*Investment Status Definition Key

Full investment outstanding: Treasury's full investment is still outstanding

Redeemed – institution has repaid Treasury’s investment

Sold – by auction, an offering, or through a restructuring

Exited bankruptcy/receivership - Treasury has no outstanding investment

Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

11 1ST CONSTITUTION BANCORP CRANBURY NJ 23-Dec-08 Preferred Stock w/ Warrants $12,000,000.00 $0.00 $13,433,242.67 Redeemed, in full; warrants not outstanding

1ST CONSTITUTION BANCORP CRANBURY NJ 27-Oct-10 $12,000,000.00 12,000 $1,000.00

1ST CONSTITUTION BANCORP CRANBURY NJ 22-Nov-11 $326,576.00 231,782

8,14,18,44 1ST ENTERPRISE BANK LOS ANGELES CA 13-Feb-09 Preferred Stock w/ Warrants $4,400,000.00 $0.00 $11,748,156.44 Redeemed, in full; warrants not outstanding

1ST ENTERPRISE BANK LOS ANGELES CA 11-Dec-09 $6,000,000.00

1ST ENTERPRISE BANK LOS ANGELES CA 1-Sep-11 $10,400,000.00 10,400 $1,000.00 $220,000.00 220

102 1ST FINANCIAL SERVICES CORPORATION HENDERSONVILLE NC 14-Nov-08 Preferred Stock w/ Warrants $16,369,000.00 $0.00 $9,229,948.97 Sold, in full; warrants not outstanding

1ST FINANCIAL SERVICES CORPORATION HENDERSONVILLE NC 31-Dec-13 $8,000,000.00 16,369 $488.70 ($8,369,000.00)

11 1ST SOURCE CORPORATION SOUTH BEND IN 23-Jan-09 Preferred Stock w/ Warrants $111,000,000.00 $0.00 $125,480,000.00 Redeemed, in full; warrants not outstanding

1ST SOURCE CORPORATION SOUTH BEND IN 29-Dec-10 $111,000,000.00 111,000 $1,000.00

1ST SOURCE CORPORATION SOUTH BEND IN 9-Mar-11 $3,750,000.00 837,947

11,8,14 1ST UNITED BANCORP, INC. BOCA RATON FL 13-Mar-09 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $10,870,902.67 Redeemed, in full; warrants not outstanding

1ST UNITED BANCORP, INC. BOCA RATON FL 18-Nov-09 $10,000,000.00 10,000 $1,000.00 $500,000.00 500

AB&T FINANCIAL CORPORATION GASTONIA NC 23-Jan-09 Preferred Stock w/ Warrants $3,500,000.00 $536,000.00 $1,125,794.44 Sold, in part; warrants outstanding

AB&T FINANCIAL CORPORATION GASTONIA NC 19-Nov-13 $815,100.00 2,964 $275.00 ($2,148,900.00)

AB&T FINANCIAL CORPORATION GASTONIA NC 6-Jan-14 ($50,000.00)

44,8,14 ADBANC, INC. OGALLALA NE 30-Jan-09 Preferred Stock w/ Exercised Warrants $12,720,000.00 $0.00 $15,071,769.00 Redeemed, in full; warrants not outstanding

ADBANC, INC. OGALLALA NE 21-Jul-11 $12,720,000.00 12,720 $1,000.00 $636,000.00 636

8,14 ALARION FINANCIAL SERVICES, INC. OCALA FL 23-Jan-09 Preferred Stock w/ Exercised Warrants $6,514,000.00 $0.00 $7,674,004.73 Sold, in full; warrants not outstanding

ALARION FINANCIAL SERVICES, INC. OCALA FL 19-Jul-13 $877,729.70 893 $982.90 ($15,270.30)

ALARION FINANCIAL SERVICES, INC. OCALA FL 22-Jul-13 $5,524,880.90 5,621 $982.90 ($96,119.10) $337,363.35 326

ALARION FINANCIAL SERVICES, INC. OCALA FL 12-Sep-13 ($64,026.11)

ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 6-Feb-09 Preferred Stock w/ Warrants $4,781,000.00 $0.00 $5,130,973.44 Sold, in full; warrants outstanding

ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 28-Nov-12 $208,870.74 234 $892.60 ($25,129.26)

ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 29-Nov-12 $4,058,697.67 4,547 $892.60 ($488,302.33)

ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 11-Jan-13 ($42,675.67)

ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 26-Mar-13 ($7,324.33)

ALLIANCE BANCSHARES, INC. DALTON GA 26-Jun-09 Preferred Stock w/ Exercised Warrants $2,986,000.00 $0.00 $3,581,397.27 Sold, in full; warrants not outstanding

ALLIANCE BANCSHARES, INC. DALTON GA 27-Mar-13 $94,153.69 101

ALLIANCE BANCSHARES, INC. DALTON GA 28-Mar-13 $2,856,437.46 2,986 $956.60 ($129,562.54) $44,746.31 48

ALLIANCE BANCSHARES, INC. DALTON GA 9-Apr-13 ($25,000.00)

11 ALLIANCE FINANCIAL CORPORATION SYRACUSE NY 19-Dec-08 Preferred Stock w/ Warrants $26,918,000.00 $0.00 $28,356,360.00 Redeemed, in full; warrants not outstanding

ALLIANCE FINANCIAL CORPORATION SYRACUSE NY 13-May-09 $26,918,000.00 26,918 $1,000.00

ALLIANCE FINANCIAL CORPORATION SYRACUSE NY 17-Jun-09 $900,000.00 173,069

15,14 ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 26-Jun-09 Subordinated Debentures w/ Exercised Warrants $12,000,000.00 $0.00 $9,806,136.60 Sold, in full; warrants not outstanding

ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 6-Feb-13 $3,375,945.00 4,500,000 $0.75 ($1,124,055.00)

ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 7-Feb-13 $5,626,575.00 7,500,000 $0.75 ($1,873,425.00) $504,900.00 600,000

ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 26-Mar-13 ($90,025.20)

8 ALLIED FIRST BANCORP, INC. OSWEGO IL 24-Apr-09 Preferred Stock w/ Exercised Warrants $3,652,000.00 $3,652,000.00 $409,753.00 Full investment outstanding; warrants outstanding

8,14 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 27-Mar-09 Preferred Stock w/ Exercised Warrants $70,000,000.00 $0.00 $73,129,160.69 Sold, in full; warrants not outstanding

ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 18-Sep-12 $280,115.76 344 $814.30 ($63,884.24)

ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 19-Sep-12 $6,559,920.24 8,056 $814.30 ($1,496,079.76)

ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 20-Sep-12 $50,160,264.00 61,600 $814.30 ($11,439,736.00) $3,291,750.00 3,500

ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 16-Nov-12 ($570,003.00)

45,8,14 AMB FINANCIAL CORPORATION MUNSTER IN 30-Jan-09 Preferred Stock w/ Exercised Warrants $3,674,000.00 $0.00 $4,387,576.45 Redeemed, in full; warrants not outstanding

AMB FINANCIAL CORPORATION MUNSTER IN 22-Sep-11 $3,674,000.00 3,674 $1,000.00 $184,000.00 184

44,8,14 AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKLAHOMA COLLINSVILLE OK 6-Mar-09 Preferred Stock w/ Exercised Warrants $2,492,000.00 $0.00 $2,960,021.33 Redeemed, in full; warrants not outstanding

AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKLAHOMA COLLINSVILLE OK 15-Sep-11 $2,492,000.00 2,492 $1,000.00 $125,000.00 125

11 AMERICAN EXPRESS COMPANY NEW YORK NY 9-Jan-09 Preferred Stock w/ Warrants $3,388,890,000.00 $0.00 $3,803,257,308.33 Redeemed, in full; warrants not outstanding

AMERICAN EXPRESS COMPANY NEW YORK NY 17-Jun-09 $3,388,890,000.00 3,388,890 $1,000.00

AMERICAN EXPRESS COMPANY NEW YORK NY 29-Jul-09 $340,000,000.00 24,264,129

11,8,14 AMERICAN PREMIER BANCORP ARCADIA CA 29-May-09 Preferred Stock w/ Exercised Warrants $1,800,000.00 $0.00 $2,052,682.49 Redeemed, in full; warrants not outstanding

AMERICAN PREMIER BANCORP ARCADIA CA 26-Jan-11 $1,800,000.00 1,800 $1,000.00 $90,000.00 90

11,8,14 AMERICAN STATE BANCSHARES, INC. GREAT BEND KS 9-Jan-09 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $7,220,141.67 Redeemed, in full; warrants not outstanding

AMERICAN STATE BANCSHARES, INC. GREAT BEND KS 2-Nov-11 $6,000,000.00 6,000 $1,000.00 $300,000.00 300

AMERIS BANCORP MOULTRIE GA 21-Nov-08 Preferred Stock w/ Warrants $52,000,000.00 $0.00 $59,637,438.67 Sold, in full; warrants not outstanding

AMERIS BANCORP MOULTRIE GA 19-Jun-12 $48,391,200.00 ($725,868.00) 52,000 $930.60 ($3,608,800.00)

AMERIS BANCORP MOULTRIE GA 22-Aug-12 $2,670,000.00 698,554

45 AMERISERV FINANCIAL, INC. JOHNSTOWN PA 19-Dec-08 Preferred Stock w/ Warrants $21,000,000.00 $0.00 $24,601,666.66 Redeemed, in full; warrants not outstanding

AMERISERV FINANCIAL, INC. JOHNSTOWN PA 11-Aug-11 $21,000,000.00 21,000 $1,000.00

AMERISERV FINANCIAL, INC. JOHNSTOWN PA 2-Nov-11 $825,000.00 1,312,500

15,14 AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 21-Aug-09 Subordinated Debentures w/ Exercised Warrants $5,000,000.00 $0.00 $6,523,255.00 Sold, in full; warrants not outstanding

AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 26-Mar-13 $359,040.00 374,000 $0.96 ($14,960.00)

AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 27-Mar-13 $2,112,000.00 2,200,000 $0.96 ($88,000.00)

AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 28-Mar-13 $2,328,960.00 2,426,000 $0.96 ($97,040.00) $259,875.00 250,000

AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 9-Apr-13 ($48,000.00)

94 ANCHOR BANCORP WISCONSIN, INC. MADISON WI 30-Jan-09 Preferred Stock w/ Warrants $110,000,000.00 $0.00 $6,000,000.00 Sold, in full; warrants not outstanding

ANCHOR BANCORP WISCONSIN, INC. MADISON WI 27-Sep-13 $6,000,000.00 60,000,000 $0.10 ($104,000,000.00)

11,90 ANNAPOLIS BANCORP, INC. ANNAPOLIS MD 30-Jan-09 Preferred Stock w/ Warrants $8,152,000.00 $0.00 $9,643,136.33 Redeemed, in full; warrants outstanding

ANNAPOLIS BANCORP, INC. ANNAPOLIS MD 18-Apr-12 $4,076,000.00 4,076 $1,000.00

ANNAPOLIS BANCORP, INC. ANNAPOLIS MD 6-Mar-13 $4,076,000.00 4,076 $1,000.00

11 ASSOCIATED BANC-CORP GREEN BAY WI 21-Nov-08 Preferred Stock w/ Warrants $525,000,000.00 $0.00 $596,539,172.32 Redeemed, in full; warrants not outstanding

ASSOCIATED BANC-CORP GREEN BAY WI 6-Apr-11 $262,500,000.00 262,500 $1,000.00

ASSOCIATED BANC-CORP GREEN BAY WI 14-Sep-11 $262,500,000.00 262,500 $1,000.00

ASSOCIATED BANC-CORP GREEN BAY WI 6-Dec-11 $3,435,005.65 3,983,308

8,17 ATLANTIC BANCSHARES, INC. BLUFFTON SC 29-Dec-09 Preferred Stock w/ Exercised Warrants $2,000,000.00 $2,000,000.00 $122,724.78 Full investment outstanding; warrants outstanding

44,8,14 AVENUE FINANCIAL HOLDINGS NASHVILLE TN 27-Feb-09 Preferred Stock w/ Exercised Warrants $7,400,000.00 $0.00 $8,798,415.33 Redeemed, in full; warrants not outstanding

U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Transactions Report - Investment Programs

For Period Ending January 15, 2014

Currently not collectible - investment is currently not collectible; therefore there is no outstanding investment and a corresponding (Realized Loss) / 

(Write-off)

Warrants outstanding – Treasury’s warrant to purchase additional stock is still outstanding, including any exercised warrants

In full – all of Treasury’s investment amount

In part – part of the investment is no longer held by Treasury, but some remains 

CAPITAL PURCHASE PROGRAM

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5

Warrants not outstanding – Treasury has disposed of its warrant to purchase additional stock through various means as described in the Warrant 

Report (such as sale back to company and auctions) or Treasury did not receive a warrant to purchase additional stock

FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*
Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

AVENUE FINANCIAL HOLDINGS NASHVILLE TN 15-Sep-11 $7,400,000.00 7,400 $1,000.00 $370,000.00 370

11 AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO. PALO ALTO CA 30-Jan-09 Preferred Stock w/ Warrants $6,000,000.00 $0.00 $7,563,057.15 Redeemed, in full; warrants not outstanding

AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO. PALO ALTO CA 31-Jul-13 $6,000,000.00 6,000 $1,000.00

AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO. PALO ALTO CA 28-Aug-13 $190,781.12 81,670

8,44 BANCINDEPENDENT, INCORPORATED SHEFFIELD AL 13-Mar-09 Preferred Stock w/ Exercised Warrants $21,100,000.00 $0.00 $24,841,411.03 Redeemed, in full; warrants not outstanding

BANCINDEPENDENT, INCORPORATED SHEFFIELD AL 14-Jul-11 $21,100,000.00 21,100 $1,000.00 $1,055,000.00 1,055

8,17,44 BANCORP FINANCIAL, INC. OAK BROOK IL 10-Jul-09 Preferred Stock w/ Exercised Warrants $13,669,000.00 $0.00 $15,595,736.93 Redeemed, in full; warrants not outstanding

BANCORP FINANCIAL, INC. OAK BROOK IL 18-Aug-11 $13,669,000.00 13,669 $1,000.00 $410,000.00 410

11 BANCORP RHODE ISLAND, INC. PROVIDENCE RI 19-Dec-08 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $32,341,666.66 Redeemed, in full; warrants not outstanding

BANCORP RHODE ISLAND, INC. PROVIDENCE RI 5-Aug-09 $30,000,000.00 30,000 $1,000.00

BANCORP RHODE ISLAND, INC. PROVIDENCE RI 30-Sep-09 $1,400,000.00 192,967

11,8,14 BANCPLUS CORPORATION RIDGELAND MS 20-Feb-09 Preferred Stock w/ Exercised Warrants $48,000,000.00 $0.00 $54,607,399.33 Redeemed, in full; warrants not outstanding

BANCPLUS CORPORATION RIDGELAND MS 29-Sep-10 $48,000,000.00 48,000 $1,000.00 $2,400,000.00 2,400

8,14 BANCSTAR, INC. FESTUS MO 3-Apr-09 Preferred Stock w/ Exercised Warrants $8,600,000.00 $0.00 $10,701,460.58 Sold, in full; warrants not outstanding

BANCSTAR, INC. FESTUS MO 26-Apr-13 $98,267.00 100 $982.70 ($1,733.00)

BANCSTAR, INC. FESTUS MO 29-Apr-13 $8,352,695.00 8,500 $982.70 ($147,305.00) $426,338.55 430

BANCSTAR, INC. FESTUS MO 31-May-13 ($84,509.62)

83 BANCTRUST FINANCIAL GROUP, INC. MOBILE AL 19-Dec-08 Preferred Stock w/ Warrants $50,000,000.00 $0.00 $60,451,155.74 Redeemed, in full; warrants not outstanding

BANCTRUST FINANCIAL GROUP, INC. MOBILE AL 15-Feb-13 $50,000,000.00 50,000 $1,000.00 $15,000.00 730,994

8,14 BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 14-Aug-09 Preferred Stock w/ Exercised Warrants $1,004,000.00 $0.00 $1,114,680.76 Sold, in full; warrants not outstanding

BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 19-Dec-12 $451,600.92 486 $929.20 ($34,399.08)

BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 20-Dec-12 $481,335.96 518 $929.20 ($36,664.04) $23,500.00 50

BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 11-Jan-13 ($9,329.37)

BANK FINANCIAL SERVICES, INC. EDEN PRAIRIE MN 26-Mar-13 ($15,670.63)

6,7,11 BANK OF AMERICA CHARLOTTE NC 28-Oct-08 Preferred Stock w/ Warrants $15,000,000,000.00 $0.00 $26,599,663,040.28 Redeemed, in full; warrants not outstanding

BANK OF AMERICA CHARLOTTE NC 9-Jan-09 $10,000,000,000.00

BANK OF AMERICA CHARLOTTE NC 9-Dec-09 $25,000,000,000.00 1,000,000 $25,000.00

BANK OF AMERICA CHARLOTTE NC 9-Mar-10 $305,913,040.28 121,792,790

8,14 BANK OF COMMERCE CHARLOTTE NC 16-Jan-09 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,087,573.33 Sold, in full; warrants not outstanding

BANK OF COMMERCE CHARLOTTE NC 30-Nov-12 $2,502,000.00 3,000 $834.00 ($498,000.00) $100,100.00 150

BANK OF COMMERCE CHARLOTTE NC 11-Jan-13 ($25,000.00)

44 BANK OF COMMERCE HOLDINGS REDDING CA 14-Nov-08 Preferred Stock w/ Warrants $17,000,000.00 $0.00 $19,564,027.78 Redeemed, in full; warrants not outstanding

BANK OF COMMERCE HOLDINGS REDDING CA 27-Sep-11 $17,000,000.00 17,000 $1,000.00

BANK OF COMMERCE HOLDINGS REDDING CA 26-Oct-11 $125,000.00 405,405

8 BANK OF GEORGE LAS VEGAS NV 13-Mar-09 Preferred Stock w/ Exercised Warrants $2,672,000.00 $0.00 $1,233,940.00 Sold, in full; warrants not outstanding

BANK OF GEORGE LAS VEGAS NV 21-Oct-13 $955,240.00 2,672 $357.50 ($1,716,760.00) $23,709.00 134

BANK OF GEORGE LAS VEGAS NV 6-Jan-14 ($25,000.00)

11 BANK OF MARIN BANCORP NOVATO CA 5-Dec-08 Preferred Stock w/ Warrants $28,000,000.00 $0.00 $30,155,095.11 Redeemed, in full; warrants not outstanding

BANK OF MARIN BANCORP NOVATO CA 31-Mar-09 $28,000,000.00 28,000 $1,000.00

BANK OF MARIN BANCORP NOVATO CA 23-Nov-11 $1,703,984.00 154,908

11 BANK OF NEW YORK MELLON NEW YORK NY 28-Oct-08 Preferred Stock w/ Warrants $3,000,000,000.00 $0.00 $3,231,416,666.67 Redeemed, in full; warrants not outstanding

BANK OF NEW YORK MELLON NEW YORK NY 17-Jun-09 $3,000,000,000.00 3,000,000 $1,000.00

BANK OF NEW YORK MELLON NEW YORK NY 5-Aug-09 $136,000,000.00 14,516,129

BANK OF THE CAROLINAS CORPORATION MOCKSVILLE NC 17-Apr-09 Preferred Stock w/ Warrants $13,179,000.00 $13,179,000.00 $1,039,677.00 Full investment outstanding; warrants outstanding

11 BANK OF THE OZARKS, INC. LITTLE ROCK AR 12-Dec-08 Preferred Stock w/ Warrants $75,000,000.00 $0.00 $81,004,166.67 Redeemed, in full; warrants not outstanding

BANK OF THE OZARKS, INC. LITTLE ROCK AR 4-Nov-09 $75,000,000.00 75,000 $1,000.00

BANK OF THE OZARKS, INC. LITTLE ROCK AR 24-Nov-09 $2,650,000.00 379,811

8 BANKERS' BANK OF THE WEST BANCORP, INC. DENVER CO 30-Jan-09 Preferred Stock w/ Exercised Warrants $12,639,000.00 $12,639,000.00 $3,425,858.35 Full investment outstanding; warrants outstanding

44,8,14 BANKFIRST CAPITAL CORPORATION MACON MS 23-Jan-09 Preferred Stock w/ Exercised Warrants $15,500,000.00 $0.00 $18,492,469.25 Redeemed, in full; warrants not outstanding

BANKFIRST CAPITAL CORPORATION MACON MS 8-Sep-11 $15,500,000.00 15,500 $1,000.00 $775,000.00 775

8,14 BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 13-Feb-09 Preferred Stock w/ Exercised Warrants $1,000,000.00 $0.00 $1,100,653.50 Sold, in full; warrants not outstanding

BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 9-Nov-12 $900,000.00 1,000 $900.00 ($100,000.00) $21,880.50 50

BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 11-Jan-13 ($9,000.00)

BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 26-Mar-13 ($16,000.00)

BANNER CORPORATION/BANNER BANK WALLA WALLA WA 21-Nov-08 Preferred Stock w/ Warrants $124,000,000.00 $0.00 $129,079,862.47 Sold, in full; warrants not outstanding

BANNER CORPORATION/BANNER BANK WALLA WALLA WA 3-Apr-12 $109,717,680.00 ($1,645,765.20) 124,000 $884.80 ($14,282,320.00)

BANNER CORPORATION/BANNER BANK WALLA WALLA WA 12-Jun-13 $134,201.00 243,998

44,8,14 BANNER COUNTY BAN CORPORATION HARRISBURG NE 6-Feb-09 Preferred Stock w/ Exercised Warrants $795,000.00 $0.00 $942,411.42 Redeemed, in full; warrants not outstanding

BANNER COUNTY BAN CORPORATION HARRISBURG NE 28-Jul-11 $795,000.00 795 $1,000.00 $40,000.00 4

12,16 BAR HARBOR BANKSHARES BAR HARBOR ME 16-Jan-09 Preferred Stock w/ Warrants $18,751,000.00 $0.00 $20,037,514.11 Redeemed, in full; warrants not outstanding

BAR HARBOR BANKSHARES BAR HARBOR ME 24-Feb-10 $18,751,000.00 18,751 $1,000.00

BAR HARBOR BANKSHARES BAR HARBOR ME 28-Jul-10 $250,000.00 52,455

11 BB&T CORP. WINSTON-SALEM NC 14-Nov-08 Preferred Stock w/ Warrants $3,133,640,000.00 $0.00 $3,293,353,918.53 Redeemed, in full; warrants not outstanding

BB&T CORP. WINSTON-SALEM NC 17-Jun-09 $3,133,640,000.00 3,134 $1,000,000.00

BB&T CORP. WINSTON-SALEM NC 22-Jul-09 $67,010,401.86 13,902,573

8 BCB HOLDING COMPANY, INC. THEODORE AL 3-Apr-09 Preferred Stock w/ Exercised Warrants $1,706,000.00 $1,706,000.00 $173,507.50 Full investment outstanding; warrants outstanding

11 BCSB BANCORP, INC. BALTIMORE MD 23-Dec-08 Preferred Stock w/ Warrants $10,800,000.00 $0.00 $13,371,500.00 Redeemed, in full; warrants not outstanding

BCSB BANCORP, INC. BALTIMORE MD 26-Jan-11 $10,800,000.00 10,800 $1,000.00

BCSB BANCORP, INC. BALTIMORE MD 19-Apr-13 $1,442,000.00 183,465

11,8,14 BEACH BUSINESS BANK MANHATTAN BEACH CA 30-Jan-09 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $7,263,316.66 Redeemed, in full; warrants not outstanding

BEACH BUSINESS BANK MANHATTAN BEACH CA 6-Jul-11 $1,500,000.00 1,500 $1,000.00

BEACH BUSINESS BANK MANHATTAN BEACH CA 19-Oct-11 $1,500,000.00 1,500 $1,000.00

BEACH BUSINESS BANK MANHATTAN BEACH CA 7-Mar-12 $1,500,000.00 1,500 $1,000.00

BEACH BUSINESS BANK MANHATTAN BEACH CA 6-Jun-12 $1,200,000.00 1,200 $1,000.00

BEACH BUSINESS BANK MANHATTAN BEACH CA 27-Jun-12 $300,000.00 300 $1,000.00 $300,000.00 300

11,14,8 BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC. PHOENIXVILLE PA 12-Jun-09 Preferred Stock w/ Exercised Warrants $2,892,000.00 $0.00 $3,444,478.21 Redeemed, in full; warrants not outstanding

BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC. PHOENIXVILLE PA 19-Sep-11 $0.00 2,892 $1,000.00

BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC. PHOENIXVILLE PA 28-Dec-11 $2,892,000.00 2,892 $1,000.00 $145,000.00 145

11 BERKSHIRE HILLS BANCORP, INC. PITTSFIELD MA 19-Dec-08 Preferred Stock w/ Warrants $40,000,000.00 $0.00 $41,917,777.78 Redeemed, in full; warrants not outstanding

BERKSHIRE HILLS BANCORP, INC. PITTSFIELD MA 27-May-09 $40,000,000.00 40,000 $1,000.00

BERKSHIRE HILLS BANCORP, INC. PITTSFIELD MA 24-Jun-09 $1,040,000.00 226,330

44,8,14 BERN BANCSHARES, INC. BERN KS 13-Feb-09 Preferred Stock w/ Exercised Warrants $985,000.00 $0.00 $1,172,062.50 Redeemed, in full; warrants not outstanding

BERN BANCSHARES, INC. BERN KS 1-Sep-11 $985,000.00 985 $1,000.00 $50,000.00 5

8,14,18,44 BIRMINGHAM BLOOMFIELD BANCSHARES, INC. BIRMINGHAM MI 24-Apr-09 Preferred Stock w/ Exercised Warrants $1,635,000.00 $0.00 $3,803,022.67 Redeemed, in full; warrants not outstanding

BIRMINGHAM BLOOMFIELD BANCSHARES, INC. BIRMINGHAM MI 18-Dec-09 $1,744,000.00

BIRMINGHAM BLOOMFIELD BANCSHARES, INC. BIRMINGHAM MI 28-Jul-11 $3,379,000.00 3,379 $1,000.00 $82,000.00 82

15,17 BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 19-Jun-09 Subordinated Debentures w/ Exercised Warrants $6,400,000.00 $0.00 $8,271,975.28 Sold, in full; warrants not outstanding

BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 7-Feb-13 $2,532,140.00 2,600,000 $0.97 ($67,860.00) $64,158.97 64,000

BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 8-Feb-13 $3,700,820.00 3,800,000 $0.97 ($99,180.00) $140,347.75 140,000

BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 26-Mar-13 ($62,329.60)

8,14 BLACKHAWK BANCORP, INC. BELOIT WI 13-Mar-09 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,459,461.11 Sold, in full; warrants not outstanding

BLACKHAWK BANCORP, INC. BELOIT WI 29-Oct-12 $186,550.00 205 $910.00 ($18,450.00)

BLACKHAWK BANCORP, INC. BELOIT WI 31-Oct-12 $8,913,450.00 9,795 $910.00 ($881,550.00) $470,250.00 500

BLACKHAWK BANCORP, INC. BELOIT WI 11-Jan-13 ($91,000.00)

14,8,14 BLACKRIDGE FINANCIAL, INC. FARGO ND 22-May-09 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $6,127,326.35 Redeemed, in full; warrants not outstanding

BLACKRIDGE FINANCIAL, INC. FARGO ND 27-Jun-12 $2,250,000.00 2,250 $1,000.00

BLACKRIDGE FINANCIAL, INC. FARGO ND 12-Sep-12 $2,750,000.00 2,750 $1,000.00 $250,000.00 250
Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

8,14 BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 6-Mar-09 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $11,938,437.34 Sold, in full; warrants not outstanding

BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 29-Oct-12 $19,630.00 26 $755.00 ($6,370.00)

BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 31-Oct-12 $9,040,370.00 11,974 $755.00 ($2,933,630.00) $541,793.34 600

BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 11-Jan-13 ($90,600.00)

8,64,97 BLUE RIVER BANCSHARES, INC. SHELBYVILLE IN 6-Mar-09 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $529,105.00 Currently not collectible

BLUE RIVER BANCSHARES, INC. SHELBYVILLE IN 10-Feb-12 ($5,000,000.00)

BLUE VALLEY BAN CORP OVERLAND PARK KS 5-Dec-08 Preferred Stock w/ Warrants $21,750,000.00 $0.00 $21,261,845.65 Sold, in full; warrants outstanding

BLUE VALLEY BAN CORP OVERLAND PARK KS 18-Oct-13 $3,177,232.50 3,250 $977.60 ($72,767.50)

BLUE VALLEY BAN CORP OVERLAND PARK KS 21-Oct-13 $18,085,785.00 18,500 $977.60 ($414,215.00)

BLUE VALLEY BAN CORP OVERLAND PARK KS 6-Jan-14 ($212,630.18)

8 BNB FINANCIAL SERVICES CORPORATION NEW YORK NY 17-Apr-09 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $9,776,051.62 Redeemed, in full; warrants not outstanding

BNB FINANCIAL SERVICES CORPORATION NEW YORK NY 30-Aug-13 $7,500,000.00 7,500 $1,000.00 $375,000.00 375

BNC BANCORP THOMASVILLE NC 5-Dec-08 Preferred Stock w/ Warrants $31,260,000.00 $0.00 $35,140,666.12 Sold, in full; warrants not outstanding

BNC BANCORP THOMASVILLE NC 29-Aug-12 $28,797,649.80 ($431,964.75) 31,260 $921.20 ($2,462,350.20)

BNC BANCORP THOMASVILLE NC 19-Sep-12 $939,920.00 543,337

44,8,14 BNC FINANCIAL GROUP, INC. NEW CANAAN CT 27-Feb-09 Preferred Stock w/ Exercised Warrants $4,797,000.00 $0.00 $5,673,920.75 Redeemed, in full; warrants not outstanding

BNC FINANCIAL GROUP, INC. NEW CANAAN CT 4-Aug-11 $4,797,000.00 4,797 $1,000.00 $240,000.00 240

8 BNCCORP, INC. BISMARCK ND 16-Jan-09 Preferred Stock w/ Exercised Warrants $20,093,000.00 $20,093,000.00 $5,589,559.22 Full investment outstanding; warrants outstanding

44,8,14 BOH HOLDINGS, INC. HOUSTON TX 6-Mar-09 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,783,777.44 Redeemed, in full; warrants not outstanding

BOH HOLDINGS, INC. HOUSTON TX 14-Jul-11 $10,000,000.00 10,000 $1,000.00 $500,000.00 500

15,14 BOSCOBEL BANCORP, INC. BOSCOBEL WI 15-May-09 Subordinated Debentures w/ Exercised Warrants $5,586,000.00 $0.00 $6,947,457.50 Sold, in full; warrants not outstanding

BOSCOBEL BANCORP, INC. BOSCOBEL WI 8-Mar-13 $232,180.54 179,000

BOSCOBEL BANCORP, INC. BOSCOBEL WI 11-Mar-13 $5,586,000.00 5,586,000 $1.11 $592,730.46 $129,709.80 100,000

BOSCOBEL BANCORP, INC. BOSCOBEL WI 9-Apr-13 ($61,787.30)

11 BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 21-Nov-08 Preferred Stock w/ Warrants $154,000,000.00 $0.00 $171,224,745.48 Redeemed, in full; warrants not outstanding

BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 13-Jan-10 $50,000,000.00 50,000 $1,000.00

BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 16-Jun-10 $104,000,000.00 104,000 $1,000.00

BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 7-Feb-11 $6,202,523.25 2,887,500

11 BRIDGE CAPITAL HOLDINGS SAN JOSE CA 23-Dec-08 Preferred Stock w/ Warrants $23,864,000.00 $0.00 $27,872,582.22 Redeemed, in full; warrants not outstanding

BRIDGE CAPITAL HOLDINGS SAN JOSE CA 23-Feb-11 $15,000,000.00 15,000 $1,000.00

BRIDGE CAPITAL HOLDINGS SAN JOSE CA 16-Mar-11 $8,864,000.00 8,864 $1,000.00

BRIDGE CAPITAL HOLDINGS SAN JOSE CA 20-Apr-11 $1,395,000.00 396,412

8 BRIDGEVIEW BANCORP, INC. BRIDGEVIEW IL 19-Dec-08 Preferred Stock w/ Exercised Warrants $38,000,000.00 $0.00 $13,447,811.37 Sold, in full; warrants not outstanding

BRIDGEVIEW BANCORP, INC. BRIDGEVIEW IL 19-Nov-13 $10,450,000.00 38,000 $275.00 ($27,550,000.00) $709,155.81 1,900

BRIDGEVIEW BANCORP, INC. BRIDGEVIEW IL 6-Jan-14 ($104,500.00)

9,10,18,65,96,99 BROADWAY FINANCIAL CORPORATION LOS ANGELES CA 14-Nov-08 Preferred Stock w/ Warrants $9,000,000.00 $15,000,000.00 $810,416.67 Full investment outstanding; warrants not outstanding

BROADWAY FINANCIAL CORPORATION LOS ANGELES CA 4-Dec-09 $6,000,000.00

15,14 BROGAN BANKSHARES, INC. KAUKAUNA WI 15-May-09 Subordinated Debentures w/ Exercised Warrants $2,400,000.00 $0.00 $3,022,879.60 Sold, in full; warrants not outstanding

BROGAN BANKSHARES, INC. KAUKAUNA WI 26-Apr-13 $60,000.00 60,000 $1.05 $3,000.60

BROGAN BANKSHARES, INC. KAUKAUNA WI 29-Apr-13 $2,340,000.00 2,340,000 $1.05 $117,023.40 $125,135.60 120,000

BROGAN BANKSHARES, INC. KAUKAUNA WI 31-May-13 ($25,000.00)

8,44,14 BROTHERHOOD BANCSHARES, INC. KANSAS CITY KS 17-Jul-09 Preferred Stock w/ Exercised Warrants $11,000,000.00 $0.00 $12,845,586.01 Redeemed, in full; warrants not outstanding

BROTHERHOOD BANCSHARES, INC. KANSAS CITY KS 15-Sep-11 $11,000,000.00 11,000 $1,000.00 $550,000.00 550

11,8,14 BUSINESS BANCSHARES, INC. CLAYTON MO 24-Apr-09 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $18,707,708.84 Redeemed, in full; warrants not outstanding

BUSINESS BANCSHARES, INC. CLAYTON MO 23-May-12 $6,000,000.00 6,000 $1,000.00

BUSINESS BANCSHARES, INC. CLAYTON MO 9-Jan-13 $2,500,000.00 2,500 $1,000.00

BUSINESS BANCSHARES, INC. CLAYTON MO 24-Apr-13 $6,500,000.00 6,500 $1,000.00 $750,000.00 750

11,8,14 BUTLER POINT, INC. CATLIN IL 13-Mar-09 Preferred Stock w/ Exercised Warrants $607,000.00 $0.00 $724,123.53 Redeemed, in full; warrants not outstanding

BUTLER POINT, INC. CATLIN IL 2-Nov-11 $607,000.00 607 $1,000.00 $30,000.00 30

11 C&F FINANCIAL CORPORATION WEST POINT VA 9-Jan-09 Preferred Stock w/ Warrants $20,000,000.00 $0.00 $22,902,777.78 Redeemed, in full; warrants outstanding

C&F FINANCIAL CORPORATION WEST POINT VA 27-Jul-11 $10,000,000.00 10,000 $1,000.00

C&F FINANCIAL CORPORATION WEST POINT VA 11-Apr-12 $10,000,000.00 10,000 $1,000.00

8,14,18,44 CACHE VALLEY BANKING COMPANY LOGAN UT 23-Dec-08 Preferred Stock w/ Exercised Warrants $4,767,000.00 $0.00 $10,674,333.80 Redeemed, in full; warrants not outstanding

CACHE VALLEY BANKING COMPANY LOGAN UT 18-Dec-09 $4,640,000.00

CACHE VALLEY BANKING COMPANY LOGAN UT 14-Jul-11 $9,407,000.00 9,407 $1,000.00 $238,000.00 238

CADENCE FINANCIAL CORPORATION STARKVILLE MS 9-Jan-09 Preferred Stock w/ Warrants $44,000,000.00 $0.00 $41,984,062.50 Sold, in full; warrants not outstanding

CADENCE FINANCIAL CORPORATION STARKVILLE MS 4-Mar-11 $38,000,000.00 44,000 $863.60 ($6,000,000.00)

44,8,14 CALIFORNIA BANK OF COMMERCE LAFAYETTE CA 27-Feb-09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,755,899.67 Redeemed, in full; warrants not outstanding

CALIFORNIA BANK OF COMMERCE LAFAYETTE CA 15-Sep-11 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

11,8,14 CALIFORNIA OAKS STATE BANK THOUSAND OAKS CA 23-Jan-09 Preferred Stock w/ Exercised Warrants $3,300,000.00 $0.00 $3,802,219.25 Redeemed, in full; warrants not outstanding

CALIFORNIA OAKS STATE BANK THOUSAND OAKS CA 8-Dec-10 $3,300,000.00 3,300 $1,000.00 $165,000.00 165

8 CALVERT FINANCIAL CORPORATION ASHLAND MO 23-Jan-09 Preferred Stock w/ Exercised Warrants $1,037,000.00 $1,037,000.00 $215,442.61 Full investment outstanding; warrants outstanding

8 CALWEST BANCORP RANCHO SANTA MARGARITCA 23-Jan-09 Preferred Stock w/ Exercised Warrants $4,656,000.00 $4,656,000.00 $396,163.67 Full investment outstanding; warrants outstanding

11,8,14 CAPITAL BANCORP, INC. ROCKVILLE MD 23-Dec-08 Preferred Stock w/ Exercised Warrants $4,700,000.00 $0.00 $5,452,281.19 Redeemed, in full; warrants not outstanding

CAPITAL BANCORP, INC. ROCKVILLE MD 30-Dec-10 $4,700,000.00 4,700 $1,000.00 $235,000.00 235

39 CAPITAL BANK CORPORATION RALEIGH NC 12-Dec-08 Preferred Stock w/ Warrants $41,279,000.00 $0.00 $45,252,104.25 Redeemed, in full; warrants not outstanding

CAPITAL BANK CORPORATION RALEIGH NC 28-Jan-11 $41,279,000.00 41,279 $1,000.00

8 CAPITAL COMMERCE BANCORP, INC. MILWAUKEE WI 10-Apr-09 Preferred Stock w/ Exercised Warrants $5,100,000.00 $5,100,000.00 $304,973.00 Full investment outstanding; warrants outstanding

11 CAPITAL ONE FINANCIAL CORP MCLEAN VA 14-Nov-08 Preferred Stock w/ Warrants $3,555,199,000.00 $0.00 $3,806,873,702.13 Redeemed, in full; warrants not outstanding

CAPITAL ONE FINANCIAL CORP MCLEAN VA 17-Jun-09 $3,555,199,000.00 3,555,199 $1,000.00

CAPITAL ONE FINANCIAL CORP MCLEAN VA 9-Dec-09 $146,500,064.55 12,657,960

8,14 CAPITAL PACIFIC BANCORP PORTLAND OR 23-Dec-08 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,742,850.89 Sold, in full; warrants not outstanding

CAPITAL PACIFIC BANCORP PORTLAND OR 8-Nov-12 $247,727.04 264 $938.40 ($16,272.96)

CAPITAL PACIFIC BANCORP PORTLAND OR 9-Nov-12 $3,505,712.96 3,736 $938.40 ($230,287.04) $169,042.00 200

CAPITAL PACIFIC BANCORP PORTLAND OR 11-Jan-13 ($25,000.00)

15,45,14 CARDINAL BANCORP II, INC. WASHINGTON MO 23-Oct-09 Subordinated Debentures w/ Exercised Warrants $6,251,000.00 $0.00 $7,547,479.56 Redeemed, in full; warrants not outstanding

CARDINAL BANCORP II, INC. WASHINGTON MO 8-Sep-11 $6,251,000.00 6,251,000 $1.00 $313,000.00 313,000

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 9-Jan-09 Preferred Stock w/ Warrants $16,000,000.00 $0.00 $19,941,788.94 Sold, in full; warrants not outstanding

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 20-Feb-13 $14,525,843.40 15,534 $935.10 ($1,008,156.60)

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 21-Feb-13 $435,756.60 466 $935.10 ($30,243.40)

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 26-Mar-13 ($149,616.00)

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 19-Apr-13 $1,800,000.00 357,675

CAROLINA TRUST BANK LINCOLNTON NC 6-Feb-09 Preferred Stock w/ Warrants $4,000,000.00 $0.00 $3,994,452.00 Sold, in full; warrants not outstanding

CAROLINA TRUST BANK LINCOLNTON NC 30-Nov-12 $3,412,000.00 4,000 $853.00 ($588,000.00)

CAROLINA TRUST BANK LINCOLNTON NC 11-Jan-13 ($34,120.00)

CAROLINA TRUST BANK LINCOLNTON NC 26-Mar-13 ($15,880.00)

CAROLINA TRUST BANK LINCOLNTON NC 11-Jun-13 $19,132.00 86,957

11 CARROLLTON BANCORP BALTIMORE MD 13-Feb-09 Preferred Stock w/ Warrants $9,201,000.00 $0.00 $11,388,958.51 Redeemed, in full; warrants not outstanding

CARROLLTON BANCORP BALTIMORE MD 19-Apr-13 $9,201,000.00 9,201 $1,000.00 $213,594.16 205,379

11,9,36 CARVER BANCORP, INC. NEW YORK NY 16-Jan-09 Preferred Stock $18,980,000.00 $0.00 $20,511,580.55 Redeemed, in full; warrants not outstanding

CARVER BANCORP, INC. NEW YORK NY 27-Aug-10 $18,980,000.00 18,980 $1,000.00

CASCADE FINANCIAL CORPORATION EVERETT WA 21-Nov-08 Preferred Stock w/ Warrants $38,970,000.00 $0.00 $17,678,900.00 Sold, in full; warrants not outstanding

CASCADE FINANCIAL CORPORATION EVERETT WA 30-Jun-11 $16,250,000.00 38,970 $417.00 ($22,720,000.00)

11 CATHAY GENERAL BANCORP LOS ANGELES CA 5-Dec-08 Preferred Stock w/ Warrants $258,000,000.00 $0.00 $329,874,444.96 Redeemed, in full; warrants not outstanding

CATHAY GENERAL BANCORP LOS ANGELES CA 20-Mar-13 $129,000,000.00 129,000 $1,000.00

CATHAY GENERAL BANCORP LOS ANGELES CA 30-Sep-13 $129,000,000.00 129,000 $1,000.00
Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

CATHAY GENERAL BANCORP LOS ANGELES CA 9-Dec-13 $13,107,778.30 1,846,374

8,18,14,44 CATSKILL HUDSON BANCORP, INC. ROCK HILL NY 27-Feb-09 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $7,448,071.47 Redeemed, in full; warrants not outstanding

CATSKILL HUDSON BANCORP, INC. ROCK HILL NY 22-Dec-09 $3,500,000.00

CATSKILL HUDSON BANCORP, INC. ROCK HILL NY 21-Jul-11 $6,500,000.00 6,500 $1,000.00 $263,000.00 263

8,57,97 CB HOLDING CORP. ALEDO IL 29-May-09 Preferred Stock w/ Exercised Warrants $4,114,000.00 $0.00 $271,579.53 Currently not collectible

CB HOLDING CORP. ALEDO IL 14-Oct-11 ($4,114,000.00)

8,18,18 CBB BANCORP CARTERSVILLE GA 20-Feb-09 Preferred Stock w/ Exercised Warrants $2,644,000.00 $0.00 $4,982,141.86 Sold, in full; warrants not outstanding

CBB BANCORP CARTERSVILLE GA 29-Dec-09 $1,753,000.00

CBB BANCORP CARTERSVILLE GA 28-Nov-12 $1,268,825.60 1,360 $932.05 ($91,174.40)

CBB BANCORP CARTERSVILLE GA 29-Nov-12 $2,831,259.86 3,037 $932.05 ($205,740.14) $115,861.34 132

CBB BANCORP CARTERSVILLE GA 11-Jan-13 ($32,969.92)

CBB BANCORP CARTERSVILLE GA 26-Mar-13 ($363.42)

8,14 CBS BANC-CORP. RUSSELLVILLE AL 27-Mar-09 Preferred Stock w/ Exercised Warrants $24,300,000.00 $0.00 $27,432,357.95 Sold, in full; warrants not outstanding

CBS BANC-CORP. RUSSELLVILLE AL 7-Aug-12 $287,213.85 315

CBS BANC-CORP. RUSSELLVILLE AL 9-Aug-12 $923,304.00 1,020 $905.20 ($96,696.00) $689,313.24 756

CBS BANC-CORP. RUSSELLVILLE AL 10-Aug-12 $21,073,056.00 23,280 $905.20 ($2,206,944.00) $131,297.76 144

CBS BANC-CORP. RUSSELLVILLE AL 11-Sep-12 ($219,963.60)

CECIL BANCORP, INC. ELKTON MD 23-Dec-08 Preferred Stock w/ Warrants $11,560,000.00 $11,560,000.00 $516,988.89 Full investment outstanding; warrants outstanding

8 CEDARSTONE BANK LEBANON TN 6-Feb-09 Preferred Stock w/ Exercised Warrants $3,564,000.00 $0.00 $4,672,098.50 Redeemed, in full; warrants not outstanding

CEDARSTONE BANK LEBANON TN 20-Nov-13 $3,564,000.00 3,564 $1,000.00 $178,000.00 178

44 CENTER BANCORP, INC. UNION NJ 9-Jan-09 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $11,586,666.67 Redeemed, in full; warrants not outstanding

CENTER BANCORP, INC. UNION NJ 15-Sep-11 $10,000,000.00 10,000 $1,000.00

CENTER BANCORP, INC. UNION NJ 7-Dec-11 $245,000.00 86,705

11,59 CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC. LOS ANGELES CA 12-Dec-08 Preferred Stock w/ Warrants $55,000,000.00 $0.00 $64,739,583.33 Redeemed, in full; warrants outstanding

CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC. LOS ANGELES CA 27-Jun-12 $55,000,000.00 55,000 $1,000.00

8,14 CENTERBANK MILFORD OH 1-May-09 Preferred Stock w/ Exercised Warrants $2,250,000.00 $0.00 $2,344,662.43 Sold, in full; warrants not outstanding

CENTERBANK MILFORD OH 29-Oct-12 $24,750.00 30 $825.00 ($5,250.00)

CENTERBANK MILFORD OH 1-Nov-12 $1,831,500.00 2,220 $825.00 ($388,500.00) $84,057.43 113

CENTERBANK MILFORD OH 11-Jan-13 ($18,562.50)

CENTERBANK MILFORD OH 26-Mar-13 ($6,437.50)

12,16 CENTERSTATE BANKS OF FLORIDA INC. DAVENPORT FL 21-Nov-08 Preferred Stock w/ Warrants $27,875,000.00 $0.00 $29,283,302.58 Redeemed, in full; warrants not outstanding

CENTERSTATE BANKS OF FLORIDA INC. DAVENPORT FL 30-Sep-09 $27,875,000.00 27,875 $1,000.00

CENTERSTATE BANKS OF FLORIDA INC. DAVENPORT FL 28-Oct-09 $212,000.00 125,413

11,8,14 CENTRA FINANCIAL HOLDINGS, INC. MORGANTOWN WV 16-Jan-09 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $15,922,937.50 Redeemed, in full; warrants not outstanding

CENTRA FINANCIAL HOLDINGS, INC. MORGANTOWN WV 31-Mar-09 $15,000,000.00 15,000 $1,000.00

CENTRA FINANCIAL HOLDINGS, INC. MORGANTOWN WV 15-Apr-09 $750,000.00 750

45 CENTRAL BANCORP, INC. (MA) SOMERVILLE MA 5-Dec-08 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $13,886,111.11 Redeemed, in full; warrants not outstanding

CENTRAL BANCORP, INC. (MA) SOMERVILLE MA 25-Aug-11 $10,000,000.00 10,000 $1,000.00

CENTRAL BANCORP, INC. (MA) SOMERVILLE MA 19-Oct-11 $2,525,000.00 234,742

8 CENTRAL BANCORP, INC. (TX) GARLAND TX 27-Feb-09 Preferred Stock w/ Exercised Warrants $22,500,000.00 $22,500,000.00 $2,411,625.00 Full investment outstanding; warrants outstanding

11,8,14 CENTRAL BANCSHARES, INC. HOUSTON TX 30-Jan-09 Preferred Stock w/ Exercised Warrants $5,800,000.00 $0.00 $6,859,176.83 Redeemed, in full; warrants not outstanding

CENTRAL BANCSHARES, INC. HOUSTON TX 6-Jul-11 $5,800,000.00 5,800 $1,000.00 $290,000.00 290

8,14 CENTRAL COMMUNITY CORPORATION TEMPLE TX 20-Feb-09 Preferred Stock w/ Exercised Warrants $22,000,000.00 $0.00 $25,797,528.80 Sold, in full; warrants not outstanding

CENTRAL COMMUNITY CORPORATION TEMPLE TX 10-Dec-12 $5,333,059.60 5,758 $926.20 ($424,940.40)

CENTRAL COMMUNITY CORPORATION TEMPLE TX 11-Dec-12 $15,043,340.40 16,242 $926.20 ($1,198,659.60) $1,058,725.80 1,100

CENTRAL COMMUNITY CORPORATION TEMPLE TX 11-Jan-13 ($203,764.00)

CENTRAL FEDERAL CORPORATION FAIRLAWN OH 5-Dec-08 Preferred Stock w/ Warrants $7,225,000.00 $0.00 $3,612,118.06 Sold, in full; warrants not outstanding

CENTRAL FEDERAL CORPORATION FAIRLAWN OH 26-Sep-12 $3,000,000.00 7,225 $415.20 ($4,225,000.00)

11 CENTRAL JERSEY BANCORP OAKHURST NJ 23-Dec-08 Preferred Stock w/ Warrants $11,300,000.00 $0.00 $12,704,145.10 Redeemed, in full; warrants not outstanding

CENTRAL JERSEY BANCORP OAKHURST NJ 24-Nov-10 $11,300,000.00 11,300 $1,000.00

CENTRAL JERSEY BANCORP OAKHURST NJ 1-Dec-10 $319,658.99 268,621

40 CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 9-Jan-09 Preferred Stock w/ Warrants $135,000,000.00 $0.00 $75,036,891.42 Sold, in full; warrants not outstanding

CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 22-Jun-11 $36,337,500.00 ($454,218.75) 2,850,000 $12.75 ($32,121,928.87)

CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 4-Apr-12 $36,427,038.55 ($387,816.38) 2,770,117 $13.15 ($30,113,532.58)

CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 11-Jun-13 $751,888.00 79,288

45 CENTRAL VALLEY COMMUNITY BANCORP FRESNO CA 30-Jan-09 Preferred Stock w/ Warrants $7,000,000.00 $0.00 $8,077,516.47 Redeemed, in full; warrants not outstanding

CENTRAL VALLEY COMMUNITY BANCORP FRESNO CA 18-Aug-11 $7,000,000.00 7,000 $1,000.00

CENTRAL VALLEY COMMUNITY BANCORP FRESNO CA 28-Sep-11 $185,016.80 79,067

93 CENTRAL VIRGINIA BANKSHARES, INC. POWHATAN VA 30-Jan-09 Preferred Stock w/ Warrants $11,385,000.00 $0.00 $3,800,656.00 Sold, in full; warrants not outstanding

CENTRAL VIRGINIA BANKSHARES, INC. POWHATAN VA 1-Oct-13 $3,350,000.00 11,385 $294.20 ($8,035,000.00)

8,17,44 CENTRIC FINANCIAL CORPORATION HARRISBURG PA 18-Dec-09 Preferred Stock w/ Exercised Warrants $6,056,000.00 $0.00 $6,739,821.89 Redeemed, in full; warrants not outstanding

CENTRIC FINANCIAL CORPORATION HARRISBURG PA 14-Jul-11 $6,056,000.00 6,056 $1,000.00 $182,000.00 182

44,8,14 CENTRIX BANK & TRUST BEDFORD NH 6-Feb-09 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $8,887,791.42 Redeemed, in full; warrants not outstanding

CENTRIX BANK & TRUST BEDFORD NH 28-Jul-11 $7,500,000.00 7,500 $1,000.00 $375,000.00 375

CENTRUE FINANCIAL CORPORATION OTTAWA IL 9-Jan-09 Preferred Stock w/ Warrants $32,668,000.00 $1,402,000.00 $10,631,525.50 Sold, in part; warrants outstanding

CENTRUE FINANCIAL CORPORATION OTTAWA IL 25-Sep-13 $8,211,450.00 25,266 $325.00 ($17,054,550.00)

CENTRUE FINANCIAL CORPORATION OTTAWA IL 18-Oct-13 $1,950,000.00 6,000 $325.00 ($4,050,000.00)

CENTRUE FINANCIAL CORPORATION OTTAWA IL 29-Oct-13 ($82,114.50)

CENTRUE FINANCIAL CORPORATION OTTAWA IL 6-Jan-14 ($19,500.00)

15,14 CENTURY FINANCIAL SERVICES CORPORATION SANTA FE NM 19-Jun-09 Subordinated Debentures w/ Exercised Warrants $10,000,000.00 $0.00 $13,186,960.25 Sold, in full; warrants not outstanding

CENTURY FINANCIAL SERVICES CORPORATION SANTA FE NM 19-Dec-12 $39,400.00 40,000 $0.99 ($600.00) $198,635.58 200,000

CENTURY FINANCIAL SERVICES CORPORATION SANTA FE NM 20-Dec-12 $9,810,600.00 9,960,000 $0.99 ($149,400.00) $297,953.37 300,000

CENTURY FINANCIAL SERVICES CORPORATION SANTA FE NM 11-Jan-13 ($98,500.00)

15 CHAMBERS BANCSHARES, INC. DANVILLE AR 29-May-09 Subordinated Debentures w/ Exercised Warrants $19,817,000.00 $19,817,000.00 $5,754,674.98 Full investment outstanding; warrants outstanding

8 CHICAGO SHORE CORPORATION CHICAGO IL 31-Jul-09 Preferred Stock w/ Exercised Warrants $7,000,000.00 $7,000,000.00 $1,637,270.81 Full investment outstanding; warrants outstanding

23 CIT GROUP INC. NEW YORK NY 31-Dec-08 Preferred Stock w/ Warrants $2,330,000,000.00 $0.00 $43,687,500.00 Exited bankruptcy/receivership

CIT GROUP INC. NEW YORK NY 10-Dec-09 ($2,330,000,000.00)

19,30 CITIGROUP INC. NEW YORK NY 28-Oct-08 Preferred Stock w/ Warrants $25,000,000,000.00 $0.00 $32,839,267,986.44 Redeemed, in full; warrants not outstanding

CITIGROUP INC. NEW YORK NY 10-Dec-10 $25,000,000,000.00 7,692,307,692 $4.14 $6,852,354,470.93

CITIGROUP INC. NEW YORK NY 31-Jan-11 $54,621,848.84 210,084,034

11 CITIZENS & NORTHERN CORPORATION WELLSBORO PA 16-Jan-09 Preferred Stock w/ Warrants $26,440,000.00 $0.00 $28,889,100.00 Redeemed, in full; warrants not outstanding

CITIZENS & NORTHERN CORPORATION WELLSBORO PA 4-Aug-10 $26,440,000.00 26,440 $1,000.00

CITIZENS & NORTHERN CORPORATION WELLSBORO PA 1-Sep-10 $400,000.00 194,794

8,55,97 CITIZENS BANCORP NEVADA CITY CA 23-Dec-08 Preferred Stock w/ Exercised Warrants $10,400,000.00 $0.00 $223,571.11 Currently not collectible

CITIZENS BANCORP NEVADA CITY CA 23-Sep-11 ($10,400,000.00)

8,14 CITIZENS BANCSHARES CO. CHILLICOTHE MO 29-May-09 Preferred Stock w/ Exercised Warrants $24,990,000.00 $0.00 $13,952,381.45 Sold, in full; warrants not outstanding

CITIZENS BANCSHARES CO. CHILLICOTHE MO 7-Feb-13 $6,657,375.00 12,990 $512.50 ($6,332,625.00) $258,018.75 500

CITIZENS BANCSHARES CO. CHILLICOTHE MO 8-Feb-13 $6,150,000.00 12,000 $512.50 ($5,850,000.00) $387,028.12 750

CITIZENS BANCSHARES CO. CHILLICOTHE MO 26-Mar-13 ($128,073.75)

11,9,36 CITIZENS BANCSHARES CORPORATION ATLANTA GA 6-Mar-09 Preferred Stock $7,462,000.00 $0.00 $7,997,813.22 Redeemed, in full; warrants not outstanding

CITIZENS BANCSHARES CORPORATION ATLANTA GA 13-Aug-10 $7,462,000.00 7,462 $1,000.00

8 CITIZENS BANK & TRUST COMPANY, ESTABLISHED 1945 COVINGTON LA 20-Mar-09 Preferred Stock w/ Exercised Warrants $2,400,000.00 $2,400,000.00 $445,083.00 Full investment outstanding; warrants outstanding

8 CITIZENS COMMERCE BANCSHARES, INC. VERSAILLES KY 6-Feb-09 Preferred Stock w/ Exercised Warrants $6,300,000.00 $6,300,000.00 $180,258.50 Full investment outstanding; warrants outstanding

44,8,14 CITIZENS COMMUNITY BANK SOUTH HILL VA 23-Dec-08 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,574,645.84 Redeemed, in full; warrants not outstanding

CITIZENS COMMUNITY BANK SOUTH HILL VA 28-Jul-11 $3,000,000.00 3,000 $1,000.00 $150,000.00 150

11 CITIZENS FIRST CORPORATION BOWLING GREEN KY 19-Dec-08 Preferred Stock w/ Warrants $8,779,000.00 $0.00 $10,530,923.11 Redeemed, in full; warrants outstanding

CITIZENS FIRST CORPORATION BOWLING GREEN KY 16-Feb-11 $2,212,308.00 63 $35,116.00
Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

CITIZENS FIRST CORPORATION BOWLING GREEN KY 13-Feb-13 $3,300,904.00 94 $35,116.00

CITIZENS FIRST CORPORATION BOWLING GREEN KY 15-Jan-14 $3,265,788.00 93 $35,116.00

86 CITIZENS REPUBLIC BANCORP, INC. FLINT MI 12-Dec-08 Preferred Stock w/ Warrants $300,000,000.00 $0.00 $369,245,436.64 Redeemed, in full; warrants outstanding

CITIZENS REPUBLIC BANCORP, INC. FLINT MI 12-Apr-13 $300,000,000.00 300,000 $1,000.00

45 CITIZENS SOUTH BANKING CORPORATION GASTONIA NC 12-Dec-08 Preferred Stock w/ Warrants $20,500,000.00 $0.00 $23,572,379.22 Redeemed, in full; warrants not outstanding

CITIZENS SOUTH BANKING CORPORATION GASTONIA NC 22-Sep-11 $20,500,000.00 20,500 $1,000.00

CITIZENS SOUTH BANKING CORPORATION GASTONIA NC 9-Nov-11 $225,157.00 450,314

8,9 CITY NATIONAL BANCSHARES CORPORATION NEWARK NJ 10-Apr-09 Preferred Stock $9,439,000.00 $9,439,000.00 $281,859.00 Full investment outstanding; warrants not outstanding

11 CITY NATIONAL CORPORATION BEVERLY HILLS CA 21-Nov-08 Preferred Stock w/ Warrants $400,000,000.00 $0.00 $442,416,666.67 Redeemed, in full; warrants not outstanding

CITY NATIONAL CORPORATION BEVERLY HILLS CA 30-Dec-09 $200,000,000.00 200,000 $1,000.00

CITY NATIONAL CORPORATION BEVERLY HILLS CA 3-Mar-10 $200,000,000.00 200,000 $1,000.00

CITY NATIONAL CORPORATION BEVERLY HILLS CA 7-Apr-10 $18,500,000.00 1,128,668

8,14 CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 27-Mar-09 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,318,585.05 Sold, in full; warrants not outstanding

CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 28-Nov-12 $955,825.50 1,095 $872.90 ($139,174.50)

CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 29-Nov-12 $1,662,874.50 1,905 $872.90 ($242,125.50) $114,021.50 150

CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 11-Jan-13 ($25,000.00)

82 COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 5-Dec-08 Preferred Stock w/ Warrants $9,950,000.00 $0.00 $11,166,897.79 Sold, in full; warrants not outstanding

COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 8-Mar-13 $3,772,645.00 3,950 $955.10 ($177,355.00)

COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 11-Mar-13 $5,730,600.00 6,000 $955.10 ($269,400.00)

COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 9-Apr-13 ($95,032.45)

COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 10-Apr-13 $99,000.00 60,000

COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 12-Jun-13 $225,647.45 145,579

8,17 COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 28-Aug-09 Preferred Stock w/ Exercised Warrants $16,015,000.00 $0.00 $14,257,487.71 Sold, in full; warrants not outstanding

COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 8-Mar-13 $397,550.00 500 $795.10 ($102,450.00) $389,857.05 450

COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 11-Mar-13 $12,335,976.50 15,515 $795.10 ($3,179,023.50) $25,990.47 30

COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 9-Apr-13 ($127,335.27)

45 COBIZ FINANCIAL INC. DENVER CO 19-Dec-08 Preferred Stock w/ Warrants $64,450,000.00 $0.00 $73,357,086.72 Redeemed, in full; warrants not outstanding

COBIZ FINANCIAL INC. DENVER CO 8-Sep-11 $64,450,000.00 64,450 $1,000.00

COBIZ FINANCIAL INC. DENVER CO 23-Nov-11 $143,677.00 895,968

44 CODORUS VALLEY BANCORP, INC. YORK PA 9-Jan-09 Preferred Stock w/ Warrants $16,500,000.00 $0.00 $19,178,479.00 Redeemed, in full; warrants not outstanding

CODORUS VALLEY BANCORP, INC. YORK PA 18-Aug-11 $16,500,000.00 16,500 $1,000.00

CODORUS VALLEY BANCORP, INC. YORK PA 28-Sep-11 $526,604.00 263,859

8,14 COLOEAST BANKSHARES, INC. LAMAR CO 13-Feb-09 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $10,670,784.03 Sold, in full; warrants not outstanding

COLOEAST BANKSHARES, INC. LAMAR CO 19-Jul-13 $46,995.00 52 $903.80 ($5,005.00)

COLOEAST BANKSHARES, INC. LAMAR CO 22-Jul-13 $8,990,505.00 9,948 $903.80 ($957,495.00) $494,381.25 50

COLOEAST BANKSHARES, INC. LAMAR CO 12-Sep-13 ($90,375.00)

11,8,14 COLONIAL AMERICAN BANK WEST CONSHOHOCKEN PA 27-Mar-09 Preferred Stock w/ Exercised Warrants $574,000.00 $0.00 $668,142.53 Redeemed, in full; warrants not outstanding

COLONIAL AMERICAN BANK WEST CONSHOHOCKEN PA 26-Oct-11 $574,000.00 574 $1,000.00 $29,000.00 29

COLONY BANKCORP, INC. FITZGERALD GA 9-Jan-09 Preferred Stock w/ Warrants $28,000,000.00 $0.00 $26,480,089.20 Sold, in full; warrants not outstanding

COLONY BANKCORP, INC. FITZGERALD GA 7-Feb-13 $21,633,944.71 27,661 $782.10 ($6,027,055.29)

COLONY BANKCORP, INC. FITZGERALD GA 8-Feb-13 $265,135.29 339 $782.10 ($73,864.71)

COLONY BANKCORP, INC. FITZGERALD GA 26-Mar-13 ($218,990.80)

COLONY BANKCORP, INC. FITZGERALD GA 12-Jun-13 $810,000.00 500,000

11,16 COLUMBIA BANKING SYSTEM, INC. TACOMA WA 21-Nov-08 Preferred Stock w/ Warrants $76,898,000.00 $0.00 $86,821,419.22 Redeemed, in full; warrants not outstanding

COLUMBIA BANKING SYSTEM, INC. TACOMA WA 11-Aug-10 $76,898,000.00 76,898 $1,000.00

COLUMBIA BANKING SYSTEM, INC. TACOMA WA 1-Sep-10 $3,301,647.00 398,023

44,8,14 COLUMBINE CAPITAL CORP. BUENA VISTA CO 27-Feb-09 Preferred Stock w/ Exercised Warrants $2,260,000.00 $0.00 $2,689,478.64 Redeemed, in full; warrants not outstanding

COLUMBINE CAPITAL CORP. BUENA VISTA CO 22-Sep-11 $2,260,000.00 2,260 $1,000.00 $113,000.00 113

11 COMERICA INC. DALLAS TX 14-Nov-08 Preferred Stock w/ Warrants $2,250,000,000.00 $0.00 $2,582,039,543.40 Redeemed, in full; warrants not outstanding

COMERICA INC. DALLAS TX 17-Mar-10 $2,250,000,000.00 2,250,000 $1,000.00

COMERICA INC. DALLAS TX 12-May-10 $181,102,043.40 11,479,592

11 COMMERCE NATIONAL BANK NEWPORT BEACH CA 9-Jan-09 Preferred Stock w/ Warrants $5,000,000.00 $0.00 $5,602,969.61 Redeemed, in full; warrants not outstanding

COMMERCE NATIONAL BANK NEWPORT BEACH CA 7-Oct-09 $5,000,000.00 5,000 $1,000.00

COMMERCE NATIONAL BANK NEWPORT BEACH CA 1-Oct-13 $566,858.50 87,209

15,14 COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 22-May-09 Subordinated Debentures w/ Exercised Warrants $20,400,000.00 $0.00 $21,575,016.54 Sold, in full; warrants not outstanding

COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 7-Aug-12 $130,500.00 174,000 $0.75 ($43,500.00)

COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 8-Aug-12 $1,469,250.00 1,959,000 $0.75 ($489,750.00)

COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 9-Aug-12 $13,100,250.00 17,467,000 $0.75 ($4,366,750.00) $792,990.00 900,000

COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 10-Aug-12 $600,000.00 800,000 $0.75 ($200,000.00) $105,732.00 120,000

COMMONWEALTH BANCSHARES, INC. LOUISVILLE KY 11-Sep-12 ($153,000.00)

8,14 COMMONWEALTH BUSINESS BANK LOS ANGELES CA 23-Jan-09 Preferred Stock w/ Exercised Warrants $7,701,000.00 $0.00 $8,451,110.79 Sold, in full; warrants not outstanding

COMMONWEALTH BUSINESS BANK LOS ANGELES CA 17-Jul-13 $7,323,651.00 7,701 $951.00 ($377,349.00) $362,427.91 385

COMMONWEALTH BUSINESS BANK LOS ANGELES CA 12-Sep-13 ($73,236.51)

11,8,14 COMMUNITY 1ST BANK ROSEVILLE CA 16-Jan-09 Preferred Stock w/ Exercised Warrants $2,550,000.00 $0.00 $2,899,659.67 Redeemed, in full; warrants not outstanding

COMMUNITY 1ST BANK ROSEVILLE CA 19-Dec-12 $2,550,000.00 2,550 $1,000.00 $128,000.00 128

11,8,14 COMMUNITY BANCSHARES OF KANSAS, INC. GOFF KS 6-Mar-09 Preferred Stock w/ Exercised Warrants $500,000.00 $0.00 $616,741.75 Redeemed, in full; warrants not outstanding

COMMUNITY BANCSHARES OF KANSAS, INC. GOFF KS 18-Jul-12 $500,000.00 500 $1,000.00 $25,000.00 25

11,8,14 COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY BANK OF MISSISSIPPI BRANDON MS 11-Sep-09 Preferred Stock w/ Exercised Warrants $52,000,000.00 $0.00 $57,575,699.54 Redeemed, in full; warrants not outstanding

COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY BANK OF MISSISSIPPI BRANDON MS 29-Sep-10 $52,000,000.00 52,000 $1,000.00 $2,600,000.00 2,600

8,17 COMMUNITY BANCSHARES, INC. KINGMAN AZ 24-Jul-09 Preferred Stock w/ Exercised Warrants $3,872,000.00 $3,872,000.00 $879,138.70 Full investment outstanding; warrants outstanding

11,9,36 COMMUNITY BANK OF THE BAY OAKLAND CA 16-Jan-09 Preferred Stock $1,747,000.00 $0.00 $1,823,188.61 Redeemed, in full; warrants not outstanding

COMMUNITY BANK OF THE BAY OAKLAND CA 29-Sep-10 $1,747,000.00 1,747 $1,000.00

44 COMMUNITY BANK SHARES OF INDIANA, INC. NEW ALBANY IN 29-May-09 Preferred Stock w/ Warrants $19,468,000.00 $0.00 $22,802,281.62 Redeemed, in full; warrants not outstanding

COMMUNITY BANK SHARES OF INDIANA, INC. NEW ALBANY IN 15-Sep-11 $19,468,000.00 19,468 $1,000.00

COMMUNITY BANK SHARES OF INDIANA, INC. NEW ALBANY IN 19-Oct-11 $1,100,869.50 386,270

11,101 COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 19-Dec-08 Preferred Stock w/ Warrants $17,680,000.00 $10,680,000.00 $11,429,052.45 Redeemed, in part; warrants outstanding

COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 24-Jul-13 $4,500,000.00 4,500 $1,000.00

COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 20-Nov-13 $2,500,000.00 2,500 $1,000.00

8,14 COMMUNITY BUSINESS BANK WEST SACRAMENTO CA 27-Feb-09 Preferred Stock w/ Exercised Warrants $3,976,000.00 $0.00 $4,674,050.16 Sold, in full; warrants not outstanding

COMMUNITY BUSINESS BANK WEST SACRAMENTO CA 30-Nov-12 $3,717,560.00 3,976 $935.00 ($258,440.00) $167,035.00 199

COMMUNITY BUSINESS BANK WEST SACRAMENTO CA 11-Jan-13 ($25,000.00)

81 COMMUNITY FINANCIAL CORPORATION STAUNTON VA 19-Dec-08 Preferred Stock w/ Warrants $12,643,000.00 $0.00 $15,206,719.94 Redeemed, in full; warrants outstanding

COMMUNITY FINANCIAL CORPORATION STAUNTON VA 9-Jan-13 $12,643,000.00 12,643 $1,000.00

74,8,14 COMMUNITY FINANCIAL SHARES, INC. GLEN ELLYN IL 15-May-09 Preferred Stock w/ Exercised Warrants $6,970,000.00 $0.00 $4,240,743.82 Sold, in full; warrants not outstanding

COMMUNITY FINANCIAL SHARES, INC. GLEN ELLYN IL 21-Dec-12 $3,136,500.00 6,970 $450.00 ($3,833,500.00) $157,050.00 349

8 COMMUNITY FIRST BANCSHARES, INC. (AR) HARRISON AR 3-Apr-09 Preferred Stock w/ Exercised Warrants $12,725,000.00 $12,725,000.00 $3,201,612.18 Full investment outstanding; warrants outstanding

44,8,14 COMMUNITY FIRST BANCSHARES, INC. (TN) UNION CITY TN 20-Mar-09 Preferred Stock w/ Exercised Warrants $20,000,000.00 $0.00 $23,628,111.33 Redeemed, in full; warrants not outstanding

COMMUNITY FIRST BANCSHARES, INC. (TN) UNION CITY TN 18-Aug-11 $20,000,000.00 20,000 $1,000.00 $1,000,000.00 1,000

8 COMMUNITY FIRST, INC. COLUMBIA TN 27-Feb-09 Preferred Stock w/ Exercised Warrants $17,806,000.00 $17,806,000.00 $1,908,453.00 Full investment outstanding; warrants outstanding

8,67 COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC. BRANDON MS 6-Feb-09 Preferred Stock w/ Exercised Warrants $1,050,000.00 $0.00 $1,220,300.65 Sold, in full; warrants not outstanding

COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC. BRANDON MS 30-Nov-12 $1,002,750.00 105 $9,550.00 ($47,250.00) $25,000.00 5

COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC. BRANDON MS 11-Jan-13 ($10,027.50)

COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC. BRANDON MS 26-Mar-13 ($14,972.50)

8,14 COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 23-Dec-08 Preferred Stock w/ Exercised Warrants $2,600,000.00 $0.00 $3,115,616.28 Sold, in full; warrants not outstanding

COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 19-Dec-12 $952,850.00 1,003 $950.00 ($50,150.00)

COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 20-Dec-12 $1,517,150.00 1,597 $950.00 ($79,850.00) $105,000.00 130
Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 11-Jan-13 ($24,700.00)

COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 26-Mar-13 ($300.00)

44 COMMUNITY PARTNERS BANCORP MIDDLETOWN NJ 30-Jan-09 Preferred Stock w/ Warrants $9,000,000.00 $0.00 $10,598,750.00 Redeemed, in full; warrants not outstanding

COMMUNITY PARTNERS BANCORP MIDDLETOWN NJ 11-Aug-11 $9,000,000.00 9,000 $1,000.00

COMMUNITY PARTNERS BANCORP MIDDLETOWN NJ 26-Oct-11 $460,000.00 311,972

15,17 COMMUNITY PRIDE BANK CORPORATION HAM LAKE MN 13-Nov-09 Subordinated Debentures w/ Exercised Warrants $4,400,000.00 $0.00 $5,462,045.14 Sold, in full; warrants not outstanding

COMMUNITY PRIDE BANK CORPORATION HAM LAKE MN 12-Aug-13 $4,400,000.00 4,400,000 $1.11 $484,924.00 $177,716.96 132,000

COMMUNITY PRIDE BANK CORPORATION HAM LAKE MN 12-Sep-13 ($48,849.24)

44,8,14 COMMUNITY TRUST FINANCIAL CORPORATION RUSTON LA 9-Jan-09 Preferred Stock w/ Exercised Warrants $24,000,000.00 $0.00 $28,459,100.00 Redeemed, in full; warrants not outstanding

COMMUNITY TRUST FINANCIAL CORPORATION RUSTON LA 6-Jul-11 $24,000,000.00 24,000 $1,000.00 $1,200,000.00 1,200

COMMUNITY WEST BANCSHARES GOLETA CA 19-Dec-08 Preferred Stock w/ Warrants $15,600,000.00 $0.00 $14,341,140.33 Sold, in full; warrants not outstanding

COMMUNITY WEST BANCSHARES GOLETA CA 10-Dec-12 $2,172,000.00 3,000 $724.00 ($828,000.00)

COMMUNITY WEST BANCSHARES GOLETA CA 11-Dec-12 $9,122,400.00 12,600 $724.00 ($3,477,600.00)

COMMUNITY WEST BANCSHARES GOLETA CA 11-Jan-13 ($112,944.00)

COMMUNITY WEST BANCSHARES GOLETA CA 12-Jun-13 $698,351.00 521,158

53 COMMUNITYONE BANCORP / FNB UNITED CORP. ASHEBORO NC 13-Feb-09 Preferred Stock w/ Warrants $51,500,000.00 $51,500,000.00 $2,589,305.00 Full investment outstanding; warrants outstanding

8,14 CONGAREE BANCSHARES, INC. CAYCE SC 9-Jan-09 Preferred Stock w/ Exercised Warrants $3,285,000.00 $0.00 $3,483,629.20 Sold, in full; warrants not outstanding

CONGAREE BANCSHARES, INC. CAYCE SC 29-Oct-12 $23,932.54 29 $825.30 ($5,067.46)

CONGAREE BANCSHARES, INC. CAYCE SC 31-Oct-12 $2,687,046.56 3,256 $825.30 ($568,953.44) $106,364.00 164

CONGAREE BANCSHARES, INC. CAYCE SC 11-Jan-13 ($25,000.00)

8,14 CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 13-Feb-09 Preferred Stock w/ Exercised Warrants $638,000.00 $0.00 $659,705.04 Sold, in full; warrants not outstanding

CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 30-Nov-12 $548,680.00 638 $860.00 ($89,320.00) $3,960.00 32

CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 11-Jan-13 ($5,486.80)

CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 26-Mar-13 ($19,513.20)

8,14 COUNTRY BANK SHARES, INC. MILFORD NE 30-Jan-09 Preferred Stock w/ Exercised Warrants $7,525,000.00 $0.00 $8,781,205.02 Sold, in full; warrants not outstanding

COUNTRY BANK SHARES, INC. MILFORD NE 28-Nov-12 $713,208.30 777 $917.90 ($63,791.70)

COUNTRY BANK SHARES, INC. MILFORD NE 29-Nov-12 $6,193,989.20 6,748 $917.90 ($554,010.80) $372,240.00 376

COUNTRY BANK SHARES, INC. MILFORD NE 11-Jan-13 ($69,071.98)

8 COVENANT FINANCIAL CORPORATION CLARKSDALE MS 5-Jun-09 Preferred Stock w/ Exercised Warrants $5,000,000.00 $5,000,000.00 $1,219,739.44 Full investment outstanding; warrants outstanding

8 CRAZY WOMAN CREEK BANCORP INCORPORATED BUFFALO WY 20-Feb-09 Preferred Stock w/ Exercised Warrants $3,100,000.00 $2,100,000.00 $1,807,527.08 Redeemed, in part; warrants outstanding

CRAZY WOMAN CREEK BANCORP INCORPORATED BUFFALO WY 8-Jan-14 $1,000,000.00 1,000 $1,000.00

58 CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) RALEIGH NC 9-Jan-09 Preferred Stock w/ Warrants $24,900,000.00 $24,900,000.00 $6,097,591.20 Full investment outstanding; warrants outstanding

8,14 CROSSTOWN HOLDING COMPANY BLAINE MN 23-Jan-09 Preferred Stock w/ Exercised Warrants $10,650,000.00 $0.00 $13,498,324.83 Sold, in full; warrants not outstanding

CROSSTOWN HOLDING COMPANY BLAINE MN 19-Jul-13 $343,794.50 350 $982.30 ($6,205.50)

CROSSTOWN HOLDING COMPANY BLAINE MN 22-Jul-13 $10,117,381.00 10,300 $982.30 ($182,619.00) $531,210.67 533

CROSSTOWN HOLDING COMPANY BLAINE MN 12-Sep-13 ($104,611.76)

8 CSRA BANK CORP. WRENS GA 27-Mar-09 Preferred Stock w/ Exercised Warrants $2,400,000.00 $2,400,000.00 $180,940.00 Full investment outstanding; warrants outstanding

11,16 CVB FINANCIAL CORP. ONTARIO CA 5-Dec-08 Preferred Stock w/ Warrants $130,000,000.00 $0.00 $136,046,583.33 Redeemed, in full; warrants not outstanding

CVB FINANCIAL CORP. ONTARIO CA 26-Aug-09 $97,500,000.00 97,500 $1,000.00

CVB FINANCIAL CORP. ONTARIO CA 2-Sep-09 $32,500,000.00 32,500 $1,000.00

CVB FINANCIAL CORP. ONTARIO CA 28-Oct-09 $1,307,000.00 834,761

44,8,14 D.L. EVANS BANCORP BURLEY ID 27-Feb-09 Preferred Stock w/ Exercised Warrants $19,891,000.00 $0.00 $23,686,592.33 Redeemed, in full; warrants not outstanding

D.L. EVANS BANCORP BURLEY ID 27-Sep-11 $19,891,000.00 19,891 $1,000.00 $995,000.00 995

15,44,14 DEERFIELD FINANCIAL CORPORATION DEERFIELD WI 15-May-09 Subordinated Debentures w/ Exercised Warrants $2,639,000.00 $0.00 $3,283,338.96 Redeemed, in full; warrants not outstanding

DEERFIELD FINANCIAL CORPORATION DEERFIELD WI 8-Sep-11 $2,639,000.00 2,639,000 $1.00 $132,000.00 132,000

8,14 DELMAR BANCORP DELMAR MD 4-Dec-09 Preferred Stock w/ Exercised Warrants $9,000,000.00 $0.00 $6,598,331.15 Sold, in full; warrants not outstanding

DELMAR BANCORP DELMAR MD 7-Feb-13 $5,293,527.28 8,648 $612.10 ($3,354,472.72) $311,943.55 450

DELMAR BANCORP DELMAR MD 8-Feb-13 $215,462.72 352 $612.10 ($136,537.28)

DELMAR BANCORP DELMAR MD 26-Mar-13 ($55,089.90)

8,18 DESOTO COUNTY BANK HORN LAKE MS 13-Feb-09 Preferred Stock w/ Exercised Warrants $1,173,000.00 $0.00 $2,781,331.97 Sold, in full; warrants not outstanding

DESOTO COUNTY BANK HORN LAKE MS 29-Dec-09 $1,508,000.00

DESOTO COUNTY BANK HORN LAKE MS 24-Sep-13 $301,428.58 366 $823.03 ($64,571.42) $40,563.34 59

DESOTO COUNTY BANK HORN LAKE MS 25-Sep-13 $1,895,467.59 2,315 $816.45 ($419,532.41)

DESOTO COUNTY BANK HORN LAKE MS 29-Oct-13 ($33,333.34)

15,14 DIAMOND BANCORP, INC. WASHINGTON MO 22-May-09 Subordinated Debentures w/ Exercised Warrants $20,445,000.00 $0.00 $21,101,618.19 Sold, in full; warrants not outstanding

DIAMOND BANCORP, INC. WASHINGTON MO 8-Aug-12 $4,381,500.00 6,000,000 $0.73 ($1,618,500.00)

DIAMOND BANCORP, INC. WASHINGTON MO 9-Aug-12 $10,197,941.25 13,965,000 $0.73 ($3,767,058.75) $688,041.09 902,000

DIAMOND BANCORP, INC. WASHINGTON MO 10-Aug-12 $350,520.00 480,000 $0.73 ($129,480.00) $91,535.40 120,000

DIAMOND BANCORP, INC. WASHINGTON MO 11-Sep-12 ($149,299.61)

8,14 DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 16-Jan-09 Preferred Stock w/ Exercised Warrants $146,053,000.00 $0.00 $87,459,858.69 Sold, in full; warrants not outstanding

DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 7-Feb-13 $8,025,555.03 14,523 $552.60 ($6,497,444.97) $3,372.19 5

DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 8-Feb-13 $72,684,793.30 131,530 $552.60 ($58,845,206.70) $4,922,044.87 7,298

DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 26-Mar-13 ($807,103.48)

11 DISCOVER FINANCIAL SERVICES RIVERWOODS IL 13-Mar-09 Preferred Stock w/ Warrants $1,224,558,000.00 $0.00 $1,464,248,844.00 Redeemed, in full; warrants not outstanding

DISCOVER FINANCIAL SERVICES RIVERWOODS IL 21-Apr-10 $1,224,558,000.00 1,224,558 $1,000.00

DISCOVER FINANCIAL SERVICES RIVERWOODS IL 7-Jul-10 $172,000,000.00 20,500,413

44 DNB FINANCIAL CORPORATION DOWNINGTOWN PA 30-Jan-09 Preferred Stock w/ Warrants $11,750,000.00 $0.00 $13,683,277.61 Redeemed, in full; warrants not outstanding

DNB FINANCIAL CORPORATION DOWNINGTOWN PA 4-Aug-11 $11,750,000.00 11,750 $1,000.00

DNB FINANCIAL CORPORATION DOWNINGTOWN PA 21-Sep-11 $458,000.00 186,311

15 DUKE FINANCIAL GROUP, INC. MINNEAPOLIS MN 19-Jun-09 Subordinated Debentures w/ Exercised Warrants $12,000,000.00 $7,000,000.00 $9,599,206.37 Redeemed, in part; warrants outstanding

DUKE FINANCIAL GROUP, INC. MINNEAPOLIS MN 27-Nov-13 $5,000,000.00 5,000,000 $1.00

12,44 EAGLE BANCORP, INC. BETHESDA MD 5-Dec-08 Preferred Stock w/ Warrants $38,235,000.00 $0.00 $44,847,153.76 Redeemed, in full; warrants outstanding

EAGLE BANCORP, INC. BETHESDA MD 23-Dec-09 $15,000,000.00 15,000 $1,000.00

EAGLE BANCORP, INC. BETHESDA MD 14-Jul-11 $23,235,000.00 23,235 $1,000.00

EAGLE BANCORP, INC. BETHESDA MD 23-Nov-11 $2,794,422.00 770,868

11,16 EAST WEST BANCORP, INC. PASADENA CA 5-Dec-08 Preferred Stock w/ Warrants $306,546,000.00 $0.00 $352,722,420.00 Redeemed, in full; warrants not outstanding

EAST WEST BANCORP, INC. PASADENA CA 29-Dec-10 $306,546,000.00 306,546 $1,000.00

EAST WEST BANCORP, INC. PASADENA CA 26-Jan-11 $14,500,000.00 1,517,555

EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 9-Jan-09 Preferred Stock w/ Warrants $24,000,000.00 $0.00 $28,453,653.60 Sold, in full; warrants outstanding

EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 18-Oct-13 $3,900,000.00 3,900 $1,104.10 $406,029.00

EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 21-Oct-13 $20,100,000.00 20,100 $1,104.10 $2,092,611.00

EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 6-Jan-14 ($264,986.40)

89 ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. ENGELHARD NC 16-Jan-09 Preferred Stock w/ Warrants $17,949,000.00 $17,949,000.00 $4,335,182.58 Full investment outstanding; warrants outstanding

44 EMCLAIRE FINANCIAL CORP. EMLENTON PA 23-Dec-08 Preferred Stock w/ Warrants $7,500,000.00 $0.00 $8,545,904.67 Redeemed, in full; warrants not outstanding

EMCLAIRE FINANCIAL CORP. EMLENTON PA 18-Aug-11 $7,500,000.00 7,500 $1,000.00

EMCLAIRE FINANCIAL CORP. EMLENTON PA 7-Dec-11 $51,113.00 50,111

45 ENCORE BANCSHARES INC. HOUSTON TX 5-Dec-08 Preferred Stock w/ Warrants $34,000,000.00 $0.00 $39,415,959.89 Redeemed, in full; warrants outstanding

ENCORE BANCSHARES INC. HOUSTON TX 27-Sep-11 $34,000,000.00 34,000 $1,000.00

ENCORE BANCSHARES INC. HOUSTON TX 23-Nov-11 $637,071.00 728,052

11 ENTERPRISE FINANCIAL SERVICES CORP. ST. LOUIS MO 19-Dec-08 Preferred Stock w/ Warrants $35,000,000.00 $0.00 $42,801,933.33 Redeemed, in full; warrants not outstanding

ENTERPRISE FINANCIAL SERVICES CORP. ST. LOUIS MO 7-Nov-12 $35,000,000.00 35,000 $1,000.00

ENTERPRISE FINANCIAL SERVICES CORP. ST. LOUIS MO 9-Jan-13 $1,006,100.00 324,074

8,44,14 ENTERPRISE FINANCIAL SERVICES GROUP, INC. ALLISON PARK PA 12-Jun-09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,680,205.56 Redeemed, in full; warrants not outstanding

ENTERPRISE FINANCIAL SERVICES GROUP, INC. ALLISON PARK PA 25-Aug-11 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

8,44,72 EQUITY BANCSHARES, INC. WICHITA KS 30-Jan-09 Preferred Stock w/ Exercised Warrants $8,750,000.00 $0.00 $10,394,872.56 Redeemed, in full; warrants not outstanding

EQUITY BANCSHARES, INC. WICHITA KS 11-Aug-11 $8,750,000.00 8,750 $1,000.00 $438,000.00 438

8,14 EXCHANGE BANK SANTA ROSA CA 19-Dec-08 Preferred Stock w/ Exercised Warrants $43,000,000.00 $0.00 $47,294,527.29 Sold, in full; warrants not outstanding
Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

EXCHANGE BANK SANTA ROSA CA 3-Aug-12 $481,387.50 550 $875.20 ($68,612.50)

EXCHANGE BANK SANTA ROSA CA 8-Aug-12 $17,505,000.00 20,000 $875.20 ($2,495,000.00) $1,910,898.00 2,000

EXCHANGE BANK SANTA ROSA CA 9-Aug-12 $8,725,367.25 9,969 $875.20 ($1,243,632.75) $120,386.57 126

EXCHANGE BANK SANTA ROSA CA 10-Aug-12 $420,995.25 481 $875.20 ($60,004.75) $22,930.78 24

EXCHANGE BANK SANTA ROSA CA 13-Aug-12 $10,503,000.00 12,000 $875.20 ($1,497,000.00)

EXCHANGE BANK SANTA ROSA CA 11-Sep-12 ($376,357.50)

8,14,18 F & M BANCSHARES, INC. TREZEVANT TN 30-Jan-09 Preferred Stock w/ Exercised Warrants $4,609,000.00 $0.00 $9,405,391.28 Sold, in full; warrants not outstanding

F & M BANCSHARES, INC. TREZEVANT TN 6-Nov-09 $3,535,000.00

F & M BANCSHARES, INC. TREZEVANT TN 6-Feb-13 $4,797,325.00 5,090 $942.50 ($292,675.00)

F & M BANCSHARES, INC. TREZEVANT TN 7-Feb-13 $2,734,192.50 2,901 $942.50 ($166,807.50) $222,007.50 230

F & M BANCSHARES, INC. TREZEVANT TN 8-Feb-13 $144,202.50 153 $942.50 ($8,797.50)

F & M BANCSHARES, INC. TREZEVANT TN 26-Mar-13 ($76,757.21)

8,14 F & M FINANCIAL CORPORATION (NC) SALISBURY NC 6-Feb-09 Preferred Stock w/ Exercised Warrants $17,000,000.00 $0.00 $20,119,744.45 Sold, in full; warrants not outstanding

F & M FINANCIAL CORPORATION (NC) SALISBURY NC 18-Sep-12 $136,813.05 150

F & M FINANCIAL CORPORATION (NC) SALISBURY NC 19-Sep-12 $2,664,750.00 2,805 $950.00 ($140,250.00)

F & M FINANCIAL CORPORATION (NC) SALISBURY NC 20-Sep-12 $13,485,250.00 14,195 $950.00 ($709,750.00) $638,460.90 700

F & M FINANCIAL CORPORATION (NC) SALISBURY NC 16-Nov-12 ($161,500.00)

15,14 F&C BANCORP. INC. HOLDEN MO 22-May-09 Subordinated Debentures w/ Exercised Warrants $2,993,000.00 $0.00 $3,842,376.65 Sold, in full; warrants not outstanding

F&C BANCORP. INC. HOLDEN MO 8-Nov-12 $1,590,599.43 1,659,000 $0.96 ($68,400.57)

F&C BANCORP. INC. HOLDEN MO 13-Nov-12 $1,278,999.18 1,334,000 $0.96 ($55,000.82) $125,000.00 150,000

F&C BANCORP. INC. HOLDEN MO 11-Jan-13 ($25,000.00)

8,14 F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 13-Feb-09 Preferred Stock w/ Exercised Warrants $17,243,000.00 $0.00 $17,573,762.97 Sold, in full; warrants not outstanding

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 19-Sep-12 $96,465.60 112

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 20-Sep-12 $157,500.00 200 $787.50 ($42,500.00)

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 21-Sep-12 $13,421,362.50 17,043 $787.50 ($3,621,637.50) $645,975.00 750

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 16-Nov-12 ($135,788.63)

11 F.N.B. CORPORATION HERMITAGE PA 9-Jan-09 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $104,023,433.33 Redeemed, in full; warrants not outstanding

F.N.B. CORPORATION HERMITAGE PA 9-Sep-09 $100,000,000.00 100,000 $1,000.00

F.N.B. CORPORATION HERMITAGE PA 23-Nov-11 $690,100.00 651,042

8 FARMERS & MERCHANTS BANCSHARES, INC. HOUSTON TX 6-Mar-09 Preferred Stock w/ Exercised Warrants $11,000,000.00 $11,000,000.00 $2,063,280.00 Full investment outstanding; warrants outstanding

8,14 FARMERS & MERCHANTS FINANCIAL CORPORATION ARGONIA KS 20-Mar-09 Preferred Stock w/ Exercised Warrants $442,000.00 $0.00 $500,199.14 Sold, in full; warrants not outstanding

FARMERS & MERCHANTS FINANCIAL CORPORATION ARGONIA KS 24-Jun-13 $425,425.00 442 $962.50 ($16,575.00) ($2,835.00) 22

FARMERS & MERCHANTS FINANCIAL CORPORATION ARGONIA KS 26-Jul-13 ($25,000.00)

11,8 FARMERS BANK, WINDSOR, VIRGINIA WINDSOR VA 23-Jan-09 Preferred Stock w/ Exercised Warrants $8,752,000.00 $0.00 $11,396,202.11 Redeemed, in full; warrants not outstanding

FARMERS BANK, WINDSOR, VIRGINIA WINDSOR VA 9-Jan-13 $3,063,000.00 3,063 $1,000.00

FARMERS BANK, WINDSOR, VIRGINIA WINDSOR VA 31-Dec-13 $5,689,000.00 5,689 $1,000.00 $438,000.00 438

FARMERS CAPITAL BANK CORPORATION FRANKFORT KY 9-Jan-09 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $27,105,349.50 Sold, in full; warrants not outstanding

FARMERS CAPITAL BANK CORPORATION FRANKFORT KY 19-Jun-12 $22,196,700.00 ($332,950.50) 30,000 $739.90 ($7,803,300.00)

FARMERS CAPITAL BANK CORPORATION FRANKFORT KY 18-Jul-12 $75,000.00 223,992

15,14 FARMERS ENTERPRISES, INC. GREAT BEND KS 19-Jun-09 Subordinated Debentures w/ Exercised Warrants $12,000,000.00 $0.00 $15,452,669.34 Sold, in full; warrants not outstanding

FARMERS ENTERPRISES, INC. GREAT BEND KS 8-Nov-12 $96,290.00 100,000 $0.96 ($3,710.00)

FARMERS ENTERPRISES, INC. GREAT BEND KS 9-Nov-12 $37,387.14 38,000

FARMERS ENTERPRISES, INC. GREAT BEND KS 13-Nov-12 $11,458,510.00 11,900,000 $0.96 ($441,490.00) $552,936.00 562,000

FARMERS ENTERPRISES, INC. GREAT BEND KS 11-Jan-13 ($115,548.00)

45,8,14 FARMERS STATE BANKSHARES, INC. HOLTON KS 20-Mar-09 Preferred Stock w/ Exercised Warrants $700,000.00 $0.00 $830,173.67 Redeemed, in full; warrants not outstanding

FARMERS STATE BANKSHARES, INC. HOLTON KS 21-Jul-11 $700,000.00 700 $1,000.00 $40,000.00 4

15,17 FBHC HOLDING COMPANY BOULDER CO 29-Dec-09 Subordinated Debentures w/ Exercised Warrants $3,035,000.00 $0.00 $804,592.16 Sold, in full; warrants not outstanding

FBHC HOLDING COMPANY BOULDER CO 9-Mar-11 $650,000.00 3,035,000 $0.21 ($2,385,000.00)

8,14 FC HOLDINGS, INC. HOUSTON TX 26-Jun-09 Preferred Stock w/ Exercised Warrants $21,042,000.00 $0.00 $19,836,630.66 Sold, in full; warrants not outstanding

FC HOLDINGS, INC. HOUSTON TX 20-Feb-13 $18,874,674.00 21,042 $897.00 ($2,167,326.00) $994,613.40 1,052

FC HOLDINGS, INC. HOUSTON TX 26-Mar-13 ($188,746.74)

45,8,14 FCB BANCORP, INC. LOUISVILLE KY 19-Dec-08 Preferred Stock w/ Exercised Warrants $9,294,000.00 $0.00 $11,156,234.25 Redeemed, in full; warrants not outstanding

FCB BANCORP, INC. LOUISVILLE KY 22-Sep-11 $9,294,000.00 9,294 $1,000.00 $465,000.00 465

8,14 FFW CORPORATION WABASH IN 19-Dec-08 Preferred Stock w/ Exercised Warrants $7,289,000.00 $0.00 $8,441,836.26 Sold, in full; warrants not outstanding

FFW CORPORATION WABASH IN 28-Nov-12 $879,424.60 974 $902.90 ($94,575.40)

FFW CORPORATION WABASH IN 30-Nov-12 $5,701,813.50 6,315 $902.90 ($613,186.50) $358,558.20 364

FFW CORPORATION WABASH IN 11-Jan-13 ($65,812.38)

15,11,14 FIDELITY BANCORP, INC. (LA) BATON ROUGE LA 29-May-09 Subordinated Debentures w/ Exercised Warrants $3,942,000.00 $0.00 $5,404,924.35 Redeemed, in full; warrants not outstanding

FIDELITY BANCORP, INC. (LA) BATON ROUGE LA 27-Mar-13 $3,942,000.00 3,942,000 $1.00 $197,000.00 197,000

77 FIDELITY BANCORP, INC. (PA) / WESBANCO, INC. PITTSBURGH PA 12-Dec-08 Preferred Stock w/ Warrants $7,000,000.00 $0.00 $8,388,333.33 Redeemed, in full; warrants outstanding

FIDELITY BANCORP, INC. (PA) / WESBANCO, INC. PITTSBURGH PA 30-Nov-12 $7,000,000.00 7,000 $1,000.00

8,17 FIDELITY FEDERAL BANCORP EVANSVILLE IN 13-Nov-09 Preferred Stock w/ Exercised Warrants $6,657,000.00 $0.00 $7,220,908.83 Sold, in full; warrants not outstanding

FIDELITY FEDERAL BANCORP EVANSVILLE IN 19-Jul-13 $439,000.00 439 $1,058.90 $25,857.10

FIDELITY FEDERAL BANCORP EVANSVILLE IN 22-Jul-13 $6,218,000.00 6,218 $1,058.90 $366,240.20 $242,302.50 200

FIDELITY FEDERAL BANCORP EVANSVILLE IN 12-Sep-13 ($70,490.97)

8,14 FIDELITY FINANCIAL CORPORATION WICHITA KS 19-Dec-08 Preferred Stock w/ Exercised Warrants $36,282,000.00 $0.00 $40,966,780.82 Sold, in full; warrants not outstanding

FIDELITY FINANCIAL CORPORATION WICHITA KS 1-Aug-12 $120,320.10 135 $891.30 ($14,679.90)

FIDELITY FINANCIAL CORPORATION WICHITA KS 2-Aug-12 $26,737.80 30 $891.30 ($3,262.20)

FIDELITY FINANCIAL CORPORATION WICHITA KS 3-Aug-12 $298,572.10 335 $891.30 ($36,427.90)

FIDELITY FINANCIAL CORPORATION WICHITA KS 7-Aug-12 $3,200,514.66 3,591 $891.30 ($390,485.34) $170,227.93 179

FIDELITY FINANCIAL CORPORATION WICHITA KS 8-Aug-12 $2,348,470.10 2,635 $891.30 ($286,529.90) $167,374.94 176

FIDELITY FINANCIAL CORPORATION WICHITA KS 9-Aug-12 $26,056,877.36 29,236 $891.30 ($3,179,122.64) $1,210,615.36 1,273

FIDELITY FINANCIAL CORPORATION WICHITA KS 10-Aug-12 $285,203.20 320 $891.30 ($34,796.80) $176,884.89 186

FIDELITY FINANCIAL CORPORATION WICHITA KS 11-Sep-12 ($323,366.95)

FIDELITY SOUTHERN CORPORATION ATLANTA GA 19-Dec-08 Preferred Stock w/ Warrants $48,200,000.00 $0.00 $51,286,669.09 Sold, in full; warrants outstanding

FIDELITY SOUTHERN CORPORATION ATLANTA GA 3-Jul-12 $43,408,920.00 ($651,133.80) 48,200 $900.60 ($4,791,080.00)

11 FIFTH THIRD BANCORP CINCINNATI OH 31-Dec-08 Preferred Stock w/ Warrants $3,408,000,000.00 $0.00 $4,043,972,602.67 Redeemed, in full; warrants not outstanding

FIFTH THIRD BANCORP CINCINNATI OH 2-Feb-11 $3,408,000,000.00 136,320 $25,000.00

FIFTH THIRD BANCORP CINCINNATI OH 16-Mar-11 $280,025,936.00 43,617,747

11 FINANCIAL INSTITUTIONS, INC. WARSAW NY 23-Dec-08 Preferred Stock w/ Warrants $37,515,000.00 $0.00 $43,787,611.61 Redeemed, in full; warrants not outstanding

