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Monthly Report to Congress
July 2018
August 10, 2018
Troubled Asset Relief Program
U.S. Department of the Treasury
Table of Contents
Section
Program Updates
Capital Purchase Program
Community Development Capital Initiative
Making Home Affordable
Hardest Hit Fund
Lifetime Costs
CPP & CDCI Institutions
Administrative Obligations and Expenditures
Agreements under TARP
Insurance Contracts
Transactions Report
Investment Programs
Making Home Affordable Program
Projected Costs and Liabilities
Programmatic Operating Expenses
Description of Vehicles Established
HAMP Application Activity by Servicer
1
Page Number
1
1
2
3
4
5
6
8
9
13
14
14
61
162
163
164
165
Legislative Requirement 1
EESA §105(a)(1)
Additional Information
EESA §105(a)(2)
EESA §105(a)(3)(A)
EESA §105(a)(3)(B)
EESA §105(a)(3)(C,D,G)
EESA §105(a)(3)(E)
EESA §105(a)(3)(F)
EESA §105(a)(3)(H)
Dodd-Frank §1483(b)
EESA (Emergency Economic Stabilization Act of 2008); Dodd-Frank (Dodd-Frank Wall Street Reform and Consumer
Protection Act).
Capital Purchase Program (CPP)
CPP Snapshot
Total Institutions Funded
Full Repayments
SBLF Repayments
CDCI Conversions
Sold Investments
Auctioned Investments
In Bankruptcy/Receivership
Merged Institutions
Total Remaining Institutions
Partial Repayments
Partial Sales
Currently in Common2
July 2018 Activity
Institution
707
264
137
28
47
190
33
4
4
0
1
2
Date
Total CPP Proceeds1
$226.8 billion
$196.62
$200
$150
$100
$50
$19.05
$3.04
$8.07
$Repayments
Auctions
Total
Dividends,
Interest &
Other Income
Additional Information
Warrant
Income
Amount
Repurchases & Sales
OneFinancial Corporation (One Bank & Trust, N.A.)3
7/31/2018
$3,515,449
$3,515,449
Warrant Repurchases & Sales
Synovus Financial Corporation
7/17/2018
$405,000
$405,000
Monthly Dividends
$2,272,617
Remaining CPP Institutions
1
2
3
4
Institution
Location
OneFinancial Corporation
OneUnited Bank
4
Harbor Bankshares Corporation
Broadway Financial Corporation5
Little Rock, AR
Boston, MA
Baltimore, MD
Los Angeles, CA
Amount Outstanding
(millions)
$17.30
$12.06
$6.80
$3.98
1
Repayments: Actual collections as of July 31, 2018, including (i) $2.21 billion in CPP investments refinanced under the Small Business Lending Fund
(SBLF), a program created by Congress outside of TARP under which certain CPP institutions were allowed to repay TARP funds by borrowing under
that program, and (ii) $0.36 billion in exchanges of CPP investments into the Community Development Capital Initiative (CDCI), as permitted under the
terms of that program. Auctions: Includes net proceeds from all auctions of CPP preferred and note securities where cash has settled with OFS as of
July 31, 2018. Warrant Income: Net Proceeds. Includes proceeds from exercised warrants.
2
Institutions where Treasury has converted its original investment at a discount into shares of common stock in the institution.
3
On 5/8/2017, Treasury obtained 344,577 common shares of One Bank & Trust (the former banking subsidiary of OneFinancial Corporation) in an
Execution Sale conducted by the United States Marshal’s Service. On 7/31/2018, Treasury entered into an agreement with One Bank & Trust, N.A. and
First Paragould Bankshares, Inc., pursuant to which Treasury agreed to sell its 344,577 shares of common stock in One Bank & Trust, N.A. to First
Paragould Bankshares, Inc. for total proceeds of $3,515,448.62 subject to the satisfaction of conditions specified in the agreement. The transaction
was completed on 7/31/2018. Treasury continues to hold the OneFinancial Corporation subordinated debentures and common stock Treasury obtained
in 2009.
4
On 7/13/2018, Treasury exchanged its preferred stock in Harbor Bankshares Corporation (“Harbor”) and all accrued, unpaid dividends on that stock for
5,491,843 shares of common stock and payment of $2,272,617 pursuant to the terms of the exchange agreement between Treasury and Harbor
entered into on that day.
5
On August 22, 2013, Treasury exchanged its preferred stock in Broadway Financial Corporation (Broadway) for 10,146 shares of common stock
equivalent representing 50% of the liquidation preference of the preferred stock, plus 100% of previously accrued and unpaid dividends on the
preferred stock. On December 5, 2013, Treasury's 10,146 shares of common stock equivalent in Broadway converted to 10,146,000 shares of common
stock. On December 22, 2016, Treasury sold part of its CPP common stock (4,702,860 shares) to Broadway Financial Corporation, First Republic
Bank, and Broadway Federal Bank, f.s.b Employee Ownership Trust. On June 28, 2017, Treasury sold part of its CPP common stock (1,832,092) to
Pacific Western Bank and Community Bank. On September 21, 2017, Treasury sold part of its CPP common stock (916,046) to Pacific Premier Bank.
1
Community Development Capital Initiative (CDCI)
CDCI Snapshot
Total Institutions Funded
Full Repayments
Early Repurchase1
In Bankruptcy/Receivership
Merged Institutions
Total Remaining Institutions
Partial Repayments
Partial Early Repurchase
Currently in Common
July 2018 Activity
Institution
84
41
26
1
1
15
2
1
1
Date
Additional Information
Amount
Repurchases
None
$0
Monthly Dividends
None
$0
Top 10 Remaining CDCI Institutions
1
2
3
4
5
6
7
8
9
10
Institution
Location
Carver Bancorp, Inc2
First American International Corp.
Hope Federal Credit Union
Community Bank of the Bay
Cooperative Center Federal Credit Union
Tri-State Bank of Memphis
Community First Guam Federal Credit Union
Opportunities Credit Union
D.C. Federal Credit Union
Tulane-Loyola Federal Credit Union
New York, NY
Brooklyn, NY
Jackson, MS
Oakland, CA
Berkeley, CA
Memphis, TN
Hagatna, GU
Burlington, VT
Washington, DC
New Orleans, LA
Amount Outstanding
(millions)
$18.98
$17.00
$4.52
$4.06
$2.80
$2.80
$2.65
$1.09
$0.50
$0.42
1 Institution completed its repurchase either fully or in part through the use of the early repurchase program
2 On October 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 June 29, 2011. Accrued and
previously unpaid dividends were paid on the date of the exchange.
2
Making Home Affordable (MHA)
Program Update1
The Consolidated Appropriations Act, 2016, signed into law on December 18, 2015, provided that the MHA Program
would terminate on December 31, 2016, except with respect to certain loan modification applications made before
such date. As set forth in program guidelines, MHA servicers were required to design policies and procedures to
reasonably ensure that all MHA transactions were completed by December 1, 2017.
As of July 31, 2018, $23.0 billion of MHA funds have been committed for existing MHA transactions. Of this amount,
$19.3 billion has been disbursed and $3.7 billion is committed for the payment of future financial incentives. On July
26, 2018, Treasury de-obligated an additional $4 billion from MHA, lowering Treasury's obligation from $27.78 to
$23.78 billion.
In total,2 more than 2.9 million homeowner assistance actions have taken place under MHA programs. These include
permanent first and second lien mortgage modifications, completed short sales and deeds-in-lieu of foreclosure, and
unemployment forbearance plans.
3
HAMP Activity through December 2017
All Trials Started
Tier 1
Trial
Tier 2
Modifications
Streamline HAMP
Active Trials
All Permanent Modifications Started
Tier 1
Permanent
Tier 2
Modifications
Streamline HAMP
Active Permanent Modifications
Median Monthly Savings
2,537,629
2,239,631
237,662
60,336
1,263
1,735,141
1,473,195
217,939
44,007
875,215
(466)
$
Other MHA Program Activity through December 2017
Program-to-Date
FHA and RD-HAMP Permanent Modifications Started
2MP Modifications Started
HAFA Transactions Completed
UP Forbearance Plans Started4
1
149,117
166,351
475,270
46,485
Reported Since
Prior Period
48
64
1,078
N/A
For more information about Treasury’s housing programs, please visit: http://www.treasury.gov/initiatives/financial-stability/TARPPrograms/housing/Pages/default.aspx.
2
Program Total Includes: Government Sponsored Enterprise (GSE) and Non-GSE HAMP permanent modifications; FHA- and RD-HAMP
modification; and GSE Standard Modifications since October 2011 under the GSEs’ Servicer Alignment Initiative as reported by the GSEs to
Treasury. HAFA Transactions Completed in the ‘Other MHA Programs’ table includes both GSE and Non-GSE HAFA transactions completed,
including those completed by the GSEs since the GSEs jointly streamlined their short sale and deed-in-lieu of foreclosure programs in November
2012. The GSE Standard HAFA program is closely aligned with Treasury’s MHA HAFA program.
3
Data through December 2017 represents cumulative MHA activity (i.e., from program inception through December 1, 2017, the date by which
MHA transactions must be completed). MHA servicers may submit corrections to previously reported data on or before May 1, 2018, after which
Treasury will update the figures reported herein to reflect any such corrections.
The Unemployment Program Survey was collected monthly through December 2016.
4
3
Hardest Hit Fund (HHF)
Program Changes in July
None
Funds Drawn Down in July
State
Illinois
Mississippi
Amount (millions)
127
9
9,012
$
$
Total Drawn to Date $
Funds Drawn as of July 31, 2018
State (% Cap Disbursed)
$0.00
Alabama (52.9%)
Arizona (88.2%)
$1,250,000,000.00
$86,000,000
$2,500,000,000.00
Drawndown
California (98.9%)
Washington D.C. (80.7%)
$2,334,275,483
$23,234,860
Florida (100%)
Georgia (92.1%)
$1,136,616,680
$341,427,278
Illinois (100%)
Indiana (89.2%)
Kentucky (89%)
$715,615,095
$253,306,647
$184,500,000
Michigan (85.5%)
Mississippi (80.1%)
$650,846,547
$115,638,832
North Carolina (91.5%)
New Jersey (90.6%)
Nevada (89.5%)
$646,723,211
$376,513,704
$175,685,126
Ohio (96.3%)
Oregon (89%)
Rhode Island (91.2%)
South Carolina (99.9%)
Tennessee (90.1%)
Remaining
$261,280,261
$734,762,067
$280,042,786
$105,851,573
$317,461,821
$272,315,593
4
Lifetime Costs
Program Update
When Congress created TARP, it authorized up to $700 billion for the programs. That authority was later reduced to $475 billion. To date, a total of $440 billion has
been disbursed under TARP. As of July 31, 2018, cumulative collections under TARP, together with Treasury’s additional proceeds from the sale of non-TARP shares
of AIG,¹ total $442.6 billion, exceeding disbursements by $2.5 billion.² Treasury estimates that the combined overall cost of TARP will be approximately $32.3 billion.
These estimates do not include Treasury’s additional proceeds from its non-TARP AIG shares. For a monthly snapshot of the amount of funds obligated, the amount
disbursed, repayments, income received and any losses by program, please visit the Monthly TARP Update at: http://www.treasury.gov/initiatives/financialstability/reports/Pages/daily-tarp-reports.aspx.³
Programs as of July 31, 2018 (dollar amounts in billions)
Obligation/
Commitment
Outstanding
Investment
Disbursed as of July Balance as of July
31
31
Estimated Lifetime Cost as of
November 30 4
Bank Support Programs:
Capital Purchase Program (CPP)5
Targeted Investment Program (TIP)
Asset Guarantee Program (AGP)6
Community Development Capital Initiative (CDCI)
Sub-total Bank Support Programs
$
$
$
$
$
204.89
40.00
5.00
0.57
250.46
$
$
$
$
$
204.89
40.00
0.57
245.46
$
$
$
$
$
0.04
0.06
0.10
$
$
$
$
$
(16.32)
(4.00)
(4.00)
0.07
(24.25)
Credit Market Programs:
Public-Private Investment Program (PPIP)
Term Asset Backed Securities Lending Facility (TALF)
Purchase SBA 7(a) Securities (SBA)
Sub-total Credit Market Programs
$
$
$
$
18.63
0.10
0.37
19.09
$
$
$
$
18.63
0.10
0.37
19.09
$
$
$
$
-
$
$
$
$
(2.73)
(0.61)
(0.00)
(3.34)
$
$
67.84
79.69
$
$
67.84
79.69
$
$
$
$
15.18
12.16
$
147.53
$
147.53
$
-
$
27.34
Sub-total for Investment Programs
$
417.09
$
411.72
$
0.10
$
(0.25)
Making Home Affordable
Hardest Hit Fund8
FHA-Refinance9
Sub-total for Housing Programs
$
$
$
23.78
9.60
0.05
$
$
$
19.33
9.01
0.02
n/a
n/a
n/a
$
$
$
22.91
9.60
0.02
$
33.42
$
28.36
n/a
$
32.53
$
450.51
$
440.08
0.10
$
32.28
n/a
$
(17.55)
0.10
$
14.72
Other Programs:
American International Group (AIG)
Automotive Industry Financing Program (AIFP)
Sub-total Other Programs
7
Total for TARP Programs
n/a
Additional AIG Common Shares Held by Treasury10
Total for TARP Programs and Additional AIG Shares
$
450.51
$
n/a
$
440.08
$
-
1
For more information, see note 10 to the Monthly TARP Update: http://www.treasury.gov/initiatives/financial-stability/reports/Pages/daily-tarp-reports.aspx
2
Treasury is continuing to disburse funds related to its housing programs, and continuing to recoup its outstanding investments.
3
Updates regarding oversight of TARP programs can be found at https://www.treasury.gov/initiatives/financial-stability/about-tarp/Pages/Oversight-and-Accountability.aspx
4
Estimated lifetime cost figures for investment programs and FHA-Refinance are as of November 30, 2017. Figures include interest on reestimates. Lifetime cost information for Making Home Affordable
and Hardest Hit Fund reflect the cost estimates published in the 2019 President's Budget.
5
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.
6
Estimated lifetime cost 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.
7
$411.72 is the actual amount disbursed under the various TARP investment programs as opposed to obligations totaling $412.08. This is because 28 CPP banks converted from the CPP program to
the CDCI program and those conversions, totaling $363.3 million, are not reflected as new disbursements.
8
9
In December, 2015, Congress passed the Consolidated Appropriations Act, 2016, which gave the Secretary of the Treasury the authority to commit up to $2 billion in additional TARP funds to current
HHF program participants. The additional $2 billion was obligated by Treasury as of June 2016 and is included in the total amount obligated for HHF.
In September 2017 the letter of credit was reduced from $100 million to $27 million. The figures in this line also include $18 million obligated for administrative expenses associated with the letter of
credit.
10
As discussed in note 10 to the Monthly TARP Update, Treasury’s investment in AIG common shares consisted of shares acquired in exchange for preferred stock purchased with TARP funds (TARP
shares) and shares received from the trust created by the FRBNY for the benefit of Treasury as a result of its loan to AIG (non-TARP shares). Treasury managed the TARP shares and non-TARP
shares together, and disposed of them pro-rata in proportion to its holdings. Only the TARP shares are included under “Other Programs—AIG” and the lifetime cost estimate shows a loss based on
Treasury’s cost basis in the TARP shares alone. However, a gain is shown for the non-TARP shares on the line entitled “Additional AIG Common Shares Held by Treasury” because Treasury’s cost
basis in such shares was deemed to be zero. When the TARP shares and non-TARP shares are considered together, Treasury’s cost on a cash basis was $28.73 per share. TARP estimates include
financing costs (borrowing) from the time of initial investment through the close of the program.
5
Troubled Asset Relief Program
CPP & CDCI Institutions
As of July 31, 2018
A. Remaining CPP Portfolio Institutions
B. CPP Institutions Entered into Bankruptcy/Receivership - Realized Loss/Write-Off
C. Remaining CDCI Portfolio Institutions
D. CDCI Institutions Entered into Bankruptcy/Receivership - Realized Loss/Write-Off
A. Remaining CPP Portfolio Institutions
Public/P Amount
rivate
Outstanding
Private
$
17,300,000.00
Private
$
12,063,000.00
Public
$
6,800,000.00
Public
$
3,984,331.76
40,147,331.76
Total $
*Original Investment has been converted at a discount into common stock in the institution. Amount shown is original investment amount
Institution Name
OneFinancial Corporation
OneUnited Bank
Harbor Bankshares Corporation
Broadway Financial Corporation*
Location
Little Rock, AR
Boston, MA
Baltimore, MD
Los Angeles, CA
B. CPP Institutions Entered into Bankruptcy/Receivership - Realized Loss/Write-Off
Institution Name
CIT Group Inc.*
UCBH Holdings, Inc.
Pacific Coast National Bancorp*
Midwest Banc Holdings, Inc.*
Sonoma Valley Bancorp
Pierce County Bancorp
Tifton Banking Company*
Legacy Bancorp, Inc.
Superior Bancorp Inc.
FPB Bancorp Inc.
One Georgia Bank*
Integra Bank Corporation
Citizens Bancorp
CB Holding Corp.
Tennessee Commerce Bancorp, Inc.
Blue River Bancshares, Inc.
Fort Lee Federal Savings Bank*
Gregg Bancshares, Inc.
GulfSouth Private Bank*
Investors Financial Corporation of Pettis County, Inc.
First Place Financial Corporation*
Princeton National Bancorp
Premier Bank Holding Company*
Gold Canyon Bank*
Indiana Bank Corp.*
Rogers Bancshares, Inc.
Anchor Bancorp Wisconsin, Inc.*
TCB Holding Company
Syringa Bancorp
Idaho Bancorp*
Rising Sun Bancorp
Western Community Bancshares, Inc.
Cecil Bancorp, Inc.*
*Institution has exited the bankruptcy/receivership process
Bankruptcy/ Receivership Date
11/1/2009
11/6/2009
11/13/2009
5/14/2010
8/20/2010
11/5/2010
11/12/2010
3/11/2011
4/15/2011
7/15/2011
7/15/2011
7/29/2011
9/23/2011
10/14/2011
1/27/2012
2/10/2012
4/20/2012
7/13/2012
10/19/2012
10/19/2012
10/29/2012
11/2/2012
8/14/2012
4/5/2013
4/9/2013
7/5/2013
8/12/2013
12/13/2013
1/31/2014
4/24/2014
10/17/2014
11/7/2014
6/30/2017
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Realized Loss/ Write-Off
2,330,000,000.00
298,737,000.00
4,120,000.00
84,784,000.00
8,653,000.00
6,800,000.00
3,800,000.00
5,498,000.00
69,000,000.00
5,800,000.00
5,500,000.00
83,586,000.00
10,400,000.00
4,114,000.00
30,000,000.00
5,000,000.00
1,300,000.00
825,000.00
7,500,000.00
4,000,000.00
72,927,000.00
25,083,000.00
9,500,000.00
1,607,000.00
1,312,000.00
25,000,000.00
104,000,000.00
11,730,000.00
8,000,000.00
6,900,000.00
5,983,000.00
7,290,000.00
11,560,000.00
6
C. Remaining CDCI Portfolio Institutions
Institution Name
Carver Bancorp, Inc*
First American International Corp.
Hope Federal Credit Union
Community Bank of the Bay
Cooperative Center Federal Credit Union
Tri-State Bank of Memphis
Community First Guam Federal Credit Union
Opportunities Credit Union
D.C. Federal Credit Union
Tulane-Loyola Federal Credit Union
North Side Community Federal Credit Union
Neighborhood Trust Federal Credit Union
Buffalo Cooperative Federal Credit Union
Union Baptist Church Federal Credit Union
East End Baptist Tabernacle Federal Credit Union
Location
New York, NY
Brooklyn, NY
Jackson, MS
Oakland, CA
Berkeley, CA
Memphis, TN
Hagatna, GU
Burlington, VT
Washington, DC
New Orleans, LA
Chicago, IL
New York, NY
Buffalo, NY
Fort Wayne, IN
Bridgeport, CT
Amount Outstanding
$
18,980,000.00
$
17,000,000.00
$
4,520,000.00
$
4,060,000.00
$
2,799,000.00
$
2,795,000.00
$
2,650,000.00
$
1,091,000.00
$
500,000.00
$
424,000.00
$
325,000.00
$
283,000.00
$
145,000.00
$
10,000.00
$
7,000.00
55,589,000.00
Total $
*Original Investment has been converted into common stock in the institution. Amount shown is original investment amount.
D. CDCI Institutions Entered into Bankruptcy/Receivership - Realized Loss/Write-Off
Institution Name
Premier Bancorp, Inc.*
*Institution has exited the bankruptcy/receivership process
Realized Loss/ Write-Off
Amount
6,704,100.00
1/29/2013 $
Bankruptcy/ Receivership Date
7
United States Department of the Treasury
Office of Financial Stability
Report of Administrative Obligations and Expenditures
For Period Ending
July 31, 2018
PERSONNEL SERVICES
NON-PERSONNEL
SERVICES
Budget
Object Class (BOC)
Budget Object Class Title
Obligations
1100, 1200 & 1300 PERSONNEL COMPENSATION & BENEFITS
$
170,427,185
PERSONNEL SERVICES Total: $
170,427,185
2100
TRAVEL & TRANSPORTATION OF PERSONS
$
2,932,465
2200
TRANSPORTATION OF THINGS
11,960
2300
RENTS, COMMUNICATIONS, UTILITIES & MISC CHARGES
738,444
2400
PRINTING & REPRODUCTION
1,757
2500
OTHER SERVICES
340,130,496
2600
SUPPLIES AND MATERIALS
2,410,467
3100
3200
4200
4300
For Period Ending
August 31, 2018
Expenditures
$
170,427,185
$
170,427,185
$
2,928,704
11,960
738,444
1,757
316,223,181
2,410,467
Projected
Obligations
$
170,847,000
$
170,847,000
$
2,934,000
12,000
738,700
2,000
340,202,000
2,411,000
Projected
Expenditures
$
170,847,000
$
170,847,000
$
2,931,000
12,000
738,700
2,000
317,599,000
2,411,000
$
324,000
1,000
346,624,700
$
324,000
1,000
324,018,700
$
517,471,700
$
494,865,700
EQUIPMENT
LAND & STRUCTURES
INSURANCE CLAIMS & INDEMNITIES
INTEREST & DIVIDENDS
NON-PERSONNEL SERVICES Total: $
323,678
904
346,550,169
$
323,678
904
322,639,094
GRAND TOTAL: $
516,977,355
$
493,066,279
Note: The amounts presented above are cumulative from the initiation of the TARP.
8
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Agreements Under TARP [Section 105(a)(3)(A)]
For Period July 2018
Date Approved
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
11/09/2008
11/17/2008
11/25/2008
12/03/2008
12/05/2008
12/10/2008
12/10/2008
12/15/2008
12/16/2008
12/22/2008
12/24/2008
01/06/2009
01/07/2009
01/27/2009
01/27/2009
01/30/2009
01/30/2009
02/02/2009
02/03/2009
02/09/2009
02/12/2009
02/18/2009
02/18/2009
02/20/2009
02/20/2009
02/20/2009
02/20/2009
02/26/2009
02/27/2009
03/06/2009
03/16/2009
03/30/2009
03/30/2009
03/30/2009
03/30/2009
03/30/2009
03/31/2009
04/03/2009
04/03/2009
04/17/2009
04/17/2009
04/21/2009
04/21/2009
04/21/2009
04/30/2009
05/05/2009
05/13/2009
05/14/2009
05/15/2009
05/20/2009
05/22/2009
05/26/2009
05/26/2009
06/09/2009
06/29/2009
07/17/2009
07/30/2009
07/30/2009
07/30/2009
08/10/2009
08/10/2009
08/18/2009
08/25/2009
09/02/2009
09/10/2009
09/11/2009
09/18/2009
09/30/2009
09/30/2009
09/30/2009
09/30/2009
Type of Transaction
Contract
Contract
Financial Agent
Contract
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Financial Agent
Financial Agent
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Financial Agent
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Financial Agent
Financial Agent
Financial Agent
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Contract
Vendor
Simpson Thacher & Bartlett LLP
Ennis Knupp & Associates Inc.
The Bank of New York Mellon
PricewaterhouseCoopers LLP
Turner Consulting Group, Inc.
Ernst & Young LLP
Hughes Hubbard & Reed LLP
Squire, Sanders & Dempsey LLP
Lindholm & Associates, Inc.
Internal Revenue Service (IRS)
Internal Revenue Service (IRS)
Department of the Treasury - Departmental Offices
Trade and Tax Bureau - Treasury
Washington Post
Thacher Proffitt & Wood LLP
Sonnenschein Nath & Rosenthal LLP
Office of Thrift Supervision
Department of Housing and Urban Development
Office of Thrift Supervision
Cushman And Wakefield Of VA Inc.
U.S. Securities and Exchange Commission
Colonial Parking Inc.
Whitaker Brothers Business Machines Inc
Cadwalader Wickersham & Taft LLP
Office of the Comptroller of the Currency
Sonnenschein Nath & Rosenthal LLP
Government Accountability Office
Internal Revenue Service (IRS)
Pat Taylor and Associates, Inc.
Locke Lord Bissell & Liddell LLP
Fannie Mae
Freddie Mac
Office of Thrift Supervision
FINANCIAL CLERK U.S. SENATE
Venable LLP
Simpson Thacher & Bartlett LLP
U.S. Securities and Exchange Commission
Pension Benefit Guaranty Corporation
The Boston Consulting Group
EARNEST Partners
Cadwalader Wickersham & Taft LLP
Bingham McCutchen LLP
Haynes and Boone LLP
Mckee Nelson LLP
Sonnenschein Nath & Rosenthal LLP
FI Consulting Inc.
American Furniture Rentals, Inc.
The Boston Consulting Group
Bureau of Engraving and Printing (BEP)
Herman Miller, Inc.
Alliance Bernstein L.P.
FSI Group, LLC
Piedmont Investment Advisors, LLC
U.S. Department of State
Federal Reserve Board
Department of Treasury - US Mint
Knowledgebank Inc.
Phacil Inc.
U.S. Securities and Exchange Commission
Department of Justice - ATF
Anderson Mc Coy & Orta
Simpson Thacher & Bartlett LLP
Financial Management Service
Department of the Interior
Korn/Ferry International
Cadwalader Wickersham & Taft LLP
Debevoise & Plimpton, LLP
Fox, Swibel, Levin & Carroll, LLP
NASA
U.S. Department of Justice
The Mercer Group, Inc.
U.S. Department of Justice
Knowledge Mosaic Inc.
Equilar, Inc.
PricewaterhouseCoopers LLP
Department of the Treasury - ARC
Immixtechnology, Inc.
Immixtechnology, Inc.
Nna Incorporated
SNL Financial LC
Purpose
Legal Advisory
Investment and Advisory Services
Custodian and Cash Management
Accounting/Internal Controls
Archiving Services
Accounting/Internal Controls
Legal Advisory
Legal Advisory
Human Resources Services
Administrative Support
Information Technology
Administrative Support
Information Technology
Administrative Support
Legal Advisory
Legal Advisory
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Facilities Support
Legal Advisory
Administrative Support
Legal Advisory
Compliance
Administrative Support
Administrative Support
Legal Advisory
Homeownership Program
Homeownership Program
Administrative Support
Financial Advisory
Legal Advisory
Legal Advisory
Administrative Support
Legal Advisory
Financial Advisory
Small Business Assistance Program
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Accounting/Internal Controls
Administrative Support
Financial Advisory
Administrative Support
Facilities Support
Asset Management Services
Asset Management Services
Asset Management Services
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Contract FOIA Support Services
Administrative Support
Administrative Support
Legal Advisory
Legal Advisory
Information Technology
Administrative Support
Administrative Support
Legal Advisory
Legal Advisory
Legal Advisory
Detailee(s)
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Accounting/Internal Controls
Administrative Support
Information Technology
Information Technology
Administrative Support
Financial Advisory
Socio-Economic Category
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Woman-Owned Small Business,Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Business
Other Than Small Business
Other Than Small Business
Woman-Owned Small Business,Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Disadvantaged Business, Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Business
Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Disadvantaged Business, Small Business
Small Disadvantaged Business, Small Business
Small Disadvantaged Business, HUBZone Small Business, Small Business
Woman-Owned Small Business,Small Disadvantaged Business,Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Business
Small Disadvantaged Business,Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Business
Other Than Small Business
9
11/09/2009
12/16/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
01/14/2010
01/15/2010
02/16/2010
02/16/2010
02/18/2010
03/08/2010
03/12/2010
03/22/2010
03/26/2010
03/29/2010
04/02/2010
04/08/2010
04/12/2010
04/22/2010
04/22/2010
04/23/2010
05/04/2010
05/17/2010
06/24/2010
06/30/2010
07/21/2010
07/21/2010
07/22/2010
07/22/2010
07/22/2010
07/27/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
08/12/2010
08/30/2010
09/01/2010
09/17/2010
09/27/2010
09/30/2010
10/01/2010
10/01/2010
10/08/2010
10/08/2010
10/08/2010
10/08/2010
10/08/2010
10/08/2010
10/08/2010
10/08/2010
10/14/2010
10/26/2010
11/08/2010
11/18/2010
12/02/2010
12/29/2010
01/05/2011
01/18/2011
01/24/2011
01/26/2011
02/24/2011
02/28/2011
03/03/2011
03/10/2011
03/22/2011
04/20/2011
04/26/2011
04/27/2011
04/27/2011
04/27/2011
04/27/2011
04/27/2011
04/27/2011
04/28/2011
04/28/2011
04/28/2011
05/31/2011
Interagency Agreement
Interagency Agreement
Contract
Financial Agent
Financial Agent
Financial Agent
Financial Agent
Financial Agent
Financial Agent
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Financial Agent
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Financial Agent
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Financial Agent
Contract
Contract
Contract
Financial Agent
Interagency Agreement
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Department of the Treasury - Departmental Offices
Internal Revenue Service (IRS)
Hughes Hubbard & Reed LLP
Avondale Investments, LLC
Bell Rock Capital, LLC
Howe Barnes Hoefer & Arnett, Inc.
KBW Asset Management, Inc.
Lombardia Capital Partners, LLC
Paradigm Asset Management Co., LLC
Government Accountability Office
Association of Govt Accountants
The MITRE Corporation
Internal Revenue Service (IRS)
Department of the Treasury - ARC
QualX Corporation
Department of the Treasury - Departmental Offices
Financial Management Service
Federal Maritime Commission
Morgan Stanley & Co. Incorporated
FINANCIAL CLERK U.S. SENATE
Squire, Sanders & Dempsey LLP
Hewitt EnnisKnupp, Inc.
Digital Management Inc.
MicroLink, LLC
RDA Corporation
Internal Revenue Service (IRS)
Lazard Fréres & Co. LLC
Reed Elsevier PLC (dba LexisNexis)
The George Washington University
Navigant Consulting, Inc.
Regis & Associates, PC
PricewaterhouseCoopers LLP
Ernst & Young LLP
Schiff Hardin LLP
West Publishing Corporation
Alston & Bird LLP
Sullivan Cove Reign Enterprises Jv
Perkins Coie LLP
Orrick, Herrington & Sutcliffe LLP
Cadwalader Wickersham & Taft LLP
Haynes and Boone LLP
Love and Long, LLP
Venable LLP
Fox, Swibel, Levin & Carroll, LLP
Seyfarth Shaw LLP
Shulman, Rogers, Gandal, Pordy & Ecker, PA
Hughes Hubbard & Reed LLP
Paul, Weiss, Rifkind, Wharton & Garrison LLP
Knowledge Mosaic Inc.
Department of Housing and Urban Development
CQ-Roll Call Inc.
Bingham McCutchen LLP
Davis Audrey Robinette
CCH Incorporated
Department of the Treasury - Departmental Offices
FINANCIAL CLERK U.S. SENATE
Management Concepts, Inc.
Management Concepts, Inc.
Management Concepts, Inc.
Management Concepts, Inc.
Management Concepts, Inc.
Management Concepts, Inc.
Management Concepts, Inc.
Management Concepts, Inc.
Hispanic Assoc Of Coll & Univ
Government Accountability Office
The Mitre Corporation
Greenhill & Co., LLC
Addx Corporation
Reed Elsevier PLC (dba LexisNexis)
Canon U.S.A. Inc.
Perella Weinberg Partners & Co.
Department of the Treasury - ARC
Association of Govt Accountants
ESI International Inc.
Department of the Treasury - Departmental Offices
Equilar, Inc.
The Mercer Group, Inc.
Harrison Scott Publications, Inc.
Federal Reserve Bank of New York
PricewaterhouseCoopers LLP
ASR Analytics LLC
Oculus Group LLC
Ernst & Young LLP
Lani Eko & Company, CPAs, LLC
MorganFranklin Consulting, LLC
FI Consulting Inc.
KPMG LLP
Booz Allen Hamilton Inc.
Office of Personnel Management (OPM) - Western Management Development Center
Reed Elsevier PLC (dba LexisNexis)
Administrative Support
Administrative Support
Legal Advisory
Asset Management Services
Asset Management Services
Asset Management Services
Asset Management Services
Asset Management Services
Asset Management Services
Compliance
Administrative Support
Information Technology
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Information Technology
Administrative Support
Disposition Agent Services
Financial Advisory
Legal Advisory
Investment and Advisory Services
Information Technology
Administrative Support
Information Technology
Administrative Support
Transaction Structuring Services
Administrative Support
Administrative Support
Compliance
Compliance
Compliance
Compliance
Legal Advisory
Administrative Support
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Administrative Support
Administrative Support
Administrative Support
Legal Advisory
Administrative Support
Administrative Support
Administrative Support
Financial Advisory
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Compliance
Information Technology
Structuring and Disposition Services
Acquisition Support Services
Administrative Support
Administrative Support
Structuring and Disposition Services
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Financial Advisory
Financial Advisory
Financial Advisory
Financial Advisory
Financial Advisory
Financial Advisory
Financial Advisory
Financial Advisory
Financial Advisory
Financial Advisory
Administrative Support
Administrative Support
Other Than Small Business
Small Disadvantaged Business, Small Business
Woman-Owned Small Business, Small Business
Other Than Small Business
Other Than Small Business
Small Disadvantaged Business, Small Business
Small Disadvantaged Business, Small Business
Other Than Small Business
Other Than Small Business
Service-Disabled Veteran-Owned Small Business,Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Business
Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Disadvantaged Business,Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Disadvantaged Business,Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Woman-Owned Small Business,Small Disadvantaged Business,Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Business
Other Than Small Business
Other Than Small Business
Small Disadvantaged Business,Woman-Owned Small Business,Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Service-Disabled Veteran-Owned Small Business, Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Disadvantaged Business,Small Business
Other Than Small Business
Small Business
Other Than Small Business
Small Business
Small Disadvantaged Business,Woman-Owned Small Business,Small Business
Other Than Small Business
Small Disadvantaged Business,Small Business
Other Than Small Business
Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
10
05/31/2011
06/02/2011
06/09/2011
06/17/2011
07/28/2011
09/09/2011
09/13/2011
09/15/2011
09/29/2011
09/29/2011
10/04/2011
10/20/2011
11/18/2011
11/29/2011
12/20/2011
12/30/2011
12/30/2011
01/04/2012
01/05/2012
02/02/2012
02/07/2012
02/14/2012
02/27/2012
03/06/2012
03/14/2012
03/30/2012
03/30/2012
05/02/2012
05/02/2012
05/10/2012
06/12/2012
06/15/2012
06/30/2012
07/26/2012
08/01/2012
08/03/2012
09/19/2012
09/28/2012
11/19/2012
12/13/2012
12/19/2012
01/01/2013
01/01/2013
02/13/2013
02/21/2013
03/04/2013
03/07/2013
03/26/2013
03/27/2013
05/01/2013
05/10/2013
06/13/2013
08/01/2013
08/20/2013
09/25/2013
09/26/2013
11/22/2013
11/22/2013
11/27/2013
12/12/2013
12/18/2013
03/05/2014
03/12/2014
03/24/2014
04/14/2014
06/13/2014
10/01/2014
10/29/2014
11/06/2014
11/07/2014
11/17/2014
11/25/2014
01/26/2015
04/02/2015
09/17/2015
10/01/2015
10/01/2015
11/02/2015
11/23/2015
01/12/2016
01/14/2016
01/20/2016
03/18/2016
03/24/2016
04/22/2016
05/09/2016
05/20/2016
09/30/2016
10/04/2016
10/05/2016
10/06/2016
Contract
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Financial Agent
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Financial Agent
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Contract
Interagency Agreement
Contract
Interagency Agreement
Contract
Interagency Agreement
Financial Agent
Financial Agent
Contract
Financial Agent
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
West Publishing Corporation
ESI International Inc.
CQ-Roll Call Inc.
Winvale Group LLC
Internal Revenue Service (IRS)
Financial Management Service
ADC LTD NM
All Business Machines, Inc.
Knowledge Mosaic Inc.
Department of the Interior
Internal Revenue Service (IRS)
All Business Machines, Inc.
QualX Corporation
Houlihan Lokey, Inc.
The Allison Group, LLC
Department of the Treasury - ARC
Department of the Treasury - Departmental Offices
Government Accountability Office
Office of Personnel Management (OPM) - Western Management Development Center
Moody's Analytics, Inc.
Greenhill & Co., LLC
Association of Govt Accountants
Diversified Search LLC
Integrated Federal Solutions, Inc.
Department of the Interior
Department of the Treasury - Departmental Offices - WCF
E-Launch Multimedia, Inc.
Cartridge Technologies, Inc.
Cartridge Technologies, Inc.
Equilar, Inc.
U.S. Department of Justice
QualX Corporation
West Publishing Corporation
Knowledge Mosaic Inc.
Internal Revenue Service (IRS)
Harrison Scott Publications, Inc.
Department of the Treasury - ARC
SNL Financial LC
Government Accountability Office
Association of Govt Accountants
Department of the Treasury - Departmental Offices
Lazard Fréres & Co. LLC
Lazard Fréres & Co. LLC
The Mercer Group, Inc.
Raymond James and Associates, Inc.
Department of the Treasury - Departmental Offices - WCF
Department of Housing and Urban Development
Bloomberg Finance L.P.
IRS - Treasury Acquisition Institute
Internal Revenue Service (IRS)
Equilar, Inc.
West Publishing Corporation
Evolution Management, Inc.
Knowledge Mosaic Inc.
Department of the Treasury - ARC
SNL Financial LC
Internal Revenue Service (IRS)
Department of the Treasury - Departmental Offices
Department of the Treasury - Departmental Offices - WCF
Association of Govt Accountants
U.S. Department of Justice
U.S. Department of Justice
Department of the Treasury - Departmental Offices
The Mercer Group, Inc.
Bloomberg Finance L.P.
The Winvale Group, LLC
Internal Revenue Service Office of Procurement
Department of the Treasury - Departmental Offices
Department of the Treasury - Departmental Offices
Department of the Treasury - ARC
Department of the Treasury - Departmental Offices
Government Accountability Office
Department of the Interior
Integrated Federal Solutions, Inc.
Department of the Treasury - ARC
Government Accountability Office
Government Accountability Office
Department of the Treasury - Departmental Offices
Department of the Treasury - Departmental Offices
Hughes Hubbard & Reed LLP
Cadwalader Wickersham & Taft LLP
Department of the Interior
Hewlett-Packard (HP)
Advanced Computer Concepts, Inc.
RDA Corporation
Department of the Interior
Paul, Weiss, Rifkind, Wharton & Garrison LLP
SNL Financial LC
Government Accountability Office
Department of the Treasury - Departmental Offices
Government Accountability Office
Administrative Support
Administrative Support
Administrative Support
Subscription Services
Administrative Support
Intern
Compliance
Administrative Support
Administrative Support
Administrative Support
Detailee
Administrative Support
Administrative Support
Transaction Structuring Services
Professional/Management Training
Administrative Support
Administrative Support
Compliance
Administrative Support
Administrative Support
Structuring and Disposition Services
Administrative Support
Financial Advisory
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Facilities Support
Facilities Support
Administrative Support
Administrative Support
Administrative Support
Subscription Services
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Information Technology
Compliance
Administrative Support
Administrative Support
Transaction Structuring Services
Transaction Structuring Services
Administrative Support
Asset Management Services
Administrative Support
Administrative Support
Subscription
Administrative Support
Administrative Support
Administrative
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Information Technology
Compliance
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Legal Advisory
Legal Advisory
Information Technology
Information Technology
Information Technology
Information Technology
Administrative Support
Legal Advisory
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Business
Small Disadvantaged Business,HUBZone Small Business,Small Business
Service-Disabled Veteran-Owned Small Business,HUBZone Small Business,Small Business
Small Business
Service-Disabled Veteran-Owned Small Business,HUBZone Small Business,Small Business
Service-Disabled Veteran-Owned Small Business,Small Business
Other Than Small Business
Woman-Owned Small Business,Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Woman-Owned Small Business,Small Business
Small Disadvantaged Business,Small Business
Small Disadvantaged Business,Service-Disabled Veteran-Owned Small Business,Small Business
Small Business,Small Disadvantaged Business,Woman-Owned Small Business
Small Disadvantaged Business, Woman-Owned Small Business, Small Business
Small Disadvantaged Business,Small Business
Service-Disabled Veteran-Owned Small Business,Small Business
Other Than Small Business
Small Business
Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Disadvantaged Business,Small Business
Other Than Small Business
Small Disadvantaged Business,Woman-Owned Small Business,Small Business
Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Business
Other Than Small Business
Small Business,Small Disadvantaged Business
Other Than Small Business
Other than Small Business
Other than Small Business
Other than Small Business
Small Business,Small Disadvantaged Business,Woman-Owned Small Business
Other than Small Business
Other than Small Business
Other than Small Business
11
11/07/2016
11/07/2016
01/19/2017
01/19/2017
02/01/2017
02/08/2017
02/09/2017
02/16/2017
03/09/2017
04/25/2017
08/15/2017
08/29/2017
12/01/2017
12/01/2017
12/05/2017
12/05/2017
12/05/2017
12/07/2017
12/12/2017
01/04/2018
05/17/2018
05/17/2018
05/22/2018
07/13/2018
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Financial Agent
Financial Agent
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Department of the Treasury - ARC
Department of the Treasury - ARC
Ernst & Young LLP
Navigant Consulting, Inc.
Haynes and Boone LLP
U.S. Department of Justice
Booz Allen Hamilton Inc.
Heritage Reporting Corp
ASR Analytics LLC
JTF Business Systems Corporation
Department of the Interior
Department of the Interior
The Bank of New York Mellon
FSI Group, LLC
Government Accountability Office
Government Accountability Office
Department of the Treasury - ARC
Department of the Treasury - Departmental Offices
The Winvale Group, LLC
Department of the Treasury - Departmental Offices
Department of the Interior
U.S. Department of Justice
Department of the Interior
Integrated Federal Solutions, Inc.
Administrative Support
Administrative Support
Compliance
Compliance
Legal Advisory
Legal Advisory
Accounting/Internal Controls
Administrative Support
Accounting/Internal Controls
Facilities Support
Administrative Support
Administrative Support
Custodian and Cash Management
Asset Management Services
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Compliance
Administrative Support
Administrative Support
Legal Advisory
Administrative Support
Administrative Support
Other Than Small Business
Other Than Small Business
Other than Small Business
Other than Small Business
Other than Small Business
Other than Small Business
Small Business,Woman-Owned Small Business
Small Business
Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Business
Small Business,Small Disadvantaged Business
-Contract responsibilities for Thatcher Proffitt & Wood assumed by Sonnenschein Nath & Rosenthal via novation.
-Contract responsibilities for McKee Nelson LLP assumed by Bingham McCutchen, LLP via novation.
-Management Concepts contracts for various training are now being reported separately rather than combined single line item.
-Financial Agent responsibilities assumed by Raymond James and Associates, Inc. via novation.
12
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Insurance Contracts [Section 105(a)(3)(B)]
For Period Ending July 31, 2018
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.
13
*Investment Status Definition Key
U.S. Treasury Department
Office of Financial Stability
Full investment outstanding: Treasury's full investment is still outstanding
Redeemed – institution has repaid Treasury’s investment
Sold – by auction, an offering, or through a restructuring
Exited bankruptcy/receivership - Treasury has no outstanding investment
Currently not collectible - investment is currently not collectible; therefore there is no outstanding investment and a corresponding (Realized Loss) / (Write-off)
In full – all of Treasury’s investment amount
In part – part of the investment is no longer held by Treasury, but some remains
Troubled Asset Relief Program
Transactions Report - Investment Programs
For Period Ending July 31, 2018
CAPITAL PURCHASE PROGRAM
Warrants outstanding – Treasury’s warrant to purchase additional stock is still outstanding, including any exercised warrants
Warrants not outstanding – Treasury has disposed of its warrant to purchase additional stock through various means as described in the Warrant Report (such as sale back to company
and auctions) or Treasury did not receive a warrant to purchase additional stock
Capital Repayment / Disposition / Auction3,5
USt Number
UST0369
UST0369
UST0369
UST0455
UST0455
UST0455
UST0002
UST0002
UST0292
UST0292
UST0292
UST0669
UST0669
UST0379
UST0379
UST0379
UST0379
UST0379
UST0402
UST0402
UST0378
UST0378
UST0378
UST0378
UST0644
UST0644
UST0644
UST0644
UST0644
UST0644
UST1268
UST1268
UST1268
UST1268
UST0311
UST0311
UST0311
UST1253
UST1253
UST1253
UST1253
UST1153
UST1153
UST0885
UST0885
UST0885
UST0885
UST0885
UST0515
UST0515
UST0766
UST0766
UST0232
UST0232
UST0232
UST0870
UST0870
UST0074
UST0074
UST0058
UST0058
UST0058
UST0207
UST0207
UST0207
UST1320
UST1320
UST1320
UST1320
UST1320
UST0193
UST0193
UST0482
UST0482
UST0482
UST0482
UST0076
UST0076
UST0076
UST0076
UST1171
UST1171
UST1171
UST1171
UST0814
UST0814
UST0331
UST0331
UST0331
UST0409
UST0409
UST1155
UST1155
UST0255
UST0255
UST0255
UST0767
UST0767
UST0768
UST0768
UST0768
UST0768
UST0131
UST0131
UST1151
UST1151
UST1151
UST1151
Footnote
11
8,14,18,44
102
11
8,11,14
8,14,44
8,14
104
11
14,15
8,137
8,14
8,14,45
8,14,44
11
8,11,14
8,11,14
45
14,15
94
11,90
11
8,17
8,14,44
11
8,44
8,17,44
11
8,11,14
8,14
83
8,14
Institution Name
1ST CONSTITUTION BANCORP
1ST CONSTITUTION BANCORP
1ST CONSTITUTION BANCORP
1ST ENTERPRISE BANK
1ST ENTERPRISE BANK
1ST ENTERPRISE BANK
1ST FINANCIAL SERVICES CORPORATION
1ST FINANCIAL SERVICES CORPORATION
1ST SOURCE CORPORATION
1ST SOURCE CORPORATION
1ST SOURCE CORPORATION
1ST UNITED BANCORP, INC.
1ST UNITED BANCORP, INC.
AB&T FINANCIAL CORPORATION
AB&T FINANCIAL CORPORATION
AB&T FINANCIAL CORPORATION
AB&T FINANCIAL CORPORATION
AB&T FINANCIAL CORPORATION
ADBANC, INC.
ADBANC, INC.
ALARION FINANCIAL SERVICES, INC.
ALARION FINANCIAL SERVICES, INC.
ALARION FINANCIAL SERVICES, INC.
ALARION FINANCIAL SERVICES, INC.
ALASKA PACIFIC BANCSHARES, INC.
ALASKA PACIFIC BANCSHARES, INC.
ALASKA PACIFIC BANCSHARES, INC.
ALASKA PACIFIC BANCSHARES, INC.
ALASKA PACIFIC BANCSHARES, INC.
ALASKA PACIFIC BANCSHARES, INC.
ALLIANCE BANCSHARES, INC.
ALLIANCE BANCSHARES, INC.
ALLIANCE BANCSHARES, INC.
ALLIANCE BANCSHARES, INC.
ALLIANCE FINANCIAL CORPORATION
ALLIANCE FINANCIAL CORPORATION
ALLIANCE FINANCIAL CORPORATION
ALLIANCE FINANCIAL SERVICES, INC.
ALLIANCE FINANCIAL SERVICES, INC.
ALLIANCE FINANCIAL SERVICES, INC.
ALLIANCE FINANCIAL SERVICES, INC.
ALLIED FIRST BANCORP, INC.
ALLIED FIRST BANCORP, INC.
ALPINE BANKS OF COLORADO
ALPINE BANKS OF COLORADO
ALPINE BANKS OF COLORADO
ALPINE BANKS OF COLORADO
ALPINE BANKS OF COLORADO
AMB FINANCIAL CORPORATION
AMB FINANCIAL CORPORATION
AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKLAHOMA
AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKLAHOMA
AMERICAN EXPRESS COMPANY
AMERICAN EXPRESS COMPANY
AMERICAN EXPRESS COMPANY
AMERICAN PREMIER BANCORP
AMERICAN PREMIER BANCORP
AMERICAN STATE BANCSHARES, INC.
AMERICAN STATE BANCSHARES, INC.
AMERIS BANCORP
AMERIS BANCORP
AMERIS BANCORP
AMERISERV FINANCIAL, INC.
AMERISERV FINANCIAL, INC.
AMERISERV FINANCIAL, INC.
AMFIRST FINANCIAL SERVICES, INC
AMFIRST FINANCIAL SERVICES, INC
AMFIRST FINANCIAL SERVICES, INC
AMFIRST FINANCIAL SERVICES, INC
AMFIRST FINANCIAL SERVICES, INC
ANCHOR BANCORP WISCONSIN, INC.
ANCHOR BANCORP WISCONSIN, INC.
ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION
ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION
ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION
ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION
ASSOCIATED BANC-CORP
ASSOCIATED BANC-CORP
ASSOCIATED BANC-CORP
ASSOCIATED BANC-CORP
ATLANTIC BANCSHARES, INC.
ATLANTIC BANCSHARES, INC.
ATLANTIC BANCSHARES, INC.
ATLANTIC BANCSHARES, INC.
AVENUE FINANCIAL HOLDINGS
AVENUE FINANCIAL HOLDINGS
AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO.
AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO.
AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO.
BANCINDEPENDENT, INCORPORATED
BANCINDEPENDENT, INCORPORATED
BANCORP FINANCIAL, INC.
BANCORP FINANCIAL, INC.
BANCORP RHODE ISLAND, INC.
BANCORP RHODE ISLAND, INC.
BANCORP RHODE ISLAND, INC.
BANCPLUS CORPORATION
BANCPLUS CORPORATION
BANCSTAR, INC.
BANCSTAR, INC.
BANCSTAR, INC.
BANCSTAR, INC.
BANCTRUST FINANCIAL GROUP, INC.
BANCTRUST FINANCIAL GROUP, INC.
BANK FINANCIAL SERVICES, INC.
BANK FINANCIAL SERVICES, INC.
BANK FINANCIAL SERVICES, INC.
BANK FINANCIAL SERVICES, INC.
City
CRANBURY
CRANBURY
CRANBURY
LOS ANGELES
LOS ANGELES
LOS ANGELES
HENDERSONVILLE
HENDERSONVILLE
SOUTH BEND
SOUTH BEND
SOUTH BEND
BOCA RATON
BOCA RATON
GASTONIA
GASTONIA
GASTONIA
GASTONIA
GASTONIA
OGALLALA
OGALLALA
OCALA
OCALA
OCALA
OCALA
JUNEAU
JUNEAU
JUNEAU
JUNEAU
JUNEAU
JUNEAU
DALTON
DALTON
DALTON
DALTON
SYRACUSE
SYRACUSE
SYRACUSE
SAINT PAUL
SAINT PAUL
SAINT PAUL
SAINT PAUL
OSWEGO
OSWEGO
GLENWOOD SPRINGS
GLENWOOD SPRINGS
GLENWOOD SPRINGS
GLENWOOD SPRINGS
GLENWOOD SPRINGS
MUNSTER
MUNSTER
COLLINSVILLE
COLLINSVILLE
NEW YORK
NEW YORK
NEW YORK
ARCADIA
ARCADIA
GREAT BEND
GREAT BEND
MOULTRIE
MOULTRIE
MOULTRIE
JOHNSTOWN
JOHNSTOWN
JOHNSTOWN
MCCOOK
MCCOOK
MCCOOK
MCCOOK
MCCOOK
MADISON
MADISON
ANNAPOLIS
ANNAPOLIS
ANNAPOLIS
ANNAPOLIS
GREEN BAY
GREEN BAY
GREEN BAY
GREEN BAY
BLUFFTON
BLUFFTON
BLUFFTON
BLUFFTON
NASHVILLE
NASHVILLE
PALO ALTO
PALO ALTO
PALO ALTO
SHEFFIELD
SHEFFIELD
OAK BROOK
OAK BROOK
PROVIDENCE
PROVIDENCE
PROVIDENCE
RIDGELAND
RIDGELAND
FESTUS
FESTUS
FESTUS
FESTUS
MOBILE
MOBILE
EDEN PRAIRIE
EDEN PRAIRIE
EDEN PRAIRIE
EDEN PRAIRIE
State
NJ
NJ
NJ
CA
CA
CA
NC
NC
IN
IN
IN
FL
FL
NC
NC
NC
NC
NC
NE
NE
FL
FL
FL
FL
AK
AK
AK
AK
AK
AK
GA
GA
GA
GA
NY
NY
NY
MN
MN
MN
MN
IL
IL
CO
CO
CO
CO
CO
IN
IN
OK
OK
NY
NY
NY
CA
CA
KS
KS
GA
GA
GA
PA
PA
PA
NE
NE
NE
NE
NE
WI
WI
MD
MD
MD
MD
WI
WI
WI
WI
SC
SC
SC
SC
TN
TN
CA
CA
CA
AL
AL
IL
IL
RI
RI
RI
MS
MS
MO
MO
MO
MO
AL
AL
MN
MN
MN
MN
Date
12/23/2008
10/27/2010
11/22/2011
2/13/2009
12/11/2009
9/1/2011
11/14/2008
12/31/2013
1/23/2009
12/29/2010
3/9/2011
3/13/2009
11/18/2009
1/23/2009
11/19/2013
1/6/2014
2/10/2014
3/19/2014
1/30/2009
7/21/2011
1/23/2009
7/19/2013
7/22/2013
9/12/2013
2/6/2009
11/28/2012
11/29/2012
1/11/2013
3/26/2013
4/1/2014
6/26/2009
3/27/2013
3/28/2013
4/9/2013
12/19/2008
5/13/2009
6/17/2009
6/26/2009
2/6/2013
2/7/2013
3/26/2013
4/24/2009
12/28/2016
3/27/2009
9/18/2012
9/19/2012
9/20/2012
11/16/2012
1/30/2009
9/22/2011
3/6/2009
9/15/2011
1/9/2009
6/17/2009
7/29/2009
5/29/2009
1/26/2011
1/9/2009
11/2/2011
11/21/2008
6/19/2012
8/22/2012
12/19/2008
8/11/2011
11/2/2011
8/21/2009
3/26/2013
3/27/2013
3/28/2013
4/9/2013
1/30/2009
9/27/2013
1/30/2009
4/18/2012
3/6/2013
5/28/2015
11/21/2008
4/6/2011
9/14/2011
12/6/2011
12/29/2009
2/7/2014
2/10/2014
3/19/2014
2/27/2009
9/15/2011
1/30/2009
7/31/2013
8/28/2013
3/13/2009
7/14/2011
7/10/2009
8/18/2011
12/19/2008
8/5/2009
9/30/2009
2/20/2009
9/29/2010
4/3/2009
4/26/2013
4/29/2013
5/31/2013
12/19/2008
2/15/2013
8/14/2009
12/19/2012
12/20/2012
1/11/2013
Original Investment Type1
Preferred Stock w/ Warrants
Original Investment Amount
$12,000,000.00
Outstanding Investment
$0.00
Total Cash Back2
Investment Status*
$13,433,242.67 Redeemed, in full; warrants not outstanding
Amount
(Fee)4
$12,000,000.00
Preferred Stock w/ Warrants
$4,400,000.00
$6,000,000.00
$0.00
$16,369,000.00
$0.00
Preferred Stock w/ Warrants
$111,000,000.00
$0.00
$125,480,000.00 Redeemed, in full; warrants not outstanding
$10,000,000.00
$0.00
$10,870,902.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$3,500,000.00
$0.00
12,000
Warrant Proceeds
Avg. Price
(Realized Loss) / (Write-off)
Gain5
Wt Amount
Wt Shares
$1,000.00
$326,576.00
231,782
$220,000.00
220
$3,750,000.00
837,947
$500,000.00
500
$636,000.00
636
$337,363.35
326
$11,748,156.44 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Shares
$10,400,000.00
10,400
$1,000.00
$8,000,000.00
16,369
$488.73
$111,000,000.00
111,000
$1,000.00
$10,000,000.00
10,000
$1,000.00
2,964
$275.00
($2,148,900.00)
($385,378.64)
$9,229,948.97 Sold, in full; warrants not outstanding
($8,369,000.00)
$1,274,909.59 Sold, in full; warrants outstanding
$815,100.00
($50,000.00)
$150,621.36
536
$281.01
$12,720,000.00
12,720
$1,000.00
$877,729.70
$5,524,880.90
893
5,621
$982.90
$982.90
($15,270.30)
($96,119.10)
234
4,547
$892.61
$892.61
($25,129.26)
($488,302.33)
$2,370,908.26
175,772
2,986
$956.61
($129,562.54)
$94,153.69
$44,746.31
101
48
$26,918,000.00
26,918
$1,000.00
$900,000.00
173,069
$3,375,945.00
$5,626,575.00
4,500,000
7,500,000
$0.75
$0.75
($1,124,055.00)
($1,873,425.00)
$504,900.00
600,000
$1,044,000.00
3,652
$285.87
($2,608,000.00)
$280,115.76
$6,559,920.24
$50,160,264.00
344
8,056
61,600
$814.29
$814.29
$814.29
($63,884.24)
($1,496,079.76)
($11,439,736.00)
$3,291,750.00
3,500
$3,674,000.00
3,674
$1,000.00
$184,000.00
184
$2,492,000.00
2,492
$1,000.00
$125,000.00
125
$3,388,890,000.00
3,388,890
$1,000.00
$340,000,000.00
24,264,129
($1,506.21)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$12,720,000.00
$6,514,000.00
$0.00
$0.00
$15,071,769.00 Redeemed, in full; warrants not outstanding
$7,674,004.73 Sold, in full; warrants not outstanding
($64,026.11)
Preferred Stock w/ Warrants
$4,781,000.00
$0.00
$7,501,881.70 Sold, in full; warrants not outstanding
$208,870.74
$4,058,697.67
($42,675.67)
($7,324.33)
Preferred Stock w/ Exercised Warrants
$2,986,000.00
$0.00
$3,581,397.27 Sold, in full; warrants not outstanding
$2,856,437.46
($25,000.00)
Preferred Stock w/ Warrants
$26,918,000.00
$0.00
Subordinated Debentures w/ Exercised Warrants
$12,000,000.00
$0.00
$28,356,360.00 Redeemed, in full; warrants not outstanding
$9,806,136.60 Sold, in full; warrants not outstanding
($90,025.20)
Preferred Stock w/ Exercised Warrants
$3,652,000.00
$0.00
$1,453,753.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$70,000,000.00
$0.00
$73,129,160.69 Sold, in full; warrants not outstanding
($570,003.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$3,674,000.00
$0.00
$4,387,576.45 Redeemed, in full; warrants not outstanding
$2,492,000.00
$0.00
$2,960,021.33 Redeemed, in full; warrants not outstanding
$3,388,890,000.00
$0.00
$3,803,257,308.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,800,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$0.00
$2,052,682.49 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$52,000,000.00
$0.00
$59,637,438.67 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$21,000,000.00
$0.00
$24,601,666.66 Redeemed, in full; warrants not outstanding
$1,800,000.00
1,800
$1,000.00
$90,000.00
90
$6,000,000.00
6,000
$1,000.00
$300,000.00
300
$7,220,141.67 Redeemed, in full; warrants not outstanding
$48,391,200.00
($725,868.00)
$21,000,000.00
Subordinated Debentures w/ Exercised Warrants
$5,000,000.00
$0.00
$6,523,255.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$110,000,000.00
$0.00
$6,000,000.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$8,152,000.00
$0.00
$13,378,714.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$525,000,000.00
$0.00
$596,539,172.32 Redeemed, in full; warrants not outstanding
$359,040.00
$2,112,000.00
$2,328,960.00
52,000
$930.60
21,000
$1,000.00
($3,608,800.00)
374,000
2,200,000
2,426,000
$0.96
$0.96
$0.96
($14,960.00)
($88,000.00)
($97,040.00)
$6,000,000.00
60,000,000
$0.10
($104,000,000.00)
$4,076,000.00
$4,076,000.00
4,076
4,076
$1,000.00
$1,000.00
$262,500,000.00
$262,500,000.00
262,500
262,500
$1,000.00
$1,000.00
$1,950,000.00
$50,000.00
1,950
50
$1,150.00
$1,150.00
$7,400,000.00
7,400
$1,000.00
$6,000,000.00
6,000
$1,000.00
$2,670,000.00
698,554
$825,000.00
1,312,500
$259,875.00
250,000
$3,735,577.67
367,916
$3,435,005.65
3,983,308
$95,031.02
$10,798.98
88
10
($48,000.00)
Preferred Stock w/ Exercised Warrants
$2,000,000.00
$0.00
$2,503,554.78 Sold, in full; warrants not outstanding
$292,500.00
$7,500.00
($25,000.00)
Preferred Stock w/ Exercised Warrants
$7,400,000.00
$0.00
$8,798,415.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$6,000,000.00
$0.00
$7,563,057.15 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$21,100,000.00
$0.00
$24,841,411.03 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$13,669,000.00
$0.00
$15,595,736.93 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$30,000,000.00
$0.00
$32,341,666.66 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$48,000,000.00
$0.00
$54,607,399.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$8,600,000.00
$0.00
$10,701,460.58 Sold, in full; warrants not outstanding
$370,000.00
370
$190,781.12
81,670
1,055
$21,100,000.00
21,100
$1,000.00
$1,055,000.00
$13,669,000.00
13,669
$1,000.00
$410,000.00
410
$30,000,000.00
30,000
$1,000.00
$1,400,000.00
192,967
$2,400,000.00
2,400
$48,000,000.00
48,000
$1,000.00
$98,267.00
$8,352,695.00
100
8,500
$982.67
$982.67
50,000
$1,000.00
486
518
$929.22
$929.22
($1,733.00)
($147,305.00)
$426,338.55
430
$15,000.00
730,994
$23,500.00
50
($84,509.62)
Preferred Stock w/ Warrants
$50,000,000.00
$0.00
$60,451,155.74 Redeemed, in full; warrants not outstanding
$50,000,000.00
Preferred Stock w/ Exercised Warrants
$1,004,000.00
$0.00
$1,114,680.76 Sold, in full; warrants not outstanding
$451,600.92
$481,335.96
($34,399.08)
($36,664.04)
($9,329.37)
14
UST0379
UST1151
UST0021
UST0021
UST0021
UST0021
UST0458
UST0458
UST0458
UST0001
UST0001
UST0001
UST0876
UST0876
UST0876
UST0127
UST0127
UST0127
UST0015
UST0015
UST0015
UST1008
UST1008
UST0130
UST0130
UST0130
UST0503
UST0503
UST0461
UST0461
UST0494
UST0494
UST0494
UST0494
UST0063
UST0063
UST0063
UST0572
UST0572
UST0256
UST0256
UST0256
UST0012
UST0012
UST0012
UST1084
UST1084
UST0294
UST0294
UST0294
UST0416
UST0416
UST0416
UST0416
UST0416
UST0416
UST1154
UST1154
UST0200
UST0200
UST0200
UST0662
UST0662
UST0450
UST0450
UST0450
UST1141
UST1141
UST1141
UST1141
UST0789
UST0789
UST0789
UST0789
UST1014
UST1014
UST1014
UST0612
UST0612
UST0612
UST0612
UST0850
UST0850
UST0118
UST0118
UST0118
UST0118
UST0118
UST0926
UST0926
UST0128
UST0128
UST0128
UST0460
UST0460
UST0483
UST0483
UST0483
UST0483
UST0693
UST0693
UST0857
UST0857
UST0857
UST0857
UST0072
UST0072
UST0072
UST0072
UST0115
UST0115
UST0115
UST0115
UST0253
UST0253
UST0253
UST0007
UST0007
UST0007
UST0007
UST0007
UST0978
UST0978
UST0978
UST0978
UST0776
UST0776
AB&T FINANCIAL CORPORATION
BANK FINANCIAL SERVICES, INC.
BANK OF AMERICA
BANK OF AMERICA
BANK OF AMERICA
BANK OF AMERICA
8,14
BANK OF COMMERCE
BANK OF COMMERCE
BANK OF COMMERCE
44
BANK OF COMMERCE HOLDINGS
BANK OF COMMERCE HOLDINGS
BANK OF COMMERCE HOLDINGS
8
BANK OF GEORGE
BANK OF GEORGE
BANK OF GEORGE
11
BANK OF MARIN BANCORP
BANK OF MARIN BANCORP
BANK OF MARIN BANCORP
11
BANK OF NEW YORK MELLON
BANK OF NEW YORK MELLON
BANK OF NEW YORK MELLON
105
BANK OF THE CAROLINAS CORPORATION
BANK OF THE CAROLINAS CORPORATION
11
BANK OF THE OZARKS, INC.
BANK OF THE OZARKS, INC.
BANK OF THE OZARKS, INC.
8,106
BANKERS' BANK OF THE WEST BANCORP, INC.
BANKERS' BANK OF THE WEST BANCORP, INC.
8,14,44
BANKFIRST CAPITAL CORPORATION
BANKFIRST CAPITAL CORPORATION
8,14
BANKGREENVILLE FINANCIAL CORPORATION
BANKGREENVILLE FINANCIAL CORPORATION
BANKGREENVILLE FINANCIAL CORPORATION
BANKGREENVILLE FINANCIAL CORPORATION
BANNER CORPORATION/BANNER BANK
BANNER CORPORATION/BANNER BANK
BANNER CORPORATION/BANNER BANK
8,14,44
BANNER COUNTY BAN CORPORATION
BANNER COUNTY BAN CORPORATION
12,16
BAR HARBOR BANKSHARES
BAR HARBOR BANKSHARES
BAR HARBOR BANKSHARES
11
BB&T CORP.
BB&T CORP.
BB&T CORP.
8,112
BCB HOLDING COMPANY, INC.
BCB HOLDING COMPANY, INC.
11
BCSB BANCORP, INC.
BCSB BANCORP, INC.
BCSB BANCORP, INC.
8,11,14
BEACH BUSINESS BANK
BEACH BUSINESS BANK
BEACH BUSINESS BANK
BEACH BUSINESS BANK
BEACH BUSINESS BANK
BEACH BUSINESS BANK
8,11,14
BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC.
BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC.
11
BERKSHIRE HILLS BANCORP, INC.
BERKSHIRE HILLS BANCORP, INC.
BERKSHIRE HILLS BANCORP, INC.
8,14,44
BERN BANCSHARES, INC.
BERN BANCSHARES, INC.
8,14,18
BIRMINGHAM BLOOMFIELD BANCSHARES, INC.
BIRMINGHAM BLOOMFIELD BANCSHARES, INC.
BIRMINGHAM BLOOMFIELD BANCSHARES, INC.
15,17
BISCAYNE BANCSHARES, INC.
BISCAYNE BANCSHARES, INC.
BISCAYNE BANCSHARES, INC.
BISCAYNE BANCSHARES, INC.
8
BLACKHAWK BANCORP, INC.
BLACKHAWK BANCORP, INC.
BLACKHAWK BANCORP, INC.
BLACKHAWK BANCORP, INC.
8,14
BLACKRIDGE FINANCIAL, INC.
BLACKRIDGE FINANCIAL, INC.
BLACKRIDGE FINANCIAL, INC.
8,14
BLUE RIDGE BANCSHARES, INC.
BLUE RIDGE BANCSHARES, INC.
BLUE RIDGE BANCSHARES, INC.
BLUE RIDGE BANCSHARES, INC.
8,64,97
BLUE RIVER BANCSHARES, INC.
BLUE RIVER BANCSHARES, INC.
BLUE VALLEY BAN CORP
BLUE VALLEY BAN CORP
BLUE VALLEY BAN CORP
BLUE VALLEY BAN CORP
BLUE VALLEY BAN CORP
8
BNB FINANCIAL SERVICES CORPORATION
BNB FINANCIAL SERVICES CORPORATION
BNC BANCORP
BNC BANCORP
BNC BANCORP
8,14,44
BNC FINANCIAL GROUP, INC.
BNC FINANCIAL GROUP, INC.
8
BNCCORP, INC.
BNCCORP, INC.
BNCCORP, INC.
BNCCORP, INC.
8,14,44
BOH HOLDINGS, INC.
BOH HOLDINGS, INC.
14,15
BOSCOBEL BANCORP, INC.
BOSCOBEL BANCORP, INC.
BOSCOBEL BANCORP, INC.
BOSCOBEL BANCORP, INC.
11
BOSTON PRIVATE FINANCIAL HOLDINGS INC.
BOSTON PRIVATE FINANCIAL HOLDINGS INC.
BOSTON PRIVATE FINANCIAL HOLDINGS INC.
BOSTON PRIVATE FINANCIAL HOLDINGS INC.
11
BRIDGE CAPITAL HOLDINGS
BRIDGE CAPITAL HOLDINGS
BRIDGE CAPITAL HOLDINGS
BRIDGE CAPITAL HOLDINGS
8
BRIDGEVIEW BANCORP, INC.
BRIDGEVIEW BANCORP, INC.
BRIDGEVIEW BANCORP, INC.
9,10,18,65,96,99,136,142,145 BROADWAY FINANCIAL CORPORATION
BROADWAY FINANCIAL CORPORATION
BROADWAY FINANCIAL CORPORATION
BROADWAY FINANCIAL CORPORATION
BROADWAY FINANCIAL CORPORATION
14,15
BROGAN BANKSHARES, INC.
BROGAN BANKSHARES, INC.
BROGAN BANKSHARES, INC.
BROGAN BANKSHARES, INC.
8,14,44
BROTHERHOOD BANCSHARES, INC.
BROTHERHOOD BANCSHARES, INC.
6,7,11
GASTONIA
EDEN PRAIRIE
CHARLOTTE
CHARLOTTE
CHARLOTTE
CHARLOTTE
CHARLOTTE
CHARLOTTE
CHARLOTTE
REDDING
REDDING
REDDING
LAS VEGAS
LAS VEGAS
LAS VEGAS
NOVATO
NOVATO
NOVATO
NEW YORK
NEW YORK
NEW YORK
MOCKSVILLE
MOCKSVILLE
LITTLE ROCK
LITTLE ROCK
LITTLE ROCK
DENVER
DENVER
MACON
MACON
GREENVILLE
GREENVILLE
GREENVILLE
GREENVILLE
WALLA WALLA
WALLA WALLA
WALLA WALLA
HARRISBURG
HARRISBURG
BAR HARBOR
BAR HARBOR
BAR HARBOR
WINSTON-SALEM
WINSTON-SALEM
WINSTON-SALEM
THEODORE
THEODORE
BALTIMORE
BALTIMORE
BALTIMORE
MANHATTAN BEACH
MANHATTAN BEACH
MANHATTAN BEACH
MANHATTAN BEACH
MANHATTAN BEACH
MANHATTAN BEACH
PHOENIXVILLE
PHOENIXVILLE
PITTSFIELD
PITTSFIELD
PITTSFIELD
BERN
BERN
BIRMINGHAM
BIRMINGHAM
BIRMINGHAM
COCONUT GROVE
COCONUT GROVE
COCONUT GROVE
COCONUT GROVE
BELOIT
BELOIT
BELOIT
BELOIT
FARGO
FARGO
FARGO
INDEPENDENCE
INDEPENDENCE
INDEPENDENCE
INDEPENDENCE
SHELBYVILLE
SHELBYVILLE
OVERLAND PARK
OVERLAND PARK
OVERLAND PARK
OVERLAND PARK
OVERLAND PARK
NEW YORK
NEW YORK
THOMASVILLE
THOMASVILLE
THOMASVILLE
NEW CANAAN
NEW CANAAN
BISMARCK
BISMARCK
BISMARCK
BISMARCK
HOUSTON
HOUSTON
BOSCOBEL
BOSCOBEL
BOSCOBEL
BOSCOBEL
BOSTON
BOSTON
BOSTON
BOSTON
SAN JOSE
SAN JOSE
SAN JOSE
SAN JOSE
BRIDGEVIEW
BRIDGEVIEW
BRIDGEVIEW
LOS ANGELES
LOS ANGELES
LOS ANGELES
LOS ANGELES
LOS ANGELES
KAUKAUNA
KAUKAUNA
KAUKAUNA
KAUKAUNA
KANSAS CITY
KANSAS CITY
NC
MN
NC
NC
NC
NC
NC
NC
NC
CA
CA
CA
NV
NV
NV
CA
CA
CA
NY
NY
NY
NC
NC
AR
AR
AR
CO
CO
MS
MS
SC
SC
SC
SC
WA
WA
WA
NE
NE
ME
ME
ME
NC
NC
NC
AL
AL
MD
MD
MD
CA
CA
CA
CA
CA
CA
PA
PA
MA
MA
MA
KS
KS
MI
MI
MI
FL
FL
FL
FL
WI
WI
WI
WI
ND
ND
ND
MO
MO
MO
MO
IN
IN
KS
KS
KS
KS
KS
NY
NY
NC
NC
NC
CT
CT
ND
ND
ND
ND
TX
TX
WI
WI
WI
WI
MA
MA
MA
MA
CA
CA
CA
CA
IL
IL
IL
CA
CA
CA
CA
CA
WI
WI
WI
WI
KS
KS
11/19/2013
3/26/2013
10/28/2008
1/9/2009
12/9/2009
3/9/2010
1/16/2009
11/30/2012
1/11/2013
11/14/2008
9/27/2011
10/26/2011
3/13/2009
10/21/2013
1/6/2014
12/5/2008
3/31/2009
11/23/2011
10/28/2008
6/17/2009
8/5/2009
4/17/2009
7/16/2014
12/12/2008
11/4/2009
11/24/2009
1/30/2009
4/24/2014
1/23/2009
9/8/2011
2/13/2009
11/9/2012
1/11/2013
3/26/2013
11/21/2008
4/3/2012
6/12/2013
2/6/2009
7/28/2011
1/16/2009
2/24/2010
7/28/2010
11/14/2008
6/17/2009
7/22/2009
4/3/2009
7/1/2014
12/23/2008
1/26/2011
4/19/2013
1/30/2009
7/6/2011
10/19/2011
3/7/2012
6/6/2012
6/27/2012
6/12/2009
12/28/2011
12/19/2008
5/27/2009
6/24/2009
2/13/2009
9/1/2011
4/24/2009
12/18/2009
7/28/2011
6/19/2009
2/7/2013
2/8/2013
3/26/2013
3/13/2009
10/29/2012
10/31/2012
1/11/2013
5/22/2009
6/27/2012
9/12/2012
3/6/2009
10/29/2012
10/31/2012
1/11/2013
3/6/2009
2/10/2012
12/5/2008
10/18/2013
10/21/2013
1/6/2014
1/7/2015
4/17/2009
8/30/2013
12/5/2008
8/29/2012
9/19/2012
2/27/2009
8/4/2011
1/16/2009
3/14/2014
3/17/2014
4/25/2014
3/6/2009
7/14/2011
5/15/2009
3/8/2013
3/11/2013
4/9/2013
11/21/2008
1/13/2010
6/16/2010
2/7/2011
12/23/2008
2/23/2011
3/16/2011
4/20/2011
12/19/2008
11/19/2013
1/6/2014
11/14/2008
12/4/2009
12/22/2016
6/29/2017
9/21/2017
5/15/2009
4/26/2013
4/29/2013
5/31/2013
7/17/2009
9/15/2011
$815,100.00
2,964
$275.00
$25,000,000,000.00
1,000,000
$25,000.00
$2,502,000.00
3,000
$834.00
17,000
$1,000.00
2,672
$357.50
$28,000,000.00
28,000
$1,000.00
$3,000,000,000.00
3,000,000
$1,000.00
($2,148,900.00)
($15,670.63)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$15,000,000,000.00
$10,000,000,000.00
$0.00
$26,599,663,040.28 Redeemed, in full; warrants not outstanding
$3,000,000.00
$0.00
$3,087,573.33 Sold, in full; warrants not outstanding
($498,000.00)
$305,913,040.28
121,792,790
$100,100.00
150
$125,000.00
405,405
$23,709.00
134
($25,000.00)
Preferred Stock w/ Warrants
$17,000,000.00
$0.00
$19,564,027.78 Redeemed, in full; warrants not outstanding
$17,000,000.00
Preferred Stock w/ Exercised Warrants
$2,672,000.00
$0.00
$1,233,940.00 Sold, in full; warrants not outstanding
$955,240.00
($1,716,760.00)
($25,000.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$28,000,000.00
$3,000,000,000.00
$0.00
$0.00
Preferred Stock w/ Warrants
$13,179,000.00
$0.00
Preferred Stock w/ Warrants
$75,000,000.00
$0.00
$30,155,095.11 Redeemed, in full; warrants not outstanding
$1,703,984.00
154,908
$136,000,000.00
14,516,129
$3,231,416,666.67 Redeemed, in full; warrants not outstanding
$4,334,427.00 Sold, in full; warrants not outstanding
$3,294,750.00
13,179
$250.00
$75,000,000.00
75,000
$1,000.00
($9,884,250.00)
$2,650,000.00
379,811
$12,639,000.00
12,639
$1,000.00
$632,000.00
632
$15,500,000.00
15,500
$1,000.00
$775,000.00
775
1,000
$900.00
($100,000.00)
$21,880.50
50
($14,282,320.00)
$134,201.00
243,998
$81,004,166.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,639,000.00
$0.00
$17,097,990.60 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$15,500,000.00
$0.00
$18,492,469.25 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,000,000.00
$0.00
$1,100,653.50 Sold, in full; warrants not outstanding
$900,000.00
($9,000.00)
($16,000.00)
Preferred Stock w/ Warrants
$124,000,000.00
$0.00
$795,000.00
$0.00
$129,079,862.47 Sold, in full; warrants not outstanding
$109,717,680.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants
$18,751,000.00
$0.00
$0.00
$3,293,353,918.53 Redeemed, in full; warrants not outstanding
$1,706,000.00
$0.00
$2,315,853.14 Redeemed, in full; warrants not outstanding
$10,800,000.00
$0.00
$13,371,500.00 Redeemed, in full; warrants not outstanding
$6,000,000.00
$0.00
$7,263,316.66 Redeemed, in full; warrants not outstanding
$2,892,000.00
$0.00
$3,444,478.21 Redeemed, in full; warrants not outstanding
$40,000,000.00
$0.00
$41,917,777.78 Redeemed, in full; warrants not outstanding
$985,000.00
$0.00
$1,172,062.50 Redeemed, in full; warrants not outstanding
$0.00
($1,645,765.20)
$884.82
795
$1,000.00
$18,751,000.00
18,751
$1,000.00
$40,000.00
4
$250,000.00
52,455
$67,010,401.86
13,902,573
$20,037,514.11 Redeemed, in full; warrants not outstanding
$3,133,640,000.00
$1,635,000.00
$1,744,000.00
124,000
$795,000.00
$942,411.42 Redeemed, in full; warrants not outstanding
$3,133,640,000.00
3,134
$1,000,000.00
$1,706,000.00
1,706
$1,000.00
$10,800,000.00
10,800
$1,000.00
$85,000.00
85
$1,442,000.00
183,465
$1,500,000.00
$1,500,000.00
$1,500,000.00
$1,200,000.00
$300,000.00
1,500
1,500
1,500
1,200
300
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$300,000.00
300
$2,892,000.00
2,892
$1,000.00
$145,000.00
145
$40,000,000.00
40,000
$1,000.00
$1,040,000.00
226,330
$985,000.00
985
$1,000.00
$50,000.00
5
$3,379,000.00
3,379
$1,000.00
$82,000.00
82
2,600,000
3,800,000
$0.97
$0.97
($67,860.00)
($99,180.00)
$64,158.97
$140,347.75
64,000
140,000
205
9,795
$910.00
$910.00
($18,450.00)
($881,550.00)
$470,250.00
500
$2,250,000.00
$2,750,000.00
2,250
2,750
$1,000.00
$1,000.00
$250,000.00
250
$19,630.00
$9,040,370.00
26
11,974
$755.00
$755.00
$541,793.34
600
$3,056.00
130,977
$3,803,022.67 Redeemed, in full; warrants not outstanding
$6,400,000.00
$0.00
$8,271,975.28 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$11,459,461.11 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,000,000.00
$0.00
$2,532,140.00
$3,700,820.00
($62,329.60)
$186,550.00
$8,913,450.00
($91,000.00)
Preferred Stock w/ Exercised Warrants
$12,000,000.00
$0.00
$6,127,326.35 Redeemed, in full; warrants not outstanding
$11,938,437.34 Sold, in full; warrants not outstanding
($6,370.00)
($2,933,630.00)
($90,600.00)
Preferred Stock w/ Exercised Warrants
$5,000,000.00
$0.00
$529,105.00 Currently Not Collectible
($5,000,000.00)
Preferred Stock w/ Warrants
$21,750,000.00
$0.00
$21,264,901.65 Sold, in full; warrants not outstanding
$3,177,232.50
$18,085,785.00
3,250
18,500
$977.61
$977.61
7,500
$1,000.00
31,260
$921.23
($72,767.50)
($414,215.00)
($212,630.18)
Preferred Stock w/ Exercised Warrants
$7,500,000.00
$0.00
$31,260,000.00
$0.00
$9,776,051.62 Redeemed, in full; warrants not outstanding
$7,500,000.00
Preferred Stock w/ Warrants
$28,797,649.80
Preferred Stock w/ Exercised Warrants
$4,797,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$20,093,000.00
$0.00
$375,000.00
375
$939,920.00
543,337
$240,000.00
240
$29,737.13
$966,456.56
30
975
$35,140,666.12 Sold, in full; warrants not outstanding
($431,964.75)
($2,462,350.20)
$5,673,920.75 Redeemed, in full; warrants not outstanding
$4,797,000.00
4,797
$1,000.00
$143,000.00
$19,950,000.00
143
19,950
$1,001.08
$1,001.08
$10,000,000.00
10,000
$1,000.00
$5,586,000.00
5,586,000
$1.11
$50,000,000.00
$104,000,000.00
50,000
104,000
$1,000.00
$1,000.00
$15,000,000.00
$8,864,000.00
15,000
8,864
$1,000.00
$1,000.00
38,000
$275.00
4,702,860
1,832,092
916,046
$1.59
$1.90
$2.05
$524,767.98
$772,382.25
$523,598.03
60,000
2,340,000
$1.05
$1.05
$3,000.60
$117,023.40
11,000
$1,000.00
$26,941,865.35 Sold, in full; warrants not outstanding
$154.44
$21,546.00
($201,147.00)
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants
$10,000,000.00
$0.00
$5,586,000.00
$0.00
$11,783,777.44 Redeemed, in full; warrants not outstanding
$500,000.00
500
$232,180.54
$129,709.80
179,000
100,000
$6,202,523.25
2,887,500
$1,395,000.00
396,412
$709,155.81
1,900
$125,135.60
120,000
$550,000.00
550
$6,947,457.50 Sold, in full; warrants not outstanding
$592,730.46
($61,787.30)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$154,000,000.00
$23,864,000.00
$38,000,000.00
$0.00
$0.00
$0.00
$171,224,745.48 Redeemed, in full; warrants not outstanding
$27,872,582.22 Redeemed, in full; warrants not outstanding
$13,447,811.37 Sold, in full; warrants not outstanding
$10,450,000.00
($27,550,000.00)
($104,500.00)
Preferred Stock w/ Warrants
$9,000,000.00
$6,000,000.00
$3,984,331.76
Subordinated Debentures w/ Exercised Warrants
$2,400,000.00
$0.00
$11,000,000.00
$0.00
$13,646,833.17 Sold, in part; warrants not outstanding
$6,952,779.42
$2,708,592.55
$1,354,296.27
$3,022,879.60 Sold, in full; warrants not outstanding
$60,000.00
$2,340,000.00
($25,000.00)
Preferred Stock w/ Exercised Warrants
$12,845,586.01 Redeemed, in full; warrants not outstanding
$11,000,000.00
15
UST0379
UST1077
UST1077
UST1077
UST1077
UST0845
UST0845
UST0324
UST0324
UST0324
UST0324
UST0314
UST0314
UST0314
UST0300
UST0300
UST0495
UST0495
UST0418
UST0418
UST0432
UST0432
UST0219
UST0219
UST0307
UST0307
UST0061
UST0061
UST1082
UST1082
UST0022
UST0022
UST0022
UST0064
UST0064
UST0064
UST0064
UST1257
UST1257
UST0338
UST0338
UST0338
UST0338
UST0338
UST0597
UST0597
UST0597
UST0597
UST0597
UST0591
UST0591
UST0413
UST0413
UST0065
UST0065
UST0103
UST0103
UST0103
UST0103
UST0878
UST0878
UST0878
UST1204
UST1204
UST0764
UST0764
UST0764
UST0764
UST0764
UST0764
UST0941
UST0941
UST0941
UST0941
UST0941
UST0192
UST0192
UST0192
UST0647
UST0647
UST0304
UST0304
UST0304
UST0132
UST0132
UST0132
UST1034
UST1034
UST1034
UST1034
UST1034
UST0023
UST0023
UST0023
UST0257
UST0257
UST0257
UST0133
UST0133
UST0133
UST0755
UST0755
UST0558
UST0558
UST0784
UST0784
UST0784
UST0784
UST0123
UST0123
UST0371
UST0371
UST0371
UST0241
UST0241
UST0241
UST0241
UST0353
UST0353
UST0353
UST0312
UST0312
UST1309
UST1309
UST0573
UST0573
UST0248
8,11,14
8,11,14
11
8,14,18,44
125
8,14,44
8,11,14
8
8,130
8,11,14
39
8,128
11
8,14
14,15,45
11
9,11,36
11
8,14,18,44
8,57,97
8,18
8,14
143,146
8
44
11,59
8,14
12,16
8,11,14
45
8,113
8,11,14
8,14
11
40
45
93
8,17,44
8,14,44
AB&T FINANCIAL CORPORATION
BUSINESS BANCSHARES, INC.
BUSINESS BANCSHARES, INC.
BUSINESS BANCSHARES, INC.
BUSINESS BANCSHARES, INC.
BUTLER POINT, INC.
BUTLER POINT, INC.
C&F FINANCIAL CORPORATION
C&F FINANCIAL CORPORATION
C&F FINANCIAL CORPORATION
C&F FINANCIAL CORPORATION
CACHE VALLEY BANKING COMPANY
CACHE VALLEY BANKING COMPANY
CACHE VALLEY BANKING COMPANY
CADENCE FINANCIAL CORPORATION
CADENCE FINANCIAL CORPORATION
CALIFORNIA BANK OF COMMERCE
CALIFORNIA BANK OF COMMERCE
CALIFORNIA OAKS STATE BANK
CALIFORNIA OAKS STATE BANK
CALVERT FINANCIAL CORPORATION
CALVERT FINANCIAL CORPORATION
CALWEST BANCORP
CALWEST BANCORP
CAPITAL BANCORP, INC.
CAPITAL BANCORP, INC.
CAPITAL BANK CORPORATION
CAPITAL BANK CORPORATION
CAPITAL COMMERCE BANCORP, INC.
CAPITAL COMMERCE BANCORP, INC.
CAPITAL ONE FINANCIAL CORP
CAPITAL ONE FINANCIAL CORP
CAPITAL ONE FINANCIAL CORP
CAPITAL PACIFIC BANCORP
CAPITAL PACIFIC BANCORP
CAPITAL PACIFIC BANCORP
CAPITAL PACIFIC BANCORP
CARDINAL BANCORP II, INC.
CARDINAL BANCORP II, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA TRUST BANK
CAROLINA TRUST BANK
CAROLINA TRUST BANK
CAROLINA TRUST BANK
CAROLINA TRUST BANK
CARROLLTON BANCORP
CARROLLTON BANCORP
CARVER BANCORP, INC.
CARVER BANCORP, INC.
CASCADE FINANCIAL CORPORATION
CASCADE FINANCIAL CORPORATION
CATHAY GENERAL BANCORP
CATHAY GENERAL BANCORP
CATHAY GENERAL BANCORP
CATHAY GENERAL BANCORP
CATSKILL HUDSON BANCORP, INC.
CATSKILL HUDSON BANCORP, INC.
CATSKILL HUDSON BANCORP, INC.
CB HOLDING CORP.
CB HOLDING CORP.
CBB BANCORP
CBB BANCORP
CBB BANCORP
CBB BANCORP
CBB BANCORP
CBB BANCORP
CBS BANC-CORP.
CBS BANC-CORP.
CBS BANC-CORP.
CBS BANC-CORP.
CBS BANC-CORP.
CECIL BANCORP, INC.
CECIL BANCORP, INC.
CECIL BANCORP, INC.
CEDARSTONE BANK
CEDARSTONE BANK
CENTER BANCORP, INC.
CENTER BANCORP, INC.
CENTER BANCORP, INC.
CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC.
CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC.
CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC.
CENTERBANK
CENTERBANK
CENTERBANK
CENTERBANK
CENTERBANK
CENTERSTATE BANKS OF FLORIDA INC.
CENTERSTATE BANKS OF FLORIDA INC.
CENTERSTATE BANKS OF FLORIDA INC.
CENTRA FINANCIAL HOLDINGS, INC.
CENTRA FINANCIAL HOLDINGS, INC.
CENTRA FINANCIAL HOLDINGS, INC.
CENTRAL BANCORP, INC. (MA)
CENTRAL BANCORP, INC. (MA)
CENTRAL BANCORP, INC. (MA)
CENTRAL BANCORP, INC. (TX)
CENTRAL BANCORP, INC. (TX)
CENTRAL BANCSHARES, INC.
CENTRAL BANCSHARES, INC.
CENTRAL COMMUNITY CORPORATION
CENTRAL COMMUNITY CORPORATION
CENTRAL COMMUNITY CORPORATION
CENTRAL COMMUNITY CORPORATION
CENTRAL FEDERAL CORPORATION
CENTRAL FEDERAL CORPORATION
CENTRAL JERSEY BANCORP
CENTRAL JERSEY BANCORP
CENTRAL JERSEY BANCORP
CENTRAL PACIFIC FINANCIAL CORP.
CENTRAL PACIFIC FINANCIAL CORP.
CENTRAL PACIFIC FINANCIAL CORP.
CENTRAL PACIFIC FINANCIAL CORP.
CENTRAL VALLEY COMMUNITY BANCORP
CENTRAL VALLEY COMMUNITY BANCORP
CENTRAL VALLEY COMMUNITY BANCORP
CENTRAL VIRGINIA BANKSHARES, INC.
CENTRAL VIRGINIA BANKSHARES, INC.
CENTRIC FINANCIAL CORPORATION
CENTRIC FINANCIAL CORPORATION
CENTRIX BANK & TRUST
CENTRIX BANK & TRUST
CENTRUE FINANCIAL CORPORATION
GASTONIA
CLAYTON
CLAYTON
CLAYTON
CLAYTON
CATLIN
CATLIN
WEST POINT
WEST POINT
WEST POINT
WEST POINT
LOGAN
LOGAN
LOGAN
STARKVILLE
STARKVILLE
LAFAYETTE
LAFAYETTE
THOUSAND OAKS
THOUSAND OAKS
ASHLAND
ASHLAND
RANCHO SANTA MARGARITA
RANCHO SANTA MARGARITA
ROCKVILLE
ROCKVILLE
RALEIGH
RALEIGH
MILWAUKEE
MILWAUKEE
MCLEAN
MCLEAN
MCLEAN
PORTLAND
PORTLAND
PORTLAND
PORTLAND
WASHINGTON
WASHINGTON
GREENSBORO
GREENSBORO
GREENSBORO
GREENSBORO
GREENSBORO
LINCOLNTON
LINCOLNTON
LINCOLNTON
LINCOLNTON
LINCOLNTON
BALTIMORE
BALTIMORE
NEW YORK
NEW YORK
EVERETT
EVERETT
LOS ANGELES
LOS ANGELES
LOS ANGELES
LOS ANGELES
ROCK HILL
ROCK HILL
ROCK HILL
ALEDO
ALEDO
CARTERSVILLE
CARTERSVILLE
CARTERSVILLE
CARTERSVILLE
CARTERSVILLE
CARTERSVILLE
RUSSELLVILLE
RUSSELLVILLE
RUSSELLVILLE
RUSSELLVILLE
RUSSELLVILLE
ELKTON
ELKTON
ELKTON
LEBANON
LEBANON
UNION
UNION
UNION
LOS ANGELES
LOS ANGELES
LOS ANGELES
MILFORD
MILFORD
MILFORD
MILFORD
MILFORD
DAVENPORT
DAVENPORT
DAVENPORT
MORGANTOWN
MORGANTOWN
MORGANTOWN
SOMERVILLE
SOMERVILLE
SOMERVILLE
GARLAND
GARLAND
HOUSTON
HOUSTON
TEMPLE
TEMPLE
TEMPLE
TEMPLE
FAIRLAWN
FAIRLAWN
OAKHURST
OAKHURST
OAKHURST
HONOLULU
HONOLULU
HONOLULU
HONOLULU
FRESNO
FRESNO
FRESNO
POWHATAN
POWHATAN
HARRISBURG
HARRISBURG
BEDFORD
BEDFORD
OTTAWA
NC
MO
MO
MO
MO
IL
IL
VA
VA
VA
VA
UT
UT
UT
MS
MS
CA
CA
CA
CA
MO
MO
CA
CA
MD
MD
NC
NC
WI
WI
VA
VA
VA
OR
OR
OR
OR
MO
MO
NC
NC
NC
NC
NC
NC
NC
NC
NC
NC
MD
MD
NY
NY
WA
WA
CA
CA
CA
CA
NY
NY
NY
IL
IL
GA
GA
GA
GA
GA
GA
AL
AL
AL
AL
AL
MD
MD
MD
TN
TN
NJ
NJ
NJ
CA
CA
CA
OH
OH
OH
OH
OH
FL
FL
FL
WV
WV
WV
MA
MA
MA
TX
TX
TX
TX
TX
TX
TX
TX
OH
OH
NJ
NJ
NJ
HI
HI
HI
HI
CA
CA
CA
VA
VA
PA
PA
NH
NH
IL
11/19/2013
4/24/2009
5/23/2012
1/9/2013
4/24/2013
3/13/2009
11/2/2011
1/9/2009
7/27/2011
4/11/2012
5/14/2014
12/23/2008
12/18/2009
7/14/2011
1/9/2009
3/4/2011
2/27/2009
9/15/2011
1/23/2009
12/8/2010
1/23/2009
2/17/2016
1/23/2009
12/23/2015
12/23/2008
12/30/2010
12/12/2008
1/28/2011
4/10/2009
10/2/2015
11/14/2008
6/17/2009
12/9/2009
12/23/2008
11/8/2012
11/9/2012
1/11/2013
10/23/2009
9/8/2011
1/9/2009
2/20/2013
2/21/2013
3/26/2013
4/19/2013
2/6/2009
11/30/2012
1/11/2013
3/26/2013
6/11/2013
2/13/2009
4/19/2013
1/16/2009
8/27/2010
11/21/2008
6/30/2011
12/5/2008
3/20/2013
9/30/2013
12/9/2013
2/27/2009
12/22/2009
7/21/2011
5/29/2009
10/14/2011
2/20/2009
12/29/2009
11/28/2012
11/29/2012
1/11/2013
3/26/2013
3/27/2009
8/7/2012
8/9/2012
8/10/2012
9/11/2012
12/23/2008
6/30/2017
10/26/2017
2/6/2009
11/20/2013
1/9/2009
9/15/2011
12/7/2011
12/12/2008
6/27/2012
5/27/2015
5/1/2009
10/29/2012
11/1/2012
1/11/2013
3/26/2013
11/21/2008
9/30/2009
10/28/2009
1/16/2009
3/31/2009
4/15/2009
12/5/2008
8/25/2011
10/19/2011
2/27/2009
8/29/2014
1/30/2009
7/6/2011
2/20/2009
12/10/2012
12/11/2012
1/11/2013
12/5/2008
9/26/2012
12/23/2008
11/24/2010
12/1/2010
1/9/2009
6/22/2011
4/4/2012
6/11/2013
1/30/2009
8/18/2011
9/28/2011
1/30/2009
10/1/2013
12/18/2009
7/14/2011
2/6/2009
7/28/2011
1/9/2009
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$15,000,000.00
$0.00
$607,000.00
$0.00
$724,123.53 Redeemed, in full; warrants not outstanding
$20,000,000.00
$0.00
$25,205,957.78 Redeemed, in full; warrants not outstanding
$4,767,000.00
$4,640,000.00
$0.00
$44,000,000.00
$0.00
$4,000,000.00
$0.00
$4,755,899.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,300,000.00
$0.00
$3,802,219.25 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,037,000.00
$0.00
$1,604,019.48 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,656,000.00
$0.00
$5,285,163.67 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,700,000.00
$0.00
$5,452,281.19 Redeemed, in full; warrants not outstanding
$41,279,000.00
$0.00
$45,252,104.25 Redeemed, in full; warrants not outstanding
$5,100,000.00
$0.00
$3,555,199,000.00
$0.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
2,964
$275.00
6,000
2,500
6,500
$1,000.00
$1,000.00
$1,000.00
($2,148,900.00)
$750,000.00
750
$607,000.00
607
$1,000.00
$30,000.00
30
$10,000,000.00
$10,000,000.00
10,000
10,000
$1,000.00
$1,000.00
$2,303,180.00
167,504
$9,407,000.00
9,407
$1,000.00
$238,000.00
238
$38,000,000.00
44,000
$863.64
$4,000,000.00
4,000
$1,000.00
$200,000.00
200
$3,300,000.00
3,300
$1,000.00
$165,000.00
165
$1,037,000.00
1,037
$1,000.00
$52,000.00
52
$4,656,000.00
24,445,000
$0.20
$4,700,000.00
4,700
$1,000.00
$235,000.00
235
$41,279,000.00
41,279
$1,000.00
$146,500,064.55
12,657,960
$10,674,333.80 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$815,100.00
$6,000,000.00
$2,500,000.00
$6,500,000.00
$18,707,708.84 Redeemed, in full; warrants not outstanding
$41,984,062.50 Sold, in full; warrants not outstanding
($6,000,000.00)
$233,000.00
$2,764,934.40 Sold, in full; warrants not outstanding
$2,455,328.00
1,227,664
$2.00
$3,555,199,000.00
3,555,199
$1,000.00
($2,644,672.00)
$247,727.04
$3,505,712.96
264
3,736
$938.36
$938.36
6,251,000
$1.00
15,534
466
$935.10
$935.10
($1,008,156.60)
($30,243.40)
4,000
$853.00
($588,000.00)
$9,201,000.00
9,201
$1,000.00
$18,980,000.00
18,980
$1,000.00
$3,806,873,702.13 Redeemed, in full; warrants not outstanding
$4,742,850.89 Sold, in full; warrants not outstanding
($16,272.96)
($230,287.04)
$169,042.00
200
$313,000.00
313,000
$1,800,000.00
357,675
($25,000.00)
Subordinated Debentures w/ Exercised Warrants
$6,251,000.00
$0.00
$7,547,479.56 Redeemed, in full; warrants not outstanding
$6,251,000.00
Preferred Stock w/ Warrants
$16,000,000.00
$0.00
$19,941,788.94 Sold, in full; warrants not outstanding
$14,525,843.40
$435,756.60
($149,616.00)
Preferred Stock w/ Warrants
$4,000,000.00
$0.00
$3,994,452.00 Sold, in full; warrants not outstanding
$3,412,000.00
($34,120.00)
($15,880.00)
Preferred Stock w/ Warrants
Preferred Stock
$9,201,000.00
$0.00
$11,388,958.51 Redeemed, in full; warrants not outstanding
$18,980,000.00
$0.00
$20,511,580.55 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$38,970,000.00
$0.00
Preferred Stock w/ Warrants
$258,000,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$3,000,000.00
$3,500,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$4,114,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$2,644,000.00
$1,753,000.00
$0.00
$19,132.00
86,957
$213,594.16
205,379
$13,107,778.30
1,846,374
$263,000.00
263
$17,678,900.00 Sold, in full; warrants not outstanding
$16,250,000.00
38,970
$416.99
$129,000,000.00
$129,000,000.00
129,000
129,000
$1,000.00
$1,000.00
$6,500,000.00
6,500
$1,000.00
($22,720,000.00)
$329,874,444.96 Redeemed, in full; warrants not outstanding
$7,448,071.47 Redeemed, in full; warrants not outstanding
$271,579.53 Currently Not Collectible
($4,114,000.00)
$4,982,141.86 Sold, in full; warrants not outstanding
$1,268,825.60
$2,831,259.86
1,360
3,037
$932.96
$932.26
($91,174.40)
($205,740.14)
$115,861.34
132
1,020
23,280
$905.20
$905.20
($96,696.00)
($2,206,944.00)
$287,213.85
$689,313.24
$131,297.76
315
756
144
$3,564,000.00
3,564
$1,000.00
$10,000,000.00
10,000
$1,000.00
($32,969.92)
($363.42)
Preferred Stock w/ Exercised Warrants
$24,300,000.00
$0.00
$27,432,357.95 Sold, in full; warrants not outstanding
$923,304.00
$21,073,056.00
($219,963.60)
Preferred Stock w/ Warrants
$11,560,000.00
$0.00
$1,396,988.89 Exited bankruptcy/Receivership
$3,564,000.00
$0.00
$4,672,098.50 Redeemed, in full; warrants not outstanding
($11,560,000.00)
$880,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$55,000,000.00
$0.00
$2,250,000.00
$0.00
$178,000.00
178
$245,000.00
86,705
$1,115,500.00
350,767
$84,057.43
113
$212,000.00
125,413
$11,586,666.67 Redeemed, in full; warrants not outstanding
$65,855,083.33 Redeemed, in full; warrants not outstanding
$55,000,000.00
55,000
$1,000.00
$24,750.00
$1,831,500.00
30
2,220
$825.00
$825.00
$27,875,000.00
27,875
$1,000.00
$15,000,000.00
15,000
$1,000.00
$2,344,662.43 Sold, in full; warrants not outstanding
($5,250.00)
($388,500.00)
($18,562.50)
($6,437.50)
Preferred Stock w/ Warrants
$27,875,000.00
$0.00
$29,283,302.58 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$15,000,000.00
$0.00
$15,922,937.50 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$10,000,000.00
$0.00
$22,500,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$5,800,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$22,000,000.00
$0.00
750
$2,525,000.00
234,742
1,125
$13,886,111.11 Redeemed, in full; warrants not outstanding
$10,000,000.00
Preferred Stock w/ Exercised Warrants
$750,000.00
10,000
$1,000.00
$31,086,221.13 Redeemed, in full; warrants not outstanding
$22,500,000.00
22,500
$1,000.00
$1,125,000.00
$5,800,000.00
5,800
$1,000.00
$290,000.00
290
$5,333,059.60
$15,043,340.40
5,758
16,242
$926.20
$926.20
($424,940.40)
($1,198,659.60)
$1,058,725.80
1,100
($4,225,000.00)
$319,658.99
268,621
$751,888.00
79,288
$185,016.80
79,067
$6,859,176.83 Redeemed, in full; warrants not outstanding
$25,797,528.80 Sold, in full; warrants not outstanding
($203,764.00)
Preferred Stock w/ Warrants
$7,225,000.00
$0.00
Preferred Stock w/ Warrants
$11,300,000.00
$0.00
Preferred Stock w/ Warrants
$135,000,000.00
$0.00
$3,612,118.06 Sold, in full; warrants not outstanding
$3,000,000.00
7,225
$415.22
$11,300,000.00
11,300
$1,000.00
2,850,000
2,770,117
$12.75
$13.15
7,000
$1,000.00
$12,704,145.10 Redeemed, in full; warrants not outstanding
$75,036,891.42 Sold, in full; warrants not outstanding
$36,337,500.00
$36,427,038.55
Preferred Stock w/ Warrants
$7,000,000.00
$0.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
($32,121,928.87)
($30,113,532.58)
$8,077,516.47 Redeemed, in full; warrants not outstanding
$7,000,000.00
Preferred Stock w/ Warrants
($454,218.75)
($387,816.38)
$11,385,000.00
$0.00
$3,800,656.00 Sold, in full; warrants not outstanding
$6,056,000.00
$0.00
$6,739,821.89 Redeemed, in full; warrants not outstanding
$7,500,000.00
$0.00
$32,668,000.00
$0.00
$3,350,000.00
11,385
$294.25
($8,035,000.00)
$6,056,000.00
6,056
$1,000.00
$182,000.00
182
$7,500,000.00
7,500
$1,000.00
$375,000.00
375
$8,887,791.42 Redeemed, in full; warrants not outstanding
$11,205,387.14 Sold, in full; warrants not outstanding
16
UST0379
UST0248
UST0248
UST0248
UST0248
UST0248
UST0248
UST0248
UST1238
UST1238
UST1238
UST1238
UST1037
UST1037
UST1286
UST1286
UST1286
UST1286
UST0247
UST0247
UST0024
UST0024
UST0024
UST0419
UST0419
UST0419
UST0325
UST0325
UST1205
UST1205
UST1205
UST1205
UST0318
UST0318
UST0980
UST0980
UST0980
UST0547
UST0547
UST0164
UST0164
UST0339
UST0339
UST0339
UST0339
UST0339
UST0116
UST0116
UST0116
UST0195
UST0195
UST0195
UST0840
UST0840
UST0025
UST0025
UST0025
UST0025
UST0713
UST0713
UST0713
UST0713
UST0090
UST0090
UST0090
UST0090
UST0090
UST0090
UST1336
UST1336
UST1336
UST1336
UST0166
UST0166
UST0166
UST0358
UST0358
UST0358
UST0523
UST0523
UST0523
UST0523
UST0792
UST0792
UST0259
UST0259
UST0259
UST0259
UST0259
UST0066
UST0066
UST0066
UST0519
UST0519
UST0016
UST0016
UST0016
UST0171
UST0171
UST0171
UST0911
UST0911
UST0911
UST0911
UST0911
UST0911
UST0057
UST0057
UST0057
UST0134
UST0134
UST0861
UST0861
UST0956
UST0956
UST1226
UST1226
UST0354
UST0354
UST1208
UST1208
UST1208
UST0113
UST0113
UST0113
UST0113
UST0113
14,15
15
8
23
19,30
11
8,55,97
8,14
9,11,36
8
8,138
8,14,44
11
86
45
8,9,124
11
8,14
82
8,17
45
44
8,14
8,11,14
11,16
8,14,44
11
11
14,15
8,14
8,11,14
8,11,14
8,11,14
8,17
9,11,36
44
11,101
AB&T FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTURY FINANCIAL SERVICES CORPORATION
CENTURY FINANCIAL SERVICES CORPORATION
CENTURY FINANCIAL SERVICES CORPORATION
CENTURY FINANCIAL SERVICES CORPORATION
CHAMBERS BANCSHARES, INC.
CHAMBERS BANCSHARES, INC.
CHICAGO SHORE CORPORATION
CHICAGO SHORE CORPORATION
CHICAGO SHORE CORPORATION
CHICAGO SHORE CORPORATION
CIT GROUP INC.
CIT GROUP INC.
CITIGROUP INC.
CITIGROUP INC.
CITIGROUP INC.
CITIZENS & NORTHERN CORPORATION
CITIZENS & NORTHERN CORPORATION
CITIZENS & NORTHERN CORPORATION
CITIZENS BANCORP
CITIZENS BANCORP
CITIZENS BANCSHARES CO.
CITIZENS BANCSHARES CO.
CITIZENS BANCSHARES CO.
CITIZENS BANCSHARES CO.
CITIZENS BANCSHARES CORPORATION
CITIZENS BANCSHARES CORPORATION
CITIZENS BANK & TRUST COMPANY, ESTABLISHED 1945
CITIZENS BANK & TRUST COMPANY, ESTABLISHED 1945
CITIZENS BANK & TRUST COMPANY, ESTABLISHED 1945
CITIZENS COMMERCE BANCSHARES, INC.
CITIZENS COMMERCE BANCSHARES, INC.
CITIZENS COMMUNITY BANK
CITIZENS COMMUNITY BANK
CITIZENS FIRST CORPORATION
CITIZENS FIRST CORPORATION
CITIZENS FIRST CORPORATION
CITIZENS FIRST CORPORATION
CITIZENS FIRST CORPORATION
CITIZENS REPUBLIC BANCORP, INC. / FIRSTMERIT CORPORATION
CITIZENS REPUBLIC BANCORP, INC. / FIRSTMERIT CORPORATION
CITIZENS REPUBLIC BANCORP, INC. / FIRSTMERIT CORPORATION
CITIZENS SOUTH BANKING CORPORATION
CITIZENS SOUTH BANKING CORPORATION
CITIZENS SOUTH BANKING CORPORATION
CITY NATIONAL BANCSHARES CORPORATION
CITY NATIONAL BANCSHARES CORPORATION
CITY NATIONAL CORPORATION
CITY NATIONAL CORPORATION
CITY NATIONAL CORPORATION
CITY NATIONAL CORPORATION
CLOVER COMMUNITY BANKSHARES, INC.
CLOVER COMMUNITY BANKSHARES, INC.
CLOVER COMMUNITY BANKSHARES, INC.
CLOVER COMMUNITY BANKSHARES, INC.
COASTAL BANKING COMPANY, INC.
COASTAL BANKING COMPANY, INC.
COASTAL BANKING COMPANY, INC.
COASTAL BANKING COMPANY, INC.
COASTAL BANKING COMPANY, INC.
COASTAL BANKING COMPANY, INC.
COASTALSOUTH BANCHARES, INC.
COASTALSOUTH BANCHARES, INC.
COASTALSOUTH BANCHARES, INC.
COASTALSOUTH BANCHARES, INC.
COBIZ FINANCIAL INC.
COBIZ FINANCIAL INC.
COBIZ FINANCIAL INC.
CODORUS VALLEY BANCORP, INC.
CODORUS VALLEY BANCORP, INC.
CODORUS VALLEY BANCORP, INC.
COLOEAST BANKSHARES, INC.
COLOEAST BANKSHARES, INC.
COLOEAST BANKSHARES, INC.
COLOEAST BANKSHARES, INC.
COLONIAL AMERICAN BANK
COLONIAL AMERICAN BANK
COLONY BANKCORP, INC.
COLONY BANKCORP, INC.
COLONY BANKCORP, INC.
COLONY BANKCORP, INC.
COLONY BANKCORP, INC.
COLUMBIA BANKING SYSTEM, INC.
COLUMBIA BANKING SYSTEM, INC.
COLUMBIA BANKING SYSTEM, INC.
COLUMBINE CAPITAL CORP.
COLUMBINE CAPITAL CORP.
COMERICA INC.
COMERICA INC.
COMERICA INC.
COMMERCE NATIONAL BANK
COMMERCE NATIONAL BANK
COMMERCE NATIONAL BANK
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BUSINESS BANK
COMMONWEALTH BUSINESS BANK
COMMONWEALTH BUSINESS BANK
COMMUNITY 1ST BANK
COMMUNITY 1ST BANK
COMMUNITY BANCSHARES OF KANSAS, INC.
COMMUNITY BANCSHARES OF KANSAS, INC.
COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY BANK OF MISSISSIPPI
COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY BANK OF MISSISSIPPI
COMMUNITY BANCSHARES, INC.
COMMUNITY BANCSHARES, INC.
COMMUNITY BANK OF THE BAY
COMMUNITY BANK OF THE BAY
COMMUNITY BANK SHARES OF INDIANA, INC.
COMMUNITY BANK SHARES OF INDIANA, INC.
COMMUNITY BANK SHARES OF INDIANA, INC.
COMMUNITY BANKERS TRUST CORPORATION
COMMUNITY BANKERS TRUST CORPORATION
COMMUNITY BANKERS TRUST CORPORATION
COMMUNITY BANKERS TRUST CORPORATION
COMMUNITY BANKERS TRUST CORPORATION
GASTONIA
OTTAWA
OTTAWA
OTTAWA
OTTAWA
OTTAWA
OTTAWA
OTTAWA
SANTA FE
SANTA FE
SANTA FE
SANTA FE
DANVILLE
DANVILLE
CHICAGO
CHICAGO
CHICAGO
CHICAGO
NEW YORK
NEW YORK
NEW YORK
NEW YORK
NEW YORK
WELLSBORO
WELLSBORO
WELLSBORO
NEVADA CITY
NEVADA CITY
CHILLICOTHE
CHILLICOTHE
CHILLICOTHE
CHILLICOTHE
ATLANTA
ATLANTA
COVINGTON
COVINGTON
COVINGTON
VERSAILLES
VERSAILLES
SOUTH HILL
SOUTH HILL
BOWLING GREEN
BOWLING GREEN
BOWLING GREEN
BOWLING GREEN
BOWLING GREEN
FLINT
FLINT
FLINT
GASTONIA
GASTONIA
GASTONIA
NEWARK
NEWARK
BEVERLY HILLS
BEVERLY HILLS
BEVERLY HILLS
BEVERLY HILLS
CLOVER
CLOVER
CLOVER
CLOVER
FERNANDINA BEACH
FERNANDINA BEACH
FERNANDINA BEACH
FERNANDINA BEACH
FERNANDINA BEACH
FERNANDINA BEACH
HILTON HEAD ISLAND
HILTON HEAD ISLAND
HILTON HEAD ISLAND
HILTON HEAD ISLAND
DENVER
DENVER
DENVER
YORK
YORK
YORK
LAMAR
LAMAR
LAMAR
LAMAR
WEST CONSHOHOCKEN
WEST CONSHOHOCKEN
FITZGERALD
FITZGERALD
FITZGERALD
FITZGERALD
FITZGERALD
TACOMA
TACOMA
TACOMA
BUENA VISTA
BUENA VISTA
DALLAS
DALLAS
DALLAS
NEWPORT BEACH
NEWPORT BEACH
NEWPORT BEACH
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOS ANGELES
LOS ANGELES
LOS ANGELES
ROSEVILLE
ROSEVILLE
GOFF
GOFF
BRANDON
BRANDON
KINGMAN
KINGMAN
OAKLAND
OAKLAND
NEW ALBANY
NEW ALBANY
NEW ALBANY
GLEN ALLEN
GLEN ALLEN
GLEN ALLEN
GLEN ALLEN
GLEN ALLEN
NC
IL
IL
IL
IL
IL
IL
IL
NM
NM
NM
NM
AR
AR
IL
IL
IL
IL
NY
NY
NY
NY
NY
PA
PA
PA
CA
CA
MO
MO
MO
MO
GA
GA
LA
LA
LA
KY
KY
VA
VA
KY
KY
KY
KY
KY
MI
MI
MI
NC
NC
NC
NJ
NJ
CA
CA
CA
CA
SC
SC
SC
SC
FL
FL
FL
FL
FL
FL
SC
SC
SC
SC
CO
CO
CO
PA
PA
PA
CO
CO
CO
CO
PA
PA
GA
GA
GA
GA
GA
WA
WA
WA
CO
CO
TX
TX
TX
CA
CA
CA
KY
KY
KY
KY
KY
KY
CA
CA
CA
CA
CA
KS
KS
MS
MS
AZ
AZ
CA
CA
IN
IN
IN
VA
VA
VA
VA
VA
11/19/2013
9/25/2013
10/18/2013
10/29/2013
1/6/2014
2/10/2014
3/19/2014
10/15/2014
6/19/2009
12/19/2012
12/20/2012
1/11/2013
5/29/2009
4/1/2015
7/31/2009
3/14/2014
3/17/2014
4/25/2014
12/31/2008
12/10/2009
10/28/2008
12/10/2010
1/31/2011
1/16/2009
8/4/2010
9/1/2010
12/23/2008
9/23/2011
5/29/2009
2/7/2013
2/8/2013
3/26/2013
3/6/2009
8/13/2010
3/20/2009
6/29/2015
8/6/2015
2/6/2009
2/28/2017
12/23/2008
7/28/2011
12/19/2008
2/16/2011
2/13/2013
1/15/2014
4/15/2015
12/12/2008
4/12/2013
5/13/2015
12/12/2008
9/22/2011
11/9/2011
4/10/2009
8/7/2015
11/21/2008
12/30/2009
3/3/2010
4/7/2010
3/27/2009
11/28/2012
11/29/2012
1/11/2013
12/5/2008
3/8/2013
3/11/2013
4/9/2013
4/10/2013
6/12/2013
8/28/2009
3/8/2013
3/11/2013
4/9/2013
12/19/2008
9/8/2011
11/23/2011
1/9/2009
8/18/2011
9/28/2011
2/13/2009
7/19/2013
7/22/2013
9/12/2013
3/27/2009
10/26/2011
1/9/2009
2/7/2013
2/8/2013
3/26/2013
6/12/2013
11/21/2008
8/11/2010
9/1/2010
2/27/2009
9/22/2011
11/14/2008
3/17/2010
5/12/2010
1/9/2009
10/7/2009
10/1/2013
5/22/2009
8/7/2012
8/8/2012
8/9/2012
8/10/2012
9/11/2012
1/23/2009
7/17/2013
9/12/2013
1/16/2009
12/19/2012
3/6/2009
7/18/2012
9/11/2009
9/29/2010
7/24/2009
2/11/2015
1/16/2009
9/29/2010
5/29/2009
9/15/2011
10/19/2011
12/19/2008
7/24/2013
11/20/2013
4/23/2014
6/4/2014
$815,100.00
$8,211,450.00
$1,950,000.00
2,964
25,266
6,000
$275.00
$325.00
$325.00
($2,148,900.00)
($17,054,550.00)
($4,050,000.00)
1,402
$412.01
($824,361.98)
$2,000.00
508,320
40,000
9,960,000
$0.99
$0.99
($600.00)
($149,400.00)
$198,635.58
$297,953.37
200,000
300,000
$991,000.00
991,000
($2,340.00)
($60,660.00)
$347,193.00
350
$54,621,848.84
210,084,034
$400,000.00
194,794
($6,332,625.00)
($5,850,000.00)
$258,018.75
$387,028.12
500
750
$53,015.60
120
$150,000.00
150
($82,114.50)
($19,500.00)
$577,638.02
($5,776.38)
Subordinated Debentures w/ Exercised Warrants
$10,000,000.00
$0.00
$13,186,960.25 Sold, in full; warrants not outstanding
$39,400.00
$9,810,600.00
($98,500.00)
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$19,817,000.00
$0.00
$7,000,000.00
$0.00
$32,098,302.62 Redeemed, in full; warrants not outstanding
$19,817,000.00
19,817,000
$1.00
$257,660.00
$6,679,340.00
260
6,740
$991.00
$991.00
$8,981,348.81 Sold, in full; warrants not outstanding
($69,370.00)
Preferred Stock w/ Warrants
$2,330,000,000.00
$0.00
$43,687,500.00 Exited bankruptcy/Receivership
($2,330,000,000.00)
Preferred Stock w/ Warrants
$25,000,000,000.00
$0.00
$32,839,267,986.46 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$26,440,000.00
$0.00
$28,889,100.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,400,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$24,990,000.00
$0.00
Preferred Stock
$7,462,000.00
$0.00
$7,997,813.22 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,400,000.00
$0.00
$2,353,330.60 Sold, in full; warrants not outstanding
$25,000,000,000.00
7,692,307,692
$4.14
$26,440,000.00
26,440
$1,000.00
$6,852,354,470.95
$223,571.11 Currently Not Collectible
($10,400,000.00)
$13,952,381.45 Sold, in full; warrants not outstanding
$6,657,375.00
$6,150,000.00
12,990
12,000
$512.50
$512.50
7,462
$1,000.00
2,400
$650.13
($839,688.00)
$4,800,000.04
10,909,091
$0.44
($1,499,999.96)
$3,000,000.00
3,000
$1,000.00
$2,212,308.00
$3,300,904.00
$3,265,788.00
63
94
93
$35,116.00
$35,116.00
$35,116.00
$300,000,000.00
300,000
$1,000.00
($128,073.75)
$7,462,000.00
$1,560,312.00
($25,000.00)
Preferred Stock w/ Exercised Warrants
$6,300,000.00
$0.00
$4,980,258.54 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,000,000.00
$0.00
$3,574,645.84 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$8,779,000.00
$0.00
$12,236,725.89 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$300,000,000.00
$0.00
$381,395,557.08 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$20,500,000.00
$0.00
$23,572,379.22 Redeemed, in full; warrants not outstanding
$9,439,000.00
$0.00
Preferred Stock
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$400,000,000.00
$0.00
$3,000,000.00
$0.00
$20,500,000.00
20,500
$1,000.00
$2,226,750.00
9,439
$235.91
$200,000,000.00
$200,000,000.00
200,000
200,000
$1,000.00
$1,000.00
$955,825.50
$1,662,874.50
1,095
1,905
$872.90
$872.90
($139,174.50)
($242,125.50)
3,950
6,000
$955.10
$955.10
($177,355.00)
($269,400.00)
500
15,515
$795.10
$795.10
($102,450.00)
($3,179,023.50)
$64,450,000.00
64,450
$1,000.00
$16,500,000.00
16,500
$1,000.00
$1,705,802.78
254,218
$12,150,120.44
2,571,998
$225,157.00
450,314
$18,500,000.00
1,128,668
$114,021.50
150
$2,508,609.00 Sold, in full; warrants not outstanding
($7,212,250.00)
$442,416,666.67 Redeemed, in full; warrants not outstanding
$3,318,585.05 Sold, in full; warrants not outstanding
($25,000.00)
Preferred Stock w/ Warrants
$9,950,000.00
$0.00
$11,166,897.79 Sold, in full; warrants not outstanding
$3,772,645.00
$5,730,600.00
($95,032.45)
Preferred Stock w/ Exercised Warrants
$16,015,000.00
$0.00
$99,000.00
$225,647.45
60,000
145,579
$389,857.05
$25,990.47
450
30
$143,677.00
895,968
$526,604.00
263,859
$14,257,487.71 Sold, in full; warrants not outstanding
$397,550.00
$12,335,976.50
($127,335.27)
Preferred Stock w/ Warrants
$64,450,000.00
$0.00
$73,357,086.72 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$16,500,000.00
$0.00
$19,178,479.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$10,670,784.03 Sold, in full; warrants not outstanding
$46,995.00
$8,990,505.00
52
9,948
$903.75
$903.75
574
$1,000.00
27,661
339
$782.11
$782.11
76,898
$1,000.00
($5,005.00)
($957,495.00)
$494,381.25
50
$29,000.00
29
($90,375.00)
Preferred Stock w/ Exercised Warrants
$574,000.00
$0.00
$668,142.53 Redeemed, in full; warrants not outstanding
$574,000.00
Preferred Stock w/ Warrants
$28,000,000.00
$0.00
$26,480,089.20 Sold, in full; warrants not outstanding
$21,633,944.71
$265,135.29
($6,027,055.29)
($73,864.71)
($218,990.80)
Preferred Stock w/ Warrants
$76,898,000.00
$0.00
$76,898,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Subordinated Debentures w/ Exercised Warrants
$2,260,000.00
$0.00
$2,689,478.64 Redeemed, in full; warrants not outstanding
$2,250,000,000.00
$0.00
$2,582,039,543.40 Redeemed, in full; warrants not outstanding
$5,000,000.00
$0.00
$20,400,000.00
$0.00
$810,000.00
500,000
$3,301,647.00
398,023
$86,821,419.22 Redeemed, in full; warrants not outstanding
$2,260,000.00
2,260
$1,000.00
$2,250,000,000.00
2,250,000
$1,000.00
$113,000.00
113
$181,102,043.40
11,479,592
$566,858.50
87,209
$792,990.00
$105,732.00
900,000
120,000
$5,602,969.61 Redeemed, in full; warrants not outstanding
$5,000,000.00
5,000
$1,000.00
$130,500.00
$1,469,250.00
$13,100,250.00
$600,000.00
174,000
1,959,000
17,467,000
800,000
$0.75
$0.75
$0.75
$0.75
($43,500.00)
($489,750.00)
($4,366,750.00)
($200,000.00)
7,701
$951.00
($377,349.00)
2,550
$1,000.00
$21,575,016.54 Sold, in full; warrants not outstanding
($153,000.00)
Preferred Stock w/ Exercised Warrants
$7,701,000.00
$0.00
$8,451,110.79 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,550,000.00
$0.00
$2,899,659.67 Redeemed, in full; warrants not outstanding
$7,323,651.00
$362,427.91
385
$128,000.00
128
($73,236.51)
$2,550,000.00
Preferred Stock w/ Exercised Warrants
$500,000.00
$0.00
$616,741.75 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$52,000,000.00
$0.00
$57,575,699.54 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,872,000.00
$0.00
$5,197,157.57 Redeemed, in full; warrants not outstanding
Preferred Stock
$1,747,000.00
$0.00
$1,823,188.61 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$19,468,000.00
$0.00
$22,802,281.62 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$17,680,000.00
$0.00
$23,135,879.12 Redeemed, in full; warrants not outstanding
$500,000.00
500
$1,000.00
$25,000.00
25
$52,000,000.00
52,000
$1,000.00
$2,600,000.00
2,600
$3,872,000.00
3,872
$1,000.00
$116,000.00
116
$1,747,000.00
1,747
$1,000.00
$19,468,000.00
19,468
$1,000.00
$1,100,869.50
386,270
$4,500,000.00
$2,500,000.00
$10,680,000.00
4,500
2,500
10,680
$1,000.00
$1,000.00
$1,000.00
$780,000.00
780,000
17
UST0379
UST0681
UST0681
UST0681
UST0194
UST0194
UST0194
UST0970
UST0970
UST1051
UST1051
UST1051
UST1051
UST0593
UST0593
UST0330
UST0330
UST0330
UST0330
UST0667
UST0667
UST0667
UST0667
UST0284
UST0284
UST0284
UST0284
UST0284
UST0392
UST0392
UST0392
UST1274
UST1274
UST1274
UST0322
UST0322
UST0082
UST0082
UST0082
UST0082
UST0082
UST0706
UST0706
UST0706
UST0384
UST0384
UST0384
UST0384
UST0504
UST0504
UST0504
UST0504
UST0467
UST0467
UST0467
UST0467
UST0663
UST0663
UST0673
UST0673
UST0673
UST0201
UST0201
UST0201
UST0456
UST0456
UST0456
UST0456
UST0657
UST0657
UST0657
UST0106
UST0106
UST0106
UST0106
UST0682
UST0682
UST1104
UST1104
UST1070
UST1070
UST1070
UST1070
UST0466
UST0466
UST0466
UST0466
UST0466
UST1098
UST1098
UST1098
UST1098
UST1098
UST0441
UST0441
UST0441
UST0441
UST0587
UST0587
UST0587
UST0548
UST0548
UST0548
UST1166
UST1166
UST1166
UST1166
UST0084
UST0084
UST0084
UST0084
UST0093
UST0093
UST0093
UST0250
UST0250
UST0250
UST0250
UST0250
UST0349
UST0349
UST0349
UST0173
UST0173
UST0173
UST0079
UST0079
8,14
81
8,14,76
8
8,14,44
8
8,67
8,14
44
15,17
8,14,44
53,110
8,14
8,14
8,14
8
8
58
8,14
8
11,16
8,14,44
14,15,44
8,14
8,18
14,15
8,14
11
44
15
12,44
11,16
89
44
45
AB&T FINANCIAL CORPORATION
COMMUNITY BUSINESS BANK
COMMUNITY BUSINESS BANK
COMMUNITY BUSINESS BANK
COMMUNITY FINANCIAL CORPORATION / CITY HOLDING COMPANY
COMMUNITY FINANCIAL CORPORATION / CITY HOLDING COMPANY
COMMUNITY FINANCIAL CORPORATION / CITY HOLDING COMPANY
COMMUNITY FINANCIAL SHARES, INC.
COMMUNITY FINANCIAL SHARES, INC.
COMMUNITY FIRST BANCSHARES, INC. (AR)
COMMUNITY FIRST BANCSHARES, INC. (AR)
COMMUNITY FIRST BANCSHARES, INC. (AR)
COMMUNITY FIRST BANCSHARES, INC. (AR)
COMMUNITY FIRST BANCSHARES, INC. (TN)
COMMUNITY FIRST BANCSHARES, INC. (TN)
COMMUNITY FIRST, INC.
COMMUNITY FIRST, INC.
COMMUNITY FIRST, INC.
COMMUNITY FIRST, INC.
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC.
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC.
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC.
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC.
COMMUNITY INVESTORS BANCORP, INC.
COMMUNITY INVESTORS BANCORP, INC.
COMMUNITY INVESTORS BANCORP, INC.
COMMUNITY INVESTORS BANCORP, INC.
COMMUNITY INVESTORS BANCORP, INC.
COMMUNITY PARTNERS BANCORP
COMMUNITY PARTNERS BANCORP
COMMUNITY PARTNERS BANCORP
COMMUNITY PRIDE BANK CORPORATION
COMMUNITY PRIDE BANK CORPORATION
COMMUNITY PRIDE BANK CORPORATION
COMMUNITY TRUST FINANCIAL CORPORATION
COMMUNITY TRUST FINANCIAL CORPORATION
COMMUNITY WEST BANCSHARES
COMMUNITY WEST BANCSHARES
COMMUNITY WEST BANCSHARES
COMMUNITY WEST BANCSHARES
COMMUNITY WEST BANCSHARES
COMMUNITYONE BANCORP / FNB UNITED CORP.
COMMUNITYONE BANCORP / FNB UNITED CORP.
COMMUNITYONE BANCORP / FNB UNITED CORP.
CONGAREE BANCSHARES, INC.
CONGAREE BANCSHARES, INC.
CONGAREE BANCSHARES, INC.
CONGAREE BANCSHARES, INC.
CORNING SAVINGS AND LOAN ASSOCIATION
CORNING SAVINGS AND LOAN ASSOCIATION
CORNING SAVINGS AND LOAN ASSOCIATION
CORNING SAVINGS AND LOAN ASSOCIATION
COUNTRY BANK SHARES, INC.
COUNTRY BANK SHARES, INC.
COUNTRY BANK SHARES, INC.
COUNTRY BANK SHARES, INC.
COVENANT FINANCIAL CORPORATION
COVENANT FINANCIAL CORPORATION
CRAZY WOMAN CREEK BANCORP INCORPORATED
CRAZY WOMAN CREEK BANCORP INCORPORATED
CRAZY WOMAN CREEK BANCORP INCORPORATED
CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancshares, Inc.
CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancshares, Inc.
CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancshares, Inc.
CROSSTOWN HOLDING COMPANY
CROSSTOWN HOLDING COMPANY
CROSSTOWN HOLDING COMPANY
CROSSTOWN HOLDING COMPANY
CSRA BANK CORP.
CSRA BANK CORP.
CSRA BANK CORP.
CVB FINANCIAL CORP.
CVB FINANCIAL CORP.
CVB FINANCIAL CORP.
CVB FINANCIAL CORP.
D.L. EVANS BANCORP
D.L. EVANS BANCORP
DEERFIELD FINANCIAL CORPORATION
DEERFIELD FINANCIAL CORPORATION
DELMAR BANCORP
DELMAR BANCORP
DELMAR BANCORP
DELMAR BANCORP
DESOTO COUNTY BANK
DESOTO COUNTY BANK
DESOTO COUNTY BANK
DESOTO COUNTY BANK
DESOTO COUNTY BANK
DIAMOND BANCORP, INC.
DIAMOND BANCORP, INC.
DIAMOND BANCORP, INC.
DIAMOND BANCORP, INC.
DIAMOND BANCORP, INC.
DICKINSON FINANCIAL CORPORATION II
DICKINSON FINANCIAL CORPORATION II
DICKINSON FINANCIAL CORPORATION II
DICKINSON FINANCIAL CORPORATION II
DISCOVER FINANCIAL SERVICES
DISCOVER FINANCIAL SERVICES
DISCOVER FINANCIAL SERVICES
DNB FINANCIAL CORPORATION
DNB FINANCIAL CORPORATION
DNB FINANCIAL CORPORATION
DUKE FINANCIAL GROUP, INC.
DUKE FINANCIAL GROUP, INC.
DUKE FINANCIAL GROUP, INC.
DUKE FINANCIAL GROUP, INC.
EAGLE BANCORP, INC.
EAGLE BANCORP, INC.
EAGLE BANCORP, INC.
EAGLE BANCORP, INC.
EAST WEST BANCORP, INC.
EAST WEST BANCORP, INC.
EAST WEST BANCORP, INC.
EASTERN VIRGINIA BANKSHARES, INC.
EASTERN VIRGINIA BANKSHARES, INC.
EASTERN VIRGINIA BANKSHARES, INC.
EASTERN VIRGINIA BANKSHARES, INC.
EASTERN VIRGINIA BANKSHARES, INC.
ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancshares, Inc.
ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancshares, Inc.
ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancshares, Inc.
EMCLAIRE FINANCIAL CORP.
EMCLAIRE FINANCIAL CORP.
EMCLAIRE FINANCIAL CORP.
ENCORE BANCSHARES INC.
ENCORE BANCSHARES INC.
GASTONIA
WEST SACRAMENTO
WEST SACRAMENTO
WEST SACRAMENTO
STAUNTON
STAUNTON
STAUNTON
GLEN ELLYN
GLEN ELLYN
HARRISON
HARRISON
HARRISON
HARRISON
UNION CITY
UNION CITY
COLUMBIA
COLUMBIA
COLUMBIA
COLUMBIA
BRANDON
BRANDON
BRANDON
BRANDON
BUCYRUS
BUCYRUS
BUCYRUS
BUCYRUS
BUCYRUS
MIDDLETOWN
MIDDLETOWN
MIDDLETOWN
HAM LAKE
HAM LAKE
HAM LAKE
RUSTON
RUSTON
GOLETA
GOLETA
GOLETA
GOLETA
GOLETA
ASHEBORO
ASHEBORO
ASHEBORO
CAYCE
CAYCE
CAYCE
CAYCE
CORNING
CORNING
CORNING
CORNING
MILFORD
MILFORD
MILFORD
MILFORD
CLARKSDALE
CLARKSDALE
BUFFALO
BUFFALO
BUFFALO
RALEIGH
RALEIGH
RALEIGH
BLAINE
BLAINE
BLAINE
BLAINE
WRENS
WRENS
WRENS
ONTARIO
ONTARIO
ONTARIO
ONTARIO
BURLEY
BURLEY
DEERFIELD
DEERFIELD
DELMAR
DELMAR
DELMAR
DELMAR
HORN LAKE
HORN LAKE
HORN LAKE
HORN LAKE
HORN LAKE
WASHINGTON
WASHINGTON
WASHINGTON
WASHINGTON
WASHINGTON
KANSAS CITY
KANSAS CITY
KANSAS CITY
KANSAS CITY
RIVERWOODS
RIVERWOODS
RIVERWOODS
DOWNINGTOWN
DOWNINGTOWN
DOWNINGTOWN
MINNEAPOLIS
MINNEAPOLIS
MINNEAPOLIS
MINNEAPOLIS
BETHESDA
BETHESDA
BETHESDA
BETHESDA
PASADENA
PASADENA
PASADENA
TAPPAHANNOCK
TAPPAHANNOCK
TAPPAHANNOCK
TAPPAHANNOCK
TAPPAHANNOCK
ENGELHARD
ENGELHARD
ENGELHARD
EMLENTON
EMLENTON
EMLENTON
HOUSTON
HOUSTON
NC
CA
CA
CA
VA
VA
VA
IL
IL
AR
AR
AR
AR
TN
TN
TN
TN
TN
TN
MS
MS
MS
MS
OH
OH
OH
OH
OH
NJ
NJ
NJ
MN
MN
MN
LA
LA
CA
CA
CA
CA
CA
NC
NC
NC
SC
SC
SC
SC
AR
AR
AR
AR
NE
NE
NE
NE
MS
MS
WY
WY
WY
NC
NC
NC
MN
MN
MN
MN
GA
GA
GA
CA
CA
CA
CA
ID
ID
WI
WI
MD
MD
MD
MD
MS
MS
MS
MS
MS
MO
MO
MO
MO
MO
MO
MO
MO
MO
IL
IL
IL
PA
PA
PA
MN
MN
MN
MN
MD
MD
MD
MD
CA
CA
CA
VA
VA
VA
VA
VA
NC
NC
NC
PA
PA
PA
TX
TX
11/19/2013
2/27/2009
11/30/2012
1/11/2013
12/19/2008
1/9/2013
5/28/2015
5/15/2009
12/21/2012
4/3/2009
2/7/2014
2/10/2014
3/19/2014
3/20/2009
8/18/2011
2/27/2009
4/11/2014
4/14/2014
7/18/2014
2/6/2009
11/30/2012
1/11/2013
3/26/2013
12/23/2008
12/19/2012
12/20/2012
1/11/2013
3/26/2013
1/30/2009
8/11/2011
10/26/2011
11/13/2009
8/12/2013
9/12/2013
1/9/2009
7/6/2011
12/19/2008
12/10/2012
12/11/2012
1/11/2013
6/12/2013
2/13/2009
5/23/2014
5/27/2015
1/9/2009
10/29/2012
10/31/2012
1/11/2013
2/13/2009
11/30/2012
1/11/2013
3/26/2013
1/30/2009
11/28/2012
11/29/2012
1/11/2013
6/5/2009
4/30/2014
2/20/2009
1/8/2014
11/19/2014
1/9/2009
2/19/2014
6/11/2014
1/23/2009
7/19/2013
7/22/2013
9/12/2013
3/27/2009
6/29/2015
8/6/2015
12/5/2008
8/26/2009
9/2/2009
10/28/2009
2/27/2009
9/27/2011
5/15/2009
9/8/2011
12/4/2009
2/7/2013
2/8/2013
3/26/2013
2/13/2009
12/29/2009
9/24/2013
9/25/2013
10/29/2013
5/22/2009
8/8/2012
8/9/2012
8/10/2012
9/11/2012
1/16/2009
2/7/2013
2/8/2013
3/26/2013
3/13/2009
4/21/2010
7/7/2010
1/30/2009
8/4/2011
9/21/2011
6/19/2009
11/27/2013
3/5/2014
4/2/2014
12/5/2008
12/23/2009
7/14/2011
11/23/2011
12/5/2008
12/29/2010
1/26/2011
1/9/2009
10/18/2013
10/21/2013
1/6/2014
5/13/2015
1/16/2009
2/19/2014
6/11/2014
12/23/2008
8/18/2011
12/7/2011
12/5/2008
9/27/2011
$815,100.00
Preferred Stock w/ Exercised Warrants
$3,976,000.00
$0.00
2,964
$275.00
($2,148,900.00)
3,976
$935.00
($258,440.00)
$167,035.00
199
$12,643,000.00
12,643
$1,000.00
$873,485.00
61,796
$3,136,500.00
6,970
$450.00
($3,833,500.00)
$157,050.00
349
$3,705,037.50
$8,867,389.75
3,750
8,975
$988.01
$988.01
($44,962.50)
($107,610.25)
$85,157.88
$544,614.34
86
550
$20,000,000.00
20,000
$1,000.00
$1,000,000.00
1,000
$1,322,500.50
$4,028,202.50
4,401
13,405
$300.50
$300.50
($3,078,499.50)
($9,376,797.50)
$72,314.55
$387,399.37
140
750
105
$9,550.00
($47,250.00)
$25,000.00
5
1,003
1,597
$950.00
$950.00
($50,150.00)
($79,850.00)
$105,000.00
130
$9,000,000.00
9,000
$1,000.00
$460,000.00
311,972
$4,400,000.00
4,400,000
$1.11
$177,716.96
132,000
$24,000,000.00
24,000
$1,000.00
$1,200,000.00
1,200
$2,172,000.00
$9,122,400.00
3,000
12,600
$724.00
$724.00
($828,000.00)
($3,477,600.00)
$698,351.00
521,158
1,085,554
$9.35
($41,350,070.10)
$10,356.69
22,071
$4,674,050.16 Sold, in full; warrants not outstanding
$3,717,560.00
($25,000.00)
Preferred Stock w/ Warrants
$12,643,000.00
$0.00
$16,080,204.94 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,970,000.00
$0.00
$4,240,743.82 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,725,000.00
$0.00
$16,441,884.63 Sold, in full; warrants not outstanding
($125,724.27)
Preferred Stock w/ Exercised Warrants
$20,000,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$17,806,000.00
$0.00
$23,628,111.33 Redeemed, in full; warrants not outstanding
$7,665,362.89 Sold, in full; warrants not outstanding
($53,507.03)
Preferred Stock w/ Exercised Warrants
$1,050,000.00
$0.00
$1,220,300.65 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,600,000.00
$0.00
$3,115,616.28 Sold, in full; warrants not outstanding
$1,002,750.00
($10,027.50)
($14,972.50)
$952,850.00
$1,517,150.00
($24,700.00)
($300.00)
Preferred Stock w/ Warrants
$9,000,000.00
$0.00
Subordinated Debentures w/ Exercised Warrants
$4,400,000.00
$0.00
$10,598,750.00 Redeemed, in full; warrants not outstanding
$5,462,045.14 Sold, in full; warrants not outstanding
$484,924.00
($48,849.24)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$24,000,000.00
$15,600,000.00
$0.00
$0.00
$28,459,100.00 Redeemed, in full; warrants not outstanding
$14,341,140.33 Sold, in full; warrants not outstanding
($112,944.00)
Preferred Stock w/ Warrants
$51,500,000.00
$0.00
$12,749,591.59 Sold, in full; warrants not outstanding
$10,149,929.90
Preferred Stock w/ Exercised Warrants
$3,285,000.00
$0.00
$3,483,629.20 Sold, in full; warrants not outstanding
$23,932.54
$2,687,046.56
29
3,256
$825.26
$825.26
($5,067.46)
($568,953.44)
$106,364.00
164
638
$860.00
($89,320.00)
$3,960.00
32
777
6,748
$917.90
$917.90
($63,791.70)
($554,010.80)
$372,240.00
376
$5,000,000.00
5,000
$1,000.00
$250,000.00
250
$1,000,000.00
$2,100,000.00
1,000
2,100
$1,000.00
$1,000.00
$155,000.00
155
$24,900,000.00
24,900
$1,000.00
$1,681,000.00
833,705
$343,794.50
$10,117,381.00
350
10,300
$982.27
$982.27
2,400
$1,213.75
$97,500,000.00
$32,500,000.00
97,500
32,500
$1,000.00
$1,000.00
$19,891,000.00
19,891
$1,000.00
$995,000.00
995
$2,639,000.00
2,639,000
$1.00
$132,000.00
132,000
8,648
352
$612.11
$612.11
($3,354,472.72)
($136,537.28)
$311,943.55
450
366
2,315
$823.58
$818.78
($64,571.42)
($419,532.41)
$40,563.34
59
6,000,000
13,965,000
480,000
$0.73
$0.73
$0.73
($1,618,500.00)
($3,767,058.75)
($129,480.00)
$688,041.09
$91,535.40
902,000
120,000
14,523
131,530
$552.61
$552.61
($6,497,444.97)
($58,845,206.70)
$3,372.19
$4,922,044.87
5
7,298
$1,224,558,000.00
1,224,558
$1,000.00
$172,000,000.00
20,500,413
$11,750,000.00
11,750
$1,000.00
$458,000.00
186,311
$600,000.00
600,000
($25,000.00)
Preferred Stock w/ Exercised Warrants
$638,000.00
$0.00
$659,705.04 Sold, in full; warrants not outstanding
$548,680.00
($5,486.80)
($19,513.20)
Preferred Stock w/ Exercised Warrants
$7,525,000.00
$0.00
$8,781,205.02 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,000,000.00
$0.00
$6,594,635.27 Redeemed, in full; warrants not outstanding
$713,208.30
$6,193,989.20
($69,071.98)
Preferred Stock w/ Exercised Warrants
$3,100,000.00
$0.00
$4,225,732.08 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$24,900,000.00
$0.00
$33,014,741.20 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,650,000.00
$0.00
$13,498,324.83 Sold, in full; warrants not outstanding
($6,205.50)
($182,619.00)
$531,210.67
533
$141,815.60
120
$1,307,000.00
834,761
($104,611.76)
Preferred Stock w/ Exercised Warrants
$2,400,000.00
$0.00
$3,210,755.60 Sold, in full; warrants not outstanding
$2,400,000.00
$513,000.00
($25,000.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$130,000,000.00
$0.00
$136,046,583.33 Redeemed, in full; warrants not outstanding
$19,891,000.00
$0.00
$23,686,592.33 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$2,639,000.00
$0.00
$3,283,338.96 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$9,000,000.00
$0.00
$6,598,331.15 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,173,000.00
$1,508,000.00
$0.00
$2,781,331.97 Sold, in full; warrants not outstanding
$20,445,000.00
$0.00
$21,101,618.19 Sold, in full; warrants not outstanding
$5,293,527.28
$215,462.72
($55,089.90)
$301,428.58
$1,895,467.59
($33,333.34)
Subordinated Debentures w/ Exercised Warrants
$4,381,500.00
$10,197,941.25
$350,520.00
($149,299.61)
Preferred Stock w/ Exercised Warrants
$146,053,000.00
$0.00
$87,459,858.69 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$1,224,558,000.00
$0.00
$1,464,248,844.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$11,750,000.00
$0.00
$13,683,277.61 Redeemed, in full; warrants not outstanding
$8,025,555.03
$72,684,793.30
($807,103.48)
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$12,000,000.00
$38,235,000.00
$306,546,000.00
$24,000,000.00
$0.00
$0.00
$0.00
$0.00
$17,424,285.82 Redeemed, in full; warrants not outstanding
$5,000,000.00
$2,000,000.00
$5,000,000.00
5,000,000
2,000,000
5,000,000
$1.00
$1.00
$1.00
$15,000,000.00
$23,235,000.00
15,000
23,235
$1,000.00
$1,000.00
$306,546,000.00
306,546
$1,000.00
$44,847,153.76 Redeemed, in full; warrants not outstanding
$2,794,422.00
385,434
$14,500,000.00
1,517,555
$115,000.00
384,041
$871,000.00
514,693
$51,113.00
50,111
$352,722,420.00 Redeemed, in full; warrants not outstanding
$28,568,653.60 Sold, in full; warrants not outstanding
$3,900,000.00
$20,100,000.00
3,900
20,100
$1,104.11
$1,104.11
17,949
$1,000.00
$406,029.00
$2,092,611.00
($264,986.40)
Preferred Stock w/ Warrants
$17,949,000.00
$0.00
$23,397,494.08 Redeemed, in full; warrants not outstanding
$17,949,000.00
Preferred Stock w/ Warrants
$7,500,000.00
$0.00
$8,545,904.67 Redeemed, in full; warrants not outstanding
$7,500,000.00
Preferred Stock w/ Warrants
$34,000,000.00
$0.00
7,500
$1,000.00
$39,415,959.89 Redeemed, in full; warrants not outstanding
$34,000,000.00
34,000
$1,000.00
18
UST0379
UST0079
UST0135
UST0135
UST0135
UST1252
UST1252
UST0549
UST0549
UST0177
UST0177
UST0177
UST0177
UST0177
UST0177
UST0177
UST0650
UST0650
UST0650
UST0650
UST0650
UST0650
UST0627
UST0627
UST0627
UST0627
UST0627
UST1038
UST1038
UST1038
UST1038
UST0778
UST0778
UST0778
UST0778
UST0778
UST0306
UST0306
UST0306
UST0557
UST0557
UST0997
UST0997
UST0997
UST0406
UST0406
UST0406
UST0085
UST0085
UST0085
UST1237
UST1237
UST1237
UST1237
UST1237
UST0998
UST0998
UST1315
UST1315
UST1180
UST1180
UST1180
UST0363
UST0363
UST0008
UST0008
UST0008
UST0008
UST1031
UST1031
UST0261
UST0261
UST0261
UST0826
UST0826
UST0826
UST0826
UST0275
UST0275
UST0275
UST0275
UST0275
UST0275
UST0275
UST0275
UST0275
UST0178
UST0178
UST0178
UST0040
UST0040
UST0040
UST0234
UST0234
UST0234
UST0234
UST0518
UST0518
UST1206
UST1206
UST0913
UST0913
UST0913
UST0913
UST0913
UST1209
UST1209
UST1209
UST1209
UST1302
UST1302
UST1302
UST0596
UST0596
UST0341
UST0341
UST0341
UST0368
UST0368
UST0368
UST0368
UST0368
UST0368
UST0368
UST0368
UST0794
UST0794
11
8,14,44
8,44,73
8,14
8,14,18
8,14
14,15
8,14
11
8,120
8,14
8,11
14,15
8,14,45
15,17
8,14
8,14,45
8,14
11,15,44
77
8,17
8,14
11
11
8,14,45
15,17,44
8,14
8,14
11,14,15
9,11,36
45
34,118,121,140,147
8,11,14
AB&T FINANCIAL CORPORATION
ENCORE BANCSHARES INC.
ENTERPRISE FINANCIAL SERVICES CORP.
ENTERPRISE FINANCIAL SERVICES CORP.
ENTERPRISE FINANCIAL SERVICES CORP.
