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Troubled Asset Relief Program (TARP)
Monthly Report to Congress – June 2013

July 10, 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

June 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

Community Development Capital Initiative

14

Credit Market Programs………………………………………………………………………………………………………………………...
Public-Private Investment Program

15
15

Auto Industry Financing Program…………………………………………………………………………………………………………...

16

Housing Programs………………………………………………………………………………………………………………………………..

17

Appendix – Financial Statements….…………………………………………………………………………………………………………..

21

More information is available at http://www.treasury.gov/initiatives/financial-stability.

June Highlights

Monthly 105(a) Report

June 2013

The Troubled Asset Relief Program (TARP) was established pursuant to the Emergency Economic Stabilization Act of 2008 (EESA). More
than four 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 $400.5 billion – or 95 percent – of the $420.3
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 $418.1 billion (including the proceeds from sales of all Treasury AIG
shares) 1. $271 billion has been recovered from TARP’s bank programs through repayments, dividends, interest, and other income, which
represents a nearly $26 billion positive return compared to the $245 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.

June Highlights
On June 3, 2013 Treasury recovered its last remaining equity investment in the Legacy Securities Public-Private Investment Program
(PPIP). The Oaktree Public-Private Investment Fund -- the last fund with a remaining Treasury investment under PPIP-- repaid the final
$31.8 million in outstanding equity owed to Treasury plus an additional $48.5 million gain on the investment, for a total of $80.4 million.
Treasury has fully recovered its original investment of $18.6 billion in PPIP, plus a net positive return of nearly $3.8 billion through interest,
and proceeds in excess of original equity capital, including warrant proceeds. Remaining payments will provide the taxpayers with an
additional positive return on their investment.
On June 6, 2013, Treasury sold 30 million additional shares of GM common stock at $34.41 per share, for aggregate proceeds of
approximately $1.03 billion. The most recent underwritten public offering was conducted in conjunction with GM’s inclusion in the S&P 500
index. The UAW Retiree Medical Benefits Trust also participated in the proposed offering by selling 20 million shares. In addition, Treasury
continued selling shares of GM common stock under its second pre-arranged written trading plan initiated in May 2013.
In June, 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 institutions repurchased all of their outstanding Capital Purchase
Program (CPP) preferred shares or subordinated debentures from Treasury’s investments in those institutions for total proceeds of $4.7
million, and Treasury held auctions for its outstanding preferred stock and subordinated debt in six financial institutions under the CPP, for
aggregate gross proceeds of approximately $56 million.
Also in June, Treasury launched an enhanced TARP Tracker on its website that will make it easier for the public to see how TARP funds
have been disbursed, who has received them and on what terms, and how much has been recovered to date. The new TARP Tracker
enables users to view the flow of funds for a specific period or over the lifetime of a TARP program, and is updated daily. . It also allows
users to view each investment area separately to get the details of what has occurred in a particular program, and includes a scroll of
1

For more information, see note 9 to the Daily Tarp Update (Figure 1).

1

Where are the TARP Funds?

Monthly 105(a) Report

June 2013

events so they can understand how events, such as legislative actions, have impacted the program. The new TARP Tracker can be
accessed at: http://www.treasury.gov/initiatives/financial-stability/reports/Pages/TARP-Tracker.aspx

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.
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.
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

Numbers in text and tables in this report may not add due to rounding.

2

Daily TARP Update

Monthly 105(a) Report

June 2013

Figure 1: Daily TARP Update for July 1, 2013 (through June 30, 2013)
Principal/Investment

(*Dollars in Billions*)

Obligated

Disbursed

Refinancing to
SBLF1

Repayments

Income/Revenue

CPP Exchanges Into
CDCI2

Write-offs &
Realized Losses

Outstanding

Dividends

3

3

Other Income
(Expenses)5

4

Interest

Warrants Sold

6

Total Income

Total Cash Back

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

$

165.33

$

$

160.31

$

-

$

-

$

2.58

$

2.43

$

9.43

$

-

$

7.48

$

0.02 $

16.92

$

177.24

Banks with Assets Less Than $10 Billion

$

14.57

$

14.57 $

10.36

$

2.21

$

0.36

$

0.85

$

3.00

$

1.64

$

-

$

0.31

$

(0.02) $

1.93

$

12.29

Citigroup Common7

$

25.00

$

25.00 $

25.00

$

-

$

-

$

-

$

0.93

$

-

$

0.05

$

6.85

$

7.84

$

32.84

Bank Of America

$

20.00

$

20.00 $

20.00

$

-

$

-

$

1.44

$

-

$

1.24

$

-

$

2.67

$

22.67

Citigroup

$

20.00

$

20.00 $

20.00

$

-

$

-

$

1.57

$

-

$

0.19

$

-

$

1.76

$

21.76

165.33

Targeted Investment Program (TIP)

Asset Guarantee Program (AGP)
Bank Of America

$

-

$

-

$

-

$

-

$

-

$

-

$

-

$

-

$

0.28

$

0.28

$

0.28

Citigroup

$

5.00

$

-

$

-

$

-

$

-

$

0.64

$

-

$

0.07

$

3.14

$

3.85

$

3.85

$

0.57

$

0.21

$

0.06

$

0.01

$

0.51

$

0.03

$

-

$

-

$

-

$

0.03

$

0.09

$

250.46

$

245.10

$

235.73

$

3.44 $

5.93

$

15.68

$

-

$

9.34

$

10.27

$

35.28

$

271.01

6.25

$

6.25

$

-

$

-

$

0.89

$

-

$

-

$

2.56

$

3.44

$

9.69

12.38 $

12.38

$

-

$

-

$

-

$

0.32

$

-

$

-

$

0.32

$

12.70

Community Development Capital Initiative (CDCI)
Bank Program Totals

(0.36) $
-

$

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

$

-

$

0.42

$

0.43

$

0.53

Purchase SBA 7(a) Securities (SBA)

$

0.37

$

0.37

$

0.36

$

0.00

$

-

$

-

$

0.01

$

-

$

0.00

$

0.01

$

0.38

$

20.08

$

19.09

$

19.09

$

0.00

$

-

$

0.89 $

0.35

$

-

$

2.97 $

4.21

$

23.29

Common

$

47.54

$

47.54 $

34.06

$

13.48

$

-

$

-

$

-

$

0.03

$

-

$

0.03

$

34.08

Preferred

$

20.29

$

20.29 $

20.29

$

-

$

-

$

0.64

$

-

$

-

$

0.29

$

0.93

$

21.23

$

67.84

$

67.84

$

54.35

$

13.48

$

-

$

0.64

$

-

$

0.29 $

0.96

$

55.31

32.95

$

9.19

$

8.89

$

-

$

0.77

$

-

$

9.44

$

2.93

$

-

$

-

$

1.19

$

-

$

$

Credit Market Program Totals

Other Programs
American International Group (AIG)9

AIG Totals

0.03 $

Automotive Industry Financing Program (AIFP)
GM10

$

51.03

$

51.03 $

Chrysler

$

12.37

$

12.37

$

Ally (GMAC)

$

16.29

$

16.29

$

2.54

$

13.75

$

3.41

-

$

-

$

79.69

$

79.69

$

44.93

$

12.12

$

22.64

$

3.41 $

1.95

$

-

$

147.53

$

147.53

$

99.28

$

25.61

$

22.64

$

4.05 $

1.95 $

0.03 $

$

354.10

$

29.05

$

28.58

$

20.61 $

2.30 $

9.36

AIFP Totals
Other Programs Totals

0.00 $

(0.00) $

0.76

$

33.71

1.69

$

11.13

$

3.53

$

6.07

0.62 $

5.98

$

50.91

6.94

$

106.22

0.50

$

$

0.13

$

0.92 $

Treasury Housing Programs Under TARP
Making Homes Affordable

$

29.87

$

5.84

HFA Hardest-Hit Fund

$

7.60

$

2.68

FHA Refinance11

$

1.03

$

0.06

Housing Totals

$

38.49

$

8.58

TARP Totals

$

456.56

$

420.30

$

-

$

14.15

$

46.43

$

400.53

$

17.55 $

17.55

$

17.55

$

31.71

63.98

$

418.08

Additional Treasury Holdings
Additional AIG Common Shares Held by Treasury

9

Total for TARP Programs and Additional AIG Shares

$

456.56

$

420.30

$

354.10

$

-

$

29.05

$

28.58

$

20.61 $

2.30 $

9.36

$

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
$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.

3

Daily TARP Update

Monthly 105(a) Report

June 2013

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

June 2013

Figure 2: Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal Budget
Programs
as of June 30, 2013

Estimated
Lifetime Cost as
of

Outstanding
Investment
Balance as of
June 30

Obligation/
Commitment

Disbursed as of
June 30

Citigroup

$

25.00

$

25.00

$

-

$

(6.89)

Other banks with assets $10 billion or greater

$

165.33

$

165.33

$

2.43

$

(10.18)

(dollar amounts in billions)
Bank Support Programs:

1

May 31

Capital Purchase Program (CPP):

2

$

14.57

$

14.57

$

3.00

$

1.18

Total

$

204.89

$

204.89

$

5.43

$

(15.88)

Targeted Investment Program (TIP)

$

40.00

$

40.00

$

-

$

(4.00)

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

$

5.00

$

0.00

$

-

$

(4.00)

$

0.57

$

0.57

$

0.51

$

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)

Common Stock

$
$

20.29
47.54

$
$

20.29
47.54

$
$

-

$
$

15.18

Total

$

67.84

$

67.84

$

-

$

15.18

Automotive Industry Financing Program (AIFP)

$

79.69

$

79.69

$

22.64

$

17.91

Sub-total for Investment Programs

$

418.07

$

411.72

$

28.58

$

6.02

Making Homes Affordable

$

29.87

$

5.84

n/a

$

29.87

Hardest Hit Fund
FHA-Refinance4

$
$

7.60
1.03

$
$

2.68
0.06

n/a
n/a

$
$

7.60
0.21

Sub-total for Housing Programs

$

38.49

$

8.58

n/a

$

37.67

$

456.56

$

420.30

28.58

$

43.70

n/a

$

(17.55)

28.58

$

26.14

Banks with assets less than $10 billion

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

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

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

$

420.30

$

5

Treasury Estimates of Impact on the Federal Budget

Monthly 105(a) Report

June 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 June 30, 2013, including the net proceeds from shares
sold in June, 2013.
05/31/2013
Market Value

Outstanding Investment

06/30/2013 Market
Value

Increase (Decrease)
in Cost

In billions
GM Common Stock

$

7.43

$

7.34

$

0.09

Note: The share price for GM was $33.89 for the period ending May 31, 2013 and $33.31 for the period ending June 30, 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

June 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 nearly $26 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 June 30, 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:
214
SBLF Repayments:
137
CDCI Conversions:
28
Partial Repayments:
9
Sold Investments:
23
Auctioned Investments:
134
In Bankruptcy/Receivership:
25
Merged Institutions:
4
1
Currently in Common
3
Total Remaining Institutions:

142

CPP Proceeds to Treasury (in billions)
$200

$193.56

$150
$100
$50
$2.45

$18.87

$7.87

$Repayments²

Auctions³

Total Dividends,
Interest & Other
Income

Total CPP Proceeds:

Warrant
Income⁴

$222.75 billion

7

Program Updates – Bank Support Programs

Monthly 105(a) Report

June 2013

Notes to Capital Purchase Program Snapshot as of June 30, 2013:
1/ Institutions where Treasury has converted its original investment at a discount, into shares of common stock in the institution.
2/ Actual collections to date. Includes $2.21 billion in SBLF transfers and $0.36 billion in CDCI transfers.
3/ Includes proceeds from all auctions of CPP preferred, warrant preferred, note, and warrant note securities where cash has settled with
OFS as of June 30, 2013.
4/ Net proceeds; includes proceeds from exercised warrants.
Repayments at Par
In June, two institutions (Patterson Bancshares, Inc. and IBT Bancorp, Inc.) repurchased all of their outstanding CPP preferred shares or
subordinated debentures from Treasury’s investments in those institutions for total proceeds of $4.7 million.
Sales & Dispositions
•

On June 14, Treasury sold to private investors its preferred stock and subordinated debentures in six institutions (Farmers & Merchants
Financial Corporation; First Western Financial, Inc.; Intervest Bancshares Corporation; Pathway Bancorp; Security State Bank Holding
Company; and Worthington Financial Holdings, Inc.) for actual aggregate gross proceeds of $56 million. More information can be found
in Treasury’s Press Release: http://www.treasury.gov/press-center/press-releases/Pages/jl1984.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 June 28, Treasury completed the sale to MBG Investors I, L.P. of all preferred stock (including the preferred stock received upon
the exercise of warrants) issued by Metropolitan Bank Group, Inc. to Treasury for an aggregate purchase price of $26.0 million,
pursuant to the terms of the agreement among Treasury, MBG Investors I, L.P. and Metropolitan Bank Group, Inc. entered into on June
26.

Warrant Repurchases
In addition to the transactions above, Treasury disposed of its warrant positions in 20 institutions in June that were received in
consideration for investments made under the CPP. These proceeds provided an additional return of $14.4 million to taxpayers from
Treasury’s investments in banks beyond any dividend or interest payment.
•

On June 6, Treasury completed an auction to sell, in private transactions involving qualified institutional buyers, its warrant position in
16 institutions for net proceeds of $13.4 million. More in information can be found in Treasury’s Press Release:
http://www.treasury.gov/press-center/press-releases/Pages/jl1972.aspx.
8

Program Updates – Bank Support Programs

Monthly 105(a) Report

June 2013

•

Treasury completed the sale of warrants issued by Coastal Banking Company, Inc. and Hawthorn Bancshares, Inc. for a total of $0.8
million.

•

Patterson Bancshares, Inc. and IBT Bancorp, Inc. repurchased their preferred shares from exercised warrants from Treasury for a total
of $0.3 million.

Dividends and Interest
In June, Treasury received dividends and interest income from CPP investments of $5.0 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 June 30, 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

Synovus Financial Corp.
Popular, Inc.
First BanCorpa

Columbus, GA
San Juan, PR
San Juan, PR
Clayton, MO
New York, NY
Los Angeles, CA
Madison, WI
Norfolk, VA
Ionia, MI
Charlotte, NC
Miami, FL
Cary, NC
Frontenac, MO

First Banks, Inc.
New York Private Bank & Trust Corp.
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.

Outstanding
Investment
($millions)
$
$
$
$
$
$
$
$
$
$
$
$
$

967.9
935.0
400.0
295.4
267.3
129.0
110.0
80.3
72.0
51.5
50.2
42.8
40.0

14
15
16
17
18
19
20
21
22
23
24
25

Institution

City, State

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.
Rogers Bancshares, Inc.
Eastern Virginia Bankshares, Inc.
Severn Bancorp, Inc.
Central Bancorp, Inc.
Total

Bridgeview, IL
Louisville, KY
St. Louis, MO
Narberth, PA
Oakland, MD
Bristow, OK
Sandpoint, ID
Houston, TX
Little Rock, AR
Tappahannock, VA
Annapolis, MD
Garland, TX

9

Outstanding
Investment
($millions)
$
38.0
$
35.0
$
32.7
$
30.4
$
30.0
$
30.0
$
27.0
$
26.0
$
25.0
$
24.0
$
23.4
$
22.5
$3.79 billion

Program Updates – Bank Support Programs

Monthly 105(a) Report

June 2013

Notes to Top 25 Remaining Capital Purchase Program Investments as of June 30, 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. On June 28, 2013, FNB United announced that, effective July 1,
2013; its name will change to CommunityOne Bancorp.
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

June 2013

Eastern Region CPP Institutions as of June 30, 2013
State by State Breakdown
State

Number of
Number of
Investment
Institutions
Institutions
Outstanding
with Missed
Outstanding
(millions)
Payments

Puerto Rico

2

0

$

1,335.00

Georgia

9

6

$

1,028.20

New York

2

1

$

274.77

Virginia

8

4

$

169.76

North Carolina

7

4

$

135.88

Florida

7

7

$

101.29

Maryland

7

7

$

85.44

South Carolina

5

5

$

48.60

Pennsylvania

2

1

$

42.94

New Jersey

3

2

$

25.74

Massachusetts

2

1

$

17.06

Rhode Island

1

0

$

1.07

Connecticut

-

-

$

-

Deleware

-

-

$

-

Maine

-

-

$

-

New Hampshire

-

-

$

-

Vermont

-

-

$

-

West Virginia

-

-

$

-

Top 10 Largest Institutions Outstanding Details

Synovus Financial Corp.

Columbus

GA

Public

Number of
Missed
Payments
-

Popular, Inc.

San Juan

PR

Public

-

First BanCorp*

San Juan

PR

Public

-

$

-

$ 400,000,000

New York Private Bank & Trust Corporation New York

NY

Private

-

$

-

$ 267,274,000

Institution

City

State

Public/
Private

Non-Current
Dividends

Total Amount
Outstanding

$

-

$ 967,870,000

$

-

$ 935,000,000

Hampton Roads Bankshares, Inc.*
CommunityOne Bancorp*ⁱ

Norfolk

VA

Public

-

$

-

$

80,347,000

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

*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.
ⁱFormerly named FNB United Corp.

11

Program Updates – Bank Support Programs

Monthly 105(a) Report

June 2013

Central Region CPP Institutions as of June 30, 2013
State by State Breakdown
State

Number of
Number of
Investment
Institutions
Institutions
with Missed Outstanding
Outstanding
Payments

Missouri

6

4

$

372.58

Wisconsin

2

2

$

115.10

Arkansas

6

5

$

92.74

Illinois

7

4

$

88.25

Michigan

2

2

$

78.79

Kentucky

5

3

$

51.94

Minnesota

6

4

$

45.73

Tennessee

2

1

$

21.37

Indiana

2

1

$

16.56

Mississippi

3

0

$

10.12

Alabama

3

2

$

7.72

Iowa

1

1

$

6.35

Louisiana

1

1

$

2.40

Ohio

-

-

$

-

Top 10 Largest Institutions Outstanding Details
Institution

City

State

Public/
Private

Number of
Missed
Payments

Non-Current
Dividends

Total Amount
Outstanding

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
32,668,000

Centrue Financial Corporation

St. Louis

MO

Public

16

$

6,533,600 $

Rogers Bancshares, Inc.

Little Rock

AR

Private

15

$

5,109,375 $

25,000,000

Chambers Bancshares, Inc.

Danville

AR

Private

2

$

831,334 $

19,817,000

Community First, Inc.

Columbia

TN

Private

9

$

2,183,400 $

17,806,000

12

Program Updates – Bank Support Programs

Monthly 105(a) Report

June 2013

Western Region CPP Institutions as of June 30, 2013
State by State Breakdown
State

Number of
Number of
Investment
Institutions
Institutions
Outstanding
with Missed
Outstanding
(millions)
Payments

California
Texas
Idaho
Kansas
Oklahoma
Colorado
North Dakota
Arizona
Oregon
Wyoming
Nevada
New Mexico
Alaska
Hawaii
Montana
Nebraska
South Dakota
Utah
Washington

16

14

$

245.60

7

5

$

81.55

3

2

$

41.90

3

2

$

39.35

1

1

$

30.00

4

3

$

28.53

1

0

$

20.09

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

Cathay General Bancorp

Los Angeles

CA

Public

Number of
Missed
Payments
-

$

-

Spirit BankCorp, Inc.

Bristow

OK

Private

11

$

4,496,250 $

30,000,000

Intermountain Community Bancorp

Sandpoint

ID

Public

-

$

-

27,000,000

Patriot Bancshares, Inc.

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

Heritage Oaks Bancorp

Paso Robles

Public

-

$

-

$

21,000,000

Institution

City

State

CA

Public/
Private

Non-Current
Dividends

Total Amount
Outstanding
$ 129,000,000
$

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

13

Program Updates – Bank Support Programs

Monthly 105(a) Report

June 2013

Community Development Capital Initiative
In order to provide lower-cost capital to community development financial institutions, Treasury established the Community Development
Capital Initiative. In total, Treasury invested approximately $570 million in 84 community development financial institutions, which included
approximately $363 million exchanged by 28 financial institutions from the Capital Purchase Program. There are currently 73 institutions
remaining in the program.
•

On June 14, Freedom First Federal Credit Union repurchased all of its outstanding CDCI investment from Treasury for a total of $9.3
million plus accrued and unpaid dividends.

14

Program
Program
Updates
Updates
– Public-Private
– Public-Private
Investment
Investment
Program
Program

Monthly 105(a) Report

June 2013

Credit Market Programs
Public-Private Investment Program
On June 3, 2013 Treasury reached an important milestone when the Oaktree Public-Private Investment Fund -- the last fund with a
remaining Treasury investment under the Legacy Securities Public-Private Investment Program (PPIP) -- repaid the final $31.8 million in
outstanding equity owed to Treasury, plus a $48.5 million gain on the investment, for a total of $80.37 million.
PPIP was designed to help restart the market for non-agency residential mortgage-backed securities (RMBS) and commercial mortgagebacked securities (CMBS), thereby allowing banks and other financial institutions to re-deploy capital and extend new credit to households
and businesses.
As of June 30, 2013, Treasury has fully recovered its original investment of $18.6 billion in PPIP, plus a net positive return of nearly $3.8
billion through interest, and proceeds in excess of original equity capital, including warrant proceeds. Remaining payments will provide the
taxpayers with an additional positive return on their investment.

15

Program Updates – Auto Industry Financing Program

Monthly 105(a) Report

June 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. As part of that announcement, GM agreed to purchase 200 million
shares of GM common stock from Treasury at $27.50 per share – a transaction that closed on December 21, 2012. In January 2013, the
U.S. Department of the Treasury began the process of selling its shares into the market. 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.
On June 6, 2013, Treasury sold 30 million additional shares of General Motors Company (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. The UAW Retiree Medical Benefits Trust (VEBA) also sold 20 million shares in the offering, making the total
offering size 50 million shares. Aggregate proceeds to VEBA from the common stock offering were approximately $688 million. For more
information, see Treasury’s press release here: http://www.treasury.gov/press-center/press-releases/Pages/jl1976.aspx.
Also in June, 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.
In June 2013, Treasury received total net proceeds of approximately $1.98 billion from the sales of GM common stock. 3 To date, Treasury
has recovered approximately $33.35 billion 4 of its investment in GM through repayments, sales of stock, dividends, interest, and other
income.

3

This includes proceeds from the June 6 sale of 30 million shares of common stock described below. 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 only includes what Treasury has recovered from GM. As of June 30, 2013, the total amount that Treasury has recovered, including the investment in GM
and loans for the Supplier and Warranty Programs, is $33.71 billion.

16

Program Updates – Housing Programs

Monthly 105(a) Report

June 2013

Housing Programs
Making Home Affordable Program Performance Report
On July 12, the U.S. Department of the Treasury plans to release the Making Home Affordable Program Performance Report through
May 2013. The report will be available on the following page: http://www.treasury.gov/initiatives/financial-stability/reports/Pages/MakingHome-Affordable-Program-Performance-Report.aspx.
Highlights will include:
•

Since the start of the program, more than 1.6 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). Approximately 16,000 new MHA first lien
modifications have been reported since the April report.

•

To date, homeowners in HAMP permanent modifications have saved an estimated $20.3 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 $10.6
billion in principal reduction. Of all non-GSE loans eligible for principal reduction entering HAMP in May, 69 percent included a principal
reduction feature.

2MP and HAFA Program Results
•

The Second Lien Modification Program (2MP) enables homeowners in a permanent first lien modification under HAMP to modify
eligible second lien mortgages serviced by a participating servicer. To date, nearly 112,000 homeowners in a permanent first lien
modification under HAMP have received assistance through 2MP.

•

Approximately 170,000 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.

17

Program Updates – Housing Programs

Monthly 105(a) Report

June 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, and 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 June,
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.

•

Treasury approved program changes for Arizona, California, Michigan, and Oregon on June 6, 2013. Arizona’s most noteworthy
changes included adding a lease-to-own option to their short sale program and increasing the maximum assistance available across
their programs. California increased the maximum payment assistance available for unemployed homeowners and streamlined
borrower eligibility criteria. Michigan introduced a new Blight Elimination program, providing funding for targeted demolition and
property greening activities to stimulate recovery efforts in blighted neighborhoods. Building on targeted geographic success, Oregon
expanded its mortgage assistance program to include underemployed homeowners and owners of condominiums and townhomes
statewide. These program changes reflect the states’ efforts to remain flexible and adaptive to current housing market trends and
homeowner needs.

•

Two HFAs drew a total of $83.0 million in June; over the life of the program, the 18 states and the District of Columbia have drawn a
total of $2.68 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.

18

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

June 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

19

Program Updates – Housing Programs

Monthly 105(a) Report
Figure 6:

June 2013

Hardest Hit Fund as of June 30, 2013

State (% Cap Disbursed) $0
Alabama (17.2%)
Arizona (34.3%)

$500,000,000
$28,000,000
$91,802,019

California (36.3%)
Washington D.C. (68.3%)

$717,490,000
$14,134,860

Florida (21.9%)
Georgia (22.8%)

$231,250,000
$77,508,000
$210,000,000

Illinois (47.1%)
Indiana (29.9%)

$66,338,828

Kentucky (43%)

$64,000,000

Michigan (22%)
Mississippi (27.8%)

$109,806,018
$28,338,832

North Carolina (46.1%)
New Jersey (44.4%)
Nevada (50.9%)

$222,400,000
$133,513,704
$98,842,000

Ohio (36.5%)
Oregon (70.4%)
Rhode Island (68.7%)
South Carolina (30.5%)
Tennessee (35.6%)

$1,000,000,000

$208,100,000
$155,000,000
$54,500,000
$90,000,000
$77,315,593
Paid to Date (Amount Shown)

20

Table of Contents – Appendix

Monthly 105(a) Report

June 2013
5

Appendix Section

Statutory Requirement

Page

Remaining CPP Institutions……………………………………………………………………………..

Additional Information

22

Administrative Obligations and Expenditures…………………………….…………………………

EESA §105(a)(2)

26

Agreements under TARP………………………………………………………….……………………..

EESA §105(a)(3)(A)

27

Insurance Contracts……………………………………………………………….……………………..

EESA §105(a)(3)(B)

34

Transactions Report…………………………………………………………….………………………..

EESA §105(a)(3)(C,D,G)

35

Investment Programs

35

Home Affordable Modification Program

77

Projected Costs and Liabilities………………………………………………………………………....

EESA §105(a)(3)(E)

115

Programmatic Operating Expenses……………………………………………………………………

EESA §105(a)(3)(F)

116

Description of Vehicles Established…………………………………………………………...……...

EESA §105(a)(3)(H)

117

HAMP Application Activity by Servicer………………………………………………………..……...

Dodd-Frank §1483(b)

118

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).

21

U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Remaining CPP Institutions
Program Start - June 30, 2013

Name
Synovus Financial Corp.
Popular, Inc.
First BanCorp*
First Banks, Inc.
New York Private Bank & Trust Corporation
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.
Rogers Bancshares, Inc.
Eastern Virginia Bankshares, Inc.
Severn Bancorp, Inc.
Central Bancorp, Inc.
Blue Valley Ban Corp
Heritage Oaks Bancorp
Florida Bank Group, Inc.
BNCCORP, Inc.
Chambers Bancshares, Inc.
Community First Inc.
Community Bankers Trust Corporation

Location
Columbus, GA
San Juan, PR
San Juan, PR
Clayton, MO
New York, NY
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
Little Rock, AR
Tappahannock, VA
Annapolis, MD
Garland, TX
Overland Park, KS
Paso Robles, CA
Tampa, FL
Bismarck, ND
Danville, AR
Columbia, TN
Glen Allen, VA

Public/P
rivate
Public
Public
Public
Private
Private
Public
Public
Public
Public
Public
Private
Public
Public
Private
Public
Public
Public
Public
Private
Public
Private
Private
Public
Public
Private
Public
Public
Private
Public
Private
Private
Public

Amount
Outstanding
$
967,870,000
$
935,000,000
$
400,000,000
$
295,400,000
$
267,274,000
$
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
$
25,000,000
$
24,000,000
$
23,393,000
$
22,500,000
$
21,750,000
$
21,000,000
$
20,471,000
$
20,093,000
$
19,817,000
$
17,806,000
$
17,680,000

22

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
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.
Crosstown Holding Company
Unity Bancorp, Inc.
NCAL Bancorp
ColoEast Bankshares, Inc.
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
Commonwealth Business Bank
BNB Financial Services Corporation
Western Community Bancshares, Inc.
Chicago Shore Corporation
Idaho Bancorp
Harbor Bankshares Corporation
Monarch Community Bancorp, Inc.
Highlands Independent Bancshares, Inc.

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
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
Blaine, MN
Clinton, NJ
Los Angeles, CA
Lamar, CO
Greer, SC
Davie, FL
Bloomfield, IN
Newark, NJ
Rock Hill, SC
Rome, GA
San Mateo, CA
Baxter, MN
Minneapolis, MN
Boise, ID
Los Angeles, CA
New York, NY
Palm Desert, CA
Chicago, IL
Boise, ID
Baltimore, MD
Coldwater, MI
Sebring, FL

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

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

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
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
10,650,000
10,325,000
10,000,000
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
7,701,000
7,500,000
7,290,000
7,000,000
6,900,000
6,800,000
6,785,000
6,700,000

23

Fidelity Federal Bancorp
Alarion Financial Services, Inc.
Liberty Bancshares, Inc.
First Intercontinental Bank
Premier Financial Corp
Citizens Commerce Bancshares, Inc.
Randolph Bank & Trust Company
Patapsco Bancorp, Inc.
Peninsula Bank Holding Co.
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
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
Mountain Valley Bancshares, Inc.
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
Omega Capital Corp.
Prairie Star Bancshares, Inc.
SouthFirst Bancshares, Inc.
DeSoto County Bank

Evansville, IN
Ocala, FL
Fort Worth, TX
Doraville, GA
Dubuque, IA
Versailles, KY
Asheboro, NC
Dundalk, MD
Palo Alto, CA
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
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
Cleveland, GA
Bowling Green, KY
Oneonta, AL
Salem, OR
Buffalo, WY
Granby, CO
Houston, TX
St. Louis, MO
Vero Beach, FL
Freeport, IL
Garden Grove, CA
Lakewood, CO
Olathe, KS
Sylacauga, AL
Horn Lake, MS

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

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

6,657,000
6,514,000
6,500,000
6,398,000
6,349,000
6,300,000
6,229,000
6,000,000
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
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
3,300,000
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
2,816,000
2,800,000
2,760,000
2,681,000

24

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
Vision Bank
Kirksville Bancorp, Inc.

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
Richardson, TX
Kirksville, MO

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

$
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
$
712,500
$
470,000
142
$ 4,679,418,608
*Original Investment has been converted at a discount into common stock in the institution. Amount shown is
original invesment amount

25

United States Department of the Treasury
Office of Financial Stability

Report of Administrative Obligations and Expenditures

For Period Ending
June 30, 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

Projected
Obligations
$
118,113,000
$
118,113,000
$
2,331,000
12,000
780,000
500
254,809,000
1,620,000

Projected
Expenditures
$
118,048,000
$
118,048,000
$
2,316,000
12,000
696,000
500
204,773,000
1,617,000

$

244,000
640
209,659,140

$

327,707,140

$
$
$
$
$
$
$
$

Obligations
116,501,732
116,501,732
2,316,329
11,960
779,845
402
254,718,246
1,615,090

$
$
$
$
$

253,286
634
259,695,791

$
$
$
$
$

243,907
634
207,004,256

$

254,000
640
259,807,140

GRAND TOTAL: $

376,197,523

$

323,441,194

$

377,920,140

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

Expenditures
$
116,436,938
$
116,436,938
$
2,297,013
$
11,960
$
695,498
$
402
$
202,143,937
$
1,610,905

For Period Ending
July 31, 2013

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

26

U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Agreements Under TARP [Section 105(a)(3)(A)]
Program Start - June 30, 2013

Date Approved

Type of Transaction

10/10/2008
10/11/2008
10/14/2008
10/16/2008
10/17/2008
10/18/2008
10/29/2008
10/29/2008
10/31/2008
11/7/2008
11/9/2008
11/17/2008
11/25/2008
12/3/2008
12/5/2008
12/10/2008
12/10/2008
12/15/2008
12/16/2008
12/22/2008
12/24/2008
1/6/2009
1/7/2009
1/27/2009

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

Vendor
Simpson Thacher & Bartlett Mnp LLP
Ennis Knupp & Associates Inc.
The Bank of New York Mellon
PricewaterhouseCoopers LLP-1
Turner Consulting Group, Inc.*
Ernst & Young LLP
Hughes Hubbard & Reed LLP
Squire Sanders & Dempsey LLP
Lindholm & Associates Inc.*
Sonnenschein Nath & Rosenthal LLP
Internal Revenue Service
Internal Revenue Service - CSC
Department of the Treasury - Departmental Offices
Trade and Tax Bureau - Treasury
Washington Post
Sonnenschein Nath & Rosenthal LLP
Thacher Proffitt & Wood**
Office of Thrift Supervision
Department of Housing and Urban Development
Office of Thrift Supervision
Cushman And Wakefield Of Va Inc.
Securities and Exchange Commission
Colonial Parking Inc.
Cadwalader Wickersham & Taft LLP

Purpose
Legal Advisory
Investment and Advisory Services
Custodian and Cash Management
Accounting/Internal Controls
Archive Services
Accounting/Internal Controls
Legal Advisory
Legal Advisory
Human Resources Services
Legal Advisory
Detailee
Information Technology
Administrative Support
Information Technology
Administrative Support
Legal Advisory
Legal Advisory
Detailee
Detailee
Detailees
Administrative Support
Detailee
Parking
Legal Advisory

27

Date Approved

Type of Transaction

1/27/2009
1/30/2009
2/2/2009
2/3/2009
2/9/2009
2/12/2009
2/18/2009
2/18/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/26/2009
2/27/2009
3/6/2009
3/16/2009
3/23/2009
3/30/2009
3/30/2009
3/30/2009
3/30/2009
3/30/2009
3/31/2009
4/3/2009
4/3/2009
4/17/2009
4/17/2009
4/21/2009
4/21/2009
4/21/2009
4/30/2009
5/5/2009
5/13/2009

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

Vendor
Whitaker Brothers Bus Machines Inc.*
Office of the Controller of the Currency
Government Accountability Office
Internal Revenue Service
Pat Taylor & Assoc Inc.*
Locke Lord Bissell & Liddell LLP
Fannie Mae
Freddie Mac
Financial Clerk U.S. Senate
Office of Thrift Supervision
Simpson Thacher & Bartlett Mnp LLP
Venable LLP-1
Securities and Exchange Commission
Pension Benefit Guaranty Corp.
The Boston Consulting Group Inc.
EARNEST Partners*
Heery International Inc.*
Bingham Mccutchen LLP
Cadwalader Wickersham & Taft LLP
Haynes and Boone LLP
McKee Nelson LLP***
Sonnenschein Nath & Rosenthal LLP
FI Consulting Inc.*
American Furniture Rentals*
The Boston Consulting Group Inc.
Bureau of Engraving and Printing
Herman Miller Inc.
Alliance Bernstein L.P.
FSI Group, LLC
Piedmont Investment Advisors, LLC*
State Department
Federal Reserve Board
Department of Treasury - US Mint

Purpose
Office Machines
Detailee
Oversight Services
Detailees
Administrative Support
Legal Advisory
Homeownership Program
Homeownership Program
Oversight Services
Detailees
Legal Advisory
Legal Advisory
Detailee
Legal Services
Financial Advisory
Small Business Assistance Program
Architectural Services
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Accounting/Internal Controls
Administrative Support
Financial Advisory
Detailee
Facilities Support
Asset Management Services
Asset Management Services
Asset Management Services
Detailee
Detailee
Administrative Support

28

Date Approved

Type of Transaction

5/14/2009
5/15/2009
5/20/2009
5/22/2009
5/26/2009
5/26/2009
6/9/2009
6/29/2009
7/15/2009
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
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009

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

Vendor
Knowledgebank Inc.*
Phacil Inc.
Securities and Exchange Commission
Department of Justice - ATF
Anderson Mc Coy & Orta*
Simpson Thacher & Bartlett Mnp LLP
Financial Management Service - Gartner, Inc.
Department of Interior
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
Avondale Investments, LLC*
Bell Rock Capital, LLC*
Howe Barnes Hoefer & Arnett, Inc.******
Hughes Hubbard & Reed LLP
KBW Asset Management, Inc.*
Lombardia Capital Partners, LLC*

Purpose
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
Asset Management Services
Asset Management Services
Asset Management Services
Legal Advisory
Asset Management Services
Asset Management Services

29

Date Approved

Type of Transaction

12/22/2009
1/14/2010
1/15/2010
2/16/2010
2/16/2010
2/18/2010
3/8/2010
3/22/2010
3/26/2010
3/29/2010
4/2/2010
4/8/2010
4/12/2010
4/22/2010
4/22/2010
4/23/2010
5/4/2010
5/17/2010
6/24/2010
6/30/2010
7/21/2010
7/21/2010
7/22/2010
7/22/2010
7/22/2010
7/27/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010

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

Vendor
Paradigm Asset Management Co., LLC*
Government Accountability Office
Association of Govt Accountants
Internal Revenue Service
The Mitre Corporation
Bureau of the Public Debt - ARC
Qualx Corporation*
Financial Management Services - Gartner, Inc.
Federal Maritime Commission (FMC)
Morgan Stanley & Co. Incorporated
Financial Clerk U.S. Senate
Squire Sanders & Dempsey LLP
Ennis Knupp & Associates Inc.
Digital Management Inc.*
Microlink Llc
RDA Corporation*
Internal Revenue Service
Lazard Fréres & Co. LLC
Reed Elsevier Inc. (dba LexisNexis)
The George Washington University
Navigant Consulting Inc.
Regis & Associates PC*
Ernst & Young LLP
PricewaterhouseCoopers LLP-1
Schiff Hardin LLP
West Publishing Corporation
Alston & Bird LLP
Cadwalader Wickersham & Taft LLP
Fox Hefter Swibel Levin & Carol, LLP
Haynes and Boone LLP
Hughes Hubbard & Reed LLP
Love & Long LLP*
Orrick Herrington Sutcliffe LLP

Purpose
Asset Management Services
Oversight Services
Administrative Support
Detailee
Information Technology
Information Technology
FOIA Support Services
Information Technology
Detailee
Disposition Agent Services
Oversight Services
Legal Advisory
Financial Advisory
Information Technology
Information Technology
Information Technology
Administrative Support
Transaction Structuring Services
Subscription Services
Administrative Support
Compliance
Compliance
Compliance
Compliance
Legal Advisory
Administrative Support
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory

30

Date Approved

Type of Transaction

8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/6/2010
8/12/2010
8/30/2010
9/1/2010
9/17/2010
9/27/2010
9/30/2010
10/1/2010
10/8/2010
10/14/2010
10/26/2010
11/8/2010
11/18/2010
12/2/2010
12/29/2010
1/5/2011
1/18/2011
1/24/2011
1/26/2011
2/24/2011
2/28/2011
3/3/2011
3/10/2011
3/22/2011
3/28/2011
4/20/2011
4/26/2011
4/27/2011

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

Vendor
Paul Weiss Rfknd Whrtn & Grrsn LLP
Perkins Coie LLP
Seyfarth Shaw LLP
Shulman Rgrs Gndl Pordy & Ecker Pa
Sullivan Cove Reign Enterprises JV*
Venable LLP-1
Knowledge Mosaic Inc.*
Department of Housing and Urban Development
CQ-Roll Call Inc.
Bingham Mccutchen LLP
Davis Audrey Robinette*
CCH Incorporated
Financial Clerk U.S. Senate
Management Concepts Inc.****
Hispanic Assoc Of Coll & Univ*
Government Accountability Office
The Mitre Corporation*
Greenhill & Co., LLC
Addx Corporation*
Reed Elsevier Inc. (dba LexisNexis)
Canon U.S.A. Inc.
Perella Weinberg Partners & Co.
Bureau of the Public Debt - ARC
Association of Govt Accountants
ESI International Inc.
Department of the Treasury - Departmental Offices
Equilar Inc.*
Mercer (US) Inc.
Harrison Scott Publications
Fox News Network LLC
Federal Reserve Bank of New York
PricewaterhouseCoopers LLP-1
Oculus Group Inc.*

Purpose
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Administrative Support
Detailee
Administrative Support
Legal Advisory
Administrative Support
Administrative Support
Oversight Services
Administrative Support
Detailees
Oversight Services
Information Technology
Structuring and Disposition Services
Acquisition Support Services
Subscription Services
Administrative Support
Structuring and Disposition Services
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Subscription Services
Administrative Support
Subscription Services
Litigation Settlement
Financial Reporting
Financial Services
Financial Services

31

Date Approved

Type of Transaction

4/27/2011
4/27/2011
4/27/2011
4/27/2011
4/27/2011
4/28/2011
4/28/2011
4/28/2011
5/31/2011
5/31/2011
6/9/2011
6/9/2011
6/17/2011
7/28/2011
9/9/2011
9/12/2011
9/15/2011
9/29/2011
9/29/2011
10/4/2011
10/20/2011
11/18/2011
11/29/2011
12/20/2011
12/30/2011
12/30/2011
1/4/2012
1/5/2012
2/2/2012
2/7/2012
2/14/2012
2/27/2012
3/6/2012

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

Vendor
MorganFranklin Corporation
Lani Eko & Company CPAs LLC*
FI Consulting Inc.*
Ernst & Young LLP
ASR Analytics LLC*
Booz Allen Hamilton Inc.
KPMG LLP
Office of Personnel Management
Reed Elsevier Inc. (dba LexisNexis)
West Publishing Corporation
CQ-Roll Call Inc.
ESI International Inc.
Winvale Group LLC
Internal Revenue Service
Financial Management Service
ADC LTD NM
ABMI - All Business Machines, Inc.*****
Knowledge Mosaic Inc.*
Department of Interior
Internal Revenue Service
ABMI - All Business Machines, Inc.*****
Qualx Corporation*
Houlihan Lokey, Inc.
Allison Group LLC*
Department of the Treasury - Departmental Offices
Bureau of the Public Debt - ARC
Government Accountability Office
Office of Personnel Management
Moody's Analytics Inc.
Greenhill & Co., LLC
Association of Govt Accountants
Diversified Search LLC
Integrated Federal Solutions, Inc.*

Purpose
Financial Services
Financial Services
Financial Services
Financial Services
Financial Services
Financial Services
Financial Services
Training
Subscription Services
Subscription Services
Subscription Services
Administrative Support
Subscription Services
Legal Services
Interns
Legal Services
Administrative Support
Administrative Support
Information Technology
Detailee
Administrative Support
FOIA Support Services
Transaction Structuring Services
Training
Administrative Support
Administrative Support
Administrative Support
Training
Subscription Services
Structuring and Disposition Services
Administrative Support
Financial Advisory
Acquisition Support Services

32

Date Approved

Type of Transaction

3/14/2012
3/30/2012
5/10/2012
6/12/2012
6/15/2012
6/30/2012
7/26/2012
8/1/2012
8/3/2012
9/8/2012
9/26/2012
11/19/2012
12/13/2012
12/19/2012
1/1/2013
1/1/2013
2/13/2013
2/21/2013
3/16/2013
3/7/2013
3/28/2013
5/1/2013
5/10/2013
6/13/2013
6/13/2013

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

Vendor
Department of Interior
E-Launch Multimedia, Inc.
Equilar Inc.*
Department of Justice
Qualx Corporation*
West Publishing Corporation
Knowledge Mosaic Inc.*
Internal Revenue Service
Harrison Scott Publications
SNL Financial LC
Bureau of the Public Debt - ARC
Government Accountability Office
Association of Govt Accountants
Department of the Treasury - Departmental Offices
Lazard Fréres & Co. LLC
Lazard Fréres & Co. LLC
Mercer (US) Inc.
Raymond James and Associates, Inc.
Bloomberg Finance L.P.
Department of Housing and Urban Development
Treasury Acquisition Institute
Internal Revenue Service
Equilar Inc.*
West Publishing Corporation
Department of the Treasury - Departmental Offices

Purpose
Information Technology
Administrative Support
Subscription Services
Legal Services
Administrative Support
Subscription Services
Administrative Support
Training
Subscription Services
Subscription Services
Administrative Support
Oversight Services
Administrative Support
Administrative Support
Transaction Structuring Services
Transaction Structuring Services
Administrative Support
Asset Management Services
Subscription Services
Research and analysis
Training
Detailee
Data Subscription Services
Subscription Services
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.

33

U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Insurance Contracts [Section 105(a)(3)(B)]
For Period Ending June 30, 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.

34

Troubled Asset Relief Program
Transactions Report - Investment Programs
For Period Ending June 28, 2013
CAPITAL PURCHASE PROGRAM

Footnote

1b
11, 23 5/26/2010

49
14

3a, 72 2/10/2012

119, 225

Seller

Name of Institution
Purchase Date
10/28/2008 Bank of America Corporation
10/28/2008 The Bank of New York Mellon Corporation

Charlotte
New York

State

Investment Amount

NC
NY

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

15,000,000,000
3,000,000,000

Pricing
Mechanism
Par
Par

Citigroup Inc.

New York

NY

Common Stock w/ Warrants

$

25,000,000,000

Par

10/28/2008
10/28/2008
10/28/2008
10/28/2008
10/28/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008

The Goldman Sachs Group, Inc.
JPMorgan Chase & Co.
Morgan Stanley
State Street Corporation
Wells Fargo & Company
Bank of Commerce Holdings
1st FS Corporation
UCBH Holdings, Inc.
Northern Trust Corporation
SunTrust Banks, Inc.

