The full text on this page is automatically extracted from the file linked above and may contain errors and inconsistencies.
Troubled Asset Relief Program (TARP)
Monthly Report to Congress – April 2013
May 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
April 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
Credit Market Programs…………………………………………………………………………………………………………………………
Public-Private Investment Program
7
14
14
Auto Industry Financing Program…………………………………………………………………………………………………………...
15
Housing Programs………………………………………………………………………………………………………………………………..
16
Appendix – Financial Statements….…………………………………………………………………………………………………………..
20
More information is available at http://www.treasury.gov/initiatives/financial-stability.
April Highlights
Monthly 105(a) Report
April 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 more than $396 billion – or 95 percent – of
the $419 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 $414.3 billion (including the proceeds from sales of all Treasury AIG
shares) 1. Nearly $271 billion has been recovered from TARP’s bank programs through repayments, dividends, interest, and other income,
which represents a more than $25 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.
April Highlights
In April, 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. Six institutions repurchased all or part of their outstanding Capital Purchase
Program (CPP) preferred shares or subordinated debentures from Treasury’s investments in those institutions for total proceeds of $36.6
million, and Treasury held auctions for its outstanding preferred stock and subordinated debt in eight financial institutions under the CPP,
for aggregate gross proceeds of approximately $114.1 million.
In April, Treasury completed its first pre-arranged trading plan for the sale of its General Motors (GM) common stock. During the trading
plan period, Treasury sold 58.4 million shares of GM common stock for total net proceeds of approximately $1.6 billion. As of April 30,
Treasury has recovered approximately $30.7 billion 2 of its investment in GM through repayments, sales of stock, dividends, interest, and
other income.
Where are the TARP Funds? 3
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
1
For more information, see note 9 to the Daily Tarp Update (Figure 1).
This amount only includes what Treasury has recovered from GM. As of April 30, the total amount that Treasury has recovered, including the investment in Old GM and
loans for the Supplier and Warranty Programs, is $31.1 billion.
3
Numbers in text and tables in this report may not add due to rounding.
2
1
Where are the TARP Funds?
Monthly 105(a) Report
April 2013
back to Treasury. These amounts do not represent lifetime cost estimates, which are shown in the next chart. The Daily Tarp Update
(DTU) is updated after every business day and is available at: http://www.treasury.gov/initiatives/financial-stability/reports/Pages/dailytarp-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
Daily TARP Update
Monthly 105(a) Report
April 2013
Figure 1: Daily TARP Update for May 1, 2013 (through April 30, 2013)
Principal/Investment
(*Dollars in Billions*)
Obligated
Disbursed
Income/Revenue
Refinancing to
CPP Exchanges
SBLF1
Into CDCI2
Repayments
Other Income
Write-offs &
Realized Losses
Dividends3
Outstanding
Interest3
Warrants Sold4
(Expenses)5
Total Cash Back6
Total Income
Bank Support Programs
Capital Purchase Program (CPP)
Banks with Assets $10 Billion or Greater
$
165.33
$
$
160.31
$
-
$
-
$
2.58
$
2.43
$
9.40
$
-
$
7.48
$
0.02 $
16.89
$
177.21
Banks with Assets Less Than $10 Billion
$
14.57
$
14.57 $
10.23
$
2.21
$
0.36
$
0.80
$
3.18
$
1.63
$
-
$
0.28
$
(0.02) $
1.89
$
12.12
Citigroup Common7
$
25.00
$
25.00 $
25.00
$
0.93
$
-
$
0.05
$
7.84
$
32.84
165.33
$
-
$
-
$
-
6.85
$
Targeted Investment Program (TIP)
Bank Of America
$
20.00
$
20.00 $
20.00
$
-
$
-
$
1.44
$
-
$
1.24
$
-
$
2.67
$
22.67
Citigroup
$
20.00
$
20.00 $
20.00
$
-
$
-
$
1.57
$
-
$
0.19
$
-
$
1.76
$
21.76
Asset Guarantee Program (AGP)
Bank Of America
$
Citigroup
$
Community Development Capital Initiative (CDCI)
Bank Program Totals
5.00
$
-
$
-
$
-
$
-
$
$
-
$
-
$
-
$
-
$
$
0.57
$
0.21
$
0.04
$
$
250.46
$
245.10
$
235.59
$
(0.36) $
6.25
$
6.03
$
-
$
12.38 $
12.07
$
-
$
-
$
0.64
$
-
$
$
-
$
0.01
$
0.52
$
0.03
$
-
$
3.39
$
6.13
$
15.63
$
-
$
0.22
$
0.89
0.31
$
0.07
-
$
0.28
$
0.28
$
0.28
$
3.14
$
3.85
$
3.85
$
9.30 $
$
0.03
$
0.07
10.26 $
-
35.20
$
270.79
Credit Market Programs
Public-Private Investment Program (PPIP)
Equity8
$
7.23
$
Debt
$
12.38
$
-
$
-
$
-
$
$
0.32
$
-
$
2.32
-
$
3.21
$
9.23
$
0.32
$
12.39
Term Asset Backed Securities Lending Facility
$
0.10
$
0.10
$
0.10
$
$
-
$
-
$
0.01
$
-
$
0.32
$
0.33
$
0.43
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 $
18.56
$
0.00
$
0.53
$
0.89
$
0.35
$
-
$
2.64
$
3.87
$
22.42
Credit Market Program Totals
-
Other Programs
American International Group (AIG)9
Common
$
47.54
$
47.54 $
34.06
$
13.48
$
-
$
$
-
$
Preferred
$
20.29
$
20.29 $
20.29
$
-
$
-
$
0.64
$
-
$
$
67.84
$
67.84 $
54.35
$
13.48
$
-
$
0.64
$
-
$
GM10
$
51.03
$
51.03 $
30.34
$
8.44 $
12.25
$
-
$
0.77
$
-
$
Chrysler
$
12.37
$
12.37
$
9.44
$
2.93
-
$
-
$
1.19
$
-
$
0.50
$
Ally (GMAC)
$
16.29
$
16.29
$
2.54
$
0.00 $
13.75
$
3.27
$
-
$
-
$
0.13
$
79.69
$
79.69 $
42.32
$
11.37 $
26.00
$
3.27
$
1.95
$
-
$
$
147.53
$
147.53 $
96.67
$
24.86 $
26.00
$
3.91
$
1.95
$
0.03
$
Making Homes Affordable
$
29.87
$
5.38
HFA Hardest-Hit Fund
$
7.60
$
2.16
$
28.25 $
32.66
$
20.43
$
2.30
$
AIG Totals
-
0.03
$
0.03
$
34.08
$
0.29
$
0.93
$
21.23
$
0.29
$
0.96
$
55.31
(0.00) $
0.76
$
31.10
1.69
$
11.13
$
3.40
$
5.94
0.62
$
5.85
$
48.17
0.92
$
6.81
$
103.48
9.33 $
13.82 $
45.88
$
396.70
$
17.55 $
17.55
$
17.55
9.33 $
31.37 $
63.43
$
414.25
0.03
$
-
Automotive Industry Financing Program (AIFP)
AIFP Totals
Other Programs Totals
$
Treasury Housing Programs Under TARP
FHA Refinance
11
Housing Totals
TARP Totals
$
1.03
$
0.06
$
38.49
$
7.60
$
456.56
$
419.32
$
350.82
$
-
Additional Treasury Holdings
9
Additional AIG Common Shares Held by Treasury
Total for TARP Programs and Additional AIG Shares
$
456.56
$
419.32
$
350.82
$
-
$
28.25 $
32.66
$
20.43
$
2.30
$
Notes to Daily TARP Update
1/ This row represents the portion of CPP repayments that were received from refinancing to the Small Business Lending Fund (SBLF),
which is not a TARP program. The law creating the SBLF provided that banks could refinance securities issued under the CPP and
CDCI programs with securities issued under the SBLF. A total of 137 CPP banks refinanced under the SBLF resulting in repayments of
$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
April 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. To date, no disbursements for loss claim payments under the FHA Short
Refinance Program have been made from this account. 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 $8.117 billion to $1.03 billion,
including administrative expenses.
4
Treasury Estimates of Impact on the Federal Budget
Monthly 105(a) Report
April 2013
Figure 2: Treasury Estimates of the Impact of TARP Programs and Other Treasury Investment in AIG on the Federal Budget
Programs
as of April 30, 2013
Estimated
Lifetime Cost as
of
Outstanding
Investment
Balance as of
April 30
Obligation/
Commitment
Disbursed as of
April 30
Citigroup
$
25.00
$
25.00
$
0.00
$
(6.89)
Other banks with assets $10 billion or greater
$
165.33
$
165.33
$
2.43
$
(10.17)
(dollar amounts in billions)
Bank Support Programs:
1
March 31
Capital Purchase Program (CPP):
Banks with assets less than $10 billion2
$
14.57
$
14.57
$
3.18
$
1.33
Total
$
204.89
$
204.89
$
5.61
$
(15.73)
$
40.00
$
40.00
$
0.00
$
(4.00)
$
5.00
$
0.00
$
0.00
$
(4.00)
$
0.57
$
0.57
$
0.52
$
0.14
Debt
$
$
7.23
12.38
$
$
6.25
12.38
$
$
0.22
0.31
$
$
(2.98)
0.33
Total
$
19.61
$
18.62
$
0.53
$
(2.65)
Term Asset Backed Securities Lending Facility (TALF)
$
0.10
$
0.10
$
0.00
$
(0.60)
Purchase SBA 7(a) Securities (SBA)
$
0.37
$
0.37
$
0.00
$
(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
$
26.00
$
20.28
Sub-total for Investment Programs
$
418.07
$
411.72
$
32.66
$
8.62
Making Homes Affordable
$
29.87
$
5.38
$
-
$
29.87
Hardest Hit Fund
FHA-Refinance4
$
$
7.60
1.03
$
$
2.16
0.06
$
$
-
$
$
7.60
0.21
Sub-total for Housing Programs
$
38.49
$
7.60
$
-
$
37.68
$
456.56
$
419.32
$
32.66
$
46.29
n/a
$
(17.55)
32.66
$
28.74
Targeted Investment Program (TIP)
3
Asset Guarantee Program (AGP)
Community Development Capital Initiative (CDCI)
Credit Market Programs:
Public-Private Investment Program (PPIP):
Equity
Other Programs:
American International Group (AIG):
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
$
419.32
$
5
Treasury Estimates of Impact on the Federal Budget
Monthly 105(a) Report
April 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 is as of March 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 March 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
March 31, 2013, compared to the aggregate value of shares outstanding as of April 30, 2013, including any shares sold during April
2013.
Outstanding Investment
03/31/2013
Market Value
04/30/2013
Market Value
Increase
(Decrease) in Cost
In billions
GM Common Stock
$
7.03
$
7.76
$
(0.73)
Note: The share price for GM was $27.82 for the period ending March 31, 2013 and $30.84 for the period ending April 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
April 2013
Program Updates
Bank Support Programs
In early October 2008, Treasury launched a series of programs to stabilize the nation’s banking institutions. A total of $245 billion was
invested in banking institutions, and as of March 31, 2011, Treasury had recovered more than 100 percent of that amount through
repayments, dividends, interest, and other income. Treasury continues to recover additional funds, and so far taxpayers have realized a
gain of more than $25 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 April 30, 2013
CPP Cumulative Investments
Amount Invested:
$204.9 billion
Largest Investment:
$25 billion
Smallest Investment:
$301,000.00
CPP Institutions (Banks in 48 states, D.C and Puerto Rico)
CPP Proceeds to Treasury (in billions)
Total Institutions Funded:
707
$195.87
$200
Full Repayments:
209
SBLF Repayments:
137
$150
CDCI Conversions:
28
$100
Partial Repayments:
13
Sold Investments:
22
$50
$18.83
$7.84
$2.83
Auctioned Investments:
128
$In Bankruptcy/Receivership:
25
Repayments²
Auctions³ Total Dividends,
Warrant
Interest & Other
Income4
Merged Institutions:
4
Income
1
Currently in Common
3
Total Remaining Institutions:
154
Total CPP Proceeds:
$222.55 billion
7
Program Updates – Bank Support Programs
Monthly 105(a) Report
April 2013
Notes to Capital Purchase Program Snapshot as of April 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 April 30, 2013.
4/ Net proceeds; includes proceeds from exercised warrants.
Repayments at Par
In April, six institutions repurchased all or part of their outstanding CPP preferred shares or subordinated debentures from Treasury’s
investments in those institutions for total proceeds of $36.6 million.
•
Carollton Bancorp; Green Circle Investments, Inc.; Business Bancshares, Inc.; NEMO Bancshares Inc.; and Mid-Wisconsin Financial
Services, Inc. repurchased all of the outstanding CPP investment in their institutions for a total of $28.8 million.
•
Uwharrie Capital Corp. made a partial repayment of its outstanding CPP investment for a total of $7.7 million, resulting in a total of $2.3
million in outstanding CPP investment remaining.
Sales & Dispositions
•
On April 9, Treasury sold its CPP preferred stock and warrant issued by PremierWest Bancorp pursuant to an agreement with
PremierWest Bancorp and Starbuck Bancshares, Inc. entered into on December 11, 2012.
•
On April 11, Treasury completed the exchange of its First Security Group, Inc. (FSGI) preferred stock for common stock, pursuant to
the exchange agreement between Treasury and FSGI, and sold the resulting FSGI common stock, pursuant to securities purchase
agreements between Treasury and the purchasers.
•
On April 12, Treasury completed the sale of its CPP preferred in Citizens Republic Bancorp, Inc. (Citizens Republic) to FirstMerit
Corporation (FirstMerit) and the exchange of its warrant in Citizens Republic for a warrant issued by FirstMerit, pursuant to a securities
purchase agreement, dated as of February 19, 2013, among Treasury, FirstMerit and Citizens Republic.
•
On April 18, Treasury sold to private investors its preferred stock and subordinated debentures in seven institutions (BancStar, Inc.;
Brogan Bankshares, Inc.; Guaranty Federal Bancshares, Inc.; NewBridge Bancorp; Plato Holdings, Inc.; Plumas Bancorp; and
Tennessee Valley Financial Holdings, Inc.) for actual aggregate gross proceeds of $94.1 million. More information can be found in
Treasury’s Press Release: http://www.treasury.gov/press-center/press-releases/Pages/jl1903.aspx.
•
On April 19, Treasury sold to private investors its preferred stock in First Financial Service Corporation for actual gross proceeds of
$20.0 million. More information can be found in Treasury’s Press Release: http://www.treasury.gov/press-center/pressreleases/Pages/jl1907.aspx.
8
Program Updates – Bank Support Programs
Monthly 105(a) Report
April 2013
Warrant Repurchases
In addition to the transactions above, Treasury disposed of its warrant positions in eight institutions in April that were received in
consideration for investments made under the CPP. These proceeds provided an additional return of $5.0 million to taxpayers from
Treasury’s investments in banks beyond any dividend or interest payment.
•
Treasury completed the sale of warrants issued by Carrollton Bancorp; BCSB Bancorp, Inc.; and Carolina Bank Holdings, Inc. for a
total of $3.5 million.
•
Green Circle Investments, Inc.; Business Bancshares, Inc.; NEMO Bancshares Inc.; and Mid-Wisconsin Financial Services, Inc.
repurchased its preferred shares from exercised warrants from Treasury for a total of $1.5 million.
•
Coastal Banking Company, Inc. made a partial repurchase of its warrants for a total of $0.1 million.
Dividends and Interest
In April, Treasury received dividends and interest income from CPP investments of approximately $59.6 million. As of April 30, 2013,
cumulative dividends, interest and fee income received from CPP investments is approximately $12.0 billion.
Figure 4:
Top 25 Remaining Capital Purchase Program Investments as of April 30, 2013
A list of all remaining CPP investments can be found in the appendix to this report.
Outstanding
Investment
($millions)
Outstanding
Investment
($millions)
Institution
City, State
1
Synovus Financial Corp.
Columbus, GA
$
967.9
14 Reliance Bancshares, Inc.
Frontenac, MO
$
40.0
2
Popular, Inc.
First BanCorpa
San Juan, PR
$
935.0
15 Bridgeview Bancorp, Inc.
Bridgeview, IL
$
38.0
3
San Juan, PR
$
400.0
16 Porter Bancorp Inc.
Louisville, KY
$
35.0
4
First Banks, Inc.
Clayton, MO
$
295.4
17 Centrue Financial Corporation
St. Louis, MO
$
32.7
Institution
City, State
5
New York Private Bank & Trust Corp.
New York, NY
$
267.3
18 Royal Bancshares of Pennsylvania, Inc. Narberth, PA
$
30.4
6
Cathay General Bancorp
Los Angeles, CA
$
129.0
19 First United Corporation
Oakland, MD
$
30.0
7
Anchor BanCorp Wisconsin Inc.
Hampton Roads Bankshares, Inc. b
Madison, WI
$
110.0
20 Spirit BankCorp, Inc.
Bristow, OK
$
30.0
8
Norfolk, VA
$
80.3
21 Intermountain Community Bancorp
Sandpoint, ID
$
27.0
9
Metropolitan Bank Group, Inc.
Chicago, IL
$
78.4
22 Patriot Bancshares, Inc.
Houston, TX
$
26.0
Ionia, MI
$
72.0
23 Intervest Bancshares Corporation
New York, NY
$
25.0
Asheboro, NC
$
51.5
24 Rogers Bancshares, Inc.
Little Rock, AR
$
25.0
25 Eastern Virginia Bankshares, Inc.
Tappahannock, VA $
24.0
10 Independent Bank Corporation
c
11 FNB United Corp.
12 U.S. Century Bank
Miami, FL
$
50.2
13 Crescent Financial Bancshares, Inc.
Cary, NC
$
42.8
Total
$3.84 billion
9
Program Updates – Bank Support Programs
Monthly 105(a) Report
April 2013
Notes to Top 25 Remaining Capital Purchase Program Investments as of April 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 1,085,553.03
shares of FNB common stock following a reverse stock split.
Bankruptcy and Receivership
•
On April 5, Gold Canyon Bank was closed by the Arizona Department of Financial Institutions, and the Federal Deposit Insurance
Corporation was named Receiver. Treasury’s investment in Gold Canyon Bank was $1.6 million, and the bank had made no
repayments to Treasury as of the date of its closure.
•
On April 9, Indiana Bank Corp. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the Southern District of Indiana.
Treasury’s investment in Indiana Bank Corp. was $1.3 million, and the bank had made no repayments to Treasury as of the date of its
bankruptcy filing.
Capital Purchase Program Regional Snapshots
Following is a detailed breakdown of remaining institutions with outstanding investments under the Capital Purchase Program. The
locations of remaining institutions’ headquarters are mapped to provide a visual overview of outstanding investments. The regional
snapshots provide monthly overviews of outstanding CPP investments as TARP continues to wind down its investments.
The regional snapshots include a state-by-state breakdown showing how many institutions remain in the program; the outstanding
investment amount; and how many institutions in each state, if any, have outstanding payments due to Treasury. The regional snapshots
also show the Top 10 largest outstanding investments in that region; the total amount outstanding; the number of missed payments, if any;
and the amount owed in non-current dividends, if applicable.
A full list of remaining CPP investments, including more detail about those banks with outstanding payments, is contained in the appendix
to this report. This information is also available in the Dividends and Interest Report published monthly at:
http://www.treasury.gov/initiatives/financial-stability/briefing-room/reports/dividends-interest/Pages/default.aspx.
10
Program Updates – Bank Support Programs
Monthly 105(a) Report
April 2013
Eastern Region CPP Institutions as of April 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
3
2
$
299.77
Virginia
8
4
$
171.36
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
$
36.06
Massachusetts
2
1
$
17.06
Maine
1
0
$
10.00
1.07
Rhode Island
1
0
$
Connecticut
-
-
$
-
Deleware
-
-
$
-
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.*
Norfolk
VA
Public
-
$
-
$
80,347,000
FNB United Corp.*
Asheboro
NC
Public
-
$
-
$
51,500,000
U.S. Century Bank
Miami
FL
Private
13
$
8,898,110 $
50,236,000
Crescent Financial Bancshares, Inc.
Cary
NC
Public
-
$
-
$
42,849,000
Royal Bancshares of Pennsylvania, Inc.
Narberth
PA
Public
15
$
5,701,313 $
30,407,000
First United Corporation
Oakland
MD
Public
10
$
3,750,000 $
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.
11
Program Updates – Bank Support Programs
Monthly 105(a) Report
April 2013
Central Region CPP Institutions as of April 30, 2013
State by State Breakdown
State
Number of
Number of
Investment
Institutions
Institutions
with Missed Outstanding
Outstanding
Payments
Missouri
7
4
$
390.83
Illinois
8
5
$
166.66
Wisconsin
3
2
$
119.60
Arkansas
6
5
$
92.74
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
Alabama
4
3
$
10.44
Mississippi
3
0
$
10.12
Iowa
1
1
$
6.35
Louisiana
2
1
$
5.34
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
15
$
60,372,375 $ 295,400,000
Anchor BanCorp Wisconsin Inc.
Madison
WI
Public
16
$
22,229,167 $ 110,000,000
Metropolitan Bank Group, Inc.
Chicago
IL
Private
8
$
8,392,538 $
Independent Bank Corporation
Ionia
MI
Public
12
$
10,533,346 $
78,406,000
72,000,000
Reliance Bancshares, Inc.
Frontenac
MO
Public
9
$
4,905,000 $
40,000,000
Bridgeview Bancorp, Inc.
Bridgeview
IL
Private
12
$
6,213,000 $
38,000,000
Porter Bancorp Inc.
Louisville
KY
Public
6
$
2,625,000 $
35,000,000
32,668,000
Centrue Financial Corporation
St. Louis
MO
Public
15
$
6,125,250 $
Rogers Bancshares, Inc.
Little Rock
AR
Private
14
$
4,768,750 $
25,000,000
Chambers Bancshares, Inc.
Danville
AR
Private
1
$
415,667 $
19,817,000
12
Program Updates – Bank Support Programs
Monthly 105(a) Report
April 2013
Western Region CPP Institutions as of April 30, 2013
State by State Breakdown
State
Number of
Number of
Investment
Institutions
Institutions
Outstanding
with Missed
Outstanding
(millions)
Payments
California
Texas
Idaho
Colorado
Kansas
North Dakota
Oklahoma
Arizona
Nebraska
Oregon
Wyoming
Nevada
New Mexico
Alaska
Hawaii
Montana
South Dakota
Utah
Washington
16
14
$
8
5
$
245.60
83.85
3
2
$
41.90
5
3
$
40.97
4
2
$
39.79
2
1
$
30.84
1
1
$
30.00
2
1
$
6.44
1
1
$
3.73
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
10
$
4,087,500 $
30,000,000
Intermountain Community Bancorp
Sandpoint
ID
Public
-
$
-
27,000,000
Institution
City
State
Public/
Private
Non-Current
Dividends
Total Amount
Outstanding
$ 129,000,000
$
Patriot Bancshares, Inc.
Houston
TX
Private
9
$
3,192,930 $
26,038,000
Central Bancorp, Inc.
Garland
TX
Private
8
$
2,452,500 $
22,500,000
Blue Valley Ban Corp
Overland Park KS
Public
16
$
4,350,000 $
21,750,000
Heritage Oaks Bancorp
Paso Robles
Public
-
$
-
$
21,000,000
$
20,093,000
CA
BNCCORP, Inc.
Bismarck
ND
Public
-
$
-
Pacific City Financial Corporation
Los Angeles
CA
Public
15
$
3,310,875 $
16,200,000
Broadway Financial Corporation
Los Angeles
CA
Private
11
$
2,062,500 $
15,000,000
13
Program Updates – Credit Market Programs
Monthly 105(a) Report
April 2013
Credit Market Programs
Public-Private Investment Program (PPIP)
The Legacy Securities Public-Private Investment Program (PPIP) was designed to support the credit markets by bringing private capital
back into the market for legacy securities (i.e. non-agency residential mortgage-backed securities (RMBS) and commercial mortgagebacked securities (CMBS)) that were central to the problems facing the U.S. financial system. By helping to restart the market for these
securities, the program has helped financial institutions begin to remove these assets from their balance sheets and allowed for a general
increase in credit availability to consumers and small businesses.
All of the Public-Private Investment Funds (PPIFs) have completed the third and final year in which they could draw capital and make new
investments. Five funds have now been effectively wound down and four funds remain in the program. As of April 30, 2013, Treasury has
fully recovered its original investment of $18.6 billion in the PPIP program, plus a positive return of $3.0 billion through equity and debt
repayments, interest, and proceeds in excess of original equity capital, including warrant proceeds. Future debt, equity and interest
payments from the outstanding PPIFs will provide an additional positive return for taxpayers.
•
The most recent PPIP Quarterly Report, through March 31, 2013, is located on Treasury’s website at:
http://www.treasury.gov/initiatives/financial-stability/reports/Pages/Public-Private-Investment-Program-Quarterly-Report.aspx. This
report includes a summary of PPIP capital activity, portfolio holdings and current pricing, and program and fund performance through
the end of the first quarter of 2013. Treasury has published 14 quarterly reports on PPIP to date and expects to provide additional
information as the program continues to mature.
14
Program Updates – Auto Industry Financing Program
Monthly 105(a) Report
April 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 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 $49.5 billion to help stabilize 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.
On December 19, 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. As of April 30, Treasury has recovered approximately $30.7 billion 4 of
its investment in GM through repayments, sales of stock, dividends, interest, and other income.
Treasury intends to continue to sell its remaining GM shares in an orderly fashion, subject to market conditions.
4
This amount only includes what Treasury has recovered from GM. As of April 30, the total amount that Treasury has recovered, including the investment in GM and
loans for the Supplier and Warranty Programs, is $31.1 billion.
15
Program Updates – Housing Programs
Monthly 105(a) Report
April 2013
Housing Programs
Treasury and NeighborWorks® America Partner to Reach Struggling Homeowners
On April 5, 2013, Treasury announced that it is partnering with NeighborWorks® America and participants in its National Foreclosure
Mitigation Counseling program to increase outreach and support for struggling homeowners seeking assistance through the Making Home
Affordable Program (MHA). Through this partnership, housing counseling agencies will help homeowners successfully complete and
submit application documents to their mortgage company free-of-charge. These agencies will also develop and implement strategies to
raise awareness of MHA among potentially eligible homeowners, especially those in historically underserved communities.
Making Home Affordable Program Performance Report
On May 10, the U.S. Department of the Treasury released the Making Home Affordable Program Performance Report through March
2013. The report is available on the following page: http://www.treasury.gov/initiatives/financial-stability/reports/Pages/Making-HomeAffordable-Program-Performance-Report.aspx.
Highlights include:
•
Since the start of the program, nearly 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 1.1 million through the Home Affordable Modification Program (HAMP). Nearly 21,000 new MHA first lien
modifications have been reported since the February report.
•
To date, homeowners in HAMP permanent modifications have saved an estimated $19.1 billion in monthly mortgage payments.
Homeowners in active first lien permanent modifications are currently saving a median of $546 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 $9.9
billion in principal reduction. Of all non-GSE loans eligible for principal reduction entering HAMP in March, 70 percent included a
principal reduction feature.
•
HAMP modifications continue to exhibit lower delinquency and re-default rates than industry modifications as reported by the Office of
the Comptroller of the Currency. After six months in the program, more than 94 percent of homeowners remain in permanent
modifications and 9.2 percent of homeowners are 60 or more days delinquent.
•
Performance of HAMP modifications has improved over time. For modifications seasoned 24 months, 33.3% of modifications started in
the third quarter of 2009 have disqualified, compared to 24.7% for modifications started in the first quarter of 2011.
16
Program Updates – Housing Programs
Monthly 105(a) Report
April 2013
2MP and HAFA Program Results
•
The Second Lien Modification Program (2MP) enables homeowners in a permanent first lien modification under HAMP to modify
eligible second lien mortgages serviced by a participating servicer. To date, more than 109,000 homeowners in a permanent first lien
modification under HAMP have received assistance through 2MP.
•
More than 140,000 homeowners have exited their homes through a short sale or deed-in-lieu of foreclosure with assistance from the
Home Affordable Alternatives Program (HAFA), which provides $3,000 for relocation assistance after a homeowner exits the home.
Hardest Hit Fund
The Hardest Hit Fund is providing $7.6 billion to 18 states and the District of Columbia to offer assistance to struggling homeowners
through locally-tailored programs administered by each respective Housing Finance Agency (HFA). These areas were chosen because
they have experienced steep home price declines or severe unemployment in the economic downturn. States are experimenting with a
number of different programs to help homeowners, including principal reduction, reinstatement, short sale/transition assistance,
modification assistance, loan purchase and mortgage payment programs.
•
There are now 63 active programs across the 19 HFAs. Approximately 67 percent of total program funds are targeted to help
unemployed borrowers, primarily through reinstatement and programs that help homeowners pay their mortgage while looking for work.
•
All 19 HFAs have created extensive infrastructures to operate these programs, including selecting and training networks of housing
counselors to assist with applications, creating homeowner portals to aid homeowners in applying for assistance, and hiring
underwriters and other staff to review and approve applications.
•
Treasury is working to identify best practices, share lessons learned, and provide additional assistance and oversight to HFAs. In April,
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 looks forward to facilitating important dialogue among HFAs, servicers, and GSEs at
the fourth Hardest Hit Fund Summit in May.
•
Following approval in late March, the Florida Housing Finance Corporation (Florida Housing) is preparing for a May launch of its new
Modification Enabling Program, which will target distressed borrowers who would otherwise be unlikely to obtain mortgage
modifications. This unique program is a partnership between the Florida HFA and the National Community Capital LLC (NCC), and will
enable loan modifications with principal reduction for eligible loans purchased by NCC from HUD's Distressed Asset Stabilization
Program.
•
Two HFAs drew a total of $83.05 million in April; over the life of the program, a total of $2.16 billion has been drawn down by the 18
states and the District of Columbia. 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.
17
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
April 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
18
Program Updates – Housing Programs
Monthly 105(a) Report
Figure 6:
April 2013
Hardest Hit Fund as of April 30, 2013
State (% Cap Disbursed) $0
Alabama (17.2%)
$100,000,000
$200,000,000
$300,000,000
$91,802,019
California (23.7%)
$467,490,000
$14,134,860
Florida (15.7%)
Georgia (22.8%)
$166,250,000
$77,508,000
$160,000,000
Illinois (35.9%)
Indiana (29.9%)
Kentucky (43%)
$66,338,828
$64,000,000
Michigan (18.8%)
Mississippi (27.8%)
$93,953,058
$28,338,832
North Carolina (46.1%)
New Jersey (25.8%)
Nevada (38.2%)
$222,400,000
$77,513,704
$74,042,000
Ohio (36.5%)
$208,100,000
Oregon (58.2%)
Rhode Island (68.7%)
South Carolina (27.1%)
Tennessee (27.3%)
$500,000,000
$28,000,000
Arizona (34.3%)
Washington D.C. (68.3%)
$400,000,000
$128,000,000
$54,500,000
$80,000,000
$59,315,593
Paid to Date (Amount Shown)
19
Table of Contents – Appendix
Monthly 105(a) Report
April 2013
5
Appendix Section
Statutory Requirement
Page
Remaining CPP Institutions……………………………………………………………………………..
Additional Information
21
Administrative Obligations and Expenditures…………………………….…………………………
EESA §105(a)(2)
25
Agreements under TARP………………………………………………………….……………………..
EESA §105(a)(3)(A)
26
Insurance Contracts……………………………………………………………….……………………..
EESA §105(a)(3)(B)
33
Transactions Report…………………………………………………………….………………………..
EESA §105(a)(3)(C,D,G)
34
Investment Programs
34
Home Affordable Modification Program
75
Projected Costs and Liabilities………………………………………………………………………....
EESA §105(a)(3)(E)
111
Programmatic Operating Expenses……………………………………………………………………
EESA §105(a)(3)(F)
112
Description of Vehicles Established…………………………………………………………...……...
EESA §105(a)(3)(H)
113
HAMP Application Activity by Servicer………………………………………………………..……...
Dodd-Frank §1483(b)
114
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).
20
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Remaining CPP Institutions
As of April 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.*
Metropolitan Bank Group, 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.
Intervest Bancshares Corporation
Rogers Bancshares, Inc.
Eastern Virginia Bankshares, Inc.
Severn Bancorp, Inc.
Central Bancorp, Inc.
Blue Valley Ban Corp
Heritage Oaks Bancorp
Unity Bancorp, Inc.
Florida Bank Group, Inc.
BNCCORP, Inc.
Chambers Bancshares, Inc.
Hawthorn Bancshares, Inc.
Location
Columbus, GA
San Juan, PR
San Juan, PR
Clayton, MO
New York, NY
Los Angeles, CA
Madison, WI
Norfolk, VA
Chicago, IL
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
New York, NY
Little Rock, AR
Tappahannock, VA
Annapolis, MD
Garland, TX
Overland Park, KS
Paso Robles, CA
Clinton, NJ
Tampa, FL
Bismarck, ND
Danville, AR
Lee's Summit, MO
Public/P
rivate
Public
Public
Public
Private
Private
Public
Public
Public
Private
Public
Public
Private
Public
Public
Private
Public
Public
Public
Public
Private
Public
Private
Public
Private
Public
Public
Private
Public
Public
Public
Private
Public
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
$
78,406,000
$
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
$
25,000,000
$
24,000,000
$
23,393,000
$
22,500,000
$
21,750,000
$
21,000,000
$
20,649,000
$
20,471,000
$
20,093,000
$
19,817,000
$
18,255,000
21
Community First Inc.
Community Bankers Trust Corporation
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
Valley Financial Corporation
Community First Bancshares, Inc.
Bankers' Bank of the West Bancorp, Inc.
Meridian Bank
First Western Financial, Inc.
PeoplesSouth Bancshares, Inc.
OneUnited Bank
Duke Financial Group, Inc.
TCB Holding Company, Texas Community Bank
Cecil Bancorp, Inc.
Central Virginia Bankshares, Inc.
Farmers & Merchants Bancshares, Inc.
Security State Bank Holding-Company
Crosstown Holding Company
The First 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
Columbia, TN
Glen Allen, VA
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
Roanoke, VA
Harrison, AR
Denver, CO
Devon, PA
Denver, CO
Colquitt, GA
Boston, MA
Minneapolis, MN
The Woodlands, TX
Elkton, MD
Powhatan, VA
Houston, TX
Jamestown, ND
Blaine, MN
Damariscotta, ME
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
Private
Public
Private
Private
Public
Private
Public
Public
Private
Private
Private
Public
Public
Public
Public
Public
Private
Private
Private
Private
Private
Private
Private
Private
Public
Public
Private
Private
Private
Public
Public
Private
Public
Public
Private
Private
Public
Private
Public
Private
Private
Public
Public
Private
Private
Private
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
17,806,000
17,680,000
17,300,000
17,280,000
17,211,000
16,800,000
16,369,000
16,200,000
15,000,000
15,000,000
14,800,000
14,738,000
14,448,000
13,179,000
12,895,000
12,819,000
12,725,000
12,639,000
12,535,000
12,440,000
12,325,000
12,063,000
12,000,000
11,730,000
11,560,000
11,385,000
11,000,000
10,750,000
10,650,000
10,000,000
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
22
Idaho Bancorp
Harbor Bankshares Corporation
Monarch Community Bancorp, Inc.
Highlands Independent Bancshares, Inc.
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
River Valley Bancorporation, Inc.
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.
Pathway Bancorp
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
Boise, ID
Baltimore, MD
Coldwater, MI
Sebring, FL
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
Wausau, WI
Ham Lake, MN
Orange City, FL
Chicago, IL
Los Angeles, CA
Hopkinsville, KY
Riverside, CA
Kingman, AZ
Cairo, NE
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
Public
Public
Public
Private
Public
Private
Private
Public
Private
Public
Public
Public
Public
Public
Private
Private
Public
Private
Private
Private
Private
Public
Public
Private
Private
Private
Private
Private
Public
Private
Public
Private
Private
Public
Private
Private
Private
Private
Public
Private
Public
Public
Private
Private
Private
Private
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
6,900,000
6,800,000
6,785,000
6,700,000
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
4,500,000
4,400,000
4,389,000
4,388,000
4,060,000
4,000,000
4,000,000
3,872,000
3,727,000
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
23
Freeport Bancshares, Inc.