ENTERPRISE FINANCIAL SERVICES GROUP, INC.
ENTERPRISE FINANCIAL SERVICES GROUP, INC.
EQUITY BANCSHARES, INC.
EQUITY BANCSHARES, INC.
EXCHANGE BANK
EXCHANGE BANK
EXCHANGE BANK
EXCHANGE BANK
EXCHANGE BANK
EXCHANGE BANK
EXCHANGE BANK
F & M BANCSHARES, INC.
F & M BANCSHARES, INC.
F & M BANCSHARES, INC.
F & M BANCSHARES, INC.
F & M BANCSHARES, INC.
F & M BANCSHARES, INC.
F & M FINANCIAL CORPORATION (NC)
F & M FINANCIAL CORPORATION (NC)
F & M FINANCIAL CORPORATION (NC)
F & M FINANCIAL CORPORATION (NC)
F & M FINANCIAL CORPORATION (NC)
F&C BANCORP. INC.
F&C BANCORP. INC.
F&C BANCORP. INC.
F&C BANCORP. INC.
F&M FINANCIAL CORPORATION (TN)
F&M FINANCIAL CORPORATION (TN)
F&M FINANCIAL CORPORATION (TN)
F&M FINANCIAL CORPORATION (TN)
F&M FINANCIAL CORPORATION (TN)
F.N.B. CORPORATION
F.N.B. CORPORATION
F.N.B. CORPORATION
FARMERS & MERCHANTS BANCSHARES, INC. / ALLEGIANCE BANCSHARES, INC.
FARMERS & MERCHANTS BANCSHARES, INC. / ALLEGIANCE BANCSHARES, INC.
FARMERS & MERCHANTS FINANCIAL CORPORATION
FARMERS & MERCHANTS FINANCIAL CORPORATION
FARMERS & MERCHANTS FINANCIAL CORPORATION
FARMERS BANK, WINDSOR, VIRGINIA
FARMERS BANK, WINDSOR, VIRGINIA
FARMERS BANK, WINDSOR, VIRGINIA
FARMERS CAPITAL BANK CORPORATION
FARMERS CAPITAL BANK CORPORATION
FARMERS CAPITAL BANK CORPORATION
FARMERS ENTERPRISES, INC.
FARMERS ENTERPRISES, INC.
FARMERS ENTERPRISES, INC.
FARMERS ENTERPRISES, INC.
FARMERS ENTERPRISES, INC.
FARMERS STATE BANKSHARES, INC.
FARMERS STATE BANKSHARES, INC.
FBHC HOLDING COMPANY
FBHC HOLDING COMPANY
FC HOLDINGS, INC.
FC HOLDINGS, INC.
FC HOLDINGS, INC.
FCB BANCORP, INC.
FCB BANCORP, INC.
FFW CORPORATION
FFW CORPORATION
FFW CORPORATION
FFW CORPORATION
FIDELITY BANCORP, INC. (LA)
FIDELITY BANCORP, INC. (LA)
FIDELITY BANCORP, INC. (PA) / WESBANCO, INC.
FIDELITY BANCORP, INC. (PA) / WESBANCO, INC.
FIDELITY BANCORP, INC. (PA) / WESBANCO, INC.
FIDELITY FEDERAL BANCORP
FIDELITY FEDERAL BANCORP
FIDELITY FEDERAL BANCORP
FIDELITY FEDERAL BANCORP
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY SOUTHERN CORPORATION
FIDELITY SOUTHERN CORPORATION
FIDELITY SOUTHERN CORPORATION
FIFTH THIRD BANCORP
FIFTH THIRD BANCORP
FIFTH THIRD BANCORP
FINANCIAL INSTITUTIONS, INC.
FINANCIAL INSTITUTIONS, INC.
FINANCIAL INSTITUTIONS, INC.
FINANCIAL INSTITUTIONS, INC.
FINANCIAL SECURITY CORPORATION
FINANCIAL SECURITY CORPORATION
FINANCIAL SERVICES OF WINGER, INC.
FINANCIAL SERVICES OF WINGER, INC.
FIRST ADVANTAGE BANCSHARES, INC.
FIRST ADVANTAGE BANCSHARES, INC.
FIRST ADVANTAGE BANCSHARES, INC.
FIRST ADVANTAGE BANCSHARES, INC.
FIRST ADVANTAGE BANCSHARES, INC.
FIRST ALLIANCE BANCSHARES, INC.
FIRST ALLIANCE BANCSHARES, INC.
FIRST ALLIANCE BANCSHARES, INC.
FIRST ALLIANCE BANCSHARES, INC.
FIRST AMERICAN BANK CORPORATION
FIRST AMERICAN BANK CORPORATION
FIRST AMERICAN BANK CORPORATION
FIRST AMERICAN INTERNATIONAL CORP.
FIRST AMERICAN INTERNATIONAL CORP.
FIRST BANCORP (NC)
FIRST BANCORP (NC)
FIRST BANCORP (NC)
FIRST BANCORP (PR)
FIRST BANCORP (PR)
FIRST BANCORP (PR)
FIRST BANCORP (PR)
FIRST BANCORP (PR)
FIRST BANCORP (PR)
FIRST BANCORP (PR)
FIRST BANCORP (PR)
FIRST BANCTRUST CORPORATION
FIRST BANCTRUST CORPORATION
GASTONIA
HOUSTON
ST. LOUIS
ST. LOUIS
ST. LOUIS
ALLISON PARK
ALLISON PARK
WICHITA
WICHITA
SANTA ROSA
SANTA ROSA
SANTA ROSA
SANTA ROSA
SANTA ROSA
SANTA ROSA
SANTA ROSA
TREZEVANT
TREZEVANT
TREZEVANT
TREZEVANT
TREZEVANT
TREZEVANT
SALISBURY
SALISBURY
SALISBURY
SALISBURY
SALISBURY
HOLDEN
HOLDEN
HOLDEN
HOLDEN
CLARKSVILLE
CLARKSVILLE
CLARKSVILLE
CLARKSVILLE
CLARKSVILLE
HERMITAGE
HERMITAGE
HERMITAGE
HOUSTON
HOUSTON
ARGONIA
ARGONIA
ARGONIA
WINDSOR
WINDSOR
WINDSOR
FRANKFORT
FRANKFORT
FRANKFORT
GREAT BEND
GREAT BEND
GREAT BEND
GREAT BEND
GREAT BEND
HOLTON
HOLTON
BOULDER
BOULDER
HOUSTON
HOUSTON
HOUSTON
LOUISVILLE
LOUISVILLE
WABASH
WABASH
WABASH
WABASH
BATON ROUGE
BATON ROUGE
PITTSBURGH
PITTSBURGH
PITTSBURGH
EVANSVILLE
EVANSVILLE
EVANSVILLE
EVANSVILLE
WICHITA
WICHITA
WICHITA
WICHITA
WICHITA
WICHITA
WICHITA
WICHITA
WICHITA
ATLANTA
ATLANTA
ATLANTA
CINCINNATI
CINCINNATI
CINCINNATI
WARSAW
WARSAW
WARSAW
WARSAW
BASIN
BASIN
WINGER
WINGER
COON RAPIDS
COON RAPIDS
COON RAPIDS
COON RAPIDS
COON RAPIDS
CORDOVA
CORDOVA
CORDOVA
CORDOVA
ELK GROVE VILLAGE
ELK GROVE VILLAGE
ELK GROVE VILLAGE
BROOKLYN
BROOKLYN
TROY
TROY
TROY
SAN JUAN
SAN JUAN
SAN JUAN
SAN JUAN
SAN JUAN
SAN JUAN
SAN JUAN
SAN JUAN
PARIS
PARIS
NC
TX
MO
MO
MO
PA
PA
KS
KS
CA
CA
CA
CA
CA
CA
CA
TN
TN
TN
TN
TN
TN
NC
NC
NC
NC
NC
MO
MO
MO
MO
TN
TN
TN
TN
TN
PA
PA
PA
TX
TX
KS
KS
KS
VA
VA
VA
KY
KY
KY
KS
KS
KS
KS
KS
KS
KS
CO
CO
TX
TX
TX
KY
KY
IN
IN
IN
IN
LA
LA
PA
PA
PA
IN
IN
IN
IN
KS
KS
KS
KS
KS
KS
KS
KS
KS
GA
GA
GA
OH
OH
OH
NY
NY
NY
NY
WY
WY
MN
MN
MN
MN
MN
MN
MN
TN
TN
TN
TN
IL
IL
IL
NY
NY
NC
NC
NC
PR
PR
PR
PR
PR
PR
PR
PR
IL
IL
11/19/2013
11/23/2011
12/19/2008
11/7/2012
1/9/2013
6/12/2009
8/25/2011
1/30/2009
8/11/2011
12/19/2008
8/3/2012
8/8/2012
8/9/2012
8/10/2012
8/13/2012
9/11/2012
1/30/2009
11/6/2009
2/6/2013
2/7/2013
2/8/2013
3/26/2013
2/6/2009
9/18/2012
9/19/2012
9/20/2012
11/16/2012
5/22/2009
11/8/2012
11/13/2012
1/11/2013
2/13/2009
9/19/2012
9/20/2012
9/21/2012
11/16/2012
1/9/2009
9/9/2009
11/23/2011
3/6/2009
7/15/2015
3/20/2009
6/24/2013
7/26/2013
1/23/2009
1/9/2013
12/31/2013
1/9/2009
6/19/2012
7/18/2012
6/19/2009
11/8/2012
11/9/2012
11/13/2012
1/11/2013
3/20/2009
7/21/2011
12/29/2009
3/9/2011
6/26/2009
2/20/2013
3/26/2013
12/19/2008
9/22/2011
12/19/2008
11/28/2012
11/30/2012
1/11/2013
5/29/2009
3/27/2013
12/12/2008
11/30/2012
5/6/2015
11/13/2009
7/19/2013
7/22/2013
9/12/2013
12/19/2008
8/1/2012
8/2/2012
8/3/2012
8/7/2012
8/8/2012
8/9/2012
8/10/2012
9/11/2012
12/19/2008
7/3/2012
5/28/2015
12/31/2008
2/2/2011
3/16/2011
12/23/2008
2/23/2011
3/30/2011
5/11/2011
2/13/2009
7/21/2011
7/31/2009
9/1/2011
5/22/2009
12/10/2012
12/11/2012
1/11/2013
3/26/2013
6/26/2009
12/20/2012
1/11/2013
3/26/2013
7/24/2009
12/21/2011
12/11/2012
3/13/2009
8/13/2010
1/9/2009
9/1/2011
11/23/2011
1/16/2009
8/16/2013
9/13/2013
12/5/2014
3/6/2015
5/15/2017
5/17/2018
5/21/2018
2/20/2009
1/18/2012
Preferred Stock w/ Warrants
$35,000,000.00
$0.00
$815,100.00
2,964
$275.00
$35,000,000.00
35,000
$1,000.00
($2,148,900.00)
$637,071.00
364,026
$1,006,100.00
324,074
200
$42,801,933.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$4,680,205.56 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$8,750,000.00
$0.00
$10,394,872.56 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$43,000,000.00
$0.00
$47,294,527.29 Sold, in full; warrants not outstanding
$4,000,000.00
4,000
$1,000.00
$200,000.00
$8,750,000.00
8,750
$1,000.00
$438,000.00
438
$481,387.50
$17,505,000.00
$8,725,367.25
$420,995.25
$10,503,000.00
550
20,000
9,969
481
12,000
$875.25
$875.25
$875.25
$875.25
$875.25
($68,612.50)
($2,495,000.00)
($1,243,632.75)
($60,004.75)
($1,497,000.00)
$1,910,898.00
$120,386.57
$22,930.78
2,000
126
24
5,090
2,901
153
$942.50
$942.50
$942.50
($292,675.00)
($166,807.50)
($8,797.50)
$222,007.50
230
$136,813.05
150
2,805
14,195
$950.00
$950.00
($140,250.00)
($709,750.00)
$638,460.90
700
1,659,000
1,334,000
$0.96
$0.96
($68,400.57)
($55,000.82)
$125,000.00
150,000
$96,465.60
112
$645,975.00
750
$690,100.00
651,042
$550,000.00
550
($376,357.50)
Preferred Stock w/ Exercised Warrants
$4,609,000.00
$3,535,000.00
$0.00
$9,405,391.28 Sold, in full; warrants not outstanding
$4,797,325.00
$2,734,192.50
$144,202.50
($76,757.21)
Preferred Stock w/ Exercised Warrants
$17,000,000.00
$0.00
$20,119,744.45 Sold, in full; warrants not outstanding
$2,664,750.00
$13,485,250.00
($161,500.00)
Subordinated Debentures w/ Exercised Warrants
$2,993,000.00
$0.00
$3,842,376.65 Sold, in full; warrants not outstanding
$17,243,000.00
$0.00
$17,573,762.97 Sold, in full; warrants not outstanding
$1,590,599.43
$1,278,999.18
($25,000.00)
Preferred Stock w/ Exercised Warrants
$157,500.00
$13,421,362.50
200
17,043
$787.50
$787.50
$100,000,000.00
100,000
$1,000.00
$11,000,000.00
11,000
$1,000.00
442
$962.50
3,063
5,689
$1,000.00
$1,000.00
30,000
$739.89
($42,500.00)
($3,621,637.50)
($135,788.63)
Preferred Stock w/ Warrants
$100,000,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$11,000,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$442,000.00
$0.00
$104,023,433.33 Redeemed, in full; warrants not outstanding
$15,971,339.07 Redeemed, in full; warrants not outstanding
$500,199.14 Sold, in full; warrants not outstanding
$425,425.00
($16,575.00)
($2,835.00)
22
($25,000.00)
Preferred Stock w/ Exercised Warrants
$8,752,000.00
$0.00
$11,396,202.11 Redeemed, in full; warrants not outstanding
$3,063,000.00
$5,689,000.00
Preferred Stock w/ Warrants
$30,000,000.00
$0.00
$27,105,349.50 Sold, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$12,000,000.00
$0.00
$15,452,669.34 Sold, in full; warrants not outstanding
$22,196,700.00
($332,950.50)
$96,290.00
100,000
$0.96
($3,710.00)
11,900,000
$0.96
($441,490.00)
$700,000.00
700
$1,000.00
$650,000.00
3,035,000
$0.21
($2,385,000.00)
($2,167,326.00)
$11,458,510.00
$438,000.00
438
$75,000.00
223,992
$37,387.14
$552,936.00
38,000
562,000
$40,000.00
4
$994,613.40
1,052
($7,803,300.00)
($115,548.00)
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants
$700,000.00
$0.00
$830,173.67 Redeemed, in full; warrants not outstanding
$3,035,000.00
$0.00
$804,592.16 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$21,042,000.00
$0.00
$19,836,630.66 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$9,294,000.00
$0.00
$11,156,234.25 Redeemed, in full; warrants not outstanding
$18,874,674.00
21,042
$897.00
$9,294,000.00
9,294
$1,000.00
$879,424.60
$5,701,813.50
974
6,315
$902.90
$902.90
($188,746.74)
Preferred Stock w/ Exercised Warrants
$7,289,000.00
$0.00
$465,000.00
465
$358,558.20
364
$8,441,836.26 Sold, in full; warrants not outstanding
($94,575.40)
($613,186.50)
($65,812.38)
Subordinated Debentures w/ Exercised Warrants
$3,942,000.00
$0.00
$5,404,924.35 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$7,000,000.00
$0.00
$10,634,864.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,657,000.00
$0.00
$7,220,908.83 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$36,282,000.00
$0.00
$40,966,780.82 Sold, in full; warrants not outstanding
$3,942,000.00
3,942,000
$1.00
$7,000,000.00
7,000
$1,000.00
$439,000.00
$6,218,000.00
439
6,218
$1,058.90
$1,058.90
$25,857.10
$366,240.20
135
30
335
3,591
2,635
29,236
320
$891.26
$891.26
$891.26
$891.26
$891.26
$891.26
$891.26
($14,679.90)
($3,262.20)
($36,427.90)
($390,485.34)
($286,529.90)
($3,179,122.64)
($34,796.80)
48,200
$900.60
($4,791,080.00)
136,320
$25,000.00
$197,000.00
197,000
$2,246,531.00
101,321
$242,302.50
200
$170,227.93
$167,374.94
$1,210,615.36
$176,884.89
179
176
1,273
186
($70,490.97)
$120,320.10
$26,737.80
$298,572.10
$3,200,514.66
$2,348,470.10
$26,056,877.36
$285,203.20
($323,366.95)
Preferred Stock w/ Warrants
$48,200,000.00
$0.00
$82,715,982.47 Sold, in full; warrants not outstanding
$43,408,920.00
Preferred Stock w/ Warrants
$3,408,000,000.00
$0.00
($651,133.80)
$3,408,000,000.00
Preferred Stock w/ Warrants
$31,429,313.38
2,693,747
$280,025,936.00
43,617,747
$2,079,962.50
378,175
$4,043,972,602.67 Redeemed, in full; warrants not outstanding
$37,515,000.00
$0.00
$43,787,611.61 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,000,000.00
$0.00
$5,914,597.33 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$3,742,000.00
$0.00
$4,487,322.46 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,177,000.00
$0.00
$1,289,436.37 Sold, in full; warrants not outstanding
$12,505,000.00
$25,010,000.00
2,501
5,002
$5,000.00
$5,000.00
$5,000,000.00
5,000
$1,000.00
$250,000.00
250
$3,742,000.00
3,742,000
$1.00
$112,000.00
112,000
769
408
$898.21
$898.21
($78,276.51)
($41,530.32)
$2,979.49
$26,318.80
6
53
3,422
$700.10
($1,026,257.80)
$94,701.71
171
$2,500,000.00
2,500,000
$924,462.00
616,308
$690,723.49
$366,469.68
($10,571.93)
($14,428.07)
Preferred Stock w/ Exercised Warrants
$3,422,000.00
$0.00
$3,003,674.75 Sold, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$50,000,000.00
$0.00
$65,558,530.56 Redeemed, in full; warrants not outstanding
Preferred Stock
$17,000,000.00
$0.00
$18,204,166.78 Redeemed, in full; warrants not outstanding
$2,395,742.20
($23,957.42)
($1,042.58)
Preferred Stock w/ Warrants
$65,000,000.00
$0.00
Preferred Stock w/ Warrants
$400,000,000.00
$0.00
$15,000,000.00
$35,000,000.00
15,000,000
35,000,000
$1.00
$1.00
$17,000,000.00
17,000
$1,000.00
$65,000,000.00
65,000
$1,000.00
$81,000,000.00
$8,514,153.00
$22,063,492.11
$29,708,351.90
$57,735,612.33
12,000,000
1,261,356
4,388,888
5,000,000
10,291,553
$6.75
$6.75
$5.03
$5.94
$5.61
3,675
$1,000.00
$74,518,906.44 Redeemed, in full; warrants not outstanding
$237,563,497.81 Sold, in part; warrants not outstanding
($74,611.09)
($85,000.00)
($64,711,540.92)
($6,802,024.20)
($31,229,144.01)
($31,004,790.15)
($67,230,891.51)
$6.58
$5,702,106.66
Preferred Stock w/ Exercised Warrants
$7,350,000.00
$0.00
$9,050,516.50 Redeemed, in full; warrants not outstanding
$3,675,000.00
19
UST0379
UST0794
UST0625
UST0625
UST0309
UST0309
UST0446
UST0446
UST0446
UST0446
UST0446
UST0446
UST0446
UST0446
UST0352
UST0352
UST0352
UST1020
UST1020
UST1020
UST1020
UST1020
UST0204
UST0204
UST0204
UST0444
UST0444
UST0444
UST0649
UST0649
UST0649
UST0427
UST0427
UST0427
UST0661
UST0661
UST0026
UST0026
UST0026
UST1075
UST1075
UST0296
UST0296
UST0078
UST0078
UST0078
UST1067
UST1067
UST1067
UST1067
UST1067
UST1067
UST1067
UST1067
UST0108
UST0108
UST0108
UST1297
UST1297
UST0505
UST0505
UST0851
UST0851
UST0046
UST0046
UST0046
UST1063
UST1063
UST0110
UST0110
UST0110
UST0342
UST0342
UST0342
UST0342
UST0468
UST0468
UST0468
UST0720
UST0720
UST0720
UST0720
UST1287
UST1287
UST0027
UST0027
UST0027
UST1030
UST1030
UST1030
UST1030
UST0943
UST0943
UST0943
UST0185
UST0185
UST0344
UST0344
UST0344
UST0486
UST0486
UST0564
UST0564
UST0442
UST0442
UST0745
UST0745
UST0745
UST0054
UST0054
UST0054
UST0699
UST0699
UST0651
UST0651
UST0009
UST0009
UST0009
UST0496
UST0496
UST0496
UST0070
UST0070
UST0070
UST0111
UST0111
UST0686
8,14,45
8,14,45
8
45
8,14,18
45
8,11,14,18,36
8,14,44
12
8,72
8
11,15,36
8,11,14
12,16
15,17,44
9,17
8,14
8,14,44
11
8,9
8
11
11,36
8,11,14
11,25
8,14,44
33,44,45
11
8,14
8,14,44
12,16
44
11
73,97
8,14,18
AB&T FINANCIAL CORPORATION
FIRST BANCTRUST CORPORATION
FIRST BANK OF CHARLESTON, INC.
FIRST BANK OF CHARLESTON, INC.
FIRST BANKERS TRUSTSHARES, INC.
FIRST BANKERS TRUSTSHARES, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BUSEY CORPORATION
FIRST BUSEY CORPORATION
FIRST BUSEY CORPORATION
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA,
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA,
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA,
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA,
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA,
FIRST CALIFORNIA FINANCIAL GROUP, INC.
FIRST CALIFORNIA FINANCIAL GROUP, INC.
FIRST CALIFORNIA FINANCIAL GROUP, INC.
FIRST CAPITAL BANCORP, INC.
FIRST CAPITAL BANCORP, INC.
FIRST CAPITAL BANCORP, INC.
FIRST CHOICE BANK
FIRST CHOICE BANK
FIRST CHOICE BANK
FIRST CITIZENS BANC CORP
FIRST CITIZENS BANC CORP
FIRST CITIZENS BANC CORP
FIRST COLEBROOK BANCORP, INC.
FIRST COLEBROOK BANCORP, INC.
FIRST COMMUNITY BANCSHARES INC.
FIRST COMMUNITY BANCSHARES INC.
FIRST COMMUNITY BANCSHARES INC.
FIRST COMMUNITY BANCSHARES, INC. / EQUITY BANCSHARES, INC.
FIRST COMMUNITY BANCSHARES, INC. / EQUITY BANCSHARES, INC.
FIRST COMMUNITY BANK CORPORATION OF AMERICA
FIRST COMMUNITY BANK CORPORATION OF AMERICA
FIRST COMMUNITY CORPORATION
FIRST COMMUNITY CORPORATION
FIRST COMMUNITY CORPORATION
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST DEFIANCE FINANCIAL CORP.
FIRST DEFIANCE FINANCIAL CORP.
FIRST DEFIANCE FINANCIAL CORP.
FIRST EAGLE BANCSHARES, INC.
FIRST EAGLE BANCSHARES, INC.
FIRST EXPRESS OF NEBRASKA, INC.
FIRST EXPRESS OF NEBRASKA, INC.
FIRST FEDERAL BANCSHARES OF ARKANSAS, INC.
FIRST FEDERAL BANCSHARES OF ARKANSAS, INC.
FIRST FINANCIAL BANCORP
FIRST FINANCIAL BANCORP
FIRST FINANCIAL BANCORP
FIRST FINANCIAL BANCSHARES, INC.
FIRST FINANCIAL BANCSHARES, INC.
FIRST FINANCIAL HOLDINGS INC.
FIRST FINANCIAL HOLDINGS INC.
FIRST FINANCIAL HOLDINGS INC.
FIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC.
FIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC.
FIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC.
FIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC.
FIRST FREEDOM BANCSHARES, INC.
FIRST FREEDOM BANCSHARES, INC.
FIRST FREEDOM BANCSHARES, INC.
FIRST GOTHENBURG BANCSHARES, INC.
FIRST GOTHENBURG BANCSHARES, INC.
FIRST GOTHENBURG BANCSHARES, INC.
FIRST GOTHENBURG BANCSHARES, INC.
FIRST GUARANTY BANCSHARES, INC.
FIRST GUARANTY BANCSHARES, INC.
FIRST HORIZON NATIONAL CORPORATION
FIRST HORIZON NATIONAL CORPORATION
FIRST HORIZON NATIONAL CORPORATION
FIRST INDEPENDENCE CORPORATION
FIRST INDEPENDENCE CORPORATION
FIRST INDEPENDENCE CORPORATION
FIRST INDEPENDENCE CORPORATION
FIRST INTERCONTINENTAL BANK
FIRST INTERCONTINENTAL BANK
FIRST INTERCONTINENTAL BANK
FIRST LITCHFIELD FINANCIAL CORPORATION
FIRST LITCHFIELD FINANCIAL CORPORATION
FIRST M&F CORPORATION
FIRST M&F CORPORATION
FIRST M&F CORPORATION
FIRST MANITOWOC BANCORP, INC.
FIRST MANITOWOC BANCORP, INC.
FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATION
FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATION
FIRST MENASHA BANCSHARES, INC.
FIRST MENASHA BANCSHARES, INC.
FIRST MERCHANTS CORPORATION
FIRST MERCHANTS CORPORATION
FIRST MERCHANTS CORPORATION
FIRST MIDWEST BANCORP, INC.
FIRST MIDWEST BANCORP, INC.
FIRST MIDWEST BANCORP, INC.
FIRST NATIONAL CORPORATION
FIRST NATIONAL CORPORATION
FIRST NBC BANK HOLDING COMPANY
FIRST NBC BANK HOLDING COMPANY
FIRST NIAGARA FINANCIAL GROUP
FIRST NIAGARA FINANCIAL GROUP
FIRST NIAGARA FINANCIAL GROUP
FIRST NORTHERN COMMUNITY BANCORP
FIRST NORTHERN COMMUNITY BANCORP
FIRST NORTHERN COMMUNITY BANCORP
FIRST PACTRUST BANCORP, INC.
FIRST PACTRUST BANCORP, INC.
FIRST PACTRUST BANCORP, INC.
FIRST PLACE FINANCIAL CORP.
FIRST PLACE FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
N.A.
N.A.
N.A.
N.A.
N.A.
GASTONIA
PARIS
CHARLESTON
CHARLESTON
QUINCY
QUINCY
CLAYTON
CLAYTON
CLAYTON
CLAYTON
CLAYTON
CLAYTON
CLAYTON
CLAYTON
URBANA
URBANA
URBANA
SAN DIEGO
SAN DIEGO
SAN DIEGO
SAN DIEGO
SAN DIEGO
WESTLAKE VILLAGE
WESTLAKE VILLAGE
WESTLAKE VILLAGE
GLEN ALLEN
GLEN ALLEN
GLEN ALLEN
CERRITOS
CERRITOS
CERRITOS
SANDUSKY
SANDUSKY
SANDUSKY
COLEBROOK
COLEBROOK
BLUEFIELD
BLUEFIELD
BLUEFIELD
WICHITA
WICHITA
PINELLAS PARK
PINELLAS PARK
LEXINGTON
LEXINGTON
LEXINGTON
JOLIET
JOLIET
JOLIET
JOLIET
JOLIET
JOLIET
JOLIET
JOLIET
DEFIANCE
DEFIANCE
DEFIANCE
HANOVER PARK
HANOVER PARK
GERING
GERING
HARRISON
HARRISON
CINCINNATI
CINCINNATI
CINCINNATI
LAWRENCE
LAWRENCE
CHARLESTON
CHARLESTON
CHARLESTON
ELIZABETHTOWN
ELIZABETHTOWN
ELIZABETHTOWN
ELIZABETHTOWN
LEBANON
LEBANON
LEBANON
GOTHENBURG
GOTHENBURG
GOTHENBURG
GOTHENBURG
HAMMOND
HAMMOND
MEMPHIS
MEMPHIS
MEMPHIS
DETROIT
DETROIT
DETROIT
DETROIT
DORAVILLE
DORAVILLE
DORAVILLE
LITCHFIELD
LITCHFIELD
KOSCIUSKO
KOSCIUSKO
KOSCIUSKO
MANITOWOC
MANITOWOC
RICHMOND
RICHMOND
NEENAH
NEENAH
MUNCIE
MUNCIE
MUNCIE
ITASCA
ITASCA
ITASCA
STRASBURG
STRASBURG
NEW ORLEANS
NEW ORLEANS
LOCKPORT
LOCKPORT
LOCKPORT
DIXON
DIXON
DIXON
CHULA VISTA
CHULA VISTA
CHULA VISTA
WARREN
WARREN
MALVERN
NC
IL
WV
WV
IL
IL
MO
MO
MO
MO
MO
MO
MO
MO
IL
IL
IL
CA
CA
CA
CA
CA
CA
CA
CA
VA
VA
VA
CA
CA
CA
OH
OH
OH
NH
NH
VA
VA
VA
KS
KS
FL
FL
SC
SC
SC
IL
IL
IL
IL
IL
IL
IL
IL
OH
OH
OH
IL
IL
NE
NE
AR
AR
OH
OH
OH
KS
KS
SC
SC
SC
KY
KY
KY
KY
TN
TN
TN
NE
NE
NE
NE
LA
LA
TN
TN
TN
MI
MI
MI
MI
GA
GA
GA
CT
CT
MS
MS
MS
WI
WI
VA
VA
WI
WI
IN
IN
IN
IL
IL
IL
VA
VA
LA
LA
NY
NY
NY
CA
CA
CA
CA
CA
CA
OH
OH
PA
11/19/2013
10/24/2012
2/6/2009
7/21/2011
1/16/2009
9/8/2011
12/31/2008
8/8/2013
8/9/2013
8/12/2013
9/12/2013
9/24/2013
9/25/2013
10/29/2013
3/6/2009
8/25/2011
11/23/2011
4/10/2009
12/11/2009
12/19/2012
12/20/2012
1/11/2013
12/19/2008
7/14/2011
8/24/2011
4/3/2009
6/19/2012
2/6/2013
2/13/2009
12/22/2009
9/24/2010
1/23/2009
7/3/2012
9/5/2012
3/20/2009
9/22/2011
11/21/2008
7/8/2009
11/22/2011
5/15/2009
7/16/2014
12/23/2008
5/31/2011
11/21/2008
8/29/2012
11/1/2012
12/11/2009
8/8/2012
8/9/2012
8/10/2012
9/19/2012
9/20/2012
9/21/2012
11/16/2012
12/5/2008
6/19/2012
3/11/2015
9/11/2009
9/17/2010
2/6/2009
2/15/2012
3/6/2009
5/3/2011
12/23/2008
2/24/2010
6/8/2010
6/12/2009
9/22/2011
12/5/2008
4/3/2012
5/22/2013
1/9/2009
4/29/2013
5/31/2013
7/1/2015
12/22/2009
11/9/2012
1/11/2013
2/27/2009
10/29/2012
10/31/2012
1/11/2013
8/28/2009
9/22/2011
11/14/2008
12/22/2010
3/9/2011
8/28/2009
12/20/2012
1/11/2013
3/26/2013
3/13/2009
8/12/2013
9/12/2013
12/12/2008
4/7/2010
2/27/2009
9/29/2010
8/30/2013
1/16/2009
5/27/2009
2/6/2009
12/7/2011
2/13/2009
9/15/2011
2/20/2009
9/22/2011
11/23/2011
12/5/2008
11/23/2011
12/21/2011
3/13/2009
8/29/2012
3/20/2009
8/4/2011
11/21/2008
5/27/2009
6/24/2009
3/13/2009
9/15/2011
11/16/2011
11/21/2008
12/15/2010
1/5/2011
3/13/2009
10/29/2012
2/20/2009
Preferred Stock w/ Exercised Warrants
$3,345,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$295,400,000.00
$0.00
$815,100.00
$3,675,000.00
2,964
3,675
$275.00
$1,000.00
$368,000.00
368
$3,345,000.00
3,345
$1,000.00
($2,148,900.00)
$167,000.00
167
$10,000,000.00
10,000
$1,000.00
$500,000.00
500
$105,000.00
$12,171,950.00
$87,028,900.00
300
34,777
248,654
$350.00
$350.00
$350.00
($195,000.00)
($22,605,050.00)
($161,625,100.00)
$2,430,181.71
$5,919,151.59
4,299
10,471
5,819
5,850
$551.59
$551.59
($2,609,297.79)
($2,623,198.50)
$100,000,000.00
100,000
$1,000.00
$63,677.00
573,833
$1,373,084.00
$2,510,399.84
1,500
2,743
$915.39
$915.20
$90,461.65
111
25,000
$1,000.00
10,958
$920.11
$3,960,105.00 Redeemed, in full; warrants not outstanding
$11,941,222.22 Redeemed, in full; warrants not outstanding
$119,071,500.97 Sold, in full; warrants not outstanding
($993,058.50)
$3,209,702.21
$3,226,801.50
($64,365.04)
Preferred Stock w/ Warrants
$100,000,000.00
$0.00
Preferred Stock w/ Warrants
$2,211,000.00
$2,032,000.00
$0.00
$112,410,898.89 Redeemed, in full; warrants not outstanding
$4,693,275.61 Sold, in full; warrants not outstanding
($126,916.00)
($232,600.16)
($33,333.33)
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$28,810,847.55 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$10,958,000.00
$0.00
$11,956,712.44 Sold, in full; warrants not outstanding
$25,000,000.00
$10,082,565.38
Preferred Stock w/ Exercised Warrants
$2,200,000.00
$2,836,000.00
$0.00
$23,184,000.00
$0.00
($151,238.48)
Preferred Stock w/ Warrants
5,036
$1,000.00
23,184
$906.00
$110,000.00
110
$563,174.00
469,312
$25,245,684.71 Sold, in full; warrants not outstanding
$21,004,704.00
Preferred Stock w/ Exercised Warrants
599,042
417,648
$5,446,642.94 Redeemed, in full; warrants not outstanding
$5,036,000.00
Preferred Stock w/ Warrants
$599,042.00
$266,041.78
($875,434.62)
$4,500,000.00
$0.00
$5,339,487.75 Redeemed, in full; warrants not outstanding
$41,500,000.00
$0.00
$42,839,002.78 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$14,800,000.00
$0.00
Preferred Stock w/ Warrants
$10,685,000.00
$0.00
$8,499,249.92 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$11,350,000.00
$0.00
$13,425,979.36 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$22,000,000.00
$0.00
$18,252,479.06 Sold, in full; warrants not outstanding
($315,070.56)
$4,500,000.00
4,500
$1,000.00
$41,500,000.00
41,500
$1,000.00
($2,179,296.00)
$225,000.00
225
$30,600.00
88,273
$740,000.00
740
$19,957,763.30 Redeemed, in full; warrants not outstanding
$14,800,000.00
14,800
$1,000.00
$7,754,267.48
10,685
$725.72
($2,930,732.52)
11,350
$982.83
($194,879.50)
$11,155,120.50
($167,326.81)
$326,250.00
$3,051,090.00
$10,977,660.00
500
4,676
16,824
$652.50
$652.50
$652.50
($173,750.00)
($1,624,910.00)
($5,846,340.00)
($1,381,580.00)
$297,500.00
195,915
$70,727.58
$440,082.72
$209,563.20
108
672
320
($143,550.00)
Preferred Stock w/ Warrants
$37,000,000.00
$0.00
$53,610,300.92 Sold, in full; warrants not outstanding
$35,618,420.00
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$7,500,000.00
$0.00
$0.00
$6,074,313.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$16,500,000.00
$0.00
$6,570,625.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$80,000,000.00
$0.00
$87,644,066.10 Redeemed, in full; warrants not outstanding
$3,756,000.00
$0.00
$4,563,280.34 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$65,000,000.00
$0.00
37,000
$962.66
$11,979,295.00
550,595
$7,500,000.00
7,500,000
$1.00
$375,000.00
375,000
$5,000,000.00
5,000
$1,000.00
$250,000.00
250
$6,000,000.00
16,500
$363.64
$80,000,000.00
80,000
$1,000.00
$2,966,288.32
465,117
$3,756,000.00
3,756,000
$1.00
$113,000.00
113,000
65,000
$873.51
$1,400,000.00
241,696
$8,514,738.21 Redeemed, in full; warrants not outstanding
$5,000,000.00
Subordinated Debentures w/ Exercised Warrants
$20,000,000.00
$0.00
($10,500,000.00)
$68,141,972.19 Sold, in full; warrants not outstanding
$56,778,150.00
Preferred Stock w/ Warrants
($534,276.30)
($851,672.25)
($8,221,850.00)
$12,336,278.00 Sold, in full; warrants not outstanding
$10,842,200.00
20,000
$542.11
($9,157,800.00)
8,700
$922.50
($674,250.00)
29
7,541
$910.31
$910.31
($2,601.01)
($676,352.29)
$20,699,000.00
2,070
$10,000.00
$866,540,000.00
866,540
$1,000.00
($108,422.00)
Preferred Stock w/ Exercised Warrants
$8,700,000.00
$0.00
$2,500.00
215,983
$256,118.75
261
$362,118.92
379
$9,522,346.17 Sold, in full; warrants not outstanding
$8,025,750.00
($80,257.50)
Preferred Stock w/ Exercised Warrants
$7,570,000.00
$0.00
$8,702,021.25 Sold, in full; warrants not outstanding
$26,398.99
$6,864,647.71
($68,910.46)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$20,699,000.00
$866,540,000.00
$0.00
$0.00
$24,059,476.66 Redeemed, in full; warrants not outstanding
$1,030,000.00
103
$79,700,000.00
14,842,321
$1,037,467,405.56 Redeemed, in full; warrants not outstanding
Preferred Stock
$3,223,000.00
$0.00
$2,820,256.96 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,398,000.00
$0.00
$4,118,886.85 Sold, in full; warrants not outstanding
$10,000,000.00
$0.00
$2,336,675.00
3,223
$725.00
($886,325.00)
($3,150,887.04)
($23,366.75)
($26,633.25)
$3,247,112.96
6,398
$507.52
$10,000,000.00
10,000
$1,000.00
$30,000,000.00
30,000
$1,000.00
$12,000,000.00
12,000
$1,000.00
$33,900,000.00
35,595
$1,000.00
$4,797,000.00
4,797
$1,000.00
$116,000,000.00
116,000
$1,000.00
$139,320.00
320
$1,488,046.41
199,203
$4,089,510.61
513,113
$600,000.00
600
($25,000.00)
Preferred Stock w/ Warrants
$12,147,768.63 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$30,000,000.00
$0.00
$36,472,843.94 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,000,000.00
$0.00
$12,837,983.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$33,900,000.00
$0.00
$40,834,859.35 Redeemed, in full; warrants not outstanding
$4,797,000.00
$0.00
$5,713,865.00 Redeemed, in full; warrants not outstanding
$116,000,000.00
$0.00
$131,383,055.11 Redeemed, in full; warrants not outstanding
$193,000,000.00
$0.00
$13,900,000.00
$0.00
Preferred Stock w/ Warrants
$17,836,000.00
$0.00
$21,033,989.56 Redeemed, in full; warrants not outstanding
$184,011,000.00
$0.00
$191,464,618.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$17,390,000.00
$0.00
$19,943,580.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$19,300,000.00
$0.00
$22,297,560.34 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
240
$367,500.00
991,453
193,000
$1,000.00
13,900
$882.50
$900,000.00
1,305,230
$624,674.69
$17,836,000.00
17,836
$1,000.00
695
$184,011,000.00
184,011
$1,000.00
$15,329,326.44 Sold, in full; warrants not outstanding
$12,266,750.00
Preferred Stock w/ Exercised Warrants
$240,000.00
$222,528,333.33 Redeemed, in full; warrants not outstanding
$193,000,000.00
Preferred Stock w/ Exercised Warrants
$1,695,000.00
$72,927,000.00
$0.00
$7,009,094.50 Exited bankruptcy/Receivership
$4,579,000.00
$0.00
$9,948,069.58 Sold, in full; warrants not outstanding
($184,001.25)
$17,390,000.00
17,390
$1,000.00
$19,300,000.00
19,300
$1,000.00
($1,633,250.00)
$892,000.00
892
$2,700,000.00
953,096
$375,000.00
352,977
$1,003,227.00
280,795
($72,927,000.00)
Preferred Stock w/ Exercised Warrants
20
UST0379
UST0686
UST0686
UST0686
UST0686
UST0623
UST0623
UST0623
UST0687
UST0687
UST0687
UST0374
UST0374
UST0137
UST0137
UST1057
UST1057
UST1057
UST0436
UST0436
UST0666
UST0666
UST0666
UST0666
UST0666
UST0534
UST0534
UST0967
UST0967
UST0967
UST0276
UST0276
UST0385
UST0385
UST0385
UST0385
UST0385
UST1199
UST1199
UST0695
UST0695
UST0695
UST0695
UST0695
UST0695
UST0695
UST0552
UST0552
UST0552
UST0051
UST0051
UST0051
UST0317
UST0317
UST0317
UST0317
UST0317
UST0317
UST1296
UST1296
UST0815
UST0815
UST0226
UST0226
UST0226
UST0846
UST0846
UST1213
UST1213
UST1010
UST1010
UST0722
UST0722
UST0179
UST0179
UST0506
UST0506
UST0506
UST1201
UST1201
UST1201
UST1201
UST1108
UST1108
UST1108
UST1108
UST1242
UST1242
UST0262
UST0262
UST1035
UST1035
UST1035
UST0263
UST0263
UST0263
UST1203
UST1203
UST0621
UST0621
UST1144
UST1144
UST1144
UST0683
UST0683
UST0683
UST0683
UST1254
UST1254
UST0017
UST0017
UST0017
UST0545
UST0545
UST1152
UST1152
UST0198
UST0198
UST1219
UST1219
UST0327
UST0327
UST0327
UST1277
UST1277
UST1277
UST1277
8,14
8,14,18,44,45
87
79
11,14,15
8,11,14
8,14
8,14,44
14,15
8,11,14
8,11,14,36
8,14,18
11
8,84
8,14,44
12,16
8,14,45
8,11,14
8,66,97
8,14,45
50,97
8,11,14
8,14
15
11,14,15
8,14,44
11,14,15
11
8,14
8,11,14
8
8,14
8,17,91,97
11
8,127
8,14,44
15
8,144
8,14,18,44
15
AB&T FINANCIAL CORPORATION
FIRST PRIORITY FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST RELIANCE BANCSHARES, INC.
FIRST RELIANCE BANCSHARES, INC.
FIRST RELIANCE BANCSHARES, INC.
FIRST RESOURCE BANK
FIRST RESOURCE BANK
FIRST RESOURCE BANK
FIRST SECURITY GROUP, INC.
FIRST SECURITY GROUP, INC.
FIRST SOUND BANK
FIRST SOUND BANK
FIRST SOUTH BANCORP, INC.
FIRST SOUTH BANCORP, INC.
FIRST SOUTH BANCORP, INC.
FIRST SOUTHERN BANCORP, INC.
FIRST SOUTHERN BANCORP, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST TEXAS BHC, INC.
FIRST TEXAS BHC, INC.
FIRST TRUST CORPORATION
FIRST TRUST CORPORATION
FIRST TRUST CORPORATION
FIRST ULB CORP.
FIRST ULB CORP.
FIRST UNITED CORPORATION
FIRST UNITED CORPORATION
FIRST UNITED CORPORATION
FIRST UNITED CORPORATION
FIRST UNITED CORPORATION
FIRST VERNON BANCSHARES, INC.
FIRST VERNON BANCSHARES, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRSTBANK CORPORATION
FIRSTBANK CORPORATION
FIRSTBANK CORPORATION
FIRSTMERIT CORPORATION
FIRSTMERIT CORPORATION
FIRSTMERIT CORPORATION
FLAGSTAR BANCORP, INC.
FLAGSTAR BANCORP, INC.
FLAGSTAR BANCORP, INC.
FLAGSTAR BANCORP, INC.
FLAGSTAR BANCORP, INC.
FLAGSTAR BANCORP, INC.
FLORIDA BANK GROUP, INC.
FLORIDA BANK GROUP, INC.
FLORIDA BUSINESS BANCGROUP, INC.
FLORIDA BUSINESS BANCGROUP, INC.
FLUSHING FINANCIAL CORPORATION
FLUSHING FINANCIAL CORPORATION
FLUSHING FINANCIAL CORPORATION
FNB BANCORP
FNB BANCORP
FORESIGHT FINANCIAL GROUP, INC.
FORESIGHT FINANCIAL GROUP, INC.
FORT LEE FEDERAL SAVINGS BANK, FSB
FORT LEE FEDERAL SAVINGS BANK, FSB
FORTUNE FINANCIAL CORPORATION
FORTUNE FINANCIAL CORPORATION
FPB BANCORP, INC.
FPB BANCORP, INC.
FPB FINANCIAL CORP.
FPB FINANCIAL CORP.
FPB FINANCIAL CORP.
FRANKLIN BANCORP, INC.
FRANKLIN BANCORP, INC.
FRANKLIN BANCORP, INC.
FRANKLIN BANCORP, INC.
FREEPORT BANCSHARES, INC.
FREEPORT BANCSHARES, INC.
FREEPORT BANCSHARES, INC.
FREEPORT BANCSHARES, INC.
FREMONT BANCORPORATION
FREMONT BANCORPORATION
FRESNO FIRST BANK
FRESNO FIRST BANK
FRONTIER BANCSHARES, INC
FRONTIER BANCSHARES, INC
FRONTIER BANCSHARES, INC
FULTON FINANCIAL CORPORATION
FULTON FINANCIAL CORPORATION
FULTON FINANCIAL CORPORATION
GATEWAY BANCSHARES, INC.
GATEWAY BANCSHARES, INC.
GEORGIA COMMERCE BANCSHARES, INC.
GEORGIA COMMERCE BANCSHARES, INC.
GEORGIA PRIMARY BANK
GEORGIA PRIMARY BANK
GEORGIA PRIMARY BANK
GERMANTOWN CAPITAL CORPORATION
GERMANTOWN CAPITAL CORPORATION
GERMANTOWN CAPITAL CORPORATION
GERMANTOWN CAPITAL CORPORATION
GOLD CANYON BANK
GOLD CANYON BANK
GOLDMAN SACHS GROUP, INC.
GOLDMAN SACHS GROUP, INC.
GOLDMAN SACHS GROUP, INC.
GOLDWATER BANK, N.A.
GOLDWATER BANK, N.A.
GRAND CAPITAL CORPORATION
GRAND CAPITAL CORPORATION
GRAND FINANCIAL CORPORATION
GRAND FINANCIAL CORPORATION
GRAND MOUNTAIN BANCSHARES, INC.
GRAND MOUNTAIN BANCSHARES, INC.
GRANDSOUTH BANCORPORATION
GRANDSOUTH BANCORPORATION
GRANDSOUTH BANCORPORATION
GREAT RIVER HOLDING COMPANY
GREAT RIVER HOLDING COMPANY
GREAT RIVER HOLDING COMPANY
GREAT RIVER HOLDING COMPANY
GASTONIA
MALVERN
MALVERN
MALVERN
MALVERN
FLORENCE
FLORENCE
FLORENCE
EXTON
EXTON
EXTON
CHATTANOOGA
CHATTANOOGA
SEATTLE
SEATTLE
LEXINGTON
LEXINGTON
LEXINGTON
BOCA RATON
BOCA RATON
ALAMOSA
ALAMOSA
ALAMOSA
ALAMOSA
ALAMOSA
FORT WORTH
FORT WORTH
NEW ORLEANS
NEW ORLEANS
NEW ORLEANS
OAKLAND
OAKLAND
OAKLAND
OAKLAND
OAKLAND
OAKLAND
OAKLAND
VERNON
VERNON
DENVER
DENVER
DENVER
DENVER
DENVER
DENVER
DENVER
ALMA
ALMA
ALMA
AKRON
AKRON
AKRON
TROY
TROY
TROY
TROY
TROY
TROY
TAMPA
TAMPA
TAMPA
TAMPA
LAKE SUCCESS
LAKE SUCCESS
LAKE SUCCESS
SOUTH SAN FRANCISCO
SOUTH SAN FRANCISCO
ROCKFORD
ROCKFORD
FORT LEE
FORT LEE
ARNOLD
ARNOLD
PORT ST. LUCIE
PORT ST. LUCIE
HAMMOND
HAMMOND
HAMMOND
WASHINGTON
WASHINGTON
WASHINGTON
WASHINGTON
FREEPORT
FREEPORT
FREEPORT
FREEPORT
FREMONT
FREMONT
FRESNO
FRESNO
AUSTIN
AUSTIN
AUSTIN
LANCASTER
LANCASTER
LANCASTER
RINGGOLD
RINGGOLD
ATLANTA
ATLANTA
ATLANTA
ATLANTA
ATLANTA
GERMANTOWN
GERMANTOWN
GERMANTOWN
GERMANTOWN
GOLD CANYON
GOLD CANYON
NEW YORK
NEW YORK
NEW YORK
SCOTTSDALE
SCOTTSDALE
TULSA
TULSA
HATTIESBURG
HATTIESBURG
GRANBY
GRANBY
GREENVILLE
GREENVILLE
GREENVILLE
BAXTER
BAXTER
BAXTER
BAXTER
NC
PA
PA
PA
PA
SC
SC
SC
PA
PA
PA
TN
TN
WA
WA
TN
TN
TN
FL
FL
CO
CO
CO
CO
CO
TX
TX
LA
LA
LA
CA
CA
MD
MD
MD
MD
MD
AL
AL
CO
CO
CO
CO
CO
CO
CO
MI
MI
MI
OH
OH
OH
MI
MI
MI
MI
MI
MI
FL
FL
FL
FL
NY
NY
NY
CA
CA
IL
IL
NJ
NJ
MO
MO
FL
FL
LA
LA
LA
MO
MO
MO
MO
IL
IL
IL
IL
CA
CA
CA
CA
TX
TX
TX
PA
PA
PA
GA
GA
GA
GA
GA
GA
GA
TN
TN
TN
TN
AZ
AZ
NY
NY
NY
AZ
AZ
OK
OK
MS
MS
CO
CO
SC
SC
SC
MN
MN
MN
MN
11/19/2013
12/18/2009
2/7/2013
2/8/2013
3/26/2013
3/6/2009
3/11/2013
4/9/2013
1/30/2009
12/11/2009
9/15/2011
1/9/2009
4/11/2013
12/23/2008
2/20/2013
7/17/2009
9/28/2011
11/28/2012
1/30/2009
6/16/2010
3/6/2009
3/26/2013
3/27/2013
3/28/2013
4/9/2013
3/6/2009
9/15/2011
6/5/2009
2/20/2013
3/26/2013
1/23/2009
4/22/2009
1/30/2009
12/3/2014
12/4/2014
1/9/2015
5/27/2015
6/12/2009
9/29/2010
2/6/2009
12/11/2009
8/9/2012
8/10/2012
9/11/2012
6/24/2013
7/26/2013
1/30/2009
7/3/2012
7/18/2012
1/9/2009
4/22/2009
5/27/2009
1/30/2009
3/26/2013
3/27/2013
3/28/2013
4/9/2013
6/12/2013
7/24/2009
8/14/2013
2/20/2009
9/22/2011
12/19/2008
10/28/2009
12/30/2009
2/27/2009
9/15/2011
5/15/2009
12/11/2012
5/22/2009
4/20/2012
4/3/2009
9/15/2011
12/5/2008
7/15/2011
1/23/2009
12/16/2009
6/16/2010
5/22/2009
11/9/2012
11/13/2012
1/11/2013
5/8/2009
4/11/2014
4/14/2014
7/18/2014
6/26/2009
7/25/2012
1/23/2009
11/1/2012
4/24/2009
11/24/2009
10/6/2010
12/23/2008
7/14/2010
9/8/2010
5/8/2009
4/13/2012
2/6/2009
2/16/2011
5/1/2009
2/10/2014
3/19/2014
3/6/2009
10/29/2012
10/31/2012
1/11/2013
6/26/2009
4/5/2013
10/28/2008
6/17/2009
7/22/2009
1/30/2009
9/21/2015
4/24/2009
9/8/2011
9/25/2009
7/8/2015
5/29/2009
9/7/2017
1/9/2009
12/11/2009
9/8/2011
7/17/2009
4/11/2014
4/14/2014
7/18/2014
$815,100.00
2,964
$275.00
($2,148,900.00)
$6,682,192.50
$1,410,831.60
7,575
1,600
$882.14
$881.77
($892,807.50)
($189,168.40)
$48,083.60
$176,633.62
49
180
15,349
$679.61
($4,917,666.11)
$624,632.45
767
$5,017,000.00
5,017
$1,000.00
$130,000.00
130
$14,912,862.00
9,941,908
$1.50
($18,087,138.00)
($3,700,000.00)
$4,596,000.00
($80,930.24)
Preferred Stock w/ Exercised Warrants
$15,349,000.00
$0.00
$12,994,059.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,600,000.00
$2,417,000.00
$0.00
Preferred Stock w/ Warrants
$33,000,000.00
$0.00
$16,315,362.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$7,400,000.00
$0.00
$4,030,944.44 Sold, in full; warrants not outstanding
$50,000,000.00
$0.00
$10,431,333.89
($104,313.34)
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$10,900,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$5,500,000.00
$0.00
$5,731,793.60 Redeemed, in full; warrants not outstanding
$3,700,000.00
7,400
$500.00
$13,125,000.00
$36,875,000.00
13,125,000
36,875,000
$1.00
$1.00
$2,500,000.00
2,500,000
$10,900,000.00
10,900
$1,000.00
$545,000.00
545
$315,007.00
$2,835,063.00
$1,800,040.00
350
3,150
2,000
$900.02
$900.02
$900.02
$206,048.21
$45,788.48
225
50
$65,432,450.94 Redeemed, in full; warrants not outstanding
$12,263,468.31 Redeemed, in full; warrants not outstanding
$5,359,772.59 Sold, in full; warrants not outstanding
($34,993.00)
($314,937.00)
($199,960.00)
($49,501.10)
Preferred Stock w/ Exercised Warrants
$13,533,000.00
$0.00
$16,072,389.00 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$17,969,000.00
$0.00
$15,304,180.50 Sold, in full; warrants not outstanding
$13,533,000.00
13,533
$1,000.00
17,969,000
$0.77
$4,900,000.00
4,900
$1,000.00
$7,800,000.00
$22,200,000.00
7,800
22,200
$1,002.01
$1,002.01
$6,000,000.00
6,000
$1,000.00
$6,138,000.00
$62,000.00
7,920
80
$775.00
$775.00
$13,750,058.49
($4,218,941.51)
$677,000.00
677
$644,726.19
898,000
$245,000.00
245
$117,162.42
326,323
($137,500.58)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$4,900,000.00
$0.00
$30,000,000.00
$0.00
$5,211,020.69 Redeemed, in full; warrants not outstanding
$40,183,721.33 Sold, in full; warrants not outstanding
$15,678.00
$44,622.00
($300,603.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$6,000,000.00
$8,559,000.00
$11,881,000.00
$0.00
$0.00
$6,662,770.42 Redeemed, in full; warrants not outstanding
$245,000.00
245
$311,681.70
$39,370.32
380
48
$1,946,670.00
578,947
$5,025,000.00
952,260
$12,905.00
645,138
$21,142,314.80 Sold, in full; warrants not outstanding
($1,782,000.00)
($18,000.00)
($62,000.00)
$10,994,240.00
12,440
$883.78
($1,445,760.00)
33,000
$941.01
($1,946,670.00)
125,000
$1,000.00
($109,942.41)
Preferred Stock w/ Warrants
$33,000,000.00
$0.00
$38,185,560.05 Sold, in full; warrants not outstanding
$31,053,330.00
Preferred Stock w/ Warrants
$125,000,000.00
$0.00
$131,813,194.44 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$266,657,000.00
$0.00
$277,861,053.94 Sold, in full; warrants not outstanding
($465,799.95)
$125,000,000.00
$1,439,258.50
$228,401,847.00
$13,216,750.00
1,579
250,578
14,500
$911.50
$911.50
$911.50
($139,741.50)
($22,176,153.00)
($1,283,250.00)
20,471
$390.80
($12,471,000.00)
$9,495,000.00
9,495
$1,000.00
$70,000,000.00
70,000
$1,000.00
($2,430,578.56)
Preferred Stock w/ Exercised Warrants
$20,471,000.00
$0.00
$9,180,793.08 Sold, in full; warrants not outstanding
$8,000,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$9,495,000.00
$0.00
$11,309,750.50 Redeemed, in full; warrants not outstanding
$70,000,000.00
$0.00
$73,904,166.66 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,000,000.00
$0.00
$14,267,700.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$15,000,000.00
$0.00
$18,670,291.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,300,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$3,100,000.00
$0.00
Preferred Stock w/ Warrants
$5,800,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$3,240,000.00
$0.00
$3,623,721.50 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,097,000.00
$0.00
$4,336,183.67 Sold, in full; warrants not outstanding
$475,000.00
475
$900,000.00
375,806
$12,000,000.00
12,000
$1,000.00
$600,000.00
600
$15,000,000.00
15,000
$1,000.00
$750,000.00
750
$155,000.00
155
$87,184.85 Exited bankruptcy/Receivership
($1,300,000.00)
$3,668,927.67 Redeemed, in full; warrants not outstanding
$3,100,000.00
3,100
$1,000.00
$273,888.89 Currently Not Collectible
($5,800,000.00)
$1,000,000.00
$2,240,000.00
1,000
2,240
$1,000.00
$1,000.00
$594,550.00
$2,629,302.50
940
4,157
$632.50
$632.50
2,800,000
200,000
$1.01
$1.01
($345,450.00)
($1,527,697.50)
$162,000.00
162
$126,798.62
$45,188.88
188
67
$84,514.33
$42,257.17
100,000
50,000
1,750,000
($25,000.00)
Subordinated Debentures w/ Exercised Warrants
$3,000,000.00
$0.00
$4,363,022.95 Sold, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$35,000,000.00
$0.00
$45,796,066.36 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,968,000.00
$0.00
$2,437,100.33 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$3,000,000.00
$0.00
$3,408,191.65 Redeemed, in full; warrants not outstanding
$2,800,000.00
$200,000.00
$18,228.00
$1,302.00
($25,000.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$376,500,000.00
$0.00
$416,635,625.00 Redeemed, in full; warrants not outstanding
$6,000,000.00
$0.00
$7,260,794.87 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$8,700,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$4,500,000.00
$0.00
$35,000,000.00
35,000,000
$1.00
$1,750,000.00
$1,968,000.00
1,968
$1,000.00
$98,000.00
98
$1,600,000.00
$1,400,000.00
1,600,000
1,400,000
$1.00
$1.00
$150,000.00
150,000
$376,500,000.00
376,500
$1,000.00
$10,800,000.00
5,509,756
$6,000,000.00
6,000
$1,000.00
$300,000.00
300
$8,700,000.00
8,700
$1,000.00
$435,000.00
435
4,500
$345.81
($2,943,855.00)
$45,312.50
225
29
4,938
$910.13
$910.13
($2,606.23)
($443,778.06)
$214,595.28
248
$1,100,000,000.00
12,205,045
$10,096,470.83 Redeemed, in full; warrants not outstanding
$1,576,457.50 Sold, in full; warrants not outstanding
$1,556,145.00
($25,000.00)
Preferred Stock w/ Exercised Warrants
$4,967,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$1,607,000.00
$0.00
$5,699,100.75 Sold, in full; warrants not outstanding
$26,393.77
$4,494,221.94
($25,000.00)
$53,859.52 Exited bankruptcy/Receivership
($1,607,000.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$10,000,000,000.00
$0.00
$11,418,055,555.44 Redeemed, in full; warrants not outstanding
$2,568,000.00
$0.00
$1,493,750.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$4,717,144.78 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$2,443,320.00
$0.00
$3,868,471.61 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,076,000.00
$0.00
$3,928,001.30 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$9,000,000.00
$6,319,000.00
$0.00
Subordinated Debentures w/ Exercised Warrants
$8,400,000.00
$0.00
$10,000,000,000.00
10,000,000
$1,000.00
$1,348,000.00
2,568
$524.92
$4,000,000.00
4,000
$1,000.00
$200,000.00
200
$2,443,320.00
2,443,320
$1.00
$122,000.00
122,000
$3,076,000.00
2,310,589
$1.70
$15,319,000.00
15,319
$1,000.00
$4,800,000.00
$3,600,000.00
4,800,000
3,600,000
$1.19
$1.19
($1,220,000.00)
$852,001.30
$17,625,917.08 Redeemed, in full; warrants not outstanding
$450,000.00
450
$626,007.69
420,000
$11,306,571.15 Sold, in full; warrants not outstanding
$926,400.00
$694,800.00
($100,212.00)
21
UST0379
UST0102
UST0102
UST0102
UST0180
UST0180
UST0725
UST0725
UST0725
UST0725
UST0715
UST0715
UST0355
UST0355
UST0355
UST0355
UST0654
UST0654
UST0480
UST0480
UST1233
UST1233
UST0422
UST0422
UST0422
UST0422
UST0422
UST0422
UST1243
UST1243
UST1229
UST1229
UST0817
UST0817
UST0236
UST0236
UST0236
UST1273
UST0629
UST0629
UST0264
UST0264
UST0264
UST0264
UST0328
UST0328
UST1328
UST1328
UST0326
UST0326
UST0326
UST0642
UST0642
UST0642
UST0055
UST0055
UST0055
UST0069
UST0069
UST0069
UST0607
UST0607
UST0607
UST0010
UST0010
UST0010
UST0688
UST0688
UST0688
UST0780
UST0780
UST0578
UST0578
UST0295
UST0295
UST0295
UST0295
UST0295
UST0295
UST0086
UST0086
UST0086
UST0756
UST0756
UST0656
UST0656
UST0656
UST0656
UST0656
UST0931
UST0931
UST0931
UST0109
UST0109
UST0109
UST0176
UST0176
UST0176
UST0176
UST0818
UST0818
UST1160
UST1160
UST1160
UST0028
UST0028
UST0028
UST0689
UST0689
UST0689
UST0689
UST0881
UST0881
UST0881
UST0881
UST1163
UST1163
UST0081
UST0081
UST0081
UST0960
UST0960
UST0801
UST0801
UST0485
UST0485
UST0396
45
8,11,14
8,11,14
8
8,68,97
8,14,45
9,15,36
11
17,28,70,97
8,14,45
8,11,14
38
8,9,149
8,11,14
11
131
8,17
45
8,17,45
11
11,16
11
11
8,18,21,44
8,111
8,11,14
11
8
8,14
8,17
11
11,45
8,14,44
8,11,14,18
11
8,14
8,17
9,15,36
12,16
8,14
8,10,11
8,14,44
8,108
AB&T FINANCIAL CORPORATION
GREAT SOUTHERN BANCORP
GREAT SOUTHERN BANCORP
GREAT SOUTHERN BANCORP
GREEN BANKSHARES, INC.
GREEN BANKSHARES, INC.
GREEN CIRCLE INVESTMENTS, INC.
GREEN CIRCLE INVESTMENTS, INC.
GREEN CIRCLE INVESTMENTS, INC.
GREEN CIRCLE INVESTMENTS, INC.
GREEN CITY BANCSHARES, INC.
GREEN CITY BANCSHARES, INC.
GREER BANCSHARES INCORPORATED
GREER BANCSHARES INCORPORATED
GREER BANCSHARES INCORPORATED
GREER BANCSHARES INCORPORATED
GREGG BANCSHARES, INC.
GREGG BANCSHARES, INC.
GUARANTY BANCORP, INC.
GUARANTY BANCORP, INC.
GUARANTY CAPITAL CORPORATION
GUARANTY CAPITAL CORPORATION
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GULFSOUTH PRIVATE BANK
GULFSOUTH PRIVATE BANK
GULFSTREAM BANCSHARES, INC.
GULFSTREAM BANCSHARES, INC.
HAMILTON STATE BANCSHARES, INC.
HAMILTON STATE BANCSHARES, INC.
HAMPTON ROADS BANKSHARES, INC. / XENITH BANKSHARES, INC.
HAMPTON ROADS BANKSHARES, INC. / XENITH BANKSHARES, INC.
HAMPTON ROADS BANKSHARES, INC. / XENITH BANKSHARES, INC.
HARBOR BANKSHARES CORPORATION
HAVILAND BANCSHARES, INC.
HAVILAND BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HCSB FINANCIAL CORPORATION
HCSB FINANCIAL CORPORATION
HEARTLAND BANCSHARES, INC.
HEARTLAND BANCSHARES, INC.
HEARTLAND FINANCIAL USA, INC.
HEARTLAND FINANCIAL USA, INC.
HEARTLAND FINANCIAL USA, INC.
HERITAGE BANKSHARES, INC.
HERITAGE BANKSHARES, INC.
HERITAGE BANKSHARES, INC.
HERITAGE COMMERCE CORP.
HERITAGE COMMERCE CORP.
HERITAGE COMMERCE CORP.
HERITAGE FINANCIAL CORPORATION
HERITAGE FINANCIAL CORPORATION
HERITAGE FINANCIAL CORPORATION
HERITAGE OAKS BANCORP
HERITAGE OAKS BANCORP
HERITAGE OAKS BANCORP
HF FINANCIAL CORP.
HF FINANCIAL CORP.
HF FINANCIAL CORP.
HIGHLANDS BANCORP, INC.
HIGHLANDS BANCORP, INC.
HIGHLANDS BANCORP, INC.
HIGHLANDS INDEPENDENT BANCSHARES, INC.
HIGHLANDS INDEPENDENT BANCSHARES, INC.
HILLTOP COMMUNITY BANCORP, INC.
HILLTOP COMMUNITY BANCORP, INC.
HMN FINANCIAL, INC.
HMN FINANCIAL, INC.
HMN FINANCIAL, INC.
HMN FINANCIAL, INC.
HMN FINANCIAL, INC.
HMN FINANCIAL, INC.
HOME BANCSHARES, INC.
HOME BANCSHARES, INC.
HOME BANCSHARES, INC.
HOMETOWN BANCORP OF ALABAMA, INC.
HOMETOWN BANCORP OF ALABAMA, INC.
HOMETOWN BANCSHARES, INC.
HOMETOWN BANCSHARES, INC.
HOMETOWN BANCSHARES, INC.
HOMETOWN BANCSHARES, INC.
HOMETOWN BANCSHARES, INC.
HOMETOWN BANKSHARES CORPORATION
HOMETOWN BANKSHARES CORPORATION
HOMETOWN BANKSHARES CORPORATION
HOPFED BANCORP
HOPFED BANCORP
HOPFED BANCORP
HORIZON BANCORP
HORIZON BANCORP
HORIZON BANCORP
HORIZON BANCORP
HOWARD BANCORP, INC.
HOWARD BANCORP, INC.
HPK FINANCIAL CORPORATION
HPK FINANCIAL CORPORATION
HPK FINANCIAL CORPORATION
HUNTINGTON BANCSHARES
HUNTINGTON BANCSHARES
HUNTINGTON BANCSHARES
HYPERION BANK
HYPERION BANK
HYPERION BANK
HYPERION BANK
IA BANCORP, INC / INDUS AMERICAN BANK
IA BANCORP, INC / INDUS AMERICAN BANK
IA BANCORP, INC / INDUS AMERICAN BANK
IA BANCORP, INC / INDUS AMERICAN BANK
IBC BANCORP, INC.
IBC BANCORP, INC.
IBERIABANK CORPORATION
IBERIABANK CORPORATION
IBERIABANK CORPORATION
IBT BANCORP, INC.
IBT BANCORP, INC.
IBW FINANCIAL CORPORATION
IBW FINANCIAL CORPORATION
ICB FINANCIAL
ICB FINANCIAL
IDAHO BANCORP
GASTONIA
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
GREENEVILLE
GREENEVILLE
CLIVE
CLIVE
CLIVE
CLIVE
GREEN CITY
GREEN CITY
GREER
GREER
GREER
GREER
OZARK
OZARK
WOODSVILLE
WOODSVILLE
BELZONI
BELZONI
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
DESTIN
DESTIN
STUART
STUART
HOSCHTON
HOSCHTON
NORFOLK
NORFOLK
NORFOLK
BALTIMORE
HAVILAND
HAVILAND
LEE'S SUMMIT
LEE'S SUMMIT
LEE'S SUMMIT
LEE'S SUMMIT
LORIS
LORIS
FRANKLIN
FRANKLIN
DUBUQUE
DUBUQUE
DUBUQUE
NORFOLK
NORFOLK
NORFOLK
SAN JOSE
SAN JOSE
SAN JOSE
OLYMPIA
OLYMPIA
OLYMPIA
PASO ROBLES
PASO ROBLES
PASO ROBLES
SIOUX FALLS
SIOUX FALLS
SIOUX FALLS
VERNON
VERNON
VERNON
SEBRING
SEBRING
SUMMIT
SUMMIT
ROCHESTER
ROCHESTER
ROCHESTER
ROCHESTER
ROCHESTER
ROCHESTER
CONWAY
CONWAY
CONWAY
ONEONTA
ONEONTA
CORBIN
CORBIN
CORBIN
CORBIN
CORBIN
ROANOKE
ROANOKE
ROANOKE
HOPKINSVILLE
HOPKINSVILLE
HOPKINSVILLE
MICHIGAN CITY
MICHIGAN CITY
MICHIGAN CITY
MICHIGAN CITY
ELLICOTT CITY
ELLICOTT CITY
CHICAGO
CHICAGO
CHICAGO
COLUMBUS
COLUMBUS
COLUMBUS
PHILADELPHIA
PHILADELPHIA
PHILADELPHIA
PHILADELPHIA
ISELIN
ISELIN
ISELIN
ISELIN
CHICAGO
CHICAGO
LAFAYETTE
LAFAYETTE
LAFAYETTE
IRVING
IRVING
WASHINGTON
WASHINGTON
ONTARIO
ONTARIO
BOISE
NC
MO
MO
MO
TN
TN
IA
IA
IA
IA
MO
MO
SC
SC
SC
SC
MO
MO
NH
NH
MS
MS
MO
MO
MO
MO
MO
MO
FL
FL
FL
FL
GA
GA
VA
VA
VA
MD
KS
KS
MO
MO
MO
MO
SC
SC
IN
IN
IA
IA
IA
VA
VA
VA
CA
CA
CA
WA
WA
WA
CA
CA
CA
SD
SD
SD
NJ
NJ
NJ
FL
FL
NJ
NJ
MN
MN
MN
MN
MN
MN
AR
AR
AR
AL
AL
KY
KY
KY
KY
KY
VA
VA
VA
KY
KY
KY
IN
IN
IN
IN
MD
MD
IL
IL
IL
OH
OH
OH
PA
PA
PA
PA
NJ
NJ
NJ
NJ
IL
IL
LA
LA
LA
TX
TX
DC
DC
CA
CA
ID
11/19/2013
12/5/2008
8/18/2011
9/21/2011
12/23/2008
9/7/2011
2/27/2009
11/14/2012
1/23/2013
4/24/2013
2/27/2009
7/14/2010
1/30/2009
3/19/2014
6/11/2014
7/23/2014
2/13/2009
7/13/2012
2/20/2009
9/15/2011
9/25/2009
7/30/2010
1/30/2009
6/13/2012
4/26/2013
4/29/2013
5/15/2013
5/31/2013
9/25/2009
10/19/2012
6/26/2009
8/18/2011
2/20/2009
4/13/2011
12/31/2008
4/14/2014
9/13/2017
7/17/2009
3/13/2009
12/29/2010
12/19/2008
5/9/2012
5/15/2013
6/12/2013
3/6/2009
4/11/2016
9/11/2009
7/17/2012
12/19/2008
9/15/2011
9/28/2011
9/25/2009
3/16/2011
8/11/2011
11/21/2008
3/7/2012
6/10/2013
11/21/2008
12/22/2010
8/17/2011
3/20/2009
7/17/2013
8/7/2013
11/21/2008
6/3/2009
6/30/2009
5/8/2009
12/22/2009
9/22/2011
3/6/2009
10/24/2014
1/30/2009
4/21/2010
12/23/2008
2/7/2013
2/8/2013
3/26/2013
5/26/2015
5/28/2015
1/16/2009
7/6/2011
7/27/2011
2/20/2009
8/28/2013
2/13/2009
11/28/2012
11/30/2012
1/11/2013
3/26/2013
9/18/2009
10/31/2012
1/11/2013
12/12/2008
12/19/2012
1/16/2013
12/19/2008
11/10/2010
8/25/2011
11/23/2011
2/27/2009
9/22/2011
5/1/2009
11/13/2009
12/11/2012
11/14/2008
12/22/2010
1/19/2011
2/6/2009
12/20/2012
1/11/2013
3/26/2013
9/18/2009
3/14/2014
3/17/2014
4/25/2014
5/15/2009
9/10/2010
12/5/2008
3/31/2009
5/20/2009
3/27/2009
6/12/2013
3/13/2009
9/3/2010
3/6/2009
11/1/2012
1/16/2009
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$58,000,000.00
$0.00
$815,100.00
2,964
$275.00
$58,000,000.00
58,000
$1,000.00
$68,700,000.00
72,278
$950.50
$800,000.00
$800,000.00
$800,000.00
800
800
800
$651,000.00
$3,150,000.00
$1,980,000.00
$4,863,000.00
($2,148,900.00)
$72,274,419.56 Redeemed, in full; warrants not outstanding
$72,278,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$2,400,000.00
$0.00
$3,036,021.12 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$651,000.00
$0.00
$733,037.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$9,993,000.00
$0.00
$13,693,111.07 Redeemed, in full; warrants not outstanding
$6,436,364.00
909,091
$1,000.00
$1,000.00
$1,000.00
$120,000.00
120
651
$1,000.00
$33,000.00
33
3,150
1,980
4,863
$1,000.00
$1,000.00
$1,000.00
$500,000.00
500
$346,000.00
346
$2,003,250.00
459,459
375
$74,642,857.78 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$825,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$6,920,000.00
$0.00
$8,235,040.33 Redeemed, in full; warrants not outstanding
Subordinated Debentures
$14,000,000.00
$0.00
$14,913,299.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$17,000,000.00
$0.00
$21,887,871.44 Sold, in full; warrants not outstanding
($3,578,000.00)
$45,190.00 Currently Not Collectible
($825,000.00)
$6,920,000.00
6,920
$1,000.00
$14,000,000.00
14,000,000
$1.00
$5,000,000.00
$96,750.00
$11,513,250.00
5,000
100
11,900
$1,000.00
$967.50
$967.50
($3,250.00)
($386,750.00)
($116,100.00)
Preferred Stock w/ Exercised Warrants
$7,500,000.00
$0.00
$757,380.08 Exited bankruptcy/Receivership
($7,500,000.00)
Preferred Stock w/ Exercised Warrants
$7,500,000.00
$0.00
$8,751,541.63 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$7,000,000.00
$0.00
$8,169,165.89 Redeemed, in full; warrants not outstanding
$80,347,000.00
$0.00
$7,461,608.79 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$6,800,000.00
$425,000.00
$6,800,000.00
$0.00
$30,255,000.00
$0.00
$0.00
$1,219,652.00 Sold, in full; warrants not outstanding
$0.00
$8,321,471.08 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$81,698,000.00
$0.00
$94,686,087.22 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,103,000.00
$0.00
$11,353,284.46 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$40,000,000.00
$0.00
$46,901,266.80 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$24,000,000.00
$0.00
$26,953,333.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$21,000,000.00
$0.00
$27,241,335.26 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$25,000,000.00
$0.00
$26,316,666.67 Redeemed, in full; warrants not outstanding
$3,091,000.00
$2,359,000.00
$0.00
$6,211,926.79 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,700,000.00
$0.00
$6,165,312.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$4,467,049.67 Redeemed, in full; warrants not outstanding
$26,000,000.00
$0.00
Preferred Stock w/ Warrants
$1,000.00
$375,000.00
280
$25,000.00
$350,000.00
35
$3,279,764.54
2,089,022
$1.57
$1,671,000.00
75,763
$21,000.00
21
$540,000.00
287,134
($77,067,235.46)
$2,555,361.47 Full investment outstanding; warrants not outstanding
$487,524.22 Redeemed, in full; warrants not outstanding
$7,000,000.00
Preferred Stock w/ Warrants
7,500
$7,000,000.00
$425,000.00
425
$1,000.00
$12,000,000.00
$18,255,000.00
12,000
18,255
$1,000.00
$1,000.00
$128,950.00
12,895
$10.00
$7,000,000.00
7,000
$1,000.00
$81,698,000.00
81,698
$1,000.00
$36,849,504.67 Redeemed, in full; warrants not outstanding
$12,895,000.00
Preferred Stock w/ Exercised Warrants
$7,500,000.00
$2,606,000.00
$7,497,000.00
2,606
7,497
$1,000.00
$1,000.00
$40,000,000.00
40,000
$1,000.00
$24,000,000.00
24,000
$1,000.00
$21,000,000.00
21,000
$1,000.00
$25,000,000.00
25,000
$1,000.00
$5,450,000.00
5,450
$1,000.00
$5,547,600.00
6,700
$828.00
$4,000,000.00
4,000
$1,000.00
$2,561,325.00
$16,197,675.00
3,550
22,450
$721.50
$721.50
$50,000,000.00
50,000
$1,000.00
$3,250,000.00
3,250
$1,000.00
$608,170.50
$1,183,339.50
645
1,255
$942.90
$942.90
($12,766,050.00)
$248,000.00
248
$1,800,000.00
609,687
$303,000.00
303
$140,000.00
462,963
$450,000.00
138,037
$1,575,000.00
611,650
$650,000.00
302,419
$155,000.00
155
$200,000.00
200
$1,843,194.00
$3,686,388.00
277,778
555,555
$1,300,000.00
158,472
$163,000.00
163
($36,829.50)
($71,660.50)
$70,095.00
95
($815,000.00)
$315,461.52
374
$256,257.00
253,666
$1,750,551.00
212,188
($1,152,400.00)
$26,563,769.78 Sold, in full; warrants not outstanding
($988,675.00)
($6,252,325.00)
($187,590.00)
Preferred Stock w/ Warrants
$50,000,000.00
$0.00
$57,480,555.56 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,250,000.00
$0.00
$4,214,202.31 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,900,000.00
$0.00
$2,229,801.03 Sold, in full; warrants not outstanding
($17,915.11)
($7,084.89)
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$11,111,011.94 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$18,400,000.00
$0.00
$22,354,145.89 Redeemed, in full; warrants not outstanding
10,000
$918.50
$18,400,000.00
$9,185,000.00
18,400
$1,000.00
$6,250,000.00
$18,750,000.00
6,250
18,750
$1,000.00
$1,000.00
$5,983,000.00
5,983
$1,000.00
$299,000.00
299
$9,000,000.00
9,000
$1,000.00
$344,000.00
344
$1,398,071,000.00
1,398,071
$1,000.00
$49,100,000.00
23,562,994
$1,008,800.00
1,552
$650.00
($543,200.00)
$25,700.00
78
2,770
3,206
$981.11
$981.11
($52,325.30)
($60,561.34)
$186,513.52
179
$4,205,000.00
4,205,000
$1.00
$90,000,000.00
90,000
$1,000.00
$1,200,000.00
138,490
$2,295,000.00
2,295
$1,000.00
$115,000.00
115
$6,000,000.00
6,000
$1,000.00
$6,000,000.00
6,000
$1,000.00
$300,000.00
300
($91,850.00)
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$29,857,321.83 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,983,000.00
$0.00
$7,119,793.05 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$5,000,000.00
$0.00
$10,940,554.65 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$1,398,071,000.00
$0.00
$1,552,000.00
$0.00
$1,594,356,808.56 Redeemed, in full; warrants not outstanding
$1,337,166.22 Sold, in full; warrants not outstanding
($10,088.00)
($14,912.00)
Preferred Stock w/ Exercised Warrants
$5,976,000.00
$0.00
$6,907,223.22 Sold, in full; warrants not outstanding
Subordinated Debentures
$4,205,000.00
$0.00
$4,632,216.32 Redeemed, in full; warrants not outstanding
$2,717,674.70
$3,145,438.66
($58,631.13)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$90,000,000.00
$0.00
$92,650,000.00 Redeemed, in full; warrants not outstanding
$2,295,000.00
$0.00
$2,936,462.50 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$6,000,000.00
$0.00
$6,453,067.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$0.00
$7,494,458.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,900,000.00
$0.00
$555,673.08 Exited bankruptcy/Receivership
22
UST0379
UST0396
UST1173
UST1173
UST1173
UST0203
UST0203
UST0268
UST0268
UST0268
UST0182
UST0182
UST0928
UST0928
UST0119
UST0119
UST0855
UST0855
UST0062
UST0062
UST0062
UST0136
UST0136
UST0136
UST0136
UST0136
UST0316
UST0316
UST0316
UST0316
UST1142
UST1142
UST0029
UST0029
UST0029
UST0472
UST0472
UST0030
UST0030
UST0030
UST0710
UST0710
UST1294
UST1294
UST1294
UST0526
UST0526
UST0526
UST0343
UST0343
UST0343
UST0343
UST0343
UST0190
UST0190
UST0190
UST1303
UST1303
UST1303
UST1303
UST0302
UST0302
UST0302
UST0215
UST0215
UST0429
UST0429
UST0454
UST0454
UST0760
UST0760
UST1326
UST1326
UST0551
UST0551
UST0611
UST0611
UST0828
UST0828
UST0828
UST0091
UST0091
UST0091
UST0563
UST0563
UST0563
UST0563
UST0267
UST0267
UST0267
UST1256
UST1256
UST0160
UST0160
UST0160
UST0160
UST0803
UST0803
UST0803
UST0697
UST0697
UST0697
UST0278
UST0278
UST0278
UST0278
UST1366
UST1366
UST0423
UST0423
UST0423
UST0080
UST0080
UST0080
UST0895
UST0895
UST0895
UST0895
UST0860
UST0860
UST0860
UST0860
UST0860
UST0750
UST0750
UST0750
UST1188
8,14,18,44
8
11
29
8,22,92,97
11
22,52,97
115
11
15,71,97
11
8,14,44
11
8
8,14
8,11,14,18,36
11
12
8,14
11
8,11,14
9,48,97
8,14,45
8,14,45
8,17
9,11,36
8,133
11
8
11
8,9,17
11
8
8,11,44
8,14
11
14,15
8
8
14,15
AB&T FINANCIAL CORPORATION
IDAHO BANCORP
ILLINOIS STATE BANCORP, INC.
ILLINOIS STATE BANCORP, INC.
ILLINOIS STATE BANCORP, INC.
INDEPENDENCE BANK
INDEPENDENCE BANK
INDEPENDENT BANK CORP.
INDEPENDENT BANK CORP.
INDEPENDENT BANK CORP.
INDEPENDENT BANK CORPORATION
INDEPENDENT BANK CORPORATION
INDIANA BANK CORP.
INDIANA BANK CORP.
INDIANA COMMUNITY BANCORP
INDIANA COMMUNITY BANCORP
INTEGRA BANK CORPORATION
INTEGRA BANK CORPORATION
INTERMOUNTAIN COMMUNITY BANCORP
INTERMOUNTAIN COMMUNITY BANCORP
INTERMOUNTAIN COMMUNITY BANCORP
INTERNATIONAL BANCSHARES CORPORATION
INTERNATIONAL BANCSHARES CORPORATION
INTERNATIONAL BANCSHARES CORPORATION
INTERNATIONAL BANCSHARES CORPORATION
INTERNATIONAL BANCSHARES CORPORATION
INTERVEST BANCSHARES CORPORATION
INTERVEST BANCSHARES CORPORATION
INTERVEST BANCSHARES CORPORATION
INTERVEST BANCSHARES CORPORATION
INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY, INC.
INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY, INC.
JPMORGAN CHASE & CO.
JPMORGAN CHASE & CO.
JPMORGAN CHASE & CO.
KATAHDIN BANKSHARES CORP.
KATAHDIN BANKSHARES CORP.
KEYCORP
KEYCORP
KEYCORP
KIRKSVILLE BANCORP, INC.
KIRKSVILLE BANCORP, INC.
KS BANCORP, INC
KS BANCORP, INC
KS BANCORP, INC
LAFAYETTE BANCORP, INC.
LAFAYETTE BANCORP, INC.
LAFAYETTE BANCORP, INC.
LAKELAND BANCORP, INC.
LAKELAND BANCORP, INC.
LAKELAND BANCORP, INC.
LAKELAND BANCORP, INC.
LAKELAND BANCORP, INC.
LAKELAND FINANCIAL CORPORATION
LAKELAND FINANCIAL CORPORATION
LAKELAND FINANCIAL CORPORATION
LAYTON PARK FINANCIAL GROUP, INC.
LAYTON PARK FINANCIAL GROUP, INC.
LAYTON PARK FINANCIAL GROUP, INC.
LAYTON PARK FINANCIAL GROUP, INC.
LCNB CORP.
LCNB CORP.
LCNB CORP.
LEADER BANCORP, INC.
LEADER BANCORP, INC.
LEGACY BANCORP, INC.
LEGACY BANCORP, INC.
LIBERTY BANCSHARES, INC. (AR)
LIBERTY BANCSHARES, INC. (AR)
LIBERTY BANCSHARES, INC. (MO)
LIBERTY BANCSHARES, INC. (MO)
LIBERTY BANCSHARES, INC. (TX)
LIBERTY BANCSHARES, INC. (TX)
LIBERTY FINANCIAL SERVICES, INC.
LIBERTY FINANCIAL SERVICES, INC.
LIBERTY SHARES, INC.
LIBERTY SHARES, INC.
LINCOLN NATIONAL CORPORATION
LINCOLN NATIONAL CORPORATION
LINCOLN NATIONAL CORPORATION
LNB BANCORP, INC.
LNB BANCORP, INC.
LNB BANCORP, INC.
LONE STAR BANK
LONE STAR BANK
LONE STAR BANK
LONE STAR BANK
LSB CORPORATION
LSB CORPORATION
LSB CORPORATION
M&F BANCORP, INC.
M&F BANCORP, INC.
M&T BANK CORPORATION
M&T BANK CORPORATION
M&T BANK CORPORATION
M&T BANK CORPORATION
MACKINAC FINANCIAL CORPORATION
MACKINAC FINANCIAL CORPORATION
MACKINAC FINANCIAL CORPORATION
MADISON FINANCIAL CORPORATION
MADISON FINANCIAL CORPORATION
MADISON FINANCIAL CORPORATION
MAGNA BANK
MAGNA BANK
MAGNA BANK
MAGNA BANK
MAINLINE BANCORP, INC.
MAINLINE BANCORP, INC.
MAINSOURCE FINANCIAL GROUP, INC.
MAINSOURCE FINANCIAL GROUP, INC.
MAINSOURCE FINANCIAL GROUP, INC.
MANHATTAN BANCORP
MANHATTAN BANCORP
MANHATTAN BANCORP
MANHATTAN BANCSHARES, INC.
MANHATTAN BANCSHARES, INC.
MANHATTAN BANCSHARES, INC.
MANHATTAN BANCSHARES, INC.
MARINE BANK & TRUST COMPANY
MARINE BANK & TRUST COMPANY
MARINE BANK & TRUST COMPANY
MARINE BANK & TRUST COMPANY
MARINE BANK & TRUST COMPANY
MARKET BANCORPORATION, INC.
MARKET BANCORPORATION, INC.
MARKET BANCORPORATION, INC.
MARKET STREET BANCSHARES, INC.
GASTONIA
BOISE
CHICAGO
CHICAGO
CHICAGO
EAST GREENWICH
EAST GREENWICH
ROCKLAND
ROCKLAND
ROCKLAND
IONIA
IONIA
DANA
DANA
COLUMBUS
COLUMBUS
EVANSVILLE
EVANSVILLE
SANDPOINT
SANDPOINT
SANDPOINT
LAREDO
LAREDO
LAREDO
LAREDO
LAREDO
NEW YORK
NEW YORK
NEW YORK
NEW YORK
SEDALIA
SEDALIA
NEW YORK
NEW YORK
NEW YORK
HOULTON
HOULTON
CLEVELAND
CLEVELAND
CLEVELAND
KIRKSVILLE
KIRKSVILLE
SMITHFIELD
SMITHFIELD
SMITHFIELD
OXFORD
OXFORD
OXFORD
OAK RIDGE
OAK RIDGE
OAK RIDGE
OAK RIDGE
OAK RIDGE
WARSAW
WARSAW
WARSAW
MILWAUKEE
MILWAUKEE
MILWAUKEE
MILWAUKEE
LEBANON
LEBANON
LEBANON
ARLINGTON
ARLINGTON
MILWAUKEE
MILWAUKEE
JONESBORO
JONESBORO
SPRINGFIELD
SPRINGFIELD
FORT WORTH
FORT WORTH
NEW ORLEANS
NEW ORLEANS
HINESVILLE
HINESVILLE
RADNOR
RADNOR
RADNOR
LORAIN
LORAIN
LORAIN
HOUSTON
HOUSTON
HOUSTON
HOUSTON
NORTH ANDOVER
NORTH ANDOVER
NORTH ANDOVER
DURHAM
DURHAM
BUFFALO
BUFFALO
BUFFALO
BUFFALO
MANISTIQUE
MANISTIQUE
MANISTIQUE
RICHMOND
RICHMOND
RICHMOND
MEMPHIS
MEMPHIS
MEMPHIS
MEMPHIS
EBENSBURG
EBENSBURG
GREENSBURG
GREENSBURG
GREENSBURG
EL SEGUNDO
EL SEGUNDO
EL SEGUNDO
MANHATTAN
MANHATTAN
MANHATTAN
MANHATTAN
VERO BEACH
VERO BEACH
VERO BEACH
VERO BEACH
VERO BEACH
NEW MARKET
NEW MARKET
NEW MARKET
MT. VERNON
NC
ID
IL
IL
IL
RI
RI
MA
MA
MA
MI
MI
IN
IN
IN
IN
IN
IN
ID
ID
ID
TX
TX
TX
TX
TX
NY
NY
NY
NY
MO
MO
NY
NY
NY
ME
ME
OH
OH
OH
MO
MO
NC
NC
NC
MS
MS
MS
NJ
NJ
NJ
NJ
NJ
IN
IN
IN
WI
WI
WI
WI
OH
OH
OH
MA
MA
WI
WI
AR
AR
MO
MO
TX
TX
LA
LA
GA
GA
PA
PA
PA
OH
OH
OH
TX
TX
TX
TX
MA
MA
MA
NC
NC
NY
NY
NY
NY
MI
MI
MI
KY
KY
KY
TN
TN
TN
TN
PA
PA
IN
IN
IN
CA
CA
CA
IL
IL
IL
IL
FL
FL
FL
FL
FL
MN
MN
MN
IL
11/19/2013
4/24/2014
5/22/2009
12/29/2009
9/22/2011
1/9/2009
10/16/2013
1/9/2009
4/22/2009
5/27/2009
12/12/2008
8/30/2013
4/24/2009
4/9/2013
12/12/2008
9/12/2012
2/27/2009
7/29/2011
12/19/2008
11/20/2013
10/31/2014
12/23/2008
7/11/2012
11/1/2012
11/28/2012
6/11/2013
12/23/2008
6/24/2013
7/26/2013
9/3/2014
5/8/2009
10/19/2012
10/28/2008
6/17/2009
12/16/2009
1/30/2009
8/18/2011
11/14/2008
3/30/2011
4/20/2011
3/20/2009
3/19/2014
8/21/2009
11/30/2012
1/11/2013
2/20/2009
12/29/2009
9/29/2010
2/6/2009
8/4/2010
3/16/2011
2/8/2012
2/29/2012
2/27/2009
6/9/2010
11/22/2011
12/18/2009
11/29/2012
1/11/2013
3/26/2013
1/9/2009
10/21/2009
11/22/2011
12/23/2008
11/24/2010
1/30/2009
3/11/2011
1/23/2009
7/21/2011
2/13/2009
8/18/2011
12/4/2009
1/14/2015
2/6/2009
9/24/2010
2/20/2009
6/30/2016
7/10/2009
6/30/2010
9/22/2010
12/12/2008
6/19/2012
7/18/2012
2/6/2009
12/3/2014
12/4/2014
1/9/2015
12/12/2008
11/18/2009
12/16/2009
6/26/2009
8/20/2010
12/23/2008
5/18/2011
8/21/2012
12/17/2012
4/24/2009
8/29/2012
12/19/2012
3/13/2009
11/19/2013
1/6/2014
12/23/2008
11/24/2009
6/8/2011
8/18/2011
12/29/2009
3/9/2012
1/16/2009
4/3/2012
6/11/2013
12/5/2008
9/16/2009
10/14/2009
6/19/2009
12/10/2012
12/11/2012
1/11/2013
3/6/2009
7/1/2014
7/2/2014
7/3/2014
9/26/2014
2/20/2009
7/2/2014
9/26/2014
5/15/2009
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$6,272,000.00
$4,000,000.00
$0.00
$1,065,000.00
$0.00
$1,394,723.17 Redeemed, in full; warrants not outstanding
$78,158,000.00
$0.00
$81,476,093.61 Redeemed, in full; warrants not outstanding
$815,100.00
2,964
$72,000,000.00
$0.00
$1,312,000.00
$0.00
Preferred Stock w/ Warrants
$21,500,000.00
$0.00
$10,272,000.00
10,272
$1,000.00
$406,000.00
$1,065,000.00
1,065
$1,000.00
$53,000.00
53
$78,158,000.00
78,158
$1,000.00
$2,200,000.00
481,664
($2,148,900.00)
($6,900,000.00)
Preferred Stock w/ Warrants
$83,586,000.00
$0.00
Preferred Stock w/ Warrants
$27,000,000.00
$0.00
$33,955,519.23 Redeemed, in full; warrants not outstanding
$1,800,000.00
188,707
Preferred Stock w/ Warrants
$216,000,000.00
$0.00
$261,538,649.89 Redeemed, in full; warrants not outstanding
$10,635.00
65,323
$4,018,511.00
1,326,238
$2,892,066.00
691,882
$936,063,469.11
88,401,697
406
$83,430,000.00 Redeemed, in full; warrants not outstanding
$72,000,000.00
Preferred Stock w/ Exercised Warrants
$275.00
$11,836,113.40 Redeemed, in full; warrants not outstanding
72,000
$1,000.00
$2,426,000.00
$165,139.00 Exited bankruptcy/Receivership
($1,312,000.00)
$27,331,250.00 Redeemed, in full; warrants not outstanding
$21,500,000.00
21,500
$1,000.00
$1,950,340.00 Currently Not Collectible
($83,586,000.00)
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$27,000,000.00
27,000
$1,000.00
$40,000,000.00
$45,000,000.00
$131,000,000.00
40,000
45,000
131,000
$1,000.00
$1,000.00
$1,000.00
25,000
$970.00
$32,927,621.56 Sold, in full; warrants not outstanding
$24,250,000.00
($750,000.00)
($242,500.00)
Subordinated Debentures w/ Exercised Warrants
$4,000,000.00
$0.00
$25,000,000,000.00
$0.00
$26,731,202,358.00 Redeemed, in full; warrants not outstanding
$174,324.60 Currently Not Collectible
$10,449,000.00
$0.00
$12,423,046.75 Redeemed, in full; warrants not outstanding
($4,000,000.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$2,500,000,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$470,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$25,000,000,000.00
2,500,000
$10,000.00
$10,449,000.00
10,449
$1,000.00
$2,500,000,000.00
25,000
$100,000.00
$522,000.00
522
$70,000,000.00
35,244,361
$2,867,222,222.22 Redeemed, in full; warrants not outstanding
$622,228.44 Redeemed, in full; warrants not outstanding
$470,000.00
470
$1,000.00
4,000
$827.00
$24,000.00
24
$140,400.00
200
$100,000.00
100
$4,137,336.64 Sold, in full; warrants not outstanding
$3,308,000.00
($692,000.00)
($25,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$1,998,000.00
$2,453,000.00
$0.00
$4,818,134.50 Redeemed, in full; warrants not outstanding
$59,000,000.00
$0.00
$68,260,833.33 Redeemed, in full; warrants not outstanding
$56,044,000.00
$0.00
$4,451,000.00
4,451
$1,000.00
$20,000,000.00
$20,000,000.00
$19,000,000.00
20,000
20,000
19,000
$1,000.00
$1,000.00
$1,000.00
$56,044,000.00
56,044
$1,000.00
$2,800,000.00
997,050
$877,557.00
198,269
$104,375.00
150
$60,517,713.33 Redeemed, in full; warrants not outstanding
$3,000,000.00
$0.00
$2,932,162.50 Sold, in full; warrants not outstanding
$13,400,000.00
$0.00
$14,527,390.33 Redeemed, in full; warrants not outstanding
$5,830,000.00
$0.00
$6,731,961.06 Redeemed, in full; warrants not outstanding
$2,370,930.00
3,000
$790.31
($629,070.00)
($23,709.29)
($1,290.71)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock
$5,498,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$57,500,000.00
$0.00
$68,191,965.77 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$21,900,000.00
$0.00
$25,995,452.08 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,500,000.00
$0.00
$8,447,271.11 Redeemed, in full; warrants not outstanding
Preferred Stock
$5,645,000.00
$0.00
$6,106,008.58 Redeemed, in full; warrants not outstanding
$17,280,000.00
$0.00
$4,999,560.00 Sold, in full; warrants not outstanding
$950,000,000.00
$0.00
$13,400,000.00
13,400
$1,000.00
$5,830,000.00
5,830
$1,000.00
$602,557.00
217,063
$292,000.00
292
$355,079.00 Currently Not Collectible
($5,498,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$25,223,000.00
$0.00
$57,500,000.00
57,500
$1,000.00
$2,875,000.00
2,875
$21,900,000.00
21,900
$1,000.00
$1,095,000.00
1,095
$6,500,000.00
6,500
$1,000.00
$196,000.00
196
$5,645,000.00
5,645
$1,000.00
$3,600,000.00
480,000
$7.50
$950,000,000.00
950,000
$1,000.00
$213,671,319.20
13,049,451
25,223
$869.17
$860,326.00
561,343
$67,401.54
154
$560,000.00
209,497
$31,838,761.34
1,218,522
$1,300,000.00
398,734
$182,878.45
169
$26,893,046.60 Sold, in full; warrants not outstanding
$21,923,074.91
Preferred Stock w/ Exercised Warrants
$3,072,000.00
$0.00
($13,680,000.00)
$1,209,851,873.70 Redeemed, in full; warrants not outstanding
($328,846.12)
($3,299,925.09)
$1,950,881.54 Sold, in full; warrants not outstanding
$1,195,906.25
$712,573.75
1,925
1,147
$621.25
$621.25
$15,000,000.00
15,000
$1,000.00
$11,735,000.00
11,735
$1,000.00
$370,000,000.00
$230,000,000.00
370,000
230,000
$1,000.00
$1,000.00
11,000
$958.09
($729,093.75)
($434,426.25)
($25,000.00)
Preferred Stock w/ Warrants
Preferred Stock
$15,000,000.00
$0.00
$16,260,000.00 Redeemed, in full; warrants not outstanding
$11,735,000.00
$0.00
$12,409,762.50 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$600,000,000.00
$0.00
$718,392,161.34 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$11,000,000.00
$0.00
$13,521,828.15 Sold, in full; warrants not outstanding
$10,538,990.00
Preferred Stock w/ Exercised Warrants
$3,370,000.00
$0.00
($158,084.85)
($461,010.00)
$3,773,495.65 Sold, in full; warrants not outstanding
$3,370,000.00
3,370
$1,022.61
$76,195.70
$3,455,000.00
$3,455,000.00
$6,885,000.00
3,455
3,455
6,885
$1,000.00
$1,000.00
$1,000.00
$690,000.00
690
$4,500,000.00
4,500
$1,000.00
$225,000.00
225
$1,512,177.00
571,906
($25,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$13,795,000.00
$0.00
$4,500,000.00
$0.00
Preferred Stock w/ Warrants
$57,000,000.00
$0.00
Preferred Stock w/ Warrants
$1,700,000.00
$0.00
$16,146,467.87 Redeemed, in full; warrants not outstanding
$5,263,187.50 Redeemed, in full; warrants not outstanding
$62,949,121.28 Sold, in full; warrants not outstanding
$53,073,270.00
($796,099.05)
$1,700,000.00
Subordinated Debentures w/ Exercised Warrants
$2,639,000.00
$0.00
57,000
$931.11
1,700
$1,000.00
($3,926,730.00)
$1,829,711.12 Redeemed, in full; warrants not outstanding
$63,363.90
29,480
$3,438,793.11 Sold, in full; warrants not outstanding
$2,586,404.73
2,639,000
$0.98
($52,595.27)
$11,385.02
$95,959.50
14,000
118,000
2,246
722
32
$670.00
$670.00
$670.00
($741,180.00)
($238,260.00)
($10,560.00)
$55,870.00
$19,126.67
$503.33
111
38
1
2,060
$1,210.03
$108,471.52
103
($25,000.00)
Preferred Stock w/ Exercised Warrants
$3,000,000.00
$0.00
$2,296,213.00 Sold, in full; warrants not outstanding
$1,504,820.00
$483,740.00
$21,440.00
($25,000.00)
Preferred Stock w/ Exercised Warrants
$2,060,000.00
$0.00
$2,714,911.32 Sold, in full; warrants not outstanding
$20,300,000.00
$0.00
$24,429,245.84 Sold, in full; warrants not outstanding
$2,060,000.00
$432,661.80
($25,000.00)
Subordinated Debentures w/ Exercised Warrants
23
UST0379
UST1188
UST1188
UST1188
UST0167
UST0167
UST0167
UST0167
UST0167
UST0039
UST0039
UST1047
UST1047
UST1047
UST0049
UST0049
UST0049
UST0914
UST0914
UST0759
UST0759
UST0759
UST0449
UST0449
UST0449
UST0449
UST0517
UST0517
UST0635
UST0635
UST1164
UST1164
UST0791
UST0791
UST0791
UST0791
UST0601
UST0601
UST0601
UST0601
UST0440
UST0440
UST0440
UST1261
UST1261
UST1088
UST1088
UST1088
UST1088
UST0138
UST0138
UST0138
UST0319
UST0319
UST0319
UST0398
UST0398
UST0370
UST0370
UST0370
UST0883
UST0883
UST0883
UST0045
UST0045
UST0659
UST0659
UST0243
UST0243
UST0243
UST0740
UST0740
UST0915
UST0915
UST0170
UST0170
UST0139
UST0139
UST0227
UST0227
UST0447
UST0447
UST0233
UST0233
UST0233
UST0901
UST0901
UST0600
UST0600
UST0018
UST0018
UST0018
UST0532
UST0532
UST0401
UST0401
UST0401
UST1293
UST1293
UST1293
UST0819
UST0819
UST0290
UST0290
UST0290
UST0939
UST0939
UST0088
UST0088
UST0088
UST0544
UST0544
UST0544
UST0544
UST0189
UST0189
UST0189
UST1333
UST1333
UST1262
UST1262
UST0301
UST0301
UST1250
UST1250
UST0228
UST0228
8,14
43
8
11
8,14,45
8,14,18,44
11
8,14,44
8,14,56
8,14,44
8,18
8,14
8,42
8,18
11
12
8,11,14
44
8
22,27,97
8,11,14
11
8,11,14
8
9,11
9,11,36
8,11,14
98
12,16
8,14,45
8,14,44
11
8,11,14
8,11,14
8,14
8,11,14
45
8
11,59
8,14
11,16
11,14,15
8,42
8,119
11,14,15
44
AB&T FINANCIAL CORPORATION
MARKET STREET BANCSHARES, INC.
MARKET STREET BANCSHARES, INC.
MARKET STREET BANCSHARES, INC.
MARQUETTE NATIONAL CORPORATION
MARQUETTE NATIONAL CORPORATION
MARQUETTE NATIONAL CORPORATION
MARQUETTE NATIONAL CORPORATION
MARQUETTE NATIONAL CORPORATION
MARSHALL & ILSLEY CORPORATION
MARSHALL & ILSLEY CORPORATION
MARYLAND FINANCIAL BANK
MARYLAND FINANCIAL BANK
MARYLAND FINANCIAL BANK
MB FINANCIAL INC.
MB FINANCIAL INC.
MB FINANCIAL INC.
MCLEOD BANCSHARES, INC.
MCLEOD BANCSHARES, INC.
MEDALLION BANK
MEDALLION BANK
MEDALLION BANK
MERCANTILE BANK CORPORATION
MERCANTILE BANK CORPORATION
MERCANTILE BANK CORPORATION
MERCANTILE BANK CORPORATION
MERCANTILE CAPITAL CORPORATION
MERCANTILE CAPITAL CORPORATION
MERCHANTS & PLANTERS BANCSHARES, INC.
MERCHANTS & PLANTERS BANCSHARES, INC.
MERCHANTS AND MANUFACTURERS BANK CORPORATION
MERCHANTS AND MANUFACTURERS BANK CORPORATION
MERIDIAN BANK
MERIDIAN BANK
MERIDIAN BANK
MERIDIAN BANK
METRO CITY BANK
METRO CITY BANK
METRO CITY BANK
METRO CITY BANK
METROCORP BANCSHARES, INC.
METROCORP BANCSHARES, INC.
METROCORP BANCSHARES, INC.
METROPOLITAN BANK GROUP, INC.
METROPOLITAN BANK GROUP, INC.
METROPOLITAN CAPITAL BANCORP, INC.
METROPOLITAN CAPITAL BANCORP, INC.
METROPOLITAN CAPITAL BANCORP, INC.
METROPOLITAN CAPITAL BANCORP, INC.
MID PENN BANCORP, INC./MID PENN BANK
MID PENN BANCORP, INC./MID PENN BANK
MID PENN BANCORP, INC./MID PENN BANK
MIDDLEBURG FINANCIAL CORPORATION
MIDDLEBURG FINANCIAL CORPORATION
MIDDLEBURG FINANCIAL CORPORATION
MIDLAND STATES BANCORP, INC.
MIDLAND STATES BANCORP, INC.
MIDSOUTH BANCORP, INC.
MIDSOUTH BANCORP, INC.
MIDSOUTH BANCORP, INC.
MIDTOWN BANK & TRUST COMPANY
MIDTOWN BANK & TRUST COMPANY
MIDTOWN BANK & TRUST COMPANY
MIDWEST BANC HOLDINGS, INC.
MIDWEST BANC HOLDINGS, INC.
MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE
MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE
MIDWESTONE FINANCIAL GROUP, INC.
MIDWESTONE FINANCIAL GROUP, INC.
MIDWESTONE FINANCIAL GROUP, INC.
MID-WISCONSIN FINANCIAL SERVICES, INC.
MID-WISCONSIN FINANCIAL SERVICES, INC.
MILLENNIUM BANCORP, INC.
MILLENNIUM BANCORP, INC.
MISSION COMMUNITY BANCORP
MISSION COMMUNITY BANCORP
MISSION VALLEY BANCORP
MISSION VALLEY BANCORP
MONADNOCK BANCORP, INC.
MONADNOCK BANCORP, INC.
MONARCH COMMUNITY BANCORP, INC.
MONARCH COMMUNITY BANCORP, INC.
MONARCH FINANCIAL HOLDINGS, INC.
MONARCH FINANCIAL HOLDINGS, INC.
MONARCH FINANCIAL HOLDINGS, INC.
MONEYTREE CORPORATION
MONEYTREE CORPORATION
MONUMENT BANK
MONUMENT BANK
MORGAN STANLEY
MORGAN STANLEY
MORGAN STANLEY
MORRILL BANCSHARES, INC.
MORRILL BANCSHARES, INC.
MOSCOW BANCSHARES, INC.
MOSCOW BANCSHARES, INC.
MOSCOW BANCSHARES, INC.
MOUNTAIN VALLEY BANCSHARES, INC.
MOUNTAIN VALLEY BANCSHARES, INC.
MOUNTAIN VALLEY BANCSHARES, INC.
MS FINANCIAL, INC.
MS FINANCIAL, INC.
MUTUALFIRST FINANCIAL, INC.
MUTUALFIRST FINANCIAL, INC.
MUTUALFIRST FINANCIAL, INC.
NAPLES BANCORP, INC.
NAPLES BANCORP, INC.
NARA BANCORP, INC. / BBCN BANCORP, INC.
NARA BANCORP, INC. / BBCN BANCORP, INC.
NARA BANCORP, INC. / BBCN BANCORP, INC.
NATIONAL BANCSHARES, INC.
NATIONAL BANCSHARES, INC.
NATIONAL BANCSHARES, INC.
NATIONAL BANCSHARES, INC.
NATIONAL PENN BANCSHARES, INC.
NATIONAL PENN BANCSHARES, INC.
NATIONAL PENN BANCSHARES, INC.
NATIONWIDE BANKSHARES, INC.
NATIONWIDE BANKSHARES, INC.
NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC.
NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC.
NCAL BANCORP
NCAL BANCORP
NEMO BANCSHARES, INC.
NEMO BANCSHARES, INC.
NEW HAMPSHIRE THRIFT BANCSHARES, INC.
NEW HAMPSHIRE THRIFT BANCSHARES, INC.
GASTONIA
MT. VERNON
MT. VERNON
MT. VERNON
CHICAGO
CHICAGO
CHICAGO
CHICAGO
CHICAGO
MILWAUKEE
MILWAUKEE
TOWSON
TOWSON
TOWSON
CHICAGO
CHICAGO
CHICAGO
SHOREWOOD
SHOREWOOD
SALT LAKE CITY
SALT LAKE CITY
SALT LAKE CITY
GRAND RAPIDS
GRAND RAPIDS
GRAND RAPIDS
GRAND RAPIDS
BOSTON
BOSTON
TOONE
TOONE
JOLIET
JOLIET
DEVON
DEVON
DEVON
DEVON
DORAVILLE
DORAVILLE
DORAVILLE
DORAVILLE
HOUSTON
HOUSTON
HOUSTON
CHICAGO
CHICAGO
CHICAGO
CHICAGO
CHICAGO
CHICAGO
MILLERSBURG
MILLERSBURG
MILLERSBURG
MIDDLEBURG
MIDDLEBURG
MIDDLEBURG
EFFINGHAM
EFFINGHAM
LAFAYETTE
LAFAYETTE
LAFAYETTE
ATLANTA
ATLANTA
ATLANTA
MELROSE PARK
MELROSE PARK
FESTUS
FESTUS
IOWA CITY
IOWA CITY
IOWA CITY
MEDFORD
MEDFORD
EDWARDS
EDWARDS
SAN LUIS OBISPO
SAN LUIS OBISPO
SUN VALLEY
SUN VALLEY
PETERBOROUGH
PETERBOROUGH
COLDWATER
COLDWATER
CHESAPEAKE
CHESAPEAKE
CHESAPEAKE
LENOIR CITY
LENOIR CITY
BETHESDA
BETHESDA
NEW YORK
NEW YORK
NEW YORK
MERRIAM
MERRIAM
MOSCOW
MOSCOW
MOSCOW
CLEVELAND
CLEVELAND
CLEVELAND
KINGWOOD
KINGWOOD
MUNCIE
MUNCIE
MUNCIE
NAPLES
NAPLES
LOS ANGELES
LOS ANGELES
LOS ANGELES
BETTENDORF
BETTENDORF
BETTENDORF
BETTENDORF
BOYERTOWN
BOYERTOWN
BOYERTOWN
WEST POINT
WEST POINT
CHICAGO
CHICAGO
LOS ANGELES
LOS ANGELES
MADISON
MADISON
NEWPORT
NEWPORT
NC
IL
IL
IL
IL
IL
IL
IL
IL
WI
WI
MD
MD
MD
IL
IL
IL
MN
MN
UT
UT
UT
MI
MI
MI
MI
MA
MA
TN
TN
IL
IL
PA
PA
PA
PA
GA
GA
GA
GA
TX
TX
TX
IL
IL
IL
IL
IL
IL
PA
PA
PA
VA
VA
VA
IL
IL
LA
LA
LA
GA
GA
GA
IL
IL
MO
MO
IA
IA
IA
WI
WI
CO
CO
CA
CA
CA
CA
NH
NH
MI
MI
VA
VA
VA
TN
TN
MD
MD
NY
NY
NY
KS
KS
TN
TN
TN
GA
GA
GA
TX
TX
IN
IN
IN
FL
FL
CA
CA
CA
IA
IA
IA
IA
PA
PA
PA
NE
NE
IL
IL
CA
CA
MO
MO
NH
NH
11/19/2013
8/9/2012
8/10/2012
9/11/2012
12/19/2008
8/7/2012
8/9/2012
8/10/2012
9/11/2012
11/14/2008
7/5/2011
3/27/2009
7/2/2014
9/26/2014
12/5/2008
3/14/2012
5/2/2012
11/20/2009
8/18/2011
2/27/2009
12/22/2009
7/21/2011
5/15/2009
4/4/2012
6/6/2012
7/3/2012
2/6/2009
8/4/2011
3/6/2009
9/7/2011
6/19/2009
9/8/2011
2/13/2009
12/11/2009
3/17/2014
4/25/2014
1/30/2009
10/29/2012
11/1/2012
1/11/2013
1/16/2009
7/3/2012
6/11/2013
6/26/2009
6/28/2013
4/10/2009
11/20/2009
6/29/2015
8/6/2015
12/19/2008
12/28/2012
1/23/2013
1/30/2009
12/23/2009
11/18/2011
1/23/2009
12/23/2009
1/9/2009
8/25/2011
11/22/2011
2/27/2009
11/19/2013
1/6/2014
12/5/2008
5/14/2010
2/13/2009
11/10/2009
2/6/2009
7/6/2011
7/27/2011
2/20/2009
4/26/2013
4/3/2009
8/14/2012
1/9/2009
12/28/2011
12/23/2008
8/20/2010
12/19/2008
12/28/2012
2/6/2009
11/15/2013
12/19/2008
12/23/2009
2/10/2010
3/13/2009
9/15/2011
1/30/2009
8/11/2011
10/28/2008
6/17/2009
8/12/2009
1/16/2009
7/20/2011
1/23/2009
4/25/2012
12/5/2012
9/25/2009
7/22/2013
9/12/2013
3/27/2009
10/19/2011
12/23/2008
8/25/2011
9/28/2011
3/27/2009
7/12/2012
11/21/2008
6/27/2012
8/8/2012
2/27/2009
2/19/2013
2/20/2013
3/26/2013
12/12/2008
3/16/2011
4/13/2011
12/11/2009
12/29/2010
6/26/2009
6/28/2013
12/19/2008
12/10/2014
6/19/2009
4/24/2013
1/16/2009
8/25/2011
$815,100.00
$17,919,962.10
$331,767.90
2,964
19,931,000
369,000
$275.00
$0.90
$0.90
($2,148,900.00)
($2,011,037.90)
($37,232.10)
$727,225.54
$97,505.10
895,000
120,000
3,514
8,198
23,788
$720.25
$720.25
$720.25
($983,041.50)
($2,293,390.50)
($6,654,693.00)
$142,974.56
$1,054,743.77
$252,452.23
175
1,291
309
1,715,000
$1,000.00
$3,250,000.00
13,815,789
1,700
$310.00
$1,775.00
85
$196,000,000.00
196,000
$1,000.00
$1,518,072.00
506,024
$6,000,000.00
600
$10,000.00
$300,000.00
30
$21,498,000.00
21,498
$1,000.00
$645,000.00
645
$10,500,000.00
$10,500,000.00
10,500
10,500
$1,000.00
$1,000.00
$7,465,100.00
616,438
$3,500,000.00
3,500
$1,000.00
$175,000.00
175
$1,881,000.00
1,881
$1,000.00
$94,000.00
94
$3,510,000.00
3,510
$1,000.00
$176,000.00
176
($182,517.30)
Preferred Stock w/ Exercised Warrants
$35,500,000.00
$0.00
$33,835,943.42 Sold, in full; warrants not outstanding
$2,530,958.50
$5,904,609.50
$17,133,307.00
($255,688.75)
Preferred Stock w/ Warrants
$1,715,000,000.00
$0.00
$1,944,772,916.66 Redeemed, in full; warrants not outstanding
$1,700,000.00
$0.00
$817,240.50 Sold, in full; warrants not outstanding
$1,715,000,000.00
Preferred Stock w/ Exercised Warrants
$527,000.00
($1,173,000.00)
($25,000.00)
Preferred Stock w/ Warrants
$196,000,000.00
$0.00
$229,613,072.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$0.00
$6,870,433.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$11,800,000.00
$9,698,000.00
$0.00
$24,460,674.81 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$21,000,000.00
$0.00
$31,631,120.56 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,500,000.00
$0.00
$4,150,815.03 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,881,000.00
$0.00
$2,231,560.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,510,000.00
$0.00
$4,110,668.47 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,200,000.00
$6,335,000.00
$0.00
$13,582,165.84 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$7,700,000.00
$0.00
$8,806,297.80 Sold, in full; warrants not outstanding
$10,328,152.35
12,535
$823.95
($2,206,847.65)
$262,399.50
310
29
7,671
$900.10
$900.10
($2,897.10)
($766,332.90)
$369,948.00
385
45,000
$981.17
($847,350.00)
$2,087,368.00
771,429
71,526
$331.61
($47,807,458.05)
4,388
$942.49
($252,344.76)
10,000
$1,000.00
($103,281.52)
$26,102.90
$6,904,667.10
($69,307.70)
Preferred Stock w/ Warrants
$45,000,000.00
$0.00
$53,406,628.25 Sold, in full; warrants not outstanding
$44,152,650.00
Preferred Stock w/ Exercised Warrants
$71,526,000.00
$0.00
$27,172,726.72 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,040,000.00
$2,348,000.00
$0.00
$5,663,197.28 Sold, in full; warrants not outstanding
$10,000,000.00
$0.00
($662,289.75)
$23,718,541.95
$4,135,655.24
$84,445.94
102
$58,479.20
73,099
$301,001.00
104,101
($33,333.34)
Preferred Stock w/ Warrants
$12,070,979.20 Redeemed, in full; warrants not outstanding
$10,000,000.00
Preferred Stock w/ Warrants
$22,000,000.00
$0.00
$23,287,945.11 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,189,000.00
$0.00
$11,206,989.34 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$20,000,000.00
$0.00
$5,222,000.00
$0.00
$84,784,000.00
$0.00
$22,000,000.00
22,000
$1,000.00
$10,189,000.00
10,189
$1,000.00
$20,000,000.00
20,000
$1,000.00
$509,000.00
509
$206,557.00
104,384
$136,833.05
261
$22,834,334.78 Redeemed, in full; warrants not outstanding
$3,520,137.55 Sold, in full; warrants not outstanding
$3,133,200.00
5,222
$600.00
($2,088,800.00)
($25,000.00)
Preferred Stock w/ Warrants
$824,288.89 Exited bankruptcy/Receivership
($84,784,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$700,000.00
$0.00
$763,294.14 Redeemed, in full; warrants not outstanding
$16,000,000.00
$0.00
$18,933,333.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$7,260,000.00
$0.00
$4,296,561.73 Sold, in full; warrants not outstanding
Preferred Stock
$5,116,000.00
$0.00
$5,875,583.89 Redeemed, in full; warrants not outstanding
Preferred Stock
$5,500,000.00
$0.00
$5,956,041.66 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,834,000.00
$0.00
$2,339,348.60 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$6,785,000.00
$0.00
$4,808,121.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$14,700,000.00
$0.00
$15,703,166.66 Redeemed, in full; warrants not outstanding
$9,516,000.00
$0.00
$11,291,481.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$4,734,000.00
$0.00
$5,623,958.50 Redeemed, in full; warrants not outstanding
$10,000,000,000.00
$0.00
$11,268,055,555.11 Redeemed, in full; warrants not outstanding
$13,000,000.00
$0.00
$15,429,122.22 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,216,000.00
$0.00
$7,803,377.38 Redeemed, in full; warrants not outstanding
$3,300,000.00
$0.00
700
$1,000.00
16,000
$1,000.00
$35,000.00
35
$1,000,000.00
198,675
$500,000.00
500
$92,000.00
92
$12,844,226.31 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$700,000.00
$16,000,000.00
$10,000,000.00
10,000
$1,000.00
$2,904,000.00
7,260
$400.00
$5,116,000.00
5,116
$1,000.00
$5,500,000.00
5,500
$1,000.00
$1,834,000.00
1,834
$1,000.00
$4,545,202.00
2,272,601
$2.00
$14,700,000.00
14,700
$1,000.00
$260,000.00
132,353
$9,516,000.00
9,516
$1,000.00
$476,000.00
476
$4,734,000.00
4,734
$1,000.00
$237,000.00
237
$10,000,000,000.00
10,000,000
$1,000.00
$950,000,000.00
65,245,759
($4,356,000.00)
($2,239,798.00)
$13,000,000.00
13,000
$1,000.00
$650,000.00
650
$1,100,000.00
$5,116,000.00
1,100
5,116
$1,000.00
$1,000.00
$311,000.00
311
3,300
$990.00
$7,723,000.00
7,723
$1,000.00
$32,382,000.00
32,382
$1,000.00
$600,000.00
4,000
$150.00
$67,000,000.00
67,000
$1,000.00
$2,438,182.50
$16,064,996.94
3,250
21,414
$750.21
$750.21
$150,000,000.00
150,000
$1,000.00
$2,000,000.00
2,000,000
$1.00
$4,069,975.55 Sold, in full; warrants not outstanding
$3,267,000.00
($33,000.00)
$140,034.65
165
$386,000.00
386
$900,194.00
625,135
$2,189,317.20
521,266
$342,841.95
$502,606.30
500
733
($25,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$7,723,000.00
$0.00
$32,382,000.00
$0.00
$4,000,000.00
$0.00
$9,206,289.90 Redeemed, in full; warrants not outstanding
$37,608,789.00 Redeemed, in full; warrants not outstanding
$956,066.67 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$67,000,000.00
$0.00
$81,249,317.20 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$24,664,000.00
$0.00
$21,471,087.90 Sold, in full; warrants not outstanding
($3,400,000.00)
($811,817.50)
($5,349,003.06)
($185,031.79)
Preferred Stock w/ Warrants
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
$150,000,000.00
$0.00
$167,958,333.33 Redeemed, in full; warrants not outstanding
$2,000,000.00
$0.00
$2,276,190.00 Redeemed, in full; warrants not outstanding
$6,880,000.00
$0.00
$2,613,714.23 Sold, in full; warrants not outstanding
$10,000,000.00
$0.00
$5,211,027.78 Sold, in full; warrants not outstanding
$2,330,000.00
$0.00
$3,199,347.39 Redeemed, in full; warrants not outstanding
$10,000,000.00
$0.00
$12,041,266.67 Redeemed, in full; warrants not outstanding
$2,281,458.05
6,880
$331.61
($4,598,541.95)
$3,900,000.00
10,000
$390.00
($6,100,000.00)
$2,330,000.00
2,330,000
$1.00
$10,000,000.00
10,000
$1,000.00
$1,000,000.00
735,294
$100,000.00
100,000
$117,000.00
117,000
24
UST0379
UST0228
UST0524
UST0524
UST0141
UST0141
UST0141
UST0141
UST0141
UST0216
UST0216
UST0336
UST0336
UST0336
UST0191
UST0191
UST0191
UST0884
UST0884
UST0884
UST0747
UST0747
UST0004
UST0004
UST0004
UST0581
UST0581
UST0739
UST0739
UST0739
UST0739
UST0804
UST0804
UST0381
UST0381
UST0381
UST0381
UST0205
UST0205
UST0205
UST0565
UST0565
UST0565
UST0386
UST0386
UST0159
UST0159
UST0159
UST0031
UST0031
UST0031
UST0489
UST0489
UST0489
UST0489
UST0489
UST0489
UST1048
UST1048
UST1048
UST1048
UST1196
UST1196
UST0097
UST1175
UST1175
UST0811
UST0811
UST0811
UST0811
UST0556
UST0556
UST0053
UST0053
UST0053
UST0142
UST0142
UST0142
UST0428
UST0428
UST0315
UST0315
UST0162
UST0162
UST0162
UST0067
UST0067
UST0887
UST0887
UST0887
UST0887
UST0887
UST0174
UST0174
UST0174
UST0266
UST0266
UST0266
UST0266
UST0266
UST0346
UST0346
UST0346
UST0691
UST0691
UST0289
UST0289
UST1304
UST1304
UST1304
UST0753
UST0753
UST0753
UST0098
UST0098
UST0098
UST0098
UST0864
UST0864
UST0864
UST0864
UST0864
UST0864
UST0125
UST0125
UST0125
UST0125
8,11,14
8,14,44
11
11
8,11,14,18
109
11
8,14,44
8,14
8,11,14
45
12,16
8
11
11
8,14
8,51,97
8,9
15,17,129,135,139,151
8
11,14,15
11,35
8
8,14,45
8,26
8
85
8,14
11
60
8,11,21
8,126
44
8,14
8
8,11,14
11
AB&T FINANCIAL CORPORATION
NEW HAMPSHIRE THRIFT BANCSHARES, INC.
NEW YORK PRIVATE BANK & TRUST CORPORATION
NEW YORK PRIVATE BANK & TRUST CORPORATION
NEWBRIDGE BANCORP
NEWBRIDGE BANCORP
NEWBRIDGE BANCORP
NEWBRIDGE BANCORP
NEWBRIDGE BANCORP
NICOLET BANKSHARES, INC.
NICOLET BANKSHARES, INC.
NORTH CENTRAL BANCSHARES, INC.
NORTH CENTRAL BANCSHARES, INC.
NORTH CENTRAL BANCSHARES, INC.
NORTHEAST BANCORP
NORTHEAST BANCORP
NORTHEAST BANCORP
NORTHERN STATE BANK / FIRST COMMERCE BANK
NORTHERN STATE BANK / FIRST COMMERCE BANK
NORTHERN STATE BANK / FIRST COMMERCE BANK
NORTHERN STATES FINANCIAL CORPORATION
NORTHERN STATES FINANCIAL CORPORATION
NORTHERN TRUST CORPORATION
NORTHERN TRUST CORPORATION
NORTHERN TRUST CORPORATION
NORTHWAY FINANCIAL, INC.
NORTHWAY FINANCIAL, INC.
NORTHWEST BANCORPORATION, INC.
NORTHWEST BANCORPORATION, INC.
NORTHWEST BANCORPORATION, INC.
NORTHWEST BANCORPORATION, INC.
NORTHWEST COMMERCIAL BANK
NORTHWEST COMMERCIAL BANK
OAK RIDGE FINANCIAL SERVICES, INC.
OAK RIDGE FINANCIAL SERVICES, INC.
OAK RIDGE FINANCIAL SERVICES, INC.
OAK RIDGE FINANCIAL SERVICES, INC.
OAK VALLEY BANCORP
OAK VALLEY BANCORP
OAK VALLEY BANCORP
OCEANFIRST FINANCIAL CORP.
OCEANFIRST FINANCIAL CORP.
OCEANFIRST FINANCIAL CORP.
OJAI COMMUNITY BANK
OJAI COMMUNITY BANK
OLD LINE BANCSHARES, INC.
OLD LINE BANCSHARES, INC.
OLD LINE BANCSHARES, INC.
OLD NATIONAL BANCORP
OLD NATIONAL BANCORP
OLD NATIONAL BANCORP
OLD SECOND BANCORP, INC.
OLD SECOND BANCORP, INC.
OLD SECOND BANCORP, INC.
OLD SECOND BANCORP, INC.
OLD SECOND BANCORP, INC.
OLD SECOND BANCORP, INC.
OMEGA CAPITAL CORP.
OMEGA CAPITAL CORP.
OMEGA CAPITAL CORP.
OMEGA CAPITAL CORP.
ONE GEORGIA BANK
ONE GEORGIA BANK
ONE UNITED BANK
ONEFINANCIAL CORPORATION
ONEFINANCIAL CORPORATION
OREGON BANCORP, INC.
OREGON BANCORP, INC.
OREGON BANCORP, INC.
OREGON BANCORP, INC.
OSB FINANCIAL SERVICES, INC.
OSB FINANCIAL SERVICES, INC.
PACIFIC CAPITAL BANCORP
PACIFIC CAPITAL BANCORP
PACIFIC CAPITAL BANCORP
PACIFIC CITY FINANCIAL CORPORATION
PACIFIC CITY FINANCIAL CORPORATION
PACIFIC CITY FINANCIAL CORPORATION
PACIFIC COAST BANKERS' BANCSHARES
PACIFIC COAST BANKERS' BANCSHARES
PACIFIC COAST NATIONAL BANCORP
PACIFIC COAST NATIONAL BANCORP
PACIFIC COMMERCE BANK
PACIFIC COMMERCE BANK
PACIFIC COMMERCE BANK
PACIFIC INTERNATIONAL BANCORP / BBCN BANCORP, INC.
PACIFIC INTERNATIONAL BANCORP / BBCN BANCORP, INC.
PARK BANCORPORATION, INC.
PARK BANCORPORATION, INC.
PARK BANCORPORATION, INC.
PARK BANCORPORATION, INC.
PARK BANCORPORATION, INC.
PARK NATIONAL CORPORATION
PARK NATIONAL CORPORATION
PARK NATIONAL CORPORATION
PARKE BANCORP, INC.
PARKE BANCORP, INC.
PARKE BANCORP, INC.
PARKE BANCORP, INC.
PARKE BANCORP, INC.
PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION
PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION
PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION
PASCACK BANCORP, INC.
PASCACK BANCORP, INC.
PATAPSCO BANCORP, INC.
PATAPSCO BANCORP, INC.
PATHFINDER BANCORP, INC.
PATHFINDER BANCORP, INC.
PATHFINDER BANCORP, INC.
PATHWAY BANCORP
PATHWAY BANCORP
PATHWAY BANCORP
PATRIOT BANCSHARES, INC.
PATRIOT BANCSHARES, INC.
PATRIOT BANCSHARES, INC.
PATRIOT BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PEAPACK-GLADSTONE FINANCIAL CORPORATION
PEAPACK-GLADSTONE FINANCIAL CORPORATION
PEAPACK-GLADSTONE FINANCIAL CORPORATION
PEAPACK-GLADSTONE FINANCIAL CORPORATION
GASTONIA
NEWPORT
NEW YORK
NEW YORK
GREENSBORO
GREENSBORO
GREENSBORO
GREENSBORO
GREENSBORO
GREEN BAY
GREEN BAY
FORT DODGE
FORT DODGE
FORT DODGE
LEWISTON
LEWISTON
LEWISTON
CLOSTER
CLOSTER
CLOSTER
WAUKEGAN
WAUKEGAN
CHICAGO
CHICAGO
CHICAGO
BERLIN
BERLIN
SPOKANE
SPOKANE
SPOKANE
SPOKANE
LAKEWOOD
LAKEWOOD
OAK RIDGE
OAK RIDGE
OAK RIDGE
OAK RIDGE
OAKDALE
OAKDALE
OAKDALE
TOMS RIVER
TOMS RIVER
TOMS RIVER
OJAI
OJAI
BOWIE
BOWIE
BOWIE
EVANSVILLE
EVANSVILLE
EVANSVILLE
AURORA
AURORA
AURORA
AURORA
AURORA
AURORA
LAKEWOOD
LAKEWOOD
LAKEWOOD
LAKEWOOD
ATLANTA
ATLANTA
BOSTON
LITTLE ROCK
LITTLE ROCK
SALEM
SALEM
SALEM
SALEM
ORANGE
ORANGE
SANTA BARBARA
SANTA BARBARA
SANTA BARBARA
LOS ANGELES
LOS ANGELES
LOS ANGELES
SAN FRANCISCO
SAN FRANCISCO
SAN CLEMENTE
SAN CLEMENTE
LOS ANGELES
LOS ANGELES
LOS ANGELES
SEATTLE
SEATTLE
MADISON
MADISON
MADISON
MADISON
MADISON
NEWARK
NEWARK
NEWARK
SEWELL
SEWELL
SEWELL
SEWELL
SEWELL
MONROEVILLE
MONROEVILLE
MONROEVILLE
WESTWOOD
WESTWOOD
DUNDALK
DUNDALK
OSWEGO
OSWEGO
OSWEGO
CAIRO
CAIRO
CAIRO
HOUSTON
HOUSTON
HOUSTON
HOUSTON
PATTERSON
PATTERSON
PATTERSON
PATTERSON
PATTERSON
PATTERSON
GLADSTONE
GLADSTONE
GLADSTONE
GLADSTONE
NC
NH
NY
NY
NC
NC
NC
NC
NC
WI
WI
IA
IA
IA
ME
ME
ME
NJ
NJ
NJ
IL
IL
IL
IL
IL
NH
NH
WA
WA
WA
WA
WA
WA
NC
NC
NC
NC
CA
CA
CA
NJ
NJ
NJ
CA
CA
MD
MD
MD
IN
IN
IN
IL
IL
IL
IL
IL
IL
CO
CO
CO
CO
GA
GA
MA
AR
AR
OR
OR
OR
OR
TX
TX
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
WA
WA
WI
WI
WI
WI
WI
OH
OH
OH
NJ
NJ
NJ
NJ
NJ
PA
PA
PA
NJ
NJ
MD
MD
NY
NY
NY
NE
NE
NE
TX
TX
TX
TX
LA
LA
LA
LA
LA
LA
NJ
NJ
NJ
NJ
11/19/2013
2/15/2012
1/9/2009
7/24/2013
12/12/2008
4/26/2013
4/29/2013
5/15/2013
5/31/2013
12/23/2008
9/1/2011
1/9/2009
12/14/2011
1/11/2012
12/12/2008
11/28/2012
12/28/2012
5/15/2009
12/18/2009
3/28/2012
2/20/2009
4/30/2014
11/14/2008
6/17/2009
8/26/2009
1/30/2009
9/15/2011
2/13/2009
3/8/2013
3/11/2013
4/9/2013
2/13/2009
1/9/2013
1/30/2009
10/31/2012
1/11/2013
2/6/2013
12/5/2008
8/11/2011
9/28/2011
1/16/2009
12/30/2009
2/3/2010
1/30/2009
9/25/2013
12/5/2008
7/15/2009
9/2/2009
12/12/2008
3/31/2009
5/8/2009
1/16/2009
3/11/2013
3/26/2013
3/27/2013
4/9/2013
6/11/2013
4/17/2009
7/19/2013
7/22/2013
9/12/2013
5/8/2009
7/15/2011
12/19/2008
6/5/2009
7/31/2018
4/24/2009
10/18/2013
10/21/2013
1/6/2014
5/1/2009
10/5/2011
11/21/2008
2/23/2011
11/30/2012
12/19/2008
11/19/2013
1/6/2014
12/23/2008
7/28/2011
1/16/2009
2/11/2010
12/23/2008
2/10/2014
3/19/2014
12/12/2008
2/15/2013
3/6/2009
8/7/2012
8/9/2012
8/10/2012
9/11/2012
12/23/2008
4/25/2012
5/2/2012
1/30/2009
11/28/2012
11/29/2012
1/11/2013
6/12/2013
12/23/2008
1/3/2012
5/27/2015
2/6/2009
10/19/2011
12/19/2008
8/28/2015
9/11/2009
9/1/2011
2/1/2012
3/27/2009
6/24/2013
7/26/2013
12/19/2008
4/11/2014
4/14/2014
7/18/2014
4/17/2009
3/7/2012
8/22/2012
12/5/2012
5/8/2013
6/5/2013
1/9/2009
1/6/2010
3/2/2011
1/11/2012
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$267,274,000.00
$52,372,000.00
$0.00
$0.00
$815,100.00
2,964
$275.00
$267,274,000.00
267,274
$1,000.00
$2,709,121.50
$48,641,624.50
2,763
49,609
$980.50
$980.50
$14,964,000.00
14,964
$1,000.00
$10,200,000.00
10,200
$1,000.00
($2,148,900.00)
$737,100.00
184,275
$13,364,000.00
13,364
$7,778,782.65
2,567,255
$346,794,005.83 Redeemed, in full; warrants not outstanding
$70,087,060.35 Sold, in full; warrants not outstanding
($53,878.50)
($967,375.50)
($513,507.46)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$14,964,000.00
$10,200,000.00
$0.00
$0.00
$17,904,842.66 Redeemed, in full; warrants not outstanding
$4,227,000.00
$0.00
$5,159,181.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$1,341,000.00
$1,230,000.00
$0.00
$2,987,782.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$17,211,000.00
$0.00
Preferred Stock w/ Warrants
$1,576,000,000.00
$0.00
$1,709,623,333.35 Redeemed, in full; warrants not outstanding
$10,000,000.00
$0.00
$11,930,624.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,500,000.00
$0.00
748
$600,000.00
99,157
$12,294,583.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$748,000.00
$4,227,000.00
4,227
$1,000.00
$2,571,000.00
2,571
$1,000.00
$6,023,850.00
20,079,500
$0.30
$1,576,000,000.00
1,576,000
$1,000.00
$10,000,000.00
10,000
$1,000.00
$2,000,000.00
$8,500,000.00
2,000
8,500
$1,032.11
$1,032.11
1,992
$1,000.00
7,700
$921.50
13,500
$1,000.00
$95,000.00
67,958
$67,000.00
67
$87,000,000.00
3,824,624
$6,442,172.50 Sold, in full; warrants not outstanding
($11,187,150.00)
$500,000.00
500
$587,634.55
525
$100,000.00
100
$122,887.50
163,830
$11,891,847.50 Sold, in full; warrants not outstanding
$64,220.00
$272,935.00
($108,371.55)
Preferred Stock w/ Exercised Warrants
$1,992,000.00
$0.00
$2,380,393.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$7,700,000.00
$0.00
$8,592,336.00 Sold, in full; warrants not outstanding
$1,992,000.00
$7,095,550.00
($604,450.00)
($70,955.50)
Preferred Stock w/ Warrants
$13,500,000.00
$0.00
$15,871,250.00 Redeemed, in full; warrants not outstanding
$13,500,000.00
Preferred Stock w/ Warrants
$38,263,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$2,080,000.00
$0.00
$2,654,758.89 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$7,000,000.00
$0.00
$7,438,888.89 Redeemed, in full; warrants not outstanding
$100,000,000.00
$0.00
Preferred Stock w/ Warrants
$73,000,000.00
$0.00
350,346
$430,797.00
190,427
$40,521,918.61 Redeemed, in full; warrants not outstanding
$38,263,000.00
Preferred Stock w/ Warrants
$560,000.00
38,263
$1,000.00
$2,080,000.00
2,080
$1,000.00
$7,000,000.00
7,000
$1,000.00
$104,000.00
104
$225,000.00
141,892
$1,200,000.00
813,008
$102,713,888.89 Redeemed, in full; warrants not outstanding
$100,000,000.00
100,000
$1,000.00
$24,684,870.00
$452,424.00
$668,079.44
70,028
1,200
1,772
$352.50
$377.02
$377.02
1,239
1,577
$1,142.90
$1,142.90
$31,423,238.49 Sold, in full; warrants not outstanding
($45,343,130.00)
($747,576.00)
($1,103,920.56)
($258,053.73)
Preferred Stock w/ Exercised Warrants
$2,816,000.00
$0.00
$106,891.00
815,339
$159,886.25
141
$9,459.13
$128,988.07
11
150
$3,403,603.15 Sold, in full; warrants not outstanding
$1,239,000.00
$1,577,000.00
$177,053.10
$225,353.30
($25,000.00)
Preferred Stock w/ Exercised Warrants
$5,500,000.00
$0.00
$0.00 Exited bankruptcy/Receivership
($5,500,000.00)
Preferred Stock
Subordinated Debentures w/ Exercised Warrants
$12,063,000.00
$17,300,000.00
$12,063,000.00
$17,300,000.00
$3,216,000.00
$0.00
$93,823.33 Full investment outstanding; warrants not outstanding
$11,178,439.21 Full investment outstanding; warrants outstanding
$3,515,448.62
Preferred Stock w/ Exercised Warrants
$4,116,801.92 Sold, in full; warrants not outstanding
$100,000.00
$3,116,000.00
100
3,116
$1,000.00
$1,000.00
($25,000.00)
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$6,100,000.00
$0.00
$180,634,000.00
$0.00
$16,200,000.00
$0.00
$7,662,314.53 Redeemed, in full; warrants not outstanding
$6,100,000.00
6,100,000
$1.00
$14.75
$165,983,272.00
1
3,608,332
$29.50
$46.00
16,200
$1,215.17
11,600
$1,000.00
$305,000.00
305,000
$393,120.78
15,120
$1,156,636.50
810
$580,000.00
580
($1,540,039.20)
$109,487.50
203
($619,346.00)
($1,495,494.00)
($4,143,360.00)
$88,059.01
$482,779.69
$325,200.40
114
625
421
$2,842,400.00
227,376
$1,650,288.00
438,906
$6,025,649.70
819,640
188
$168,483,804.20 Sold, in full; warrants not outstanding
($10.28)
($14,650,702.97)
$21,003,597.96 Sold, in full; warrants not outstanding
$16,200,000.00
$3,485,754.00
($196,857.54)
Preferred Stock w/ Exercised Warrants
$11,600,000.00
$0.00
$13,821,963.89 Redeemed, in full; warrants not outstanding
$11,600,000.00
Preferred Stock w/ Exercised Warrants
$4,120,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$4,060,000.00
$0.00
$2,991,670.80 Sold, in full; warrants not outstanding
$18,087.94 Exited bankruptcy/Receivership
Preferred Stock w/ Warrants
$6,500,000.00
$0.00
$7,937,744.97 Redeemed, in full; warrants outstanding
($4,120,000.00)
$2,519,960.80
4,060
$620.68
6,500
$1,000.00
2,296
5,544
15,360
$730.25
$730.25
$730.25
$100,000,000.00
100,000
$1,000.00
$394,072.28
$11,318,791.40
548
15,740
$719.11
$719.11
31,762
$1,000.00
($25,000.00)
$6,500,000.00
Preferred Stock w/ Exercised Warrants
$23,200,000.00
$0.00
$22,020,064.10 Sold, in full; warrants not outstanding
$1,676,654.00
$4,048,506.00
$11,216,640.00
($169,418.00)
Preferred Stock w/ Warrants
$100,000,000.00
$0.00
Preferred Stock w/ Warrants
$16,288,000.00
$0.00
$119,536,844.44 Redeemed, in full; warrants not outstanding
$16,365,554.76 Sold, in full; warrants not outstanding
($153,927.72)
($4,421,208.60)
($117,128.64)
Preferred Stock w/ Warrants
$31,762,000.00
$0.00
$42,596,063.59 Redeemed, in full; warrants not outstanding
$31,762,000.00
Preferred Stock w/ Exercised Warrants
$3,756,000.00
$0.00
$4,497,312.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$0.00
$9,260,824.26 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$6,771,000.00
$0.00
$7,976,328.84 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,727,000.00
$0.00
$4,628,862.77 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$26,038,000.00
$0.00
$33,824,567.35 Sold, in full; warrants not outstanding
$3,756,000.00
3,756
$1,000.00
$188,000.00
$6,000,000.00
6,000
$1,000.00
$300,000.00
300
$6,771,000.00
6,771
$1,000.00
$537,633.00
154,354
$3,727,000.00
3,727
$1,167.01
$622,446.27
$226,565.00
186
12,000
14,038
$1,142.03
$1,142.03
$1,704,360.00
$1,993,817.14
$1,035,834.25
$645,781.95
802
500
$250,000.00
$250,000.00
$250,000.00
$500,000.00
$2,440,000.00
250
250
250
500
2,440
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$185,000.00
185
$7,172,000.00
$7,172,000.00
$14,341,000.00
7,172
7,172
14,341
$1,000.00
$1,000.00
$1,000.00
($25,000.00)
$12,000,000.00
$14,038,000.00
($297,361.77)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$3,690,000.00
$28,685,000.00
$0.00
$0.00
$4,692,022.77 Redeemed, in full; warrants not outstanding
$32,075,739.67 Redeemed, in full; warrants not outstanding
25
UST0379
UST0125
UST0806
UST0806
UST0092
UST0092
UST0092
UST0092
UST0632
UST0632
UST0329
UST0329
UST0329
UST0921
UST0921
UST0865
UST0865
UST0865
UST0950
UST0950
UST1335
UST1335
UST0451
UST0451
UST0430
UST0430
UST0781
UST0781
UST0184
UST0184
UST0184
UST0184
UST0041
UST0041
UST1285
UST1285
UST1285
UST1285
UST0359
UST0359
UST0359
UST0359
UST0117
UST0117
UST0117
UST0060
UST0060
UST0060
UST0060
UST0940
UST0940
UST0940
UST1214
UST1214
UST0867
UST0867
UST1078
UST1078
UST1078
UST1078
UST1078
UST1078
UST0932
UST0932
UST0932
UST0808
UST0808
UST0562
UST0562
UST0165
UST0165
UST0165
UST0165
UST0372
UST0372
UST0726
UST0726
UST0726
UST0332
UST0332
UST0332
UST1215
UST1215
UST0013
UST0013
UST0013
UST0013
UST0918
UST0918
UST0785
UST0785
UST0424
UST0424
UST0507
UST0507
UST0507
UST0287
UST0287
UST0287
UST1339
UST1339
UST1248
UST1248
UST1248
UST0389
UST0389
UST0199
UST0199
UST0868
UST0868
UST0727
UST0727
UST0541
UST0541
UST0620
UST0620
UST0620
UST0620
UST0620
UST0019
UST0019
UST0019
UST0595
UST0595
UST0595
UST0655
UST0655
8,14,44
11
8,14,56
8,14
8,14
8
8,17,45
9,11,36
8,46,97
8,69,148
11
8,14,44
15,17
20
8
9,15,36
8,22,97
14,15
8
80
8,17
75,97
8,18
12
8,17,44
88
107
8,11,14
8,14,44
44
8
8,17
8,14,44
8,14,44
8,114
8,14,44
8,17,62
8,14
11
8
8,14
AB&T FINANCIAL CORPORATION
PEAPACK-GLADSTONE FINANCIAL CORPORATION
PENN LIBERTY FINANCIAL CORP.
PENN LIBERTY FINANCIAL CORP.
PEOPLES BANCORP (OH)
PEOPLES BANCORP (OH)
PEOPLES BANCORP (OH)
PEOPLES BANCORP (OH)
PEOPLES BANCORP (WA)
PEOPLES BANCORP (WA)
PEOPLES BANCORP OF NORTH CAROLINA, INC.
PEOPLES BANCORP OF NORTH CAROLINA, INC.
PEOPLES BANCORP OF NORTH CAROLINA, INC.
PEOPLES BANCORPORATION, INC.
PEOPLES BANCORPORATION, INC.
PEOPLES BANCSHARES OF TN, INC.
PEOPLES BANCSHARES OF TN, INC.
PEOPLES BANCSHARES OF TN, INC.
PEOPLESSOUTH BANCSHARES, INC.
PEOPLESSOUTH BANCSHARES, INC.
PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK
PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK
PGB HOLDINGS, INC.
PGB HOLDINGS, INC.
PIERCE COUNTY BANCORP
PIERCE COUNTY BANCORP
PINNACLE BANK HOLDING COMPANY, INC.
PINNACLE BANK HOLDING COMPANY, INC.
PINNACLE FINANCIAL PARTNERS, INC.
PINNACLE FINANCIAL PARTNERS, INC.
PINNACLE FINANCIAL PARTNERS, INC.
PINNACLE FINANCIAL PARTNERS, INC.
PLAINS CAPITAL CORPORATION
PLAINS CAPITAL CORPORATION
PLATO HOLDINGS INC.
PLATO HOLDINGS INC.
PLATO HOLDINGS INC.
PLATO HOLDINGS INC.
PLUMAS BANCORP
PLUMAS BANCORP
PLUMAS BANCORP
PLUMAS BANCORP
POPULAR, INC.
POPULAR, INC.
POPULAR, INC.
PORTER BANCORP, INC.(PBI) LOUISVILLE, KY
PORTER BANCORP, INC.(PBI) LOUISVILLE, KY
PORTER BANCORP, INC.(PBI) LOUISVILLE, KY
PORTER BANCORP, INC.(PBI) LOUISVILLE, KY
PRAIRIE STAR BANCSHARES, INC.
PRAIRIE STAR BANCSHARES, INC.
PRAIRIE STAR BANCSHARES, INC.
PREMIER BANCORP, INC.
PREMIER BANCORP, INC.
PREMIER BANK HOLDING COMPANY
PREMIER BANK HOLDING COMPANY
PREMIER FINANCIAL BANCORP, INC.
PREMIER FINANCIAL BANCORP, INC.
PREMIER FINANCIAL BANCORP, INC.
PREMIER FINANCIAL BANCORP, INC.
PREMIER FINANCIAL BANCORP, INC.
PREMIER FINANCIAL BANCORP, INC.
PREMIER FINANCIAL CORP.
PREMIER FINANCIAL CORP.
PREMIER FINANCIAL CORP.
PREMIER SERVICE BANK
PREMIER SERVICE BANK
PREMIERWEST BANCORP
PREMIERWEST BANCORP
PRESIDIO BANK
PRESIDIO BANK
PRESIDIO BANK
PRESIDIO BANK
PRINCETON NATIONAL BANCORP, INC.
PRINCETON NATIONAL BANCORP, INC.
PRIVATE BANCORPORATION, INC.
PRIVATE BANCORPORATION, INC.
PRIVATE BANCORPORATION, INC.
PRIVATEBANCORP, INC.
PRIVATEBANCORP, INC.
PRIVATEBANCORP, INC.
PROVIDENCE BANK
PROVIDENCE BANK
PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION
PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION
PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION
PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION
PROVIDENT COMMUNITY BANCSHARES, INC.
PROVIDENT COMMUNITY BANCSHARES, INC.