New York
New York
New York
Boston
San Francisco
Redding
Hendersonville
San Francisco
Chicago
Atlanta

NY
NY
NY
MA
CA
CA
NC
CA
IL
GA

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

$
$
$
$
$
$
$
$
$
$

10,000,000,000
25,000,000,000
10,000,000,000
2,000,000,000
25,000,000,000
17,000,000
16,369,000
298,737,000
1,576,000,000
3,500,000,000

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

11/14/2008

Broadway Financial Corporation

Los Angeles

CA

Preferred Stock

$

9,000,000

Par

11/14/2008
11/14/2008

Washington Federal, Inc.
BB&T Corp.
M&T Bank Corporation (Provident Bancshares
Corp.)
Umpqua Holdings Corp.
Comerica Inc.
Regions Financial Corporation
Capital One Financial Corporation
First Horizon National Corporation
Huntington Bancshares
KeyCorp

Seattle
Winston-Salem

WA
NC

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

200,000,000
3,133,640,000

Baltimore

MD

Preferred Stock w/ Warrants

$

151,500,000

11/14/2008

11/14/2008

11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/21/2008
11/21/2008
11/21/2008
11/21/2008

49

City

Valley National Bancorp

Zions Bancorporation
Marshall & Ilsley Corporation
U.S. Bancorp
TCF Financial Corporation
First Niagara Financial Group
HF Financial Corp.
Centerstate Banks of Florida Inc.
City National Corporation

11/21/2008
11/21/2008

First Community Bancshares Inc.
Western Alliance Bancorporation

11/21/2008

Webster Financial Corporation

Portland
Dallas
Birmingham
McLean
Memphis
Columbus
Cleveland

Wayne

Salt Lake City
Milwaukee
Minneapolis
Wayzata
Lockport
Sioux Falls
Davenport
Beverly Hills

OR
TX
AL
VA
TN
OH
OH

NJ

UT
WI
MN
MN
NY
SD
FL
CA

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

Preferred Stock w/ Warrants

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

$
$
$
$
$
$
$

$

$
$
$
$
$
$
$
$

Capital Repayment
Amount 6

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

$
$

15,000,000,000
3,000,000,000

$
$

23

$

25,000,000,000

4

$
$
$
$
$
$

10,000,000,000
25,000,000,000
10,000,000,000
2,000,000,000
25,000,000,000
17,000,000

$
$

Capital Repayment Details

10/28/2008

11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008
11/14/2008

44 5/16/2011

Purchase Details

214,181,000
2,250,000,000
3,500,000,000
3,555,199,000
866,540,000
1,398,071,000
2,500,000,000

300,000,000

1,400,000,000
1,715,000,000
6,599,000,000
361,172,000
184,011,000
25,000,000
27,875,000
400,000,000

Capital
Repayment Date
12/9/2009 4
6/17/2009 4
**
6/17/2009
6/17/2009
6/17/2009
6/17/2009
12/23/2009
9/27/2011

4
4
5
4
49

Final
Disposition
Date

Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
1b
A $
Warrants
183,547,824
R $
Warrants
136,000,000

0
0

Warrants
Warrants

3/3/2010
8/5/2009

$

0

Warrants

1/25/2011

Warrants

A $

$
$
$
$
$
$

0
0
0
0
0
0

Warrants
Warrants
Warrants
Warrants
Warrants
Warrants

7/22/2009
12/10/2009
8/12/2009
7/8/2009
5/20/2010
10/26/2011

Warrants
Warrants
Warrants
Warrants
Warrants
Warrants

R
A
R
R
A
R

1,576,000,000
3,500,000,000

$
$

0
0

Warrants
Warrants

8/26/2009
9/22/2011

$
$

200,000,000
3,133,640,000

$
$

0
0

Warrants
Warrants

54,621,849

$
$
$
$
$
$

1,100,000,000
936,063,469
950,000,000
60,000,000
840,374,892
125,000

Warrants
Warrants

R $
A $

87,000,000
14,069,763

3/9/2010
7/22/2009

Warrants
Warrants

A $
R $

15,388,874
67,010,402

$

19,047,077

$
$
$
$
$
$
$

4,500,000
181,102,043
45,000,000
146,500,065
79,700,000
49,100,000
70,000,000

9

6/17/2009
3/30/2011

4

Par
Par

5/27/2009
6/17/2009

4

Par

8/17/2012

119

$

151,500,000

$

0

Common Stock

3/19/2013

Common Stock

225

2/17/2010
3/17/2010
4/4/2012
6/17/2009
12/22/2010
12/22/2010
3/30/2011

5

$
$
$
$
$
$
$

214,181,000
2,250,000,000
3,500,000,000
3,555,199,000
866,540,000
1,398,071,000
2,500,000,000

$
$
$
$
$
$
$

0
0
0
0
0
0
0

3/31/2010
5/6/2010
5/2/2012
12/3/2009
3/9/2011
1/19/2011
4/20/2011

Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants

9

6/3/2009

4

$

75,000,000

$

225,000,000

9/23/2009

4

$

125,000,000

$

100,000,000

5/18/2010

Warrants

A $

5,421,615

12/23/2009

4

$

100,000,000

$

3/28/2012

4

$

700,000,000

$

12/5/2012

Warrants

P $

7,666,419

9/26/2012

4

$

700,000,000

$

0

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

7/5/2011

44

$

1,715,000,000

$

0

Warrants

7/5/2011

Warrants

6/17/2009
4/22/2009
5/27/2009
6/3/2009
9/30/2009

4

$
$
$
$
$

6,599,000,000
361,172,000
184,011,000
25,000,000
27,875,000

$
$
$
$
$

0
0
0
0
0

7/15/2009
12/15/2009
6/24/2009
6/30/2009
10/28/2009

Warrants
Warrants
Warrants
Warrants
Warrants

12/30/2009

4

$

200,000,000

$

4/7/2010

3/3/2010
7/8/2009
9/27/2011

4

$
$
$

200,000,000
41,500,000
140,000,000

$
$
$

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

Par
Par
Par
Par
Par
Par
Par

Par

Par
Par
Par
Par
Par
Par
Par
Par

Bluefield
Las Vegas

VA
NV

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

41,500,000
140,000,000

Par
Par

Waterbury

CT

Preferred Stock w/ Warrants

$

400,000,000

Par

4

4

4
4
4
4
4
4

4
5
4
5

5
49

0
700,000,000

200,000,000
0
0
0

3/3/2010

4

$

100,000,000

$

300,000,000

10/13/2010

4

$

100,000,000

$

200,000,000

12/29/2010

4

$200,000,000

$

0

44

R
A
R
A
R
R
R

R $
R
A
R
R
R

3,250,000

$
$
$
$
$

139,000,000
9,449,981
2,700,000
650,000
212,000

Warrants

R $

18,500,000

11/18/2011
11/18/2011

Warrants
Warrants

P $
P $

30,600
415,000

6/2/2011

Warrants

A $

20,388,842

9

9

35

Footnote

Seller

Purchase Date
29
85 06/13/2012
74 3/28/2012
47 6/30/2011

14, 20

232
50

49

26 9/30/2010
50
131

12
130

State

Investment Amount

Capital
Repayment Date

Final
Disposition
Date

$
$

165,983,272
40,000,000

$
$

0
0

Warrants
Warrants

11/30/2012
6/12/2013

Warrants
Warrants

R $
P $

393,121
140,000

R $

2,670,000

P $

134,201

Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description

Santa Barbara
San Jose

CA
CA

Common Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

195,045,000
40,000,000

Par
Par

11/30/2012
3/7/2012

4

11/21/2008

Ameris Bancorp

Moultrie

GA

Preferred Stock w/ Warrants

$

52,000,000

Par

6/13/2012

85

$

47,665,332

$

0

Warrants

8/22/2012

Warrants

11/21/2008

Porter Bancorp Inc.

Louisville

KY

Preferred Stock w/ Warrants

$

35,000,000

Par

11/21/2008

Banner Corporation

Walla Walla

WA

Preferred Stock w/ Warrants

$

124,000,000

Par

3/28/2012

74

$

108,071,915

$

0

Warrants

6/12/2013

Warrants

11/21/2008

Cascade Financial Corporation

Everett

WA

Preferred Stock w/ Warrants

$

38,970,000

Par

6/30/2011

47

$

16,250,000

$

0

N/A

N/A

11/21/2008
11/21/2008
11/21/2008
11/21/2008

Columbia Banking System, Inc.
Heritage Financial Corporation
First PacTrust Bancorp, Inc.
Severn Bancorp, Inc.

Tacoma
Olympia
Chula Vista
Annapolis

WA
WA
CA
MD

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

$
$
$
$

76,898,000
24,000,000
19,300,000
23,393,000

Par
Par
Par
Par

8/11/2010
12/22/2010
12/15/2010

4

$
$
$

76,898,000
24,000,000
19,300,000

$
$
$

0
0
0

Warrants
Warrants
Warrants

9/1/2010
8/17/2011
1/5/2011

Boston Private Financial Holdings, Inc.

Boston

MA

Preferred Stock w/ Warrants

$

154,000,000

Par

1/13/2010

4

11/21/2008

$

50,000,000

$

2/1/2011

6/16/2010

4

$

104,000,000

$

4/6/2011

4

$

262,500,000

$

9/14/2011

4

$

262,500,000

$

0

Warrants

4

$
$

215,000,000
10,987,794

$
$

0
0

Associated Banc-Corp

Green Bay

WI

Preferred Stock w/ Warrants

$

525,000,000

4

4
4

104,000,000
0
262,500,000

Par

N/A

47

-

Warrants
Warrants
Warrants

9

R $
R $
R $

3,301,647
450,000
1,003,227

Warrants

A $

6,202,523

11/30/2011

Warrants

A $

3,435,006

Warrants
Warrants

12/30/2009
11/1/2012

Warrants
Warrants

R $
R $

10,000,000
297,500

Preferred Stock w/
Warrants
Warrants
Preferred Stock w/
Warrants

9

N/A

11/21/2008
11/21/2008

Trustmark Corporation
First Community Corporation

Jackson
Lexington

MS
SC

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

215,000,000
11,350,000

Par
Par

12/9/2009
8/23/2012

11/21/2008

Taylor Capital Group

Rosemont

IL

Preferred Stock w/ Warrants

$

104,823,000

Par

6/13/2012

86

$

92,254,460

$

0

Warrants

7/18/2012

Warrants

R $

9,839,273

11/21/2008

BBCN Bancorp, Inc.
(Nara Bancorp, Inc.)

Los Angeles

CA

Preferred Stock w/ Warrants

$

67,000,000

Par

6/27/2012

4

$

67,000,000

$

0

Warrants

8/8/2012

Warrants

R $

2,189,317

12/5/2008

Midwest Banc Holdings, Inc.

Melrose Park

IL

$

89,388,000

Par

12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008

MB Financial Inc.
First Midwest Bancorp, Inc.
United Community Banks, Inc.
WesBanco, Inc.
Encore Bancshares Inc.
Manhattan Bancorp
Iberiabank Corporation

Chicago
Itasca
Blairsville
Wheeling
Houston
El Segundo
Lafayette

$
$
$
$
$
$
$

196,000,000
193,000,000
180,000,000
75,000,000
34,000,000
1,700,000
90,000,000

Par
Par
Par
Par
Par
Par
Par

3/14/2012
11/23/2011
3/28/2013
9/9/2009
9/27/2011
9/16/2009
3/31/2009

4

$
$
$
$
$
$
$

196,000,000
193,000,000
171,517,500
75,000,000
34,000,000
1,700,000
90,000,000

$
$
$
$
$
$
$

0
0
0
0
0
0
0

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

5/2/2012
12/21/2011
6/12/2013
12/23/2009
11/18/2011
10/14/2009
5/20/2009

Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants

R
R
P
R
P
R
R

$
$
$
$
$
$
$

1,518,072
900,000
6,677
950,000
637,071
63,364
1,200,000

11/18/2011

Warrants

P $

2,794,422

2/23/2011

Warrants

R $

4,450,000

Warrants
Warrants
Warrants

R $
R $
R $

99,000
225,647
14,500,000

12/5/2008

Eagle Bancorp, Inc.

Sandy Spring Bancorp, Inc.

Bethesda

Olney

IL
IL
GA
WV
TX
CA
LA
MD

MD

Mandatorily Convertible Preferred Stock w/
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

$

$

38,235,000

83,094,000

122

4
232
4
50
4
5

12/23/2009

5

$

15,000,000

$

7/14/2011

49

$

23,235,000

$

7/21/2010

4

$

41,547,000

$

12/15/2010

4

$

41,547,000

$

0

Preferred Stock w/
Warrants
Warrants

217

$

9,408,213

$

0

Warrants

23,235,000

Par

Par

0
41,547,000

Coastal Banking Company, Inc.

Fernandina Beach

FL

Preferred Stock w/ Warrants

$

9,950,000

Par

12/5/2008

East West Bancorp

Pasadena

CA

Preferred Stock w/ Warrants

$

306,546,000

Par

12/29/2010

4

$

306,546,000

$

0

Warrants

4/10/22013
6/12/2013
1/26/2011

12/5/2008

South Financial Group, Inc.

Greenville

SC

Preferred Stock w/ Warrants

$

347,000,000

Par

9/30/2010

26

$

130,179,219

$

0

Warrants

9/30/2010

Warrants

12/5/2008
12/5/2008
12/5/2008

Great Southern Bancorp
Cathay General Bancorp
Southern Community Financial Corp.

Springfield
Los Angeles
Winston-Salem

MO
CA
NC

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

$
$
$

58,000,000
258,000,000
42,750,000

Par
Par
Par

8/18/2011
3/20/2013
10/1/2012

50

$
$
$

58,000,000
129,000,000
42,750,000

$
$
$

0
129,000,000
0

9/21/2011

Warrants

N/A

N/A

$

32,500,000

10/28/2009

Warrants

12/5/2008

CVB Financial Corp
First Defiance Financial Corp.

Ontario
Defiance

CA
OH

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

130,000,000
37,000,000

Par
Par

12/5/2008

First Financial Holdings Inc.

Charleston

SC

Preferred Stock w/ Warrants

$

65,000,000

Par

12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008

Superior Bancorp Inc.
Southwest Bancorp, Inc.
Popular, Inc.
Blue Valley Ban Corp
Central Federal Corporation
Bank of Marin Bancorp

Birmingham
Stillwater
San Juan
Overland Park
Fairlawn
Novato

AL
OK
PR
KS
OH
CA

Trust Preferred Securities w/ Warrants
Preferred Stock w/ Warrants
Trust Preferred Securities w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$
$
$
$
$

69,000,000
70,000,000
935,000,000
21,750,000
7,225,000
28,000,000

Par
Par
Par
Par
Par
Par

3/11/2013

8/26/2009

4

$

97,500,000

9/2/2009

4

$

32,500,000 $

0

Warrants
Warrants
N/A
Preferred Stock w/
Warrants
Warrants

6/13/2012

89

$

35,084,144

$

0

Warrants

3/28/2012

75

$

55,926,478

$

0

Warrants

5/22/2013

8/8/2012

4

$

70,000,000

$

0

Warrants

130

$
$

3,000,000
28,000,000

$
$

0
0

N/A
Warrants

9/26/2012
3/31/2009

4
131

4

9

Warrants

12/5/2008

12/5/2008
89 06/13/2012
75 3/28/2012
17, 54

City

Pricing
Mechanism

Pacific Capital Bancorp
Heritage Commerce Corp.

12/5/2008
198, 217

Name of Institution

Capital Repayment
Amount 6

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

Capital Repayment Details

11/21/2008
11/21/2008

11/21/2008

122
86 06/13/2012
66 11/30/2011

Purchase Details

9
26

R $

400,000

R $

6,436,364

9

N/A

R $

1,307,000

Warrants

R $

1,400,000

5/29/2013

Warrants

R $

2,287,197

N/A
11/18/2011

N/A
Warrants

P $

N/A
1,703,984

130

36

Footnote

Seller

Purchase Date
120
50
49
68 1/1/2012
32 9/30/2010

55
24, 118
50
35
208
88 06/13/2012
43 5/13/2011

50
76 3/28/2012

50
176

181
70
206

State

Investment Amount

Capital
Repayment Date
120

$
$
$

28,365,685
10,000,000
9,550,000

$
$
$

0
0
0

Warrants
Warrants
Warrants

Thomasville
Somerville
Poplar Bluff

NC
MA
MO

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

$
$
$

31,260,000
10,000,000
9,550,000

Par
Par
Par

8/23/2012
8/25/2011
7/21/2011

12/5/2008

Valley National Bancorp (State Bancorp, Inc.)

Wayne

NJ

Preferred Stock w/ Warrants

$

36,842,000

Par

12/14/2011

4

$

36,842,000

$

0

Warrants

$

12,119,637

$

0

50
49

Final
Disposition
Date

Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description

9/19/2012
10/19/2011

Warrants
Warrants

R $
R $

939,920
2,525,000

Warrants

9/30/2010

Warrants

R $

40,000

9/2/2009

Warrants

R $

225,000

R $
R $
R $
-

825,000
560,000
1,200,000
N/A

Naples

FL

Preferred Stock w/ Warrants

$

37,000,000

Par

9/30/2010

32

Unity Bancorp, Inc.

Clinton

NJ

Preferred Stock w/ Warrants

$

20,649,000

Par

5/15/2013

4

$

10,324,000

$

12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008

Old Line Bancshares, Inc.
FPB Bancorp, Inc.
Sterling Financial Corporation
Oak Valley Bancorp
Old National Bancorp
Capital Bank Corporation
Pacific International Bancorp
SVB Financial Group

Bowie
Port St. Lucie
Spokane
Oakdale
Evansville
Raleigh
Seattle
Santa Clara

MD
FL
WA
CA
IN
NC
WA
CA

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Common Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$
$
$
$
$
$
$

7,000,000
5,800,000
303,000,000
13,500,000
100,000,000
41,279,000
6,500,000
235,000,000

Par
Par
Par
Par
Par
Par
Par
Par

7/15/2009

4

$

7,000,000

$

0

Preferred Stock w/
Warrants
Warrants

8/14/2012
8/11/2011
3/31/2009
1/28/2011
2/15/2013
12/23/2009

118

$
$
$
$
$
$

113,338,081
13,500,000
100,000,000
41,279,000
6,500,000
235,000,000

$
$
$
$
$
$

0
0
0
0
0
0

Warrants
Warrants
Warrants
N/A
Warrants
Warrants

9/19/2012
9/28/2011
5/8/2009
N/A

Warrants
Warrants
Warrants
N/A

6/16/2010

Warrants

R $

6,820,000

12/12/2008

LNB Bancorp Inc.

Lorain

OH

Preferred Stock w/ Warrants

$

25,223,000

Par

6/13/2012

88

$

21,594,229

$

0

Warrants

7/18/2012

Warrants

R $

860,326

12/12/2008

M&T Bank Corporation (Wilmington Trust
Corporation)

Wilmington

DE

Preferred Stock w/ Warrants

$

330,000,000

Par

5/13/2011

43

$

330,000,000

$

0

Warrants

Susquehanna Bancshares, Inc

Lititz

PA

Preferred Stock w/ Warrants

$

300,000,000

Par

4/21/2010

4

12/12/2008

$

200,000,000

$

Warrants

R $

5,269,179

$
$
$

100,000,000
120,000,000
18,400,000

$
$
$

0
0
0

Preferred Stock w/
Warrants
Warrants
Warrants
Warrants

1/19/2011

4

3/10/2010
1/16/2013

Warrants
Warrants

A $
R $

11,150,940
256,257

9/12/2012
11/24/2009

Warrants
Warrants

R $
R $

1,800,000
2,650,000

R
A
R
R

$
$
$
$

7,778,783
2,857,915
4,753,985
1,500,000

12/5/2008

TIB Financial Corp

12/5/2008

50
4
35
208
5

10,325,000

100,000,000

32

35

9

New York
Hopkinsville

NY
KY

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

120,000,000
18,400,000

Par
Par

Flint

MI

Preferred Stock w/ Warrants

$

300,000,000

Par

4/12/2013

214

$

300,000,000

$

0

Warrants

Columbus
Little Rock

IN
AR

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

21,500,000
75,000,000

Par
Par

9/12/2012
11/4/2009

4

$
$

21,500,000
75,000,000

$
$

0
0

Warrants
Warrants

Los Angeles

CA

Preferred Stock w/ Warrants

$

55,000,000

Par

6/27/2012

4

$

55,000,000

$

0

Warrants

12/12/2008
12/12/2008
12/12/2008
12/12/2008

Signature Bank
HopFed Bancorp
FirstMerit Corporation
(Citizens Republic Bancorp, Inc.)
Indiana Community Bancorp
Bank of the Ozarks, Inc.
BBCN Bancorp, Inc.
(Center Financial Corporation)
NewBridge Bancorp
Sterling Bancshares, Inc.
The Bancorp, Inc.
TowneBank

12/22/2010
3/31/2009
12/19/2012

Greensboro
Houston
Wilmington
Portsmouth

NC
TX
DE
VA

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

$
$
$
$

52,372,000
125,198,000
45,220,000
76,458,000

Par
Par
Par
Par

4/29/2013
5/5/2009
3/10/2010
9/22/2011

237

$
$
$
$

50,837,239
125,198,000
45,220,000
76,458,000

$
$
$
$

0
0
0
0

Warrants
Warrants
Warrants
Warrants

5/15/2013
6/9/2010
9/8/2010
5/15/2013

Warrants
Warrants
Warrants
Warrants

12/12/2008

Wilshire Bancorp, Inc.

Los Angeles

CA

Preferred Stock w/ Warrants

$

62,158,000

Par

3/28/2012

76

$

57,766,994

$

Warrants

6/20/2012

Warrants

R $

760,000

11/14/2012

4

$

1,600,000

$

14,419,000

2/20/2013

4

$

1,600,000

$

12,819,000

5/15/2013

4

$

1,600,000

$

11,219,000

12/28/2011

4

$

23,750,000

$

71,250,000

7/18/2012

Warrants

R $

755,000

6/20/2012

4

$

71,250,000

$

0

Warrants

4/7/2010
3/16/2011
11/28/2012
9/22/2011
12/11/2012
11/30/2012
11/18/2009

4

$
$
$
$
$
$
$

10,000,000
150,000,000
4,227,000
20,500,000
71,000,000
7,000,000
15,000,000

$
$
$
$
$
$
$

0
0
0
0
0
0
0

Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants

4/7/2010
4/13/2011
12/28/2012
11/9/2011

Warrants
Warrants
Warrants
Warrants

12/16/2009

$

11,181,456

$

0

Warrants

$

50,000,000

$

0

Warrants

12/12/2008

12/12/2008

12/12/2008

22

City

Pricing
Mechanism

BNC Bancorp
Central Bancorp, Inc.
Southern Missouri Bancorp, Inc.

12/12/2008
12/12/2008
66 11/30/2011
237

Name of Institution

Capital Repayment
Amount 6

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

Capital Repayment Details

12/5/2008
12/5/2008
12/5/2008

12/12/2008
12/12/2008
214

Purchase Details

Valley Financial Corporation

Roanoke

VA

Preferred Stock w/ Warrants

$

16,019,000

Par

12/12/2008

Independent Bank Corporation

Ionia

MI

Mandatorily Convertible Preferred Stock w/
$
Warrants

74,426,000

Par

12/12/2008

Pinnacle Financial Partners, Inc.

Nashville

TN

Preferred Stock w/ Warrants

95,000,000

Par

12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008

First Litchfield Financial Corporation
National Penn Bancshares, Inc.
Northeast Bancorp
Citizens South Banking Corporation
Virginia Commerce Bancorp
WesBanco, Inc. (Fidelity Bancorp, Inc.)
LSB Corporation
Intermountain Community Bancorp
Community West Bancshares
Synovus Financial Corp.
Tennessee Commerce Bancorp, Inc.
Community Bankers Trust Corporation
BancTrust Financial Group, Inc.

Litchfield
Boyertown
Lewiston
Gastonia
Arlington
Wheeling
North Andover
Sandpoint
Goleta
Columbus
Franklin
Glen Allen
Mobile

CT
PA
ME
NC
VA
WV
MA
ID
CA
GA
TN
VA
AL

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

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

10,000,000
150,000,000
4,227,000
20,500,000
71,000,000
7,000,000
15,000,000
27,000,000
15,600,000
967,870,000
30,000,000
17,680,000
50,000,000

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

4
4

4

4
5
50

4
4
50
4
176
4

12/11/2012

2/15/2013

206

0

9

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

Preferred Stock w/
Warrants

R
R
R
R

$
$
$
$

1,488,046
1,000,000
95,000
225,157

Warrants

R $

560,000

6/12/2013

Warrants

P $

698,351

2/15/2013

Warrants

R $

15,000

9

206

37

Footnote

Seller

Purchase Date

49
117 8/1/2012
45 6/3/2011
81 4/19/2012
50
64 10/21/2011
77 3/28/2012
50
92 6/27/2012
194
50
50
30 9/29/2010

18

2, 170
2, 49
2, 49
2, 3
2
2
2, 102
2, 103
2
2
2, 104
2
2
2, 50

City

State

Investment Amount

$
$
$

35,000,000
10,000,000
8,500,000

$
$
$

0
0
0

Warrants
Warrants
Warrants

1/9/2013
1/23/2013
9/14/2011

Warrants
Warrants
Warrants

116

$

25,000,000

$

0

Warrants

8/1/2012

Warrants

4

$

22,000,000

$

0

Warrants

12/16/2009

Warrants

$

300,000,000

$

0

Warrants

6/3/2011

Warrants

Pricing
Mechanism

Capital
Repayment Date

Enterprise Financial Services Corp.
Mid Penn Bancorp, Inc.
Summit State Bank

St. Louis
Millersburg
Santa Rosa

MO
PA
CA

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

$
$
$

35,000,000
10,000,000
8,500,000

Par
Par
Par

11/7/2012
12/28/2012
8/4/2011

12/19/2008

VIST Financial Corp.

Wyomissing

PA

Preferred Stock w/ Warrants

$

25,000,000

Par

8/1/2012

4
4
49

Final
Disposition
Date

Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description

116

R $
R $
R $

1,006,100
58,479
315,000

R $

1,189,813

12/19/2008

Wainwright Bank & Trust Company

Boston

MA

Preferred Stock w/ Warrants

$

22,000,000

Par

11/24/2009

12/19/2008

Whitney Holding Corporation

New Orleans

LA

Preferred Stock w/ Warrants

$

300,000,000

Par

6/3/2011

12/19/2008

The Connecticut Bank and Trust Company

Hartford

CT

Preferred Stock w/ Warrants

$

5,448,000

Par

4/19/2012

81

$

5,448,000

$

0

Warrants

4/19/2012

Warrants

$

64,450,000

$

0

Warrants

11/18/2011

Warrants

0

N/A

N/A

N/A

0

Warrants

5/30/2012

Warrants

R $

55,000

Warrants

11/18/2011

Warrants

P $

1,750,551

6/24/2009
8/24/2011
11/2/2011

Warrants
Warrants
Warrants

R $
R $
R $

1,040,000
599,042
825,000

A $
R $
R $

25,600,564
900,000
260,000

R $

450,000

12/19/2008

CoBiz Financial Inc.

Denver

CO

Preferred Stock w/ Warrants

$

64,450,000

Par

9/8/2011

50

12/19/2008

Santa Lucia Bancorp

Atascadero

CA

Preferred Stock w/ Warrants

$

4,000,000

Par

10/21/2011

64

$

2,800,000

$

12/19/2008

Seacoast Banking Corporation of Florida

Stuart

FL

Preferred Stock w/ Warrants

$

50,000,000

Par

3/28/2012

77

$

40,404,700

$

4

25,000,000

Par

11/10/2010
8/25/2011

$
$

6,250,000
18,750,000

$
$

12/19/2008

Horizon Bancorp

Michigan City

IN

12/19/2008

Fidelity Southern Corporation

Atlanta

12/19/2008
12/19/2008
12/19/2008
12/19/2008

Community Financial Corporation
Berkshire Hills Bancorp, Inc.
First California Financial Group, Inc
AmeriServ Financial, Inc

Staunton
Pittsfield
Westlake Village
Johnstown

12/19/2008

Security Federal Corporation

12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008

12/19/2008

50

Name of Institution

Capital Repayment
Amount 6

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

Capital Repayment Details

12/19/2008
12/19/2008
12/19/2008

12/19/2008
12/19/2008

49

Purchase Details

18,750,000
0

R $

568,700

45

R $

6,900,000

81

R $

792,783

P $
64

-

143,677
N/A

Preferred Stock w/ Warrants

$

GA

Preferred Stock w/ Warrants

$

48,200,000

Par

6/27/2012

92

$

42,757,786

$

0

Warrants

VA
MA
CA
PA

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

$
$
$
$

12,643,000
40,000,000
25,000,000
21,000,000

Par
Par
Par
Par

1/9/2013
5/27/2009
7/14/2011
8/11/2011

194

$
$
$
$

12,643,000
40,000,000
25,000,000
21,000,000

$
$
$
$

0
0
0
0

Warrants
Warrants
Warrants
Warrants

Aiken

SC

Preferred Stock w/ Warrants

$

18,000,000

Par

9/29/2010

4

$

18,000,000

$

0

Warrants

Wintrust Financial Corporation
Flushing Financial Corporation
Monarch Financial Holdings, Inc.

Lake Forest
Lake Success
Chesapeake

IL
NY
VA

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

$
$
$

250,000,000
70,000,000
14,700,000

Par
Par
Par

12/22/2010
10/28/2009
12/23/2009

4

$
$
$

250,000,000
70,000,000
14,700,000

$
$
$

0
0
0

2/8/2011
12/30/2009
2/10/2010

Warrants
Warrants
Warrants

Charlottesville

VA

Preferred Stock w/ Warrants

$

30,000,000

Par

4/13/2011

4

StellarOne Corporation

$

7,500,000

$

12/28/2011

4

$

22,500,000

$

0

Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants

0

Warrants

12/23/2009

Warrants

0

9/30/2009

Warrants

R $

1,400,000

6/12/2013

Warrants

R $

540,000

6/17/2009
9/28/2011

Warrants
Warrants

R $
R $

900,000
1,800,000

11/30/2012
9/27/2011
9/22/2011

Preferred Stock
Preferred Stock
Preferred Stock

2, 7

P $
R $
R $

358,558
4,382,000
777,000

P $
P $
R $

1,450,171
2,054,215
92,000

Union First Market Bankshares Corporation
(Union Bankshares Corporation)
Tidelands Bancshares, Inc
Bancorp Rhode Island, Inc.
Hawthorn Bancshares, Inc.

50

4
50
50

5
5

22,500,000

Bowling Green

VA

Preferred Stock w/ Warrants

$

59,000,000

Par

11/18/2009

5

$

59,000,000

$

Mount Pleasant
Providence

SC
RI

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

14,448,000
30,000,000

Par
Par

8/5/2009

4

$

30,000,000

$

5/9/2012

4

$

12,000,000

$

4

$
$
$
$

18,255,000
9,090,000
26,918,000
81,698,000

$
$
$
$
$

6,566,692
3,265,788

Lee's Summit

MO

Preferred Stock w/ Warrants

$

30,255,000

Par

12/19/2008
12/19/2008
12/19/2008

The Elmira Savings Bank, FSB
Alliance Financial Corporation
Heartland Financial USA, Inc.

Elmira
Syracuse
Dubuque

NY
NY
IA

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

$
$
$

9,090,000
26,918,000
81,698,000

Par
Par
Par

12/19/2008

Citizens First Corporation

Bowling Green

KY

Preferred Stock w/ Warrants

$

8,779,000

Par

12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/19/2008
12/23/2008

FFW Corporation
Plains Capital Corporation
Tri-County Financial Corporation
OneUnited Bank
Patriot Bancshares, Inc.
Pacific City Financial Corporation
Marquette National Corporation
Exchange Bank
Monadnock Bancorp, Inc.
Bridgeview Bancorp, Inc.
Fidelity Financial Corporation
Patapsco Bancorp, Inc.
NCAL Bancorp
FCB Bancorp, Inc.
First Financial Bancorp

Wabash
Dallas
Waldorf
Boston
Houston
Los Angeles
Chicago
Santa Rosa
Peterborough
Bridgeview
Wichita
Dundalk
Los Angeles
Louisville
Cincinnati

IN
TX
MD
MA
TX
CA
IL
CA
NH
IL
KS
MD
CA
KY
OH

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

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

7,289,000
87,631,000
15,540,000
12,063,000
26,038,000
16,200,000
35,500,000
43,000,000
1,834,000
38,000,000
36,282,000
6,000,000
10,000,000
9,294,000
80,000,000

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

12/23/2008

Bridge Capital Holdings

San Jose

CA

Preferred Stock w/ Warrants

$

23,864,000

Par

9
9

9

2/16/2011

4

$

2,212,308

2/13/2013

4

$

3,300,904

$

11/30/2012
9/27/2011
9/22/2011

170

$
$
$

6,515,426
87,631,000
15,540,000

$
$
$

0
0
0

Warrants
Preferred Stock w/
Warrants
Warrants
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2

7/27/2012
7/27/2012
12/28/2012

102

$
$
$

25,313,186
37,259,393
1,834,000

$
$
$

0
0
0

Preferred Stock 2
Preferred Stock 2
Preferred Stock 2

7/27/2012
7/27/2012
12/28/2012

Preferred Stock
Preferred Stock
Preferred Stock

2, 7

7/27/2012

104

$

32,013,328

$

0

Preferred Stock 2

7/27/2012

Preferred Stock

2, 7

P $

1,725,103

9/22/2011
2/24/2010

50

$
$

9,294,000
80,000,000

$
$

0
0

Preferred Stock 2
Warrants

9/22/2011
6/2/2010

Preferred Stock
Warrants

2, 7

R $
A $

465,000
2,966,288

2/23/2011

4

$

15,000,000

$

Preferred Stock w/
Warrants

4/20/2011

Warrants

R $

1,395,000

5/15/2013
8/25/2011
5/13/2009
9/15/2011

49
4
50

49
49

103
4

5

18,255,000
0
0
0
0

8,864,000

2, 7
2, 7

2, 7
2, 7

9

38

Footnote

Seller

Name of Institution

Purchase Date

12/23/2008

178
119
49
59 9/7/2011

30 9/3/2010
50
204
393/11/2011
246
93 6/27/2012
67 12/29/2011
154

2, 155
2
2, 148
2
3, 30 8/20/2010
2, 143
2
2, 49
2, 49
2
2
2, 49
2, 49

12/23/2008

International Bancshares Corporation

First Sound Bank

City

Laredo

Seattle

State

TX

WA

Capital Repayment Details

Investment Amount

Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

$

$

216,000,000

7,400,000

Pricing
Mechanism

Par

Par

Capital
Repayment Date

Capital Repayment
Amount 6

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

3/16/2011

4

$

8,864,000

$

7/11/2011

4

$

40,000,000

$

176,000,000

11/1/2012

4

$

45,000,000

$

131,000,000

11/28/2012
2/20/2013

4

$
$

131,000,000
3,700,000

$
$

$

370,000,000

$

$
$
$

230,000,000
7,500,000
100,000,000

$
$
$

0
0
0

Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
N/A
Preferred Stock w/
Warrants
Warrants
Warrants
Warrants

0

178

5/18/2011

4

0

0
0
230,000,000

12/23/2008

M&T Bank Corporation

Buffalo

NY

Preferred Stock w/ Warrants

$

600,000,000

Par

Emclaire Financial Corp.
Park National Corporation

Emlenton
Newark

PA
OH

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

7,500,000
100,000,000

Par
Par

8/17/2012
8/18/2011
4/25/2012

119

12/23/2008
12/23/2008
12/23/2008

Green Bankshares, Inc.

Greeneville

TN

$

72,278,000

Par

9/7/2011

59

$

68,700,000

$

12/23/2008

Cecil Bancorp, Inc.

Elkton

MD

Preferred Stock w/ Warrants

$

11,560,000

Par
2/23/2011

4

$

12,505,000

$

12/23/2008

Financial Institutions, Inc.

Warsaw

NY

Preferred Stock w/ Warrants

$

37,515,000

Par
3/30/2011

4

$

25,010,000

$

0

49
4

25,010,000

Final
Disposition
Date

6/12/2013

Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description

Warrants

P $

4,018,511

N/A

N/A

12/17/2012

Warrants

P $

31,838,761

12/7/2011
5/2/2012

Warrants
Warrants

R $
R $

51,113
2,842,400

N/A

N/A

N/A

Preferred Stock w/
Warrants

5/11/2011

Warrants

R $

2,079,963

9/8/2010

Warrants

R $

10,800,000

9/28/2011
4/19/2013

Warrants
Warrants

R $
R $

900,194
1,442,000

N/A

59

-

N/A

Warrants

12/23/2008

Fulton Financial Corporation

Lancaster

PA

Preferred Stock w/ Warrants

$

376,500,000

Par

7/14/2010

4

$

376,500,000

$

0

Warrants

12/23/2008

United Bancorporation of Alabama, Inc.

Atmore

AL

Preferred Stock w/ Warrants

$

10,300,000

Par

9/3/2010

4

$

10,300,000

$

0

Warrants

12/23/2008
12/23/2008
12/23/2008

MutualFirst Financial, Inc.
BCSB Bancorp, Inc.
HMN Financial, Inc.

Muncie
Baltimore
Rochester

IN
MD
MN

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

$
$
$

32,382,000
10,800,000
26,000,000

Par
Par
Par

8/25/2011
1/26/2011
2/8/2013

50

$
$
$

32,382,000
10,800,000
18,571,410

$
$
$

0
0
0

Warrants
Warrants
Warrants

12/23/2008

First Community Bank Corporation of America

Pinellas Park

FL

Preferred Stock w/ Warrants

$

10,685,000

Par

5/31/2011

39

$

7,754,267

$

0

N/A

N/A

N/A

12/23/2008
12/23/2008

Sterling Bancorp
Intervest Bancshares Corporation

New York
New York

NY
NY

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

42,000,000
25,000,000

Par
Par

4/27/2011
6/24/2013

4

$
$

42,000,000
24,007,500

$
$

0
0

Warrants
Warrants

5/18/2011

Warrants

R $

945,775

12/23/2008

Peoples Bancorp of North Carolina, Inc.

Newton

NC

Preferred Stock w/ Warrants

$

25,054,000

Par

6/27/2012

93

$

23,033,635

$

0

Warrants

8/8/2012

Warrants

R $

425,000

6/12/2013
11/18/2011
12/1/2010
11/9/2012

Warrants
Warrants
Warrants
Preferred Stock

11/9/2012

Preferred Stock

4
204

246

Hermitage

PA

Preferred Stock w/ Warrants

$

31,762,000

Par

1/3/2012

67

$

31,762,000

$

0

Warrants

12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008

F.N.B. Corporation (Parkvale Financial
Corporation)
Timberland Bancorp, Inc.
1st Constitution Bancorp
Central Jersey Bancorp
Western Illinois Bancshares Inc.
Saigon National Bank
Capital Pacific Bancorp
Uwharrie Capital Corp

Hoquiam
Cranbury
Oakhurst
Monmouth
Westminster
Portland
Albemarle

WA
NJ
NJ
IL
CA
OR
NC

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

$
$
$
$
$
$
$

16,641,000
12,000,000
11,300,000
6,855,000
1,549,000
4,000,000
10,000,000

Par
Par
Par
Par
Par
Par
Par

11/13/2012
10/27/2010
11/24/2010
11/9/2012

154

$
$
$
$

14,209,334
12,000,000
11,300,000
6,398,944

$
$
$
$

0
0
0
0

Warrants
Warrants
Warrants

11/9/2012
4/3/2013

148

$
$

3,728,440
7,742,000

$
$

12/23/2008

Mission Valley Bancorp

Sun Valley

CA

Preferred Stock

$

5,500,000

Par

8/20/2010

12/23/2008

12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008

2
2, 189
2
2, 49
2, 61
2, 238
2, 50

Purchase Details

12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/31/2008
12/31/2008

The Little Bank, Incorporated
Pacific Commerce Bank
Citizens Community Bank
Seacoast Commerce Bank
TCNB Financial Corp.
Leader Bancorp, Inc.
Nicolet Bankshares, Inc.
Magna Bank
Western Community Bancshares, Inc.
Community Investors Bancorp, Inc.
Capital Bancorp, Inc.
Cache Valley Banking Company
Citizens Bancorp
Tennessee Valley Financial Holdings, Inc.
Pacific Coast Bankers' Bancshares
SunTrust Banks, Inc.
The PNC Financial Services Group Inc.

Kinston
Los Angeles
South Hill
Chula Vista
Dayton
Arlington
Green Bay
Memphis
Palm Desert
Bucyrus
Rockville
Logan
Nevada City
Oak Ridge
San Francisco
Atlanta
Pittsburgh

NC
CA
VA
CA
OH
MA
WI
TN
CA
OH
MD
UT
CA
TN
CA
GA
PA

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
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
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
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

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

7,500,000
4,060,000
3,000,000
1,800,000
2,000,000
5,830,000
14,964,000
13,795,000
7,290,000
2,600,000
4,700,000
4,767,000
10,400,000
3,000,000
11,600,000
1,350,000,000
7,579,200,000

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

4
4
155

4

0
2,258,000

Preferred Stock 2
Preferred Stock 2
Preferred Stock 2

-

P
P
R
P

N/A

$
$
$
$

1,301,856
326,576
319,659
335,417

2, 7

P $

192,102

2, 7

4

$

5,500,000

$

0

N/A

N/A

N/A

10/31/2012

143

$

7,285,410

$

0

Preferred Stock 2

10/31/2012

Preferred Stock

2,7

R $

371,250

7/28/2011
9/1/2011
8/3/2011
11/24/2010
9/1/2011
11/24/2009
6/8/2011
8/18/2011

49

$
$
$
$
$
$
$
$

3,000,000
1,800,000
2,000,000
5,830,000
14,964,000
3,455,000
3,455,000
6,885,000

$
$
$
$
$
$
$
$

Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2

7/28/2011
9/1/2011
8/3/2011
11/24/2010
9/1/2011

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

2, 7

R
R
R
R
R

$
$
$
$
$

150,000
90,000
100,000
292,000
748,000

8/18/2011

Preferred Stock

2, 7

R $

690,000

12/20/2012
12/30/2010
7/14/2011

189

$
$
$

2,445,000
4,700,000
4,767,000

$
$
$

0
0
0

Preferred Stock 2
2
Preferred Stock
Preferred Stock 2

12/20/2012
12/30/2010
7/14/2011

Preferred Stock
Preferred Stock
Preferred Stock

2, 7

P $
R $
R $

105,000
235,000
238,000

4/29/2013
7/28/2011
3/30/2011
2/10/2010

238

$
$
$
$

3,041,330
11,600,000
1,350,000,000
7,579,200,000

$
$
$
$

0
0
0
0

Preferred Stock 2
Preferred Stock 2
Warrants
Warrants

4/29/2013
7/28/2011
9/22/2011
4/29/2010

Preferred Stock
Preferred Stock
Warrants
Warrants

2, 7

49
4
4
49
4
4
49

4
49

50
4
4

0
0
0
0
0
10,340,000
6,885,000
0

-

2, 7
2, 7
2, 7
2, 7

2, 7
2, 7

2, 7

P
R
A
A

N/A

$
$
$
$

144,142
580,000
15,996,899
320,277,984

39

Footnote

Seller

Purchase Date
31 9/30/2010
16
2
1a, 1b
87 06/13/2012

209
50
239
49
49
215
2, 223
2
2, 49
2, 49
2, 152
3
2, 49
2
2
2
2
2, 49
2, 50

3,408,000,000

$

0

Warrants

3/16/2011

Warrants

R $

280,025,936

Par
Par
Par
Par
Par

2/8/2010
6/29/2011

16

$
$

0
36,000,000

$
$

0
0

N/A
Warrants

N/A
8/31/2011

N/A
Warrants

R $

N/A
700,000

12/9/2009
4/22/2009

4

$
$

10,000,000,000
125,000,000

$
$

0
0

Warrants
Warrants

3/3/2010
5/27/2009

Warrants
Warrants

A $
R $

122,365,216
5,025,000

Par

6/13/2012

87

$

21,863,750

$

0

Warrants

7/18/2012

Warrants

R $

75,000

1/6/2010

4

$

7,172,000

$

21,513,000

3/2/2011

4

$

7,172,000

$

14,341,000

4/4/2012

Warrants

R $

110,000

1/11/2012
10/7/2009

4

$
$

14,341,000
5,000,000

$
$

8/24/2011

4

$

12,500,000

$

12,500,000

3/27/2013

4

$

2,500,000

$

10,000,000

5/8/2013
4/8/2009

4

$
$

10,000,000
89,310,000

$
$

5/27/2009

Warrants

R $

2,100,000

7/29/2009

Warrants

R $

340,000,000

6/12/2013

Warrants

P $

751,888

6/12/2013
5/27/2009
N/A
11/18/2011
12/7/2011
11/18/2011

Warrants
Warrants
N/A
Warrants
Warrants
Warrants

P $
R $
P $
R $
P $

810,000
2,200,000
N/A
602,557
245,000
690,100

1/11/2012
4/19/2013
11/18/2011

Warrants
Warrants
Warrants

R $
R $
P $

600,000
1,800,000
924,462

Preferred Stock 2
Preferred Stock 2

9/28/2011
11/18/2011
N/A
11/16/2011
3/11/2013
11/2/2011
9/15/2011
7/14/2011
11/13/2012
N/A
8/18/2011
12/29/2010

Warrants
Warrants
N/A
Warrants
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
N/A
Preferred Stock
Preferred Stock

Preferred Stock 2
Preferred Stock 2

7/6/2011
9/8/2011

Preferred Stock
Preferred Stock

Par

12/31/2008

Hampton Roads Bankshares, Inc.

Norfolk

VA

Common Stock w/ Warrants

$

80,347,000

Par

12/31/2008
12/31/2008
12/31/2008
1/9/2009
1/9/2009

CIT Group Inc.
West Bancorporation, Inc.
First Banks, Inc.
Bank of America Corporation
FirstMerit Corporation

New York
West Des Moines
Clayton
Charlotte
Akron

NY
IA
MO
NC
OH

Contingent Value Rights
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$
$
$
$

2,330,000,000
36,000,000
295,400,000
10,000,000,000
125,000,000

Farmers Capital Bank Corporation

Frankfort

KY

Preferred Stock w/ Warrants

$

30,000,000

1/9/2009

1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009

Commerce National Bank

The First Bancorp, Inc.

Sun Bancorp, Inc.
Crescent Financial Bancshares, Inc.
(Crescent Financial Corporation)
American Express Company
Central Pacific Financial Corp.
Centrue Financial Corporation
Eastern Virginia Bankshares, Inc.
Colony Bankcorp, Inc.
Independent Bank Corp.
Cadence Financial Corporation
LCNB Corp.
Center Bancorp, Inc.
F.N.B. Corporation

Gladstone

Newport Beach

Damariscotta

NJ

CA

ME

Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

$

$

$

28,685,000

5,000,000

25,000,000

Par

Par

Par

Vineland

NJ

Preferred Stock w/ Warrants

$

89,310,000

Par

Raleigh

NC

Preferred Stock w/ Warrants

$

24,900,000

Par

New York

NY

Preferred Stock w/ Warrants

$

3,388,890,000

Par

Honolulu
St. Louis
Tappahannock
Fitzgerald
Rockland
Starkville
Lebanon
Union
Hermitage

HI
MO
VA
GA
MA
MS
OH
NJ
PA

Common Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$
$
$
$
$
$
$
$

135,000,000
32,668,000
24,000,000
28,000,000
78,158,000
44,000,000
13,400,000
10,000,000
100,000,000

Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description

$

3,408,000,000

Peapack-Gladstone Financial Corporation

Final
Disposition
Date

4

$

1/9/2009

Capital
Repayment Date
2/2/2011

Preferred Stock w/ Warrants

1/9/2009

49

Investment Amount

OH

1/9/2009

33

State

Cincinnati

1/9/2009

199

City

Pricing
Mechanism

Fifth Third Bancorp

1/9/2009

37, 46 3/29/2012

Name of Institution

Capital Repayment
Amount 6

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

Capital Repayment Details

12/31/2008

1/9/2009

65 11/15/2011

Purchase Details

4

4

4

4

0
0

0
0

6/17/2009

4

$

3,388,890,000

$

6/17/2011

46

$

35,883,281

$

3/29/2012

46

$

36,039,222

$

0

Warrants

2/7/2013
4/22/2009
3/4/2011
10/21/2009
9/15/2011
9/9/2009

199

$
$
$
$
$
$

21,680,089
78,158,000
38,000,000
13,400,000
10,000,000
100,000,000

$
$
$
$
$
$

0
0
0
0
0
0

Warrants
Warrants
N/A
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants

0
99,116,719

Par
Par
Par
Par
Par
Par
Par
Par
Par

1/9/2009

C&F Financial Corporation

West Point

VA

Preferred Stock w/ Warrants

$

20,000,000

Par

1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009

North Central Bancshares, Inc.
Carolina Bank Holdings, Inc.
First Bancorp
First Financial Service Corporation
Codorus Valley Bancorp, Inc.
MidSouth Bancorp, Inc.
First Security Group, Inc.
Shore Bancshares, Inc.
The Queensborough Company
American State Bancshares, Inc.
Security California Bancorp
Security Business Bancorp
Sound Banking Company
Mission Community Bancorp
Redwood Financial Inc.
Surrey Bancorp
Independence Bank
Valley Community Bank
Rising Sun Bancorp
Community Trust Financial Corporation
GrandSouth Bancorporation

Fort Dodge
Greensboro
Troy
Elizabethtown
York
Lafayette
Chattanooga
Easton
Louisville
Great Bend
Riverside
San Diego
Morehead City
San Luis Obispo
Redwood Falls
Mount Airy
East Greenwich
Pleasanton
Rising Sun
Ruston
Greenville

IA
NC
NC
KY
PA
LA
TN
MD
GA
KS
CA
CA
NC
CA
MN
NC
RI
CA
MD
LA
SC

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

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

10,200,000
16,000,000
65,000,000
20,000,000
16,500,000
20,000,000
33,000,000
25,000,000
12,000,000
6,000,000
6,815,000
5,803,000
3,070,000
5,116,000
2,995,000
2,000,000
1,065,000
5,500,000
5,983,000
24,000,000
9,000,000

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

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

4
33
4
49
4

Warrants
Common Stock w/
Warrants

7/27/2011

4

$

10,000,000

$

4/11/2012

4

$

10,000,000

$

0

Warrants

12/14/2011
2/20/2013
9/1/2011
4/29/2013
8/18/2011
8/25/2011
4/11/2013
4/15/2009
3/11/2013
11/2/2011
9/15/2011
7/14/2011
11/13/2012
12/28/2011
8/18/2011
12/29/2010

4

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

10,200,000
14,811,984
65,000,000
10,733,778
16,500,000
20,000,000
14,912,862
25,000,000
11,605,572
6,000,000
6,815,000
5,803,000
2,807,413
5,116,000
2,995,000
2,000,000

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

0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0

Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
N/A
Warrants

$
$

24,000,000
9,000,000

$
$

0
0

7/6/2011
9/8/2011

209
50
239
49
49
215
4
223
4
49
49
152
4
49
4

49
50

10,000,000

Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
N/A

1b

2, 7
2, 7
2, 7
2, 7
2, 7

2, 7
2, 7

2, 7
2, 7

R
P
R
P
R
R
R
P
R
R

$
$

$
$

526,604
206,557
N/A
25,000
576,774
300,000
341,000
290,000
147,918
N/A
150,000
100,000

R $
R $

1,200,000
450,000

$
$
$
$
$
$

40

Footnote

Seller

Name of Institution

Purchase Date
2
2, 140
2

49

233
28 10/07/2011

1/9/2009
1/9/2009
1/9/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009

City

State

Investment Amount

Pricing
Mechanism

Capital
Repayment Date
5/19/2010
10/31/2012

Jacksonville
Cayce
New York
Conway
Oak Harbor
Newport
Bar Harbor
Bernardsville
Columbia
Indiana

TX
SC
NY
AR
WA
NH
ME
NJ
SC
PA

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

$
$
$
$
$
$
$
$
$
$

3,981,000
3,285,000
267,274,000
50,000,000
26,380,000
10,000,000
18,751,000
7,414,000
64,779,000
108,676,000

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

Raleigh

NC

Preferred Stock w/ Warrants

$

17,949,000

Par

1/16/2009

First BanCorp

San Juan

PR

Common Stock w/ Warrants

$

424,174,000

Par

1/16/2009

Texas Capital Bancshares, Inc.
Yadkin Financial Corporation (Yadkin Valley
Financial Corporation)

Dallas

TX

Preferred Stock w/ Warrants

$

75,000,000

Par

1/16/2009

0
0

Preferred Stock 2
2
Preferred Stock

5/19/2010
10/31/2012

Preferred Stock
Preferred Stock

4
4

$
$
$
$
$
$
$

50,000,000
26,380,000
10,000,000
18,751,000
7,414,000
64,779,000
108,676,000

$
$
$
$
$
$
$

0
0
0
0
0
0
0

Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants

7/27/2011
3/2/2011
2/15/2012
7/28/2010
6/24/2009
6/24/2009
6/12/2013

Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants

49
5
4
4
4

2, 7
2,7

9

9

R $
R $
R
R
R
R
R
R
P

199,000
106,364

$
$
$
$
$
$
$

1,300,000
1,625,000
737,100
250,000
275,000
1,400,000
527,361

5/13/2009

4

$

75,000,000

$

0

Warrants

3/11/2010

Warrants

A $

6,559,066

$

31,843,080

$

0

Warrants

6/12/2013

Warrants

P $

20,000

N/A

$

36,000,000

Par

9/12/2012

Carver Bancorp, Inc

New York

NY

Preferred Stock

$

18,980,000

Par

8/27/2010

4

$

18,980,000

$

0

N/A

N/A

1/16/2009

Citizens & Northern Corporation

Wellsboro

PA

Preferred Stock w/ Warrants

$

26,440,000

Par

8/4/2010

4

$

26,440,000

$

0

Warrants

9/1/2010

Warrants

R $

400,000

1/16/2009

MainSource Financial Group, Inc.

