TABLE OF CONTENTS

TARP Snapshot for May ...................................................................................................................................................................... 1

Bank Support Programs....................................................................................................................................................................... 2

Capital Purchase Program................................................................................................................................................................ 2

Housing Programs ............................................................................................................................................................................... 5

Making Home Affordable .................................................................................................................................................................. 5

Hardest Hit Fund .............................................................................................................................................................................. 6

Lifetime Costs ...................................................................................................................................................................................... 9

Treasury Estimates of the Impact of TARP Programs and AIG Investments on the Federal Budget............................................... 11

Appendix Table of Contents............................................................................................................................................................... 13
1 

0

100

200

300

400

500

Obligated Disbursed

Principal

Repayments Outstanding Total Cash Back

Housing Credit Banks Autos AIG Non TARP AIG Cash Back

billion 

dollars

TARP SNAPSHOT FOR MAY Disposition of TARP Funds as of May 31, 2014

As of May 31, 2014, a total of 

$424.1 billion has been disbursed 

under TARP, and cumulative 

collections, together with Treasury’s 

additional proceeds from the sale of 

non-TARP shares of AIG, total 

$438.7 billion. 

3 

REPAYMENTS AT PAR

On May 14, Riverside Bancshares, Inc. repaid all their outstanding CPP subordinated debentures held by Treasury for total proceeds 

of $1.1 million.

SALES & DISPOSITIONS

On May 23, Treasury sold all of its CommunityOne Bancorp (formerly FNB United Corp.) common stock in an underwritten public 

offering for total proceeds of $10.1 million. 

EXCHANGES

On May 30, Treasury entered into a securities purchase agreement with Highlands Independent Bancshares, Inc. ("Highlands") and 

HCBF Holding Company, Inc. ("HCBF") pursuant to which Treasury agreed to sell to HCBF the CPP preferred stock issued by 

Highlands, subject to the conditions specified in such agreement.

DIVIDENDS AND INTEREST

In May, Treasury received dividends and interest income from CPP investments of $28.3 million. As of May 31, 2014, cumulative 

dividends, interest and fee income received from CPP investments total $12.1 billion.

WARRANT REPURCHASES

In addition to the transactions above, Treasury disposed of its warrant positions in two institutions that were received in consideration 

for investments made under the CPP. 

• On May 14, C&F Financial Corporation repurchased its warrants to purchase common stock from Treasury for a total of $2.3 

million.

• On May 14, Riverside Bancshares, Inc. repurchased their subordinated debentures from exercised warrants from Treasury for a 

total of $55,000. 

5 

HOUSING PROGRAMS

MAKING HOME AFFORDABLE

On June 13, 2014, the U.S. Department of the Treasury is expected to release the Making Home Affordable Program Performance 

Report for the period ending April 2014. Included in the report will be quarterly assessments for the largest mortgage servicers 

participating in the MHA Program, with results from the first quarter of 2014. The report will be available on the following page: 

http://www.treasury.gov/initiatives/financial-stability/reports/Pages/Making-Home-Affordable-Program-Performance-Report.aspx. 

Beginning with the second quarter of 2014, the Making Home Affordable Program Performance Report will be published on a 

quarterly basis. 

HIGHLIGHTS

• Since the start of the program, more than two million homeowner assistance actions have been taken under MHA. 

• Approximately 1.6 million homeowners have received a permanent first lien modification through MHA since the start of the 

program, including more than 1.3 million through the Home Affordable Modification Program (HAMP). Approximately 12,000 new 

HAMP modifications have been reported since the March report.

• To date, homeowners in HAMP permanent modifications have saved an estimated $27.5 billion in monthly mortgage payments. 

Homeowners in active first lien permanent modifications are currently saving a median of $541 per month – equal to almost 40 

percent of their median before-modification payments. 

• Homeowners currently in HAMP permanent modifications have been granted an estimated $14.0 billion in principal reduction. Of 

all non-GSE loans eligible for principal reduction entering HAMP in April, 67 percent included a principal reduction feature.

2MP AND HAFA PROGRAM RESULTS

• The Second Lien Modification Program (2MP) enables homeowners in an eligible permanent first lien modification under MHA to 

modify eligible second lien mortgages serviced by a participating servicer. To date, approximately 134,000 homeowners have 

received assistance through 2MP. 

• More than 288,000 homeowners have exited their homes through a short sale or deed-in-lieu of foreclosure with assistance from 

the Home Affordable Foreclosure Alternatives Program (HAFA), which provides $3,000 for relocation assistance after a 

homeowner exits the home.
6 

HARDEST HIT FUND

The Hardest Hit Fund provides $7.6 billion to 18 states and the District of Columbia to provide assistance to struggling homeowners 

through locally tailored programs administered by each respective housing finance agency (HFA). These states were chosen 

because they experienced steep home price declines or severe unemployment in the economic downturn. HFAs offer a number of 

different programs to help homeowners, including mortgage payment assistance, reinstatement, principal reduction, modification 

assistance, short sale/transition assistance, note purchase and modification, and blight elimination. As of May 31, 2014, the 19 HFAs 

have drawn a total of $4.0 billion. 

• There are now 69 active programs across the 19 HFAs. Approximately 68 percent of total program funds are targeted to helping

unemployed borrowers, primarily through reinstatement and programs that help homeowners pay their mortgage while looking for 

work.

• Treasury continues to work to identify best practices, share lessons learned, and provide additional assistance and oversight to 

the HFAs. It also hosts biweekly calls with servicers and HFAs to identify operational barriers.

• On May 7 and 8, Treasury held its Fifth Annual Hardest Hit Fund Summit in Washington, D.C. The two-day event provided a 

forum to strengthen cooperation and promote positive working relationships among key program stakeholders participating in the 

Hardest Hit Fund. The Summit focused on program evolution, foreclosure prevention models, addressing operational challenges, 

and best practices in servicer and state outreach efforts. More than 90 attendees participated in the Summit, including 

representatives from all 18 states and the District of Columbia, 12 major servicers, FHFA, and the GSEs.

• Four HFAs drew a total of $145.1 million in May. Over the life of the program, the 19 HFAs have drawn a total of $4.0 billion. 

Each HFA draws down funds as they are needed. (See Hardest Hit Fund as of May 31, 2014 chart) HFAs have until December 

31, 2017 to expend funds, and must have no more than five percent of their allocation on hand before they can draw additional 

funds.

• Treasury continues to publish the Hardest Hit Fund Quarterly Performance Summary containing performance data and trends, 

key economic and loan performance indicators, and brief program descriptions for each HFA. The Hardest Hit Fund Quarterly 

Performance Summary is available at http://www.treasury.gov/initiatives/financial-stability/reports/Pages/HHF.aspx. Each HFA

also submits a quarterly report on the progress of its programs. Direct links to each HFA’s most recent performance report can be 

found at http://www.treasury.gov/initiatives/financial-stability/programs/housing-programs/hhf/Pages/default.aspx and below in the 

Programs Available Through the Hardest Hit Fund table. 

8 

HARDEST HIT FUND AS OF MAY 31, 2014

10

The Treasury Estimates of the Impact of TARP Programs and AIG Investments on the Federal Budget chart provides for each 

program within TARP the amount obligated, the amount disbursed, the outstanding balance, and the estimated lifetime cost. 

Estimated lifetime cost represents Treasury’s best estimate of what the program will ultimately cost the taxpayer. Because some 

TARP investments are in publicly traded securities, we also provide additional information to help readers understand the current 

value of those investments. This chart also shows the estimated lifetime cost of the additional investment by Treasury in AIG

separate and apart from the TARP investment.

This chart utilizes the methodology that OFS has consistently used to estimate lifetime costs including the requirement to use a 

discount rate that reflects market risk as required by EESA for future cash flows. Over time, market conditions and the performance 

of specific investments will be critical determinants of TARP’s lifetime cost. The methodology used adheres to government budgeting 

guidance and includes investments and other disbursements expected to be made in the future. It also includes assumptions 

regarding future events, which are inherently uncertain. These estimates do not necessarily reflect official Administration budgetary 

estimates of the deficit impact of TARP and may differ from the official estimates presented in the President’s Budget, the Midsession 

Review of the Budget, and the report required in 2013 under Section 134 of EESA. 
11

TREASURY ESTIMATES OF THE IMPACT OF TARP PROGRAMS AND AIG INVESTMENTS ON THE FEDERAL BUDGET

Programs 

as of May 31, 2014

(dollar amounts in billions)

Disbursed as of 

May 31

Outstanding 

Investment 

Balance as of

May 31

Estimated 

Lifetime Cost as 

of 

February 281

Bank Support Programs:

Capital Purchase Program (CPP):

Citigroup $ 25.00 $ 25.00 $ - $ (6.89)

Other banks with assets $10 billion or greater $ 165.33 $ 165.33 $ 1.17 $ (10.31)

Banks with assets less than $10 billion2 $ 14.57 $ 14.57 $ 0.52 $ 0.97

Total $ 204.89 $ 204.89 $ 1.70 $ (16.23)

Targeted Investment Program (TIP) $ 40.00 $ 40.00 $ - $ (4.00)

Asset Guarantee Program (AGP)3 $ 5.00 $ 0.00 $ - $ (4.00)

Community Development Capital Initiative (CDCI) $ 0.57 $ 0.57 $ 0.47 $ 0.08

Credit Market Programs:

Public-Private Investment Program (PPIP):

Equity $ 7.23 $ 6.25 $ - $ (3.06)

Debt $ 12.38 $ 12.38 $ - $ 0.33

Total $ 19.61 $ 18.62 $ - $ (2.73)

Term Asset Backed Securities Lending Facility (TALF) $ 0.10 $ 0.10 $ - $ (0.60)

Purchase SBA 7(a) Securities (SBA) $ 0.37 $ 0.37 $ - $ (0.00)

Other Programs:

American International Group (AIG): 

Preferred Stock $ 20.29 $ 20.29 $ - $ -

Common Stock $ 47.54 $ 47.54 $ - $ 15.18

Total $ 67.84 $ 67.84 $ - $ 15.18

Automotive Industry Financing Program (AIFP) $ 79.69 $ 79.69 $ 2.12 $ 12.32

Sub-total for Investment Programs $ 418.07 $ 411.72 $ 4.29 $ 0.02

Making Home Affordable $ 29.83 $ 8.28 n/a $ 29.83

Hardest Hit Fund $ 7.60 $ 4.03 n/a $ 7.60

FHA-Refinance4 $ 1.03 $ 0.06 n/a $ 0.04

Sub-total for Housing Programs $ 38.46 $ 12.37 n/a $ 37.47

 Total for TARP Programs $ 456.53 $ 424.09 $ 4.29 $ 37.49

Additional AIG Common Shares Held by Treasury5 n/a n/a n/a $ (17.55)

Total for TARP Programs and Additional AIG Shares $ 456.53 $ 424.09 $ 4.29 $ 19.94

Obligation/

Commitment
12

Footnotes to Treasury Estimates of the Impact of TARP Programs and AIG Investments on the Federal Budget 

1 Lifetime cost information is as of February 28, 2014. Estimated lifetime cost figures shown above are currently updated quarterly in conjunction 

with the Office of Management and Budget. 

2 The law creating the Small Business Lending Fund (SBLF) provided that banks could refinance securities issued under the CPP and CDCI 

programs with securities issued under the SBLF. A total of 137 CPP banks refinanced under the SBLF resulting in repayments of $2.21 billion in 

CPP investments.

3 Estimated lifetime costs for AGP includes $276 million for the termination fee Bank of America paid Treasury-OFS for the value received from 

the announcement of the negotiations on the guarantee and share losses on a pool of assets.

4 In March 2013, Treasury extended the letter of credit facility to provide coverage for loans refinanced throughout the eligibility period, which had 

been extended to December 2014, but reduced the amount from $8 billion to $1 billion. Treasury believes this lower amount will be sufficient to 

accommodate any increased usage that could result through the close of the program. The figures in this line include administrative expenses 

associated with the letter of credit facility.

5

 As discussed in note 10 to the Daily TARP Update, Treasury’s investment in AIG common shares consisted of shares acquired in exchange for 

preferred stock purchased with TARP funds (TARP shares) and shares received from the trust created by the FRBNY for the benefit of Treasury 

as a result of its loan to AIG (non-TARP shares). Treasury managed the TARP shares and non-TARP shares together, and disposed of them 

pro-rata in proportion to its holdings. Only the TARP shares are included under “Other Programs—AIG” and the lifetime cost estimate shows a 

loss based on Treasury’s cost basis in the TARP shares alone. However, a gain is shown for the non-TARP shares on the line entitled 

“Additional AIG Common Shares Held by Treasury” because Treasury’s cost basis in such shares was deemed to be zero. When the TARP 

shares and non-TARP shares are considered together, Treasury’s cost on a cash basis was $28.73 per share. TARP estimates include financing 

costs (borrowing) from the time of initial investment through the close of the program.
13

APPENDIX TABLE OF CONTENTS

Section Statutory Requirement6 Page

CPP Institutions Additional Information 14

Administrative Obligations and Expenditures EESA §105(a)(2) 18

Agreements under TARP EESA §105(a)(3)(A) 19

Insurance Contracts EESA §105(a)(3)(B) 25

Transactions Report EESA §105(a)(3)(C,D,G) 26

Investment Programs 26

Home Affordable Modification Program 73

Projected Costs and Liabilities EESA §105(a)(3)(E) 116

Programmatic Operating Expenses EESA §105(a)(3)(F) 117

Description of Vehicles Established EESA §105(a)(3)(H) 118

HAMP Application Activity by Servicer Dodd-Frank §1483(b) 119

 

6 §105(a)(1) is covered by the body of this report. EESA (Emergency Economic Stabilization Act of 2008). Dodd-Frank (Dodd-Frank Wall Street Reform and 

Consumer Protection Act).
Institution Name Location

Popular, Inc. San Juan, PR 

First BanCorp* San Juan, PR U.S. Century Bank Miami, FL Porter Bancorp Inc. Louisville, KY Royal Bancshares of Pennsylvania, Inc. Narberth, PA 

First United Corporation Oakland, MD 

Central Bancorp, Inc. Garland, TX Chambers Bancshares, Inc. Danville, AR OneFinancial Corporation Little Rock, AR 

Liberty Shares, Inc. Hinesville, GA 

White River Bancshares Company Fayetteville, AR 

Broadway Financial Corporation* Los Angeles, CA Suburban Illinois Bancorp, Inc. Elmhurst, IL 

Equity Bancshares, Inc. Wichita, KS 

Tidelands Bancshares, Inc Mount Pleasant, SC 

Bank of the Carolinas Corporation Mocksville, NC 

HCSB Financial Corporation Loris, SC 

OneUnited Bank Boston, MA 

Cecil Bancorp, Inc. Elkton, MD Farmers & Merchants Bancshares, Inc. Houston, TX A. Remaining CPP Portfolio Institutions

Troubled Asset Relief Program

Capital Purchase Program Institutions

As of May 31, 2014

A. Remaining CPP Portfolion InstitutionsB. Institutions in Bankruptcy/Receivership - Realized Loss/Write-OffC. Institutions in Bankruptcy/Receivership - Currently Not Collectible
NCAL Bancorp Los Angeles, CA 

Regent Bancorp, Inc. Davie, FL City National Bancshares Corporation Newark, NJ United American Bank San Mateo, CA 

Private Bancorporation, Inc. Minneapolis, MN 

Western Community Bancshares, Inc. Palm Desert, CA Greer Bancshares Incorporated Greer, SC 

Harbor Bankshares Corporation Baltimore, MD 

Highlands Independent Bancshares, Inc. Sebring, FL 

Liberty Bancshares, Inc. Fort Worth, TX 

Citizens Commerce Bancshares, Inc. Versailles, KY 

Patapsco Bancorp, Inc. Dundalk, MD Rising Sun Bancorp Rising Sun, MD 

Capital Commerce Bancorp, Inc. Milwaukee, WI 

CalWest Bancorp Rancho Santa Margarita, 

Pinnacle Bank Holding Company, Inc. Orange City, FL 

Metropolitan Capital Bancorp, Inc. Chicago, IL 

Community Bancshares, Inc. Kingman, AZ 

Allied First Bancorp, Inc. Oswego, IL Grand Mountain Bancshares, Inc. Granby, CO Lone Star Bank Houston, TX 

St. Johns Bancshares, Inc. St. Louis, MO Marine Bank & Trust Company Vero Beach, FL US Metro Bank Garden Grove, CA Prairie Star Bancshares, Inc. Olathe, KS 

SouthFirst Bancshares, Inc. Sylacauga, AL Goldwater Bank, N.A. Scottsdale, AZ Grand Financial Corporation Hattiesburg, MS 

CSRA Bank Corp. Wrens, GA Citizens Bank & Trust Company Covington, LA 

Crazy Woman Creek Bancorp, Inc. Buffalo, WY 

Market Bancorporation, Inc. New Market, MN BCB Holding Company, Inc. Theodore, AL Maryland Financial Bank Towson, MD 

Saigon National Bank Westminster, CA 

Calvert Financial Corporation Ashland, MO 
Institution Name

Bankruptcy/ Receiver

Date

CIT Group Inc.* 11/1Pacific Coast National Bancorp* 11/13Anchor Bancorp Wisconsin, Inc.* 8/12Institution Name

Bankruptcy/ Receiver

Date

UCBH Holdings, Inc. 11/6Midwest Banc Holdings, Inc. 5/14Sonoma Valley Bancorp 8/20Pierce County Bancorp 11/5Tifton Banking Company 11/12Legacy Bancorp, Inc. 3/11Superior Bancorp Inc. 4/15FPB Bancorp Inc. 7/15One Georgia Bank 7/15Integra Bank Corporation 7/29Citizens Bancorp 9/23CB Holding Corp. 10/14Tennessee Commerce Bancorp, Inc. 1/27Blue River Bancshares, Inc. 2/10Fort Lee Federal Savings Bank 4/20Gregg Bancshares, Inc. 7/13GulfSouth Private Bank 10/19Investors Financial Corporation of Pettis County, Inc. 10/19First Place Financial Corporation 10/29C. Institutions in Bankruptcy/Receivership - Currently Not Collectible

*Institution has exited the bankruptcy/receivership process*Original Investment has been converted at a discount into common stock in the instiinvesment amount B. Institutions in Bankruptcy/Receivership - Realized Loss/Write-Off
Princeton National Bancorp 11/2

Premier Bank Holding Company 8/14Gold Canyon Bank 4/5Indiana Bank Corp. 4/9Rogers Bancshares, Inc. 7/5TCB Holding Company 12/13Syringa Bancorp 1/31Idaho Bancorp 4/24

U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Agreements Under TARP [Section 105(a)(3)(A)]

For Period May 2014

Date Approved Type of Transaction Vendor Purpose 

10/10/2008 Contract Simpson Thacher & Bartlett Mnp LLP Legal Advisory 

10/11/2008 Contract Ennis Knupp & Associates Inc Investment and Advisory Services 

10/14/2008 Financial Agent The Bank of New York Mellon Custodian and Cash Management 

10/16/2008 Contract Pricewaterhousecoopers LLP‐1 Accounting/Internal Controls 

10/17/2008 Contract Turner Consulting Group, Inc. Archiving Services 10/18/2008 Contract Ernst & Young LLP Accounting/Internal Controls 10/29/2008 Contract Hughes Hubbard & Reed LLP Legal Advisory 10/29/2008 Contract Squire Sanders & Dempsey LLP Legal Advisory 10/31/2008 Contract Lindholm & Associates Inc. Human Resources Services 11/07/2008 Contract Sonnenschein Nath & Rosenthal LLP Legal Advisory 11/09/2008 Interagency Agreement Internal Revenue Service (IRS) Administrative Support

11/17/2008 Interagency Agreement Internal Revenue Service (IRS) Information Technology11/25/2008 Interagency Agreement Department of the Treasury ‐ Departmental Offices Administrative Support12/03/2008 Interagency Agreement Trade and Tax Bureau ‐ Treasury Information Technology12/05/2008 Contract Washington Post Administrative Support 

12/10/2008 Contract Thacher Proffitt & Wood Legal Advisory 12/10/2008 Contract Sonnenschein Nath & Rosenthal LLP Legal Advisory 12/15/2008 Interagency Agreement Office of Thrift Supervision Administrative Support

12/16/2008 Interagency Agreement Department of Housing and Urban Development Administrative Support12/22/2008 Interagency Agreement Office of Thrift Supervision Administrative Support12/24/2008 Contract Cushman And Wakefield Of VA Inc. Administrative Support 

01/06/2009 Interagency Agreement Securities and Exchange Commission Administrative Support

01/07/2009 Contract Colonial Parking Inc. Parking 

01/27/2009 Contract Whitaker Brothers Bus Machines Inc Facilities Support 

01/27/2009 Contract Cadwalader Wickersham & Taft LLP Legal Advisory 

01/30/2009 Interagency Agreement Office of the Comptroller of the Currency Administrative Support

02/02/2009 Interagency Agreement Government Accountability Office Compliance

02/03/2009 Interagency Agreement Internal Revenue Service (IRS) Administrative Support

02/09/2009 Contract Pat Taylor & Assoc Inc. Administrative Support 

02/12/2009 Contract Locke Lord Bissell & Liddell LLP Legal Advisory 02/18/2009 Financial Agent Fannie Mae Homeownership Program 

02/18/2009 Financial Agent Freddie Mac Homeownership Program 

02/20/2009 Interagency Agreement Office of Thrift Supervision Administrative Support

02/20/2009 Interagency Agreement FINANCIAL CLERK U.S. SENATE Financial Advisory02/20/2009 Contract Venable LLP‐1 Legal Advisory 

02/20/2009 Contract Simpson Thacher & Bartlett Mnp LLP Legal Advisory 
Date Approved Type of Transaction Vendor Purpose 

02/26/2009 Interagency Agreement Securities and Exchange Commission Administrative Support

02/27/2009 Interagency Agreement Pension Benefit Guaranty Corp Legal Advisory03/06/2009 Contract The Boston Consulting Group Inc Financial Advisory 

03/16/2009 Financial Agent EARNEST Partners Small Business Assistance Program 

03/30/2009 Contract Cadwalader Wickersham & Taft LLP Legal Advisory 

03/30/2009 Contract Sonnenschein Nath & Rosenthal LLP Legal Advisory 03/30/2009 Contract Bingham McCutchen LLP Legal Advisory 03/30/2009 Contract Haynes and Boone LLP Legal Advisory 03/30/2009 Contract Mckee Nelson LLP Legal Advisory 03/31/2009 Contract FI Consulting Inc. Accounting/Internal Controls 

04/03/2009 Contract American Furniture Rentals, Inc. Administrative Support 04/03/2009 Contract The Boston Consulting Group Inc Financial Advisory 

04/17/2009 Interagency Agreement Bureau of Engraving and Printing (BEP) Administrative Support

04/17/2009 Contract Herman Miller Inc. Facilities Support 

04/21/2009 Financial Agent Alliance Bernstein L.P. Asset Management Services 

04/21/2009 Financial Agent FSI Group, LLC Asset Management Services 

04/21/2009 Financial Agent Piedmont Investment Advisors, LLC Asset Management Services 04/30/2009 Interagency Agreement U.S. Department of State Administrative Support

05/05/2009 Interagency Agreement Federal Reserve Board Administrative Support05/13/2009 Interagency Agreement Department of Treasury ‐ US Mint Administrative Support05/14/2009 Contract Knowledgebank Inc. Administrative Support 05/15/2009 Contract Phacil Inc. Contract FOIA Support Services 05/20/2009 Interagency Agreement Securities and Exchange Commission Administrative Support05/22/2009 Interagency Agreement Department of Justice ‐ ATF Administrative Support05/26/2009 Contract Anderson Mc Coy & Orta Legal Advisory 

05/26/2009 Contract Simpson Thacher & Bartlett Mnp LLP Legal Advisory 

06/09/2009 Interagency Agreement Financial Management Service (FMS) Information Technology

06/29/2009 Interagency Agreement Department of the Interior Administrative Support07/17/2009 Contract Korn/Ferry Internationa Administrative Support 

07/30/2009 Contract Debevoise & Plimpton, LLP Legal Advisory 07/30/2009 Contract Cadwalader Wickersham & Taft LLP Legal Advisory 07/30/2009 Contract Fox Hefter Swibel Levin & Carol, LLP Legal Advisory 08/10/2009 Interagency Agreement Department of Justice Administrative Support

08/10/2009 Interagency Agreement NASA Detailee(s)08/18/2009 Contract Mercer (US) Inc. Administrative Support 

08/25/2009 Interagency Agreement Department of Justice Administrative Support

09/02/2009 Contract Knowledge Mosaic Inc. Administrative Support 

09/10/2009 Contract Equilar Inc. Administrative Support 09/11/2009 Contract Pricewaterhousecoopers LLP‐1 Accounting/Internal Controls 

09/18/2009 Interagency Agreement Bureau of Public Debt (BPD) Administrative Support

09/30/2009 Contract Immixtechnology, Inc. Information Technology 

09/30/2009 Contract Immixtechnology, Inc. Information Technology 09/30/2009 Contract NNA Inc. Administrative Support 

09/30/2009 Contract SNL Financial LC Financial Advisory 

11/09/2009 Interagency Agreement Department of the Treasury ‐ Departmental Offices Administrative Support
Date Approved Type of Transaction Vendor Purpose 

12/16/2009 Interagency Agreement Internal Revenue Service (IRS) Administrative Support

12/22/2009 Contract Hughes Hubbard & Reed LLP Legal Advisory 

12/22/2009 Financial Agent Avondale Investments, LLC Asset Management Services 12/22/2009 Financial Agent Bell Rock Capital, LLC Asset Management Services 

12/22/2009 Financial Agent Howe Barnes Hoefer & Arnett, Inc. Asset Management Services 

12/22/2009 Financial Agent KBW Asset Management, Inc. Asset Management Services 12/22/2009 Financial Agent Lombardia Capital Partners, LLC Asset Management Services 

12/22/2009 Financial Agent Paradigm Asset Management Co., LLC Asset Management Services 01/14/2010 Interagency Agreement Government Accountability Office Compliance

01/15/2010 Contract Association of Govt Accountants Administrative Support 

02/16/2010 Interagency Agreement Internal Revenue Service (IRS) Administrative Support

02/16/2010 Contract The Mitre Corporation Information Technology 

02/18/2010 Interagency Agreement Bureau of Public Debt (BPD) Administrative Support

03/08/2010 Contract Qualx Corporation Administrative Support 

03/12/2010 Interagency Agreement Department of the Treasury ‐ Departmental Offices Administrative Support

03/22/2010 Interagency Agreement Financial Management Service (FMS) Information Technology03/26/2010 Interagency Agreement Federal Maritime Commission (FMC) Administrative Support03/29/2010 Financial Agent Morgan Stanley & Co. Incorporated Disposition Agent Services 

04/02/2010 Interagency Agreement FINANCIAL CLERK U.S. SENATE Financial Advisory

04/08/2010 Contract Squire Sanders & Dempsey LLP Legal Advisory 

04/12/2010 Contract Hewitt EnnisKnupp, Inc Investment and Advisory Services 04/22/2010 Contract Digital Management Inc. Information Technology 

04/22/2010 Contract Microlink Llc Administrative Support 04/23/2010 Contract RDA Corporation Information Technology 

05/04/2010 Interagency Agreement Internal Revenue Service (IRS) Administrative Support

05/17/2010 Financial Agent Lazard Fréres & Co. LLC Transaction Structuring Services 

06/24/2010 Contract Reed Elsevier Inc. (dba LexisNexis) Administrative Support 

06/30/2010 Contract The George Washington University Administrative Support 07/21/2010 Contract Regis & Associates PC Compliance 

07/21/2010 Contract Navigant Consulting Inc. Compliance 

07/22/2010 Contract Pricewaterhousecoopers LLP‐1 Compliance 07/22/2010 Contract Ernst & Young LLP Compliance 07/22/2010 Contract Schiff Hardin LLP Legal Advisory 

07/27/2010 Contract West Publishing Corporation Administrative Support 08/06/2010 Contract Alston & Bird LLP Legal Advisory 08/06/2010 Contract Sullivan Cove Reign Enterprises Jv Legal Advisory 

08/06/2010 Contract Perkins Coie LLP Legal Advisory 

08/06/2010 Contract Orrick Herrington Sutcliffe LLP Legal Advisory 08/06/2010 Contract Cadwalader Wickersham & Taft LLP Legal Advisory 08/06/2010 Contract Haynes and Boone LLP Legal Advisory 08/06/2010 Contract Love & Long LLP Legal Advisory 

08/06/2010 Contract Venable LLP‐1 Legal Advisory 

08/06/2010 Contract Fox Hefter Swibel Levin & Carol, LLP Legal Advisory 08/06/2010 Contract Seyfarth Shaw LLP Legal Advisory 08/06/2010 Contract Paul Weiss Rfknd Whrtn & Grrsn LLP Legal Advisory 
Date Approved Type of Transaction Vendor Purpose 

08/06/2010 Contract Shulman Rgrs Gndl Pordy & Ecker Pa Legal Advisory 

08/06/2010 Contract Hughes Hubbard & Reed LLP Legal Advisory 08/12/2010 Contract Knowledge Mosaic Inc. Administrative Support 

08/30/2010 Interagency Agreement Department of Housing and Urban Development Administrative Support

09/01/2010 Contract CQ‐Roll Call Inc. Administrative Support 

09/17/2010 Contract Bingham McCutchen LLP Legal Advisory 09/27/2010 Contract Davis Audrey Robinette Administrative Support 

09/30/2010 Contract CCH Incorporated Administrative Support 

10/01/2010 Interagency Agreement FINANCIAL CLERK U.S. SENATE Financial Advisory

10/01/2010 Interagency Agreement Department of the Treasury ‐ Departmental Offices Administrative Support10/08/2010 Contract Management Concepts Inc. Administrative Support 

10/08/2010 Contract Management Concepts Inc. Administrative Support 10/08/2010 Contract Management Concepts Inc. Administrative Support 10/08/2010 Contract Management Concepts Inc. Administrative Support 10/08/2010 Contract Management Concepts Inc. Administrative Support 10/08/2010 Contract Management Concepts Inc. Administrative Support 10/08/2010 Contract Management Concepts Inc. Administrative Support 10/08/2010 Contract Management Concepts Inc. Administrative Support 10/14/2010 Contract Hispanic Assoc Of Coll & Univ Administrative Support 10/26/2010 Interagency Agreement Government Accountability Office Compliance

11/08/2010 Contract The Mitre Corporation Information Technology 11/18/2010 Financial Agent Greenhill & Co., LLC Structuring and Disposition Services 

12/02/2010 Contract Addx Corporation Acquisition Support Services 

12/29/2010 Contract Reed Elsevier Inc. (dba LexisNexis) Administrative Support 

01/05/2011 Contract Canon U.S.A. Inc. Administrative Support 01/18/2011 Financial Agent Perella Weinberg Partners & Co. Structuring and Disposition Services 

01/24/2011 Interagency Agreement Bureau of Public Debt (BPD) Administrative Support

01/26/2011 Contract Association of Govt Accountants Administrative Support 

02/24/2011 Contract ESI International Inc. Administrative Support 02/28/2011 Interagency Agreement Department of the Treasury ‐ Departmental Offices Administrative Support

03/03/2011 Contract Equilar Inc. Administrative Support 

03/10/2011 Contract Mercer (US) Inc. Administrative Support 

03/22/2011 Contract Harrison Scott Publications Inc Administrative Support 

04/20/2011 Interagency Agreement Federal Reserve Bank of New York (FRBNY) HR Financial Advisory

04/26/2011 Contract Pricewaterhousecoopers LLP‐1 Financial Advisory 

04/27/2011 Contract Oculus Group Inc. Financial Advisory 

04/27/2011 Contract ASR Analytics LLC Financial Advisory 04/27/2011 Contract Ernst & Young LLP Financial Advisory 

04/27/2011 Contract Lani Eko & Company CPAs LLC Financial Advisory 

04/27/2011 Contract MorganFranklin Corporation Financial Advisory 

04/27/2011 Contract FI Consulting Inc. Financial Advisory 

04/28/2011 Contract Booz Allen Hamilton Inc Financial Advisory 

04/28/2011 Interagency Agreement

Office of Personnel Management (OPM) ‐ Western

Management Development Center Administrative Support

04/28/2011 Contract KPMG LLP Financial Advisory 
Date Approved Type of Transaction Vendor Purpose 

05/31/2011 Contract West Publishing Corporation Administrative Support 

05/31/2011 Contract Reed Elsevier Inc. (dba LexisNexis) Administrative Support 06/02/2011 Contract ESI International Inc. Administrative Support 06/09/2011 Contract CQ‐Roll Call Inc. Administrative Support 06/17/2011 Contract Winvale Group LLC Subscription Services 

07/28/2011 Interagency Agreement Internal Revenue Service (IRS) Administrative Support

09/09/2011 Interagency Agreement Financial Management Service (FMS) Intern

09/12/2011 Contract ADC LTD NM Compliance 09/15/2011 Contract ABMI ‐ All Business Machines, Inc. Administrative Support 

09/29/2011 Interagency Agreement Department of the Interior Administrative Support

09/29/2011 Contract Knowledge Mosaic Inc. Administrative Support 

10/04/2011 Interagency Agreement Internal Revenue Service (IRS) Detailee

10/20/2011 Contract ABMI ‐ All Business Machines, Inc. Administrative Support 

11/18/2011 Contract Qualx Corporation Administrative Support 

11/29/2011 Financial Agent Houlihan Lokey, Inc. Transaction Structuring Services 12/20/2011 Contract The Allison Group LLC Professional/Management Training 12/30/2011 Interagency Agreement Department of the Treasury ‐ ARC Administrative Support

12/30/2011 Interagency Agreement Department of the Treasury ‐ Departmental Offices Administrative Support01/04/2012 Interagency Agreement Government Accountability Office Compliance

01/05/2012 Interagency Agreement

Office of Personnel Management (OPM) ‐ Western

Management Development Center Administrative Support

02/02/2012 Contract Moody's Analytics Inc. Administrative Support 

02/07/2012 Financial Agent Greenhill & Co., LLC Structuring and Disposition Services 

02/14/2012 Contract Association of Govt Accountants Administrative Support 

02/27/2012 Contract Diversified Search LLC Financial Advisory 03/06/2012 Contract Integrated Federal Solutions, Inc Administrative Support 

03/14/2012 Interagency Agreement Department of the Interior Administrative Support

03/30/2012 Contract E‐Launch Multimedia, Inc. Administrative Support 

03/30/2012 Interagency Agreement Department of the Treasury ‐ Departmental Offices ‐ WCF Administrative Support

05/02/2012 Contract Cartridge Technologies, Inc. Facilities Support 05/10/2012 Contract Equilar Inc. Administrative Support 

06/12/2012 Interagency Agreement Department of Justice Administrative Support

06/15/2012 Contract Qualx Corporation Administrative Support 

06/30/2012 Contract West Publishing Corporation Subscription Services 

07/26/2012 Contract Knowledge Mosaic Inc. Administrative Support 

08/01/2012 Interagency Agreement Internal Revenue Service (IRS) Administrative Support

08/03/2012 Contract Harrison Scott Publications Inc Administrative Support 

09/19/2012 Interagency Agreement Bureau of Public Debt (BPD) Administrative Support

09/28/2012 Contract SNL Financial LC Information Technology 

11/19/2012 Interagency Agreement Government Accountability Office Compliance

12/13/2012 Contract Association of Govt Accountants Administrative Support 

12/19/2012 Interagency Agreement Department of the Treasury ‐ Departmental Offices Administrative Support

01/01/2013 Financial Agent Lazard Fréres & Co. LLC Transaction Structuring Services 

01/01/2013 Financial Agent Lazard Fréres & Co. LLC Transaction Structuring Services 02/13/2013 Contract Mercer (US) Inc. Administrative Support 
Date Approved Type of Transaction Vendor Purpose 

02/21/2013 Financial Agent Raymond James and Associates, Inc. Asset Management Services 

03/04/2013 Interagency Agreement Department of the Treasury ‐ Departmental Offices ‐ WCF Administrative Support

03/07/2013 Interagency Agreement Department of Housing and Urban Development Administrative Support

03/26/2013 Contract Bloomberg Finance L.P. Subscription 

03/27/2013 Interagency Agreement IRS ‐ Treasury Acquisition Institute Administrative Support

05/01/2013 Interagency Agreement Internal Revenue Service (IRS) Administrative Support05/10/2013 Contract Equilar Inc. Administrative 

06/13/2013 Contract West Publishing Corporation Administrative Support 

08/01/2013 Contract Evolution Management, Inc. Support Services 

08/20/2013 Contract Knowledge Mosaic Inc. Administrative Support 08/28/2013 Interagency Agreement Bureau of Public Debt (BPD) Administrative Support

09/25/2013 Interagency Agreement Government Accountability Office Administrative Support09/27/2013 Contract SNL Financial LC Administrative Support 

11/22/2013 Interagency Agreement Internal Revenue Service (IRS) Administrative Support

11/22/2013 Interagency Agreement Department of the Treasury ‐ Departmental Offices Administrative Support11/27/2013 Interagency Agreement Department of the Treasury ‐ Departmental Offices ‐ WCF Administrative Support

12/12/2013 Contract Association of Govt Accountants Administrative Support 

12/18/2013 Interagency Agreement Department of Justice Administrative Support

03/05/2014 Interagency Agreement Department of Justice Administrative Support03/12/2014 Interagency Agreement Department of the Treasury ‐ Departmental Offices Information Technology03/24/2014 Contract Mercer (US) Inc. Compliance 04/14/2014 Contract Bloomberg Finance L.P. Administrative Support 
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Insurance Contracts [Section 105(a)(3)(B)]

For Period Ending May 31, 2014

Name Amount

Termination of the $5,000,000,000 Master Agreement between Citigroup and the UST, and FDIC occurred on December 23, 2009 due to the improvement of Citigroufinancial condition and financial market stability. 
Investment Status Definition Key

Full investment outstanding: Treasury's fu l investment is still outstandingRedeemed – inst tution has repaid Treasury’s investmentSold – by auction, an offering, or through a restructuringExited bankruptcy/receivership - Treasury has no ou standing investment11 1ST CONSTITUT ON BANCORP CRANBURY NJ 23‐Dec‐08 P efe ed Stock w/ Wa ants $12,000,000.00 $0.00 $13,433,242.67 Redeemed, n fu

1ST CONSTITUT ON BANCORP CRANBURY NJ 27‐Oct‐10 1ST CONSTITUT ON BANCORP CRANBURY NJ 22‐Nov‐11 

8,14,18,44 1ST ENTERPRISE BANK LOS ANGELES CA 13‐Feb‐09 P efe ed Stock w/ Wa ants $4,400,000.00 $0.00 $11,748,156.44 Redeemed, n fu

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

1ST ENTERPRISE BANK LOS ANGELES CA 1‐Sep‐11 

102 1ST FINANCIAL SERVICES CORPORATION HENDERSONVILLE NC 14‐Nov‐08 P efe ed Stock w/ Wa ants $16,369,000.00 $0.00 $9,229,948.97 Sold, n fu

1ST FINANCIAL SERVICES CORPORATION HENDERSONVILLE NC 31‐Dec‐13 

11 1ST SOURCE CORPORATION SOUTH BEND IN 23‐Jan‐09 P efe ed Stock w/ Wa ants $111,000,000.00 $0.00 $125,480,000.00 Redeemed, n fu

1ST SOURCE CORPORATION SOUTH BEND IN 29‐Dec‐10 1ST SOURCE CORPORATION SOUTH BEND IN 9‐Ma ‐11 

11,8,14 1ST UNITED BANCORP, INC. BOCA RATON FL 13‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $10,000,000.00 $0.00 $10,870,902.67 Redeemed, n fu

1ST UNITED BANCORP, INC. BOCA RATON FL 18‐Nov‐09 

AB&T FINANCIAL CORPORATION GASTONIA NC 23‐Jan‐09 P efe ed Stock w/ Wa ants $3,500,000.00 $0.00 $1,274,909.59 Sold, 

AB&T FINANCIAL CORPORATION GASTONIA NC 19‐Nov‐13 

AB&T FINANCIAL CORPORATION GASTONIA NC 6‐Jan‐14 AB&T FINANCIAL CORPORATION GASTONIA NC 10‐Feb‐14 

AB&T FINANCIAL CORPORATION GASTONIA NC 19‐Ma ‐14 

44,8,14 ADBANC, INC. OGALLALA NE 30‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $12,720,000.00 $0.00 $15,071,769.00 Redeemed, n fu

ADBANC, INC. OGALLALA NE 21‐Jul‐11 

8,14 ALARION FINANCIAL SERVICES, INC. OCALA FL 23‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $6,514,000.00 $0.00 $7,674,004.73 Sold, n fu

ALARION FINANCIAL SERVICES, INC. OCALA FL 19‐Jul‐13 

ALARION FINANCIAL SERVICES, INC. OCALA FL 22‐Jul‐13 

ALARION FINANCIAL SERVICES, INC. OCALA FL 12‐Sep‐13 

104 ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 6‐Feb‐09 P efe ed Stock w/ Wa ants $4,781,000.00 $0.00 $7,501,881.70 Sold, n fu

ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 28‐Nov‐12 

ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 29‐Nov‐12 

ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 11‐Jan‐13 

ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 26‐Ma ‐13 

ALASKA PACIFIC BANCSHARES, INC. JUNEAU AK 1‐Ap ‐14 

ALLIANCE BANCSHARES, INC. DALTON GA 26‐Jun‐09 P efe ed Stock w/ Exe c sed Wa ants $2,986,000.00 $0.00 $3,581,397.27 Sold, n fuALLIANCE BANCSHARES, INC. DALTON GA 27‐Ma ‐13 

ALLIANCE BANCSHARES, INC. DALTON GA 28‐Ma ‐13 

ALLIANCE BANCSHARES, INC. DALTON GA 9‐Ap ‐13 

11 ALLIANCE FINANCIAL CORPORATION SYRACUSE NY 19‐Dec‐08 P efe ed Stock w/ Wa ants $26,918,000.00 $0.00 $28,356,360.00 Redeemed, n fu

ALLIANCE FINANCIAL CORPORATION SYRACUSE NY 13‐May‐09 ALLIANCE FINANCIAL CORPORATION SYRACUSE NY 17‐Jun‐09 

15,14 ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 26‐Jun‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $12,000,000.00 $0.00 $9,806,136.60 Sold, n fu

ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 6‐Feb‐13 ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 7‐Feb‐13 

ALLIANCE FINANCIAL SERVICES, INC. SAINT PAUL MN 26‐Ma ‐13 

8 ALLIED F RST BANCORP, INC. OSWEGO IL 24‐Ap ‐09 P efe ed Stock w/ Exe c sed Wa ants $3,652,000.00 $3,652,000 00 $409,753.00 Fu l nvestment outsta

8,14 ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 27‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $70,000,000.00 $0.00 $73,129,160.69 Sold, n fu

ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 18‐Sep‐12 

ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 19‐Sep‐12 

ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 20‐Sep‐12 

ALPINE BANKS OF COLORADO GLENWOOD SPRINGS CO 16‐Nov‐12 

45,8,14 AMB FINANCIAL CORPORATION MUNSTER IN 30‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $3,674,000.00 $0.00 $4,387,576.45 Redeemed, n fu

AMB FINANCIAL CORPORATION MUNSTER IN 22‐Sep‐11 

44,8,14 AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKLAHOMA COLLINSVILLE OK 6‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $2,492,000.00 $0.00 $2,960,021.33 Redeemed, n fu

AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKLAHOMA COLLINSVILLE OK 15‐Sep‐11 

11 AMERICAN EXPRESS COMPANY NEW YORK NY 9‐Jan‐09 P efe ed Stock w/ Wa ants $3,388,890,000.00 $0.00 $3,803,257,308.33 Redeemed, n fu

AMERICAN EXPRESS COMPANY NEW YORK NY 17‐Jun‐09 

AMERICAN EXPRESS COMPANY NEW YORK NY 29‐Jul‐09 

11,8,14 AMERICAN PREMIER BANCORP ARCADIA CA 29‐May‐09 P efe ed Stock w/ Exe c sed Wa ants $1,800,000.00 $0.00 $2,052,682.49 Redeemed, n fu

AMERICAN PREMIER BANCORP ARCADIA CA 26‐Jan‐11 

11,8,14 AMERICAN STATE BANCSHARES, INC. GREAT BEND KS 9‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $6,000,000.00 $0.00 $7,220,141.67 Redeemed, n fu

AMERICAN STATE BANCSHARES, INC. GREAT BEND KS 2‐Nov‐11 

AMERIS BANCORP MOULTRIE GA 21‐Nov‐08 P efe ed Stock w/ Wa ants $52,000,000.00 $0.00 $59,637,438.67 Sold, n fu

AMERIS BANCORP MOULTRIE GA 19‐Jun‐12 

AMERIS BANCORP MOULTRIE GA 22‐Aug‐12 

45 AMERISERV FINANCIAL, INC. JOHNSTOWN PA 19‐Dec‐08 P efe ed Stock w/ Wa ants $21,000,000.00 $0.00 $24,601,666.66 Redeemed, n fu 

AMERISERV FINANCIAL, INC. JOHNSTOWN PA 11‐Aug‐11 

AMERISERV FINANCIAL, INC. JOHNSTOWN PA 2‐Nov‐11 

15,14 AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 21‐Aug‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $5,000,000.00 $0.00 $6,523,255.00 Sold, n fu

AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 26‐Ma ‐13 

AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 27‐Ma ‐13 

AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 28‐Ma ‐13 

AMFIRST FINANCIAL SERVICES, INC MCCOOK NE 9‐Ap ‐13 

94 ANCHOR BANCORP WISCONSIN, INC. MADISON WI 30‐Jan‐09 P efe ed Stock w/ Wa ants $110,000,000.00 $0.00 $6,000,000.00 Sold, n fu

ANCHOR BANCORP WISCONSIN, INC. MADISON WI 27‐Sep‐13 

11,90 ANNAPOL S BANCORP, INC. / F.N.B. CORPORATION ANNAPOL S MD 30‐Jan‐09 P efe ed Stock w/ Wa ants $8,152,000.00 $0.00 $9,643,136.33 Redeemed, 

ANNAPOL S BANCORP, INC. / F.N.B. CORPORATION ANNAPOL S MD 18‐Ap ‐12 

ANNAPOL S BANCORP, INC. / F.N.B. CORPORATION ANNAPOL S MD 6‐Ma ‐13 

11 ASSOCIATED BANC‐CORP GREEN BAY WI 21‐Nov‐08 P efe ed Stock w/ Wa ants $525,000,000.00 $0.00 $596,539,172.32 Redeemed, n fu

ASSOCIATED BANC‐CORP GREEN BAY WI 6‐Ap ‐11 

ASSOCIATED BANC‐CORP GREEN BAY WI 14‐Sep‐11 

ASSOCIATED BANC‐CORP GREEN BAY WI 6‐Dec‐11 

8,17 ATLANTIC BANCSHARES, INC. BLUFFTON SC 29‐Dec‐09 P efe ed Stock w/ Exe c sed Wa ants $2,000,000.00 $0.00 $2,503,554.78 Sold, n fu

Currently not collectible - investment s currently not col ectible; therefore there is no outstanding investment and a corresponding (Realized Loss) / (Wr te-off)Warrants outstanding – Treasury’s warrant to purchase additional stock s sti l outstanding, including any exercised warrantsIn full – all of Treasury’s investment amountIn part – part of the investment s no longer he d by Treasury, but some remains 

CAPITAL PURCHASE PROGRAM

Investment 

roubled Asset Relief Program

ransactions Report Investment Programs

For Period End ng May 30 2014

his copy of the ransactions Report is subject to the terms and conditions of download as stated at http://www treasury gov/initiatives/financ al stability/reports/Page

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 

FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2

ATLANTIC BANCSHARES, INC. BLUFFTON SC 7‐Feb‐14 

ATLANTIC BANCSHARES, INC. BLUFFTON SC 10‐Feb‐14 

ATLANTIC BANCSHARES, INC. BLUFFTON SC 19‐Ma ‐14 

44,8,14 AVENUE FINANCIAL HOLDINGS NASHV LLE TN 27‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $7,400,000.00 $0.00 $8,798,415.33 Redeemed, n fu

AVENUE FINANCIAL HOLDINGS NASHV LLE TN 15‐Sep‐11 

11 AV DBANK HOLDING, INC. / PENINSULA BANK HOLDING CO. PALO ALTO CA 30‐Jan‐09 P efe ed Stock w/ Wa ants $6,000,000.00 $0.00 $7,563,057.15 Redeemed, n fu