FINANCIAL INSTITUTIONS, INC. WARSAW NY 23-Feb-11 $12,505,000.00 2,501 $5,000.00

FINANCIAL INSTITUTIONS, INC. WARSAW NY 30-Mar-11 $25,010,000.00 5,002 $5,000.00

FINANCIAL INSTITUTIONS, INC. WARSAW NY 11-May-11 $2,079,962.50 378,175

45,8,14 FINANCIAL SECURITY CORPORATION BASIN WY 13-Feb-09 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $5,914,597.33 Redeemed, in full; warrants not outstanding

FINANCIAL SECURITY CORPORATION BASIN WY 21-Jul-11 $5,000,000.00 5,000 $1,000.00 $250,000.00 250

15,17,44 FINANCIAL SERVICES OF WINGER, INC. WINGER MN 31-Jul-09 Subordinated Debentures w/ Exercised Warrants $3,742,000.00 $0.00 $4,487,322.46 Redeemed, in full; warrants not outstanding

FINANCIAL SERVICES OF WINGER, INC. WINGER MN 1-Sep-11 $3,742,000.00 3,742,000 $1.00 $112,000.00 112,000

8,14 FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 22-May-09 Preferred Stock w/ Exercised Warrants $1,177,000.00 $0.00 $1,289,436.37 Sold, in full; warrants not outstanding

FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 10-Dec-12 $690,723.49 769 $898.20 ($78,276.51) $2,979.49 6

FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 11-Dec-12 $366,469.68 408 $898.20 ($41,530.32) $26,318.80 53

FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 11-Jan-13 ($10,571.93)

FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 26-Mar-13 ($14,428.07)

8,14 FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 26-Jun-09 Preferred Stock w/ Exercised Warrants $3,422,000.00 $0.00 $3,003,674.75 Sold, in full; warrants not outstanding

FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 20-Dec-12 $2,395,742.20 3,422 $700.10 ($1,026,257.80) $94,701.71 171

FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 11-Jan-13 ($23,957.42)

FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 26-Mar-13 ($1,042.58)

15,11,14 FIRST AMERICAN BANK CORPORATION ELK GROVE VILLAGE IL 24-Jul-09 Subordinated Debentures w/ Exercised Warrants $50,000,000.00 $0.00 $65,558,530.56 Redeemed, in full; warrants not outstanding
Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

FIRST AMERICAN BANK CORPORATION ELK GROVE VILLAGE IL 21-Dec-11 $15,000,000.00 15,000,000 $1.00

FIRST AMERICAN BANK CORPORATION ELK GROVE VILLAGE IL 11-Dec-12 $35,000,000.00 35,000,000 $1.00 $2,500,000.00 2,500,000

11,9,36 FIRST AMERICAN INTERNATIONAL CORP. BROOKLYN NY 13-Mar-09 Preferred Stock $17,000,000.00 $0.00 $18,204,166.78 Redeemed, in full; warrants not outstanding

FIRST AMERICAN INTERNATIONAL CORP. BROOKLYN NY 13-Aug-10 $17,000,000.00 17,000 $1,000.00

45 FIRST BANCORP (NC) TROY NC 9-Jan-09 Preferred Stock w/ Warrants $65,000,000.00 $0.00 $74,518,906.44 Redeemed, in full; warrants not outstanding

FIRST BANCORP (NC) TROY NC 1-Sep-11 $65,000,000.00 65,000 $1,000.00

FIRST BANCORP (NC) TROY NC 23-Nov-11 $924,462.00 616,308

34 FIRST BANCORP (PR) SAN JUAN PR 16-Jan-09 Preferred Stock w/ Warrants $400,000,000.00 $238,972,281.88 $122,513,539.32 Sold, in part; warrants outstanding

FIRST BANCORP (PR) SAN JUAN PR 16-Aug-13 $81,000,000.00 12,000,000 $6.75 ($64,711,540.92)

FIRST BANCORP (PR) SAN JUAN PR 13-Sep-13 $8,514,153.00 1,261,356 $6.75 ($6,802,024.20)

8,11,14 FIRST BANCTRUST CORPORATION PARIS IL 20-Feb-09 Preferred Stock w/ Exercised Warrants $7,350,000.00 $0.00 $9,050,516.50 Redeemed, in full; warrants not outstanding

FIRST BANCTRUST CORPORATION PARIS IL 18-Jan-12 $3,675,000.00 3,675 $1,000.00

FIRST BANCTRUST CORPORATION PARIS IL 24-Oct-12 $3,675,000.00 3,675 $1,000.00 $368,000.00 368

45,8,14 FIRST BANK OF CHARLESTON, INC. CHARLESTON WV 6-Feb-09 Preferred Stock w/ Exercised Warrants $3,345,000.00 $0.00 $3,960,105.00 Redeemed, in full; warrants not outstanding

FIRST BANK OF CHARLESTON, INC. CHARLESTON WV 21-Jul-11 $3,345,000.00 3,345 $1,000.00 $167,000.00 167

45,8,14 FIRST BANKERS TRUSTSHARES, INC. QUINCY IL 16-Jan-09 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,941,222.22 Redeemed, in full; warrants not outstanding

FIRST BANKERS TRUSTSHARES, INC. QUINCY IL 8-Sep-11 $10,000,000.00 10,000 $1,000.00 $500,000.00 500

8 FIRST BANKS, INC. CLAYTON MO 31-Dec-08 Preferred Stock w/ Exercised Warrants $295,400,000.00 $0.00 $119,071,500.97 Sold, in full; warrants not outstanding

FIRST BANKS, INC. CLAYTON MO 8-Aug-13 $105,000.00 300 $350.00 ($195,000.00)

FIRST BANKS, INC. CLAYTON MO 9-Aug-13 $12,171,950.00 34,777 $350.00 ($22,605,050.00) $2,430,181.71 4,299

FIRST BANKS, INC. CLAYTON MO 12-Aug-13 $87,028,900.00 248,654 $350.00 ($161,625,100.00) $5,919,151.59 10,471

FIRST BANKS, INC. CLAYTON MO 12-Sep-13 ($993,058.50)

FIRST BANKS, INC. CLAYTON MO 24-Sep-13 $3,209,702.21 5,819 $551.60 ($2,609,297.79)

FIRST BANKS, INC. CLAYTON MO 25-Sep-13 $3,226,801.50 5,850 $551.60 ($2,623,198.50)

FIRST BANKS, INC. CLAYTON MO 29-Oct-13 ($64,365.04)

45 FIRST BUSEY CORPORATION URBANA IL 6-Mar-09 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $112,410,898.89 Redeemed, in full; warrants not outstanding

FIRST BUSEY CORPORATION URBANA IL 25-Aug-11 $100,000,000.00 100,000 $1,000.00

FIRST BUSEY CORPORATION URBANA IL 23-Nov-11 $63,677.00 573,833

8,14,18 FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 10-Apr-09 Preferred Stock w/ Warrants $2,211,000.00 $0.00 $4,693,275.61 Sold, in full; warrants not outstanding

FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 11-Dec-09 $2,032,000.00

FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 19-Dec-12 $1,373,084.00 1,500 $916.70 ($126,916.00) $90,461.65 111

FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 20-Dec-12 $2,510,399.84 2,743 $915.60 ($232,600.16)

FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 11-Jan-13 ($33,333.33)

45 FIRST CALIFORNIA FINANCIAL GROUP, INC. WESTLAKE VILLAGE CA 19-Dec-08 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $28,810,847.55 Redeemed, in full; warrants not outstanding

FIRST CALIFORNIA FINANCIAL GROUP, INC. WESTLAKE VILLAGE CA 14-Jul-11 $25,000,000.00 25,000 $1,000.00

FIRST CALIFORNIA FINANCIAL GROUP, INC. WESTLAKE VILLAGE CA 24-Aug-11 $599,042.00 599,042

FIRST CAPITAL BANCORP, INC. GLEN ALLEN VA 3-Apr-09 Preferred Stock w/ Warrants $10,958,000.00 $0.00 $11,956,712.44 Sold, in full; warrants not outstanding

FIRST CAPITAL BANCORP, INC. GLEN ALLEN VA 19-Jun-12 $10,082,565.38 ($151,238.48) 10,958 $920.10 ($875,434.62)

FIRST CAPITAL BANCORP, INC. GLEN ALLEN VA 6-Feb-13 $266,041.78 417,648

8,11,14,18,36 FIRST CHOICE BANK CERRITOS CA 13-Feb-09 Preferred Stock w/ Exercised Warrants $2,200,000.00 $0.00 $5,446,642.94 Redeemed, in full; warrants not outstanding

FIRST CHOICE BANK CERRITOS CA 22-Dec-09 $2,836,000.00

FIRST CHOICE BANK CERRITOS CA 24-Sep-10 $5,036,000.00 5,036 $1,000.00 $110,000.00 110

FIRST CITIZENS BANC CORP SANDUSKY OH 23-Jan-09 Preferred Stock w/ Warrants $23,184,000.00 $0.00 $25,245,684.71 Sold, in full; warrants not outstanding

FIRST CITIZENS BANC CORP SANDUSKY OH 3-Jul-12 $21,004,704.00 ($315,070.56) 23,184 $906.00 ($2,179,296.00)

FIRST CITIZENS BANC CORP SANDUSKY OH 5-Sep-12 $563,174.00 469,312

44,8,14 FIRST COLEBROOK BANCORP, INC. COLEBROOK NH 20-Mar-09 Preferred Stock w/ Exercised Warrants $4,500,000.00 $0.00 $5,339,487.75 Redeemed, in full; warrants not outstanding

FIRST COLEBROOK BANCORP, INC. COLEBROOK NH 22-Sep-11 $4,500,000.00 4,500 $1,000.00 $225,000.00 225

12 FIRST COMMUNITY BANCSHARES INC. BLUEFIELD VA 21-Nov-08 Preferred Stock w/ Warrants $41,500,000.00 $0.00 $42,839,002.78 Redeemed, in full; warrants not outstanding

FIRST COMMUNITY BANCSHARES INC. BLUEFIELD VA 8-Jul-09 $41,500,000.00 41,500 $1,000.00

FIRST COMMUNITY BANCSHARES INC. BLUEFIELD VA 22-Nov-11 $30,600.00 88,273

8,72 FIRST COMMUNITY BANCSHARES, INC. / EQUITY BANCSHARES, INC. WICHITA KS 15-May-09 Preferred Stock w/ Exercised Warrants $14,800,000.00 $14,800,000.00 $3,777,478.30 Full investment outstanding; warrants outstanding

FIRST COMMUNITY BANK CORPORATION OF AMERICA PINELLAS PARK FL 23-Dec-08 Preferred Stock w/ Warrants $10,685,000.00 $0.00 $8,499,249.92 Sold, in full; warrants not outstanding

FIRST COMMUNITY BANK CORPORATION OF AMERICA PINELLAS PARK FL 31-May-11 $7,754,267.48 10,685 $725.70 ($2,930,732.52)

FIRST COMMUNITY CORPORATION LEXINGTON SC 21-Nov-08 Preferred Stock w/ Warrants $11,350,000.00 $0.00 $13,425,979.36 Sold, in full; warrants not outstanding

FIRST COMMUNITY CORPORATION LEXINGTON SC 29-Aug-12 $11,155,120.50 ($167,326.81) 11,350 $982.80 ($194,879.50)

FIRST COMMUNITY CORPORATION LEXINGTON SC 1-Nov-12 $297,500.00 195,915

8 FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 11-Dec-09 Preferred Stock w/ Exercised Warrants $22,000,000.00 $0.00 $18,252,479.06 Sold, in full; warrants not outstanding

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 8-Aug-12 $70,727.58 108

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 9-Aug-12 $440,082.72 672

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 10-Aug-12 $209,563.20 320

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 19-Sep-12 $326,250.00 500 $652.50 ($173,750.00)

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 20-Sep-12 $3,051,090.00 4,676 $652.50 ($1,624,910.00)

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 21-Sep-12 $10,977,660.00 16,824 $652.50 ($5,846,340.00)

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 16-Nov-12 ($143,550.00)

FIRST DEFIANCE FINANCIAL CORP. DEFIANCE OH 5-Dec-08 Preferred Stock w/ Warrants $37,000,000.00 $0.00 $41,631,005.92 Sold, in full; warrants outstanding

FIRST DEFIANCE FINANCIAL CORP. DEFIANCE OH 19-Jun-12 $35,618,420.00 ($534,276.30) 37,000 $962.70 ($1,381,580.00)

15,36,11 FIRST EAGLE BANCSHARES, INC. HANOVER PARK IL 11-Sep-09 Subordinated Debentures w/ Exercised Warrants $7,500,000.00 $0.00 $8,514,738.21 Redeemed, in full; warrants not outstanding

FIRST EAGLE BANCSHARES, INC. HANOVER PARK IL 17-Sep-10 $7,500,000.00 7,500,000 $1.00 $375,000.00 375,000

11,8,14 FIRST EXPRESS OF NEBRASKA, INC. GERING NE 6-Feb-09 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $6,074,313.00 Redeemed, in full; warrants not outstanding

FIRST EXPRESS OF NEBRASKA, INC. GERING NE 15-Feb-12 $5,000,000.00 5,000 $1,000.00 $250,000.00 250

FIRST FEDERAL BANCSHARES OF ARKANSAS, INC. HARRISON AR 6-Mar-09 Preferred Stock w/ Warrants $16,500,000.00 $0.00 $6,570,625.00 Sold, in full; warrants not outstanding

FIRST FEDERAL BANCSHARES OF ARKANSAS, INC. HARRISON AR 3-May-11 $6,000,000.00 16,500 $363.60 ($10,500,000.00)

12,16 FIRST FINANCIAL BANCORP CINCINNATI OH 23-Dec-08 Preferred Stock w/ Warrants $80,000,000.00 $0.00 $87,644,066.10 Redeemed, in full; warrants not outstanding

FIRST FINANCIAL BANCORP CINCINNATI OH 24-Feb-10 $80,000,000.00 80,000 $1,000.00

FIRST FINANCIAL BANCORP CINCINNATI OH 8-Jun-10 $2,966,288.32 465,117

15,17,44 FIRST FINANCIAL BANCSHARES, INC. LAWRENCE KS 12-Jun-09 Subordinated Debentures w/ Exercised Warrants $3,756,000.00 $0.00 $4,563,280.34 Redeemed, in full; warrants not outstanding

FIRST FINANCIAL BANCSHARES, INC. LAWRENCE KS 22-Sep-11 $3,756,000.00 3,756,000 $1.00 $113,000.00 113,000

FIRST FINANCIAL HOLDINGS INC. CHARLESTON SC 5-Dec-08 Preferred Stock w/ Warrants $65,000,000.00 $0.00 $68,141,972.19 Sold, in full; warrants not outstanding

FIRST FINANCIAL HOLDINGS INC. CHARLESTON SC 3-Apr-12 $56,778,150.00 ($851,672.25) 65,000 $873.50 ($8,221,850.00)

FIRST FINANCIAL HOLDINGS INC. CHARLESTON SC 22-May-13 $1,400,000.00 241,696

FIRST FINANCIAL SERVICE CORPORATION ELIZABETHTOWN KY 9-Jan-09 Preferred Stock w/ Warrants $20,000,000.00 $0.00 $12,333,778.00 Sold, in full; warrants outstanding

FIRST FINANCIAL SERVICE CORPORATION ELIZABETHTOWN KY 29-Apr-13 $10,842,200.00 20,000 $542.10 ($9,157,800.00)

FIRST FINANCIAL SERVICE CORPORATION ELIZABETHTOWN KY 31-May-13 ($108,422.00)

9,17 FIRST FREEDOM BANCSHARES, INC. LEBANON TN 22-Dec-09 Preferred Stock w/ Exercised Warrants $8,700,000.00 $0.00 $9,522,346.17 Sold, in full; warrants not outstanding

FIRST FREEDOM BANCSHARES, INC. LEBANON TN 9-Nov-12 $8,025,750.00 8,700 $922.50 ($674,250.00) $256,118.75 261

FIRST FREEDOM BANCSHARES, INC. LEBANON TN 11-Jan-13 ($80,257.50)

8,14 FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 27-Feb-09 Preferred Stock w/ Exercised Warrants $7,570,000.00 $0.00 $8,702,021.25 Sold, in full; warrants not outstanding

FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 29-Oct-12 $26,398.99 29 $910.30 ($2,601.01)

FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 31-Oct-12 $6,864,647.71 7,541 $910.30 ($676,352.29) $362,118.92 379

FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 11-Jan-13 ($68,910.46)

8,14,44 FIRST GUARANTY BANCSHARES, INC. HAMMOND LA 28-Aug-09 Preferred Stock w/ Exercised Warrants $20,699,000.00 $0.00 $24,059,476.66 Redeemed, in full; warrants not outstanding

FIRST GUARANTY BANCSHARES, INC. HAMMOND LA 22-Sep-11 $20,699,000.00 2,070 $10,000.00 $1,030,000.00 103

11 FIRST HORIZON NATIONAL CORPORATION MEMPHIS TN 14-Nov-08 Preferred Stock w/ Warrants $866,540,000.00 $0.00 $1,037,467,405.56 Redeemed, in full; warrants not outstanding

FIRST HORIZON NATIONAL CORPORATION MEMPHIS TN 22-Dec-10 $866,540,000.00 866,540 $1,000.00

FIRST HORIZON NATIONAL CORPORATION MEMPHIS TN 9-Mar-11 $79,700,000.00 14,842,321

8,9 FIRST INDEPENDENCE CORPORATION DETROIT MI 28-Aug-09 Preferred Stock $3,223,000.00 $0.00 $2,820,256.96 Sold, in full; warrants not outstanding

FIRST INDEPENDENCE CORPORATION DETROIT MI 20-Dec-12 $2,336,675.00 3,223 $725.00 ($886,325.00)
Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

FIRST INDEPENDENCE CORPORATION DETROIT MI 11-Jan-13 ($23,366.75)

FIRST INDEPENDENCE CORPORATION DETROIT MI 26-Mar-13 ($26,633.25)

8 FIRST INTERCONTINENTAL BANK DORAVILLE GA 13-Mar-09 Preferred Stock w/ Exercised Warrants $6,398,000.00 $0.00 $4,118,886.85 Sold, in full; warrants not outstanding

FIRST INTERCONTINENTAL BANK DORAVILLE GA 12-Aug-13 $3,247,112.96 6,398 $507.50 ($3,150,887.04) $139,320.00 320

FIRST INTERCONTINENTAL BANK DORAVILLE GA 12-Sep-13 ($25,000.00)

11 FIRST LITCHFIELD FINANCIAL CORPORATION LITCHFIELD CT 12-Dec-08 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $12,147,768.63 Redeemed, in full; warrants not outstanding

FIRST LITCHFIELD FINANCIAL CORPORATION LITCHFIELD CT 7-Apr-10 $10,000,000.00 10,000 $1,000.00 $1,488,046.41 199,203

11,36 FIRST M&F CORPORATION KOSCIUSKO MS 27-Feb-09 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $36,472,843.94 Redeemed, in full; warrants not outstanding

FIRST M&F CORPORATION KOSCIUSKO MS 29-Sep-10 $30,000,000.00 30,000 $1,000.00

FIRST M&F CORPORATION KOSCIUSKO MS 30-Aug-13 $4,089,510.61 513,113

11,8,14 FIRST MANITOWOC BANCORP, INC. MANITOWOC WI 16-Jan-09 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $12,837,983.33 Redeemed, in full; warrants not outstanding

FIRST MANITOWOC BANCORP, INC. MANITOWOC WI 27-May-09 $12,000,000.00 12,000 $1,000.00 $600,000.00 600

11,25 FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATION RICHMOND VA 6-Feb-09 Preferred Stock w/ Warrants $33,900,000.00 $0.00 $40,834,859.35 Redeemed, in full; warrants not outstanding

FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATION RICHMOND VA 7-Dec-11 $33,900,000.00 35,595 $1,000.00 $1,695,000.00

44,8,14 FIRST MENASHA BANCSHARES, INC. NEENAH WI 13-Feb-09 Preferred Stock w/ Exercised Warrants $4,797,000.00 $0.00 $5,713,865.00 Redeemed, in full; warrants not outstanding

FIRST MENASHA BANCSHARES, INC. NEENAH WI 15-Sep-11 $4,797,000.00 4,797 $1,000.00 $240,000.00 240

33,44,45 FIRST MERCHANTS CORPORATION MUNCIE IN 20-Feb-09 Preferred Stock w/ Warrants $116,000,000.00 $0.00 $131,383,055.11 Redeemed, in full; warrants not outstanding

FIRST MERCHANTS CORPORATION MUNCIE IN 22-Sep-11 $116,000,000.00 116,000 $1,000.00

FIRST MERCHANTS CORPORATION MUNCIE IN 23-Nov-11 $367,500.00 991,453

11 FIRST MIDWEST BANCORP, INC. ITASCA IL 5-Dec-08 Preferred Stock w/ Warrants $193,000,000.00 $0.00 $222,528,333.33 Redeemed, in full; warrants not outstanding

FIRST MIDWEST BANCORP, INC. ITASCA IL 23-Nov-11 $193,000,000.00 193,000 $1,000.00

FIRST MIDWEST BANCORP, INC. ITASCA IL 21-Dec-11 $900,000.00 1,305,230

8,14 FIRST NATIONAL CORPORATION STRASBURG VA 13-Mar-09 Preferred Stock w/ Exercised Warrants $13,900,000.00 $0.00 $15,329,326.44 Sold, in full; warrants not outstanding

FIRST NATIONAL CORPORATION STRASBURG VA 29-Aug-12 $12,266,750.00 ($184,001.25) 13,900 $882.50 ($1,633,250.00) $624,674.69 695

44,8,14 FIRST NBC BANK HOLDING COMPANY NEW ORLEANS LA 20-Mar-09 Preferred Stock w/ Exercised Warrants $17,836,000.00 $0.00 $21,033,989.56 Redeemed, in full; warrants not outstanding

FIRST NBC BANK HOLDING COMPANY NEW ORLEANS LA 4-Aug-11 $17,836,000.00 17,836 $1,000.00 $892,000.00 892

12,16 FIRST NIAGARA FINANCIAL GROUP LOCKPORT NY 21-Nov-08 Preferred Stock w/ Warrants $184,011,000.00 $0.00 $191,464,618.00 Redeemed, in full; warrants not outstanding

FIRST NIAGARA FINANCIAL GROUP LOCKPORT NY 27-May-09 $184,011,000.00 184,011 $1,000.00

FIRST NIAGARA FINANCIAL GROUP LOCKPORT NY 24-Jun-09 $2,700,000.00 953,096

44 FIRST NORTHERN COMMUNITY BANCORP DIXON CA 13-Mar-09 Preferred Stock w/ Warrants $17,390,000.00 $0.00 $19,943,580.33 Redeemed, in full; warrants not outstanding

FIRST NORTHERN COMMUNITY BANCORP DIXON CA 15-Sep-11 $17,390,000.00 17,390 $1,000.00

FIRST NORTHERN COMMUNITY BANCORP DIXON CA 16-Nov-11 $375,000.00 352,977

11 FIRST PACTRUST BANCORP, INC. CHULA VISTA CA 21-Nov-08 Preferred Stock w/ Warrants $19,300,000.00 $0.00 $22,297,560.34 Redeemed, in full; warrants not outstanding

FIRST PACTRUST BANCORP, INC. CHULA VISTA CA 15-Dec-10 $19,300,000.00 19,300 $1,000.00

FIRST PACTRUST BANCORP, INC. CHULA VISTA CA 5-Jan-11 $1,003,227.00 280,795

73,97 FIRST PLACE FINANCIAL CORP. WARREN OH 13-Mar-09 Preferred Stock w/ Warrants $72,927,000.00 $0.00 $7,009,094.50 Currently not collectible

FIRST PLACE FINANCIAL CORP. WARREN OH 29-Oct-12 ($72,927,000.00)

8,14,18 FIRST PRIORITY FINANCIAL CORP. MALVERN PA 20-Feb-09 Preferred Stock w/ Exercised Warrants $4,579,000.00 $0.00 $9,948,069.58 Sold, in full; warrants not outstanding

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 18-Dec-09 $4,596,000.00

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 7-Feb-13 $6,682,192.50 7,575 $882.23 ($892,807.50) $48,083.60 49

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 8-Feb-13 $1,410,831.60 1,600 $882.05 ($189,168.40) $176,633.62 180

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 26-Mar-13 ($80,930.24)

8,14 FIRST RELIANCE BANCSHARES, INC. FLORENCE SC 6-Mar-09 Preferred Stock w/ Exercised Warrants $15,349,000.00 $0.00 $12,994,059.00 Sold, in full; warrants not outstanding

FIRST RELIANCE BANCSHARES, INC. FLORENCE SC 11-Mar-13 $10,431,333.89 15,349 $679.60 ($4,917,666.11) $624,632.45 767

FIRST RELIANCE BANCSHARES, INC. FLORENCE SC 9-Apr-13 ($104,313.34)

8,14,18,44,45 FIRST RESOURCE BANK EXTON PA 30-Jan-09 Preferred Stock w/ Exercised Warrants $2,600,000.00 $0.00 $5,731,793.60 Redeemed, in full; warrants not outstanding

FIRST RESOURCE BANK EXTON PA 11-Dec-09 $2,417,000.00

FIRST RESOURCE BANK EXTON PA 15-Sep-11 $5,017,000.00 5,017 $1,000.00 $130,000.00 130

87 FIRST SECURITY GROUP, INC. CHATTANOOGA TN 9-Jan-09 Preferred Stock w/ Warrants $33,000,000.00 $0.00 $16,315,362.00 Sold, in full; warrants not outstanding

FIRST SECURITY GROUP, INC. CHATTANOOGA TN 11-Apr-13 $14,912,862.00 9,941,908 $1.50 ($18,087,138.00)

79 FIRST SOUND BANK SEATTLE WA 23-Dec-08 Preferred Stock w/ Warrants $7,400,000.00 $0.00 $4,030,944.44 Sold, in full; warrants not outstanding

FIRST SOUND BANK SEATTLE WA 20-Feb-13 $3,700,000.00 7,400 $500.00 ($3,700,000.00)

15,11,14 FIRST SOUTH BANCORP, INC. LEXINGTON TN 17-Jul-09 Subordinated Debentures w/ Exercised Warrants $50,000,000.00 $0.00 $65,432,450.94 Redeemed, in full; warrants not outstanding

FIRST SOUTH BANCORP, INC. LEXINGTON TN 28-Sep-11 $13,125,000.00 13,125,000 $1.00

FIRST SOUTH BANCORP, INC. LEXINGTON TN 28-Nov-12 $36,875,000.00 36,875,000 $1.00 $2,500,000.00 2,500,000

11,8,14 FIRST SOUTHERN BANCORP, INC. BOCA RATON FL 30-Jan-09 Preferred Stock w/ Exercised Warrants $10,900,000.00 $0.00 $12,263,468.31 Redeemed, in full; warrants not outstanding

FIRST SOUTHERN BANCORP, INC. BOCA RATON FL 16-Jun-10 $10,900,000.00 10,900 $1,000.00 $545,000.00 545

8,14 FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 6-Mar-09 Preferred Stock w/ Exercised Warrants $5,500,000.00 $0.00 $5,359,772.59 Sold, in full; warrants not outstanding

FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 26-Mar-13 $315,007.00 350 $900.00 ($34,993.00)

FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 27-Mar-13 $2,835,063.00 3,150 $900.00 ($314,937.00) $206,048.21 225

FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 28-Mar-13 $1,800,040.00 2,000 $900.00 ($199,960.00) $45,788.48 50

FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 9-Apr-13 ($49,501.10)

44,8,14 FIRST TEXAS BHC, INC. FORT WORTH TX 6-Mar-09 Preferred Stock w/ Exercised Warrants $13,533,000.00 $0.00 $16,072,389.00 Redeemed, in full; warrants not outstanding

FIRST TEXAS BHC, INC. FORT WORTH TX 15-Sep-11 $13,533,000.00 13,533 $1,000.00 $677,000.00 677

15,14 FIRST TRUST CORPORATION NEW ORLEANS LA 5-Jun-09 Subordinated Debentures w/ Exercised Warrants $17,969,000.00 $0.00 $15,304,180.50 Sold, in full; warrants not outstanding

FIRST TRUST CORPORATION NEW ORLEANS LA 20-Feb-13 $13,750,058.49 17,969,000 $0.77 ($4,218,941.51) $644,726.19 898,000

FIRST TRUST CORPORATION NEW ORLEANS LA 26-Mar-13 ($137,500.58)

11,8,14 FIRST ULB CORP. OAKLAND CA 23-Jan-09 Preferred Stock w/ Exercised Warrants $4,900,000.00 $0.00 $5,211,020.69 Redeemed, in full; warrants not outstanding

FIRST ULB CORP. OAKLAND CA 22-Apr-09 $4,900,000.00 4,900 $1,000.00 $245,000.00 245

FIRST UNITED CORPORATION OAKLAND MD 30-Jan-09 Preferred Stock w/ Warrants $30,000,000.00 $30,000,000.00 $2,312,500.00 Full investment outstanding; warrants outstanding

11,8,14,36 FIRST VERNON BANCSHARES, INC. VERNON AL 12-Jun-09 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $6,662,770.42 Redeemed, in full; warrants not outstanding

FIRST VERNON BANCSHARES, INC. VERNON AL 29-Sep-10 $6,000,000.00 6,000 $1,000.00 $245,000.00 245

8,14,18 FIRST WESTERN FINANCIAL, INC. DENVER CO 6-Feb-09 Preferred Stock w/ Warrants $8,559,000.00 $0.00 $21,142,314.80 Sold, in full; warrants not outstanding

FIRST WESTERN FINANCIAL, INC. DENVER CO 11-Dec-09 $11,881,000.00

FIRST WESTERN FINANCIAL, INC. DENVER CO 9-Aug-12 $6,138,000.00 7,920 $775.00 ($1,782,000.00) $311,681.70 380

FIRST WESTERN FINANCIAL, INC. DENVER CO 10-Aug-12 $62,000.00 80 $775.00 ($18,000.00) $39,370.32 48

FIRST WESTERN FINANCIAL, INC. DENVER CO 11-Sep-12 ($62,000.00)

FIRST WESTERN FINANCIAL, INC. DENVER CO 24-Jun-13 $10,994,240.00 12,440 $874.81 ($1,445,760.00)

FIRST WESTERN FINANCIAL, INC. DENVER CO 26-Jul-13 ($109,942.41)

FIRSTBANK CORPORATION ALMA MI 30-Jan-09 Preferred Stock w/ Warrants $33,000,000.00 $0.00 $38,185,560.05 Sold, in full; warrants not outstanding

FIRSTBANK CORPORATION ALMA MI 3-Jul-12 $31,053,330.00 ($465,799.95) 33,000 $941.00 ($1,946,670.00)

FIRSTBANK CORPORATION ALMA MI 18-Jul-12 $1,946,670.00 578,947

11 FIRSTMERIT CORPORATION AKRON OH 9-Jan-09 Preferred Stock w/ Warrants $125,000,000.00 $0.00 $131,813,194.44 Redeemed, in full; warrants not outstanding

FIRSTMERIT CORPORATION AKRON OH 22-Apr-09 $125,000,000.00 125,000 $1,000.00

FIRSTMERIT CORPORATION AKRON OH 27-May-09 $5,025,000.00 952,260

FLAGSTAR BANCORP, INC. TROY MI 30-Jan-09 Preferred Stock w/ Warrants $266,657,000.00 $0.00 $277,861,053.94 Sold, in full; warrants not outstanding

FLAGSTAR BANCORP, INC. TROY MI 26-Mar-13 $1,439,258.50 1,579 $911.50 ($139,741.50)

FLAGSTAR BANCORP, INC. TROY MI 27-Mar-13 $228,401,847.00 250,578 $911.50 ($22,176,153.00)

FLAGSTAR BANCORP, INC. TROY MI 28-Mar-13 $13,216,750.00 14,500 $911.50 ($1,283,250.00)

FLAGSTAR BANCORP, INC. TROY MI 9-Apr-13 ($2,430,578.56)

FLAGSTAR BANCORP, INC. TROY MI 12-Jun-13 $12,905.00 645,138

8,84 FLORIDA BANK GROUP, INC. TAMPA FL 24-Jul-09 Preferred Stock w/ Exercised Warrants $20,471,000.00 $0.00 $9,180,793.08 Sold, in full; warrants not outstanding

FLORIDA BANK GROUP, INC. TAMPA FL 14-Aug-13 $8,000,000.00 20,471 $390.80 ($12,471,000.00)

8,44,14 FLORIDA BUSINESS BANCGROUP, INC. TAMPA FL 20-Feb-09 Preferred Stock w/ Exercised Warrants $9,495,000.00 $0.00 $11,309,750.50 Redeemed, in full; warrants not outstanding

FLORIDA BUSINESS BANCGROUP, INC. TAMPA FL 22-Sep-11 $9,495,000.00 9,495 $1,000.00 $475,000.00 475

12,16 FLUSHING FINANCIAL CORPORATION LAKE SUCCESS NY 19-Dec-08 Preferred Stock w/ Warrants $70,000,000.00 $0.00 $73,904,166.66 Redeemed, in full; warrants not outstanding

FLUSHING FINANCIAL CORPORATION LAKE SUCCESS NY 28-Oct-09 $70,000,000.00 70,000 $1,000.00
Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

FLUSHING FINANCIAL CORPORATION LAKE SUCCESS NY 30-Dec-09 $900,000.00 375,806

45,8,14 FNB BANCORP SOUTH SAN FRANCISCO CA 27-Feb-09 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $14,267,700.00 Redeemed, in full; warrants not outstanding

FNB BANCORP SOUTH SAN FRANCISCO CA 15-Sep-11 $12,000,000.00 12,000 $1,000.00 $600,000.00 600

11,8,14 FORESIGHT FINANCIAL GROUP, INC. ROCKFORD IL 15-May-09 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $18,670,291.67 Redeemed, in full; warrants not outstanding

FORESIGHT FINANCIAL GROUP, INC. ROCKFORD IL 11-Dec-12 $15,000,000.00 15,000 $1,000.00 $750,000.00 750

8,66,97 FORT LEE FEDERAL SAVINGS BANK, FSB FORT LEE NJ 22-May-09 Preferred Stock w/ Exercised Warrants $1,300,000.00 $0.00 $87,184.85 Currently not collectible

FORT LEE FEDERAL SAVINGS BANK, FSB FORT LEE NJ 20-Apr-12 ($1,300,000.00)

45,8,14 FORTUNE FINANCIAL CORPORATION ARNOLD MO 3-Apr-09 Preferred Stock w/ Exercised Warrants $3,100,000.00 $0.00 $3,668,927.67 Redeemed, in full; warrants not outstanding

FORTUNE FINANCIAL CORPORATION ARNOLD MO 15-Sep-11 $3,100,000.00 3,100 $1,000.00 $155,000.00 155

50,97 FPB BANCORP, INC. PORT ST. LUCIE FL 5-Dec-08 Preferred Stock w/ Warrants $5,800,000.00 $0.00 $273,888.89 Currently not collectible

FPB BANCORP, INC. PORT ST. LUCIE FL 15-Jul-11 ($5,800,000.00)

11,8,14 FPB FINANCIAL CORP. HAMMOND LA 23-Jan-09 Preferred Stock w/ Exercised Warrants $3,240,000.00 $0.00 $3,623,721.50 Redeemed, in full; warrants not outstanding

FPB FINANCIAL CORP. HAMMOND LA 16-Dec-09 $1,000,000.00 1,000 $1,000.00

FPB FINANCIAL CORP. HAMMOND LA 16-Jun-10 $2,240,000.00 2,240 $1,000.00 $162,000.00 162

8,14 FRANKLIN BANCORP, INC. WASHINGTON MO 22-May-09 Preferred Stock w/ Exercised Warrants $5,097,000.00 $0.00 $4,336,183.67 Sold, in full; warrants not outstanding

FRANKLIN BANCORP, INC. WASHINGTON MO 9-Nov-12 $594,550.00 940 $632.50 ($345,450.00) $126,798.62 188

FRANKLIN BANCORP, INC. WASHINGTON MO 13-Nov-12 $2,629,302.50 4,157 $632.50 ($1,527,697.50) $45,188.88 67

FRANKLIN BANCORP, INC. WASHINGTON MO 11-Jan-13 ($25,000.00)

15 FREEPORT BANCSHARES, INC. FREEPORT IL 8-May-09 Subordinated Debentures w/ Exercised Warrants $3,000,000.00 $3,000,000.00 $1,137,543.45 Full investment outstanding; warrants outstanding

15,11,14 FREMONT BANCORPORATION FREMONT CA 26-Jun-09 Subordinated Debentures w/ Exercised Warrants $35,000,000.00 $0.00 $45,796,066.36 Redeemed, in full; warrants not outstanding

FREMONT BANCORPORATION FREMONT CA 25-Jul-12 $35,000,000.00 35,000,000 $1.00 $1,750,000.00 1,750,000

44,8,14 FRESNO FIRST BANK FRESNO CA 23-Jan-09 Preferred Stock w/ Exercised Warrants $1,968,000.00 $0.00 $2,437,100.33 Redeemed, in full; warrants not outstanding

FRESNO FIRST BANK FRESNO CA 1-Nov-12 $1,968,000.00 1,968 $1,000.00 $98,000.00 98

15,11,14 FRONTIER BANCSHARES, INC AUSTIN TX 24-Apr-09 Subordinated Debentures w/ Exercised Warrants $3,000,000.00 $0.00 $3,408,191.65 Redeemed, in full; warrants not outstanding

FRONTIER BANCSHARES, INC AUSTIN TX 24-Nov-09 $1,600,000.00 1,600,000 $1.00

FRONTIER BANCSHARES, INC AUSTIN TX 6-Oct-10 $1,400,000.00 1,400,000 $1.00 $150,000.00 150,000

11 FULTON FINANCIAL CORPORATION LANCASTER PA 23-Dec-08 Preferred Stock w/ Warrants $376,500,000.00 $0.00 $416,635,625.00 Redeemed, in full; warrants not outstanding

FULTON FINANCIAL CORPORATION LANCASTER PA 14-Jul-10 $376,500,000.00 376,500 $1,000.00

FULTON FINANCIAL CORPORATION LANCASTER PA 8-Sep-10 $10,800,000.00 5,509,756

8,14 GATEWAY BANCSHARES, INC. RINGGOLD GA 8-May-09 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $7,260,794.87 Redeemed, in full; warrants not outstanding

GATEWAY BANCSHARES, INC. RINGGOLD GA 13-Apr-12 $6,000,000.00 6,000 $1,000.00 $300,000.00 300

11,8,14 GEORGIA COMMERCE BANCSHARES, INC. ATLANTA GA 6-Feb-09 Preferred Stock w/ Exercised Warrants $8,700,000.00 $0.00 $10,096,470.83 Redeemed, in full; warrants not outstanding

GEORGIA COMMERCE BANCSHARES, INC. ATLANTA GA 16-Feb-11 $8,700,000.00 8,700 $1,000.00 $435,000.00 435

8 GEORGIA PRIMARY BANK ATLANTA GA 1-May-09 Preferred Stock w/ Exercised Warrants $4,500,000.00 $4,500,000.00 $0.00 Full investment outstanding; warrants outstanding

8,14 GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 6-Mar-09 Preferred Stock w/ Exercised Warrants $4,967,000.00 $0.00 $5,699,100.75 Sold, in full; warrants not outstanding

GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 29-Oct-12 $26,393.77 29 $910.10 ($2,606.23)

GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 31-Oct-12 $4,494,221.94 4,938 $910.10 ($443,778.06) $214,595.28 248

GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 11-Jan-13 ($25,000.00)

8,17,91,97 GOLD CANYON BANK GOLD CANYON AZ 26-Jun-09 Preferred Stock w/ Exercised Warrants $1,607,000.00 $0.00 $53,859.52 Currently not collectible

GOLD CANYON BANK GOLD CANYON AZ 5-Apr-13 ($1,607,000.00)

11 GOLDMAN SACHS GROUP, INC. NEW YORK NY 28-Oct-08 Preferred Stock w/ Warrants $10,000,000,000.00 $0.00 $11,418,055,555.44 Redeemed, in full; warrants not outstanding

GOLDMAN SACHS GROUP, INC. NEW YORK NY 17-Jun-09 $10,000,000,000.00 10,000,000 $1,000.00

GOLDMAN SACHS GROUP, INC. NEW YORK NY 22-Jul-09 $1,100,000,000.00 12,205,045

8 GOLDWATER BANK, N.A. SCOTTSDALE AZ 30-Jan-09 Preferred Stock w/ Exercised Warrants $2,568,000.00 $2,568,000.00 $145,750.00 Full investment outstanding; warrants outstanding

44,8,14 GRAND CAPITAL CORPORATION TULSA OK 24-Apr-09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,717,144.78 Redeemed, in full; warrants not outstanding

GRAND CAPITAL CORPORATION TULSA OK 8-Sep-11 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

15 GRAND FINANCIAL CORPORATION HATTIESBURG MS 25-Sep-09 Subordinated Debentures w/ Exercised Warrants $2,443,320.00 $2,443,320.00 $848,353.79 Full investment outstanding; warrants outstanding

8 GRAND MOUNTAIN BANCSHARES, INC. GRANBY CO 29-May-09 Preferred Stock w/ Exercised Warrants $3,076,000.00 $3,076,000.00 $0.00 Full investment outstanding; warrants outstanding

8,14,18,44 GRANDSOUTH BANCORPORATION GREENVILLE SC 9-Jan-09 Preferred Stock w/ Warrants $9,000,000.00 $0.00 $17,625,917.08 Redeemed, in full; warrants not outstanding

GRANDSOUTH BANCORPORATION GREENVILLE SC 11-Dec-09 $6,319,000.00

GRANDSOUTH BANCORPORATION GREENVILLE SC 8-Sep-11 $15,319,000.00 15,319 $1,000.00 $450,000.00 450

15 GREAT RIVER HOLDING COMPANY BAXTER MN 17-Jul-09 Subordinated Debentures w/ Exercised Warrants $8,400,000.00 $8,400,000.00 $759,575.46 Full investment outstanding; warrants outstanding

45 GREAT SOUTHERN BANCORP SPRINGFIELD MO 5-Dec-08 Preferred Stock w/ Warrants $58,000,000.00 $0.00 $72,274,419.56 Redeemed, in full; warrants not outstanding

GREAT SOUTHERN BANCORP SPRINGFIELD MO 18-Aug-11 $58,000,000.00 58,000 $1,000.00

GREAT SOUTHERN BANCORP SPRINGFIELD MO 21-Sep-11 $6,436,364.00 909,091

GREEN BANKSHARES, INC. GREENEVILLE TN 23-Dec-08 Preferred Stock w/ Warrants $72,278,000.00 $0.00 $74,642,857.78 Sold, in full; warrants not outstanding

GREEN BANKSHARES, INC. GREENEVILLE TN 7-Sep-11 $68,700,000.00 72,278 $950.50 ($3,578,000.00)

11,8,14 GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 27-Feb-09 Preferred Stock w/ Exercised Warrants $2,400,000.00 $0.00 $3,036,021.12 Redeemed, in full; warrants not outstanding

GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 14-Nov-12 $800,000.00 800 $1,000.00

GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 23-Jan-13 $800,000.00 800 $1,000.00

GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 24-Apr-13 $800,000.00 800 $1,000.00 $120,000.00 120

11,8,14 GREEN CITY BANCSHARES, INC. GREEN CITY MO 27-Feb-09 Preferred Stock w/ Exercised Warrants $651,000.00 $0.00 $733,037.33 Redeemed, in full; warrants not outstanding

GREEN CITY BANCSHARES, INC. GREEN CITY MO 14-Jul-10 $651,000.00 651 $1,000.00 $33,000.00 33

8 GREER BANCSHARES INCORPORATED GREER SC 30-Jan-09 Preferred Stock w/ Exercised Warrants $9,993,000.00 $9,993,000.00 $975,831.00 Full investment outstanding; warrants outstanding

8,68,97 GREGG BANCSHARES, INC. OZARK MO 13-Feb-09 Preferred Stock w/ Exercised Warrants $825,000.00 $0.00 $45,190.00 Currently not collectible

GREGG BANCSHARES, INC. OZARK MO 13-Jul-12 ($825,000.00)

45,8,14 GUARANTY BANCORP, INC. WOODSVILLE NH 20-Feb-09 Preferred Stock w/ Exercised Warrants $6,920,000.00 $0.00 $8,235,040.33 Redeemed, in full; warrants not outstanding

GUARANTY BANCORP, INC. WOODSVILLE NH 15-Sep-11 $6,920,000.00 6,920 $1,000.00 $346,000.00 346

9,15,36 GUARANTY CAPITAL CORPORATION BELZONI MS 25-Sep-09 Subordinated Debentures $14,000,000.00 $0.00 $14,913,299.33 Redeemed, in full; warrants not outstanding

GUARANTY CAPITAL CORPORATION BELZONI MS 30-Jul-10 $14,000,000.00 14,000,000 $1.00

11 GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 30-Jan-09 Preferred Stock w/ Warrants $17,000,000.00 $0.00 $21,887,871.44 Sold, in full; warrants not outstanding

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 13-Jun-12 $5,000,000.00 5,000 $1,000.00

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 26-Apr-13 $96,750.00 100 $967.50 ($3,250.00)

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 29-Apr-13 $11,513,250.00 11,900 $967.50 ($386,750.00)

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 15-May-13 $2,003,250.00 459,459

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 31-May-13 ($116,100.00)

17,28,70,97 GULFSOUTH PRIVATE BANK DESTIN FL 25-Sep-09 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $757,380.08 Currently not collectible

GULFSOUTH PRIVATE BANK DESTIN FL 19-Oct-12 ($7,500,000.00)

45,8,14 GULFSTREAM BANCSHARES, INC. STUART FL 26-Jun-09 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $8,751,541.63 Redeemed, in full; warrants not outstanding

GULFSTREAM BANCSHARES, INC. STUART FL 18-Aug-11 $7,500,000.00 7,500 $1,000.00 $375,000.00 375

11,8,14 HAMILTON STATE BANCSHARES, INC. HOSCHTON GA 20-Feb-09 Preferred Stock w/ Exercised Warrants $7,000,000.00 $0.00 $8,169,165.89 Redeemed, in full; warrants not outstanding

HAMILTON STATE BANCSHARES, INC. HOSCHTON GA 13-Apr-11 $7,000,000.00 280 $25,000.00 $350,000.00 35

38 HAMPTON ROADS BANKSHARES, INC. NORFOLK VA 31-Dec-08 Preferred Stock w/ Warrants $80,347,000.00 $80,347,000.00 $2,510,844.25 Full investment outstanding; warrants outstanding

8,9 HARBOR BANKSHARES CORPORATION BALTIMORE MD 17-Jul-09 Preferred Stock $6,800,000.00 $6,800,000.00 $282,744.47 Full investment outstanding; warrants not outstanding

11,8,14 HAVILAND BANCSHARES, INC. HAVILAND KS 13-Mar-09 Preferred Stock w/ Exercised Warrants $425,000.00 $0.00 $487,524.22 Redeemed, in full; warrants not outstanding

HAVILAND BANCSHARES, INC. HAVILAND KS 29-Dec-10 $425,000.00 425 $1,000.00 $21,000.00 21

11 HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 19-Dec-08 Preferred Stock w/ Warrants $30,255,000.00 $0.00 $36,849,504.67 Redeemed, in full; warrants not outstanding

HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 9-May-12 $12,000,000.00 12,000 $1,000.00

HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 15-May-13 $18,255,000.00 18,255 $1,000.00

HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 12-Jun-13 $540,000.00 287,134

HCSB FINANCIAL CORPORATION LORIS SC 6-Mar-09 Preferred Stock w/ Warrants $12,895,000.00 $12,895,000.00 $1,090,702.00 Full investment outstanding; warrants outstanding

8,17 HEARTLAND BANCSHARES, INC. FRANKLIN IN 11-Sep-09 Preferred Stock w/ Exercised Warrants $7,000,000.00 $0.00 $8,321,471.08 Redeemed, in full; warrants not outstanding

HEARTLAND BANCSHARES, INC. FRANKLIN IN 17-Jul-12 $7,000,000.00 7,000 $1,000.00 $248,000.00 248

45 HEARTLAND FINANCIAL USA, INC. DUBUQUE IA 19-Dec-08 Preferred Stock w/ Warrants $81,698,000.00 $0.00 $94,686,087.22 Redeemed, in full; warrants not outstanding

HEARTLAND FINANCIAL USA, INC. DUBUQUE IA 15-Sep-11 $81,698,000.00 81,698 $1,000.00

HEARTLAND FINANCIAL USA, INC. DUBUQUE IA 28-Sep-11 $1,800,000.00 609,687
Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

8,17,45 HERITAGE BANKSHARES, INC. NORFOLK VA 25-Sep-09 Preferred Stock w/ Exercised Warrants $10,103,000.00 $0.00 $11,353,284.46 Redeemed, in full; warrants not outstanding

HERITAGE BANKSHARES, INC. NORFOLK VA 16-Mar-11 $2,606,000.00 2,606 $1,000.00

HERITAGE BANKSHARES, INC. NORFOLK VA 11-Aug-11 $7,497,000.00 7,497 $1,000.00 $303,000.00 303

11 HERITAGE COMMERCE CORP. SAN JOSE CA 21-Nov-08 Preferred Stock w/ Warrants $40,000,000.00 $0.00 $46,901,266.80 Redeemed, in full; warrants not outstanding

HERITAGE COMMERCE CORP. SAN JOSE CA 7-Mar-12 $40,000,000.00 40,000 $1,000.00

HERITAGE COMMERCE CORP. SAN JOSE CA 10-Jun-13 $140,000.00 462,963

11,16 HERITAGE FINANCIAL CORPORATION OLYMPIA WA 21-Nov-08 Preferred Stock w/ Warrants $24,000,000.00 $0.00 $26,953,333.33 Redeemed, in full; warrants not outstanding