Greensburg

IN

Preferred Stock w/ Warrants

$

57,000,000

Par

3/28/2012

78

$

52,277,171

$

0

Warrants

6/12/2013

Warrants

P $

1,512,177

1/16/2009

MetroCorp Bancshares, Inc.

Houston

TX

Preferred Stock w/ Warrants

$

45,000,000

Par

6/27/2012

95

$

43,490,360

$

0

Warrants

6/12/2013

Warrants

P $

2,087,368

6/13/2012

91

$

16,750,221

$

0

Warrants

7/18/2012

Warrants

R $

38,000

3/11/2013

224

$

24,438,021

$

Preferred Stock w/
Warrants

6/12/2013

Warrants

P $

106,891

3/27/2013

227

$

1,109,298

$

0

Warrants
R $

1,100,000

R $
R $

430,797
128,000

R $
R $

750,000
500,000
N/A

-

N/A

1/16/2009

1/16/2009

159

$
$

Preferred Stock w/ Warrants

United Bancorp, Inc.

Tecumseh

MI

Preferred Stock w/ Warrants

$

20,600,000

Par

224, 227

2
2
3, 30 8/6/2010
2
2, 36

3,981,000
2,685,979

NC

1/16/2009

2, 201
2, 179
2, 162
2

$
$

Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description

Elkin

3, 30 8/27/2010

2
2
2
2, 50
2, 19
3, 30 9/29/2010
2, 49
2
2
2, 49
2, 49

7/6/2011
1/12/2011
8/25/2011
2/24/2010
5/20/2009
5/20/2009
12/7/2011

4
140

Final
Disposition
Date

124

1/16/2009

96 6/27/2012

Capital Repayment
Amount 6

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

Capital Repayment Details

Texas National Bancorporation
Congaree Bancshares, Inc.
New York Private Bank & Trust Corporation
Home Bancshares, Inc.
Washington Banking Company
New Hampshire Thrift Bancshares, Inc.
Bar Harbor Bankshares
Somerset Hills Bancorp
SCBT Financial Corporation
S&T Bancorp
Crescent Financial Bancshares, Inc.
(ECB Bancorp, Inc.)

124

78 3/28/2012
95 6/27/2012
91 06/13/2012

Purchase Details

Old Second Bancorp, Inc.

Aurora

IL

Preferred Stock w/ Warrants

$

73,000,000

2,972,000

Par

-

N/A

1/16/2009

Pulaski Financial Corp

Creve Coeur

MO

Preferred Stock w/ Warrants

$

32,538,000

Par

6/27/2012

96

$

28,460,338

$

0

Warrants

8/8/2012

Warrants

1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009
1/16/2009

OceanFirst Financial Corp.
Community 1st Bank
TCB Holding Company, Texas Community Bank
Centra Financial Holdings, Inc.
First Bankers Trustshares, Inc.
Pacific Coast National Bancorp

Toms River
Roseville
The Woodlands
Morgantown
Quincy
San Clemente

NJ
CA
TX
WV
IL
CA

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

$
$
$
$
$
$

38,263,000
2,550,000
11,730,000
15,000,000
10,000,000
4,120,000

Par
Par
Par
Par
Par
Par

12/30/2009
12/19/2012

5

$
$

38,263,000
2,550,000

$
$

0
0

Warrants
Preferred Stock 2

2/3/2010
12/19/2012

Warrants
Preferred Stock

$
$
$

15,000,000
10,000,000
0

$
$
$

0
0
0

Preferred Stock 2
Preferred Stock 2
N/A

4/15/2009
9/8/2011
N/A

Preferred Stock
Preferred Stock
N/A

1/16/2009

Community Bank of the Bay

Oakland

CA

Preferred Stock

$

1,747,000

Par

9/29/2010

4

$

1,747,000

$

0

N/A

N/A

N/A

1/16/2009
1/16/2009
1/16/2009
1/16/2009

Redwood Capital Bancorp
Syringa Bancorp
Idaho Bancorp
Puget Sound Bank

Eureka
Boise
Boise
Bellevue

CA
ID
ID
WA

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

$
$
$
$

3,800,000
8,000,000
6,900,000
4,500,000

Par
Par
Par
Par

7/21/2011

49

$

3,800,000

$

0

Preferred Stock 2

7/21/2011

Preferred Stock

2, 7

R $

190,000

8/11/2011
12/15/2010
9/15/2011
2/8/2013
12/11/2012
11/30/2012
8/12/2009
6/29/2011

49

$
$
$
$
$
$
$
$

4,500,000
3,000,000
2,658,000
79,903,245
13,399,227
2,477,000
12,500,000
37,500,000

$
$
$
$
$
$
$
$

Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2

8/11/2011

Preferred Stock

2, 7

R $

225,000

2,7

R $

283,000

P $
P $
P $

4,925,417
858,478
100,100
2,500,000

1/16/2009

United Financial Banking Companies, Inc.

Vienna

VA

Preferred Stock w/ Exercised Warrants

$

5,658,000

Par

1/16/2009
1/16/2009
1/16/2009

Dickinson Financial Corporation II
The Baraboo Bancorporation
Bank of Commerce

Kansas City
Baraboo
Charlotte

MO
WI
NC

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

$
$
$

146,053,000
20,749,000
3,000,000

Par
Par
Par

1/16/2009

State Bankshares, Inc.

Fargo

ND

1/16/2009
1/16/2009

BNCCORP, Inc.
First Manitowoc Bancorp, Inc.

Bismarck
Manitowoc

ND
WI

1/16/2009

Southern Bancorp, Inc.

Arkadelphia

1/16/2009

Morrill Bancshares, Inc.

Merriam

Preferred Stock w/ Exercised Warrants

3/31/2009
9/8/2011
2/11/2010

4

4
50
19

4
49

162
4

0
2,658,000
0
0
0
0
37,500,000
0

9/15/2011

Preferred Stock

6/29/2011

Preferred Stock

2, 7

R $

2, 7

R $

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

$
$

20,093,000
12,000,000

Par
Par

5/27/2009

4

$

12,000,000

$

0

Preferred Stock 2

5/27/2009

Preferred Stock

AR

Preferred Stock

$

11,000,000

Par

8/6/2010

4

$

11,000,000

$

0

N/A

N/A

N/A

KS

Preferred Stock w/ Exercised Warrants

$

13,000,000

Par

7/20/2011
2/15/2011
12/21/2012
12/29/2010

4

$
$
$
$

13,000,000
500,000
150,000
111,000,000

$
$
$
$

0
0
0
0

Preferred Stock 2
Warrants
N/A
Warrants

7/20/2011

Preferred Stock

3/9/2011

Warrants

Austin

TX

Warrants

$

3,268,000

Par

1/23/2009
1/23/2009
1/23/2009

1st Source Corporation
Princeton National Bancorp, Inc.
AB&T Financial Corporation

South Bend
Princeton
Gastonia

IN
IL
NC

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

$
$
$

111,000,000
25,083,000
3,500,000

Par
Par
Par

36
4

2, 7

2, 7

Par

Treaty Oak Bancorp, Inc.

2, 7

Preferred Stock
Preferred Stock
Preferred Stock

50,000,000

1/16/2009

2, 7

2/8/2013
12/11/2012
11/30/2012

$

36

9

2, 7
2, 7

2, 7

600,000
N/A

R $

650,000

R $

3,750,000

41

Footnote

Seller

Purchase Date
94 6/27/2012
79 3/28/2012
2
2, 13 12/4/2009,
153

Purchase Details

Name of Institution

City

State

Capital Repayment
Amount 6

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

Capital Repayment Details

Investment Amount

Pricing
Mechanism

Capital
Repayment Date

Final
Disposition
Date

Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description

1/23/2009

First Citizens Banc Corp

Sandusky

OH

Preferred Stock w/ Warrants

$

23,184,000

Par

6/27/2012

94

$

20,689,633

$

0

Warrants

9/5/2012

Warrants

R $

563,174

1/23/2009

WSFS Financial Corporation

Wilmington

DE

Preferred Stock w/ Warrants

$

52,625,000

Par

3/28/2012

79

$

47,435,299

$

0

Warrants

9/12/2012

Warrants

R $

1,800,000

1/23/2009

Commonwealth Business Bank

Los Angeles

CA

Preferred Stock w/ Exercised Warrants

$

7,701,000

Par

1/23/2009

Three Shores Bancorporation, Inc. (Seaside
National Bank & Trust)

Orlando

FL

Preferred Stock w/ Exercised Warrants

$

5,677,000

Par

11/9/2012

153

$

4,992,788

$

0

Preferred Stock 2

11/9/2012

Preferred Stock

2, 7

P $

282,285

2

1/23/2009

CalWest Bancorp

2
2
2
2
2

1/23/2009
1/23/2009
1/23/2009
1/23/2009

Fresno First Bank
First ULB Corp.
Alarion Financial Services, Inc.
Midland States Bancorp, Inc.

11/1/2012
4/22/2009

49

$
$

1,968,000
4,900,000

$
$

0
0

Preferred Stock 2
Preferred Stock 2

11/1/2012
4/22/2009

Preferred Stock
Preferred Stock

2, 7

R $
R $

98,000
245,000

4

509,000

Preferred Stock w/ Exercised Warrants

$

6,216,000

Par

12/5/2012

Preferred Stock

2, 7

R $

311,000

2
2
2, 51
2
2, 50
2
2, 49
2, 49
2

1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009
1/23/2009

Farmers Bank
California Oaks State Bank
Pierce County Bancorp
Calvert Financial Corporation
Liberty Bancshares, Inc.
Crosstown Holding Company
BankFirst Capital Corporation
Southern Illinois Bancorp, Inc.

Windsor
Thousand Oaks
Tacoma
Ashland
Jonesboro
Blaine
Macon
Carmi

VA
CA
WA
MO
AR
MN
MS
IL

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

$
$
$
$
$
$
$
$

8,752,000
3,300,000
6,800,000
1,037,000
57,500,000
10,650,000
15,500,000
5,000,000

Par
Par
Par
Par
Par
Par
Par
Par

Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2

R $

TN

$
$
$
$
$

2, 7

Moscow

10,189,000
1,100,000
5,116,000
3,063,000
3,300,000

Preferred Stock

Moscow Bancshares, Inc.

$
$
$
$
$

12/23/2009

1/23/2009

12/23/2009
4/25/2012
12/5/2012
1/9/2013
12/8/2010

12/8/2010

Preferred Stock

2, 7

R $

165,000

7/21/2011

50

$

57,500,000

$

Preferred Stock 2

7/21/2011

Preferred Stock

2, 7

R $

2,875,000

9/8/2011
8/25/2011
12/16/2009
6/16/2010
3/27/2013

49

$
$
$
$
$

15,500,000
5,000,000
1,000,000
2,240,000
1,879,145

$
$
$
$
$

0
0
2,240,000
0
0

9/8/2011
8/25/2011

Preferred Stock
Preferred Stock

2, 7

R $
R $

775,000
250,000

6/16/2010

Preferred Stock

2, 7

R $

162,000

3/27/2013

Preferred Stock

2, 7

P $

139,063

18,000,000

2/15/2012

Warrants

R $

1,200,724

2, 229

Rancho Santa
Margarita
Fresno
Oakland
Ocala
Effingham

CA

Preferred Stock w/ Exercised Warrants

$

4,656,000

Par

CA
CA
FL
IL

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

$
$
$
$

1,968,000
4,900,000
6,514,000
10,189,000

Par
Par
Par
Par

1/23/2009

FPB Financial Corp.

Hammond

LA

Preferred Stock w/ Exercised Warrants

$

3,240,000

Par

1/23/2009

Stonebridge Financial Corp.

West Chester

PA

Preferred Stock w/ Exercised Warrants

$

10,973,000

Par

1/30/2009

Peoples Bancorp Inc.

Marietta

OH

Preferred Stock w/ Warrants

$

39,000,000

Par

49

1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009

Anchor BanCorp Wisconsin Inc.
Parke Bancorp, Inc.
Central Virginia Bankshares, Inc.
Flagstar Bancorp, Inc.
Middleburg Financial Corporation
Peninsula Bank Holding Co.
PrivateBancorp, Inc.
Central Valley Community Bancorp
Plumas Bancorp
Stewardship Financial Corporation
Oak Ridge Financial Services, Inc.
First United Corporation
Community Partners Bancorp

Madison
Sewell
Powhatan
Troy
Middleburg
Palo Alto
Chicago
Fresno
Quincy
Midland Park
Oak Ridge
Oakland
Middletown

WI
NJ
VA
MI
VA
CA
IL
CA
CA
NJ
NC
MD
NJ

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

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

110,000,000
16,288,000
11,385,000
266,657,000
22,000,000
6,000,000
243,815,000
7,000,000
11,949,000
10,000,000
7,700,000
30,000,000
9,000,000

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

241

1/30/2009

Guaranty Federal Bancshares, Inc.

Springfield

MO

Preferred Stock w/ Warrants

$

17,000,000

Par

174
228

5
50
240
49
139

234

49
97 6/27/2012
2
2
2
2, 49
2

4

4
4
4
4

0
5,116,000
0
5,689,000
0

0

2, 7

2/2/2011

4

$

21,000,000

$

12/28/2011

4

$

18,000,000

$

0

Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock w/
Warrants
Warrants

11/29/2012

174

$

11,595,735

$

0

Warrants

6/12/2013

Warrants

P $

1,650,288

3/27/2013
12/23/2009

228

$
$

240,627,277
22,000,000

$
$

0
0

Warrants
Warrants

6/12/2013
11/18/2011

Warrants
Warrants

P $
P $

12,905
301,001

$
$
$
$
$

243,815,000
7,000,000
12,907,297
10,000,000
7,024,595

$
$
$
$
$

0
0
0
0
0

Warrants
Warrants
Warrants
Warrants
Warrants

11/14/2012
9/28/2011
5/22/2013
10/26/2011
2/6/2013

Warrants
Warrants
Warrants
Warrants
Warrants

R
R
R
R
R

$
$
$

9,000,000
5,000,000
11,493,900

$
$
$

0
12,000,000
0

10/26/2011

Warrants

R $

460,000

5/15/2013

Warrants

R $

2,003,250

$

4,076,000

$

4,076,000

10/24/2012
8/18/2011
4/29/2013
9/1/2011
10/31/2012
8/11/2011
6/13/2012
4/29/2013

49
4
4
229

5

5
50
240
49
139

49

2, 7

$
$
$
$
$

1,225,000
185,017
234,500
107,398
122,888

F.N.B. Corporation
(Annapolis Bancorp, Inc.)

Annapolis

3/6/2013

4

$

4,076,000

$

0

Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants

1/30/2009

DNB Financial Corporation

Downingtown

PA

Preferred Stock w/ Warrants

$

11,750,000

Par

8/4/2011

49

$

11,750,000

$

0

Warrants

9/21/2011

Warrants

R $

458,000

1/30/2009

Firstbank Corporation

Alma

MI

Preferred Stock w/ Warrants

$

33,000,000

Par

6/27/2012

97

$

30,587,530

$

0

Warrants

7/18/2012

Warrants

R $

1,946,670

1/30/2009
1/30/2009
1/30/2009
1/30/2009

Valley Commerce Bancorp
Greer Bancshares Incorporated
Ojai Community Bank
Adbanc, Inc

Visalia
Greer
Ojai
Ogallala

CA
SC
CA
NE

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

$
$
$
$

7,700,000
9,993,000
2,080,000
12,720,000

Par
Par
Par
Par

3/21/2012

4

$

7,700,000

$

0

Preferred Stock 2

3/21/2012

Preferred Stock

2, 7

R $

385,000

7/21/2011
7/6/2011
10/19/2011
3/7/2012
6/6/2012
6/27/2012

49

$
$
$
$
$
$

12,720,000
1,500,000
1,500,000
1,500,000
1,200,000
300,000

$
$
$
$
$
$

Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2

7/21/2011

Preferred Stock

2, 7

R $

636,000

6/27/2012

Preferred Stock

2, 7

R $

300,000

1/30/2009

1/30/2009

Beach Business Bank

Manhattan Beach

MD

CA

Preferred Stock w/ Warrants

Preferred Stock w/ Exercised Warrants

$

$

8,152,000

6,000,000

Par

Par

4
241

4/18/2012

4

4
4
4
4
4

0
4,500,000
3,000,000
1,500,000
300,000
0

42

Footnote

Seller

Purchase Date
3, 53
2
2, 169
2, 49
2
2, 49
2
2, 50
2, 50
2
2, 49, 145
2, 13 10/30/2009,
49
2
2
2, 49
2, 49
2, 141
2, 202
2, 50

30 9/29/2010
163
161
3, 30 8/13/2010
2
2
2
2
2, 49
2
3, 30 9/24/2010
2

Purchase Details

Name of Institution

City

State

Investment Amount

Pricing
Mechanism

Capital
Repayment Date

1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009

Legacy Bancorp, Inc.
First Southern Bancorp, Inc.
Country Bank Shares, Inc.
Katahdin Bankshares Corp.
Rogers Bancshares, Inc.
UBT Bancshares, Inc.
Bankers' Bank of the West Bancorp, Inc.
W.T.B. Financial Corporation
AMB Financial Corp.
Goldwater Bank, N.A.
Equity Bancshares, Inc.

Milwaukee
Boca Raton
Milford
Houlton
Little Rock
Marysville
Denver
Spokane
Munster
Scottsdale
Wichita

WI
FL
NE
ME
AR
KS
CO
WA
IN
AZ
KS

Preferred Stock
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
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

$
$
$
$
$
$
$
$
$
$
$

5,498,000
10,900,000
7,525,000
10,449,000
25,000,000
8,950,000
12,639,000
110,000,000
3,674,000
2,568,000
8,750,000

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

1/30/2009

WashingtonFirst Bankshares, Inc.
(WashingtonFirst Bank)

Reston

VA

Preferred Stock w/ Exercised Warrants

$

6,633,000

Par

8/4/2011

1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
1/30/2009
2/6/2009

Central Bancshares, Inc.
Hilltop Community Bancorp, Inc.
Northway Financial, Inc.
Monument Bank
Metro City Bank
F & M Bancshares, Inc.
First Resource Bank
MidWestOne Financial Group, Inc.

Houston
Summit
Berlin
Bethesda
Doraville
Trezevant
Exton
Iowa City

TX
NJ
NH
MD
GA
TN
PA
IA

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

$
$
$
$
$
$
$
$

5,800,000
4,000,000
10,000,000
4,734,000
7,700,000
4,609,000
2,600,000
16,000,000

Par
Par
Par
Par
Par
Par
Par
Par

7/6/2011
4/21/2010
9/15/2011
8/11/2011
10/31/2012
2/7/2013
9/15/2011
7/6/2011

2/6/2009

Lakeland Bancorp, Inc.

Oak Ridge

NJ

Preferred Stock w/ Warrants

$

59,000,000

Par

2/6/2009

Monarch Community Bancorp, Inc.

Coldwater

MI

Preferred Stock w/ Warrants

$

6,785,000

Par

2/6/2009

The First Bancshares, Inc.

Hattiesburg

MS

Preferred Stock w/ Warrants

$

5,000,000

Par

2/6/2009
2/6/2009

Carolina Trust Bank
Alaska Pacific Bancshares, Inc.

Lincolnton
Juneau

2/6/2009

PGB Holdings, Inc.

Chicago

2/6/2009

The Freeport State Bank

2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009

4

6/16/2010
11/29/2012
8/18/2011

169

$
$
$

10,900,000
6,838,126
10,449,000

$
$
$

0
0
0

Preferred Stock
Preferred Stock 2
Preferred Stock 2

6/16/2010
11/29/2012
8/18/2011

Preferred Stock
Preferred Stock
Preferred Stock

2, 7

8/11/2011

49

9/15/2011
9/22/2011

50

8/11/2011

49

49

$

8,950,000

$

0

Preferred Stock 2

8/11/2011

Preferred Stock

2

8,750,000

$

0

Preferred Stock 2

8/11/2011

Preferred Stock

2, 7

R $

438,000

49

$

6,633,000

$

0

Preferred Stock

8/4/2011

Preferred Stock

2, 7

R $

332,000

4

$
$
$
$
$
$
$
$

5,800,000
4,000,000
10,000,000
4,734,000
6,861,462
4,300,543
2,600,000
16,000,000

$
$
$
$
$
$
$
$

0
0
0
0
0
0
0
0

7/6/2011
4/21/2010
9/15/2011
8/11/2011
1031/2012
2/7/2013
9/15/2011
7/27/2011

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Warrants

2, 7

R
R
R
R
R
P
R
R

2/29/2012

6/12/2013

4
49
49
141
202
50
4

0

$

0

Warrants

$
$

0
0

Warrants
Warrants

$

20,000,000

$

39,000,000

3/16/2011

4

$

20,000,000

$

19,000,000

2/8/2012

4

$

19,000,000

$

4

$

5,000,000

163

$
$

3,362,000
4,217,568

3,000,000

Par

8/13/2010

4

$

3,000,000

$

Harper

KS

Preferred Stock w/ Exercised Warrants

$

301,000

Par

4

Stockmens Financial Corporation

Rapid City

SD

$

15,568,000

Par

12/19/2012
1/14/2011
3/16/2011

$
$
$

301,000
4,000,000
11,568,000

$
$
$

US Metro Bank
First Express of Nebraska, Inc.
Mercantile Capital Corp.
Citizens Commerce Bancshares, Inc.

Garden Grove
Gering
Boston
Versailles

CA
NE
MA
KY

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

$
$
$
$

2,861,000
5,000,000
3,500,000
6,300,000

Par
Par
Par
Par

2/15/2012
8/4/2011

$
$

5,000,000
3,500,000

$
$

2/6/2009

Liberty Financial Services, Inc.

New Orleans

LA

Preferred Stock

$

5,645,000

Par

9/24/2010

4

$

5,645,000

2/6/2009

Lone Star Bank
Union First Market Bankshares Corporation
(First Market Bank, FSB)
Banner County Ban Corporation
Centrix Bank & Trust
Todd Bancshares, Inc.
Georgia Commerce Bancshares, Inc.
First Bank of Charleston, Inc.
F & M Financial Corporation
The Bank of Currituck
CedarStone Bank
Community Bancshares of Mississippi, Inc.
(Community Holding Company of Florida, Inc.)
Hyperion Bank
Pascack Bancorp, Inc.
(Pascack Community Bank)

Houston

TX

Preferred Stock w/ Exercised Warrants

$

3,072,000

Par

Bowling Green

VA

Preferred Stock

$

33,900,000

Par

12/7/2011

4

$

Harrisburg
Bedford
Hopkinsville
Atlanta
Charleston
Salisbury
Moyock
Lebanon

NE
NH
KY
GA
WV
NC
NC
TN

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

$
$
$
$
$
$
$
$

795,000
7,500,000
4,000,000
8,700,000
3,345,000
17,000,000
4,021,000
3,564,000

Par
Par
Par
Par
Par
Par
Par
Par

7/28/2011
7/28/2011

49

$
$

Brandon

MS

Preferred Stock w/ Exercised Warrants

$

1,050,000

Par

11/30/2012

166

$

983,800

First Western Financial, Inc.

2/6/2009

2, 105, 250

2/6/2009

2/6/2009

161

4
4

4
49

49

4
50
126
34

2

Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants

$

2, 192
2, 13 2/10/2010

5,500,000
184,000

$

Preferred Stock

2/6/2009

R $
R $

Preferred Stock
Preferred Stock

IL

2, 101, 166

450,000

9/15/2011
9/22/2011

4

2/16/2011
7/21/2011
9/12/2012
12/3/2010

R $

Preferred Stock
Preferred Stock 2

11/30/2012
11/29/2012

2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009
2/6/2009

2, 7

2, 7

0
0

Par
Par

2/6/2009

545,000
372,240
522,000

$
$

4,000,000
4,781,000

18

R $
P $
R $

2, 7

110,000,000
3,674,000

$
$

Preferred Stock w/ Exercised Warrants

2

Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description

$
$

50

8/4/2010

9/29/2010

Final
Disposition
Date

2, 7

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

2, 49
2, 49
2
2
2, 50
2, 126
2, 34
2

NC
AK

Capital Repayment
Amount 6

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

Capital Repayment Details

0

2, 7

$
$
$
$
$
$
$
$

290,000
200,000
500,000
237,000
369,948
222,008
130,000
1,000,000

Warrants

R $

2,800,000

Warrants

P $

19,132

2, 7
2, 7
2, 7
2,7
2,7
2, 7

N/A

N/A

N/A

Preferred Stock 2
Preferred Stock 2
Preferred Stock 2

12/19/2012

Preferred Stock

2, 7

R $

15,000

3/16/2011

Preferred Stock

2, 7

R $

778,000

0
0

Preferred Stock 2
Preferred Stock 2

2/15/2012
8/4/2011

Preferred Stock
Preferred Stock

2, 7

R $
R $

250,000
175,000

$

0

N/A

N/A

N/A

35,595,000

$

0

N/A

N/A

N/A

795,000
7,500,000

$
$

0
0

Preferred Stock 2
Preferred Stock 2

7/28/2011
7/28/2011

Preferred Stock
Preferred Stock

2, 7

$
$
$
$

8,700,000
3,345,000
15,988,500
1,742,850

$
$
$
$

0
0
0
0

Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
N/A

2/16/2011
7/21/2011
9/12/2012
N/A

Preferred Stock
Preferred Stock
Preferred Stock
N/A

2, 7

$

977,750

$

0

Preferred Stock 2

11/30/2012

Preferred Stock

$

0

Preferred Stock

2

12/20/2012

0
11,568,000
0

-

2, 7

N/A

-

N/A

-

N/A

R $
R $

40,000
375,000

R $
R $
P $
-

435,000
167,000
775,274
N/A

2, 7

P $

25,000

Preferred Stock

2, 7

P $

25,700

2, 7

R $

188,000

P $

351,052

Philadelphia

PA

Preferred Stock w/ Exercised Warrants

$

1,552,000

Par

12/20/2012

192

Westwood

NJ

Preferred Stock w/ Exercised Warrants

$

3,756,000

Par

10/19/2011

4

$

3,756,000

$

0

Preferred Stock 2

10/19/2011

Preferred Stock

Denver

CO

Preferred Stock w/ Exercised Warrants

$

8,559,000

Par

6/24/2013

250

$

7,647,253

$

0

Preferred Stock 2

7/27/2012

Preferred Stock

2, 7

2, 7
2, 7
34

2, 7,
105

43

Footnote

Seller

Purchase Date
49

2/13/2009
2/13/2009

2/13/2009
186
58 10/21/2011
2, 49
2, 49
2
2, 185

Purchase Details

Name of Institution
QCR Holdings, Inc.
Westamerica Bancorporation

The Bank of Kentucky Financial Corporation

City
Moline
San Rafael

Crestview Hills

State
IL
CA

KY

Investment Amount
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

Preferred Stock w/ Warrants

$
$

$

38,237,000
83,726,000

11/18/2011

Warrants

P $

878,256

34,000,000

5/29/2013

Warrants

R $

2,150,649

N/A
4/19/2013

N/A
Warrants

R $

N/A
213,594

R $
R $

240,000
220,000

P $

93,245

R $

750,000

P $
P $
R $

46,412
3,960
250,000

$

38,237,000

$

9/2/2009

4

$

41,863,000

$

11/18/2009

4

$

41,863,000

$

12/22/2010

4

$

17,000,000

$

11/23/2011
4/9/2013
4/19/2013

4

$
$
$

17,000,000
41,400,000
9,201,000

$
$
$

0
0
0

Warrants
Preferred Stock w/
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
N/A
Warrants

$
$

4,797,000
4,400,000

$
$

0
0

Preferred Stock 2
Preferred Stock 2

9/15/2011
9/1/2011

Preferred Stock
Preferred Stock

$

1,465,497

$

0

Preferred Stock 2

12/11/2012

Preferred Stock

Par

Par

2/13/2009
2/13/2009

PremierWest Bancorp
Carrollton Bancorp

Medford
Baltimore

OR
MD

Preferred Stock w/ Warrants
Preferred Stock w/ Warrants

$
$

41,400,000
9,201,000

Par
Par

2/13/2009

FNB United Corp.

Asheboro

NC

Common Stock w/ Warrants

$

51,500,000

Par

2/13/2009
2/13/2009
2/13/2009
2/13/2009

First Menasha Bancshares, Inc.
1st Enterprise Bank
DeSoto County Bank
Security Bancshares of Pulaski County, Inc.

Neenah
Los Angeles
Horn Lake
Waynesville

WI
CA
MS
MO

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

$
$
$
$

4,797,000
4,400,000
1,173,000
2,152,000

Par
Par
Par
Par

9/15/2011
9/1/2011

186
4

49
49

12/11/2012

0
41,863,000
0
17,000,000

2, 7
2, 7

2, 7
2, 7,

Greenwood

MS

Preferred Stock w/ Exercised Warrants

$

15,000,000

Par

9/29/2010

BankGreenville
Corning Savings and Loan Association
Financial Security Corporation
ColoEast Bankshares, Inc.
Santa Clara Valley Bank, N.A.
Reliance Bancshares, Inc.
Regional Bankshares, Inc.
Peoples Bancorp

Greenville
Corning
Basin
Lamar
Santa Paula
Frontenac
Hartsville
Lynden

SC
AR
WY
CO
CA
MO
SC
WA

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

$
$
$
$
$
$
$
$

1,000,000
638,000
5,000,000
10,000,000
2,900,000
40,000,000
1,500,000
18,000,000

Par
Par
Par
Par
Par
Par
Par
Par

4

$

15,000,000

$

9/29/2010

Preferred Stock

11/9/2012
11/30/2012
7/21/2011

147

$
$
$

891,000
523,680
5,000,000

$
$
$

0
0
0

Preferred Stock 2
Preferred Stock 2
Preferred Stock 2

11/9/2012
11/30/2012
7/21/2011

Preferred Stock
Preferred Stock
Preferred Stock

2, 7

3/11/2013

221

$

2,440,029

$

0

Preferred Stock 2

3/11/2013

Preferred Stock

2, 7

P $

98,251

11/9/2012
8/3/2011

151

$
$

1,362,500
18,000,000

$
$

0
0

Preferred Stock 2
Preferred Stock 2

11/9/2012
8/3/2011

Preferred Stock
Preferred Stock

2, 7

P $
R $

74,250
900,000

R $

110,000

168
50

62

0

Preferred Stock

2

30a

2, 7
2, 7

2, 7
2, 7,

2/13/2009

First Choice Bank

Cerritos

CA

Preferred Stock w/ Exercised Warrants

$

2,200,000

Par

2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/20/2009

Gregg Bancshares, Inc.
Hometown Bancshares, Inc.
Midwest Regional Bancorp, Inc.
Bern Bancshares, Inc.
Northwest Bancorporation, Inc.
Liberty Bancshares, Inc.
F&M Financial Corporation
Meridian Bank
Northwest Commercial Bank
Royal Bancshares of Pennsylvania, Inc.

Ozark
Corbin
Festus
Bern
Spokane
Springfield
Clarksville
Devon
Lakewood
Narberth

MO
KY
MO
KS
WA
MO
TN
PA
WA
PA

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
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/ Warrants
Trust Preferred Securities
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants

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

825,000
1,900,000
700,000
985,000
10,500,000
21,900,000
17,243,000
6,200,000
1,992,000
30,407,000
69,600,000
46,400,000
17,211,000
8,653,000
6,920,000
5,450,000

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

2/20/2009

First Merchants Corporation

Muncie

IN

2/20/2009
2/20/2009
2/20/2009
2/20/2009

Northern States Financial Corporation
Sonoma Valley Bancorp
Guaranty Bancorp, Inc.
The Private Bank of California

Waukegan
Sonoma
Woodsville
Los Angeles

IL
CA
NH
CA

9/24/2010

11/30/2012
11/10/2009
9/1/2011
3/11/2013
8/18/2011
9/12/2012

4

171
4
49
220
50
127

$

2,200,000

$

0

N/A

9/24/2010

Preferred Stock

$
$
$
$
$
$

1,766,510
700,000
985,000
10,728,783
21,900,000
13,443,074

$
$
$
$
$
$

0
0
0
0
0
0

Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2

11/30/2012
11/10/2009
9/1/2011
3/11/2013
8/18/2011
9/12/2012

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

2, 7

2. 7

1/9/2013

4

$

1,992,000

$

0

Preferred Stock 2

1/9/2013

Preferred Stock

9/22/2011
9/22/2011

50

$
$

69,600,000
46,400,000

$
$

0
0

Warrants

11/18/2011

Warrants

9/15/2011
9/1/2011

50

$
$

6,920,000
5,450,000

$
$

0
0

Preferred Stock 2
Preferred Stock 2

9/15/2011
9/1/2011

Preferred Stock
Preferred Stock

49

49

30a

2, 7
2, 7
2, 7
2, 7
2, 7

2, 7
2, 7

P
R
R
P
R
P

$
$
$
$
$
$

70,095
35,000
50,000
587,635
1,095,000
742,441

R $

100,000

P $

367,500

R $
R $

346,000
273,000

R $

100,000

P $
R $

224,717
500,000

R $
P $

625,000
115,861

2, 7,

2, 30 9/29/2010

2/20/2009

Lafayette Bancorp, Inc.

Oxford

MS

Preferred Stock w/ Exercised Warrants

$

1,998,000

Par

9/29/2010

4

2
2
2
2
2, 203
2
2
2
2, 49
2, 164

2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009
2/20/2009

Liberty Shares, Inc.
White River Bancshares Company
United American Bank
Crazy Woman Creek Bancorp, Inc.
First Priority Financial Corp.
Mid-Wisconsin Financial Services, Inc.
Market Bancorporation, Inc.
Hometown Bancorp of Alabama, Inc.
Security State Bancshares, Inc.
CBB Bancorp

Hinesville
Fayetteville
San Mateo
Buffalo
Malvern
Medford
New Market
Oneonta
Charleston
Cartersville

GA
AR
CA
WY
PA
WI
MN
AL
MO
GA

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
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

$
$
$
$
$
$
$
$
$
$

17,280,000
16,800,000
8,700,000
3,100,000
4,579,000
10,000,000
2,060,000
3,250,000
12,500,000
2,644,000

Par
Par
Par
Par
Par
Par
Par
Par
Par
Par

2/8/2013
4/26/2013

203

2, 180
2, 4, 7

1,100,000

49

State Capital Corporation

2, 30 9/29/2010

R $

9/15/2011

2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009

2, 25
2, 50
2, 49

Warrants

Par

2/13/2009

27, 49, 50

11/16/2011

Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description

Capital
Repayment Date

2, 147
2, 168
2, 50
2
2, 221
2
2, 151
2, 62

2, 115
2, 171
2
2, 49
2, 220
2, 50
2, 127
2
2

Final
Disposition
Date

Pricing
Mechanism

2, 30 9/29/2010

2, 30 9/24/2010

Capital Repayment
Amount 6

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

Capital Repayment Details

9/22/2011
11/29/2012

4

49
164

$

1,998,000

$

$
$

4,002,371
10,000,000

$
$

$
$

12,500,000
2,453,094

$
$

Preferred Stock 2

9/29/2010

Preferred Stock

0
0

Preferred Stock 2
Preferred Stock 2

2/8/2013
4/26/2013

Preferred Stock
Preferred Stock

2, 7

0
0

Preferred Stock 2
Preferred Stock 2

9/22/2011
11/29/2012

Preferred Stock
Preferred Stock

2, 7

0

30a

2, 7

2, 7
2, 7,

2/20/2009

BancPlus Corporation

Ridgeland

MS

Preferred Stock w/ Exercised Warrants

$

48,000,000

Par

9/29/2010

2/20/2009

Central Community Corporation

Temple

TX

Preferred Stock w/ Exercised Warrants

$

22,000,000

Par

2/20/2009

First BancTrust Corporation

Paris

IL

Preferred Stock w/ Exercised Warrants

$

7 350 000

Par

12/11/2012
1/18/2012

4

4

$

48,000,000

$

$
$

20,172,636
3,675,000

$
$

0
0
3,675,000

Preferred Stock 2

9/29/2010

Preferred Stock

R $

2,400,000

Preferred Stock 2
Preferred Stock 2

12/11/2012

Preferred Stock

2, 7

P $

1,058,726

10/24/2012

Preferred Stock

2,7

R $

368 000

30a

44

Footnote

Seller

Name of Institution
Purchase Date
2/20/2009
First BancTrust Corporation
2
2, 49
2
30 9/29/2010
98 6/27/2012
14, 57
2
2, 49
2, 49
2, 49
2, 212
2
2, 213
2, 167
2, 49
2
2
2, 135
2

Purchase Details

City
Paris

State
IL Preferred Stock w/ Exercised Warrants

$

Investment Amount
7,350,000

Pricing
Mechanism
Par

Final
Disposition
Date
10/24/2012

Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
R $
Preferred Stock
368,000

9/22/2011
4/13/2011
11/18/2011

Preferred Stock
Preferred Stock
Warrants

10/24/2012

4

$

3,675,000

$

0

Preferred Stock 2

Premier Service Bank
Florida Business BancGroup, Inc.
Hamilton State Bancshares
Lakeland Financial Corporation

Riverside
Tampa
Hoschton
Warsaw

CA
FL
GA
IN

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

$
$
$
$

4,000,000
9,495,000
7,000,000
56,044,000

Par
Par
Par
Par

9/22/2011
4/13/2011
6/9/2010

49

$
$
$

9,495,000
7,000,000
56,044,000

$
$
$

0
0
0

Preferred Stock 2
Preferred Stock 2
Warrants

2/27/2009

First M&F Corporation

Kosciusko

MS

Preferred Stock w/ Warrants

$

30,000,000

Par

9/29/2010

4

$

30,000,000

$

0

Warrants

6/27/2012

98

$

15,403,722

$

0

Warrants

7/25/2012

Warrants

8/4/2011
9/15/2011
9/22/2011
2/20/2013
4/14/2010
2/20/2013
11/30/2012
9/27/2011
9/26/2012
7/14/2010
10/31/2012
11/14/2012
1/23/2013
4/24/2013

49

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

4,797,000
4,000,000
2,260,000
18,318,148
731,000
8,876,677
3,692,560
19,891,000
23,000,000
651,000
6,822,136
800,000
800,000
800,000

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

Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Warrants

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Warrants
Preferred Stock
Preferred Stock

2, 7

Preferred Stock 2
Preferred Stock 2

8/4/2011
9/15/2011
9/22/2011
2/20/2013
4/14/2010
2/20/2013
11/30/2012
9/27/2011
9/26/2012
7/14/2010
10/31/2012

Preferred Stock2

4/24/2013

Preferred Stock

$

2,655,000

$

0

Preferred Stock 2

7/21/2011

2

2/27/2009

Southern First Bancshares, Inc.

Greenville

SC

Preferred Stock w/ Warrants

$

17,299,000

Par

2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009

Integra Bank Corporation
Community First Inc.
BNC Financial Group, Inc.
California Bank of Commerce
Columbine Capital Corp.
National Bancshares, Inc.
First State Bank of Mobeetie
Ridgestone Financial Services, Inc.
Community Business Bank
D.L. Evans Bancorp
TriState Capital Holdings, Inc.
Green City Bancshares, Inc.
First Gothenburg Bancshares, Inc.

Evansville
Columbia
New Canaan
Lafayette
Buena Vista
Bettendorf
Mobeetie
Brookfield
West Sacramento
Burley
Pittsburgh
Green City
Gothenburg

IN
TN
CT
CA
CO
IA
TX
WI
CA
ID
PA
MO
NE

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

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

83,586,000
17,806,000
4,797,000
4,000,000
2,260,000
24,664,000
731,000
10,900,000
3,976,000
19,891,000
23,000,000
651,000
7,570,000

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

Green Circle Investments, Inc.

Clive

IA

Preferred Stock w/ Exercised Warrants

$

2,400,000

Par

2
2, 49
2
2, 49

2/27/2009
2/27/2009
2/27/2009
2/27/2009

Private Bancorporation, Inc.
Regent Capital Corporation
Central Bancorp, Inc.
Medallion Bank

Minneapolis
Nowata
Garland
Salt Lake City

MN
OK
TX
UT

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

$
$
$
$

4,960,000
2,655,000
22,500,000
11,800,000

Par
Par
Par
Par

2, 30 9/29/2010

2/27/2009

PSB Financial Corporation

Many

LA

Preferred Stock w/ Exercised Warrants

$

9,270,000

Par

50
42 5/3/2011
3, 30 8/13/2010
2
2, 49
2
2, 134
2, 219
2, 62
2, 226
2, 137
2, 49
2, 49
2
2, 116
2, 71
2
2

Capital
Repayment Date

2/20/2009
2/20/2009
2/20/2009
2/27/2009

2/27/2009

2, 49
2, 49
2, 50
2, 13 12/4/2009,
49
2, 49
2

Capital Repayment
Amount 6

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

Capital Repayment Details

4
5

49
49
212
4
213
167
49
4
4
135
4
4
4

0
0
0
0
0
0
0
0
0
0
0
1,600,000
800,000
0

7/21/2011

49

7/21/2011

49

$

11,800,000

$

0

Preferred Stock

9/29/2010

4

$

9,270,000

$

0

Preferred Stock 2
2

2, 7

R $
R $
P $

475,000
350,000
877,557

R $

1,100,000

R
R
R
P
R
P
P
R
R
R
R

$
$
$
$
$
$
$
$
$
$
$

240,000
200,000
113,000
845,448
37,000
476,207
167,035
995,000
1,150,000
33,000
362,119

2,7

R $

120,000

Preferred Stock

2, 7

R $

133,000

7/21/2011

Preferred Stock

2, 7

9/29/2010

Preferred Stock

2, 7

2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7

2, 7
2,7

R $

590,000

R $

464,000

R $
R $
R $

370,000
299,000
600,000

2, 7,

2/27/2009
2/27/2009
2/27/2009

Avenue Financial Holdings, Inc.
Howard Bancorp, Inc.
FNB Bancorp

Nashville
Ellicott City
South San Francisco

TN
MD
CA

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

$
$
$

7,400,000
5,983,000
12,000,000

Par
Par
Par

9/15/2011
9/22/2011
9/15/2011

49

2/27/2009

The Victory Bancorp, Inc.
(The Victory Bank)

Limerick

PA

Preferred Stock w/ Exercised Warrants

$

541,000

Par

9/22/2011

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

$
$
$
$

3,000,000
5,222,000
12,895,000
100,000,000

Par
Par
Par
Par

30a

$
$
$

7,400,000
5,983,000
12,000,000

$
$
$

0
0
0

Preferred Stock
Preferred Stock 2
Preferred Stock 2

9/15/2011
9/22/2011
9/15/2011

Preferred Stock
Preferred Stock
Preferred Stock

2, 7

49

$

541,000

$

0

Preferred Stock 2

9/22/2011

Preferred Stock

2, 7

R $

27,000

7/21/2011

49

$

3,000,000

$

0

2

7/21/2011

Preferred Stock

2, 7

R $

150,000

8/25/2011

50

$

100,000,000

$

0

Warrants

11/18/2011

Warrants

42

$

6,000,000

$

0

N/A

N/A

N/A

49
50

2, 7
2, 7

2/27/2009
2/27/2009
3/6/2009
3/6/2009

Catskill Hudson Bancorp, Inc
Midtown Bank & Trust Company
HCSB Financial Corporation
First Busey Corporation

Rock Hill
Atlanta
Loris
Urbana

NY
GA
SC
IL

3/6/2009

First Federal Bancshares of Arkansas, Inc.

Harrison

AR

Preferred Stock w/ Warrants

$

16,500,000

Par

5/3/2011

3/6/2009

Citizens Bancshares Corporation

Atlanta

GA

Preferred Stock

$

7,462,000

Par

8/13/2010

4

$

7,462,000

$

0

N/A

N/A

N/A

11/1/2012
9/15/2011

49

$
$

6,000,000
13,533,000

$
$

0
0

Preferred Stock 2
Preferred Stock 2

2, 7

9/15/2011

Preferred Stock
Preferred Stock

10/31/2012
3/11/2013
9/7/2011
3/27/2013
10/31/2012
7/14/2011
9/15/2011

134

$
$
$
$
$
$
$

8,969,400
10,327,021
1,881,000
4,900,609
4,495,616
10,000,000
2,492,000

$
$
$
$
$
$
$

0
0
0
0
0
0
0

Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2

10/31/2012
3/11/2013
9/7/2011
3/27/2013
10/31/2012
7/14/2011
9/15/2011

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

2,7

$

500,000

$

0

Preferred Stock 2

7/18/2012

Preferred Stock

3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009

ICB Financial
First Texas BHC, Inc.
Farmers & Merchants Bancshares, Inc.
Blue Ridge Bancshares, Inc.
First Reliance Bancshares, Inc.
Merchants and Planters Bancshares, Inc.
First Southwest Bancorporation, Inc.
Germantown Capital Corporation, Inc.
BOH Holdings, Inc.
AmeriBank Holding Company
Highlands Independent Bancshares, Inc.
Pinnacle Bank Holding Company, Inc.
Blue River Bancshares, Inc.
Marine Bank & Trust Company
Community Bancshares of Kansas, Inc.