AV DBANK HOLDING, INC. / PENINSULA BANK HOLDING CO. PALO ALTO CA 31‐Jul‐13 

AV DBANK HOLDING, INC. / PENINSULA BANK HOLDING CO. PALO ALTO CA 28‐Aug‐13 

8,44 BANCINDEPENDENT, INCORPORATED SHEFFIELD AL 13‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $21,100,000.00 $0.00 $24,841,411.03 Redeemed, n fu

BANCINDEPENDENT, INCORPORATED SHEFFIELD AL 14‐Jul‐11 

8,17,44 BANCORP FINANCIAL, INC. OAK BROOK IL 10‐Jul‐09 P efe ed Stock w/ Exe c sed Wa ants $13,669,000.00 $0.00 $15,595,736.93 Redeemed, n fu

BANCORP FINANCIAL, INC. OAK BROOK IL 18‐Aug‐11 

11 BANCORP RHODE ISLAND, INC. PROVIDENCE RI 19‐Dec‐08 P efe ed Stock w/ Wa ants $30,000,000.00 $0.00 $32,341,666.66 Redeemed, n fu

BANCORP RHODE ISLAND, INC. PROVIDENCE RI 5‐Aug‐09 

BANCORP RHODE ISLAND, INC. PROVIDENCE RI 30‐Sep‐09 

11,8,14 BANCPLUS CORPORATION RIDGELAND MS 20‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $48,000,000.00 $0.00 $54,607,399.33 Redeemed, n fu

BANCPLUS CORPORATION RIDGELAND MS 29‐Sep‐10 

8,14 BANCSTAR, INC. FESTUS MO 3‐Ap ‐09 P efe ed Stock w/ Exe c sed Wa ants $8,600,000.00 $0.00 $10,701,460.58 Sold, n fu

BANCSTAR, INC. FESTUS MO 26‐Ap ‐13 

BANCSTAR, INC. FESTUS MO 29‐Ap ‐13 

BANCSTAR, INC. FESTUS MO 31‐May‐13 

83 BANCTRUST FINANCIAL GROUP, INC. MOBILE AL 19‐Dec‐08 P efe ed Stock w/ Wa ants $50,000,000.00 $0.00 $60,451,155.74 Redeemed, n fu

BANCTRUST FINANCIAL GROUP, INC. MOBILE AL 15‐Feb‐13 

8,14 BANK FINANCIAL SERVICES, INC. EDEN PRAIR E MN 14‐Aug‐09 P efe ed Stock w/ Exe c sed Wa ants $1,004,000.00 $0.00 $1,114,680.76 Sold, n fu

BANK FINANCIAL SERVICES, INC. EDEN PRAIR E MN 19‐Dec‐12 

BANK FINANCIAL SERVICES, INC. EDEN PRAIR E MN 20‐Dec‐12 

BANK FINANCIAL SERVICES, INC. EDEN PRAIR E MN 11‐Jan‐13 

BANK FINANCIAL SERVICES, INC. EDEN PRAIR E MN 26‐Ma ‐13 

6,7,11 BANK OF AMER CA CHARLOTTE NC 28‐Oct‐08 P efe ed Stock w/ Wa ants $15,000,000,000.00 $0.00 $26,599,663,040.28 Redeemed, n fu

BANK OF AMER CA CHARLOTTE NC 9‐Jan‐09 $10,000,000,000.00BANK OF AMER CA CHARLOTTE NC 9‐Dec‐09 

BANK OF AMER CA CHARLOTTE NC 9‐Ma ‐10 

8,14 BANK OF COMMERCE CHARLOTTE NC 16‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $3,000,000.00 $0.00 $3,087,573.33 Sold, n fu

BANK OF COMMERCE CHARLOTTE NC 30‐Nov‐12 

BANK OF COMMERCE CHARLOTTE NC 11‐Jan‐13 

44 BANK OF COMMERCE HOLDINGS REDDING CA 14‐Nov‐08 P efe ed Stock w/ Wa ants $17,000,000.00 $0.00 $19,564,027.78 Redeemed, n fu

BANK OF COMMERCE HOLDINGS REDDING CA 27‐Sep‐11 

BANK OF COMMERCE HOLDINGS REDDING CA 26‐Oct‐11 

8 BANK OF GEORGE LAS VEGAS NV 13‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $2,672,000.00 $0.00 $1,233,940.00 Sold, n fu

BANK OF GEORGE LAS VEGAS NV 21‐Oct‐13 

BANK OF GEORGE LAS VEGAS NV 6‐Jan‐14 

11 BANK OF MARIN BANCORP NOVATO CA 5‐Dec‐08 P efe ed Stock w/ Wa ants $28,000,000.00 $0.00 $30,155,095.11 Redeemed, n fu

BANK OF MARIN BANCORP NOVATO CA 31‐Ma ‐09 

BANK OF MARIN BANCORP NOVATO CA 23‐Nov‐11 

11 BANK OF NEW YORK MELLON NEW YORK NY 28‐Oct‐08 P efe ed Stock w/ Wa ants $3,000,000,000.00 $0.00 $3,231,416,666.67 Redeemed, n fu

BANK OF NEW YORK MELLON NEW YORK NY 17‐Jun‐09 

BANK OF NEW YORK MELLON NEW YORK NY 5‐Aug‐09 

105 BANK OF THE CAROLINAS CORPORATION MOCKSVILLE NC 17‐Ap ‐09 P efe ed Stock w/ Wa ants $13,179,000.00 $13,179,000 00 $1,039,677.00 Fu l nvestment outsta

11 BANK OF THE OZARKS, INC. LITTLE ROCK AR 12‐Dec‐08 P efe ed Stock w/ Wa ants $75,000,000.00 $0.00 $81,004,166.67 Redeemed, n fu

BANK OF THE OZARKS, INC. LITTLE ROCK AR 4‐Nov‐09 

BANK OF THE OZARKS, INC. LITTLE ROCK AR 24‐Nov‐09 

8 106 BANKERS' BANK OF THE WEST BANCORP, INC. DENVER CO 30‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $12,639,000.00 $0.00 $17,097,990.60 Redeemed, n fu 

BANKERS' BANK OF THE WEST BANCORP, INC. DENVER CO 24‐Ap ‐14 

44,8,14 BANKFIRST CAPITAL CORPORATION MACON MS 23‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $15,500,000.00 $0.00 $18,492,469.25 Redeemed, n fu

BANKFIRST CAPITAL CORPORATION MACON MS 8‐Sep‐11 

8,14 BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 13‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $1,000,000.00 $0.00 $1,100,653.50 Sold, n fu

BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 9‐Nov‐12 

BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 11‐Jan‐13 

BANKGREENVILLE FINANCIAL CORPORATION GREENVILLE SC 26‐Ma ‐13 BANNER CORPORATION/BANNER BANK WALLA WALLA WA 21‐Nov‐08 P efe ed Stock w/ Wa ants $124,000,000.00 $0.00 $129,079,862.47 Sold, n fu

BANNER CORPORATION/BANNER BANK WALLA WALLA WA 3‐Ap ‐12 

BANNER CORPORATION/BANNER BANK WALLA WALLA WA 12‐Jun‐13 

44,8,14 BANNER COUNTY BAN CORPORATION HARR SBURG NE 6‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $795,000.00 $0.00 $942,411.42 Redeemed, n fu

BANNER COUNTY BAN CORPORATION HARRISBURG NE 28‐Jul‐11 

12,16 BAR HARBOR BANKSHARES BAR HARBOR ME 16‐Jan‐09 P efe ed Stock w/ Wa ants $18,751,000.00 $0.00 $20,037,514.11 Redeemed, n fu

BAR HARBOR BANKSHARES BAR HARBOR ME 24‐Feb‐10 

BAR HARBOR BANKSHARES BAR HARBOR ME 28‐Jul‐10 

11 BB&T CORP. WINSTON‐SALEM NC 14‐Nov‐08 P efe ed Stock w/ Wa ants $3,133,640,000.00 $0.00 $3,293,353,918.53 Redeemed, n fu

BB&T CORP. WINSTON‐SALEM NC 17‐Jun‐09 

BB&T CORP. WINSTON‐SALEM NC 22‐Jul‐09 

8 BCB HOLDING COMPANY, INC. THEODORE AL 3‐Ap ‐09 P efe ed Stock w/ Exe c sed Wa ants $1,706,000.00 $1,706,000 00 $173,507.50 Fu l nvestment outsta

11 BCSB BANCORP, INC. BALT MORE MD 23‐Dec‐08 P efe ed Stock w/ Wa ants $10,800,000.00 $0.00 $13,371,500.00 Redeemed, n fu

BCSB BANCORP, INC. BALT MORE MD 26‐Jan‐11 

BCSB BANCORP, INC. BALT MORE MD 19‐Ap ‐13 

11,8,14 BEACH BUSINESS BANK MANHATTAN BEACH CA 30‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $6,000,000.00 $0.00 $7,263,316.66 Redeemed, n fu

BEACH BUSINESS BANK MANHATTAN BEACH CA 6‐Jul‐11 

BEACH BUSINESS BANK MANHATTAN BEACH CA 19‐Oct‐11 

BEACH BUSINESS BANK MANHATTAN BEACH CA 7‐Ma ‐12 BEACH BUSINESS BANK MANHATTAN BEACH CA 6‐Jun‐12 

BEACH BUSINESS BANK MANHATTAN BEACH CA 27‐Jun‐12 

11,14,8 BERKSH RE BANCORP, INC. / CUSTOMERS BANCORP, INC. PHOENIXVILLE PA 12‐Jun‐09 P efe ed Stock w/ Exe c sed Wa ants $2,892,000.00 $0.00 $3,444,478.21 Redeemed, n fu

BERKSH RE BANCORP, INC. / CUSTOMERS BANCORP, INC. PHOENIXVILLE PA 19‐Sep‐11 

BERKSH RE BANCORP, INC. / CUSTOMERS BANCORP, INC. PHOENIXVILLE PA 28‐Dec‐11 

11 BERKSH RE HILLS BANCORP, INC. PITTSFIELD MA 19‐Dec‐08 P efe ed Stock w/ Wa ants $40,000,000.00 $0.00 $41,917,777.78 Redeemed, n fu

BERKSH RE HILLS BANCORP, INC. PITTSFIELD MA 27‐May‐09 BERKSH RE HILLS BANCORP, INC. PITTSFIELD MA 24‐Jun‐09 

44,8,14 BERN BANCSHARES, INC. BERN KS 13‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $985,000.00 $0.00 $1,172,062.50 Redeemed, n fu

BERN BANCSHARES, INC. BERN KS 1‐Sep‐11 

8,14,18,44 BIRMINGHAM BLOOMFIELD BANCSHARES, INC. BIRMINGHAM MI 24‐Ap ‐09 P efe ed Stock w/ Exe c sed Wa ants $1,635,000.00 $0.00 $3,803,022.67 Redeemed, n fu

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

BIRMINGHAM BLOOMFIELD BANCSHARES, INC. BIRMINGHAM MI 28‐Jul‐11 

15,17 BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 19‐Jun‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $6,400,000.00 $0.00 $8,271,975.28 Sold, n fu

BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 7‐Feb‐13 

BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 8‐Feb‐13 

BISCAYNE BANCSHARES, INC. COCONUT GROVE FL 26‐Ma ‐13 

8,14 BLACKHAWK BANCORP, INC. BELOIT WI 13‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $10,000,000.00 $0.00 $11,459,461.11 Sold, n fu

BLACKHAWK BANCORP, INC. BELOIT WI 29‐Oct‐12 BLACKHAWK BANCORP, INC. BELOIT WI 31‐Oct‐12 

BLACKHAWK BANCORP, INC. BELOIT WI 11‐Jan‐13 
Investment 

FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2

14,8,14 BLACKRIDGE FINANCIAL, INC. FARGO ND 22‐May‐09 P efe ed Stock w/ Exe c sed Wa ants $5,000,000.00 $0.00 $6,127,326.35 Redeemed, n fu

BLACKRIDGE FINANCIAL, INC. FARGO ND 27‐Jun‐12 

BLACKRIDGE FINANCIAL, INC. FARGO ND 12‐Sep‐12 

8,14 BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 6‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $12,000,000.00 $0.00 $11,938,437.34 Sold, n fu

BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 29‐Oct‐12 BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 31‐Oct‐12 

BLUE RIDGE BANCSHARES, INC. INDEPENDENCE MO 11‐Jan‐13 

8,64,97 BLUE RIVER BANCSHARES, INC. SHELBYVILLE IN 6‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $5,000,000.00 $0.00 $529,105.00 

BLUE RIVER BANCSHARES, INC. SHELBYVILLE IN 10‐Feb‐12 BLUE VALLEY BAN CORP OVERLAND PARK KS 5‐Dec‐08 P efe ed Stock w/ Wa ants $21,750,000.00 $0.00 $21,261,845.65 Sold, BLUE VALLEY BAN CORP OVERLAND PARK KS 18‐Oct‐13 

BLUE VALLEY BAN CORP OVERLAND PARK KS 21‐Oct‐13 

BLUE VALLEY BAN CORP OVERLAND PARK KS 6‐Jan‐14 

8 BNB FINANCIAL SERVICES CORPORATION NEW YORK NY 17‐Ap ‐09 P efe ed Stock w/ Exe c sed Wa ants $7,500,000.00 $0.00 $9,776,051.62 Redeemed, n fu

BNB FINANCIAL SERVICES CORPORATION NEW YORK NY 30‐Aug‐13 

BNC BANCORP THOMASVILLE NC 5‐Dec‐08 P efe ed Stock w/ Wa ants $31,260,000.00 $0.00 $35,140,666.12 Sold, n fu

BNC BANCORP THOMASVILLE NC 29‐Aug‐12 

BNC BANCORP THOMASVILLE NC 19‐Sep‐12 

44,8,14 BNC FINANCIAL GROUP, INC. NEW CANAAN CT 27‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $4,797,000.00 $0.00 $5,673,920.75 Redeemed, n fu

BNC FINANCIAL GROUP, INC. NEW CANAAN CT 4‐Aug‐11 

8 BNCCORP, INC. BISMARCK ND 16‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $20,093,000.00 $0.00 $26,941,865.35 Sold, n fu

BNCCORP, INC. BISMARCK ND 14‐Ma ‐14 BNCCORP, INC. BISMARCK ND 17‐Ma ‐14 

BNCCORP, INC. BISMARCK ND 25‐Ap ‐14 

44,8,14 BOH HOLDINGS, INC. HOUSTON TX 6‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $10,000,000.00 $0.00 $11,783,777.44 Redeemed, n fu

BOH HOLDINGS, INC. HOUSTON TX 14‐Jul‐11 

15,14 BOSCOBEL BANCORP, INC. BOSCOBEL WI 15‐May‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $5,586,000.00 $0.00 $6,947,457.50 Sold, n fu

BOSCOBEL BANCORP, INC. BOSCOBEL WI 8‐Ma ‐13 

BOSCOBEL BANCORP, INC. BOSCOBEL WI 11‐Ma ‐13 

BOSCOBEL BANCORP, INC. BOSCOBEL WI 9‐Ap ‐13 

11 BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 21‐Nov‐08 P efe ed Stock w/ Wa ants $154,000,000.00 $0.00 $171,224,745.48 Redeemed, n fu

BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 13‐Jan‐10 

BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 16‐Jun‐10 BOSTON PRIVATE FINANCIAL HOLDINGS INC. BOSTON MA 7‐Feb‐11 

11 BRIDGE CAPITAL HOLDINGS SAN JOSE CA 23‐Dec‐08 P efe ed Stock w/ Wa ants $23,864,000.00 $0.00 $27,872,582.22 Redeemed, n fu

BRIDGE CAPITAL HOLDINGS SAN JOSE CA 23‐Feb‐11 

BRIDGE CAPITAL HOLDINGS SAN JOSE CA 16‐Ma ‐11 

BRIDGE CAPITAL HOLDINGS SAN JOSE CA 20‐Ap ‐11 

8 BRIDGEVIEW BANCORP, INC. BRIDGEVIEW IL 19‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $38,000,000.00 $0.00 $13,447,811.37 Sold, n fu

BRIDGEVIEW BANCORP, INC. BRIDGEVIEW IL 19‐Nov‐13 

BRIDGEVIEW BANCORP, INC. BRIDGEVIEW IL 6‐Jan‐14 

9,10,18,65,96,99 BROADWAY FINANCIAL CORPORATION LOS ANGELES CA 14‐Nov‐08 P efe ed Stock w/ Wa ants $9,000,000.00 $15,000,000 00 $810,416.67 Full nvestment outstand n

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

15,14 BROGAN BANKSHARES, INC. KAUKAUNA WI 15‐May‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $2,400,000.00 $0.00 $3,022,879.60 Sold, n fu

BROGAN BANKSHARES, INC. KAUKAUNA WI 26‐Ap ‐13 

BROGAN BANKSHARES, INC. KAUKAUNA WI 29‐Ap ‐13 

BROGAN BANKSHARES, INC. KAUKAUNA WI 31‐May‐13 

8,44,14 BROTHERHOOD BANCSHARES, INC. KANSAS CITY KS 17‐Jul‐09 P efe ed Stock w/ Exe c sed Wa ants $11,000,000.00 $0.00 $12,845,586.01 Redeemed, n fu

BROTHERHOOD BANCSHARES, INC. KANSAS CITY KS 15‐Sep‐11 

11,8,14 BUSINESS BANCSHARES, INC. CLAYTON MO 24‐Ap ‐09 P efe ed Stock w/ Exe c sed Wa ants $15,000,000.00 $0.00 $18,707,708.84 Redeemed, n fu

BUSINESS BANCSHARES, INC. CLAYTON MO 23‐May‐12 

BUSINESS BANCSHARES, INC. CLAYTON MO 9‐Jan‐13 

BUSINESS BANCSHARES, INC. CLAYTON MO 24‐Ap ‐13 

11,8,14 BUTLER POINT, INC. CATLIN IL 13‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $607,000.00 $0.00 $724,123.53 Redeemed, n fu

BUTLER POINT, INC. CATLIN IL 2‐Nov‐11 

11 C&F FINANCIAL CORPORATION WEST POINT VA 9‐Jan‐09 P efe ed Stock w/ Wa ants $20,000,000.00 $0.00 $25,205,957.78 Redeemed, n fu

C&F FINANCIAL CORPORATION WEST POINT VA 27‐Jul‐11 

C&F FINANCIAL CORPORATION WEST POINT VA 11‐Ap ‐12 

C&F FINANCIAL CORPORATION WEST POINT VA 14‐May‐14 

8,14,18,44 CACHE VALLEY BANKING COMPANY LOGAN UT 23‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $4,767,000.00 $0.00 $10,674,333.80 Redeemed, n fu 

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

CACHE VALLEY BANKING COMPANY LOGAN UT 14‐Jul‐11 

CADENCE FINANCIAL CORPORAT ON STARKV LLE MS 9‐Jan‐09 P efe ed Stock w/ Wa ants $44,000,000.00 $0.00 $41,984,062.50 Sold, n fu

CADENCE FINANCIAL CORPORAT ON STARKV LLE MS 4‐Ma ‐11 

44,8,14 CALIFORNIA BANK OF COMMERCE LAFAYETTE CA 27‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $4,000,000.00 $0.00 $4,755,899.67 Redeemed, n fu 

CALIFORNIA BANK OF COMMERCE LAFAYETTE CA 15‐Sep‐11 

11,8,14 CALIFORNIA OAKS STATE BANK THOUSAND OAKS CA 23‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $3,300,000.00 $0.00 $3,802,219.25 Redeemed, n fu

CALIFORNIA OAKS STATE BANK THOUSAND OAKS CA 8‐Dec‐10 

8 CALVERT FINANCIAL CORPORAT ON ASHLAND MO 23‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $1,037,000.00 $1,037,000 00 $215,442.61 Fu l nvestment outsta

8 CALWEST BANCORP RANCHO SANTA MARGARIT CA 23‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $4,656,000.00 $4,656,000 00 $396,163.67 Fu l nvestment outsta

11,8,14 CAPITAL BANCORP, INC. ROCKVILLE MD 23‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $4,700,000.00 $0.00 $5,452,281.19 Redeemed, n fu

CAPITAL BANCORP, INC. ROCKVILLE MD 30‐Dec‐10 

39 CAPITAL BANK CORPORAT ON RALE GH NC 12‐Dec‐08 P efe ed Stock w/ Wa ants $41,279,000.00 $0.00 $45,252,104.25 Redeemed, n fu

CAPITAL BANK CORPORAT ON RALE GH NC 28‐Jan‐11 

8 CAPITAL COMMERCE BANCORP, INC. MILWAUKEE WI 10‐Ap ‐09 P efe ed Stock w/ Exe c sed Wa ants $5,100,000.00 $5,100,000 00 $304,973.00 Fu l nvestment outsta

11 CAPITAL ONE FINANCIAL CORP MCLEAN VA 14‐Nov‐08 P efe ed Stock w/ Wa ants $3,555,199,000.00 $0.00 $3,806,873,702.13 Redeemed, n fu

CAPITAL ONE FINANCIAL CORP MCLEAN VA 17‐Jun‐09 

CAPITAL ONE FINANCIAL CORP MCLEAN VA 9‐Dec‐09 

8,14 CAPITAL PACIFIC BANCORP PORTLAND OR 23‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $4,000,000.00 $0.00 $4,742,850.89 Sold, n fu

CAPITAL PACIFIC BANCORP PORTLAND OR 8‐Nov‐12 

CAPITAL PACIFIC BANCORP PORTLAND OR 9‐Nov‐12 

CAPITAL PACIFIC BANCORP PORTLAND OR 11‐Jan‐13 

15,45,14 CARDINAL BANCORP I, INC. WASHINGTON MO 23‐Oct‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $6,251,000.00 $0.00 $7,547,479.56 Redeemed, n fu

CARDINAL BANCORP I, INC. WASHINGTON MO 8‐Sep‐11 

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 9‐Jan‐09 P efe ed Stock w/ Wa ants $16,000,000.00 $0.00 $19,941,788.94 Sold, n fu

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 20‐Feb‐13 

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 21‐Feb‐13 

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 26‐Ma ‐13 

CAROLINA BANK HOLDINGS, INC. GREENSBORO NC 19‐Ap ‐13 

CAROLINA TRUST BANK LINCOLNTON NC 6‐Feb‐09 P efe ed Stock w/ Wa ants $4,000,000.00 $0.00 $3,994,452.00 Sold, n fu

CAROLINA TRUST BANK LINCOLNTON NC 30‐Nov‐12 

CAROLINA TRUST BANK LINCOLNTON NC 11‐Jan‐13 

CAROLINA TRUST BANK LINCOLNTON NC 26‐Ma ‐13 

CAROLINA TRUST BANK LINCOLNTON NC 11‐Jun‐13 

11 CARROLLTON BANCORP BALT MORE MD 13‐Feb‐09 P efe ed Stock w/ Wa ants $9,201,000.00 $0.00 $11,388,958.51 Redeemed, n fu 

CARROLLTON BANCORP BALT MORE MD 19‐Ap ‐13 

11,9,36 CARVER BANCORP, INC. NEW YORK NY 16‐Jan‐09 P efe ed Stock $18,980,000.00 $0.00 $20,511,580.55 Redeemed, n fu 

CARVER BANCORP, INC. NEW YORK NY 27‐Aug‐10 

CASCADE FINANCIAL CORPORATION EVERETT WA 21‐Nov‐08 P efe ed Stock w/ Wa ants $38,970,000.00 $0.00 $17,678,900.00 Sold, n fu
Investment 

FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2

CASCADE FINANCIAL CORPORATION EVERETT WA 30‐Jun‐11 

11 CATHAY GENERAL BANCORP LOS ANGELES CA 5‐Dec‐08 P efe ed Stock w/ Wa ants $258,000,000.00 $0.00 $329,874,444.96 Redeemed, n fu

CATHAY GENERAL BANCORP LOS ANGELES CA 20‐Ma ‐13 

CATHAY GENERAL BANCORP LOS ANGELES CA 30‐Sep‐13 

CATHAY GENERAL BANCORP LOS ANGELES CA 9‐Dec‐13 

8,18,14,44 CATSK LL HUDSON BANCORP, INC. ROCK HILL NY 27‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $3,000,000.00 $0.00 $7,448,071.47 Redeemed, n fu

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

CATSKILL HUDSON BANCORP, INC. ROCK HILL NY 21‐Jul‐11 

8,57,97 CB HOLDING CORP. ALEDO IL 29‐May‐09 P efe ed Stock w/ Exe c sed Wa ants $4,114,000.00 $0.00 $271,579.53 

CB HOLDING CORP. ALEDO IL 14‐Oct‐11 

8,18,18 CBB BANCORP CARTERSVILLE GA 20‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $2,644,000.00 $0.00 $4,982,141.86 Sold, n fu

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

CBB BANCORP CARTERSVILLE GA 28‐Nov‐12 

CBB BANCORP CARTERSVILLE GA 29‐Nov‐12 

CBB BANCORP CARTERSVILLE GA 11‐Jan‐13 

CBB BANCORP CARTERSVILLE GA 26‐Ma ‐13 

8 14 CBS BANC‐CORP. RUSSELLVILLE AL 27‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $24,300,000.00 $0.00 $27,432,357.95 Sold, n fu

CBS BANC‐CORP. RUSSELLVILLE AL 7‐Aug‐12 CBS BANC‐CORP. RUSSELLVILLE AL 9‐Aug‐12 

CBS BANC‐CORP. RUSSELLVILLE AL 10‐Aug‐12 

CBS BANC‐CORP. RUSSELLVILLE AL 11‐Sep‐12 

CECIL BANCORP, INC. ELKTON MD 23‐Dec‐08 P efe ed Stock w/ Wa ants $11,560,000.00 $11,560,000 00 $516,988.89 Fu l nvestment outsta

8 CEDARSTONE BANK LEBANON TN 6‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $3,564,000.00 $0.00 $4,672,098.50 Redeemed, n fu

CEDARSTONE BANK LEBANON TN 20‐Nov‐13 

44 CENTER BANCORP, INC. UNION NJ 9‐Jan‐09 P efe ed Stock w/ Wa ants $10,000,000.00 $0.00 $11,586,666.67 Redeemed, n fu

CENTER BANCORP, INC. UNION NJ 15‐Sep‐11 

CENTER BANCORP, INC. UNION NJ 7‐Dec‐11 

11,59 CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC. LOS ANGELES CA 12‐Dec‐08 P efe ed Stock w/ Wa ants $55,000,000.00 $0.00 $64,739,583.33 Redeemed, 

CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC. LOS ANGELES CA 27‐Jun‐12 

8 14 CENTERBANK M LFORD OH 1‐May‐09 P efe ed Stock w/ Exe c sed Wa ants $2,250,000.00 $0.00 $2,344,662.43 Sold, n fu

CENTERBANK MILFORD OH 29‐Oct‐12 

CENTERBANK MILFORD OH 1‐Nov‐12 

CENTERBANK M LFORD OH 11‐Jan‐13 CENTERBANK M LFORD OH 26‐Ma ‐13 

12,16 CENTERSTATE BANKS OF FLORIDA INC. DAVENPORT FL 21‐Nov‐08 P efe ed Stock w/ Wa ants $27,875,000.00 $0.00 $29,283,302.58 Redeemed, n fu 

CENTERSTATE BANKS OF FLORIDA INC. DAVENPORT FL 30‐Sep‐09 

CENTERSTATE BANKS OF FLORIDA INC. DAVENPORT FL 28‐Oct‐09 

11,8,14 CENTRA FINANCIAL HOLDINGS, INC. MORGANTOWN WV 16‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $15,000,000.00 $0.00 $15,922,937.50 Redeemed, n fu

CENTRA FINANCIAL HOLDINGS, INC. MORGANTOWN WV 31‐Ma ‐09 

CENTRA FINANCIAL HOLDINGS, INC. MORGANTOWN WV 15‐Ap ‐09 

45 CENTRAL BANCORP, INC. (MA) SOMERVILLE MA 5‐Dec‐08 P efe ed Stock w/ Wa ants $10,000,000.00 $0.00 $13,886,111.11 Redeemed, n fu

CENTRAL BANCORP, INC. (MA) SOMERVILLE MA 25‐Aug‐11 

CENTRAL BANCORP, INC. (MA) SOMERVILLE MA 19‐Oct‐11 

8 CENTRAL BANCORP, INC. (TX) GARLAND TX 27‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $22,500,000.00 $22,500,000 00 $2,411,625.00 Fu l nvestment outsta

11,8,14 CENTRAL BANCSHARES, INC. HOUSTON TX 30‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $5,800,000.00 $0.00 $6,859,176.83 Redeemed, n fu

CENTRAL BANCSHARES, INC. HOUSTON TX 6‐Jul‐11 

8,14 CENTRAL COMMUNITY CORPORAT ON TEMPLE TX 20‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $22,000,000.00 $0.00 $25,797,528.80 Sold, n fu

CENTRAL COMMUNITY CORPORAT ON TEMPLE TX 10‐Dec‐12 

CENTRAL COMMUNITY CORPORAT ON TEMPLE TX 11‐Dec‐12 CENTRAL COMMUNITY CORPORAT ON TEMPLE TX 11‐Jan‐13 

CENTRAL FEDERAL CORPORATION FAIRLAWN OH 5‐Dec‐08 P efe ed Stock w/ Wa ants $7,225,000.00 $0.00 $3,612,118.06 Sold, n fu

CENTRAL FEDERAL CORPORATION FAIRLAWN OH 26‐Sep‐12 

11 CENTRAL JERSEY BANCORP OAKHURST NJ 23‐Dec‐08 P efe ed Stock w/ Wa ants $11,300,000.00 $0.00 $12,704,145.10 Redeemed, n fu

CENTRAL JERSEY BANCORP OAKHURST NJ 24‐Nov‐10 

CENTRAL JERSEY BANCORP OAKHURST NJ 1‐Dec‐10 

40 CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 9‐Jan‐09 P efe ed Stock w/ Wa ants $135,000,000.00 $0.00 $75,036,891.42 Sold, n fu

CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 22‐Jun‐11 

CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 4‐Ap ‐12 

CENTRAL PACIFIC FINANCIAL CORP. HONOLULU HI 11‐Jun‐13 

45 CENTRAL VALLEY COMMUNITY BANCORP FRESNO CA 30‐Jan‐09 P efe ed Stock w/ Wa ants $7,000,000.00 $0.00 $8,077,516.47 Redeemed, n fu

CENTRAL VALLEY COMMUNITY BANCORP FRESNO CA 18‐Aug‐11 

CENTRAL VALLEY COMMUNITY BANCORP FRESNO CA 28‐Sep‐11 

93 CENTRAL VIRGINIA BANKSHARES, INC. POWHATAN VA 30‐Jan‐09 P efe ed Stock w/ Wa ants $11,385,000.00 $0.00 $3,800,656.00 Sold, n fu

CENTRAL VIRGINIA BANKSHARES, INC. POWHATAN VA 1‐Oct‐13 

8,17,44 CENTRIC FINANCIAL CORPORATION HARRISBURG PA 18‐Dec‐09 P efe ed Stock w/ Exe c sed Wa ants $6,056,000.00 $0.00 $6,739,821.89 Redeemed, n fu

CENTRIC FINANCIAL CORPORATION HARRISBURG PA 14‐Jul‐11 

44,8,14 CENTRIX BANK & TRUST BEDFORD NH 6‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $7,500,000.00 $0.00 $8,887,791.42 Redeemed, n fu

CENTRIX BANK & TRUST BEDFORD NH 28‐Jul‐11 

CENTRUE FINANCIAL CORPORATION OTTAWA IL 9‐Jan‐09 P efe ed Stock w/ Wa ants $32,668,000.00 $0.00 $11,203,387.14 Sold, 

CENTRUE FINANCIAL CORPORATION OTTAWA IL 25‐Sep‐13 

CENTRUE FINANCIAL CORPORATION OTTAWA IL 18‐Oct‐13 

CENTRUE FINANCIAL CORPORATION OTTAWA IL 29‐Oct‐13 CENTRUE FINANCIAL CORPORATION OTTAWA IL 6‐Jan‐14 

CENTRUE FINANCIAL CORPORATION OTTAWA IL 10‐Feb‐14 

CENTRUE FINANCIAL CORPORATION OTTAWA IL 19‐Ma ‐14 

15,14 CENTURY FINANCIAL SERVICES CORPORATION SANTA FE NM 19‐Jun‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $10,000,000.00 $0.00 $13,186,960.25 Sold, n fu

CENTURY FINANCIAL SERVICES CORPORATION SANTA FE NM 19‐Dec‐12 

CENTURY FINANCIAL SERVICES CORPORATION SANTA FE NM 20‐Dec‐12 

CENTURY FINANCIAL SERVICES CORPORATION SANTA FE NM 11‐Jan‐13 

15 CHAMBERS BANCSHARES, INC. DANVILLE AR 29‐May‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $19,817,000.00 $19,817,000 00 $5,754,674.98 Fu l nvestment outsta8 CH CAGO SHORE CORPORATION CH CAGO IL 31‐Jul‐09 P efe ed Stock w/ Exe c sed Wa ants $7,000,000.00 $0.00 $8,981,348.81 Sold, n fu

CH CAGO SHORE CORPORATION CH CAGO IL 14‐Ma ‐14 

CH CAGO SHORE CORPORATION CH CAGO IL 17‐Ma ‐14 

CH CAGO SHORE CORPORATION CH CAGO IL 25‐Ap ‐14 

23 CIT GROUP INC. NEW YORK NY 31‐Dec‐08 P efe ed Stock w/ Wa ants $2,330,000,000.00 $0.00 $43,687,500.00 Ex 

CIT GROUP INC. NEW YORK NY 10‐Dec‐09 

19,30 CITIGROUP INC. NEW YORK NY 28‐Oct‐08 P efe ed Stock w/ Wa ants $25,000,000,000.00 $0.00 $32,839,267,986.44 Redeemed, n fu

CITIGROUP INC. NEW YORK NY 10‐Dec‐10 

CITIGROUP INC. NEW YORK NY 31‐Jan‐11 

11 CITIZENS & NORTHERN CORPORATION WELLSBORO PA 16‐Jan‐09 P efe ed Stock w/ Wa ants $26,440,000.00 $0.00 $28,889,100.00 Redeemed, n fu

CITIZENS & NORTHERN CORPORATION WELLSBORO PA 4‐Aug‐10 

CITIZENS & NORTHERN CORPORATION WELLSBORO PA 1‐Sep‐10 

8,55,97 CITIZENS BANCORP NEVADA CITY CA 23‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $10,400,000.00 $0.00 $223,571.11 

CITIZENS BANCORP NEVADA CITY CA 23‐Sep‐11 

8,14 CITIZENS BANCSHARES CO. CH LLICOTHE MO 29‐May‐09 P efe ed Stock w/ Exe c sed Wa ants $24,990,000.00 $0.00 $13,952,381.45 Sold, n fu

CITIZENS BANCSHARES CO. CH LLICOTHE MO 7‐Feb‐13 

CITIZENS BANCSHARES CO. CH LLICOTHE MO 8‐Feb‐13 

CITIZENS BANCSHARES CO. CH LLICOTHE MO 26‐Ma ‐13 

11,9,36 CITIZENS BANCSHARES CORPORATION ATLANTA GA 6‐Ma ‐09 P efe ed Stock $7,462,000.00 $0.00 $7,997,813.22 Redeemed, n fu
Investment 

FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2

CITIZENS BANCSHARES CORPORATION ATLANTA GA 13‐Aug‐10 

8 CITIZENS BANK & TRUST COMPANY, ESTABL SHED 1945 COVINGTON LA 20‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $2,400,000.00 $2,400,000 00 $510,483.00 Fu l nvestment outsta

8 CITIZENS COMMERCE BANCSHARES, INC. VERSAILLES KY 6‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $6,300,000.00 $6,300,000 00 $180,258.50 Fu l nvestment outsta

44,8,14 CITIZENS COMMUNITY BANK SOUTH HILL VA 23‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $3,000,000.00 $0.00 $3,574,645.84 Redeemed, n fu

CITIZENS COMMUNITY BANK SOUTH HILL VA 28‐Jul‐11 

11 CITIZENS FIRST CORPORATION BOWLING GREEN KY 19‐Dec‐08 P efe ed Stock w/ Wa ants $8,779,000.00 $0.00 $10,530,923.11 Redeemed, 

CITIZENS FIRST CORPORATION BOWLING GREEN KY 16‐Feb‐11 CITIZENS FIRST CORPORATION BOWLING GREEN KY 13‐Feb‐13 CITIZENS FIRST CORPORATION BOWLING GREEN KY 15‐Jan‐14 

86 CITIZENS REPUBLIC BANCORP, INC. / FIRSTMERIT CORPORATION FLINT MI 12‐Dec‐08 P efe ed Stock w/ Wa ants $300,000,000.00 $0.00 $369,245,436.64 Redeemed, 

CITIZENS REPUBLIC BANCORP, INC. / FIRSTMERIT CORPORATION FLINT MI 12‐Ap ‐13 

45 CITIZENS SOUTH BANKING CORPORATION GASTONIA NC 12‐Dec‐08 P efe ed Stock w/ Wa ants $20,500,000.00 $0.00 $23,572,379.22 Redeemed, n fu

CITIZENS SOUTH BANKING CORPORATION GASTONIA NC 22‐Sep‐11 

CITIZENS SOUTH BANKING CORPORATION GASTONIA NC 9‐Nov‐11 

8,9 CITY NATIONAL BANCSHARES CORPORAT ON NEWARK NJ 10‐Ap ‐09 P efe ed Stock $9,439,000.00 $9,439,000 00 $281,859.00 Full nvestment outstand n

11 CITY NATIONAL CORPORATION BEVERLY HILLS CA 21‐Nov‐08 P efe ed Stock w/ Wa ants $400,000,000.00 $0.00 $442,416,666.67 Redeemed, n fu

CITY NATIONAL CORPORATION BEVERLY HILLS CA 30‐Dec‐09 

CITY NATIONAL CORPORATION BEVERLY HILLS CA 3‐Ma ‐10 

CITY NATIONAL CORPORATION BEVERLY HILLS CA 7‐Ap ‐10 

8,14 CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 27‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $3,000,000.00 $0.00 $3,318,585.05 Sold, n fu

CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 28‐Nov‐12 CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 29‐Nov‐12 

CLOVER COMMUNITY BANKSHARES, INC. CLOVER SC 11‐Jan‐13 

82 COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 5‐Dec‐08 P efe ed Stock w/ Wa ants $9,950,000.00 $0.00 $11,166,897.79 Sold, n fu

COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 8‐Ma ‐13 

COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 11‐Ma ‐13 

COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 9‐Ap ‐13 

COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 10‐Ap ‐13 

COASTAL BANKING COMPANY, INC. FERNANDINA BEACH FL 12‐Jun‐13 

8 17 COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 28‐Aug‐09 P efe ed Stock w/ Exe c sed Wa ants $16,015,000.00 $0.00 $14,257,487.71 Sold, n fu

COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 8‐Ma ‐13 

COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 11‐Ma ‐13 

COASTALSOUTH BANCHARES, INC. HILTON HEAD ISLAND SC 9‐Ap ‐13 

45 COB Z FINANCIAL INC. DENVER CO 19‐Dec‐08 P efe ed Stock w/ Wa ants $64,450,000.00 $0.00 $73,357,086.72 Redeemed, n fu

COB Z FINANCIAL INC. DENVER CO 8‐Sep‐11 

COB Z FINANCIAL INC. DENVER CO 23‐Nov‐11 

44 CODORUS VALLEY BANCORP, INC. YORK PA 9‐Jan‐09 P efe ed Stock w/ Wa ants $16,500,000.00 $0.00 $19,178,479.00 Redeemed, n fu

CODORUS VALLEY BANCORP, INC. YORK PA 18‐Aug‐11 

CODORUS VALLEY BANCORP, INC. YORK PA 28‐Sep‐11 

8,14 COLOEAST BANKSHARES, INC. LAMAR CO 13‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $10,000,000.00 $0.00 $10,670,784.03 Sold, n fu

COLOEAST BANKSHARES, INC. LAMAR CO 19‐Jul‐13 COLOEAST BANKSHARES, INC. LAMAR CO 22‐Jul‐13 

COLOEAST BANKSHARES, INC. LAMAR CO 12‐Sep‐13 

11,8,14 COLONIAL AMERICAN BANK WEST CONSHOHOCKEN PA 27‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $574,000.00 $0.00 $668,142.53 Redeemed, n fu

COLONIAL AMERICAN BANK WEST CONSHOHOCKEN PA 26‐Oct‐11 

COLONY BANKCORP, INC. FITZGERALD GA 9‐Jan‐09 P efe ed Stock w/ Wa ants $28,000,000.00 $0.00 $26,480,089.20 Sold, n fu

COLONY BANKCORP, INC. FITZGERALD GA 7‐Feb‐13 

COLONY BANKCORP, INC. FITZGERALD GA 8‐Feb‐13 

COLONY BANKCORP, INC. FITZGERALD GA 26‐Ma ‐13 COLONY BANKCORP, INC. FITZGERALD GA 12‐Jun‐13 

11,16 COLUMBIA BANKING SYSTEM, INC. TACOMA WA 21‐Nov‐08 P efe ed Stock w/ Wa ants $76,898,000.00 $0.00 $86,821,419.22 Redeemed, n fu

COLUMBIA BANKING SYSTEM, INC. TACOMA WA 11‐Aug‐10 

COLUMBIA BANKING SYSTEM, INC. TACOMA WA 1‐Sep‐10 

44,8,14 COLUMBINE CAPITAL CORP. BUENA VISTA CO 27‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $2,260,000.00 $0.00 $2,689,478.64 Redeemed, n fu

COLUMBINE CAPITAL CORP. BUENA VISTA CO 22‐Sep‐11 

11 COMERICA INC. DALLAS TX 14‐Nov‐08 P efe ed Stock w/ Wa ants $2,250,000,000.00 $0.00 $2,582,039,543.40 Redeemed, n fu

COMERICA INC. DALLAS TX 17‐Ma ‐10 

COMERICA INC. DALLAS TX 12‐May‐10 

11 COMMERCE NAT ONAL BANK NEWPORT BEACH CA 9‐Jan‐09 P efe ed Stock w/ Wa ants $5,000,000.00 $0.00 $5,602,969.61 Redeemed, n fu

COMMERCE NAT ONAL BANK NEWPORT BEACH CA 7‐Oct‐09 

COMMERCE NAT ONAL BANK NEWPORT BEACH CA 1‐Oct‐13 

15,14 COMMONWEALTH BANCSHARES, INC. LOU SVILLE KY 22‐May‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $20,400,000.00 $0.00 $21,575,016.54 Sold, n fu

COMMONWEALTH BANCSHARES, INC. LOU SVILLE KY 7‐Aug‐12 COMMONWEALTH BANCSHARES, INC. LOU SVILLE KY 8‐Aug‐12 

COMMONWEALTH BANCSHARES, INC. LOU SVILLE KY 9‐Aug‐12 

COMMONWEALTH BANCSHARES, INC. LOU SVILLE KY 10‐Aug‐12 COMMONWEALTH BANCSHARES, INC. LOU SVILLE KY 11‐Sep‐12 

8,14 COMMONWEALTH BUSINESS BANK LOS ANGELES CA 23‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $7,701,000.00 $0.00 $8,451,110.79 Sold, n fu

COMMONWEALTH BUSINESS BANK LOS ANGELES CA 17‐Jul‐13 

COMMONWEALTH BUSINESS BANK LOS ANGELES CA 12‐Sep‐13 

11,8,14 COMMUNITY 1ST BANK ROSEVILLE CA 16‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $2,550,000.00 $0.00 $2,899,659.67 Redeemed, n fu

COMMUNITY 1ST BANK ROSEVILLE CA 19‐Dec‐12 

11,8,14 COMMUNITY BANCSHARES OF KANSAS, INC. GOFF KS 6‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $500,000.00 $0.00 $616,741.75 Redeemed, n fu

COMMUNITY BANCSHARES OF KANSAS, INC. GOFF KS 18‐Jul‐12 

11,8,14 COMMUNITY BANCSHARES OF M SSISSIPPI, INC./COMMUNITY BANK OF MISSISSIPPI BRANDON MS 11‐Sep‐09 P efe ed Stock w/ Exe c sed Wa ants $52,000,000.00 $0.00 $57,575,699.54 Redeemed, n fu

COMMUNITY BANCSHARES OF M SSISSIPPI, INC./COMMUNITY BANK OF MISSISSIPPI BRANDON MS 29‐Sep‐10 

8,17 COMMUNITY BANCSHARES, INC. KINGMAN AZ 24‐Jul‐09 P efe ed Stock w/ Exe c sed Wa ants $3,872,000.00 $3,872,000 00 $981,158.70 Fu l nvestment outsta11,9,36 COMMUNITY BANK OF THE BAY OAKLAND CA 16‐Jan‐09 P efe ed Stock $1,747,000.00 $0.00 $1,823,188.61 Redeemed, n fu

COMMUNITY BANK OF THE BAY OAKLAND CA 29‐Sep‐10 

44 COMMUNITY BANK SHARES OF INDIANA, INC. NEW ALBANY IN 29‐May‐09 P efe ed Stock w/ Wa ants $19,468,000.00 $0.00 $22,802,281.62 Redeemed, n fu

COMMUNITY BANK SHARES OF INDIANA, INC. NEW ALBANY IN 15‐Sep‐11 

COMMUNITY BANK SHARES OF INDIANA, INC. NEW ALBANY IN 19‐Oct‐11 

11,101 COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 19‐Dec‐08 P efe ed Stock w/ Wa ants $17,680,000.00 $0.00 $22,355,879.12 Redeemed, 

COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 24‐Jul‐13 COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 20‐Nov‐13 

COMMUNITY BANKERS TRUST CORPORATION GLEN ALLEN VA 23‐Ap ‐14 

8,14 COMMUNITY BUSINESS BANK WEST SACRAMENTO CA 27‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $3,976,000.00 $0.00 $4,674,050.16 Sold, n fu

COMMUNITY BUSINESS BANK WEST SACRAMENTO CA 30‐Nov‐12 

COMMUNITY BUSINESS BANK WEST SACRAMENTO CA 11‐Jan‐13 

81 COMMUNITY FINANCIAL CORPORATION / CITY HOLDING COMPANY STAUNTON VA 19‐Dec‐08 P efe ed Stock w/ Wa ants $12,643,000.00 $0.00 $15,206,719.94 Redeemed, 

COMMUNITY FINANCIAL CORPORATION / CITY HOLDING COMPANY STAUNTON VA 9‐Jan‐13 

74,8,14 COMMUNITY FINANCIAL SHARES, INC. GLEN ELLYN IL 15‐May‐09 P efe ed Stock w/ Exe c sed Wa ants $6,970,000.00 $0.00 $4,240,743.82 Sold, n fu

COMMUNITY FINANCIAL SHARES, INC. GLEN ELLYN IL 21‐Dec‐12 

8 COMMUNITY FIRST BANCSHARES, INC. (AR) HARRISON AR 3‐Ap ‐09 P efe ed Stock w/ Exe c sed Wa ants $12,725,000.00 $0.00 $16,441,884.63 Sold, n fu

COMMUNITY FIRST BANCSHARES, INC. (AR) HARRISON AR 7‐Feb‐14 

COMMUNITY FIRST BANCSHARES, INC. (AR) HARRISON AR 10‐Feb‐14 

COMMUNITY FIRST BANCSHARES, INC. (AR) HARRISON AR 19‐Ma ‐14 

44,8,14 COMMUNITY FIRST BANCSHARES, INC. (TN) UNION CITY TN 20‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $20,000,000.00 $0.00 $23,628,111.33 Redeemed, n fu

COMMUNITY FIRST BANCSHARES, INC. (TN) UNION CITY TN 18‐Aug‐11 
Investment 

FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2

8 COMMUNITY FIRST, INC. COLUMBIA TN 27‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $17,806,000.00 $0.00 $7,723,513.50 Sold, n fu

COMMUNITY FIRST, INC. COLUMBIA TN 11‐Ap ‐14 COMMUNITY FIRST, INC. COLUMBIA TN 14‐Ap ‐14 

8,67 COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF M SS SSIPPI, INC. BRANDON MS 6‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $1,050,000.00 $0.00 $1,220,300.65 Sold, n fu

COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISS SSIPPI, INC. BRANDON MS 30‐Nov‐12 

COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF M SS SSIPPI, INC. BRANDON MS 11‐Jan‐13 

COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF M SS SSIPPI, INC. BRANDON MS 26‐Ma ‐13 

8,14 COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 23‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $2,600,000.00 $0.00 $3,115,616.28 Sold, n fu

COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 19‐Dec‐12 

COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 20‐Dec‐12 

COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 11‐Jan‐13 

COMMUNITY INVESTORS BANCORP, INC. BUCYRUS OH 26‐Ma ‐13 

44 COMMUNITY PARTNERS BANCORP M DDLETOWN NJ 30‐Jan‐09 P efe ed Stock w/ Wa ants $9,000,000.00 $0.00 $10,598,750.00 Redeemed, n fu 

COMMUNITY PARTNERS BANCORP M DDLETOWN NJ 11‐Aug‐11 

COMMUNITY PARTNERS BANCORP MIDDLETOWN NJ 26‐Oct‐11 

15,17 COMMUNITY PRIDE BANK CORPORATION HAM LAKE MN 13‐Nov‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $4,400,000.00 $0.00 $5,462,045.14 Sold, n fu

COMMUNITY PRIDE BANK CORPORATION HAM LAKE MN 12‐Aug‐13 

COMMUNITY PRIDE BANK CORPORATION HAM LAKE MN 12‐Sep‐13 

44,8,14 COMMUNITY TRUST FINANCIAL CORPORATION RUSTON LA 9‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $24,000,000.00 $0.00 $28,459,100.00 Redeemed, n fu

COMMUNITY TRUST FINANCIAL CORPORATION RUSTON LA 6‐Jul‐11 

COMMUNITY WEST BANCSHARES GOLETA CA 19‐Dec‐08 P efe ed Stock w/ Wa ants $15,600,000.00 $0.00 $14,341,140.33 Sold, n fu

COMMUNITY WEST BANCSHARES GOLETA CA 10‐Dec‐12 

COMMUNITY WEST BANCSHARES GOLETA CA 11‐Dec‐12 

COMMUNITY WEST BANCSHARES GOLETA CA 11‐Jan‐13 COMMUNITY WEST BANCSHARES GOLETA CA 12‐Jun‐13 

53,110 COMMUNITYONE BANCORP / FNB UNITED CORP. ASHEBORO NC 13‐Feb‐09 P efe ed Stock w/ Wa ants $51,500,000.00 $0.00 $12,739,234.90 Sold, 

COMMUNITYONE BANCORP / FNB UNITED CORP. ASHEBORO NC 23‐May‐14 

8,14 CONGAREE BANCSHARES, INC. CAYCE SC 9‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $3,285,000.00 $0.00 $3,483,629.20 Sold, n fu

CONGAREE BANCSHARES, INC. CAYCE SC 29‐Oct‐12 CONGAREE BANCSHARES, INC. CAYCE SC 31‐Oct‐12 

CONGAREE BANCSHARES, INC. CAYCE SC 11‐Jan‐13 

8,14 CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 13‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $638,000.00 $0.00 $659,705.04 Sold, n fu

CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 30‐Nov‐12 

CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 11‐Jan‐13 CORNING SAVINGS AND LOAN ASSOCIATION CORNING AR 26‐Ma ‐13 

8,14 COUNTRY BANK SHARES, INC. MILFORD NE 30‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $7,525,000.00 $0.00 $8,781,205.02 Sold, n fu

COUNTRY BANK SHARES, INC. MILFORD NE 28‐Nov‐12 

COUNTRY BANK SHARES, INC. MILFORD NE 29‐Nov‐12 

COUNTRY BANK SHARES, INC. MILFORD NE 11‐Jan‐13 

8 COVENANT FINANCIAL CORPORATION CLARKSDALE MS 5‐Jun‐09 P efe ed Stock w/ Exe c sed Wa ants $5,000,000.00 $0.00 $6,594,635.27 Redeemed, n fu

COVENANT FINANCIAL CORPORATION CLARKSDALE MS 30‐Ap ‐14 

8 CRAZY WOMAN CREEK BANCORP INCORPORATED BUFFALO WY 20‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $3,100,000.00 $2,100,000 00 $1,867,002.08 Redeemed, 

CRAZY WOMAN CREEK BANCORP INCORPORATED BUFFALO WY 8‐Jan‐14 

58 CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancsha es, Inc. RALE GH NC 9‐Jan‐09 P efe ed Stock w/ Wa ants $24,900,000.00 $0.00 $31,333,741.20 Redeemed, 

CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancsha es, Inc. RALE GH NC 19‐Feb‐14 

8,14 CROSSTOWN HOLDING COMPANY BLAINE MN 23‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $10,650,000.00 $0.00 $13,498,324.83 Sold, n fu

CROSSTOWN HOLDING COMPANY BLAINE MN 19‐Jul‐13 

CROSSTOWN HOLDING COMPANY BLAINE MN 22‐Jul‐13 

CROSSTOWN HOLDING COMPANY BLAINE MN 12‐Sep‐13 

8 CSRA BANK CORP. WRENS GA 27‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $2,400,000.00 $2,400,000 00 $180,940.00 Fu l nvestment outsta

11,16 CVB FINANCIAL CORP. ONTARIO CA 5‐Dec‐08 P efe ed Stock w/ Wa ants $130,000,000.00 $0.00 $136,046,583.33 Redeemed, n fu

CVB FINANCIAL CORP. ONTARIO CA 26‐Aug‐09 

CVB FINANCIAL CORP. ONTARIO CA 2‐Sep‐09 

CVB FINANCIAL CORP. ONTARIO CA 28‐Oct‐09 

44,8,14 D.L. EVANS BANCORP BURLEY ID 27‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $19,891,000.00 $0.00 $23,686,592.33 Redeemed, n fu

D.L. EVANS BANCORP BURLEY ID 27‐Sep‐11 

15,44,14 DEERF ELD FINANCIAL CORPORATION DEERF ELD WI 15‐May‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $2,639,000.00 $0.00 $3,283,338.96 Redeemed, n fu

DEERF ELD FINANCIAL CORPORATION DEERF ELD WI 8‐Sep‐11 

8,14 DELMAR BANCORP DELMAR MD 4‐Dec‐09 P efe ed Stock w/ Exe c sed Wa ants $9,000,000.00 $0.00 $6,598,331.15 Sold, n fu

DELMAR BANCORP DELMAR MD 7‐Feb‐13 

DELMAR BANCORP DELMAR MD 8‐Feb‐13 

DELMAR BANCORP DELMAR MD 26‐Ma ‐13 

8,18 DESOTO COUNTY BANK HORN LAKE MS 13‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $1,173,000.00 $0.00 $2,781,331.97 Sold, n fu

DESOTO COUNTY BANK HORN LAKE MS 29‐Dec‐09 $1,508,000.00DESOTO COUNTY BANK HORN LAKE MS 24‐Sep‐13 

DESOTO COUNTY BANK HORN LAKE MS 25‐Sep‐13 

DESOTO COUNTY BANK HORN LAKE MS 29‐Oct‐13 

15,14 DIAMOND BANCORP, INC. WASHINGTON MO 22‐May‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $20,445,000.00 $0.00 $21,101,618.19 Sold, n fu

DIAMOND BANCORP, INC. WASHINGTON MO 8‐Aug‐12 

DIAMOND BANCORP, INC. WASHINGTON MO 9‐Aug‐12 DIAMOND BANCORP, INC. WASHINGTON MO 10‐Aug‐12 

DIAMOND BANCORP, INC. WASHINGTON MO 11‐Sep‐12 

8,14 DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 16‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $146,053,000.00 $0.00 $87,459,858.69 Sold, n fu

DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 7‐Feb‐13 

DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 8‐Feb‐13 

DICKINSON FINANCIAL CORPORATION II KANSAS CITY MO 26‐Ma ‐13 

11 DISCOVER FINANCIAL SERVICES RIVERWOODS IL 13‐Ma ‐09 P efe ed Stock w/ Wa ants $1,224,558,000.00 $0.00 $1,464,248,844.00 Redeemed, n fu

DISCOVER FINANCIAL SERVICES RIVERWOODS IL 21‐Ap ‐10 

DISCOVER FINANCIAL SERVICES RIVERWOODS IL 7‐Jul‐10 

44 DNB FINANCIAL CORPORATION DOWNINGTOWN PA 30‐Jan‐09 P efe ed Stock w/ Wa ants $11,750,000.00 $0.00 $13,683,277.61 Redeemed, n fu

DNB FINANCIAL CORPORATION DOWNINGTOWN PA 4‐Aug‐11 DNB FINANCIAL CORPORATION DOWNINGTOWN PA 21‐Sep‐11 

15 DUKE FINANCIAL GROUP, INC. MINNEAPOLIS MN 19‐Jun‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $12,000,000.00 $0.00 $17,424,285.82 Redeemed, n fu

DUKE FINANCIAL GROUP, INC. MINNEAPOLIS MN 27‐Nov‐13 

DUKE FINANCIAL GROUP, INC. MINNEAPOLIS MN 5‐Ma ‐14 

DUKE FINANCIAL GROUP, INC. MINNEAPOLIS MN 2‐Ap ‐14 

12,44 EAGLE BANCORP, INC. BETHESDA MD 5‐Dec‐08 P efe ed Stock w/ Wa ants $38,235,000.00 $0.00 $44,847,153.76 Redeemed, 

EAGLE BANCORP, INC. BETHESDA MD 23‐Dec‐09 

EAGLE BANCORP, INC. BETHESDA MD 14‐Jul‐11 

EAGLE BANCORP, INC. BETHESDA MD 23‐Nov‐11 

11,16 EAST WEST BANCORP, INC. PASADENA CA 5‐Dec‐08 P efe ed Stock w/ Wa ants $306,546,000.00 $0.00 $352,722,420.00 Redeemed, n fu

EAST WEST BANCORP, INC. PASADENA CA 29‐Dec‐10 

EAST WEST BANCORP, INC. PASADENA CA 26‐Jan‐11 

EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 9‐Jan‐09 P efe ed Stock w/ Wa ants $24,000,000.00 $0.00 $28,453,653.60 Sold, EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 18‐Oct‐13 

EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 21‐Oct‐13 

EASTERN VIRGINIA BANKSHARES, INC. TAPPAHANNOCK VA 6‐Jan‐14 

89 ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancsha es, Inc. ENGELHARD NC 16‐Jan‐09 P efe ed Stock w/ Wa ants $17,949,000.00 $0.00 $22,526,494.08 Redeemed, 
Investment 

FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2

ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancsha es, Inc. ENGELHARD NC 19‐Feb‐14 

44 EMCLA RE FINANCIAL CORP. EMLENTON PA 23‐Dec‐08 P efe ed Stock w/ Wa ants $7,500,000.00 $0.00 $8,545,904.67 Redeemed, n fu

EMCLA RE FINANCIAL CORP. EMLENTON PA 18‐Aug‐11 

EMCLA RE FINANCIAL CORP. EMLENTON PA 7‐Dec‐11 

45 ENCORE BANCSHARES INC. HOUSTON TX 5‐Dec‐08 P efe ed Stock w/ Wa ants $34,000,000.00 $0.00 $39,415,959.89 Redeemed, 

ENCORE BANCSHARES INC. HOUSTON TX 27‐Sep‐11 

ENCORE BANCSHARES INC. HOUSTON TX 23‐Nov‐11 

11 ENTERPRISE FINANCIAL SERV CES CORP. ST. LOUIS MO 19‐Dec‐08 P efe ed Stock w/ Wa ants $35,000,000.00 $0.00 $42,801,933.33 Redeemed, n fu

ENTERPRISE FINANCIAL SERV CES CORP. ST. LOUIS MO 7‐Nov‐12 ENTERPRISE FINANCIAL SERV CES CORP. ST. LOUIS MO 9‐Jan‐13 

8,44,14 ENTERPRISE FINANCIAL SERV CES GROUP, INC. ALLISON PARK PA 12‐Jun‐09 P efe ed Stock w/ Exe c sed Wa ants $4,000,000.00 $0.00 $4,680,205.56 Redeemed, n fu

ENTERPRISE FINANCIAL SERV CES GROUP, INC. ALLISON PARK PA 25‐Aug‐11 

8,44,72 EQUITY BANCSHARES, INC. W CHITA KS 30‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $8,750,000.00 $0.00 $10,394,872.56 Redeemed, n fu

EQUITY BANCSHARES, INC. W CHITA KS 11‐Aug‐11 

8,14 EXCHANGE BANK SANTA ROSA CA 19‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $43,000,000.00 $0.00 $47,294,527.29 Sold, n fu

EXCHANGE BANK SANTA ROSA CA 3‐Aug‐12 

EXCHANGE BANK SANTA ROSA CA 8‐Aug‐12 

EXCHANGE BANK SANTA ROSA CA 9‐Aug‐12 

EXCHANGE BANK SANTA ROSA CA 10‐Aug‐12 

EXCHANGE BANK SANTA ROSA CA 13‐Aug‐12 

EXCHANGE BANK SANTA ROSA CA 11‐Sep‐12 

8 14,18 F & M BANCSHARES, INC. TREZEVANT TN 30‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $4,609,000.00 $0.00 $9,405,391.28 Sold, n fu

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

F & M BANCSHARES, INC. TREZEVANT TN 6‐Feb‐13 

F & M BANCSHARES, INC. TREZEVANT TN 7‐Feb‐13 

F & M BANCSHARES, INC. TREZEVANT TN 8‐Feb‐13 F & M BANCSHARES, INC. TREZEVANT TN 26‐Ma ‐13 

8,14 F & M FINANCIAL CORPORAT ON (NC) SAL SBURY NC 6‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $17,000,000.00 $0.00 $20,119,744.45 Sold, n fu

F & M FINANCIAL CORPORAT ON (NC) SAL SBURY NC 18‐Sep‐12 

F & M FINANCIAL CORPORAT ON (NC) SAL SBURY NC 19‐Sep‐12 

F & M FINANCIAL CORPORAT ON (NC) SAL SBURY NC 20‐Sep‐12 

F & M FINANCIAL CORPORAT ON (NC) SAL SBURY NC 16‐Nov‐12 

15,14 F&C BANCORP. INC. HOLDEN MO 22‐May‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $2,993,000.00 $0.00 $3,842,376.65 Sold, n fu

F&C BANCORP. INC. HOLDEN MO 8‐Nov‐12 

F&C BANCORP. INC. HOLDEN MO 13‐Nov‐12 

F&C BANCORP. INC. HOLDEN MO 11‐Jan‐13 

8,14 F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 13‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $17,243,000.00 $0.00 $17,573,762.97 Sold, n fu

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 19‐Sep‐12 

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 20‐Sep‐12 

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 21‐Sep‐12 

F&M FINANCIAL CORPORATION (TN) CLARKSVILLE TN 16‐Nov‐12 

11 F.N.B. CORPORATION HERMITAGE PA 9‐Jan‐09 P efe ed Stock w/ Wa ants $100,000,000.00 $0.00 $104,023,433.33 Redeemed, n fu 

F.N.B. CORPORATION HERMITAGE PA 9‐Sep‐09 F.N.B. CORPORATION HERMITAGE PA 23‐Nov‐11 

8 FARMERS & MERCHANTS BANCSHARES, INC. HOUSTON TX 6‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $11,000,000.00 $11,000,000 00 $2,063,280.00 Fu l nvestment outsta

8,14 FARMERS & MERCHANTS FINANCIAL CORPORATION ARGONIA KS 20‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $442,000.00 $0.00 $500,199.14 Sold, n fu

FARMERS & MERCHANTS FINANCIAL CORPORATION ARGONIA KS 24‐Jun‐13 

FARMERS & MERCHANTS FINANCIAL CORPORATION ARGONIA KS 26‐Jul‐13 

11,8 FARMERS BANK, WINDSOR, VIRGINIA WINDSOR VA 23‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $8,752,000.00 $0.00 $11,396,202.11 Redeemed, n fu

FARMERS BANK, WINDSOR, VIRGINIA WINDSOR VA 9‐Jan‐13 

FARMERS BANK, WINDSOR, VIRGINIA WINDSOR VA 31‐Dec‐13 

FARMERS CAPITAL BANK CORPORATION FRANKFORT KY 9‐Jan‐09 P efe ed Stock w/ Wa ants $30,000,000.00 $0.00 $27,105,349.50 Sold, n fuFARMERS CAPITAL BANK CORPORATION FRANKFORT KY 19‐Jun‐12 

FARMERS CAPITAL BANK CORPORATION FRANKFORT KY 18‐Jul‐12 

15,14 FARMERS ENTERPRISES, INC. GREAT BEND KS 19‐Jun‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $12,000,000.00 $0.00 $15,452,669.34 Sold, n fu

FARMERS ENTERPRISES, INC. GREAT BEND KS 8‐Nov‐12 

FARMERS ENTERPRISES, INC. GREAT BEND KS 9‐Nov‐12 

FARMERS ENTERPRISES, INC. GREAT BEND KS 13‐Nov‐12 

FARMERS ENTERPRISES, INC. GREAT BEND KS 11‐Jan‐13 

45,8,14 FARMERS STATE BANKSHARES, INC. HOLTON KS 20‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $700,000.00 $0.00 $830,173.67 Redeemed, n fu

FARMERS STATE BANKSHARES, INC. HOLTON KS 21‐Jul‐11 

15,17 FBHC HOLDING COMPANY BOULDER CO 29‐Dec‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $3,035,000.00 $0.00 $804,592.16 Sold, n fu

FBHC HOLDING COMPANY BOULDER CO 9‐Ma ‐11 

8,14 FC HOLDINGS, INC. HOUSTON TX 26‐Jun‐09 P efe ed Stock w/ Exe c sed Wa ants $21,042,000.00 $0.00 $19,836,630.66 Sold, n fu

FC HOLDINGS, INC. HOUSTON TX 20‐Feb‐13 

FC HOLDINGS, INC. HOUSTON TX 26‐Ma ‐13 

45,8,14 FCB BANCORP, INC. LOU SVILLE KY 19‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $9,294,000.00 $0.00 $11,156,234.25 Redeemed, n fu

FCB BANCORP, INC. LOU SVILLE KY 22‐Sep‐11 

8,14 FFW CORPORATION WABASH IN 19‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $7,289,000.00 $0.00 $8,441,836.26 Sold, n fu

FFW CORPORATION WABASH IN 28‐Nov‐12 

FFW CORPORATION WABASH IN 30‐Nov‐12 

FFW CORPORATION WABASH IN 11‐Jan‐13 

15,11,14 FIDELITY BANCORP, INC. (LA) BATON ROUGE LA 29‐May‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $3,942,000.00 $0.00 $5,404,924.35 Redeemed, n fu 

FIDELITY BANCORP, INC. (LA) BATON ROUGE LA 27‐Ma ‐13 

77 FIDELITY BANCORP, INC. (PA) / WESBANCO, INC. PITTSBURGH PA 12‐Dec‐08 P efe ed Stock w/ Wa ants $7,000,000.00 $0.00 $8,388,333.33 Redeemed, 

FIDELITY BANCORP, INC. (PA) / WESBANCO, INC. PITTSBURGH PA 30‐Nov‐12 

8,17 FIDELITY FEDERAL BANCORP EVANSVILLE IN 13‐Nov‐09 P efe ed Stock w/ Exe c sed Wa ants $6,657,000.00 $0.00 $7,220,908.83 Sold, n fu

FIDELITY FEDERAL BANCORP EVANSVILLE IN 19‐Jul‐13 

FIDELITY FEDERAL BANCORP EVANSVILLE IN 22‐Jul‐13 

FIDELITY FEDERAL BANCORP EVANSVILLE IN 12‐Sep‐13 

8 14 FIDELITY FINANCIAL CORPORATION WICHITA KS 19‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $36,282,000.00 $0.00 $40,966,780.82 Sold, n fu

FIDELITY FINANCIAL CORPORATION W CHITA KS 1‐Aug‐12 FIDELITY FINANCIAL CORPORATION W CHITA KS 2‐Aug‐12 

FIDELITY FINANCIAL CORPORATION WICHITA KS 3‐Aug‐12 FIDELITY FINANCIAL CORPORATION WICHITA KS 7‐Aug‐12 

FIDELITY FINANCIAL CORPORATION WICHITA KS 8‐Aug‐12 

FIDELITY FINANCIAL CORPORATION WICHITA KS 9‐Aug‐12 FIDELITY FINANCIAL CORPORATION WICHITA KS 10‐Aug‐12 

FIDELITY FINANCIAL CORPORATION W CHITA KS 11‐Sep‐12 

FIDELITY SOUTHERN CORPORATION ATLANTA GA 19‐Dec‐08 P efe ed Stock w/ Wa ants $48,200,000.00 $0.00 $51,286,669.09 Sold, FIDELITY SOUTHERN CORPORATION ATLANTA GA 3‐Jul‐12 

11 FIFTH THIRD BANCORP CINCINNATI OH 31‐Dec‐08 P efe ed Stock w/ Wa ants $3,408,000,000.00 $0.00 $4,043,972,602.67 Redeemed, n fu

FIFTH THIRD BANCORP CINCINNATI OH 2‐Feb‐11 

FIFTH THIRD BANCORP CINCINNATI OH 16‐Ma ‐11 

11 FINANCIAL INSTITUTIONS, INC. WARSAW NY 23‐Dec‐08 P efe ed Stock w/ Wa ants $37,515,000.00 $0.00 $43,787,611.61 Redeemed, n fu

FINANCIAL INSTITUTIONS, INC. WARSAW NY 23‐Feb‐11 

FINANCIAL INSTITUTIONS, INC. WARSAW NY 30‐Ma ‐11 

FINANCIAL INSTITUTIONS, INC. WARSAW NY 11‐May‐11 

45,8,14 FINANCIAL SECURITY CORPORAT ON BASIN WY 13‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $5,000,000.00 $0.00 $5,914,597.33 Redeemed, n fu
Investment 

FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2

FINANCIAL SECURITY CORPORAT ON BASIN WY 21‐Jul‐11 

15,17,44 FINANCIAL SERVICES OF WINGER, INC. WINGER MN 31‐Jul‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $3,742,000.00 $0.00 $4,487,322.46 Redeemed, n fu

FINANCIAL SERVICES OF WINGER, INC. WINGER MN 1‐Sep‐11 

8,14 FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 22‐May‐09 P efe ed Stock w/ Exe c sed Wa ants $1,177,000.00 $0.00 $1,289,436.37 Sold, n fu

FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 10‐Dec‐12 

FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 11‐Dec‐12 

FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 11‐Jan‐13 

FIRST ADVANTAGE BANCSHARES, INC. COON RAPIDS MN 26‐Ma ‐13 

8,14 FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 26‐Jun‐09 P efe ed Stock w/ Exe c sed Wa ants $3,422,000.00 $0.00 $3,003,674.75 Sold, n fu

FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 20‐Dec‐12 FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 11‐Jan‐13 

FIRST ALLIANCE BANCSHARES, INC. CORDOVA TN 26‐Ma ‐13 

15,11,14 FIRST AMER CAN BANK CORPORATION ELK GROVE VILLAGE IL 24‐Jul‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $50,000,000.00 $0.00 $65,558,530.56 Redeemed, n fu 

FIRST AMER CAN BANK CORPORATION ELK GROVE VILLAGE IL 21‐Dec‐11 

FIRST AMER CAN BANK CORPORATION ELK GROVE VILLAGE IL 11‐Dec‐12 

11,9,36 FIRST AMER CAN INTERNATIONAL CORP. BROOKLYN NY 13‐Ma ‐09 P efe ed Stock $17,000,000.00 $0.00 $18,204,166.78 Redeemed, n fu

FIRST AMER CAN INTERNATIONAL CORP. BROOKLYN NY 13‐Aug‐10 

45 FIRST BANCORP (NC) TROY NC 9‐Jan‐09 P efe ed Stock w/ Wa ants $65,000,000.00 $0.00 $74,518,906.44 Redeemed, n fu

FIRST BANCORP (NC) TROY NC 1‐Sep‐11 

FIRST BANCORP (NC) TROY NC 23‐Nov‐11 

34 FIRST BANCORP (PR) SAN JUAN PR 16‐Jan‐09 P efe ed Stock w/ Wa ants $400,000,000.00 $238,972,281 88 $122,513,539.32 Sold, 

FIRST BANCORP (PR) SAN JUAN PR 16‐Aug‐13 

FIRST BANCORP (PR) SAN JUAN PR 13‐Sep‐13 

8,11,14 FIRST BANCTRUST CORPORATION PARIS IL 20‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $7,350,000.00 $0.00 $9,050,516.50 Redeemed, n fu

FIRST BANCTRUST CORPORATION PARIS IL 18‐Jan‐12 

FIRST BANCTRUST CORPORATION PARIS IL 24‐Oct‐12 

45,8,14 FIRST BANK OF CHARLESTON, INC. CHARLESTON WV 6‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $3,345,000.00 $0.00 $3,960,105.00 Redeemed, n fu

FIRST BANK OF CHARLESTON, INC. CHARLESTON WV 21‐Jul‐11 

45,8,14 FIRST BANKERS TRUSTSHARES, INC. QUINCY IL 16‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $10,000,000.00 $0.00 $11,941,222.22 Redeemed, n fu

FIRST BANKERS TRUSTSHARES, INC. QUINCY IL 8‐Sep‐11 

8 FIRST BANKS, INC. CLAYTON MO 31‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $295,400,000.00 $0.00 $119,071,500.97 Sold, n fu

FIRST BANKS, INC. CLAYTON MO 8‐Aug‐13 

FIRST BANKS, INC. CLAYTON MO 9‐Aug‐13 

FIRST BANKS, INC. CLAYTON MO 12‐Aug‐13 

FIRST BANKS, INC. CLAYTON MO 12‐Sep‐13 

FIRST BANKS, INC. CLAYTON MO 24‐Sep‐13 

FIRST BANKS, INC. CLAYTON MO 25‐Sep‐13 

FIRST BANKS, INC. CLAYTON MO 29‐Oct‐13 

45 FIRST BUSEY CORPORATION URBANA IL 6‐Ma ‐09 P efe ed Stock w/ Wa ants $100,000,000.00 $0.00 $112,410,898.89 Redeemed, n fu

FIRST BUSEY CORPORAT ON URBANA IL 25‐Aug‐11 

FIRST BUSEY CORPORAT ON URBANA IL 23‐Nov‐11 

8,14,18 FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 10‐Ap ‐09 P efe ed Stock w/ Wa ants $2,211,000.00 $0.00 $4,693,275.61 Sold, n fu

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 

FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 20‐Dec‐12 

FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A. SAN DIEGO CA 11‐Jan‐13 

45 FIRST CALIFORNIA FINANCIAL GROUP, INC. WESTLAKE VILLAGE CA 19‐Dec‐08 P efe ed Stock w/ Wa ants $25,000,000.00 $0.00 $28,810,847.55 Redeemed, n fu

FIRST CALIFORNIA FINANCIAL GROUP, INC. WESTLAKE VILLAGE CA 14‐Jul‐11 

FIRST CALIFORNIA FINANCIAL GROUP, INC. WESTLAKE VILLAGE CA 24‐Aug‐11 

FIRST CAPITAL BANCORP, INC. GLEN ALLEN VA 3‐Ap ‐09 P efe ed Stock w/ Wa ants $10,958,000.00 $0.00 $11,956,712.44 Sold, n fu

FIRST CAPITAL BANCORP, INC. GLEN ALLEN VA 19‐Jun‐12 FIRST CAPITAL BANCORP, INC. GLEN ALLEN VA 6‐Feb‐13 

8,11,14,18,36 FIRST CHOICE BANK CERRITOS CA 13‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $2,200,000.00 $0.00 $5,446,642.94 Redeemed, n fu 

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

FIRST CHOICE BANK CERRITOS CA 24‐Sep‐10 

FIRST CITIZENS BANC CORP SANDUSKY OH 23‐Jan‐09 P efe ed Stock w/ Wa ants $23,184,000.00 $0.00 $25,245,684.71 Sold, n fu

FIRST CITIZENS BANC CORP SANDUSKY OH 3‐Jul‐12 FIRST CITIZENS BANC CORP SANDUSKY OH 5‐Sep‐12 

44,8,14 FIRST COLEBROOK BANCORP, INC. COLEBROOK NH 20‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $4,500,000.00 $0.00 $5,339,487.75 Redeemed, n fu

FIRST COLEBROOK BANCORP, INC. COLEBROOK NH 22‐Sep‐11 

12 FIRST COMMUNITY BANCSHARES INC. BLUEFIELD VA 21‐Nov‐08 P efe ed Stock w/ Wa ants $41,500,000.00 $0.00 $42,839,002.78 Redeemed, n fu

FIRST COMMUNITY BANCSHARES INC. BLUEFIELD VA 8‐Jul‐09 

FIRST COMMUNITY BANCSHARES INC. BLUEFIELD VA 22‐Nov‐11 

8,72 FIRST COMMUNITY BANCSHARES, INC. / EQUITY BANCSHARES, INC. WICHITA KS 15‐May‐09 P efe ed Stock w/ Exe c sed Wa ants $14,800,000.00 $14,800,000 00 $4,180,778.30 Fu l nvestment outsta

FIRST COMMUNITY BANK CORPORATION OF AMER CA PINELLAS PARK FL 23‐Dec‐08 P efe ed Stock w/ Wa ants $10,685,000.00 $0.00 $8,499,249.92 Sold, n fu

FIRST COMMUNITY BANK CORPORATION OF AMER CA PINELLAS PARK FL 31‐May‐11 

FIRST COMMUNITY CORPORATION LEXINGTON SC 21‐Nov‐08 P efe ed Stock w/ Wa ants $11,350,000.00 $0.00 $13,425,979.36 Sold, n fu

FIRST COMMUNITY CORPORATION LEXINGTON SC 29‐Aug‐12 

FIRST COMMUNITY CORPORATION LEXINGTON SC 1‐Nov‐12 

8 FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 11‐Dec‐09 P efe ed Stock w/ Exe c sed Wa ants $22,000,000.00 $0.00 $18,252,479.06 Sold, n fu

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 8‐Aug‐12 

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 9‐Aug‐12 

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 10‐Aug‐12 

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 19‐Sep‐12 

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 20‐Sep‐12 

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 21‐Sep‐12 

FIRST COMMUNITY FINANCIAL PARTNERS, INC. JOLIET IL 16‐Nov‐12 

FIRST DEFIANCE FINANCIAL CORP. DEFIANCE OH 5‐Dec‐08 P efe ed Stock w/ Wa ants $37,000,000.00 $0.00 $41,631,005.92 Sold, FIRST DEFIANCE FINANCIAL CORP. DEFIANCE OH 19‐Jun‐12 

15,36,11 FIRST EAGLE BANCSHARES, INC. HANOVER PARK IL 11‐Sep‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $7,500,000.00 $0.00 $8,514,738.21 Redeemed, n fu

FIRST EAGLE BANCSHARES, INC. HANOVER PARK IL 17‐Sep‐10 

11,8,14 FIRST EXPRESS OF NEBRASKA, INC. GERING NE 6‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $5,000,000.00 $0.00 $6,074,313.00 Redeemed, n fu

FIRST EXPRESS OF NEBRASKA, INC. GERING NE 15‐Feb‐12 

FIRST FEDERAL BANCSHARES OF ARKANSAS, INC. HARRISON AR 6‐Ma ‐09 P efe ed Stock w/ Wa ants $16,500,000.00 $0.00 $6,570,625.00 Sold, n fu

FIRST FEDERAL BANCSHARES OF ARKANSAS, INC. HARRISON AR 3‐May‐11 

12,16 FIRST FINANCIAL BANCORP CINCINNATI OH 23‐Dec‐08 P efe ed Stock w/ Wa ants $80,000,000.00 $0.00 $87,644,066.10 Redeemed, n fu

FIRST FINANCIAL BANCORP CINCINNATI OH 24‐Feb‐10 

FIRST FINANCIAL BANCORP CINCINNATI OH 8‐Jun‐10 

15,17,44 FIRST FINANCIAL BANCSHARES, INC. LAWRENCE KS 12‐Jun‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $3,756,000.00 $0.00 $4,563,280.34 Redeemed, n fu

FIRST FINANCIAL BANCSHARES, INC. LAWRENCE KS 22‐Sep‐11 

FIRST FINANCIAL HOLDINGS INC. CHARLESTON SC 5‐Dec‐08 P efe ed Stock w/ Wa ants $65,000,000.00 $0.00 $68,141,972.19 Sold, n fu

FIRST FINANCIAL HOLDINGS INC. CHARLESTON SC 3‐Ap ‐12 

FIRST FINANCIAL HOLDINGS INC. CHARLESTON SC 22‐May‐13 

FIRST FINANCIAL SERVICE CORPORATION ELIZABETHTOWN KY 9‐Jan‐09 P efe ed Stock w/ Wa ants $20,000,000.00 $0.00 $12,333,778.00 Sold, FIRST FINANCIAL SERVICE CORPORATION ELIZABETHTOWN KY 29‐Ap ‐13 FIRST FINANCIAL SERVICE CORPORATION ELIZABETHTOWN KY 31‐May‐13 

9,17 FIRST FREEDOM BANCSHARES, INC. LEBANON TN 22‐Dec‐09 P efe ed Stock w/ Exe c sed Wa ants $8,700,000.00 $0.00 $9,522,346.17 Sold, n fu

FIRST FREEDOM BANCSHARES, INC. LEBANON TN 9‐Nov‐12 

FIRST FREEDOM BANCSHARES, INC. LEBANON TN 11‐Jan‐13 
Investment 

FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2

8,14 FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 27‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $7,570,000.00 $0.00 $8,702,021.25 Sold, n fu

FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 29‐Oct‐12 FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 31‐Oct‐12 

FIRST GOTHENBURG BANCSHARES, INC. GOTHENBURG NE 11‐Jan‐13 

8,14,44 FIRST GUARANTY BANCSHARES, INC. HAMMOND LA 28‐Aug‐09 P efe ed Stock w/ Exe c sed Wa ants $20,699,000.00 $0.00 $24,059,476.66 Redeemed, n fu 

FIRST GUARANTY BANCSHARES, INC. HAMMOND LA 22‐Sep‐11 

11 FIRST HORIZON NATIONAL CORPORAT ON MEMPHIS TN 14‐Nov‐08 P efe ed Stock w/ Wa ants $866,540,000.00 $0.00 $1,037,467,405.56 Redeemed, n fu

FIRST HORIZON NATIONAL CORPORAT ON MEMPHIS TN 22‐Dec‐10 FIRST HORIZON NATIONAL CORPORAT ON MEMPHIS TN 9‐Ma ‐11 

8,9 FIRST INDEPENDENCE CORPORATION DETROIT MI 28‐Aug‐09 P efe ed Stock $3,223,000.00 $0.00 $2,820,256.96 Sold, n fu

FIRST INDEPENDENCE CORPORATION DETROIT MI 20‐Dec‐12 

FIRST INDEPENDENCE CORPORATION DETROIT MI 11‐Jan‐13 

FIRST INDEPENDENCE CORPORATION DETROIT MI 26‐Ma ‐13 

8 FIRST INTERCONTINENTAL BANK DORAVILLE GA 13‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $6,398,000.00 $0.00 $4,118,886.85 Sold, n fu

FIRST INTERCONTINENTAL BANK DORAVILLE GA 12‐Aug‐13 

FIRST INTERCONTINENTAL BANK DORAVILLE GA 12‐Sep‐13 

11 FIRST LITCHFIELD FINANCIAL CORPORATION LITCHFIELD CT 12‐Dec‐08 P efe ed Stock w/ Wa ants $10,000,000.00 $0.00 $12,147,768.63 Redeemed, n fu

FIRST LITCHFIELD FINANCIAL CORPORATION LITCHFIELD CT 7‐Ap ‐10 

11,36 FIRST M&F CORPORATION KOSCIUSKO MS 27‐Feb‐09 P efe ed Stock w/ Wa ants $30,000,000.00 $0.00 $36,472,843.94 Redeemed, n fu

FIRST M&F CORPORATION KOSCIUSKO MS 29‐Sep‐10 FIRST M&F CORPORATION KOSCIUSKO MS 30‐Aug‐13 

11,8,14 FIRST MANITOWOC BANCORP, INC. MANITOWOC WI 16‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $12,000,000.00 $0.00 $12,837,983.33 Redeemed, n fu

FIRST MANITOWOC BANCORP, INC. MANITOWOC WI 27‐May‐09 

11,25 FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATION RICHMOND VA 6‐Feb‐09 P efe ed Stock w/ Wa ants $33,900,000.00 $0.00 $40,834,859.35 Redeemed, n fu

FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATION RICHMOND VA 7‐Dec‐11 

44,8,14 FIRST MENASHA BANCSHARES, INC. NEENAH WI 13‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $4,797,000.00 $0.00 $5,713,865.00 Redeemed, n fu

FIRST MENASHA BANCSHARES, INC. NEENAH WI 15‐Sep‐11 

33,44,45 FIRST MERCHANTS CORPORATION MUNCIE IN 20‐Feb‐09 P efe ed Stock w/ Wa ants $116,000,000.00 $0.00 $131,383,055.11 Redeemed, n fu

FIRST MERCHANTS CORPORATION MUNCIE IN 22‐Sep‐11 

FIRST MERCHANTS CORPORATION MUNCIE IN 23‐Nov‐11 

11 FIRST MIDWEST BANCORP, INC. ITASCA IL 5‐Dec‐08 P efe ed Stock w/ Wa ants $193,000,000.00 $0.00 $222,528,333.33 Redeemed, n fu

FIRST MIDWEST BANCORP, INC. ITASCA IL 23‐Nov‐11 

FIRST MIDWEST BANCORP, INC. ITASCA IL 21‐Dec‐11 

8,14 FIRST NATIONAL CORPORATION STRASBURG VA 13‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $13,900,000.00 $0.00 $15,329,326.44 Sold, n fu

FIRST NATIONAL CORPORATION STRASBURG VA 29‐Aug‐12 

44,8,14 FIRST NBC BANK HOLDING COMPANY NEW ORLEANS LA 20‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $17,836,000.00 $0.00 $21,033,989.56 Redeemed, n fu

FIRST NBC BANK HOLDING COMPANY NEW ORLEANS LA 4‐Aug‐11 

12,16 FIRST NIAGARA FINANCIAL GROUP LOCKPORT NY 21‐Nov‐08 P efe ed Stock w/ Wa ants $184,011,000.00 $0.00 $191,464,618.00 Redeemed, n fu

FIRST NIAGARA FINANCIAL GROUP LOCKPORT NY 27‐May‐09 

FIRST NIAGARA FINANCIAL GROUP LOCKPORT NY 24‐Jun‐09 

44 FIRST NORTHERN COMMUNITY BANCORP DIXON CA 13‐Ma ‐09 P efe ed Stock w/ Wa ants $17,390,000.00 $0.00 $19,943,580.33 Redeemed, n fu

FIRST NORTHERN COMMUNITY BANCORP DIXON CA 15‐Sep‐11 

FIRST NORTHERN COMMUNITY BANCORP DIXON CA 16‐Nov‐11 

11 FIRST PACTRUST BANCORP, INC. CHULA VISTA CA 21‐Nov‐08 P efe ed Stock w/ Wa ants $19,300,000.00 $0.00 $22,297,560.34 Redeemed, n fu

FIRST PACTRUST BANCORP, INC. CHULA VISTA CA 15‐Dec‐10 

FIRST PACTRUST BANCORP, INC. CHULA VISTA CA 5‐Jan‐11 

73,97 FIRST PLACE FINANCIAL CORP. WARREN OH 13‐Ma ‐09 P efe ed Stock w/ Wa ants $72,927,000.00 $0.00 $7,009,094.50 

FIRST PLACE FINANCIAL CORP. WARREN OH 29‐Oct‐12 

8,14,18 FIRST PRIORITY FINANCIAL CORP. MALVERN PA 20‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $4,579,000.00 $0.00 $9,948,069.58 Sold, n fu

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 18‐Dec‐09 $4,596,000.00

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 7‐Feb‐13 

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 8‐Feb‐13 

FIRST PRIORITY FINANCIAL CORP. MALVERN PA 26‐Ma ‐13 

8,14 FIRST RELIANCE BANCSHARES, INC. FLORENCE SC 6‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $15,349,000.00 $0.00 $12,994,059.00 Sold, n fu

FIRST RELIANCE BANCSHARES, INC. FLORENCE SC 11‐Ma ‐13 FIRST RELIANCE BANCSHARES, INC. FLORENCE SC 9‐Ap ‐13 

8,14,18,44,45 FIRST RESOURCE BANK EXTON PA 30‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $2,600,000.00 $0.00 $5,731,793.60 Redeemed, n fu

FIRST RESOURCE BANK EXTON PA 11‐Dec‐09 $2,417,000.00

FIRST RESOURCE BANK EXTON PA 15‐Sep‐11 

87 FIRST SECURITY GROUP, INC. CHATTANOOGA TN 9‐Jan‐09 P efe ed Stock w/ Wa ants $33,000,000.00 $0.00 $16,315,362.00 Sold, n fu

FIRST SECURITY GROUP, INC. CHATTANOOGA TN 11‐Ap ‐13 

79 FIRST SOUND BANK SEATTLE WA 23‐Dec‐08 P efe ed Stock w/ Wa ants $7,400,000.00 $0.00 $4,030,944.44 Sold, n fu

FIRST SOUND BANK SEATTLE WA 20‐Feb‐13 

15,11,14 FIRST SOUTH BANCORP, INC. LEXINGTON TN 17‐Jul‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $50,000,000.00 $0.00 $65,432,450.94 Redeemed, n fu

FIRST SOUTH BANCORP, INC. LEXINGTON TN 28‐Sep‐11 

FIRST SOUTH BANCORP, INC. LEXINGTON TN 28‐Nov‐12 

11,8,14 FIRST SOUTHERN BANCORP, INC. BOCA RATON FL 30‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $10,900,000.00 $0.00 $12,263,468.31 Redeemed, n fu 

FIRST SOUTHERN BANCORP, INC. BOCA RATON FL 16‐Jun‐10 

8,14 FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 6‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $5,500,000.00 $0.00 $5,359,772.59 Sold, n fu

FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 26‐Ma ‐13 

FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 27‐Ma ‐13 

FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 28‐Ma ‐13 

FIRST SOUTHWEST BANCORPORATION, INC. ALAMOSA CO 9‐Ap ‐13 

44,8,14 FIRST TEXAS BHC, INC. FORT WORTH TX 6‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $13,533,000.00 $0.00 $16,072,389.00 Redeemed, n fu

FIRST TEXAS BHC, INC. FORT WORTH TX 15‐Sep‐11 

15,14 FIRST TRUST CORPORAT ON NEW ORLEANS LA 5‐Jun‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $17,969,000.00 $0.00 $15,304,180.50 Sold, n fu

FIRST TRUST CORPORAT ON NEW ORLEANS LA 20‐Feb‐13 FIRST TRUST CORPORAT ON NEW ORLEANS LA 26‐Ma ‐13 

11,8,14 FIRST ULB CORP. OAKLAND CA 23‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $4,900,000.00 $0.00 $5,211,020.69 Redeemed, n fu

FIRST ULB CORP. OAKLAND CA 22‐Ap ‐09 

FIRST UNITED CORPORATION OAKLAND MD 30‐Jan‐09 P efe ed Stock w/ Wa ants $30,000,000.00 $30,000,000 00 $8,814,361.91 Fu l nvestment outsta

11,8,14,36 FIRST VERNON BANCSHARES, INC. VERNON AL 12‐Jun‐09 P efe ed Stock w/ Exe c sed Wa ants $6,000,000.00 $0.00 $6,662,770.42 Redeemed, n fu

FIRST VERNON BANCSHARES, INC. VERNON AL 29‐Sep‐10 

8,14,18 FIRST WESTERN FINANCIAL, INC. DENVER CO 6‐Feb‐09 P efe ed Stock w/ Wa ants $8,559,000.00 $0.00 $21,142,314.80 Sold, n fu

FIRST WESTERN FINANCIAL, INC. DENVER CO 11‐Dec‐09 $11,881,000.00FIRST WESTERN FINANCIAL, INC. DENVER CO 9‐Aug‐12 

FIRST WESTERN FINANCIAL, INC. DENVER CO 10‐Aug‐12 

FIRST WESTERN FINANCIAL, INC. DENVER CO 11‐Sep‐12 FIRST WESTERN FINANCIAL, INC. DENVER CO 24‐Jun‐13 FIRST WESTERN FINANCIAL, INC. DENVER CO 26‐Jul‐13 

FIRSTBANK CORPORATION ALMA MI 30‐Jan‐09 P efe ed Stock w/ Wa ants $33,000,000.00 $0.00 $38,185,560.05 Sold, n fu

FIRSTBANK CORPORATION ALMA MI 3‐Jul‐12 

FIRSTBANK CORPORATION ALMA MI 18‐Jul‐12 

11 FIRSTMERIT CORPORATION AKRON OH 9‐Jan‐09 P efe ed Stock w/ Wa ants $125,000,000.00 $0.00 $131,813,194.44 Redeemed, n fu

FIRSTMERIT CORPORATION AKRON OH 22‐Ap ‐09 

FIRSTMERIT CORPORATION AKRON OH 27‐May‐09 

FLAGSTAR BANCORP, INC. TROY MI 30‐Jan‐09 P efe ed Stock w/ Wa ants $266,657,000.00 $0.00 $277,861,053.94 Sold, n fu

FLAGSTAR BANCORP, INC. TROY MI 26‐Ma ‐13 

FLAGSTAR BANCORP, INC. TROY MI 27‐Ma ‐13 
Investment 

FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2

FLAGSTAR BANCORP, INC. TROY MI 28‐Ma ‐13 

FLAGSTAR BANCORP, INC. TROY MI 9‐Ap ‐13 

FLAGSTAR BANCORP, INC. TROY MI 12‐Jun‐13 

8 84 FLORIDA BANK GROUP, INC. TAMPA FL 24‐Jul‐09 P efe ed Stock w/ Exe c sed Wa ants $20,471,000.00 $0.00 $9,180,793.08 Sold, n fu

FLORIDA BANK GROUP, INC. TAMPA FL 14‐Aug‐13 

8 44,14 FLORIDA BUSINESS BANCGROUP, INC. TAMPA FL 20‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $9,495,000.00 $0.00 $11,309,750.50 Redeemed, n fu 

FLORIDA BUSINESS BANCGROUP, INC. TAMPA FL 22‐Sep‐11 

12,16 FLUSHING FINANCIAL CORPORATION LAKE SUCCESS NY 19‐Dec‐08 P efe ed Stock w/ Wa ants $70,000,000.00 $0.00 $73,904,166.66 Redeemed, n fu

FLUSHING FINANCIAL CORPORATION LAKE SUCCESS NY 28‐Oct‐09 FLUSHING FINANCIAL CORPORATION LAKE SUCCESS NY 30‐Dec‐09 

45,8,14 FNB BANCORP SOUTH SAN FRANC SCO CA 27‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $12,000,000.00 $0.00 $14,267,700.00 Redeemed, n fu

FNB BANCORP SOUTH SAN FRANC SCO CA 15‐Sep‐11 

11,8,14 FORES GHT FINANCIAL GROUP, INC. ROCKFORD IL 15‐May‐09 P efe ed Stock w/ Exe c sed Wa ants $15,000,000.00 $0.00 $18,670,291.67 Redeemed, n fu

FORES GHT FINANCIAL GROUP, INC. ROCKFORD IL 11‐Dec‐12 

8,66,97 FORT LEE FEDERAL SAVINGS BANK, FSB FORT LEE NJ 22‐May‐09 P efe ed Stock w/ Exe c sed Wa ants $1,300,000.00 $0.00 $87,184.85 

FORT LEE FEDERAL SAVINGS BANK, FSB FORT LEE NJ 20‐Ap ‐12 

45,8,14 FORTUNE FINANCIAL CORPORATION ARNOLD MO 3‐Ap ‐09 P efe ed Stock w/ Exe c sed Wa ants $3,100,000.00 $0.00 $3,668,927.67 Redeemed, n fu

FORTUNE FINANCIAL CORPORATION ARNOLD MO 15‐Sep‐11 

50,97 FPB BANCORP, INC. PORT ST. LUCIE FL 5‐Dec‐08 P efe ed Stock w/ Wa ants $5,800,000.00 $0.00 $273,888.89 