Patterson Bancshares, Inc
US Metro Bank
Omega Capital Corp.
Prairie Star Bancshares, Inc.
SouthFirst Bancshares, Inc.
Worthington Financial Holdings, Inc.
DeSoto County Bank
Bank of George
Goldwater Bank, N.A.
Grand Financial Corporation
CSRA Bank Corp.
Citizens Bank & Trust Company
IBT Bancorp, Inc.
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 - Texas
Kirksville Bancorp, Inc.
Farmers & Merchants Financial Corporation
Freeport, IL
Patterson, LA
Garden Grove, CA
Lakewood, CO
Olathe, KS
Sylacauga, AL
Huntsville, AL
Horn Lake, MS
Las Vegas, NV
Scottsdale, AZ
Hattiesburg, MS
Wrens, GA
Covington, LA
Irving, TX
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
Argonia, KS
Private
Private
Public
Private
Private
Public
Private
Private
Private
Private
Private
Private
Private
Private
Public
Public
Private
Public
Private
Private
Private
Public
Private
Private
Private
Private
Private
Private
$
3,000,000
$
2,940,000
$
2,861,000
$
2,816,000
$
2,800,000
$
2,760,000
$
2,720,000
$
2,681,000
$
2,672,000
$
2,568,000
$
2,443,320
$
2,400,000
$
2,400,000
$
2,295,000
$
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
$
442,000
154
$ 4,862,817,608
*Original Investment has been converted at a discount into common stock in the institution. Amount shown is
original invesment amount
24
United States Department of the Treasury
Office of Financial Stability
Report of Administrative Obligations and Expenditures
For Period Ending
April 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
$
114,939,000
$
114,939,000
$
2,308,000
12,000
778,000
500
251,876,000
1,612,000
Projected
Expenditures
$
114,874,000
$
114,874,000
$
2,294,000
12,000
694,000
500
199,935,000
1,601,000
$
244,000
640
204,781,140
$
319,655,140
$
$
$
$
$
$
$
$
Obligations
113,291,450
113,291,450
2,283,417
11,960
777,624
402
251,694,478
1,604,536
$
$
$
$
$
253,286
634
256,626,336
$
$
$
$
$
243,907
634
202,101,691
$
254,000
640
256,841,140
GRAND TOTAL: $
369,917,786
$
315,328,347
$
371,780,140
EQUIPMENT
LAND & STRUCTURES
INSURANCE CLAIMS & INDEMNITIES
INTEREST & DIVIDENDS
NON-PERSONNEL SERVICES Total:
Expenditures
$
113,226,656
$
113,226,656
$
2,261,151
$
11,960
$
693,277
$
402
$
197,295,410
$
1,594,951
For Period Ending
May 31, 2013
Note: The amounts presented above are cumulative from the initiation of the TARP.
25
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Agreements Under TARP [Section 105(a)(3)(A)]
For Period April 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
26
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
27
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
28
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
29
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
30
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
31
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
Interagency Agreement
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Financial Agent
Financial Agent
Contract
Financial Agent
Contract
Interagency Agreement
Interagency Agreement
Vendor
Department of Interior
E-Launch Multimedia, Inc.
Equilar Inc.*
Department of Justice
Qualx Corporation*
West Publishing Corporation
Knowledge Mosaic Inc.*
Internal Revenue Service
Harrison Scott Publications
SNL Financial LC
Bureau of the Public Debt - ARC
Government Accountability Office
Association of Govt Accountants
Department of the Treasury - Departmental Offices
Lazard Fréres & Co. LLC
Lazard Fréres & Co. LLC
Mercer (US) Inc.
Raymond James and Associates, Inc.
Bloomberg Finance L.P.
Department of Housing and Urban Development
Treasury Acquisition Institute
Purpose
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
* Small or Women-, or Minority-Owned Small Business
**Contract responsibilities assumed by Sonnenschein Nath & Rosenthal via novation.
***Contract responsibilities assumed by Bingham McCutchen, LLP via novation.
**** Previously listed separate contracts for various training.
***** Service Disabled Veteran; HubZone business
******Financial Agent responsibilities assumed by Raymond James and Associates, Inc. via novation.
32
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Insurance Contracts [Section 105(a)(3)(B)]
For Period Ending April 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.
33
Troubled Asset Relief Program
Transactions Report - Investment Programs
For Period Ending April 29, 2013
CAPITAL PURCHASE PROGRAM
Seller
Footnote
1b
11, 23 5/26/2010
49
14
3a, 72 2/10/2012
119, 225
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
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
Capital Repayment
Amount 6
$
$
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
15,000,000,000
3,000,000,000
$
$
0
0
Warrants
Warrants
3/3/2010
8/5/2009
Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
1b
A $
Warrants
183,547,824
R $
Warrants
136,000,000
23
$
25,000,000,000
$
0
Warrants
1/25/2011
Warrants
A $
4
$
$
$
$
$
$
10,000,000,000
25,000,000,000
10,000,000,000
2,000,000,000
25,000,000,000
17,000,000
$
$
$
$
$
$
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
4
4
5
4
49
6/17/2009
3/30/2011
4
4
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
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
Par
Par
5/27/2009
6/17/2009
4
Baltimore
MD
Preferred Stock w/ Warrants
$
151,500,000
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
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
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
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
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
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
11/21/2008
11/21/2008
First Community Bancshares Inc.
Western Alliance Bancorporation
Bluefield
Las Vegas
VA
NV
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
41,500,000
140,000,000
Par
Par
11/21/2008
Webster Financial Corporation
Waterbury
CT
Preferred Stock w/ Warrants
$
400,000,000
Par
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
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
34
Seller
Purchase Details
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Footnote
Purchase Date
11/21/2008
11/21/2008
Pacific Capital Bancorp
Heritage Commerce Corp.
Santa Barbara
San Jose
CA
CA
Common Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
195,045,000
40,000,000
Par
Par
12/29/2010
11/30/2012
3/7/2012
4
29
11/21/2008
Ameris Bancorp
Moultrie
GA
Preferred Stock w/ Warrants
$
52,000,000
Par
6/13/2012
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
11/21/2008
Cascade Financial Corporation
Everett
WA
Preferred Stock w/ Warrants
$
38,970,000
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
11/21/2008
Boston Private Financial Holdings, Inc.
Boston
MA
Preferred Stock w/ Warrants
$
154,000,000
Par
85 06/13/2012
74 3/28/2012
47 6/30/2011
11/21/2008
122
86 06/13/2012
66 11/30/2011
14, 20
232
50
49
26 9/30/2010
50
131
12
130
WI
Preferred Stock w/ Warrants
$
525,000,000
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
$
$
$200,000,000
165,983,272
40,000,000
$
$
$
0
0
0
Warrants
Warrants
Warrants
11/30/2012
Warrants
R $
393,121
85
$
47,665,332
$
0
Warrants
8/22/2012
Warrants
R $
2,670,000
3/28/2012
74
$
108,071,915
$
0
Warrants
Par
6/30/2011
47
$
16,250,000
$
0
N/A
N/A
N/A
47
-
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
Warrants
Warrants
Warrants
9
R $
R $
R $
3,301,647
450,000
1,003,227
1/13/2010
4
$
50,000,000
$
Warrants
A $
6,202,523
$
104,000,000
$
Preferred Stock w/
Warrants
Warrants
2/1/2011
6/16/2010
4
4/6/2011
4
$
262,500,000
$
11/30/2011
Warrants
A $
3,435,006
9/14/2011
4
$
262,500,000
$
0
Warrants
4
$
$
215,000,000
10,987,794
$
$
0
0
Warrants
Warrants
12/30/2009
11/1/2012
Warrants
Warrants
R $
R $
10,000,000
297,500
4
4
4
4
104,000,000
0
262,500,000
Par
Preferred Stock w/
Warrants
9
N/A
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.)
6/27/2012
4
$
67,000,000
$
0
Warrants
8/8/2012
Warrants
R $
2,189,317
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
5/2/2012
12/21/2011
Warrants
Warrants
R $
R $
1,518,072
900,000
12/23/2009
11/18/2011
10/14/2009
5/20/2009
Warrants
Warrants
Warrants
Warrants
R
P
R
R
$
$
$
$
950,000
637,071
63,364
1,200,000
12/23/2009
5
$
15,000,000
$
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
11/18/2011
Warrants
P $
2,794,422
7/14/2011
49
$
23,235,000
$
7/21/2010
4
$
41,547,000
$
R $
4,450,000
4
217
$
$
$
41,547,000
9,408,213
306,546,000
$
$
$
R $
R $
99,000
14,500,000
Los Angeles
12/5/2008
Midwest Banc Holdings, Inc.
Melrose Park
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
12/5/2008
Eagle Bancorp, Inc.
Sandy Spring Bancorp, Inc.
Bethesda
Olney
CA
IL
IL
IL
GA
WV
TX
CA
LA
MD
MD
Preferred Stock w/ Warrants
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
$
67,000,000
Par
$
89,388,000
Par
$
$
$
$
$
$
$
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
$
$
38,235,000
83,094,000
122
4
232
4
50
4
5
23,235,000
Par
Par
0
2/23/2011
Warrants
4/10/22013
1/26/2011
Warrants
Warrants
0
Warrants
9/30/2010
Warrants
9/21/2011
Warrants
N/A
N/A
10/28/2009
Warrants
9
N/A
N/A
130
Coastal Banking Company, Inc.
East West Bancorp
Fernandina Beach
Pasadena
FL
CA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
9,950,000
306,546,000
Par
Par
12/5/2008
South Financial Group, Inc.
Greenville
SC
Preferred Stock w/ Warrants
$
347,000,000
Par
9/30/2010
26
$
130,179,219
$
8/18/2011
3/20/2013
10/1/2012
50
$
$
$
58,000,000
129,000,000
42,750,000
$
$
$
0
129,000,000
0
$
32,500,000
12/5/2008
12/5/2008
12/5/2008
Great Southern Bancorp
Cathay General Bancorp
Southern Community Financial Corp.
CVB Financial Corp
Springfield
Los Angeles
Winston-Salem
Ontario
MO
CA
NC
CA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
58,000,000
258,000,000
42,750,000
130,000,000
Par
Par
Par
Par
Warrants
0
0
0
12/5/2008
12/5/2008
4
8/26/2009
4
$
97,500,000
9/2/2009
4
$
32,500,000 $
0
Warrants
Warrants
N/A
Preferred Stock w/
Warrants
Warrants
4
131
12/5/2008
First Defiance Financial Corp.
Defiance
OH
Preferred Stock w/ Warrants
$
37,000,000
Par
6/13/2012
89
$
35,084,144
$
0
Warrants
12/5/2008
First Financial Holdings Inc.
Charleston
SC
Preferred Stock w/ Warrants
$
65,000,000
Par
3/28/2012
75
$
55,926,478
$
0
Warrants
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
Birmingham
Stillwater
San Juan
Overland Park
Fairlawn
AL
OK
PR
KS
OH
Trust Preferred Securities w/ Warrants
Preferred Stock w/ Warrants
Trust Preferred Securities 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
Par
Par
Par
Par
Par
8/8/2012
4
$
70,000,000
$
0
Warrants
130
$
3,000,000
$
0
N/A
9/26/2012
9
Preferred Stock w/
Warrants
Warrants
Warrants
Warrants
41,547,000
12/15/2010
3/11/2013
12/29/2010
12/5/2008
89 06/13/2012
75 3/28/2012
17, 54
Green Bay
Final
Disposition
Date
11/21/2008
11/21/2008
12/5/2008
198, 217
Associated Banc-Corp
Capital Repayment
Amount 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
9
26
R $
400,000
R $
6,436,364
-
N/A
R $
1,307,000
-
N/A
35
Seller
Purchase Details
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Footnote
Purchase Date
120
50
49
12/5/2008
12/5/2008
12/5/2008
12/5/2008
Bank of Marin Bancorp
BNC Bancorp
Central Bancorp, Inc.
Southern Missouri Bancorp, Inc.
Novato
Thomasville
Somerville
Poplar Bluff
CA
NC
MA
MO
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
28,000,000
31,260,000
10,000,000
9,550,000
Par
Par
Par
Par
3/31/2009
8/23/2012
8/25/2011
7/21/2011
68 - 1/1/2012
12/5/2008
Valley National Bancorp (State Bancorp, Inc.)
Wayne
NJ
Preferred Stock w/ Warrants
$
36,842,000
Par
12/14/2011
32 9/30/2010
12/5/2008
TIB Financial Corp
Naples
FL
Preferred Stock w/ Warrants
$
37,000,000
Par
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/5/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
Unity Bancorp, Inc.
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
Clinton
Bowie
Port St. Lucie
Spokane
Oakdale
Evansville
Raleigh
Seattle
Santa Clara
NJ
MD
FL
WA
CA
IN
NC
WA
CA
Preferred Stock w/ Warrants
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
$
$
$
$
$
$
$
$
$
20,649,000
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
Par
55
24, 118
50
35
208
88 06/13/2012
43 5/13/2011
12/12/2008
LNB Bancorp Inc.
12/12/2008
M&T Bank Corporation (Wilmington Trust
Corporation)
12/12/2008
12/12/2008
12/12/2008
214
50
76 3/28/2012
50
176
181
70
206
Lititz
DE
PA
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
25,223,000
330,000,000
300,000,000
Warrants
Warrants
Warrants
Warrants
4
$
36,842,000
$
0
Warrants
9/30/2010
32
$
12,119,637
$
0
7/15/2009
4
$
7,000,000
$
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
6/13/2012
88
$
5/13/2011
43
4/21/2010
4
4
50
49
50
4
35
208
5
11/18/2011
9/19/2012
10/19/2011
Warrants
Warrants
Warrants
Warrants
9/30/2010
Warrants
0
Warrants
9/2/2009
$
$
$
$
$
$
0
0
0
0
0
0
Warrants
Warrants
Warrants
N/A
Warrants
Warrants
21,594,229
$
0
Warrants
$
330,000,000
$
$
200,000,000
$
$
$
$
100,000,000
120,000,000
18,400,000
$
$
$
0
0
0
Preferred Stock w/
Warrants
Warrants
Warrants
Warrants
0
100,000,000
P $
R $
R $
1,703,984
939,920
2,525,000
R $
40,000
Warrants
R $
225,000
9/19/2012
9/28/2011
5/8/2009
N/A
Warrants
Warrants
Warrants
N/A
R $
R $
R $
-
825,000
560,000
1,200,000
N/A
6/16/2010
Warrants
R $
6,820,000
7/18/2012
Warrants
R $
860,326
1/19/2011
Warrants
R $
5,269,179
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
A $
R $
2,857,915
4,753,985
32
35
9
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
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
6/9/2010
9/8/2010
Warrants
Warrants
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
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
Warrants
$
11,181,456
$
0
Warrants
$
50,000,000
$
0
Warrants
2/15/2013
Warrants
$
$
$
$
52,372,000
125,198,000
45,220,000
76,458,000
12/12/2008
Wilshire Bancorp, Inc.
Los Angeles
CA
Preferred Stock w/ Warrants
$
62,158,000
Roanoke
VA
Preferred Stock w/ Warrants
$
74,426,000
Par
$
95,000,000
Par
12/12/2008
Independent Bank Corporation
Ionia
MI
Mandatorily Convertible Preferred Stock w/
Warrants
12/12/2008
Pinnacle Financial Partners, Inc.
Nashville
TN
Preferred Stock w/ Warrants
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.
0
0
0
0
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
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
Par
$
$
$
$
Final Disposition
Proceeds
NY
KY
NC
TX
DE
VA
Valley Financial Corporation
Par
28,000,000
28,365,685
10,000,000
9,550,000
Final Disposition
Disposition
Investment
15
Description
New York
Hopkinsville
Greensboro
Houston
Wilmington
Portsmouth
12/12/2008
Par
$
$
$
$
120
Final
Disposition
Date
12/22/2010
3/31/2009
12/19/2012
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
12/12/2008
22
Wilmington
OH
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
12/12/2008
12/12/2008
66 11/30/2011
237
Susquehanna Bancshares, Inc
Lorain
4
Capital Repayment
Amount 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
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
$
$
$
$
$
$
$
$
$
$
$
$
$
$
16,019,000
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
4
4
4
4
5
50
0
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
4
4
50
4
176
4
12/11/2012
2/15/2013
206
9
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
9
206
R
R
R
R
$
$
$
$
1,488,046
1,000,000
95,000
225,157
R $
560,000
R $
15,000
36
Seller
Footnote
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
Purchase Date
49
50
2, 170
2, 49
2, 49
2, 3
2
2
2, 102
2, 103
2
2
2, 104
2
2
2, 50
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
12/19/2008
12/19/2008
12/19/2008
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
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
4
Capital Repayment
Amount 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
$
$
$
35,000,000
10,000,000
8,500,000
$
$
$
0
0
0
Warrants
Warrants
Warrants
116
$
25,000,000
$
0
4
$
22,000,000
$
0
$
300,000,000
$
4
49
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
1/9/2013
1/23/2013
9/14/2011
Warrants
Warrants
Warrants
Warrants
8/1/2012
Warrants
Warrants
12/16/2009
Warrants
0
Warrants
6/3/2011
Warrants
116
Final Disposition
Proceeds
R $
R $
R $
1,006,100
58,479
315,000
R $
1,189,813
R $
568,700
45
R $
6,900,000
81
R $
792,783
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
12/19/2008
CoBiz Financial Inc.
Denver
CO
Preferred Stock w/ Warrants
$
64,450,000
Par
9/8/2011
50
$
64,450,000
$
0
Warrants
11/18/2011
Warrants
12/19/2008
Santa Lucia Bancorp
Atascadero
CA
Preferred Stock w/ Warrants
$
4,000,000
Par
10/21/2011
64
$
2,800,000
$
0
N/A
N/A
N/A
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
$
0
Warrants
5/30/2012
Warrants
R $
55,000
4
$
$
6,250,000
18,750,000
$
$
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
Horizon Bancorp
Michigan City
IN
Preferred Stock w/ Warrants
$
25,000,000
Par
11/10/2010
8/25/2011
12/19/2008
Fidelity Southern Corporation
Atlanta
GA
Preferred Stock w/ Warrants
$
48,200,000
Par
6/27/2012
92
$
42,757,786
$
0
Warrants
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
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
12/19/2008
Security Federal Corporation
Aiken
SC
Preferred Stock w/ Warrants
$
18,000,000
Par
9/29/2010
4
$
18,000,000
$
0
Warrants
12/19/2008
12/19/2008
12/19/2008
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
4/13/2011
4
$
7,500,000
$
50
4
50
50
18,750,000
0
P $
64
143,677
-
N/A
12/28/2011
4
$
22,500,000
$
0
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Warrants
Bowling Green
VA
Preferred Stock w/ Warrants
$
59,000,000
Par
11/18/2009
5
$
59,000,000
$
0
Warrants
12/23/2009
Warrants
12/19/2008
12/19/2008
Union First Market Bankshares Corporation
(Union Bankshares Corporation)
Tidelands Bancshares, Inc
Bancorp Rhode Island, Inc.
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
$
0
Warrants
R $
1,400,000
Hawthorn Bancshares, Inc.
Lee's Summit
MO
Preferred Stock w/ Warrants
$
30,255,000
Par
5/9/2012
4
$
12,000,000
$
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
8/25/2011
5/13/2009
9/15/2011
49
$
$
$
9,090,000
26,918,000
81,698,000
$
$
$
6/17/2009
9/28/2011
Warrants
Warrants
R $
R $
900,000
1,800,000
2/16/2011
4
$
2,212,308
$
6,566,692
12/19/2008
Citizens First Corporation
Bowling Green
KY
Preferred Stock w/ Warrants
$
8,779,000
Par
2/13/2013
4
$
3,300,904
$
3,265,788
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
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
9/30/2009
12/19/2008
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
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
P $
P $
R $
1,450,171
2,054,215
92,000
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
12/19/2008
18
Purchase Details
12/19/2008
StellarOne Corporation
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
12/23/2008
Bridge Capital Holdings
Charlottesville
VA
Preferred Stock w/ Warrants
$
30,000,000
Par
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
San Jose
CA
Preferred Stock w/ Warrants
$
23,864,000
Par
5
5
4
50
49
49
103
4
5
22,500,000
18,255,000
0
0
0
8,864,000
9
9
9
2, 7
2, 7
2, 7
2, 7
9
R $
1,395,000
37
Seller
Footnote
178
119
49
59 - 9/7/2011
Name of Institution
Purchase Date
12/23/2008
12/23/2008
12/23/2008
Purchase Details
International Bancshares Corporation
First Sound Bank
M&T Bank Corporation
City
Laredo
Seattle
Buffalo
State
TX
WA
NY
12/23/2008
12/23/2008
Emclaire Financial Corp.
Park National Corporation
Emlenton
Newark
PA
OH
12/23/2008
Green Bankshares, Inc.
Greeneville
TN
12/23/2008
Cecil Bancorp, Inc.
Elkton
12/23/2008
Financial Institutions, Inc.
Warsaw
Capital Repayment Details
Investment Amount
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
216,000,000
7,400,000
600,000,000
7,500,000
100,000,000
Pricing
Mechanism
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
$
$
0
Final
Disposition
Date
5/18/2011
4
$
370,000,000
$
119
Par
Par
8/17/2012
8/18/2011
4/25/2012
$
$
$
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
9/7/2011
59
$
68,700,000
$
0
N/A
2/23/2011
4
$
12,505,000
$
3/30/2011
4
$
25,010,000
$
0
Warrants
Par
Par
Par
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
72,278,000
Par
MD
Preferred Stock w/ Warrants
$
11,560,000
Par
NY
Preferred Stock w/ Warrants
$
37,515,000
Par
178
49
4
0
0
230,000,000
25,010,000
Preferred Stock w/
Warrants
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
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
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
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
30 - 9/3/2010
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
50
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
4
$
42,000,000
$
0
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
$
31,762,000
$
0
Warrants
$
$
$
$
14,209,334
12,000,000
11,300,000
6,398,944
$
$
$
$
0
0
0
0
Warrants
Warrants
Warrants
11/18/2011
12/1/2010
11/9/2012
Warrants
Warrants
Preferred Stock
P $
R $
P $
326,576
319,659
335,417
$
$
3,728,440
7,742,000
$
$
11/9/2012
Preferred Stock
2, 7
P $
192,102
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
R
R
R
R
R
$
$
$
$
$
150,000
90,000
100,000
292,000
748,000
12/20/2012
12/30/2010
7/14/2011
189
4/29/2013
7/28/2011
3/30/2011
238
204
393/11/2011
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
2
2, 189
2
2, 49
2, 61
2, 238
2, 50
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
12/23/2008
Mission Valley Bancorp
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
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
12/23/2008
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.
4
204
Hermitage
PA
Preferred Stock w/ Warrants
$
31,762,000
Par
1/3/2012
67
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
11/9/2012
4/3/2013
148
Sun Valley
CA
Preferred Stock
$
5,500,000
Par
8/20/2010
Kinston
Los Angeles
South Hill
Chula Vista
Dayton
Arlington
Green Bay
Memphis
Palm Desert
Bucyrus
Rockville
Logan
Nevada City
Oak Ridge
San Francisco
Atlanta
NC
CA
VA
CA
OH
MA
WI
TN
CA
OH
MD
UT
CA
TN
CA
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
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
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
7,500,000
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
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
4
4
155
4
49
4
4
49
4
4
49
4
49
50
4
0
2,258,000
$
$
$
$
$
$
$
$
3,000,000
1,800,000
2,000,000
5,830,000
14,964,000
3,455,000
3,455,000
6,885,000
$
$
$
$
$
$
$
$
0
0
0
0
0
10,340,000
6,885,000
0
$
$
$
2,445,000
4,700,000
4,767,000
$
$
$
0
0
0
$
$
$
3,041,330
11,600,000
1,350,000,000
$
$
$
0
0
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
-
2, 7
N/A
-
N/A
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
8/18/2011
Preferred Stock
2, 7
R $
690,000
Preferred Stock
Preferred Stock 2
Preferred Stock 2
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
Preferred Stock 2
Preferred Stock 2
Warrants
4/29/2013
7/28/2011
9/22/2011
Preferred Stock
Preferred Stock
Warrants
2, 7
P $
R $
A $
144,142
580,000
15,996,899
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
38
Seller
Footnote
31 9/30/2010
16
2
1a, 1b
87 06/13/2012
Purchase Date
Pittsburgh
Cincinnati
12/31/2008
Hampton Roads Bankshares, Inc.
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
Farmers Capital Bank Corporation
1/9/2009
33
49
209
50
239
49
49
215
2, 223
2
2, 49
2, 49
2, 152
3
2, 49
2
2
2
2
2, 49
Peapack-Gladstone Financial Corporation
State
Capital Repayment Details
Pricing
Mechanism
Capital
Repayment Date
7,579,200,000
3,408,000,000
Par
Par
2/10/2010
2/2/2011
4
Investment Amount
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
Norfolk
VA
Common Stock w/ Warrants
$
80,347,000
Par
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
Par
Par
Par
Par
Par
2/8/2010
6/29/2011
16
12/9/2009
4/22/2009
4
Frankfort
KY
Preferred Stock w/ Warrants
$
30,000,000
Par
6/13/2012
87
1/6/2010
4
$
7,172,000
$
21,513,000
3/2/2011
4
$
7,172,000
$
14,341,000
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
4/8/2009
4
$
89,310,000
$
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
Gladstone
NJ
Preferred Stock w/ Warrants
$
28,685,000
Par
Commerce National Bank
Newport Beach
CA
Preferred Stock w/ Warrants
$
5,000,000
Par
1/9/2009
The First Bancorp, Inc.
Damariscotta
ME
Preferred Stock w/ Warrants
$
25,000,000
Par
1/9/2009
1/9/2009
Sun Bancorp, Inc.
Crescent Financial Bancshares, Inc.
(Crescent Financial Corporation)
American Express Company
Central Pacific Financial Corp.
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
HI
Common Stock w/ Warrants
$
135,000,000
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
St. Louis
Tappahannock
Fitzgerald
Rockland
Starkville
Lebanon
Union
Hermitage
MO
VA
GA
MA
MS
OH
NJ
PA
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
$
$
$
$
$
$
$
$
32,668,000
24,000,000
28,000,000
78,158,000
44,000,000
13,400,000
10,000,000
100,000,000
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
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
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
IA
NC
NC
KY
PA
LA
TN
MD
GA
KS
CA
CA
NC
CA
MN
NC
RI
CA
MD
LA
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
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
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
4
4
4
4
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
4
33
4
49
4
0
0
Warrants
Warrants
4/29/2010
3/16/2011
Warrants
Warrants
A $
R $
320,277,984
280,025,936
$
$
0
36,000,000
$
$
0
0
N/A
Warrants
N/A
8/31/2011
N/A
Warrants
R $
N/A
700,000
$
$
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
$
21,863,750
$
0
Warrants
7/18/2012
Warrants
R $
75,000
4/4/2012
Warrants
R $
110,000
5/27/2009
Warrants
R $
2,100,000
7/29/2009
Warrants
R $
340,000,000
5/27/2009
N/A
11/18/2011
12/7/2011
11/18/2011
Warrants
N/A
Warrants
Warrants
Warrants
R $
P $
R $
P $
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
7/6/2011
Preferred Stock
0
0
0
0
99,116,719
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
Preferred Stock w/
Warrants
Warrants
Warrants
Common Stock w/
Warrants
$
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
2,804,089
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
$
0
7/6/2011
50
49
49
215
4
223
4
49
49
152
4
49
4
49
Final Disposition
Proceeds
$
$
4
239
Final Disposition
Disposition
Investment
15
Description
7,579,200,000
3,408,000,000
7/27/2011
209
Final
Disposition
Date
$
$
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
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
1/9/2009
Capital Repayment
Amount 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
PA
OH
1/9/2009
1/9/2009
199
City
The PNC Financial Services Group Inc.
Fifth Third Bancorp
1/9/2009
37, 46 3/29/2012
Name of Institution
12/31/2008
12/31/2008
1/9/2009
65 11/15/2011
Purchase Details
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
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 $
1,200,000
$
$
$
$
$
$
39
Seller
Footnote
Purchase Date
2, 50
2
2, 140
2
1/9/2009
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
49
Purchase Details
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
9/8/2011
5/19/2010
10/31/2012
GrandSouth Bancorporation
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.)
Greenville
Jacksonville
Cayce
New York
Conway
Oak Harbor
Newport
Bar Harbor
Bernardsville
Columbia
Indiana
SC
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/ 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
$
$
$
$
$
$
$
$
$
$
$
9,000,000
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
Par
Raleigh
NC
Preferred Stock w/ Warrants
$
17,949,000
Par
7/6/2011
1/12/2011
8/25/2011
2/24/2010
5/20/2009
5/20/2009
12/7/2011
50
4
140
4
4
49
5
4
4
4
Capital Repayment
Amount 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
2
Final Disposition
Disposition
Investment
15
Description
$
$
$
9,000,000
3,981,000
2,685,979
$
$
$
0
0
0
Preferred Stock
Preferred Stock 2
Preferred Stock 2
9/8/2011
5/19/2010
10/31/2012
Preferred Stock
Preferred Stock
Preferred Stock
$
$
$
$
$
$
$
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
Warrants
Warrants
Warrants
Warrants
Warrants
Warrants
$
$
75,000,000
31,843,080
$
$
0
0
Warrants
Warrants
3/11/2010
Warrants
2, 7
2, 7
2,7
9
9
Final Disposition
Proceeds
R $
R $
R $
R
R
R
R
R
R
450,000
199,000
106,364
$
$
$
$
$
$
1,300,000
1,625,000
737,100
250,000
275,000
1,400,000
A $
6,559,066
233
1/16/2009
28 10/07/2011
1/16/2009
First BanCorp
San Juan
PR
Common Stock w/ Warrants
$
424,174,000
Par
1/16/2009
1/16/2009
Texas Capital Bancshares, Inc.
Yadkin Valley Financial Corporation
Dallas
Elkin
TX
NC
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
75,000,000
36,000,000
Par
Par
5/13/2009
9/12/2012
1/16/2009
Carver Bancorp, Inc
New York
NY
Preferred Stock
$
18,980,000
Par
8/27/2010
4
$
18,980,000
$
0
N/A
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
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
1/16/2009
United Bancorp, Inc.
Tecumseh
MI
Preferred Stock w/ Warrants
$
20,600,000
Par
6/13/2012
91
$
16,750,221
$
0
7/18/2012
Warrants
R $
38,000
R $
1,100,000
R $
R $
430,797
128,000
R $
R $
750,000
500,000
N/A
-
N/A
124
3, 30 8/27/2010
78 3/28/2012
95 6/27/2012
91 06/13/2012
224, 227
96 6/27/2012
2
2
2
2, 50
2, 19
3, 30 9/29/2010
2, 49
2
2
2, 49
1/16/2009
Old Second Bancorp, Inc.
Aurora
IL
Preferred Stock w/ Warrants
$
73,000,000
4
124
Warrants
224
$
24,438,021
$
3/27/2013
227
$
1,109,298
$
0
$
28,460,338
$
0
Warrants
8/8/2012
Warrants
$
$
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
Par
N/A
Preferred Stock w/
Warrants
3/11/2013
2,972,000
-
Warrants
1/16/2009
Pulaski Financial Corp
Creve Coeur
MO
Preferred Stock w/ Warrants
$
32,538,000
Par
6/27/2012
96
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
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
7/21/2011
49
$
3,800,000
$
0
Preferred Stock 2
7/21/2011
Preferred Stock
2, 7
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
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
2, 49
1/16/2009
United Financial Banking Companies, Inc.
Vienna
VA
Preferred Stock w/ Exercised Warrants
$
5,658,000
Par
2, 201
2, 179
2, 162
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
2
1/16/2009
State Bankshares, Inc.
Fargo
ND
$
50,000,000
Par
2
2
3, 30 8/6/2010
2
1/16/2009
1/16/2009
BNCCORP, Inc.
First Manitowoc Bancorp, Inc.
Bismarck
Manitowoc
ND
WI
$
$
20,093,000
12,000,000
Par
Par
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
3/31/2009
9/8/2011
2/11/2010
N/A
N/A
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
13,000,000
Par
7/20/2011
2/15/2011
12/21/2012
12/29/2010
159
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
R $
N/A
$
1st Source Corporation
Princeton National Bancorp, Inc.
AB&T Financial Corporation
2, 7
0
Preferred Stock w/ Exercised Warrants
1/23/2009
1/23/2009
1/23/2009
R $
$
KS
Par
2, 7
11,000,000
Merriam
3,268,000
Preferred Stock
$
Morrill Bancshares, Inc.
36
36
4
R $
6/29/2011
Preferred Stock
1/16/2009
2, 7
2, 7
5/27/2009
8/6/2010
2, 7
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock 2
Par
2, 7
2/8/2013
12/11/2012
11/30/2012
0
11,000,000
$
4
Preferred Stock
$
$
Warrants
162
9/15/2011
12,000,000
Preferred Stock
TX
49
0
2,658,000
0
0
0
0
37,500,000
0
$
AR
Austin
4
4
Arkadelphia
Treaty Oak Bancorp, Inc.
19
4
Southern Bancorp, Inc.
1/16/2009
4
50
5/27/2009
1/16/2009
2, 36
4
9
2, 7
2, 7
190,000
600,000
2, 7
N/A
R $
650,000
R $
3,750,000
40
Seller
Footnote
94 6/27/2012
79 3/28/2012
2
2, 13 12/4/2009,
153
Purchase Date
1/23/2009
Purchase Details
Name of Institution
First Citizens Banc Corp
City
Sandusky
State
OH
Capital Repayment Details
Investment Amount
Preferred Stock w/ Warrants
$
23,184,000
Par
6/27/2012
94
$
20,689,633
$
0
Warrants
9/5/2012
Warrants
R $
563,174
3/28/2012
79
$
47,435,299
$
0
Warrants
9/12/2012
Warrants
R $
1,800,000
11/9/2012
153
$
4,992,788
$
0
Preferred Stock
2
11/9/2012
Preferred Stock
2, 7
P $
282,285
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
12/23/2009
4/25/2012
12/5/2012
1/9/2013
12/8/2010
4
$
$
$
$
$
10,189,000
1,100,000
5,116,000
3,063,000
3,300,000
$
$
$
$
$
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
12/23/2009
Preferred Stock
2, 7
R $
509,000
12/5/2012
Preferred Stock
2, 7
R $
311,000
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
11/18/2011
Warrants
P $
301,001
WSFS Financial Corporation
Wilmington
DE
Preferred Stock w/ Warrants
$
52,625,000
Par
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
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
2
1/23/2009
CalWest Bancorp
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.
2
1/23/2009
Moscow Bancshares, Inc.
Moscow
TN
Preferred Stock w/ Exercised Warrants
$
6,216,000
Par
2
2
2, 51
2
2, 50
2
2, 49
2, 49
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
2
1/23/2009
FPB Financial Corp.
Hammond
LA
Preferred Stock w/ Exercised Warrants
$
3,240,000
Par
2, 229
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
234
1/30/2009
F.N.B. Corporation
(Annapolis Bancorp, Inc.)