Ontario
Fort Worth
Houston
Independence
Florence
Toone
Alamosa
Germantown
Houston
Collinsville
Sebring
Orange City
Shelbyville
Vero Beach
Goff

CA
TX
TX
MO
SC
TN
CO
TN
TX
OK
FL
FL
IN
FL
KS

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
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
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

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

6,000,000
13,533,000
11,000,000
12,000,000
15,349,000
1,881,000
5,500,000
4,967,000
10,000,000
2,492,000
6,700,000
4,389,000
5,000,000
3,000,000
500,000

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

7/18/2012

49

219
62
226
137
49
49

4

Preferred Stock

P $

63,677
N/A

2, 7

2,7
2, 7
2, 7
2,7
2, 7
2, 7

2, 7

N/A

R $
R $

300,000
677,000

R
P
R
P
R
R
R

$
$
$
$
$
$
$

541,793
624,632
94,000
251,837
214,595
500,000
125,000

R $

25,000

45

Footnote

Seller

Purchase Date
2
2, 106
2
146
49
49

3, 30 8/13/2010
2, 49
2
2
2
2, 123
2
2, 136
2, 3a 11/13/2009
30 9/3/2010
2
2
2, 50
2, 49
2
2, 49
2, 49
2, 49
2
2, 142
2, 14
2
2, 245
2, 50
2, 49
2
2, 107
2, 165
2, 247
2
2
2, 49
2, 128
2, 99 7/12/2012
2, 108
2
2
2
90 06/13/2012
2, 3, 30 8/13/2010
2, 50
2, 242
2
2, 84
2, 175

Purchase Details

Name of Institution

City

State

Capital Repayment
Amount 6

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

Capital Repayment Details

Investment Amount

Pricing
Mechanism

3/6/2009
3/6/2009
3/6/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009

Regent Bancorp, Inc.
Park Bancorporation, Inc.
PeoplesSouth Bancshares, Inc.
First Place Financial Corp.
Salisbury Bancorp, Inc.
First Northern Community Bancorp
Discover Financial Services
Provident Community Bancshares, Inc.

Davie
Madison
Colquitt
Warren
Lakeville
Dixon
Riverwoods
Rock Hill

FL
WI
GA
OH
CT
CA
IL
SC

Preferred Stock w/ Exercised 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/ Warrants

$
$
$
$
$
$
$
$

9,982,000
23,200,000
12,325,000
72,927,000
8,816,000
17,390,000
1,224,558,000
9,266,000

Par
Par
Par
Par
Par
Par
Par
Par

3/13/2009

First American International Corp.

Brooklyn

NY

Preferred Stock

$

17,000,000

Par

Capital
Repayment Date
7/27/2012

106

$

16,772,382

$

0

8/25/2011
9/15/2011
4/21/2010

49

$
$
$

8,816,000
17,390,000
1,224,558,000

$
$
$

0
0
0

49
4

Preferred Stock

Final
Disposition
Date
2

Warrants
Warrants
Warrants

Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description

7/27/2012

Preferred Stock

11/2/2011
11/16/2011
7/7/2010

Warrants
Warrants
Warrants

8/13/2010

4

$

17,000,000

$

0

N/A

N/A

N/A

$
$
$

21,100,000
425,000
10,000,000

$
$
$

0
0
0

Preferred Stock 2
Preferred Stock 2
Preferred Stock 2

7/14/2011
12/29/2010
11/18/2009

Preferred Stock
Preferred Stock
Preferred Stock

2, 7

P $

896,039

R $
R $
R $

205,000
375,000
172,000,000

-

BancIndependent, Inc.
Haviland Bancshares, Inc.
1st United Bancorp, Inc.
Madison Financial Corporation
First National Corporation
St. Johns Bancshares, Inc.
Blackhawk Bancorp, Inc.

Sheffield
Haviland
Boca Raton
Richmond
Strasburg
St. Louis
Beloit

AL
KS
FL
KY
VA
MO
WI

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

$
$
$
$
$
$
$

21,100,000
425,000
10,000,000
3,370,000
13,900,000
3,000,000
10,000,000

Par
Par
Par
Par
Par
Par
Par

7/14/2011
12/29/2010
11/18/2009
8/23/2012

123

$

12,082,749

$

0

Preferred Stock 2

8/23/2012

Preferred Stock

10/31/2012

136

$

9,009,000

$

0

Preferred Stock 2

10/31/2012

Preferred Stock

3/13/2009

IBW Financial Corporation

Washington

DC

Preferred Stock

$

6,000,000

Par

9/3/2010

4

$

6,000,000

$

0

N/A

N/A

N/A

3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/20/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009
3/27/2009

Butler Point, Inc.
Bank of George
Moneytree Corporation
Sovereign Bancshares, Inc.
First Intercontinental Bank
Heritage Oaks Bancorp
Community First Bancshares Inc.
First NBC Bank Holding Company
First Colebrook Bancorp, Inc.
Kirksville Bancorp, Inc.
Peoples Bancshares of TN, Inc
Premier Bank Holding Company
Citizens Bank & Trust Company
Farmers & Merchants Financial Corporation
Farmers State Bankshares, Inc.
SBT Bancorp, Inc.
CSRA Bank Corp.
Trinity Capital Corporation
Clover Community Bankshares, Inc.
Pathway Bancorp
Colonial American Bank
MS Financial, Inc.
Triad Bancorp, Inc.
Alpine Banks of Colorado

Catlin
Las Vegas
Lenoir City
Dallas
Doraville
Paso Robles
Union City
New Orleans
Colebrook
Kirksville
Madisonville
Tallahassee
Covington
Argonia
Holton
Simsbury
Wrens
Los Alamos
Clover
Cairo
West Conshohocken
Kingwood
Frontenac
Glenwood Springs

IL
NV
TN
TX
GA
CA
TN
LA
NH
MO
TN
FL
LA
KS
KS
CT
GA
NM
SC
NE
PA
TX
MO
CO

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

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

607,000
2,672,000
9,516,000
18,215,000
6,398,000
21,000,000
20,000,000
17,836,000
4,500,000
470,000
3,900,000
9,500,000
2,400,000
442,000
700,000
4,000,000
2,400,000
35,539,000
3,000,000
3,727,000
574,000
7,723,000
3,700,000
70,000,000

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

11/2/2011

4

$

607,000

$

0

Preferred Stock 2

11/2/2011

Preferred Stock

2, 7

R $

30,000

9/15/2011
9/22/2011

50

$
$

9,516,000
18,215,000

$
$

0
0

Preferred Stock 2
Preferred Stock 2

9/15/2011
9/22/2011

Preferred Stock
Preferred Stock

2, 7

R $
R $

476,000
911,000

8/18/2011
8/4/2011
9/22/2011

49

$
$
$

20,000,000
17,836,000
4,500,000

$
$
$

0
0
0

Preferred Stock 2
Preferred Stock 2
Preferred Stock 2

8/18/2011
8/4/2011
9/22/2011

Preferred Stock
Preferred Stock
Preferred Stock

2, 7

R $
R $
R $

1,000,000
892,000
225,000

10/31/2012

142

$

2,919,500

$

0

Preferred Stock 2

10/31/2012

Preferred Stock

2,7

R $

122,225

6/24/2013
7/21/2011
8/11/2011

245

$
$
$

400,425
700,000
4,000,000

$
$
$

0
0
0

Preferred Stock 2
Preferred Stock 2
Preferred Stock 2

6/24/2013
7/21/2011
8/11/2011

Preferred Stock
Preferred Stock
Preferred Stock

2, 7

P $
R $
R $

(2,835)
40,000
200,000

7/27/2012
11/29/2012
6/24/2013
10/26/2011
10/19/2011
9/22/2011
9/12/2012

107

$
$
$
$
$
$
$

26,396,503
2,593,700
4,324,446
574,000
7,723,000
3,700,000
56,430,297

$
$
$
$
$
$
$

0
0
0
0
0
0
0

Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2

7/27/2012
11/29/2012
6/24/2013
10/26/2011
10/19/2011
9/22/2011
9/12/2012

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

2, 7

$

600,000

$

0

N/A

N/A

N/A

$
$

21,776,396
2,295,000

$
$

0
0

Preferred Stock 2
Preferred Stock 2

7/27/2012
6/12/2013

Preferred Stock
Preferred Stock

Warrants

2/6/2013

Warrants

4
4

49

49
49

50
49

165
247
4
4
49
128

3/27/2009

Naples Bancorp, Inc.

Naples

FL

Preferred Stock w/ Exercised Warrants

$

4,000,000

Par

7/12/2012

99

3/27/2009
3/27/2009
3/27/2009
3/27/2009

CBS Banc-Corp.
IBT Bancorp, Inc.
Spirit BankCorp, Inc.
Maryland Financial Bank

Russellville
Irving
Bristow
Towson

AL
TX
OK
MD

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

$
$
$
$

24,300,000
2,295,000
30,000,000
1,700,000

Par
Par
Par
Par

7/27/2012
6/12/2013

108

4/3/2009

First Capital Bancorp, Inc.

Glen Allen

VA

Preferred Stock w/ Warrants

$

10,958,000

Par

6/13/2012

90

$

9,931,327

$

0

$

2,795,000

$

0

N/A

N/A

N/A

$
$
$
$
$

3,100,000
8,366,452
2,117,000
2,904,000
2,053,013

$
$
$
$
$

0
0
0
0
0

Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2

9/15/2011
4/29/2013
4/4/2012
8/14/2012
11/29/2012

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

4/3/2009

Tri-State Bank of Memphis

Memphis

TN

Preferred Stock

$

2,795,000

Par

8/13/2010

4

4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009

Fortune Financial Corporation
BancStar, Inc.
Titonka Bancshares, Inc
Millennium Bancorp, Inc.
TriSummit Bank

Arnold
Festus
Titonka
Edwards
Kingsport

MO
MO
IA
CO
TN

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

$
$
$
$
$

3,100,000
8,600,000
2,117,000
7,260,000
2,765,000

Par
Par
Par
Par
Par

9/15/2011
4/29/2013
4/4/2012
8/14/2012
11/29/2012

50
242
4
84
175

2, 7

N/A

3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009

49

R $
R $
R $

1,055,000
21,000
500,000

2, 7

P $

624,675

2,7

R $

470,250

2, 7
2, 7

-

2, 7

2, 7
2, 7

2, 7
2, 7

2, 7
2, 7
2, 7
2, 7
2, 7
2, 7

P
P
P
R
R
R
P

N/A

$
$
$
$
$
$
$

1,655,787
114,022
226,565
29,000
386,000
185,000
3,291,750
N/A

2, 7
2, 7

P $
R $

1,107,825
115,000

R $

266,042

2, 7
2, 7
2, 7
2, 84
2, 7

R $
P $
R $
$
P $

N/A
155,000
426,339
106,000
124,666

46

Footnote

Seller

Purchase Date
2
2
2
2, 3

4/3/2009
4/3/2009
4/3/2009
4/10/2009

2, 188

4/10/2009

2
2
2

4/10/2009
4/10/2009
4/10/2009
4/17/2009
4/17/2009
4/17/2009

2, 49
2, 52
2

4/17/2009

Purchase Details

Name of Institution
Prairie Star Bancshares, Inc.
Community First Bancshares, Inc.
BCB Holding Company, Inc.
City National Bancshares Corporation
Bank of Southern California, N.A. (First Business
Bank, N.A.)
SV Financial, Inc.
Capital Commerce Bancorp, Inc.
Metropolitan Capital Bancorp, Inc.
Bank of the Carolinas Corporation
Penn Liberty Financial Corp.
Tifton Banking Company

Patterson Bancshares, Inc

City

State

Investment Amount

Olathe
Harrison
Theodore
Newark

KS
AR
AL
NJ

San Diego

CA

Preferred Stock w/ Exercised Warrants

Sterling
Milwaukee
Chicago
Mocksville
Wayne
Tifton

IL
WI
IL
NC
PA
GA

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/ Exercised Warrants

Patterson

LA

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

Preferred Stock w/ Exercised Warrants

$
$
$
$

Capital Repayment
Amount 6

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

Capital Repayment Details
Pricing
Mechanism

Capital
Repayment Date

Final
Disposition
Date

Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description

2,800,000
12,725,000
1,706,000
9,439,000

Par
Par
Par
Par

$

2,211,000

Par

12/20/2012

188

$

2,017,453

$

0

Preferred Stock 2

12/20/2012

Preferred Stock

2, 7

P $

90,462

$
$
$
$
$
$

4,000,000
5,100,000
2,040,000
13,179,000
9,960,000
3,800,000

Par
Par
Par
Par
Par
Par

8/31/2011

4

$

4,000,000

$

0

Preferred Stock 2

8/31/2011

Preferred Stock

2, 7

R $

200,000

9/1/2011

49

$

9,960,000

$

0

Preferred Stock 2

9/1/2011

Preferred Stock

2, 7

R $

498,000

3/7/2012
8/22/2012
12/5/2012

4

5/8/2013
6/5/2013

4

6/5/2013

Preferred Stock

2, 7

R $

185,000

12/19/2012
7/28/2011

Warrants
Preferred Stock

R $
R $

1,300,000
82,000

Preferred Stock 2

4/24/2012

Preferred Stock

R $

633,000

Preferred Stock 2

4/24/2013

Preferred Stock

2, 7

R $

750,000

Preferred Stock 2
Preferred Stock 2
Preferred Stock 2

2/22/2013
7/14/2011
9/8/2011

Preferred Stock
Preferred Stock
Preferred Stock

2, 7

R $
R $
R $

3,000,000
244,000
200,000

Subordinated
Debentures 8
Subordinated
Debentures 8

10/6/2010

Subordinated
Debentures 8

7

R $

150,000

$

3,690,000

Par

2
2
121
2, 49
2
2

4/17/2009
4/17/2009
4/24/2009
4/24/2009
4/24/2009
4/24/2009

BNB Financial Services Corporation
Omega Capital Corp.
Mackinac Financial Corporation
Birmingham Bloomfield Bancshares, Inc
Vision Bank - Texas
Oregon Bancorp, Inc.

New York
Lakewood
Manistique
Birmingham
Richardson
Salem

NY
CO
MI
MI
TX
OR

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

$
$
$
$
$
$

7,500,000
2,816,000
11,000,000
1,635,000
1,500,000
3,216,000

Par
Par
Par
Par
Par
Par

2, 83

4/24/2009

Peoples Bancorporation, Inc.

Easley

SC

Preferred Stock w/ Exercised Warrants

$

12,660,000

Par

2, 14, 236
2

4/24/2009

Indiana Bank Corp.

Dana

IN

Preferred Stock w/ Exercised Warrants

$

1,312,000

Par

4/24/2009

Business Bancshares, Inc.

Clayton

MO

Preferred Stock w/ Exercised Warrants

$

15,000,000

Par

4
4

4

8/23/2012
7/28/2011
12/28/2012

121

4/24/2012

83

5/23/2012
1/9/2013
4/24/2013
2/22/2013
7/14/2011
9/8/2011

4

49
4

2

$
$
$
$
$

250,000
250,000
250,000
500,000
2,440,000

$
$
$

3,440,000
3,190,000
2,940,000

$
$

2,440,000
0

Preferred Stock
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2

$
$
$

10,380,905
1,635,000
787,500

$
$
$

0
0
712,500

Preferred Stock 2
Preferred Stock 2

$

12,660,000

$

$
$
$
$
$
$

6,000,000
2,500,000
6,500,000
60,000,000
4,871,000
4,000,000

$
$
$
$
$
$

9,000,000
6,500,000
0
0
0
0

1,400,000

Warrants

2, 7

2, 7,

2, 158
2, 50
2, 49
2

4/24/2009
4/24/2009
4/24/2009
4/24/2009

Standard Bancshares, Inc.
York Traditions Bank
Grand Capital Corporation
Allied First Bancorp, Inc.

Hickory Hills
York
Tulsa
Oswego

IL
PA
OK
IL

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

$
$
$
$

60,000,000
4,871,000
4,000,000
3,652,000

Par
Par
Par
Par

4/24/2009

Frontier Bancshares, Inc.

Austin

TX

Subordinated Debentures w/ Exercised
Warrants

$

3,000,000

Par

8

2, 138
2
2, 50
2

5/1/2009
5/1/2009
5/1/2009
5/1/2009
5/1/2009

Village Bank and Trust Financial Corp
CenterBank
Georgia Primary Bank
Union Bank & Trust Company
HPK Financial Corporation

Midlothian
Milford
Atlanta
Oxford
Chicago

VA
OH
GA
NC
IL

8

5/1/2009

OSB Financial Services, Inc.

Orange

TX

8, 248

4
4
158
50
49

0

83

2, 7
2, 7

11/24/2009

4

$

1,600,000

$

10/6/2010

4

$

1,400,000

$

0

10/31/2012

138

$

1,831,250

$

0

Preferred Stock 2

10/31/2012

Preferred Stock

2,7

R $

84,057

9/22/2011
12/11/2012

50

$
$

3,194,000
4,000,000

$
$

0
0

9/22/2011
12/11/2012

R $
R $

160,000
200,000

4

$

6,100,000

$

0

7

R $

305,000

$

12,409,261

$

0

Preferred Stock
Preferred Stock
Subordinated
Debentures 8
Subordinated
Debentures 8

2, 7

10/5/2011

Preferred Stock 2
Preferred Stock 2
Subordinated
Debentures 8
Subordinated
Debentures 8

7

P $

720,369

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

$
$
$
$
$

14,738,000
2,250,000
4,500,000
3,194,000
4,000,000

Par
Par
Par
Par
Par

$

6,100,000

Par

$

10,750,000

Par

6/24/2013

248

4

10/5/2011

5/1/2009

Security State Bank Holding-Company

Jamestown

ND

5/8/2009

Highlands Bancorp, Inc.
(Highlands State Bank)

Vernon

NJ

Preferred Stock w/ Exercised Warrants

$

3,091,000

Par

9/22/2011

49

$

3,091,000

$

0

Preferred Stock 2

9/22/2011

Preferred Stock

2, 7

R $

155,000

5/8/2009
5/8/2009

One Georgia Bank
Gateway Bancshares, Inc.

Atlanta
Ringgold

GA
GA

$
$

5,500,000
6,000,000

Par
Par

4/13/2012

80

$

6,000,000

$

0

Preferred Stock 2

4/13/2012

Preferred Stock

2, 7

R $

300,000

8

5/8/2009

Freeport Bancshares, Inc.

Freeport

IL

$

3,000,000

Par

8, 133

5/8/2009

Investors Financial Corporation of Pettis County, In Sedalia

MO

$

4,000,000

Par

8, 49

5/8/2009

Sword Financial Corporation

Horicon

WI

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

$

13,644,000

Par

9/15/2011

49

$

13,644,000

$

0

Subordinated
Debentures 8

9/15/2011

Subordinated
Debentures 8

7

R $

682,000

3, 8, 30 8/13/2010

5/8/2009

Premier Bancorp, Inc.

Wilmette

IL

$

6,784,000

Par

8/13/2010

4

$

6,784,000

$

0

N/A

N/A

N/A

4/4/2012

4

Preferred Stock w/
Warrants

7/3/2012

Warrants

2, 13 8/31/2010,
49
2, 56
2, 80

5/15/2009

Mercantile Bank Corporation

Grand Rapids

MI

Subordinated Debentures
Preferred Stock w/ Warrants

$

21,000,000

Par

$

10,500,000

$

10,500,000

6/24/2013

2, 7

R $

N/A
7,465,100

47

Footnote

Seller

Purchase Date

Purchase Details

Name of Institution
p

City
p

State

$

Capital Repayment
Amount 6

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

Capital Repayment Details

Investment Amount
,
,

Pricing
Mechanism

Capital
Repayment Date

Final
Disposition
Date

Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
$
,
,

6/6/2012

4

$

10,500,000

$

0

Warrants

5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009

Northern State Bank
Closter
Western Reserve Bancorp, Inc
Medina
Community Financial Shares, Inc.
Glen Ellyn
Worthington Financial Holdings, Inc.
Huntsville
Equity Bancshares, Inc. [First Community Bancshar Wichita
Southern Heritage Bancshares, Inc.
Cleveland
Foresight Financial Group, Inc.
Rockford

NJ
OH
IL
AL
KS
TN
IL

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

$
$
$
$
$
$
$

1,341,000
4,700,000
6,970,000
2,720,000
14,800,000
4,862,000
15,000,000

Par
Par
Par
Par
Par
Par
Par

3/28/2012
11/30/2012
12/21/2012
6/24/2013

4

$
$
$
$

1,341,000
4,700,000
3,136,500
2,318,851

$
$
$
$

0
0
0
0

Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2

3/28/2012
11/30/2012
12/21/2012
6/24/2013

Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock

$
$

4,862,000
15,000,000

$
$

0
0

Preferred Stock 2
Preferred Stock 2

9/8/2011
12/11/2012

Preferred Stock
Preferred Stock

5/15/2009

IBC Bancorp, Inc.

Chicago

IL

Subordinated Debentures

$

4,205,000

Par

9/10/2010

4

$

4,205,000 $

0

8, 216

5/15/2009

Boscobel Bancorp, Inc

Boscobel

WI

$

5,586,000

Par

3/11/2013

216

$

6,116,943

$

0

8, 243

5/15/2009

Brogan Bankshares, Inc.

Kaukauna

WI

$

2,400,000

Par

4/29/2013

243

$

2,495,024

$

0

8

5/15/2009

Riverside Bancshares, Inc.

Little Rock

AR

$

1,100,000

Par

8, 49

5/15/2009

Deerfield Financial Corporation

Deerfield

WI

$

2,639,000

Par

9/8/2011

49

$

2,639,000

$

0

8, 109

5/15/2009

Market Street Bancshares, Inc.

Mt. Vernon

$

20,300,000

Par

7/27/2012

109

$

18,069,213

$

0

2, 49
2, 182
2, 82
2

5/22/2009
5/22/2009
5/22/2009

The Landrum Company
First Advantage Bancshares Inc.
Fort Lee Federal Savings Bank

Columbia
Coon Rapids
Fort Lee

MO
MN
NJ

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

$
$
$

15,000,000
1,177,000
1,300,000

Par
Par
Par

8/18/2011
12/11/2012

49

$
$

15,000,000
1,032,193

$
$

0
0

Blackridge Financial, Inc.

Fargo

ND

Preferred Stock w/ Exercised Warrants

$

5,000,000

Par

5/22/2009
5/22/2009
5/22/2009

Illinois State Bancorp, Inc.
Universal Bancorp
Franklin Bancorp, Inc.

Chicago
Bloomfield
Washington

IL
IN
MO

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

$
$
$

6,272,000
9,900,000
5,097,000

Par
Par
Par

6/27/2012
9/12/2012
9/22/2011

4

5/22/2009

$
$
$

2,250,000
2,750,000
6,272,000

$
$
$

$

3,198,853

$

Preferred Stock w/ Exercised Warrants

2
2, 177
2, 158
2, 249
2, 145
2, 50
2
3, 8, 30 9/10/2010

2, 49
2
2, 150

IL

8, 110

5/22/2009

Commonwealth Bancshares, Inc.

Louisville

KY

8

5/22/2009

Premier Financial Corp

Dubuque

IA

8, 156

5/22/2009

F & C Bancorp, Inc.

Holden

MO

8, 111

5/22/2009

Diamond Bancorp, Inc.

Washington

MO

8

5/22/2009

United Bank Corporation

Barnesville

GA

49
2
2, 63
2, 197
2
2, 49

5/29/2009
5/29/2009
5/29/2009
5/29/2009
5/29/2009
5/29/2009

Community Bank Shares of Indiana, Inc.
American Premier Bancorp
CB Holding Corp.
Citizens Bancshares Co.
Grand Mountain Bancshares, Inc.
Two Rivers Financial Group

New Albany
Arcadia
Aledo
Chillicothe
Granby
Burlington

IN
CA
IL
MO
CO
IA

8

5/29/2009

Fidelity Bancorp, Inc

Baton Rouge

LA

8

5/29/2009

Chambers Bancshares, Inc.

Danville

AR

2

6/5/2009

Covenant Financial Corporation

Clarksdale

MS

8, 211

6/5/2009

First Trust Corporation

New Orleans

LA

8, 10

6/5/2009

OneFinancial Corporation

Little Rock

AR

6/12/2009

Customers Bancorp, Inc.
(Berkshire Bancorp, Inc.)

Phoenixville

PA

2, 60 09/19/2011
2, 10, 30 9/29/2010
2
2, 10
2, 49

9/8/2011
12/11/2012

4
158
249

4

4
49

2,750,000
0
0

11/13/2012

150

7/27/2012

110

$

15,147,000

$

0

0

$

20,400,000

Par

$

6,349,000

Par

$

2,993,000

Par

11/13/2012

156

$

2,844,599

$

0

$

20,445,000

Par

7/27/2012

111

$

14,780,662

$

0

4/29/2013

Subordinated
Debentures 8
Subordinated
Debentures 8
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Subordinated
Debentures 8

2, 7

2, 7
2, 7

N/A
Subordinated
Debentures 8
Subordinated
Debentures 8

R
R
P
P

$
$
$
$

67,000
235,000
157,050
90,940

R $
R $

243,000
750,000

-

N/A

7

P $

361,890

7

P $

125,136

7

R $

132,000

7

P $

824,731

2, 7

R $
P $

750,000
53,755

8/18/2011
12/11/2012

Subordinated
Debentures 8
Subordinated
Debentures 8
Preferred Stock
Preferred Stock

9/12/2012

Preferred Stock

2, 7

R $

250,000

9/22/2011

Preferred Stock

2, 7

R $

314,000

11/13/2012

Preferred Stock
Subordinated
Debentures 8

2, 7

P $

195,018

7

P $

898,722

7

P $

148,500

7

P $

779,576

7

R $

720,000

R $
R $

1,100,870
90,000
645,047

9/8/2011
7/27/2012

7/27/2012

2, 7

Preferred Stock 2

0

Preferred Stock 2

2/8/2013

Preferred Stock

2, 7

P $

$

0

Preferred Stock
Subordinated
Debentures 8

2, 7

R $

600,000

0

Preferred Stock 2
Subordinated
Debentures 8

9/1/2011

$

7

R $

197,000

13,612,558

$

0

Subordinated
8
Debentures

7

P $

644,726

2,892,000

$

0

Preferred Stock

2, 7

R $

145,000

R $

245,000

R $

200,000

14,400,000

Par

7/3/2012

4

$

14,400,000

$

0

19,468,000
1,800,000
4,114,000
24,990,000
3,076,000
12,000,000

Par
Par
Par
Par
Par
Par

9/15/2011
1/26/2011

49

$
$

19,468,000
1,800,000

$
$

0
0

2/8/2013

197

$

12,679,301

$

9/1/2011

49

$

12,000,000

$

3,942,000

Par

3/27/2013

4

$

3,942,000

$

19,817,000

Par

$

5,000,000

Par

$

17,969,000

Par

2/20/2013

211

$

$

17,300,000

Par

$

2,892,000

Par

4

$

Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
Warrants

2, 7

10/19/2011
1/26/2011

$

12/28/2011

N/A
3/11/2013

2, 7

Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
Warrants
Preferred Stock

$
$
$
$
$
$

4

N/A
Subordinated
Debentures 8
Subordinated
Debentures 8

2, 7

11/13/2012
7/27/2012
7/3/2012

2

3/27/2013

2/20/2013

Subordinated
8
Debentures

12/28/2011

Preferred Stock

2, 7

2, 7,

6/12/2009

First Vernon Bancshares, Inc.

Vernon

AL

Preferred Stock w/ Exercised Warrants

$

6,000,000

Par

9/29/2010

4

6/12/2009
6/12/2009
6/12/2009

SouthFirst Bancshares, Inc.
Virginia Company Bank
Enterprise Financial Services Group, Inc.

Sylacauga
Newport News
Allison Park

AL
VA
PA

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

$
$
$

2,760,000
4,700,000
4,000,000

Par
Par
Par

8/25/2011

49

2

$

6,000,000 $

0

Preferred Stock

$

4,000,000

0

Preferred Stock 2

$

9/29/2010

Preferred Stock

8/25/2011

Preferred Stock

30a

2, 7

48

Footnote

Seller

Purchase Date
8, 10, 49

8

6/12/2009

6/12/2009

Purchase Details

Name of Institution
First Financial Bancshares, Inc.

River Valley Bancorporation, Inc.

City
Lawrence

Wausau

State
KS

WI

2, 49
2, 10

6/19/2009
6/19/2009

Merchants and Manufacturers Bank Corporation
RCB Financial Corporation

Joliet
Rome

IL
GA

8, 183

6/19/2009

Manhattan Bancshares, Inc.

Manhattan

IL

8, 10, 196

6/19/2009

Biscayne Bancshares, Inc.

Coconut Grove

FL

8

6/19/2009

Duke Financial Group, Inc.

Minneapolis

MN

8, 157

6/19/2009

Farmers Enterprises, Inc.

Great Bend

KS

8, 193
8

6/19/2009
6/19/2009

Century Financial Services Corporation
NEMO Bancshares Inc.

Santa Fe
Madison

NM
MO

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

3, 8, 30 7/30/2010

6/19/2009

University Financial Corp, Inc.

St. Paul

MN

8

6/19/2009

Suburban Illinois Bancorp, Inc.

Elmhurst

IL

6/26/2009

Hartford Financial Services Group, Inc.

Hartford

CT

Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants

6/26/2009

Veritex Holdings, Inc.
(Fidelity Resources Company)

Dallas

TX

6/26/2009
6/26/2009

Waukesha Bankshares, Inc.
FC Holdings, Inc.

Waukesha
Houston

6/26/2009

Security Capital Corporation

6/26/2009
6/26/2009
6/26/2009

2, 40 3/23/2011,
49
2, 10, 205
2, 210
2, 10, 30 9/29/2010
2, 190
2, 50
2, 10, 235
2, 3, 10, 30 8/20/2010
2, 41 3/30/2011,
252
2, 41 3/30/2011,
252
2, 230

$

3,756,000

$

6/6/2012

4

15,000,000

$

10,500,000

$

5/15/2013

4

$

4,500,000

$

0

49

$

3,510,000

$

0

$

2,561,405

$

0

Par

9/22/2011

3,510,000
8,900,000

Par
Par

9/8/2011

$

2,639,000

Par

12/11/2012

$

6,400,000

Par

$

12,000,000

Par

$

12,000,000

Par

$

10,000,000
2,330,000

4,500,000

Par

$
$

$

0

Par
Par

2/8/2013

196

$

6,170,630

$

0

11/13/2012

157

$

11,439,252

$

0

12/20/2012

193

4/24/2013

4

7/30/2010

4

$

9,751,500

$

0

Final
Disposition
Date

Subordinated
Debentures 8
Subordinated
8
Debentures
Subordinated
Debentures 8
Preferred Stock 2
Subordinated
Debentures 8
Subordinated
Debentures 8

9/22/2011

Subordinated
Debentures 8

5/15/2013

Subordinated
Debentures 8

9/8/2011

Preferred Stock

12/11/2012
2/8/2013

Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8

Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description

11/13/2012
12/20/2012
4/24/2013

Subordinated
Debentures 8
Subordinated
Debentures 8

Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8

$

2,330,000

$

0

$

11,926,000

$

0

N/A

N/A

N/A

Warrants

9/21/2010

Warrants

11,926,000

Par

15,000,000

Par

$

3,400,000,000

Par

3/31/2010

4

$

3,400,000,000

$

0

Preferred Stock w/ Exercised Warrants

$

3,000,000

Par

8/25/2011

49

$

3,000,000

$

0

Preferred Stock

2

8/25/2011

Preferred Stock

WI
TX

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

$
$

5,625,000
21,042,000

Par
Par

2/7/2013
2/20/2013

205

$
$

5,161,674
18,685,927

$
$

0
0

Preferred Stock 2
Preferred Stock 2

2/7/2013
2/20/2013

Preferred Stock
Preferred Stock

Batesville

MS

Preferred Stock w/ Exercised Warrants

$

17,388,000

Par

9/29/2010

4

$

17,388,000 $

0

Preferred Stock 2

9/29/2010

Preferred Stock

First Alliance Bancshares, Inc.
Gulfstream Bancshares, Inc.
Gold Canyon Bank

Cordova
Stuart
Gold Canyon

TN
FL
AZ

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

$
$
$

3,422,000
7,500,000
1,607,000

Par
Par
Par

12/20/2012
8/18/2011

190

$
$

$
$

0
0

Preferred Stock 2
Preferred Stock 2

12/20/2012
8/18/2011

Preferred Stock
Preferred Stock

6/26/2009

M&F Bancorp, Inc.

Durham

NC

Preferred Stock

$

11,735,000

Par

8/20/2010

4

$

11,735,000 $

0

N/A

N/A

N/A

6/26/2009

Metropolitan Bank Group, Inc.

Chicago

IL

Preferred Stock w/ Exercised Warrants

$

74,706,000

Par

6/28/2013

252

$

23,718,542

$

0

N/A

N/A

N/A

6/26/2009

Metropolitan Bank Group, Inc.
(NC Bancorp, Inc.)

Chicago

IL

Preferred Stock w/ Exercised Warrants

$

7,186,000

Par

6/28/2013

252

$

2,281,458

$

0

N/A

N/A

N/A

210

7

R $

113,000

7

R $

750,000

2, 7

R $

176,000

7

P $

131,021

7

P $

204,507

7

P $

590,323

7

P $

496,589

7

R $

117,000

-

N/A

A $

706,264,560

2, 7

R $

150,000

2, 7

P $
P $

165,839
994,613

R $

522,000

P $
R $

94,702
375,000

2, 7
2, 7,

Alliance Bancshares, Inc.

Dalton

GA

6/26/2009

Stearns Financial Services, Inc.

St. Cloud

MN

8

6/26/2009

Signature Bancshares, Inc.

Dallas

TX

2, 10, 49
2, 49
2, 222
2, 3

49

Capital
Repayment Date

$

6/26/2009

8, 195

$

3,756,000

Pricing
Mechanism

$

8

8

Subordinated Debentures

$

Capital Repayment
Amount 6

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

Capital Repayment Details

6/26/2009
6/26/2009

Fremont Bancorporation
Alliance Financial Services Inc.

Fremont
Saint Paul

CA
MN

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

50

$

2,986,000

Par

3/28/2013

230

$

2,831,437

$

0

$

24,900,000

Par

1/18/2012

4

$

24,900,000

$

0

$

1,700,000

Par

12/15/2010

4

$

1,700,000

$

0

7/25/2012

4

$
$

35,000,000
12,000,000

Par
Par

2/7/2013

$

35,000,000

$

0

Preferred Stock
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8

2

3/28/2013
1/18/2012
12/15/2010
7/25/2012

Preferred Stock
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8

195

$

8,912,495

$

0

$

950,000,000

$

0

Warrants

9/16/2010

Warrants

$
$
$

13,669,000
11,000,000
11,587,256

$
$
$

0
0
0

Preferred Stock 2
Preferred Stock 2
Preferred Stock 2

8/18/2011
9/15/2011
3/11/2013

Preferred Stock
Preferred Stock
Preferred Stock

Subordinated
Debentures 8
Subordinated
Debentures 8

11/28/2012

Subordinated
Debentures 8

7/10/2009

Lincoln National Corporation

Radnor

PA

Preferred Stock w/ Warrants

$

950,000,000

Par

6/30/2010

4

7/10/2009
7/17/2009
7/17/2009
7/17/2009

Bancorp Financial, Inc.
Brotherhood Bancshares, Inc.
SouthCrest Financial Group, Inc.
Harbor Bankshares Corporation

Oak Brook
Kansas City
Fayetteville
Baltimore

IL
KS
GA
MD

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

$
$
$
$

13,669,000
11,000,000
12,900,000
6,800,000

Par
Par
Par
Par

8/18/2011
9/15/2011
3/11/2013

49

7/17/2009

First South Bancorp, Inc.

Lexington

TN

Subordinated Debentures w/ Exercised
Warrants

$

50,000,000

Par

8

2,370,742
7,500,000

49
222

9/28/2011

4

$

13,125,000

$

11/28/2012

4

$

36,875,000

$

36,875,000
0

2/7/2013

30a
2, 7
2, 7

-

N/A
N/A

N/A
2, 7

P $

138,900

7

R $

1,245,000

7

R $

85,000

7

R $

1,750,000

7

P $

504,900

A $

213,671,319

2, 7

R $
R $
P $

410,000
550,000
588,264

R $

2,500,000

2, 7
2, 7

7

49

Footnote

Seller

Purchase Date

Purchase Details

Name of Institution

City

State

8

7/17/2009

Great River Holding Company

Baxter

MN

8, 10, 244

7/17/2009

Plato Holdings Inc.

Saint Paul

MN

Elkin

NC

Kingman
Tampa

AZ
FL

Elk Grove Village

IL

125

7/24/2009

2, 10
2, 207

7/24/2009
7/24/2009

Yadkin Financial Corporation (Yadkin Valley
Financial Corporation)
Community Bancshares, Inc.
Florida Bank Group, Inc.

7/24/2009

First American Bank Corporation

8

2

7/31/2009

Chicago Shore Corporation

Chicago

IL

8, 10, 49

7/31/2009

Financial Services of Winger, Inc.

Winger

MN

Investment Amount
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants

Par
Par

4/29/2013

244

$

2,478,750

$

0

Subordinated
Debentures 8

4/29/2013

Subordinated
Debentures 8

Preferred Stock w/ Warrants

$

13,312,000

Par

9/12/2012

125

$

11,643,740

$

0

Warrants

6/12/2013

Warrants

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

$
$

3,872,000
20,471,000

Par
Par
12/21/2011

4

Subordinated Debentures w/ Exercised
Warrants

$

15,000,000

$

$

50,000,000

Par

12/11/2012

12/11/2012

4

$

35,000,000

$

0

Subordinated
Debentures 8
Subordinated
Debentures 8

Subordinated
Debentures 8

9/1/2011

49

$

3,742,000

$

0

8/25/2011

49

$

20,000,000

$

0

12/20/2012
11/30/2012

187

$
$

907,937
3,283,000

$
$

0
0

9/4/2009

The State Bank of Bartley

Bartley

NE

Pathfinder Bancorp, Inc.

Oswego

NY

9/11/2009

Community Bancshares of Mississippi, Inc.

Brandon

MS

TX
FL
MN
NC

8, 231

8/21/2009

AmFirst Financial Services, Inc.

McCook

NE

2, 3, 191
2, 49
2, 10, 218

8/28/2009
8/28/2009
8/28/2009

First Independence Corporation
First Guaranty Bancshares, Inc.
CoastalSouth Bancshares, Inc.

Detroit
Hammond
Hilton Head Island

MI
LA
SC

8, 10, 50

8/28/2009

TCB Corporation

Greenwood

SC

2, 30 9/29/2010
2, 10, 100 7/17/2012
2, 10, 50
8, 30 9/17/2010
2, 10
2, 10, 144
2, 10, 50

$

7,000,000

Par

$

3,742,000

Par

$
$
$
$

20,000,000
50,236,000
1,004,000
4,000,000

Par
Par
Par
Par

172

35,000,000

$

5,000,000

Par

3/28/2013

231

$

4,752,000

$

0

$
$
$

3,223,000
20,699,000
16,015,000

Par
Par
Par

12/20/2012
9/22/2011
3/11/2013

191

$
$
$

2,286,675
20,699,000
12,606,191

$
$
$

0
0
0

$

9,720,000

Par

9/8/2011

50

$

9,720,000

$

0

49

Subordinated
Debentures 8
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Subordinated
Debentures 8
N/A

8/25/2011
12/20/2012
11/30/2012

Subordinated
Debentures 8
Preferred Stock

2/1/2012

Preferred Stock
Preferred Stock
Subordinated
Debentures 8
N/A
Preferred Stock
Preferred Stock
Subordinated
Debentures 8
Subordinated
Debentures 8
Warrants

Preferred Stock 2

9/29/2010

Preferred Stock

$

1,697,000

Par

9/22/2011

49

$

1,697,000

$

0

$

6,771,000

Par

9/1/2011

49

$

6,771,000

$

0

Preferred Stock 2
Preferred Stock 2
Subordinated
Debentures 8
Subordinated
Debentures 8
Warrants

Preferred Stock w/ Exercised Warrants

$

52,000,000

Par

9/29/2010

4

$

52,000,000 $

0

218

9/1/2011

3/28/2013
N/A
9/22/2011
3/11/2013
9/8/2011
9/22/2011

7

P $

90,582

P $

55,677

7

R $

2,500,000

7

R $

112,000

2, 7

R $

1,000,000

2, 7

P $
P $

23,500
140,400

2, 7
7

P $

259,875

R $
P $

N/A
1,030,000
415,848

7

R $

292,000

7

R $

51,000

R $

537,633

R $

2,600,000
248,000

2, 7
2, 7

2, 7,
30a

9/11/2009

Heartland Bancshares, Inc.

Franklin

IN

Preferred Stock w/ Exercised Warrants

$

7,000,000

Par

7/17/2012

100

$

7,000,000

$

0

Preferred Stock 2

7/17/2012

Preferred Stock

2, 7

$

9/11/2009

PFSB Bancorporation, Inc.

Pigeon Falls

WI

$

1,500,000

Par

8/25/2011

50

$

1,500,000

$

0

R $

71,000

Hanover Park

IL

$

7,500,000

Par

9/17/2010

4

$

7,500,000 $

0

Preferred Stock
Subordinated
Debentures 8

2, 7

First Eagle Bancshares, Inc.

Preferred Stock 2
Subordinated
Debentures 8

8/25/2011

9/11/2009

30a

R $

375,000

9/18/2009
9/18/2009

IA Bancorp, Inc.
HomeTown Bankshares Corporation

Iselin
Roanoke

NJ
VA

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

$
$

5,976,000
10,000,000

Par
Par

Preferred Stock 2,7 R $

315,462

9/25/2009

Heritage Bankshares, Inc.

2

9/25/2009

Mountain Valley Bancshares, Inc.

Cleveland

GA

8

9/25/2009

Grand Financial Corporation

Hattiesburg

MS

3, 8, 30 7/30/2010
10, 21, 132

9/25/2009

Guaranty Capital Corporation

Belzoni

MS

9/25/2009

GulfSouth Private Bank

Destin

FL

8, 10, 50

9/25/2009

Steele Street Bank Corporation

Denver

CO

112
2, 10, 49

10/2/2009
10/2/2009

Premier Financial Bancorp, Inc.
Providence Bank

Huntington
Rocky Mount

WV
NC

2, 10, 69 1/27/2012

Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description

2,500,000

9/11/2009

Terrell
Miami
Eden Prairie
Smithfield

Final
Disposition
Date

8,400,000

49

The ANB Corporation
U.S. Century Bank
Bank Financial Services, Inc.
KS Bancorp, Inc.

Capital
Repayment Date

$

8, 10, 49

8/7/2009
8/7/2009
8/14/2009
8/21/2009

Pricing
Mechanism

$

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

2, 49
2
2, 187
2, 172

Capital Repayment
Amount 6

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

Capital Repayment Details

Norfolk

VA

Preferred Stock w/ Exercised Warrants

$

10,103,000

Par

$

3,300,000

Par

$

2,443,320

Par

Subordinated Debentures

$

14,000,000

Par

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

$

7,500,000

Par

$

11,019,000

$
$

22,252,000
4,000,000

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

10/31/2012 ## $
3/16/2011 4 $

9,093,150
2,606,000

$
$

0
7,497,000

Preferred Stock 2
Preferred Stock 2

8/11/2011

50

$

7,497,000

$

0

Preferred Stock 2

7/30/2010

4

$

14,000,000

$

0

N/A

Par

9/1/2011

50

$

11,019,000

$

0

Par
Par

7/27/2012
9/15/2011

112

$
$

19,849,222
4,000,000

$
$

0
0

1/27/2012

69

50

$

6,251,000

49

$
$

$

49

Subordinated
Debentures 8
Warrants
Preferred Stock 2

9/17/2010

10/31/2012
8/11/2011

Preferred Stock

N/A

N/A

9/1/2011

Subordinated
Debentures 8

9/15/2011

Preferred Stock

2, 7

R $

-

303,000

N/A

7

R $

331,000

2, 7

R $

175,000

R $

381,000

R $

313,000

2, 7,

10/23/2009

Regents Bancshares, Inc.

Vancouver

WA

8, 50

10/23/2009

Cardinal Bancorp II, Inc.

Washington

MO

2
2, 10a, 49
2, 10a, 202
2, 10

10/30/2009
10/30/2009
11/6/2009
11/13/2009

Randolph Bank & Trust Company
WashingtonFirst Bankshares, Inc.
F & M Bancshares, Inc.
Fidelity Federal Bancorp

Asheboro
Reston
Trezevant
Evansville

NC

8, 10

11/13/2009

Community Pride Bank Corporation

Ham Lake

MN

2, 10a

11/13/2009

HPK Financial Corporation

Chicago

VA
TN
IN

IL

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

$

12,700,000

Par

$

6,251,000

Par

9/8/2011

$
$
$
$

6,229,000
6,842,000
3,535,000
6,657,000

Par
Par
Par
Par

8/4/2011
2/7/2013

$

4,400,000

Par

$

5,000,000

Par

12/11/2012

202

4

$

12,700,000

$

2

0

Preferred Stock

1/27/2012

Preferred Stock

$

0

Subordinated
Debentures 8

9/8/2011

Subordinated
Debentures 8

6,842,000
3,298,420

$
$

0
0

N/A
N/A

N/A
N/A

N/A
N/A

5,000,000

$

0

Preferred Stock 2

12/11/2012

Preferred Stock

69
7

-

2, 7

R $

N/A
N/A

144,000

50

Footnote

Seller

Purchase Date

Purchase Details

Name of Institution

City

State

2, 10, 184
2, 50
2, 10a

11/20/2009
11/20/2009
11/20/2009

Presidio Bank
McLeod Bancshares, Inc.
Metropolitan Capital Bancorp, Inc.

San Francisco
Shorewood
Chicago

MN

3, 10a, 72 2/10/2012

12/4/2009

Broadway Financial Corporation

Los Angeles

2, 200
2, 10

12/4/2009
12/4/2009

Delmar Bancorp
Liberty Bancshares, Inc.

Delmar
Fort Worth

Investment Amount

Pricing
Mechanism

Capital
Repayment Date
12/11/2012
8/18/2011

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

$
$
$

10,800,000
6,000,000
2,348,000

Par
Par
Par

CA

Preferred Stock

$

6,000,000

Par

MD
TX

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

$
$

9,000,000
6,500,000

Par
Par

CA
IL

Capital Repayment
Amount 6

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

$
$

9,058,369
6,000,000

$
$

0
0

Preferred Stock 2
2
Preferred Stock

12/11/2012
8/18/2011

Preferred Stock
Preferred Stock

2, 7

$

5,453,900

$

0

Preferred Stock 2

2/7/2013

Preferred Stock

2, 7

Capital Repayment Details

2/7/2013

50

200

Final
Disposition
Date

Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
2, 7

P $
R $

278,381
300,000

P $

311,944

P $

720,374

2, 7,

2, 113, 129

12/11/2009

First Community Financial Partners, Inc.

Joliet

IL

Preferred Stock w/ Exercised Warrants

$

22,000,000

Par

2, 10
12/11/2009

8
2, 10a, 49
2, 10a, 49
2, 10a, 49
2, 10a, 114,
251
2, 10a
2, 10a, 49

12/11/2009
12/11/2009
12/11/2009
12/11/2009

GrandSouth Bancorporation
1st Enterprise Bank
First Resource Bank

West Point
Greenville
Los Angeles
Exton

First Western Financial, Inc.

Denver

12/11/2009
12/11/2009

Meridian Bank
The Victory Bancorp, Inc.
Bank of Southern California, N.A. (First Business
Bank, N.A.)
Layton Park Financial Group
Centric Financial Corporation
Valley Financial Group, Ltd., 1st State Bank
Cache Valley Banking Company
Birmingham Bloomfield Bancshares, Inc
First Priority Financial Corp.
Northern State Bank
Union Bank & Trust Company
First Freedom Bancshares, Inc.

Devon
Limerick

12/11/2009

2, 173
2, 10, 49
2, 49
2, 10a, 49
2, 10a, 49
2, 10a, 203
2, 10a
2, 10a, 49
2, 10, 149
2, 10a, 30 9/24/2010
2, 10a, 13 8/31/2010,
49
2, 10a, 49
2, 10a, 49
2, 10a, 175
2, 10
2, 10

12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/18/2009
12/22/2009

8, 10, 38

Nationwide Bankshares, Inc.

Clinton

12/11/2009

2, 10a, 188

2, 73 3/9/2012

Wachusett Financial Services, Inc.

