 $ $ 80,000,000 $ 5/14/2012 $ 30,000,000 $ 5/23/2012 $ 500,000,000 $ 6/14/2012 $ 44,200,000 $ 6/25/2012 $ 120,000,000 $ 7/16/2012 $ 17,500,000 $ 7/27/2012 $ 450,000,000 $ 8/14/2012 $ 272,500,000 $ 8/22/2012 $ 583,467,339 $ 5, 13 469 $ 1,735 $ 1,611 Distribution $ 479,509,240 $ 2,802,754 $ 16,195,771 $ 69,932 $ 75,278,664 5 5, 11 Debt Obligation w/ Contingent 2,173,974,000 Proceeds Debt Obligation w/ Contingent 1,868,974,000 Proceeds Debt Obligation w/ Contingent 1,068,974,000 Proceeds Debt Obligation w/ Contingent 438,974,000 Proceeds Debt Obligation w/ Contingent 341,479,690 Proceeds 1,064,097,694 Membership Interest 5/16/2011 40,556 $ 10 $ $ 5, 14 5 10 44,043 292,454,480 3,434,460 10 $ $ $ $ 5 10 1/15/2010 8/30/2012 Proceeds 5 3/29/2012 7/11/2013 2 Description Debt Obligation w/ Contingent 294,078,924 Proceeds Debt Obligation w/ Contingent 284,468,750 Proceeds - Membership Interest 10 4/17/2013 Distribution 7/11/2013 Distribution 8/30/2012 Distribution 9/12/2012 Distribution 9/19/2012 Distribution 10/1/2012 Distribution 12/21/2012 Distribution 10/3/2012 Distribution 12/21/2012 Distribution 5, 11 5, 11 5, 11 5, 11 5, 11 5, 11 5, 11 $ 79,071,633 $ 106,300,357 $ 25,909,972 $ 678,683 $ 12,012,957 $ 16,967 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 - Contingent Proceeds 5, 11 5, 11 75 Preliminary Adjusted Seller Footnote Date Name of Institution 1 10/2/2009 Blackrock PPIF, L.P. 2 1 10/2/2009 Blackrock PPIF, L.P. 10/30/2009 AG GECC PPIF Master Fund, L.P. Commitment City Wilmington Wilmington Wilmington Transaction State Type DE DE DE Purchase Purchase Purchase Commitment Amount Investment Description Membership Interest Debt Obligation w/ Contingent Proceeds Membership Interest $ $ $ 1,111,111,111 2,222,222,222 1,111,111,111 Pricing Mechanism Par Par Par Date 3 Amount 3/22/2010 6 $ 1,244,437,500 3/22/2010 6 $ 2,488,875,000 3/22/2010 6 $ 1,271,337,500 Final Investment Final Commitment Amount Date 7/16/2010 7/16/2010 7/16/2010 7 Amount Amount $ $ $ 694,980,000 1,389,960,000 1,243,275,000 9 Amount $ $ $ 528,184,800 1,053,000,000 1,117,399,170 Capital Repayment Details Repayment Date 8/14/2012 1 10/30/2009 AG GECC PPIF Master Fund, L.P. 11/4/2009 RLJ Western Asset Public/Private Master Fund, L.P. Wilmington Wilmington DE DE Purchase Purchase Debt Obligation w/ Contingent Proceeds Membership Interest $ $ 2,222,222,222 1,111,111,111 Par Par 3/22/2010 6 $ 2,542,675,000 3/22/2010 6 $ 1,244,437,500 7/16/2010 7/16/2010 $ $ 2,486,550,000 620,578,258 $ $ 2,234,798,340 620,578,258 Repayment Amount $ 90,269,076 Amount $ Description 437,915,724 Membership Interest 9/17/2012 $ 8,833,632 $ 429,082,092 Membership Interest 10/15/2012 $ 10,055,653 $ 419,026,439 Membership Interest 11/5/2012 $ 419,026,439 $ 7/31/2012 $ 175,000,000 $ 8/14/2012 $ 5,539,055 $ 8/31/2012 $ 16,000,000 $ 9/17/2012 $ 1,667,352 $ 9/28/2012 $ 35,000,000 $ 10/15/2012 $ 25,334,218 $ 10/18/2012 $ 794,459,374 $ $ 1,030,299,606 Membership Interest 3/14/2012 $ 99,462,003 $ 930,837,603 Membership Interest 5/14/2012 $ 74,999,625 $ 855,837,978 Membership Interest 7/16/2012 $ 18,749,906 $ 837,088,072 Membership Interest 8/14/2012 $ 68,399,658 $ 768,688,414 Membership Interest 9/17/2012 $ 124,999,375 $ 643,689,039 Membership Interest 10/15/2012 $ 240,673,797 $ 403,015,242 Membership Interest 11/15/2012 $ 45,764,825 $ 357,250,417 Membership Interest 12/14/2012 $ 24,588,926 $ 332,661,491 Membership Interest 1/15/2013 $ 30,470,429 $ 302,191,061 Membership Interest 2/14/2013 $ 295,328,636 $ 6,862,425 Membership Interest $ 2/14/2012 $ 174,200,000 $ 3/14/2012 $ 198,925,000 $ 5/14/2012 $ 150,000,000 $ 7/16/2012 $ 37,500,000 $ 8/14/2012 $ 136,800,000 $ 9/17/2012 $ 250,000,000 $ 10/15/2012 $ 481,350,000 $ 11/15/2012 $ 274,590,324 $ 12/14/2012 $ 147,534,295 $ 1/15/2013 $ 182,823,491 $ 2/14/2013 $ 201,075,230 $ Description Proceeds 10 10 - Contingent Proceeds 87,099,565 6,862,425 Date 11/5/2012 Distribution 12/5/2012 Distribution 11/5/2012 Distribution 12/5/2012 Distribution 2/21/2013 Distribution 2/27/2013 Distribution 3/14/2013 Distribution 4/19/2013 Distribution 4/25/2013 Distribution 5/29/2013 Distribution 4/19/2013 Distribution 4/25/2013 Distribution 5/29/2013 Distribution 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 or Disposition 10 - Membership Interest 10 2/14/2012 2/21/2013 2 Investment After Capital Repayment - Membership Interest 5, 11 5, 11 10 10 10 10 10 10 10 10 10 10 10 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 3/14/2011 $ 1,202,957 $ 619,375,301 Membership Interest 10 4/14/2011 $ 3,521,835 $ 615,853,465 Membership Interest 10 5, 11 5, 11 5, 11 76 Preliminary Adjusted Seller Footnote 2 1 2 1 Date 11/4/2009 Name of Institution RLJ Western Asset Public/Private Master Fund, L.P. 11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P. 11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P. 12/18/2009 Oaktree PPIP Fund, L.P. Commitment City Wilmington Wilmington Wilmington Wilmington Transaction State Type DE DE DE DE Purchase Purchase Purchase Purchase Commitment Amount Investment Description Debt Obligation w/ Contingent Proceeds Membership Interest Debt Obligation w/ Contingent Proceeds Membership Interest $ $ $ $ 2,222,222,222 1,111,111,111 2,222,222,222 1,111,111,111 Pricing Mechanism Par Par Par Par Date 3 Amount 3/22/2010 6 $ 2,488,875,000 3/22/2010 6 $ 1,244,437,500 3/22/2010 6 $ 2,488,875,000 3/22/2010 6 $ 1,244,437,500 Final Investment Final Commitment Amount Date 7/16/2010 7/16/2010 7/16/2010 7/16/2010 7 Amount Amount $ $ $ $ 1,241,156,516 474,550,000 949,100,000 1,160,784,100 9 Amount $ $ $ $ 1,241,000,000 474,550,000 949,000,000 555,904,633 Capital Repayment Details Repayment Date Investment After Capital Repayment Repayment Amount Amount Description Date 104,959,251 $ 510,894,215 Membership Interest 10 $ 72,640,245 $ 438,253,970 Membership Interest 10 $ 180,999,095 $ 257,254,875 Membership Interest 10 10/15/2012 $ 134,999,325 $ 122,255,550 Membership Interest 10 10/19/2012 $ 122,255,550 $ 8/14/2012 $ 9/17/2012 9/28/2012 5/13/2011 $ 13,531,530 $ 7/31/2012 $ 618,750,000 $ 8/9/2012 $ 151,006,173 $ 8/14/2012 $ 11,008,652 $ 8/23/2012 $ 160,493,230 $ 8/29/2012 $ 103,706,836 $ 9/17/2012 $ 20,637,410 $ 9/21/2012 $ 161,866,170 $ - Membership Interest 10 - Contingent Proceeds $ 74,499,628 $ 400,050,373 Membership Interest 11/15/2012 $ 59,787,459 $ 340,262,914 Membership Interest 12/14/2012 $ 40,459,092 $ 299,803,821 Membership Interest 1/15/2013 $ 10,409,317 $ 289,394,504 Membership Interest 1/30/2013 $ 219,998,900 $ 69,395,604 Membership Interest 2/25/2013 $ 39,026,406 $ 30,369,198 Membership Interest 3/25/2013 $ 30,369,198 $ $ 149,000,000 $ 11/15/2012 $ 119,575,516 $ 11/20/2012 $ 195,000,000 $ 12/14/2012 $ 47,755,767 $ 1/15/2013 $ 62,456,214 $ 1/24/2013 $ 375,212,503 $ Description 10/19/2012 Distribution 11/2/2012 Distribution 12/21/2012 Distribution 10/19/2012 Distribution 11/2/2012 Distribution 12/21/2012 Distribution 3/25/2013 Distribution 4/16/2013 Distribution 5/16/2013 Distribution 7/11/2013 Distribution 4/16/2013 Distribution 5/16/2013 Distribution 7/11/2013 Distribution 5, 11 5, 11 5, 11 Proceeds $ 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 9/17/2012 Distribution or Disposition 5, 11 5, 11 5, 11 10 10 10 10 10 10 - Membership Interest 10 5, 11 5, 11 5, 11 5, 11 $ 164,629,827 $ 71,462,104 $ 38,536,072 $ 29,999,850 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 10 3/14/2012 $ 39,387,753 $ 477,017,077 Membership Interest 10 9/17/2012 $ 22,111,961 $ 454,905,116 Membership Interest 10 10/15/2012 $ 32,496,972 $ 422,408,144 Membership Interest 10 11/15/2012 $ 111,539,536 $ 310,868,608 Membership Interest 10 255,328,581 Membership Interest 10 12/14/2012 $ 55,540,026 $ 1/15/2013 $ 14,849,910 $ 240,478,671 Membership Interest 10 4/12/2013 $ 18,268,328 $ 222,210,343 Membership Interest 10 5/14/2013 $ 70,605,973 $ 151,604,370 Membership Interest 10 5/28/2013 $ 119,769,362 $ 31,835,008 Membership Interest 10 5, 11 5, 11 5, 11 $ 7,143,340 $ 963,411 $ 750,004 77 Preliminary Adjusted Seller Footnote Date Name of Institution Commitment City Transaction State Type Investment Description Commitment Amount Pricing Mechanism Date 3 Amount Final Investment Final Commitment Amount Date Amount 7 Amount 9 Amount Capital Repayment Details Repayment Date 6/3/2013 Investment After Capital Repayment Repayment Amount $ 31,835,008 Amount $ Description - Membership Interest 10 Distribution or Disposition Date Description 6/3/2013 Distribution 6/14/2013 Distribution 6/24/2013 Distribution 6/26/2013 Distribution 7/9/2013 Distribution 5, 11 5, 11 5, 11 5, 11 5, 11 Proceeds $ 46,575,750 $ 54,999,725 $ 27,999,860 $ 11,749,941 $ 40,974,795 78 Preliminary Adjusted Seller Footnote 2 Date Name of Institution 12/18/2009 Oaktree PPIP Fund, L.P. Commitment City Wilmington Transaction State Type DE Purchase Commitment Amount Investment Description Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Pricing Mechanism Par Date 3 Amount 3/22/2010 6 $ 2,488,875,000 Final Investment Final Commitment Amount Date 7/16/2010 7 Amount Amount $ 9 Amount 2,321,568,200 $ 1,111,000,000 Capital Repayment Details Repayment Date $ 30,000,000,000 FINAL COMMITMENT AMOUNT $ Repayment Amount Amount Description 7/15/2011 $ 79,000,000 $ 3/14/2012 $ 78,775,901 $ Debt Obligation w/ Contingent 1,032,000,000 Proceeds Debt Obligation w/ Contingent 953,224,099 Proceeds 9/17/2012 $ 44,224,144 $ Debt Obligation w/ Contingent 908,999,956 Proceeds 10/15/2012 $ 64,994,269 $ Debt Obligation w/ Contingent 844,005,687 Proceeds 11/15/2012 $ 223,080,187 $ Debt Obligation w/ Contingent 620,925,500 Proceeds 12/14/2012 $ 111,080,608 $ Debt Obligation w/ Contingent 509,844,892 Proceeds 1/15/2013 $ 89,099,906 $ Debt Obligation w/ Contingent 420,744,985 Proceeds 4/12/2013 $ 109,610,516 $ Debt Obligation w/ Contingent 311,134,469 Proceeds 5/14/2013 INITIAL COMMITMENT AMOUNT Investment After Capital Repayment $ 311,134,469 - Contingent Proceeds Date Description 5/28/2013 Distribution 6/3/2013 Distribution 6/14/2013 Distribution 6/24/2013 Distribution 6/26/2013 Distribution 7/9/2013 Distribution 5, 11 5, 11 5, 11 5, 11 5, 11 5, 11 TOTAL DISTRIBUTIONS 5 21,856,403,574 TOTAL CAPITAL REPAYMENT AMOUNT $ $ Distribution or Disposition Proceeds $ 444,393 $ 1,960,289 $ 1,375,007 $ 700,004 $ 293,751 $ 1,024,380 $ 2,631,003,542 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. 79 U.S. Treasury Department Office of Financial Stability Troubled Asset Relief Program Transactions Report - Housing Programs For Period Ending July 16, 2013 MAKING HOME AFFORDABLE PROGRAM Servicer Modifying Borrowers' Loans Name of Institution Date 4/13/2009 Adjustment Details City Select Portfolio Servicing Salt Lake City State Transaction Type UT Purchase Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Investment Description Financial Instrument for Home Loan Modifications $ 376,000,000 Pricing Mechanism N/A 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 10310 4/13/2009 CitiMortgage, Inc. O'Fallon 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 MO Purchase Financial Instrument for Home Loan Modifications $ 2,071,000,000 N/A Note Adjustment Date Cap Adjustment Amount Adjusted Cap 6/12/2009 $ 284,590,000 $ Reason for Adjustment 9/30/2009 $ 121,910,000 $ 12/30/2009 $ 131,340,000 $ 660,590,000 Updated portfolio data from servicer Updated portfolio data from servicer & HPDP 782,500,000 initial cap Updated portfolio data from servicer & HAFA 913,840,000 initial cap 3/26/2010 $ (355,530,000) $ 558,310,000 Updated portfolio data from servicer 7/14/2010 $ 128,690,000 $ 687,000,000 Updated portfolio data from servicer 9/30/2010 $ 4,000,000 $ 691,000,000 Initial FHA-HAMP cap and initial FHA-2LP cap 9/30/2010 $ 59,807,784 $ 750,807,784 Updated portfolio data from servicer 11/16/2010 $ (700,000) $ 750,107,784 Transfer of cap due to servicing transfer 12/15/2010 $ 64,400,000 $ 814,507,784 Updated portfolio data from servicer 1/6/2011 $ (639) $ 814,507,145 Updated portfolio data from servicer 1/13/2011 $ (2,300,000) $ 812,207,145 Transfer of cap due to servicing transfer 2/16/2011 $ 100,000 $ 812,307,145 Transfer of cap due to servicing transfer 3/16/2011 $ 3,600,000 $ 3/30/2011 $ (735) $ 815,907,145 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 815,906,410 reallocation 4/13/2011 $ (100,000) $ 815,806,410 Transfer of cap due to servicing transfer 5/13/2011 $ 400,000 $ 816,206,410 Transfer of cap due to servicing transfer 6/16/2011 $ (100,000) $ 6/29/2011 $ (6,805) $ 816,106,410 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 816,099,605 reallocation 8/16/2011 $ (100,000) $ 815,999,605 Transfer of cap due to servicing transfer 9/15/2011 $ (200,000) $ 815,799,605 Transfer of cap due to servicing transfer 10/14/2011 $ (100,000) $ 815,699,605 Transfer of cap due to servicing transfer 11/16/2011 $ (100,000) $ 815,599,605 Transfer of cap due to servicing transfer 1/13/2012 $ 200,000 $ 815,799,605 Transfer of cap due to servicing transfer 3/15/2012 $ 24,800,000 $ 840,599,605 Transfer of cap due to servicing transfer 4/16/2012 $ 1,900,000 $ 842,499,605 Transfer of cap due to servicing transfer 5/16/2012 $ 80,000 $ 842,579,605 Transfer of cap due to servicing transfer 6/14/2012 $ 8,710,000 $ 6/28/2012 $ (5,176) $ 851,289,605 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 851,284,429 reallocation 7/16/2012 $ 2,430,000 $ 853,714,429 Transfer of cap due to servicing transfer 8/16/2012 $ 2,310,000 $ 9/27/2012 $ (13,961) $ 856,024,429 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 856,010,468 reallocation 10/16/2012 $ 126,940,000 $ 982,950,468 Transfer of cap due to servicing transfer 11/15/2012 $ 9,990,000 $ 992,940,468 Transfer of cap due to servicing transfer 12/14/2012 $ 10,650,000 $ 12/27/2012 $ (2,663) $ 1,003,590,468 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,003,587,805 reallocation 1/16/2013 $ 18,650,000 $ 1,022,237,805 Transfer of cap due to servicing transfer 2/14/2013 $ 10,290,000 $ 1,032,527,805 Transfer of cap due to servicing transfer 3/14/2013 $ 4,320,000 $ 3/25/2013 $ (10,116) $ 1,036,847,805 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,036,837,689 reallocation 4/16/2013 $ 840,000 $ 1,037,677,689 Transfer of cap due to servicing transfer 5/16/2013 $ 1,330,000 $ 1,039,007,689 Transfer of cap due to servicing transfer 6/14/2013 $ 3,620,000 $ 6/27/2013 $ (3,564) $ 1,042,627,689 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,042,624,125 reallocation 7/16/2013 $ 105,080,000 $ 1,147,704,125 Transfer of cap due to servicing transfer 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) $ 8/13/2010 $ (6,300,000) $ 9/15/2010 $ (8,300,000) $ 1,011,700,000 Updated portfolio data from servicer Transfer of cap to multiple servicers due to 1,004,590,000 servicing transfer Transfer of cap to multiple servicers due to 998,290,000 servicing transfer Transfer of cap to multiple servicers due to 989,990,000 servicing transfer 9/30/2010 $ 32,400,000 $ 1,022,390,000 Initial FHA-HAMP cap and initial FHA-2LP cap 9/30/2010 $ 101,287,484 $ 1,123,677,484 Updated portfolio data from servicer 10/15/2010 $ (1,400,000) $ 1,122,277,484 Transfer of cap due to servicing transfer 11/16/2010 $ (3,200,000) $ 1,119,077,484 Transfer of cap due to servicing transfer 1/6/2011 $ (981) $ 1,119,076,503 Updated portfolio data from servicer 1/13/2011 $ (10,500,000) $ 1,108,576,503 Transfer of cap due to servicing transfer 2/16/2011 $ (4,600,000) $ 1,103,976,503 Transfer of cap due to servicing transfer 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 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 10722 4/13/2009 Wells Fargo Bank, NA Des Moines 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 IA Purchase Financial Instrument for Home Loan Modifications $ 2,873,000,000 N/A Note Adjustment Date Cap Adjustment Amount Adjusted Cap 3/16/2011 $ 3/30/2011 $ 4/13/2011 $ 5/13/2011 $ (7,200,000) 6/16/2011 $ 6/29/2011 Reason for Adjustment (30,500,000) $ (1,031) $ 1,073,476,503 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,073,475,472 reallocation 100,000 $ 1,073,575,472 Transfer of cap due to servicing transfer $ 1,066,375,472 Transfer of cap due to servicing transfer (400,000) $ $ (9,131) $ 1,065,975,472 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,065,966,341 reallocation 7/14/2011 $ (14,500,000) $ 1,051,466,341 Transfer of cap due to servicing transfer 8/16/2011 $ (1,600,000) $ 1,049,866,341 Transfer of cap due to servicing transfer 9/15/2011 $ 700,000 $ 1,050,566,341 Transfer of cap due to servicing transfer 10/14/2011 $ 15,200,000 $ 1,065,766,341 Transfer of cap due to servicing transfer 11/16/2011 $ (2,900,000) $ 1,062,866,341 Transfer of cap due to servicing transfer 12/15/2011 $ (5,000,000) $ 1,057,866,341 Transfer of cap due to servicing transfer 1/13/2012 $ (900,000) $ 1,056,966,341 Transfer of cap due to servicing transfer 2/16/2012 $ (1,100,000) $ 1,055,866,341 Transfer of cap due to servicing transfer 3/15/2012 $ (1,700,000) $ 1,054,166,341 Transfer of cap due to servicing transfer 4/16/2012 $ (600,000) $ 1,053,566,341 Transfer of cap due to servicing transfer 5/16/2012 $ (340,000) $ 1,053,226,341 Transfer of cap due to servicing transfer 6/14/2012 $ (2,880,000) $ 6/28/2012 $ (5,498) $ 1,050,346,341 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,050,340,843 reallocation 7/16/2012 $ (298,960,000) $ 751,380,843 Transfer of cap due to servicing transfer 7/27/2012 $ 263,550,000 $ 1,014,930,843 Transfer of cap due to servicing transfer 8/16/2012 $ 30,000 $ 9/27/2012 $ (12,722) $ 1,014,960,843 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,014,948,121 reallocation 10/16/2012 $ (4,020,000) $ 1,010,928,121 Transfer of cap due to servicing transfer 11/15/2012 $ (1,460,000) $ 1,009,468,121 Transfer of cap due to servicing transfer 12/14/2012 $ (6,000,000) $ 12/27/2012 $ (1,916) $ 1,003,468,121 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,003,466,205 reallocation 2/14/2013 $ (8,450,000) $ 995,016,205 Transfer of cap due to servicing transfer 3/14/2013 $ (1,890,000) $ 3/25/2013 $ (6,606) $ 993,126,205 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 993,119,599 reallocation 4/16/2013 $ (3,490,000) $ 989,629,599 Transfer of cap due to servicing transfer 6/14/2013 $ (3,630,000) $ 6/27/2013 $ (2,161) $ 985,999,599 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 985,997,438 reallocation 7/16/2013 $ (26,880,000) $ 6/17/2009 $ (462,990,000) $ 959,117,438 Transfer of cap due to servicing transfer 9/30/2009 $ 65,070,000 $ 12/30/2009 $ 1,213,310,000 $ 2/17/2010 $ 2,050,236,344 $ 3/12/2010 $ 54,767 $ 2,410,010,000 Updated portfolio data from servicer Updated portfolio data from servicer & HPDP 2,475,080,000 initial cap Updated portfolio data from servicer & HAFA 3,688,390,000 initial cap Transfer of cap (from Wachovia Mortgage, FSB) 5,738,626,344 due to merger Transfer of cap (from Wachovia Mortgage, FSB) 5,738,681,110 due to merger 3/19/2010 $ 668,108,890 $ 6,406,790,000 Initial 2MP cap 3/26/2010 $ 683,130,000 $ 7,089,920,000 Updated portfolio data from servicer 7/14/2010 $ (2,038,220,000) $ 5,051,700,000 Updated portfolio data from servicer 9/30/2010 $ (287,348,828) $ 9/30/2010 $ 344,000,000 $ 4,764,351,172 Updated portfolio data from servicer Initial FHA-HAMP cap, initial FHA-2LP cap, and 5,108,351,172 initial RD-HAMP 12/3/2010 $ 8,413,225 $ 5,116,764,397 Transfer of cap (from Wachovia) due to merger 12/15/2010 $ 22,200,000 $ 5,138,964,397 Updated portfolio data from servicer 1/6/2011 $ (6,312) $ 5,138,958,085 Updated portfolio data from servicer 1/13/2011 $ (100,000) $ 5,138,858,085 Transfer of cap due to servicing transfer 3/16/2011 $ (100,000) $ 3/30/2011 $ (7,171) $ 5,138,758,085 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 5,138,750,914 reallocation 4/13/2011 $ (9,800,000) $ 5,128,950,914 Transfer of cap due to servicing transfer 5/13/2011 $ 100,000 $ 5,129,050,914 Transfer of cap due to servicing transfer 6/16/2011 $ (600,000) $ 6/29/2011 $ (63,856) $ 5,128,450,914 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 5,128,387,058 reallocation 7/14/2011 $ (2,300,000) $ 5,126,087,058 Transfer of cap due to servicing transfer 8/16/2011 $ (1,100,000) $ 5,124,987,058 Transfer of cap due to servicing transfer 9/15/2011 $ 1,400,000 $ 5,126,387,058 Transfer of cap due to servicing transfer 10/14/2011 $ 200,000 $ 5,126,587,058 Transfer of cap due to servicing transfer 11/16/2011 $ (200,000) $ 5,126,387,058 Transfer of cap due to servicing transfer 12/15/2011 $ (200,000) $ 5,126,187,058 Transfer of cap due to servicing transfer 1/13/2012 $ (300,000) $ 5,125,887,058 Transfer of cap due to servicing transfer 2/16/2012 $ (200,000) $ 5,125,687,058 Transfer of cap due to servicing transfer 3/15/2012 $ (1,000,000) $ 5,124,687,058 Transfer of cap due to servicing transfer 4/16/2012 $ (800,000) $ 5,123,887,058 Transfer of cap due to servicing transfer 5/16/2012 $ (610,000) $ 5,123,277,058 Transfer of cap due to servicing transfer 6/14/2012 $ (2,040,000) $ 6/28/2012 $ (39,923) $ 5,121,237,058 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 5,121,197,135 reallocation 8/16/2012 $ (120,000) $ 5,121,077,135 Transfer of cap due to servicing transfer 81 Servicer Modifying Borrowers' Loans Date Adjustment Details Name of Institution City State Transaction Type Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Investment Description Pricing Mechanism 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 10423 4/13/2009 GMAC Mortgage, Inc. Ft. Washington PA Purchase Financial Instrument for Home Loan Modifications $ 633,000,000 N/A 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 10315 4/13/2009 Saxon Mortgage Services, Inc. Irving 10458 10458 10458 10458 10458 10458 10458 10458 10458 10458 10458 10458 10458 10458 TX Purchase Financial Instrument for Home Loan Modifications $ 407,000,000 N/A Note Adjustment Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment 9/27/2012 $ (104,111) $ Updated due to quarterly assessment and 5,120,973,024 reallocation 10/16/2012 $ (1,590,000) $ 5,119,383,024 Transfer of cap due to servicing transfer 11/15/2012 $ (2,910,000) $ 5,116,473,024 Transfer of cap due to servicing transfer 12/14/2012 $ (1,150,000) $ 12/27/2012 $ (16,392) $ 5,115,323,024 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 5,115,306,632 reallocation 1/16/2013 $ (3,350,000) $ 5,111,956,632 Transfer of cap due to servicing transfer 2/14/2013 $ (820,000) $ 5,111,136,632 Transfer of cap due to servicing transfer 3/14/2013 $ (270,000) $ 3/25/2013 $ (58,709) $ 5,110,866,632 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 5,110,807,923 reallocation 4/16/2013 $ (40,000) $ 5,110,767,923 Transfer of cap due to servicing transfer 5/16/2013 $ (5,320,000) $ 5,105,447,923 Transfer of cap due to servicing transfer 6/14/2013 $ (1,260,000) $ 6/27/2013 $ (20,596) $ 5,104,187,923 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 5,104,167,327 reallocation 7/16/2013 $ (1,200,000) $ 5,102,967,327 Transfer of cap due to servicing transfer 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 $ 9/27/2012 $ (33,210) $ 1,500,183,461 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,500,150,251 reallocation 11/15/2012 $ (1,200,000) $ 1,498,950,251 Transfer of cap due to servicing transfer 12/14/2012 $ 40,000 $ 12/27/2012 $ (5,432) $ 1,498,990,251 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,498,984,819 reallocation 1/16/2013 $ 60,000 $ 1,499,044,819 Transfer of cap due to servicing transfer 2/14/2013 $ (30,000) $ 1,499,014,819 Transfer of cap due to servicing transfer 3/14/2013 $ (80,000) $ 3/25/2013 $ (19,838) $ 1,498,934,819 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,498,914,981 reallocation 6/14/2013 $ 30,000 $ 6/27/2013 $ (7,105) $ 6/17/2009 $ 225,040,000 $ 9/30/2009 $ 254,380,000 $ 12/30/2009 $ 355,710,000 $ 3/26/2010 $ (57,720,000) $ 6/16/2010 $ (156,050,000) $ 7/14/2010 $ (513,660,000) $ 514,700,000 Updated portfolio data from servicer 7/16/2010 $ (22,980,000) $ 491,720,000 Transfer of cap due to multiple servicing transfers 9/15/2010 $ 1,800,000 $ 493,520,000 Transfer of cap due to servicing transfer 9/30/2010 $ 9,800,000 $ 503,320,000 Initial FHA-HAMP cap and initial FHA-2LP cap 1,498,944,981 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,498,937,876 reallocation 632,040,000 Updated portfolio data from servicer Updated portfolio data from servicer & HPDP 886,420,000 initial cap Updated portfolio data from servicer & HAFA 1,242,130,000 initial cap 1,184,410,000 Updated portfolio data from servicer Transfer of cap to Ocwen Financial Corporation, 1,028,360,000 Inc. due to servicing transfer 9/30/2010 $ 116,222,668 $ 619,542,668 Updated portfolio data from servicer 10/15/2010 $ 100,000 $ 619,642,668 Transfer of cap due to servicing transfer 12/15/2010 $ 8,900,000 $ 628,542,668 Updated portfolio data from servicer 1/6/2011 $ (556) $ 628,542,112 Updated portfolio data from servicer 1/13/2011 $ 2,300,000 $ 630,842,112 Transfer of cap due to servicing transfer 3/16/2011 $ 700,000 $ 631,542,112 Transfer of cap due to servicing transfer 82 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 10458 10458 10458 10458 10458 10458 10458 10458 10458 10458 10458 10458 10458 10458 10458 10458 10458 10458 10458 10458 rbc 10458 10458 16 4/13/2009 Chase Home Finance, LLC Iselin NJ Purchase Financial Instrument for Home Loan Modifications $ 3,552,000,000 N/A 4/16/2009 Ocwen Loan Servicing LLC West Palm Beach FL Purchase Financial Instrument for Home Loan Modifications $ 659,000,000 N/A 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 10500 4/17/2009 as amended on 1/26/2010 Bank of America, N.A. Simi Valley 10512 10512 10512 10512 10512 CA Purchase Financial Instrument for Home Loan Modifications $ 798,900,000 N/A 2 Adjustment Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment Updated due to quarterly assessment and 631,541,458 reallocation 3/30/2011 $ (654) $ 4/13/2011 $ 2,100,000 $ 6/29/2011 $ (6,144) $ 633,641,458 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 633,635,314 reallocation 7/14/2011 $ 200,000 $ 633,835,314 Transfer of cap due to servicing transfer 8/16/2011 $ (100,000) $ 633,735,314 Transfer of cap due to servicing transfer 9/15/2011 $ (700,000) $ 633,035,314 Transfer of cap due to servicing transfer 12/15/2011 $ 17,500,000 $ 650,535,314 Transfer of cap due to servicing transfer 2/16/2012 $ (100,000) $ 650,435,314 Transfer of cap due to servicing transfer 3/15/2012 $ 100,000 $ 650,535,314 Transfer of cap due to servicing transfer 4/16/2012 $ (17,500,000) $ 633,035,314 Transfer of cap due to servicing transfer 5/16/2012 $ (760,000) $ 632,275,314 Transfer of cap due to servicing transfer 6/14/2012 $ (354,290,000) $ 6/28/2012 $ (1,831) $ 277,985,314 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 277,983,483 reallocation 7/16/2012 $ (10,120,000) $ 267,863,483 Transfer of cap due to servicing transfer 8/16/2012 $ (10,000) $ 9/27/2012 $ (4,701) $ 267,853,483 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 267,848,782 reallocation 10/16/2012 $ (9,220,000) $ 258,628,782 Transfer of cap due to servicing transfer 11/15/2012 $ (30,000) $ 258,598,782 Transfer of cap due to servicing transfer 12/14/2012 $ 60,000 $ 12/27/2012 $ (788) $ 258,658,782 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 258,657,994 reallocation 1/16/2013 $ (610,000) $ 3/25/2013 $ (2,979) $ 258,047,994 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 258,045,015 reallocation 100,807,086 Termination of SPA 4/9/2013 $ (157,237,929) $ 7/31/2009 $ (3,552,000,000) $ 6/12/2009 $ (105,620,000) $ - Termination of SPA 553,380,000 Updated portfolio data from servicer Updated portfolio data from servicer & HPDP 655,960,000 initial cap Updated portfolio data from servicer & HAFA 933,600,000 initial cap 9/30/2009 $ 102,580,000 $ 12/30/2009 $ 277,640,000 $ 3/26/2010 $ 46,860,000 $ 6/16/2010 $ 156,050,000 $ 7/14/2010 $ (191,610,000) $ 7/16/2010 $ 23,710,000 $ 944,900,000 Updated portfolio data from servicer Transfer of cap from Saxon Mortgage Services, 968,610,000 Inc. due to servicing transfer 9/15/2010 $ 100,000 $ 968,710,000 Initial FHA-HAMP cap 9/30/2010 $ 3,742,740 $ 10/15/2010 $ 170,800,000 $ 1,143,252,740 Transfer of cap due to servicing transfer 980,460,000 Updated portfolio data from servicer Transfer of cap from Saxon Mortgage Services, 1,136,510,000 Inc. due to servicing transfer 972,452,740 Updated portfolio data from servicer 1/6/2011 $ (1,020) $ 1,143,251,720 Updated portfolio data from servicer 2/16/2011 $ 900,000 $ 3/30/2011 $ (1,114) $ 6/29/2011 $ (10,044) $ 1,144,151,720 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,144,150,606 reallocation Updated due to quarterly assessment and 1,144,140,562 reallocation 10/14/2011 $ (100,000) $ 1,144,040,562 Transfer of cap due to servicing transfer 1/13/2012 $ 194,800,000 $ 1,338,840,562 Transfer of cap due to servicing transfer 2/16/2012 $ 400,000 $ 1,339,240,562 Transfer of cap due to servicing transfer 3/15/2012 $ 100,000 $ 1,339,340,562 Transfer of cap due to servicing transfer 5/16/2012 $ 123,530,000 $ 1,462,870,562 Transfer of cap due to servicing transfer 6/14/2012 $ 354,290,000 $ 6/28/2012 $ (6,308) $ 1,817,160,562 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,817,154,254 reallocation 7/16/2012 $ 10,080,000 $ 1,827,234,254 Transfer of cap due to servicing transfer 8/16/2012 $ 8,390,000 $ 9/27/2012 $ (10,733) $ 1,835,624,254 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,835,613,521 reallocation 10/16/2012 $ 14,560,000 $ 1,850,173,521 Transfer of cap due to servicing transfer 11/15/2012 $ 13,240,000 $ 1,863,413,521 Transfer of cap due to servicing transfer 12/14/2012 $ 2,080,000 $ 12/27/2012 $ (1,015) $ 1,865,493,521 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,865,492,506 reallocation 1/16/2013 $ 410,000 $ 1,865,902,506 Transfer of cap due to servicing transfer 2/14/2013 $ 960,000 $ 1,866,862,506 Transfer of cap due to servicing transfer 3/14/2013 $ 83,880,000 $ 3/25/2013 $ (1,877) $ 4/9/2013 $ 157,237,929 $ 1,950,742,506 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,950,740,629 reallocation Transfer of cap (from Saxon Mortgage Services, 2,107,978,558 Inc ) due to servicing transfer 4/16/2013 $ 620,860,000 $ 2,728,838,558 Transfer of cap due to servicing transfer 5/16/2013 $ 18,970,000 $ 2,747,808,558 Transfer of cap due to servicing transfer 6/14/2013 $ (190,000) $ 6/27/2013 $ (2,817) $ 2,747,618,558 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 2,747,615,741 reallocation 7/16/2013 $ 14,710,000 $ 2,762,325,741 Transfer of cap due to servicing transfer 6/12/2009 $ 5,540,000 $ 9/30/2009 $ 162,680,000 $ 12/30/2009 $ 665,510,000 $ 804,440,000 Updated portfolio data from servicer Updated portfolio data from servicer & HPDP 967,120,000 initial cap Updated portfolio data from servicer & HAFA 1,632,630,000 initial cap 1/26/2010 $ 800,390,000 $ 2,433,020,000 Initial 2MP cap 3/26/2010 $ (829,370,000) $ 1,603,650,000 Updated portfolio data from servicer 7/14/2010 $ (366,750,000) $ 1,236,900,000 Updated portfolio data from servicer 83 Servicer Modifying Borrowers' Loans Date Name of Institution Adjustment Details City State Transaction Type Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Investment Description Pricing Mechanism Note 10512 10512 10512 10512 10512 10512 10512 10512 10512 10512 10512 4/17/2009 as amended on 1/26/2010 Bank of America, N.A. (BAC Home Loans Servicing, LP) 13 Simi Valley CA Purchase Financial Instrument for Home Loan Modifications $ 1,864,000,000 N/A 1000832 1000832 1000832 1000832 1000832 1000832 1000832 1000832 1000832 1000832 1000832 1000832 1000832 1000832 1000832 1000832 1000832 1000832 1000832 1000832 1000832 1000832 Adjustment Date Cap Adjustment Amount Adjusted Cap $ 95,300,000 $ Initial FHA-HAMP cap, initial FHA-2LP cap, and 1,332,200,000 initial RD-HAMP 9/30/2010 $ 222,941,084 $ 1,555,141,084 Updated portfolio data from servicer 1/6/2011 $ (2,199) $ 3/30/2011 $ (2,548) $ 6/29/2011 $ (23,337) $ 1,555,138,885 Updated portfolio data from servicer Updated due to quarterly assessment and 1,555,136,337 reallocation Updated due to quarterly assessment and 1,555,113,000 reallocation 8/16/2011 $ (300,000) $ 1,554,813,000 Transfer of cap due to servicing transfer 10/14/2011 $ (120,700,000) $ 1,434,113,000 Transfer of cap due to servicing transfer 11/16/2011 $ (900,000) $ 1,433,213,000 Transfer of cap due to servicing transfer 5/16/2012 $ (200,000) $ 6/28/2012 $ (17,893) $ 8/10/2012 $ (1,401,716,594) $ 1,433,013,000 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,432,995,107 reallocation Update of cap due to termination of SPA and 31,278,513 merger with BAC Home Loans, LP 6/12/2009 $ 3,318,840,000 $ 9/30/2009 $ (717,420,000) $ 12/30/2009 $ 2,290,780,000 $ 5,182,840,000 Updated portfolio data from servicer Updated portfolio data from servicer & HPDP 4,465,420,000 initial cap Updated portfolio data from servicer & HAFA 6,756,200,000 initial cap 1/26/2010 $ 450,100,000 $ 7,206,300,000 Initial 2MP cap 3/26/2010 $ 905,010,000 $ 4/19/2010 $ 10,280,000 $ 6/16/2010 $ 286,510,000 $ 8,111,310,000 Updated portfolio data from servicer Transfer of cap from Wilshire Credit Corporation 8,121,590,000 due to servicing transfer Transfer of cap from Wilshire Credit Corporation 8,408,100,000 due to servicing transfer 7/14/2010 $ (1,787,300,000) $ 9/30/2010 $ 105,500,000 $ 6,620,800,000 Updated portfolio data from servicer Initial FHA-HAMP cap, initial FHA-2LP cap, and 6,726,300,000 initial RD-HAMP 9/30/2010 $ (614,527,362) $ 6,111,772,638 Updated portfolio data from servicer 12/15/2010 $ 236,000,000 $ 6,347,772,638 Updated portfolio data from servicer 1/6/2011 $ (8,012) $ 6,347,764,626 Updated portfolio data from servicer 2/16/2011 $ 1,800,000 $ 6,349,564,626 Transfer of cap due to servicing transfer 3/16/2011 $ 100,000 $ 3/30/2011 $ (9,190) $ 6,349,664,626 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 6,349,655,436 reallocation 4/13/2011 $ 200,000 $ 6,349,855,436 Transfer of cap due to servicing transfer 5/13/2011 $ 300,000 $ 6,350,155,436 Transfer of cap due to servicing transfer 6/16/2011 $ (1,000,000) $ 6/29/2011 $ (82,347) $ 6,349,155,436 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 6,349,073,089 reallocation 7/14/2011 $ (200,000) $ 6,348,873,089 Transfer of cap due to servicing transfer 8/16/2011 $ (3,400,000) $ 6,345,473,089 Transfer of cap due to servicing transfer 9/15/2011 $ (1,400,000) $ 6,344,073,089 Transfer of cap due to servicing transfer 10/14/2011 $ 120,600,000 $ 10/19/2011 $ 317,956,289 $ 6,464,673,089 Transfer of cap due to servicing transfer Transfer of cap (from Home Loan Services, Inc. and Wilshire Credit Corporation due to merger.) 6,782,629,378 11/16/2011 $ 800,000 $ 6,783,429,378 Transfer of cap due to servicing transfer 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 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 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 10316 10316 10316 10316 10316 10316 10316 PA Purchase Financial Instrument for Home Loan Modifications $ 319,000,000 N/A Reason for Adjustment 9/30/2010 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 84 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 10316 10316 10316 10316 10316 10316 10316 4/20/2009 Wilshire Credit Corporation 13 Beaverton OR Purchase Financial Instrument for Home Loan Modifications $ 366,000,000 N/A 10205 10205 10205 10205 10205 10205 10205 10205 10205 10205 10205 10205 10205 10205 4/24/2009 Green Tree Servicing LLC 13 Saint Paul MN Purchase Financial Instrument for Home Loan Modifications $ 156,000,000 N/A 10309 10309 10309 10309 10309 10309 10309 10309 10309 10309 10309 10309 10309 10309 10309 10309 10309 10309 10309 10309 10309 10309 10309 10309 10309 10309 10309 10309 10309 10309 10309 10309 10309 10309 10309 4/27/2009 Carrington Mortgage Services, LLC Santa Ana 10503 10503 10503 10503 10503 10503 10503 10503 10503 CA Purchase Financial Instrument for Home Loan Modifications $ 195,000,000 N/A Adjustment Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment 1/6/2011 $ (233) $ 164,073,357 Updated portfolio data from servicer 2/16/2011 $ (1,900,000) $ 162,173,357 Transfer of cap due to servicing transfer 3/16/2011 $ (400,000) $ 3/30/2011 $ (278) $ 161,773,357 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 161,773,079 reallocation 5/13/2011 $ (400,000) $ 6/29/2011 $ (2,625) $ 10/19/2011 $ (155,061,221) $ 6/12/2009 $ 87,130,000 $ 161,373,079 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 161,370,454 reallocation 6,309,233 Termination of SPA 453,130,000 Updated portfolio data from servicer Updated portfolio data from servicer & HPDP 203,460,000 initial cap Updated portfolio data from servicer & HAFA 323,160,000 initial cap 9/30/2009 $ (249,670,000) $ 12/30/2009 $ 119,700,000 $ 3/26/2010 $ 52,270,000 $ 4/19/2010 $ (10,280,000) $ 5/14/2010 $ (1,880,000) $ 6/16/2010 $ (286,510,000) $ 7/14/2010 $ 19,540,000 $ 7/16/2010 $ (210,000) $ 8/13/2010 $ (100,000) $ 9/30/2010 $ 68,565,782 $ 164,555,782 Updated portfolio data from servicer 164,555,535 Updated portfolio data from servicer Updated due to quarterly assessment and 164,555,241 reallocation Updated due to quarterly assessment and 164,552,462 reallocation 1/6/2011 $ (247) $ 3/30/2011 $ (294) $ 6/29/2011 $ (2,779) $ 10/19/2011 $ (162,895,068) $ 6/17/2009 $ (64,990,000) $ 375,430,000 Updated portfolio data from servicer Transfer of cap to Countrywide Home Loans due 365,150,000 to servicing transfer Transfer of cap to GMAC Mortgage, Inc. due to 363,270,000 servicing transfer Transfer of cap to Countrywide Home Loans due 76,760,000 to servicing transfer 96,300,000 Updated portfolio data from servicer Transfer of cap to Green Tree Servicing LLC due 96,090,000 to servicing transfer 95,990,000 Transfer of cap due to servicing transfer 1,657,394 Termination of SPA 9/30/2009 $ 130,780,000 $ 12/30/2009 $ (116,750,000) $ 91,010,000 Updated portfolio data from servicer Updated portfolio data from servicer & HPDP 221,790,000 initial cap Updated portfolio data from servicer & HAFA 105,040,000 initial cap 3/26/2010 $ 13,080,000 $ 118,120,000 Updated portfolio data from servicer 7/14/2010 $ (24,220,000) $ 7/16/2010 $ 210,000 $ 8/13/2010 $ 2,200,000 $ 9/10/2010 $ 34,600,000 $ 130,910,000 Initial 2MP cap 9/30/2010 $ 5,600,000 $ 136,510,000 Initial FHA-2LP cap and FHA-HAMP 9/30/2010 $ 10,185,090 $ 146,695,090 Updated portfolio data from servicer 10/15/2010 $ 400,000 $ 147,095,090 Transfer of cap due to servicing transfer 1/6/2011 $ (213) $ 3/30/2011 $ (250) $ 147,094,877 Updated portfolio data from servicer Updated due to quarterly assessment and 147,094,627 reallocation 5/13/2011 $ 1,200,000 $ 148,294,627 Transfer of cap due to servicing transfer 6/16/2011 $ 100,000 $ 6/29/2011 $ (2,302) $ 148,394,627 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 148,392,325 reallocation 7/14/2011 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 $ 1,900,000 $ 150,292,325 Transfer of cap due to servicing transfer 9/15/2011 $ 200,000 $ 150,492,325 Transfer of cap due to servicing transfer 10/14/2011 $ 200,000 $ 150,692,325 Transfer of cap due to servicing transfer 11/16/2011 $ 400,000 $ 151,092,325 Transfer of cap due to servicing transfer 2/16/2012 $ 900,000 $ 151,992,325 Transfer of cap due to servicing transfer 3/15/2012 $ 100,000 $ 152,092,325 Transfer of cap due to servicing transfer 5/16/2012 $ 3,260,000 $ 155,352,325 Transfer of cap due to servicing transfer 6/14/2012 $ 920,000 $ 6/28/2012 $ (1,622) $ 156,272,325 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 156,270,703 reallocation 7/16/2012 $ 110,000 $ 156,380,703 Transfer of cap due to servicing transfer 8/16/2012 $ 5,120,000 $ 9/27/2012 $ (4,509) $ 161,500,703 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 161,496,194 reallocation 10/16/2012 $ 8,810,000 $ 170,306,194 Transfer of cap due to servicing transfer 11/15/2012 $ 2,910,000 $ 12/27/2012 $ (802) $ 173,216,194 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 173,215,392 reallocation 2/14/2013 $ 10,210,000 $ 3/25/2013 $ (3,023) $ 5/16/2013 $ 140,000 $ 6/27/2013 $ (1,077) $ 183,562,369 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 183,561,292 reallocation 7/16/2013 $ 7,210,000 $ 190,771,292 Transfer of cap due to servicing transfer 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 $ 286,463,360 Transfer of cap due to servicing transfer (63,980,000) $ 183,425,392 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 183,422,369 reallocation 85 Servicer Modifying Borrowers' Loans Name of Institution Date Adjustment Details City State Transaction Type Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Investment Description Pricing Mechanism Note 10503 10503 10503 10503 10503 10503 10503 10503 10503 10503 10503 RBS 10503 10503 10503 10503 10503 10503 10503 10503 10503 10503 10503 10503 10503 10503 5/1/2009 Aurora Loan Services, LLC Littleton CO Purchase Financial Instrument for Home Loan Modifications $ 798,000,000 N/A 10231 10231 10231 10231 10231 10231 10231 10231 10231 10231 10231 10231 10231 10231 10231 10231 10231 10231 10231 10231 10231 10231 10231 10231 5/28/2009 Nationstar Mortgage LLC 17 Lewisville 10406 10406 10406 10406 10406 10406 10406 10406 10406 10406 10406 10406 10406 10406 10406 10406 TX Purchase Financial Instrument for Home Loan Modifications $ 101,000,000 N/A Adjustment Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment (384) $ $ (3,592) $ Updated due to quarterly assessment and 286,462,976 reallocation Updated due to quarterly assessment and 286,459,384 reallocation $ 1,800,000 $ 288,259,384 Transfer of cap due to servicing transfer $ 100,000 $ 288,359,384 Transfer of cap due to servicing transfer 11/16/2011 $ 1,000,000 $ 289,359,384 Transfer of cap due to servicing transfer 2/16/2012 $ 1,100,000 $ 290,459,384 Transfer of cap due to servicing transfer 4/16/2012 $ 100,000 $ 290,559,384 Transfer of cap due to servicing transfer 5/16/2012 $ 850,000 $ 291,409,384 Transfer of cap due to servicing transfer 6/14/2012 $ 2,240,000 $ 6/28/2012 $ (2,520) $ 293,649,384 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 293,646,864 reallocation 7/16/2012 $ 1,690,000 $ 295,336,864 Transfer of cap due to servicing transfer 8/16/2012 $ (30,000) $ 9/27/2012 $ (6,632) $ 295,306,864 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 295,300,232 reallocation 10/16/2012 $ 2,880,000 $ 298,180,232 Transfer of cap due to servicing transfer 11/15/2012 $ 1,500,000 $ 299,680,232 Transfer of cap due to servicing transfer 12/14/2012 $ 2,040,000 $ 12/27/2012 $ (1,103) $ 301,720,232 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 301,719,129 reallocation 1/16/2013 $ (10,000) $ 301,709,129 Transfer of cap due to servicing transfer 2/14/2013 $ 4,960,000 $ 306,669,129 Transfer of cap due to servicing transfer 3/14/2013 $ (30,000) $ 3/25/2013 $ (4,179) $ 306,639,129 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 306,634,950 reallocation 4/16/2013 $ (70,000) $ 306,564,950 Transfer of cap due to servicing transfer 5/16/2013 $ 1,570,000 $ 308,134,950 Transfer of cap due to servicing transfer 6/14/2013 $ (1,880,000) $ 6/27/2013 $ (1,522) $ 306,254,950 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 306,253,428 reallocation 7/16/2013 $ 270,000 $ 306,523,428 Transfer of cap due to servicing transfer 6/17/2009 $ (338,450,000) $ 9/30/2009 $ (11,860,000) $ 12/30/2009 $ 3/26/2010 7/14/2010 3/30/2011 $ 6/29/2011 8/16/2011 9/15/2011 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 9/1/2010 $ 400,000 $ 401,700,000 Initial FHA-HAMP cap 9/30/2010 $ (8,454,269) $ 393,245,731 Updated portfolio data from servicer 1/6/2011 $ (342) $ 3/30/2011 $ (374) $ 393,245,389 Updated portfolio data from servicer Updated due to quarterly assessment and 393,245,015 reallocation 5/13/2011 $ 18,000,000 $ 6/29/2011 $ (3,273) $ 411,245,015 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 411,241,742 reallocation 10/14/2011 $ (200,000) $ 411,041,742 Transfer of cap due to servicing transfer 3/15/2012 $ 100,000 $ 411,141,742 Transfer of cap due to servicing transfer 4/16/2012 $ (500,000) $ 6/28/2012 $ (1,768) $ 410,641,742 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 410,639,974 reallocation 7/16/2012 $ (90,000) $ 410,549,974 Transfer of cap due to servicing transfer 8/16/2012 $ (134,230,000) $ 276,319,974 Transfer of cap due to servicing transfer 8/23/2012 $ (166,976,849) $ 9/27/2012 $ 1 $ 109,343,125 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 109,343,126 reallocation 11/15/2012 $ (230,000) $ 3/25/2013 $ (1) $ 109,113,126 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 109,113,125 reallocation 5/16/2013 $ (20,000) $ 109,093,125 Transfer of cap due to servicing transfer 6/14/2013 $ (50,000) $ 6/27/2013 $ (15) $ 109,043,125 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 109,043,110 reallocation (23,179,591) $ 7/9/2013 $ 6/12/2009 $ 16,140,000 $ 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 85,863,519 Termination of SPA 3/26/2010 $ 67,250,000 $ 399,200,000 Updated portfolio data from servicer 7/14/2010 $ (85,900,000) $ 313,300,000 Updated portfolio data from servicer 8/13/2010 $ 100,000 $ 9/30/2010 $ 2,900,000 $ 313,400,000 Transfer of cap due to servicing transfer Initial FHA-HAMP cap, initial FHA-2LP cap, initial 316,300,000 RD-HAMP, and initial 2MP cap 9/30/2010 $ 33,801,486 $ 350,101,486 Updated portfolio data from servicer 11/16/2010 $ 700,000 $ 350,801,486 Transfer of cap due to servicing transfer 12/15/2010 $ 1,700,000 $ 352,501,486 Updated portfolio data from servicer 1/6/2011 $ (363) $ 352,501,123 Updated portfolio data from servicer 2/16/2011 $ 900,000 $ 353,401,123 Transfer of cap due to servicing transfer 3/16/2011 $ 29,800,000 $ 3/30/2011 $ (428) $ 383,201,123 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 383,200,695 reallocation 5/26/2011 $ 20,077,503 $ 6/29/2011 $ (4,248) $ 403,278,198 