Annapolis
MD
Preferred Stock w/ Warrants
$
8,152,000
Par
1/30/2009
DNB Financial Corporation
Downingtown
PA
Preferred Stock w/ Warrants
$
11,750,000
1/30/2009
Firstbank Corporation
Alma
MI
Preferred Stock w/ Warrants
$
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
$
$
$
$
174
228
5
50
240
49
139
49
97 6/27/2012
2
2
2
2, 49
2
1/30/2009
Beach Business Bank
Manhattan Beach
CA
Preferred Stock w/ Exercised Warrants
$
Final Disposition
Disposition
Investment
15
Description
Capital
Repayment Date
1/23/2009
Rancho Santa
Margarita
Fresno
Oakland
Ocala
Effingham
Final
Disposition
Date
Pricing
Mechanism
1/23/2009
4
4
4
4
4
Capital Repayment
Amount 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
0
5,116,000
0
5,689,000
0
0
2, 7
Final Disposition
Proceeds
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
3/27/2013
12/23/2009
228
$
$
240,627,277
22,000,000
$
$
0
0
Warrants
Warrants
$
$
$
$
$
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
Warrants
Warrants
R $
R $
1,225,000
185,017
10/26/2011
2/6/2013
Warrants
Warrants
R $
R $
107,398
122,888
$
$
$
9,000,000
5,000,000
11,493,900
$
$
$
0
12,000,000
0
10/26/2011
Warrants
R $
460,000
4,076,000
Warrants
Warrants
Warrants
Preferred Stock w/
Warrants
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
4
241
2, 7
4/18/2012
4
$
4,076,000
$
3/6/2013
4
$
4,076,000
$
0
Warrants
Par
8/4/2011
49
$
11,750,000
$
0
Warrants
9/21/2011
Warrants
R $
458,000
33,000,000
Par
6/27/2012
97
$
30,587,530
$
0
Warrants
7/18/2012
Warrants
R $
1,946,670
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
49
$
$
$
$
$
12,720,000
1,500,000
1,500,000
1,500,000
1,200,000
$
$
$
$
$
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
6,000,000
Par
4
4
4
4
0
4,500,000
3,000,000
1,500,000
300,000
41
Seller
Purchase Details
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Footnote
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
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.
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
6/27/2012
2/6/2009
Lakeland Bancorp, Inc.
Milwaukee
Boca Raton
Milford
Houlton
Little Rock
Marysville
Denver
Spokane
Munster
Scottsdale
Wichita
Oak Ridge
WI
FL
NE
ME
AR
KS
CO
WA
IN
AZ
KS
NJ
Preferred Stock w/ 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
59,000,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
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
30 9/29/2010
163
161
3, 30 8/13/2010
2
2/6/2009
PGB Holdings, Inc.
Chicago
IL
2/6/2009
The Freeport State Bank
Harper
KS
2
2/6/2009
Stockmens Financial Corporation
Rapid City
SD
2
2
2, 49
2
3, 30 9/24/2010
2
2/6/2009
2/6/2009
2/6/2009
2/6/2009
US Metro Bank
First Express of Nebraska, Inc.
Mercantile Capital Corp.
Citizens Commerce Bancshares, Inc.
Garden Grove
Gering
Boston
Versailles
CA
NE
MA
KY
2/6/2009
Liberty Financial Services, Inc.
New Orleans
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
Houston
Bowling Green
Harrisburg
Bedford
Hopkinsville
Atlanta
Charleston
Salisbury
Moyock
Lebanon
Brandon
2/6/2009
2/6/2009
18
2/6/2009
2, 49
2, 49
2
2
2, 50
2, 126
2, 34
2
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, 101, 166
2/6/2009
2, 192
2, 13 2/10/2010
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
2/6/2009
2/6/2009
Carolina Trust Bank
Alaska Pacific Bancshares, Inc.
Community Bancshares of Mississippi, Inc.
(Community Holding Company of Florida, Inc.)
Hyperion Bank
Pascack Bancorp, Inc.
(Pascack Community Bank)
Lincolnton
Juneau
NC
AK
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
4
$
300,000
$
0
Preferred Stock
4
$
$
$
10,900,000
6,838,126
10,449,000
$
$
$
0
0
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
6/16/2010
11/29/2012
8/18/2011
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
169
49
Final Disposition
Proceeds
2
2, 7
2, 7
R $
P $
R $
545,000
372,240
522,000
8/11/2011
49
$
8,950,000
$
0
Preferred Stock 2
8/11/2011
Preferred Stock
2, 7
R $
450,000
9/15/2011
9/22/2011
50
$
$
110,000,000
3,674,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
9/15/2011
9/22/2011
Preferred Stock
Preferred Stock
2, 7
R $
R $
5,500,000
184,000
8/11/2011
49
$
8,750,000
$
0
Preferred Stock 2
8/11/2011
Preferred Stock
2, 7
R $
438,000
R $
332,000
R
R
R
R
R
P
R
R
50
$
6,633,000
$
0
Preferred Stock 2
8/4/2011
Preferred Stock
2, 7
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
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
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
2/29/2012
Warrants
4
49
49
141
202
50
4
8/4/2010
4
$
20,000,000
$
39,000,000
3/16/2011
4
$
20,000,000
$
19,000,000
2/8/2012
4
$
19,000,000
$
0
Warrants
4
$
5,000,000
$
0
Warrants
163
$
$
3,362,000
4,217,568
$
$
0
0
Warrants
Warrants
0
9/29/2010
11/30/2012
11/29/2012
4,000,000
4,781,000
Preferred Stock
$
3,000,000
Par
8/13/2010
4
$
3,000,000
$
Preferred Stock w/ Exercised Warrants
$
301,000
Par
4
$
15,568,000
Par
12/19/2012
1/14/2011
3/16/2011
$
$
$
301,000
4,000,000
11,568,000
$
$
$
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
$
$
LA
Preferred Stock
$
5,645,000
Par
9/24/2010
$
5,645,000
$
TX
Preferred Stock w/ Exercised Warrants
$
3,072,000
Par
VA
Preferred Stock
$
33,900,000
Par
12/7/2011
4
$
35,595,000
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
$
$
795,000
7,500,000
$
$
$
$
8,700,000
3,345,000
15,988,500
1,742,850
MS
Preferred Stock w/ Exercised Warrants
$
1,050,000
Par
$
977,750
2/16/2011
7/21/2011
9/12/2012
12/3/2010
2, 7
49
$
$
Preferred Stock w/ Exercised Warrants
Par
Par
6/16/2010
11/29/2012
8/18/2011
Capital Repayment
Amount 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
161
4
4
4
49
4
49
4
50
126
34
N/A
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
$
0
N/A
$
$
0
0
$
$
$
$
$
N/A
Preferred Stock
Preferred Stock 2
Preferred Stock
Preferred Stock
2, 7
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
0
Preferred Stock 2
11/30/2012
Preferred Stock
2
12/20/2012
10/19/2011
$
3,756,000
$
0
Preferred Stock 2
12/20/2012
Westwood
NJ
Preferred Stock w/ Exercised Warrants
$
3,756,000
Par
10/19/2011
4
2, 7
N/A
Preferred Stock
Par
-
7/28/2011
7/28/2011
2
0
1,552,000
2,800,000
Preferred Stock
$
$
R $
N/A
983,800
Preferred Stock w/ Exercised Warrants
2,7
2, 7
12/19/2012
$
PA
2,7
290,000
200,000
500,000
237,000
369,948
222,008
130,000
1,000,000
N/A
166
Philadelphia
2, 7
2, 7
$
$
$
$
$
$
$
$
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
0
11,568,000
0
11/30/2012
192
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
Preferred Stock
2, 7
R $
188,000
2, 7
2, 7
2, 7
34
42
Seller
Purchase Details
Name of Institution
City
State
Footnote
Purchase Date
2, 105
2/6/2009
First Western Financial, Inc.
Denver
CO
49
2/13/2009
QCR Holdings, Inc.
Moline
2/13/2009
Westamerica Bancorporation
San Rafael
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Capital Repayment
Amount 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
2, 7,
2/13/2009
186
58 10/21/2011
2, 49
2, 49
2
2, 185
The Bank of Kentucky Financial Corporation
Crestview Hills
Preferred Stock w/ Exercised Warrants
$
8,559,000
Par
IL
Preferred Stock w/ Warrants
$
38,237,000
Par
CA
Preferred Stock w/ Warrants
$
83,726,000
Par
KY
Preferred Stock w/ Warrants
$
34,000,000
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
49
$
38,237,000
$
0
7/27/2012
Preferred Stock
P $
351,052
11/16/2011
Warrants
R $
1,100,000
11/18/2011
Warrants
P $
878,256
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
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
$
1,475,592
$
0
Preferred Stock 2
12/11/2012
Preferred Stock
9/15/2011
9/1/2011
186
4
49
49
12/11/2012
41,863,000
0
17,000,000
105
2, 7
2, 7
2, 7
2, 7,
2, 30 9/29/2010
2/13/2009
State Capital Corporation
Greenwood
MS
Preferred Stock w/ Exercised Warrants
$
15,000,000
Par
9/29/2010
2, 147
2, 168
2, 50
2
2, 221
2
2, 151
2, 62
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
2/13/2009
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
2, 30 9/24/2010
2/13/2009
First Choice Bank
Cerritos
CA
Preferred Stock w/ Exercised Warrants
$
2,200,000
Par
2, 115
2, 171
2
2, 49
2, 220
2, 50
2, 127
2
2
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
27, 49, 50
2/20/2009
First Merchants Corporation
Muncie
IN
2, 25
2, 50
2, 49
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
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, 30 9/29/2010
2/20/2009
Lafayette Bancorp, Inc.
Oxford
MS
Preferred Stock w/ Exercised Warrants
$
1,998,000
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
4
$
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
2
2, 7
P $
R $
74,250
900,000
9/24/2010
4
R $
110,000
168
50
15,000,000 $
0
Preferred Stock
2
30a
2, 7
2, 7
$
$
1,373,625
18,000,000
$
$
0
0
Preferred Stock
Preferred Stock 2
11/9/2012
8/3/2011
Preferred Stock
Preferred Stock
$
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
4
$
1,992,000
$
0
Preferred Stock 2
1/9/2013
Preferred Stock
2. 7
50
$
$
69,600,000
46,400,000
$
$
0
0
Warrants
11/18/2011
Warrants
$
$
6,920,000
5,450,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
9/15/2011
9/1/2011
Preferred Stock
Preferred Stock
$
1,998,000 $
Preferred Stock 2
9/29/2010
Preferred Stock
62
2, 7
2, 7,
11/30/2012
11/10/2009
9/1/2011
3/11/2013
8/18/2011
9/12/2012
1/9/2013
9/22/2011
9/22/2011
171
4
49
220
50
127
49
9/15/2011
9/1/2011
50
Par
9/29/2010
4
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
2/8/2013
4/26/2013
203
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,
9/22/2011
11/29/2012
4
49
164
0
30a
$
$
4,002,371
10,000,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
2/8/2013
4/26/2013
Preferred Stock
Preferred Stock
2, 7
$
$
12,500,000
2,453,094
$
$
0
0
Preferred Stock 2
Preferred Stock 2
9/22/2011
11/29/2012
Preferred Stock
Preferred Stock
2, 7
2, 7
2, 7
43
Seller
Purchase Details
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Footnote
Purchase Date
2, 30 9/29/2010
2/20/2009
BancPlus Corporation
Ridgeland
MS
Preferred Stock w/ Exercised Warrants
$
48,000,000
Par
9/29/2010
2, 180
2/20/2009
Central Community Corporation
Temple
TX
Preferred Stock w/ Exercised Warrants
$
22,000,000
Par
12/11/2012
1/18/2012
10/24/2012
2/20/2009
First BancTrust Corporation
Paris
IL
Preferred Stock w/ Exercised Warrants
$
7,350,000
Par
2
2, 49
2
2/20/2009
2/20/2009
2/20/2009
2/27/2009
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
2
4
$
48,000,000
$
4
$
$
$
20,172,636
3,675,000
3,675,000
$
$
$
$
$
$
9,495,000
7,000,000
56,044,000
$
$
$
4
Final Disposition
Disposition
Investment
15
Description
2, 7
R $
133,000
2
2, 7
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
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
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
2,655,000
$
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
$
7,400,000
5,983,000
12,000,000
Preferred Stock w/ Exercised Warrants
$
541,000
240,000
200,000
113,000
845,448
37,000
476,207
167,035
995,000
1,150,000
33,000
362,119
Preferred Stock
Evansville
Columbia
New Canaan
Lafayette
Buena Vista
Bettendorf
Mobeetie
Brookfield
West Sacramento
Burley
Pittsburgh
Green City
Gothenburg
Par
$
$
$
$
$
$
$
$
$
$
$
7/21/2011
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.
9,270,000
R
R
R
P
R
P
P
R
R
R
R
Preferred Stock 2
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
$
1,100,000
0
$
Preferred Stock w/ Exercised Warrants
R $
120,000
15,403,722
LA
475,000
350,000
877,557
R $
$
Many
R $
R $
P $
2,7
98
PSB Financial Corporation
2, 7
Preferred Stock
6/27/2012
2/27/2009
Preferred Stock
Preferred Stock
Warrants
4/24/2013
Par
2, 30 9/29/2010
9/22/2011
4/13/2011
11/18/2011
Preferred Stock2
17,299,000
Par
Par
Par
Par
Preferred Stock 2
Preferred Stock 2
Warrants
Preferred Stock 2
Preferred Stock 2
$
4,960,000
2,655,000
22,500,000
11,800,000
0
0
0
2, 7
Preferred Stock w/ Warrants
$
$
$
$
368,000
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Warrants
Preferred Stock
Preferred Stock
SC
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
R $
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
Greenville
MN
OK
TX
UT
Preferred Stock
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
Southern First Bancshares, Inc.
Minneapolis
Nowata
Garland
Salt Lake City
10/24/2012
Warrants
2/27/2009
Private Bancorporation, Inc.
Regent Capital Corporation
Central Bancorp, Inc.
Medallion Bank
1,058,726
2,7
7/25/2012
9/29/2010
Par
P $
Warrants
Par
2,400,000
Preferred Stock
Preferred Stock 2
Preferred Stock 2
2, 7
30a
Warrants
30,000,000
$
2,400,000
Preferred Stock
2
0
$
Preferred Stock w/ Exercised Warrants
R $
12/11/2012
0
3,675,000
0
0
Preferred Stock w/ Warrants
IA
Preferred Stock
$
MS
Clive
9/29/2010
30,000,000
5
Kosciusko
Green Circle Investments, Inc.
Preferred Stock 2
$
4
First M&F Corporation
2/27/2009
0
49
2/27/2009
2/27/2009
2/27/2009
2/27/2009
2/27/2009
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
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2, 7
2,7
7/21/2011
49
7/21/2011
49
$
11,800,000
$
0
Preferred Stock
7/21/2011
Preferred Stock
9/29/2010
4
$
9,270,000
$
0
Preferred Stock 2
9/29/2010
Preferred Stock
Par
Par
Par
9/15/2011
9/22/2011
9/15/2011
49
$
$
$
7,400,000
5,983,000
12,000,000
$
$
$
0
0
0
2
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
Par
9/22/2011
49
$
541,000
$
0
Preferred Stock
2
9/22/2011
Preferred Stock
$
3,000,000
$
0
Preferred Stock
2
7/21/2011
Preferred Stock
R $
590,000
R $
464,000
R $
R $
R $
370,000
299,000
600,000
2, 7
R $
27,000
2, 7
R $
150,000
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
2/27/2009
The Victory Bancorp, Inc.
(The Victory Bank)
Limerick
PA
49
50
30a
2, 7
2, 7
Catskill Hudson Bancorp, Inc
Midtown Bank & Trust Company
HCSB Financial Corporation
First Busey Corporation
Rock Hill
Atlanta
Loris
Urbana
NY
GA
SC
IL
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
7/21/2011
50
2/27/2009
2/27/2009
3/6/2009
3/6/2009
49
8/25/2011
50
$
100,000,000
$
0
Warrants
11/18/2011
Warrants
42 - 5/3/2011
3/6/2009
First Federal Bancshares of Arkansas, Inc.
Harrison
AR
Preferred Stock w/ Warrants
$
16,500,000
Par
5/3/2011
42
$
6,000,000
$
0
N/A
N/A
N/A
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
3, 30 8/13/2010
2
2, 49
2
2, 134
2, 219
2, 62
2, 226
2, 137
2, 49
2, 49
Final Disposition
Proceeds
9/22/2011
4/13/2011
6/9/2010
4
2
2, 49
2
2, 49
2, 49
2, 49
2, 50
2, 13 12/4/2009,
49
2, 49
2
Final
Disposition
Date
2, 7,
2, 4, 7
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
Capital Repayment
Amount 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
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
Ontario
Fort Worth
Houston
Independence
Florence
Toone
Alamosa
Germantown
Houston
Collinsville
CA
TX
TX
MO
SC
TN
CO
TN
TX
OK
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
Par
Par
Par
Par
Par
Par
Par
Par
Par
Par
49
219
62
226
137
49
49
P $
63,677
N/A
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
$
$
$
$
$
$
$
44
Seller
Purchase Details
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Footnote
Purchase Date
2
2, 116
2, 71
2
2
2
2, 106
2
146
49
49
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/6/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
Highlands Independent Bancshares, Inc.
Pinnacle Bank Holding Company, Inc.
Blue River Bancshares, Inc.
Marine Bank & Trust Company
Community Bancshares of Kansas, Inc.
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.
Sebring
Orange City
Shelbyville
Vero Beach
Goff
Davie
Madison
Colquitt
Warren
Lakeville
Dixon
Riverwoods
Rock Hill
FL
FL
IN
FL
KS
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/ 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
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$
$
$
$
$
$
$
$
$
$
$
$
$
3/13/2009
First American International Corp.
Brooklyn
NY
Preferred Stock
$
17,000,000
Par
8/13/2010
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
3/13/2009
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
10/31/2012
3/13/2009
IBW Financial Corporation
Washington
DC
Preferred Stock
$
6,000,000
Par
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
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
2, 50
2, 49
2
2, 107
2, 165
2
2
2
2, 49
2, 128
2, 99 7/12/2012
2, 108
2
2
2
90 06/13/2012
6,700,000
4,389,000
5,000,000
3,000,000
500,000
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
Par
Par
Par
Par
Par
Capital Repayment
Amount 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
7/18/2012
4
$
500,000
$
0
Preferred Stock 2
7/18/2012
Preferred Stock
2, 7
R $
25,000
7/27/2012
106
$
16,772,382
$
0
Preferred Stock 2
7/27/2012
Preferred Stock
2, 7
P $
896,039
8/25/2011
9/15/2011
4/21/2010
49
$
$
$
8,816,000
17,390,000
1,224,558,000
$
$
$
0
0
0
Warrants
Warrants
Warrants
11/2/2011
11/16/2011
7/7/2010
Warrants
Warrants
Warrants
R $
R $
R $
205,000
375,000
172,000,000
4
$
17,000,000
$
0
N/A
N/A
N/A
49
$
$
$
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
123
$
12,082,749
$
0
Preferred Stock 2
8/23/2012
Preferred Stock
136
$
9,009,000
$
0
Preferred Stock 2
10/31/2012
Preferred Stock
9/3/2010
4
$
6,000,000
$
0
N/A
N/A
N/A
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
7/21/2011
8/11/2011
50
$
$
700,000
4,000,000
$
$
0
0
Preferred Stock 2
Preferred Stock 2
7/21/2011
8/11/2011
Preferred Stock
Preferred Stock
2, 7
R $
R $
40,000
200,000
7/27/2012
11/29/2012
107
$
$
26,396,503
2,593,700
$
$
0
0
Preferred Stock 2
Preferred Stock 2
7/27/2012
11/29/2012
Preferred Stock
Preferred Stock
2, 7
P $
P $
1,655,787
114,022
10/26/2011
10/19/2011
9/22/2011
9/12/2012
4
$
$
$
$
574,000
7,723,000
3,700,000
56,430,297
$
$
$
$
0
0
0
0
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
10/26/2011
10/19/2011
9/22/2011
9/12/2012
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
R
R
R
P
29,000
386,000
185,000
3,291,750
49
4
4
4
49
49
49
49
165
4
49
128
3/27/2009
Naples Bancorp, Inc.
Naples
FL
Preferred Stock w/ Exercised Warrants
$
4,000,000
Par
7/12/2012
99
$
600,000
$
0
N/A
N/A
N/A
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
108
$
21,776,396
$
0
Preferred Stock 2
7/27/2012
Preferred Stock
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
Warrants
2/6/2013
Warrants
-
N/A
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
N/A
$
$
$
$
N/A
2, 7
P $
1,107,825
R $
266,042
45
Seller
Footnote
2, 3, 30 8/13/2010
2, 50
2, 242
2
2, 84
2, 175
2
2
2
2, 3
Purchase Date
2, 188
4/10/2009
2
2
2
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/3/2009
4/10/2009
Purchase Details
Name of Institution
Tri-State Bank of Memphis
City
Memphis
State
TN
Arnold
Festus
Titonka
Edwards
Kingsport
Olathe
Harrison
Theodore
Newark
MO
MO
IA
CO
TN
KS
AR
AL
San Diego
2, 49
2, 52
4/10/2009
4/10/2009
4/10/2009
4/17/2009
4/17/2009
4/17/2009
Fortune Financial Corporation
BancStar, Inc.
Titonka Bancshares, Inc
Millennium Bancorp, Inc.
TriSummit Bank
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
2
4/17/2009
2
2
121
2, 49
2
2
Capital Repayment Details
Investment Amount
Preferred Stock
$
2,795,000
Capital Repayment
Amount 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Pricing
Mechanism
Capital
Repayment Date
Par
8/13/2010
4
$
2,795,000
$
0
N/A
N/A
N/A
50
$
$
$
$
$
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
Preferred Stock 2
2
Preferred Stock
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
12/20/2012
Preferred Stock
2, 7
P $
90,462
8/31/2011
Preferred Stock
2, 7
R $
200,000
9/1/2011
Preferred Stock
2, 7
R $
498,000
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
2
$
$
$
$
$
$
$
$
$
3,100,000
8,600,000
2,117,000
7,260,000
2,765,000
2,800,000
12,725,000
1,706,000
9,439,000
Par
Par
Par
Par
Par
Par
Par
Par
Par
9/15/2011
4/29/2013
4/4/2012
8/14/2012
11/29/2012
NJ
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
CA
Preferred Stock w/ Exercised Warrants
$
2,211,000
Par
12/20/2012
188
$
2,017,453
$
0
Preferred Stock 2
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
$
$
$
$
$
$
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
9/1/2011
49
$
9,960,000
$
0
Preferred Stock 2
Patterson
LA
Preferred Stock w/ Exercised Warrants
$
3,690,000
Par
3/7/2012
8/22/2012
12/5/2012
4
Patterson Bancshares, Inc
$
$
$
250,000
250,000
250,000
$
$
$
3,440,000
3,190,000
2,940,000
Preferred Stock 2
Preferred Stock 2
Preferred Stock 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
$
$
$
10,380,905
1,635,000
787,500
$
$
$
0
0
712,500
Preferred Stock 2
Preferred Stock 2
2, 83
4/24/2009
Peoples Bancorporation, Inc.
Easley
SC
Preferred Stock w/ Exercised Warrants
$
12,660,000
Par
$
12,660,000
$
2, 14, 236
4/24/2009
Indiana Bank Corp.
Dana
IN
Preferred Stock w/ Exercised Warrants
$
1,312,000
Par
2
4/24/2009
Business Bancshares, Inc.
Clayton
MO
Preferred Stock w/ Exercised Warrants
$
15,000,000
Par
$
$
$
$
$
$
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
242
4
84
175
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
Warrants
Final Disposition
Proceeds
2, 7
2, 7
2, 7
2, 84
2, 7
2, 7
N/A
R $
P $
R $
$
P $
155,000
426,339
106,000
124,666
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
8
4/24/2009
Frontier Bancshares, Inc.
Austin
TX
Subordinated Debentures w/ Exercised
Warrants
$
3,000,000
Par
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
5/1/2009
Security State Bank Holding-Company
Jamestown
ND
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
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
Preferred Stock
Preferred Stock
Subordinated
Debentures 8
2, 7
10/5/2011
Preferred Stock 2
Preferred Stock 2
Subordinated
Debentures 8
7
R $
305,000
4
10/5/2011
2, 7
2, 13 8/31/2010,
49
2, 56
2, 80
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, Inc Sedalia
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
$
4,000,000
Par
MO
46
Seller
Footnote
Purchase Date
8, 49
5/8/2009
3, 8, 30 8/13/2010
5/8/2009
5/15/2009
2
2, 177
2, 158
2
2, 145
2, 50
2
3, 8, 30 9/10/2010
Purchase Details
Name of Institution
Sword Financial Corporation
Premier Bancorp, Inc.
Mercantile Bank Corporation
City
Horicon
Wilmette
Grand Rapids
State
WI
IL
MI
Investment Amount
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures
Preferred Stock w/ Warrants
$
6,784,000
21,000,000
Capital
Repayment Date
Par
9/15/2011
49
$
13,644,000
$
0
8/13/2010
4
$
6,784,000
$
0
4/4/2012
4
$
10,500,000
$
6/6/2012
4
$
10,500,000
$
0
Warrants
4
$
$
$
1,341,000
4,700,000
3,136,500
$
$
$
0
0
0
$
$
4,862,000
15,000,000
$
$
0
0
4,205,000 $
0
Par
Par
10,500,000
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
5/15/2009
IBC Bancorp, Inc.
IL
Subordinated Debentures
$
4,205,000
Par
9/10/2010
4
3/11/2013
216
4/29/2013
243
$
2,495,024
$
0
9/8/2011
49
$
2,639,000
$
0
$
18,069,213
$
0
$
$
15,000,000
1,046,621
$
$
0
0
$
$
$
2,250,000
2,750,000
6,272,000
$
$
$
Chicago
8, 109
5/15/2009
Market Street Bancshares, Inc.
Mt. Vernon
2, 49
2, 182
2, 82
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
2
5/22/2009
Blackridge Financial, Inc.
Fargo
ND
Preferred Stock w/ Exercised Warrants
5/15/2009
Boscobel Bancorp, Inc
Boscobel
WI
5/15/2009
Brogan Bankshares, Inc.
Kaukauna
WI
8
5/15/2009
Riverside Bancshares, Inc.
Little Rock
AR
8, 49
5/15/2009
Deerfield Financial Corporation
Deerfield
WI
IL
2, 49
2
2, 150
5/22/2009
5/22/2009
5/22/2009
Illinois State Bancorp, Inc.
Universal Bancorp
Franklin Bancorp, Inc.
Chicago
Bloomfield
Washington
IL
IN
MO
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
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
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
$
13,644,000
Pricing
Mechanism
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 BancshareWichita
Southern Heritage Bancshares, Inc.
Cleveland
Foresight Financial Group, Inc.
Rockford
8, 243
49
2
2, 63
2, 197
2
2, 49
$
Capital Repayment
Amount 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
5/15/2009
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
8, 216
Capital Repayment Details
LA
$
5,586,000
Par
$
2,400,000
Par
$
1,100,000
Par
$
2,639,000
Par
9/8/2011
12/11/2012
4
158
4
$
20,300,000
Par
7/27/2012
109
$
$
$
15,000,000
1,177,000
1,300,000
Par
Par
Par
8/18/2011
12/11/2012
49
5,000,000
Par
6/27/2012
9/12/2012
9/22/2011
4
$
4
49
$
$
6,116,943
$
0
2,750,000
0
0
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
11/13/2012
150
$
3,191,614
$
0
$
20,400,000
Par
7/27/2012
110
$
15,147,000
$
0
$
6,349,000
Par
$
2,993,000
Par
11/13/2012
156
$
2,840,903
$
0
$
20,445,000
Par
7/27/2012
111
$
14,780,662
$
0
$
14,400,000
Par
7/3/2012
4
$
14,400,000
$
0
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
3/27/2013
4
$
2/20/2013
211
Preferred Stock w/ Exercised Warrants
4
$
$
$
$
$
$
19,468,000
1,800,000
4,114,000
24,990,000
3,076,000
12,000,000
Par
Par
Par
Par
Par
Par
$
3,942,000
Par
$
19,817,000
Par
$
5,000,000
Par
$
17,969,000
Par
$
17,300,000
Par
$
2,892,000
Par
12/28/2011
4
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Subordinated
8
Debentures
9/15/2011
Subordinated
8
Debentures
N/A
N/A
N/A
Preferred Stock w/
Warrants
7/3/2012
Warrants
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
3/28/2012
11/30/2012
12/21/2012
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
Preferred Stock 2
Preferred Stock 2
9/8/2011
12/11/2012
Preferred Stock
Preferred Stock
2, 7
N/A
N/A
Subordinated
Debentures 8
Subordinated
Debentures 8
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
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
Warrants
3/11/2013
4/29/2013
7
R $
682,000
-
2, 7
2, 7
2, 7
N/A
Subordinated
Debentures 8
Subordinated
Debentures 8
Final Disposition
Proceeds
N/A
R $
7,465,100
R $
R $
P $
67,000
235,000
157,050
R $
R $
243,000
750,000
-
N/A
7
P $
361,890
7
P $
125,136
7
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
9/8/2011
7/27/2012
7/27/2012
R $
132,000
7
P $
824,731
2, 7
R $
P $
750,000
53,755
2, 7
Preferred Stock 2
10/19/2011
1/26/2011
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
Warrants
Preferred Stock
0
Preferred Stock 2
2/8/2013
Preferred Stock
2, 7
P $
645,047
$
0
9/1/2011
R $
600,000
$
0
Preferred Stock
Subordinated
Debentures 8
2, 7
3,942,000
Preferred Stock 2
Subordinated
Debentures 8
7
R $
197,000
$
13,612,558
$
0
Subordinated
Debentures 8
2/20/2013
Subordinated
Debentures 8
7
P $
644,726
$
2,892,000
$
0
Preferred Stock 2
12/28/2011
Preferred Stock
2, 7
R $
145,000
11/13/2012
7/27/2012
7/3/2012
3/27/2013
2, 7
47
Seller
Purchase Details
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Footnote
Purchase Date
2, 10, 30 9/29/2010
6/12/2009
First Vernon Bancshares, Inc.
Vernon
AL
Preferred Stock w/ Exercised Warrants
$
6,000,000
Par
9/29/2010
4
2
2, 10
2, 49
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
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
$
$
$
2,760,000
4,700,000
4,000,000
Par
Par
Par
8/25/2011
8, 10, 49
6/12/2009
First Financial Bancshares, Inc.
Lawrence
KS
8
6/12/2009
River Valley Bancorporation, Inc.
Wausau
WI
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
6/19/2009
Century Financial Services Corporation
Santa Fe
NM
6/19/2009
NEMO Bancshares Inc.
Madison
MO
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
2, 41 3/30/2011
2, 230
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
Final Disposition
Proceeds
2, 7,
2, 49
2, 10
8
Capital Repayment
Amount 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Subordinated Debentures
$
3,756,000
Par
$
6,000,000 $
0
Preferred Stock 2
9/29/2010
Preferred Stock
49
$
4,000,000
$
0
9/22/2011
$
3,756,000
$
0
Preferred Stock
Subordinated
Debentures 8
$
10,500,000
$
$
3,510,000
$
0
Preferred Stock 2
Subordinated
Debentures 8
Subordinated
Debentures 8
Preferred Stock 2
8/25/2011
49
Preferred Stock
$
2,560,541
$
0
$
15,000,000
Par
6/6/2012
4
$
$
3,510,000
8,900,000
Par
Par
9/8/2011
49
$
2,639,000
Par
12/11/2012
$
6,400,000
Par
2/8/2013
196
$
6,170,630
$
0
$
12,000,000
Par
$
12,000,000
Par
11/13/2012
157
$
11,439,252
$
0
$
10,000,000
Par
12/20/2012
193
$
9,751,500
$
0
$
2,330,000
Par
4/24/2013
4
7/30/2010
4
$
4,500,000
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
9/22/2011
9/8/2011
12/11/2012
2/8/2013
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
$
11,926,000
Par
$
15,000,000
Par
$
3,400,000,000
Par
3/31/2010
4
$
3,400,000,000
$
0
Warrants
9/21/2010
Warrants
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
Chicago
IL
Preferred Stock w/ Exercised Warrants
$
7,186,000
Par
Dalton
GA
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
$
2,986,000
Par
3/28/2013
230
$
2,831,437
$
0
3/28/2013
$
24,900,000
Par
1/18/2012
4
$
24,900,000
$
0
$
1,700,000
Par
12/15/2010
4
$
1,700,000
$
0
$
35,000,000
Par
7/25/2012
4
$
35,000,000
$
0
$
12,000,000
Par
2/7/2013
195
$
8,912,495
$
0
Preferred Stock 2
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
Preferred Stock
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
950,000,000
Par
6/30/2010
4
$
950,000,000
$
0
8/18/2011
9/15/2011
3/11/2013
49
$
$
$
13,669,000
11,000,000
11,587,256
$
$
$
0
0
0
$
13,125,000
$
210
R $
245,000
2, 7
R $
200,000
7
R $
113,000
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
30a
-
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,
6/26/2009
Metropolitan Bank Group, Inc.
(NC Bancorp, Inc.)
Alliance Bancshares, Inc.
8
6/26/2009
Stearns Financial Services, Inc.
St. Cloud
MN
8
6/26/2009
Signature Bancshares, Inc.
Dallas
TX
8
6/26/2009
Fremont Bancorporation
Fremont
CA
8, 195
6/26/2009
Alliance Financial Services Inc.
Saint Paul
MN
7/10/2009
Lincoln National Corporation
Radnor
PA
Preferred Stock w/ Warrants
$
2, 10, 49
2, 49
2, 222
2, 3
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
7/17/2009
First South Bancorp Inc
Lexington
TN
$
50 000 000
Par
6/26/2009
Subordinated Debentures w/ Exercised
9/28/2011
50
49
222
4
2,370,742
7,500,000
36,875,000
1/18/2012
12/15/2010
7/25/2012
2/7/2013
Warrants
9/16/2010
Warrants
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
11/28/2012
Subordinated
30a
2, 7
2, 7
-
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
R $
R $
P $
410,000
550,000
588,264
R $
2 500 000
2, 7
2, 7
2, 7
7
48
Seller
Footnote
8
Name of Institution
Purchase Date
7/17/2009
First South Bancorp, Inc.
Purchase Details
City
Lexington
State
TN
8
7/17/2009
Great River Holding Company
Baxter
MN
8, 10, 244
7/17/2009
Plato Holdings Inc.
Saint Paul
MN
125
2, 10
2, 207
7/24/2009
7/24/2009
7/24/2009
Yadkin Valley Financial Corporation
Community Bancshares, Inc.
Florida Bank Group, Inc.
Elkin
Kingman
Tampa
NC
AZ
FL
8
7/24/2009
First American Bank Corporation
Elk Grove Village
IL
2
7/31/2009
Chicago Shore Corporation
Chicago
IL
8, 10, 49
7/31/2009
Financial Services of Winger, Inc.
Winger
MN
0
$
8,400,000
Par
$
2,500,000
Par
4/29/2013
244
$
2,478,750
$
0
9/12/2012
125
$
$
$
13,312,000
3,872,000
20,471,000
Par
Par
Par
$
11,643,740
$
0
$
50,000,000
Par
12/21/2011
4
$
15,000,000
$
12/11/2012
4
$
35,000,000
$
0
$
7,000,000
Par
$
3,742,000
Par
9/1/2011
49
$
3,742,000
$
0
$
20,000,000
$
0
$
$
907,937
3,283,000
$
$
0
0
35,000,000
NY
$
6,771,000
Par
9/1/2011
Brandon
MS
Preferred Stock w/ Exercised Warrants
$
52,000,000
Par
9/29/2010
4
9/11/2009
Heartland Bancshares, Inc.