MA

NE
SC
CA
PA
CO
PA
PA

Preferred Stock w/ Exercised Warrants

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

$

$
$
$
$

12,000,000

2,000,000
6,319,000
6,000,000
2,417,000

9/12/2012

129

$

14,211,450

$

0

4/4/2012

4

$

3,000,000

$

9,000,000

1/30/2013

4

$

4,000,000

$

5,000,000

12/29/2010

4

$

2,000,000

$

9/8/2011
9/1/2011
9/15/2011
7/27/2012
6/24/2013

49

$
$
$
$
$

6,319,000
6,000,000
2,417,000
6,138,000
3,237,045

$
$
$
$
$

Par

Par
Par
Par
Par

Preferred Stock

$

11,881,000

Par

Preferred Stock
Preferred Stock w/ Exercised Warrants

$
$

6,335,000
1,505,000

Par
Par

49
49
114
251

0
0
0
0
3,881,000
0

Preferred Stock

2

Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Subordinated
Debentures 8
N/A
N/A
N/A

7/27/2012

Preferred Stock

N/A
N/A
N/A

Subordinated
Debentures 8
N/A
N/A
N/A

N/A

N/A

N/A

12/29/2010

9/22/2011

49

$

1,505,000

$

0

Preferred Stock 2

9/22/2011

Preferred Stock

$

1,832,697

$

0

N/A

N/A

N/A

$
$
$
$
$
$
$
$
$

2,345,930
6,056,000
1,300,000
4,640,000
1,744,000
4,009,723
1,230,000
2,997,000
7,945,493

$
$
$
$
$
$
$
$
$

0
0
0
0
0
0
0
0
0

Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
N/A
N/A
N/A
N/A
N/A
Preferred Stock 2

11/29/2012
7/14/2011
9/22/2011
N/A
N/A
N/A
N/A
N/A
11/9/2012

Preferred Stock
Preferred Stock
Preferred Stock
N/A
N/A
N/A
N/A
N/A
Preferred Stock

$

2,836,000

$

0

N/A

N/A

N/A

San Diego

CA

Preferred Stock

$

2,032,000

Par

12/20/2012

188

Milwaukee
Harrisburg
Saginaw
Logan
Birmingham
Malvern
Closter
Oxford
Lebanon

WI
PA
MI
UT
MI
PA
NJ
NC
TN

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

$
$
$
$
$
$
$
$
$

3,000,000
6,056,000
1,300,000
4,640,000
1,744,000
4,596,000
1,230,000
2,997,000
8,700,000

Par
Par
Par
Par
Par
Par
Par
Par
Par

11/29/2012
7/14/2011
9/22/2011
7/14/2011
7/28/2011
2/8/2013
3/28/2012
9/22/2011
11/9/2012

173
49
49
49
49
203
4
49
149

12/22/2009

First Choice Bank

Cerritos

CA

Preferred Stock

$

2,836,000

Par

9/24/2010

4

12/22/2009

Highlands Bancorp, Inc.
(Highlands State Bank)

Vernon

NJ

Preferred Stock

$

2,359,000

Par

9/22/2011

49

$

2,359,000

$

0

N/A

N/A

N/A

12/22/2009
12/22/2009
12/22/2009
12/29/2009
12/29/2009

Medallion Bank
Catskill Hudson Bancorp, Inc
TriSummit Bank
Atlantic Bancshares, Inc.
Union Financial Corporation

Salt Lake City
Rock Hill
Kingsport
Bluffton
Albuquerque

UT
NY
TN
SC
NM

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

$
$
$
$
$

9,698,000
3,500,000
4,237,000
2,000,000
2,179,000

Par
Par
Par
Par
Par

7/21/2011
7/21/2011
11/29/2012

49

$
$
$

9,698,000
3,500,000
3,145,973

$
$
$

0
0
0

Preferred Stock 2
Preferred Stock 2
N/A

7/21/2011
7/21/2011
N/A

Preferred Stock
Preferred Stock
N/A

3/9/2012

Preferred Stock

N/A

N/A

49
175

7/25/2012

4

$

600,000

$

3/9/2012

73

$

4,500,000

$

0

$

650,000

$

0

1,579,000

113

7

2, 7

R $

100,000

-

N/A
N/A
N/A

-

N/A

R $

34,000
N/A

2, 7
2, 7
2, 7

2, 7

P $
R $
R $
P $
-

104,375
182,000
65,000
N/A
N/A
N/A
N/A
N/A
256,119
N/A
N/A

2, 7

R

2, 7

R

$
$
N/A

55,000
113,000

R

$

225,000

Preferred Stock 2
2, 7,

12/29/2009
12/29/2009

Mainline Bancorp, Inc.
FBHC Holding Company

Ebensburg
Boulder

PA

Preferred Stock w/ Exercised Warrants

$

4,500,000

Par

CO

Subordinated Debentures w/ Exercised
Warrants

$

3,035,000

Par

3/9/2011

38

Preferred Stock
N/A

2

73

N/A

51

Footnote

Seller

Name of Institution

Purchase Date
2, 10a, 155
2, 10a
2, 10a, 30 9/29/2010
2, 10a
2, 10a, 164
2, 10a, 49

Purchase Details

City

State

Capital Repayment
Amount 6

Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description

Capital Repayment Details

Investment Amount

Pricing
Mechanism

Capital
Repayment Date

Final
Disposition
Date

Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description

12/29/2009
12/29/2009

Western Illinois Bancshares Inc.
DeSoto County Bank

Monmouth
Horn Lake

IL
MS

Preferred Stock
Preferred Stock

$
$

4,567,000
1,508,000

Par
Par

11/9/2012

155

$

4,217,361

$

0

N/A

N/A

N/A

12/29/2009

Lafayette Bancorp, Inc.

Oxford

MS

Preferred Stock

$

2,453,000

Par

9/29/2010

4

$

2,453,000

$

0

N/A

N/A

N/A

12/29/2009
12/29/2009
12/29/2009

Private Bancorporation, Inc.
CBB Bancorp
Illinois State Bancorp, Inc.

Minneapolis
Cartersville
Chicago

MN
GA
IL

Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants

$
$
$

3,262,000
1,753,000
4,000,000

Par
Par
Par

11/29/2012
9/22/2011

164

$
$

1,613,658
4,000,000

$
$

0
0

N/A
Preferred Stock 2

N/A
9/22/2011

N/A
Preferred Stock

$

204,943,827,320

Total Purchase Amount *

49

Total Repaid **
Losses***

TOTAL TREASURY CAPITAL PURCHASE PROGRAM (CPP) OUTSTANDING INVESTMENT AMOUNT

$ 196,005,065,209
$

(3,486,315,340)

$

5,452,446,771

N/A
-

2, 7

Total Warrant Proceeds****

N/A

N/A
R $
$

92,000
7,874,131,974

* Total purchase amount includes the capitalization of accrued dividends referred to in Notes 20, 22, 28 and 29.
** Total repaid includes (i) the amount of $25 billion applied as repayment under the Capital Purchase Program from the total proceeds of $31.85 billion received pursuant to the sales of Citigroup, Inc. common stock as of December 6, 2010 (see Note 23 and "Capital Purchase Program - Citigroup Common Stock Disposition" on following pages) and (ii)
the amount of $355,724,000 repaid by institutions that have completed exchanges for investments under the Community Development Capital Initiative (see Note 30 and "Community Development Capital Initiative" on following pages).
*** Losses include (i) the investment amount for institutions that have completed bankruptcy proceedings and (ii) the investment amount less the amount of final proceeds for institutions where Treasury has completed a sale, but excludes investment amounts for institutions that have pending receivership or bankruptcy proceedings.
**** Total warrant proceeds includes $7,566,000, which represents the total amount of warrants that were included in nine institutions' exchange into the CDCI program (see Note 30a). Beginning with the Transactions Report for the period ending April 20, 2012, disposition amounts for warrant sales by Treasury in a registered public offering ("A") are
displayed after underwriting fees (net) as oppose to before underwriting fees and selling expenses (gross).
Notes appear on the following page.

52

1a/ 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
1b/ The warrant disposition proceeds amount are stated pro rata in respect of the CPP investments in Bank of America Corporation that occurred on 10/28/2008 and 1/9/2009. The total net disposition proceeds from CPP warrants on 3/3/2010 was $305,913,040, consisting of $183,547,824 and $122,365,216. Proceeds from the disposition of TIP
warrants on 3/3/2010 appear on a following page of this report.
2/ 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.
3/ 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.
3a/ Treasury cancelled the warrants received from this institution due to its designation as a CDFI.
4/ Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009.
5/ Redemption pursuant to a qualified equity offering.
6/ This amount does not include accrued and unpaid dividends, which must be paid at the time of capital repayment.
7/ The proceeds associated with the disposition of this investment do not include accrued and unpaid dividends.
8/ Subchapter S corporation; Treasury received a warrant to purchase additional subordinated debentures (unless the institution is a CDFI), which it exercised immediately.
9/ 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.
10/ This institution participated in the expansion of CPP for small banks.
10a/ This institution received an additional investment through the expansion of CPP for small banks.
11/ Treasury made three separate investments in Citigroup Inc. (Citigroup) under the CPP, Targeted Investment Program (TIP), and Asset Guarantee Program (AGP) for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange up to $25 billion of Treasury's investment in Fixed Rate Cumulative Perpetual
Preferred Stock, Series H (CPP Shares) "dollar for dollar" in Citigroup's Private and Public Exchange Offerings. On 7/23/2009 and 7/30/2009, Treasury exchanged a total of $25 billion of the CPP shares for Series M Common Stock Equivalent (“Series M”) and a warrant to purchase shares of Series M. On 9/11/2009, Series M automatically
converted to 7,692,307,692 shares of common stock and the associated warrant terminated on receipt of certain shareholder approvals.
12/ On 8/24/2009, Treasury exchanged its series C preferred stock issued by Popular, Inc. for a like amount of non tax-deductible trust preferred securities issued by Popular Capital Trust III, administrative trustee for Popular, Inc. Popular, Inc. paid a $13 million exchange fee in connection with this transaction.
13/ This institution converted to a bank holding company structure and Treasury exchanged its securities for a like amount of securities that comply with the CPP terms applicable to bank holding companies. The institution in which Treasury's original investment was made is shown in parentheses.
14/ As of the date of this report, this institution is in bankruptcy proceedings.
15/ For final and partial disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution in a negotiated sale pursuant to the terms of the related securities purchase agreement, "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, and "P" represents the proceeds to Treasury from a sale by Treasury in a private auction principally involving qualified institutional buyers.
16/ 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
17/ 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.
18/ 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
19/ 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.
20/ On 3/8/2010, Treasury exchanged its $84,784,000 of preferred stock in Midwest Banc Holdings, Inc. (MBHI) for $89,388,000 of mandatory convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $84,784,000, plus $4,604,000 of capitalized previously accrued and unpaid dividends. Subject to the fulfillment by
MBHI of the conditions related to its capital plan, the MCP may be converted to common stock.
21/ On 3/30/2010, Treasury exchanged its $7,500,000 of subordinated debentures in GulfSouth Private Bank for an equivalent amount of preferred stock, in connection with its conversion from a Subchapter S-Corporation, that comply with the CPP terms applicable to privately held qualified financial institutions.
22/ 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. Subject to the
fulfillment by Independent of the conditions related to its capital plan, the MCP may be converted to common stock.
23/ Treasury received Citigroup common stock pursuant to the June 2009 Exchange Agreement between Treasury and Citigroup which provided for the exchange into common shares of the preferred stock that Treasury purchased in connection with Citigroup's participation in the Capital Purchase Program (see note 11). On April 26, 2010,
Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on May
26, 2010. On May 26, 2010, Treasury again gave Morgan Stanley discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on June 30,
2010. On July 23, 2010, Treasury again gave Morgan Stanley discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on September 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on
September 30, 2010. On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common stock from time to time during the period ending on December 31, 2010 (or upon completion of the sale), which plan
was terminated on December 6, 2010. All such sales were generally made at the market price. On December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. See "Capital Purchase Program - Citigroup, Inc., Common Stock Disposition" on following page for the actual number of shares sold by
Morgan Stanley, the weighted average price per share and the total proceeds to Treasury from all such sales during those periods.
24/ On 8/26/2010, Treasury completed the exchange of its $303,000,000 of preferred stock in Sterling Financial Corporation (Sterling) for a like amount of mandatorily convertible preferred Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Sterling entered into on 4/29/2010. Since Sterling also fulfilled the
conversion conditions set forth in the Certificate of Designations for the MCP, including those related to its capital plan, Treasury’s $303,000,000 of MCP was subsequently, as of 8/26/2010, converted into 378,750,000 shares of common stock.
25/ On 8/20/2010, Sonoma Valley Bank, Sonoma, CA, the banking subsidiary of Sonoma Valley Bancorp, was closed by the California Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
26/ On 9/30/2010, Treasury completed the sale of all preferred stock and warrants issued by South Financial Group, Inc. to Toronto-Dominion Bank (TD) at an aggregate purchase price of $130,179,218.75 for the preferred stock and $400,000 for the warrants, pursuant to the terms of the agreement between Treasury and TD entered into on
5/18/2010.
27/ On 6/30/2010, Treasury exchanged $46,400,000 of its series A preferred stock in First Merchants Corporation for a like amount of non tax-deductible Trust Preferred Securities issued by First Merchants Capital Trust III.
28/ On 7/20/2010, Treasury completed the exchange of its $400,000,000 of preferred stock in First BanCorp for $424,174,000 of mandatorily convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $400,000,000, plus $24,174,000 of capitalized previously accrued and unpaid dividends. On 10/07/2011, following the
completion of the conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was converted into 32,941,797 shares of common stock of First BanCorp. Treasury received all accrued and previously unpaid dividends on the MCP at the time of the conversion. First BanCorp has agreed to have a Treasury
observer attend board of directors meetings.
29/ On 8/31/2010, following the completion of the conditions related to Pacific Capital Bancorp's (Pacific Capital) capital plan, Treasury exchanged its $180,634,000 of preferred stock in Pacific Capital for $195,045,000 of mandatorily convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $180,634,000, plus
$14,411,000 of capitalized previously accrued and unpaid dividends. On 9/27/2010, following the completion of the conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was converted into 360,833,250 shares of common stock of Pacific Capital. Following a reverse stock split effective 12/28/10, Treasury
held 3,608,332 shares of Pacific Capital common stock. Effective 11/30/12, Pacific Capital merged with and into UnionBanCal Corporation and each outstanding share of common stock of the Company was converted into the right to receive $46.00 per share in cash, and Treasury received $165,983,272 in respect of its common stock and
$393,121 in respect of its warrant.
30/ 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.
30a/ At the time of this institution’s exchange into the CDCI program, the warrant preferreds were included in the total amount of preferred stock exchanged for Treasury’s CDCI investment. Therefore this disposition amount does not represent cash proceeds to Treasury.
31/ On 9/30/2010, Treasury completed the exchange of its $80,347,000 of preferred stock in Hampton Roads Bankshares, Inc. (Hampton) for a like amount of mandatorily convertible preferred Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Hampton entered into on 8/12/2010. Since Hampton also fulfilled the
conversion conditions set forth in the Certificate of Designations for the MCP, Treasury’s $80,347,000 of MCP was subsequently converted into 52,225,550 shares of common stock.
32/ On 9/30/2010, Treasury completed the sale of all preferred stock and warrants issued by TIB Financial Corp. to North American Financial Holdings, Inc. (NAFH) at an aggregate purchase price of $12,119,637.37 for the preferred stock and $40,000 for the warrants, pursuant to the terms of the agreement between Treasury and NAFH entered
into on 9/24/2010.
33/ On 3/4/2011, Treasury completed the sale to Community Bancorp LLC (“CBC”) of all preferred stock and warrants issued by Cadence Financial Corporation (“Cadence”) to Treasury for an aggregate purchase price of $39,014,062.50, pursuant to the terms of the agreement between Treasury and CBC entered into on 10/29/2010.
34/ On 12/3/2010, Treasury completed the sale of all preferred stock (including the preferred stock received upon the exercise of warrants) issued by The Bank of Currituck (“Currituck”) to Treasury for an aggregate purchase price of $1,742,850, pursuant to the terms of the agreement between Treasury and Currituck entered into on 11/5/2010.
35/ 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.
36/ On 2/15/2011, Treasury completed the sale of all preferred stock (including the preferred stock received upon the exercise of warrants) issued by Treaty Oak Bancorp (“Treaty Oak”) to Treasury for (i) a cash payment of $500,000, (ii) the right to receive up to $150,000 in principal payments on a note payable by Carlile Bancshares, Inc. in favor of
Treaty Oak, and (iii) a newly issued warrant to purchase 3,098,341 shares of Treaty Oak common stock, pursuant to the terms of the agreement between Treasury and Treaty Oak entered into on 2/15/2011.
37/ 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.
38/ On 3/9/2011, Treasury completed the sale of all subordinated debentures (including the subordinated debentures received upon the exercise of warrants) issued by FBHC Holding Company ("FBHC") to Treasury for an aggregate purchase price of $650,000, pursuant to the terms of the agreement between Treasury and FBHC entered into on
3/9/2011.
39/ On 5/31/2011, Treasury completed the sale of all preferred stock and warrants issued by First Community Bank Corporation of America (FCBCA) for an aggregate purchase price of (i) $7.20 million plus (ii) 72% of the remaining cash assets after giving effect to the payment of defined acquisition expenses, debts, liabilities and distributions to other
classes of security holders, pursuant to the terms of the agreement between Treasury and FCBCA entered into on 3/11/2011.

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40/ 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.
41/ 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.
42/ On 5/3/2011, Treasury completed the sale of all First Federal Bancshares of Arkansas, Inc. preferred stock and warrants held by Treasury to Bear State Financial Holdings, LLC (“Bear State”) for an aggregate purchase price of $6,000,000.00, pursuant to the terms of the agreement between Treasury and Bear State entered into on 05/03/2011.
43/ On 5/13/2011, Treasury completed the sale of all Wilmington Trust Corporation preferred stock held by Treasury to M&T Bank Corporation ("M&T") for an aggregate purchase price of $330,000,000.00 plus accrued dividends and exchanged its Wilmington Trust Corporation warrant for an equivalent warrant issued by M&T Bank Corporation,
pursuant to the terms of the agreement between Treasury and M&T entered into on 5/13/2011.
44/ 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.
45/ On 6/3/2011, Treasury completed the sale of all Whitney Holding Corporation preferred stock and the related warrant held by Treasury to Hancock Holding Company ("HHC") for an aggregate purchase price equal to (i) the par amount of the preferred stock ($300,000,000) plus accrued and unpaid dividends thereon and (ii) $6,900,000 for the
warrant, pursuant to the terms of the agreement between Treasury and HHC entered into on 6/3/2011.
46/ On 06/22/2011, Treasury completed the sale of 2,850,000 shares of common stock at $12.590625 per share (which represents the $12.75 public offering price less underwriting discounts) for net proceeds of $35,883,281.25 pursuant to an underwriting agreement executed on 06/17/2011. On 4/4/2012, Treasury completed the sale of all of
Treasury’s remaining 2,770,117 shares of Central Pacific Financial Corp. common stock at $13.01 per share (which represents the $13.15 public offering price less underwriting discounts) for net proceeds of $36,039,222.17, pursuant to an underwriting agreement executed on 03/29/2012.
47/ On 6/30/2011, Treasury completed the sale of all Cascade Financial Corporation preferred stock held by Treasury and the related warrant to Opus Acquisition, Inc. ("Opus") for an aggregate purchase price of $16,250,000.00, pursuant to the terms of the agreement between Treasury and Opus entered into on 06/28/2011.
49/ 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.
50/ 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.
51 / 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.
52/ 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.
53/ 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.
54/ 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.
55/ 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.
56/ 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.
57/ 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.
58/ 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.
59/ On 9/7/2011, Treasury completed the sale of all Green Bankshares, Inc. preferred stock held by Treasury and the related Warrant to North American Financial Holdings, Inc. ("NAFH") for an aggregate purchase price of $68,700,000.00, pursuant to the terms of the agreement between Treasury and NAFH entered into on 9/6/2011.
60/ 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.
61/ 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.
62/ 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.
63/ 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.
64/ On 10/21/2011, Treasury completed the sale of all Santa Lucia Bancorp preferred stock and warrants held by Treasury to CCI One Acquisition Corporation ("CCI") for an aggregate purchase price of $2,800,000.00, pursuant to the terms of the agreement between Treasury and CCI entered into on 10/20/2011.
65/ 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.
66/ As a result of the acquisition of Center Financial Corporation by BBCN Bancorp, Inc. (formerly Nara Bancorp, Inc.), the preferred stock and warrant issued by Center Financial Corporation were exchanged for a like amount of securities of BBCN Bancorp, Inc., pursuant to the terms of an agreement among Treasury, Center Financial Corporation,
and BBCN Bancorp, Inc. entered into on 11/30/2011.
67/ On 1/3/2012, Treasury completed (i) the sale to F.N.B. Corporation (“F.N.B.”) of all of the preferred stock that had been issued to Treasury by Parkvale Financial Corporation (“Parkvale”) for a purchase price of $31,762,000 plus accrued dividends and (ii) the exchange of the Parkvale warrant held by Treasury for a like F.N.B. warrant, pursuant to
the terms of the agreement between Treasury and F.N.B. entered into on 12/29/2011 in connection with the merger of Parkvale and F.N.B. effective 01/01/2012.
68/ 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.
69/ 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.
70/ 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.
71/ 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.
72/ 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.
73/ On 3/9/2012, Treasury completed the sale of all Mainline Bancorp, Inc. preferred stock and exercised warrants held by Treasury to 9th Street Holdings, Inc., a subsidiary of S&T Bancorp, Inc., for an aggregate purchase price of $4,725,000 plus accrued and unpaid dividends, pursuant to the terms of an agreement among Treasury, 9th Street
Holdings, Inc., and S&T Bancorp, Inc. entered into on 3/8/2012.
74/ On 4/3/2012, Treasury completed the sale of 124,000 shares of Banner Corporation preferred stock at $884.82 per share (less underwriting discounts) for net proceeds of $108,071,914.80 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.
75/ On 4/3/2012, Treasury completed the sale of 65,000 shares of First Financial Holdings, Inc. preferred stock at $873.51 per share (less underwriting discounts) for net proceeds of $55,926,477.75 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.
76/ On 4/3/2012, Treasury completed the sale of 62,158 shares of Wilshire Bancorp, Inc. preferred stock at $943.51 per share (less underwriting discounts) for net proceeds of $57,766,994.16 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.
77/ On 4/3/2012, Treasury completed the sale of 2,000 shares of Seacoast Banking Corporation of Florida preferred stock at $20,510.00 per share (less underwriting discounts) for net proceeds of $40,404,700.00 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.
78/ On 4/3/2012, Treasury completed the sale of 57,000 shares of MainSource Financial Group, Inc. preferred stock at $931.11 per share (less underwriting discounts) for net proceeds of $52,277,170.95 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.
79/ On 4/3/2012, Treasury completed the sale of 52,625 shares of WSFS Financial Corporation preferred stock at $915.11 per share (less underwriting discounts) for net proceeds of $47,435,298.79 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 3/28/2012.
80/ On 4/13/2012, Treasury completed the sale of all Gateway Bancshares, Inc. preferred stock held by Treasury to First Volunteer Corporation ("First Volunteer") for an aggregate purchase price of $6,300,000.00 plus accrued and unpaid dividends, pursuant to the terms of the agreement between Treasury and First Volunteer entered into on
4/13/2012.
81/ On 4/20/2012, Treasury completed the sale of all The Connecticut Bank and Trust Company preferred stock held by Treasury to Berkshire Bank for an aggregate purchase price of $6,289,966.33 consisting of (a) (i) $5,448,000.00 for the preferred stock plus (ii) all accrued and unpaid dividends and (b) $792,783.00 for the Warrant, pursuant to
the terms of the agreement by and among Treasury, The Connecticut Bank and Trust Company, and Berkshire Bank entered into on 4/19/2012.
82/ 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.
83/ On 4/24/2012, Treasury completed the sale of all Peoples Bancorporation, Inc. ("Peoples") preferred stock held by Treasury to SCBT Financial Corporation ("SCBT") for an aggregate purchase price of $13,293,000 plus accrued and unpaid dividends, pursuant to the terms of the agreement by and among Treasury, Peoples, and SCBT entered
into on 4/24/2012.
84/ On 8/14/2012, Treasury completed the sale of all Millennium Bancorp, Inc. (Millennium) Preferred Stock held by Treasury to CIC Bancshares, Inc. (CIC) for an aggregate purchase price of (i) $2.904 million plus (ii) accrued and unpaid dividends on the Preferred Stock as of the closing date, pursuant to an agreement by and amount Treasury, CIC,
and Millennium entered into on 4/20/2012.
85/ On 6/19/2012, Treasury completed the sale of 52,000 shares of Ameris Bancorp preferred stock at $930.60 per share (less underwriting discounts) for net proceeds of $47,665,332.00 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
86/ On 6/19/2012, Treasury completed the sale of 104,823 shares of Taylor Capital Group preferred stock at $893.50 per share (less underwriting discounts) for net proceeds of $92,254,460.24 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
87/ On 6/19/2012, Treasury completed the sale of 30,000 shares of Farmers Capital Bank Corporation preferred stock at $869.17 per share (less underwriting discounts) for net proceeds of $21,594,228.79 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.

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88/ On 6/19/2012, Treasury completed the sale of 25,223 shares of LNB Bancorp Inc. preferred stock at $739.89 per share (less underwriting discounts) for net proceeds of $21,863,749.50 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
89/ On 6/19/2012, Treasury completed the sale of 37,000 shares of First Defiance Financial Corp. preferred stock at $962.66 per share (less underwriting discounts) for net proceeds of $35,084,143.70 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
90/ On 6/19/2012, Treasury completed the sale of 10,958 shares of First Capital Bancorp, Inc. preferred stock at $920.11 per share (less underwriting discounts) for net proceeds of $9,931,326.90 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
91/ On 6/19/2012, Treasury completed the sale of 20,600 shares of United Bancorp, Inc. preferred stock at $825.50 per share (less underwriting discounts) for net proceeds of $16,750,220.50 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/13/2012.
92/ On 7/3/2012, Treasury completed the sale of 48,200 shares of Fidelity Southern Corporation preferred stock at $900.60 per share (less underwriting discounts) for net proceeds of $42,757,786.20 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
93/ On 7/3/2012, Treasury completed the sale of 25,054 shares of Peoples Bancorp of North Carolina, Inc. preferred stock at $933.36 per share (less underwriting discounts) for net proceeds of $23,033,635.42 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
94/ On 7/3/2012, Treasury completed the sale of 23,184 shares of First Citizens Banc Corp preferred stock at $906.00 per share (less underwriting discounts) for net proceeds of $20,689,633.44 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
95/ On 7/3/2012, Treasury completed the sale of 45,000 shares of MetroCorp Bancshares, Inc. preferred stock at $981.17 per share (less underwriting discounts) for net proceeds of $43,490,360.25 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
96/ On 7/3/2012, Treasury completed the sale of 32,538 shares of Pulaski Financial Corp preferred stock at $888.00 per share (less underwriting discounts) for net proceeds of $28,460,337.84 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
97/ On 7/3/2012, Treasury completed the sale of 33,000 shares of Firstbank Corporation preferred stock at $941.01 per share (less underwriting discounts) for net proceeds of $30,587,530.05 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
98/ On 7/3/2012, Treasury completed the sale of 17,299 shares of Southern First Bancshares, Inc. preferred stock at $904.00 per share (less underwriting discounts) for net proceeds of $15,403,721.56 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 6/27/2012.
99/ On 7/12/2012, Treasury completed the sale of all Naples Bancorp, Inc. ("Naples Bancorp") preferred stock held by Treasury to Naples Bancorp for an aggregate purchase price of $600,000.00, pursuant to the terms of the agreement between Treasury and Naples Bancorp entered into on 7/12/2012.
100/ On 7/17/2012, Treasury completed the sale of all Heartland Bancshares, Inc. ("Heartland") preferred stock held by Treasury to Horizon Bancorp for an aggregate purchase price of $7,248,000 plus accrued and unpaid dividends, pursuant to the terms of the agreement by and among Treasury, Heartland, and Horizon Bancorp entered into on
7/17/2012.
101/ 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.
102/ On 8/10/2012, Treasury completed the sale of 35,500 shares of Marquette National Corporation preferred stock at $720.25 per share (less a placement agent fee) for net proceeds of $25,313,186.25 and 1,775 shares of Marquette National Corporation preferred stock received upon the exercise of warrants at $825.25 per share (less a
placement agent fee) for net proceeds of $1,450,170.56, pursuant to a placement agency agreement executed on 7/23/2012.
103/ On 8/13/2012, Treasury completed the sale of 43,000 shares of Exchange Bank preferred stock at $875.25 per share (less a placement agent fee) for net proceeds of $37,259,392.50 and 2,150 shares of Exchange Bank preferred stock received upon the exercise of warrants at $965.10 per share (less a placement agent fee) for net proceeds
of $2,054,215.35, pursuant to a placement agency agreement executed on 7/23/2012.
104/ On 8/9/2012, Treasury completed the sale of 36,282 shares of Fidelity Financial Corporation preferred stock at $891.26 per share (less a placement agent fee) for net proceeds of $32,013,328.37 and 1,814 shares of Fidelity Financial Corporation preferred stock received upon the exercise of warrants at $960.60 per share (less a placement
agent fee) for net proceeds of $1,725,103.12, pursuant to a placement agency agreement executed on 7/23/2012.
105/ On 8/9/2012, Treasury completed the sale of 428 shares of First Western Financial, Inc. preferred stock received upon the exercise of warrants at $828.50 per share (less a placement agent fee) for net proceeds of $351,052.02, pursuant to a placement agency agreement executed on 7/23/2012.
106/ On 8/10/2012, Treasury completed the sale of 23,200 shares of Park Bancorporation, Inc. preferred stock at $730.25 per share (less a placement agent fee) for net proceeds of $16,772,382.00 and 1,160 shares of Park Bancorporation, Inc. preferred stock received upon the exercise of warrants at $780.25 per share (less a placement agent
fee) for net proceeds of $896,039.10, pursuant to a placement agency agreement executed on 7/23/2012.
107/ On 8/10/2012, Treasury completed the sale of 35,539 shares of Trinity Capital Corporation preferred stock at $750.25 per share (less a placement agent fee) for net proceeds of $26,396,503.40 and 1,777 shares of Trinity Capital Corporation preferred stock received upon the exercise of warrants at $941.20 per share (less a placement agent
fee) for net proceeds of $1,655,787.28, pursuant to a placement agency agreement executed on 7/23/2012.
108/ On 8/10/2012, Treasury completed the sale of 24,300 shares of CBS Banc-Corp. preferred stock at $905.20 per share (less a placement agent fee) for net proceeds of $21,776,396.40 and 1,215 shares of CBS Banc-Corp. preferred stock received upon the exercise of warrants at $921.00 per share (less a placement agent fee) for net
proceeds of $1,107,824.85, pursuant to a placement agency agreement executed on 7/23/2012.
109/ On 8/9/2012, Treasury completed the sale of its Market Street Bancshares, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $18,069,212.70 and its Market Street Bancshares, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $824,730.64,
pursuant to a placement agency agreement executed on 7/23/2012.
110/ On 8/9/2012, Treasury completed the sale of its Commonwealth Bancshares, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $15,147,000.00 and its Commonwealth Bancshares, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $898,722.00,
pursuant to a placement agency agreement executed on 7/23/2012.
111/ On 8/9/2012, Treasury completed the sale of its Diamond Bancorp, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $14,780,661.64 and its Diamond Bancorp, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $779,576.49, pursuant to a
placement agency agreement executed on 7/23/2012.
112/ On 8/10/2012, Treasury completed the sale of 22,252 shares of Premier Financial Bancorp, Inc. preferred stock at $901.03 per share (less a placement agent fee) for net proceeds of $19,849,222.36, pursuant to a placement agency agreement executed on 7/23/2012.
113/ On 8/10/2012, Treasury completed the sale of 1,100 shares of First Community Financial Partners, Inc. preferred stock received upon the exercise of warrants at $661.50 per share (less a placement agent fee) for net proceeds of $720,373.50, pursuant to a placement agency agreement executed on 7/23/2012.
114/ On 8/9/2012, Treasury completed the sale of 8,000 shares of First Western Financial, Inc. preferred stock at $775.00 per share (less a placement agent fee) for net proceeds of $6,138,000.00, pursuant to a placement agency agreement executed on 7/23/2012.
115/ 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.
116/ 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.
117/ On 8/1/2012, Treasury completed the sale of all VIST Financial Corp. ("VIST") preferred stock and the related warrant held by Treasury to Tompkins Financial Corporation ("Tompkins") for an aggregate purchase price equal to (i) the par amount of the preferred stock ($25,000,000) plus accrued and unpaid dividends thereon and (ii) $1,189,813
for the warrant, pursuant to the terms of the agreement by and among Treasury, VIST, and Tompkins entered into on 8/1/2012.
118/ On 8/20/2012, Treasury completed the sale of 5,738,637 split adjusted shares of Sterling Financial Corporation common stock at $20.00 per share (less underwriting discounts) for net proceeds of $113,338,080.75, pursuant to an underwriting agreement executed on 8/14/2012.
119/ On 8/21/2012, Treasury completed the sale of 230,000 shares of M&T Bank Corporation Series A Preferred Shares and 151,500 shares of M&T Bank Corporation Series C Preferred Shares at $1,000.00 per share plus accrued dividends for proceeds of $381,500,000.00 plus accrued dividends, pursuant to an underwriting agreement executed
120/ On 8/29/2012, Treasury completed the sale of 31,260 shares of BNC Bancorp preferred stock at $921.23 per share (less underwriting discounts) for net proceeds of $28,365,685.05 plus accrued dividends, pursuant to an underwriting agreement executed on 8/23/2012.
121/ On 8/29/2012, Treasury completed the sale of 11,000 shares of Mackinac Financial Corporation preferred stock at $958.09 per share (less underwriting discounts) for net proceeds of $10,380,905.15 plus accrued dividends, pursuant to an underwriting agreement executed on 8/23/2012.
122/ On 8/29/2012 Treasury completed the sale of 11,350 shares of First Community Corporation preferred stock at $982.83 per share (less underwriting discounts) for net proceeds of $10,987,793.69 plus accrued dividends, pursuant to an underwriting agreement executed on 8/23/2012.
123/ On 8/29/2012, Treasury completed the sale of 13,900 shares of First National Corporation preferred stock at $882.50 per share (less underwriting discounts) for net proceeds of $12,082,748.75 plus accrued dividends and 695 shares of First National Corporation preferred stock (held as a result of warrant exercise) at $912.50 per share (less
underwriting discounts) for net proceeds of $624,674.69 plus accrued dividends, pursuant to an underwriting agreement executed on 8/23/2012.
124/ On 9/18/2012, Treasury completed the sale of 36,000 shares of Yadkin Valley Financial Corporation Series T preferred stock at $884.82 per share (less underwriting discounts) for net proceeds of $31,843,080.00 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 9/12/2012.
125/ On 9/18/2012, Treasury completed the sale of 13,312 shares of Yadkin Valley Financial Corporation Series T-ACB preferred stock at $880.00 per share (less underwriting discounts) for net proceeds of $11,643,740.16 plus accrued and unpaid dividends, pursuant to an underwriting agreement executed on 9/12/2012.
126/ On 9/20/2012, Treasury completed the sale of 17,000 shares of F&M Financial Corporation (NC) preferred stock at $950.00 per share (less a placement agent fee) for net proceeds of $15,988,500.00 and 850 shares of F&M Financial Corporation (NC) preferred stock received upon the exercise of warrants at $921.30 per share (less a
placement agent fee) for net proceeds of $775,273.95, pursuant to a placement agency agreement executed on 9/12/2012.
127/ On 9/21/2012, Treasury completed the sale of 17,243 shares of F&M Financial Corporation (TN) preferred stock at $787.50 per share (less a placement agent fee) for net proceeds of $13,443,073.87 and 862 shares of F&M Financial Corporation (TN) preferred stock received upon the exercise of warrants at $870.00 per share (less a
placement agent fee) for net proceeds of $742,440.60, pursuant to a placement agency agreement executed on 9/12/2012.
128/ On 9/20/2012, Treasury completed the sale of 70,000 shares of Alpine Banks of Colorado preferred stock at $814.29 per share (less a placement agent fee) for net proceeds of $56,430,297.00 and 3,500 shares of Alpine Banks of Colorado preferred stock received upon the exercise of warrants at $950.00 per share (less a placement agent
fee) for net proceeds of $3,291,750.00, pursuant to a placement agency agreement executed on 9/12/2012.
129/ On 9/21/2012, Treasury completed the sale of 22,000 shares of First Community Financial Partners, Inc. preferred stock at $652.50 per share (less a placement agent fee) for net proceeds of $14,211,450.00, pursuant to a placement agency agreement executed on 9/12/2012.
130/ On 9/26/2012, Treasury completed the sale of all Central Federal Corporation preferred stock and the related warrant held by UST for an aggregate purchase price of $3,000,000, pursuant to the terms of the agreement entered into on 9/12/2012.
131/ On 10/1/2012, Treasury completed the sale of all Southern Community Financial Corp. preferred stock and the related warrant held by UST for an aggregate purchase price of $42,750,000, plus accrued and unpaid dividends, pursuant to the terms of the agreement entered into on 10/1/2012.
132/ 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.
133/ 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.
134/ On 10/31/2012, Treasury completed the sale of 12,000 shares of Blue Ridge Bancshares, Inc. preferred stock at $755.00 per share (less a placement agent fee) for net proceeds of $8,969,400.00 and 600 shares of Blue Ridge Bancshares, Inc. preferred stock received upon the exercise of warrants at $912.11 per share (less a placement
agent fee) for net proceeds of $541,793.34, pursuant to a placement agency agreement executed on 10/22/2012.

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135/ On 10/31/2012, Treasury completed the sale of 7,570 shares of First Gothenburg Bancshares, Inc. preferred stock at $910.31 per share (less a placement agent fee) for net proceeds of $6,822,136.23 and 379 shares of First Gothenburg Bancshares, Inc. preferred stock received upon the exercise of warrants at $965.11 per share (less a
placement agent fee) for net proceeds of $362,118.92, pursuant to a placement agency agreement executed on 10/22/2012.
136/ On 10/31/2012, Treasury completed the sale of 10,000 shares of Blackhawk Bancorp Inc. preferred stock at $910.00 per share (less a placement agent fee) for net proceeds of $9,009,000.00 and 500 shares of Blackhawk Bancorp Inc. preferred stock received upon the exercise of warrants at $950.00 per share (less a placement agent fee) for
net proceeds of $470,250.00, pursuant to a placement agency agreement executed on 10/22/2012.
137/ On 10/31/2012, Treasury completed the sale of 4,967 shares of Germantown Capital Corporation, Inc. preferred stock at $910.13 per share (less a placement agent fee) for net proceeds of $4,495,615.71 and 248 shares of Germantown Capital Corporation, Inc. preferred stock received upon the exercise of warrants at $966.11 per share (less
a placement agent fee) for net proceeds of $214,595.28, pursuant to a placement agency agreement executed on 10/22/2012.
138/ On 10/31/2012, Treasury completed the sale of 2,250 shares of CenterBank preferred stock at $825.00 per share (less a placement agent fee) for net proceeds of $1,831,250.00 and 113 shares of CenterBank preferred stock received upon the exercise of warrants at $965.11 per share (less a placement agent fee) for net proceeds of
$84,057.43, pursuant to a placement agency agreement executed on 10/22/2012.
139/ On 10/31/2012, Treasury completed the sale of 7,700 shares of Oak Ridge Financial Services, Inc. preferred stock at $921.50 per share (less a placement agent fee) for net proceeds of $7,024,594.50, pursuant to a placement agency agreement executed on 10/22/2012.
140/ On 10/31/2012, Treasury completed the sale of 3,285 shares of Congaree Bancshares Inc. preferred stock at $825.26 per share (less a placement agent fee) for net proceeds of $2,685,979.10 and 164 shares of Congaree Bancshares Inc. preferred stock received upon the exercise of warrants at $801.00 per share (less a placement agent
fee) for net proceeds of $106,364.00, pursuant to a placement agency agreement executed on 10/22/2012.
141/ On 10/31/2012, Treasury completed the sale of 7,700 shares of Metro City Bank preferred stock at $900.10 per share (less a placement agent fee) for net proceeds of $6,861,462.30 and 385 shares of Metro City Bank preferred stock received upon the exercise of warrants at $970.61 per share (less a placement agent fee) for net proceeds of
$369,948.00, pursuant to a placement agency agreement executed on 10/22/2012.
142/ On 10/31/2012, Treasury completed the sale of 3,900 shares of Peoples Bancshares of TN, Inc. preferred stock at $755.00 per share (less a placement agent fee) for net proceeds of $2,919,500.00 and 195 shares of Peoples Bancshares of TN, Inc. preferred stock received upon the exercise of warrants at $755.00 per share (less a placement
agent fee) for net proceeds of $122,225.00, pursuant to a placement agency agreement executed on 10/22/2012.
143/ On 10/31/2012, Treasury completed the sale of 7,500 shares of The Little Bank, Incorporated preferred stock at $981.20 per share (less a placement agent fee) for net proceeds of $7,285,410.00 and 375 shares of The Little Bank, Incorporated preferred stock received upon the exercise of warrants at $1,000.00 per share (less a placement
agent fee) for net proceeds of $371,250.00, pursuant to a placement agency agreement executed on 10/22/2012.
144/ On 10/31/2012, Treasury completed the sale of 10,000 shares of HomeTown Bankshares Corporation preferred stock at $918.50 per share (less a placement agent fee) for net proceeds of $9,093,150.00 and 374 shares of HomeTown Bankshares Corporation preferred stock received upon the exercise of warrants at $852.00 per share (less a
placement agent fee) for net proceeds of $315,461.52, pursuant to a placement agency agreement executed on 10/22/2012.
145/ 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.
146/ On 10/29/2012, First Place Financial Corp. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Delaware.
147/ On 11/9/2012, Treasury completed the sale of 1,000 shares of BankGreenville Financial Corp. preferred stock at $900.00 per share (less a placement agent fee) for net proceeds of $891,000.00 and 50 shares of BankGreenville Financial Corp. preferred stock received upon the exercise of warrants at $937.61 per share (less a placement agent
fee) for net proceeds of $46,411.70, pursuant to a placement agency agreement executed on 11/1/2012.
148/ On 11/9/2012, Treasury completed the sale of 4,000 shares of Capital Pacific Bancorp preferred stock at $938.36 per share (less a placement agent fee) for net proceeds of $3,715,905.60 and 200 shares of Capital Pacific Bancorp preferred stock received upon the exercise of warrants at $970.21 per share (less a placement agent fee) for net
proceeds of $192,101.58, pursuant to a placement agency agreement executed on 11/1/2012.
149/ On 11/9/2012, Treasury completed the sale of 8,700 shares of First Freedom Bancshares, Inc. preferred stock at $922.50 per share (less a placement agent fee) for net proceeds of $7,945,492.50 and 261 shares of First Freedom Bancshares, Inc. preferred stock received upon the exercise of warrants at $991.21 per share (less a placement
agent fee) for net proceeds of $256,118.75, pursuant to a placement agency agreement executed on 11/1/2012.
150/ On 11/13/2012, Treasury completed the sale of 5,097 shares of Franklin Bancorp, Inc. preferred stock at $632.50 per share (less a placement agent fee) for net proceeds of $3,191,613.98 and 255 shares of Franklin Bancorp, Inc. preferred stock received upon the exercise of warrants at $772.50 per share (less a placement agent fee) for net
proceeds of $195,017.63, pursuant to a placement agency agreement executed on 11/1/2012.
151/ On 11/9/2012, Treasury completed the sale of 1,500 shares of Regional Bankshares Inc. preferred stock at $925.00 per share (less a placement agent fee) for net proceeds of $1,373,625.00 and 75 shares of Regional Bankshares Inc. preferred stock received upon the exercise of warrants at $1,000 per share (less a placement agent fee) for
net proceeds of $74,250.00, pursuant to a placement agency agreement executed on 11/1/2012.
152/ On 11/13/2012, Treasury completed the sale of 3,070 shares of Sound Banking Co. preferred stock at $922.61 per share (less a placement agent fee) for net proceeds of $2,804,088.57 and 154 shares of Sound Banking Co. preferred stock received upon the exercise of warrants at $970.21 per share (less a placement agent fee) for net
proceeds of $147,918.22, pursuant to a placement agency agreement executed on 11/1/2012.
153/ On 11/9/2012, Treasury completed the sale of 5,677 shares of Three Shores Bancorporation, Inc. preferred stock at $888.36 per share (less a placement agent fee) for net proceeds of $4,992,787.52 and 284 shares of Three Shores Bancorporation, Inc. preferred stock received upon the exercise of warrants at $1,004.00 per share (less a
placement agent fee) for net proceeds of $282,284.64, pursuant to a placement agency agreement executed on 11/1/2012.
154/ On 11/13/2012, Treasury completed the sale of 16,641 shares of Timberland Bancorp, Inc. preferred stock at $862.50 per share (less a placement agent fee) for net proceeds of $14,209,333.88, pursuant to a placement agency agreement executed on 11/1/2012.
155/ On 11/9/2012, Treasury completed the sale of 6,855 shares of Western Illinois Bancshares, Inc. Series A preferred stock at $942.90 per share (less a placement agent fee) for net proceeds of $6,398,943.71; 4,567 shares of Western Illinois Bancshares, Inc. Series C preferred stock at $932.77 per share (less a placement agent fee) for net
proceeds of $4,217,360.98; and 343 shares of Western Illinois Bancshares, Inc. preferred stock received upon the exercise of warrants at $987.77 per share (less a placement agent fee) for net proceeds of $335,417.06, pursuant to a placement agency agreement executed on 11/1/2012.
156/ On 11/13/2012, Treasury completed the sale of its F&C Bancorp. Inc. subordinated debentures (less a placement agent fee) for net proceeds of $2,840,902.62 and its F&C Bancorp. Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $148,500.00, pursuant to a placement
agency agreement executed on 11/1/2012.
157/ On 11/13/2012, Treasury completed the sale of its Farmers Enterprises, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $11,439,252.00 and its Farmers Enterprises, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $590,323.14, pursuant to a
placement agency agreement executed on 11/1/2012.
158/ On 2/22/2013, Treasury completed the exchange of its Standard Bancshares, Inc. preferred stock for common stock, pursuant to an exchange agreement, dated as of 11/5/2012, with Standard Bancshares, Inc., and immediately sold the resulting Standard Bancshares, Inc. common stock, pursuant to securities purchase agreements, each
dated as of 11/5/2012, with W Capital Partners II, L.P., Trident SBI Holdings, LLC, PEPI Capital, LP, LCB Investment, LLC, Cohesive Capital Partners, L.P., and Athena Select Private Investment Fund LLC.
159/ 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.
160/ On 11/13/2012, Treasury entered into an agreement with Community Financial Shares, Inc. (“CFS”) pursuant to which Treasury agreed to sell its CPP preferred stock back to CFS at a discount subject to the satisfaction of the conditions specified in the agreement.
161/ On 11/29/2012, Treasury completed the sale of 4,781 shares of Alaska Pacific Bancshares, Inc. preferred stock at $892.61 per share (less a placement agent fee) for net proceeds of $4,217,568.41, pursuant to a placement agency agreement executed on 11/19/2012.
162/ On 11/30/2012, Treasury completed the sale of 3,000 shares of Bank of Commerce preferred stock at $834.00 per share (less a placement agent fee) for net proceeds of $2,477,000.00 and 150 shares of Bank of Commerce preferred stock received upon the exercise of warrants at $834.00 per share (less a placement agent fee) for net
proceeds of $100,100.00, pursuant to a placement agency agreement executed on 11/19/2012.
163/ On 11/30/2012, Treasury completed the sale of 4,000 shares of Carolina Trust Bank preferred stock at $853.00 per share (less a placement agent fee) for net proceeds of $3,362,000.00, pursuant to a placement agency agreement executed on 11/19/2012.
164/ On 11/29/2012, Treasury completed the sale of 2,644 shares of CBB Bancorp Series A preferred stock at $934.10 per share (less a placement agent fee) for net proceeds of $2,453,093; 1,753 shares of CBB Bancorp Series C preferred stock at $930.02 per share (less a placement agent fee) for net proceeds of $1,613,658.39; and 132 shares
of CBB Bancorp Series B preferred stock received upon the exercise of warrants at $1,004.00 per share (less a placement agent fee) for net proceeds of $115,861.33, pursuant to a placement agency agreement executed on 11/19/2012.
165/ On 11/29/2012, Treasury completed the sale of 3,000 shares of Clover Community Bankshares, Inc. preferred stock at $872.90 per share (less a placement agent fee) for net proceeds of $2,593,700.00 and 150 shares of Clover Community Bankshares, Inc. preferred stock received upon the exercise of warrants at $926.81 per share (less a
placement agent fee) for net proceeds of $114,021.50, pursuant to a placement agency agreement executed on 11/19/2012.
166/ On 11/30/2012, Treasury completed the sale of 105 shares of Community Bancshares of Mississippi, Inc. preferred stock at $9,550.00 per share (less a placement agent fee) for net proceeds of $977,750.00 and 5 shares of Community Bancshares of Mississippi, Inc. preferred stock received upon the exercise of warrants at $10,000.00 per
share (less a placement agent fee) for net proceeds of $25,000.00, pursuant to a placement agency agreement executed on 11/19/2012.
167/ On 11/30/2012, Treasury completed the sale of 3,976 shares of Community Business Bank preferred stock at $935.00 per share (less a placement agent fee) for net proceeds of $3,692,560.00 and 199 shares of Community Business Bank preferred stock received upon the exercise of warrants at $965.00 per share (less a placement agent
fee) for net proceeds of $167,035.00, pursuant to a placement agency agreement executed on 11/19/2012.
168/ On 11/30/2012, Treasury completed the sale of 638 shares of Corning Savings and Loan Association preferred stock at $860.00 per share (less a placement agent fee) for net proceeds of $523,680.00 and 32 shares of Corning Savings and Loan Association preferred stock received upon the exercise of warrants at $905.00 per share (less a
placement agent fee) for net proceeds of $3,960.00, pursuant to a placement agency agreement executed on 11/19/2012.
169/ On 11/29/2012, Treasury completed the sale of 7,525 shares of Country Bank Shares, Inc. preferred stock at $917.90 per share (less a placement agent fee) for net proceeds of $6,838,125.53 and 376 shares of Country Bank Shares, Inc. preferred stock received upon the exercise of warrants at $1,000.00 per share (less a placement agent
fee) for net proceeds of $372,240.00, pursuant to a placement agency agreement executed on 11/19/2012.
170/ On 11/30/2012, Treasury completed the sale of 7,289 shares of FFW Corporation preferred stock at $902.90 per share (less a placement agent fee) for net proceeds of $6,515,425.72 and 364 shares of FFW Corporation preferred stock received upon the exercise of warrants at $995.00 per share (less a placement agent fee) for net proceeds
of $358,558.20, pursuant to a placement agency agreement executed on 11/19/2012.