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 403,273,950 reallocation 11/16/2011 $ 100,000 $ 403,373,950 Transfer of cap due to servicing transfer 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 10406 10406 10406 10406 10406 10406 10406 10406 10406 10406 10406 10406 10406 10406 10406 10406 10406 10406 10406 10406 6/12/2009 Residential Credit Solutions, Inc. Fort Worth TX Purchase Financial Instrument for Home Loan Modifications $ 19,400,000 N/A 10326 10326 10326 10326 10326 10326 10326 10326 10326 10326 10326 10326 10326 10326 10326 10326 10326 10326 10326 10326 10326 10326 10326 10326 10326 10326 10326 6/17/2009 CCO Mortgage Glen Allen VA Purchase Financial Instrument for Home Loan Modifications $ 16,520,000 N/A 10052 10052 10052 10052 10052 10052 10052 10052 10052 10052 10052 10052 6/17/2009 RG Mortgage Corporation San Juan 10131 10131 10131 10131 10131 10131 PR Purchase Financial Instrument for Home Loan Modifications $ 57,000,000 N/A Note Adjustment Date Cap Adjustment Amount 3/15/2012 $ 5/16/2012 6/14/2012 6/28/2012 7/16/2012 8/16/2012 Adjusted Cap Reason for Adjustment (100,000) $ 403,273,950 Transfer of cap due to servicing transfer $ 90,000 $ 403,363,950 Transfer of cap due to servicing transfer $ (2,380,000) $ $ (2,957) $ 400,983,950 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 400,980,993 reallocation $ (2,580,000) $ 398,400,993 Transfer of cap due to servicing transfer $ 131,450,000 $ 529,850,993 Transfer of cap due to servicing transfer 8/23/2012 $ 166,976,849 $ 9/27/2012 $ (12,806) $ 696,827,842 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 696,815,036 reallocation 11/15/2012 $ 160,000 $ 696,975,036 Transfer of cap due to servicing transfer 12/14/2012 $ 50,000 $ 12/27/2012 $ (1,882) $ 697,025,036 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 697,023,154 reallocation 2/14/2013 $ (10,000) $ 697,013,154 Transfer of cap due to servicing transfer 3/14/2013 $ (280,000) $ 3/25/2013 $ (6,437) $ 696,733,154 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 696,726,717 reallocation 4/16/2013 $ 30,000 $ 696,756,717 Transfer of cap due to servicing transfer 5/16/2013 $ (1,510,000) $ 695,246,717 Transfer of cap due to servicing transfer 6/14/2013 $ (1,070,000) $ 6/27/2013 $ (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 7/9/2013 $ 23,179,591 $ 7/16/2013 $ 490,000 $ 9/30/2009 $ (1,860,000) $ 12/30/2009 $ 27,920,000 $ 3/26/2010 $ (1,390,000) $ 44,070,000 Updated portfolio data from servicer 7/14/2010 $ (13,870,000) $ 9/30/2010 $ 400,000 $ 30,200,000 Updated portfolio data from servicer Initial FHA-HAMP cap, initial FHA-2LP cap, and 30,600,000 initial 2MP cap 9/30/2010 717,844,209 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 $ 586,954 $ 31,186,954 Updated portfolio data from servicer 1/6/2011 $ (34) $ 3/30/2011 $ (37) $ 31,186,920 Updated portfolio data from servicer Updated due to quarterly assessment and 31,186,883 reallocation 4/13/2011 $ 100,000 $ 6/29/2011 $ (329) $ 31,286,883 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 31,286,554 reallocation 9/15/2011 $ (1,900,000) $ 29,386,554 Transfer of cap due to servicing transfer 11/16/2011 $ 2,800,000 $ 32,186,554 Transfer of cap due to servicing transfer 5/16/2012 $ 420,000 $ 32,606,554 Transfer of cap due to servicing transfer 6/14/2012 $ 8,060,000 $ 6/28/2012 $ (313) $ 40,666,554 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 40,666,241 reallocation 7/16/2012 $ 2,160,000 $ 9/27/2012 $ (911) $ 42,826,241 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 42,825,330 reallocation 10/16/2012 $ 5,690,000 $ 48,515,330 Transfer of cap due to servicing transfer 11/15/2012 $ 20,000 $ 12/27/2012 $ (178) $ 48,535,330 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 48,535,152 reallocation 2/14/2013 $ 3,190,000 $ 51,725,152 Transfer of cap due to servicing transfer 3/14/2013 $ (260,000) $ 3/25/2013 $ (713) $ 51,465,152 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 51,464,439 reallocation 4/16/2013 $ 1,330,000 $ 52,794,439 Transfer of cap due to servicing transfer 5/16/2013 $ 100,000 $ 52,894,439 Transfer of cap due to servicing transfer 6/14/2013 $ 20,000 $ 6/27/2013 $ (264) $ 52,914,439 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 52,914,175 reallocation 7/16/2013 $ 6,080,000 $ 9/30/2009 $ 13,070,000 $ 12/30/2009 $ 145,510,000 $ 3/26/2010 $ (116,950,000) $ 58,150,000 Updated portfolio data from servicer 7/14/2010 $ (23,350,000) $ 34,800,000 Updated portfolio data from servicer 9/30/2010 $ 7,846,346 $ 42,646,346 Updated portfolio data from servicer 1/6/2011 $ (46) $ 3/30/2011 $ (55) $ 6/29/2011 $ (452) $ 6/28/2012 $ (309) $ 9/27/2012 $ (807) $ 12/27/2012 $ (131) $ 3/25/2013 $ (475) $ 6/27/2013 $ (175) $ 9/30/2009 $ (11,300,000) $ 12/30/2009 $ (42,210,000) $ 42,646,300 Updated portfolio data from servicer Updated due to quarterly assessment and 42,646,245 reallocation Updated due to quarterly assessment and 42,645,793 reallocation Updated due to quarterly assessment and 42,645,484 reallocation Updated due to quarterly assessment and 42,644,677 reallocation Updated due to quarterly assessment and 42,644,546 reallocation Updated due to quarterly assessment and 42,644,071 reallocation Updated due to quarterly assessment and 42,643,896 reallocation Updated portfolio data from servicer & HPDP 45,700,000 initial cap Updated portfolio data from servicer & HAFA 3,490,000 initial cap 3/26/2010 $ 65,640,000 $ 69,130,000 Updated portfolio data from servicer 4/9/2010 $ (14,470,000) $ 54,660,000 Updated portfolio data from servicer 7/14/2010 $ (8,860,000) $ 45,800,000 Updated portfolio data from servicer 9/30/2010 $ (4,459,154) $ 41,340,846 Updated portfolio data from servicer 12/15/2010 $ (4,300,000) $ 37,040,846 Updated portfolio data from servicer 58,994,175 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 87 Servicer Modifying Borrowers' Loans Name of Institution Date Adjustment Details City State Transaction Type Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Investment Description Pricing Mechanism Note 10131 10131 10131 10131 10131 10131 10131 10131 6/19/2009 First Federal Savings and Loan Port Angeles WA Purchase Financial Instrument for Home Loan Modifications $ 770,000 N/A 10224 10224 6/19/2009 Wescom Central Credit Union Anaheim CA Purchase Financial Instrument for Home Loan Modifications $ 540,000 N/A 10126 10126 10126 10126 10126 10126 10126 10126 10126 12 10126 9 10126 6/26/2009 Citizens First Wholesale Mortgage Company The Villages FL Purchase Financial Instrument for Home Loan Modifications $ 30,000 N/A 10002 10002 10002 10002 10002 6/26/2009 San Jose Technology Credit Union CA Purchase Financial Instrument for Home Loan Modifications $ 70,000 N/A 10014 10014 10014 10014 10014 10014 10014 10014 10014 10014 10014 6/26/2009 Miamisburg National City Bank OH Purchase Financial Instrument for Home Loan Modifications $ 294,980,000 N/A 10349 10349 10349 10349 10349 10349 10349 10349 10349 10349 10349 10349 10349 10349 10349 10349 10349 10349 10349 10349 10349 10349 10349 10349 7/1/2009 Wachovia Mortgage, FSB Des Moines 1000642 IA Purchase Financial Instrument for Home Loan Modifications $ 634,010,000 N/A Adjustment Date Cap Adjustment Amount 1/6/2011 $ 3/30/2011 6/29/2011 6/28/2012 Adjusted Cap Reason for Adjustment (51) $ $ (65) $ $ (616) $ $ (462) $ 9/27/2012 $ (1,270) $ 12/27/2012 $ (214) $ 3/25/2013 $ (812) $ 6/27/2013 $ (306) $ 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 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 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 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) $ 9/30/2009 $ 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 portfolio data from servicer & HPDP 610,150,000 initial cap Updated portfolio data from servicer & HAFA 700,430,000 initial cap 3/26/2010 $ (18,690,000) $ 681,740,000 Updated portfolio data from servicer 7/14/2010 $ (272,640,000) $ 9/30/2010 $ 80,600,000 $ 409,100,000 Updated portfolio data from servicer Initial FHA-HAMP cap, Initial FHA-2LP cap, and 489,700,000 initial 2MP cap 9/30/2010 $ 71,230,004 $ 560,930,004 Updated portfolio data from servicer 1/6/2011 $ (828) $ 560,929,176 Updated portfolio data from servicer 2/16/2011 $ 200,000 $ 561,129,176 Transfer of cap due to servicing transfer 3/16/2011 $ (100,000) $ 3/30/2011 $ (981) $ 561,029,176 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 561,028,195 reallocation 4/13/2011 $ (2,300,000) $ 558,728,195 Transfer of cap due to servicing transfer 5/13/2011 $ (200,000) $ 558,528,195 Transfer of cap due to servicing transfer 6/16/2011 $ (200,000) $ 6/29/2011 $ (9,197) $ 558,328,195 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 558,318,998 reallocation 10/14/2011 $ 300,000 $ 558,618,998 Transfer of cap due to servicing transfer 11/16/2011 $ (300,000) $ 558,318,998 Transfer of cap due to servicing transfer 1/13/2012 $ 200,000 $ 558,518,998 Transfer of cap due to servicing transfer 2/16/2012 $ (100,000) $ 558,418,998 Transfer of cap due to servicing transfer 3/15/2012 $ 200,000 $ 558,618,998 Transfer of cap due to servicing transfer 6/14/2012 $ (10,000) $ 6/28/2012 $ (6,771) $ 9/27/2012 $ (18,467) $ 12/27/2012 $ (3,105) $ 3/25/2013 $ (11,713) $ 6/27/2013 $ (4,393) $ 9/30/2009 $ 723,880,000 $ 12/30/2009 $ 692,640,000 $ 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 portfolio data from servicer & HPDP 1,357,890,000 initial cap Updated portfolio data from servicer & HAFA 2,050,530,000 initial cap 88 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 1000642 3 1000642 7/1/2009 Bayview Loan Servicing, LLC Coral Gables FL Purchase Financial Instrument for Home Loan Modifications $ 44,260,000 N/A 1000667 1000667 1000667 1000667 1000667 1000667 1000667 1000667 1000667 1000667 1000667 1000667 1000667 1000667 1000667 1000667 1000667 1000667 1000667 1000667 1000667 1000667 1000667 1000667 1000667 1000667 1000667 1000667 1000667 1000667 1000667 1000667 1000667 1000667 7/10/2009 Lake National Bank OH Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 10355 10355 10355 10355 10355 10355 10355 10355 IBM Southeast Employees' Federal Credit Union 12 Delray Beach FL Purchase Financial Instrument for Home Loan Modifications $ 870,000 N/A 10029 10029 10029 10029 10029 10029 10029 10029 10029 7/17/2009 MorEquity, Inc. 12 Evansville IN Purchase Financial Instrument for Home Loan Modifications $ 23,480,000 N/A 1000957 1000957 1000957 1000957 1000957 1000957 1000957 11 1000957 7/17/2009 PNC Bank, National Association Pittsburgh PA Purchase Financial Instrument for Home Loan Modifications $ 54,470,000 N/A Cap Adjustment Amount Adjusted Cap Reason for Adjustment $ (54,767) 9/30/2009 $ 23,850,000 $ 12/30/2009 $ 43,590,000 $ 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 3/26/2010 $ 34,540,000 $ 146,240,000 Updated portfolio data from servicer 5/7/2010 $ 1,010,000 $ 147,250,000 Initial 2MP cap 7/14/2010 $ (34,250,000) $ 113,000,000 Updated portfolio data from servicer 9/30/2010 $ 600,000 $ 113,600,000 Initial FHA-2LP cap 9/30/2010 $ (15,252,303) $ 98,347,697 Updated portfolio data from servicer 1/6/2011 $ (70) $ 3/30/2011 $ (86) $ 98,347,627 Updated portfolio data from servicer Updated due to quarterly assessment and 98,347,541 reallocation 4/13/2011 $ 400,000 $ 98,747,541 Transfer of cap due to servicing transfer 5/13/2011 $ 100,000 $ 6/29/2011 $ (771) $ 98,847,541 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 98,846,770 reallocation 9/15/2011 $ 600,000 $ 99,446,770 Transfer of cap due to servicing transfer 10/14/2011 $ (18,900,000) $ 80,546,770 Transfer of cap due to servicing transfer 1/13/2012 $ 900,000 $ 81,446,770 Transfer of cap due to servicing transfer 2/16/2012 $ 2,400,000 $ 83,846,770 Transfer of cap due to servicing transfer 3/15/2012 $ (100,000) $ 83,746,770 Transfer of cap due to servicing transfer 4/16/2012 $ 200,000 $ 83,946,770 Transfer of cap due to servicing transfer 5/16/2012 $ 30,000 $ 83,976,770 Transfer of cap due to servicing transfer 6/14/2012 $ 1,810,000 $ 6/28/2012 $ (508) $ 85,786,770 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 85,786,262 reallocation 7/16/2012 $ 2,660,000 $ 9/27/2012 $ (1,249) $ 10/16/2012 $ 160,000 $ 11/15/2012 $ 6,970,000 $ 95,575,013 Transfer of cap due to servicing transfer 12/14/2012 $ 13,590,000 $ 12/27/2012 $ (298) $ 109,165,013 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 109,164,715 reallocation 1/16/2013 $ 90,000 $ 109,254,715 Transfer of cap due to servicing transfer 2/14/2013 $ 3,250,000 $ 112,504,715 Transfer of cap due to servicing transfer 3/14/2013 $ 830,000 $ 3/25/2013 $ (1,023) $ 113,334,715 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 113,333,692 reallocation 4/16/2013 $ 1,490,000 $ 114,823,692 Transfer of cap due to servicing transfer 5/16/2013 $ 660,000 $ 115,483,692 Transfer of cap due to servicing transfer 6/14/2013 $ 7,470,000 $ 6/27/2013 $ (308) $ 122,953,692 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 122,953,384 reallocation 2/17/2010 $ 3/12/2010 7/16/2013 Mentor 10355 7/10/2009 Adjustment Date (2,050,236,344) $ $ $ 88,446,262 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 88,445,013 reallocation 88,605,013 Transfer of cap due to servicing transfer $ 21,430,000 9/30/2009 $ 150,000 $ 12/30/2009 $ 130,000 $ 144,383,384 Transfer of cap due to servicing transfer Updated portfolio data from servicer & HPDP 250,000 initial cap Updated portfolio data from servicer & HAFA 380,000 initial cap 3/26/2010 $ 50,000 $ 430,000 Updated portfolio data from servicer 7/14/2010 $ (30,000) $ 400,000 Updated portfolio data from servicer 9/30/2010 $ 35,167 $ 435,167 Updated portfolio data from servicer 1/6/2011 $ (1) $ 3/30/2011 $ (1) $ 6/29/2011 $ (6) $ 6/28/2012 $ (4) $ 435,166 Updated portfolio data from servicer Updated due to quarterly assessment and 435,165 reallocation Updated due to quarterly assessment and 435,159 reallocation Updated due to quarterly assessment and 435,155 reallocation 8/23/2012 $ (424,504) $ 9/30/2009 $ (10,000) $ 12/30/2009 $ 250,000 $ 10,651 Termination of SPA Updated portfolio data from servicer & HPDP 860,000 initial cap Updated portfolio data from servicer & HAFA 1,110,000 initial cap 3/26/2010 $ (10,000) $ 1,100,000 Updated portfolio data from servicer 7/14/2010 $ (400,000) $ 700,000 Updated portfolio data from servicer 9/30/2010 $ 170,334 $ 870,334 Updated portfolio data from servicer 1/6/2011 $ (1) $ 3/30/2011 $ (1) $ 6/29/2011 $ (12) $ 6/28/2012 $ (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) $ 9/30/2009 $ 18,530,000 $ 12/30/2009 $ 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) $ 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 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 1000834 1000834 1000834 1000834 1000834 1000834 1000834 1000834 1000834 1000834 1000834 1000834 1000834 1000834 1000834 1000834 7/17/2009 Farmers State Bank West Salem OH Purchase Financial Instrument for Home Loan Modifications $ 170,000 N/A 10612 10612 10612 10612 10612 7/17/2009 ShoreBank Chicago IL Purchase Financial Instrument for Home Loan Modifications $ 1,410,000 N/A 10257 10257 10257 10257 10257 10257 10257 10257 10257 10257 10257 10257 12 10257 7/22/2009 Homeward Residential, Inc. (American Home Mortgage Servicing, Inc) 10727 10727 10727 10727 10727 10727 10727 10727 10727 10727 10727 10727 10727 10727 10727 10727 10727 10727 10727 10727 10727 10727 10727 10727 10727 10727 10727 10727 10727 10727 10727 Coppell TX Purchase Financial Instrument for Home Loan Modifications $ 1,272,490,000 N/A Adjustment Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment 19,280,000 $ Updated portfolio data from servicer & HAFA 37,510,000 initial cap $ 2,470,000 $ 39,980,000 Updated portfolio data from servicer $ (17,180,000) $ 22,800,000 Updated portfolio data from servicer $ 35,500,000 $ 58,300,000 Initial FHA-2LP cap and initial 2MP cap 9/30/2010 $ 23,076,191 $ 81,376,191 Updated portfolio data from servicer 1/6/2011 $ (123) $ 3/30/2011 $ (147) $ 81,376,068 Updated portfolio data from servicer Updated due to quarterly assessment and 81,375,921 reallocation 5/13/2011 $ (100,000) $ 6/29/2011 $ (1,382) $ 10/14/2011 $ (300,000) $ 6/28/2012 $ (1,003) $ 12/30/2009 $ 3/26/2010 7/14/2010 9/30/2010 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 portfolio data from servicer & HPDP 80,000 initial cap Updated portfolio data from servicer & HAFA 130,000 initial cap 9/27/2012 $ (2,745) $ 12/27/2012 $ (460) $ 3/25/2013 $ (1,740) $ 4/9/2013 $ 60,000 $ 6/27/2013 $ (656) $ 9/30/2009 $ (90,000) $ 12/30/2009 $ 50,000 $ 3/26/2010 $ 100,000 $ 230,000 Updated portfolio data from servicer 7/14/2010 $ (130,000) $ 100,000 Updated portfolio data from servicer 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer 5/20/2011 $ (145,056) $ 9/30/2009 $ 890,000 $ 12/30/2009 $ 1,260,000 $ - Termination of SPA Updated portfolio data from servicer & HPDP 2,300,000 initial cap Updated portfolio data from servicer & HAFA 3,560,000 initial cap 3/26/2010 $ (20,000) $ 3,540,000 Updated portfolio data from servicer 7/14/2010 $ (240,000) $ 3,300,000 Updated portfolio data from servicer 9/30/2010 $ 471,446 $ 3,771,446 Updated portfolio data from servicer 1/6/2011 $ (3) $ 3/30/2011 $ (4) $ 3,771,443 Updated portfolio data from servicer Updated due to quarterly assessment and 3,771,439 reallocation 4/13/2011 $ (1,100,000) $ 6/29/2011 $ (38) $ 6/28/2012 $ (29) $ 9/27/2012 $ (79) $ 12/27/2012 $ (13) $ 3/25/2013 $ (50) $ 4/9/2013 $ (2,324,244) $ 9/30/2009 $ 12/30/2009 $ 250,450,000 $ 346,986 Termination of SPA Updated portfolio data from servicer & HPDP 1,218,820,000 initial cap Updated portfolio data from servicer & HAFA 1,469,270,000 initial cap 3/26/2010 $ 124,820,000 $ 1,594,090,000 Updated portfolio data from servicer 7/14/2010 $ (289,990,000) $ 1,304,100,000 Updated portfolio data from servicer 9/30/2010 $ 1,690,508 $ 1,305,790,508 Updated portfolio data from servicer 10/15/2010 $ 300,000 $ 1,306,090,508 Transfer of cap due to servicing transfer 11/16/2010 $ (100,000) $ 1,305,990,508 Transfer of cap due to servicing transfer 1/6/2011 $ (1,173) $ 1,305,989,335 Updated portfolio data from servicer 2/16/2011 $ (500,000) $ 3/30/2011 $ (1,400) $ 1,305,489,335 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,305,487,935 reallocation 4/13/2011 $ 3,100,000 $ 6/29/2011 $ (12,883) $ 1,308,587,935 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,308,575,052 reallocation (53,670,000) $ 2,671,439 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 2,671,401 reallocation Updated due to quarterly assessment and 2,671,372 reallocation Updated due to quarterly assessment and 2,671,293 reallocation Updated due to quarterly assessment and 2,671,280 reallocation Updated due to quarterly assessment and 2,671,230 reallocation 9/15/2011 $ (1,000,000) $ 1,307,575,052 Transfer of cap due to servicing transfer 10/14/2011 $ (100,000) $ 1,307,475,052 Transfer of cap due to servicing transfer 11/16/2011 $ (1,100,000) $ 1,306,375,052 Transfer of cap due to servicing transfer 5/16/2012 $ (10,000) $ 6/28/2012 $ (8,378) $ 1,306,365,052 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,306,356,674 reallocation 7/16/2012 $ (470,000) $ 1,305,886,674 Transfer of cap due to servicing transfer 8/16/2012 $ (80,000) $ 9/27/2012 $ (22,494) $ 1,305,806,674 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,305,784,180 reallocation 10/16/2012 $ (260,000) $ 1,305,524,180 Transfer of cap due to servicing transfer 11/15/2012 $ (30,000) $ 1,305,494,180 Transfer of cap due to servicing transfer 12/14/2012 $ (50,000) $ 12/27/2012 $ (3,676) $ 1,305,444,180 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,305,440,504 reallocation 1/16/2013 $ (80,000) $ 1,305,360,504 Transfer of cap due to servicing transfer 2/14/2013 $ 20,000 $ 1,305,380,504 Transfer of cap due to servicing transfer 3/14/2013 $ (84,160,000) $ 3/25/2013 $ (12,821) $ 1,221,220,504 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,221,207,683 reallocation 4/16/2013 $ (621,110,000) $ 600,097,683 Transfer of cap due to servicing transfer 5/16/2013 $ (19,120,000) $ 6/27/2013 $ (1,947) $ 580,977,683 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 580,975,736 reallocation 7/16/2013 $ (14,870,000) $ 566,105,736 Transfer of cap due to servicing transfer 90 Servicer Modifying Borrowers' Loans Name of Institution Date 7/22/2009 Adjustment Details City Mortgage Center, LLC Southfield State Transaction Type MI Purchase Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Investment Description Financial Instrument for Home Loan Modifications $ 4,210,000 Pricing Mechanism N/A 10439 10439 10439 10439 10439 10439 10439 10439 10439 10439 10439 10439 7/22/2009 Mission Federal Credit Union San Diego CA Purchase Financial Instrument for Home Loan Modifications $ 860,000 N/A 1000455 1000455 1000455 1000455 1000455 1000455 1000455 1000455 1000455 7/29/2009 FIRST BANK St. Louis MO Purchase Financial Instrument for Home Loan Modifications $ 6,460,000 N/A 10455 10455 10455 10455 10455 10455 10455 10455 10455 10455 10455 10455 7/29/2009 Purdue Employees Federal Credit Union West Lafayette IN Purchase Financial Instrument for Home Loan Modifications $ 1,090,000 N/A 1000505 1000505 1000505 1000505 1000505 1000505 1000505 1000505 1000505 1000505 1000505 1000505 7/29/2009 Wachovia Bank, N.A. Charlotte NC Purchase Financial Instrument for Home Loan Modifications $ 85,020,000 N/A 1000902 1000902 1000902 1000902 1000902 7/31/2009 J.P. Morgan Chase Bank, NA Lewisville 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 Note Adjustment Date Cap Adjustment Amount 9/30/2009 $ 12/30/2009 $ 3/26/2010 $ 7/14/2010 $ 9/30/2010 $ 1/6/2011 Adjusted Cap Reason for Adjustment Updated portfolio data from servicer & HPDP 5,990,000 initial cap Updated portfolio data from servicer & HAFA 8,830,000 initial cap 1,780,000 $ 2,840,000 $ 2,800,000 $ 11,630,000 Updated portfolio data from servicer (5,730,000) $ 5,900,000 Updated portfolio data from servicer 2,658,280 $ 8,558,280 Updated portfolio data from servicer $ (12) $ 3/30/2011 $ (14) $ 6/29/2011 $ (129) $ 6/28/2012 $ (94) $ 9/27/2012 $ (256) $ 12/27/2012 $ (43) $ 3/25/2013 $ (162) $ 6/27/2013 $ (60) 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 portfolio data from servicer & HPDP 370,000 initial cap Updated portfolio data from servicer & HAFA 7,120,000 initial cap $ 9/30/2009 $ 12/30/2009 $ 6,750,000 (490,000) $ $ 3/26/2010 $ (6,340,000) $ 780,000 Updated portfolio data from servicer 7/14/2010 $ (180,000) $ 600,000 Updated portfolio data from servicer 9/30/2010 $ 125,278 $ 3/30/2011 $ (1) $ 6/29/2011 $ (4) $ 6/28/2012 $ (1) $ 9/27/2012 $ (1) $ 3/25/2013 $ 47,663 $ 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 7/14/2010 $ (2,470,000) $ 5,600,000 Updated portfolio data from servicer 9/30/2010 $ 2,523,114 $ 8,123,114 Updated portfolio data from servicer 1/6/2011 $ (2) $ 3/30/2011 $ (2) $ 6/29/2011 $ (15) $ 6/28/2012 $ (3) $ 9/27/2012 $ (5) $ 12/27/2012 $ (1) $ 3/25/2013 $ (5) $ 6/27/2013 $ (1) $ 9/30/2009 $ 12/30/2009 $ 1,260,000 $ 8,123,112 Updated portfolio data from servicer Updated due to quarterly assessment and 8,123,110 reallocation Updated due to quarterly assessment and 8,123,095 reallocation Updated due to quarterly assessment and 8,123,092 reallocation Updated due to quarterly assessment and 8,123,087 reallocation Updated due to quarterly assessment and 8,123,086 reallocation Updated due to quarterly assessment and 8,123,081 reallocation Updated due to quarterly assessment and 8,123,080 reallocation Updated portfolio data from servicer & HPDP 1,030,000 initial cap Updated portfolio data from servicer & HAFA 2,290,000 initial cap 3/26/2010 $ 2,070,000 $ 4,360,000 Updated portfolio data from servicer 7/14/2010 $ (3,960,000) $ 400,000 Updated portfolio data from servicer 9/30/2010 $ 180,222 $ 580,222 Updated portfolio data from servicer 1/6/2011 $ (1) $ 3/30/2011 $ (1) $ 6/29/2011 $ (8) $ 6/28/2012 $ (6) $ 9/27/2012 $ (17) $ 12/27/2012 $ (3) $ 3/25/2013 $ (11) $ 6/27/2013 $ (4) $ 9/30/2009 $ 12/30/2009 $ 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 portfolio data from servicer & HPDP 47,320,000 initial cap Updated portfolio data from servicer & HAFA 73,480,000 initial cap 3/26/2010 $ 9,820,000 $ 83,300,000 Updated portfolio data from servicer 7/14/2010 $ (46,200,000) $ 37,100,000 Updated portfolio data from servicer 9/30/2010 $ (28,686,775) $ 8,413,225 Updated portfolio data from servicer 12/3/2010 $ (8,413,225) $ 9/30/2009 $ 12/30/2009 $ 1,178,180,000 $ 3/26/2010 $ 1,006,580,000 $ 7/14/2010 $ (1,934,230,000) $ 9/30/2010 $ 72,400,000 $ 2,935,400,000 Updated portfolio data from servicer Initial FHA-HAMP cap, Initial FHA-2LP cap, and 3,007,800,000 initial RD-HAMP 9/30/2010 $ 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 (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 91 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 10706 10706 10706 10706 10706 10706 10706 10706 10706 10706 10706 10706 10706 10706 10706 10706 10706 10706 10706 10706 10706 10706 10706 10706 10706 10706 7/31/2009 EMC Mortgage Corporation Lewisville TX Purchase Financial Instrument for Home Loan Modifications $ 707,380,000 N/A 1001020 1001020 1001020 1001020 1001020 1001020 1001020 1001020 1001020 1001020 1001020 1001020 1001020 1001020 1001020 1001020 8/5/2009 Lake City Bank 14 Warsaw IN Purchase Financial Instrument for Home Loan Modifications $ 420,000 N/A 1000840 1000840 1000840 1000840 1000840 1000840 1000840 1000840 1000840 1000840 8/5/2009 Oakland Municipal Credit Union Oakland CA Purchase Financial Instrument for Home Loan Modifications $ 140,000 N/A 1000609 1000609 1000609 1000609 1000609 1000609 1000609 1000609 12 1000609 8/5/2009 HomEq Servicing North Highlands 10717 10717 10717 CA Purchase Financial Instrument for Home Loan Modifications $ 674,000,000 N/A Adjustment Date Cap Adjustment Amount 8/16/2011 $ Adjusted Cap Reason for Adjustment (400,000) $ 3,345,983,295 Transfer of cap due to servicing transfer 9/15/2011 $ (100,000) $ 3,345,883,295 Transfer of cap due to servicing transfer 10/14/2011 $ 200,000 $ 3,346,083,295 Transfer of cap due to servicing transfer 10/19/2011 $ 519,211,309 $ 3,865,294,604 Transfer of cap due to servicing transfer 11/16/2011 $ (2,800,000) $ 3,862,494,604 Transfer of cap due to servicing transfer 1/13/2012 $ (100,000) $ 3,862,394,604 Transfer of cap due to servicing transfer 2/16/2012 $ (100,000) $ 3,862,294,604 Transfer of cap due to servicing transfer 5/16/2012 $ (126,080,000) $ 3,736,214,604 Transfer of cap due to servicing transfer 6/14/2012 $ (1,620,000) $ 6/28/2012 $ (16,192) $ 3,734,594,604 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 3,734,578,412 reallocation 7/16/2012 $ (2,300,000) $ 3,732,278,412 Transfer of cap due to servicing transfer 8/16/2012 $ (20,000) $ 9/27/2012 $ (37,341) $ 3,732,258,412 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 3,732,221,071 reallocation 10/16/2012 $ (1,130,000) $ 3,731,091,071 Transfer of cap due to servicing transfer 11/15/2012 $ (3,770,000) $ 3,727,321,071 Transfer of cap due to servicing transfer 12/14/2012 $ (180,000) $ 12/27/2012 $ (4,535) $ 3,727,141,071 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 3,727,136,536 reallocation 1/16/2013 $ (60,000) $ 3,727,076,536 Transfer of cap due to servicing transfer 2/14/2013 $ (520,000) $ 3,726,556,536 Transfer of cap due to servicing transfer 3/14/2013 $ (90,000) $ 3/25/2013 $ (14,310) $ 3,726,466,536 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 3,726,452,226 reallocation 4/16/2013 $ (110,000) $ 3,726,342,226 Transfer of cap due to servicing transfer 5/16/2013 $ (120,000) $ 3,726,222,226 Transfer of cap due to servicing transfer 6/14/2013 $ (50,000) $ 6/27/2013 $ (3,778) $ 3,726,172,226 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 3,726,168,448 reallocation 7/16/2013 $ (103,240,000) $ (10,000) $ 3,622,928,448 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 9/30/2009 $ 12/30/2009 $ 502,430,000 $ 3/26/2010 $ (134,560,000) $ 7/14/2010 $ (392,140,000) $ 683,100,000 Updated portfolio data from servicer 7/16/2010 $ (630,000) $ 682,470,000 Transfer of cap to Saxon Mortgage Services, Inc. 9/30/2010 $ 13,100,000 $ 695,570,000 Initial FHA-HAMP cap and initial FHA-2LP cap 9/30/2010 $ (8,006,457) $ 687,563,543 Updated portfolio data from servicer 10/15/2010 $ (100,000) $ 687,463,543 Transfer of cap due to servicing transfer 12/15/2010 $ (4,400,000) $ 683,063,543 Updated portfolio data from servicer 1/6/2011 $ (802) $ 683,062,741 Updated portfolio data from servicer 2/16/2011 $ (900,000) $ 682,162,741 Transfer of cap due to servicing transfer 3/16/2011 $ (4,000,000) $ 3/30/2011 $ (925) $ 678,162,741 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 678,161,816 reallocation 5/13/2011 $ (122,900,000) $ 6/29/2011 $ (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 7/14/2011 $ (600,000) $ 10/19/2011 $ (519,211,309) $ 9/30/2009 $ 180,000 $ 12/30/2009 $ (350,000) $ 3/26/2010 $ 20,000 $ 270,000 Updated portfolio data from servicer 7/14/2010 $ (70,000) $ 200,000 Updated portfolio data from servicer 9/30/2010 $ 90,111 $ 6/29/2011 $ (3) $ 6/28/2012 $ (2) $ 9/27/2012 $ (7) $ 12/27/2012 $ (1) $ 3/25/2013 $ (4) $ 6/27/2013 $ (2) $ 9/30/2009 $ 290,000 $ 12/30/2009 $ 210,000 $ 290,111 Updated portfolio data from servicer Updated due to quarterly assessment and 290,108 reallocation Updated due to quarterly assessment and 290,106 reallocation Updated due to quarterly assessment and 290,099 reallocation Updated due to quarterly assessment and 290,098 reallocation Updated due to quarterly assessment and 290,094 reallocation Updated due to quarterly assessment and 290,092 reallocation Updated portfolio data from servicer & HPDP 430,000 initial cap Updated portfolio data from servicer & HAFA 640,000 initial cap 3/26/2010 $ 170,000 $ 810,000 Updated portfolio data from servicer 7/14/2010 $ (10,000) $ 800,000 Updated portfolio data from servicer 9/30/2010 $ (74,722) $ 725,278 Updated portfolio data from servicer 1/6/2011 $ (1) $ 3/30/2011 $ (1) $ 725,277 Updated portfolio data from servicer Updated due to quarterly assessment and 725,276 reallocation 4/13/2011 $ (200,000) $ 6/29/2011 $ (7) $ 7/22/2011 $ $ (515,201) 9/30/2009 $ (121,190,000) $ 12/30/2009 $ 3/26/2010 7/14/2010 35,441,779 Termination of SPA Updated portfolio data from servicer & HPDP 600,000 initial cap Updated portfolio data from servicer & HAFA 250,000 initial cap 525,276 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 525,269 reallocation (36,290,000) $ 10,068 Termination of SPA Updated portfolio data from servicer & HPDP 552,810,000 initial cap Updated portfolio data from servicer & HAFA 516,520,000 initial cap $ 199,320,000 $ 715,840,000 Updated portfolio data from servicer $ (189,040,000) $ 526,800,000 Updated portfolio data from servicer 92 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 10717 10717 10717 10717 10717 10717 10717 10717 10717 10717 10717 10717 10717 8/12/2009 Litton Loan Servicing, LP Houston TX Purchase Financial Instrument for Home Loan Modifications $ 774,900,000 N/A 10438 10438 10438 10438 10438 10438 10438 10438 10438 10438 10438 10438 10438 10438 10438 10438 10438 10438 10438 10438 10438 10438 10438 10438 10438 10438 10438 10438 8/12/2009 PennyMac Loan Services, LLC 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 CA Purchase Financial Instrument for Home Loan Modifications $ 6,210,000 N/A Note Adjustment Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment 9/30/2010 $ 38,626,728 $ 565,426,728 Updated portfolio data from servicer 10/15/2010 $ (170,800,000) $ 394,626,728 Transfer of cap due to servicing transfer 12/15/2010 $ (22,200,000) $ 372,426,728 Updated portfolio data from servicer 1/6/2011 $ (549) $ 372,426,179 Updated portfolio data from servicer 2/16/2011 $ (900,000) $ 3/30/2011 $ (653) $ 6/29/2011 $ (6,168) $ 6/28/2012 $ (4,634) $ 371,526,179 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 371,525,526 reallocation Updated due to quarterly assessment and 371,519,358 reallocation Updated due to quarterly assessment and 371,514,724 reallocation 8/16/2012 $ (430,000) $ 9/27/2012 $ (12,728) $ 12/14/2012 $ (20,000) $ 12/27/2012 $ (2,148) $ 3/25/2013 $ (8,137) $ 6/27/2013 $ (3,071) $ 9/30/2009 $ 313,050,000 $ 12/30/2009 $ 275,370,000 $ 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 portfolio data from servicer & HPDP 1,087,950,000 initial cap Updated portfolio data from servicer & HAFA 1,363,320,000 initial cap 3/26/2010 $ 278,910,000 $ 1,642,230,000 Updated portfolio data from servicer 7/14/2010 $ (474,730,000) $ 1,167,500,000 Updated portfolio data from servicer 8/13/2010 $ (700,000) $ 1,166,800,000 Transfer of cap to due to servicing transfer 9/15/2010 $ (1,000,000) $ 1,165,800,000 Transfer of cap to due to servicing transfer 9/30/2010 $ (115,017,236) $ 1,050,782,764 Updated portfolio data from servicer 10/15/2010 $ (800,000) $ 1,049,982,764 Transfer of cap due to servicing transfer 12/15/2010 $ 800,000 $ 1,050,782,764 Updated portfolio data from servicer 1/6/2011 $ (1,286) $ 1,050,781,478 Updated portfolio data from servicer 3/16/2011 $ 8,800,000 $ 3/30/2011 $ (1,470) $ 1,059,581,478 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,059,580,008 reallocation 4/13/2011 $ (3,300,000) $ 1,056,280,008 Transfer of cap due to servicing transfer 5/13/2011 $ (300,000) $ 1,055,980,008 Transfer of cap due to servicing transfer 6/16/2011 $ (700,000) $ 6/29/2011 $ (13,097) $ 1,055,280,008 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,055,266,911 reallocation 7/14/2011 $ (200,000) $ 1,055,066,911 Transfer of cap due to servicing transfer 9/15/2011 $ (2,900,000) $ 1,052,166,911 Transfer of cap due to servicing transfer 10/14/2011 $ (300,000) $ 1,051,866,911 Transfer of cap due to servicing transfer 11/16/2011 $ (500,000) $ 1,051,366,911 Transfer of cap due to servicing transfer 12/15/2011 $ (2,600,000) $ 1,048,766,911 Transfer of cap due to servicing transfer 1/13/2012 $ (194,800,000) $ 853,966,911 Transfer of cap due to servicing transfer 2/16/2012 $ (400,000) $ 6/28/2012 $ (9,728) $ 853,566,911 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 853,557,183 reallocation 8/16/2012 371,084,724 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 371,071,996 reallocation $ (7,990,000) $ 9/27/2012 $ (26,467) $ 12/27/2012 $ (4,466) $ 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 portfolio data from servicer & HPDP 5,010,000 initial cap Updated portfolio data from servicer & HAFA 35,810,000 initial cap 3/25/2013 $ (16,922) $ 6/27/2013 $ (6,386) $ 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 59,010,000 Updated portfolio data from servicer Transfer of cap from CitiMortgage, Inc. due to 61,720,000 servicing transfer 93 Servicer Modifying Borrowers' Loans Name of Institution Date Adjustment Details City State Transaction Type Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Investment Description Pricing Mechanism 1000744 1000744 1000744 1000744 1000744 1000744 1000744 1000744 1000744 1000744 1000744 1000744 1000744 1000744 1000744 1000744 1000744 8/12/2009 Servis One, Inc., dba BSI Financial Services, Inc. Titusville PA Purchase Financial Instrument for Home Loan Modifications $ 29,730,000 N/A 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 10454 8/28/2009 OneWest Bank Pasadena 10008 10008 10008 CA Purchase Financial Instrument for Home Loan Modifications $ 668,440,000 N/A Note Adjustment Date Cap Adjustment Amount 12/15/2011 $ 1/13/2012 3/15/2012 4/16/2012 Adjusted Cap Reason for Adjustment 800,000 $ 74,555,825 Transfer of cap due to servicing transfer $ 200,000 $ 74,755,825 Transfer of cap due to servicing transfer $ 1,900,000 $ 76,655,825 Transfer of cap due to servicing transfer $ 200,000 $ 76,855,825 Transfer of cap due to servicing transfer 6/14/2012 $ 1,340,000 $ 6/28/2012 $ (340) $ 78,195,825 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 78,195,485 reallocation 7/16/2012 $ 2,930,000 $ 81,125,485 Transfer of cap due to servicing transfer 8/16/2012 $ 890,000 $ 9/27/2012 $ (974) $ 82,015,485 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 82,014,511 reallocation 10/16/2012 $ 1,800,000 $ 83,814,511 Transfer of cap due to servicing transfer 12/14/2012 $ 3,860,000 $ 12/27/2012 $ (154) $ 87,674,511 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 87,674,357 reallocation 2/14/2013 $ 2,980,000 $ 3/25/2013 $ (506) $ 90,654,357 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 90,653,851 reallocation 4/16/2013 $ 2,160,000 $ 92,813,851 Transfer of cap due to servicing transfer 6/14/2013 $ 2,440,000 $ 6/27/2013 $ (128) $ 95,253,851 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 95,253,723 reallocation Updated portfolio data from servicer & HPDP 4,220,000 initial cap Updated portfolio data from servicer & HAFA 4,740,000 initial cap 9/30/2009 $ 12/30/2009 $ (25,510,000) $ 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 $ 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 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 10/2/2009 $ 145,800,000 $ 12/30/2009 $ 1,355,930,000 $ 814,240,000 HPDP initial cap Updated portfolio data from servicer & HAFA 2,170,170,000 initial cap 3/26/2010 $ 121,180,000 $ 2,291,350,000 Updated portfolio data from servicer 7/14/2010 $ (408,850,000) $ 1,882,500,000 Updated portfolio data from servicer 94 Servicer Modifying Borrowers' Loans Adjustment Details Name of Institution Date City State Transaction Type Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Investment Description Pricing Mechanism Note 10008 10008 10008 10008 10008 10008 10008 10008 10008 10008 8/28/2009 Stanford Federal Credit Union Palo Alto CA Purchase Financial Instrument for Home Loan Modifications $ 300,000 N/A 1000576 1000576 1000576 1000576 1000576 8/28/2009 RoundPoint Mortgage Servicing Corporation Charlotte NC Purchase Financial Instrument for Home Loan Modifications $ 570,000 N/A 1001011 1001011 1001011 1001011 1001011 1001011 1001011 1001011 1001011 1001011 1001011 1001011 1001011 1001011 1001011 1001011 1001011 9/2/2009 Horicon Bank Horicon WI Purchase Financial Instrument for Home Loan Modifications $ 560,000 N/A 1001018 1001018 1001018 1001018 1001018 1001018 1001018 1001018 1001018 1001018 1001018 1001018 9/2/2009 as amended on 8/27/2010 Vantium Capital, Inc.dba Acqura Loan Services Plano 10354 10354 10354 10354 10354 10354 10354 10354 10354 10354 10354 10354 10354 10354 10354 10354 10354 10354 10354 10354 TX Purchase Financial Instrument for Home Loan Modifications $ 6,000,000 N/A 10 Adjustment Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment 9/30/2010 $ 5,500,000 $ 1,888,000,000 2MP initial cap 9/30/2010 $ (51,741,163) $ 1,836,258,837 Updated portfolio data from servicer 1/6/2011 $ (2,282) $ 3/30/2011 $ (2,674) $ 6/29/2011 $ (24,616) $ 6/28/2012 $ (15,481) $ 9/27/2012 $ (40,606) $ 12/27/2012 $ (6,688) $ 3/25/2013 $ (24,811) $ 6/27/2013 $ (9,058) $ 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 10/2/2009 $ 70,000 $ 12/30/2009 $ 2,680,000 $ 370,000 HPDP initial cap Updated portfolio data from servicer & HAFA 3,050,000 initial cap 3/26/2010 $ 350,000 $ 3,400,000 Updated portfolio data from servicer 7/14/2010 $ (1,900,000) $ 1,500,000 Updated portfolio data from servicer 9/30/2010 $ (1,209,889) $ 290,111 Updated portfolio data from servicer 3/23/2010 $ (290,111) $ 10/2/2009 $ 130,000 $ 12/30/2009 $ (310,000) $ 3/26/2010 $ 2,110,000 $ 2,500,000 Updated portfolio data from servicer 7/14/2010 $ 8,300,000 $ 10,800,000 Updated portfolio data from servicer 9/30/2010 $ 5,301,172 $ 16,101,172 Updated portfolio data from servicer 1/6/2011 $ (22) $ 16,101,150 Updated portfolio data from servicer 3/16/2011 $ (400,000) $ 3/30/2011 $ (25) $ 6/29/2011 $ (232) $ 6/28/2012 $ (174) $ 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 - Termination of SPA 700,000 HPDP initial cap Updated portfolio data from servicer & HAFA 390,000 initial cap 9/27/2012 $ (479) $ 11/15/2012 $ (350,000) $ 12/27/2012 $ (82) $ 3/25/2013 $ (308) $ 15,350,240 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 15,350,158 reallocation Updated due to quarterly assessment and 15,349,850 reallocation 4/16/2013 $ 80,000 $ 15,429,850 Transfer of cap due to servicing transfer 6/14/2013 $ 20,000 $ 6/27/2013 $ (108) $ 15,449,850 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 15,449,742 reallocation 7/16/2013 $ 30,000 $ 15,479,742 Transfer of cap due to servicing transfer 10/2/2009 $ 130,000 $ 12/30/2009 $ 1,040,000 $ 3/26/2010 $ (1,680,000) $ 50,000 Updated portfolio data from servicer 5/12/2010 $ 1,260,000 $ 1,310,000 Updated portfolio data from servicer 7/14/2010 $ (1,110,000) $ 200,000 Updated portfolio data from servicer 9/30/2010 $ 100,000 $ 300,000 Initial RD-HAMP 9/30/2010 $ (9,889) $ 6/29/2011 $ (3) $ 6/28/2012 $ (2) $ 9/27/2012 $ (7) $ 12/27/2012 $ (1) $ 3/25/2013 $ (4) $ 6/27/2013 $ (2) $ 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 10/2/2009 $ 1,310,000 $ 12/30/2009 $ (3,390,000) $ 7,310,000 HPDP initial cap Updated portfolio data from servicer & HAFA 3,920,000 initial cap 3/26/2010 $ 410,000 $ 4,330,000 Updated portfolio data from servicer 7/14/2010 $ (730,000) $ 3,600,000 Updated portfolio data from servicer 9/15/2010 $ 4,700,000 $ 8,300,000 Transfer of cap due to servicing transfer 9/30/2010 $ 117,764 $ 8,417,764 Updated portfolio data from servicer 11/16/2010 $ 800,000 $ 12/15/2010 $ 2,700,000 $ 11,917,764 Updated portfolio data from servicer 690,000 HPDP initial cap Updated portfolio data from servicer & HAFA 1,730,000 initial cap 9,217,764 Transfer of cap due to servicing transfer 1/6/2011 $ (17) $ 11,917,747 Updated portfolio data from servicer 1/13/2011 $ 700,000 $ 12,617,747 Transfer of cap due to servicing transfer 2/16/2011 $ 1,800,000 $ 3/30/2011 $ (19) $ 14,417,747 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 14,417,728 reallocation 4/13/2011 $ 300,000 $ 6/29/2011 $ (189) $ 14,717,728 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 14,717,539 reallocation 8/16/2011 $ 300,000 $ 15,017,539 Transfer of cap due to servicing transfer 9/15/2011 $ 100,000 $ 15,117,539 Transfer of cap due to servicing transfer 10/14/2011 $ 100,000 $ 6/28/2012 $ (147) $ 15,217,539 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 15,217,392 reallocation 7/16/2012 $ (10,000) $ 9/27/2012 $ (413) $ 15,207,392 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 15,206,979 reallocation 11/15/2012 $ (40,000) $ 15,166,979 Transfer of cap due to servicing transfer 95 Servicer Modifying Borrowers' Loans Date Adjustment Details Name of Institution City State Transaction Type Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Investment Description Pricing Mechanism 10354 10354 10354 10354 10354 10354 10354 10354 10354 9/9/2009 Central Florida Educators Federal Credit Union Lake Mary FL Purchase Financial Instrument for Home Loan Modifications $ 1,250,000 N/A 1000890 1000890 1000890 1000890 1000890 1000890 1000890 1000890 1000890 1000890 1000890 1000890 9/9/2009 U.S. Bank National Association Owensboro KY Purchase Financial Instrument for Home Loan Modifications $ 114,220,000 N/A 10305 10305 10305 10305 10305 10305 10305 10305 10305 10305 10305 10305 9/9/2009 CUC Mortgage Corporation Albany NY Purchase Financial Instrument for Home Loan Modifications $ 4,350,000 N/A 1000483 1000483 1000483 1000483 1000483 1000483 1000483 1000483 1000483 1000483 1000483 1000483 9/11/2009 ORNL Federal Credit Union Oak Ridge TN Purchase Financial Instrument for Home Loan Modifications $ 2,070,000 N/A 1000467 1000467 1000467 1000467 1000467 1000467 1000467 1000467 1000467 1000467 1000467 1000467 9/11/2009 Allstate Mortgage Loans & Investments, Inc. Ocala 1001029 1001029 1001029 1001029 1001029 1001029 FL Purchase Financial Instrument for Home Loan Modifications $ 250,000 N/A Note Adjustment Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment 12/27/2012 $ (71) $ Updated due to quarterly assessment and 15,166,908 reallocation 2/14/2013 $ (770,000) $ 14,396,908 Transfer of cap due to servicing transfer 3/14/2013 $ (20,000) $ 3/25/2013 $ (256) $ 14,376,908 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 14,376,652 reallocation 4/16/2013 $ (620,000) $ 13,756,652 Transfer of cap due to servicing transfer 5/16/2013 $ 40,000 $ 13,796,652 Transfer of cap due to servicing transfer 6/14/2013 $ 10,000 $ 6/27/2013 $ (95) $ 13,806,652 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 13,806,557 reallocation 7/16/2013 $ (290,000) $ 13,516,557 Transfer of cap due to servicing transfer 10/2/2009 $ 280,000 $ 12/30/2009 $ (750,000) $ 3/26/2010 $ 120,000 $ 900,000 Updated portfolio data from servicer 7/14/2010 $ (300,000) $ 600,000 Updated portfolio data from servicer 9/30/2010 $ 270,334 $ 870,334 Updated portfolio data from servicer 1/6/2011 $ (1) $ 3/30/2011 $ (1) $ 6/29/2011 $ (5) $ 6/28/2012 $ 21,717 $ 9/27/2012 $ 190,077 $ 12/27/2012 $ 35,966 $ 3/25/2013 $ 59,464 $ 6/27/2013 $ 35,438 $ 10/2/2009 $ 24,920,000 $ 12/30/2009 $ 49,410,000 $ 139,140,000 HPDP initial cap Updated portfolio data from servicer & HAFA 188,550,000 initial cap 3/26/2010 $ 41,830,000 $ 230,380,000 Updated portfolio data from servicer 7/14/2010 $ (85,780,000) $ 144,600,000 Updated portfolio data from servicer 9/30/2010 $ 36,574,444 $ 181,174,444 Updated portfolio data from servicer 1/6/2011 $ (160) $ 3/30/2011 $ (172) $ 6/29/2011 $ (1,431) $ 6/28/2012 $ (746) $ 9/27/2012 $ (1,926) $ 12/27/2012 $ (308) $ 3/25/2013 $ (1,135) $ 6/27/2013 $ (418) $ 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 10/2/2009 $ 950,000 $ 12/30/2009 $ 5,700,000 $ 5,300,000 HPDP initial cap Updated portfolio data from servicer & HAFA 11,000,000 initial cap 3/26/2010 $ 740,000 $ 11,740,000 Updated portfolio data from servicer 7/14/2010 $ (1,440,000) $ 10,300,000 Updated portfolio data from servicer 9/30/2010 $ (6,673,610) $ 3,626,390 Updated portfolio data from servicer 1/6/2011 $ (5) $ 3/30/2011 $ (6) $ 6/29/2011 $ (52) $ 6/28/2012 $ (38) $ 9/27/2012 $ (107) $ 12/27/2012 $ (18) $ 3/25/2013 $ (69) $ 6/27/2013 $ (26) $ 3,626,385 Updated portfolio data from servicer Updated due to quarterly assessment and 3,626,379 reallocation Updated due to quarterly assessment and 3,626,327 reallocation Updated due to quarterly assessment and 3,626,289 reallocation Updated due to quarterly assessment and 3,626,182 reallocation Updated due to quarterly assessment and 3,626,164 reallocation Updated due to quarterly assessment and 3,626,095 reallocation Updated due to quarterly assessment and 3,626,069 reallocation 10/2/2009 $ 460,000 $ 12/30/2009 $ 2,730,000 $ 3/26/2010 $ 13,280,000 $ 18,540,000 Updated portfolio data from servicer 7/14/2010 $ (13,540,000) $ 5,000,000 Updated portfolio data from servicer 9/30/2010 $ 1,817,613 $ 6,817,613 Updated portfolio data from servicer 1/6/2011 $ (10) $ 3/30/2011 $ (12) $ 6/29/2011 $ (115) $ 6/28/2012 $ (86) $ 9/27/2012 $ (236) $ 12/27/2012 $ (40) $ 3/25/2013 $ (149) $ 6/27/2013 $ (56) $ 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 10/2/2009 $ 60,000 $ 12/30/2009 $ (80,000) $ 310,000 HPDP initial cap Updated portfolio data from servicer & HAFA 230,000 initial cap 3/26/2010 $ 280,000 $ 510,000 Updated portfolio data from servicer 7/14/2010 $ (410,000) $ 100,000 Updated portfolio data from servicer 9/30/2010 $ 45,056 $ 6/29/2011 $ (1) $ 6/28/2012 $ (1) $ 145,056 Updated portfolio data from servicer Updated due to quarterly assessment and 145,055 reallocation Updated due to quarterly assessment and 145,054 reallocation 1,530,000 HPDP initial cap Updated portfolio data from servicer & HAFA 780,000 initial cap 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 2,530,000 HPDP initial cap Updated portfolio data from servicer & HAFA 5,260,000 initial cap 96 Servicer Modifying Borrowers' Loans Date Adjustment Details Name of Institution City State Transaction Type Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Investment Description Pricing Mechanism 1001029 1001029 9/11/2009 Metropolitan National Bank Little Rock AR Purchase Financial Instrument for Home Loan Modifications $ 280,000 N/A 1000747 1000747 1000747 1000747 1000747 1000747 9/11/2009 Franklin Credit Management Corporation Jersey City NJ Purchase Financial Instrument for Home Loan Modifications $ 27,510,000 N/A 1000955 1000955 1000955 1000955 1000955 1000955 1000955 1000955 1000955 1000955 1000955 1000955 1000955 1000955 9/16/2009 Bay Federal Credit Union Capitola CA Purchase Financial Instrument for Home Loan Modifications $ 410,000 N/A 1001037 1001037 1001037 1001037 1001037 1001037 1001037 1001037 9/23/2009 AMS Servicing, LLC Buffalo NY Purchase Financial Instrument for Home Loan Modifications $ 4,390,000 N/A 1001184 1001184 1001184 1001184 1001184 1001184 1001184 1001184 1001184 1001184 1001184 1001184 1001184 1001184 1001184 1001184 1001184 1001184 1001184 1001184 1001184 1001184 1001184 1001184 1001184 1001184 1001184 1001184 1001184 9/23/2009 Schools Financial Credit Union Sacramento 1001045 1001045 1001045 1001045 CA Purchase Financial Instrument for Home Loan Modifications $ 390,000 N/A Note Adjustment Date Cap Adjustment Amount 9/27/2012 $ 3/25/2013 $ Adjusted Cap (2) $ (1) $ Reason for Adjustment Updated due to quarterly assessment and 145,052 reallocation Updated due to quarterly assessment and 145,051 reallocation 10/2/2009 $ 70,000 $ 12/30/2009 $ 620,000 $ 3/26/2010 $ 100,000 $ 1,070,000 Updated portfolio data from servicer 7/14/2010 $ (670,000) $ 400,000 Updated portfolio data from servicer 9/30/2010 $ 35,167 $ 435,167 Updated portfolio data from servicer 1/6/2011 $ (1) $ 435,166 Updated portfolio data from servicer 1/26/2011 $ (435,166) $ 10/2/2009 $ 6,010,000 $ 12/30/2009 $ (19,750,000) $ 3/26/2010 $ (4,780,000) $ 8,990,000 Updated portfolio data from servicer 7/14/2010 $ (2,390,000) $ 6,600,000 Updated portfolio data from servicer 9/30/2010 $ 2,973,670 $ 9,573,670 Updated portfolio data from servicer 1/6/2011 $ (3) $ 9,573,667 Updated portfolio data from servicer 2/16/2011 $ (1,800,000) $ 3/30/2011 $ (6) $ 7,773,667 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 7,773,661 reallocation Updated due to quarterly assessment and 7,773,600 reallocation 6/29/2011 $ (61) $ 10/14/2011 $ (100,000) $ 6/28/2012 $ (58) $ 350,000 HPDP initial cap Updated portfolio data from servicer & HAFA 970,000 initial cap - Termination of SPA 33,520,000 HPDP initial cap Updated portfolio data from servicer & HAFA 13,770,000 initial cap 7,673,600 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 7,673,542 reallocation Updated due to quarterly assessment and 7,673,378 reallocation Updated due to quarterly assessment and 7,673,349 reallocation Updated due to quarterly assessment and 7,673,239 reallocation Updated due to quarterly assessment and 7,673,197 reallocation 9/27/2012 $ (164) $ 12/27/2012 $ (29) $ 3/25/2013 $ (110) $ 6/27/2013 $ (42) $ 10/2/2009 $ 90,000 $ 12/30/2009 $ 1,460,000 $ 500,000 HPDP initial cap Updated portfolio data from servicer & HAFA 1,960,000 initial cap 3/26/2010 $ 160,000 $ 2,120,000 Updated portfolio data from servicer 7/14/2010 $ (120,000) $ 2,000,000 Updated portfolio data from servicer 9/30/2010 $ (1,419,778) $ 580,222 Updated portfolio data from servicer 1/6/2011 $ (1) $ 3/30/2011 $ (1) $ 6/29/2011 $ (8) $ 580,221 Updated portfolio data from servicer Updated due to quarterly assessment and 580,220 reallocation Updated due to quarterly assessment and 580,212 reallocation 1/25/2012 $ (580,212) $ 10/2/2009 $ 960,000 $ 12/30/2009 $ (3,090,000) $ 5,350,000 HPDP initial cap Updated portfolio data from servicer & HAFA 2,260,000 initial cap 3/26/2010 $ 230,000 $ 2,490,000 Updated portfolio data from servicer 7/14/2010 $ 5,310,000 $ 7,800,000 Updated portfolio data from servicer 9/30/2010 $ 323,114 $ 8,123,114 Updated portfolio data from servicer - Termination of SPA 1/6/2011 $ (12) $ 8,123,102 Updated portfolio data from servicer 3/16/2011 $ 600,000 $ 3/30/2011 $ (16) $ 8,723,102 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 8,723,086 reallocation 4/13/2011 $ 200,000 $ 8,923,086 Transfer of cap due to servicing transfer 5/13/2011 $ 100,000 $ 6/29/2011 $ (153) $ 9,023,086 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 9,022,933 reallocation 9,122,933 Transfer of cap due to servicing transfer 9/15/2011 $ 100,000 $ 11/16/2011 $ 100,000 $ 9,222,933 Transfer of cap due to servicing transfer 4/16/2012 $ 1,100,000 $ 10,322,933 Transfer of cap due to servicing transfer 6/14/2012 $ 650,000 $ 6/28/2012 $ (136) $ 9/27/2012 $ (347) $ 10,972,933 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 10,972,797 reallocation Updated due to quarterly assessment and 10,972,450 reallocation 10/16/2012 $ 250,000 $ 11,222,450 Transfer of cap due to servicing transfer 11/15/2012 $ 30,000 $ 11,252,450 Transfer of cap due to servicing transfer 12/14/2012 $ (10,000) $ 12/27/2012 $ (59) $ 11,242,450 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 11,242,391 reallocation 1/16/2013 $ 20,000 $ 11,262,391 Transfer of cap due to servicing transfer 2/14/2013 $ 290,000 $ 11,552,391 Transfer of cap due to servicing transfer 3/14/2013 $ 10,000 $ 3/25/2013 $ (220) $ 11,562,391 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 11,562,171 reallocation 4/16/2013 $ (60,000) $ 11,502,171 Transfer of cap due to servicing transfer 5/16/2013 $ 50,000 $ 11,552,171 Transfer of cap due to servicing transfer 6/14/2013 $ 10,000 $ 6/27/2013 $ (79) $ 11,562,171 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 11,562,092 reallocation 7/16/2013 $ (90,000) $ 11,472,092 Transfer of cap due to servicing transfer 10/2/2009 $ 90,000 $ 12/30/2009 $ 940,000 $ 3/26/2010 $ (980,000) $ 480,000 HPDP initial cap Updated portfolio data from servicer & HAFA 1,420,000 initial cap 7/14/2010 $ (140,000) $ 300,000 Updated portfolio data from servicer 9/30/2010 $ 1,150,556 $ 1,450,556 Updated portfolio data from servicer 440,000 Updated portfolio data from servicer 97 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 1001045 1001045 1001045 1001045 1001045 1001045 1001045 1001045 9/23/2009 Glass City Federal Credit Union Maumee OH Purchase Financial Instrument for Home Loan Modifications $ 230,000 N/A 10716 10716 10716 10716 10716 10716 10716 10716 10716 10716 9/23/2009 Central Jersey Federal Credit Union Woodbridge NJ Purchase Financial Instrument for Home Loan Modifications $ 30,000 N/A 10149 10149 10149 10149 10149 9/23/2009 Yadkin Valley Bank Elkin NC Purchase Financial Instrument for Home Loan Modifications $ 240,000 N/A 1001000 1001000 1001000 1001000 1001000 1001000 1001000 1001000 1001000 1001000 1001000 9/25/2009 SEFCU Albany NY Purchase Financial Instrument for Home Loan Modifications $ 440,000 N/A 1000924 1000924 1000924 1000924 1000924 1000924 10/14/2009 Great Lakes Credit Union North Chicago IL Purchase Financial Instrument for Home Loan Modifications $ 570,000 N/A 1001122 1001122 1001122 1001122 1001122 1001122 1001122 1001122 1001122 1001122 1001122 10/14/2009 Mortgage Clearing Corporation Tulsa OK Purchase Financial Instrument for Home Loan Modifications $ 4,860,000 N/A 1001180 1001180 1001180 1001180 10/21/2009 United Bank Mortgage Corporation Grand Rapids 1000073 1000073 1000073 1000073 1000073 1000073 MI Purchase Financial Instrument for Home Loan Modifications $ 410,000 N/A Note Adjustment Date Cap Adjustment Amount 1/6/2011 $ 3/30/2011 6/29/2011 6/28/2012 Adjusted Cap Reason for Adjustment (2) $ 1,450,554 Updated portfolio data from servicer Updated due to quarterly assessment and 1,450,552 reallocation Updated due to quarterly assessment and 1,450,530 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 $ (2) $ $ (22) $ $ (16) $ 9/27/2012 $ (44) $ 12/27/2012 $ (7) $ 3/25/2013 $ (28) $ 6/27/2013 $ (11) $ 10/2/2009 $ 60,000 $ 12/30/2009 $ (10,000) $ 290,000 HPDP initial cap Updated portfolio data from servicer & HAFA 280,000 initial cap 3/26/2010 $ 130,000 $ 410,000 Updated portfolio data from servicer 7/14/2010 $ (110,000) $ 300,000 Updated portfolio data from servicer 9/30/2010 $ (9,889) $ 6/29/2011 $ (3) $ 6/28/2012 $ (2) $ 290,111 Updated portfolio data from servicer Updated due to quarterly assessment and 290,108 reallocation Updated due to quarterly assessment and 290,106 reallocation Updated due to quarterly assessment and 290,099 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 9/27/2012 $ (7) $ 12/27/2012 $ (1) $ 3/25/2013 $ (4) $ 6/27/2013 $ (2) $ 10/2/2009 $ 10,000 $ 12/30/2009 $ 120,000 $ 40,000 HPDP initial cap Updated portfolio data from servicer & HAFA 160,000 initial cap 3/26/2010 $ 10,000 $ 170,000 Updated portfolio data from servicer 7/14/2010 $ (70,000) $ 100,000 Updated portfolio data from servicer 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer 10/29/2010 $ (145,056) $ 10/2/2009 $ 60,000 $ 12/30/2009 $ 350,000 $ 3/26/2010 $ 1,360,000 $ 2,010,000 Updated portfolio data from servicer 7/14/2010 $ (1,810,000) $ 200,000 Updated portfolio data from servicer 9/30/2010 $ 235,167 $ 435,167 Updated portfolio data from servicer 1/6/2011 $ (1) $ 6/29/2011 $ (4) $ 6/28/2012 $ (3) $ 9/27/2012 $ (7) $ 12/27/2012 $ (1) $ 3/25/2013 $ (5) $ 6/27/2013 $ (2) $ 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 10/2/2009 $ 100,000 $ 12/30/2009 $ 20,000 $ 540,000 HPDP initial cap Updated portfolio data from servicer & HAFA 560,000 initial cap 3/26/2010 $ (290,000) $ 270,000 Updated portfolio data from servicer 7/14/2010 $ (70,000) $ 200,000 Updated portfolio data from servicer 9/30/2010 $ (54,944) $ 6/29/2011 $ (1) $ 145,056 Updated portfolio data from servicer Updated due to quarterly assessment and 145,055 reallocation - Termination of SPA 300,000 HPDP initial cap Updated portfolio data from servicer & HAFA 650,000 initial cap 4/11/2012 $ (145,055) $ 12/30/2009 $ 1,030,000 $ 3/26/2010 $ (880,000) $ 720,000 Updated portfolio data from servicer 7/14/2010 $ (320,000) $ 400,000 Updated portfolio data from servicer 9/30/2010 $ 180,222 $ 580,222 Updated portfolio data from servicer 1/6/2011 $ (1) $ 3/30/2011 $ (1) $ 6/29/2011 $ (8) $ 6/28/2012 $ (6) $ 9/27/2012 $ (17) $ 12/27/2012 $ (3) $ 3/25/2013 $ (11) $ 6/27/2013 $ (4) $ 12/30/2009 $ (2,900,000) $ 3/26/2010 $ (1,600,000) $ 360,000 Updated portfolio data from servicer 7/14/2010 $ (260,000) $ 100,000 Updated portfolio data from servicer 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer 3/9/2011 $ (145,056) $ 1/22/2010 $ 20,000 $ 430,000 Updated HPDP cap & HAFA initial cap 3/26/2010 $ 400,000 $ 830,000 Updated portfolio data from servicer 7/14/2010 $ (430,000) $ 400,000 Updated portfolio data from servicer 9/30/2010 $ 180,222 $ 580,222 Updated portfolio data from servicer 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 1/6/2011 $ (1) $ 3/30/2011 $ (1) $ 6/29/2011 $ (5) $ - Termination of SPA Updated portfolio data from servicer & HAFA 1,600,000 initial cap 580,221 Updated portfolio data from servicer Updated due to quarterly assessment and 580,220 reallocation Updated due to quarterly assessment and 580,212 reallocation Updated due to quarterly assessment and 580,206 reallocation Updated due to quarterly assessment and 580,189 reallocation Updated due to quarterly assessment and 580,186 reallocation Updated due to quarterly assessment and 580,175 reallocation Updated due to quarterly assessment and 580,171 reallocation Updated portfolio data from servicer & HAFA 1,960,000 initial cap - Termination of SPA 98 Servicer Modifying Borrowers' Loans Adjustment Details Name of Institution Date City State Transaction Type Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Investment Description Pricing Mechanism 1000073 1000073 1000073 1000073 1000073 10/23/2009 Bank United Miami Lakes FL Purchase Financial Instrument for Home Loan Modifications $ 93,660,000 N/A 10048 10048 10048 10048 10048 10048 10048 10048 10048 10048 10048 10048 10048 10048 10048 10/23/2009 IC Federal Credit Union Fitchburg MA Purchase Financial Instrument for Home Loan Modifications $ 760,000 N/A 1000740 1000740 1000740 1000740 1000740 1000740 1000740 1000740 1000740 1000740 1000740 10/28/2009 Harleysville National Bank & Trust Company Harleysville PA Purchase Financial Instrument for Home Loan Modifications $ 1,070,000 N/A 10/28/2009 Members Mortgage Company, Inc Woburn MA Purchase Financial Instrument for Home Loan Modifications $ 510,000 N/A 10/30/2009 DuPage Credit Union Naperville IL Purchase Financial Instrument for Home Loan Modifications $ 70,000 N/A 1000585 1000585 1000585 1000585 1000585 1000585 11/6/2009 Los Alamos National Bank Los Alamos NM Purchase Financial Instrument for Home Loan Modifications $ 700,000 N/A 1000676 1000676 1000676 1000676 1000676 1000676 1000676 1000676 1000676 1000676 1000676 11/18/2009 Quantum Servicing Corporation Tampa 1001271 1001271 1001271 1001271 1001271 1001271 1001271 1001271 1001271 1001271 1001271 1001271 FL Purchase Financial Instrument for Home Loan Modifications $ 18,960,000 N/A Note Adjustment Date Cap Adjustment Amount Adjusted Cap 6/28/2012 $ (4) $ Reason for Adjustment 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 9/27/2012 $ (11) $ 12/27/2012 $ (2) $ 3/25/2013 $ (7) $ 6/27/2013 $ (2) $ 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) $ 98,030,000 Updated HPDP cap & HAFA initial cap 97,150,956 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 97,150,868 reallocation Updated due to quarterly assessment and 97,150,095 reallocation 95,750,095 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 95,749,818 reallocation Updated due to quarterly assessment and 95,749,269 reallocation Updated due to quarterly assessment and 95,749,204 reallocation 9/27/2012 $ (549) $ 12/27/2012 $ (65) $ 2/14/2013 $ (2,670,000) $ 3/25/2013 $ (142) $ 5/16/2013 $ (610,000) $ 6/27/2013 $ (48) $ 92,469,062 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 92,469,014 reallocation 800,000 Updated HPDP cap & HAFA initial cap 93,079,204 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 93,079,062 reallocation 1/22/2010 $ 40,000 $ 3/26/2010 $ (760,000) $ 40,000 Updated portfolio data from servicer 5/12/2010 $ 2,630,000 $ 2,670,000 Updated portfolio data from servicer 7/14/2010 $ (770,000) $ 1,900,000 Updated portfolio data from servicer 9/30/2010 $ 565,945 $ 2,465,945 Updated portfolio data from servicer 1/6/2011 $ (4) $ 3/30/2011 $ (4) $ 6/29/2011 $ (40) $ 6/28/2012 $ (29) $ 9/27/2012 $ (80) $ 12/27/2012 $ (14) $ 3/25/2013 $ (52) $ 6/27/2013 $ (19) $ 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 4/21/2010 $ (1,070,000) $ 4/21/2010 $ (510,000) $ 1/22/2010 $ 10,000 $ 3/26/2010 $ 10,000 $ 90,000 Updated portfolio data from servicer 7/14/2010 $ 10,000 $ 100,000 Updated portfolio data from servicer 9/30/2010 $ 45,056 $ 6/29/2011 $ (1) $ 9/27/2012 $ (1) $ 3/25/2013 $ (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 3/26/2010 $ 50,000 $ 790,000 Updated portfolio data from servicer 7/14/2010 $ 1,310,000 $ 2,100,000 Updated portfolio data from servicer 9/30/2010 $ 75,834 $ 2,175,834 Updated portfolio data from servicer 1/6/2011 $ (3) $ 3/30/2011 $ (4) $ 6/29/2011 $ (35) $ 6/28/2012 $ (26) $ 9/27/2012 $ (70) $ 12/27/2012 $ (12) $ 3/25/2013 $ (45) $ 6/27/2013 $ (17) $ 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 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 - Termination of SPA - Termination of SPA 80,000 Updated HPDP cap & HAFA initial cap 99 Servicer Modifying Borrowers' Loans Adjustment Details Name of Institution Date City State Transaction Type Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Investment Description Pricing Mechanism 1001271 1001271 1001271 1001271 1001271 1001271 1001271 1001271 1001271 1001271 1001271 1001271 1001271 11/18/2009 Hillsdale County National Bank Hillsdale MI Purchase Financial Instrument for Home Loan Modifications $ 1,670,000 N/A 1000443 1000443 1000443 1000443 1000443 1000443 1000443 1000443 1000443 1000443 1000443 11/18/2009 QLending, Inc. Coral Gables FL Purchase Financial Instrument for Home Loan Modifications $ 20,000 N/A 1001304 1001304 1001304 1001304 1001304 1001304 11/25/2009 Marix Servicing, LLC Phoenix AZ Purchase Financial Instrument for Home Loan Modifications $ 20,360,000 N/A 10412 10412 10412 10412 10412 10412 10412 10412 10412 10412 10412 10412 10412 10412 10412 10412 10412 10412 10412 10412 10412 10412 10412 10412 10412 10412 10412 10412 10412 10412 10412 10412 10412 11/25/2009 Home Financing Center, Inc Coral Gables FL Purchase Financial Instrument for Home Loan Modifications $ 230,000 N/A 11/25/2009 First Keystone Bank Media PA Purchase Financial Instrument for Home Loan Modifications $ 1,280,000 N/A Note Adjustment Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment 8/16/2011 $ 200,000 $ 34,961,013 Transfer of cap due to servicing transfer 9/15/2011 $ 100,000 $ 35,061,013 Transfer of cap due to servicing transfer 1/13/2012 $ 100,000 $ 35,161,013 Transfer of cap due to servicing transfer 6/14/2012 $ 330,000 $ 6/28/2012 $ (428) $ 9/27/2012 $ (1,184) $ 35,491,013 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 35,490,585 reallocation Updated due to quarterly assessment and 35,489,401 reallocation 10/16/2012 $ (1,910,000) $ 33,579,401 Transfer of cap due to servicing transfer 11/15/2012 $ (980,000) $ 12/27/2012 $ (187) $ 3/25/2013 $ (707) $ 32,599,401 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 32,599,214 reallocation Updated due to quarterly assessment and 32,598,507 reallocation 4/16/2013 $ (240,000) $ 6/27/2013 $ (268) $ 32,358,507 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 32,358,239 reallocation 7/16/2013 $ 10,000 $ 32,368,239 Transfer of cap due to servicing transfer 1/22/2010 $ 80,000 $ 1,750,000 Updated HPDP cap & HAFA initial cap 3/26/2010 $ 330,000 $ 2,080,000 Updated portfolio data from servicer 7/14/2010 $ (1,080,000) $ 1,000,000 Updated portfolio data from servicer 9/30/2010 $ 160,445 $ 1,160,445 Updated portfolio data from servicer 1/6/2011 $ (1) $ 3/30/2011 $ (2) $ 6/29/2011 $ (16) $ 6/28/2012 $ (12) $ 9/27/2012 $ (33) $ 12/27/2012 $ (6) $ 3/25/2013 $ (21) $ 6/27/2013 $ (8) $ 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 3/26/2010 $ 7/14/2010 $ 90,000 $ 100,000 Updated portfolio data from servicer 9/30/2010 $ 45,056 $ 6/29/2011 $ (1) $ 6/28/2012 $ (1) $ 9/27/2012 $ (2) $ 3/25/2013 $ (1) $ 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 1/22/2010 $ 950,000 $ 3/26/2010 $ (17,880,000) $ 6/16/2010 $ 1,030,000 $ 3,430,000 Updated portfolio data from servicer Transfer of cap from CitiMortgage, Inc. due to 4,460,000 servicing transfer 7/14/2010 $ (1,160,000) $ 3,300,000 Updated portfolio data from servicer 8/13/2010 $ 800,000 $ 4,100,000 Transfer of cap due to servicing transfer 9/30/2010 $ 200,000 $ 4,300,000 Initial FHA-HAMP cap and initial RD-HAMP 9/30/2010 $ 1,357,168 $ 5,657,168 Updated portfolio data from servicer 1/6/2011 $ (1) $ 3/16/2011 $ 5,700,000 $ 3/30/2011 $ (6) $ 11,357,167 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 11,357,161 reallocation 4/13/2011 $ 7,300,000 $ 18,657,161 Transfer of cap due to servicing transfer 5/13/2011 $ 300,000 $ 18,957,161 Transfer of cap due to servicing transfer 6/16/2011 $ 900,000 $ 6/29/2011 $ (154) $ 19,857,161 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 19,857,007 reallocation 7/14/2011 $ 100,000 $ 19,957,007 Transfer of cap due to servicing transfer 8/16/2011 $ 300,000 $ 20,257,007 Transfer of cap due to servicing transfer 1/13/2012 $ (1,500,000) $ 18,757,007 Transfer of cap due to servicing transfer 2/16/2012 $ (2,100,000) $ 16,657,007 Transfer of cap due to servicing transfer 4/16/2012 $ (1,300,000) $ 15,357,007 Transfer of cap due to servicing transfer 6/14/2012 $ (8,350,000) $ 6/28/2012 $ (38) $ 8/16/2012 $ (90,000) $ 9/27/2012 $ (103) $ 6,916,969 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 6,916,866 reallocation 10/16/2012 $ (1,020,000) $ 5,896,866 Transfer of cap due to servicing transfer 11/15/2012 $ 170,000 $ 12/27/2012 $ (15) $ 6,066,866 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 6,066,851 reallocation 2/14/2013 $ (100,000) $ 5,966,851 Transfer of cap due to servicing transfer 3/14/2013 $ (490,000) $ 3/25/2013 $ (61) $ 5,476,851 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 5,476,790 reallocation 4/16/2013 $ (10,000) $ 5,466,790 Transfer of cap due to servicing transfer 5/16/2013 $ (30,000) $ 5,436,790 Transfer of cap due to servicing transfer 6/14/2013 $ (10,000) $ 6/27/2013 $ (23) $ 5,426,790 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 5,426,767 reallocation 7/16/2013 $ (20,000) $ 5,406,767 Transfer of cap due to servicing transfer 4/21/2010 $ 1/22/2010 $ (10,000) $ (230,000) $ 50,000 $ 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 - Termination of SPA 1,330,000 Updated HPDP cap & HAFA initial cap 100 Servicer Modifying Borrowers' Loans Date Adjustment Details Name of Institution City State Transaction Type Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Investment Description Pricing Mechanism