FPB BANCORP, INC. PORT ST. LUCIE FL 15‐Jul‐11 

11,8,14 FPB FINANCIAL CORP. HAMMOND LA 23‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $3,240,000.00 $0.00 $3,623,721.50 Redeemed, n fu

FPB FINANCIAL CORP. HAMMOND LA 16‐Dec‐09 

FPB FINANCIAL CORP. HAMMOND LA 16‐Jun‐10 

8,14 FRANKLIN BANCORP, INC. WASHINGTON MO 22‐May‐09 P efe ed Stock w/ Exe c sed Wa ants $5,097,000.00 $0.00 $4,336,183.67 Sold, n fu

FRANKLIN BANCORP, INC. WASHINGTON MO 9‐Nov‐12 

FRANKLIN BANCORP, INC. WASHINGTON MO 13‐Nov‐12 

FRANKLIN BANCORP, INC. WASHINGTON MO 11‐Jan‐13 

15 FREEPORT BANCSHARES, INC. FREEPORT IL 8‐May‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $3,000,000.00 $0.00 $4,413,022.95 Sold, n fu

FREEPORT BANCSHARES, INC. FREEPORT IL 11‐Ap ‐14 

FREEPORT BANCSHARES, INC. FREEPORT IL 14‐Ap ‐14 

15,11,14 FREMONT BANCORPORAT ON FREMONT CA 26‐Jun‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $35,000,000.00 $0.00 $45,796,066.36 Redeemed, n fu

FREMONT BANCORPORATION FREMONT CA 25‐Jul‐12 

44,8,14 FRESNO FIRST BANK FRESNO CA 23‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $1,968,000.00 $0.00 $2,437,100.33 Redeemed, n fu

FRESNO FIRST BANK FRESNO CA 1‐Nov‐12 

15,11,14 FRONTIER BANCSHARES, INC AUSTIN TX 24‐Ap ‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $3,000,000.00 $0.00 $3,408,191.65 Redeemed, n fu

FRONTIER BANCSHARES, INC AUSTIN TX 24‐Nov‐09 

FRONTIER BANCSHARES, INC AUSTIN TX 6‐Oct‐10 

11 FULTON FINANCIAL CORPORAT ON LANCASTER PA 23‐Dec‐08 P efe ed Stock w/ Wa ants $376,500,000.00 $0.00 $416,635,625.00 Redeemed, n fu

FULTON FINANCIAL CORPORAT ON LANCASTER PA 14‐Jul‐10 FULTON FINANCIAL CORPORAT ON LANCASTER PA 8‐Sep‐10 

8,14 GATEWAY BANCSHARES, INC. RINGGOLD GA 8‐May‐09 P efe ed Stock w/ Exe c sed Wa ants $6,000,000.00 $0.00 $7,260,794.87 Redeemed, n fu

GATEWAY BANCSHARES, INC. RINGGOLD GA 13‐Ap ‐12 

11,8,14 GEORGIA COMMERCE BANCSHARES, INC. ATLANTA GA 6‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $8,700,000.00 $0.00 $10,096,470.83 Redeemed, n fu

GEORGIA COMMERCE BANCSHARES, INC. ATLANTA GA 16‐Feb‐11 

8 GEORGIA PRIMARY BANK ATLANTA GA 1‐May‐09 P efe ed Stock w/ Exe c sed Wa ants $4,500,000.00 $0.00 $1,576,457.50 Sold, n fu

GEORGIA PRIMARY BANK ATLANTA GA 10‐Feb‐14 

GEORGIA PRIMARY BANK ATLANTA GA 19‐Ma ‐14 

8,14 GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 6‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $4,967,000.00 $0.00 $5,699,100.75 Sold, n fu

GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 29‐Oct‐12 

GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 31‐Oct‐12 

GERMANTOWN CAPITAL CORPORATION GERMANTOWN TN 11‐Jan‐13 

8 17,91,97 GOLD CANYON BANK GOLD CANYON AZ 26‐Jun‐09 P efe ed Stock w/ Exe c sed Wa ants $1,607,000.00 $0.00 $53,859.52 

GOLD CANYON BANK GOLD CANYON AZ 5‐Ap ‐13 

11 GOLDMAN SACHS GROUP, INC. NEW YORK NY 28‐Oct‐08 P efe ed Stock w/ Wa ants $10,000,000,000.00 $0.00 $11,418,055,555.44 Redeemed, n fu

GOLDMAN SACHS GROUP, INC. NEW YORK NY 17‐Jun‐09 

GOLDMAN SACHS GROUP, INC. NEW YORK NY 22‐Jul‐09 

8 GOLDWATER BANK, N.A. SCOTTSDALE AZ 30‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $2,568,000.00 $2,568,000 00 $145,750.00 Fu l nvestment outsta44,8,14 GRAND CAPITAL CORPORATION TULSA OK 24‐Ap ‐09 P efe ed Stock w/ Exe c sed Wa ants $4,000,000.00 $0.00 $4,717,144.78 Redeemed, n fu

GRAND CAPITAL CORPORATION TULSA OK 8‐Sep‐11 

15 GRAND FINANCIAL CORPORAT ON HATTIESBURG MS 25‐Sep‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $2,443,320.00 $2,443,320 00 $950,839.61 Fu l nvestment outsta

8 GRAND MOUNTAIN BANCSHARES, INC. GRANBY CO 29‐May‐09 P efe ed Stock w/ Exe c sed Wa ants $3,076,000.00 $3,076,000 00 $0 00 Fu l nvestment outsta

8,14,18,44 GRANDSOUTH BANCORPORATION GREENVILLE SC 9‐Jan‐09 P efe ed Stock w/ Wa ants $9,000,000.00 $0.00 $17,625,917.08 Redeemed, n fu

GRANDSOUTH BANCORPORATION GREENVILLE SC 11‐Dec‐09 $6,319,000.00

GRANDSOUTH BANCORPORATION GREENVILLE SC 8‐Sep‐11 

15 GREAT RIVER HOLDING COMPANY BAXTER MN 17‐Jul‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $8,400,000.00 $0.00 $11,413,106.46 Sold, n fu

GREAT RIVER HOLDING COMPANY BAXTER MN 11‐Ap ‐14 GREAT RIVER HOLDING COMPANY BAXTER MN 14‐Ap ‐14 

45 GREAT SOUTHERN BANCORP SPRINGFIELD MO 5‐Dec‐08 P efe ed Stock w/ Wa ants $58,000,000.00 $0.00 $72,274,419.56 Redeemed, n fu

GREAT SOUTHERN BANCORP SPRINGFIELD MO 18‐Aug‐11 

GREAT SOUTHERN BANCORP SPRINGFIELD MO 21‐Sep‐11 

GREEN BANKSHARES, INC. GREENEVILLE TN 23‐Dec‐08 P efe ed Stock w/ Wa ants $72,278,000.00 $0.00 $74,642,857.78 Sold, n fu

GREEN BANKSHARES, INC. GREENEVILLE TN 7‐Sep‐11 

11,8,14 GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 27‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $2,400,000.00 $0.00 $3,036,021.12 Redeemed, n fu

GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 14‐Nov‐12 

GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 23‐Jan‐13 

GREEN CIRCLE INVESTMENTS, INC. CLIVE IA 24‐Ap ‐13 

11,8,14 GREEN CITY BANCSHARES, INC. GREEN CITY MO 27‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $651,000.00 $0.00 $733,037.33 Redeemed, n fu

GREEN CITY BANCSHARES, INC. GREEN CITY MO 14‐Jul‐10 

8 GREER BANCSHARES INCORPORATED GREER SC 30‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $9,993,000.00 $6,843,000 00 $6,246,070.07 Redeemed, 

GREER BANCSHARES INCORPORATED GREER SC 19‐Ma ‐14 

8,68,97 GREGG BANCSHARES, INC. OZARK MO 13‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $825,000.00 $0.00 $45,190.00 

GREGG BANCSHARES, INC. OZARK MO 13‐Jul‐12 

45,8,14 GUARANTY BANCORP, INC. WOODSVILLE NH 20‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $6,920,000.00 $0.00 $8,235,040.33 Redeemed, n fu

GUARANTY BANCORP, INC. WOODSVILLE NH 15‐Sep‐11 

9,15,36 GUARANTY CAPITAL CORPORAT ON BELZONI MS 25‐Sep‐09 Subo d nated Debentu es $14,000,000.00 $0.00 $14,913,299.33 Redeemed, n fu

GUARANTY CAPITAL CORPORAT ON BELZONI MS 30‐Jul‐10 

11 GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 30‐Jan‐09 P efe ed Stock w/ Wa ants $17,000,000.00 $0.00 $21,887,871.44 Sold, n fu

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 13‐Jun‐12 

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 26‐Ap ‐13 

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 29‐Ap ‐13 

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 15‐May‐13 

GUARANTY FEDERAL BANCSHARES, INC. SPRINGFIELD MO 31‐May‐13 

17,28,70,97 GULFSOUTH PRIVATE BANK DESTIN FL 25‐Sep‐09 P efe ed Stock w/ Exe c sed Wa ants $7,500,000.00 $0.00 $757,380.08 

GULFSOUTH PRIVATE BANK DESTIN FL 19‐Oct‐12 

45,8,14 GULFSTREAM BANCSHARES, INC. STUART FL 26‐Jun‐09 P efe ed Stock w/ Exe c sed Wa ants $7,500,000.00 $0.00 $8,751,541.63 Redeemed, n fu

GULFSTREAM BANCSHARES, INC. STUART FL 18‐Aug‐11 

11,8,14 HAMILTON STATE BANCSHARES, INC. HOSCHTON GA 20‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $7,000,000.00 $0.00 $8,169,165.89 Redeemed, n fu

HAMILTON STATE BANCSHARES, INC. HOSCHTON GA 13‐Ap ‐11 

38 HAMPTON ROADS BANKSHARES, INC. NORFOLK VA 31‐Dec‐08 P efe ed Stock w/ Wa ants $80,347,000.00 $0.00 $5,790,608.79 Sold, 
Investment 

FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2

HAMPTON ROADS BANKSHARES, INC. NORFOLK VA 14‐Ap ‐14 

8,9 HARBOR BANKSHARES CORPORATION BALT MORE MD 17‐Jul‐09 P efe ed Stock $6,800,000.00 $6,800,000 00 $282,744.47 Full nvestment outstand n

11,8,14 HAVILAND BANCSHARES, INC. HAVILAND KS 13‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $425,000.00 $0.00 $487,524.22 Redeemed, n fu

HAVILAND BANCSHARES, INC. HAVILAND KS 29‐Dec‐10 

11 HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 19‐Dec‐08 P efe ed Stock w/ Wa ants $30,255,000.00 $0.00 $36,849,504.67 Redeemed, n fu

HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 9‐May‐12 

HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 15‐May‐13 

HAWTHORN BANCSHARES, INC. LEE'S SUMMIT MO 12‐Jun‐13 

HCSB FINANCIAL CORPORAT ON LORIS SC 6‐Ma ‐09 P efe ed Stock w/ Wa ants $12,895,000.00 $12,895,000 00 $1,090,702.00 Fu l nvestment outsta

8,17 HEARTLAND BANCSHARES, INC. FRANKLIN IN 11‐Sep‐09 P efe ed Stock w/ Exe c sed Wa ants $7,000,000.00 $0.00 $8,321,471.08 Redeemed, n fu

HEARTLAND BANCSHARES, INC. FRANKLIN IN 17‐Jul‐12 

45 HEARTLAND FINANCIAL USA, INC. DUBUQUE IA 19‐Dec‐08 P efe ed Stock w/ Wa ants $81,698,000.00 $0.00 $94,686,087.22 Redeemed, n fu

HEARTLAND FINANCIAL USA, INC. DUBUQUE IA 15‐Sep‐11 

HEARTLAND FINANCIAL USA, INC. DUBUQUE IA 28‐Sep‐11 

8,17,45 HERITAGE BANKSHARES, INC. NORFOLK VA 25‐Sep‐09 P efe ed Stock w/ Exe c sed Wa ants $10,103,000.00 $0.00 $11,353,284.46 Redeemed, n fu

HERITAGE BANKSHARES, INC. NORFOLK VA 16‐Ma ‐11 

HERITAGE BANKSHARES, INC. NORFOLK VA 11‐Aug‐11 

11 HERITAGE COMMERCE CORP. SAN JOSE CA 21‐Nov‐08 P efe ed Stock w/ Wa ants $40,000,000.00 $0.00 $46,901,266.80 Redeemed, n fu

HERITAGE COMMERCE CORP. SAN JOSE CA 7‐Ma ‐12 

HERITAGE COMMERCE CORP. SAN JOSE CA 10‐Jun‐13 

11,16 HERITAGE FINANCIAL CORPORATION OLYMPIA WA 21‐Nov‐08 P efe ed Stock w/ Wa ants $24,000,000.00 $0.00 $26,953,333.33 Redeemed, n fu

HERITAGE FINANCIAL CORPORATION OLYMPIA WA 22‐Dec‐10 

HERITAGE FINANCIAL CORPORATION OLYMPIA WA 17‐Aug‐11 

11 HERITAGE OAKS BANCORP PASO ROBLES CA 20‐Ma ‐09 P efe ed Stock w/ Wa ants $21,000,000.00 $0.00 $27,241,335.26 Redeemed, n fu

HERITAGE OAKS BANCORP PASO ROBLES CA 17‐Jul‐13 

HERITAGE OAKS BANCORP PASO ROBLES CA 7‐Aug‐13 

11 HF FINANCIAL CORP. SIOUX FALLS SD 21‐Nov‐08 P efe ed Stock w/ Wa ants $25,000,000.00 $0.00 $26,316,666.67 Redeemed, n fu

HF FINANCIAL CORP. SIOUX FALLS SD 3‐Jun‐09 

HF FINANCIAL CORP. SIOUX FALLS SD 30‐Jun‐09 

8,18,21,44 HIGHLANDS BANCORP, INC. VERNON NJ 8‐May‐09 P efe ed Stock w/ Exe c sed Wa ants $3,091,000.00 $0.00 $6,211,926.79 Redeemed, n fu

HIGHLANDS BANCORP, INC. VERNON NJ 22‐Dec‐09 $2,359,000.00HIGHLANDS BANCORP, INC. VERNON NJ 22‐Sep‐11 

8, 111 HIGHLANDS INDEPENDENT BANCSHARES, INC. SEBRING FL 6‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $6,700,000.00 $6,700,000 00 $617,712.00 Fu l nvestment outsta

11,8,14 HILLTOP COMMUNITY BANCORP, INC. SUMMIT NJ 30‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $4,000,000.00 $0.00 $4,467,049.67 Redeemed, n fu

HILLTOP COMMUNITY BANCORP, INC. SUMMIT NJ 21‐Ap ‐10 

HMN FINANCIAL, INC. ROCHESTER MN 23‐Dec‐08 P efe ed Stock w/ Wa ants $26,000,000.00 $0.00 $21,034,187.78 Sold, 

HMN FINANCIAL, INC. ROCHESTER MN 7‐Feb‐13 

HMN FINANCIAL, INC. ROCHESTER MN 8‐Feb‐13 

HMN FINANCIAL, INC. ROCHESTER MN 26‐Ma ‐13 

11 HOME BANCSHARES, INC. CONWAY AR 16‐Jan‐09 P efe ed Stock w/ Wa ants $50,000,000.00 $0.00 $57,480,555.56 Redeemed, n fu

HOME BANCSHARES, INC. CONWAY AR 6‐Jul‐11 

HOME BANCSHARES, INC. CONWAY AR 27‐Jul‐11 

8 HOMETOWN BANCORP OF ALABAMA, INC. ONEONTA AL 20‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $3,250,000.00 $0.00 $4,214,202.31 Redeemed, n fu 

HOMETOWN BANCORP OF ALABAMA, INC. ONEONTA AL 28‐Aug‐13 

8,14 HOMETOWN BANCSHARES, INC. CORBIN KY 13‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $1,900,000.00 $0.00 $2,229,801.03 Sold, n fu

HOMETOWN BANCSHARES, INC. CORBIN KY 28‐Nov‐12 

HOMETOWN BANCSHARES, INC. CORBIN KY 30‐Nov‐12 

HOMETOWN BANCSHARES, INC. CORBIN KY 11‐Jan‐13 

HOMETOWN BANCSHARES, INC. CORBIN KY 26‐Ma ‐13 

8 17 HOMETOWN BANKSHARES CORPORATION ROANOKE VA 18‐Sep‐09 P efe ed Stock w/ Exe c sed Wa ants $10,000,000.00 $0.00 $11,111,011.94 Sold, n fu

HOMETOWN BANKSHARES CORPORATION ROANOKE VA 31‐Oct‐12 

HOMETOWN BANKSHARES CORPORATION ROANOKE VA 11‐Jan‐13 

11 HOPFED BANCORP HOPKINSVILLE KY 12‐Dec‐08 P efe ed Stock w/ Wa ants $18,400,000.00 $0.00 $22,354,145.89 Redeemed, n fu

HOPFED BANCORP HOPKINSVILLE KY 19‐Dec‐12 

HOPFED BANCORP HOPKINSVILLE KY 16‐Jan‐13 

11,45 HORIZON BANCORP M CHIGAN CITY IN 19‐Dec‐08 P efe ed Stock w/ Wa ants $25,000,000.00 $0.00 $29,857,321.83 Redeemed, n fu

HORIZON BANCORP MICHIGAN CITY IN 10‐Nov‐10 

HORIZON BANCORP MICHIGAN CITY IN 25‐Aug‐11 HORIZON BANCORP MICHIGAN CITY IN 23‐Nov‐11 

44,8,14 HOWARD BANCORP, INC. ELLICOTT CITY MD 27‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $5,983,000.00 $0.00 $7,119,793.05 Redeemed, n fu

HOWARD BANCORP, INC. ELLICOTT CITY MD 22‐Sep‐11 

8,11,14,18 HPK FINANCIAL CORPORATION CH CAGO IL 1‐May‐09 P efe ed Stock w/ Exe c sed Wa ants $4,000,000.00 $0.00 $10,940,554.65 Redeemed, n fu

HPK FINANCIAL CORPORATION CH CAGO IL 13‐Nov‐09 $5,000,000.00HPK FINANCIAL CORPORATION CH CAGO IL 11‐Dec‐12 

11 HUNTINGTON BANCSHARES COLUMBUS OH 14‐Nov‐08 P efe ed Stock w/ Wa ants $1,398,071,000.00 $0.00 $1,594,356,808.56 Redeemed, n fu

HUNTINGTON BANCSHARES COLUMBUS OH 22‐Dec‐10 

HUNTINGTON BANCSHARES COLUMBUS OH 19‐Jan‐11 

8,14 HYPERION BANK PHILADELPHIA PA 6‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $1,552,000.00 $0.00 $1,337,166.22 Sold, n fu

HYPERION BANK PHILADELPHIA PA 20‐Dec‐12 

HYPERION BANK PHILADELPHIA PA 11‐Jan‐13 HYPERION BANK PHILADELPHIA PA 26‐Ma ‐13 

8,17 IA BANCORP, INC / INDUS AMERICAN BANK SELIN NJ 18‐Sep‐09 P efe ed Stock w/ Exe c sed Wa ants $5,976,000.00 $0.00 $6,907,223.22 Sold, n fu

IA BANCORP, INC / INDUS AMERICAN BANK SELIN NJ 14‐Ma ‐14 

IA BANCORP, INC / INDUS AMERICAN BANK SELIN NJ 17‐Ma ‐14 

IA BANCORP, INC / INDUS AMERICAN BANK SELIN NJ 25‐Ap ‐14 

9,15,36 BC BANCORP, INC. CH CAGO IL 15‐May‐09 Subo d nated Debentu es $4,205,000.00 $0.00 $4,632,216.32 Redeemed, n fu

BC BANCORP, INC. CH CAGO IL 10‐Sep‐10 

12,16 BERIABANK CORPORATION LAFAYETTE LA 5‐Dec‐08 P efe ed Stock w/ Wa ants $90,000,000.00 $0.00 $92,650,000.00 Redeemed, n fu

BERIABANK CORPORATION LAFAYETTE LA 31‐Ma ‐09 

BERIABANK CORPORATION LAFAYETTE LA 20‐May‐09 

8,14 BT BANCORP, INC. RVING TX 27‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $2,295,000.00 $0.00 $2,936,462.50 Redeemed, n fu

BT BANCORP, INC. RVING TX 12‐Jun‐13 

11,8,10 BW FINANCIAL CORPORATION WASHINGTON DC 13‐Ma ‐09 P efe ed Stock w/ Wa ants $6,000,000.00 $0.00 $6,453,067.00 Redeemed, n fu

BW FINANCIAL CORPORATION WASHINGTON DC 3‐Sep‐10 

44,8,14 CB FINANCIAL ONTARIO CA 6‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $6,000,000.00 $0.00 $7,494,458.33 Redeemed, n fu

CB FINANCIAL ONTARIO CA 1‐Nov‐12 

8,108 DAHO BANCORP BOISE ID 16‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $6,900,000.00 $0.00 $124,305.92 

DAHO BANCORP BOISE ID 24‐Ap ‐14 

8,14,18,44 LLINOIS STATE BANCORP, INC. CH CAGO IL 22‐May‐09 P efe ed Stock w/ Exe c sed Wa ants $6,272,000.00 $0.00 $11,836,113.40 Redeemed, n fu

LLINOIS STATE BANCORP, INC. CH CAGO IL 29‐Dec‐09 $4,000,000.00

LLINOIS STATE BANCORP, INC. CH CAGO IL 22‐Sep‐11 

8 INDEPENDENCE BANK EAST GREENWICH RI 9‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $1,065,000.00 $0.00 $1,394,723.17 Redeemed, n fu

INDEPENDENCE BANK EAST GREENWICH RI 16‐Oct‐13 

11 INDEPENDENT BANK CORP. ROCKLAND MA 9‐Jan‐09 P efe ed Stock w/ Wa ants $78,158,000.00 $0.00 $81,476,093.61 Redeemed, n fu

INDEPENDENT BANK CORP. ROCKLAND MA 22‐Ap ‐09 

INDEPENDENT BANK CORP. ROCKLAND MA 27‐May‐09 

29 INDEPENDENT BANK CORPORATION ONIA MI 12‐Dec‐08 P efe ed Stock w/ Wa ants $72,000,000.00 $0.00 $83,430,000.00 Redeemed, n fu

INDEPENDENT BANK CORPORATION ONIA MI 30‐Aug‐13 

8,22,92,97 INDIANA BANK CORP. DANA IN 24‐Ap ‐09 P efe ed Stock w/ Exe c sed Wa ants $1,312,000.00 $0.00 $165,139.00 
Investment 

FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2

INDIANA BANK CORP. DANA IN 9‐Ap ‐13 

11 INDIANA COMMUNITY BANCORP COLUMBUS IN 12‐Dec‐08 P efe ed Stock w/ Wa ants $21,500,000.00 $0.00 $27,331,250.00 Redeemed, n fu

INDIANA COMMUNITY BANCORP COLUMBUS IN 12‐Sep‐12 

22,52,97 INTEGRA BANK CORPORATION EVANSVILLE IN 27‐Feb‐09 P efe ed Stock w/ Wa ants $83,586,000.00 $0.00 $1,950,340.00 

INTEGRA BANK CORPORATION EVANSVILLE IN 29‐Jul‐11 

INTERMOUNTAIN COMMUNITY BANCORP SANDPOINT ID 19‐Dec‐08 P efe ed Stock w/ Wa ants $27,000,000.00 $0.00 $33,944,884.23 Redeemed, INTERMOUNTAIN COMMUNITY BANCORP SANDPOINT ID 20‐Nov‐13 

11 INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 23‐Dec‐08 P efe ed Stock w/ Wa ants $216,000,000.00 $0.00 $261,538,649.89 Redeemed, n fu

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 11‐Jul‐12 

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 1‐Nov‐12 

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 28‐Nov‐12 

INTERNATIONAL BANCSHARES CORPORATION LAREDO TX 11‐Jun‐13 

INTERVEST BANCSHARES CORPORATION NEW YORK NY 23‐Dec‐08 P efe ed Stock w/ Wa ants $25,000,000.00 $0.00 $30,035,555.56 Sold, 

INTERVEST BANCSHARES CORPORATION NEW YORK NY 24‐Jun‐13 

INTERVEST BANCSHARES CORPORATION NEW YORK NY 26‐Jul‐13 

15,71,97 INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY, INC. SEDALIA MO 8‐May‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $4,000,000.00 $0.00 $174,324.60 

INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY, INC. SEDALIA MO 19‐Oct‐12 

11 JPMORGAN CHASE & CO. NEW YORK NY 28‐Oct‐08 P efe ed Stock w/ Wa ants $25,000,000,000.00 $0.00 $26,731,202,358.00 Redeemed, n fu

JPMORGAN CHASE & CO. NEW YORK NY 17‐Jun‐09 

JPMORGAN CHASE & CO. NEW YORK NY 16‐Dec‐09 

44,8,14 KATAHDIN BANKSHARES CORP. HOULTON ME 30‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $10,449,000.00 $0.00 $12,423,046.75 Redeemed, n fu

KATAHDIN BANKSHARES CORP. HOULTON ME 18‐Aug‐11 

11 KEYCORP CLEVELAND OH 14‐Nov‐08 P efe ed Stock w/ Wa ants $2,500,000,000.00 $0.00 $2,867,222,222.22 Redeemed, n fu

KEYCORP CLEVELAND OH 30‐Ma ‐11 

KEYCORP CLEVELAND OH 20‐Ap ‐11 

8 KIRKSVILLE BANCORP, INC. KIRKSVILLE MO 20‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $470,000.00 $0.00 $622,228.44 Redeemed, n fu

KIRKSVILLE BANCORP, INC. KIRKSVILLE MO 19‐Ma ‐14 

8,14 KS BANCORP, INC SMITHFIELD NC 21‐Aug‐09 P efe ed Stock w/ Exe c sed Wa ants $4,000,000.00 $0.00 $4,137,336.64 Sold, n fu

KS BANCORP, INC SMITHFIELD NC 30‐Nov‐12 

KS BANCORP, INC SMITHFIELD NC 11‐Jan‐13 

8,11,14,18,36 LAFAYETTE BANCORP, INC. OXFORD MS 20‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $1,998,000.00 $0.00 $4,818,134.50 Redeemed, n fu

LAFAYETTE BANCORP, INC. OXFORD MS 29‐Dec‐09 $2,453,000.00

LAFAYETTE BANCORP, INC. OXFORD MS 29‐Sep‐10 

11 LAKELAND BANCORP, INC. OAK RIDGE NJ 6‐Feb‐09 P efe ed Stock w/ Wa ants $59,000,000.00 $0.00 $68,260,833.33 Redeemed, n fu 

LAKELAND BANCORP, INC. OAK RIDGE NJ 4‐Aug‐10 

LAKELAND BANCORP, INC. OAK RIDGE NJ 16‐Ma ‐11 

LAKELAND BANCORP, INC. OAK RIDGE NJ 8‐Feb‐12 

LAKELAND BANCORP, INC. OAK RIDGE NJ 29‐Feb‐12 

12 LAKELAND FINANCIAL CORPORATION WARSAW IN 27‐Feb‐09 P efe ed Stock w/ Wa ants $56,044,000.00 $0.00 $60,517,713.33 Redeemed, n fu

LAKELAND FINANCIAL CORPORATION WARSAW IN 9‐Jun‐10 

LAKELAND FINANCIAL CORPORATION WARSAW IN 22‐Nov‐11 

8,14 LAYTON PARK FINANCIAL GROUP, INC. M LWAUKEE WI 18‐Dec‐09 P efe ed Stock w/ Exe c sed Wa ants $3,000,000.00 $0.00 $2,932,162.50 Sold, n fu

LAYTON PARK FINANCIAL GROUP, INC. M LWAUKEE WI 29‐Nov‐12 

LAYTON PARK FINANCIAL GROUP, INC. M LWAUKEE WI 11‐Jan‐13 

LAYTON PARK FINANCIAL GROUP, INC. M LWAUKEE WI 26‐Ma ‐13 

11 LCNB CORP. LEBANON OH 9‐Jan‐09 P efe ed Stock w/ Wa ants $13,400,000.00 $0.00 $14,527,390.33 Redeemed, n fu

LCNB CORP. LEBANON OH 21‐Oct‐09 LCNB CORP. LEBANON OH 22‐Nov‐11 

11,8,14 LEADER BANCORP, INC. ARLINGTON MA 23‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $5,830,000.00 $0.00 $6,731,961.06 Redeemed, n fu

LEADER BANCORP, INC. ARLINGTON MA 24‐Nov‐10 

9,48,97 LEGACY BANCORP, INC. M LWAUKEE WI 30‐Jan‐09 P efe ed Stock $5,498,000.00 $0.00 $355,079.00 

LEGACY BANCORP, INC. M LWAUKEE WI 11‐Ma ‐11 

45,8,14 LIBERTY BANCSHARES, INC. (AR) JONESBORO AR 23‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $57,500,000.00 $0.00 $68,191,965.77 Redeemed, n fu

LIBERTY BANCSHARES, INC. (AR) JONESBORO AR 21‐Jul‐11 

45,8,14 LIBERTY BANCSHARES, INC. (MO) SPRINGFIELD MO 13‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $21,900,000.00 $0.00 $25,995,452.08 Redeemed, n fu 

LIBERTY BANCSHARES, INC. (MO) SPRINGFIELD MO 18‐Aug‐11 

8,17 LIBERTY BANCSHARES, INC. (TX) FORT WORTH TX 4‐Dec‐09 P efe ed Stock w/ Exe c sed Wa ants $6,500,000.00 $6,500,000 00 $1,523,796.22 Fu l nvestment outsta

11,9,36 LIBERTY FINANCIAL SERVICES, INC. NEW ORLEANS LA 6‐Feb‐09 P efe ed Stock $5,645,000.00 $0.00 $6,106,008.58 Redeemed, n fu

LIBERTY FINANCIAL SERVICES, INC. NEW ORLEANS LA 24‐Sep‐10 

8 LIBERTY SHARES, INC. HINESVILLE GA 20‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $17,280,000.00 $17,280,000 00 $1,399,560.00 Fu l nvestment outsta

11 LINCOLN NATIONAL CORPORATION RADNOR PA 10‐Jul‐09 P efe ed Stock w/ Wa ants $950,000,000.00 $0.00 $1,209,851,873.70 Redeemed, n fu

LINCOLN NATIONAL CORPORATION RADNOR PA 30‐Jun‐10 

LINCOLN NATIONAL CORPORATION RADNOR PA 22‐Sep‐10 

LNB BANCORP, INC. LORAIN OH 12‐Dec‐08 P efe ed Stock w/ Wa ants $25,223,000.00 $0.00 $26,893,046.60 Sold, n fuLNB BANCORP, INC. LORAIN OH 19‐Jun‐12 

LNB BANCORP, INC. LORAIN OH 18‐Jul‐12 

8 LONE STAR BANK HOUSTON TX 6‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $3,072,000.00 $3,072,000 00 $0 00 Fu l nvestment outsta

11 LSB CORPORATION NORTH ANDOVER MA 12‐Dec‐08 P efe ed Stock w/ Wa ants $15,000,000.00 $0.00 $16,260,000.00 Redeemed, n fu

LSB CORPORATION NORTH ANDOVER MA 18‐Nov‐09 

LSB CORPORATION NORTH ANDOVER MA 16‐Dec‐09 

8,9,17 M&F BANCORP, INC. DURHAM NC 26‐Jun‐09 P efe ed Stock $11,735,000.00 $0.00 $12,409,762.50 Redeemed, n fu 

M&F BANCORP, INC. DURHAM NC 20‐Aug‐10 

11 M&T BANK CORPORATION BUFFALO NY 23‐Dec‐08 P efe ed Stock w/ Wa ants $600,000,000.00 $0.00 $718,392,161.34 Redeemed, n fu

M&T BANK CORPORATION BUFFALO NY 18‐May‐11 

M&T BANK CORPORATION BUFFALO NY 21‐Aug‐12 

M&T BANK CORPORATION BUFFALO NY 17‐Dec‐12 

MACKINAC FINANCIAL CORPORATION MANISTIQUE MI 24‐Ap ‐09 P efe ed Stock w/ Wa ants $11,000,000.00 $0.00 $13,521,828.15 Sold, n fu

MACKINAC FINANCIAL CORPORATION MANISTIQUE MI 29‐Aug‐12 

MACKINAC FINANCIAL CORPORATION MANISTIQUE MI 19‐Dec‐12 

8 MADISON FINANCIAL CORPORATION RICHMOND KY 13‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $3,370,000.00 $0.00 $3,773,495.65 Sold, n fu

MADISON FINANCIAL CORPORATION RICHMOND KY 19‐Nov‐13 

MADISON FINANCIAL CORPORATION RICHMOND KY 6‐Jan‐14 

44,11,8 MAGNA BANK MEMPHIS TN 23‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $13,795,000.00 $0.00 $16,146,467.87 Redeemed, n fu

MAGNA BANK MEMPHIS TN 24‐Nov‐09 

MAGNA BANK MEMPHIS TN 8‐Jun‐11 

MAGNA BANK MEMPHIS TN 18‐Aug‐11 

8,14 MAINLINE BANCORP, INC. EBENSBURG PA 29‐Dec‐09 P efe ed Stock w/ Exe c sed Wa ants $4,500,000.00 $0.00 $5,263,187.50 Redeemed, n fu

MAINLINE BANCORP, INC. EBENSBURG PA 9‐Ma ‐12 

MAINSOURCE FINANCIAL GROUP, INC. GREENSBURG IN 16‐Jan‐09 P efe ed Stock w/ Wa ants $57,000,000.00 $0.00 $62,949,121.28 Sold, n fuMAINSOURCE FINANCIAL GROUP, INC. GREENSBURG IN 3‐Ap ‐12 MAINSOURCE FINANCIAL GROUP, INC. GREENSBURG IN 11‐Jun‐13 

11 MANHATTAN BANCORP EL SEGUNDO CA 5‐Dec‐08 P efe ed Stock w/ Wa ants $1,700,000.00 $0.00 $1,829,711.12 Redeemed, n fu

MANHATTAN BANCORP EL SEGUNDO CA 16‐Sep‐09 MANHATTAN BANCORP EL SEGUNDO CA 14‐Oct‐09 

15,14 MANHATTAN BANCSHARES, INC. MANHATTAN IL 19‐Jun‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $2,639,000.00 $0.00 $3,438,793.11 Sold, n fu

MANHATTAN BANCSHARES, INC. MANHATTAN IL 10‐Dec‐12 

MANHATTAN BANCSHARES, INC. MANHATTAN IL 11‐Dec‐12 

MANHATTAN BANCSHARES, INC. MANHATTAN IL 11‐Jan‐13 

8 MARINE BANK & TRUST COMPANY VERO BEACH FL 6‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $3,000,000.00 $3,000,000 00 $235,713.00 Fu l nvestment outsta
Investment 

FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2

8 MARKET BANCORPORATION, INC. NEW MARKET MN 20‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $2,060,000.00 $2,060,000 00 $138,778.00 Fu l nvestment outsta

15,14 MARKET STREET BANCSHARES, INC. MT. VERNON IL 15‐May‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $20,300,000.00 $0.00 $24,429,245.84 Sold, n fu

MARKET STREET BANCSHARES, INC. MT. VERNON IL 9‐Aug‐12 

MARKET STREET BANCSHARES, INC. MT. VERNON IL 10‐Aug‐12 

MARKET STREET BANCSHARES, INC. MT. VERNON IL 11‐Sep‐12 

8,14 MARQUETTE NAT ONAL CORPORATION CH CAGO IL 19‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $35,500,000.00 $0.00 $33,835,943.42 Sold, n fu

MARQUETTE NAT ONAL CORPORATION CH CAGO IL 7‐Aug‐12 

MARQUETTE NAT ONAL CORPORATION CH CAGO IL 9‐Aug‐12 

MARQUETTE NAT ONAL CORPORATION CH CAGO IL 10‐Aug‐12 MARQUETTE NAT ONAL CORPORATION CH CAGO IL 11‐Sep‐12 

43 MARSHALL & ILSLEY CORPORATION M LWAUKEE WI 14‐Nov‐08 P efe ed Stock w/ Wa ants $1,715,000,000.00 $0.00 $1,944,772,916.66 Redeemed, n fu

MARSHALL & ILSLEY CORPORATION MILWAUKEE WI 5‐Jul‐11 

8 MARYLAND FINANCIAL BANK TOWSON MD 27‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $1,700,000.00 $1,700,000 00 $313,465.50 Fu l nvestment outsta

11 MB FINANCIAL INC. CH CAGO IL 5‐Dec‐08 P efe ed Stock w/ Wa ants $196,000,000.00 $0.00 $229,613,072.00 Redeemed, n fu

MB FINANCIAL INC. CH CAGO IL 14‐Ma ‐12 

MB FINANCIAL INC. CH CAGO IL 2‐May‐12 

8,45,14 MCLEOD BANCSHARES, INC. SHOREWOOD MN 20‐Nov‐09 P efe ed Stock w/ Exe c sed Wa ants $6,000,000.00 $0.00 $6,870,433.33 Redeemed, n fu

MCLEOD BANCSHARES, INC. SHOREWOOD MN 18‐Aug‐11 

8,14,18,44 MEDALLION BANK SALT LAKE CITY UT 27‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $11,800,000.00 $0.00 $24,460,674.81 Redeemed, n fu

MEDALLION BANK SALT LAKE CITY UT 22‐Dec‐09 $9,698,000.00

MEDALLION BANK SALT LAKE CITY UT 21‐Jul‐11 

11 MERCANTILE BANK CORPORATION GRAND RAPIDS MI 15‐May‐09 P efe ed Stock w/ Wa ants $21,000,000.00 $0.00 $31,631,120.56 Redeemed, n fu

MERCANTILE BANK CORPORATION GRAND RAPIDS MI 4‐Ap ‐12 MERCANTILE BANK CORPORATION GRAND RAPIDS MI 6‐Jun‐12 

MERCANTILE BANK CORPORATION GRAND RAPIDS MI 3‐Jul‐12 

44,8,14 MERCANTILE CAPITAL CORPORATION BOSTON MA 6‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $3,500,000.00 $0.00 $4,150,815.03 Redeemed, n fu

MERCANTILE CAPITAL CORPORATION BOSTON MA 4‐Aug‐11 

56,8,14 MERCHANTS & PLANTERS BANCSHARES, INC. TOONE TN 6‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $1,881,000.00 $0.00 $2,231,560.00 Redeemed, n fu

MERCHANTS & PLANTERS BANCSHARES, INC. TOONE TN 7‐Sep‐11 

8,44,14 MERCHANTS AND MANUFACTURERS BANK CORPORATION JOLIET IL 19‐Jun‐09 P efe ed Stock w/ Exe c sed Wa ants $3,510,000.00 $0.00 $4,110,668.47 Redeemed, n fu

MERCHANTS AND MANUFACTURERS BANK CORPORATION JOLIET IL 8‐Sep‐11 

8,18 MERIDIAN BANK DEVON PA 13‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $6,200,000.00 $0.00 $13,582,165.84 Sold, n fu

MERIDIAN BANK DEVON PA 11‐Dec‐09 $6,335,000.00MERIDIAN BANK DEVON PA 17‐Ma ‐14 MERIDIAN BANK DEVON PA 25‐Ap ‐14 

8,14 METRO CITY BANK DORAVILLE GA 30‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $7,700,000.00 $0.00 $8,806,297.80 Sold, n fu

METRO CITY BANK DORAVILLE GA 29‐Oct‐12 

METRO CITY BANK DORAVILLE GA 1‐Nov‐12 

METRO CITY BANK DORAVILLE GA 11‐Jan‐13 METROCORP BANCSHARES, INC. HOUSTON TX 16‐Jan‐09 P efe ed Stock w/ Wa ants $45,000,000.00 $0.00 $53,406,628.25 Sold, n fu

METROCORP BANCSHARES, INC. HOUSTON TX 3‐Jul‐12 

METROCORP BANCSHARES, INC. HOUSTON TX 11‐Jun‐13 

8 42 METROPOLITAN BANK GROUP, INC. CH CAGO IL 26‐Jun‐09 P efe ed Stock w/ Exe c sed Wa ants $71,526,000.00 $0.00 $27,172,726.72 Sold, n fu

METROPOLITAN BANK GROUP, INC. CH CAGO IL 28‐Jun‐13 

8,18 METROPOLITAN CAPITAL BANCORP, INC. CH CAGO IL 10‐Ap ‐09 P efe ed Stock w/ Wa ants $2,040,000.00 $4,388,000 00 $1,093,379.44 Fu l nvestment outsta

METROPOLITAN CAPITAL BANCORP, INC. CH CAGO IL 20‐Nov‐09 $2,348,000.00

11 M D PENN BANCORP, INC./MID PENN BANK M LLERSBURG PA 19‐Dec‐08 P efe ed Stock w/ Wa ants $10,000,000.00 $0.00 $12,070,979.20 Redeemed, n fu 

M D PENN BANCORP, INC./MID PENN BANK M LLERSBURG PA 28‐Dec‐12 

MID PENN BANCORP, INC./MID PENN BANK M LLERSBURG PA 23‐Jan‐13 

12 M DDLEBURG FINANCIAL CORPORAT ON M DDLEBURG VA 30‐Jan‐09 P efe ed Stock w/ Wa ants $22,000,000.00 $0.00 $23,287,945.11 Redeemed, n fu

M DDLEBURG FINANCIAL CORPORAT ON M DDLEBURG VA 23‐Dec‐09 

M DDLEBURG FINANCIAL CORPORAT ON M DDLEBURG VA 18‐Nov‐11 

11,8,14 M DLAND STATES BANCORP, INC. EFFINGHAM IL 23‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $10,189,000.00 $0.00 $11,206,989.34 Redeemed, n fu 

M DLAND STATES BANCORP, INC. EFFINGHAM IL 23‐Dec‐09 

44 MIDSOUTH BANCORP, INC. LAFAYETTE LA 9‐Jan‐09 P efe ed Stock w/ Wa ants $20,000,000.00 $0.00 $22,834,334.78 Redeemed, n fu

MIDSOUTH BANCORP, INC. LAFAYETTE LA 25‐Aug‐11 

M DSOUTH BANCORP, INC. LAFAYETTE LA 22‐Nov‐11 

8 M DTOWN BANK & TRUST COMPANY ATLANTA GA 27‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $5,222,000.00 $0.00 $3,520,137.55 Sold, n fu

M DTOWN BANK & TRUST COMPANY ATLANTA GA 19‐Nov‐13 

MIDTOWN BANK & TRUST COMPANY ATLANTA GA 6‐Jan‐14 

22,27,97 M DWEST BANC HOLDINGS, INC. MELROSE PARK IL 5‐Dec‐08 P efe ed Stock w/ Wa ants $84,784,000.00 $0.00 $824,288.89 

M DWEST BANC HOLDINGS, INC. MELROSE PARK IL 14‐May‐10 

11,8,14 M DWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE FESTUS MO 13‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $700,000.00 $0.00 $763,294.14 Redeemed, n fu

MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE FESTUS MO 10‐Nov‐09 

11 MIDWESTONE FINANCIAL GROUP, INC. OWA CITY IA 6‐Feb‐09 P efe ed Stock w/ Wa ants $16,000,000.00 $0.00 $18,933,333.33 Redeemed, n fu

MIDWESTONE FINANCIAL GROUP, INC. OWA CITY IA 6‐Jul‐11 MIDWESTONE FINANCIAL GROUP, INC. OWA CITY IA 27‐Jul‐11 

11,8,14 MID‐WISCONSIN FINANCIAL SERVICES, INC. MEDFORD WI 20‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $10,000,000.00 $0.00 $12,844,226.31 Redeemed, n fu

MID‐WISCONSIN FINANCIAL SERVICES, INC. MEDFORD WI 26‐Ap ‐13 

8 MILLENNIUM BANCORP, INC. EDWARDS CO 3‐Ap ‐09 P efe ed Stock w/ Exe c sed Wa ants $7,260,000.00 $0.00 $4,296,561.73 Sold, n fu

MILLENNIUM BANCORP, INC. EDWARDS CO 14‐Aug‐12 

11,9 MISS ON COMMUNITY BANCORP SAN LUIS OBISPO CA 9‐Jan‐09 P efe ed Stock $5,116,000.00 $0.00 $5,875,583.89 Redeemed, n fu

MISS ON COMMUNITY BANCORP SAN LUIS OBISPO CA 28‐Dec‐11 

11,9,36 M SS ON VALLEY BANCORP SUN VALLEY CA 23‐Dec‐08 P efe ed Stock $5,500,000.00 $0.00 $5,956,041.66 Redeemed, n fu

MISS ON VALLEY BANCORP SUN VALLEY CA 20‐Aug‐10 

11,8,14 MONADNOCK BANCORP, INC. PETERBOROUGH NH 19‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $1,834,000.00 $0.00 $2,339,348.60 Redeemed, n fu

MONADNOCK BANCORP, INC. PETERBOROUGH NH 28‐Dec‐12 

98 MONARCH COMMUNITY BANCORP, INC. COLDWATER MI 6‐Feb‐09 P efe ed Stock w/ Wa ants $6,785,000.00 $0.00 $4,808,121.00 Sold, n fu

MONARCH COMMUNITY BANCORP, INC. COLDWATER MI 15‐Nov‐13 

12,16 MONARCH FINANCIAL HOLDINGS, INC. CHESAPEAKE VA 19‐Dec‐08 P efe ed Stock w/ Wa ants $14,700,000.00 $0.00 $15,703,166.66 Redeemed, n fu

MONARCH FINANCIAL HOLDINGS, INC. CHESAPEAKE VA 23‐Dec‐09 

MONARCH FINANCIAL HOLDINGS, INC. CHESAPEAKE VA 10‐Feb‐10 

45,8,14 MONEYTREE CORPORATION LENOIR CITY TN 13‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $9,516,000.00 $0.00 $11,291,481.00 Redeemed, n fu

MONEYTREE CORPORATION LENOIR CITY TN 15‐Sep‐11 

44,8,14 MONUMENT BANK BETHESDA MD 30‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $4,734,000.00 $0.00 $5,623,958.50 Redeemed, n fu

MONUMENT BANK BETHESDA MD 11‐Aug‐11 

11 MORGAN STANLEY NEW YORK NY 28‐Oct‐08 P efe ed Stock w/ Wa ants $10,000,000,000.00 $0.00 $11,268,055,555.11 Redeemed, n fu

MORGAN STANLEY NEW YORK NY 17‐Jun‐09 

MORGAN STANLEY NEW YORK NY 12‐Aug‐09 

11,8,14 MORR LL BANCSHARES, INC. MERRIAM KS 16‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $13,000,000.00 $0.00 $15,429,122.22 Redeemed, n fu

MORR LL BANCSHARES, INC. MERRIAM KS 20‐Jul‐11 

11,8,14 MOSCOW BANCSHARES, INC. MOSCOW TN 23‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $6,216,000.00 $0.00 $7,803,377.38 Redeemed, n fu

MOSCOW BANCSHARES, INC. MOSCOW TN 25‐Ap ‐12 

MOSCOW BANCSHARES, INC. MOSCOW TN 5‐Dec‐12 

8,14 MOUNTAIN VALLEY BANCSHARES, INC. CLEVELAND GA 25‐Sep‐09 P efe ed Stock w/ Exe c sed Wa ants $3,300,000.00 $0.00 $4,069,975.55 Sold, n fu

MOUNTAIN VALLEY BANCSHARES, INC. CLEVELAND GA 22‐Jul‐13 

MOUNTAIN VALLEY BANCSHARES, INC. CLEVELAND GA 12‐Sep‐13 

11,8,14 MS FINANCIAL, INC. KINGWOOD TX 27‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $7,723,000.00 $0.00 $9,206,289.90 Redeemed, n fu

MS FINANCIAL, INC. KINGWOOD TX 19‐Oct‐11 
Investment 

FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2

45 MUTUALFIRST FINANCIAL, INC. MUNCIE IN 23‐Dec‐08 P efe ed Stock w/ Wa ants $32,382,000.00 $0.00 $37,608,789.00 Redeemed, n fu

MUTUALFIRST FINANCIAL, INC. MUNCIE IN 25‐Aug‐11 

MUTUALFIRST FINANCIAL, INC. MUNCIE IN 28‐Sep‐11 

8 NAPLES BANCORP, INC. NAPLES FL 27‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $4,000,000.00 $0.00 $956,066.67 Sold, n fu