PSB FINANCIAL CORPORATION
PSB FINANCIAL CORPORATION
PUGET SOUND BANK
PUGET SOUND BANK
PULASKI FINANCIAL CORP.
PULASKI FINANCIAL CORP.
PULASKI FINANCIAL CORP.
QCR HOLDINGS, INC.
QCR HOLDINGS, INC.
QCR HOLDINGS, INC.
RANDOLPH BANK & TRUST COMPANY
RANDOLPH BANK & TRUST COMPANY
RCB FINANCIAL CORPORATION
RCB FINANCIAL CORPORATION
RCB FINANCIAL CORPORATION
REDWOOD CAPITAL BANCORP
REDWOOD CAPITAL BANCORP
REDWOOD FINANCIAL, INC.
REDWOOD FINANCIAL, INC.
REGENT BANCORP, INC.
REGENT BANCORP, INC.
REGENT CAPITAL CORPORATION, INC. / REGENT BANK
REGENT CAPITAL CORPORATION, INC. / REGENT BANK
REGENTS BANCSHARES, INC.
REGENTS BANCSHARES, INC.
REGIONAL BANKSHARES, INC.
REGIONAL BANKSHARES, INC.
REGIONAL BANKSHARES, INC.
REGIONAL BANKSHARES, INC.
REGIONAL BANKSHARES, INC.
REGIONS FINANCIAL CORPORATION
REGIONS FINANCIAL CORPORATION
REGIONS FINANCIAL CORPORATION
RELIANCE BANCSHARES, INC.
RELIANCE BANCSHARES, INC.
RELIANCE BANCSHARES, INC.
RIDGESTONE FINANCIAL SERVICES, INC.
RIDGESTONE FINANCIAL SERVICES, INC.
GASTONIA
GLADSTONE
WAYNE
WAYNE
MARIETTA
MARIETTA
MARIETTA
MARIETTA
LYNDEN
LYNDEN
NEWTON
NEWTON
NEWTON
EASLEY
EASLEY
MADISONVILLE
MADISONVILLE
MADISONVILLE
COLQUITT
COLQUITT
PIGEON FALLS
PIGEON FALLS
CHICAGO
CHICAGO
TACOMA
TACOMA
ORANGE CITY
ORANGE CITY
NASHVILLE
NASHVILLE
NASHVILLE
NASHVILLE
DALLAS
DALLAS
SAINT PAUL
SAINT PAUL
SAINT PAUL
SAINT PAUL
QUINCY
QUINCY
QUINCY
QUINCY
SAN JUAN
SAN JUAN
SAN JUAN
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOUISVILLE
OLATHE
OLATHE
OLATHE
WILMETTE
WILMETTE
TALLAHASSEE
TALLAHASSEE
HUNTINGTON
HUNTINGTON
HUNTINGTON
HUNTINGTON
HUNTINGTON
HUNTINGTON
DUBUQUE
DUBUQUE
DUBUQUE
RIVERSIDE
RIVERSIDE
MEDFORD
MEDFORD
SAN FRANCISCO
SAN FRANCISCO
SAN FRANCISCO
SAN FRANCISCO
PRINCETON
PRINCETON
MINNEAPOLIS
MINNEAPOLIS
MINNEAPOLIS
CHICAGO
CHICAGO
CHICAGO
ROCKY MOUNT
ROCKY MOUNT
BALTIMORE
BALTIMORE
BALTIMORE
BALTIMORE
ROCK HILL
ROCK HILL
MANY
MANY
BELLEVUE
BELLEVUE
CREVE COEUR
CREVE COEUR
CREVE COEUR
MOLINE
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MOLINE
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ROME
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EUREKA
EUREKA
REDWOOD FALLS
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DAVIE
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VANCOUVER
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HARTSVILLE
HARTSVILLE
HARTSVILLE
HARTSVILLE
HARTSVILLE
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BROOKFIELD
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NC
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GA
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IL
WA
WA
FL
FL
TN
TN
TN
TN
TX
TX
MN
MN
MN
MN
CA
CA
CA
CA
PR
PR
PR
KY
KY
KY
KY
KS
KS
KS
IL
IL
FL
FL
WV
WV
WV
WV
WV
WV
IA
IA
IA
CA
CA
OR
OR
CA
CA
CA
CA
IL
IL
MN
MN
MN
IL
IL
IL
NC
NC
MD
MD
MD
MD
SC
SC
LA
LA
WA
WA
MO
MO
MO
IL
IL
IL
NC
NC
GA
GA
GA
CA
CA
MN
MN
FL
FL
OK
OK
WA
WA
SC
SC
SC
SC
SC
AL
AL
AL
MO
MO
MO
WI
WI
11/19/2013
4/4/2012
4/17/2009
9/1/2011
1/30/2009
2/2/2011
12/28/2011
2/15/2012
2/13/2009
8/3/2011
12/23/2008
7/3/2012
8/8/2012
4/24/2009
4/24/2012
3/20/2009
10/31/2012
1/11/2013
3/6/2009
9/18/2013
9/11/2009
8/25/2011
2/6/2009
8/13/2010
1/23/2009
11/5/2010
3/6/2009
5/22/2018
12/12/2008
12/28/2011
6/20/2012
7/18/2012
12/19/2008
9/27/2011
7/17/2009
4/26/2013
4/29/2013
5/31/2013
1/30/2009
4/29/2013
5/22/2013
5/31/2013
12/5/2008
7/2/2014
7/23/2014
11/21/2008
12/3/2014
12/4/2014
1/9/2015
4/3/2009
6/29/2015
8/6/2015
5/8/2009
8/13/2010
3/20/2009
8/14/2012
10/2/2009
8/8/2012
8/9/2012
8/10/2012
9/11/2012
5/6/2015
5/22/2009
7/22/2013
9/12/2013
2/20/2009
1/31/2014
2/13/2009
4/9/2013
11/20/2009
12/10/2012
12/11/2012
1/11/2013
1/23/2009
11/2/2012
2/27/2009
12/29/2009
6/25/2014
1/30/2009
10/24/2012
11/14/2012
10/2/2009
9/15/2011
11/14/2008
8/21/2012
3/20/2013
3/25/2013
3/13/2009
4/30/2014
2/27/2009
9/29/2010
1/16/2009
8/11/2011
1/16/2009
7/3/2012
8/8/2012
2/13/2009
9/15/2011
11/16/2011
10/30/2009
9/30/2013
6/19/2009
9/25/2013
10/29/2013
1/16/2009
7/21/2011
1/9/2009
8/18/2011
3/6/2009
10/17/2014
2/27/2009
7/21/2011
10/23/2009
1/26/2012
2/13/2009
11/8/2012
11/9/2012
1/11/2013
3/26/2013
11/14/2008
4/4/2012
5/2/2012
2/13/2009
9/25/2013
10/29/2013
2/27/2009
2/20/2013
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$9,960,000.00
$39,000,000.00
$0.00
$0.00
$815,100.00
2,964
$275.00
$9,960,000.00
9,960
$1,000.00
$21,000,000.00
$18,000,000.00
21,000
18,000
$1,000.00
$1,000.00
$18,000,000.00
18,000
$1,000.00
25,054
$933.36
$18,000,000.00
$0.00
$21,325,250.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$25,054,000.00
$0.00
$27,877,966.16 Sold, in full; warrants not outstanding
$23,384,401.44
$12,660,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$3,900,000.00
$0.00
$110,000.00
150,296
$498,000.00
498
$1,200,724.15
313,505
$44,926,557.48 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
($2,148,900.00)
$11,745,689.33 Redeemed, in full; warrants not outstanding
($350,766.02)
$900,000.00
900
$425,000.00
357,234
($1,669,598.56)
$15,362,909.75 Redeemed, in full; warrants not outstanding
$12,660,000.00
12,660
$1,000.00
3,900
$755.00
$633,000.00
633
$122,225.00
195
$12,325,000.00
12,325
$1,500,000.00
1,500
$1,000.00
$616,000.00
616
$1,000.00
$71,000.00
$3,000,000.00
3,000
$1,000.00
71
$700,000.00
4,389
$159.49
$23,750,000.00
$71,250,000.00
23,750
71,250
$1,000.00
$1,000.00
$87,631,000.00
87,631
$1,000.00
$755,000.00
267,455
$120,000.00
$2,380,000.00
120,000
2,380,000
$1.00
$1.00
$180.00
$3,570.00
11,949
$1,091.11
$1,088,673.39
$935,000,000.00
935,000
$1,000.00
$2,693,800.00
$806,200.00
26,938
8,062
$100.00
$100.00
$3,809,874.42 Sold, in full; warrants not outstanding
$2,944,500.00
($955,500.00)
($25,000.00)
Preferred Stock w/ Exercised Warrants
$12,325,000.00
$0.00
$15,985,994.66 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,500,000.00
$0.00
$1,730,162.66 Redeemed, in full; warrants not outstanding
Preferred Stock
$3,000,000.00
$0.00
$3,227,916.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,800,000.00
$0.00
$4,389,000.00
$0.00
$95,000,000.00
$0.00
$207,947.78 Currently Not Collectible
($6,800,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants
$87,631,000.00
$0.00
$2,500,000.00
$0.00
$984,999.00 Sold, in full; warrants not outstanding
($3,689,000.00)
$111,918,194.45 Redeemed, in full; warrants not outstanding
$105,252,939.77 Redeemed, in full; warrants not outstanding
$4,382,000.00
4,382
$90,582.47
107,000
$234,500.00
237,712
$3,000,000.00
2,093,284
$164,018.20
140
$5,675,000.00
636,378
$478,590.75
317,000
$200,000.00
200
$83,086.12
$195,295.20
97
228
$3,103,618.40 Sold, in full; warrants not outstanding
($25,000.00)
Preferred Stock w/ Warrants
$11,949,000.00
$0.00
$13,764,140.41 Sold, in full; warrants not outstanding
$11,949,000.00
($130,376.73)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$935,000,000.00
$35,000,000.00
$0.00
$0.00
$1,220,280,000.00 Redeemed, in full; warrants not outstanding
$8,233,333.33 Sold, in full; warrants outstanding
($24,244,200.00)
($7,255,800.00)
($50,000.00)
Preferred Stock w/ Exercised Warrants
$2,800,000.00
$0.00
$3,596,579.20 Sold, in full; warrants not outstanding
Subordinated Debentures
$6,784,000.00
$0.00
$7,444,215.12 Redeemed, in full; warrants not outstanding
$2,800,000.00
2,800
$1,187.61
$6,784,000.00
6,784,000
$1.00
$1,678,618.89
$8,575,102.51
$9,795,998.16
1,863
9,517
10,872
$901.03
$901.03
$901.03
6,349,000
$1.24
$4,000,000.00
4,000
$1,000.00
$41,400,000.00
41,400
$1,000.00
310
10,490
$847.21
$847.21
$8,222,000.00
8,222
$1,000.00
$243,815,000.00
243,815
$1,000.00
$525,308.00
($25,000.00)
Preferred Stock w/ Exercised Warrants
$9,500,000.00
$0.00
$22,252,000.00
$0.00
$467,412.50 Exited bankruptcy/Receivership
($9,500,000.00)
Preferred Stock w/ Warrants
$28,727,240.29 Sold, in full; warrants not outstanding
($184,381.11)
($941,897.49)
($1,076,001.84)
($200,497.20)
Subordinated Debentures w/ Exercised Warrants
$6,349,000.00
$0.00
$8,778,669.11 Sold, in full; warrants not outstanding
$6,349,000.00
$1,507,379.58
($78,563.80)
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$4,300,522.22 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$41,400,000.00
$0.00
$42,446,500.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,800,000.00
$0.00
$11,077,694.89 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$25,083,000.00
$0.00
$4,960,000.00
$3,262,000.00
$0.00
$262,635.10
$8,887,232.90
($47,364.90)
($1,602,767.10)
($91,498.68)
$2,271,405.00 Currently Not Collectible
($25,083,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$243,815,000.00
$0.00
$4,000,000.00
$0.00
$151,500,000.00
$0.00
$10,836,280.71 Redeemed, in full; warrants not outstanding
$248,000.00
248
$1,225,000.00
645,013
$175,000.00
175
464
$290,552,132.92 Redeemed, in full; warrants not outstanding
$4,596,311.80 Redeemed, in full; warrants not outstanding
$4,000,000.00
4,000
$1,000.00
$151,500,000.00
151,500
$1,000.00
$199,100,113.41 Sold, in full; warrants not outstanding
$71.62
$19,047,005.12
Preferred Stock w/ Warrants
$9,266,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$9,270,000.00
$0.00
$10,536,802.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,500,000.00
$0.00
$5,355,156.75 Redeemed, in full; warrants not outstanding
$32,538,000.00
$0.00
Preferred Stock w/ Warrants
$5,639,391.00 Sold, in full; warrants not outstanding
$5,096,300.00
9,266
$550.00
$9,270,000.00
9,270
$1,000.00
$464,000.00
$4,500,000.00
4,500
$1,000.00
$225,000.00
225
32,538
$888.00
$1,100,000.00
778,421
$1,100,000.00
521,888
$311,000.00
311
$253,383.25
268
$35,195,847.13 Sold, in full; warrants not outstanding
$28,893,744.00
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$38,237,000.00
$0.00
$44,286,567.33 Redeemed, in full; warrants not outstanding
$6,229,000.00
$0.00
$7,190,593.33 Redeemed, in full; warrants not outstanding
$8,900,000.00
$0.00
($4,169,700.00)
($433,406.16)
($3,644,256.00)
$38,237,000.00
38,237
$1,000.00
$6,229,000.00
6,229
$1,000.00
8,900
$907.11
$3,800,000.00
3,800
$1,000.00
$190,000.00
190
$2,995,000.00
2,995
$1,000.00
$150,000.00
150
$7,970,737.50
1,449,225
$5.50
$9,139,863.61 Sold, in full; warrants not outstanding
$8,073,279.00
($826,721.00)
($80,732.79)
Preferred Stock w/ Exercised Warrants
$3,800,000.00
$0.00
$4,510,626.39 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,995,000.00
$0.00
$3,570,810.92 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$9,982,000.00
$0.00
$8,755,019.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,655,000.00
$0.00
$3,135,328.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,700,000.00
$0.00
$14,594,338.99 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,500,000.00
$0.00
($2,011,262.50)
$2,655,000.00
2,655
$1,000.00
$133,000.00
133
$12,700,000.00
12,700
$1,000.00
$381,000.00
381
$246,975.00
$1,140,525.00
267
1,233
$925.00
$925.00
$50,000.00
75
$3,500,000,000.00
3,500,000
$1,000.00
$45,000,000.00
48,253,677
$40,000,000.00
40,000
$1,004.90
$2,199,799.80
2,000
10,900
$822.60
$476,206.83
545
$1,718,159.50 Sold, in full; warrants not outstanding
($20,025.00)
($92,475.00)
($13,875.00)
($11,125.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$3,500,000,000.00
$0.00
$40,000,000.00
$0.00
$4,138,055,555.55 Redeemed, in full; warrants not outstanding
$45,820,950.80 Sold, in full; warrants not outstanding
$196,000.00
($401,960.00)
Preferred Stock w/ Exercised Warrants
$10,900,000.00
$0.00
$9,630,106.93 Sold, in full; warrants not outstanding
$8,966,340.00
($1,933,660.00)
26
UST0379
UST0655
UST0313
UST0313
UST1216
UST1216
UST1216
UST1060
UST1060
UST0501
UST0501
UST0512
UST0512
UST0512
UST0512
UST0512
UST0347
UST0347
UST0347
UST0033
UST0033
UST0366
UST0366
UST0366
UST0089
UST0089
UST0089
UST0089
UST0540
UST0540
UST0540
UST0168
UST0168
UST0151
UST0151
UST0305
UST0305
UST0305
UST0175
UST0175
UST0175
UST0181
UST0181
UST0474
UST0474
UST0474
UST0474
UST0474
UST0143
UST0143
UST0107
UST0107
UST1207
UST1207
UST0208
UST0208
UST0208
UST0763
UST0763
UST1055
UST1055
UST1055
UST0071
UST0071
UST0071
UST0071
UST0394
UST0394
UST0394
UST1148
UST1148
UST0104
UST0104
UST0104
UST0269
UST0269
UST0269
UST0425
UST0425
UST0144
UST0144
UST0144
UST0099
UST0099
UST1210
UST1210
UST1210
UST1210
UST0490
UST0490
UST0105
UST0105
UST0701
UST0701
UST0701
UST1115
UST1115
UST0491
UST0491
UST0145
UST0145
UST0145
UST1221
UST1221
UST1221
UST0114
UST0114
UST0114
UST0910
UST0910
UST1009
UST1009
UST1009
UST0751
UST0751
UST1114
UST1114
UST0146
UST0146
UST0146
UST0944
UST0944
UST0477
UST0477
UST0477
UST0478
UST0478
8,116
11,14,15
15
8,95,97
11
8
44
11,44
8,14
8,14,44
11
8,14,44
8,14
8,14,44
8,14,44
8,14,36,111
11,36
8,14,44
14,15
11
11,14,15
11
11
8,32,97,132
8,14
8,14
9,11,36
8,14,45
8,14,44
44
8
11
8,14,44
8
8
8,14,74
11,61
15,17,44
8,11
8,11,36
AB&T FINANCIAL CORPORATION
RIDGESTONE FINANCIAL SERVICES, INC.
RISING SUN BANCORP
RISING SUN BANCORP
RIVER VALLEY BANCORPORATION, INC.
RIVER VALLEY BANCORPORATION, INC.
RIVER VALLEY BANCORPORATION, INC.
RIVERSIDE BANCSHARES, INC.
RIVERSIDE BANCSHARES, INC.
ROGERS BANCSHARES, INC.
ROGERS BANCSHARES, INC.
ROYAL BANCSHARES OF PENNSYLVANIA, INC.
ROYAL BANCSHARES OF PENNSYLVANIA, INC.
ROYAL BANCSHARES OF PENNSYLVANIA, INC.
ROYAL BANCSHARES OF PENNSYLVANIA, INC.
ROYAL BANCSHARES OF PENNSYLVANIA, INC.
S&T BANCORP, INC.
S&T BANCORP, INC.
S&T BANCORP, INC.
SAIGON NATIONAL BANK / CALIFORNIA INTERNATIONAL BANK, N.A.
SAIGON NATIONAL BANK / CALIFORNIA INTERNATIONAL BANK, N.A.
SALISBURY BANCORP, INC.
SALISBURY BANCORP, INC.
SALISBURY BANCORP, INC.
SANDY SPRING BANCORP, INC.
SANDY SPRING BANCORP, INC.
SANDY SPRING BANCORP, INC.
SANDY SPRING BANCORP, INC.
SANTA CLARA VALLEY BANK, N.A
SANTA CLARA VALLEY BANK, N.A
SANTA CLARA VALLEY BANK, N.A
SANTA LUCIA BANCORP
SANTA LUCIA BANCORP
SBT BANCORP, INC.
SBT BANCORP, INC.
SCBT FINANCIAL CORPORATION
SCBT FINANCIAL CORPORATION
SCBT FINANCIAL CORPORATION
SEACOAST BANKING CORPORATION OF FLORIDA
SEACOAST BANKING CORPORATION OF FLORIDA
SEACOAST BANKING CORPORATION OF FLORIDA
SEACOAST COMMERCE BANK
SEACOAST COMMERCE BANK
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BUSINESS BANCORP
SECURITY BUSINESS BANCORP
SECURITY CALIFORNIA BANCORP
SECURITY CALIFORNIA BANCORP
SECURITY CAPITAL CORPORATION
SECURITY CAPITAL CORPORATION
SECURITY FEDERAL CORPORATION
SECURITY FEDERAL CORPORATION
SECURITY FEDERAL CORPORATION
SECURITY STATE BANCSHARES, INC.
SECURITY STATE BANCSHARES, INC.
SECURITY STATE BANK HOLDING COMPANY
SECURITY STATE BANK HOLDING COMPANY
SECURITY STATE BANK HOLDING COMPANY
SEVERN BANCORP, INC.
SEVERN BANCORP, INC.
SEVERN BANCORP, INC.
SEVERN BANCORP, INC.
SHORE BANCSHARES, INC.
SHORE BANCSHARES, INC.
SHORE BANCSHARES, INC.
SIGNATURE BANCSHARES, INC.
SIGNATURE BANCSHARES, INC.
SIGNATURE BANK
SIGNATURE BANK
SIGNATURE BANK
SOMERSET HILLS BANCORP
SOMERSET HILLS BANCORP
SOMERSET HILLS BANCORP
SONOMA VALLEY BANCORP
SONOMA VALLEY BANCORP
SOUND BANKING COMPANY
SOUND BANKING COMPANY
SOUND BANKING COMPANY
SOUTH FINANCIAL GROUP, INC./ CAROLINA FIRST BANK
SOUTH FINANCIAL GROUP, INC./ CAROLINA FIRST BANK
SOUTHCREST FINANCIAL GROUP, INC.
SOUTHCREST FINANCIAL GROUP, INC.
SOUTHCREST FINANCIAL GROUP, INC.
SOUTHCREST FINANCIAL GROUP, INC.
SOUTHERN BANCORP, INC.
SOUTHERN BANCORP, INC.
SOUTHERN COMMUNITY FINANCIAL CORP.
SOUTHERN COMMUNITY FINANCIAL CORP.
SOUTHERN FIRST BANCSHARES, INC.
SOUTHERN FIRST BANCSHARES, INC.
SOUTHERN FIRST BANCSHARES, INC.
SOUTHERN HERITAGE BANCSHARES, INC.
SOUTHERN HERITAGE BANCSHARES, INC.
SOUTHERN ILLINOIS BANCORP, INC.
SOUTHERN ILLINOIS BANCORP, INC.
SOUTHERN MISSOURI BANCORP, INC.
SOUTHERN MISSOURI BANCORP, INC.
SOUTHERN MISSOURI BANCORP, INC.
SOUTHFIRST BANCSHARES, INC.
SOUTHFIRST BANCSHARES, INC.
SOUTHFIRST BANCSHARES, INC.
SOUTHWEST BANCORP, INC.
SOUTHWEST BANCORP, INC.
SOUTHWEST BANCORP, INC.
SOVEREIGN BANCSHARES, INC.
SOVEREIGN BANCSHARES, INC.
SPIRIT BANKCORP, INC.
SPIRIT BANKCORP, INC.
SPIRIT BANKCORP, INC.
ST. JOHNS BANCSHARES, INC.
ST. JOHNS BANCSHARES, INC.
STANDARD BANCSHARES, INC.
STANDARD BANCSHARES, INC.
STATE BANCORP, INC. / VALLEY NATIONAL BANCORP
STATE BANCORP, INC. / VALLEY NATIONAL BANCORP
STATE BANCORP, INC. / VALLEY NATIONAL BANCORP
STATE BANK OF BARTLEY, THE
STATE BANK OF BARTLEY, THE
STATE BANKSHARES, INC.
STATE BANKSHARES, INC.
STATE BANKSHARES, INC.
STATE CAPITAL CORP.
STATE CAPITAL CORP.
GASTONIA
BROOKFIELD
RISING SUN
RISING SUN
WAUSAU
WAUSAU
WAUSAU
LITTLE ROCK
LITTLE ROCK
LITTLE ROCK
LITTLE ROCK
NARBERTH
NARBERTH
NARBERTH
NARBERTH
NARBERTH
INDIANA
INDIANA
INDIANA
WESTMINSTER
WESTMINSTER
LAKEVILLE
LAKEVILLE
LAKEVILLE
OLNEY
OLNEY
OLNEY
OLNEY
SANTA PAULA
SANTA PAULA
SANTA PAULA
ATASCADERO
ATASCADERO
SIMSBURY
SIMSBURY
COLUMBIA
COLUMBIA
COLUMBIA
STUART
STUART
STUART
CHULA VISTA
CHULA VISTA
WAYNESVILLE
WAYNESVILLE
WAYNESVILLE
WAYNESVILLE
WAYNESVILLE
SAN DIEGO
SAN DIEGO
RIVERSIDE
RIVERSIDE
BATESVILLE
BATESVILLE
AIKEN
AIKEN
AIKEN
CHARLESTON
CHARLESTON
JAMESTOWN
JAMESTOWN
JAMESTOWN
ANNAPOLIS
ANNAPOLIS
ANNAPOLIS
ANNAPOLIS
EASTON
EASTON
EASTON
DALLAS
DALLAS
NEW YORK
NEW YORK
NEW YORK
BERNARDSVILLE
BERNARDSVILLE
BERNARDSVILLE
SONOMA
SONOMA
MOREHEAD CITY
MOREHEAD CITY
MOREHEAD CITY
GREENVILLE
GREENVILLE
FAYETTEVILLE
FAYETTEVILLE
FAYETTEVILLE
FAYETTEVILLE
ARKADELPHIA
ARKADELPHIA
WINSTON-SALEM
WINSTON-SALEM
GREENVILLE
GREENVILLE
GREENVILLE
CLEVELAND
CLEVELAND
CARMI
CARMI
POPLAR BLUFF
POPLAR BLUFF
POPLAR BLUFF
SYLACAUGA
SYLACAUGA
SYLACAUGA
STILLWATER
STILLWATER
STILLWATER
DALLAS
DALLAS
BRISTOW
BRISTOW
BRISTOW
ST. LOUIS
ST. LOUIS
HICKORY HILLS
HICKORY HILLS
JERICHO
JERICHO
JERICHO
BARTLEY
BARTLEY
FARGO
FARGO
FARGO
GREENWOOD
GREENWOOD
NC
WI
MD
MD
WI
WI
WI
AR
AR
AR
AR
PA
PA
PA
PA
PA
PA
PA
PA
CA
CA
CT
CT
CT
MD
MD
MD
MD
CA
CA
CA
CA
CA
CT
CT
SC
SC
SC
FL
FL
FL
CA
CA
MO
MO
MO
MO
MO
CA
CA
CA
CA
MS
MS
SC
SC
SC
MO
MO
ND
ND
ND
MD
MD
MD
MD
MD
MD
MD
TX
TX
NY
NY
NY
NJ
NJ
NJ
CA
CA
NC
NC
NC
SC
SC
GA
GA
GA
GA
AR
AR
NC
NC
SC
SC
SC
TN
TN
IL
IL
MO
MO
MO
AL
AL
AL
OK
OK
OK
TX
TX
OK
OK
OK
MO
MO
IL
IL
NY
NY
NY
NE
NE
ND
ND
ND
MS
MS
11/19/2013
3/26/2013
1/9/2009
10/17/2014
6/12/2009
6/6/2012
5/15/2013
5/15/2009
5/14/2014
1/30/2009
7/5/2013
2/20/2009
7/1/2014
7/2/2014
9/26/2014
2/28/2018
1/16/2009
12/7/2011
6/11/2013
12/23/2008
4/5/2017
3/13/2009
8/25/2011
11/2/2011
12/5/2008
7/21/2010
12/15/2010
2/23/2011
2/13/2009
3/8/2013
4/9/2013
12/19/2008
10/21/2011
3/27/2009
8/11/2011
1/16/2009
5/20/2009
6/24/2009
12/19/2008
4/3/2012
5/30/2012
12/23/2008
9/1/2011
2/13/2009
12/10/2012
12/11/2012
1/11/2013
3/26/2013
1/9/2009
7/14/2011
1/9/2009
9/15/2011
6/26/2009
9/29/2010
12/19/2008
9/29/2010
7/31/2013
2/20/2009
9/22/2011
5/1/2009
6/24/2013
7/26/2013
11/21/2008
9/25/2013
10/29/2013
12/20/2017
1/9/2009
4/15/2009
11/16/2011
6/26/2009
12/15/2010
12/12/2008
3/31/2009
3/16/2010
1/16/2009
5/20/2009
6/24/2009
2/20/2009
8/20/2010
1/9/2009
11/13/2012
1/11/2013
12/5/2008
9/30/2010
7/17/2009
3/8/2013
3/11/2013
4/9/2013
1/16/2009
8/6/2010
12/5/2008
10/1/2012
2/27/2009
7/3/2012
7/25/2012
5/15/2009
9/8/2011
1/23/2009
8/25/2011
12/5/2008
7/21/2011
5/13/2015
6/12/2009
6/29/2015
8/6/2015
12/5/2008
8/8/2012
5/29/2013
3/13/2009
9/22/2011
3/27/2009
10/21/2013
1/6/2014
3/13/2009
1/10/2018
4/24/2009
2/22/2013
12/5/2008
12/14/2011
5/27/2015
9/4/2009
9/22/2011
1/16/2009
8/12/2009
6/29/2011
2/13/2009
9/29/2010
$815,100.00
2,964
$275.00
($2,148,900.00)
$10,500,000.00
$4,500,000.00
10,500,000
4,500,000
$1.00
$1.00
$750,000.00
750,000
$1,100,000.00
1,100,000
$1.00
$55,000.00
55,000
$1,755,000.00
1,368,041
$527,361.00
517,012
($89,663.40)
Preferred Stock w/ Exercised Warrants
$5,983,000.00
$0.00
$15,000,000.00
$0.00
$195,637.00 Currently Not Collectible
($5,983,000.00)
Subordinated Debentures w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants
$1,100,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$25,000,000.00
$0.00
Preferred Stock w/ Warrants
$30,407,000.00
$0.00
$19,928,275.00 Redeemed, in full; warrants not outstanding
$1,622,708.57 Redeemed, in full; warrants not outstanding
$738,021.00 Currently Not Collectible
($25,000,000.00)
$38,451,518.83 Sold, in full; warrants not outstanding
$9,000,000.00
$21,407,000.00
9,000
21,407
$1,207.11
$1,207.11
108,676
$1,000.00
$1,863,990.00
$4,433,603.77
($367,045.94)
Preferred Stock w/ Warrants
$108,676,000.00
$0.00
$124,916,099.34 Redeemed, in full; warrants not outstanding
$108,676,000.00
Preferred Stock w/ Exercised Warrants
$1,549,000.00
$0.00
$1,646,325.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$8,816,000.00
$0.00
$10,100,960.44 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$83,094,000.00
$0.00
$2,900,000.00
$0.00
$1,549,000.00
1,549
$1,000.00
$8,816,000.00
8,816
$1,000.00
77
$205,000.00
57,671
$4,450,000.00
651,547
$98,251.45
145
$95,137,868.33 Redeemed, in full; warrants not outstanding
$41,547,000.00
$41,547,000.00
Preferred Stock w/ Exercised Warrants
$77,000.00
41,547
41,547
$1,000.00
$1,000.00
2,900
$850.01
($434,971.00)
4,000
$700.00
($1,200,000.00)
$4,000,000.00
4,000
$1,000.00
$64,779,000.00
64,779
$1,000.00
$2,697,208.51 Sold, in full; warrants not outstanding
$2,465,029.00
($25,000.00)
Preferred Stock w/ Warrants
$4,000,000.00
$0.00
$3,131,111.11 Sold, in full; warrants not outstanding
$2,800,000.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$4,000,000.00
$0.00
$4,717,144.78 Redeemed, in full; warrants not outstanding
$64,779,000.00
$0.00
$67,294,638.84 Redeemed, in full; warrants not outstanding
$50,000,000.00
$0.00
$1,800,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$2,152,000.00
$0.00
200
303,083
$55,000.00
589,623
$49,045,470.38 Sold, in full; warrants not outstanding
$41,020,000.00
Preferred Stock w/ Exercised Warrants
$200,000.00
$1,400,000.00
2,000
$20,510.00
$1,800,000.00
($615,300.00)
1,800
$1,000.00
$174,537.72
$1,315,959.00
252
1,900
$692.61
$692.61
$5,803,000.00
5,803
$6,815,000.00
6,815
$17,388,000.00
$18,000,000.00
($8,980,000.00)
$2,153,780.00 Redeemed, in full; warrants not outstanding
$90,000.00
90
$69,186.80
108
$1,000.00
$290,000.00
290
$1,000.00
$341,000.00
341
17,388
$1,000.00
$522,000.00
522
18,000
$1,000.00
$50,000.00
137,966
$1,983,756.24 Sold, in full; warrants not outstanding
($77,462.28)
($584,041.00)
($14,904.97)
($10,095.03)
Preferred Stock w/ Exercised Warrants
$5,803,000.00
$0.00
$6,888,017.86 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,815,000.00
$0.00
$8,152,698.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$17,388,000.00
$0.00
$19,063,111.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$18,000,000.00
$0.00
$19,650,000.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,500,000.00
$0.00
$14,888,679.86 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$10,750,000.00
$0.00
$14,543,635.13 Sold, in full; warrants not outstanding
$12,500,000.00
$10,750,000.00
12,500
$1,000.00
10,750,000
$1.17
23,393
$998.90
25,000
$1,000.00
$1,784,607.50
$625,000.00
625
$720,368.55
538,000
($125,346.08)
Preferred Stock w/ Warrants
$23,393,000.00
$0.00
$27,435,463.85 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$25,358,333.33 Redeemed, in full; warrants not outstanding
$23,367,267.70
($25,732.30)
($233,672.68)
$25,000,000.00
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
$1,700,000.00
$0.00
$1,994,587.59 Redeemed, in full; warrants not outstanding
$120,000,000.00
$0.00
$132,967,606.41 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$7,414,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$8,653,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$3,070,000.00
$0.00
$3,575,224.44 Sold, in full; warrants not outstanding
$347,000,000.00
$0.00
$146,965,329.86 Sold, in full; warrants not outstanding
$1,700,000.00
1,700,000
$1.00
$120,000,000.00
120,000
$1,000.00
$520,000.00
556,976
$25,000.00
172,970
$85,000.00
85,000
$11,150,939.74
595,829
$275,000.00
163,065
$7,816,685.55 Redeemed, in full; warrants not outstanding
$7,414,000.00
7,414
$1,000.00
$497,164.00 Currently Not Collectible
($8,653,000.00)
$2,832,412.70
3,070
$922.61
($237,587.30)
$124,412.34
154
130,179
$1,000.00
($216,820,781.25)
$400,000.00
10,106,796
2,000
10,900
$907.31
$907.31
($185,380.00)
($1,010,321.00)
$588,264.19
645
11,000
$1,000.00
42,750
$1,000.00
($25,000.00)
Preferred Stock w/ Warrants
$130,179,218.75
Preferred Stock w/ Exercised Warrants
$12,900,000.00
$0.00
$13,109,014.25 Sold, in full; warrants not outstanding
Preferred Stock
$11,000,000.00
$0.00
$11,855,555.56 Redeemed, in full; warrants not outstanding
$1,814,620.00
$9,889,679.00
($117,042.99)
$11,000,000.00
Preferred Stock w/ Warrants
$42,750,000.00
$0.00
$51,088,046.14 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$17,299,000.00
$0.00
$19,401,361.89 Sold, in full; warrants not outstanding
$42,750,000.00
$15,638,296.00
Preferred Stock w/ Exercised Warrants
$4,862,000.00
$0.00
$5,000,000.00
$0.00
$5,955,472.22 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$9,550,000.00
$0.00
$13,504,763.89 Redeemed, in full; warrants not outstanding
$2,760,000.00
$0.00
$70,000,000.00
$0.00
17,299
$904.00
$1,100,000.00
399,970
$4,862,000.00
4,862
$1,000.00
($1,660,704.00)
$243,000.00
243
$5,000,000.00
5,000
$1,000.00
$250,000.00
250
$9,550,000.00
9,550
$1,000.00
$2,700,000.00
231,891
$140,617.94
138
$2,287,197.00
703,753
$5,718,111.14 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
($234,574.44)
$3,202,464.28 Sold, in full; warrants not outstanding
$2,722,050.00
2,760
$986.25
$70,000,000.00
70,000
$1,000.00
$18,215,000.00
18,215
$1,000.00
30,000
$300.00
$3,000,000.00
3,000
$1,000.00
$60,000,000.00
12,903,226
$4.65
$36,842,000.00
36,842
$1,000.00
$1,697,000.00
1,697,000
$1.00
$12,500,000.00
$37,500,000.00
12,500
37,500
$15,000,000.00
15,000
($37,950.00)
($25,000.00)
Preferred Stock w/ Warrants
$85,247,569.91 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$18,215,000.00
$0.00
$21,632,668.61 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$30,000,000.00
$0.00
$11,803,691.75 Sold, in full; warrants not outstanding
$9,000,000.00
$911,000.00
911
$631,941.75
1,500
$150,000.00
150
$100,566.69
488,847
$51,000.00
51,000
$1,000.00
$1,000.00
$2,500,000.00
250
$1,000.00
$750,000.00
750
($21,000,000.00)
($90,000.00)
Preferred Stock w/ Exercised Warrants
$3,000,000.00
$0.00
$5,031,220.50 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$60,000,000.00
$0.00
$75,757,163.03 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$36,842,000.00
$0.00
$42,514,919.19 Redeemed, in full; warrants not outstanding
$1,697,000.00
$0.00
$2,030,299.18 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$50,000,000.00
$15,000,000.00
$0.00
$0.00
$3,000,000.00
$58,008,472.23 Redeemed, in full; warrants not outstanding
$17,080,708.67 Redeemed, in full; warrants not outstanding
27
UST0379
UST0020
UST0020
UST0020
UST0919
UST0919
UST1316
UST1316
UST0237
UST0237
UST0237
UST0237
UST0299
UST0299
UST0299
UST0147
UST0147
UST0147
UST0183
UST0183
UST0183
UST0380
UST0380
UST0380
UST0475
UST0475
UST0475
UST0559
UST0559
UST0559
UST0559
UST1289
UST1289
UST0148
UST0148
UST0148
UST0188
UST0188
UST0188
UST0005
UST0005
UST0005
UST0005
UST0112
UST0112
UST0202
UST0202
UST0095
UST0095
UST0095
UST0095
UST1079
UST1079
UST0087
UST0087
UST0087
UST1145
UST1145
UST0100
UST0100
UST0100
UST0395
UST0395
UST0083
UST0083
UST0083
UST1314
UST1314
UST0218
UST0218
UST0052
UST0052
UST0052
UST0213
UST0213
UST0101
UST0101
UST0350
UST0350
UST0350
UST0350
UST0373
UST0373
UST0373
UST0376
UST0376
UST0746
UST0746
UST0149
UST0149
UST0149
UST0643
UST0643
UST0362
UST0362
UST0362
UST0362
UST0443
UST0443
UST0443
UST0443
UST0163
UST0163
UST0293
UST0293
UST0293
UST0186
UST0186
UST0186
UST0186
UST0186
UST0511
UST0511
UST0511
UST0652
UST0652
UST0470
UST0470
UST0830
UST0830
UST0830
UST0896
UST0896
UST0150
UST0150
UST0150
UST0032
12,16
11,14,15
15,17,45
11
11
11
31
44
8,11,14
8,14
15,123
44
11
11
24,49,97
8,11,14
11
8,11,14
12,16
14,15,44
11,150
8,103
15,17,45
8,97,100
11
8,11,14
63,97
8,14
11
8,11,14
8,14,44
12,16
8
11
8,14
44
11
11,36
8,11,14
8,11,14
11
8,14,44
8,14
11
AB&T FINANCIAL CORPORATION
STATE STREET CORPORATION
STATE STREET CORPORATION
STATE STREET CORPORATION
STEARNS FINANCIAL SERVICES, INC.
STEARNS FINANCIAL SERVICES, INC.
STEELE STREET BANK CORPORATION
STEELE STREET BANK CORPORATION
STELLARONE CORPORATION
STELLARONE CORPORATION
STELLARONE CORPORATION
STELLARONE CORPORATION
STERLING BANCORP
STERLING BANCORP
STERLING BANCORP
STERLING BANCSHARES, INC.
STERLING BANCSHARES, INC.
STERLING BANCSHARES, INC.
STERLING FINANCIAL CORPORATION
STERLING FINANCIAL CORPORATION
STERLING FINANCIAL CORPORATION
STEWARDSHIP FINANCIAL CORPORATION
STEWARDSHIP FINANCIAL CORPORATION
STEWARDSHIP FINANCIAL CORPORATION
STOCKMENS FINANCIAL CORPORATION
STOCKMENS FINANCIAL CORPORATION
STOCKMENS FINANCIAL CORPORATION
STONEBRIDGE FINANCIAL CORP.
STONEBRIDGE FINANCIAL CORP.
STONEBRIDGE FINANCIAL CORP.
STONEBRIDGE FINANCIAL CORP.
SUBURBAN ILLINOIS BANCORP, INC.
SUBURBAN ILLINOIS BANCORP, INC.
SUMMIT STATE BANK
SUMMIT STATE BANK
SUMMIT STATE BANK
SUN BANCORP, INC.
SUN BANCORP, INC.
SUN BANCORP, INC.
SUNTRUST BANKS, INC.
SUNTRUST BANKS, INC.
SUNTRUST BANKS, INC.
SUNTRUST BANKS, INC.
SUPERIOR BANCORP INC.
SUPERIOR BANCORP INC.
SURREY BANCORP
SURREY BANCORP
SUSQUEHANNA BANCSHARES, INC.
SUSQUEHANNA BANCSHARES, INC.
SUSQUEHANNA BANCSHARES, INC.
SUSQUEHANNA BANCSHARES, INC.
SV FINANCIAL, INC.
SV FINANCIAL, INC.
SVB FINANCIAL GROUP
SVB FINANCIAL GROUP
SVB FINANCIAL GROUP
SWORD FINANCIAL CORPORATION
SWORD FINANCIAL CORPORATION
SYNOVUS FINANCIAL CORP.
SYNOVUS FINANCIAL CORP.
SYNOVUS FINANCIAL CORP.
SYRINGA BANCORP
SYRINGA BANCORP
TAYLOR CAPITAL GROUP
TAYLOR CAPITAL GROUP
TAYLOR CAPITAL GROUP
TCB CORPORATION/COUNTY BANK
TCB CORPORATION/COUNTY BANK
TCB HOLDING COMPANY
TCB HOLDING COMPANY
TCF FINANCIAL CORPORATION
TCF FINANCIAL CORPORATION
TCF FINANCIAL CORPORATION
TCNB FINANCIAL CORP
TCNB FINANCIAL CORP
TENNESSEE COMMERCE BANCORP, INC.
TENNESSEE COMMERCE BANCORP, INC.
TENNESSEE VALLEY FINANCIAL HOLDINGS, INC.
TENNESSEE VALLEY FINANCIAL HOLDINGS, INC.
TENNESSEE VALLEY FINANCIAL HOLDINGS, INC.
TENNESSEE VALLEY FINANCIAL HOLDINGS, INC.
TEXAS CAPITAL BANCSHARES, INC.
TEXAS CAPITAL BANCSHARES, INC.
TEXAS CAPITAL BANCSHARES, INC.
TEXAS NATIONAL BANCORPORATION INC.
TEXAS NATIONAL BANCORPORATION INC.
THE ANB CORPORATION
THE ANB CORPORATION
THE BANCORP, INC.
THE BANCORP, INC.
THE BANCORP, INC.
THE BANK OF CURRITUCK
THE BANK OF CURRITUCK
THE BANK OF KENTUCKY FINANCIAL CORPORATION
THE BANK OF KENTUCKY FINANCIAL CORPORATION
THE BANK OF KENTUCKY FINANCIAL CORPORATION
THE BANK OF KENTUCKY FINANCIAL CORPORATION
THE BARABOO BANCORPORATION, INC.
THE BARABOO BANCORPORATION, INC.
THE BARABOO BANCORPORATION, INC.
THE BARABOO BANCORPORATION, INC.
THE CONNECTICUT BANK AND TRUST COMPANY
THE CONNECTICUT BANK AND TRUST COMPANY
THE ELMIRA SAVINGS BANK, FSB
THE ELMIRA SAVINGS BANK, FSB
THE ELMIRA SAVINGS BANK, FSB
THE FIRST BANCORP, INC.
THE FIRST BANCORP, INC.
THE FIRST BANCORP, INC.
THE FIRST BANCORP, INC.
THE FIRST BANCORP, INC.
THE FIRST BANCSHARES, INC.
THE FIRST BANCSHARES, INC.
THE FIRST BANCSHARES, INC.
THE FIRST STATE BANK OF MOBEETIE
THE FIRST STATE BANK OF MOBEETIE
THE FREEPORT STATE BANK
THE FREEPORT STATE BANK
THE HARTFORD FINANCIAL SERVICES GROUP, INC.
THE HARTFORD FINANCIAL SERVICES GROUP, INC.
THE HARTFORD FINANCIAL SERVICES GROUP, INC.
THE LANDRUM COMPANY
THE LANDRUM COMPANY
THE LITTLE BANK, INCORPORATED
THE LITTLE BANK, INCORPORATED
THE LITTLE BANK, INCORPORATED
THE PNC FINANCIAL SERVICES GROUP, INC.
GASTONIA
BOSTON
BOSTON
BOSTON
ST. CLOUD
ST. CLOUD
DENVER
DENVER
CHARLOTTESVILLE
CHARLOTTESVILLE
CHARLOTTESVILLE
CHARLOTTESVILLE
NEW YORK
NEW YORK
NEW YORK
HOUSTON
HOUSTON
HOUSTON
SPOKANE
SPOKANE
SPOKANE
MIDLAND PARK
MIDLAND PARK
MIDLAND PARK
RAPID CITY
RAPID CITY
RAPID CITY
WEST CHESTER
WEST CHESTER
WEST CHESTER
WEST CHESTER
ELMHURST
ELMHURST
SANTA ROSA
SANTA ROSA
SANTA ROSA
VINELAND
VINELAND
VINELAND
ATLANTA
ATLANTA
ATLANTA
ATLANTA
BIRMINGHAM
BIRMINGHAM
MOUNT AIRY
MOUNT AIRY
LITITZ
LITITZ
LITITZ
LITITZ
STERLING
STERLING
SANTA CLARA
SANTA CLARA
SANTA CLARA
HORICON
HORICON
COLUMBUS
COLUMBUS
COLUMBUS
BOISE
BOISE
ROSEMONT
ROSEMONT
ROSEMONT
GREENWOOD
GREENWOOD
THE WOODLANDS
THE WOODLANDS
WAYZATA
WAYZATA
WAYZATA
DAYTON
DAYTON
FRANKLIN
FRANKLIN
OAK RIDGE
OAK RIDGE
OAK RIDGE
OAK RIDGE
DALLAS
DALLAS
DALLAS
JACKSONVILLE
JACKSONVILLE
TERRELL
TERRELL
WILMINGTON
WILMINGTON
WILMINGTON
MOYOCK
MOYOCK
CRESTVIEW HILLS
CRESTVIEW HILLS
CRESTVIEW HILLS
CRESTVIEW HILLS
BARABOO
BARABOO
BARABOO
BARABOO
HARTFORD
HARTFORD
ELMIRA
ELMIRA
ELMIRA
DAMARISCOTTA
DAMARISCOTTA
DAMARISCOTTA
DAMARISCOTTA
DAMARISCOTTA
HATTIESBURG
HATTIESBURG
HATTIESBURG
MOBEETIE
MOBEETIE
HARPER
HARPER
HARTFORD
HARTFORD
HARTFORD
COLUMBIA
COLUMBIA
KINSTON
KINSTON
KINSTON
PITTSBURGH
NC
MA
MA
MA
MN
MN
CO
CO
VA
VA
VA
VA
NY
NY
NY
TX
TX
TX
WA
WA
WA
NJ
NJ
NJ
SD
SD
SD
PA
PA
PA
PA
IL
IL
CA
CA
CA
NJ
NJ
NJ
GA
GA
GA
GA
AL
AL
NC
NC
PA
PA
PA
PA
IL
IL
CA
CA
CA
WI
WI
GA
GA
GA
ID
ID
IL
IL
IL
SC
SC
TX
TX
MN
MN
MN
OH
OH
TN
TN
TN
TN
TN
TN
TX
TX
TX
TX
TX
TX
TX
DE
DE
DE
NC
NC
KY
KY
KY
KY
WI
WI
WI
WI
CT
CT
NY
NY
NY
ME
ME
ME
ME
ME
MS
MS
MS
TX
TX
KS
KS
CT
CT
CT
MO
MO
NC
NC
NC
PA
11/19/2013
10/28/2008
6/17/2009
7/8/2009
6/26/2009
1/18/2012
9/25/2009
9/1/2011
12/19/2008
4/13/2011
12/28/2011
12/18/2013
12/23/2008
4/27/2011
5/18/2011
12/12/2008
5/5/2009
6/15/2010
12/5/2008
8/20/2012
9/19/2012
1/30/2009
9/1/2011
10/26/2011
2/6/2009
1/12/2011
3/16/2011
1/23/2009
3/26/2013
3/27/2013
4/9/2013
6/19/2009
7/16/2015
12/19/2008
8/4/2011
9/14/2011
1/9/2009
4/8/2009
5/27/2009
11/14/2008
12/31/2008
3/30/2011
9/28/2011
12/5/2008
4/15/2011
1/9/2009
12/29/2010
12/12/2008
4/21/2010
12/22/2010
1/19/2011
4/10/2009
8/31/2011
12/12/2008
12/23/2009
6/16/2010
5/8/2009
9/15/2011
12/19/2008
7/26/2013
7/17/2018
1/16/2009
1/31/2014
11/21/2008
6/19/2012
7/18/2012
8/28/2009
9/8/2011
1/16/2009
12/13/2013
11/14/2008
4/22/2009
12/21/2009
12/23/2008
8/3/2011
12/19/2008
1/27/2012
12/23/2008
4/26/2013
4/29/2013
5/31/2013
1/16/2009
5/13/2009
3/17/2010
1/9/2009
5/19/2010
8/7/2009
8/25/2011
12/12/2008
3/10/2010
9/8/2010
2/6/2009
12/3/2010
2/13/2009
12/22/2010
11/23/2011
5/29/2013
1/16/2009
12/10/2012
12/11/2012
1/11/2013
12/19/2008
4/19/2012
12/19/2008
8/25/2011
5/6/2015
1/9/2009
8/24/2011
3/27/2013
5/8/2013
5/28/2015
2/6/2009
9/29/2010
5/13/2015
2/27/2009
4/14/2010
2/6/2009
12/19/2012
6/26/2009
3/31/2010
9/27/2010
5/22/2009
8/18/2011
12/23/2008
10/31/2012
1/11/2013
12/31/2008
Preferred Stock w/ Warrants
$2,000,000,000.00
$0.00
Subordinated Debentures w/ Exercised Warrants
$24,900,000.00
$0.00
$31,495,442.29 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$11,019,000.00
$0.00
$13,078,672.60 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$30,000,000.00
$0.00
$37,191,875.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$42,000,000.00
$125,198,000.00
$0.00
$0.00
$815,100.00
2,964
$275.00
$2,000,000,000.00
20,000
$100,000.00
$60,000,000.00
2,788,104
$24,900,000.00
24,900,000
$1.00
$1,245,000.00
1,245,000
$11,019,000.00
11,019,000
$1.00
$331,000.00
331,000
$7,500,000.00
$22,500,000.00
7,500
22,500
$1,000.00
$1,000.00
$2,920,000.00
302,623
$42,000,000.00
42,000
$1,000.00
$47,869,108.33 Redeemed, in full; warrants not outstanding
$303,000,000.00
$0.00
Preferred Stock w/ Warrants
$10,000,000.00
$0.00
125,198
$15,568,000.00
$0.00
$10,973,000.00
$0.00
2,615,557
($1,434,659.25)
5,738,637
$20.00
10,000
$1,000.00
($188,227,260.00)
$825,000.00
97,541
$107,398.00
133,475
$778,000.00
778
$130,704.17
$8,358.99
516
33
$750,000.00
750,000
$11,400,453.22 Redeemed, in full; warrants not outstanding
$10,000,000.00
Preferred Stock w/ Exercised Warrants
516,817
$2,857,914.52
$1,000.00
$121,757,209.63 Sold, in full; warrants not outstanding
$114,772,740.00
Preferred Stock w/ Exercised Warrants
$945,775.00
$130,542,485.91 Redeemed, in full; warrants not outstanding
$125,198,000.00
Preferred Stock w/ Warrants
($2,148,900.00)
$2,123,611,111.12 Redeemed, in full; warrants not outstanding
$18,101,553.84 Redeemed, in full; warrants not outstanding
$4,000,000.00
$11,568,000.00
4,000
11,568
$1,000.00
$1,000.00
$1,796,209.03
$107,935.66
10,351
622
$173.53
$173.53
$2,652,816.96 Sold, in full; warrants not outstanding
($8,554,790.97)
($514,064.34)
($25,000.00)
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$15,000,000.00
$0.00
$24,929,429.70 Redeemed, in full; warrants not outstanding
$8,500,000.00
$0.00
$9,930,625.00 Redeemed, in full; warrants not outstanding
$89,310,000.00
$0.00
$15,000,000.00
15,000,000
$1.00
$8,500,000.00
8,500
$1,000.00
$315,000.00
239,212
$2,100,000.00
1,620,545
$30,066,661.40
17,900,182
$92,513,970.83 Redeemed, in full; warrants not outstanding
$89,310,000.00
Preferred Stock w/ Warrants
$3,500,000,000.00
$1,350,000,000.00
$0.00
Preferred Stock w/ Warrants
$69,000,000.00
$0.00
$4,983,333.33 Currently Not Collectible
$2,000,000.00
$0.00
$2,314,972.22 Redeemed, in full; warrants not outstanding
$300,000,000.00
$0.00
$328,991,401.58 Redeemed, in full; warrants not outstanding
89,310
$1,000.00
$5,448,052,772.51 Redeemed, in full; warrants not outstanding
$4,850,000,000.00
48,500
$100,000.00
($69,000,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$4,721,382.89 Redeemed, in full; warrants not outstanding
$235,000,000.00
$0.00
$253,929,027.78 Redeemed, in full; warrants not outstanding
$13,644,000.00
$0.00
$17,019,233.91 Redeemed, in full; warrants not outstanding
$967,870,000.00
$0.00
$1,191,019,526.39 Redeemed, in full; warrants not outstanding
$8,000,000.00
$0.00
$104,823,000.00
$0.00
$2,000,000.00
2,000
$1,000.00
$200,000,000.00
$100,000,000.00
200,000
100,000
$1,000.00
$1,000.00
$4,000,000.00
4,000
$1,000.00
$235,000,000.00
235,000
$1,000.00
$13,644,000.00
13,644,000
$1.00
$967,870,000.00
967,870
$1,000.00
$100,000.00
100
$5,269,179.36
3,028,264
$200,000.00
200
$6,820,000.00
354,058
$682,000.00
682,000
$405,000.00
2,215,820
$9,839,273.00
1,462,647
$292,000.00
292,000
$9,449,980.56
3,199,988
$100,000.00
100
$19,218.87
$124,922.63
20
130
$6,559,066.21
758,086
$253,122.22 Currently Not Collectible
($8,000,000.00)
Preferred Stock w/ Warrants
$120,845,170.80 Sold, in full; warrants not outstanding
$93,659,350.50
Subordinated Debentures w/ Exercised Warrants
$9,720,000.00
$0.00
$11,730,000.00
$0.00
$361,172,000.00
$0.00
$378,547,699.45 Redeemed, in full; warrants not outstanding
$2,000,000.00
$0.00
$2,384,611.11 Redeemed, in full; warrants not outstanding
($1,404,890.26)
$893.50
9,720,000
$1.00
($11,163,649.50)
$11,611,381.34 Redeemed, in full; warrants not outstanding
$9,720,000.00
Preferred Stock w/ Exercised Warrants
104,823
$690,832.08 Currently Not Collectible
($11,730,000.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$30,000,000.00
$0.00
$3,233,333.33 Currently Not Collectible
$3,000,000.00
$0.00
$3,331,713.17 Sold, in full; warrants not outstanding
$75,000,000.00
$0.00
$82,777,816.21 Redeemed, in full; warrants not outstanding
$3,981,000.00
$0.00
$4,475,307.67 Redeemed, in full; warrants not outstanding
$361,172,000.00
361,172
$1,000.00
$2,000,000.00
2,000
$1,000.00
($30,000,000.00)
Preferred Stock w/ Exercised Warrants
$298,000.00
$2,702,000.00
298
2,702
$1,022.11
$1,022.11
$6,588.78
$59,741.22
$75,000,000.00
75,000
$1,000.00
$3,981,000.00
3,981
$1,000.00
$199,000.00
199
$20,000,000.00
20,000
$1,000.00
$1,000,000.00
1,000
$45,220,000.00
45,220
$1,000.00
$4,753,984.55
980,203
$1,742,850.00
4,021
$433.44
$17,000,000.00
$17,000,000.00
17,000
17,000
$1,000.00
$1,000.00
$2,150,648.55
276,078
$1,956,900.00
$11,577,672.70
3,000
17,749
$652.30
$652.30
$403,161.92
$455,316.35
487
550
$5,448,000.00
5,448
$1,000.00
$9,090,000.00
9,090
$1,000.00
($25,000.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$20,000,000.00
$0.00
$23,234,499.98 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$45,220,000.00
$0.00
$52,787,673.44 Redeemed, in full; warrants not outstanding
$4,021,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$1,912,684.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$34,000,000.00
$0.00
$40,091,342.55 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$20,749,000.00
$0.00
$18,023,831.85 Sold, in full; warrants not outstanding
($2,278,150.00)
($1,043,100.00)
($6,171,327.30)
($135,345.73)
Preferred Stock w/ Warrants
$5,448,000.00
$0.00
$6,902,866.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$9,090,000.00
$0.00
$11,795,867.07 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$25,000,000.00
$5,000,000.00
$0.00
$0.00
$731,000.00
$0.00
$813,086.56 Redeemed, in full; warrants not outstanding
$301,000.00
$0.00
$379,458.89 Redeemed, in full; warrants not outstanding
$3,400,000,000.00
$0.00
$4,236,125,671.00 Redeemed, in full; warrants not outstanding
$15,000,000.00
$0.00
$17,580,291.55 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$7,500,000.00
$0.00
$12,500,000.00
$2,500,000.00
$10,000,000.00
12,500
2,500
10,000
$1,000.00
$1,000.00
$1,000.00
151,030
$5,000,000.00
5,000
$1,000.00
$389,077.67
226,819
$302,410.00
54,705
$5,714,215.56 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
175,742
$29,722,063.78 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$792,783.00
$1,486,292.07
$731,000.00
731
$1,000.00
$37,000.00
37
$301,000.00
301
$1,000.00
$15,000.00
15
$3,400,000,000.00
3,400,000
$1,000.00
$706,264,559.89
52,093,973
$15,000,000.00
15,000
$1,000.00
7,500
$981.20
$750,000.00
750
$371,250.00
375
$9,232,652.17 Sold, in full; warrants not outstanding
$7,359,000.00
($141,000.00)
($73,590.00)
Preferred Stock w/ Warrants
$7,579,200,000.00
$0.00
$8,320,638,950.83 Redeemed, in full; warrants not outstanding
28
UST0379
UST0032
UST0032
UST0500
UST0500
UST0047
UST0047
UST0047
UST0047
UST0874
UST0874
UST0874
UST0212
UST0212
UST0212
UST0212
UST0152
UST0152
UST0246
UST0246
UST0824
UST0824
UST0365
UST0365
UST0365
UST0365
UST0365
UST0365
UST0906
UST0906
UST0582
UST0582
UST0153
UST0153
UST0153
UST0555
UST0555
UST0555
UST0555
UST0854
UST0854
UST0075
UST0075
UST0700
UST0700
UST0700
UST0700
UST0700
UST0610
UST0610
UST0696
UST0696
UST0933
UST0933
UST0933
UST0933
UST0077
UST0077
UST0077
UST1236
UST1236
UST0048
UST0048
UST0048
UST0782
UST0782
UST0502
UST0502
UST0003
UST0003
UST0014
UST0014
UST0014
UST1150
UST1150
UST1150
UST1350
UST1350
UST1350
UST0238
UST0238
UST0238
UST0664
UST0664
UST0664
UST0448
UST0448
UST0448
UST0272
UST0272
UST0272
UST1111
UST1111
UST0059
UST0059
UST0059
UST0059
UST0059
UST0059
UST0426
UST0426
UST0426
UST0154
UST0154
UST0154
UST0154
UST1197
UST1197
UST1197
UST1197
UST1267
UST1267
UST0499
UST0499
UST0129
UST0129
UST0129
UST0333
UST0333
UST0254
UST0254
UST0254
UST0169
UST0169
UST0169
UST0169
UST0169
8,14,44
8,14
8,18,21,44
8,21
134
8,47,97
8,11,14
8
45
8
8,14,44
8,14,44
8,14
8,9,11
8,11
8,14,18
11
8,14,44
11
8,122
8,14,44
22,97,141
12,16
8,14,18,44,45
8,11,17
12,16,25
8
11,36
11,14,15
8,11,44
11
8
9,11,15
8
8,11
8,11,14
8
11
AB&T FINANCIAL CORPORATION
THE PNC FINANCIAL SERVICES GROUP, INC.
THE PNC FINANCIAL SERVICES GROUP, INC.
THE PRIVATE BANK OF CALIFORNIA
THE PRIVATE BANK OF CALIFORNIA
THE QUEENSBOROUGH COMPANY
THE QUEENSBOROUGH COMPANY
THE QUEENSBOROUGH COMPANY
THE QUEENSBOROUGH COMPANY
THE VICTORY BANCORP, INC.
THE VICTORY BANCORP, INC.
THE VICTORY BANCORP, INC.
THREE SHORES BANCORPORATION, INC.
THREE SHORES BANCORPORATION, INC.
THREE SHORES BANCORPORATION, INC.
THREE SHORES BANCORPORATION, INC.
TIB FINANCIAL CORP
TIB FINANCIAL CORP
TIDELANDS BANCSHARES, INC.
TIDELANDS BANCSHARES, INC.
TIFTON BANKING COMPANY
TIFTON BANKING COMPANY
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TITONKA BANCSHARES, INC.
TITONKA BANCSHARES, INC.
TODD BANCSHARES, INC.
TODD BANCSHARES, INC.
TOWNEBANK
TOWNEBANK
TOWNEBANK
TREATY OAK BANCORP, INC.
TREATY OAK BANCORP, INC.
TREATY OAK BANCORP, INC.
TREATY OAK BANCORP, INC.
TRIAD BANCORP, INC.
TRIAD BANCORP, INC.
TRI-COUNTY FINANCIAL CORPORATION
TRI-COUNTY FINANCIAL CORPORATION
TRINITY CAPITAL CORPORATION
TRINITY CAPITAL CORPORATION
TRINITY CAPITAL CORPORATION
TRINITY CAPITAL CORPORATION
TRINITY CAPITAL CORPORATION
TRI-STATE BANK OF MEMPHIS
TRI-STATE BANK OF MEMPHIS
TRISTATE CAPITAL HOLDINGS, INC.
TRISTATE CAPITAL HOLDINGS, INC.
TRISUMMIT BANK
TRISUMMIT BANK
TRISUMMIT BANK
TRISUMMIT BANK
TRUSTMARK CORPORATION
TRUSTMARK CORPORATION
TRUSTMARK CORPORATION
TWO RIVERS FINANCIAL GROUP, INC.
TWO RIVERS FINANCIAL GROUP, INC.
U.S. BANCORP
U.S. BANCORP
U.S. BANCORP
U.S. CENTURY BANK
U.S. CENTURY BANK
UBT BANCSHARES, INC.
UBT BANCSHARES, INC.
UCBH HOLDINGS INC.
UCBH HOLDINGS INC.
UMPQUA HOLDINGS CORP.
UMPQUA HOLDINGS CORP.
UMPQUA HOLDINGS CORP.
UNION BANK & TRUST COMPANY
UNION BANK & TRUST COMPANY
UNION BANK & TRUST COMPANY
UNION FINANCIAL CORPORATION
UNION FINANCIAL CORPORATION
UNION FINANCIAL CORPORATION
UNION FIRST MARKET BANKSHARES CORPORATION
UNION FIRST MARKET BANKSHARES CORPORATION
UNION FIRST MARKET BANKSHARES CORPORATION
UNITED AMERICAN BANK
UNITED AMERICAN BANK
UNITED AMERICAN BANK
UNITED BANCORP, INC.
UNITED BANCORP, INC.
UNITED BANCORP, INC.
UNITED BANCORPORATION OF ALABAMA, INC.
UNITED BANCORPORATION OF ALABAMA, INC.
UNITED BANCORPORATION OF ALABAMA, INC.
UNITED BANK CORPORATION
UNITED BANK CORPORATION
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED FINANCIAL BANKING COMPANIES, INC.
UNITED FINANCIAL BANKING COMPANIES, INC.
UNITED FINANCIAL BANKING COMPANIES, INC.
UNITY BANCORP, INC.
UNITY BANCORP, INC.
UNITY BANCORP, INC.
UNITY BANCORP, INC.
UNIVERSAL BANCORP
UNIVERSAL BANCORP
UNIVERSAL BANCORP
UNIVERSAL BANCORP
UNIVERSITY FINANCIAL CORP.
UNIVERSITY FINANCIAL CORP.
US METRO BANK
US METRO BANK
UWHARRIE CAPITAL CORP
UWHARRIE CAPITAL CORP
UWHARRIE CAPITAL CORP
VALLEY COMMERCE BANCORP
VALLEY COMMERCE BANCORP
VALLEY COMMUNITY BANK
VALLEY COMMUNITY BANK
VALLEY COMMUNITY BANK
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
GASTONIA
PITTSBURGH
PITTSBURGH
LOS ANGELES
LOS ANGELES
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOUISVILLE
LIMERICK
LIMERICK
LIMERICK
ORLANDO
ORLANDO
ORLANDO
ORLANDO
NAPLES
NAPLES
MT. PLEASANT
MT. PLEASANT
TIFTON
TIFTON
HOQUIAM
HOQUIAM
HOQUIAM
HOQUIAM
HOQUIAM
HOQUIAM
TITONKA
TITONKA
HOPKINSVILLE
HOPKINSVILLE
PORTSMOUTH
PORTSMOUTH
PORTSMOUTH
AUSTIN
AUSTIN
AUSTIN
AUSTIN
FRONTENAC
FRONTENAC
WALDORF
WALDORF
LOS ALAMOS
LOS ALAMOS
LOS ALAMOS
LOS ALAMOS
LOS ALAMOS
MEMPHIS
MEMPHIS
PITTSBURGH
PITTSBURGH
KINGSPORT
KINGSPORT
KINGSPORT
KINGSPORT
JACKSON
JACKSON
JACKSON
BURLINGTON
BURLINGTON
MINNEAPOLIS
MINNEAPOLIS
MINNEAPOLIS
MIAMI
MIAMI
MARYSVILLE
MARYSVILLE
SAN FRANCISCO
SAN FRANCISCO
PORTLAND
PORTLAND
PORTLAND
OXFORD
OXFORD
OXFORD
ALBUQUERQUE
ALBUQUERQUE
ALBUQUERQUE
BOWLING GREEN
BOWLING GREEN
BOWLING GREEN
SAN MATEO
SAN MATEO
SAN MATEO
TECUMSEH
TECUMSEH
TECUMSEH
ATMORE
ATMORE
ATMORE
BARNESVILLE
BARNESVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
VIENNA
VIENNA
VIENNA
CLINTON
CLINTON
CLINTON
CLINTON
BLOOMFIELD
BLOOMFIELD
BLOOMFIELD
BLOOMFIELD
ST. PAUL
ST. PAUL
GARDEN GROVE
GARDEN GROVE
ALBEMARLE
ALBEMARLE
ALBEMARLE
VISALIA
VISALIA
PLEASANTON
PLEASANTON
PLEASANTON
ROANOKE
ROANOKE
ROANOKE
ROANOKE
ROANOKE
NC
PA
PA
CA
CA
GA
GA
GA
GA
PA
PA
PA
FL
FL
FL
FL
FL
FL
SC
SC
GA
GA
WA
WA
WA
WA
WA
WA
IA
IA
KY
KY
VA
VA
VA
TX
TX
TX
TX
MO
MO
MD
MD
NM
NM
NM
NM
NM
TN
TN
PA
PA
TN
TN
TN
TN
MS
MS
MS
IA
IA
MN
MN
MN
FL
FL
KS
KS
CA
CA
OR
OR
OR
NC
NC
NC
NM
NM
NM
VA
VA
VA
CA
CA
CA
MI
MI
MI
AL
AL
AL
GA
GA
GA
GA
GA
GA
GA
GA
VA
VA
VA
NJ
NJ
NJ
NJ
IN
IN
IN
IN
MN
MN
CA
CA
NC
NC
NC
CA
CA
CA
CA
CA
VA
VA
VA
VA
VA
11/19/2013
2/10/2010
5/5/2010
2/20/2009
9/1/2011
1/9/2009
3/8/2013
3/11/2013
4/9/2013
2/27/2009
12/11/2009
9/22/2011
1/23/2009
11/8/2012
11/9/2012
1/11/2013
12/5/2008
9/30/2010
12/19/2008
7/1/2016
4/17/2009
11/12/2010
12/23/2008
11/8/2012
11/9/2012
11/13/2012
1/11/2013
6/11/2013
4/3/2009
4/4/2012
2/6/2009
9/25/2013
12/12/2008
9/22/2011
5/15/2013
1/16/2009
2/15/2011
12/21/2012
8/6/2015
3/27/2009
9/22/2011
12/19/2008
9/22/2011
3/27/2009
8/7/2012
8/9/2012
8/10/2012
9/11/2012
4/3/2009
8/13/2010
2/27/2009
9/26/2012
4/3/2009
12/22/2009
11/29/2012
1/11/2013
11/21/2008
12/9/2009
12/30/2009
5/29/2009
9/1/2011
11/14/2008
6/17/2009
7/15/2009
8/7/2009
3/17/2015
1/30/2009
8/11/2011
11/14/2008
11/6/2009
11/14/2008
2/17/2010
3/31/2010
5/1/2009
12/18/2009
9/22/2011
12/29/2009
7/25/2012
10/2/2013
12/19/2008
11/18/2009
12/23/2009
2/20/2009
7/2/2014
9/26/2014
1/16/2009
6/19/2012
7/18/2012
12/23/2008
9/3/2010
5/13/2015
5/22/2009
7/3/2012
12/5/2008
3/26/2013
3/27/2013
3/28/2013
4/9/2013
6/10/2013
1/16/2009
12/15/2010
9/15/2011
12/5/2008
5/15/2013
7/3/2013
8/28/2013
5/22/2009
8/8/2013
8/12/2013
9/12/2013
6/19/2009
7/30/2010
2/6/2009
3/23/2016
12/23/2008
4/3/2013
10/16/2013
1/30/2009
3/21/2012
1/9/2009
10/21/2013
1/6/2014
12/12/2008
11/14/2012
2/20/2013
5/15/2013
8/14/2013
Preferred Stock w/ Exercised Warrants
$5,450,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$12,000,000.00
$0.00
$815,100.00
$7,579,200,000.00
2,964
75,792
$275.00
$100,000.00
$5,450,000.00
5,450
$1,000.00
$244,225.00
$11,478,575.00
250
11,750
$976.90
$976.90
$2,046,000.00
2,046
$1,000.00
$1,165,528.32
$3,877,691.40
1,312
4,365
$12,119,637.37
$8,984,227.00
$3,290,437.50
$1,580,962.50
$9,481,462.50
($2,148,900.00)
$320,372,284.16
16,885,192
$273,000.00
273
($5,775.00)
($271,425.00)
$4,806.45
$571,967.55
5
595
$61,000.00
61
$888.36
$888.36
($146,471.68)
($487,308.60)
$282,284.64
284
12,120
$1,000.00
($24,880,362.63)
$40,000.00
1,106,389
14,448
$621.83
($5,463,773.00)
3,815
1,833
10,993
$862.50
$862.50
$862.50
$1,301,856.00
370,899
$2,117,000.00
2,117
$1,000.00
$106,000.00
106
$4,000,000.00
4,000
$1,000.00
$200,000.00
200
$76,458,000.00
76,458
$1,000.00
$1,500,000.00
554,330
$6,474,752.14 Redeemed, in full; warrants not outstanding
$13,065,246.00 Sold, in full; warrants not outstanding
($117,228.00)
Preferred Stock w/ Exercised Warrants
$541,000.00
$1,505,000.00
$0.00
$2,322,183.20 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,677,000.00
$0.00
$6,449,130.64 Sold, in full; warrants not outstanding
($50,432.20)
Preferred Stock w/ Warrants
$37,000,000.00
$0.00
$13,444,359.59 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$14,448,000.00
$0.00
$10,180,200.33 Sold, in full; warrants not outstanding
$3,800,000.00
$0.00
$16,641,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$223,208.00 Exited bankruptcy/Receivership
($3,800,000.00)
Preferred Stock w/ Warrants
$18,857,818.52 Sold, in full; warrants not outstanding
($524,562.50)
($252,037.50)
($1,511,537.50)
($143,528.63)
Preferred Stock w/ Exercised Warrants
$2,117,000.00
$0.00
$2,569,490.36 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$5,210,672.22 Redeemed, in full; warrants not outstanding
$76,458,000.00
$0.00
$88,577,166.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$3,268,000.00
$0.00
$2,412,702.03 Sold, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$3,700,000.00
$0.00
$4,386,324.64 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$15,540,000.00
$0.00
$18,653,115.75 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$35,539,000.00
$0.00
$34,644,476.74 Sold, in full; warrants not outstanding
$500,000.00
$150,000.00
3,118
150,000
$160.36
$1.00
($2,618,000.00)
$3,700,000.00
3,700
$1,000.00
$185,000.00
$15,540,000.00
15,540
$1,000.00
$777,000.00
777
$2,639,379.50
$7,038,845.50
$16,984,909.75
3,518
9,382
22,639
$750.25
$750.25
$750.25
$163,062.90
$1,300,776.05
$191,948.33
175
1,396
206
$1,150,000.00
1,150
$124,665.75
138
$10,000,000.00
1,647,931
$1,570,287.00
($878,620.50)
($2,343,154.50)
($5,654,090.25)
185
($266,631.35)
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$2,795,000.00
$0.00
$2,985,215.11 Redeemed, in full; warrants not outstanding
$23,000,000.00
$0.00
$28,642,402.33 Redeemed, in full; warrants not outstanding
$2,765,000.00
$4,237,000.00
$0.00
$2,795,000.00
2,795
$1,000.00
$23,000,000.00
23,000
$1,000.00
$5,251,500.00
7,002
$750.00
$215,000,000.00
215,000
$1,000.00
$12,000,000.00
12,000
$1,000.00
$6,599,000,000.00
6,599,000
$1,000.00
$6,496,417.16 Sold, in full; warrants not outstanding
($1,750,500.00)
($52,515.00)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$215,000,000.00
$0.00
$236,287,500.00 Redeemed, in full; warrants not outstanding
$12,000,000.00
$0.00
$14,075,133.27 Redeemed, in full; warrants not outstanding
$6,599,000,000.00
$0.00
$6,933,220,416.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$50,236,000.00
$0.00
$13,070,409.40 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$8,950,000.00
$0.00
$10,634,911.78 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$298,737,000.00
$0.00
Preferred Stock w/ Warrants
$214,181,000.00
$0.00
$232,156,554.58 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$3,194,000.00
$2,997,000.00
$0.00
$7,031,291.65 Redeemed, in full; warrants not outstanding
$11,738,143.76
50,236
$233.66
$8,950,000.00
8,950
$1,000.00
($38,497,856.24)
$600,000.00
60
$139,000,000.00
32,679,102
$586,953.92
2,512
$450,000.00
45
$7,510,095.07 Currently Not Collectible
($298,737,000.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$2,179,000.00
$59,000,000.00
$0.00
$0.00
$214,181,000.00
214,181
$1,000.00
$4,500,000.00
1,110,898
$6,191,000.00
6,191
$1,000.00
$160,000.00
160
$600,000.00
$1,579,000.00
600
1,579
$1,000.00
$1,000.00
$65,000.00
65
$59,000,000.00
59,000
$1,000.00
$450,000.00
211,318
$138,607.85
435
$38,000.00
311,492
$10,125.00
111,258
$720,000.00
720,000
$2,639,873.33 Redeemed, in full; warrants not outstanding
$62,145,972.22 Redeemed, in full; warrants not outstanding
$8,700,000.00
$0.00
$3,432,657.85 Sold, in full; warrants not outstanding
$20,600,000.00
$0.00
$20,315,924.72 Sold, in full; warrants not outstanding
$3,319,050.00
8,700
$381.50
($5,380,950.00)
20,600
$825.50
($3,594,700.00)
10,300
$1,000.00
($25,000.00)
Preferred Stock w/ Warrants
$17,005,300.00
Preferred Stock w/ Warrants
$10,300,000.00
$0.00
($255,079.50)
$11,182,763.89 Redeemed, in full; warrants not outstanding
$10,300,000.00
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
$14,400,000.00
$0.00
$180,000,000.00
$0.00
$18,882,079.62 Redeemed, in full; warrants not outstanding
$14,400,000.00
14,400,000
$1.00
$1,516,900.00
$12,587,575.00
$159,145,525.00
1,576
13,078
165,346
$962.50
$962.50
$962.50
$3,000,000.00
$2,658,000.00
3,000
2,658
$1,000.00
$1,000.00
$10,324,000.00
$10,325,000.00
10,324
10,325
$1,000.00
$1,000.00
$237,527.50
$9,168,561.50
250
9,650
$950.11
$950.11
11,926,000
$1.00
$210,367,527.00 Sold, in full; warrants not outstanding
($59,100.00)
($490,425.00)
($6,200,475.00)
($1,732,500.00)
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$5,658,000.00
$20,649,000.00
$9,900,000.00
$0.00
$0.00
$0.00
$6,677.00
219,908
$283,000.00
283
$2,707,314.00
764,778
$476,573.62
495
$6,649,963.92 Redeemed, in full; warrants not outstanding
$28,013,814.50 Redeemed, in full; warrants not outstanding
$12,066,668.65 Sold, in full; warrants not outstanding
($12,472.50)
($481,438.50)
($94,060.89)
Subordinated Debentures
$11,926,000.00
$0.00
$12,948,886.40 Redeemed, in full; warrants not outstanding
$11,926,000.00
Preferred Stock w/ Exercised Warrants
$2,861,000.00
$0.00
$3,465,216.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$12,916,040.83 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$7,700,000.00
$0.00
$9,403,400.50 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,500,000.00
$0.00
$2,947,090.75 Sold, in full; warrants not outstanding
$2,861,000.00
2,861
$1,000.00
$143,000.00
143
$7,742,000.00
$2,258,000.00
7,742
2,258
$1,000.00
$1,000.00
$500,000.00
500
$7,700,000.00
$2,296,800.00
7,700
$1,000.00
5,500
$417.60
1,600
1,600
1,600
1,600
$1,000.00
$1,000.00
$1,000.00
$1,000.00
($3,203,200.00)
$385,000.00
385
$45,815.25
275
($25,000.00)
Preferred Stock w/ Warrants
$16,019,000.00
$0.00
$21,311,670.48 Redeemed, in full; warrants not outstanding
$1,600,000.00
$1,600,000.00
$1,600,000.00
$1,600,000.00
29
UST0379
UST0169
UST0169
UST1310
UST1310
UST0034
UST0034
UST0034
UST0034
UST0034
UST0571
UST0571
UST1137
UST1137
UST1137
UST0221
UST0221
UST0221
UST1231
UST1231
UST1231
UST1231
UST0732
UST0732
UST0732
UST0155
UST0155
UST0513
UST0513
UST1345
UST1345
UST1345
UST1345
UST0156
UST0156
UST0156
UST0157
UST0157
UST0157
UST0011
UST0011
UST0011
UST0554
UST0554
UST0554
UST1169
UST1169
UST1169
UST1169
UST1169
UST0050
UST0050
UST0050
UST0050
UST0050
UST0036
UST0036
UST0036
UST0068
UST0068
UST0068
UST0270
UST0270
UST0270
UST0320
UST0320
UST0320
UST0320
UST0044
UST0044
UST0044
UST0280
UST0280
UST0006
UST0006
UST0006
UST0006
UST0006
UST0949
UST0949
UST0660
UST0660
UST0660
UST0660
UST0161
UST0161
UST0094
UST0094
UST0158
UST0158
UST0158
UST0222
UST0222
UST0222
UST0986
UST0986
UST0986
UST0514
UST0514
UST0514
UST0391
UST0391
UST0391
UST0391
UST0391
UST1120
UST1120
UST0037
UST0037
UST0037
UST0037
8,14,44
11
8,41,44
11
8,17
8,11,14
8,14,45
8,11,17
11
11,16
11
8,18,21,44
8,17
11
11
11
11
11
44
8,117
8,14,18
8,11,78
8
11
11
8,14
8,14,45
11
AB&T FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL GROUP, LTD.
VALLEY FINANCIAL GROUP, LTD.
VALLEY NATIONAL BANCORP
VALLEY NATIONAL BANCORP
VALLEY NATIONAL BANCORP
VALLEY NATIONAL BANCORP
VALLEY NATIONAL BANCORP
VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY)
VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY)
VILLAGE BANK AND TRUST FINANCIAL CORP.
VILLAGE BANK AND TRUST FINANCIAL CORP.
VILLAGE BANK AND TRUST FINANCIAL CORP.
VIRGINIA COMMERCE BANCORP, INC.
VIRGINIA COMMERCE BANCORP, INC.
VIRGINIA COMMERCE BANCORP, INC.
VIRGINIA COMPANY BANK
VIRGINIA COMPANY BANK
VIRGINIA COMPANY BANK
VIRGINIA COMPANY BANK
VISION BANK - TEXAS
VISION BANK - TEXAS
VISION BANK - TEXAS
VIST FINANCIAL CORP.
VIST FINANCIAL CORP.
W.T.B. FINANCIAL CORPORATION
W.T.B. FINANCIAL CORPORATION
WACHUSETT FINANCIAL SERVICES, INC.
WACHUSETT FINANCIAL SERVICES, INC.
WACHUSETT FINANCIAL SERVICES, INC.
WACHUSETT FINANCIAL SERVICES, INC.
WAINWRIGHT BANK & TRUST COMPANY
WAINWRIGHT BANK & TRUST COMPANY
WAINWRIGHT BANK & TRUST COMPANY
WASHINGTON BANKING COMPANY
WASHINGTON BANKING COMPANY
WASHINGTON BANKING COMPANY
WASHINGTON FEDERAL, INC.
WASHINGTON FEDERAL, INC.
WASHINGTON FEDERAL, INC.
WASHINGTONFIRST BANKSHARES, INC.
WASHINGTONFIRST BANKSHARES, INC.
WASHINGTONFIRST BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WEBSTER FINANCIAL CORPORATION
WEBSTER FINANCIAL CORPORATION
WEBSTER FINANCIAL CORPORATION
WEBSTER FINANCIAL CORPORATION
WEBSTER FINANCIAL CORPORATION
WELLS FARGO & CO.
WELLS FARGO & CO.
WELLS FARGO & CO.
WESBANCO, INC.
WESBANCO, INC.
WESBANCO, INC.
WEST BANCORPORATION, INC.
WEST BANCORPORATION, INC.
WEST BANCORPORATION, INC.
WESTAMERICA BANCORPORATION
WESTAMERICA BANCORPORATION
WESTAMERICA BANCORPORATION
WESTAMERICA BANCORPORATION
WESTERN ALLIANCE BANCORPORATION
WESTERN ALLIANCE BANCORPORATION
WESTERN ALLIANCE BANCORPORATION
WESTERN COMMUNITY BANCSHARES, INC.
WESTERN COMMUNITY BANCSHARES, INC.
WESTERN ILLINOIS BANCSHARES, INC.
WESTERN ILLINOIS BANCSHARES, INC.
WESTERN ILLINOIS BANCSHARES, INC.
WESTERN ILLINOIS BANCSHARES, INC.
WESTERN ILLINOIS BANCSHARES, INC.
WESTERN RESERVE BANCORP, INC.
WESTERN RESERVE BANCORP, INC.
WHITE RIVER BANCSHARES COMPANY
WHITE RIVER BANCSHARES COMPANY
WHITE RIVER BANCSHARES COMPANY
WHITE RIVER BANCSHARES COMPANY
WHITNEY HOLDING CORPORATION
WHITNEY HOLDING CORPORATION
WILMINGTON TRUST CORPORATION / M&T BANK CORPORATION
WILMINGTON TRUST CORPORATION / M&T BANK CORPORATION
WILSHIRE BANCORP, INC.
WILSHIRE BANCORP, INC.
WILSHIRE BANCORP, INC.
WINTRUST FINANCIAL CORPORATION
WINTRUST FINANCIAL CORPORATION
WINTRUST FINANCIAL CORPORATION
WORTHINGTON FINANCIAL HOLDINGS, INC.
WORTHINGTON FINANCIAL HOLDINGS, INC.
WORTHINGTON FINANCIAL HOLDINGS, INC.
WSFS FINANCIAL CORPORATION
WSFS FINANCIAL CORPORATION
WSFS FINANCIAL CORPORATION
YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION
YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION
YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION
YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION
YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION
YORK TRADITIONS BANK
YORK TRADITIONS BANK
ZIONS BANCORPORATION
ZIONS BANCORPORATION
ZIONS BANCORPORATION
ZIONS BANCORPORATION
GASTONIA
ROANOKE
ROANOKE
SAGINAW
SAGINAW
WAYNE
WAYNE
WAYNE
WAYNE
WAYNE
DALLAS
DALLAS
MIDLOTHIAN
MIDLOTHIAN
MIDLOTHIAN
ARLINGTON
ARLINGTON
ARLINGTON
NEWPORT NEWS
NEWPORT NEWS
NEWPORT NEWS
NEWPORT NEWS
RICHARDSON
RICHARDSON
RICHARDSON
WYOMISSING
WYOMISSING
SPOKANE
SPOKANE
CLINTON
CLINTON
CLINTON
CLINTON
BOSTON
BOSTON
BOSTON
OAK HARBOR
OAK HARBOR
OAK HARBOR
SEATTLE
SEATTLE
SEATTLE
RESTON
RESTON
RESTON
WAUKESHA
WAUKESHA
WAUKESHA
WAUKESHA
WAUKESHA
WATERBURY
WATERBURY
WATERBURY
WATERBURY
WATERBURY
MINNEAPOLIS
MINNEAPOLIS
MINNEAPOLIS
WHEELING
WHEELING
WHEELING
WEST DES MOINES
WEST DES MOINES
WEST DES MOINES
SAN RAFAEL
SAN RAFAEL
SAN RAFAEL
SAN RAFAEL
LAS VEGAS
LAS VEGAS
LAS VEGAS
PALM DESERT
PALM DESERT
MONMOUTH
MONMOUTH
MONMOUTH
MONMOUTH
MONMOUTH
MEDINA
MEDINA
FAYETTEVILLE
FAYETTEVILLE
FAYETTEVILLE
FAYETTEVILLE
NEW ORLEANS
NEW ORLEANS
WILMINGTON
WILMINGTON
LOS ANGELES
LOS ANGELES
LOS ANGELES
LAKE FOREST
LAKE FOREST
LAKE FOREST
HUNTSVILLE
HUNTSVILLE
HUNTSVILLE
WILMINGTON
WILMINGTON
WILMINGTON
ELKIN
ELKIN
ELKIN
ELKIN
ELKIN
YORK
YORK
SALT LAKE CITY
SALT LAKE CITY
SALT LAKE CITY
SALT LAKE CITY
NC
VA
VA
MI
MI
NJ
NJ
NJ
NJ
NJ
TX
TX
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
TX
TX
TX
PA
PA
WA
WA
MA
MA
MA
MA
MA
MA
MA
WA
WA
WA
WA
WA
WA
VA
VA
VA
WI
WI
WI
WI
WI
CT
CT
CT
CT
CT
MN
MN
MN
WV
WV
WV
IA
IA
IA
CA
CA
CA
CA
NV
NV
NV
CA
CA
IL
IL
IL
IL
IL
OH
OH
AR
AR
AR
AR
LA
LA
DE
DE
CA
CA
CA
IL
IL
IL
AL
AL
AL
DE
DE
DE
NC
NC
NC
NC
NC
PA
PA
UT
UT
UT
UT
11/19/2013
10/16/2013
11/13/2013
12/18/2009
9/22/2011
11/14/2008
6/3/2009
9/23/2009
12/23/2009
5/24/2010
6/26/2009
8/25/2011
5/1/2009
11/19/2013
1/6/2014
12/12/2008
12/11/2012
1/31/2014
6/12/2009
8/8/2013
8/12/2013
9/12/2013
4/24/2009
12/28/2012
7/10/2013
12/19/2008
8/1/2012
1/30/2009
9/15/2011
12/11/2009
4/4/2012
1/30/2013
4/23/2014
12/19/2008
11/24/2009
12/16/2009
1/16/2009
1/12/2011
3/2/2011
11/14/2008
5/27/2009
3/15/2010
1/30/2009
10/30/2009
8/4/2011
6/26/2009
2/6/2013
2/7/2013
2/8/2013
3/26/2013
11/21/2008
3/3/2010
10/13/2010
12/29/2010
6/8/2011
10/28/2008
12/23/2009
5/26/2010
12/5/2008
9/9/2009
12/23/2009
12/31/2008
6/29/2011
8/31/2011
2/13/2009
9/2/2009
11/18/2009
11/21/2011
11/21/2008
9/27/2011
11/23/2011
12/23/2008
11/7/2014
12/23/2008
12/29/2009
11/8/2012
11/9/2012
1/11/2013
5/15/2009
11/30/2012
2/20/2009
7/1/2014
7/2/2014
9/26/2014
12/19/2008
6/3/2011
12/12/2008
5/13/2011
12/12/2008
4/3/2012
6/20/2012
12/19/2008
12/22/2010
2/14/2011
5/15/2009
6/24/2013
7/26/2013
1/23/2009
4/3/2012
9/12/2012
1/16/2009
7/24/2009
9/18/2012
6/10/2013
6/11/2013
4/24/2009
7/14/2011
11/14/2008
3/28/2012
9/26/2012
12/5/2012
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$1,300,000.00
$0.00
$1,489,774.73 Redeemed, in full; warrants not outstanding
$300,000,000.00
$0.00
$318,400,781.94 Redeemed, in full; warrants not outstanding
$3,000,000.00
$0.00
$3,503,795.81 Redeemed, in full; warrants not outstanding
$14,738,000.00
$0.00
$6,933,870.05 Sold, in full; warrants outstanding
$815,100.00
$9,619,000.00
2,964
9,619
$275.00
$1,000.00
$1,300,000.00
1,300
$1,000.00
$75,000,000.00
$125,000,000.00
$100,000,000.00
75,000
125,000
100,000
$1,000.00
$1,000.00
$1,000.00
$3,000,000.00
3,000
$1,000.00
14,738
$384.88
$71,000,000.00
71,000
$1,000.00
$325,353.86
$2,543,620.14
533
4,167
$610.42
$610.42
$787,500.00
$712,500.00
788
713
$1,000.00
$1,000.00
$75,000.00
75
$25,000,000.00
25,000
$1,000.00
$1,189,813.00
367,984
$110,000,000.00
110,000
$1,000.00
$5,500,000.00
5,500
$3,000,000.00
$4,000,000.00
$5,000,000.00
3,000
4,000
5,000
$1,000.00
$1,000.00
$1,000.00
$478,000.00
478
$22,000,000.00
22,000
$1,000.00
$568,700.00
390,071
$5,672,361.44
($2,148,900.00)
$1,547,891.58
344,742
$65,000.00
65
$5,421,615.27
2,532,542
$150,000.00
150
$33,263,000.00
2,696,203
$63,481.25
143
($9,065,638.56)
($56,723.61)
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$71,000,000.00
$0.00
$4,700,000.00
$0.00
$118,453,138.89 Redeemed, in full; warrants not outstanding
$3,694,442.50 Sold, in full; warrants not outstanding
($207,646.14)
($1,623,379.86)
($25,000.00)
Preferred Stock w/ Exercised Warrants
$1,500,000.00
Preferred Stock w/ Warrants
$0.00
$1,898,258.59 Redeemed, in full; warrants not outstanding
$25,000,000.00
$0.00
$30,710,646.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$110,000,000.00
$0.00
$131,236,874.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,000,000.00
$0.00
$14,731,826.23 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$22,000,000.00
$0.00
$23,592,311.11 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$26,380,000.00
$0.00
$30,628,344.45 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$200,000,000.00
$0.00
$220,749,985.18 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$6,633,000.00
$6,842,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$5,625,000.00
$0.00
$26,380,000.00
26,380
$1,000.00
$200,000,000.00
200,000
$1,000.00
$1,625,000.00
246,082
$15,388,874.07
1,707,456
$15,317,317.86 Redeemed, in full; warrants not outstanding
$13,475,000.00
13,475
$1,000.00
$4,831,002.80
$92,690.00
$290,119.70
5,212
100
313
$926.90
$926.90
$926.90
100,000
100,000
200,000
$1,000.00
$1,000.00
$1,000.00
$332,000.00
332
$18,644.66
$147,194.69
19
150
$6,398,893.44 Sold, in full; warrants not outstanding
($380,997.20)
($7,310.00)
($22,880.30)
($52,138.13)
Preferred Stock w/ Warrants
$400,000,000.00
$0.00
$457,333,286.51 Redeemed, in full; warrants not outstanding
$100,000,000.00
$100,000,000.00
$200,000,000.00
Preferred Stock w/ Warrants
$25,000,000,000.00
$0.00
$25,000,000,000.00
Preferred Stock w/ Warrants
$75,000,000.00
$0.00
$78,804,166.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$36,000,000.00
$0.00
$41,195,000.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$83,726,000.00
Preferred Stock w/ Warrants
$140,000,000.00
$0.00
$0.00
Preferred Stock w/ Exercised Warrants
$7,290,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$6,855,000.00
$4,567,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$4,700,000.00
$0.00
$20,388,842.06
3,282,276
$840,374,891.73
110,261,688
$950,000.00
439,282
$700,000.00
474,100
$878,256.00
246,698
$415,000.00
787,107
$27,281,347,113.95 Redeemed, in full; warrants not outstanding
25,000 $1,000,000.00
$75,000,000.00
75,000
$1,000.00
$36,000,000.00
36,000
$1,000.00
$87,360,236.61 Redeemed, in full; warrants not outstanding
$41,863,000.00
$41,863,000.00
41,863
41,863
$1,000.00
$1,000.00
$140,000,000.00
140,000
$1,000.00
$160,365,000.00 Redeemed, in full; warrants not outstanding
$554,083.00 Currently Not Collectible
($7,290,000.00)
$13,053,910.87 Sold, in full; warrants not outstanding
$1,050,524.72
$9,673,015.37
1,117
10,305
$940.49
$938.67
4,700
$1,000.00
1,300
15,500
$1,063.21
$1,063.21
300,000
$1,000.00
330,000
$1,000.00
($66,475.28)
($631,984.63)
$335,417.06
343
$235,000.00
235
($107,235.41)
$5,842,197.92 Redeemed, in full; warrants not outstanding
$4,700,000.00
Preferred Stock w/ Exercised Warrants
$16,800,000.00
$0.00
$300,000,000.00
$0.00
$20,275,427.10 Sold, in full; warrants not outstanding
$1,300,000.00
$15,500,000.00
$82,173.00
$979,755.00
$1,002,535.38
840
$6,900,000.00
2,631,579
($178,619.28)
Preferred Stock w/ Warrants
$343,733,333.33 Redeemed, in full; warrants not outstanding
$300,000,000.00
Preferred Stock w/ Warrants
$330,000,000.00
$0.00
Preferred Stock w/ Warrants
$62,158,000.00
$0.00
$369,920,833.33 Redeemed, in full; warrants outstanding
$330,000,000.00
$68,809,170.52 Sold, in full; warrants not outstanding
$58,646,694.58
Preferred Stock w/ Warrants
$250,000,000.00
$0.00
($879,700.42)
$943.51
250,000
$1,000.00
($3,511,305.42)
$760,000.00
949,460
$25,600,564.15
1,643,295
$90,940.00
136
$1,800,000.00
175,105
$300,704,730.81 Redeemed, in full; warrants not outstanding
$250,000,000.00
Preferred Stock w/ Exercised Warrants
62,158
$2,720,000.00
$0.00
$2,780,391.21 Sold, in full; warrants not outstanding
$52,625,000.00
$0.00
$57,640,856.64 Sold, in full; warrants not outstanding
$2,343,851.20
2,720
$861.71
($376,148.80)
$48,157,663.75
($722,364.96)
52,625
$915.11
($4,467,336.25)
$44,149,056.00
($662,235.84)
49,312
$895.30
($5,162,944.00)
$4,871,000.00
4,871
$1,000.00
$700,000,000.00
$700,000,000.00
700,000
700,000
$1,000.00
$1,000.00
($24,999.99)
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$36,000,000.00
$13,312,000.00
Preferred Stock w/ Exercised Warrants
$4,871,000.00
Preferred Stock w/ Warrants
$1,400,000,000.00
TOTALS
$204,894,726,320.00
$0.00
$0.00
$0.00
$52,383,419.85 Sold, in full; warrants not outstanding
$55,677.00
$20,000.00
91,178
128,663
$244,000.00
244
$7,666,418.51
($5,187,995,196.39) $6,919,736,371.86 $8,070,112,497.60
5,789,909
$5,705,022.14 Redeemed, in full; warrants not outstanding
$1,661,027,529.62 Redeemed, in full; warrants not outstanding
$40,147,331.76 $226,772,090,076.96
$199,666,583,791.99 ($38,027,858.19)
30
Footnote
Footnote Description
All pricing is at par.
Total Cash Back includes net capital repayments, interest and dividends, warrant proceeds, and other income (less expenses).
Capital Repayments includes gross capital repayments, gross auction proceeds, exchanges into CDCI, and SBLF fundings.
Includes: (i) placement fees in private auctions of a CPP issuer’s securities where Treasury pays placement fees to the placement agents in an amount equal to a minimum of $50,000 (per
issuer) or 1.00% of gross aggregate proceeds for each security and (ii) unreimbursed underwriting fees in public offerings. Placement fees in private auctions are paid approximately one
month after settlement.
5 Net proceeds from sales and auctions can be calculated by adding the “Amount” and “(Fee)” columns under the "Capital Repayment / Disposition / Auction" plus any amount in the "Gain"
column. Note that "(Fee)" is a negative number.
6 This transaction was included in previous Transaction Reports with Merrill Lynch & Co., Inc. listed as the qualifying institution and a 10/28/2008 transaction date, footnoted to indicate that
settlement was deferred pending merger. The purchase of Merrill Lynch by Bank of America was completed on 1/1/2009, and this transaction under the CPP was funded on 1/9/2009.
1
2
3
4
7 The warrant disposition proceeds amount are stated pro rata in respect of the CPP investments in Bank of America Corporation that occurred on 10/28/2008 and 1/9/2009. The total net
disposition proceeds from CPP warrants on 3/3/2010 was $305,913,040, consisting of $183,547,824 and $122,365,216. Proceeds from the disposition of TIP warrants on 3/3/2010 appear on
a following page of this report.
8 Privately-held qualified financial institution; Treasury received a warrant to purchase additional shares of preferred stock (unless the institution is a CDFI), which it exercised immediately.
9 To promote community development financial institutions (CDFIs), Treasury does not require warrants as part of its investment in certified CDFIs when the size of the investment is $50
million or less.
10 Treasury cancelled the warrants received from this institution due to its designation as a CDFI.
11 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009.
12 Redemption pursuant to a qualified equity offering.
13 This amount does not include accrued and unpaid dividends, which must be paid at the time of capital repayment.
14 The proceeds associated with the disposition of this investment do not include accrued and unpaid dividends.
15 Subchapter S corporation; Treasury received a warrant to purchase additional subordinated debentures (unless the institution is a CDFI), which it exercised immediately.
16 In its qualified equity offering, this institution raised more capital than Treasury’s original investment, therefore, the number of Treasury’s shares underlying the warrant was reduced by half.
17 This institution participated in the expansion of CPP for small banks.
18 This institution received an additional investment through the expansion of CPP for small banks.
19 Treasury made three separate investments in Citigroup Inc. (Citigroup) under the CPP, Targeted Investment Program (TIP), and Asset Guarantee Program (AGP) for a total of $49 billion. On
6/9/2009, Treasury entered into an agreement with Citigroup to exchange up to $25 billion of Treasury's investment in Fixed Rate Cumulative Perpetual Preferred Stock, Series H (CPP
Shares) "dollar for dollar" in Citigroup's Private and Public Exchange Offerings. On 7/23/2009 and 7/30/2009, Treasury exchanged a total of $25 billion of the CPP shares for Series M
Common Stock Equivalent (“Series M”) and a warrant to purchase shares of Series M. On 9/11/2009, Series M automatically converted to 7,692,307,692 shares of common stock and the
associated warrant terminated on receipt of certain shareholder approvals.
20 On 8/24/2009, Treasury exchanged its series C preferred stock issued by Popular, Inc. for a like amount of non tax-deductible trust preferred securities issued by Popular Capital Trust III,
administrative trustee for Popular, Inc. Popular, Inc. paid a $13 million exchange fee in connection with this transaction.
21 This institution converted to a bank holding company structure and Treasury exchanged its securities for a like amount of securities that comply with the CPP terms applicable to bank holding
companies. The institution in which Treasury's original investment was made is shown in parentheses.
31
Footnote
Footnote Description
22 As of the date of this report, this institution is in bankruptcy proceedings.
23 On 12/10/2009, the bankruptcy reorganization plan of CIT Group Inc. became effective and Treasury's preferred stock and warrant investment were extinguished and replaced by contingent
value rights (CVRs). On 2/8/2010, the CVRs expired without value as the terms and conditions for distribution of common shares to holders of CVRs were not met.
24 On 12/11/2009, Treasury exchanged its series A preferred stock issued by Superior Bancorp, Inc. for a like amount of non tax-deductible Trust Preferred Securities issued by Superior Capital
Trust II, administrative trustee for Superior Bancorp.
25 On 2/1/2010, following the acquisition of First Market Bank (First Market) by Union Bankshares Corporation (the acquiror), the preferred stock and exercised warrants issued by First Market
on 2/6/2009 were exchanged for a like amount of securities of the acquiror in a single series but with a blended dividend rate equivalent to those of Treasury's original investment.
26 On 2/11/2010, Pacific Coast National Bancorp dismissed its bankruptcy proceedings with no recovery to any creditors or investors, including Treasury, and the investment was extinguished.
27 On 3/8/2010, Treasury exchanged its $84,784,000 of preferred stock in Midwest Banc Holdings, Inc. (MBHI) for $89,388,000 of mandatory convertible preferred Stock (MCP), which is
equivalent to the initial investment amount of $84,784,000, plus $4,604,000 of capitalized previously accrued and unpaid dividends. Subject to the fulfillment by MBHI of the conditions related
to its capital plan, the MCP may be converted to common stock.
28 On 3/30/2010, Treasury exchanged its $7,500,000 of subordinated debentures in GulfSouth Private Bank for an equivalent amount of preferred stock, in connection with its conversion from a
Subchapter S-Corporation, that comply with the CPP terms applicable to privately held qualified financial institutions.
29 On 4/16/2010, Treasury exchanged its $72,000,000 of preferred stock in Independent Bank Corporation (Independent) for $74,426,000 of mandatory convertible preferred Stock (MCP),
which is equivalent to the initial investment amount of $72,000,000, plus $2,426,000 of capitalized previously accrued and unpaid dividends. On 7/26/13, Treasury entered into a securities
purchase agreement with Independent pursuant to which Treasury agreed to sell to Independent the MCP and the warrant issued by Independent, subject to the conditions specified in such
agreement. On 8/30/13, Treasury completed the sale of the MCP and warrant to Independent pursuant to the terms of such agreement.
30 Treasury received Citigroup common stock pursuant to the June 2009 Exchange Agreement between Treasury and Citigroup which provided for the exchange into common shares of the
preferred stock that Treasury purchased in connection with Citigroup's participation in the Capital Purchase Program (see note 11). On April 26, 2010, Treasury gave Morgan Stanley & Co.
Incorporated (Morgan Stanley) discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the
period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on May 26, 2010. On May 26, 2010, Treasury again gave Morgan Stanley
discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on June 30, 2010 (or
on completion of the sale). Completion of the sale under this authority occurred on June 30, 2010. On July 23, 2010, Treasury again gave Morgan Stanley discretionary authority as its sales
agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on September 30, 2010 (or on completion of the sale).
Completion of the sale under this authority occurred on September 30, 2010. On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary
authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common stock from time to time during the period ending on December 31, 2010 (or upon
completion of the sale), which plan was terminated on December 6, 2010. All such sales were generally made at the market price. On December 6, 2010, Treasury commenced an
underwritten public offering of its remaining 2,417,407,607 shares. See "Capital Purchase Program - Citigroup, Inc., Common Stock Disposition" on following page for the actual number of
shares sold by Morgan Stanley, the weighted average price per share and the total proceeds to Treasury from all such sales during those periods.
31 On 8/26/2010, Treasury completed the exchange of its $303,000,000 of preferred stock in Sterling Financial Corporation (Sterling) for a like amount of mandatorily convertible preferred Stock
(MCP), pursuant to the terms of the exchange agreement between Treasury and Sterling entered into on 4/29/2010. Since Sterling also fulfilled the conversion conditions set forth in the
Certificate of Designations for the MCP, including those related to its capital plan, Treasury’s $303,000,000 of MCP was subsequently, as of 8/26/2010, converted into 378,750,000 shares of
common stock.
32 On 8/20/2010, Sonoma Valley Bank, Sonoma, CA, the banking subsidiary of Sonoma Valley Bancorp, was closed by the California Department of Financial Institutions, and the Federal
Deposit Insurance Corporation (FDIC) was named Receiver.
32
Footnote
Footnote Description
33 On 6/30/2010, Treasury exchanged $46,400,000 of its series A preferred stock in First Merchants Corporation for a like amount of non tax-deductible Trust Preferred Securities issued by
First Merchants Capital Trust III.
34 On 7/20/2010, Treasury completed the exchange of its $400,000,000 of preferred stock in First BanCorp for $424,174,000 of mandatorily convertible preferred Stock (MCP), which is
equivalent to the initial investment amount of $400,000,000, plus $24,174,000 of capitalized previously accrued and unpaid dividends. On 10/07/2011, following the completion of the
conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was converted into 32,941,797 shares of common stock of First BanCorp. Treasury
received all accrued and previously unpaid dividends on the MCP at the time of the conversion. First BanCorp has agreed to have a Treasury observer attend board of directors meetings.
35 On 8/31/2010, following the completion of the conditions related to Pacific Capital Bancorp's (Pacific Capital) capital plan, Treasury exchanged its $180,634,000 of preferred stock in Pacific
Capital for $195,045,000 of mandatorily convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $180,634,000, plus $14,411,000 of capitalized previously
accrued and unpaid dividends. On 9/27/2010, following the completion of the conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was
converted into 360,833,250 shares of common stock of Pacific Capital. Following a reverse stock split effective 12/28/10, Treasury held 3,608,332 shares of Pacific Capital common stock.
Effective 11/30/12, Pacific Capital merged with and into UnionBanCal Corporation and each outstanding share of common stock of the Company was converted into the right to receive
$46.00 per share in cash, and Treasury received $165,983,272 in respect of its common stock and $393,121 in respect of its warrant.
36 This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has completed an exchange of its Capital Purchase Program investment for an investment
under the terms of the CDCI program. See "Community Development Capital Initiative" below.
37 At the time of this institution’s exchange into the CDCI program, the warrant preferreds were included in the total amount of preferred stock exchanged for Treasury’s CDCI investment.
Therefore this disposition amount does not represent cash proceeds to Treasury.
38 On 9/30/2010, Treasury completed the exchange of its $80,347,000 of preferred stock in Hampton Roads Bankshares, Inc. (Hampton) for a like amount of mandatorily convertible preferred
Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Hampton entered into on 8/12/2010. Since Hampton also fulfilled the conversion conditions set forth in
the Certificate of Designations for the MCP, Treasury’s $80,347,000 of MCP was subsequently converted into 52,225,550 shares of common stock.
39 Treasury entered into an agreement on 1/28/2011 with North American Financial Holdings, Inc. for the sale of all preferred stock and warrants issued by Capital Bank Corporation to Treasury
for an aggregate purchase price of $41,279,000. Since the conditions to closing of the sale were satisfied, the closing of the sale also occurred on 1/28/2011.
40 On 2/18/11, Treasury completed the exchange of its $135,000,000 of preferred stock (including accrued and unpaid dividends thereon) in Central Pacific Financial Corp. for not less than
5,620,117 shares of common stock, pursuant to an exchange agreement dated 2/17/2011.
41 As a result of the acquisition of Fidelity Resources Company (the acquired company) by Veritex Holdings, Inc. (the acquiror), the preferred stock and exercised warrants issued by the
acquired company on 6/26/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the terms of an agreement among Treasury, the acquired company and the
acquiror entered into on 3/23/2011.
42 As a result of the acquisition of NC Bancorp, Inc. (the acquired company) by Metropolitan Bank Group, Inc. (the acquiror), Treasury exchanged $6,880,000 of its preferred stock in NC
Bancorp, Inc. and $71,526,000 of its preferred stock in Metropolitan Bank Group, Inc. for $81,892,000 of a new series of preferred stock in Metropolitan Bank Group, Inc., which is equivalent
to the combined initial investment amount of $78,406,000 plus $3,486,000 of capitalized previously accrued and unpaid dividends, pursuant to the terms of an agreement among Treasury,
the acquired company and the acquiror entered into on 3/30/2011. Exercised warrants were also exchanged at the time of the agreement.
43 On 7/5/2011, Treasury completed a transaction with Harris Financial Corp., a wholly-owned subsidiary of Bank of Montreal ("BMO"), for the sale of (i) all Marshall & Ilsley Corporation ("M&I")
Preferred Stock held by Treasury for a purchase price of $1,715,000,000 plus accrued dividends and (ii) the Treasury-held M&I Warrant for an amount equal to $3,250,000, pursuant to the
terms of the agreement between Treasury and BMO entered into on 05/16/2011.
44 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 using proceeds received in connection with the institution’s participation in the
Small Business Lending Fund.
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45 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 - part of the repayment amount obtained from proceeds received in connection
with the institution’s participation in the Small Business Lending Fund.
46 On 11/5/2010, Pierce Commercial Bank, Tacoma, WA, the banking subsidiary of Pierce County Bancorp, was closed by the Washington Department of Financial Institutions, and the Federal
Deposit Insurance Corporation (FDIC) was named Receiver.
47 On 11/12/2010, Tifton Banking Company, Tifton, GA, was closed by the Georgia Department of Banking & Finance, and the Federal Deposit Insurance Corporation (FDIC) was named
Receiver.
48 On 3/11/2011, Legacy Bank, Milwaukee, WI, the banking subsidiary of Legacy Bancorp, Inc., was closed by the State of Wisconsin Department of Financial Institutions, and the Federal
Deposit Insurance Corporation (FDIC) was named Receiver.
49 On 4/15/2011, Superior Bank, Birmingham, AL, the banking subsidiary of Superior Bancorp Inc., was closed by the Office of Thrift Supervision, and the Federal Deposit Insurance Corporation
(FDIC) was named Receiver.
50 On 7/15/2011, First Peoples Bank, Port Saint Lucie, Florida, the banking subsidiary of FPB Bancorp, Inc., was closed by the Florida Office of Financial Regulation, and the Federal Deposit
Insurance Corporation (FDIC) was named Receiver.
51 On 7/15/2011, One Georgia Bank, Atlanta, GA was closed by the State of Georgia Department of Banking & Finance, and the Federal Deposit Insurance Corporation (FDIC) was named
Receiver.
52 On 7/29/2011, Integra Bank, National Association, Evansville, Indiana, the banking subsidiary of Integra Bank Corporation, was closed by the Office of the Comptroller of the Currency, which
appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
53 On 10/21/2011, Treasury completed the exchange of all FNB United Corp. ("FNB United") preferred stock and warrants held by Treasury for 108,555,303 shares of FNB United common
stock and an amended and restated warrant, pursuant to the terms of the agreement between Treasury and FNB United entered into on 08/12/2011.
54 As a result of the acquisition of Berkshire Bancorp, Inc. (the acquired company) by Customers Bancorp, Inc. (the acquiror), the preferred stock and exercised warrants issued by the acquired
company on 6/12/2009 were exchanged for a like amount of securities of the acquiror plus accrued and previously unpaid dividends, pursuant to the terms of an agreement among Treasury,
the acquired company and the acquiror entered into on 9/16/2011.
55 On 9/23/2011, Citizens Bank of Northern California, Nevada City, California, the banking subsidiary of Citizens Bancorp, was closed by the California Department of Financial Institutions,
which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
56 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 in connection with the institution’s participation in the Small Business Lending
Fund, which occurred at a later date.
57 On 10/14/2011, Country Bank, Aledo, Illinois, the banking subsidiary of CB Holding Corp., was closed by the Illinois Department of Financial and Professional Regulation - Division of Banking,
which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
58 As a result of a reincorporation transaction whereby Crescent Financial Corporation (CFC) was merged into Crescent Financial Bancshares, Inc. (CFB), the preferred stock and warrant
issued by CFC on 1/9/2009 were exchanged for a like amount of securities of CFB, pursuant to the terms of an agreement among Treasury, CFC and CFB entered into on 11/15/2011.
59 As a result of the acquisition of Center Financial Corporation by BBCN Bancorp, Inc. (formerly Nara Bancorp, Inc.), the preferred stock and warrant issued by Center Financial Corporation
were exchanged for a like amount of securities of BBCN Bancorp, Inc., pursuant to the terms of an agreement among Treasury, Center Financial Corporation, and BBCN Bancorp, Inc.
entered into on 11/30/2011.
60 On 1/3/2012, Treasury completed (i) the sale to F.N.B. Corporation (“F.N.B.”) of all of the preferred stock that had been issued to Treasury by Parkvale Financial Corporation (“Parkvale”) for a
purchase price of $31,762,000 plus accrued dividends and (ii) the exchange of the Parkvale warrant held by Treasury for a like F.N.B. warrant, pursuant to the terms of the agreement
between Treasury and F.N.B. entered into on 12/29/2011 in connection with the merger of Parkvale and F.N.B. effective 01/01/2012.
61 As a result of the acquisition of State Bancorp, Inc. (the acquired company) by Valley National Bancorp (the acquiror), the warrant issued by the acquired company on 12/5/2008 was
exchanged for a like security of the acquiror, pursuant to the terms of an agreement among Treasury, the acquired company and the acquiror entered into on 1/1/2012.
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62 On 1/27/2012, pursuant to the terms of the merger of Regents Bancshares, Inc. (“Regents”) with Grandpoint Capital, Inc., Treasury received $13,214,858.00 (representing the par amount
together with accrued and unpaid dividends thereon) in respect of the preferred stock (including that received from the exercise of warrants) that had been issued to Treasury by Regents.
63 On 1/27/2012, Tennessee Commerce Bank, Franklin, TN, the banking subsidiary of Tennessee Commerce Bancorp, Inc., was closed by the Tennessee Department of Financial Institutions,
and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
64 On 2/10/2012, SCB Bank, Shelbyville, Indiana, the banking subsidiary of Blue River Bancshares, Inc., was closed by the Office of the Comptroller of the Currency, which appointed the
Federal Deposit Insurance Corporation (FDIC) as receiver.
65 On 2/10/2012, Treasury entered into an agreement with Broadway Financial Corporation to exchange Treasury’s $15,000,000 of preferred stock for common stock. The exchange is subject
to the fulfillment by Broadway Financial Corporation of certain conditions, including the satisfactory completion of a capital plan.
66 On 4/20/2012, Fort Lee Federal Savings Bank, FSB, Fort Lee, New Jersey, was closed by the Office of the Comptroller of the Currency, which appointed the Federal Deposit Insurance
Corporation (FDIC) as receiver.
67 As a result of the acquisition of Community Holding Company of Florida, Inc. (the acquired company) by Community Bancshares of Mississippi, Inc. (the acquiror), the preferred stock and
exercised warrants issued by the acquired company on 2/6/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the terms of an agreement among Treasury, the
acquired company and the acquiror entered into on 7/19/2012.
68 On 7/13/2012, Glasgow Savings Bank, Glasgow, MO, the banking subsidiary of Gregg Bancshares, Inc. , was closed by the Missouri Division of Finance, which appointed the Federal Deposit
Insurance Corporation (FDIC) as receiver.
69 On 7/27/2012, Treasury entered into an agreement with Pinnacle Bank Holding Company, Inc. (“Pinnacle”) pursuant to which Treasury agreed to sell its CPP preferred stock back to Pinnacle
at a discount subject to the satisfaction of the conditions specified in the agreement.
70 On 10/19/2012, GulfSouth Private Bank, Destin, Florida, was closed by the Florida Office of Financial Regulation, which appointed the Federal Deposit Insurance Corporation (FDIC) as
receiver.
71 On 10/19/2012, Excel Bank, Sedalia, Missouri, the banking subsidiary of Investors Financial Corporation of Pettis County, Inc., was closed by the Missouri Division of Finance, which
appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
72 On 10/25/2012, pursuant to the terms of the merger of First Community Bancshares, Inc. ("First Community") and Equity Bancshares, Inc. ("Equity"), Treasury received a like amount of
preferred stock and exercised warrants from Equity in exchange for Treasury's original investment in First Community, plus accrued and unpaid dividends, pursuant to a placement agency
agreement executed on 10/23/2012.
73 On 10/29/2012, First Place Financial Corp. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Delaware.
74 On 2/22/2013, Treasury completed the exchange of its Standard Bancshares, Inc. preferred stock for common stock, pursuant to an exchange agreement, dated as of 11/5/2012, with
Standard Bancshares, Inc., and immediately sold the resulting Standard Bancshares, Inc. common stock, pursuant to securities purchase agreements, each dated as of 11/5/2012, with W
Capital Partners II, L.P., Trident SBI Holdings, LLC, PEPI Capital, LP, LCB Investment, LLC, Cohesive Capital Partners, L.P., and Athena Select Private Investment Fund LLC.
75 On 11/2/2012, Citizens First National Bank, Princeton, IL, the banking subsidiary of Princeton National Bancorp, was closed by the Office of the Comptroller of the Currency, and the Federal
Deposit Insurance Corporation (FDIC) was named Receiver.
76 On 11/13/2012, Treasury entered into an agreement with Community Financial Shares, Inc. (“CFS”) pursuant to which Treasury agreed to sell its CPP preferred stock back to CFS at a
discount subject to the satisfaction of the conditions specified in the agreement.
77 In connection with the merger of Fidelity Bancorp, Inc. (“Fidelity”) and WesBanco, Inc. (“WesBanco”) effective 01/01/2012, Treasury (i) sold to WesBanco all of the preferred stock that had
been issued by Fidelity to Treasury for a purchase price of $7,000,000 plus accrued dividends and (ii) exchanged the Fidelity warrant held by Treasury for a like WesBanco warrant, pursuant
to the terms of an agreement among Treasury and WesBanco entered into on 11/28/2012.
78 On 11/30/12, Western Reserve Bancorp, Inc. was acquired by an affiliate of Westfield Bancorp, Inc. Pursuant to the terms of the merger, each outstanding share of Series A and Series B
preferred stock issued to Treasury was redeemed for the respective principal amount together with accrued and unpaid dividends thereon.
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79 On 2/20/2013, Treasury sold its CPP preferred stock and warrant issued by First Sound Bank (“First Sound”) back to First Sound for an aggregate purchase price of $3,700,000, pursuant to
the terms of the agreement between Treasury and First Sound entered into on 11/30/2012.
80 On 4/9/2013, Treasury sold its CPP preferred stock and warrant issued by PremierWest Bancorp (“PremierWest”) pursuant to an agreement with PremierWest and Starbuck Bancshares, Inc.
(“Starbuck”) entered into on 12/11/2012.
81 In connection with the merger of Community Financial Corporation (“Community Financial”) and City Holding Company (“City Holding”) effective 1/09/13, Treasury (i) sold to City Holding all of
the preferred stock that had been issued by Community Financial to Treasury for a purchase price of $12,643,000 plus accrued dividends and (ii) exchanged the Community Financial warrant
held by Treasury for a like City Holding warrant, pursuant to the terms of an agreement among Treasury and City Holding entered into on 1/09/13.
82 On 1/29/2013, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 9,950 shares of Coastal Banking Company, Inc. Preferred stock at $815.00 per
share (less a placement agent fee) for net proceeds of $8,028,157.50. On 2/6/2013, the placement agent notified Coastal Banking Company, Inc. that, pursuant to the placement agency
agreement, it was terminating the transaction and, therefore, Treasury did not receive any proceeds or pay any fees in connection with the transaction.
83 On 2/15/2013, Treasury sold its CPP preferred stock and warrant issued by BancTrust Financial Group, Inc. (“BancTrust”) pursuant to an agreement with BancTrust and Trustmark
Corporation (“Trustmark”) entered into on 02/11/2013.
84 On 8/14/2013, Treasury sold its CPP preferred stock issued by Florida Bank Group, Inc. (“FBG”) back to FBG for an aggregate purchase price of $8,000,000, pursuant to the terms of the
agreement between Treasury and FBG entered into on 2/12/13.
85 On 2/15/2013, pursuant to the terms of the merger of Pacific International Bancorp, Inc. (“Pacific International”) with BBCN Bancorp, Inc. (“BBCN”), Treasury received $7,474,619.97
(representing the par amount together with accrued and unpaid dividends thereon) in respect of the preferred stock that had been issued to Treasury by Pacific International. Treasury
exchanged its Pacific International warrant for an equivalent warrant issued by BBCN.
86 On 4/12/2013, Treasury completed (i) the sale of its CPP preferred in Citizens Republic Bancorp, Inc. (Citizens Republic) to FirstMerit Corporation (FirstMerit) and (ii) the exchange of its
warrant in Citizens Republic for a warrant issued by FirstMerit, pursuant to a securities purchase agreement, dated as of 2/19/13, among Treasury, FirstMerit and Citizens Republic.
87 On 4/11/2013, Treasury completed the exchange of its First Security Group, Inc. (FSGI) preferred stock for common stock, pursuant to an exchange agreement, dated as of 2/25/2013,
between Treasury and FSGI, and sold the resulting FSGI common stock, pursuant to securities purchase agreements, each dated as of 4/9/2013, between Treasury and the purchasers party
thereto.
88 On 3/19/2013, Treasury exercised its warrant on a cashless basis and received (i) 186,589 shares of common stock and (ii) $71.62 in cash in lieu of fractional shares. Treasury sold such
shares of common stock on 3/19/2013.
89 As a result of the acquisition of ECB Bancorp, Inc. by Crescent Financial Bancshares, Inc., the preferred stock and warrant issued by ECB Bancorp, Inc. were exchanged for a like amount of
securities of Crescent Financial Bancshares, Inc., pursuant to the terms of an agreement among Treasury, ECB Bancorp, Inc., and Crescent Financial Bancshares, Inc. entered into on
4/1/2013.
90 As a result of the merger of Annapolis Bancorp, Inc. into F.N.B. Corporation, the warrant issued by Annapolis Bancorp, Inc. was exchanged for a like warrant issued by F.N.B. Corporation,
pursuant to the terms of an agreement among Treasury, Annapolis Bancorp, Inc., and F.N.B. Corporation entered into on 4/6/2013.
91 On 04/05/2013, Gold Canyon Bank, Gold Canyon, Arizona was closed by the Arizona Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named
Receiver.
92 On 04/09/2013, Indiana Bank Corp. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the Southern District of Indiana.
93 On 7/17/13, Treasury entered into a securities purchase agreement with Central Virginia Bankshares, Inc. (CVB) and C&F Financial Corporation (C&F) pursuant to which Treasury agreed to
sell to C&F the CPP preferred stock and warrant issued by CVB, subject to the conditions specified in such agreement. The sale was completed on 10/01/2013.
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94 On 8/12/2013, Anchor BanCorp Wisconsin Inc. ( “Anchor”) filed a voluntary petition for Chapter 11 protection in the U.S. Bankruptcy Court for the Western District of Wisconsin to implement
a “pre-packaged” Plan of Reorganization in order to facilitate the restructuring of Anchor. On 9/27/ 2013, the Plan of Reorganization became effective in accordance with its terms, pursuant to
which (i) Treasury’s preferred stock was exchanged for 60,000,000 shares of common stock (the “Common Stock”) and (ii) Treasury’s warrant was cancelled. On 9/27/2013, Treasury sold
the Common Stock to purchasers pursuant to securities purchase agreements entered into on 9/19/2013.
95 On 7/5/2013, Rogers Bancshares, Inc. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the Eastern District of Arkansas.
96 On 8/22/2013, Treasury exchanged its preferred stock in Broadway Financial Corporation for 10,146 shares of common stock equivalent representing (i) 50% of the liquidation preference of
the preferred stock, plus (ii) 100% of previously accrued and unpaid dividends on the preferred stock ($2,646,000). The common stock equivalent will be converted to common stock upon the
receipt of certain shareholder approvals.
97 This institution has entered into bankruptcy or receivership. For a full list of institutions that have entered bankruptcy or receivership and Treasury's remaining investments, reference
appendices B and C in the section titled “Capital Purchase Program Institutions” in the most recent report to congress found on Treasury’s website: http://www.treasury.gov/initiatives/financialstability/reports/Pages/Monthly-Report-to-Congress.aspx.
98 On 10/30/2013, Treasury entered into an agreement with Monarch Community Bancorp, Inc. (Monarch) to exchange Treasury's CPP warrant and $6,785,000 of preferred stock for common
stock. The exchange was subject to the fulfillment by Monarch of certain conditions, including the satisfactory completion of a capital plan. On 11/15/2013, the exchange of the CPP warrant
and preferred stock for common stock was completed and Treasury sold such common stock to purchasers pursuant to securities purchase agreements dated as of 11/15/2013.
99 On 12/5/2013, Treasury's 10,146 shares of common stock equivalent in Broadway Financial converted to 10,146,000 shares of common stock.
100 On 12/13/2013, Texas Community Bank, National Association, The Woodlands, Texas, the banking subsidiary of TCB Holding Company, was closed by the Office of the Comptroller of the
Currency, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
101 As a result of a reincorporation merger of Community Bankers Trust Corporation, a Delaware corporation (CBTC Delaware) into Community Bankers Trust Corporation, a Virginia corporation
(CBTC Virginia), the outstanding preferred stock and warrant issued by CBTC Delaware were exchanged for a like amount of securities issued by CBTC Virginia, pursuant to the terms of an
agreement among Treasury, CBTC Delaware and CBTC Virginia entered into on 1/1/14.
102 On 10/15/13, Treasury entered into a securities purchase agreement with First-Citizens Bank & Trust Company (FCBTC) and 1st Financial Services Corporation (FFSC) pursuant to which
Treasury agreed to sell to FCBTC the CPP preferred stock and warrant issued by FFSC, subject to the conditions specified in such agreement. The sale was completed on 12/31/2013.
103 On 1/31/2014, Syringa Bank, Boise, Idaho, the banking subsidiary of Syringa Bancorp, was closed by the Idaho Department of Finance, which appointed the Federal Deposit Insurance
Corporation (FDIC) as receiver.
104 On 4/1/2014, pursuant to the terms of the merger of Alaska Pacific Bancshares, Inc. with Northrim Bancorp, Inc., Treasury received $2,370,908.26 for the warrants that had been issued to
Treasury by Alaska Pacific Bancshares, Inc.
105 On 4/18/2014, Treasury entered into an agreement with Bank of the Carolinas Corporation (“BCAR”) pursuant to which Treasury agreed to sell its CPP preferred stock and warrant back to
BCAR at a discount subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 7/16/2014.
106 On 4/24/2014, Treasury sold all of its preferred stock issued by Bankers’ Bank of the West Bancorp, Inc. (BBW) to private investors for total proceeds of $13.5million, pursuant to securities
purchase agreements dated as of April 21, 2014. BBW paid all accrued and unpaid dividends on the preferred stock as of April 24, 2014.
107 On 4/25/2014, Treasury entered into a securities purchase agreement with Provident Community Bankshares, Inc. (PCBS) and Park Sterling Corporation (Park Sterling) pursuant to which
Treasury agreed to sell to Park Sterling the CPP preferred stock and warrant issued by PCBS, subject to the conditions specified in such agreement. The sale was completed on 4/30/2014.
108 On 4/24/2014, Idaho Bancorp filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Idaho. On 11/25/2014, the bankruptcy court for the District of Idaho confirmed
Idaho Bancorp’s amended plan of reorganization. On 8/5/2015 and 9/29/2015, UST received net distributions of $427,844.29 and $3,522.87, respectively, from Idaho Bancorp (after payment
to the Department of Justice of a 3% litigation fee).
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109 On 4/30/2014, Treasury completed the exchange of its Northern States Financial Corporation preferred stock for common stock, pursuant to an exchange agreement, dated as of 4/29/2014,
with Northern States Financial Corporation, and immediately sold the resulting Northern States Financial Corporation common stock, pursuant to securities purchase agreements, each dated
as of 4/29/14, with Blue Pine Financial Opportunities Fund II, LP, EJF Sidecar Fund, Series LLC, Endeavour Regional Bank Opportunities Fund L.P., Endeavour Regional Bank Opportunities
Fund II L.P., Hot Creek Investors, L.P.,JCSD Partners, LP, and PRB Investors, LP.
110 On 5/23/2014 Treasury completed the sale of its CommunityOne Bancorp common stock in an underwritten public offering.
111 On 5/30/2014, Treasury entered into a securities purchase agreement with Highlands Independent Bancshares, Inc. ("Highlands") and HCBF Holding Company, Inc. ("HCBF") pursuant to
which Treasury agreed to sell to HCBF the CPP preferred stock issued by Highlands, subject to the conditions specified in such agreement. The sale was completed on 10/24/2014.
112 On 6/30/2014, BCB Holding Company, Inc. (the “Institution”) repurchased their preferred and warrant preferred shares from Treasury and funds were wired from the Institution to the Bank of
New York Mellon (BNYM) for the benefit of Treasury. The repurchase was finalized after the close of business on 6/30/14 and the funds were subsequently transferred from BNYM to
Treasury on 7/1/2014.
113 On 8/28/2014, Treasury entered into an agreement with Central Bancorp, Inc. and Hanmi Financial Corporation, in connection with a merger, pursuant to which Treasury agreed to sell its
Central Bancorp, Inc. CPP preferred stock (including warrant preferred stock) to Hanmi Financial Corporation for (i) $23,625,000, plus (ii) all accrued and unpaid dividends, subject to the
satisfaction of the conditions specified in the agreement. The sale was completed on 8/29/2014.
114 On 10/17/2014, Treasury completed the exchange of its Regent Bancorp, Inc. preferred stock and warrant-preferred stock for common stock, pursuant to an exchange agreement, dated as
of 10/16/2014, with Regent Bancorp, Inc., and immediately sold the resulting Regent Bancorp, Inc. common stock to purchasers pursuant to securities purchase agreements dated as of
10/16/2014.
115 On 10/30/2014, Treasury entered into an agreement with Columbia Banking System, Inc. (Columbia) pursuant to which Treasury agreed to sell its warrant in Intermountain Community
Bancorp to Columbia subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 10/31/2014.
116 The subsidiary bank of Rising Sun Bancorp, NBRS Financial, was closed by the Maryland Office of the Commissioner of Financial Regulation, and the FDIC was named Receiver on Friday,
10/17/2014.
117 The subsidiary bank of Western Community Bancshares, Inc., Frontier Bank, was closed by the Office of the Comptroller of the Currency, and the FDIC was named Receiver on Friday,
11/7/2014.
118 On 9/8/2014, Treasury gave Credit Suisse Securities (USA) LLC discretionary authority, as its sales agent, to sell subject to certain parameters shares of common stock from time to time
during the period ending on 12/7/2014. Completion of the sale under this authority occurred on December 5, 2014.
119 On 12/10/2014, Treasury sold all of its preferred stock issued by NCAL Bancorp to purchasers for total proceeds of $3.9 million, pursuant to a securities purchase agreement dated as of
November 25, 2014.
120 As a result of the merger of Farmers & Merchants Bancshares, Inc. into Allegiance Bancshares, Inc., the outstanding preferred stock and warrant preferred stock issued by Farmers &
Merchants Bancshares, Inc. was exchanged for a like amount of securities issued by Allegiance Bancshares, Inc., pursuant to the terms of an agreement among Treasury, Farmers &
Merchants Bancshares, Inc. and Allegiance Bancshares, Inc., entered into on 1/1/2015.
121 On 12/11/2014, Treasury gave Credit Suisse Securities (USA) LLC discretionary authority, as its sales agent, to sell subject to certain parameters shares of common stock from time to time
during the period ending on 3/8/2015. Completion of the sale under this authority occurred on 3/6/2015.
122 On 03/17/2015, Treasury sold all of its preferred stock issued by U.S. Century Bank to purchasers for total proceeds of $12.3 million, pursuant to a securities purchase agreement dated as of
March 17, 2015.
123 On 7/15/2015, Treasury entered into an agreement with Suburban Illinois Bancorp, Inc. (Suburban), pursuant to which Treasury agreed to sell its CPP senior subordinated securities to
Suburban for (i) $15,750,000, plus (ii) all accrued and unpaid dividends through 4/1/2015 subject to the conditions specified in such agreement. This transaction was in conjunction with a
merger between Suburban and Wintrust Financial Corporation. The sale was completed on 7/16/2015.
124 On 8/4/2015, Treasury entered into an agreement with City National Bancshares Corporation (the “Company”) pursuant to which Treasury agreed to sell its CPP preferred stock back to the
Company at a discount subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 8/7/2015.
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Footnote
125 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.
126 On 8/27/2015, Treasury entered into an agreement with Patapsco Bancorp, Inc. and Howard Bancorp, Inc., in connection with a merger pursuant to which Treasury agreed to sell its Patapsco
Bancorp, Inc. CPP preferred stock (including warrant preferred stock) to Howard Bancorp, Inc. for (i) $6,300,000, plus (ii) all accrued and unpaid dividends, subject to the satisfaction of the
conditions specified in the agreement. The sale was completed on 8/28/2015.
127 On 9/18/2015, Treasury entered into an agreement with Goldwater Bank, N.A. and Kent Wiechert, pursuant to which Treasury agreed to sell all of its CPP preferred stock issued by Goldwater
Bank, N.A.to Wiechert for total proceeds of $1,348,000 subject to the satisfaction of conditions specified in the agreement. The sale was completed on 9/21/2015.
128 On 10/2/2015, Treasury completed the exchange of its Capital Commerce Bancorp, Inc. preferred stock and warrant-preferred stock for common stock pursuant to an exchange agreement
of the same date with Capital Commerce Bancorp, Inc. The consideration for that exchange included accrued and unpaid dividends through June 30, 2015. As part of the exchange
transaction, Treasury immediately sold the resulting Capital Commerce Bancorp, Inc. common stock to purchasers pursuant to securities purchase agreements, each dated as of 10/2/2015,
with the purchaser parties thereto.
129 On 11/13/2015, Treasury received $3.88 million from the Department of Justice as a payment related to the United States’ $4.00 million False Claims Act action against the estate and trusts
of the late Layton P. Stuart, former owner, president, and Chief Executive Officer of One Financial Corporation.
130 On 12/23/2015, Treasury completed the exchange of its CalWest Bancorp preferred stock and warrant-preferred stock for common stock pursuant to an exchange agreement of the same
date with CalWest Bancorp. As part of that transaction, Treasury immediately sold the resulting CalWest Bancorp common stock to purchasers pursuant to securities purchase agreements,
each dated as of 12/23/2015, with the purchaser parties thereto.
131 On 2/29/2016, Treasury entered into an agreement with HCSB (the “Company”) pursuant to which Treasury agreed to sell its CPP preferred stock back to the Company at a discount subject
to the satisfaction of the conditions specified in the agreement. The sale was completed on 4/11/2016.
132 Sonoma Valley Bancorp was liquidated and dissolved pursuant to the provision of the California Corporations Code. As part of that liquidation and dissolution, UST received a distribution of
$150,000 from Sonoma Valley Bancorp on 6/15/2016.
133 On 6/30/2016, Treasury completed the exchange of its Liberty Shares, Inc. preferred stock and warrant-preferred stock for common stock pursuant to an exchange agreement of the same
date with Liberty Shares, Inc. As part of that transaction, Treasury immediately sold the resulting Liberty Shares, Inc. common stock to purchasers pursuant to securities purchase
agreements, each dated as of 6/30/2016, with the purchaser parties thereto.
134 On 7/1/2016, Treasury completed the sale to United Community Banks, Inc. (UCBI) of all of its CPP preferred stock and associated warrants issued by Tidelands Bancshares, Inc.
(Tidelands) to UCBI for total proceeds of $8,984,227 subject to the satisfaction of conditions specified in the agreement. This transaction was in conjunction with a merger between Tidelands
and UCBI.
135 On 6/28/2016, the United States completed a settlement of several lawsuits related to Treasury’s investment in One Financial Corporation (OFC). As a result of that settlement, it received
344,227 shares of OFC common stock on 6/23/2016.
136 On 12/21/2016, Treasury entered into an agreement with Broadway Financial Corporation, First Republic Bank, and Broadway Federal Bank, f.s.b Employee Ownership Trust, pursuant to
which Treasury agreed to sell part of its CPP common stock to the three entities for total proceeds of $7,477,547.40 subject to the satisfaction of conditions specified in the agreement. The
transaction was completed on December 22, 2016.
137 On 12/28/2016, Treasury entered into an agreement with Allied First Bancorp (the “Company”) pursuant to which Treasury agreed to sell its CPP preferred stock back to the Company at a
discount subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 12/28/2016.
138 On 2/28/2017, Treasury completed the exchange of its Citizens Commerce Bancshares, Inc. preferred stock and warrant-preferred stock for common stock pursuant to an exchange
agreement of the same date with Citizens Commerce Bancshares, Inc. As part of that transaction, Treasury immediately sold the resulting Citizens Commerce Bancshares, Inc. common
stock to purchasers pursuant to securities purchase agreements, each dated as of 2/28/2017, with the purchaser parties thereto.
139 On 5/8/2017, Treasury obtained 344,577 shares of One Bank & Trust common shares in an Execution Sale conducted by the United States Marshal’s Service.
140 On 5/15/2017, Treasury sold 10,291,553 shares of First BanCorp common stock at $5.61 per share for total proceeds of $57,735,612.
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Footnote
141 On 5/31/17, Treasury received a court ordered $100.00 restitution check from a former executive of United Commercial Bank.
142 On 6/28/2017, Treasury entered into agreements with Broadway Financial Corporation, Pacific Western Bank and Community Bank, pursuant to which Treasury agreed to sell part of its CPP
common stock to Pacific Western Bank and Community Bank for total proceeds of $3,480,975 subject to the satisfaction of conditions specified in the agreement. The transaction was
completed on 6/29/2017.
143 On 6/30/2017, Cecil Bancorp, Inc. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Maryland (Baltimore).
144 On 9/7/2017, Treasury completed the exchange of its Grand Mountain Bancshares, Inc. preferred stock for common stock pursuant to an exchange agreement of the same date with Grand
Mountain Bancshares, Inc.. As part of that transaction, Treasury immediately sold the resulting Grand Mountain Bancshares, Inc. common stock to purchasers pursuant to securities
purchase agreements, each dated as of 9/7/2017, with the purchaser parties thereto.
145 On 9/21/2017, Treasury entered into agreements with Broadway Financial Corporation and Pacific Premier Bank, pursuant to which Treasury agreed to sell part of its CPP common stock to
Pacific Premier Bank for total proceeds of $1,877,894.30 subject to the satisfaction of conditions specified in the agreement. The transaction was completed on 9/21/2017.
146 Pursuant to the 10/11/2017 Confirmation Order of the United States Bankruptcy Court for the District of Maryland, on 10/26/2017 Treasury completed the exchange of its Cecil Bancorp, Inc.
(Cecil) preferred stock for common stock pursuant to an exchange agreement of the same date with Cecil. As part of that transaction, Treasury immediately (i) sold the resulting Cecil
common stock to purchasers pursuant to securities purchase agreements, each dated as of 10/26/2017, with the purchaser parties thereto and (ii) cancelled Treasury’s warrant.
147 On 5/17/2018, Treasury exercised its warrant on a cashless basis and received (i) 730,571 shares of common stock and (ii) $6.58 in cash in lieu of fractional shares. Treasury sold such
shares of common stock on 5/21/2018 for total proceeds of $5,702,106.66.
148 On 5/22/2018, Treasury entered into an agreement with Pinnacle Bank Holding Company, Inc. (the “Company”) pursuant to which Treasury agreed to sell its CPP preferred stock back to the
Company at a discount subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 5/22/2018.
149 On 7/13/2018, Treasury exchanged its preferred stock in Harbor Bankshares Corporation (“Harbor”) and all accrued, unpaid dividends on that stock for 5,491,843 shares of common stock
and payment of $2,272,617 pursuant to the terms of the exchange agreement between Treasury and Harbor entered into on that day.
150 On 07/16/2018, Treasury entered into an agreement with CSS, LLC (CSS) pursuant to which Treasury agreed to sell its warrant in Synovus Financial Corp. to CSS subject to the satisfaction
of the conditions specified in the agreement. The sale was completed on 07/17/2018.
151 On 7/31/2018, Treasury entered into an agreement with One Bank & Trust, N.A. and First Paragould Bankshares, Inc., pursuant to which Treasury agreed to sell its 344,577 shares of CPP
common stock in One Bank & Trust, N.A. to First Paragould Bankshares, Inc. for total proceeds of $3,515,448.62
40
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
6
Pricing Mechanism
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.
41
*Investment Status Definition Key
COMMUNITY DEVELOPMENT CAPITAL INITIATIVE
Full investment outstanding: Treasury's full investment is still outstanding
Redeemed – institution has repaid Treasury’s investment
Sold – by auction, an offering, or through a restructuring
Exited bankruptcy/receivership - Treasury has no outstanding investment
Currently not collectible - investment is currently not collectible; therefore there is no outstanding investment and a
corresponding (Realized Loss) / (Write-off)
In full – all of Treasury’s investment amount
In part – part of the investment is no longer held by Treasury, but some remains
Capital Repayment / Disposition / Auction
UST Number
UST1402
UST1454
UST1378
UST1378
UST1456
UST1456
UST1456
UST1453
UST1453
UST0767
UST0767
UST0938
UST0938
UST1373
UST1373
UST1399
UST1399
UST1428
UST1428
UST1401
UST1395
UST1408
UST1408
UST1382
UST1382
UST0413
UST0900
UST0318
UST0318
UST0956
UST0956
UST0354
UST1423
UST1391
UST1421
UST1430
UST1389
UST1444
UST1447
UST1431
UST1431
UST1372
UST1372
UST0596
UST0649
UST0649
UST1297
UST1297
UST1420
UST1420
UST0344
UST0344
UST1199
UST1199
UST1443
UST1443
UST1384
UST1384
UST1425
UST1433
UST1433
UST1233
UST1439
UST1398
UST1163
UST0801
UST1451
UST1451
UST1295
UST1295
UST0526
UST0526
UST1403
UST1403
UST1403
Footnote
8
8
8
3,4,14
8,11
8
8
8
8,10
8
3,6
3,5
3,12
3,4
8
8
3
3,8
3,8
8
3,8
3,17
8
8
8
3
3,4
3
8
8
3,8
8
Institution Name
Alternatives Federal Credit Union
American Bancorp of Illinois, Inc.
Atlantic City Federal Credit Union
Atlantic City Federal Credit Union
Bainbridge Bancshares, Inc.
Bainbridge Bancshares, Inc.
Bainbridge Bancshares, Inc.
Bancorp of Okolona, Inc.
Bancorp of Okolona, Inc.
BancPlus Corporation
BancPlus Corporation
BankAsiana
BankAsiana
Bethex Federal Credit Union
Bethex Federal Credit Union
Border Federal Credit Union
Border Federal Credit Union
Brewery Credit Union
Brewery Credit Union
Brooklyn Cooperative Federal Credit Union
Buffalo Cooperative Federal Credit Union
Butte Federal Credit Union
Butte Federal Credit Union
Carter Federal Credit Union
Carter Federal Credit Union
Carver Bancorp, Inc
CFBanc Corporation
Citizens Bancshares Corporation
Citizens Bancshares Corporation
Community Bancshares of Mississippi, Inc.
Community Bancshares of Mississippi, Inc.
Community Bank of the Bay
Community First Guam Federal Credit Union
Community Plus Federal Credit Union
Cooperative Center Federal Credit Union
D.C. Federal Credit Union
East End Baptist Tabernacle Federal Credit Union
Episcopal Community Federal Credit Union
Fairfax County Federal Credit Union
Faith Based Federal Credit Union
Faith Based Federal Credit Union
Fidelis Federal Credit Union
Fidelis Federal Credit Union
First American International Corp.
First Choice Bank
First Choice Bank
First Eagle Bancshares, Inc.
First Eagle Bancshares, Inc.
First Legacy Community Credit Union
First Legacy Community Credit Union
First M&F Corporation
First M&F Corporation
First Vernon Bancshares, Inc.
First Vernon Bancshares, Inc.
Freedom First Federal Credit Union
Freedom First Federal Credit Union
Gateway Community Federal Credit Union
Gateway Community Federal Credit Union
Genesee Co-op Federal Credit Union
Greater Kinston Credit Union
Greater Kinston Credit Union
Guaranty Capital Corporation
Hill District Federal Credit Union
Hope Federal Credit Union
IBC Bancorp, Inc.
IBW Financial Corporation
Independent Employers Group Federal Credit Union
Independent Employers Group Federal Credit Union
Kilmichael Bancorp, Inc.
Kilmichael Bancorp, Inc.
Lafayette Bancorp, Inc.
Lafayette Bancorp, Inc.