Note 10519 10519 10519 10519 10519 10519 10519 10519 12/4/2009 Community Bank & Trust Company 12 Clarks Summit PA Purchase Financial Instrument for Home Loan Modifications $ 380,000 N/A 1000978 1000978 1000978 1000978 1000978 1000978 1000978 12/4/2009 Idaho Housing and Finance Association Boise ID Purchase Financial Instrument for Home Loan Modifications $ 9,430,000 N/A 10223 10223 10223 10223 10223 10223 10223 10223 10223 10223 12/9/2009 Spirit of Alaska Federal Credit Union Fairbanks AK Purchase Financial Instrument for Home Loan Modifications $ 360,000 N/A 1000475 1000475 1000475 1000475 1000475 1000475 12/9/2009 American Eagle Federal Credit Union East Hartford CT Purchase Financial Instrument for Home Loan Modifications $ 1,590,000 N/A 1001228 1001228 1001228 1001228 1001228 1001228 1001228 12/9/2009 Silver State Schools Credit Union Las Vegas NV Purchase Financial Instrument for Home Loan Modifications $ 1,880,000 N/A 1001075 1001075 1001075 1001075 1001075 1001075 1001075 1001075 1001075 1001075 1001075 1001075 12/9/2009 Fidelity Homestead Savings Bank 12 New Orleans LA Purchase Financial Instrument for Home Loan Modifications $ 2,940,000 N/A 1001269 1001269 1001269 1001269 1001269 1001269 1001269 1001269 1001269 1001269 1001269 12/9/2009 Bay Gulf Credit Union Tampa FL Purchase Financial Instrument for Home Loan Modifications $ 230,000 N/A Adjustment Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment 3/26/2010 $ 1,020,000 $ 2,350,000 Updated portfolio data from servicer 7/14/2010 $ (950,000) $ 1,400,000 Updated portfolio data from servicer 9/30/2010 $ 50,556 $ 1,450,556 Updated portfolio data from servicer 1/6/2011 $ (2) $ 3/30/2011 $ (2) $ 1,450,554 Updated portfolio data from servicer Updated due to quarterly assessment and 1,450,552 reallocation 6/16/2011 $ (100,000) $ 6/29/2011 $ (21) $ 7/22/2011 $ (1,335,614) $ 1/22/2010 $ 10,000 $ 390,000 Updated HPDP cap & HAFA initial cap 3/26/2010 $ 520,000 $ 910,000 Updated portfolio data from servicer 7/14/2010 $ (810,000) $ 100,000 Updated portfolio data from servicer 9/30/2010 $ 45,056 $ 6/29/2011 $ (1) $ 6/28/2012 $ (1) $ 9/27/2012 $ (2) $ 3/25/2013 $ (1) $ 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 1/22/2010 $ 440,000 $ 3/26/2010 $ 14,480,000 $ 24,350,000 Updated portfolio data from servicer 5/26/2010 $ (24,200,000) $ 150,000 Updated portfolio data from servicer 7/14/2010 $ 150,000 $ 300,000 Updated portfolio data from servicer 9/30/2010 $ (9,889) $ 6/29/2011 $ (3) $ 6/28/2012 $ (2) $ 9/27/2012 $ (6) $ 12/27/2012 $ (1) $ 3/25/2013 $ (3) $ 6/27/2013 $ (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 1/22/2010 $ 10,000 $ 3/26/2010 $ 850,000 $ 1,220,000 Updated portfolio data from servicer 7/14/2010 $ (120,000) $ 1,100,000 Updated portfolio data from servicer 9/30/2010 $ 100,000 $ 1,200,000 Initial FHA-HAMP cap 9/30/2010 $ 105,500 $ 1,305,500 Updated portfolio data from servicer 1,305,498 Updated portfolio data from servicer 1,350,552 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,350,531 reallocation 14,917 Termination of SPA 9,870,000 Updated HPDP cap & HAFA initial cap 370,000 Updated HPDP cap & HAFA initial cap 1/6/2011 $ (2) $ 2/17/2011 $ (1,305,498) $ 1/22/2010 $ 70,000 $ 1,660,000 Updated HPDP cap & HAFA initial cap 3/26/2010 $ (290,000) $ 1,370,000 Updated portfolio data from servicer 7/14/2010 $ (570,000) $ 800,000 Updated portfolio data from servicer 9/30/2010 $ 70,334 $ 870,334 Updated portfolio data from servicer 1/6/2011 $ (1) $ 3/30/2011 $ (1) $ 6/29/2011 $ (13) $ 870,333 Updated portfolio data from servicer Updated due to quarterly assessment and 870,332 reallocation Updated due to quarterly assessment and 870,319 reallocation 1/25/2012 $ (870,319) $ 1/22/2010 $ 90,000 $ 1,970,000 Updated HPDP cap & HAFA initial cap 3/26/2010 $ 1,110,000 $ 3,080,000 Updated portfolio data from servicer 7/14/2010 $ (1,180,000) $ 1,900,000 Updated portfolio data from servicer 9/30/2010 $ 275,834 $ 2,175,834 Updated portfolio data from servicer 1/6/2011 $ (2) $ 3/30/2011 $ (3) $ 6/29/2011 $ (26) $ 6/28/2012 $ (21) $ 9/27/2012 $ (57) $ 12/27/2012 $ (10) $ 3/25/2013 $ (37) $ 6/27/2013 $ (15) $ 2,175,832 Updated portfolio data from servicer Updated due to quarterly assessment and 2,175,829 reallocation Updated due to quarterly assessment and 2,175,803 reallocation Updated due to quarterly assessment and 2,175,782 reallocation Updated due to quarterly assessment and 2,175,725 reallocation Updated due to quarterly assessment and 2,175,715 reallocation Updated due to quarterly assessment and 2,175,678 reallocation Updated due to quarterly assessment and 2,175,663 reallocation 7/9/2013 $ (1,889,819) $ 1/22/2010 $ 140,000 $ 3,080,000 Updated HPDP cap & HAFA initial cap 3/26/2010 $ 6,300,000 $ 9,380,000 Updated portfolio data from servicer 7/14/2010 $ (1,980,000) $ 7,400,000 Updated portfolio data from servicer 9/30/2010 $ (6,384,611) $ 1,015,389 Updated portfolio data from servicer 1/6/2011 $ (1) $ 3/30/2011 $ (2) $ 6/29/2011 $ (16) $ 6/28/2012 $ (12) $ 9/27/2012 $ (32) $ 12/27/2012 $ (5) $ 3/25/2013 $ (21) $ 6/27/2013 $ (8) $ 1,015,388 Updated portfolio data from servicer Updated due to quarterly assessment and 1,015,386 reallocation Updated due to quarterly assessment and 1,015,370 reallocation Updated due to quarterly assessment and 1,015,358 reallocation Updated due to quarterly assessment and 1,015,326 reallocation Updated due to quarterly assessment and 1,015,321 reallocation Updated due to quarterly assessment and 1,015,300 reallocation Updated due to quarterly assessment and 1,015,292 reallocation 1/22/2010 $ 10,000 $ 240,000 Updated HPDP cap & HAFA initial cap - Termination of SPA - Termination of SPA 285,844 Termination of SPA 101 Servicer Modifying Borrowers' Loans Adjustment Details Name of Institution Date City State Transaction Type Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Investment Description Pricing Mechanism Note 10141 10141 10141 10141 12/9/2009 The Golden 1 Credit Union Sacramento CA Purchase Financial Instrument for Home Loan Modifications $ 6,160,000 N/A 1001226 1001226 1001226 1001226 1001226 1001226 1001226 1001226 1001226 1001226 1001226 12/9/2009 Sterling Savings Bank Spokane WA Purchase Financial Instrument for Home Loan Modifications $ 2,250,000 N/A 1000638 1000638 1000638 1000638 techno 1000638 1000638 1000638 1000638 1000638 12/11/2009 HomeStar Bank & Financial Services Manteno IL Purchase Financial Instrument for Home Loan Modifications $ 310,000 N/A 10125 10125 10125 10125 10125 10125 10125 12 12/11/2009 Glenview Glenview State Bank IL Purchase Financial Instrument for Home Loan Modifications $ 370,000 N/A 1000558 1000558 12/11/2009 Seattle Verity Credit Union WA Purchase Financial Instrument for Home Loan Modifications $ 600,000 N/A 10139 10139 10139 10139 10139 12/11/2009 Hartford Hartford Savings Bank WI Purchase Financial Instrument for Home Loan Modifications $ 630,000 N/A 1000753 1000753 1000753 1000753 1000753 1000753 1000753 1000753 1000753 1000753 1000753 12/11/2009 Bryn Mawr The Bryn Mawr Trust Co. PA Purchase Financial Instrument for Home Loan Modifications $ 150,000 N/A 9 1000631 12/16/2009 Spring Valley Citizens First National Bank 1000438 1000438 1000438 1000438 1000438 1000438 1000438 IL Purchase Financial Instrument for Home Loan Modifications $ 620,000 N/A Adjustment Date Cap Adjustment Amount 3/26/2010 $ 7/14/2010 $ Adjusted Cap Reason for Adjustment 440,000 $ 680,000 Updated portfolio data from servicer (80,000) $ 600,000 Updated portfolio data from servicer 9/30/2010 $ (19,778) $ 580,222 Updated portfolio data from servicer 10/15/2010 $ (580,222) $ 1/22/2010 $ 290,000 $ 6,450,000 Updated HPDP cap & HAFA initial cap 3/26/2010 $ 40,000 $ 6,490,000 Updated portfolio data from servicer 7/14/2010 $ (2,890,000) $ 3,600,000 Updated portfolio data from servicer 9/30/2010 $ 606,612 $ 4,206,612 Updated portfolio data from servicer 1/6/2011 $ (4) $ 3/30/2011 $ (4) $ 6/29/2011 $ (35) $ 6/28/2012 $ (9) $ 9/27/2012 $ (14) $ 12/27/2012 $ (2) $ 3/25/2013 $ (8) $ 6/27/2013 $ (4) $ 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 1/22/2010 $ 100,000 $ 2,350,000 Updated HPDP cap & HAFA initial cap 3/26/2010 $ (740,000) $ 1,610,000 Updated portfolio data from servicer 7/14/2010 $ (710,000) $ 900,000 Updated portfolio data from servicer 9/30/2010 $ 550,556 $ 1,450,556 Updated portfolio data from servicer 1,450,555 Updated portfolio data from servicer Updated due to quarterly assessment and 1,450,554 reallocation Updated due to quarterly assessment and 1,450,543 reallocation Updated due to quarterly assessment and 1,481,450 reallocation Updated due to quarterly assessment and 1,540,138 reallocation Updated due to quarterly assessment and 1,775,313 reallocation Updated due to quarterly assessment and 1,859,504 reallocation - Termination of SPA 1/6/2011 $ (1) $ 3/30/2011 $ (1) $ 6/29/2011 $ (11) $ 9/27/2012 $ 30,907 $ 12/27/2012 $ 58,688 $ 3/25/2013 $ 235,175 $ 6/27/2013 $ 84,191 $ 1/22/2010 $ 20,000 $ 3/26/2010 $ 820,000 $ 1,150,000 Updated portfolio data from servicer 7/14/2010 $ (350,000) $ 800,000 Updated portfolio data from servicer 9/30/2010 $ 70,334 $ 870,334 Updated portfolio data from servicer 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 330,000 Updated HPDP cap & HAFA initial cap 1/6/2011 $ (1) $ 3/30/2011 $ (1) $ 6/29/2011 $ (13) $ 6/28/2012 $ (10) $ 7/6/2012 $ (856,986) $ 1/22/2010 $ 20,000 $ 3/26/2010 $ 1,250,000 $ 5/26/2010 $ (1,640,000) $ 1/22/2010 $ 30,000 $ 3/26/2010 $ 400,000 $ 1,030,000 Updated portfolio data from servicer 7/14/2010 $ (330,000) $ 700,000 Updated portfolio data from servicer 9/30/2010 $ 25,278 $ 725,278 Updated portfolio data from servicer 1/6/2011 $ (1) $ 725,277 Updated portfolio data from servicer 2/17/2011 $ (725,277) $ 1/22/2010 $ 30,000 $ 3/26/2010 $ 800,000 $ 1,460,000 Updated portfolio data from servicer 7/14/2010 $ (360,000) $ 1,100,000 Updated portfolio data from servicer 9/30/2010 $ 60,445 $ 1,160,445 Updated portfolio data from servicer 1,160,443 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 1/6/2011 $ (2) $ 3/30/2011 $ (2) $ 6/29/2011 $ (18) $ 6/28/2012 $ (14) $ 9/27/2012 $ (37) $ 12/27/2012 $ (6) $ 3/25/2013 $ (24) $ 6/27/2013 $ (9) $ 4/21/2010 $ 6/16/2011 $ (150,000) $ 100,000 13,323 Termination of SPA 390,000 Updated HPDP cap & HAFA initial cap 1,640,000 Updated portfolio data from servicer - Termination of SPA 630,000 Updated HPDP cap & HAFA initial cap - Termination of SPA 660,000 Updated HPDP cap & HAFA initial cap - Termination of SPA $ 100,000 Transfer of cap due to servicing transfer 650,000 Updated HPDP cap & HAFA initial cap 1/22/2010 $ 30,000 $ 3/26/2010 $ (580,000) $ 70,000 Updated portfolio data from servicer 7/14/2010 $ 1,430,000 $ 1,500,000 Updated portfolio data from servicer 9/30/2010 $ 95,612 $ 1,595,612 Updated portfolio data from servicer 1/6/2011 $ (2) $ 3/30/2011 $ (3) $ 6/29/2011 $ (24) $ 6/28/2012 $ (16) $ 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 102 Servicer Modifying Borrowers' Loans Adjustment Details Name of Institution Date City State Transaction Type Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Investment Description Pricing Mechanism Note 1000438 1000438 1000438 1000438 12/16/2009 Garden City Golden Plains Credit Union KS Purchase Financial Instrument for Home Loan Modifications $ 170,000 N/A 1001397 1001397 1001397 1001397 12/16/2009 First Federal Savings and Loan Association of Lakewood 12/16/2009 Sound Community Bank Lakewood OH Purchase Financial Instrument for Home Loan Modifications $ 3,460,000 N/A Seattle WA Purchase Financial Instrument for Home Loan Modifications $ 440,000 N/A 1000828 10524 10524 10524 12/16/2009 Michigan City Horizon Bank, NA IN Purchase Financial Instrument for Home Loan Modifications $ 700,000 N/A 1000825 1000825 1000825 1000825 1000825 1000825 1000825 1000825 12/16/2009 Solon Park View Federal Savings Bank OH Purchase Financial Instrument for Home Loan Modifications $ 760,000 N/A 10025 10025 10025 10025 10025 10025 10025 12 10025 12/23/2009 Sarasota Iberiabank FL Purchase Financial Instrument for Home Loan Modifications $ 4,230,000 N/A 1001411 1001411 1001411 1001411 1001411 1001411 12 1001411 12/23/2009 North Grafton Grafton Suburban Credit Union MA Purchase Financial Instrument for Home Loan Modifications $ 340,000 N/A 1001192 1001192 1001192 1001192 1001192 1001192 1001192 12/23/2009 Eaton Eaton National Bank & Trust Company OH Purchase Financial Instrument for Home Loan Modifications $ 60,000 N/A 1001078 1001078 1001078 12/23/2009 Tempe Tempe Schools Credit Union AZ Purchase Financial Instrument for Home Loan Modifications $ 110,000 N/A 1000703 1000703 1000703 1/13/2010 Fresno Fresno County Federal Credit Union CA Purchase Financial Instrument for Home Loan Modifications $ 260,000 N/A 10507 10507 10507 10507 10507 10507 12 1/13/2010 Roebling Roebling Bank 1001235 NJ Purchase Financial Instrument for Home Loan Modifications $ 240,000 N/A Adjustment Date Cap Adjustment Amount 9/27/2012 $ 12/27/2012 3/25/2013 6/27/2013 Adjusted Cap Reason for Adjustment 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 (45) $ $ (8) $ $ (30) $ $ (11) $ 1/22/2010 $ 10,000 $ 180,000 Updated HPDP cap & HAFA initial cap 3/26/2010 $ 30,000 $ 210,000 Updated portfolio data from servicer 7/14/2010 $ (10,000) $ 200,000 Updated portfolio data from servicer 9/30/2010 $ 90,111 $ 290,111 Updated portfolio data from servicer 2/17/2011 $ (290,111) $ 1/22/2010 $ 160,000 $ 4/21/2010 $ (3,620,000) $ 1/22/2010 $ 20,000 $ 3/26/2010 $ 1,430,000 $ 1,890,000 Updated portfolio data from servicer 7/14/2010 $ (390,000) $ 1,500,000 Updated portfolio data from servicer 9/8/2010 $ (1,500,000) $ 1/22/2010 $ 30,000 $ 3/26/2010 $ 1,740,000 $ 7/14/2010 $ (1,870,000) $ 600,000 Updated portfolio data from servicer 9/30/2010 $ 850,556 $ 1,450,556 Updated portfolio data from servicer 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 1/6/2011 $ (2) $ 3/30/2011 $ (2) $ 6/29/2011 $ (23) $ 6/28/2012 $ (17) $ 9/21/2012 $ (1,450,512) $ 1/22/2010 $ 40,000 $ 800,000 Updated HPDP cap & HAFA initial cap 3/26/2010 $ 140,000 $ 940,000 Updated portfolio data from servicer 7/14/2010 $ (140,000) $ 800,000 Updated portfolio data from servicer 9/30/2010 $ 70,334 $ 870,334 Updated portfolio data from servicer 1/6/2011 $ (1) $ 3/30/2011 $ (1) $ 6/29/2011 $ (12) $ 6/28/2012 $ (10) $ 870,333 Updated portfolio data from servicer Updated due to quarterly assessment and 870,332 reallocation Updated due to quarterly assessment and 870,320 reallocation Updated due to quarterly assessment and 870,310 reallocation 9/14/2012 $ (816,373) $ 1/22/2010 $ 200,000 $ 4,430,000 Updated HPDP cap & HAFA initial cap 3/26/2010 $ (1,470,000) $ 2,960,000 Updated portfolio data from servicer 7/14/2010 $ (1,560,000) $ 1,400,000 Updated portfolio data from servicer 9/30/2010 $ 5,852,780 $ 7,252,780 Updated portfolio data from servicer 1/6/2011 $ (11) $ 3/30/2011 $ (13) $ 7,252,769 Updated portfolio data from servicer Updated due to quarterly assessment and 7,252,756 reallocation 4/13/2011 $ (300,000) $ 6,952,756 Transfer of cap due to servicing transfer 6/3/2011 $ (6,927,254) $ 1/22/2010 $ 20,000 $ 3/26/2010 $ (320,000) $ 40,000 Updated portfolio data from servicer 7/14/2010 $ 760,000 $ 800,000 Updated portfolio data from servicer 9/30/2010 $ (74,722) $ 725,278 Updated portfolio data from servicer 1/6/2011 $ (1) $ 3/30/2011 $ (1) $ 6/29/2011 $ (11) $ 725,277 Updated portfolio data from servicer Updated due to quarterly assessment and 725,276 reallocation Updated due to quarterly assessment and 725,265 reallocation 1/25/2012 $ (725,265) $ - Termination of SPA 53,937 Termination of SPA 25,502 Termination of SPA 360,000 Updated HPDP cap & HAFA initial cap - Termination of SPA 3/26/2010 $ 90,000 $ 150,000 Updated portfolio data from servicer 7/14/2010 $ 50,000 $ 200,000 Updated portfolio data from servicer 9/30/2010 $ (54,944) $ 145,056 Updated portfolio data from servicer 5/20/2011 $ (145,056) $ 3/26/2010 $ (20,000) $ 90,000 Updated portfolio data from servicer 7/14/2010 $ 10,000 $ 100,000 Updated portfolio data from servicer 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer 12/8/2010 $ (145,056) $ 3/26/2010 $ 480,000 $ 740,000 Updated portfolio data from servicer 7/14/2010 $ (140,000) $ 600,000 Updated portfolio data from servicer 9/30/2010 $ (19,778) $ 580,222 Updated portfolio data from servicer 1/6/2011 $ (1) $ 3/30/2011 $ (1) $ 6/29/2011 $ (8) $ 6/28/2012 $ (6) $ 580,221 Updated portfolio data from servicer Updated due to quarterly assessment and 580,220 reallocation Updated due to quarterly assessment and 580,212 reallocation Updated due to quarterly assessment and 580,206 reallocation 7/6/2012 $ (555,252) $ 3/26/2010 $ 610,000 $ 850,000 Updated portfolio data from servicer 7/14/2010 $ 50,000 $ 900,000 Updated portfolio data from servicer - Termination of SPA - Termination of SPA 24,954 Termination of SPA 103 Servicer Modifying Borrowers' Loans Date Name of Institution Adjustment Details City State Transaction Type Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Investment Description Pricing Mechanism 1001235 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 CO Purchase Financial Instrument for Home Loan Modifications $ 64,150,000 N/A 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1000635 1/13/2010 Carson City Greater Nevada Mortgage Services NV Purchase Financial Instrument for Home Loan Modifications $ 770,000 N/A 10517 10517 10517 10517 10517 10517 10517 10517 10517 10517 1/15/2010 Digital Federal Credit Union Marlborough MA Purchase Financial Instrument for Home Loan Modifications $ 3,050,000 N/A San Diego CA Purchase Financial Instrument for Home Loan Modifications $ 960,000 N/A 10416 1/29/2010 iServe Residential Lending, LLC 1001415 1001415 1001415 Note Adjustment Date Cap Adjustment Amount 9/30/2010 $ Adjusted Cap Reason for Adjustment (29,666) $ 870,334 Updated portfolio data from servicer 870,333 Updated portfolio data from servicer 1/6/2011 $ (1) $ 3/23/2011 $ (870,333) $ 3/26/2010 $ 150,000 $ 290,000 Updated portfolio data from servicer 7/14/2010 $ 10,000 $ 300,000 Updated portfolio data from servicer 9/30/2010 $ (9,889) $ 290,111 Updated portfolio data from servicer 1/26/2011 $ (290,111) $ 3/26/2010 $ (51,240,000) $ 5/14/2010 $ 3,000,000 $ 6/16/2010 $ 4,860,000 $ 7/14/2010 $ 3,630,000 $ 7/16/2010 $ 330,000 $ 24,400,000 Updated portfolio data from servicer Transfer of cap from CitiMortgage, Inc. due to 24,730,000 servicing transfer 8/13/2010 $ 700,000 $ 25,430,000 Transfer of cap due to servicing transfer 9/15/2010 $ 200,000 $ 25,630,000 Transfer of cap due to servicing transfer 9/30/2010 $ (1,695,826) $ 23,934,174 Updated portfolio data from servicer 11/16/2010 $ 200,000 $ 24,134,174 Transfer of cap due to servicing transfer - 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 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 $ 3/15/2012 $ 100,000 $ 34,933,774 Transfer of cap due to servicing transfer 4/16/2012 $ 77,600,000 $ 112,533,774 Transfer of cap due to servicing transfer 5/16/2012 $ 40,000 $ 112,573,774 Transfer of cap due to servicing transfer 6/14/2012 $ (350,000) $ 6/28/2012 $ (1,058) $ 112,223,774 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 112,222,716 reallocation 7/16/2012 $ 4,430,000 $ 116,652,716 Transfer of cap due to servicing transfer 8/16/2012 $ (1,280,000) $ 9/27/2012 $ (3,061) $ 115,372,716 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 115,369,655 reallocation 10/16/2012 $ 5,600,000 $ 120,969,655 Transfer of cap due to servicing transfer 11/15/2012 $ 880,000 $ 121,849,655 Transfer of cap due to servicing transfer 12/14/2012 $ 24,180,000 $ 12/27/2012 $ (663) $ 146,029,655 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 146,028,992 reallocation 1/16/2013 $ 2,410,000 $ 148,438,992 Transfer of cap due to servicing transfer 2/14/2013 $ 6,650,000 $ 155,088,992 Transfer of cap due to servicing transfer 3/14/2013 $ (1,450,000) $ 3/25/2013 $ (2,584) $ 153,638,992 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 153,636,408 reallocation 4/16/2013 $ (750,000) $ 152,886,408 Transfer of cap due to servicing transfer 5/16/2013 $ (1,250,000) $ 151,636,408 Transfer of cap due to servicing transfer 6/14/2013 $ 3,670,000 $ 6/27/2013 $ (985) $ 155,306,408 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 155,305,423 reallocation 7/16/2013 $ (3,720,000) $ 151,585,423 Transfer of cap due to servicing transfer 3/26/2010 $ 8,680,000 $ 9,450,000 Updated portfolio data from servicer 7/14/2010 $ (8,750,000) $ 700,000 Updated portfolio data from servicer 9/30/2010 $ 170,334 $ 870,334 Updated portfolio data from servicer 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 34,833,774 Transfer of cap due to servicing transfer 1/6/2011 $ (1) $ 3/30/2011 $ (1) $ 6/29/2011 $ (8) $ 6/28/2012 $ (4) $ 9/27/2012 $ (10) $ 12/27/2012 $ (2) $ 3/25/2013 $ (7) $ 6/27/2013 $ (2) $ 3/26/2010 $ 12,190,000 $ 5/14/2010 $ (15,240,000) $ 3/26/2010 $ (730,000) $ 230,000 Updated portfolio data from servicer 7/14/2010 $ 370,000 $ 600,000 Updated portfolio data from servicer 9/30/2010 $ 200,000 $ 800,000 Initial FHA-HAMP cap and initial 2MP cap 9/30/2010 $ (364,833) $ 435,167 Updated portfolio data from servicer 15,240,000 Updated portfolio data from servicer - Termination of SPA 104 Servicer Modifying Borrowers' Loans Adjustment Details Name of Institution Date City State Transaction Type Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Investment Description Pricing Mechanism 1001415 1001415 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 3/3/2010 Lake Mary Urban Trust Bank FL Purchase Financial Instrument for Home Loan Modifications $ 1,060,000 N/A 1001435 3/5/2010 Irving iServe Servicing, Inc. TX Purchase Financial Instrument for Home Loan Modifications $ 28,040,000 N/A 1001384 1001384 1001384 1001384 1001384 1001384 1001384 1001384 1001384 1001384 1001384 1001384 1001384 3/10/2010 Vienna Navy Federal Credit Union VA Purchase Financial Instrument for Home Loan Modifications $ 60,780,000 N/A 1000494 1000494 1000494 1000494 1000494 1000494 1000494 1000494 1000494 3/10/2010 Wyomissing VIST Financial Corp PA Purchase Financial Instrument for Home Loan Modifications $ 300,000 N/A 1000468 1000468 1000468 1000468 1000468 1000468 1000468 1000468 1000468 4/14/2010 Elmwood Park Midwest Bank and Trust Co. IL Purchase Financial Instrument for Home Loan Modifications $ 300,000 N/A 1001521 1001521 1001521 1001521 1001521 4/14/2010 Beaverton Wealthbridge Mortgage Corp 1000657 1000657 1000657 1000657 1000657 1000657 OR Purchase Financial Instrument for Home Loan Modifications $ 6,550,000 N/A Note Adjustment Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment 11/16/2010 $ 100,000 $ 535,167 Transfer of cap due to servicing transfer 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 1/6/2011 $ (1) $ 3/30/2011 $ (1) $ 6/29/2011 $ (7) $ 6/28/2012 $ (6) $ 9/27/2012 $ (15) $ 12/27/2012 $ (3) $ 3/25/2013 $ (10) $ 