HERITAGE FINANCIAL CORPORATION OLYMPIA WA 22-Dec-10 $24,000,000.00 24,000 $1,000.00

HERITAGE FINANCIAL CORPORATION OLYMPIA WA 17-Aug-11 $450,000.00 138,037

11 HERITAGE OAKS BANCORP PASO ROBLES CA 20-Mar-09 Preferred Stock w/ Warrants $21,000,000.00 $0.00 $27,241,335.26 Redeemed, in full; warrants not outstanding

HERITAGE OAKS BANCORP PASO ROBLES CA 17-Jul-13 $21,000,000.00 21,000 $1,000.00

HERITAGE OAKS BANCORP PASO ROBLES CA 7-Aug-13 $1,575,000.00 611,650

11 HF FINANCIAL CORP. SIOUX FALLS SD 21-Nov-08 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $26,316,666.67 Redeemed, in full; warrants not outstanding

HF FINANCIAL CORP. SIOUX FALLS SD 3-Jun-09 $25,000,000.00 25,000 $1,000.00

HF FINANCIAL CORP. SIOUX FALLS SD 30-Jun-09 $650,000.00 302,419

8,18,21,44 HIGHLANDS BANCORP, INC. VERNON NJ 8-May-09 Preferred Stock w/ Exercised Warrants $3,091,000.00 $0.00 $6,211,926.79 Redeemed, in full; warrants not outstanding

HIGHLANDS BANCORP, INC. VERNON NJ 22-Dec-09 $2,359,000.00

HIGHLANDS BANCORP, INC. VERNON NJ 22-Sep-11 $5,450,000.00 5,450 $1,000.00 $155,000.00 155

8 HIGHLANDS INDEPENDENT BANCSHARES, INC. SEBRING FL 6-Mar-09 Preferred Stock w/ Exercised Warrants $6,700,000.00 $6,700,000.00 $617,712.00 Full investment outstanding; warrants outstanding

11,8,14 HILLTOP COMMUNITY BANCORP, INC. SUMMIT NJ 30-Jan-09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,467,049.67 Redeemed, in full; warrants not outstanding

HILLTOP COMMUNITY BANCORP, INC. SUMMIT NJ 21-Apr-10 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

HMN FINANCIAL, INC. ROCHESTER MN 23-Dec-08 Preferred Stock w/ Warrants $26,000,000.00 $0.00 $21,034,187.78 Sold, in full; warrants outstanding

HMN FINANCIAL, INC. ROCHESTER MN 7-Feb-13 $2,561,325.00 3,550 $721.50 ($988,675.00)

HMN FINANCIAL, INC. ROCHESTER MN 8-Feb-13 $16,197,675.00 22,450 $721.50 ($6,252,325.00)

HMN FINANCIAL, INC. ROCHESTER MN 26-Mar-13 ($187,590.00)

11 HOME BANCSHARES, INC. CONWAY AR 16-Jan-09 Preferred Stock w/ Warrants $50,000,000.00 $0.00 $57,480,555.56 Redeemed, in full; warrants not outstanding

HOME BANCSHARES, INC. CONWAY AR 6-Jul-11 $50,000,000.00 50,000 $1,000.00

HOME BANCSHARES, INC. CONWAY AR 27-Jul-11 $1,300,000.00 158,472

8 HOMETOWN BANCORP OF ALABAMA, INC. ONEONTA AL 20-Feb-09 Preferred Stock w/ Exercised Warrants $3,250,000.00 $0.00 $4,214,202.31 Redeemed, in full; warrants not outstanding

HOMETOWN BANCORP OF ALABAMA, INC. ONEONTA AL 28-Aug-13 $3,250,000.00 3,250 $1,000.00 $163,000.00 163

8,14 HOMETOWN BANCSHARES, INC. CORBIN KY 13-Feb-09 Preferred Stock w/ Exercised Warrants $1,900,000.00 $0.00 $2,229,801.03 Sold, in full; warrants not outstanding

HOMETOWN BANCSHARES, INC. CORBIN KY 28-Nov-12 $608,170.50 645 $942.90 ($36,829.50)

HOMETOWN BANCSHARES, INC. CORBIN KY 30-Nov-12 $1,183,339.50 1,255 $942.90 ($71,660.50) $70,095.00 95

HOMETOWN BANCSHARES, INC. CORBIN KY 11-Jan-13 ($17,915.11)

HOMETOWN BANCSHARES, INC. CORBIN KY 26-Mar-13 ($7,084.89)

8,17 HOMETOWN BANKSHARES CORPORATION ROANOKE VA 18-Sep-09 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,111,011.94 Sold, in full; warrants not outstanding

HOMETOWN BANKSHARES CORPORATION ROANOKE VA 31-Oct-12 $9,185,000.00 10,000 $918.50 ($815,000.00) $315,461.52 374

HOMETOWN BANKSHARES CORPORATION ROANOKE VA 11-Jan-13 ($91,850.00)

11 HOPFED BANCORP HOPKINSVILLE KY 12-Dec-08 Preferred Stock w/ Warrants $18,400,000.00 $0.00 $22,354,145.89 Redeemed, in full; warrants not outstanding

HOPFED BANCORP HOPKINSVILLE KY 19-Dec-12 $18,400,000.00 18,400 $1,000.00

HOPFED BANCORP HOPKINSVILLE KY 16-Jan-13 $256,257.00 253,666

11,45 HORIZON BANCORP MICHIGAN CITY IN 19-Dec-08 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $29,857,321.83 Redeemed, in full; warrants not outstanding

HORIZON BANCORP MICHIGAN CITY IN 10-Nov-10 $6,250,000.00 6,250 $1,000.00

HORIZON BANCORP MICHIGAN CITY IN 25-Aug-11 $18,750,000.00 18,750 $1,000.00

HORIZON BANCORP MICHIGAN CITY IN 23-Nov-11 $1,750,551.00 212,188

44,8,14 HOWARD BANCORP, INC. ELLICOTT CITY MD 27-Feb-09 Preferred Stock w/ Exercised Warrants $5,983,000.00 $0.00 $7,119,793.05 Redeemed, in full; warrants not outstanding

HOWARD BANCORP, INC. ELLICOTT CITY MD 22-Sep-11 $5,983,000.00 5,983 $1,000.00 $299,000.00 299

8,11,14,18 HPK FINANCIAL CORPORATION CHICAGO IL 1-May-09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $10,940,554.65 Redeemed, in full; warrants not outstanding

HPK FINANCIAL CORPORATION CHICAGO IL 13-Nov-09 $5,000,000.00

HPK FINANCIAL CORPORATION CHICAGO IL 11-Dec-12 $9,000,000.00 9,000 $1,000.00 $344,000.00 344

11 HUNTINGTON BANCSHARES COLUMBUS OH 14-Nov-08 Preferred Stock w/ Warrants $1,398,071,000.00 $0.00 $1,594,356,808.56 Redeemed, in full; warrants not outstanding

HUNTINGTON BANCSHARES COLUMBUS OH 22-Dec-10 $1,398,071,000.00 1,398,071 $1,000.00

HUNTINGTON BANCSHARES COLUMBUS OH 19-Jan-11 $49,100,000.00 23,562,994

8,14 HYPERION BANK PHILADELPHIA PA 6-Feb-09 Preferred Stock w/ Exercised Warrants $1,552,000.00 $0.00 $1,337,166.22 Sold, in full; warrants not outstanding

HYPERION BANK PHILADELPHIA PA 20-Dec-12 $1,008,800.00 1,552 $650.00 ($543,200.00) $25,700.00 78

HYPERION BANK PHILADELPHIA PA 11-Jan-13 ($10,088.00)

HYPERION BANK PHILADELPHIA PA 26-Mar-13 ($14,912.00)

8,17 IA BANCORP, INC / INDUS AMERICAN BANK ISELIN NJ 18-Sep-09 Preferred Stock w/ Exercised Warrants $5,976,000.00 $5,976,000.00 $916,227.47 Full investment outstanding; warrants outstanding

9,15,36 IBC BANCORP, INC. CHICAGO IL 15-May-09 Subordinated Debentures $4,205,000.00 $0.00 $4,632,216.32 Redeemed, in full; warrants not outstanding

IBC BANCORP, INC. CHICAGO IL 10-Sep-10 $4,205,000.00 4,205,000 $1.00

12,16 IBERIABANK CORPORATION LAFAYETTE LA 5-Dec-08 Preferred Stock w/ Warrants $90,000,000.00 $0.00 $92,650,000.00 Redeemed, in full; warrants not outstanding

IBERIABANK CORPORATION LAFAYETTE LA 31-Mar-09 $90,000,000.00 90,000 $1,000.00

IBERIABANK CORPORATION LAFAYETTE LA 20-May-09 $1,200,000.00 138,490

8,14 IBT BANCORP, INC. IRVING TX 27-Mar-09 Preferred Stock w/ Exercised Warrants $2,295,000.00 $0.00 $2,936,462.50 Redeemed, in full; warrants not outstanding

IBT BANCORP, INC. IRVING TX 12-Jun-13 $2,295,000.00 2,295 $1,000.00 $115,000.00 115

11,8,10 IBW FINANCIAL CORPORATION WASHINGTON DC 13-Mar-09 Preferred Stock w/ Warrants $6,000,000.00 $0.00 $6,453,067.00 Redeemed, in full; warrants not outstanding

IBW FINANCIAL CORPORATION WASHINGTON DC 3-Sep-10 $6,000,000.00 6,000 $1,000.00

44,8,14 ICB FINANCIAL ONTARIO CA 6-Mar-09 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $7,494,458.33 Redeemed, in full; warrants not outstanding

ICB FINANCIAL ONTARIO CA 1-Nov-12 $6,000,000.00 6,000 $1,000.00 $300,000.00 300

8 IDAHO BANCORP BOISE ID 16-Jan-09 Preferred Stock w/ Exercised Warrants $6,900,000.00 $6,900,000.00 $124,305.92 Full investment outstanding; warrants outstanding

8,14,18,44 ILLINOIS STATE BANCORP, INC. CHICAGO IL 22-May-09 Preferred Stock w/ Exercised Warrants $6,272,000.00 $0.00 $11,836,113.40 Redeemed, in full; warrants not outstanding

ILLINOIS STATE BANCORP, INC. CHICAGO IL 29-Dec-09 $4,000,000.00

ILLINOIS STATE BANCORP, INC. CHICAGO IL 22-Sep-11 $10,272,000.00 10,272 $1,000.00 $406,000.00 406

8 INDEPENDENCE BANK EAST GREENWICH RI 9-Jan-09 Preferred Stock w/ Exercised Warrants $1,065,000.00 $0.00 $1,394,723.17 Redeemed, in full; warrants not outstanding

INDEPENDENCE BANK EAST GREENWICH RI 16-Oct-13 $1,065,000.00 1,065 $1,000.00 $53,000.00 53

11 INDEPENDENT BANK CORP. ROCKLAND MA 9-Jan-09 Preferred Stock w/ Warrants $78,158,000.00 $0.00 $81,476,093.61 Redeemed, in full; warrants not outstanding

INDEPENDENT BANK CORP. ROCKLAND MA 22-Apr-09 $78,158,000.00 78,158 $1,000.00

INDEPENDENT BANK CORP. ROCKLAND MA 27-May-09 $2,200,000.00 481,664

29 INDEPENDENT BANK CORPORATION IONIA MI 12-Dec-08 Preferred Stock w/ Warrants $72,000,000.00 $0.00 $83,430,000.00 Redeemed, in full; warrants not outstanding

INDEPENDENT BANK CORPORATION IONIA MI 30-Aug-13 $72,000,000.00 72,000 $1,000.00 $2,426,000.00

8,22,92,97 INDIANA BANK CORP. DANA IN 24-Apr-09 Preferred Stock w/ Exercised Warrants $1,312,000.00 $0.00 $165,139.00 Currently not collectible

INDIANA BANK CORP. DANA IN 9-Apr-13 ($1,312,000.00)

11 INDIANA COMMUNITY BANCORP COLUMBUS IN 12-Dec-08 Preferred Stock w/ Warrants $21,500,000.00 $0.00 $27,331,250.00 Redeemed, in full; warrants not outstanding

INDIANA COMMUNITY BANCORP COLUMBUS IN 12-Sep-12 $21,500,000.00 21,500 $1,000.00 $1,800,000.00 188,707

22,52,97 INTEGRA BANK CORPORATION EVANSVILLE IN 27-Feb-09 Preferred Stock w/ Warrants $83,586,000.00 $0.00 $1,950,340.00 Currently not collectible

INTEGRA BANK CORPORATION EVANSVILLE IN 29-Jul-11 ($83,586,000.00)

INTERMOUNTAIN COMMUNITY BANCORP SANDPOINT ID 19-Dec-08 Preferred Stock w/ Warrants $27,000,000.00 $0.00 $33,944,884.23 Redeemed, in full; warrants outstanding

INTERMOUNTAIN COMMUNITY BANCORP SANDPOINT ID 20-Nov-13 $27,000,000.00 27,000 $1,000.00

11 INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 23-Dec-08 Preferred Stock w/ Warrants $216,000,000.00 $0.00 $261,538,649.89 Redeemed, in full; warrants not outstanding

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 11-Jul-12 $40,000,000.00 40,000 $1,000.00

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 1-Nov-12 $45,000,000.00 45,000 $1,000.00

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 28-Nov-12 $131,000,000.00 131,000 $1,000.00

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 11-Jun-13 $4,018,511.00 1,326,238

INTERVEST BANCSHARES CORPORATION NEW YORK NY 23-Dec-08 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $30,035,555.56 Sold, in full; warrants outstanding

INTERVEST BANCSHARES CORPORATION NEW YORK NY 24-Jun-13 $24,250,000.00 25,000 $970.00 ($750,000.00)

INTERVEST BANCSHARES CORPORATION NEW YORK NY 26-Jul-13 ($242,500.00)

15,71,97 INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY, INC. SEDALIA MO 8-May-09 Subordinated Debentures w/ Exercised Warrants $4,000,000.00 $0.00 $174,324.60 Currently not collectible
Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY, INC. SEDALIA MO 19-Oct-12 ($4,000,000.00)

11 JPMORGAN CHASE & CO. NEW YORK NY 28-Oct-08 Preferred Stock w/ Warrants $25,000,000,000.00 $0.00 $26,731,202,358.00 Redeemed, in full; warrants not outstanding

JPMORGAN CHASE & CO. NEW YORK NY 17-Jun-09 $25,000,000,000.00 2,500,000 $10,000.00

JPMORGAN CHASE & CO. NEW YORK NY 16-Dec-09 $936,063,469.11 88,401,697

44,8,14 KATAHDIN BANKSHARES CORP. HOULTON ME 30-Jan-09 Preferred Stock w/ Exercised Warrants $10,449,000.00 $0.00 $12,423,046.75 Redeemed, in full; warrants not outstanding

KATAHDIN BANKSHARES CORP. HOULTON ME 18-Aug-11 $10,449,000.00 10,449 $1,000.00 $522,000.00 522

11 KEYCORP CLEVELAND OH 14-Nov-08 Preferred Stock w/ Warrants $2,500,000,000.00 $0.00 $2,867,222,222.22 Redeemed, in full; warrants not outstanding

KEYCORP CLEVELAND OH 30-Mar-11 $2,500,000,000.00 25,000 $100,000.00

KEYCORP CLEVELAND OH 20-Apr-11 $70,000,000.00 35,244,361

8 KIRKSVILLE BANCORP, INC. KIRKSVILLE MO 20-Mar-09 Preferred Stock w/ Exercised Warrants $470,000.00 $470,000.00 $119,390.00 Full investment outstanding; warrants outstanding

8,14 KS BANCORP, INC SMITHFIELD NC 21-Aug-09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,137,336.64 Sold, in full; warrants not outstanding

KS BANCORP, INC SMITHFIELD NC 30-Nov-12 $3,308,000.00 4,000 $827.00 ($692,000.00) $140,400.00 200

KS BANCORP, INC SMITHFIELD NC 11-Jan-13 ($25,000.00)

8,11,14,18,36 LAFAYETTE BANCORP, INC. OXFORD MS 20-Feb-09 Preferred Stock w/ Exercised Warrants $1,998,000.00 $0.00 $4,818,134.50 Redeemed, in full; warrants not outstanding

LAFAYETTE BANCORP, INC. OXFORD MS 29-Dec-09 $2,453,000.00

LAFAYETTE BANCORP, INC. OXFORD MS 29-Sep-10 $4,451,000.00 4,451 $1,000.00 $100,000.00 100

11 LAKELAND BANCORP, INC. OAK RIDGE NJ 6-Feb-09 Preferred Stock w/ Warrants $59,000,000.00 $0.00 $68,260,833.33 Redeemed, in full; warrants not outstanding

LAKELAND BANCORP, INC. OAK RIDGE NJ 4-Aug-10 $20,000,000.00 20,000 $1,000.00

LAKELAND BANCORP, INC. OAK RIDGE NJ 16-Mar-11 $20,000,000.00 20,000 $1,000.00

LAKELAND BANCORP, INC. OAK RIDGE NJ 8-Feb-12 $19,000,000.00 19,000 $1,000.00

LAKELAND BANCORP, INC. OAK RIDGE NJ 29-Feb-12 $2,800,000.00 997,050

12 LAKELAND FINANCIAL CORPORATION WARSAW IN 27-Feb-09 Preferred Stock w/ Warrants $56,044,000.00 $0.00 $60,517,713.33 Redeemed, in full; warrants not outstanding

LAKELAND FINANCIAL CORPORATION WARSAW IN 9-Jun-10 $56,044,000.00 56,044 $1,000.00

LAKELAND FINANCIAL CORPORATION WARSAW IN 22-Nov-11 $877,557.00 198,269

8,14 LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 18-Dec-09 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $2,932,162.50 Sold, in full; warrants not outstanding

LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 29-Nov-12 $2,370,930.00 3,000 $790.30 ($629,070.00) $104,375.00 150

LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 11-Jan-13 ($23,709.29)

LAYTON PARK FINANCIAL GROUP, INC. MILWAUKEE WI 26-Mar-13 ($1,290.71)

11 LCNB CORP. LEBANON OH 9-Jan-09 Preferred Stock w/ Warrants $13,400,000.00 $0.00 $14,527,390.33 Redeemed, in full; warrants not outstanding

LCNB CORP. LEBANON OH 21-Oct-09 $13,400,000.00 13,400 $1,000.00

LCNB CORP. LEBANON OH 22-Nov-11 $602,557.00 217,063

11,8,14 LEADER BANCORP, INC. ARLINGTON MA 23-Dec-08 Preferred Stock w/ Exercised Warrants $5,830,000.00 $0.00 $6,731,961.06 Redeemed, in full; warrants not outstanding

LEADER BANCORP, INC. ARLINGTON MA 24-Nov-10 $5,830,000.00 5,830 $1,000.00 $292,000.00 292

9,48,97 LEGACY BANCORP, INC. MILWAUKEE WI 30-Jan-09 Preferred Stock $5,498,000.00 $0.00 $355,079.00 Currently not collectible

LEGACY BANCORP, INC. MILWAUKEE WI 11-Mar-11 ($5,498,000.00)

45,8,14 LIBERTY BANCSHARES, INC. (AR) JONESBORO AR 23-Jan-09 Preferred Stock w/ Exercised Warrants $57,500,000.00 $0.00 $68,191,965.77 Redeemed, in full; warrants not outstanding

LIBERTY BANCSHARES, INC. (AR) JONESBORO AR 21-Jul-11 $57,500,000.00 57,500 $1,000.00 $2,875,000.00 2,875

45,8,14 LIBERTY BANCSHARES, INC. (MO) SPRINGFIELD MO 13-Feb-09 Preferred Stock w/ Exercised Warrants $21,900,000.00 $0.00 $25,995,452.08 Redeemed, in full; warrants not outstanding

LIBERTY BANCSHARES, INC. (MO) SPRINGFIELD MO 18-Aug-11 $21,900,000.00 21,900 $1,000.00 $1,095,000.00 1,095

8,17 LIBERTY BANCSHARES, INC. (TX) FORT WORTH TX 4-Dec-09 Preferred Stock w/ Exercised Warrants $6,500,000.00 $6,500,000.00 $1,352,476.22 Full investment outstanding; warrants outstanding

11,9,36 LIBERTY FINANCIAL SERVICES, INC. NEW ORLEANS LA 6-Feb-09 Preferred Stock $5,645,000.00 $0.00 $6,106,008.58 Redeemed, in full; warrants not outstanding

LIBERTY FINANCIAL SERVICES, INC. NEW ORLEANS LA 24-Sep-10 $5,645,000.00 5,645 $1,000.00

8 LIBERTY SHARES, INC. HINESVILLE GA 20-Feb-09 Preferred Stock w/ Exercised Warrants $17,280,000.00 $17,280,000.00 $1,399,560.00 Full investment outstanding; warrants outstanding

11 LINCOLN NATIONAL CORPORATION RADNOR PA 10-Jul-09 Preferred Stock w/ Warrants $950,000,000.00 $0.00 $1,209,851,873.70 Redeemed, in full; warrants not outstanding

LINCOLN NATIONAL CORPORATION RADNOR PA 30-Jun-10 $950,000,000.00 950,000 $1,000.00

LINCOLN NATIONAL CORPORATION RADNOR PA 22-Sep-10 $213,671,319.20 13,049,451

LNB BANCORP, INC. LORAIN OH 12-Dec-08 Preferred Stock w/ Warrants $25,223,000.00 $0.00 $26,893,046.60 Sold, in full; warrants not outstanding

LNB BANCORP, INC. LORAIN OH 19-Jun-12 $21,923,074.91 ($328,846.12) 25,223 $869.20 ($3,299,925.09)

LNB BANCORP, INC. LORAIN OH 18-Jul-12 $860,326.00 561,343

8 LONE STAR BANK HOUSTON TX 6-Feb-09 Preferred Stock w/ Exercised Warrants $3,072,000.00 $3,072,000.00 $0.00 Full investment outstanding; warrants outstanding

11 LSB CORPORATION NORTH ANDOVER MA 12-Dec-08 Preferred Stock w/ Warrants $15,000,000.00 $0.00 $16,260,000.00 Redeemed, in full; warrants not outstanding

LSB CORPORATION NORTH ANDOVER MA 18-Nov-09 $15,000,000.00 15,000 $1,000.00

LSB CORPORATION NORTH ANDOVER MA 16-Dec-09 $560,000.00 209,497

8,9,17 M&F BANCORP, INC. DURHAM NC 26-Jun-09 Preferred Stock $11,735,000.00 $0.00 $12,409,762.50 Redeemed, in full; warrants not outstanding

M&F BANCORP, INC. DURHAM NC 20-Aug-10 $11,735,000.00 11,735 $1,000.00

11 M&T BANK CORPORATION BUFFALO NY 23-Dec-08 Preferred Stock w/ Warrants $600,000,000.00 $0.00 $718,392,161.34 Redeemed, in full; warrants not outstanding

M&T BANK CORPORATION BUFFALO NY 18-May-11 $370,000,000.00 370,000 $1,000.00

M&T BANK CORPORATION BUFFALO NY 21-Aug-12 $230,000,000.00 230,000 $1,000.00

M&T BANK CORPORATION BUFFALO NY 17-Dec-12 $31,838,761.34 1,218,522

MACKINAC FINANCIAL CORPORATION MANISTIQUE MI 24-Apr-09 Preferred Stock w/ Warrants $11,000,000.00 $0.00 $13,521,828.15 Sold, in full; warrants not outstanding

MACKINAC FINANCIAL CORPORATION MANISTIQUE MI 29-Aug-12 $10,538,990.00 ($158,084.85) 11,000 $958.10 ($461,010.00)

MACKINAC FINANCIAL CORPORATION MANISTIQUE MI 19-Dec-12 $1,300,000.00 398,734

8 MADISON FINANCIAL CORPORATION RICHMOND KY 13-Mar-09 Preferred Stock w/ Exercised Warrants $3,370,000.00 $0.00 $3,773,495.65 Sold, in full; warrants not outstanding

MADISON FINANCIAL CORPORATION RICHMOND KY 19-Nov-13 $3,370,000.00 3,370 $1,022.60 $76,195.70 $182,878.45 169

MADISON FINANCIAL CORPORATION RICHMOND KY 6-Jan-14 ($25,000.00)

44,11,8 MAGNA BANK MEMPHIS TN 23-Dec-08 Preferred Stock w/ Exercised Warrants $13,795,000.00 $0.00 $16,146,467.87 Redeemed, in full; warrants not outstanding

MAGNA BANK MEMPHIS TN 24-Nov-09 $3,455,000.00 3,455 $1,000.00

MAGNA BANK MEMPHIS TN 8-Jun-11 $3,455,000.00 3,455 $1,000.00

MAGNA BANK MEMPHIS TN 18-Aug-11 $6,885,000.00 6,885 $1,000.00 $690,000.00 690

8,14 MAINLINE BANCORP, INC. EBENSBURG PA 29-Dec-09 Preferred Stock w/ Exercised Warrants $4,500,000.00 $0.00 $5,263,187.50 Redeemed, in full; warrants not outstanding

MAINLINE BANCORP, INC. EBENSBURG PA 9-Mar-12 $4,500,000.00 4,500 $1,000.00 $225,000.00 225

MAINSOURCE FINANCIAL GROUP, INC. GREENSBURG IN 16-Jan-09 Preferred Stock w/ Warrants $57,000,000.00 $0.00 $62,949,121.28 Sold, in full; warrants not outstanding

MAINSOURCE FINANCIAL GROUP, INC. GREENSBURG IN 3-Apr-12 $53,073,270.00 ($796,099.05) 57,000 $931.10 ($3,926,730.00)

MAINSOURCE FINANCIAL GROUP, INC. GREENSBURG IN 11-Jun-13 $1,512,177.00 571,906

11 MANHATTAN BANCORP EL SEGUNDO CA 5-Dec-08 Preferred Stock w/ Warrants $1,700,000.00 $0.00 $1,829,711.12 Redeemed, in full; warrants not outstanding

MANHATTAN BANCORP EL SEGUNDO CA 16-Sep-09 $1,700,000.00 1,700 $1,000.00

MANHATTAN BANCORP EL SEGUNDO CA 14-Oct-09 $63,363.90 29,480

15,14 MANHATTAN BANCSHARES, INC. MANHATTAN IL 19-Jun-09 Subordinated Debentures w/ Exercised Warrants $2,639,000.00 $0.00 $3,438,793.11 Sold, in full; warrants not outstanding

MANHATTAN BANCSHARES, INC. MANHATTAN IL 10-Dec-12 $11,385.02 14,000

MANHATTAN BANCSHARES, INC. MANHATTAN IL 11-Dec-12 $2,586,404.73 2,639,000 $0.98 ($52,595.27) $95,959.50 118,000

MANHATTAN BANCSHARES, INC. MANHATTAN IL 11-Jan-13 ($25,000.00)

8 MARINE BANK & TRUST COMPANY VERO BEACH FL 6-Mar-09 Preferred Stock w/ Exercised Warrants $3,000,000.00 $3,000,000.00 $235,713.00 Full investment outstanding; warrants outstanding

8 MARKET BANCORPORATION, INC. NEW MARKET MN 20-Feb-09 Preferred Stock w/ Exercised Warrants $2,060,000.00 $2,060,000.00 $138,778.00 Full investment outstanding; warrants outstanding

15,14 MARKET STREET BANCSHARES, INC. MT. VERNON IL 15-May-09 Subordinated Debentures w/ Exercised Warrants $20,300,000.00 $0.00 $24,429,245.84 Sold, in full; warrants not outstanding

MARKET STREET BANCSHARES, INC. MT. VERNON IL 9-Aug-12 $17,919,962.10 19,931,000 $0.90 ($2,011,037.90) $727,225.54 895,000

MARKET STREET BANCSHARES, INC. MT. VERNON IL 10-Aug-12 $331,767.90 369,000 $0.90 ($37,232.10) $97,505.10 120,000

MARKET STREET BANCSHARES, INC. MT. VERNON IL 11-Sep-12 ($182,517.30)

8,14 MARQUETTE NATIONAL CORPORATION CHICAGO IL 19-Dec-08 Preferred Stock w/ Exercised Warrants $35,500,000.00 $0.00 $33,835,943.42 Sold, in full; warrants not outstanding

MARQUETTE NATIONAL CORPORATION CHICAGO IL 7-Aug-12 $2,530,958.50 3,514 $720.20 ($983,041.50) $142,974.56 175

MARQUETTE NATIONAL CORPORATION CHICAGO IL 9-Aug-12 $5,904,609.50 8,198 $720.20 ($2,293,390.50) $1,054,743.77 1,291

MARQUETTE NATIONAL CORPORATION CHICAGO IL 10-Aug-12 $17,133,307.00 23,788 $720.20 ($6,654,693.00) $252,452.23 309

MARQUETTE NATIONAL CORPORATION CHICAGO IL 11-Sep-12 ($255,688.75)

43 MARSHALL & ILSLEY CORPORATION MILWAUKEE WI 14-Nov-08 Preferred Stock w/ Warrants $1,715,000,000.00 $0.00 $1,944,772,916.66 Redeemed, in full; warrants not outstanding

MARSHALL & ILSLEY CORPORATION MILWAUKEE WI 5-Jul-11 $1,715,000,000.00 1,715,000 $1,000.00 $3,250,000.00 13,815,789

8 MARYLAND FINANCIAL BANK TOWSON MD 27-Mar-09 Preferred Stock w/ Exercised Warrants $1,700,000.00 $1,700,000.00 $313,465.50 Full investment outstanding; warrants outstanding

11 MB FINANCIAL INC. CHICAGO IL 5-Dec-08 Preferred Stock w/ Warrants $196,000,000.00 $0.00 $229,613,072.00 Redeemed, in full; warrants not outstanding

MB FINANCIAL INC. CHICAGO IL 14-Mar-12 $196,000,000.00 196,000 $1,000.00
Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

MB FINANCIAL INC. CHICAGO IL 2-May-12 $1,518,072.00 506,024

8,45,14 MCLEOD BANCSHARES, INC. SHOREWOOD MN 20-Nov-09 Preferred Stock w/ Exercised Warrants $6,000,000.00 $0.00 $6,870,433.33 Redeemed, in full; warrants not outstanding

MCLEOD BANCSHARES, INC. SHOREWOOD MN 18-Aug-11 $6,000,000.00 600 $10,000.00 $300,000.00 30

8,14,18,44 MEDALLION BANK SALT LAKE CITY UT 27-Feb-09 Preferred Stock w/ Exercised Warrants $11,800,000.00 $0.00 $24,460,674.81 Redeemed, in full; warrants not outstanding

MEDALLION BANK SALT LAKE CITY UT 22-Dec-09 $9,698,000.00

MEDALLION BANK SALT LAKE CITY UT 21-Jul-11 $21,498,000.00 21,498 $1,000.00 $645,000.00 645

11 MERCANTILE BANK CORPORATION GRAND RAPIDS MI 15-May-09 Preferred Stock w/ Warrants $21,000,000.00 $0.00 $31,631,120.56 Redeemed, in full; warrants not outstanding

MERCANTILE BANK CORPORATION GRAND RAPIDS MI 4-Apr-12 $10,500,000.00 10,500 $1,000.00

MERCANTILE BANK CORPORATION GRAND RAPIDS MI 6-Jun-12 $10,500,000.00 10,500 $1,000.00

MERCANTILE BANK CORPORATION GRAND RAPIDS MI 3-Jul-12 $7,465,100.00 616,438

44,8,14 MERCANTILE CAPITAL CORPORATION BOSTON MA 6-Feb-09 Preferred Stock w/ Exercised Warrants $3,500,000.00 $0.00 $4,150,815.03 Redeemed, in full; warrants not outstanding

MERCANTILE CAPITAL CORPORATION BOSTON MA 4-Aug-11 $3,500,000.00 3,500 $1,000.00 $175,000.00 175

56,8,14 MERCHANTS & PLANTERS BANCSHARES, INC. TOONE TN 6-Mar-09 Preferred Stock w/ Exercised Warrants $1,881,000.00 $0.00 $2,231,560.00 Redeemed, in full; warrants not outstanding

MERCHANTS & PLANTERS BANCSHARES, INC. TOONE TN 7-Sep-11 $1,881,000.00 1,881 $1,000.00 $94,000.00 94

8,44,14 MERCHANTS AND MANUFACTURERS BANK CORPORATION JOLIET IL 19-Jun-09 Preferred Stock w/ Exercised Warrants $3,510,000.00 $0.00 $4,110,668.47 Redeemed, in full; warrants not outstanding

MERCHANTS AND MANUFACTURERS BANK CORPORATION JOLIET IL 8-Sep-11 $3,510,000.00 3,510 $1,000.00 $176,000.00 176

8,18 MERIDIAN BANK DEVON PA 13-Feb-09 Preferred Stock w/ Exercised Warrants $6,200,000.00 $12,535,000.00 $2,851,025.61 Full investment outstanding; warrants outstanding

MERIDIAN BANK DEVON PA 11-Dec-09 $6,335,000.00

8,14 METRO CITY BANK DORAVILLE GA 30-Jan-09 Preferred Stock w/ Exercised Warrants $7,700,000.00 $0.00 $8,806,297.80 Sold, in full; warrants not outstanding

METRO CITY BANK DORAVILLE GA 29-Oct-12 $26,102.90 29 $900.10 ($2,897.10)

METRO CITY BANK DORAVILLE GA 1-Nov-12 $6,904,667.10 7,671 $900.10 ($766,332.90) $369,948.00 385

METRO CITY BANK DORAVILLE GA 11-Jan-13 ($69,307.70)

METROCORP BANCSHARES, INC. HOUSTON TX 16-Jan-09 Preferred Stock w/ Warrants $45,000,000.00 $0.00 $53,406,628.25 Sold, in full; warrants not outstanding

METROCORP BANCSHARES, INC. HOUSTON TX 3-Jul-12 $44,152,650.00 ($662,289.75) 45,000 $981.20 ($847,350.00)

METROCORP BANCSHARES, INC. HOUSTON TX 11-Jun-13 $2,087,368.00 771,429

8,42 METROPOLITAN BANK GROUP, INC. CHICAGO IL 26-Jun-09 Preferred Stock w/ Exercised Warrants $71,526,000.00 $0.00 $27,172,726.72 Sold, in full; warrants not outstanding

METROPOLITAN BANK GROUP, INC. CHICAGO IL 28-Jun-13 $23,718,541.95 71,526 $331.60 ($47,807,458.05)

8,18 METROPOLITAN CAPITAL BANCORP, INC. CHICAGO IL 10-Apr-09 Preferred Stock w/ Warrants $2,040,000.00 $4,388,000.00 $979,089.44 Full investment outstanding; warrants outstanding

METROPOLITAN CAPITAL BANCORP, INC. CHICAGO IL 20-Nov-09 $2,348,000.00

11 MID PENN BANCORP, INC./MID PENN BANK MILLERSBURG PA 19-Dec-08 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $12,070,979.20 Redeemed, in full; warrants not outstanding

MID PENN BANCORP, INC./MID PENN BANK MILLERSBURG PA 28-Dec-12 $10,000,000.00 10,000 $1,000.00

MID PENN BANCORP, INC./MID PENN BANK MILLERSBURG PA 23-Jan-13 $58,479.20 73,099

12 MIDDLEBURG FINANCIAL CORPORATION MIDDLEBURG VA 30-Jan-09 Preferred Stock w/ Warrants $22,000,000.00 $0.00 $23,287,945.11 Redeemed, in full; warrants not outstanding

MIDDLEBURG FINANCIAL CORPORATION MIDDLEBURG VA 23-Dec-09 $22,000,000.00 22,000 $1,000.00

MIDDLEBURG FINANCIAL CORPORATION MIDDLEBURG VA 18-Nov-11 $301,001.00 104,101

11,8,14 MIDLAND STATES BANCORP, INC. EFFINGHAM IL 23-Jan-09 Preferred Stock w/ Exercised Warrants $10,189,000.00 $0.00 $11,206,989.34 Redeemed, in full; warrants not outstanding

MIDLAND STATES BANCORP, INC. EFFINGHAM IL 23-Dec-09 $10,189,000.00 10,189 $1,000.00 $509,000.00 509

44 MIDSOUTH BANCORP, INC. LAFAYETTE LA 9-Jan-09 Preferred Stock w/ Warrants $20,000,000.00 $0.00 $22,834,334.78 Redeemed, in full; warrants not outstanding

MIDSOUTH BANCORP, INC. LAFAYETTE LA 25-Aug-11 $20,000,000.00 20,000 $1,000.00

MIDSOUTH BANCORP, INC. LAFAYETTE LA 22-Nov-11 $206,557.00 104,384

8 MIDTOWN BANK & TRUST COMPANY ATLANTA GA 27-Feb-09 Preferred Stock w/ Exercised Warrants $5,222,000.00 $0.00 $3,520,137.55 Sold, in full; warrants not outstanding

MIDTOWN BANK & TRUST COMPANY ATLANTA GA 19-Nov-13 $3,133,200.00 5,222 $600.00 ($2,088,800.00) $136,833.05 261

MIDTOWN BANK & TRUST COMPANY ATLANTA GA 6-Jan-14 ($25,000.00)

22,27,97 MIDWEST BANC HOLDINGS, INC. MELROSE PARK IL 5-Dec-08 Preferred Stock w/ Warrants $84,784,000.00 $0.00 $824,288.89 Currently not collectible

MIDWEST BANC HOLDINGS, INC. MELROSE PARK IL 14-May-10 ($84,784,000.00)

11,8,14 MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE FESTUS MO 13-Feb-09 Preferred Stock w/ Exercised Warrants $700,000.00 $0.00 $763,294.14 Redeemed, in full; warrants not outstanding

MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE FESTUS MO 10-Nov-09 $700,000.00 700 $1,000.00 $35,000.00 35

11 MIDWESTONE FINANCIAL GROUP, INC. IOWA CITY IA 6-Feb-09 Preferred Stock w/ Warrants $16,000,000.00 $0.00 $18,933,333.33 Redeemed, in full; warrants not outstanding

MIDWESTONE FINANCIAL GROUP, INC. IOWA CITY IA 6-Jul-11 $16,000,000.00 16,000 $1,000.00

MIDWESTONE FINANCIAL GROUP, INC. IOWA CITY IA 27-Jul-11 $1,000,000.00 198,675

11,8,14 MID-WISCONSIN FINANCIAL SERVICES, INC. MEDFORD WI 20-Feb-09 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $12,844,226.31 Redeemed, in full; warrants not outstanding

MID-WISCONSIN FINANCIAL SERVICES, INC. MEDFORD WI 26-Apr-13 $10,000,000.00 10,000 $1,000.00 $500,000.00 500

8 MILLENNIUM BANCORP, INC. EDWARDS CO 3-Apr-09 Preferred Stock w/ Exercised Warrants $7,260,000.00 $0.00 $4,296,561.73 Sold, in full; warrants not outstanding

MILLENNIUM BANCORP, INC. EDWARDS CO 14-Aug-12 $2,904,000.00 7,260 $400.00 ($4,356,000.00)

11,9 MISSION COMMUNITY BANCORP SAN LUIS OBISPO CA 9-Jan-09 Preferred Stock $5,116,000.00 $0.00 $5,875,583.89 Redeemed, in full; warrants not outstanding

MISSION COMMUNITY BANCORP SAN LUIS OBISPO CA 28-Dec-11 $5,116,000.00 5,116 $1,000.00

11,9,36 MISSION VALLEY BANCORP SUN VALLEY CA 23-Dec-08 Preferred Stock $5,500,000.00 $0.00 $5,956,041.66 Redeemed, in full; warrants not outstanding

MISSION VALLEY BANCORP SUN VALLEY CA 20-Aug-10 $5,500,000.00 5,500 $1,000.00

11,8,14 MONADNOCK BANCORP, INC. PETERBOROUGH NH 19-Dec-08 Preferred Stock w/ Exercised Warrants $1,834,000.00 $0.00 $2,339,348.60 Redeemed, in full; warrants not outstanding

MONADNOCK BANCORP, INC. PETERBOROUGH NH 28-Dec-12 $1,834,000.00 1,834 $1,000.00 $92,000.00 92

98 MONARCH COMMUNITY BANCORP, INC. COLDWATER MI 6-Feb-09 Preferred Stock w/ Warrants $6,785,000.00 $0.00 $4,808,121.00 Sold, in full; warrants not outstanding

MONARCH COMMUNITY BANCORP, INC. COLDWATER MI 15-Nov-13 $4,545,202.00 2,272,601 $2.00 ($2,239,798.00)

12,16 MONARCH FINANCIAL HOLDINGS, INC. CHESAPEAKE VA 19-Dec-08 Preferred Stock w/ Warrants $14,700,000.00 $0.00 $15,703,166.66 Redeemed, in full; warrants not outstanding

MONARCH FINANCIAL HOLDINGS, INC. CHESAPEAKE VA 23-Dec-09 $14,700,000.00 14,700 $1,000.00

MONARCH FINANCIAL HOLDINGS, INC. CHESAPEAKE VA 10-Feb-10 $260,000.00 132,353

45,8,14 MONEYTREE CORPORATION LENOIR CITY TN 13-Mar-09 Preferred Stock w/ Exercised Warrants $9,516,000.00 $0.00 $11,291,481.00 Redeemed, in full; warrants not outstanding

MONEYTREE CORPORATION LENOIR CITY TN 15-Sep-11 $9,516,000.00 9,516 $1,000.00 $476,000.00 476

44,8,14 MONUMENT BANK BETHESDA MD 30-Jan-09 Preferred Stock w/ Exercised Warrants $4,734,000.00 $0.00 $5,623,958.50 Redeemed, in full; warrants not outstanding

MONUMENT BANK BETHESDA MD 11-Aug-11 $4,734,000.00 4,734 $1,000.00 $237,000.00 237

11 MORGAN STANLEY NEW YORK NY 28-Oct-08 Preferred Stock w/ Warrants $10,000,000,000.00 $0.00 $11,268,055,555.11 Redeemed, in full; warrants not outstanding

MORGAN STANLEY NEW YORK NY 17-Jun-09 $10,000,000,000.00 10,000,000 $1,000.00

MORGAN STANLEY NEW YORK NY 12-Aug-09 $950,000,000.00 65,245,759

11,8,14 MORRILL BANCSHARES, INC. MERRIAM KS 16-Jan-09 Preferred Stock w/ Exercised Warrants $13,000,000.00 $0.00 $15,429,122.22 Redeemed, in full; warrants not outstanding

MORRILL BANCSHARES, INC. MERRIAM KS 20-Jul-11 $13,000,000.00 13,000 $1,000.00 $650,000.00 650

11,8,14 MOSCOW BANCSHARES, INC. MOSCOW TN 23-Jan-09 Preferred Stock w/ Exercised Warrants $6,216,000.00 $0.00 $7,803,377.38 Redeemed, in full; warrants not outstanding

MOSCOW BANCSHARES, INC. MOSCOW TN 25-Apr-12 $1,100,000.00 1,100 $1,000.00

MOSCOW BANCSHARES, INC. MOSCOW TN 5-Dec-12 $5,116,000.00 5,116 $1,000.00 $311,000.00 311

8,14 MOUNTAIN VALLEY BANCSHARES, INC. CLEVELAND GA 25-Sep-09 Preferred Stock w/ Exercised Warrants $3,300,000.00 $0.00 $4,069,975.55 Sold, in full; warrants not outstanding

MOUNTAIN VALLEY BANCSHARES, INC. CLEVELAND GA 22-Jul-13 $3,267,000.00 3,300 $990.00 ($33,000.00) $140,034.65 165

MOUNTAIN VALLEY BANCSHARES, INC. CLEVELAND GA 12-Sep-13 ($25,000.00)

11,8,14 MS FINANCIAL, INC. KINGWOOD TX 27-Mar-09 Preferred Stock w/ Exercised Warrants $7,723,000.00 $0.00 $9,206,289.90 Redeemed, in full; warrants not outstanding

MS FINANCIAL, INC. KINGWOOD TX 19-Oct-11 $7,723,000.00 7,723 $1,000.00 $386,000.00 386

45 MUTUALFIRST FINANCIAL, INC. MUNCIE IN 23-Dec-08 Preferred Stock w/ Warrants $32,382,000.00 $0.00 $37,608,789.00 Redeemed, in full; warrants not outstanding

MUTUALFIRST FINANCIAL, INC. MUNCIE IN 25-Aug-11 $32,382,000.00 32,382 $1,000.00

MUTUALFIRST FINANCIAL, INC. MUNCIE IN 28-Sep-11 $900,194.00 625,135

8 NAPLES BANCORP, INC. NAPLES FL 27-Mar-09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $956,066.67 Sold, in full; warrants not outstanding

NAPLES BANCORP, INC. NAPLES FL 12-Jul-12 $600,000.00 4,000 $150.00 ($3,400,000.00)

59,11 NARA BANCORP, INC. LOS ANGELES CA 21-Nov-08 Preferred Stock w/ Warrants $67,000,000.00 $0.00 $81,249,317.20 Redeemed, in full; warrants not outstanding

NARA BANCORP, INC. LOS ANGELES CA 27-Jun-12 $67,000,000.00 67,000 $1,000.00

NARA BANCORP, INC. LOS ANGELES CA 8-Aug-12 $2,189,317.20 521,266

8,14 NATIONAL BANCSHARES, INC. BETTENDORF IA 27-Feb-09 Preferred Stock w/ Exercised Warrants $24,664,000.00 $0.00 $21,471,087.90 Sold, in full; warrants not outstanding

NATIONAL BANCSHARES, INC. BETTENDORF IA 19-Feb-13 $2,438,182.50 3,250 $750.20 ($811,817.50) $342,841.95 500

NATIONAL BANCSHARES, INC. BETTENDORF IA 20-Feb-13 $16,064,996.94 21,414 $750.20 ($5,349,003.06) $502,606.30 733

NATIONAL BANCSHARES, INC. BETTENDORF IA 26-Mar-13 ($185,031.79)

11,16 NATIONAL PENN BANCSHARES, INC. BOYERTOWN PA 12-Dec-08 Preferred Stock w/ Warrants $150,000,000.00 $0.00 $167,958,333.33 Redeemed, in full; warrants not outstanding

NATIONAL PENN BANCSHARES, INC. BOYERTOWN PA 16-Mar-11 $150,000,000.00 150,000 $1,000.00

NATIONAL PENN BANCSHARES, INC. BOYERTOWN PA 13-Apr-11 $1,000,000.00 735,294
Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

15,11,14 NATIONWIDE BANKSHARES, INC. WEST POINT NE 11-Dec-09 Subordinated Debentures w/ Exercised Warrants $2,000,000.00 $0.00 $2,276,190.00 Redeemed, in full; warrants not outstanding

NATIONWIDE BANKSHARES, INC. WEST POINT NE 29-Dec-10 $2,000,000.00 2,000,000 $1.00 $100,000.00 100,000

8,42 NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC. CHICAGO IL 26-Jun-09 Preferred Stock w/ Warrants $6,880,000.00 $0.00 $2,613,714.23 Sold, in full; warrants not outstanding

NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC. CHICAGO IL 28-Jun-13 $2,281,458.05 6,880 $331.60 ($4,598,541.95)

8 NCAL BANCORP LOS ANGELES CA 19-Dec-08 Preferred Stock w/ Exercised Warrants $10,000,000.00 $10,000,000.00 $1,311,027.78 Full investment outstanding; warrants outstanding

15,11,14 NEMO BANCSHARES, INC. MADISON MO 19-Jun-09 Subordinated Debentures w/ Exercised Warrants $2,330,000.00 $0.00 $3,199,347.39 Redeemed, in full; warrants not outstanding

NEMO BANCSHARES, INC. MADISON MO 24-Apr-13 $2,330,000.00 2,330,000 $1.00 $117,000.00 117,000

44 NEW HAMPSHIRE THRIFT BANCSHARES, INC. NEWPORT NH 16-Jan-09 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $12,041,266.67 Redeemed, in full; warrants not outstanding

NEW HAMPSHIRE THRIFT BANCSHARES, INC. NEWPORT NH 25-Aug-11 $10,000,000.00 10,000 $1,000.00

NEW HAMPSHIRE THRIFT BANCSHARES, INC. NEWPORT NH 15-Feb-12 $737,100.00 184,275

11,8,14 NEW YORK PRIVATE BANK & TRUST CORPORATION NEW YORK NY 9-Jan-09 Preferred Stock w/ Exercised Warrants $267,274,000.00 $0.00 $346,794,005.83 Redeemed, in full; warrants not outstanding

NEW YORK PRIVATE BANK & TRUST CORPORATION NEW YORK NY 24-Jul-13 $267,274,000.00 267,274 $1,000.00 $13,364,000.00 13,364

NEWBRIDGE BANCORP GREENSBORO NC 12-Dec-08 Preferred Stock w/ Warrants $52,372,000.00 $0.00 $70,087,060.35 Sold, in full; warrants not outstanding

NEWBRIDGE BANCORP GREENSBORO NC 26-Apr-13 $2,709,121.50 2,763 $980.50 ($53,878.50)

NEWBRIDGE BANCORP GREENSBORO NC 29-Apr-13 $48,641,624.50 49,609 $980.50 ($967,375.50)

NEWBRIDGE BANCORP GREENSBORO NC 15-May-13 $7,778,782.65 2,567,255

NEWBRIDGE BANCORP GREENSBORO NC 31-May-13 ($513,507.46)

44,8,14 NICOLET BANKSHARES, INC. GREEN BAY WI 23-Dec-08 Preferred Stock w/ Exercised Warrants $14,964,000.00 $0.00 $17,904,842.66 Redeemed, in full; warrants not outstanding

NICOLET BANKSHARES, INC. GREEN BAY WI 1-Sep-11 $14,964,000.00 14,964 $1,000.00 $748,000.00 748

11 NORTH CENTRAL BANCSHARES, INC. FORT DODGE IA 9-Jan-09 Preferred Stock w/ Warrants $10,200,000.00 $0.00 $12,294,583.33 Redeemed, in full; warrants not outstanding

NORTH CENTRAL BANCSHARES, INC. FORT DODGE IA 14-Dec-11 $10,200,000.00 10,200 $1,000.00

NORTH CENTRAL BANCSHARES, INC. FORT DODGE IA 11-Jan-12 $600,000.00 99,157

11 NORTHEAST BANCORP LEWISTON ME 12-Dec-08 Preferred Stock w/ Warrants $4,227,000.00 $0.00 $5,159,181.33 Redeemed, in full; warrants not outstanding