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171/ On 11/30/2012, Treasury completed the sale of 1,900 shares of Hometown Bancshares, Inc. preferred stock at $942.90 per share (less a placement agent fee) for net proceeds of $1,766,510.00 and 95 shares of Hometown Bancshares, Inc. preferred stock received upon the exercise of warrants at $1,001.00 per share (less a placement agent
fee) for net proceeds of $70,095.00, pursuant to a placement agency agreement executed on 11/19/2012.
172/ On 11/30/2012, Treasury completed the sale of 4,000 shares of KS Bancorp, Inc. preferred stock at $827.00 per share (less a placement agent fee) for net proceeds of $3,283,000 and 200 shares of KS Bancorp, Inc. preferred stock received upon the exercise of warrants at $827.00 per share (less a placement agent fee) for net proceeds of
$140,400.00, pursuant to a placement agency agreement executed on 11/19/2012.
173/ On 11/29/2012, Treasury completed the sale of 3,000 shares of Layton Park Financial Group, Inc. preferred stock at $790.31 per share (less a placement agent fee) for net proceeds of $2,345,930.00 and 150 shares of Layton Park Financial Group, Inc. preferred stock received upon the exercise of warrants at $862.50 per share (less a
placement agent fee) for net proceeds of $104,375.00, pursuant to a placement agency agreement executed on 11/19/2012.
174/ On 11/29/2012, Treasury completed the sale of 16,288 shares of Parke Bancorp, Inc. preferred stock at $719.11 per share (less a placement agent fee) for net proceeds of $11,595,735.04, pursuant to a placement agency agreement executed on 11/19/2012.
175/ On 11/29/2012, Treasury completed the sale of 2,765 shares of TriSummit Bank Series B preferred stock at $750.00 per share (less a placement agent fee) for net proceeds of $2,053,012.50; 4,237 shares of TriSummit Bank Series D preferred stock at $750.00 per share (less a placement agent fee) for net proceeds of $3,145,972.50; and 138
shares of TriSummit Bank Series C preferred stock received upon the exercise of warrants at $912.50 per share (less a placement agent fee) for net proceeds of $124,665.75, pursuant to a placement agency agreement executed on 11/19/2012.
176/ In connection with the merger of Fidelity Bancorp, Inc. (“Fidelity”) and WesBanco, Inc. (“WesBanco”) effective 01/01/2012, Treasury (i) sold to WesBanco all of the preferred stock that had been issued by Fidelity to Treasury for a purchase price of $7,000,000 plus accrued dividends and (ii) exchanged the Fidelity warrant held by Treasury for a
like WesBanco warrant, pursuant to the terms of an agreement among Treasury and WesBanco entered into on 11/28/2012.
177/ On 11/30/12, Western Reserve Bancorp, Inc. was acquired by an affiliate of Westfield Bancorp, Inc. Pursuant to the terms of the merger, each outstanding share of Series A and Series B preferred stock issued to Treasury was redeemed for the respective principal amount together with accrued and unpaid dividends thereon.
178/ On 2/20/2013, Treasury sold its CPP preferred stock and warrant issued by First Sound Bank (“First Sound”) back to First Sound for an aggregate purchase price of $3,700,000, pursuant to the terms of the agreement between Treasury and First Sound entered into on 11/30/2012.
179/ On 12/11/2012, Treasury completed the sale of 20,749 shares of The Baraboo Bancorporation, Inc. preferred stock at $652.30 per share (less a placement agent fee) for net proceeds of $13,399,226.97 and 1,037 shares of The Baraboo Bancorporation, Inc. preferred stock received upon the exercise of warrants at $836.21 per share (less a
placement agent fee) for net proceeds of $858,478.27, pursuant to a placement agency agreement executed on 12/3/2012.
180/ On 12/11/2012, Treasury completed the sale of 22,000 shares of Central Community Corporation preferred stock at $926.20 per share (less a placement agent fee) for net proceeds of $20,172,636.00 and 1,100 shares of Central Community Corporation preferred stock received upon the exercise of warrants at $972.20 per share (less a
placement agent fee) for net proceeds of $1,058,725.80, pursuant to a placement agency agreement executed on 12/3/2012.
181/ On 12/11/2012, Treasury completed the sale of 15,600 shares of Community West Bancshares, Inc. preferred stock at $724.00 per share (less a placement agent fee) for net proceeds of $11,181,456.00, pursuant to a placement agency agreement executed on 12/3/2012.
182/ On 12/11/2012, Treasury completed the sale of 1,177 shares of First Advantage Bancshares, Inc. preferred stock at $898.21 per share (less a placement agent fee) for net proceeds of $1,046,621.24 and 59 shares of First Advantage Bancshares, Inc. preferred stock received upon the exercise of warrants at $920.31 per share (less a
placement agent fee) for net proceeds of $53,755.31, pursuant to a placement agency agreement executed on 12/3/2012.
183/ On 12/11/2012, Treasury completed the sale of its Manhattan Bancshares, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $2,560,540.68 and its Manhattan Bancshares, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $131,021.07, pursuant to
a placement agency agreement executed on 12/3/2012.
184/ On 12/11/2012, Treasury completed the sale of 10,800 shares of Presidio Bank preferred stock at $847.21 per share (less a placement agent fee) for net proceeds of $9,058,369.32 and 325 shares of Presidio Bank preferred stock received upon the exercise of warrants at $865.21 per share (less a placement agent fee) for net proceeds of
$278,381.32, pursuant to a placement agency agreement executed on 12/3/2012.
185/ On 12/11/2012, Treasury completed the sale of 2,152 shares of Security Bancshares of Pulaski County, Inc. preferred stock at $692.61 per share (less a placement agent fee) for net proceeds of $1,475,591.75 and 108 shares of Security Bancshares of Pulaski County, Inc. preferred stock received upon the exercise of warrants at $872.10 per
share (less a placement agent fee) for net proceeds of $93,244.93, pursuant to a placement agency agreement executed on 12/3/2012.
186/ On 4/9/2013, Treasury sold its CPP preferred stock and warrant issued by PremierWest Bancorp (“PremierWest”) pursuant to an agreement with PremierWest and Starbuck Bancshares, Inc. (“Starbuck”) entered into on 12/11/2012.
187/ On 12/20/2012, Treasury completed the sale of 1,004 shares of Bank Financial Services, Inc. preferred stock at $929.22 per share (less a placement agent fee) for net proceeds of $907,936.88 and 50 shares of Bank Financial Services, Inc. preferred stock received upon the exercise of warrants at $970.00 per share (less a placement agent
fee) for net proceeds of $23,500.00, pursuant to a placement agency agreement executed on 12/11/2012.
188/ On 12/20/2012, Treasury completed the sale of 2,211 shares of Bank of Southern California, N.A. Series A preferred stock at $920.00 per share (less a placement agent fee) for net proceeds of $2,017,453.33; 2,032 shares of Bank of Southern California, N.A. Series C preferred stock at $910.12 per share (less a placement agent fee) for net
proceeds of $1,832,697.18; and 111 shares of Bank of Southern California, N.A. preferred stock received upon the exercise of warrants at $965.12 per share (less a placement agent fee) for net proceeds of $90,461.65, pursuant to a placement agency agreement executed on 12/11/2012.
189/ On 12/20/2012, Treasury completed the sale of 2,600 shares of Community Investors Bancorp, Inc. preferred stock at $950.00 per share (less a placement agent fee) for net proceeds of $2,445,000.00 and 130 shares of Community Investors Bancorp, Inc. preferred stock received upon the exercise of warrants at $1,000.00 per share (less a
placement agent fee) for net proceeds of $105,000.00, pursuant to a placement agency agreement executed on 12/11/2012.
190/ On 12/20/2012, Treasury completed the sale of 3,422 shares of First Alliance Bancshares, Inc. preferred stock at $700.10 per share (less a placement agent fee) for net proceeds of $2,370,742.20 and 171 shares of First Alliance Bancshares, Inc. preferred stock received upon the exercise of warrants at $700.01 per share (less a placement
agent fee) for net proceeds of $94,701.71, pursuant to a placement agency agreement executed on 12/11/2012.
191/ On 12/20/2012, Treasury completed the sale of 3,223 shares of First Independence Corporation preferred stock at $725.00 per share (less a placement agent fee) for net proceeds of $2,286,675.00, pursuant to a placement agency agreement executed on 12/11/2012.
192/ On 12/20/2012, Treasury completed the sale of 1,552 shares of Hyperion Bank preferred stock at $650.00 per share (less a placement agent fee) for net proceeds of $983,800.00 and 78 shares of Hyperion Bank preferred stock received upon the exercise of warrants at $650.00 per share (less a placement agent fee) for net proceeds of
$25,700.00, pursuant to a placement agency agreement executed on 12/11/2012.
193/ On 12/20/2012, Treasury completed the sale of its Century Financial Services Corporation subordinated debentures (less a placement agent fee) for net proceeds of $9,751,500.00 and its Century Financial Services Corporation subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of
$496,588.95, pursuant to a placement agency agreement executed on 12/11/2012.
194/ In connection with the merger of Community Financial Corporation (“Community Financial”) and City Holding Company (“City Holding”) effective 1/09/13, Treasury (i) sold to City Holding all of the preferred stock that had been issued by Community Financial to Treasury for a purchase price of $12,643,000 plus accrued dividends and (ii)
exchanged the Community Financial warrant held by Treasury for a like City Holding warrant, pursuant to the terms of an agreement among Treasury and City Holding entered into on 1/09/13.
195/ On 2/7/2013, Treasury completed the sale of its Alliance Financial Services, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $8,912,494.80 and its Alliance Financial Services, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $504,900.00,
pursuant to a placement agency agreement executed on 12/11/2012.
196/ On 2/8/2013, Treasury completed the sale of its Biscayne Bancshares, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $6,170,630.40 and its Biscayne Bancshares, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $204,506.72, pursuant to a
placement agency agreement executed on 1/29/2013.
197/ On 2/8/2013, Treasury completed the sale of 24,990 shares of Citizens Bancshares Co. preferred stock at $512.50 per share (less a placement agent fee) for net proceeds of $12,679,301.25 and 1,250 shares of Citizens Bancshares Co. preferred stock received upon the exercise of warrants at $521.25 per share (less a placement agent fee)
for net proceeds of $645,046.87, pursuant to a placement agency agreement executed on 1/29/2013.
198/ On 1/29/2013, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 9,950 shares of Coastal Banking Company, Inc. preferred stock at $815.00 per share (less a placement agent fee) for net proceeds of $8,028,157.50. On 2/6/2013, the placement agent notified Coastal Banking Company, Inc. that,
pursuant to the placement agency agreement, it was terminating the transaction and, therefore, Treasury did not receive any proceeds or pay any fees in connection with the transaction.
199/ On 2/7/2013, Treasury completed the sale of 28,000 shares of Colony Bankcorp, Inc. preferred stock at $782.11 per share (less a placement agent fee) for net proceeds of $21,680,089.20, pursuant to a placement agency agreement executed on 1/29/2013.
200/ On 2/7/2013, Treasury completed the sale of 9,000 shares of Delmar Bancorp preferred stock at $612.11 per share (less a placement agent fee) for net proceeds of $5,453,900.10 and 450 shares of Delmar Bancorp preferred stock received upon the exercise of warrants at $700.21 per share (less a placement agent fee) for net proceeds of
$311,943.55, pursuant to a placement agency agreement executed on 1/29/2013.
201/ On 2/8/2013, Treasury completed the sale of 146,053 shares of Dickinson Financial Corporation II preferred stock at $552.61 per share (less a placement agent fee) for net proceeds of $79,903,244.85 and 7,303 shares of Dickinson Financial Corporation II preferred stock received upon the exercise of warrants at $681.25 per share (less a
placement agent fee) for net proceeds of $4,925,417.06, pursuant to a placement agency agreement executed on 1/29/2013.
202/ On 2/7/2013, Treasury completed the sale of 4,609 shares of F & M Bancshares, Inc. Series A preferred stock at $942.50 per share (less a placement agent fee) for net proceeds of $4,300,542.67; 3,535 shares of F & M Bancshares, Inc. Series C preferred stock at $942.50 per share (less a placement agent fee) for net proceeds of
$3,298,420.12; and 230 shares of F & M Bancshares, Inc. Series B preferred stock received upon the exercise of warrants at $975.00 per share (less a placement agent fee) for net proceeds of $222,007.50, pursuant to a placement agency agreement executed on 1/29/2013.
203/ On 2/8/2013, Treasury completed the sale of 4,579 shares of First Priority Financial Corp. Series A preferred stock at $882.90 per share (less a placement agent fee) for net proceeds of $4,002,371.11; 4,596 shares of First Priority Financial Corp. Series C preferred stock at $881.25 per share (less a placement agent fee) for net proceeds of
$4,009,722.75; and 229 shares of First Priority Financial Corp. Series B preferred stock received upon the exercise of warrants at $991.21 per share (less a placement agent fee) for net proceeds of $224,717.22, pursuant to a placement agency agreement executed on 1/29/2013.
204/ On 2/8/2013, Treasury completed the sale of 26,000 shares of HMN Financial, Inc. preferred stock at $721.50 per share (less a placement agent fee) for net proceeds of $18,571,410.00, pursuant to a placement agency agreement executed on 1/29/2013.
205/ On 2/7/2013, Treasury completed the sale of 5,625 shares of Waukesha Bankshares, Inc. preferred stock at $926.90 per share (less a placement agent fee) for net proceeds of $5,161,674.37 and 169 shares of Waukesha Bankshares, Inc. preferred stock received upon the exercise of warrants at $991.21 per share (less a placement agent
fee) for net proceeds of $165,839.35, pursuant to a placement agency agreement executed on 1/29/2013.
206/ 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.
207/ 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 to the satisfaction of the conditions specified in the agreement.
208/ On 2/15/2013, pursuant to the terms of the merger of Pacific International Bancorp, Inc. (“Pacific International”) with BBCN Bancorp, Inc. (“BBCN”), Treasury received $7,474,619.97 (representing the par amount together with accrued and unpaid dividends thereon) in respect of the preferred stock that had been issued to Treasury by Pacific
International. Treasury exchanged its Pacific International warrant for an equivalent warrant issued by BBCN.

57

209/ On 2/20/2013, Treasury completed the sale of 16,000 shares of Carolina Bank Holdings, Inc. preferred stock at $935.10 per share (less a placement agent fee) for net proceeds of $14,811,984.00, pursuant to a placement agency agreement executed on 2/6/2013.
210/ On 2/20/2013, Treasury completed the sale of 21,042 shares of FC Holdings, Inc. preferred stock at $897.00 per share (less a placement agent fee) for net proceeds of $18,685,927.26 and 1,052 shares of FC Holdings, Inc. preferred stock received upon the exercise of warrants at $955.00 per share (less a placement agent fee) for net
proceeds of $994,613.40, pursuant to a placement agency agreement executed on 2/6/2013.
211/ On 2/20/2013, Treasury completed the sale of its First Trust Corporation subordinated debentures (less a placement agent fee) for net proceeds of $13,612,557.91 and its First Trust Corporation subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $644,726.19, pursuant to a
placement agency agreement executed on 12/11/2012.
212/ On 2/20/2013, Treasury completed the sale of 24,664 shares of National Bancshares, Inc. preferred stock at $750.21 per share (less a placement agent fee) for net proceeds of $18,318,147.65 and 1,233 shares of National Bancshares, Inc. preferred stock received upon the exercise of warrants at $692.61 per share (less a placement agent
fee) for net proceeds of $845,448.25, pursuant to a placement agency agreement executed on 2/6/2013.
213/ On 2/20/2013, Treasury completed the sale of 10,900 shares of Ridgestone Financial Services, Inc. preferred stock at $822.60 per share (less a placement agent fee) for net proceeds of $8,876,676.60 and 545 shares of Ridgestone Financial Services, Inc. preferred stock received upon the exercise of warrants at $882.60 per share (less a
placement agent fee) for net proceeds of $476,206.83, pursuant to a placement agency agreement executed on 2/6/2013.
214/ 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.
215/ On 4/11/2013, Treasury completed the exchange of its First Security Group, Inc. (FSGI) preferred stock for common stock, pursuant to an exchange agreement, dated as of 2/25/2013, between Treasury and FSGI, and sold the resulting FSGI common stock, pursuant to securities purchase agreements, each dated as of 4/9/2013, between
216/ On 3/11/2013, Treasury completed the sale of its Boscobel Bancorp, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $6,116,943.16 and its Boscobel Bancorp, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $361,890.34, pursuant to a
placement agency agreement executed on 2/25/2013.
217/ On 3/11/2013, Treasury completed the sale of 9,950 shares of Coastal Banking Company, Inc. preferred stock at $955.10 per share (less a placement agent fee) for net proceeds of $9,408,212.55, pursuant to a placement agency agreement executed on 2/25/2013.
218/ On 3/11/2013, Treasury completed the sale of 16,015 shares of CoastalSouth Bancshares, Inc. preferred stock at $795.10 per share (less a placement agent fee) for net proceeds of $12,606,191.23 and 480 shares of CoastalSouth Bancshares, Inc. preferred stock received upon the exercise of warrants at $875.10 per share (less a placement
agent fee) for net proceeds of $415,847.52, pursuant to a placement agency agreement executed on 2/25/2013.
219/ On 3/11/2013, Treasury completed the sale of 15,349 shares of First Reliance Bancshares, Inc. preferred stock at $679.61 per share (less a placement agent fee) for net proceeds of $10,327,020.55 and 767 shares of First Reliance Bancshares, Inc. preferred stock received upon the exercise of warrants at $822.61 per share (less a placement
agent fee) for net proceeds of $624,632.45, pursuant to a placement agency agreement executed on 2/25/2013.
220/ On 3/11/2013, Treasury completed the sale of 10,500 shares of Northwest Bancorporation, Inc. preferred stock at $1,032.11 per share (less a placement agent fee) for net proceeds of $10,728,783.45 and 525 shares of Northwest Bancorporation, Inc. preferred stock received upon the exercise of warrants at $1,130.61 per share (less a
placement agent fee) for net proceeds of $587,634.55, pursuant to a placement agency agreement executed on 2/25/2013.
221/ On 3/11/2013, Treasury completed the sale of 2,900 shares of Santa Clara Valley Bank, N.A. preferred stock at $850.01 per share (less a placement agent fee) for net proceeds of $2,440,029.00 and 145 shares of Santa Clara Valley Bank, N.A. preferred stock received upon the exercise of warrants at $850.01 per share (less a placement
agent fee) for net proceeds of $98,251.45, pursuant to a placement agency agreement executed on 2/25/2013.
222/ On 3/11/2013, Treasury completed the sale of 12,900 shares of SouthCrest Financial Group, Inc. preferred stock at $907.31 per share (less a placement agent fee) for net proceeds of $11,587,256.01 and 645 shares of SouthCrest Financial Group, Inc. preferred stock received upon the exercise of warrants at $921.25 per share (less a
placement agent fee) for net proceeds of $588,264.19, pursuant to a placement agency agreement executed on 2/25/2013.
223/ On 3/11/2013, Treasury completed the sale of 12,000 shares of The Queensborough Company preferred stock at $976.90 per share (less a placement agent fee) for net proceeds of $11,605,572.00 and 600 shares of The Queensborough Company preferred stock received upon the exercise of warrants at $971.00 per share (less a placement
agent fee) for net proceeds of $576,774.00, pursuant to a placement agency agreement executed on 2/25/2013.
224/ On 3/11/2013, Treasury completed the sale of 70,028 shares of Old Second Bancorp, Inc. preferred stock at $352.50 per share (less a placement agent fee) for net proceeds of $24,438,021.30, pursuant to a placement agency agreement executed on 2/25/2013.
225/ On 3/19/2013, Treasury exercised its warrant on a cashless basis and received (i) 186,589 shares of common stock and (ii) $71.62 in cash in lieu of fractional shares. Treasury sold such shares of common stock on 3/19/2013.
226/ On 3/27/2013, Treasury completed the sale of 5,500 shares of First Southwest Bancorporation, Inc. preferred stock at $900.02 per share (less a placement agent fee) for net proceeds of $4,900,608.90 and 275 shares of First Southwest Bancorporation, Inc. preferred stock received upon the exercise of warrants at $925.02 per share (less a
placement agent fee) for net proceeds of $251,836.69, pursuant to a placement agency agreement executed on 3/11/2013.
227/ On 3/27/2013, Treasury completed the sale of 2,972 shares of Old Second Bancorp, Inc. preferred stock at $377.02 per share (less a placement agent fee) for net proceeds of $1,109,298.41, pursuant to a placement agency agreement executed on 3/11/2013.
228/ On 3/27/2013, Treasury completed the sale of 266,657 shares of Flagstar Bancorp, Inc. preferred stock at $911.50 per share (less a placement agent fee) for net proceeds of $240,627,276.94, pursuant to a placement agency agreement executed on 3/11/2013.
229/ On 3/27/2013, Treasury completed the sale of 10,973 shares of Stonebridge Financial Corp. preferred stock at $173.53 per share (less a placement agent fee) for net proceeds of $1,879,144.69 and 549 shares of Stonebridge Financial Corp. preferred stock received upon the exercise of warrants at $298.84 per share (less a placement agent
fee) for net proceeds of $139,063.16, pursuant to a placement agency agreement executed on 3/11/2013.
230/ On 3/28/2013, Treasury completed the sale of 2,986 shares of Alliance Bancshares, Inc. preferred stock at $956.61 per share (less a placement agent fee) for net proceeds of $2,831,437.46 and 149 shares of Alliance Bancshares, Inc. preferred stock received upon the exercise of warrants at $1,100.00 per share (less a placement agent fee)
for net proceeds of $138,900.00, pursuant to a placement agency agreement executed on 3/11/2013.
231/ On 3/28/2013, Treasury completed the sale of its AmFirst Financial Services, Inc. subordinated debentures (less a placement agent fee) for net proceeds of $4,752,000.00 and its AmFirst Financial Services, Inc. subordinated debentures received upon the exercise of warrants (less a placement agent fee) for net proceeds of $259,875.00,
pursuant to a placement agency agreement executed on 3/11/2013.
232/ On 3/28/2013, Treasury completed the sale of 180,000 shares of United Commercial Banks, Inc. preferred stock at $962.50 per share (less a placement agent fee) for net proceeds of $171,517,500.00, pursuant to a placement agency agreement executed on 3/11/2013.
233/ As a result of the acquisition of ECB Bancorp, Inc. by Crescent Financial Bancshares, Inc., the preferred stock and warrant issued by ECB Bancorp, Inc. were exchanged for a like amount of securities of Crescent Financial Bancshares, Inc., pursuant to the terms of an agreement among Treasury, ECB Bancorp, Inc., and Crescent Financial
Bancshares, Inc. entered into on 4/1/2013.
234/ As a result of the merger of Annapolis Bancorp, Inc. into F.N.B. Corporation, the warrant issued by Annapolis Bancorp, Inc. was exchanged for a like warrant issued by F.N.B. Corporation, pursuant to the terms of an agreement among Treasury, Annapolis Bancorp, Inc., and F.N.B. Corporation entered into on 4/6/2013.
235/ On 04/05/2013, Gold Canyon Bank, Gold Canyon, Arizona was closed by the Arizona Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
236/ On 04/09/2013, Indiana Bank Corp. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the Southern District of Indiana.
237/ On 4/29/2013, Treasury completed the sale of 52,372 shares of NewBridge Bancorp preferred stock at $980.50 per share (less a placement agent fee) for net proceeds of $50,837,238.54, pursuant to a placement agency agreement executed on 4/15/2013.
238/ On 4/29/2013, Treasury completed the sale of 3,000 shares of Tennessee Valley Financial Holdings, Inc. preferred stock at $1,022.11 per share (less a placement agent fee) for net proceeds of $3,041,330.00 and 150 shares of Tennessee Valley Financial Holdings, Inc. preferred stock received upon the exercise of warrants at $1,127.61 per
share (less a placement agent fee) for net proceeds of $144,141.50, pursuant to a placement agency agreement executed on 4/15/2013.
239/ On 4/29/2013, Treasury completed the sale of 20,000 shares of First Financial Service Corporation preferred stock at $542.11 per share (less a placement agent fee) for net proceeds of $10,733,778.00, pursuant to a placement agency agreement executed on 4/15/2013.
240/ On 4/29/2013, Treasury completed the sale of 11,949 shares of Plumas Bancorp preferred stock at $1,091.11 per share (less a placement agent fee) for net proceeds of $12,907,296.66, pursuant to a placement agency agreement executed on 4/15/2013.
241/ On 4/29/2013, Treasury completed the sale of 12,000 shares of Guaranty Federal Bancshares, Inc. preferred stock at $967.50 per share (less a placement agent fee) for net proceeds of $11,493,900.00, pursuant to a placement agency agreement executed on 4/15/2013.
242/ On 4/29/2013, Treasury completed the sale of 8,600 shares of BancStar, Inc. preferred stock at $982.67 per share (less a placement agent fee) for net proceeds of $8,366,452.38 and 430 shares of BancStar, Inc. preferred stock received upon the exercise of warrants at $1,001.50 per share (less a placement agent fee) for net proceeds of
$426,338.55, pursuant to a placement agency agreement executed on 4/15/2013.
243/ On 4/29/2013, Treasury completed the sale of its Brogan Bankshares, Inc. subordinated debentures for net proceeds of $2,495,024.00 and its Brogan Bankshares, Inc. subordinated debentures received upon the exercise of warrants for net proceeds of $125,135.60, pursuant to a placement agency agreement executed on 4/15/2013.
244/ On 4/29/2013, Treasury completed the sale of its Plato Holdings Inc. subordinated debentures for net proceeds of $2,478,750.00 and its Plato Holdings Inc. subordinated debentures received upon the exercise of warrants for net proceeds of $90,582.47, pursuant to a placement agency agreement executed on 4/15/2013.
245/ On 6/24/2013, Treasury completed the sale of 442 shares of Farmer & Merchants Financial Corporation preferred stock at $962.50 per share (less a placement agent fee) for net proceeds of $400,425.00 and 22 shares of Farmer & Merchants Financial Corporation preferred stock received upon the exercise of warrants at $1,007.50 per share
(less a placement agent fee) for net proceeds of -$2,835.00, pursuant to a placement agency agreement executed on 6/14/2013.
246/ On 6/24/2013, Treasury completed the sale of 25,000 shares of Intervest Bancshares Corp preferred stock at $970.00 per share (less a placement agent fee) for net proceeds of $24,007,500.00 , pursuant to a placement agency agreement executed on 6/14/2013.
247/ On 6/24/2013, Treasury completed the sale of 3,727 shares of Pathway Bancorp preferred stock at $1,167.01 per share (less a placement agent fee) for net proceeds of $4,324,446.27 and 186 shares of Pathway Bancorp preferred stock received upon the exercise of warrants at $1,352.50 per share (less a placement agent fee) for net
proceeds of $226,565.00, pursuant to a placement agency agreement executed on 6/14/2013.
248/ On 6/24/2013, Treasury completed the sale of its Security State Bank Holding Company subordinated debentures for net proceeds of $12,409,261.43 and its Security State Bank Holding Company subordinated debentures received upon the exercise of warrants for proceeds of $720,368.55, pursuant to a placement agency agreement
executed on 6/14/2013.

58

249/ On 6/24/2013, Treasury completed the sale of 2,720 shares of Worthington Financial Holdings, Inc. preferred stock at $861.71 per share (less a placement agent fee) for net proceeds of $2,318,851.2 and 136 shares of Worthington Financial Holdings, Inc. preferred stock received upon the exercise of warrants at $852.50 per share (less a
placement agent fee) for proceeds of $90,940.00, pursuant to a placement agency agreement executed on 6/14/2013.
250/ On 6/24/2013, Treasury completed the sale of 8,559 shares of First Western Financial, Inc. preferred stock at $902.50 per share (less a placement agent fee) for net proceeds of $7,647,252.53 , pursuant to a placement agency agreement executed on 6/14/2013.
251/ On 6/24/2013, Treasury completed the sale of 3,881 shares of First Western Financial, Inc. preferred stock at $842.50 per share (less a placement agent fee) for net proceeds of $3,237,045.08, pursuant to a placement agency agreement executed on 6/14/2013.
252/ On 6/28/2013, Treasury completed the sale to MBG Investors I, L.P. of all preferred stock (including the preferred stock received upon the exercise of warrants) issued by Metropolitan Bank Group, Inc. to Treasury for an aggregate purchase price of $26,000,000.00, pursuant to the terms of the agreement among Treasury, MBG Investors I, L.P.
and Metropolitan Bank Group, Inc. entered into on 6/26/2013.

59

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.

60

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

61

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.

62

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

874,917,290

Partial Repayment

$

15,887,795 Debt Obligation

$

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

5/18/2009

Partial Repayment

6/17/2009

Partial Repayment

7/14/2009

Repayment

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

$

1,464,690,823

$

1,413,554,739

$

1,369,197,029

$

0

$

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

63

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

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%

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

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.

64

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.

65

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.

66

TARGETED INVESTMENT PROGRAM

Seller

Footnote
1

Date

Name of Institution

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

Treasury Investment Remaining After Capital
Repayment

Capital Repayment Details

City

State

Transaction
Type

New York

NY

Purchase

Charlotte

NC

Purchase

Investment 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.

67

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

Par

-

N/A

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.

68

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.

69

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

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

$

517,409,662

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.

70

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.

71

CREDIT MARKET PROGRAMS
LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)
Preliminary Adjusted
Commitment

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.

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

$

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

$

1/17/2012

$

6,577,144

$

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
Adjusted

6/4/2013

Distribution

Contingent Proceeds

$

$

Description

1/29/2010

5

$

20,091,872

$

48,922

Debt Obligation w/ Contingent
166,000,000 Proceeds

$

161,386,870

Date

Membership Interest

9/15/2010

$

Distribution or Disposition

Description

4/15/2010

3/29/2012

2

Investment After Capital Repayment

0

5

$

502,302

$

1,223

$

56,390,209

$

1,056,751

$

18,772

$

69,399

5

10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10

Membership Interest

10

5
5

5, 13

5

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
Debt Obligation w/ Contingent
294,078,924 Proceeds

72

Preliminary Adjusted
Seller

Footnote

Date

Name of Institution

Commitment

City

Transaction
Type
State

Commitment
Amount

Investment Description

Pricing
Mechanism

Date

3

Amount

Final Investment
Final Commitment Amount

Date

7

Amount

Amount

9

Amount

Capital Repayment Details
Repayment
Date
2/14/2012

3/14/2012

1

2

1

10/1/2009

10/1/2009

10/2/2009

Wellington Management Legacy Securities PPIF Master Fund, LP

Wellington Management Legacy Securities PPIF Master Fund, LP

AllianceBernstein Legacy Securities Master Fund, L.P.

Wilmington

Wilmington

Wilmington

DE

DE

DE

Purchase

Purchase

Purchase

Membership Interest

Debt Obligation w/ Contingent Proceeds

Membership Interest

$

$

$

1,111,111,111

2,222,222,222

1,111,111,111

Par

Par

Par

3/22/2010 6 $ 1,262,037,500

3/22/2010 6 $ 2,524,075,000

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

7/16/2010

7/16/2010

7/16/2010

$

$

$

1,149,487,000

2,298,974,000

1,150,423,500

$

$

$

1,149,487,000

2,298,974,000

1,064,141,738

1

10/2/2009

10/2/2009

AllianceBernstein Legacy Securities Master Fund, L.P.

Blackrock PPIF, 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 $ 2,488,875,000

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

7/16/2010

7/16/2010

$

$

2,300,847,000

694,980,000

12 $

$

2,128,000,000

528,184,800

Repayment Amount
$

$

9,610,173

284,468,750

Amount
$

$

Description

Date

0

62,499,688

$

1,086,987,313 Membership Interest

$

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

$

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

$

- Contingent Proceeds

1/15/2010

$

44,043

$

1,064,097,694 Membership Interest

10

2/14/2011

$

712,284

$

1,063,385,410 Membership Interest

10

3/14/2011

$

6,716,327

$

1,056,669,083 Membership Interest

10

4/14/2011

$

7,118,388

$

1,049,550,694 Membership Interest

10

5/14/2012

$

39,999,800

$

1,009,550,894 Membership Interest

10

6/14/2012

$

287,098,565

$

722,452,330 Membership Interest

10

653,702,674 Membership Interest

10

292,454,480 Membership Interest

10

$

68,749,656

8/14/2012

$

361,248,194

$

$

5/16/2011

$

6/14/2011
5/3/2012

292,454,480

$

30,244,575

$

$

88,087

$

$

80,000,000

$

5/14/2012

$

30,000,000

$

5/23/2012

$

500,000,000

$

6/14/2012

$

44,200,000

$

6/25/2012

$

120,000,000

$

7/16/2012

$

17,500,000

$

7/27/2012

$

450,000,000

$

8/14/2012

$

272,500,000

$

8/22/2012

$

583,467,339

$

8/14/2012

$

90,269,076

$

Proceeds

5

3/29/2012

Distribution

8/9/2012

Distribution

9/28/2012

Final Distribution
Adjusted

6/4/2013

Distribution

3/13/2013

Distribution

4/17/2013

Distribution

8/30/2012

Distribution

9/12/2012

Distribution

9/19/2012

Distribution

3,434,460

5, 13

5

40,556

$

469

$

1,735

$

479,509,240

$

16,195,771

$

75,278,664

10
10
10
10

0
Membership Interest
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

-

$
$

5

10

$

7/16/2012

Description

Contingent Proceeds

9/17/2012

$

Distribution or Disposition

Debt Obligation w/ Contingent
284,468,750 Proceeds

7/16/2012

8/30/2012

2

Investment After Capital Repayment

Membership Interest

10

10/1/2012

Distribution

12/21/2012

Distribution

10/3/2012

Distribution

12/21/2012

Distribution

11/5/2012

Distribution

5

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

$

297,511,708

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

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

$

5, 11
5, 11

10
10
10

- Membership Interest 10

5, 11

73

Preliminary Adjusted
Seller

Footnote

2

1

Date

10/2/2009

Name of Institution

Blackrock PPIF, L.P.

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

Commitment

City

Wilmington

Wilmington

Transaction
Type
State

DE

DE

Purchase

Purchase

Commitment
Amount

Investment Description

Debt Obligation w/ Contingent Proceeds

Membership Interest

$

$

2,222,222,222

1,111,111,111

Pricing
Mechanism

Par

Par

Date

3

Amount

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

Amount

Amount

$

$

1,389,960,000

1,243,275,000

9

Amount

$

$

1,053,000,000

1,117,399,170

Capital Repayment Details
Repayment
Date
11/5/2012

7/31/2012

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
419,026,439

175,000,000

Amount

$

$

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

$

- Contingent Proceeds

$

87,099,565

$

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

6,862,425

$

2/14/2012

$

174,200,000

$

3/14/2012

$

198,925,000

$

5/14/2012

$

150,000,000

$

7/16/2012

$

37,500,000

$

8/14/2012

$

136,800,000

$

9/17/2012

$

250,000,000

$

10/15/2012

$

481,350,000

$

11/15/2012

$

274,590,324

$

12/14/2012

$

147,534,295

$

1/15/2013

$

182,823,491

$

2/14/2013

$

201,075,230

$

3/14/2011

$

1,202,957

$

Date

Description

12/5/2012

Distribution

11/5/2012

Distribution

12/5/2012

Distribution

5, 11

Proceeds
$

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

2/14/2012

$

Distribution or Disposition

Description
Membership Interest

$

8/14/2012

2/21/2013

2

$

Investment After Capital Repayment

-

5, 11
5, 11

10
10
10
10
10
10
10
10
10
10
10

Membership Interest

10

2/21/2013

Distribution

2/27/2013

Distribution

3/14/2013

Distribution

4/19/2013

Distribution

4/25/2013

Distribution

5/29/2013

Distribution

4/19/2013

Distribution

4/25/2013

Distribution

5/29/2013

Distribution

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

$

20,999,895

$

156,174,219

$

105,620,441

$

42,099,442

$

49,225,244

$

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

619,375,301 Membership Interest

10

4/14/2011

$

3,521,835

$

615,853,465 Membership Interest

10

8/14/2012

$

104,959,251

$

510,894,215 Membership Interest

10

9/17/2012

$

72,640,245

$

438,253,970 Membership Interest

10

9/28/2012

$

180,999,095

$

257,254,875 Membership Interest

10

10/15/2012

$

134,999,325

$

122,255,550 Membership Interest

10

5, 11
5, 11
5, 11

74

Preliminary Adjusted
Seller

Footnote

Date

Name of Institution

Commitment

City

Transaction
Type
State

Commitment
Amount

Investment Description

Pricing
Mechanism

Date

3

Amount

Final Investment
Final Commitment Amount

Date

7

Amount

Amount

9

Amount

Capital Repayment Details
Repayment
Date

10/19/2012

2

1

2

1

11/4/2009

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.

Wilmington

Wilmington

Wilmington

Wilmington

DE

DE

DE

DE

Purchase

Purchase

Purchase

Purchase

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

Par

Par

Par

Par

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

7/16/2010

7/16/2010

7/16/2010

7/16/2010

$

$

$

$

1,241,156,516

474,550,000

949,100,000

1,160,784,100

$

$

$

$

1,241,000,000

474,550,000

949,000,000

555,904,633

Investment After Capital Repayment

Repayment Amount

$

122,255,550

Amount

$

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

$

Description

-

-

$

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

$

$

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

$

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

5, 11

147,464,888

$

148,749,256

$

549,997

-

5, 11
5, 11

$

6,789,287

$

5, 11

3,718,769

$

13,750

10
10
10

Membership Interest

10

5, 11
5, 11
5, 11

$

164,629,827

$

71,462,104

$

38,536,072

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

$

516,404,830 Membership Interest

10

3/14/2012

$

39,387,753

$

477,017,077 Membership Interest

10

9/17/2012

$

22,111,961

$

454,905,116 Membership Interest

10

10/15/2012

$

32,496,972

$

422,408,144 Membership Interest

10

11/15/2012

$

111,539,536

$

310,868,608 Membership Interest

10

12/14/2012

$

55,540,026

$

255,328,581 Membership Interest

10

240,478,671 Membership Interest

10

1/15/2013

$

14,849,910

$

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

$

12/21/2012

5, 11

10

39,499,803

31,835,008

Distribution

Proceeds
$

10

$

$

11/2/2012

5, 11

10

7/15/2011

6/3/2013

Distribution

10

Contingent Proceeds

74,499,628

149,000,000

Description

10/19/2012

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

$

$

Date

Membership Interest

9/17/2012

9/17/2012

Distribution or Disposition

-

Membership Interest

10

4/16/2013

Distribution

5/16/2013

Distribution

6/3/2013

Distribution

6/14/2013

Distribution

6/24/2013

Distribution

6/26/2013

Distribution

5, 11
5, 11

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

$

7,143,340

$

963,411

$

46,575,750

$

54,999,725

$

27,999,860

$

11,749,941

75

Preliminary Adjusted
Seller

Footnote
2

Date

Name of Institution

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

Commitment

City
Wilmington

Transaction
Type
State
DE

Purchase

Commitment
Amount

Investment Description
Debt Obligation w/ Contingent Proceeds

$

2,222,222,222

Pricing
Mechanism
Par

Date

3

Amount

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

Final Investment
Final Commitment Amount

Date
7/16/2010

7

Amount

Amount
$

9

Amount

2,321,568,200

$

1,111,000,000

Capital Repayment Details
Repayment
Date

$

30,000,000,000

FINAL COMMITMENT AMOUNT

$

Repayment Amount

Amount

Description

7/15/2011

$

79,000,000

$

3/14/2012

$

78,775,901

$

Debt Obligation w/ Contingent
1,032,000,000 Proceeds
Debt Obligation w/ Contingent
953,224,099 Proceeds

9/17/2012

$

44,224,144

$

Debt Obligation w/ Contingent
908,999,956 Proceeds

10/15/2012

$

64,994,269

$

Debt Obligation w/ Contingent
844,005,687 Proceeds

11/15/2012

$

223,080,187

$

Debt Obligation w/ Contingent
620,925,500 Proceeds

12/14/2012

$

111,080,608

$

Debt Obligation w/ Contingent
509,844,892 Proceeds

1/15/2013

$

89,099,906

$

Debt Obligation w/ Contingent
420,744,985 Proceeds

4/12/2013

$

109,610,516

$

Debt Obligation w/ Contingent
311,134,469 Proceeds

5/14/2013

INITIAL COMMITMENT AMOUNT

Investment After Capital Repayment

$

311,134,469

21,856,403,574
TOTAL CAPITAL REPAYMENT AMOUNT $

$

-

Contingent Proceeds

Distribution or Disposition

Date

Description

5/28/2013

Distribution

6/3/2013

Distribution

6/14/2013

Distribution

6/24/2013

Distribution

6/26/2013

Distribution

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

TOTAL DISTRIBUTIONS

5

Proceeds

$

444,393

$

1,960,289

$

1,375,007

$

700,004

$

293,751

$ 2,555,315,773

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.

76

U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Transactions Report - Housing Programs
For Period Ending June 27, 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
4/13/2009

Citi Mortgage, Inc.

O'Fallon
10722
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

6/12/2009

$

(991,580,000)

$

9/30/2009

$

1,010,180,000

$

12/30/2009

$

(105,410,000)

$

3/26/2010

$

(199,300,000)

$

4/19/2010

$

(230,000)

$

5/14/2010

$

(3,000,000)

$

6/16/2010

$

(12,280,000)

$

7/14/2010

$

(757,680,000)

$

7/16/2010

$

(7,110,000)

$

8/13/2010

$

(6,300,000)

$

9/15/2010

$

(8,300,000)

$

1,011,700,000 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

3/16/2011

$

(30,500,000)

$

1,073,476,503 Transfer of cap due to servicing transfer

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

77

Servicer Modifying Borrowers' Loans
Date

Name of Institution

Adjustment Details
City

State

Transaction
Type

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

Investment Description

Pricing
Mechanism

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
10423
10423

IA

Purchase

Financial Instrument for Home Loan Modifications

$

2,873,000,000

N/A

Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

(1,031)

$

Updated due to quarterly assessment and
1,073,475,472 reallocation

$

100,000

$

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

$

(7,200,000)

$

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

$

(400,000)

$

6/29/2011

$

(9,131)

$

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

7/14/2011

$

(14,500,000)

$

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

8/16/2011

$

(1,600,000)

$

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

9/15/2011

$

700,000

$

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

10/14/2011

$

15,200,000

$

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

11/16/2011

$

(2,900,000)

$

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

12/15/2011

$

(5,000,000)

$

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

1/13/2012

$

(900,000)

$

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

2/16/2012

$

(1,100,000)

$

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

3/15/2012

$

(1,700,000)

$

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

4/16/2012

$

(600,000)

$

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

5/16/2012

$

(340,000)

$

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

6/14/2012

$

(2,880,000)

$

6/28/2012

$

(5,498)

$

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

7/16/2012

$

(298,960,000)

$

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

7/27/2012

$

263,550,000

$

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

8/16/2012

$

30,000

$

9/27/2012

$

(12,722)

$

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

10/16/2012

$

(4,020,000)

$

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

11/15/2012

$

(1,460,000)

$

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

12/14/2012

$

(6,000,000)

$

12/27/2012

$

(1,916)

$

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

2/14/2013

$

(8,450,000)

$

995,016,205 Transfer of cap due to servicing transfer

3/14/2013

$

(1,890,000)

$

3/25/2013

$

(6,606)

$

993,126,205 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
993,119,599 reallocation

4/16/2013

$

(3,490,000)

$

989,629,599 Transfer of cap due to servicing transfer

6/14/2013

$

(3,630,000)

$

6/27/2013

$

(2,161)

$

985,999,599 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
985,997,438 reallocation

6/17/2009

$

(462,990,000)

$

9/30/2009

$

65,070,000

$

12/30/2009

$

1,213,310,000

$

2/17/2010

$

2,050,236,344

$

3/12/2010

$

54,767

$

2,410,010,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
2,475,080,000 initial cap
Updated portfolio data from servicer & HAFA
3,688,390,000 initial cap
Transfer of cap (from Wachovia Mortgage, FSB)
5,738,626,344 due to merger
Transfer of cap (from Wachovia Mortgage, FSB)
5,738,681,110 due to merger

3/19/2010

$

668,108,890

$

6,406,790,000 Initial 2MP cap

3/26/2010

$

683,130,000

$

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

7/14/2010

$

(2,038,220,000)

$

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

9/30/2010

$

(287,348,828)

$

9/30/2010

$

344,000,000

$

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

3/30/2011

$

4/13/2011
5/13/2011
6/16/2011

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)

$

9/27/2012

$

(104,111)

$

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

10/16/2012

$

(1,590,000)

$

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

78

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
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
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

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

6/12/2009

$

384,650,000

$

9/30/2009

$

2,537,240,000

$

12/30/2009

$

(1,679,520,000)

$

3/26/2010

$

190,180,000

$

5/14/2010

$

1,880,000

$

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

7/14/2010

$

(881,530,000)

$

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

8/13/2010

$

(3,700,000)

$

9/30/2010

$

119,200,000

$

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

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

9/30/2010

$

216,998,139

$

1,518,398,139 Updated portfolio data from servicer

12/15/2010

$

(500,000)

$

1,517,898,139 Updated portfolio data from servicer

1/6/2011

$

(1,734)

$

1,517,896,405 Updated portfolio data from servicer

3/16/2011

$

(100,000)

$

3/30/2011

$

(2,024)

$

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

4/13/2011

$

(800,000)

$

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

5/13/2011

$

(17,900,000)

$

6/29/2011

$

(18,457)

$

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

7/14/2011

$

(200,000)

$

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

8/16/2011

$

3,400,000

$

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

9/15/2011

$

200,000

$

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

10/14/2011

$

(800,000)

$

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

11/16/2011

$

(200,000)

$

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

12/15/2011

$

2,600,000

$

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

1/13/2012

$

(1,600,000)

$

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

3/15/2012

$

(400,000)

$

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

4/16/2012

$

(100,000)

$

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

5/16/2012

$

(800,000)

$

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

6/14/2012

$

(990,000)

$

6/28/2012

$

(12,463)

$

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

8/16/2012

$

10,000

$

9/27/2012

$

(33,210)

$

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

11/15/2012

$

(1,200,000)

$

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

12/14/2012

$

40,000

$

12/27/2012

$

(5,432)

$

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

1/16/2013

$

60,000

$

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

2/14/2013

$

(30,000)

$

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

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

1,498,944,981 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,498,937,876 reallocation

$

225,040,000

$

9/30/2009

$

254,380,000

$

12/30/2009

$

355,710,000

$

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

3/26/2010

$

(57,720,000)

$

6/16/2010

$

(156,050,000)

$

7/14/2010

$

(513,660,000)

$

514,700,000 Updated portfolio data from servicer

7/16/2010

$

(22,980,000)

$

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

9/15/2010

$

1,800,000

$

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

9/30/2010

$

9,800,000

$

503,320,000 Initial FHA-HAMP cap and initial FHA-2LP cap

9/30/2010

$

116,222,668

$

619,542,668 Updated portfolio data from servicer

10/15/2010

$

100,000

$

619,642,668 Transfer of cap due to servicing transfer

12/15/2010

$

8,900,000

$

628,542,668 Updated portfolio data from servicer

1,184,410,000 Updated portfolio data from servicer
Transfer of cap to Ocwen Financial Corporation,
1,028,360,000 Inc. due to servicing transfer

1/6/2011

$

(556)

$

628,542,112 Updated portfolio data from servicer

1/13/2011

$

2,300,000

$

630,842,112 Transfer of cap due to servicing transfer

3/16/2011

$

700,000

$

3/30/2011

$

(654)

$

631,542,112 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
631,541,458 reallocation

4/13/2011

$

2,100,000

$

6/29/2011

$

(6,144)

$

633,641,458 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
633,635,314 reallocation

79

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
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
4/17/2009 as
amended on
1/26/2010

Bank of America, N.A.