Liberty County Teachers Federal Credit Union
Liberty County Teachers Federal Credit Union
Liberty County Teachers Federal Credit Union
City
Ithaca
Oak Brook
Lander
Lander
Bainbridge
Bainbridge
Bainbridge
Okolona
Okolona
Ridgeland
Ridgeland
Palisades Park
Palisades Park
Bronx
Bronx
Del Rio
Del Rio
Milwaukee
Milwaukee
Brooklyn
Buffalo
Biggs
Biggs
Springhill
Springhill
New York
Washington
Atlanta
Atlanta
Brandon
Brandon
Oakland
Hagatna
Rantoul
Berkeley
Washington
Bridgeport
Los Angeles
Fairfax
Oceanside
Oceanside
New York
New York
Brooklyn
Cerritos
Cerritos
Hanover Park
Hanover Park
Charlotte
Charlotte
Kosciusko
Kosciusko
Vernon
Vernon
Roanoke
Roanoke
Missoula
Missoula
Rochester
Kinston
Kinston
Belzoni
Pittsburgh
Jackson
Chicago
Washington
Hilo
Hilo
Kilmichael
Kilmichael
Oxford
Oxford
Liberty
Liberty
Liberty
State
NY
IL
WY
WY
GA
GA
GA
MS
MS
MS
MS
NJ
NJ
NY
NY
TX
TX
WI
WI
NY
NY
CA
CA
LA
LA
NY
DC
GA
GA
MS
MS
CA
GU
IL
CA
DC
CT
CA
VA
CA
CA
NY
NY
NY
CA
CA
IL
IL
NC
NC
MS
MS
AL
AL
VA
VA
MT
MT
NY
NC
NC
MS
PA
MS
IL
DC
HI
HI
MS
MS
MS
MS
TX
TX
TX
Date
9/24/2010
9/17/2010
9/24/2010
9/26/2012
9/24/2010
9/10/2014
1/7/2015
9/29/2010
3/13/2013
9/29/2010
10/18/2016
9/29/2010
10/1/2013
9/29/2010
11/18/2015
9/29/2010
10/15/2014
9/24/2010
10/3/2012
9/30/2010
9/24/2010
9/24/2010
12/31/2014
9/29/2010
2/6/2013
8/27/2010
9/17/2010
8/13/2010
9/17/2010
9/29/2010
10/11/2016
9/29/2010
9/24/2010
9/29/2010
9/24/2010
9/29/2010
9/29/2010
9/29/2010
9/24/2010
9/29/2010
8/19/2015
9/29/2010
10/14/2015
8/13/2010
9/24/2010
5/1/2013
9/17/2010
3/25/2016
9/29/2010
4/2/2014
9/29/2010
8/30/2013
9/29/2010
11/29/2016
9/29/2010
6/12/2013
9/24/2010
10/17/2012
9/17/2010
9/29/2010
4/10/2012
7/30/2010
9/29/2010
9/17/2010
9/10/2010
9/3/2010
9/29/2010
11/18/2015
9/3/2010
11/2/2016
9/29/2010
1/27/2016
9/24/2010
4/2/2014
12/31/2014
Original Investment Type1
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Exchange From CPP
Preferred Stock
Subordinated Debentures
Preferred Stock
$50,400,000.00
Preferred Stock
Original Investment Amount
$2,234,000.00
$5,457,000.00
$2,500,000.00
Outstanding Investment
$2,234,000.00
$5,457,000.00
$0.00
$3,372,000.00
$0.00
$3,297,000.00
$0.00
$30,514,000.00
$0.00
$5,250,000.00
$0.00
Total Cash Back2
Investment Status*
$274,409.67 Full investment outstanding
$1,042,256.68 Full investment outstanding
$2,600,277.77 Redeemed, in Full
$0.00
$553,566.56 Redeemed, in Full
$0.00
$3,523,697.78 Redeemed, in Full
$300,000.00
$145,000.00
$1,000,000.00
$300,000.00
$145,000.00
$0.00
Subordinated Debentures
$6,300,000.00
$3,800,000.00
Common Stock
Preferred Stock
Preferred Stock
$18,980,000.00
Preferred Stock
$54,600,000.00
$5,781,000.00
$7,462,000.00
$18,980,000.00
$5,781,000.00
$11,841,000.00
$2,500,000.00
2,500,000
$1.00
$2,372,000.00
$1,000,000.00
2,372
1,000
$1,000.00
$1,000.00
(Realized Loss) / (Write-off)
Gain
$3,297,000.00
3,297,000
$1.00
$75,250,020.00
80,914
$930.00
$5,250,000.00
5,250
$1,000.00
$1.00
($5,663,980.00)
$5,565,583.34 Redeemed, in Full
$502,000.00
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Avg. Price
$3,547,974.96 Redeemed, in Full
$3,260,000.00
$0.00
Shares
$85,045,109.22 Sold, in full
Subordinated Debentures
$1,096,000.00
(Fee)
$3,645,637.33 Redeemed, in Full
Subordinated Debentures
Subordinated Debentures
Amount
$502,000.00
502,000
$3,260,000.00
3,260,000
$1.00
$1,096,000.00
1,096,000
$1.00
$1,000,000.00
1,000,000
$1.00
$2,500,000.00
2,500,000
$1.00
$50,778,000.00
54,600
$930.00
$30,000.00
30,000
$1.00
$14,000.00
14,000
$1.00
$1,140,388.00 Redeemed, in Full
$36,750.00 Full investment outstanding
$17,810.83 Full investment outstanding
$1,085,388.88 Redeemed, in Full
$3,083,350.00 Redeemed, in part
$446,512.41 Full investment outstanding
$712,347.67 Full investment outstanding
$1,473,169.22 Full investment outstanding
$4,379,000.00
Preferred Stock
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
$1,747,000.00
Subordinated Debentures
Preferred Stock
Preferred Stock
Subordinated Debentures
Preferred Stock
$4,060,000.00
$2,650,000.00
$450,000.00
$2,799,000.00
$1,522,000.00
$7,000.00
$100,000.00
$8,044,000.00
$0.00
$14,000.00
$0.00
$17,000,000.00
$5,146,000.00
$17,000,000.00
$0.00
$7,875,000.00
$0.00
Subordinated Debentures
Preferred Stock
$0.00
$2,313,000.00
$2,650,000.00
$450,000.00
$2,799,000.00
$1,522,000.00
$7,000.00
$100,000.00
$8,044,000.00
$30,000.00
$1,000,000.00
$30,000,000.00
$0.00
$6,245,000.00
Subordinated Debentures
$0.00
$9,278,000.00
$0.00
$300,000.00
$0.00
$4,205,000.00
$6,000,000.00
Subordinated Debentures
Preferred Stock
Subordinated Debentures
$698,000.00
$14,000,000.00
$100,000.00
$4,520,000.00
$8,086,000.00
$6,000,000.00
$0.00
$3,154,000.00
$0.00
$4,551,000.00
$435,000.00
$2,142,975.79 Full investment outstanding
$5,413,877.89 Redeemed, in Full
$5,146,000.00
5,146
$1,000.00
$7,875,000.00
7,875,000
$1.00
$1,000,000.00
1,000,000
$1.00
$30,000,000.00
30,000
$1,000.00
$9,223,112.50 Redeemed, in Full
$1,070,166.67 Redeemed, in Full
$31,751,666.67 Redeemed, in Full
$6,528,523.06 Sold, in full
$300,000.00
$350,000.00
$100,000.00
$4,520,000.00
$3,881,000.00
$15,411.67 Redeemed, in Full
$9,779,527.44 Redeemed, in Full
$1,657,000.00
($3,822,000.00)
Full investment outstanding
Full investment outstanding
Full investment outstanding
Full investment outstanding
Full investment outstanding
Full investment outstanding
Full investment outstanding
Full investment outstanding
Redeemed, in Full
$0.00
Subordinated Debentures
Subordinated Debentures
$14,000,000.00
$477,275.56
$325,508.33
$55,150.00
$343,810.50
$186,529.56
$857.89
$12,255.56
$988,071.33
$32,933.34
$0.00
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Subordinated Debentures
$57,366,400.00 Sold, in full
$5,745,400.00
6,245
$920.00
$9,278,000.00
9,278,000
$1.00
$1,657,000.00
1,657,000
$1.00
$350,000.00
350,000
$1.00
($499,600.00)
$1,725,397.27 Redeemed, in Full
$36,966.67 Full investment outstanding
$360,714.44 Redeemed, in Full
$2,730,583.33
$12,255.56
$556,964.44
$1,549,255.14
$744,000.00
$769,700.70
Full investment outstanding
Full investment outstanding
Full investment outstanding
Full investment outstanding
Full investment outstanding
Redeemed, in Full
$698,000.00
698,000
$1.00
$3,154,000.00
3,154,000
$1.00
$4,551,000.00
4,551
$1,000.00
$87,000.00
$87,000.00
87,000
87,000
$1.00
$1.00
$3,756,668.07 Redeemed, in Full
$0.00
$5,035,934.33 Redeemed, in Full
$174,000.00
$305,026.83 Redeemed, in part
42
UST Number
UST1403
UST0551
UST1374
UST1256
UST0139
UST0139
UST1383
UST1387
UST1441
UST1409
UST0451
UST1414
UST1214
UST1214
UST1422
UST1422
UST0785
UST0785
UST1417
UST1417
UST1417
UST1450
UST1438
UST1207
UST1207
UST1207
UST1207
UST0208
UST0208
UST1379
UST0490
UST0490
UST1370
UST1429
UST1429
UST0478
UST0478
UST0511
UST0511
UST0754
UST0754
UST1410
UST1435
UST0610
UST1400
UST1390
UST1426
UST0272
UST0272
UST1386
UST1386
UST1267
UST1267
UST1404
UST1404
UST1449
UST1449
UST1449
UST1458
UST1458
Footnote
3,4
3
3,5
3
3,7
8
3,8
8,16
3,8
3,4,15
3,4,18
8
3,13
3,4,19
8
3
9
3,8
8
3,4,8
8
8
8
Institution Name
Liberty County Teachers Federal Credit Union
Liberty Financial Services, Inc.
Lower East Side People's Federal Credit Union
M&F Bancorp, Inc.
Mission Valley Bancorp
Mission Valley Bancorp
Neighborhood Trust Federal Credit Union
North Side Community Federal Credit Union
Northeast Community Federal Credit Union
Opportunities Credit Union
PGB Holdings, Inc.
Phenix Pride Federal Credit Union
Premier Bancorp, Inc.
Premier Bancorp, Inc.
Prince Kuhio Federal Credit Union / Hawaii Federal Credit Union
Prince Kuhio Federal Credit Union / Hawaii Federal Credit Union
PSB Financial Corporation
PSB Financial Corporation
Pyramid Federal Credit Union
Pyramid Federal Credit Union
Pyramid Federal Credit Union
Renaissance Community Development Credit Union
Santa Cruz Community Credit Union
Security Capital Corporation
Security Capital Corporation
Security Capital Corporation
Security Capital Corporation
Security Federal Corporation
Security Federal Corporation
Shreveport Federal Credit Union
Southern Bancorp, Inc.
Southern Bancorp, Inc.
Southern Chautauqua Federal Credit Union
Southside Credit Union
Southside Credit Union
State Capital Corporation
State Capital Corporation
The First Bancshares, Inc.
The First Bancshares, Inc.
The Magnolia State Corporation
The Magnolia State Corporation
Thurston Union of Low-Income People (TULIP) Cooperative Credit Union
Tongass Federal Credit Union
Tri-State Bank of Memphis
Tulane-Loyola Federal Credit Union
Union Baptist Church Federal Credit Union
Union Settlement Federal Credit Union
United Bancorporation of Alabama, Inc.
United Bancorporation of Alabama, Inc.
UNITEHERE Federal Credit Union
(Workers United Federal Credit Union)
UNITEHERE Federal Credit Union
(Workers United Federal Credit Union)
University Financial Corp, Inc.
University Financial Corp, Inc.
UNO Federal Credit Union
UNO Federal Credit Union
Vigo County Federal Credit Union
Vigo County Federal Credit Union
Vigo County Federal Credit Union
Virginia Community Capital, Inc.
Virginia Community Capital, Inc.
City
Liberty
New Orleans
New York
Durham
Sun Valley
Sun Valley
New York
Chicago
San Francisco
Burlington
Chicago
Phenix City
Wilmette
Wilmette
Honolulu
Honolulu
Many
Many
Tucson
Tucson
Tucson
Somerset
Santa Cruz
Batesville
Batesville
Batesville
Batesville
Aiken
Aiken
Shreveport
Arkadelphia
Arkadelphia
Lakewood
San Antonio
San Antonio
Greenwood
Greenwood
Hattiesburg
Hattiesburg
Bay Springs
Bay Springs
Olympia
Ketchikan
Memphis
New Orleans
Fort Wayne
New York
Atmore
Atmore
New York
New York
St. Paul
St. Paul
New Orleans
New Orleans
Terre Haute
Terre Haute
Terre Haute
Christiansburg
Christiansburg
State
TX
LA
NY
NC
CA
CA
NY
IL
CA
VT
IL
AL
IL
IL
HI
HI
LA
LA
AZ
AZ
AZ
NJ
CA
MS
MS
MS
MS
SC
SC
LA
AR
AR
NY
TX
TX
MS
MS
MS
MS
MS
MS
WA
AK
TN
LA
IN
NY
AL
AL
NY
NY
MN
MN
LA
LA
IN
IN
IN
VA
VA
Date
12/16/2015
9/24/2010
9/24/2010
8/20/2010
8/20/2010
9/24/2010
9/24/2010
9/29/2010
9/24/2010
9/29/2010
8/13/2010
9/24/2010
8/13/2010
1/29/2013
9/24/2010
9/9/2015
9/29/2010
12/28/2012
9/24/2010
3/9/2016
11/22/2016
9/29/2010
9/24/2010
9/29/2010
9/9/2015
3/23/2016
5/27/2016
9/29/2010
10/31/2016
9/29/2010
8/6/2010
11/29/2016
9/29/2010
9/29/2010
10/30/2013
9/29/2010
10/11/2016
9/29/2010
12/6/2016
9/29/2010
12/17/2014
9/24/2010
9/24/2010
8/13/2010
9/24/2010
9/24/2010
9/29/2010
9/3/2010
11/16/2016
9/29/2010
3/20/2013
7/30/2010
11/28/2012
9/24/2010
9/4/2013
9/29/2010
2/25/2015
12/23/2015
9/24/2010
6/29/2016
1
Original Investment Type
Preferred Stock
Subordinated Debentures
Preferred Stock
Preferred Stock
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Subordinated Debentures
Subordinated Debentures
Exchange From CPP
$5,645,000.00
$5,689,000.00
$898,000.00
$11,735,000.00
$5,500,000.00
$4,836,000.00
$283,000.00
$325,000.00
$350,000.00
$1,091,000.00
$3,000,000.00
$153,000.00
$6,784,000.00
Subordinated Debentures
Preferred Stock
Original Investment Amount
$273,000.00
$9,734,000.00
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Preferred Stock
Subordinated Debentures
Preferred Stock
$31,000.00
$2,828,000.00
$17,910,000.00
Full investment outstanding
Full investment outstanding
Full investment outstanding
Full investment outstanding
$283,000.00
$325,000.00
$350,000.00
$1,091,000.00
$3,000,000.00
$153,000.00
$0.00
$34,763.01
$39,830.56
$42,991.67
$133,708.11
$381,291.95
$18,793.50
$79,900.00
Full investment outstanding
Full investment outstanding
Full investment outstanding
Full investment outstanding
Full investment outstanding
Full investment outstanding
Sold, in full
$0.00
$300,072.50
$0.00
$31,000.00
$2,828,000.00
$0.00
$0.00
$11,000,000.00
$324,282.00 Full investment outstanding
$35,702,188.89 Sold, in full
$1,709,000.00
$1,100,000.00
$1,709,000.00
$0.00
$209,446.64 Full investment outstanding
$1,167,894.44 Redeemed, in Full
$0.00
Subordinated Debentures
$7,922,000.00
$4,222,000.00
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Preferred Stock
$75,000.00
$1,600,000.00
$75,000.00
$1,600,000.00
$2,795,000.00
$424,000.00
$10,000.00
$295,000.00
$0.00
$2,795,000.00
$424,000.00
$10,000.00
$295,000.00
$10,300,000.00
Subordinated Debentures
$57,000.00
$11,926,000.00
$10,189,000.00
$0.00
$0.00
$9,212.50
$196,533.33
$209,935.56
$52,081.33
$1,228.33
$24,124.45
$11,577,772.22
$1.00
$9,734,000.00
9,734
$1,000.00
$1,500,000.00
$930,000.00
1,500,000
1,000,000
$1.00
$0.93
$9,250,000.00
$3,000,000.00
$5,660,000.00
9,250
3,000
5,660
$1,000.00
$1,000.00
$1,000.00
$21,340,000.00
22,000
$970.00
($660,000.00)
$31,434,000.00
33,800
$930.00
($2,366,000.00)
($6,704,100.00)
($70,000.00)
$1,100,000.00
1,100,000
$1.00
$14,750,000.00
15,750
$936.51
($1,000,000.00)
$15,925,000.00
17,123
$930.04
($1,198,000.00)
$3,700,000.00
3,700,000
$1.00
$10,300,000.00
10,300
$1,000.00
$57,000.00
57,000
$1.00
$22,115,000.00
22,115,000
$1.00
$743,000.00
743,000
$1.00
$491,600.00
$245,800.00
491,600
245,800
$1.00
$1.00
1,915,000
$1.00
$23,710,842.97 Redeemed, in Full
$786,754.45 Redeemed, in Full
$866,690.80 Redeemed, in part
$174,981,600.00
$0.01
273,000
$59,821.50 Redeemed, in Full
$0.00
$206,783,000.00
6,784,000
Full investment outstanding
Full investment outstanding
Full investment outstanding
Full investment outstanding
Full investment outstanding
Full investment outstanding
Redeemed, in Full
$491,600.00
$363,290,000.00
$79,900.00
$273,000.00
$4,985,667.48 Redeemed, in part
$743,000.00
TOTALS
Gain
$18,043,495.61 Sold, in full
$1,229,000.00
$0.00
(Realized Loss) / (Write-off)
$16,650,500.00 Sold, in full
Subordinated Debentures
$1,915,000.00
Avg. Price
$1.00
$24,019,111.11 Sold, in full
Subordinated Debentures
Subordinated Debentures
Shares
87,000
$3,799.22 Full investment outstanding
$347,372.67 Full investment outstanding
$19,794,559.99 Redeemed, in Full
$2,646,000.00
$0.00
$12,123,000.00
(Fee)
$2,716,972.22 Sold, in full
$2,646,000.00
$22,800,000.00
$0.00
Amount
$87,000.00
$10,171,489.22 Redeemed, in Full
$4,000,000.00
$5,000,000.00
Subordinated Debentures
Investment Status*
$1,392,193.00
$122,350.16
$1,463,615.28
$1,279,994.22
$18,000,000.00
$15,750,000.00
Preferred Stock
Total Cash Back2
$11,334,000.00
$898,000.00
$11,735,000.00
$10,336,000.00
$0.00
$2,500,000.00
Subordinated Debentures
Subordinated Debentures
Preferred Stock
Outstanding Investment
$2,135,756.94 Redeemed, in Full
$436,148,788.69
$1,915,000.00
$373,107,720.00
$0.00
($21,983,680.00)
43
$0.00
Footnote
Footnote Description
1 All pricing is at par.
2 Total Cash Back includes net capital repayments, interest and dividends, warrant proceeds, and other income (less expenses).
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
3 investment with Treasury under the CDCI program terms.
4 Treasury made an additional investment in this institution at the time it entered the CDCI program.
5 Treasury made an additional investment in this institution after the time it entered the CDCI program.
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
6 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.
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
7 a result of the liquidation of Premier Bancorp, Inc.
Repayment pursuant to one or more of the following, as appropriate: Section 5 of the CDCI Certificate of Designation, Section 6.10 or 6.11 of the CDCI Securities Purchase Agreement,
8 and/or Section 5.11 of the CDCI Exchange Agreement.
On 10/31/2014, in connection with the merger of Union Settlement Federal Credit Union (Union) with Lower East Side People’s Federal Credit Union (Lower East Side), Treasury exchanged
its $295,000 in aggregate principal amount of Union senior subordinated securities for a like amount of additional Lower East Side senior subordinated securities. Accrued dividends on the
9 Union senior subordinated securities were paid on the date of the exchange.
On 12/23/2014, in connection with the merger of Butte Federal Credit Union (Butte) with Self-Help Credit Union (SHFCU), Treasury exchanged its 1,000,000 in senior subordinated securities
10 for a like amount of SHFCU senior subordinated securities. Accrued and unpaid interest were paid on the date of the exchange.
On 10/1/2013, Treasury completed the sale to Wilshire Bancorp, Inc. (“Wilshire”) of all of the preferred stock that had been issued by BankAsiana (“BankAsiana”) to Treasury for a purchase
price of $5,250,000 plus accrued dividends, pursuant to the terms of the agreement between Treasury, Wilshire and BankAsiana entered into on 9/25/2013 in connection with the merger of
11 Wilshire and BankAsiana.
On 10/11/2016, Treasury entered into an agreement with Community Bancshares of Mississippi, Inc. (the “Company”) pursuant to which Treasury agreed to sell its CDCI preferred stock to
the Company for fair value of $50,778,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was
12 completed on 10/11/2016.
On 10/11/2016, Treasury entered into an agreement with State Capital Corp. (the “Company”) pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for fair
value of $14,750,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on
13 10/11/2016.
On 10/18/2016, Treasury entered into an agreement with BancPlus Corporation (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for fair
value of $75,250,020 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on
14 10/18/2016.
On 10/31/2016, Treasury entered into an agreement with Security Federal Corporation (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company
for fair value of $21,340,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on
15 10/31/2016.
On 11/22/2016, Treasury entered into an agreement with Pyramid Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated securities to
the Company for fair value of $930,000 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was
16 completed on 11/22/2016.
44
Footnote
Footnote Description
On 11/29/2016, Treasury entered into an agreement with First Vernon Bancshares, Inc. (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company
for fair value of $5,745,400 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on
17 11/29/2016.
On 11/29/2016, Treasury entered into an agreement with Southern Bancorp, Inc. (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for fair
value of $31,434,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on
18 11/29/2016.
On 12/06/2016, Treasury entered into an agreement with The First Bancshares, Inc. (“the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for
fair value of $15,925,000.00 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on
19 12/06/2016.
45
AUTOMOTIVE INDUSTRY FINANCING PROGRAM
Exchange/Transfer/Other Details
Initial Investment
City, State
GMAC
(Ally)
Date
Transaction Type
Seller
12/29/2008
Purchase
GMAC
5/21/2009
Purchase
GMAC
Convertible Preferred Stock
w/ Exercised Warrants
Detroit, MI
12/30/2009
Purchase
Description
Preferred Stock w/ Exercised
$
Warrants
GMAC
Convertible Preferred Stock
w/ Exercised Warrants
$
$
Amount
Pricing
Mechanism
5,000,000,000
Par
7,500,000,000
Par
1,250,000,000
Par
Date
12/30/2009
22
22,
26
12/30/2009
12/30/2010
Type
Exchange for convertible
preferred stock
Partial conversion of preferred
stock for common stock
Partial conversion of preferred
stock for common stock
Amount
Pricing
Mechanism
$
5,000,000,000
N/A
$
3,000,000,000
N/A
Obligor
GMAC (Ally)
GMAC (Ally)
$
1
Treasury Investment After Exchange/Transfer/Other
5,500,000,000
N/A
26
Description
21, 22
3, 26,
32, 38
Convertible
Preferred Stock
Amount/Equity %
$
5,937,500,000
Payment or Disposition
Date
Type
11/20/2013 Disposition 38
12/30/2009
Purchase
12/29/2008
Purchase
12/31/2008
Purchase
4/22/2009
Purchase
GMAC
General Motors
Corporation
General Motors
Corporation
General Motors
Corporation
$
2,540,000,000
Par
Debt Obligation
$
884,024,131
Par
$
13,400,000,000
Par
$
2,000,000,000
Par
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
3/1/2011
2
5/29/2009
7/10/2009
4
7/10/2009
Exchange for amended and
restated Trust Preferred
Securities
Exchange for equity interest in
GMAC
Exchange for preferred and
common stock in New GM
Exchange for preferred and
common stock in New GM
$
2,667,000,000
N/A
$
884,024,131
N/A
$
13,400,000,000
N/A
$
2,000,000,000
N/A
27 GMAC (Ally)
$
5,925,000,000
1/23/2014 Partial Disposition
$
3,023,750,000 Common Stock
36.96%
4/15/2014 Partial Disposition41
$
2,375,000,000 Common Stock
17.09%
5/14/2014 Partial Disposition42
$
181,141,750 Common Stock
15.60%
9/12/2014 Partial Disposition43
$
218,680,700 Common Stock
13.40%
10/16/2014 Partial Disposition44
$
245,492,605 Common Stock
11.40%
45
$
1,277,036,382 Common Stock
$
2,667,000,000
N/A
$
2,139,406,778
N/A
$
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
$
2,667,000,000
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
General Motors Company
10, 11,
Preferred Stock
24
$
2,100,000,000
10, 11,
General Motors Company
25
N/A
N/A
7/10/2009
Exchange for preferred and
common stock in New GM
$
22,041,706,310
N/A
7/10/2009
Transfer of debt to New GM
$
7,072,488,605
N/A
7/10/2009
Debt left at Old GM
$
985,805,085
N/A
$
0
3/2/2011 Disposition 28
0.00%
0
7
7
General Motors Holdings
LLC
11, 12 Debt Obligation
12/15/2010 Repayment
$
11/18/2010 Partial Disposition 25
$
11,743,303,903 Common Stock
36.9%
0
11/26/2010 Partial Disposition 25
$
1,761,495,577 Common Stock
32.04%
12/21/2012 Partial Disposition 33
$
5,500,000,000 Common Stock
21.97%
4/11/2013
Partial Disposition
34
$
1,637,839,844 Common Stock
17.69%
6/12/2013
Partial Disposition
35
$
1,031,700,000 Common Stock
13.80%
9/13/2013
Partial Disposition
36
$
3,822,724,832 Common Stock
7.32%
11/20/2013 Partial Disposition 37
$
2,563,441,956 Common Stock
2.24%
39
$
1,208,249,982 Common Stock
$
360,624,198 Debt Obligation
12/18/2009 Partial Repayment
$
1,000,000,000 Debt Obligation
$
5,711,864,407
1/21/2010
$
35,084,421 Debt Obligation
$
5,676,779,986
60.8%
Common Stock
Detroit, MI
5/27/2009
N/A
3
7
General Motors
Corporation
Remaining
Investment
Amount/Equity %
63.45%
Common Stock
Trust Preferred
Securities
27
Remaining
Investment
Description
40
12/24/2014 Partial Disposition
Trust Preferred Securities w/
Exercised Warrants
Amount/ Proceeds
$
7,072,488,605
12/9/2013
Partial Disposition
7/10/2009
Partial Repayment
Partial Repayment
0.00%
$
6,711,864,407
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
9
9
9
Motors Liquidation
Company
29
Debt Obligation
$
985,805,085
3/31/2011
Partial Repayment
$
50,000,000
4/5/2011
Partial Repayment
$
45,000,000
5/3/2011
Partial Repayment
$
15,887,795
12/16/2011 Partial Repayment
$
144,444
12/23/2011 Partial Repayment
$
18,890,294
1/11/2012
Partial Repayment
$
6,713,489
10/23/2012 Partial Repayment
$
435,097
5/22/2013
Partial Repayment
$
10,048,968
9/20/2013
Partial Repayment
$
11,832,877
12/27/2013 Partial Repayment
$
410,705
1/9/2014
Partial Repayment
$
470,269
5/22/2015
Partial Repayment
$
8,325,185
8/1/2016
Partial Repayment
$
2,961,564
11/17/2016 Partial Repayment
$
5,033,898
3/16/2018
$
12,912,262
Partial Repayment
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
46
1/16/2009
Chrysler
FinCo
Purchase
Chrysler FinCo
Debt Obligation w/ Additional
Note
$
1,500,000,000
Par
13
Farmington
Hills, MI
1/2/2009
Purchase
Chrysler Holding
Purchase
Chrysler Holding
Purchase
Chrysler Holding
5/1/2009
Purchase
Old Chrysler
5/20/2009
Purchase
Old Chrysler
4/29/2009
4/29/2009
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
Debt Obligation w/ Additional
Note
$
4,000,000,000
$
-
$
280,130,642
$
1,888,153,580
$
-
6/10/2009
Par
Par
$
500,000,000
N/A
19
20
Chrysler Holding
Debt obligation w/
additional note
$
3,500,000,000
Partial Repayment
4/17/2009
Partial Repayment
5/18/2009
Partial Repayment
6/17/2009
Partial Repayment
7/14/2009
Repayment
7/14/2009
Repayment*
5/14/2010
$
$
$
$
15
4/30/2010
17
Completion of bankruptcy
proceeding; transfer of
collateral security to liquidation
trust
$
(1,888,153,580)
N/A
23
Old Carco Liquidation Trust
23
Right to recover
proceeds
N/A
Auburn Hills,
MI
5/27/2009
Purchase
New Chrysler
Debt Obligation w/ Additional
Note, Zero Coupon Note,
Equity
18
$
6,642,000,000
N/A
19, 31
6/10/2009
Issuance of equity in New
Chrysler
$
-
N/A
Chrysler Group LLC
Chrysler Group LLC
Total Initial Investment Amount $
Additional Note
$
1,496,500,945
$
1,464,690,823
$
1,413,554,739
$
1,369,197,029
$
0
$
1,369,197,029
$
15,000,000
N/A
-
Termination and settlement payment $
1,900,000,000
N/A
-
N/A
7/10/2009
Repayment
$
280,130,642
5/10/2010
Proceeds from sale of collateral
$
30,544,528
9/9/2010
Proceeds from sale of collateral
$
12/29/2010 Proceeds from sale of collateral
Chrysler
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
20
14
16
-
Transfer of debt to New
Chrysler
3/17/2009
30
81,344,932,551
Total Treasury Investment Amount $
Debt obligation w/
additional note &
zero coupon note
Common equity
$
7,142,000,000
6.6%
$
Right to recover
proceeds
Right to recover
9,666,784
proceeds
0
N/A
N/A
$
Right to recover
7,844,409
proceeds
N/A
Right to recover
9,302,185
proceeds
N/A
4/30/2012
Proceeds from sale of collateral
$
9/21/2015
Proceeds from sale of collateral
$
93,871,306
Right to recover
proceeds
N/A
9/29/2015
Proceeds from sale of collateral
$
6,341,426
Right to recover
proceeds
N/A
2/26/2016
Proceeds from sale of collateral
$
2,000,000
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 $
64,058,981,039
Additional Proceeds * $
403,000,000
N/A
N/A
$
0
-
11,732,257,932
Footnotes appear on following page.
47
As used in this table and its footnotes:
GMAC refers to GMAC Inc., formerly known as GMAC LLC., and now known as Ally Financial, Inc. ("Ally").
"Old GM" refers to General Motors Corporation, which is now known as Motors Liquidation Company.
"New GM" refers to General Motors Company, the company that purchased Old GM's assets on 7/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code. See also footnote 11.
"Chrysler FinCo" refers to Chrysler Financial Services Americas LLC.
"Chrysler Holding" refers to CGI Holding LLC, the company formerly known as "Chrysler Holding LLC".
"Old Chrysler" refers to Old Carco LLC (fka Chrysler LLC).
"New Chrysler" refers to Chrysler Group LLC, the company that purchased Old Chrysler's assets on 6/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code.
1. Payment amount does not include accrued and unpaid interest on a debt obligation, which must be paid at the time of principal repayment.
2. Treasury committed to lend General Motors Corporation up to $1,000,000,000. The ultimate funding was dependent upon the level of investor participation in GMAC LLC's rights offering. The amount has been updated to reflect the final level of funding.
3. Pursuant to its rights under the loan agreement with Old GM reported on 12/29/2008, Treasury exchanged its $884 million loan to Old GM for a portion of Old GM’s common equity interest in GMAC. Treasury held a 35.4% common equity interest in GMAC until the transactions reported on 12/30/2009. (See transactions marked by orange line in the table above and footnote 22.)
4. This transaction is an amendment to Treasury's 12/31/2008 agreement with Old GM (the "Old GM Loan"), which brought the total loan amount to $15,400,000,000.
5. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,400,000,000.
6. This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,760,624,198. The $360,624,198 loan was used to capitalize GM Warranty LLC, a special purpose vehicle created by Old GM . On 7/10/2009, the principal amount was included in the $7.07 billion of debt assumed by the new GM, as explained in footnote 10.
7. On 7/10/2009, the principal amount outstanding under the Old GM Loan and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM. (See green lines in the table above.)
8. Under the terms of the $33.3 billion debtor-in-possession credit agreement dated 6/3/2009 with Old GM (the "GM DIP Loan"), Treasury's commitment amount was $30.1 billion. The remaining $2.2 billion of the financing was provided by Canadian government entities. As of 7/09/2009, $30.1 billion of funds had been disbursed by Treasury.
9. On 7/10/2009, Treasury and Old GM amended the GM DIP Loan, and the principal amount and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM, except for (i) $7.07 billion, which was assumed by New GM as a new obligation under the terms of a separate credit agreement between Treasury and New GM (see transactions marked by green lines in table above) and
(ii) $986 million, which remained a debt obligation of Old GM.
10. In total, for the exchange of the Old GM Loan and the GM DIP Loan (other than as explained in footnote 9), Treasury received $2.1 billion in preferred shares and 60.8% of the common shares of New GM. (See transactions marked by green lines in the table above.)
11. Pursuant to a corporate reorganization completed on or about 10/19/2009, the shareholders of New GM, including with respect to Treasury's preferred and common stock, became shareholders of General Motors Holding Company (the ultimate parent company of New GM), which was renamed "General Motors Company" on an equal basis to their shareholdings in New GM, and New GM was converted to "General Motors LLC". General
Motors LLC is a wholly owned subsidiary of General Motors Holdings LLC, and General Motors Holdings LLC is a wholly owned subsidiary of General Motors Company.
12. Pursuant to a corporate reorganization completed on 10/19/2009, Treasury's loan with New GM was assigned and assumed by General Motors Holdings LLC.
13. The loan was funded through Chrysler LB Receivables Trust, a special purpose vehicle created by Chrysler FinCo. The amount of $1,500,000,000 represents the maximum loan amount. The loan was incrementally funded until it reached the maximum amount of $1.5 billion on 4/9/2009.
14. This transaction was an amendment to Treasury's 1/2/2009 agreement with Chrysler Holding. As of 4/30/2009, Treasury's obligation to lend any funds committed under this amendment had terminated. No funds were disbursed.
15. The loan was used to capitalize Chrysler Warranty SPV LLC, a special purpose vehicle created by Old Chrysler.
16. This transaction was set forth in a credit agreement with Old Chrysler fully executed on 5/5/2009 following a term sheet executed on 5/1/2009 and made effective on 4/30/2009. Treasury's commitment was $3.04 billion of the total $4.1 billion debtor-in-possession credit facility (the "Chrysler DIP Loan"). As of 6/30/2009, Treasury's commitment to lend under the Chrysler DIP Loan had terminated. The remaining principal amount reflects the
final amount of funds disbursed under the Chrysler DIP Loan.
17. This transaction was an amendment to Treasury's commitment under the Chrysler DIP Loan, which increased Treasury's commitment by an amount $756,857,000 to a total of $3.8 billion under the Chrysler DIP Loan. As of 6/30/2009, Treasury's obligation to lend funds committed under the Chrysler DIP Loan had terminated.
18. This transaction, first reported based on a term sheet fully executed on 5/27/2009 for an amount up to $6.943 billion, was set forth in a credit agreement with New Chrysler fully executed on 6/10/2009. Under the terms of the credit agreement, Treasury made a new commitment to New Chrysler of up to $6.642 billion. The total loan amount is up to $7.142 billion including $500 million of debt assumed on 6/10/2009 from Chrysler Holding
originally incurred under Treasury's 1/2/2009 credit agreement with Chrysler Holding. The debt obligations are secured by a first priority lien on the assets of New Chrysler. When the sale to new Chrysler was completed, Treasury acquired the rights to 9.85% of the common equity in new Chrysler.
19. Pursuant to the agreement explained in footnote 18, $500 million of this debt obligation was assumed by New Chrysler.
20. Under loan agreement, as amended on 7/23/2009, Treasury was entitled to proceeds Chrysler Holdco received from Chrysler FinCo equal to the greater of $1.375 billion or 40% of the equity value of Chrysler FinCo. Pursuant to a termination agreement dated 5/14/2010, Treasury agreed to accept a settlement payment of $1.9 billion as satisfaction in full of all existing debt obligations (including additional notes and accrued and unpaid
interest) of Chrysler Holdco, and upon receipt of such payment to terminate all such obligations.
21. Amount of the Treasury investment exchange includes the exercised warrants from Treasury's initial investments.
22. Under the terms of an agreement dated 12/30/2009, the convertible preferred shares will mandatorily convert to common stock under the conditions and the conversion price as set forth in the terms of the agreement.
23. On April 30, 2010, the Plan of Liquidation for the debtors of Old Chrysler approved by the respective bankruptcy court became effective (the “Liquidation Plan”). Under the Liquidation Plan, the loan Treasury had provided to Old Chrysler was extinguished without repayment, and all assets of Old Chrysler were transferred to a liquidation trust. Treasury retained the right to recover the proceeds from the liquidation from time to time of the
specified collateral security attached to such loan.
24. On October 27, 2010, Treasury accepted an offer by General Motors Company (GM) to repurchase all of the approximately $2.1 billion preferred stock at a price per share of $25.50, which is equal to 102% of the liquidation preference, subject to the closing of the proposed initial public offering of GM’s common stock. The repurchase was completed on 12/15/2010.
25. On 11/17/2010, Treasury agreed to sell 358,546,795 shares of common stock at $32.7525 per share (which represents the $33 public sale price less underwriting discounts and fees) pursuant to an underwriting agreement. Following settlement, the net proceeds to Treasury were $11,743,303,903. On 11/26/2010, the underwriters exercised their option to purchase an additional 53,782,019 shares of common stock from Treasury at the
same purchase price resulting in additional proceeds of $1,761,495,577. Treasury's aggregate net proceeds from the sale of common stock pursuant to the underwriting agreement total $13,504,799,480.
26. On 12/30/2010, Treasury converted $5,500,000,000 of the total convertible preferred stock then outstanding and held by Treasury (including exercised warrants) into 531,850 shares of common stock of Ally. Following this conversion, Treasury holds $5,937,500,000 of convertible preferred stock.
27. On 3/1/2011, Treasury entered into an agreement with Ally Financial, Inc. (Ally) and certain other parties to amend and restate the $2,667,000,000 in aggregate liquidation preference of its Ally trust preferred securities so to facilitate a public underwritten offering. At the time of amendment and restatement, Treasury received all outstanding accrued and unpaid dividends and a distribution fee of $28,170,000.
28. On 3/2/2011, Treasury entered into an underwritten offering for all of its Ally trust preferred securities, the proceeds of which were $2,638,830,000, which together with the distribution fee referred to in footnote 27, provided total disposition proceeds to Treasury of $2,667,000,000. This amount does not include the accumulated and unpaid dividends on the trust preferred securities from the date of the amendment and restatement through but
excluding the closing date that Treasury will receive separately at settlement.
29. On March 31, 2011, the Plan of Liquidation for Motors Liquidation Company (Old GM) became effective, Treasury’s $986 million loan to Old GM was converted to an administrative claim and the assets remaining with Old GM, including Treasury's liens on certain collateral and other rights attached to the loan, were transferred to liquidation trusts. On December 15, 2011, Old GM was dissolved, as required by the Plan of Liquidation. Treasury
retained the right to recover additional proceeds; however, any additional recovery is dependent on actual liquidation proceeds and pending litigation.
30. In June 2009, Treasury provided a $6.6 billion loan commitment to Chrysler Group LLC and received a 9.9 percent equity ownership in Chrysler Group LLC (Chrysler). In January and April 2011, Chrysler met the first and second of three performance related milestones. As a result, Fiat’s ownership automatically increased from 20% to 30%, and Treasury’s ownership was reduced to 8.6%. On May 24, 2011, Fiat, through the exercise of an
equity call option, purchased an incremental 16% fully diluted ownership interest in Chrysler for $1.268 billion, reducing Treasury’s ownership to 6.6% (or 6.0% on a fully diluted basis). On July 21, 2011, Fiat, through the exercise of an equity call option, purchased Treasury’s ownership interest for $500 million. In addition, Fiat paid $60 million to Treasury for its rights under an agreement with the UAW retirement trust pertaining to the trust's
shares in Chrysler.
31 On May 24, 2011, Chrysler Group LLC terminated its ability to draw on the remaining $2.066 billion outstanding under this loan facility.
32. On November 1, 2011, Treasury received a $201,345.42 pro-rata tax distribution on its common stock from Ally Financial, Inc. pursuant to the terms of the Sixth Amended and Restated Limited Liability Company Operating Agreement of GMAC LLC dated May 22, 2009.
33. On 12/21/2012, Treasury sold 200,000,000 shares of common stock at $27.50 per share pursuant to a letter agreement. Following settlement, the net proceeds to Treasury were $5,500,000,000.
34. On January 18, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 58,392,078 shares of common stock from time to time during the period ending on April 17, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on April 11, 2013.
35. On 6/12/2013, Treasury sold 30,000,000 shares of GM common stock in a registered public offering at $34.41 per share for net proceeds to Treasury of $ 1,031,700,000.
36. Pursuant to pre-arranged written trading plans dated May 6, 2013, as amended, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 142,814,136 shares of common stock from time to time during the period ending on September 13, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on
September 13, 2013.
37. On September 26, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 70,214,460 shares of common stock from time to time during the period ending on December 20, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on November 20, 2013.
38. On November 20, 2013, Ally completed a private placement of an aggregate of 216,667 shares of its common stock for an aggregate price of approximately $1.3 billion and the repurchase of all outstanding shares of its Fixed Rate Cumulative Mandatorily Convertible Preferred Stock, Series F-2, held by Treasury, including payment for the elimination or relinquishment of any right to receive additional shares of common stock to be issued
(the “Share Adjustment Right”). Ally paid to Treasury a total of approximately $5.93 billion for the repurchase of the Series F-2 Preferred Stock and the elimination of the Share Adjustment Right. As a result of the private placement, Treasury's common stock ownership stake was diluted from 73.8 percent to 63.45 percent. Treasury continues to own 981,971 shares of common stock in Ally.
39. On November 21, 2013, Treasury gave J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell, subject to certain parameters, the remaining shares of common stock, from time to time during the period ending on February 15, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on December 9, 2013.
40. On January 23, 2014, Treasury sold 410,000 shares of Ally common stock in a private offering at $7,375 per share for gross proceeds of $3,023,750,000.
41. On April 15, 2014, Treasury sold 95,000,000 shares of Ally common stock in an IPO at $25.00 per share for net proceeds of $2,375,000,000.
42. On 5/14/2014, the underwriters partially exercised their option to purchase an additional 7,245,670 shares of Ally common stock from Treasury at $25.00 resulting in additional proceeds of $181,141,750.
43. On August 14, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 8,890,000 shares of common stock from time to time during the period ending on November 12, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on September 12, 2014.
44. 4/ On September 12, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 11,249,044 of common stock from time to time during the period ending on December 11, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on October 16, 2014.
45. On December 24, 2014, Treasury sold 54,926,296 shares of Ally common stock in an underwritten offering at $23.25 per share for net proceeds of $1,277,036,382.
AUTOMOTIVE SUPPLIER SUPPORT PROGRAM
Seller
Footnote
Date
Name of Institution
City
Payment or Disposition4
Adjustment Details
State
Transaction Type
Investment
Description
Investment Amount
Pricing Mechanism
Adjustment
Date
Adjusted or Final
Investment Amount
Adjustment Amount
Date
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
$
$
290,000,000
(500,000,000) $
1,000,000,000
$
123,076,735
7
413,076,735
2,500,000,000
N/A
Total Repayments
$
413,076,735
Remaining Investment
Description
Amount
2/11/2010
3/4/2010
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
11/20/2009
1
Type
Partial
repayment
Partial
repayment
Debt Obligation w/ Additional Note
$
140,000,000
Debt Obligation w/ Additional Note
$
100,000,000
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 Receivables LLC on 7/10/2009.
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 6/10/2009.
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.
48
AUTOMOTIVE INDUSTRY FINANCING PROGRAM - GENERAL MOTORS COMPANY
COMMON STOCK DISPOSITION
Date
01/18/13 –
04/17/13
05/6/13 –
9/13/2013
9/26/13 –
11/20/13
11/21/2013 12/9/2013
Proceeds2
Pricing Mechanism1
Number of Shares
$28.0490
58,392,078
$
1,637,839,844
$34.6461
110,336,510
$
3,822,724,832
$36.5087
70,214,460
$
2,563,441,956
$38.8228
31,122,206
$
1,208,249,982
3
4
5
6
Total Proceeds:
$9,232,256,614
1/ The price set forth is the weighted average price for all sales of General Motors Company common stock made by Treasury over the course of the corresponding period.
2/ Amount represents the gross proceeds to Treasury.
3/ On January 18, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 58,392,078 shares of
common stock from time to time during the period ending on April 17, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on April 11, 2013.
4/ Pursuant to pre-arranged written trading plans dated May 6, 2013, as amended, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell
subject to certain parameters up to 142,814,136 shares of common stock from time to time during the period ending on September 13, 2013 (or upon completion of the sale). Completion of the sale under this
authority occurred on September 13, 2013.
5/ On September 26, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 70,214,460 shares of
common stock from time to time during the period ending on December 20, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on November 20, 2013.
6/ On November 21, 2013, Treasury gave J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell, subject to certain parameters, the remaining shares of common stock, from time to time during
the period ending on February 15, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on December 9, 2013.
49
AUTOMOTIVE INDUSTRY FINANCING PROGRAM - ALLY FINANCIAL, INC.
COMMON STOCK DISPOSITION
Date
08/14/14 –
09/12/14
09/12/14 10/16/14
Proceeds2
Pricing Mechanism1
Number of Shares
$24.5985
8,890,000
$
218,680,700
$21.8234
11,249,044
$
245,492,605
3
4
Total Proceeds:
$464,173,305
1/ The price set forth is the weighted average price for all sales of Ally Financial, Inc.(Ally) common stock made by Treasury over the course of the corresponding period.
2/ Amount represents the gross proceeds to Treasury.
3/ On August 14, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 8,890,000 shares of common stock from time to time during the period
ending on November 12, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on September 12, 2014.
4/ On September 12, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 11,249,044 of common stock from time to time during the period ending
on December 11, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on October 16, 2014.
50
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
$
Capital Repayment Remaining Capital
Amount
Amount
2
Final Disposition
Remaining Capital
Description
Final Disposition Date
3
Final Disposition
Description
Final Disposition
Proceeds
$
20,000,000,000
$
0
Warrants
1/25/2011
A
Warrants
$
190,386,428
$
20,000,000,000
$
0
Warrants
3/3/2010
A
Warrants
$
1,236,804,513
$
40,000,000,000
$
1,427,190,941
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
$
$
Description
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
6
7
$
Description
Trust Preferred Securities
w/ Warrants
Amount
$
Footnote
Date
3
12/23/2009
5
Type
Partial cancellation for early
termination of guarantee
Amount
Remaining Premium
Description
Remaining
Premium
$ (1,800,000,000)
Trust Preferred
Securities w/ Warrants
$ 2,234,000,000
9/30/2010 Disposition
$ 2,246,000,000
Warrants
1/25/2011 Warrant Auction
$
$
0
67,197,045 None
$
0
$ 894,000,000.00 None
$
0
(5,000,000,000)
3
TOTAL
Type
Payment or Disposition
Footnote
0
12/28/2012
2/4/2013
Trust preferred securities
received from the FDIC
Exchange Trust preferred
securities for subordinated
note
Trust Preferred Securities
$
800,000,000.00
Subordinated Note
$
894,000,000.00
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.
51
AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM
(formerly referred to as Systemically Significant Failing Institutions Program)
Seller
Note
Date
1
11/25/2008
2, 3
4/17/2009
Name of Institution
AIG
Purchase Details
City
New York
AIG
New York
State
Transaction
Type
NY
Purchase
Preferred Stock w/ Warrants
(Series D)
Purchase
Preferred Stock w/ Warrants
(Series F)
NY
Investment Description
Exchange/Transfer Details
Investment Amount
$
Pricing Mechanism
40,000,000,000
$
29,835,000,000
$
69,835,000,000
Par
Par
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
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
$
2,000,000,000
16,916,603,568
$
3,375,328,432
167,623,733
924,546,133
N/A
6
Date
Amount / Shares
$
7
N/A
ALICO Junior Preferred Interests
5
Final Disposition
Common Stock
562,868,096
7
Transaction Type
Proceeds
8
Pricing Mechanism
5/27/2011
Cancellation
$
-
2/14/2011
Payment
$
185,726,192
N/A
Par
3/8/2011
Payment
$
5,511,067,614
Par
3/15/2011
Payment
$
55,833,333
Par
8/17/2011
Payment
$
97,008,351
Par
8/18/2011
Payment
$
2,153,520,000
Par
9/2/2011
Payment
$
55,885,302
Par
11/1/2011
Payment
$
971,506,765
Par
3/8/2012
Payment
$
5,576,121,382
Par
3/15/2012
Payment
$
1,521,632,096
Par
3/22/2012
Payment
$
1,493,250,339
Par
2/14/2011
Payment
$
2,009,932,072
Par
3/8/2011
Payment
$
1,383,888,037
Par
3/15/2012
Payment
$
44,941,843
Par
5/24/2011
Partial Disposition
$
5,800,000,000
N/A
3/8/2012
Partial Disposition
$
6,000,000,008
N/A
5/6/2012
Partial Disposition
$
4,999,999,993
N/A
5/7/2012
Partial Disposition
$
749,999,972
N/A
8/3/2012
Partial Disposition
$
4,999,999,993
N/A
8/6/2012
Partial Disposition
$
750,000,002
N/A
9/10/2012
Partial Disposition
$
17,999,999,973
N/A
9/11/2012
Partial Disposition
$
2,699,999,965
N/A
12/14/2012
Final Disposition
$
7,610,497,570
N/A
Remaining Recap
Investment Amount,
Shares, or Equity %
$
0
10
$
0
8
$
0
8
1,455,037,962
9
77%
1,248,141,410
11
70%
1,084,206,984
12
63%
1,059,616,821
12
61%
895,682,395
13
55%
871,092,231
13
53%
317,246,078
14
22%
234,169,156
14
16%
234,169,156
0%
Footnotes appear on following page.
52
15
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.
53
CREDIT MARKET PROGRAMS
TERM ASSET-BACKED SECURITIES LOAN FACILITY
Seller
Footnote
1
Date
3/3/2009
Name of Institution
TALF LLC
City
Wilmington
State
DE
Transaction
Type
Purchase
Investment Description
Debt Obligation w/ Additional Note
Investment Amount
$
20,000,000,000
Pricing Mechanism
Adjusted Investment
Date
Amount
2
7/19/2010
$
4,300,000,000
6/28/2012
3
1/15/2013
4
$
1,400,000,000
$
100,000,000
Final Investment Amount
$
100,000,000
Total Investment Amount $
100,000,000
N/A
Repayment 5
Description
Date
Amount
2/6/2013
Principal Repayment
$
100,000,000
2/6/2013
3/6/2013
4/4/2013
5/6/2013
6/6/2013
7/5/2013
8/6/2013
9/6/2013
10/4/2013
11/6/2013
12/5/2013
1/7/2014
2/6/2014
3/6/2014
4/4/2014
5/6/2014
6/5/2014
7/7/2014
8/6/2014
9/5/2014
10/6/2014
11/6/2014
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
212,829,610
97,594,053
6,069,968
4,419,259
96,496,772
11,799,670
66,072,965
74,797,684
1,114,074
933,181
1,102,424
1,026,569
1,107,574
1,225,983
11,597,602
1,055,556
1,343,150
27,005,139
14,059,971
262,036
17,394,583
21,835,385
$
771,143,209
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.
54
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
3
PMF
-
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
Life-to-date
Principal Received
Current Face
Disposition
1, 8
Amount 6, 8
Amount 5, 6
$
3,151,186 $
902,633 $
3,457,746
$
5,891,602 $
1,685,710 $
6,462,972
$
5,964,013 $
2,022,652 $
6,555,383
$
22,350,367 $
1,149,633 $
25,039,989
$
6,542,218 $
2,357,796 $
7,045,774
$
9,819,270 $
932,112 $
10,550,917
$
12,570,392 $
328,604 $
13,886,504
$
8,483,188 $
261,145 $
9,482,247
$
8,171,159 $
246,658 $
8,985,818
$
15,030,712 $
2,089,260 $
16,658,561
$
32,656,125 $
1,784,934 $
36,072,056
$
25,930,433 $
2,278,652 $
29,142,474
$
5,656,049 $
348,107 $
6,051,772
$
6,520,875 $
339,960 $
7,105,304
$
12,704,841 $
478,520 $
14,182,379
$
1,903,407 $
694,979 $
2,052,702
$
9,531,446 $
188,009 $
10,223,264
$
6,425,217 $
1,853,831 $
7,078,089
$
4,580,543 $
419,457 $
5,029,356
$
9,030,539 $
969,461 $
9,994,806
$
8,403,846 $
868,636 $
9,230,008
$
10,099,555 $
250,445 $
11,314,651
$
6,236,800 $
663,200 $
6,556,341
$
7,503,681 $
1,398,549 $
8,269,277
$
7,053,867 $
996,133 $
7,703,610
$
5,473,724 $
276,276 $
5,764,858
$
4,307,881 $
1,433,872 $
4,693,918
$
3,367,168 $
82,832 $
3,698,411
$
10,592,775 $
889,646 $
11,818,944
$
12,963,737 $
438,754 $
14,433,039
$
14,562,161 $
387,839 $
16,383,544
Disposition Proceeds
TOTAL PROGRAM PROCEEDS TO DATE7 $
$
334,924,711
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.
55
CREDIT MARKET PROGRAMS
LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)
Preliminary Adjusted
Seller
Footnote
Date
1
9/30/2009
2
1
9/30/2009
9/30/2009
Name of Institution
UST/TCW Senior Mortgage Securities Fund, L.P.
UST/TCW Senior Mortgage Securities Fund, L.P.
Invesco Legacy Securities Master Fund, L.P.
Commitment
City
State
Transaction
Type
Wilmington
DE
Purchase
Wilmington
Wilmington
DE
DE
Purchase
Purchase
Investment Description
Membership Interest
Debt Obligation w/ Contingent Proceeds
Membership Interest
Commitment
Amount
$
$
$
1,111,111,111
2,222,222,222
1,111,111,111
Pricing
Mechanism
Date
Par
1/4/2010
Par
Par
1/4/2010
3
Amount
4
4
$
$
3/22/2010 6 $
156,250,000
200,000,000
1,244,437,500
Final Investment
Final Commitment Amount
Date
1/4/2010
1/4/2010
7/16/2010
7
Amount
Amount
4 $
4 $
$
156,250,000
200,000,000
856,000,000
9
Amount
$
$
$
156,250,000
200,000,000
580,960,000
Capital Repayment Details
Repayment
Date
1/15/2010
9/30/2009
Invesco Legacy Securities Master Fund, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6
$
2,488,875,000
9/26/2011 8 $
1,161,920,000
$
1,161,920,000
Repayment Amount
$
156,250,000
Amount
$
1/11/2010
$
34,000,000
$
1/12/2010
$
166,000,000
$
2/18/2010
$
2,444,347
$
Description
0
0
578,515,653 Membership Interest
$
3,533,199
$
574,982,454 Membership Interest
30,011,187
$
544,971,267 Membership Interest
11/15/2010
$
66,463,982
$
478,507,285 Membership Interest
12/14/2010
$
15,844,536
$
462,662,749 Membership Interest
1/14/2011
$
13,677,726
$
448,985,023 Membership Interest
2/14/2011
$
48,523,845
$
400,461,178 Membership Interest
3/14/2011
$
68,765,544
$
331,695,634 Membership Interest
4/14/2011
$
77,704,254
$
253,991,380 Membership Interest
5/20/2011
$
28,883,733
$
225,107,647 Membership Interest
6/14/2011
$
9,129,709
$
215,977,938 Membership Interest
7/15/2011
$
31,061,747
$
184,916,192 Membership Interest
8/12/2011
$
10,381,214
$
174,534,977 Membership Interest
10/17/2011
$
6,230,731
$
168,304,246 Membership Interest
12/14/2011
$
1,183,959
$
167,120,288 Membership Interest
1/17/2012
$
1,096,185
$
166,024,103 Membership Interest
2/14/2012
$
1,601,688
$
164,422,415 Membership Interest
3/14/2012
$
3,035,546
$
161,386,870 Membership Interest
2/18/2010
$
4,888,718
$
$
4/15/2010
$
7,066,434
$
9/15/2010
$
60,022,674
$
11/15/2010
$
132,928,628
$
12/14/2010
$
31,689,230
$
1/14/2010
$
27,355,590
$
2/14/2011
$
92,300,138
$
3/14/2011
$
128,027,536
$
4/14/2011
$
155,409,286
$
5/20/2011
$
75,085,485
$
6/14/2011
$
18,259,513
$
7/15/2011
$
62,979,809
$
8/12/2011
$
20,762,532
$
10/17/2011
$
37,384,574
$
12/14/2011
$
7,103,787
$
1/17/2012
$
6,577,144
$
Proceeds
5
Distribution
2/24/2010
Final Distribution
1/29/2010
Distribution
2/24/2010
Final Distribution
3/29/2012
Distribution
8/9/2012
Distribution
9/28/2012
Final Distribution
6/4/2013
Adjusted Distribution
7/8/2013
Distribution
Contingent Proceeds
$
161,386,870
Description
1/29/2010
5
$
20,091,872
$
48,922
Debt Obligation w/ Contingent
166,000,000 Proceeds
9/15/2010
$
Distribution or Disposition
Date
Membership Interest
4/15/2010
3/29/2012
2
Investment After Capital Repayment
0
Membership Interest
5
$
502,302
$
1,223
5
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
5
5
10
5
5, 13
5, 14
$
56,390,209
$
1,056,751
$
18,772
$
69,399
$
64,444
Debt Obligation w/ Contingent
1,157,031,282 Proceeds
Debt Obligation w/ Contingent
1,149,964,848 Proceeds
Debt Obligation w/ Contingent
1,089,942,174 Proceeds
Debt Obligation w/ Contingent
957,013,546 Proceeds
Debt Obligation w/ Contingent
925,324,316 Proceeds
Debt Obligation w/ Contingent
897,968,726 Proceeds
Debt Obligation w/ Contingent
805,668,588 Proceeds
Debt Obligation w/ Contingent
677,641,052 Proceeds
Debt Obligation w/ Contingent
522,231,766 Proceeds
Debt Obligation w/ Contingent
447,146,281 Proceeds
Debt Obligation w/ Contingent
428,886,768 Proceeds
Debt Obligation w/ Contingent
365,906,960 Proceeds
Debt Obligation w/ Contingent
345,144,428 Proceeds
Debt Obligation w/ Contingent
307,759,854 Proceeds
Debt Obligation w/ Contingent
300,656,067 Proceeds
Debt Obligation w/ Contingent
294,078,924 Proceeds
56
Preliminary Adjusted
Seller
Footnote
Date
Name of Institution
Commitment
City
State
Transaction
Type
Commitment
Amount
Investment Description
Pricing
Mechanism
Date
3
Amount
Final Investment
Final Commitment Amount
Date
7
Amount
Amount
9
Amount
Capital Repayment Details
Repayment
Date
2/14/2012
3/14/2012
1
10/1/2009
Wellington Management Legacy Securities PPIF Master Fund, LP
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,262,037,500
7/16/2010
$
1,149,487,000
$
1,149,487,000
Investment After Capital Repayment
Repayment Amount
$
$
9,610,173
284,468,750
Amount
$
$
Description
Distribution or Disposition
Date
1
10/1/2009
10/2/2009
Wellington Management Legacy Securities PPIF Master Fund, LP
AllianceBernstein Legacy Securities Master Fund, L.P.
Wilmington
Wilmington
DE
DE
Purchase
Purchase
Debt Obligation w/ Contingent Proceeds
Membership Interest
$
$
2,222,222,222
1,111,111,111
Par
Par
3/22/2010 6 $
3/22/2010 6 $
2,524,075,000
1,244,437,500
7/16/2010
7/16/2010
$
$
2,298,974,000
1,150,423,500
$
$
2,298,974,000
0
Contingent Proceeds
7/16/2012
$
62,499,688
$
1,086,987,313 Membership Interest
9/17/2012
$
152,499,238
$
934,488,075 Membership Interest
1/15/2013
$
254,581,112
$
679,906,963 Membership Interest
2/13/2013
$
436,447,818
$
243,459,145 Membership Interest
3/13/2013
$
243,459,145
$
1,064,141,738
6/26/2012
$
125,000,000
$
9/17/2012
$
305,000,000
$
12/6/2012
$
800,000,000
$
12/21/2012
$
630,000,000
$
1/15/2013
$
97,494,310
$
1/24/2013
$
341,479,690
$
0
Membership Interest
Distribution
9/28/2012
Final Distribution
6/4/2013
Adjusted Distribution
7/8/2013
Distribution
3/13/2013
Distribution
1,064,097,694 Membership Interest
$
712,284
$
1,063,385,410 Membership Interest
$
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
2/14/2011
3/14/2011
8/30/2012
2
10/2/2009
AllianceBernstein Legacy Securities Master Fund, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
7/16/2010
$
2,300,847,000
12 $
2,128,000,000
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
$
$
3,434,460
$
40,556
5
5
5, 13
5, 14
$
469
$
1,735
$
1,611
10
10
10
10
10
- Contingent Proceeds
$
$
5
Distribution
8/9/2012
Distribution
5
5, 11
$
479,509,240
$
2,802,754
$
16,195,771
$
69,932
Debt Obligation w/ Contingent
2,173,974,000 Proceeds
Debt Obligation w/ Contingent
1,868,974,000 Proceeds
Debt Obligation w/ Contingent
1,068,974,000 Proceeds
Debt Obligation w/ Contingent
438,974,000 Proceeds
Debt Obligation w/ Contingent
341,479,690 Proceeds
44,043
1/15/2010
Proceeds
3/29/2012
7/11/2013
2
Description
Debt Obligation w/ Contingent
284,468,750 Proceeds
5, 11
4/17/2013
Distribution
7/11/2013
Distribution
8/30/2012
Distribution
9/12/2012
Distribution
9/19/2012
Distribution
10/1/2012
Distribution
12/21/2012
Distribution
8/13/2013
Distribution Refund
5, 11
10
10
10
10
10
10
10
10
- Membership Interest 10
5, 11
5, 11
5, 11
5, 11
5, 11
$
75,278,664
$
79,071,633
$
106,300,357
$
25,909,972
$
678,683
$
(18,405)
Debt Obligation w/ Contingent
2,097,755,425 Proceeds
Debt Obligation w/ Contingent
2,097,667,339 Proceeds
Debt Obligation w/ Contingent
2,017,667,339 Proceeds
Debt Obligation w/ Contingent
1,987,667,339 Proceeds
Debt Obligation w/ Contingent
1,487,667,339 Proceeds
Debt Obligation w/ Contingent
1,443,467,339 Proceeds
Debt Obligation w/ Contingent
1,323,467,339 Proceeds
Debt Obligation w/ Contingent
1,305,967,339 Proceeds
Debt Obligation w/ Contingent
855,967,339 Proceeds
Debt Obligation w/ Contingent
583,467,339 Proceeds
-
Contingent Proceeds
5, 11
10/3/2012
Distribution
12/21/2012
Distribution
8/13/2013
Distribution Refund
5, 11
$
12,012,957
$
16,967
$
(460)
57
Preliminary Adjusted
Seller
Footnote
Date
Name of Institution
1
10/2/2009
Blackrock PPIF, L.P.
2
1
10/2/2009
10/30/2009
Blackrock PPIF, L.P.
AG GECC PPIF Master Fund, L.P.
Commitment
City
Wilmington
Wilmington
Wilmington
State
Transaction
Type
DE
Purchase
DE
DE
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
1,244,437,500
2,488,875,000
1,271,337,500
Final Investment
Final Commitment Amount
Date
7/16/2010
7/16/2010
7/16/2010
7
Amount
Amount
$
$
$
694,980,000
1,389,960,000
1,243,275,000
9
Amount
$
$
$
528,184,800
1,053,000,000
1,117,399,170
Capital Repayment Details
Repayment
Date
8/14/2012
10/30/2009
AG GECC PPIF Master Fund, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,542,675,000
7/16/2010
$
2,486,550,000
$
2,234,798,340
Repayment Amount
$
90,269,076
Amount
$
Description
437,915,724 Membership Interest
9/17/2012
$
8,833,632
$
429,082,092 Membership Interest
10/15/2012
$
10,055,653
$
419,026,439 Membership Interest
11/5/2012
$
419,026,439
$
7/31/2012
$
175,000,000
$
8/14/2012
$
5,539,055
$
8/31/2012
$
16,000,000
$
$
1,667,352
$
$
35,000,000
$
10/15/2012
$
25,334,218
$
10/18/2012
$
794,459,374
$
- Contingent Proceeds
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
$
Date
Description
Proceeds
10
10
5, 11
11/5/2012
Distribution
12/5/2012
Distribution 5, 11
12/6/2013
Distribution
5, 11
$
297,511,708
$
57,378,964
$
1,609,739
Debt Obligation w/ Contingent
878,000,000 Proceeds
Debt Obligation w/ Contingent
872,460,945 Proceeds
Debt Obligation w/ Contingent
856,460,945 Proceeds
Debt Obligation w/ Contingent
854,793,592 Proceeds
Debt Obligation w/ Contingent
819,793,592 Proceeds
Debt Obligation w/ Contingent
794,459,374 Proceeds
9/28/2012
$
Distribution or Disposition
10
- Membership Interest 10
9/17/2012
2/21/2013
2
Investment After Capital Repayment
$
174,200,000
$
2,060,598,340
3/14/2012
$
198,925,000
$
1,861,673,340
5/14/2012
$
150,000,000
$
1,711,673,340
7/16/2012
$
37,500,000
$
1,674,173,340
8/14/2012
$
136,800,000
$
1,537,373,340
9/17/2012
$
250,000,000
$
1,287,373,340
10/15/2012
$
481,350,000
$
806,023,340
11/15/2012
$
274,590,324
$
531,433,016
12/14/2012
$
147,534,295
$
383,898,721
1/15/2013
$
182,823,491
$
201,075,230
Distribution
12/5/2012
Distribution 5, 11
12/6/2013
Distribution
2/21/2013
Distribution
2/27/2013
Distribution
3/14/2013
Distribution
4/19/2013
Distribution
4/25/2013
Distribution
5/29/2013
Distribution 5, 11
9/30/2014
Final Distribution
12/8/2017
Final Distribution
4/19/2013
Distribution
4/25/2013
Distribution
5, 11
$
8,289,431
$
1,433,088
$
141,894
$
184,431,858
10
10
10
10
10
10
10
10
10
10
10
- Membership Interest 10
2/14/2012
5, 11
11/5/2012
5, 11
5, 11
5, 11
5, 11
5, 11
5, 11
5, 16
$
20,999,895
$
156,174,219
$
105,620,441
$
42,099,442
$
49,225,244
$
1,748,833
$
510,899
$
17,118,005
$
1,052,497
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
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
5, 11
5, 11
58
Preliminary Adjusted
Seller
Footnote
Date
Name of Institution
Commitment
City
State
Transaction
Type
Commitment
Amount
Investment Description
Pricing
Mechanism
Date
3
Amount
Final Investment
Final Commitment Amount
Date
7
Amount
Amount
9
Amount
Capital Repayment Details
Repayment
Date
2/14/2013
1
11/4/2009
RLJ Western Asset Public/Private Master Fund, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,244,437,500
7/16/2010
$
620,578,258
$
620,578,258
11/4/2009
RLJ Western Asset Public/Private Master Fund, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
7/16/2010
$
1,241,156,516
$
1,241,000,000
11/25/2009
Marathon Legacy Securities Public-Private Investment Partnership, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,244,437,500
7/16/2010
$
474,550,000
$
474,550,000
11/25/2009
Marathon Legacy Securities Public-Private Investment Partnership, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
7/16/2010
$
949,100,000
$
949,000,000
Amount
$
Description
$
619,375,301 Membership Interest
4/14/2011
$
3,521,835
$
615,853,465 Membership Interest
8/14/2012
$
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
10/15/2012
$
134,999,325
$
122,255,550 Membership Interest
5/13/2011
$
$
122,255,550
13,531,530
$
$
7/31/2012
$
618,750,000
$
608,718,470
8/9/2012
$
151,006,173
$
457,712,297
8/14/2012
$
11,008,652
$
446,703,645
8/23/2012
$
160,493,230
$
286,210,415
8/29/2012
$
103,706,836
$
182,503,579
9/17/2012
$
20,637,410
$
161,866,170
$
161,866,170
$
74,499,628
$
400,050,373 Membership Interest
11/15/2012
$
59,787,459
$
340,262,914 Membership Interest
12/14/2012
$
40,459,092
$
299,803,821 Membership Interest
1/15/2013
$
10,409,317
$
289,394,504 Membership Interest
1/30/2013
$
219,998,900
$
69,395,604 Membership Interest
2/25/2013
$
39,026,406
$
30,369,198 Membership Interest
$
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
$
9/30/2014
Final Distribution
12/8/2017
Final Distribution
10/19/2012
Distribution
11/2/2012
Distribution
12/21/2012
Distribution
12/11/2013
Final Distribution
1/28/2015
Distribution
10/19/2012
Distribution
11/2/2012
Distribution
12/21/2012
Distribution
12/11/2013
Final Distribution
1/28/2015
Distribution
3/25/2013
Distribution
4/16/2013
Distribution
5/16/2013
Distribution
7/11/2013
Distribution
9/5/2013
Distribution
12/27/2013
Distribution
4/16/2013
Distribution
5/16/2013
Distribution
7/11/2013
Distribution
5, 11
5, 16
Proceeds
$
1,230,643
$
41,556
$
12,773
$
147,464,888
$
148,749,256
$
549,997
$
75,372
$
61,767
$
6,789,287
$
3,718,769
$
13,750
$
1,884
$
1,544
$
164,629,827
$
71,462,104
$
38,536,072
$
29,999,850
$
3,999,980
$
5,707,723
$
7,143,340
$
963,411
$
750,004
10
10
10
10
10
- Contingent Proceeds
$
30,369,198
Distribution 5, 11
5, 11
5, 11
5, 11
5, 11
5, 15
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
Debt Obligation w/ Contingent
Proceeds
Debt Obligation w/ Contingent
Proceeds
9/17/2012
$
Description
5/29/2013
10
- Membership Interest 10
1,227,468,470
Distribution or Disposition
Date
- Contingent Proceeds
1,202,957
3/25/2013
2
201,075,230
$
9/21/2012
1
Repayment Amount
$
3/14/2011
10/19/2012
2
Investment After Capital Repayment
5, 11
5, 11
5, 11
5, 15
5, 11
10
10
10
10
10
10
- Membership Interest 10
5, 11
5, 11
5, 11
5, 11
5, 11
5, 11
Debt Obligation w/ Contingent
800,000,000 Proceeds
Debt Obligation w/ Contingent
680,424,484 Proceeds
Debt Obligation w/ Contingent
485,424,484 Proceeds
Debt Obligation w/ Contingent
437,668,717 Proceeds
Debt Obligation w/ Contingent
375,212,503 Proceeds
-
Contingent Proceeds
5, 11
5, 11
5, 11
59
Preliminary Adjusted
Seller
Footnote
1
Date
12/18/2009
Name of Institution
Oaktree PPIP Fund, L.P.
Commitment
City
Wilmington
State
DE
Transaction
Type
Purchase
Commitment
Amount
Investment Description
Membership Interest
$
1,111,111,111
Pricing
Mechanism
Par
Date
3
Amount
3/22/2010 6 $
1,244,437,500
Final Investment
Final Commitment Amount
Date
7/16/2010
7
Amount
Amount
$
1,160,784,100
9
Amount
$
555,904,633
Capital Repayment Details
Repayment
Date
1/24/2013
12/18/2009
Oaktree PPIP Fund, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
7/16/2010
$
2,321,568,200
$
1,111,000,000
$
30,000,000,000
FINAL COMMITMENT AMOUNT
$
Amount
$
Description
Contingent Proceeds
$
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
12/14/2012
$
55,540,026
$
255,328,581 Membership Interest
1/15/2013
$
14,849,910
$
240,478,671 Membership Interest
4/12/2013
$
18,268,328
$
222,210,343 Membership Interest
5/14/2013
$
70,605,973
$
151,604,370 Membership Interest
5/28/2013
$
119,769,362
$
31,835,008 Membership Interest
$
31,835,008
$
7/15/2011
$
79,000,000
$
3/14/2012
$
78,775,901
$
9/17/2012
$
44,224,144
$
10/15/2012
$
64,994,269
$
11/15/2012
$
223,080,187
$
12/14/2012
$
111,080,608
$
1/15/2013
$
89,099,906
$
4/12/2013
$
109,610,516
$
5/14/2013
INITIAL COMMITMENT AMOUNT
Repayment Amount
375,212,503
7/15/2011
6/3/2013
2
$
Investment After Capital Repayment
$
311,134,469
$
Distribution or Disposition
Date
Description
9/5/2013
Distribution
12/27/2013
Distribution
5, 11
5, 11
TOTAL CAPITAL REPAYMENT AMOUNT $
100,001
$
142,168
$
46,575,750
$
54,999,725
$
27,999,860
$
11,749,941
$
40,974,795
$
539,009
10
10
10
10
10
10
10
10
10
10
- Membership Interest 10
5, 11
6/3/2013
Distribution
6/14/2013
Distribution
6/24/2013
Distribution
6/26/2013
Distribution
7/9/2013
Distribution 5, 11
12/12/2013
Final Distribution
5/28/2013
Distribution
6/3/2013
Distribution
6/14/2013
Distribution
6/24/2013
Distribution
6/26/2013
Distribution
7/9/2013
Distribution 5, 11
12/12/2013
Final Distribution
5, 11
5, 11
5, 11
5, 11
Debt Obligation w/ Contingent
1,032,000,000 Proceeds
Debt Obligation w/ Contingent
953,224,099 Proceeds
Debt Obligation w/ Contingent
908,999,956 Proceeds
Debt Obligation w/ Contingent
844,005,687 Proceeds
Debt Obligation w/ Contingent
620,925,500 Proceeds
Debt Obligation w/ Contingent
509,844,892 Proceeds
Debt Obligation w/ Contingent
420,744,985 Proceeds
Debt Obligation w/ Contingent
311,134,469 Proceeds
- Contingent Proceeds
5, 11
5, 11
5, 11
5, 11
5, 11
5, 11
TOTAL DISTRIBUTIONS 5
21,856,403,574
Proceeds
$
$
444,393
$
1,960,289
$
1,375,007
$
700,004
$
293,751
$
1,024,380
$
13,475
$
2,645,693,294
18,625,147,938
1/ The equity amount may be incrementally funded. Commitment amount represents Treasury's maximum obligation if the limited partners other than Treasury fund their maximum equity capital obligations.
2/ The loan may be incrementally funded. Commitment amount represents Treasury's maximum obligation if Treasury and the limited partners other than Treasury fund 100% of their maximum equity obligations.
3/ Adjusted to show Treasury's maximum obligations to a fund.
4/ On 1/4/2010, Treasury and the fund manager entered into a Winding-Up and Liquidation Agreement.
5/ Distributions after capital repayments will be considered profit and are paid pro rata (subject to prior distribution of Contingent Proceeds to Treasury) to the fund's partners, including Treasury, in proportion to their membership interests. These figures exclude pro-rata distributions to Treasury of gross investment proceeds (reported on the Dividends & Interest report), which may be made from time to time in accordance with the terms of the fund's Limited Partnership Agreement.
6/ Following termination of the TCW fund, the $3.33 billion of obligations have been reallocated to the remaining eight funds pursuant to consent letters from Treasury dated as of 3/22/2010. $133 million of maximum equity capital obligation and $267 million of maximum debt obligation were reallocated per fund, after adjustment for the $17.6 million and $26.9 million equity capital reallocations from private investors in the TCW fund to the Wellington fund and the AG GECC fund, respectively. The $356 million
of final investment in the TCW fund will remain a part of Treasury's total maximum S-PPIP investment amount.
7/ Amount adjusted to show Treasury's final capital commitment (membership interest) and the maximum amount of Treasury's debt obligation that may be drawn down in accordance with the Loan Agreement.
8/ On 09/26/2011, the General Partner notified Treasury that the Investment Period was terminated in accordance with the Limited Partnership Agreement. As a result, the Final Investment Amount, representing Treasury's debt obligation, has been reduced to the cumulative amount of debt funded.
9/ Cumulative capital drawn at end of the Investment Period.
10/ The Amount is adjusted to reflect pro-rata equity distributions that have been deemed to be capital repayments to Treasury.
11/ Distribution represents a gain on funded capital and is subject to revision pending any additional fundings of the outstanding commitment.
12/ On 08/23/2012, AllianceBernstein agreed to de-obligate its unused debt commitment. The Final Investment Amount represents the cumulative capital drawn as of the de-obligation.
13/ On, 6/5/2013, Invesco Mortgage Recovery Master Fund L.P. made a distribution to Treasury that is the result of adjustments made to positions previously held by the Invesco Legacy Securities Master Fund, L.P. “Partnership”, of which The U.S. Department of the Treasury is a Limited Partner. The adjusted distribution was made 18 months after the Final Distribution on 9/28/2012.
14/ On 7/8/2013, Invesco Mortgage Recovery Master Fund L.P. made a distribution to Treasury arising from the Settlement Agreement between Jefferies LLC and Invesco Advisers, Inc. dated as of 3/20/2013.
15/ On 1/28/2015, Western Asset Management Company made a distribution to Treasury in respect of certain settlement proceeds.
16/ On 12/8/2017, AG GECC PPIF Master Fund, L.P. made a distribution to Treasury in respect of certain settlement proceeds.
60
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Transactions Report - Housing Programs
For Period Ending 7/27/2018
MAKING HOME AFFORDABLE PROGRAM
Servicer Modifying Borrowers' Loans
Date
03/14/2013
Name of Institution
21st Mortgage Corporation
City
Knoxville
Adjustment Details
State
TN
Transaction
Type
Purchase
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
09/11/2009
AgFirst Farm Credit Bank
Allstate Mortgage Loans &
Investments, Inc.
Columbia
Ocala
SC
FL
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
100,000 N/A
250,000 N/A
Reason for Adjustment
03/14/2013
$
130,000
$
130,000 Transfer of cap due to servicing transfer
03/25/2013
$
(1)
$
129,999 Updated due to quarterly assessment and reallocation
12/16/2013
$
30,000
$
159,999 Transfer of cap due to servicing transfer
12/23/2013
$
(96)
$
159,903 Updated due to quarterly assessment and reallocation
01/16/2014
$
180,000
$
339,903 Transfer of cap due to servicing transfer
03/26/2014
$
(20)
$
04/16/2014
$
10,000,000
$
10,339,883 Transfer of cap due to servicing transfer
06/16/2014
$
190,000
$
10,529,883 Transfer of cap due to servicing transfer
06/26/2014
$
(3,148)
$
10,526,735 Updated due to quarterly assessment and reallocation
07/29/2014
$
(6,175)
$
10,520,560 Updated due to quarterly assessment and reallocation
08/14/2014
$
50,000
$
10,570,560 Transfer of cap due to servicing transfer
09/16/2014
$
130,000
$
10,700,560 Transfer of cap due to servicing transfer
09/29/2014
$
(2,146)
$
10,698,414 Updated due to quarterly assessment and reallocation
11/14/2014
$
50,000
$
10,748,414 Transfer of cap due to servicing transfer
12/29/2014
$
3,463,801
$
14,212,215 Updated due to quarterly assessment and reallocation
01/15/2015
$
40,000
$
14,252,215 Transfer of cap due to servicing transfer
03/26/2015
$
81,081
$
14,333,296 Updated due to quarterly assessment and reallocation
04/16/2015
$
50,000
$
14,383,296 Transfer of cap due to servicing transfer
04/28/2015
$
(66,521)
$
14,316,775 Updated due to quarterly assessment and reallocation
06/25/2015
$
41,868
$
14,358,643 Updated due to quarterly assessment and reallocation
09/28/2015
$
312,942
$
14,671,585 Updated due to quarterly assessment and reallocation
12/28/2015
$
(60,789)
$
14,610,796 Updated due to quarterly assessment and reallocation
02/25/2016
$
(496,519)
$
14,114,277 Reallocation due to MHA program deobligation
03/28/2016
$
(11,842)
$
14,102,435 Updated due to quarterly assessment and reallocation
05/16/2016
$
3,230,000
$
17,332,435 Transfer of cap due to servicing transfer
05/31/2016
$
(783,708)
$
16,548,727 Updated due to quarterly assessment and reallocation
06/27/2016
$
(410,835)
$
16,137,892 Updated due to quarterly assessment and reallocation
07/27/2016
$
(312,795)
$
15,825,097 Updated due to quarterly assessment and reallocation
09/28/2016
$
(78,149)
$
15,746,948 Updated due to quarterly assessment and reallocation
10/25/2016
$
89,687
$
15,836,635 Updated due to quarterly assessment and reallocation
-
$
15,836,635 Updated due to quarterly assessment and reallocation
11/07/2016
09/30/2010
Adjusted CAP
339,883 Updated due to quarterly assessment and reallocation
11/29/2016
$
(4,440)
$
15,832,195 Updated due to quarterly assessment and reallocation
12/27/2016
$
(891)
$
15,831,304 Transfer of cap due to servicing transfer
02/27/2017
$
(5,588)
$
15,825,716 Transfer of cap due to servicing transfer
04/26/2017
$
(829)
$
15,824,887 Transfer of cap due to servicing transfer
06/26/2017
$
(10,263)
$
15,814,624 Transfer of cap due to servicing transfer
07/26/2017
$
(317)
$
15,814,307 Transfer of cap due to servicing transfer
09/26/2017
$
(35,138)
$
15,779,169 Transfer of cap due to servicing transfer
10/26/2017
$
(22,727)
$
15,756,442 Transfer of cap due to servicing transfer
12/21/2017
$
(29,624)
$
15,726,818 Transfer of cap due to servicing transfer
02/26/2018
$
(1,836)
$
15,724,982 Transfer of cap due to servicing transfer
03/22/2018
$
(6,788)
$
15,718,194 Transfer of cap due to servicing transfer
04/25/2018
$
(15,794)
$
15,702,400 Transfer of cap due to servicing transfer
06/21/2018
$
(3,041)
$
15,699,359 Transfer of cap due to servicing transfer
07/26/2018
$
(2,282,678)
$
13,416,681 Reallocation due to MHA program deobligation
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
03/23/2011
$
(145,056)
10/02/2009
$
60,000
$
310,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(80,000)
$
230,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
280,000
$
510,000 Updated portfolio data from servicer
07/14/2010
$
(410,000)
$
100,000 Updated portfolio data from servicer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
03/26/2015
$
(2,879)
$
133,928 Updated due to quarterly assessment and reallocation
04/28/2015
$
(11,347)
$
122,581 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,691)
$
119,890 Updated due to quarterly assessment and reallocation
- Termination of SPA
61
Servicer Modifying Borrowers' Loans
Name of Institution
Date
08/14/2014
09/30/2010
Ally Bank
Amarillo National Bank
City
Midvale
Amarillo
Adjustment Details
State
UT
TX
Transaction
Type
Purchase
Purchase
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
$
100,000 N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
09/28/2015
$
(3,595)
$
116,295 Updated due to quarterly assessment and reallocation
12/28/2015
$
(2,660)
$
113,635 Updated due to quarterly assessment and reallocation
02/25/2016
$
(7,597)
$
106,038 Reallocation due to MHA program deobligation
03/28/2016
$
(159)
$
105,879 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,242)
$
104,637 Updated due to quarterly assessment and reallocation
06/27/2016
$
(742)
$
103,895 Updated due to quarterly assessment and reallocation
07/27/2016
$
(742)
$
103,153 Updated due to quarterly assessment and reallocation
09/28/2016
$
(1,298)
$
101,855 Updated due to quarterly assessment and reallocation
10/25/2016
$
(1,226)
$
100,629 Updated due to quarterly assessment and reallocation
11/07/2016
$
472
$
101,101 Updated due to quarterly assessment and reallocation
11/29/2016
$
(8)
$
101,093 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1)
$
101,092 Transfer of cap due to servicing transfer
02/27/2017
$
(22)
$
101,070 Transfer of cap due to servicing transfer
04/26/2017
$
(1)
$
101,069 Transfer of cap due to servicing transfer
06/26/2017
$
(11)
$
101,058 Transfer of cap due to servicing transfer
09/26/2017
$
(453)
$
100,605 Transfer of cap due to servicing transfer
10/26/2017
$
(56)
$
100,549 Transfer of cap due to servicing transfer
12/21/2017
$
(58)
$
100,491 Transfer of cap due to servicing transfer
02/26/2018
$
(3)
$
100,488 Transfer of cap due to servicing transfer
03/22/2018
$
(9)
$
100,479 Transfer of cap due to servicing transfer
04/25/2018
$
(18)
$
100,461 Transfer of cap due to servicing transfer
06/21/2018
$
(3)
$
100,458 Transfer of cap due to servicing transfer
07/26/2018
$
(386)
$
08/14/2014
$
7,600,000
$
7,600,000 Transfer of cap due to servicing transfer
09/29/2014
$
(1,152)
$
7,598,848 Updated due to quarterly assessment and reallocation
12/29/2014
$
1,832,887
$
9,431,735 Updated due to quarterly assessment and reallocation
01/15/2015
$
70,000
$
9,501,735 Transfer of cap due to servicing transfer
02/13/2015
$
110,000
$
9,611,735 Transfer of cap due to servicing transfer
03/26/2015
$
(3,238)
$
9,608,497 Updated due to quarterly assessment and reallocation
04/28/2015
$
(34,544)
$
9,573,953 Updated due to quarterly assessment and reallocation
06/25/2015
$
(29,284)
$
9,544,669 Updated due to quarterly assessment and reallocation
08/14/2015
$
(3,800,000)
$
5,744,669 Transfer of cap due to servicing transfer
09/28/2015
$
(165,135)
$
5,579,534 Updated due to quarterly assessment and reallocation
10/15/2015
$
(400,000)
$
5,179,534 Transfer of cap due to servicing transfer
12/28/2015
$
(164,461)
$
5,015,073 Updated due to quarterly assessment and reallocation
02/25/2016
$
(616,326)
$
4,398,747 Reallocation due to MHA program deobligation
03/16/2016
$
10,000
$
4,408,747 Transfer of cap due to servicing transfer
03/28/2016
$
(13,035)
$
05/16/2016
$
40,840,000
$
45,235,712 Transfer of cap due to servicing transfer
05/31/2016
$
(8,732,825)
$
36,502,887 Updated due to quarterly assessment and reallocation
06/27/2016
$
(5,217,732)
$
31,285,155 Updated due to quarterly assessment and reallocation
07/27/2016
$
(5,232,216)
$
26,052,939 Updated due to quarterly assessment and reallocation
09/28/2016
$
(9,089,410)
$
16,963,529 Updated due to quarterly assessment and reallocation
10/25/2016
$
(8,559,156)
$
8,404,373 Updated due to quarterly assessment and reallocation
11/07/2016
$
3,299,856
$
11,704,229 Updated due to quarterly assessment and reallocation
11/29/2016
$
(59,082)
$
11,645,147 Updated due to quarterly assessment and reallocation
12/27/2016
$
(8,840)
$
11,636,307 Transfer of cap due to servicing transfer
02/27/2017
$
(147,573)
$
11,488,734 Transfer of cap due to servicing transfer
04/26/2017
$
(9,590)
$
11,479,144 Transfer of cap due to servicing transfer
06/26/2017
$
(72,677)
$
11,406,467 Transfer of cap due to servicing transfer
07/26/2017
$
(2,280)
$
11,404,187 Transfer of cap due to servicing transfer
09/26/2017
$
(2,890,647)
$
8,513,540 Transfer of cap due to servicing transfer
10/26/2017
$
(360,546)
$
8,152,994 Transfer of cap due to servicing transfer
12/21/2017
$
(378,547)
$
7,774,447 Transfer of cap due to servicing transfer
02/26/2018
$
(18,627)
$
7,755,820 Transfer of cap due to servicing transfer
03/22/2018
$
(61,249)
$
7,694,571 Transfer of cap due to servicing transfer
04/25/2018
$
(121,784)
$
7,572,787 Transfer of cap due to servicing transfer
06/21/2018
$
(23,438)
$
7,549,349 Transfer of cap due to servicing transfer
07/26/2018
$
(3,193,905)
$
4,355,444 Reallocation due to MHA program deobligation
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
03/26/2015
$
(2,879)
$
133,928 Updated due to quarterly assessment and reallocation
04/28/2015
$
(11,347)
$
122,581 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,691)
$
119,890 Updated due to quarterly assessment and reallocation
100,072 Reallocation due to MHA program deobligation
4,395,712 Updated due to quarterly assessment and reallocation
62
Servicer Modifying Borrowers' Loans
Date
07/16/2014
12/09/2009
Name of Institution
Ameriana Bank
American Eagle Federal Credit Union
City
New Castle
East Hartford
Adjustment Details
State
IN
CT
Transaction
Type
Purchase
Purchase
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
$
American Finance House LARIBA
Pasadena
CA
Purchase
Financial Instrument for Home Loan Modifications
$
100,000 N/A
09/30/2010
American Financial Resources Inc.
Parsippany
NJ
Purchase
Financial Instrument for Home Loan Modifications
$
100,000 N/A
Apex Bank (Bank of Camden)
Knoxville
TN
Purchase
Financial Instrument for Home Loan Modifications
3
1,590,000 N/A
09/24/2010
04/16/2015
Note
- N/A
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
09/28/2015
$
(3,595)
$
116,295 Updated due to quarterly assessment and reallocation
12/28/2015
$
(2,660)
$
113,635 Updated due to quarterly assessment and reallocation
02/25/2016
$
(7,597)
$
106,038 Reallocation due to MHA program deobligation
03/28/2016
$
(159)
$
105,879 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,242)
$
104,637 Updated due to quarterly assessment and reallocation
06/27/2016
$
(742)
$
103,895 Updated due to quarterly assessment and reallocation
07/27/2016
$
(742)
$
103,153 Updated due to quarterly assessment and reallocation
09/28/2016
$
(1,298)
$
101,855 Updated due to quarterly assessment and reallocation
10/25/2016
$
(1,226)
$
100,629 Updated due to quarterly assessment and reallocation
11/07/2016
$
472
$
101,101 Updated due to quarterly assessment and reallocation
11/29/2016
$
(8)
$
101,093 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1)
$
101,092 Transfer of cap due to servicing transfer
02/27/2017
$
(22)
$
101,070 Transfer of cap due to servicing transfer
04/26/2017
$
(1)
$
101,069 Transfer of cap due to servicing transfer
06/15/2017
$
(101,069)
07/16/2014
$
60,000
$
60,000 Transfer of cap due to servicing transfer
01/13/2017
$
(10,000)
$
50,000 Transfer of cap due to servicing transfer
01/22/2010
$
70,000
$
1,660,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(290,000)
$
1,370,000 Updated portfolio data from servicer
07/14/2010
$
(570,000)
$
800,000 Updated portfolio data from servicer
09/30/2010
$
70,334
$
870,334 Updated portfolio data from servicer
01/06/2011
$
(1)
$
870,333 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
870,332 Updated due to quarterly assessment and reallocation
06/29/2011
$
(13)
$
870,319 Updated due to quarterly assessment and reallocation
01/25/2012
$
(870,319)
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
02/02/2011
$
(145,056)
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
03/26/2015
$
(2,879)
$
133,928 Updated due to quarterly assessment and reallocation
04/28/2015
$
(11,347)
$
122,581 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,691)
$
119,890 Updated due to quarterly assessment and reallocation
09/28/2015
$
(3,595)
$
116,295 Updated due to quarterly assessment and reallocation
12/28/2015
$
(2,660)
$
113,635 Updated due to quarterly assessment and reallocation
02/25/2016
$
(7,597)
$
106,038 Reallocation due to MHA program deobligation
03/28/2016
$
(159)
$
105,879 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,242)
$
104,637 Updated due to quarterly assessment and reallocation
06/27/2016
$
(742)
$
103,895 Updated due to quarterly assessment and reallocation
07/27/2016
$
(742)
$
103,153 Updated due to quarterly assessment and reallocation
09/28/2016
$
(1,298)
$
101,855 Updated due to quarterly assessment and reallocation
10/25/2016
$
(1,226)
$
100,629 Updated due to quarterly assessment and reallocation
11/07/2016
$
472
$
101,101 Updated due to quarterly assessment and reallocation
11/29/2016
$
(8)
$
101,093 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1)
$
101,092 Transfer of cap due to servicing transfer
02/27/2017
$
(22)
$
101,070 Transfer of cap due to servicing transfer
04/26/2017
$
(1)
$
101,069 Transfer of cap due to servicing transfer
06/15/2017
$
(101,069)
04/16/2015
$
20,000
$
20,000 Transfer of cap due to servicing transfer
07/14/2016
$
120,000
$
140,000 Transfer of cap due to servicing transfer
07/27/2016
$
(7,437)
$
132,563 Updated due to quarterly assessment and reallocation
09/28/2016
$
(13,404)
$
119,159 Updated due to quarterly assessment and reallocation
10/25/2016
$
(12,666)
$
106,493 Updated due to quarterly assessment and reallocation
11/07/2016
$
4,883
$
111,376 Updated due to quarterly assessment and reallocation
11/29/2016
$
(88)
$
111,288 Updated due to quarterly assessment and reallocation
12/15/2016
$
30,000
$
141,288 Transfer of cap due to servicing transfer
12/27/2016
$
(49)
$
141,239 Transfer of cap due to servicing transfer
02/27/2017
$
(849)
$
140,390 Transfer of cap due to servicing transfer
04/26/2017
$
(56)
$
140,334 Transfer of cap due to servicing transfer
06/26/2017
$
(428)
$
139,906 Transfer of cap due to servicing transfer
07/26/2017
$
(13)
$
139,893 Transfer of cap due to servicing transfer
09/26/2017
$
(17,069)
$
122,824 Transfer of cap due to servicing transfer
10/26/2017
$
(2,117)
$
120,707 Transfer of cap due to servicing transfer
12/21/2017
$
(2,205)
$
118,502 Transfer of cap due to servicing transfer
02/26/2018
$
(107)
$
118,395 Transfer of cap due to servicing transfer
- Termination of SPA
- Termination of SPA
- Termination of SPA
- Termination of SPA
63
Servicer Modifying Borrowers' Loans
Date
05/21/2010
05/01/2009
Name of Institution
Aurora Financial Group, Inc.
Aurora Loan Services, LLC
City
Marlton
Littleton
Adjustment Details
State
NJ
CO
Transaction
Type
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
$
Pricing
Mechanism
Note
10,000 N/A
798,000,000 N/A
11
03/03/2010
Axiom Bank (Urban Trust Bank)
Lake Mary
FL
Purchase
Financial Instrument for Home Loan Modifications
$
1,060,000 N/A
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
03/22/2018
$
(339)
$
118,056 Transfer of cap due to servicing transfer
04/25/2018
$
456,824
$
574,880 Transfer of cap due to servicing transfer
06/21/2018
$
(285)
$
574,595 Transfer of cap due to servicing transfer
07/26/2018
$
(99,922)
$
474,673 Reallocation due to MHA program deobligation
05/26/2010
$
30,000
$
09/30/2010
$
250,111
$
290,111 Updated portfolio data from servicer
06/29/2011
$
59,889
$
350,000 Updated due to quarterly assessment and reallocation
06/28/2012
$
(2)
$
349,998 Updated due to quarterly assessment and reallocation
09/27/2012
$
(5)
$
349,993 Updated due to quarterly assessment and reallocation
12/27/2012
$
(1)
$
349,992 Updated due to quarterly assessment and reallocation
03/25/2013
$
(3)
$
349,989 Updated due to quarterly assessment and reallocation
06/27/2013
$
(1)
$
349,988 Updated due to quarterly assessment and reallocation
12/23/2013
$
(759)
$
349,229 Updated due to quarterly assessment and reallocation
03/26/2014
$
(27)
$
349,202 Updated due to quarterly assessment and reallocation
06/26/2014
$
(315)
$
348,887 Updated due to quarterly assessment and reallocation
07/29/2014
$
(625)
$
348,262 Updated due to quarterly assessment and reallocation
09/29/2014
$
(207)
$
348,055 Updated due to quarterly assessment and reallocation
12/29/2014
$
(3,496)
$
344,559 Updated due to quarterly assessment and reallocation
03/16/2015
$
(210,000)
$
134,559 Transfer of cap due to servicing transfer
03/26/2015
$
(2,703)
$
131,856 Updated due to quarterly assessment and reallocation
04/28/2015
$
(10,654)
$
121,202 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,527)
$
118,675 Updated due to quarterly assessment and reallocation
09/28/2015
$
(3,375)
$
115,300 Updated due to quarterly assessment and reallocation
12/28/2015
$
(2,498)
$
112,802 Updated due to quarterly assessment and reallocation
02/25/2016
$
(7,133)
$
105,669 Reallocation due to MHA program deobligation
03/28/2016
$
(149)
$
105,520 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,166)
$
104,354 Updated due to quarterly assessment and reallocation
06/27/2016
$
(697)
$
103,657 Updated due to quarterly assessment and reallocation
07/27/2016
$
(697)
$
102,960 Updated due to quarterly assessment and reallocation
09/28/2016
$
(1,218)
$
101,742 Updated due to quarterly assessment and reallocation
10/25/2016
$
(1,152)
$
100,590 Updated due to quarterly assessment and reallocation
11/07/2016
$
444
$
101,034 Updated due to quarterly assessment and reallocation
11/29/2016
$
(8)
$
101,026 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1)
$
101,025 Transfer of cap due to servicing transfer
02/27/2017
$
(21)
$
101,004 Transfer of cap due to servicing transfer
04/26/2017
$
(1)
$
101,003 Transfer of cap due to servicing transfer
06/26/2017
$
(11)
$
100,992 Transfer of cap due to servicing transfer
09/26/2017
$
(424)
$
100,568 Transfer of cap due to servicing transfer
10/26/2017
$
(53)
$
100,515 Transfer of cap due to servicing transfer
12/21/2017
$
(55)
$
100,460 Transfer of cap due to servicing transfer
02/26/2018
$
(3)
$
100,457 Transfer of cap due to servicing transfer
03/22/2018
$
(9)
$
100,448 Transfer of cap due to servicing transfer
04/25/2018
$
(17)
$
100,431 Transfer of cap due to servicing transfer
06/21/2018
$
(3)
$
100,428 Transfer of cap due to servicing transfer
07/26/2018
$
(361)
$
06/17/2009
$
(338,450,000)
$
459,550,000 Updated portfolio data from servicer
09/30/2009
$
(11,860,000)
$
447,690,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
21,330,000
$
469,020,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
9,150,000
$
478,170,000 Updated portfolio data from servicer
07/14/2010
$
(76,870,000)
$
401,300,000 Updated portfolio data from servicer
09/01/2010
$
400,000
$
401,700,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(8,454,269)
$
393,245,731 Updated portfolio data from servicer
01/06/2011
$
(342)
$
393,245,389 Updated due to quarterly assessment and reallocation
03/30/2011
$
(374)
$
393,245,015 Updated due to quarterly assessment and reallocation
05/13/2011
$
18,000,000
$
411,245,015 Transfer of cap due to servicing transfer
06/29/2011
$
(3,273)
$
411,241,742 Updated due to quarterly assessment and reallocation
10/14/2011
$
(200,000)
$
411,041,742 Transfer of cap due to servicing transfer
03/15/2012
$
100,000
$
411,141,742 Transfer of cap due to servicing transfer
04/16/2012
$
(500,000)
$
410,641,742 Transfer of cap due to servicing transfer
06/28/2012
$
(1,768)
$
410,639,974 Updated due to quarterly assessment and reallocation
07/16/2012
$
(90,000)
$
410,549,974 Transfer of cap due to servicing transfer
08/16/2012
$
(134,230,000)
$
276,319,974 Transfer of cap due to servicing transfer
08/23/2012
$
(166,976,849)
$
109,343,125 Transfer of cap due to servicing transfer
09/27/2012
$
1
$
109,343,126 Updated due to quarterly assessment and reallocation
11/15/2012
$
(230,000)
$
109,113,126 Transfer of cap due to servicing transfer
03/25/2013
$
(1)
$
109,113,125 Updated due to quarterly assessment and reallocation
05/16/2013
$
(20,000)
$
109,093,125 Transfer of cap due to servicing transfer
06/14/2013
$
(50,000)
$
109,043,125 Transfer of cap due to servicing transfer
06/27/2013
$
(15)
$
109,043,110 Updated due to quarterly assessment and reallocation
07/09/2013
$
(23,179,591)
$
07/14/2010
$
4,440,000
$
09/24/2010
$
(5,500,000)
12/16/2013
$
40,000
40,000 Updated portfolio data from servicer/additional program initial cap
100,067 Reallocation due to MHA program deobligation
85,863,519 Termination of SPA
5,500,000 Updated portfolio data from servicer
- Termination of SPA
$
40,000 Transfer of cap due to servicing transfer
64
Servicer Modifying Borrowers' Loans
Date
09/30/2010
Name of Institution
Banco Popular de Puerto Rico
City
San Juan
Adjustment Details
State
PR
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
Note
1,700,000 N/A
Adjustment
Date
CAP Adjustment Amount
04/17/2009
04/17/2009
Bangor Savings Bank
Bank of America, N.A.
Bank of America, N.A. (BAC Home
Loans Servicing, LP)
Bangor
Simi Valley
Simi Valley
ME
CA
CA
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
- N/A
$
$
$
2,719
$
09/30/2010
$
765,945
$
2,465,945 Updated portfolio data from servicer
01/06/2011
$
(3)
$
2,465,942 Updated due to quarterly assessment and reallocation
03/30/2011
$
(4)
$
2,465,938 Updated due to quarterly assessment and reallocation
06/29/2011
$
(36)
$
2,465,902 Updated due to quarterly assessment and reallocation
06/28/2012
$
(30)
$
2,465,872 Updated due to quarterly assessment and reallocation
09/27/2012
$
(83)
$
2,465,789 Updated due to quarterly assessment and reallocation
12/27/2012
$
(14)
$
2,465,775 Updated due to quarterly assessment and reallocation
03/25/2013
$
(53)
$
2,465,722 Updated due to quarterly assessment and reallocation
06/27/2013
$
(20)
$
2,465,702 Updated due to quarterly assessment and reallocation
09/16/2013
$
460,000
$
2,925,702 Transfer of cap due to servicing transfer
09/27/2013
$
(7)
$
2,925,695 Updated due to quarterly assessment and reallocation
12/23/2013
$
(12,339)
$
2,913,356 Updated due to quarterly assessment and reallocation
01/16/2014
$
50,000
$
2,963,356 Transfer of cap due to servicing transfer
03/26/2014
$
(449)
$
2,962,907 Updated due to quarterly assessment and reallocation
04/16/2014
$
10,000
$
2,972,907 Transfer of cap due to servicing transfer
05/15/2014
$
20,000
$
2,992,907 Transfer of cap due to servicing transfer
06/26/2014
$
(5,322)
$
2,987,585 Updated due to quarterly assessment and reallocation
07/29/2014
$
(10,629)
$
2,976,956 Updated due to quarterly assessment and reallocation
09/29/2014
$
(3,515)
$
2,973,441 Updated due to quarterly assessment and reallocation
12/29/2014
$
(354,804)
$
2,618,637 Updated due to quarterly assessment and reallocation
03/26/2015
$
(134,454)
$
2,484,183 Updated due to quarterly assessment and reallocation
04/28/2015
$
(530,072)
$
1,954,111 Updated due to quarterly assessment and reallocation
06/25/2015
$
(126,525)
$
1,827,586 Updated due to quarterly assessment and reallocation
09/28/2015
$
(171,928)
$
1,655,658 Updated due to quarterly assessment and reallocation
12/28/2015
$
(147,262)
$
1,508,396 Updated due to quarterly assessment and reallocation
02/25/2016
$
(449,391)
$
1,059,005 Reallocation due to MHA program deobligation
03/28/2016
$
(9,603)
$
1,049,402 Updated due to quarterly assessment and reallocation
05/31/2016
$
(71,953)
$
977,449 Updated due to quarterly assessment and reallocation
06/27/2016
$
(38,152)
$
939,297 Updated due to quarterly assessment and reallocation
07/27/2016
$
(35,287)
$
09/28/2016
$
(11,922)
$
892,088 Updated due to quarterly assessment and reallocation
10/25/2016
$
7,664,122
$
8,556,210 Updated due to quarterly assessment and reallocation
-
$
8,556,210 Updated due to quarterly assessment and reallocation
42,719 Updated due to quarterly assessment and reallocation
904,010 Updated due to quarterly assessment and reallocation
11/29/2016
$
(8,773)
$
12/27/2016
$
(1,492)
$
8,545,945 Transfer of cap due to servicing transfer
02/27/2017
$
6,343,470
$
14,889,415 Transfer of cap due to servicing transfer
04/26/2017
$
1,975,739
$
16,865,154 Transfer of cap due to servicing transfer
06/26/2017
$
682,670
$
17,547,824 Transfer of cap due to servicing transfer
07/26/2017
$
(26)
$
17,547,798 Transfer of cap due to servicing transfer
09/26/2017
$
(4,019,753)
$
13,528,045 Transfer of cap due to servicing transfer
10/26/2017
$
4,282,015
$
17,810,060 Transfer of cap due to servicing transfer
12/21/2017
$
(66,770)
$
17,743,290 Transfer of cap due to servicing transfer
02/26/2018
$
(3,490)
$
17,739,800 Transfer of cap due to servicing transfer
03/22/2018
$
(13,928)
$
17,725,872 Transfer of cap due to servicing transfer
04/25/2018
$
(28,626)
$
17,697,246 Transfer of cap due to servicing transfer
06/21/2018
$
(6,728)
$
17,690,518 Transfer of cap due to servicing transfer
07/26/2018
$
(3,806,681)
$
13,883,837 Reallocation due to MHA program deobligation
09/15/2011
$
100,000
$
10/16/2017
$
(100,000)
06/12/2009
$
5,540,000
$
804,440,000 Updated portfolio data from servicer
09/30/2009
$
162,680,000
$
967,120,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
665,510,000
$
1,632,630,000 Updated portfolio data from servicer/additional program initial cap
01/26/2010
$
800,390,000
$
2,433,020,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(829,370,000)
$
1,603,650,000 Updated portfolio data from servicer
07/14/2010
$
(366,750,000)
$
1,236,900,000 Updated portfolio data from servicer
09/30/2010
$
95,300,000
$
1,332,200,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
222,941,084
$
1,555,141,084 Updated portfolio data from servicer
01/06/2011
$
(2,199)
$
1,555,138,885 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2,548)
$
1,555,136,337 Updated due to quarterly assessment and reallocation
06/29/2011
$
(23,337)
$
1,555,113,000 Updated due to quarterly assessment and reallocation
08/16/2011
$
(300,000)
$
1,554,813,000 Transfer of cap due to servicing transfer
10/14/2011
$
(120,700,000)
$
1,434,113,000 Transfer of cap due to servicing transfer
11/16/2011
$
(900,000)
$
1,433,213,000 Transfer of cap due to servicing transfer
05/16/2012
$
(200,000)
$
1,433,013,000 Transfer of cap due to servicing transfer
06/28/2012
$
(17,893)
$
1,432,995,107 Updated due to quarterly assessment and reallocation
7
08/10/2012
$
(1,401,716,594)
$
7
10/16/2013
$
(260,902)
$
06/12/2009
$
3,318,840,000
$
5,182,840,000 Updated portfolio data from servicer
09/30/2009
$
(717,420,000)
$
4,465,420,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
2,290,780,000
$
6,756,200,000 Updated portfolio data from servicer/additional program initial cap
01/26/2010
$
450,100,000
$
7,206,300,000 Updated portfolio data from servicer/additional program initial cap
3
798,900,000 N/A
1,864,000,000 N/A
Reason for Adjustment
12/29/2014
11/07/2016
09/15/2011
Adjusted CAP
8,547,437 Updated due to quarterly assessment and reallocation
100,000 Transfer of cap due to servicing transfer
- Termination of SPA
31,278,513 Termination of SPA
31,017,611 Termination of SPA
65
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
03/26/2010
$
905,010,000
$
8,111,310,000 Updated portfolio data from servicer
04/19/2010
$
10,280,000
$
8,121,590,000 Transfer of cap due to servicing transfer
06/16/2010
$
286,510,000
$
8,408,100,000 Transfer of cap due to servicing transfer
07/14/2010
$
(1,787,300,000)
$
6,620,800,000 Updated portfolio data from servicer
09/30/2010
$
105,500,000
$
6,726,300,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(614,527,362)
$
6,111,772,638 Updated portfolio data from servicer
12/15/2010
$
236,000,000
$
6,347,772,638 Transfer of cap due to servicing transfer
01/06/2011
$
(8,012)
$
6,347,764,626 Updated due to quarterly assessment and reallocation
02/16/2011
$
1,800,000
$
6,349,564,626 Transfer of cap due to servicing transfer
03/16/2011
$
100,000
$
6,349,664,626 Transfer of cap due to servicing transfer
03/30/2011
$
(9,190)
$
6,349,655,436 Updated due to quarterly assessment and reallocation
04/13/2011
$
200,000
$
6,349,855,436 Transfer of cap due to servicing transfer
05/13/2011
$
300,000
$
6,350,155,436 Transfer of cap due to servicing transfer
06/16/2011
$
(1,000,000)
$
6,349,155,436 Transfer of cap due to servicing transfer
06/29/2011
$
(82,347)
$
6,349,073,089 Updated due to quarterly assessment and reallocation
07/14/2011
$
(200,000)
$
6,348,873,089 Transfer of cap due to servicing transfer
08/16/2011
$
(3,400,000)
$
6,345,473,089 Transfer of cap due to servicing transfer
09/15/2011
$
(1,400,000)
$
6,344,073,089 Transfer of cap due to servicing transfer
10/14/2011
$
120,600,000
$
6,464,673,089 Transfer of cap due to servicing transfer
10/19/2011
$
317,956,289
$
6,782,629,378 Transfer of cap due to merger/acquisition
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
02/16/2012
$
(2,100,000)
$
6,763,729,378 Transfer of cap due to servicing transfer
03/15/2012
$
(23,900,000)
$
6,739,829,378 Transfer of cap due to servicing transfer
04/16/2012
$
(63,800,000)
$
6,676,029,378 Transfer of cap due to servicing transfer
05/16/2012
$
20,000
$
6,676,049,378 Transfer of cap due to servicing transfer
06/14/2012
$
(8,860,000)
$
6,667,189,378 Transfer of cap due to servicing transfer
06/28/2012
$
(58,550)
$
6,667,130,828 Updated due to quarterly assessment and reallocation
07/16/2012
$
(6,840,000)
$
6,660,290,828 Transfer of cap due to servicing transfer
08/10/2012
$
1,401,716,594
$
8,062,007,423 Transfer of cap due to merger/acquisition
08/16/2012
$
(4,780,000)
$
8,057,227,423 Transfer of cap due to servicing transfer
09/27/2012
$
(205,946)
$
8,057,021,476 Updated due to quarterly assessment and reallocation
10/16/2012
$
(153,220,000)
$
7,903,801,476 Transfer of cap due to servicing transfer
11/15/2012
$
(27,300,000)
$
7,876,501,476 Transfer of cap due to servicing transfer
12/14/2012
$
(50,350,000)
$
7,826,151,476 Transfer of cap due to servicing transfer
12/27/2012
$
(33,515)
$
7,826,117,961 Updated due to quarterly assessment and reallocation
01/16/2013
$
(27,000,000)
$
7,799,117,961 Transfer of cap due to servicing transfer
02/14/2013
$
(41,830,000)
$
7,757,287,961 Transfer of cap due to servicing transfer
03/14/2013
$
(5,900,000)
$
7,751,387,961 Transfer of cap due to servicing transfer
03/25/2013
$
(122,604)
$
7,751,265,357 Updated due to quarterly assessment and reallocation
04/16/2013
$
(1,410,000)
$
7,749,855,357 Transfer of cap due to servicing transfer
05/16/2013
$
(940,000)
$
7,748,915,357 Transfer of cap due to servicing transfer
06/14/2013
$
(16,950,000)
$
7,731,965,357 Transfer of cap due to servicing transfer
06/27/2013
$
(45,103)
$
7,731,920,254 Updated due to quarterly assessment and reallocation
07/16/2013
$
(25,580,000)
$
7,706,340,254 Transfer of cap due to servicing transfer
08/15/2013
$
(6,730,000)
$
7,699,610,254 Transfer of cap due to servicing transfer
09/16/2013
$
(290,640,000)
$
7,408,970,254 Transfer of cap due to servicing transfer
09/27/2013
$
(15,411)
$
7,408,954,843 Updated due to quarterly assessment and reallocation
10/15/2013
$
(79,200,000)
$
7,329,754,843 Transfer of cap due to servicing transfer
10/16/2013
$
260,902
$
7,330,015,745 Transfer of cap due to merger/acquisition
11/14/2013
$
(14,600,000)
$
7,315,415,745 Transfer of cap due to servicing transfer
12/16/2013
$
(23,220,000)
$
7,292,195,745 Transfer of cap due to servicing transfer
12/23/2013
$
(25,226,860)
$
7,266,968,885 Updated due to quarterly assessment and reallocation
01/16/2014
$
(27,070,000)
$
7,239,898,885 Transfer of cap due to servicing transfer
02/13/2014
$
(110,110,000)
$
7,129,788,885 Transfer of cap due to servicing transfer
03/14/2014
$
(27,640,000)
$
7,102,148,885 Transfer of cap due to servicing transfer
03/26/2014
$
(868,425)
$
7,101,280,460 Updated due to quarterly assessment and reallocation
04/16/2014
$
(17,710,000)
$
7,083,570,460 Transfer of cap due to servicing transfer
05/15/2014
$
(30,040,000)
$
7,053,530,460 Transfer of cap due to servicing transfer
06/16/2014
$
(9,660,000)
$
7,043,870,460 Transfer of cap due to servicing transfer
06/26/2014
$
(10,084,970)
$
7,033,785,490 Updated due to quarterly assessment and reallocation
07/16/2014
$
(6,180,000)
$
7,027,605,490 Transfer of cap due to servicing transfer
07/29/2014
$
(19,885,198)
$
7,007,720,292 Updated due to quarterly assessment and reallocation
08/14/2014
$
(11,870,000)
$
6,995,850,292 Transfer of cap due to servicing transfer
09/16/2014
$
(21,390,000)
$
6,974,460,292 Transfer of cap due to servicing transfer
09/29/2014
$
(6,533,419)
$
6,967,926,873 Updated due to quarterly assessment and reallocation
10/16/2014
$
(18,450,000)
$
6,949,476,873 Transfer of cap due to servicing transfer
11/14/2014
$
(20,390,000)
$
6,929,086,873 Transfer of cap due to servicing transfer
12/16/2014
$
(9,530,000)
$
12/29/2014
$
(719,816,794)
$
6,199,740,079 Updated due to quarterly assessment and reallocation
01/15/2015
$
(1,240,000)
$
6,198,500,079 Transfer of cap due to servicing transfer
02/13/2015
$
(35,010,000)
$
6,163,490,079 Transfer of cap due to servicing transfer
03/16/2015
$
(4,990,000)
$
6,158,500,079 Transfer of cap due to servicing transfer
6,919,556,873 Transfer of cap due to servicing transfer
66
Servicer Modifying Borrowers' Loans
Date
10/23/2009
Name of Institution
Bank United
City
Miami Lakes
Adjustment Details
State
FL
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
93,660,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
03/26/2015
$
(265,121,573)
$
5,893,378,506 Updated due to quarterly assessment and reallocation
04/16/2015
$
1,180,000
$
5,894,558,506 Transfer of cap due to servicing transfer
04/28/2015
$
(990,712,937)
$
4,903,845,569 Updated due to quarterly assessment and reallocation
05/14/2015
$
(6,070,000)
$
4,897,775,569 Transfer of cap due to servicing transfer
06/16/2015
$
(7,390,000)
$
4,890,385,569 Transfer of cap due to servicing transfer
06/25/2015
$
(232,108,104)
$
4,658,277,465 Updated due to quarterly assessment and reallocation
07/16/2015
$
2,950,000
$
4,661,227,465 Transfer of cap due to servicing transfer
08/14/2015
$
(6,830,000)
$
4,654,397,465 Transfer of cap due to servicing transfer
09/16/2015
$
(8,550,000)
$
4,645,847,465 Transfer of cap due to servicing transfer
09/28/2015
$
(308,347,786)
$
4,337,499,679 Updated due to quarterly assessment and reallocation
10/15/2015
$
(14,980,000)
$
4,322,519,679 Transfer of cap due to servicing transfer
11/16/2015
$
1,680,000
$
4,324,199,679 Transfer of cap due to servicing transfer
12/16/2015
$
(37,410,000)
$
4,286,789,679 Transfer of cap due to servicing transfer
12/28/2015
$
(220,497,529)
$
4,066,292,150 Updated due to quarterly assessment and reallocation
01/14/2016
$
7,480,000
$
4,073,772,150 Transfer of cap due to servicing transfer
02/16/2016
$
4,960,000
$
4,078,732,150 Transfer of cap due to servicing transfer
02/25/2016
$
(716,991,131)
$
3,361,741,019 Reallocation due to MHA program deobligation
03/16/2016
$
(6,710,000)
$
3,355,031,019 Transfer of cap due to servicing transfer
03/28/2016
$
(14,773,723)
$
3,340,257,296 Updated due to quarterly assessment and reallocation
04/14/2016
$
4,630,000
$
3,344,887,296 Transfer of cap due to servicing transfer
05/16/2016
$
2,090,000
$
3,346,977,296 Transfer of cap due to servicing transfer
05/31/2016
$
(111,487,799)
$
3,235,489,497 Updated due to quarterly assessment and reallocation
06/16/2016
$
4,520,000
$
3,240,009,497 Transfer of cap due to servicing transfer
06/27/2016
$
(66,537,213)
$
3,173,472,284 Updated due to quarterly assessment and reallocation
07/14/2016
$
9,120,000
$
3,182,592,284 Transfer of cap due to servicing transfer
07/27/2016
$
(65,684,131)
$
3,116,908,153 Updated due to quarterly assessment and reallocation
08/16/2016
$
(7,630,000)
$
3,109,278,153 Transfer of cap due to servicing transfer
09/15/2016
$
(10,380,000)
$
3,098,898,153 Transfer of cap due to servicing transfer
09/28/2016
$
(109,085,874)
$
2,989,812,279 Updated due to quarterly assessment and reallocation
10/14/2016
$
(60,930,000)
$
2,928,882,279 Transfer of cap due to servicing transfer
10/25/2016
$
(63,167,528)
$
2,865,714,751 Updated due to quarterly assessment and reallocation
11/07/2016
$
24,353,309
$
2,890,068,060 Updated due to quarterly assessment and reallocation
11/16/2016
$
(7,550,000)
$
2,882,518,060 Transfer of cap due to servicing transfer
11/29/2016
$
(1,598,505)
$
2,880,919,555 Updated due to quarterly assessment and reallocation
12/15/2016
$
30,610,000
$
2,911,529,555 Transfer of cap due to servicing transfer
12/27/2016
$
(249,604)
$
2,911,279,951 Transfer of cap due to servicing transfer
01/13/2017
$
140,000
$
2,911,419,951 Transfer of cap due to servicing transfer
02/16/2017
$
(14,140,000)
$
2,897,279,951 Transfer of cap due to servicing transfer
02/27/2017
$
(4,038,972)
$
2,893,240,979 Transfer of cap due to servicing transfer
03/16/2017
$
(18,950,000)
$
2,874,290,979 Transfer of cap due to servicing transfer
04/26/2017
$
(250,253)
$
2,874,040,726 Transfer of cap due to servicing transfer
06/26/2017
$
(2,271,650)
$
2,871,769,076 Transfer of cap due to servicing transfer
07/26/2017
$
(69,976)
$
2,871,699,100 Transfer of cap due to servicing transfer
09/26/2017
$
(30,890,482)
$
2,840,808,618 Transfer of cap due to servicing transfer
10/26/2017
$
(6,351,581)
$
2,834,457,037 Transfer of cap due to servicing transfer
12/21/2017
$
(7,325,316)
$
2,827,131,721 Transfer of cap due to servicing transfer
02/26/2018
$
(429,715)
$
2,826,702,006 Transfer of cap due to servicing transfer
03/22/2018
$
(1,622,169)
$
2,825,079,837 Transfer of cap due to servicing transfer
04/25/2018
$
(4,505,406)
$
2,820,574,431 Transfer of cap due to servicing transfer
06/21/2018
$
(786,872)
$
2,819,787,559 Transfer of cap due to servicing transfer
07/26/2018
$
(434,139,334)
$
2,385,648,225 Reallocation due to MHA program deobligation
01/22/2010
$
4,370,000
$
03/26/2010
$
23,880,000
$
121,910,000 Updated portfolio data from servicer
07/14/2010
$
(16,610,000)
$
105,300,000 Updated portfolio data from servicer
09/30/2010
$
1,751,033
$
107,051,033 Updated portfolio data from servicer
01/06/2011
$
(77)
$
107,050,956 Updated due to quarterly assessment and reallocation
03/16/2011
$
(9,900,000)
$
97,150,956 Transfer of cap due to servicing transfer
03/30/2011
$
(88)
$
97,150,868 Updated due to quarterly assessment and reallocation
06/29/2011
$
(773)
$
97,150,095 Updated due to quarterly assessment and reallocation
03/15/2012
$
(1,400,000)
$
95,750,095 Transfer of cap due to servicing transfer
06/28/2012
$
(277)
$
95,749,818 Updated due to quarterly assessment and reallocation
09/27/2012
$
(549)
$
95,749,269 Updated due to quarterly assessment and reallocation
12/27/2012
$
(65)
$
95,749,204 Updated due to quarterly assessment and reallocation
02/14/2013
$
(2,670,000)
$
93,079,204 Transfer of cap due to servicing transfer
03/25/2013
$
(142)
$
93,079,062 Updated due to quarterly assessment and reallocation
05/16/2013
$
(610,000)
$
92,469,062 Transfer of cap due to servicing transfer
06/27/2013
$
(48)
$
92,469,014 Updated due to quarterly assessment and reallocation
09/16/2013
$
(40,000)
$
92,429,014 Transfer of cap due to servicing transfer
09/27/2013
$
(14)
$
92,429,000 Updated due to quarterly assessment and reallocation
11/14/2013
$
(30,000)
$
92,399,000 Transfer of cap due to servicing transfer
12/16/2013
$
(1,190,000)
$
91,209,000 Transfer of cap due to servicing transfer
12/23/2013
$
(14,953)
$
91,194,047 Updated due to quarterly assessment and reallocation
02/13/2014
$
(170,000)
$
91,024,047 Transfer of cap due to servicing transfer
98,030,000 Updated portfolio data from servicer/additional program initial cap
67
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
06/16/2016
Banner Bank
Walla Walla
WA
Purchase
Financial Instrument for Home Loan Modifications
09/16/2009
Bay Federal Credit Union
Capitola
CA
Purchase
Financial Instrument for Home Loan Modifications
12/09/2009
07/01/2009
Bay Gulf Credit Union
Bayview Loan Servicing, LLC
Tampa
Coral Gables
FL
FL
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
- N/A
$
$
$
410,000 N/A
230,000 N/A
44,260,000 N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
03/26/2014
$
(721)
$
91,023,326 Updated due to quarterly assessment and reallocation
06/16/2014
$
(660,000)
$
90,363,326 Transfer of cap due to servicing transfer
06/26/2014
$
(6,982)
$
90,356,344 Updated due to quarterly assessment and reallocation
07/29/2014
$
(13,755)
$
90,342,589 Updated due to quarterly assessment and reallocation
09/16/2014
$
(440,000)
$
89,902,589 Transfer of cap due to servicing transfer
09/29/2014
$
(3,805)
$
89,898,784 Updated due to quarterly assessment and reallocation
12/16/2014
$
(250,000)
$
12/29/2014
$
11,779,329
$
101,428,113 Updated due to quarterly assessment and reallocation
01/15/2015
$
(100,000)
$
101,328,113 Transfer of cap due to servicing transfer
03/16/2015
$
(600,000)
$
100,728,113 Transfer of cap due to servicing transfer
03/26/2015
$
(7,703)
$
100,720,410 Updated due to quarterly assessment and reallocation
04/16/2015
$
(330,000)
$
100,390,410 Transfer of cap due to servicing transfer
04/28/2015
$
189,139
$
100,579,549 Updated due to quarterly assessment and reallocation
05/14/2015
$
(10,000)
$
100,569,549 Transfer of cap due to servicing transfer
06/25/2015
$
311,061
$
100,880,610 Updated due to quarterly assessment and reallocation
09/28/2015
$
2,219,656
$
103,100,266 Updated due to quarterly assessment and reallocation
11/16/2015
$
(30,000)
$
103,070,266 Transfer of cap due to servicing transfer
12/28/2015
$
2,627,838
$
105,698,104 Updated due to quarterly assessment and reallocation
02/25/2016
$
(3,503,217)
$
102,194,887 Reallocation due to MHA program deobligation
03/28/2016
$
(74,514)
$
102,120,373 Updated due to quarterly assessment and reallocation
05/31/2016
$
(562,214)
$
101,558,159 Updated due to quarterly assessment and reallocation
06/16/2016
$
(750,000)
$
100,808,159 Transfer of cap due to servicing transfer
06/27/2016
$
(328,286)
$
100,479,873 Updated due to quarterly assessment and reallocation
07/27/2016
$
(953,954)
$
99,525,919 Updated due to quarterly assessment and reallocation
09/15/2016
$
(990,000)
$
98,535,919 Transfer of cap due to servicing transfer
09/28/2016
$
(1,879,595)
$
96,656,324 Updated due to quarterly assessment and reallocation
10/14/2016
$
(30,000)
$
96,626,324 Transfer of cap due to servicing transfer
10/25/2016
$
(1,300,585)
$
95,325,739 Updated due to quarterly assessment and reallocation
11/07/2016
$
501,421
$
95,827,160 Updated due to quarterly assessment and reallocation
11/29/2016
$
(50,898)
$
95,776,262 Updated due to quarterly assessment and reallocation
12/27/2016
$
(9,667)
$
95,766,595 Transfer of cap due to servicing transfer
01/13/2017
$
(70,000)
$
95,696,595 Transfer of cap due to servicing transfer
02/27/2017
$
(181,765)
$
95,514,830 Transfer of cap due to servicing transfer
03/16/2017
$
(320,000)
$
95,194,830 Transfer of cap due to servicing transfer
04/26/2017
$
(13,207)
$
95,181,623 Transfer of cap due to servicing transfer
06/26/2017
$
(113,601)
$
95,068,022 Transfer of cap due to servicing transfer
07/26/2017
$
(3,453)
$
95,064,569 Transfer of cap due to servicing transfer
09/26/2017
$
(3,155,358)
$
91,909,211 Transfer of cap due to servicing transfer
10/26/2017
$
(391,904)
$
91,517,307 Transfer of cap due to servicing transfer
12/21/2017
$
(414,613)
$
91,102,694 Transfer of cap due to servicing transfer
02/26/2018
$
(24,389)
$
91,078,305 Transfer of cap due to servicing transfer
03/22/2018
$
(80,580)
$
90,997,725 Transfer of cap due to servicing transfer
04/25/2018
$
(159,322)
$
90,838,403 Transfer of cap due to servicing transfer
06/21/2018
$
(36,752)
$
90,801,651 Transfer of cap due to servicing transfer
07/26/2018
$
(15,023,751)
$
75,777,900 Reallocation due to MHA program deobligation
06/16/2016
$
20,000
$
10/02/2009
$
90,000
$
500,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
1,460,000
$
1,960,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
160,000
$
2,120,000 Updated portfolio data from servicer
07/14/2010
$
(120,000)
$
2,000,000 Updated portfolio data from servicer
09/30/2010
$
(1,419,778)
$
580,222 Updated portfolio data from servicer
01/06/2011
$
(1)
$
580,221 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
580,220 Updated due to quarterly assessment and reallocation
06/29/2011
$
(8)
$
580,212 Updated due to quarterly assessment and reallocation
01/25/2012
$
(580,212)
01/22/2010
$
10,000
$
240,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
440,000
$
680,000 Updated portfolio data from servicer
07/14/2010
$
(80,000)
$
600,000 Updated portfolio data from servicer
09/30/2010
$
(19,778)
$
10/15/2010
$
(580,222)
09/30/2009
$
23,850,000
$
68,110,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
43,590,000
$
111,700,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
34,540,000
$
146,240,000 Updated portfolio data from servicer
05/07/2010
$
1,010,000
$
147,250,000 Updated portfolio data from servicer/additional program initial cap
07/14/2010
$
(34,250,000)
$
113,000,000 Updated portfolio data from servicer
09/30/2010
$
600,000
$
113,600,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(15,252,303)
$
98,347,697 Updated portfolio data from servicer
01/06/2011
$
(70)
$
98,347,627 Updated due to quarterly assessment and reallocation
03/30/2011
$
(86)
$
98,347,541 Updated due to quarterly assessment and reallocation
04/13/2011
$
400,000
$
98,747,541 Transfer of cap due to servicing transfer
05/13/2011
$
100,000
$
98,847,541 Transfer of cap due to servicing transfer
06/29/2011
$
(771)
$
98,846,770 Updated due to quarterly assessment and reallocation
09/15/2011
$
600,000
$
99,446,770 Transfer of cap due to servicing transfer
89,648,784 Transfer of cap due to servicing transfer
20,000 Transfer of cap due to servicing transfer
- Termination of SPA
580,222 Updated portfolio data from servicer
- Termination of SPA
68
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
10/14/2011
$
(18,900,000)
$
80,546,770 Transfer of cap due to servicing transfer
01/13/2012
$
900,000
$
81,446,770 Transfer of cap due to servicing transfer
02/16/2012
$
2,400,000
$
83,846,770 Transfer of cap due to servicing transfer
03/15/2012
$
(100,000)
$
83,746,770 Transfer of cap due to servicing transfer
04/16/2012
$
200,000
$
83,946,770 Transfer of cap due to servicing transfer
05/16/2012
$
30,000
$
83,976,770 Transfer of cap due to servicing transfer
06/14/2012
$
1,810,000
$
85,786,770 Transfer of cap due to servicing transfer
06/28/2012
$
(508)
$
85,786,262 Updated due to quarterly assessment and reallocation
07/16/2012
$
2,660,000
$
88,446,262 Transfer of cap due to servicing transfer
09/27/2012
$
(1,249)
$
88,445,013 Updated due to quarterly assessment and reallocation
10/16/2012
$
160,000
$
88,605,013 Transfer of cap due to servicing transfer
11/15/2012
$
6,970,000
$
95,575,013 Transfer of cap due to servicing transfer
12/14/2012
$
13,590,000
$
109,165,013 Transfer of cap due to servicing transfer
12/27/2012
$
(298)
$
109,164,715 Updated due to quarterly assessment and reallocation
01/16/2013
$
90,000
$
109,254,715 Transfer of cap due to servicing transfer
02/14/2013
$
3,250,000
$
112,504,715 Transfer of cap due to servicing transfer
03/14/2013
$
830,000
$
113,334,715 Transfer of cap due to servicing transfer
03/25/2013
$
(1,023)
$
113,333,692 Updated due to quarterly assessment and reallocation
04/16/2013
$
1,490,000
$
114,823,692 Transfer of cap due to servicing transfer
05/16/2013
$
660,000
$
115,483,692 Transfer of cap due to servicing transfer
06/14/2013
$
7,470,000
$
122,953,692 Transfer of cap due to servicing transfer
06/27/2013
$
(308)
$
122,953,384 Updated due to quarterly assessment and reallocation
07/16/2013
$
21,430,000
$
144,383,384 Transfer of cap due to servicing transfer
09/16/2013
$
11,730,000
$
156,113,384 Transfer of cap due to servicing transfer
09/27/2013
$
(91)
$
156,113,293 Updated due to quarterly assessment and reallocation
10/15/2013
$
5,430,000
$
161,543,293 Transfer of cap due to servicing transfer
11/14/2013
$
20,900,000
$
182,443,293 Transfer of cap due to servicing transfer
12/16/2013
$
260,000
$
182,703,293 Transfer of cap due to servicing transfer
12/23/2013
$
(131,553)
$
182,571,740 Updated due to quarterly assessment and reallocation
01/16/2014
$
1,070,000
$
183,641,740 Transfer of cap due to servicing transfer
02/13/2014
$
2,570,000
$
186,211,740 Transfer of cap due to servicing transfer
03/14/2014
$
1,530,000
$
187,741,740 Transfer of cap due to servicing transfer
03/26/2014
$
(1,050)
$
187,740,690 Updated due to quarterly assessment and reallocation
04/16/2014
$
5,270,000
$
193,010,690 Transfer of cap due to servicing transfer
05/15/2014
$
500,000
$
193,510,690 Transfer of cap due to servicing transfer
06/16/2014
$
2,600,000
$
196,110,690 Transfer of cap due to servicing transfer
06/26/2014
$
18,557,651
$
214,668,341 Updated due to quarterly assessment and reallocation
07/16/2014
$
10,000
$
214,678,341 Transfer of cap due to servicing transfer
07/29/2014
$
13,360,843
$
228,039,184 Updated due to quarterly assessment and reallocation
08/14/2014
$
4,260,000
$
232,299,184 Transfer of cap due to servicing transfer
09/16/2014
$
260,000
$
232,559,184 Transfer of cap due to servicing transfer
09/29/2014
$
13,718,841
$
246,278,025 Updated due to quarterly assessment and reallocation
10/16/2014
$
(680,000)
$
245,598,025 Transfer of cap due to servicing transfer
11/14/2014
$
6,070,000
$
251,668,025 Transfer of cap due to servicing transfer
12/16/2014
$
10,000
$
251,678,025 Transfer of cap due to servicing transfer
12/29/2014
$
81,111,129
$
332,789,154 Updated due to quarterly assessment and reallocation
01/15/2015
$
330,000
$
333,119,154 Transfer of cap due to servicing transfer
02/13/2015
$
120,000
$
333,239,154 Transfer of cap due to servicing transfer
03/16/2015
$
39,430,000
$
372,669,154 Transfer of cap due to servicing transfer
03/26/2015
$
36,955,812
$
409,624,966 Updated due to quarterly assessment and reallocation
04/16/2015
$
6,870,000
$
416,494,966 Transfer of cap due to servicing transfer
04/28/2015
$
(752,669)
$
415,742,297 Updated due to quarterly assessment and reallocation
05/14/2015
$
5,890,000
$
421,632,297 Transfer of cap due to servicing transfer
06/16/2015
$
16,940,000
$
438,572,297 Transfer of cap due to servicing transfer
06/25/2015
$
(180,754)
$
438,391,543 Updated due to quarterly assessment and reallocation
07/16/2015
$
9,500,000
$
447,891,543 Transfer of cap due to servicing transfer
08/14/2015
$
430,000
$
448,321,543 Transfer of cap due to servicing transfer
09/16/2015
$
(3,540,000)
$
444,781,543 Transfer of cap due to servicing transfer
09/28/2015
$
12,163,584
$
456,945,127 Updated due to quarterly assessment and reallocation
10/15/2015
$
16,640,000
$
473,585,127 Transfer of cap due to servicing transfer
11/16/2015
$
(3,150,000)
$
470,435,127 Transfer of cap due to servicing transfer
12/16/2015
$
11,150,000
$
481,585,127 Transfer of cap due to servicing transfer
12/28/2015
$
(435,564)
$
481,149,563 Updated due to quarterly assessment and reallocation
01/14/2016
$
(180,000)
$
480,969,563 Transfer of cap due to servicing transfer
02/16/2016
$
(17,340,000)
$
463,629,563 Transfer of cap due to servicing transfer
02/25/2016
$
(950,288)
$
462,679,275 Reallocation due to MHA program deobligation
03/16/2016
$
(530,000)
$
462,149,275 Transfer of cap due to servicing transfer
03/28/2016
$
38,851,352
$
501,000,627 Updated due to quarterly assessment and reallocation
04/14/2016
$
530,000
$
501,530,627 Transfer of cap due to servicing transfer
05/16/2016
$
7,000,000
$
508,530,627 Transfer of cap due to servicing transfer
05/31/2016
$
13,216,422
$
521,747,049 Updated due to quarterly assessment and reallocation
06/16/2016
$
120,000
$
521,867,049 Transfer of cap due to servicing transfer
06/27/2016
$
10,406,631
$
532,273,680 Updated due to quarterly assessment and reallocation
69
Servicer Modifying Borrowers' Loans
Date
05/15/2014
08/20/2010
07/16/2013
Name of Institution
BMO Harris Bank, NA
Bramble Savings Bank
Bridgelock Capital dba Peak Loan
Servicing
City
Chicago
Cincinanati
Woodland Hills
Adjustment Details
State
IL
OH
CA
Transaction
Type
Purchase
Purchase
Purchase
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
$
Note
3
700,000 N/A
- N/A
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
07/14/2016
$
(1,070,000)
$
531,203,680 Transfer of cap due to servicing transfer
07/27/2016
$
(1,918,274)
$
529,285,406 Updated due to quarterly assessment and reallocation
08/16/2016
$
(490,000)
$
528,795,406 Transfer of cap due to servicing transfer
09/15/2016
$
(220,000)
$
528,575,406 Transfer of cap due to servicing transfer
09/28/2016
$
(3,129,286)
$
525,446,120 Updated due to quarterly assessment and reallocation
10/14/2016
$
9,750,000
$
535,196,120 Transfer of cap due to servicing transfer
10/25/2016
$
(6,009,177)
$
529,186,943 Updated due to quarterly assessment and reallocation
11/07/2016
$
2,316,749
$
531,503,692 Updated due to quarterly assessment and reallocation
11/16/2016
$
(2,460,000)
$
529,043,692 Transfer of cap due to servicing transfer
11/29/2016
$
(335,585)
$
528,708,107 Updated due to quarterly assessment and reallocation
12/15/2016
$
(16,370,000)
$
512,338,107 Transfer of cap due to servicing transfer
12/27/2016
$
(29,269)
$
512,308,838 Transfer of cap due to servicing transfer
01/13/2017
$
(2,180,000)
$
510,128,838 Transfer of cap due to servicing transfer
02/16/2017
$
21,870,000
$
531,998,838 Transfer of cap due to servicing transfer
02/27/2017
$
(399,811)
$
531,599,027 Transfer of cap due to servicing transfer
03/16/2017
$
(570,000)
$
531,029,027 Transfer of cap due to servicing transfer
04/26/2017
$
(19,027)
$
531,010,000 Transfer of cap due to servicing transfer
06/26/2017
$
(110,262)
$
530,899,738 Transfer of cap due to servicing transfer
07/26/2017
$
(7,083)
$
530,892,655 Transfer of cap due to servicing transfer
09/26/2017
$
(904,587)
$
529,988,068 Transfer of cap due to servicing transfer
10/26/2017
$
(240,342)
$
529,747,726 Transfer of cap due to servicing transfer
12/21/2017
$
(1,180,182)
$
528,567,544 Transfer of cap due to servicing transfer
02/26/2018
$
(77,578)
$
528,489,966 Transfer of cap due to servicing transfer
03/22/2018
$
(352,455)
$
528,137,511 Transfer of cap due to servicing transfer
04/25/2018
$
(870,648)
$
527,266,863 Transfer of cap due to servicing transfer
06/21/2018
$
(299,716)
$
526,967,147 Transfer of cap due to servicing transfer
07/26/2018
$
(98,433,979)
$
428,533,168 Reallocation due to MHA program deobligation
05/15/2014
$
30,000
$
30,000 Transfer of cap due to servicing transfer
11/14/2014
$
40,000
$
70,000 Transfer of cap due to servicing transfer
04/16/2015
$
20,000
$
09/30/2010
$
1,040,667
$
1,740,667 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,740,665 Updated due to quarterly assessment and reallocation
03/30/2011
$
(3)
$
1,740,662 Updated due to quarterly assessment and reallocation
06/29/2011
$
(28)
$
1,740,634 Updated due to quarterly assessment and reallocation
08/10/2011
$
(1,740,634)
07/16/2013
$
10,000
$
12/16/2013
$
30,000
$
04/16/2014
$
30,000
$
70,000 Transfer of cap due to servicing transfer
06/16/2014
$
40,000
$
110,000 Transfer of cap due to servicing transfer
06/26/2014
$
(21)
$
109,979 Updated due to quarterly assessment and reallocation
07/29/2014
$
(43)
$
109,936 Updated due to quarterly assessment and reallocation
09/29/2014
$
(14)
$
109,922 Updated due to quarterly assessment and reallocation
10/16/2014
$
40,000
$
149,922 Transfer of cap due to servicing transfer
12/16/2014
$
(30,000)
$
119,922 Transfer of cap due to servicing transfer
12/29/2014
$
(3,430)
$
116,492 Updated due to quarterly assessment and reallocation
03/26/2015
$
(1,290)
$
115,202 Updated due to quarterly assessment and reallocation
04/28/2015
$
(5,084)
$
110,118 Updated due to quarterly assessment and reallocation
06/25/2015
$
(1,206)
$
108,912 Updated due to quarterly assessment and reallocation
08/14/2015
$
10,000
$
118,912 Transfer of cap due to servicing transfer
09/16/2015
$
10,000
$
128,912 Transfer of cap due to servicing transfer
09/28/2015
$
(5,225)
$
123,687 Updated due to quarterly assessment and reallocation
10/15/2015
$
10,000
$
133,687 Transfer of cap due to servicing transfer
11/16/2015
$
(20,000)
$
113,687 Transfer of cap due to servicing transfer
12/28/2015
$
(2,234)
$
111,453 Updated due to quarterly assessment and reallocation
02/25/2016
$
(6,381)
$
105,072 Reallocation due to MHA program deobligation
03/28/2016
$
(133)
$
104,939 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,043)
$
103,896 Updated due to quarterly assessment and reallocation
06/16/2016
$
160,000
$
263,896 Transfer of cap due to servicing transfer
06/27/2016
$
(26,223)
$
237,673 Updated due to quarterly assessment and reallocation
07/27/2016
$
(26,231)
$
211,442 Updated due to quarterly assessment and reallocation
08/16/2016
$
10,000
$
221,442 Transfer of cap due to servicing transfer
09/15/2016
$
10,000
$
231,442 Transfer of cap due to servicing transfer
09/28/2016
$
(54,107)
$
177,335 Updated due to quarterly assessment and reallocation
10/25/2016
$
(51,127)
$
126,208 Updated due to quarterly assessment and reallocation
11/07/2016
$
19,711
$
145,919 Updated due to quarterly assessment and reallocation
11/29/2016
$
(354)
$
145,565 Updated due to quarterly assessment and reallocation
12/27/2016
$
(54)
$
145,511 Transfer of cap due to servicing transfer
02/27/2017
$
(937)
$
144,574 Transfer of cap due to servicing transfer
04/26/2017
$
(61)
$
144,513 Transfer of cap due to servicing transfer
06/26/2017
$
(472)
$
144,041 Transfer of cap due to servicing transfer
07/26/2017
$
(14)
$
144,027 Transfer of cap due to servicing transfer
09/26/2017
$
(18,838)
$
125,189 Transfer of cap due to servicing transfer
90,000 Transfer of cap due to servicing transfer
- Termination of SPA
10,000 Transfer of cap due to servicing transfer
40,000 Transfer of cap due to servicing transfer
70
Servicer Modifying Borrowers' Loans
Date
09/15/2010
Name of Institution
Caliber Home Loans, Inc (Vericrest
Financial, Inc.)
City
Oklahoma City
Adjustment Details
State
OK
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
- N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
10/26/2017
$
(2,336)
$
122,853 Transfer of cap due to servicing transfer
12/21/2017
$
(2,434)
$
120,419 Transfer of cap due to servicing transfer
02/26/2018
$
(118)
$
120,301 Transfer of cap due to servicing transfer
03/22/2018
$
(385)
$
119,916 Transfer of cap due to servicing transfer
04/25/2018
$
(762)
$
119,154 Transfer of cap due to servicing transfer
06/21/2018
$
(143)
$
119,011 Transfer of cap due to servicing transfer
07/26/2018
$
(16,043)
$
09/15/2010
$
1,000,000
$
1,000,000 Transfer of cap due to servicing transfer
09/30/2010
$
450,556
$
1,450,556 Updated portfolio data from servicer
01/06/2011
$
(2)
$
02/16/2011
$
3,000,000
$
4,450,554 Transfer of cap due to servicing transfer
03/16/2011
$
10,200,000
$
14,650,554 Transfer of cap due to servicing transfer
03/30/2011
$
(24)
$
14,650,530 Updated due to quarterly assessment and reallocation
06/29/2011
$
(227)
$
14,650,303 Updated due to quarterly assessment and reallocation
07/14/2011
$
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
01/13/2012
$
900,000
$
31,650,303 Transfer of cap due to servicing transfer
04/16/2012
$
300,000
$
31,950,303 Transfer of cap due to servicing transfer
06/28/2012
$
(266)
$
31,950,037 Updated due to quarterly assessment and reallocation
09/27/2012
$
(689)
$
31,949,348 Updated due to quarterly assessment and reallocation
11/15/2012
$
720,000
$
32,669,348 Transfer of cap due to servicing transfer
12/27/2012
$
(114)
$
32,669,234 Updated due to quarterly assessment and reallocation
01/16/2013
$
8,020,000
$
40,689,234 Transfer of cap due to servicing transfer
03/25/2013
$
(591)
$
40,688,643 Updated due to quarterly assessment and reallocation
05/16/2013
$
(40,000)
$
40,648,643 Transfer of cap due to servicing transfer
06/27/2013
$
(223)
$
40,648,420 Updated due to quarterly assessment and reallocation
09/27/2013
$
(80)
$
40,648,340 Updated due to quarterly assessment and reallocation
12/23/2013
$
(135,776)
$
40,512,564 Updated due to quarterly assessment and reallocation
01/16/2014
$
(1,130,000)
$
39,382,564 Transfer of cap due to servicing transfer
02/13/2014
$
(2,500,000)
$
36,882,564 Transfer of cap due to servicing transfer
03/14/2014
$
90,000
$
36,972,564 Transfer of cap due to servicing transfer
03/26/2014
$
(4,697)
$
36,967,867 Updated due to quarterly assessment and reallocation
06/26/2014
$
(55,442)
$
36,912,425 Updated due to quarterly assessment and reallocation
07/16/2014
$
2,590,000
$
39,502,425 Transfer of cap due to servicing transfer
07/29/2014
$
(120,725)
$
39,381,700 Updated due to quarterly assessment and reallocation
09/29/2014
$
(40,882)
$
39,340,818 Updated due to quarterly assessment and reallocation
10/16/2014
$
7,680,000
$
47,020,818 Transfer of cap due to servicing transfer
11/14/2014
$
7,720,000
$
54,740,818 Transfer of cap due to servicing transfer
12/16/2014
$
4,210,000
$
58,950,818 Transfer of cap due to servicing transfer
12/29/2014
$
(8,067,210)
$
50,883,608 Updated due to quarterly assessment and reallocation
01/15/2015
$
2,100,000
$
52,983,608 Transfer of cap due to servicing transfer
02/13/2015
$
80,000
$
53,063,608 Transfer of cap due to servicing transfer
03/16/2015
$
8,990,000
$
62,053,608 Transfer of cap due to servicing transfer
03/26/2015
$
(3,781,724)
$
58,271,884 Updated due to quarterly assessment and reallocation
04/16/2015
$
(20,000)
$
58,251,884 Transfer of cap due to servicing transfer
04/28/2015
$
(14,815,120)
$
43,436,764 Updated due to quarterly assessment and reallocation
05/14/2015
$
2,670,000
$
46,106,764 Transfer of cap due to servicing transfer
06/16/2015
$
(30,000)
$
46,076,764 Transfer of cap due to servicing transfer
06/25/2015
$
(3,633,382)
$
42,443,382 Updated due to quarterly assessment and reallocation
07/16/2015
$
1,440,000
$
43,883,382 Transfer of cap due to servicing transfer
08/14/2015
$
(10,000)
$
43,873,382 Transfer of cap due to servicing transfer
09/16/2015
$
7,260,000
$
51,133,382 Transfer of cap due to servicing transfer
09/28/2015
$
(5,284,205)
$
45,849,177 Updated due to quarterly assessment and reallocation
10/15/2015
$
12,370,000
$
58,219,177 Transfer of cap due to servicing transfer
11/16/2015
$
4,160,000
$
62,379,177 Transfer of cap due to servicing transfer
12/16/2015
$
10,500,000
$
72,879,177 Transfer of cap due to servicing transfer
12/28/2015
$
(7,908,989)
$
64,970,188 Updated due to quarterly assessment and reallocation
01/14/2016
$
(1,130,000)
$
63,840,188 Transfer of cap due to servicing transfer
02/16/2016
$
(50,000)
$
63,790,188 Transfer of cap due to servicing transfer
02/25/2016
$
(22,722,990)
$
41,067,198 Reallocation due to MHA program deobligation
03/16/2016
$
3,010,000
$
44,077,198 Transfer of cap due to servicing transfer
03/28/2016
$
(507,342)
$
43,569,856 Updated due to quarterly assessment and reallocation
04/14/2016
$
(280,000)
$
43,289,856 Transfer of cap due to servicing transfer
05/16/2016
$
6,440,000
$
49,729,856 Transfer of cap due to servicing transfer
05/31/2016
$
(5,160,746)
$
44,569,110 Updated due to quarterly assessment and reallocation
06/16/2016
$
1,600,000
$
46,169,110 Transfer of cap due to servicing transfer
06/27/2016
$
(3,196,570)
$
42,972,540 Updated due to quarterly assessment and reallocation
07/14/2016
$
14,220,000
$
57,192,540 Transfer of cap due to servicing transfer
07/27/2016
$
(5,405,392)
$
51,787,148 Updated due to quarterly assessment and reallocation
08/16/2016
$
(30,000)
$
51,757,148 Transfer of cap due to servicing transfer
09/15/2016
$
16,920,000
$
68,677,148 Transfer of cap due to servicing transfer
09/28/2016
$
(15,897,555)
$
52,779,593 Updated due to quarterly assessment and reallocation
102,968 Reallocation due to MHA program deobligation
1,450,554 Updated due to quarterly assessment and reallocation
71
Servicer Modifying Borrowers' Loans
Date
03/14/2014
09/30/2010
Name of Institution
California Housing Finance Agency
Capital International Financial, Inc.