NAPLES BANCORP, INC. NAPLES FL 12‐Jul‐12 

59,11 NARA BANCORP, INC. / BBCN BANCORP, INC. LOS ANGELES CA 21‐Nov‐08 P efe ed Stock w/ Wa ants $67,000,000.00 $0.00 $81,249,317.20 Redeemed, n fu

NARA BANCORP, INC. / BBCN BANCORP, INC. LOS ANGELES CA 27‐Jun‐12 

NARA BANCORP, INC. / BBCN BANCORP, INC. LOS ANGELES CA 8‐Aug‐12 

8,14 NATIONAL BANCSHARES, INC. BETTENDORF IA 27‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $24,664,000.00 $0.00 $21,471,087.90 Sold, n fu

NATIONAL BANCSHARES, INC. BETTENDORF IA 19‐Feb‐13 

NATIONAL BANCSHARES, INC. BETTENDORF IA 20‐Feb‐13 

NATIONAL BANCSHARES, INC. BETTENDORF IA 26‐Ma ‐13 

11,16 NATIONAL PENN BANCSHARES, INC. BOYERTOWN PA 12‐Dec‐08 P efe ed Stock w/ Wa ants $150,000,000.00 $0.00 $167,958,333.33 Redeemed, n fu

NATIONAL PENN BANCSHARES, INC. BOYERTOWN PA 16‐Ma ‐11 

NATIONAL PENN BANCSHARES, INC. BOYERTOWN PA 13‐Ap ‐11 

15,11,14 NATIONWIDE BANKSHARES, INC. WEST POINT NE 11‐Dec‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $2,000,000.00 $0.00 $2,276,190.00 Redeemed, n fu

NATIONWIDE BANKSHARES, INC. WEST POINT NE 29‐Dec‐10 

8,42 NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC. CH CAGO IL 26‐Jun‐09 P efe ed Stock w/ Wa ants $6,880,000.00 $0.00 $2,613,714.23 Sold, n fu

NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC. CH CAGO IL 28‐Jun‐13 

8 NCAL BANCORP LOS ANGELES CA 19‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $10,000,000.00 $10,000,000 00 $1,311,027.78 Fu l nvestment outsta

15,11,14 NEMO BANCSHARES, INC. MADISON MO 19‐Jun‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $2,330,000.00 $0.00 $3,199,347.39 Redeemed, n fu

NEMO BANCSHARES, INC. MADISON MO 24‐Ap ‐13 

44 NEW HAMPSHIRE THRIFT BANCSHARES, INC. NEWPORT NH 16‐Jan‐09 P efe ed Stock w/ Wa ants $10,000,000.00 $0.00 $12,041,266.67 Redeemed, n fu

NEW HAMPSHIRE THRIFT BANCSHARES, INC. NEWPORT NH 25‐Aug‐11 

NEW HAMPSHIRE THRIFT BANCSHARES, INC. NEWPORT NH 15‐Feb‐12 

11,8,14 NEW YORK PRIVATE BANK & TRUST CORPORATION NEW YORK NY 9‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $267,274,000.00 $0.00 $346,794,005.83 Redeemed, n fu

NEW YORK PRIVATE BANK & TRUST CORPORATION NEW YORK NY 24‐Jul‐13 NEWBRIDGE BANCORP GREENSBORO NC 12‐Dec‐08 P efe ed Stock w/ Wa ants $52,372,000.00 $0.00 $70,087,060.35 Sold, n fu

NEWBRIDGE BANCORP GREENSBORO NC 26‐Ap ‐13 

NEWBRIDGE BANCORP GREENSBORO NC 29‐Ap ‐13 

NEWBRIDGE BANCORP GREENSBORO NC 15‐May‐13 

NEWBRIDGE BANCORP GREENSBORO NC 31‐May‐13 

44,8,14 NICOLET BANKSHARES, INC. GREEN BAY WI 23‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $14,964,000.00 $0.00 $17,904,842.66 Redeemed, n fu 

NICOLET BANKSHARES, INC. GREEN BAY WI 1‐Sep‐11 

11 NORTH CENTRAL BANCSHARES, INC. FORT DODGE IA 9‐Jan‐09 P efe ed Stock w/ Wa ants $10,200,000.00 $0.00 $12,294,583.33 Redeemed, n fu

NORTH CENTRAL BANCSHARES, INC. FORT DODGE IA 14‐Dec‐11 

NORTH CENTRAL BANCSHARES, INC. FORT DODGE IA 11‐Jan‐12 

11 NORTHEAST BANCORP LEWISTON ME 12‐Dec‐08 P efe ed Stock w/ Wa ants $4,227,000.00 $0.00 $5,159,181.33 Redeemed, n fu

NORTHEAST BANCORP LEWISTON ME 28‐Nov‐12 

NORTHEAST BANCORP LEWISTON ME 28‐Dec‐12 

8,11,14,18 NORTHERN STATE BANK / FIRST COMMERCE BANK CLOSTER NJ 15‐May‐09 P efe ed Stock w/ Wa ants $1,341,000.00 $0.00 $2,987,782.33 Redeemed, n fu

NORTHERN STATE BANK / FIRST COMMERCE BANK CLOSTER NJ 18‐Dec‐09 $1,230,000.00

NORTHERN STATE BANK / FIRST COMMERCE BANK CLOSTER NJ 28‐Ma ‐12 

109 NORTHERN STATES FINANCIAL CORPORATION WAUKEGAN IL 20‐Feb‐09 P efe ed Stock w/ Wa ants $17,211,000.00 $0.00 $6,442,172.50 Sold, n fu

NORTHERN STATES FINANCIAL CORPORATION WAUKEGAN IL 30‐Ap ‐14 

11 NORTHERN TRUST CORPORATION CH CAGO IL 14‐Nov‐08 P efe ed Stock w/ Wa ants $1,576,000,000.00 $0.00 $1,709,623,333.35 Redeemed, n fu

NORTHERN TRUST CORPORATION CH CAGO IL 17‐Jun‐09 NORTHERN TRUST CORPORATION CH CAGO IL 26‐Aug‐09 

44,8,14 NORTHWAY FINANCIAL, INC. BERLIN NH 30‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $10,000,000.00 $0.00 $11,930,624.67 Redeemed, n fu

NORTHWAY FINANCIAL, INC. BERLIN NH 15‐Sep‐11 

8,14 NORTHWEST BANCORPORAT ON, INC. POKANE WA 13‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $10,500,000.00 $0.00 $11,891,847.50 Sold, n fu

NORTHWEST BANCORPORAT ON, INC. SPOKANE WA 8‐Ma ‐13 

NORTHWEST BANCORPORAT ON, INC. SPOKANE WA 11‐Ma ‐13 

NORTHWEST BANCORPORAT ON, INC. SPOKANE WA 9‐Ap ‐13 

11,8,14 NORTHWEST COMMERCIAL BANK LAKEWOOD WA 13‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $1,992,000.00 $0.00 $2,380,393.00 Redeemed, n fu

NORTHWEST COMMERCIAL BANK LAKEWOOD WA 9‐Jan‐13 

OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 30‐Jan‐09 P efe ed Stock w/ Wa ants $7,700,000.00 $0.00 $8,592,336.00 Sold, n fu

OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 31‐Oct‐12 

OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 11‐Jan‐13 OAK RIDGE FINANCIAL SERVICES, INC. OAK RIDGE NC 6‐Feb‐13 

45 OAK VALLEY BANCORP OAKDALE CA 5‐Dec‐08 P efe ed Stock w/ Wa ants $13,500,000.00 $0.00 $15,871,250.00 Redeemed, n fu

OAK VALLEY BANCORP OAKDALE CA 11‐Aug‐11 

OAK VALLEY BANCORP OAKDALE CA 28‐Sep‐11 

12,16 OCEANFIRST FINANCIAL CORP. TOMS RIVER NJ 16‐Jan‐09 P efe ed Stock w/ Wa ants $38,263,000.00 $0.00 $40,521,918.61 Redeemed, n fu

OCEANFIRST FINANCIAL CORP. TOMS RIVER NJ 30‐Dec‐09 

OCEANFIRST FINANCIAL CORP. TOMS RIVER NJ 3‐Feb‐10 

8 OJAI COMMUNITY BANK OJAI CA 30‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $2,080,000.00 $0.00 $2,654,758.89 Redeemed, n fu

OJAI COMMUNITY BANK OJAI CA 25‐Sep‐13 

11 OLD LINE BANCSHARES, INC. BOWIE MD 5‐Dec‐08 P efe ed Stock w/ Wa ants $7,000,000.00 $0.00 $7,438,888.89 Redeemed, n fu

OLD LINE BANCSHARES, INC. BOWIE MD 15‐Jul‐09 

OLD LINE BANCSHARES, INC. BOWIE MD 2‐Sep‐09 

11 OLD NATIONAL BANCORP EVANSVILLE IN 12‐Dec‐08 P efe ed Stock w/ Wa ants $100,000,000.00 $0.00 $102,713,888.89 Redeemed, n fu

OLD NATIONAL BANCORP EVANSVILLE IN 31‐Ma ‐09 

OLD NATIONAL BANCORP EVANSVILLE IN 8‐May‐09 

OLD SECOND BANCORP, INC. AURORA IL 16‐Jan‐09 P efe ed Stock w/ Wa ants $73,000,000.00 $0.00 $31,423,238.49 Sold, n fu

OLD SECOND BANCORP, INC. AURORA IL 11‐Ma ‐13 

OLD SECOND BANCORP, INC. AURORA IL 26‐Ma ‐13 

OLD SECOND BANCORP, INC. AURORA IL 27‐Ma ‐13 

OLD SECOND BANCORP, INC. AURORA IL 9‐Ap ‐13 

OLD SECOND BANCORP, INC. AURORA IL 11‐Jun‐13 

8,14 OMEGA CAPITAL CORP. LAKEWOOD CO 17‐Ap ‐09 P efe ed Stock w/ Exe c sed Wa ants $2,816,000.00 $0.00 $3,403,603.15 Sold, n fu

OMEGA CAPITAL CORP. LAKEWOOD CO 19‐Jul‐13 

OMEGA CAPITAL CORP. LAKEWOOD CO 22‐Jul‐13 

OMEGA CAPITAL CORP. LAKEWOOD CO 12‐Sep‐13 

8,51,97 ONE GEORGIA BANK ATLANTA GA 8‐May‐09 P efe ed Stock w/ Exe c sed Wa ants $5,500,000.00 $0.00 $0 00 

ONE GEORGIA BANK ATLANTA GA 15‐Jul‐11 

8,9 ONE UNITED BANK BOSTON MA 19‐Dec‐08 P efe ed Stock $12,063,000.00 $12,063,000 00 $93,823.33 Full nvestment outstand n

15,17 ONEFINANCIAL CORPORATION LITTLE ROCK AR 5‐Jun‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $17,300,000.00 $17,300,000 00 $3,782,990.59 Fu l nvestment outsta

8 OREGON BANCORP, INC. SALEM OR 24‐Ap ‐09 P efe ed Stock w/ Exe c sed Wa ants $3,216,000.00 $0.00 $4,116,801.92 Sold, n fu

OREGON BANCORP, INC. SALEM OR 18‐Oct‐13 

OREGON BANCORP, INC. SALEM OR 21‐Oct‐13 

OREGON BANCORP, INC. SALEM OR 6‐Jan‐14 

15,11,14 OSB FINANCIAL SERVICES, INC. ORANGE TX 1‐May‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $6,100,000.00 $0.00 $7,662,314.53 Redeemed, n fu

OSB FINANCIAL SERVICES, INC. ORANGE TX 5‐Oct‐11 

35,11 PACIFIC CAPITAL BANCORP SANTA BARBARA CA 21‐Nov‐08 P efe ed Stock w/ Wa ants $180,634,000.00 $0.00 $168,483,804.20 Sold, n fu

PACIFIC CAPITAL BANCORP SANTA BARBARA CA 23‐Feb‐11 

PACIFIC CAPITAL BANCORP SANTA BARBARA CA 30‐Nov‐12 

8 PACIFIC CITY FINANCIAL CORPORATION LOS ANGELES CA 19‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $16,200,000.00 $0.00 $21,003,597.96 Sold, n fu

PACIFIC CITY FINANCIAL CORPORATION LOS ANGELES CA 19‐Nov‐13 
Investment 

FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2

PACIFIC CITY FINANCIAL CORPORATION LOS ANGELES CA 6‐Jan‐14 

45,8,14 PACIFIC COAST BANKERS' BANCSHARES SAN FRANCISCO CA 23‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $11,600,000.00 $0.00 $13,821,963.89 Redeemed, n fu

PACIFIC COAST BANKERS' BANCSHARES SAN FRANCISCO CA 28‐Jul‐11 

8,26 PACIFIC COAST NATIONAL BANCORP SAN CLEMENTE CA 16‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $4,120,000.00 $0.00 $18,087.94 Ex 

PACIFIC COAST NATIONAL BANCORP SAN CLEMENTE CA 11‐Feb‐10 

8 PACIFIC COMMERCE BANK LOS ANGELES CA 23‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $4,060,000.00 $0.00 $2,991,670.80 Sold, n fu

PACIFIC COMMERCE BANK LOS ANGELES CA 10‐Feb‐14 

PACIFIC COMMERCE BANK LOS ANGELES CA 19‐Ma ‐14 

85 PACIFIC INTERNAT ONAL BANCORP / BBCN BANCORP, INC. SEATTLE WA 12‐Dec‐08 P efe ed Stock w/ Wa ants $6,500,000.00 $0.00 $7,937,744.97 Redeemed, 

PACIFIC INTERNAT ONAL BANCORP / BBCN BANCORP, INC. SEATTLE WA 15‐Feb‐13 

8,14 PARK BANCORPORATION, INC. MADISON WI 6‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $23,200,000.00 $0.00 $22,020,064.10 Sold, n fu

PARK BANCORPORATION, INC. MADISON WI 7‐Aug‐12 

PARK BANCORPORATION, INC. MADISON WI 9‐Aug‐12 

PARK BANCORPORATION, INC. MADISON WI 10‐Aug‐12 PARK BANCORPORATION, INC. MADISON WI 11‐Sep‐12 

11 PARK NATIONAL CORPORATION NEWARK OH 23‐Dec‐08 P efe ed Stock w/ Wa ants $100,000,000.00 $0.00 $119,536,844.44 Redeemed, n fu

PARK NATIONAL CORPORATION NEWARK OH 25‐Ap ‐12 

PARK NATIONAL CORPORATION NEWARK OH 2‐May‐12 

PARKE BANCORP, INC. SEWELL NJ 30‐Jan‐09 P efe ed Stock w/ Wa ants $16,288,000.00 $0.00 $16,365,554.76 Sold, n fu

PARKE BANCORP, INC. SEWELL NJ 28‐Nov‐12 

PARKE BANCORP, INC. SEWELL NJ 29‐Nov‐12 

PARKE BANCORP, INC. SEWELL NJ 11‐Jan‐13 

PARKE BANCORP, INC. SEWELL NJ 12‐Jun‐13 

60 PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION MONROEVILLE PA 23‐Dec‐08 P efe ed Stock w/ Wa ants $31,762,000.00 $0.00 $36,570,413.89 Redeemed, 

PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION MONROEVILLE PA 3‐Jan‐12 

8,21,11 PASCACK BANCORP, INC. WESTWOOD NJ 6‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $3,756,000.00 $0.00 $4,497,312.67 Redeemed, n fu

PASCACK BANCORP, INC. WESTWOOD NJ 19‐Oct‐11 

8 PATAPSCO BANCORP, INC. DUNDALK MD 19‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $6,000,000.00 $6,000,000 00 $377,866.67 Fu l nvestment outsta

44 PATHFINDER BANCORP, INC. OSWEGO NY 11‐Sep‐09 P efe ed Stock w/ Wa ants $6,771,000.00 $0.00 $7,976,328.84 Redeemed, n fu

PATHFINDER BANCORP, INC. OSWEGO NY 1‐Sep‐11 

PATHFINDER BANCORP, INC. OSWEGO NY 1‐Feb‐12 

8,14 PATHWAY BANCORP CAIRO NE 27‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $3,727,000.00 $0.00 $4,628,862.77 Sold, n fu

PATHWAY BANCORP CAIRO NE 24‐Jun‐13 

PATHWAY BANCORP CAIRO NE 26‐Jul‐13 

8 PATRIOT BANCSHARES, INC. HOUSTON TX 19‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $26,038,000.00 $0.00 $34,138,915.14 Sold, n fu

PATRIOT BANCSHARES, INC. HOUSTON TX 11‐Ap ‐14 

PATRIOT BANCSHARES, INC. HOUSTON TX 14‐Ap ‐14 

8,11,14 PATTERSON BANCSHARES, INC. PATTERSON LA 17‐Ap ‐09 P efe ed Stock w/ Exe c sed Wa ants $3,690,000.00 $0.00 $4,692,022.77 Redeemed, n fu

PATTERSON BANCSHARES, INC. PATTERSON LA 7‐Ma ‐12 PATTERSON BANCSHARES, INC. PATTERSON LA 22‐Aug‐12 

PATTERSON BANCSHARES, INC. PATTERSON LA 5‐Dec‐12 

PATTERSON BANCSHARES, INC. PATTERSON LA 8‐May‐13 PATTERSON BANCSHARES, INC. PATTERSON LA 5‐Jun‐13 

11 PEAPACK‐GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 9‐Jan‐09 P efe ed Stock w/ Wa ants $28,685,000.00 $0.00 $32,075,739.67 Redeemed, n fu

PEAPACK‐GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 6‐Jan‐10 

PEAPACK‐GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 2‐Ma ‐11 

PEAPACK‐GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 11‐Jan‐12 PEAPACK‐GLADSTONE FINANCIAL CORPORATION GLADSTONE NJ 4‐Ap ‐12 

44,8,14 PENN LIBERTY FINANCIAL CORP. WAYNE PA 17‐Ap ‐09 P efe ed Stock w/ Exe c sed Wa ants $9,960,000.00 $0.00 $11,745,689.33 Redeemed, n fu

PENN LIBERTY FINANCIAL CORP. WAYNE PA 1‐Sep‐11 

11 PEOPLES BANCORP (OH) MARIETTA OH 30‐Jan‐09 P efe ed Stock w/ Wa ants $39,000,000.00 $0.00 $44,926,557.48 Redeemed, n fu

PEOPLES BANCORP (OH) MARIETTA OH 2‐Feb‐11 PEOPLES BANCORP (OH) MARIETTA OH 28‐Dec‐11 PEOPLES BANCORP (OH) MARIETTA OH 15‐Feb‐12 

56,8,14 PEOPLES BANCORP (WA) LYNDEN WA 13‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $18,000,000.00 $0.00 $21,325,250.00 Redeemed, n fu

PEOPLES BANCORP (WA) LYNDEN WA 3‐Aug‐11 

PEOPLES BANCORP OF NORTH CAROLINA, INC. NEWTON NC 23‐Dec‐08 P efe ed Stock w/ Wa ants $25,054,000.00 $0.00 $27,877,966.16 Sold, n fu

PEOPLES BANCORP OF NORTH CAROLINA, INC. NEWTON NC 3‐Jul‐12 

PEOPLES BANCORP OF NORTH CAROLINA, INC. NEWTON NC 8‐Aug‐12 

8,14 PEOPLES BANCORPORAT ON, INC. EASLEY SC 24‐Ap ‐09 P efe ed Stock w/ Exe c sed Wa ants $12,660,000.00 $0.00 $15,362,909.75 Redeemed, n fu 

PEOPLES BANCORPORAT ON, INC. EASLEY SC 24‐Ap ‐12 

8,14 PEOPLES BANCSHARES OF TN, INC. MADISONVILLE TN 20‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $3,900,000.00 $0.00 $3,809,874.42 Sold, n fu

PEOPLES BANCSHARES OF TN, INC. MADISONVILLE TN 31‐Oct‐12 

PEOPLES BANCSHARES OF TN, INC. MADISONVILLE TN 11‐Jan‐13 

8 PEOPLESSOUTH BANCSHARES, INC. COLQUITT GA 6‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $12,325,000.00 $0.00 $15,985,994.66 Redeemed, n fu

PEOPLESSOUTH BANCSHARES, INC. COLQUITT GA 18‐Sep‐13 

8,17,45 PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK PIGEON FALLS WI 11‐Sep‐09 P efe ed Stock w/ Exe c sed Wa ants $1,500,000.00 $0.00 $1,730,162.66 Redeemed, n fu

PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK PIGEON FALLS WI 25‐Aug‐11 

11,9,36 PGB HOLDINGS, INC. CH CAGO IL 6‐Feb‐09 P efe ed Stock $3,000,000.00 $0.00 $3,227,916.67 Redeemed, n fu

PGB HOLDINGS, INC. CH CAGO IL 13‐Aug‐10 

8,46,97 PIERCE COUNTY BANCORP TACOMA WA 23‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $6,800,000.00 $0.00 $207,947.78 

PIERCE COUNTY BANCORP TACOMA WA 5‐Nov‐10 

8,69 PINNACLE BANK HOLDING COMPANY, INC. ORANGE CITY FL 6‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $4,389,000.00 $4,389,000 00 $284,999.00 Fu l nvestment outsta

11 PINNACLE FINANCIAL PARTNERS, INC. NASHV LLE TN 12‐Dec‐08 P efe ed Stock w/ Wa ants $95,000,000.00 $0.00 $111,918,194.45 Redeemed, n fu

PINNACLE FINANCIAL PARTNERS, INC. NASHV LLE TN 28‐Dec‐11 

PINNACLE FINANCIAL PARTNERS, INC. NASHV LLE TN 20‐Jun‐12 PINNACLE FINANCIAL PARTNERS, INC. NASHV LLE TN 18‐Jul‐12 

44,8,14 PLAINS CAPITAL CORPORAT ON DALLAS TX 19‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $87,631,000.00 $0.00 $105,252,939.77 Redeemed, n fu

PLAINS CAPITAL CORPORAT ON DALLAS TX 27‐Sep‐11 

15,17 PLATO HOLDINGS INC. SAINT PAUL MN 17‐Jul‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $2,500,000.00 $0.00 $3,103,618.40 Sold, n fu

PLATO HOLDINGS INC. SAINT PAUL MN 26‐Ap ‐13 

PLATO HOLDINGS INC. SAINT PAUL MN 29‐Ap ‐13 

PLATO HOLDINGS INC. SAINT PAUL MN 31‐May‐13 PLUMAS BANCORP QUINCY CA 30‐Jan‐09 P efe ed Stock w/ Wa ants $11,949,000.00 $0.00 $13,764,140.41 Sold, n fu

PLUMAS BANCORP QUINCY CA 29‐Ap ‐13 

PLUMAS BANCORP QUINCY CA 22‐May‐13 

PLUMAS BANCORP QUINCY CA 31‐May‐13 

20 POPULAR, INC. SAN JUAN PR 5‐Dec‐08 P efe ed Stock w/ Wa ants $935,000,000.00 $935,000,000 00 $271,293,750.00 Fu l nvestment outsta

PORTER BANCORP, INC.(PBI) LOU SVILLE, KY LOU SVILLE KY 21‐Nov‐08 P efe ed Stock w/ Wa ants $35,000,000.00 $35,000,000 00 $4,783,333.33 Fu l nvestment outsta

8 PRAIRIE STAR BANCSHARES, INC. OLATHE KS 3‐Ap ‐09 P efe ed Stock w/ Exe c sed Wa ants $2,800,000.00 $2,800,000 00 $132,253.00 Fu l nvestment outsta

9,15,36 PREMIER BANCORP, INC. W LMETTE IL 8‐May‐09 Subo d nated Debentu es $6,784,000.00 $0.00 $7,444,215.12 Redeemed, n fu

PREMIER BANCORP, INC. W LMETTE IL 13‐Aug‐10 

8,22,97 PREMIER BANK HOLDING COMPANY TALLAHASSEE FL 20‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $9,500,000.00 $0.00 $467,412.50 

PREMIER BANK HOLDING COMPANY TALLAHASSEE FL 14‐Aug‐12 

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 2‐Oct‐09 P efe ed Stock w/ Wa ants $22,252,000.00 $0.00 $23,052,240.29 Sold, 

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 8‐Aug‐12 

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 9‐Aug‐12 

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 10‐Aug‐12 

PREMIER FINANCIAL BANCORP, INC. HUNTINGTON WV 11‐Sep‐12 
Investment 

FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2

15,14 PREMIER FINANCIAL CORP. DUBUQUE IA 22‐May‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $6,349,000.00 $0.00 $8,778,669.11 Sold, n fu

PREMIER FINANCIAL CORP. DUBUQUE IA 22‐Jul‐13 

PREMIER FINANCIAL CORP. DUBUQUE IA 12‐Sep‐13 

8 PREMIER SERVICE BANK RIVERSIDE CA 20‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $4,000,000.00 $0.00 $4,300,522.22 Redeemed, n fu

PREMIER SERVICE BANK RIVERSIDE CA 31‐Jan‐14 

80 PREMIERWEST BANCORP MEDFORD OR 13‐Feb‐09 P efe ed Stock w/ Wa ants $41,400,000.00 $0.00 $42,446,500.00 Redeemed, n fu

PREMIERWEST BANCORP MEDFORD OR 9‐Ap ‐13 

8,17 PRES D O BANK SAN FRANCISCO CA 20‐Nov‐09 P efe ed Stock w/ Exe c sed Wa ants $10,800,000.00 $0.00 $11,077,694.89 Sold, n fu

PRES D O BANK SAN FRANCISCO CA 10‐Dec‐12 

PRES D O BANK SAN FRANCISCO CA 11‐Dec‐12 

PRES D O BANK SAN FRANCISCO CA 11‐Jan‐13 

75,97 PRINCETON NATIONAL BANCORP, INC. PRINCETON IL 23‐Jan‐09 P efe ed Stock w/ Wa ants $25,083,000.00 $0.00 $2,271,405.00 

PRINCETON NATIONAL BANCORP, INC. PRINCETON IL 2‐Nov‐12 

8,18 PRIVATE BANCORPORATION, INC. MINNEAPOLIS MN 27‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $4,960,000.00 $8,222,000 00 $498,859.56 Fu l nvestment outsta

PRIVATE BANCORPORATION, INC. MINNEAPOLIS MN 29‐Dec‐09 $3,262,000.00

12 PRIVATEBANCORP, INC. CH CAGO IL 30‐Jan‐09 P efe ed Stock w/ Wa ants $243,815,000.00 $0.00 $290,552,132.92 Redeemed, n fu

PRIVATEBANCORP, INC. CH CAGO IL 24‐Oct‐12 PRIVATEBANCORP, INC. CH CAGO IL 14‐Nov‐12 

8,17,44 PROVIDENCE BANK ROCKY MOUNT NC 2‐Oct‐09 P efe ed Stock w/ Exe c sed Wa ants $4,000,000.00 $0.00 $4,596,311.80 Redeemed, n fu

PROVIDENCE BANK ROCKY MOUNT NC 15‐Sep‐11 

88 PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALT MORE MD 14‐Nov‐08 P efe ed Stock w/ Wa ants $151,500,000.00 $0.00 $199,100,113.41 Sold, n fu

PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALT MORE MD 21‐Aug‐12 

PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALT MORE MD 20‐Ma ‐13 

PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION BALT MORE MD 25‐Ma ‐13 

107 PROVIDENT COMMUNITY BANCSHARES, INC. ROCK HILL SC 13‐Ma ‐09 P efe ed Stock w/ Wa ants $9,266,000.00 $0.00 $5,639,391.00 Sold, n fu

PROVIDENT COMMUNITY BANCSHARES, INC. ROCK HILL SC 30‐Ap ‐14 

11,8,14 PSB FINANCIAL CORPORATION MANY LA 27‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $9,270,000.00 $0.00 $10,536,802.00 Redeemed, n fu

PSB FINANCIAL CORPORATION MANY LA 29‐Sep‐10 

44,8,14 PUGET SOUND BANK BELLEVUE WA 16‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $4,500,000.00 $0.00 $5,355,156.75 Redeemed, n fu

PUGET SOUND BANK BELLEVUE WA 11‐Aug‐11 PULASKI FINANCIAL CORP. CREVE COEUR MO 16‐Jan‐09 P efe ed Stock w/ Wa ants $32,538,000.00 $0.00 $35,195,847.13 Sold, n fu

PULASKI FINANCIAL CORP. CREVE COEUR MO 3‐Jul‐12 

PULASKI FINANCIAL CORP. CREVE COEUR MO 8‐Aug‐12 

44 QCR HOLDINGS, INC. MOLINE IL 13‐Feb‐09 P efe ed Stock w/ Wa ants $38,237,000.00 $0.00 $44,286,567.33 Redeemed, n fu

QCR HOLDINGS, INC. MOLINE IL 15‐Sep‐11 

QCR HOLDINGS, INC. MOLINE IL 16‐Nov‐11 

8 RANDOLPH BANK & TRUST COMPANY ASHEBORO NC 30‐Oct‐09 P efe ed Stock w/ Exe c sed Wa ants $6,229,000.00 $0.00 $7,190,593.33 Redeemed, n fu

RANDOLPH BANK & TRUST COMPANY ASHEBORO NC 30‐Sep‐13 

8,17 RCB FINANCIAL CORPORATION ROME GA 19‐Jun‐09 P efe ed Stock w/ Exe c sed Wa ants $8,900,000.00 $0.00 $9,139,863.61 Sold, n fu

RCB FINANCIAL CORPORATION ROME GA 25‐Sep‐13 

RCB FINANCIAL CORPORATION ROME GA 29‐Oct‐13 

44,8,14 REDWOOD CAPITAL BANCORP EUREKA CA 16‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $3,800,000.00 $0.00 $4,510,626.39 Redeemed, n fu

REDWOOD CAPITAL BANCORP EUREKA CA 21‐Jul‐11 

44,8,14 REDWOOD FINANCIAL, INC. REDWOOD FALLS MN 9‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $2,995,000.00 $0.00 $3,570,810.92 Redeemed, n fu

REDWOOD FINANCIAL, INC. REDWOOD FALLS MN 18‐Aug‐11 

8 REGENT BANCORP, INC. DAVIE FL 6‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $9,982,000.00 $9,982,000 00 $784,281.50 Fu l nvestment outsta

44,8,14 REGENT CAPITAL CORPORATION, INC. / REGENT BANK NOWATA OK 27‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $2,655,000.00 $0.00 $3,135,328.00 Redeemed, n fu

REGENT CAPITAL CORPORATION, INC. / REGENT BANK NOWATA OK 21‐Jul‐11 

8,17,62 REGENTS BANCSHARES, INC. VANCOUVER WA 23‐Oct‐09 P efe ed Stock w/ Exe c sed Wa ants $12,700,000.00 $0.00 $14,594,338.99 Redeemed, n fu

REGENTS BANCSHARES, INC. VANCOUVER WA 26‐Jan‐12 

8,14 REGIONAL BANKSHARES, INC. HARTSVILLE SC 13‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $1,500,000.00 $0.00 $1,718,159.50 Sold, n fu

REGIONAL BANKSHARES, INC. HARTSVILLE SC 8‐Nov‐12 

REGIONAL BANKSHARES, INC. HARTSVILLE SC 9‐Nov‐12 

REGIONAL BANKSHARES, INC. HARTSVILLE SC 11‐Jan‐13 REGIONAL BANKSHARES, INC. HARTSVILLE SC 26‐Ma ‐13 

11 REGIONS FINANCIAL CORPORATION BIRMINGHAM AL 14‐Nov‐08 P efe ed Stock w/ Wa ants $3,500,000,000.00 $0.00 $4,138,055,555.55 Redeemed, n fu

REGIONS FINANCIAL CORPORATION BIRMINGHAM AL 4‐Ap ‐12 

REGIONS FINANCIAL CORPORATION BIRMINGHAM AL 2‐May‐12 

8 RELIANCE BANCSHARES, INC. FRONTENAC MO 13‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $40,000,000.00 $0.00 $45,820,950.80 Sold, n fu

RELIANCE BANCSHARES, INC. FRONTENAC MO 25‐Sep‐13 

RELIANCE BANCSHARES, INC. FRONTENAC MO 29‐Oct‐13 

8,14 RIDGESTONE FINANCIAL SERVICES, INC. BROOKFIELD WI 27‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $10,900,000.00 $0.00 $9,630,106.93 Sold, n fu

RIDGESTONE FINANCIAL SERVICES, INC. BROOKFIELD WI 20‐Feb‐13 

RIDGESTONE FINANCIAL SERVICES, INC. BROOKFIELD WI 26‐Ma ‐13 

8 RISING SUN BANCORP RISING SUN MD 9‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $5,983,000.00 $5,983,000 00 $195,637.00 Fu l nvestment outsta

15,11,14 RIVER VALLEY BANCORPORATION, INC. WAUSAU WI 12‐Jun‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $15,000,000.00 $0.00 $19,928,275.00 Redeemed, n fu

RIVER VALLEY BANCORPORATION, INC. WAUSAU WI 6‐Jun‐12 

RIVER VALLEY BANCORPORATION, INC. WAUSAU WI 15‐May‐13 

15 RIVERSIDE BANCSHARES, INC. LITTLE ROCK AR 15‐May‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $1,100,000.00 $0.00 $1,622,708.57 Redeemed, n fu

RIVERSIDE BANCSHARES, INC. LITTLE ROCK AR 14‐May‐14 

8,95,97 ROGERS BANCSHARES, INC. LITTLE ROCK AR 30‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $25,000,000.00 $0.00 $738,021.00 

ROGERS BANCSHARES, INC. LITTLE ROCK AR 5‐Jul‐13 

ROYAL BANCSHARES OF PENNSYLVANIA, INC. NARBERTH PA 20‐Feb‐09 P efe ed Stock w/ Wa ants $30,407,000.00 $30,407,000 00 $358,971.00 Fu l nvestment outsta

11 S&T BANCORP, INC. INDIANA PA 16‐Jan‐09 P efe ed Stock w/ Wa ants $108,676,000.00 $0.00 $124,916,099.34 Redeemed, n fu

S&T BANCORP, INC. INDIANA PA 7‐Dec‐11 S&T BANCORP, INC. INDIANA PA 11‐Jun‐13 

8 SAIGON NATIONAL BANK WESTMINSTER CA 23‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $1,549,000.00 $1,549,000 00 $0 00 Fu l nvestment outsta

44 SAL SBURY BANCORP, INC. LAKEVILLE CT 13‐Ma ‐09 P efe ed Stock w/ Wa ants $8,816,000.00 $0.00 $10,100,960.44 Redeemed, n fu

SAL SBURY BANCORP, INC. LAKEVILLE CT 25‐Aug‐11 

SAL SBURY BANCORP, INC. LAKEVILLE CT 2‐Nov‐11 

11,44 SANDY SPRING BANCORP, INC. OLNEY MD 5‐Dec‐08 P efe ed Stock w/ Wa ants $83,094,000.00 $0.00 $95,137,868.33 Redeemed, n fu 

SANDY SPRING BANCORP, INC. OLNEY MD 21‐Jul‐10 

SANDY SPRING BANCORP, INC. OLNEY MD 15‐Dec‐10 

SANDY SPRING BANCORP, INC. OLNEY MD 23‐Feb‐11 

8,14 SANTA CLARA VALLEY BANK, N.A SANTA PAULA CA 13‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $2,900,000.00 $0.00 $2,697,208.51 Sold, n fu

SANTA CLARA VALLEY BANK, N.A SANTA PAULA CA 8‐Ma ‐13 

SANTA CLARA VALLEY BANK, N.A SANTA PAULA CA 9‐Ap ‐13 SANTA LUCIA BANCORP ATASCADERO CA 19‐Dec‐08 P efe ed Stock w/ Wa ants $4,000,000.00 $0.00 $3,131,111.11 Sold, n fu

SANTA LUCIA BANCORP ATASCADERO CA 21‐Oct‐11 

44,8,14 SBT BANCORP, INC. SIMSBURY CT 27‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $4,000,000.00 $0.00 $4,717,144.78 Redeemed, n fu

SBT BANCORP, INC. SIMSBURY CT 11‐Aug‐11 

11 SCBT FINANCIAL CORPORATION COLUMBIA SC 16‐Jan‐09 P efe ed Stock w/ Wa ants $64,779,000.00 $0.00 $67,294,638.84 Redeemed, n fu

SCBT FINANCIAL CORPORATION COLUMBIA SC 20‐May‐09 SCBT FINANCIAL CORPORATION COLUMBIA SC 24‐Jun‐09 

SEACOAST BANKING CORPORATION OF FLORIDA STUART FL 19‐Dec‐08 P efe ed Stock w/ Wa ants $50,000,000.00 $0.00 $49,045,470.38 Sold, n fu

SEACOAST BANKING CORPORATION OF FLORIDA STUART FL 3‐Ap ‐12 

SEACOAST BANKING CORPORATION OF FLORIDA STUART FL 30‐May‐12 

44,8,14 SEACOAST COMMERCE BANK CHULA VISTA CA 23‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $1,800,000.00 $0.00 $2,153,780.00 Redeemed, n fu 

SEACOAST COMMERCE BANK CHULA VISTA CA 1‐Sep‐11 
Investment 

FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2

8,14 SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 13‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $2,152,000.00 $0.00 $1,983,756.24 Sold, n fu

SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 10‐Dec‐12 

SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 11‐Dec‐12 

SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 11‐Jan‐13 

SECURITY BANCSHARES OF PULASKI COUNTY, INC. WAYNESVILLE MO 26‐Ma ‐13 

44,8,14 SECURITY BUSINESS BANCORP SAN DIEGO CA 9‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $5,803,000.00 $0.00 $6,888,017.86 Redeemed, n fu

SECURITY BUSINESS BANCORP SAN DIEGO CA 14‐Jul‐11 

44,8,14 SECURITY CALIFORNIA BANCORP RIVERSIDE CA 9‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $6,815,000.00 $0.00 $8,152,698.33 Redeemed, n fu

SECURITY CALIFORNIA BANCORP RIVERSIDE CA 15‐Sep‐11 

11,8,14,36 SECURITY CAPITAL CORPORATION BATESVILLE MS 26‐Jun‐09 P efe ed Stock w/ Exe c sed Wa ants $17,388,000.00 $0.00 $19,063,111.00 Redeemed, n fu

SECURITY CAPITAL CORPORATION BATESVILLE MS 29‐Sep‐10 

11,36 SECURITY FEDERAL CORPORATION A KEN SC 19‐Dec‐08 P efe ed Stock w/ Wa ants $18,000,000.00 $0.00 $19,650,000.00 Redeemed, n fu

SECURITY FEDERAL CORPORATION A KEN SC 29‐Sep‐10 

SECURITY FEDERAL CORPORATION A KEN SC 31‐Jul‐13 

44,8,14 SECURITY STATE BANCSHARES, INC. CHARLESTON MO 20‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $12,500,000.00 $0.00 $14,888,679.86 Redeemed, n fu

SECURITY STATE BANCSHARES, INC. CHARLESTON MO 22‐Sep‐11 

15,14 SECURITY STATE BANK HOLDING COMPANY JAMESTOWN ND 1‐May‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $10,750,000.00 $0.00 $14,543,635.13 Sold, n fu

SECURITY STATE BANK HOLDING COMPANY JAMESTOWN ND 24‐Jun‐13 SECURITY STATE BANK HOLDING COMPANY JAMESTOWN ND 26‐Jul‐13 

SEVERN BANCORP, INC. ANNAPOL S MD 21‐Nov‐08 P efe ed Stock w/ Wa ants $23,393,000.00 $0.00 $26,915,463.85 Sold, 

SEVERN BANCORP, INC. ANNAPOL S MD 25‐Sep‐13 

SEVERN BANCORP, INC. ANNAPOL S MD 29‐Oct‐13 

11 SHORE BANCSHARES, INC. EASTON MD 9‐Jan‐09 P efe ed Stock w/ Wa ants $25,000,000.00 $0.00 $25,358,333.33 Redeemed, n fu

SHORE BANCSHARES, INC. EASTON MD 15‐Ap ‐09 SHORE BANCSHARES, INC. EASTON MD 16‐Nov‐11 

15,11,14 SIGNATURE BANCSHARES, INC. DALLAS TX 26‐Jun‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $1,700,000.00 $0.00 $1,994,587.59 Redeemed, n fu

SIGNATURE BANCSHARES, INC. DALLAS TX 15‐Dec‐10 

11 SIGNATURE BANK NEW YORK NY 12‐Dec‐08 P efe ed Stock w/ Wa ants $120,000,000.00 $0.00 $132,967,606.41 Redeemed, n fu

SIGNATURE BANK NEW YORK NY 31‐Ma ‐09 

SIGNATURE BANK NEW YORK NY 16‐Ma ‐10 

11 SOMERSET HILLS BANCORP BERNARDSVILLE NJ 16‐Jan‐09 P efe ed Stock w/ Wa ants $7,414,000.00 $0.00 $7,816,685.55 Redeemed, n fu

SOMERSET HILLS BANCORP BERNARDSVILLE NJ 20‐May‐09 

SOMERSET HILLS BANCORP BERNARDSVILLE NJ 24‐Jun‐09 

8,32,97 SONOMA VALLEY BANCORP SONOMA CA 20‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $8,653,000.00 $0.00 $347,164.00 

SONOMA VALLEY BANCORP SONOMA CA 20‐Aug‐10 

8,14 SOUND BANKING COMPANY MOREHEAD CITY NC 9‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $3,070,000.00 $0.00 $3,575,224.44 Sold, n fu

SOUND BANKING COMPANY MOREHEAD CITY NC 13‐Nov‐12 

SOUND BANKING COMPANY MOREHEAD CITY NC 11‐Jan‐13 

SOUTH FINANCIAL GROUP, INC./ CAROLINA FIRST BANK GREENVILLE SC 5‐Dec‐08 P efe ed Stock w/ Wa ants $347,000,000.00 $0.00 $146,965,329.86 Sold, n fu

SOUTH FINANCIAL GROUP, INC./ CAROLINA FIRST BANK GREENVILLE SC 30‐Sep‐10 

8,14 SOUTHCREST FINANCIAL GROUP, INC. FAYETTEV LLE GA 17‐Jul‐09 P efe ed Stock w/ Exe c sed Wa ants $12,900,000.00 $0.00 $13,109,014.25 Sold, n fu

SOUTHCREST FINANCIAL GROUP, INC. FAYETTEV LLE GA 8‐Ma ‐13 

SOUTHCREST FINANCIAL GROUP, INC. FAYETTEV LLE GA 11‐Ma ‐13 

SOUTHCREST FINANCIAL GROUP, INC. FAYETTEV LLE GA 9‐Ap ‐13 

11,9,36 SOUTHERN BANCORP, INC. ARKADELPHIA AR 16‐Jan‐09 P efe ed Stock $11,000,000.00 $0.00 $11,855,555.56 Redeemed, n fu

SOUTHERN BANCORP, INC. ARKADELPHIA AR 6‐Aug‐10 SOUTHERN COMMUNITY FINANCIAL CORP. WINSTON‐SALEM NC 5‐Dec‐08 P efe ed Stock w/ Wa ants $42,750,000.00 $0.00 $51,088,046.14 Redeemed, n fu

SOUTHERN COMMUNITY FINANCIAL CORP. WINSTON‐SALEM NC 1‐Oct‐12 

SOUTHERN FIRST BANCSHARES, INC. GREENVILLE SC 27‐Feb‐09 P efe ed Stock w/ Wa ants $17,299,000.00 $0.00 $19,401,361.89 Sold, n fu

SOUTHERN FIRST BANCSHARES, INC. GREENVILLE SC 3‐Jul‐12 

SOUTHERN FIRST BANCSHARES, INC. GREENVILLE SC 25‐Jul‐12 

8,45,14 SOUTHERN HERITAGE BANCSHARES, INC. CLEVELAND TN 15‐May‐09 P efe ed Stock w/ Exe c sed Wa ants $4,862,000.00 $0.00 $5,718,111.14 Redeemed, n fu

SOUTHERN HERITAGE BANCSHARES, INC. CLEVELAND TN 8‐Sep‐11 

44,8,14 SOUTHERN ILLINOIS BANCORP, INC. CARMI IL 23‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $5,000,000.00 $0.00 $5,955,472.22 Redeemed, n fu

SOUTHERN ILLINOIS BANCORP, INC. CARMI IL 25‐Aug‐11 

44 SOUTHERN MISSOURI BANCORP, INC. POPLAR BLUFF MO 5‐Dec‐08 P efe ed Stock w/ Wa ants $9,550,000.00 $0.00 $10,804,763.89 Redeemed, 

SOUTHERN MISSOURI BANCORP, INC. POPLAR BLUFF MO 21‐Jul‐11 

8 SOUTHFIRST BANCSHARES, INC. SYLACAUGA AL 12‐Jun‐09 P efe ed Stock w/ Exe c sed Wa ants $2,760,000.00 $2,760,000 00 $364,796.34 Fu l nvestment outsta

11 SOUTHWEST BANCORP, INC. STILLWATER OK 5‐Dec‐08 P efe ed Stock w/ Wa ants $70,000,000.00 $0.00 $85,247,569.91 Redeemed, n fu

SOUTHWEST BANCORP, INC. STILLWATER OK 8‐Aug‐12 SOUTHWEST BANCORP, INC. STILLWATER OK 29‐May‐13 

44,8,14 SOVEREIGN BANCSHARES, INC. DALLAS TX 13‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $18,215,000.00 $0.00 $21,632,668.61 Redeemed, n fu

SOVEREIGN BANCSHARES, INC. DALLAS TX 22‐Sep‐11 

8 SPIRIT BANKCORP, INC. BRISTOW OK 27‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $30,000,000.00 $0.00 $11,803,691.75 Sold, n fu

SPIRIT BANKCORP, INC. BRISTOW OK 21‐Oct‐13 

SPIRIT BANKCORP, INC. BRISTOW OK 6‐Jan‐14 

8 ST. JOHNS BANCSHARES, INC. ST. LOUIS MO 13‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $3,000,000.00 $3,000,000 00 $845,658.00 Fu l nvestment outsta

74,8,14 STANDARD BANCSHARES, INC. HICKORY HILLS IL 24‐Ap ‐09 P efe ed Stock w/ Exe c sed Wa ants $60,000,000.00 $0.00 $75,757,163.03 Redeemed, n fu

STANDARD BANCSHARES, INC. HICKORY HILLS IL 22‐Feb‐13 

11,61 STATE BANCORP, INC. / VALLEY NATIONAL BANCORP JERICHO NY 5‐Dec‐08 P efe ed Stock w/ Wa ants $36,842,000.00 $0.00 $42,414,352.50 Redeemed, 

STATE BANCORP, INC. / VALLEY NATIONAL BANCORP JERICHO NY 14‐Dec‐11 

15,17,44 STATE BANK OF BARTLEY, THE BARTLEY NE 4‐Sep‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $1,697,000.00 $0.00 $2,030,299.18 Redeemed, n fu

STATE BANK OF BARTLEY, THE BARTLEY NE 22‐Sep‐11 

8,11 STATE BANKSHARES, INC. FARGO ND 16‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $50,000,000.00 $0.00 $58,008,472.23 Redeemed, n fu

STATE BANKSHARES, INC. FARGO ND 12‐Aug‐09 STATE BANKSHARES, INC. FARGO ND 29‐Jun‐11 

8,36,11 STATE CAPITAL CORP. GREENWOOD MS 13‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $15,000,000.00 $0.00 $17,080,708.67 Redeemed, n fu

STATE CAPITAL CORP. GREENWOOD MS 29‐Sep‐10 

12,16 STATE STREET CORPORATION BOSTON MA 28‐Oct‐08 P efe ed Stock w/ Wa ants $2,000,000,000.00 $0.00 $2,123,611,111.12 Redeemed, n fu

STATE STREET CORPORATION BOSTON MA 17‐Jun‐09 

STATE STREET CORPORATION BOSTON MA 8‐Jul‐09 

15,11,14 STEARNS FINANCIAL SERVICES, INC. ST. CLOUD MN 26‐Jun‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $24,900,000.00 $0.00 $31,495,442.29 Redeemed, n fu

STEARNS FINANCIAL SERVICES, INC. ST. CLOUD MN 18‐Jan‐12 

15,17,45 STEELE STREET BANK CORPORATION DENVER CO 25‐Sep‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $11,019,000.00 $0.00 $13,078,672.60 Redeemed, n fu 

STEELE STREET BANK CORPORATION DENVER CO 1‐Sep‐11 

11 STELLARONE CORPORATION CHARLOTTESVILLE VA 19‐Dec‐08 P efe ed Stock w/ Wa ants $30,000,000.00 $0.00 $37,191,875.00 Redeemed, n fu