Franklin
IN
Preferred Stock w/ Exercised Warrants
$
7,000,000
Par
7/17/2012
100
$
1,500,000
$
0
$
7,500,000 $
0
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
8, 10, 49
9/4/2009
The State Bank of Bartley
Bartley
NE
$
$
$
$
20,000,000
50,236,000
1,004,000
4,000,000
Par
Par
Par
Par
8/25/2011
49
12/20/2012
11/30/2012
187
$
5,000,000
Par
3/28/2013
231
$
4,752,000
$
0
$
$
$
2,286,675
20,699,000
12,606,191
$
$
$
0
0
0
Final
Disposition
Date
11/28/2012
Subordinated
8
Debentures
Subordinated
Debentures 8
Warrants
Subordinated
Debentures 8
Subordinated
Debentures 8
Subordinated
Debentures 8
Preferred Stock 2
Preferred Stock 2
Preferred Stock 2
Subordinated
Debentures 8
N/A
Final Disposition
Disposition
Final Disposition
Investment
15
Proceeds
Description
R $
2,500,000
Debentures 8
4/29/2013
Subordinated
8
Debentures
12/11/2012
Subordinated
8
Debentures
9/1/2011
8/25/2011
12/20/2012
11/30/2012
Subordinated
Debentures 8
Preferred Stock
$
$
$
3,223,000
20,699,000
16,015,000
Par
Par
Par
12/20/2012
9/22/2011
3/11/2013
191
$
9,720,000
Par
9/8/2011
50
$
9,720,000
$
0
$
1,697,000
Par
9/22/2011
49
$
1,697,000
$
0
49
$
6,771,000
$
0
Preferred Stock 2
Preferred Stock 2
Subordinated
Debentures 8
Subordinated
Debentures 8
Warrants
2/1/2012
Preferred Stock
Preferred Stock
Subordinated
Debentures 8
N/A
Preferred Stock
Preferred Stock
Subordinated
Debentures 8
Subordinated
Debentures 8
Warrants
$
52,000,000 $
0
Preferred Stock 2
9/29/2010
Preferred Stock
0
Preferred Stock 2
7/17/2012
Preferred Stock
2
8/25/2011
Preferred Stock
Subordinated
Debentures 8
172
49
218
3/28/2013
N/A
9/22/2011
3/11/2013
9/8/2011
9/22/2011
7
P $
90,582
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
2, 7
2, 7
R $
537,633
R $
2,600,000
2, 7
$
248,000
2, 7
R $
71,000
30a
R $
375,000
2,7 R $
315,462
2, 7,
9/11/2009
PFSB Bancorporation, Inc.
Pigeon Falls
WI
9/11/2009
First Eagle Bancshares, Inc.
Hanover Park
IL
9/18/2009
9/18/2009
IA Bancorp, Inc.
HomeTown Bankshares Corporation
Iselin
Roanoke
NJ
VA
2, 10, 50
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
9/25/2009
Guaranty Capital Corporation
Belzoni
9/25/2009
GulfSouth Private Bank
9/25/2009
Steele Street Bank Corporation
2, 10, 69 1/27/2012
$
Oswego
8, 231
112
2, 10, 49
36,875,000
Community Bancshares of Mississippi, Inc.
TX
FL
MN
NC
8, 10, 50
$
Pathfinder Bancorp, Inc.
Terrell
Miami
Eden Prairie
Smithfield
3, 8, 30 7/30/2010
10, 21, 132
4
11/28/2012
9/11/2009
The ANB Corporation
U.S. Century Bank
Bank Financial Services, Inc.
KS Bancorp, Inc.
8, 30 9/17/2010
2, 10
2, 10, 144
Subordinated Debentures w/ Exercised
Warrants
Capital
Repayment Date
Capital Repayment
Amount 6
9/11/2009
8/7/2009
8/7/2009
8/14/2009
8/21/2009
49
Subordinated Debentures w/ Exercised
Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Investment Amount
50,000,000
Pricing
Mechanism
Par
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
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
2, 30 9/29/2010
2, 10, 100 7/17/2012
2, 10, 50
Warrants
$
Capital Repayment Details
10/2/2009
10/2/2009
Premier Financial Bancorp, Inc.
Providence Bank
1,500,000
Par
8/25/2011
$
7,500,000
Par
9/17/2010
4
$
$
5,976,000
10,000,000
Par
Par
10,103,000
Par
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
$
3,300,000
Par
$
2,443,320
Par
MS
Subordinated Debentures
$
14,000,000
Par
Destin
FL
$
7,500,000
Par
Denver
CO
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$
11,019,000
Par
Huntington
Rocky Mount
WV
NC
Preferred Stock w/ Exercised Warrants
$
$
Norfolk
VA
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
50
$
$
22,252,000
4,000,000
Par
Par
$
10/31/2012 ## $
3/16/2011 4 $
7,000,000
$
9,093,150
2,606,000
$
$
0
7,497,000
Preferred Stock
Subordinated
Debentures 8
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
9/1/2011
50
$
11,019,000
$
0
7/27/2012
9/15/2011
112
$
$
19,849,222
4,000,000
$
$
0
0
1/27/2012
69
49
Subordinated
Debentures 8
Warrants
Preferred Stock 2
9/17/2010
10/31/2012
Preferred Stock
8/11/2011
Preferred Stock
N/A
N/A
9/1/2011
Subordinated
Debentures 8
9/15/2011
Preferred Stock
30a
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
VA
TN
IN
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Preferred Stock
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
$
12,700,000
$
0
Preferred Stock 2
50
$
6,251,000
$
0
Subordinated
Debentures 8
49
$
$
6,842,000
3,298,420
$
$
0
0
N/A
N/A
202
1/27/2012
Preferred Stock
9/8/2011
Subordinated
Debentures 8
N/A
N/A
N/A
N/A
69
7
-
N/A
N/A
49
Seller
Purchase Details
Name of Institution
City
State
Footnote
Purchase Date
8, 10
11/13/2009
Community Pride Bank Corporation
Ham Lake
2, 10a
2, 10, 184
2, 50
2, 10a
11/13/2009
11/20/2009
11/20/2009
11/20/2009
HPK Financial Corporation
Presidio Bank
McLeod Bancshares, Inc.
Metropolitan Capital Bancorp, Inc.
Chicago
San Francisco
Shorewood
Chicago
3, 10a, 72 2/10/2012
12/4/2009
Broadway Financial Corporation
Los Angeles
CA
2, 200
2, 10
12/4/2009
12/4/2009
Delmar Bancorp
Liberty Bancshares, Inc.
Delmar
Fort Worth
MD
TX
2, 113, 129
12/11/2009
First Community Financial Partners, Inc.
Joliet
IL
MN
IL
CA
MN
IL
Capital Repayment Details
Investment Amount
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
Pricing
Mechanism
Capital
Repayment Date
$
4,400,000
Par
$
$
$
$
5,000,000
10,800,000
6,000,000
2,348,000
Par
Par
Par
Par
Preferred Stock
$
6,000,000
Par
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$
$
9,000,000
6,500,000
Par
Par
2/7/2013
Preferred Stock w/ Exercised Warrants
$
22,000,000
Par
9/12/2012
12/11/2012
12/11/2012
8/18/2011
4
Capital Repayment
Amount 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
Final
Disposition
Date
Final Disposition
Disposition
Investment
15
Description
$
$
$
5,000,000
9,058,369
6,000,000
$
$
$
0
0
0
Preferred Stock
2
Preferred Stock
Preferred Stock 2
12/11/2012
12/11/2012
8/18/2011
Preferred Stock
Preferred Stock
Preferred Stock
2, 7
200
$
5,453,900
$
0
Preferred Stock 2
2/7/2013
Preferred Stock
2, 7
129
$
14,211,450
$
0
Preferred Stock 2
7/27/2012
Preferred Stock
50
2
2, 7
2, 7
Final Disposition
Proceeds
R $
P $
R $
144,000
278,381
300,000
P $
311,944
P $
720,374
2, 7,
2, 10
12/11/2009
Wachusett Financial Services, Inc.
Clinton
MA
12,000,000
4/4/2012
$
3,000,000
$
9,000,000
1/30/2013
4
$
4,000,000
$
5,000,000
Par
Preferred Stock
N/A
N/A
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
$
0
N/A
N/A
N/A
$
0
N/A
N/A
N/A
4
$
2,000,000
$
SC
CA
PA
CO
PA
PA
$
$
$
$
$
$
6,319,000
6,000,000
2,417,000
11,881,000
6,335,000
1,505,000
Par
Par
Par
Par
Par
Par
9/8/2011
9/1/2011
9/15/2011
7/27/2012
49
$
$
$
$
6,319,000
6,000,000
2,417,000
6,138,000
$
$
$
$
9/22/2011
49
$
1,505,000
$
0
San Diego
CA
Preferred Stock
$
2,032,000
Par
12/20/2012
188
$
1,832,697
$
0
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
$
$
$
$
$
$
$
$
$
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
$
$
$
$
$
$
$
$
$
$
2,836,000
$
2,359,000
2, 10a, 49
2, 10a, 49
2, 10a, 49
2, 10a, 114
2, 10a
2, 10a, 49
12/11/2009
12/11/2009
12/11/2009
12/11/2009
12/11/2009
12/11/2009
Greenville
Los Angeles
Exton
Denver
Devon
Limerick
2, 10a, 188
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
GrandSouth Bancorporation
1st Enterprise Bank
First Resource Bank
First Western Financial, Inc.
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.
49
49
114
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
7/21/2011
7/21/2011
11/29/2012
49
Medallion Bank
Catskill Hudson Bancorp, Inc
TriSummit Bank
Atlantic Bancshares, Inc.
Union Financial Corporation
9/22/2011
N/A
12/29/2010
NE
12/22/2009
12/22/2009
12/22/2009
12/29/2009
12/29/2009
Preferred Stock 2
Par
West Point
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
49
175
Preferred Stock w/
Warrants
Subordinated
Debentures 8
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
2,000,000
Nationwide Bankshares, Inc.
$
$
$
9,698,000
3,500,000
3,145,973
$
$
$
0
0
0
0
3,881,000
0
0
0
2
Preferred Stock
Preferred Stock 2
N/A
12/29/2010
7/21/2011
7/21/2011
N/A
Preferred Stock
Preferred Stock
N/A
7/25/2012
4
$
600,000
$
3/9/2012
73
$
4,500,000
$
0
Preferred Stock 2
3/9/2012
Preferred Stock
$
650,000
$
0
N/A
N/A
N/A
1,579,000
113
Preferred Stock w/
Warrants
Subordinated
Debentures 8
N/A
N/A
N/A
N/A
$
12/11/2009
8, 10, 38
$
Subordinated Debentures w/ Exercised
Warrants
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock
Preferred Stock w/ Exercised Warrants
8
2, 73 3/9/2012
Preferred Stock w/ Exercised Warrants
4
7
R $
100,000
2, 7
N/A
N/A
N/A
N/A
R $
34,000
N/A
2, 7
2, 7
2, 7
2, 7
P $
R $
R $
-
104,375
182,000
65,000
N/A
N/A
N/A
N/A
N/A
256,119
P $
-
N/A
N/A
2, 7
R
2, 7
R
$
$
N/A
55,000
113,000
$
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
CO
Subordinated Debentures w/ Exercised
Warrants
$
$
4,500,000
3,035,000
Par
Par
3/9/2011
38
R
73
N/A
50
Seller
Purchase Details
Name of Institution
City
State
Capital Repayment Details
Investment Amount
Par
Par
11/9/2012
155
$
4,217,361
$
0
N/A
N/A
N/A
4
$
2,453,000
$
0
N/A
N/A
N/A
164
$
$
1,613,658
4,000,000
$
$
0
0
N/A
Preferred Stock 2
N/A
9/22/2011
N/A
Preferred Stock
2, 10a, 155
2, 10a
2, 10a, 30 9/29/2010
2, 10a
2, 10a, 164
2, 10a, 49
12/29/2009
12/29/2009
Western Illinois Bancshares Inc.
DeSoto County Bank
Monmouth
Horn Lake
IL
MS
Preferred Stock
Preferred Stock
$
$
12/29/2009
Lafayette Bancorp, Inc.
Oxford
MS
Preferred Stock
$
2,453,000
Par
9/29/2010
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
$
204,943,827,320
Total Purchase Amount *
Final Disposition
Disposition
Investment
15
Description
Capital
Repayment Date
Purchase Date
4,567,000
1,508,000
Final
Disposition
Date
Pricing
Mechanism
Footnote
49
Total Repaid **
Losses***
TOTAL TREASURY CAPITAL PURCHASE PROGRAM (CPP) OUTSTANDING INVESTMENT AMOUNT
Capital Repayment
Amount 6
Treasury Investment Remaining
After Capital Repayment
Remaining
Remaining Capital
Investment
Amount
Description
$ 195,874,826,953
$
(3,429,316,136)
$
5,639,684,231
Final Disposition
Proceeds
N/A
-
2, 7
Total Warrant Proceeds****
N/A
N/A
R $
$
92,000
7,840,073,626
* 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.
51
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.
52
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.
53
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.
54
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.
55
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.
56
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.
57
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.
58
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
6
6
6
1, 2
1, 2
1, 2
1, 2
1
1
1
1
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
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
6
$9,734,000
$0
59
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
6
5
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
5
$350,000
$0
Total Capital Repayment Amount
TOTAL TREASURY COMMUNITY DEVELOPMENT INITIATIVE (CDCI) INVESTMENT AMOUNT
$
$43,385,900
526,687,100
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 5.2 of the CDCI Securities Purchase Agreement
6/ Repayment pursuant to Section 6.10 of the CDCI Securities Purchase Agreement
60
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 %
$
5/20/2009
General
Motors
Purchase
Debt Obligation w/ Additional
Note
$
4,000,000,000
Par
5
7/10/2009
Exchange for preferred and
common stock in New GM
$
4,000,000,000
6/3/2009
Purchase
Purchase
General Motors
Corporation
General Motors
Corporation
Debt Obligation w/ Additional
$
Note
Debt Obligation w/ Additional
$
Note
360,624,198
30,100,000,000
Par
Par
6
8
7/10/2009
Exchange for preferred and
common stock in New GM
$
360,624,198
7/10/2009
Exchange for preferred and
common stock in New GM
$
22,041,706,310
N/A
7/10/2009
Transfer of debt to New GM
$
7,072,488,605
N/A
7/10/2009
Debt left at Old GM
$
985,805,085
N/A
$
2,670,000,000
10,
Preferred Stock
11, 24
$
2,100,000,000
3/2/2011 Disposition 28
$
7
General Motors
Company
Chrysler
FinCo
Purchase
Chrysler FinCo
Debt Obligation w/ Additional
$
Note
1,500,000,000
Par
10,
11, 25
4/29/2009
4/29/2009
Purchase
Chrysler Holding
Purchase
Chrysler Holding
Purchase
Chrysler Holding
5/1/2009
Purchase
Old Chrysler
5/20/2009
Purchase
Old Chrysler
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
$
4,000,000,000
$
-
General Motors
Holdings LLC
11, 12 Debt Obligation
$
7,072,488,605
$
280,130,642
$
1,888,153,580
$
-
6/10/2009
Par
$
500,000,000
N/A
17
Completion of bankruptcy
proceeding; transfer of
collateral security to liquidation
trust
$
(1,888,153,580)
N/A
0
$
2,139,406,778
N/A
$
0
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
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
N/A
17.69%
9
9
Motors Liquidation
Company
29
Debt Obligation
$
985,805,085
19
Chrysler Holding
20
Debt obligation w/
additional note
$
3,500,000,000
15
4/30/2010
$
$
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
$
6,713,489 Debt Obligation
$
849,169,063
435,097 Debt Obligation
$
848,733,966
$
1,496,500,945
Partial Repayment
23 Old Carco
Liquidation Trust
23
Right to recover
proceeds
N/A
$
Debt Obligation w/
3,499,055 Additional Note
Debt Obligation w/
31,810,122 Additional Note
Debt Obligation w/
51,136,084 Additional Note
Debt Obligation w/
44,357,710 Additional Note
3/17/2009
Partial Repayment
4/17/2009
Partial Repayment
5/18/2009
Partial Repayment
6/17/2009
Partial Repayment
7/14/2009
Repayment
$
1,369,197,029
7/14/2009
Repayment*
$
15,000,000
N/A
-
5/14/2010
Termination and settlement
payment 20
$
1,900,000,000
N/A
-
N/A
14
16
-
Transfer of debt to New
Chrysler
N/A
9
13
Par
2,667,000,000
60.8%
Common Stock
Farmington
Hills, MI
1/2/2009
Remaining
Investment
Amount/Equity %
25
11/18/2010 Partial Disposition
General Motors
Company
7
12/15/2010 Repayment
10/23/2012 Partial Repayment
1/16/2009
Remaining
Investment
Description
7
N/A
N/A
Amount/ Proceeds
3
Detroit, MI
5/27/2009
Type
73.8%
Common Stock
Trust Preferred
Securities
27
Date
5,937,500,000
7
General Motors
Corporation
Payment or Disposition1
Treasury Investment After Exchange/Transfer/Other
$
$
$
$
7/10/2009
Repayment
$
280,130,642
5/10/2010
Proceeds from sale of collateral
$
30,544,528
9/9/2010
Proceeds from sale of collateral
$
Additional Note
$
1,464,690,823
$
1,413,554,739
$
1,369,197,029
$
0
$
0
Right to recover
proceeds
Right to recover
9,666,784
proceeds
N/A
N/A
61
Chrysler
12/29/2010 Proceeds from sale of collateral
$
7,844,409
Right to recover
proceeds
N/A
4/30/2012
Proceeds from sale of collateral
$
9,302,185
Right to recover
proceeds
N/A
5/24/2011
Repayment - Principal
$
5,076,460,000
5/24/2011
Termination of undrawn facility 31
$
2,065,540,000
5/24/2011
Repayment* - Additional Note
$
288,000,000
5/24/2011
Repayment* - Zero Coupon Note
$
100,000,000
7/21/2011
Disposition
$
560,000,000
Total Payments $
42,032,554,373
Additional Proceeds * $
403,000,000
Auburn Hills,
MI
5/27/2009
Purchase
New Chrysler
Debt Obligation w/ Additional
$
Note, Zero Coupon Note,
Equity
18
6,642,000,000
N/A
6/10/2009
Issuance of equity in New
Chrysler
$
-
N/A
Chrysler Group
LLC
Chrysler Group
LLC
Total Initial Investment Amount $
19, 31 Debt obligation w/
additional note &
zero coupon note
30
81,344,932,551
Total Treasury Investment Amount $
Common equity
$
7,142,000,000
6.6%
N/A
$
0
N/A
-
33,758,684,598
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.
AUTOMOTIVE SUPPLIER SUPPORT PROGRAM
62
Seller
Footnote
Name of Institution
Date
City
State
Transaction Type
Investment
Description
Investment
Amount
Pricing Mechanism
Adjustment Details
Adjustment
Adjusted or Final
Amount
Investment Amount
Adjustment
Date
Payment or Disposition4
Date
2/11/2010
3/4/2010
11/20/2009
1
4/9/2009
GM Supplier Receivables LLC
Wilmington
DE
Purchase
Debt Obligation w/
Additional Note
7/8/2009
$ 3,500,000,000
3
$ (1,000,000,000) $
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
N/A
Total Repayments
$
413,076,735
$
290,000,000
$
1,000,000,000
$
123,076,735
Type
Partial
repayment
Partial
repayment
Remaining Investment
Description
Amount
Debt Obligation w/ Additional Note
$
140,000,000
Debt Obligation w/ Additional Note
$
100,000,000
Repayment5
Additional Note
$
50,000,000
4/5/2010
Payment6
None
$
56,541,893
3/9/2010
4/7/2010
Repayment5
Payment7
Additional Note
None
$
$
123,076,735
44,533,054
$
101,074,947
Total Proceeds from Additional Notes
1/ The loan was funded through GM Supplier Receivables, LLC, a special purpose vehicle created by General Motors Corporation. The amount of $3,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/3/2009. General Motors Company assumed GM Supplier
2/ The loan was funded through Chrysler Receivables SPV LLC, a special purpose vehicle created by Chrysler LLC. The amount of $1,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/7/2009. Chrysler Group LLC assumed Chrysler Receivables SPV LLC on
3/ Treasury issued notice to the institution of the permanent reduced commitment on 7/8/2009; the reduction was effective on 7/1/2009.
4/ Does not include accrued and unpaid interest due on the amount of principal repayment, which interest must be paid at the time of principal repayment.
5/ All outstanding principal drawn under the credit agreement was repaid.
6/ Treasury's commitment was $2.5 billion (see note 3). As of 4/5/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under the loan, all of which have been repaid.
7/ Treasury's commitment was $1 billion (see note 3). As of 4/7/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under the loan, all of which have been repaid.
63
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.
64
TARGETED INVESTMENT PROGRAM
Seller
Footnote
1
Date
Name of Institution
12/31/2008 Citigroup Inc.
Bank of America
1/16/2009 Corporation
Treasury Investment Remaining After Capital
Repayment
Capital Repayment Details
State
Transaction
Type
New York
NY
Purchase
Charlotte
NC
Purchase
City
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Investment Description
Trust Preferred Securities
w/ Warrants
Preferred Stock w/
Warrants
$
20,000,000,000
Par
12/23/2009
$
20,000,000,000
Par
12/9/2009
TOTAL
$
2
Capital Repayment
Amount
Remaining Capital
Amount
$
20,000,000,000
$
$
20,000,000,000
$
$
40,000,000,000
Final Disposition
Remaining Capital
Description
Final Disposition Date
0
Warrants
1/25/2011
A
Warrants
$
190,386,428
0
Warrants
3/3/2010
A
Warrants
$
1,236,804,513
$
1,427,190,941
3
Final Disposition
Description
Final Disposition
Proceeds
2
40,000,000,000
TOTAL CAPITAL REPAYMENT
TOTAL TREASURY TIP INVESTMENT AMOUNT
$
Total Warrant Proceeds
0
1/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock, Series
I (TIP Shares) “dollar for dollar” for Trust Preferred Securities.
2/ Repayment pursuant to Title VII, Section 7001 of the American Recovery and Reinvestment Act of 2009.
3/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution, and "A" represents the proceeds to Treasury, after underwriting fees, from a sale by Treasury in a registered public offering of the warrants issued by the financial institution.
ASSET GUARANTEE PROGRAM
Initial Investment
Footnote
1
Date
1/16/2009
Seller
Name of Institution
Citigroup Inc.
12/23/2009 Citigroup Inc.
City
New York
New York
State
NY
NY
Type
Guarantee
Termination
Premium
Description
Master Agreement
Termination Agreement
Guarantee Limit
$
$
Preferred Stock
5,000,000,000
w/ Warrants
$
Exchange/Transfer/Other Details
Amount
$
Date
2
6/9/2009
Exchange preferred stock for Trust Preferred Securities
$
trust preferred securities
w/ Warrants
4,034,000,000
4
9/29/2010
Exchange trust preferred
securities for trust preferred
securities
2,246,000,000
4,034,000,000
Type
Payment or Disposition
Footnote
Description
Amount
Trust Preferred Securities
$
w/ Warrants
Footnote
Date
Type
3
12/23/2009
5
9/30/2010 Disposition
$
1/25/2011 Warrant Auction
$
Partial cancellation for early
termination of guarantee
Amount
$ (1,800,000,000)
Remaining Premium
Description
Trust Preferred
Securities w/ Warrants
Remaining
Premium
$ 2,234,000,000
$
0
67,197,045 None
$
0
$ 894,000,000.00 None
$
0
2,246,000,000 Warrants
(5,000,000,000)
3
TOTAL
Description
0
6
12/28/2012
7
2/4/2013
Trust preferred securities
received from the FDIC
Exchange Trust preferred
securities for subordinated
note
Trust Preferred Securities $
800,000,000.00
$
894,000,000.00
Subordinated Note
8
2/8/2013 Disposition
Total Proceeds
$
3,207,197,045
1/ In consideration for the guarantee, Treasury received $4.03 billion of preferred stock, which pays 8% interest.
2/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock Series G (AGP Shares), received as premium with the AGP agreement, “dollar for dollar” for Trust Preferred
Securities.
3/ On 12/23/2009, Treasury entered into a Termination Agreement with the other parties to the Master Agreement which served to terminate Treasury’s guarantee and obligations under the Master Agreement. In connection with the early termination of the guarantee, Treasury agreed to cancel $1.8 billion of the AGP Trust Preferred Securities, and the Federal Deposit Insurance Corporation (FDIC) and Treasury agreed that, subject to the
conditions set out in the Termination Agreement, the FDIC may transfer $800 million of Trust Preferred Securities to Treasury at the close of Citigroup’s participation in the FDIC’s Temporary Liquidity Guarantee Program.
4/ On 9/29/2010, Treasury entered into an agreement with Citigroup Inc. to exchange $2,234,000,000 in aggregate liquidation preference of its trust preferred securities for $2,246,000,000 in aggregate liquidation preference of trust preferred securities with certain modified terms. At the time of exchange, Citigroup Inc. paid the outstanding accrued and unpaid dividends.
5/ On 9/30/2010, Treasury entered into underwritten offering of the trust preferred securities, the gross proceeds of which do not include accumulated and unpaid distributions from the date of the exchange through the closing date.
6/ 12/28/2012, as contemplated by the Termination Agreement and the Letter Agreement dated 12/23/2009, between Treasury and the Federal Deposit Insurance Corporation (FDIC), Treasury received from the FDIC, Citigroup Inc. trust preferred securities in aggregate liquidation preference equal to $800 million and approximately $183 million in dividend and interest payments from those securities.
7/ On 2/4/2013, Treasury exchanged $800 million in Citigroup Capital XXXIII Trust Preferred Securities (TruPs) for $894 million in Citigroup subordinated notes pursuant to an agreement between Citigroup and Treasury executed on 2/4/2013. Accrued interest on the TruPs was received at the time of the exchange.
8/ On 2/8/2013, Treasury completed the sale of its Citigroup subordinated notes for $894 million plus accrued interest, pursuant to an underwriting agreement executed on 2/8/2012.
65
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.
66
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.
67
CREDIT MARKET PROGRAMS
TERM ASSET-BACKED SECURITIES LOAN FACILITY
Seller
Footnote
1
Date
3/3/2009
Name of Institution
TALF LLC
City
Wilmington
State
DE
Transaction
Type
Purchase
Investment Description
Debt Obligation w/ Additional Note
Investment Amount
$
20,000,000,000
Pricing Mechanism
N/A
Adjusted Investment
Date
Amount
2
7/19/2010
$
4,300,000,000
6/28/2012
3
1/15/2013
4
$
1,400,000,000
$
100,000,000
Final Investment Amount
$
100,000,000
Total Investment Amount $
100,000,000
Repayment 5
Description
Date
Amount
2/6/2013
Principal Repayment
$
100,000,000
2/6/2013
3/6/2013
4/4/2013
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
$
$
$
212,829,610
97,594,053
6,069,968
$
416,493,632
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.
68
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.
69
CREDIT MARKET PROGRAMS
LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)
Preliminary Adjusted
Commitment
Seller
Footnote
Date
1
9/30/2009
2
1
2
9/30/2009
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.
Invesco Legacy Securities Master Fund, L.P.
City
Wilmington
Wilmington
Wilmington
Wilmington
Transaction
Type
State
DE
DE
DE
DE
Purchase
Purchase
Purchase
Purchase
Commitment
Amount
Investment Description
Membership Interest
Debt Obligation w/ Contingent Proceeds
Membership Interest
Debt Obligation w/ Contingent Proceeds
$
$
$
$
1,111,111,111
2,222,222,222
1,111,111,111
2,222,222,222
Pricing
Mechanism
Date
Par
1/4/2010
Par
Par
Par
1/4/2010
3
Amount
4 $
4 $
3/22/2010 6 $
3/22/2010 6
156,250,000
200,000,000
1,244,437,500
$ 2,488,875,000
Final Investment
Final Commitment Amount
Date
1/4/2010
1/4/2010
7/16/2010
7
Amount
Amount
4 $
4 $
$
9/26/2011 8 $
156,250,000
200,000,000
856,000,000
1,161,920,000
9
Amount
$
$
$
$
156,250,000
200,000,000
580,960,000
1,161,920,000
Capital Repayment Details
Repayment
Date
1/15/2010
Investment After Capital Repayment
Repayment Amount
$
156,250,000
Amount
$
1/11/2010
$
34,000,000
$
1/12/2010
$
166,000,000
$
2/18/2010
$
4/15/2010
9/15/2010
Description
0
0
$
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
3/29/2012
$
161,386,870
$
$
4/15/2010
9/15/2010
$
7,066,434
$
$
60,022,674
$
11/15/2010
$
132,928,628
$
12/14/2010
$
31,689,230
$
1/14/2010
$
27,355,590
$
2/14/2011
$
92,300,138
$
3/14/2011
$
128,027,536
$
4/14/2011
$
155,409,286
$
5/20/2011
$
75,085,485
$
6/14/2011
$
18,259,513
$
7/15/2011
$
62,979,809
$
8/12/2011
$
20,762,532
$
10/17/2011
$
37,384,574
$
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
Contingent Proceeds
578,515,653 Membership Interest
4,888,718
Description
1/29/2010
5
$
20,091,872
$
48,922
Debt Obligation w/
166,000,000 Contingent Proceeds
$
$
Date
Membership Interest
2,444,347
2/18/2010
Distribution or Disposition
0
5
$
502,302
$
1,223
5
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
Membership Interest
5
3/29/2012
Distribution
8/9/2012
Distribution
9/28/2012
Final Distribution
10
5
5
$
56,390,209
$
1,056,751
$
18,772
Debt Obligation w/
1,157,031,282 Contingent Proceeds
Debt Obligation w/
1,149,964,848 Contingent Proceeds
Debt Obligation w/
1,089,942,174 Contingent Proceeds
Debt Obligation w/
957,013,546 Contingent Proceeds
Debt Obligation w/
925,324,316 Contingent Proceeds
Debt Obligation w/
897,968,726 Contingent Proceeds
Debt Obligation w/
805,668,588 Contingent Proceeds
Debt Obligation w/
677,641,052 Contingent Proceeds
Debt Obligation w/
522,231,766 Contingent Proceeds
Debt Obligation w/
447,146,281 Contingent Proceeds
Debt Obligation w/
428,886,768 Contingent Proceeds
Debt Obligation w/
365,906,960 Contingent Proceeds
Debt Obligation w/
345,144,428 Contingent Proceeds
Debt Obligation w/
307,759,854 Contingent Proceeds
Debt Obligation w/
300,656,067 Contingent Proceeds
Debt Obligation w/
294,078,924 Contingent Proceeds
70
Final Investment
Preliminary Adjusted
Seller
Footnote
1
2
1
Date
10/1/2009
10/1/2009
10/2/2009
Name of Institution
Wellington Management Legacy Securities PPIF Master Fund, LP
Wellington Management Legacy Securities PPIF Master Fund, LP
AllianceBernstein Legacy Securities Master Fund, L.P.
Commitment
City
Wilmington
Wilmington
Wilmington
Transaction
State
Type
DE
DE
DE
Purchase
Purchase
Purchase
Commitment
Amount
Investment Description
Membership Interest
Debt Obligation w/ Contingent Proceeds
Membership Interest
$
$
$
1,111,111,111
2,222,222,222
1,111,111,111
Pricing
Mechanism
Par
Par
Par
Date
3/22/2010 6 $
3/22/2010 6 $
3/22/2010 6 $
3
Amount
1,262,037,500
2,524,075,000
1,244,437,500
Final Commitment Amount
Date
7/16/2010
7/16/2010
7/16/2010
7
Amount
Amount
$
$
$
1,149,487,000
2,298,974,000
1,150,423,500
9
Amount
$
$
$
1,149,487,000
2,298,974,000
1,064,141,738
Capital Repayment Details
Repayment
Date
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 $
3/22/2010 6 $
2,488,875,000
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
Amount
2/14/2012
$
9,610,173
$
3/14/2012
$
284,468,750
$
Description
0
62,499,688
$
1,086,987,313 Membership Interest
9/17/2012
$
152,499,238
$
934,488,075 Membership Interest
1/15/2013
$
254,581,112
$
679,906,963 Membership Interest
2/13/2013
$
436,447,818
$
243,459,145 Membership Interest
3/13/2013
$
243,459,145
$
6/26/2012
$
125,000,000
$
2,173,974,000
9/17/2012
$
305,000,000
$
1,868,974,000
12/6/2012
$
800,000,000
$
1,068,974,000
12/21/2012
$
630,000,000
$
438,974,000
1/15/2013
$
97,494,310
$
341,479,690
1/24/2013
$
341,479,690
$
- Contingent Proceeds
1/15/2010
$
44,043
$
1,064,097,694 Membership Interest
0
Membership Interest
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
Debt Obligation w/
Contingent Proceeds
2/14/2011
$
712,284
$
1,063,385,410 Membership Interest
3/14/2011
$
6,716,327
$
1,056,669,083 Membership Interest
4/14/2011
$
7,118,388
$
1,049,550,694 Membership Interest
5/14/2012
$
39,999,800
$
1,009,550,894 Membership Interest
6/14/2012
$
287,098,565
$
722,452,330 Membership Interest
7/16/2012
$
68,749,656
$
653,702,674 Membership Interest
8/14/2012
$
361,248,194
$
292,454,480 Membership Interest
5/16/2011
$
292,454,480
30,244,575
$
$
6/14/2011
$
88,087
$
5/3/2012
$
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
$
Date
Contingent Proceeds
$
$
Distribution or Disposition
Description
Proceeds
Debt Obligation w/
284,468,750 Contingent Proceeds
7/16/2012
8/30/2012
2
Investment After Capital Repayment
-
5
3/29/2012
Distribution
8/9/2012
Distribution
9/28/2012
Final Distribution
3/13/2013
Distribution
4/17/2013
Distribution
8/30/2012
Distribution
9/12/2012
Distribution
9/19/2012
Distribution
$
3,434,460
$
40,556
$
469
$
479,509,240
$
16,195,771
$
75,278,664
5
5
10
10
10
10
10
5
5, 11
10
10
10
10
10
10
10
10
Membership Interest
10
10/1/2012
Distribution
12/21/2012
Distribution
10/3/2012
Distribution
12/21/2012
Distribution
5, 11
5, 11
5, 11
5, 11
5, 11
$
79,071,633
$
106,300,357
$
25,909,972
$
678,683
$
12,012,957
$
16,967
Debt Obligation w/
2,097,755,425 Contingent Proceeds
Debt Obligation w/
2,097,667,339 Contingent Proceeds
Debt Obligation w/
2,017,667,339 Contingent Proceeds
Debt Obligation w/
1,987,667,339 Contingent Proceeds
Debt Obligation w/
1,487,667,339 Contingent Proceeds
Debt Obligation w/
1,443,467,339 Contingent Proceeds
Debt Obligation w/
1,323,467,339 Contingent Proceeds
Debt Obligation w/
1,305,967,339 Contingent Proceeds
Debt Obligation w/
855,967,339 Contingent Proceeds
Debt Obligation w/
583,467,339 Contingent Proceeds
-
Contingent Proceeds
8/14/2012
$
90,269,076
$
437,915,724 Membership Interest
9/17/2012
$
8,833,632
$
429,082,092 Membership Interest
10/15/2012
$
10,055,653
$
419,026,439 Membership Interest
5, 11
5, 11
10
10
10
71
Final Investment
Preliminary Adjusted
Seller
Footnote
Date
Name of Institution
Commitment
City
Transaction
State
Type
Commitment
Amount
Investment Description
Pricing
Mechanism
Date
3
Amount
Final Commitment Amount
Date
7
Amount
Amount
9
Amount
Capital Repayment Details
Repayment
Date
11/5/2012
2
1
10/2/2009
Blackrock PPIF, L.P.
10/30/2009 AG GECC PPIF Master Fund, L.P.