NORTHEAST BANCORP LEWISTON ME 28-Nov-12 $4,227,000.00 4,227 $1,000.00

NORTHEAST BANCORP LEWISTON ME 28-Dec-12 $95,000.00 67,958

8,11,14,18 NORTHERN STATE BANK CLOSTER NJ 15-May-09 Preferred Stock w/ Warrants $1,341,000.00 $0.00 $2,987,782.33 Redeemed, in full; warrants not outstanding

NORTHERN STATE BANK CLOSTER NJ 18-Dec-09 $1,230,000.00

NORTHERN STATE BANK CLOSTER NJ 28-Mar-12 $2,571,000.00 2,571 $1,000.00 $67,000.00 67

NORTHERN STATES FINANCIAL CORPORATION WAUKEGAN IL 20-Feb-09 Preferred Stock w/ Warrants $17,211,000.00 $17,211,000.00 $418,322.50 Full investment outstanding; warrants outstanding

11 NORTHERN TRUST CORPORATION CHICAGO IL 14-Nov-08 Preferred Stock w/ Warrants $1,576,000,000.00 $0.00 $1,709,623,333.35 Redeemed, in full; warrants not outstanding

NORTHERN TRUST CORPORATION CHICAGO IL 17-Jun-09 $1,576,000,000.00 1,576,000 $1,000.00

NORTHERN TRUST CORPORATION CHICAGO IL 26-Aug-09 $87,000,000.00 3,824,624

44,8,14 NORTHWAY FINANCIAL, INC. BERLIN NH 30-Jan-09 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $11,930,624.67 Redeemed, in full; warrants not outstanding

NORTHWAY FINANCIAL, INC. BERLIN NH 15-Sep-11 $10,000,000.00 10,000 $1,000.00 $500,000.00 500

8,14 NORTHWEST BANCORPORATION, INC. SPOKANE WA 13-Feb-09 Preferred Stock w/ Exercised Warrants $10,500,000.00 $0.00 $11,891,847.50 Sold, in full; warrants not outstanding

NORTHWEST BANCORPORATION, INC. SPOKANE WA 8-Mar-13 $2,000,000.00 2,000 $1,032.10 $64,220.00

NORTHWEST BANCORPORATION, INC. SPOKANE WA 11-Mar-13 $8,500,000.00 8,500 $1,032.10 $272,935.00 $587,634.55 525

NORTHWEST BANCORPORATION, INC. SPOKANE WA 9-Apr-13 ($108,371.55)

11,8,14 NORTHWEST COMMERCIAL BANK LAKEWOOD WA 13-Feb-09 Preferred Stock w/ Exercised Warrants $1,992,000.00 $0.00 $2,380,393.00 Redeemed, in full; warrants not outstanding

NORTHWEST COMMERCIAL BANK LAKEWOOD WA 9-Jan-13 $1,992,000.00 1,992 $1,000.00 $100,000.00 100

OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 30-Jan-09 Preferred Stock w/ Warrants $7,700,000.00 $0.00 $8,592,336.00 Sold, in full; warrants not outstanding

OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 31-Oct-12 $7,095,550.00 7,700 $921.50 ($604,450.00)

OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 11-Jan-13 ($70,955.50)

OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 6-Feb-13 $122,887.50 163,830

45 OAK VALLEY BANCORP OAKDALE CA 5-Dec-08 Preferred Stock w/ Warrants $13,500,000.00 $0.00 $15,871,250.00 Redeemed, in full; warrants not outstanding

OAK VALLEY BANCORP OAKDALE CA 11-Aug-11 $13,500,000.00 13,500 $1,000.00

OAK VALLEY BANCORP OAKDALE CA 28-Sep-11 $560,000.00 350,346

12,16 OCEANFIRST FINANCIAL CORP. TOMS RIVER NJ 16-Jan-09 Preferred Stock w/ Warrants $38,263,000.00 $0.00 $40,521,918.61 Redeemed, in full; warrants not outstanding

OCEANFIRST FINANCIAL CORP. TOMS RIVER NJ 30-Dec-09 $38,263,000.00 38,263 $1,000.00

OCEANFIRST FINANCIAL CORP. TOMS RIVER NJ 3-Feb-10 $430,797.00 190,427

8 OJAI COMMUNITY BANK OJAI CA 30-Jan-09 Preferred Stock w/ Exercised Warrants $2,080,000.00 $0.00 $2,654,758.89 Redeemed, in full; warrants not outstanding

OJAI COMMUNITY BANK OJAI CA 25-Sep-13 $2,080,000.00 2,080 $1,000.00 $104,000.00 104

11 OLD LINE BANCSHARES, INC. BOWIE MD 5-Dec-08 Preferred Stock w/ Warrants $7,000,000.00 $0.00 $7,438,888.89 Redeemed, in full; warrants not outstanding

OLD LINE BANCSHARES, INC. BOWIE MD 15-Jul-09 $7,000,000.00 7,000 $1,000.00

OLD LINE BANCSHARES, INC. BOWIE MD 2-Sep-09 $225,000.00 141,892

11 OLD NATIONAL BANCORP EVANSVILLE IN 12-Dec-08 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $102,713,888.89 Redeemed, in full; warrants not outstanding

OLD NATIONAL BANCORP EVANSVILLE IN 31-Mar-09 $100,000,000.00 100,000 $1,000.00

OLD NATIONAL BANCORP EVANSVILLE IN 8-May-09 $1,200,000.00 813,008

OLD SECOND BANCORP, INC. AURORA IL 16-Jan-09 Preferred Stock w/ Warrants $73,000,000.00 $0.00 $31,423,238.49 Sold, in full; warrants not outstanding

OLD SECOND BANCORP, INC. AURORA IL 11-Mar-13 $24,684,870.00 70,028 $352.50 ($45,343,130.00)

OLD SECOND BANCORP, INC. AURORA IL 26-Mar-13 $452,424.00 1,200 $377.00 ($747,576.00)

OLD SECOND BANCORP, INC. AURORA IL 27-Mar-13 $668,079.44 1,772 $377.00 ($1,103,920.56)

OLD SECOND BANCORP, INC. AURORA IL 9-Apr-13 ($258,053.73)

OLD SECOND BANCORP, INC. AURORA IL 11-Jun-13 $106,891.00 815,339

8,14 OMEGA CAPITAL CORP. LAKEWOOD CO 17-Apr-09 Preferred Stock w/ Exercised Warrants $2,816,000.00 $0.00 $3,403,603.15 Sold, in full; warrants not outstanding

OMEGA CAPITAL CORP. LAKEWOOD CO 19-Jul-13 $1,239,000.00 1,239 $1,142.90 $177,053.10

OMEGA CAPITAL CORP. LAKEWOOD CO 22-Jul-13 $1,577,000.00 1,577 $1,142.90 $225,353.30 $159,886.25 141

OMEGA CAPITAL CORP. LAKEWOOD CO 12-Sep-13 ($25,000.00)

8,51,97 ONE GEORGIA BANK ATLANTA GA 8-May-09 Preferred Stock w/ Exercised Warrants $5,500,000.00 $0.00 $0.00 Currently not collectible

ONE GEORGIA BANK ATLANTA GA 15-Jul-11 ($5,500,000.00)

8,9 ONE UNITED BANK BOSTON MA 19-Dec-08 Preferred Stock $12,063,000.00 $12,063,000.00 $93,823.33 Full investment outstanding; warrants not outstanding

15,17 ONEFINANCIAL CORPORATION LITTLE ROCK AR 5-Jun-09 Subordinated Debentures w/ Exercised Warrants $17,300,000.00 $17,300,000.00 $3,782,990.59 Full investment outstanding; warrants outstanding

8 OREGON BANCORP, INC. SALEM OR 24-Apr-09 Preferred Stock w/ Exercised Warrants $3,216,000.00 $0.00 $4,116,801.92 Sold, in full; warrants not outstanding

OREGON BANCORP, INC. SALEM OR 18-Oct-13 $100,000.00 100 $1,000.00 $9,459.13 11

OREGON BANCORP, INC. SALEM OR 21-Oct-13 $3,116,000.00 3,116 $1,000.00 $128,988.07 150

OREGON BANCORP, INC. SALEM OR 6-Jan-14 ($25,000.00)

15,11,14 OSB FINANCIAL SERVICES, INC. ORANGE TX 1-May-09 Subordinated Debentures w/ Exercised Warrants $6,100,000.00 $0.00 $7,662,314.53 Redeemed, in full; warrants not outstanding

OSB FINANCIAL SERVICES, INC. ORANGE TX 5-Oct-11 $6,100,000.00 6,100,000 $1.00 $305,000.00 305,000

35,11 PACIFIC CAPITAL BANCORP SANTA BARBARA CA 21-Nov-08 Preferred Stock w/ Warrants $180,634,000.00 $0.00 $168,483,804.20 Sold, in full; warrants not outstanding

PACIFIC CAPITAL BANCORP SANTA BARBARA CA 23-Feb-11 $14.75 1 $29.50 ($10.28)

PACIFIC CAPITAL BANCORP SANTA BARBARA CA 30-Nov-12 $165,983,272.00 3,608,332 $46.00 ($14,650,702.97) $393,120.78 15,120

8 PACIFIC CITY FINANCIAL CORPORATION LOS ANGELES CA 19-Dec-08 Preferred Stock w/ Exercised Warrants $16,200,000.00 $0.00 $21,003,597.96 Sold, in full; warrants not outstanding

PACIFIC CITY FINANCIAL CORPORATION LOS ANGELES CA 19-Nov-13 $16,200,000.00 16,200 $1,215.20 $3,485,754.00 $1,156,636.50 810

PACIFIC CITY FINANCIAL CORPORATION LOS ANGELES CA 6-Jan-14 ($196,857.54)

45,8,14 PACIFIC COAST BANKERS' BANCSHARES SAN FRANCISCO CA 23-Dec-08 Preferred Stock w/ Exercised Warrants $11,600,000.00 $0.00 $13,821,963.89 Redeemed, in full; warrants not outstanding

PACIFIC COAST BANKERS' BANCSHARES SAN FRANCISCO CA 28-Jul-11 $11,600,000.00 11,600 $1,000.00 $580,000.00 580

8,26 PACIFIC COAST NATIONAL BANCORP SAN CLEMENTE CA 16-Jan-09 Preferred Stock w/ Exercised Warrants $4,120,000.00 $0.00 $18,087.94 Exited bankruptcy/receivership

PACIFIC COAST NATIONAL BANCORP SAN CLEMENTE CA 11-Feb-10 ($4,120,000.00)

8 PACIFIC COMMERCE BANK LOS ANGELES CA 23-Dec-08 Preferred Stock w/ Exercised Warrants $4,060,000.00 $4,060,000.00 $387,222.50 Full investment outstanding; warrants outstanding

85 PACIFIC INTERNATIONAL BANCORP SEATTLE WA 12-Dec-08 Preferred Stock w/ Warrants $6,500,000.00 $0.00 $7,937,744.97 Redeemed, in full; warrants outstanding

PACIFIC INTERNATIONAL BANCORP SEATTLE WA 15-Feb-13 $6,500,000.00 6,500 $1,000.00

8,14 PARK BANCORPORATION, INC. MADISON WI 6-Mar-09 Preferred Stock w/ Exercised Warrants $23,200,000.00 $0.00 $22,020,064.10 Sold, in full; warrants not outstanding

PARK BANCORPORATION, INC. MADISON WI 7-Aug-12 $1,676,654.00 2,296 $730.20 ($619,346.00) $88,059.01 114

PARK BANCORPORATION, INC. MADISON WI 9-Aug-12 $4,048,506.00 5,544 $730.20 ($1,495,494.00) $482,779.69 625

PARK BANCORPORATION, INC. MADISON WI 10-Aug-12 $11,216,640.00 15,360 $730.20 ($4,143,360.00) $325,200.40 421

PARK BANCORPORATION, INC. MADISON WI 11-Sep-12 ($169,418.00)
Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

11 PARK NATIONAL CORPORATION NEWARK OH 23-Dec-08 Preferred Stock w/ Warrants $100,000,000.00 $0.00 $119,536,844.44 Redeemed, in full; warrants not outstanding

PARK NATIONAL CORPORATION NEWARK OH 25-Apr-12 $100,000,000.00 100,000 $1,000.00

PARK NATIONAL CORPORATION NEWARK OH 2-May-12 $2,842,400.00 227,376

PARKE BANCORP, INC. SEWELL NJ 30-Jan-09 Preferred Stock w/ Warrants $16,288,000.00 $0.00 $16,365,554.76 Sold, in full; warrants not outstanding

PARKE BANCORP, INC. SEWELL NJ 28-Nov-12 $394,072.28 548 $719.10 ($153,927.72)

PARKE BANCORP, INC. SEWELL NJ 29-Nov-12 $11,318,791.40 15,740 $719.10 ($4,421,208.60)

PARKE BANCORP, INC. SEWELL NJ 11-Jan-13 ($117,128.64)

PARKE BANCORP, INC. SEWELL NJ 12-Jun-13 $1,650,288.00 438,906

60 PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION MONROEVILLE PA 23-Dec-08 Preferred Stock w/ Warrants $31,762,000.00 $0.00 $36,570,413.89 Redeemed, in full; warrants outstanding

PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION MONROEVILLE PA 3-Jan-12 $31,762,000.00 31,762 $1,000.00

8,21,11 PASCACK BANCORP, INC. WESTWOOD NJ 6-Feb-09 Preferred Stock w/ Exercised Warrants $3,756,000.00 $0.00 $4,497,312.67 Redeemed, in full; warrants not outstanding

PASCACK BANCORP, INC. WESTWOOD NJ 19-Oct-11 $3,756,000.00 3,756 $1,000.00 $188,000.00 188

8 PATAPSCO BANCORP, INC. DUNDALK MD 19-Dec-08 Preferred Stock w/ Exercised Warrants $6,000,000.00 $6,000,000.00 $377,866.67 Full investment outstanding; warrants outstanding

44 PATHFINDER BANCORP, INC. OSWEGO NY 11-Sep-09 Preferred Stock w/ Warrants $6,771,000.00 $0.00 $7,976,328.84 Redeemed, in full; warrants not outstanding

PATHFINDER BANCORP, INC. OSWEGO NY 1-Sep-11 $6,771,000.00 6,771 $1,000.00

PATHFINDER BANCORP, INC. OSWEGO NY 1-Feb-12 $537,633.00 154,354

8,14 PATHWAY BANCORP CAIRO NE 27-Mar-09 Preferred Stock w/ Exercised Warrants $3,727,000.00 $0.00 $4,628,862.77 Sold, in full; warrants not outstanding

PATHWAY BANCORP CAIRO NE 24-Jun-13 $3,727,000.00 3,727 $1,167.00 $622,446.27 $226,565.00 186

PATHWAY BANCORP CAIRO NE 26-Jul-13 ($25,000.00)

8 PATRIOT BANCSHARES, INC. HOUSTON TX 19-Dec-08 Preferred Stock w/ Exercised Warrants $26,038,000.00 $26,038,000.00 $2,704,135.78 Full investment outstanding; warrants outstanding

8,11,14 PATTERSON BANCSHARES, INC. PATTERSON LA 17-Apr-09 Preferred Stock w/ Exercised Warrants $3,690,000.00 $0.00 $4,692,022.77 Redeemed, in full; warrants not outstanding

PATTERSON BANCSHARES, INC. PATTERSON LA 7-Mar-12 $250,000.00 250 $1,000.00

PATTERSON BANCSHARES, INC. PATTERSON LA 22-Aug-12 $250,000.00 250 $1,000.00

PATTERSON BANCSHARES, INC. PATTERSON LA 5-Dec-12 $250,000.00 250 $1,000.00

PATTERSON BANCSHARES, INC. PATTERSON LA 8-May-13 $500,000.00 500 $1,000.00

PATTERSON BANCSHARES, INC. PATTERSON LA 5-Jun-13 $2,440,000.00 2,440 $1,000.00 $185,000.00 185

11 PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 9-Jan-09 Preferred Stock w/ Warrants $28,685,000.00 $0.00 $32,075,739.67 Redeemed, in full; warrants not outstanding

PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 6-Jan-10 $7,172,000.00 7,172 $1,000.00

PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 2-Mar-11 $7,172,000.00 7,172 $1,000.00

PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 11-Jan-12 $14,341,000.00 14,341 $1,000.00

PEAPACK-GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 4-Apr-12 $110,000.00 150,296

44,8,14 PENN LIBERTY FINANCIAL CORP. WAYNE PA 17-Apr-09 Preferred Stock w/ Exercised Warrants $9,960,000.00 $0.00 $11,745,689.33 Redeemed, in full; warrants not outstanding

PENN LIBERTY FINANCIAL CORP. WAYNE PA 1-Sep-11 $9,960,000.00 9,960 $1,000.00 $498,000.00 498

11 PEOPLES BANCORP (OH) MARIETTA OH 30-Jan-09 Preferred Stock w/ Warrants $39,000,000.00 $0.00 $44,926,557.48 Redeemed, in full; warrants not outstanding

PEOPLES BANCORP (OH) MARIETTA OH 2-Feb-11 $21,000,000.00 21,000 $1,000.00

PEOPLES BANCORP (OH) MARIETTA OH 28-Dec-11 $18,000,000.00 18,000 $1,000.00

PEOPLES BANCORP (OH) MARIETTA OH 15-Feb-12 $1,200,724.15 313,505

56,8,14 PEOPLES BANCORP (WA) LYNDEN WA 13-Feb-09 Preferred Stock w/ Exercised Warrants $18,000,000.00 $0.00 $21,325,250.00 Redeemed, in full; warrants not outstanding

PEOPLES BANCORP (WA) LYNDEN WA 3-Aug-11 $18,000,000.00 18,000 $1,000.00 $900,000.00 900

PEOPLES BANCORP OF NORTH CAROLINA, INC. NEWTON NC 23-Dec-08 Preferred Stock w/ Warrants $25,054,000.00 $0.00 $27,877,966.16 Sold, in full; warrants not outstanding

PEOPLES BANCORP OF NORTH CAROLINA, INC. NEWTON NC 3-Jul-12 $23,384,401.44 ($350,766.02) 25,054 $933.40 ($1,669,598.56)

PEOPLES BANCORP OF NORTH CAROLINA, INC. NEWTON NC 8-Aug-12 $425,000.00 357,234

8,14 PEOPLES BANCORPORATION, INC. EASLEY SC 24-Apr-09 Preferred Stock w/ Exercised Warrants $12,660,000.00 $0.00 $15,362,909.75 Redeemed, in full; warrants not outstanding

PEOPLES BANCORPORATION, INC. EASLEY SC 24-Apr-12 $12,660,000.00 12,660 $1,000.00 $633,000.00 633

8,14 PEOPLES BANCSHARES OF TN, INC. MADISONVILLE TN 20-Mar-09 Preferred Stock w/ Exercised Warrants $3,900,000.00 $0.00 $3,809,874.42 Sold, in full; warrants not outstanding

PEOPLES BANCSHARES OF TN, INC. MADISONVILLE TN 31-Oct-12 $2,944,500.00 3,900 $755.00 ($955,500.00) $122,225.00 195

PEOPLES BANCSHARES OF TN, INC. MADISONVILLE TN 11-Jan-13 ($25,000.00)

8 PEOPLESSOUTH BANCSHARES, INC. COLQUITT GA 6-Mar-09 Preferred Stock w/ Exercised Warrants $12,325,000.00 $0.00 $15,985,994.66 Redeemed, in full; warrants not outstanding

PEOPLESSOUTH BANCSHARES, INC. COLQUITT GA 18-Sep-13 $12,325,000.00 12,325 $1,000.00 $616,000.00 616

8,17,45 PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK PIGEON FALLS WI 11-Sep-09 Preferred Stock w/ Exercised Warrants $1,500,000.00 $0.00 $1,730,162.66 Redeemed, in full; warrants not outstanding

PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK PIGEON FALLS WI 25-Aug-11 $1,500,000.00 1,500 $1,000.00 $71,000.00 71

11,9,36 PGB HOLDINGS, INC. CHICAGO IL 6-Feb-09 Preferred Stock $3,000,000.00 $0.00 $3,227,916.67 Redeemed, in full; warrants not outstanding

PGB HOLDINGS, INC. CHICAGO IL 13-Aug-10 $3,000,000.00 3,000 $1,000.00

8,46,97 PIERCE COUNTY BANCORP TACOMA WA 23-Jan-09 Preferred Stock w/ Exercised Warrants $6,800,000.00 $0.00 $207,947.78 Currently not collectible

PIERCE COUNTY BANCORP TACOMA WA 5-Nov-10 ($6,800,000.00)

8,69 PINNACLE BANK HOLDING COMPANY, INC. ORANGE CITY FL 6-Mar-09 Preferred Stock w/ Exercised Warrants $4,389,000.00 $4,389,000.00 $284,999.00 Full investment outstanding; warrants outstanding

11 PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 12-Dec-08 Preferred Stock w/ Warrants $95,000,000.00 $0.00 $111,918,194.45 Redeemed, in full; warrants not outstanding

PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 28-Dec-11 $23,750,000.00 23,750 $1,000.00

PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 20-Jun-12 $71,250,000.00 71,250 $1,000.00

PINNACLE FINANCIAL PARTNERS, INC. NASHVILLE TN 18-Jul-12 $755,000.00 267,455

44,8,14 PLAINS CAPITAL CORPORATION DALLAS TX 19-Dec-08 Preferred Stock w/ Exercised Warrants $87,631,000.00 $0.00 $105,252,939.77 Redeemed, in full; warrants not outstanding

PLAINS CAPITAL CORPORATION DALLAS TX 27-Sep-11 $87,631,000.00 87,631 $1,000.00 $4,382,000.00 4,382

15,17 PLATO HOLDINGS INC. SAINT PAUL MN 17-Jul-09 Subordinated Debentures w/ Exercised Warrants $2,500,000.00 $0.00 $3,103,618.40 Sold, in full; warrants not outstanding

PLATO HOLDINGS INC. SAINT PAUL MN 26-Apr-13 $120,000.00 120,000 $1.00 $180.00

PLATO HOLDINGS INC. SAINT PAUL MN 29-Apr-13 $2,380,000.00 2,380,000 $1.00 $3,570.00 $90,582.47 107,000

PLATO HOLDINGS INC. SAINT PAUL MN 31-May-13 ($25,000.00)

PLUMAS BANCORP QUINCY CA 30-Jan-09 Preferred Stock w/ Warrants $11,949,000.00 $0.00 $13,764,140.41 Sold, in full; warrants not outstanding

PLUMAS BANCORP QUINCY CA 29-Apr-13 $11,949,000.00 11,949 $1,091.10 $1,088,673.39

PLUMAS BANCORP QUINCY CA 22-May-13 $234,500.00 237,712

PLUMAS BANCORP QUINCY CA 31-May-13 ($130,376.73)

20 POPULAR, INC. SAN JUAN PR 5-Dec-08 Preferred Stock w/ Warrants $935,000,000.00 $935,000,000.00 $231,296,527.78 Full investment outstanding; warrants outstanding

PORTER BANCORP, INC.(PBI) LOUISVILLE, KY LOUISVILLE KY 21-Nov-08 Preferred Stock w/ Warrants $35,000,000.00 $35,000,000.00 $4,783,333.33 Full investment outstanding; warrants outstanding

8 PRAIRIE STAR BANCSHARES, INC. OLATHE KS 3-Apr-09 Preferred Stock w/ Exercised Warrants $2,800,000.00 $2,800,000.00 $132,253.00 Full investment outstanding; warrants outstanding

9,15,36 PREMIER BANCORP, INC. WILMETTE IL 8-May-09 Subordinated Debentures $6,784,000.00 $0.00 $7,444,215.12 Redeemed, in full; warrants not outstanding

PREMIER BANCORP, INC. WILMETTE IL 13-Aug-10 $6,784,000.00 6,784,000 $1.00

8,22,97 PREMIER BANK HOLDING COMPANY TALLAHASSEE FL 20-Mar-09 Preferred Stock w/ Exercised Warrants $9,500,000.00 $0.00 $467,412.50 Currently not collectible

PREMIER BANK HOLDING COMPANY TALLAHASSEE FL 14-Aug-12 ($9,500,000.00)

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 2-Oct-09 Preferred Stock w/ Warrants $22,252,000.00 $0.00 $23,052,240.29 Sold, in full; warrants outstanding

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 8-Aug-12 $1,678,618.89 1,863 $901.00 ($184,381.11)

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 9-Aug-12 $8,575,102.51 9,517 $901.00 ($941,897.49)

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 10-Aug-12 $9,795,998.16 10,872 $901.00 ($1,076,001.84)

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 11-Sep-12 ($200,497.20)

15,14 PREMIER FINANCIAL CORP. DUBUQUE IA 22-May-09 Subordinated Debentures w/ Exercised Warrants $6,349,000.00 $0.00 $8,778,669.11 Sold, in full; warrants not outstanding

PREMIER FINANCIAL CORP. DUBUQUE IA 22-Jul-13 $6,349,000.00 6,349,000 $1.24 $1,507,379.58 $478,590.75 317,000

PREMIER FINANCIAL CORP. DUBUQUE IA 12-Sep-13 ($78,563.80)

8 PREMIER SERVICE BANK RIVERSIDE CA 20-Feb-09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $4,000,000.00 $54,500.00 Full investment outstanding; warrants outstanding

80 PREMIERWEST BANCORP MEDFORD OR 13-Feb-09 Preferred Stock w/ Warrants $41,400,000.00 $0.00 $42,446,500.00 Redeemed, in full; warrants not outstanding

PREMIERWEST BANCORP MEDFORD OR 9-Apr-13 $41,400,000.00 41,400 $1,000.00

8,17 PRESIDIO BANK SAN FRANCISCO CA 20-Nov-09 Preferred Stock w/ Exercised Warrants $10,800,000.00 $0.00 $11,077,694.89 Sold, in full; warrants not outstanding

PRESIDIO BANK SAN FRANCISCO CA 10-Dec-12 $262,635.10 310 $847.20 ($47,364.90) $83,086.12 97

PRESIDIO BANK SAN FRANCISCO CA 11-Dec-12 $8,887,232.90 10,490 $847.20 ($1,602,767.10) $195,295.20 228

PRESIDIO BANK SAN FRANCISCO CA 11-Jan-13 ($91,498.68)

75,97 PRINCETON NATIONAL BANCORP, INC. PRINCETON IL 23-Jan-09 Preferred Stock w/ Warrants $25,083,000.00 $0.00 $2,271,405.00 Currently not collectible

PRINCETON NATIONAL BANCORP, INC. PRINCETON IL 2-Nov-12 ($25,083,000.00)

8,18 PRIVATE BANCORPORATION, INC. MINNEAPOLIS MN 27-Feb-09 Preferred Stock w/ Exercised Warrants $4,960,000.00 $8,222,000.00 $498,859.56 Full investment outstanding; warrants outstanding

PRIVATE BANCORPORATION, INC. MINNEAPOLIS MN 29-Dec-09 $3,262,000.00

12 PRIVATEBANCORP, INC. CHICAGO IL 30-Jan-09 Preferred Stock w/ Warrants $243,815,000.00 $0.00 $290,552,132.92 Redeemed, in full; warrants not outstanding
Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

PRIVATEBANCORP, INC. CHICAGO IL 24-Oct-12 $243,815,000.00 243,815 $1,000.00

PRIVATEBANCORP, INC. CHICAGO IL 14-Nov-12 $1,225,000.00 645,013

8,17,44 PROVIDENCE BANK ROCKY MOUNT NC 2-Oct-09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,596,311.80 Redeemed, in full; warrants not outstanding

PROVIDENCE BANK ROCKY MOUNT NC 15-Sep-11 $4,000,000.00 4,000 $1,000.00 $175,000.00 175

88 PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 14-Nov-08 Preferred Stock w/ Warrants $151,500,000.00 $0.00 $199,100,113.41 Sold, in full; warrants not outstanding

PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 21-Aug-12 $151,500,000.00 151,500 $1,000.00

PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 20-Mar-13 $71.62

PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALTIMORE MD 25-Mar-13 $19,047,005.12

PROVIDENT COMMUNITY BANCSHARES, INC. ROCK HILL SC 13-Mar-09 Preferred Stock w/ Warrants $9,266,000.00 $9,266,000.00 $543,091.00 Full investment outstanding; warrants outstanding

11,8,14 PSB FINANCIAL CORPORATION MANY LA 27-Feb-09 Preferred Stock w/ Exercised Warrants $9,270,000.00 $0.00 $10,536,802.00 Redeemed, in full; warrants not outstanding

PSB FINANCIAL CORPORATION MANY LA 29-Sep-10 $9,270,000.00 9,270 $1,000.00 $464,000.00 464

44,8,14 PUGET SOUND BANK BELLEVUE WA 16-Jan-09 Preferred Stock w/ Exercised Warrants $4,500,000.00 $0.00 $5,355,156.75 Redeemed, in full; warrants not outstanding

PUGET SOUND BANK BELLEVUE WA 11-Aug-11 $4,500,000.00 4,500 $1,000.00 $225,000.00 225

PULASKI FINANCIAL CORP. CREVE COEUR MO 16-Jan-09 Preferred Stock w/ Warrants $32,538,000.00 $0.00 $35,195,847.13 Sold, in full; warrants not outstanding

PULASKI FINANCIAL CORP. CREVE COEUR MO 3-Jul-12 $28,893,744.00 ($433,406.16) 32,538 $888.00 ($3,644,256.00)

PULASKI FINANCIAL CORP. CREVE COEUR MO 8-Aug-12 $1,100,000.00 778,421

44 QCR HOLDINGS, INC. MOLINE IL 13-Feb-09 Preferred Stock w/ Warrants $38,237,000.00 $0.00 $44,286,567.33 Redeemed, in full; warrants not outstanding

QCR HOLDINGS, INC. MOLINE IL 15-Sep-11 $38,237,000.00 38,237 $1,000.00

QCR HOLDINGS, INC. MOLINE IL 16-Nov-11 $1,100,000.00 521,888

8 RANDOLPH BANK & TRUST COMPANY ASHEBORO NC 30-Oct-09 Preferred Stock w/ Exercised Warrants $6,229,000.00 $0.00 $7,190,593.33 Redeemed, in full; warrants not outstanding

RANDOLPH BANK & TRUST COMPANY ASHEBORO NC 30-Sep-13 $6,229,000.00 6,229 $1,000.00 $311,000.00 311

8,17 RCB FINANCIAL CORPORATION ROME GA 19-Jun-09 Preferred Stock w/ Exercised Warrants $8,900,000.00 $0.00 $9,139,863.61 Sold, in full; warrants not outstanding

RCB FINANCIAL CORPORATION ROME GA 25-Sep-13 $8,073,279.00 8,900 $907.10 ($826,721.00) $253,383.25 268

RCB FINANCIAL CORPORATION ROME GA 29-Oct-13 ($80,732.79)

44,8,14 REDWOOD CAPITAL BANCORP EUREKA CA 16-Jan-09 Preferred Stock w/ Exercised Warrants $3,800,000.00 $0.00 $4,510,626.39 Redeemed, in full; warrants not outstanding

REDWOOD CAPITAL BANCORP EUREKA CA 21-Jul-11 $3,800,000.00 3,800 $1,000.00 $190,000.00 190

44,8,14 REDWOOD FINANCIAL, INC. REDWOOD FALLS MN 9-Jan-09 Preferred Stock w/ Exercised Warrants $2,995,000.00 $0.00 $3,570,810.92 Redeemed, in full; warrants not outstanding

REDWOOD FINANCIAL, INC. REDWOOD FALLS MN 18-Aug-11 $2,995,000.00 2,995 $1,000.00 $150,000.00 150

8 REGENT BANCORP, INC. DAVIE FL 6-Mar-09 Preferred Stock w/ Exercised Warrants $9,982,000.00 $9,982,000.00 $784,281.50 Full investment outstanding; warrants outstanding

44,8,14 REGENT CAPITAL CORPORATION, INC. / REGENT BANK NOWATA OK 27-Feb-09 Preferred Stock w/ Exercised Warrants $2,655,000.00 $0.00 $3,135,328.00 Redeemed, in full; warrants not outstanding

REGENT CAPITAL CORPORATION, INC. / REGENT BANK NOWATA OK 21-Jul-11 $2,655,000.00 2,655 $1,000.00 $133,000.00 133

8,17,62 REGENTS BANCSHARES, INC. VANCOUVER WA 23-Oct-09 Preferred Stock w/ Exercised Warrants $12,700,000.00 $0.00 $14,594,338.99 Redeemed, in full; warrants not outstanding

REGENTS BANCSHARES, INC. VANCOUVER WA 26-Jan-12 $12,700,000.00 12,700 $1,000.00 $381,000.00 381

8,14 REGIONAL BANKSHARES, INC. HARTSVILLE SC 13-Feb-09 Preferred Stock w/ Exercised Warrants $1,500,000.00 $0.00 $1,718,159.50 Sold, in full; warrants not outstanding

REGIONAL BANKSHARES, INC. HARTSVILLE SC 8-Nov-12 $246,975.00 267 $925.00 ($20,025.00)

REGIONAL BANKSHARES, INC. HARTSVILLE SC 9-Nov-12 $1,140,525.00 1,233 $925.00 ($92,475.00) $50,000.00 75

REGIONAL BANKSHARES, INC. HARTSVILLE SC 11-Jan-13 ($13,875.00)

REGIONAL BANKSHARES, INC. HARTSVILLE SC 26-Mar-13 ($11,125.00)

11 REGIONS FINANCIAL CORPORATION BIRMINGHAM AL 14-Nov-08 Preferred Stock w/ Warrants $3,500,000,000.00 $0.00 $4,138,055,555.55 Redeemed, in full; warrants not outstanding

REGIONS FINANCIAL CORPORATION BIRMINGHAM AL 4-Apr-12 $3,500,000,000.00 3,500,000 $1,000.00

REGIONS FINANCIAL CORPORATION BIRMINGHAM AL 2-May-12 $45,000,000.00 48,253,677

8 RELIANCE BANCSHARES, INC. FRONTENAC MO 13-Feb-09 Preferred Stock w/ Exercised Warrants $40,000,000.00 $0.00 $45,820,950.80 Sold, in full; warrants not outstanding

RELIANCE BANCSHARES, INC. FRONTENAC MO 25-Sep-13 $40,000,000.00 40,000 $1,004.90 $196,000.00 $2,199,799.80 2,000

RELIANCE BANCSHARES, INC. FRONTENAC MO 29-Oct-13 ($401,960.00)

8,14 RIDGESTONE FINANCIAL SERVICES, INC. BROOKFIELD WI 27-Feb-09 Preferred Stock w/ Exercised Warrants $10,900,000.00 $0.00 $9,630,106.93 Sold, in full; warrants not outstanding

RIDGESTONE FINANCIAL SERVICES, INC. BROOKFIELD WI 20-Feb-13 $8,966,340.00 10,900 $822.60 ($1,933,660.00) $476,206.83 545

RIDGESTONE FINANCIAL SERVICES, INC. BROOKFIELD WI 26-Mar-13 ($89,663.40)

8 RISING SUN BANCORP RISING SUN MD 9-Jan-09 Preferred Stock w/ Exercised Warrants $5,983,000.00 $5,983,000.00 $195,637.00 Full investment outstanding; warrants outstanding

15,11,14 RIVER VALLEY BANCORPORATION, INC. WAUSAU WI 12-Jun-09 Subordinated Debentures w/ Exercised Warrants $15,000,000.00 $0.00 $19,928,275.00 Redeemed, in full; warrants not outstanding

RIVER VALLEY BANCORPORATION, INC. WAUSAU WI 6-Jun-12 $10,500,000.00 10,500,000 $1.00

RIVER VALLEY BANCORPORATION, INC. WAUSAU WI 15-May-13 $4,500,000.00 4,500,000 $1.00 $750,000.00 750,000

15 RIVERSIDE BANCSHARES, INC. LITTLE ROCK AR 15-May-09 Subordinated Debentures w/ Exercised Warrants $1,100,000.00 $1,100,000.00 $369,160.00 Full investment outstanding; warrants outstanding

8,95,97 ROGERS BANCSHARES, INC. LITTLE ROCK AR 30-Jan-09 Preferred Stock w/ Exercised Warrants $25,000,000.00 $0.00 $738,021.00 Currently not collectible

ROGERS BANCSHARES, INC. LITTLE ROCK AR 5-Jul-13 ($25,000,000.00)

ROYAL BANCSHARES OF PENNSYLVANIA, INC. NARBERTH PA 20-Feb-09 Preferred Stock w/ Warrants $30,407,000.00 $30,407,000.00 $358,971.00 Full investment outstanding; warrants outstanding

11 S&T BANCORP, INC. INDIANA PA 16-Jan-09 Preferred Stock w/ Warrants $108,676,000.00 $0.00 $124,916,099.34 Redeemed, in full; warrants not outstanding

S&T BANCORP, INC. INDIANA PA 7-Dec-11 $108,676,000.00 108,676 $1,000.00

S&T BANCORP, INC. INDIANA PA 11-Jun-13 $527,361.00 517,012

8 SAIGON NATIONAL BANK WESTMINSTER CA 23-Dec-08 Preferred Stock w/ Exercised Warrants $1,549,000.00 $1,549,000.00 $0.00 Full investment outstanding; warrants outstanding

44 SALISBURY BANCORP, INC. LAKEVILLE CT 13-Mar-09 Preferred Stock w/ Warrants $8,816,000.00 $0.00 $10,100,960.44 Redeemed, in full; warrants not outstanding

SALISBURY BANCORP, INC. LAKEVILLE CT 25-Aug-11 $8,816,000.00 8,816 $1,000.00

SALISBURY BANCORP, INC. LAKEVILLE CT 2-Nov-11 $205,000.00 57,671

11,44 SANDY SPRING BANCORP, INC. OLNEY MD 5-Dec-08 Preferred Stock w/ Warrants $83,094,000.00 $0.00 $95,137,868.33 Redeemed, in full; warrants not outstanding

SANDY SPRING BANCORP, INC. OLNEY MD 21-Jul-10 $41,547,000.00 41,547 $1,000.00

SANDY SPRING BANCORP, INC. OLNEY MD 15-Dec-10 $41,547,000.00 41,547 $1,000.00

SANDY SPRING BANCORP, INC. OLNEY MD 23-Feb-11 $4,450,000.00 651,547

8,14 SANTA CLARA VALLEY BANK, N.A SANTA PAULA CA 13-Feb-09 Preferred Stock w/ Exercised Warrants $2,900,000.00 $0.00 $2,697,208.51 Sold, in full; warrants not outstanding

SANTA CLARA VALLEY BANK, N.A SANTA PAULA CA 8-Mar-13 $2,465,029.00 2,900 $850.00 ($434,971.00) $98,251.45 145

SANTA CLARA VALLEY BANK, N.A SANTA PAULA CA 9-Apr-13 ($25,000.00)

SANTA LUCIA BANCORP ATASCADERO CA 19-Dec-08 Preferred Stock w/ Warrants $4,000,000.00 $0.00 $3,131,111.11 Sold, in full; warrants not outstanding

SANTA LUCIA BANCORP ATASCADERO CA 21-Oct-11 $2,800,000.00 4,000 $700.00 ($1,200,000.00)

44,8,14 SBT BANCORP, INC. SIMSBURY CT 27-Mar-09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,717,144.78 Redeemed, in full; warrants not outstanding

SBT BANCORP, INC. SIMSBURY CT 11-Aug-11 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

11 SCBT FINANCIAL CORPORATION COLUMBIA SC 16-Jan-09 Preferred Stock w/ Warrants $64,779,000.00 $0.00 $67,294,638.84 Redeemed, in full; warrants not outstanding

SCBT FINANCIAL CORPORATION COLUMBIA SC 20-May-09 $64,779,000.00 64,779 $1,000.00

SCBT FINANCIAL CORPORATION COLUMBIA SC 24-Jun-09 $1,400,000.00 303,083

SEACOAST BANKING CORPORATION OF FLORIDA STUART FL 19-Dec-08 Preferred Stock w/ Warrants $50,000,000.00 $0.00 $49,045,470.38 Sold, in full; warrants not outstanding

SEACOAST BANKING CORPORATION OF FLORIDA STUART FL 3-Apr-12 $41,020,000.00 ($615,300.00) 2,000 $20,510.00 ($8,980,000.00)

SEACOAST BANKING CORPORATION OF FLORIDA STUART FL 30-May-12 $55,000.00 589,623

44,8,14 SEACOAST COMMERCE BANK CHULA VISTA CA 23-Dec-08 Preferred Stock w/ Exercised Warrants $1,800,000.00 $0.00 $2,153,780.00 Redeemed, in full; warrants not outstanding

SEACOAST COMMERCE BANK CHULA VISTA CA 1-Sep-11 $1,800,000.00 1,800 $1,000.00 $90,000.00 90

8,14 SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 13-Feb-09 Preferred Stock w/ Exercised Warrants $2,152,000.00 $0.00 $1,983,756.24 Sold, in full; warrants not outstanding

SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 10-Dec-12 $174,537.72 252 $692.60 ($77,462.28)

SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 11-Dec-12 $1,315,959.00 1,900 $692.60 ($584,041.00) $69,186.80 108

SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 11-Jan-13 ($14,904.97)

SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 26-Mar-13 ($10,095.03)

44,8,14 SECURITY BUSINESS BANCORP SAN DIEGO CA 9-Jan-09 Preferred Stock w/ Exercised Warrants $5,803,000.00 $0.00 $6,888,017.86 Redeemed, in full; warrants not outstanding

SECURITY BUSINESS BANCORP SAN DIEGO CA 14-Jul-11 $5,803,000.00 5,803 $1,000.00 $290,000.00 290

44,8,14 SECURITY CALIFORNIA BANCORP RIVERSIDE CA 9-Jan-09 Preferred Stock w/ Exercised Warrants $6,815,000.00 $0.00 $8,152,698.33 Redeemed, in full; warrants not outstanding

SECURITY CALIFORNIA BANCORP RIVERSIDE CA 15-Sep-11 $6,815,000.00 6,815 $1,000.00 $341,000.00 341

11,8,14,36 SECURITY CAPITAL CORPORATION BATESVILLE MS 26-Jun-09 Preferred Stock w/ Exercised Warrants $17,388,000.00 $0.00 $19,063,111.00 Redeemed, in full; warrants not outstanding

SECURITY CAPITAL CORPORATION BATESVILLE MS 29-Sep-10 $17,388,000.00 17,388 $1,000.00 $522,000.00 522

11,36 SECURITY FEDERAL CORPORATION AIKEN SC 19-Dec-08 Preferred Stock w/ Warrants $18,000,000.00 $0.00 $19,650,000.00 Redeemed, in full; warrants not outstanding

SECURITY FEDERAL CORPORATION AIKEN SC 29-Sep-10 $18,000,000.00 18,000 $1,000.00

SECURITY FEDERAL CORPORATION AIKEN SC 31-Jul-13 $50,000.00 137,966

44,8,14 SECURITY STATE BANCSHARES, INC. CHARLESTON MO 20-Feb-09 Preferred Stock w/ Exercised Warrants $12,500,000.00 $0.00 $14,888,679.86 Redeemed, in full; warrants not outstanding

SECURITY STATE BANCSHARES, INC. CHARLESTON MO 22-Sep-11 $12,500,000.00 12,500 $1,000.00 $625,000.00 625
Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

15,14 SECURITY STATE BANK HOLDING COMPANY JAMESTOWN ND 1-May-09 Subordinated Debentures w/ Exercised Warrants $10,750,000.00 $0.00 $14,543,635.13 Sold, in full; warrants not outstanding

SECURITY STATE BANK HOLDING COMPANY JAMESTOWN ND 24-Jun-13 $10,750,000.00 10,750,000 $1.17 $1,784,607.50 $720,368.55 538,000

SECURITY STATE BANK HOLDING COMPANY JAMESTOWN ND 26-Jul-13 ($125,346.08)

SEVERN BANCORP, INC. ANNAPOLIS MD 21-Nov-08 Preferred Stock w/ Warrants $23,393,000.00 $0.00 $26,915,463.85 Sold, in full; warrants outstanding

SEVERN BANCORP, INC. ANNAPOLIS MD 25-Sep-13 $23,367,267.70 23,393 $998.90 ($25,732.30)

SEVERN BANCORP, INC. ANNAPOLIS MD 29-Oct-13 ($233,672.68)

11 SHORE BANCSHARES, INC. EASTON MD 9-Jan-09 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $25,358,333.33 Redeemed, in full; warrants not outstanding

SHORE BANCSHARES, INC. EASTON MD 15-Apr-09 $25,000,000.00 25,000 $1,000.00

SHORE BANCSHARES, INC. EASTON MD 16-Nov-11 $25,000.00 172,970

15,11,14 SIGNATURE BANCSHARES, INC. DALLAS TX 26-Jun-09 Subordinated Debentures w/ Exercised Warrants $1,700,000.00 $0.00 $1,994,587.59 Redeemed, in full; warrants not outstanding

SIGNATURE BANCSHARES, INC. DALLAS TX 15-Dec-10 $1,700,000.00 1,700,000 $1.00 $85,000.00 85,000

11 SIGNATURE BANK NEW YORK NY 12-Dec-08 Preferred Stock w/ Warrants $120,000,000.00 $0.00 $132,967,606.41 Redeemed, in full; warrants not outstanding

SIGNATURE BANK NEW YORK NY 31-Mar-09 $120,000,000.00 120,000 $1,000.00

SIGNATURE BANK NEW YORK NY 16-Mar-10 $11,150,939.74 595,829

11 SOMERSET HILLS BANCORP BERNARDSVILLE NJ 16-Jan-09 Preferred Stock w/ Warrants $7,414,000.00 $0.00 $7,816,685.55 Redeemed, in full; warrants not outstanding

SOMERSET HILLS BANCORP BERNARDSVILLE NJ 20-May-09 $7,414,000.00 7,414 $1,000.00

SOMERSET HILLS BANCORP BERNARDSVILLE NJ 24-Jun-09 $275,000.00 163,065

8,32,97 SONOMA VALLEY BANCORP SONOMA CA 20-Feb-09 Preferred Stock w/ Exercised Warrants $8,653,000.00 $0.00 $347,164.00 Currently not collectible

SONOMA VALLEY BANCORP SONOMA CA 20-Aug-10 ($8,653,000.00)

8,14 SOUND BANKING COMPANY MOREHEAD CITY NC 9-Jan-09 Preferred Stock w/ Exercised Warrants $3,070,000.00 $0.00 $3,575,224.44 Sold, in full; warrants not outstanding

SOUND BANKING COMPANY MOREHEAD CITY NC 13-Nov-12 $2,832,412.70 3,070 $922.60 ($237,587.30) $124,412.34 154

SOUND BANKING COMPANY MOREHEAD CITY NC 11-Jan-13 ($25,000.00)

SOUTH FINANCIAL GROUP, INC./ CAROLINA FIRST BANK GREENVILLE SC 5-Dec-08 Preferred Stock w/ Warrants $347,000,000.00 $0.00 $146,965,329.86 Sold, in full; warrants not outstanding

SOUTH FINANCIAL GROUP, INC./ CAROLINA FIRST BANK GREENVILLE SC 30-Sep-10 $130,179,218.75 130,179 $1,000.00 ($216,820,781.25) $400,000.00 10,106,796

8,14 SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 17-Jul-09 Preferred Stock w/ Exercised Warrants $12,900,000.00 $0.00 $13,109,014.25 Sold, in full; warrants not outstanding

SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 8-Mar-13 $1,814,620.00 2,000 $907.30 ($185,380.00)

SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 11-Mar-13 $9,889,679.00 10,900 $907.30 ($1,010,321.00) $588,264.19 645

SOUTHCREST FINANCIAL GROUP, INC. FAYETTEVILLE GA 9-Apr-13 ($117,042.99)

11,9,36 SOUTHERN BANCORP, INC. ARKADELPHIA AR 16-Jan-09 Preferred Stock $11,000,000.00 $0.00 $11,855,555.56 Redeemed, in full; warrants not outstanding

SOUTHERN BANCORP, INC. ARKADELPHIA AR 6-Aug-10 $11,000,000.00 11,000 $1,000.00

SOUTHERN COMMUNITY FINANCIAL CORP. WINSTON-SALEM NC 5-Dec-08 Preferred Stock w/ Warrants $42,750,000.00 $0.00 $51,088,046.14 Redeemed, in full; warrants not outstanding

SOUTHERN COMMUNITY FINANCIAL CORP. WINSTON-SALEM NC 1-Oct-12 $42,750,000.00 42,750 $1,000.00

SOUTHERN FIRST BANCSHARES, INC. GREENVILLE SC 27-Feb-09 Preferred Stock w/ Warrants $17,299,000.00 $0.00 $19,401,361.89 Sold, in full; warrants not outstanding

SOUTHERN FIRST BANCSHARES, INC. GREENVILLE SC 3-Jul-12 $15,638,296.00 ($234,574.44) 17,299 $904.00 ($1,660,704.00)

SOUTHERN FIRST BANCSHARES, INC. GREENVILLE SC 25-Jul-12 $1,100,000.00 399,970

8,45,14 SOUTHERN HERITAGE BANCSHARES, INC. CLEVELAND TN 15-May-09 Preferred Stock w/ Exercised Warrants $4,862,000.00 $0.00 $5,718,111.14 Redeemed, in full; warrants not outstanding

SOUTHERN HERITAGE BANCSHARES, INC. CLEVELAND TN 8-Sep-11 $4,862,000.00 4,862 $1,000.00 $243,000.00 243

44,8,14 SOUTHERN ILLINOIS BANCORP, INC. CARMI IL 23-Jan-09 Preferred Stock w/ Exercised Warrants $5,000,000.00 $0.00 $5,955,472.22 Redeemed, in full; warrants not outstanding

SOUTHERN ILLINOIS BANCORP, INC. CARMI IL 25-Aug-11 $5,000,000.00 5,000 $1,000.00 $250,000.00 250

44 SOUTHERN MISSOURI BANCORP, INC. POPLAR BLUFF MO 5-Dec-08 Preferred Stock w/ Warrants $9,550,000.00 $0.00 $10,804,763.89 Redeemed, in full; warrants outstanding