City
Sacramento
Coral Gables
Adjustment Details
State
CA
FL
Transaction
Type
Purchase
Purchase
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
$
100,000 N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
10/14/2016
$
18,240,000
$
71,019,593 Transfer of cap due to servicing transfer
10/25/2016
$
(24,729,854)
$
46,289,739 Updated due to quarterly assessment and reallocation
11/07/2016
$
9,534,228
$
55,823,967 Updated due to quarterly assessment and reallocation
11/16/2016
$
(1,090,000)
$
54,733,967 Transfer of cap due to servicing transfer
11/29/2016
$
(160,291)
$
54,573,676 Updated due to quarterly assessment and reallocation
12/15/2016
$
10,000
$
54,583,676 Transfer of cap due to servicing transfer
12/27/2016
$
(24,778)
$
54,558,898 Transfer of cap due to servicing transfer
01/13/2017
$
20,000
$
54,578,898 Transfer of cap due to servicing transfer
02/16/2017
$
(360,000)
$
54,218,898 Transfer of cap due to servicing transfer
02/27/2017
$
(422,361)
$
53,796,537 Transfer of cap due to servicing transfer
03/16/2017
$
2,260,000
$
56,056,537 Transfer of cap due to servicing transfer
04/26/2017
$
(27,508)
$
56,029,029 Transfer of cap due to servicing transfer
06/26/2017
$
(225,463)
$
55,803,566 Transfer of cap due to servicing transfer
07/26/2017
$
(7,124)
$
55,796,442 Transfer of cap due to servicing transfer
09/26/2017
$
(8,868,171)
$
46,928,271 Transfer of cap due to servicing transfer
10/26/2017
$
(1,311,250)
$
45,617,021 Transfer of cap due to servicing transfer
12/21/2017
$
(1,657,238)
$
43,959,783 Transfer of cap due to servicing transfer
02/26/2018
$
(96,985)
$
43,862,798 Transfer of cap due to servicing transfer
03/22/2018
$
(347,550)
$
43,515,248 Transfer of cap due to servicing transfer
04/25/2018
$
(690,893)
$
42,824,355 Transfer of cap due to servicing transfer
06/21/2018
$
(136,236)
$
42,688,119 Transfer of cap due to servicing transfer
07/26/2018
$
(18,463,488)
$
24,224,631 Reallocation due to MHA program deobligation
03/14/2014
$
210,000
$
210,000 Transfer of cap due to servicing transfer
03/26/2014
$
(20)
$
209,980 Updated due to quarterly assessment and reallocation
06/16/2014
$
10,000
$
219,980 Transfer of cap due to servicing transfer
06/26/2014
$
(258)
$
219,722 Updated due to quarterly assessment and reallocation
07/29/2014
$
(512)
$
219,210 Updated due to quarterly assessment and reallocation
09/29/2014
$
(169)
$
219,041 Updated due to quarterly assessment and reallocation
12/29/2014
$
(20,494)
$
198,547 Updated due to quarterly assessment and reallocation
01/15/2015
$
110,000
$
308,547 Transfer of cap due to servicing transfer
03/26/2015
$
(16,311)
$
292,236 Updated due to quarterly assessment and reallocation
04/28/2015
$
(64,289)
$
227,947 Updated due to quarterly assessment and reallocation
06/25/2015
$
(15,247)
$
212,700 Updated due to quarterly assessment and reallocation
09/28/2015
$
(20,367)
$
192,333 Updated due to quarterly assessment and reallocation
12/28/2015
$
(15,073)
$
177,260 Updated due to quarterly assessment and reallocation
02/25/2016
$
(43,047)
$
134,213 Reallocation due to MHA program deobligation
03/28/2016
$
(899)
$
133,314 Updated due to quarterly assessment and reallocation
04/14/2016
$
360,000
$
493,314 Transfer of cap due to servicing transfer
05/31/2016
$
(83,089)
$
410,225 Updated due to quarterly assessment and reallocation
06/27/2016
$
(49,636)
$
360,589 Updated due to quarterly assessment and reallocation
07/27/2016
$
(49,651)
$
310,938 Updated due to quarterly assessment and reallocation
09/28/2016
$
(86,831)
$
224,107 Updated due to quarterly assessment and reallocation
10/25/2016
$
(82,049)
$
142,058 Updated due to quarterly assessment and reallocation
11/07/2016
$
31,633
$
173,691 Updated due to quarterly assessment and reallocation
11/29/2016
$
(568)
$
173,123 Updated due to quarterly assessment and reallocation
12/27/2016
$
(87)
$
173,036 Transfer of cap due to servicing transfer
02/27/2017
$
(1,504)
$
171,532 Transfer of cap due to servicing transfer
04/26/2017
$
(99)
$
171,433 Transfer of cap due to servicing transfer
06/26/2017
$
(758)
$
170,675 Transfer of cap due to servicing transfer
07/26/2017
$
(23)
$
170,652 Transfer of cap due to servicing transfer
09/26/2017
$
(30,230)
$
140,422 Transfer of cap due to servicing transfer
10/26/2017
$
(3,749)
$
136,673 Transfer of cap due to servicing transfer
12/21/2017
$
(3,905)
$
132,768 Transfer of cap due to servicing transfer
02/26/2018
$
(190)
$
132,578 Transfer of cap due to servicing transfer
03/22/2018
$
(618)
$
131,960 Transfer of cap due to servicing transfer
04/25/2018
$
(1,222)
$
130,738 Transfer of cap due to servicing transfer
06/21/2018
$
(229)
$
130,509 Transfer of cap due to servicing transfer
07/26/2018
$
(25,746)
$
104,763 Reallocation due to MHA program deobligation
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
03/26/2015
$
(2,879)
$
133,928 Updated due to quarterly assessment and reallocation
04/28/2015
$
(11,347)
$
122,581 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,691)
$
119,890 Updated due to quarterly assessment and reallocation
09/28/2015
$
(3,595)
$
116,295 Updated due to quarterly assessment and reallocation
72
Servicer Modifying Borrowers' Loans
Date
04/27/2009
Name of Institution
Carrington Mortgage Services, LLC
City
Santa Ana
Adjustment Details
State
CA
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
195,000,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
12/28/2015
$
(2,660)
$
113,635 Updated due to quarterly assessment and reallocation
02/25/2016
$
(7,597)
$
106,038 Reallocation due to MHA program deobligation
03/28/2016
$
(159)
$
105,879 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,242)
$
104,637 Updated due to quarterly assessment and reallocation
06/27/2016
$
(742)
$
103,895 Updated due to quarterly assessment and reallocation
07/27/2016
$
(742)
$
103,153 Updated due to quarterly assessment and reallocation
09/28/2016
$
(1,298)
$
101,855 Updated due to quarterly assessment and reallocation
10/25/2016
$
(1,226)
$
100,629 Updated due to quarterly assessment and reallocation
11/07/2016
$
472
$
101,101 Updated due to quarterly assessment and reallocation
11/29/2016
$
(8)
$
101,093 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1)
$
101,092 Transfer of cap due to servicing transfer
02/27/2017
$
(22)
$
101,070 Transfer of cap due to servicing transfer
04/26/2017
$
(1)
$
101,069 Transfer of cap due to servicing transfer
06/26/2017
$
(11)
$
101,058 Transfer of cap due to servicing transfer
08/16/2017
$
(101,058)
06/17/2009
$
(63,980,000)
$
131,020,000 Updated portfolio data from servicer
09/30/2009
$
90,990,000
$
222,010,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
57,980,000
$
279,990,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
74,520,000
$
354,510,000 Updated portfolio data from servicer
07/14/2010
$
(75,610,000)
$
278,900,000 Updated portfolio data from servicer
08/13/2010
$
1,100,000
$
280,000,000 Transfer of cap due to servicing transfer
09/30/2010
$
3,763,685
$
283,763,685 Updated portfolio data from servicer
12/15/2010
$
300,000
$
284,063,685 Transfer of cap due to servicing transfer
01/06/2011
$
(325)
$
284,063,360 Updated due to quarterly assessment and reallocation
01/13/2011
$
2,400,000
$
286,463,360 Transfer of cap due to servicing transfer
03/30/2011
$
(384)
$
286,462,976 Updated due to quarterly assessment and reallocation
06/29/2011
$
(3,592)
$
286,459,384 Updated due to quarterly assessment and reallocation
08/16/2011
$
1,800,000
$
288,259,384 Transfer of cap due to servicing transfer
09/15/2011
$
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
02/16/2012
$
1,100,000
$
290,459,384 Transfer of cap due to servicing transfer
04/16/2012
$
100,000
$
290,559,384 Transfer of cap due to servicing transfer
05/16/2012
$
850,000
$
291,409,384 Transfer of cap due to servicing transfer
06/14/2012
$
2,240,000
$
293,649,384 Transfer of cap due to servicing transfer
06/28/2012
$
(2,520)
$
293,646,864 Updated due to quarterly assessment and reallocation
07/16/2012
$
1,690,000
$
295,336,864 Transfer of cap due to servicing transfer
08/16/2012
$
(30,000)
$
295,306,864 Transfer of cap due to servicing transfer
09/27/2012
$
(6,632)
$
295,300,232 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 Transfer of cap due to servicing transfer
12/27/2012
$
(1,103)
$
301,719,129 Updated due to quarterly assessment and reallocation
01/16/2013
$
(10,000)
$
301,709,129 Transfer of cap due to servicing transfer
02/14/2013
$
4,960,000
$
306,669,129 Transfer of cap due to servicing transfer
03/14/2013
$
(30,000)
$
306,639,129 Transfer of cap due to servicing transfer
03/25/2013
$
(4,179)
$
306,634,950 Updated due to quarterly assessment and reallocation
04/16/2013
$
(70,000)
$
306,564,950 Transfer of cap due to servicing transfer
05/16/2013
$
1,570,000
$
308,134,950 Transfer of cap due to servicing transfer
06/14/2013
$
(1,880,000)
$
306,254,950 Transfer of cap due to servicing transfer
06/27/2013
$
(1,522)
$
306,253,428 Updated due to quarterly assessment and reallocation
07/16/2013
$
270,000
$
306,523,428 Transfer of cap due to servicing transfer
09/16/2013
$
5,370,000
$
311,893,428 Transfer of cap due to servicing transfer
09/27/2013
$
(525)
$
311,892,903 Updated due to quarterly assessment and reallocation
10/15/2013
$
(240,000)
$
311,652,903 Transfer of cap due to servicing transfer
11/14/2013
$
2,000,000
$
313,652,903 Transfer of cap due to servicing transfer
12/16/2013
$
1,370,000
$
315,022,903 Transfer of cap due to servicing transfer
12/23/2013
$
(873,891)
$
314,149,012 Updated due to quarterly assessment and reallocation
01/16/2014
$
120,000
$
314,269,012 Transfer of cap due to servicing transfer
02/13/2014
$
280,000
$
314,549,012 Transfer of cap due to servicing transfer
03/14/2014
$
50,000
$
314,599,012 Transfer of cap due to servicing transfer
03/26/2014
$
(30,084)
$
314,568,928 Updated due to quarterly assessment and reallocation
04/16/2014
$
2,660,000
$
317,228,928 Transfer of cap due to servicing transfer
05/15/2014
$
(430,000)
$
316,798,928 Transfer of cap due to servicing transfer
06/16/2014
$
(130,000)
$
316,668,928 Transfer of cap due to servicing transfer
06/26/2014
$
(351,513)
$
316,317,415 Updated due to quarterly assessment and reallocation
07/16/2014
$
(23,460,000)
$
292,857,415 Transfer of cap due to servicing transfer
07/29/2014
$
(621,598)
$
292,235,817 Updated due to quarterly assessment and reallocation
08/14/2014
$
(560,000)
$
291,675,817 Transfer of cap due to servicing transfer
09/16/2014
$
8,810,000
$
300,485,817 Transfer of cap due to servicing transfer
09/29/2014
$
(205,371)
$
300,280,446 Updated due to quarterly assessment and reallocation
10/16/2014
$
(19,600,000)
$
280,680,446 Transfer of cap due to servicing transfer
11/14/2014
$
10,000
$
280,690,446 Transfer of cap due to servicing transfer
12/16/2014
$
50,000
$
280,740,446 Transfer of cap due to servicing transfer
- Termination of SPA
73
Servicer Modifying Borrowers' Loans
Date
06/17/2009
Name of Institution
CCO Mortgage, a division of RBS
Citizens NA
City
Glen Allen
Adjustment Details
State
VA
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
16,520,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
12/29/2014
$
(14,927,467)
$
265,812,979 Updated due to quarterly assessment and reallocation
01/15/2015
$
32,230,000
$
298,042,979 Transfer of cap due to servicing transfer
03/16/2015
$
(20,000)
$
298,022,979 Transfer of cap due to servicing transfer
03/26/2015
$
(8,127,120)
$
289,895,859 Updated due to quarterly assessment and reallocation
04/16/2015
$
40,000
$
289,935,859 Transfer of cap due to servicing transfer
04/28/2015
$
(31,805,366)
$
258,130,493 Updated due to quarterly assessment and reallocation
05/14/2015
$
(30,000)
$
258,100,493 Transfer of cap due to servicing transfer
06/16/2015
$
9,790,000
$
267,890,493 Transfer of cap due to servicing transfer
06/25/2015
$
(8,177,266)
$
259,713,227 Updated due to quarterly assessment and reallocation
07/16/2015
$
(270,000)
$
259,443,227 Transfer of cap due to servicing transfer
08/14/2015
$
(150,000)
$
259,293,227 Transfer of cap due to servicing transfer
09/16/2015
$
(680,000)
$
258,613,227 Transfer of cap due to servicing transfer
09/28/2015
$
(10,203,040)
$
248,410,187 Updated due to quarterly assessment and reallocation
10/15/2015
$
(730,000)
$
247,680,187 Transfer of cap due to servicing transfer
11/16/2015
$
(540,000)
$
247,140,187 Transfer of cap due to servicing transfer
12/16/2015
$
(50,000)
$
247,090,187 Transfer of cap due to servicing transfer
12/28/2015
$
(6,579,685)
$
240,510,502 Updated due to quarterly assessment and reallocation
01/14/2016
$
(420,000)
$
240,090,502 Transfer of cap due to servicing transfer
02/16/2016
$
30,000
$
240,120,502 Transfer of cap due to servicing transfer
02/25/2016
$
(24,021,774)
$
216,098,728 Reallocation due to MHA program deobligation
03/16/2016
$
4,710,000
$
220,808,728 Transfer of cap due to servicing transfer
03/28/2016
$
(580,686)
$
220,228,042 Updated due to quarterly assessment and reallocation
04/14/2016
$
6,440,000
$
226,668,042 Transfer of cap due to servicing transfer
05/16/2016
$
8,550,000
$
235,218,042 Transfer of cap due to servicing transfer
05/31/2016
$
(6,799,869)
$
228,418,173 Updated due to quarterly assessment and reallocation
06/16/2016
$
(380,000)
$
228,038,173 Transfer of cap due to servicing transfer
06/27/2016
$
(3,862,673)
$
224,175,500 Updated due to quarterly assessment and reallocation
07/14/2016
$
3,650,000
$
227,825,500 Transfer of cap due to servicing transfer
07/27/2016
$
(4,107,681)
$
223,717,819 Updated due to quarterly assessment and reallocation
08/16/2016
$
6,530,000
$
230,247,819 Transfer of cap due to servicing transfer
09/15/2016
$
(220,000)
$
230,027,819 Transfer of cap due to servicing transfer
09/28/2016
$
(8,385,271)
$
221,642,548 Updated due to quarterly assessment and reallocation
10/14/2016
$
62,500,000
$
284,142,548 Transfer of cap due to servicing transfer
10/25/2016
$
(47,135,612)
$
237,006,936 Updated due to quarterly assessment and reallocation
11/07/2016
$
18,172,435
$
255,179,371 Updated due to quarterly assessment and reallocation
11/16/2016
$
(190,000)
$
254,989,371 Transfer of cap due to servicing transfer
11/29/2016
$
(406,948)
$
254,582,423 Updated due to quarterly assessment and reallocation
12/15/2016
$
720,000
$
255,302,423 Transfer of cap due to servicing transfer
12/27/2016
$
(61,052)
$
255,241,371 Transfer of cap due to servicing transfer
01/13/2017
$
1,890,000
$
257,131,371 Transfer of cap due to servicing transfer
02/16/2017
$
1,160,000
$
258,291,371 Transfer of cap due to servicing transfer
02/27/2017
$
(1,057,578)
$
257,233,793 Transfer of cap due to servicing transfer
03/16/2017
$
980,000
$
258,213,793 Transfer of cap due to servicing transfer
04/26/2017
$
(69,282)
$
258,144,511 Transfer of cap due to servicing transfer
06/26/2017
$
(361,909)
$
257,782,602 Transfer of cap due to servicing transfer
07/26/2017
$
(11,076)
$
257,771,526 Transfer of cap due to servicing transfer
09/26/2017
$
(9,194,130)
$
248,577,396 Transfer of cap due to servicing transfer
10/26/2017
$
17,985,484
$
266,562,880 Transfer of cap due to servicing transfer
12/21/2017
$
(461,061)
$
266,101,819 Transfer of cap due to servicing transfer
02/26/2018
$
(22,647)
$
266,079,172 Transfer of cap due to servicing transfer
03/22/2018
$
(137,587)
$
265,941,585 Transfer of cap due to servicing transfer
04/25/2018
$
22,437,303
$
288,378,888 Transfer of cap due to servicing transfer
06/21/2018
$
(27,643)
$
288,351,245 Transfer of cap due to servicing transfer
07/26/2018
$
(40,260,846)
$
248,090,399 Reallocation due to MHA program deobligation
09/30/2009
$
13,070,000
$
29,590,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
145,510,000
$
175,100,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(116,950,000)
$
58,150,000 Updated portfolio data from servicer
07/14/2010
$
(23,350,000)
$
34,800,000 Updated portfolio data from servicer
09/30/2010
$
7,846,346
$
42,646,346 Updated portfolio data from servicer
01/06/2011
$
(46)
$
42,646,300 Updated due to quarterly assessment and reallocation
03/30/2011
$
(55)
$
42,646,245 Updated due to quarterly assessment and reallocation
06/29/2011
$
(452)
$
42,645,793 Updated due to quarterly assessment and reallocation
06/28/2012
$
(309)
$
42,645,484 Updated due to quarterly assessment and reallocation
09/27/2012
$
(807)
$
42,644,677 Updated due to quarterly assessment and reallocation
12/27/2012
$
(131)
$
42,644,546 Updated due to quarterly assessment and reallocation
03/25/2013
$
(475)
$
42,644,071 Updated due to quarterly assessment and reallocation
06/27/2013
$
(175)
$
42,643,896 Updated due to quarterly assessment and reallocation
09/27/2013
$
(62)
$
42,643,834 Updated due to quarterly assessment and reallocation
12/23/2013
$
(97,446)
$
42,546,388 Updated due to quarterly assessment and reallocation
03/26/2014
$
(3,201)
$
42,543,187 Updated due to quarterly assessment and reallocation
06/26/2014
$
(35,874)
$
42,507,313 Updated due to quarterly assessment and reallocation
07/29/2014
$
(69,315)
$
42,437,998 Updated due to quarterly assessment and reallocation
74
Servicer Modifying Borrowers' Loans
Date
11/16/2015
09/09/2009
Name of Institution
Cenlar FSB
Central Florida Educators Federal
Credit Union
City
Adjustment Details
State
Transaction
Type
Investment Description
Ewing
NJ
Purchase
Financial Instrument for Home Loan Modifications
Lake Mary
FL
Purchase
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
- N/A
$
1,250,000 N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
09/29/2014
$
(21,381)
$
42,416,617 Updated due to quarterly assessment and reallocation
12/29/2014
$
(960,875)
$
41,455,742 Updated due to quarterly assessment and reallocation
03/26/2015
$
(307,107)
$
41,148,635 Updated due to quarterly assessment and reallocation
04/28/2015
$
3,297,369
$
44,446,004 Updated due to quarterly assessment and reallocation
06/25/2015
$
(31,427)
$
44,414,577 Updated due to quarterly assessment and reallocation
09/28/2015
$
2,309,433
$
46,724,010 Updated due to quarterly assessment and reallocation
10/15/2015
$
(20,000)
$
46,704,010 Transfer of cap due to servicing transfer
12/28/2015
$
1,311,814
$
48,015,824 Updated due to quarterly assessment and reallocation
02/25/2016
$
(1,667,058)
$
46,348,766 Reallocation due to MHA program deobligation
03/28/2016
$
(24,922)
$
46,323,844 Updated due to quarterly assessment and reallocation
05/31/2016
$
(85,207)
$
46,238,637 Updated due to quarterly assessment and reallocation
06/27/2016
$
(24,675)
$
46,213,962 Updated due to quarterly assessment and reallocation
07/27/2016
$
267,846
$
46,481,808 Updated due to quarterly assessment and reallocation
09/28/2016
$
158,739
$
46,640,547 Updated due to quarterly assessment and reallocation
10/14/2016
$
(6,690,000)
$
39,950,547 Transfer of cap due to servicing transfer
10/25/2016
$
(323,944)
$
39,626,603 Updated due to quarterly assessment and reallocation
11/07/2016
$
124,892
$
39,751,495 Updated due to quarterly assessment and reallocation
11/29/2016
$
(18,303)
$
39,733,192 Updated due to quarterly assessment and reallocation
12/15/2016
$
(860,000)
$
38,873,192 Transfer of cap due to servicing transfer
12/27/2016
$
(2,012)
$
38,871,180 Transfer of cap due to servicing transfer
02/27/2017
$
(29,742)
$
38,841,438 Transfer of cap due to servicing transfer
04/26/2017
$
(1,919)
$
38,839,519 Transfer of cap due to servicing transfer
06/26/2017
$
(16,130)
$
38,823,389 Transfer of cap due to servicing transfer
07/26/2017
$
(501)
$
38,822,888 Transfer of cap due to servicing transfer
09/26/2017
$
493,540
$
39,316,428 Transfer of cap due to servicing transfer
10/26/2017
$
(8,597)
$
39,307,831 Transfer of cap due to servicing transfer
12/21/2017
$
(22,746)
$
39,285,085 Transfer of cap due to servicing transfer
02/26/2018
$
(11,010)
$
39,274,075 Transfer of cap due to servicing transfer
03/22/2018
$
(38,658)
$
39,235,417 Transfer of cap due to servicing transfer
04/25/2018
$
(78,571)
$
39,156,846 Transfer of cap due to servicing transfer
06/21/2018
$
(16,069)
$
39,140,777 Transfer of cap due to servicing transfer
07/26/2018
$
(6,392,531)
$
32,748,246 Reallocation due to MHA program deobligation
11/16/2015
$
10,000
$
10/02/2009
$
280,000
$
1,530,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(750,000)
$
780,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
120,000
$
900,000 Updated portfolio data from servicer
07/14/2010
$
(300,000)
$
600,000 Updated portfolio data from servicer
09/30/2010
$
270,334
$
870,334 Updated portfolio data from servicer
01/06/2011
$
(1)
$
870,333 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
870,332 Updated due to quarterly assessment and reallocation
06/29/2011
$
(5)
$
06/28/2012
$
21,717
$
892,044 Updated due to quarterly assessment and reallocation
09/27/2012
$
190,077
$
1,082,121 Updated due to quarterly assessment and reallocation
12/27/2012
$
35,966
$
1,118,087 Updated due to quarterly assessment and reallocation
03/25/2013
$
59,464
$
1,177,551 Updated due to quarterly assessment and reallocation
06/27/2013
$
35,438
$
1,212,989 Updated due to quarterly assessment and reallocation
09/27/2013
$
26,926
$
1,239,915 Updated due to quarterly assessment and reallocation
12/23/2013
$
87,045
$
1,326,960 Updated due to quarterly assessment and reallocation
03/26/2014
$
31,204
$
1,358,164 Updated due to quarterly assessment and reallocation
06/26/2014
$
68,259
$
1,426,423 Updated due to quarterly assessment and reallocation
07/29/2014
$
(2)
$
1,426,421 Updated due to quarterly assessment and reallocation
09/29/2014
$
(21)
$
1,426,400 Updated due to quarterly assessment and reallocation
12/29/2014
$
441,316
$
1,867,716 Updated due to quarterly assessment and reallocation
03/26/2015
$
(540)
$
1,867,176 Updated due to quarterly assessment and reallocation
04/28/2015
$
33,587
$
1,900,763 Updated due to quarterly assessment and reallocation
06/25/2015
$
30,826
$
1,931,589 Updated due to quarterly assessment and reallocation
09/28/2015
$
(1,954)
$
1,929,635 Updated due to quarterly assessment and reallocation
12/28/2015
$
3,864
$
1,933,499 Updated due to quarterly assessment and reallocation
02/25/2016
$
(62,589)
$
1,870,910 Reallocation due to MHA program deobligation
03/28/2016
$
(1,311)
$
1,869,599 Updated due to quarterly assessment and reallocation
05/31/2016
$
(5,520)
$
1,864,079 Updated due to quarterly assessment and reallocation
06/27/2016
$
(3,329)
$
1,860,750 Updated due to quarterly assessment and reallocation
07/27/2016
$
(3,374)
$
1,857,376 Updated due to quarterly assessment and reallocation
09/28/2016
$
(9,112)
$
1,848,264 Updated due to quarterly assessment and reallocation
10/25/2016
$
(8,828)
$
1,839,436 Updated due to quarterly assessment and reallocation
11/07/2016
$
3,403
$
1,842,839 Updated due to quarterly assessment and reallocation
11/29/2016
$
(849)
$
1,841,990 Updated due to quarterly assessment and reallocation
12/27/2016
$
(130)
$
02/27/2017
$
(2,571)
$
1,839,289 Transfer of cap due to servicing transfer
04/26/2017
$
(186)
$
1,839,103 Transfer of cap due to servicing transfer
06/26/2017
$
(1,433)
$
1,837,670 Transfer of cap due to servicing transfer
07/26/2017
$
(43)
$
1,837,627 Transfer of cap due to servicing transfer
10,000 Transfer of cap due to servicing transfer
870,327 Updated due to quarterly assessment and reallocation
1,841,860 Transfer of cap due to servicing transfer
75
Servicer Modifying Borrowers' Loans
Date
09/23/2009
Name of Institution
Central Jersey Federal Credit Union
City
Woodbridge
Adjustment Details
State
NJ
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
03/16/2016
Central Pacific Bank
Honolulu
HI
Purchase
Financial Instrument for Home Loan Modifications
09/24/2010
Centrue Bank
Ottawa
IL
Purchase
Financial Instrument for Home Loan Modifications
04/13/2009
Chase Home Finance, LLC
Iselin
NJ
Purchase
Financial Instrument for Home Loan Modifications
06/14/2013
Cheviot Savings Bank
Cincinnati
OH
Purchase
Financial Instrument for Home Loan Modifications
08/28/2009
CIT Bank, N.A. (OneWest Bank, N.A.) Pasadena
CA
Purchase
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
30,000 N/A
- N/A
$
$
$
Note
3
1,900,000 N/A
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
09/26/2017
$
(14,384)
$
1,823,243 Transfer of cap due to servicing transfer
10/26/2017
$
(1,793)
$
1,821,450 Transfer of cap due to servicing transfer
12/21/2017
$
(3,390)
$
1,818,060 Transfer of cap due to servicing transfer
02/26/2018
$
(165)
$
1,817,895 Transfer of cap due to servicing transfer
03/22/2018
$
(537)
$
1,817,358 Transfer of cap due to servicing transfer
04/25/2018
$
(1,938)
$
1,815,420 Transfer of cap due to servicing transfer
06/21/2018
$
(364)
$
1,815,056 Transfer of cap due to servicing transfer
07/26/2018
$
(264,669)
$
1,550,387 Reallocation due to MHA program deobligation
10/02/2009
$
10,000
$
40,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
120,000
$
160,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
10,000
$
170,000 Updated portfolio data from servicer
07/14/2010
$
(70,000)
$
100,000 Updated portfolio data from servicer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
10/29/2010
$
(145,056)
03/16/2016
$
20,000
$
09/30/2010
$
856,056
$
2,756,056 Updated portfolio data from servicer
01/06/2011
$
(4)
$
2,756,052 Updated due to quarterly assessment and reallocation
03/09/2011
$
(2,756,052)
- Termination of SPA
- Termination of SPA
- Termination of SPA
20,000 Transfer of cap due to servicing transfer
3,552,000,000 N/A
1
07/31/2009
$
(3,552,000,000)
- N/A
3
06/14/2013
$
10,000
$
10,000 Transfer of cap due to servicing transfer
06/27/2013
$
1,344
$
11,344 Updated due to quarterly assessment and reallocation
12/29/2014
$
6,250
$
17,594 Updated due to quarterly assessment and reallocation
06/15/2017
$
(1)
$
17,593 Transfer of cap due to servicing transfer
10/02/2009
$
145,800,000
$
814,240,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
1,355,930,000
$
2,170,170,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
121,180,000
$
2,291,350,000 Updated portfolio data from servicer
07/14/2010
$
(408,850,000)
$
1,882,500,000 Updated portfolio data from servicer
09/30/2010
$
5,500,000
$
1,888,000,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(51,741,163)
$
1,836,258,837 Updated portfolio data from servicer
01/06/2011
$
(2,282)
$
1,836,256,555 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2,674)
$
1,836,253,881 Updated due to quarterly assessment and reallocation
06/29/2011
$
(24,616)
$
1,836,229,265 Updated due to quarterly assessment and reallocation
06/28/2012
$
(15,481)
$
1,836,213,784 Updated due to quarterly assessment and reallocation
09/27/2012
$
(40,606)
$
1,836,173,178 Updated due to quarterly assessment and reallocation
12/27/2012
$
(6,688)
$
1,836,166,490 Updated due to quarterly assessment and reallocation
03/25/2013
$
(24,811)
$
1,836,141,679 Updated due to quarterly assessment and reallocation
06/27/2013
$
(9,058)
$
1,836,132,621 Updated due to quarterly assessment and reallocation
09/27/2013
$
(3,154)
$
1,836,129,467 Updated due to quarterly assessment and reallocation
10/15/2013
$
(500,000)
$
1,835,629,467 Transfer of cap due to servicing transfer
11/14/2013
$
(4,440,000)
$
1,831,189,467 Transfer of cap due to servicing transfer
12/16/2013
$
(277,680,000)
$
1,553,509,467 Transfer of cap due to servicing transfer
12/23/2013
$
(5,188,787)
$
1,548,320,680 Updated due to quarterly assessment and reallocation
01/16/2014
$
(25,750,000)
$
1,522,570,680 Transfer of cap due to servicing transfer
02/13/2014
$
(10,000)
$
1,522,560,680 Transfer of cap due to servicing transfer
03/14/2014
$
(6,240,000)
$
1,516,320,680 Transfer of cap due to servicing transfer
03/26/2014
$
(181,765)
$
1,516,138,915 Updated due to quarterly assessment and reallocation
06/16/2014
$
(30,000)
$
1,516,108,915 Transfer of cap due to servicing transfer
06/26/2014
$
(2,139,762)
$
1,513,969,153 Updated due to quarterly assessment and reallocation
07/16/2014
$
(17,620,000)
$
1,496,349,153 Transfer of cap due to servicing transfer
07/29/2014
$
(4,233,602)
$
1,492,115,551 Updated due to quarterly assessment and reallocation
09/16/2014
$
650,000
$
1,492,765,551 Transfer of cap due to servicing transfer
09/29/2014
$
(1,394,443)
$
1,491,371,108 Updated due to quarterly assessment and reallocation
11/14/2014
$
100,000
$
1,491,471,108 Transfer of cap due to servicing transfer
12/16/2014
$
180,000
$
1,491,651,108 Transfer of cap due to servicing transfer
12/29/2014
$
(164,135,059)
$
1,327,516,049 Updated due to quarterly assessment and reallocation
01/15/2015
$
20,000
$
1,327,536,049 Transfer of cap due to servicing transfer
03/26/2015
$
(61,475,721)
$
1,266,060,328 Updated due to quarterly assessment and reallocation
04/16/2015
$
10,000
$
1,266,070,328 Transfer of cap due to servicing transfer
04/28/2015
$
(241,812,784)
$
1,024,257,544 Updated due to quarterly assessment and reallocation
05/14/2015
$
(10,000)
$
1,024,247,544 Transfer of cap due to servicing transfer
06/16/2015
$
(140,000)
$
1,024,107,544 Transfer of cap due to servicing transfer
06/25/2015
$
(57,027,798)
$
967,079,746 Updated due to quarterly assessment and reallocation
07/16/2015
$
(220,000)
$
966,859,746 Transfer of cap due to servicing transfer
09/28/2015
$
(75,969,820)
$
890,889,926 Updated due to quarterly assessment and reallocation
12/28/2015
$
(55,846,129)
$
835,043,797 Updated due to quarterly assessment and reallocation
02/25/2016
$
(176,741,972)
$
658,301,825 Reallocation due to MHA program deobligation
03/28/2016
$
(3,622,613)
$
654,679,212 Updated due to quarterly assessment and reallocation
05/31/2016
$
(27,071,758)
$
627,607,454 Updated due to quarterly assessment and reallocation
06/27/2016
$
(16,052,761)
$
611,554,693 Updated due to quarterly assessment and reallocation
07/27/2016
$
(15,879,140)
$
595,675,553 Updated due to quarterly assessment and reallocation
09/28/2016
$
(27,620,143)
$
568,055,410 Updated due to quarterly assessment and reallocation
10/25/2016
$
(25,878,536)
$
542,176,874 Updated due to quarterly assessment and reallocation
11/07/2016
$
9,977,085
$
552,153,959 Updated due to quarterly assessment and reallocation
668,440,000 N/A
76
Servicer Modifying Borrowers' Loans
Date
04/13/2009
Name of Institution
CitiMortgage, Inc.
City
O'Fallon
Adjustment Details
State
MO
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
2,071,000,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
11/29/2016
$
(404,062)
$
551,749,897 Updated due to quarterly assessment and reallocation
12/27/2016
$
(62,692)
$
551,687,205 Transfer of cap due to servicing transfer
02/16/2017
$
(10,000)
$
551,677,205 Transfer of cap due to servicing transfer
02/27/2017
$
(1,071,284)
$
550,605,921 Transfer of cap due to servicing transfer
03/16/2017
$
(1,580,000)
$
549,025,921 Transfer of cap due to servicing transfer
04/26/2017
$
(69,518)
$
548,956,403 Transfer of cap due to servicing transfer
06/26/2017
$
(537,629)
$
548,418,774 Transfer of cap due to servicing transfer
07/26/2017
$
(16,327)
$
548,402,447 Transfer of cap due to servicing transfer
09/26/2017
$
(9,223,004)
$
539,179,443 Transfer of cap due to servicing transfer
10/26/2017
$
(1,175,233)
$
538,004,210 Transfer of cap due to servicing transfer
12/21/2017
$
(1,263,857)
$
536,740,353 Transfer of cap due to servicing transfer
02/26/2018
$
(64,575)
$
536,675,778 Transfer of cap due to servicing transfer
03/22/2018
$
(219,155)
$
536,456,623 Transfer of cap due to servicing transfer
04/25/2018
$
(441,536)
$
536,015,087 Transfer of cap due to servicing transfer
06/21/2018
$
(85,168)
$
07/26/2018
$
(76,055,792)
$
06/12/2009
$
(991,580,000)
$
1,079,420,000 Updated portfolio data from servicer
09/30/2009
$
1,010,180,000
$
2,089,600,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(105,410,000)
$
1,984,190,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(199,300,000)
$
1,784,890,000 Updated portfolio data from servicer/additional program initial cap
04/19/2010
$
(230,000)
$
05/14/2010
$
(3,000,000)
$
1,781,660,000 Transfer of cap due to servicing transfer
06/16/2010
$
(12,280,000)
$
1,769,380,000 Transfer of cap due to servicing transfer
07/14/2010
$
(757,680,000)
$
1,011,700,000 Updated portfolio data from servicer
07/16/2010
$
(7,110,000)
$
1,004,590,000 Transfer of cap due to servicing transfer
08/13/2010
$
(6,300,000)
$
998,290,000 Transfer of cap due to servicing transfer
09/15/2010
$
(8,300,000)
$
09/30/2010
$
32,400,000
$
1,022,390,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
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
01/06/2011
$
(981)
$
1,119,076,503 Updated due to quarterly assessment and reallocation
01/13/2011
$
(10,500,000)
$
1,108,576,503 Transfer of cap due to servicing transfer
02/16/2011
$
(4,600,000)
$
1,103,976,503 Transfer of cap due to servicing transfer
03/16/2011
$
(30,500,000)
$
1,073,476,503 Transfer of cap due to servicing transfer
03/30/2011
$
(1,031)
$
1,073,475,472 Updated due to quarterly assessment and reallocation
04/13/2011
$
100,000
$
1,073,575,472 Transfer of cap due to servicing transfer
05/13/2011
$
(7,200,000)
$
1,066,375,472 Transfer of cap due to servicing transfer
06/16/2011
$
(400,000)
$
1,065,975,472 Transfer of cap due to servicing transfer
06/29/2011
$
(9,131)
$
1,065,966,341 Updated due to quarterly assessment and reallocation
07/14/2011
$
(14,500,000)
$
1,051,466,341 Transfer of cap due to servicing transfer
08/16/2011
$
(1,600,000)
$
1,049,866,341 Transfer of cap due to servicing transfer
09/15/2011
$
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
01/13/2012
$
(900,000)
$
1,056,966,341 Transfer of cap due to servicing transfer
02/16/2012
$
(1,100,000)
$
1,055,866,341 Transfer of cap due to servicing transfer
03/15/2012
$
(1,700,000)
$
1,054,166,341 Transfer of cap due to servicing transfer
04/16/2012
$
(600,000)
$
1,053,566,341 Transfer of cap due to servicing transfer
05/16/2012
$
(340,000)
$
1,053,226,341 Transfer of cap due to servicing transfer
06/14/2012
$
(2,880,000)
$
1,050,346,341 Transfer of cap due to servicing transfer
06/28/2012
$
(5,498)
$
1,050,340,843 Updated due to quarterly assessment and reallocation
07/16/2012
$
(298,960,000)
$
751,380,843 Transfer of cap due to servicing transfer
07/27/2012
$
263,550,000
$
1,014,930,843 Transfer of cap due to servicing transfer
08/16/2012
$
30,000
$
1,014,960,843 Transfer of cap due to servicing transfer
09/27/2012
$
(12,722)
$
1,014,948,121 Updated due to quarterly assessment and 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)
$
1,003,468,121 Transfer of cap due to servicing transfer
12/27/2012
$
(1,916)
$
1,003,466,205 Updated due to quarterly assessment and reallocation
02/14/2013
$
(8,450,000)
$
995,016,205 Transfer of cap due to servicing transfer
03/14/2013
$
(1,890,000)
$
993,126,205 Transfer of cap due to servicing transfer
03/25/2013
$
(6,606)
$
993,119,599 Updated due to quarterly assessment and reallocation
04/16/2013
$
(3,490,000)
$
989,629,599 Transfer of cap due to servicing transfer
06/14/2013
$
(3,630,000)
$
985,999,599 Transfer of cap due to servicing transfer
06/27/2013
$
(2,161)
$
985,997,438 Updated due to quarterly assessment and reallocation
07/16/2013
$
(26,880,000)
$
959,117,438 Transfer of cap due to servicing transfer
09/16/2013
$
(12,160,000)
$
946,957,438 Transfer of cap due to servicing transfer
09/27/2013
$
(610)
$
946,956,828 Updated due to quarterly assessment and reallocation
11/14/2013
$
(38,950,000)
$
908,006,828 Transfer of cap due to servicing transfer
12/16/2013
$
(8,600,000)
$
899,406,828 Transfer of cap due to servicing transfer
12/23/2013
$
(769,699)
$
898,637,129 Updated due to quarterly assessment and reallocation
535,929,919 Transfer of cap due to servicing transfer
459,874,127 Reallocation due to MHA program deobligation
1,784,660,000 Transfer of cap due to servicing transfer
989,990,000 Transfer of cap due to servicing transfer
77
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Citizens Community Bank
Freeburg
IL
Purchase
Financial Instrument for Home Loan Modifications
$
800,000 N/A
Reason for Adjustment
01/16/2014
$
(5,360,000)
$
893,277,129 Transfer of cap due to servicing transfer
02/13/2014
$
(7,680,000)
$
885,597,129 Transfer of cap due to servicing transfer
03/14/2014
$
(2,950,000)
$
882,647,129 Transfer of cap due to servicing transfer
03/26/2014
$
(21,827)
$
882,625,302 Updated due to quarterly assessment and reallocation
04/16/2014
$
(60,000)
$
882,565,302 Transfer of cap due to servicing transfer
05/15/2014
$
(30,000)
$
882,535,302 Transfer of cap due to servicing transfer
06/16/2014
$
(330,000)
$
882,205,302 Transfer of cap due to servicing transfer
06/26/2014
$
(195,762)
$
882,009,540 Updated due to quarterly assessment and reallocation
07/16/2014
$
(430,000)
$
881,579,540 Transfer of cap due to servicing transfer
07/29/2014
$
(377,564)
$
881,201,976 Updated due to quarterly assessment and reallocation
08/14/2014
$
(1,080,000)
$
880,121,976 Transfer of cap due to servicing transfer
09/29/2014
$
(92,495)
$
880,029,481 Updated due to quarterly assessment and reallocation
10/16/2014
$
(1,510,000)
$
878,519,481 Transfer of cap due to servicing transfer
11/14/2014
$
30,000
$
878,549,481 Transfer of cap due to servicing transfer
12/16/2014
$
(2,910,000)
$
875,639,481 Transfer of cap due to servicing transfer
12/29/2014
$
94,089,225
$
969,728,706 Updated due to quarterly assessment and reallocation
01/15/2015
$
(34,650,000)
$
935,078,706 Transfer of cap due to servicing transfer
02/13/2015
$
(2,440,000)
$
932,638,706 Transfer of cap due to servicing transfer
03/16/2015
$
(19,110,000)
$
913,528,706 Transfer of cap due to servicing transfer
03/26/2015
$
76,351,360
$
04/16/2015
$
(6,750,000)
$
04/28/2015
$
57,599,924
$
1,040,729,990 Updated due to quarterly assessment and reallocation
05/14/2015
$
(27,080,000)
$
1,013,649,990 Transfer of cap due to servicing transfer
06/16/2015
$
(79,070,000)
$
06/25/2015
$
86,251,406
$
1,020,831,396 Updated due to quarterly assessment and reallocation
07/16/2015
$
(30,000)
$
1,020,801,396 Transfer of cap due to servicing transfer
08/14/2015
$
(18,320,000)
$
1,002,481,396 Transfer of cap due to servicing transfer
09/16/2015
$
(290,000)
$
1,002,191,396 Transfer of cap due to servicing transfer
09/28/2015
$
24,031,176
$
1,026,222,572 Updated due to quarterly assessment and reallocation
10/15/2015
$
(10,000)
$
1,026,212,572 Transfer of cap due to servicing transfer
11/16/2015
$
(2,430,000)
$
1,023,782,572 Transfer of cap due to servicing transfer
12/16/2015
$
(13,640,000)
$
1,010,142,572 Transfer of cap due to servicing transfer
12/28/2015
$
20,325,747
$
1,030,468,319 Updated due to quarterly assessment and reallocation
01/14/2016
$
(440,000)
$
1,030,028,319 Transfer of cap due to servicing transfer
02/16/2016
$
(250,000)
$
1,029,778,319 Transfer of cap due to servicing transfer
02/25/2016
$
(34,557,541)
$
995,220,778 Reallocation due to MHA program deobligation
03/16/2016
$
(6,120,000)
$
989,100,778 Transfer of cap due to servicing transfer
03/28/2016
$
(588,465)
$
988,512,313 Updated due to quarterly assessment and reallocation
04/14/2016
$
(14,990,000)
$
973,522,313 Transfer of cap due to servicing transfer
05/16/2016
$
(20,250,000)
$
953,272,313 Transfer of cap due to servicing transfer
05/31/2016
$
13,423,899
$
966,696,212 Updated due to quarterly assessment and reallocation
06/16/2016
$
(16,740,000)
$
949,956,212 Transfer of cap due to servicing transfer
06/27/2016
$
7,280,004
$
957,236,216 Updated due to quarterly assessment and reallocation
07/14/2016
$
(2,960,000)
$
954,276,216 Transfer of cap due to servicing transfer
07/27/2016
$
5,640,105
$
959,916,321 Updated due to quarterly assessment and reallocation
08/16/2016
$
(33,560,000)
$
926,356,321 Transfer of cap due to servicing transfer
09/15/2016
$
(3,980,000)
$
922,376,321 Transfer of cap due to servicing transfer
09/28/2016
$
19,367,006
$
941,743,327 Updated due to quarterly assessment and reallocation
10/14/2016
$
(271,360,000)
$
670,383,327 Transfer of cap due to servicing transfer
10/25/2016
$
272,562,455
$
942,945,782 Updated due to quarterly assessment and reallocation
-
$
942,945,782 Updated due to quarterly assessment and reallocation
11/16/2016
$
(80,000)
$
942,865,782 Transfer of cap due to servicing transfer
11/29/2016
$
(359,401)
$
942,506,381 Updated due to quarterly assessment and reallocation
12/15/2016
$
(1,260,000)
$
941,246,381 Transfer of cap due to servicing transfer
12/27/2016
$
(47,744)
$
941,198,637 Transfer of cap due to servicing transfer
01/13/2017
$
20,000
$
941,218,637 Transfer of cap due to servicing transfer
02/16/2017
$
(1,960,000)
$
939,258,637 Transfer of cap due to servicing transfer
02/27/2017
$
(538,265)
$
938,720,372 Transfer of cap due to servicing transfer
03/16/2017
$
(90,000)
$
938,630,372 Transfer of cap due to servicing transfer
04/26/2017
$
(38,076)
$
938,592,296 Transfer of cap due to servicing transfer
06/26/2017
$
(346,282)
$
938,246,014 Transfer of cap due to servicing transfer
07/26/2017
$
(10,857)
$
938,235,157 Transfer of cap due to servicing transfer
09/26/2017
$
6,239,488
$
944,474,645 Transfer of cap due to servicing transfer
10/26/2017
$
279,111
$
944,753,756 Transfer of cap due to servicing transfer
12/21/2017
$
(329,679)
$
944,424,077 Transfer of cap due to servicing transfer
02/26/2018
$
(78,009)
$
944,346,068 Transfer of cap due to servicing transfer
03/22/2018
$
(121,990)
$
944,224,078 Transfer of cap due to servicing transfer
04/25/2018
$
2,209,234
$
946,433,312 Transfer of cap due to servicing transfer
06/21/2018
$
(4,084)
$
946,429,228 Transfer of cap due to servicing transfer
07/26/2018
$
(120,102,286)
$
826,326,942 Reallocation due to MHA program deobligation
09/30/2010
$
360,445
$
1,160,445 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,160,443 Updated due to quarterly assessment and reallocation
03/23/2011
$
(1,160,443)
11/07/2016
09/24/2010
Adjusted CAP
989,880,066 Updated due to quarterly assessment and reallocation
983,130,066 Transfer of cap due to servicing transfer
934,579,990 Transfer of cap due to servicing transfer
- Termination of SPA
78
Servicer Modifying Borrowers' Loans
Date
12/16/2009
Name of Institution
Citizens First National Bank
City
Spring Valley
Adjustment Details
State
IL
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
Note
620,000 N/A
6
06/26/2009
03/16/2015
05/15/2014
Citizens First Wholesale Mortgage
Company
Colorado Federal Savings Bank
Columbia Bank
The Villages
FL
Greenwood Village CO
Fair Lawn
NJ
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
30,000 N/A
- N/A
- N/A
3
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
01/22/2010
$
30,000
$
03/26/2010
$
(580,000)
$
70,000 Updated portfolio data from servicer
07/14/2010
$
1,430,000
$
1,500,000 Updated portfolio data from servicer
09/30/2010
$
95,612
$
1,595,612 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,595,610 Updated due to quarterly assessment and reallocation
03/30/2011
$
(3)
$
1,595,607 Updated due to quarterly assessment and reallocation
06/29/2011
$
(24)
$
1,595,583 Updated due to quarterly assessment and reallocation
06/28/2012
$
(16)
$
1,595,567 Updated due to quarterly assessment and reallocation
09/27/2012
$
(45)
$
1,595,522 Updated due to quarterly assessment and reallocation
12/27/2012
$
(8)
$
1,595,514 Updated due to quarterly assessment and reallocation
03/25/2013
$
(30)
$
1,595,484 Updated due to quarterly assessment and reallocation
06/27/2013
$
(11)
$
1,595,473 Updated due to quarterly assessment and reallocation
09/27/2013
$
(4)
$
1,595,469 Updated due to quarterly assessment and reallocation
12/23/2013
$
(6,733)
$
1,588,736 Updated due to quarterly assessment and reallocation
03/26/2014
$
(237)
$
1,588,499 Updated due to quarterly assessment and reallocation
05/15/2014
$
(90,000)
$
1,498,499 Transfer of cap due to servicing transfer
06/26/2014
$
(2,840)
$
1,495,659 Updated due to quarterly assessment and reallocation
07/01/2014
$
(1,353,853)
$
09/30/2009
$
(10,000)
$
20,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
590,000
$
610,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(580,000)
$
30,000 Updated portfolio data from servicer
07/14/2010
$
70,000
$
100,000 Updated portfolio data from servicer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
02/17/2011
$
(145,056)
03/16/2015
$
70,000
$
10/15/2015
$
10,000
$
80,000 Transfer of cap due to servicing transfer
11/16/2015
$
240,000
$
320,000 Transfer of cap due to servicing transfer
12/28/2015
$
(35,915)
$
284,085 Updated due to quarterly assessment and reallocation
02/16/2016
$
(10,000)
$
274,085 Transfer of cap due to servicing transfer
02/25/2016
$
(96,994)
$
177,091 Reallocation due to MHA program deobligation
03/16/2016
$
10,000
$
187,091 Transfer of cap due to servicing transfer
03/28/2016
$
(2,289)
$
184,802 Updated due to quarterly assessment and reallocation
05/31/2016
$
(17,915)
$
166,887 Updated due to quarterly assessment and reallocation
06/27/2016
$
(10,702)
$
156,185 Updated due to quarterly assessment and reallocation
07/27/2016
$
(10,705)
$
145,480 Updated due to quarterly assessment and reallocation
09/28/2016
$
(18,721)
$
126,759 Updated due to quarterly assessment and reallocation
10/25/2016
$
(17,691)
$
109,068 Updated due to quarterly assessment and reallocation
11/07/2016
$
6,821
$
115,889 Updated due to quarterly assessment and reallocation
11/29/2016
$
(122)
$
115,767 Updated due to quarterly assessment and reallocation
12/27/2016
$
(19)
$
115,748 Transfer of cap due to servicing transfer
02/27/2017
$
(324)
$
115,424 Transfer of cap due to servicing transfer
04/26/2017
$
(21)
$
115,403 Transfer of cap due to servicing transfer
06/26/2017
$
(163)
$
115,240 Transfer of cap due to servicing transfer
07/26/2017
$
(5)
$
115,235 Transfer of cap due to servicing transfer
09/26/2017
$
(6,519)
$
108,716 Transfer of cap due to servicing transfer
10/26/2017
$
(808)
$
107,908 Transfer of cap due to servicing transfer
12/21/2017
$
(842)
$
107,066 Transfer of cap due to servicing transfer
02/26/2018
$
(41)
$
107,025 Transfer of cap due to servicing transfer
03/22/2018
$
(133)
$
106,892 Transfer of cap due to servicing transfer
04/25/2018
$
(264)
$
106,628 Transfer of cap due to servicing transfer
06/21/2018
$
(49)
$
106,579 Transfer of cap due to servicing transfer
07/26/2018
$
(5,552)
$
101,027 Reallocation due to MHA program deobligation
05/15/2014
$
160,000
$
160,000 Transfer of cap due to servicing transfer
06/26/2014
$
(72)
$
159,928 Updated due to quarterly assessment and reallocation
07/29/2014
$
(143)
$
159,785 Updated due to quarterly assessment and reallocation
09/29/2014
$
(47)
$
159,738 Updated due to quarterly assessment and reallocation
12/29/2014
$
35,609
$
195,347 Updated due to quarterly assessment and reallocation
12/28/2015
$
(1,841)
$
193,506 Updated due to quarterly assessment and reallocation
02/25/2016
$
(11,344)
$
182,162 Reallocation due to MHA program deobligation
03/28/2016
$
(240)
$
181,922 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,896)
$
180,026 Updated due to quarterly assessment and reallocation
06/27/2016
$
(1,164)
$
178,862 Updated due to quarterly assessment and reallocation
07/27/2016
$
(1,201)
$
177,661 Updated due to quarterly assessment and reallocation
09/28/2016
$
(2,222)
$
175,439 Updated due to quarterly assessment and reallocation
10/25/2016
$
(2,165)
$
173,274 Updated due to quarterly assessment and reallocation
11/07/2016
$
835
$
174,109 Updated due to quarterly assessment and reallocation
11/29/2016
$
(131)
$
173,978 Updated due to quarterly assessment and reallocation
12/27/2016
$
(20)
$
173,958 Transfer of cap due to servicing transfer
02/27/2017
$
(348)
$
173,610 Transfer of cap due to servicing transfer
03/16/2017
$
40,000
$
213,610 Transfer of cap due to servicing transfer
04/26/2017
$
(70)
$
213,540 Transfer of cap due to servicing transfer
06/26/2017
$
(540)
$
213,000 Transfer of cap due to servicing transfer
650,000 Updated portfolio data from servicer/additional program initial cap
141,806 Termination of SPA
- Termination of SPA
70,000 Transfer of cap due to servicing transfer
79
Servicer Modifying Borrowers' Loans
Date
12/04/2009
09/30/2010
Name of Institution
Community Bank & Trust Company
Community Credit Union of Florida
City
Clarks Summit
Rockledge
Adjustment Details
State
PA
FL
Transaction
Type
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
$
Pricing
Mechanism
Note
380,000 N/A
2,000,000 N/A
6
09/30/2010
12/16/2013
CU Mortgage Services, Inc.
Desjardins Bank N.A.
01/15/2010
Digital Federal Credit Union
04/24/2009
Ditech Financial LLC (Green Tree
Servicing LLC)
New Brighton
Hallandale Beach
Marlborough
Saint Paul
MN
FL
MA
MN
Purchase
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
$
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
100,000 N/A
- N/A
$
$
3,050,000 N/A
156,000,000 N/A
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
07/26/2017
$
(16)
$
212,984 Transfer of cap due to servicing transfer
09/26/2017
$
(17,465)
$
195,519 Transfer of cap due to servicing transfer
10/26/2017
$
(2,166)
$
193,353 Transfer of cap due to servicing transfer
12/21/2017
$
(2,256)
$
191,097 Transfer of cap due to servicing transfer
02/26/2018
$
(110)
$
190,987 Transfer of cap due to servicing transfer
03/22/2018
$
(357)
$
190,630 Transfer of cap due to servicing transfer
04/25/2018
$
(706)
$
189,924 Transfer of cap due to servicing transfer
06/21/2018
$
(132)
$
07/26/2018
$
(36,668)
$
153,124 Reallocation due to MHA program deobligation
01/22/2010
$
10,000
$
390,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
520,000
$
910,000 Updated portfolio data from servicer
07/14/2010
$
(810,000)
$
100,000 Updated portfolio data from servicer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
08/26/2014
$
(144,524)
09/30/2010
$
901,112
$
2,901,112 Updated portfolio data from servicer
01/06/2011
$
(4)
$
2,901,108 Updated due to quarterly assessment and reallocation
03/30/2011
$
(5)
$
2,901,103 Updated due to quarterly assessment and reallocation
06/29/2011
$
(48)
$
2,901,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(36)
$
2,901,019 Updated due to quarterly assessment and reallocation
09/14/2012
$
(2,888,387)
$
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
03/26/2015
$
(2,879)
$
133,928 Updated due to quarterly assessment and reallocation
04/28/2015
$
(11,347)
$
122,581 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,691)
$
119,890 Updated due to quarterly assessment and reallocation
09/28/2015
$
(3,595)
$
116,295 Updated due to quarterly assessment and reallocation
12/28/2015
$
(2,660)
$
113,635 Updated due to quarterly assessment and reallocation
02/25/2016
$
(7,597)
$
106,038 Reallocation due to MHA program deobligation
03/28/2016
$
(159)
$
105,879 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,242)
$
104,637 Updated due to quarterly assessment and reallocation
06/27/2016
$
(742)
$
103,895 Updated due to quarterly assessment and reallocation
07/27/2016
$
(742)
$
103,153 Updated due to quarterly assessment and reallocation
09/28/2016
$
(1,298)
$
101,855 Updated due to quarterly assessment and reallocation
10/25/2016
$
(1,226)
$
100,629 Updated due to quarterly assessment and reallocation
11/07/2016
$
472
$
101,101 Updated due to quarterly assessment and reallocation
11/29/2016
$
(8)
$
101,093 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1)
$
101,092 Transfer of cap due to servicing transfer
02/27/2017
$
(22)
$
101,070 Transfer of cap due to servicing transfer
04/26/2017
$
(1)
$
101,069 Transfer of cap due to servicing transfer
06/26/2017
$
(11)
$
101,058 Transfer of cap due to servicing transfer
07/14/2017
$
(101,058)
12/16/2013
$
30,000
$
30,000 Transfer of cap due to servicing transfer
09/16/2014
$
10,000
$
40,000 Transfer of cap due to servicing transfer
03/26/2010
$
12,190,000
$
15,240,000 Updated portfolio data from servicer
05/14/2010
$
(15,240,000)
06/17/2009
$
(64,990,000)
$
91,010,000 Updated portfolio data from servicer
09/30/2009
$
130,780,000
$
221,790,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(116,750,000)
$
105,040,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
13,080,000
$
118,120,000 Updated portfolio data from servicer
07/14/2010
$
(24,220,000)
$
93,900,000 Updated portfolio data from servicer
07/16/2010
$
210,000
$
08/13/2010
$
2,200,000
$
09/10/2010
$
34,600,000
$
130,910,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
5,600,000
$
136,510,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
10,185,090
$
146,695,090 Updated portfolio data from servicer
189,792 Transfer of cap due to servicing transfer
- Termination of SPA
12,632 Termination of SPA
- Termination of SPA
- Termination of SPA
94,110,000 Transfer of cap due to servicing transfer
96,310,000 Transfer of cap due to servicing transfer
80
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
10/15/2010
$
400,000
$
147,095,090 Transfer of cap due to servicing transfer
01/06/2011
$
(213)
$
147,094,877 Updated due to quarterly assessment and reallocation
03/30/2011
$
(250)
$
147,094,627 Updated due to quarterly assessment and reallocation
05/13/2011
$
1,200,000
$
148,294,627 Transfer of cap due to servicing transfer
06/16/2011
$
100,000
$
148,394,627 Transfer of cap due to servicing transfer
06/29/2011
$
(2,302)
$
148,392,325 Updated due to quarterly assessment and reallocation
07/14/2011
$
1,900,000
$
150,292,325 Transfer of cap due to servicing transfer
09/15/2011
$
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
02/16/2012
$
900,000
$
151,992,325 Transfer of cap due to servicing transfer
03/15/2012
$
100,000
$
152,092,325 Transfer of cap due to servicing transfer
05/16/2012
$
3,260,000
$
155,352,325 Transfer of cap due to servicing transfer
06/14/2012
$
920,000
$
156,272,325 Transfer of cap due to servicing transfer
06/28/2012
$
(1,622)
$
156,270,703 Updated due to quarterly assessment and reallocation
07/16/2012
$
110,000
$
156,380,703 Transfer of cap due to servicing transfer
08/16/2012
$
5,120,000
$
161,500,703 Transfer of cap due to servicing transfer
09/27/2012
$
(4,509)
$
161,496,194 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 Transfer of cap due to servicing transfer
12/27/2012
$
(802)
$
173,215,392 Updated due to quarterly assessment and reallocation
02/14/2013
$
10,210,000
$
183,425,392 Transfer of cap due to servicing transfer
03/25/2013
$
(3,023)
$
183,422,369 Updated due to quarterly assessment and reallocation
05/16/2013
$
140,000
$
183,562,369 Transfer of cap due to servicing transfer
06/27/2013
$
(1,077)
$
183,561,292 Updated due to quarterly assessment and reallocation
07/16/2013
$
7,210,000
$
190,771,292 Transfer of cap due to servicing transfer
08/15/2013
$
6,730,000
$
197,501,292 Transfer of cap due to servicing transfer
09/27/2013
$
(388)
$
197,500,904 Updated due to quarterly assessment and reallocation
10/15/2013
$
3,610,000
$
201,110,904 Transfer of cap due to servicing transfer
11/14/2013
$
(320,000)
$
200,790,904 Transfer of cap due to servicing transfer
12/16/2013
$
21,280,000
$
222,070,904 Transfer of cap due to servicing transfer
12/23/2013
$
(710,351)
$
221,360,553 Updated due to quarterly assessment and reallocation
02/13/2014
$
1,700,000
$
223,060,553 Transfer of cap due to servicing transfer
03/26/2014
$
(22,400)
$
223,038,153 Updated due to quarterly assessment and reallocation
04/16/2014
$
2,280,000
$
225,318,153 Transfer of cap due to servicing transfer
05/15/2014
$
12,810,000
$
238,128,153 Transfer of cap due to servicing transfer
06/16/2014
$
(2,000,000)
$
236,128,153 Transfer of cap due to servicing transfer
06/26/2014
$
(262,535)
$
235,865,618 Updated due to quarterly assessment and reallocation
07/16/2014
$
130,000
$
235,995,618 Transfer of cap due to servicing transfer
07/29/2014
$
(499,786)
$
235,495,832 Updated due to quarterly assessment and reallocation
08/14/2014
$
(1,940,000)
$
233,555,832 Transfer of cap due to servicing transfer
09/16/2014
$
380,000
$
233,935,832 Transfer of cap due to servicing transfer
09/29/2014
$
(150,666)
$
233,785,166 Updated due to quarterly assessment and reallocation
10/16/2014
$
(1,120,000)
$
232,665,166 Transfer of cap due to servicing transfer
11/14/2014
$
760,000
$
233,425,166 Transfer of cap due to servicing transfer
12/16/2014
$
5,910,000
$
239,335,166 Transfer of cap due to servicing transfer
12/29/2014
$
(10,171,749)
$
229,163,417 Updated due to quarterly assessment and reallocation
01/15/2015
$
(770,000)
$
228,393,417 Transfer of cap due to servicing transfer
02/13/2015
$
6,000,000
$
234,393,417 Transfer of cap due to servicing transfer
03/16/2015
$
(1,400,000)
$
232,993,417 Transfer of cap due to servicing transfer
03/26/2015
$
(2,999,340)
$
229,994,077 Updated due to quarterly assessment and reallocation
04/16/2015
$
(1,440,000)
$
228,554,077 Transfer of cap due to servicing transfer
04/28/2015
$
406,883,574
$
635,437,651 Updated due to quarterly assessment and reallocation
05/14/2015
$
3,840,000
$
639,277,651 Transfer of cap due to servicing transfer
06/25/2015
$
1,933,295
$
641,210,946 Updated due to quarterly assessment and reallocation
07/16/2015
$
6,480,000
$
647,690,946 Transfer of cap due to servicing transfer
08/14/2015
$
160,000
$
647,850,946 Transfer of cap due to servicing transfer
09/16/2015
$
(730,000)
$
647,120,946 Transfer of cap due to servicing transfer
09/28/2015
$
1,314,631
$
648,435,577 Updated due to quarterly assessment and reallocation
11/16/2015
$
(30,000)
$
648,405,577 Transfer of cap due to servicing transfer
12/16/2015
$
(1,800,000)
$
646,605,577 Transfer of cap due to servicing transfer
12/28/2015
$
(491,522)
$
646,114,055 Updated due to quarterly assessment and reallocation
01/14/2016
$
(10,000)
$
646,104,055 Transfer of cap due to servicing transfer
02/16/2016
$
(2,820,000)
$
643,284,055 Transfer of cap due to servicing transfer
02/25/2016
$
(57,817,969)
$
585,466,086 Reallocation due to MHA program deobligation
03/16/2016
$
1,530,000
$
586,996,086 Transfer of cap due to servicing transfer
03/28/2016
$
(1,385,279)
$
585,610,807 Updated due to quarterly assessment and reallocation
04/14/2016
$
3,860,000
$
589,470,807 Transfer of cap due to servicing transfer
05/16/2016
$
(1,540,000)
$
587,930,807 Transfer of cap due to servicing transfer
05/31/2016
$
(11,376,624)
$
576,554,183 Updated due to quarterly assessment and reallocation
06/16/2016
$
(5,780,000)
$
570,774,183 Transfer of cap due to servicing transfer
06/27/2016
$
(8,966,552)
$
561,807,631 Updated due to quarterly assessment and reallocation
07/14/2016
$
(6,540,000)
$
555,267,631 Transfer of cap due to servicing transfer
81
Servicer Modifying Borrowers' Loans
Date
10/30/2009
03/16/2016
12/23/2009
07/31/2009
Name of Institution
DuPage Credit Union
Eastern Bank
Eaton National Bank & Trust
Company
EMC Mortgage Corporation
City
Naperville
Adjustment Details
State
IL
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Boston
MA
Purchase
Financial Instrument for Home Loan Modifications
Eaton
OH
Purchase
Financial Instrument for Home Loan Modifications
Lewisville
TX
Purchase
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
70,000 N/A
- N/A
$
$
Note
60,000 N/A
707,380,000 N/A
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
07/27/2016
$
(9,573,183)
$
545,694,448 Updated due to quarterly assessment and reallocation
08/16/2016
$
4,150,000
$
549,844,448 Transfer of cap due to servicing transfer
09/15/2016
$
1,480,000
$
551,324,448 Transfer of cap due to servicing transfer
09/28/2016
$
(17,931,672)
$
533,392,776 Updated due to quarterly assessment and reallocation
10/14/2016
$
(4,370,000)
$
529,022,776 Transfer of cap due to servicing transfer
10/25/2016
$
(18,522,234)
$
510,500,542 Updated due to quarterly assessment and reallocation
11/07/2016
$
7,140,972
$
517,641,514 Updated due to quarterly assessment and reallocation
11/16/2016
$
(590,000)
$
517,051,514 Transfer of cap due to servicing transfer
11/29/2016
$
(275,089)
$
516,776,425 Updated due to quarterly assessment and reallocation
12/15/2016
$
(2,470,000)
$
514,306,425 Transfer of cap due to servicing transfer
12/27/2016
$
(48,571)
$
514,257,854 Transfer of cap due to servicing transfer
01/13/2017
$
(1,120,000)
$
513,137,854 Transfer of cap due to servicing transfer
02/16/2017
$
(180,000)
$
512,957,854 Transfer of cap due to servicing transfer
02/27/2017
$
(958,939)
$
511,998,915 Transfer of cap due to servicing transfer
03/16/2017
$
(3,480,000)
$
508,518,915 Transfer of cap due to servicing transfer
04/26/2017
$
(74,352)
$
508,444,563 Transfer of cap due to servicing transfer
06/26/2017
$
(677,390)
$
507,767,173 Transfer of cap due to servicing transfer
07/26/2017
$
(21,896)
$
507,745,277 Transfer of cap due to servicing transfer
09/26/2017
$
(23,794,399)
$
483,950,878 Transfer of cap due to servicing transfer
10/26/2017
$
(4,685,746)
$
479,265,132 Transfer of cap due to servicing transfer
12/21/2017
$
(6,039,108)
$
473,226,024 Transfer of cap due to servicing transfer
02/26/2018
$
(391,333)
$
472,834,691 Transfer of cap due to servicing transfer
03/22/2018
$
(1,309,429)
$
471,525,262 Transfer of cap due to servicing transfer
04/25/2018
$
(2,651,480)
$
468,873,782 Transfer of cap due to servicing transfer
06/21/2018
$
(517,669)
$
468,356,113 Transfer of cap due to servicing transfer
07/26/2018
$
(109,736,819)
$
358,619,294 Reallocation due to MHA program deobligation
01/22/2010
$
10,000
$
03/26/2010
$
10,000
$
90,000 Updated portfolio data from servicer
07/14/2010
$
10,000
$
100,000 Updated portfolio data from servicer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
09/27/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,053 Updated due to quarterly assessment and reallocation
12/23/2013
$
(145)
$
144,908 Updated due to quarterly assessment and reallocation
03/26/2014
$
(5)
$
144,903 Updated due to quarterly assessment and reallocation
06/26/2014
$
(59)
$
144,844 Updated due to quarterly assessment and reallocation
07/29/2014
$
(117)
$
144,727 Updated due to quarterly assessment and reallocation
09/29/2014
$
(39)
$
144,688 Updated due to quarterly assessment and reallocation
12/29/2014
$
(377)
$
144,311 Updated due to quarterly assessment and reallocation
03/26/2015
$
(142)
$
144,169 Updated due to quarterly assessment and reallocation
04/28/2015
$
73,328
$
217,497 Updated due to quarterly assessment and reallocation
09/28/2015
$
(2,259)
$
215,238 Updated due to quarterly assessment and reallocation
12/28/2015
$
(1,672)
$
213,566 Updated due to quarterly assessment and reallocation
02/25/2016
$
(11,493)
$
202,073 Reallocation due to MHA program deobligation
03/28/2016
$
(240)
$
201,833 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,879)
$
199,954 Updated due to quarterly assessment and reallocation
06/27/2016
$
(1,123)
$
198,831 Updated due to quarterly assessment and reallocation
07/27/2016
$
(1,123)
$
197,708 Updated due to quarterly assessment and reallocation
09/28/2016
$
(1,964)
$
195,744 Updated due to quarterly assessment and reallocation
10/25/2016
$
(1,855)
$
193,889 Updated due to quarterly assessment and reallocation
11/07/2016
$
715
$
194,604 Updated due to quarterly assessment and reallocation
11/29/2016
$
(95)
$
194,509 Updated due to quarterly assessment and reallocation
12/27/2016
$
(15)
$
194,494 Transfer of cap due to servicing transfer
02/27/2017
$
(253)
$
194,241 Transfer of cap due to servicing transfer
04/26/2017
$
(17)
$
194,224 Transfer of cap due to servicing transfer
06/26/2017
$
(127)
$
194,097 Transfer of cap due to servicing transfer
07/26/2017
$
(4)
$
194,093 Transfer of cap due to servicing transfer
09/26/2017
$
(494)
$
193,599 Transfer of cap due to servicing transfer
10/26/2017
$
(61)
$
193,538 Transfer of cap due to servicing transfer
12/21/2017
$
(64)
$
193,474 Transfer of cap due to servicing transfer
02/26/2018
$
(37)
$
193,437 Transfer of cap due to servicing transfer
03/22/2018
$
(121)
$
193,316 Transfer of cap due to servicing transfer
04/25/2018
$
(239)
$
193,077 Transfer of cap due to servicing transfer
06/21/2018
$
(45)
$
193,032 Transfer of cap due to servicing transfer
07/26/2018
$
(28,721)
$
164,311 Reallocation due to MHA program deobligation
03/16/2016
$
20,000
$
03/26/2010
$
90,000
$
150,000 Updated portfolio data from servicer
07/14/2010
$
50,000
$
200,000 Updated portfolio data from servicer
09/30/2010
$
(54,944)
$
145,056 Updated portfolio data from servicer
05/20/2011
$
(145,056)
09/30/2009
$
(10,000)
$
707,370,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
502,430,000
$
1,209,800,000 Updated portfolio data from servicer/additional program initial cap
80,000 Updated portfolio data from servicer/additional program initial cap
20,000 Transfer of cap due to servicing transfer
- Termination of SPA
82
Servicer Modifying Borrowers' Loans
Name of Institution
Date
07/16/2013
07/17/2009
09/03/2010
Everbank
Farmers State Bank
Fay Servicing, LLC
City
Jacksonville
West Salem
Chicago
Adjustment Details
State
FL
OH
IL
Transaction
Type
Purchase
Purchase
Purchase
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
$
$
170,000 N/A
3,100,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
03/26/2010
$
(134,560,000)
$
07/14/2010
$
(392,140,000)
$
683,100,000 Updated portfolio data from servicer
07/16/2010
$
(630,000)
$
682,470,000 Transfer of cap due to servicing transfer
09/30/2010
$
13,100,000
$
695,570,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(8,006,457)
$
687,563,543 Updated portfolio data from servicer
10/15/2010
$
(100,000)
$
687,463,543 Transfer of cap due to servicing transfer
12/15/2010
$
(4,400,000)
$
683,063,543 Transfer of cap due to servicing transfer
01/06/2011
$
(802)
$
683,062,741 Updated due to quarterly assessment and reallocation
02/16/2011
$
(900,000)
$
682,162,741 Transfer of cap due to servicing transfer
03/16/2011
$
(4,000,000)
$
678,162,741 Transfer of cap due to servicing transfer
03/30/2011
$
(925)
$
678,161,816 Updated due to quarterly assessment and reallocation
05/13/2011
$
(122,900,000)
$
555,261,816 Transfer of cap due to servicing transfer
06/29/2011
$
(8,728)
$
555,253,088 Updated due to quarterly assessment and reallocation
07/14/2011
$
(600,000)
$
554,653,088 Transfer of cap due to servicing transfer
8
10/19/2011
$
(519,211,309)
$
3
07/16/2013
$
60,000
$
09/16/2014
$
30,000
$
90,000 Transfer of cap due to servicing transfer
08/14/2015
$
80,000
$
170,000 Transfer of cap due to servicing transfer
09/28/2015
$
(8,692)
$
161,308 Updated due to quarterly assessment and reallocation
12/28/2015
$
(10,008)
$
151,300 Updated due to quarterly assessment and reallocation
02/25/2016
$
(28,583)
$
122,717 Reallocation due to MHA program deobligation
03/28/2016
$
(597)
$
122,120 Updated due to quarterly assessment and reallocation
05/31/2016
$
(4,673)
$
117,447 Updated due to quarterly assessment and reallocation
06/27/2016
$
(2,792)
$
114,655 Updated due to quarterly assessment and reallocation
07/27/2016
$
(2,792)
$
111,863 Updated due to quarterly assessment and reallocation
09/28/2016
$
(4,883)
$
106,980 Updated due to quarterly assessment and reallocation
10/25/2016
$
(4,615)
$
102,365 Updated due to quarterly assessment and reallocation
11/07/2016
$
1,779
$
104,144 Updated due to quarterly assessment and reallocation
11/29/2016
$
(32)
$
104,112 Updated due to quarterly assessment and reallocation
12/27/2016
$
(5)
$
104,107 Transfer of cap due to servicing transfer
02/27/2017
$
(85)
$
104,022 Transfer of cap due to servicing transfer
04/26/2017
$
(6)
$
104,016 Transfer of cap due to servicing transfer
06/26/2017
$
(43)
$
103,973 Transfer of cap due to servicing transfer
07/26/2017
$
(1)
$
103,972 Transfer of cap due to servicing transfer
09/26/2017
$
(1,700)
$
102,272 Transfer of cap due to servicing transfer
10/26/2017
$
(211)
$
102,061 Transfer of cap due to servicing transfer
12/21/2017
$
(219)
$
101,842 Transfer of cap due to servicing transfer
02/26/2018
$
(11)
$
101,831 Transfer of cap due to servicing transfer
03/22/2018
$
(35)
$
101,796 Transfer of cap due to servicing transfer
04/25/2018
$
(69)
$
101,727 Transfer of cap due to servicing transfer
06/14/2018
$
(1)
$
101,726 Transfer of cap due to servicing transfer
06/21/2018
$
(13)
$
101,713 Transfer of cap due to servicing transfer
07/26/2018
$
(1,446)
$
100,267 Reallocation due to MHA program deobligation
09/30/2009
$
(90,000)
$
80,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
50,000
$
130,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
100,000
$
230,000 Updated portfolio data from servicer
07/14/2010
$
(130,000)
$
100,000 Updated portfolio data from servicer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
05/20/2011
$
(145,056)
09/30/2010
$
5,168,169
$
8,268,169 Updated portfolio data from servicer
01/06/2011
$
(12)
$
8,268,157 Updated due to quarterly assessment and reallocation
03/30/2011
$
(15)
$
8,268,142 Updated due to quarterly assessment and reallocation
04/13/2011
$
400,000
$
8,668,142 Transfer of cap due to servicing transfer
06/29/2011
$
(143)
$
8,667,999 Updated due to quarterly assessment and reallocation
09/15/2011
$
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
04/16/2012
$
1,600,000
$
12,967,999 Transfer of cap due to servicing transfer
05/16/2012
$
40,000
$
13,007,999 Transfer of cap due to servicing transfer
06/14/2012
$
(210,000)
$
12,797,999 Transfer of cap due to servicing transfer
06/28/2012
$
(105)
$
12,797,894 Updated due to quarterly assessment and reallocation
07/16/2012
$
50,000
$
12,847,894 Transfer of cap due to servicing transfer
08/16/2012
$
90,000
$
12,937,894 Transfer of cap due to servicing transfer
09/27/2012
$
(294)
$
12,937,600 Updated due to quarterly assessment and reallocation
10/16/2012
$
1,810,000
$
14,747,600 Transfer of cap due to servicing transfer
12/27/2012
$
(61)
$
14,747,539 Updated due to quarterly assessment and reallocation
01/16/2013
$
30,000
$
14,777,539 Transfer of cap due to servicing transfer
02/14/2013
$
(590,000)
$
14,187,539 Transfer of cap due to servicing transfer
03/14/2013
$
(80,000)
$
14,107,539 Transfer of cap due to servicing transfer
03/25/2013
$
(214)
$
14,107,325 Updated due to quarterly assessment and reallocation
04/16/2013
$
200,000
$
14,307,325 Transfer of cap due to servicing transfer
05/16/2013
$
3,710,000
$
18,017,325 Transfer of cap due to servicing transfer
1,075,240,000 Updated portfolio data from servicer/additional program initial cap
35,441,779 Termination of SPA
60,000 Transfer of cap due to servicing transfer
- Termination of SPA
83
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
06/14/2013
$
1,760,000
$
19,777,325 Transfer of cap due to servicing transfer
06/27/2013
$
(86)
$
19,777,239 Updated due to quarterly assessment and reallocation
07/16/2013
$
6,650,000
$
26,427,239 Transfer of cap due to servicing transfer
08/15/2013
$
20,000
$
26,447,239 Transfer of cap due to servicing transfer
09/16/2013
$
4,840,000
$
31,287,239 Transfer of cap due to servicing transfer
09/27/2013
$
(54)
$
31,287,185 Updated due to quarterly assessment and reallocation
10/15/2013
$
720,000
$
32,007,185 Transfer of cap due to servicing transfer
11/14/2013
$
1,040,000
$
33,047,185 Transfer of cap due to servicing transfer
12/16/2013
$
140,000
$
33,187,185 Transfer of cap due to servicing transfer
12/23/2013
$
(84,376)
$
33,102,809 Updated due to quarterly assessment and reallocation
01/16/2014
$
8,350,000
$
41,452,809 Transfer of cap due to servicing transfer
02/13/2014
$
5,890,000
$
47,342,809 Transfer of cap due to servicing transfer
03/14/2014
$
5,720,000
$
53,062,809 Transfer of cap due to servicing transfer
03/26/2014
$
(4,045)
$
53,058,764 Updated due to quarterly assessment and reallocation
04/16/2014
$
70,000
$
53,128,764 Transfer of cap due to servicing transfer
05/15/2014
$
640,000
$
53,768,764 Transfer of cap due to servicing transfer
06/16/2014
$
15,780,000
$
69,548,764 Transfer of cap due to servicing transfer
06/26/2014
$
(69,560)
$
69,479,204 Updated due to quarterly assessment and reallocation
07/16/2014
$
(290,000)
$
69,189,204 Transfer of cap due to servicing transfer
07/29/2014
$
(138,184)
$
69,051,020 Updated due to quarterly assessment and reallocation
08/14/2014
$
990,000
$
70,041,020 Transfer of cap due to servicing transfer
09/16/2014
$
2,890,000
$
72,931,020 Transfer of cap due to servicing transfer
09/29/2014
$
(38,150)
$
72,892,870 Updated due to quarterly assessment and reallocation
10/16/2014
$
(1,830,000)
$
71,062,870 Transfer of cap due to servicing transfer
11/14/2014
$
5,980,000
$
77,042,870 Transfer of cap due to servicing transfer
12/16/2014
$
(5,930,000)
$
71,112,870 Transfer of cap due to servicing transfer
12/29/2014
$
(328,884)
$
70,783,986 Updated due to quarterly assessment and reallocation
01/15/2015
$
80,000
$
70,863,986 Transfer of cap due to servicing transfer
02/13/2015
$
1,530,000
$
72,393,986 Transfer of cap due to servicing transfer
03/16/2015
$
(770,000)
$
71,623,986 Transfer of cap due to servicing transfer
03/26/2015
$
1,070,605
$
72,694,591 Updated due to quarterly assessment and reallocation
04/16/2015
$
630,000
$
73,324,591 Transfer of cap due to servicing transfer
04/28/2015
$
(118,190)
$
73,206,401 Updated due to quarterly assessment and reallocation
05/14/2015
$
180,000
$
73,386,401 Transfer of cap due to servicing transfer
06/16/2015
$
530,000
$
73,916,401 Transfer of cap due to servicing transfer
06/25/2015
$
(179,814)
$
73,736,587 Updated due to quarterly assessment and reallocation
07/16/2015
$
(6,500,000)
$
67,236,587 Transfer of cap due to servicing transfer
08/14/2015
$
6,280,000
$
73,516,587 Transfer of cap due to servicing transfer
09/16/2015
$
1,750,000
$
75,266,587 Transfer of cap due to servicing transfer
09/28/2015
$
1,030,559
$
76,297,146 Updated due to quarterly assessment and reallocation
10/15/2015
$
5,310,000
$
81,607,146 Transfer of cap due to servicing transfer
11/16/2015
$
3,880,000
$
85,487,146 Transfer of cap due to servicing transfer
12/16/2015
$
3,920,000
$
89,407,146 Transfer of cap due to servicing transfer
12/28/2015
$
(1,157,968)
$
88,249,178 Updated due to quarterly assessment and reallocation
01/14/2016
$
7,400,000
$
95,649,178 Transfer of cap due to servicing transfer
02/16/2016
$
(740,000)
$
94,909,178 Transfer of cap due to servicing transfer
02/25/2016
$
(8,019,526)
$
86,889,652 Reallocation due to MHA program deobligation
03/16/2016
$
2,980,000
$
89,869,652 Transfer of cap due to servicing transfer
03/28/2016
$
(179,850)
$
89,689,802 Updated due to quarterly assessment and reallocation
04/14/2016
$
1,110,000
$
90,799,802 Transfer of cap due to servicing transfer
05/16/2016
$
1,530,000
$
92,329,802 Transfer of cap due to servicing transfer
05/31/2016
$
(1,164,291)
$
91,165,511 Updated due to quarterly assessment and reallocation
06/16/2016
$
3,050,000
$
94,215,511 Transfer of cap due to servicing transfer
06/27/2016
$
(603,048)
$
93,612,463 Updated due to quarterly assessment and reallocation
07/14/2016
$
(770,000)
$
92,842,463 Transfer of cap due to servicing transfer
07/27/2016
$
(552,076)
$
92,290,387 Updated due to quarterly assessment and reallocation
08/16/2016
$
680,000
$
92,970,387 Transfer of cap due to servicing transfer
09/15/2016
$
3,280,000
$
96,250,387 Transfer of cap due to servicing transfer
09/28/2016
$
949,770
$
97,200,157 Updated due to quarterly assessment and reallocation
10/14/2016
$
1,140,000
$
98,340,157 Transfer of cap due to servicing transfer
10/25/2016
$
(1,340,924)
$
96,999,233 Updated due to quarterly assessment and reallocation
11/07/2016
$
516,973
$
11/16/2016
$
2,700,000
$
100,216,206 Transfer of cap due to servicing transfer
11/29/2016
$
(59,781)
$
100,156,425 Updated due to quarterly assessment and reallocation
12/15/2016
$
240,000
$
100,396,425 Transfer of cap due to servicing transfer
12/27/2016
$
(9,384)
$
100,387,041 Transfer of cap due to servicing transfer
01/13/2017
$
3,010,000
$
103,397,041 Transfer of cap due to servicing transfer
02/16/2017
$
3,060,000
$
106,457,041 Transfer of cap due to servicing transfer
02/27/2017
$
(206,037)
$
106,251,004 Transfer of cap due to servicing transfer
03/16/2017
$
(20,000)
$
106,231,004 Transfer of cap due to servicing transfer
04/26/2017
$
(12,963)
$
106,218,041 Transfer of cap due to servicing transfer
06/26/2017
$
2,385,430
$
108,603,471 Transfer of cap due to servicing transfer
07/26/2017
$
493,176
$
109,096,647 Transfer of cap due to servicing transfer
97,516,206 Updated due to quarterly assessment and reallocation
84
Servicer Modifying Borrowers' Loans
Date
05/13/2011
Name of Institution
FCI Lender Services, Inc.
City
Anaheim Hills
Adjustment Details
State
CA
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
- N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
09/26/2017
$
4,603,892
$
113,700,539 Transfer of cap due to servicing transfer
10/26/2017
$
3,252,805
$
116,953,344 Transfer of cap due to servicing transfer
12/21/2017
$
1,588,497
$
118,541,841 Transfer of cap due to servicing transfer
02/26/2018
$
1,076,341
$
119,618,182 Transfer of cap due to servicing transfer
03/15/2018
$
(1)
$
119,618,181 Transfer of cap due to servicing transfer
03/22/2018
$
761,611
$
120,379,792 Transfer of cap due to servicing transfer
04/25/2018
$
469,692
$
120,849,484 Transfer of cap due to servicing transfer
06/21/2018
$
5,608,001
$
126,457,485 Transfer of cap due to servicing transfer
07/26/2018
$
(15,702,172)
$
110,755,313 Reallocation due to MHA program deobligation
05/13/2011
$
500,000
$
500,000 Transfer of cap due to servicing transfer
06/16/2011
$
100,000
$
600,000 Transfer of cap due to servicing transfer
06/29/2011
$
(9)
$
599,991 Updated due to quarterly assessment and reallocation
07/14/2011
$
200,000
$
09/15/2011
$
100,000
$
899,991 Transfer of cap due to servicing transfer
11/16/2011
$
2,500,000
$
3,399,991 Transfer of cap due to servicing transfer
05/16/2012
$
1,510,000
$
4,909,991 Transfer of cap due to servicing transfer
06/14/2012
$
450,000
$
5,359,991 Transfer of cap due to servicing transfer
06/28/2012
$
(66)
$
5,359,925 Updated due to quarterly assessment and reallocation
07/16/2012
$
250,000
$
5,609,925 Transfer of cap due to servicing transfer
08/16/2012
$
90,000
$
5,699,925 Transfer of cap due to servicing transfer
09/27/2012
$
(191)
$
5,699,734 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 Transfer of cap due to servicing transfer
12/27/2012
$
(34)
$
5,949,700 Updated due to quarterly assessment and reallocation
01/16/2013
$
40,000
$
5,989,700 Transfer of cap due to servicing transfer
02/14/2013
$
50,000
$
6,039,700 Transfer of cap due to servicing transfer
03/14/2013
$
360,000
$
6,399,700 Transfer of cap due to servicing transfer
03/25/2013
$
(135)
$
6,399,565 Updated due to quarterly assessment and reallocation
04/16/2013
$
(10,000)
$
6,389,565 Transfer of cap due to servicing transfer
05/16/2013
$
40,000
$
6,429,565 Transfer of cap due to servicing transfer
06/14/2013
$
200,000
$
6,629,565 Transfer of cap due to servicing transfer
06/27/2013
$
(53)
$
6,629,512 Updated due to quarterly assessment and reallocation
07/16/2013
$
20,000
$
6,649,512 Transfer of cap due to servicing transfer
09/27/2013
$
(19)
$
6,649,493 Updated due to quarterly assessment and reallocation
10/15/2013
$
260,000
$
6,909,493 Transfer of cap due to servicing transfer
11/14/2013
$
30,000
$
6,939,493 Transfer of cap due to servicing transfer
12/23/2013
$
(33,755)
$
6,905,738 Updated due to quarterly assessment and reallocation
02/13/2014
$
110,000
$
7,015,738 Transfer of cap due to servicing transfer
03/14/2014
$
640,000
$
7,655,738 Transfer of cap due to servicing transfer
03/26/2014
$
(1,305)
$
7,654,433 Updated due to quarterly assessment and reallocation
04/16/2014
$
120,000
$
7,774,433 Transfer of cap due to servicing transfer
05/15/2014
$
40,000
$
7,814,433 Transfer of cap due to servicing transfer
06/16/2014
$
110,000
$
7,924,433 Transfer of cap due to servicing transfer
06/26/2014
$
(15,838)
$
7,908,595 Updated due to quarterly assessment and reallocation
07/16/2014
$
440,000
$
8,348,595 Transfer of cap due to servicing transfer
07/29/2014
$
(33,291)
$
8,315,304 Updated due to quarterly assessment and reallocation
08/14/2014
$
1,110,000
$
9,425,304 Transfer of cap due to servicing transfer
09/16/2014
$
40,000
$
9,465,304 Transfer of cap due to servicing transfer
09/29/2014
$
(12,454)
$
9,452,850 Updated due to quarterly assessment and reallocation
10/16/2014
$
20,000
$
9,472,850 Transfer of cap due to servicing transfer
11/14/2014
$
20,000
$
9,492,850 Transfer of cap due to servicing transfer
12/16/2014
$
190,000
$
9,682,850 Transfer of cap due to servicing transfer
12/29/2014
$
(1,564,671)
$
8,118,179 Updated due to quarterly assessment and reallocation
01/15/2015
$
10,000
$
8,128,179 Transfer of cap due to servicing transfer
02/13/2015
$
10,000
$
8,138,179 Transfer of cap due to servicing transfer
03/26/2015
$
(593,009)
$
7,545,170 Updated due to quarterly assessment and reallocation
04/28/2015
$
(2,341,121)
$
5,204,049 Updated due to quarterly assessment and reallocation
05/14/2015
$
50,000
$
5,254,049 Transfer of cap due to servicing transfer
06/16/2015
$
60,000
$
5,314,049 Transfer of cap due to servicing transfer
06/25/2015
$
(566,166)
$
4,747,883 Updated due to quarterly assessment and reallocation
07/16/2015
$
80,000
$
4,827,883 Transfer of cap due to servicing transfer
08/14/2015
$
220,000
$
5,047,883 Transfer of cap due to servicing transfer
09/16/2015
$
260,000
$
5,307,883 Transfer of cap due to servicing transfer
09/28/2015
$
(847,553)
$
4,460,330 Updated due to quarterly assessment and reallocation
10/15/2015
$
80,000
$
4,540,330 Transfer of cap due to servicing transfer
11/16/2015
$
420,000
$
4,960,330 Transfer of cap due to servicing transfer
12/16/2015
$
420,000
$
5,380,330 Transfer of cap due to servicing transfer
12/28/2015
$
(780,127)
$
01/14/2016
$
230,000
$
4,830,203 Transfer of cap due to servicing transfer
02/16/2016
$
250,000
$
5,080,203 Transfer of cap due to servicing transfer
02/25/2016
$
(2,536,406)
$
2,543,797 Reallocation due to MHA program deobligation
03/16/2016
$
30,000
$
2,573,797 Transfer of cap due to servicing transfer
799,991 Transfer of cap due to servicing transfer
4,600,203 Updated due to quarterly assessment and reallocation
85
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
12/09/2009
New Orleans
LA
Purchase
Financial Instrument for Home Loan Modifications
$
2,940,000 N/A
Reason for Adjustment
03/28/2016
$
(54,350)
$
2,519,447 Updated due to quarterly assessment and reallocation
04/14/2016
$
350,000
$
2,869,447 Transfer of cap due to servicing transfer
-
$
2,869,447 Transfer of cap due to servicing transfer
05/16/2016
Fidelity Bank (Fidelity Homestead
SavingsBank)
Adjusted CAP
05/31/2016
$
(472,698)
$
2,396,749 Updated due to quarterly assessment and reallocation
06/16/2016
$
80,000
$
2,476,749 Transfer of cap due to servicing transfer
06/27/2016
$
(290,202)
$
2,186,547 Updated due to quarterly assessment and reallocation
07/14/2016
$
(100,000)
$
2,086,547 Transfer of cap due to servicing transfer
07/27/2016
$
(281,016)
$
1,805,531 Updated due to quarterly assessment and reallocation
08/16/2016
$
100,000
$
1,905,531 Transfer of cap due to servicing transfer
09/15/2016
$
360,000
$
2,265,531 Transfer of cap due to servicing transfer
09/28/2016
$
(712,092)
$
1,553,439 Updated due to quarterly assessment and reallocation
10/14/2016
$
120,000
$
1,673,439 Transfer of cap due to servicing transfer
10/25/2016
$
(730,021)
$
943,418 Updated due to quarterly assessment and reallocation
11/07/2016
$
281,449
$
1,224,867 Updated due to quarterly assessment and reallocation
11/16/2016
$
80,000
$
1,304,867 Transfer of cap due to servicing transfer
11/29/2016
$
(5,980)
$
1,298,887 Updated due to quarterly assessment and reallocation
12/15/2016
$
850,000
$
2,148,887 Transfer of cap due to servicing transfer
12/27/2016
$
(1,922)
$
2,146,965 Transfer of cap due to servicing transfer
01/13/2017
$
520,000
$
2,666,965 Transfer of cap due to servicing transfer
02/16/2017
$
200,000
$
2,866,965 Transfer of cap due to servicing transfer
02/27/2017
$
(46,222)
$
2,820,743 Transfer of cap due to servicing transfer
03/16/2017
$
10,000
$
2,830,743 Transfer of cap due to servicing transfer
04/26/2017
$
(3,043)
$
2,827,700 Transfer of cap due to servicing transfer
06/26/2017
$
(22,277)
$
2,805,423 Transfer of cap due to servicing transfer
07/26/2017
$
(681)
$
2,804,742 Transfer of cap due to servicing transfer
09/26/2017
$
(884,668)
$
1,920,074 Transfer of cap due to servicing transfer
10/26/2017
$
(111,602)
$
1,808,472 Transfer of cap due to servicing transfer
12/21/2017
$
(112,992)
$
1,695,480 Transfer of cap due to servicing transfer
02/26/2018
$
(5,486)
$
1,689,994 Transfer of cap due to servicing transfer
03/22/2018
$
(18,460)
$
1,671,534 Transfer of cap due to servicing transfer
04/25/2018
$
(37,587)
$
1,633,947 Transfer of cap due to servicing transfer
06/21/2018
$
(6,480)
$
1,627,467 Transfer of cap due to servicing transfer
07/26/2018
$
(810,352)
$
01/22/2010
$
140,000
$
3,080,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
6,300,000
$
9,380,000 Updated portfolio data from servicer
07/14/2010
$
(1,980,000)
$
7,400,000 Updated portfolio data from servicer
09/30/2010
$
(6,384,611)
$
1,015,389 Updated portfolio data from servicer
01/06/2011
$
(1)
$
1,015,388 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
1,015,386 Updated due to quarterly assessment and reallocation
06/29/2011
$
(16)
$
1,015,370 Updated due to quarterly assessment and reallocation
06/28/2012
$
(12)
$
1,015,358 Updated due to quarterly assessment and reallocation
09/27/2012
$
(32)
$
1,015,326 Updated due to quarterly assessment and reallocation
12/27/2012
$
(5)
$
1,015,321 Updated due to quarterly assessment and reallocation
03/25/2013
$
(21)
$
1,015,300 Updated due to quarterly assessment and reallocation
06/27/2013
$
(8)
$
1,015,292 Updated due to quarterly assessment and reallocation
09/27/2013
$
(3)
$
1,015,289 Updated due to quarterly assessment and reallocation
12/23/2013
$
(4,716)
$
1,010,573 Updated due to quarterly assessment and reallocation
03/26/2014
$
(165)
$
1,010,408 Updated due to quarterly assessment and reallocation
06/26/2014
$
(1,944)
$
1,008,464 Updated due to quarterly assessment and reallocation
07/29/2014
$
(3,862)
$
1,004,602 Updated due to quarterly assessment and reallocation
09/29/2014
$
(1,276)
$
1,003,326 Updated due to quarterly assessment and reallocation
12/29/2014
$
(130,634)
$
872,692 Updated due to quarterly assessment and reallocation
03/26/2015
$
(49,137)
$
823,555 Updated due to quarterly assessment and reallocation
04/28/2015
$
(187,406)
$
636,149 Updated due to quarterly assessment and reallocation
06/25/2015
$
(45,604)
$
590,545 Updated due to quarterly assessment and reallocation
09/28/2015
$
(60,938)
$
529,607 Updated due to quarterly assessment and reallocation
12/28/2015
$
(41,224)
$
488,383 Updated due to quarterly assessment and reallocation
02/25/2016
$
(126,974)
$
361,409 Reallocation due to MHA program deobligation
03/28/2016
$
(2,655)
$
358,754 Updated due to quarterly assessment and reallocation
05/31/2016
$
(25,640)
$
333,114 Updated due to quarterly assessment and reallocation
06/27/2016
$
(15,317)
$
317,797 Updated due to quarterly assessment and reallocation
07/27/2016
$
(15,322)
$
302,475 Updated due to quarterly assessment and reallocation
09/28/2016
$
(26,835)
$
275,640 Updated due to quarterly assessment and reallocation
10/25/2016
$
(25,423)
$
250,217 Updated due to quarterly assessment and reallocation
11/07/2016
$
9,802
$
260,019 Updated due to quarterly assessment and reallocation
11/29/2016
$
(278)
$
259,741 Updated due to quarterly assessment and reallocation
12/27/2016
$
(43)
$
259,698 Transfer of cap due to servicing transfer
02/27/2017
$
(739)
$
258,959 Transfer of cap due to servicing transfer
04/26/2017
$
(66)
$
258,893 Transfer of cap due to servicing transfer
06/26/2017
$
(669)
$
258,224 Transfer of cap due to servicing transfer
07/26/2017
$
(20)
$
258,204 Transfer of cap due to servicing transfer
09/26/2017
$
(21,763)
$
236,441 Transfer of cap due to servicing transfer
817,115 Reallocation due to MHA program deobligation
86
Servicer Modifying Borrowers' Loans
Date
06/14/2018
07/29/2009
05/15/2014
09/30/2010
Name of Institution
Fifth Third Bank
FIRST BANK
First Citizens Bank & Trust Company
First Federal Bank of Florida
City
Cincinnati
St. Louis
Hendersonville
Lake City
Adjustment Details
State
Transaction
Type
Investment Description
OH
Purchase
Financial Instrument for Home Loan Modifications
MO
Purchase
Financial Instrument for Home Loan Modifications
NC
FL
Purchase
Purchase
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
$
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
10/26/2017
$
(2,699)
$
233,742 Transfer of cap due to servicing transfer
12/21/2017
$
(2,812)
$
230,930 Transfer of cap due to servicing transfer
02/26/2018
$
(171)
$
230,759 Transfer of cap due to servicing transfer
03/22/2018
$
(557)
$
230,202 Transfer of cap due to servicing transfer
04/25/2018
$
(1,101)
$
229,101 Transfer of cap due to servicing transfer
06/21/2018
$
(207)
$
228,894 Transfer of cap due to servicing transfer
07/26/2018
$
(48,696)
$
180,198 Reallocation due to MHA program deobligation
1 N/A
06/21/2018
$
14,999
$
6,460,000 N/A
09/30/2009
$
(1,530,000)
$
4,930,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
680,000
$
5,610,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
2,460,000
$
8,070,000 Updated portfolio data from servicer
07/14/2010
$
(2,470,000)
$
5,600,000 Updated portfolio data from servicer
09/30/2010
$
2,523,114
$
8,123,114 Updated portfolio data from servicer
01/06/2011
$
(2)
$
8,123,112 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
8,123,110 Updated due to quarterly assessment and reallocation
06/29/2011
$
(15)
$
8,123,095 Updated due to quarterly assessment and reallocation
06/28/2012
$
(3)
$
8,123,092 Updated due to quarterly assessment and reallocation
09/27/2012
$
(5)
$
8,123,087 Updated due to quarterly assessment and reallocation
12/27/2012
$
(1)
$
8,123,086 Updated due to quarterly assessment and reallocation
03/25/2013
$
(5)
$
8,123,081 Updated due to quarterly assessment and reallocation
06/27/2013
$
(1)
$
8,123,080 Updated due to quarterly assessment and reallocation
12/23/2013
$
(474)
$
8,122,606 Updated due to quarterly assessment and reallocation
03/26/2014
$
(18)
$
8,122,588 Updated due to quarterly assessment and reallocation
06/26/2014
$
(35)
$
8,122,553 Updated due to quarterly assessment and reallocation
07/29/2014
$
1,722
$
8,124,275 Updated due to quarterly assessment and reallocation
09/29/2014
$
33,199
$
8,157,474 Updated due to quarterly assessment and reallocation
12/29/2014
$
2,304,333
$
10,461,807 Updated due to quarterly assessment and reallocation
03/26/2015
$
4,415
$
10,466,222 Updated due to quarterly assessment and reallocation
04/28/2015
$
495,986
$
10,962,208 Updated due to quarterly assessment and reallocation
06/25/2015
$
38,337
$
11,000,545 Updated due to quarterly assessment and reallocation
09/28/2015
$
16,222
$
11,016,767 Updated due to quarterly assessment and reallocation
12/28/2015
$
12,289
$
11,029,056 Updated due to quarterly assessment and reallocation
02/25/2016
$
(392,747)
$
10,636,309 Reallocation due to MHA program deobligation
03/28/2016
$
(8,110)
$
10,628,199 Updated due to quarterly assessment and reallocation
05/16/2016
$
20,000
$
10,648,199 Transfer of cap due to servicing transfer
05/31/2016
$
(61,251)
$
10,586,948 Updated due to quarterly assessment and reallocation
06/27/2016
$
(33,414)
$
10,553,534 Updated due to quarterly assessment and reallocation
07/27/2016
$
(37,528)
$
10,516,006 Updated due to quarterly assessment and reallocation
09/28/2016
$
(44,662)
$
10,471,344 Updated due to quarterly assessment and reallocation
10/25/2016
$
(33,219)
$
10,438,125 Updated due to quarterly assessment and reallocation
11/07/2016
$
12,807
$
10,450,932 Updated due to quarterly assessment and reallocation
11/16/2016
$
(1,270,000)
$
9,180,932 Transfer of cap due to servicing transfer
11/29/2016
$
(4,768)
$
9,176,164 Updated due to quarterly assessment and reallocation
12/27/2016
$
(692)
$
9,175,472 Transfer of cap due to servicing transfer
02/27/2017
$
(11,690)
$
9,163,782 Transfer of cap due to servicing transfer
04/26/2017
$
(758)
$
9,163,024 Transfer of cap due to servicing transfer
06/26/2017
$
(5,946)
$
9,157,078 Transfer of cap due to servicing transfer
07/26/2017
$
(180)
$
9,156,898 Transfer of cap due to servicing transfer
09/26/2017
$
(23,170)
$
9,133,728 Transfer of cap due to servicing transfer
10/26/2017
$
(2,873)
$
9,130,855 Transfer of cap due to servicing transfer
12/21/2017
$
(2,993)
$
9,127,862 Transfer of cap due to servicing transfer
02/26/2018
$
(145)
$
9,127,717 Transfer of cap due to servicing transfer
03/22/2018
$
(474)
$
9,127,243 Transfer of cap due to servicing transfer
04/25/2018
$
(937)
$
9,126,306 Transfer of cap due to servicing transfer
06/21/2018
$
(176)
$
9,126,130 Transfer of cap due to servicing transfer
07/26/2018
$
(1,171,975)
$
7,954,155 Reallocation due to MHA program deobligation
05/15/2014
$
10,000
$
10,000 Transfer of cap due to servicing transfer
12/15/2016
$
20,000
$
30,000 Transfer of cap due to servicing transfer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
03/26/2015
$
(2,879)
$
133,928 Updated due to quarterly assessment and reallocation
04/28/2015
$
(11,347)
$
122,581 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,691)
$
119,890 Updated due to quarterly assessment and reallocation
- N/A
$
Note
100,000 N/A
3
15,000 Transfer of cap due to servicing transfer
87
Servicer Modifying Borrowers' Loans
Date
06/19/2009
Name of Institution
First Federal Savings and Loan
City
Port Angeles
Adjustment Details
State
WA
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
770,000 N/A
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
08/27/2010
First Financial Bank, N.A.
Terre Haute
ID
Purchase
Financial Instrument for Home Loan Modifications
$
4,300,000 N/A
11/25/2009
First Keystone Bank
Media
PA
Purchase
Financial Instrument for Home Loan Modifications
$
1,280,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
09/28/2015
$
(3,595)
$
116,295 Updated due to quarterly assessment and reallocation
12/28/2015
$
(2,660)
$
113,635 Updated due to quarterly assessment and reallocation
02/25/2016
$
(7,597)
$
106,038 Reallocation due to MHA program deobligation
03/28/2016
$
(159)
$
105,879 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,242)
$
104,637 Updated due to quarterly assessment and reallocation
06/27/2016
$
(742)
$
103,895 Updated due to quarterly assessment and reallocation
07/27/2016
$
(742)
$
103,153 Updated due to quarterly assessment and reallocation
09/28/2016
$
(1,298)
$
101,855 Updated due to quarterly assessment and reallocation
10/25/2016
$
(1,226)
$
100,629 Updated due to quarterly assessment and reallocation
11/07/2016
$
472
$
101,101 Updated due to quarterly assessment and reallocation
11/29/2016
$
(8)
$
101,093 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1)
$
101,092 Transfer of cap due to servicing transfer
02/27/2017
$
(22)
$
101,070 Transfer of cap due to servicing transfer
04/26/2017
$
(1)
$
101,069 Transfer of cap due to servicing transfer
06/26/2017
$
(11)
$
07/14/2017
$
(101,058)
12/30/2009
$
2,020,000
$
03/26/2010
$
11,370,000
$
05/26/2010
$
(14,160,000)
01/22/2010
$
160,000
04/21/2010
$
(3,620,000)
09/30/2010
$
7,014,337
$
11,314,337 Updated portfolio data from servicer
01/06/2011
$
(17)
$
11,314,320 Updated due to quarterly assessment and reallocation
03/30/2011
$
(20)
$
11,314,300 Updated due to quarterly assessment and reallocation
06/29/2011
$
(192)
$
11,314,108 Updated due to quarterly assessment and reallocation
06/28/2012
$
(144)
$
11,313,964 Updated due to quarterly assessment and reallocation
09/27/2012
$
(396)
$
11,313,568 Updated due to quarterly assessment and reallocation
12/27/2012
$
(67)
$
11,313,501 Updated due to quarterly assessment and reallocation
03/25/2013
$
(253)
$
11,313,248 Updated due to quarterly assessment and reallocation
06/27/2013
$
(95)
$
11,313,153 Updated due to quarterly assessment and reallocation
09/27/2013
$
(34)
$
11,313,119 Updated due to quarterly assessment and reallocation
12/23/2013
$
(57,776)
$
11,255,343 Updated due to quarterly assessment and reallocation
03/26/2014
$
(2,031)
$
11,253,312 Updated due to quarterly assessment and reallocation
06/26/2014
$
(23,972)
$
11,229,340 Updated due to quarterly assessment and reallocation
07/29/2014
$
(47,613)
$
11,181,727 Updated due to quarterly assessment and reallocation
09/29/2014
$
(15,728)
$
11,165,999 Updated due to quarterly assessment and reallocation
12/29/2014
$
(1,905,128)
$
9,260,871 Updated due to quarterly assessment and reallocation
03/26/2015
$
(716,488)
$
8,544,383 Updated due to quarterly assessment and reallocation
04/28/2015
$
(2,824,053)
$
5,720,330 Updated due to quarterly assessment and reallocation
06/25/2015
$
(669,754)
$
5,050,576 Updated due to quarterly assessment and reallocation
07/16/2015
$
10,000
$
5,060,576 Transfer of cap due to servicing transfer
09/28/2015
$
(896,475)
$
4,164,101 Updated due to quarterly assessment and reallocation
12/28/2015
$
(663,462)
$
3,500,639 Updated due to quarterly assessment and reallocation
02/25/2016
$
(1,894,718)
$
1,605,921 Reallocation due to MHA program deobligation
03/28/2016
$
(39,578)
$
1,566,343 Updated due to quarterly assessment and reallocation
05/31/2016
$
(309,770)
$
1,256,573 Updated due to quarterly assessment and reallocation
06/27/2016
$
(185,051)
$
1,071,522 Updated due to quarterly assessment and reallocation
07/27/2016
$
(185,107)
$
886,415 Updated due to quarterly assessment and reallocation
09/28/2016
$
(323,721)
$
562,694 Updated due to quarterly assessment and reallocation
10/25/2016
$
(305,894)
$
256,800 Updated due to quarterly assessment and reallocation
11/07/2016
$
117,933
$
374,733 Updated due to quarterly assessment and reallocation
11/29/2016
$
(2,116)
$
372,617 Updated due to quarterly assessment and reallocation
12/27/2016
$
(323)
$
372,294 Transfer of cap due to servicing transfer
02/27/2017
$
(5,606)
$
366,688 Transfer of cap due to servicing transfer
04/26/2017
$
(367)
$
366,321 Transfer of cap due to servicing transfer
06/26/2017
$
(2,826)
$
363,495 Transfer of cap due to servicing transfer
07/26/2017
$
(85)
$
363,410 Transfer of cap due to servicing transfer
09/26/2017
$
(112,706)
$
250,704 Transfer of cap due to servicing transfer
10/26/2017
$
(13,977)
$
236,727 Transfer of cap due to servicing transfer
12/21/2017
$
(14,561)
$
222,166 Transfer of cap due to servicing transfer
02/26/2018
$
(707)
$
221,459 Transfer of cap due to servicing transfer
03/22/2018
$
(2,305)
$
219,154 Transfer of cap due to servicing transfer
04/25/2018
$
(4,556)
$
214,598 Transfer of cap due to servicing transfer
06/21/2018
$
(854)
$
07/26/2018
$
(95,986)
$
01/22/2010
$
50,000
$
1,330,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
1,020,000
$
2,350,000 Updated portfolio data from servicer
07/14/2010
$
(950,000)
$
09/30/2010
$
50,556
$
1,450,556 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,450,554 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
1,450,552 Updated due to quarterly assessment and reallocation
06/16/2011
$
(100,000)
$
1,350,552 Transfer of cap due to servicing transfer
101,058 Transfer of cap due to servicing transfer
- Termination of SPA
2,790,000 Updated portfolio data from servicer/additional program initial cap
14,160,000 Updated portfolio data from servicer
- Termination of SPA
$
3,620,000 Updated portfolio data from servicer/additional program initial cap
- Termination of SPA
213,744 Transfer of cap due to servicing transfer
117,758 Reallocation due to MHA program deobligation
1,400,000 Updated portfolio data from servicer
88
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
01/13/2017
First Merchants Bank
Muncie
IN
Purchase
Financial Instrument for Home Loan Modifications
06/16/2014
First Mortgage Company, LLC
Oklahoma City
OK
Purchase
Financial Instrument for Home Loan Modifications
09/30/2010
First Mortgage Corporation
Diamond Bar
CA
Purchase
Financial Instrument for Home Loan Modifications
01/13/2010
07/14/2017
09/30/2010
04/14/2016
09/30/2010
First National Bank of Grant Park
First National Bank of Pennsylvania
First Safety Bank
First State Bank
Flagstar Capital Markets Corporation
Grant Park
Hermitage
Cincinnati
Mendota
Troy
IL
PA
OH
IL
MI
Purchase
Purchase
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
$
$
$
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
Florida Community Bank, NA
Weston
FL
Purchase
Financial Instrument for Home Loan Modifications
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
06/29/2011
$
(21)
6
07/22/2011
$
(1,335,614)
$
14,917 Termination of SPA
3
01/13/2017
$
10,000
$
10,000 Transfer of cap due to servicing transfer
- N/A
3
06/16/2014
$
20,000
$
08/16/2017
$
(20,000)
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
03/26/2015
$
(2,879)
$
133,928 Updated due to quarterly assessment and reallocation
04/28/2015
$
(11,347)
$
122,581 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,691)
$
119,890 Updated due to quarterly assessment and reallocation
09/28/2015
$
(3,595)
$
116,295 Updated due to quarterly assessment and reallocation
12/28/2015
$
(2,660)
$
113,635 Updated due to quarterly assessment and reallocation
02/16/2016
$
(10,000)
$
103,635 Transfer of cap due to servicing transfer
02/25/2016
$
(2,025)
$
101,610 Reallocation due to MHA program deobligation
03/28/2016
$
(42)
$
101,568 Updated due to quarterly assessment and reallocation
05/16/2016
$
(20,000)
$
07/14/2016
$
(10,000)
$
03/26/2010
$
150,000
$
290,000 Updated portfolio data from servicer
07/14/2010
$
10,000
$
300,000 Updated portfolio data from servicer
09/30/2010
$
(9,889)
$
290,111 Updated portfolio data from servicer
01/26/2011
$
(290,111)
07/26/2017
$
29,232
09/26/2017
$
1,524
$
09/30/2010
$
180,222
$
580,222 Updated portfolio data from servicer
01/06/2011
$
(1)
$
580,221 Updated due to quarterly assessment and reallocation
03/23/2011
$
(580,221)
04/14/2016
$
30,000
$
30,000 Transfer of cap due to servicing transfer
05/31/2016
$
588
$
30,588 Updated due to quarterly assessment and reallocation
100,000 N/A
140,000 N/A
1 N/A
400,000 N/A
3
800,000 N/A
3
02/13/2014
Adjustment
Date
- N/A
- N/A
$
Note
- N/A
3
$
1,350,531 Updated due to quarterly assessment and reallocation
20,000 Transfer of cap due to servicing transfer
- Termination of SPA
81,568 Transfer of cap due to servicing transfer
71,568 Transfer of cap due to servicing transfer
- Termination of SPA
$
29,233 Transfer of cap due to servicing transfer
30,757 Transfer of cap due to servicing transfer
- Termination of SPA
09/30/2010
$
360,445
$
1,160,445 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,160,443 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
1,160,441 Updated due to quarterly assessment and reallocation
06/29/2011
$
(18)
$
1,160,423 Updated due to quarterly assessment and reallocation
06/28/2012
$
(14)
$
1,160,409 Updated due to quarterly assessment and reallocation
09/27/2012
$
(37)
$
1,160,372 Updated due to quarterly assessment and reallocation
12/27/2012
$
(6)
$
1,160,366 Updated due to quarterly assessment and reallocation
03/25/2013
$
(24)
$
1,160,342 Updated due to quarterly assessment and reallocation
06/27/2013
$
(9)
$
1,160,333 Updated due to quarterly assessment and reallocation
09/27/2013
$
(3)
$
1,160,330 Updated due to quarterly assessment and reallocation
12/23/2013
$
(5,463)
$
1,154,867 Updated due to quarterly assessment and reallocation
03/26/2014
$
(192)
$
1,154,675 Updated due to quarterly assessment and reallocation
06/26/2014
$
(2,267)
$
1,152,408 Updated due to quarterly assessment and reallocation
07/01/2014
$
(1,152,408)
04/16/2015
$
10,000
$
10,000 Transfer of cap due to servicing transfer
05/14/2015
$
10,000
$
20,000 Transfer of cap due to servicing transfer
01/14/2016
$
10,000
$
30,000 Transfer of cap due to servicing transfer
09/15/2016
$
10,000
$
01/13/2017
$
10,000
$
50,000 Transfer of cap due to servicing transfer
02/13/2014
$
150,000
$
150,000 Transfer of cap due to servicing transfer
03/26/2014
$
(2)
$
149,998 Updated due to quarterly assessment and reallocation
04/16/2014
$
20,000
$
169,998 Transfer of cap due to servicing transfer
06/26/2014
$
(37)
$
169,961 Updated due to quarterly assessment and reallocation
07/29/2014
$
(73)
$
169,888 Updated due to quarterly assessment and reallocation
09/29/2014
$
(25)
$
169,863 Updated due to quarterly assessment and reallocation
12/29/2014
$
27,160
$
197,023 Updated due to quarterly assessment and reallocation
03/26/2015
$
(16)
$
197,007 Updated due to quarterly assessment and reallocation
04/28/2015
$
(64)
$
196,943 Updated due to quarterly assessment and reallocation
06/25/2015
$
(15)
$
196,928 Updated due to quarterly assessment and reallocation
09/28/2015
$
(20)
$
196,908 Updated due to quarterly assessment and reallocation
12/28/2015
$
(14,536)
$
182,372 Updated due to quarterly assessment and reallocation
02/25/2016
$
(45,046)
$
137,326 Reallocation due to MHA program deobligation
03/16/2016
$
(10,000)
$
127,326 Transfer of cap due to servicing transfer
03/28/2016
$
(718)
$
126,608 Updated due to quarterly assessment and reallocation
05/31/2016
$
(5,621)
$
120,987 Updated due to quarterly assessment and reallocation
- Termination of SPA
40,000 Transfer of cap due to servicing transfer
89
Servicer Modifying Borrowers' Loans
Date
02/16/2017
09/11/2009
09/30/2010
Name of Institution
FNF Servicing, Inc
Franklin Credit Management
Corporation
Franklin Savings
City
Virginia Beach
Jersey City
Cincinnati
Adjustment Details
State
VA
NJ
OH
Transaction
Type
Purchase
Purchase
Purchase
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
$
$
27,510,000 N/A
1,700,000 N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
06/27/2016
$
(3,358)
$
117,629 Updated due to quarterly assessment and reallocation
07/27/2016
$
(3,359)
$
114,270 Updated due to quarterly assessment and reallocation
09/15/2016
$
(30,000)
$
84,270 Transfer of cap due to servicing transfer
02/16/2017
$
3,650,000
$
3,650,000 Transfer of cap due to servicing transfer
02/27/2017
$
(71,085)
$
3,578,915 Transfer of cap due to servicing transfer
04/26/2017
$
(4,716)
$
3,574,199 Transfer of cap due to servicing transfer
06/26/2017
$
(36,368)
$
3,537,831 Transfer of cap due to servicing transfer
07/26/2017
$
(1,101)
$
3,536,730 Transfer of cap due to servicing transfer
09/26/2017
$
(1,447,261)
$
2,089,469 Transfer of cap due to servicing transfer
10/26/2017
$
(179,493)
$
1,909,976 Transfer of cap due to servicing transfer
12/21/2017
$
(187,643)
$
1,722,333 Transfer of cap due to servicing transfer
02/26/2018
$
(9,111)
$
1,713,222 Transfer of cap due to servicing transfer
03/22/2018
$
(29,704)
$
1,683,518 Transfer of cap due to servicing transfer
04/25/2018
$
(58,728)
$
1,624,790 Transfer of cap due to servicing transfer
06/21/2018
$
(4,452)
$
1,620,338 Transfer of cap due to servicing transfer
07/26/2018
$
(703,010)
$
10/02/2009
$
6,010,000
$
33,520,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(19,750,000)
$
13,770,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(4,780,000)
$
07/14/2010
$
(2,390,000)
$
09/30/2010
$
2,973,670
$
9,573,670 Updated portfolio data from servicer
01/06/2011
$
(3)
$
9,573,667 Updated due to quarterly assessment and reallocation
02/16/2011
$
(1,800,000)
$
7,773,667 Transfer of cap due to servicing transfer
03/30/2011
$
(6)
$
7,773,661 Updated due to quarterly assessment and reallocation
06/29/2011
$
(61)
$
7,773,600 Updated due to quarterly assessment and reallocation
10/14/2011
$
(100,000)
$
7,673,600 Transfer of cap due to servicing transfer
06/28/2012
$
(58)
$
7,673,542 Updated due to quarterly assessment and reallocation
09/27/2012
$
(164)
$
7,673,378 Updated due to quarterly assessment and reallocation
12/27/2012
$
(29)
$
7,673,349 Updated due to quarterly assessment and reallocation
03/25/2013
$
(110)
$
7,673,239 Updated due to quarterly assessment and reallocation
06/27/2013
$
(42)
$
7,673,197 Updated due to quarterly assessment and reallocation
09/27/2013
$
(15)
$
7,673,182 Updated due to quarterly assessment and reallocation
12/23/2013
$
(25,724)
$
7,647,458 Updated due to quarterly assessment and reallocation
03/14/2014
$
40,000
$
7,687,458 Transfer of cap due to servicing transfer
03/26/2014
$
(913)
$
7,686,545 Updated due to quarterly assessment and reallocation
06/26/2014
$
(10,778)
$
7,675,767 Updated due to quarterly assessment and reallocation
07/29/2014
$
(21,410)
$
7,654,357 Updated due to quarterly assessment and reallocation
09/29/2014
$
(7,073)
$
7,647,284 Updated due to quarterly assessment and reallocation
12/29/2014
$
(757,196)
$
6,890,088 Updated due to quarterly assessment and reallocation
03/26/2015
$
(284,769)
$
6,605,319 Updated due to quarterly assessment and reallocation
04/16/2015
$
(10,000)
$
6,595,319 Transfer of cap due to servicing transfer
04/28/2015
$
(1,122,099)
$
5,473,220 Updated due to quarterly assessment and reallocation
06/25/2015
$
(266,118)
$
5,207,102 Updated due to quarterly assessment and reallocation
08/14/2015
$
(10,000)
$
5,197,102 Transfer of cap due to servicing transfer
09/28/2015
$
(353,677)
$
4,843,425 Updated due to quarterly assessment and reallocation
11/16/2015
$
(10,000)
$
4,833,425 Transfer of cap due to servicing transfer
12/28/2015
$
(257,877)
$
4,575,548 Updated due to quarterly assessment and reallocation
02/25/2016
$
(843,088)
$
3,732,460 Reallocation due to MHA program deobligation
03/28/2016
$
(17,611)
$
3,714,849 Updated due to quarterly assessment and reallocation
05/31/2016
$
(137,838)
$
3,577,011 Updated due to quarterly assessment and reallocation
06/27/2016
$
(82,341)
$
3,494,670 Updated due to quarterly assessment and reallocation
07/27/2016
$
(83,487)
$
3,411,183 Updated due to quarterly assessment and reallocation
08/16/2016
$
(130,000)
$
3,281,183 Transfer of cap due to servicing transfer
09/28/2016
$
(95,638)
$
3,185,545 Updated due to quarterly assessment and reallocation
10/25/2016
$
(90,372)
$
3,095,173 Updated due to quarterly assessment and reallocation
11/07/2016
$
34,842
$
3,130,015 Updated due to quarterly assessment and reallocation
11/29/2016
$
(1,930)
$
3,128,085 Updated due to quarterly assessment and reallocation
12/27/2016
$
(295)
$
3,127,790 Transfer of cap due to servicing transfer
02/27/2017
$
(5,112)
$
3,122,678 Transfer of cap due to servicing transfer
04/26/2017
$
(335)
$
3,122,343 Transfer of cap due to servicing transfer
06/26/2017
$
(2,577)
$
3,119,766 Transfer of cap due to servicing transfer
07/26/2017
$
(78)
$
3,119,688 Transfer of cap due to servicing transfer
09/26/2017
$
(30,310)
$
3,089,378 Transfer of cap due to servicing transfer
10/26/2017
$
(3,759)
$
3,085,619 Transfer of cap due to servicing transfer
12/21/2017
$
(3,916)
$
3,081,703 Transfer of cap due to servicing transfer
02/26/2018
$
(190)
$
3,081,513 Transfer of cap due to servicing transfer
03/22/2018
$
(620)
$
3,080,893 Transfer of cap due to servicing transfer
04/25/2018
$
(1,225)
$
06/21/2018
$
(230)
$
3,079,438 Transfer of cap due to servicing transfer
07/26/2018
$
(411,742)
$
2,667,696 Reallocation due to MHA program deobligation
09/30/2010
$
765,945
$
2,465,945 Updated portfolio data from servicer
01/06/2011
$
(4)
$
2,465,941 Updated due to quarterly assessment and reallocation
917,328 Reallocation due to MHA program deobligation
8,990,000 Updated portfolio data from servicer
6,600,000 Updated portfolio data from servicer
3,079,668 Transfer of cap due to servicing transfer
90
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
02/16/2016
Freedom Mortgage Corporation
Fishers
IN
Purchase
Financial Instrument for Home Loan Modifications
01/13/2010
Fresno County Federal Credit Union
Fresno
CA
Purchase
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
- N/A
$
Note
Gateway Mortgage Group, LLC
Tulsa
OK
Purchase
Financial Instrument for Home Loan Modifications
$
Atlanta
GA
Purchase
Financial Instrument for Home Loan Modifications
09/30/2010
GFA Federal Credit Union
Gardner
MA
Purchase
Financial Instrument for Home Loan Modifications
$
100,000 N/A
09/23/2009
Glass City Federal Credit Union
Maumee
OH
Purchase
Financial Instrument for Home Loan Modifications
$
230,000 N/A
- N/A
Reason for Adjustment
$
(4)
$
2,465,937 Updated due to quarterly assessment and reallocation
$
(40)
$
2,465,897 Updated due to quarterly assessment and reallocation
06/28/2012
$
(30)
$
2,465,867 Updated due to quarterly assessment and reallocation
09/27/2012
$
(83)
$
2,465,784 Updated due to quarterly assessment and reallocation
12/27/2012
$
(14)
$
2,465,770 Updated due to quarterly assessment and reallocation
03/25/2013
$
(53)
$
2,465,717 Updated due to quarterly assessment and reallocation
06/14/2013
$
(10,000)
$
2,455,717 Transfer of cap due to servicing transfer
06/27/2013
$
(20)
$
2,455,697 Updated due to quarterly assessment and reallocation
09/27/2013
$
(7)
$
2,455,690 Updated due to quarterly assessment and reallocation
6
10/24/2013
$
(2,446,075)
$
3
02/16/2016
$
10,000
$
07/14/2016
$
01/13/2017
$
10,000
$
03/26/2010
$
480,000
$
740,000 Updated portfolio data from servicer
07/14/2010
$
(140,000)
$
600,000 Updated portfolio data from servicer
09/30/2010
$
(19,778)
$
580,222 Updated portfolio data from servicer
01/06/2011
$
(1)
$
580,221 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
580,220 Updated due to quarterly assessment and reallocation
06/29/2011
$
(8)
$
580,212 Updated due to quarterly assessment and reallocation
06/28/2012
$
(6)
$
07/06/2012
$
(555,252)
$
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
03/26/2015
$
(2,879)
$
133,928 Updated due to quarterly assessment and reallocation
04/28/2015
$
(11,347)
$
122,581 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,691)
$
119,890 Updated due to quarterly assessment and reallocation
09/28/2015
$
(3,595)
$
116,295 Updated due to quarterly assessment and reallocation
12/28/2015
$
(2,660)
$
113,635 Updated due to quarterly assessment and reallocation
02/25/2016
$
(7,597)
$
106,038 Reallocation due to MHA program deobligation
03/28/2016
$
(159)
$
105,879 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,242)
$
104,637 Updated due to quarterly assessment and reallocation
06/27/2016
$
(742)
$
103,895 Updated due to quarterly assessment and reallocation
07/27/2016
$
(742)
$
103,153 Updated due to quarterly assessment and reallocation
09/28/2016
$
(1,298)
$
101,855 Updated due to quarterly assessment and reallocation
10/25/2016
$
(1,226)
$
100,629 Updated due to quarterly assessment and reallocation
11/07/2016
$
472
$
101,101 Updated due to quarterly assessment and reallocation
11/29/2016
$
(8)
$
101,093 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1)
$
101,092 Transfer of cap due to servicing transfer
02/27/2017
$
(22)
$
101,070 Transfer of cap due to servicing transfer
04/26/2017
$
(1)
$
101,069 Transfer of cap due to servicing transfer
06/26/2017
$
(11)
$
101,058 Transfer of cap due to servicing transfer
08/16/2017
$
(101,058)
05/14/2015
$
40,000
$
40,000 Transfer of cap due to servicing transfer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
03/23/2011
$
(145,056)
10/02/2009
$
60,000
$
290,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(10,000)
$
280,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
130,000
$
410,000 Updated portfolio data from servicer
07/14/2010
$
(110,000)
$
300,000 Updated portfolio data from servicer
09/30/2010
$
(9,889)
$
290,111 Updated portfolio data from servicer
06/29/2011
$
(3)
$
290,108 Updated due to quarterly assessment and reallocation
06/28/2012
$
(2)
$
290,106 Updated due to quarterly assessment and reallocation
09/27/2012
$
(7)
$
290,099 Updated due to quarterly assessment and reallocation
12/27/2012
$
(1)
$
290,098 Updated due to quarterly assessment and reallocation
03/25/2013
$
(4)
$
290,094 Updated due to quarterly assessment and reallocation
06/27/2013
$
(2)
$
290,092 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
290,091 Updated due to quarterly assessment and reallocation
12/23/2013
$
(979)
$
289,112 Updated due to quarterly assessment and reallocation
03/26/2014
$
(34)
$
289,078 Updated due to quarterly assessment and reallocation
06/26/2014
$
(406)
$
288,672 Updated due to quarterly assessment and reallocation
07/29/2014
$
(807)
$
287,865 Updated due to quarterly assessment and reallocation
09/29/2014
$
(267)
$
287,598 Updated due to quarterly assessment and reallocation
100,000 N/A
Georgia Housing & Finance Authority
DBA State Home Mortgage
Adjusted CAP
06/29/2011
260,000 N/A
05/14/2015
CAP Adjustment Amount
03/30/2011
6
09/30/2010
Adjustment
Date
3
10,000
$
9,615 Termination of SPA
10,000 Transfer of cap due to servicing transfer
20,000 Transfer of cap due to servicing transfer
30,000 Transfer of cap due to servicing transfer
580,206 Updated due to quarterly assessment and reallocation
24,954 Termination of SPA
- Termination of SPA
- Termination of SPA
91
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
Note
6
12/11/2009
12/16/2009
12/23/2009
10/14/2009
01/13/2010
Glenview State Bank
Golden Plains Credit Union
Grafton Suburban Credit Union
Great Lakes Credit Union
Greater Nevada LLC dba Greater
Nevada Mortgage
Glenview
Garden City
North Grafton
North Chicago
Carson City
IL
KS
MA
IL
NV
Purchase
Purchase
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
$
$
$
370,000 N/A
170,000 N/A
340,000 N/A
570,000 N/A
770,000 N/A
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
11/03/2014
$
(275,124)
$
01/22/2010
$
20,000
$
03/26/2010
$
1,250,000
$
05/26/2010
$
(1,640,000)
01/22/2010
$
10,000
$
180,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
30,000
$
210,000 Updated portfolio data from servicer
07/14/2010
$
(10,000)
$
200,000 Updated portfolio data from servicer
09/30/2010
$
90,111
$
290,111 Updated portfolio data from servicer
02/17/2011
$
(290,111)
01/22/2010
$
20,000
$
360,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(320,000)
$
40,000 Updated portfolio data from servicer
07/14/2010
$
760,000
$
800,000 Updated portfolio data from servicer
09/30/2010
$
(74,722)
$
725,278 Updated portfolio data from servicer
01/06/2011
$
(1)
$
725,277 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
725,276 Updated due to quarterly assessment and reallocation
06/29/2011
$
(11)
$
01/25/2012
$
(725,265)
12/30/2009
$
1,030,000
$
03/26/2010
$
(880,000)
$
720,000 Updated portfolio data from servicer
07/14/2010
$
(320,000)
$
400,000 Updated portfolio data from servicer
09/30/2010
$
180,222
$
580,222 Updated portfolio data from servicer
01/06/2011
$
(1)
$
580,221 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
580,220 Updated due to quarterly assessment and reallocation
06/29/2011
$
(8)
$
580,212 Updated due to quarterly assessment and reallocation
06/28/2012
$
(6)
$
580,206 Updated due to quarterly assessment and reallocation
09/27/2012
$
(17)
$
580,189 Updated due to quarterly assessment and reallocation
12/27/2012
$
(3)
$
580,186 Updated due to quarterly assessment and reallocation
03/25/2013
$
(11)
$
580,175 Updated due to quarterly assessment and reallocation
06/27/2013
$
(4)
$
580,171 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
580,170 Updated due to quarterly assessment and reallocation
12/23/2013
$
(2,438)
$
577,732 Updated due to quarterly assessment and reallocation
03/26/2014
$
(86)
$
577,646 Updated due to quarterly assessment and reallocation
06/26/2014
$
(925)
$
576,721 Updated due to quarterly assessment and reallocation
07/29/2014
$
(1,789)
$
574,932 Updated due to quarterly assessment and reallocation
09/29/2014
$
(607)
$
574,325 Updated due to quarterly assessment and reallocation
12/29/2014
$
(64,898)
$
509,427 Updated due to quarterly assessment and reallocation
03/26/2015
$
(25,379)
$
484,048 Updated due to quarterly assessment and reallocation
04/28/2015
$
(85,402)
$
398,646 Updated due to quarterly assessment and reallocation
06/25/2015
$
(19,002)
$
379,644 Updated due to quarterly assessment and reallocation
09/28/2015
$
(23,268)
$
356,376 Updated due to quarterly assessment and reallocation
12/28/2015
$
(20,061)
$
336,315 Updated due to quarterly assessment and reallocation
02/25/2016
$
(71,077)
$
265,238 Reallocation due to MHA program deobligation
03/28/2016
$
(1,485)
$
263,753 Updated due to quarterly assessment and reallocation
05/31/2016
$
(11,620)
$
252,133 Updated due to quarterly assessment and reallocation
06/27/2016
$
(7,883)
$
244,250 Updated due to quarterly assessment and reallocation
07/27/2016
$
(7,886)
$
236,364 Updated due to quarterly assessment and reallocation
09/28/2016
$
(13,790)
$
222,574 Updated due to quarterly assessment and reallocation
10/25/2016
$
(13,031)
$
209,543 Updated due to quarterly assessment and reallocation
11/07/2016
$
5,024
$
214,567 Updated due to quarterly assessment and reallocation
11/29/2016
$
(177)
$
214,390 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1)
$
214,389 Transfer of cap due to servicing transfer
02/27/2017
$
(166)
$
214,223 Transfer of cap due to servicing transfer
04/26/2017
$
(26)
$
214,197 Transfer of cap due to servicing transfer
06/26/2017
$
(201)
$
213,996 Transfer of cap due to servicing transfer
07/26/2017
$
(4)
$
213,992 Transfer of cap due to servicing transfer
09/26/2017
$
(690)
$
213,302 Transfer of cap due to servicing transfer
10/26/2017
$
(86)
$
213,216 Transfer of cap due to servicing transfer
12/21/2017
$
(89)
$
213,127 Transfer of cap due to servicing transfer
02/26/2018
$
(4)
$
213,123 Transfer of cap due to servicing transfer
03/22/2018
$
(14)
$
213,109 Transfer of cap due to servicing transfer
04/25/2018
$
(28)
$
213,081 Transfer of cap due to servicing transfer
06/21/2018
$
(5)
$
213,076 Transfer of cap due to servicing transfer
07/26/2018
$
(27,471)
$
03/26/2010
$
8,680,000
$
9,450,000 Updated portfolio data from servicer
07/14/2010
$
(8,750,000)
$
700,000 Updated portfolio data from servicer
09/30/2010
$
170,334
$
870,334 Updated portfolio data from servicer
01/06/2011
$
(1)
$
870,333 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
870,332 Updated due to quarterly assessment and reallocation
06/29/2011
$
(8)
$
870,324 Updated due to quarterly assessment and reallocation
06/28/2012
$
(4)
$
870,320 Updated due to quarterly assessment and reallocation
09/27/2012
$
(10)
$
870,310 Updated due to quarterly assessment and reallocation
12/27/2012
$
(2)
$
870,308 Updated due to quarterly assessment and reallocation
12,474 Termination of SPA
390,000 Updated portfolio data from servicer/additional program initial cap
1,640,000 Updated portfolio data from servicer
- Termination of SPA
- Termination of SPA
725,265 Updated due to quarterly assessment and reallocation
- Termination of SPA
1,600,000 Updated portfolio data from servicer/additional program initial cap
185,605 Reallocation due to MHA program deobligation
92
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Gregory Funding, LLC
Beaverton
OR
Purchase
Financial Instrument for Home Loan Modifications
- N/A
3
Reason for Adjustment
03/25/2013
$
(7)
$
870,301 Updated due to quarterly assessment and reallocation
06/27/2013
$
(2)
$
870,299 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
870,298 Updated due to quarterly assessment and reallocation
12/23/2013
$
(1,504)
$
868,794 Updated due to quarterly assessment and reallocation
03/26/2014
$
(43)
$
868,751 Updated due to quarterly assessment and reallocation
06/26/2014
$
(491)
$
868,260 Updated due to quarterly assessment and reallocation
07/29/2014
$
(975)
$
867,285 Updated due to quarterly assessment and reallocation
09/29/2014
$
(322)
$
866,963 Updated due to quarterly assessment and reallocation
12/29/2014
$
(10,113)
$
03/26/2015
$
(1,772)
$
855,078 Updated due to quarterly assessment and reallocation
04/28/2015
$
497,659
$
1,352,737 Updated due to quarterly assessment and reallocation
06/25/2015
$
(757)
$
1,351,980 Updated due to quarterly assessment and reallocation
09/28/2015
$
(5,586)
$
1,346,394 Updated due to quarterly assessment and reallocation
12/28/2015
$
(10,273)
$
1,336,121 Updated due to quarterly assessment and reallocation
02/25/2016
$
(215,610)
$
1,120,511 Reallocation due to MHA program deobligation
03/28/2016
$
(5,125)
$
1,115,386 Updated due to quarterly assessment and reallocation
05/31/2016
$
(47,567)
$
1,067,819 Updated due to quarterly assessment and reallocation
06/27/2016
$
(31,239)
$
1,036,580 Updated due to quarterly assessment and reallocation
07/27/2016
$
(31,248)
$
1,005,332 Updated due to quarterly assessment and reallocation
09/28/2016
$
(32,990)
$
972,342 Updated due to quarterly assessment and reallocation
10/25/2016
$
76,377
$
1,048,719 Updated due to quarterly assessment and reallocation
-
$
1,048,719 Updated due to quarterly assessment and reallocation
11/07/2016
07/14/2011
Adjusted CAP
856,850 Updated due to quarterly assessment and reallocation
11/29/2016
$
(236)
$
1,048,483 Updated due to quarterly assessment and reallocation
12/27/2016
$
(30)
$
1,048,453 Transfer of cap due to servicing transfer
02/27/2017
$
(740)
$
1,047,713 Transfer of cap due to servicing transfer
04/26/2017
$
(49)
$
1,047,664 Transfer of cap due to servicing transfer
06/26/2017
$
(432)
$
1,047,232 Transfer of cap due to servicing transfer
07/26/2017
$
(13)
$
1,047,219 Transfer of cap due to servicing transfer
09/26/2017
$
18,941
$
1,066,160 Transfer of cap due to servicing transfer
10/26/2017
$
(546)
$
1,065,614 Transfer of cap due to servicing transfer
12/21/2017
$
(568)
$
1,065,046 Transfer of cap due to servicing transfer
02/26/2018
$
21,114
$
1,086,160 Transfer of cap due to servicing transfer
07/26/2018
$
(137,488)
$
948,672 Reallocation due to MHA program deobligation
07/14/2011
$
200,000
$
200,000 Transfer of cap due to servicing transfer
11/16/2011
$
900,000
$
1,100,000 Transfer of cap due to servicing transfer
01/13/2012
$
100,000
$
1,200,000 Transfer of cap due to servicing transfer
06/28/2012
$
(9)
$
1,199,991 Updated due to quarterly assessment and reallocation
08/16/2012
$
20,000
$
1,219,991 Transfer of cap due to servicing transfer
09/27/2012
$
(26)
$
1,219,965 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 Transfer of cap due to servicing transfer
12/27/2012
$
(5)
$
1,279,960 Updated due to quarterly assessment and reallocation
01/16/2013
$
130,000
$
1,409,960 Transfer of cap due to servicing transfer
02/14/2013
$
120,000
$
1,529,960 Transfer of cap due to servicing transfer
03/25/2013
$
(20)
$
1,529,940 Updated due to quarterly assessment and reallocation
05/16/2013
$
80,000
$
1,609,940 Transfer of cap due to servicing transfer
06/14/2013
$
420,000
$
2,029,940 Transfer of cap due to servicing transfer
06/27/2013
$
(10)
$
2,029,930 Updated due to quarterly assessment and reallocation
09/27/2013
$
(4)
$
2,029,926 Updated due to quarterly assessment and reallocation
11/14/2013
$
120,000
$
2,149,926 Transfer of cap due to servicing transfer
12/23/2013
$
(7,685)
$
2,142,241 Updated due to quarterly assessment and reallocation
03/14/2014
$
10,000
$
2,152,241 Transfer of cap due to servicing transfer
03/26/2014
$
(274)
$
2,151,967 Updated due to quarterly assessment and reallocation
04/16/2014
$
240,000
$
2,391,967 Transfer of cap due to servicing transfer
06/16/2014
$
30,000
$
2,421,967 Transfer of cap due to servicing transfer
06/26/2014
$
(3,396)
$
2,418,571 Updated due to quarterly assessment and reallocation
07/29/2014
$
(6,541)
$
2,412,030 Updated due to quarterly assessment and reallocation
08/14/2014
$
90,000
$
2,502,030 Transfer of cap due to servicing transfer
09/16/2014
$
30,000
$
2,532,030 Transfer of cap due to servicing transfer
09/29/2014
$
(2,150)
$
2,529,880 Updated due to quarterly assessment and reallocation
11/14/2014
$
100,000
$
2,629,880 Transfer of cap due to servicing transfer
12/16/2014
$
260,000
$
2,889,880 Transfer of cap due to servicing transfer
12/29/2014
$
(122,632)
$
2,767,248 Updated due to quarterly assessment and reallocation
01/15/2015
$
60,000
$
2,827,248 Transfer of cap due to servicing transfer
03/16/2015
$
690,000
$
3,517,248 Transfer of cap due to servicing transfer
03/26/2015
$
(37,405)
$
3,479,843 Updated due to quarterly assessment and reallocation
04/28/2015
$
(144,484)
$
3,335,359 Updated due to quarterly assessment and reallocation
06/25/2015
$
(41,229)
$
3,294,130 Updated due to quarterly assessment and reallocation
07/16/2015
$
40,000
$
08/14/2015
$
1,860,000
$
5,194,130 Transfer of cap due to servicing transfer
09/16/2015
$
1,560,000
$
6,754,130 Transfer of cap due to servicing transfer
09/28/2015
$
(408,264)
$
6,345,866 Updated due to quarterly assessment and reallocation
10/15/2015
$
740,000
$
7,085,866 Transfer of cap due to servicing transfer
3,334,130 Transfer of cap due to servicing transfer
93
Servicer Modifying Borrowers' Loans
Date
09/30/2010
Name of Institution
Guaranty Bank
City
Saint Paul
Adjustment Details
State
MN
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
100,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
12/16/2015
$
550,000
$
7,635,866 Transfer of cap due to servicing transfer
12/28/2015
$
(469,266)
$
7,166,600 Updated due to quarterly assessment and reallocation
01/14/2016
$
630,000
$
7,796,600 Transfer of cap due to servicing transfer
02/16/2016
$
740,000
$
8,536,600 Transfer of cap due to servicing transfer
02/25/2016
$
(2,389,111)
$
6,147,489 Reallocation due to MHA program deobligation
03/16/2016
$
180,000
$
6,327,489 Transfer of cap due to servicing transfer
03/28/2016
$
(53,531)
$
6,273,958 Updated due to quarterly assessment and reallocation
04/14/2016
$
750,000
$
7,023,958 Transfer of cap due to servicing transfer
05/16/2016
$
150,000
$
7,173,958 Transfer of cap due to servicing transfer
05/31/2016
$
(600,618)
$
6,573,340 Updated due to quarterly assessment and reallocation
06/16/2016
$
560,000
$
7,133,340 Transfer of cap due to servicing transfer
06/27/2016
$
(358,730)
$
6,774,610 Updated due to quarterly assessment and reallocation
07/14/2016
$
120,000
$
6,894,610 Transfer of cap due to servicing transfer
07/27/2016
$
(382,192)
$
6,512,418 Updated due to quarterly assessment and reallocation
08/16/2016
$
140,000
$
6,652,418 Transfer of cap due to servicing transfer
09/15/2016
$
50,000
$
6,702,418 Transfer of cap due to servicing transfer
09/28/2016
$
(787,465)
$
5,914,953 Updated due to quarterly assessment and reallocation
10/14/2016
$
1,190,000
$
7,104,953 Transfer of cap due to servicing transfer
10/25/2016
$
(986,994)
$
6,117,959 Updated due to quarterly assessment and reallocation
11/07/2016
$
380,521
$
6,498,480 Updated due to quarterly assessment and reallocation
11/29/2016
$
(10,149)
$
6,488,331 Updated due to quarterly assessment and reallocation
12/15/2016
$
1,390,000
$
7,878,331 Transfer of cap due to servicing transfer
12/27/2016
$
(2,551)
$
7,875,780 Transfer of cap due to servicing transfer
01/13/2017
$
970,000
$
02/27/2017
$
(58,951)
$
8,786,829 Transfer of cap due to servicing transfer
03/16/2017
$
1,290,000
$
10,076,829 Transfer of cap due to servicing transfer
04/26/2017
$
(4,964)
$
10,071,865 Transfer of cap due to servicing transfer
06/26/2017
$
(38,353)
$
10,033,512 Transfer of cap due to servicing transfer
07/26/2017
$
(1,076)
$
10,032,436 Transfer of cap due to servicing transfer
09/26/2017
$
(1,238,850)
$
8,793,586 Transfer of cap due to servicing transfer
10/26/2017
$
(145,067)
$
12/21/2017
$
(166,410)
$
8,482,109 Transfer of cap due to servicing transfer
02/26/2018
$
2,319,830
$
10,801,939 Transfer of cap due to servicing transfer
03/22/2018
$
(5,200)
$
10,796,739 Transfer of cap due to servicing transfer
04/25/2018
$
(7,833)
$
10,788,906 Transfer of cap due to servicing transfer
06/21/2018
$
(373)
$
10,788,533 Transfer of cap due to servicing transfer
07/26/2018
$
(1,340,938)
$
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
03/26/2015
$
(2,879)
$
133,928 Updated due to quarterly assessment and reallocation
04/28/2015
$
(11,347)
$
122,581 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,691)
$
119,890 Updated due to quarterly assessment and reallocation
09/28/2015
$
(3,595)
$
116,295 Updated due to quarterly assessment and reallocation
12/28/2015
$
(2,660)
$
113,635 Updated due to quarterly assessment and reallocation
02/25/2016
$
(7,597)
$
106,038 Reallocation due to MHA program deobligation
03/28/2016
$
(159)
$
105,879 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,242)
$
104,637 Updated due to quarterly assessment and reallocation
06/27/2016
$
(742)
$
103,895 Updated due to quarterly assessment and reallocation
07/27/2016
$
(742)
$
103,153 Updated due to quarterly assessment and reallocation
09/28/2016
$
(1,298)
$
101,855 Updated due to quarterly assessment and reallocation
10/25/2016
$
(1,226)
$
100,629 Updated due to quarterly assessment and reallocation
11/07/2016
$
472
$
101,101 Updated due to quarterly assessment and reallocation
11/29/2016
$
(8)
$
101,093 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1)
$
101,092 Transfer of cap due to servicing transfer
02/27/2017
$
(22)
$
101,070 Transfer of cap due to servicing transfer
04/26/2017
$
(1)
$
101,069 Transfer of cap due to servicing transfer
06/26/2017
$
(11)
$
101,058 Transfer of cap due to servicing transfer
09/26/2017
$
(453)
$
100,605 Transfer of cap due to servicing transfer
10/26/2017
$
(56)
$
100,549 Transfer of cap due to servicing transfer
12/21/2017
$
(58)
$
100,491 Transfer of cap due to servicing transfer
02/26/2018
$
(3)
$
100,488 Transfer of cap due to servicing transfer
03/22/2018
$
(9)
$
100,479 Transfer of cap due to servicing transfer
04/25/2018
$
(18)
$
100,461 Transfer of cap due to servicing transfer
06/21/2018
$
(3)
$
100,458 Transfer of cap due to servicing transfer
8,845,780 Transfer of cap due to servicing transfer
8,648,519 Transfer of cap due to servicing transfer
9,447,595 Reallocation due to MHA program deobligation
94
Servicer Modifying Borrowers' Loans
Date
03/15/2018
10/28/2009
12/11/2009
05/15/2014
11/18/2009
Name of Institution
Guardian Mortgage Company, Inc
Harleysville National Bank & Trust
Company
Hartford Savings Bank
Heartland Bank & Trust Company
Hillsdale County National Bank
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
07/26/2018
$
(386)
$
Richardson
TX
Purchase
Financial Instrument for Home Loan Modifications
$
1 N/A
03/22/2018
$
88,274
$
Harleysville
PA
Purchase
Financial Instrument for Home Loan Modifications
$
1,070,000 N/A
04/21/2010
$
(1,070,000)
Hartford
WI
Purchase
Financial Instrument for Home Loan Modifications
$
630,000 N/A
01/22/2010
$
30,000
$
03/26/2010
$
800,000
$
1,460,000 Updated portfolio data from servicer
07/14/2010
$
(360,000)
$
1,100,000 Updated portfolio data from servicer
09/30/2010
$
60,445
$
1,160,445 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,160,443 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
1,160,441 Updated due to quarterly assessment and reallocation
06/29/2011
$
(18)
$
1,160,423 Updated due to quarterly assessment and reallocation
06/28/2012
$
(14)
$
1,160,409 Updated due to quarterly assessment and reallocation
09/27/2012
$
(37)
$
1,160,372 Updated due to quarterly assessment and reallocation
12/27/2012
$
(6)
$
1,160,366 Updated due to quarterly assessment and reallocation
03/25/2013
$
(24)
$
1,160,342 Updated due to quarterly assessment and reallocation
06/27/2013
$
(9)
$
1,160,333 Updated due to quarterly assessment and reallocation
09/27/2013
$
(3)
$
1,160,330 Updated due to quarterly assessment and reallocation
12/23/2013
$
(5,463)
$
1,154,867 Updated due to quarterly assessment and reallocation
03/26/2014
$
(192)
$
1,154,675 Updated due to quarterly assessment and reallocation
06/26/2014
$
(2,267)
$
1,152,408 Updated due to quarterly assessment and reallocation
07/29/2014
$
(4,502)
$
1,147,906 Updated due to quarterly assessment and reallocation
09/29/2014
$
(1,487)
$
1,146,419 Updated due to quarterly assessment and reallocation
12/29/2014
$
(180,152)
$
966,267 Updated due to quarterly assessment and reallocation
03/26/2015
$
(67,752)
$
898,515 Updated due to quarterly assessment and reallocation
04/02/2015
$
(898,515)
05/15/2014
$
90,000
$
06/26/2014
$
20,556
$
110,556 Updated due to quarterly assessment and reallocation
09/29/2014
$
(1)
$
110,555 Updated due to quarterly assessment and reallocation
12/29/2014
$
80,001
$
190,556 Updated due to quarterly assessment and reallocation
03/26/2015
$
(24)
$
190,532 Updated due to quarterly assessment and reallocation
04/28/2015
$
(131)
$
190,401 Updated due to quarterly assessment and reallocation
06/25/2015
$
(56)
$
190,345 Updated due to quarterly assessment and reallocation
09/28/2015
$
(131)
$
190,214 Updated due to quarterly assessment and reallocation
12/28/2015
$
(1,938)
$
188,276 Updated due to quarterly assessment and reallocation
02/25/2016
$
(11,380)
$
176,896 Reallocation due to MHA program deobligation
03/28/2016
$
(238)
$
176,658 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,860)
$
174,798 Updated due to quarterly assessment and reallocation
06/27/2016
$
(1,111)
$
173,687 Updated due to quarterly assessment and reallocation
07/27/2016
$
(1,112)
$
172,575 Updated due to quarterly assessment and reallocation
09/28/2016
$
(1,944)
$
170,631 Updated due to quarterly assessment and reallocation
10/25/2016
$
(1,838)
$
168,793 Updated due to quarterly assessment and reallocation
11/07/2016
$
709
$
169,502 Updated due to quarterly assessment and reallocation
11/29/2016
$
(85)
$
169,417 Updated due to quarterly assessment and reallocation
12/27/2016
$
(13)
$
169,404 Transfer of cap due to servicing transfer
02/27/2017
$
(224)
$
169,180 Transfer of cap due to servicing transfer
04/26/2017
$
(15)
$
169,165 Transfer of cap due to servicing transfer
06/26/2017
$
(113)
$
169,052 Transfer of cap due to servicing transfer
07/26/2017
$
(3)
$
169,049 Transfer of cap due to servicing transfer
09/26/2017
$
(512)
$
168,537 Transfer of cap due to servicing transfer
10/26/2017
$
(64)
$
168,473 Transfer of cap due to servicing transfer
12/21/2017
$
(66)
$
168,407 Transfer of cap due to servicing transfer
02/26/2018
$
(3)
$
168,404 Transfer of cap due to servicing transfer
03/22/2018
$
(10)
$
168,394 Transfer of cap due to servicing transfer
04/25/2018
$
(21)
$
168,373 Transfer of cap due to servicing transfer
06/21/2018
$
(4)
$
168,369 Transfer of cap due to servicing transfer
07/26/2018
$
(21,684)
$
01/22/2010
$
80,000
$
1,750,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
330,000
$
2,080,000 Updated portfolio data from servicer
07/14/2010
$
(1,080,000)
$
1,000,000 Updated portfolio data from servicer
09/30/2010
$
160,445
$
1,160,445 Updated portfolio data from servicer
01/06/2011
$
(1)
$
1,160,444 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
1,160,442 Updated due to quarterly assessment and reallocation
06/29/2011
$
(16)
$
1,160,426 Updated due to quarterly assessment and reallocation
06/28/2012
$
(12)
$
1,160,414 Updated due to quarterly assessment and reallocation
09/27/2012
$
(33)
$
1,160,381 Updated due to quarterly assessment and reallocation
12/27/2012
$
(6)
$
1,160,375 Updated due to quarterly assessment and reallocation
03/25/2013
$
(21)
$
1,160,354 Updated due to quarterly assessment and reallocation
06/27/2013
$
(8)
$
1,160,346 Updated due to quarterly assessment and reallocation
09/27/2013
$
(3)
$
12/23/2013
$
(4,797)
$
1,155,546 Updated due to quarterly assessment and reallocation
03/26/2014
$
(169)
$
1,155,377 Updated due to quarterly assessment and reallocation
06/26/2014
$
(1,996)
$
1,153,381 Updated due to quarterly assessment and reallocation
07/29/2014
$
(3,965)
$
1,149,416 Updated due to quarterly assessment and reallocation
Bloomington
Hillsdale
IL
MI
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
- N/A
$
1,670,000 N/A
3
100,072 Reallocation due to MHA program deobligation
88,275 Transfer of cap due to servicing transfer
- Termination of SPA
660,000 Updated portfolio data from servicer/additional program initial cap
- Termination of SPA
90,000 Transfer of cap due to servicing transfer
146,685 Reallocation due to MHA program deobligation
1,160,343 Updated due to quarterly assessment and reallocation
95
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
09/29/2014
$
(1,311)
$
1,148,105 Updated due to quarterly assessment and reallocation
12/29/2014
$
(144,011)
$
1,004,094 Updated due to quarterly assessment and reallocation
03/26/2015
$
(55,020)
$
949,074 Updated due to quarterly assessment and reallocation
04/28/2015
$
(152,138)
$
796,936 Updated due to quarterly assessment and reallocation
06/25/2015
$
(33,425)
$
763,511 Updated due to quarterly assessment and reallocation
09/28/2015
$
(44,706)
$
718,805 Updated due to quarterly assessment and reallocation
12/28/2015
$
(34,106)
$
684,699 Updated due to quarterly assessment and reallocation
02/25/2016
$
(179,660)
$
505,039 Reallocation due to MHA program deobligation
03/28/2016
$
(3,907)
$
501,132 Updated due to quarterly assessment and reallocation
05/31/2016
$
(30,583)
$
470,549 Updated due to quarterly assessment and reallocation
06/27/2016
$
(18,270)
$
452,279 Updated due to quarterly assessment and reallocation
07/27/2016
$
(19,396)
$
432,883 Updated due to quarterly assessment and reallocation
09/28/2016
$
17,598
$
450,481 Updated due to quarterly assessment and reallocation
11/29/2016
$
(193)
$
450,288 Updated due to quarterly assessment and reallocation
12/27/2016
$
(29)
$
450,259 Transfer of cap due to servicing transfer
02/27/2017
$
(511)
$
449,748 Transfer of cap due to servicing transfer
04/26/2017
$
(33)
$
449,715 Transfer of cap due to servicing transfer
06/26/2017
$
(257)
$
449,458 Transfer of cap due to servicing transfer
07/26/2017
$
(8)
$
449,450 Transfer of cap due to servicing transfer
09/26/2017
$
1,031
$
450,481 Transfer of cap due to servicing transfer
03/22/2018
$
(112)
$
450,369 Transfer of cap due to servicing transfer
04/25/2018
$
(221)
$
450,148 Transfer of cap due to servicing transfer
06/21/2018
$
333
$
450,481 Transfer of cap due to servicing transfer
$
07/26/2018
$
(57,023)
11/25/2009
Home Financing Center, Inc
Coral Gables
FL
Purchase
Financial Instrument for Home Loan Modifications
$
230,000 N/A
04/21/2010
$
(230,000)
04/20/2009
Home Loan Services, Inc.