Wilmington
Wilmington
DE
DE
Purchase
Purchase
Debt Obligation w/ Contingent Proceeds
Membership Interest
$
$
2,222,222,222
1,111,111,111
Par
Par
3/22/2010 6 $
3/22/2010 6 $
2,488,875,000
1,271,337,500
7/16/2010
7/16/2010
$
$
1,389,960,000
1,243,275,000
$
$
1,053,000,000
1,117,399,170
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 $
3/22/2010 6 $
2,542,675,000
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
Amount
$
9/28/2012
$
35,000,000
$
$
25,334,218
$
10/18/2012
$
794,459,374
$
- Contingent Proceeds
175,000,000
$
8/14/2012
8/31/2012
$
5,539,055
$
$
16,000,000
9/17/2012
$
$
1,667,352
$
2/14/2012
$
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
$
-
-
$
3,521,835
$
615,853,465 Membership Interest
$
104,959,251
$
510,894,215 Membership Interest
9/17/2012
$
72,640,245
$
438,253,970 Membership Interest
9/28/2012
$
180,999,095
$
257,254,875 Membership Interest
8/14/2012
12/5/2012
Distribution
11/5/2012
Distribution
12/5/2012
Distribution
2/21/2013
Distribution
2/27/2013
Distribution
3/14/2013
Distribution
4/19/2013
Distribution
4/25/2013
Distribution
5, 11
5, 11
5, 11
5, 11
Proceeds
$
297,511,708
$
57,378,964
$
8,289,431
$
1,433,088
$
184,431,858
10
10
10
10
10
10
10
10
10
10
10
Contingent Proceeds
619,375,301 Membership Interest
4/14/2011
Distribution
5, 11
5, 11
5, 11
5, 11
5, 11
$
20,999,895
$
156,174,219
$
105,620,441
$
42,099,442
$
17,118,005
$
1,052,497
Debt Obligation w/
2,060,598,340 Contingent Proceeds
Debt Obligation w/
1,861,673,340 Contingent Proceeds
Debt Obligation w/
1,711,673,340 Contingent Proceeds
Debt Obligation w/
1,674,173,340 Contingent Proceeds
Debt Obligation w/
1,537,373,340 Contingent Proceeds
Debt Obligation w/
1,287,373,340 Contingent Proceeds
Debt Obligation w/
806,023,340 Contingent Proceeds
Debt Obligation w/
531,433,016 Contingent Proceeds
Debt Obligation w/
383,898,721 Contingent Proceeds
Debt Obligation w/
201,075,230 Contingent Proceeds
$
$
Description
11/5/2012
10
Membership Interest
1,202,957
3/14/2011
Date
- Membership Interest 10
10/15/2012
$
Distribution or Disposition
Description
Debt Obligation w/
878,000,000 Contingent Proceeds
Debt Obligation w/
872,460,945 Contingent Proceeds
Debt Obligation w/
856,460,945 Contingent Proceeds
Debt Obligation w/
854,793,592 Contingent Proceeds
Debt Obligation w/
819,793,592 Contingent Proceeds
Debt Obligation w/
794,459,374 Contingent Proceeds
7/31/2012
2/21/2013
2
Investment After Capital Repayment
4/19/2013
Distribution
4/25/2013
Distribution
5, 11
5, 11
10
10
10
10
10
72
Final Investment
Preliminary Adjusted
Seller
Footnote
2
1
2
1
Date
11/4/2009
Name of Institution
RLJ Western Asset Public/Private Master Fund, L.P.
11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P.
11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P.
12/18/2009 Oaktree PPIP Fund, L.P.
Commitment
City
Wilmington
Wilmington
Wilmington
Wilmington
Transaction
State
Type
DE
DE
DE
DE
Purchase
Purchase
Purchase
Purchase
Commitment
Amount
Investment Description
Debt Obligation w/ Contingent Proceeds
Membership Interest
Debt Obligation w/ Contingent Proceeds
Membership Interest
$
$
$
$
2,222,222,222
1,111,111,111
2,222,222,222
1,111,111,111
Pricing
Mechanism
Par
Par
Par
Par
Date
3/22/2010 6 $
3/22/2010 6 $
3/22/2010 6 $
3/22/2010 6 $
3
Amount
2,488,875,000
1,244,437,500
2,488,875,000
1,244,437,500
Final Commitment Amount
Date
7/16/2010
7/16/2010
7/16/2010
7/16/2010
7
Amount
Amount
$
$
$
$
1,241,156,516
474,550,000
949,100,000
1,160,784,100
9
Amount
$
$
$
$
1,241,000,000
474,550,000
949,000,000
555,904,633
Capital Repayment Details
Repayment
Date
Investment After Capital Repayment
Repayment Amount
Amount
10/15/2012
$
134,999,325
$
10/19/2012
$
122,255,550
$
5/13/2011
$
13,531,530
$
7/31/2012
$
618,750,000
$
8/9/2012
$
151,006,173
$
8/14/2012
$
11,008,652
$
8/23/2012
$
160,493,230
$
8/29/2012
$
103,706,836
$
9/17/2012
$
20,637,410
$
9/21/2012
$
161,866,170
$
Distribution or Disposition
Description
122,255,550 Membership Interest
-
Date
Description
Proceeds
10
Membership Interest
10/19/2012
Distribution
11/2/2012
Distribution
12/21/2012
Distribution
10/19/2012
Distribution
11/2/2012
Distribution
12/21/2012
Distribution
3/25/2013
Distribution
4/16/2013
Distribution
4/16/2013
Distribution
10
5, 11
5, 11
5, 11
$
147,464,888
$
148,749,256
$
549,997
$
6,789,287
$
3,718,769
$
13,750
Debt Obligation w/
1,227,468,470 Contingent Proceeds
Debt Obligation w/
608,718,470 Contingent Proceeds
Debt Obligation w/
457,712,297 Contingent Proceeds
Debt Obligation w/
446,703,645 Contingent Proceeds
Debt Obligation w/
286,210,415 Contingent Proceeds
Debt Obligation w/
182,503,579 Contingent Proceeds
Debt Obligation w/
161,866,170 Contingent Proceeds
-
Contingent Proceeds
9/17/2012
$
74,499,628
$
400,050,373 Membership Interest
11/15/2012
$
59,787,459
$
340,262,914 Membership Interest
12/14/2012
$
40,459,092
$
299,803,821 Membership Interest
1/15/2013
$
10,409,317
$
289,394,504 Membership Interest
1/30/2013
$
219,998,900
$
69,395,604 Membership Interest
2/25/2013
$
39,026,406
$
30,369,198 Membership Interest
3/25/2013
$
30,369,198
$
-
5, 11
5, 11
5, 11
10
10
10
10
10
10
Membership Interest
10
5, 11
5, 11
$
164,629,827
$
71,462,104
$
7,143,340
Debt Obligation w/
800,000,000 Contingent Proceeds
Debt Obligation w/
680,424,484 Contingent Proceeds
Debt Obligation w/
485,424,484 Contingent Proceeds
Debt Obligation w/
437,668,717 Contingent Proceeds
Debt Obligation w/
375,212,503 Contingent Proceeds
9/17/2012
$
149,000,000
$
11/15/2012
$
119,575,516
$
11/20/2012
$
195,000,000
$
12/14/2012
$
47,755,767
$
1/15/2013
$
62,456,214
$
1/24/2013
$
375,212,503
$
- Contingent Proceeds
7/15/2011
$
39,499,803
$
516,404,830 Membership Interest
3/14/2012
$
39,387,753
$
477,017,077 Membership Interest
9/17/2012
$
22,111,961
$
454,905,116 Membership Interest
10/15/2012
$
32,496,972
$
422,408,144 Membership Interest
11/15/2012
$
111,539,536
$
310,868,608 Membership Interest
255,328,581 Membership Interest
12/14/2012
$
55,540,026
$
1/15/2013
$
14,849,910
$
240,478,671 Membership Interest
4/12/2013
$
18,268,328
$
222,210,343 Membership Interest
5, 11
10
10
10
10
10
10
10
10
73
Final Investment
Preliminary Adjusted
Seller
Footnote
2
Date
Name of Institution
12/18/2009 Oaktree PPIP Fund, L.P.
Commitment
City
Wilmington
Transaction
State
Type
DE
Purchase
Commitment
Amount
Investment Description
Debt Obligation w/ Contingent Proceeds
INITIAL COMMITMENT AMOUNT
$
$
2,222,222,222
30,000,000,000
Pricing
Mechanism
Par
Date
3
Amount
3/22/2010 6 $
2,488,875,000
Final Commitment Amount
Date
7/16/2010
FINAL COMMITMENT AMOUNT
7
Amount
Amount
$
$
2,321,568,200
9
Amount
Capital Repayment Details
Repayment
Date
Investment After Capital Repayment
Repayment Amount
Amount
Description
7/15/2011
$
79,000,000
$
3/14/2012
$
78,775,901
$
Debt Obligation w/
1,032,000,000 Contingent Proceeds
Debt Obligation w/
953,224,099 Contingent Proceeds
9/17/2012
$
44,224,144
$
Debt Obligation w/
908,999,956 Contingent Proceeds
10/15/2012
$
64,994,269
$
Debt Obligation w/
844,005,687 Contingent Proceeds
11/15/2012
$
223,080,187
$
Debt Obligation w/
620,925,500 Contingent Proceeds
12/14/2012
$
111,080,608
$
Debt Obligation w/
509,844,892 Contingent Proceeds
1/15/2013
$
89,099,906
$
4/12/2013
$
109,610,516
$
TOTAL CAPITAL REPAYMENT AMOUNT $
18,091,803,126
$
1,111,000,000
Distribution or Disposition
Date
Description
Debt Obligation w/
420,744,985 Contingent Proceeds
Debt Obligation w/
311,134,469 Contingent Proceeds
TOTAL DISTRIBUTIONS 5
21,856,403,574
Proceeds
$ 2,319,190,548
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.
74
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Transactions Report - Housing Programs
For Period Ending April 16, 2013
MAKING HOME AFFORDABLE PROGRAM
Servicer Modifying Borrowers' Loans
Name of Institution
Date
4/13/2009
Adjustment Details
City
Select Portfolio Servicing
Salt Lake City
State
Transaction
Type
UT
Purchase
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Financial Instrument for Home Loan Modifications
$
376,000,000
Pricing
Mechanism
N/A
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
10310
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
$
660,590,000
Reason for Adjustment
9/30/2009
$
121,910,000
$
782,500,000
12/30/2009
$
131,340,000
$
913,840,000
Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
initial cap
Updated portfolio data from servicer & HAFA
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
$
$
814,507,784
Updated portfolio data from servicer
1/6/2011
$
(639) $
814,507,145
Updated portfolio data from servicer
1/13/2011
$
$
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
$
815,907,145
3/30/2011
$
(735) $
815,906,410
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
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) $
816,106,410
6/29/2011
$
(6,805) $
816,099,605
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
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
$
851,289,605
6/28/2012
$
(5,176) $
851,284,429
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
7/16/2012
$
2,430,000
$
853,714,429
Transfer of cap due to servicing transfer
8/16/2012
$
2,310,000
$
856,024,429
9/27/2012
$
(13,961) $
856,010,468
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
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
$
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
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
$
5/14/2010
$
(3,000,000)
$
6/16/2010
$
(12,280,000)
$
1,079,420,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
2,089,600,000 initial cap
Updated portfolio data from servicer & HAFA
1,984,190,000 initial cap
Updated portfolio data from servicer & 2MP initial
1,784,890,000 cap
Transfer of cap to Service One, Inc. due to
1,784,660,000 servicing transfer
Transfer of cap to Specialized Loan Servicing,
1,781,660,000 LLC due to servicing transfer
Transfer of cap to multiple servicers due to
1,769,380,000 servicing transfer
7/14/2010
$
(757,680,000)
$
7/16/2010
$
(7,110,000)
$
8/13/2010
$
(6,300,000)
$
9/15/2010
$
(8,300,000)
$
1,011,700,000 Updated portfolio data from servicer
Transfer of cap to multiple servicers due to
1,004,590,000 servicing transfer
Transfer of cap to multiple servicers due to
998,290,000 servicing transfer
Transfer of cap to multiple servicers due to
989,990,000 servicing transfer
9/30/2010
$
32,400,000
$
1,022,390,000 Initial FHA-HAMP cap and initial FHA-2LP cap
9/30/2010
$
101,287,484
$
1,123,677,484 Updated portfolio data from servicer
10/15/2010
$
(1,400,000)
$
1,122,277,484 Transfer of cap due to servicing transfer
11/16/2010
$
(3,200,000)
$
1,119,077,484 Transfer of cap due to servicing transfer
1/6/2011
$
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
64,400,000
(2,300,000)
(2,663) $
(230,000) $
(981) $
1,003,590,468 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,003,587,805 reallocation
1,119,076,503 Updated portfolio data from servicer
75
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
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
IA
Purchase
Financial Instrument for Home Loan Modifications
$
2,873,000,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
(1,031) $
Reason for Adjustment
Updated due to quarterly assessment and
1,073,475,472 reallocation
3/30/2011
$
4/13/2011
$
5/13/2011
$
6/16/2011
$
(400,000) $
6/29/2011
$
(9,131) $
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
$
6/28/2012
$
7/16/2012
$
(298,960,000)
$
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
$
1,003,468,121 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)
$
993,126,205
3/25/2013
$
(6,606) $
993,119,599
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
4/16/2013
$
(3,490,000)
$
989,629,599
Transfer of cap due to servicing transfer
6/17/2009
$
(462,990,000)
$
100,000
(7,200,000)
(2,880,000)
$
1,073,575,472 Transfer of cap due to servicing transfer
$
1,066,375,472 Transfer of cap due to servicing transfer
$
(5,498) $
(1,916) $
1,065,975,472 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,065,966,341 reallocation
1,050,346,341 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,050,340,843 reallocation
751,380,843
Transfer of cap due to servicing transfer
9/30/2009
$
65,070,000
$
12/30/2009
$
1,213,310,000
$
2/17/2010
$
2,050,236,344
$
3/12/2010
$
54,767
$
2,410,010,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
2,475,080,000 initial cap
Updated portfolio data from servicer & HAFA
3,688,390,000 initial cap
Transfer of cap (from Wachovia Mortgage, FSB)
5,738,626,344 due to merger
Transfer of cap (from Wachovia Mortgage, FSB)
5,738,681,110 due to merger
3/19/2010
$
668,108,890
$
6,406,790,000 Initial 2MP cap
3/26/2010
$
683,130,000
$
7,089,920,000 Updated portfolio data from servicer
7/14/2010
$
(2,038,220,000) $
5,051,700,000 Updated portfolio data from servicer
9/30/2010
$
(287,348,828)
$
9/30/2010
$
344,000,000
$
4,764,351,172 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
5,108,351,172 initial RD-HAMP
12/3/2010
$
8,413,225
$
5,116,764,397 Transfer of cap (from Wachovia) due to merger
12/15/2010
$
22,200,000
$
5,138,964,397 Updated portfolio data from servicer
1/6/2011
$
(6,312) $
5,138,958,085 Updated portfolio data from servicer
1/13/2011
$
(100,000) $
5,138,858,085 Transfer of cap due to servicing transfer
3/16/2011
$
(100,000) $
3/30/2011
$
(7,171) $
5,138,758,085 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,138,750,914 reallocation
4/13/2011
$
5/13/2011
$
100,000
6/16/2011
$
(600,000) $
6/29/2011
$
(63,856) $
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
$
4/16/2012
(9,800,000)
(1,000,000)
$
5,128,950,914 Transfer of cap due to servicing transfer
$
5,129,050,914 Transfer of cap due to servicing transfer
5,128,450,914 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,128,387,058 reallocation
$
5,124,687,058 Transfer of cap due to servicing transfer
$
(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
$
6/28/2012
$
(39,923) $
8/16/2012
$
(120,000) $
9/27/2012
$
(104,111) $
(2,040,000)
$
5,121,237,058 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,121,197,135 reallocation
5,121,077,135 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
5,120,973,024 reallocation
76
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
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
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
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
10/16/2012
$
(1,590,000)
$
5,119,383,024 Transfer of cap due to servicing transfer
11/15/2012
$
(2,910,000)
$
5,116,473,024 Transfer of cap due to servicing transfer
12/14/2012
$
(1,150,000)
$
12/27/2012
$
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
$
$
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
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
216,998,139
(16,392) $
(3,350,000)
1,017,650,000 Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
3,554,890,000 initial cap
Updated portfolio data from servicer & HAFA
1,875,370,000 initial cap
9/30/2010
$
$
1,518,398,139 Updated portfolio data from servicer
12/15/2010
$
(500,000) $
1,517,898,139 Updated portfolio data from servicer
1/6/2011
$
(1,734) $
1,517,896,405 Updated portfolio data from servicer
3/16/2011
$
(100,000) $
3/30/2011
$
(2,024) $
4/13/2011
$
5/13/2011
$
6/29/2011
$
7/14/2011
$
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) $
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
6/17/2009
$
225,040,000
$
9/30/2009
$
254,380,000
$
12/30/2009
$
355,710,000
$
3/26/2010
$
(57,720,000)
$
6/16/2010
$
(156,050,000)
$
7/14/2010
$
(513,660,000)
$
514,700,000
7/16/2010
$
(22,980,000)
$
491,720,000
Updated portfolio data from servicer
Transfer of cap due to multiple servicing
transfers
9/15/2010
$
1,800,000
$
493,520,000
Transfer of cap due to servicing transfer
9/30/2010
$
9,800,000
$
503,320,000
Initial FHA-HAMP cap and initial FHA-2LP cap
9/30/2010
$
116,222,668
$
619,542,668
Updated portfolio data from servicer
10/15/2010
$
100,000
$
619,642,668
Transfer of cap due to servicing transfer
12/15/2010
$
8,900,000
$
628,542,668
Updated portfolio data from servicer
1/6/2011
$
(556) $
628,542,112
Updated portfolio data from servicer
1/13/2011
$
2,300,000
$
630,842,112
Transfer of cap due to servicing transfer
3/16/2011
$
700,000
$
631,542,112
3/30/2011
$
(654) $
631,541,458
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
4/13/2011
$
6/29/2011
$
7/14/2011
$
(800,000) $
(17,900,000)
$
(18,457) $
(200,000) $
2,100,000
$
1,517,796,405 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,517,794,381 reallocation
1,516,994,381 Transfer of cap due to servicing transfer
1,499,094,381 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,499,075,924 reallocation
1,498,875,924 Transfer of cap due to servicing transfer
1,500,183,461 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,500,150,251 reallocation
632,040,000
Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
initial cap
Updated portfolio data from servicer & HAFA
1,242,130,000 initial cap
886,420,000
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
$
633,641,458
(6,144) $
633,635,314
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
633,835,314
Transfer of cap due to servicing transfer
200,000
$
77
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
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
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
10512
CA
Purchase
Financial Instrument for Home Loan Modifications
$
798,900,000
N/A
2
Adjustment
Date
Cap Adjustment Amount
8/16/2011
$
9/15/2011
$
12/15/2011
$
2/16/2012
Adjusted Cap
Reason for Adjustment
(100,000) $
633,735,314
Transfer of cap due to servicing transfer
(700,000) $
633,035,314
Transfer of cap due to servicing transfer
$
650,535,314
Transfer of cap due to servicing transfer
$
(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
$
$
277,985,314
6/28/2012
$
(1,831) $
277,983,483
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
7/16/2012
$
$
267,863,483
Transfer of cap due to servicing transfer
8/16/2012
$
(10,000) $
267,853,483
9/27/2012
$
(4,701) $
267,848,782
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
10/16/2012
$
$
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
$
258,658,782
12/27/2012
$
(788) $
258,657,994
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
1/16/2013
$
(610,000) $
258,047,994
3/25/2013
$
(2,979) $
258,045,015
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
$
100,807,086
Termination of SPA
(3,552,000,000) $
-
Termination of SPA
17,500,000
(354,290,000)
(10,120,000)
(9,220,000)
4/9/2013
$
7/31/2009
$
6/12/2009
$
(105,620,000)
$
553,380,000
9/30/2009
$
102,580,000
$
655,960,000
12/30/2009
$
277,640,000
$
933,600,000
3/26/2010
$
46,860,000
$
6/16/2010
$
156,050,000
$
7/14/2010
$
(191,610,000)
$
944,900,000
7/16/2010
$
23,710,000
$
968,610,000
Updated portfolio data from servicer
Transfer of cap from Saxon Mortgage Services,
Inc. due to servicing transfer
9/15/2010
$
100,000
$
968,710,000
Initial FHA-HAMP cap
9/30/2010
$
3,742,740
$
972,452,740
Updated portfolio data from servicer
10/15/2010
$
170,800,000
$
1/6/2011
$
2/16/2011
$
3/30/2011
$
(157,237,929)
(1,020) $
900,000
$
(1,114) $
Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
initial cap
Updated portfolio data from servicer & HAFA
initial cap
980,460,000 Updated portfolio data from servicer
Transfer of cap from Saxon Mortgage Services,
1,136,510,000 Inc. due to servicing transfer
1,143,252,740 Transfer of cap due to servicing transfer
1,143,251,720 Updated portfolio data from servicer
1,144,151,720 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,144,150,606 reallocation
Updated due to quarterly assessment and
1,144,140,562 reallocation
6/29/2011
$
(10,044) $
10/14/2011
$
(100,000) $
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
$
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
$
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
$
1,865,493,521 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
$
(6,308) $
(10,733) $
(1,015) $
1,144,040,562 Transfer of cap due to servicing transfer
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
6/12/2009
$
5,540,000
$
9/30/2009
$
162,680,000
$
12/30/2009
$
665,510,000
$
Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
initial cap
Updated portfolio data from servicer & HAFA
1,632,630,000 initial cap
1/26/2010
$
800,390,000
$
2,433,020,000 Initial 2MP cap
3/26/2010
$
(829,370,000)
$
1,603,650,000 Updated portfolio data from servicer
7/14/2010
$
(366,750,000)
$
9/30/2010
$
95,300,000
$
1,236,900,000 Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
1,332,200,000 initial RD-HAMP
9/30/2010
$
222,941,084
$
1,555,141,084 Updated portfolio data from servicer
1/6/2011
$
(2,199) $
3/30/2011
$
(2,548) $
6/29/2011
$
(23,337) $
(1,877) $
804,440,000
967,120,000
1,555,138,885 Updated portfolio data from servicer
Updated due to quarterly assessment and
1,555,136,337 reallocation
Updated due to quarterly assessment and
1,555,113,000 reallocation
78
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
Note
10512
10512
10512
10512
10512
10512
4/17/2009 as
amended on
1/26/2010
Bank of America, N.A. (BAC Home Loans Servicing, LP)
13
Simi Valley
CA
Purchase
Financial Instrument for Home Loan Modifications
$
1,864,000,000
N/A
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
1000832
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
(300,000) $
$
10/14/2011
$
$
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
(120,700,000)
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
1,554,813,000 Transfer of cap due to servicing transfer
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
$
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
$
$
6/29/2011
$
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
$
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
$
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
$
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
$
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
$
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)
$
6/12/2009
$
128,300,000
$
447,300,000
9/30/2009
$
46,730,000
$
494,030,000
12/30/2009
$
145,820,000
$
639,850,000
Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
initial cap
Updated portfolio data from servicer & HAFA
initial cap
3/26/2010
$
(17,440,000)
$
622,410,000
Updated portfolio data from servicer
7/14/2010
$
(73,010,000)
$
549,400,000
Updated portfolio data from servicer
9/30/2010
$
6,700,000
$
556,100,000
Initial FHA-2LP cap
9/30/2010
$
(77,126,410)
$
478,973,590
Updated portfolio data from servicer
12/15/2010
$
(314,900,000)
$
164,073,590
Updated portfolio data from servicer
1/6/2011
$
(233) $
164,073,357
Updated portfolio data from servicer
2/16/2011
$
$
162,173,357
Transfer of cap due to servicing transfer
3/16/2011
$
(400,000) $
161,773,357
3/30/2011
$
(278) $
161,773,079
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
5/13/2011
$
(400,000) $
161,373,079
Transfer of cap due to servicing transfer
(9,190) $
(1,000,000)
(82,347) $
(200,000) $
1000832
1000832
Reason for Adjustment
8/16/2011
(58,550) $
(205,946) $
(33,515) $
(122,604) $
(1,900,000)
6,348,873,089 Transfer of cap due to servicing transfer
6,660,290,828 Transfer of cap due to servicing transfer
Transfer of cap (from Bank of America, N.A.) due
8,062,007,423 to merger
8,057,227,423 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
8,057,021,476 reallocation
7,749,855,357 Transfer of cap due to servicing transfer
79
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Investment Description
Pricing
Mechanism
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
4/27/2009
Carrington Mortgage Services, LLC
Santa Ana
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
(2,625) $
Reason for Adjustment
$
10/19/2011
$
(155,061,221)
$
6,309,233
6/12/2009
$
87,130,000
$
453,130,000
9/30/2009
$
(249,670,000)
$
203,460,000
12/30/2009
$
119,700,000
$
323,160,000
3/26/2010
$
52,270,000
$
375,430,000
4/19/2010
$
(10,280,000)
$
365,150,000
5/14/2010
$
(1,880,000)
$
363,270,000
6/16/2010
$
(286,510,000)
$
76,760,000
7/14/2010
$
19,540,000
$
96,300,000
7/16/2010
$
(210,000) $
96,090,000
Updated portfolio data from servicer
Transfer of cap to Green Tree Servicing LLC due
to servicing transfer
8/13/2010
$
95,990,000
Transfer of cap due to servicing transfer
9/30/2010
$
1/6/2011
(100,000) $
Termination of SPA
Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
initial cap
Updated portfolio data from servicer & HAFA
initial cap
Updated portfolio data from servicer
Transfer of cap to Countrywide Home Loans due
to servicing transfer
Transfer of cap to GMAC Mortgage, Inc. due to
servicing transfer
Transfer of cap to Countrywide Home Loans due
to servicing transfer
$
164,555,782
Updated portfolio data from servicer
$
(247) $
164,555,535
3/30/2011
$
(294) $
164,555,241
(2,779) $
164,552,462
Updated portfolio data from servicer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
6/29/2011
$
10/19/2011
$
6/17/2009
$
68,565,782
161,370,454
Updated due to quarterly assessment and
reallocation
6/29/2011
(162,895,068)
$
1,657,394
(64,990,000) $
91,010,000
Termination of SPA
9/30/2009
$
130,780,000
$
221,790,000
12/30/2009
$
(116,750,000)
$
105,040,000
Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
initial cap
Updated portfolio data from servicer & HAFA
initial cap
3/26/2010
$
13,080,000
$
118,120,000
Updated portfolio data from servicer
7/14/2010
$
(24,220,000)
$
93,900,000
7/16/2010
$
210,000
$
94,110,000
Updated portfolio data from servicer
Transfer of cap from Wilshire Credit Corporation
due to servicing transfer
8/13/2010
$
2,200,000
$
96,310,000
Transfer of cap due to servicing transfer
9/10/2010
$
34,600,000
$
130,910,000
Initial 2MP cap
9/30/2010
$
5,600,000
$
136,510,000
Initial FHA-2LP cap and FHA-HAMP
9/30/2010
$
10,185,090
$
146,695,090
Updated portfolio data from servicer
10/15/2010
$
400,000
$
147,095,090
Transfer of cap due to servicing transfer
1/6/2011
$
(213) $
147,094,877
3/30/2011
$
(250) $
147,094,627
Updated portfolio data from servicer
Updated due to quarterly assessment and
reallocation
5/13/2011
$
1,200,000
$
148,294,627
Transfer of cap due to servicing transfer
6/16/2011
$
100,000
$
148,394,627
6/29/2011
$
(2,302) $
148,392,325
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
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
$
156,272,325
6/28/2012
$
(1,622) $
156,270,703
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
7/16/2012
$
110,000
$
156,380,703
Transfer of cap due to servicing transfer
8/16/2012
$
5,120,000
$
161,500,703
9/27/2012
$
(4,509) $
161,496,194
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
10/16/2012
$
8,810,000
$
170,306,194
Transfer of cap due to servicing transfer
11/15/2012
$
2,910,000
$
173,216,194
12/27/2012
$
(802) $
173,215,392
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
2/14/2013
$
$
183,425,392
3/25/2013
$
(3,023) $
183,422,369
6/17/2009
$
(63,980,000) $
131,020,000
9/30/2009
$
90,990,000
$
222,010,000
12/30/2009
$
57,980,000
$
279,990,000
Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
initial cap
Updated portfolio data from servicer & HAFA
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
$
$
286,463,360
3/30/2011
$
(384) $
286,462,976
6/29/2011
$
(3,592) $
286,459,384
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
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
10,210,000
2,400,000
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
80
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Pricing
Mechanism
10503
10503
10503
10503
10503
10503
RBS
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
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
10406
10406
TX
Purchase
Financial Instrument for Home Loan Modifications
$
101,000,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
2/16/2012
$
1,100,000
$
290,459,384
Transfer of cap due to servicing transfer
4/16/2012
$
100,000
$
290,559,384
Transfer of cap due to servicing transfer
5/16/2012
$
850,000
$
291,409,384
Transfer of cap due to servicing transfer
6/14/2012
$
2,240,000
$
293,649,384
6/28/2012
$
(2,520) $
293,646,864
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
7/16/2012
$
$
295,336,864
Transfer of cap due to servicing transfer
8/16/2012
$
(30,000) $
295,306,864
9/27/2012
$
(6,632) $
295,300,232
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
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
$
301,720,232
12/27/2012
$
(1,103) $
301,719,129
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
1/16/2013
$
(10,000) $
2/14/2013
$
3/14/2013
1,690,000
301,709,129
Transfer of cap due to servicing transfer
$
306,669,129
Transfer of cap due to servicing transfer
$
(30,000) $
306,639,129
3/25/2013
$
(4,179) $
306,634,950
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
4/16/2013
$
(70,000) $
306,564,950
Transfer of cap due to servicing transfer
6/17/2009
$
(338,450,000) $
459,550,000
9/30/2009
$
(11,860,000) $
447,690,000
12/30/2009
$
21,330,000
$
469,020,000
Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
initial cap
Updated portfolio data from servicer & HAFA
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
$
$
393,245,731
Updated portfolio data from servicer
1/6/2011
$
(342) $
393,245,389
3/30/2011
$
(374) $
393,245,015
Updated portfolio data from servicer
Updated due to quarterly assessment and
reallocation
5/13/2011
$
$
411,245,015
6/29/2011
$
(3,273) $
411,241,742
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
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) $
410,641,742
6/28/2012
$
(1,768) $
410,639,974
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
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)
$
109,343,125
9/27/2012
$
1
$
109,343,126
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
11/15/2012
$
(230,000) $
109,113,126
3/25/2013
$
6/12/2009
9/30/2009
4,960,000
(8,454,269)
18,000,000
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
(1)
$
109,113,125
$
16,140,000
$
117,140,000
$
134,560,000
$
251,700,000
12/30/2009
$
80,250,000
$
331,950,000
Updated portfolio data from servicer
Updated portfolio data from servicer & HPDP
initial cap
Updated portfolio data from servicer & HAFA
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
$
313,400,000
9/30/2010
$
2,900,000
$
316,300,000
Transfer of cap due to servicing transfer
Initial FHA-HAMP cap, initial FHA-2LP cap, initial
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
$
383,201,123
3/30/2011
$
(428) $
383,200,695
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
5/26/2011
$
6/29/2011
$
11/16/2011
$
100,000
3/15/2012
$
5/16/2012
$
90,000
6/14/2012
$
(2,380,000)
6/28/2012
$
7/16/2012
$
(2,580,000)
8/16/2012
$
131,450,000
8/23/2012
$
166,976,849
9/27/2012
20,077,503
$
403,278,198
(4,248) $
403,273,950
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
$
403,373,950
Transfer of cap due to servicing transfer
(100,000) $
403,273,950
Transfer of cap due to servicing transfer
$
403,363,950
Transfer of cap due to servicing transfer
$
400,983,950
(2,957) $
400,980,993
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
$
398,400,993
Transfer of cap due to servicing transfer
$
529,850,993
Transfer of cap due to servicing transfer
$
696,827,842
$
(12,806) $
696,815,036
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
11/15/2012
$
160,000
$
696,975,036
Transfer of cap due to servicing transfer
12/14/2012
$
50,000
$
697,025,036
Transfer of cap due to servicing transfer
81
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Pricing
Mechanism
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
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
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
6/19/2009
First Federal Savings and Loan
Port Angeles
WA
Purchase
Financial Instrument for Home Loan Modifications
$
770,000
N/A
10224
10224
6/19/2009
Wescom Central Credit Union
Anaheim
10126
10126
10126
10126
10126
10126
CA
Purchase
Financial Instrument for Home Loan Modifications
$
540,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
(1,882) $
697,023,154
Updated due to quarterly assessment and
reallocation
$
(10,000) $
697,013,154
Transfer of cap due to servicing transfer
$
(280,000) $
696,733,154
3/25/2013
$
(6,437) $
696,726,717
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
4/16/2013
$
30,000
$
696,756,717
9/30/2009
$
(1,860,000) $
17,540,000
12/30/2009
$
27,920,000
$
45,460,000
Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
initial cap
Updated portfolio data from servicer & HAFA
initial cap
3/26/2010
$
(1,390,000)
$
44,070,000
Updated portfolio data from servicer
7/14/2010
$
(13,870,000)
$
30,200,000
9/30/2010
$
400,000
$
30,600,000
Updated portfolio data from servicer
Initial FHA-HAMP cap, initial FHA-2LP cap, and
initial 2MP cap
9/30/2010
$
586,954
$
31,186,954
Updated portfolio data from servicer
1/6/2011
$
(34) $
31,186,920
3/30/2011
$
(37) $
31,186,883
Updated portfolio data from servicer
Updated due to quarterly assessment and
reallocation
4/13/2011
$
6/29/2011
$
12/27/2012
$
2/14/2013
3/14/2013
100,000
$
31,286,883
(329) $
31,286,554
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
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
$
40,666,554
6/28/2012
$
(313) $
40,666,241
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
7/16/2012
$
9/27/2012
$
10/16/2012
$
5,690,000
11/15/2012
$
20,000
12/27/2012
$
2/14/2013
$
3/14/2013
$
3/25/2013
$
(713) $
51,464,439
4/16/2013
$
1,330,000
$
52,794,439
9/30/2009
$
13,070,000
$
29,590,000
12/30/2009
$
145,510,000
$
175,100,000
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) $
42,646,300
3/30/2011
$
(55) $
42,646,245
6/29/2011
$
(452) $
42,645,793
6/28/2012
$
(309) $
42,645,484
9/27/2012
$
(807) $
42,644,677
12/27/2012
$
(131) $
42,644,546
3/25/2013
$
(475) $
42,644,071
9/30/2009
$
(11,300,000) $
45,700,000
12/30/2009
$
(42,210,000)
$
3,490,000
Updated portfolio data from servicer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated portfolio data from servicer & HPDP
initial cap
Updated portfolio data from servicer & HAFA
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) $
37,040,795
3/30/2011
$
(65) $
37,040,730
6/29/2011
$
(616) $
37,040,114
6/28/2012
$
(462) $
37,039,652
9/27/2012
$
(1,270) $
37,038,382
12/27/2012
$
(214) $
37,038,168
3/25/2013
$
(812) $
37,037,356
12/30/2009
$
2,020,000
$
2,790,000
Updated portfolio data from servicer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated portfolio data from servicer & HAFA
initial cap
3/26/2010
$
11,370,000
$
14,160,000
5/26/2010
$
(14,160,000)
$
-
9/30/2009
$
330,000
$
12/30/2009
$
16,490,000
$
3/26/2010
$
(14,260,000)
$
3,100,000
Updated portfolio data from servicer
7/14/2010
$
(1,800,000)
$
1,300,000
Updated portfolio data from servicer
7/30/2010
$
1,500,000
$
2,800,000
Updated portfolio data from servicer
9/30/2010
$
1,551,668
$
4,351,668
Updated portfolio data from servicer
1/6/2011
$
(2)
$
4,351,666
Updated portfolio data from servicer
2,160,000
$
42,826,241
(911) $
42,825,330
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
$
48,515,330
Transfer of cap due to servicing transfer
$
48,535,330
(178) $
48,535,152
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
$
51,725,152
Transfer of cap due to servicing transfer
(260,000) $
51,465,152
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
3,190,000
Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
initial cap
Updated portfolio data from servicer & HAFA
initial cap
Updated portfolio data from servicer
Termination of SPA
Updated portfolio data from servicer & HPDP
870,000 initial cap
Updated portfolio data from servicer & HAFA
17,360,000 initial cap
82
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Pricing