SOUTHERN MISSOURI BANCORP, INC. POPLAR BLUFF MO 21-Jul-11 $9,550,000.00 9,550 $1,000.00

8 SOUTHFIRST BANCSHARES, INC. SYLACAUGA AL 12-Jun-09 Preferred Stock w/ Exercised Warrants $2,760,000.00 $2,760,000.00 $364,796.34 Full investment outstanding; warrants outstanding

11 SOUTHWEST BANCORP, INC. STILLWATER OK 5-Dec-08 Preferred Stock w/ Warrants $70,000,000.00 $0.00 $85,247,569.91 Redeemed, in full; warrants not outstanding

SOUTHWEST BANCORP, INC. STILLWATER OK 8-Aug-12 $70,000,000.00 70,000 $1,000.00

SOUTHWEST BANCORP, INC. STILLWATER OK 29-May-13 $2,287,197.00 703,753

44,8,14 SOVEREIGN BANCSHARES, INC. DALLAS TX 13-Mar-09 Preferred Stock w/ Exercised Warrants $18,215,000.00 $0.00 $21,632,668.61 Redeemed, in full; warrants not outstanding

SOVEREIGN BANCSHARES, INC. DALLAS TX 22-Sep-11 $18,215,000.00 18,215 $1,000.00 $911,000.00 911

8 SPIRIT BANKCORP, INC. BRISTOW OK 27-Mar-09 Preferred Stock w/ Exercised Warrants $30,000,000.00 $0.00 $11,803,691.75 Sold, in full; warrants not outstanding

SPIRIT BANKCORP, INC. BRISTOW OK 21-Oct-13 $9,000,000.00 30,000 $300.00 ($21,000,000.00) $631,941.75 1,500

SPIRIT BANKCORP, INC. BRISTOW OK 6-Jan-14 ($90,000.00)

8 ST. JOHNS BANCSHARES, INC. ST. LOUIS MO 13-Mar-09 Preferred Stock w/ Exercised Warrants $3,000,000.00 $3,000,000.00 $763,908.00 Full investment outstanding; warrants outstanding

74,8,14 STANDARD BANCSHARES, INC. HICKORY HILLS IL 24-Apr-09 Preferred Stock w/ Exercised Warrants $60,000,000.00 $0.00 $75,757,163.03 Redeemed, in full; warrants not outstanding

STANDARD BANCSHARES, INC. HICKORY HILLS IL 22-Feb-13 $60,000,000.00 12,903,226 $1,432.56 $3,000,000.00

11,61 STATE BANCORP, INC. / VALLEY NATIONAL BANCORP JERICHO NY 5-Dec-08 Preferred Stock w/ Warrants $36,842,000.00 $0.00 $42,414,352.50 Redeemed, in full; warrants outstanding

STATE BANCORP, INC. / VALLEY NATIONAL BANCORP JERICHO NY 14-Dec-11 $36,842,000.00 36,842 $1,000.00

15,17,44 STATE BANK OF BARTLEY, THE BARTLEY NE 4-Sep-09 Subordinated Debentures w/ Exercised Warrants $1,697,000.00 $0.00 $2,030,299.18 Redeemed, in full; warrants not outstanding

STATE BANK OF BARTLEY, THE BARTLEY NE 22-Sep-11 $1,697,000.00 1,697,000 $1.00 $51,000.00 51,000

8,11 STATE BANKSHARES, INC. FARGO ND 16-Jan-09 Preferred Stock w/ Exercised Warrants $50,000,000.00 $0.00 $58,008,472.23 Redeemed, in full; warrants not outstanding

STATE BANKSHARES, INC. FARGO ND 12-Aug-09 $12,500,000.00 12,500 $1,000.00

STATE BANKSHARES, INC. FARGO ND 29-Jun-11 $37,500,000.00 37,500 $1,000.00 $2,500,000.00 250

8,36,11 STATE CAPITAL CORP. GREENWOOD MS 13-Feb-09 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $17,080,708.67 Redeemed, in full; warrants not outstanding

STATE CAPITAL CORP. GREENWOOD MS 29-Sep-10 $15,000,000.00 15,000 $1,000.00 $750,000.00 750

12,16 STATE STREET CORPORATION BOSTON MA 28-Oct-08 Preferred Stock w/ Warrants $2,000,000,000.00 $0.00 $2,123,611,111.12 Redeemed, in full; warrants not outstanding

STATE STREET CORPORATION BOSTON MA 17-Jun-09 $2,000,000,000.00 20,000 $100,000.00

STATE STREET CORPORATION BOSTON MA 8-Jul-09 $60,000,000.00 2,788,104

15,11,14 STEARNS FINANCIAL SERVICES, INC. ST. CLOUD MN 26-Jun-09 Subordinated Debentures w/ Exercised Warrants $24,900,000.00 $0.00 $31,495,442.29 Redeemed, in full; warrants not outstanding

STEARNS FINANCIAL SERVICES, INC. ST. CLOUD MN 18-Jan-12 $24,900,000.00 24,900,000 $1.00 $1,245,000.00 1,245,000

15,17,45 STEELE STREET BANK CORPORATION DENVER CO 25-Sep-09 Subordinated Debentures w/ Exercised Warrants $11,019,000.00 $0.00 $13,078,672.60 Redeemed, in full; warrants not outstanding

STEELE STREET BANK CORPORATION DENVER CO 1-Sep-11 $11,019,000.00 11,019,000 $1.00 $331,000.00 331,000

11 STELLARONE CORPORATION CHARLOTTESVILLE VA 19-Dec-08 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $37,191,875.00 Redeemed, in full; warrants not outstanding

STELLARONE CORPORATION CHARLOTTESVILLE VA 13-Apr-11 $7,500,000.00 7,500 $1,000.00

STELLARONE CORPORATION CHARLOTTESVILLE VA 28-Dec-11 $22,500,000.00 22,500 $1,000.00

STELLARONE CORPORATION CHARLOTTESVILLE VA 18-Dec-13 $2,920,000.00 302,623

11 STERLING BANCORP NEW YORK NY 23-Dec-08 Preferred Stock w/ Warrants $42,000,000.00 $0.00 $47,869,108.33 Redeemed, in full; warrants not outstanding

STERLING BANCORP NEW YORK NY 27-Apr-11 $42,000,000.00 42,000 $1,000.00

STERLING BANCORP NEW YORK NY 18-May-11 $945,775.00 516,817

11 STERLING BANCSHARES, INC. HOUSTON TX 12-Dec-08 Preferred Stock w/ Warrants $125,198,000.00 $0.00 $130,542,485.91 Redeemed, in full; warrants not outstanding

STERLING BANCSHARES, INC. HOUSTON TX 5-May-09 $125,198,000.00 125,198 $1,000.00

STERLING BANCSHARES, INC. HOUSTON TX 15-Jun-10 $2,857,914.52 2,615,557

31 STERLING FINANCIAL CORPORATION SPOKANE WA 5-Dec-08 Preferred Stock w/ Warrants $303,000,000.00 $0.00 $121,757,209.63 Sold, in full; warrants not outstanding

STERLING FINANCIAL CORPORATION SPOKANE WA 20-Aug-12 $114,772,740.00 ($1,434,659.25) 5,738,637 $20.00 ($188,227,260.00)

STERLING FINANCIAL CORPORATION SPOKANE WA 19-Sep-12 $825,000.00 97,541

44 STEWARDSHIP FINANCIAL CORPORATION MIDLAND PARK NJ 30-Jan-09 Preferred Stock w/ Warrants $10,000,000.00 $0.00 $11,400,453.22 Redeemed, in full; warrants not outstanding

STEWARDSHIP FINANCIAL CORPORATION MIDLAND PARK NJ 1-Sep-11 $10,000,000.00 10,000 $1,000.00

STEWARDSHIP FINANCIAL CORPORATION MIDLAND PARK NJ 26-Oct-11 $107,398.00 133,475

11,8,14 STOCKMENS FINANCIAL CORPORATION RAPID CITY SD 6-Feb-09 Preferred Stock w/ Exercised Warrants $15,568,000.00 $0.00 $18,101,553.84 Redeemed, in full; warrants not outstanding

STOCKMENS FINANCIAL CORPORATION RAPID CITY SD 12-Jan-11 $4,000,000.00 4,000 $1,000.00

STOCKMENS FINANCIAL CORPORATION RAPID CITY SD 16-Mar-11 $11,568,000.00 11,568 $1,000.00 $778,000.00 778

8,14 STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 23-Jan-09 Preferred Stock w/ Exercised Warrants $10,973,000.00 $0.00 $2,652,816.96 Sold, in full; warrants not outstanding

STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 26-Mar-13 $1,796,209.03 10,351 $173.50 ($8,554,790.97) $130,704.17 516

STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 27-Mar-13 $107,935.66 622 $173.50 ($514,064.34) $8,358.99 33

STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 9-Apr-13 ($25,000.00)

15 SUBURBAN ILLINOIS BANCORP, INC. ELMHURST IL 19-Jun-09 Subordinated Debentures w/ Exercised Warrants $15,000,000.00 $15,000,000.00 $2,083,520.25 Full investment outstanding; warrants outstanding

44 SUMMIT STATE BANK SANTA ROSA CA 19-Dec-08 Preferred Stock w/ Warrants $8,500,000.00 $0.00 $9,930,625.00 Redeemed, in full; warrants not outstanding

SUMMIT STATE BANK SANTA ROSA CA 4-Aug-11 $8,500,000.00 8,500 $1,000.00

SUMMIT STATE BANK SANTA ROSA CA 14-Sep-11 $315,000.00 239,212

11 SUN BANCORP, INC. VINELAND NJ 9-Jan-09 Preferred Stock w/ Warrants $89,310,000.00 $0.00 $92,513,970.83 Redeemed, in full; warrants not outstanding
Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

SUN BANCORP, INC. VINELAND NJ 8-Apr-09 $89,310,000.00 89,310 $1,000.00

SUN BANCORP, INC. VINELAND NJ 27-May-09 $2,100,000.00 1,620,545

11 SUNTRUST BANKS, INC. ATLANTA GA 14-Nov-08 Preferred Stock w/ Warrants $3,500,000,000.00 $0.00 $5,448,052,772.51 Redeemed, in full; warrants not outstanding

SUNTRUST BANKS, INC. ATLANTA GA 31-Dec-08 $1,350,000,000.00

SUNTRUST BANKS, INC. ATLANTA GA 30-Mar-11 $4,850,000,000.00 48,500 $100,000.00

SUNTRUST BANKS, INC. ATLANTA GA 28-Sep-11 $30,066,661.40 17,900,182

24,49,97 SUPERIOR BANCORP INC. BIRMINGHAM AL 5-Dec-08 Preferred Stock w/ Warrants $69,000,000.00 $0.00 $4,983,333.33 Currently not collectible

SUPERIOR BANCORP INC. BIRMINGHAM AL 15-Apr-11 ($69,000,000.00)

11,8,14 SURREY BANCORP MOUNT AIRY NC 9-Jan-09 Preferred Stock w/ Exercised Warrants $2,000,000.00 $0.00 $2,314,972.22 Redeemed, in full; warrants not outstanding

SURREY BANCORP MOUNT AIRY NC 29-Dec-10 $2,000,000.00 2,000 $1,000.00 $100,000.00 100

11 SUSQUEHANNA BANCSHARES, INC. LITITZ PA 12-Dec-08 Preferred Stock w/ Warrants $300,000,000.00 $0.00 $328,991,401.58 Redeemed, in full; warrants not outstanding

SUSQUEHANNA BANCSHARES, INC. LITITZ PA 21-Apr-10 $200,000,000.00 200,000 $1,000.00

SUSQUEHANNA BANCSHARES, INC. LITITZ PA 22-Dec-10 $100,000,000.00 100,000 $1,000.00

SUSQUEHANNA BANCSHARES, INC. LITITZ PA 19-Jan-11 $5,269,179.36 3,028,264

11,8,14 SV FINANCIAL, INC. STERLING IL 10-Apr-09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $4,721,382.89 Redeemed, in full; warrants not outstanding

SV FINANCIAL, INC. STERLING IL 31-Aug-11 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

12,16 SVB FINANCIAL GROUP SANTA CLARA CA 12-Dec-08 Preferred Stock w/ Warrants $235,000,000.00 $0.00 $253,929,027.78 Redeemed, in full; warrants not outstanding

SVB FINANCIAL GROUP SANTA CLARA CA 23-Dec-09 $235,000,000.00 235,000 $1,000.00

SVB FINANCIAL GROUP SANTA CLARA CA 16-Jun-10 $6,820,000.00 354,058

15,44,14 SWORD FINANCIAL CORPORATION HORICON WI 8-May-09 Subordinated Debentures w/ Exercised Warrants $13,644,000.00 $0.00 $17,019,233.91 Redeemed, in full; warrants not outstanding

SWORD FINANCIAL CORPORATION HORICON WI 15-Sep-11 $13,644,000.00 13,644,000 $1.00 $682,000.00 682,000

11 SYNOVUS FINANCIAL CORP. COLUMBUS GA 19-Dec-08 Preferred Stock w/ Warrants $967,870,000.00 $0.00 $1,190,614,526.39 Redeemed, in full; warrants outstanding

SYNOVUS FINANCIAL CORP. COLUMBUS GA 26-Jul-13 $967,870,000.00 967,870 $1,000.00

8 SYRINGA BANCORP BOISE ID 16-Jan-09 Preferred Stock w/ Exercised Warrants $8,000,000.00 $8,000,000.00 $253,122.22 Full investment outstanding; warrants outstanding

TAYLOR CAPITAL GROUP ROSEMONT IL 21-Nov-08 Preferred Stock w/ Warrants $104,823,000.00 $0.00 $120,845,170.80 Sold, in full; warrants not outstanding

TAYLOR CAPITAL GROUP ROSEMONT IL 19-Jun-12 $93,659,350.50 ($1,404,890.26) 104,823 $893.50 ($11,163,649.50)

TAYLOR CAPITAL GROUP ROSEMONT IL 18-Jul-12 $9,839,273.00 1,462,647

15,17,45 TCB CORPORATION/COUNTY BANK GREENWOOD SC 28-Aug-09 Subordinated Debentures w/ Exercised Warrants $9,720,000.00 $0.00 $11,611,381.34 Redeemed, in full; warrants not outstanding

TCB CORPORATION/COUNTY BANK GREENWOOD SC 8-Sep-11 $9,720,000.00 9,720,000 $1.00 $292,000.00 292,000

8,97,100 TCB HOLDING COMPANY THE WOODLANDS TX 16-Jan-09 Preferred Stock w/ Exercised Warrants $11,730,000.00 $0.00 $690,832.08 Currently not collectible

TCB HOLDING COMPANY THE WOODLANDS TX 13-Dec-13 ($11,730,000.00)

11 TCF FINANCIAL CORPORATION WAYZATA MN 14-Nov-08 Preferred Stock w/ Warrants $361,172,000.00 $0.00 $378,547,699.45 Redeemed, in full; warrants not outstanding

TCF FINANCIAL CORPORATION WAYZATA MN 22-Apr-09 $361,172,000.00 361,172 $1,000.00

TCF FINANCIAL CORPORATION WAYZATA MN 21-Dec-09 $9,449,980.56 3,199,988

11,8,14 TCNB FINANCIAL CORP DAYTON OH 23-Dec-08 Preferred Stock w/ Exercised Warrants $2,000,000.00 $0.00 $2,384,611.11 Redeemed, in full; warrants not outstanding

TCNB FINANCIAL CORP DAYTON OH 3-Aug-11 $2,000,000.00 2,000 $1,000.00 $100,000.00 100

63,97 TENNESSEE COMMERCE BANCORP, INC. FRANKLIN TN 19-Dec-08 Preferred Stock w/ Warrants $30,000,000.00 $0.00 $3,233,333.33 Currently not collectible

TENNESSEE COMMERCE BANCORP, INC. FRANKLIN TN 27-Jan-12 ($30,000,000.00)

8,14 TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 23-Dec-08 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,331,713.17 Sold, in full; warrants not outstanding

TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 26-Apr-13 $298,000.00 298 $1,022.10 $6,588.78 $19,218.87 20

TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 29-Apr-13 $2,702,000.00 2,702 $1,022.10 $59,741.22 $124,922.63 130

TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 31-May-13 ($25,000.00)

11 TEXAS CAPITAL BANCSHARES, INC. DALLAS TX 16-Jan-09 Preferred Stock w/ Warrants $75,000,000.00 $0.00 $82,777,816.21 Redeemed, in full; warrants not outstanding

TEXAS CAPITAL BANCSHARES, INC. DALLAS TX 13-May-09 $75,000,000.00 75,000 $1,000.00

TEXAS CAPITAL BANCSHARES, INC. DALLAS TX 17-Mar-10 $6,559,066.21 758,086

11,8,14 TEXAS NATIONAL BANCORPORATION INC. JACKSONVILLE TX 9-Jan-09 Preferred Stock w/ Exercised Warrants $3,981,000.00 $0.00 $4,475,307.67 Redeemed, in full; warrants not outstanding

TEXAS NATIONAL BANCORPORATION INC. JACKSONVILLE TX 19-May-10 $3,981,000.00 3,981 $1,000.00 $199,000.00 199

44,8,14 THE ANB CORPORATION TERRELL TX 7-Aug-09 Preferred Stock w/ Exercised Warrants $20,000,000.00 $0.00 $23,234,499.98 Redeemed, in full; warrants not outstanding

THE ANB CORPORATION TERRELL TX 25-Aug-11 $20,000,000.00 20,000 $1,000.00 $1,000,000.00 1,000

12,16 THE BANCORP, INC. WILMINGTON DE 12-Dec-08 Preferred Stock w/ Warrants $45,220,000.00 $0.00 $52,787,673.44 Redeemed, in full; warrants not outstanding

THE BANCORP, INC. WILMINGTON DE 10-Mar-10 $45,220,000.00 45,220 $1,000.00

THE BANCORP, INC. WILMINGTON DE 8-Sep-10 $4,753,984.55 980,203

8 THE BANK OF CURRITUCK MOYOCK NC 6-Feb-09 Preferred Stock w/ Exercised Warrants $4,021,000.00 $0.00 $1,912,684.00 Sold, in full; warrants not outstanding

THE BANK OF CURRITUCK MOYOCK NC 3-Dec-10 $1,742,850.00 4,021 $433.40 ($2,278,150.00)

11 THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 13-Feb-09 Preferred Stock w/ Warrants $34,000,000.00 $0.00 $40,091,342.55 Redeemed, in full; warrants not outstanding

THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 22-Dec-10 $17,000,000.00 17,000 $1,000.00

THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 23-Nov-11 $17,000,000.00 17,000 $1,000.00

THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 29-May-13 $2,150,648.55 276,078

8,14 THE BARABOO BANCORPORATION, INC. BARABOO WI 16-Jan-09 Preferred Stock w/ Exercised Warrants $20,749,000.00 $0.00 $18,023,831.85 Sold, in full; warrants not outstanding

THE BARABOO BANCORPORATION, INC. BARABOO WI 10-Dec-12 $1,956,900.00 3,000 $652.30 ($1,043,100.00) $403,161.92 487

THE BARABOO BANCORPORATION, INC. BARABOO WI 11-Dec-12 $11,577,672.70 17,749 $652.30 ($6,171,327.30) $455,316.35 550

THE BARABOO BANCORPORATION, INC. BARABOO WI 11-Jan-13 ($135,345.73)

THE CONNECTICUT BANK AND TRUST COMPANY HARTFORD CT 19-Dec-08 Preferred Stock w/ Warrants $5,448,000.00 $0.00 $6,902,866.33 Redeemed, in full; warrants not outstanding

THE CONNECTICUT BANK AND TRUST COMPANY HARTFORD CT 19-Apr-12 $5,448,000.00 5,448 $1,000.00 $792,783.00 175,742

44 THE ELMIRA SAVINGS BANK, FSB ELMIRA NY 19-Dec-08 Preferred Stock w/ Warrants $9,090,000.00 $0.00 $10,309,575.00 Redeemed, in full; warrants outstanding

THE ELMIRA SAVINGS BANK, FSB ELMIRA NY 25-Aug-11 $9,090,000.00 9,090 $1,000.00

11 THE FIRST BANCORP, INC. DAMARISCOTTA ME 9-Jan-09 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $29,332,986.11 Redeemed, in full; warrants outstanding

THE FIRST BANCORP, INC. DAMARISCOTTA ME 24-Aug-11 $12,500,000.00 12,500 $1,000.00

THE FIRST BANCORP, INC. DAMARISCOTTA ME 27-Mar-13 $2,500,000.00 2,500 $1,000.00

THE FIRST BANCORP, INC. DAMARISCOTTA ME 8-May-13 $10,000,000.00 10,000 $1,000.00

11,36 THE FIRST BANCSHARES, INC. HATTIESBURG MS 6-Feb-09 Preferred Stock w/ Warrants $5,000,000.00 $0.00 $5,411,805.56 Redeemed, in full; warrants outstanding

THE FIRST BANCSHARES, INC. HATTIESBURG MS 29-Sep-10 $5,000,000.00 5,000 $1,000.00

11,8,14 THE FIRST STATE BANK OF MOBEETIE MOBEETIE TX 27-Feb-09 Preferred Stock w/ Exercised Warrants $731,000.00 $0.00 $813,086.56 Redeemed, in full; warrants not outstanding

THE FIRST STATE BANK OF MOBEETIE MOBEETIE TX 14-Apr-10 $731,000.00 731 $1,000.00 $37,000.00 37

11,8,14 THE FREEPORT STATE BANK HARPER KS 6-Feb-09 Preferred Stock w/ Exercised Warrants $301,000.00 $0.00 $379,458.89 Redeemed, in full; warrants not outstanding

THE FREEPORT STATE BANK HARPER KS 19-Dec-12 $301,000.00 301 $1,000.00 $15,000.00 15

11 THE HARTFORD FINANCIAL SERVICES GROUP, INC. HARTFORD CT 26-Jun-09 Preferred Stock w/ Warrants $3,400,000,000.00 $0.00 $4,236,125,671.00 Redeemed, in full; warrants not outstanding

THE HARTFORD FINANCIAL SERVICES GROUP, INC. HARTFORD CT 31-Mar-10 $3,400,000,000.00 3,400,000 $1,000.00

THE HARTFORD FINANCIAL SERVICES GROUP, INC. HARTFORD CT 27-Sep-10 $706,264,559.89 52,093,973

8,44,14 THE LANDRUM COMPANY COLUMBIA MO 22-May-09 Preferred Stock w/ Exercised Warrants $15,000,000.00 $0.00 $17,580,291.55 Redeemed, in full; warrants not outstanding

THE LANDRUM COMPANY COLUMBIA MO 18-Aug-11 $15,000,000.00 15,000 $1,000.00 $750,000.00 750

8,14 THE LITTLE BANK, INCORPORATED KINSTON NC 23-Dec-08 Preferred Stock w/ Exercised Warrants $7,500,000.00 $0.00 $9,232,652.17 Sold, in full; warrants not outstanding

THE LITTLE BANK, INCORPORATED KINSTON NC 31-Oct-12 $7,359,000.00 7,500 $981.20 ($141,000.00) $371,250.00 375

THE LITTLE BANK, INCORPORATED KINSTON NC 11-Jan-13 ($73,590.00)

11 THE PNC FINANCIAL SERVICES GROUP, INC. PITTSBURGH PA 31-Dec-08 Preferred Stock w/ Warrants $7,579,200,000.00 $0.00 $8,320,638,950.83 Redeemed, in full; warrants not outstanding

THE PNC FINANCIAL SERVICES GROUP, INC. PITTSBURGH PA 10-Feb-10 $7,579,200,000.00 75,792 $100,000.00

THE PNC FINANCIAL SERVICES GROUP, INC. PITTSBURGH PA 5-May-10 $320,372,284.16 16,885,192

44,8,14 THE PRIVATE BANK OF CALIFORNIA LOS ANGELES CA 20-Feb-09 Preferred Stock w/ Exercised Warrants $5,450,000.00 $0.00 $6,474,752.14 Redeemed, in full; warrants not outstanding

THE PRIVATE BANK OF CALIFORNIA LOS ANGELES CA 1-Sep-11 $5,450,000.00 5,450 $1,000.00 $273,000.00 273

8,14 THE QUEENSBOROUGH COMPANY LOUISVILLE GA 9-Jan-09 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $13,065,246.00 Sold, in full; warrants not outstanding

THE QUEENSBOROUGH COMPANY LOUISVILLE GA 8-Mar-13 $244,225.00 250 $976.90 ($5,775.00) $4,806.45 5

THE QUEENSBOROUGH COMPANY LOUISVILLE GA 11-Mar-13 $11,478,575.00 11,750 $976.90 ($271,425.00) $571,967.55 595

THE QUEENSBOROUGH COMPANY LOUISVILLE GA 9-Apr-13 ($117,228.00)

8,18,21,44 THE VICTORY BANCORP, INC. LIMERICK PA 27-Feb-09 Preferred Stock w/ Exercised Warrants $541,000.00 $0.00 $2,322,183.20 Redeemed, in full; warrants not outstanding

THE VICTORY BANCORP, INC. LIMERICK PA 11-Dec-09 $1,505,000.00

THE VICTORY BANCORP, INC. LIMERICK PA 22-Sep-11 $2,046,000.00 2,046 $1,000.00 $61,000.00 61

8,21 THREE SHORES BANCORPORATION, INC. ORLANDO FL 23-Jan-09 Preferred Stock w/ Exercised Warrants $5,677,000.00 $0.00 $6,449,130.64 Sold, in full; warrants not outstanding
Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

THREE SHORES BANCORPORATION, INC. ORLANDO FL 8-Nov-12 $1,165,528.32 1,312 $888.40 ($146,471.68)

THREE SHORES BANCORPORATION, INC. ORLANDO FL 9-Nov-12 $3,877,691.40 4,365 $888.40 ($487,308.60) $282,284.64 284

THREE SHORES BANCORPORATION, INC. ORLANDO FL 11-Jan-13 ($50,432.20)

TIB FINANCIAL CORP NAPLES FL 5-Dec-08 Preferred Stock w/ Warrants $37,000,000.00 $0.00 $13,444,359.59 Sold, in full; warrants not outstanding

TIB FINANCIAL CORP NAPLES FL 30-Sep-10 $12,119,637.37 12,120 $1,000.00 ($24,880,362.63) $40,000.00 1,106,389

TIDELANDS BANCSHARES, INC. MT. PLEASANT SC 19-Dec-08 Preferred Stock w/ Warrants $14,448,000.00 $14,448,000.00 $1,195,973.33 Full investment outstanding; warrants outstanding

8,47,97 TIFTON BANKING COMPANY TIFTON GA 17-Apr-09 Preferred Stock w/ Exercised Warrants $3,800,000.00 $0.00 $223,208.00 Currently not collectible

TIFTON BANKING COMPANY TIFTON GA 12-Nov-10 ($3,800,000.00)

TIMBERLAND BANCORP, INC. HOQUIAM WA 23-Dec-08 Preferred Stock w/ Warrants $16,641,000.00 $0.00 $18,857,818.52 Sold, in full; warrants not outstanding

TIMBERLAND BANCORP, INC. HOQUIAM WA 8-Nov-12 $3,290,437.50 3,815 $862.50 ($524,562.50)

TIMBERLAND BANCORP, INC. HOQUIAM WA 9-Nov-12 $1,580,962.50 1,833 $862.50 ($252,037.50)

TIMBERLAND BANCORP, INC. HOQUIAM WA 13-Nov-12 $9,481,462.50 10,993 $862.50 ($1,511,537.50)

TIMBERLAND BANCORP, INC. HOQUIAM WA 11-Jan-13 ($143,528.63)

TIMBERLAND BANCORP, INC. HOQUIAM WA 11-Jun-13 $1,301,856.00 370,899

11,8,14 TITONKA BANCSHARES, INC. TITONKA IA 3-Apr-09 Preferred Stock w/ Exercised Warrants $2,117,000.00 $0.00 $2,569,490.36 Redeemed, in full; warrants not outstanding

TITONKA BANCSHARES, INC. TITONKA IA 4-Apr-12 $2,117,000.00 2,117 $1,000.00 $106,000.00 106

8 TODD BANCSHARES, INC. HOPKINSVILLE KY 6-Feb-09 Preferred Stock w/ Exercised Warrants $4,000,000.00 $0.00 $5,210,672.22 Redeemed, in full; warrants not outstanding

TODD BANCSHARES, INC. HOPKINSVILLE KY 25-Sep-13 $4,000,000.00 4,000 $1,000.00 $200,000.00 200

45 TOWNEBANK PORTSMOUTH VA 12-Dec-08 Preferred Stock w/ Warrants $76,458,000.00 $0.00 $88,577,166.67 Redeemed, in full; warrants not outstanding

TOWNEBANK PORTSMOUTH VA 22-Sep-11 $76,458,000.00 76,458 $1,000.00

TOWNEBANK PORTSMOUTH VA 15-May-13 $1,500,000.00 554,330

8 TREATY OAK BANCORP, INC. AUSTIN TX 16-Jan-09 Preferred Stock w/ Warrants $3,268,000.00 $0.00 $842,415.03 Sold, in full; warrants outstanding

TREATY OAK BANCORP, INC. AUSTIN TX 15-Feb-11 $500,000.00 3,118 $155.47 ($2,618,000.00)

TREATY OAK BANCORP, INC. AUSTIN TX 21-Dec-12 $150,000.00 150,000 $1.00

44,8,14 TRIAD BANCORP, INC. FRONTENAC MO 27-Mar-09 Preferred Stock w/ Exercised Warrants $3,700,000.00 $0.00 $4,386,324.64 Redeemed, in full; warrants not outstanding

TRIAD BANCORP, INC. FRONTENAC MO 22-Sep-11 $3,700,000.00 3,700 $1,000.00 $185,000.00 185

44,8,14 TRI-COUNTY FINANCIAL CORPORATION WALDORF MD 19-Dec-08 Preferred Stock w/ Exercised Warrants $15,540,000.00 $0.00 $18,653,115.75 Redeemed, in full; warrants not outstanding

TRI-COUNTY FINANCIAL CORPORATION WALDORF MD 22-Sep-11 $15,540,000.00 15,540 $1,000.00 $777,000.00 777

8,14 TRINITY CAPITAL CORPORATION LOS ALAMOS NM 27-Mar-09 Preferred Stock w/ Exercised Warrants $35,539,000.00 $0.00 $34,644,476.74 Sold, in full; warrants not outstanding

TRINITY CAPITAL CORPORATION LOS ALAMOS NM 7-Aug-12 $2,639,379.50 3,518 $750.20 ($878,620.50) $163,062.90 175

TRINITY CAPITAL CORPORATION LOS ALAMOS NM 9-Aug-12 $7,038,845.50 9,382 $750.20 ($2,343,154.50) $1,300,776.05 1,396

TRINITY CAPITAL CORPORATION LOS ALAMOS NM 10-Aug-12 $16,984,909.75 22,639 $750.20 ($5,654,090.25) $191,948.33 206

TRINITY CAPITAL CORPORATION LOS ALAMOS NM 11-Sep-12 ($266,631.35)

11,8,9 TRI-STATE BANK OF MEMPHIS MEMPHIS TN 3-Apr-09 Preferred Stock $2,795,000.00 $0.00 $2,985,215.11 Redeemed, in full; warrants not outstanding

TRI-STATE BANK OF MEMPHIS MEMPHIS TN 13-Aug-10 $2,795,000.00 2,795 $1,000.00

11,8 TRISTATE CAPITAL HOLDINGS, INC. PITTSBURGH PA 27-Feb-09 Preferred Stock w/ Exercised Warrants $23,000,000.00 $0.00 $28,642,402.33 Redeemed, in full; warrants not outstanding

TRISTATE CAPITAL HOLDINGS, INC. PITTSBURGH PA 26-Sep-12 $23,000,000.00 23,000 $1,000.00 $1,150,000.00 1,150

8,14,18 TRISUMMIT BANK KINGSPORT TN 3-Apr-09 Preferred Stock w/ Warrants $2,765,000.00 $0.00 $6,496,417.16 Sold, in full; warrants not outstanding

TRISUMMIT BANK KINGSPORT TN 22-Dec-09 $4,237,000.00

TRISUMMIT BANK KINGSPORT TN 29-Nov-12 $5,251,500.00 7,002 $750.00 ($1,750,500.00) $124,665.75 138

TRISUMMIT BANK KINGSPORT TN 11-Jan-13 ($52,515.00)

11 TRUSTMARK CORPORATION JACKSON MS 21-Nov-08 Preferred Stock w/ Warrants $215,000,000.00 $0.00 $236,287,500.00 Redeemed, in full; warrants not outstanding

TRUSTMARK CORPORATION JACKSON MS 9-Dec-09 $215,000,000.00 215,000 $1,000.00

TRUSTMARK CORPORATION JACKSON MS 30-Dec-09 $10,000,000.00 1,647,931

44,8,14 TWO RIVERS FINANCIAL GROUP, INC. BURLINGTON IA 29-May-09 Preferred Stock w/ Exercised Warrants $12,000,000.00 $0.00 $14,075,133.27 Redeemed, in full; warrants not outstanding

TWO RIVERS FINANCIAL GROUP, INC. BURLINGTON IA 1-Sep-11 $12,000,000.00 12,000 $1,000.00 $600,000.00 60

11 U.S. BANCORP MINNEAPOLIS MN 14-Nov-08 Preferred Stock w/ Warrants $6,599,000,000.00 $0.00 $6,933,220,416.67 Redeemed, in full; warrants not outstanding

U.S. BANCORP MINNEAPOLIS MN 17-Jun-09 $6,599,000,000.00 6,599,000 $1,000.00

U.S. BANCORP MINNEAPOLIS MN 15-Jul-09 $139,000,000.00 32,679,102

8 U.S. CENTURY BANK MIAMI FL 7-Aug-09 Preferred Stock w/ Exercised Warrants $50,236,000.00 $50,236,000.00 $745,311.72 Full investment outstanding; warrants outstanding

44,8,14 UBT BANCSHARES, INC. MARYSVILLE KS 30-Jan-09 Preferred Stock w/ Exercised Warrants $8,950,000.00 $0.00 $10,634,911.78 Redeemed, in full; warrants not outstanding

UBT BANCSHARES, INC. MARYSVILLE KS 11-Aug-11 $8,950,000.00 8,950 $1,000.00 $450,000.00 45

22,97 UCBH HOLDINGS INC. SAN FRANCISCO CA 14-Nov-08 Preferred Stock w/ Warrants $298,737,000.00 $0.00 $7,509,920.07 Currently not collectible

UCBH HOLDINGS INC. SAN FRANCISCO CA 6-Nov-09 ($298,737,000.00)

12,16 UMPQUA HOLDINGS CORP. PORTLAND OR 14-Nov-08 Preferred Stock w/ Warrants $214,181,000.00 $0.00 $232,156,554.58 Redeemed, in full; warrants not outstanding

UMPQUA HOLDINGS CORP. PORTLAND OR 17-Feb-10 $214,181,000.00 214,181 $1,000.00

UMPQUA HOLDINGS CORP. PORTLAND OR 31-Mar-10 $4,500,000.00 1,110,898

8,14,18,44,45 UNION BANK & TRUST COMPANY OXFORD NC 1-May-09 Preferred Stock w/ Warrants $3,194,000.00 $0.00 $7,031,291.65 Redeemed, in full; warrants not outstanding

UNION BANK & TRUST COMPANY OXFORD NC 18-Dec-09 $2,997,000.00

UNION BANK & TRUST COMPANY OXFORD NC 22-Sep-11 $6,191,000.00 6,191 $1,000.00 $160,000.00 160

8,17,11 UNION FINANCIAL CORPORATION ALBUQUERQUE NM 29-Dec-09 Preferred Stock w/ Exercised Warrants $2,179,000.00 $0.00 $2,639,873.33 Redeemed, in full; warrants not outstanding

UNION FINANCIAL CORPORATION ALBUQUERQUE NM 25-Jul-12 $600,000.00 600 $1,000.00

UNION FINANCIAL CORPORATION ALBUQUERQUE NM 2-Oct-13 $1,579,000.00 1,579 $1,000.00 $65,000.00 65

12,16,25 UNION FIRST MARKET BANKSHARES CORPORATION BOWLING GREEN VA 19-Dec-08 Preferred Stock w/ Warrants $59,000,000.00 $0.00 $62,145,972.22 Redeemed, in full; warrants not outstanding

UNION FIRST MARKET BANKSHARES CORPORATION BOWLING GREEN VA 18-Nov-09 $59,000,000.00 59,000 $1,000.00

UNION FIRST MARKET BANKSHARES CORPORATION BOWLING GREEN VA 23-Dec-09 $450,000.00 211,318

8 UNITED AMERICAN BANK SAN MATEO CA 20-Feb-09 Preferred Stock w/ Exercised Warrants $8,700,000.00 $8,700,000.00 $0.00 Full investment outstanding; warrants outstanding

UNITED BANCORP, INC. TECUMSEH MI 16-Jan-09 Preferred Stock w/ Warrants $20,600,000.00 $0.00 $20,315,924.72 Sold, in full; warrants not outstanding

UNITED BANCORP, INC. TECUMSEH MI 19-Jun-12 $17,005,300.00 ($255,079.50) 20,600 $825.50 ($3,594,700.00)

UNITED BANCORP, INC. TECUMSEH MI 18-Jul-12 $38,000.00 311,492

11,36 UNITED BANCORPORATION OF ALABAMA, INC. ATMORE AL 23-Dec-08 Preferred Stock w/ Warrants $10,300,000.00 $0.00 $11,172,638.89 Redeemed, in full; warrants outstanding

UNITED BANCORPORATION OF ALABAMA, INC. ATMORE AL 3-Sep-10 $10,300,000.00 10,300 $1,000.00

15,11,14 UNITED BANK CORPORATION BARNESVILLE GA 22-May-09 Subordinated Debentures w/ Exercised Warrants $14,400,000.00 $0.00 $18,882,079.62 Redeemed, in full; warrants not outstanding

UNITED BANK CORPORATION BARNESVILLE GA 3-Jul-12 $14,400,000.00 14,400,000 $1.00 $720,000.00 720,000

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 5-Dec-08 Preferred Stock w/ Warrants $180,000,000.00 $0.00 $210,367,527.00 Sold, in full; warrants not outstanding

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 26-Mar-13 $1,516,900.00 1,576 $962.50 ($59,100.00)

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 27-Mar-13 $12,587,575.00 13,078 $962.50 ($490,425.00)

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 28-Mar-13 $159,145,525.00 165,346 $962.50 ($6,200,475.00)

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 9-Apr-13 ($1,732,500.00)

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 10-Jun-13 $6,677.00 219,908

44,11,8 UNITED FINANCIAL BANKING COMPANIES, INC. VIENNA VA 16-Jan-09 Preferred Stock w/ Exercised Warrants $5,658,000.00 $0.00 $6,649,963.92 Redeemed, in full; warrants not outstanding

UNITED FINANCIAL BANKING COMPANIES, INC. VIENNA VA 15-Dec-10 $3,000,000.00 3,000 $1,000.00

UNITED FINANCIAL BANKING COMPANIES, INC. VIENNA VA 15-Sep-11 $2,658,000.00 2,658 $1,000.00 $283,000.00 283

11 UNITY BANCORP, INC. CLINTON NJ 5-Dec-08 Preferred Stock w/ Warrants $20,649,000.00 $0.00 $28,013,814.50 Redeemed, in full; warrants not outstanding

UNITY BANCORP, INC. CLINTON NJ 15-May-13 $10,324,000.00 10,324 $1,000.00

UNITY BANCORP, INC. CLINTON NJ 3-Jul-13 $10,325,000.00 10,325 $1,000.00

UNITY BANCORP, INC. CLINTON NJ 28-Aug-13 $2,707,314.00 764,778

8 UNIVERSAL BANCORP BLOOMFIELD IN 22-May-09 Preferred Stock w/ Exercised Warrants $9,900,000.00 $0.00 $12,066,668.65 Sold, in full; warrants not outstanding

UNIVERSAL BANCORP BLOOMFIELD IN 8-Aug-13 $237,527.50 250 $950.10 ($12,472.50)

UNIVERSAL BANCORP BLOOMFIELD IN 12-Aug-13 $9,168,561.50 9,650 $950.10 ($481,438.50) $476,573.62 495

UNIVERSAL BANCORP BLOOMFIELD IN 12-Sep-13 ($94,060.89)

11,9,15 UNIVERSITY FINANCIAL CORP. ST. PAUL MN 19-Jun-09 Subordinated Debentures $11,926,000.00 $0.00 $12,948,886.40 Redeemed, in full; warrants not outstanding

UNIVERSITY FINANCIAL CORP. ST. PAUL MN 30-Jul-10 $11,926,000.00 11,926,000 $1.00

8 US METRO BANK GARDEN GROVE CA 6-Feb-09 Preferred Stock w/ Exercised Warrants $2,861,000.00 $2,861,000.00 $432,678.00 Full investment outstanding; warrants outstanding

11,8 UWHARRIE CAPITAL CORP ALBEMARLE NC 23-Dec-08 Preferred Stock w/ Exercised Warrants $10,000,000.00 $0.00 $12,916,040.83 Redeemed, in full; warrants not outstanding

UWHARRIE CAPITAL CORP ALBEMARLE NC 3-Apr-13 $7,742,000.00 7,742 $1,000.00

UWHARRIE CAPITAL CORP ALBEMARLE NC 16-Oct-13 $2,258,000.00 2,258 $1,000.00 $500,000.00 500
Gain5

Amount (Fee)4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back2 Investment Status*

11,8,14 VALLEY COMMERCE BANCORP VISALIA CA 30-Jan-09 Preferred Stock w/ Exercised Warrants $7,700,000.00 $0.00 $9,403,400.50 Redeemed, in full; warrants not outstanding

VALLEY COMMERCE BANCORP VISALIA CA 21-Mar-12 $7,700,000.00 7,700 $1,000.00 $385,000.00 385

8 VALLEY COMMUNITY BANK PLEASANTON CA 9-Jan-09 Preferred Stock w/ Exercised Warrants $5,500,000.00 $0.00 $2,947,090.75 Sold, in full; warrants not outstanding

VALLEY COMMUNITY BANK PLEASANTON CA 21-Oct-13 $2,296,800.00 5,500 $417.60 ($3,203,200.00) $45,815.25 275

VALLEY COMMUNITY BANK PLEASANTON CA 6-Jan-14 ($25,000.00)

11 VALLEY FINANCIAL CORPORATION ROANOKE VA 12-Dec-08 Preferred Stock w/ Warrants $16,019,000.00 $0.00 $21,311,670.48 Redeemed, in full; warrants not outstanding

VALLEY FINANCIAL CORPORATION ROANOKE VA 14-Nov-12 $1,600,000.00 1,600 $1,000.00

VALLEY FINANCIAL CORPORATION ROANOKE VA 20-Feb-13 $1,600,000.00 1,600 $1,000.00

VALLEY FINANCIAL CORPORATION ROANOKE VA 15-May-13 $1,600,000.00 1,600 $1,000.00

VALLEY FINANCIAL CORPORATION ROANOKE VA 14-Aug-13 $1,600,000.00 1,600 $1,000.00

VALLEY FINANCIAL CORPORATION ROANOKE VA 16-Oct-13 $9,619,000.00 9,619 $1,000.00

VALLEY FINANCIAL CORPORATION ROANOKE VA 13-Nov-13 $1,547,891.58 344,742

8,44,14 VALLEY FINANCIAL GROUP, LTD. SAGINAW MI 18-Dec-09 Preferred Stock w/ Exercised Warrants $1,300,000.00 $0.00 $1,489,774.73 Redeemed, in full; warrants not outstanding

VALLEY FINANCIAL GROUP, LTD. SAGINAW MI 22-Sep-11 $1,300,000.00 1,300 $1,000.00 $65,000.00 65

11 VALLEY NATIONAL BANCORP WAYNE NJ 14-Nov-08 Preferred Stock w/ Warrants $300,000,000.00 $0.00 $318,400,781.94 Redeemed, in full; warrants not outstanding

VALLEY NATIONAL BANCORP WAYNE NJ 3-Jun-09 $75,000,000.00 75,000 $1,000.00

VALLEY NATIONAL BANCORP WAYNE NJ 23-Sep-09 $125,000,000.00 125,000 $1,000.00

VALLEY NATIONAL BANCORP WAYNE NJ 23-Dec-09 $100,000,000.00 100,000 $1,000.00

VALLEY NATIONAL BANCORP WAYNE NJ 24-May-10 $5,421,615.27 2,532,542

8,41,44 VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY) DALLAS TX 26-Jun-09 Preferred Stock w/ Exercised Warrants $3,000,000.00 $0.00 $3,503,795.81 Redeemed, in full; warrants not outstanding

VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY) DALLAS TX 25-Aug-11 $3,000,000.00 3,000 $1,000.00 $150,000.00 150

VILLAGE BANK AND TRUST FINANCIAL CORP. MIDLOTHIAN VA 1-May-09 Preferred Stock w/ Warrants $14,738,000.00 $0.00 $6,933,870.05 Sold, in full; warrants outstanding

VILLAGE BANK AND TRUST FINANCIAL CORP. MIDLOTHIAN VA 19-Nov-13 $5,672,361.44 14,738 $384.90 ($9,065,638.56)

VILLAGE BANK AND TRUST FINANCIAL CORP. MIDLOTHIAN VA 6-Jan-14 ($56,723.61)

11 VIRGINIA COMMERCE BANCORP ARLINGTON VA 12-Dec-08 Preferred Stock w/ Warrants $71,000,000.00 $0.00 $85,190,138.89 Redeemed, in full; warrants outstanding

VIRGINIA COMMERCE BANCORP ARLINGTON VA 11-Dec-12 $71,000,000.00 71,000 $1,000.00

8,17 VIRGINIA COMPANY BANK NEWPORT NEWS VA 12-Jun-09 Preferred Stock w/ Exercised Warrants $4,700,000.00 $0.00 $3,694,442.50 Sold, in full; warrants not outstanding

VIRGINIA COMPANY BANK NEWPORT NEWS VA 8-Aug-13 $325,353.86 533 $610.40 ($207,646.14)

VIRGINIA COMPANY BANK NEWPORT NEWS VA 12-Aug-13 $2,543,620.14 4,167 $610.40 ($1,623,379.86) $63,481.25 143

VIRGINIA COMPANY BANK NEWPORT NEWS VA 12-Sep-13 ($25,000.00)

11,8,14 VISION BANK - TEXAS RICHARDSON TX 24-Apr-09 Preferred Stock w/ Exercised Warrants $1,500,000.00 $0.00 $1,898,258.59 Redeemed, in full; warrants not outstanding

VISION BANK - TEXAS RICHARDSON TX 28-Dec-12 $787,500.00 788 $1,000.00

VISION BANK - TEXAS RICHARDSON TX 10-Jul-13 $712,500.00 713 $1,000.00 $75,000.00 75

VIST FINANCIAL CORP. WYOMISSING PA 19-Dec-08 Preferred Stock w/ Warrants $25,000,000.00 $0.00 $30,710,646.33 Redeemed, in full; warrants not outstanding

VIST FINANCIAL CORP. WYOMISSING PA 1-Aug-12 $25,000,000.00 $25,000.00 $1,000.00 $1,189,813.00 367,984

45,8,14 W.T.B. FINANCIAL CORPORATION SPOKANE WA 30-Jan-09 Preferred Stock w/ Exercised Warrants $110,000,000.00 $0.00 $131,236,874.33 Redeemed, in full; warrants not outstanding

W.T.B. FINANCIAL CORPORATION SPOKANE WA 15-Sep-11 $110,000,000.00 110,000 $1,000.00 $5,500,000.00 5,500

8,17,11 WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 11-Dec-09 Preferred Stock w/ Exercised Warrants $12,000,000.00 $5,000,000.00 $9,125,223.01 Redeemed, in part; warrants outstanding

WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 4-Apr-12 $3,000,000.00 3,000 $1,000.00

WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 30-Jan-13 $4,000,000.00 4,000 $1,000.00

11 WAINWRIGHT BANK & TRUST COMPANY BOSTON MA 19-Dec-08 Preferred Stock w/ Warrants $22,000,000.00 $0.00 $23,592,311.11 Redeemed, in full; warrants not outstanding

WAINWRIGHT BANK & TRUST COMPANY BOSTON MA 24-Nov-09 $22,000,000.00 22,000 $1,000.00

WAINWRIGHT BANK & TRUST COMPANY BOSTON MA 16-Dec-09 $568,700.00 390,071

11,16 WASHINGTON BANKING COMPANY OAK HARBOR WA 16-Jan-09 Preferred Stock w/ Warrants $26,380,000.00 $0.00 $30,628,344.45 Redeemed, in full; warrants not outstanding

WASHINGTON BANKING COMPANY OAK HARBOR WA 12-Jan-11 $26,380,000.00 26,380 $1,000.00

WASHINGTON BANKING COMPANY OAK HARBOR WA 2-Mar-11 $1,625,000.00 246,082

11 WASHINGTON FEDERAL, INC. SEATTLE WA 14-Nov-08 Preferred Stock w/ Warrants $200,000,000.00 $0.00 $220,749,985.18 Redeemed, in full; warrants not outstanding

WASHINGTON FEDERAL, INC. SEATTLE WA 27-May-09 $200,000,000.00 200,000 $1,000.00

WASHINGTON FEDERAL, INC. SEATTLE WA 15-Mar-10 $15,388,874.07 1,707,456

8,18,21,44 WASHINGTONFIRST BANKSHARES, INC. RESTON VA 30-Jan-09 Preferred Stock w/ Warrants $6,633,000.00 $0.00 $15,317,317.86 Redeemed, in full; warrants not outstanding

WASHINGTONFIRST BANKSHARES, INC. RESTON VA 30-Oct-09 $6,842,000.00

WASHINGTONFIRST BANKSHARES, INC. RESTON VA 4-Aug-11 $13,475,000.00 13,475 $1,000.00 $332,000.00 332

8,17 WAUKESHA BANKSHARES, INC. WAUKESHA WI 26-Jun-09 Preferred Stock w/ Exercised Warrants $5,625,000.00 $0.00 $6,398,893.44 Sold, in full; warrants not outstanding