Simi Valley
10512
10512
10512
10512
10512
10512
10512
10512
10512

CA

Purchase

Financial Instrument for Home Loan Modifications

$

798,900,000

N/A

2

Adjustment
Date

Cap Adjustment Amount

7/14/2011

$

8/16/2011

$

Adjusted Cap

Reason for Adjustment

200,000

$

633,835,314 Transfer of cap due to servicing transfer

(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

6/12/2009

$

5,540,000

$

9/30/2009

$

162,680,000

$

12/30/2009

$

665,510,000

$

804,440,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
967,120,000 initial cap
Updated portfolio data from servicer & HAFA
1,632,630,000 initial cap

1/26/2010

$

800,390,000

$

2,433,020,000 Initial 2MP cap

3/26/2010

$

(829,370,000)

$

1,603,650,000 Updated portfolio data from servicer

7/14/2010

$

(366,750,000)

$

9/30/2010

$

95,300,000

$

1,236,900,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
1,332,200,000 initial RD-HAMP

9/30/2010

$

222,941,084

$

1,555,141,084 Updated portfolio data from servicer

1/6/2011

$

(2,199)

$

3/30/2011

$

(2,548)

$

1,555,138,885 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,555,136,337 reallocation

80

Servicer Modifying Borrowers' Loans
Date

Name of Institution

Adjustment Details
City

State

Transaction
Type

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

Investment Description

Pricing
Mechanism

Note

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

6/29/2011

$

Adjusted Cap
$

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

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
4/20/2009

Home Loan Services, Inc.

Pittsburgh
10316
10316
10316
10316
10316
10316
10316
10316
10316
10316
10316
10316

PA

Purchase

Financial Instrument for Home Loan Modifications

$

319,000,000

N/A

Reason for Adjustment

(23,337)

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

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)

$

161,373,079 Transfer of cap due to servicing transfer

81

Servicer Modifying Borrowers' Loans
Date

Name of Institution

Adjustment Details
City

State

Transaction
Type

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

Investment Description

Pricing
Mechanism

Note

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
4/27/2009

Carrington Mortgage Services, LLC

Santa Ana
10503
10503
10503
10503
10503
10503
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

Updated due to quarterly assessment and
161,370,454 reallocation

6/29/2011

$

(2,625)

$

10/19/2011

$

(155,061,221)

$

6/12/2009

$

87,130,000

$

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) $

6,309,233 Termination of SPA
453,130,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
203,460,000 initial cap
Updated portfolio data from servicer & HAFA
323,160,000 initial cap
375,430,000 Updated portfolio data from servicer
Transfer of cap to Countrywide Home Loans due
365,150,000 to servicing transfer
Transfer of cap to GMAC Mortgage, Inc. due to
363,270,000 servicing transfer
Transfer of cap to Countrywide Home Loans due
76,760,000 to servicing transfer
96,300,000 Updated portfolio data from servicer
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

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

$

5,600,000

$

136,510,000 Initial FHA-2LP cap and FHA-HAMP

9/30/2010

$

10,185,090

$

146,695,090 Updated portfolio data from servicer

10/15/2010

$

400,000

$

147,095,090 Transfer of cap due to servicing transfer

1/6/2011

$

(213)

$

3/30/2011

$

(250)

$

147,094,877 Updated portfolio data from servicer
Updated due to quarterly assessment and
147,094,627 reallocation

5/13/2011

$

1,200,000

$

148,294,627 Transfer of cap due to servicing transfer

6/16/2011

$

100,000

$

6/29/2011

$

(2,302)

$

148,394,627 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
148,392,325 reallocation

7/14/2011

$

1,900,000

$

150,292,325 Transfer of cap due to servicing transfer

9/15/2011

$

200,000

$

150,492,325 Transfer of cap due to servicing transfer

10/14/2011

$

200,000

$

150,692,325 Transfer of cap due to servicing transfer

11/16/2011

$

400,000

$

151,092,325 Transfer of cap due to servicing transfer

2/16/2012

$

900,000

$

151,992,325 Transfer of cap due to servicing transfer

3/15/2012

$

100,000

$

152,092,325 Transfer of cap due to servicing transfer

5/16/2012

$

3,260,000

$

155,352,325 Transfer of cap due to servicing transfer

6/14/2012

$

920,000

$

6/28/2012

$

(1,622)

$

156,272,325 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
156,270,703 reallocation

7/16/2012

$

110,000

$

156,380,703 Transfer of cap due to servicing transfer

8/16/2012

$

5,120,000

$

9/27/2012

$

(4,509)

$

161,500,703 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
161,496,194 reallocation

10/16/2012

$

8,810,000

$

170,306,194 Transfer of cap due to servicing transfer

11/15/2012

$

2,910,000

$

12/27/2012

$

(802)

$

173,216,194 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
173,215,392 reallocation

2/14/2013

$

10,210,000

$

3/25/2013

$

(3,023)

$

5/16/2013

$

140,000

$

6/27/2013

$

(1,077)

$

6/17/2009

$

9/30/2009

$

90,990,000

$

12/30/2009

$

57,980,000

$

131,020,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
222,010,000 initial cap
Updated portfolio data from servicer & HAFA
279,990,000 initial cap

3/26/2010

$

74,520,000

$

354,510,000 Updated portfolio data from servicer

7/14/2010

$

(75,610,000)

$

278,900,000 Updated portfolio data from servicer

8/13/2010

$

1,100,000

$

280,000,000 Transfer of cap due to servicing transfer

9/30/2010

$

3,763,685

$

283,763,685 Updated portfolio data from servicer

12/15/2010

$

300,000

$

284,063,685 Updated portfolio data from servicer

1/6/2011

$

(325)

$

284,063,360 Updated portfolio data from servicer

1/13/2011

$

2,400,000

$

3/30/2011

$

(384)

$

6/29/2011

$

(3,592)

$

286,463,360 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
286,462,976 reallocation
Updated due to quarterly assessment and
286,459,384 reallocation

8/16/2011

$

1,800,000

$

288,259,384 Transfer of cap due to servicing transfer

9/15/2011

$

100,000

$

288,359,384 Transfer of cap due to servicing transfer

11/16/2011

$

1,000,000

$

289,359,384 Transfer of cap due to servicing transfer

2/16/2012

$

1,100,000

$

290,459,384 Transfer of cap due to servicing transfer

(63,980,000) $

183,425,392 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
183,422,369 reallocation
183,562,369 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
183,561,292 reallocation

82

Servicer Modifying Borrowers' Loans
Name of Institution

Date

Adjustment Details
City

State

Transaction
Type

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

Investment Description

Pricing
Mechanism

10503
10503
10503
10503
10503
RBS
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
5/28/2009

Nationstar Mortgage LLC

Lewisville
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406
10406

TX

Purchase

Financial Instrument for Home Loan Modifications

$

101,000,000

N/A

Note

Adjustment
Date

Cap Adjustment Amount

4/16/2012

$

5/16/2012
6/14/2012
6/28/2012

Adjusted Cap

Reason for Adjustment

100,000

$

290,559,384 Transfer of cap due to servicing transfer

$

850,000

$

291,409,384 Transfer of cap due to servicing transfer

$

2,240,000

$

$

(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

6/17/2009

$

(338,450,000) $

9/30/2009

$

(11,860,000) $

12/30/2009

$

21,330,000

$

459,550,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
447,690,000 initial cap
Updated portfolio data from servicer & HAFA
469,020,000 initial cap

3/26/2010

$

9,150,000

$

478,170,000 Updated portfolio data from servicer

7/14/2010

$

(76,870,000)

$

401,300,000 Updated portfolio data from servicer

9/1/2010

$

400,000

$

401,700,000 Initial FHA-HAMP cap

9/30/2010

$

(8,454,269)

$

393,245,731 Updated portfolio data from servicer
393,245,389 Updated portfolio data from servicer
Updated due to quarterly assessment and
393,245,015 reallocation

1/6/2011

$

(342)

$

3/30/2011

$

(374)

$

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

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

3/26/2010

$

67,250,000

$

399,200,000 Updated portfolio data from servicer

7/14/2010

$

(85,900,000)

$

313,300,000 Updated portfolio data from servicer

8/13/2010

$

100,000

$

9/30/2010

$

2,900,000

$

313,400,000 Transfer of cap due to servicing transfer
Initial FHA-HAMP cap, initial FHA-2LP cap, initial
316,300,000 RD-HAMP, and initial 2MP cap

9/30/2010

$

33,801,486

$

350,101,486 Updated portfolio data from servicer

11/16/2010

$

700,000

$

350,801,486 Transfer of cap due to servicing transfer

12/15/2010

$

1,700,000

$

352,501,486 Updated portfolio data from servicer

1/6/2011

$

(363)

$

352,501,123 Updated portfolio data from servicer

2/16/2011

$

900,000

$

353,401,123 Transfer of cap due to servicing transfer

3/16/2011

$

29,800,000

$

3/30/2011

$

(428)

$

383,201,123 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
383,200,695 reallocation

5/26/2011

$

20,077,503

$

6/29/2011

$

(4,248)

$

403,278,198 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
403,273,950 reallocation

11/16/2011

$

100,000

$

403,373,950 Transfer of cap due to servicing transfer

3/15/2012

$

(100,000)

$

403,273,950 Transfer of cap due to servicing transfer

5/16/2012

$

90,000

$

403,363,950 Transfer of cap due to servicing transfer

6/14/2012

$

(2,380,000)

$

6/28/2012

$

(2,957)

$

400,983,950 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
400,980,993 reallocation

7/16/2012

$

(2,580,000)

$

398,400,993 Transfer of cap due to servicing transfer

8/16/2012

$

131,450,000

$

529,850,993 Transfer of cap due to servicing transfer

8/23/2012

$

166,976,849

$

9/27/2012

$

(12,806)

$

696,827,842 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
696,815,036 reallocation

83

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
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
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

PR

Purchase

Financial Instrument for Home Loan Modifications

$

57,000,000

N/A

10131
10131
10131
10131
10131
10131
10131
10131
10131
10131
10131
10131
10131
10131
6/19/2009

First Federal Savings and Loan

Port Angeles
10224
10224

WA

Purchase

Financial Instrument for Home Loan Modifications

$

770,000

N/A

Note

Adjustment
Date

Cap Adjustment Amount

11/15/2012

$

12/14/2012

$

12/27/2012

$

2/14/2013

$

3/14/2013

$

3/25/2013

$

4/16/2013
5/16/2013

Adjusted Cap

Reason for Adjustment

160,000

$

696,975,036 Transfer of cap due to servicing transfer

50,000

$

(1,882)

$

697,025,036 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
697,023,154 reallocation

(10,000)

$

697,013,154 Transfer of cap due to servicing transfer

(280,000)

$

(6,437)

$

696,733,154 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
696,726,717 reallocation

$

30,000

$

696,756,717 Transfer of cap due to servicing transfer

$

(1,510,000)

$

695,246,717 Transfer of cap due to servicing transfer

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
Updated portfolio data from servicer & HPDP
17,540,000 initial cap
Updated portfolio data from servicer & HAFA
45,460,000 initial cap

9/30/2009

$

(1,860,000) $

12/30/2009

$

27,920,000

$

3/26/2010

$

(1,390,000)

$

44,070,000 Updated portfolio data from servicer

7/14/2010

$

(13,870,000)

$

9/30/2010

$

400,000

$

30,200,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
30,600,000 initial 2MP cap

9/30/2010

$

586,954

$

31,186,954 Updated portfolio data from servicer

1/6/2011

$

(34)

$

3/30/2011

$

(37)

$

31,186,920 Updated portfolio data from servicer
Updated due to quarterly assessment and
31,186,883 reallocation

4/13/2011

$

100,000

$

6/29/2011

$

(329)

$

31,286,883 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
31,286,554 reallocation

9/15/2011

$

(1,900,000)

$

29,386,554 Transfer of cap due to servicing transfer

11/16/2011

$

2,800,000

$

32,186,554 Transfer of cap due to servicing transfer

5/16/2012

$

420,000

$

32,606,554 Transfer of cap due to servicing transfer

6/14/2012

$

8,060,000

$

6/28/2012

$

(313)

$

40,666,554 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
40,666,241 reallocation

7/16/2012

$

2,160,000

$

9/27/2012

$

(911)

$

42,826,241 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
42,825,330 reallocation

10/16/2012

$

5,690,000

$

48,515,330 Transfer of cap due to servicing transfer

11/15/2012

$

20,000

$

12/27/2012

$

(178)

$

48,535,330 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
48,535,152 reallocation

2/14/2013

$

3,190,000

$

51,725,152 Transfer of cap due to servicing transfer

3/14/2013

$

(260,000)

$

3/25/2013

$

(713)

$

51,465,152 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
51,464,439 reallocation

4/16/2013

$

1,330,000

$

52,794,439 Transfer of cap due to servicing transfer

5/16/2013

$

100,000

$

52,894,439 Transfer of cap due to servicing transfer

6/14/2013

$

20,000

$

6/27/2013

$

(264)

$

52,914,439 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
52,914,175 reallocation
Updated portfolio data from servicer & HPDP
29,590,000 initial cap
Updated portfolio data from servicer & HAFA
175,100,000 initial cap

9/30/2009

$

13,070,000

$

12/30/2009

$

145,510,000

$

3/26/2010

$

(116,950,000)

$

58,150,000 Updated portfolio data from servicer

7/14/2010

$

(23,350,000)

$

34,800,000 Updated portfolio data from servicer

9/30/2010

$

7,846,346

$

42,646,346 Updated portfolio data from servicer

1/6/2011

$

(46)

$

3/30/2011

$

(55)

$

6/29/2011

$

(452)

$

6/28/2012

$

(309)

$

9/27/2012

$

(807)

$

12/27/2012

$

(131)

$

3/25/2013

$

(475)

$

6/27/2013

$

(175)

$

9/30/2009

$

(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

1/6/2011

$

(51)

$

3/30/2011

$

(65)

$

6/29/2011

$

(616)

$

6/28/2012

$

(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)

$

- Termination of SPA

84

Servicer Modifying Borrowers' Loans
Name of Institution

Date
6/19/2009

Adjustment Details
City

Wescom Central Credit Union

Anaheim

State

Transaction
Type

CA

Purchase

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

Investment Description
Financial Instrument for Home Loan Modifications

$

540,000

Pricing
Mechanism

Note

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

IA

Purchase

Financial Instrument for Home Loan Modifications

$

634,010,000

N/A

1000642
1000642
3

1000642
7/1/2009

Bayview Loan Servicing, LLC

Coral Gables
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667

FL

Purchase

Financial Instrument for Home Loan Modifications

$

44,260,000

N/A

Adjustment
Date

Cap Adjustment Amount

9/30/2009

$

12/30/2009
3/26/2010
7/14/2010

Adjusted Cap

Reason for Adjustment

Updated portfolio data from servicer & HPDP
870,000 initial cap
Updated portfolio data from servicer & HAFA
17,360,000 initial cap

330,000

$

$

16,490,000

$

$

(14,260,000)

$

3,100,000 Updated portfolio data from servicer

$

(1,800,000)

$

1,300,000 Updated portfolio data from servicer

7/30/2010

$

1,500,000

$

2,800,000 Updated portfolio data from servicer

9/30/2010

$

1,551,668

$

4,351,668 Updated portfolio data from servicer

1/6/2011

$

(2)

$

3/30/2011

$

(2)

$

4,351,666 Updated portfolio data from servicer
Updated due to quarterly assessment and
4,351,664 reallocation

5/13/2011

$

(1,800,000)

$

2,551,664 Transfer of cap due to servicing transfer

6/3/2011

$

(1,872,787)

$

6/14/2012

$

990,000

$

9/27/2012

$

372,177

$

9/30/2009

$

(10,000) $

12/30/2009

$

590,000

$

3/26/2010

$

(580,000)

$

30,000 Updated portfolio data from servicer

7/14/2010

$

70,000

$

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056

$

145,056 Updated portfolio data from servicer

2/17/2011

$

(145,056)

$

12/30/2009

$

2,180,000

$

- Termination of SPA
Updated portfolio data from servicer & HAFA
2,250,000 initial cap

3/26/2010

$

(720,000)

$

1,530,000 Updated portfolio data from servicer

7/14/2010

$

(430,000)

$

1,100,000 Updated portfolio data from servicer

9/30/2010

$

60,445

$

1,160,445 Updated portfolio data from servicer

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(12)

$

6/28/2012

$

(9)

$

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

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)

$

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
Transfer of cap (to Wells Fargo Bank) due to
293,656 merger
Transfer of cap (to Wells Fargo Bank) due to
238,890 merger
Updated portfolio data from servicer & HPDP
68,110,000 initial cap
Updated portfolio data from servicer & HAFA
111,700,000 initial cap

9/27/2012

$

(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

$

2/17/2010

$

(2,050,236,344)

$

3/12/2010

$

(54,767)

$

9/30/2009

$

23,850,000

$

12/30/2009

$

43,590,000

$

3/26/2010

$

34,540,000

$

146,240,000 Updated portfolio data from servicer

5/7/2010

$

1,010,000

$

147,250,000 Initial 2MP cap

7/14/2010

$

(34,250,000)

$

113,000,000 Updated portfolio data from servicer

9/30/2010

$

600,000

$

113,600,000 Initial FHA-2LP cap

9/30/2010

$

(15,252,303)

$

98,347,697 Updated portfolio data from servicer

1/6/2011

$

(70)

$

3/30/2011

$

(86)

$

98,347,627 Updated portfolio data from servicer
Updated due to quarterly assessment and
98,347,541 reallocation

85

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

1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667

1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
1000667
7/10/2009

Lake National Bank

Mentor

OH

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

10355
10355
10355
10355
10355
10355
10355
10355
10355
7/10/2009

IBM Southeast Employees' Federal Credit Union

12
Delray Beach

FL

Purchase

Financial Instrument for Home Loan Modifications

$

870,000

N/A

10029
10029
10029
10029
10029
10029
10029
10029
10029
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
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834

PA

Purchase

Financial Instrument for Home Loan Modifications

$

54,470,000

N/A

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

4/13/2011

$

400,000

$

98,747,541 Transfer of cap due to servicing transfer

5/13/2011

$

100,000

$

6/29/2011

$

(771)

$

98,847,541 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
98,846,770 reallocation

9/15/2011

$

600,000

$

99,446,770 Transfer of cap due to servicing transfer

10/14/2011

$

(18,900,000)

$

80,546,770 Transfer of cap due to servicing transfer

1/13/2012

$

900,000

$

81,446,770 Transfer of cap due to servicing transfer

2/16/2012

$

2,400,000

$

83,846,770 Transfer of cap due to servicing transfer

3/15/2012

$

(100,000)

$

83,746,770 Transfer of cap due to servicing transfer

4/16/2012

$

200,000

$

83,946,770 Transfer of cap due to servicing transfer

5/16/2012

$

30,000

$

83,976,770 Transfer of cap due to servicing transfer

6/14/2012

$

1,810,000

$

6/28/2012

$

(508)

$

85,786,770 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
85,786,262 reallocation

7/16/2012

$

2,660,000

$

9/27/2012

$

(1,249)

$

88,446,262 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
88,445,013 reallocation

10/16/2012

$

160,000

$

88,605,013 Transfer of cap due to servicing transfer

11/15/2012

$

6,970,000

$

95,575,013 Transfer of cap due to servicing transfer

12/14/2012

$

13,590,000

$

12/27/2012

$

(298)

$

109,165,013 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
109,164,715 reallocation

1/16/2013

$

90,000

$

109,254,715 Transfer of cap due to servicing transfer

2/14/2013

$

3,250,000

$

112,504,715 Transfer of cap due to servicing transfer

3/14/2013

$

830,000

$

3/25/2013

$

(1,023)

$

113,334,715 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
113,333,692 reallocation

4/16/2013

$

1,490,000

$

114,823,692 Transfer of cap due to servicing transfer

5/16/2013

$

660,000

$

115,483,692 Transfer of cap due to servicing transfer

6/14/2013

$

7,470,000

$

6/27/2013

$

(308)

$

122,953,692 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
122,953,384 reallocation
Updated portfolio data from servicer & HPDP
250,000 initial cap
Updated portfolio data from servicer & HAFA
380,000 initial cap

9/30/2009

$

150,000

$

12/30/2009

$

130,000

$

3/26/2010

$

50,000

$

430,000 Updated portfolio data from servicer

7/14/2010

$

(30,000)

$

400,000 Updated portfolio data from servicer

9/30/2010

$

35,167

$

435,167 Updated portfolio data from servicer

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(6)

$

6/28/2012

$

(4)

$

435,166 Updated portfolio data from servicer
Updated due to quarterly assessment and
435,165 reallocation
Updated due to quarterly assessment and
435,159 reallocation
Updated due to quarterly assessment and
435,155 reallocation

8/23/2012

$

(424,504)

$

9/30/2009

$

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

(10,000) $

1/6/2011

$

(37)

$

54,105,702 Updated portfolio data from servicer

3/16/2011

$

(29,400,000)

$

3/30/2011

$

(34)

$

5/26/2011

$

(20,077,503)

$

9/30/2009

$

(36,240,000) $

12/30/2009

$

19,280,000

$

24,705,702 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
24,705,668 reallocation
Termination of SPA
4,628,165 (remaining cap equals distribution amount)
Updated portfolio data from servicer & HPDP
18,230,000 initial cap
Updated portfolio data from servicer & HAFA
37,510,000 initial cap

3/26/2010

$

2,470,000

$

39,980,000 Updated portfolio data from servicer

7/14/2010

$

(17,180,000)

$

22,800,000 Updated portfolio data from servicer

9/30/2010

$

35,500,000

$

58,300,000 Initial FHA-2LP cap and initial 2MP cap

9/30/2010

$

23,076,191

$

81,376,191 Updated portfolio data from servicer

1/6/2011

$

(123)

$

3/30/2011

$

(147)

$

81,376,068 Updated portfolio data from servicer
Updated due to quarterly assessment and
81,375,921 reallocation

5/13/2011

$

(100,000)

$

6/29/2011

$

(1,382)

$

10/14/2011

$

(300,000)

$

6/28/2012

$

(1,003)

$

9/27/2012

$

(2,745)

$

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

86

Servicer Modifying Borrowers' Loans
Name of Institution

Date

Adjustment Details
City

State

Transaction
Type

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

Investment Description

Pricing
Mechanism

Note

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)

Coppell

TX

Purchase

Financial Instrument for Home Loan Modifications

$

1,272,490,000

N/A

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
7/22/2009

Mortgage Center, LLC

Southfield
10439
10439
10439
10439
10439
10439
10439
10439
10439
10439
10439
10439

MI

Purchase

Financial Instrument for Home Loan Modifications

$

4,210,000

N/A

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

12/27/2012

$

(460)

$

3/25/2013

Reason for Adjustment

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

$

(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
Updated portfolio data from servicer & HPDP
5,990,000 initial cap
Updated portfolio data from servicer & HAFA
8,830,000 initial cap

9/30/2009

$

1,780,000

$

12/30/2009

$

2,840,000

$

3/26/2010

$

2,800,000

$

11,630,000 Updated portfolio data from servicer

7/14/2010

$

(5,730,000)

$

5,900,000 Updated portfolio data from servicer

9/30/2010

$

2,658,280

$

8,558,280 Updated portfolio data from servicer

1/6/2011

$

(12)

$

3/30/2011

$

(14)

$

6/29/2011

$

(129)

$

6/28/2012

$

(94)

$

9/27/2012

$

(256)

$

12/27/2012

$

(43)

$

3/25/2013

$

(162)

$

6/27/2013

$

(60)

$

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

87

Servicer Modifying Borrowers' Loans
Name of Institution

Date
7/22/2009

Adjustment Details
City

Mission Federal Credit Union

San Diego

State

Transaction
Type

CA

Purchase

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

Investment Description
Financial Instrument for Home Loan Modifications

$

860,000

Pricing
Mechanism
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
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706
10706

TX

Purchase

Financial Instrument for Home Loan Modifications

$

2,699,720,000

N/A

Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap
(490,000) $

Reason for Adjustment

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

$

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

8/16/2011

$

(400,000)

$

3,345,983,295 Transfer of cap due to servicing transfer

9/15/2011

$

(100,000)

$

3,345,883,295 Transfer of cap due to servicing transfer

10/14/2011

$

200,000

$

3,346,083,295 Transfer of cap due to servicing transfer

10/19/2011

$

519,211,309

$

3,865,294,604 Transfer of cap due to servicing transfer

11/16/2011

$

(2,800,000)

$

3,862,494,604 Transfer of cap due to servicing transfer

1/13/2012

$

(100,000)

$

3,862,394,604 Transfer of cap due to servicing transfer

2/16/2012

$

(100,000)

$

3,862,294,604 Transfer of cap due to servicing transfer

5/16/2012

$

(126,080,000)

$

3,736,214,604 Transfer of cap due to servicing transfer

6/14/2012

$

(1,620,000)

$

6/28/2012

$

(16,192)

$

3,734,594,604 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,734,578,412 reallocation

7/16/2012

$

(2,300,000)

$

3,732,278,412 Transfer of cap due to servicing transfer

8/16/2012

$

(20,000)

$

9/27/2012

$

(37,341)

$

3,732,258,412 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,732,221,071 reallocation

(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

88

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
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
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717

CA

Purchase

Financial Instrument for Home Loan Modifications

$

674,000,000

N/A

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

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
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)

(10,000) $

$

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

7/14/2011

$

(600,000)

$

554,653,088 Transfer of cap due to servicing transfer

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

$

(36,290,000)

$

10,068 Termination of SPA
Updated portfolio data from servicer & HPDP
552,810,000 initial cap
Updated portfolio data from servicer & HAFA
516,520,000 initial cap

3/26/2010

$

199,320,000

$

715,840,000 Updated portfolio data from servicer

7/14/2010

$

(189,040,000)

$

526,800,000 Updated portfolio data from servicer

9/30/2010

$

38,626,728

$

565,426,728 Updated portfolio data from servicer

10/15/2010

$

(170,800,000)

$

394,626,728 Transfer of cap due to servicing transfer

12/15/2010

$

(22,200,000)

$

372,426,728 Updated portfolio data from servicer

1/6/2011

$

(549)

$

372,426,179 Updated portfolio data from servicer

2/16/2011

$

(900,000)

$

3/30/2011

$

(653)

$

6/29/2011

$

(6,168)

$

6/28/2012

$

(4,634)

$

371,526,179 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
371,525,526 reallocation
Updated due to quarterly assessment and
371,519,358 reallocation
Updated due to quarterly assessment and
371,514,724 reallocation

8/16/2012

$

(430,000)

$

9/27/2012

$

(12,728)

$

12/14/2012

$

(20,000)

$

12/27/2012

$

(2,148)

$

3/25/2013

$

(8,137)

$

6/27/2013

$

(3,071)

$

35,441,779 Termination of SPA
Updated portfolio data from servicer & HPDP
600,000 initial cap
Updated portfolio data from servicer & HAFA
250,000 initial cap

525,276 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
525,269 reallocation

371,084,724 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
371,071,996 reallocation
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

89

Servicer Modifying Borrowers' Loans
Date
8/12/2009

Name of Institution

Adjustment Details
City

Litton Loan Servicing, LP

Houston

State

Transaction
Type

TX

Purchase

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

Investment Description
Financial Instrument for Home Loan Modifications

$

774,900,000

Pricing
Mechanism
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
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

313,050,000

$

275,370,000

$

Updated portfolio data from servicer & HPDP
1,087,950,000 initial cap
Updated portfolio data from servicer & HAFA
1,363,320,000 initial cap

278,910,000

$

1,642,230,000 Updated portfolio data from servicer

(474,730,000)

$

1,167,500,000 Updated portfolio data from servicer

(700,000)

$

1,166,800,000 Transfer of cap to due to servicing transfer

$

(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

$

(7,990,000)

$

9/27/2012

$

(26,467)

$

12/27/2012

$

(4,466)

$

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

9/30/2009

$

12/30/2009

$

3/26/2010

$

7/14/2010

$

8/13/2010

$

9/15/2010

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
59,010,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
61,720,000 servicing transfer

9/30/2010

$

(1,423,197)

$

51,656,803 Updated portfolio data from servicer

11/16/2010

$

1,400,000

$

53,056,803 Transfer of cap due to servicing transfer

12/15/2010

$

(100,000)

$

52,956,803 Updated portfolio data from servicer

1/6/2011

$

(72)

$

52,956,731 Updated portfolio data from servicer

1/13/2011

$

4,100,000

$

57,056,731 Transfer of cap due to servicing transfer

2/16/2011

$

(100,000)

$

56,956,731 Transfer of cap due to servicing transfer

3/16/2011

$

4,000,000

$

3/30/2011

$

(94)

$

60,956,731 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
60,956,637 reallocation

4/13/2011

$

(100,000)

$

60,856,637 Transfer of cap due to servicing transfer

5/13/2011

$

5,800,000

$

66,656,637 Transfer of cap due to servicing transfer

6/16/2011

$

600,000

$

6/29/2011

$

(812)

$

67,256,637 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
67,255,825 reallocation

7/14/2011

$

2,500,000

$

69,755,825 Transfer of cap due to servicing transfer

9/15/2011

$

2,800,000

$

72,555,825 Transfer of cap due to servicing transfer

10/14/2011

$

300,000

$

72,855,825 Transfer of cap due to servicing transfer

11/16/2011

$

900,000

$

73,755,825 Transfer of cap due to servicing transfer

12/15/2011

$

800,000

$

74,555,825 Transfer of cap due to servicing transfer

1/13/2012

$

200,000

$

74,755,825 Transfer of cap due to servicing transfer

3/15/2012

$

1,900,000

$

76,655,825 Transfer of cap due to servicing transfer

4/16/2012

$

200,000

$

76,855,825 Transfer of cap due to servicing transfer

6/14/2012

$

1,340,000

$

6/28/2012

$

(340)

$

78,195,825 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
78,195,485 reallocation

7/16/2012

$

2,930,000

$

81,125,485 Transfer of cap due to servicing transfer

8/16/2012

$

890,000

$

9/27/2012

$

(974)

$

82,015,485 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
82,014,511 reallocation

10/16/2012

$

1,800,000

$

83,814,511 Transfer of cap due to servicing transfer

12/14/2012

$

3,860,000

$

12/27/2012

$

(154)

$

87,674,511 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
87,674,357 reallocation

2/14/2013

$

2,980,000

$

3/25/2013

$

(506)

$

90,654,357 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
90,653,851 reallocation

90

Servicer Modifying Borrowers' Loans
Name of Institution

Date

Adjustment Details
City

State

Transaction
Type

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

Investment Description

Pricing
Mechanism

1000744
1000744
1000744
8/12/2009

Servis One, 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
8/28/2009

OneWest Bank

Pasadena

CA

Purchase

Financial Instrument for Home Loan Modifications

$

668,440,000

N/A

10008
10008
10008
10008
10008
10008
10008
10008
10008
10008
10008
10008
10008
8/28/2009

Stanford Federal Credit Union

Palo Alto
1000576
1000576
1000576
1000576

CA

Purchase

Financial Instrument for Home Loan Modifications

$

300,000

N/A

Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

4/16/2013

$

2,160,000

$

92,813,851 Transfer of cap due to servicing transfer

6/14/2013

$

6/27/2013

$

9/30/2009

$

2,440,000

$

(128)

$

95,253,851 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
95,253,723 reallocation
Updated portfolio data from servicer & HPDP
4,220,000 initial cap
Updated portfolio data from servicer & HAFA
4,740,000 initial cap

12/30/2009

$

520,000

$

3/26/2010

$

4,330,000

$

4/19/2010

$

230,000

$

5/19/2010

$

850,000

$

7/14/2010

$

(850,000)

$

9,300,000 Updated portfolio data from servicer

9/15/2010

$

100,000

$

9,400,000 Transfer of cap to due to servicing transfer

9/30/2010

$

100,000

$

9/30/2010

$

16,755,064

$

26,255,064 Updated portfolio data from servicer

10/15/2010

$

100,000

$

26,355,064 Transfer of cap due to servicing transfer

12/15/2010

$

100,000

$

26,455,064 Updated portfolio data from servicer

1/6/2011

$

(40)

$

26,455,024 Updated portfolio data from servicer

1/13/2011

$

300,000

$

26,755,024 Transfer of cap due to servicing transfer

2/16/2011

$

100,000

$

26,855,024 Transfer of cap due to servicing transfer

3/16/2011

$

2,200,000

$

3/30/2011

$

(52)

$

29,055,024 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
29,054,972 reallocation

4/13/2011

$

1,500,000

$

30,554,972 Transfer of cap due to servicing transfer

5/13/2011

$

1,000,000

$

31,554,972 Transfer of cap due to servicing transfer

6/16/2011

$

100,000

$

6/29/2011

$

(534)

$

31,654,972 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
31,654,438 reallocation

8/16/2011

$

700,000

$

32,354,438 Transfer of cap due to servicing transfer

9/15/2011

$

(600,000)

$

31,754,438 Transfer of cap due to servicing transfer

10/14/2011

$

4,000,000

$

35,754,438 Transfer of cap due to servicing transfer

11/16/2011

$

600,000

$

36,354,438 Transfer of cap due to servicing transfer

12/15/2011

$

200,000

$

36,554,438 Transfer of cap due to servicing transfer

1/13/2012

$

100,000

$

36,654,438 Transfer of cap due to servicing transfer

2/16/2012

$

1,300,000

$

37,954,438 Transfer of cap due to servicing transfer

3/15/2012

$

1,100,000

$

39,054,438 Transfer of cap due to servicing transfer

4/16/2012

$

800,000

$

39,854,438 Transfer of cap due to servicing transfer

5/16/2012

$

(1,080,000)

$

38,774,438 Transfer of cap due to servicing transfer

6/14/2012

$

1,560,000

$

6/28/2012

$

(465)

$

40,334,438 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
40,333,973 reallocation

8/16/2012

$

70,000

$

9/27/2012

$

(1,272)

$

40,403,973 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
40,402,701 reallocation

10/16/2012

$

2,100,000

$

42,502,701 Transfer of cap due to servicing transfer

11/15/2012

$

1,340,000

$

43,842,701 Transfer of cap due to servicing transfer

12/14/2012

$

1,160,000

$

12/27/2012

$

(239)

$

45,002,701 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
45,002,462 reallocation

1/16/2013

$

210,000

$

45,212,462 Transfer of cap due to servicing transfer

2/14/2013

$

1,790,000

$

47,002,462 Transfer of cap due to servicing transfer

3/14/2013

$

1,920,000

$

3/25/2013

$

(960)

$

48,922,462 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
48,921,502 reallocation

4/16/2013

$

410,000

$

49,331,502 Transfer of cap due to servicing transfer

5/16/2013

$

(60,000)

$

49,271,502 Transfer of cap due to servicing transfer

6/14/2013

$

1,620,000

$

6/27/2013

$

(359)

$

50,891,502 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
50,891,143 reallocation

(25,510,000) $

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

10/2/2009

$

145,800,000

$

12/30/2009

$

1,355,930,000

$

814,240,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
2,170,170,000 initial cap

3/26/2010

$

121,180,000

$

2,291,350,000 Updated portfolio data from servicer

7/14/2010

$

(408,850,000)

$

1,882,500,000 Updated portfolio data from servicer

9/30/2010

$

5,500,000

$

1,888,000,000 2MP initial cap

9/30/2010

$

(51,741,163)

$

1,836,258,837 Updated portfolio data from servicer

1/6/2011

$

(2,282)

$

3/30/2011

$

(2,674)

$

6/29/2011

$

(24,616)

$

6/28/2012

$

(15,481)

$

9/27/2012

$

(40,606)

$

12/27/2012

$

(6,688)

$

3/25/2013

$

(24,811)

$

6/27/2013

$

(9,058)

$

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

91

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

1000576
8/28/2009

RoundPoint Mortgage Servicing Corporation

3/23/2010
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
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

TX

Purchase

Financial Instrument for Home Loan Modifications

$

6,000,000

N/A

10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
10354
9/9/2009

Central Florida Educators Federal Credit Union

Lake Mary
1000890
1000890
1000890
1000890
1000890
1000890
1000890

Adjustment
Date

FL

Purchase

Financial Instrument for Home Loan Modifications

$

1,250,000

N/A

10

Cap Adjustment Amount
$

Adjusted Cap
(290,111)

$

Reason for Adjustment
- Termination of SPA

10/2/2009

$

130,000

$

12/30/2009

$

(310,000)

$

3/26/2010

$

2,110,000

$

2,500,000 Updated portfolio data from servicer

700,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
390,000 initial cap

7/14/2010

$

8,300,000

$

10,800,000 Updated portfolio data from servicer

9/30/2010

$

5,301,172

$

16,101,172 Updated portfolio data from servicer

1/6/2011

$

(22)

$

16,101,150 Updated portfolio data from servicer

3/16/2011

$

(400,000)

$

3/30/2011

$

(25)

$

6/29/2011

$

(232)

$

6/28/2012

$

(174)

$

9/27/2012

$

(479)

$

15,701,150 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,701,125 reallocation
Updated due to quarterly assessment and
15,700,893 reallocation
Updated due to quarterly assessment and
15,700,719 reallocation
Updated due to quarterly assessment and
15,700,240 reallocation

11/15/2012

$

(350,000)

$

12/27/2012

$

(82)

$

3/25/2013

$

(308)

$

15,350,240 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,350,158 reallocation
Updated due to quarterly assessment and
15,349,850 reallocation

4/16/2013

$

80,000

$

15,429,850 Transfer of cap due to servicing transfer

6/14/2013

$

20,000

$

6/27/2013

$

(108)

$

15,449,850 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,449,742 reallocation

10/2/2009

$

130,000

$

12/30/2009

$

1,040,000

$

690,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
1,730,000 initial cap

3/26/2010

$

(1,680,000)

$

50,000 Updated portfolio data from servicer

5/12/2010

$

1,260,000

$

1,310,000 Updated portfolio data from servicer

7/14/2010

$

(1,110,000)

$

200,000 Updated portfolio data from servicer

9/30/2010

$

100,000

$

300,000 Initial RD-HAMP

9/30/2010

$

(9,889)

$

6/29/2011

$

(3)

$

6/28/2012

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

$

(2)

$

9/27/2012

$

(7)

$

12/27/2012

$

(1)

$

3/25/2013

$

(4)

$

6/27/2013

$

(2)

$

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

1/6/2011

$

(17)

$

11,917,747 Updated portfolio data from servicer

1/13/2011

$

700,000

$

12,617,747 Transfer of cap due to servicing transfer

2/16/2011

$

1,800,000

$

3/30/2011

$

(19)

$

14,417,747 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,417,728 reallocation

4/13/2011

$

300,000

$

6/29/2011

$

(189)

$

14,717,728 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,717,539 reallocation

8/16/2011

$

300,000

$

15,017,539 Transfer of cap due to servicing transfer

9/15/2011

$

100,000

$

15,117,539 Transfer of cap due to servicing transfer

10/14/2011

$

100,000

$

6/28/2012

$

(147)

$

15,217,539 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,217,392 reallocation

7/16/2012

$

(10,000)

$

9/27/2012

$

(413)

$

11/15/2012

$

(40,000)

$

12/27/2012

$

(71)

$

15,166,979 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,166,908 reallocation

2/14/2013

$

(770,000)

$

14,396,908 Transfer of cap due to servicing transfer

3/14/2013

$

(20,000)

$

3/25/2013

$

(256)

$

14,376,908 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
14,376,652 reallocation

4/16/2013

$

(620,000)

$

13,756,652 Transfer of cap due to servicing transfer

5/16/2013

$

40,000

$

13,796,652 Transfer of cap due to servicing transfer

6/14/2013

$

10,000

$

6/27/2013

$

(95)

$

13,806,652 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
13,806,557 reallocation

9,217,764 Transfer of cap due to servicing transfer

15,207,392 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
15,206,979 reallocation

10/2/2009

$

280,000

$

12/30/2009

$

(750,000)

$

1,530,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
780,000 initial cap

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)

$

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

92

Servicer Modifying Borrowers' Loans
Date

Adjustment Details

Name of Institution

City

State

Transaction
Type

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

Investment Description

Pricing
Mechanism

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

FL

Purchase

Financial Instrument for Home Loan Modifications

$

250,000

N/A

1001029
1001029
1001029
1001029
1001029
1001029
1001029
1001029
9/11/2009

Metropolitan National Bank

Little Rock

AR

Purchase

Financial Instrument for Home Loan Modifications

$

280,000

N/A

1000747
1000747
1000747
1000747
1000747
1000747
9/11/2009

Franklin Credit Management Corporation

Jersey City
1000955
1000955
1000955
1000955
1000955
1000955
1000955

NJ

Purchase

Financial Instrument for Home Loan Modifications

$

27,510,000

N/A

Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

6/28/2012

$

21,717

$

Reason for Adjustment

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

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)

$

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

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

2,530,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
5,260,000 initial cap

350,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
970,000 initial cap

- Termination of SPA
33,520,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
13,770,000 initial cap

93

Servicer Modifying Borrowers' Loans
Date

Adjustment Details

Name of Institution

City

State

Transaction
Type

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

Investment Description

Pricing
Mechanism

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
9/23/2009

Schools Financial Credit Union

Sacramento

CA

Purchase

Financial Instrument for Home Loan Modifications

$

390,000

N/A

1001045
1001045
1001045
1001045
1001045
1001045
1001045
1001045
1001045
1001045
1001045
1001045
9/23/2009

Glass City Federal Credit Union

Maumee
10716
10716
10716
10716
10716
10716
10716
10716
10716

OH

Purchase

Financial Instrument for Home Loan Modifications

$

230,000

N/A

Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

Updated due to quarterly assessment and
7,773,600 reallocation

6/29/2011

$

(61)

$

10/14/2011

$

(100,000)

$

6/28/2012

$

(58)

$

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

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

9/15/2011

$

100,000

$

9,122,933 Transfer of cap due to servicing transfer

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)

$

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

- Termination of SPA

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

10/2/2009

$

90,000

$

12/30/2009

$

940,000

$

480,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
1,420,000 initial cap

3/26/2010

$

(980,000)

$

7/14/2010

$

(140,000)

$

300,000 Updated portfolio data from servicer

9/30/2010

$

1,150,556

$

1,450,556 Updated portfolio data from servicer
1,450,554 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,552 reallocation
Updated due to quarterly assessment and
1,450,530 reallocation
Updated due to quarterly assessment and
1,450,514 reallocation
Updated due to quarterly assessment and
1,450,470 reallocation
Updated due to quarterly assessment and
1,450,463 reallocation
Updated due to quarterly assessment and
1,450,435 reallocation
Updated due to quarterly assessment and
1,450,424 reallocation

440,000 Updated portfolio data from servicer

1/6/2011

$

(2)

$

3/30/2011

$

(2)

$

6/29/2011

$

(22)

$

6/28/2012

$

(16)

$

9/27/2012

$

(44)

$

12/27/2012

$

(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

9/27/2012

$

(7)

$

12/27/2012

$

(1)

$

3/25/2013

$

(4)

$

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

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
9/23/2009

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

MI

Purchase

Financial Instrument for Home Loan Modifications

$

410,000

N/A

1000073
1000073
1000073
1000073
1000073
1000073
1000073
1000073
1000073
1000073
1000073
10/23/2009

Bank United

Miami Lakes
10048
10048
10048
10048
10048
10048
10048
10048
10048
10048
10048
10048

Adjustment
Date
6/27/2013

10149

Yadkin Valley Bank

Note

FL

Purchase

Financial Instrument for Home Loan Modifications

$

93,660,000

N/A

Cap Adjustment Amount
$

Adjusted Cap
(2)

$

Reason for Adjustment

Updated due to quarterly assessment and
290,092 reallocation

10/2/2009

$

10,000

$

12/30/2009

$

120,000

$

40,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
160,000 initial cap

3/26/2010

$

10,000

$

170,000 Updated portfolio data from servicer

7/14/2010

$

(70,000)

$

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056

$

145,056 Updated portfolio data from servicer

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)

$

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

- Termination of SPA
300,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
650,000 initial cap

9/27/2012

$

(7)

$

12/27/2012

$

(1)

$

3/25/2013

$

(5)

$

6/27/2013

$

(2)

$

10/2/2009

$

100,000

$

12/30/2009

$

20,000

$

540,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
560,000 initial cap

3/26/2010

$

(290,000)

$

270,000 Updated portfolio data from servicer

7/14/2010

$

(70,000)

$

200,000 Updated portfolio data from servicer

9/30/2010

$

(54,944)

$

6/29/2011

$

(1)

$

145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation

4/11/2012

$

$

(145,055)

12/30/2009

$

1,030,000

$

3/26/2010

$

(880,000)

$

- Termination of SPA
Updated portfolio data from servicer & HAFA
1,600,000 initial cap
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)

$

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

12/30/2009

$

(2,900,000) $

3/26/2010

$

(1,600,000)

$

360,000 Updated portfolio data from servicer

7/14/2010

$

(260,000)

$

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056

$

145,056 Updated portfolio data from servicer

3/9/2011

$

(145,056)

$

1/22/2010

$

20,000

$

430,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

400,000

$

830,000 Updated portfolio data from servicer

7/14/2010

$

(430,000)

$

400,000 Updated portfolio data from servicer

9/30/2010

$

180,222

$

580,222 Updated portfolio data from servicer

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(5)

$

6/28/2012

$

(4)

$

9/27/2012

$

(11)

$

12/27/2012

$

(2)

$

3/25/2013

$

(7)

$

6/27/2013

$

(2)

$

580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,215 reallocation
Updated due to quarterly assessment and
580,211 reallocation
Updated due to quarterly assessment and
580,200 reallocation
Updated due to quarterly assessment and
580,198 reallocation
Updated due to quarterly assessment and
580,191 reallocation
Updated due to quarterly assessment and
580,189 reallocation

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)

$

- Termination of SPA

98,030,000 Updated HPDP cap & HAFA initial cap

97,150,956 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
97,150,868 reallocation
Updated due to quarterly assessment and
97,150,095 reallocation

9/27/2012

$

(549)

$

12/27/2012

$

(65)

$

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

2/14/2013

$

(2,670,000)

$

93,079,204 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

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

FL

Purchase

Financial Instrument for Home Loan Modifications

$

18,960,000

N/A

1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
1001271
11/18/2009

Hillsdale County National Bank

Hillsdale
1000443
1000443
1000443
1000443
1000443

MI

Purchase

Financial Instrument for Home Loan Modifications

$

1,670,000

N/A

Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

Updated due to quarterly assessment and
93,079,062 reallocation

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

1/22/2010

$

40,000

$

800,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

(760,000)

$

40,000 Updated portfolio data from servicer

5/12/2010

$

2,630,000

$

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) $

- Termination of SPA
- Termination of SPA

1/22/2010

$

10,000

$

80,000 Updated HPDP cap & HAFA initial cap

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

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

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)

$

1,160,444 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,160,442 reallocation

96

Servicer Modifying Borrowers' Loans

Adjustment Details

Name of Institution

Date

City

State

Transaction
Type

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

Investment Description

Pricing
Mechanism

Note

1000443
1000443
1000443
1000443
1000443
1000443
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
11/25/2009

Home Financing Center, Inc

Coral Gables

FL

Purchase

Financial Instrument for Home Loan Modifications

$

230,000

N/A

11/25/2009

First Keystone Bank

Media

PA

Purchase

Financial Instrument for Home Loan Modifications

$

1,280,000

N/A

10519
10519
10519
10519
10519
10519
10519
10519
12/4/2009

Community Bank & Trust Company

12
Clarks Summit

PA

Purchase

Financial Instrument for Home Loan Modifications

$

380,000

N/A

1000978
1000978
1000978
1000978
1000978
1000978
1000978
12/4/2009

Idaho Housing and Finance Association

Boise
10223
10223
10223

ID

Purchase

Financial Instrument for Home Loan Modifications

$

9,430,000

N/A

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

6/29/2011

$

(16)

$

6/28/2012

Reason for Adjustment

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

$

(12)

$

9/27/2012

$

(33)

$

12/27/2012

$

(6)

$

3/25/2013

$

(21)

$

6/27/2013

$

(8)

$

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

4/21/2010

$

1/22/2010

$

50,000

$

1,330,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

1,020,000

$

2,350,000 Updated portfolio data from servicer

7/14/2010

$

(950,000)

$

1,400,000 Updated portfolio data from servicer

9/30/2010

$

50,556

$

1,450,556 Updated portfolio data from servicer

1/6/2011

$

(2)

$

3/30/2011

$

(2)

$

1,450,554 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,552 reallocation

6/16/2011

$

(100,000)

$

6/29/2011

$

(21)

$

7/22/2011

$

(1,335,614)

$

1/22/2010

$

10,000

$

390,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

520,000

$

910,000 Updated portfolio data from servicer

7/14/2010

$

(810,000)

$

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056

$

6/29/2011

$

(1)

$

6/28/2012

$

(1)

$

9/27/2012

$

(2)

$

3/25/2013

$

(1)

$

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

(10,000) $

(230,000) $

10,000 Updated portfolio data from servicer

21,310,000 Updated HPDP cap & HAFA initial cap

5,657,167 Updated portfolio data from servicer

7,007,007 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
7,006,969 reallocation

- Termination of SPA

1,350,552 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,350,531 reallocation
14,917 Termination of SPA

9,870,000 Updated HPDP cap & HAFA initial cap

97

Servicer Modifying Borrowers' Loans
Date

Adjustment Details

Name of Institution

City

State

Transaction
Type

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

Investment Description

Pricing
Mechanism

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
12/9/2009

Fidelity Homestead Savings Bank

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

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
1000638
1000638
1000638
1000638

WA

Purchase

Financial Instrument for Home Loan Modifications

$

2,250,000

N/A

Note

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

9/30/2010

$

(9,889)

$

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

6/29/2011

$

(3)

$

6/28/2012

$

(2)

$

9/27/2012

$

(6)

$

12/27/2012

$

(1)

$

3/25/2013

$

(3)

$

6/27/2013

$

(1)

$

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

1/6/2011

$

(2)

$

1,305,498 Updated portfolio data from servicer

2/17/2011

$

(1,305,498)

$

1/22/2010

$

70,000

$

1,660,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

(290,000)

$

1,370,000 Updated portfolio data from servicer

7/14/2010

$

(570,000)

$

800,000 Updated portfolio data from servicer

9/30/2010

$

70,334

$

870,334 Updated portfolio data from servicer

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(13)

$

870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,319 reallocation

1/25/2012

$

(870,319)

$

1/22/2010

$

90,000

$

1,970,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

1,110,000

$

3,080,000 Updated portfolio data from servicer

7/14/2010

$

(1,180,000)

$

1,900,000 Updated portfolio data from servicer

9/30/2010

$

275,834

$

2,175,834 Updated portfolio data from servicer

1/6/2011

$

(2)

$

3/30/2011

$

(3)

$

6/29/2011

$

(26)

$

6/28/2012

$

(21)

$

370,000 Updated HPDP cap & HAFA initial cap

- Termination of SPA

- Termination of SPA

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

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

3/26/2010

$

440,000

$

680,000 Updated portfolio data from servicer

7/14/2010

$

(80,000)

$

600,000 Updated portfolio data from servicer

9/30/2010

$

(19,778)

$

580,222 Updated portfolio data from servicer

10/15/2010

$

(580,222)

$

1/22/2010

$

290,000

$

6,450,000 Updated HPDP cap & HAFA initial cap

3/26/2010

$

40,000

$

6,490,000 Updated portfolio data from servicer

7/14/2010

$

(2,890,000)

$

3,600,000 Updated portfolio data from servicer

9/30/2010

$

606,612

$

4,206,612 Updated portfolio data from servicer

1/6/2011

$

(4)

$

3/30/2011

$

(4)

$

6/29/2011

$

(35)

$

6/28/2012

$

(9)

$

9/27/2012

$

(14)

$

12/27/2012

$

(2)

$

3/25/2013

$

(8)

$

6/27/2013

$

(4)

$

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

1/6/2011

$

(1)

$

1,450,555 Updated portfolio data from servicer

- 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

Note

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

WA

Purchase

Financial Instrument for Home Loan Modifications

$

600,000

N/A

1000558
1000558
12/11/2009

Seattle

Verity Credit Union
10139
10139
10139
10139
10139

12/11/2009

Hartford

Hartford Savings Bank

WI

Purchase

Financial Instrument for Home Loan Modifications

$

630,000

N/A

1000753
1000753
1000753
1000753
1000753
1000753
1000753
1000753
1000753
1000753
1000753
12/11/2009

Bryn Mawr

The Bryn Mawr Trust Co.