Mechanism
Note
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
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
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
1000667
1000667
1000667
1000667
1000667
1000667
FL
Purchase
Financial Instrument for Home Loan Modifications
$
44,260,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
3/30/2011
$
(2)
$
4,351,664
Updated due to quarterly assessment and
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
$
1,668,877
9/27/2012
$
372,177
$
2,041,054
(10,000) $
9/30/2009
$
12/30/2009
$
590,000
3/26/2010
$
(580,000) $
7/14/2010
$
9/30/2010
$
2/17/2011
$
12/30/2009
$
3/26/2010
7/14/2010
9/30/2010
$
60,445
1/6/2011
$
3/30/2011
$
678,877 Termination of SPA
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Updated portfolio data from servicer & HPDP
20,000 initial cap
Updated portfolio data from servicer & HAFA
610,000 initial cap
30,000 Updated portfolio data from servicer
70,000
$
100,000 Updated portfolio data from servicer
45,056
$
145,056 Updated portfolio data from servicer
(145,056) $
$
2,250,000
Termination of SPA
Updated portfolio data from servicer & HAFA
initial cap
$
(720,000) $
1,530,000
Updated portfolio data from servicer
$
(430,000) $
1,100,000
Updated portfolio data from servicer
$
1,160,445
Updated portfolio data from servicer
(1)
$
1,160,444
$
(1)
$
1,160,443
6/29/2011
$
(12) $
1,160,431
6/28/2012
$
(9)
$
1,160,422
9/27/2012
$
(23) $
1,160,399
12/27/2012
$
(4)
1,160,395
3/25/2013
$
(13) $
9/30/2009
$
12/30/2009
3/26/2010
2,180,000
-
315,170,000
$
610,150,000
$
90,280,000
$
700,430,000
Updated portfolio data from servicer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated portfolio data from servicer & HPDP
initial cap
Updated portfolio data from servicer & HAFA
initial cap
$
(18,690,000)
$
681,740,000
Updated portfolio data from servicer
7/14/2010
$
(272,640,000)
$
409,100,000
9/30/2010
$
80,600,000
$
489,700,000
Updated portfolio data from servicer
Initial FHA-HAMP cap, Initial FHA-2LP cap, and
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) $
561,029,176
3/30/2011
$
(981) $
561,028,195
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
4/13/2011
$
$
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) $
558,328,195
6/29/2011
$
(9,197) $
558,318,998
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
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) $
558,608,998
6/28/2012
$
(6,771) $
558,602,227
(2,300,000)
$
1,160,382
723,880,000
$
1,357,890,000
$
692,640,000
$
2,050,530,000
$
(2,050,236,344) $
293,656
3/12/2010
$
(54,767) $
9/30/2009
$
23,850,000
$
68,110,000
12/30/2009
$
43,590,000
$
111,700,000
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated portfolio data from servicer & HPDP
initial cap
Updated portfolio data from servicer & HAFA
initial cap
Transfer of cap (to Wells Fargo Bank) due to
merger
Transfer of cap (to Wells Fargo Bank) due to
merger
Updated portfolio data from servicer & HPDP
initial cap
Updated portfolio data from servicer & HAFA
initial cap
3/26/2010
$
34,540,000
$
146,240,000
Updated portfolio data from servicer
5/7/2010
$
1,010,000
$
147,250,000
Initial 2MP cap
7/14/2010
$
(34,250,000)
$
113,000,000
Updated portfolio data from servicer
9/30/2010
$
600,000
$
113,600,000
Initial FHA-2LP cap
9/30/2010
$
(15,252,303)
$
98,347,697
Updated portfolio data from servicer
1/6/2011
$
(70) $
98,347,627
3/30/2011
$
(86) $
98,347,541
Updated portfolio data from servicer
Updated due to quarterly assessment and
reallocation
4/13/2011
$
400,000
$
98,747,541
Transfer of cap due to servicing transfer
5/13/2011
$
100,000
$
98,847,541
6/29/2011
$
(771) $
98,846,770
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
9/27/2012
$
(18,467) $
558,583,760
12/27/2012
$
(3,105) $
558,580,655
3/25/2013
$
(11,713) $
9/30/2009
$
12/30/2009
2/17/2010
558,568,942
238,890
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
83
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Pricing
Mechanism
Note
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
PA
Purchase
Financial Instrument for Home Loan Modifications
$
54,470,000
N/A
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
1000834
7/17/2009
Farmers State Bank
West Salem
10612
10612
OH
Purchase
Financial Instrument for Home Loan Modifications
$
170,000
N/A
Adjustment
Date
Cap Adjustment Amount
2/16/2012
$
3/15/2012
4/16/2012
Adjusted Cap
2,400,000
Reason for Adjustment
$
83,846,770
Transfer of cap due to servicing transfer
$
(100,000) $
83,746,770
Transfer of cap due to servicing transfer
$
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
$
85,786,770
6/28/2012
$
(508) $
85,786,262
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
7/16/2012
$
9/27/2012
$
10/16/2012
$
160,000
11/15/2012
$
6,970,000
12/14/2012
$
13,590,000
12/27/2012
$
1/16/2013
$
90,000
2/14/2013
$
3,250,000
3/14/2013
$
830,000
3/25/2013
$
4/16/2013
$
1,490,000
$
9/30/2009
$
150,000
$
12/30/2009
$
130,000
$
Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
250,000 initial cap
Updated portfolio data from servicer & HAFA
380,000 initial cap
3/26/2010
$
50,000
$
430,000 Updated portfolio data from servicer
7/14/2010
$
(30,000) $
400,000 Updated portfolio data from servicer
9/30/2010
$
35,167
$
435,167 Updated portfolio data from servicer
1/6/2011
$
(1)
$
3/30/2011
$
(1)
$
6/29/2011
$
(6)
$
6/28/2012
$
(4)
$
435,166 Updated portfolio data from servicer
Updated due to quarterly assessment and
435,165 reallocation
Updated due to quarterly assessment and
435,159 reallocation
Updated due to quarterly assessment and
435,155 reallocation
8/23/2012
$
(424,504) $
9/30/2009
$
(10,000) $
12/30/2009
$
250,000
3/26/2010
$
(10,000) $
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
$
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
$
9/30/2009
$
18,530,000
$
12/30/2009
$
24,510,000
$
48,589 Termination of SPA
Updated portfolio data from servicer & HPDP
initial cap
Updated portfolio data from servicer & HAFA
66,520,000 initial cap
3/26/2010
$
18,360,000
$
84,880,000
Updated portfolio data from servicer
7/14/2010
$
(22,580,000)
$
62,300,000
Updated portfolio data from servicer
9/30/2010
$
(8,194,261)
$
54,105,739
Updated portfolio data from servicer
1/6/2011
$
(37) $
54,105,702
Updated portfolio data from servicer
3/16/2011
$
$
24,705,702
3/30/2011
$
(34) $
24,705,668
5/26/2011
$
(20,077,503)
$
4,628,165
9/30/2009
$
(36,240,000) $
18,230,000
12/30/2009
$
19,280,000
$
37,510,000
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Termination of SPA
(remaining cap equals distribution amount)
Updated portfolio data from servicer & HPDP
initial cap
Updated portfolio data from servicer & HAFA
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) $
81,376,068
3/30/2011
$
(147) $
81,375,921
Updated portfolio data from servicer
Updated due to quarterly assessment and
reallocation
5/13/2011
$
(100,000) $
81,275,921
6/29/2011
$
(1,382) $
81,274,539
10/14/2011
$
(300,000) $
80,974,539
6/28/2012
$
(1,003) $
80,973,536
(2,745) $
2,660,000
$
88,446,262
(1,249) $
88,445,013
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
$
88,605,013
Transfer of cap due to servicing transfer
$
95,575,013
Transfer of cap due to servicing transfer
$
109,165,013
(298) $
109,164,715
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
$
109,254,715
Transfer of cap due to servicing transfer
$
112,504,715
Transfer of cap due to servicing transfer
$
113,334,715
(1,023) $
113,333,692
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
(9)
$
$
(821,722) $
(29,400,000)
9/27/2012
$
12/27/2012
$
(460) $
3/25/2013
$
(1,740) $
4/9/2013
$
60,000
9/30/2009
$
(90,000) $
$
12/30/2009
$
50,000
$
3/26/2010
$
100,000
$
114,823,692
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
1,100,000
Updated portfolio data from servicer
42,010,000
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
80,970,791 reallocation
Updated due to quarterly assessment and
80,970,331 reallocation
Updated due to quarterly assessment and
80,968,591 reallocation
Transfer of cap (from RBC bank (USA) ) due to
81,028,591 merger
Updated portfolio data from servicer & HPDP
80,000 initial cap
Updated portfolio data from servicer & HAFA
130,000 initial cap
230,000 Updated portfolio data from servicer
84
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Pricing
Mechanism
Note
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
7/22/2009
Mortgage Center, LLC
Southfield
MI
Purchase
Financial Instrument for Home Loan Modifications
$
4,210,000
N/A
10439
10439
10439
10439
10439
10439
10439
10439
10439
10439
10439
7/22/2009
Mission Federal Credit Union
San Diego
1000455
1000455
1000455
1000455
1000455
1000455
CA
Purchase
Financial Instrument for Home Loan Modifications
$
860,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
(130,000) $
Reason for Adjustment
7/14/2010
$
9/30/2010
$
5/20/2011
$
9/30/2009
$
890,000
$
2,300,000
12/30/2009
$
1,260,000
$
3,560,000
Termination of SPA
Updated portfolio data from servicer & HPDP
initial cap
Updated portfolio data from servicer & HAFA
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)
$
3,771,443
3/30/2011
$
(4)
$
3,771,439
Updated portfolio data from servicer
Updated due to quarterly assessment and
reallocation
4/13/2011
$
(1,100,000)
$
2,671,439
6/29/2011
$
(38) $
2,671,401
6/28/2012
$
(29) $
2,671,372
9/27/2012
$
(79) $
2,671,293
12/27/2012
$
(13) $
2,671,280
3/25/2013
$
(50) $
2,671,230
4/9/2013
$
9/30/2009
$
(53,670,000) $
12/30/2009
$
250,450,000
$
346,986 Termination of SPA
Updated portfolio data from servicer & HPDP
1,218,820,000 initial cap
Updated portfolio data from servicer & HAFA
1,469,270,000 initial cap
3/26/2010
$
124,820,000
$
1,594,090,000 Updated portfolio data from servicer
7/14/2010
$
(289,990,000)
$
1,304,100,000 Updated portfolio data from servicer
9/30/2010
$
1,690,508
$
1,305,790,508 Updated portfolio data from servicer
10/15/2010
$
300,000
$
1,306,090,508 Transfer of cap due to servicing transfer
11/16/2010
$
(100,000) $
1,305,990,508 Transfer of cap due to servicing transfer
1/6/2011
$
(1,173) $
2/16/2011
$
(500,000) $
3/30/2011
$
(1,400) $
4/13/2011
$
6/29/2011
$
45,056
$
(145,056) $
(2,324,244)
3,100,000
$
$
(12,883) $
(1,000,000)
100,000 Updated portfolio data from servicer
145,056 Updated portfolio data from servicer
-
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
1,305,989,335 Updated portfolio data from servicer
1,305,489,335 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,305,487,935 reallocation
1,308,587,935 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,308,575,052 reallocation
9/15/2011
$
10/14/2011
$
$
1,307,575,052 Transfer of cap due to servicing transfer
(100,000) $
11/16/2011
$
1,307,475,052 Transfer of cap due to servicing transfer
5/16/2012
$
(10,000) $
6/28/2012
$
(8,378) $
7/16/2012
$
(470,000) $
8/16/2012
$
(80,000) $
9/27/2012
$
(22,494) $
10/16/2012
$
(260,000) $
1,305,524,180 Transfer of cap due to servicing transfer
11/15/2012
$
(30,000) $
1,305,494,180 Transfer of cap due to servicing transfer
12/14/2012
$
(50,000) $
12/27/2012
$
(3,676) $
1,305,444,180 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,305,440,504 reallocation
1/16/2013
$
(80,000) $
1,305,360,504 Transfer of cap due to servicing transfer
2/14/2013
$
20,000
$
1,305,380,504 Transfer of cap due to servicing transfer
3/14/2013
$
(84,160,000)
$
3/25/2013
$
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
9/30/2009
$
1,780,000
$
5,990,000
12/30/2009
$
2,840,000
$
8,830,000
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) $
8,558,268
3/30/2011
$
(14) $
8,558,254
6/29/2011
$
(129) $
6/28/2012
$
(94) $
9/27/2012
$
(256) $
12/27/2012
$
(43) $
3/25/2013
$
(162) $
(1,100,000)
$
(12,821) $
(490,000) $
1,306,375,052 Transfer of cap due to servicing transfer
1,306,365,052 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,306,356,674 reallocation
1,305,886,674 Transfer of cap due to servicing transfer
1,305,806,674 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,305,784,180 reallocation
Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
initial cap
Updated portfolio data from servicer & HAFA
initial cap
Updated portfolio data from servicer
Updated due to quarterly assessment and
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 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)
$
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
85
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Pricing
Mechanism
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
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
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
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
Reason for Adjustment
(1)
$
$
(1)
$
$
47,663
$
9/30/2009
$
(1,530,000) $
12/30/2009
$
680,000
$
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)
$
8,123,112
3/30/2011
$
(2)
$
8,123,110
6/29/2011
$
(15) $
8,123,095
6/28/2012
$
(3)
$
8,123,092
9/27/2012
$
(5)
$
8,123,087
12/27/2012
$
(1)
$
8,123,086
3/25/2013
$
(5)
$
8,123,081
9/30/2009
$
(60,000) $
1,030,000
12/30/2009
$
1,260,000
$
2,290,000
Updated portfolio data from servicer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated portfolio data from servicer & HPDP
initial cap
Updated portfolio data from servicer & HAFA
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) $
(37,700,000) $
6/28/2012
$
9/27/2012
3/25/2013
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 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) $
4/13/2011
$
5/13/2011
$
6/29/2011
$
7/14/2011
8/16/2011
$
(14,850,000) $
(200,000) $
122,700,000
$
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
3,223,321,900 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,223,317,901 reallocation
3,223,117,901 Transfer of cap due to servicing transfer
(34,606) $
3,345,817,901 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,345,783,295 reallocation
$
600,000
$
3,346,383,295 Transfer of cap due to servicing transfer
$
(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
$
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
$
8/16/2012
$
(20,000) $
9/27/2012
$
(37,341) $
10/16/2012
$
(1,130,000)
$
3,731,091,071 Transfer of cap due to servicing transfer
11/15/2012
$
(3,770,000)
$
3,727,321,071 Transfer of cap due to servicing transfer
12/14/2012
$
(180,000) $
12/27/2012
$
(4,535) $
1/16/2013
$
(60,000) $
3,727,076,536 Transfer of cap due to servicing transfer
2/14/2013
$
(520,000) $
3,726,556,536 Transfer of cap due to servicing transfer
(16,192) $
(2,300,000)
$
3,732,278,412 Transfer of cap due to servicing transfer
3,732,258,412 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,732,221,071 reallocation
3,727,141,071 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,727,136,536 reallocation
86
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Pricing
Mechanism
Note
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
8/5/2009
Oakland Municipal Credit Union
Oakland
CA
Purchase
Financial Instrument for Home Loan Modifications
$
140,000
N/A
1000609
1000609
1000609
1000609
1000609
1000609
1000609
1000609
12
1000609
8/5/2009
HomEq Servicing
North Highlands
CA
Purchase
Financial Instrument for Home Loan Modifications
$
674,000,000
N/A
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
10717
8/12/2009
Litton Loan Servicing, LP
Houston
10438
10438
10438
10438
10438
10438
10438
TX
Purchase
Financial Instrument for Home Loan Modifications
$
774,900,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
(90,000) $
Reason for Adjustment
3/14/2013
$
3/25/2013
$
(14,310) $
4/16/2013
$
(110,000) $
9/30/2009
$
(10,000) $
12/30/2009
$
502,430,000
$
3/26/2010
$
(134,560,000)
$
7/14/2010
$
(392,140,000)
$
683,100,000
Updated portfolio data from servicer
7/16/2010
$
(630,000) $
682,470,000
Transfer of cap to Saxon Mortgage Services, Inc.
9/30/2010
$
13,100,000
$
695,570,000
Initial FHA-HAMP cap and initial FHA-2LP cap
9/30/2010
$
(8,006,457)
$
687,563,543
Updated portfolio data from servicer
10/15/2010
$
(100,000) $
687,463,543
Transfer of cap due to servicing transfer
12/15/2010
$
$
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
$
$
678,162,741
3/30/2011
$
(925) $
678,161,816
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
5/13/2011
$
6/29/2011
$
(4,400,000)
(4,000,000)
(122,900,000)
3,726,466,536 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
3,726,452,226 reallocation
3,726,342,226 Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
707,370,000 initial cap
Updated portfolio data from servicer & HAFA
1,209,800,000 initial cap
Updated portfolio data from servicer & 2MP initial
1,075,240,000 cap
$
555,261,816
(8,728) $
555,253,088
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
(600,000) $
554,653,088
Transfer of cap due to servicing transfer
7/14/2011
$
10/19/2011
$
(519,211,309)
$
9/30/2009
$
180,000
$
12/30/2009
$
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)
$
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 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)
$
4/13/2011
$
6/29/2011
$
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
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) $
371,526,179
3/30/2011
$
(653) $
371,525,526
6/29/2011
$
(6,168) $
371,519,358
6/28/2012
$
(4,634) $
371,514,724
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
8/16/2012
$
(430,000) $
371,084,724
9/27/2012
$
(12,728) $
371,071,996
12/14/2012
$
(20,000) $
371,051,996
12/27/2012
$
(2,148) $
3/25/2013
$
9/30/2009
$
313,050,000
$
12/30/2009
$
275,370,000
$
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
371,041,711 reallocation
Updated portfolio data from servicer & HPDP
1,087,950,000 initial cap
Updated portfolio data from servicer & HAFA
1,363,320,000 initial cap
3/26/2010
$
278,910,000
$
1,642,230,000 Updated portfolio data from servicer
7/14/2010
$
(474,730,000)
$
1,167,500,000 Updated portfolio data from servicer
8/13/2010
$
9/15/2010
$
(1,000,000)
$
1,165,800,000 Transfer of cap to due to servicing transfer
9/30/2010
$
(115,017,236)
$
1,050,782,764 Updated portfolio data from servicer
10/15/2010
$
(350,000) $
(200,000) $
(7)
$
(8,137) $
(700,000) $
(800,000) $
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
725,277 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,276 reallocation
525,276 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
525,269 reallocation
552,810,000
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
371,049,848
1,166,800,000 Transfer of cap to due to servicing transfer
1,049,982,764 Transfer of cap due to servicing transfer
87
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Pricing
Mechanism
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
CA
Purchase
Financial Instrument for Home Loan Modifications
$
6,210,000
N/A
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
1000744
8/12/2009
Servis One, Inc.
Titusville
10454
10454
10454
10454
PA
Purchase
Financial Instrument for Home Loan Modifications
$
29,730,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
12/15/2010
$
Adjusted Cap
800,000
Reason for Adjustment
$
1,050,782,764 Updated portfolio data from servicer
(1,286) $
1,050,781,478 Updated portfolio data from servicer
1/6/2011
$
3/16/2011
$
3/30/2011
$
4/13/2011
$
$
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
$
9/15/2011
$
10/14/2011
8,800,000
$
(1,470) $
(3,300,000)
(200,000) $
(2,900,000)
1,059,581,478 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
1,059,580,008 reallocation
1,055,066,911 Transfer of cap due to servicing transfer
$
1,052,166,911 Transfer of cap due to servicing transfer
$
(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)
$
1/13/2012
$
(194,800,000)
$
853,966,911
Transfer of cap due to servicing transfer
2/16/2012
$
(400,000) $
853,566,911
6/28/2012
$
(9,728) $
853,557,183
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
8/16/2012
$
9/27/2012
$
12/27/2012
3/25/2013
(7,990,000)
1,048,766,911 Transfer of cap due to servicing transfer
$
845,567,183
(26,467) $
845,540,716
$
(4,466) $
845,536,250
$
(16,922) $
845,519,328
9/30/2009
$
(1,200,000) $
12/30/2009
$
30,800,000
$
35,810,000
3/26/2010
$
23,200,000
$
59,010,000
6/16/2010
$
2,710,000
$
61,720,000
7/14/2010
$
(18,020,000)
$
43,700,000
7/16/2010
$
6,680,000
$
50,380,000
Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
servicing transfer
8/13/2010
$
2,600,000
$
52,980,000
Transfer of cap to due to servicing transfer
9/15/2010
$
(100,000) $
52,880,000
Transfer of cap to due to servicing transfer
9/30/2010
$
200,000
$
53,080,000
Initial FHA-HAMP cap and 2MP initial cap
9/30/2010
$
(1,423,197)
$
51,656,803
Updated portfolio data from servicer
11/16/2010
$
1,400,000
$
53,056,803
Transfer of cap due to servicing transfer
12/15/2010
$
(100,000) $
52,956,803
Updated portfolio data from servicer
1/6/2011
$
(72) $
52,956,731
Updated portfolio data from servicer
1/13/2011
$
$
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
$
$
60,956,731
3/30/2011
$
(94) $
60,956,637
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
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
$
67,256,637
6/29/2011
$
(812) $
67,255,825
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
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
$
78,195,825
6/28/2012
$
(340) $
78,195,485
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
7/16/2012
$
2,930,000
$
81,125,485
Transfer of cap due to servicing transfer
8/16/2012
$
890,000
$
82,015,485
9/27/2012
$
(974) $
82,014,511
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
10/16/2012
$
1,800,000
$
83,814,511
Transfer of cap due to servicing transfer
12/14/2012
$
3,860,000
$
87,674,511
12/27/2012
$
(154) $
87,674,357
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
2/14/2013
$
3/25/2013
$
4/16/2013
$
9/30/2009
$
12/30/2009
3/26/2010
4,100,000
4,000,000
2,980,000
5,010,000
$
90,654,357
(506) $
90,653,851
$
92,813,851
(25,510,000) $
2,160,000
4,220,000
$
520,000
$
4,740,000
$
4,330,000
$
9,070,000
4/19/2010
$
230,000
$
9,300,000
5/19/2010
$
850,000
$
10,150,000
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated portfolio data from servicer & HPDP
initial cap
Updated portfolio data from servicer & HAFA
initial cap
Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
servicing transfer
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Transfer of cap due to servicing transfer
Updated portfolio data from servicer & HPDP
initial cap
Updated portfolio data from servicer & HAFA
initial cap
Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
servicing transfer
Initial 2MP cap
88
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Pricing
Mechanism
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
10454
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
8/28/2009
Stanford Federal Credit Union
Palo Alto
CA
Purchase
Financial Instrument for Home Loan Modifications
$
300,000
N/A
1000576
1000576
1000576
1000576
1000576
8/28/2009
RoundPoint Mortgage Servicing Corporation
Charlotte
1001011
1001011
1001011
1001011
1001011
1001011
1001011
NC
Purchase
Financial Instrument for Home Loan Modifications
$
570,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
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
$
9,500,000
Initial FHA-HAMP cap
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
$
29,055,024
3/30/2011
$
(52) $
29,054,972
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
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
$
31,654,972
6/29/2011
$
(534) $
31,654,438
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
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
$
40,334,438
6/28/2012
$
(465) $
40,333,973
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
8/16/2012
$
70,000
$
40,403,973
9/27/2012
$
(1,272) $
40,402,701
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
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
$
45,002,701
12/27/2012
$
(239) $
45,002,462
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
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
$
48,922,462
3/25/2013
$
(960) $
48,921,502
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
4/16/2013
$
410,000
$
49,331,502
Transfer of cap due to servicing transfer
10/2/2009
$
145,800,000
$
814,240,000
12/30/2009
$
1,355,930,000
$
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) $
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)
$
3/23/2010
$
10/2/2009
$
12/30/2009
$
3/26/2010
$
2,110,000
$
2,500,000
Updated portfolio data from servicer
7/14/2010
$
8,300,000
$
10,800,000
Updated portfolio data from servicer
9/30/2010
$
5,301,172
$
16,101,172
Updated portfolio data from servicer
1/6/2011
$
(22) $
16,101,150
Updated portfolio data from servicer
3/16/2011
$
(400,000) $
15,701,150
3/30/2011
$
(25) $
15,701,125
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
(290,111) $
130,000
$
(310,000) $
1,836,256,555 Updated portfolio data from servicer
Updated due to quarterly assessment
1,836,253,881 reallocation
Updated due to quarterly assessment
1,836,229,265 reallocation
Updated due to quarterly assessment
1,836,213,784 reallocation
Updated due to quarterly assessment
1,836,173,178 reallocation
Updated due to quarterly assessment
1,836,166,490 reallocation
Updated due to quarterly assessment
1,836,141,679 reallocation
and
and
and
and
and
and
290,111 Updated portfolio data from servicer
-
Termination of SPA
700,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
390,000 initial cap
89
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Pricing
Mechanism
Note
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
9/2/2009 as amended
Vantium Capital, Inc.dba Acqura Loan Services
on 8/27/2010
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
9/9/2009
Central Florida Educators Federal Credit Union
Lake Mary
FL
Purchase
Financial Instrument for Home Loan Modifications
$
1,250,000
N/A
1000890
1000890
1000890
1000890
1000890
1000890
1000890
1000890
1000890
1000890
1000890
9/9/2009
U.S. Bank National Association
Owensboro
10305
10305
10305
10305
10305
10305
10305
KY
Purchase
Financial Instrument for Home Loan Modifications
$
114,220,000
N/A
10
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
6/29/2011
$
(232) $
15,700,893
6/28/2012
$
(174) $
15,700,719
9/27/2012
$
(479) $
15,700,240
11/15/2012
$
(350,000) $
15,350,240
12/27/2012
$
(82) $
15,350,158
3/25/2013
$
(308) $
15,349,850
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
4/16/2013
$
80,000
$
15,429,850
Transfer of cap due to servicing transfer
10/2/2009
$
130,000
$
12/30/2009
$
1,040,000
$
3/26/2010
$
(1,680,000)
$
5/12/2010
$
1,260,000
$
7/14/2010
$
(1,110,000)
$
200,000 Updated portfolio data from servicer
9/30/2010
$
$
300,000 Initial RD-HAMP
9/30/2010
$
(9,889) $
6/29/2011
$
(3)
$
6/28/2012
$
(2)
$
9/27/2012
$
(7)
$
12/27/2012
$
(1)
$
3/25/2013
$
(4)
$
10/2/2009
$
1,310,000
$
7,310,000
12/30/2009
$
(3,390,000)
$
3,920,000
HPDP initial cap
Updated portfolio data from servicer & HAFA
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
$
9,217,764
Transfer of cap due to servicing transfer
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
$
14,417,747
3/30/2011
$
(19) $
14,417,728
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
4/13/2011
$
6/29/2011
$
8/16/2011
$
300,000
9/15/2011
$
100,000
10/14/2011
$
100,000
6/28/2012
100,000
300,000
690,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
1,730,000 initial cap
50,000 Updated portfolio data from servicer
1,310,000
Updated portfolio data from servicer
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment
290,108 reallocation
Updated due to quarterly assessment
290,106 reallocation
Updated due to quarterly assessment
290,099 reallocation
Updated due to quarterly assessment
290,098 reallocation
Updated due to quarterly assessment
290,094 reallocation
and
and
and
and
and
$
14,717,728
(189) $
14,717,539
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
$
15,017,539
Transfer of cap due to servicing transfer
$
15,117,539
Transfer of cap due to servicing transfer
$
15,217,539
$
(147) $
15,217,392
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
7/16/2012
$
(10,000) $
15,207,392
9/27/2012
$
(413) $
15,206,979
11/15/2012
$
(40,000) $
15,166,979
12/27/2012
$
(71) $
15,166,908
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
2/14/2013
$
(770,000) $
14,396,908
Transfer of cap due to servicing transfer
3/14/2013
$
(20,000) $
14,376,908
3/25/2013
$
(256) $
14,376,652
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
4/16/2013
$
(620,000) $
13,756,652
Transfer of cap due to servicing transfer
10/2/2009
$
12/30/2009
$
3/26/2010
7/14/2010
280,000
$
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
1,530,000
(750,000) $
HPDP initial cap
Updated portfolio data from servicer & HAFA
780,000 initial cap
$
120,000
$
900,000 Updated portfolio data from servicer
$
(300,000) $
600,000 Updated portfolio data from servicer
9/30/2010
$
270,334
$
870,334 Updated portfolio data from servicer
1/6/2011
$
(1)
$
3/30/2011
$
(1)
$
6/29/2011
$
(5)
$
6/28/2012
$
21,717
$
9/27/2012
$
190,077
$
12/27/2012
$
35,966
$
3/25/2013
$
59,464
$
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment
870,332 reallocation
Updated due to quarterly assessment
870,327 reallocation
Updated due to quarterly assessment
892,044 reallocation
Updated due to quarterly assessment
1,082,121 reallocation
Updated due to quarterly assessment
1,118,087 reallocation
Updated due to quarterly assessment
1,177,551 reallocation
10/2/2009
$
24,920,000
$
139,140,000
12/30/2009
$
49,410,000
$
188,550,000
HPDP initial cap
Updated portfolio data from servicer & HAFA
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) $
181,174,284
3/30/2011
$
(172) $
181,174,112
6/29/2011
$
(1,431) $
181,172,681
Updated portfolio data from servicer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
and
and
and
and
and
and
90
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Pricing
Mechanism
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
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
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
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
27,510,000
N/A
1000955
1000955
1000955
1000955
1000955
1000955
1000955
1000955
1000955
1000955
1000955
1000955
1000955
9/16/2009
Bay Federal Credit Union
Capitola
1001037
1001037
1001037
1001037
1001037
1001037
CA
Purchase
Financial Instrument for Home Loan Modifications
$
410,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
Updated due to quarterly
reallocation
Updated due to quarterly
reallocation
Updated due to quarterly
reallocation
Updated due to quarterly
reallocation
assessment and
6/28/2012
$
(746) $
181,171,935
9/27/2012
$
(1,926) $
181,170,009
12/27/2012
$
(308) $
181,169,701
3/25/2013
$
(1,135) $
181,168,566
10/2/2009
$
950,000
$
5,300,000
12/30/2009
$
5,700,000
$
11,000,000
HPDP initial cap
Updated portfolio data from servicer & HAFA
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)
$
3,626,385
3/30/2011
$
(6)
$
3,626,379
6/29/2011
$
(52) $
3,626,327
6/28/2012
$
(38) $
3,626,289
9/27/2012
$
(107) $
3,626,182
12/27/2012
$
(18) $
3,626,164
3/25/2013
$
(69) $
3,626,095
Updated portfolio data from servicer
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
10/2/2009
$
12/30/2009
3/26/2010
assessment and
assessment and
and
and
and
and
and
and
460,000
$
$
2,730,000
$
5,260,000
$
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) $
6,817,603
3/30/2011
$
(12) $
6,817,591
6/29/2011
$
(115) $
6,817,476
6/28/2012
$
(86) $
6,817,390
9/27/2012
$
(236) $
6,817,154
12/27/2012
$
(40) $
6,817,114
3/25/2013
$
(149) $
6,816,965
Updated portfolio data from servicer
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
10/2/2009
$
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)
$
10/2/2009
$
70,000
$
12/30/2009
$
620,000
$
3/26/2010
$
100,000
$
7/14/2010
$
(670,000) $
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
$
10/2/2009
$
6,010,000
$
33,520,000
12/30/2009
$
(19,750,000)
$
13,770,000
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)
$
7,773,667
3/30/2011
$
(6)
$
7,773,661
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
60,000
$
(435,166) $
2,530,000
assessment and
HPDP initial cap
Updated portfolio data from servicer & HAFA
initial cap
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment
145,055 reallocation
Updated due to quarterly assessment
145,054 reallocation
Updated due to quarterly assessment
145,052 reallocation
Updated due to quarterly assessment
145,051 reallocation
and
and
and
and
and
and
and
and
and
and
350,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
970,000 initial cap
1,070,000
Updated portfolio data from servicer
400,000 Updated portfolio data from servicer
-
6/29/2011
$
(61) $
7,773,600
10/14/2011
$
(100,000) $
7,673,600
6/28/2012
$
(58) $
7,673,542
Termination of SPA
HPDP initial cap
Updated portfolio data from servicer & HAFA
initial cap
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
9/27/2012
$
(164) $
7,673,378
12/27/2012
$
(29) $
7,673,349
3/25/2013
$
(110) $
7,673,239
10/2/2009
$
90,000
$
12/30/2009
$
1,460,000
$
1,960,000
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)
$
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
500,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
initial cap
91
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Pricing
Mechanism
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
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
9/23/2009
Glass City Federal Credit Union
Maumee
OH
Purchase
Financial Instrument for Home Loan Modifications
$
230,000
N/A
10716
10716
10716
10716
10716
10716
10716
10716
10716
9/23/2009
Central Jersey Federal Credit Union
Woodbridge
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
30,000
N/A
10149
10149
10149
10149
10149
9/23/2009
Yadkin Valley Bank
Elkin
1001000
1001000
1001000
1001000
1001000
1001000
1001000
1001000
NC
Purchase
Financial Instrument for Home Loan Modifications
$
240,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
(8)
$
Reason for Adjustment
Updated due to quarterly assessment and
580,212 reallocation
6/29/2011
$
1/25/2012
$
10/2/2009
$
960,000
$
5,350,000
12/30/2009
$
(3,090,000)
$
2,260,000
HPDP initial cap
Updated portfolio data from servicer & HAFA
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
$
$
8,723,102
3/30/2011
$
(16) $
8,723,086
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
4/13/2011
$
200,000
$
8,923,086
Transfer of cap due to servicing transfer
5/13/2011
$
100,000
$
9,023,086
6/29/2011
$
(153) $
9,022,933
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
(580,212) $
600,000
-
Termination of SPA
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
$
10,972,933
6/28/2012
$
(136) $
10,972,797
(347) $
9/27/2012
$
10,972,450
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
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) $
11,242,450
12/27/2012
$
(59) $
11,242,391
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
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
$
11,562,391
3/25/2013
$
(220) $
11,562,171
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
4/16/2013
$
(60,000) $
11,502,171
Transfer of cap due to servicing transfer
10/2/2009
$
12/30/2009
3/26/2010
90,000
$
$
940,000
$
$
(980,000) $
7/14/2010
$
(140,000) $
9/30/2010
$
1,150,556
$
1,450,556
Updated portfolio data from servicer
1/6/2011
$
(2)
$
1,450,554
3/30/2011
$
(2)
$
1,450,552
6/29/2011
$
(22) $
1,450,530
6/28/2012
$
(16) $
1,450,514
9/27/2012
$
(44) $
1,450,470
12/27/2012
$
(7)
$
1,450,463
3/25/2013
$
(28) $
1,450,435
Updated portfolio data from servicer
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
10/2/2009
$
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)
$
9/27/2012
$
(7)
$