Pittsburgh
PA
Purchase
Financial Instrument for Home Loan Modifications
$
319,000,000 N/A
06/12/2009
$
128,300,000
$
447,300,000 Updated portfolio data from servicer
09/30/2009
$
46,730,000
$
494,030,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
145,820,000
$
639,850,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(17,440,000)
$
622,410,000 Updated portfolio data from servicer
07/14/2010
$
(73,010,000)
$
549,400,000 Updated portfolio data from servicer
09/30/2010
$
6,700,000
$
556,100,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(77,126,410)
$
478,973,590 Updated portfolio data from servicer
12/15/2010
$
(314,900,000)
$
164,073,590 Transfer of cap due to servicing transfer
01/06/2011
$
(233)
$
164,073,357 Updated due to quarterly assessment and reallocation
02/16/2011
$
(1,900,000)
$
162,173,357 Transfer of cap due to servicing transfer
03/16/2011
$
(400,000)
$
161,773,357 Transfer of cap due to servicing transfer
03/30/2011
$
(278)
$
161,773,079 Updated due to quarterly assessment and reallocation
05/13/2011
$
(400,000)
$
161,373,079 Transfer of cap due to servicing transfer
06/29/2011
$
(2,625)
$
161,370,454 Updated due to quarterly assessment and reallocation
7
10/19/2011
$
(155,061,221)
$
3
02/14/2013
$
510,000
$
510,000 Transfer of cap due to servicing transfer
03/25/2013
$
(9)
$
509,991 Updated due to quarterly assessment and reallocation
04/16/2013
$
200,000
$
709,991 Transfer of cap due to servicing transfer
05/16/2013
$
40,000
$
749,991 Transfer of cap due to servicing transfer
06/27/2013
$
(4)
$
749,987 Updated due to quarterly assessment and reallocation
07/16/2013
$
(120,000)
$
629,987 Transfer of cap due to servicing transfer
09/27/2013
$
(2)
$
629,985 Updated due to quarterly assessment and reallocation
12/23/2013
$
(2,620)
$
627,365 Updated due to quarterly assessment and reallocation
03/26/2014
$
(92)
$
627,273 Updated due to quarterly assessment and reallocation
06/26/2014
$
(1,088)
$
626,185 Updated due to quarterly assessment and reallocation
07/29/2014
$
(2,161)
$
624,024 Updated due to quarterly assessment and reallocation
09/16/2014
$
(290,000)
$
334,024 Transfer of cap due to servicing transfer
09/29/2014
$
(332)
$
333,692 Updated due to quarterly assessment and reallocation
12/29/2014
$
(40,233)
$
293,459 Updated due to quarterly assessment and reallocation
03/26/2015
$
(15,131)
$
278,328 Updated due to quarterly assessment and reallocation
04/28/2015
$
(59,638)
$
218,690 Updated due to quarterly assessment and reallocation
06/16/2015
$
70,000
$
288,690 Transfer of cap due to servicing transfer
06/25/2015
$
(22,485)
$
266,205 Updated due to quarterly assessment and reallocation
07/16/2015
$
20,000
$
286,205 Transfer of cap due to servicing transfer
08/14/2015
$
350,000
$
636,205 Transfer of cap due to servicing transfer
09/28/2015
$
(76,282)
$
559,923 Updated due to quarterly assessment and reallocation
12/16/2015
$
30,000
$
589,923 Transfer of cap due to servicing transfer
12/28/2015
$
(64,113)
$
525,810 Updated due to quarterly assessment and reallocation
02/25/2016
$
(189,556)
$
336,254 Reallocation due to MHA program deobligation
03/16/2016
$
430,000
$
766,254 Transfer of cap due to servicing transfer
03/28/2016
$
(14,867)
$
751,387 Updated due to quarterly assessment and reallocation
05/16/2016
$
10,000
$
761,387 Transfer of cap due to servicing transfer
05/31/2016
$
(124,921)
$
636,466 Updated due to quarterly assessment and reallocation
06/16/2016
$
330,000
$
966,466 Transfer of cap due to servicing transfer
06/27/2016
$
(123,685)
$
842,781 Updated due to quarterly assessment and reallocation
07/27/2016
$
(123,723)
$
08/16/2016
$
280,000
$
999,058 Transfer of cap due to servicing transfer
09/15/2016
$
490,000
$
1,489,058 Transfer of cap due to servicing transfer
02/14/2013
Home Servicing, LLC
Baton Rouge
LA
Purchase
Financial Instrument for Home Loan Modifications
- N/A
393,458 Reallocation due to MHA program deobligation
- Termination of SPA
6,309,233 Termination of SPA
719,058 Updated due to quarterly assessment and reallocation
96
Servicer Modifying Borrowers' Loans
Date
08/05/2009
Name of Institution
HomEq Servicing
City
North Highlands
Adjustment Details
State
CA
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
Note
674,000,000 N/A
13
12/11/2009
HomeStar Bank & Financial Services
Manteno
IL
Purchase
Financial Instrument for Home Loan Modifications
$
310,000 N/A
6
07/22/2009
Homeward Residential, Inc. (American
Coppell
Home Mortgage Servicing, Inc)
TX
Purchase
Financial Instrument for Home Loan Modifications
$
1,272,490,000 N/A
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
09/28/2016
$
(478,102)
$
1,010,956 Updated due to quarterly assessment and reallocation
10/25/2016
$
(451,774)
$
559,182 Updated due to quarterly assessment and reallocation
11/07/2016
$
174,175
$
733,357 Updated due to quarterly assessment and reallocation
11/29/2016
$
(3,266)
$
12/27/2016
$
(499)
$
729,592 Transfer of cap due to servicing transfer
01/13/2017
$
710,000
$
1,439,592 Transfer of cap due to servicing transfer
02/16/2017
$
30,000
$
1,469,592 Transfer of cap due to servicing transfer
02/27/2017
$
(22,809)
$
1,446,783 Transfer of cap due to servicing transfer
03/16/2017
$
10,000
$
1,456,783 Transfer of cap due to servicing transfer
04/26/2017
$
(1,495)
$
1,455,288 Transfer of cap due to servicing transfer
06/26/2017
$
(12,036)
$
1,443,252 Transfer of cap due to servicing transfer
07/26/2017
$
(364)
$
1,442,888 Transfer of cap due to servicing transfer
09/26/2017
$
(472,007)
$
970,881 Transfer of cap due to servicing transfer
10/26/2017
$
(58,536)
$
912,345 Transfer of cap due to servicing transfer
12/21/2017
$
(60,980)
$
851,365 Transfer of cap due to servicing transfer
02/26/2018
$
(2,960)
$
848,405 Transfer of cap due to servicing transfer
03/22/2018
$
(9,652)
$
838,753 Transfer of cap due to servicing transfer
04/25/2018
$
(19,082)
$
819,671 Transfer of cap due to servicing transfer
06/21/2018
$
(4,432)
$
07/26/2018
$
(526,376)
$
09/30/2009
$
(121,190,000)
$
552,810,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(36,290,000)
$
516,520,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
199,320,000
$
715,840,000 Updated portfolio data from servicer
07/14/2010
$
(189,040,000)
$
526,800,000 Updated portfolio data from servicer
09/30/2010
$
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 Transfer of cap due to servicing transfer
01/06/2011
$
(549)
$
372,426,179 Updated due to quarterly assessment and reallocation
02/16/2011
$
(900,000)
$
371,526,179 Transfer of cap due to servicing transfer
03/30/2011
$
(653)
$
371,525,526 Updated due to quarterly assessment and reallocation
06/29/2011
$
(6,168)
$
371,519,358 Updated due to quarterly assessment and reallocation
06/28/2012
$
(4,634)
$
371,514,724 Updated due to quarterly assessment and reallocation
08/16/2012
$
(430,000)
$
371,084,724 Transfer of cap due to servicing transfer
09/27/2012
$
(12,728)
$
371,071,996 Updated due to quarterly assessment and reallocation
12/14/2012
$
(20,000)
$
371,051,996 Transfer of cap due to servicing transfer
12/27/2012
$
(2,148)
$
371,049,848 Updated due to quarterly assessment and reallocation
03/25/2013
$
(8,137)
$
371,041,711 Updated due to quarterly assessment and reallocation
06/27/2013
$
(3,071)
$
371,038,640 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1,101)
$
371,037,539 Updated due to quarterly assessment and reallocation
11/14/2013
$
(10,000)
$
371,027,539 Transfer of cap due to servicing transfer
12/23/2013
$
(1,858,220)
$
369,169,319 Updated due to quarterly assessment and reallocation
02/27/2014
$
(360,860,500)
$
01/22/2010
$
20,000
$
03/26/2010
$
820,000
$
1,150,000 Updated portfolio data from servicer
07/14/2010
$
(350,000)
$
800,000 Updated portfolio data from servicer
09/30/2010
$
70,334
$
870,334 Updated portfolio data from servicer
01/06/2011
$
(1)
$
870,333 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
870,332 Updated due to quarterly assessment and reallocation
06/29/2011
$
(13)
$
870,319 Updated due to quarterly assessment and reallocation
06/28/2012
$
(10)
$
870,309 Updated due to quarterly assessment and reallocation
07/06/2012
$
(856,986)
$
09/30/2009
$
(53,670,000)
$
1,218,820,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
250,450,000
$
1,469,270,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
124,820,000
$
1,594,090,000 Updated portfolio data from servicer
07/14/2010
$
(289,990,000)
$
1,304,100,000 Updated portfolio data from servicer
09/30/2010
$
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
01/06/2011
$
(1,173)
$
1,305,989,335 Updated due to quarterly assessment and reallocation
02/16/2011
$
(500,000)
$
1,305,489,335 Transfer of cap due to servicing transfer
03/30/2011
$
(1,400)
$
1,305,487,935 Updated due to quarterly assessment and reallocation
04/13/2011
$
3,100,000
$
1,308,587,935 Transfer of cap due to servicing transfer
06/29/2011
$
(12,883)
$
1,308,575,052 Updated due to quarterly assessment and reallocation
09/15/2011
$
(1,000,000)
$
1,307,575,052 Transfer of cap due to servicing transfer
10/14/2011
$
(100,000)
$
1,307,475,052 Transfer of cap due to servicing transfer
11/16/2011
$
(1,100,000)
$
1,306,375,052 Transfer of cap due to servicing transfer
05/16/2012
$
(10,000)
$
1,306,365,052 Transfer of cap due to servicing transfer
06/28/2012
$
(8,378)
$
1,306,356,674 Updated due to quarterly assessment and reallocation
07/16/2012
$
(470,000)
$
1,305,886,674 Transfer of cap due to servicing transfer
08/16/2012
$
(80,000)
$
1,305,806,674 Transfer of cap due to servicing transfer
09/27/2012
$
(22,494)
$
1,305,784,180 Updated due to quarterly assessment and reallocation
730,091 Updated due to quarterly assessment and reallocation
815,239 Transfer of cap due to servicing transfer
288,863 Reallocation due to MHA program deobligation
8,308,819 Termination of SPA
330,000 Updated portfolio data from servicer/additional program initial cap
13,323 Termination of SPA
97
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
Note
14
09/02/2009
12/16/2009
Horicon Bank
Horizon Bank, NA
Horicon
Michigan City
WI
IN
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
560,000 N/A
700,000 N/A
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
10/16/2012
$
(260,000)
$
1,305,524,180 Transfer of cap due to servicing transfer
11/15/2012
$
(30,000)
$
1,305,494,180 Transfer of cap due to servicing transfer
12/14/2012
$
(50,000)
$
1,305,444,180 Transfer of cap due to servicing transfer
12/27/2012
$
(3,676)
$
1,305,440,504 Updated due to quarterly assessment and reallocation
01/16/2013
$
(80,000)
$
1,305,360,504 Transfer of cap due to servicing transfer
02/14/2013
$
20,000
$
1,305,380,504 Transfer of cap due to servicing transfer
03/14/2013
$
(84,160,000)
$
1,221,220,504 Transfer of cap due to servicing transfer
03/25/2013
$
(12,821)
$
1,221,207,683 Updated due to quarterly assessment and reallocation
04/16/2013
$
(621,110,000)
$
600,097,683 Transfer of cap due to servicing transfer
05/16/2013
$
(19,120,000)
$
580,977,683 Transfer of cap due to servicing transfer
06/27/2013
$
(1,947)
$
580,975,736 Updated due to quarterly assessment and reallocation
07/16/2013
$
(14,870,000)
$
566,105,736 Transfer of cap due to servicing transfer
09/27/2013
$
(655)
$
566,105,081 Updated due to quarterly assessment and reallocation
12/16/2013
$
20,000
$
566,125,081 Transfer of cap due to servicing transfer
12/23/2013
$
(1,110,189)
$
565,014,892 Updated due to quarterly assessment and reallocation
03/26/2014
$
(39,031)
$
564,975,861 Updated due to quarterly assessment and reallocation
04/16/2014
$
(10,000)
$
564,965,861 Transfer of cap due to servicing transfer
05/28/2014
$
(284,475,088)
$
280,490,773 Termination of SPA
10/02/2009
$
130,000
$
690,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
1,040,000
$
1,730,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(1,680,000)
$
50,000 Updated portfolio data from servicer
05/12/2010
$
1,260,000
$
1,310,000 Updated portfolio data from servicer
07/14/2010
$
(1,110,000)
$
200,000 Updated portfolio data from servicer
09/30/2010
$
100,000
$
300,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(9,889)
$
290,111 Updated portfolio data from servicer
06/29/2011
$
(3)
$
290,108 Updated due to quarterly assessment and reallocation
06/28/2012
$
(2)
$
290,106 Updated due to quarterly assessment and reallocation
09/27/2012
$
(7)
$
290,099 Updated due to quarterly assessment and reallocation
12/27/2012
$
(1)
$
290,098 Updated due to quarterly assessment and reallocation
03/25/2013
$
(4)
$
290,094 Updated due to quarterly assessment and reallocation
06/27/2013
$
(2)
$
290,092 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
290,091 Updated due to quarterly assessment and reallocation
12/23/2013
$
(979)
$
289,112 Updated due to quarterly assessment and reallocation
03/26/2014
$
(34)
$
289,078 Updated due to quarterly assessment and reallocation
06/26/2014
$
(406)
$
288,672 Updated due to quarterly assessment and reallocation
07/29/2014
$
(807)
$
287,865 Updated due to quarterly assessment and reallocation
09/29/2014
$
(267)
$
287,598 Updated due to quarterly assessment and reallocation
12/29/2014
$
(32,297)
$
255,301 Updated due to quarterly assessment and reallocation
03/26/2015
$
(12,146)
$
243,155 Updated due to quarterly assessment and reallocation
04/28/2015
$
(47,875)
$
195,280 Updated due to quarterly assessment and reallocation
06/25/2015
$
(11,354)
$
183,926 Updated due to quarterly assessment and reallocation
09/28/2015
$
(15,167)
$
168,759 Updated due to quarterly assessment and reallocation
12/28/2015
$
(11,225)
$
157,534 Updated due to quarterly assessment and reallocation
02/25/2016
$
(32,056)
$
125,478 Reallocation due to MHA program deobligation
03/28/2016
$
(670)
$
124,808 Updated due to quarterly assessment and reallocation
05/31/2016
$
(5,241)
$
119,567 Updated due to quarterly assessment and reallocation
06/27/2016
$
(3,131)
$
116,436 Updated due to quarterly assessment and reallocation
07/27/2016
$
(3,132)
$
113,304 Updated due to quarterly assessment and reallocation
09/28/2016
$
(5,476)
$
107,828 Updated due to quarterly assessment and reallocation
10/25/2016
$
(5,175)
$
102,653 Updated due to quarterly assessment and reallocation
11/07/2016
$
1,995
$
104,648 Updated due to quarterly assessment and reallocation
11/29/2016
$
(36)
$
104,612 Updated due to quarterly assessment and reallocation
12/27/2016
$
(5)
$
104,607 Transfer of cap due to servicing transfer
02/27/2017
$
(95)
$
104,512 Transfer of cap due to servicing transfer
04/26/2017
$
(6)
$
104,506 Transfer of cap due to servicing transfer
06/26/2017
$
(48)
$
104,458 Transfer of cap due to servicing transfer
07/26/2017
$
(1)
$
104,457 Transfer of cap due to servicing transfer
09/26/2017
$
(1,907)
$
102,550 Transfer of cap due to servicing transfer
10/26/2017
$
(237)
$
102,313 Transfer of cap due to servicing transfer
12/21/2017
$
(246)
$
102,067 Transfer of cap due to servicing transfer
02/26/2018
$
(12)
$
102,055 Transfer of cap due to servicing transfer
03/22/2018
$
(39)
$
102,016 Transfer of cap due to servicing transfer
04/25/2018
$
(77)
$
101,939 Transfer of cap due to servicing transfer
06/21/2018
$
(14)
$
101,925 Transfer of cap due to servicing transfer
07/26/2018
$
(1,624)
$
100,301 Reallocation due to MHA program deobligation
01/22/2010
$
30,000
$
730,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
1,740,000
$
07/14/2010
$
(1,870,000)
$
600,000 Updated portfolio data from servicer
09/30/2010
$
850,556
$
1,450,556 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,450,554 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
1,450,552 Updated due to quarterly assessment and reallocation
06/29/2011
$
(23)
$
1,450,529 Updated due to quarterly assessment and reallocation
06/28/2012
$
(17)
$
1,450,512 Updated due to quarterly assessment and reallocation
2,470,000 Updated portfolio data from servicer
98
Servicer Modifying Borrowers' Loans
Date
12/23/2009
Name of Institution
Iberiabank
City
Sarasota
Adjustment Details
State
FL
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
Note
4,230,000 N/A
6
07/10/2009
IBM Southeast Employees' Federal
Credit Union
Delray Beach
FL
Purchase
Financial Instrument for Home Loan Modifications
$
870,000 N/A
6
10/23/2009
12/04/2009
IC Federal Credit Union
Idaho Housing and Finance
Association
Fitchburg
Boise
MA
ID
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
760,000 N/A
9,430,000 N/A
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
(1,450,512)
Reason for Adjustment
09/21/2012
$
01/22/2010
$
200,000
$
4,430,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(1,470,000)
$
2,960,000 Updated portfolio data from servicer
07/14/2010
$
(1,560,000)
$
1,400,000 Updated portfolio data from servicer
09/30/2010
$
5,852,780
$
7,252,780 Updated portfolio data from servicer
01/06/2011
$
(11)
$
7,252,769 Updated due to quarterly assessment and reallocation
03/30/2011
$
(13)
$
7,252,756 Updated due to quarterly assessment and reallocation
04/13/2011
$
(300,000)
$
6,952,756 Transfer of cap due to servicing transfer
06/03/2011
$
(6,927,254)
$
09/30/2009
$
(10,000)
$
860,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
250,000
$
1,110,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(10,000)
$
1,100,000 Updated portfolio data from servicer
07/14/2010
$
(400,000)
$
700,000 Updated portfolio data from servicer
09/30/2010
$
170,334
$
870,334 Updated portfolio data from servicer
01/06/2011
$
(1)
$
870,333 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
870,332 Updated due to quarterly assessment and reallocation
06/29/2011
$
(12)
$
870,320 Updated due to quarterly assessment and reallocation
06/28/2012
$
(9)
$
09/14/2012
$
(821,722)
$
01/22/2010
$
40,000
$
03/26/2010
$
(760,000)
$
40,000 Updated portfolio data from servicer
05/12/2010
$
2,630,000
$
2,670,000 Updated portfolio data from servicer
07/14/2010
$
(770,000)
$
1,900,000 Updated portfolio data from servicer
09/30/2010
$
565,945
$
2,465,945 Updated portfolio data from servicer
01/06/2011
$
(4)
$
2,465,941 Updated due to quarterly assessment and reallocation
03/30/2011
$
(4)
$
2,465,937 Updated due to quarterly assessment and reallocation
06/29/2011
$
(40)
$
2,465,897 Updated due to quarterly assessment and reallocation
06/28/2012
$
(29)
$
2,465,868 Updated due to quarterly assessment and reallocation
09/27/2012
$
(80)
$
2,465,788 Updated due to quarterly assessment and reallocation
12/27/2012
$
(14)
$
2,465,774 Updated due to quarterly assessment and reallocation
03/25/2013
$
(52)
$
2,465,722 Updated due to quarterly assessment and reallocation
06/27/2013
$
(19)
$
2,465,703 Updated due to quarterly assessment and reallocation
09/27/2013
$
(7)
$
2,465,696 Updated due to quarterly assessment and reallocation
12/23/2013
$
(11,558)
$
2,454,138 Updated due to quarterly assessment and reallocation
03/26/2014
$
(410)
$
2,453,728 Updated due to quarterly assessment and reallocation
06/26/2014
$
(4,837)
$
2,448,891 Updated due to quarterly assessment and reallocation
07/29/2014
$
(9,607)
$
2,439,284 Updated due to quarterly assessment and reallocation
09/29/2014
$
(3,173)
$
2,436,111 Updated due to quarterly assessment and reallocation
12/29/2014
$
(374,717)
$
2,061,394 Updated due to quarterly assessment and reallocation
03/26/2015
$
(140,949)
$
1,920,445 Updated due to quarterly assessment and reallocation
04/28/2015
$
(534,653)
$
1,385,792 Updated due to quarterly assessment and reallocation
06/25/2015
$
(128,282)
$
1,257,510 Updated due to quarterly assessment and reallocation
09/28/2015
$
(172,975)
$
1,084,535 Updated due to quarterly assessment and reallocation
12/28/2015
$
(128,015)
$
956,520 Updated due to quarterly assessment and reallocation
02/25/2016
$
(381,987)
$
574,533 Reallocation due to MHA program deobligation
03/28/2016
$
(8,288)
$
566,245 Updated due to quarterly assessment and reallocation
05/31/2016
$
(64,892)
$
501,353 Updated due to quarterly assessment and reallocation
06/27/2016
$
(39,707)
$
461,646 Updated due to quarterly assessment and reallocation
07/27/2016
$
(39,719)
$
421,927 Updated due to quarterly assessment and reallocation
09/28/2016
$
(71,882)
$
350,045 Updated due to quarterly assessment and reallocation
10/25/2016
$
(67,924)
$
282,121 Updated due to quarterly assessment and reallocation
11/07/2016
$
26,187
$
308,308 Updated due to quarterly assessment and reallocation
11/29/2016
$
(576)
$
307,732 Updated due to quarterly assessment and reallocation
12/27/2016
$
(88)
$
307,644 Transfer of cap due to servicing transfer
02/27/2017
$
(1,639)
$
306,005 Transfer of cap due to servicing transfer
04/26/2017
$
(107)
$
305,898 Transfer of cap due to servicing transfer
06/26/2017
$
(826)
$
305,072 Transfer of cap due to servicing transfer
07/26/2017
$
(25)
$
305,047 Transfer of cap due to servicing transfer
09/26/2017
$
(27,224)
$
277,823 Transfer of cap due to servicing transfer
10/26/2017
$
(3,376)
$
274,447 Transfer of cap due to servicing transfer
12/21/2017
$
(4,770)
$
269,677 Transfer of cap due to servicing transfer
02/26/2018
$
(232)
$
269,445 Transfer of cap due to servicing transfer
03/22/2018
$
(755)
$
268,690 Transfer of cap due to servicing transfer
04/25/2018
$
(1,493)
$
267,197 Transfer of cap due to servicing transfer
06/21/2018
$
(378)
$
266,819 Transfer of cap due to servicing transfer
07/26/2018
$
(74,050)
$
01/22/2010
$
440,000
$
03/26/2010
$
14,480,000
$
24,350,000 Updated portfolio data from servicer
05/26/2010
$
(24,200,000)
$
150,000 Updated portfolio data from servicer
07/14/2010
$
150,000
$
300,000 Updated portfolio data from servicer
09/30/2010
$
(9,889)
$
290,111 Updated portfolio data from servicer
06/29/2011
$
(3)
$
290,108 Updated due to quarterly assessment and reallocation
- Termination of SPA
25,502 Termination of SPA
870,311 Updated due to quarterly assessment and reallocation
48,589 Termination of SPA
800,000 Updated portfolio data from servicer/additional program initial cap
192,769 Reallocation due to MHA program deobligation
9,870,000 Updated portfolio data from servicer/additional program initial cap
99
Servicer Modifying Borrowers' Loans
Date
01/29/2010
Name of Institution
iServe Residential Lending, LLC
City
San Diego
Adjustment Details
State
CA
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
960,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
06/28/2012
$
(2)
$
290,106 Updated due to quarterly assessment and reallocation
09/27/2012
$
(6)
$
290,100 Updated due to quarterly assessment and reallocation
12/27/2012
$
(1)
$
290,099 Updated due to quarterly assessment and reallocation
03/25/2013
$
(3)
$
290,096 Updated due to quarterly assessment and reallocation
06/27/2013
$
(1)
$
290,095 Updated due to quarterly assessment and reallocation
12/23/2013
$
(747)
$
289,348 Updated due to quarterly assessment and reallocation
03/26/2014
$
(26)
$
289,322 Updated due to quarterly assessment and reallocation
06/26/2014
$
(314)
$
289,008 Updated due to quarterly assessment and reallocation
07/29/2014
$
(626)
$
288,382 Updated due to quarterly assessment and reallocation
09/29/2014
$
(226)
$
288,156 Updated due to quarterly assessment and reallocation
12/29/2014
$
(18,852)
$
269,304 Updated due to quarterly assessment and reallocation
03/26/2015
$
(7,136)
$
262,168 Updated due to quarterly assessment and reallocation
04/28/2015
$
259,548
$
521,716 Updated due to quarterly assessment and reallocation
06/25/2015
$
(35)
$
521,681 Updated due to quarterly assessment and reallocation
09/28/2015
$
(1,297)
$
520,384 Updated due to quarterly assessment and reallocation
12/28/2015
$
(6,174)
$
514,210 Updated due to quarterly assessment and reallocation
02/25/2016
$
(36,778)
$
477,432 Reallocation due to MHA program deobligation
03/28/2016
$
(923)
$
476,509 Updated due to quarterly assessment and reallocation
05/31/2016
$
(9,729)
$
466,780 Updated due to quarterly assessment and reallocation
06/27/2016
$
(5,812)
$
460,968 Updated due to quarterly assessment and reallocation
07/27/2016
$
(6,934)
$
454,034 Updated due to quarterly assessment and reallocation
09/28/2016
$
(19,392)
$
434,642 Updated due to quarterly assessment and reallocation
10/25/2016
$
(18,324)
$
416,318 Updated due to quarterly assessment and reallocation
11/07/2016
$
7,065
$
423,383 Updated due to quarterly assessment and reallocation
11/29/2016
$
(301)
$
423,082 Updated due to quarterly assessment and reallocation
12/27/2016
$
(72)
$
423,010 Transfer of cap due to servicing transfer
02/27/2017
$
(568)
$
422,442 Transfer of cap due to servicing transfer
04/26/2017
$
(45)
$
422,397 Transfer of cap due to servicing transfer
06/26/2017
$
(463)
$
421,934 Transfer of cap due to servicing transfer
07/26/2017
$
(14)
$
421,920 Transfer of cap due to servicing transfer
09/26/2017
$
(11,449)
$
410,471 Transfer of cap due to servicing transfer
10/26/2017
$
(1,420)
$
409,051 Transfer of cap due to servicing transfer
12/21/2017
$
(2,732)
$
406,319 Transfer of cap due to servicing transfer
02/26/2018
$
(201)
$
406,118 Transfer of cap due to servicing transfer
03/22/2018
$
(766)
$
405,352 Transfer of cap due to servicing transfer
04/25/2018
$
(1,514)
$
403,838 Transfer of cap due to servicing transfer
06/21/2018
$
(284)
$
403,554 Transfer of cap due to servicing transfer
07/26/2018
$
(78,200)
$
325,354 Reallocation due to MHA program deobligation
03/26/2010
$
(730,000)
$
230,000 Updated portfolio data from servicer
07/14/2010
$
370,000
$
600,000 Updated portfolio data from servicer
09/30/2010
$
200,000
$
800,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(364,833)
$
435,167 Updated portfolio data from servicer
11/16/2010
$
100,000
$
535,167 Transfer of cap due to servicing transfer
01/06/2011
$
(1)
$
535,166 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
535,165 Updated due to quarterly assessment and reallocation
06/29/2011
$
(7)
$
535,158 Updated due to quarterly assessment and reallocation
06/28/2012
$
(6)
$
535,152 Updated due to quarterly assessment and reallocation
09/27/2012
$
(15)
$
535,137 Updated due to quarterly assessment and reallocation
12/27/2012
$
(3)
$
535,134 Updated due to quarterly assessment and reallocation
03/25/2013
$
(10)
$
535,124 Updated due to quarterly assessment and reallocation
06/27/2013
$
(4)
$
535,120 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
535,119 Updated due to quarterly assessment and reallocation
12/23/2013
$
(2,242)
$
532,877 Updated due to quarterly assessment and reallocation
03/26/2014
$
(79)
$
532,798 Updated due to quarterly assessment and reallocation
06/26/2014
$
(930)
$
531,868 Updated due to quarterly assessment and reallocation
07/29/2014
$
(1,848)
$
530,020 Updated due to quarterly assessment and reallocation
09/29/2014
$
(610)
$
529,410 Updated due to quarterly assessment and reallocation
12/29/2014
$
(73,927)
$
455,483 Updated due to quarterly assessment and reallocation
03/26/2015
$
(27,803)
$
427,680 Updated due to quarterly assessment and reallocation
04/28/2015
$
(109,586)
$
318,094 Updated due to quarterly assessment and reallocation
06/25/2015
$
(25,989)
$
292,105 Updated due to quarterly assessment and reallocation
09/28/2015
$
(34,717)
$
257,388 Updated due to quarterly assessment and reallocation
12/28/2015
$
(25,693)
$
231,695 Updated due to quarterly assessment and reallocation
02/25/2016
$
(73,376)
$
158,319 Reallocation due to MHA program deobligation
03/28/2016
$
(1,533)
$
156,786 Updated due to quarterly assessment and reallocation
05/31/2016
$
(11,996)
$
144,790 Updated due to quarterly assessment and reallocation
06/27/2016
$
(7,166)
$
137,624 Updated due to quarterly assessment and reallocation
07/27/2016
$
(7,169)
$
130,455 Updated due to quarterly assessment and reallocation
09/28/2016
$
(12,537)
$
117,918 Updated due to quarterly assessment and reallocation
10/25/2016
$
(11,846)
$
106,072 Updated due to quarterly assessment and reallocation
11/07/2016
$
4,567
$
110,639 Updated due to quarterly assessment and reallocation
11/29/2016
$
(82)
$
110,557 Updated due to quarterly assessment and reallocation
12/27/2016
$
(13)
$
110,544 Transfer of cap due to servicing transfer
100
Servicer Modifying Borrowers' Loans
Date
03/05/2010
09/24/2010
Name of Institution
iServe Servicing, Inc.
James B. Nutter & Company
City
Irving
Kansas City
Adjustment Details
State
TX
MO
Transaction
Type
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
$
Pricing
Mechanism
28,040,000 N/A
300,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
02/27/2017
$
(217)
$
110,327 Transfer of cap due to servicing transfer
04/26/2017
$
(14)
$
110,313 Transfer of cap due to servicing transfer
06/26/2017
$
(109)
$
110,204 Transfer of cap due to servicing transfer
07/26/2017
$
(3)
$
110,201 Transfer of cap due to servicing transfer
09/26/2017
$
(4,365)
$
105,836 Transfer of cap due to servicing transfer
10/26/2017
$
(541)
$
105,295 Transfer of cap due to servicing transfer
12/21/2017
$
(564)
$
104,731 Transfer of cap due to servicing transfer
02/26/2018
$
(27)
$
104,704 Transfer of cap due to servicing transfer
03/22/2018
$
(89)
$
104,615 Transfer of cap due to servicing transfer
04/25/2018
$
(176)
$
104,439 Transfer of cap due to servicing transfer
06/21/2018
$
(33)
$
104,406 Transfer of cap due to servicing transfer
07/26/2018
$
(3,718)
$
05/26/2010
$
120,000
$
28,160,000 Updated portfolio data from servicer/additional program initial cap
07/14/2010
$
(12,660,000)
$
15,500,000 Updated portfolio data from servicer
09/30/2010
$
100,000
$
15,600,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(3,125,218)
$
12,474,782 Updated portfolio data from servicer
11/16/2010
$
800,000
$
13,274,782 Transfer of cap due to servicing transfer
01/06/2011
$
(20)
$
13,274,762 Updated due to quarterly assessment and reallocation
03/30/2011
$
(24)
$
13,274,738 Updated due to quarterly assessment and reallocation
06/29/2011
$
(221)
$
13,274,517 Updated due to quarterly assessment and reallocation
06/28/2012
$
(169)
$
13,274,348 Updated due to quarterly assessment and reallocation
09/27/2012
$
(465)
$
13,273,883 Updated due to quarterly assessment and reallocation
12/27/2012
$
(78)
$
13,273,805 Updated due to quarterly assessment and reallocation
03/25/2013
$
(297)
$
13,273,508 Updated due to quarterly assessment and reallocation
06/27/2013
$
(112)
$
13,273,396 Updated due to quarterly assessment and reallocation
07/16/2013
$
(10,000)
$
13,263,396 Transfer of cap due to servicing transfer
09/27/2013
$
(40)
$
13,263,356 Updated due to quarterly assessment and reallocation
11/14/2013
$
(60,000)
$
13,203,356 Updated due to quarterly assessment and reallocation
12/23/2013
$
(67,516)
$
13,135,840 Updated due to quarterly assessment and reallocation
03/26/2014
$
(2,373)
$
13,133,467 Updated due to quarterly assessment and reallocation
06/26/2014
$
(28,014)
$
13,105,453 Updated due to quarterly assessment and reallocation
07/29/2014
$
(55,640)
$
13,049,813 Updated due to quarterly assessment and reallocation
09/29/2014
$
(18,379)
$
13,031,434 Updated due to quarterly assessment and reallocation
12/29/2014
$
(2,226,283)
$
10,805,151 Updated due to quarterly assessment and reallocation
03/26/2015
$
(837,269)
$
9,967,882 Updated due to quarterly assessment and reallocation
04/02/2015
$
(9,967,882)
09/30/2010
$
135,167
$
435,167 Updated portfolio data from servicer
01/06/2011
$
(1)
$
435,166 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
435,165 Updated due to quarterly assessment and reallocation
06/29/2011
$
(6)
$
435,159 Updated due to quarterly assessment and reallocation
06/28/2012
$
(4)
$
435,155 Updated due to quarterly assessment and reallocation
09/27/2012
$
(12)
$
435,143 Updated due to quarterly assessment and reallocation
12/27/2012
$
(2)
$
435,141 Updated due to quarterly assessment and reallocation
03/25/2013
$
(8)
$
435,133 Updated due to quarterly assessment and reallocation
06/27/2013
$
(3)
$
435,130 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
435,129 Updated due to quarterly assessment and reallocation
12/23/2013
$
(1,727)
$
433,402 Updated due to quarterly assessment and reallocation
03/26/2014
$
(61)
$
433,341 Updated due to quarterly assessment and reallocation
06/26/2014
$
(716)
$
432,625 Updated due to quarterly assessment and reallocation
07/29/2014
$
(1,423)
$
431,202 Updated due to quarterly assessment and reallocation
09/29/2014
$
(470)
$
430,732 Updated due to quarterly assessment and reallocation
12/29/2014
$
(56,939)
$
373,793 Updated due to quarterly assessment and reallocation
03/26/2015
$
(21,414)
$
352,379 Updated due to quarterly assessment and reallocation
04/28/2015
$
(84,403)
$
267,976 Updated due to quarterly assessment and reallocation
06/25/2015
$
(20,017)
$
247,959 Updated due to quarterly assessment and reallocation
09/28/2015
$
(26,739)
$
221,220 Updated due to quarterly assessment and reallocation
12/28/2015
$
(19,789)
$
201,431 Updated due to quarterly assessment and reallocation
02/25/2016
$
(56,514)
$
144,917 Reallocation due to MHA program deobligation
03/28/2016
$
(1,180)
$
143,737 Updated due to quarterly assessment and reallocation
05/31/2016
$
(9,240)
$
134,497 Updated due to quarterly assessment and reallocation
06/27/2016
$
(5,519)
$
128,978 Updated due to quarterly assessment and reallocation
07/27/2016
$
(4,874)
$
124,104 Updated due to quarterly assessment and reallocation
09/28/2016
$
(3,166)
$
120,938 Updated due to quarterly assessment and reallocation
10/25/2016
$
768,695
$
889,633 Updated due to quarterly assessment and reallocation
-
$
889,633 Updated due to quarterly assessment and reallocation
11/07/2016
100,688 Reallocation due to MHA program deobligation
- Termination of SPA
11/29/2016
$
(942)
$
888,691 Updated due to quarterly assessment and reallocation
12/27/2016
$
(121)
$
888,570 Transfer of cap due to servicing transfer
02/27/2017
$
(2,763)
$
885,807 Transfer of cap due to servicing transfer
04/26/2017
$
(183)
$
885,624 Transfer of cap due to servicing transfer
06/26/2017
$
(1,501)
$
884,123 Transfer of cap due to servicing transfer
07/26/2017
$
(48)
$
884,075 Transfer of cap due to servicing transfer
09/26/2017
$
(55,212)
$
828,863 Transfer of cap due to servicing transfer
10/26/2017
$
(7,932)
$
820,931 Transfer of cap due to servicing transfer
101
Servicer Modifying Borrowers' Loans
Date
07/31/2009
Name of Institution
JP Morgan Chase Bank, NA
City
Lewisville
Adjustment Details
State
TX
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
2,699,720,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
12/21/2017
$
(10,591)
$
810,340 Transfer of cap due to servicing transfer
02/26/2018
$
(705)
$
809,635 Transfer of cap due to servicing transfer
03/22/2018
$
(2,728)
$
806,907 Transfer of cap due to servicing transfer
04/25/2018
$
(5,412)
$
801,495 Transfer of cap due to servicing transfer
06/21/2018
$
(1,091)
$
07/26/2018
$
(214,696)
$
09/30/2009
$
(14,850,000)
$
2,684,870,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
1,178,180,000
$
3,863,050,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
1,006,580,000
$
4,869,630,000 Updated portfolio data from servicer/additional program initial cap
07/14/2010
$
(1,934,230,000)
$
2,935,400,000 Updated portfolio data from servicer
09/30/2010
$
72,400,000
$
3,007,800,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
215,625,536
$
3,223,425,536 Updated portfolio data from servicer
01/06/2011
$
(3,636)
$
3,223,421,900 Updated due to quarterly assessment and reallocation
03/16/2011
$
(100,000)
$
3,223,321,900 Transfer of cap due to servicing transfer
03/30/2011
$
(3,999)
$
3,223,317,901 Updated due to quarterly assessment and reallocation
04/13/2011
$
(200,000)
$
3,223,117,901 Transfer of cap due to servicing transfer
05/13/2011
$
122,700,000
$
3,345,817,901 Transfer of cap due to servicing transfer
06/29/2011
$
(34,606)
$
3,345,783,295 Updated due to quarterly assessment and reallocation
07/14/2011
$
600,000
$
3,346,383,295 Transfer of cap due to servicing transfer
08/16/2011
$
(400,000)
$
3,345,983,295 Transfer of cap due to servicing transfer
09/15/2011
$
(100,000)
$
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
01/13/2012
$
(100,000)
$
3,862,394,604 Transfer of cap due to servicing transfer
02/16/2012
$
(100,000)
$
3,862,294,604 Transfer of cap due to servicing transfer
05/16/2012
$
(126,080,000)
$
3,736,214,604 Transfer of cap due to servicing transfer
06/14/2012
$
(1,620,000)
$
3,734,594,604 Transfer of cap due to servicing transfer
06/28/2012
$
(16,192)
$
3,734,578,412 Updated due to quarterly assessment and reallocation
07/16/2012
$
(2,300,000)
$
3,732,278,412 Transfer of cap due to servicing transfer
08/16/2012
$
(20,000)
$
3,732,258,412 Transfer of cap due to servicing transfer
09/27/2012
$
(37,341)
$
3,732,221,071 Updated due to quarterly assessment and reallocation
10/16/2012
$
(1,130,000)
$
3,731,091,071 Transfer of cap due to servicing transfer
11/15/2012
$
(3,770,000)
$
3,727,321,071 Transfer of cap due to servicing transfer
12/14/2012
$
(180,000)
$
3,727,141,071 Transfer of cap due to servicing transfer
12/27/2012
$
(4,535)
$
3,727,136,536 Updated due to quarterly assessment and reallocation
01/16/2013
$
(60,000)
$
3,727,076,536 Transfer of cap due to servicing transfer
02/14/2013
$
(520,000)
$
3,726,556,536 Transfer of cap due to servicing transfer
03/14/2013
$
(90,000)
$
3,726,466,536 Transfer of cap due to servicing transfer
03/25/2013
$
(14,310)
$
3,726,452,226 Updated due to quarterly assessment and reallocation
04/16/2013
$
(110,000)
$
3,726,342,226 Transfer of cap due to servicing transfer
05/16/2013
$
(120,000)
$
3,726,222,226 Transfer of cap due to servicing transfer
06/14/2013
$
(50,000)
$
3,726,172,226 Transfer of cap due to servicing transfer
06/27/2013
$
(3,778)
$
3,726,168,448 Updated due to quarterly assessment and reallocation
07/16/2013
$
(103,240,000)
$
3,622,928,448 Transfer of cap due to servicing transfer
08/15/2013
$
(20,000)
$
3,622,908,448 Transfer of cap due to servicing transfer
09/16/2013
$
(99,960,000)
$
3,522,948,448 Transfer of cap due to servicing transfer
09/27/2013
$
(724)
$
3,522,947,724 Updated due to quarterly assessment and reallocation
10/15/2013
$
(77,990,000)
$
3,444,957,724 Transfer of cap due to servicing transfer
11/14/2013
$
(15,610,000)
$
3,429,347,724 Transfer of cap due to servicing transfer
12/16/2013
$
(50,000)
$
3,429,297,724 Transfer of cap due to servicing transfer
12/23/2013
$
(840,396)
$
3,428,457,328 Updated due to quarterly assessment and reallocation
01/16/2014
$
(5,790,000)
$
3,422,667,328 Transfer of cap due to servicing transfer
02/13/2014
$
(52,670,000)
$
3,369,997,328 Transfer of cap due to servicing transfer
03/14/2014
$
(3,730,000)
$
3,366,267,328 Transfer of cap due to servicing transfer
03/26/2014
$
(21,412)
$
3,366,245,916 Updated due to quarterly assessment and reallocation
04/16/2014
$
(14,000,000)
$
3,352,245,916 Transfer of cap due to servicing transfer
05/15/2014
$
(18,970,000)
$
3,333,275,916 Transfer of cap due to servicing transfer
06/16/2014
$
(30,170,000)
$
3,303,105,916 Transfer of cap due to servicing transfer
06/26/2014
$
(101,752)
$
3,303,004,164 Updated due to quarterly assessment and reallocation
07/16/2014
$
(12,980,000)
$
3,290,024,164 Transfer of cap due to servicing transfer
07/29/2014
$
(154,293)
$
3,289,869,871 Updated due to quarterly assessment and reallocation
08/14/2014
$
(7,180,000)
$
3,282,689,871 Transfer of cap due to servicing transfer
09/16/2014
$
(9,640,000)
$
3,273,049,871 Transfer of cap due to servicing transfer
09/29/2014
$
(18,088)
$
3,273,031,783 Updated due to quarterly assessment and reallocation
10/16/2014
$
(390,000)
$
3,272,641,783 Transfer of cap due to servicing transfer
11/14/2014
$
(10,150,000)
$
3,262,491,783 Transfer of cap due to servicing transfer
12/16/2014
$
(4,800,000)
$
3,257,691,783 Transfer of cap due to servicing transfer
12/29/2014
$
549,933,107
$
3,807,624,890 Updated due to quarterly assessment and reallocation
01/15/2015
$
(10,720,000)
$
3,796,904,890 Transfer of cap due to servicing transfer
02/13/2015
$
(4,030,000)
$
3,792,874,890 Transfer of cap due to servicing transfer
03/16/2015
$
(47,020,000)
$
3,745,854,890 Transfer of cap due to servicing transfer
03/26/2015
$
40,703,961
$
3,786,558,851 Updated due to quarterly assessment and reallocation
800,404 Transfer of cap due to servicing transfer
585,708 Reallocation due to MHA program deobligation
3,345,883,295 Transfer of cap due to servicing transfer
102
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Kondaur Capital Corporation
Orange
CA
Purchase
Financial Instrument for Home Loan Modifications
- N/A
3
Reason for Adjustment
04/16/2015
$
(3,010,000)
$
3,783,548,851 Transfer of cap due to servicing transfer
04/28/2015
$
332,660,757
$
4,116,209,608 Updated due to quarterly assessment and reallocation
05/14/2015
$
(8,210,000)
$
4,107,999,608 Transfer of cap due to servicing transfer
06/16/2015
$
(14,130,000)
$
4,093,869,608 Transfer of cap due to servicing transfer
06/25/2015
$
40,588,882
$
4,134,458,490 Updated due to quarterly assessment and reallocation
07/16/2015
$
(17,520,000)
$
4,116,938,490 Transfer of cap due to servicing transfer
08/14/2015
$
(10,000)
$
4,116,928,490 Transfer of cap due to servicing transfer
09/16/2015
$
760,000
$
4,117,688,490 Transfer of cap due to servicing transfer
09/28/2015
$
27,225,885
$
4,144,914,375 Updated due to quarterly assessment and reallocation
10/15/2015
$
(7,740,000)
$
4,137,174,375 Transfer of cap due to servicing transfer
11/16/2015
$
(6,050,000)
$
4,131,124,375 Transfer of cap due to servicing transfer
12/16/2015
$
(1,730,000)
$
4,129,394,375 Transfer of cap due to servicing transfer
12/28/2015
$
37,401,098
$
4,166,795,473 Updated due to quarterly assessment and reallocation
01/14/2016
$
(36,700,000)
$
4,130,095,473 Transfer of cap due to servicing transfer
02/16/2016
$
(200,000)
$
4,129,895,473 Transfer of cap due to servicing transfer
02/25/2016
$
(132,520,607)
$
3,997,374,866 Reallocation due to MHA program deobligation
03/16/2016
$
(9,320,000)
$
3,988,054,866 Transfer of cap due to servicing transfer
03/28/2016
$
(2,278,595)
$
3,985,776,271 Updated due to quarterly assessment and reallocation
04/14/2016
$
(10,440,000)
$
3,975,336,271 Transfer of cap due to servicing transfer
05/16/2016
$
(6,730,000)
$
3,968,606,271 Transfer of cap due to servicing transfer
05/31/2016
$
(9,933,223)
$
3,958,673,048 Updated due to quarterly assessment and reallocation
06/16/2016
$
(12,340,000)
$
3,946,333,048 Transfer of cap due to servicing transfer
06/27/2016
$
(2,835,363)
$
3,943,497,685 Updated due to quarterly assessment and reallocation
07/14/2016
$
(4,110,000)
$
3,939,387,685 Transfer of cap due to servicing transfer
07/27/2016
$
(948,157)
$
3,938,439,528 Updated due to quarterly assessment and reallocation
08/16/2016
$
(3,580,000)
$
3,934,859,528 Transfer of cap due to servicing transfer
09/15/2016
$
(14,270,000)
$
3,920,589,528 Transfer of cap due to servicing transfer
09/28/2016
$
15,375,281
$
3,935,964,809 Updated due to quarterly assessment and reallocation
10/14/2016
$
(9,110,000)
$
3,926,854,809 Transfer of cap due to servicing transfer
10/25/2016
$
20,786,505
$
3,947,641,314 Updated due to quarterly assessment and reallocation
-
$
3,947,641,314 Updated due to quarterly assessment and reallocation
11/16/2016
$
(2,100,000)
$
3,945,541,314 Transfer of cap due to servicing transfer
11/29/2016
$
(1,577,236)
$
3,943,964,078 Updated due to quarterly assessment and reallocation
12/15/2016
$
(15,070,000)
$
3,928,894,078 Transfer of cap due to servicing transfer
12/27/2016
$
(223,639)
$
3,928,670,439 Transfer of cap due to servicing transfer
01/13/2017
$
(470,000)
$
3,928,200,439 Transfer of cap due to servicing transfer
02/16/2017
$
(11,790,000)
$
3,916,410,439 Transfer of cap due to servicing transfer
02/27/2017
$
(3,770,648)
$
3,912,639,791 Transfer of cap due to servicing transfer
03/16/2017
$
(9,410,000)
$
3,903,229,791 Transfer of cap due to servicing transfer
04/26/2017
$
(247,939)
$
3,902,981,852 Transfer of cap due to servicing transfer
06/26/2017
$
(2,033,044)
$
3,900,948,808 Transfer of cap due to servicing transfer
07/26/2017
$
(62,047)
$
3,900,886,761 Transfer of cap due to servicing transfer
09/26/2017
$
14,201,120
$
3,915,087,881 Transfer of cap due to servicing transfer
10/26/2017
$
(774,778)
$
3,914,313,103 Transfer of cap due to servicing transfer
12/21/2017
$
32,027,195
$
3,946,340,298 Transfer of cap due to servicing transfer
02/26/2018
$
(180,881)
$
3,946,159,417 Transfer of cap due to servicing transfer
03/22/2018
$
(799,863)
$
3,945,359,554 Transfer of cap due to servicing transfer
04/25/2018
$
(1,753,089)
$
3,943,606,465 Transfer of cap due to servicing transfer
06/21/2018
$
(396,148)
$
3,943,210,317 Transfer of cap due to servicing transfer
07/26/2018
$
(540,428,289)
$
3,402,782,028 Reallocation due to MHA program deobligation
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
01/16/2013
$
(10,000)
$
90,000 Transfer of cap due to servicing transfer
02/14/2013
$
(10,000)
$
04/16/2013
$
(10,000)
$
70,000 Transfer of cap due to servicing transfer
05/16/2013
$
130,000
$
200,000 Transfer of cap due to servicing transfer
06/14/2013
$
(50,000)
$
150,000 Transfer of cap due to servicing transfer
07/16/2013
$
(20,000)
$
12/23/2013
$
(155)
$
03/14/2014
$
2,240,000
$
2,369,845 Transfer of cap due to servicing transfer
03/26/2014
$
(373)
$
2,369,472 Updated due to quarterly assessment and reallocation
06/26/2014
$
(4,497)
$
2,364,975 Updated due to quarterly assessment and reallocation
07/29/2014
$
(8,932)
$
2,356,043 Updated due to quarterly assessment and reallocation
09/16/2014
$
(40,000)
$
2,316,043 Transfer of cap due to servicing transfer
09/29/2014
$
(2,954)
$
2,313,089 Updated due to quarterly assessment and reallocation
11/14/2014
$
(340,000)
$
1,973,089 Transfer of cap due to servicing transfer
12/16/2014
$
(50,000)
$
1,923,089 Transfer of cap due to servicing transfer
12/29/2014
$
(296,094)
$
1,626,995 Updated due to quarterly assessment and reallocation
01/15/2015
$
(100,000)
$
02/13/2015
$
(20,000)
$
1,506,995 Transfer of cap due to servicing transfer
03/26/2015
$
(92,587)
$
1,414,408 Updated due to quarterly assessment and reallocation
04/16/2015
$
6,360,000
$
7,774,408 Transfer of cap due to servicing transfer
04/28/2015
$
(2,372,693)
$
5,401,715 Updated due to quarterly assessment and reallocation
11/07/2016
11/15/2012
Adjusted CAP
80,000 Transfer of cap due to servicing transfer
130,000 Transfer of cap due to servicing transfer
129,845 Updated due to quarterly assessment and reallocation
1,526,995 Transfer of cap due to servicing transfer
103
Servicer Modifying Borrowers' Loans
Date
08/05/2009
Name of Institution
Lake City Bank
City
Warsaw
Adjustment Details
State
IN
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
420,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
05/14/2015
$
(430,000)
$
4,971,715 Transfer of cap due to servicing transfer
06/16/2015
$
(240,000)
$
4,731,715 Transfer of cap due to servicing transfer
06/25/2015
$
(505,871)
$
4,225,844 Updated due to quarterly assessment and reallocation
07/16/2015
$
(30,000)
$
4,195,844 Transfer of cap due to servicing transfer
08/14/2015
$
(160,000)
$
4,035,844 Transfer of cap due to servicing transfer
09/16/2015
$
(20,000)
$
4,015,844 Transfer of cap due to servicing transfer
09/28/2015
$
(647,986)
$
3,367,858 Updated due to quarterly assessment and reallocation
10/15/2015
$
170,000
$
3,537,858 Transfer of cap due to servicing transfer
11/16/2015
$
(260,000)
$
3,277,858 Transfer of cap due to servicing transfer
12/16/2015
$
460,000
$
3,737,858 Transfer of cap due to servicing transfer
12/28/2015
$
(546,139)
$
3,191,719 Updated due to quarterly assessment and reallocation
01/14/2016
$
50,000
$
3,241,719 Transfer of cap due to servicing transfer
02/25/2016
$
(1,600,422)
$
1,641,297 Reallocation due to MHA program deobligation
03/16/2016
$
(1,350,000)
$
291,297 Transfer of cap due to servicing transfer
03/28/2016
$
42,705
$
334,002 Updated due to quarterly assessment and reallocation
04/14/2016
$
(50,000)
$
284,002 Transfer of cap due to servicing transfer
05/16/2016
$
(50,000)
$
234,002 Transfer of cap due to servicing transfer
05/31/2016
$
285,059
$
519,061 Updated due to quarterly assessment and reallocation
06/27/2016
$
77,867
$
596,928 Updated due to quarterly assessment and reallocation
07/14/2016
$
(30,000)
$
566,928 Transfer of cap due to servicing transfer
07/27/2016
$
128,027
$
694,955 Updated due to quarterly assessment and reallocation
08/16/2016
$
(30,000)
$
664,955 Transfer of cap due to servicing transfer
09/15/2016
$
10,000
$
674,955 Transfer of cap due to servicing transfer
09/28/2016
$
(3,561)
$
671,394 Updated due to quarterly assessment and reallocation
10/25/2016
$
(31,666)
$
639,728 Updated due to quarterly assessment and reallocation
11/07/2016
$
12,208
$
651,936 Updated due to quarterly assessment and reallocation
11/16/2016
$
(30,000)
$
621,936 Transfer of cap due to servicing transfer
11/29/2016
$
(241)
$
621,695 Updated due to quarterly assessment and reallocation
12/15/2016
$
(190,000)
$
431,695 Transfer of cap due to servicing transfer
12/27/2016
$
129,527
$
561,222 Transfer of cap due to servicing transfer
01/13/2017
$
60,000
$
621,222 Transfer of cap due to servicing transfer
02/16/2017
$
(10,000)
$
611,222 Transfer of cap due to servicing transfer
02/27/2017
$
(1,265)
$
609,957 Transfer of cap due to servicing transfer
03/16/2017
$
(10,000)
$
599,957 Transfer of cap due to servicing transfer
04/26/2017
$
(148)
$
599,809 Transfer of cap due to servicing transfer
06/26/2017
$
(3,554)
$
596,255 Transfer of cap due to servicing transfer
07/26/2017
$
(108)
$
596,147 Transfer of cap due to servicing transfer
09/26/2017
$
(33,047)
$
563,100 Transfer of cap due to servicing transfer
10/26/2017
$
(10,253)
$
552,847 Transfer of cap due to servicing transfer
12/21/2017
$
(9,940)
$
542,907 Transfer of cap due to servicing transfer
02/26/2018
$
(483)
$
542,424 Transfer of cap due to servicing transfer
03/22/2018
$
(1,573)
$
540,851 Transfer of cap due to servicing transfer
04/25/2018
$
672,889
$
1,213,740 Transfer of cap due to servicing transfer
06/21/2018
$
(923)
$
1,212,817 Transfer of cap due to servicing transfer
07/26/2018
$
(245,969)
$
966,848 Reallocation due to MHA program deobligation
09/30/2009
$
180,000
$
600,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(350,000)
$
250,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
20,000
$
270,000 Updated portfolio data from servicer
07/14/2010
$
(70,000)
$
200,000 Updated portfolio data from servicer
09/30/2010
$
90,111
$
290,111 Updated portfolio data from servicer
06/29/2011
$
(3)
$
290,108 Updated due to quarterly assessment and reallocation
06/28/2012
$
(2)
$
290,106 Updated due to quarterly assessment and reallocation
09/27/2012
$
(7)
$
290,099 Updated due to quarterly assessment and reallocation
12/27/2012
$
(1)
$
290,098 Updated due to quarterly assessment and reallocation
03/25/2013
$
(4)
$
290,094 Updated due to quarterly assessment and reallocation
06/27/2013
$
(2)
$
290,092 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
290,091 Updated due to quarterly assessment and reallocation
12/23/2013
$
(979)
$
289,112 Updated due to quarterly assessment and reallocation
03/26/2014
$
(34)
$
289,078 Updated due to quarterly assessment and reallocation
06/26/2014
$
(406)
$
288,672 Updated due to quarterly assessment and reallocation
07/29/2014
$
(807)
$
287,865 Updated due to quarterly assessment and reallocation
09/29/2014
$
(267)
$
287,598 Updated due to quarterly assessment and reallocation
12/29/2014
$
(26,057)
$
261,541 Updated due to quarterly assessment and reallocation
03/26/2015
$
(9,806)
$
251,735 Updated due to quarterly assessment and reallocation
04/28/2015
$
(17,748)
$
233,987 Updated due to quarterly assessment and reallocation
06/25/2015
$
(4,963)
$
229,024 Updated due to quarterly assessment and reallocation
09/28/2015
$
(6,649)
$
222,375 Updated due to quarterly assessment and reallocation
12/28/2015
$
(4,972)
$
217,403 Updated due to quarterly assessment and reallocation
02/25/2016
$
(23,766)
$
193,637 Reallocation due to MHA program deobligation
03/28/2016
$
(342)
$
193,295 Updated due to quarterly assessment and reallocation
05/31/2016
$
(3,960)
$
189,335 Updated due to quarterly assessment and reallocation
06/27/2016
$
(2,382)
$
186,953 Updated due to quarterly assessment and reallocation
07/27/2016
$
(3,503)
$
183,450 Updated due to quarterly assessment and reallocation
104
Servicer Modifying Borrowers' Loans
Date
07/10/2009
06/16/2014
01/16/2014
Name of Institution
Lake National Bank
Land/Home Financial Services, Inc.
LenderLive Network, Inc
City
Mentor
Concord
Glendale
Adjustment Details
State
OH
CA
CO
Transaction
Type
Purchase
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
Note
- N/A
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
09/28/2016
$
(6,167)
$
177,283 Updated due to quarterly assessment and reallocation
10/25/2016
$
(5,892)
$
171,391 Updated due to quarterly assessment and reallocation
11/07/2016
$
2,272
$
173,663 Updated due to quarterly assessment and reallocation
11/29/2016
$
(114)
$
173,549 Updated due to quarterly assessment and reallocation
12/27/2016
$
(27)
$
173,522 Transfer of cap due to servicing transfer
02/27/2017
$
(474)
$
173,048 Transfer of cap due to servicing transfer
04/26/2017
$
(31)
$
173,017 Transfer of cap due to servicing transfer
06/26/2017
$
(298)
$
172,719 Transfer of cap due to servicing transfer
07/26/2017
$
(9)
$
172,710 Transfer of cap due to servicing transfer
09/26/2017
$
(8,358)
$
164,352 Transfer of cap due to servicing transfer
10/26/2017
$
(1,046)
$
163,306 Transfer of cap due to servicing transfer
12/21/2017
$
(1,736)
$
161,570 Transfer of cap due to servicing transfer
02/26/2018
$
(85)
$
161,485 Transfer of cap due to servicing transfer
03/22/2018
$
(280)
$
161,205 Transfer of cap due to servicing transfer
04/25/2018
$
(554)
$
160,651 Transfer of cap due to servicing transfer
06/21/2018
$
(104)
$
07/26/2018
$
(30,250)
$
130,297 Reallocation due to MHA program deobligation
09/30/2009
$
150,000
$
250,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
130,000
$
380,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
50,000
$
430,000 Updated portfolio data from servicer
07/14/2010
$
(30,000)
$
400,000 Updated portfolio data from servicer
09/30/2010
$
35,167
$
435,167 Updated portfolio data from servicer
01/06/2011
$
(1)
$
435,166 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
435,165 Updated due to quarterly assessment and reallocation
06/29/2011
$
(6)
$
435,159 Updated due to quarterly assessment and reallocation
06/28/2012
$
(4)
$
435,155 Updated due to quarterly assessment and reallocation
6
08/23/2012
$
(424,504)
$
10,651 Termination of SPA
3
06/16/2014
$
40,000
$
40,000 Transfer of cap due to servicing transfer
09/16/2014
$
20,000
$
60,000 Transfer of cap due to servicing transfer
07/14/2016
$
10,000
$
70,000 Transfer of cap due to servicing transfer
01/16/2014
$
100,000
$
100,000 Transfer of cap due to servicing transfer
03/14/2014
$
10,000
$
110,000 Transfer of cap due to servicing transfer
03/26/2014
$
(2)
$
109,998 Updated due to quarterly assessment and reallocation
05/15/2014
$
20,000
$
129,998 Transfer of cap due to servicing transfer
06/16/2014
$
80,000
$
209,998 Transfer of cap due to servicing transfer
06/26/2014
$
(236)
$
209,762 Updated due to quarterly assessment and reallocation
07/16/2014
$
140,000
$
349,762 Transfer of cap due to servicing transfer
07/29/2014
$
(1,069)
$
348,693 Updated due to quarterly assessment and reallocation
08/14/2014
$
60,000
$
408,693 Transfer of cap due to servicing transfer
09/29/2014
$
(438)
$
408,255 Updated due to quarterly assessment and reallocation
12/29/2014
$
(30,607)
$
377,648 Updated due to quarterly assessment and reallocation
03/26/2015
$
(11,543)
$
366,105 Updated due to quarterly assessment and reallocation
04/28/2015
$
(45,568)
$
320,537 Updated due to quarterly assessment and reallocation
06/25/2015
$
(10,869)
$
309,668 Updated due to quarterly assessment and reallocation
07/16/2015
$
10,000
$
319,668 Transfer of cap due to servicing transfer
09/28/2015
$
(16,383)
$
303,285 Updated due to quarterly assessment and reallocation
11/16/2015
$
10,000
$
313,285 Transfer of cap due to servicing transfer
12/28/2015
$
(13,791)
$
299,494 Updated due to quarterly assessment and reallocation
02/16/2016
$
360,000
$
659,494 Transfer of cap due to servicing transfer
02/25/2016
$
(251,560)
$
407,934 Reallocation due to MHA program deobligation
03/16/2016
$
20,000
$
427,934 Transfer of cap due to servicing transfer
03/28/2016
$
(5,780)
$
422,154 Updated due to quarterly assessment and reallocation
04/14/2016
$
(70,000)
$
352,154 Transfer of cap due to servicing transfer
05/31/2016
$
(45,497)
$
306,657 Updated due to quarterly assessment and reallocation
06/27/2016
$
(27,179)
$
279,478 Updated due to quarterly assessment and reallocation
07/27/2016
$
(27,187)
$
252,291 Updated due to quarterly assessment and reallocation
09/28/2016
$
(47,546)
$
204,745 Updated due to quarterly assessment and reallocation
-
$
204,745 Transfer of cap due to servicing transfer
10/25/2016
$
(44,928)
$
159,817 Updated due to quarterly assessment and reallocation
11/07/2016
$
17,322
$
177,139 Updated due to quarterly assessment and reallocation
11/29/2016
$
(369)
$
176,770 Updated due to quarterly assessment and reallocation
12/27/2016
$
(56)
$
176,714 Transfer of cap due to servicing transfer
02/27/2017
$
(978)
$
175,736 Transfer of cap due to servicing transfer
04/26/2017
$
(64)
$
175,672 Transfer of cap due to servicing transfer
06/26/2017
$
(493)
$
175,179 Transfer of cap due to servicing transfer
07/26/2017
$
(15)
$
175,164 Transfer of cap due to servicing transfer
09/26/2017
$
(16,420)
$
158,744 Transfer of cap due to servicing transfer
10/26/2017
$
(2,036)
$
156,708 Transfer of cap due to servicing transfer
12/21/2017
$
(2,121)
$
154,587 Transfer of cap due to servicing transfer
02/26/2018
$
(103)
$
154,484 Transfer of cap due to servicing transfer
03/22/2018
$
(336)
$
154,148 Transfer of cap due to servicing transfer
04/25/2018
$
(664)
$
153,484 Transfer of cap due to servicing transfer
06/21/2018
$
(124)
$
153,360 Transfer of cap due to servicing transfer
100,000 N/A
- N/A
Adjustment
Date
3
10/14/2016
160,547 Transfer of cap due to servicing transfer
105
Servicer Modifying Borrowers' Loans
Date
09/30/2010
Name of Institution
Liberty Bank and Trust Co
City
New Orleans
Adjustment Details
State
LA
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
12/16/2014
Liberty Savings Bank, FSB
Wilmington
OH
Purchase
Financial Instrument for Home Loan Modifications
08/12/2009
Litton Loan Servicing, LP
Houston
TX
Purchase
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
1,000,000 N/A
- N/A
$
Note
3
774,900,000 N/A
12
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
07/26/2018
$
(31,300)
$
09/30/2010
$
450,556
$
1,450,556 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,450,554 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
1,450,552 Updated due to quarterly assessment and reallocation
06/29/2011
$
(23)
$
1,450,529 Updated due to quarterly assessment and reallocation
06/28/2012
$
(17)
$
1,450,512 Updated due to quarterly assessment and reallocation
09/27/2012
$
(48)
$
1,450,464 Updated due to quarterly assessment and reallocation
12/27/2012
$
(8)
$
1,450,456 Updated due to quarterly assessment and reallocation
03/25/2013
$
(30)
$
1,450,426 Updated due to quarterly assessment and reallocation
06/27/2013
$
(11)
$
1,450,415 Updated due to quarterly assessment and reallocation
09/27/2013
$
(4)
$
1,450,411 Updated due to quarterly assessment and reallocation
12/23/2013
$
(6,958)
$
1,443,453 Updated due to quarterly assessment and reallocation
03/26/2014
$
(245)
$
1,443,208 Updated due to quarterly assessment and reallocation
06/26/2014
$
(2,887)
$
1,440,321 Updated due to quarterly assessment and reallocation
07/29/2014
$
(5,734)
$
1,434,587 Updated due to quarterly assessment and reallocation
09/29/2014
$
(1,894)
$
1,432,693 Updated due to quarterly assessment and reallocation
12/29/2014
$
(229,437)
$
1,203,256 Updated due to quarterly assessment and reallocation
03/26/2015
$
(86,288)
$
1,116,968 Updated due to quarterly assessment and reallocation
04/28/2015
$
(340,104)
$
776,864 Updated due to quarterly assessment and reallocation
06/25/2015
$
(80,659)
$
696,205 Updated due to quarterly assessment and reallocation
09/28/2015
$
(107,746)
$
588,459 Updated due to quarterly assessment and reallocation
12/28/2015
$
(79,741)
$
508,718 Updated due to quarterly assessment and reallocation
02/25/2016
$
(227,724)
$
280,994 Reallocation due to MHA program deobligation
03/28/2016
$
(4,757)
$
276,237 Updated due to quarterly assessment and reallocation
05/31/2016
$
(37,231)
$
239,006 Updated due to quarterly assessment and reallocation
06/27/2016
$
(22,241)
$
216,765 Updated due to quarterly assessment and reallocation
07/27/2016
$
(22,248)
$
194,517 Updated due to quarterly assessment and reallocation
09/28/2016
$
(38,907)
$
155,610 Updated due to quarterly assessment and reallocation
10/25/2016
$
(36,765)
$
118,845 Updated due to quarterly assessment and reallocation
11/07/2016
$
14,174
$
133,019 Updated due to quarterly assessment and reallocation
11/29/2016
$
(254)
$
132,765 Updated due to quarterly assessment and reallocation
12/27/2016
$
(39)
$
132,726 Transfer of cap due to servicing transfer
02/27/2017
$
(674)
$
132,052 Transfer of cap due to servicing transfer
04/26/2017
$
(44)
$
132,008 Transfer of cap due to servicing transfer
06/26/2017
$
(340)
$
131,668 Transfer of cap due to servicing transfer
07/26/2017
$
(10)
$
131,658 Transfer of cap due to servicing transfer
08/16/2017
$
(131,658)
12/16/2014
$
10,000
$
10,000 Transfer of cap due to servicing transfer
08/16/2017
$
(10,000)
09/30/2009
$
313,050,000
$
1,087,950,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
275,370,000
$
1,363,320,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
278,910,000
$
1,642,230,000 Updated portfolio data from servicer
07/14/2010
$
(474,730,000)
$
1,167,500,000 Updated portfolio data from servicer
08/13/2010
$
(700,000)
$
1,166,800,000 Transfer of cap due to servicing transfer
09/15/2010
$
(1,000,000)
$
1,165,800,000 Transfer of cap due to servicing transfer
09/30/2010
$
(115,017,236)
$
1,050,782,764 Updated portfolio data from servicer
10/15/2010
$
(800,000)
$
1,049,982,764 Transfer of cap due to servicing transfer
12/15/2010
$
800,000
$
1,050,782,764 Transfer of cap due to servicing transfer
01/06/2011
$
(1,286)
$
1,050,781,478 Updated due to quarterly assessment and reallocation
03/16/2011
$
8,800,000
$
1,059,581,478 Transfer of cap due to servicing transfer
03/30/2011
$
(1,470)
$
1,059,580,008 Updated due to quarterly assessment and reallocation
04/13/2011
$
(3,300,000)
$
1,056,280,008 Transfer of cap due to servicing transfer
05/13/2011
$
(300,000)
$
1,055,980,008 Transfer of cap due to servicing transfer
06/16/2011
$
(700,000)
$
1,055,280,008 Transfer of cap due to servicing transfer
06/29/2011
$
(13,097)
$
1,055,266,911 Updated due to quarterly assessment and reallocation
07/14/2011
$
(200,000)
$
1,055,066,911 Transfer of cap due to servicing transfer
09/15/2011
$
(2,900,000)
$
1,052,166,911 Transfer of cap due to servicing transfer
10/14/2011
$
(300,000)
$
1,051,866,911 Transfer of cap due to servicing transfer
11/16/2011
$
(500,000)
$
1,051,366,911 Transfer of cap due to servicing transfer
12/15/2011
$
(2,600,000)
$
1,048,766,911 Transfer of cap due to servicing transfer
01/13/2012
$
(194,800,000)
$
853,966,911 Transfer of cap due to servicing transfer
02/16/2012
$
(400,000)
$
853,566,911 Transfer of cap due to servicing transfer
06/28/2012
$
(9,728)
$
853,557,183 Updated due to quarterly assessment and reallocation
08/16/2012
$
(7,990,000)
$
845,567,183 Transfer of cap due to servicing transfer
09/27/2012
$
(26,467)
$
845,540,716 Updated due to quarterly assessment and reallocation
12/27/2012
$
(4,466)
$
845,536,250 Updated due to quarterly assessment and reallocation
03/25/2013
$
(16,922)
$
845,519,328 Updated due to quarterly assessment and reallocation
06/27/2013
$
(6,386)
$
845,512,942 Updated due to quarterly assessment and reallocation
09/27/2013
$
(2,289)
$
845,510,653 Updated due to quarterly assessment and reallocation
12/16/2013
$
(60,000)
$
845,450,653 Transfer of cap due to servicing transfer
12/23/2013
$
(3,864,503)
$
841,586,150 Updated due to quarterly assessment and reallocation
01/16/2014
$
(30,000)
$
841,556,150 Transfer of cap due to servicing transfer
01/31/2014
$
(765,231,390)
$
122,060 Reallocation due to MHA program deobligation
- Termination of SPA
- Termination of SPA
76,324,760 Termination of SPA
106
Servicer Modifying Borrowers' Loans
Date
11/06/2009
09/30/2010
Name of Institution
Los Alamos National Bank
M&T Bank
City
Los Alamos
Buffalo
Adjustment Details
State
NM
NY
Transaction
Type
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
$
Pricing
Mechanism
700,000 N/A
700,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
01/22/2010
$
40,000
$
03/26/2010
$
50,000
$
790,000 Updated portfolio data from servicer
07/14/2010
$
1,310,000
$
2,100,000 Updated portfolio data from servicer
09/30/2010
$
75,834
$
2,175,834 Updated portfolio data from servicer
01/06/2011
$
(3)
$
2,175,831 Updated due to quarterly assessment and reallocation
03/30/2011
$
(4)
$
2,175,827 Updated due to quarterly assessment and reallocation
06/29/2011
$
(35)
$
2,175,792 Updated due to quarterly assessment and reallocation
06/28/2012
$
(26)
$
2,175,766 Updated due to quarterly assessment and reallocation
09/27/2012
$
(70)
$
2,175,696 Updated due to quarterly assessment and reallocation
12/27/2012
$
(12)
$
2,175,684 Updated due to quarterly assessment and reallocation
03/25/2013
$
(45)
$
2,175,639 Updated due to quarterly assessment and reallocation
06/27/2013
$
(17)
$
2,175,622 Updated due to quarterly assessment and reallocation
09/27/2013
$
(6)
$
2,175,616 Updated due to quarterly assessment and reallocation
12/23/2013
$
(9,932)
$
2,165,684 Updated due to quarterly assessment and reallocation
03/26/2014
$
(346)
$
2,165,338 Updated due to quarterly assessment and reallocation
06/26/2014
$
(4,087)
$
2,161,251 Updated due to quarterly assessment and reallocation
07/29/2014
$
(8,119)
$
2,153,132 Updated due to quarterly assessment and reallocation
09/29/2014
$
(2,682)
$
2,150,450 Updated due to quarterly assessment and reallocation
12/29/2014
$
(306,175)
$
1,844,275 Updated due to quarterly assessment and reallocation
03/26/2015
$
(116,051)
$
1,728,224 Updated due to quarterly assessment and reallocation
04/28/2015
$
(350,852)
$
1,377,372 Updated due to quarterly assessment and reallocation
06/25/2015
$
(83,233)
$
1,294,139 Updated due to quarterly assessment and reallocation
09/28/2015
$
(111,184)
$
1,182,955 Updated due to quarterly assessment and reallocation
12/28/2015
$
(82,285)
$
1,100,670 Updated due to quarterly assessment and reallocation
02/25/2016
$
(266,057)
$
834,613 Reallocation due to MHA program deobligation
03/28/2016
$
(5,558)
$
829,055 Updated due to quarterly assessment and reallocation
05/31/2016
$
(47,268)
$
781,787 Updated due to quarterly assessment and reallocation
06/27/2016
$
(27,327)
$
754,460 Updated due to quarterly assessment and reallocation
07/27/2016
$
(28,475)
$
725,985 Updated due to quarterly assessment and reallocation
09/28/2016
$
(57,411)
$
668,574 Updated due to quarterly assessment and reallocation
10/25/2016
$
(65,917)
$
602,657 Updated due to quarterly assessment and reallocation
11/07/2016
$
25,413
$
628,070 Updated due to quarterly assessment and reallocation
11/29/2016
$
(699)
$
627,371 Updated due to quarterly assessment and reallocation
12/27/2016
$
(113)
$
627,258 Transfer of cap due to servicing transfer
02/27/2017
$
(2,081)
$
625,177 Transfer of cap due to servicing transfer
04/26/2017
$
(136)
$
625,041 Transfer of cap due to servicing transfer
06/26/2017
$
(1,049)
$
623,992 Transfer of cap due to servicing transfer
07/26/2017
$
(32)
$
623,960 Transfer of cap due to servicing transfer
09/26/2017
$
(28,606)
$
595,354 Transfer of cap due to servicing transfer
10/26/2017
$
(4,093)
$
591,261 Transfer of cap due to servicing transfer
12/21/2017
$
(4,264)
$
586,997 Transfer of cap due to servicing transfer
02/26/2018
$
(615)
$
586,382 Transfer of cap due to servicing transfer
03/22/2018
$
(2,006)
$
584,376 Transfer of cap due to servicing transfer
04/25/2018
$
(3,967)
$
580,409 Transfer of cap due to servicing transfer
06/21/2018
$
(744)
$
579,665 Transfer of cap due to servicing transfer
07/26/2018
$
(144,410)
$
09/30/2010
$
315,389
$
1,015,389 Updated portfolio data from servicer
01/06/2011
$
(1)
$
1,015,388 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
1,015,387 Updated due to quarterly assessment and reallocation
06/29/2011
$
(11)
$
1,015,376 Updated due to quarterly assessment and reallocation
06/28/2012
$
(11)
$
1,015,365 Updated due to quarterly assessment and reallocation
09/27/2012
$
(30)
$
1,015,335 Updated due to quarterly assessment and reallocation
12/27/2012
$
(5)
$
1,015,330 Updated due to quarterly assessment and reallocation
03/25/2013
$
(20)
$
1,015,310 Updated due to quarterly assessment and reallocation
06/27/2013
$
(7)
$
1,015,303 Updated due to quarterly assessment and reallocation
09/27/2013
$
(3)
$
1,015,300 Updated due to quarterly assessment and reallocation
12/23/2013
$
(4,381)
$
1,010,919 Updated due to quarterly assessment and reallocation
02/13/2014
$
1,280,000
$
2,290,919 Transfer of cap due to servicing transfer
03/26/2014
$
125,146
$
2,416,065 Updated due to quarterly assessment and reallocation
04/16/2014
$
20,000
$
2,436,065 Transfer of cap due to servicing transfer
05/15/2014
$
80,000
$
2,516,065 Transfer of cap due to servicing transfer
06/16/2014
$
140,000
$
2,656,065 Transfer of cap due to servicing transfer
06/26/2014
$
230,716
$
2,886,781 Updated due to quarterly assessment and reallocation
07/29/2014
$
688,320
$
3,575,101 Updated due to quarterly assessment and reallocation
08/14/2014
$
2,310,000
$
5,885,101 Transfer of cap due to servicing transfer
09/16/2014
$
20,000
$
5,905,101 Transfer of cap due to servicing transfer
09/29/2014
$
1,468,864
$
7,373,965 Updated due to quarterly assessment and reallocation
11/14/2014
$
60,000
$
12/29/2014
$
5,916,728
$
13,350,693 Updated due to quarterly assessment and reallocation
03/26/2015
$
3,793,179
$
17,143,872 Updated due to quarterly assessment and reallocation
04/28/2015
$
(253,976)
$
16,889,896 Updated due to quarterly assessment and reallocation
06/25/2015
$
2,727,797
$
19,617,693 Updated due to quarterly assessment and reallocation
09/28/2015
$
4,943,712
$
24,561,405 Updated due to quarterly assessment and reallocation
740,000 Updated portfolio data from servicer/additional program initial cap
435,255 Reallocation due to MHA program deobligation
7,433,965 Transfer of cap due to servicing transfer
107
Servicer Modifying Borrowers' Loans
Date
09/30/2010
Name of Institution
Magna Bank
City
Germantown
Adjustment Details
State
TN
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
1,400,000 N/A
06/15/2017
Mainsource Bank
Greensburg
IN
Purchase
Financial Instrument for Home Loan Modifications
$
1 N/A
09/30/2010
Mainstreet Credit Union
Lexena
KS
Purchase
Financial Instrument for Home Loan Modifications
$
500,000 N/A
11/25/2009
Marix Servicing, LLC
Phoenix
AZ
Purchase
Financial Instrument for Home Loan Modifications
$
Note
20,360,000 N/A
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
11/16/2015
$
830,000
$
25,391,405 Transfer of cap due to servicing transfer
12/16/2015
$
20,000
$
25,411,405 Transfer of cap due to servicing transfer
12/28/2015
$
(112,429)
$
25,298,976 Updated due to quarterly assessment and reallocation
02/16/2016
$
1,180,000
$
26,478,976 Transfer of cap due to servicing transfer
02/25/2016
$
(2,303,668)
$
24,175,308 Reallocation due to MHA program deobligation
03/28/2016
$
(44,805)
$
24,130,503 Updated due to quarterly assessment and reallocation
05/16/2016
$
10,000
$
24,140,503 Transfer of cap due to servicing transfer
05/31/2016
$
448,012
$
24,588,515 Updated due to quarterly assessment and reallocation
06/27/2016
$
1,299,823
$
25,888,338 Updated due to quarterly assessment and reallocation
07/27/2016
$
(13,882)
$
25,874,456 Updated due to quarterly assessment and reallocation
09/28/2016
$
(280,484)
$
25,593,972 Updated due to quarterly assessment and reallocation
10/14/2016
$
20,000
$
25,613,972 Transfer of cap due to servicing transfer
10/25/2016
$
(680,363)
$
24,933,609 Updated due to quarterly assessment and reallocation
11/07/2016
$
262,304
$
25,195,913 Updated due to quarterly assessment and reallocation
11/29/2016
$
(17,145)
$
25,178,768 Updated due to quarterly assessment and reallocation
12/15/2016
$
(470,000)
$
24,708,768 Transfer of cap due to servicing transfer
12/27/2016
$
(2,948)
$
24,705,820 Transfer of cap due to servicing transfer
02/27/2017
$
(58,076)
$
24,647,744 Transfer of cap due to servicing transfer
04/26/2017
$
(2,553)
$
24,645,191 Transfer of cap due to servicing transfer
06/26/2017
$
(14,101)
$
24,631,090 Transfer of cap due to servicing transfer
07/26/2017
$
(414)
$
24,630,676 Transfer of cap due to servicing transfer
09/26/2017
$
(67,086)
$
24,563,590 Transfer of cap due to servicing transfer
10/26/2017
$
(36,036)
$
24,527,554 Transfer of cap due to servicing transfer
12/21/2017
$
(78,558)
$
24,448,996 Transfer of cap due to servicing transfer
02/26/2018
$
(4,253)
$
24,444,743 Transfer of cap due to servicing transfer
03/22/2018
$
(14,912)
$
24,429,831 Transfer of cap due to servicing transfer
04/25/2018
$
(32,358)
$
24,397,473 Transfer of cap due to servicing transfer
06/21/2018
$
(9,072)
$
24,388,401 Transfer of cap due to servicing transfer
07/26/2018
$
(4,051,590)
$
20,336,811 Reallocation due to MHA program deobligation
09/30/2010
$
630,778
$
2,030,778 Updated portfolio data from servicer
01/06/2011
$
(3)
$
2,030,775 Updated due to quarterly assessment and reallocation
03/30/2011
$
(3)
$
2,030,772 Updated due to quarterly assessment and reallocation
06/29/2011
$
(33)
$
2,030,739 Updated due to quarterly assessment and reallocation
06/28/2012
$
(25)
$
2,030,714 Updated due to quarterly assessment and reallocation
09/27/2012
$
(68)
$
2,030,646 Updated due to quarterly assessment and reallocation
12/27/2012
$
(11)
$
2,030,635 Updated due to quarterly assessment and reallocation
03/25/2013
$
(44)
$
2,030,591 Updated due to quarterly assessment and reallocation
06/27/2013
$
(16)
$
2,030,575 Updated due to quarterly assessment and reallocation
09/27/2013
$
(6)
$
2,030,569 Updated due to quarterly assessment and reallocation
12/23/2013
$
(9,947)
$
2,020,622 Updated due to quarterly assessment and reallocation
03/26/2014
$
(350)
$
2,020,272 Updated due to quarterly assessment and reallocation
06/26/2014
$
(4,127)
$
2,016,145 Updated due to quarterly assessment and reallocation
07/29/2014
$
(8,198)
$
2,007,947 Updated due to quarterly assessment and reallocation
09/29/2014
$
(2,708)
$
2,005,239 Updated due to quarterly assessment and reallocation
12/29/2014
$
(328,007)
$
1,677,232 Updated due to quarterly assessment and reallocation
03/26/2015
$
(123,358)
$
1,553,874 Updated due to quarterly assessment and reallocation
04/28/2015
$
(486,219)
$
1,067,655 Updated due to quarterly assessment and reallocation
06/25/2015
$
(115,312)
$
952,343 Updated due to quarterly assessment and reallocation
09/28/2015
$
(154,035)
$
798,308 Updated due to quarterly assessment and reallocation
12/28/2015
$
(113,998)
$
684,310 Updated due to quarterly assessment and reallocation
02/25/2016
$
(325,557)
$
358,753 Reallocation due to MHA program deobligation
03/28/2016
$
(6,800)
$
351,953 Updated due to quarterly assessment and reallocation
05/31/2016
$
(53,226)
$
298,727 Updated due to quarterly assessment and reallocation
06/27/2016
$
(31,796)
$
266,931 Updated due to quarterly assessment and reallocation
07/27/2016
$
(31,806)
$
235,125 Updated due to quarterly assessment and reallocation
08/04/2016
$
(235,125)
06/26/2017
$
5,555
$
5,556 Updated due to quarterly assessment and reallocation
09/26/2017
$
326
$
09/30/2010
$
225,278
$
725,278 Updated portfolio data from servicer
01/06/2011
$
(1)
$
725,277 Updated due to quarterly assessment and reallocation
03/09/2011
$
01/22/2010
$
950,000
$
03/26/2010
$
(17,880,000)
$
3,430,000 Updated portfolio data from servicer
06/16/2010
$
1,030,000
$
4,460,000 Transfer of cap due to servicing transfer
07/14/2010
$
(1,160,000)
$
3,300,000 Updated portfolio data from servicer
08/13/2010
$
800,000
$
4,100,000 Transfer of cap due to servicing transfer
09/30/2010
$
200,000
$
4,300,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
1,357,168
$
5,657,168 Updated portfolio data from servicer
01/06/2011
$
(1)
$
03/16/2011
$
5,700,000
$
11,357,167 Transfer of cap due to servicing transfer
03/30/2011
$
(6)
$
11,357,161 Updated due to quarterly assessment and reallocation
04/13/2011
$
7,300,000
$
18,657,161 Transfer of cap due to servicing transfer
05/13/2011
$
300,000
$
18,957,161 Transfer of cap due to servicing transfer
- Termination of SPA
(725,277)
5,882 Transfer of cap due to servicing transfer
- Termination of SPA
21,310,000 Updated portfolio data from servicer/additional program initial cap
5,657,167 Updated due to quarterly assessment and reallocation
108
Servicer Modifying Borrowers' Loans
Date
09/30/2010
12/15/2016
Name of Institution
Marsh Associates, Inc.
Maryland Community Development
Administration
City
Charlotte
Lanham
Adjustment Details
State
NC
MD
Transaction
Type
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
Note
100,000 N/A
- N/A
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
06/16/2011
$
900,000
$
19,857,161 Transfer of cap due to servicing transfer
06/29/2011
$
(154)
$
19,857,007 Updated due to quarterly assessment and reallocation
07/14/2011
$
100,000
$
19,957,007 Transfer of cap due to servicing transfer
08/16/2011
$
300,000
$
20,257,007 Transfer of cap due to servicing transfer
01/13/2012
$
(1,500,000)
$
18,757,007 Transfer of cap due to servicing transfer
02/16/2012
$
(2,100,000)
$
16,657,007 Transfer of cap due to servicing transfer
04/16/2012
$
(1,300,000)
$
15,357,007 Transfer of cap due to servicing transfer
06/14/2012
$
(8,350,000)
$
7,007,007 Transfer of cap due to servicing transfer
06/28/2012
$
(38)
$
7,006,969 Updated due to quarterly assessment and reallocation
08/16/2012
$
(90,000)
$
6,916,969 Transfer of cap due to servicing transfer
09/27/2012
$
(103)
$
6,916,866 Updated due to quarterly assessment and reallocation
10/16/2012
$
(1,020,000)
$
5,896,866 Transfer of cap due to servicing transfer
11/15/2012
$
170,000
$
6,066,866 Transfer of cap due to servicing transfer
12/27/2012
$
(15)
$
6,066,851 Updated due to quarterly assessment and reallocation
02/14/2013
$
(100,000)
$
5,966,851 Transfer of cap due to servicing transfer
03/14/2013
$
(490,000)
$
5,476,851 Transfer of cap due to servicing transfer
03/25/2013
$
(61)
$
5,476,790 Updated due to quarterly assessment and reallocation
04/16/2013
$
(10,000)
$
5,466,790 Transfer of cap due to servicing transfer
05/16/2013
$
(30,000)
$
5,436,790 Transfer of cap due to servicing transfer
06/14/2013
$
(10,000)
$
5,426,790 Transfer of cap due to servicing transfer
06/27/2013
$
(23)
$
5,426,767 Updated due to quarterly assessment and reallocation
07/16/2013
$
(20,000)
$
5,406,767 Transfer of cap due to servicing transfer
09/27/2013
$
(8)
$
5,406,759 Updated due to quarterly assessment and reallocation
12/23/2013
$
(13,934)
$
5,392,825 Updated due to quarterly assessment and reallocation
03/26/2014
$
(490)
$
5,392,335 Updated due to quarterly assessment and reallocation
06/26/2014
$
(5,781)
$
5,386,554 Updated due to quarterly assessment and reallocation
07/29/2014
$
(11,483)
$
5,375,071 Updated due to quarterly assessment and reallocation
09/29/2014
$
(3,793)
$
5,371,278 Updated due to quarterly assessment and reallocation
12/29/2014
$
(459,453)
$
4,911,825 Updated due to quarterly assessment and reallocation
03/26/2015
$
(172,793)
$
4,739,032 Updated due to quarterly assessment and reallocation
04/28/2015
$
(681,066)
$
4,057,966 Updated due to quarterly assessment and reallocation
06/25/2015
$
(161,522)
$
3,896,444 Updated due to quarterly assessment and reallocation
09/28/2015
$
(215,764)
$
3,680,680 Updated due to quarterly assessment and reallocation
12/28/2015
$
(159,682)
$
3,520,998 Updated due to quarterly assessment and reallocation
02/25/2016
$
(544,595)
$
2,976,403 Reallocation due to MHA program deobligation
03/28/2016
$
(11,376)
$
2,965,027 Updated due to quarterly assessment and reallocation
05/31/2016
$
(89,037)
$
2,875,990 Updated due to quarterly assessment and reallocation
06/27/2016
$
(53,189)
$
2,822,801 Updated due to quarterly assessment and reallocation
07/27/2016
$
(53,205)
$
2,769,596 Updated due to quarterly assessment and reallocation
09/28/2016
$
(93,046)
$
2,676,550 Updated due to quarterly assessment and reallocation
10/25/2016
$
(87,922)
$
2,588,628 Updated due to quarterly assessment and reallocation
11/07/2016
$
33,897
$
2,622,525 Updated due to quarterly assessment and reallocation
11/29/2016
$
(1,697)
$
2,620,828 Updated due to quarterly assessment and reallocation
12/27/2016
$
(259)
$
2,620,569 Transfer of cap due to servicing transfer
02/27/2017
$
(4,495)
$
2,616,074 Transfer of cap due to servicing transfer
04/26/2017
$
(295)
$
2,615,779 Transfer of cap due to servicing transfer
06/26/2017
$
(2,265)
$
2,613,514 Transfer of cap due to servicing transfer
07/26/2017
$
(69)
$
2,613,445 Transfer of cap due to servicing transfer
09/26/2017
$
(29,902)
$
2,583,543 Transfer of cap due to servicing transfer
10/26/2017
$
(3,708)
$
2,579,835 Transfer of cap due to servicing transfer
12/21/2017
$
(3,863)
$
2,575,972 Transfer of cap due to servicing transfer
02/26/2018
$
(188)
$
2,575,784 Transfer of cap due to servicing transfer
03/22/2018
$
(611)
$
2,575,173 Transfer of cap due to servicing transfer
04/25/2018
$
(1,209)
$
2,573,964 Transfer of cap due to servicing transfer
06/21/2018
$
(227)
$
2,573,737 Transfer of cap due to servicing transfer
07/26/2018
$
(347,435)
$
2,226,302 Reallocation due to MHA program deobligation
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(1)
$
145,053 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,052 Updated due to quarterly assessment and reallocation
10/15/2013
$
(60,000)
$
85,052 Transfer of cap due to servicing transfer
12/15/2016
$
470,000
$
470,000 Transfer of cap due to servicing transfer
12/27/2016
$
8,805
$
478,805 Transfer of cap due to servicing transfer
02/27/2017
$
(1,995)
$
476,810 Transfer of cap due to servicing transfer
04/26/2017
$
(145)
$
476,665 Transfer of cap due to servicing transfer
06/26/2017
$
(1,268)
$
475,397 Transfer of cap due to servicing transfer
07/26/2017
$
(38)
$
475,359 Transfer of cap due to servicing transfer
09/26/2017
$
(41,856)
$
433,503 Transfer of cap due to servicing transfer
10/26/2017
$
(5,233)
$
428,270 Transfer of cap due to servicing transfer
12/21/2017
$
(1,395)
$
426,875 Transfer of cap due to servicing transfer
02/26/2018
$
(71)
$
426,804 Transfer of cap due to servicing transfer
109
Servicer Modifying Borrowers' Loans
Date
01/13/2017
Name of Institution
Matrix Financial Services Corp
City
Phoenix
Adjustment Details
State
AZ
Transaction
Type
Purchase
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
03/22/2018
$
(235)
$
426,569 Transfer of cap due to servicing transfer
04/25/2018
$
(468)
$
426,101 Transfer of cap due to servicing transfer
06/21/2018
$
(167)
$
425,934 Transfer of cap due to servicing transfer
07/26/2018
$
(70,031)
$
355,903 Reallocation due to MHA program deobligation
01/13/2017
$
500,000
$
500,000 Transfer of cap due to servicing transfer
02/27/2017
$
(4,779)
$
495,221 Transfer of cap due to servicing transfer
04/26/2017
$
(329)
$
494,892 Transfer of cap due to servicing transfer
06/26/2017
$
(2,453)
$
492,439 Transfer of cap due to servicing transfer
07/26/2017
$
(74)
$
492,365 Transfer of cap due to servicing transfer
09/26/2017
$
(94,739)
$
397,626 Transfer of cap due to servicing transfer
10/26/2017
$
(12,824)
$
384,802 Transfer of cap due to servicing transfer
12/21/2017
$
(14,164)
$
370,638 Transfer of cap due to servicing transfer
02/26/2018
$
(688)
$
369,950 Transfer of cap due to servicing transfer
03/22/2018
$
(2,368)
$
367,582 Transfer of cap due to servicing transfer
04/25/2018
$
(4,682)
$
362,900 Transfer of cap due to servicing transfer
06/21/2018
$
(879)
$
362,021 Transfer of cap due to servicing transfer
07/26/2018
$
(129,804)
$
232,217 Reallocation due to MHA program deobligation
350,000 Updated portfolio data from servicer/additional program initial cap
10/28/2009
Members Mortgage Company, Inc
Woburn
MA
Purchase
Financial Instrument for Home Loan Modifications
$
510,000 N/A
04/21/2010
$
(510,000)
09/11/2009
Metropolitan National Bank
Little Rock
AR
Purchase
Financial Instrument for Home Loan Modifications
$
280,000 N/A
10/02/2009
$
70,000
$
12/30/2009
$
620,000
$
03/26/2010
$
100,000
$
1,070,000 Updated portfolio data from servicer
07/14/2010
$
(670,000)
$
400,000 Updated portfolio data from servicer
09/30/2010
$
35,167
$
435,167 Updated portfolio data from servicer
01/06/2011
$
(1)
$
435,166 Updated due to quarterly assessment and reallocation
01/26/2011
$
(435,166)
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
03/26/2015
$
(2,879)
$
133,928 Updated due to quarterly assessment and reallocation
04/28/2015
$
(11,347)
$
122,581 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,691)
$
119,890 Updated due to quarterly assessment and reallocation
09/28/2015
$
(3,595)
$
116,295 Updated due to quarterly assessment and reallocation
12/28/2015
$
(2,660)
$
113,635 Updated due to quarterly assessment and reallocation
02/25/2016
$
(7,597)
$
106,038 Reallocation due to MHA program deobligation
03/28/2016
$
(159)
$
105,879 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,242)
$
104,637 Updated due to quarterly assessment and reallocation
06/27/2016
$
(742)
$
103,895 Updated due to quarterly assessment and reallocation
07/27/2016
$
(742)
$
103,153 Updated due to quarterly assessment and reallocation
09/28/2016
$
(1,298)
$
101,855 Updated due to quarterly assessment and reallocation
10/25/2016
$
(1,226)
$
100,629 Updated due to quarterly assessment and reallocation
11/07/2016
$
472
$
101,101 Updated due to quarterly assessment and reallocation
11/29/2016
$
(8)
$
101,093 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1)
$
101,092 Transfer of cap due to servicing transfer
02/27/2017
$
(22)
$
101,070 Transfer of cap due to servicing transfer
04/26/2017
$
(1)
$
101,069 Transfer of cap due to servicing transfer
06/15/2017
$
(101,069)
09/30/2010
$
49,915,806
$
93,415,806 Updated portfolio data from servicer
01/06/2011
$
(125)
$
93,415,681 Updated due to quarterly assessment and reallocation
03/30/2011
$
(139)
$
93,415,542 Updated due to quarterly assessment and reallocation
06/29/2011
$
(1,223)
$
93,414,319 Updated due to quarterly assessment and reallocation
06/28/2012
$
(797)
$
07/16/2012
$
294,540,000
$
387,953,522 Transfer of cap due to servicing transfer
07/27/2012
$
(263,550,000)
$
124,403,522 Transfer of cap due to servicing transfer
09/27/2012
$
(3,170)
$
124,400,352 Updated due to quarterly assessment and reallocation
12/27/2012
$
(507)
$
124,399,845 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1,729)
$
124,398,116 Updated due to quarterly assessment and reallocation
06/27/2013
$
(593)
$
124,397,523 Updated due to quarterly assessment and reallocation
09/27/2013
$
(199)
$
124,397,324 Updated due to quarterly assessment and reallocation
12/23/2013
$
(280,061)
$
124,117,263 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8,934)
$
124,108,329 Updated due to quarterly assessment and reallocation
06/26/2014
$
(95,352)
$
124,012,977 Updated due to quarterly assessment and reallocation
07/29/2014
$
30,892,185
$
154,905,162 Updated due to quarterly assessment and reallocation
09/29/2014
$
(9,245)
$
154,895,917 Updated due to quarterly assessment and reallocation
12/29/2014
$
75,614,324
$
230,510,241 Updated due to quarterly assessment and reallocation
09/30/2010
09/30/2010
Mid America Mortgage, Inc. (Schmidt
Mortgage Company)
Rocky River
MidFirst Bank (Midland Mortgage Co.) Oklahoma City
OH
OK
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
100,000 N/A
43,500,000 N/A
- Termination of SPA
970,000 Updated portfolio data from servicer/additional program initial cap
- Termination of SPA
- Termination of SPA
93,413,522 Updated due to quarterly assessment and reallocation
110
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
09/15/2010
Midwest Bank and Trust Co.
Midwest Community Bank
Elmwood Park
Freeport
IL
IL
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
300,000 N/A
400,000 N/A
Reason for Adjustment
03/26/2015
$
(240,368)
$
230,269,873 Updated due to quarterly assessment and reallocation
04/28/2015
$
(679,405)
$
229,590,468 Updated due to quarterly assessment and reallocation
05/14/2015
$
27,080,000
$
256,670,468 Transfer of cap due to servicing transfer
06/16/2015
$
8,250,000
$
264,920,468 Transfer of cap due to servicing transfer
06/25/2015
$
(87,379)
$
264,833,089 Updated due to quarterly assessment and reallocation
08/14/2015
$
13,920,000
$
278,753,089 Transfer of cap due to servicing transfer
09/28/2015
$
34,217,510
$
312,970,599 Updated due to quarterly assessment and reallocation
12/16/2015
$
2,100,000
$
315,070,599 Transfer of cap due to servicing transfer
12/28/2015
$
12,428,293
$
327,498,892 Updated due to quarterly assessment and reallocation
02/25/2016
$
(8,220,532)
$
319,278,360 Reallocation due to MHA program deobligation
03/28/2016
$
(80,000)
$
319,198,360 Updated due to quarterly assessment and reallocation
04/14/2016
$
3,320,000
$
322,518,360 Transfer of cap due to servicing transfer
05/31/2016
$
(15,808)
$
322,502,552 Updated due to quarterly assessment and reallocation
06/27/2016
$
6,140,240
$
328,642,792 Updated due to quarterly assessment and reallocation
07/27/2016
$
2,954,926
$
331,597,718 Updated due to quarterly assessment and reallocation
08/16/2016
$
2,470,000
$
334,067,718 Transfer of cap due to servicing transfer
09/28/2016
$
4,930,168
$
338,997,886 Updated due to quarterly assessment and reallocation
10/25/2016
$
3,864,368
$
342,862,254 Updated due to quarterly assessment and reallocation
-
$
342,862,254 Updated due to quarterly assessment and reallocation
11/07/2016
04/14/2010
Adjusted CAP
11/29/2016
$
(124,507)
$
342,737,747 Updated due to quarterly assessment and reallocation
12/15/2016
$
1,220,000
$
343,957,747 Transfer of cap due to servicing transfer
12/27/2016
$
(18,950)
$
343,938,797 Transfer of cap due to servicing transfer
02/27/2017
$
(362,356)
$
343,576,441 Transfer of cap due to servicing transfer
04/26/2017
$
(28,650)
$
343,547,791 Transfer of cap due to servicing transfer
06/26/2017
$
(203,706)
$
343,344,085 Transfer of cap due to servicing transfer
07/26/2017
$
(6,873)
$
343,337,212 Transfer of cap due to servicing transfer
09/26/2017
$
(3,577,664)
$
339,759,548 Transfer of cap due to servicing transfer
10/26/2017
$
(784,963)
$
338,974,585 Transfer of cap due to servicing transfer
12/21/2017
$
(1,346,152)
$
337,628,433 Transfer of cap due to servicing transfer
02/26/2018
$
(103,239)
$
337,525,194 Transfer of cap due to servicing transfer
03/22/2018
$
(375,846)
$
337,149,348 Transfer of cap due to servicing transfer
04/25/2018
$
(784,411)
$
336,364,937 Transfer of cap due to servicing transfer
06/21/2018
$
(170,645)
$
336,194,292 Transfer of cap due to servicing transfer
07/26/2018
$
(60,196,515)
$
275,997,777 Reallocation due to MHA program deobligation
07/14/2010
$
300,000
$
600,000 Updated portfolio data from servicer
09/30/2010
$
(19,778)
$
580,222 Updated portfolio data from servicer
01/06/2011
$
(1)
$
580,221 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
580,220 Updated due to quarterly assessment and reallocation
06/29/2011
$
(8)
$
580,212 Updated due to quarterly assessment and reallocation
07/14/2011
$
(580,212)
09/30/2010
$
180,222
$
580,222 Updated portfolio data from servicer
01/06/2011
$
(1)
$
580,221 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
580,220 Updated due to quarterly assessment and reallocation
06/29/2011
$
(8)
$
580,212 Updated due to quarterly assessment and reallocation
06/28/2012
$
(6)
$
580,206 Updated due to quarterly assessment and reallocation
09/27/2012
$
(17)
$
580,189 Updated due to quarterly assessment and reallocation
12/27/2012
$
(3)
$
580,186 Updated due to quarterly assessment and reallocation
03/25/2013
$
(11)
$
580,175 Updated due to quarterly assessment and reallocation
06/27/2013
$
(4)
$
580,171 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
580,170 Updated due to quarterly assessment and reallocation
12/23/2013
$
(2,474)
$
577,696 Updated due to quarterly assessment and reallocation
03/26/2014
$
(87)
$
577,609 Updated due to quarterly assessment and reallocation
06/26/2014
$
(1,027)
$
576,582 Updated due to quarterly assessment and reallocation
07/29/2014
$
(2,039)
$
574,543 Updated due to quarterly assessment and reallocation
09/29/2014
$
(673)
$
573,870 Updated due to quarterly assessment and reallocation
12/29/2014
$
(81,582)
$
492,288 Updated due to quarterly assessment and reallocation
03/26/2015
$
(30,682)
$
461,606 Updated due to quarterly assessment and reallocation
04/28/2015
$
(120,932)
$
340,674 Updated due to quarterly assessment and reallocation
06/25/2015
$
(28,680)
$
311,994 Updated due to quarterly assessment and reallocation
09/28/2015
$
(38,312)
$
273,682 Updated due to quarterly assessment and reallocation
12/28/2015
$
(28,353)
$
245,329 Updated due to quarterly assessment and reallocation
02/25/2016
$
(80,972)
$
164,357 Reallocation due to MHA program deobligation
03/28/2016
$
(1,691)
$
162,666 Updated due to quarterly assessment and reallocation
05/31/2016
$
(13,238)
$
149,428 Updated due to quarterly assessment and reallocation
06/27/2016
$
(7,908)
$
141,520 Updated due to quarterly assessment and reallocation
07/27/2016
$
(7,911)
$
133,609 Updated due to quarterly assessment and reallocation
09/28/2016
$
(13,835)
$
119,774 Updated due to quarterly assessment and reallocation
10/25/2016
$
(13,073)
$
106,701 Updated due to quarterly assessment and reallocation
11/07/2016
$
5,040
$
111,741 Updated due to quarterly assessment and reallocation
11/29/2016
$
(90)
$
111,651 Updated due to quarterly assessment and reallocation
12/27/2016
$
(14)
$
111,637 Transfer of cap due to servicing transfer
02/27/2017
$
(240)
$
111,397 Transfer of cap due to servicing transfer
04/26/2017
$
(16)
$
111,381 Transfer of cap due to servicing transfer
- Termination of SPA
111
Servicer Modifying Borrowers' Loans
Date
07/22/2009
Name of Institution
Mission Federal Credit Union
City
San Diego
Adjustment Details
State
CA
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
Note
860,000 N/A
Adjustment
Date
CAP Adjustment Amount
MorEquity, Inc.