PA

Purchase

Financial Instrument for Home Loan Modifications

$

150,000

N/A
9

1000631
12/16/2009

Spring Valley

Citizens First National Bank

IL

Purchase

Financial Instrument for Home Loan Modifications

$

620,000

N/A

1000438
1000438
1000438
1000438
1000438
1000438
1000438
1000438
1000438
1000438
1000438
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
1000825
1000825
1000825
1000825
1000825

IN

Purchase

Financial Instrument for Home Loan Modifications

$

700,000

N/A

Adjustment
Date

Cap Adjustment Amount

3/30/2011

$

6/29/2011

Adjusted Cap
(1)

$

Reason for Adjustment

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

$

(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

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(13)

$

6/28/2012

$

(10)

$

870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,319 reallocation
Updated due to quarterly assessment and
870,309 reallocation

7/6/2012

$

(856,986)

$

1/22/2010

$

20,000

$

3/26/2010

$

1,250,000

$

5/26/2010

$

(1,640,000)

$

330,000 Updated HPDP cap & HAFA initial cap

13,323 Termination of SPA
390,000 Updated HPDP cap & HAFA initial cap
1,640,000 Updated portfolio data from servicer
- Termination of SPA

1/22/2010

$

30,000

$

3/26/2010

$

400,000

$

1,030,000 Updated portfolio data from servicer

7/14/2010

$

(330,000)

$

700,000 Updated portfolio data from servicer

9/30/2010

$

25,278

$

725,278 Updated portfolio data from servicer

1/6/2011

$

(1)

$

725,277 Updated portfolio data from servicer

2/17/2011

$

(725,277)

$

1/22/2010

$

30,000

$

3/26/2010

$

800,000

$

1,460,000 Updated portfolio data from servicer

7/14/2010

$

(360,000)

$

1,100,000 Updated portfolio data from servicer

9/30/2010

$

60,445

$

1,160,445 Updated portfolio data from servicer

1/6/2011

$

(2)

$

3/30/2011

$

(2)

$

6/29/2011

$

(18)

$

6/28/2012

$

(14)

$

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

9/27/2012

$

(37)

$

12/27/2012

$

(6)

$

3/25/2013

$

(24)

$

6/27/2013

$

(9)

$

4/21/2010

$

6/16/2011

$

(150,000) $

630,000 Updated HPDP cap & HAFA initial cap

- Termination of SPA
660,000 Updated HPDP cap & HAFA initial cap

- Termination of SPA

100,000

$

100,000 Transfer of cap due to servicing transfer
650,000 Updated HPDP cap & HAFA initial cap

1/22/2010

$

30,000

$

3/26/2010

$

(580,000)

$

70,000 Updated portfolio data from servicer

7/14/2010

$

1,430,000

$

1,500,000 Updated portfolio data from servicer

9/30/2010

$

95,612

$

1,595,612 Updated portfolio data from servicer

1/6/2011

$

(2)

$

3/30/2011

$

(3)

$

6/29/2011

$

(24)

$

6/28/2012

$

(16)

$

9/27/2012

$

(45)

$

12/27/2012

$

(8)

$

3/25/2013

$

(30)

$

6/27/2013

$

(11)

$

1,595,610 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,595,607 reallocation
Updated due to quarterly assessment and
1,595,583 reallocation
Updated due to quarterly assessment and
1,595,567 reallocation
Updated due to quarterly assessment and
1,595,522 reallocation
Updated due to quarterly assessment and
1,595,514 reallocation
Updated due to quarterly assessment and
1,595,484 reallocation
Updated due to quarterly assessment and
1,595,473 reallocation

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

1/6/2011

$

(2)

$

3/30/2011

$

(2)

$

1,450,554 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,450,552 reallocation

- 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

99

Servicer Modifying Borrowers' Loans

Adjustment Details

Name of Institution

Date

City

State

Transaction
Type

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

Investment Description

Pricing
Mechanism

Note

1000825
1000825
1000825
12/16/2009

Solon

Park View Federal Savings Bank

OH

Purchase

Financial Instrument for Home Loan Modifications

$

760,000

N/A

10025
10025
10025
10025
10025
10025
10025
12

10025
12/23/2009

Sarasota

Iberiabank

FL

Purchase

Financial Instrument for Home Loan Modifications

$

4,230,000

N/A

1001411
1001411
1001411
1001411
1001411
1001411
12

1001411
12/23/2009

North Grafton

Grafton Suburban Credit Union

MA

Purchase

Financial Instrument for Home Loan Modifications

$

340,000

N/A

1001192
1001192
1001192
1001192
1001192
1001192
1001192
12/23/2009

Eaton

Eaton National Bank & Trust Company

OH

Purchase

Financial Instrument for Home Loan Modifications

$

60,000

N/A

1001078
1001078
1001078
12/23/2009

Tempe

Tempe Schools Credit Union

AZ

Purchase

Financial Instrument for Home Loan Modifications

$

110,000

N/A

1000703
1000703
1000703
1/13/2010

Fresno

Fresno County Federal Credit Union

CA

Purchase

Financial Instrument for Home Loan Modifications

$

260,000

N/A

10507
10507
10507
10507
10507
10507
12
1/13/2010

Roebling

Roebling Bank

NJ

Purchase

Financial Instrument for Home Loan Modifications

$

240,000

N/A

1001235
1001235
1001235
1001235
1/13/2010

Grant Park

First National Bank of Grant Park

IL

Purchase

Financial Instrument for Home Loan Modifications

$

140,000

N/A

1000901
1000901
1000901
1/13/2010

Highlands Ranch

Specialized Loan Servicing, LLC
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635

CO

Purchase

Financial Instrument for Home Loan Modifications

$

64,150,000

N/A

Adjustment
Date

Cap Adjustment Amount

6/29/2011

$

6/28/2012
9/21/2012
1/22/2010
3/26/2010
7/14/2010

Adjusted Cap

Reason for Adjustment

Updated due to quarterly assessment and
1,450,529 reallocation
Updated due to quarterly assessment and
1,450,512 reallocation

(23)

$

$

(17)

$

$

(1,450,512)

$

$

40,000

$

800,000 Updated HPDP cap & HAFA initial cap

$

140,000

$

940,000 Updated portfolio data from servicer

$

(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

- Termination of SPA

53,937 Termination of SPA

1/6/2011

$

(11)

$

3/30/2011

$

(13)

$

7,252,769 Updated portfolio data from servicer
Updated due to quarterly assessment and
7,252,756 reallocation

4/13/2011

$

(300,000)

$

6,952,756 Transfer of cap due to servicing transfer

6/3/2011

$

(6,927,254)

$

1/22/2010

$

20,000

$

3/26/2010

$

(320,000)

$

40,000 Updated portfolio data from servicer

7/14/2010

$

760,000

$

800,000 Updated portfolio data from servicer

9/30/2010

$

(74,722)

$

725,278 Updated portfolio data from servicer

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(11)

$

725,277 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,276 reallocation
Updated due to quarterly assessment and
725,265 reallocation

1/25/2012

$

(725,265)

$

3/26/2010

$

90,000

$

150,000 Updated portfolio data from servicer

7/14/2010

$

50,000

$

200,000 Updated portfolio data from servicer

9/30/2010

$

(54,944)

$

145,056 Updated portfolio data from servicer

5/20/2011

$

(145,056)

$

3/26/2010

$

(20,000)

$

90,000 Updated portfolio data from servicer

7/14/2010

$

10,000

$

100,000 Updated portfolio data from servicer

9/30/2010

$

45,056

$

145,056 Updated portfolio data from servicer

12/8/2010

$

(145,056)

$

3/26/2010

$

480,000

$

740,000 Updated portfolio data from servicer

7/14/2010

$

(140,000)

$

600,000 Updated portfolio data from servicer

9/30/2010

$

(19,778)

$

580,222 Updated portfolio data from servicer

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(8)

$

6/28/2012

$

(6)

$

580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
Updated due to quarterly assessment and
580,206 reallocation

7/6/2012

$

(555,252)

$

3/26/2010

$

610,000

$

850,000 Updated portfolio data from servicer

7/14/2010

$

50,000

$

900,000 Updated portfolio data from servicer

9/30/2010

$

(29,666)

$

870,334 Updated portfolio data from servicer

1/6/2011

$

(1)

$

870,333 Updated portfolio data from servicer

3/23/2011

$

(870,333)

$

3/26/2010

$

150,000

$

290,000 Updated portfolio data from servicer

7/14/2010

$

10,000

$

300,000 Updated portfolio data from servicer

9/30/2010

$

(9,889)

$

290,111 Updated portfolio data from servicer

1/26/2011

$

(290,111)

$

3/26/2010

$

(51,240,000)

$

5/14/2010

$

3,000,000

$

6/16/2010

$

4,860,000

$

7/14/2010

$

3,630,000

$

7/16/2010

$

330,000

$

24,400,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
24,730,000 servicing transfer

8/13/2010

$

700,000

$

25,430,000 Transfer of cap due to servicing transfer

9/15/2010

$

200,000

$

25,630,000 Transfer of cap due to servicing transfer

9/30/2010

$

(1,695,826)

$

23,934,174 Updated portfolio data from servicer

11/16/2010

$

200,000

$

24,134,174 Transfer of cap due to servicing transfer

1/6/2011

$

(32)

$

24,134,142 Updated portfolio data from servicer

1/13/2011

$

1,500,000

$

25,634,142 Transfer of cap due to servicing transfer

3/16/2011

$

7,100,000

$

3/30/2011

$

(36)

$

32,734,142 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
32,734,106 reallocation

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

25,502 Termination of SPA
360,000 Updated HPDP cap & HAFA initial cap

- Termination of SPA

- Termination of SPA

- Termination of SPA

24,954 Termination of SPA

- Termination of SPA

- Termination of SPA
12,910,000 Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
15,910,000 servicing transfer
Transfer of cap from CitiMortgage, Inc. due to
20,770,000 servicing transfer

100

Servicer Modifying Borrowers' Loans

Adjustment Details

Name of Institution

Date

City

State

Transaction
Type

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

Investment Description

Pricing
Mechanism

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
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

Urban Trust Bank

Lake Mary

FL

Purchase

Financial Instrument for Home Loan Modifications

$

1,060,000

N/A

Irving

TX

Purchase

Financial Instrument for Home Loan Modifications

$

28,040,000

N/A

1001435
3/5/2010

iServe Servicing, Inc.
1001384

Note

Adjustment
Date

Cap Adjustment Amount

6/16/2011

$

6/29/2011
8/16/2011
9/15/2011

Adjusted Cap

Reason for Adjustment

300,000

$

$

(332)

$

34,134,106 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
34,133,774 reallocation

$

100,000

$

34,233,774 Transfer of cap due to servicing transfer

$

300,000

$

34,533,774 Transfer of cap due to servicing transfer

10/14/2011

$

300,000

$

34,833,774 Transfer of cap due to servicing transfer

12/15/2011

$

(1,700,000)

$

33,133,774 Transfer of cap due to servicing transfer

1/13/2012

$

1,600,000

$

34,733,774 Transfer of cap due to servicing transfer

2/16/2012

$

100,000

$

34,833,774 Transfer of cap due to servicing transfer

3/15/2012

$

100,000

$

34,933,774 Transfer of cap due to servicing transfer

4/16/2012

$

77,600,000

$

112,533,774 Transfer of cap due to servicing transfer

5/16/2012

$

40,000

$

112,573,774 Transfer of cap due to servicing transfer

6/14/2012

$

(350,000)

$

6/28/2012

$

(1,058)

$

112,223,774 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
112,222,716 reallocation

7/16/2012

$

4,430,000

$

116,652,716 Transfer of cap due to servicing transfer

8/16/2012

$

(1,280,000)

$

9/27/2012

$

(3,061)

$

115,372,716 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
115,369,655 reallocation

10/16/2012

$

5,600,000

$

120,969,655 Transfer of cap due to servicing transfer

11/15/2012

$

880,000

$

121,849,655 Transfer of cap due to servicing transfer

12/14/2012

$

24,180,000

$

12/27/2012

$

(663)

$

146,029,655 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
146,028,992 reallocation

1/16/2013

$

2,410,000

$

148,438,992 Transfer of cap due to servicing transfer

2/14/2013

$

6,650,000

$

155,088,992 Transfer of cap due to servicing transfer

3/14/2013

$

(1,450,000)

$

3/25/2013

$

(2,584)

$

153,638,992 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
153,636,408 reallocation

4/16/2013

$

(750,000)

$

152,886,408 Transfer of cap due to servicing transfer

5/16/2013

$

(1,250,000)

$

151,636,408 Transfer of cap due to servicing transfer

6/14/2013

$

3,670,000

$

6/27/2013

$

(985)

$

155,306,408 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
155,305,423 reallocation

3/26/2010

$

8,680,000

$

9,450,000 Updated portfolio data from servicer

7/14/2010

$

(8,750,000)

$

700,000 Updated portfolio data from servicer

9/30/2010

$

170,334

$

870,334 Updated portfolio data from servicer

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(8)

$

6/28/2012

$

(4)

$

9/27/2012

$

(10)

$

12/27/2012

$

(2)

$

3/25/2013

$

(7)

$

6/27/2013

$

(2)

$

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

3/26/2010

$

12,190,000

$

5/14/2010

$

(15,240,000)

$

3/26/2010

$

(730,000)

$

230,000 Updated portfolio data from servicer

7/14/2010

$

370,000

$

600,000 Updated portfolio data from servicer

9/30/2010

$

200,000

$

800,000 Initial FHA-HAMP cap and initial 2MP cap

9/30/2010

$

(364,833)

$

435,167 Updated portfolio data from servicer

11/16/2010

$

100,000

$

535,167 Transfer of cap due to servicing transfer

1/6/2011

$

(1)

$

3/30/2011

$

(1)

$

6/29/2011

$

(7)

$

6/28/2012

$

(6)

$

9/27/2012

$

(15)

$

12/27/2012

$

(3)

$

3/25/2013

$

(10)

$

6/27/2013

$

(4)

$

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

3/26/2010

$

160,000

$

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

$

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

15,240,000 Updated portfolio data from servicer
- Termination of SPA

5,500,000 Updated portfolio data from servicer
- Termination of SPA

101

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

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

OR

Purchase

Financial Instrument for Home Loan Modifications

$

6,550,000

N/A

1000657
1000657
1000657
1000657
1000657
1000657
1000657
1000657
1000657
1000657
1000657
5/21/2010

Marlton

Aurora Financial Group, Inc.

NJ

Purchase

Financial Instrument for Home Loan Modifications

$

10,000

N/A

4, 8

10425
10425
10425
10425
10425
10425
10425
6/16/2010

Houston

Selene Finance LP
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460

TX

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

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

7/14/2010

$

(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

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

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)

$

6/28/2012

$

(7)

$

- Termination of SPA

647,816 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
647,807 reallocation
Updated due to quarterly assessment and
647,800 reallocation
Updated due to quarterly assessment and
647,781 reallocation
Updated due to quarterly assessment and
647,778 reallocation
Updated due to quarterly assessment and
647,766 reallocation
Updated due to quarterly assessment and
647,761 reallocation

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

$

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

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

102

Servicer Modifying Borrowers' Loans
Name of Institution

Date

Adjustment Details
City

State

Transaction
Type

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

Investment Description

Pricing
Mechanism

Note

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.

ID

Purchase

Financial Instrument for Home Loan Modifications

$

4,300,000

N/A

1000951
1000951
1000951
1000951
1000951
1000951
1000951
1000951
9/1/2010

Raleigh

RBC Bank (USA)

NC

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

1001421
1001421
1001421
1001421
1001421
15

1001421
9/3/2010

Chicago

Fay Servicing, LLC
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727

IL

Purchase

Financial Instrument for Home Loan Modifications

$

3,100,000

N/A

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

11/16/2011

$

4/16/2012

$

5/16/2012

$

6/14/2012

$

6/28/2012

$

(218)

7/16/2012

$

8/16/2012

$

9/27/2012

$

(600)

$

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)

$

9/30/2010

Reason for Adjustment

1,100,000

$

17,423,517 Transfer of cap due to servicing transfer

200,000

$

17,623,517 Transfer of cap due to servicing transfer

10,000

$

17,633,517 Transfer of cap due to servicing transfer

(300,000)

$
$

17,333,517 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
17,333,299 reallocation

40,000

$

17,373,299 Transfer of cap due to servicing transfer

480,000

$

17,853,299 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
17,852,699 reallocation
17,922,699 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
17,922,597 reallocation
18,012,597 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
18,012,213 reallocation
17,982,213 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
17,982,067 reallocation

$

1,585,945

$

2,465,945 Updated portfolio data from servicer

1/6/2011

$

(4)

$

3/30/2011

$

(4)

$

6/29/2011

$

(40)

$

6/28/2012

$

(30)

$

2,465,941 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,465,937 reallocation
Updated due to quarterly assessment and
2,465,897 reallocation
Updated due to quarterly assessment and
2,465,867 reallocation

8/10/2012

$

(2,465,867)

$

9/30/2010

$

1,040,667

$

1,740,667 Updated portfolio data from servicer
1,740,665 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,740,662 reallocation
Updated due to quarterly assessment and
1,740,634 reallocation

- Termination of SPA

1/6/2011

$

(2)

$

3/30/2011

$

(3)

$

6/29/2011

$

(28)

$

8/10/2011

$

(1,740,634)

$

9/30/2010

$

2,181,334

$

3,481,334 Updated portfolio data from servicer
3,481,329 Updated portfolio data from servicer
Updated due to quarterly assessment and
3,481,323 reallocation
Updated due to quarterly assessment and
3,481,265 reallocation
Updated due to quarterly assessment and
3,481,222 reallocation
Updated due to quarterly assessment and
3,481,103 reallocation
Updated due to quarterly assessment and
3,481,083 reallocation
Updated due to quarterly assessment and
3,481,007 reallocation
Updated due to quarterly assessment and
3,480,978 reallocation

- 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)

$

6/27/2013

$

(95)

$

11,314,320 Updated portfolio data from servicer
Updated due to quarterly assessment and
11,314,300 reallocation
Updated due to quarterly assessment and
11,314,108 reallocation
Updated due to quarterly assessment and
11,313,964 reallocation
Updated due to quarterly assessment and
11,313,568 reallocation
Updated due to quarterly assessment and
11,313,501 reallocation
Updated due to quarterly assessment and
11,313,248 reallocation
Updated due to quarterly assessment and
11,313,153 reallocation

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

$

14,747,600 Transfer of cap due to servicing transfer

103

Servicer Modifying Borrowers' Loans

Adjustment Details

Name of Institution

Date

City

State

Transaction
Type

Pricing
Mechanism

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

Investment Description

Note

1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
9/15/2010

Oklahoma City

Vericrest Financial, Inc.

OK

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
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

IL

Purchase

Financial Instrument for Home Loan Modifications

$

1,900,000

N/A

Columbia

SC

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

Amarillo

TX

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

1000704
9/24/2010

Ottawa

Centrue Bank
10204
10204

9/30/2010

AgFirst Farm Credit Bank
1001220

9/30/2010

Amarillo National Bank

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.
1001930
1001930
1001930
1001930

FL

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

4, 8

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

(61)

$

Updated due to quarterly assessment and
14,747,539 reallocation

$

30,000

$

14,777,539 Transfer of cap due to servicing transfer

$

(590,000)

$

14,187,539 Transfer of cap due to servicing transfer

$

(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

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

12/27/2012

$

1/16/2013
2/14/2013
3/14/2013

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

$

145,056 Updated portfolio data from servicer

2/2/2011

$

(145,056)

$

9/30/2010

$

856,056

$

2,756,056 Updated portfolio data from servicer

1/6/2011

$

(4)

$

2,756,052 Updated portfolio data from servicer

3/9/2011

$

(2,756,052)

$

9/30/2010

$

45,056

$

3/23/2011

$

(145,056)

$

9/30/2010

$

45,056

$

6/29/2011

$

(1)

$

6/28/2012

$

(1)

$

9/27/2012

$

(2)

$

3/25/2013

$

(1)

$

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)

$

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

- Termination of SPA

- Termination of SPA
145,056 Updated portfolio data from servicer
- Termination of SPA
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,052 reallocation
Updated due to quarterly assessment and
145,051 reallocation
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

104

Servicer Modifying Borrowers' Loans

9/24/2010

Adjustment Details
Transaction
Type

Freeburg

IL

Purchase

Financial Instrument for Home Loan Modifications

$

800,000

N/A

Rockledge

FL

Purchase

Financial Instrument for Home Loan Modifications

$

2,000,000

N/A

City

Citizens Community Bank

Pricing
Mechanism

State

Name of Institution

Date

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

Investment Description

Note

1001848
1001848
9/30/2010

Community Credit Union of Florida

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

OH

Purchase

Financial Instrument for Home Loan Modifications

$

1,700,000

N/A

4

1000773
1000773
1000773
1000773
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

Gardner

MA

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

Saint Paul

MN

Purchase

Financial Instrument for Home Loan Modifications

$

100,000

N/A

1001637
9/30/2010

Guaranty Bank

4, 8

10350
10350
10350
10350
9/24/2010

Kansas City

James B. Nutter & Company
1000492
1000492
1000492
1000492
1000492
1000492
1000492
1000492

MO

Purchase

Financial Instrument for Home Loan Modifications

$

300,000

N/A

4, 8

Adjustment
Date

Cap Adjustment Amount

9/30/2010

$

Adjusted Cap

Reason for Adjustment

360,445

$

1,160,445 Updated portfolio data from servicer
1,160,443 Updated portfolio data from servicer

1/6/2011

$

(2)

$

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

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)

$

9/27/2012

$

(83)

$

12/27/2012

$

(14)

$

3/25/2013

$

(53)

$

2,465,941 Updated portfolio data from servicer
Updated due to quarterly assessment and
2,465,937 reallocation
Updated due to quarterly assessment and
2,465,897 reallocation
Updated due to quarterly assessment and
2,465,867 reallocation
Updated due to quarterly assessment and
2,465,784 reallocation
Updated due to quarterly assessment and
2,465,770 reallocation
Updated due to quarterly assessment and
2,465,717 reallocation

6/14/2013

$

(10,000)

$

6/27/2013

$

(20)

$

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

2,455,717 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
2,455,697 reallocation

- Termination of SPA

105

Servicer Modifying Borrowers' Loans

9/30/2010

Adjustment Details

Name of Institution

Date

City
New Orleans

Liberty Bank and Trust Co

State

Transaction
Type

LA

Purchase

Financial Instrument for Home Loan Modifications

Pricing
Mechanism

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

Investment Description
$

1,000,000

Note

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

OK

Purchase

Financial Instrument for Home Loan Modifications

$

43,500,000

N/A

4, 5

10457
10457
10457
10457
10457
10457
10457
10457
10457
10457
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
1001754
1001754

CO

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

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

$

- Termination of SPA

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

$

387,953,522 Transfer of cap due to servicing transfer

7/27/2012

$

(263,550,000)

$

9/27/2012

$

(3,170)

$

12/27/2012

$

(507)

$

3/25/2013

$

(1,729)

$

6/27/2013

$

(593)

$

124,403,522 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
124,400,352 reallocation
Updated due to quarterly assessment and
124,399,845 reallocation
Updated due to quarterly assessment and
124,398,116 reallocation
Updated due to quarterly assessment and
124,397,523 reallocation

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

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

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

106

Servicer Modifying Borrowers' Loans
Date

Name of Institution

Adjustment Details
City

State

Transaction
Type

Pricing
Mechanism

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

Investment Description

Note

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
4/13/2011

Richmond

SunTrust Mortgage, Inc.

VA

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

10012
10012
4/13/2011

Chicago

Urban Partnership Bank

IL

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

1001970
1001970
1001970
1001970
1001970
1001970
1001970
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.
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025

CA

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

Adjustment
Date

Cap Adjustment Amount

3/16/2011

$

3/30/2011

$

Adjusted Cap
100,000

$

Reason for Adjustment

(9)

$

6/29/2011

$

(85)

$

5,599,993 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,599,984 reallocation
Updated due to quarterly assessment and
5,599,899 reallocation

11/16/2011

$

(2,500,000)

$

3,099,899 Transfer of cap due to servicing transfer

3/15/2012

$

200,000

$

6/28/2012

$

(40)

$

9/27/2012

$

(100)

$

3,299,899 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,299,859 reallocation
Updated due to quarterly assessment and
3,299,759 reallocation

10/16/2012

$

170,000

$

3,469,759 Transfer of cap due to servicing transfer

11/15/2012

$

(30,000)

$

3,439,759 Transfer of cap due to servicing transfer

12/14/2012

$

(80,000)

$

12/27/2012

$

(17)

$

3,359,759 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,359,742 reallocation

1/16/2013

$

50,000

$

3,409,742 Transfer of cap due to servicing transfer

2/14/2013

$

1,240,000

$

4,649,742 Transfer of cap due to servicing transfer

3/14/2013

$

90,000

$

3/25/2013

$

(90)

$

4,739,742 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
4,739,652 reallocation

4/16/2013

$

(10,000)

$

6/27/2013

$

(34)

$

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

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

4/13/2011

$

1,000,000

$

6/29/2011

$

233,268

$

11/16/2011

$

100,000

$

6/28/2012

$

(3)

$

1,000,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,233,268 reallocation
1,333,268 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,333,265 reallocation
Updated due to quarterly assessment and
1,333,255 reallocation
Updated due to quarterly assessment and
1,333,253 reallocation
Updated due to quarterly assessment and
1,333,246 reallocation
Updated due to quarterly assessment and
1,333,243 reallocation

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)

$

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

$

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

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

799,991 Transfer of cap due to servicing transfer

107

Servicer Modifying Borrowers' Loans
Date

Adjustment Details

Name of Institution

City

State

Transaction
Type

Pricing
Mechanism

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

Investment Description

Note

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

Bangor

ME

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

9/15/2011

PHH Mortgage Corporation

Mt. Laurel

NJ

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

10107
10107
10107
10107
10107
10107
12/15/2011

Irvine

Rushmore Loan Management Services LLC

CA

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
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
11/15/2012

Orange

Kondaur Capital Corporation
1002292
1002292
1002292
1002292
1002292
1002292

CA

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

Reason for Adjustment

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

7/14/2011

$

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

$

(15)

$

9/27/2012

$

(42)

$

1,300,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,299,985 reallocation
Updated due to quarterly assessment and
1,299,943 reallocation

10/16/2012

$

140,000

$

12/27/2012

$

(8)

$

3/25/2013

$

(30)

$

6/27/2013

$

(11)

$

1,439,943 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,439,935 reallocation
Updated due to quarterly assessment and
1,439,905 reallocation
Updated due to quarterly assessment and
1,439,894 reallocation

12/15/2011

$

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

$

2,179,984 Transfer of cap due to servicing transfer

11/15/2012

$

230,000

$

12/27/2012

$

(5)

$

2,409,984 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
2,409,979 reallocation

1/16/2013

$

990,000

$

3,399,979 Transfer of cap due to servicing transfer

2/14/2013

$

600,000

$

3,999,979 Transfer of cap due to servicing transfer

3/14/2013

$

1,980,000

$

3/25/2013

$

(77)

$

5,979,979 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,979,902 reallocation

4/16/2013

$

340,000

$

6,319,902 Transfer of cap due to servicing transfer

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

$

909,997 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
909,984 reallocation

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

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

108

Servicer Modifying Borrowers' Loans

Adjustment Details
State

Transaction
Type

Detroit

MI

Purchase

Financial Instrument for Home Loan Modifications

$

Baton Rouge

LA

Purchase

Financial Instrument for Home Loan Modifications

$

Name of Institution

Date
12/14/2012

Quicken Loans Inc

2/14/2013

Home Servicing, LLC

City

1002324

Pricing
Mechanism

Note

-

N/A

9

-

N/A

9

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

Investment Description

Adjustment
Date

Cap Adjustment Amount

Adjusted Cap

12/14/2012

$

10,000

2/14/2013

$

3/25/2013

$

Reason for Adjustment

$

10,000 Transfer of cap due to servicing transfer

510,000

$

(9)

$

510,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
509,991 reallocation

109

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
3/14/2013

21st Mortgage Corporation

5/16/2013

ViewPoint Bank

6/14/2013

Cheviot Savings Bank

Knoxville

TN

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

Plano

TX

Purchase

Financial Instrument for Home Loan Modifications

$

-

N/A

9

Cheviot

OH

Purchase

Financial Instrument for Home Loan Modifications\

$

-

N/A

9

1002367

1002040
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

3/14/2013

$

130,000

$

3/25/2013

$

(1)

$

5/16/2013

130,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
129,999 reallocation

$

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

Total Cap Adjustments

TOTAL CAP

$

6,037,129,760

$

29,868,699,760.28

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.
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

110

Supplemental Information [Not Required by EESA §114(a)]
Making Home Affordable Program
Non-GSE Incentive Payments (through June 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
Fresno County Federal Credit Union
Glass City Federal Credit Union
GMAC Mortgage, LLC
Great Lakes Credit Union
Greater Nevada Mortgage Services
Green Tree Servicing LLC
Gregory Funding, LLC
Guaranty Bank
Hillsdale County National Bank
Home Loan Services, Inc.
Home Servicing, LLC
HomEqServicing
HomeStar Bank and Financial Services
Homeward Residential, Inc.
Horicon Bank
Iberiabank
IBM Southeast Employees' Federal Credit Union
IC Federal Credit Union
Idaho Housing and Finance Association
James B.Nutter and Company
JPMorgan Chase Bank, NA
Kondaur Capital Corporation
Lake City Bank
Lake National Bank
Litton Loan Servicing, LP
Los Alamos National Bank
M&T Bank
Marix Servicing LLC
Marsh Associates, Inc.
Midland Mortgage Co.
Midwest Community Bank
Mission Federal Credit Union
MorEquity, Inc.
Mortgage Center LLC
National City Bank
Nationstar Mortgage LLC
Navy Federal Credit Union
New York Community Bank
Oakland Municipal Credit Union
Ocwen Loan Servicing, LLC
OneWest Bank
ORNL Federal Credit Union
Park View Federal Savings Bank
Pathfinder Bank
PennyMac Loan Services, LLC
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

Borrowers
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

250.00
5,035.81
15,663.55
24,689.43
15,997,418.00
4,267,061.97
253,238,179.10
6,693,743.62
6,429,803.99
7,924,767.89
1,691,371.61
88,380.36
57,557,193.79
19,062.89
3,000.00
49,221.24
6,028.28
7,569,459.20
597,866.14
21,291.57
800,937.00
2,775.62
2,000.00
331,387.69
1,750.00
3,833.34
4,000.00
51,440,855.25
8,833.34
54,683.87
2,171,503.80
36,742.83
916.67
26,419.74
169,857.80
6,533.72
1,916.66
51,757,481.72
5,265.13
9,000.00
17,333.34
18,410.96
7,254.14
240,147,381.03
6,243.60
3,000.00
13,441,220.42
15,637.50
38,897.04
352,195.77
6,901.10
3,728,117.25
1,000.00
55,593.07
345,841.21
126,680.54
2,470,966.84
30,707,283.39
449,055.53
12,344.17
95,884,903.47
52,060,053.10
10,402.40
11,000.00
4,450.56
5,156,643.82
91,333.49
1,000.00
134,393.34
1,298,914.63
72,515.42
164,852.94
175,104.70
111,510.95

Lenders / Investors
$
$
$

8,759.28
9,262.69
72,231.49

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

41,236,849.69
17,852,011.77
507,607,381.67
17,975,306.82
11,603,677.95
21,873,193.74
4,213,192.46
152,123.51
62.33
191,002,036.04
49,277.26
4,631.53
123,722.97
26,847.00
11,592,937.05
1,130,917.70
40,192.66
1,692,966.20
3,423.27

$
$
$
$
$
$
$
$
$

626,835.55
3,864.59
13,204.31
2,473.84
126,326,918.91
15,019.11
127,709.24
9,175,975.28
76,610.94

$
$
$
$
$
$
$
$
$
$
$

34,119.28
2,440,767.73
11,311.24
3,036,319.34
5,572.90
133,689,960.39
15,433.35
10,502.00
23,589.08
33,642.99
20,805.81

$
$
$
$
$
$

539,546,044.37
5,818.86
3,651.45
35,353,125.99
29,027.89

$

970,196.74

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

772,299.64
1,817.60
145,783.35
2,305,003.00
218,691.63
7,695,790.29
60,345,965.14
1,046,409.35
31,779.17
3,568.11
281,559,617.33
164,279,146.86
22,216.94
23,936.55
6,143.53
10,564,532.37
633,131.62
1,325.40
335,507.71
3,519,875.61
181,441.59
227,582.28
438,540.56
364,836.17

Servicer
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

11,250.00
8,035.81
53,597.96
27,843.67
28,629,251.10
9,159,438.92
318,692,189.27
10,492,904.77
9,755,526.36
15,649,150.54
3,117,143.20
191,666.12
98,861,709.53
38,729.55
5,000.00
90,769.62
11,328.28
16,279,383.05
598,485.24
24,751.66
2,400.00
1,334,236.92
8,717.90
2,000.00
732,023.67
4,000.00
7,916.67
6,000.00
84,080,829.75
12,100.00
90,224.29
4,806,360.29
40,791.38
1,000.00
50,400.46
3,698,606.99
6,783.72
5,272,500.00
5,833.34
94,835,607.23
10,169.53
15,000.00
16,000.00
29,000.00
27,538.88
7,698.25
337,085,230.64
400.00
17,234.56
4,000.00
27,530,413.93
32,351.00
42,460.74
839,632.77
7,378.00
4,566,480.70
2,000.00
99,026.39
1,977,320.74
252,879.80
4,630,272.04
43,663,671.20
868,429.80
21,003.56
6,500.00
160,507,373.04
75,560,054.16
30,302.40
19,000.00
9,133.90
6,161,153.35
376,750.00
2,000.00
183,984.09
2,211,661.31
90,648.75
401,333.81
355,815.87
140,116.56

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

Total Payments to Date
20,259.28
22,334.31
141,493.00
52,533.10
85,863,518.79
31,278,512.66
1,079,537,750.04
35,161,955.21
27,789,008.30
45,447,112.17
9,021,707.27
432,169.99
62.33
347,420,939.36
107,069.70
12,631.53
263,713.83
44,203.56
35,441,779.30
2,327,269.08
86,235.89
2,400.00
3,828,140.12
14,916.79
4,000.00
1,690,246.91
9,614.59
24,954.32
12,473.84
261,848,603.91
35,952.45
272,617.40
16,153,839.37
154,145.15
1,916.67
110,939.48
6,309,232.52
24,628.68
8,308,819.34
13,322.90
280,283,049.34
30,868.01
25,502.00
48,589.08
79,976.33
66,755.65
14,952.39
1,116,778,656.04
400.00
29,297.02
10,651.45
76,324,760.34
77,016.39
81,357.78
2,162,025.28
14,279.10
9,066,897.59
4,817.60
300,402.81
4,628,164.95
598,251.97
14,797,029.17
134,716,919.73
2,363,894.68
65,126.90
10,068.11
537,951,893.84
291,899,254.12
62,921.74
53,936.55
19,727.99
21,882,329.54
1,101,215.11
4,325.40
653,885.14
7,030,451.55
344,605.76
793,769.03
969,461.13
616,463.68

111

Name of Institution
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
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.
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

Servicer

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

19,655,074.77
18,416.69
367,285.00
59,544,584.78
60,188.33
470,237.60
49,915.10
40,355.90
3,567,066.17
9,535.75
142,252.77
41,166.67
8,136.68
247,660.61
10,193,055.12
2,000.00
34,449.39
121,437.70
238,807.48
634,660.82
180,959,940.47
184,272.46
13,416.67
20,828.50

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

41,738,413.24
50,048.33
547,866.80
117,598,859.13
160,930.75
927,108.48
153,906.17
176,298.89
6,464,575.85
39,131.79
301,446.45
153,804.74
11,652.18
789,092.01
25,475,402.03
1,737.66
65,541.69
256,111.72
486,578.76
1,835,852.66
76,889.58
426,059,612.18
605,217.18
39,540.59
490,394.10
25,248.54

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

39,413,598.23
32,500.00
418,008.60
88,261,515.63
82,483.51
615,902.52
143,165.10
69,189.24
5,607,421.67
9,642.90
259,295.50
64,616.67
8,435.80
479,554.17
19,104,663.08
5,600.00
57,835.23
131,245.07
388,789.22
1,541,176.16
162,000.00
276,786,880.05
308,225.08
16,916.67
1,167,000.00
40,428.50

$

1,192,789,363.77

$

2,839,125,709.56

$

1,809,673,995.63

Total Payments to Date
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

100,807,086.24
100,965.02
1,333,160.40
265,404,959.54
303,602.59
2,013,248.60
346,986.37
285,844.03
15,639,063.69
58,310.44
702,994.72
259,588.08
28,224.66
1,516,306.79
54,773,120.23
9,337.66
157,826.31
508,794.49
1,114,175.46
4,011,689.64
238,889.58
883,806,432.70
1,097,714.72
69,873.93
1,657,394.10
86,505.54
5,841,589,068.96

112

Housing Finance Agency Innovation Fund for the Hardest Hit Housing Markets
Hardest Hit Funds (HHF) Program
Seller
Note

Date

Name of Institution

6/23/2010 Nevada Affordable Housing Assistance Corporation
2
3
2
3
2
3
3

9/23/2010
9/29/2010
6/23/2010 CalHFA Mortgage Assistance Corporation
9/23/2010
9/29/2010
6/23/2010 Florida Housing Finance Corporation
9/23/2010

2
3
3
3
3
3
3
3
3
3
3

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
Financial Instrument for HHF Program
Financial Instrument for HHF Program

CA

FL

AZ

9/29/2010
6/23/2010 Michigan Homeowner Assistance Nonprofit Housing Corporation

Lansing

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

9/23/2010
9/29/2010

2
3

Tallahassee

NV

Investment Description

Phoenix

2
3

3

Sacramento

Transaction
Type

Purchase
Purchase

9/23/2010
9/29/2010
8/3/2010 North Carolina Housing Finance Agency

2

Reno

State

9/29/2010
6/23/2010 Arizona (Home) Foreclosure Prevention Funding Corporation

2
3

2
3

City

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

Raleigh

Columbus

Salem

Providence

Columbia

Montgomery

OH

OR

RI

SC

AL

Frankfort

KY

Jackson

MS

Atlanta

GA

Indianapolis

IN

Chicago

IL

Trenton

NJ

Washington
Nashville

DC
TN

Investment Amount
Pricing
Additional
1
Investment Amount
Mechanism
$
194,026,240
102,800,000
N/A

Initial Investment
Amount
$

$

699,600,000
-

$
$
$

34,056,581
57,169,659
476,257,070

$

1,975,334,096

$

1,057,839,136

400,974,381
-

$

267,766,006

N/A
N/A

142,666,006
-

$

498,605,738

N/A
N/A

482,781,786

N/A
N/A
N/A

418,000,000
-

$

$

$

125,100,000
154,500,000

$

$

$
$

$

159,000,000

128,461,559
215,644,179
-

$
$

120,874,221
202,907,565

$

$

$

$

$

$
$
$
$
$
$
$
$
$

172,000,000
88,000,000
43,000,000
138,000,000
60,672,471
55,588,050
38,036,950
126,650,987
82,762,859

$

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

166,352,726
112,200,637
7,726,678

$

81,128,260
-

$

$
$

$

N/A
N/A

799,477,026
238,864,755

148,728,864
249,666,235
49,294,215
82,748,571
13,570,770
22,780,803
58,772,347
98,659,200
101,848,874
93,313,825
63,851,373
212,604,832
138,931,280
279,250,831
188,347,507
12,970,520
136,187,333

TOTAL INVESTMENT AMOUNT

$

N/A
N/A
N/A
N/A
N/A

N/A
N/A
$

570,395,099

$

220,042,786

$

79,351,573

$

295,431,547

$

162,521,345

N/A
N/A
N/A
N/A

$

148,901,875

N/A
N/A

$

101,888,323

$

339,255,819

$

221,694,139

$

445,603,557

$

300,548,144

$

20,697,198

$

217,315,593

$

7,600,000,000

N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A

N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A

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.

113

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.

114

U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Projected Costs and Liabilities [Section 105(a)(3)(E)]
For Period Ending June 30, 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.

115

U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Programmatic Operating Expenses [Section 105(a)(3)(F)]
For Period Ending June 30, 2013

Type of Expense

Amount

Compensation for financial agents
and legal firms

$903,045,360

116

U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Description of Vehicles Established [Section 105(a)(3)(H)]
For Period Ending June 30, 2013

Date

Vehicle

Description

None

117

HAMP Application Activity by Servicer 1
As of May 2013

Servicer Name
Bank of America, NA6
BankUnited
Bayview Loan Servicing, LLC
Carrington Mortgage Services, LLC
CCO Mortgage, a division of RBS Citizens NA
CitiMortgage Inc
Green Tree Servicing LLC
JPMorgan Chase Bank, NA
Midland Mortgage Co.
Nationstar Mortgage LLC
Navy Federal Credit Union
Ocwen Loan Servicing, LLC7
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
14,725
59
1,400
1,832
467
992
1,548
15,902
2,074
13,018
246
26,573
3,756
5
916
6
511
332
2,590
1,515
2,058
9,564
100,089

Activity in May 2013
# Requests
# Requests
3
Processed
Approved 4
16,559
2,224
72
43
885
183
1,967
828
423
17
2,514
2,227
1,279
357
13,496
2,751
2,444
295
4,817
601
283
59
23,561
5,189
5,723
570
5
1
997
406
11
1
505
61
269
58
3,547
1,748
3,886
631
944
113
10,547
3,245
94,734
21,608

# Requests
Denied 5
14,335
29
702
1,139
406
287
922
10,745
2,149
4,216
224
18,372
5,153
4
591
10
444
211
1,799
3,255
831
7,302
73,126

# Requests
Received 2
1,292,686
9,274
28,184
59,335
23,544
522,397
75,685
1,461,865
88,262
342,861
8,728
1,171,323
368,162
445
13,821
582
33,987
14,333
116,586
37,073
105,050
766,759
170,842
6,711,784

Program-to-Date
# Requests
# Requests
3
Processed
Approved 4
1,276,237
576,102
9,122
4,462
25,864
9,549
57,881
19,937
22,897
5,559
509,412
218,543
72,740
27,501
1,444,043
428,627
86,823
6,700
306,660
67,875
8,304
1,603
1,154,592
279,058
354,558
100,009
443
45
12,755
3,623
522
22
33,981
26,888
10,862
2,058
112,103
81,879
4,859
35,040
100,220
42,151
265,077
750,634
170,842
106,111
6,556,535
2,278,238

# Requests
Denied 5
700,135
4,660
16,315
37,944
17,338
290,869
45,239
1,015,416
80,123
238,785
6,701
875,534
254,549
398
9,132
500
7,093
8,804
30,224
30,181
58,069
485,557
64,731
4,278,297

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).