12/27/2012
$
(1)
$
3/25/2013
$
(4)
$
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
$
10/2/2009
$
12/30/2009
3/26/2010
60,000
$
$
(145,056) $
480,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
1,420,000 initial cap
440,000 Updated portfolio data from servicer
300,000 Updated portfolio data from servicer
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment
290,108 reallocation
Updated due to quarterly assessment
290,106 reallocation
Updated due to quarterly assessment
290,099 reallocation
Updated due to quarterly assessment
290,098 reallocation
Updated due to quarterly assessment
290,094 reallocation
-
and
and
and
and
and
and
and
and
and
and
and
Termination of SPA
60,000
$
300,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
650,000 initial cap
$
350,000
$
$
1,360,000
$
7/14/2010
$
(1,810,000)
$
200,000 Updated portfolio data from servicer
9/30/2010
$
235,167
$
435,167 Updated portfolio data from servicer
1/6/2011
$
(1)
$
6/29/2011
$
(4)
$
6/28/2012
$
(3)
$
9/27/2012
$
(7)
$
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
2,010,000
Updated portfolio data from servicer
92
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Pricing
Mechanism
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
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
10/23/2009
Bank United
Miami Lakes
FL
Purchase
Financial Instrument for Home Loan Modifications
$
93,660,000
N/A
10048
10048
10048
10048
10048
10048
10048
10048
10048
10048
10048
10048
10048
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
10/28/2009
Members Mortgage Company, Inc
Woburn
MA
Purchase
10/30/2009
DuPage Credit Union
Naperville
IL
Purchase
Financial Instrument for Home Loan Modifications
$
1,070,000
N/A
Financial Instrument for Home Loan Modifications
$
510,000
N/A
Financial Instrument for Home Loan Modifications
$
70,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
12/27/2012
$
3/25/2013
10/2/2009
Adjusted Cap
Reason for Adjustment
Updated due to quarterly assessment and
435,151 reallocation
Updated due to quarterly assessment and
435,146 reallocation
(1)
$
$
(5)
$
$
100,000
$
12/30/2009
$
20,000
$
3/26/2010
$
(290,000) $
270,000 Updated portfolio data from servicer
7/14/2010
$
(70,000) $
200,000 Updated portfolio data from servicer
9/30/2010
$
(54,944) $
6/29/2011
$
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
(1)
$
(145,055) $
540,000 HPDP initial cap
Updated portfolio data from servicer & HAFA
560,000 initial cap
4/11/2012
$
12/30/2009
$
3/26/2010
$
(880,000) $
720,000 Updated portfolio data from servicer
7/14/2010
$
(320,000) $
400,000 Updated portfolio data from servicer
9/30/2010
$
180,222
$
580,222 Updated portfolio data from servicer
1/6/2011
$
(1)
$
3/30/2011
$
(1)
$
6/29/2011
$
(8)
$
6/28/2012
$
(6)
$
9/27/2012
$
(17) $
12/27/2012
$
(3)
3/25/2013
$
(11) $
1,030,000
$
$
12/30/2009
$
(2,900,000) $
3/26/2010
$
(1,600,000)
7/14/2010
$
9/30/2010
$
3/9/2011
$
1/22/2010
$
3/26/2010
7/14/2010
1,600,000
Termination of SPA
Updated portfolio data from servicer & HAFA
initial cap
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
Updated due to quarterly assessment and
580,206 reallocation
Updated due to quarterly assessment and
580,189 reallocation
Updated due to quarterly assessment and
580,186 reallocation
Updated due to quarterly assessment and
580,175 reallocation
Updated portfolio data from servicer & HAFA
1,960,000 initial cap
$
360,000 Updated portfolio data from servicer
(260,000) $
100,000 Updated portfolio data from servicer
45,056
$
(145,056) $
145,056 Updated portfolio data from servicer
-
Termination of SPA
20,000
$
430,000 Updated HPDP cap & HAFA initial cap
$
400,000
$
830,000 Updated portfolio data from servicer
$
(430,000) $
400,000 Updated portfolio data from servicer
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)
$
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment
580,220 reallocation
Updated due to quarterly assessment
580,215 reallocation
Updated due to quarterly assessment
580,211 reallocation
Updated due to quarterly assessment
580,200 reallocation
Updated due to quarterly assessment
580,198 reallocation
Updated due to quarterly assessment
580,191 reallocation
1/22/2010
$
4,370,000
$
98,030,000
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
$
3/30/2011
$
6/29/2011
$
3/15/2012
$
6/28/2012
(9,900,000)
$
97,150,956
(88) $
97,150,868
(773) $
97,150,095
(1,400,000)
$
95,750,095
$
(277) $
95,749,818
9/27/2012
$
(549) $
95,749,269
12/27/2012
$
(65) $
95,749,204
2/14/2013
$
3/25/2013
$
1/22/2010
$
3/26/2010
$
5/12/2010
$
7/14/2010
(2,670,000)
$
93,079,204
(142) $
93,079,062
40,000
$
(760,000) $
2,630,000
and
and
and
and
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
800,000 Updated HPDP cap & HAFA initial cap
40,000 Updated portfolio data from servicer
2,670,000
Updated portfolio data from servicer
$
(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)
$
2,465,941
3/30/2011
$
(4)
$
2,465,937
6/29/2011
$
(40) $
2,465,897
6/28/2012
$
(29) $
2,465,868
9/27/2012
$
(80) $
2,465,788
12/27/2012
$
(14) $
2,465,774
3/25/2013
$
(52) $
2,465,722
Updated portfolio data from servicer
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
4/21/2010
$
(1,070,000) $
-
Termination of SPA
4/21/2010
$
(510,000) $
-
Termination of SPA
1/22/2010
$
$
and
Updated HPDP cap & HAFA initial cap
$
10,000
and
and
and
and
and
and
and
80,000 Updated HPDP cap & HAFA initial cap
93
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Pricing
Mechanism
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
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
11/18/2009
Hillsdale County National Bank
Hillsdale
MI
Purchase
Financial Instrument for Home Loan Modifications
$
1,670,000
N/A
1000443
1000443
1000443
1000443
1000443
1000443
1000443
1000443
1000443
1000443
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
10412
10412
10412
10412
10412
AZ
Purchase
Financial Instrument for Home Loan Modifications
$
20,360,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
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)
$
2,175,831
3/30/2011
$
(4)
$
2,175,827
6/29/2011
$
(35) $
2,175,792
6/28/2012
$
(26) $
2,175,766
9/27/2012
$
(70) $
2,175,696
12/27/2012
$
(12) $
2,175,684
3/25/2013
$
(45) $
2,175,639
Updated portfolio data from servicer
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
1/22/2010
$
3/26/2010
7/14/2010
and
and
and
and
and
and
890,000
$
19,850,000
Updated HPDP cap & HAFA initial cap
$
3,840,000
$
23,690,000
Updated portfolio data from servicer
$
(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
$
33,461,630
3/30/2011
$
(58) $
33,461,572
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
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
$
34,461,572
6/29/2011
$
(559) $
34,461,013
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
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
$
35,491,013
6/28/2012
$
(428) $
35,490,585
(1,184) $
35,489,401
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
$
33,579,401
Transfer of cap due to servicing transfer
$
(980,000) $
32,599,401
12/27/2012
$
(187) $
32,599,214
3/25/2013
$
(707) $
32,598,507
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
4/16/2013
$
(240,000) $
32,358,507
Transfer of cap due to servicing transfer
1/22/2010
$
80,000
$
1,750,000
Updated HPDP cap & HAFA initial cap
3/26/2010
$
330,000
$
2,080,000
Updated portfolio data from servicer
7/14/2010
$
$
1,000,000
Updated portfolio data from servicer
9/30/2010
$
160,445
$
1,160,445
Updated portfolio data from servicer
1/6/2011
$
(1)
$
1,160,444
3/30/2011
$
(2)
$
1,160,442
6/29/2011
$
(16) $
1,160,426
6/28/2012
$
(12) $
1,160,414
9/27/2012
$
(33) $
1,160,381
12/27/2012
$
(6)
$
1,160,375
3/25/2013
$
(21) $
1,160,354
Updated portfolio data from servicer
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
3/26/2010
$
(10,000) $
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
145,055 reallocation
Updated due to quarterly assessment
145,054 reallocation
Updated due to quarterly assessment
145,052 reallocation
Updated due to quarterly assessment
145,051 reallocation
1/22/2010
$
950,000
$
21,310,000
3/26/2010
$
(17,880,000)
$
3,430,000
6/16/2010
$
1,030,000
$
4,460,000
Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
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
9/27/2012
$
10/16/2012
$
11/15/2012
(1,910,000)
(1,080,000)
and
and
and
and
and
and
10,000 Updated portfolio data from servicer
and
and
and
and
Updated HPDP cap & HAFA initial cap
94
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Pricing
Mechanism
Note
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
10412
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
ID
Purchase
Financial Instrument for Home Loan Modifications
$
9,430,000
N/A
10223
10223
10223
10223
10223
10223
10223
10223
10223
12/9/2009
Spirit of Alaska Federal Credit Union
Fairbanks
AK
Purchase
Financial Instrument for Home Loan Modifications
$
360,000
N/A
1000475
1000475
1000475
1000475
1000475
1000475
12/9/2009
American Eagle Federal Credit Union
East Hartford
1001228
1001228
1001228
1001228
1001228
CT
Purchase
Financial Instrument for Home Loan Modifications
$
1,590,000
N/A
Adjustment
Date
Cap Adjustment Amount
9/30/2010
$
Adjusted Cap
1,357,168
$
Reason for Adjustment
5,657,168
Updated portfolio data from servicer
Updated portfolio data from servicer
1/6/2011
$
(1)
$
5,657,167
3/16/2011
$
5,700,000
$
11,357,167
3/30/2011
$
(6)
$
11,357,161
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
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
$
19,857,161
6/29/2011
$
(154) $
19,857,007
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
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)
$
7,007,007
6/28/2012
$
(38) $
7,006,969
8/16/2012
$
(90,000) $
6,916,969
9/27/2012
$
(103) $
6,916,866
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
10/16/2012
$
$
5,896,866
Transfer of cap due to servicing transfer
11/15/2012
$
$
6,066,866
12/27/2012
$
(15) $
6,066,851
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
2/14/2013
$
(100,000) $
5,966,851
Transfer of cap due to servicing transfer
3/14/2013
$
(490,000) $
5,476,851
3/25/2013
$
(61) $
5,476,790
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
4/16/2013
$
(10,000) $
5,466,790
Transfer of cap due to servicing transfer
4/21/2010
$
(230,000) $
-
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)
$
1,450,554
3/30/2011
$
(2)
$
1,450,552
Updated portfolio data from servicer
Updated due to quarterly assessment and
reallocation
6/16/2011
$
(100,000) $
1,350,552
6/29/2011
$
(21) $
1,350,531
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)
$
1/22/2010
$
440,000
$
9,870,000
3/26/2010
$
14,480,000
$
24,350,000
5/26/2010
$
(24,200,000)
$
150,000 Updated portfolio data from servicer
7/14/2010
$
150,000
$
300,000 Updated portfolio data from servicer
9/30/2010
$
(9,889) $
6/29/2011
$
(3)
$
6/28/2012
$
(2)
$
9/27/2012
$
(6)
$
12/27/2012
$
(1)
$
3/25/2013
$
(3)
$
290,111 Updated portfolio data from servicer
Updated due to quarterly assessment
290,108 reallocation
Updated due to quarterly assessment
290,106 reallocation
Updated due to quarterly assessment
290,100 reallocation
Updated due to quarterly assessment
290,099 reallocation
Updated due to quarterly assessment
290,096 reallocation
1/22/2010
$
10,000
$
370,000 Updated HPDP cap & HAFA initial cap
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) $
9/30/2010
$
70,334
$
870,334 Updated portfolio data from servicer
1/6/2011
$
(1)
$
3/30/2011
$
(1)
$
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
(1,020,000)
170,000
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Termination of SPA
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
14,917 Termination of SPA
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment
145,055 reallocation
Updated due to quarterly assessment
145,054 reallocation
Updated due to quarterly assessment
145,052 reallocation
Updated due to quarterly assessment
145,051 reallocation
and
and
and
and
Updated HPDP cap & HAFA initial cap
Updated portfolio data from servicer
and
and
and
and
and
Termination of SPA
800,000 Updated portfolio data from servicer
95
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Pricing
Mechanism
Note
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
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
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
12/9/2009
Sterling Savings Bank
Spokane
WA
Purchase
Financial Instrument for Home Loan Modifications
$
2,250,000
N/A
1000638
1000638
1000638
1000638
techno
1000638
1000638
1000638
1000638
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
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
Updated due to quarterly assessment and
870,319 reallocation
6/29/2011
$
(13) $
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)
$
2,175,832
3/30/2011
$
(3)
$
2,175,829
6/29/2011
$
(26) $
2,175,803
6/28/2012
$
(21) $
2,175,782
9/27/2012
$
(57) $
2,175,725
12/27/2012
$
(10) $
2,175,715
3/25/2013
$
(37) $
2,175,678
Updated portfolio data from servicer
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
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)
$
1,015,388
3/30/2011
$
(2)
$
1,015,386
6/29/2011
$
(16) $
1,015,370
6/28/2012
$
(12) $
1,015,358
9/27/2012
$
(32) $
1,015,326
12/27/2012
$
(5)
$
1,015,321
3/25/2013
$
(21) $
1,015,300
Updated portfolio data from servicer
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
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)
$
4,206,608
3/30/2011
$
(4)
$
4,206,604
6/29/2011
$
(35) $
4,206,569
6/28/2012
$
(9)
$
4,206,560
9/27/2012
$
(14) $
4,206,546
12/27/2012
$
(2)
$
4,206,544
3/25/2013
$
(8)
$
4,206,536
Updated portfolio data from servicer
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
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) $
9/30/2010
$
550,556
$
1,450,556
Updated portfolio data from servicer
1/6/2011
$
(1)
$
1,450,555
3/30/2011
$
(1)
$
1,450,554
6/29/2011
$
(11) $
1,450,543
9/27/2012
$
30,907
$
1,481,450
12/27/2012
$
58,688
$
1,540,138
3/25/2013
$
235,175
$
1,775,313
Updated portfolio data from servicer
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
1/22/2010
$
20,000
$
3/26/2010
$
820,000
$
7/14/2010
$
(350,000) $
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
$
3/26/2010
5/26/2010
Termination of SPA
and
and
and
and
and
and
and
and
and
and
and
and
Termination of SPA
and
and
and
and
and
and
900,000 Updated portfolio data from servicer
and
and
and
and
and
330,000 Updated HPDP cap & HAFA initial cap
1,150,000
Updated portfolio data from servicer
800,000 Updated portfolio data from servicer
13,323 Termination of SPA
20,000
$
390,000 Updated HPDP cap & HAFA initial cap
$
1,250,000
$
1,640,000
$
(1,640,000)
$
-
1/22/2010
$
30,000
$
3/26/2010
$
400,000
$
7/14/2010
$
(330,000) $
Updated portfolio data from servicer
Termination of SPA
630,000 Updated HPDP cap & HAFA initial cap
1,030,000
Updated portfolio data from servicer
700,000 Updated portfolio data from servicer
96
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Pricing
Mechanism
Note
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
12/11/2009
The Bryn Mawr Trust Co.
12/16/2009
Citizens First National Bank
Bryn Mawr
PA
Purchase
Financial Instrument for Home Loan Modifications
$
150,000
N/A
Spring Valley
IL
Purchase
Financial Instrument for Home Loan Modifications
$
620,000
N/A
9
1000631
1000438
1000438
1000438
1000438
1000438
1000438
1000438
1000438
1000438
1000438
12/16/2009
Garden City
Golden Plains Credit Union
KS
Purchase
Financial Instrument for Home Loan Modifications
$
170,000
N/A
1001397
1001397
1001397
1001397
12/16/2009
First Federal Savings and Loan Association of Lakewood
Lakewood
OH
Purchase
Financial Instrument for Home Loan Modifications
$
3,460,000
N/A
1000828
12/16/2009
Seattle
Sound Community Bank
WA
Purchase
Financial Instrument for Home Loan Modifications
$
440,000
N/A
10524
10524
10524
12/16/2009
Michigan City
Horizon Bank, NA
IN
Purchase
Financial Instrument for Home Loan Modifications
$
700,000
N/A
1000825
1000825
1000825
1000825
1000825
1000825
1000825
1000825
12/16/2009
Solon
Park View Federal Savings Bank
OH
Purchase
Financial Instrument for Home Loan Modifications
$
760,000
N/A
10025
10025
10025
10025
10025
10025
10025
12
10025
12/23/2009
Sarasota
Iberiabank
FL
Purchase
Financial Instrument for Home Loan Modifications
$
4,230,000
N/A
1001411
1001411
1001411
1001411
1001411
1001411
12
1001411
12/23/2009
Grafton Suburban Credit Union
North Grafton
MA
Purchase
Financial Instrument for Home Loan Modifications
$
340,000
N/A
Adjustment
Date
Cap Adjustment Amount
9/30/2010
$
Adjusted Cap
Reason for Adjustment
25,278
$
725,278 Updated portfolio data from servicer
(1)
$
725,277 Updated portfolio data from servicer
1/6/2011
$
2/17/2011
$
1/22/2010
$
3/26/2010
7/14/2010
9/30/2010
$
60,445
1/6/2011
$
3/30/2011
(725,277) $
-
Termination of SPA
30,000
$
660,000 Updated HPDP cap & HAFA initial cap
$
800,000
$
1,460,000
Updated portfolio data from servicer
$
(360,000) $
1,100,000
Updated portfolio data from servicer
$
1,160,445
Updated portfolio data from servicer
(2)
$
1,160,443
$
(2)
$
1,160,441
6/29/2011
$
(18) $
1,160,423
6/28/2012
$
(14) $
1,160,409
9/27/2012
$
(37) $
1,160,372
12/27/2012
$
(6)
$
1,160,366
3/25/2013
$
(24) $
1,160,342
Updated portfolio data from servicer
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
4/21/2010
$
(150,000) $
-
and
and
and
and
and
and
Termination of SPA
6/16/2011
$
100,000
$
100,000 Transfer of cap due to servicing transfer
1/22/2010
$
30,000
$
650,000 Updated HPDP cap & HAFA initial cap
3/26/2010
$
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)
$
1,595,610
3/30/2011
$
(3)
$
1,595,607
6/29/2011
$
(24) $
1,595,583
6/28/2012
$
(16) $
1,595,567
9/27/2012
$
(45) $
1,595,522
12/27/2012
$
(8)
$
1,595,514
3/25/2013
$
(30) $
1,595,484
Updated portfolio data from servicer
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
1/22/2010
$
3/26/2010
7/14/2010
(580,000) $
70,000 Updated portfolio data from servicer
and
and
and
and
and
and
10,000
$
180,000 Updated HPDP cap & HAFA initial cap
$
30,000
$
210,000 Updated portfolio data from servicer
$
(10,000) $
200,000 Updated portfolio data from servicer
9/30/2010
$
90,111
290,111 Updated portfolio data from servicer
2/17/2011
$
1/22/2010
$
160,000
$
3,620,000
4/21/2010
$
(3,620,000) $
-
$
(290,111) $
-
Termination of SPA
Updated HPDP cap & HAFA initial cap
Termination of SPA
1/22/2010
$
20,000
$
3/26/2010
$
1,430,000
$
1,890,000
460,000 Updated HPDP cap & HAFA initial cap
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)
$
9/30/2010
$
850,556
$
1,450,556
Updated portfolio data from servicer
1/6/2011
$
(2)
$
1,450,554
3/30/2011
$
(2)
$
1,450,552
6/29/2011
$
(23) $
1,450,529
6/28/2012
$
(17) $
1,450,512
Updated portfolio data from servicer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
9/21/2012
$
(1,450,512)
$
1/22/2010
$
40,000
$
800,000 Updated HPDP cap & HAFA initial cap
3/26/2010
$
140,000
$
940,000 Updated portfolio data from servicer
7/14/2010
$
(140,000) $
800,000 Updated portfolio data from servicer
9/30/2010
$
70,334
$
870,334 Updated portfolio data from servicer
1/6/2011
$
(1)
$
3/30/2011
$
(1)
$
6/29/2011
$
(12) $
6/28/2012
$
(10) $
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment and
870,332 reallocation
Updated due to quarterly assessment and
870,320 reallocation
Updated due to quarterly assessment and
870,310 reallocation
9/14/2012
$
(816,373) $
1/22/2010
$
200,000
$
4,430,000
Updated HPDP cap & HAFA initial cap
3/26/2010
$
(1,470,000)
$
2,960,000
Updated portfolio data from servicer
7/14/2010
$
(1,560,000)
$
1,400,000
Updated portfolio data from servicer
9/30/2010
$
5,852,780
$
7,252,780
Updated portfolio data from servicer
1/6/2011
$
(11) $
7,252,769
3/30/2011
$
(13) $
7,252,756
Updated portfolio data from servicer
Updated due to quarterly assessment and
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
$
-
Termination of SPA
730,000 Updated HPDP cap & HAFA initial cap
2,470,000
Updated portfolio data from servicer
600,000 Updated portfolio data from servicer
-
Termination of SPA
53,937 Termination of SPA
25,502 Termination of SPA
360,000 Updated HPDP cap & HAFA initial cap
97
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Pricing
Mechanism
Note
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
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
1000635
CO
Purchase
Financial Instrument for Home Loan Modifications
$
64,150,000
N/A
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
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) $
1/25/2012
$
(725,265) $
3/26/2010
$
7/14/2010
9/30/2010
725,277 Updated portfolio data from servicer
Updated due to quarterly assessment and
725,276 reallocation
Updated due to quarterly assessment and
725,265 reallocation
-
Termination of SPA
90,000
$
150,000 Updated portfolio data from servicer
$
50,000
$
200,000 Updated portfolio data from servicer
$
(54,944) $
145,056 Updated portfolio data from servicer
5/20/2011
$
(145,056) $
3/26/2010
$
(20,000) $
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)
$
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
$
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)
$
12,910,000
5/14/2010
$
3,000,000
$
15,910,000
6/16/2010
$
4,860,000
$
20,770,000
7/14/2010
$
3,630,000
$
24,400,000
7/16/2010
$
330,000
$
24,730,000
Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
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
$
$
23,934,174
Updated portfolio data from servicer
11/16/2010
$
$
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
$
32,734,142
3/30/2011
$
(36) $
32,734,106
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
4/13/2011
$
1,000,000
$
33,734,106
Transfer of cap due to servicing transfer
5/13/2011
$
100,000
$
33,834,106
Transfer of cap due to servicing transfer
6/16/2011
$
300,000
$
34,134,106
6/29/2011
$
(332) $
34,133,774
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
8/16/2011
$
100,000
$
34,233,774
Transfer of cap due to servicing transfer
9/15/2011
$
300,000
$
34,533,774
Transfer of cap due to servicing transfer
10/14/2011
$
300,000
$
34,833,774
Transfer of cap due to servicing transfer
12/15/2011
$
(1,700,000)
$
33,133,774
Transfer of cap due to servicing transfer
1/13/2012
$
1,600,000
$
34,733,774
Transfer of cap due to servicing transfer
2/16/2012
$
100,000
$
34,833,774
Transfer of cap due to servicing transfer
3/15/2012
$
100,000
$
34,933,774
Transfer of cap due to servicing transfer
4/16/2012
$
77,600,000
$
112,533,774
Transfer of cap due to servicing transfer
5/16/2012
$
40,000
$
112,573,774
Transfer of cap due to servicing transfer
6/14/2012
$
(350,000) $
112,223,774
6/28/2012
$
(1,058) $
112,222,716
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
7/16/2012
$
4,430,000
$
116,652,716
Transfer of cap due to servicing transfer
8/16/2012
$
(1,280,000)
$
115,372,716
9/27/2012
$
(3,061) $
115,369,655
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
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
(1)
(1,695,826)
200,000
$
-
Termination of SPA
90,000 Updated portfolio data from servicer
-
Termination of SPA
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment and
580,220 reallocation
Updated due to quarterly assessment and
580,212 reallocation
Updated due to quarterly assessment and
580,206 reallocation
24,954 Termination of SPA
870,333 Updated portfolio data from servicer
-
-
Termination of SPA
Termination of SPA
Updated portfolio data from servicer
Transfer of cap from CitiMortgage, Inc. due to
servicing transfer
Transfer of cap from CitiMortgage, Inc. due to
servicing transfer
98
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Pricing
Mechanism
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
1/15/2010
Digital Federal Credit Union
1/29/2010
iServe Residential Lending, LLC
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
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
3/3/2010
Urban Trust Bank
3/5/2010
iServe Servicing, Inc.
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
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
3/10/2010
Wyomissing
VIST Financial Corp
1000468
PA
Purchase
Financial Instrument for Home Loan Modifications
$
300,000
N/A
Note
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
24,180,000
Reason for Adjustment
12/14/2012
$
$
146,029,655
(663) $
146,028,992
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
12/27/2012
$
1/16/2013
$
2,410,000
$
2/14/2013
$
6,650,000
$
148,438,992
Transfer of cap due to servicing transfer
155,088,992
3/14/2013
$
(1,450,000)
Transfer of cap due to servicing transfer
$
153,638,992
3/25/2013
$
(2,584) $
153,636,408
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
4/16/2013
$
3/26/2010
$
8,680,000
(750,000) $
$
152,886,408
Transfer of cap due to servicing transfer
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)
$
870,333 Updated portfolio data from servicer
Updated due to quarterly assessment
870,332 reallocation
Updated due to quarterly assessment
870,324 reallocation
Updated due to quarterly assessment
870,320 reallocation
Updated due to quarterly assessment
870,310 reallocation
Updated due to quarterly assessment
870,308 reallocation
Updated due to quarterly assessment
870,301 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) $
535,166 Updated portfolio data from servicer
Updated due to quarterly assessment
535,165 reallocation
Updated due to quarterly assessment
535,158 reallocation
Updated due to quarterly assessment
535,152 reallocation
Updated due to quarterly assessment
535,137 reallocation
Updated due to quarterly assessment
535,134 reallocation
Updated due to quarterly assessment
535,124 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) $
725,277 Updated portfolio data from servicer
Updated due to quarterly assessment
725,276 reallocation
Updated due to quarterly assessment
725,265 reallocation
Updated due to quarterly assessment
725,257 reallocation
Updated due to quarterly assessment
725,235 reallocation
Updated due to quarterly assessment
725,231 reallocation
Updated due to quarterly assessment
725,217 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
9/30/2010
$
100,000
$
15,600,000
Initial FHA-HAMP cap
9/30/2010
$
$
12,474,782
Updated portfolio data from servicer
11/16/2010
$
$
13,274,782
Transfer of cap due to servicing transfer
1/6/2011
$
(20) $
13,274,762
3/30/2011
$
(24) $
13,274,738
6/29/2011
$
(221) $
13,274,517
6/28/2012
$
(169) $
13,274,348
9/27/2012
$
(465) $
13,273,883
12/27/2012
$
(78) $
13,273,805
3/25/2013
$
(297) $
13,273,508
Updated portfolio data from servicer
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
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) $
16,971,482
3/30/2011
$
(26) $
16,971,456
6/29/2011
$
(238) $
16,971,218
6/28/2012
$
(145) $
16,971,073
9/27/2012
$
(374) $
16,970,699
12/27/2012
$
(58) $
16,970,641
3/25/2013
$
(199) $
16,970,442
Updated portfolio data from servicer
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
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
(3,125,218)
800,000
$
$
$
9,450,000
15,240,000
-
5,500,000
Updated portfolio data from servicer
and
and
and
and
and
and
Updated portfolio data from servicer
Termination of SPA
and
and
and
and
and
and
and
and
and
and
and
and
Updated portfolio data from servicer
Termination of SPA
and
and
and
and
and
and
and
and
and
and
and
and
99
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Investment Description
Pricing
Mechanism
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Note
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
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
6/16/2010
Houston
Selene Finance LP
TX
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
1001460
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
1001708
1001708
1001708
1001708
OH
Purchase
Financial Instrument for Home Loan Modifications
$
700,000
N/A
9
Adjustment
Date
Cap Adjustment Amount
1/6/2011
$
3/30/2011
6/29/2011
Adjusted Cap
Reason for Adjustment
(1)
$
$
(1)
$
$
(11) $
6/28/2012
$
(8)
9/27/2012
$
(22) $
12/27/2012
$
(4)
3/25/2013
$
(14) $
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)
$
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)
$
3,647,822
3/30/2011
$
(6)
$
3,647,816
Updated portfolio data from servicer
Updated due to quarterly assessment and
reallocation
4/13/2011
$
(3,000,000)
$
6/29/2011
$
(9)
$
6/28/2012
$
(7)
$
9/27/2012
$
(19) $
12/27/2012
$
(3)
3/25/2013
$
(12) $
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)
$
6/16/2010
$
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
$
$
13,523,814
3/30/2011
$
(24) $
13,523,790
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
4/13/2011
$
$
16,423,790
Transfer of cap due to servicing transfer
6/16/2011
$
(200,000) $
16,223,790
6/29/2011
$
(273) $
16,223,517
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
10/14/2011
$
100,000
$
16,323,517
Transfer of cap due to servicing transfer
11/16/2011
$
1,100,000
$
17,423,517
Transfer of cap due to servicing transfer
4/16/2012
$
200,000
$
17,623,517
Transfer of cap due to servicing transfer
5/16/2012
$
10,000
$
17,633,517
Transfer of cap due to servicing transfer
6/14/2012
$
(300,000) $
17,333,517
6/28/2012
$
(218) $
17,333,299
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
7/16/2012
$
40,000
$
17,373,299
Transfer of cap due to servicing transfer
8/16/2012
$
480,000
$
17,853,299
9/27/2012
$
(600) $
17,852,699
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
11/15/2012
$
12/27/2012
$
3/14/2013
$
3/25/2013
$
9/30/2010
$
1,585,945
$
2,465,945
Updated portfolio data from servicer
1/6/2011
$
(4)
$
2,465,941
3/30/2011
$
(4)
$
2,465,937
6/29/2011
$
(40) $
2,465,897
6/28/2012
$
(30) $
2,465,867
Updated portfolio data from servicer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
8/10/2012
$
(2,465,867)
$
-
9/30/2010
$
1,040,667
$
1,740,667
Updated portfolio data from servicer
1/6/2011
$
(2)
$
1,740,665
3/30/2011
$
(3)
$
1,740,662
6/29/2011
$
(28) $
1,740,634
Updated portfolio data from servicer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
8/10/2011
$
2,100,000
2,900,000
70,000
$
$
$
725,277 Updated portfolio data from servicer
Updated due to quarterly assessment
725,276 reallocation
Updated due to quarterly assessment
725,265 reallocation
Updated due to quarterly assessment
725,257 reallocation
Updated due to quarterly assessment
725,235 reallocation
Updated due to quarterly assessment
725,231 reallocation
Updated due to quarterly assessment
725,217 reallocation
and
and
and
Termination of SPA
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
Transfer of cap from CitiMortgage, Inc. due to
3,680,000 servicing transfer
6,980,000 Transfer of cap due to servicing transfer
17,922,699
17,922,597
$
18,012,597
(384) $
18,012,213
$
and
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
$
(1,740,634)
and
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
(102) $
90,000
and
-
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Termination of SPA
Termination of SPA
100
Servicer Modifying Borrowers' Loans
Name of Institution
Date
8/25/2010
Adjustment Details
City
Oswego
Pathfinder Bank
State
Transaction
Type
NY
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
$
1,300,000
Note
N/A
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
9/1/2010
Raleigh
RBC Bank (USA)
NC
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1001421
1001421
1001421
1001421
1001421
15
1001421
9/3/2010
Chicago
Fay Servicing, LLC
IL
Purchase
Financial Instrument for Home Loan Modifications
$
3,100,000
N/A
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
1001727
9/15/2010
Oklahoma City
Vericrest Financial, Inc.
OK
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
1001557
9/15/2010
Midwest Community Bank
Freeport
IL
Purchase
Financial Instrument for Home Loan Modifications
$
400,000
N/A
9
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
9/30/2010
$
2,181,334
$
3,481,334
Updated portfolio data from servicer
Updated portfolio data from servicer
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
1/6/2011
$
(5)
$
3,481,329
3/30/2011
$
(6)
$
3,481,323
6/29/2011
$
(58) $
3,481,265
6/28/2012
$
(43) $
3,481,222
9/27/2012
$
(119) $
3,481,103
12/27/2012
$
(20) $
3,481,083
3/25/2013
$
(76) $
3,481,007
9/30/2010
$
7,014,337
$
11,314,337
Updated portfolio data from servicer
Updated portfolio data from servicer
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
and
and
and
and
and
and
1/6/2011
$
(17) $
11,314,320
3/30/2011
$
(20) $
11,314,300
6/29/2011
$
(192) $
11,314,108
6/28/2012
$
(144) $
11,313,964
9/27/2012
$
(396) $
11,313,568
12/27/2012
$
(67) $
11,313,501
3/25/2013
$
(253) $
11,313,248
9/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
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
and
and
and
and
and
and
1/6/2011
$
34,944
$
3/30/2011
$
40,000
$
6/29/2011
$
50,000
$
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
$
1/6/2011
5,168,169
-
Termination of SPA
$
8,268,169
Updated portfolio data from servicer
$
(12) $
8,268,157
3/30/2011
$
(15) $
8,268,142
Updated portfolio data from servicer
Updated due to quarterly assessment and
reallocation
4/13/2011
$
6/29/2011
$
400,000
$
8,668,142
(143) $
8,667,999
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
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) $
12,797,999
6/28/2012
$
(105) $
12,797,894
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
7/16/2012
$
50,000
$
12,847,894
Transfer of cap due to servicing transfer
8/16/2012
$
90,000
$
12,937,894
9/27/2012
$
(294) $
12,937,600
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
10/16/2012
$
12/27/2012
$
1/16/2013
$
2/14/2013
$
3/14/2013
$
3/25/2013
$
4/16/2013
$
200,000
9/15/2010
$
1,000,000
9/30/2010
$
1,810,000
$
14,747,600
(61) $
14,747,539
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
$
14,777,539
Transfer of cap due to servicing transfer
(590,000) $
14,187,539
Transfer of cap due to servicing transfer
(80,000) $
14,107,539
(214) $
14,107,325
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
$
14,307,325
Transfer of cap due to servicing transfer
$
1,000,000
Transfer of cap due to servicing transfer
450,556
$
1,450,556
Updated portfolio data from servicer
30,000
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
$
14,650,554
3/30/2011
$
(24) $
14,650,530
6/29/2011
$
(227) $
14,650,303
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
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
$
31,950,303
6/28/2012
$
(266) $
31,950,037
(689) $
31,949,348
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
9/27/2012
$
11/15/2012
$
12/27/2012
$
1/16/2013
$
3/25/2013
$
9/30/2010
$
720,000
$
32,669,348
(114) $
32,669,234
8,020,000
$
40,689,234
(591) $
40,688,643
180,222
$
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
580,222 Updated portfolio data from servicer
101
Servicer Modifying Borrowers' Loans
Adjustment Details
Name of Institution
Date
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Pricing
Mechanism
Note
1000879
1000879
1000879
1000879
1000879
1000879
1000879
9/24/2010
American Finance House LARIBA
9/24/2010
Centrue Bank
Pasadena
CA
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
Ottawa
IL
Purchase
Financial Instrument for Home Loan Modifications
$
1,900,000
N/A
1000704
10204
10204
9/30/2010
AgFirst Farm Credit Bank
9/30/2010
Amarillo National Bank
Columbia
SC
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
Amarillo
TX
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
1001220
4, 8
1000478
1000478
1000478
1000478
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
9/30/2010
Coral Gables
Capital International Financial, Inc.