STELLARONE CORPORATION CHARLOTTESVILLE VA 13‐Ap ‐11 

STELLARONE CORPORATION CHARLOTTESVILLE VA 28‐Dec‐11 STELLARONE CORPORATION CHARLOTTESVILLE VA 18‐Dec‐13 

11 STERLING BANCORP NEW YORK NY 23‐Dec‐08 P efe ed Stock w/ Wa ants $42,000,000.00 $0.00 $47,869,108.33 Redeemed, n fu

STERLING BANCORP NEW YORK NY 27‐Ap ‐11 STERLING BANCORP NEW YORK NY 18‐May‐11 

11 STERLING BANCSHARES, INC. HOUSTON TX 12‐Dec‐08 P efe ed Stock w/ Wa ants $125,198,000.00 $0.00 $130,542,485.91 Redeemed, n fu

STERLING BANCSHARES, INC. HOUSTON TX 5‐May‐09 STERLING BANCSHARES, INC. HOUSTON TX 15‐Jun‐10 

31 STERLING FINANCIAL CORPORATION SPOKANE WA 5‐Dec‐08 P efe ed Stock w/ Wa ants $303,000,000.00 $0.00 $121,757,209.63 Sold, n fu

STERLING FINANCIAL CORPORATION SPOKANE WA 20‐Aug‐12 

STERLING FINANCIAL CORPORATION SPOKANE WA 19‐Sep‐12 

44 STEWARDSHIP FINANCIAL CORPORAT ON MIDLAND PARK NJ 30‐Jan‐09 P efe ed Stock w/ Wa ants $10,000,000.00 $0.00 $11,400,453.22 Redeemed, n fu
Investment 

FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2

STEWARDSHIP FINANCIAL CORPORAT ON MIDLAND PARK NJ 1‐Sep‐11 

STEWARDSHIP FINANCIAL CORPORAT ON M DLAND PARK NJ 26‐Oct‐11 

11,8,14 STOCKMENS FINANCIAL CORPORATION RAPID CITY SD 6‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $15,568,000.00 $0.00 $18,101,553.84 Redeemed, n fu 

STOCKMENS FINANCIAL CORPORATION RAPID CITY SD 12‐Jan‐11 STOCKMENS FINANCIAL CORPORATION RAPID CITY SD 16‐Ma ‐11 

8,14 STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 23‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $10,973,000.00 $0.00 $2,652,816.96 Sold, n fu

STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 26‐Ma ‐13 

STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 27‐Ma ‐13 

STONEBRIDGE FINANCIAL CORP. WEST CHESTER PA 9‐Ap ‐13 

15 SUBURBAN ILLINO S BANCORP, INC. ELMHURST IL 19‐Jun‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $15,000,000.00 $15,000,000 00 $2,083,520.25 Fu l nvestment outsta

44 SUMMIT STATE BANK SANTA ROSA CA 19‐Dec‐08 P efe ed Stock w/ Wa ants $8,500,000.00 $0.00 $9,930,625.00 Redeemed, n fu

SUMMIT STATE BANK SANTA ROSA CA 4‐Aug‐11 

SUMMIT STATE BANK SANTA ROSA CA 14‐Sep‐11 

11 SUN BANCORP, INC. VINELAND NJ 9‐Jan‐09 P efe ed Stock w/ Wa ants $89,310,000.00 $0.00 $92,513,970.83 Redeemed, n fu

SUN BANCORP, INC. VINELAND NJ 8‐Ap ‐09 SUN BANCORP, INC. VINELAND NJ 27‐May‐09 

11 SUNTRUST BANKS, INC. ATLANTA GA 14‐Nov‐08 P efe ed Stock w/ Wa ants $3,500,000,000.00 $0.00 $5,448,052,772.51 Redeemed, n fu

SUNTRUST BANKS, INC. ATLANTA GA 31‐Dec‐08 $1,350,000,000.00

SUNTRUST BANKS, INC. ATLANTA GA 30‐Ma ‐11 

SUNTRUST BANKS, INC. ATLANTA GA 28‐Sep‐11 

24,49,97 SUPERIOR BANCORP INC. BIRMINGHAM AL 5‐Dec‐08 P efe ed Stock w/ Wa ants $69,000,000.00 $0.00 $4,983,333.33 

SUPERIOR BANCORP INC. BIRMINGHAM AL 15‐Ap ‐11 

11,8,14 SURREY BANCORP MOUNT AIRY NC 9‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $2,000,000.00 $0.00 $2,314,972.22 Redeemed, n fu 

SURREY BANCORP MOUNT AIRY NC 29‐Dec‐10 

11 SUSQUEHANNA BANCSHARES, INC. LITITZ PA 12‐Dec‐08 P efe ed Stock w/ Wa ants $300,000,000.00 $0.00 $328,991,401.58 Redeemed, n fu

SUSQUEHANNA BANCSHARES, INC. LITITZ PA 21‐Ap ‐10 SUSQUEHANNA BANCSHARES, INC. LITITZ PA 22‐Dec‐10 SUSQUEHANNA BANCSHARES, INC. LITITZ PA 19‐Jan‐11 

11,8,14 SV FINANCIAL, INC. STERLING IL 10‐Ap ‐09 P efe ed Stock w/ Exe c sed Wa ants $4,000,000.00 $0.00 $4,721,382.89 Redeemed, n fu

SV FINANCIAL, INC. STERLING IL 31‐Aug‐11 

12,16 SVB FINANCIAL GROUP SANTA CLARA CA 12‐Dec‐08 P efe ed Stock w/ Wa ants $235,000,000.00 $0.00 $253,929,027.78 Redeemed, n fu

SVB FINANCIAL GROUP SANTA CLARA CA 23‐Dec‐09 

SVB FINANCIAL GROUP SANTA CLARA CA 16‐Jun‐10 

15,44,14 SWORD FINANCIAL CORPORATION HORICON WI 8‐May‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $13,644,000.00 $0.00 $17,019,233.91 Redeemed, n fu

SWORD FINANCIAL CORPORATION HORICON WI 15‐Sep‐11 

11 SYNOVUS FINANCIAL CORP. COLUMBUS GA 19‐Dec‐08 P efe ed Stock w/ Wa ants $967,870,000.00 $0.00 $1,190,614,526.39 Redeemed, 

SYNOVUS FINANCIAL CORP. COLUMBUS GA 26‐Jul‐13 

8,103 SYRINGA BANCORP BOISE ID 16‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $8,000,000.00 $0.00 $253,122.22 

SYRINGA BANCORP BOISE ID 31‐Jan‐14 

TAYLOR CAPITAL GROUP ROSEMONT IL 21‐Nov‐08 P efe ed Stock w/ Wa ants $104,823,000.00 $0.00 $120,845,170.80 Sold, n fu

TAYLOR CAPITAL GROUP ROSEMONT IL 19‐Jun‐12 

TAYLOR CAPITAL GROUP ROSEMONT IL 18‐Jul‐12 

15,17,45 TCB CORPORAT ON/COUNTY BANK GREENWOOD SC 28‐Aug‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $9,720,000.00 $0.00 $11,611,381.34 Redeemed, n fu 

TCB CORPORAT ON/COUNTY BANK GREENWOOD SC 8‐Sep‐11 

8,97,100 TCB HOLDING COMPANY THE WOODLANDS TX 16‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $11,730,000.00 $0.00 $690,832.08 

TCB HOLDING COMPANY THE WOODLANDS TX 13‐Dec‐13 

11 TCF FINANCIAL CORPORATION WAYZATA MN 14‐Nov‐08 P efe ed Stock w/ Wa ants $361,172,000.00 $0.00 $378,547,699.45 Redeemed, n fu

TCF FINANCIAL CORPORATION WAYZATA MN 22‐Ap ‐09 TCF FINANCIAL CORPORATION WAYZATA MN 21‐Dec‐09 

11,8,14 TCNB FINANCIAL CORP DAYTON OH 23‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $2,000,000.00 $0.00 $2,384,611.11 Redeemed, n fu

TCNB FINANCIAL CORP DAYTON OH 3‐Aug‐11 

63,97 TENNESSEE COMMERCE BANCORP, INC. FRANKLIN TN 19‐Dec‐08 P efe ed Stock w/ Wa ants $30,000,000.00 $0.00 $3,233,333.33 

TENNESSEE COMMERCE BANCORP, INC. FRANKLIN TN 27‐Jan‐12 

8,14 TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 23‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $3,000,000.00 $0.00 $3,331,713.17 Sold, n fu

TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 26‐Ap ‐13 TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 29‐Ap ‐13 

TENNESSEE VALLEY FINANCIAL HOLDINGS, INC. OAK RIDGE TN 31‐May‐13 

11 TEXAS CAPITAL BANCSHARES, INC. DALLAS TX 16‐Jan‐09 P efe ed Stock w/ Wa ants $75,000,000.00 $0.00 $82,777,816.21 Redeemed, n fu

TEXAS CAPITAL BANCSHARES, INC. DALLAS TX 13‐May‐09 

TEXAS CAPITAL BANCSHARES, INC. DALLAS TX 17‐Ma ‐10 

11,8,14 TEXAS NATIONAL BANCORPORATION INC. JACKSONVILLE TX 9‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $3,981,000.00 $0.00 $4,475,307.67 Redeemed, n fu

TEXAS NATIONAL BANCORPORATION INC. JACKSONVILLE TX 19‐May‐10 

44,8,14 THE ANB CORPORAT ON TERRELL TX 7‐Aug‐09 P efe ed Stock w/ Exe c sed Wa ants $20,000,000.00 $0.00 $23,234,499.98 Redeemed, n fu

THE ANB CORPORAT ON TERRELL TX 25‐Aug‐11 

12,16 THE BANCORP, INC. W LMINGTON DE 12‐Dec‐08 P efe ed Stock w/ Wa ants $45,220,000.00 $0.00 $52,787,673.44 Redeemed, n fu

THE BANCORP, INC. WILMINGTON DE 10‐Ma ‐10 

THE BANCORP, INC. WILMINGTON DE 8‐Sep‐10 

8 THE BANK OF CURRITUCK MOYOCK NC 6‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $4,021,000.00 $0.00 $1,912,684.00 Sold, n fu

THE BANK OF CURRITUCK MOYOCK NC 3‐Dec‐10 

11 THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 13‐Feb‐09 P efe ed Stock w/ Wa ants $34,000,000.00 $0.00 $40,091,342.55 Redeemed, n fu

THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 22‐Dec‐10 

THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 23‐Nov‐11 

THE BANK OF KENTUCKY FINANCIAL CORPORATION CRESTVIEW HILLS KY 29‐May‐13 

8,14 THE BARABOO BANCORPORATION, INC. BARABOO WI 16‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $20,749,000.00 $0.00 $18,023,831.85 Sold, n fu

THE BARABOO BANCORPORATION, INC. BARABOO WI 10‐Dec‐12 

THE BARABOO BANCORPORATION, INC. BARABOO WI 11‐Dec‐12 

THE BARABOO BANCORPORATION, INC. BARABOO WI 11‐Jan‐13 

THE CONNECTICUT BANK AND TRUST COMPANY HARTFORD CT 19‐Dec‐08 P efe ed Stock w/ Wa ants $5,448,000.00 $0.00 $6,902,866.33 Redeemed, n fu

THE CONNECTICUT BANK AND TRUST COMPANY HARTFORD CT 19‐Ap ‐12 

44 THE ELMIRA SAVINGS BANK, FSB ELMIRA NY 19‐Dec‐08 P efe ed Stock w/ Wa ants $9,090,000.00 $0.00 $10,309,575.00 Redeemed, 

THE ELMIRA SAVINGS BANK, FSB ELMIRA NY 25‐Aug‐11 

11 THE FIRST BANCORP, INC. DAMAR SCOTTA ME 9‐Jan‐09 P efe ed Stock w/ Wa ants $25,000,000.00 $0.00 $29,332,986.11 Redeemed, 

THE FIRST BANCORP, INC. DAMAR SCOTTA ME 24‐Aug‐11 

THE FIRST BANCORP, INC. DAMAR SCOTTA ME 27‐Ma ‐13 

THE FIRST BANCORP, INC. DAMAR SCOTTA ME 8‐May‐13 

11,36 THE FIRST BANCSHARES, INC. HATTIESBURG MS 6‐Feb‐09 P efe ed Stock w/ Wa ants $5,000,000.00 $0.00 $5,411,805.56 Redeemed, 

THE FIRST BANCSHARES, INC. HATTIESBURG MS 29‐Sep‐10 

11,8,14 THE FIRST STATE BANK OF MOBEET E MOBEETIE TX 27‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $731,000.00 $0.00 $813,086.56 Redeemed, n fu

THE FIRST STATE BANK OF MOBEET E MOBEETIE TX 14‐Ap ‐10 

11,8,14 THE FREEPORT STATE BANK HARPER KS 6‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $301,000.00 $0.00 $379,458.89 Redeemed, n fu

THE FREEPORT STATE BANK HARPER KS 19‐Dec‐12 

11 THE HARTFORD FINANCIAL SERVICES GROUP, INC. HARTFORD CT 26‐Jun‐09 P efe ed Stock w/ Wa ants $3,400,000,000.00 $0.00 $4,236,125,671.00 Redeemed, n fu

THE HARTFORD FINANCIAL SERVICES GROUP, INC. HARTFORD CT 31‐Ma ‐10 

THE HARTFORD FINANCIAL SERVICES GROUP, INC. HARTFORD CT 27‐Sep‐10 

8,44,14 THE LANDRUM COMPANY COLUMBIA MO 22‐May‐09 P efe ed Stock w/ Exe c sed Wa ants $15,000,000.00 $0.00 $17,580,291.55 Redeemed, n fu

THE LANDRUM COMPANY COLUMBIA MO 18‐Aug‐11 

8,14 THE LITTLE BANK, INCORPORATED KINSTON NC 23‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $7,500,000.00 $0.00 $9,232,652.17 Sold, n fu

THE LITTLE BANK, INCORPORATED KINSTON NC 31‐Oct‐12 

THE LITTLE BANK, INCORPORATED KINSTON NC 11‐Jan‐13 
Investment 

FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2

11 THE PNC FINANCIAL SERVICES GROUP, INC. PITTSBURGH PA 31‐Dec‐08 P efe ed Stock w/ Wa ants $7,579,200,000.00 $0.00 $8,320,638,950.83 Redeemed, n fu

THE PNC FINANCIAL SERVICES GROUP, INC. PITTSBURGH PA 10‐Feb‐10 THE PNC FINANCIAL SERVICES GROUP, INC. PITTSBURGH PA 5‐May‐10 

44,8,14 THE PRIVATE BANK OF CALIFORNIA LOS ANGELES CA 20‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $5,450,000.00 $0.00 $6,474,752.14 Redeemed, n fu

THE PRIVATE BANK OF CALIFORNIA LOS ANGELES CA 1‐Sep‐11 

8,14 THE QUEENSBOROUGH COMPANY LOU SVILLE GA 9‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $12,000,000.00 $0.00 $13,065,246.00 Sold, n fu

THE QUEENSBOROUGH COMPANY LOU SVILLE GA 8‐Ma ‐13 

THE QUEENSBOROUGH COMPANY LOU SVILLE GA 11‐Ma ‐13 

THE QUEENSBOROUGH COMPANY LOU SVILLE GA 9‐Ap ‐13 

8,18,21,44 THE VICTORY BANCORP, INC. LIMERICK PA 27‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $541,000.00 $0.00 $2,322,183.20 Redeemed, n fu

THE VICTORY BANCORP, INC. LIMERICK PA 11‐Dec‐09 $1,505,000.00

THE VICTORY BANCORP, INC. LIMERICK PA 22‐Sep‐11 

8,21 THREE SHORES BANCORPORATION, INC. ORLANDO FL 23‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $5,677,000.00 $0.00 $6,449,130.64 Sold, n fu

THREE SHORES BANCORPORATION, INC. ORLANDO FL 8‐Nov‐12 

THREE SHORES BANCORPORATION, INC. ORLANDO FL 9‐Nov‐12 

THREE SHORES BANCORPORATION, INC. ORLANDO FL 11‐Jan‐13 

TIB FINANCIAL CORP NAPLES FL 5‐Dec‐08 P efe ed Stock w/ Wa ants $37,000,000.00 $0.00 $13,444,359.59 Sold, n fu

TIB FINANCIAL CORP NAPLES FL 30‐Sep‐10 

TIDELANDS BANCSHARES, INC. MT. PLEASANT SC 19‐Dec‐08 P efe ed Stock w/ Wa ants $14,448,000.00 $14,448,000 00 $1,195,973.33 Fu l nvestment outsta

8,47,97 TIFTON BANKING COMPANY TIFTON GA 17‐Ap ‐09 P efe ed Stock w/ Exe c sed Wa ants $3,800,000.00 $0.00 $223,208.00 

TIFTON BANKING COMPANY TIFTON GA 12‐Nov‐10 TIMBERLAND BANCORP, INC. HOQUIAM WA 23‐Dec‐08 P efe ed Stock w/ Wa ants $16,641,000.00 $0.00 $18,857,818.52 Sold, n fu

TIMBERLAND BANCORP, INC. HOQUIAM WA 8‐Nov‐12 

TIMBERLAND BANCORP, INC. HOQUIAM WA 9‐Nov‐12 

TIMBERLAND BANCORP, INC. HOQUIAM WA 13‐Nov‐12 

TIMBERLAND BANCORP, INC. HOQUIAM WA 11‐Jan‐13 

TIMBERLAND BANCORP, INC. HOQUIAM WA 11‐Jun‐13 

11,8,14 TITONKA BANCSHARES, INC. TITONKA IA 3‐Ap ‐09 P efe ed Stock w/ Exe c sed Wa ants $2,117,000.00 $0.00 $2,569,490.36 Redeemed, n fu

TITONKA BANCSHARES, INC. TITONKA IA 4‐Ap ‐12 

8 TODD BANCSHARES, INC. HOPKINSVILLE KY 6‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $4,000,000.00 $0.00 $5,210,672.22 Redeemed, n fu

TODD BANCSHARES, INC. HOPKINSVILLE KY 25‐Sep‐13 

45 TOWNEBANK PORTSMOUTH VA 12‐Dec‐08 P efe ed Stock w/ Wa ants $76,458,000.00 $0.00 $88,577,166.67 Redeemed, n fu

TOWNEBANK PORTSMOUTH VA 22‐Sep‐11 

TOWNEBANK PORTSMOUTH VA 15‐May‐13 

8 TREATY OAK BANCORP, INC. AUSTIN TX 16‐Jan‐09 P efe ed Stock w/ Wa ants $3,268,000.00 $0.00 $842,415.03 Sold, 

TREATY OAK BANCORP, INC. AUSTIN TX 15‐Feb‐11 

TREATY OAK BANCORP, INC. AUSTIN TX 21‐Dec‐12 

44,8,14 TRIAD BANCORP, INC. FRONTENAC MO 27‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $3,700,000.00 $0.00 $4,386,324.64 Redeemed, n fu

TRIAD BANCORP, INC. FRONTENAC MO 22‐Sep‐11 

44,8,14 TRI‐COUNTY FINANCIAL CORPORAT ON WALDORF MD 19‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $15,540,000.00 $0.00 $18,653,115.75 Redeemed, n fu

TRI‐COUNTY FINANCIAL CORPORAT ON WALDORF MD 22‐Sep‐11 

8,14 TRINITY CAPITAL CORPORAT ON LOS ALAMOS NM 27‐Ma ‐09 P efe ed Stock w/ Exe c sed Wa ants $35,539,000.00 $0.00 $34,644,476.74 Sold, n fu

TRINITY CAPITAL CORPORAT ON LOS ALAMOS NM 7‐Aug‐12 

TRINITY CAPITAL CORPORAT ON LOS ALAMOS NM 9‐Aug‐12 

TRINITY CAPITAL CORPORAT ON LOS ALAMOS NM 10‐Aug‐12 

TRINITY CAPITAL CORPORAT ON LOS ALAMOS NM 11‐Sep‐12 

11,8,9 TRI‐STATE BANK OF MEMPH S MEMPHIS TN 3‐Ap ‐09 P efe ed Stock $2,795,000.00 $0.00 $2,985,215.11 Redeemed, n fu

TRI‐STATE BANK OF MEMPH S MEMPHIS TN 13‐Aug‐10 

11,8 TRISTATE CAPITAL HOLDINGS, INC. PITTSBURGH PA 27‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $23,000,000.00 $0.00 $28,642,402.33 Redeemed, n fu

TRISTATE CAPITAL HOLDINGS, INC. PITTSBURGH PA 26‐Sep‐12 

8,14,18 TRISUMMIT BANK KINGSPORT TN 3‐Ap ‐09 P efe ed Stock w/ Wa ants $2,765,000.00 $0.00 $6,496,417.16 Sold, n fu

TRISUMMIT BANK KINGSPORT TN 22‐Dec‐09 $4,237,000.00

TRISUMMIT BANK KINGSPORT TN 29‐Nov‐12 

TRISUMMIT BANK KINGSPORT TN 11‐Jan‐13 

11 TRUSTMARK CORPORATION JACKSON MS 21‐Nov‐08 P efe ed Stock w/ Wa ants $215,000,000.00 $0.00 $236,287,500.00 Redeemed, n fu

TRUSTMARK CORPORATION JACKSON MS 9‐Dec‐09 

TRUSTMARK CORPORATION JACKSON MS 30‐Dec‐09 

44,8,14 TWO RIVERS FINANCIAL GROUP, INC. BURLINGTON IA 29‐May‐09 P efe ed Stock w/ Exe c sed Wa ants $12,000,000.00 $0.00 $14,075,133.27 Redeemed, n fu

TWO RIVERS FINANCIAL GROUP, INC. BURLINGTON IA 1‐Sep‐11 

11 U.S. BANCORP MINNEAPOLIS MN 14‐Nov‐08 P efe ed Stock w/ Wa ants $6,599,000,000.00 $0.00 $6,933,220,416.67 Redeemed, n fu

U.S. BANCORP MINNEAPOLIS MN 17‐Jun‐09 

U.S. BANCORP MINNEAPOLIS MN 15‐Jul‐09 

8 U.S. CENTURY BANK MIAMI FL 7‐Aug‐09 P efe ed Stock w/ Exe c sed Wa ants $50,236,000.00 $50,236,000 00 $745,311.72 Full nvestment outstand ng wa a44,8,14 UBT BANCSHARES, INC. MARYSVILLE KS 30‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $8,950,000.00 $0.00 $10,634,911.78 Redeemed, n fu

UBT BANCSHARES, INC. MARYSVILLE KS 11‐Aug‐11 

22,97 UCBH HOLDINGS INC. SAN FRANCISCO CA 14‐Nov‐08 P efe ed Stock w/ Wa ants $298,737,000.00 $0.00 $7,509,920.07 

UCBH HOLDINGS INC. SAN FRANCISCO CA 6‐Nov‐09 

12,16 UMPQUA HOLDINGS CORP. PORTLAND OR 14‐Nov‐08 P efe ed Stock w/ Wa ants $214,181,000.00 $0.00 $232,156,554.58 Redeemed, n fu

UMPQUA HOLDINGS CORP. PORTLAND OR 17‐Feb‐10 

UMPQUA HOLDINGS CORP. PORTLAND OR 31‐Ma ‐10 

8,14,18,44,45 UNION BANK & TRUST COMPANY OXFORD NC 1‐May‐09 P efe ed Stock w/ Wa ants $3,194,000.00 $0.00 $7,031,291.65 Redeemed, n fu

UNION BANK & TRUST COMPANY OXFORD NC 18‐Dec‐09 $2,997,000.00

UNION BANK & TRUST COMPANY OXFORD NC 22‐Sep‐11 

8,17,11 UNION FINANCIAL CORPORATION ALBUQUERQUE NM 29‐Dec‐09 P efe ed Stock w/ Exe c sed Wa ants $2,179,000.00 $0.00 $2,639,873.33 Redeemed, n fu

UNION FINANCIAL CORPORATION ALBUQUERQUE NM 25‐Jul‐12 

UNION FINANCIAL CORPORATION ALBUQUERQUE NM 2‐Oct‐13 

12,16,25 UNION FIRST MARKET BANKSHARES CORPORATION BOWLING GREEN VA 19‐Dec‐08 P efe ed Stock w/ Wa ants $59,000,000.00 $0.00 $62,145,972.22 Redeemed, n fu

UNION FIRST MARKET BANKSHARES CORPORATION BOWLING GREEN VA 18‐Nov‐09 

UNION FIRST MARKET BANKSHARES CORPORATION BOWLING GREEN VA 23‐Dec‐09 

8 UNITED AMERICAN BANK SAN MATEO CA 20‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $8,700,000.00 $8,700,000 00 $0 00 Fu l nvestment outsta

UNITED BANCORP, INC. TECUMSEH MI 16‐Jan‐09 P efe ed Stock w/ Wa ants $20,600,000.00 $0.00 $20,315,924.72 Sold, n fu

UNITED BANCORP, INC. TECUMSEH MI 19‐Jun‐12 

UNITED BANCORP, INC. TECUMSEH MI 18‐Jul‐12 

11,36 UNITED BANCORPORATION OF ALABAMA, INC. ATMORE AL 23‐Dec‐08 P efe ed Stock w/ Wa ants $10,300,000.00 $0.00 $11,172,638.89 Redeemed, 

UNITED BANCORPORATION OF ALABAMA, INC. ATMORE AL 3‐Sep‐10 

15,11,14 UNITED BANK CORPORATION BARNESVILLE GA 22‐May‐09 Subo d nated Debentu es w/ Exe c sed Wa ants $14,400,000.00 $0.00 $18,882,079.62 Redeemed, n fu 

UNITED BANK CORPORATION BARNESVILLE GA 3‐Jul‐12 

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 5‐Dec‐08 P efe ed Stock w/ Wa ants $180,000,000.00 $0.00 $210,367,527.00 Sold, n fu

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 26‐Ma ‐13 

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 27‐Ma ‐13 

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 28‐Ma ‐13 

UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 9‐Ap ‐13 UNITED COMMUNITY BANKS, INC. BLAIRSVILLE GA 10‐Jun‐13 

44,11,8 UNITED FINANCIAL BANKING COMPANIES, INC. VIENNA VA 16‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $5,658,000.00 $0.00 $6,649,963.92 Redeemed, n fu

UNITED FINANCIAL BANKING COMPANIES, INC. VIENNA VA 15‐Dec‐10 UNITED FINANCIAL BANKING COMPANIES, INC. VIENNA VA 15‐Sep‐11 

11 UNITY BANCORP, INC. CLINTON NJ 5‐Dec‐08 P efe ed Stock w/ Wa ants $20,649,000.00 $0.00 $28,013,814.50 Redeemed, n fu

UNITY BANCORP, INC. CLINTON NJ 15‐May‐13 

UNITY BANCORP, INC. CLINTON NJ 3‐Jul‐13 
Investment 

FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2

UNITY BANCORP, INC. CLINTON NJ 28‐Aug‐13 

8 UNIVERSAL BANCORP BLOOMFIELD IN 22‐May‐09 P efe ed Stock w/ Exe c sed Wa ants $9,900,000.00 $0.00 $12,066,668.65 Sold, n fu

UNIVERSAL BANCORP BLOOMFIELD IN 8‐Aug‐13 

UNIVERSAL BANCORP BLOOMFIELD IN 12‐Aug‐13 

UNIVERSAL BANCORP BLOOMFIELD IN 12‐Sep‐13 

11,9,15 UNIVERSITY FINANCIAL CORP. ST. PAUL MN 19‐Jun‐09 Subo d nated Debentu es $11,926,000.00 $0.00 $12,948,886.40 Redeemed, n fu

UNIVERSITY FINANCIAL CORP. ST. PAUL MN 30‐Jul‐10 

8 US METRO BANK GARDEN GROVE CA 6‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $2,861,000.00 $2,861,000 00 $432,678.00 Fu l nvestment outsta

11,8 UWHARRIE CAPITAL CORP ALBEMARLE NC 23‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $10,000,000.00 $0.00 $12,916,040.83 Redeemed, n fu

UWHARRIE CAPITAL CORP ALBEMARLE NC 3‐Ap ‐13 

UWHARRIE CAPITAL CORP ALBEMARLE NC 16‐Oct‐13 

11,8,14 VALLEY COMMERCE BANCORP V SALIA CA 30‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $7,700,000.00 $0.00 $9,403,400.50 Redeemed, n fu

VALLEY COMMERCE BANCORP VISALIA CA 21‐Ma ‐12 

8 VALLEY COMMUNITY BANK PLEASANTON CA 9‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $5,500,000.00 $0.00 $2,947,090.75 Sold, n fu

VALLEY COMMUNITY BANK PLEASANTON CA 21‐Oct‐13 

VALLEY COMMUNITY BANK PLEASANTON CA 6‐Jan‐14 

11 VALLEY FINANCIAL CORPORATION ROANOKE VA 12‐Dec‐08 P efe ed Stock w/ Wa ants $16,019,000.00 $0.00 $21,311,670.48 Redeemed, n fu

VALLEY FINANCIAL CORPORATION OANOKE VA 14‐Nov‐12 

VALLEY FINANCIAL CORPORATION ROANOKE VA 20‐Feb‐13 

VALLEY FINANCIAL CORPORATION ROANOKE VA 15‐May‐13 

VALLEY FINANCIAL CORPORATION ROANOKE VA 14‐Aug‐13 

VALLEY FINANCIAL CORPORATION ROANOKE VA 16‐Oct‐13 VALLEY FINANCIAL CORPORATION ROANOKE VA 13‐Nov‐13 

8,44,14 VALLEY FINANCIAL GROUP, LTD. SAGINAW MI 18‐Dec‐09 P efe ed Stock w/ Exe c sed Wa ants $1,300,000.00 $0.00 $1,489,774.73 Redeemed, n fu

VALLEY FINANCIAL GROUP, LTD. SAGINAW MI 22‐Sep‐11 

11 VALLEY NAT ONAL BANCORP WAYNE NJ 14‐Nov‐08 P efe ed Stock w/ Wa ants $300,000,000.00 $0.00 $318,400,781.94 Redeemed, n fu

VALLEY NAT ONAL BANCORP WAYNE NJ 3‐Jun‐09 VALLEY NAT ONAL BANCORP WAYNE NJ 23‐Sep‐09 

VALLEY NAT ONAL BANCORP WAYNE NJ 23‐Dec‐09 

VALLEY NAT ONAL BANCORP WAYNE NJ 24‐May‐10 

8,41,44 VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY) DALLAS TX 26‐Jun‐09 P efe ed Stock w/ Exe c sed Wa ants $3,000,000.00 $0.00 $3,503,795.81 Redeemed, n fu

VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY) DALLAS TX 25‐Aug‐11 

VILLAGE BANK AND TRUST FINANCIAL CORP. MIDLOTHIAN VA 1‐May‐09 P efe ed Stock w/ Wa ants $14,738,000.00 $0.00 $6,933,870.05 Sold, VILLAGE BANK AND TRUST FINANCIAL CORP. MIDLOTHIAN VA 19‐Nov‐13 VILLAGE BANK AND TRUST FINANCIAL CORP. MIDLOTHIAN VA 6‐Jan‐14 

11 VIRGINIA COMMERCE BANCORP, INC. ARLINGTON VA 12‐Dec‐08 P efe ed Stock w/ Wa ants $71,000,000.00 $0.00 $118,453,138.89 Redeemed, n fu

VIRGINIA COMMERCE BANCORP, INC. ARLINGTON VA 11‐Dec‐12 

VIRGINIA COMMERCE BANCORP, INC. ARLINGTON VA 31‐Jan‐14 

8,17 V RGINIA COMPANY BANK NEWPORT NEWS VA 12‐Jun‐09 P efe ed Stock w/ Exe c sed Wa ants $4,700,000.00 $0.00 $3,694,442.50 Sold, n fu

VIRGINIA COMPANY BANK NEWPORT NEWS VA 8‐Aug‐13 

VIRGINIA COMPANY BANK NEWPORT NEWS VA 12‐Aug‐13 

VIRGINIA COMPANY BANK NEWPORT NEWS VA 12‐Sep‐13 

11,8,14 VISION BANK ‐ TEXAS RICHARDSON TX 24‐Ap ‐09 P efe ed Stock w/ Exe c sed Wa ants $1,500,000.00 $0.00 $1,898,258.59 Redeemed, n fu

VISION BANK ‐ TEXAS RICHARDSON TX 28‐Dec‐12 VISION BANK ‐ TEXAS RICHARDSON TX 10‐Jul‐13 

VIST FINANCIAL CORP. WYOM SSING PA 19‐Dec‐08 P efe ed Stock w/ Wa ants $25,000,000.00 $0.00 $30,710,646.33 Redeemed, n fu

VIST FINANCIAL CORP. WYOM SSING PA 1‐Aug‐12 

45,8,14 W.T.B. FINANCIAL CORPORATION SPOKANE WA 30‐Jan‐09 P efe ed Stock w/ Exe c sed Wa ants $110,000,000.00 $0.00 $131,236,874.33 Redeemed, n fu

W.T.B. FINANCIAL CORPORATION SPOKANE WA 15‐Sep‐11 

8,17,11 WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 11‐Dec‐09 P efe ed Stock w/ Exe c sed Wa ants $12,000,000.00 $0.00 $14,731,826.23 Redeemed, n fu

WACHUSETT FINANCIAL SERVICES, INC. CLINTON MA 4‐Ap ‐12 

WACHUSETT FINANCIAL SERV CES, INC. CLINTON MA 30‐Jan‐13 

WACHUSETT FINANCIAL SERV CES, INC. CLINTON MA 23‐Ap ‐14 

11 WAINWRIGHT BANK & TRUST COMPANY BOSTON MA 19‐Dec‐08 P efe ed Stock w/ Wa ants $22,000,000.00 $0.00 $23,592,311.11 Redeemed, n fu

WAINWRIGHT BANK & TRUST COMPANY BOSTON MA 24‐Nov‐09 

WAINWRIGHT BANK & TRUST COMPANY BOSTON MA 16‐Dec‐09 

11,16 WASHINGTON BANKING COMPANY OAK HARBOR WA 16‐Jan‐09 P efe ed Stock w/ Wa ants $26,380,000.00 $0.00 $30,628,344.45 Redeemed, n fu

WASHINGTON BANKING COMPANY OAK HARBOR WA 12‐Jan‐11 WASHINGTON BANKING COMPANY OAK HARBOR WA 2‐Ma ‐11 

11 WASHINGTON FEDERAL, INC. SEATTLE WA 14‐Nov‐08 P efe ed Stock w/ Wa ants $200,000,000.00 $0.00 $220,749,985.18 Redeemed, n fu

WASHINGTON FEDERAL, INC. SEATTLE WA 27‐May‐09 

WASHINGTON FEDERAL, INC. SEATTLE WA 15‐Ma ‐10 

8,18,21,44 WASHINGTONF RST BANKSHARES, INC. RESTON VA 30‐Jan‐09 P efe ed Stock w/ Wa ants $6,633,000.00 $0.00 $15,317,317.86 Redeemed, n fu

WASHINGTONF RST BANKSHARES, INC. RESTON VA 30‐Oct‐09 $6,842,000.00

WASHINGTONF RST BANKSHARES, INC. RESTON VA 4‐Aug‐11 

8,17 WAUKESHA BANKSHARES, INC. WAUKESHA WI 26‐Jun‐09 P efe ed Stock w/ Exe c sed Wa ants $5,625,000.00 $0.00 $6,398,893.44 Sold, n fu

WAUKESHA BANKSHARES, INC. WAUKESHA WI 6‐Feb‐13 

WAUKESHA BANKSHARES, INC. WAUKESHA WI 7‐Feb‐13 

WAUKESHA BANKSHARES, INC. WAUKESHA WI 8‐Feb‐13 

WAUKESHA BANKSHARES, INC. WAUKESHA WI 26‐Ma ‐13 

11 WEBSTER FINANCIAL CORPORATION WATERBURY CT 21‐Nov‐08 P efe ed Stock w/ Wa ants $400,000,000.00 $0.00 $457,333,286.51 Redeemed, n fu 

WEBSTER FINANCIAL CORPORAT ON WATERBURY CT 3‐Ma ‐10 

WEBSTER FINANCIAL CORPORATION WATERBURY CT 13‐Oct‐10 

WEBSTER FINANCIAL CORPORATION WATERBURY CT 29‐Dec‐10 

WEBSTER FINANCIAL CORPORAT ON WATERBURY CT 8‐Jun‐11 

11 WELLS FARGO & CO. MINNEAPOLIS MN 28‐Oct‐08 P efe ed Stock w/ Wa ants $25,000,000,000.00 $0.00 $27,281,347,113.95 Redeemed, n fu

WELLS FARGO & CO. MINNEAPOLIS MN 23‐Dec‐09 

WELLS FARGO & CO. MINNEAPOLIS MN 26‐May‐10 

11 WESBANCO, INC. WHEELING WV 5‐Dec‐08 P efe ed Stock w/ Wa ants $75,000,000.00 $0.00 $78,804,166.67 Redeemed, n fu 

WESBANCO, INC. WHEELING WV 9‐Sep‐09 

WESBANCO, INC. WHEELING WV 23‐Dec‐09 

11 WEST BANCORPORATION, INC. WEST DES MOINES IA 31‐Dec‐08 P efe ed Stock w/ Wa ants $36,000,000.00 $0.00 $41,195,000.00 Redeemed, n fu

WEST BANCORPORATION, INC. WEST DES MOINES IA 29‐Jun‐11 

WEST BANCORPORATION, INC. WEST DES MOINES IA 31‐Aug‐11 

11 WESTAMERICA BANCORPORATION SAN RAFAEL CA 13‐Feb‐09 P efe ed Stock w/ Wa ants $83,726,000.00 $0.00 $87,360,236.61 Redeemed, n fu

WESTAMERICA BANCORPORATION SAN RAFAEL CA 2‐Sep‐09 

WESTAMERICA BANCORPORATION SAN RAFAEL CA 18‐Nov‐09 

WESTAMERICA BANCORPORATION SAN RAFAEL CA 21‐Nov‐11 

44 WESTERN ALLIANCE BANCORPORAT ON LAS VEGAS NV 21‐Nov‐08 P efe ed Stock w/ Wa ants $140,000,000.00 $0.00 $160,365,000.00 Redeemed, n fu

WESTERN ALLIANCE BANCORPORAT ON LAS VEGAS NV 27‐Sep‐11 

WESTERN ALLIANCE BANCORPORAT ON LAS VEGAS NV 23‐Nov‐11 

8 WESTERN COMMUNITY BANCSHARES, INC. PALM DESERT CA 23‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $7,290,000.00 $7,290,000 00 $554,083.00 Fu l nvestment outsta

8,14,18 WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 23‐Dec‐08 P efe ed Stock w/ Exe c sed Wa ants $6,855,000.00 $0.00 $13,053,910.87 Sold, n fu

WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 29‐Dec‐09 $4,567,000.00

WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 8‐Nov‐12 

WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 9‐Nov‐12 

WESTERN ILLINOIS BANCSHARES, INC. MONMOUTH IL 11‐Jan‐13 

8,78,11 WESTERN RESERVE BANCORP, INC. MEDINA OH 15‐May‐09 P efe ed Stock w/ Exe c sed Wa ants $4,700,000.00 $0.00 $5,842,197.92 Redeemed, n fu

WESTERN RESERVE BANCORP, INC. MEDINA OH 30‐Nov‐12 
Investment 

FootNote Institution Name City State Date Original Investment Type1 Original Investment

Amount

Outstanding

Investment

Total Cash Back2

8 WHITE RIVER BANCSHARES COMPANY FAYETTEV LLE AR 20‐Feb‐09 P efe ed Stock w/ Exe c sed Wa ants $16,800,000.00 $16,800,000 00 $1,589,583.00 Fu l nvestment outsta

WHITNEY HOLDING CORPORATION NEW ORLEANS LA 19‐Dec‐08 P efe ed Stock w/ Wa ants $300,000,000.00 $0.00 $343,733,333.33 Redeemed, n fu

WHITNEY HOLDING CORPORATION NEW ORLEANS LA 3‐Jun‐11 

11 W LMINGTON TRUST CORPORATION / M&T BANK CORPORAT ON W LMINGTON DE 12‐Dec‐08 P efe ed Stock w/ Wa ants $330,000,000.00 $0.00 $369,920,833.33 Redeemed, 

W LMINGTON TRUST CORPORATION / M&T BANK CORPORAT ON W LMINGTON DE 13‐May‐11 

W LSHIRE BANCORP, INC. LOS ANGELES CA 12‐Dec‐08 P efe ed Stock w/ Wa ants $62,158,000.00 $0.00 $68,809,170.52 Sold, n fu

W LSHIRE BANCORP, INC. LOS ANGELES CA 3‐Ap ‐12 

WILSHIRE BANCORP, INC. LOS ANGELES CA 20‐Jun‐12 

11 WINTRUST FINANCIAL CORPORATION LAKE FOREST IL 19‐Dec‐08 P efe ed Stock w/ Wa ants $250,000,000.00 $0.00 $300,704,730.81 Redeemed, n fu 

WINTRUST FINANCIAL CORPORATION LAKE FOREST IL 22‐Dec‐10 

WINTRUST FINANCIAL CORPORATION LAKE FOREST IL 14‐Feb‐11 

8,14 WORTHINGTON FINANCIAL HOLDINGS, INC. HUNTSVILLE AL 15‐May‐09 P efe ed Stock w/ Exe c sed Wa ants $2,720,000.00 $0.00 $2,780,391.21 Sold, n fu

WORTHINGTON FINANCIAL HOLDINGS, INC. HUNTSVILLE AL 24‐Jun‐13 

WORTHINGTON FINANCIAL HOLDINGS, INC. HUNTSVILLE AL 26‐Jul‐13 

WSFS FINANCIAL CORPORATION W LMINGTON DE 23‐Jan‐09 P efe ed Stock w/ Wa ants $52,625,000.00 $0.00 $57,640,856.64 Sold, n fu

WSFS FINANCIAL CORPORATION W LMINGTON DE 3‐Ap ‐12 WSFS FINANCIAL CORPORATION W LMINGTON DE 12‐Sep‐12 

YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORAT ON ELKIN NC 16‐Jan‐09 P efe ed Stock w/ Wa ants $36,000,000.00 $0.00 $52,383,419.85 Sold, n fuYADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORAT ON ELKIN NC 24‐Jul‐09 $13,312,000.00

YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORAT ON ELKIN NC 18‐Sep‐12 

YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORAT ON ELKIN NC 10‐Jun‐13 

YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORAT ON ELKIN NC 11‐Jun‐13 

45,8,14 YORK TRADITIONS BANK YORK PA 24‐Ap ‐09 P efe ed Stock w/ Exe c sed Wa ants $4,871,000.00 $0.00 $5,705,022.14 Redeemed, n fu

YORK TRADITIONS BANK YORK PA 14‐Jul‐11 

11 ZIONS BANCORPORATION SALT LAKE CITY UT 14‐Nov‐08 P efe ed Stock w/ Wa ants $1,400,000,000.00 $0.00 $1,661,027,529.62 Redeemed, n fu

ZIONS BANCORPORATION SALT LAKE CITY UT 28‐Ma ‐12 

ZIONS BANCORPORATION SALT LAKE CITY UT 26‐Sep‐12 

ZIONS BANCORPORATION SALT LAKE CITY UT 5‐Dec‐12 

TOTALS $204,894,726,320.00 $1,698,605,601.88 $225,238,587,618.82 
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 expense3 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 plac

(per issuer) or 1.00% of gross aggregate proceeds for each security and (ii) unreimbursed underwriting fees in public offerinapproximately one month after settlement.

5 Net proceeds from sales and auctions can be calculated by adding the “Amount” and “(Fee)” columns under the "Capital Re

"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 institutio

that settlement was deferred pending merger. The purchase of Merrill Lynch by Bank of America was completed on 1/1/2001/9/2009.

7 The warrant disposition proceeds amount are stated pro rata in respect of the CPP investments in Bank of America Corpora

disposition proceeds from CPP warrants on 3/3/2010 was $305,913,040, consisting of $183,547,824 and $122,365,216. Prappear on a following page of this report.

8 Privately-held qualified financial institution; Treasury received a warrant to purchase additional shares of preferred stock (un9 To promote community development financial institutions (CDFIs), Treasury does not require warrants as part of its investm

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 institutio16 In its qualified equity offering, this institution raised more capital than Treasury’s original investment, therefore, the number o

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)

billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange up to $25 billion of Treasury's investmeSeries H (CPP Shares) "dollar for dollar" in Citigroup's Private and Public Exchange Offerings. On 7/23/2009 and 7/30/2009for Series M Common Stock Equivalent (“Series M”) and a warrant to purchase shares of Series M. On 9/11/2009, Series M 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-deductib

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 se

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 w

contingent value rights (CVRs). On 2/8/2010, the CVRs expired without value as the terms and conditions for distribution of 

24 On 12/11/2009, Treasury exchanged its series A preferred stock issued by Superior Bancorp, Inc. for a like amount of non t

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), t

Market on 2/6/2009 were exchanged for a like amount of securities of the acquiror in a single series but with a blended dividinvestment.

26 On 2/11/2010, Pacific Coast National Bancorp dismissed its bankruptcy proceedings with no recovery to any creditors or inv

extinguished.

27 On 3/8/2010, Treasury exchanged its $84,784,000 of preferred stock in Midwest Banc Holdings, Inc. (MBHI) for $89,388,00

equivalent to the initial investment amount of $84,784,000, plus $4,604,000 of capitalized previously accrued and unpaid divrelated 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 

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 $

which is equivalent to the initial investment amount of $72,000,000, plus $2,426,000 of capitalized previously accrued and usecurities purchase agreement with Independent pursuant to which Treasury agreed to sell to Independent the MCP and the specified in such agreement. On 8/30/13, Treasury completed the sale of the MCP and warrant to Independent pursuant to 

30 Treasury received Citigroup common stock pursuant to the June 2009 Exchange Agreement between Treasury and Citigrou

the preferred stock that Treasury purchased in connection with Citigroup's participation in the Capital Purchase Program (seStanley & Co. Incorporated (Morgan Stanley) discretionary authority as its sales agent to sell subject to certain parameters time during the period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority ocgave Morgan Stanley discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shaending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on June 30, 20discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common sto30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on September 30, 2010. On OIncorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,00period ending on December 31, 2010 (or upon completion of the sale), which plan was terminated on December 6, 2010. ADecember 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. See "CapiDisposition" on following page for the actual number of shares sold by Morgan Stanley, the weighted average price per sharduring those periods.

31 On 8/26/2010, Treasury completed the exchange of its $303,000,000 of preferred stock in Sterling Financial Corporation (St

Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Sterling entered into on 4/29/2010. in the Certificate of Designations for the MCP, including those related to its capital plan, Treasury’s $303,000,000 of MCP w378,750,000 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 Ca

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 amo

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 o

equivalent to the initial investment amount of $400,000,000, plus $24,174,000 of capitalized previously accrued and unpaid conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was converted into 32,9received all accrued and previously unpaid dividends on the MCP at the time of the conversion. First BanCorp has agreed to meetings.

35 On 8/31/2010, following the completion of the conditions related to Pacific Capital Bancorp's (Pacific Capital) capital plan, T

Pacific Capital for $195,045,000 of mandatorily convertible preferred Stock (MCP), which is equivalent to the initial investmepreviously accrued and unpaid dividends. On 9/27/2010, following the completion of the conversion conditions set forth in thMCP was converted into 360,833,250 shares of common stock of Pacific Capital. Following a reverse stock split effective 12common stock. Effective 11/30/12, Pacific Capital merged with and into UnionBanCal Corporation and each outstanding shright to receive $46.00 per share in cash, and Treasury received $165,983,272 in respect of its common stock and $393,121 

36 This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has completed an excha

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 

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. 

preferred Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Hampton entered into on 8conditions set forth in the Certificate of Designations for the MCP, Treasury’s $80,347,000 of MCP was subsequently conve

39 Treasury entered into an agreement on 1/28/2011 with North American Financial Holdings, Inc. for the sale of all preferred s

Treasury for an aggregate purchase price of $41,279,000. Since the conditions to closing of the sale were satisfied, the clo

40 On 2/18/11, Treasury completed the exchange of its $135,000,000 of preferred stock (including accrued and unpaid dividen

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

acquired company on 6/26/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the terms of an 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), T

Bancorp, Inc. and $71,526,000 of its preferred stock in Metropolitan Bank Group, Inc. for $81,892,000 of a new series of preequivalent to the combined initial investment amount of $78,406,000 plus $3,486,000 of capitalized previously accrued and among Treasury, the acquired company and the acquiror entered into on 3/30/2011. Exercised warrants were also exchang
Footnote Footnote Description

43 On 7/5/2011, Treasury completed a transaction with Harris Financial Corp., a wholly-owned subsidiary of Bank of Montreal 

("M&I") Preferred Stock held by Treasury for a purchase price of $1,715,000,000 plus accrued dividends and (ii) the Treasupursuant 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 

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 repa

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 

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 

Receiver.