WAUKESHA BANKSHARES, INC. WAUKESHA WI 6-Feb-13 $4,831,002.80 5,212 $926.90 ($380,997.20) $18,644.66 19

WAUKESHA BANKSHARES, INC. WAUKESHA WI 7-Feb-13 $92,690.00 100 $926.90 ($7,310.00) $147,194.69 150

WAUKESHA BANKSHARES, INC. WAUKESHA WI 8-Feb-13 $290,119.70 313 $926.90 ($22,880.30)

WAUKESHA BANKSHARES, INC. WAUKESHA WI 26-Mar-13 ($52,138.13)

11 WEBSTER FINANCIAL CORPORATION WATERBURY CT 21-Nov-08 Preferred Stock w/ Warrants $400,000,000.00 $0.00 $457,333,286.51 Redeemed, in full; warrants not outstanding

WEBSTER FINANCIAL CORPORATION WATERBURY CT 3-Mar-10 $100,000,000.00 100,000 $1,000.00

WEBSTER FINANCIAL CORPORATION WATERBURY CT 13-Oct-10 $100,000,000.00 100,000 $1,000.00

WEBSTER FINANCIAL CORPORATION WATERBURY CT 29-Dec-10 $200,000,000.00 200,000 $1,000.00

WEBSTER FINANCIAL CORPORATION WATERBURY CT 8-Jun-11 $20,388,842.06 3,282,276

11 WELLS FARGO & CO. MINNEAPOLIS MN 28-Oct-08 Preferred Stock w/ Warrants $25,000,000,000.00 $0.00 $27,281,347,113.95 Redeemed, in full; warrants not outstanding

WELLS FARGO & CO. MINNEAPOLIS MN 23-Dec-09 $25,000,000,000.00 25,000 $1,000,000.00

WELLS FARGO & CO. MINNEAPOLIS MN 26-May-10 $840,374,891.73 110,261,688

11 WESBANCO, INC. WHEELING WV 5-Dec-08 Preferred Stock w/ Warrants $75,000,000.00 $0.00 $78,804,166.67 Redeemed, in full; warrants not outstanding

WESBANCO, INC. WHEELING WV 9-Sep-09 $75,000,000.00 75,000 $1,000.00

WESBANCO, INC. WHEELING WV 23-Dec-09 $950,000.00 439,282

11 WEST BANCORPORATION, INC. WEST DES MOINES IA 31-Dec-08 Preferred Stock w/ Warrants $36,000,000.00 $0.00 $41,195,000.00 Redeemed, in full; warrants not outstanding

WEST BANCORPORATION, INC. WEST DES MOINES IA 29-Jun-11 $36,000,000.00 36,000 $1,000.00

WEST BANCORPORATION, INC. WEST DES MOINES IA 31-Aug-11 $700,000.00 474,100

11 WESTAMERICA BANCORPORATION SAN RAFAEL CA 13-Feb-09 Preferred Stock w/ Warrants $83,726,000.00 $0.00 $87,360,236.61 Redeemed, in full; warrants not outstanding

WESTAMERICA BANCORPORATION SAN RAFAEL CA 2-Sep-09 $41,863,000.00 41,863 $1,000.00

WESTAMERICA BANCORPORATION SAN RAFAEL CA 18-Nov-09 $41,863,000.00 41,863 $1,000.00

WESTAMERICA BANCORPORATION SAN RAFAEL CA 21-Nov-11 $878,256.00 246,698

44 WESTERN ALLIANCE BANCORPORATION LAS VEGAS NV 21-Nov-08 Preferred Stock w/ Warrants $140,000,000.00 $0.00 $160,365,000.00 Redeemed, in full; warrants not outstanding

WESTERN ALLIANCE BANCORPORATION LAS VEGAS NV 27-Sep-11 $140,000,000.00 140,000 $1,000.00

WESTERN ALLIANCE BANCORPORATION LAS VEGAS NV 23-Nov-11 $415,000.00 787,107

8 WESTERN COMMUNITY BANCSHARES, INC. PALM DESERT CA 23-Dec-08 Preferred Stock w/ Exercised Warrants $7,290,000.00 $7,290,000.00 $554,083.00 Full investment outstanding; warrants outstanding

8,14,18 WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 23-Dec-08 Preferred Stock w/ Exercised Warrants $6,855,000.00 $0.00 $13,053,910.87 Sold, in full; warrants not outstanding

WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 29-Dec-09 $4,567,000.00

WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 8-Nov-12 $1,050,524.72 1,117 $940.38 ($66,475.28)

WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 9-Nov-12 $9,673,015.37 10,305 $939.53 ($631,984.63) $335,417.06 343

WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 11-Jan-13 ($107,235.41)

8,78,11 WESTERN RESERVE BANCORP, INC. MEDINA OH 15-May-09 Preferred Stock w/ Exercised Warrants $4,700,000.00 $0.00 $5,842,197.92 Redeemed, in full; warrants not outstanding

WESTERN RESERVE BANCORP, INC. MEDINA OH 30-Nov-12 $4,700,000.00 4,700 $1,000.00 $235,000.00 235

8 WHITE RIVER BANCSHARES COMPANY FAYETTEVILLE AR 20-Feb-09 Preferred Stock w/ Exercised Warrants $16,800,000.00 $16,800,000.00 $1,589,583.00 Full investment outstanding; warrants outstanding

WHITNEY HOLDING CORPORATION NEW ORLEANS LA 19-Dec-08 Preferred Stock w/ Warrants $300,000,000.00 $0.00 $343,733,333.33 Redeemed, in full; warrants not outstanding

WHITNEY HOLDING CORPORATION NEW ORLEANS LA 3-Jun-11 $300,000,000.00 300,000 $1,000.00 $6,900,000.00 2,631,579

11 WILMINGTON TRUST CORPORATION WILMINGTON DE 12-Dec-08 Preferred Stock w/ Warrants $330,000,000.00 $0.00 $369,920,833.33 Redeemed, in full; warrants outstanding

WILMINGTON TRUST CORPORATION WILMINGTON DE 13-May-11 $330,000,000.00 330,000 $1,000.00

WILSHIRE BANCORP, INC. LOS ANGELES CA 12-Dec-08 Preferred Stock w/ Warrants $62,158,000.00 $0.00 $68,809,170.52 Sold, in full; warrants not outstanding

WILSHIRE BANCORP, INC. LOS ANGELES CA 3-Apr-12 $58,646,694.58 ($879,700.42) 62,158 $943.50 ($3,511,305.42)

WILSHIRE BANCORP, INC. LOS ANGELES CA 20-Jun-12 $760,000.00 949,460

11 WINTRUST FINANCIAL CORPORATION LAKE FOREST IL 19-Dec-08 Preferred Stock w/ Warrants $250,000,000.00 $0.00 $300,704,730.81 Redeemed, in full; warrants not outstanding

WINTRUST FINANCIAL CORPORATION LAKE FOREST IL 22-Dec-10 $250,000,000.00 250,000 $1,000.00

WINTRUST FINANCIAL CORPORATION LAKE FOREST IL 14-Feb-11 $25,600,564.15 1,643,295
Gain

5

Amount (Fee)

4 Shares Avg. Price Amount Shares

(Realized Loss) / 

(Write-off)

Capital Repayment / Disposition / Auction Warrant Proceeds 3,5 FootNote Institution Name City State Date Original Investment Type1 Original Investment 

Amount

Outstanding 

Investment

Total Cash Back

2 Investment Status*

8,14 WORTHINGTON FINANCIAL HOLDINGS, INC. HUNTSVILLE AL 15-May-09 Preferred Stock w/ Exercised Warrants $2,720,000.00 $0.00 $2,780,391.21 Sold, in full; warrants not outstanding

WORTHINGTON FINANCIAL HOLDINGS, INC. HUNTSVILLE AL 24-Jun-13 $2,343,851.20 2,720 $861.70 ($376,148.80) $90,940.00 136

WORTHINGTON FINANCIAL HOLDINGS, INC. HUNTSVILLE AL 26-Jul-13 ($24,999.99)

WSFS FINANCIAL CORPORATION WILMINGTON DE 23-Jan-09 Preferred Stock w/ Warrants $52,625,000.00 $0.00 $57,640,856.64 Sold, in full; warrants not outstanding

WSFS FINANCIAL CORPORATION WILMINGTON DE 3-Apr-12 $48,157,663.75 ($722,364.96) 52,625 $915.10 ($4,467,336.25)

WSFS FINANCIAL CORPORATION WILMINGTON DE 12-Sep-12 $1,800,000.00 175,105

YADKIN VALLEY FINANCIAL CORPORATION ELKIN NC 16-Jan-09 Preferred Stock w/ Warrants $36,000,000.00 $0.00 $52,383,419.85 Sold, in full; warrants not outstanding

YADKIN VALLEY FINANCIAL CORPORATION ELKIN NC 24-Jul-09 $13,312,000.00

YADKIN VALLEY FINANCIAL CORPORATION ELKIN NC 18-Sep-12 $44,149,056.00 ($662,235.84) 49,312 $893.00 ($5,162,944.00)

YADKIN VALLEY FINANCIAL CORPORATION ELKIN NC 10-Jun-13 $55,677.00 91,178

YADKIN VALLEY FINANCIAL CORPORATION ELKIN NC 11-Jun-13 $20,000.00 128,663

45,8,14 YORK TRADITIONS BANK YORK PA 24-Apr-09 Preferred Stock w/ Exercised Warrants $4,871,000.00 $0.00 $5,705,022.14 Redeemed, in full; warrants not outstanding

YORK TRADITIONS BANK YORK PA 14-Jul-11 $4,871,000.00 4,871 $1,000.00 $244,000.00 244

11 ZIONS BANCORPORATION SALT LAKE CITY UT 14-Nov-08 Preferred Stock w/ Warrants $1,400,000,000.00 $0.00 $1,661,027,529.62 Redeemed, in full; warrants not outstanding

ZIONS BANCORPORATION SALT LAKE CITY UT 28-Mar-12 $700,000,000.00 700,000 $1,000.00

ZIONS BANCORPORATION SALT LAKE CITY UT 26-Sep-12 $700,000,000.00 700,000 $1,000.00

ZIONS BANCORPORATION SALT LAKE CITY UT 5-Dec-12 $7,666,418.51 5,789,909

TOTALS $204,894,726,320.00 $2,089,788,601.88 $224,913,275,558.44 $198,090,365,708.28 ($35,597,128.23) ($4,714,572,009.84) $6,892,181,661.26 $7,912,634,048.10
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).

3 Capital Repayments includes gross capital repayments, gross auction proceeds, exchanges into CDCI, and SBLF fundings.

4 Includes: (i) placement fees in private auctions of a CPP issuer’s securities where Treasury pays placement fees to the placement agents in an amount equal to a minimum of $50,000 

(per issuer) or 1.00% of gross aggregate proceeds for each security and (ii) unreimbursed underwriting fees in public offerings. Placement fees in private auctions are paid 

approximately one month after settlement.

5 Net proceeds from sales and auctions can be calculated by adding the “Amount” and “(Fee)” columns under the "Capital Repayment / Disposition / Auction" plus any amount in the 

"Gain" column. Note that "(Fee)" is a negative number.

6 This transaction was included in previous Transaction Reports with Merrill Lynch & Co., Inc. listed as the qualifying institution and a 10/28/2008 transaction date, footnoted to indicate 

that settlement was deferred pending merger. The purchase of Merrill Lynch by Bank of America was completed on 1/1/2009, and this transaction under the CPP was funded on 

1/9/2009.

7 The warrant disposition proceeds amount are stated pro rata in respect of the CPP investments in Bank of America Corporation that occurred on 10/28/2008 and 1/9/2009. The total net 

disposition proceeds from CPP warrants on 3/3/2010 was $305,913,040, consisting of $183,547,824 and $122,365,216. Proceeds from the disposition of TIP warrants on 3/3/2010 

appear on a following page of this report.

8 Privately-held qualified financial institution; Treasury received a warrant to purchase additional shares of preferred stock (unless the institution is a CDFI), which it exercised immediately.

9 To promote community development financial institutions (CDFIs), Treasury does not require warrants as part of its investment in certified CDFIs when the size of the investment is $50 

million or less.

10 Treasury cancelled the warrants received from this institution due to its designation as a CDFI.

11 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009.

12 Redemption pursuant to a qualified equity offering.

13 This amount does not include accrued and unpaid dividends, which must be paid at the time of capital repayment.

14 The proceeds associated with the disposition of this investment do not include accrued and unpaid dividends.

15 Subchapter S corporation; Treasury received a warrant to purchase additional subordinated debentures (unless the institution is a CDFI), which it exercised immediately.

16 In its qualified equity offering, this institution raised more capital than Treasury’s original investment, therefore, the number of Treasury’s shares underlying the warrant was reduced by 

half.

17 This institution participated in the expansion of CPP for small banks.

18 This institution received an additional investment through the expansion of CPP for small banks.

19 Treasury made three separate investments in Citigroup Inc. (Citigroup) under the CPP, Targeted Investment Program (TIP), and Asset Guarantee Program (AGP) for a total of $49 

billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange up to $25 billion of Treasury's investment in Fixed Rate Cumulative Perpetual Preferred Stock, 

Series H (CPP Shares) "dollar for dollar" in Citigroup's Private and Public Exchange Offerings. On 7/23/2009 and 7/30/2009, Treasury exchanged a total of $25 billion of the CPP shares 

for Series M Common Stock Equivalent (“Series M”) and a warrant to purchase shares of Series M. On 9/11/2009, Series M automatically converted to 7,692,307,692 shares of 

common stock and the associated warrant terminated on receipt of certain shareholder approvals.

20 On 8/24/2009, Treasury exchanged its series C preferred stock issued by Popular, Inc. for a like amount of non tax-deductible trust preferred securities issued by Popular Capital Trust 

III, administrative trustee for Popular, Inc. Popular, Inc. paid a $13 million exchange fee in connection with this transaction.

21 This institution converted to a bank holding company structure and Treasury exchanged its securities for a like amount of securities that comply with the CPP terms applicable to bank 

holding companies. The institution in which Treasury's original investment was made is shown in parentheses.

22 As of the date of this report, this institution is in bankruptcy proceedings.
Footnote Footnote Description

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.
Footnote Footnote Description

32 On 8/20/2010, Sonoma Valley Bank, Sonoma, CA, the banking subsidiary of Sonoma Valley Bancorp, was closed by the California Department of Financial Institutions, and the Federal 

Deposit Insurance Corporation (FDIC) was named Receiver.

33 On 6/30/2010, Treasury exchanged $46,400,000 of its series A preferred stock in First Merchants Corporation for a like amount of non tax-deductible Trust Preferred Securities issued 

by First Merchants Capital Trust III.

34 On 7/20/2010, Treasury completed the exchange of its $400,000,000 of preferred stock in First BanCorp for $424,174,000 of mandatorily convertible preferred Stock (MCP), which is 

equivalent to the initial investment amount of $400,000,000, plus $24,174,000 of capitalized previously accrued and unpaid dividends. On 10/07/2011, following the completion of the 

conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was converted into 32,941,797 shares of common stock of First BanCorp. Treasury 

received all accrued and previously unpaid dividends on the MCP at the time of the conversion. First BanCorp has agreed to have a Treasury observer attend board of directors 

meetings.

35 On 8/31/2010, following the completion of the conditions related to Pacific Capital Bancorp's (Pacific Capital) capital plan, Treasury exchanged its $180,634,000 of preferred stock in 

Pacific Capital for $195,045,000 of mandatorily convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $180,634,000, plus $14,411,000 of capitalized 

previously accrued and unpaid dividends. On 9/27/2010, following the completion of the conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s 

MCP was converted into 360,833,250 shares of common stock of Pacific Capital. Following a reverse stock split effective 12/28/10, Treasury held 3,608,332 shares of Pacific Capital 

common stock. Effective 11/30/12, Pacific Capital merged with and into UnionBanCal Corporation and each outstanding share of common stock of the Company was converted into the 

right to receive $46.00 per share in cash, and Treasury received $165,983,272 in respect of its common stock and $393,121 in respect of its warrant.

36 This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has completed an exchange of its Capital Purchase Program investment for an 

investment under the terms of the CDCI program. See "Community Development Capital Initiative" below.

37 At the time of this institution’s exchange into the CDCI program, the warrant preferreds were included in the total amount of preferred stock exchanged for Treasury’s CDCI investment. 

Therefore this disposition amount does not represent cash proceeds to Treasury.

38 On 9/30/2010, Treasury completed the exchange of its $80,347,000 of preferred stock in Hampton Roads Bankshares, Inc. (Hampton) for a like amount of mandatorily convertible 

preferred Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Hampton entered into on 8/12/2010. Since Hampton also fulfilled the conversion 

conditions set forth in the Certificate of Designations for the MCP, Treasury’s $80,347,000 of MCP was subsequently converted into 52,225,550 shares of common stock.

39 Treasury entered into an agreement on 1/28/2011 with North American Financial Holdings, Inc. for the sale of all preferred stock and warrants issued by Capital Bank Corporation to 

Treasury for an aggregate purchase price of $41,279,000. Since the conditions to closing of the sale were satisfied, the closing of the sale also occurred on 1/28/2011.

40 On 2/18/11, Treasury completed the exchange of its $135,000,000 of preferred stock (including accrued and unpaid dividends thereon) in Central Pacific Financial Corp. for not less 

than 5,620,117 shares of common stock, pursuant to an exchange agreement dated 2/17/2011.

41 As a result of the acquisition of Fidelity Resources Company (the acquired company) by Veritex Holdings, Inc. (the acquiror), the preferred stock and exercised warrants issued by the 

acquired company on 6/26/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the terms of an agreement among Treasury, the acquired company and the 

acquiror entered into on 3/23/2011.

42 As a result of the acquisition of NC Bancorp, Inc. (the acquired company) by Metropolitan Bank Group, Inc. (the acquiror), Treasury exchanged $6,880,000 of its preferred stock in NC 

Bancorp, Inc. and $71,526,000 of its preferred stock in Metropolitan Bank Group, Inc. for $81,892,000 of a new series of preferred stock in Metropolitan Bank Group, Inc., which is 

equivalent to the combined initial investment amount of $78,406,000 plus $3,486,000 of capitalized previously accrued and unpaid dividends, pursuant to the terms of an agreement 

among Treasury, the acquired company and the acquiror entered into on 3/30/2011. Exercised warrants were also exchanged at the time of the agreement.
Footnote Footnote Description

43 On 7/5/2011, Treasury completed a transaction with Harris Financial Corp., a wholly-owned subsidiary of Bank of Montreal ("BMO"), for the sale of (i) all Marshall & Ilsley Corporation 

("M&I") Preferred Stock held by Treasury for a purchase price of $1,715,000,000 plus accrued dividends and (ii) the Treasury-held M&I Warrant for an amount equal to $3,250,000, 

pursuant to the terms of the agreement between Treasury and BMO entered into on 05/16/2011.

44 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 using proceeds received in connection with the institution’s participation in the 

Small Business Lending Fund.

45 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 - part of the repayment amount obtained from proceeds received in 

connection with the institution’s participation in the Small Business Lending Fund.

46 On 11/5/2010, Pierce Commercial Bank, Tacoma, WA, the banking subsidiary of Pierce County Bancorp, was closed by the Washington Department of Financial Institutions, and the 

Federal Deposit Insurance Corporation (FDIC) was named Receiver.

47 On 11/12/2010, Tifton Banking Company, Tifton, GA, was closed by the Georgia Department of Banking & Finance, and the Federal Deposit Insurance Corporation (FDIC) was named 

Receiver.

48 On 3/11/2011, Legacy Bank, Milwaukee, WI, the banking subsidiary of Legacy Bancorp, Inc., was closed by the State of Wisconsin Department of Financial Institutions, and the Federal 

Deposit Insurance Corporation (FDIC) was named Receiver.

49 On 4/15/2011, Superior Bank, Birmingham, AL, the banking subsidiary of Superior Bancorp Inc., was closed by the Office of Thrift Supervision, and the Federal Deposit Insurance 

Corporation (FDIC) was named Receiver.

50 On 7/15/2011, First Peoples Bank, Port Saint Lucie, Florida, the banking subsidiary of FPB Bancorp, Inc., was closed by the Florida Office of Financial Regulation, and the Federal 

Deposit Insurance Corporation (FDIC) was named Receiver.

51 On 7/15/2011, One Georgia Bank, Atlanta, GA was closed by the State of Georgia Department of Banking & Finance, and the Federal Deposit Insurance Corporation (FDIC) was named 

Receiver.

52 On 7/29/2011, Integra Bank, National Association, Evansville, Indiana, the banking subsidiary of Integra Bank Corporation, was closed by the Office of the Comptroller of the Currency, 

which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

53 On 10/21/2011, Treasury completed the exchange of all FNB United Corp. ("FNB United") preferred stock and warrants held by Treasury for 108,555,303 shares of FNB United common 

stock and an amended and restated warrant, pursuant to the terms of the agreement between Treasury and FNB United entered into on 08/12/2011.

54 As a result of the acquisition of Berkshire Bancorp, Inc. (the acquired company) by Customers Bancorp, Inc. (the acquiror), the preferred stock and exercised warrants issued by the 

acquired company on 6/12/2009 were exchanged for a like amount of securities of the acquiror plus accrued and previously unpaid dividends, pursuant to the terms of an agreement 

among Treasury, the acquired company and the acquiror entered into on 9/16/2011.

55 On 9/23/2011, Citizens Bank of Northern California, Nevada City, California, the banking subsidiary of Citizens Bancorp, was closed by the California Department of Financial 

Institutions, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

56 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 in connection with the institution’s participation in the Small Business Lending 

Fund, which occurred at a later date.

57 On 10/14/2011, Country Bank, Aledo, Illinois, the banking subsidiary of CB Holding Corp., was closed by the Illinois Department of Financial and Professional Regulation - Division of 

Banking, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

58 As a result of a reincorporation transaction whereby Crescent Financial Corporation (CFC) was merged into Crescent Financial Bancshares, Inc. (CFB), the preferred stock and warrant 

issued by CFC on 1/9/2009 were exchanged for a like amount of securities of CFB, pursuant to the terms of an agreement among Treasury, CFC and CFB entered into on 11/15/2011.

59 As a result of the acquisition of Center Financial Corporation by BBCN Bancorp, Inc. (formerly Nara Bancorp, Inc.), the preferred stock and warrant issued by Center Financial 

Corporation were exchanged for a like amount of securities of BBCN Bancorp, Inc., pursuant to the terms of an agreement among Treasury, Center Financial Corporation, and BBCN 

Bancorp, Inc. entered into on 11/30/2011.
Footnote Footnote Description

60 On 1/3/2012, Treasury completed (i) the sale to F.N.B. Corporation (“F.N.B.”) of all of the preferred stock that had been issued to Treasury by Parkvale Financial Corporation 

(“Parkvale”) for a purchase price of $31,762,000 plus accrued dividends and (ii) the exchange of the Parkvale warrant held by Treasury for a like F.N.B. warrant, pursuant to the terms of 

the agreement between Treasury and F.N.B. entered into on 12/29/2011 in connection with the merger of Parkvale and F.N.B. effective 01/01/2012.

61 As a result of the acquisition of State Bancorp, Inc. (the acquired company) by Valley National Bancorp (the acquiror), the warrant issued by the acquired company on 12/5/2008 was 

exchanged for a like security of the acquiror, pursuant to the terms of an agreement among Treasury, the acquired company and the acquiror entered into on 1/1/2012.

62 On 1/27/2012, pursuant to the terms of the merger of Regents Bancshares, Inc. (“Regents”) with Grandpoint Capital, Inc., Treasury received $13,214,858.00 (representing the par 

amount together with accrued and unpaid dividends thereon) in respect of the preferred stock (including that received from the exercise of warrants) that had been issued to Treasury by 

Regents.

63 On 1/27/2012, Tennessee Commerce Bank, Franklin, TN, the banking subsidiary of Tennessee Commerce Bancorp, Inc., was closed by the Tennessee Department of Financial 

Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.

64 On 2/10/2012, SCB Bank, Shelbyville, Indiana, the banking subsidiary of Blue River Bancshares, Inc., was closed by the Office of the Comptroller of the Currency, which appointed the 

Federal Deposit Insurance Corporation (FDIC) as receiver.

65 On 2/10/2012, Treasury entered into an agreement with Broadway Financial Corporation to exchange Treasury’s $15,000,000 of preferred stock for common stock. The exchange is 

subject to the fulfillment by Broadway Financial Corporation of certain conditions, including the satisfactory completion of a capital plan.

66 On 4/20/2012, Fort Lee Federal Savings Bank, FSB, Fort Lee, New Jersey, was closed by the Office of the Comptroller of the Currency, which appointed the Federal Deposit Insurance 

Corporation (FDIC) as receiver.

67 As a result of the acquisition of Community Holding Company of Florida, Inc. (the acquired company) by Community Bancshares of Mississippi, Inc. (the acquiror), the preferred stock 

and exercised warrants issued by the acquired company on 2/6/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the terms of an agreement among 

Treasury, the acquired company and the acquiror entered into on 7/19/2012.

68 On 7/13/2012, Glasgow Savings Bank, Glasgow, MO, the banking subsidiary of Gregg Bancshares, Inc. , was closed by the Missouri Division of Finance, which appointed the Federal 

Deposit Insurance Corporation (FDIC) as receiver.

69 On 7/27/2012, Treasury entered into an agreement with Pinnacle Bank Holding Company, Inc. (“Pinnacle”) pursuant to which Treasury agreed to sell its CPP preferred stock back to 

Pinnacle at a discount subject to the satisfaction of the conditions specified in the agreement.

70 On 10/19/2012, GulfSouth Private Bank, Destin, Florida, was closed by the Florida Office of Financial Regulation, which appointed the Federal Deposit Insurance Corporation (FDIC) as 

receiver.

71 On 10/19/2012, Excel Bank, Sedalia, Missouri, the banking subsidiary of Investors Financial Corporation of Pettis County, Inc., was closed by the Missouri Division of Finance, which 

appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.

72 On 10/25/2012, pursuant to the terms of the merger of First Community Bancshares, Inc. ("First Community") and Equity Bancshares, Inc. ("Equity"), Treasury received a like amount of 

preferred stock and exercised warrants from Equity in exchange for Treasury's original investment in First Community, plus accrued and unpaid dividends, pursuant to a placement 

agency agreement executed on 10/23/2012.

73 On 10/29/2012, First Place Financial Corp. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Delaware.

74 On 2/22/2013, Treasury completed the exchange of its Standard Bancshares, Inc. preferred stock for common stock, pursuant to an exchange agreement, dated as of 11/5/2012, with 

Standard Bancshares, Inc., and immediately sold the resulting Standard Bancshares, Inc. common stock, pursuant to securities purchase agreements, each dated as of 11/5/2012, with 

W Capital Partners II, L.P., Trident SBI Holdings, LLC, PEPI Capital, LP, LCB Investment, LLC, Cohesive Capital Partners, L.P., and Athena Select Private Investment Fund LLC.

75 On 11/2/2012, Citizens First National Bank, Princeton, IL, the banking subsidiary of Princeton National Bancorp, was closed by the Office of the Comptroller of the Currency, and the 

Federal Deposit Insurance Corporation (FDIC) was named Receiver.
Footnote Footnote Description

76 On 11/13/2012, Treasury entered into an agreement with Community Financial Shares, Inc. (“CFS”) pursuant to which Treasury agreed to sell its CPP preferred stock back to CFS at a 

discount subject to the satisfaction of the conditions specified in the agreement.

77 In connection with the merger of Fidelity Bancorp, Inc. (“Fidelity”) and WesBanco, Inc. (“WesBanco”) effective 01/01/2012, Treasury (i) sold to WesBanco all of the preferred stock that 

had been issued by Fidelity to Treasury for a purchase price of $7,000,000 plus accrued dividends and (ii) exchanged the Fidelity warrant held by Treasury for a like WesBanco warrant, 

pursuant to the terms of an agreement among Treasury and WesBanco entered into on 11/28/2012.

78 On 11/30/12, Western Reserve Bancorp, Inc. was acquired by an affiliate of Westfield Bancorp, Inc. Pursuant to the terms of the merger, each outstanding share of Series A and Series 

B preferred stock issued to Treasury was redeemed for the respective principal amount together with accrued and unpaid dividends thereon.

79 On 2/20/2013, Treasury sold its CPP preferred stock and warrant issued by First Sound Bank (“First Sound”) back to First Sound for an aggregate purchase price of $3,700,000, 

pursuant to the terms of the agreement between Treasury and First Sound entered into on 11/30/2012.

80 On 4/9/2013, Treasury sold its CPP preferred stock and warrant issued by PremierWest Bancorp (“PremierWest”) pursuant to an agreement with PremierWest and Starbuck 

Bancshares, Inc. (“Starbuck”) entered into on 12/11/2012.

81 In connection with the merger of Community Financial Corporation (“Community Financial”) and City Holding Company (“City Holding”) effective 1/09/13, Treasury (i) sold to City Holding 

all of the preferred stock that had been issued by Community Financial to Treasury for a purchase price of $12,643,000 plus accrued dividends and (ii) exchanged the Community 

Financial warrant held by Treasury for a like City Holding warrant, pursuant to the terms of an agreement among Treasury and City Holding entered into on 1/09/13.

82 On 1/29/2013, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 9,950 shares of Coastal Banking Company, Inc. Preferred stock at $815.00 

per share (less a placement agent fee) for net proceeds of $8,028,157.50. On 2/6/2013, the placement agent notified Coastal Banking Company, Inc. that, pursuant to the placement 

agency agreement, it was terminating the transaction and, therefore, Treasury did not receive any proceeds or pay any fees in connection with the transaction.

83 On 2/15/2013, Treasury sold its CPP preferred stock and warrant issued by BancTrust Financial Group, Inc. (“BancTrust”) pursuant to an agreement with BancTrust and Trustmark 

Corporation (“Trustmark”) entered into on 02/11/2013.

84 On 8/14/2013, Treasury sold its CPP preferred stock issued by Florida Bank Group, Inc. (“FBG”) back to FBG for an aggregate purchase price of $8,000,000, pursuant to the terms of 

the agreement between Treasury and FBG entered into on 2/12/13.

85 On 2/15/2013, pursuant to the terms of the merger of Pacific International Bancorp, Inc. (“Pacific International”) with BBCN Bancorp, Inc. (“BBCN”), Treasury received $7,474,619.97 

(representing the par amount together with accrued and unpaid dividends thereon) in respect of the preferred stock that had been issued to Treasury by Pacific International. Treasury 

exchanged its Pacific International warrant for an equivalent warrant issued by BBCN.

86 On 4/12/2013, Treasury completed (i) the sale of its CPP preferred in Citizens Republic Bancorp, Inc. (Citizens Republic) to FirstMerit Corporation (FirstMerit) and (ii) the exchange of its 

warrant in Citizens Republic for a warrant issued by FirstMerit, pursuant to a securities purchase agreement, dated as of 2/19/13, among Treasury, FirstMerit and Citizens Republic.

87 On 4/11/2013, Treasury completed the exchange of its First Security Group, Inc. (FSGI) preferred stock for common stock, pursuant to an exchange agreement, dated as of 2/25/2013, 

between Treasury and FSGI, and sold the resulting FSGI common stock, pursuant to securities purchase agreements, each dated as of 4/9/2013, between Treasury and the purchasers 

party thereto.

88 On 3/19/2013, Treasury exercised its warrant on a cashless basis and received (i) 186,589 shares of common stock and (ii) $71.62 in cash in lieu of fractional shares. Treasury sold 

such shares of common stock on 3/19/2013.

89 As a result of the acquisition of ECB Bancorp, Inc. by Crescent Financial Bancshares, Inc., the preferred stock and warrant issued by ECB Bancorp, Inc. were exchanged for a like 

amount of securities of Crescent Financial Bancshares, Inc., pursuant to the terms of an agreement among Treasury, ECB Bancorp, Inc., and Crescent Financial Bancshares, Inc. 

entered into on 4/1/2013.

90 As a result of the merger of Annapolis Bancorp, Inc. into F.N.B. Corporation, the warrant issued by Annapolis Bancorp, Inc. was exchanged for a like warrant issued by F.N.B. 

Corporation, pursuant to the terms of an agreement among Treasury, Annapolis Bancorp, Inc., and F.N.B. Corporation entered into on 4/6/2013.
Footnote Footnote Description

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.

94 On 8/12/2013, Anchor BanCorp Wisconsin Inc. ( “Anchor”) filed a voluntary petition for Chapter 11 protection in the U.S. Bankruptcy Court for the Western District of Wisconsin to 

implement a “pre-packaged” Plan of Reorganization in order to facilitate the restructuring of Anchor. On 9/27/ 2013, the Plan of Reorganization became effective in accordance with its 

terms, pursuant to which (i) Treasury’s preferred stock was exchanged for 60,000,000 shares of common stock (the “Common Stock”) and (ii) Treasury’s warrant was cancelled. On 

9/27/2013, Treasury sold the Common Stock to purchasers pursuant to securities purchase agreements entered into on 9/19/2013. 

95 On 7/5/2013, Rogers Bancshares, Inc. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the Eastern District of Arkansas. 

96 On 8/22/2013, Treasury exchanged its preferred stock in Broadway Financial Corporation for 10,146 shares of common stock equivalent representing (i) 50% of the liquidation 

preference of the preferred stock, plus (ii) 100% of previously accrued and unpaid dividends on the preferred stock ($2,646,000). The common stock equivalent will be converted to 

common stock upon the receipt of certain shareholder approvals.

97 This institution has entered into bankruptcy or receivership. For a full list of institutions that have entered bankruptcy or receivership and Treasury's remaining investments, reference 

appendices B and C in the section titled “Capital Purchase Program Institutions” in the most recent report to congress found on Treasury’s website: 

http://www.treasury.gov/initiatives/financial-stability/reports/Pages/Monthly-Report-to-Congress.aspx.

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.
Page 29 of 46

Pricing Mechanism6 Number of Shares Proceeds7

4/26/2010 -

5/26/2010

1

$4.1217 1,500,000,000 $ 6,182,493,158 

5/26/2010 - 

6/30/2010

2

$3.8980 1,108,971,857 $ 4,322,726,825 

7/23/2010 - 

9/30/2010

3

$3.9090 1,500,000,000 $ 5,863,489,587 

10/19/2010 - 

12/6/2010

4

$4.2609 1,165,928,228 $ 4,967,921,811 

12/6/2010

5

$4.3500 2,417,407,607 $ 10,515,723,090 

Total Proceeds: $31,852,354,471

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.

CAPITAL PURCHASE PROGRAM - CITIGROUP, INC.

COMMON STOCK DISPOSITION

Date

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.
Page 30 of 46

Name of Institution City State Investment Description Amount from CPP Additional Investment Investment Amount 

 Pricing 

Mechanism Amount

Remaining Investment 

Amount

1 7/30/2010 Guaranty Capital Corporation Belzoni MS Subordinated Debentures $ 14,000,000 $ - $ 14,000,000 Par 

1, 2 7/30/2010 University Financial Corp, Inc. St. Paul MN Subordinated Debentures $ 11,926,000 $ 10,189,000 $ 22,115,000 Par 11/28/2012 6 $22,115,000 $0

1, 2 8/6/2010 Southern Bancorp, Inc. Arkadelphia AR Preferred Stock $ 11,000,000 $ 22,800,000 $ 33,800,000 Par 

1, 4 8/13/2010 Premier Bancorp, Inc. Wilmette IL Subordinated Debentures $ 6,784,000 $ - $ 6,784,000 Par 1/29/2013 4 $79,900 $0

1 8/13/2010 Preferred Stock $ 7,462,000 $ - Par 

2a 9/17/2010 Preferred Stock $ - $ 4,379,000 $ 11,841,000 Par 

1 8/13/2010 PGB Holdings, Inc. Chicago IL Preferred Stock $ 3,000,000 $ - $ 3,000,000 Par 

1 8/13/2010 First American International Corp. Brooklyn NY Preferred Stock $ 17,000,000 $ - $ 17,000,000 Par 

1 8/13/2010 Tri-State Bank of Memphis Memphis TN Preferred Stock $ 2,795,000 $ - $ 2,795,000 Par 

1 8/20/2010 Preferred Stock $ 5,500,000 $ - Par 

2a 9/24/2010 Preferred Stock $ - $ 4,836,000 $ 10,336,000 Par 

1 8/20/2010 M&F Bancorp, Inc. Durham NC Preferred Stock $ 11,735,000 $ - $ 11,735,000 Par 

1, 3 8/27/2010 Carver Bancorp, Inc New York NY Common Stock $ 18,980,000 $ - $ 18,980,000 Par 

9/3/2010 Kilmichael Bancorp, Inc. Kilmichael MS Subordinated Debentures $ - $ - $ 3,154,000 Par 

1 9/3/2010 United Bancorporation of Alabama, Inc. Atmore AL Preferred Stock $ 10,300,000 $ - $ 10,300,000 Par 

1 9/3/2010 IBW Financial Corporation Washington DC Preferred Stock $ 6,000,000 $ - $ 6,000,000 Par 

1, 2 9/10/2010 IBC Bancorp, Inc. Chicago IL Subordinated Debentures $ 4,205,000 $ 3,881,000 $ 8,086,000 Par 

9/17/2010 CFBanc Corporation Washington DC Preferred Stock $ - $ - $ 5,781,000 Par 

9/17/2010 American Bancorp of Illinois, Inc. Oak Brook IL Subordinated Debentures $ - $ - $ 5,457,000 Par 

9/17/2010 Hope Federal Credit Union Jackson MS Subordinated Debentures $ - $ - $ 4,520,000 Par 

9/17/2010 Genesee Co-op Federal Credit Union Rochester NY Subordinated Debentures $ - $ - $ 300,000 Par 

1 9/17/2010 First Eagle Bancshares, Inc. Hanover Park IL Subordinated Debentures $ 7,875,000 $ - $ 7,875,000 Par 

1, 2 9/24/2010 Liberty Financial Services, Inc. New Orleans LA Preferred Stock $ 5,645,000 $ 5,689,000 $ 11,334,000 Par 

1, 7 9/24/2010 First Choice Bank Cerritos CA Preferred Stock $ 5,146,000 $ - $ 5,146,000 Par 5/1/2013 7 $5,146,000 $0

9/24/2010 Bainbridge Bancshares, Inc. Bainbridge GA Preferred Stock $ - $ - $ 3,372,000 Par 

9/24/2010 Virginia Community Capital, Inc. Christiansburg VA Subordinated Debentures $ - $ - $ 1,915,000 Par 

9/24/2010 Lower East Side People's Federal Credit Union New York NY Subordinated Debentures $ - $ - $ 898,000 Par 

6 9/24/2010 Atlantic City Federal Credit Union Lander WY Subordinated Debentures $ - $ - $ 2,500,000 Par 9/26/2012 6 $2,500,000 $0

9/24/2010 Neighborhood Trust Federal Credit Union New York NY Subordinated Debentures $ - $ - $ 283,000 Par 

6 9/24/2010 Gateway Community Federal Credit Union Missoula MT Subordinated Debentures $ - $ - $ 1,657,000 Par 10/17/2012 6 $1,657,000 $0

9/24/2010 Union Baptist Church Federal Credit Union Fort Wayne IN Subordinated Debentures $ - $ - $ 10,000 Par 

9/24/2010 Buffalo Cooperative Federal Credit Union Buffalo NY Subordinated Debentures $ - $ - $ 145,000 Par 

9/24/2010 Tulane-Loyola Federal Credit Union New Orleans LA Subordinated Debentures $ - $ - $ 424,000 Par 

9/24/2010 Alternatives Federal Credit Union Ithaca NY Subordinated Debentures $ - $ - $ 2,234,000 Par 

9/24/2010 Liberty County Teachers Federal Credit Union Liberty TX Subordinated Debentures $ - $ - $ 435,000 Par 

6 9/24/2010 UNO Federal Credit Union New Orleans LA Subordinated Debentures $ - $ - $ 743,000 Par 9/4/2013 6 $743,000 $0

9/24/2010 Butte Federal Credit Union Biggs CA Subordinated Debentures $ - $ - $ 1,000,000 Par 

9/24/2010 Thurston Union of Low-Income People (TULIP) Cooperative Credit Union Olympia WA Subordinated Debentures $ - $ - $ 75,000 Par 

9/24/2010 Phenix Pride Federal Credit Union Phenix City AL Subordinated Debentures $ - $ - $ 153,000 Par 

9/24/2010 Pyramid Federal Credit Union Tucson AZ Subordinated Debentures $ - $ - $ 2,500,000 Par 

9/24/2010 Cooperative Center Federal Credit Union Berkeley CA Subordinated Debentures $ - $ - $ 2,799,000 Par 

9/24/2010 Prince Kuhio Federal Credit Union Honolulu HI Subordinated Debentures $ - $ - $ 273,000 Par 

9/24/2010 Community First Guam Federal Credit Union Hagatna GU Subordinated Debentures $ - $ - $ 2,650,000 Par 

6 9/24/2010 Brewery Credit Union Milwaukee WI Subordinated Debentures $ - $ - $ 1,096,000 Par 10/3/2012 6 $1,096,000 $0

9/24/2010 Tongass Federal Credit Union Ketchikan AK Subordinated Debentures $ - $ - $ 1,600,000 Par 

9/24/2010 Santa Cruz Community Credit Union Santa Cruz CA Subordinated Debentures $ - $ - $ 2,828,000 Par 

9/24/2010 Northeast Community Federal Credit Union San Francisco CA Subordinated Debentures $ - $ - $ 350,000 Par 

9/24/2010 Fairfax County Federal Credit Union Fairfax VA Subordinated Debentures $ - $ - $ 8,044,000 Par 

1, 2 9/29/2010 Security Federal Corporation Aiken SC Preferred Stock $ 18,000,000 $ 4,000,000 $ 22,000,000 Par 

1, 2 9/29/2010 Community Bank of the Bay Oakland CA Preferred Stock $ 1,747,000 $ 2,313,000 $ 4,060,000 Par 

1, 2 9/29/2010 The First Bancshares, Inc. Hattiesburg MS Preferred Stock $ 5,000,000 $ 12,123,000 $ 17,123,000 Par 

1, 2 9/29/2010 BancPlus Corporation Ridgeland MS Preferred Stock $ 50,400,000 $ 30,514,000 $ 80,914,000 Par 

1 9/29/2010 First M&F Corporation Kosciusko MS Preferred Stock $ 30,000,000 $ - $ 30,000,000 Par 8/30/2013 7 $30,000,000 $0

1 9/29/2010 State Capital Corporation Greenwood MS Preferred Stock $ 15,750,000 $ - $ 15,750,000 Par 

1 9/29/2010 Lafayette Bancorp, Inc. Oxford MS Preferred Stock $ 4,551,000 $ - $ 4,551,000 Par 

1, 7 9/29/2010 PSB Financial Corporation Many LA Preferred Stock $ 9,734,000 $ - $ 9,734,000 Par 12/28/2012 7 $9,734,000 $0

1 9/29/2010 Community Bancshares of Mississippi, Inc. Brandon MS Preferred Stock $ 54,600,000 $ - $ 54,600,000 Par 

1 9/29/2010 First Vernon Bancshares, Inc. Vernon AL Preferred Stock $ 6,245,000 $ - $ 6,245,000 Par 

Citizens Bancshares Corporation Atlanta GA

Mission Valley Bancorp Sun Valley CA

COMMUNITY DEVELOPMENT CAPITAL INITIATIVE

Footnote Purchase Date 

Seller Purchase Details Disposition Details

Date
Page 31 of 46

Name of Institution City State Investment Description Amount from CPP Additional Investment Investment Amount 

 Pricing 

Mechanism Amount

Remaining Investment 

Footnote Purchase Date Amount

Seller Purchase Details Disposition Details

Date

1 9/29/2010 Security Capital Corporation Batesville MS Preferred Stock $ 17,910,000 $ - $ 17,910,000 Par 

9/29/2010 BankAsiana Palisades Park NJ Preferred Stock $ - $ - $ 5,250,000 Par 10/1/2013 6 $5,250,000 $0

9/29/2010 The Magnolia State Corporation Bay Springs MS Subordinated Debentures $ - $ - $ 7,922,000 Par 

8 9/29/2010 Bancorp of Okolona, Inc. Okolona MS Subordinated Debentures $ - $ - $ 3,297,000 Par 3/13/2013 6 $3,297,000 $0

9/29/2010 Southern Chautauqua Federal Credit Union Lakewood NY Subordinated Debentures $ - $ - $ 1,709,000 Par 

9/29/2010 Fidelis Federal Credit Union New York NY Subordinated Debentures $ - $ - $ 14,000 Par 

9/29/2010 Bethex Federal Credit Union Bronx NY Subordinated Debentures $ - $ - $ 502,000 Par 

9/29/2010 Shreveport Federal Credit Union Shreveport LA Subordinated Debentures $ - $ - $ 2,646,000 Par 

6 9/29/2010 Carter Federal Credit Union Springhill LA Subordinated Debentures $ - $ - $ 6,300,000 Par 2/6/2013 6 $2,500,000 $3,800,000

6 9/29/2010 UNITEHERE Federal Credit Union

(Workers United Federal Credit Union) New York NY Subordinated Debentures $ - $ - $ 57,000 Par 3/20/2013 6 $57,000 $0

9/29/2010 North Side Community Federal Credit Union Chicago IL Subordinated Debentures $ - $ - $ 325,000 Par 

9/29/2010 East End Baptist Tabernacle Federal Credit Union Bridgeport CT Subordinated Debentures $ - $ - $ 7,000 Par 

9/29/2010 Community Plus Federal Credit Union Rantoul IL Subordinated Debentures $ - $ - $ 450,000 Par 

9/29/2010 Border Federal Credit Union Del Rio TX Subordinated Debentures $ - $ - $ 3,260,000 Par 

9/29/2010 Opportunities Credit Union Burlington VT Subordinated Debentures $ - $ - $ 1,091,000 Par 

9/29/2010 First Legacy Community Credit Union Charlotte NC Subordinated Debentures $ - $ - $ 1,000,000 Par 

9/29/2010 Union Settlement Federal Credit Union New York NY Subordinated Debentures $ - $ - $ 295,000 Par 

9/29/2010 Southside Credit Union San Antonio TX Subordinated Debentures $ - $ - $ 1,100,000 Par 10/30/2013 6 $1,100,000 $0

9/29/2010 D.C. Federal Credit Union Washington DC Subordinated Debentures $ - $ - $ 1,522,000 Par 

9/29/2010 Faith Based Federal Credit Union Oceanside CA Subordinated Debentures $ - $ - $ 30,000 Par 

6 9/29/2010 Greater Kinston Credit Union Kinston NC Subordinated Debentures $ - $ - $ 350,000 Par 4/10/2012 6 $350,000 $0

9/29/2010 Hill District Federal Credit Union Pittsburgh PA Subordinated Debentures $ - $ - $ 100,000 Par 

6 9/29/2010 Freedom First Federal Credit Union Roanoke VA Subordinated Debentures $ - $ - $ 9,278,000 Par 6/12/2013 6 $9,278,000 $0

9/29/2010 Episcopal Community Federal Credit Union Los Angeles CA Subordinated Debentures $ - $ - $ 100,000 Par 

9/29/2010 Vigo County Federal Credit Union Terre Haute IN Subordinated Debentures $ - $ - $ 1,229,000 Par 

9/29/2010 Renaissance Community Development Credit Union Somerset NJ Subordinated Debentures $ - $ - $ 31,000 Par 

9/29/2010 Independent Employers Group Federal Credit Union Hilo HI Subordinated Debentures $ - $ - $ 698,000 Par 

9/30/2010 Brooklyn Cooperative Federal Credit Union Brooklyn NY Subordinated Debentures $ - $ - $ 300,000 Par 

Total Purchase Amount $ 570,073,000 Total Capital Repayment Amount $94,902,900

$ 468,466,000

9/ Repayment pursuant to Section 5.11 of the CDCI Exchange Agreement.

4/ On 3/23/2012, Premier Bank, Wilmette, IL, the banking subsidiary of Premier Bancorp, Inc., was closed by the Illinois Department of Financial and Professional Regulation - Division of Banking, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver. On 1/29/2013, UST received $79,900 representing the total amount of 

distributions paid to creditors as a result of the liquidation of Premier Bancorp, Inc.

5/ Repayment pursuant to Section 5 of the CDCI Certificate of Designation.

6/ Repayment pursuant to Section 6.10 of the CDCI Securities Purchase Agreement

7/ Repayment pursuant to Section 5 of the CDCI Exchange Agreement.

8/ Repayment pursuant to Section 6.11 of the CDCI Securities Purchase Agreement.

3/ On 10/28/2011, Treasury completed the exchange of all Carver Bancorp, Inc. ("Carver") preferred stock held by Treasury for 2,321,286 shares of Carver common stock, pursuant to the terms of the agreement between Treasury and Carver entered into on 06/29/2011. Accrued and previously unpaid dividends were paid on the date of the exchange.

TOTAL TREASURY COMMUNITY DEVELOPMENT INITIATIVE (CDCI) INVESTMENT AMOUNT

1/ This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has exchanged its Capital Purchase Program investment for an equivalent amount of investment with Treasury under the CDCI program terms.

2/ Treasury made an additional investment in this institution at the time it entered the CDCI program.