6/27/2013 $ (4) $ 3/26/2010 $ 160,000 $ 700,000 Updated portfolio data from servicer 9/30/2010 $ 25,278 $ 725,278 Updated portfolio data from servicer 725,277 Updated portfolio data from servicer Updated due to quarterly assessment and 725,276 reallocation Updated due to quarterly assessment and 725,265 reallocation Updated due to quarterly assessment and 725,257 reallocation Updated due to quarterly assessment and 725,235 reallocation Updated due to quarterly assessment and 725,231 reallocation Updated due to quarterly assessment and 725,217 reallocation Updated due to quarterly assessment and 725,212 reallocation 1/6/2011 $ (1) $ 3/30/2011 $ (1) $ 6/29/2011 $ (11) $ 6/28/2012 $ (8) $ 9/27/2012 $ (22) $ 12/27/2012 $ (4) $ 3/25/2013 $ (14) $ 6/27/2013 $ (5) $ 7/14/2010 $ 4,440,000 $ 9/24/2010 $ (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) $ 3/25/2013 $ (297) $ 6/27/2013 $ (112) $ 13,274,762 Updated portfolio data from servicer Updated due to quarterly assessment and 13,274,738 reallocation Updated due to quarterly assessment and 13,274,517 reallocation Updated due to quarterly assessment and 13,274,348 reallocation Updated due to quarterly assessment and 13,273,883 reallocation Updated due to quarterly assessment and 13,273,805 reallocation Updated due to quarterly assessment and 13,273,508 reallocation Updated due to quarterly assessment and 13,273,396 reallocation 7/16/2013 $ (10,000) $ 13,263,396 Transfer of cap due to servicing transfer 7/14/2010 $ (44,880,000) $ 15,900,000 Updated portfolio data from servicer 9/30/2010 $ 1,071,505 $ 16,971,505 Updated portfolio data from servicer 1/6/2011 $ (23) $ 3/30/2011 $ (26) $ 6/29/2011 $ (238) $ 6/28/2012 $ (145) $ 9/27/2012 $ (374) $ 12/27/2012 $ (58) $ 3/25/2013 $ (199) $ 6/27/2013 $ (68) $ 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 7/14/2010 $ 400,000 $ 700,000 Updated portfolio data from servicer 9/30/2010 $ 25,278 $ 725,278 Updated portfolio data from servicer 1/6/2011 $ (1) $ 3/30/2011 $ (1) $ 6/29/2011 $ (11) $ 6/28/2012 $ (8) $ 9/27/2012 $ (22) $ 12/27/2012 $ (4) $ 3/25/2013 $ (14) $ 6/27/2013 $ (5) $ 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 7/14/2010 $ 300,000 $ 600,000 Updated portfolio data from servicer 9/30/2010 $ (19,778) $ 580,222 Updated portfolio data from servicer 580,221 Updated portfolio data from servicer Updated due to quarterly assessment and 580,220 reallocation Updated due to quarterly assessment and 580,212 reallocation 5,500,000 Updated portfolio data from servicer - Termination of SPA 1/6/2011 $ (1) $ 3/30/2011 $ (1) $ 6/29/2011 $ (8) $ 7/14/2011 $ (580,212) $ 7/14/2010 $ (150,000) $ 6,400,000 Updated portfolio data from servicer 9/15/2010 $ 1,600,000 $ 8,000,000 Transfer of cap due to servicing transfer 9/30/2010 $ (4,352,173) $ 3,647,827 Updated portfolio data from servicer 1/6/2011 $ (5) $ 3/30/2011 $ (6) $ 3,647,822 Updated portfolio data from servicer Updated due to quarterly assessment and 3,647,816 reallocation 4/13/2011 $ (3,000,000) $ 6/29/2011 $ (9) $ - Termination of SPA 647,816 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 647,807 reallocation 105 Servicer Modifying Borrowers' Loans Name of Institution Date Adjustment Details City State Transaction Type Pricing Mechanism Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Investment Description Note 1000657 1000657 1000657 1000657 1000657 5/21/2010 Marlton Aurora Financial Group, Inc. NJ Purchase Financial Instrument for Home Loan Modifications $ 10,000 N/A 4, 8 10425 10425 10425 10425 10425 10425 10425 6/16/2010 Houston Selene Finance LP TX Purchase Financial Instrument for Home Loan Modifications $ - N/A 1001460 1001460 1001460 1001460 1001460 1001460 1001460 1001460 1001460 1001460 1001460 1001460 1001460 1001460 1001460 1001460 1001460 1001460 1001460 1001460 1001460 1001460 1001460 1001460 1001460 8/4/2010 Albuquerque Suburban Mortgage Company of New Mexico NM Purchase Financial Instrument for Home Loan Modifications $ 880,000 N/A 1000602 1000602 1000602 1000602 1000602 8/20/2010 Cincinanati Bramble Savings Bank OH Purchase Financial Instrument for Home Loan Modifications $ 700,000 N/A 1001708 1001708 1001708 1001708 8/25/2010 Oswego Pathfinder Bank NY Purchase Financial Instrument for Home Loan Modifications $ 1,300,000 N/A 1001240 1001240 1001240 1001240 1001240 1001240 1001240 1001240 8/27/2010 Terre Haute First Financial Bank, N.A. 1000951 1000951 1000951 1000951 1000951 1000951 1000951 ID Purchase Financial Instrument for Home Loan Modifications $ 4,300,000 N/A 9 Adjustment Date Cap Adjustment Amount Adjusted Cap 6/28/2012 $ (7) $ Reason for Adjustment Updated due to quarterly assessment and 647,800 reallocation Updated due to quarterly assessment and 647,781 reallocation Updated due to quarterly assessment and 647,778 reallocation Updated due to quarterly assessment and 647,766 reallocation Updated due to quarterly assessment and 647,761 reallocation 9/27/2012 $ (19) $ 12/27/2012 $ (3) $ 3/25/2013 $ (12) $ 6/27/2013 $ (5) $ 5/26/2010 $ 30,000 $ 9/30/2010 $ 250,111 $ 6/29/2011 $ 59,889 $ 6/28/2012 $ (2) $ 9/27/2012 $ (5) $ 12/27/2012 $ (1) $ 3/25/2013 $ (3) $ 6/27/2013 $ (1) $ 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 $ 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 1,400,000 $ 11,423,831 Transfer of cap due to servicing transfer 1/6/2011 $ (17) $ 11,423,814 Updated portfolio data from servicer 3/16/2011 $ 2,100,000 $ 3/30/2011 $ (24) $ 13,523,814 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 13,523,790 reallocation 4/13/2011 $ 2,900,000 $ 16,423,790 Transfer of cap due to servicing transfer 6/16/2011 $ (200,000) $ 6/29/2011 $ (273) $ 16,223,790 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 16,223,517 reallocation 10/14/2011 $ 100,000 $ 16,323,517 Transfer of cap due to servicing transfer 11/16/2011 $ 1,100,000 $ 17,423,517 Transfer of cap due to servicing transfer 4/16/2012 $ 200,000 $ 17,623,517 Transfer of cap due to servicing transfer 5/16/2012 $ 10,000 $ 17,633,517 Transfer of cap due to servicing transfer 6/14/2012 $ (300,000) $ 6/28/2012 $ (218) $ 17,333,517 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 17,333,299 reallocation 7/16/2012 $ 40,000 $ 17,373,299 Transfer of cap due to servicing transfer 8/16/2012 $ 480,000 $ 9/27/2012 $ (600) $ 17,853,299 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 17,852,699 reallocation 11/15/2012 $ 70,000 $ 12/27/2012 $ (102) $ 3/14/2013 $ 90,000 $ 3/25/2013 $ (384) $ 5/16/2013 $ (30,000) $ 6/27/2013 $ (146) $ 17,982,213 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 17,982,067 reallocation 7/16/2013 $ 170,000 $ 18,152,067 Transfer of cap due to servicing transfer 9/30/2010 $ 1,585,945 $ 2,465,945 Updated portfolio data from servicer 1/6/2011 $ (4) $ 3/30/2011 $ (4) $ 6/29/2011 $ (40) $ 6/28/2012 $ (30) $ 2,465,941 Updated portfolio data from servicer Updated due to quarterly assessment and 2,465,937 reallocation Updated due to quarterly assessment and 2,465,897 reallocation Updated due to quarterly assessment and 2,465,867 reallocation 8/10/2012 $ (2,465,867) $ 9/30/2010 $ 1,040,667 $ 1,740,667 Updated portfolio data from servicer 1,740,665 Updated portfolio data from servicer Updated due to quarterly assessment and 1,740,662 reallocation Updated due to quarterly assessment and 1,740,634 reallocation 17,922,699 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 17,922,597 reallocation 18,012,597 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 18,012,213 reallocation - Termination of SPA 1/6/2011 $ (2) $ 3/30/2011 $ (3) $ 6/29/2011 $ (28) $ 8/10/2011 $ (1,740,634) $ 9/30/2010 $ 2,181,334 $ 3,481,334 Updated portfolio data from servicer 3,481,329 Updated portfolio data from servicer Updated due to quarterly assessment and 3,481,323 reallocation Updated due to quarterly assessment and 3,481,265 reallocation Updated due to quarterly assessment and 3,481,222 reallocation Updated due to quarterly assessment and 3,481,103 reallocation Updated due to quarterly assessment and 3,481,083 reallocation Updated due to quarterly assessment and 3,481,007 reallocation Updated due to quarterly assessment and 3,480,978 reallocation - Termination of SPA 1/6/2011 $ (5) $ 3/30/2011 $ (6) $ 6/29/2011 $ (58) $ 6/28/2012 $ (43) $ 9/27/2012 $ (119) $ 12/27/2012 $ (20) $ 3/25/2013 $ (76) $ 6/27/2013 $ (29) $ 9/30/2010 $ 7,014,337 $ 11,314,337 Updated portfolio data from servicer 1/6/2011 $ (17) $ 3/30/2011 $ (20) $ 6/29/2011 $ (192) $ 6/28/2012 $ (144) $ 9/27/2012 $ (396) $ 12/27/2012 $ (67) $ 3/25/2013 $ (253) $ 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 106 Servicer Modifying Borrowers' Loans Adjustment Details Name of Institution Date City State Transaction Type Pricing Mechanism Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Investment Description Note 1000951 9/1/2010 Raleigh RBC Bank (USA) NC Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 1001421 1001421 1001421 1001421 1001421 15 1001421 9/3/2010 Chicago Fay Servicing, LLC IL Purchase Financial Instrument for Home Loan Modifications $ 3,100,000 N/A 1001727 1001727 1001727 1001727 1001727 1001727 1001727 1001727 1001727 1001727 1001727 1001727 1001727 1001727 1001727 1001727 1001727 1001727 1001727 1001727 1001727 1001727 1001727 1001727 1001727 1001727 9/15/2010 Oklahoma City Vericrest Financial, Inc. OK Purchase Financial Instrument for Home Loan Modifications $ - N/A 1001557 1001557 1001557 1001557 1001557 1001557 1001557 1001557 1001557 1001557 1001557 1001557 1001557 1001557 1001557 1001557 1001557 1001557 9/15/2010 Freeport Midwest Community Bank IL Purchase Financial Instrument for Home Loan Modifications $ 400,000 N/A 1000879 1000879 1000879 1000879 1000879 1000879 1000879 1000879 9/24/2010 Pasadena American Finance House LARIBA CA Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 1000704 9/24/2010 Ottawa Centrue Bank 10204 10204 IL Purchase Financial Instrument for Home Loan Modifications $ 1,900,000 N/A 9 Adjustment Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment Updated due to quarterly assessment and 11,313,153 reallocation 6/27/2013 $ (95) $ 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer 1/6/2011 $ 34,944 $ 3/30/2011 $ 40,000 $ 6/29/2011 $ 50,000 $ 180,000 Updated portfolio data from servicer Updated due to quarterly assessment and 220,000 reallocation Updated due to quarterly assessment and 270,000 reallocation 3/15/2012 $ (200,000) $ 70,000 Transfer of cap due to servicing transfer 6/14/2012 $ (10,000) $ 60,000 Transfer of cap due to servicing transfer 4/9/2013 $ (60,000) $ 9/30/2010 $ 5,168,169 $ 8,268,169 Updated portfolio data from servicer 8,268,157 Updated portfolio data from servicer Updated due to quarterly assessment and 8,268,142 reallocation - Termination of SPA 1/6/2011 $ (12) $ 3/30/2011 $ (15) $ 4/13/2011 $ 400,000 $ 6/29/2011 $ (143) $ 8,668,142 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 8,667,999 reallocation 9/15/2011 $ 700,000 $ 9,367,999 Transfer of cap due to servicing transfer 10/14/2011 $ 100,000 $ 9,467,999 Transfer of cap due to servicing transfer 11/16/2011 $ 200,000 $ 9,667,999 Transfer of cap due to servicing transfer 12/15/2011 $ 1,700,000 $ 11,367,999 Transfer of cap due to servicing transfer 4/16/2012 $ 1,600,000 $ 12,967,999 Transfer of cap due to servicing transfer 5/16/2012 $ 40,000 $ 13,007,999 Transfer of cap due to servicing transfer 6/14/2012 $ (210,000) $ 6/28/2012 $ (105) $ 12,797,999 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 12,797,894 reallocation 7/16/2012 $ 50,000 $ 12,847,894 Transfer of cap due to servicing transfer 8/16/2012 $ 90,000 $ 9/27/2012 $ (294) $ 12,937,894 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 12,937,600 reallocation 10/16/2012 $ 1,810,000 $ 12/27/2012 $ (61) $ 14,747,600 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 14,747,539 reallocation 1/16/2013 $ 30,000 $ 14,777,539 Transfer of cap due to servicing transfer 2/14/2013 $ (590,000) $ 14,187,539 Transfer of cap due to servicing transfer 3/14/2013 $ (80,000) $ 3/25/2013 $ (214) $ 14,107,539 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 14,107,325 reallocation 4/16/2013 $ 200,000 $ 14,307,325 Transfer of cap due to servicing transfer 5/16/2013 $ 3,710,000 $ 18,017,325 Transfer of cap due to servicing transfer 6/14/2013 $ 1,760,000 $ 6/27/2013 $ (86) $ 19,777,325 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 19,777,239 reallocation 7/16/2013 $ 6,650,000 $ 26,427,239 Transfer of cap due to servicing transfer 9/15/2010 $ 1,000,000 $ 1,000,000 Transfer of cap due to servicing transfer 9/30/2010 $ 450,556 $ 1,450,556 Updated portfolio data from servicer 1/6/2011 $ (2) $ 1,450,554 Updated portfolio data from servicer 2/16/2011 $ 3,000,000 $ 4,450,554 Transfer of cap due to servicing transfer 3/16/2011 $ 10,200,000 $ 3/30/2011 $ (24) $ 6/29/2011 $ (227) $ 14,650,554 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 14,650,530 reallocation Updated due to quarterly assessment and 14,650,303 reallocation 7/14/2011 $ 12,000,000 $ 26,650,303 Transfer of cap due to servicing transfer 12/15/2011 $ 4,100,000 $ 30,750,303 Transfer of cap due to servicing transfer 1/13/2012 $ 900,000 $ 31,650,303 Transfer of cap due to servicing transfer 4/16/2012 $ 300,000 $ 6/28/2012 $ (266) $ 31,950,303 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 31,950,037 reallocation Updated due to quarterly assessment and 31,949,348 reallocation 9/27/2012 $ (689) $ 11/15/2012 $ 720,000 $ 12/27/2012 $ (114) $ 1/16/2013 $ 8,020,000 $ 3/25/2013 $ (591) $ 5/16/2013 $ (40,000) $ 6/27/2013 $ (223) $ 9/30/2010 $ 180,222 $ 580,222 Updated portfolio data from servicer 1/6/2011 $ (1) $ 3/30/2011 $ (1) $ 6/29/2011 $ (8) $ 6/28/2012 $ (6) $ 9/27/2012 $ (17) $ 12/27/2012 $ (3) $ 3/25/2013 $ (11) $ 6/27/2013 $ (4) $ 580,221 Updated portfolio data from servicer Updated due to quarterly assessment and 580,220 reallocation Updated due to quarterly assessment and 580,212 reallocation Updated due to quarterly assessment and 580,206 reallocation Updated due to quarterly assessment and 580,189 reallocation Updated due to quarterly assessment and 580,186 reallocation Updated due to quarterly assessment and 580,175 reallocation Updated due to quarterly assessment and 580,171 reallocation 9/30/2010 $ 45,056 $ 2/2/2011 $ (145,056) $ 9/30/2010 $ 856,056 $ 2,756,056 Updated portfolio data from servicer 1/6/2011 $ (4) $ 2,756,052 Updated portfolio data from servicer 3/9/2011 $ (2,756,052) $ 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 145,056 Updated portfolio data from servicer - Termination of SPA - Termination of SPA 107 Servicer Modifying Borrowers' Loans Adjustment Details State Transaction Type 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 Name of Institution Date 9/30/2010 AgFirst Farm Credit Bank 9/30/2010 Amarillo National Bank City Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Investment Description Pricing Mechanism Note 1001220 4, 8 1000478 1000478 1000478 1000478 9/30/2010 Parsippany American Financial Resources Inc. NJ Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 1001726 1001726 1001726 1001726 9/30/2010 San Juan Banco Popular de Puerto Rico PR Purchase Financial Instrument for Home Loan Modifications $ 1,700,000 N/A 4, 5, 8 1000509 1000509 1000509 1000509 1000509 1000509 1000509 1000509 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 8 8 8 8 9/30/2010 12 New Brighton CU Mortgage Services, Inc. MN Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 10616 10616 10616 10616 9/30/2010 Lake City First Federal Bank of Florida FL Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 10364 10364 10364 10364 9/30/2010 Diamond Bar First Mortgage Corporation CA Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 10253 10253 10253 10253 9/30/2010 Cincinnati First Safety Bank OH Purchase Financial Instrument for Home Loan Modifications $ 400,000 N/A 1000487 1000487 9/30/2010 Troy Flagstar Capital Markets Corporation MI Purchase Financial Instrument for Home Loan Modifications $ 800,000 N/A 7, 8 10228 10228 10228 10228 10228 10228 10228 10228 9/30/2010 Cincinnati Franklin Savings 1000773 1000773 1000773 1000773 OH Purchase Financial Instrument for Home Loan Modifications $ 1,700,000 N/A 4 Adjustment Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment 9/30/2010 $ 45,056 $ 145,056 Updated portfolio data from servicer 3/23/2011 $ (145,056) $ 9/30/2010 $ 45,056 $ 6/29/2011 $ (1) $ 6/28/2012 $ (1) $ 9/27/2012 $ (2) $ 3/25/2013 $ (1) $ 9/30/2010 $ 45,056 $ 6/29/2011 $ (1) $ 6/28/2012 $ (1) $ 9/27/2012 $ (2) $ 3/25/2013 $ (1) $ 9/30/2010 $ 765,945 $ 2,465,945 Updated portfolio data from servicer 1/6/2011 $ (3) $ 3/30/2011 $ (4) $ 6/29/2011 $ (36) $ 6/28/2012 $ (30) $ 9/27/2012 $ (83) $ 12/27/2012 $ (14) $ 3/25/2013 $ (53) $ 6/27/2013 $ (20) $ 2,465,942 Updated portfolio data from servicer Updated due to quarterly assessment and 2,465,938 reallocation Updated due to quarterly assessment and 2,465,902 reallocation Updated due to quarterly assessment and 2,465,872 reallocation Updated due to quarterly assessment and 2,465,789 reallocation Updated due to quarterly assessment and 2,465,775 reallocation Updated due to quarterly assessment and 2,465,722 reallocation Updated due to quarterly assessment and 2,465,702 reallocation 9/30/2010 $ 45,056 $ 6/29/2011 $ (1) $ 6/28/2012 $ (1) $ 9/27/2012 $ (2) $ 3/25/2013 $ (1) $ 9/30/2010 $ 360,445 $ 1,160,445 Updated portfolio data from servicer 1/6/2011 $ (2) $ 1,160,443 Updated portfolio data from servicer 3/23/2011 $ (1,160,443) $ 9/30/2010 $ 901,112 $ 2,901,112 Updated portfolio data from servicer 2,901,108 Updated portfolio data from servicer Updated due to quarterly assessment and 2,901,103 reallocation Updated due to quarterly assessment and 2,901,055 reallocation Updated due to quarterly assessment and 2,901,019 reallocation - 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 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 $ (4) $ 3/30/2011 $ (5) $ 6/29/2011 $ (48) $ 6/28/2012 $ (36) $ 9/14/2012 $ (2,888,387) $ 9/30/2010 $ 45,056 $ 6/29/2011 $ (1) $ 6/28/2012 $ (1) $ 9/27/2012 $ (2) $ 3/25/2013 $ (1) $ 9/30/2010 $ 45,056 $ 6/29/2011 $ (1) $ 6/28/2012 $ (1) $ 9/27/2012 $ (2) $ 3/25/2013 $ (1) $ 9/30/2010 $ 45,056 $ 6/29/2011 $ (1) $ 6/28/2012 $ (1) $ 9/27/2012 $ (2) $ 3/25/2013 $ (1) $ 9/30/2010 $ 180,222 $ 580,222 Updated portfolio data from servicer 1/6/2011 $ (1) $ 580,221 Updated portfolio data from servicer 3/23/2011 $ (580,221) $ 9/30/2010 $ 360,445 $ 1,160,445 Updated portfolio data from servicer 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 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 $ (2) $ 3/30/2011 $ (2) $ 6/29/2011 $ (18) $ 6/28/2012 $ (14) $ 9/27/2012 $ (37) $ 12/27/2012 $ (6) $ 3/25/2013 $ (24) $ 6/27/2013 $ (9) $ 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 9/30/2010 $ 765,945 $ 2,465,945 Updated portfolio data from servicer 1/6/2011 $ (4) $ 3/30/2011 $ (4) $ 6/29/2011 $ (40) $ 6/28/2012 $ (30) $ 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 108 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 1000773 1000773 1000773 1000773 1000773 9/30/2010 Tulsa Gateway Mortgage Group, LLC OK Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 1001744 1001744 1001744 1001744 9/30/2010 GFA Federal Credit Union 9/30/2010 Guaranty Bank Gardner MA Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A Saint Paul MN Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 1001637 4, 8 10350 10350 10350 10350 9/24/2010 Kansas City James B. Nutter & Company MO Purchase Financial Instrument for Home Loan Modifications $ 300,000 N/A 4, 8 1000492 1000492 1000492 1000492 1000492 1000492 1000492 1000492 9/30/2010 New Orleans Liberty Bank and Trust Co LA Purchase Financial Instrument for Home Loan Modifications $ 1,000,000 N/A 1001010 1001010 1001010 1001010 1001010 1001010 1001010 1001010 9/30/2010 Buffalo M&T Bank NY Purchase Financial Instrument for Home Loan Modifications $ 700,000 N/A 4, 8 10529 10529 10529 10529 10529 10529 10529 10529 9/30/2010 Germantown Magna Bank TN Purchase Financial Instrument for Home Loan Modifications $ 1,400,000 N/A 5 1000645 1000645 1000645 1000645 1000645 1000645 1000645 1000645 9/30/2010 Lexena Mainstreet Credit Union KS Purchase Financial Instrument for Home Loan Modifications $ 500,000 N/A 1001636 1001636 9/30/2010 Charlotte Marsh Associates, Inc. NC Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 1001907 1001907 1001907 1001907 9/30/2010 Oklahoma City Midland Mortgage Company 10457 10457 10457 10457 10457 OK Purchase Financial Instrument for Home Loan Modifications $ 43,500,000 N/A 4, 5 Adjustment Date Cap Adjustment Amount Adjusted Cap (83) $ (14) $ (53) $ (10,000) $ Reason for Adjustment 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 9/27/2012 $ 12/27/2012 $ 3/25/2013 $ 6/14/2013 $ 6/27/2013 $ (20) $ 9/30/2010 $ 45,056 $ 6/29/2011 $ (1) $ 6/28/2012 $ (1) $ 9/27/2012 $ (2) $ 3/25/2013 $ (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 $ 45,056 $ 145,056 Updated portfolio data from servicer 3/23/2011 $ (145,056) $ 9/30/2010 $ 45,056 $ 6/29/2011 $ (1) $ 6/28/2012 $ (1) $ 9/27/2012 $ (2) $ 3/25/2013 $ (1) $ 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 $ 135,167 $ 435,167 Updated portfolio data from servicer 1/6/2011 $ (1) $ 3/30/2011 $ (1) $ 6/29/2011 $ (6) $ 6/28/2012 $ (4) $ 9/27/2012 $ (12) $ 12/27/2012 $ (2) $ 3/25/2013 $ (8) $ 6/27/2013 $ (3) $ 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 9/30/2010 $ 450,556 $ 1,450,556 Updated portfolio data from servicer 1/6/2011 $ (2) $ 3/30/2011 $ (2) $ 6/29/2011 $ (23) $ 6/28/2012 $ (17) $ 9/27/2012 $ (48) $ 12/27/2012 $ (8) $ 3/25/2013 $ (30) $ 6/27/2013 $ (11) $ 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 9/30/2010 $ 315,389 $ 1,015,389 Updated portfolio data from servicer 1/6/2011 $ (1) $ 3/30/2011 $ (1) $ 6/29/2011 $ (11) $ 6/28/2012 $ (11) $ 9/27/2012 $ (30) $ 12/27/2012 $ (5) $ 3/25/2013 $ (20) $ 6/27/2013 $ (7) $ 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 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 9/30/2010 $ 225,278 $ 725,278 Updated portfolio data from servicer 1/6/2011 $ (1) $ 725,277 Updated portfolio data from servicer 3/9/2011 $ (725,277) $ 9/30/2010 $ 45,056 $ 6/29/2011 $ (1) $ 6/28/2012 $ (1) $ 9/27/2012 $ (1) $ 3/25/2013 $ (1) $ 9/30/2010 $ 49,915,806 $ 93,415,806 Updated portfolio data from servicer 1/6/2011 $ (125) $ 3/30/2011 $ (139) $ 6/29/2011 $ (1,223) $ 6/28/2012 $ (797) $ 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 7/16/2012 $ 294,540,000 $ 2,455,717 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 2,455,697 reallocation - Termination of SPA - Termination of SPA 145,056 Updated portfolio data from servicer Updated due to quarterly assessment and 145,055 reallocation Updated due to quarterly assessment and 145,054 reallocation Updated due to quarterly assessment and 145,053 reallocation Updated due to quarterly assessment and 145,052 