48 On 3/11/2011, Legacy Bank, Milwaukee, WI, the banking subsidiary of Legacy Bancorp, Inc., was closed by the State of Wi

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 o

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 

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 t

Receiver.

52 On 7/29/2011, Integra Bank, National Association, Evansville, Indiana, the banking subsidiary of Integra Bank Corporation, 

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 

stock and an amended and restated warrant, pursuant to the terms of the agreement between Treasury and FNB United en

54 As a result of the acquisition of Berkshire Bancorp, Inc. (the acquired company) by Customers Bancorp, Inc. (the acquiror), 

acquired company on 6/12/2009 were exchanged for a like amount of securities of the acquiror plus accrued and previously 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, wa

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 wi

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 Departm

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 Finan

issued by CFC on 1/9/2009 were exchanged for a like amount of securities of CFB, pursuant to the terms of an agreement a

59 As a result of the acquisition of Center Financial Corporation by BBCN Bancorp, Inc. (formerly Nara Bancorp, Inc.), the prefe

Corporation were exchanged for a like amount of securities of BBCN Bancorp, Inc., pursuant to the terms of an agreement aBancorp, 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 issu

(“Parkvale”) for a purchase price of $31,762,000 plus accrued dividends and (ii) the exchange of the Parkvale warrant held the agreement between Treasury and F.N.B. entered into on 12/29/2011 in connection with the merger of Parkvale and F.N

61 As a result of the acquisition of State Bancorp, Inc. (the acquired company) by Valley National Bancorp (the acquiror), the w

exchanged for a like security of the acquiror, pursuant to the terms of an agreement among Treasury, the acquired company 

62 On 1/27/2012, pursuant to the terms of the merger of Regents Bancshares, Inc. (“Regents”) with Grandpoint Capital, Inc., T

amount together with accrued and unpaid dividends thereon) in respect of the preferred stock (including that received from tRegents.

63 On 1/27/2012, Tennessee Commerce Bank, Franklin, TN, the banking subsidiary of Tennessee Commerce Bancorp, Inc., w

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 Of

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 $15,000,0

subject to the fulfillment by Broadway Financial Corporation of certain conditions, including the satisfactory completion of a c

66 On 4/20/2012, Fort Lee Federal Savings Bank, FSB, Fort Lee, New Jersey, was closed by the Office of the Comptroller of th

Corporation (FDIC) as receiver.

67 As a result of the acquisition of Community Holding Company of Florida, Inc. (the acquired company) by Community Bancsh

and exercised warrants issued by the acquired company on 2/6/2009 were exchanged for a like amount of securities of the 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 

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 whic

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 app

receiver.

71 On 10/19/2012, Excel Bank, Sedalia, Missouri, the banking subsidiary of Investors Financial Corporation of Pettis County, In

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 Ba

preferred stock and exercised warrants from Equity in exchange for Treasury's original investment in First Community, plus 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 De74 On 2/22/2013, Treasury completed the exchange of its Standard Bancshares, Inc. preferred stock for common stock, pursua

Standard Bancshares, Inc., and immediately sold the resulting Standard Bancshares, Inc. common stock, pursuant to securW Capital Partners II, L.P., Trident SBI Holdings, LLC, PEPI Capital, LP, LCB Investment, LLC, Cohesive Capital Partners, 

75 On 11/2/2012, Citizens First National Bank, Princeton, IL, the banking subsidiary of Princeton National Bancorp, was closed 

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 Trea

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, T

had been issued by Fidelity to Treasury for a purchase price of $7,000,000 plus accrued dividends and (ii) exchanged the Fpursuant 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 o

B preferred stock issued to Treasury was redeemed for the respective principal amount together with accrued and unpaid d

79 On 2/20/2013, Treasury sold its CPP preferred stock and warrant issued by First Sound Bank (“First Sound”) back to First S

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 

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 (“Cit

all of the preferred stock that had been issued by Community Financial to Treasury for a purchase price of $12,643,000 plus Financial warrant held by Treasury for a like City Holding warrant, pursuant to the terms of an agreement among Treasury a

82 On 1/29/2013, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 9,950 shares o

per share (less a placement agent fee) for net proceeds of $8,028,157.50. On 2/6/2013, the placement agent notified Coastagency agreement, it was terminating the transaction and, therefore, Treasury did not receive any proceeds or pay any fees 

83 On 2/15/2013, Treasury sold its CPP preferred stock and warrant issued by BancTrust Financial Group, Inc. (“BancTrust”) p

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 aggreg

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 B

(representing the par amount together with accrued and unpaid dividends thereon) in respect of the preferred stock that had 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 

warrant in Citizens Republic for a warrant issued by FirstMerit, pursuant to a securities purchase agreement, dated as of 2/1

87 On 4/11/2013, Treasury completed the exchange of its First Security Group, Inc. (FSGI) preferred stock for common stock, 

between Treasury and FSGI, and sold the resulting FSGI common stock, pursuant to securities purchase agreements, each 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) 

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 

amount of securities of Crescent Financial Bancshares, Inc., pursuant to the terms of an agreement among Treasury, ECB 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. 

Corporation, pursuant to the terms of an agreement among Treasury, Annapolis Bancorp, Inc., and F.N.B. Corporation ente
Footnote Footnote Description

91 On 04/05/2013, Gold Canyon Bank, Gold Canyon, Arizona was closed by the Arizona Department of Financial Institutions, a

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 I93 On 7/17/13, Treasury entered into a securities purchase agreement with Central Virginia Bankshares, Inc. (CVB) and C&F F

agreed to sell to C&F the CPP preferred stock and warrant issued by CVB, subject to the conditions specified in such agree

94 On 8/12/2013, Anchor BanCorp Wisconsin Inc. ( “Anchor”) filed a voluntary petition for Chapter 11 protection in the U.S. Ba

implement a “pre-packaged” Plan of Reorganization in order to facilitate the restructuring of Anchor. On 9/27/ 2013, the Plan terms, pursuant to which (i) Treasury’s preferred stock was exchanged for 60,000,000 shares of common stock (the “Comm9/27/2013, Treasury sold the Common Stock to purchasers pursuant to securities purchase agreements entered into on 9/1

95 On 7/5/2013, Rogers Bancshares, Inc. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the Eastern District o96 On 8/22/2013, Treasury exchanged its preferred stock in Broadway Financial Corporation for 10,146 shares of common sto

preference of the preferred stock, plus (ii) 100% of previously accrued and unpaid dividends on the preferred stock ($2,646,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 rece

appendices B and C in the section titled “Capital Purchase Program Institutions” in the most recent report to congress found 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 Treasu

common stock. The exchange was subject to the fulfillment by Monarch of certain conditions, including the satisfactory comCPP warrant and preferred stock for common stock was completed and Treasury sold such common stock to purchasers pu11/15/2013.

99 On 12/5/2013, Treasury's 10,146 shares of common stock equivalent in Broadway Financial converted to 10,146,000 share

100 On 12/13/2013, Texas Community Bank, National Association, The Woodlands, Texas, the banking subsidiary of TCB Hold

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) 

corporation (CBTC Virginia), the outstanding preferred stock and warrant issued by CBTC Delaware were exchanged for a 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) an

which Treasury agreed to sell to FCBTC the CPP preferred stock and warrant issued by FFSC, subject to the conditions spe12/31/2013.

103 On 1/31/2014, Syringa Bank, Boise, Idaho, the banking subsidiary of Syringa Bancorp, was closed by the Idaho Departmen

Corporation (FDIC) as receiver.

104 On 4/1/2014, pursuant to the terms of the merger of Alaska Pacific Bancshares, Inc. with Northrim Bancorp, Inc., Treasury r

issued to Treasury by Alaska Pacific Bancshares, Inc.

105 On 4/18/2014, Treasury entered into an agreement with Bank of the Carolinas Corporation (“BCAR”) pursuant to which Trea

to BCAR at a discount subject to the satisfaction of the conditions specified in the agreement.

106 On 4/24/2014, Treasury sold all of its preferred stock issued by Bankers’ Bank of the West Bancorp, Inc. (BBW) to private in

securities purchase agreements dated as of April 21, 2014. BBW paid all accrued and unpaid dividends on the preferred sto
Footnote Footnote Description

107 On 4/25/2014, Treasury entered into a securities purchase agreement with Provident Community Bankshares, Inc. (PCBS) 

which Treasury agreed to sell to Park Sterling the CPP preferred stock and warrant issued by PCBS, subject to the conditio4/30/2014.

108 On 4/24/2014, Idaho Bancorp filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Idaho.109 On 4/30/2014, Treasury completed the exchange of its Northern States Financial Corporation preferred stock for common s

4/29/2014, with Northern States Financial Corporation, and immediately sold the resulting Northern States Financial Corporagreements, each dated as of 4/29/14, with Blue Pine Financial Opportunities Fund II, LP, EJF Sidecar Fund, Series LLC, EEndeavour Regional Bank Opportunities Fund II L.P., Hot Creek Investors, L.P.,JCSD Partners, LP, and PRB Investors, LP

110 On 5/23/2014 Treasury completed the sale of its CommunityOne Bancorp common stock in an underwritten public offering.111 On 5/30/2014, Treasury entered into a securities purchase agreement with Highlands Independent Bancshares, Inc. ("Highl

to which Treasury agreed to sell to HCBF the CPP preferred stock issued by Highlands, subject to the conditions specified i
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 common stock from time to time during the period ending on December 31, 2010 (or upon completion of the sale), which plan was 5/ On December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. Closing of 6/ The price set forth is the weighted average price for all sales of Citigroup, Inc. common stock made by Treasury over the cours7/ 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 agecommon stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the s2/ On May 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agecommon stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sa3/ On July 23, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agecommon stock from time to time during the period ending on September 30, 2010 (or upon completion of the sale). Completion of 
Name of Institution City State Investment Description Amount from CPP Additional 

1 7/30/2010 Guaranty Capital Corporation Belzoni MS Subordinated Debentures $ 14,000,000 $ 

1, 2 7/30/2010 University Financial Corp, Inc. St. Paul MN Subordinated Debentures $ 11,926,000 $ 

1 2 8/6/2010 Southern Bancorp Inc. Arkadelphia AR Preferred Stock $ 11,000,000 $ 

1, 4 8/13/2010 Premier Bancorp, Inc. Wilmette L Subordinated Debentures $ 6,784,000 $ 

1 8/13/2010 Preferred Stock $ 7,462,000 $ 

2a 9/17/2010 Preferred Stock $ - $ 

1 8/13/2010 PGB Holdings, Inc. Chicago IL Preferred Stock $ 3,000,000 $ 

1 8/13/2010 First American International Corp. Brooklyn NY Preferred Stock $ 17,000,000 $ 

1 8/13/2010 Tri-State Bank of Memphis Memphis TN Preferred Stock $ 2,795,000 $ 

1 8/20/2010 Preferred Stock $ 5,500,000 $ 

2a 9/24/2010 Preferred Stock $ - $ 

1 8/20/2010 M&F Bancorp, Inc. Durham NC Preferred Stock $ 11,735,000 $ 

1 3 8/27/2010 Carver Bancorp Inc New York NY Common Stock $ 18,980,000 $ 

9/3/2010 Kilmichael Bancorp, Inc. Kilmichael MS Subordinated Debentures $ - $ 

1 9/3/2010 United Bancorporation of Alabama, Inc. Atmore AL Preferred Stock $ 10,300,000 $ 

1 9/3/2010 BW Financial Corporation Washington DC Preferred Stock $ 6,000,000 $ 

1, 2 9/10/2010 BC Bancorp, Inc. Chicago L Subordinated Debentures $ 4,205,000 $ 

9/17/2010 CFBanc Corporation Washington DC Preferred Stock $ - $ 

9/17/2010 American Bancorp of Illinois, Inc. Oak Brook L Subordinated Debentures $ - $ 

9/17/2010 Hope Federal Credit Union Jackson MS Subordinated Debentures $ - $ 

9/17/2010 Genesee Co-op Federal Credit Union Rochester NY Subordinated Debentures $ - $ 

1 9/17/2010 First Eagle Bancshares, Inc. Hanover Park L Subordinated Debentures $ 7,875,000 $ 

1 2 9/24/2010 Liberty Financial Services Inc. New Orleans LA Preferred Stock $ 5,645,000 $ 

1, 7 9/24/2010 First Choice Bank Cerritos CA Preferred Stock $ 5,146,000 $ 

9/24/2010 Bainbridge Bancshares, Inc. Bainbridge GA Preferred Stock $ 

- $ 

9/24/2010 Virginia Community Capital, Inc. Christiansburg VA Subordinated Debentures $ 

- $ 

9/24/2010 Lower East Side People's Federal Credit Union New York NY Subordinated Debentures $ 

- $ 

6 9/24/2010 Atlantic City Federal Credit Union Lander WY Subordinated Debentures $ 

- $ 

9/24/2010 Neighborhood Trust Federal Credit Union New York NY Subordinated Debentures $ 

- $ 

6 9/24/2010 Gateway Community Federal Credit Union Missoula MT Subordinated Debentures $ 

- $ 

9/24/2010 Union Baptist Church Federal Credit Union Fort Wayne IN Subordinated Debentures $ 

- $ 

9/24/2010 Buffalo Cooperative Federal Credit Union Buffalo NY Subordinated Debentures $ 

- $ 

9/24/2010 Tulane-Loyola Federal Credit Union New Orleans LA Subordinated Debentures $ 

- $ 

9/24/2010 Alternatives Federal Credit Union Ithaca NY Subordinated Debentures $ 

- $ 

9/24/2010 Liberty County Teachers Federal Credit Union Liberty TX Subordinated Debentures $ 

- $ 

6 9/24/2010 UNO Federal Credit Union New Orleans LA Subordinated Debentures $ - $ 

9/24/2010 Butte Federal Credit Union Biggs CA Subordinated Debentures $ - $ 

9/24/2010 Thurston Union of Low-Income People (TUL P) Cooperative Credit Union Olympia WA Subordinated Debentures $ - $ 

9/24/2010 Phenix Pride Federal Credit Union Phenix City AL Subordinated Debentures $ - $ 9/24/2010 Pyramid Federal Credit Union Tucson AZ Subordinated Debentures $ - $ 

9/24/2010 Cooperative Center Federal Credit Union Berkeley CA Subordinated Debentures $ - $ 

9/24/2010 Prince Kuhio Federal Credit Union Honolulu HI Subordinated Debentures $ - $ 9/24/2010 Community First Guam Federal Credit Union Hagatna GU Subordinated Debentures $ - $ 

6 9/24/2010 Brewery Credit Union Milwaukee WI Subordinated Debentures $ - $ 

9/24/2010 Tongass Federal Credit Union Ketchikan AK Subordinated Debentures $ 

- $ 

9/24/2010 Santa Cruz Community Credit Union Santa Cruz CA Subordinated Debentures $ 

- $ 

9/24/2010 Northeast Community Federal Credit Union San Francisco CA Subordinated Debentures $ 

- $ 

9/24/2010 Fairfax County Federal Credit Union Fairfax VA Subordinated Debentures $ 

- $ 

1, 2 9/29/2010 Security Federal Corporation Aiken SC Preferred Stock $ 

18,000,000 $ 

1, 2 9/29/2010 Community Bank of the Bay Oakland CA Preferred Stock $ 

1,747,000 $ 

1, 2 9/29/2010 The First Bancshares, Inc. Hattiesburg MS Preferred Stock $ 

5,000,000 $ 

1, 2 9/29/2010 BancPlus Corporation Ridgeland MS Preferred Stock $ 

50,400,000 $ 

1 9/29/2010 First M&F Corporation Kosciusko MS Preferred Stock $ 

30,000,000 $ 

1 9/29/2010 State Capital Corporation Greenwood MS Preferred Stock $ 15,750,000 $ 

1 9/29/2010 Lafayette Bancorp, Inc. Oxford MS Preferred Stock $ 4,551,000 $ 

1, 7 9/29/2010 PSB Financial Corporation Many LA Preferred Stock $ 9,734,000 $ 

1 9/29/2010 Community Bancshares of Mississippi, Inc. Brandon MS Preferred Stock $ 

54,600,000 $ 

1 9/29/2010 First Vernon Bancshares Inc. Vernon AL Preferred Stock $ 

6,245,000 $ 

Citizens Bancshares Corporation Atlanta GAMission Valley Bancorp Sun Valley CA

COMMUNITY DEVELOPMENT CAPITAL INITIATIVE

Footnote Purchase Date 

Seller Purchase Details 
Name of Institution City State Investment Description Amount from CPP Additional 

Footnote Purchase Date 

Seller Purchase Details 

1 9/29/2010 Security Capital Corporation Batesville MS Preferred Stock $ 17,910,000 $ 

9/29/2010 BankAsiana Palisades Park NJ Preferred Stock $ - $ 

9/29/2010 The Magnolia State Corporation Bay Springs MS Subordinated Debentures $ 

- $ 

8 9/29/2010 Bancorp of Okolona, Inc. Okolona MS Subordinated Debentures $ 

- $ 

9/29/2010 Southern Chautauqua Federal Credit Union Lakewood NY Subordinated Debentures $ 

- $ 

9/29/2010 Fidelis Federal Credit Union New York NY Subordinated Debentures $ 

- $ 

9/29/2010 Bethex Federal Credit Union Bronx NY Subordinated Debentures $ 

- $ 

9/29/2010 Shreveport Federal Credit Union Shreveport LA Subordinated Debentures $ 

- $ 

6 9/29/2010 Carter Federal Credit Union Springhill LA Subordinated Debentures $ 

- $ 

6 9/29/2010 UNITEHERE Federal Credit Union (Workers United Federal Credit Union) New York NY Subordinated Debentures $ 

- $ 

9/29/2010 North Side Community Federal Credit Union Chicago L Subordinated Debentures $ - $ 9/29/2010 East End Baptist Tabernacle Federal Credit Union Bridgeport CT Subordinated Debentures $ - $ 

9/29/2010 Community Plus Federal Credit Union Rantoul L Subordinated Debentures $ - $ 

9/29/2010 Border Federal Credit Union Del Rio TX Subordinated Debentures $ - $ 

9/29/2010 Opportunities Credit Union Burlington VT Subordinated Debentures $ - $ 

9/29/2010 First Legacy Community Credit Union Charlotte NC Subordinated Debentures $ - $ 

9/29/2010 Union Settlement Federal Credit Union New York NY Subordinated Debentures $ 

- $ 

9/29/2010 Southside Credit Union San Antonio TX Subordinated Debentures $ 

- $ 

9/29/2010 D.C. Federal Credit Union Washington DC Subordinated Debentures $ 

- $ 

9/29/2010 Faith Based Federal Credit Union Oceanside CA Subordinated Debentures $ 

- $ 

6 9/29/2010 Greater Kinston Credit Union Kinston NC Subordinated Debentures $ 

- $ 

9/29/2010 Hill District Federal Credit Union Pittsburgh PA Subordinated Debentures $ - $ 

6 9/29/2010 Freedom First Federal Credit Union Roanoke VA Subordinated Debentures $ - $ 

9/29/2010 Episcopal Community Federal Credit Union Los Angeles CA Subordinated Debentures $ 

- $ 

9/29/2010 Vigo County Federal Credit Union Terre Haute IN Subordinated Debentures $ 

- $ 

9/29/2010 Renaissance Community Development Credit Union Somerset NJ Subordinated Debentures $ 

- $ 

9/29/2010 Independent Employers Group Federal Credit Union Hilo HI Subordinated Debentures $ 

- $ 

9/30/2010 Brooklyn Cooperative Federal Credit Union Brooklyn NY Subordinated Debentures $ 

- $ 

Total Purc

9/ Repayment pursuant to Section 5.11 of the CDCI Exchange Agreement.4/ On 3/23/2012, Premier Bank, Wilmette, L, the banking subsidiary of Premier Bancorp, Inc., was closed by the llinois Department of Financial and Professional Regulation - Division of Banking, and the Federal Deposit Insurcreditors 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 Agreement7/ 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 Trea

TOTAL TREASURY 

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 C2/ 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.
12/29/2008 Purchase GMAC Preferred Stock w/ Exercised Warrants $ Par 12/30/2009 5,000,000,000 Exchange for convertible preferred stock $ N/A 5,000,000,000

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 $ 2,667,000,000 N/A 27 GMAC (Ally) 

12/29/2008 Purchase General Motors Corporation Debt Obligation 884,024,131 $ Par 2 5/29/2009 Exchange for equity interest in GMAC $ N/A 884,024,131 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 $ Par 2,000,000,000 4 7/10/2009 Exchange for preferred and common stock in New GM $ 2,000,000,000 N/A 7 General Motors Company 10

6/3/2009 Purchase General Motors Corporation Debt Obligation w/ Additional Note $ Par 30,100,000,000 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 97/10/2009 Debt left at Old GM 985,805,085 $ N/A 9 Motors Liquidation Company 

1/16/2009 Purchase Chrysler FinCo Debt Obligation w/ Additional Note $ Par 1,500,000,000 13 

6 7/10/2009 1

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

General Motors 

Company

10

5 7/10/2009 

Exchange for preferred and common stock in New GM $ 4,000,000,000 N/A

7

General Motors Holdings LLC

5/21/2009 Purchase GMAC Convertible Preferred Stock w/ Exercised Warrants $ Par 7,500,000,000

5/20/2009 Purchase General Motors Corporation Debt Obligation w/ Additional Note $ Par 4,000,000,000

Par

12/30/2010 22, 26 $ 1,250,000,000 Par

GMAC 

(Ally) Detroit, MI

GMAC (Ally) 2

22 12/30/2009 Partial conversion of preferred stock for common stock $ N/A 3,000,000,000

GMAC (Ally) 3

3

Convertible Preferred Stock w/ Exercised Warrants 12/30/2009 Purchase GMAC

AUTOMOTIVE INDUSTRY FINANCING PROGRAM

Initial Investment Exchange/Transfer/Other Details Treasury Inves

City, State Date Transaction Type

$ 5,500,000,000 26N/A Partial conversion of preferred stock for common stock

Amount

Pricing 

Seller Description Amount Mechanism Obligor 

Pricing 

Mechanism Date Type
1/2/2009 Purchase Chrysler Holding Debt Obligation w/ Additional Note $ Par 6/10/2009 4,000,000,000 Transfer of debt to New Chrysler $ N/A 500,000,000 19 Chrysler Holding 

4/29/2009 Purchase Chrysler Holding Debt Obligation w/ Additional Note $ - - 144/29/2009 Purchase Chrysler Holding Debt Obligation w/ Additional Note $ Par 280,130,642 15 

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 

5/20/2009 Purchase Old Chrysler Debt Obligation w/ Additional Note $ - - 17 

5/27/2009 Purchase New Chrysler

Debt Obligation w/ Additional Note, Zero Coupon Note, Equity

$ N/A 6,642,000,000

18

6/10/2009 Issuance of equity in New Chrysler $ N/A - Chrysler Group LLC 1

Chrysler Group LLC

Total Initial Investment Amount 81,344,932,551 $ 

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 rliquidation from time to time of the specified collateral security attached to such loan.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 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 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 ne6/10/2009 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 acq19. 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/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 abo11. 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 o"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 o14. 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 principa7. 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 ent9. 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 assby 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 thGMAC 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).

$ 13,604,913

Footnotes appear on following page.As used in this table and its footnotes:

Chrysler Auburn Hills, MI

Completion of bankruptcy proceeding; transfer of collateral security to liquidation trust

Chrysler 

FinCo

Farmington 

Hills, MI
City State

Adjustment

Amount 

6

7/8/2009 3 $ (500,000,000) 

7 

$ 5,000,000,000 

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 wa2/ 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 execute3/ Treasury issued notice to the institution of the permanent reduced commitment on 7/8/2009; the reduction was effective on 7/1/2009.4/ Does not include accrued and unpaid interest due on the amount of principal repayment, which interest must be paid at the time of principal repayment.5/ All outstanding principal drawn under the credit agreement was repaid.6/ Treasury's commitment was $2.5 billion (see note 3). As of 4/5/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the 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 to

N/A $ 

$ 

INITIAL TOTAL ADJUSTED TOTAL $ 413,076,735 Total Repayments $ 413,076,735

$ $ 

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 De

Name of Institution

Adjustment 

Date

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 endin35. 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 share

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 en39. 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 40. On January 23, 2014, Treasury sold 410,000 shares of Ally common stock in a private offering at $7,375 per share for gross proceeds of $3,023,750,000. 41. On April 15, 2014, Treasury sold 95,000,000 shares of Ally common stock in an IPO at $25.00 per share for net proceeds of $2,375,000,000.42. On 5/14/2014, the underwriters partially exercised their option to purchase an additional 7,245,670 shares of Ally common stock from Treasury at $25.00 resulting in additional proceeds of $181,141,750.28. 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 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 cby 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 milesFiat, 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 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, 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 $5,500,000,000.24. 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 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 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 $5,937,500,027. 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. 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 Convertof 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, Treasstock 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 subject to certain parameters up to 142,814,136 shares of common stock from time to time during the period ending on September 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 of common stock from time to time during the period ending on December 20, 2013 (or upon completion of the sale). Completion of 6/ On November 21, 2013, Treasury gave J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell, subject to cduring the period ending on February 15, 2014 (or upon completion of the sale). Completion of the sale under this authority occurre3/ On January 18, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its common stock from time to time during the period ending on April 17, 2013 (or upon completion of the sale). Completion of the sale 

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 2/ Amount represents the gross proceeds to Treasury.
Date Name of Institution City State

Capital 

Repayment Date

Capital Repayment 

Amount

Remaining 

Capital Amount

Remaining Capital 

Description Final Dispo

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 1/25/2

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 3/3/2

TOTAL $ 40,000,000,000 $ 40,000,000,000 

$ 0

Date Name of Institution City State

2 6/9/2009 Exchange preferred stock for trust preferred securities Trust Preferr

Securities w/ 

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 Preferr

Securities

7 2/4/2013

Exchange Trust preferred securities for subordinated note

Subordinated 

TOTAL $ 0 

Exchange trust preferred securities for trust preferred securities

4 9/29/2010 

1 1/16/2009 Citigroup Inc. $ 4,034,000,000 

Trust PreferrSecurities w/ 

New York NY Master Agreement $ 5,000,000,000 Preferred Stock w/ Warrants

AMOUNT To

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 exchang

Preferred Stock, Series I (TIP Shares) “dollar for dollar” for Trust Preferred Securities.2/ Repayment pursuant to Title VII, Section 7001 of the American Recovery and Reinvestment Act of 2009.

Descri

ASSET GUARANTEE PROGRAM

Footnote

Initial Investment Premium Exchange/Transfer/Other Details 

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 

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, Tthat, 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 mod1/ 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 exchangTrust Preferred Securities. 

Type

Description Amount Footnote Date 

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 

Guarantee Limit 

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 T8/ 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 aggrega

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.
Seller 

Name of Institution City State 

Transaction 

Type Investment Amount 

2, 3 4/17/2009 AIG New York NY Purchase $ Par 

29,835,000,000

TOTAL $ 69,835,000,000 

Note Date Investment Description 

$ 

2,000,000,00

Footnotes appear on following page.

1/14/2011 Common Stock (non-TARP) Transfer

N/A Common Stock

562,868,096

6

924,546,133

5 1/14/2011 Preferred Stock (Series E) Exchange

Pricing Mechanism Investment Description Amount / Shares

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 focumulative unpaid dividends for the Series D Preferred Shares due to Treasury through and including the exchange date.

2/ The investment amount reflected Treasury's commitment to invest up to $30 billion less a reduction of $165 million representing retention payments AIG Financial Products made to its employees in March 2009.

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 $11

AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM

(formerly referred to as Systemically Significant Failing Institutions Program)

Note Date 

Purchase Details 

Investment Description Pricing Mechanism 

4 1/14/2011

Preferred Stock (Series G)

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 (Series F)

Treasury Holdings Post-Recapitalization 

Transaction Type

AIA Preferred Units 16,916,603,56

$ 

ALICO Junior Preferred Interests $ 3,375,328,43

167,623,733

Preferred Stock (Series F)

Exchange ParExchange
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 (S6/ 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 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 st11/ 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 closStock, 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 t
Name of Institution City State 

7

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 $4,300,003/ 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 outsta

$ 20,000,000,000 N/A 

61

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 

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
Date

Purchase Face 

Amount 3 Pricing Mechanism 

TBA or 

PMF3 Settlement Date

Investment Amount 2, 

3

Senior 

Proc

3/19/2010 $ 4,070,000 107.75 - 3/24/2010 4,377,249 $ 

$ 

3/19/2010 $ 7,617,617 109 - 3/24/2010 8,279,156 $ 

$ 

3/19/2010 $ 8,030,000 108.875 - 3/24/2010 8,716,265 $ 

$ 

4/8/2010 $ 23,500,000 110.502 - 5/28/2010 26,041,643 $ 

$ 

4/8/2010 $ 8,900,014 107 5 - 4/30/2010 9,598,523 $ 

$ 

5/11/2010 $ 10,751,382 106.806 - 6/30/2010 11,511,052 $ 

$ 

5/11/2010 $ 12,898,996 109.42 - 6/30/2010 14,151,229 $ 

$ 

5/11/2010 $ 8,744,333 110.798 - 6/30/2010 9,717,173 $ 

$ 

5/25/2010 $ 8,417,817 110.125 - 7/30/2010 9,294,363 $ 

$ 

5/25/2010 $ 17,119,972 109.553 - 7/30/2010 18,801,712 $ 

$ 

6/17/2010 $ 34,441,059 110.785 - 8/30/2010 38,273,995 $ 

$ 

6/17/2010 $ 28 209 085 112.028 - 8/30/2010 $ 31 693 810 $ 

7/14/2010 $ 6,004,156 106.625 - 9/30/2010 $ 6,416,804 $ 7/14/2010 $ 6,860,835 108.505 - 9/30/2010 $ 7,462,726 $ 7/14/2010 $ 13 183 361 111.86 - 9/30/2010 $ 14 789 302 $ 7/29/2010 $ 2,598,386 108.4375 - 9/30/2010 $ 2,826,678 $ 7/29/2010 $ 9,719,455 106.75 - 10/29/2010 $ 10,394,984 $ 8/17/2010 $ 8 279 048 110.198 - 9/30/2010 $ 9 150 989 $ 8/17/2010 $ 5,000,000 110.088 - 10/29/2010 $ 5,520,652 $ 8/17/2010 $ 10,000,000 110.821 - 10/29/2010 $ 11,115,031 $ 

8/31/2010 $ 9 272 482 110.515 - 9/29/2010 $ 10 277 319 $ 8/31/2010 $ 10,350,000 112.476 - 10/29/2010 $ 11,672,766 $ 

8/31/2010 $ 6,900,000 105.875 - 11/30/2010 $ 7,319,688 $ 

9/14/2010 $ 8,902,230 111.584 - 10/29/2010 $ 9,962,039 $ 

9/14/2010 $ 8,050,000 110.759 - 11/30/2010 8,940,780 $ 

$ 

9/14/2010 $ 5,750,000 106 5 - 11/30/2010 6,134,172 $ 

$ 

9/14/2010 $ 5,741,753 110 5 - 11/30/2010 $ 6,361,173 $ 

9/28/2010 $ 3,450,000 110.875 - 11/30/2010 $ 3,834,428 $ 

9/28/2010 $ 11,482,421 113.838 - 12/30/2010 13,109,070 $ 

$ 

9/28/2010 $ 13,402,491 113 9 - 11/30/2010 15,308,612 $ 

$ 

9/28/2010 $ 14,950,000 114.006 - 12/30/2010 $ 17,092,069 $ 

Total Purchase Face Amount $ 332,596,893 Total Senior Security Proceeds 

$ 

TOTAL INVESTMENT AMOUNT 368,145,452 $ 

8/ The sum of Current Face Amount and Life-to-date Principal Received will equal Purchase Face Amount for CUS Ps that were originally purchased as TBAs only after the applicable month's factor has been pu

--

Floating Rate SBA 7a security due 2017Floating Rate SBA 7a security due 2034Floating Rate SBA 7a security due 2020 -Floating Rate SBA 7a security due 2020Floating Rate SBA 7a security due 2019Floating 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 2020Floating Rate SBA 7a security due 2025Floating Rate SBA 7a security due 2034Floating Rate SBA 7a security due 2020Floating 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 seis 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 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 rethe 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 vaMaster Purchase Agreement.

CREDIT MARKET PROGRAMS

SBA 7a SECURITIES PURCHASE PROGRAM

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 2034Floating 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 adj6/ 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 PMthe 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
Name of Institution City State Date Amount Date Amount Am

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 $ $ 1

2 9/30/2009 UST/TCW Senior Mortgage Securities Fund, L.P. Wilmington DE Purchase Debt Ob igation w/ Contingent Proceeds 2,222,222,222 $ Par 1/4/2010 4 200,000,000 $ 1/4/2010 4 200,000,000 $ 2

$ 

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 $ 5

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 $ 1,1

$ 

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 Inve

Amou
Name of Institution City State Date Amount Date Amount Am

Footnote Date 

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Inve

Amou

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 $ 1,1

$ 

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 $ 2,2

$ 

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 $ $ 1,0

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 2,1

$ 
Name of Institution City State Date Amount Date Amount Am

Footnote Date 

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Inve

Amou

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 $ 5

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 $ $ 1,0

1 10/30/2009 AG GECC PPIF Master Fund, L.P. Wilmington DE Purchase Membership Interest $ Par 3/22/2010 6 1,271,337,500 1,111,111,111 $ 7/16/2010 1,243,275,000 $ 1,1

$ 

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 $ $ 2,2
Name of Institution City State Date Amount Date Amount Am

Footnote Date 

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Inve

Amou

1 11/4/2009 RLJ Western Asset Pub ic/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 $ 6

2 11/4/2009 RLJ Western Asset Pub ic/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 $ $ 1,2

1 11/25/2009 Marathon Legacy Secur ties 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 $ 4

2 11/25/2009 Marathon Legacy Secur ties 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 $ 9
Name of Institution City State Date Amount Date Amount Am

Footnote Date 

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Inve

Amou

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 $ $ 5
Name of Institution City State Date Amount Date Amount Am

Footnote Date 

Seller

Transaction 

Type Investment Description 

Commitment 

Amount

Pricing 

Mechanism

Preliminary Adjusted 

Commitment 3 Final Commitment Amount 7

Final Inve

Amou

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 $ $ 1,1

$ 30,000,000,000 $ 21,856,403,574 

TOTAL CAPITA

12/ On 08/23/2012, AllianceBernstein agreed to de-obligate its unused debt comm tment. 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 14/ On 7/8/2013, Invesco Mortgage Recovery Master Fund L.P. made a distr bution to Treasury arising from the Settlement Agreement between Jefferies LLC and Invesco Advisers, Inc. dated as of 3/20/2013.6/ Fo lowing 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 ob igation and $267 million of maximum debt obligation were reallocated per fund

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 w th the Limited Partnership Agreement. As a resu t, the Final Investment Amount, representing Treasury's debt ob igation, 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.

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 equ ty 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 investme

INITIAL COMMITMENT AMOUNT FINAL COMMITMENT AMOUNT
U.S. Treasury Department

Office of Financial Stabil ty

Troubled Asset Relief Program

Transactions Report - Housing Programs

For Period Ending 5/28/2014

MAKING HOME AFFORDABLE PROGRAM

Name of Institution City State Pricing Mechanism Note

21st Mortgage Corporation Knoxville TN - N/A 3 AgFirst Farm Credit Bank Columbia SC $ 100,000 N/A 

Allstate Mortgage Loans & Investments, Inc. Ocala FL $ 250,000 N/A 

Amarillo National Bank Amarillo TX $ 100,000 N/A American Eagle Federal Credit Union East Hartford CT $ 1,590,000 N/A 

American Finance House LARIBA Pasadena CA $ 100,000 N/A 

American Financial Resources Inc. Parsippany NJ $ 100,000 N/A AMS Servicing, LLC Buffalo NY $ 4,390,000 N/A 

12/212/111/110/109/206/206/104/111/109/106/205/104/103/303/101/009/307/1

03/212/3

09/23/2009 Purchase Financial Instrument for Home Loan Modifications 10/0

03/2

12/203/2

09/206/2

06/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

02/0

09/24/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

01/206/203/301/0

09/307/1

03/2

12/09/2009 Purchase Financial Instrument for Home Loan Mod fications 01/2

03/212/2

03/209/2

06/206/2

09/30/2010 Purchase Financial Instrument for Home Loan Mod fications 09/3

03/2

12/203/2

09/206/2

06/209/307/103/2

12/3

09/11/2009 Purchase Financial Instrument for Home Loan Modifications 10/0

03/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

04/103/201/1

12/2

12/103/2

03/14/2013 Purchase Financial Instrument for Home Loan Modifications 03/1

Servicer Modifying Borrowers' Loans 

Date Transaction 

Type

Investment Description Cap of Incentive Payments on Behalf of 

Borrowers and to Servicers & 

Ad
Aurora Financial Group, Inc. Marlton NJ $ 10,000 N/A Aurora Loan Services, LLC Littleton CO $ 798,000,000 N/A 

11 

Banco Popular de Puerto Rico San Juan PR $ 1,700,000 N/A Bangor Savings Bank Bangor ME - N/A 3 Bank of America, N.A. Simi Valley CA $ 798,900,000 N/A 

07/1

03/201/212/309/3

04/17/2009 Purchase Financial Instrument for Home Loan Modifications 06/1

09/15/2011 Purchase Financial Instrument for Home Loan Modifications 09/1

05/104/103/201/112/209/209/106/203/212/209/206/206/203/301/0

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

07/006/206/105/103/211/109/208/208/107/106/204/103/110/106/205/103/301/0

09/309/0

07/1

03/212/309/3

05/01/2009 Purchase Financial Instrument for Home Loan Modifications 06/1

03/212/206/2

03/212/2

09/206/2

06/209/3

05/21/2010 Purchase Financial Instrument for Home Loan Modifications 05/2

04/1

03/203/101/112/212/111/110/109/209/107/106/206/105/104/103/203/102/101/1
7 7 

Bank of America, N.A. (BAC Home Loans Servicing, LP) Simi Valley CA $ 1,864,000,000 N/A Bank United Miami Lakes FL $ 93,660,000 N/A 

10/23/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

05/104/103/203/102/101/112/212/111/110/110/109/209/108/107/106/206/105/104/103/203/102/101/112/212/111/110/109/208/108/107/106/206/105/104/103/102/112/111/110/110/109/108/107/106/206/105/104/103/303/102/101/012/109/309/3

07/106/104/103/201/212/309/3

04/17/2009 Purchase Financial Instrument for Home Loan Modifications 06/1

10/1

08/106/205/111/1

10/108/1

06/2

03/301/009/309/3
Bay Federal Credit Union Capitola CA $ 410,000 N/A 

Bay Gulf Credit Union Tampa FL $ 230,000 N/A Bayview Loan Servicing, LLC Coral Gables FL $ 44,260,000 N/A 

12/111/110/109/209/107/106/206/105/104/103/203/102/101/112/212/111/110/109/207/106/206/105/104/103/102/101/110/109/106/205/104/103/301/0

09/3

09/3

07/1

05/0

03/212/3

07/01/2009 Purchase Financial Instrument for Home Loan Modifications 09/3

10/1

09/3

07/103/2

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

01/206/2

03/301/0

09/307/1

03/212/3

09/16/2009 Purchase Financial Instrument for Home Loan Modifications 10/0

03/2

02/112/212/111/109/209/106/205/1

03/202/112/209/2

06/203/106/203/303/101/009/307/103/2
BMO Harris Bank, NA Chicago IL - N/A 3 Bramble Savings Bank Cincinanati OH $ 700,000 N/A 

Bridgelock Capital dba Peak Loan Servicing Woodland Hills CA - N/A 3 Caliber Home Loans, Inc (Vericrest Financial, Inc.) Oklahoma City OK - N/A 3 California Housing Finance Agency Sacramento CA - N/A 3 Capital International Financial, Inc. Coral Gables FL $ 100,000 N/A Carrington Mortgage Services, LLC Santa Ana CA $ 195,000,000 N/A 

12/111/110/109/208/107/106/206/105/104/102/111/109/108/106/203/301/101/012/109/308/107/1

03/212/309/3

04/27/2009 Purchase Financial Instrument for Home Loan Modifications 06/1

03/212/203/209/206/206/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

03/2

03/14/2014 Purchase Financial Instrument for Home Loan Modifications 03/1

03/2

03/102/101/112/209/206/205/103/201/112/211/109/206/204/101/112/107/106/203/303/102/101/009/3

09/15/2010 Purchase Financial Instrument for Home Loan Modifications 09/1

04/112/1

07/16/2013 Purchase Financial Instrument for Home Loan Modifications 07/1

08/1

06/203/301/0

08/20/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

05/15/2014 Purchase Financial Instrument for Home Loan Modifications 05/1

05/104/103/203/102/101/112/2
CCO Mortgage, a division of RBS Citizens NA Glen Allen VA $ 16,520,000 N/A Central Florida Educators Federal Credit Union Lake Mary FL $ 1,250,000 N/A Central Jersey Federal Credit Union Woodbridge NJ $ 30,000 N/A 

Centrue Bank Ottawa IL $ 1,900,000 N/A Chase Home Finance, LLC Iselin NJ $ 3,552,000,000 N/A 1 

Cheviot Savings Bank Cincinnati OH - N/A 3 CitiMortgage, Inc. O'Fallon MO $ 2,071,000,000 N/A 

08/107/107/106/105/104/1

03/212/309/3

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 06/1

06/2

06/14/2013 Purchase Financial Instrument for Home Loan Modifications 06/1

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 07/3

03/0

01/0

09/24/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

10/209/307/103/2

12/3

09/23/2009 Purchase Financial Instrument for Home Loan Modifications 10/0

03/212/209/206/203/212/209/206/206/203/301/009/307/103/212/3

09/09/2009 Purchase Financial Instrument for Home Loan Modifications 10/0

03/2

12/2

09/2

06/2

03/2

12/2

09/2

06/2

06/2

03/301/0

09/3

07/1

03/2

12/3

06/17/2009 Purchase Financial Instrument for Home Loan Modifications 09/3

05/1

04/1

03/2

03/1

02/1

01/1

12/2

12/1

11/110/1

09/209/1

07/1

06/206/105/1

04/1

03/203/1

02/1

01/1

12/2
Citizens Community Bank Freeburg IL $ 800,000 N/A 

Citizens First National Bank Spring Valley IL $ 620,000 N/A Citizens First Wholesale Mortgage Company The Villages FL $ 30,000 N/A 

07/103/212/3

06/26/2009 Purchase Financial Instrument for Home Loan Modifications 09/3

05/1

03/2

12/2

09/2

06/2

03/212/2

09/2

06/2

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03/3

01/0

09/307/1

03/2

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

03/201/0

09/24/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

05/104/1

03/203/102/101/112/2

12/111/109/209/107/1

06/206/104/103/203/102/112/212/111/110/109/208/107/207/106/206/105/1

04/103/102/101/1

12/111/110/109/1

08/107/106/206/1

05/104/1

03/303/102/101/101/011/110/109/309/3

09/1
Columbia Bank Fair Lawn NJ - N/A 3 

Community Bank & Trust Company Clarks Summit PA $ 380,000 N/A 

Community Credit Union of Florida Rockledge FL $ 2,000,000 N/A 

6 

CU Mortgage Services, Inc. New Brighton MN $ 100,000 N/A CUC Mortgage Corporation Albany NY $ 4,350,000 N/A 

Desjardins Bank N.A. Hallandale Beach FL - N/A 3 

Digital Federal Credit Union Marlborough MA $ 3,050,000 N/A DuPage Credit Union Naperville IL $ 70,000 N/A 

Eaton National Bank & Trust Company Eaton OH $ 60,000 N/A 

EMC Mortgage Corporation Lewisville TX $ 707,380,000 N/A 

8 

Everbank Jacksonville FL - N/A 3 

07/16/2013 Purchase Financial Instrument for Home Loan Modifications 07/1

10/107/106/205/103/3

03/102/1

01/012/110/109/309/3

07/107/103/212/3

07/31/2009 Purchase Financial Instrument for Home Loan Modifications 09/3

05/209/307/1

12/23/2009 Purchase Financial Instrument for Home Loan Modifications 03/2

03/212/203/209/206/209/307/103/2

10/30/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

05/1

01/15/2010 Purchase Financial Instrument for Home Loan Modifications 03/212/16/2013 Purchase Financial Instrument for Home Loan Modifications 12/1

03/212/209/206/203/212/209/206/206/203/3

01/009/307/103/212/3

09/09/2009 Purchase Financial Instrument for Home Loan Modifications 10/0

03/212/203/209/206/206/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

09/1

06/206/203/301/0

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

03/2

12/203/209/206/206/209/307/103/2

12/04/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

05/15/2014 Purchase Financial Instrument for Home Loan Modifications 05/1

02/109/3
Farmers State Bank West Salem OH $ 170,000 N/A 

Fay Servicing, LLC Chicago IL $ 3,100,000 N/A FCI Lender Services, Inc. Anaheim Hills CA - N/A 3 

03/102/112/211/110/109/207/106/206/105/104/103/203/102/101/112/212/111/110/109/208/107/106/206/105/111/109/107/106/206/1

05/13/2011 Purchase Financial Instrument for Home Loan Modifications 05/1

05/104/103/203/102/101/112/212/111/110/109/209/108/107/106/206/105/104/103/203/102/101/112/210/109/208/107/106/2

06/105/104/1

12/1

11/110/1

09/106/204/103/301/0

09/03/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

05/209/307/103/2

12/3

07/17/2009 Purchase Financial Instrument for Home Loan Modifications 09/3
Fidelity Homestead Savings Bank New Orleans LA $ 2,940,000 N/A FIRST BANK St. Louis MO $ 6,460,000 N/A First Citizens Bank & Trust Company Hendersonville NC - N/A 3 First Federal Bank of Florida Lake City FL $ 100,000 N/A First Federal Savings and Loan Port Angeles WA $ 770,000 N/A 

First Federal Savings and Loan Association of Lakewood Lakewood OH $ 3,460,000 N/A First Financial Bank, N.A. Terre Haute ID $ 4,300,000 N/A First Keystone Bank Media PA $ 1,280,000 N/A 

6 

First Mortgage Corporation Diamond Bar CA $ 100,000 N/A First National Bank of Grant Park Grant Park IL $ 140,000 N/A 

07/1

01/13/2010 Purchase Financial Instrument for Home Loan Modifications 03/2

03/212/203/209/206/206/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

07/206/206/103/301/009/307/103/2

11/25/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

03/212/2

09/206/203/2

12/209/2

06/206/2

03/301/0

08/27/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

04/2

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

05/2

03/2

06/19/2009 Purchase Financial Instrument for Home Loan Modifications 12/3

03/212/2

03/209/2

06/206/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

05/15/2014 Purchase Financial Instrument for Home Loan Modifications 05/1

03/212/2

06/203/2

12/209/2

06/206/203/301/0

09/307/1

03/212/3

07/29/2009 Purchase Financial Instrument for Home Loan Modifications 09/3

03/2

12/209/2

06/203/212/209/206/206/203/301/0

09/307/1

03/2

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

05/104/1

03/2
First Safety Bank Cincinnati OH $ 400,000 N/A Flagstar Capital Markets Corporation Troy MI $ 800,000 N/A 

Florida Community Bank, NA Weston FL - N/A 3 

Franklin Credit Management Corporation Jersey City NJ $ 27,510,000 N/A 

Franklin Savings Cincinnati OH $ 1,700,000 N/A 

6 

Fresno County Federal Credit Union Fresno CA $ 260,000 N/A 

6 

Gateway Mortgage Group, LLC Tulsa OK $ 100,000 N/A GFA Federal Credit Union Gardner MA $ 100,000 N/A Glass City Federal Credit Union Maumee OH $ 230,000 N/A 