Evansville
IN
Purchase
Financial Instrument for Home Loan Modifications
$
23,480,000 N/A
5
07/22/2009
Mortgage Center, LLC
Southfield
MI
Purchase
Financial Instrument for Home Loan Modifications
$
4,210,000 N/A
Reason for Adjustment
06/26/2017
$
(121)
$
111,260 Transfer of cap due to servicing transfer
07/26/2017
$
(4)
$
111,256 Transfer of cap due to servicing transfer
09/26/2017
$
(4,816)
$
106,440 Transfer of cap due to servicing transfer
10/26/2017
$
(597)
$
105,843 Transfer of cap due to servicing transfer
12/21/2017
$
(622)
$
105,221 Transfer of cap due to servicing transfer
02/26/2018
$
(30)
$
105,191 Transfer of cap due to servicing transfer
03/22/2018
$
(98)
$
105,093 Transfer of cap due to servicing transfer
04/25/2018
$
(195)
$
104,898 Transfer of cap due to servicing transfer
06/21/2018
$
(37)
$
07/26/2018
$
(4,102)
$
100,759 Reallocation due to MHA program deobligation
09/30/2009
$
(490,000)
$
370,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
6,750,000
$
7,120,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(6,340,000)
$
780,000 Updated portfolio data from servicer
07/14/2010
$
(180,000)
$
600,000 Updated portfolio data from servicer
09/30/2010
$
125,278
$
725,278 Updated portfolio data from servicer
03/30/2011
$
(1)
$
725,277 Updated due to quarterly assessment and reallocation
06/29/2011
$
(4)
$
725,273 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
725,272 Updated due to quarterly assessment and reallocation
09/27/2012
$
(1)
$
725,271 Updated due to quarterly assessment and reallocation
03/25/2013
$
47,663
$
772,934 Updated due to quarterly assessment and reallocation
12/23/2013
$
(149)
$
772,785 Updated due to quarterly assessment and reallocation
03/26/2014
$
(5)
$
772,780 Updated due to quarterly assessment and reallocation
06/26/2014
$
(64)
$
772,716 Updated due to quarterly assessment and reallocation
07/29/2014
$
(19)
$
772,697 Updated due to quarterly assessment and reallocation
09/29/2014
$
(7)
$
772,690 Updated due to quarterly assessment and reallocation
12/29/2014
$
221,158
$
993,848 Updated due to quarterly assessment and reallocation
03/26/2015
$
(880)
$
992,968 Updated due to quarterly assessment and reallocation
04/28/2015
$
(2,830)
$
06/25/2015
$
(2,036)
$
988,102 Updated due to quarterly assessment and reallocation
09/28/2015
$
15,293
$
1,003,395 Updated due to quarterly assessment and reallocation
12/28/2015
$
22,214
$
1,025,609 Updated due to quarterly assessment and reallocation
02/25/2016
$
(33,723)
$
991,886 Reallocation due to MHA program deobligation
03/28/2016
$
(707)
$
991,179 Updated due to quarterly assessment and reallocation
05/31/2016
$
(5,534)
$
985,645 Updated due to quarterly assessment and reallocation
06/27/2016
$
(3,306)
$
982,339 Updated due to quarterly assessment and reallocation
07/27/2016
$
(3,325)
$
09/28/2016
$
(8,237)
$
970,777 Updated due to quarterly assessment and reallocation
10/25/2016
$
29,462
$
1,000,239 Updated due to quarterly assessment and reallocation
-
$
1,000,239 Updated due to quarterly assessment and reallocation
11/29/2016
$
(428)
$
999,811 Updated due to quarterly assessment and reallocation
12/27/2016
$
(59)
$
999,752 Transfer of cap due to servicing transfer
02/27/2017
$
(905)
$
998,847 Transfer of cap due to servicing transfer
04/26/2017
$
(89)
$
998,758 Transfer of cap due to servicing transfer
06/26/2017
$
(683)
$
998,075 Transfer of cap due to servicing transfer
07/26/2017
$
(21)
$
998,054 Transfer of cap due to servicing transfer
09/26/2017
$
(3,723)
$
994,331 Transfer of cap due to servicing transfer
10/26/2017
$
(462)
$
993,869 Transfer of cap due to servicing transfer
12/21/2017
$
(481)
$
993,388 Transfer of cap due to servicing transfer
02/26/2018
$
(23)
$
993,365 Transfer of cap due to servicing transfer
03/22/2018
$
(76)
$
993,289 Transfer of cap due to servicing transfer
04/25/2018
$
(151)
$
993,138 Transfer of cap due to servicing transfer
06/21/2018
$
(30)
$
993,108 Transfer of cap due to servicing transfer
07/26/2018
$
(128,544)
$
09/30/2009
$
18,530,000
$
42,010,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
24,510,000
$
66,520,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
18,360,000
$
84,880,000 Updated portfolio data from servicer
07/14/2010
$
(22,580,000)
$
62,300,000 Updated portfolio data from servicer
09/30/2010
$
(8,194,261)
$
54,105,739 Updated portfolio data from servicer
01/06/2011
$
(37)
$
54,105,702 Updated due to quarterly assessment and reallocation
03/16/2011
$
(29,400,000)
$
24,705,702 Transfer of cap due to servicing transfer
03/30/2011
$
(34)
$
24,705,668 Updated due to quarterly assessment and reallocation
05/26/2011
$
(20,077,503)
$
4,628,165 Termination of SPA
09/30/2009
$
1,780,000
$
5,990,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
2,840,000
$
03/26/2010
$
2,800,000
$
11,630,000 Updated portfolio data from servicer
07/14/2010
$
(5,730,000)
$
5,900,000 Updated portfolio data from servicer
09/30/2010
$
2,658,280
$
8,558,280 Updated portfolio data from servicer
01/06/2011
$
(12)
$
8,558,268 Updated due to quarterly assessment and reallocation
03/30/2011
$
(14)
$
8,558,254 Updated due to quarterly assessment and reallocation
06/29/2011
$
(129)
$
8,558,125 Updated due to quarterly assessment and reallocation
06/28/2012
$
(94)
$
8,558,031 Updated due to quarterly assessment and reallocation
09/27/2012
$
(256)
$
8,557,775 Updated due to quarterly assessment and reallocation
12/27/2012
$
(43)
$
8,557,732 Updated due to quarterly assessment and reallocation
11/07/2016
07/17/2009
Adjusted CAP
104,861 Transfer of cap due to servicing transfer
990,138 Updated due to quarterly assessment and reallocation
979,014 Updated due to quarterly assessment and reallocation
864,564 Reallocation due to MHA program deobligation
8,830,000 Updated portfolio data from servicer/additional program initial cap
112
Servicer Modifying Borrowers' Loans
Date
10/14/2009
Name of Institution
Mortgage Clearing Corporation
City
Tulsa
Adjustment Details
State
OK
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
07/16/2014
Mortgage Investors Group
Knoxville
TN
Purchase
Financial Instrument for Home Loan Modifications
05/28/2009
Nationstar Mortgage, LLC dba Mr
Cooper
Lewisville
TX
Purchase
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
4,860,000 N/A
- N/A
$
Note
101,000,000 N/A
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
03/25/2013
$
(162)
$
8,557,570 Updated due to quarterly assessment and reallocation
06/27/2013
$
(60)
$
8,557,510 Updated due to quarterly assessment and reallocation
09/27/2013
$
(21)
$
8,557,489 Updated due to quarterly assessment and reallocation
12/23/2013
$
(35,751)
$
8,521,738 Updated due to quarterly assessment and reallocation
03/26/2014
$
(1,246)
$
8,520,492 Updated due to quarterly assessment and reallocation
06/26/2014
$
(14,660)
$
8,505,832 Updated due to quarterly assessment and reallocation
07/29/2014
$
(28,986)
$
8,476,846 Updated due to quarterly assessment and reallocation
09/29/2014
$
(9,490)
$
8,467,356 Updated due to quarterly assessment and reallocation
12/29/2014
$
(1,009,361)
$
7,457,995 Updated due to quarterly assessment and reallocation
03/26/2015
$
(376,129)
$
7,081,866 Updated due to quarterly assessment and reallocation
04/28/2015
$
(1,379,506)
$
5,702,360 Updated due to quarterly assessment and reallocation
06/25/2015
$
(322,597)
$
5,379,763 Updated due to quarterly assessment and reallocation
09/28/2015
$
(416,164)
$
4,963,599 Updated due to quarterly assessment and reallocation
12/28/2015
$
(295,000)
$
4,668,599 Updated due to quarterly assessment and reallocation
02/25/2016
$
(988,991)
$
3,679,608 Reallocation due to MHA program deobligation
03/28/2016
$
(20,369)
$
3,659,239 Updated due to quarterly assessment and reallocation
05/31/2016
$
(148,441)
$
3,510,798 Updated due to quarterly assessment and reallocation
06/27/2016
$
(84,458)
$
3,426,340 Updated due to quarterly assessment and reallocation
07/27/2016
$
(85,622)
$
3,340,718 Updated due to quarterly assessment and reallocation
09/28/2016
$
(124,314)
$
3,216,404 Updated due to quarterly assessment and reallocation
10/25/2016
$
(70,911)
$
3,145,493 Updated due to quarterly assessment and reallocation
11/07/2016
$
27,339
$
3,172,832 Updated due to quarterly assessment and reallocation
11/29/2016
$
(1,606)
$
3,171,226 Updated due to quarterly assessment and reallocation
12/27/2016
$
(245)
$
3,170,981 Transfer of cap due to servicing transfer
02/27/2017
$
(3,124)
$
3,167,857 Transfer of cap due to servicing transfer
04/26/2017
$
(202)
$
3,167,655 Transfer of cap due to servicing transfer
06/26/2017
$
(1,750)
$
3,165,905 Transfer of cap due to servicing transfer
07/26/2017
$
(51)
$
3,165,854 Transfer of cap due to servicing transfer
09/26/2017
$
(35,806)
$
3,130,048 Transfer of cap due to servicing transfer
10/26/2017
$
(4,440)
$
3,125,608 Transfer of cap due to servicing transfer
12/21/2017
$
(7,874)
$
3,117,734 Transfer of cap due to servicing transfer
02/26/2018
$
(382)
$
3,117,352 Transfer of cap due to servicing transfer
03/22/2018
$
(1,246)
$
3,116,106 Transfer of cap due to servicing transfer
04/25/2018
$
(3,298)
$
3,112,808 Transfer of cap due to servicing transfer
06/21/2018
$
(736)
$
07/26/2018
$
(468,496)
$
2,643,576 Reallocation due to MHA program deobligation
12/30/2009
$
(2,900,000)
$
1,960,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(1,600,000)
$
360,000 Updated portfolio data from servicer
07/14/2010
$
(260,000)
$
100,000 Updated portfolio data from servicer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
03/09/2011
$
(145,056)
07/16/2014
$
10,000
12/29/2014
$
6,042
$
06/12/2009
$
16,140,000
$
117,140,000 Updated portfolio data from servicer
09/30/2009
$
134,560,000
$
251,700,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
80,250,000
$
331,950,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
67,250,000
$
399,200,000 Updated portfolio data from servicer
07/14/2010
$
(85,900,000)
$
313,300,000 Updated portfolio data from servicer
08/13/2010
$
100,000
$
313,400,000 Transfer of cap due to servicing transfer
09/30/2010
$
2,900,000
$
316,300,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
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 Transfer of cap due to servicing transfer
01/06/2011
$
(363)
$
352,501,123 Updated due to quarterly assessment and reallocation
02/16/2011
$
900,000
$
353,401,123 Transfer of cap due to servicing transfer
03/16/2011
$
29,800,000
$
383,201,123 Transfer of cap due to servicing transfer
03/30/2011
$
(428)
$
383,200,695 Updated due to quarterly assessment and reallocation
05/26/2011
$
20,077,503
$
403,278,198 Transfer of cap due to servicing transfer
06/29/2011
$
(4,248)
$
403,273,950 Updated due to quarterly assessment and reallocation
11/16/2011
$
100,000
$
403,373,950 Transfer of cap due to servicing transfer
03/15/2012
$
(100,000)
$
403,273,950 Transfer of cap due to servicing transfer
05/16/2012
$
90,000
$
403,363,950 Transfer of cap due to servicing transfer
06/14/2012
$
(2,380,000)
$
400,983,950 Transfer of cap due to servicing transfer
06/28/2012
$
(2,957)
$
400,980,993 Updated due to quarterly assessment and reallocation
07/16/2012
$
(2,580,000)
$
398,400,993 Transfer of cap due to servicing transfer
08/16/2012
$
131,450,000
$
529,850,993 Transfer of cap due to servicing transfer
08/23/2012
$
166,976,849
$
696,827,842 Transfer of cap due to servicing transfer
09/27/2012
$
(12,806)
$
696,815,036 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
12/27/2012
$
(1,882)
$
697,023,154 Updated due to quarterly assessment and reallocation
02/14/2013
$
(10,000)
$
697,013,154 Transfer of cap due to servicing transfer
3,112,072 Transfer of cap due to servicing transfer
- Termination of SPA
$
10,000 Transfer of cap due to servicing transfer
16,042 Updated due to quarterly assessment and reallocation
113
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
03/14/2013
$
(280,000)
$
696,733,154 Transfer of cap due to servicing transfer
03/25/2013
$
(6,437)
$
696,726,717 Updated due to quarterly assessment and reallocation
04/16/2013
$
30,000
$
696,756,717 Transfer of cap due to servicing transfer
05/16/2013
$
(1,510,000)
$
695,246,717 Transfer of cap due to servicing transfer
06/14/2013
$
(1,070,000)
$
694,176,717 Transfer of cap due to servicing transfer
06/27/2013
$
(2,099)
$
694,174,618 Updated due to quarterly assessment and reallocation
07/09/2013
$
23,179,591
$
717,354,209 Transfer of cap due to servicing transfer
07/16/2013
$
490,000
$
717,844,209 Transfer of cap due to servicing transfer
09/16/2013
$
289,070,000
$
1,006,914,209 Transfer of cap due to servicing transfer
09/27/2013
$
(1,118)
$
1,006,913,091 Updated due to quarterly assessment and reallocation
10/15/2013
$
63,440,000
$
1,070,353,091 Transfer of cap due to servicing transfer
11/14/2013
$
5,060,000
$
1,075,413,091 Transfer of cap due to servicing transfer
12/16/2013
$
3,210,000
$
1,078,623,091 Transfer of cap due to servicing transfer
12/23/2013
$
(1,697,251)
$
1,076,925,840 Updated due to quarterly assessment and reallocation
01/16/2014
$
(100,000)
$
1,076,825,840 Transfer of cap due to servicing transfer
02/13/2014
$
32,370,000
$
1,109,195,840 Transfer of cap due to servicing transfer
03/14/2014
$
(20,000)
$
1,109,175,840 Transfer of cap due to servicing transfer
03/26/2014
$
(47,177)
$
1,109,128,663 Updated due to quarterly assessment and reallocation
04/16/2014
$
370,000
$
1,109,498,663 Transfer of cap due to servicing transfer
05/15/2014
$
41,040,000
$
1,150,538,663 Transfer of cap due to servicing transfer
06/16/2014
$
120,000
$
1,150,658,663 Transfer of cap due to servicing transfer
06/26/2014
$
(496,816)
$
1,150,161,847 Updated due to quarterly assessment and reallocation
07/16/2014
$
90,000
$
1,150,251,847 Transfer of cap due to servicing transfer
07/29/2014
$
(917,451)
$
1,149,334,396 Updated due to quarterly assessment and reallocation
08/14/2014
$
47,000,000
$
1,196,334,396 Transfer of cap due to servicing transfer
09/16/2014
$
4,250,000
$
1,200,584,396 Transfer of cap due to servicing transfer
09/29/2014
$
(345,854)
$
1,200,238,542 Updated due to quarterly assessment and reallocation
10/16/2014
$
23,560,000
$
1,223,798,542 Transfer of cap due to servicing transfer
11/14/2014
$
350,000
$
1,224,148,542 Transfer of cap due to servicing transfer
12/16/2014
$
(1,170,000)
$
1,222,978,542 Transfer of cap due to servicing transfer
12/29/2014
$
115,871,484
$
1,338,850,026 Updated due to quarterly assessment and reallocation
01/15/2015
$
390,000
$
1,339,240,026 Transfer of cap due to servicing transfer
02/13/2015
$
(20,000)
$
1,339,220,026 Transfer of cap due to servicing transfer
03/16/2015
$
3,770,000
$
1,342,990,026 Transfer of cap due to servicing transfer
03/26/2015
$
77,475,779
$
1,420,465,805 Updated due to quarterly assessment and reallocation
04/16/2015
$
1,400,000
$
1,421,865,805 Transfer of cap due to servicing transfer
04/28/2015
$
436,566,037
$
1,858,431,842 Updated due to quarterly assessment and reallocation
-
$
1,858,431,842 Transfer of cap due to servicing transfer
05/14/2015
06/16/2015
$
70,000
$
1,858,501,842 Transfer of cap due to servicing transfer
06/25/2015
$
47,906,687
$
1,906,408,529 Updated due to quarterly assessment and reallocation
07/16/2015
$
(1,480,000)
$
1,904,928,529 Transfer of cap due to servicing transfer
08/14/2015
$
(10,000)
$
1,904,918,529 Transfer of cap due to servicing transfer
09/16/2015
$
(1,870,000)
$
1,903,048,529 Transfer of cap due to servicing transfer
09/28/2015
$
161,750,620
$
2,064,799,149 Updated due to quarterly assessment and reallocation
10/15/2015
$
350,000
$
2,065,149,149 Transfer of cap due to servicing transfer
11/16/2015
$
(60,000)
$
2,065,089,149 Transfer of cap due to servicing transfer
12/16/2015
$
(90,000)
$
2,064,999,149 Transfer of cap due to servicing transfer
12/28/2015
$
130,704,697
$
2,195,703,846 Updated due to quarterly assessment and reallocation
01/14/2016
$
(2,860,000)
$
2,192,843,846 Transfer of cap due to servicing transfer
02/16/2016
$
3,400,000
$
2,196,243,846 Transfer of cap due to servicing transfer
02/25/2016
$
(102,109,507)
$
2,094,134,339 Reallocation due to MHA program deobligation
03/16/2016
$
1,050,000
$
2,095,184,339 Transfer of cap due to servicing transfer
03/28/2016
$
(1,853,801)
$
2,093,330,538 Updated due to quarterly assessment and reallocation
04/14/2016
$
(120,000)
$
2,093,210,538 Transfer of cap due to servicing transfer
05/16/2016
$
1,360,000
$
2,094,570,538 Transfer of cap due to servicing transfer
05/31/2016
$
(9,332,357)
$
2,085,238,181 Updated due to quarterly assessment and reallocation
06/16/2016
$
(190,000)
$
2,085,048,181 Transfer of cap due to servicing transfer
06/27/2016
$
(1,088,825)
$
2,083,959,356 Updated due to quarterly assessment and reallocation
07/14/2016
$
(4,290,000)
$
2,079,669,356 Transfer of cap due to servicing transfer
07/27/2016
$
4,083,273
$
2,083,752,629 Updated due to quarterly assessment and reallocation
08/16/2016
$
(340,000)
$
2,083,412,629 Transfer of cap due to servicing transfer
09/15/2016
$
7,740,000
$
2,091,152,629 Transfer of cap due to servicing transfer
09/28/2016
$
17,508,589
$
2,108,661,218 Updated due to quarterly assessment and reallocation
10/14/2016
$
265,260,000
$
2,373,921,218 Transfer of cap due to servicing transfer
10/25/2016
$
(175,223,071)
$
2,198,698,147 Updated due to quarterly assessment and reallocation
11/07/2016
$
(89,818,211)
$
2,108,879,936 Updated due to quarterly assessment and reallocation
11/16/2016
$
390,000
$
2,109,269,936 Transfer of cap due to servicing transfer
11/29/2016
$
(477,093)
$
2,108,792,843 Updated due to quarterly assessment and reallocation
12/15/2016
$
1,610,000
$
12/27/2016
$
(69,019)
$
2,110,333,824 Transfer of cap due to servicing transfer
01/13/2017
$
140,000
$
2,110,473,824 Transfer of cap due to servicing transfer
02/16/2017
$
1,170,000
$
2,111,643,824 Transfer of cap due to servicing transfer
02/27/2017
$
(1,035,258)
$
2,110,608,566 Transfer of cap due to servicing transfer
2,110,402,843 Transfer of cap due to servicing transfer
114
Servicer Modifying Borrowers' Loans
Date
12/16/2013
03/10/2010
08/14/2014
Name of Institution
Nationwide Advantage Mortgage
Company
Navy Federal Credit Union
New Penn Financial, LLC dba
Shellpoint Mortgage Servicing
City
Des Moines
Vienna
Greenville
Adjustment Details
State
IA
VA
SC
Transaction
Type
Purchase
Purchase
Purchase
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
$
Note
3
60,780,000 N/A
- N/A
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
03/16/2017
$
2,060,000
$
2,112,668,566 Transfer of cap due to servicing transfer
04/26/2017
$
(75,416)
$
2,112,593,150 Transfer of cap due to servicing transfer
06/26/2017
$
(637,490)
$
2,111,955,660 Transfer of cap due to servicing transfer
07/26/2017
$
(22,654)
$
2,111,933,006 Transfer of cap due to servicing transfer
09/26/2017
$
38,054,223
$
2,149,987,229 Transfer of cap due to servicing transfer
10/16/2017
$
(1)
$
2,149,987,228 Transfer of cap due to servicing transfer
10/26/2017
$
(943,780)
$
2,149,043,448 Transfer of cap due to servicing transfer
12/21/2017
$
(2,500,227)
$
2,146,543,221 Transfer of cap due to servicing transfer
02/26/2018
$
(213,452)
$
2,146,329,769 Transfer of cap due to servicing transfer
03/22/2018
$
(877,318)
$
2,145,452,451 Transfer of cap due to servicing transfer
04/25/2018
$
(1,655,650)
$
2,143,796,801 Transfer of cap due to servicing transfer
06/21/2018
$
(403,600)
$
2,143,393,201 Transfer of cap due to servicing transfer
07/26/2018
$
(314,840,116)
$
1,828,553,085 Reallocation due to MHA program deobligation
12/16/2013
$
10,000
$
10,000 Transfer of cap due to servicing transfer
05/15/2014
$
10,000
$
07/14/2010
$
(44,880,000)
$
15,900,000 Updated portfolio data from servicer
09/30/2010
$
1,071,505
$
16,971,505 Updated portfolio data from servicer
01/06/2011
$
(23)
$
16,971,482 Updated due to quarterly assessment and reallocation
03/30/2011
$
(26)
$
16,971,456 Updated due to quarterly assessment and reallocation
06/29/2011
$
(238)
$
16,971,218 Updated due to quarterly assessment and reallocation
06/28/2012
$
(145)
$
16,971,073 Updated due to quarterly assessment and reallocation
09/27/2012
$
(374)
$
16,970,699 Updated due to quarterly assessment and reallocation
12/27/2012
$
(58)
$
16,970,641 Updated due to quarterly assessment and reallocation
03/25/2013
$
(199)
$
16,970,442 Updated due to quarterly assessment and reallocation
06/27/2013
$
(68)
$
16,970,374 Updated due to quarterly assessment and reallocation
09/27/2013
$
(22)
$
16,970,352 Updated due to quarterly assessment and reallocation
12/23/2013
$
(36,317)
$
16,934,035 Updated due to quarterly assessment and reallocation
03/26/2014
$
(1,230)
$
16,932,805 Updated due to quarterly assessment and reallocation
06/26/2014
$
(13,708)
$
16,919,097 Updated due to quarterly assessment and reallocation
07/29/2014
$
(26,600)
$
16,892,497 Updated due to quarterly assessment and reallocation
09/29/2014
$
(8,647)
$
16,883,850 Updated due to quarterly assessment and reallocation
12/29/2014
$
(473,803)
$
16,410,047 Updated due to quarterly assessment and reallocation
03/26/2015
$
(141,405)
$
16,268,642 Updated due to quarterly assessment and reallocation
04/28/2015
$
989,851
$
17,258,493 Updated due to quarterly assessment and reallocation
06/25/2015
$
78,769
$
17,337,262 Updated due to quarterly assessment and reallocation
09/28/2015
$
259,191
$
17,596,453 Updated due to quarterly assessment and reallocation
12/28/2015
$
280,053
$
17,876,506 Updated due to quarterly assessment and reallocation
02/25/2016
$
(611,191)
$
17,265,315 Reallocation due to MHA program deobligation
03/28/2016
$
(7,004)
$
17,258,311 Updated due to quarterly assessment and reallocation
05/31/2016
$
(38,160)
$
17,220,151 Updated due to quarterly assessment and reallocation
06/27/2016
$
(18,454)
$
17,201,697 Updated due to quarterly assessment and reallocation
07/27/2016
$
(23,342)
$
17,178,355 Updated due to quarterly assessment and reallocation
09/28/2016
$
(41,293)
$
17,137,062 Updated due to quarterly assessment and reallocation
10/25/2016
$
(77,064)
$
17,059,998 Updated due to quarterly assessment and reallocation
11/07/2016
$
29,711
$
17,089,709 Updated due to quarterly assessment and reallocation
11/29/2016
$
(7,854)
$
17,081,855 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1,142)
$
17,080,713 Transfer of cap due to servicing transfer
02/27/2017
$
(18,458)
$
17,062,255 Transfer of cap due to servicing transfer
04/26/2017
$
(1,318)
$
17,060,937 Transfer of cap due to servicing transfer
06/26/2017
$
(10,885)
$
17,050,052 Transfer of cap due to servicing transfer
07/26/2017
$
(351)
$
17,049,701 Transfer of cap due to servicing transfer
09/26/2017
$
(117,803)
$
16,931,898 Transfer of cap due to servicing transfer
10/26/2017
$
(21,873)
$
16,910,025 Transfer of cap due to servicing transfer
12/21/2017
$
(30,348)
$
16,879,677 Transfer of cap due to servicing transfer
02/26/2018
$
(2,520)
$
16,877,157 Transfer of cap due to servicing transfer
03/22/2018
$
(8,405)
$
16,868,752 Transfer of cap due to servicing transfer
04/25/2018
$
(24,017)
$
16,844,735 Transfer of cap due to servicing transfer
06/21/2018
$
(5,331)
$
16,839,404 Transfer of cap due to servicing transfer
07/26/2018
$
(2,656,490)
$
14,182,914 Reallocation due to MHA program deobligation
08/14/2014
$
240,000
$
240,000 Transfer of cap due to servicing transfer
09/16/2014
$
59,230,004
$
59,470,004 Transfer of cap due to servicing transfer
09/29/2014
$
(69,838)
$
59,400,166 Updated due to quarterly assessment and reallocation
10/16/2014
$
11,480,000
$
70,880,166 Transfer of cap due to servicing transfer
11/03/2014
$
800,680
$
71,680,846 Transfer of cap due to merger/acquisition
11/14/2014
$
1,750,000
$
73,430,846 Transfer of cap due to servicing transfer
12/16/2014
$
440,000
$
73,870,846 Transfer of cap due to servicing transfer
12/29/2014
$
(7,109,361)
$
66,761,485 Updated due to quarterly assessment and reallocation
01/15/2015
$
300,000
$
67,061,485 Transfer of cap due to servicing transfer
02/13/2015
$
3,380,000
$
70,441,485 Transfer of cap due to servicing transfer
03/16/2015
$
1,300,000
$
71,741,485 Transfer of cap due to servicing transfer
03/26/2015
$
(3,077,094)
$
68,664,391 Updated due to quarterly assessment and reallocation
04/16/2015
$
(2,060,000)
$
66,604,391 Transfer of cap due to servicing transfer
20,000 Transfer of cap due to servicing transfer
115
Servicer Modifying Borrowers' Loans
Date
04/13/2011
Name of Institution
City
New York Community Bank (AmTrust
Cleveland
Bank)
Adjustment Details
State
OH
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
- N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
04/28/2015
$
(11,593,331)
$
55,011,060 Updated due to quarterly assessment and reallocation
05/14/2015
$
1,410,000
$
56,421,060 Transfer of cap due to servicing transfer
06/16/2015
$
5,720,000
$
62,141,060 Transfer of cap due to servicing transfer
06/25/2015
$
(2,857,812)
$
59,283,248 Updated due to quarterly assessment and reallocation
07/16/2015
$
13,130,000
$
72,413,248 Transfer of cap due to servicing transfer
08/14/2015
$
(2,810,000)
$
69,603,248 Transfer of cap due to servicing transfer
09/16/2015
$
1,280,000
$
70,883,248 Transfer of cap due to servicing transfer
09/28/2015
$
(3,708,330)
$
67,174,918 Updated due to quarterly assessment and reallocation
10/15/2015
$
680,000
$
67,854,918 Transfer of cap due to servicing transfer
11/16/2015
$
(300,000)
$
67,554,918 Transfer of cap due to servicing transfer
12/16/2015
$
1,410,000
$
68,964,918 Transfer of cap due to servicing transfer
12/28/2015
$
(2,856,501)
$
66,108,417 Updated due to quarterly assessment and reallocation
01/14/2016
$
3,030,000
$
69,138,417 Transfer of cap due to servicing transfer
02/16/2016
$
4,770,000
$
73,908,417 Transfer of cap due to servicing transfer
02/25/2016
$
(13,405,332)
$
60,503,085 Reallocation due to MHA program deobligation
03/16/2016
$
19,990,000
$
80,493,085 Transfer of cap due to servicing transfer
03/28/2016
$
(758,592)
$
79,734,493 Updated due to quarterly assessment and reallocation
04/14/2016
$
7,800,000
$
87,534,493 Transfer of cap due to servicing transfer
05/16/2016
$
4,050,000
$
91,584,493 Transfer of cap due to servicing transfer
05/31/2016
$
(7,677,850)
$
83,906,643 Updated due to quarterly assessment and reallocation
06/16/2016
$
4,570,000
$
88,476,643 Transfer of cap due to servicing transfer
06/27/2016
$
(4,563,638)
$
83,913,005 Updated due to quarterly assessment and reallocation
07/14/2016
$
380,000
$
84,293,005 Transfer of cap due to servicing transfer
07/27/2016
$
(4,538,684)
$
79,754,321 Updated due to quarterly assessment and reallocation
08/16/2016
$
2,430,000
$
82,184,321 Transfer of cap due to servicing transfer
09/15/2016
$
450,000
$
82,634,321 Transfer of cap due to servicing transfer
09/28/2016
$
(6,594,915)
$
76,039,406 Updated due to quarterly assessment and reallocation
10/14/2016
$
1,320,000
$
77,359,406 Transfer of cap due to servicing transfer
10/25/2016
$
(160,395)
$
77,199,011 Updated due to quarterly assessment and reallocation
11/07/2016
$
61,838
$
77,260,849 Updated due to quarterly assessment and reallocation
11/16/2016
$
950,000
$
78,210,849 Transfer of cap due to servicing transfer
11/29/2016
$
11,811,740
$
90,022,589 Updated due to quarterly assessment and reallocation
12/15/2016
$
2,740,000
$
92,762,589 Transfer of cap due to servicing transfer
12/27/2016
$
1,622,420
$
94,385,009 Transfer of cap due to servicing transfer
01/13/2017
$
630,000
$
95,015,009 Transfer of cap due to servicing transfer
02/16/2017
$
71,430,000
$
166,445,009 Transfer of cap due to servicing transfer
02/27/2017
$
(768,780)
$
165,676,229 Transfer of cap due to servicing transfer
03/16/2017
$
2,270,000
$
167,946,229 Transfer of cap due to servicing transfer
04/26/2017
$
(49,435)
$
167,896,794 Transfer of cap due to servicing transfer
06/26/2017
$
(342,770)
$
167,554,024 Transfer of cap due to servicing transfer
07/26/2017
$
(9,942)
$
167,544,082 Transfer of cap due to servicing transfer
09/26/2017
$
(8,919,264)
$
158,624,818 Transfer of cap due to servicing transfer
10/26/2017
$
(1,353,381)
$
157,271,437 Transfer of cap due to servicing transfer
12/21/2017
$
(1,635,881)
$
155,635,556 Transfer of cap due to servicing transfer
02/26/2018
$
(64,270)
$
155,571,286 Transfer of cap due to servicing transfer
03/22/2018
$
(214,202)
$
155,357,084 Transfer of cap due to servicing transfer
04/25/2018
$
(405,472)
$
154,951,612 Transfer of cap due to servicing transfer
06/21/2018
$
(103,840)
$
154,847,772 Transfer of cap due to servicing transfer
07/26/2018
$
(29,875,895)
$
124,971,877 Reallocation due to MHA program deobligation
04/13/2011
$
200,000
$
200,000 Transfer of cap due to servicing transfer
05/13/2011
$
100,000
$
300,000 Transfer of cap due to servicing transfer
06/16/2011
$
300,000
$
600,000 Transfer of cap due to servicing transfer
06/29/2011
$
(9)
$
599,991 Updated due to quarterly assessment and reallocation
08/16/2011
$
200,000
$
799,991 Transfer of cap due to servicing transfer
06/28/2012
$
(7)
$
799,984 Updated due to quarterly assessment and reallocation
09/27/2012
$
(19)
$
799,965 Updated due to quarterly assessment and reallocation
12/27/2012
$
(3)
$
799,962 Updated due to quarterly assessment and reallocation
03/25/2013
$
(12)
$
799,950 Updated due to quarterly assessment and reallocation
06/27/2013
$
(5)
$
799,945 Updated due to quarterly assessment and reallocation
07/16/2013
$
150,000
$
949,945 Transfer of cap due to servicing transfer
09/27/2013
$
(2)
$
949,943 Updated due to quarterly assessment and reallocation
12/23/2013
$
(3,454)
$
946,489 Updated due to quarterly assessment and reallocation
03/26/2014
$
(121)
$
946,368 Updated due to quarterly assessment and reallocation
06/26/2014
$
(1,433)
$
944,935 Updated due to quarterly assessment and reallocation
07/29/2014
$
(2,846)
$
942,089 Updated due to quarterly assessment and reallocation
09/29/2014
$
(940)
$
941,149 Updated due to quarterly assessment and reallocation
12/29/2014
$
(93,451)
$
847,698 Updated due to quarterly assessment and reallocation
03/26/2015
$
(38,280)
$
809,418 Updated due to quarterly assessment and reallocation
04/28/2015
$
(150,882)
$
658,536 Updated due to quarterly assessment and reallocation
06/25/2015
$
(36,528)
$
622,008 Updated due to quarterly assessment and reallocation
09/28/2015
$
(48,795)
$
573,213 Updated due to quarterly assessment and reallocation
12/28/2015
$
(36,112)
$
537,101 Updated due to quarterly assessment and reallocation
116
Servicer Modifying Borrowers' Loans
Date
03/16/2015
Name of Institution
NJ Housing & Mortgage Finance
City
Trenton
Adjustment Details
State
NJ
Transaction
Type
Purchase
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
10/16/2017
North American Savings Bank
Grandview
MO
Purchase
Financial Instrument for Home Loan Modifications
$
1 N/A
08/05/2009
Oakland Municipal Credit Union
Oakland
CA
Purchase
Financial Instrument for Home Loan Modifications
$
140,000 N/A
Note
3
3
6
04/16/2009
Ocwen Loan Servicing LLC
West Palm Beach
FL
Purchase
Financial Instrument for Home Loan Modifications
$
659,000,000 N/A
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
02/25/2016
$
(114,666)
$
422,435 Reallocation due to MHA program deobligation
03/28/2016
$
(2,395)
$
420,040 Updated due to quarterly assessment and reallocation
05/31/2016
$
(18,747)
$
401,293 Updated due to quarterly assessment and reallocation
06/16/2016
$
40,000
$
441,293 Transfer of cap due to servicing transfer
06/27/2016
$
(10,639)
$
430,654 Updated due to quarterly assessment and reallocation
07/27/2016
$
(13,632)
$
417,022 Updated due to quarterly assessment and reallocation
09/28/2016
$
(23,841)
$
393,181 Updated due to quarterly assessment and reallocation
10/25/2016
$
(22,528)
$
370,653 Updated due to quarterly assessment and reallocation
11/07/2016
$
8,685
$
379,338 Updated due to quarterly assessment and reallocation
11/29/2016
$
(310)
$
379,028 Updated due to quarterly assessment and reallocation
12/27/2016
$
(47)
$
378,981 Transfer of cap due to servicing transfer
02/27/2017
$
(820)
$
378,161 Transfer of cap due to servicing transfer
04/26/2017
$
(62)
$
378,099 Transfer of cap due to servicing transfer
06/26/2017
$
(474)
$
377,625 Transfer of cap due to servicing transfer
07/26/2017
$
(14)
$
377,611 Transfer of cap due to servicing transfer
09/26/2017
$
(10,498)
$
367,113 Transfer of cap due to servicing transfer
10/26/2017
$
(1,302)
$
365,811 Transfer of cap due to servicing transfer
12/21/2017
$
(1,356)
$
364,455 Transfer of cap due to servicing transfer
02/26/2018
$
(168)
$
364,287 Transfer of cap due to servicing transfer
03/22/2018
$
(548)
$
363,739 Transfer of cap due to servicing transfer
04/25/2018
$
(1,083)
$
362,656 Transfer of cap due to servicing transfer
06/21/2018
$
(203)
$
362,453 Transfer of cap due to servicing transfer
07/26/2018
$
(65,265)
$
297,188 Reallocation due to MHA program deobligation
03/16/2015
$
210,000
$
210,000 Transfer of cap due to servicing transfer
03/26/2015
$
52,082
$
262,082 Updated due to quarterly assessment and reallocation
04/28/2015
$
(20,260)
$
241,822 Updated due to quarterly assessment and reallocation
06/25/2015
$
(4,820)
$
237,002 Updated due to quarterly assessment and reallocation
09/28/2015
$
(6,306)
$
230,696 Updated due to quarterly assessment and reallocation
12/28/2015
$
(4,751)
$
225,945 Updated due to quarterly assessment and reallocation
02/25/2016
$
(20,231)
$
205,714 Reallocation due to MHA program deobligation
03/28/2016
$
(423)
$
205,291 Updated due to quarterly assessment and reallocation
05/31/2016
$
(3,307)
$
201,984 Updated due to quarterly assessment and reallocation
06/27/2016
$
(1,976)
$
200,008 Updated due to quarterly assessment and reallocation
07/27/2016
$
(1,995)
$
198,013 Updated due to quarterly assessment and reallocation
09/28/2016
$
(3,529)
$
194,484 Updated due to quarterly assessment and reallocation
10/25/2016
$
(3,400)
$
191,084 Updated due to quarterly assessment and reallocation
11/07/2016
$
1,311
$
192,395 Updated due to quarterly assessment and reallocation
11/29/2016
$
(105)
$
192,290 Updated due to quarterly assessment and reallocation
12/27/2016
$
(16)
$
192,274 Transfer of cap due to servicing transfer
02/27/2017
$
(279)
$
191,995 Transfer of cap due to servicing transfer
04/26/2017
$
(18)
$
191,977 Transfer of cap due to servicing transfer
06/26/2017
$
(141)
$
191,836 Transfer of cap due to servicing transfer
07/26/2017
$
(4)
$
191,832 Transfer of cap due to servicing transfer
09/26/2017
$
(1,276)
$
190,556 Transfer of cap due to servicing transfer
10/26/2017
$
(167)
$
190,389 Transfer of cap due to servicing transfer
12/21/2017
$
(195)
$
190,194 Transfer of cap due to servicing transfer
02/26/2018
$
(11)
$
190,183 Transfer of cap due to servicing transfer
03/22/2018
$
(36)
$
190,147 Transfer of cap due to servicing transfer
04/25/2018
$
(76)
$
190,071 Transfer of cap due to servicing transfer
06/21/2018
$
(16)
$
190,055 Transfer of cap due to servicing transfer
07/26/2018
$
(25,625)
$
10/26/2017
$
51,482
$
09/30/2009
$
290,000
$
430,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
210,000
$
640,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
170,000
$
810,000 Updated portfolio data from servicer
07/14/2010
$
(10,000)
$
800,000 Updated portfolio data from servicer
09/30/2010
$
(74,722)
$
725,278 Updated portfolio data from servicer
01/06/2011
$
(1)
$
725,277 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
725,276 Updated due to quarterly assessment and reallocation
04/13/2011
$
(200,000)
$
525,276 Transfer of cap due to servicing transfer
06/29/2011
$
(7)
$
525,269 Updated due to quarterly assessment and reallocation
07/22/2011
$
(515,201)
$
06/12/2009
$
(105,620,000)
$
553,380,000 Updated portfolio data from servicer
09/30/2009
$
102,580,000
$
655,960,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
277,640,000
$
933,600,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
46,860,000
$
06/16/2010
$
156,050,000
$
07/14/2010
$
(191,610,000)
$
944,900,000 Updated portfolio data from servicer
07/16/2010
$
23,710,000
$
968,610,000 Transfer of cap due to servicing transfer
164,430 Reallocation due to MHA program deobligation
51,483 Transfer of cap due to servicing transfer
10,068 Termination of SPA
980,460,000 Updated portfolio data from servicer
1,136,510,000 Transfer of cap due to servicing transfer
09/15/2010
$
100,000
$
09/30/2010
$
3,742,740
$
10/15/2010
$
170,800,000
$
1,143,252,740 Transfer of cap due to servicing transfer
01/06/2011
$
(1,020)
$
1,143,251,720 Updated due to quarterly assessment and reallocation
968,710,000 Updated portfolio data from servicer/additional program initial cap
972,452,740 Updated portfolio data from servicer
117
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
02/16/2011
$
900,000
$
1,144,151,720 Transfer of cap due to servicing transfer
03/30/2011
$
(1,114)
$
1,144,150,606 Updated due to quarterly assessment and reallocation
06/29/2011
$
(10,044)
$
1,144,140,562 Updated due to quarterly assessment and reallocation
10/14/2011
$
(100,000)
$
1,144,040,562 Transfer of cap due to servicing transfer
01/13/2012
$
194,800,000
$
1,338,840,562 Transfer of cap due to servicing transfer
02/16/2012
$
400,000
$
1,339,240,562 Transfer of cap due to servicing transfer
03/15/2012
$
100,000
$
1,339,340,562 Transfer of cap due to servicing transfer
05/16/2012
$
123,530,000
$
1,462,870,562 Transfer of cap due to servicing transfer
06/14/2012
$
354,290,000
$
1,817,160,562 Transfer of cap due to servicing transfer
06/28/2012
$
(6,308)
$
1,817,154,254 Updated due to quarterly assessment and reallocation
07/16/2012
$
10,080,000
$
1,827,234,254 Transfer of cap due to servicing transfer
08/16/2012
$
8,390,000
$
1,835,624,254 Transfer of cap due to servicing transfer
09/27/2012
$
(10,733)
$
1,835,613,521 Updated due to quarterly assessment and 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
$
1,865,493,521 Transfer of cap due to servicing transfer
12/27/2012
$
(1,015)
$
1,865,492,506 Updated due to quarterly assessment and reallocation
01/16/2013
$
410,000
$
1,865,902,506 Transfer of cap due to servicing transfer
02/14/2013
$
960,000
$
1,866,862,506 Transfer of cap due to servicing transfer
03/14/2013
$
83,880,000
$
1,950,742,506 Transfer of cap due to servicing transfer
03/25/2013
$
(1,877)
$
1,950,740,629 Updated due to quarterly assessment and reallocation
04/09/2013
$
157,237,929
$
2,107,978,558 Transfer of cap due to servicing transfer
04/16/2013
$
620,860,000
$
2,728,838,558 Transfer of cap due to servicing transfer
05/16/2013
$
18,970,000
$
2,747,808,558 Transfer of cap due to servicing transfer
06/14/2013
$
(190,000)
$
2,747,618,558 Transfer of cap due to servicing transfer
06/27/2013
$
(2,817)
$
2,747,615,741 Updated due to quarterly assessment and reallocation
07/16/2013
$
14,710,000
$
2,762,325,741 Transfer of cap due to servicing transfer
09/16/2013
$
66,170,000
$
2,828,495,741 Transfer of cap due to servicing transfer
09/27/2013
$
(276)
$
2,828,495,465 Updated due to quarterly assessment and reallocation
10/15/2013
$
267,580,000
$
3,096,075,465 Transfer of cap due to servicing transfer
11/14/2013
$
4,290,000
$
3,100,365,465 Transfer of cap due to servicing transfer
12/16/2013
$
280,370,000
$
3,380,735,465 Transfer of cap due to servicing transfer
12/23/2013
$
49,286,732
$
3,430,022,197 Updated due to quarterly assessment and reallocation
01/16/2014
$
51,180,000
$
3,481,202,197 Transfer of cap due to servicing transfer
01/31/2014
$
765,231,390
$
4,246,433,587 Transfer of cap due to merger/acquisition
02/13/2014
$
38,900,000
$
4,285,333,587 Transfer of cap due to servicing transfer
02/27/2014
$
360,860,500
$
4,646,194,086 Transfer of cap due to merger/acquisition
03/14/2014
$
25,080,000
$
4,671,274,086 Transfer of cap due to servicing transfer
03/26/2014
$
(167,651)
$
4,671,106,435 Updated due to quarterly assessment and reallocation
04/16/2014
$
11,980,000
$
4,683,086,435 Transfer of cap due to servicing transfer
05/15/2014
$
130,000
$
4,683,216,435 Transfer of cap due to servicing transfer
05/28/2014
$
284,475,088
$
4,967,691,523 Transfer of cap due to merger/acquisition
06/16/2014
$
690,000
$
4,968,381,523 Transfer of cap due to servicing transfer
06/26/2014
$
(2,284,678)
$
4,966,096,845 Updated due to quarterly assessment and reallocation
07/16/2014
$
(10,000)
$
4,966,086,845 Transfer of cap due to servicing transfer
07/29/2014
$
(4,336,420)
$
4,961,750,425 Updated due to quarterly assessment and reallocation
08/14/2014
$
1,030,000
$
4,962,780,425 Transfer of cap due to servicing transfer
09/16/2014
$
2,290,000
$
4,965,070,425 Transfer of cap due to servicing transfer
09/29/2014
$
(1,332,356)
$
4,963,738,069 Updated due to quarterly assessment and reallocation
10/16/2014
$
(55,610,000)
$
4,908,128,069 Transfer of cap due to servicing transfer
11/14/2014
$
(560,000)
$
4,907,568,069 Transfer of cap due to servicing transfer
12/16/2014
$
1,110,000
$
4,908,678,069 Transfer of cap due to servicing transfer
12/29/2014
$
301,404,585
$
5,210,082,654 Updated due to quarterly assessment and reallocation
01/15/2015
$
100,000
$
5,210,182,654 Transfer of cap due to servicing transfer
02/13/2015
$
31,540,000
$
5,241,722,654 Transfer of cap due to servicing transfer
03/26/2015
$
185,944,745
$
5,427,667,399 Updated due to quarterly assessment and reallocation
04/16/2015
$
(4,540,000)
$
5,423,127,399 Transfer of cap due to servicing transfer
04/28/2015
$
427,273,750
$
5,850,401,149 Updated due to quarterly assessment and reallocation
05/14/2015
$
(2,790,000)
$
5,847,611,149 Transfer of cap due to servicing transfer
06/16/2015
$
(8,130,000)
$
5,839,481,149 Transfer of cap due to servicing transfer
06/25/2015
$
166,414,320
$
6,005,895,469 Updated due to quarterly assessment and reallocation
07/16/2015
$
(7,110,000)
$
5,998,785,469 Transfer of cap due to servicing transfer
08/14/2015
$
(10,500,000)
$
5,988,285,469 Transfer of cap due to servicing transfer
09/16/2015
$
(7,770,000)
$
5,980,515,469 Transfer of cap due to servicing transfer
09/28/2015
$
158,658,251
$
6,139,173,720 Updated due to quarterly assessment and reallocation
10/15/2015
$
(5,660,000)
$
6,133,513,720 Transfer of cap due to servicing transfer
11/16/2015
$
(600,000)
$
6,132,913,720 Transfer of cap due to servicing transfer
12/16/2015
$
(9,870,000)
$
6,123,043,720 Transfer of cap due to servicing transfer
12/28/2015
$
85,621,261
$
01/14/2016
$
(350,000)
$
6,208,314,981 Transfer of cap due to servicing transfer
02/16/2016
$
30,000
$
6,208,344,981 Transfer of cap due to servicing transfer
02/25/2016
$
(168,638,885)
$
6,039,706,096 Reallocation due to MHA program deobligation
03/04/2016
$
161,526,035
$
6,201,232,131 Transfer of cap due to merger/acquisition
6,208,664,981 Updated due to quarterly assessment and reallocation
118
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
04/13/2009
Ft. Washington
PA
Purchase
Financial Instrument for Home Loan Modifications
$
633,000,000 N/A
Reason for Adjustment
03/16/2016
$
(21,390,000)
$
6,179,842,131 Transfer of cap due to servicing transfer
03/28/2016
$
(5,796,239)
$
6,174,045,892 Updated due to quarterly assessment and reallocation
04/14/2016
$
(460,000)
$
6,173,585,892 Transfer of cap due to servicing transfer
05/16/2016
$
(44,490,000)
$
6,129,095,892 Transfer of cap due to servicing transfer
05/31/2016
$
78,956,346
$
6,208,052,238 Updated due to quarterly assessment and reallocation
06/16/2016
$
(870,000)
$
6,207,182,238 Transfer of cap due to servicing transfer
06/27/2016
$
84,587,240
$
6,291,769,478 Updated due to quarterly assessment and reallocation
07/14/2016
$
(20,000)
$
6,291,749,478 Transfer of cap due to servicing transfer
07/27/2016
$
94,250,614
$
6,386,000,092 Updated due to quarterly assessment and reallocation
09/15/2016
$
(16,590,000)
$
6,369,410,092 Transfer of cap due to servicing transfer
09/28/2016
$
101,998,896
$
6,471,408,988 Updated due to quarterly assessment and reallocation
10/14/2016
$
(6,340,000)
$
6,465,068,988 Transfer of cap due to servicing transfer
10/25/2016
$
48,141,096
$
6,513,210,084 Updated due to quarterly assessment and reallocation
-
$
6,513,210,084 Updated due to quarterly assessment and reallocation
11/07/2016
Ocwen Loan Servicing, LLC (as
successor in interest to GMAC
Mortgage, LLC)
Adjusted CAP
11/16/2016
$
(3,780,000)
$
6,509,430,084 Transfer of cap due to servicing transfer
11/29/2016
$
(2,378,418)
$
6,507,051,666 Updated due to quarterly assessment and reallocation
12/15/2016
$
(940,000)
$
6,506,111,666 Transfer of cap due to servicing transfer
12/27/2016
$
(383,942)
$
6,505,727,724 Transfer of cap due to servicing transfer
01/13/2017
$
(270,000)
$
6,505,457,724 Transfer of cap due to servicing transfer
02/16/2017
$
(5,110,000)
$
6,500,347,724 Transfer of cap due to servicing transfer
02/27/2017
$
(6,130,012)
$
6,494,217,712 Transfer of cap due to servicing transfer
03/16/2017
$
(5,440,000)
$
6,488,777,712 Transfer of cap due to servicing transfer
04/26/2017
$
(490,044)
$
6,488,287,668 Transfer of cap due to servicing transfer
06/26/2017
$
(4,464,432)
$
6,483,823,236 Transfer of cap due to servicing transfer
07/26/2017
$
(142,546)
$
6,483,680,690 Transfer of cap due to servicing transfer
09/26/2017
$
(59,584,573)
$
6,424,096,117 Transfer of cap due to servicing transfer
10/26/2017
$
(9,181,315)
$
6,414,914,802 Transfer of cap due to servicing transfer
12/21/2017
$
(13,351,502)
$
6,401,563,300 Transfer of cap due to servicing transfer
02/26/2018
$
(775,400)
$
6,400,787,900 Transfer of cap due to servicing transfer
03/22/2018
$
(3,190,306)
$
6,397,597,594 Transfer of cap due to servicing transfer
04/25/2018
$
(6,910,282)
$
6,390,687,312 Transfer of cap due to servicing transfer
06/21/2018
$
(1,457,841)
$
6,389,229,471 Transfer of cap due to servicing transfer
07/26/2018
$
(961,203,620)
$
5,428,025,851 Reallocation due to MHA program deobligation
06/12/2009
$
384,650,000
$
1,017,650,000 Updated portfolio data from servicer
09/30/2009
$
2,537,240,000
$
3,554,890,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(1,679,520,000)
$
1,875,370,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
190,180,000
$
2,065,550,000 Updated portfolio data from servicer
05/14/2010
$
1,880,000
$
2,067,430,000 Transfer of cap due to servicing transfer
07/14/2010
$
(881,530,000)
$
1,185,900,000 Updated portfolio data from servicer
08/13/2010
$
(3,700,000)
$
1,182,200,000 Transfer of cap due to servicing transfer
09/30/2010
$
119,200,000
$
1,301,400,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
216,998,139
$
1,518,398,139 Updated portfolio data from servicer
12/15/2010
$
(500,000)
$
1,517,898,139 Transfer of cap due to servicing transfer
01/06/2011
$
(1,734)
$
1,517,896,405 Updated due to quarterly assessment and reallocation
03/16/2011
$
(100,000)
$
1,517,796,405 Transfer of cap due to servicing transfer
03/30/2011
$
(2,024)
$
1,517,794,381 Updated due to quarterly assessment and reallocation
04/13/2011
$
(800,000)
$
1,516,994,381 Transfer of cap due to servicing transfer
05/13/2011
$
(17,900,000)
$
1,499,094,381 Transfer of cap due to servicing transfer
06/29/2011
$
(18,457)
$
1,499,075,924 Updated due to quarterly assessment and reallocation
07/14/2011
$
(200,000)
$
1,498,875,924 Transfer of cap due to servicing transfer
08/16/2011
$
3,400,000
$
1,502,275,924 Transfer of cap due to servicing transfer
09/15/2011
$
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
01/13/2012
$
(1,600,000)
$
1,502,475,924 Transfer of cap due to servicing transfer
03/15/2012
$
(400,000)
$
1,502,075,924 Transfer of cap due to servicing transfer
04/16/2012
$
(100,000)
$
1,501,975,924 Transfer of cap due to servicing transfer
05/16/2012
$
(800,000)
$
1,501,175,924 Transfer of cap due to servicing transfer
06/14/2012
$
(990,000)
$
1,500,185,924 Transfer of cap due to servicing transfer
06/28/2012
$
(12,463)
$
1,500,173,461 Updated due to quarterly assessment and reallocation
08/16/2012
$
10,000
$
1,500,183,461 Transfer of cap due to servicing transfer
09/27/2012
$
(33,210)
$
1,500,150,251 Updated due to quarterly assessment and reallocation
11/15/2012
$
(1,200,000)
$
1,498,950,251 Transfer of cap due to servicing transfer
12/14/2012
$
40,000
$
1,498,990,251 Transfer of cap due to servicing transfer
12/27/2012
$
(5,432)
$
1,498,984,819 Updated due to quarterly assessment and reallocation
01/16/2013
$
60,000
$
1,499,044,819 Transfer of cap due to servicing transfer
02/14/2013
$
(30,000)
$
1,499,014,819 Transfer of cap due to servicing transfer
03/14/2013
$
(80,000)
$
1,498,934,819 Transfer of cap due to servicing transfer
03/25/2013
$
(19,838)
$
1,498,914,981 Updated due to quarterly assessment and reallocation
06/14/2013
$
30,000
$
1,498,944,981 Transfer of cap due to servicing transfer
119
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
Note
16
09/11/2009
ORNL Federal Credit Union
Oak Ridge
TN
Purchase
Financial Instrument for Home Loan Modifications
$
2,070,000 N/A
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
06/27/2013
$
(7,105)
$
1,498,937,876 Updated due to quarterly assessment and reallocation
09/16/2013
$
(66,500,000)
$
1,432,437,876 Transfer of cap due to servicing transfer
09/27/2013
$
(2,430)
$
1,432,435,446 Updated due to quarterly assessment and reallocation
10/15/2013
$
(197,220,000)
$
1,235,215,446 Transfer of cap due to servicing transfer
11/14/2013
$
(30,000)
$
1,235,185,446 Transfer of cap due to servicing transfer
12/16/2013
$
(2,230,000)
$
1,232,955,446 Transfer of cap due to servicing transfer
12/23/2013
$
(3,902,818)
$
1,229,052,628 Updated due to quarterly assessment and reallocation
01/16/2014
$
(9,350,000)
$
1,219,702,628 Transfer of cap due to servicing transfer
02/13/2014
$
(36,560,000)
$
1,183,142,628 Transfer of cap due to servicing transfer
03/14/2014
$
(17,170,000)
$
1,165,972,628 Transfer of cap due to servicing transfer
03/26/2014
$
(136,207)
$
1,165,836,421 Updated due to quarterly assessment and reallocation
04/16/2014
$
(20,570,000)
$
1,145,266,421 Transfer of cap due to servicing transfer
05/15/2014
$
(260,000)
$
1,145,006,421 Transfer of cap due to servicing transfer
06/16/2014
$
(400,000)
$
1,144,606,421 Transfer of cap due to servicing transfer
06/26/2014
$
(1,585,532)
$
1,143,020,889 Updated due to quarterly assessment and reallocation
07/16/2014
$
(70,000)
$
1,142,950,889 Transfer of cap due to servicing transfer
07/29/2014
$
(3,099,444)
$
1,139,851,445 Updated due to quarterly assessment and reallocation
08/14/2014
$
(7,900,000)
$
1,131,951,445 Transfer of cap due to servicing transfer
09/16/2014
$
(2,480,000)
$
1,129,471,445 Transfer of cap due to servicing transfer
09/29/2014
$
(1,022,008)
$
1,128,449,437 Updated due to quarterly assessment and reallocation
10/16/2014
$
(240,000)
$
1,128,209,437 Transfer of cap due to servicing transfer
11/14/2014
$
(260,000)
$
1,127,949,437 Transfer of cap due to servicing transfer
12/16/2014
$
(1,200,000)
$
1,126,749,437 Transfer of cap due to servicing transfer
12/29/2014
$
(120,415,077)
$
1,006,334,360 Updated due to quarterly assessment and reallocation
01/15/2015
$
(90,000)
$
1,006,244,360 Transfer of cap due to servicing transfer
02/13/2015
$
(32,040,000)
$
974,204,360 Transfer of cap due to servicing transfer
03/26/2015
$
(45,741,813)
$
928,462,547 Updated due to quarterly assessment and reallocation
04/16/2015
$
80,000
$
928,542,547 Transfer of cap due to servicing transfer
04/28/2015
$
(180,258,444)
$
748,284,103 Updated due to quarterly assessment and reallocation
06/16/2015
$
(180,000)
$
748,104,103 Transfer of cap due to servicing transfer
06/25/2015
$
(42,755,476)
$
705,348,627 Updated due to quarterly assessment and reallocation
09/28/2015
$
(57,116,228)
$
648,232,399 Updated due to quarterly assessment and reallocation
12/28/2015
$
(42,653,357)
$
605,579,042 Updated due to quarterly assessment and reallocation
02/25/2016
$
(134,493,339)
$
471,085,703 Reallocation due to MHA program deobligation
03/04/2016
$
(161,526,035)
$
309,559,668 Termination of SPA
10/02/2009
$
460,000
$
12/30/2009
$
2,730,000
$
03/26/2010
$
13,280,000
$
18,540,000 Updated portfolio data from servicer
07/14/2010
$
(13,540,000)
$
5,000,000 Updated portfolio data from servicer
09/30/2010
$
1,817,613
$
6,817,613 Updated portfolio data from servicer
01/06/2011
$
(10)
$
6,817,603 Updated due to quarterly assessment and reallocation
03/30/2011
$
(12)
$
6,817,591 Updated due to quarterly assessment and reallocation
06/29/2011
$
(115)
$
6,817,476 Updated due to quarterly assessment and reallocation
06/28/2012
$
(86)
$
6,817,390 Updated due to quarterly assessment and reallocation
09/27/2012
$
(236)
$
6,817,154 Updated due to quarterly assessment and reallocation
12/27/2012
$
(40)
$
6,817,114 Updated due to quarterly assessment and reallocation
03/25/2013
$
(149)
$
6,816,965 Updated due to quarterly assessment and reallocation
06/27/2013
$
(56)
$
6,816,909 Updated due to quarterly assessment and reallocation
09/27/2013
$
(20)
$
6,816,889 Updated due to quarterly assessment and reallocation
12/23/2013
$
(33,979)
$
6,782,910 Updated due to quarterly assessment and reallocation
03/26/2014
$
(1,192)
$
6,781,718 Updated due to quarterly assessment and reallocation
06/26/2014
$
(14,049)
$
6,767,669 Updated due to quarterly assessment and reallocation
07/29/2014
$
(27,888)
$
6,739,781 Updated due to quarterly assessment and reallocation
09/29/2014
$
(9,230)
$
6,730,551 Updated due to quarterly assessment and reallocation
12/29/2014
$
(1,104,824)
$
5,625,727 Updated due to quarterly assessment and reallocation
03/26/2015
$
(416,543)
$
5,209,184 Updated due to quarterly assessment and reallocation
04/28/2015
$
(1,600,867)
$
3,608,317 Updated due to quarterly assessment and reallocation
06/25/2015
$
(379,686)
$
3,228,631 Updated due to quarterly assessment and reallocation
09/28/2015
$
(508,298)
$
2,720,333 Updated due to quarterly assessment and reallocation
12/28/2015
$
(376,180)
$
2,344,153 Updated due to quarterly assessment and reallocation
02/25/2016
$
(1,091,210)
$
1,252,943 Reallocation due to MHA program deobligation
03/28/2016
$
(22,798)
$
1,230,145 Updated due to quarterly assessment and reallocation
05/31/2016
$
(178,458)
$
1,051,687 Updated due to quarterly assessment and reallocation
06/27/2016
$
(106,634)
$
945,053 Updated due to quarterly assessment and reallocation
07/27/2016
$
(106,698)
$
838,355 Updated due to quarterly assessment and reallocation
09/28/2016
$
(193,368)
$
644,987 Updated due to quarterly assessment and reallocation
10/25/2016
$
(182,719)
$
462,268 Updated due to quarterly assessment and reallocation
11/07/2016
$
70,445
$
532,713 Updated due to quarterly assessment and reallocation
11/29/2016
$
(1,422)
$
531,291 Updated due to quarterly assessment and reallocation
12/27/2016
$
(218)
$
531,073 Transfer of cap due to servicing transfer
02/27/2017
$
(3,778)
$
527,295 Transfer of cap due to servicing transfer
04/26/2017
$
(259)
$
527,036 Transfer of cap due to servicing transfer
06/26/2017
$
(2,357)
$
524,679 Transfer of cap due to servicing transfer
2,530,000 Updated portfolio data from servicer/additional program initial cap
5,260,000 Updated portfolio data from servicer/additional program initial cap
120
Servicer Modifying Borrowers' Loans
Date
09/09/2009
12/16/2009
Name of Institution
OwnersChoice Funding, Inc. (CUC
Mortgage Corporation)
Park View Federal Savings Bank
City
Albany
Solon
Adjustment Details
State
NY
OH
Transaction
Type
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
$
Pricing
Mechanism
Note
4,350,000 N/A
760,000 N/A
6
08/25/2010
Pathfinder Bank
Oswego
NY
Purchase
Financial Instrument for Home Loan Modifications
$
1,300,000 N/A
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
07/26/2017
$
(71)
$
524,608 Transfer of cap due to servicing transfer
09/26/2017
$
(88,877)
$
435,731 Transfer of cap due to servicing transfer
10/26/2017
$
(10,476)
$
425,255 Transfer of cap due to servicing transfer
12/21/2017
$
(10,914)
$
414,341 Transfer of cap due to servicing transfer
02/26/2018
$
(564)
$
413,777 Transfer of cap due to servicing transfer
03/22/2018
$
(1,840)
$
411,937 Transfer of cap due to servicing transfer
04/25/2018
$
(3,641)
$
408,296 Transfer of cap due to servicing transfer
06/21/2018
$
(683)
$
407,613 Transfer of cap due to servicing transfer
07/26/2018
$
(116,838)
$
10/02/2009
$
950,000
$
5,300,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
5,700,000
$
11,000,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
740,000
$
11,740,000 Updated portfolio data from servicer
07/14/2010
$
(1,440,000)
$
10,300,000 Updated portfolio data from servicer
09/30/2010
$
(6,673,610)
$
3,626,390 Updated portfolio data from servicer
01/06/2011
$
(5)
$
3,626,385 Updated due to quarterly assessment and reallocation
03/30/2011
$
(6)
$
3,626,379 Updated due to quarterly assessment and reallocation
06/29/2011
$
(52)
$
3,626,327 Updated due to quarterly assessment and reallocation
06/28/2012
$
(38)
$
3,626,289 Updated due to quarterly assessment and reallocation
09/27/2012
$
(107)
$
3,626,182 Updated due to quarterly assessment and reallocation
12/27/2012
$
(18)
$
03/25/2013
$
(69)
$
3,626,095 Updated due to quarterly assessment and reallocation
06/27/2013
$
(26)
$
3,626,069 Updated due to quarterly assessment and reallocation
09/27/2013
$
(9)
$
3,626,060 Updated due to quarterly assessment and reallocation
12/23/2013
$
(15,739)
$
3,610,321 Updated due to quarterly assessment and reallocation
03/26/2014
$
(554)
$
3,609,767 Updated due to quarterly assessment and reallocation
06/26/2014
$
(6,538)
$
3,603,229 Updated due to quarterly assessment and reallocation
07/29/2014
$
(12,989)
$
3,590,240 Updated due to quarterly assessment and reallocation
09/29/2014
$
(4,292)
$
3,585,948 Updated due to quarterly assessment and reallocation
12/29/2014
$
(498,170)
$
3,087,778 Updated due to quarterly assessment and reallocation
03/26/2015
$
(183,056)
$
2,904,722 Updated due to quarterly assessment and reallocation
04/28/2015
$
(704,893)
$
2,199,829 Updated due to quarterly assessment and reallocation
06/25/2015
$
(167,093)
$
2,032,736 Updated due to quarterly assessment and reallocation
09/28/2015
$
(224,207)
$
1,808,529 Updated due to quarterly assessment and reallocation
12/28/2015
$
(150,962)
$
1,657,567 Updated due to quarterly assessment and reallocation
02/25/2016
$
(466,555)
$
1,191,012 Reallocation due to MHA program deobligation
03/28/2016
$
(9,753)
$
1,181,259 Updated due to quarterly assessment and reallocation
05/31/2016
$
(69,927)
$
1,111,332 Updated due to quarterly assessment and reallocation
06/27/2016
$
(42,745)
$
1,068,587 Updated due to quarterly assessment and reallocation
07/27/2016
$
(42,814)
$
1,025,773 Updated due to quarterly assessment and reallocation
09/28/2016
$
(66,682)
$
959,091 Updated due to quarterly assessment and reallocation
10/25/2016
$
(63,074)
$
896,017 Updated due to quarterly assessment and reallocation
11/07/2016
$
24,317
$
920,334 Updated due to quarterly assessment and reallocation
11/29/2016
$
(951)
$
919,383 Updated due to quarterly assessment and reallocation
12/27/2016
$
(145)
$
919,238 Transfer of cap due to servicing transfer
02/27/2017
$
(2,640)
$
916,598 Transfer of cap due to servicing transfer
04/26/2017
$
(188)
$
916,410 Transfer of cap due to servicing transfer
06/26/2017
$
(1,451)
$
914,959 Transfer of cap due to servicing transfer
07/26/2017
$
(44)
$
914,915 Transfer of cap due to servicing transfer
09/26/2017
$
(38,236)
$
876,679 Transfer of cap due to servicing transfer
10/26/2017
$
(4,742)
$
871,937 Transfer of cap due to servicing transfer
12/21/2017
$
(7,091)
$
864,846 Transfer of cap due to servicing transfer
02/26/2018
$
(344)
$
864,502 Transfer of cap due to servicing transfer
03/22/2018
$
(1,122)
$
863,380 Transfer of cap due to servicing transfer
04/25/2018
$
(2,219)
$
861,161 Transfer of cap due to servicing transfer
06/21/2018
$
(417)
$
07/26/2018
$
(148,757)
$
711,987 Reallocation due to MHA program deobligation
01/22/2010
$
40,000
$
800,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
140,000
$
940,000 Updated portfolio data from servicer
07/14/2010
$
(140,000)
$
800,000 Updated portfolio data from servicer
09/30/2010
$
70,334
$
870,334 Updated portfolio data from servicer
01/06/2011
$
(1)
$
870,333 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
870,332 Updated due to quarterly assessment and reallocation
06/29/2011
$
(12)
$
870,320 Updated due to quarterly assessment and reallocation
06/28/2012
$
(10)
$
09/14/2012
$
(816,373)
$
09/30/2010
$
2,181,334
$
3,481,334 Updated portfolio data from servicer
01/06/2011
$
(5)
$
3,481,329 Updated due to quarterly assessment and reallocation
03/30/2011
$
(6)
$
06/29/2011
$
(58)
$
3,481,265 Updated due to quarterly assessment and reallocation
06/28/2012
$
(43)
$
3,481,222 Updated due to quarterly assessment and reallocation
09/27/2012
$
(119)
$
3,481,103 Updated due to quarterly assessment and reallocation
12/27/2012
$
(20)
$
3,481,083 Updated due to quarterly assessment and reallocation
290,775 Reallocation due to MHA program deobligation
3,626,164 Updated due to quarterly assessment and reallocation
860,744 Transfer of cap due to servicing transfer
870,310 Updated due to quarterly assessment and reallocation
53,937 Termination of SPA
3,481,323 Updated due to quarterly assessment and reallocation
121
Servicer Modifying Borrowers' Loans
Date
08/12/2009
Name of Institution
PennyMac Loan Services, LLC
City
Calasbasa
Adjustment Details
State
CA
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
6,210,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
03/25/2013
$
(76)
$
3,481,007 Updated due to quarterly assessment and reallocation
06/27/2013
$
(29)
$
3,480,978 Updated due to quarterly assessment and reallocation
09/27/2013
$
(10)
$
3,480,968 Updated due to quarterly assessment and reallocation
12/23/2013
$
(17,421)
$
3,463,547 Updated due to quarterly assessment and reallocation
03/26/2014
$
(612)
$
3,462,935 Updated due to quarterly assessment and reallocation
06/26/2014
$
(7,228)
$
3,455,707 Updated due to quarterly assessment and reallocation
07/29/2014
$
(14,356)
$
3,441,351 Updated due to quarterly assessment and reallocation
09/29/2014
$
(4,742)
$
3,436,609 Updated due to quarterly assessment and reallocation
12/29/2014
$
(563,436)
$
2,873,173 Updated due to quarterly assessment and reallocation
03/26/2015
$
(211,377)
$
2,661,796 Updated due to quarterly assessment and reallocation
04/28/2015
$
(828,966)
$
1,832,830 Updated due to quarterly assessment and reallocation
06/25/2015
$
(197,512)
$
1,635,318 Updated due to quarterly assessment and reallocation
09/28/2015
$
(265,281)
$
1,370,037 Updated due to quarterly assessment and reallocation
12/28/2015
$
(198,838)
$
1,171,199 Updated due to quarterly assessment and reallocation
02/25/2016
$
(574,396)
$
596,803 Reallocation due to MHA program deobligation
03/28/2016
$
(11,998)
$
584,805 Updated due to quarterly assessment and reallocation
05/31/2016
$
(93,018)
$
491,787 Updated due to quarterly assessment and reallocation
06/27/2016
$
(55,567)
$
436,220 Updated due to quarterly assessment and reallocation
07/27/2016
$
(55,584)
$
380,636 Updated due to quarterly assessment and reallocation
09/28/2016
$
(99,629)
$
281,007 Updated due to quarterly assessment and reallocation
10/25/2016
$
(84,725)
$
196,282 Updated due to quarterly assessment and reallocation
11/07/2016
$
32,664
$
228,946 Updated due to quarterly assessment and reallocation
11/29/2016
$
(652)
$
228,294 Updated due to quarterly assessment and reallocation
12/27/2016
$
(100)
$
228,194 Transfer of cap due to servicing transfer
02/27/2017
$
(1,726)
$
226,468 Transfer of cap due to servicing transfer
04/26/2017
$
(122)
$
226,346 Transfer of cap due to servicing transfer
06/26/2017
$
(939)
$
225,407 Transfer of cap due to servicing transfer
07/26/2017
$
(28)
$
225,379 Transfer of cap due to servicing transfer
09/26/2017
$
(37,422)
$
187,957 Transfer of cap due to servicing transfer
10/26/2017
$
(4,641)
$
183,316 Transfer of cap due to servicing transfer
12/21/2017
$
(4,835)
$
178,481 Transfer of cap due to servicing transfer
02/26/2018
$
(235)
$
178,246 Transfer of cap due to servicing transfer
03/22/2018
$
(765)
$
177,481 Transfer of cap due to servicing transfer
04/25/2018
$
(1,513)
$
175,968 Transfer of cap due to servicing transfer
06/21/2018
$
(284)
$
07/26/2018
$
(49,327)
$
09/30/2009
$
(1,200,000)
$
5,010,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
30,800,000
$
35,810,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
23,200,000
$
59,010,000 Updated portfolio data from servicer
06/16/2010
$
2,710,000
$
61,720,000 Transfer of cap due to servicing transfer
07/14/2010
$
(18,020,000)
$
43,700,000 Updated portfolio data from servicer
07/16/2010
$
6,680,000
$
50,380,000 Transfer of cap due to servicing transfer
08/13/2010
$
2,600,000
$
52,980,000 Transfer of cap due to servicing transfer
09/15/2010
$
(100,000)
$
52,880,000 Transfer of cap due to servicing transfer
09/30/2010
$
200,000
$
53,080,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(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 Transfer of cap due to servicing transfer
01/06/2011
$
(72)
$
52,956,731 Updated due to quarterly assessment and reallocation
01/13/2011
$
4,100,000
$
57,056,731 Transfer of cap due to servicing transfer
02/16/2011
$
(100,000)
$
56,956,731 Transfer of cap due to servicing transfer
03/16/2011
$
4,000,000
$
60,956,731 Transfer of cap due to servicing transfer
03/30/2011
$
(94)
$
60,956,637 Updated due to quarterly assessment and reallocation
04/13/2011
$
(100,000)
$
60,856,637 Transfer of cap due to servicing transfer
05/13/2011
$
5,800,000
$
66,656,637 Transfer of cap due to servicing transfer
06/16/2011
$
600,000
$
67,256,637 Transfer of cap due to servicing transfer
06/29/2011
$
(812)
$
67,255,825 Updated due to quarterly assessment and reallocation
07/14/2011
$
2,500,000
$
69,755,825 Transfer of cap due to servicing transfer
09/15/2011
$
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
01/13/2012
$
200,000
$
74,755,825 Transfer of cap due to servicing transfer
03/15/2012
$
1,900,000
$
76,655,825 Transfer of cap due to servicing transfer
04/16/2012
$
200,000
$
76,855,825 Transfer of cap due to servicing transfer
06/14/2012
$
1,340,000
$
78,195,825 Transfer of cap due to servicing transfer
06/28/2012
$
(340)
$
78,195,485 Updated due to quarterly assessment and reallocation
07/16/2012
$
2,930,000
$
81,125,485 Transfer of cap due to servicing transfer
08/16/2012
$
890,000
$
82,015,485 Transfer of cap due to servicing transfer
09/27/2012
$
(974)
$
82,014,511 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 Transfer of cap due to servicing transfer
12/27/2012
$
(154)
$
87,674,357 Updated due to quarterly assessment and reallocation
175,684 Transfer of cap due to servicing transfer
126,357 Reallocation due to MHA program deobligation
122
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
PHH Mortgage Corporation
Mt. Laurel
NJ
Purchase
Financial Instrument for Home Loan Modifications
- N/A
3
Reason for Adjustment
02/14/2013
$
2,980,000
$
90,654,357 Transfer of cap due to servicing transfer
03/25/2013
$
(506)
$
90,653,851 Updated due to quarterly assessment and reallocation
04/16/2013
$
2,160,000
$
92,813,851 Transfer of cap due to servicing transfer
06/14/2013
$
2,440,000
$
95,253,851 Transfer of cap due to servicing transfer
06/27/2013
$
(128)
$
95,253,723 Updated due to quarterly assessment and reallocation
09/27/2013
$
(7)
$
95,253,716 Updated due to quarterly assessment and reallocation
10/15/2013
$
4,450,000
$
12/23/2013
$
15,826,215
$
115,529,931 Updated due to quarterly assessment and reallocation
02/13/2014
$
5,130,000
$
120,659,931 Transfer of cap due to servicing transfer
03/14/2014
$
(2,390,000)
$
118,269,931 Transfer of cap due to servicing transfer
03/26/2014
$
2,017,426
$
120,287,357 Updated due to quarterly assessment and reallocation
05/15/2014
$
(10,000)
$
120,277,357 Transfer of cap due to servicing transfer
06/16/2014
$
2,360,000
$
122,637,357 Transfer of cap due to servicing transfer
06/26/2014
$
5,959,201
$
128,596,558 Updated due to quarterly assessment and reallocation
07/16/2014
$
10,000
$
128,606,558 Transfer of cap due to servicing transfer
07/29/2014
$
3,708,381
$
132,314,939 Updated due to quarterly assessment and reallocation
08/14/2014
$
150,000
$
132,464,939 Transfer of cap due to servicing transfer
09/16/2014
$
(2,610,000)
$
129,854,939 Transfer of cap due to servicing transfer
09/29/2014
$
(7,217)
$
129,847,722 Updated due to quarterly assessment and reallocation
10/16/2014
$
(25,090,000)
$
104,757,722 Transfer of cap due to servicing transfer
11/14/2014
$
20,000
$
104,777,722 Transfer of cap due to servicing transfer
12/29/2014
$
16,799,847
$
121,577,569 Updated due to quarterly assessment and reallocation
02/13/2015
$
20,000
$
121,597,569 Transfer of cap due to servicing transfer
03/26/2015
$
2,467,104
$
124,064,673 Updated due to quarterly assessment and reallocation
04/16/2015
$
3,210,000
$
127,274,673 Transfer of cap due to servicing transfer
04/28/2015
$
1,404,045
$
128,678,718 Updated due to quarterly assessment and reallocation
05/14/2015
$
(3,370,000)
$
125,308,718 Transfer of cap due to servicing transfer
06/16/2015
$
3,380,000
$
128,688,718 Transfer of cap due to servicing transfer
06/25/2015
$
2,364,052
$
131,052,770 Updated due to quarterly assessment and reallocation
07/16/2015
$
450,000
$
131,502,770 Transfer of cap due to servicing transfer
08/14/2015
$
4,410,000
$
135,912,770 Transfer of cap due to servicing transfer
09/28/2015
$
6,612,807
$
142,525,577 Updated due to quarterly assessment and reallocation
12/28/2015
$
4,078,670
$
146,604,247 Updated due to quarterly assessment and reallocation
02/25/2016
$
(5,430,455)
$
141,173,792 Reallocation due to MHA program deobligation
03/16/2016
$
20,000
$
141,193,792 Transfer of cap due to servicing transfer
03/28/2016
$
(125,261)
$
141,068,531 Updated due to quarterly assessment and reallocation
04/14/2016
$
30,000
$
141,098,531 Transfer of cap due to servicing transfer
05/16/2016
$
(10,000)
$
141,088,531 Transfer of cap due to servicing transfer
05/31/2016
$
1,973,967
$
143,062,498 Updated due to quarterly assessment and reallocation
06/16/2016
$
(16,870,000)
$
126,192,498 Transfer of cap due to servicing transfer
06/27/2016
$
(126,953)
$
126,065,545 Updated due to quarterly assessment and reallocation
07/14/2016
$
(40,000)
$
126,025,545 Transfer of cap due to servicing transfer
07/27/2016
$
(277,813)
$
125,747,732 Updated due to quarterly assessment and reallocation
09/28/2016
$
3,823,487
$
129,571,219 Updated due to quarterly assessment and reallocation
10/14/2016
$
50,000
$
129,621,219 Transfer of cap due to servicing transfer
10/25/2016
$
2,217,222
$
131,838,441 Updated due to quarterly assessment and reallocation
-
$
131,838,441 Updated due to quarterly assessment and reallocation
11/16/2016
$
6,440,000
$
138,278,441 Transfer of cap due to servicing transfer
11/29/2016
$
(84,534)
$
138,193,907 Updated due to quarterly assessment and reallocation
12/27/2016
$
(13,478)
$
138,180,429 Transfer of cap due to servicing transfer
02/16/2017
$
8,750,000
$
146,930,429 Transfer of cap due to servicing transfer
02/27/2017
$
(393,981)
$
146,536,448 Transfer of cap due to servicing transfer
03/16/2017
$
(4,060,000)
$
142,476,448 Transfer of cap due to servicing transfer
04/26/2017
$
(21,017)
$
142,455,431 Transfer of cap due to servicing transfer
06/26/2017
$
(192,538)
$
142,262,893 Transfer of cap due to servicing transfer
07/26/2017
$
(5,689)
$
142,257,204 Transfer of cap due to servicing transfer
09/26/2017
$
(3,492,396)
$
138,764,808 Transfer of cap due to servicing transfer
10/26/2017
$
(703,153)
$
138,061,655 Transfer of cap due to servicing transfer
12/21/2017
$
(1,245,643)
$
136,816,012 Transfer of cap due to servicing transfer
02/26/2018
$
(67,460)
$
136,748,552 Transfer of cap due to servicing transfer
03/22/2018
$
(305,887)
$
136,442,665 Transfer of cap due to servicing transfer
04/25/2018
$
(623,756)
$
135,818,909 Transfer of cap due to servicing transfer
06/21/2018
$
(154,356)
$
135,664,553 Transfer of cap due to servicing transfer
07/26/2018
$
(32,174,871)
$
103,489,682 Reallocation due to MHA program deobligation
09/15/2011
$
1,300,000
$
1,300,000 Transfer of cap due to servicing transfer
06/28/2012
$
(15)
$
1,299,985 Updated due to quarterly assessment and reallocation
09/27/2012
$
(42)
$
1,299,943 Updated due to quarterly assessment and reallocation
10/16/2012
$
140,000
$
1,439,943 Transfer of cap due to servicing transfer
12/27/2012
$
(8)
$
03/25/2013
$
(30)
$
1,439,905 Updated due to quarterly assessment and reallocation
06/27/2013
$
(11)
$
1,439,894 Updated due to quarterly assessment and reallocation
07/16/2013
$
5,850,000
$
7,289,894 Transfer of cap due to servicing transfer
09/27/2013
$
(20)
$
7,289,874 Updated due to quarterly assessment and reallocation
11/07/2016
09/15/2011
Adjusted CAP
99,703,716 Transfer of cap due to servicing transfer
1,439,935 Updated due to quarterly assessment and reallocation
123
Servicer Modifying Borrowers' Loans
Date
10/14/2016
11/14/2013
07/17/2009
Name of Institution
Planet Home Lending, LLC
Plaza Home Mortgage, Inc
PNC Bank, National Association
City
Meriden
San Diego
Pittsburgh
Adjustment Details
State
CT
CA
PA
Transaction
Type
Purchase
Purchase
Purchase
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Financial Instrument for Home Loan Modifications
- N/A
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
$
54,470,000 N/A
Note
3
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
12/23/2013
$
(34,545)
$
7,255,329 Updated due to quarterly assessment and reallocation
03/26/2014
$
(1,216)
$
7,254,113 Updated due to quarterly assessment and reallocation
06/26/2014
$
(14,371)
$
7,239,742 Updated due to quarterly assessment and reallocation
07/29/2014
$
(28,561)
$
7,211,181 Updated due to quarterly assessment and reallocation
09/29/2014
$
(9,436)
$
7,201,745 Updated due to quarterly assessment and reallocation
12/29/2014
$
(1,078,208)
$
6,123,537 Updated due to quarterly assessment and reallocation
03/26/2015
$
(406,380)
$
5,717,157 Updated due to quarterly assessment and reallocation
04/28/2015
$
(1,601,860)
$
4,115,297 Updated due to quarterly assessment and reallocation
06/25/2015
$
(382,420)
$
3,732,877 Updated due to quarterly assessment and reallocation
08/14/2015
$
(10,000)
$
3,722,877 Transfer of cap due to servicing transfer
09/28/2015
$
(512,596)
$
3,210,281 Updated due to quarterly assessment and reallocation
12/28/2015
$
(387,831)
$
2,822,450 Updated due to quarterly assessment and reallocation
02/25/2016
$
(1,134,993)
$
1,687,457 Reallocation due to MHA program deobligation
03/28/2016
$
(23,709)
$
1,663,748 Updated due to quarterly assessment and reallocation
05/31/2016
$
(185,561)
$
1,478,187 Updated due to quarterly assessment and reallocation
06/27/2016
$
(111,846)
$
1,366,341 Updated due to quarterly assessment and reallocation
07/27/2016
$
(111,885)
$
1,254,456 Updated due to quarterly assessment and reallocation
09/28/2016
$
(195,668)
$
1,058,788 Updated due to quarterly assessment and reallocation
10/25/2016
$
(188,828)
$
869,960 Updated due to quarterly assessment and reallocation
11/07/2016
$
72,800
$
942,760 Updated due to quarterly assessment and reallocation
11/29/2016
$
(1,637)
$
941,123 Updated due to quarterly assessment and reallocation
12/27/2016
$
(250)
$
940,873 Transfer of cap due to servicing transfer
02/27/2017
$
(4,485)
$
936,388 Transfer of cap due to servicing transfer
04/26/2017
$
(294)
$
936,094 Transfer of cap due to servicing transfer
06/26/2017
$
(2,261)
$
933,833 Transfer of cap due to servicing transfer
07/26/2017
$
(68)
$
933,765 Transfer of cap due to servicing transfer
09/26/2017
$
(81,667)
$
852,098 Transfer of cap due to servicing transfer
10/26/2017
$
(10,678)
$
841,420 Transfer of cap due to servicing transfer
12/21/2017
$
(11,134)
$
830,286 Transfer of cap due to servicing transfer
02/26/2018
$
(541)
$
829,745 Transfer of cap due to servicing transfer
03/22/2018
$
(1,764)
$
827,981 Transfer of cap due to servicing transfer
04/25/2018
$
(3,488)
$
824,493 Transfer of cap due to servicing transfer
06/21/2018
$
(654)
$
823,839 Transfer of cap due to servicing transfer
07/26/2018
$
(166,735)
$
657,104 Reallocation due to MHA program deobligation
11/16/2016
$
1,110,000
$
1,110,000 Transfer of cap due to servicing transfer
11/29/2016
$
(244)
$
1,109,756 Updated due to quarterly assessment and reallocation
12/27/2016
$
(83)
$
1,109,673 Transfer of cap due to servicing transfer
02/27/2017
$
(3,452)
$
1,106,221 Transfer of cap due to servicing transfer
04/26/2017
$
(207)
$
1,106,014 Transfer of cap due to servicing transfer
06/26/2017
$
(2,376)
$
1,103,638 Transfer of cap due to servicing transfer
07/26/2017
$
(57)
$
1,103,581 Transfer of cap due to servicing transfer
09/26/2017
$
9,535
$
1,113,116 Transfer of cap due to servicing transfer
10/26/2017
$
(2,987)
$
1,110,129 Transfer of cap due to servicing transfer
12/21/2017
$
(7,743)
$
1,102,386 Transfer of cap due to servicing transfer
02/26/2018
$
(1,028)
$
1,101,358 Transfer of cap due to servicing transfer
03/22/2018
$
4,100,136
$
5,201,494 Transfer of cap due to servicing transfer
04/25/2018
$
(9,210)
$
5,192,284 Transfer of cap due to servicing transfer
06/21/2018
$
(3,673)
$
5,188,611 Transfer of cap due to servicing transfer
07/26/2018
$
(1,012,403)
$
4,176,208 Reallocation due to MHA program deobligation
11/14/2013
$
10,000
$
07/16/2014
$
20,000
$
09/30/2009
$
(36,240,000)
$
18,230,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
19,280,000
$
37,510,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
2,470,000
$
39,980,000 Updated portfolio data from servicer
07/14/2010
$
(17,180,000)
$
22,800,000 Updated portfolio data from servicer
09/30/2010
$
35,500,000
$
58,300,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
23,076,191
$
81,376,191 Updated portfolio data from servicer
01/06/2011
$
(123)
$
81,376,068 Updated due to quarterly assessment and reallocation
03/30/2011
$
(147)
$
81,375,921 Updated due to quarterly assessment and reallocation
05/13/2011
$
(100,000)
$
81,275,921 Transfer of cap due to servicing transfer
06/29/2011
$
(1,382)
$
81,274,539 Updated due to quarterly assessment and reallocation
10/14/2011
$
(300,000)
$
80,974,539 Transfer of cap due to servicing transfer
06/28/2012
$
(1,003)
$
80,973,536 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2,745)
$
80,970,791 Updated due to quarterly assessment and reallocation
12/27/2012
$
(460)
$
80,970,331 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1,740)
$
80,968,591 Updated due to quarterly assessment and reallocation
04/09/2013
$
60,000
$
81,028,591 Transfer of cap due to merger/acquisition
06/27/2013
$
(656)
$
81,027,935 Updated due to quarterly assessment and reallocation
09/27/2013
$
(234)
$
81,027,701 Updated due to quarterly assessment and reallocation
12/23/2013
$
(394,926)
$
80,632,775 Updated due to quarterly assessment and reallocation
03/26/2014
$
(13,845)
$
80,618,930 Updated due to quarterly assessment and reallocation
06/26/2014
$
(162,401)
$
80,456,529 Updated due to quarterly assessment and reallocation
10/14/2016
-
- Transfer of cap due to servicing transfer
10,000 Transfer of cap due to servicing transfer
30,000 Transfer of cap due to servicing transfer
124
Servicer Modifying Borrowers' Loans
Date
06/26/2009
Name of Institution
PNC Bank, National Association
(successor to National City Bank)
City
Miamisburg
Adjustment Details
State
OH
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
294,980,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
07/29/2014
$
(322,480)
$
80,134,049 Updated due to quarterly assessment and reallocation
09/29/2014
$
(106,405)
$
80,027,644 Updated due to quarterly assessment and reallocation
12/29/2014
$
(12,871,888)
$
67,155,756 Updated due to quarterly assessment and reallocation
03/26/2015
$
(4,826,204)
$
62,329,552 Updated due to quarterly assessment and reallocation
04/28/2015
$
(19,002,914)
$
43,326,638 Updated due to quarterly assessment and reallocation
06/25/2015
$
(4,501,445)
$
38,825,193 Updated due to quarterly assessment and reallocation
09/28/2015
$
(5,972,171)
$
32,853,022 Updated due to quarterly assessment and reallocation
12/28/2015
$
(4,421,272)
$
28,431,750 Updated due to quarterly assessment and reallocation
02/25/2016
$
(12,807,238)
$
15,624,512 Reallocation due to MHA program deobligation
03/28/2016
$
(268,339)
$
15,356,173 Updated due to quarterly assessment and reallocation
05/31/2016
$
(2,078,999)
$
13,277,174 Updated due to quarterly assessment and reallocation
06/27/2016
$
(1,239,369)
$
12,037,805 Updated due to quarterly assessment and reallocation
07/27/2016
$
(1,229,840)
$
10,807,965 Updated due to quarterly assessment and reallocation
09/28/2016
$
(2,157,825)
$
8,650,140 Updated due to quarterly assessment and reallocation
10/25/2016
$
(2,044,170)
$
6,605,970 Updated due to quarterly assessment and reallocation
11/07/2016
$
788,099
$
7,394,069 Updated due to quarterly assessment and reallocation
11/29/2016
$
(16,619)
$
7,377,450 Updated due to quarterly assessment and reallocation
12/27/2016
$
(2,544)
$
7,374,906 Transfer of cap due to servicing transfer
02/27/2017
$
(41,839)
$
7,333,067 Transfer of cap due to servicing transfer
04/26/2017
$
(2,604)
$
7,330,463 Transfer of cap due to servicing transfer
06/26/2017
$
(19,581)
$
7,310,882 Transfer of cap due to servicing transfer
07/26/2017
$
(596)
$
7,310,286 Transfer of cap due to servicing transfer
09/26/2017
$
(651,267)
$
6,659,019 Transfer of cap due to servicing transfer
10/26/2017
$
(81,328)
$
6,577,691 Transfer of cap due to servicing transfer
12/21/2017
$
(86,135)
$
6,491,556 Transfer of cap due to servicing transfer
02/26/2018
$
(4,337)
$
6,487,219 Transfer of cap due to servicing transfer
03/22/2018
$
(14,155)
$
6,473,064 Transfer of cap due to servicing transfer
04/25/2018
$
(28,229)
$
6,444,835 Transfer of cap due to servicing transfer
06/21/2018
$
(5,326)
$
6,439,509 Transfer of cap due to servicing transfer
07/26/2018
$
(1,336,756)
$
09/30/2009
$
315,170,000
$
610,150,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
90,280,000
$
700,430,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(18,690,000)
$
681,740,000 Updated portfolio data from servicer
07/14/2010
$
(272,640,000)
$
409,100,000 Updated portfolio data from servicer
09/30/2010
$
80,600,000
$
489,700,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
71,230,004
$
560,930,004 Updated portfolio data from servicer
01/06/2011
$
(828)
$
560,929,176 Updated due to quarterly assessment and reallocation
02/16/2011
$
200,000
$
561,129,176 Transfer of cap due to servicing transfer
03/16/2011
$
(100,000)
$
561,029,176 Transfer of cap due to servicing transfer
03/30/2011
$
(981)
$
561,028,195 Updated due to quarterly assessment and reallocation
04/13/2011
$
(2,300,000)
$
558,728,195 Transfer of cap due to servicing transfer
05/13/2011
$
(200,000)
$
558,528,195 Transfer of cap due to servicing transfer
06/16/2011
$
(200,000)
$
558,328,195 Transfer of cap due to servicing transfer
06/29/2011
$
(9,197)
$
558,318,998 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
01/13/2012
$
200,000
$
558,518,998 Transfer of cap due to servicing transfer
02/16/2012
$
(100,000)
$
558,418,998 Transfer of cap due to servicing transfer
03/15/2012
$
200,000
$
558,618,998 Transfer of cap due to servicing transfer
06/14/2012
$
(10,000)
$
558,608,998 Transfer of cap due to servicing transfer
06/28/2012
$
(6,771)
$
558,602,227 Updated due to quarterly assessment and reallocation
09/27/2012
$
(18,467)
$
558,583,760 Updated due to quarterly assessment and reallocation
12/27/2012
$
(3,105)
$
558,580,655 Updated due to quarterly assessment and reallocation
03/25/2013
$
(11,713)
$
558,568,942 Updated due to quarterly assessment and reallocation
06/27/2013
$
(4,393)
$
558,564,549 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1,565)
$
558,562,984 Updated due to quarterly assessment and reallocation
12/23/2013
$
(2,622,925)
$
555,940,059 Updated due to quarterly assessment and reallocation
03/14/2014
$
7,680,000
$
563,620,059 Transfer of cap due to servicing transfer
03/26/2014
$
(92,836)
$
563,527,223 Updated due to quarterly assessment and reallocation
06/26/2014
$
(1,090,169)
$
562,437,054 Updated due to quarterly assessment and reallocation
07/29/2014
$
(2,140,858)
$
560,296,196 Updated due to quarterly assessment and reallocation
08/14/2014
$
(940,000)
$
559,356,196 Transfer of cap due to servicing transfer
09/29/2014
$
(704,516)
$
558,651,680 Updated due to quarterly assessment and reallocation
10/16/2014
$
10,000
$
558,661,680 Transfer of cap due to servicing transfer
11/14/2014
$
(1,380,000)
$
557,281,680 Transfer of cap due to servicing transfer
12/29/2014
$
(81,896,499)
$
475,385,181 Updated due to quarterly assessment and reallocation
03/16/2015
$
(840,000)
$
474,545,181 Transfer of cap due to servicing transfer
03/26/2015
$
(30,405,344)
$
444,139,837 Updated due to quarterly assessment and reallocation
04/28/2015
$
(109,179,651)
$
334,960,186 Updated due to quarterly assessment and reallocation
06/25/2015
$
(25,425,688)
$
309,534,498 Updated due to quarterly assessment and reallocation
09/28/2015
$
(33,194,831)
$
276,339,667 Updated due to quarterly assessment and reallocation
10/15/2015
$
(30,000)
$
276,309,667 Transfer of cap due to servicing transfer
5,102,753 Reallocation due to MHA program deobligation
125
Servicer Modifying Borrowers' Loans
Date
03/15/2012
07/29/2009
Name of Institution
PrimeWest Mortgage Corporation
Purdue Federal Credit Union (Purdue
Employees Federal Credit Union)
City
Lubbock
West Lafayette
Adjustment Details
State
TX
IN
Transaction
Type
Purchase
Purchase
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
$
1,090,000 N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
11/16/2015
$
(2,810,000)
$
273,499,667 Transfer of cap due to servicing transfer
12/28/2015
$
(24,862,414)
$
248,637,253 Updated due to quarterly assessment and reallocation
02/25/2016
$
(75,905,149)
$
172,732,104 Reallocation due to MHA program deobligation
03/28/2016
$
(1,587,446)
$
171,144,658 Updated due to quarterly assessment and reallocation
04/14/2016
$
30,000
$
171,174,658 Transfer of cap due to servicing transfer
05/31/2016
$
(11,526,843)
$
159,647,815 Updated due to quarterly assessment and reallocation
06/16/2016
$
(810,000)
$
158,837,815 Transfer of cap due to servicing transfer
06/27/2016
$
(7,133,429)
$
151,704,386 Updated due to quarterly assessment and reallocation
07/27/2016
$
(7,216,359)
$
144,488,027 Updated due to quarterly assessment and reallocation
09/15/2016
$
20,000
$
144,508,027 Transfer of cap due to servicing transfer
09/28/2016
$
(12,171,310)
$
132,336,717 Updated due to quarterly assessment and reallocation
10/25/2016
$
(11,467,598)
$
120,869,119 Updated due to quarterly assessment and reallocation
11/07/2016
$
4,421,162
$
125,290,281 Updated due to quarterly assessment and reallocation
11/29/2016
$
(125,869)
$
125,164,412 Updated due to quarterly assessment and reallocation
12/15/2016
$
(390,000)
$
124,774,412 Transfer of cap due to servicing transfer
12/27/2016
$
(17,978)
$
124,756,434 Transfer of cap due to servicing transfer
01/13/2017
$
(410,000)
$
124,346,434 Transfer of cap due to servicing transfer
02/27/2017
$
(303,316)
$
124,043,118 Transfer of cap due to servicing transfer
03/16/2017
$
(90,000)
$
123,953,118 Transfer of cap due to servicing transfer
04/26/2017
$
(19,960)
$
123,933,158 Transfer of cap due to servicing transfer
06/26/2017
$
(157,746)
$
123,775,412 Transfer of cap due to servicing transfer
07/26/2017
$
(4,885)
$
123,770,527 Transfer of cap due to servicing transfer
09/26/2017
$
(5,480,538)
$
118,289,989 Transfer of cap due to servicing transfer
10/26/2017
$
(709,097)
$
117,580,892 Transfer of cap due to servicing transfer
12/21/2017
$
(830,788)
$
116,750,104 Transfer of cap due to servicing transfer
02/26/2018
$
(45,109)
$
116,704,995 Transfer of cap due to servicing transfer
03/22/2018
$
(152,921)
$
116,552,074 Transfer of cap due to servicing transfer
04/25/2018
$
(316,948)
$
116,235,126 Transfer of cap due to servicing transfer
06/21/2018
$
(63,424)
$
116,171,702 Transfer of cap due to servicing transfer
07/26/2018
$
(21,000,997)
$
03/15/2012
$
100,000
$
06/15/2017
$
(100,000)
09/30/2009
$
(60,000)
$
1,030,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
1,260,000
$
2,290,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
2,070,000
$
4,360,000 Updated portfolio data from servicer
07/14/2010
$
(3,960,000)
$
400,000 Updated portfolio data from servicer
09/30/2010
$
180,222
$
580,222 Updated portfolio data from servicer
01/06/2011
$
(1)
$
580,221 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
580,220 Updated due to quarterly assessment and reallocation
06/29/2011
$
(8)
$
580,212 Updated due to quarterly assessment and reallocation
06/28/2012
$
(6)
$
580,206 Updated due to quarterly assessment and reallocation
09/27/2012
$
(17)
$
580,189 Updated due to quarterly assessment and reallocation
12/27/2012
$
(3)
$
580,186 Updated due to quarterly assessment and reallocation
03/25/2013
$
(11)
$
580,175 Updated due to quarterly assessment and reallocation
06/27/2013
$
(4)
$
580,171 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
580,170 Updated due to quarterly assessment and reallocation
12/23/2013
$
(2,474)
$
577,696 Updated due to quarterly assessment and reallocation
03/26/2014
$
(87)
$
577,609 Updated due to quarterly assessment and reallocation
06/26/2014
$
(1,027)
$
576,582 Updated due to quarterly assessment and reallocation
07/29/2014
$
(2,039)
$
574,543 Updated due to quarterly assessment and reallocation
09/29/2014
$
(673)
$
573,870 Updated due to quarterly assessment and reallocation
12/29/2014
$
(81,582)
$
492,288 Updated due to quarterly assessment and reallocation
03/26/2015
$
(30,682)
$
461,606 Updated due to quarterly assessment and reallocation
04/28/2015
$
(120,932)
$
340,674 Updated due to quarterly assessment and reallocation
06/25/2015
$
(28,680)
$
311,994 Updated due to quarterly assessment and reallocation
09/28/2015
$
(38,312)
$
273,682 Updated due to quarterly assessment and reallocation
12/28/2015
$
(28,353)
$
245,329 Updated due to quarterly assessment and reallocation
02/25/2016
$
(80,972)
$
164,357 Reallocation due to MHA program deobligation
03/28/2016
$
(1,691)
$
162,666 Updated due to quarterly assessment and reallocation
05/31/2016
$
(13,238)
$
149,428 Updated due to quarterly assessment and reallocation
06/27/2016
$
(7,908)
$
141,520 Updated due to quarterly assessment and reallocation
07/27/2016
$
(7,911)
$
133,609 Updated due to quarterly assessment and reallocation
09/28/2016
$
(13,835)
$
119,774 Updated due to quarterly assessment and reallocation
10/25/2016
$
(13,073)
$
106,701 Updated due to quarterly assessment and reallocation
11/07/2016
$
5,040
$
111,741 Updated due to quarterly assessment and reallocation
11/29/2016
$
(90)
$
111,651 Updated due to quarterly assessment and reallocation
12/27/2016
$
(14)
$
111,637 Transfer of cap due to servicing transfer
02/27/2017
$
(240)
$
111,397 Transfer of cap due to servicing transfer
04/26/2017
$
(16)
$
111,381 Transfer of cap due to servicing transfer
06/26/2017
$
(121)
$
111,260 Transfer of cap due to servicing transfer
07/26/2017
$
(4)
$
111,256 Transfer of cap due to servicing transfer
95,170,705 Reallocation due to MHA program deobligation
100,000 Transfer of cap due to servicing transfer
- Termination of SPA
126
Servicer Modifying Borrowers' Loans
Date
11/18/2009
11/18/2009
12/14/2012
09/01/2010
Name of Institution
QLending, Inc.
Quantum Servicing Corporation
Quicken Loans Inc
RBC Bank (USA)
City
Coral Gables
Tampa
Detroit
Raleigh
Adjustment Details
State
FL
FL
MI
NC
Transaction
Type
Purchase
Purchase
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
$
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
$
(4,816)
$
106,440 Transfer of cap due to servicing transfer
10/26/2017
$
(597)
$
105,843 Transfer of cap due to servicing transfer
12/21/2017
$
(622)
$
105,221 Transfer of cap due to servicing transfer
02/26/2018
$
(30)
$
105,191 Transfer of cap due to servicing transfer
03/22/2018
$
(98)
$
105,093 Transfer of cap due to servicing transfer
04/25/2018
$
(195)
$
104,898 Transfer of cap due to servicing transfer
06/21/2018
$
(37)
$
104,861 Transfer of cap due to servicing transfer
07/26/2018
$
(4,102)
$
100,759 Reallocation due to MHA program deobligation
03/26/2010
$
(10,000)
$
10,000 Updated portfolio data from servicer
07/14/2010
$
90,000
$
100,000 Updated portfolio data from servicer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
03/26/2015
$
(2,879)
$
133,928 Updated due to quarterly assessment and reallocation
04/28/2015
$
(11,347)
$
122,581 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,691)
$
119,890 Updated due to quarterly assessment and reallocation
09/28/2015
$
(3,595)
$
116,295 Updated due to quarterly assessment and reallocation
12/28/2015
$
(2,660)
$
113,635 Updated due to quarterly assessment and reallocation
02/25/2016
$
(7,597)
$
106,038 Reallocation due to MHA program deobligation
03/28/2016
$
(159)
$
105,879 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,242)
$
104,637 Updated due to quarterly assessment and reallocation
06/27/2016
$
(742)
$
103,895 Updated due to quarterly assessment and reallocation
07/27/2016
$
(742)
$
08/29/2016
$
(103,153)
01/22/2010
$
890,000
$
19,850,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
3,840,000
$
23,690,000 Updated portfolio data from servicer
07/14/2010
$
(2,890,000)
$
20,800,000 Updated portfolio data from servicer
09/30/2010
$
9,661,676
$
30,461,676 Updated portfolio data from servicer
01/06/2011
$
(46)
$
30,461,630 Updated due to quarterly assessment and reallocation
01/13/2011
$
1,600,000
$
32,061,630 Transfer of cap due to servicing transfer
02/16/2011
$
1,400,000
$
33,461,630 Transfer of cap due to servicing transfer
03/30/2011
$
(58)
$
33,461,572 Updated due to quarterly assessment and reallocation
04/13/2011
$
100,000
$
33,561,572 Transfer of cap due to servicing transfer
05/13/2011
$
100,000
$
33,661,572 Transfer of cap due to servicing transfer
06/16/2011
$
800,000
$
34,461,572 Transfer of cap due to servicing transfer
06/29/2011
$
(559)
$
34,461,013 Updated due to quarterly assessment and reallocation
07/14/2011
$
300,000
$
34,761,013 Transfer of cap due to servicing transfer
08/16/2011
$
200,000
$
34,961,013 Transfer of cap due to servicing transfer
09/15/2011
$
100,000
$
35,061,013 Transfer of cap due to servicing transfer
01/13/2012
$
100,000
$
35,161,013 Transfer of cap due to servicing transfer
06/14/2012
$
330,000
$
35,491,013 Transfer of cap due to servicing transfer
06/28/2012
$
(428)
$
35,490,585 Updated due to quarterly assessment and reallocation
09/27/2012
$
(1,184)
$
35,489,401 Updated due to quarterly assessment and reallocation
10/16/2012
$
(1,910,000)
$
33,579,401 Transfer of cap due to servicing transfer
11/15/2012
$
(980,000)
$
32,599,401 Transfer of cap due to servicing transfer
12/27/2012
$
(187)
$
32,599,214 Updated due to quarterly assessment and reallocation
03/25/2013
$
(707)
$
32,598,507 Updated due to quarterly assessment and reallocation
04/16/2013
$
(240,000)
$
32,358,507 Transfer of cap due to servicing transfer
06/27/2013
$
(268)
$
32,358,239 Updated due to quarterly assessment and reallocation
07/16/2013
$
10,000
$
32,368,239 Transfer of cap due to servicing transfer
09/27/2013
$
(96)
$
32,368,143 Updated due to quarterly assessment and reallocation
11/14/2013
$
(20,000)
$
32,348,143 Transfer of cap due to servicing transfer
12/23/2013
$
(162,518)
$
32,185,625 Updated due to quarterly assessment and reallocation
6
02/27/2014
$
(31,540,186)
$
3
12/14/2012
$
10,000
$
10,000 Transfer of cap due to servicing transfer
08/15/2013
$
10,000
$
20,000 Transfer of cap due to servicing transfer
03/14/2014
$
30,000
$
50,000 Transfer of cap due to servicing transfer
05/15/2014
$
10,000
$
01/15/2015
$
10,000
$
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
01/06/2011
$
34,944
$
180,000 Updated due to quarterly assessment and reallocation
03/30/2011
$
40,000
$
220,000 Updated due to quarterly assessment and reallocation
06/29/2011
$
50,000
$
270,000 Updated due to quarterly assessment and reallocation
03/15/2012
$
(200,000)
$
70,000 Transfer of cap due to servicing transfer
06/14/2012
$
(10,000)
$
60,000 Transfer of cap due to servicing transfer
18,960,000 N/A
100,000 N/A
Adjustment
Date
09/26/2017
20,000 N/A
- N/A
$
Note
103,153 Updated due to quarterly assessment and reallocation
- Termination of SPA
645,439 Termination of SPA
60,000 Transfer of cap due to servicing transfer
70,000 Transfer of cap due to servicing transfer
127
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
Note
9
06/12/2009
Residential Credit Solutions, Inc.
Fort Worth
TX
Purchase
Financial Instrument for Home Loan Modifications
$
19,400,000 N/A
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
04/09/2013
$
(60,000)
09/30/2009
$
(1,860,000)
$
17,540,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
27,920,000
$
45,460,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(1,390,000)
$
44,070,000 Updated portfolio data from servicer
07/14/2010
$
(13,870,000)
$
30,200,000 Updated portfolio data from servicer
09/30/2010
$
400,000
$
30,600,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
586,954
$
31,186,954 Updated portfolio data from servicer
01/06/2011
$
(34)
$
31,186,920 Updated due to quarterly assessment and reallocation
03/30/2011
$
(37)
$
31,186,883 Updated due to quarterly assessment and reallocation
04/13/2011
$
100,000
$
31,286,883 Transfer of cap due to servicing transfer
06/29/2011
$
(329)
$
31,286,554 Updated due to quarterly assessment and reallocation
09/15/2011
$
(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
05/16/2012
$
420,000
$
32,606,554 Transfer of cap due to servicing transfer
06/14/2012
$
8,060,000
$
40,666,554 Transfer of cap due to servicing transfer
06/28/2012
$
(313)
$
40,666,241 Updated due to quarterly assessment and reallocation
07/16/2012
$
2,160,000
$
42,826,241 Transfer of cap due to servicing transfer
09/27/2012
$
(911)
$
42,825,330 Updated due to quarterly assessment and reallocation
10/16/2012
$
5,690,000
$
48,515,330 Transfer of cap due to servicing transfer
11/15/2012
$
20,000
$
48,535,330 Transfer of cap due to servicing transfer
12/27/2012
$
(178)
$
48,535,152 Updated due to quarterly assessment and reallocation
02/14/2013
$
3,190,000
$
51,725,152 Transfer of cap due to servicing transfer
03/14/2013
$
(260,000)
$
51,465,152 Transfer of cap due to servicing transfer
03/25/2013
$
(713)
$
51,464,439 Updated due to quarterly assessment and reallocation
04/16/2013
$
1,330,000
$
52,794,439 Transfer of cap due to servicing transfer
05/16/2013
$
100,000
$
52,894,439 Transfer of cap due to servicing transfer
06/14/2013
$
20,000
$
52,914,439 Transfer of cap due to servicing transfer
06/27/2013
$
(264)
$
52,914,175 Updated due to quarterly assessment and reallocation
07/16/2013
$
6,080,000
$
58,994,175 Transfer of cap due to servicing transfer
09/16/2013
$
(2,130,000)
$
56,864,175 Transfer of cap due to servicing transfer
09/27/2013
$
(101)
$
56,864,074 Updated due to quarterly assessment and reallocation
10/15/2013
$
6,910,000
$
63,774,074 Transfer of cap due to servicing transfer
12/16/2013
$
(1,050,000)
$
62,724,074 Transfer of cap due to servicing transfer
12/23/2013
$
(173,584)
$
62,550,490 Updated due to quarterly assessment and reallocation
01/16/2014
$
1,310,000
$
63,860,490 Transfer of cap due to servicing transfer
02/13/2014
$
(2,210,000)
$
61,650,490 Transfer of cap due to servicing transfer
03/14/2014
$
(1,390,000)
$
60,260,490 Transfer of cap due to servicing transfer
03/26/2014
$
(5,632)
$
60,254,858 Updated due to quarterly assessment and reallocation
04/16/2014
$
(220,000)
$
60,034,858 Transfer of cap due to servicing transfer
05/15/2014
$
940,000
$
60,974,858 Transfer of cap due to servicing transfer
06/16/2014
$
(640,000)
$
60,334,858 Transfer of cap due to servicing transfer
06/26/2014
$
(63,739)
$
60,271,119 Updated due to quarterly assessment and reallocation
07/16/2014
$
1,000,000
$
61,271,119 Transfer of cap due to servicing transfer
07/29/2014
$
(128,318)
$
61,142,801 Updated due to quarterly assessment and reallocation
08/14/2014
$
(2,700,000)
$
58,442,801 Transfer of cap due to servicing transfer
09/16/2014
$
(2,860,000)
$
55,582,801 Transfer of cap due to servicing transfer
09/29/2014
$
(37,047)
$
55,545,754 Updated due to quarterly assessment and reallocation
10/16/2014
$
690,000
$
56,235,754 Transfer of cap due to servicing transfer
11/14/2014
$
40,000
$
56,275,754 Transfer of cap due to servicing transfer
12/16/2014
$
(780,000)
$
55,495,754 Transfer of cap due to servicing transfer
12/29/2014
$
(3,041,582)
$
52,454,172 Updated due to quarterly assessment and reallocation
01/15/2015
$
(270,000)
$
52,184,172 Transfer of cap due to servicing transfer
02/13/2015
$
1,300,000
$
53,484,172 Transfer of cap due to servicing transfer
03/16/2015
$
(140,000)
$
53,344,172 Transfer of cap due to servicing transfer
03/26/2015
$
(1,134,415)
$
52,209,757 Updated due to quarterly assessment and reallocation
04/16/2015
$
(10,000)
$
52,199,757 Transfer of cap due to servicing transfer
04/28/2015
$
(4,012,710)
$
48,187,047 Updated due to quarterly assessment and reallocation
05/14/2015
$
570,000
$
48,757,047 Transfer of cap due to servicing transfer
06/16/2015
$
350,000
$
49,107,047 Transfer of cap due to servicing transfer
06/25/2015
$
(936,320)
$
48,170,727 Updated due to quarterly assessment and reallocation
07/16/2015
$
(40,000)
$
48,130,727 Transfer of cap due to servicing transfer
08/14/2015
$
10,000
$
48,140,727 Transfer of cap due to servicing transfer
09/16/2015
$
(300,000)
$
47,840,727 Transfer of cap due to servicing transfer
09/28/2015
$
(999,808)
$
46,840,919 Updated due to quarterly assessment and reallocation
10/15/2015
$
290,000
$
47,130,919 Transfer of cap due to servicing transfer
11/16/2015
$
(120,000)
$
47,010,919 Transfer of cap due to servicing transfer
12/16/2015
$
(250,000)
$
46,760,919 Transfer of cap due to servicing transfer
12/28/2015
$
(660,712)
$
46,100,207 Updated due to quarterly assessment and reallocation
02/16/2016
$
(3,250,000)
$
42,850,207 Transfer of cap due to servicing transfer
02/25/2016
$
(3,134,539)
$
39,715,668 Reallocation due to MHA program deobligation
03/16/2016
$
(2,070,000)
$
37,645,668 Transfer of cap due to servicing transfer
03/28/2016
$
(86,358)
$
37,559,310 Updated due to quarterly assessment and reallocation
04/14/2016
$
(8,730,000)
$
28,829,310 Transfer of cap due to servicing transfer
- Termination of SPA
128
Servicer Modifying Borrowers' Loans
Date
06/14/2012
Name of Institution
Resurgent Capital Solutions L.P.
City
Greenville
Adjustment Details
State
SC
Transaction
Type
Purchase
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
Note
RG Mortgage Corporation
San Juan
PR
Purchase
Financial Instrument for Home Loan Modifications
$
57,000,000 N/A
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
05/16/2016
$
(350,000)
$
28,479,310 Transfer of cap due to servicing transfer
05/31/2016
$
(80,165)
$
28,399,145 Updated due to quarterly assessment and reallocation
06/16/2016
$
20,000
$
28,419,145 Transfer of cap due to servicing transfer
06/27/2016
$
(46,949)
$
28,372,196 Updated due to quarterly assessment and reallocation
07/14/2016
$
(1,880,000)
$
26,492,196 Transfer of cap due to servicing transfer
07/27/2016
$
27,521
$
26,519,717 Updated due to quarterly assessment and reallocation
08/16/2016
$
(10,000)
$
26,509,717 Transfer of cap due to servicing transfer
09/15/2016
$
(10,000)
$
26,499,717 Transfer of cap due to servicing transfer
09/28/2016
$
20,000
$
26,519,717 Updated due to quarterly assessment and reallocation
10/14/2016
$
(300,000)
$
26,219,717 Transfer of cap due to servicing transfer
10/25/2016
$
(40,725)
$
26,178,992 Updated due to quarterly assessment and reallocation
11/07/2016
$
15,701
$
26,194,693 Updated due to quarterly assessment and reallocation
11/16/2016
$
(60,000)
$
26,134,693 Transfer of cap due to servicing transfer
11/29/2016
$
(11,032)
$
26,123,661 Updated due to quarterly assessment and reallocation
12/15/2016
$
(10,000)
$
26,113,661 Transfer of cap due to servicing transfer
12/27/2016
$
(1,735)
$
26,111,926 Transfer of cap due to servicing transfer
02/16/2017
$
10,000
$
26,121,926 Transfer of cap due to servicing transfer
02/27/2017
$
(30,410)
$
26,091,516 Transfer of cap due to servicing transfer
03/16/2017
$
(50,000)
$
26,041,516 Transfer of cap due to servicing transfer
04/26/2017
$
(2,027)
$
26,039,489 Transfer of cap due to servicing transfer
06/26/2017
$
(15,805)
$
26,023,684 Transfer of cap due to servicing transfer
07/26/2017
$
(489)
$
26,023,195 Transfer of cap due to servicing transfer
09/26/2017
$
(27,965)
$
25,995,230 Transfer of cap due to servicing transfer
10/26/2017
$
(3,468)
$
25,991,762 Transfer of cap due to servicing transfer
6
11/16/2017
$
(3,928,073)
$
22,063,690 Termination of SPA
3
06/14/2012
$
940,000
$
06/28/2012
$
205,242
$
1,145,242 Updated due to quarterly assessment and reallocation
09/27/2012
$
(3)
$
1,145,239 Updated due to quarterly assessment and reallocation
12/27/2012
$
(1)
$
1,145,238 Updated due to quarterly assessment and reallocation
01/16/2013
$
10,000
$
1,155,238 Transfer of cap due to servicing transfer
02/14/2013
$
8,690,000
$
9,845,238 Transfer of cap due to servicing transfer
03/14/2013
$
1,390,000
$
11,235,238 Transfer of cap due to servicing transfer
03/25/2013
$
(219)
$
11,235,019 Updated due to quarterly assessment and reallocation
05/16/2013
$
620,000
$
11,855,019 Transfer of cap due to servicing transfer
06/14/2013
$
990,000
$
12,845,019 Transfer of cap due to servicing transfer
06/27/2013
$
(96)
$
12,844,923 Updated due to quarterly assessment and reallocation
07/16/2013
$
5,780,000
$
18,624,923 Transfer of cap due to servicing transfer
09/27/2013
$
(50)
$
18,624,873 Updated due to quarterly assessment and reallocation
10/15/2013
$
880,000
$
19,504,873 Transfer of cap due to servicing transfer
11/14/2013
$
6,610,000
$
26,114,873 Transfer of cap due to servicing transfer
12/16/2013
$
20,000
$
26,134,873 Transfer of cap due to servicing transfer
12/23/2013
$
(118,329)
$
26,016,544 Updated due to quarterly assessment and reallocation
01/16/2014
$
1,770,000
$
27,786,544 Transfer of cap due to servicing transfer
02/13/2014
$
23,920,000
$
51,706,544 Transfer of cap due to servicing transfer
03/14/2014
$
1,460,000
$
53,166,544 Transfer of cap due to servicing transfer
03/26/2014
$
(7,186)
$
53,159,358 Updated due to quarterly assessment and reallocation
04/16/2014
$
2,370,000
$
55,529,358 Transfer of cap due to servicing transfer
05/15/2014
$
1,990,000
$
57,519,358 Transfer of cap due to servicing transfer
06/16/2014
$
1,720,000
$
59,239,358 Transfer of cap due to servicing transfer
06/26/2014
$
(96,715)
$
59,142,643 Updated due to quarterly assessment and reallocation
07/16/2014
$
1,310,000
$
60,452,643 Transfer of cap due to servicing transfer
07/29/2014
$
(197,950)
$
60,254,693 Updated due to quarterly assessment and reallocation
09/16/2014
$
(56,740,004)
$
09/29/2014
$
488,713
$
11/03/2014
$
(800,680)
$
09/30/2009
$
(11,300,000)
$
12/30/2009
$
(42,210,000)
$
03/26/2010
$
65,640,000
$
69,130,000 Updated portfolio data from servicer
04/09/2010
$
(14,470,000)
$
54,660,000 Updated portfolio data from servicer
07/14/2010
$
(8,860,000)
$
45,800,000 Updated portfolio data from servicer
09/30/2010
$
(4,459,154)
$
41,340,846 Updated portfolio data from servicer
12/15/2010
$
(4,300,000)
$
37,040,846 Transfer of cap due to servicing transfer
01/06/2011
$
(51)
$
37,040,795 Updated due to quarterly assessment and reallocation
03/30/2011
$
(65)
$
37,040,730 Updated due to quarterly assessment and reallocation
06/29/2011
$
(616)
$
37,040,114 Updated due to quarterly assessment and reallocation
06/28/2012
$
(462)
$
37,039,652 Updated due to quarterly assessment and reallocation
09/27/2012
$
(1,270)
$
37,038,382 Updated due to quarterly assessment and reallocation
12/27/2012
$
(214)
$
37,038,168 Updated due to quarterly assessment and reallocation
03/25/2013
$
(812)
$
37,037,356 Updated due to quarterly assessment and reallocation
06/27/2013
$
(306)
$
37,037,050 Updated due to quarterly assessment and reallocation
09/27/2013
$
(110)
$
37,036,940 Updated due to quarterly assessment and reallocation
12/23/2013
$
(185,423)
$
36,851,517 Updated due to quarterly assessment and reallocation
03/26/2014
$
(6,518)
$
36,844,999 Updated due to quarterly assessment and reallocation
15
06/17/2009
Adjustment
Date
940,000 Transfer of cap due to servicing transfer
3,514,689 Transfer of cap due to servicing transfer
4,003,402 Updated due to quarterly assessment and reallocation
3,202,722 Termination of SPA
45,700,000 Updated portfolio data from servicer/additional program initial cap
3,490,000 Updated portfolio data from servicer/additional program initial cap
129
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
06/16/2016
Rockland Trust Company
Rockland
MA
Purchase
Financial Instrument for Home Loan Modifications
01/13/2010
Roebling Bank
Roebling
NJ
Purchase
Financial Instrument for Home Loan Modifications
08/28/2009
RoundPoint Mortgage Servicing
Corporation
Charlotte
NC
Purchase
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
- N/A
$
$
240,000 N/A
570,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
06/26/2014
$
(77,004)
$
36,767,995 Updated due to quarterly assessment and reallocation
07/29/2014
$
(152,943)
$
36,615,052 Updated due to quarterly assessment and reallocation
09/29/2014
$
(50,520)
$
36,564,532 Updated due to quarterly assessment and reallocation
10/16/2014
$
(30,000)
$
36,534,532 Transfer of cap due to servicing transfer
6
11/03/2014
$
(35,740,763)
$
3
06/16/2016
$
40,000
$
03/26/2010
$
610,000
$
850,000 Updated portfolio data from servicer
07/14/2010
$
50,000
$
900,000 Updated portfolio data from servicer
09/30/2010
$
(29,666)
$
870,334 Updated portfolio data from servicer
01/06/2011
$
(1)
$
870,333 Updated due to quarterly assessment and reallocation
03/23/2011
$
(870,333)
10/02/2009
$
130,000
$
700,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(310,000)
$
03/26/2010
$
2,110,000
$
2,500,000 Updated portfolio data from servicer
07/14/2010
$
8,300,000
$
10,800,000 Updated portfolio data from servicer
09/30/2010
$
5,301,172
$
16,101,172 Updated portfolio data from servicer
01/06/2011
$
(22)
$
16,101,150 Updated due to quarterly assessment and reallocation
03/16/2011
$
(400,000)
$
15,701,150 Transfer of cap due to servicing transfer
03/30/2011
$
(25)
$
15,701,125 Updated due to quarterly assessment and reallocation
06/29/2011
$
(232)
$
15,700,893 Updated due to quarterly assessment and reallocation
06/28/2012
$
(174)
$
15,700,719 Updated due to quarterly assessment and reallocation
09/27/2012
$
(479)
$
15,700,240 Updated due to quarterly assessment and reallocation
11/15/2012
$
(350,000)
$
15,350,240 Transfer of cap due to servicing transfer
12/27/2012
$
(82)
$
15,350,158 Updated due to quarterly assessment and reallocation
03/25/2013
$
(308)
$
15,349,850 Updated due to quarterly assessment and reallocation
04/16/2013
$
80,000
$
15,429,850 Transfer of cap due to servicing transfer
06/14/2013
$
20,000
$
15,449,850 Transfer of cap due to servicing transfer
06/27/2013
$
(108)
$
15,449,742 Updated due to quarterly assessment and reallocation
07/16/2013
$
30,000
$
15,479,742 Transfer of cap due to servicing transfer
09/16/2013
$
640,000
$
16,119,742 Transfer of cap due to servicing transfer
09/27/2013
$
(40)
$
16,119,702 Updated due to quarterly assessment and reallocation
12/16/2013
$
190,000
$
16,309,702 Transfer of cap due to servicing transfer
12/23/2013
$
(67,286)
$
16,242,416 Updated due to quarterly assessment and reallocation
01/16/2014
$
520,000
$
16,762,416 Transfer of cap due to servicing transfer
02/13/2014
$
10,000
$
16,772,416 Transfer of cap due to servicing transfer
03/14/2014
$
(30,000)
$
16,742,416 Transfer of cap due to servicing transfer
03/26/2014
$
(2,463)
$
16,739,953 Updated due to quarterly assessment and reallocation
04/16/2014
$
(20,000)
$
16,719,953 Transfer of cap due to servicing transfer
06/26/2014
$
(28,873)
$
16,691,080 Updated due to quarterly assessment and reallocation
07/16/2014
$
480,000
$
17,171,080 Transfer of cap due to servicing transfer
07/29/2014
$
(59,055)
$
17,112,025 Updated due to quarterly assessment and reallocation
08/14/2014
$
360,000
$
17,472,025 Transfer of cap due to servicing transfer
09/29/2014
$
(19,992)
$
17,452,033 Updated due to quarterly assessment and reallocation
10/16/2014
$
530,000
$
17,982,033 Transfer of cap due to servicing transfer
12/16/2014
$
(120,000)
$
17,862,033 Transfer of cap due to servicing transfer
12/29/2014
$
(2,352,678)
$
15,509,355 Updated due to quarterly assessment and reallocation
03/26/2015
$
(891,303)
$
14,618,052 Updated due to quarterly assessment and reallocation
04/28/2015
$
(3,450,733)
$
11,167,319 Updated due to quarterly assessment and reallocation
05/14/2015
$
(50,000)
$
11,117,319 Transfer of cap due to servicing transfer
06/25/2015
$
(822,251)
$
10,295,068 Updated due to quarterly assessment and reallocation
08/14/2015
$
20,000
$
10,315,068 Transfer of cap due to servicing transfer
09/28/2015
$
(1,064,251)
$
9,250,817 Updated due to quarterly assessment and reallocation
12/16/2015
$
10,000
$
9,260,817 Transfer of cap due to servicing transfer
12/28/2015
$
(732,290)
$
8,528,527 Updated due to quarterly assessment and reallocation
01/14/2016
$
50,000
$
8,578,527 Transfer of cap due to servicing transfer
02/16/2016
$
10,000
$
8,588,527 Transfer of cap due to servicing transfer
02/25/2016
$
(2,314,829)
$
6,273,698 Reallocation due to MHA program deobligation
03/16/2016
$
200,000
$
6,473,698 Transfer of cap due to servicing transfer
03/28/2016
$
(55,575)
$
6,418,123 Updated due to quarterly assessment and reallocation
05/16/2016
$
20,000
$
6,438,123 Transfer of cap due to servicing transfer
05/31/2016
$
(455,300)
$
5,982,823 Updated due to quarterly assessment and reallocation
06/16/2016
$
(10,000)
$
5,972,823 Transfer of cap due to servicing transfer
06/27/2016
$
(271,492)
$
5,701,331 Updated due to quarterly assessment and reallocation
07/27/2016
$
(268,395)
$
5,432,936 Updated due to quarterly assessment and reallocation
09/15/2016
$
1,230,000
$
6,662,936 Transfer of cap due to servicing transfer
09/28/2016
$
(928,842)
$
5,734,094 Updated due to quarterly assessment and reallocation
10/25/2016
$
(897,584)
$
4,836,510 Updated due to quarterly assessment and reallocation
11/07/2016
$
346,050
$
11/29/2016
$
(7,813)
$
5,174,747 Updated due to quarterly assessment and reallocation
12/15/2016
$
(680,000)
$
4,494,747 Transfer of cap due to servicing transfer
12/27/2016
$
(1,170)
$
4,493,577 Transfer of cap due to servicing transfer
01/13/2017
$
(150,000)
$
4,343,577 Transfer of cap due to servicing transfer
793,769 Termination of SPA
40,000 Transfer of cap due to servicing transfer
- Termination of SPA
390,000 Updated portfolio data from servicer/additional program initial cap
5,182,560 Updated due to quarterly assessment and reallocation
130
Servicer Modifying Borrowers' Loans
Date
12/15/2011
Name of Institution
Rushmore Loan Management
Services LLC
City
Irvine
Adjustment Details
State
CA
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
- N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
02/16/2017
$
(40,000)
$
4,303,577 Transfer of cap due to servicing transfer
02/27/2017
$
(18,729)
$
4,284,848 Transfer of cap due to servicing transfer
04/26/2017
$
(1,189)
$
4,283,659 Transfer of cap due to servicing transfer
06/26/2017
$
(8,754)
$
4,274,905 Transfer of cap due to servicing transfer
07/26/2017
$
(258)
$
4,274,647 Transfer of cap due to servicing transfer
09/26/2017
$
(266,556)
$
4,008,091 Transfer of cap due to servicing transfer
10/26/2017
$
(34,323)
$
3,973,768 Transfer of cap due to servicing transfer
12/21/2017
$
(39,577)
$
3,934,191 Transfer of cap due to servicing transfer
02/26/2018
$
(1,855)
$
3,932,336 Transfer of cap due to servicing transfer
03/22/2018
$
(5,625)
$
3,926,711 Transfer of cap due to servicing transfer
04/25/2018
$
(11,578)
$
3,915,133 Transfer of cap due to servicing transfer
06/21/2018
$
(2,590)
$
3,912,543 Transfer of cap due to servicing transfer
07/26/2018
$
(746,776)
$
3,165,767 Reallocation due to MHA program deobligation
12/15/2011
$
200,000
$
200,000 Transfer of cap due to servicing transfer
04/16/2012
$
600,000
$
800,000 Transfer of cap due to servicing transfer
06/28/2012
$
(3)
$
799,997 Updated due to quarterly assessment and reallocation
08/16/2012
$
110,000
$
09/27/2012
$
(13)
$
10/16/2012
$
1,270,000
$
11/15/2012
$
230,000
$
12/27/2012
$
(5)
$
2,409,979 Updated due to quarterly assessment and reallocation
01/16/2013
$
990,000
$
3,399,979 Transfer of cap due to servicing transfer
02/14/2013
$
600,000
$
3,999,979 Transfer of cap due to servicing transfer
03/14/2013
$
1,980,000
$
5,979,979 Transfer of cap due to servicing transfer
03/25/2013
$
(77)
$
5,979,902 Updated due to quarterly assessment and reallocation
04/16/2013
$
340,000
$
6,319,902 Transfer of cap due to servicing transfer
05/16/2013
$
1,520,000
$
7,839,902 Transfer of cap due to servicing transfer
06/14/2013
$
2,740,000
$
10,579,902 Transfer of cap due to servicing transfer
06/27/2013
$
(53)
$
10,579,849 Updated due to quarterly assessment and reallocation
09/16/2013
$
2,570,000
$
13,149,849 Transfer of cap due to servicing transfer
09/27/2013
$
(26)
$
13,149,823 Updated due to quarterly assessment and reallocation
10/15/2013
$
10,000
$
13,159,823 Transfer of cap due to servicing transfer
11/14/2013
$
19,140,000
$
32,299,823 Transfer of cap due to servicing transfer
12/16/2013
$
1,330,000
$
33,629,823 Transfer of cap due to servicing transfer
12/23/2013
$
(60,644)
$
33,569,179 Updated due to quarterly assessment and reallocation
01/16/2014
$
10,000
$
33,579,179 Transfer of cap due to servicing transfer
03/14/2014
$
50,000
$
33,629,179 Transfer of cap due to servicing transfer
03/26/2014
$
(2,090)
$
33,627,089 Updated due to quarterly assessment and reallocation
04/16/2014
$
4,440,000
$
38,067,089 Transfer of cap due to servicing transfer
05/15/2014
$
60,000
$
38,127,089 Transfer of cap due to servicing transfer
06/16/2014
$
380,000
$
38,507,089 Transfer of cap due to servicing transfer
06/26/2014
$
(35,305)
$
38,471,784 Updated due to quarterly assessment and reallocation
07/16/2014
$
270,000
$
38,741,784 Transfer of cap due to servicing transfer
07/29/2014
$
(69,974)
$
38,671,810 Updated due to quarterly assessment and reallocation
08/14/2014
$
4,040,000
$
42,711,810 Transfer of cap due to servicing transfer
09/16/2014
$
1,670,000
$
44,381,810 Transfer of cap due to servicing transfer
09/29/2014
$
(27,982)
$
44,353,828 Updated due to quarterly assessment and reallocation
10/16/2014
$
13,870,000
$
58,223,828 Transfer of cap due to servicing transfer
11/14/2014
$
8,350,000
$
66,573,828 Transfer of cap due to servicing transfer
12/16/2014
$
2,520,000
$
69,093,828 Transfer of cap due to servicing transfer
12/29/2014
$
(1,524,773)
$
67,569,055 Updated due to quarterly assessment and reallocation
01/15/2015
$
2,220,000
$
69,789,055 Transfer of cap due to servicing transfer
02/13/2015
$
980,000
$
70,769,055 Transfer of cap due to servicing transfer
03/16/2015
$
140,000
$
70,909,055 Transfer of cap due to servicing transfer
03/26/2015
$
(1,062,455)
$
69,846,600 Updated due to quarterly assessment and reallocation
04/16/2015
$
(2,050,000)
$
67,796,600 Transfer of cap due to servicing transfer
04/28/2015
$
(3,536,729)
$
64,259,871 Updated due to quarterly assessment and reallocation
05/14/2015
$
210,000
$
64,469,871 Transfer of cap due to servicing transfer
06/16/2015
$
8,540,000
$
73,009,871 Transfer of cap due to servicing transfer
06/25/2015
$
(1,665,379)
$
71,344,492 Updated due to quarterly assessment and reallocation
07/16/2015
$
2,050,000
$
73,394,492 Transfer of cap due to servicing transfer
08/14/2015
$
10,390,000
$
83,784,492 Transfer of cap due to servicing transfer
09/16/2015
$
5,300,000
$
89,084,492 Transfer of cap due to servicing transfer
09/28/2015
$
(3,202,247)
$
85,882,245 Updated due to quarterly assessment and reallocation
10/15/2015
$
(1,260,000)
$
84,622,245 Transfer of cap due to servicing transfer
11/16/2015
$
100,000
$
84,722,245 Transfer of cap due to servicing transfer
12/16/2015
$
350,000
$
85,072,245 Transfer of cap due to servicing transfer
12/28/2015
$
(2,075,474)
$
82,996,771 Updated due to quarterly assessment and reallocation
01/14/2016
$
250,000
$
83,246,771 Transfer of cap due to servicing transfer
02/16/2016
$
2,170,000
$
85,416,771 Transfer of cap due to servicing transfer
02/25/2016
$
(9,768,061)
$
75,648,710 Reallocation due to MHA program deobligation
03/16/2016
$
5,500,000
$
81,148,710 Transfer of cap due to servicing transfer
909,997 Transfer of cap due to servicing transfer
909,984 Updated due to quarterly assessment and reallocation
2,179,984 Transfer of cap due to servicing transfer
2,409,984 Transfer of cap due to servicing transfer
131
Servicer Modifying Borrowers' Loans
Date
07/14/2016
04/13/2009
Name of Institution
Santander Bank, N.A.
Saxon Mortgage Services, Inc.
City
Reading
Irving
Adjustment Details
State
PA
TX
Transaction
Type
Purchase
Purchase
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
$
407,000,000 N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
03/28/2016
$
(347,014)
$
80,801,696 Updated due to quarterly assessment and reallocation
04/14/2016
$
(1,040,000)
$
79,761,696 Transfer of cap due to servicing transfer
05/16/2016
$
(1,740,000)
$
78,021,696 Transfer of cap due to servicing transfer
05/31/2016
$
(2,271,991)
$
75,749,705 Updated due to quarterly assessment and reallocation
06/16/2016
$
5,480,000
$
81,229,705 Transfer of cap due to servicing transfer
06/27/2016
$
(1,805,648)
$
79,424,057 Updated due to quarterly assessment and reallocation
07/14/2016
$
1,700,000
$
81,124,057 Transfer of cap due to servicing transfer
07/27/2016
$
(2,019,779)
$
79,104,278 Updated due to quarterly assessment and reallocation
08/16/2016
$
(1,500,000)
$
77,604,278 Transfer of cap due to servicing transfer
09/15/2016
$
(1,630,000)
$
75,974,278 Transfer of cap due to servicing transfer
09/28/2016
$
(2,318,267)
$
73,656,011 Updated due to quarterly assessment and reallocation
10/14/2016
$
1,170,000
$
74,826,011 Transfer of cap due to servicing transfer
10/25/2016
$
(2,719,687)
$
72,106,324 Updated due to quarterly assessment and reallocation
11/07/2016
$
1,048,535
$
73,154,859 Updated due to quarterly assessment and reallocation
11/16/2016
$
1,640,000
$
74,794,859 Transfer of cap due to servicing transfer
11/29/2016
$
(62,040)
$
74,732,819 Updated due to quarterly assessment and reallocation
12/15/2016
$
750,000
$
75,482,819 Transfer of cap due to servicing transfer
12/27/2016
$
(10,694)
$
75,472,125 Transfer of cap due to servicing transfer
01/13/2017
$
1,330,000
$
76,802,125 Transfer of cap due to servicing transfer
02/16/2017
$
1,750,000
$
78,552,125 Transfer of cap due to servicing transfer
02/27/2017
$
(228,329)
$
78,323,796 Transfer of cap due to servicing transfer
03/16/2017
$
1,050,000
$
79,373,796 Transfer of cap due to servicing transfer
04/26/2017
$
(16,335)
$
79,357,461 Transfer of cap due to servicing transfer
06/26/2017
$
(124,608)
$
79,232,853 Transfer of cap due to servicing transfer
07/26/2017
$
(3,836)
$
79,229,017 Transfer of cap due to servicing transfer
09/26/2017
$
(618,292)
$
78,610,725 Transfer of cap due to servicing transfer
10/26/2017
$
(66,661)
$
78,544,064 Transfer of cap due to servicing transfer
12/21/2017
$
(350,288)
$
78,193,776 Transfer of cap due to servicing transfer
02/26/2018
$
(16,916)
$
78,176,860 Transfer of cap due to servicing transfer
03/22/2018
$
(43,528)
$
78,133,332 Transfer of cap due to servicing transfer
04/25/2018
$
(94,789)
$
78,038,543 Transfer of cap due to servicing transfer
06/21/2018
$
(127)
$
78,038,416 Transfer of cap due to servicing transfer
07/26/2018
$
1,581,751
$
79,620,167 Reallocation due to MHA program deobligation
07/14/2016
$
20,000
$
20,000 Transfer of cap due to servicing transfer
03/16/2017
$
90,000
$
110,000 Transfer of cap due to servicing transfer
04/26/2017
$
(14)
$
109,986 Transfer of cap due to servicing transfer
06/26/2017
$
5,264
$
115,250 Transfer of cap due to servicing transfer
09/26/2017
$
6,780
$
07/26/2018
$
(15,447)
$
06/17/2009
$
225,040,000
$
632,040,000 Updated portfolio data from servicer
09/30/2009
$
254,380,000
$
886,420,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
355,710,000
$
1,242,130,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(57,720,000)
$
1,184,410,000 Updated portfolio data from servicer
06/16/2010
$
(156,050,000)
$
1,028,360,000 Transfer of cap due to servicing transfer
07/14/2010
$
(513,660,000)
$
514,700,000 Updated portfolio data from servicer
07/16/2010
$
(22,980,000)
$
491,720,000 Transfer of cap due to servicing transfer
09/15/2010
$
1,800,000
$
493,520,000 Transfer of cap due to servicing transfer
09/30/2010
$
9,800,000
$
503,320,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
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 Transfer of cap due to servicing transfer
01/06/2011
$
(556)
$
628,542,112 Updated due to quarterly assessment and reallocation
01/13/2011
$
2,300,000
$
630,842,112 Transfer of cap due to servicing transfer
03/16/2011
$
700,000
$
631,542,112 Transfer of cap due to servicing transfer
03/30/2011
$
(654)
$
631,541,458 Updated due to quarterly assessment and reallocation
04/13/2011
$
2,100,000
$
633,641,458 Transfer of cap due to servicing transfer
06/29/2011
$
(6,144)
$
633,635,314 Updated due to quarterly assessment and reallocation
07/14/2011
$
200,000
$
633,835,314 Transfer of cap due to servicing transfer
08/16/2011
$
(100,000)
$
633,735,314 Transfer of cap due to servicing transfer
09/15/2011
$
(700,000)
$
633,035,314 Transfer of cap due to servicing transfer
12/15/2011
$
17,500,000
$
650,535,314 Transfer of cap due to servicing transfer
02/16/2012
$
(100,000)
$
650,435,314 Transfer of cap due to servicing transfer
03/15/2012
$
100,000
$
650,535,314 Transfer of cap due to servicing transfer
04/16/2012
$
(17,500,000)
$
633,035,314 Transfer of cap due to servicing transfer
05/16/2012
$
(760,000)
$
632,275,314 Transfer of cap due to servicing transfer
06/14/2012
$
(354,290,000)
$
277,985,314 Transfer of cap due to servicing transfer
06/28/2012
$
(1,831)
$
277,983,483 Updated due to quarterly assessment and reallocation
07/16/2012
$
(10,120,000)
$
267,863,483 Transfer of cap due to servicing transfer
08/16/2012
$
(10,000)
$
267,853,483 Transfer of cap due to servicing transfer
09/27/2012
$
(4,701)
$
267,848,782 Updated due to quarterly assessment and reallocation
10/16/2012
$
(9,220,000)
$
258,628,782 Transfer of cap due to servicing transfer
11/15/2012
$
(30,000)
$
258,598,782 Transfer of cap due to servicing transfer
12/14/2012
$
60,000
$
258,658,782 Transfer of cap due to servicing transfer
122,030 Transfer of cap due to servicing transfer
106,583 Reallocation due to MHA program deobligation
132
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
Note
10
09/23/2009
12/15/2010
Schools Financial Credit Union
Scotiabank de Puerto Rico
Sacramento
San Juan
CA
PR
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
390,000 N/A
- N/A
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
12/27/2012
$
(788)
$
258,657,994 Updated due to quarterly assessment and reallocation
01/16/2013
$
(610,000)
$
258,047,994 Transfer of cap due to servicing transfer
03/25/2013
$
(2,979)
$
258,045,015 Updated due to quarterly assessment and reallocation
04/09/2013
$
(157,237,929)
$
100,807,086 Termination of SPA
10/02/2009
$
90,000
$
480,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
940,000
$
1,420,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(980,000)
$
07/14/2010
$
(140,000)
$
300,000 Updated portfolio data from servicer
09/30/2010
$
1,150,556
$
1,450,556 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,450,554 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
1,450,552 Updated due to quarterly assessment and reallocation
06/29/2011
$
(22)
$
1,450,530 Updated due to quarterly assessment and reallocation
06/28/2012
$
(16)
$
1,450,514 Updated due to quarterly assessment and reallocation
09/27/2012
$
(44)
$
1,450,470 Updated due to quarterly assessment and reallocation
12/27/2012
$
(7)
$
1,450,463 Updated due to quarterly assessment and reallocation
03/25/2013
$
(28)
$
1,450,435 Updated due to quarterly assessment and reallocation
06/27/2013
$
(11)
$
1,450,424 Updated due to quarterly assessment and reallocation
09/27/2013
$
(4)
$
1,450,420 Updated due to quarterly assessment and reallocation
12/23/2013
$
(6,411)
$
1,444,009 Updated due to quarterly assessment and reallocation
03/26/2014
$
(225)
$
1,443,784 Updated due to quarterly assessment and reallocation
06/26/2014
$
(2,661)
$
1,441,123 Updated due to quarterly assessment and reallocation
07/29/2014
$
(5,285)
$
1,435,838 Updated due to quarterly assessment and reallocation
09/29/2014
$
(1,746)
$
1,434,092 Updated due to quarterly assessment and reallocation
12/29/2014
$
(201,817)
$
1,232,275 Updated due to quarterly assessment and reallocation
03/26/2015
$
(76,420)
$
1,155,855 Updated due to quarterly assessment and reallocation
04/28/2015
$
(301,210)
$
854,645 Updated due to quarterly assessment and reallocation
06/25/2015
$
(71,460)
$
783,185 Updated due to quarterly assessment and reallocation
09/28/2015
$
(95,514)
$
687,671 Updated due to quarterly assessment and reallocation
12/28/2015
$
(70,705)
$
616,966 Updated due to quarterly assessment and reallocation
02/25/2016
$
(210,262)
$
406,704 Reallocation due to MHA program deobligation
03/28/2016
$
(4,392)
$
402,312 Updated due to quarterly assessment and reallocation
05/31/2016
$
(35,674)
$
366,638 Updated due to quarterly assessment and reallocation
06/27/2016
$
(21,311)
$
345,327 Updated due to quarterly assessment and reallocation
07/27/2016
$
(21,317)
$
324,010 Updated due to quarterly assessment and reallocation
09/28/2016
$
(37,281)
$
286,729 Updated due to quarterly assessment and reallocation
10/25/2016
$
(35,228)
$
251,501 Updated due to quarterly assessment and reallocation
11/07/2016
$
13,582
$
265,083 Updated due to quarterly assessment and reallocation
11/29/2016
$
(344)
$
264,739 Updated due to quarterly assessment and reallocation
12/27/2016
$
(52)
$
264,687 Transfer of cap due to servicing transfer
02/27/2017
$
(910)
$
263,777 Transfer of cap due to servicing transfer
04/26/2017
$
(60)
$
263,717 Transfer of cap due to servicing transfer
06/26/2017
$
(459)
$
263,258 Transfer of cap due to servicing transfer
07/26/2017
$
(14)
$
263,244 Transfer of cap due to servicing transfer
09/26/2017
$
(12,751)
$
250,493 Transfer of cap due to servicing transfer
10/26/2017
$
(1,581)
$
248,912 Transfer of cap due to servicing transfer
12/21/2017
$
(1,647)
$
247,265 Transfer of cap due to servicing transfer
02/26/2018
$
(80)
$
247,185 Transfer of cap due to servicing transfer
03/22/2018
$
(261)
$
246,924 Transfer of cap due to servicing transfer
04/25/2018
$
(515)
$
246,409 Transfer of cap due to servicing transfer
06/21/2018
$
(97)
$
07/26/2018
$
(40,409)
$
12/15/2010
$
4,300,000
$
4,300,000 Transfer of cap due to servicing transfer
01/06/2011
$
(4)
$
4,299,996 Updated due to quarterly assessment and reallocation
06/29/2011
$
(5)
$
4,299,991 Updated due to quarterly assessment and reallocation
06/28/2012
$
(23)
$
4,299,968 Updated due to quarterly assessment and reallocation
09/27/2012
$
(63)
$
4,299,905 Updated due to quarterly assessment and reallocation
12/27/2012
$
(11)
$
4,299,894 Updated due to quarterly assessment and reallocation
03/25/2013
$
(41)
$
4,299,853 Updated due to quarterly assessment and reallocation
06/27/2013
$
(16)
$
4,299,837 Updated due to quarterly assessment and reallocation
09/27/2013
$
(6)
$
4,299,831 Updated due to quarterly assessment and reallocation
12/23/2013
$
(9,679)
$
4,290,152 Updated due to quarterly assessment and reallocation
03/26/2014
$
(344)
$
4,289,808 Updated due to quarterly assessment and reallocation
06/26/2014
$
(4,087)
$
4,285,721 Updated due to quarterly assessment and reallocation
07/29/2014
$
(8,126)
$
4,277,595 Updated due to quarterly assessment and reallocation
09/29/2014
$
(2,690)
$
4,274,905 Updated due to quarterly assessment and reallocation
10/16/2014
$
30,000
$
4,304,905 Transfer of cap due to servicing transfer
12/29/2014
$
(163,461)
$
4,141,444 Updated due to quarterly assessment and reallocation
03/26/2015
$
(65,464)
$
4,075,980 Updated due to quarterly assessment and reallocation
04/28/2015
$
(260,119)
$
06/25/2015
$
(63,179)
$
3,752,682 Updated due to quarterly assessment and reallocation
09/28/2015
$
(87,785)
$
3,664,897 Updated due to quarterly assessment and reallocation
12/28/2015
$
(65,988)
$
3,598,909 Updated due to quarterly assessment and reallocation
02/25/2016
$
(298,593)
$
3,300,316 Reallocation due to MHA program deobligation
440,000 Updated portfolio data from servicer
246,312 Transfer of cap due to servicing transfer
205,903 Reallocation due to MHA program deobligation
3,815,861 Updated due to quarterly assessment and reallocation
133
Servicer Modifying Borrowers' Loans
Name of Institution
Date
09/25/2009
04/13/2009
SEFCU
Select Portfolio Servicing, Inc.
City
Albany
Salt Lake City
Adjustment Details
State
NY
UT
Transaction
Type
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
$
Pricing
Mechanism
440,000 N/A
376,000,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
03/28/2016
$
(6,237)
$
3,294,079 Updated due to quarterly assessment and reallocation
05/31/2016
$
(48,817)
$
3,245,262 Updated due to quarterly assessment and reallocation
06/27/2016
$
(29,163)
$
3,216,099 Updated due to quarterly assessment and reallocation
07/27/2016
$
(29,171)
$
3,186,928 Updated due to quarterly assessment and reallocation
09/28/2016
$
(51,016)
$
3,135,912 Updated due to quarterly assessment and reallocation
10/25/2016
$
(48,207)
$
3,087,705 Updated due to quarterly assessment and reallocation
11/07/2016
$
18,586
$
3,106,291 Updated due to quarterly assessment and reallocation
11/29/2016
$
(1,644)
$
3,104,647 Updated due to quarterly assessment and reallocation
12/27/2016
$
(251)
$
3,104,396 Transfer of cap due to servicing transfer
02/27/2017
$
(4,356)
$
3,100,040 Transfer of cap due to servicing transfer
04/26/2017
$
(285)
$
3,099,755 Transfer of cap due to servicing transfer
06/26/2017
$
(2,195)
$
3,097,560 Transfer of cap due to servicing transfer
07/26/2017
$
(66)
$
3,097,494 Transfer of cap due to servicing transfer
09/26/2017
$
(14,761)
$
3,082,733 Transfer of cap due to servicing transfer
10/26/2017
$
(1,831)
$
3,080,902 Transfer of cap due to servicing transfer
12/21/2017
$
(1,907)
$
3,078,995 Transfer of cap due to servicing transfer
02/26/2018
$
(93)
$
3,078,902 Transfer of cap due to servicing transfer
03/22/2018
$
(302)
$
3,078,600 Transfer of cap due to servicing transfer
04/25/2018
$
(597)
$
3,078,003 Transfer of cap due to servicing transfer
06/21/2018
$
(112)
$
3,077,891 Transfer of cap due to servicing transfer
07/26/2018
$
(400,290)
$
2,677,601 Reallocation due to MHA program deobligation
10/02/2009
$
100,000
$
540,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
20,000
$
560,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(290,000)
$
270,000 Updated portfolio data from servicer
07/14/2010
$
(70,000)
$
200,000 Updated portfolio data from servicer
09/30/2010
$
(54,944)
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
04/11/2012
$
(145,055)
06/12/2009
$
284,590,000
$
660,590,000 Updated portfolio data from servicer
09/30/2009
$
121,910,000
$
782,500,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
131,340,000
$
913,840,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(355,530,000)
$
558,310,000 Updated portfolio data from servicer
07/14/2010
$
128,690,000
$
687,000,000 Updated portfolio data from servicer
09/30/2010
$
4,000,000
$
691,000,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
59,807,784
$
750,807,784 Updated portfolio data from servicer
11/16/2010
$
(700,000)
$
750,107,784 Transfer of cap due to servicing transfer
12/15/2010
$
64,400,000
$
814,507,784 Transfer of cap due to servicing transfer
01/06/2011
$
(639)
$
814,507,145 Updated due to quarterly assessment and reallocation
01/13/2011
$
(2,300,000)
$
812,207,145 Transfer of cap due to servicing transfer
02/16/2011
$
100,000
$
812,307,145 Transfer of cap due to servicing transfer
03/16/2011
$
3,600,000
$
815,907,145 Transfer of cap due to servicing transfer
03/30/2011
$
(735)
$
815,906,410 Updated due to quarterly assessment and reallocation
04/13/2011
$
(100,000)
$
815,806,410 Transfer of cap due to servicing transfer
05/13/2011
$
400,000
$
816,206,410 Transfer of cap due to servicing transfer
06/16/2011
$
(100,000)
$
816,106,410 Transfer of cap due to servicing transfer
06/29/2011
$
(6,805)
$
816,099,605 Updated due to quarterly assessment and reallocation
08/16/2011
$
(100,000)
$
815,999,605 Transfer of cap due to servicing transfer
09/15/2011
$
(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
01/13/2012
$
200,000
$
815,799,605 Transfer of cap due to servicing transfer
03/15/2012
$
24,800,000
$
840,599,605 Transfer of cap due to servicing transfer
04/16/2012
$
1,900,000
$
842,499,605 Transfer of cap due to servicing transfer
05/16/2012
$
80,000
$
842,579,605 Transfer of cap due to servicing transfer
06/14/2012
$
8,710,000
$
851,289,605 Transfer of cap due to servicing transfer
06/28/2012
$
(5,176)
$
851,284,429 Updated due to quarterly assessment and reallocation
07/16/2012
$
2,430,000
$
853,714,429 Transfer of cap due to servicing transfer
08/16/2012
$
2,310,000
$
856,024,429 Transfer of cap due to servicing transfer
09/27/2012
$
(13,961)
$
856,010,468 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
$
1,003,590,468 Transfer of cap due to servicing transfer
12/27/2012
$
(2,663)
$
1,003,587,805 Updated due to quarterly assessment and reallocation
01/16/2013
$
18,650,000
$
1,022,237,805 Transfer of cap due to servicing transfer
02/14/2013
$
10,290,000
$
1,032,527,805 Transfer of cap due to servicing transfer
03/14/2013
$
4,320,000
$
1,036,847,805 Transfer of cap due to servicing transfer
03/25/2013
$
(10,116)
$
1,036,837,689 Updated due to quarterly assessment and reallocation
04/16/2013
$
840,000
$
1,037,677,689 Transfer of cap due to servicing transfer
05/16/2013
$
1,330,000
$
1,039,007,689 Transfer of cap due to servicing transfer
06/14/2013
$
3,620,000
$
1,042,627,689 Transfer of cap due to servicing transfer
06/27/2013
$
(3,564)
$
1,042,624,125 Updated due to quarterly assessment and reallocation
07/16/2013
$
105,080,000
$
1,147,704,125 Transfer of cap due to servicing transfer
08/15/2013
$
10,000
$
1,147,714,125 Transfer of cap due to servicing transfer
145,055 Updated due to quarterly assessment and reallocation
- Termination of SPA
134
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
09/16/2013
$
98,610,000
$
1,246,324,125 Transfer of cap due to servicing transfer
09/27/2013
$
(1,541)
$
1,246,322,584 Updated due to quarterly assessment and reallocation
10/15/2013
$
1,280,000
$
1,247,602,584 Transfer of cap due to servicing transfer
11/14/2013
$
15,130,000
$
1,262,732,584 Transfer of cap due to servicing transfer
12/16/2013
$
6,290,000
$
1,269,022,584 Transfer of cap due to servicing transfer
12/23/2013
$
(2,481,777)
$
1,266,540,807 Updated due to quarterly assessment and reallocation
01/16/2014
$
1,580,000
$
1,268,120,807 Transfer of cap due to servicing transfer
02/13/2014
$
75,350,000
$
1,343,470,807 Transfer of cap due to servicing transfer
03/14/2014
$
16,900,000
$
1,360,370,807 Transfer of cap due to servicing transfer
03/26/2014
$
(85,696)
$
1,360,285,111 Updated due to quarterly assessment and reallocation
04/16/2014
$
12,470,000
$
1,372,755,111 Transfer of cap due to servicing transfer
05/15/2014
$
20,960,000
$
1,393,715,111 Transfer of cap due to servicing transfer
06/16/2014
$
14,220,000
$
1,407,935,111 Transfer of cap due to servicing transfer
06/26/2014
$
(1,023,387)
$
1,406,911,724 Updated due to quarterly assessment and reallocation
07/16/2014
$
12,690,000
$
1,419,601,724 Transfer of cap due to servicing transfer
07/29/2014
$
(1,968,183)
$
1,417,633,541 Updated due to quarterly assessment and reallocation
08/14/2014
$
(42,210,000)
$
1,375,423,541 Transfer of cap due to servicing transfer
09/16/2014
$
7,420,000
$
1,382,843,541 Transfer of cap due to servicing transfer
09/29/2014
$
(540,365)
$
1,382,303,176 Updated due to quarterly assessment and reallocation
10/16/2014
$
57,410,000
$
1,439,713,176 Transfer of cap due to servicing transfer
11/14/2014
$
1,490,000
$
1,441,203,176 Transfer of cap due to servicing transfer
12/16/2014
$
3,740,000
$
1,444,943,176 Transfer of cap due to servicing transfer
12/29/2014
$
6,991,378
$
1,451,934,554 Updated due to quarterly assessment and reallocation
01/15/2015
$
10,630,000
$
1,462,564,554 Transfer of cap due to servicing transfer
02/13/2015
$
4,120,000
$
1,466,684,554 Transfer of cap due to servicing transfer
03/16/2015
$
(900,000)
$
1,465,784,554 Transfer of cap due to servicing transfer
03/26/2015
$
71,365,159
$
1,537,149,713 Updated due to quarterly assessment and reallocation
04/16/2015
$
710,000
$
1,537,859,713 Transfer of cap due to servicing transfer
04/28/2015
$
36,897,540
$
1,574,757,253 Updated due to quarterly assessment and reallocation
05/14/2015
$
3,890,000
$
1,578,647,253 Transfer of cap due to servicing transfer
06/16/2015
$
34,620,000
$
1,613,267,253 Transfer of cap due to servicing transfer
06/25/2015
$
41,497,746
$
1,654,764,999 Updated due to quarterly assessment and reallocation
07/16/2015
$
(16,430,000)
$
1,638,334,999 Transfer of cap due to servicing transfer
08/14/2015
$
3,520,000
$
1,641,854,999 Transfer of cap due to servicing transfer
09/16/2015
$
10,280,000
$
1,652,134,999 Transfer of cap due to servicing transfer
09/28/2015
$
87,496,640
$
1,739,631,639 Updated due to quarterly assessment and reallocation
10/15/2015
$
(16,640,000)
$
1,722,991,639 Transfer of cap due to servicing transfer
11/16/2015
$
(260,000)
$
1,722,731,639 Transfer of cap due to servicing transfer
12/16/2015
$
45,960,000
$
1,768,691,639 Transfer of cap due to servicing transfer
12/28/2015
$
43,906,188
$
1,812,597,827 Updated due to quarterly assessment and reallocation
01/14/2016
$
24,710,000
$
1,837,307,827 Transfer of cap due to servicing transfer
02/16/2016
$
2,670,000
$
1,839,977,827 Transfer of cap due to servicing transfer
02/25/2016
$
(47,775,866)
$
1,792,201,961 Reallocation due to MHA program deobligation
03/16/2016
$
(1,310,000)
$
1,790,891,961 Transfer of cap due to servicing transfer
03/28/2016
$
(194,564)
$
1,790,697,397 Updated due to quarterly assessment and reallocation
04/14/2016
$
940,000
$
1,791,637,397 Transfer of cap due to servicing transfer
05/16/2016
$
10,880,000
$
1,802,517,397 Transfer of cap due to servicing transfer
05/31/2016
$
119,002,590
$
1,921,519,987 Updated due to quarterly assessment and reallocation
06/16/2016
$
38,730,000
$
1,960,249,987 Transfer of cap due to servicing transfer
06/27/2016
$
19,191,131
$
1,979,441,118 Updated due to quarterly assessment and reallocation
07/14/2016
$
(2,280,000)
$
1,977,161,118 Transfer of cap due to servicing transfer
07/27/2016
$
(1,954,173)
$
1,975,206,945 Updated due to quarterly assessment and reallocation
08/16/2016
$
26,510,000
$
2,001,716,945 Transfer of cap due to servicing transfer
09/15/2016
$
16,540,000
$
2,018,256,945 Transfer of cap due to servicing transfer
09/28/2016
$
36,150,560
$
2,054,407,505 Updated due to quarterly assessment and reallocation
10/14/2016
$
10,060,000
$
2,064,467,505 Transfer of cap due to servicing transfer
10/25/2016
$
14,764,710
$
2,079,232,215 Updated due to quarterly assessment and reallocation
-
$
2,079,232,215 Updated due to quarterly assessment and reallocation
11/16/2016
$
5,070,000
$
2,084,302,215 Transfer of cap due to servicing transfer
11/29/2016
$
(915,311)
$
2,083,386,904 Updated due to quarterly assessment and reallocation
12/15/2016
$
1,450,000
$
2,084,836,904 Transfer of cap due to servicing transfer
12/27/2016
$
(117,550)
$
2,084,719,354 Transfer of cap due to servicing transfer
01/13/2017
$
30,000
$
2,084,749,354 Transfer of cap due to servicing transfer
02/16/2017
$
(41,410,000)
$
2,043,339,354 Transfer of cap due to servicing transfer
02/27/2017
$
(1,240,072)
$
2,042,099,282 Transfer of cap due to servicing transfer
03/16/2017
$
16,530,000
$
2,058,629,282 Transfer of cap due to servicing transfer
04/26/2017
$
(21,961)
$
2,058,607,321 Transfer of cap due to servicing transfer
06/26/2017
$
(167,546)
$
2,058,439,775 Transfer of cap due to servicing transfer
07/26/2017
$
(4,732)
$
09/26/2017
$
119,748,540
$
2,178,183,583 Transfer of cap due to servicing transfer
10/26/2017
$
9,740,790
$
2,187,924,373 Transfer of cap due to servicing transfer
12/21/2017
$
(1,737,797)
$
2,186,186,576 Transfer of cap due to servicing transfer
02/26/2018
$
(36,867)
$
2,186,149,709 Transfer of cap due to servicing transfer
11/07/2016
2,058,435,043 Transfer of cap due to servicing transfer
135
Servicer Modifying Borrowers' Loans
Date
06/16/2010
Name of Institution
Selene Finance LP
City
Houston
Adjustment Details
State
TX
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
- N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
03/22/2018
$
2,856,819
$
2,189,006,528 Transfer of cap due to servicing transfer
04/25/2018
$
1,375,299
$
2,190,381,827 Transfer of cap due to servicing transfer
06/21/2018
$
(47,625)
$
2,190,334,202 Transfer of cap due to servicing transfer
07/26/2018
$
(280,952,429)
$
1,909,381,773 Reallocation due to MHA program deobligation
06/16/2010
$
3,680,000
$
08/13/2010
$
3,300,000
$
09/30/2010
$
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
01/06/2011
$
(17)
$
11,423,814 Updated due to quarterly assessment and reallocation
03/16/2011
$
2,100,000
$
13,523,814 Transfer of cap due to servicing transfer
03/30/2011
$
(24)
$
13,523,790 Updated due to quarterly assessment and reallocation
04/13/2011
$
2,900,000
$
16,423,790 Transfer of cap due to servicing transfer
06/16/2011
$
(200,000)
$
16,223,790 Transfer of cap due to servicing transfer
06/29/2011
$
(273)
$
16,223,517 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
04/16/2012
$
200,000
$
17,623,517 Transfer of cap due to servicing transfer
05/16/2012
$
10,000
$
17,633,517 Transfer of cap due to servicing transfer
06/14/2012
$
(300,000)
$
17,333,517 Transfer of cap due to servicing transfer
06/28/2012
$
(218)
$
17,333,299 Updated due to quarterly assessment and reallocation
07/16/2012
$
40,000
$
17,373,299 Transfer of cap due to servicing transfer
08/16/2012
$
480,000
$
17,853,299 Transfer of cap due to servicing transfer
09/27/2012
$
(600)
$
17,852,699 Updated due to quarterly assessment and reallocation
11/15/2012
$
70,000
$
17,922,699 Transfer of cap due to servicing transfer
12/27/2012
$
(102)
$
17,922,597 Updated due to quarterly assessment and reallocation
03/14/2013
$
90,000
$
18,012,597 Transfer of cap due to servicing transfer
03/25/2013
$
(384)
$
18,012,213 Updated due to quarterly assessment and reallocation
05/16/2013
$
(30,000)
$
17,982,213 Transfer of cap due to servicing transfer
06/27/2013
$
(146)
$
17,982,067 Updated due to quarterly assessment and reallocation
07/16/2013
$
170,000
$
18,152,067 Transfer of cap due to servicing transfer
09/27/2013
$
(52)
$
18,152,015 Updated due to quarterly assessment and reallocation
12/23/2013
$
(88,613)
$
18,063,402 Updated due to quarterly assessment and reallocation
03/14/2014
$
10,000
$
18,073,402 Transfer of cap due to servicing transfer
03/26/2014
$
(3,125)
$
18,070,277 Updated due to quarterly assessment and reallocation
04/16/2014
$
30,000
$
18,100,277 Transfer of cap due to servicing transfer
06/26/2014
$
(36,971)
$
18,063,306 Updated due to quarterly assessment and reallocation
07/16/2014
$
23,490,000
$
41,553,306 Transfer of cap due to servicing transfer
07/29/2014
$
(142,594)
$
41,410,712 Updated due to quarterly assessment and reallocation
08/14/2014
$
2,480,000
$
43,890,712 Transfer of cap due to servicing transfer
09/16/2014
$
11,650,000
$
55,540,712 Transfer of cap due to servicing transfer
09/29/2014
$
(52,910)
$
55,487,802 Updated due to quarterly assessment and reallocation
12/16/2014
$
30,000
$
55,517,802 Transfer of cap due to servicing transfer
12/29/2014
$
(4,478,535)
$
51,039,267 Updated due to quarterly assessment and reallocation
01/15/2015
$
10,000
$
51,049,267 Transfer of cap due to servicing transfer
03/16/2015
$
20,000
$
51,069,267 Transfer of cap due to servicing transfer
03/26/2015
$
(1,844,353)
$
49,224,914 Updated due to quarterly assessment and reallocation
04/16/2015
$
2,860,000
$
52,084,914 Transfer of cap due to servicing transfer
04/28/2015
$
(8,202,554)
$
43,882,360 Updated due to quarterly assessment and reallocation
06/16/2015
$
30,000
$
43,912,360 Transfer of cap due to servicing transfer
06/25/2015
$
(1,996,581)
$
41,915,779 Updated due to quarterly assessment and reallocation
08/14/2015
$
7,610,000
$
49,525,779 Transfer of cap due to servicing transfer
09/16/2015
$
370,000
$
49,895,779 Transfer of cap due to servicing transfer
09/28/2015
$
(4,239,474)
$
45,656,305 Updated due to quarterly assessment and reallocation
10/15/2015
$
3,760,000
$
49,416,305 Transfer of cap due to servicing transfer
11/16/2015
$
1,150,000
$
50,566,305 Transfer of cap due to servicing transfer
12/16/2015
$
90,000
$
50,656,305 Transfer of cap due to servicing transfer
12/28/2015
$
(3,752,790)
$
46,903,515 Updated due to quarterly assessment and reallocation
01/14/2016
$
(10,000)
$
46,893,515 Transfer of cap due to servicing transfer
02/16/2016
$
1,250,000
$
48,143,515 Transfer of cap due to servicing transfer
02/25/2016
$
(11,934,020)
$
36,209,495 Reallocation due to MHA program deobligation
03/16/2016
$
(220,000)
$
35,989,495 Transfer of cap due to servicing transfer
03/28/2016
$
(226,478)
$
35,763,017 Updated due to quarterly assessment and reallocation
04/14/2016
$
(740,000)
$
35,023,017 Transfer of cap due to servicing transfer
05/16/2016
$
(220,000)
$
34,803,017 Transfer of cap due to servicing transfer
05/31/2016
$
(1,623,427)
$
33,179,590 Updated due to quarterly assessment and reallocation
06/16/2016
$
(80,000)
$
33,099,590 Transfer of cap due to servicing transfer
06/27/2016
$
(1,004,539)
$
32,095,051 Updated due to quarterly assessment and reallocation
07/14/2016
$
1,200,000
$
33,295,051 Transfer of cap due to servicing transfer
07/27/2016
$
(1,270,059)
$
32,024,992 Updated due to quarterly assessment and reallocation
08/16/2016
$
(30,000)
$
31,994,992 Transfer of cap due to servicing transfer
09/15/2016
$
290,000
$
32,284,992 Transfer of cap due to servicing transfer
09/28/2016
$
(2,103,641)
$
30,181,351 Updated due to quarterly assessment and reallocation
10/14/2016
$
230,000
$
30,411,351 Transfer of cap due to servicing transfer
3,680,000 Transfer of cap due to servicing transfer
6,980,000 Transfer of cap due to servicing transfer
136
Servicer Modifying Borrowers' Loans
Date
09/23/2009
Name of Institution
Seneca Mortgage Servicing LLC (AMS
Buffalo
Servicing, LLC)
City
Adjustment Details
State
NY
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
4,390,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
10/25/2016
$
(2,233,487)
$
28,177,864 Updated due to quarterly assessment and reallocation
11/07/2016
$
861,088
$
29,038,952 Updated due to quarterly assessment and reallocation
11/16/2016
$
(1,100,000)
$
27,938,952 Transfer of cap due to servicing transfer
11/29/2016
$
(20,426)
$
27,918,526 Updated due to quarterly assessment and reallocation
12/15/2016
$
(120,000)
$
27,798,526 Transfer of cap due to servicing transfer
12/27/2016
$
(3,126)
$
27,795,400 Transfer of cap due to servicing transfer
01/13/2017
$
(360,000)
$
27,435,400 Transfer of cap due to servicing transfer
02/16/2017
$
1,090,000
$
28,525,400 Transfer of cap due to servicing transfer
02/27/2017
$
(66,009)
$
28,459,391 Transfer of cap due to servicing transfer
03/16/2017
$
(170,000)
$
28,289,391 Transfer of cap due to servicing transfer
04/26/2017
$
(2,159)
$
28,287,232 Transfer of cap due to servicing transfer
06/26/2017
$
(17,456)
$
28,269,776 Transfer of cap due to servicing transfer
07/26/2017
$
(582)
$
28,269,194 Transfer of cap due to servicing transfer
09/26/2017
$
(95,740)
$
28,173,454 Transfer of cap due to servicing transfer
10/26/2017
$
248,595
$
28,422,049 Transfer of cap due to servicing transfer
12/21/2017
$
(65,228)
$
28,356,821 Transfer of cap due to servicing transfer
02/26/2018
$
(4,334)
$
28,352,487 Transfer of cap due to servicing transfer
03/22/2018
$
(8,802)
$
28,343,685 Transfer of cap due to servicing transfer
04/25/2018
$
(23,971)
$
28,319,714 Transfer of cap due to servicing transfer
06/21/2018
$
(7,393)
$
28,312,321 Transfer of cap due to servicing transfer
07/26/2018
$
(4,432,176)
$
23,880,145 Reallocation due to MHA program deobligation
10/02/2009
$
960,000
$
5,350,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(3,090,000)
$
2,260,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
230,000
$
2,490,000 Updated portfolio data from servicer
07/14/2010
$
5,310,000
$
7,800,000 Updated portfolio data from servicer
09/30/2010
$
323,114
$
8,123,114 Updated portfolio data from servicer
01/06/2011
$
(12)
$
8,123,102 Updated due to quarterly assessment and reallocation
03/16/2011
$
600,000
$
8,723,102 Transfer of cap due to servicing transfer
03/30/2011
$
(16)
$
8,723,086 Updated due to quarterly assessment and reallocation
04/13/2011
$
200,000
$
8,923,086 Transfer of cap due to servicing transfer
05/13/2011
$
100,000
$
9,023,086 Transfer of cap due to servicing transfer
06/29/2011
$
(153)
$
9,022,933 Updated due to quarterly assessment and reallocation
09/15/2011
$
100,000
$
11/16/2011
$
100,000
$
9,222,933 Transfer of cap due to servicing transfer
04/16/2012
$
1,100,000
$
10,322,933 Transfer of cap due to servicing transfer
06/14/2012
$
650,000
$
10,972,933 Transfer of cap due to servicing transfer
06/28/2012
$
(136)
$
10,972,797 Updated due to quarterly assessment and reallocation
09/27/2012
$
(347)
$
10,972,450 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 Transfer of cap due to servicing transfer
12/27/2012
$
(59)
$
11,242,391 Updated due to quarterly assessment and reallocation
01/16/2013
$
20,000
$
11,262,391 Transfer of cap due to servicing transfer
02/14/2013
$
290,000
$
11,552,391 Transfer of cap due to servicing transfer
03/14/2013
$
10,000
$
11,562,391 Transfer of cap due to servicing transfer
03/25/2013
$
(220)
$
11,562,171 Updated due to quarterly assessment and reallocation
04/16/2013
$
(60,000)
$
11,502,171 Transfer of cap due to servicing transfer
05/16/2013
$
50,000
$
11,552,171 Transfer of cap due to servicing transfer
06/14/2013
$
10,000
$
11,562,171 Transfer of cap due to servicing transfer
06/27/2013
$
(79)
$
11,562,092 Updated due to quarterly assessment and reallocation
07/16/2013
$
(90,000)
$
11,472,092 Transfer of cap due to servicing transfer
09/16/2013
$
310,000
$
11,782,092 Transfer of cap due to servicing transfer
09/27/2013
$
(28)
$
11,782,064 Updated due to quarterly assessment and reallocation
10/15/2013
$
230,000
$
12,012,064 Transfer of cap due to servicing transfer
11/14/2013
$
120,000
$
12,132,064 Transfer of cap due to servicing transfer
12/16/2013
$
460,000
$
12,592,064 Transfer of cap due to servicing transfer
12/23/2013
$
(49,413)
$
12,542,651 Updated due to quarterly assessment and reallocation
01/16/2014
$
40,000
$
12,582,651 Transfer of cap due to servicing transfer
03/14/2014
$
(260,000)
$
12,322,651 Transfer of cap due to servicing transfer
03/26/2014
$
(1,697)
$
12,320,954 Updated due to quarterly assessment and reallocation
04/16/2014
$
100,000
$
12,420,954 Transfer of cap due to servicing transfer
06/16/2014
$
30,000
$
12,450,954 Transfer of cap due to servicing transfer
06/26/2014
$
(20,009)
$
12,430,945 Updated due to quarterly assessment and reallocation
07/29/2014
$
(39,741)
$
12,391,204 Updated due to quarterly assessment and reallocation
08/14/2014
$
(40,000)
$
12,351,204 Transfer of cap due to servicing transfer
09/16/2014
$
70,000
$
12,421,204 Transfer of cap due to servicing transfer
09/29/2014
$
(13,236)
$
12,407,968 Updated due to quarterly assessment and reallocation
12/16/2014
$
(10,000)
$
12,397,968 Transfer of cap due to servicing transfer
12/29/2014
$
(1,446,220)
$
10,951,748 Updated due to quarterly assessment and reallocation
01/15/2015
$
(280,000)
$
10,671,748 Transfer of cap due to servicing transfer
02/13/2015
$
(70,000)
$
10,601,748 Transfer of cap due to servicing transfer
03/16/2015
$
(1,970,000)
$
8,631,748 Transfer of cap due to servicing transfer
9,122,933 Transfer of cap due to servicing transfer
137
Servicer Modifying Borrowers' Loans
Date
08/12/2009
Name of Institution
Servis One, Inc. dba BSI Financial
Services
City
Titusville
Adjustment Details
State
PA
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
29,730,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
03/26/2015
$
(563,340)
$
8,068,408 Updated due to quarterly assessment and reallocation
04/16/2015
$
(20,000)
$
8,048,408 Transfer of cap due to servicing transfer
04/28/2015
$
(1,823,241)
$
6,225,167 Updated due to quarterly assessment and reallocation
05/14/2015
$
160,000
$
6,385,167 Transfer of cap due to servicing transfer
06/16/2015
$
(60,000)
$
6,325,167 Transfer of cap due to servicing transfer
06/25/2015
$
(427,170)
$
5,897,997 Updated due to quarterly assessment and reallocation
07/16/2015
$
330,000
$
6,227,997 Transfer of cap due to servicing transfer
08/14/2015
$
80,000
$
6,307,997 Transfer of cap due to servicing transfer
09/16/2015
$
140,000
$
6,447,997 Transfer of cap due to servicing transfer
09/28/2015
$
(561,929)
$
5,886,068 Updated due to quarterly assessment and reallocation
10/15/2015
$
40,000
$
5,926,068 Transfer of cap due to servicing transfer
11/16/2015
$
580,000
$
6,506,068 Transfer of cap due to servicing transfer
12/16/2015
$
230,000
$
6,736,068 Transfer of cap due to servicing transfer
12/28/2015
$
(486,283)
$
6,249,785 Updated due to quarterly assessment and reallocation
01/14/2016
$
1,080,000
$
7,329,785 Transfer of cap due to servicing transfer
02/16/2016
$
500,000
$
7,829,785 Transfer of cap due to servicing transfer
02/25/2016
$
(2,321,321)
$
5,508,464 Reallocation due to MHA program deobligation
03/16/2016
$
330,000
$
5,838,464 Transfer of cap due to servicing transfer
03/28/2016
$
(54,203)
$
5,784,261 Updated due to quarterly assessment and reallocation
04/14/2016
$
840,000
$
6,624,261 Transfer of cap due to servicing transfer
05/16/2016
$
1,780,000
$
8,404,261 Transfer of cap due to servicing transfer
05/31/2016
$
(767,027)
$
7,637,234 Updated due to quarterly assessment and reallocation
06/16/2016
$
640,000
$
8,277,234 Transfer of cap due to servicing transfer
06/27/2016
$
(516,588)
$
7,760,646 Updated due to quarterly assessment and reallocation
07/14/2016
$
(130,000)
$
7,630,646 Transfer of cap due to servicing transfer
07/27/2016
$
(519,860)
$
7,110,786 Updated due to quarterly assessment and reallocation
08/16/2016
$
(50,000)
$
7,060,786 Transfer of cap due to servicing transfer
09/15/2016
$
640,000
$
7,700,786 Transfer of cap due to servicing transfer
09/28/2016
$
(841,593)
$
6,859,193 Updated due to quarterly assessment and reallocation
10/25/2016
$
(1,120,754)
$
5,738,439 Updated due to quarterly assessment and reallocation
11/07/2016
$
432,090
$
6,170,529 Updated due to quarterly assessment and reallocation
11/16/2016
$
(1,110,000)
$
5,060,529 Transfer of cap due to servicing transfer
11/29/2016
$
(7,581)
$
5,052,948 Updated due to quarterly assessment and reallocation
12/15/2016
$
(1,400,000)
$
3,652,948 Transfer of cap due to servicing transfer
12/27/2016
$
(908)
$
3,652,040 Transfer of cap due to servicing transfer
02/16/2017
$
(650,000)
$
3,002,040 Transfer of cap due to servicing transfer
02/27/2017
$
(14,330)
$
2,987,710 Transfer of cap due to servicing transfer
04/26/2017
$
(1,003)
$
2,986,707 Transfer of cap due to servicing transfer
06/26/2017
$
(7,718)
$
2,978,989 Transfer of cap due to servicing transfer
07/26/2017
$
(249)
$
2,978,740 Transfer of cap due to servicing transfer
09/26/2017
$
(552,349)
$
2,426,391 Transfer of cap due to servicing transfer
10/26/2017
$
(69,247)
$
2,357,144 Transfer of cap due to servicing transfer
12/21/2017
$
(72,138)
$
2,285,006 Transfer of cap due to servicing transfer
02/26/2018
$
(3,502)
$
2,281,504 Transfer of cap due to servicing transfer
03/22/2018
$
(11,418)
$
2,270,086 Transfer of cap due to servicing transfer
04/25/2018
$
(22,574)
$
2,247,512 Transfer of cap due to servicing transfer
06/21/2018
$
(4,233)
$
2,243,279 Transfer of cap due to servicing transfer
07/26/2018
$
(688,167)
$
1,555,112 Reallocation due to MHA program deobligation
09/30/2009
$
(25,510,000)
$
4,220,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
520,000
$
4,740,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
4,330,000
$
04/19/2010
$
230,000
$
05/19/2010
$
850,000
$
07/14/2010
$
(850,000)
$
09/15/2010
$
100,000
$
09/30/2010
$
100,000
$
09/30/2010
$
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 Transfer of cap due to servicing transfer
01/06/2011
$
(40)
$
26,455,024 Updated due to quarterly assessment and reallocation
01/13/2011
$
300,000
$
26,755,024 Transfer of cap due to servicing transfer
02/16/2011
$
100,000
$
26,855,024 Transfer of cap due to servicing transfer
03/16/2011
$
2,200,000
$
29,055,024 Transfer of cap due to servicing transfer
03/30/2011
$
(52)
$
29,054,972 Updated due to quarterly assessment and reallocation
04/13/2011
$
1,500,000
$
30,554,972 Transfer of cap due to servicing transfer
05/13/2011
$
1,000,000
$
31,554,972 Transfer of cap due to servicing transfer
06/16/2011
$
100,000
$
31,654,972 Transfer of cap due to servicing transfer
06/29/2011
$
(534)
$
31,654,438 Updated due to quarterly assessment and reallocation
08/16/2011
$
700,000
$
32,354,438 Transfer of cap due to servicing transfer
09/15/2011
$
(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
9,070,000 Updated portfolio data from servicer
9,300,000 Transfer of cap due to servicing transfer
10,150,000 Updated portfolio data from servicer/additional program initial cap
9,300,000 Updated portfolio data from servicer
9,400,000 Transfer of cap due to servicing transfer
9,500,000 Updated portfolio data from servicer/additional program initial cap
138
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
12/15/2011
$
200,000
$
36,554,438 Transfer of cap due to servicing transfer
01/13/2012
$
100,000
$
36,654,438 Transfer of cap due to servicing transfer
02/16/2012
$
1,300,000
$
37,954,438 Transfer of cap due to servicing transfer
03/15/2012
$
1,100,000
$
39,054,438 Transfer of cap due to servicing transfer
04/16/2012
$
800,000
$
39,854,438 Transfer of cap due to servicing transfer
05/16/2012
$
(1,080,000)
$
38,774,438 Transfer of cap due to servicing transfer
06/14/2012
$
1,560,000
$
40,334,438 Transfer of cap due to servicing transfer
06/28/2012
$
(465)
$
40,333,973 Updated due to quarterly assessment and reallocation
08/16/2012
$
70,000
$
40,403,973 Transfer of cap due to servicing transfer
09/27/2012
$
(1,272)
$
40,402,701 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 Transfer of cap due to servicing transfer
12/27/2012
$
(239)
$
45,002,462 Updated due to quarterly assessment and reallocation
01/16/2013
$
210,000
$
45,212,462 Transfer of cap due to servicing transfer
02/14/2013
$
1,790,000
$
47,002,462 Transfer of cap due to servicing transfer
03/14/2013
$
1,920,000
$
48,922,462 Transfer of cap due to servicing transfer
03/25/2013
$
(960)
$
48,921,502 Updated due to quarterly assessment and reallocation
04/16/2013
$
410,000
$
49,331,502 Transfer of cap due to servicing transfer
05/16/2013
$
(60,000)
$
49,271,502 Transfer of cap due to servicing transfer
06/14/2013
$
1,620,000
$
50,891,502 Transfer of cap due to servicing transfer
06/27/2013
$
(359)
$
50,891,143 Updated due to quarterly assessment and reallocation
07/16/2013
$
2,030,000
$
52,921,143 Transfer of cap due to servicing transfer
08/15/2013
$
10,000
$
52,931,143 Transfer of cap due to servicing transfer
09/16/2013
$
2,600,000
$
55,531,143 Transfer of cap due to servicing transfer
09/27/2013
$
(135)
$
55,531,008 Updated due to quarterly assessment and reallocation
10/15/2013
$
270,000
$
55,801,008 Transfer of cap due to servicing transfer
11/14/2013
$
30,000
$
55,831,008 Transfer of cap due to servicing transfer
12/16/2013
$
9,960,000
$
65,791,008 Transfer of cap due to servicing transfer
12/23/2013
$
(239,727)
$
65,551,281 Updated due to quarterly assessment and reallocation
01/16/2014
$
2,090,000
$
67,641,281 Transfer of cap due to servicing transfer
02/13/2014
$
2,450,000
$
70,091,281 Transfer of cap due to servicing transfer
03/14/2014
$
(130,000)
$
69,961,281 Transfer of cap due to servicing transfer
03/26/2014
$
(8,837)
$
69,952,444 Updated due to quarterly assessment and reallocation
04/16/2014
$
60,000
$
70,012,444 Transfer of cap due to servicing transfer
05/15/2014
$
(460,000)
$
69,552,444 Transfer of cap due to servicing transfer
06/16/2014
$
920,000
$
70,472,444 Transfer of cap due to servicing transfer
06/26/2014
$
(103,723)
$
70,368,721 Updated due to quarterly assessment and reallocation
07/29/2014
$
(205,396)
$
70,163,325 Updated due to quarterly assessment and reallocation
08/14/2014
$
4,050,000
$
74,213,325 Transfer of cap due to servicing transfer
09/16/2014
$
420,000
$
74,633,325 Transfer of cap due to servicing transfer
09/29/2014
$
(73,587)
$
74,559,738 Updated due to quarterly assessment and reallocation
10/16/2014
$
7,390,000
$
81,949,738 Transfer of cap due to servicing transfer
11/14/2014
$
(390,000)
$
81,559,738 Transfer of cap due to servicing transfer
12/16/2014
$
4,990,000
$
86,549,738 Transfer of cap due to servicing transfer
12/29/2014
$
(8,713,039)
$
77,836,699 Updated due to quarterly assessment and reallocation
01/15/2015
$
(50,000)
$
02/13/2015
$
11,850,000
$
89,636,699 Transfer of cap due to servicing transfer
03/16/2015
$
11,660,000
$
101,296,699 Transfer of cap due to servicing transfer
03/26/2015
$
(4,671,888)
$
96,624,811 Updated due to quarterly assessment and reallocation
04/16/2015
$
590,000
$
97,214,811 Transfer of cap due to servicing transfer
04/28/2015
$
(18,231,781)
$
78,983,030 Updated due to quarterly assessment and reallocation
05/14/2015
$
2,100,000
$
81,083,030 Transfer of cap due to servicing transfer
06/16/2015
$
2,820,000
$
83,903,030 Transfer of cap due to servicing transfer
06/25/2015
$
(4,782,922)
$
79,120,108 Updated due to quarterly assessment and reallocation
07/16/2015
$
60,000
$
79,180,108 Transfer of cap due to servicing transfer
08/14/2015
$
2,240,000
$
81,420,108 Transfer of cap due to servicing transfer
09/16/2015
$
(430,000)
$
80,990,108 Transfer of cap due to servicing transfer
09/28/2015
$
(6,107,608)
$
74,882,500 Updated due to quarterly assessment and reallocation
10/15/2015
$
1,040,000
$
75,922,500 Transfer of cap due to servicing transfer
11/16/2015
$
3,700,000
$
79,622,500 Transfer of cap due to servicing transfer
12/16/2015
$
500,000
$
80,122,500 Transfer of cap due to servicing transfer
12/28/2015
$
(4,760,843)
$
75,361,657 Updated due to quarterly assessment and reallocation
01/14/2016
$
100,000
$
75,461,657 Transfer of cap due to servicing transfer
02/16/2016
$
570,000
$
76,031,657 Transfer of cap due to servicing transfer
02/25/2016
$
(14,691,799)
$
61,339,858 Reallocation due to MHA program deobligation
03/16/2016
$
6,270,000
$
67,609,858 Transfer of cap due to servicing transfer
03/28/2016
$
(334,912)
$
67,274,946 Updated due to quarterly assessment and reallocation
04/14/2016
$
5,270,000
$
72,544,946 Transfer of cap due to servicing transfer
05/16/2016
$
(500,000)
$
72,044,946 Transfer of cap due to servicing transfer
05/31/2016
$
(3,185,286)
$
68,859,660 Updated due to quarterly assessment and reallocation
06/16/2016
$
660,000
$
69,519,660 Transfer of cap due to servicing transfer
06/27/2016
$
(2,064,146)
$
67,455,514 Updated due to quarterly assessment and reallocation
77,786,699 Transfer of cap due to servicing transfer
139
Servicer Modifying Borrowers' Loans
Date
07/17/2009
Name of Institution
ShoreBank
City
Chicago
Adjustment Details
State
IL
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
Note
10/15/2013
Silver State Schools Credit Union
SN Servicing Corporation
Las Vegas
Baton Rouge
NV
LA
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
Adjusted CAP
Reason for Adjustment
$
5,170,000
$
72,625,514 Transfer of cap due to servicing transfer
07/27/2016
$
(2,535,644)
$
70,089,870 Updated due to quarterly assessment and reallocation
08/16/2016
$
5,570,000
$
75,659,870 Transfer of cap due to servicing transfer
09/15/2016
$
3,400,000
$
79,059,870 Transfer of cap due to servicing transfer
09/28/2016
$
(7,231,925)
$
71,827,945 Updated due to quarterly assessment and reallocation
10/14/2016
$
1,060,000
$
72,887,945 Transfer of cap due to servicing transfer
10/25/2016
$
(6,774,793)
$
66,113,152 Updated due to quarterly assessment and reallocation
11/07/2016
$
2,611,921
$
68,725,073 Updated due to quarterly assessment and reallocation
11/16/2016
$
980,000
$
69,705,073 Transfer of cap due to servicing transfer
11/29/2016
$
(73,555)
$
69,631,518 Updated due to quarterly assessment and reallocation
12/15/2016
$
(420,000)
$
69,211,518 Transfer of cap due to servicing transfer
12/27/2016
$
(10,555)
$
69,200,963 Transfer of cap due to servicing transfer
01/13/2017
$
410,000
$
69,610,963 Transfer of cap due to servicing transfer
02/16/2017
$
170,000
$
69,780,963 Transfer of cap due to servicing transfer
02/27/2017
$
(148,531)
$
69,632,432 Transfer of cap due to servicing transfer
03/16/2017
$
3,060,000
$
72,692,432 Transfer of cap due to servicing transfer
04/26/2017
$
(11,474)
$
72,680,958 Transfer of cap due to servicing transfer
06/26/2017
$
(140,759)
$
72,540,199 Transfer of cap due to servicing transfer
07/26/2017
$
(4,697)
$
72,535,502 Transfer of cap due to servicing transfer
09/26/2017
$
(4,797,940)
$
67,737,562 Transfer of cap due to servicing transfer
10/26/2017
$
(632,800)
$
67,104,762 Transfer of cap due to servicing transfer
12/21/2017
$
(649,369)
$
66,455,393 Transfer of cap due to servicing transfer
02/26/2018
$
(37,728)
$
66,417,665 Transfer of cap due to servicing transfer
03/22/2018
$
(127,313)
$
66,290,352 Transfer of cap due to servicing transfer
04/25/2018
$
(306,501)
$
65,983,851 Transfer of cap due to servicing transfer
06/21/2018
$
(84,201)
$
65,899,650 Transfer of cap due to servicing transfer
07/26/2018
$
(17,908,463)
$
47,991,187 Reallocation due to MHA program deobligation
09/30/2009
$
890,000
$
2,300,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
1,260,000
$
3,560,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(20,000)
$
3,540,000 Updated portfolio data from servicer
07/14/2010
$
(240,000)
$
3,300,000 Updated portfolio data from servicer
09/30/2010
$
471,446
$
3,771,446 Updated portfolio data from servicer
01/06/2011
$
(3)
$
3,771,443 Updated due to quarterly assessment and reallocation
03/30/2011
$
(4)
$
3,771,439 Updated due to quarterly assessment and reallocation
04/13/2011
$
(1,100,000)
$
2,671,439 Transfer of cap due to servicing transfer
06/29/2011
$
(38)
$
2,671,401 Updated due to quarterly assessment and reallocation
06/28/2012
$
(29)
$
2,671,372 Updated due to quarterly assessment and reallocation
09/27/2012
$
(79)
$
2,671,293 Updated due to quarterly assessment and reallocation
12/27/2012
$
(13)
$
2,671,280 Updated due to quarterly assessment and reallocation
03/25/2013
$
(50)
$
04/09/2013
$
(2,324,244)
$
01/22/2010
$
90,000
$
1,970,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
1,110,000
$
3,080,000 Updated portfolio data from servicer
07/14/2010
$
(1,180,000)
$
1,900,000 Updated portfolio data from servicer
09/30/2010
$
275,834
$
2,175,834 Updated portfolio data from servicer
01/06/2011
$
(2)
$
2,175,832 Updated due to quarterly assessment and reallocation
03/30/2011
$
(3)
$
2,175,829 Updated due to quarterly assessment and reallocation
06/29/2011
$
(26)
$
2,175,803 Updated due to quarterly assessment and reallocation
06/28/2012
$
(21)
$
2,175,782 Updated due to quarterly assessment and reallocation
09/27/2012
$
(57)
$
2,175,725 Updated due to quarterly assessment and reallocation
12/27/2012
$
(10)
$
2,175,715 Updated due to quarterly assessment and reallocation
03/25/2013
$
(37)
$
2,175,678 Updated due to quarterly assessment and reallocation
06/27/2013
$
(15)
$
2,175,663 Updated due to quarterly assessment and reallocation
6
07/09/2013
$
(1,889,819)
$
3
10/15/2013
$
60,000
$
12/16/2013
$
10,000
$
70,000 Transfer of cap due to servicing transfer
07/16/2014
$
170,000
$
240,000 Transfer of cap due to servicing transfer
07/29/2014
$
(544)
$
239,456 Updated due to quarterly assessment and reallocation
09/29/2014
$
(180)
$
239,276 Updated due to quarterly assessment and reallocation
10/16/2014
$
160,000
$
399,276 Transfer of cap due to servicing transfer
11/14/2014
$
20,000
$
419,276 Transfer of cap due to servicing transfer
12/16/2014
$
60,000
$
479,276 Transfer of cap due to servicing transfer
12/29/2014
$
(13,406)
$
465,870 Updated due to quarterly assessment and reallocation
01/15/2015
$
90,000
$
555,870 Transfer of cap due to servicing transfer
03/26/2015
$
(18,475)
$
537,395 Updated due to quarterly assessment and reallocation
04/28/2015
$
(72,818)
$
05/14/2015
$
1,310,000
$
1,774,577 Transfer of cap due to servicing transfer
06/16/2015
$
80,000
$
1,854,577 Transfer of cap due to servicing transfer
06/25/2015
$
(158,664)
$
1,695,913 Updated due to quarterly assessment and reallocation
07/16/2015
$
20,000
$
1,715,913 Transfer of cap due to servicing transfer
08/14/2015
$
20,000
$
1,735,913 Transfer of cap due to servicing transfer
09/16/2015
$
160,000
$
1,895,913 Transfer of cap due to servicing transfer
09/28/2015
$
(260,437)
$
1,635,476 Updated due to quarterly assessment and reallocation
1,410,000 N/A
1,880,000 N/A
- N/A
CAP Adjustment Amount
07/14/2016
6
12/09/2009
Adjustment
Date
2,671,230 Updated due to quarterly assessment and reallocation
346,986 Termination of SPA
285,844 Termination of SPA
60,000 Transfer of cap due to servicing transfer
464,577 Updated due to quarterly assessment and reallocation
140
Servicer Modifying Borrowers' Loans
Date
09/02/2009
Name of Institution
Sortis Financial, Inc. (ClearSpring
Loan Services, Inc. fka Vantium
Capital, Inc.)