FL
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1001930
1001930
1001930
1001930
9/24/2010
Citizens Community Bank
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
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
First Safety Bank
Cincinnati
OH
Purchase
Financial Instrument for Home Loan Modifications
$
400,000
N/A
Troy
MI
Purchase
Financial Instrument for Home Loan Modifications
$
800,000
N/A
1000487
1000487
9/30/2010
Flagstar Capital Markets Corporation
7, 8
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
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) $
9/30/2010
$
45,056
$
$
Reason for Adjustment
580,221 Updated portfolio data from servicer
Updated due to quarterly assessment
580,220 reallocation
Updated due to quarterly assessment
580,212 reallocation
Updated due to quarterly assessment
580,206 reallocation
Updated due to quarterly assessment
580,189 reallocation
Updated due to quarterly assessment
580,186 reallocation
Updated due to quarterly assessment
580,175 reallocation
and
and
and
and
and
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
$
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
Updated portfolio data from servicer
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
(145,056) $
and
-
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
145,055 reallocation
Updated due to quarterly assessment
145,054 reallocation
Updated due to quarterly assessment
145,052 reallocation
Updated due to quarterly assessment
145,051 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment
145,055 reallocation
Updated due to quarterly assessment
145,054 reallocation
Updated due to quarterly assessment
145,052 reallocation
Updated due to quarterly assessment
145,051 reallocation
1/6/2011
$
(3)
$
2,465,942
3/30/2011
$
(4)
$
2,465,938
6/29/2011
$
(36) $
2,465,902
6/28/2012
$
(30) $
2,465,872
9/27/2012
$
(83) $
2,465,789
12/27/2012
$
(14) $
2,465,775
3/25/2013
$
(53) $
2,465,722
9/30/2010
$
45,056
$
6/29/2011
$
(1)
$
6/28/2012
$
(1)
$
9/27/2012
$
(2)
$
3/25/2013
$
(1)
$
9/30/2010
$
360,445
$
1,160,445
Updated portfolio data from servicer
Updated portfolio data from servicer
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment
145,055 reallocation
Updated due to quarterly assessment
145,054 reallocation
Updated due to quarterly assessment
145,052 reallocation
Updated due to quarterly assessment
145,051 reallocation
and
and
and
and
and
and
and
and
and
and
and
and
and
and
and
and
and
and
1/6/2011
$
(2)
$
1,160,443
3/23/2011
$
(1,160,443)
$
-
9/30/2010
$
901,112
$
2,901,112
Updated portfolio data from servicer
1/6/2011
$
(4)
$
2,901,108
3/30/2011
$
(5)
$
2,901,103
6/29/2011
$
(48) $
2,901,055
6/28/2012
$
(36) $
2,901,019
Updated portfolio data from servicer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
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)
$
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment
145,055 reallocation
Updated due to quarterly assessment
145,054 reallocation
Updated due to quarterly assessment
145,052 reallocation
Updated due to quarterly assessment
145,051 reallocation
9/30/2010
$
180,222
$
580,222 Updated portfolio data from servicer
(1)
$
580,221 Updated portfolio data from servicer
1/6/2011
$
3/23/2011
$
(580,221) $
9/30/2010
$
360,445
$
Termination of SPA
12,632 Termination of SPA
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment
145,055 reallocation
Updated due to quarterly assessment
145,054 reallocation
Updated due to quarterly assessment
145,052 reallocation
Updated due to quarterly assessment
145,051 reallocation
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment
145,055 reallocation
Updated due to quarterly assessment
145,054 reallocation
Updated due to quarterly assessment
145,052 reallocation
Updated due to quarterly assessment
145,051 reallocation
1,160,445
and
and
and
and
and
and
and
and
and
and
and
and
Termination of SPA
Updated portfolio data from servicer
102
Servicer Modifying Borrowers' Loans
Name of Institution
Date
Adjustment Details
City
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Pricing
Mechanism
Note
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
9/30/2010
Tulsa
Gateway Mortgage Group, LLC
OK
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1001744
1001744
1001744
1001744
9/30/2010
GFA Federal Credit Union
9/30/2010
Guaranty Bank
Gardner
MA
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
Saint Paul
MN
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
1001637
4, 8
10350
10350
10350
10350
9/24/2010
Kansas City
James B. Nutter & Company
MO
Purchase
Financial Instrument for Home Loan Modifications
$
300,000
N/A
4, 8
1000492
1000492
1000492
1000492
1000492
1000492
1000492
9/30/2010
New Orleans
Liberty Bank and Trust Co
LA
Purchase
Financial Instrument for Home Loan Modifications
$
1,000,000
N/A
1001010
1001010
1001010
1001010
1001010
1001010
1001010
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
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
9/30/2010
Mainstreet Credit Union
Lexena
KS
Purchase
Financial Instrument for Home Loan Modifications
$
500,000
N/A
Charlotte
NC
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
1001636
1001636
9/30/2010
Marsh Associates, Inc.
1001907
4, 8
Adjustment
Date
Cap Adjustment Amount
1/6/2011
$
3/30/2011
6/29/2011
Adjusted Cap
Reason for Adjustment
(2)
$
1,160,443
$
(2)
$
1,160,441
$
(18) $
1,160,423
6/28/2012
$
(14) $
1,160,409
9/27/2012
$
(37) $
1,160,372
12/27/2012
$
(6)
$
1,160,366
3/25/2013
$
(24) $
1,160,342
Updated portfolio data from servicer
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
9/30/2010
$
765,945
$
2,465,945
Updated portfolio data from servicer
Updated portfolio data from servicer
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
1/6/2011
$
(4)
$
2,465,941
3/30/2011
$
(4)
$
2,465,937
6/29/2011
$
(40) $
2,465,897
6/28/2012
$
(30) $
2,465,867
9/27/2012
$
(83) $
2,465,784
12/27/2012
$
(14) $
2,465,770
3/25/2013
$
(53) $
2,465,717
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
145,055 reallocation
Updated due to quarterly assessment
145,054 reallocation
Updated due to quarterly assessment
145,052 reallocation
Updated due to quarterly assessment
145,051 reallocation
9/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
3/23/2011
$
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
145,055 reallocation
Updated due to quarterly assessment
145,054 reallocation
Updated due to quarterly assessment
145,052 reallocation
Updated due to quarterly assessment
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)
$
435,166 Updated portfolio data from servicer
Updated due to quarterly assessment
435,165 reallocation
Updated due to quarterly assessment
435,159 reallocation
Updated due to quarterly assessment
435,155 reallocation
Updated due to quarterly assessment
435,143 reallocation
Updated due to quarterly assessment
435,141 reallocation
Updated due to quarterly assessment
435,133 reallocation
9/30/2010
$
450,556
$
1,450,556
Updated portfolio data from servicer
(145,056) $
-
1/6/2011
$
(2)
$
1,450,554
$
(2)
$
1,450,552
6/29/2011
$
(23) $
1,450,529
6/28/2012
$
(17) $
1,450,512
9/27/2012
$
(48) $
1,450,464
12/27/2012
$
(8)
$
1,450,456
3/25/2013
$
(30) $
1,450,426
Updated portfolio data from servicer
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
9/30/2010
$
315,389
$
1,015,389
Updated portfolio data from servicer
1/6/2011
$
(1)
$
1,015,388
3/30/2011
$
(1)
$
1,015,387
6/29/2011
$
(11) $
1,015,376
6/28/2012
$
(11) $
1,015,365
9/27/2012
$
(30) $
1,015,335
12/27/2012
$
(5)
$
1,015,330
3/25/2013
$
(20) $
1,015,310
Updated portfolio data from servicer
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
9/30/2010
$
630,778
$
2,030,778
Updated portfolio data from servicer
Updated portfolio data from servicer
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
1/6/2011
$
(3)
$
2,030,775
$
(3)
$
2,030,772
6/29/2011
$
(33) $
2,030,739
6/28/2012
$
(25) $
2,030,714
9/27/2012
$
(68) $
2,030,646
12/27/2012
$
(11) $
2,030,635
3/25/2013
$
(44) $
2,030,591
9/30/2010
$
1/6/2011
$
3/9/2011
$
9/30/2010
$
45,056
$
6/29/2011
$
(1)
$
225,278
$
725,278 Updated portfolio data from servicer
(1)
$
725,277 Updated portfolio data from servicer
(725,277) $
-
and
and
and
and
and
and
and
and
and
and
and
and
and
and
and
Termination of SPA
3/30/2011
3/30/2011
and
and
and
and
and
and
and
and
and
and
and
and
and
and
and
and
and
and
and
and
and
and
and
and
and
and
and
and
and
Termination of SPA
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment and
145,055 reallocation
103
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Investment Description
Pricing
Mechanism
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Note
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
9/30/2010
Mid America Mortgage, Inc. (Schmidt Mortgage
Company)
Rocky River
OH
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1001163
1001163
1001163
1001163
9/30/2010
Miles City
Stockman Bank of Montana
MT
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1000818
1000818
1000818
1000818
9/30/2010
Salt Lake City
University First Federal Credit Union
UT
Purchase
Financial Instrument for Home Loan Modifications
$
600,000
N/A
1001721
1001721
9/30/2010
Woodbridge
Weststar Mortgage, Inc.
VA
Purchase
Financial Instrument for Home Loan Modifications
$
100,000
N/A
4, 8
1001893
1001893
1001893
1001893
12/15/2010
Denver
Statebridge Company, LLC
CO
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
1001754
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
4/13/2011
Cleveland
New York Community Bank (AmTrust Bank)
10151
10151
10151
10151
10151
10151
OH
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
Reason for Adjustment
Updated due to quarterly assessment and
145,054 reallocation
Updated due to quarterly assessment and
145,053 reallocation
Updated due to quarterly assessment and
145,052 reallocation
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) $
93,415,681
3/30/2011
$
(139) $
93,415,542
6/29/2011
$
(1,223) $
93,414,319
6/28/2012
$
(797) $
Updated portfolio data from servicer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
7/16/2012
$
294,540,000
$
387,953,522
Transfer of cap due to servicing transfer
7/27/2012
$
(263,550,000)
$
124,403,522
9/27/2012
$
(3,170) $
124,400,352
12/27/2012
$
(507) $
124,399,845
3/25/2013
$
(1,729) $
124,398,116
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
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
145,055 reallocation
Updated due to quarterly assessment
145,054 reallocation
Updated due to quarterly assessment
145,052 reallocation
Updated due to quarterly assessment
145,051 reallocation
9/30/2010
$
270,334
$
870,334 Updated portfolio data from servicer
(1)
$
870,333 Updated portfolio data from servicer
93,413,522
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment
145,055 reallocation
Updated due to quarterly assessment
145,054 reallocation
Updated due to quarterly assessment
145,052 reallocation
Updated due to quarterly assessment
145,051 reallocation
1/6/2011
$
2/17/2011
$
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
(870,333) $
-
and
and
and
and
and
and
and
and
Termination of SPA
145,056 Updated portfolio data from servicer
Updated due to quarterly assessment
145,055 reallocation
Updated due to quarterly assessment
145,054 reallocation
Updated due to quarterly assessment
145,052 reallocation
Updated due to quarterly assessment
145,051 reallocation
and
and
and
and
1/6/2011
$
(7)
$
4,999,993
Updated portfolio data from servicer
2/16/2011
$
500,000
$
5,499,993
Transfer of cap due to servicing transfer
3/16/2011
$
100,000
$
5,599,993
3/30/2011
$
(9)
$
5,599,984
(85) $
6/29/2011
$
11/16/2011
$
3/15/2012
$
6/28/2012
$
5,599,899
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
$
3,099,899
Transfer of cap due to servicing transfer
$
3,299,899
(40) $
3,299,859
(100) $
(2,500,000)
200,000
9/27/2012
$
3,299,759
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
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) $
3,359,759
12/27/2012
$
(17) $
3,359,742
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
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
$
4,739,742
3/25/2013
$
(90) $
4,739,652
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
(10,000) $
4/16/2013
$
4,729,652
Transfer of cap due to servicing transfer
12/15/2010
$
4,300,000
$
4,300,000
Updated portfolio data from servicer
1/6/2011
$
(4)
$
4,299,996
6/29/2011
$
(5)
$
4,299,991
6/28/2012
$
(23) $
4,299,968
9/27/2012
$
(63) $
4,299,905
12/27/2012
$
(11) $
4,299,894
3/25/2013
$
(41) $
4,299,853
Updated portfolio data from servicer
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
reallocation
Updated due to quarterly assessment
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) $
and
and
and
and
and
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
104
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Adjustment Details
City
State
Transaction
Type
Investment Description
Pricing
Mechanism
Cap of Incentive Payments on Behalf of Borrowers and to Servicers & Lenders/Investors (Cap) 1
Note
10151
10151
4/13/2011
SunTrust Mortgage, Inc.
Richmond
VA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
4/13/2011
Urban Partnership Bank
Chicago
IL
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1001970
1001970
1001970
1001970
1001970
1001970
4/13/2011
Hawthorne
Western Federal Credit Union
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1001231
1001231
1001231
5/13/2011
Anaheim Hills
FCI Lender Services, Inc.
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
1002025
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
9/15/2011
Bangor Savings Bank
9/15/2011
PHH Mortgage Corporation
Bangor
ME
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
Mt. Laurel
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
10107
10107
10107
10107
10107
12/15/2011
Irvine
Rushmore Loan Management Services LLC
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
1002097
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
(3)
$
$
3/25/2013
$
4/13/2011
$
100,000
$
4/13/2011
$
1,000,000
$
1,000,000
6/29/2011
$
233,268
$
1,233,268
11/16/2011
$
100,000
$
1,333,268
6/28/2012
$
(3)
$
1,333,265
(12) $
Reason for Adjustment
Updated due to quarterly assessment and
799,962 reallocation
Updated due to quarterly assessment and
799,950 reallocation
12/27/2012
100,000 Transfer of cap due to servicing transfer
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
9/27/2012
$
(10) $
1,333,255
12/27/2012
$
(2)
$
1,333,253
3/25/2013
$
(7)
$
1,333,246
4/13/2011
$
200,000
$
6/29/2011
$
17,687
$
9/27/2012
$
(1)
$
3/25/2013
$
(1)
$
200,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
217,687 reallocation
Updated due to quarterly assessment and
217,686 reallocation
Updated due to quarterly assessment and
217,685 reallocation
5/13/2011
$
500,000
$
500,000 Transfer of cap due to servicing transfer
6/16/2011
$
100,000
$
6/29/2011
$
(9)
$
600,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
599,991 reallocation
7/14/2011
$
200,000
$
799,991 Transfer of cap due to servicing transfer
9/15/2011
$
100,000
$
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
$
5,359,991
6/28/2012
$
(66) $
5,359,925
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
7/16/2012
$
250,000
$
5,609,925
Transfer of cap due to servicing transfer
8/16/2012
$
90,000
$
5,699,925
9/27/2012
$
(191) $
5,699,734
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
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
$
5,949,734
12/27/2012
$
(34) $
5,949,700
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
1/16/2013
$
40,000
$
5,989,700
Transfer of cap due to servicing transfer
2/14/2013
$
50,000
$
6,039,700
Transfer of cap due to servicing transfer
3/14/2013
$
360,000
$
6,399,700
3/25/2013
$
(135) $
6,399,565
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
4/16/2013
$
(10,000) $
6,389,565
Transfer of cap due to servicing transfer
7/14/2011
$
200,000
$
11/16/2011
$
900,000
$
1,100,000
Transfer of cap due to servicing transfer
1/13/2012
$
100,000
$
1,200,000
6/28/2012
$
(9)
$
1,199,991
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
8/16/2012
$
20,000
$
1,219,991
9/27/2012
$
(26) $
1,219,965
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
10/16/2012
$
50,000
$
1,269,965
Transfer of cap due to servicing transfer
12/14/2012
$
10,000
$
1,279,965
12/27/2012
$
(5)
$
1,279,960
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
1/16/2013
$
130,000
$
1,409,960
Transfer of cap due to servicing transfer
2/14/2013
$
120,000
$
1,529,960
3/25/2013
$
(20) $
1,529,940
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
9/15/2011
$
100,000
$
9/15/2011
$
1,300,000
$
1,300,000
6/28/2012
$
(15) $
1,299,985
(42) $
1,299,943
899,991 Transfer of cap due to servicing transfer
200,000 Transfer of cap due to servicing transfer
100,000 Transfer of cap due to servicing transfer
9/27/2012
$
10/16/2012
$
140,000
$
1,439,943
12/27/2012
$
(8)
$
1,439,935
(30) $
1,439,905
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
Updated due to quarterly assessment and
reallocation
3/25/2013
$
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
$
10/16/2012
$
1,270,000
$
2,179,984
Transfer of cap due to servicing transfer
11/15/2012
$
230,000
$
2,409,984
12/27/2012
$
(5)
$
2,409,979
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
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
(13) $
909,997 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
909,984 reallocation
105
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
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
11/15/2012
Orange
Kondaur Capital Corporation
CA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1002292
1002292
1002292
1002292
12/14/2012
Quicken Loans Inc
Detroit
MI
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
2/14/2013
Home Servicing, LLC
Baton Rouge
LA
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
Knoxville
TN
Purchase
Financial Instrument for Home Loan Modifications
$
-
N/A
9
1002324
1002324
3/14/2013
21st Mortgage Corporation
1002367
Total Initial Cap
$
23,831,570,000
TOTAL CAP
Adjustment
Date
Cap Adjustment Amount
Adjusted Cap
1,980,000
Reason for Adjustment
3/14/2013
$
$
5,979,979
(77) $
5,979,902
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
3/25/2013
$
4/16/2013
$
340,000
$
1/13/2012
$
100,000
$
6,319,902
100,000 Transfer of cap due to servicing transfer
Transfer of cap due to servicing transfer
3/15/2012
$
100,000
$
100,000 Transfer of cap due to servicing transfer
6/14/2012
$
940,000
$
6/28/2012
$
205,242
$
9/27/2012
$
(3)
$
12/27/2012
$
(1)
$
940,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
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
$
11,235,238
3/25/2013
$
(219) $
11,235,019
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
12/14/2012
$
10,000
$
10,000 Transfer of cap due to servicing transfer
2/14/2013
$
510,000
$
3/25/2013
$
(9)
$
510,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
509,991 reallocation
4/16/2013
$
200,000
$
709,991 Transfer of cap due to servicing transfer
3/14/2013
$
130,000
$
3/25/2013
$
(1)
$
130,000 Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
129,999 reallocation
Total Cap Adjustments
$
6,037,129,760
$
29,868,699,760.28
1,145,242
Transfer of cap due to servicing transfer
Updated due to quarterly assessment and
reallocation
1/ The Cap of Incentive Payments represents the potential total amount allocated to each servicer and includes the maximum amount allotted for all payments on behalf of borrowers and payments to servicers and lenders/investors.
The Cap is subject to adjustment based on the total amount allocated to the program and individual servicer usage for borrower modifications. Each adjustment to the Cap is reflected under Adjustment Details.
2/ On July 31, 2009, the SPA with Chase Home Finance, LLC was terminated and superseded by new SPAs with J.P. Morgan Chase Bank, NA and EMC Mortgage Corporation.
3/ Wachovia Mortgage, FSB was merged with Wells Fargo Bank, NA, and the remaining Adjusted Cap stated above represents the amount previously paid to Wachovia Mortgage, FSB prior to such merger.
4/ Initial cap amount includes FHA-HAMP.
5/ Initial cap amount includes RD-HAMP.
6/ Initial cap amount includes 2MP.
7/ Initial cap amount includes FHA-2LP.
8/ Initial cap does not include HAMP.
9/ This institution executed an Assignment and Assumption Agreement (a copy of which is available on www.FinancialStability.gov) with respect to all rights and obligations for the transferred loan modifications. The amount transferred is realized as a cap adjustment and not as initial cap.
10/ The amendment reflects a change in the legal name of the institution.
11/ MorEquity, Inc executed a subservicing agreement with Nationstar Mortgage, LLC, that took effect 02/01/2011. All mortgage loans including all HAMP loans were transferred to Nationstar. The remaining Adjusted Cap stated above represents the amount previously paid to MorEquity, Inc. prior to such agreement.
12/ The remaining Adjusted Cap stated above represents the amount paid to servicer prior to SPA termination.
13/ Bank of America, N.A., Home Loan Services, Inc. and Wilshire Credit Corporation were merged into BAC Home Loans Servicing, LP. and the remaining Adjusted Cap stated above represents the amount previously paid to each servicer prior to such merger.
14/ In April 2011, EMC Mortgage, an indirect subsidiary of JP Morgan Chase & Co, transferred the servicing of all loans to JP Morgan Chase Bank, NA. The remaining Adjusted Cap stated above represents the amount previously paid to EMC Mortgage prior to such transfer.
15/ RBC Bank (USA) was merged with PNC Bank, NA, and the remaining Adjusted Cap stated above represents the amount previously paid to RBC Bank (USA) prior to such merger.
16/ On July 1, 2012, Saxon Mortgage Services, Inc. ceased servicing operations by selling its mortgage servicing rights and transferring the subservicing relationships to third-party servicers. The remaining Adjusted Cap stated above represents the amount previously paid to Saxon Mortgage Services, Inc. prior to ceasing servicing operations.
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
106
Supplemental Information [Not Required by EESA §114(a)]
Making Home Affordable Program
Non-GSE Incentive Payments (through April 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
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.
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
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.
Borrowers
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
250.00
5,035.81
10,755.21
24,689.43
15,997,418.00
4,267,061.97
233,132,166.67
6,256,778.60
6,003,176.75
7,286,980.81
1,592,323.25
78,759.63
55,102,816.87
17,250.01
3,000.00
47,221.24
6,028.28
7,569,459.20
472,020.60
20,041.57
712,997.19
2,775.62
1,000.00
305,510.85
1,750.00
3,833.34
4,000.00
47,755,055.08
7,916.67
51,683.87
1,871,852.24
36,742.83
916.67
25,419.74
169,857.80
1,916.66
51,754,986.11
5,265.13
9,000.00
15,416.67
16,488.88
6,254.14
222,532,178.30
5,243.60
3,000.00
13,441,220.42
12,637.50
37,897.04
352,195.77
6,190.61
3,261,374.25
1,000.00
50,338.21
345,841.21
118,388.18
2,103,206.09
27,967,694.97
403,020.39
12,344.17
80,315,295.53
47,942,311.88
9,951.20
11,000.00
2,750.00
4,798,680.16
76,125.18
1,000.00
134,393.34
1,176,351.66
64,136.07
Lenders / Investors
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
4,602.70
8,942.37
62,172.40
41,236,849.69
17,852,011.77
459,688,849.33
16,319,225.62
10,687,261.06
20,399,245.79
3,956,351.81
140,051.56
180,677,538.43
45,875.26
4,631.53
116,547.19
25,131.50
11,592,937.05
936,571.29
38,672.58
1,603,764.02
3,423.27
$
$
$
$
$
$
$
$
$
607,981.11
3,802.26
13,204.31
2,451.05
116,897,854.69
14,059.74
120,678.18
11,121,884.02
76,610.94
$
$
$
$
$
$
$
$
$
$
32,083.08
2,440,767.73
3,036,319.34
5,572.90
133,670,308.63
14,519.85
10,502.00
23,589.08
31,613.37
19,514.07
$
$
$
$
$
487,424,075.62
5,473.54
3,651.45
35,353,125.99
25,638.09
$
970,196.74
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
652,121.91
1,817.60
135,809.07
2,305,003.00
204,512.65
7,047,223.68
53,389,353.62
930,276.05
31,779.17
3,568.11
231,547,237.83
148,540,697.52
19,780.03
23,936.55
5,128.95
9,130,190.93
566,125.18
1,325.40
335,507.71
3,216,632.72
148,370.50
Servicer
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
4,750.00
8,035.81
46,689.62
27,843.67
28,629,251.10
9,159,438.92
298,187,834.26
9,980,151.17
9,098,644.20
14,763,371.10
2,978,368.46
177,819.92
95,445,065.26
36,916.67
5,000.00
88,769.62
11,328.28
16,279,383.05
484,977.55
22,751.66
2,400.00
1,234,017.32
8,717.90
1,000.00
699,519.67
4,000.00
7,916.67
6,000.00
79,320,623.50
11,100.00
87,224.29
4,422,573.33
40,791.38
1,000.00
49,400.46
3,698,606.99
5,272,500.00
5,833.34
94,833,028.29
10,169.53
15,000.00
16,000.00
27,000.00
27,538.88
6,698.25
318,282,135.28
14,634.56
4,000.00
27,530,413.93
29,351.00
41,460.74
839,632.77
6,602.92
4,022,091.89
2,000.00
91,271.53
1,977,320.74
240,887.44
4,102,161.38
39,547,890.14
769,873.30
21,003.56
6,500.00
142,648,157.47
71,255,111.48
25,451.20
19,000.00
7,033.34
5,756,149.38
356,500.00
2,000.00
183,984.09
2,070,228.41
82,736.06
Total Payments to Date
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
9,602.70
22,013.99
119,617.23
52,533.10
85,863,518.79
31,278,512.66
991,008,850.26
32,556,155.39
25,789,082.01
42,449,597.70
8,527,043.52
396,631.11
331,225,420.56
100,041.94
12,631.53
252,538.05
42,488.06
35,441,779.30
1,893,569.44
81,465.81
2,400.00
3,550,778.53
14,916.79
2,000.00
1,613,011.63
9,552.26
24,954.32
12,451.05
243,973,533.27
33,076.41
259,586.34
17,416,309.59
154,145.15
1,916.67
106,903.28
6,309,232.52
8,308,819.34
13,322.90
280,258,323.03
29,954.51
25,502.00
48,589.08
74,030.04
63,541.83
12,952.39
1,028,238,389.20
25,351.70
10,651.45
76,324,760.34
67,626.59
79,357.78
2,162,025.28
12,793.53
7,935,588.05
4,817.60
277,418.81
4,628,164.95
563,788.27
13,252,591.15
120,904,938.73
2,103,169.74
65,126.90
10,068.11
454,510,690.83
267,738,120.88
55,182.43
53,936.55
14,912.29
19,685,020.47
998,750.36
4,325.40
653,885.14
6,463,212.79
295,242.63
107
Name of Institution
RG Mortgage
RoundPoint Mortgage Servicing Corporation
Rushmore Loan Management Services LLC
Saxon Mortgage Services Inc
Schools Financial Credit Union
Scotiabank de Puerto Rico
Select Portfolio Servicing, Inc.
Selene Finance LP
Servis One, Inc., dba BSI Financial Services, Inc.
ShoreBank
Silver State Schools Credit Union
Specialized Loan Servicing LLC
Statebridge Company, LLC
Sterling Savings Bank
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
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
164,852.94
152,271.52
101,927.63
19,655,074.77
18,416.69
367,285.00
55,566,180.72
58,938.33
368,026.26
49,915.10
54,033.86
2,693,973.32
9,535.75
126,141.60
40,250.00
8,136.68
225,327.28
9,500,932.07
2,000.00
31,046.90
117,687.70
232,974.15
591,248.75
160,861,098.84
175,189.12
13,416.67
20,828.50
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
227,582.28
386,834.14
291,887.78
41,738,413.24
47,988.21
517,181.71
108,955,341.89
148,528.85
776,767.16
153,906.17
182,065.13
5,884,463.35
39,131.79
276,450.08
144,400.24
10,975.16
714,937.83
23,908,767.47
1,671.34
62,348.08
242,377.97
483,018.00
1,664,319.50
76,889.58
382,057,514.91
573,340.12
37,329.47
490,394.10
23,592.69
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
401,333.81
317,862.29
126,516.56
39,413,598.23
32,500.00
418,008.60
83,427,555.06
80,483.51
475,538.38
143,165.10
83,033.86
4,942,152.81
9,642.90
234,939.84
61,616.67
8,435.80
451,754.17
18,294,703.34
5,600.00
55,235.23
127,245.07
382,789.22
1,464,195.34
162,000.00
250,477,843.82
298,225.08
16,916.67
1,167,000.00
40,428.50
$
1,097,046,349.27
$
2,585,680,950.42
$
1,698,300,952.59
Total Payments to Date
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
793,769.03
856,967.95
520,331.97
100,807,086.24
98,904.90
1,302,475.31
247,949,077.67
287,950.69
1,620,331.80
346,986.37
319,132.85
13,520,589.48
58,310.44
637,531.52
246,266.91
27,547.64
1,392,019.28
51,704,402.88
9,271.34
148,630.21
487,310.74
1,098,781.37
3,719,763.59
238,889.58
793,396,457.57
1,046,754.32
67,662.81
1,657,394.10
84,849.69
5,381,028,252.28
108
Housing Finance Agency Innovation Fund for the Hardest Hit Housing Markets
Hardest Hit Funds (HHF) Program
Seller
Note
Date
Name of Institution
6/23/2010 Nevada Affordable Housing Assistance Corporation
2
3
2
3
2
3
9/23/2010
9/29/2010
6/23/2010 CalHFA Mortgage Assistance Corporation
9/23/2010
9/29/2010
6/23/2010 Florida Housing Finance Corporation
9/23/2010
9/29/2010
6/23/2010 Arizona (Home) Foreclosure Prevention Funding Corporation
3
9/29/2010
6/23/2010 Michigan Homeowner Assistance Nonprofit Housing Corporation
2
3
9/23/2010
9/29/2010
8/3/2010 North Carolina Housing Finance Agency
2
3
9/23/2010
9/29/2010
2
3
2
3
2
3
2
3
3
3
3
3
3
3
3
3
3
8/3/2010 Ohio Homeowner Assistance LLC
9/23/2010
9/29/2010
8/3/2010 Oregon Affordable Housing Assistance Corporation
9/23/2010
9/29/2010
8/3/2010 Rhode Island Housing and Mortgage Finance Corporation
9/23/2010
9/29/2010
8/3/2010 SC Housing Corp
9/23/2010
9/29/2010
9/23/2010 Alabama Housing Finance Authority
9/29/2010
9/23/2010 Kentucky Housing Corporation
9/29/2010
9/23/2010 Mississippi Home Corporation
9/29/2010
9/23/2010 GHFA Affordable Housing, Inc.
9/29/2010
9/23/2010 Indiana Housing and Community Development Authority
9/29/2010
9/23/2010 Illinois Housing Development Authority
9/29/2010
9/23/2010 New Jersey Housing and Mortgage Finance Agency
9/29/2010
9/23/2010 District of Columbia Housing Finance Agency
9/29/2010
9/23/2010 Tennessee Housing Development Agency
9/29/2010
City
Reno
Sacramento
Tallahassee
Phoenix
Lansing
Raleigh
Columbus
Salem
Providence
Columbia
Montgomery
Frankfort
Jackson
Atlanta
Indianapolis
Chicago
Trenton
Washington
Nashville
State
Transaction
Type
NV
Purchase
Financial Instrument for HHF Program
Purchase
Purchase
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Purchase
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
AZ
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
MI
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
NC
Purchase
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Purchase
Purchase
Purchase
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Purchase
Purchase
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Purchase
Purchase
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Purchase
Purchase
Purchase
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Purchase
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Purchase
Purchase
Purchase
Financial Instrument for HHF Program
Financial Instrument for HHF Program
Financial Instrument for HHF Program
CA
FL
OH
OR
RI
SC
AL
KY
MS
GA
IN
IL
NJ
DC
TN
Investment Description
Investment Amount
Pricing
Additional
1
Investment Amount
Mechanism
$
194,026,240
102,800,000
N/A
Initial Investment
Amount
$
$
699,600,000
-
$
$
$
418,000,000
-
$
$
$
125,100,000
$
154,500,000
$
159,000,000
$
$
$
$
$
$
$
$
$
$
$
$
$
$
172,000,000
88,000,000
43,000,000
138,000,000
60,672,471
55,588,050
38,036,950
126,650,987
82,762,859
34,056,581
57,169,659
476,257,070
799,477,026
238,864,755
$
1,975,334,096
N/A
N/A
N/A
N/A
N/A
N/A
N/A
$
1,057,839,136
400,974,381
-
$
267,766,006
$
142,666,006
-
$
498,605,738
N/A
N/A
N/A
$
$
128,461,559
215,644,179
-
482,781,786
N/A
N/A
N/A
$
$
120,874,221
202,907,565
$
$
$
$
$
$
$
$
$
$
$
$
$
166,352,726
112,200,637
7,726,678
$
81,128,260
-
$
$
$
$
148,728,864
249,666,235
49,294,215
82,748,571
13,570,770
22,780,803
58,772,347
98,659,200
101,848,874
93,313,825
63,851,373
212,604,832
138,931,280
279,250,831
188,347,507
12,970,520
136,187,333
TOTAL INVESTMENT AMOUNT
N/A
$
N/A
N/A
$
570,395,099
$
220,042,786
$
79,351,573
N/A
N/A
N/A
$
295,431,547
$
162,521,345
N/A
N/A
N/A
N/A
$
148,901,875
$
101,888,323
$
339,255,819
N/A
N/A
$
221,694,139
$
445,603,557
$
300,548,144
$
20,697,198
N/A
N/A
N/A
N/A
N/A
N/A
N/A
$
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
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.
109
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.
110
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Projected Costs and Liabilities [Section 105(a)(3)(E)]
For Period Ending April 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.
111
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Programmatic Operating Expenses [Section 105(a)(3)(F)]
For Period Ending April 30, 2013
Type of Expense
Amount
Compensation for financial agents
and legal firms
$868,717,664
112
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Description of Vehicles Established [Section 105(a)(3)(H)]
For Period Ending April 30, 2013
Date
Vehicle
Description
None
113
HAMP Application Activity by Servicer 1
As of March 2013
Servicer Name
6
Bank of America, NA
BankUnited
Bayview Loan Servicing, LLC
Carrington Mortgage Services, LLC
CCO Mortgage, a division of RBS Citizens NA
CitiMortgage Inc
GMAC Mortgage, LLC
Green Tree Servicing LLC
Homeward Residential
iServe Residential Lending, LLC
iServe Servicing, Inc.
JPMorgan Chase Bank, NA
Midland Mortgage Co.
National City Bank
Nationstar Mortgage LLC
Navy Federal Credit Union
Ocwen Loan Servicing, LLC
OneWest Bank
ORNL Federal Credit Union
PennyMac Loan Services, LLC
PNC Bank, National Association
Residential Credit Solutions, Inc.
Select Portfolio Servicing, Inc.
Specialized Loan Servicing LLC
U.S. Bank National Association
Wells Fargo Bank, NA
7
Other Servicers
TOTAL
# Requests
2
Received
13,402
76
902
1,306
477
1,306
7,917
1,916
459
42,528
2,498
400
13,466
418
10,220
5,100
9
639
10
372
2,736
817
1,806
10,875
119,655
Activity in March 2013
# Requests
# Requests
3
4
Processed
Approved
16,895
2,556
82
41
740
46
1,229
389
372
42
1,628
1,195
7,491
525
1,218
682
383
81
15,218
2,990
2,711
386
409
73
9,834
839
383
76
8,317
2,416
5,672
581
10
2
601
215
9
2
281
60
2,754
1,357
1,576
355
1,025
92
11,070
3,376
89,908
18,377
# Requests
5
Denied
14,339
41
694
840
330
433
6,966
536
302
12,228
2,325
336
8,995
307
5,901
5,091
8
386
7
221
1,397
1,221
933
7,694
71,531
# Requests
2
Received
1,265,090
9,156
25,093
56,028
22,695
520,779
431,404
72,262
223,557
1
31
1,441,046
83,781
32,943
318,513
8,189
473,423
359,900
425
12,234
570
13,603
111,252
34,398
100,621
746,828
170,810
6,534,632
Program-to-Date
# Requests
# Requests
3
4
Processed
Approved
1,245,930
571,386
8,984
4,378
23,301
8,757
54,199
18,641
22,059
5,517
506,585
216,316
423,992
91,450
69,871
26,501
218,460
57,201
1
1
31
13
1,417,329
423,446
81,590
6,182
32,896
26,734
298,856
66,519
7,681
1,476
463,824
120,549
343,808
98,843
424
42
10,910
2,947
505
19
10,244
2,013
105,630
78,766
29,765
3,705
98,857
41,947
729,047
258,526
170,810
106,097
6,375,589
2,237,972
# Requests
5
Denied
674,544
4,606
14,544
35,558
16,542
290,269
332,542
43,370
161,259
18
993,883
75,408
6,162
232,337
6,205
343,275
244,965
382
7,963
486
8,231
26,864
26,060
56,910
470,521
64,713
4,137,617
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
7
Bank of America, NA includes BAC Home Loans Servicing, LP.
Includes servicers that are no longer actively participating in the survey process or whose Servicer Participation Agreement has been terminated. These servicers no longer submit a survey, and their results only reflect previous periods when the
survey questions were not as extensive as current surveys (e.g. #Requests Denied was not a component of earlier surveys).
@FedFRASER