09/2

06/206/2

09/307/1

03/212/3

09/23/2009 Purchase Financial Instrument for Home Loan Modifications 10/0

03/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

03/2

12/203/2

09/206/2

06/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

07/006/2

06/203/3

01/009/307/1

01/13/2010 Purchase Financial Instrument for Home Loan Mod fications 03/2

10/209/2

06/206/103/212/209/206/206/203/3

01/0

09/30/2010 Purchase Financial Instrument for Home Loan Mod fications 09/3

03/203/112/2

09/206/203/2

12/209/2

06/210/1

06/203/3

02/101/0

09/307/1

03/212/3

09/11/2009 Purchase Financial Instrument for Home Loan Modifications 10/0

04/103/2

02/13/2014 Purchase Financial Instrument for Home Loan Modifications 02/1

03/212/209/206/2

03/212/2

09/206/206/203/3

01/0

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

03/201/0

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

01/209/3
Glenview State Bank Glenview IL $ 370,000 N/A 

GMAC Mortgage, Inc. Ft. Washington PA $ 633,000,000 N/A 

Golden Plains Credit Union Garden City KS $ 170,000 N/A Grafton Suburban Credit Union North Grafton MA $ 340,000 N/A 

Great Lakes Credit Union North Chicago IL $ 570,000 N/A 

09/307/1

03/2

10/14/2009 Purchase Financial Instrument for Home Loan Modifications 12/3

01/206/203/301/0

09/3

07/1

03/2

12/23/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

02/109/307/1

03/2

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

05/1

04/1

03/2

03/1

02/101/112/212/111/110/109/209/1

06/206/103/203/1

02/101/112/212/111/109/2

08/106/2

06/1

05/104/1

03/101/112/111/1

10/109/1

08/107/1

06/2

05/104/103/303/101/012/109/309/308/107/105/103/212/309/3

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 06/1

05/203/2

12/11/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

03/212/209/2

06/203/212/2
Greater Nevada Mortgage Services Carson City NV $ 770,000 N/A 

Green Tree Servicing LLC Saint Paul MN $ 156,000,000 N/A Gregory Funding, LLC Beaverton OR - N/A 3 

09/208/106/2

01/111/1

07/14/2011 Purchase Financial Instrument for Home Loan Modifications 07/1

05/104/103/202/112/2

12/111/1

10/109/2

08/1

07/1

06/205/1

03/202/112/211/1

10/109/208/107/1

06/206/1

05/103/1

02/111/1

10/109/1

07/106/2

06/105/1

03/301/0

10/109/3

09/309/108/107/1

07/1

03/212/309/3

04/24/2009 Purchase Financial Instrument for Home Loan Modifications 06/1

03/212/209/206/203/212/209/206/206/203/301/009/307/1

01/13/2010 Purchase Financial Instrument for Home Loan Modifications 03/2

03/212/209/206/203/212/209/206/206/203/301/0
Guaranty Bank Saint Paul MN $ 100,000 N/A Harleysville National Bank & Trust Company Harleysville PA $ 1,070,000 N/A 

Hartford Savings Bank Hartford WI $ 630,000 N/A Heartland Bank & Trust Company Bloomington IL - N/A 3 Hillsdale County National Bank Hillsdale MI $ 1,670,000 N/A Home Financing Center, Inc Coral Gables FL $ 230,000 N/A Home Loan Services, Inc. Pittsburgh PA $ 319,000,000 N/A 

7 

Home Servicing, LLC Baton Rouge LA - N/A 3 

07/106/205/104/103/2

02/14/2013 Purchase Financial Instrument for Home Loan Modifications 02/1

10/106/205/103/303/102/101/012/109/309/3

07/103/2

12/309/3

04/20/2009 Purchase Financial Instrument for Home Loan Modifications 06/1

11/25/2009 Purchase Financial Instrument for Home Loan Modifications 04/2

03/2

12/209/206/203/212/209/206/206/203/301/009/307/1

03/2

11/18/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

05/15/2014 Purchase Financial Instrument for Home Loan Modifications 05/1

03/2

12/209/2

06/203/212/209/206/206/203/301/0

09/307/1

03/2

12/11/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

10/28/2009 Purchase Financial Instrument for Home Loan Modifications 04/2

03/2

12/203/2

09/206/2

06/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

04/103/2

03/112/211/109/2

06/206/1

05/103/202/101/1

12/212/110/1
HomEq Servicing North Highlands CA $ 674,000,000 N/A 

13 

HomeStar Bank & Financial Services Manteno IL $ 310,000 N/A 

6 

Homeward Residential, Inc. (American Home Mortgage Servicing, Inc) Coppell TX $ 1,272,490,000 N/A 

14 

Horicon Bank Horicon WI $ 560,000 N/A 

03/212/3

09/02/2009 Purchase Financial Instrument for Home Loan Modifications 10/0

05/204/1

03/212/212/109/207/106/205/104/103/203/102/101/112/212/111/110/109/208/107/106/205/111/110/109/106/204/103/302/101/011/110/109/307/1

03/212/3

07/22/2009 Purchase Financial Instrument for Home Loan Modifications 09/3

07/0

06/206/203/301/0

09/307/1

03/2

12/11/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

02/212/211/1

09/206/203/212/212/109/2

08/1

06/206/203/302/1

01/012/110/109/307/103/2

12/3

08/05/2009 Purchase Financial Instrument for Home Loan Modifications 09/3

03/212/209/2
Horizon Bank, NA Michigan City IN $ 700,000 N/A 

Iberiabank Sarasota FL $ 4,230,000 N/A 

6 

IBM Southeast Employees' Federal Credit Union Delray Beach FL $ 870,000 N/A 

6 

IC Federal Credit Union Fitchburg MA $ 760,000 N/A Idaho Housing and Finance Association Boise ID $ 9,430,000 N/A iServe Residential Lending, LLC San Diego CA $ 960,000 N/A 

03/301/011/109/309/3

07/1

01/29/2010 Purchase Financial Instrument for Home Loan Modifications 03/2

03/212/206/203/212/209/206/206/209/307/105/203/2

12/04/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

03/212/209/206/203/212/209/206/206/203/301/009/307/105/1

03/2

10/23/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

09/106/2

06/203/3

01/009/3

07/103/212/3

07/10/2009 Purchase Financial Instrument for Home Loan Modifications 09/3

06/0

04/1

03/3

01/009/307/1

03/2

12/23/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

09/206/206/203/3

01/009/3

07/103/2

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

03/212/209/2

06/203/2

12/209/2

06/206/2

09/309/3

07/105/1
iServe Servicing, Inc. Irving TX $ 28,040,000 N/A James B. Nutter & Company Kansas City MO $ 300,000 N/A 

JP Morgan Chase Bank, NA Lewisville TX $ 2,699,720,000 N/A 

06/206/1

05/1

04/103/203/1

02/1

01/1

12/212/111/110/109/208/1

07/106/2

06/105/102/1

01/111/1

10/110/1

09/108/1

07/106/205/104/1

03/303/1

01/009/309/3

07/103/212/3

07/31/2009 Purchase Financial Instrument for Home Loan Modifications 09/3

03/212/209/2

06/203/2

12/209/206/206/2

03/301/0

09/24/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

03/212/2

11/109/207/106/203/2

12/209/2

06/206/2

03/301/011/109/309/3

07/1

03/05/2010 Purchase Financial Instrument for Home Loan Modifications 05/2

03/212/209/2

06/203/212/209/206/206/2
Kondaur Capital Corporation Orange CA - N/A 3 Lake City Bank Warsaw IN $ 420,000 N/A Lake National Bank Mentor OH $ 100,000 N/A 

6 

LenderLive Network, Inc Glendale CO - N/A 3 Liberty Bank and Trust Co New Orleans LA $ 1,000,000 N/A Litton Loan Servicing, LP Houston TX $ 774,900,000 N/A 

03/303/101/012/110/109/309/108/107/103/2

12/3

08/12/2009 Purchase Financial Instrument for Home Loan Modifications 09/3

03/212/209/206/203/212/209/206/206/203/301/0

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

05/103/203/1

01/16/2014 Purchase Financial Instrument for Home Loan Modifications 01/1

08/206/206/203/301/009/307/103/2

12/3

07/10/2009 Purchase Financial Instrument for Home Loan Modifications 09/3

03/212/209/206/203/212/209/206/206/209/307/103/2

12/3

08/05/2009 Purchase Financial Instrument for Home Loan Modifications 09/3

03/203/112/207/106/105/104/102/101/112/1

11/15/2012 Purchase Financial Instrument for Home Loan Modifications 11/1

05/1

04/103/203/102/101/112/212/111/110/109/209/108/107/1
12 

Los Alamos National Bank Los Alamos NM $ 700,000 N/A M&T Bank Buffalo NY $ 700,000 N/A Magna Bank Germantown TN $ 1,400,000 N/A Mainstreet Credit Union Lexena KS $ 500,000 N/A 

Marix Servicing, LLC Phoenix AZ $ 20,360,000 N/A 

03/303/101/0

09/309/3

08/107/106/103/2

11/25/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

03/0

01/0

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

03/212/209/206/203/212/209/206/206/203/3

01/0

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

05/104/103/202/1

12/209/2

06/203/212/209/206/206/203/301/0

09/30/2010 Purchase Financial Instrument for Home Loan Mod fications 09/3

03/2

12/209/2

06/203/212/209/206/206/203/301/0

09/307/1

03/2

11/06/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

01/301/112/212/109/206/203/212/209/208/106/202/101/112/111/110/109/107/106/206/105/104/1
Marsh Associates, Inc. Charlotte NC $ 100,000 N/A Members Mortgage Company, Inc Woburn MA $ 510,000 N/A 

Metropolitan National Bank Little Rock AR $ 280,000 N/A Mid America Mortgage, Inc. (Schmidt Mortgage Company) Rocky River OH $ 100,000 N/A Midland Mortgage Company Oklahoma City OK $ 43,500,000 N/A Midwest Bank and Trust Co. Elmwood Park IL $ 300,000 N/A 

Midwest Community Bank Freeport IL $ 400,000 N/A 

03/212/209/206/206/203/301/0

09/15/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

07/106/203/301/009/3

04/14/2010 Purchase Financial Instrument for Home Loan Modifications 07/1

03/212/209/206/203/212/209/207/207/106/206/203/301/0

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

03/212/203/209/206/206/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

01/201/009/307/1

03/212/3

09/11/2009 Purchase Financial Instrument for Home Loan Modifications 10/0

10/28/2009 Purchase Financial Instrument for Home Loan Modifications 04/2

10/103/209/206/206/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

03/212/209/207/106/206/105/104/103/203/102/112/211/110/109/208/106/206/104/102/101/108/107/106/206/105/104/1
Mission Federal Credit Union San Diego CA $ 860,000 N/A 

MorEquity, Inc. Evansville IN $ 23,480,000 N/A 

5 

Mortgage Center, LLC Southfield MI $ 4,210,000 N/A Mortgage Clearing Corporation Tulsa OK $ 4,860,000 N/A 

National City Bank Miamisburg OH $ 294,980,000 N/A Nationstar Mortgage LLC Lewisville TX $ 101,000,000 N/A 

09/3

05/28/2009 Purchase Financial Instrument for Home Loan Modifications 06/1

03/203/112/209/206/203/212/209/206/206/103/102/101/111/110/106/206/105/104/103/303/102/101/009/309/3

07/103/2

12/3

06/26/2009 Purchase Financial Instrument for Home Loan Modifications 09/3

03/0

09/307/1

03/2

10/14/2009 Purchase Financial Instrument for Home Loan Modifications 12/3

03/212/209/206/203/212/209/206/206/203/301/009/3

07/103/2

12/3

07/22/2009 Purchase Financial Instrument for Home Loan Modifications 09/3

05/203/303/101/009/307/1

03/212/3

07/17/2009 Purchase Financial Instrument for Home Loan Modifications 09/3

03/2

12/203/209/206/2

06/203/3

09/307/1

03/212/3

07/22/2009 Purchase Financial Instrument for Home Loan Modifications 09/3

03/212/209/206/2
Nationwide Advantage Mortgage Company Des Moines IA - N/A 3 

Navy Federal Credit Union Vienna VA $ 60,780,000 N/A New York Community Bank (AmTrust Bank) Cleveland OH - N/A 3 

03/212/209/207/106/203/212/209/206/208/106/206/105/1

04/13/2011 Purchase Financial Instrument for Home Loan Modifications 04/1

03/212/209/206/203/212/209/206/206/203/301/009/3

03/10/2010 Purchase Financial Instrument for Home Loan Modifications 07/1

05/1

12/16/2013 Purchase Financial Instrument for Home Loan Modifications 12/1

05/104/103/203/102/101/112/212/111/110/109/209/107/107/006/206/105/104/103/203/102/112/212/111/1

09/208/208/107/106/206/1

05/103/111/1

06/205/203/303/102/101/0

12/111/1

09/309/3

08/107/1

03/212/3
Oakland Municipal Credit Union Oakland CA $ 140,000 N/A 

6 

Ocwen Loan Servicing LLC West Palm Beach FL $ 659,000,000 N/A OneWest Bank Pasadena CA $ 668,440,000 N/A 

06/203/212/209/206/206/203/301/009/309/3

07/103/212/3

08/28/2009 Purchase Financial Instrument for Home Loan Modifications 10/0

05/205/104/103/203/102/202/101/301/112/212/111/110/109/209/107/106/206/105/104/104/003/203/102/101/112/212/111/110/109/208/107/106/206/105/103/102/101/110/106/203/302/101/010/109/309/107/107/106/103/212/309/3

04/16/2009 Purchase Financial Instrument for Home Loan Modifications 06/1

07/206/204/103/301/009/307/103/2

12/3

08/05/2009 Purchase Financial Instrument for Home Loan Modifications 09/3
ORNL Federal Credit Union Oak Ridge TN $ 2,070,000 N/A Park View Federal Savings Bank Solon OH $ 760,000 N/A 

6 

Pathfinder Bank Oswego NY $ 1,300,000 N/A PennyMac Loan Services, LLC Calasbasa CA $ 6,210,000 N/A 

06/206/104/103/101/112/111/110/109/107/106/206/105/104/103/303/102/101/101/012/111/109/309/3

09/1

08/107/1

07/1

06/1

03/212/3

08/12/2009 Purchase Financial Instrument for Home Loan Modifications 09/3

03/2

12/2

09/206/203/212/209/2

06/206/203/301/0

08/25/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

09/106/206/203/301/009/307/1

03/2

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

03/212/209/206/203/212/209/206/206/203/301/009/3

07/1

03/2

12/3

09/11/2009 Purchase Financial Instrument for Home Loan Modifications 10/0

03/203/102/101/112/212/111/110/109/2
PHH Mortgage Corporation Mt. Laurel NJ - N/A 3 Plaza Home Mortgage, Inc San Diego CA - N/A 3 PNC Bank, National Association Pittsburgh PA $ 54,470,000 N/A PrimeWest Mortgage Corporation Lubbock TX - N/A 3 Purdue Employees Federal Credit Union West Lafayette IN $ 1,090,000 N/A QLending, Inc. Coral Gables FL $ 20,000 N/A 

03/212/203/209/206/206/209/307/1

11/18/2009 Purchase Financial Instrument for Home Loan Modifications 03/2

03/212/209/206/203/212/209/206/206/203/301/009/307/1

03/212/3

07/29/2009 Purchase Financial Instrument for Home Loan Modifications 09/3

03/15/2012 Purchase Financial Instrument for Home Loan Modifications 03/1

03/2

12/2

09/206/2

04/003/212/209/206/210/1

06/205/1

03/301/0

09/309/307/1

03/2

12/3

07/17/2009 Purchase Financial Instrument for Home Loan Modifications 09/3

11/14/2013 Purchase Financial Instrument for Home Loan Modifications 11/1

03/2

12/209/207/106/203/212/210/109/206/2

09/15/2011 Purchase Financial Instrument for Home Loan Modifications 09/1

05/103/203/102/112/210/109/206/206/104/103/202/112/212/110/109/208/107/1
Quantum Servicing Corporation Tampa FL $ 18,960,000 N/A 

6 

Quicken Loans Inc Detroit MI - N/A 3 RBC Bank (USA) Raleigh NC $ 100,000 N/A 

9 

Residential Credit Solutions, Inc. Fort Worth TX $ 19,400,000 N/A 

03/102/1

01/1

12/2

12/1

10/1

09/2

09/1

07/1

06/2

06/1

05/104/1

03/2

03/1

02/1

12/2

11/1

10/1

09/2

07/1

06/206/1

05/111/1

09/106/2

04/103/301/009/3

09/3

07/103/212/3

06/12/2009 Purchase Financial Instrument for Home Loan Modifications 09/3

04/006/1

03/1

06/203/301/0

09/01/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

05/103/108/1

12/14/2012 Purchase Financial Instrument for Home Loan Modifications 12/1

02/2

12/2

11/1

09/207/106/2

04/103/2

12/211/1

10/109/206/206/1

01/109/1

08/107/1

06/206/1

05/104/1

03/302/1

01/101/009/307/1

03/2

11/18/2009 Purchase Financial Instrument for Home Loan Modifications 01/2
Resurgent Capital Solutions L.P. Greenville SC - N/A 3 RG Mortgage Corporation San Juan PR $ 57,000,000 N/A Roebling Bank Roebling NJ $ 240,000 N/A 

RoundPoint Mortgage Servicing Corporation Charlotte NC $ 570,000 N/A 

04/103/203/102/101/112/212/109/209/107/106/206/104/103/212/211/109/206/206/203/303/101/009/307/103/212/3

08/28/2009 Purchase Financial Instrument for Home Loan Modifications 10/0

03/2

01/0

09/3

07/1

01/13/2010 Purchase Financial Instrument for Home Loan Modifications 03/2

03/212/209/2

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03/2

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09/2

06/2

06/2

03/3

01/0

12/1

09/3

07/1

04/0

03/212/3

06/17/2009 Purchase Financial Instrument for Home Loan Modifications 09/3

05/1

04/103/203/102/101/112/2

12/111/1

10/109/207/106/206/105/1

03/203/1

02/101/112/209/2

06/2

06/14/2012 Purchase Financial Instrument for Home Loan Mod fications 06/1

05/104/103/2
Rushmore Loan Management Services 

LLC Irvine CA - N/A 3 

Saxon Mortgage Services, Inc. Irving TX $ 407,000,000 N/A 

10 

Schools Financial Credit Union Sacramento CA $ 390,000 N/A 

12/209/206/206/203/301/009/307/103/2

12/3

09/23/2009 Purchase Financial Instrument for Home Loan Modifications 10/0

04/003/201/112/212/111/110/109/208/107/106/206/105/104/103/102/112/109/108/107/106/204/103/303/101/101/012/110/1

09/309/3

09/107/107/106/1

03/2

12/309/3

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 06/1

05/104/103/203/101/112/212/111/110/109/209/106/206/105/104/103/203/102/101/112/211/110/109/208/106/204/1

12/15/2011 Purchase Financial Instrument for Home Loan Modifications 12/1
Scotiabank de Puerto Rico San Juan PR - N/A 3 SEFCU Albany NY $ 440,000 N/A 

Select Portfolio Servicing, Inc. Salt Lake City UT $ 376,000,000 N/A 

03/102/101/112/212/111/110/109/209/108/107/106/206/105/104/103/203/102/101/112/212/111/110/109/208/107/106/206/105/104/103/101/111/110/109/108/106/206/105/104/103/303/102/101/101/012/111/109/309/3

07/103/212/309/3

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 06/1

04/106/209/307/1

03/212/3

09/25/2009 Purchase Financial Instrument for Home Loan Modifications 10/0

03/2

12/209/2

06/203/212/209/206/206/2

01/0

12/15/2010 Purchase Financial Instrument for Home Loan Modifications 12/1

03/212/209/206/203/2
Selene Finance LP Houston TX - N/A 3 Servis One, Inc., dba BSI Financial Services, Inc. Titusville PA $ 29,730,000 N/A 

03/203/102/101/112/212/111/110/109/208/106/206/105/104/103/102/101/112/111/110/109/108/106/206/105/104/103/303/102/101/101/012/110/109/309/3

09/107/105/1

04/103/2

12/3

08/12/2009 Purchase Financial Instrument for Home Loan Modifications 09/3

04/103/2

03/112/2

09/2

07/1

06/2

05/103/2

03/1

12/2

11/1

09/2

08/1

07/106/2

06/105/104/1

11/1

10/1

06/2

06/1

04/1

03/3

03/1

01/0

10/1

09/3

08/1

06/16/2010 Purchase Financial Instrument for Home Loan Modifications 06/1

05/104/1

03/2
ShoreBank Chicago IL $ 1,410,000 N/A 

6 

Silver State Schools Credit Union Las Vegas NV $ 1,880,000 N/A 

6 

SN Servicing Corporation Baton Rouge LA - N/A 3 Sound Community Bank Seattle WA $ 440,000 N/A 

Specialized Loan Servicing LLC Highlands Ranch CO $ 64,150,000 N/A 

05/104/103/102/101/112/110/109/108/106/206/105/104/103/303/101/101/011/109/309/108/107/107/106/105/1

01/13/2010 Purchase Financial Instrument for Home Loan Modifications 03/2

09/007/103/2

12/16/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

12/1

10/15/2013 Purchase Financial Instrument for Home Loan Modifications 10/1

07/006/203/212/209/206/206/203/301/009/307/1

03/2

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

04/003/212/209/206/206/204/103/301/009/307/103/2

12/3

07/17/2009 Purchase Financial Instrument for Home Loan Modifications 09/3

05/104/103/203/102/101/112/212/111/110/109/209/108/107/106/206/105/104/1
Spirit of Alaska Federal Credit Union Fairbanks AK $ 360,000 N/A 

Stanford Federal Credit Union Palo Alto CA $ 300,000 N/A Statebridge Company, LLC Denver CO - N/A 3 Sterling Savings Bank Spokane WA $ 2,250,000 N/A 

03/301/009/307/103/2

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

03/2

03/1

02/101/1

12/211/109/206/204/103/203/102/101/112/212/111/1

10/1

09/206/203/111/106/203/3

03/102/1

01/0

12/15/2010 Purchase Financial Instrument for Home Loan Modifications 12/1

03/209/307/103/2

12/3

08/28/2009 Purchase Financial Instrument for Home Loan Modifications 10/0

02/101/0

09/309/3

07/103/2

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

05/104/103/203/102/101/112/2

12/1

11/1

10/109/2

09/107/106/206/1

05/104/1

03/203/102/101/1

12/212/111/110/1

09/208/107/106/206/1
Stockman Bank of Montana Miles City MT $ 100,000 N/A Suburban Mortgage Company of New Mexico Albuquerque NM $ 880,000 N/A 

Sun West Mortgage Company, Inc Cerritos CA - N/A 3 SunTrust Mortgage, Inc. Richmond VA - N/A 3 Technology Credit Union San Jose CA $ 70,000 N/A Tempe Schools Credit Union Tempe AZ $ 110,000 N/A The Bryn Mawr Trust Co. Bryn Mawr PA $ 150,000 N/A 

3 

The Golden 1 Credit Union Sacramento CA $ 6,160,000 N/A U.S. Bank National Association Owensboro KY $ 114,220,000 N/A 

06/203/301/009/307/1

03/212/3

09/09/2009 Purchase Financial Instrument for Home Loan Modifications 10/0

03/212/209/2

06/203/2

12/209/206/206/203/301/0

09/307/1

03/2

12/09/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

06/1

12/11/2009 Purchase Financial Instrument for Home Loan Modifications 04/2

12/009/307/1

12/23/2009 Purchase Financial Instrument for Home Loan Modifications 03/2

03/212/209/206/203/212/209/206/206/203/301/009/307/103/2

06/26/2009 Purchase Financial Instrument for Home Loan Modifications 12/3

04/103/203/102/101/112/207/106/206/1

04/13/2011 Purchase Financial Instrument for Home Loan Modifications 04/1

01/13/2012 Purchase Financial Instrument for Home Loan Modifications 01/1

08/106/206/203/3

01/0

08/04/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

03/212/2

03/209/2

06/206/2

09/30/2010 Purchase Financial Instrument for Home Loan Mod fications 09/3

03/212/209/206/203/2

12/209/206/2
United Bank Griffin GA $ 540,000 N/A United Bank Mortgage Corporation Grand Rapids MI $ 410,000 N/A University First Federal Credit Union Salt Lake City UT $ 600,000 N/A 

Urban Partnership Bank Chicago IL - N/A 3 Urban Trust Bank Lake Mary FL $ 1,060,000 N/A 

3 

Vantium Capital, Inc.dba Acqura Loan Services Plano TX $ 6,000,000 N/A 4 

02/112/211/109/207/106/210/109/108/106/204/103/302/101/101/012/111/109/309/107/103/212/3

09/02/2009 Purchase Financial Instrument for Home Loan Modifications 10/0

12/109/2

03/03/2010 Purchase Financial Instrument for Home Loan Modifications 07/1

03/212/209/206/203/212/209/206/211/106/2

04/13/2011 Purchase Financial Instrument for Home Loan Modifications 04/1

02/101/0

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

03/212/209/206/203/212/209/206/206/203/301/009/307/1

03/2

10/21/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

03/212/209/206/2

03/212/2

09/206/2

06/203/3

01/009/3

01/29/2010 Purchase Financial Instrument for Home Loan Modifications 03/2

03/212/209/2

06/203/212/209/206/2
Verity Credit Union Seattle WA $ 600,000 N/A 

ViewPoint Bank Plano TX - N/A 3 VIST Financial Corp Wyomissing PA $ 300,000 N/A Wachovia Bank, N.A. Charlotte NC $ 85,020,000 N/A 

Wachovia Mortgage, FSB Des Moines IA $ 634,010,000 N/A 

2 

Wealthbridge Mortgage Corp Beaverton OR $ 6,550,000 N/A Wells Fargo Bank, NA Des Moines IA $ 2,873,000,000 N/A 

03/101/101/012/1

12/009/309/307/103/203/103/102/112/309/3

04/13/2009 Purchase Financial Instrument for Home Loan Modifications 06/1

02/2

12/209/2

06/203/212/209/206/206/2

04/103/3

01/009/309/1

04/14/2010 Purchase Financial Instrument for Home Loan Modifications 07/1

03/1

02/1

12/3

07/01/2009 Purchase Financial Instrument for Home Loan Modifications 09/3

12/009/307/103/2

12/3

07/29/2009 Purchase Financial Instrument for Home Loan Modifications 09/3

04/203/212/209/206/203/212/209/206/206/203/301/009/3

03/10/2010 Purchase Financial Instrument for Home Loan Modifications 07/1

12/1

05/16/2013 Purchase Financial Instrument for Home Loan Modifications 05/1

02/101/009/307/1

03/2

12/11/2009 Purchase Financial Instrument for Home Loan Modifications 01/2

05/104/103/203/102/1

12/212/109/207/106/206/105/104/103/203/1
Wescom Central Credit Union Anaheim CA $ 540,000 N/A 

6 3 

Western Federal Credit Union Hawthorne CA - N/A 3 Weststar Mortgage, Inc. Woodbridge VA $ 100,000 N/A Wilshire Credit Corporation Beaverton OR $ 366,000,000 N/A 

03/2

12/309/3

04/20/2009 Purchase Financial Instrument for Home Loan Modifications 06/1

03/2

12/203/209/206/206/2

09/30/2010 Purchase Financial Instrument for Home Loan Modifications 09/3

03/212/203/209/206/2

04/13/2011 Purchase Financial Instrument for Home Loan Modifications 04/1

03/212/209/206/106/005/103/301/009/307/307/103/2

12/3

06/19/2009 Purchase Financial Instrument for Home Loan Modifications 09/3

05/104/103/203/102/101/112/212/111/110/109/209/108/107/106/206/105/104/103/203/102/101/112/212/111/110/109/208/106/206/105/104/103/102/101/112/111/110/109/108/107/106/206/105/104/103/3
7 

Yadkin Valley Bank Elkin NC $ 240,000 N/A 

$

1/2/3/4/5/6/7/8/9/10/11/12/13/14/* The Cap of Incentive Payments represents the potential total amount allocated to each servicer and includes the maximum amount allotted for all payments on behalf of borrowers and payments to servicers and lenders/investors. The Cap is subject to adjustment based on the total amount allocated to the program and individual servicer usage for borrower modifications. Each adjustment to the Cap is reflected under Adjustment Details.

RBC Bank (USA) was merged with PNC Bank, NA, and the remaining Adjusted Cap stated above represents the amount previously paid to RBC Bank (USA) prior to such merger. On July 1, 2012, Saxon Mortgage Services, Inc. ceased servicing operations by selling its mortgage servicing rights and transferring the subservicing relationships to third-party servicers. The remaining Adjusted Cap stated above repreAs of July,3 2012, Aurora Loan Services LLC has discontinued its servicing function and sold all remaining servicing rights to Nationstar Mortgage. The remaining Adjusted Cap stated above represents the amount previously paid to AuEffective September 1, 2011 Litton Loan Servicing LP was acquired by Ocwen Financial Corporation. The remaining Adjusted Cap stated above represents the amount previously paid to Litton prior to such acquistion. In May 2010, U.S. mortgage servicing business HomEq was sold to Ocwen Loan Servicing. The remaining Adjusted Cap stated above represents the amount previously paid to HomEq prior to such sale. In December 2012, Ocwen Financial Corporation completed the acquisition of Homeward Residential, Inc. The remaining Adjusted Cap stated above represents the amount previously paid to Homeward prior to such acquisition. This institution executed an Assignment and Assumption Agreement (a copy of which is available on www.FinancialStability.gov) with respect to a l rights and obligations for the transferred loan modifications. The amount transferred is rOn 8/27/10, an amendment was executed to reflect a change in the legal name of the institution.MorEquity, Inc executed a subservicing agreement with Nationstar Mortgage, LLC, that took effect 02/01/2011. All mortgage loans including all HAMP loans were transferred to Nationstar. The remaining Adjusted Cap stated above repreThe remaining Adjusted Cap stated above represents the amount paid to servicer prior to SPA termination.Bank of America, N.A., Home Loan Services, Inc. and Wilshire Credit Corporation were merged into BAC Home Loans Servicing, LP. and the remaining Adjusted Cap stated above represents the amount previously paid to each serviceIn April 2011, EMC Mortgage, an indirect subsidiary of JP Morgan Chase & Co, transferred the servicing of all loans to JP Morgan Chase Bank, NA. The remaining Adjusted Cap stated above represents the amount previously paid to E

Total CAP 

On July 31, 2009, the SPA with Chase Home Finance, LLC was terminated and superseded by new SPAs with J.P. Morgan Chase Bank, NA and EMC Mortgage Corporation. Wachovia Mortgage, FSB was merged with Wells Fargo Bank, NA, and the remaining Adjusted Cap stated above represents the amount previously paid to Wachovia Mortgage, FSB prior to such merger.

Total Initial CAP 23,831,570,000 Total CAP Adjustments 

03/212/209/2

06/203/2

12/209/2

06/206/2

01/009/3

07/103/2

12/3

09/23/2009 Purchase Financial Instrument for Home Loan Modifications 10/0

10/106/203/301/009/308/107/107/106/105/104/1

Florida Community Bank, NA $ 3,750.00 $ 2,946

Franklin Credit Management Corporation $ 342,387.70 $ 656,250Franklin Savings $ 1,750.00 $ 3,864Fresno County Federal Credit Union $ 3,833.34 $ 13,204Glass City Federal Credit Union $ 4,000.00 $ 2,473GMAC Mortgage, LLC $ 61,076,466.45 $ 148,289,669Great Lakes Credit Union $ 11,833.34 $ 19,462Greater Nevada Mortgage Services $ 85,345.16 $ 172,662Green Tree Servicing LLC $ 4,236,939.19 $ 29,179,111Gregory Funding, LLC $ 85,059.95 $ 189,504Guaranty Bank $ 916.67 Heartland Bank & Trust Company $ 1,701

- $ 

Hillsdale County National Bank $ 35,718.62 $ 44,885Home Loan Services, Inc. $ 169,857.80 $ 2,440,767Home Servicing, LLC $ 7,867.05 $ 18,013HomEqServicing - $ 3,036,319

$ 

HomeStar Bank and Financial Services $ 1,916.66 $ 5,572Homeward Residential, Inc. $ 51,759,481.72 $ 133,893,684Horicon Bank $ 8,265.13 $ 20,457Iberiabank $ - $ 10,502IBM Southeast Employees' Federal Credit Union $ 9,000.00 $ 23,589IC Federal Credit Union $ 24,333.34 $ 47,520Idaho Housing and Finance Association $ 27,910

23,077.89 $ 

James B.Nutter and Company $ 11,047.18 JPMorgan Chase Bank, NA $ 314,348,624.04 $ 848,606,369Kondaur Capital Corporation $ - $ 242Lake City Bank $ 9,878.50 $ 10,066Lake National Bank $ 3,000.00 $ 3,651Litton Loan Servicing, LP $ 13,441,220.42 $ 35,353,125Los Alamos National Bank $ 37,697.50 $ 42,249M&T Bank $ 147,718.09 $ 1,332Marix Servicing LLC $ 352,195.77 $ 970,196Marsh Associates, Inc. $ 9,687.97 Midland Mortgage Co. $ 7,585,086.27 $ 1,663,871
Midwest Community Bank $ 1,000.00 $ 1,817

Mission Federal Credit Union $ 79,843.06 $ 202,028MorEquity, Inc. $ 345,841.21 $ 2,305,003Mortgage Center LLC $ 187,729.70 $ 299,012National City Bank $ 11,515,767

4,173,120.35 $ 

Nationstar Mortgage LLC $ 55,025,659.82 $ 141,178,520Navy Federal Credit Union $ 731,845.01 $ 1,791,889New York Community Bank $ 34,310

13,344.17 $ 

Oakland Municipal Credit Union $ 3,568

- $ 

Ocwen Loan Servicing, LLC $ 190,514,335.38 $ 657,480,663OneWest Bank $ 62,123,777.12 $ 209,504,918ORNL Federal Credit Union $ 19,940.57 $ 34,893Park View Federal Savings Bank $ 11,000.00 $ 23,936Pathfinder Bank $ 6,417.47 $ 9,151PennyMac Loan Services, LLC $ 7,197,675.06 $ 20,517,575PHH Mortgage Corporation $ 41,729.32 $ 62,772Plaza Home Mortgage, Inc $ 4,000.00 $ PNC Bank, National Association $ 172,229.31 $ 1,071,929Purdue Employees Federal Credit Union $ 3,000.00 $ 2,385Quantum Servicing Corporation $ 332,061

133,393.34 $ 

Quicken Loans, Inc. $ 1,000.00 $ Residential Credit Solutions, Inc. $ 2,398,607.53 $ 6,448,886Resurgent Capital Services L.P. $ 514,829.41 $ 1,177,754RG Mortgage $ 164,852.94 $ 227,582RoundPoint Mortgage Servicing Corporation $ 288,203.10 $ 691,375Rushmore Loan Management Services LLC $ 3,373,436

1,368,306.71 $ 

Saxon Mortgage Services Inc $ 19,655,074.77 $ 41,738,413Schools Financial Credit Union $ 26,666.70 $ 62,158Scotiabank de Puerto Rico $ 515,948.87 $ 710,619Select Portfolio Servicing, Inc. $ 92,174,037.56 $ 184,416,374Selene Finance LP $ 87,504.47 $ 235,114Servis One, Inc., dba BSI Financial Services, Inc. $ 1,658,151.55 $ 3,097,547ShoreBank $ 49,915.10 $ 153,906Silver State Schools Credit Union $ 40,355.90 $ 176,298
SN Servicing Corporation $ 2,535.78 $ 

Specialized Loan Servicing LLC $ 9,807,923.07 $ 17,411,844Statebridge Company, LLC $ 26,521.29 $ 97,621Sterling Savings Bank $ 204,194.45 $ 432,293SunTrust Mortgage, Inc $ 34,166.67 $ 1,395Technology Credit Union $ 59,000.00 $ 203,640The Bryn Mawr Trust Company $ 11,196.51 $ 15,295The Golden 1 Credit Union $ 365,384.20 $ 1,063,743U.S. Bank National Association $ 14,666,027.17 $ 33,545,892United Bank $ 2,651

2,916.67 $ 

United Bank Mortgage Corporation $ 44,753.63 $ 80,699Urban Partnership Bank $ 158,497.56 $ 327,797Urban Trust Bank $ (5,000.00) $ (15,228Vantium Capital, Inc. d/b/a Acqura Loan Services $ 240,971.70 $ 489,045ViewPoint Bank $ - $ 1,038Wachovia Mortgage, FSB $ - $ 76,889Wells Fargo Bank, N.A. $ 684,225,648

264,666,191.89 $ 

Wescom Central Credit Union $ 262,032.94 $ 776,749Western Federal Credit Union $ 51,701

19,333.34 $ 

Wilshire Credit Corporation $ - $ 490,394Yadkin Valley Bank $ 29,522.98 $ 32,814

Grand Total $ 1,653,393,940.66 $ 4,320,447,736
Name of Institution City State

6/23/2010 Nevada Affordable Housing Assistance Corporation Reno NV Purchase Financial Instrument for HHF Program $ 

2 9/23/2010 Purchase Financial Instrument for HHF Program 3 9/29/2010 Purchase Financial Instrument for HHF Program 

6/23/2010 CalHFA Mortgage Assistance Corporation Sacramento CA Purchase Financial Instrument for HHF Program $ 

2 9/23/2010 Purchase Financial Instrument for HHF Program 3 9/29/2010 Purchase Financial Instrument for HHF Program 

6/23/2010 Florida Housing Finance Corporation Tallahassee FL Purchase Financial Instrument for HHF Program $ 

2 9/23/2010 Purchase Financial Instrument for HHF Program 3 9/29/2010 Purchase Financial Instrument for HHF Program 

6/23/2010 Arizona (Home) Foreclosure Prevention Funding Corporation Phoenix AZ Purchase Financial Instrument for HHF Program $ 

3 9/29/2010 Purchase Financial Instrument for HHF Program 

6/23/2010 Michigan Homeowner Assistance Nonprofit Housing Corporation Lansing MI Purchase Financial Instrument for HHF Program $ 

2 9/23/2010 Purchase Financial Instrument for HHF Program 3 9/29/2010 Purchase Financial Instrument for HHF Program 

8/3/2010 North Carolina Housing Finance Agency Raleigh NC Purchase Financial Instrument for HHF Program $ 

2 9/23/2010 Purchase Financial Instrument for HHF Program 3 9/29/2010 Purchase Financial Instrument for HHF Program 

8/3/2010 Ohio Homeowner Assistance LLC Columbus OH Purchase Financial Instrument for HHF Program $ 

2 9/23/2010 Purchase Financial Instrument for HHF Program 3 9/29/2010 Purchase Financial Instrument for HHF Program 

8/3/2010 Oregon Affordable Housing Assistance Corporation Salem OR Purchase Financial Instrument for HHF Program $ 

2 9/23/2010 Purchase Financial Instrument for HHF Program 3 9/29/2010 Purchase Financial Instrument for HHF Program 

8/3/2010 Rhode Island Housing and Mortgage Finance Corporation Providence RI Purchase Financial Instrument for HHF Program $ 

2 9/23/2010 Purchase Financial Instrument for HHF Program 3 9/29/2010 Purchase Financial Instrument for HHF Program 

8/3/2010 SC Housing Corp Columbia SC Purchase Financial Instrument for HHF Program $ 

2 9/23/2010 Purchase Financial Instrument for HHF Program 3 9/29/2010 Purchase Financial Instrument for HHF Program 

9/23/2010 Alabama Housing Finance Author ty Montgomery AL Purchase Financial Instrument for HHF Program $ 

3 9/29/2010 Purchase Financial Instrument for HHF Program 

9/23/2010 Kentucky Housing Corporation Frankfort KY Purchase Financial Instrument for HHF Program $ 

3 9/29/2010 Purchase Financial Instrument for HHF Program 

9/23/2010 Mississippi Home Corporation Jackson MS Purchase Financial Instrument for HHF Program $ 

3 9/29/2010 Purchase Financial Instrument for HHF Program 

9/23/2010 GHFA Affordable Housing, Inc. Atlanta GA Purchase Financial Instrument for HHF Program $ 

3 9/29/2010 Purchase Financial Instrument for HHF Program 

9/23/2010 Indiana Housing and Community Development Authority Indianapolis IN Purchase Financial Instrument for HHF Program $ 

3 9/29/2010 Purchase Financial Instrument for HHF Program 

9/23/2010 Illinois Housing Development Authority Chicago IL Purchase Financial Instrument for HHF Program $ 

3 9/29/2010 Purchase Financial Instrument for HHF Program 

9/23/2010 New Jersey Housing and Mortgage Finance Agency Trenton NJ Purchase Financial Instrument for HHF Program $ 

3 9/29/2010 Purchase Financial Instrument for HHF Program 

9/23/2010 District of Columbia Housing Finance Agency Washington DC Purchase Financial Instrument for HHF Program $ 

3 9/29/2010 Purchase Financial Instrument for HHF Program 

9/23/2010 Tennessee Housing Development Agency Nashville TN Purchase Financial Instrument for HHF Program $ 

3 9/29/2010 Purchase Financial Instrument for HHF Program 

Housing Finance Agency Innovation Fund for the Hardest Hit Housing Markets

Hardest Hit Funds (HHF) Program

Note Date

Seller

Transaction 

Type Investment Description

Initia

A

1/ The purchase will be incrementa ly funded up to the investment amoun2/ On 9/23/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.3/ On 9/29/2010, Treasury provided additonal investment to this HFA and substituted its investment for an amended and restated Financial Instrument.

TOT
Name City State

1 9/3/2010 Citigroup, Inc. New York NY Purchase Facility Purchase Agreement $ 8

2 3/4/2013 

FHA SHORT REFINANCE PROGRAM

Footnote Date

Seller Transaction 

Type Investment Description 

Initial In

Am

T

1/ On September 3, 2010, the U.S. Department of the Treasury and Citibank, N.A. entered into a facility purchase agreement (the 'L/C Facility Agreement"), whicof credit (the "L/C"). Treasury will increase availability under the L/C incrementally in proportion to the mortgages refinanced under the FHA Short Refinance prothen-current level. Under the terms of the L/C Facility Agreement, Treasury could incur fees for the availability and usage of the L/C up to a maximum amount of 2/ On March 4, 2013, the U.S. Department of the Treasury and Citibank, N.A. entered into Amendment No. 1 to the L/C Facility Agreement, which reduced the mTreasury has to increase the L/C to cover new loans that are entered into the program; and modified the fee structure paid to Citibank, N.A. Based on this new fusage of the L/C will not exceed $25 million.
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Projected Costs and Liabilities [Section 105(a)(3)(

For Period Ending May 31, 2014

Type of Expense/Liability Amount 

None

Note: Treasury interprets this reporting requirement as 

applicable to costs and liabilities related to insurance coentered into under the provisions of section 102 of the Eand the single insurance contract with Citigroup was terminated on December 23, 2009.
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Programmatic Operating Expenses [Section 105(a)(

For Period Ending May 31, 2014

Type of Expense A

Compensation for financial agents and legal firms $1,05
U.S. Treasury Department

Office of Financial Stability

Troubled Asset Relief Program

Description of Vehicles Established [Section 105(a)(

For Period Ending May 31, 2014

Date Vehicle Descr

None
HAMP Application Activity by Servicer 1

As of April 2014

Servicer Name

# Requests 

Received 2 

# Requests 

Processed 3

# Requests 

Approved 4

# Requests 

Denied 5

# Requests 

Received 2 

# Requests 

Processed 3

# Requests 

Approved 4

# Requests 

Denied 5

Bank of America, NA 10,338 11,358 1,130 10,228 1,396,450 1,369,790 589,751 780,039

BankUnited 25 26 17 9 9,763 9,552 4,709 4,843

Bayview Loan Servicing, LLC 2,223 1,589 408 1,181 37,577 34,551 11,497 23,054

Carrington Mortgage Services, LLC 2,087 1,714 170 1,544 77,470 75,872 24,237 51,635

CCO Mortgage, a division of RBS Citizens NA 497 534 65 469 28,231 27,329 5,979 21,350

CitiMortgage Inc 13 584 518 66 527,538 519,518 226,033 293,485

Green Tree Servicing LLC 2,907 1,966 712 1,254 94,265 89,982 35,879 54,103

JPMorgan Chase Bank, NA 8,876 3,178 843 2,335 1,553,062 1,526,151 440,812 1,085,339

Midland Mortgage Co. 2,215 2,383 275 2,108 114,926 112,969 10,197 102,772

Nationstar Mortgage LLC 8,355 6,872 1,401 5,471 421,245 398,950 86,261 312,689

Navy Federal Credit Union 195 227 58 169 11,114 10,659 2,051 8,608

Ocwen Loan Servicing, LLC 37,550 31,538 2,852 28,686 1,473,838 1,413,348 216,352 1,196,996

OneWest Bank 381 439 65 374 382,969 382,223 102,417 279,806

ORNL Federal Credit Union 8 8 - 8 576 576 53 523

PennyMac Loan Services, LLC 516 486 189 297 19,309 18,558 5,349 13,209

PNC Bank, National Association 31 78 2 76 889 751 41 710

PNC Mortgage6 904 914 97 817 40,203 40,130 27,626 12,504

Residential Credit Solutions, Inc. 255 294 25 269 17,710 17,500 2,028 15,472

Select Portfolio Servicing, Inc. 6,293 4,264 1,536 2,728 187,143 153,365 94,510 58,855

Specialized Loan Servicing LLC 2,798 2,641 513 2,128 53,489 49,963 7,998 41,965

U.S. Bank National Association 1,732 2,970 199 2,771 125,039 117,386 43,381 74,005

Wells Fargo Bank, NA 8,919 9,516 1,518 7,998 1,397,328 1,377,422 418,867 958,555

Other Servicers7 - - - - 170,842 170,842 106,111 64,731

TOTAL 97,118 83,579 12,593 70,986 8,140,976 7,917,387 2,462,139 5,455,248

Activity in April 2014 Program-to-Date

1 This report is sourced from the Monthly Servicer Survey of select servicers participating in MHA under a Servicer Participation Agreement. All data present in this report reflects what is provided by servicers participating in the survey and is not 

separately validated by Treasury.

In 2013, the Bureau of Consumer Financial Protection (CFPB) issued new mortgage servicing rules under the Real Estate Settlement Procedures Act (Regulation X). These rules, which became effective on January 10, 2014, may impact servicer 

processes for evaluation of requests for assistance under MHA. As a result, servicers reporting of Requests Received, Requests Processed, and Requests Denied (defined below) may include all mortgage modification requests. Previously, servicer 

reporting for these categories included only requests that met basic HAMP eligibility criteria.

From time to time, a servicer's current month's cumulative results may not equal the sum of that servicer's prior month's cumulative results and current month's activity; this may be due to servicing transfers or servicer corrections to prior 

reporting. Note that Requests Processed, Requests Approved, and Requests Denied in any given month may be related to Requests Received in prior months.

2 "Requests Received" is the total number of mortgage modification requests received, as reported by servicers. Cumulative Requests Received include all mortgage modification requests received since implementation of Supplemental Directive 

10-02, effective June 1, 2010, and any requests that were approved for a trial modification prior to implementation of such guidance. As noted in Footnote 1 above, some servicers may include all mortgage modification requests received, 

whereas they previously included only requests that met basic HAMP eligibility criteria. 

3 "Requests Processed" is the sum of Requests Approved and Requests Denied, defined below. 

4 "Requests Approved" is the total number of mortgage modification requests approved for a trial modification under HAMP and trial offers sent to the borrowers, as reported by servicers. Note that all Requests Approved do not become Active 

Trials because some borrowers do not accept the trial or fail to make the first trial payment. 

5 "Requests Denied" is the total number of mortgage modification requests not approved for a trial modification under HAMP and the decision communicated to the borrower by the servicer in accordance with program guidance, as reported by 

servicers. Cumulative Requests Denied include all mortgage modification requests denied and communicated to the borrower by the servicer since implementation of Supplemental Directive 10-02, effective June 1, 2010; servicers do not report 

Requests Denied prior to then as relevant data is incomplete. Figures include HAMP mortgage modification requests denied due to insufficient documentation, failure to meet basic eligibility criteria, and/or other reasons.

6 Formerly National City Bank.

7 Includes servicers that are no longer actively participating in the survey process or those whose Servicer Participation Agreement has been terminated. These servicers no longer submit a survey, and their results only reflect previous periods 

when the survey questions were not as extensive as current surveys (e.g. #Requests Denied was not a component of earlier surveys).