2a/ Treasury made an additional investment in this institution after the time it entered the CDCI program.
Page 32 of 46

12/29/2008 Purchase GMAC Preferred Stock w/ 

Exercised Warrants $ 5,000,000,000 Par 12/30/2009 Exchange for convertible 

preferred stock $ 5,000,000,000 N/A

12/30/2009 Purchase GMAC Convertible Preferred Stock 

w/ Exercised Warrants $ 1,250,000,000 Par 22,

26 12/30/2010 Partial conversion of preferred stock for common stock $ 5,500,000,000 N/A 26

12/30/2009 Purchase GMAC Trust Preferred Securities w/ 

Exercised Warrants $ 2,540,000,000 Par 3/1/2011

Exchange for amended and 

restated Trust Preferred 

Securities

$ 2,670,000,000 N/A 27 GMAC (Ally) 27 Trust Preferred 

Securities $ 2,670,000,000 3/2/2011 Disposition 28 $ 2,667,000,000 N/A $ 0 

12/29/2008 Purchase General Motors 

Corporation Debt Obligation $ 884,024,131 Par 2 5/29/2009 Exchange for equity interest in GMAC $ 884,024,131 N/A 3

7/10/2009 Exchange for preferred and 

common stock in New GM $ 13,400,000,000 N/A 7

4/22/2009 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note $ 2,000,000,000 Par 4 7/10/2009 Exchange for preferred and common stock in New GM $ 2,000,000,000 N/A 7 General Motors 

Company

10, 11, 

24 Preferred Stock $ 2,100,000,000 12/15/2010 Repayment $ 2,139,406,778 N/A $ 0 

11/18/2010 Partial Disposition 25 $ 11,743,303,903 Common Stock 36.9%

11/26/2010 Partial Disposition 25 $ 1,761,495,577 Common Stock 32.04%

12/21/2012 Partial Disposition 33 $ 5,500,000,000 Common Stock 21.97%

4/11/2013 Partial Disposition 34 $ 1,637,839,844 Common Stock 17.69%

6/12/2013 Partial Disposition 35 $ 1,031,700,000 Common Stock 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%

12/9/2013 Partial Disposition 39 $ 1,208,249,982 Common Stock 0.00%

7/10/2009 Partial Repayment $ 360,624,198 Debt Obligation $ 6,711,864,407 

12/18/2009 Partial Repayment $ 1,000,000,000 Debt Obligation $ 5,711,864,407 

1/21/2010 Partial Repayment $ 35,084,421 Debt Obligation $ 5,676,779,986 

3/31/2010 Partial Repayment $ 1,000,000,000 Debt Obligation $ 4,676,779,986 

4/20/2010 Repayment $ 4,676,779,986 N/A $ 0 

6/3/2009 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note $ 30,100,000,000 Par 8 7/10/2009 Exchange for preferred and common stock in New GM $ 22,041,706,310 N/A 9

7/10/2009 Transfer of debt to New GM $ 7,072,488,605 N/A 9

7/10/2009 Debt left at Old GM $ 985,805,085 N/A 9 Motors Liquidation 

Company

29 Debt Obligation $ 985,805,085 3/31/2011 Partial Repayment $ 50,000,000 Debt Obligation $ 935,805,085 

4/5/2011 Partial Repayment $ 45,000,000 Debt Obligation $ 890,805,085 

5/3/2011 Partial Repayment $ 15,887,795 Debt Obligation $ 874,917,290 

12/16/2011 Partial Repayment $ 144,444 Debt Obligation $ 874,772,846 

12/23/2011 Partial Repayment $ 18,890,294 Debt Obligation $ 855,882,552 

1/11/2012 Partial Repayment $ 6,713,489 Debt Obligation $ 849,169,063 

10/23/2012 Partial Repayment $ 435,097 Debt Obligation $ 848,733,966 

5/22/2013 Partial Repayment $ 10,048,968 Debt Obligation $ 838,684,999 

9/20/2013 Partial Repayment $ 11,832,877 Debt Obligation $ 826,852,122 

12/27/2013 Partial Repayment $ 410,705 Debt Obligation $ 826,441,417 

1/9/2013 Partial Repayment $ 470,269 Debt Obligation $ 825,971,148 

1/16/2009 Purchase Chrysler FinCo Debt Obligation w/ Additional 

Note $ 1,500,000,000 Par 13 3/17/2009 Partial Repayment $ 3,499,055

Debt Obligation w/ 

Additional Note $ 1,496,500,945 

4/17/2009 Partial Repayment $ 31,810,122

Debt Obligation w/ 

Additional Note $ 1,464,690,823 

5/18/2009 Partial Repayment $ 51,136,084

Debt Obligation w/ 

Additional Note $ 1,413,554,739 

6/17/2009 Partial Repayment $ 44,357,710

Debt Obligation w/ 

Additional Note $ 1,369,197,029 

11, 12 Debt Obligation $ 7,072,488,605

Chrysler 

FinCo

Farmington 

Hills, MI

6 7/10/2009 Exchange for preferred and 

common stock in New GM $ 360,624,198 N/A 7

General 

Motors Detroit, MI

12/31/2008 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note $ 13,400,000,000

5/27/2009 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note $ 360,624,198 Par

Par

General Motors 

Company

10, 11, 

25 5 7/10/2009 Common Stock 60.8% Exchange for preferred and 

common stock in New GM $ 4,000,000,000 N/A

7

General Motors 

Holdings LLC

Disposition 38 $ 5,925,000,000 N/A

5/21/2009 Purchase GMAC Convertible Preferred Stock 

w/ Exercised Warrants $ 7,500,000,000

GMAC (Ally)

Par

5/20/2009 Purchase General Motors 

Corporation

Debt Obligation w/ Additional 

Note $ 4,000,000,000 Par

GMAC 

(Ally) Detroit, MI

GMAC (Ally) 21, 22 Convertible 

Preferred Stock

22 12/30/2009 Partial conversion of preferred 

stock for common stock $ 3,000,000,000 N/A

Description Amount

Pricing 

Mechanism Date Type

3, 26, 

32, 38 Common Stock 63.45%

$ 5,937,500,000 11/20/2013 $ 0 

AUTOMOTIVE INDUSTRY FINANCING PROGRAM

Initial Investment Exchange/Transfer/Other Details Treasury Investment After Exchange/Transfer/Other Payment or Disposition1

City, State Date Transaction Type

Remaining 

Investment 

Amount/Equity % Date Type Amount/ Proceeds Amount/Equity %

Remaining 

Investment 

Amount Description

Pricing 

Seller Mechanism Obligor Description
Page 33 of 46

7/14/2009 Repayment $ 1,369,197,029 Additional Note $ 0 

7/14/2009 Repayment* $ 15,000,000 N/A -

1/2/2009 Purchase Chrysler Holding Debt Obligation w/ Additional 

Note $ 4,000,000,000 Par 6/10/2009 Transfer of debt to New Chrysler $ 500,000,000 N/A 19 Chrysler Holding 20 Debt obligation w/ additional note $ 3,500,000,000 5/14/2010 $ 1,900,000,000 N/A -

4/29/2009 Purchase Chrysler Holding Debt Obligation w/ Additional 

Note $ - - 14

4/29/2009 Purchase Chrysler Holding Debt Obligation w/ Additional 

Note $ 280,130,642 Par 15 7/10/2009 Repayment $ 280,130,642 N/A $ 0 

5/1/2009 Purchase Old Chrysler Debt Obligation w/ Additional 

Note $ 1,888,153,580 16 4/30/2010 $ (1,888,153,580) N/A 23 Old Carco Liquidation Trust

23 Right to recover 

proceeds N/A 5/10/2010 Proceeds from sale of collateral $ 30,544,528 Right to recover proceeds N/A

5/20/2009 Purchase Old Chrysler Debt Obligation w/ Additional 

Note $ - - 17 9/9/2010 Proceeds from sale of collateral $ 9,666,784 Right to recover proceeds N/A 

12/29/2010 Proceeds from sale of collateral $ 7,844,409 Right to recover 

proceeds N/A 

4/30/2012 Proceeds from sale of collateral $ 9,302,185 Right to recover 

proceeds N/A 

5/27/2009 Purchase New Chrysler

Debt Obligation w/ Additional 

Note, Zero Coupon Note, 

Equity

$ 6,642,000,000 N/A

18

6/10/2009 Issuance of equity in New 

Chrysler $ - N/A Chrysler Group LLC

19, 31 Debt obligation w/ 

additional note & 

zero coupon note

$ 7,142,000,000 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

Chrysler Group 

LLC

30 Common equity 6.6% 7/21/2011 Disposition $ 560,000,000 N/A - 

Total Initial Investment Amount $ 81,344,932,551 Total Payments $ 50,681,433,962

$ 403,000,000

Total Treasury Investment Amount

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.

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. 

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. 

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. 

"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.)

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).

 $ 0 

Additional Proceeds *

 $ 25,109,805,009 

Footnotes appear on following page.

As used in this table and its footnotes:

Chrysler Auburn Hills, 

MI

Termination and settlement 

payment 20

Completion of bankruptcy 

proceeding; transfer of 

collateral security to liquidation 

trust

N/A
Page 34 of 46

City State

Adjustment 

Amount Date Type Remaining Investment 

Description Amount

11/20/2009

Partial 

repayment Debt Obligation w/ Additional Note $ 140,000,000 

2/11/2010

Partial 

repayment Debt Obligation w/ Additional Note $ 100,000,000 

3/4/2010 Repayment5 Additional Note $ 50,000,000 

6

4/5/2010 Payment6 None $ 56,541,893 

7/8/2009 3 $ (500,000,000) 3/9/2010 Repayment5 Additional Note $ 123,076,735 

7 4/7/2010 Payment7 None $ 44,533,054 

$ 5,000,000,000 $ 101,074,947

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.

Total Proceeds from Additional Notes

1/ The loan was funded through GM Supplier Receivables, LLC, a special purpose vehicle created by General Motors Corporation. The amount of $3,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/3/2009. General Motors Company assumed GM Supplier 

2/ The loan was funded through Chrysler Receivables SPV LLC, a special purpose vehicle created by Chrysler LLC. The amount of $1,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/7/2009. Chrysler Group LLC assumed Chrysler Receivables SPV LLC on 

3/ Treasury issued notice to the institution of the permanent reduced commitment on 7/8/2009; the reduction was effective on 7/1/2009.

4/ Does not include accrued and unpaid interest due on the amount of principal repayment, which interest must be paid at the time of principal repayment.

5/ All outstanding principal drawn under the credit agreement was repaid.

N/A $ 1,000,000,000

$ 123,076,735

INITIAL TOTAL ADJUSTED TOTAL $ 413,076,735 Total Repayments $ 413,076,735

$ 2,500,000,000

$ 290,000,000

2 4/9/2009 Chrysler Receivables SPV LLC Wilmington DE Purchase Debt Obligation w/ 

Additional Note $ 1,500,000,000

Debt Obligation w/ 

Additional Note $ 3,500,000,000 N/A

7/8/2009 3 $ (1,000,000,000)

1 4/9/2009 GM Supplier Receivables LLC Wilmington DE Purchase

Pricing Mechanism

Adjustment Details Payment or Disposition4

Name of Institution

Adjustment 

Date

Adjusted or Final 

Investment Amount

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 

AUTOMOTIVE SUPPLIER SUPPORT PROGRAM

Footnote Date

Seller

Transaction Type

Investment 

Description 

Investment 

Amount

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.

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.

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.

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.

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.
Pricing Mechanism1 Number of Shares Proceeds2

01/18/13 – 

04/17/13

3

$28.0490 58,392,078 $ 1,637,839,844 

05/6/13 – 

9/13/2013

4

$34.6461 110,336,510 $ 3,822,724,832 

9/26/13 – 

11/20/13

5

$36.5087 70,214,460 $ 2,563,441,956 

11/21/2013 - 

12/9/2013

6

$38.8228 31,122,206 $ 1,208,249,982 

Total Proceeds: $9,232,256,614

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.

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.

AUTOMOTIVE INDUSTRY FINANCING PROGRAM - GENERAL MOTORS COMPANY

COMMON STOCK DISPOSITION

Date

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.
Page 36 of 46

Date Name of Institution City State

Capital 

Repayment Date

Capital Repayment 

Amount

Remaining 

Capital Amount

Remaining Capital 

Description Final Disposition Date 3

Final 

Disposition 

Description

Final Disposition 

Proceeds

1 12/31/2008 Citigroup Inc. New York NY Purchase

Trust Preferred 

Securities w/ Warrants $ 20,000,000,000 Par 12/23/2009 2 $ 20,000,000,000 $ 0 Warrants 1/25/2011 A Warrants $ 190,386,428 

1/16/2009

Bank of America 

Corporation Charlotte NC Purchase

Preferred Stock w/ 

Warrants $ 20,000,000,000 Par 12/9/2009

2

 $ 20,000,000,000 $ 0 Warrants 3/3/2010 A Warrants $ 1,236,804,513 

TOTAL $ 40,000,000,000 $ 40,000,000,000 $ 1,427,190,941 

$ 0

Date Name of Institution City State

2 6/9/2009 Exchange preferred stock 

for trust preferred securities

Trust Preferred 

Securities w/ Warrants 3 12/23/2009 Partial cancellation for early 

termination of guarantee $ (1,800,000,000) Trust Preferred 

Securities w/ Warrants $2,234,000,000 

5 9/30/2010 Disposition $ 2,246,000,000 Warrants $ 0

1/25/2011 Warrant Auction $ 67,197,045 None $ 0

12/23/2009 Citigroup Inc. New York NY Termination Termination Agreement $ (5,000,000,000)

6 12/28/2012 Trust preferred securities 

received from the FDIC

Trust Preferred 

Securities

7 2/4/2013

Exchange Trust preferred 

securities for subordinated 

note

Subordinated Note 8 2/8/2013 Disposition $894,000,000.00 None $ 0

TOTAL $ 0 Total Proceeds $ 3,207,197,045 

Exchange trust preferred 

securities for trust preferred 

securities

4 9/29/2010 $ 2,246,000,000 

1 1/16/2009 Citigroup Inc. $ 4,034,000,000 

Trust Preferred 

Securities w/ Warrants

New York NY Master Agreement $ 5,000,000,000 Preferred Stock 

w/ Warrants

 

AMOUNT Total Warrant Proceeds

TOTAL TREASURY TIP INVESTMENT AMOUNT

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.

Footnote

2/ Repayment pursuant to Title VII, Section 7001 of the American Recovery and Reinvestment Act of 2009.

Description

ASSET GUARANTEE PROGRAM

Footnote

Initial Investment Premium Exchange/Transfer/Other Details Payment or Disposition

Seller

Type Description

TARGETED INVESTMENT PROGRAM

Footnote

Seller

Transaction 

Type Investment Description Investment Amount

Pricing 

Mechanism

Capital Repayment Details

Treasury Investment Remaining After Capital 

Repayment Final Disposition

Remaining Premium 

Description

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.

 $ 4,034,000,000 

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. 

Type

Remaining 

Description Amount Footnote Date Amount Premium 

Guarantee

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.

Guarantee Limit Date Type Amount

 $ 894,000,000.00 

3

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.

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. 

 $ 800,000,000.00 

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.
Page 37 of 46

Seller 

Name of Institution City State 

Transaction 

Type Investment Amount Date Transaction Type Amount

Pricing 

Mechanism

4/17/2009 Exchange

Preferred Stock w/ Warrants 

(Series E) 1 $ 40,000,000,000 Par 

2, 3 4/17/2009 AIG New York NY Purchase $ 29,835,000,000 Par 2

TOTAL $ 69,835,000,000 Date Transaction Type Proceeds

3/1/2013 Repurchase $ 25,150,923.10

3/1/2013 Repurchase $ 5,767.50

Total Warrant Proceeds

Note Date Investment Description Date Transaction Type Pricing Mechanism

$ 2,000,000,000 5/27/2011 Cancellation N/A $ 0 10

2/14/2011 Payment Par

3/8/2011 Payment Par

3/15/2011 Payment Par

8/17/2011 Payment Par

8/18/2011 Payment Par

9/2/2011 Payment Par

11/1/2011 Payment Par

3/8/2012 Payment Par

3/15/2012 Payment Par

3/22/2012 Payment Par

2/14/2011 Payment Par

3/8/2011 Payment Par

3/15/2012 Payment Par

1,455,037,962

77%

1,248,141,410

70%

1,084,206,984

63%

1,059,616,821

61%

895,682,395

55%

871,092,231

53%

317,246,078

22%

234,169,156

16%

234,169,156

0%

Footnotes appear on following page.

1/14/2011 Common Stock (non-TARP) Transfer

N/A Common Stock

 562,868,096

12/14/2012 Final Disposition $ 7,610,497,570 N/A

6

15

13

 924,546,133

5/7/2012 Partial Disposition $ 749,999,972 N/A 12

8/3/2012 Partial Disposition $ 4,999,999,993 N/A 13

9/10/2012 Partial Disposition $ 17,999,999,973 N/A 14

8/6/2012 Partial Disposition $ 750,000,002 N/A

Partial Disposition $ 2,699,999,965 N/A 14

5 1/14/2011 Preferred Stock (Series E) Exchange

3/8/2012 Partial Disposition $ 6,000,000,008 N/A 11

5/6/2012 Partial Disposition $ 4,999,999,993 N/A 12

5/24/2011 Partial Disposition $ 5,800,000,000

Pricing Mechanism Investment Description Amount / Shares

Remaining Recap 

Investment Amount, 

Shares, or Equity %

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.

Proceeds 8

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.

AIG POST-RECAPITALIZATION

Recapitalization

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.

AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM

(formerly referred to as Systemically Significant Failing Institutions Program)

Note Date 

Purchase Details Exchange/Transfer Details

Investment Description Pricing Mechanism Investment Description

N/A 9

4 1/14/2011

Preferred Stock (Series G)

$ 55,885,302

Exchange N/A

1 11/25/2008 AIG New York NY Preferred Stock w/ Warrants 

(Series D) Purchase $ 40,000,000,000 Par

Preferred Stock w/ Warrants See table below for exchange/transfer details in connection with the recapitalization conducted on 1/14/2011.

(Series F)

$ 25,156,690.60

Treasury Holdings Post-Recapitalization Final Disposition

Transaction Type

$ 0 8

$ 971,506,765

$ 5,576,121,382

$ 1,521,632,096

AIA Preferred Units $ 16,916,603,568 7

$ 1,493,250,339

$ 0 8

ALICO Junior Preferred Interests $ 3,375,328,432 7

$ 44,941,843

$ 97,008,351

$ 2,153,520,000

Investment

Warrants (Series D)

Warrants (Series F)

Final Disposition

 167,623,733

9/11/2012

Preferred Stock (Series F)

Exchange Par

Exchange

$ -

$ 185,726,192

$ 2,009,932,072

$ 5,511,067,614

$ 1,383,888,037

$ 55,833,333
Page 38 of 46

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. 

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.

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.

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.

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.

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.

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.
Page 39 of 46

Name of Institution City State Amount Date Description Amount

7/19/2010 2 $ 4,300,000,000

2/6/2013 Contingent Interest Proceeds $ 212,829,610

3/6/2013 Contingent Interest Proceeds $ 97,594,053

4/4/2013 Contingent Interest Proceeds $ 6,069,968

5/6/2013 Contingent Interest Proceeds $ 4,419,259

6/6/2013 Contingent Interest Proceeds $ 96,496,772

7/5/2013 Contingent Interest Proceeds $ 11,799,670

8/6/2013 Contingent Interest Proceeds $ 66,072,965

9/6/2013 Contingent Interest Proceeds $ 74,797,684

10/4/2013 Contingent Interest Proceeds $ 1,114,074

11/6/2013 Contingent Interest Proceeds $ 933,181

12/5/2013 Contingent Interest Proceeds $ 1,102,424

1/7/2014 Contingent Interest Proceeds $ 1,026,569

Total Investment Amount $ 100,000,000 Total Repayment Amount 5 $ 674,256,229

5/ Repayment amounts do not include accrued interest proceeds received on 2/6/2013, which are reflected on the Dividends & Interest Report.

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.

Purchase Debt Obligation w/ Additional Note

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. 

$ 20,000,000,000 N/A $ 100,000,000

2/6/2013 Principal Repayment $ 100,000,000

6/28/2012 3 $ 1,400,000,000

1/15/2013 4 $ 100,000,000

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.

1 3/3/2009 TALF LLC Wilmington DE

CREDIT MARKET PROGRAMS

TERM ASSET-BACKED SECURITIES LOAN FACILITY

Footnote Date

Seller Transaction 

Type Investment Description Investment Amount Pricing Mechanism

Adjusted Investment

Final Investment Amount

Repayment 5

Date
Page 40 of 46

Date

Purchase Face 

Amount 3 Pricing Mechanism 

TBA or 

PMF3 Settlement Date

Investment Amount 2, 

3

Senior Security 

Proceeds 4 Trade Date PMF6

Purchase Face 

Amount 3

Current Face 

Amount 6, 8

Life-to-date 

Principal Received 

1, 8

Disposition 

Amount 5, 6

3/19/2010 $ 4,070,000 107.75 - 3/24/2010 $ 4,377,249 $ 2,184 6/21/2011 - $ 4,070,000 $ 3,151,186 $ 902,633 $ 3,457,746

3/19/2010 $ 7,617,617 109 - 3/24/2010 $ 8,279,156 $ 4,130 10/19/2011 - $ 7,617,617 $ 5,891,602 $ 1,685,710 $ 6,462,972

3/19/2010 $ 8,030,000 108.875 - 3/24/2010 $ 8,716,265 $ 4,348 6/21/2011 - $ 8,030,000 $ 5,964,013 $ 2,022,652 $ 6,555,383

4/8/2010 $ 23,500,000 110.502 - 5/28/2010 $ 26,041,643 $ 12,983 6/7/2011 - $ 23,500,000 $ 22,350,367 $ 1,149,633 $ 25,039,989

4/8/2010 $ 8,900,014 107.5 - 4/30/2010 $ 9,598,523 $ 4,783 6/7/2011 - $ 8,900,014 $ 6,542,218 $ 2,357,796 $ 7,045,774

5/11/2010 $ 10,751,382 106.806 - 6/30/2010 $ 11,511,052 $ 5,741 6/7/2011 - $ 10,751,382 $ 9,819,270 $ 932,112 $ 10,550,917

5/11/2010 $ 12,898,996 109.42 - 6/30/2010 $ 14,151,229 $ 7,057 6/7/2011 - $ 12,898,996 $ 12,570,392 $ 328,604 $ 13,886,504

5/11/2010 $ 8,744,333 110.798 - 6/30/2010 $ 9,717,173 $ 4,844 6/7/2011 - $ 8,744,333 $ 8,483,188 $ 261,145 $ 9,482,247

5/25/2010 $ 8,417,817 110.125 - 7/30/2010 $ 9,294,363 $ 4,635 6/7/2011 - $ 8,417,817 $ 8,171,159 $ 246,658 $ 8,985,818

5/25/2010 $ 17,119,972 109.553 - 7/30/2010 $ 18,801,712 $ 9,377 9/20/2011 - $ 17,119,972 $ 15,030,712 $ 2,089,260 $ 16,658,561

6/17/2010 $ 34,441,059 110.785 - 8/30/2010 $ 38,273,995 $ 19,077 6/21/2011 - $ 34,441,059 $ 32,656,125 $ 1,784,934 $ 36,072,056

6/17/2010 $ 28,209,085 112.028 - 8/30/2010 $ 31,693,810 $ 15,801 9/20/2011 - $ 28,209,085 $ 25,930,433 $ 2,278,652 $ 29,142,474

7/14/2010 $ 6,004,156 106.625 - 9/30/2010 $ 6,416,804 $ 3,200 6/21/2011 - $ 6,004,156 $ 5,656,049 $ 348,107 $ 6,051,772

7/14/2010 $ 6,860,835 108.505 - 9/30/2010 $ 7,462,726 $ 3,722 10/19/2011 - $ 6,860,835 $ 6,520,875 $ 339,960 $ 7,105,304

7/14/2010 $ 13,183,361 111.86 - 9/30/2010 $ 14,789,302 $ 7,373 6/21/2011 - $ 13,183,361 $ 12,704,841 $ 478,520 $ 14,182,379

7/29/2010 $ 2,598,386 108.4375 - 9/30/2010 $ 2,826,678 $ 1,408 1/24/2012 - $ 2,598,386 $ 1,903,407 $ 694,979 $ 2,052,702

7/29/2010 $ 9,719,455 106.75 - 10/29/2010 $ 10,394,984 $ 5,187 6/21/2011 - $ 9,719,455 $ 9,531,446 $ 188,009 $ 10,223,264

8/17/2010 $ 8,279,048 110.198 - 9/30/2010 $ 9,150,989 $ 4,561 9/20/2011 - $ 8,279,048 $ 6,425,217 $ 1,853,831 $ 7,078,089

8/17/2010 $ 5,000,000 110.088 - 10/29/2010 $ 5,520,652 $ 2,752 10/19/2011 - $ 5,000,000 $ 4,580,543 $ 419,457 $ 5,029,356

8/17/2010 $ 10,000,000 110.821 - 10/29/2010 $ 11,115,031 $ 5,541 10/19/2011 - $ 10,000,000 $ 9,030,539 $ 969,461 $ 9,994,806

8/31/2010 $ 9,272,482 110.515 - 9/29/2010 $ 10,277,319 $ 5,123 9/20/2011 - $ 9,272,482 $ 8,403,846 $ 868,636 $ 9,230,008

8/31/2010 $ 10,350,000 112.476 - 10/29/2010 $ 11,672,766 $ 5,820 10/19/2011 - $ 10,350,000 $ 10,099,555 $ 250,445 $ 11,314,651

8/31/2010 $ 6,900,000 105.875 - 11/30/2010 $ 7,319,688 $ 3,652 1/24/2012 - $ 6,900,000 $ 6,236,800 $ 663,200 $ 6,556,341

9/14/2010 $ 8,902,230 111.584 - 10/29/2010 $ 9,962,039 $ 4,966 1/24/2012 - $ 8,902,230 $ 7,503,681 $ 1,398,549 $ 8,269,277

9/14/2010 $ 8,050,000 110.759 - 11/30/2010 $ 8,940,780 $ 4,458 1/24/2012 - $ 8,050,000 $ 7,053,867 $ 996,133 $ 7,703,610

9/14/2010 $ 5,750,000 106.5 - 11/30/2010 $ 6,134,172 $ 3,061 1/24/2012 - $ 5,750,000 $ 5,473,724 $ 276,276 $ 5,764,858

9/14/2010 $ 5,741,753 110.5 - 11/30/2010 $ 6,361,173 $ 3,172 1/24/2012 - $ 5,741,753 $ 4,307,881 $ 1,433,872 $ 4,693,918

9/28/2010 $ 3,450,000 110.875 - 11/30/2010 $ 3,834,428 $ 1,912 10/19/2011 - $ 3,450,000 $ 3,367,168 $ 82,832 $ 3,698,411

9/28/2010 $ 11,482,421 113.838 - 12/30/2010 $ 13,109,070 $ 6,535 1/24/2012 - $ 11,482,421 $ 10,592,775 $ 889,646 $ 11,818,944

9/28/2010 $ 13,402,491 113.9 - 11/30/2010 $ 15,308,612 $ 7,632 10/19/2011 - $ 13,402,491 $ 12,963,737 $ 438,754 $ 14,433,039

9/28/2010 $ 14,950,000 114.006 - 12/30/2010 $ 17,092,069 $ 8,521 1/24/2012 - $ 14,950,000 $ 14,562,161 $ 387,839 $ 16,383,544

Total Purchase Face Amount $ 332,596,893 Total Senior Security Proceeds $ 183,555 Disposition Proceeds $ 334,924,711

TOTAL INVESTMENT AMOUNT $ 368,145,452 TOTAL PROGRAM PROCEEDS TO DATE7 $ 376,748,302

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.

-

-

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 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 2020 -

-

-

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 2020

Floating Rate SBA 7a security due 2034

-

-

-

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.

CREDIT MARKET PROGRAMS

SBA 7a SECURITIES PURCHASE PROGRAM

Final Disposition

Floating Rate SBA 7a security due 2016 -

Purchase Details 1 Settlement Details

-

Investment Description

TBA or 

PMF3

Floating Rate SBA 7a security due 2025 -

Floating Rate SBA 7a security due 2022 -

-

Floating Rate SBA 7a security due 2026 -

Floating Rate SBA 7a security due 2022 -

Floating Rate SBA 7a security due 2034

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 -

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).

Floating Rate SBA 7a security due 2024 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2035 -

Floating Rate SBA 7a security due 2035 -

Floating Rate SBA 7a security due 2034 -

Floating Rate SBA 7a security due 2021 -

Floating Rate SBA 7a security due 2029
Page 41 of 46

Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

1 9/30/2009 UST/TCW Senior Mortgage Securities Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 1/4/2010 4 $ 156,250,000 1/4/2010 4 $ 156,250,000 $ 156,250,000 1/29/2010 Distribution 5 $ 20,091,872

2/24/2010 Final Distribution 5 $ 48,922

2 9/30/2009 UST/TCW Senior Mortgage Securities Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 1/4/2010 4 $ 200,000,000 1/4/2010 4 $ 200,000,000 $ 200,000,000 1/11/2010 $ 34,000,000 $ 166,000,000

Debt Obligation w/ Contingent 

Proceeds

1/29/2010 Distribution 5

$ 502,302

2/24/2010 Final Distribution 5

$ 1,223

1 9/30/2009 Invesco Legacy Securities Master Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 856,000,000 $ 580,960,000 2/18/2010 $ 2,444,347 $ 578,515,653 Membership Interest 10

4/15/2010 $ 3,533,199 $ 574,982,454 Membership Interest 10

9/15/2010 $ 30,011,187 $ 544,971,267 Membership Interest 10

11/15/2010 $ 66,463,982 $ 478,507,285 Membership Interest 10

12/14/2010 $ 15,844,536 $ 462,662,749 Membership Interest 10

1/14/2011 $ 13,677,726 $ 448,985,023 Membership Interest 10

2/14/2011 $ 48,523,845 $ 400,461,178 Membership Interest 10

3/14/2011 $ 68,765,544 $ 331,695,634 Membership Interest 10

4/14/2011 $ 77,704,254 $ 253,991,380 Membership Interest 10

5/20/2011 $ 28,883,733 $ 225,107,647 Membership Interest 10

6/14/2011 $ 9,129,709 $ 215,977,938 Membership Interest 10

7/15/2011 $ 31,061,747 $ 184,916,192 Membership Interest 10

8/12/2011 $ 10,381,214 $ 174,534,977 Membership Interest 10

10/17/2011 $ 6,230,731 $ 168,304,246 Membership Interest 10

12/14/2011 $ 1,183,959 $ 167,120,288 Membership Interest 10

1/17/2012 $ 1,096,185 $ 166,024,103 Membership Interest 10

2/14/2012 $ 1,601,688 $ 164,422,415 Membership Interest 10

3/14/2012 $ 3,035,546 $ 161,386,870 Membership Interest 10

3/29/2012 Distribution 5 $ 56,390,209

8/9/2012 Distribution 5 $ 1,056,751

9/28/2012 Final Distribution 5 $ 18,772

6/4/2013 Adjusted Distribution5, 13 $ 69,399

7/8/2013 Distribution 5, 14 $ 64,444

2 9/30/2009 Invesco Legacy Securities Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 9/26/2011 8 $ 1,161,920,000 $ 1,161,920,000 2/18/2010 $ 4,888,718 $ 1,157,031,282

Debt Obligation w/ Contingent 

Proceeds

4/15/2010 $ 7,066,434 $ 1,149,964,848

Debt Obligation w/ Contingent 

Proceeds

9/15/2010 $ 60,022,674 $ 1,089,942,174

Debt Obligation w/ Contingent 

Proceeds

11/15/2010 $ 132,928,628 $ 957,013,546

Debt Obligation w/ Contingent 

Proceeds

12/14/2010 $ 31,689,230 $ 925,324,316

Debt Obligation w/ Contingent 

Proceeds

1/14/2010 $ 27,355,590 $ 897,968,726

Debt Obligation w/ Contingent 

Proceeds

2/14/2011 $ 92,300,138 $ 805,668,588

Debt Obligation w/ Contingent 

Proceeds

3/14/2011 $ 128,027,536 $ 677,641,052

Debt Obligation w/ Contingent 

Proceeds

4/14/2011 $ 155,409,286 $ 522,231,766

Debt Obligation w/ Contingent 

Proceeds

5/20/2011 $ 75,085,485 $ 447,146,281

Debt Obligation w/ Contingent 

Proceeds

6/14/2011 $ 18,259,513 $ 428,886,768

Debt Obligation w/ Contingent 

Proceeds

7/15/2011 $ 62,979,809 $ 365,906,960

Debt Obligation w/ Contingent 

Proceeds

8/12/2011 $ 20,762,532 $ 345,144,428

Debt Obligation w/ Contingent 

Proceeds

10/17/2011 $ 37,384,574 $ 307,759,854

Debt Obligation w/ Contingent 

Proceeds

1/15/2010 $ 156,250,000 $ 0 Membership Interest

1/12/2010 $ 166,000,000 $ 0 Contingent Proceeds

3/29/2012 $ 161,386,870 $ 0 Membership Interest 10

CREDIT MARKET PROGRAMS

LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)

Footnote Date

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Investment 

Amount 9 Capital Repayment Details Investment After Capital Repayment Distribution or Disposition
Page 42 of 46

Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

 

Footnote Date

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Investment 

Amount 9 Capital Repayment Details Investment After Capital Repayment Distribution or Disposition

12/14/2011 $ 7,103,787 $ 300,656,067

Debt Obligation w/ Contingent 

Proceeds

1/17/2012 $ 6,577,144 $ 294,078,924

Debt Obligation w/ Contingent 

Proceeds

2/14/2012 $ 9,610,173 $ 284,468,750

Debt Obligation w/ Contingent 

Proceeds

3/29/2012 Distribution 5

$ 3,434,460

8/9/2012 Distribution 5

$ 40,556

9/28/2012 Final Distribution 5 $ 469

6/4/2013 Adjusted Distribution5, 13 $ 1,735

7/8/2013 Distribution 5, 14 $ 1,611

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 7/16/2012 $ 62,499,688 $ 1,086,987,313 Membership Interest 10

9/17/2012 $ 152,499,238 $ 934,488,075 Membership Interest 10

1/15/2013 $ 254,581,112 $ 679,906,963 Membership Interest 10

2/13/2013 $ 436,447,818 $ 243,459,145 Membership Interest 10

3/13/2013 Distribution 5

$ 479,509,240

7/11/2013 Distribution 5, 11 $ 2,802,754

2 10/1/2009 Wellington Management Legacy Securities PPIF Master Fund, LP Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,524,075,000 7/16/2010 $ 2,298,974,000 $ 2,298,974,000 6/26/2012 $ 125,000,000 $ 2,173,974,000

Debt Obligation w/ Contingent 

Proceeds

9/17/2012 $ 305,000,000 $ 1,868,974,000

Debt Obligation w/ Contingent 

Proceeds

12/6/2012 $ 800,000,000 $ 1,068,974,000

Debt Obligation w/ Contingent 

Proceeds

12/21/2012 $ 630,000,000 $ 438,974,000

Debt Obligation w/ Contingent 

Proceeds

1/15/2013 $ 97,494,310 $ 341,479,690

Debt Obligation w/ Contingent 

Proceeds

4/17/2013 Distribution 5, 11 $ 16,195,771

7/11/2013 Distribution 5, 11 $ 69,932

1 10/2/2009 AllianceBernstein Legacy Securities Master Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 1,150,423,500 $ 1,064,141,738 1/15/2010 $ 44,043 $ 1,064,097,694 Membership Interest 10

2/14/2011 $ 712,284 $ 1,063,385,410 Membership Interest 10

3/14/2011 $ 6,716,327 $ 1,056,669,083 Membership Interest 10

4/14/2011 $ 7,118,388 $ 1,049,550,694 Membership Interest 10

5/14/2012 $ 39,999,800 $ 1,009,550,894 Membership Interest 10

6/14/2012 $ 287,098,565 $ 722,452,330 Membership Interest 10

7/16/2012 $ 68,749,656 $ 653,702,674 Membership Interest 10

8/14/2012 $ 361,248,194 $ 292,454,480 Membership Interest 10

8/30/2012 Distribution 5, 11 $ 75,278,664

9/12/2012 Distribution 5, 11 $ 79,071,633

9/19/2012 Distribution 5, 11 $ 106,300,357

10/1/2012 Distribution 5, 11 $ 25,909,972

12/21/2012 Distribution 5, 11 $ 678,683

8/13/2013 Distribution Refund $ (18,405)

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 $ 30,244,575 $ 2,097,755,425

Debt Obligation w/ Contingent 

Proceeds

6/14/2011 $ 88,087 $ 2,097,667,339

Debt Obligation w/ Contingent 

Proceeds

5/3/2012 $ 80,000,000 $ 2,017,667,339

Debt Obligation w/ Contingent 

Proceeds

5/14/2012 $ 30,000,000 $ 1,987,667,339

Debt Obligation w/ Contingent 

Proceeds

5/23/2012 $ 500,000,000 $ 1,487,667,339

Debt Obligation w/ Contingent 

Proceeds

6/14/2012 $ 44,200,000 $ 1,443,467,339

Debt Obligation w/ Contingent 

Proceeds

6/25/2012 $ 120,000,000 $ 1,323,467,339

Debt Obligation w/ Contingent 

Proceeds

7/16/2012 $ 17,500,000 $ 1,305,967,339

Debt Obligation w/ Contingent 

Proceeds

7/27/2012 $ 450,000,000 $ 855,967,339

Debt Obligation w/ Contingent 

Proceeds

1/24/2013 $ 341,479,690 $ - Contingent Proceeds

8/30/2012 $ 292,454,480 $ - Membership Interest 10

3/14/2012 $ 284,468,750 $ 0 Contingent Proceeds

3/13/2013 $ 243,459,145 $ 0 Membership Interest 10
Page 43 of 46

Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

 

Footnote Date

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Investment 

Amount 9 Capital Repayment Details Investment After Capital Repayment Distribution or Disposition

8/14/2012 $ 272,500,000 $ 583,467,339

Debt Obligation w/ Contingent 

Proceeds

10/3/2012 Distribution 5, 11 $ 12,012,957

12/21/2012 Distribution 5, 11 $ 16,967

8/13/2013 Distribution Refund $ (460)

1 10/2/2009 Blackrock PPIF, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 694,980,000 $ 528,184,800 8/14/2012 $ 90,269,076 $ 437,915,724 Membership Interest 10

9/17/2012 $ 8,833,632 $ 429,082,092 Membership Interest 10

10/15/2012 $ 10,055,653 $ 419,026,439 Membership Interest 10

11/5/2012 Distribution 5, 11 $ 297,511,708

12/5/2012 Distribution 5, 11 $ 57,378,964

12/6/2013 Distribution 5, 11 $ 1,609,739

2 10/2/2009 Blackrock PPIF, 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 $ 1,389,960,000 $ 1,053,000,000 7/31/2012 $ 175,000,000 $ 878,000,000

Debt Obligation w/ Contingent 

Proceeds

8/14/2012 $ 5,539,055 $ 872,460,945

Debt Obligation w/ Contingent 

Proceeds

8/31/2012 $ 16,000,000 $ 856,460,945

Debt Obligation w/ Contingent 

Proceeds

9/17/2012 $ 1,667,352 $ 854,793,592

Debt Obligation w/ Contingent 

Proceeds

9/28/2012 $ 35,000,000 $ 819,793,592

Debt Obligation w/ Contingent 

Proceeds

10/15/2012 $ 25,334,218 $ 794,459,374

Debt Obligation w/ Contingent 

Proceeds

11/5/2012 Distribution 5, 11 $ 8,289,431

12/5/2012 Distribution 5, 11 $ 1,433,088

12/6/2013 Distribution 5, 11 $ 141,894

1 10/30/2009 AG GECC PPIF Master Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,271,337,500 7/16/2010 $ 1,243,275,000 $ 1,117,399,170 2/14/2012 $ 87,099,565 $ 1,030,299,606 Membership Interest 10

3/14/2012 $ 99,462,003 $ 930,837,603 Membership Interest 10

5/14/2012 $ 74,999,625 $ 855,837,978 Membership Interest 10

7/16/2012 $ 18,749,906 $ 837,088,072 Membership Interest 10

8/14/2012 $ 68,399,658 $ 768,688,414 Membership Interest 10

9/17/2012 $ 124,999,375 $ 643,689,039 Membership Interest 10

10/15/2012 $ 240,673,797 $ 403,015,242 Membership Interest 10

11/15/2012 $ 45,764,825 $ 357,250,417 Membership Interest 10

12/14/2012 $ 24,588,926 $ 332,661,491 Membership Interest 10

1/15/2013 $ 30,470,429 $ 302,191,061 Membership Interest 10

2/14/2013 $ 295,328,636 $ 6,862,425 Membership Interest 10

2/21/2013 Distribution 5, 11 $ 184,431,858

2/27/2013 Distribution 5, 11 $ 20,999,895

3/14/2013 Distribution 5, 11 $ 156,174,219

4/19/2013 Distribution 5, 11 $ 105,620,441

4/25/2013 Distribution 5, 11 $ 42,099,442

5/29/2013 Distribution 5, 11 $ 49,225,244

2 10/30/2009 AG GECC PPIF Master Fund, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,542,675,000 7/16/2010 $ 2,486,550,000 $ 2,234,798,340 2/14/2012 $ 174,200,000 $ 2,060,598,340

Debt Obligation w/ Contingent 

Proceeds

3/14/2012 $ 198,925,000 $ 1,861,673,340

Debt Obligation w/ Contingent 

Proceeds

5/14/2012 $ 150,000,000 $ 1,711,673,340

Debt Obligation w/ Contingent 

Proceeds

7/16/2012 $ 37,500,000 $ 1,674,173,340

Debt Obligation w/ Contingent 

Proceeds

8/14/2012 $ 136,800,000 $ 1,537,373,340

Debt Obligation w/ Contingent 

Proceeds

9/17/2012 $ 250,000,000 $ 1,287,373,340

Debt Obligation w/ Contingent 

Proceeds

10/15/2012 $ 481,350,000 $ 806,023,340

Debt Obligation w/ Contingent 

Proceeds

11/15/2012 $ 274,590,324 $ 531,433,016

Debt Obligation w/ Contingent 

Proceeds

10/18/2012 $ 794,459,374 $ - Contingent Proceeds

2/21/2013 $ 6,862,425 $ - Membership Interest 10

8/22/2012 $ 583,467,339 $ - Contingent Proceeds

11/5/2012 $ 419,026,439 $ - Membership Interest 10
Page 44 of 46

Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

 

Footnote Date

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Investment 

Amount 9 Capital Repayment Details Investment After Capital Repayment Distribution or Disposition

12/14/2012 $ 147,534,295 $ 383,898,721

Debt Obligation w/ Contingent 

Proceeds

1/15/2013 $ 182,823,491 $ 201,075,230

Debt Obligation w/ Contingent 

Proceeds

4/19/2013 Distribution 5, 11 $ 17,118,005

4/25/2013 Distribution 5, 11 $ 1,052,497

5/29/2013 Distribution 5, 11 $ 1,230,643

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 3/14/2011 $ 1,202,957 $ 619,375,301 Membership Interest 10

4/14/2011 $ 3,521,835 $ 615,853,465 Membership Interest 10

8/14/2012 $ 104,959,251 $ 510,894,215 Membership Interest 10

9/17/2012 $ 72,640,245 $ 438,253,970 Membership Interest 10

9/28/2012 $ 180,999,095 $ 257,254,875 Membership Interest 10

10/15/2012 $ 134,999,325 $ 122,255,550 Membership Interest 10

10/19/2012 Distribution 5, 11 $ 147,464,888

11/2/2012 Distribution 5, 11 $ 148,749,256

12/21/2012 Distribution 5, 11 $ 549,997

12/11/2013 Final Distribution 5, 11 $ 75,372

2 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 5/13/2011 $ 13,531,530 $ 1,227,468,470

Debt Obligation w/ Contingent 

Proceeds

7/31/2012 $ 618,750,000 $ 608,718,470

Debt Obligation w/ Contingent 

Proceeds

8/9/2012 $ 151,006,173 $ 457,712,297

Debt Obligation w/ Contingent 

Proceeds

8/14/2012 $ 11,008,652 $ 446,703,645

Debt Obligation w/ Contingent 

Proceeds

8/23/2012 $ 160,493,230 $ 286,210,415

Debt Obligation w/ Contingent 

Proceeds

8/29/2012 $ 103,706,836 $ 182,503,579

Debt Obligation w/ Contingent 

Proceeds

9/17/2012 $ 20,637,410 $ 161,866,170

Debt Obligation w/ Contingent 

Proceeds

10/19/2012 Distribution 5, 11 $ 6,789,287

11/2/2012 Distribution 5, 11 $ 3,718,769

12/21/2012 Distribution 5, 11 $ 13,750

12/11/2013 Final Distribution 5, 11 $ 1,884

1 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 9/17/2012 $ 74,499,628 $ 400,050,373 Membership Interest 10

11/15/2012 $ 59,787,459 $ 340,262,914 Membership Interest 10

12/14/2012 $ 40,459,092 $ 299,803,821 Membership Interest 10

1/15/2013 $ 10,409,317 $ 289,394,504 Membership Interest 10

1/30/2013 $ 219,998,900 $ 69,395,604 Membership Interest 10

2/25/2013 $ 39,026,406 $ 30,369,198 Membership Interest 10

3/25/2013 Distribution 5, 11 $ 164,629,827

4/16/2013 Distribution 5, 11 $ 71,462,104

5/16/2013 Distribution 5, 11 $ 38,536,072

7/11/2013 Distribution 5, 11 $ 29,999,850

9/5/2013 Distribution 5, 11 $ 3,999,980

12/27/2013 Distribution 5, 11 $ 5,707,723

2 11/25/2009 Marathon Legacy Securities Public-Private Investment Partnership, L.P. Wilmington DE Purchase Debt Obligation w/ Contingent Proceeds $ 2,222,222,222 Par 3/22/2010 6 $ 2,488,875,000 7/16/2010 $ 949,100,000 $ 949,000,000 9/17/2012 $ 149,000,000 $ 800,000,000

Debt Obligation w/ Contingent 

Proceeds

11/15/2012 $ 119,575,516 $ 680,424,484

Debt Obligation w/ Contingent 

Proceeds

11/20/2012 $ 195,000,000 $ 485,424,484

Debt Obligation w/ Contingent 

Proceeds

12/14/2012 $ 47,755,767 $ 437,668,717

Debt Obligation w/ Contingent 

Proceeds

1/15/2013 $ 62,456,214 $ 375,212,503

Debt Obligation w/ Contingent 

Proceeds

4/16/2013 Distribution 5, 11 $ 7,143,340

 

9/21/2012 $ 161,866,170 $ - Contingent Proceeds

3/25/2013 $ 30,369,198 $ - Membership Interest 10

2/14/2013 $ 201,075,230 $ - Contingent Proceeds

10/19/2012 $ 122,255,550 $ - Membership Interest 10
Page 45 of 46

Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

 

Footnote Date

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Investment 

Amount 9 Capital Repayment Details Investment After Capital Repayment Distribution or Disposition

5/16/2013 Distribution 5, 11 $ 963,411

7/11/2013 Distribution 5, 11 $ 750,004

9/5/2013 Distribution 5, 11 $ 100,001

12/27/2013 Distribution 5, 11 $ 142,168

1 12/18/2009 Oaktree PPIP Fund, L.P. Wilmington DE Purchase Membership Interest $ 1,111,111,111 Par 3/22/2010 6 $ 1,244,437,500 7/16/2010 $ 1,160,784,100 $ 555,904,633 7/15/2011 $ 39,499,803 $ 516,404,830 Membership Interest 10

3/14/2012 $ 39,387,753 $ 477,017,077 Membership Interest 10

9/17/2012 $ 22,111,961 $ 454,905,116 Membership Interest 10

10/15/2012 $ 32,496,972 $ 422,408,144 Membership Interest 10

11/15/2012 $ 111,539,536 $ 310,868,608 Membership Interest 10

12/14/2012 $ 55,540,026 $ 255,328,581 Membership Interest 10

1/15/2013 $ 14,849,910 $ 240,478,671 Membership Interest 10

4/12/2013 $ 18,268,328 $ 222,210,343 Membership Interest 10

5/14/2013 $ 70,605,973 $ 151,604,370 Membership Interest 10

5/28/2013 $ 119,769,362 $ 31,835,008 Membership Interest 10

6/3/2013 Distribution 5, 11 $ 46,575,750

6/14/2013 Distribution 5, 11 $ 54,999,725

6/24/2013 Distribution 5, 11 $ 27,999,860

6/26/2013 Distribution 5, 11 $ 11,749,941

7/9/2013 Distribution 5, 11 $ 40,974,795

12/12/2013 Final Distribution 5, 11 $ 539,009

1/24/2013 $ 375,212,503 $ - Contingent Proceeds

6/3/2013 $ 31,835,008 $ - Membership Interest 10
Page 46 of 46

Name of Institution City State Date Amount Date Amount Amount

Repayment 

Date Repayment Amount Amount Description Date Description Proceeds 

 

Footnote Date

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Investment 

Amount 9 Capital Repayment Details Investment After Capital Repayment Distribution or Disposition

2 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 7/15/2011 $ 79,000,000 $ 1,032,000,000

Debt Obligation w/ Contingent 

Proceeds

3/14/2012 $ 78,775,901 $ 953,224,099

Debt Obligation w/ Contingent 

Proceeds

9/17/2012 $ 44,224,144 $ 908,999,956

Debt Obligation w/ Contingent 

Proceeds

10/15/2012 $ 64,994,269 $ 844,005,687

Debt Obligation w/ Contingent 

Proceeds

11/15/2012 $ 223,080,187 $ 620,925,500

Debt Obligation w/ Contingent 

Proceeds

12/14/2012 $ 111,080,608 $ 509,844,892

Debt Obligation w/ Contingent 

Proceeds

1/15/2013 $ 89,099,906 $ 420,744,985

Debt Obligation w/ Contingent 

Proceeds

4/12/2013 $ 109,610,516 $ 311,134,469

Debt Obligation w/ Contingent 

Proceeds

5/28/2013 Distribution 5, 11 $ 444,393

6/3/2013 Distribution 5, 11 $ 1,960,289

6/14/2013 Distribution 5, 11 $ 1,375,007

6/24/2013 Distribution 5, 11 $ 700,004

6/26/2013 Distribution 5, 11 $ 293,751

7/9/2013 Distribution 5, 11 $ 1,024,380

12/12/2013 Final Distribution 5, 11 $ 13,475

$ 30,000,000,000 $ 21,856,403,574 $ 2,643,315,922

TOTAL CAPITAL REPAYMENT AMOUNT $ 18,625,147,938

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. 

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.

TOTAL DISTRIBUTIONS 5

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.

5/14/2013 $ 311,134,469 $ - Contingent Proceeds

INITIAL COMMITMENT AMOUNT FINAL COMMITMENT AMOUNT