City
Plano
Adjustment Details
State
TX
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
6,000,000 N/A
Note
4
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
10/15/2015
$
2,820,000
$
4,455,476 Transfer of cap due to servicing transfer
11/16/2015
$
990,000
$
5,445,476 Transfer of cap due to servicing transfer
12/28/2015
$
(716,235)
$
4,729,241 Updated due to quarterly assessment and reallocation
01/14/2016
$
330,000
$
5,059,241 Transfer of cap due to servicing transfer
02/16/2016
$
(80,000)
$
4,979,241 Transfer of cap due to servicing transfer
02/25/2016
$
(2,295,159)
$
2,684,082 Reallocation due to MHA program deobligation
03/16/2016
$
1,170,000
$
3,854,082 Transfer of cap due to servicing transfer
03/28/2016
$
(76,689)
$
3,777,393 Updated due to quarterly assessment and reallocation
04/14/2016
$
840,000
$
4,617,393 Transfer of cap due to servicing transfer
05/16/2016
$
390,000
$
5,007,393 Transfer of cap due to servicing transfer
05/31/2016
$
(826,282)
$
4,181,111 Updated due to quarterly assessment and reallocation
06/27/2016
$
(499,359)
$
3,681,752 Updated due to quarterly assessment and reallocation
07/14/2016
$
110,000
$
3,791,752 Transfer of cap due to servicing transfer
07/27/2016
$
(515,833)
$
3,275,919 Updated due to quarterly assessment and reallocation
08/16/2016
$
30,000
$
3,305,919 Transfer of cap due to servicing transfer
09/15/2016
$
690,000
$
3,995,919 Transfer of cap due to servicing transfer
09/28/2016
$
(1,167,343)
$
2,828,576 Updated due to quarterly assessment and reallocation
10/14/2016
$
1,510,000
$
4,338,576 Transfer of cap due to servicing transfer
10/25/2016
$
(2,130,485)
$
2,208,091 Updated due to quarterly assessment and reallocation
11/07/2016
$
821,377
$
3,029,468 Updated due to quarterly assessment and reallocation
11/16/2016
$
140,000
$
3,169,468 Transfer of cap due to servicing transfer
11/29/2016
$
(15,727)
$
3,153,741 Updated due to quarterly assessment and reallocation
12/15/2016
$
60,000
$
3,213,741 Transfer of cap due to servicing transfer
12/27/2016
$
(2,492)
$
3,211,249 Transfer of cap due to servicing transfer
01/13/2017
$
340,000
$
3,551,249 Transfer of cap due to servicing transfer
02/16/2017
$
70,000
$
3,621,249 Transfer of cap due to servicing transfer
02/27/2017
$
(50,982)
$
3,570,267 Transfer of cap due to servicing transfer
03/16/2017
$
20,000
$
3,590,267 Transfer of cap due to servicing transfer
04/26/2017
$
(3,295)
$
3,586,972 Transfer of cap due to servicing transfer
06/26/2017
$
(20,845)
$
3,566,127 Transfer of cap due to servicing transfer
07/26/2017
$
(630)
$
3,565,497 Transfer of cap due to servicing transfer
09/26/2017
$
(763,009)
$
2,802,488 Transfer of cap due to servicing transfer
10/26/2017
$
(92,103)
$
2,710,385 Transfer of cap due to servicing transfer
12/21/2017
$
(92,832)
$
2,617,553 Transfer of cap due to servicing transfer
02/26/2018
$
(4,542)
$
2,613,011 Transfer of cap due to servicing transfer
03/22/2018
$
(11,003)
$
2,602,008 Transfer of cap due to servicing transfer
04/25/2018
$
(11,167)
$
2,590,841 Transfer of cap due to servicing transfer
06/21/2018
$
316,421
$
2,907,262 Transfer of cap due to servicing transfer
07/26/2018
$
160,128
$
3,067,390 Reallocation due to MHA program deobligation
10/02/2009
$
1,310,000
$
7,310,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(3,390,000)
$
3,920,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
410,000
$
4,330,000 Updated portfolio data from servicer
07/14/2010
$
(730,000)
$
3,600,000 Updated portfolio data from servicer
09/15/2010
$
4,700,000
$
8,300,000 Transfer of cap due to servicing transfer
09/30/2010
$
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 Transfer of cap due to servicing transfer
01/06/2011
$
(17)
$
11,917,747 Updated due to quarterly assessment and reallocation
01/13/2011
$
700,000
$
12,617,747 Transfer of cap due to servicing transfer
02/16/2011
$
1,800,000
$
14,417,747 Transfer of cap due to servicing transfer
03/30/2011
$
(19)
$
14,417,728 Updated due to quarterly assessment and reallocation
04/13/2011
$
300,000
$
14,717,728 Transfer of cap due to servicing transfer
06/29/2011
$
(189)
$
14,717,539 Updated due to quarterly assessment and reallocation
08/16/2011
$
300,000
$
15,017,539 Transfer of cap due to servicing transfer
09/15/2011
$
100,000
$
15,117,539 Transfer of cap due to servicing transfer
10/14/2011
$
100,000
$
15,217,539 Transfer of cap due to servicing transfer
06/28/2012
$
(147)
$
15,217,392 Updated due to quarterly assessment and reallocation
07/16/2012
$
(10,000)
$
15,207,392 Transfer of cap due to servicing transfer
09/27/2012
$
(413)
$
15,206,979 Updated due to quarterly assessment and reallocation
11/15/2012
$
(40,000)
$
15,166,979 Transfer of cap due to servicing transfer
12/27/2012
$
(71)
$
15,166,908 Updated due to quarterly assessment and reallocation
02/14/2013
$
(770,000)
$
14,396,908 Transfer of cap due to servicing transfer
03/14/2013
$
(20,000)
$
14,376,908 Transfer of cap due to servicing transfer
03/25/2013
$
(256)
$
14,376,652 Updated due to quarterly assessment and reallocation
04/16/2013
$
(620,000)
$
13,756,652 Transfer of cap due to servicing transfer
05/16/2013
$
40,000
$
13,796,652 Transfer of cap due to servicing transfer
06/14/2013
$
10,000
$
13,806,652 Transfer of cap due to servicing transfer
06/27/2013
$
(95)
$
13,806,557 Updated due to quarterly assessment and reallocation
07/16/2013
$
(290,000)
$
13,516,557 Transfer of cap due to servicing transfer
09/27/2013
$
(34)
$
13,516,523 Updated due to quarterly assessment and reallocation
12/16/2013
$
40,000
$
13,556,523 Transfer of cap due to servicing transfer
141
Servicer Modifying Borrowers' Loans
Date
12/16/2009
01/13/2010
Name of Institution
Sound Community Bank
Specialized Loan Servicing LLC
City
Seattle
Highlands Ranch
Adjustment Details
State
WA
CO
Transaction
Type
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
$
Pricing
Mechanism
440,000 N/A
64,150,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
12/23/2013
$
(57,271)
$
13,499,252 Updated due to quarterly assessment and reallocation
02/13/2014
$
(90,000)
$
13,409,252 Transfer of cap due to servicing transfer
03/14/2014
$
(40,000)
$
13,369,252 Transfer of cap due to servicing transfer
03/26/2014
$
(1,989)
$
13,367,263 Updated due to quarterly assessment and reallocation
04/16/2014
$
80,000
$
13,447,263 Transfer of cap due to servicing transfer
05/15/2014
$
(230,000)
$
13,217,263 Transfer of cap due to servicing transfer
06/16/2014
$
100,000
$
13,317,263 Transfer of cap due to servicing transfer
06/26/2014
$
(23,438)
$
13,293,825 Updated due to quarterly assessment and reallocation
07/16/2014
$
1,210,000
$
14,503,825 Transfer of cap due to servicing transfer
07/29/2014
$
(51,728)
$
14,452,097 Updated due to quarterly assessment and reallocation
09/29/2014
$
(17,168)
$
14,434,929 Updated due to quarterly assessment and reallocation
10/16/2014
$
500,000
$
14,934,929 Transfer of cap due to servicing transfer
11/14/2014
$
(10,000)
$
14,924,929 Transfer of cap due to servicing transfer
12/29/2014
$
(2,097,962)
$
12,826,967 Updated due to quarterly assessment and reallocation
03/26/2015
$
(789,030)
$
12,037,937 Updated due to quarterly assessment and reallocation
04/28/2015
$
(3,110,011)
$
8,927,926 Updated due to quarterly assessment and reallocation
06/25/2015
$
(735,363)
$
8,192,563 Updated due to quarterly assessment and reallocation
07/16/2015
$
(230,000)
$
7,962,563 Transfer of cap due to servicing transfer
08/14/2015
$
(970,000)
$
6,992,563 Transfer of cap due to servicing transfer
09/16/2015
$
(370,000)
$
6,622,563 Transfer of cap due to servicing transfer
09/28/2015
$
(898,229)
$
5,724,334 Updated due to quarterly assessment and reallocation
10/15/2015
$
590,000
$
6,314,334 Transfer of cap due to servicing transfer
12/16/2015
$
10,000
$
6,324,334 Transfer of cap due to servicing transfer
12/28/2015
$
(774,973)
$
5,549,361 Updated due to quarterly assessment and reallocation
01/14/2016
$
(20,000)
$
5,529,361 Transfer of cap due to servicing transfer
02/25/2016
$
(2,262,695)
$
3,266,666 Reallocation due to MHA program deobligation
03/16/2016
$
190,000
$
3,456,666 Transfer of cap due to servicing transfer
03/28/2016
$
(52,053)
$
3,404,613 Updated due to quarterly assessment and reallocation
05/16/2016
$
70,000
$
3,474,613 Transfer of cap due to servicing transfer
05/31/2016
$
(422,197)
$
3,052,416 Updated due to quarterly assessment and reallocation
06/16/2016
$
290,000
$
3,342,416 Transfer of cap due to servicing transfer
06/27/2016
$
(291,214)
$
3,051,202 Updated due to quarterly assessment and reallocation
07/27/2016
$
(291,302)
$
2,759,900 Updated due to quarterly assessment and reallocation
09/15/2016
$
640,000
$
3,399,900 Transfer of cap due to servicing transfer
09/28/2016
$
(761,286)
$
2,638,614 Updated due to quarterly assessment and reallocation
10/25/2016
$
(719,364)
$
1,919,250 Updated due to quarterly assessment and reallocation
11/07/2016
$
277,340
$
2,196,590 Updated due to quarterly assessment and reallocation
11/29/2016
$
(5,640)
$
2,190,950 Updated due to quarterly assessment and reallocation
12/15/2016
$
10,000
$
2,200,950 Transfer of cap due to servicing transfer
12/27/2016
$
(873)
$
2,200,077 Transfer of cap due to servicing transfer
02/27/2017
$
(15,146)
$
2,184,931 Transfer of cap due to servicing transfer
04/26/2017
$
(993)
$
2,183,938 Transfer of cap due to servicing transfer
06/26/2017
$
(7,547)
$
2,176,391 Transfer of cap due to servicing transfer
07/26/2017
$
(228)
$
2,176,163 Transfer of cap due to servicing transfer
09/26/2017
$
(239,456)
$
1,936,707 Transfer of cap due to servicing transfer
10/26/2017
$
(29,696)
$
1,907,011 Transfer of cap due to servicing transfer
12/21/2017
$
(28,971)
$
1,878,040 Transfer of cap due to servicing transfer
02/26/2018
$
(1,390)
$
1,876,650 Transfer of cap due to servicing transfer
03/22/2018
$
(4,532)
$
1,872,118 Transfer of cap due to servicing transfer
04/25/2018
$
(8,960)
$
1,863,158 Transfer of cap due to servicing transfer
06/21/2018
$
(2,149)
$
1,861,009 Transfer of cap due to servicing transfer
07/26/2018
$
(440,808)
$
1,420,201 Reallocation due to MHA program deobligation
01/22/2010
$
20,000
$
03/26/2010
$
1,430,000
$
07/14/2010
$
(390,000)
$
1,500,000 Updated portfolio data from servicer
09/08/2010
$
(1,500,000)
03/26/2010
$
(51,240,000)
$
12,910,000 Updated portfolio data from servicer
05/14/2010
$
3,000,000
$
15,910,000 Transfer of cap due to servicing transfer
06/16/2010
$
4,860,000
$
20,770,000 Transfer of cap due to servicing transfer
07/14/2010
$
3,630,000
$
24,400,000 Updated portfolio data from servicer
07/16/2010
$
330,000
$
24,730,000 Transfer of cap due to servicing transfer
08/13/2010
$
700,000
$
25,430,000 Transfer of cap due to servicing transfer
09/15/2010
$
200,000
$
25,630,000 Transfer of cap due to servicing transfer
09/30/2010
$
(1,695,826)
$
23,934,174 Updated portfolio data from servicer
11/16/2010
$
200,000
$
24,134,174 Transfer of cap due to servicing transfer
01/06/2011
$
(32)
$
24,134,142 Updated due to quarterly assessment and reallocation
01/13/2011
$
1,500,000
$
25,634,142 Transfer of cap due to servicing transfer
03/16/2011
$
7,100,000
$
32,734,142 Transfer of cap due to servicing transfer
03/30/2011
$
(36)
$
32,734,106 Updated due to quarterly assessment and reallocation
04/13/2011
$
1,000,000
$
33,734,106 Transfer of cap due to servicing transfer
05/13/2011
$
100,000
$
33,834,106 Transfer of cap due to servicing transfer
06/16/2011
$
300,000
$
34,134,106 Transfer of cap due to servicing transfer
06/29/2011
$
(332)
$
34,133,774 Updated due to quarterly assessment and reallocation
460,000 Updated portfolio data from servicer/additional program initial cap
1,890,000 Updated portfolio data from servicer
- Termination of SPA
142
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
08/16/2011
$
100,000
$
34,233,774 Transfer of cap due to servicing transfer
09/15/2011
$
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
01/13/2012
$
1,600,000
$
34,733,774 Transfer of cap due to servicing transfer
02/16/2012
$
100,000
$
34,833,774 Transfer of cap due to servicing transfer
03/15/2012
$
100,000
$
34,933,774 Transfer of cap due to servicing transfer
04/16/2012
$
77,600,000
$
112,533,774 Transfer of cap due to servicing transfer
05/16/2012
$
40,000
$
112,573,774 Transfer of cap due to servicing transfer
06/14/2012
$
(350,000)
$
112,223,774 Transfer of cap due to servicing transfer
06/28/2012
$
(1,058)
$
112,222,716 Updated due to quarterly assessment and reallocation
07/16/2012
$
4,430,000
$
116,652,716 Transfer of cap due to servicing transfer
08/16/2012
$
(1,280,000)
$
115,372,716 Transfer of cap due to servicing transfer
09/27/2012
$
(3,061)
$
115,369,655 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
12/14/2012
$
24,180,000
$
146,029,655 Transfer of cap due to servicing transfer
12/27/2012
$
(663)
$
146,028,992 Updated due to quarterly assessment and reallocation
01/16/2013
$
2,410,000
$
148,438,992 Transfer of cap due to servicing transfer
02/14/2013
$
6,650,000
$
155,088,992 Transfer of cap due to servicing transfer
03/14/2013
$
(1,450,000)
$
153,638,992 Transfer of cap due to servicing transfer
03/25/2013
$
(2,584)
$
153,636,408 Updated due to quarterly assessment and reallocation
04/16/2013
$
(750,000)
$
152,886,408 Transfer of cap due to servicing transfer
05/16/2013
$
(1,250,000)
$
151,636,408 Transfer of cap due to servicing transfer
06/14/2013
$
3,670,000
$
155,306,408 Transfer of cap due to servicing transfer
06/27/2013
$
(985)
$
155,305,423 Updated due to quarterly assessment and reallocation
07/16/2013
$
(3,720,000)
$
151,585,423 Transfer of cap due to servicing transfer
09/16/2013
$
(180,000)
$
151,405,423 Transfer of cap due to servicing transfer
09/27/2013
$
(346)
$
151,405,077 Updated due to quarterly assessment and reallocation
10/15/2013
$
860,000
$
152,265,077 Transfer of cap due to servicing transfer
11/14/2013
$
(410,000)
$
151,855,077 Transfer of cap due to servicing transfer
12/16/2013
$
(10,160,000)
$
141,695,077 Transfer of cap due to servicing transfer
12/23/2013
$
(381,129)
$
141,313,948 Updated due to quarterly assessment and reallocation
01/16/2014
$
8,200,000
$
149,513,948 Transfer of cap due to servicing transfer
02/13/2014
$
21,910,000
$
171,423,948 Transfer of cap due to servicing transfer
03/14/2014
$
300,000
$
171,723,948 Transfer of cap due to servicing transfer
03/26/2014
$
(10,851)
$
171,713,097 Updated due to quarterly assessment and reallocation
04/16/2014
$
4,470,000
$
176,183,097 Transfer of cap due to servicing transfer
05/15/2014
$
(28,460,000)
$
147,723,097 Transfer of cap due to servicing transfer
06/16/2014
$
4,680,000
$
152,403,097 Transfer of cap due to servicing transfer
06/26/2014
$
(57,511)
$
152,345,586 Updated due to quarterly assessment and reallocation
07/16/2014
$
16,450,000
$
168,795,586 Transfer of cap due to servicing transfer
07/29/2014
$
(115,275)
$
168,680,311 Updated due to quarterly assessment and reallocation
08/14/2014
$
230,000
$
168,910,311 Transfer of cap due to servicing transfer
09/16/2014
$
(4,270,000)
$
164,640,311 Transfer of cap due to servicing transfer
09/29/2014
$
(27,454)
$
164,612,857 Updated due to quarterly assessment and reallocation
11/14/2014
$
540,000
$
165,152,857 Transfer of cap due to servicing transfer
12/29/2014
$
52,945,861
$
218,098,718 Updated due to quarterly assessment and reallocation
01/15/2015
$
(520,000)
$
217,578,718 Transfer of cap due to servicing transfer
02/13/2015
$
12,630,000
$
230,208,718 Transfer of cap due to servicing transfer
03/16/2015
$
11,890,000
$
242,098,718 Transfer of cap due to servicing transfer
03/26/2015
$
1,352,322
$
243,451,040 Updated due to quarterly assessment and reallocation
04/16/2015
$
1,050,000
$
244,501,040 Transfer of cap due to servicing transfer
04/28/2015
$
4,448,221
$
248,949,261 Updated due to quarterly assessment and reallocation
05/14/2015
$
7,170,000
$
256,119,261 Transfer of cap due to servicing transfer
06/16/2015
$
18,070,000
$
274,189,261 Transfer of cap due to servicing transfer
06/25/2015
$
18,792,626
$
292,981,887 Updated due to quarterly assessment and reallocation
07/16/2015
$
14,500,000
$
307,481,887 Transfer of cap due to servicing transfer
08/14/2015
$
1,710,000
$
309,191,887 Transfer of cap due to servicing transfer
09/16/2015
$
(390,000)
$
308,801,887 Transfer of cap due to servicing transfer
09/28/2015
$
10,523,228
$
319,325,115 Updated due to quarterly assessment and reallocation
10/15/2015
$
3,450,000
$
322,775,115 Transfer of cap due to servicing transfer
11/16/2015
$
970,000
$
323,745,115 Transfer of cap due to servicing transfer
12/16/2015
$
(210,000)
$
323,535,115 Transfer of cap due to servicing transfer
12/28/2015
$
6,558,413
$
330,093,528 Updated due to quarterly assessment and reallocation
01/14/2016
$
25,010,000
$
355,103,528 Transfer of cap due to servicing transfer
02/16/2016
$
2,470,000
$
357,573,528 Transfer of cap due to servicing transfer
02/25/2016
$
(13,592,686)
$
343,980,842 Reallocation due to MHA program deobligation
03/16/2016
$
1,040,000
$
345,020,842 Transfer of cap due to servicing transfer
03/28/2016
$
(174,419)
$
344,846,423 Updated due to quarterly assessment and reallocation
04/14/2016
$
(390,000)
$
344,456,423 Transfer of cap due to servicing transfer
05/16/2016
$
(8,920,000)
$
335,536,423 Transfer of cap due to servicing transfer
05/31/2016
$
9,566,276
$
345,102,699 Updated due to quarterly assessment and reallocation
143
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
08/28/2009
12/15/2010
Spirit of Alaska Federal Credit Union
Stanford Federal Credit Union
Statebridge Company, LLC
Fairbanks
Palo Alto
Denver
AK
CA
CO
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
360,000 N/A
300,000 N/A
- N/A
3
Reason for Adjustment
06/16/2016
$
(2,510,000)
$
342,592,699 Transfer of cap due to servicing transfer
06/27/2016
$
3,970,965
$
346,563,664 Updated due to quarterly assessment and reallocation
07/14/2016
$
31,640,000
$
378,203,664 Transfer of cap due to servicing transfer
07/27/2016
$
(290,538)
$
377,913,126 Updated due to quarterly assessment and reallocation
08/16/2016
$
(1,540,000)
$
376,373,126 Transfer of cap due to servicing transfer
09/15/2016
$
(5,050,000)
$
371,323,126 Transfer of cap due to servicing transfer
09/28/2016
$
6,401,607
$
377,724,733 Updated due to quarterly assessment and reallocation
10/14/2016
$
180,000
$
377,904,733 Transfer of cap due to servicing transfer
10/25/2016
$
5,948,269
$
383,853,002 Updated due to quarterly assessment and reallocation
-
$
383,853,002 Updated due to quarterly assessment and reallocation
25,490,000
$
409,343,002 Transfer of cap due to servicing transfer
11/07/2016
12/09/2009
Adjusted CAP
11/16/2016
$
11/29/2016
$
(144,063)
$
409,198,939 Updated due to quarterly assessment and reallocation
12/15/2016
$
11,630,000
$
420,828,939 Transfer of cap due to servicing transfer
12/27/2016
$
(12,972)
$
420,815,967 Transfer of cap due to servicing transfer
01/13/2017
$
(4,360,000)
$
416,455,967 Transfer of cap due to servicing transfer
02/16/2017
$
(37,060,000)
$
379,395,967 Transfer of cap due to servicing transfer
02/27/2017
$
23,023,777
$
402,419,744 Transfer of cap due to servicing transfer
03/16/2017
$
36,810,000
$
439,229,744 Transfer of cap due to servicing transfer
04/26/2017
$
(3,588)
$
439,226,156 Transfer of cap due to servicing transfer
06/26/2017
$
13,394,938
$
452,621,094 Transfer of cap due to servicing transfer
07/26/2017
$
(764)
$
452,620,330 Transfer of cap due to servicing transfer
09/26/2017
$
30,759,674
$
483,380,004 Transfer of cap due to servicing transfer
10/26/2017
$
(411,998)
$
482,968,006 Transfer of cap due to servicing transfer
12/21/2017
$
19,667,669
$
502,635,675 Transfer of cap due to servicing transfer
02/26/2018
$
(19,711)
$
502,615,964 Transfer of cap due to servicing transfer
03/22/2018
$
5,015,531
$
507,631,495 Transfer of cap due to servicing transfer
04/25/2018
$
(102,476)
$
507,529,019 Transfer of cap due to servicing transfer
06/21/2018
$
(26,115)
$
507,502,904 Transfer of cap due to servicing transfer
07/26/2018
$
(68,661,814)
$
438,841,090 Reallocation due to MHA program deobligation
01/22/2010
$
10,000
$
03/26/2010
$
850,000
$
1,220,000 Updated portfolio data from servicer
07/14/2010
$
(120,000)
$
1,100,000 Updated portfolio data from servicer
09/30/2010
$
100,000
$
1,200,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
105,500
$
1,305,500 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,305,498 Updated due to quarterly assessment and reallocation
02/17/2011
$
(1,305,498)
10/02/2009
$
70,000
$
370,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
2,680,000
$
3,050,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
350,000
$
3,400,000 Updated portfolio data from servicer
07/14/2010
$
(1,900,000)
$
1,500,000 Updated portfolio data from servicer
09/30/2010
$
(1,209,889)
$
290,111 Updated portfolio data from servicer
03/23/2011
$
(290,111)
12/15/2010
$
5,000,000
$
5,000,000 Transfer of cap due to servicing transfer
01/06/2011
$
(7)
$
4,999,993 Updated due to quarterly assessment and reallocation
02/16/2011
$
500,000
$
5,499,993 Transfer of cap due to servicing transfer
03/16/2011
$
100,000
$
5,599,993 Transfer of cap due to servicing transfer
03/30/2011
$
(9)
$
5,599,984 Updated due to quarterly assessment and reallocation
06/29/2011
$
(85)
$
5,599,899 Updated due to quarterly assessment and reallocation
11/16/2011
$
(2,500,000)
$
3,099,899 Transfer of cap due to servicing transfer
03/15/2012
$
200,000
$
3,299,899 Transfer of cap due to servicing transfer
06/28/2012
$
(40)
$
3,299,859 Updated due to quarterly assessment and reallocation
09/27/2012
$
(100)
$
3,299,759 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 Transfer of cap due to servicing transfer
12/27/2012
$
(17)
$
3,359,742 Updated due to quarterly assessment and reallocation
01/16/2013
$
50,000
$
3,409,742 Transfer of cap due to servicing transfer
02/14/2013
$
1,240,000
$
4,649,742 Transfer of cap due to servicing transfer
03/14/2013
$
90,000
$
4,739,742 Transfer of cap due to servicing transfer
03/25/2013
$
(90)
$
4,739,652 Updated due to quarterly assessment and reallocation
04/16/2013
$
(10,000)
$
4,729,652 Transfer of cap due to servicing transfer
06/27/2013
$
(34)
$
4,729,618 Updated due to quarterly assessment and reallocation
09/27/2013
$
(13)
$
4,729,605 Updated due to quarterly assessment and reallocation
11/14/2013
$
60,000
$
4,789,605 Transfer of cap due to servicing transfer
12/23/2013
$
(21,773)
$
4,767,832 Updated due to quarterly assessment and reallocation
01/16/2014
$
(20,000)
$
4,747,832 Transfer of cap due to servicing transfer
02/13/2014
$
60,000
$
4,807,832 Transfer of cap due to servicing transfer
03/14/2014
$
(30,000)
$
4,777,832 Transfer of cap due to servicing transfer
03/26/2014
$
(770)
$
4,777,062 Updated due to quarterly assessment and reallocation
06/26/2014
$
(8,978)
$
4,768,084 Updated due to quarterly assessment and reallocation
07/16/2014
$
150,000
$
4,918,084 Transfer of cap due to servicing transfer
07/29/2014
$
(18,319)
$
4,899,765 Updated due to quarterly assessment and reallocation
08/14/2014
$
330,000
$
5,229,765 Transfer of cap due to servicing transfer
370,000 Updated portfolio data from servicer/additional program initial cap
- Termination of SPA
- Termination of SPA
144
Servicer Modifying Borrowers' Loans
Date
12/09/2009
Name of Institution
Sterling Savings Bank
City
Spokane
Adjustment Details
State
WA
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
2,250,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
09/16/2014
$
510,000
$
5,739,765 Transfer of cap due to servicing transfer
09/29/2014
$
(7,084)
$
5,732,681 Updated due to quarterly assessment and reallocation
10/16/2014
$
1,310,000
$
7,042,681 Transfer of cap due to servicing transfer
12/16/2014
$
5,780,000
$
12,822,681 Transfer of cap due to servicing transfer
12/29/2014
$
(2,009,472)
$
10,813,209 Updated due to quarterly assessment and reallocation
03/16/2015
$
(20,000)
$
10,793,209 Transfer of cap due to servicing transfer
03/26/2015
$
(759,640)
$
10,033,569 Updated due to quarterly assessment and reallocation
04/28/2015
$
(2,994,140)
$
7,039,429 Updated due to quarterly assessment and reallocation
06/16/2015
$
30,000
$
7,069,429 Transfer of cap due to servicing transfer
06/25/2015
$
(711,743)
$
6,357,686 Updated due to quarterly assessment and reallocation
08/14/2015
$
160,000
$
6,517,686 Transfer of cap due to servicing transfer
09/16/2015
$
90,000
$
6,607,686 Transfer of cap due to servicing transfer
09/28/2015
$
(969,232)
$
5,638,454 Updated due to quarterly assessment and reallocation
10/15/2015
$
680,000
$
6,318,454 Transfer of cap due to servicing transfer
11/16/2015
$
40,000
$
6,358,454 Transfer of cap due to servicing transfer
12/16/2015
$
550,000
$
6,908,454 Transfer of cap due to servicing transfer
12/28/2015
$
(816,550)
$
6,091,904 Updated due to quarterly assessment and reallocation
02/25/2016
$
(2,359,857)
$
3,732,047 Reallocation due to MHA program deobligation
03/16/2016
$
980,000
$
4,712,047 Transfer of cap due to servicing transfer
03/28/2016
$
(72,124)
$
4,639,923 Updated due to quarterly assessment and reallocation
04/14/2016
$
300,000
$
4,939,923 Transfer of cap due to servicing transfer
05/16/2016
$
80,000
$
5,019,923 Transfer of cap due to servicing transfer
05/31/2016
$
(633,366)
$
4,386,557 Updated due to quarterly assessment and reallocation
06/27/2016
$
(362,288)
$
4,024,269 Updated due to quarterly assessment and reallocation
07/14/2016
$
150,000
$
4,174,269 Transfer of cap due to servicing transfer
07/27/2016
$
(346,056)
$
3,828,213 Updated due to quarterly assessment and reallocation
09/28/2016
$
(624,521)
$
3,203,692 Updated due to quarterly assessment and reallocation
10/14/2016
$
20,000
$
3,223,692 Transfer of cap due to servicing transfer
10/25/2016
$
(537,958)
$
2,685,734 Updated due to quarterly assessment and reallocation
11/07/2016
$
207,402
$
2,893,136 Updated due to quarterly assessment and reallocation
11/16/2016
$
990,000
$
3,883,136 Transfer of cap due to servicing transfer
11/29/2016
$
(11,298)
$
3,871,838 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1,725)
$
3,870,113 Transfer of cap due to servicing transfer
01/13/2017
$
(100,000)
$
3,770,113 Transfer of cap due to servicing transfer
02/16/2017
$
10,000
$
3,780,113 Transfer of cap due to servicing transfer
02/27/2017
$
(28,276)
$
3,751,837 Transfer of cap due to servicing transfer
03/16/2017
$
(1,350,000)
$
2,401,837 Transfer of cap due to servicing transfer
04/26/2017
$
(1,045)
$
2,400,792 Transfer of cap due to servicing transfer
06/26/2017
$
(11,705)
$
2,389,087 Transfer of cap due to servicing transfer
07/26/2017
$
(354)
$
2,388,733 Transfer of cap due to servicing transfer
09/26/2017
$
(440,216)
$
1,948,517 Transfer of cap due to servicing transfer
10/26/2017
$
(60,596)
$
1,887,921 Transfer of cap due to servicing transfer
12/21/2017
$
(64,032)
$
1,823,889 Transfer of cap due to servicing transfer
02/26/2018
$
(3,109)
$
1,820,780 Transfer of cap due to servicing transfer
03/22/2018
$
(10,140)
$
1,810,640 Transfer of cap due to servicing transfer
04/25/2018
$
(20,049)
$
1,790,591 Transfer of cap due to servicing transfer
06/21/2018
$
(3,993)
$
07/26/2018
$
(607,527)
$
1,179,071 Reallocation due to MHA program deobligation
01/22/2010
$
100,000
$
2,350,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(740,000)
$
1,610,000 Updated portfolio data from servicer
07/14/2010
$
(710,000)
$
900,000 Updated portfolio data from servicer
09/30/2010
$
550,556
$
1,450,556 Updated portfolio data from servicer
01/06/2011
$
(1)
$
1,450,555 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
1,450,554 Updated due to quarterly assessment and reallocation
06/29/2011
$
(11)
$
1,450,543 Updated due to quarterly assessment and reallocation
09/27/2012
$
30,907
$
1,481,450 Updated due to quarterly assessment and reallocation
12/27/2012
$
58,688
$
1,540,138 Updated due to quarterly assessment and reallocation
03/25/2013
$
235,175
$
1,775,313 Updated due to quarterly assessment and reallocation
06/27/2013
$
84,191
$
1,859,504 Updated due to quarterly assessment and reallocation
09/27/2013
$
13,786
$
1,873,290 Updated due to quarterly assessment and reallocation
12/23/2013
$
(35)
$
1,873,255 Updated due to quarterly assessment and reallocation
03/26/2014
$
12,095
$
1,885,350 Updated due to quarterly assessment and reallocation
06/26/2014
$
122,307
$
2,007,657 Updated due to quarterly assessment and reallocation
07/29/2014
$
22,184
$
2,029,841 Updated due to quarterly assessment and reallocation
09/29/2014
$
24,565
$
2,054,406 Updated due to quarterly assessment and reallocation
12/29/2014
$
581,882
$
2,636,288 Updated due to quarterly assessment and reallocation
03/26/2015
$
(1,034)
$
2,635,254 Updated due to quarterly assessment and reallocation
04/28/2015
$
(4,285)
$
2,630,969 Updated due to quarterly assessment and reallocation
06/25/2015
$
(6,530)
$
09/28/2015
$
(11,773)
$
2,612,666 Updated due to quarterly assessment and reallocation
12/28/2015
$
(11,798)
$
2,600,868 Updated due to quarterly assessment and reallocation
02/25/2016
$
(130,663)
$
2,470,205 Reallocation due to MHA program deobligation
03/28/2016
$
(2,930)
$
2,467,275 Updated due to quarterly assessment and reallocation
1,786,598 Transfer of cap due to servicing transfer
2,624,439 Updated due to quarterly assessment and reallocation
145
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
Note
6
09/30/2010
08/04/2010
Stockman Bank of Montana
Miles City
Suburban Mortgage Company of New
Albuquerque
Mexico
MT
NM
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
100,000 N/A
880,000 N/A
01/13/2012
Sun West Mortgage Company, Inc
Cerritos
CA
Purchase
Financial Instrument for Home Loan Modifications
- N/A
3
04/13/2011
SunTrust Mortgage, Inc.
Richmond
VA
Purchase
Financial Instrument for Home Loan Modifications
- N/A
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
05/16/2016
$
(590,000)
$
1,877,275 Transfer of cap due to servicing transfer
05/31/2016
$
(18,881)
$
1,858,394 Updated due to quarterly assessment and reallocation
06/16/2016
$
554,145
$
2,412,539 Transfer of cap due to servicing transfer
06/27/2016
$
(15,623)
$
2,396,916 Updated due to quarterly assessment and reallocation
07/14/2016
$
(520,000)
$
07/27/2016
$
(31,749)
$
1,845,167 Updated due to quarterly assessment and reallocation
08/04/2016
$
(391,427)
$
1,453,740 Termination of SPA
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
03/26/2015
$
(2,879)
$
133,928 Updated due to quarterly assessment and reallocation
04/28/2015
$
(11,347)
$
122,581 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,691)
$
119,890 Updated due to quarterly assessment and reallocation
09/28/2015
$
(3,595)
$
116,295 Updated due to quarterly assessment and reallocation
12/28/2015
$
(2,660)
$
113,635 Updated due to quarterly assessment and reallocation
02/25/2016
$
(7,597)
$
106,038 Reallocation due to MHA program deobligation
03/28/2016
$
(159)
$
105,879 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,242)
$
104,637 Updated due to quarterly assessment and reallocation
06/27/2016
$
(742)
$
103,895 Updated due to quarterly assessment and reallocation
07/27/2016
$
(742)
$
103,153 Updated due to quarterly assessment and reallocation
09/28/2016
$
(1,298)
$
101,855 Updated due to quarterly assessment and reallocation
10/25/2016
$
(1,226)
$
100,629 Updated due to quarterly assessment and reallocation
11/07/2016
$
472
$
101,101 Updated due to quarterly assessment and reallocation
11/29/2016
$
(8)
$
101,093 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1)
$
101,092 Transfer of cap due to servicing transfer
02/27/2017
$
(22)
$
101,070 Transfer of cap due to servicing transfer
04/26/2017
$
(1)
$
101,069 Transfer of cap due to servicing transfer
06/26/2017
$
(11)
$
101,058 Transfer of cap due to servicing transfer
09/26/2017
$
(453)
$
100,605 Transfer of cap due to servicing transfer
10/26/2017
$
(56)
$
100,549 Transfer of cap due to servicing transfer
12/21/2017
$
(58)
$
100,491 Transfer of cap due to servicing transfer
02/26/2018
$
(3)
$
100,488 Transfer of cap due to servicing transfer
03/22/2018
$
(9)
$
100,479 Transfer of cap due to servicing transfer
04/25/2018
$
(18)
$
100,461 Transfer of cap due to servicing transfer
06/21/2018
$
(3)
$
100,458 Transfer of cap due to servicing transfer
07/26/2018
$
(386)
$
09/30/2010
$
1,585,945
$
2,465,945 Updated portfolio data from servicer
01/06/2011
$
(4)
$
2,465,941 Updated due to quarterly assessment and reallocation
03/30/2011
$
(4)
$
2,465,937 Updated due to quarterly assessment and reallocation
06/29/2011
$
(40)
$
2,465,897 Updated due to quarterly assessment and reallocation
06/28/2012
$
(30)
$
2,465,867 Updated due to quarterly assessment and reallocation
08/10/2012
$
(2,465,867)
01/13/2012
$
100,000
08/16/2017
$
(100,000)
04/13/2011
$
06/14/2013
$
06/27/2013
07/16/2013
12/23/2013
1,876,916 Transfer of cap due to servicing transfer
100,072 Reallocation due to MHA program deobligation
- Termination of SPA
$
100,000 Transfer of cap due to servicing transfer
100,000
$
100,000 Transfer of cap due to servicing transfer
120,000
$
220,000 Transfer of cap due to servicing transfer
$
(1)
$
219,999 Updated due to quarterly assessment and reallocation
$
10,000
$
229,999 Transfer of cap due to servicing transfer
$
(670)
$
229,329 Updated due to quarterly assessment and reallocation
01/16/2014
$
20,000
$
249,329 Transfer of cap due to servicing transfer
02/13/2014
$
90,000
$
339,329 Transfer of cap due to servicing transfer
03/14/2014
$
50,000
$
389,329 Transfer of cap due to servicing transfer
03/26/2014
$
(38)
$
389,291 Updated due to quarterly assessment and reallocation
04/16/2014
$
60,000
$
449,291 Transfer of cap due to servicing transfer
06/26/2014
$
(486)
$
448,805 Updated due to quarterly assessment and reallocation
07/16/2014
$
70,000
$
518,805 Transfer of cap due to servicing transfer
07/29/2014
$
(989)
$
517,816 Updated due to quarterly assessment and reallocation
08/14/2014
$
30,000
$
547,816 Transfer of cap due to servicing transfer
09/29/2014
$
(358)
$
547,458 Updated due to quarterly assessment and reallocation
12/29/2014
$
(28,730)
$
518,728 Updated due to quarterly assessment and reallocation
02/13/2015
$
(20,000)
$
498,728 Transfer of cap due to servicing transfer
03/26/2015
$
(10,741)
$
487,987 Updated due to quarterly assessment and reallocation
04/28/2015
$
(42,369)
$
445,618 Updated due to quarterly assessment and reallocation
06/25/2015
$
(14,001)
$
431,617 Updated due to quarterly assessment and reallocation
- Termination of SPA
146
Servicer Modifying Borrowers' Loans
Date
06/26/2009
Name of Institution
Technology Credit Union
City
San Jose
Adjustment Details
State
CA
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
70,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
08/14/2015
$
(20,000)
$
411,617 Transfer of cap due to servicing transfer
09/28/2015
$
(20,248)
$
391,369 Updated due to quarterly assessment and reallocation
12/28/2015
$
(14,985)
$
01/14/2016
$
2,040,000
$
2,416,384 Transfer of cap due to servicing transfer
02/25/2016
$
250,500
$
2,666,884 Reallocation due to MHA program deobligation
03/16/2016
$
140,000
$
2,806,884 Transfer of cap due to servicing transfer
03/28/2016
$
4,517
$
2,811,401 Updated due to quarterly assessment and reallocation
05/31/2016
$
(184,936)
$
2,626,465 Updated due to quarterly assessment and reallocation
06/27/2016
$
(161,110)
$
2,465,355 Updated due to quarterly assessment and reallocation
07/27/2016
$
(162,362)
$
2,302,993 Updated due to quarterly assessment and reallocation
09/28/2016
$
(313,972)
$
1,989,021 Updated due to quarterly assessment and reallocation
10/25/2016
$
(300,637)
$
1,688,384 Updated due to quarterly assessment and reallocation
11/07/2016
$
115,906
$
1,804,290 Updated due to quarterly assessment and reallocation
11/29/2016
$
(2,939)
$
1,801,351 Updated due to quarterly assessment and reallocation
12/27/2016
$
(449)
$
1,800,902 Transfer of cap due to servicing transfer
02/27/2017
$
(7,785)
$
1,793,117 Transfer of cap due to servicing transfer
04/26/2017
$
(520)
$
1,792,597 Transfer of cap due to servicing transfer
06/26/2017
$
(4,152)
$
1,788,445 Transfer of cap due to servicing transfer
07/26/2017
$
(126)
$
1,788,319 Transfer of cap due to servicing transfer
09/26/2017
$
(130,330)
$
1,657,989 Transfer of cap due to servicing transfer
10/26/2017
$
(16,163)
$
1,641,826 Transfer of cap due to servicing transfer
12/21/2017
$
(16,838)
$
1,624,988 Transfer of cap due to servicing transfer
02/26/2018
$
(817)
$
1,624,171 Transfer of cap due to servicing transfer
03/22/2018
$
(2,665)
$
1,621,506 Transfer of cap due to servicing transfer
04/25/2018
$
(3,382)
$
1,618,124 Transfer of cap due to servicing transfer
06/21/2018
$
(634)
$
1,617,490 Transfer of cap due to servicing transfer
07/26/2018
$
(269,527)
$
1,347,963 Reallocation due to MHA program deobligation
12/30/2009
$
2,180,000
$
2,250,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(720,000)
$
1,530,000 Updated portfolio data from servicer
07/14/2010
$
(430,000)
$
1,100,000 Updated portfolio data from servicer
09/30/2010
$
60,445
$
1,160,445 Updated portfolio data from servicer
01/06/2011
$
(1)
$
1,160,444 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
1,160,443 Updated due to quarterly assessment and reallocation
06/29/2011
$
(12)
$
1,160,431 Updated due to quarterly assessment and reallocation
06/28/2012
$
(9)
$
1,160,422 Updated due to quarterly assessment and reallocation
09/27/2012
$
(23)
$
1,160,399 Updated due to quarterly assessment and reallocation
12/27/2012
$
(4)
$
1,160,395 Updated due to quarterly assessment and reallocation
03/25/2013
$
(13)
$
1,160,382 Updated due to quarterly assessment and reallocation
06/27/2013
$
(5)
$
1,160,377 Updated due to quarterly assessment and reallocation
09/27/2013
$
(2)
$
1,160,375 Updated due to quarterly assessment and reallocation
12/23/2013
$
(2,729)
$
1,157,646 Updated due to quarterly assessment and reallocation
03/26/2014
$
(101)
$
1,157,545 Updated due to quarterly assessment and reallocation
06/26/2014
$
(1,195)
$
1,156,350 Updated due to quarterly assessment and reallocation
07/29/2014
$
(2,373)
$
1,153,977 Updated due to quarterly assessment and reallocation
09/29/2014
$
(784)
$
1,153,193 Updated due to quarterly assessment and reallocation
12/29/2014
$
(82,551)
$
1,070,642 Updated due to quarterly assessment and reallocation
03/26/2015
$
(32,953)
$
1,037,689 Updated due to quarterly assessment and reallocation
04/28/2015
$
(123,650)
$
914,039 Updated due to quarterly assessment and reallocation
06/25/2015
$
(30,757)
$
883,282 Updated due to quarterly assessment and reallocation
09/28/2015
$
(42,234)
$
841,048 Updated due to quarterly assessment and reallocation
12/28/2015
$
(33,352)
$
807,696 Updated due to quarterly assessment and reallocation
02/25/2016
$
(126,159)
$
681,537 Reallocation due to MHA program deobligation
03/28/2016
$
(2,635)
$
678,902 Updated due to quarterly assessment and reallocation
05/31/2016
$
(22,713)
$
656,189 Updated due to quarterly assessment and reallocation
06/27/2016
$
(13,568)
$
642,621 Updated due to quarterly assessment and reallocation
07/27/2016
$
(13,572)
$
629,049 Updated due to quarterly assessment and reallocation
09/28/2016
$
(23,736)
$
605,313 Updated due to quarterly assessment and reallocation
10/25/2016
$
(22,428)
$
582,885 Updated due to quarterly assessment and reallocation
11/07/2016
$
8,647
$
591,532 Updated due to quarterly assessment and reallocation
11/29/2016
$
(400)
$
591,132 Updated due to quarterly assessment and reallocation
12/27/2016
$
(61)
$
591,071 Transfer of cap due to servicing transfer
02/27/2017
$
(1,063)
$
590,008 Transfer of cap due to servicing transfer
04/26/2017
$
(70)
$
589,938 Transfer of cap due to servicing transfer
06/26/2017
$
(536)
$
589,402 Transfer of cap due to servicing transfer
07/26/2017
$
(16)
$
589,386 Transfer of cap due to servicing transfer
09/26/2017
$
(7,785)
$
581,601 Transfer of cap due to servicing transfer
10/26/2017
$
(1,511)
$
580,090 Transfer of cap due to servicing transfer
12/21/2017
$
(2,200)
$
577,890 Transfer of cap due to servicing transfer
02/26/2018
$
(107)
$
577,783 Transfer of cap due to servicing transfer
03/22/2018
$
(348)
$
577,435 Transfer of cap due to servicing transfer
04/25/2018
$
(689)
$
576,746 Transfer of cap due to servicing transfer
06/21/2018
$
(173)
$
576,573 Transfer of cap due to servicing transfer
07/26/2018
$
(89,502)
$
487,071 Reallocation due to MHA program deobligation
376,384 Updated due to quarterly assessment and reallocation
147
Servicer Modifying Borrowers' Loans
Date
12/23/2009
12/11/2009
Name of Institution
Tempe Schools Credit Union
The Bryn Mawr Trust Co.
City
Tempe
Bryn Mawr
Adjustment Details
State
AZ
PA
Transaction
Type
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
$
Pricing
Mechanism
Note
110,000 N/A
150,000 N/A
3
12/09/2009
10/16/2014
09/09/2009
The Golden 1 Credit Union
The Provident Bank
U.S. Bank National Association
Sacramento
Jersey City
Owensboro
CA
NJ
KY
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
$
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
6,160,000 N/A
- N/A
$
114,220,000 N/A
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
03/26/2010
$
(20,000)
$
90,000 Updated portfolio data from servicer
07/14/2010
$
10,000
$
100,000 Updated portfolio data from servicer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
12/08/2010
$
(145,056)
04/21/2010
$
(150,000)
06/16/2011
$
100,000
$
100,000 Transfer of cap due to servicing transfer
- Termination of SPA
- Termination of SPA
01/22/2010
$
290,000
$
6,450,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
40,000
$
6,490,000 Updated portfolio data from servicer
07/14/2010
$
(2,890,000)
$
3,600,000 Updated portfolio data from servicer
09/30/2010
$
606,612
$
4,206,612 Updated portfolio data from servicer
01/06/2011
$
(4)
$
4,206,608 Updated due to quarterly assessment and reallocation
03/30/2011
$
(4)
$
4,206,604 Updated due to quarterly assessment and reallocation
06/29/2011
$
(35)
$
4,206,569 Updated due to quarterly assessment and reallocation
06/28/2012
$
(9)
$
4,206,560 Updated due to quarterly assessment and reallocation
09/27/2012
$
(14)
$
4,206,546 Updated due to quarterly assessment and reallocation
12/27/2012
$
(2)
$
4,206,544 Updated due to quarterly assessment and reallocation
03/25/2013
$
(8)
$
4,206,536 Updated due to quarterly assessment and reallocation
06/27/2013
$
(4)
$
4,206,532 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
4,206,531 Updated due to quarterly assessment and reallocation
12/23/2013
$
(2,412)
$
4,204,119 Updated due to quarterly assessment and reallocation
03/26/2014
$
(84)
$
4,204,035 Updated due to quarterly assessment and reallocation
06/26/2014
$
(302)
$
4,203,733 Updated due to quarterly assessment and reallocation
07/29/2014
$
(16)
$
4,203,717 Updated due to quarterly assessment and reallocation
09/29/2014
$
20,590
$
4,224,307 Updated due to quarterly assessment and reallocation
12/29/2014
$
1,125,205
$
5,349,512 Updated due to quarterly assessment and reallocation
03/26/2015
$
(5,668)
$
5,343,844 Updated due to quarterly assessment and reallocation
04/28/2015
$
(7,804)
$
5,336,040 Updated due to quarterly assessment and reallocation
06/25/2015
$
(7,282)
$
5,328,758 Updated due to quarterly assessment and reallocation
09/28/2015
$
(6,050)
$
5,322,708 Updated due to quarterly assessment and reallocation
12/28/2015
$
(13,076)
$
5,309,632 Updated due to quarterly assessment and reallocation
02/25/2016
$
(214,916)
$
5,094,716 Reallocation due to MHA program deobligation
03/28/2016
$
(4,496)
$
5,090,220 Updated due to quarterly assessment and reallocation
05/31/2016
$
(36,694)
$
5,053,526 Updated due to quarterly assessment and reallocation
06/27/2016
$
(22,867)
$
5,030,659 Updated due to quarterly assessment and reallocation
07/27/2016
$
(29,714)
$
5,000,945 Updated due to quarterly assessment and reallocation
09/28/2016
$
(59,141)
$
4,941,804 Updated due to quarterly assessment and reallocation
10/25/2016
$
(60,623)
$
4,881,181 Updated due to quarterly assessment and reallocation
11/07/2016
$
23,372
$
4,904,553 Updated due to quarterly assessment and reallocation
11/29/2016
$
(2,315)
$
4,902,238 Updated due to quarterly assessment and reallocation
12/27/2016
$
(371)
$
4,901,867 Transfer of cap due to servicing transfer
02/27/2017
$
(6,948)
$
4,894,919 Transfer of cap due to servicing transfer
04/26/2017
$
(464)
$
4,894,455 Transfer of cap due to servicing transfer
06/26/2017
$
(3,573)
$
4,890,882 Transfer of cap due to servicing transfer
07/26/2017
$
(108)
$
4,890,774 Transfer of cap due to servicing transfer
09/26/2017
$
(36,830)
$
4,853,944 Transfer of cap due to servicing transfer
10/26/2017
$
(5,140)
$
4,848,804 Transfer of cap due to servicing transfer
12/21/2017
$
(6,925)
$
4,841,879 Transfer of cap due to servicing transfer
02/26/2018
$
(337)
$
4,841,542 Transfer of cap due to servicing transfer
03/22/2018
$
(1,100)
$
4,840,442 Transfer of cap due to servicing transfer
04/25/2018
$
(2,176)
$
4,838,266 Transfer of cap due to servicing transfer
06/21/2018
$
(409)
$
4,837,857 Transfer of cap due to servicing transfer
07/26/2018
$
(658,095)
$
4,179,762 Reallocation due to MHA program deobligation
10/16/2014
$
20,000
$
07/14/2016
$
10,000
$
08/16/2017
$
(30,000)
10/02/2009
$
24,920,000
$
139,140,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
49,410,000
$
188,550,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
41,830,000
$
230,380,000 Updated portfolio data from servicer
07/14/2010
$
(85,780,000)
$
144,600,000 Updated portfolio data from servicer
09/30/2010
$
36,574,444
$
181,174,444 Updated portfolio data from servicer
01/06/2011
$
(160)
$
181,174,284 Updated due to quarterly assessment and reallocation
03/30/2011
$
(172)
$
181,174,112 Updated due to quarterly assessment and reallocation
06/29/2011
$
(1,431)
$
181,172,681 Updated due to quarterly assessment and reallocation
06/28/2012
$
(746)
$
181,171,935 Updated due to quarterly assessment and reallocation
09/27/2012
$
(1,926)
$
181,170,009 Updated due to quarterly assessment and reallocation
12/27/2012
$
(308)
$
181,169,701 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1,135)
$
181,168,566 Updated due to quarterly assessment and reallocation
06/27/2013
$
(418)
$
181,168,148 Updated due to quarterly assessment and reallocation
09/27/2013
$
(139)
$
181,168,009 Updated due to quarterly assessment and reallocation
12/23/2013
$
(212,077)
$
180,955,932 Updated due to quarterly assessment and reallocation
03/26/2014
$
(6,391)
$
180,949,541 Updated due to quarterly assessment and reallocation
06/26/2014
$
(71,209)
$
180,878,332 Updated due to quarterly assessment and reallocation
07/29/2014
$
(125,785)
$
180,752,547 Updated due to quarterly assessment and reallocation
20,000 Transfer of cap due to servicing transfer
30,000 Transfer of cap due to servicing transfer
- Termination of SPA
148
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Umpqua Bank
Tigard
OR
Purchase
Financial Instrument for Home Loan Modifications
- N/A
3
01/29/2010
United Bank
Griffin
GA
Purchase
Financial Instrument for Home Loan Modifications
$
540,000 N/A
Reason for Adjustment
09/29/2014
$
(39,094)
$
180,713,453 Updated due to quarterly assessment and reallocation
12/29/2014
$
26,402,243
$
207,115,696 Updated due to quarterly assessment and reallocation
03/26/2015
$
337,594
$
207,453,290 Updated due to quarterly assessment and reallocation
04/28/2015
$
50,708,179
$
258,161,469 Updated due to quarterly assessment and reallocation
06/16/2015
$
20,000
$
258,181,469 Transfer of cap due to servicing transfer
06/25/2015
$
1,999,564
$
260,181,033 Updated due to quarterly assessment and reallocation
09/28/2015
$
2,168,165
$
262,349,198 Updated due to quarterly assessment and reallocation
11/16/2015
$
(10,000)
$
262,339,198 Transfer of cap due to servicing transfer
12/28/2015
$
1,002,694
$
263,341,892 Updated due to quarterly assessment and reallocation
02/25/2016
$
(11,290,848)
$
252,051,044 Reallocation due to MHA program deobligation
03/16/2016
$
(180,000)
$
251,871,044 Transfer of cap due to servicing transfer
03/28/2016
$
(208,622)
$
251,662,422 Updated due to quarterly assessment and reallocation
04/14/2016
$
(90,000)
$
251,572,422 Transfer of cap due to servicing transfer
05/16/2016
$
(100,000)
$
251,472,422 Transfer of cap due to servicing transfer
05/31/2016
$
(1,039,451)
$
250,432,971 Updated due to quarterly assessment and reallocation
06/16/2016
$
(60,000)
$
250,372,971 Transfer of cap due to servicing transfer
06/27/2016
$
(258,661)
$
250,114,310 Updated due to quarterly assessment and reallocation
07/27/2016
$
(222,543)
$
249,891,767 Updated due to quarterly assessment and reallocation
09/15/2016
$
(20,000)
$
249,871,767 Transfer of cap due to servicing transfer
09/28/2016
$
4,024,610
$
253,896,377 Updated due to quarterly assessment and reallocation
10/25/2016
$
8,810,705
$
262,707,082 Updated due to quarterly assessment and reallocation
-
$
262,707,082 Updated due to quarterly assessment and reallocation
11/07/2016
05/16/2016
Adjusted CAP
11/16/2016
$
(20,000)
$
262,687,082 Transfer of cap due to servicing transfer
11/29/2016
$
(86,756)
$
262,600,326 Updated due to quarterly assessment and reallocation
12/15/2016
$
(20,000)
$
262,580,326 Transfer of cap due to servicing transfer
12/27/2016
$
(13,293)
$
262,567,033 Transfer of cap due to servicing transfer
02/27/2017
$
(294,444)
$
262,272,589 Transfer of cap due to servicing transfer
04/26/2017
$
(18,958)
$
262,253,631 Transfer of cap due to servicing transfer
06/26/2017
$
(141,746)
$
262,111,885 Transfer of cap due to servicing transfer
07/26/2017
$
(4,548)
$
262,107,337 Transfer of cap due to servicing transfer
09/26/2017
$
(95,368)
$
262,011,969 Transfer of cap due to servicing transfer
10/26/2017
$
(136,252)
$
261,875,717 Transfer of cap due to servicing transfer
12/21/2017
$
(161,622)
$
261,714,095 Transfer of cap due to servicing transfer
02/26/2018
$
(8,326)
$
261,705,769 Transfer of cap due to servicing transfer
03/22/2018
$
(17,622)
$
261,688,147 Transfer of cap due to servicing transfer
04/25/2018
$
(54,905)
$
261,633,242 Transfer of cap due to servicing transfer
06/21/2018
$
(18,061)
$
261,615,181 Transfer of cap due to servicing transfer
07/26/2018
$
(35,408,064)
$
226,207,117 Reallocation due to MHA program deobligation
05/16/2016
$
590,000
$
590,000 Transfer of cap due to servicing transfer
05/31/2016
$
(5,854)
$
584,146 Updated due to quarterly assessment and reallocation
06/16/2016
$
(554,145)
$
30,001 Transfer of cap due to servicing transfer
07/14/2016
$
520,000
$
550,001 Transfer of cap due to servicing transfer
07/27/2016
$
89,907
$
639,908 Updated due to quarterly assessment and reallocation
09/28/2016
$
(5,146)
$
634,762 Updated due to quarterly assessment and reallocation
10/25/2016
$
(4,862)
$
629,900 Updated due to quarterly assessment and reallocation
11/07/2016
$
1,874
$
631,774 Updated due to quarterly assessment and reallocation
11/29/2016
$
(302)
$
631,472 Updated due to quarterly assessment and reallocation
12/27/2016
$
(56)
$
631,416 Transfer of cap due to servicing transfer
02/27/2017
$
(1,228)
$
630,188 Transfer of cap due to servicing transfer
04/26/2017
$
(81)
$
630,107 Transfer of cap due to servicing transfer
06/26/2017
$
(691)
$
629,416 Transfer of cap due to servicing transfer
07/26/2017
$
(21)
$
629,395 Transfer of cap due to servicing transfer
09/26/2017
$
(13,696)
$
615,699 Transfer of cap due to servicing transfer
10/26/2017
$
(1,708)
$
613,991 Transfer of cap due to servicing transfer
12/21/2017
$
(1,789)
$
612,202 Transfer of cap due to servicing transfer
02/26/2018
$
(173)
$
612,029 Transfer of cap due to servicing transfer
03/22/2018
$
(564)
$
611,465 Transfer of cap due to servicing transfer
04/25/2018
$
(1,123)
$
610,342 Transfer of cap due to servicing transfer
06/21/2018
$
(214)
$
07/26/2018
$
(91,668)
$
518,460 Reallocation due to MHA program deobligation
03/26/2010
$
160,000
$
700,000 Updated portfolio data from servicer
09/30/2010
$
25,278
$
725,278 Updated portfolio data from servicer
01/06/2011
$
(1)
$
725,277 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
725,276 Updated due to quarterly assessment and reallocation
06/29/2011
$
(11)
$
725,265 Updated due to quarterly assessment and reallocation
06/28/2012
$
(8)
$
725,257 Updated due to quarterly assessment and reallocation
09/27/2012
$
(22)
$
725,235 Updated due to quarterly assessment and reallocation
12/27/2012
$
(4)
$
725,231 Updated due to quarterly assessment and reallocation
03/25/2013
$
(14)
$
725,217 Updated due to quarterly assessment and reallocation
06/27/2013
$
(5)
$
725,212 Updated due to quarterly assessment and reallocation
09/27/2013
$
(2)
$
725,210 Updated due to quarterly assessment and reallocation
12/23/2013
$
(3,221)
$
721,989 Updated due to quarterly assessment and reallocation
03/26/2014
$
(113)
$
721,876 Updated due to quarterly assessment and reallocation
610,128 Transfer of cap due to servicing transfer
149
Servicer Modifying Borrowers' Loans
Date
10/21/2009
Name of Institution
United Bank Mortgage Corporation
City
Grand Rapids
Adjustment Details
State
MI
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Pricing
Mechanism
410,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
06/26/2014
$
(1,337)
$
720,539 Updated due to quarterly assessment and reallocation
07/29/2014
$
(2,655)
$
717,884 Updated due to quarterly assessment and reallocation
09/29/2014
$
(877)
$
717,007 Updated due to quarterly assessment and reallocation
12/29/2014
$
(106,224)
$
610,783 Updated due to quarterly assessment and reallocation
03/26/2015
$
(39,949)
$
570,834 Updated due to quarterly assessment and reallocation
04/28/2015
$
(20,140)
$
550,694 Updated due to quarterly assessment and reallocation
06/25/2015
$
(5,521)
$
545,173 Updated due to quarterly assessment and reallocation
09/28/2015
$
(14,152)
$
531,021 Updated due to quarterly assessment and reallocation
12/28/2015
$
(10,474)
$
520,547 Updated due to quarterly assessment and reallocation
02/25/2016
$
(58,322)
$
462,225 Reallocation due to MHA program deobligation
03/28/2016
$
(1,682)
$
460,543 Updated due to quarterly assessment and reallocation
05/31/2016
$
(14,408)
$
446,135 Updated due to quarterly assessment and reallocation
06/27/2016
$
(8,607)
$
437,528 Updated due to quarterly assessment and reallocation
07/27/2016
$
(9,730)
$
427,798 Updated due to quarterly assessment and reallocation
09/28/2016
$
(24,281)
$
403,517 Updated due to quarterly assessment and reallocation
10/25/2016
$
(30,722)
$
372,795 Updated due to quarterly assessment and reallocation
11/07/2016
$
11,845
$
384,640 Updated due to quarterly assessment and reallocation
11/29/2016
$
(365)
$
384,275 Updated due to quarterly assessment and reallocation
12/27/2016
$
(62)
$
384,213 Transfer of cap due to servicing transfer
02/27/2017
$
(1,082)
$
383,131 Transfer of cap due to servicing transfer
04/26/2017
$
(86)
$
383,045 Transfer of cap due to servicing transfer
06/26/2017
$
(781)
$
382,264 Transfer of cap due to servicing transfer
07/26/2017
$
(39)
$
382,225 Transfer of cap due to servicing transfer
09/26/2017
$
(56,705)
$
325,520 Transfer of cap due to servicing transfer
10/26/2017
$
(7,032)
$
318,488 Transfer of cap due to servicing transfer
12/21/2017
$
(7,952)
$
310,536 Transfer of cap due to servicing transfer
02/26/2018
$
(386)
$
310,150 Transfer of cap due to servicing transfer
03/22/2018
$
(1,259)
$
308,891 Transfer of cap due to servicing transfer
04/25/2018
$
(2,489)
$
306,402 Transfer of cap due to servicing transfer
06/21/2018
$
(510)
$
305,892 Transfer of cap due to servicing transfer
07/26/2018
$
(87,468)
$
218,424 Reallocation due to MHA program deobligation
01/22/2010
$
20,000
$
430,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
400,000
$
830,000 Updated portfolio data from servicer
07/14/2010
$
(430,000)
$
400,000 Updated portfolio data from servicer
09/30/2010
$
180,222
$
580,222 Updated portfolio data from servicer
01/06/2011
$
(1)
$
580,221 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
580,220 Updated due to quarterly assessment and reallocation
06/29/2011
$
(5)
$
580,215 Updated due to quarterly assessment and reallocation
06/28/2012
$
(4)
$
580,211 Updated due to quarterly assessment and reallocation
09/27/2012
$
(11)
$
580,200 Updated due to quarterly assessment and reallocation
12/27/2012
$
(2)
$
580,198 Updated due to quarterly assessment and reallocation
03/25/2013
$
(7)
$
580,191 Updated due to quarterly assessment and reallocation
06/27/2013
$
(2)
$
580,189 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
580,188 Updated due to quarterly assessment and reallocation
12/23/2013
$
(1,471)
$
578,717 Updated due to quarterly assessment and reallocation
03/26/2014
$
(52)
$
578,665 Updated due to quarterly assessment and reallocation
06/26/2014
$
(613)
$
578,052 Updated due to quarterly assessment and reallocation
07/29/2014
$
(1,217)
$
576,835 Updated due to quarterly assessment and reallocation
09/29/2014
$
(403)
$
576,432 Updated due to quarterly assessment and reallocation
12/29/2014
$
(33,790)
$
542,642 Updated due to quarterly assessment and reallocation
03/26/2015
$
(12,708)
$
529,934 Updated due to quarterly assessment and reallocation
04/28/2015
$
(10,375)
$
519,559 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,461)
$
517,098 Updated due to quarterly assessment and reallocation
09/28/2015
$
(5,546)
$
511,552 Updated due to quarterly assessment and reallocation
12/28/2015
$
(4,104)
$
507,448 Updated due to quarterly assessment and reallocation
02/25/2016
$
(27,664)
$
479,784 Reallocation due to MHA program deobligation
03/28/2016
$
(578)
$
479,206 Updated due to quarterly assessment and reallocation
05/31/2016
$
(4,523)
$
474,683 Updated due to quarterly assessment and reallocation
06/27/2016
$
(2,702)
$
471,981 Updated due to quarterly assessment and reallocation
07/27/2016
$
(2,702)
$
469,279 Updated due to quarterly assessment and reallocation
09/28/2016
$
(4,726)
$
464,553 Updated due to quarterly assessment and reallocation
10/25/2016
$
(4,466)
$
460,087 Updated due to quarterly assessment and reallocation
11/07/2016
$
1,722
$
461,809 Updated due to quarterly assessment and reallocation
11/29/2016
$
(227)
$
461,582 Updated due to quarterly assessment and reallocation
12/27/2016
$
(35)
$
461,547 Transfer of cap due to servicing transfer
02/27/2017
$
(601)
$
460,946 Transfer of cap due to servicing transfer
04/26/2017
$
(39)
$
460,907 Transfer of cap due to servicing transfer
06/26/2017
$
(303)
$
460,604 Transfer of cap due to servicing transfer
07/26/2017
$
(9)
$
460,595 Transfer of cap due to servicing transfer
09/26/2017
$
(1,197)
$
459,398 Transfer of cap due to servicing transfer
10/26/2017
$
(148)
$
459,250 Transfer of cap due to servicing transfer
12/21/2017
$
(155)
$
459,095 Transfer of cap due to servicing transfer
02/26/2018
$
(8)
$
459,087 Transfer of cap due to servicing transfer
150
Servicer Modifying Borrowers' Loans
Date
09/30/2010
04/13/2011
12/11/2009
05/16/2013
03/10/2010
Name of Institution
University First Federal Credit Union
Urban Partnership Bank
Verity Credit Union
ViewPoint Bank
VIST Financial Corp
City
Salt Lake City
Chicago
Seattle
Plano
Wyomissing
Adjustment Details
State
UT
IL
WA
TX
PA
Transaction
Type
Purchase
Purchase
Purchase
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
3
600,000 N/A
- N/A
$
Note
600,000 N/A
- N/A
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
300,000 N/A
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
03/22/2018
$
(24)
$
459,063 Transfer of cap due to servicing transfer
04/25/2018
$
(48)
$
459,015 Transfer of cap due to servicing transfer
06/21/2018
$
(9)
$
459,006 Transfer of cap due to servicing transfer
07/26/2018
$
(58,969)
$
400,037 Reallocation due to MHA program deobligation
09/30/2010
$
270,334
$
870,334 Updated portfolio data from servicer
01/06/2011
$
(1)
02/17/2011
$
(870,333)
04/13/2011
$
1,000,000
$
1,000,000 Transfer of cap due to servicing transfer
06/29/2011
$
233,268
$
1,233,268 Updated due to quarterly assessment and reallocation
11/16/2011
$
100,000
$
1,333,268 Transfer of cap due to servicing transfer
06/28/2012
$
(3)
$
1,333,265 Updated due to quarterly assessment and reallocation
09/27/2012
$
(10)
$
1,333,255 Updated due to quarterly assessment and reallocation
12/27/2012
$
(2)
$
1,333,253 Updated due to quarterly assessment and reallocation
03/25/2013
$
(7)
$
1,333,246 Updated due to quarterly assessment and reallocation
06/27/2013
$
(3)
$
1,333,243 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
1,333,242 Updated due to quarterly assessment and reallocation
12/23/2013
$
(1,744)
$
1,331,498 Updated due to quarterly assessment and reallocation
03/26/2014
$
(62)
$
1,331,436 Updated due to quarterly assessment and reallocation
06/26/2014
$
(735)
$
1,330,701 Updated due to quarterly assessment and reallocation
07/29/2014
$
(1,463)
$
09/29/2014
$
(498)
$
1,328,740 Updated due to quarterly assessment and reallocation
12/29/2014
$
(12,100)
$
1,316,640 Updated due to quarterly assessment and reallocation
03/26/2015
$
(5,115)
$
1,311,525 Updated due to quarterly assessment and reallocation
04/28/2015
$
(23,199)
$
1,288,326 Updated due to quarterly assessment and reallocation
06/25/2015
$
(5,527)
$
1,282,799 Updated due to quarterly assessment and reallocation
09/28/2015
$
(9,641)
$
1,273,158 Updated due to quarterly assessment and reallocation
12/28/2015
$
(7,135)
$
1,266,023 Updated due to quarterly assessment and reallocation
02/25/2016
$
(60,672)
$
1,205,351 Reallocation due to MHA program deobligation
03/28/2016
$
(1,267)
$
1,204,084 Updated due to quarterly assessment and reallocation
05/31/2016
$
(9,920)
$
1,194,164 Updated due to quarterly assessment and reallocation
06/27/2016
$
(5,926)
$
1,188,238 Updated due to quarterly assessment and reallocation
07/14/2016
$
(60,000)
$
1,128,238 Transfer of cap due to servicing transfer
07/27/2016
$
(2,341)
$
1,125,897 Updated due to quarterly assessment and reallocation
09/28/2016
$
(4,094)
$
1,121,803 Updated due to quarterly assessment and reallocation
10/25/2016
$
(3,868)
$
1,117,935 Updated due to quarterly assessment and reallocation
11/07/2016
$
1,491
$
1,119,426 Updated due to quarterly assessment and reallocation
11/29/2016
$
(504)
$
1,118,922 Updated due to quarterly assessment and reallocation
12/27/2016
$
(77)
$
1,118,845 Transfer of cap due to servicing transfer
02/27/2017
$
(1,336)
$
1,117,509 Transfer of cap due to servicing transfer
04/26/2017
$
(88)
$
1,117,421 Transfer of cap due to servicing transfer
06/26/2017
$
(673)
$
1,116,748 Transfer of cap due to servicing transfer
07/26/2017
$
(20)
$
1,116,728 Transfer of cap due to servicing transfer
09/26/2017
$
(332)
$
1,116,396 Transfer of cap due to servicing transfer
10/26/2017
$
(41)
$
1,116,355 Transfer of cap due to servicing transfer
12/21/2017
$
(43)
$
1,116,312 Transfer of cap due to servicing transfer
02/26/2018
$
(2)
$
1,116,310 Transfer of cap due to servicing transfer
03/22/2018
$
(7)
$
1,116,303 Transfer of cap due to servicing transfer
04/25/2018
$
(13)
$
1,116,290 Transfer of cap due to servicing transfer
06/21/2018
$
(3)
$
1,116,287 Transfer of cap due to servicing transfer
07/26/2018
$
(141,542)
$
974,745 Reallocation due to MHA program deobligation
01/22/2010
$
30,000
$
630,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
400,000
$
1,030,000 Updated portfolio data from servicer
07/14/2010
$
(330,000)
$
700,000 Updated portfolio data from servicer
09/30/2010
$
25,278
$
725,278 Updated portfolio data from servicer
01/06/2011
$
(1)
$
725,277 Updated due to quarterly assessment and reallocation
02/17/2011
$
(725,277)
05/16/2013
$
50,000
$
50,000 Transfer of cap due to servicing transfer
12/16/2013
$
10,000
$
60,000 Transfer of cap due to servicing transfer
07/14/2010
$
400,000
$
700,000 Updated portfolio data from servicer
09/30/2010
$
25,278
$
725,278 Updated portfolio data from servicer
01/06/2011
$
(1)
$
725,277 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
725,276 Updated due to quarterly assessment and reallocation
06/29/2011
$
(11)
$
725,265 Updated due to quarterly assessment and reallocation
06/28/2012
$
(8)
$
725,257 Updated due to quarterly assessment and reallocation
09/27/2012
$
(22)
$
725,235 Updated due to quarterly assessment and reallocation
12/27/2012
$
(4)
$
725,231 Updated due to quarterly assessment and reallocation
03/25/2013
$
(14)
$
725,217 Updated due to quarterly assessment and reallocation
06/27/2013
$
(5)
$
725,212 Updated due to quarterly assessment and reallocation
09/27/2013
$
(2)
$
725,210 Updated due to quarterly assessment and reallocation
12/23/2013
$
(3,221)
$
721,989 Updated due to quarterly assessment and reallocation
03/26/2014
$
(113)
$
721,876 Updated due to quarterly assessment and reallocation
04/23/2014
$
(721,876)
$
870,333 Updated due to quarterly assessment and reallocation
- Termination of SPA
1,329,238 Updated due to quarterly assessment and reallocation
- Termination of SPA
- Termination of SPA
151
Servicer Modifying Borrowers' Loans
Date
07/29/2009
07/01/2009
Name of Institution
Wachovia Bank, N.A.
Wachovia Mortgage, FSB
City
Charlotte
Des Moines
Adjustment Details
State
NC
IA
Transaction
Type
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
04/14/2016
WALLICK AND VOLK
Cheyenne
WY
Purchase
Financial Instrument for Home Loan Modifications
04/14/2010
Wealthbridge Mortgage Corp
Beaverton
OR
Purchase
Financial Instrument for Home Loan Modifications
12/16/2014
Webster Bank, N.A.
Cheshire
CT
Purchase
Financial Instrument for Home Loan Modifications
02/13/2015
Webster First Federal Credit Union
Worcester
MA
Purchase
Financial Instrument for Home Loan Modifications
04/13/2009
Wells Fargo Bank, NA
Des Moines
IA
Purchase
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
$
Pricing
Mechanism
85,020,000 N/A
634,010,000 N/A
- N/A
$
$
Note
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
09/30/2009
$
(37,700,000)
$
47,320,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
26,160,000
$
73,480,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
9,820,000
$
83,300,000 Updated portfolio data from servicer
07/14/2010
$
(46,200,000)
$
37,100,000 Updated portfolio data from servicer
09/30/2010
$
(28,686,775)
$
12/03/2010
$
(8,413,225)
09/30/2009
$
723,880,000
$
1,357,890,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
2,050,530,000 Updated portfolio data from servicer/additional program initial cap
8,413,225 Updated portfolio data from servicer
- Termination of SPA
$
692,640,000
$
02/17/2010
$
(2,050,236,344)
$
293,656 Transfer of cap due to merger/acquisition
2
03/12/2010
$
(54,767)
$
238,890 Termination of SPA
3
04/14/2016
$
30,000
$
07/14/2010
$
(150,000)
$
6,400,000 Updated portfolio data from servicer
09/15/2010
$
1,600,000
$
8,000,000 Transfer of cap due to servicing transfer
09/30/2010
$
(4,352,173)
$
3,647,827 Updated portfolio data from servicer
01/06/2011
$
(5)
$
3,647,822 Updated due to quarterly assessment and reallocation
03/30/2011
$
(6)
$
3,647,816 Updated due to quarterly assessment and reallocation
04/13/2011
$
(3,000,000)
$
647,816 Transfer of cap due to servicing transfer
06/29/2011
$
(9)
$
647,807 Updated due to quarterly assessment and reallocation
06/28/2012
$
(7)
$
647,800 Updated due to quarterly assessment and reallocation
09/27/2012
$
(19)
$
647,781 Updated due to quarterly assessment and reallocation
12/27/2012
$
(3)
$
647,778 Updated due to quarterly assessment and reallocation
03/25/2013
$
(12)
$
647,766 Updated due to quarterly assessment and reallocation
06/27/2013
$
(5)
$
647,761 Updated due to quarterly assessment and reallocation
09/27/2013
$
(2)
$
647,759 Updated due to quarterly assessment and reallocation
12/23/2013
$
(2,822)
$
644,937 Updated due to quarterly assessment and reallocation
02/27/2014
$
(644,937)
12/16/2014
$
10,000
12/29/2014
$
02/13/2015
$
20,000
$
06/17/2009
$
(462,990,000)
$
2,410,010,000 Updated portfolio data from servicer
09/30/2009
$
65,070,000
$
2,475,080,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
1,213,310,000
$
3,688,390,000 Updated portfolio data from servicer/additional program initial cap
02/17/2010
$
2,050,236,344
$
5,738,626,344 Transfer of cap due to merger/acquisition
03/12/2010
$
54,767
$
5,738,681,110 Transfer of cap due to merger/acquisition
03/19/2010
$
668,108,890
$
6,406,790,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
683,130,000
$
7,089,920,000 Updated portfolio data from servicer
07/14/2010
$
(2,038,220,000)
$
5,051,700,000 Updated portfolio data from servicer
09/30/2010
$
(287,348,828)
$
4,764,351,172 Updated portfolio data from servicer
09/30/2010
$
344,000,000
$
5,108,351,172 Updated portfolio data from servicer/additional program initial cap
12/03/2010
$
8,413,225
$
5,116,764,397 Transfer of cap due to merger/acquisition
12/15/2010
$
22,200,000
$
5,138,964,397 Transfer of cap due to servicing transfer
01/06/2011
$
(6,312)
$
5,138,958,085 Updated due to quarterly assessment and reallocation
01/13/2011
$
(100,000)
$
5,138,858,085 Transfer of cap due to servicing transfer
03/16/2011
$
(100,000)
$
5,138,758,085 Transfer of cap due to servicing transfer
03/30/2011
$
(7,171)
$
5,138,750,914 Updated due to quarterly assessment and reallocation
04/13/2011
$
(9,800,000)
$
5,128,950,914 Transfer of cap due to servicing transfer
05/13/2011
$
100,000
$
5,129,050,914 Transfer of cap due to servicing transfer
06/16/2011
$
(600,000)
$
5,128,450,914 Transfer of cap due to servicing transfer
06/29/2011
$
(63,856)
$
5,128,387,058 Updated due to quarterly assessment and reallocation
07/14/2011
$
(2,300,000)
$
5,126,087,058 Transfer of cap due to servicing transfer
08/16/2011
$
(1,100,000)
$
5,124,987,058 Transfer of cap due to servicing transfer
09/15/2011
$
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
01/13/2012
$
(300,000)
$
5,125,887,058 Transfer of cap due to servicing transfer
02/16/2012
$
(200,000)
$
5,125,687,058 Transfer of cap due to servicing transfer
03/15/2012
$
(1,000,000)
$
5,124,687,058 Transfer of cap due to servicing transfer
04/16/2012
$
(800,000)
$
5,123,887,058 Transfer of cap due to servicing transfer
05/16/2012
$
(610,000)
$
5,123,277,058 Transfer of cap due to servicing transfer
06/14/2012
$
(2,040,000)
$
5,121,237,058 Transfer of cap due to servicing transfer
06/28/2012
$
(39,923)
$
5,121,197,135 Updated due to quarterly assessment and reallocation
08/16/2012
$
(120,000)
$
5,121,077,135 Transfer of cap due to servicing transfer
09/27/2012
$
(104,111)
$
5,120,973,024 Updated due to quarterly assessment and reallocation
10/16/2012
$
(1,590,000)
$
5,119,383,024 Transfer of cap due to servicing transfer
11/15/2012
$
(2,910,000)
$
5,116,473,024 Transfer of cap due to servicing transfer
12/14/2012
$
(1,150,000)
$
5,115,323,024 Transfer of cap due to servicing transfer
12/27/2012
$
(16,392)
$
5,115,306,632 Updated due to quarterly assessment and reallocation
01/16/2013
$
(3,350,000)
$
5,111,956,632 Transfer of cap due to servicing transfer
02/14/2013
$
(820,000)
$
5,111,136,632 Transfer of cap due to servicing transfer
03/14/2013
$
(270,000)
$
5,110,866,632 Transfer of cap due to servicing transfer
03/25/2013
$
(58,709)
$
5,110,807,923 Updated due to quarterly assessment and reallocation
04/16/2013
$
(40,000)
$
5,110,767,923 Transfer of cap due to servicing transfer
6,550,000 N/A
- N/A
3
- N/A
3
2,873,000,000 N/A
Adjustment
Date
6,250
30,000 Transfer of cap due to servicing transfer
- Termination of SPA
$
$
10,000 Transfer of cap due to servicing transfer
16,250 Updated due to quarterly assessment and reallocation
20,000 Transfer of cap due to servicing transfer
152
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
05/16/2013
$
(5,320,000)
$
5,105,447,923 Transfer of cap due to servicing transfer
06/14/2013
$
(1,260,000)
$
5,104,187,923 Transfer of cap due to servicing transfer
06/27/2013
$
(20,596)
$
5,104,167,327 Updated due to quarterly assessment and reallocation
07/16/2013
$
(1,200,000)
$
5,102,967,327 Transfer of cap due to servicing transfer
08/15/2013
$
(30,000)
$
5,102,937,327 Transfer of cap due to servicing transfer
09/16/2013
$
(10,760,000)
$
5,092,177,327 Transfer of cap due to servicing transfer
09/27/2013
$
(6,701)
$
5,092,170,626 Updated due to quarterly assessment and reallocation
10/15/2013
$
(780,000)
$
5,091,390,626 Transfer of cap due to servicing transfer
11/14/2013
$
(60,000)
$
5,091,330,626 Transfer of cap due to servicing transfer
12/16/2013
$
(860,000)
$
5,090,470,626 Transfer of cap due to servicing transfer
12/23/2013
$
(10,569,304)
$
5,079,901,322 Updated due to quarterly assessment and reallocation
01/16/2014
$
(1,990,000)
$
5,077,911,322 Transfer of cap due to servicing transfer
02/13/2014
$
(170,000)
$
5,077,741,322 Transfer of cap due to servicing transfer
03/14/2014
$
(80,000)
$
5,077,661,322 Transfer of cap due to servicing transfer
03/26/2014
$
(358,566)
$
5,077,302,756 Updated due to quarterly assessment and reallocation
04/16/2014
$
(4,560,000)
$
5,072,742,756 Transfer of cap due to servicing transfer
05/15/2014
$
(560,000)
$
5,072,182,756 Transfer of cap due to servicing transfer
06/16/2014
$
(240,000)
$
5,071,942,756 Transfer of cap due to servicing transfer
06/26/2014
$
(4,070,420)
$
5,067,872,336 Updated due to quarterly assessment and reallocation
07/16/2014
$
250,000
$
5,068,122,336 Transfer of cap due to servicing transfer
07/29/2014
$
(8,035,053)
$
5,060,087,283 Updated due to quarterly assessment and reallocation
08/14/2014
$
10,000
$
5,060,097,283 Transfer of cap due to servicing transfer
09/16/2014
$
(20,000)
$
5,060,077,283 Transfer of cap due to servicing transfer
09/29/2014
$
(2,607,017)
$
5,057,470,266 Updated due to quarterly assessment and reallocation
10/16/2014
$
(150,000)
$
5,057,320,266 Transfer of cap due to servicing transfer
11/14/2014
$
(20,000)
$
5,057,300,266 Transfer of cap due to servicing transfer
12/16/2014
$
(2,720,000)
$
5,054,580,266 Transfer of cap due to servicing transfer
12/29/2014
$
(167,572,118)
$
4,887,008,148 Updated due to quarterly assessment and reallocation
01/15/2015
$
(10,000)
$
4,886,998,148 Transfer of cap due to servicing transfer
02/13/2015
$
(40,000)
$
4,886,958,148 Transfer of cap due to servicing transfer
03/16/2015
$
(180,000)
$
4,886,778,148 Transfer of cap due to servicing transfer
03/26/2015
$
(54,309,222)
$
4,832,468,926 Updated due to quarterly assessment and reallocation
04/16/2015
$
(4,850,000)
$
4,827,618,926 Transfer of cap due to servicing transfer
04/28/2015
$
(93,632,400)
$
4,733,986,526 Updated due to quarterly assessment and reallocation
05/14/2015
$
(8,530,000)
$
4,725,456,526 Transfer of cap due to servicing transfer
06/25/2015
$
(16,983,994)
$
4,708,472,532 Updated due to quarterly assessment and reallocation
07/16/2015
$
(1,210,000)
$
4,707,262,532 Transfer of cap due to servicing transfer
08/14/2015
$
(9,870,000)
$
4,697,392,532 Transfer of cap due to servicing transfer
09/16/2015
$
(4,280,000)
$
4,693,112,532 Transfer of cap due to servicing transfer
09/28/2015
$
(12,147,919)
$
4,680,964,613 Updated due to quarterly assessment and reallocation
10/15/2015
$
(1,560,000)
$
4,679,404,613 Transfer of cap due to servicing transfer
11/16/2015
$
(2,080,000)
$
4,677,324,613 Transfer of cap due to servicing transfer
12/16/2015
$
(13,210,000)
$
4,664,114,613 Transfer of cap due to servicing transfer
12/28/2015
$
42,094,262
$
4,706,208,875 Updated due to quarterly assessment and reallocation
01/14/2016
$
(30,280,000)
$
4,675,928,875 Transfer of cap due to servicing transfer
02/16/2016
$
(620,000)
$
4,675,308,875 Transfer of cap due to servicing transfer
02/25/2016
$
(152,559,254)
$
4,522,749,621 Reallocation due to MHA program deobligation
03/16/2016
$
(620,000)
$
4,522,129,621 Transfer of cap due to servicing transfer
03/28/2016
$
(2,062,907)
$
4,520,066,714 Updated due to quarterly assessment and reallocation
04/14/2016
$
(60,000)
$
4,520,006,714 Transfer of cap due to servicing transfer
05/16/2016
$
(3,580,000)
$
4,516,426,714 Transfer of cap due to servicing transfer
05/31/2016
$
(8,187,730)
$
4,508,238,984 Updated due to quarterly assessment and reallocation
06/16/2016
$
(3,520,000)
$
4,504,718,984 Transfer of cap due to servicing transfer
06/27/2016
$
(1,375,486)
$
4,503,343,498 Updated due to quarterly assessment and reallocation
07/14/2016
$
(43,340,000)
$
4,460,003,498 Transfer of cap due to servicing transfer
07/27/2016
$
28,966,713
$
4,488,970,211 Updated due to quarterly assessment and reallocation
08/16/2016
$
20,000
$
4,488,990,211 Transfer of cap due to servicing transfer
09/15/2016
$
(880,000)
$
4,488,110,211 Transfer of cap due to servicing transfer
09/28/2016
$
23,991,528
$
4,512,101,739 Updated due to quarterly assessment and reallocation
10/14/2016
$
(14,690,000)
$
4,497,411,739 Transfer of cap due to servicing transfer
10/25/2016
$
22,469,622
$
4,519,881,361 Updated due to quarterly assessment and reallocation
-
$
4,519,881,361 Updated due to quarterly assessment and reallocation
11/16/2016
$
(24,570,000)
$
4,495,311,361 Transfer of cap due to servicing transfer
11/29/2016
$
(1,845,277)
$
4,493,466,084 Updated due to quarterly assessment and reallocation
12/15/2016
$
(13,140,000)
$
4,480,326,084 Transfer of cap due to servicing transfer
12/27/2016
$
(283,624)
$
4,480,042,460 Transfer of cap due to servicing transfer
01/13/2017
$
(1,250,000)
$
4,478,792,460 Transfer of cap due to servicing transfer
02/16/2017
$
(1,700,000)
$
4,477,092,460 Transfer of cap due to servicing transfer
02/27/2017
$
(4,987,548)
$
03/16/2017
$
(20,890,000)
$
4,451,214,912 Transfer of cap due to servicing transfer
04/26/2017
$
(344,882)
$
4,450,870,030 Transfer of cap due to servicing transfer
06/26/2017
$
(2,821,085)
$
4,448,048,945 Transfer of cap due to servicing transfer
07/26/2017
$
(89,096)
$
4,447,959,849 Transfer of cap due to servicing transfer
11/07/2016
4,472,104,912 Transfer of cap due to servicing transfer
153
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
11/16/2016
WesBanco Bank, Inc.
Wheeling
06/19/2009
Wescom Central Credit Union
Anaheim
04/13/2011
Western Federal Credit Union
Hawthorne
Adjustment Details
State
Transaction
Type
Investment Description
WV
Purchase
Financial Instrument for Home Loan Modifications
CA
Purchase
Financial Instrument for Home Loan Modifications
CA
Purchase
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Pricing
Mechanism
- N/A
$
Note
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
09/26/2017
$
(26,071,696)
$
4,421,888,153 Transfer of cap due to servicing transfer
10/26/2017
$
(4,500,837)
$
4,417,387,316 Transfer of cap due to servicing transfer
12/21/2017
$
(9,026,536)
$
4,408,360,780 Transfer of cap due to servicing transfer
02/26/2018
$
(569,510)
$
4,407,791,270 Transfer of cap due to servicing transfer
03/22/2018
$
(2,221,317)
$
4,405,569,953 Transfer of cap due to servicing transfer
04/25/2018
$
(4,672,815)
$
4,400,897,138 Transfer of cap due to servicing transfer
06/21/2018
$
(997,833)
$
4,399,899,305 Transfer of cap due to servicing transfer
07/26/2018
$
(668,969,605)
$
3,730,929,700 Reallocation due to MHA program deobligation
11/16/2016
$
20,000
$
09/30/2009
$
330,000
$
870,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
16,490,000
$
17,360,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(14,260,000)
$
3,100,000 Updated portfolio data from servicer
07/14/2010
$
(1,800,000)
$
1,300,000 Updated portfolio data from servicer
07/30/2010
$
1,500,000
$
2,800,000 Updated portfolio data from servicer
09/30/2010
$
1,551,668
$
4,351,668 Updated portfolio data from servicer
01/06/2011
$
(2)
$
4,351,666 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
4,351,664 Updated due to quarterly assessment and reallocation
05/13/2011
$
(1,800,000)
$
2,551,664 Transfer of cap due to servicing transfer
6
06/03/2011
$
(1,872,787)
$
3
06/14/2012
$
990,000
$
1,668,877 Transfer of cap due to servicing transfer
09/27/2012
$
372,177
$
2,041,054 Updated due to quarterly assessment and reallocation
12/23/2013
$
(192)
$
2,040,862 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
2,040,854 Updated due to quarterly assessment and reallocation
06/26/2014
$
(102)
$
2,040,752 Updated due to quarterly assessment and reallocation
07/29/2014
$
(207)
$
2,040,545 Updated due to quarterly assessment and reallocation
09/29/2014
$
(76)
$
2,040,469 Updated due to quarterly assessment and reallocation
12/29/2014
$
465,893
$
2,506,362 Updated due to quarterly assessment and reallocation
03/26/2015
$
(24)
$
2,506,338 Updated due to quarterly assessment and reallocation
04/28/2015
$
(2,291)
$
2,504,047 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,058)
$
2,501,989 Updated due to quarterly assessment and reallocation
09/28/2015
$
(5,008)
$
2,496,981 Updated due to quarterly assessment and reallocation
12/28/2015
$
(5,747)
$
2,491,234 Updated due to quarterly assessment and reallocation
02/25/2016
$
(97,095)
$
2,394,139 Reallocation due to MHA program deobligation
03/28/2016
$
(2,337)
$
2,391,802 Updated due to quarterly assessment and reallocation
05/31/2016
$
(19,537)
$
2,372,265 Updated due to quarterly assessment and reallocation
06/27/2016
$
(12,612)
$
2,359,653 Updated due to quarterly assessment and reallocation
07/27/2016
$
(12,616)
$
2,347,037 Updated due to quarterly assessment and reallocation
09/28/2016
$
(22,063)
$
2,324,974 Updated due to quarterly assessment and reallocation
10/25/2016
$
(20,848)
$
2,304,126 Updated due to quarterly assessment and reallocation
11/07/2016
$
8,037
$
2,312,163 Updated due to quarterly assessment and reallocation
11/29/2016
$
(1,126)
$
2,311,037 Updated due to quarterly assessment and reallocation
12/27/2016
$
(172)
$
2,310,865 Transfer of cap due to servicing transfer
02/27/2017
$
(2,982)
$
2,307,883 Transfer of cap due to servicing transfer
04/26/2017
$
(195)
$
2,307,688 Transfer of cap due to servicing transfer
06/26/2017
$
(1,503)
$
2,306,185 Transfer of cap due to servicing transfer
07/26/2017
$
(45)
$
2,306,140 Transfer of cap due to servicing transfer
09/26/2017
$
(5,434)
$
2,300,706 Transfer of cap due to servicing transfer
10/26/2017
$
(674)
$
2,300,032 Transfer of cap due to servicing transfer
12/21/2017
$
(702)
$
2,299,330 Transfer of cap due to servicing transfer
02/26/2018
$
(34)
$
2,299,296 Transfer of cap due to servicing transfer
03/22/2018
$
(111)
$
2,299,185 Transfer of cap due to servicing transfer
04/25/2018
$
(220)
$
2,298,965 Transfer of cap due to servicing transfer
06/21/2018
$
(41)
$
2,298,924 Transfer of cap due to servicing transfer
07/26/2018
$
(294,936)
$
2,003,988 Reallocation due to MHA program deobligation
04/13/2011
$
200,000
$
200,000 Transfer of cap due to servicing transfer
06/29/2011
$
17,687
$
217,687 Updated due to quarterly assessment and reallocation
09/27/2012
$
(1)
$
217,686 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
217,685 Updated due to quarterly assessment and reallocation
12/23/2013
$
(290)
$
217,395 Updated due to quarterly assessment and reallocation
03/26/2014
$
(10)
$
217,385 Updated due to quarterly assessment and reallocation
06/26/2014
$
(121)
$
217,264 Updated due to quarterly assessment and reallocation
07/29/2014
$
(240)
$
217,024 Updated due to quarterly assessment and reallocation
09/29/2014
$
(79)
$
216,945 Updated due to quarterly assessment and reallocation
12/29/2014
$
(2,081)
$
214,864 Updated due to quarterly assessment and reallocation
03/26/2015
$
(782)
$
214,082 Updated due to quarterly assessment and reallocation
04/28/2015
$
(3,084)
$
210,998 Updated due to quarterly assessment and reallocation
06/25/2015
$
(732)
$
210,266 Updated due to quarterly assessment and reallocation
09/28/2015
$
(977)
$
209,289 Updated due to quarterly assessment and reallocation
12/28/2015
$
(1,754)
$
207,535 Updated due to quarterly assessment and reallocation
02/25/2016
$
(11,517)
$
196,018 Reallocation due to MHA program deobligation
03/28/2016
$
(401)
$
195,617 Updated due to quarterly assessment and reallocation
05/31/2016
$
(3,141)
$
192,476 Updated due to quarterly assessment and reallocation
06/27/2016
$
(1,876)
$
190,600 Updated due to quarterly assessment and reallocation
3
540,000 N/A
- N/A
Adjustment
Date
3
20,000 Transfer of cap due to servicing transfer
678,877 Termination of SPA
154
Servicer Modifying Borrowers' Loans
Date
09/30/2010
04/20/2009
Name of Institution
Weststar Mortgage, Inc.
Wilshire Credit Corporation
City
Woodbridge
Beaverton
Adjustment Details
State
VA
OR
Transaction
Type
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
$
$
Pricing
Mechanism
Note
100,000 N/A
366,000,000 N/A
7
09/23/2009
Yadkin Valley Bank
Elkin
NC
Purchase
Financial Instrument for Home Loan Modifications
$
240,000 N/A
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
07/27/2016
$
(1,877)
$
188,723 Updated due to quarterly assessment and reallocation
09/28/2016
$
(3,282)
$
185,441 Updated due to quarterly assessment and reallocation
10/25/2016
$
(3,101)
$
182,340 Updated due to quarterly assessment and reallocation
11/07/2016
$
1,195
$
183,535 Updated due to quarterly assessment and reallocation
11/29/2016
$
(99)
$
183,436 Updated due to quarterly assessment and reallocation
12/27/2016
$
(15)
$
183,421 Transfer of cap due to servicing transfer
02/27/2017
$
(262)
$
183,159 Transfer of cap due to servicing transfer
04/26/2017
$
(17)
$
183,142 Transfer of cap due to servicing transfer
06/26/2017
$
(132)
$
183,010 Transfer of cap due to servicing transfer
07/26/2017
$
(4)
$
183,006 Transfer of cap due to servicing transfer
09/26/2017
$
(965)
$
182,041 Transfer of cap due to servicing transfer
10/26/2017
$
(120)
$
181,921 Transfer of cap due to servicing transfer
12/21/2017
$
(125)
$
181,796 Transfer of cap due to servicing transfer
02/26/2018
$
(6)
$
181,790 Transfer of cap due to servicing transfer
03/22/2018
$
(20)
$
181,770 Transfer of cap due to servicing transfer
04/25/2018
$
(39)
$
181,731 Transfer of cap due to servicing transfer
06/21/2018
$
(7)
$
181,724 Transfer of cap due to servicing transfer
07/26/2018
$
(23,702)
$
158,022 Reallocation due to MHA program deobligation
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
03/26/2015
$
(2,879)
$
133,928 Updated due to quarterly assessment and reallocation
04/28/2015
$
(11,347)
$
122,581 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,691)
$
119,890 Updated due to quarterly assessment and reallocation
09/28/2015
$
(3,595)
$
116,295 Updated due to quarterly assessment and reallocation
12/28/2015
$
(2,660)
$
113,635 Updated due to quarterly assessment and reallocation
02/25/2016
$
(7,597)
$
106,038 Reallocation due to MHA program deobligation
03/28/2016
$
(159)
$
105,879 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,242)
$
104,637 Updated due to quarterly assessment and reallocation
06/27/2016
$
(742)
$
103,895 Updated due to quarterly assessment and reallocation
07/27/2016
$
(742)
$
103,153 Updated due to quarterly assessment and reallocation
09/28/2016
$
(1,298)
$
101,855 Updated due to quarterly assessment and reallocation
10/25/2016
$
(1,226)
$
100,629 Updated due to quarterly assessment and reallocation
11/07/2016
$
472
$
101,101 Updated due to quarterly assessment and reallocation
11/29/2016
$
(8)
$
101,093 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1)
$
101,092 Transfer of cap due to servicing transfer
02/27/2017
$
(22)
$
101,070 Transfer of cap due to servicing transfer
04/26/2017
$
(1)
$
101,069 Transfer of cap due to servicing transfer
06/26/2017
$
(11)
$
101,058 Transfer of cap due to servicing transfer
09/26/2017
$
(453)
$
100,605 Transfer of cap due to servicing transfer
10/26/2017
$
(56)
$
100,549 Transfer of cap due to servicing transfer
12/21/2017
$
(58)
$
100,491 Transfer of cap due to servicing transfer
02/26/2018
$
(3)
$
100,488 Transfer of cap due to servicing transfer
03/22/2018
$
(9)
$
100,479 Transfer of cap due to servicing transfer
04/25/2018
$
(18)
$
100,461 Transfer of cap due to servicing transfer
06/21/2018
$
(3)
$
07/26/2018
$
(386)
$
06/12/2009
$
87,130,000
$
453,130,000 Updated portfolio data from servicer
09/30/2009
$
(249,670,000)
$
203,460,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
119,700,000
$
323,160,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
52,270,000
$
375,430,000 Updated portfolio data from servicer
04/19/2010
$
(10,280,000)
$
365,150,000 Transfer of cap due to servicing transfer
05/14/2010
$
(1,880,000)
$
363,270,000 Transfer of cap due to servicing transfer
06/16/2010
$
(286,510,000)
$
76,760,000 Transfer of cap due to servicing transfer
07/14/2010
$
19,540,000
$
96,300,000 Updated portfolio data from servicer
07/16/2010
$
(210,000)
$
96,090,000 Transfer of cap due to servicing transfer
08/13/2010
$
(100,000)
$
09/30/2010
$
68,565,782
$
164,555,782 Updated portfolio data from servicer
01/06/2011
$
(247)
$
164,555,535 Updated due to quarterly assessment and reallocation
03/30/2011
$
(294)
$
164,555,241 Updated due to quarterly assessment and reallocation
06/29/2011
$
(2,779)
$
164,552,462 Updated due to quarterly assessment and reallocation
10/19/2011
$
(162,895,068)
$
10/02/2009
$
60,000
$
12/30/2009
$
350,000
$
03/26/2010
$
1,360,000
$
100,458 Transfer of cap due to servicing transfer
100,072 Reallocation due to MHA program deobligation
95,990,000 Transfer of cap due to servicing transfer
1,657,394 Termination of SPA
300,000 Updated portfolio data from servicer/additional program initial cap
650,000 Updated portfolio data from servicer/additional program initial cap
2,010,000 Updated portfolio data from servicer
155
Servicer Modifying Borrowers' Loans
Name of Institution
Date
09/15/2016
ZB, N.A.
City
Salt Lake City
Adjustment Details
State
UT
Transaction
Type
Purchase
Investment Description
Cap of Incentive Payments on Behalf of
Borrowers and to Servicers &
Lenders/Investors (Cap) *
Financial Instrument for Home Loan Modifications
Total Initial CAP
Pricing
Mechanism
- N/A
$
23,831,570,005
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
07/14/2010
$
(1,810,000)
$
200,000 Updated portfolio data from servicer
09/30/2010
$
235,167
$
435,167 Updated portfolio data from servicer
01/06/2011
$
(1)
$
435,166 Updated due to quarterly assessment and reallocation
06/29/2011
$
(4)
$
435,162 Updated due to quarterly assessment and reallocation
06/28/2012
$
(3)
$
435,159 Updated due to quarterly assessment and reallocation
09/27/2012
$
(7)
$
435,152 Updated due to quarterly assessment and reallocation
12/27/2012
$
(1)
$
435,151 Updated due to quarterly assessment and reallocation
03/25/2013
$
(5)
$
435,146 Updated due to quarterly assessment and reallocation
06/27/2013
$
(2)
$
435,144 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
435,143 Updated due to quarterly assessment and reallocation
12/23/2013
$
(1,174)
$
433,969 Updated due to quarterly assessment and reallocation
03/26/2014
$
(43)
$
433,926 Updated due to quarterly assessment and reallocation
06/26/2014
$
(507)
$
433,419 Updated due to quarterly assessment and reallocation
07/29/2014
$
(1,008)
$
432,411 Updated due to quarterly assessment and reallocation
09/29/2014
$
(333)
$
432,078 Updated due to quarterly assessment and reallocation
12/29/2014
$
(33,311)
$
398,767 Updated due to quarterly assessment and reallocation
03/26/2015
$
(12,544)
$
386,223 Updated due to quarterly assessment and reallocation
04/28/2015
$
(50,158)
$
336,065 Updated due to quarterly assessment and reallocation
06/25/2015
$
(8,455)
$
327,610 Updated due to quarterly assessment and reallocation
09/28/2015
$
(11,549)
$
316,061 Updated due to quarterly assessment and reallocation
12/28/2015
$
(9,568)
$
306,493 Updated due to quarterly assessment and reallocation
02/25/2016
$
(48,871)
$
257,622 Reallocation due to MHA program deobligation
03/28/2016
$
(1,021)
$
256,601 Updated due to quarterly assessment and reallocation
05/31/2016
$
(6,747)
$
249,854 Updated due to quarterly assessment and reallocation
06/27/2016
$
(4,031)
$
245,823 Updated due to quarterly assessment and reallocation
07/27/2016
$
(6,273)
$
239,550 Updated due to quarterly assessment and reallocation
09/28/2016
$
(10,971)
$
228,579 Updated due to quarterly assessment and reallocation
10/25/2016
$
(10,367)
$
218,212 Updated due to quarterly assessment and reallocation
11/07/2016
$
3,997
$
222,209 Updated due to quarterly assessment and reallocation
11/29/2016
$
(164)
$
222,045 Updated due to quarterly assessment and reallocation
12/27/2016
$
(25)
$
222,020 Transfer of cap due to servicing transfer
02/27/2017
$
(548)
$
221,472 Transfer of cap due to servicing transfer
04/26/2017
$
(36)
$
221,436 Transfer of cap due to servicing transfer
06/26/2017
$
(277)
$
221,159 Transfer of cap due to servicing transfer
07/14/2017
$
(1)
$
221,158 Transfer of cap due to servicing transfer
07/26/2017
$
(20)
$
221,138 Transfer of cap due to servicing transfer
09/26/2017
$
(21,887)
$
199,251 Transfer of cap due to servicing transfer
10/26/2017
$
(2,714)
$
196,537 Transfer of cap due to servicing transfer
12/21/2017
$
(2,828)
$
193,709 Transfer of cap due to servicing transfer
6
01/16/2018
$
(49,223)
$
144,486 Termination of SPA
3
09/15/2016
$
20,000
$
Total CAP Adjustments
Total CAP
$
(55,552,304)
$
23,776,017,701
20,000 Transfer of cap due to servicing transfer
1/
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.
2/
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.
3/
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.
4/
On 8/27/10, an amendment was executed to reflect a change in the legal name of the institution.
5/
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.
6/
The remaining Adjusted Cap stated above represents the amount paid to servicer prior to SPA termination.
7/
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.
8/
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.
9/
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.
10/
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.
11/
As of July,3 2012, Aurora Loan Services LLC has discontinued its servicing function and sold all remaining servicing rights to Nationstar Mortgage. The remaining Adjusted Cap stated above represents the amount previously paid to Aurora Loan Services LLC, prior to ceasing servicing operations.
12/
Effective September 1, 2011 Litton Loan Servicing LP was acquired by Ocwen Financial Corporation. The remaining Adjusted Cap stated above represents the amount previously paid to Litton prior to such acquistion.
13/
In May 2010, U.S. mortgage servicing business HomEq was sold to Ocwen Loan Servicing. The remaining Adjusted Cap stated above represents the amount previously paid to HomEq prior to such sale.
14/
In December 2012, Ocwen Financial Corporation completed the acquisition of Homeward Residential, Inc. The remaining Adjusted Cap stated above represents the amount previously paid to Homeward prior to such acquisition.
Effective June, 2014, New Penn Financial LLC d/b/a Shellpoint Mortgage Servicing, a AAA servicer, completed the acquisition of Resurgent Mortgage Servicing, from Resurgent Capital Services L.P., also a AAA servicer. The Adjusted Cap of Resurgent Capital Services L.C. stated above represents the amount previously paid to Resurgent under
their AAA obligations pursuant to certain Servicer Participation Agreements prior to such acquisition.
Effective February 15, 2013, Ocwen Loan Servicing, LLC acquired certain assets of GMAC Mortgage, LLC, pursuant to a Sale Order entered in connection with the bankruptcy cases of Residential Capital, LLC and certain of its affiliated debtors.
15/
16/
* 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.
156
Supplemental Information [Not Required by EESA §114(a)]
Making Home Affordable Program
Non-GSE Incentive Payments (through July 2018)
Name of Institution
TIAA FSB
Community Credit Union of Florida
CIT Bank, N.A.
SunTrust Mortgage, Inc
Technology Credit Union
Santander Bank, N.A.
Park View Federal Savings Bank
Banner Bank
IBM Southeast Employees' Credit Union
Eastern Bank
BankUnited, N.A.
Citizens Bank, N.A.
Ameriana Bank
PHH Mortgage Corporation
Umpqua Bank
HomeStar Bank and Financial Services
Wescom Central Credit Union
RG Mortgage
New York Community Bank
Rockland Trust Company
Wilshire Credit Corporation
Idaho Housing and Finance Association
Flagstar Capital Markets Corporation
Aurora Loan Services LLC
Webster Bank, N.A.
First Mortgage Corporation
Wallick and Volk
ShoreBank
U.S. Bank National Association
Heartland Bank & Trust Company
Ditech Financial LLC
Select Portfolio Servicing, Inc.
GMAC Mortgage, LLC
Home Loan Services, Inc.
Residential Credit Solutions, Inc.
National City Bank
Guaranty Bank
Sortis Financial, Inc.
Lake National Bank
Nationstar Mortgage, LLC dba Mr. Cooper
Marix Servicing LLC
Wells Fargo Bank, N.A.
Aurora Financial Group, Inc
Litton Loan Servicing, LP
Mortgage Center LLC
Central Pacific Bank
Servis One, Inc. dba BSI Financial Services
FIRST BANK
MidFirst Bank
Saxon Mortgage Services Inc
Ocwen Loan Servicing, LLC
Carrington Mortgage Services, LLC
Fresno County Federal Credit Union
ZB, N.A.
Bank of America, N.A.
Greater Nevada LLC, dba Greater Nevada Mortgage
First Keystone Bank
M&T Bank
Guardian Mortgage Company, Inc
Borrowers
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
10,916.67
3,000.00
83,029,448.47
593,652.48
111,166.67
916.67
11,000.00
10,000.00
9,000.00
9,916.67
16,397,864.44
9,620,979.71
8,000.00
316,045.15
281,310.41
1,916.66
702,676.47
164,852.94
128,767.96
15,000.00
206,181.12
7,000.00
15,997,418.00
10,000.00
3,916.67
10,000.00
49,915.10
68,315,101.92
84,251.53
176,474,222.51
435,655,069.49
63,425,899.58
169,857.80
6,562,210.62
30,205,529.41
916.67
265,004.58
3,000.00
457,911,611.38
352,195.77
990,660,226.98
24,689.43
13,441,220.42
676,531.72
10,000.00
17,546,170.68
2,747,144.53
73,836,626.63
19,655,074.77
967,641,304.80
49,399,356.45
3,833.34
10,000.00
4,099,061.97
473,501.07
2,775.62
4,462,698.48
6,451.81
Lenders / Investors
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
10,792.44
4,631.53
255,611,911.69
452,156.14
267,244.05
27,490.77
23,936.55
23,589.08
41,030,993.14
11,026,004.86
8,749.96
170,568.67
95,909.24
5,572.90
934,521.56
227,582.28
107,588.41
490,394.10
36,680.58
41,236,849.69
8,330.60
153,906.17
67,919,657.19
50,796.42
76,731,908.17
653,993,374.60
148,796,298.28
2,440,767.73
10,872,692.73
26,129,332.64
585,281.78
3,651.45
627,428,354.46
970,196.74
1,491,381,545.52
35,353,125.99
672,622.87
15,651,330.76
3,023,756.69
5,358,377.45
41,738,413.24
2,689,010,951.72
63,147,538.56
13,204.31
17,843,110.01
249,897.59
3,423.27
2,128.27
12,322.12
Servicer
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
3,000.00
5,000.00
92,877,599.13
213,352.94
81,816.67
3,400.00
19,000.00
3,000.00
16,000.00
3,000.00
14,467,550.26
7,042,274.11
77,117.84
7,000.00
5,833.34
312,225.08
401,333.81
48,757.12
6,000.00
1,167,000.00
33,025.20
28,629,251.10
3,000.00
3,000.00
3,000.00
143,165.10
39,120,782.77
7,625.76
28,010,112.15
282,616,688.96
97,337,470.22
3,698,606.99
4,628,786.15
15,100,015.24
1,000.00
403,564.09
4,000.00
218,379,013.29
839,632.77
631,755,928.92
27,843.67
27,530,413.93
566,223.27
3,000.00
5,512,257.26
1,745,409.40
61,088,462.65
39,413,598.23
632,009,508.85
39,260,440.56
7,916.67
3,000.00
9,075,438.92
138,018.91
8,717.90
4,369,594.19
1,535.14
Total Payments to Date
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
24,709.11
12,631.53
431,518,959.29
1,259,161.56
460,227.39
31,807.44
53,936.55
13,000.00
48,589.08
12,916.67
71,896,407.84
27,689,258.68
16,749.96
563,731.66
384,219.65
13,322.90
1,949,423.11
793,769.03
285,113.49
21,000.00
1,657,394.10
275,886.90
7,000.00
85,863,518.79
13,000.00
6,916.67
21,330.60
346,986.37
175,355,541.88
142,673.71
281,216,242.83
1,372,265,133.05
309,559,668.08
6,309,232.52
22,063,689.50
71,434,877.29
1,916.67
1,253,850.45
10,651.45
1,303,718,979.13
2,162,025.28
3,113,797,701.42
52,533.10
76,324,760.34
1,915,377.86
13,000.00
38,709,758.70
7,516,310.62
140,283,466.73
100,807,086.24
4,288,661,765.37
151,807,335.57
24,954.32
13,000.00
31,017,610.90
861,417.57
14,916.79
8,834,420.94
20,309.07
157
Name of Institution
JPMorgan Chase Bank, NA
Glass City Federal Credit Union
HomEqServicing
CitiMortgage, Inc.
Homeward Residential, Inc.
Nationwide Advantage Mortgage Company
United Bank Mortgage Corporation
Citizens First National Bank
Hillsdale County National Bank
Mission Federal Credit Union
ORNL Federal Credit Union
North American Savings Bank
OwnersChoice Funding, Incorporated
FNF Servicing, Inc
LegacyTexas Bank
James B.Nutter and Company
Navy Federal Credit Union
Purdue Federal Credit Union
Banco Popular de Puerto Rico
BMO Harris Bank, N.A.
DuPage Credit Union
Oakland Municipal Credit Union
The Bryn Mawr Trust Co
Specialized Loan Servicing LLC
Sterling Savings Bank
Wachovia Mortgage, FSB
Bayview Loan Servicing LLC
Los Alamos National Bank
Georgia Housing & Finance Authority DBA State Home Mortgage
IC Federal Credit Union
PennyMac Loan Services, LLC
Franklin Savings
Bank of America, National Association
PNC Bank, National Association
Lake City Bank
Midwest Community Bank
Central Florida Educators Federal Credit Union
United Bank
Wesbanco Bank Inc.
First Financial Bank N.A.
Franklin Credit Management Corporation
MorEquity, Inc.
Scotiabank de Puerto Rico
Yadkin Valley Bank
RoundPoint Mortgage Servicing Corporation
Horicon Bank
EMC Mortgage Corporation
Allstate Mortgage Loans & Investments, Inc
Matrix Financial Services Corp.
Schools Financial Credit Union
Silver State Schools Credit Union
Resurgent Capital Services L.P.
Great Lakes Credit Union
Seneca Mortgage Servicing LLC
The Golden 1 Credit Union
Unify Financial Federal Credit Union
Mainsource Bank
Pathfinder Bank
First State Bank
Fidelity Bank
Quantum Servicing Corporation
First Merchants Bank
Iberiabank
Axiom Bank
Borrowers
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
891,808,795.62
4,000.00
177,737,431.40
51,759,481.72
7,916.67
193,772.13
27,229.56
247,549.62
235,941.01
74,465.20
25,000.00
194,146.50
21,959.30
5,000.00
148,368.32
3,399,565.04
10,000.00
3,236,218.57
682.17
74,570.70
29,316.16
91,456,735.82
385,881.14
99,340,605.65
262,044.16
2,750.00
55,250.01
15,428,041.53
1,750.00
669,229,916.09
552,853.95
46,961.79
1,000.00
523,496.75
167,916.67
4,596.60
6,750.00
348,804.37
345,841.21
1,355,278.38
50,328.61
892,431.96
27,181.80
7,569,459.20
18,448.57
20,881.45
76,583.37
40,355.90
708,326.40
63,424.35
489,752.72
1,193,401.49
56,166.68
5,000.00
13,417.47
20,000.00
32,731.68
133,393.34
5,000.00
10,000.00
Lenders / Investors
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
1,562,375,491.74
2,473.84
3,036,319.34
399,997,043.72
133,893,684.23
103,777.11
67,847.26
62,958.65
347,401.12
66,200.31
16.76
258,260.20
579.36
1,656.95
4,860,156.46
3,976.20
148,677.19
51,475.26
3,568.11
18,315.73
133,945,438.62
663,661.88
76,889.58
184,140,207.81
70,031.07
71,619.56
47,793,616.22
3,864.59
969,671,060.41
3,051,444.13
24,542.15
1,817.60
440,272.51
2,725.70
659,459.08
2,305,003.00
831,258.36
41,584.65
1,118,293.34
27,034.56
11,592,937.05
12,609.60
45,844.49
82,344.00
176,298.89
1,696,730.62
48,151.64
554,367.75
1,793,501.20
74,554.15
23,876.48
48,703.82
332,061.47
178.53
10,502.00
13,174.90
Servicer
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
554,243,943.82
6,000.00
5,272,500.00
156,572,894.08
94,837,607.23
66,578.47
46,729.55
67,400.46
153,981.25
66,661.22
1,200.00
131,729.28
10,614.99
131,611.06
2,371,403.73
4,000.00
2,700,454.40
744.18
20,442.42
6,500.00
8,435.80
53,586,049.86
404,196.69
162,000.00
56,399,510.20
66,087.67
2,000.00
42,200.00
18,527,938.24
4,000.00
487,314,510.02
880,500.00
28,196.44
2,000.00
357,526.94
6,600.00
2,757.96
1,000.00
743,023.67
1,977,320.74
417,008.60
52,572.98
677,397.71
13,169.53
16,279,383.05
8,035.81
14,400.00
39,500.00
69,189.24
797,664.52
31,443.49
357,186.68
784,217.37
22,916.67
36,506.84
6,000.00
38,448.76
179,984.09
15,000.00
1,000.00
Total Payments to Date
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
3,008,428,231.18
12,473.84
8,308,819.34
734,307,369.20
280,490,773.18
7,916.67
364,127.71
141,806.37
377,908.73
737,323.38
207,326.73
26,216.76
584,135.98
33,153.65
6,656.95
279,979.38
10,631,125.23
17,976.20
6,085,350.16
1,426.35
146,488.38
10,068.11
56,067.69
278,988,224.30
1,453,739.71
238,889.58
339,880,323.66
398,162.90
4,750.00
169,069.57
81,749,595.99
9,614.59
2,126,215,486.52
4,484,798.08
99,700.38
4,817.60
1,321,296.20
177,242.37
7,354.56
7,750.00
1,751,287.12
4,628,164.95
2,603,545.34
144,486.24
2,688,123.01
67,385.89
35,441,779.30
39,093.98
81,125.94
198,427.37
285,844.03
3,202,721.54
143,019.48
1,401,307.15
3,771,120.06
153,637.50
5,000.00
73,800.79
26,000.00
119,884.26
645,438.90
5,178.53
25,502.00
24,174.90
158
Name of Institution
Selene Finance LP
First Citizens Bank & Trust Company
New Jersey Housing and Mortgage Finance Agency
Caliber Home Loans, Inc.
Columbia Bank
Quicken Loans, Inc.
Land/Home Financial Services, Inc.
Fay Servicing, LLC
Statebridge Company, LLC
Planet Home Lending, LLC
Marsh Associates, Inc.
Urban Partnership Bank
Colorado Federal Savings Bank
FCI Lender Services, Inc.
Cheviot Savings Bank
Gregory Funding LLC
Rushmore Loan Management Services LLC
Kondaur Capital Corporation
LenderLive Network, Inc
Home Servicing, LLC
Ally Bank
21st Mortgage Corporation
Plaza Home Mortgage, Inc
SN Servicing Corporation
Bridgelock Capital dba Peak Loan Servicing
Desjardins Bank
First National Bank of Pennsylvania
California Housing Finance Agency
Florida Community Bank, NA
Mortgage Investors Group
New Penn Financial, LLC dba Shellpoint Mortgage Servicing
Apex Bank
Freedom Mortgage Corporation
Maryland Community Development Administration
Grand Total
Borrowers
Lenders / Investors
Servicer
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
5,328,466.11
15,916.67
118,218.02
2,539,258.22
59,916.67
9,916.67
916.67
27,276,636.18
211,464.42
54,492.26
9,687.97
344,704.09
33,691.63
134,204.03
4,000.00
1,746,175.63
19,628,269.62
86,562.37
38,500.01
23,241.37
812,362.17
3,822,589.59
9,916.67
264,243.02
5,833.33
8,000.00
10,916.67
5,916.67
13,000.00
9,916.67
32,407,180.99
177,916.71
6,000.00
96,794.69
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
3,414,215.31
6,459.46
7,453,613.36
59,524.17
232.46
37,008,355.19
390,813.81
826,066.85
392,373.93
31,334.45
200,809.42
3,075.53
2,875,439.05
22,917,407.98
124,450.34
69,769.61
37,322.44
2,030,010.48
5,528,625.52
476,382.04
1,698.78
13,643.72
1,120.30
6,773.90
15,460.93
32,613,734.12
111,878.46
-
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
3,639,456.42
3,000.00
35,805.11
5,757,268.09
10,000.00
7,000.00
1,000.00
9,690,424.59
171,385.14
59,692.26
10,649.38
135,918.87
4,000.00
69,990.66
2,000.00
444,605.52
5,050,854.33
78,327.82
8,000.00
17,594.38
318,305.59
1,025,242.91
3,000.00
159,006.82
1,000.00
1,000.00
4,800.00
11,000.00
2,916.67
13,784,845.71
9,000.00
48,454.02
$
5,627,331,396.81
$
9,914,695,597.53
$
3,785,874,728.56
Total Payments to Date
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
12,382,137.84
25,376.13
154,023.13
15,750,139.67
129,440.84
16,916.67
2,149.13
73,975,415.96
773,663.37
940,251.37
20,337.35
872,996.89
69,026.08
405,004.11
9,075.53
5,066,220.20
47,596,531.93
289,340.53
116,269.62
78,158.19
3,160,678.24
10,376,458.02
12,916.67
899,631.88
7,532.11
22,643.72
13,036.97
17,490.57
39,460.93
12,833.34
78,805,760.82
298,795.17
6,000.00
145,248.71
19,327,901,722.90
159
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
City
Reno
State
NV
Transaction
Type
Investment Description
Initial Investment
Amount
Additional
Investment Amount Investment Amount 1
Pricing
Mechanism
Purchase
Financial Instrument for HHF Program
$
102,800,000
$
-
N/A
2
9/23/2010
Purchase
Financial Instrument for HHF Program
$
-
$
34,056,581
N/A
3
9/29/2010
Purchase
Financial Instrument for HHF Program
$
-
$
57,169,659
N/A
Purchase
Financial Instrument for HHF Program
-
$
Purchase
Financial Instrument for HHF Program
$
-
$
Purchase
Financial Instrument for HHF Program
$
699,600,000
$
-
N/A
7
8
6/28/2016
1/31/2018
6/23/2010 CalHFA Mortgage Assistance Corporation
Sacramento
CA
$
8,885,641
N/A
(6,664,231) $
196,247,650
N/A
2
9/23/2010
Purchase
Financial Instrument for HHF Program
$
-
$
476,257,070
N/A
3
9/29/2010
Purchase
Financial Instrument for HHF Program
$
-
$
799,477,026
N/A
4
4/1/2016
Purchase
Financial Instrument for HHF Program
$
-
$
213,489,977
6
6/1/2016
Purchase
Financial Instrument for HHF Program
$
-
$
169,769,247
8
1/31/2018
Purchase
Financial Instrument for HHF Program
$
-
$
1,659,901
Purchase
Financial Instrument for HHF Program
$
418,000,000
$
-
N/A
N/A
6/23/2010 Florida Housing Finance Corporation
Tallahassee
FL
2
9/23/2010
Purchase
Financial Instrument for HHF Program
$
-
$
238,864,755
3
9/29/2010
Purchase
Financial Instrument for HHF Program
$
-
$
400,974,381
5
5/3/2016
Purchase
Financial Instrument for HHF Program
$
-
$
77,896,538
8
1/31/2018
Purchase
Financial Instrument for HHF Program
$
-
$
881,006
6/23/2010 Arizona (Home) Foreclosure Prevention Funding Corporation
AZ
N/A
2,360,253,221
N/A
N/A
N/A
$
1,136,616,680
N/A
Purchase
Financial Instrument for HHF Program
$
125,100,000
$
-
3
9/29/2010
Purchase
Financial Instrument for HHF Program
$
-
$
142,666,006
N/A
5
5/3/2016
Purchase
Financial Instrument for HHF Program
$
-
$
28,282,519
N/A
Purchase
8
Phoenix
N/A
$
1/31/2018
Financial Instrument for HHF Program
$
-
Purchase
Financial Instrument for HHF Program
$
154,500,000
$
-
N/A
2
9/23/2010
Purchase
Financial Instrument for HHF Program
$
-
$
128,461,559
N/A
3
9/29/2010
Purchase
Financial Instrument for HHF Program
$
-
$
215,644,179
N/A
4
4/1/2016
Purchase
Financial Instrument for HHF Program
$
-
$
74,491,816
N/A
6
6/1/2016
Purchase
Financial Instrument for HHF Program
$
-
$
188,106,491
8
1/31/2018
Purchase
Financial Instrument for HHF Program
$
-
$
418,256
Purchase
Financial Instrument for HHF Program
$
159,000,000
$
-
N/A
6/23/2010 Michigan Homeowner Assistance Nonprofit Housing Corporation
8/3/2010
North Carolina Housing Finance Agency
Lansing
Raleigh
MI
NC
$
98,195
N/A
$
296,146,720
N/A
N/A
$
761,622,301
N/A
2
9/23/2010
Purchase
Financial Instrument for HHF Program
$
-
$
120,874,221
N/A
3
9/29/2010
Purchase
Financial Instrument for HHF Program
$
-
$
202,907,565
N/A
4
4/1/2016
Purchase
Financial Instrument for HHF Program
$
-
$
78,016,445
6
6/1/2016
Purchase
Financial Instrument for HHF Program
$
-
$
145,709,333
8
1/31/2018
Purchase
Financial Instrument for HHF Program
$
-
$
431,318
Purchase
Financial Instrument for HHF Program
$
172,000,000
$
-
N/A
8/3/2010
Ohio Homeowner Assistance LLC
Columbus
OH
N/A
N/A
$
706,938,882
N/A
2
9/23/2010
Purchase
Financial Instrument for HHF Program
$
-
$
148,728,864
N/A
3
9/29/2010
Purchase
Financial Instrument for HHF Program
$
-
$
249,666,235
N/A
7
6/28/2016
Purchase
Financial Instrument for HHF Program
$
-
$
191,906,968
8
1/31/2018
Purchase
Financial Instrument for HHF Program
$
-
$
489,473
Purchase
Financial Instrument for HHF Program
$
88,000,000
$
-
N/A
2
9/23/2010
Purchase
Financial Instrument for HHF Program
$
-
$
49,294,215
N/A
3
9/29/2010
Purchase
Financial Instrument for HHF Program
$
-
$
82,748,571
N/A
4
4/1/2016
Purchase
Financial Instrument for HHF Program
$
-
$
36,425,456
N/A
7
6/28/2016
Purchase
Financial Instrument for HHF Program
$
-
$
58,110,108
8
1/31/2018
Purchase
Financial Instrument for HHF Program
$
-
$
173,930
Purchase
Financial Instrument for HHF Program
$
43,000,000
$
-
N/A
8/3/2010
8/3/2010
Oregon Affordable Housing Assistance Corporation
Rhode Island Housing and Mortgage Finance Corporation
Salem
Providence
OR
RI
N/A
$
762,791,540
N/A
N/A
$
314,752,280
N/A
2
9/23/2010
Purchase
Financial Instrument for HHF Program
$
-
$
13,570,770
N/A
3
9/29/2010
Purchase
Financial Instrument for HHF Program
$
-
$
22,780,803
N/A
Purchase
Financial Instrument for HHF Program
-
$
36,623,730
Purchase
Financial Instrument for HHF Program
$
-
$
44,488
Purchase
Financial Instrument for HHF Program
$
138,000,000
$
-
N/A
6
6/1/2016
8
1/31/2018
8/3/2010
SC Housing Corp.
Columbia
SC
$
N/A
$
116,019,791
N/A
2
9/23/2010
Purchase
Financial Instrument for HHF Program
$
-
$
58,772,347
N/A
3
9/29/2010
Purchase
Financial Instrument for HHF Program
$
-
$
98,659,200
N/A
Purchase
Financial Instrument for HHF Program
-
$
22,030,274
Purchase
Financial Instrument for HHF Program
$
-
$
210,942
Purchase
Financial Instrument for HHF Program
$
60,672,471
$
-
Purchase
Financial Instrument for HHF Program
$
-
$
101,848,874
Purchase
Financial Instrument for HHF Program
$
55,588,050
$
-
N/A
5
8
5/3/2016
1/31/2018
9/23/2010 Alabama Housing Finance Authority
3
Montgomery
AL
Frankfort
KY
9/29/2010
9/23/2010 Kentucky Housing Corporation
$
N/A
$
317,672,763
N/A
$
162,521,345
N/A
N/A
3
9/29/2010
Purchase
Financial Instrument for HHF Program
$
-
$
93,313,825
N/A
4
4/1/2016
Purchase
Financial Instrument for HHF Program
$
-
$
30,148,245
N/A
Purchase
Financial Instrument for HHF Program
-
$
27,955,713
Purchase
Financial Instrument for HHF Program
$
-
$
187,004
Purchase
Financial Instrument for HHF Program
$
38,036,950
$
-
N/A
6
8
6/1/2016
1/31/2018
9/23/2010 Mississippi Home Corporation
Jackson
MS
$
N/A
$
207,192,837
N/A
3
9/29/2010
Purchase
Financial Instrument for HHF Program
$
-
$
63,851,373
N/A
5
5/3/2016
Purchase
Financial Instrument for HHF Program
$
-
$
19,340,040
N/A
Purchase
Financial Instrument for HHF Program
-
$
23,063,338
Purchase
Financial Instrument for HHF Program
$
-
$
125,284
Purchase
Financial Instrument for HHF Program
$
126,650,987
$
-
7
8
6/28/2016
1/31/2018
9/23/2010 GHFA Affordable Housing, Inc.
Atlanta
GA
$
N/A
$
144,416,985
N/A
N/A
3
9/29/2010
Purchase
Financial Instrument for HHF Program
$
-
$
212,604,832
N/A
5
5/3/2016
Purchase
Financial Instrument for HHF Program
$
-
$
30,880,575
N/A
Purchase
8
Financial Instrument for HHF Program
$
-
Purchase
Financial Instrument for HHF Program
$
82,762,859
$
-
3
1/31/2018
9/29/2010
Purchase
Financial Instrument for HHF Program
$
-
$
138,931,280
N/A
4
4/1/2016
Purchase
Financial Instrument for HHF Program
$
-
$
28,565,323
N/A
Purchase
Financial Instrument for HHF Program
-
$
33,454,975
Purchase
Financial Instrument for HHF Program
$
-
$
279,899
Purchase
Financial Instrument for HHF Program
$
166,352,726
$
-
N/A
Purchase
Financial Instrument for HHF Program
$
-
$
279,250,831
N/A
Purchase
Financial Instrument for HHF Program
-
$
269,474,060
Purchase
Financial Instrument for HHF Program
$
-
$
537,478
Purchase
Financial Instrument for HHF Program
$
112,200,637
$
-
N/A
9/23/2010 Indiana Housing and Community Development Authority
7
8
6
8
IN
6/28/2016
1/31/2018
9/23/2010 Illinois Housing Development Authority
3
Indianapolis
Chicago
IL
9/29/2010
6/1/2016
1/31/2018
9/23/2010 New Jersey Housing and Mortgage Finance Agency
Trenton
NJ
$
$
$
437,866
$
370,574,260
N/A
N/A
N/A
$
283,994,336
N/A
N/A
$
715,615,095
N/A
3
9/29/2010
Purchase
Financial Instrument for HHF Program
$
-
$
188,347,507
N/A
7
6/28/2016
Purchase
Financial Instrument for HHF Program
$
-
$
114,585,818
N/A
Purchase
$
8
Financial Instrument for HHF Program
$
-
Purchase
Financial Instrument for HHF Program
$
7,726,678
$
-
3
1/31/2018
9/29/2010
Purchase
Financial Instrument for HHF Program
$
-
$
12,970,520
N/A
6
6/1/2016
Purchase
Financial Instrument for HHF Program
$
-
$
8,047,933
N/A
Purchase
9/23/2010 District of Columbia Housing Finance Agency
8
Washington
DC
1/31/2018
378,092
N/A
N/A
Financial Instrument for HHF Program
$
-
Purchase
Financial Instrument for HHF Program
$
81,128,260
$
-
N/A
9/29/2010
Purchase
Financial Instrument for HHF Program
$
-
$
136,187,333
N/A
4
4/1/2016
Purchase
Financial Instrument for HHF Program
$
-
$
51,945,211
N/A
7
6/28/2016
Purchase
Financial Instrument for HHF Program
$
-
$
32,794,226
8
1/31/2018
Purchase
Financial Instrument for HHF Program
$
-
$
281,963
Nashville
TN
29,136
415,512,054
3
9/23/2010 Tennessee Housing Development Agency
$
$
TOTAL INVESTMENT AMOUNT
$
28,774,267
N/A
N/A
$
302,336,993
$
9,600,000,000
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.
4) On 4/1/2016, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.
5) On 5/3/2016, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.
6) On 6/1/2016, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.
7) On 6/28/2016, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.
8) On 1/31/2018, Treasury updated program allocations due to an annual assessment and reallocation.
160
FHA SHORT REFINANCE PROGRAM
Seller
Footnote
Date
1
9/3/2010
2
3/4/2013
3
4
Name
Citigroup, Inc.
City
State
Transaction
Type
NY
Purchase
Initial Investment
Amount
Investment Description
Investment Adjustments
Investment Amount
Pricing Mechanism
$
8,117,000,000
N/A
$
(7,092,000,000) $
1,025,000,000
N/A
3/31/2015
$
(900,000,000) $
125,000,000
N/A
9/28/2017
$
(80,000,000) $
45,000,000
N/A
New York
Facility Purchase Agreement
$
8,117,000,000
$
-
TOTAL INVESTMENT AMOUNT
$
45,000,000
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 thencurrent 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.
3) On March 31, 2015, the U.S. Department of the Treasury and Citibank, N.A. entered into Amendment No. 2 to the L/C Facility Agreement. Amendments included reducing the maximum amount of the L/C from $1 billion to $100 million; extending by
approximately two years the term of the L/C and the period of time Treasury has to increase the L/C to cover new loans entered into the program; and modifying the structure of administrative fees associated with the facility.
4) On September 28, 2017, the U.S. Department of the Treasury and Citibank, N.A. entered into Amendment No. 3 to the L/C Facility Agreement. Amendments included reducing the maximum amount of the L/C from $100 million to $27 million, and modifying
the structure of administrative fees associated with the facility.
161
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Projected Costs and Liabilities [Section 105(a)(3)(E)]
For Period Ending July 31, 2018
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.
162
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Programmatic Operating Expenses [Section 105(a)(3)(F)]
For Period Ending July 31, 2018
Type of Expense
Amount
Compensation for financial agents
and legal firms
$1,407,099,410
163
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Description of Vehicles Established [Section 105(a)(3)(H)]
For Period Ending July 31, 2018
Date
Vehicle
Description
None
164
HAMP Application Activity by Servicer 1
As of December 2017
Servicer Name
Bank of America, NA
BankUnited
Bayview Loan Servicing, LLC
Carrington Mortgage Services, LLC
Citizens Bank, N.A.
6
CIT Bank, NA
CitiMortgage Inc
Ditech Financial LLC7
JPMorgan Chase Bank, NA
Nationstar Mortgage, LLC dba Mr Cooper
Navy Federal Credit Union
Ocwen Loan Servicing, LLC
ORNL Federal Credit Union
PennyMac Loan Services, LLC
PNC Bank NA8
Select Portfolio Servicing, Inc.
Specialized Loan Servicing LLC
U.S. Bank National Association
Wells Fargo Bank, NA
9
Other Servicers
TOTAL
Activity in December 2017
# Requests
# Requests
# Requests
Processed 3
Approved 4
Denied 5
2
2
22
22
99
99
123
123
# Requests
Received 2
1,524,748
9,959
92,548
105,590
39,479
388,421
614,753
131,064
1,853,776
633,038
16,222
1,679,549
824
24,545
53,888
304,067
130,912
161,867
1,619,166
212,677
9,597,093
Program-to-Date
# Requests
# Requests
Processed 3
Approved 4
1,505,172
588,284
9,959
4,970
92,371
20,911
105,590
27,443
39,479
7,041
388,329
103,632
613,454
194,845
131,064
50,828
1,847,897
455,099
633,038
134,794
16,222
2,509
1,653,002
507,500
824
66
24,545
6,706
53,846
29,336
295,044
139,397
130,892
22,932
161,862
49,525
1,611,573
455,124
212,504
111,096
9,526,667
2,912,038
# Requests
Denied 5
916,888
4,989
71,460
78,147
32,438
284,697
418,609
80,236
1,392,798
498,244
13,713
1,145,502
758
17,839
24,510
155,647
107,960
112,337
1,156,449
101,408
6,614,629
This report is sourced from the Monthly Servicer Survey of select servicers participating in MHA under a Servicer Participation Agreement. All data in this report reflects what is provided by servicers participating in the
survey and is not separately validated by Treasury. Servicers regularly perform evaluation and refinement of reporting, which can lead to updating of Program-to-Date results. Due to the MHA Program Modification Effective
Date Cut-off of December 1, 2017, the December 2017 version of this report is the last issued and includes data collected from servicers through December 31, 2017. Requests received that were not processed as of
December 2017 may be attributable to a variety of reasons, including failure to submit a complete mortgage modification request. Borrowers whose requests were not processed may have been offered a Streamline HAMP
Modification.
1
"Requests Received" is the total number of mortgage modification requests received, as reported by servicers. Cumulative Requests Received include all mortgage modification requests received since implementation of
Supplemental Directive 10-02, effective June 1, 2010, and any requests that were approved for a trial modification prior to implementation of such guidance. As noted in Footnote 1 above, some servicers may include all
mortgage modification requests received, whereas they previously included only requests that met basic HAMP eligibility criteria. As of January 2017, servicers were no longer required to provide monthly requests received
volumes. Due to the December 30, 2016 HAMP application deadline, servicers will not report any requests received after that date and therefore, the monthly Requests Received column has been removed from the report.
Servicers continue to evaluate and decision requests which were submitted by the application deadline.
2
3
"Requests Processed" is the sum of Requests Approved and Requests Denied, defined below.
"Requests Approved" is the total number of complete mortgage modification requests approved for a trial modification under HAMP and trial offers sent to the borrowers, as reported by servicers. 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.
4
"Requests Denied" is the total number of mortgage modification requests not approved for a trial modification under HAMP and the decision communicated to the borrower by the servicer in accordance with program
guidance, as reported by servicers. Cumulative Requests Denied include all mortgage modification requests denied and communicated to the borrower by the servicer since implementation of Supplemental Directive 10-02,
effective June 1, 2010; servicers do not report Requests Denied prior to then as relevant data is incomplete. Figures include HAMP mortgage modification requests denied due to insufficient documentation, failure to meet
basic eligibility criteria, and/or other reasons.
5
6
Formerly OneWest Bank.
7
Formerly GreenTree Servicing LLC.
8
Includes both PNC Bank, NA and PNC Mortgage, formerly National City Bank.
9
Includes servicers that are no longer actively participating in the survey process or those whose Servicer Participation Agreement has been terminated. These servicers no longer submit a survey, and their results only
165
@FedFRASER