reallocation 387,953,522 Transfer of cap due to servicing transfer 109 Servicer Modifying Borrowers' Loans Date Adjustment Details Name of Institution City State Transaction Type Pricing Mechanism Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Investment Description Note 10457 10457 10457 10457 10457 9/30/2010 Mid America Mortgage, Inc. (Schmidt Mortgage Company) Rocky River OH Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 1001163 1001163 1001163 1001163 9/30/2010 Miles City Stockman Bank of Montana MT Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 1000818 1000818 1000818 1000818 9/30/2010 Salt Lake City University First Federal Credit Union UT Purchase Financial Instrument for Home Loan Modifications $ 600,000 N/A 1001721 1001721 9/30/2010 Woodbridge Weststar Mortgage, Inc. VA Purchase Financial Instrument for Home Loan Modifications $ 100,000 N/A 4, 8 1001893 1001893 1001893 1001893 12/15/2010 Denver Statebridge Company, LLC CO Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 1001754 1001754 1001754 1001754 1001754 1001754 1001754 1001754 1001754 1001754 1001754 1001754 1001754 1001754 1001754 1001754 1001754 1001754 1001754 12/15/2010 San Juan Scotiabank de Puerto Rico PR Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 1000991 1000991 1000991 1000991 1000991 1000991 1000991 4/13/2011 Cleveland New York Community Bank (AmTrust Bank) OH Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 10151 10151 10151 10151 10151 10151 10151 10151 10151 10151 4/13/2011 Richmond SunTrust Mortgage, Inc. VA Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 10012 10012 10012 4/13/2011 Urban Partnership Bank Chicago IL Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 Adjustment Date Cap Adjustment Amount Adjusted Cap 7/27/2012 $ (263,550,000) $ Reason for Adjustment 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 9/27/2012 $ (3,170) $ 12/27/2012 $ (507) $ 3/25/2013 $ (1,729) $ 6/27/2013 $ (593) $ 9/30/2010 $ 45,056 $ 6/29/2011 $ (1) $ 6/28/2012 $ (1) $ 9/27/2012 $ (2) $ 3/25/2013 $ (1) $ 9/30/2010 $ 45,056 $ 6/29/2011 $ (1) $ 6/28/2012 $ (1) $ 9/27/2012 $ (2) $ 3/25/2013 $ (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 $ 270,334 $ 870,334 Updated portfolio data from servicer 1/6/2011 $ (1) $ 870,333 Updated portfolio data from servicer 2/17/2011 $ (870,333) $ 9/30/2010 $ 45,056 $ 6/29/2011 $ (1) $ 6/28/2012 $ (1) $ 9/27/2012 $ (2) $ 3/25/2013 $ (1) $ 12/15/2010 $ 5,000,000 $ 5,000,000 Updated portfolio data from servicer 1/6/2011 $ (7) $ 4,999,993 Updated portfolio data from servicer 2/16/2011 $ 500,000 $ 5,499,993 Transfer of cap due to servicing transfer 3/16/2011 $ 100,000 $ 3/30/2011 $ (9) $ 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 $ (85) $ 5,599,993 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 5,599,984 reallocation Updated due to quarterly assessment and 5,599,899 reallocation 11/16/2011 $ (2,500,000) $ 3,099,899 Transfer of cap due to servicing transfer 3/15/2012 $ 200,000 $ 6/28/2012 $ (40) $ 9/27/2012 $ (100) $ 3,299,899 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 3,299,859 reallocation Updated due to quarterly assessment and 3,299,759 reallocation 10/16/2012 $ 170,000 $ 3,469,759 Transfer of cap due to servicing transfer 11/15/2012 $ (30,000) $ 3,439,759 Transfer of cap due to servicing transfer 12/14/2012 $ (80,000) $ 12/27/2012 $ (17) $ 3,359,759 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 3,359,742 reallocation 1/16/2013 $ 50,000 $ 3,409,742 Transfer of cap due to servicing transfer 2/14/2013 $ 1,240,000 $ 4,649,742 Transfer of cap due to servicing transfer 3/14/2013 $ 90,000 $ 3/25/2013 $ (90) $ 4,739,742 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 4,739,652 reallocation 4/16/2013 $ (10,000) $ 6/27/2013 $ (34) $ 4,729,652 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 4,729,618 reallocation 12/15/2010 $ 4,300,000 $ 4,300,000 Updated portfolio data from servicer 1/6/2011 $ (4) $ 6/29/2011 $ (5) $ 6/28/2012 $ (23) $ 9/27/2012 $ (63) $ 12/27/2012 $ (11) $ 3/25/2013 $ (41) $ 6/27/2013 $ (16) $ 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 4/13/2011 $ 200,000 $ 200,000 Transfer of cap due to servicing transfer 5/13/2011 $ 100,000 $ 300,000 Transfer of cap due to servicing transfer 6/16/2011 $ 300,000 $ 6/29/2011 $ (9) $ 600,000 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 599,991 reallocation 8/16/2011 $ 200,000 $ 6/28/2012 $ (7) $ 9/27/2012 $ (19) $ 12/27/2012 $ (3) $ 3/25/2013 $ (12) $ 6/27/2013 $ (5) $ 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 7/16/2013 $ 150,000 $ 949,945 Transfer of cap due to servicing transfer 4/13/2011 $ 100,000 $ 100,000 Transfer of cap due to servicing transfer 6/14/2013 $ 120,000 $ 6/27/2013 $ (1) $ 220,000 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 219,999 reallocation 7/16/2013 $ 10,000 $ 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 110 Servicer Modifying Borrowers' Loans Date Adjustment Details Name of Institution City State Transaction Type Pricing Mechanism Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Investment Description Note 1001970 1001970 1001970 1001970 1001970 1001970 1001970 4/13/2011 Hawthorne Western Federal Credit Union CA Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 1001231 1001231 1001231 5/13/2011 Anaheim Hills FCI Lender Services, Inc. CA Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 1002025 1002025 1002025 1002025 1002025 1002025 1002025 1002025 1002025 1002025 1002025 1002025 1002025 1002025 1002025 1002025 1002025 1002025 1002025 1002025 1002025 1002025 1002025 1002025 7/14/2011 Beaverton Gregory Funding, LLC OR Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 1002041 1002041 1002041 1002041 1002041 1002041 1002041 1002041 1002041 1002041 1002041 1002041 1002041 1002041 9/15/2011 Bangor Savings Bank 9/15/2011 PHH Mortgage Corporation Bangor ME Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 Mt. Laurel NJ Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 10107 10107 10107 10107 10107 10107 10107 12/15/2011 Irvine Rushmore Loan Management Services LLC 1002097 1002097 1002097 1002097 1002097 CA Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 Adjustment Date Cap Adjustment Amount Adjusted Cap 6/29/2011 $ 233,268 $ 11/16/2011 $ 100,000 $ 6/28/2012 $ (3) $ Reason for Adjustment Updated due to quarterly assessment and 1,233,268 reallocation 1,333,268 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,333,265 reallocation Updated due to quarterly assessment and 1,333,255 reallocation Updated due to quarterly assessment and 1,333,253 reallocation Updated due to quarterly assessment and 1,333,246 reallocation Updated due to quarterly assessment and 1,333,243 reallocation 9/27/2012 $ (10) $ 12/27/2012 $ (2) $ 3/25/2013 $ (7) $ 6/27/2013 $ (3) $ 4/13/2011 $ 200,000 $ 6/29/2011 $ 17,687 $ 9/27/2012 $ (1) $ 3/25/2013 $ (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 7/16/2013 $ 20,000 $ 6,649,512 Transfer of cap due to servicing transfer 7/14/2011 $ 200,000 $ 200,000 Transfer of cap due to servicing transfer 11/16/2011 $ 900,000 $ 1,100,000 Transfer of cap due to servicing transfer 1/13/2012 $ 100,000 $ 6/28/2012 $ (9) $ 1,200,000 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,199,991 reallocation 8/16/2012 $ 20,000 $ 9/27/2012 $ (26) $ 1,219,991 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,219,965 reallocation 10/16/2012 $ 50,000 $ 1,269,965 Transfer of cap due to servicing transfer 12/14/2012 $ 10,000 $ 12/27/2012 $ (5) $ 1,279,965 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,279,960 reallocation 1/16/2013 $ 130,000 $ 1,409,960 Transfer of cap due to servicing transfer 2/14/2013 $ 120,000 $ 3/25/2013 $ (20) $ 1,529,960 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 1,529,940 reallocation 5/16/2013 $ 80,000 $ 1,609,940 Transfer of cap due to servicing transfer 6/14/2013 $ 420,000 $ 6/27/2013 $ (10) $ 2,029,940 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 2,029,930 reallocation 9/15/2011 $ 100,000 $ 100,000 Transfer of cap due to servicing transfer 9/15/2011 $ 1,300,000 $ 6/28/2012 $ 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 (15) $ 9/27/2012 $ (42) $ 10/16/2012 $ 140,000 $ 12/27/2012 $ (8) $ 3/25/2013 $ (30) $ 6/27/2013 $ (11) $ 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 7/16/2013 $ 5,850,000 $ 7,289,894 Transfer of cap due to servicing transfer 12/15/2011 $ 200,000 $ 200,000 Transfer of cap due to servicing transfer 4/16/2012 $ 600,000 $ 6/28/2012 $ (3) $ 800,000 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 799,997 reallocation 8/16/2012 $ 110,000 $ 9/27/2012 $ (13) $ 10/16/2012 $ 1,270,000 $ 909,997 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 909,984 reallocation 2,179,984 Transfer of cap due to servicing transfer 111 Servicer Modifying Borrowers' Loans Adjustment Details Name of Institution Date City State Transaction Type Pricing Mechanism Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Investment Description Note 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 1001111 1001111 1001111 1001111 1001111 1001111 1001111 1001111 1001111 1001111 1001111 11/15/2012 Orange Kondaur Capital Corporation CA Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 1002292 1002292 1002292 1002292 1002292 1002292 1002292 12/14/2012 2/14/2013 Quicken Loans Inc Detroit MI Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 Home Servicing, LLC Baton Rouge LA Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 1002324 Adjustment Date Cap Adjustment Amount 11/15/2012 $ 12/27/2012 1/16/2013 Adjusted Cap Reason for Adjustment 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 2/14/2013 $ 600,000 $ 3,999,979 Transfer of cap due to servicing transfer 3/14/2013 $ 1,980,000 $ 3/25/2013 $ (77) $ 5,979,979 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 5,979,902 reallocation 4/16/2013 $ 340,000 $ 5/16/2013 $ 1,520,000 $ 7,839,902 Transfer of cap due to servicing transfer 6/14/2013 $ 2,740,000 $ 6/27/2013 $ (53) $ 10,579,902 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 10,579,849 reallocation 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 $ 6,319,902 Transfer of cap due to servicing transfer 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 18,624,923 Transfer of cap due to servicing transfer 7/16/2013 $ 5,780,000 $ 11/15/2012 $ 30,000 $ 30,000 Transfer of cap due to servicing transfer 12/14/2012 $ 70,000 $ 100,000 Transfer of cap due to servicing transfer 1/16/2013 $ (10,000) $ 90,000 Transfer of cap due to servicing transfer 2/14/2013 $ (10,000) $ 80,000 Transfer of cap due to servicing transfer 4/16/2013 $ (10,000) $ 70,000 Transfer of cap due to servicing transfer 5/16/2013 $ 130,000 $ 200,000 Transfer of cap due to servicing transfer 6/14/2013 $ (50,000) $ 150,000 Transfer of cap due to servicing transfer 7/16/2013 $ (20,000) $ 130,000 Transfer of cap due to servicing transfer 12/14/2012 $ 10,000 $ 10,000 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 112 Servicer Modifying Borrowers' Loans Adjustment Details Name of Institution Date City State Transaction Type Pricing Mechanism Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1 Investment Description Note 1002324 1002324 1002324 1002324 3/14/2013 21st Mortgage Corporation Knoxville TN Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 Plano TX Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 Cincinnati OH Purchase Financial Instrument for Home Loan Modifications $ - N/A 9 1002367 5/16/2013 ViewPoint Bank 6/14/2013 Cheviot Savings Bank 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 Total Initial Cap $ 23,831,570,000 Adjustment Date Cap Adjustment Amount Adjusted Cap Reason for Adjustment 4/16/2013 $ 200,000 $ 709,991 Transfer of cap due to servicing transfer 5/16/2013 $ 40,000 $ 6/27/2013 $ (4) $ 749,991 Transfer of cap due to servicing transfer Updated due to quarterly assessment and 749,987 reallocation 7/16/2013 $ (120,000) $ 629,987 Transfer of cap due to servicing transfer 3/14/2013 $ 130,000 $ 3/25/2013 $ (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 $ 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 $ 6,035,239,941 $ 29,866,809,941.31 Total Cap Adjustments TOTAL CAP 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 113 Supplemental Information [Not Required by EESA §114(a)] Making Home Affordable Program Non-GSE Incentive Payments (through July 2013) Name of Institution 21st Mortgage Corporation Allstate Mortgage Loans & Investments, Inc. 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 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 Borrowers $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 479.17 5,035.81 22,385.57 24,689.43 15,997,418.00 4,267,061.97 263,163,717.19 6,907,056.45 6,748,417.78 8,271,769.85 1,774,126.71 91,304.44 59,024,250.62 19,062.89 3,000.00 50,221.24 6,028.28 7,569,459.20 663,399.72 24,908.09 819,046.10 2,775.62 2,000.00 332,387.69 1,750.00 Lenders / Investors $ $ $ 9,509.25 9,262.69 97,327.83 $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 41,236,849.69 17,852,011.77 523,098,842.98 18,912,892.61 12,239,303.76 22,616,433.73 4,350,400.64 159,126.66 62.33 195,897,397.71 50,978.26 4,631.53 128,222.86 27,202.73 11,592,937.05 1,267,458.95 41,836.24 1,734,916.33 3,423.27 $ $ 630,539.99 3,864.59 Servicer $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 11,500.00 8,035.81 71,827.28 27,843.67 28,629,251.10 9,159,438.92 330,873,282.62 10,749,745.43 10,238,415.24 16,020,950.34 3,206,715.60 196,190.20 100,286,608.41 38,729.55 5,000.00 92,769.62 11,328.28 16,279,383.05 651,812.71 28,612.38 2,400.00 1,355,761.78 8,717.90 2,000.00 734,023.67 4,000.00 $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ Total Payments to Date 21,488.42 22,334.31 191,540.68 52,533.10 85,863,518.79 31,278,512.66 1,117,135,842.79 36,569,694.49 29,226,136.78 46,909,153.92 9,331,242.95 446,621.30 62.33 355,208,256.74 108,770.70 12,631.53 271,213.72 44,559.29 35,441,779.30 2,582,671.38 95,356.71 2,400.00 3,909,724.21 14,916.79 4,000.00 1,696,951.35 9,614.59 114 Name of Institution Fresno County Federal Credit Union Glass City Federal Credit Union GMAC Mortgage, LLC Great Lakes Credit Union Greater Nevada Mortgage Services Green Tree Servicing LLC Gregory Funding, LLC Guaranty Bank Hillsdale County National Bank Home Loan Services, Inc. Home Servicing, LLC HomEqServicing HomeStar Bank and Financial Services Homeward Residential, Inc. Horicon Bank Iberiabank IBM Southeast Employees' Federal Credit Union IC Federal Credit Union Idaho Housing and Finance Association James B.Nutter and Company JPMorgan Chase Bank, NA Kondaur Capital Corporation Lake City Bank Lake National Bank Litton Loan Servicing, LP Los Alamos National Bank M&T Bank Marix Servicing LLC Marsh Associates, Inc. Midland Mortgage Co. Midwest Community Bank Mission Federal Credit Union Borrowers $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 3,833.34 4,000.00 53,372,889.88 8,833.34 55,088.07 2,325,015.79 60,409.50 916.67 27,419.74 169,857.80 6,533.72 1,916.66 51,757,481.72 6,265.13 9,000.00 17,333.34 20,410.96 7,254.14 247,701,013.68 6,243.60 3,000.00 13,441,220.42 16,220.83 38,897.04 352,195.77 8,484.43 3,966,634.01 1,000.00 58,176.40 Lenders / Investors $ $ $ $ $ $ $ 13,204.31 2,473.84 130,902,292.72 15,423.02 131,874.77 9,686,295.86 140,058.34 $ $ $ $ $ $ $ $ $ $ $ 35,137.38 2,440,767.73 12,055.98 3,036,319.34 5,572.90 133,690,009.74 15,890.10 10,502.00 23,589.08 34,532.80 21,451.68 $ $ $ $ $ $ 567,396,538.07 6,180.12 3,651.45 35,353,125.99 30,000.92 $ 970,196.74 $ $ $ 852,838.26 1,817.60 151,959.62 Servicer $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 7,916.67 6,000.00 86,484,137.91 12,100.00 92,309.33 5,051,866.94 66,791.38 1,000.00 51,400.46 3,698,606.99 6,783.72 5,272,500.00 5,833.34 94,835,607.23 11,169.53 15,000.00 16,000.00 30,600.00 27,538.88 7,698.25 344,786,315.67 400.00 17,234.56 4,000.00 27,530,413.93 33,351.00 42,460.74 839,632.77 9,378.00 4,832,817.04 2,000.00 102,026.39 Total Payments to Date $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 24,954.32 12,473.84 270,759,320.51 36,356.36 279,272.17 17,063,178.59 267,259.22 1,916.67 113,957.58 6,309,232.52 25,373.42 8,308,819.34 13,322.90 280,283,098.69 33,324.76 25,502.00 48,589.08 82,466.14 69,401.52 14,952.39 1,159,883,867.42 400.00 29,658.28 10,651.45 76,324,760.34 79,572.75 81,357.78 2,162,025.28 17,862.43 9,652,289.31 4,817.60 312,162.41 115 Name of Institution 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 PNC Bank, National Association Purdue Employees Federal Credit Union Quantum Servicing Corporation Residential Credit Solutions, Inc. Resurgent Capital Services L.P. RG Mortgage RoundPoint Mortgage Servicing Corporation Rushmore Loan Management Services LLC Saxon Mortgage Services Inc Schools Financial Credit Union Scotiabank de Puerto Rico Select Portfolio Servicing, Inc. Selene Finance LP Servis One, Inc., dba BSI Financial Services, Inc. ShoreBank Silver State Schools Credit Union Specialized Loan Servicing LLC Statebridge Company, LLC Sterling Savings Bank Borrowers $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 345,841.21 127,269.38 2,637,155.00 31,914,112.29 478,605.95 12,344.17 103,268,718.65 53,863,300.40 10,402.40 11,000.00 4,450.56 5,304,002.31 106,666.81 1,000.00 133,393.34 1,362,095.64 79,265.42 164,852.94 185,604.70 126,010.95 19,655,074.77 18,833.36 367,285.00 61,094,493.09 61,188.33 628,054.41 49,915.10 40,355.90 3,654,150.10 16,202.42 148,332.32 Lenders / Investors $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 2,305,003.00 224,281.95 7,981,858.50 63,902,102.05 1,118,725.75 31,779.17 3,568.11 303,284,759.53 171,661,229.23 23,328.07 23,936.55 6,422.31 11,215,293.92 663,169.71 1,325.40 331,713.72 3,683,605.94 200,912.35 227,582.28 457,175.02 456,750.66 41,738,413.24 51,858.39 563,105.05 121,406,348.59 166,940.13 983,919.58 153,906.17 176,298.89 6,718,236.05 48,001.67 315,743.27 Servicer $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 1,977,320.74 255,068.64 4,844,812.31 45,423,634.98 925,596.88 21,003.56 6,500.00 168,230,997.54 77,668,575.12 31,902.40 19,000.00 9,133.90 6,325,492.87 398,750.00 2,000.00 179,984.09 2,290,723.61 105,048.75 401,333.81 367,215.87 154,116.56 39,413,598.23 33,500.00 418,008.60 89,947,909.25 83,883.51 772,713.93 143,165.10 69,189.24 5,697,090.52 16,642.90 267,357.12 Total Payments to Date $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 4,628,164.95 606,619.97 15,463,825.81 141,239,849.32 2,522,928.58 65,126.90 10,068.11 574,784,475.72 303,193,104.75 65,632.87 53,936.55 20,006.77 22,844,789.10 1,168,586.52 4,325.40 645,091.15 7,336,425.19 385,226.52 793,769.03 1,009,995.59 736,878.17 100,807,086.24 104,191.75 1,348,398.65 272,448,750.93 312,011.97 2,384,687.92 346,986.37 285,844.03 16,069,476.67 80,846.99 731,432.71 116 Name of Institution 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 Vericrest Financial, Inc. 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 $ $ $ $ $ $ $ $ $ 42,000.00 8,136.68 261,793.25 10,461,607.46 2,000.00 34,449.39 128,611.50 238,807.48 687,421.77 $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 189,665,007.95 187,855.79 14,416.67 22,828.50 $ 1,236,864,211.16 $ 158,857.92 11,920.97 821,255.19 26,238,645.30 1,870.30 66,919.67 263,173.58 486,578.76 1,930,771.54 296.84 76,889.58 448,096,006.14 621,155.71 40,646.15 490,394.10 26,010.84 Servicer $ $ $ $ $ $ $ $ $ 67,216.67 8,435.80 495,870.15 19,519,503.18 5,600.00 57,835.23 133,918.87 388,789.22 1,620,090.84 $ $ $ $ $ $ 162,000.00 287,561,585.45 312,225.08 17,916.67 1,167,000.00 42,428.50 2,956,407,880.65 $ 1,860,656,919.98 Total Payments to Date $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 268,074.59 28,493.45 1,578,918.59 56,219,755.94 9,470.30 159,204.29 525,703.95 1,114,175.46 4,238,284.15 296.84 238,889.58 925,322,599.54 1,121,236.58 72,979.49 1,657,394.10 91,267.84 6,053,929,011.79 117 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 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 City Reno Sacramento Tallahassee Phoenix Lansing Raleigh Columbus Salem Providence Columbia Montgomery Frankfort Jackson Atlanta Indianapolis Chicago Trenton Washington Nashville 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 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 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 July 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 July 31, 2013 Type of Expense Amount Compensation for financial agents and legal firms $920,134,723 121 U.S. Treasury Department Office of Financial Stability Troubled Asset Relief Program Description of Vehicles Established [Section 105(a)(3)(H)] For Period Ending July 31, 2013 Date Vehicle Description None 122 HAMP Application Activity by Servicer As of June 2013 Servicer Name 6 Bank of America, NA BankUnited Bayview Loan Servicing, LLC Carrington Mortgage Services, LLC CCO Mortgage, a division of RBS Citizens NA CitiMortgage Inc Green Tree Servicing LLC JPMorgan Chase Bank, NA Midland Mortgage Co. Nationstar Mortgage LLC Navy Federal Credit Union 7 Ocwen Loan Servicing, LLC OneWest Bank ORNL Federal Credit Union PennyMac Loan Services, LLC PNC Bank, National Association PNC Mortgage8 Residential Credit Solutions, Inc. Select Portfolio Servicing, Inc. Specialized Loan Servicing LLC U.S. Bank National Association Wells Fargo Bank, NA Other Servicers9 TOTAL # Requests Received 2 11,621 49 204 1,968 433 818 1,433 13,638 2,128 14,502 250 26,008 4,683 6 511 4 391 289 3,025 2,964 1,852 8,272 95,049 Activity in June 2013 # Requests # Requests Processed 3 Approved 4 13,023 1,722 33 23 142 57 1,731 645 406 24 1,226 1,016 973 612 10,461 1,693 2,005 331 4,099 507 223 51 22,556 4,585 5,424 563 8 1 701 254 17 2 376 58 335 52 2,797 993 1,362 333 1,117 126 9,146 2,731 78,161 16,379 1 # Requests Denied 5 11,301 10 85 1,086 382 210 361 8,768 1,674 3,592 172 17,971 4,861 7 447 15 318 283 1,804 1,029 991 6,415 61,782 # Requests Received 2 1,304,307 9,323 28,388 61,303 23,977 523,215 77,118 1,478,464 90,390 357,363 8,978 1,192,894 372,845 451 14,332 586 34,378 14,622 119,665 40,037 106,902 775,031 170,842 6,805,411 Program-to-Date # Requests # Requests Processed 3 Approved 4 1,289,260 577,824 9,155 4,485 26,006 9,606 59,612 20,582 23,303 5,583 510,638 219,559 73,713 28,113 1,463,592 430,475 88,828 7,031 310,759 68,382 8,527 1,654 1,173,189 282,646 359,982 100,572 451 46 13,456 3,877 539 24 34,357 26,946 14,201 1,737 114,866 82,869 36,402 5,192 101,822 42,277 759,780 267,808 170,842 106,111 6,643,280 2,293,399 # Requests Denied 5 711,436 4,670 16,400 39,030 17,720 291,079 45,600 1,033,117 81,797 242,377 6,873 890,543 259,410 405 9,579 515 7,411 12,464 31,997 31,210 59,545 491,972 64,731 4,349,881 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 Ocwen Loan Servicing, LLC includes GMAC Mortgage, LLC. 8 Formerly National City Bank. 9 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).